work_23gyf3p2ljeyxao3s5n6js6rtm	----	The Use of Legal Rhetoric in a Clinical Setting: Advocating the Advocates Philip B. Kraft. MD. JD The continuing intervention by courts and legislatures in the decisions traditionally reserved to psychiatry is generally perceived by mental health professionals as a threat to their practice. As jurists insist upon supervising therapists' decisions to medicate, I to hospitalize patients,2 and, indeed, to discharge them, 3 clinicians, as might reasonably be expected, retreat into a "siege mentality"4 as their expertise is called into question: Commentators remark that "legal developments ... presage a depressing future for psy- chiatry";5 and the law is portrayed as hindering effective patient care, rather than as protecting the rights of the neglected and underprivileged. In view of the uncomfortable liaison between law and psychiatry, it would seem odd indeed were practitioners to be assisting the efforts of those whom they see as the intruders while, at the same time, complaining of that intrusion. Yet this very phenomenon may be occurring. Ironically, clini- cians are unwittingly encouraging the expansion of legal influence by adopting legal rhetoric in the treatment setting. Legal rhetoric appears more frequently in the daily dialogue between therapists and the severely dis- turbed patient. In that dialogue, it promotes antagonism between the treatment team and the patient and among members of the team them- selves. The psychiatric community believes that the lawyers have introduced this antagonism. Yet therapists' own use of legal rhetoric in the context of psychiatric treatment may, paradoxically, lead to advocacy of the advocates and away from the invaluable task of further developing psychiatric exper- tise and defining more closely the parameters of decent care for the severely disturbed. Case Examples These case examples may prove to be illustrative. Case I N. is a 26-year-old single male patient at a state-sponsored center providing intensive day treatment for those suffering from various schizo- phrenic disorders. His treatment includes individual psychotherapy, exten- sive milieu and group activities, family treatment, and medication. After several months of treatment, it became known that N. made it his regular practice to visit several nonaffiliated emergency services in the area where Dr. Kraft·s addrl'ss is 229 /-Iarvard St.. Cambridge. MA 0213Q. Bull Am Acad Psychiatry Law, Vol. 13, No, 4, 1985 313 Kraft he would receive prescnptlOns for numerous psychotropic agents and antiparkinsonian drugs. His half-way house, moreover, reported that N. had been abusing alcohol. The center, having attained the agreement of the catchment area state hospital, drew up a plan wherein N. would be admitted to that hospital's special treatment unit for detoxification and would make a gradual transition back into full-time day treatment. N. himself acquiesced in the plan. On a Friday, one week after hospitalization, he submitted a three-day notice, announcing his intention to leave the unit. The state hospital was permitted by statute to detain him on the unit until the following Tuesday.6 Nonetheless, N. was immediately discharged. On Sun- day, he overdosed and was hospitalized on the psychiatric unit of a general hospital, returning to day treatment one week later. A "patient at risk" committee of the Community Mental Health Center investigated the inci- dent. The state hospital staff justified their decision to discharge N. when they did, on the sole ground that they were unwilling to "interfere with his civil liberties." Case 2 B., a 38-year-old woman, was also receiving intensive treatment at the day center for a schizophrenic illness. B. had been referred to the center by her psychotherapist who worked at a neighborhood clinic, affili- ated with the day center and part of the same Community Mental Health Center. B. 's therapist had expressed the wish to continue seeing B. in individual psychotherapy while other treatment modalities were provided by the day center. Thus, B. participated in the center's group program and received her medication there, while she saw her psychotherapist for 15 minutes every two weeks. Day center staff voiced concern over B.'s persis- tent withdrawal and reticence. Because B. was foreign-born, the staff con- sidered the possibility of a language barrier or culture gap. B. 's family refused to participate in the treatment program. About one year after admission, B. precipitously announced that she was going away on vacation for a week. When she failed to return on schedule, the staff phoned her family who said that B. was still away. In the meantime, B. 's psychotherapist, who had been contacted by staff about an unrelated matter, admitted knowing a "secret" which she felt she might convey to the center staff at this point, namely, that B. had not gone on vacation but had terminated treatment and taken a job at a local department store. When challenged by the day center staff, the therapist argued that she had to keep the secret for as long as she had, in order to "advocate for" B. and her family; the therapist and B. had feared that the center would try to dissuade B. from pursuing employment. Sadly, B. was unable to maintain the job. She applied for readmission to the day program two and one-half weeks after her departure. 314 Bull Am Acad Psychiatry Law, Vol. 13, No.4, 1985 Legal Rhetoric in a Clinical Setting The Failure of Clinical Understanding In both of these cases, the use of legal rhetoric signaled the failure of clinical understanding: The concepts of "liberties" and "advocacy"-once raised-seemed to assume lives of their own, dictating outcomes not in keeping with a common sense appraisal of the instant, clinical pictures. In Case 1, the state hospital staff had the legal right, pursuant to applicable statute, to keep N. on the unit for at least three days, in which time they might have thoroughly evaluated his potential for suicide. Furthermore, within the statutorily allowed period, they could have conferred with the day center stafTwho probably had a considerably broader knowledge of the patient. They might, as a matter of initial import, have utilized the time to explore with N. the reasons behind his sudden wish to leave; N. might have been persuaded to change his mind. The staff, in any case, was not confronted with a draconian choice between discharging N. on the spot and immediate resort to formal commitment procedures. 7 However, the staff, in Case 1, failed to see the extant law as supporting their right, if not their duty, to exercise a deliberate and reasoned clinical judgment. Similarly, in Case 2, routine clinical judgment would have mandated that B.'s psychotherapist not rely on her minimal contact (fifteen minutes every two weeks) with B. in order to determine the relevant interests to be "advocated." Treatment of the severely ill usually requires the participation of a mUltidisciplinary team, whose collaboration and collective judgment yield optimal results. 8 Had the therapist not been distracted by her own ideas of the law, she might have inquired into the psychodynamic constel- lation at play in B. 's "fear" that the extended treatment team would "discourage" her, a fear possibly shared by B.'s family who refused treat- ment. Collaborative discourse might have clarified the nature of B.'s reti- cence as well as that of the family's apparent resistance to treatment. Nevertheless, the therapist, I believe, wrongly concluded, albeit in good faith, that her silence was legally, if not clinically, indicated. In both of these examples, experienced clinicians were somehow misled through legalistic notions into pursuing courses of action that contravened the most basic clinical considerations. Perhaps the phrase "course of action" warrants emphasis in that, in these two cases, legalistic notions furnished the impetus for action rather than discussion. One would typically expect the veteran clinician to choose talk above action; but in these examples, the exception seems to have become the rule.9 Because of the increasing significance of the law to the practice of psychiatry, the question of how the law is being received in daily practice must be addressed. It is my hypothesis that in the daily practice of psychia- try, clinicians misperceive the law, recreate it based on their misperceptions, and conjure up "legalisms" for disturbing reasons. Bull Am Acad Psychiatry Law, Vol. 13, No.4, 1985 315 Kraft Why the Failure? The clinical decisions in these cases, I maintain, represent failures in clinical understanding concealed behind the language of the law. The clinicians described violated the most elementary among therapeutic principles: they seemingly forgot the concepts of ambivalence and acting out, inter alia, concepts most certainly inculcated in them at an early stage of their training. Rather than turning toward these concepts, they reached for the less familiar idioms of "civil liberties" and "advocacy" in entering into commonplace, clinical interactions. One possible explanation for their abandonment of the familiar for the foreign is that clinicians do not understand the law; that they are, therefore, intimidated by it and thus try to elude it by anticipating any conceivable legal difficulty which could arise, even if such anticipation entails the abandonment of zealously guarded clinical tenets. Not only may clinicians attempt to avoid the concrete possibilities of litigation but they may, on a broader scale. try to second-guess courts and regulators. In Case I, perhaps the stafT immediately discharged N. for fear that, absent a clear demonstra- tion of his suicidal potential, N. might have cause to sue the hospital if they chose to detain him. Perhaps this was an instance in which a little knowledge of the law was misleading. StafT members who have done some reading in the law might imagi!1e N. 's bringing an action on a theory of deprivation of liberty. cruel and unusual punishment, maybe even lack of procedural due process. But it is less likely that stafT, having gone this far, would know quite enough about the law to console themselves with the thought that, absent "bad faith," they are unlikely to be held liable in any event for exercising reasonable clinical judgment. lO Thus, arguably, a modicum of legal information could frighten stafT into going against their best clinical judgment. Their concern might be moderately compelling were it not for two factors which it fails to embrace. First, N., in Case I, gave no hint that his wish to leave the detoxification unit was founded on any concern for his civil liberties. He simply stated that he wished to leave; his motivation to leave was never revealed. The stafTproferred the language of "liberties"-not the patient. In short, there was no realistic basis here on which the stafT could conclude that N. was predisposed either to view his situation in terms of a loss of liberty or to seek legal assistance were his request to leave denied. Of course, the fear of litigation need not be grounded in reality. But it is highly doubtful that an experienced stafT of a state hospital would be ignorant of the extent of and limits on its power. I I N. could hardly have been the first patient to have presented this particular clinical dilemma. The stafT, on numerous occasions, had both held patients like N. (although perhaps patients more overtly at risk) beyond the statutory period as well as gone on to petition the court for com mitment. Yet, in N.'s case, they 316 Bull Am Acad Psychiatry Law, Vol. 13, No.4, 1985 Legal Rhetoric in a Clinical Setting asserted his civil liberties as standing in their way of being able to effectuate the agreed upon treatment plan. An "ignorance of the law" theory might be more applicable in Case 2. The therapist who decided to withhold a significant, clinical datum from B. 's treatment team may have been moved by considerations of patient confidentiality or B.'s right to privacy. Certainly, these are areas of the law which plead for definition, especially in the context of the public mental health system. 12 Generally, "[ilt is not considered a breach of confidentiality to disclose information to those who are assisting the primary caregiver's efforts. This includes supervisors, members of a hospital's milieu staff, and colleagues who are involved directly in the patient's treatment".1J But statutory provisions might be unclear and the concepts of privilege, confi- dentiality, and right to privacy difficult to distinguish. B.'s therapist may have preferred to err in the direction of confidentiality rather than risk a lawsuit. And also, in Case 2, the clinical picture offers a slightly more substantial basis for the therapist's fear of the possibility of litigation. Although there was no mention of litigation, the clinical picture could be read to imply that there was already disagreement between B. 's family and the day treatment center. It is possible that B. 's silence at the day center concealed a measure of hostility toward day care personnel. After all, B. and her family chose to inform only the psychotherapist of their plan for B. Taken at face value, these several observations and inferences could justify a therapist's being more than ordinarily mindful of legal guidelines. Again, however, this explanation is unsatisfactory on two grounds. First. B's psychotherapist had participated fully in at least two treatment confer- ences with the extended treatment team, in which she had reasonably shared "confidences" regarding B.'s psychotherapy. The ignorance of the law theory-to be truly satisfactory-would have to include some explanation of the therapist's sudden crisis oflegal conscience at that particular juncture in the treatment and about that particular treatment issue. Such explanation is not apparent. Second, B's therapist did not articulate concerns of "confidentiality" as responsible for her decision to keep silent. While one might. as a matter of hindsight, read such concerns into the clinical picture, the therapist spe- cifically stated that she saw her role as that of B.'s advocate. She believed that she was advocating for B. by guarding B.'s secret. The conclusion to which one is led is that fear and ignorance of the law, in themselves, cannot account for the clinicians' use of legal rhetoric in the absence of some realistic threat of litigation. In neither case example did the patient raise the specter of the law; in both examples, it was the treaters Who first introduced legal concerns as referents in the clinical dialogue. 14 Bull Am Aced Psychiatry Law, Vol. 13, No.4, 1985 317 Kraft The inescapable implication is that these clinicians, for reasons entirely of their own and for benefits which would inure only to them, donned the clothing of the legal wolf. So the inquiry devolves, in the end, to an examination of those benefits which the clinician may stand to attain through the use of legal rhetoric. In standing back from the case examples for a moment and regarding them only with a view toward the result achieved in each instance, a curious similarity between them emerges. In Case I, the clinician's use of legal rhetoric resulted in N.'s discharge from the hospital. In Case 2, the result was an interruption in B.'s treatment. In both cases legal rhetoric was used to distance the treaters from the treated. In neither case did the law actually require withdrawal of treatment. That legal rhetoric should be used to end treatment rather than promote it should hardly be surprising: "The awesomeness of [schizophrenia] causes us to distance ourselves from those who manifest it."'5 The simple fact of being a clinician does not immunize against the urge to "avoid[ ] the extreme aberrations of schizophrenic behavior. "16 The use of "Iegalisms" as a defense against "the well-known psychic strains of empathic engagement with the mentally ill" has received trenchant comment. 17 Thus, for example, the "inappropriate failure to petition" for commitment, as demonstrated in Case I, may derive not only "from wishes to be rid of the troublesome patient but may derive as well from defensive denial of the seriousness, dangerousness or lethality of the patient's clinical state."18 From a more cynical perspective, in the specific contexts of the overcrowded, under- funded state hospital and the neighborhood clinic where therapists struggle to keep up with burgeoning caseloads, legalisms may furnish no more than ready excuses for reducing patient census and, consequently, the c1inicans' workload. In other words, if there is no good clinical justification for discharging a patient, maybe a legal one will do. '9 But why a leKal excuse, rather than an ethical excuse, a philosophical excuse or a therapeutic excuse? Where is the power which, even in its absence, the law exerts on clinicians such that the talk of liberties and advocacy permeates the therapeutic dialectic? The answer is to be found not in the reality of contemporary jurisprudence, but rather in its symbolic value. For those who labor outside the legal arena proper, the law may be perceived as a source of certainty, solidity, and finality and the rhetoric of liberties and advocacy comes to represent the decisiveness of those in power. One performs certain acts and refrains from others because ··that is the law" and, despite instances in which one may entertain doubts about the law's being quite what it is. it continues to exert an almost mystical appeal as the final arbiter of human affairs. 318 Bull Am Acad Psychiatry Law, Vol. 13, No.4, 1985 Legal Rhetoric in a Clinical Setting The dissonance between legal and psychiatric modes of reasoning has been commented upon. 20 Yet the dissonance, I believe, does not necessarily imply that psychiatric practitioners are, as a result, immune to fascination with the law as the emblem of certainty. One might expect, moreover, that the symbolic influence of the law on clinicians will be strongest in those specific clinical areas wherein clinicians feel themselves least secure; that clinicians may be most prone to reaching to legal concepts as providing "the answers" in situations in which psychiatric science has foundered. It may well be, in other words, that clinicians succumb to legal influence not simply because of ambivalence,21 but because of the limitations on their own expertise. Clinicians may be trying not simply to rid themselves of troublesome patients, but to find answers in situations where they are at a loss as to what to do. And where is one most apt to encounter such situations? They are to be found in the state hospitals and community clinics, where clinicians are daily admitting chronic patients who are likely to have already exhausted the gamut of available therapies22-chronic patients for whom advances in psychopharmacology may mildly ameliorate symptoms but do not effect a cure. Clinicians are being called upon by patients, families, referring agen- cies, and the courts to "do something"-to "take care of' a burgeoning population for whose ills there are no simple solutions. Thus, the care of the chronic patient is precisely the area in which clinical certainty is lacking; for after the patient has uhdergone trials of antipsychotic medications, antidepressants, antianxiety agents, lithium carbonate, behavioral therapies, vocational counseling, and the like, the question of what to do next insistently presses for an answer.23 In Case I, the state hospital staff likely knew very well how to talk with N. to persuade him to withdraw his three- day notice. B.'s psychotherapist, in Case 2. likely knew as well how to draw on the support of the treatment team to convince B. to continue her program. But by choosing not to use routine, therapeutic skills to maintain the therapeutic relationship, these clinicians managed to escape their own sense of hopelessness about the future of two severely disturbed patients. At the heart of the treatment of the chronic psychosis lies a void that has yet to be filled with concrete guidelines for a demonstrably meaningful dialogue between patient and therapist. 24 To fill that void, then, the therapist borrows from that perceived source of certainty, the law. The language of liberties and advocacy, with its aura of finality, is used to answer the unanswerable. Notwithstanding the inap- propriateness of such language to the clinical occasion, the clinician, in a search for definition. stretches the meaning of the law in applying it to the situation before him in order to. at least. do something. This distortion of Bull Am Acad Psychiatry Law, Vol. 13, No.4, 1985 319 Kraft the law, in tum, makes the clinician appear naive in the eyes of the lawyers. Furthermore, the clinician fails to recognize those instances in which the law in actuality protects his decision-making power. 25 Appreciating this argument in its most exaggerated form may serve to highlight the dangers inherent in imitating the lawyers. The dangers which clinicians face in so doing are three: the danger of relying on the law to furnish solutions to clinical problems (borrowing the "'emperor's clothes"); the danger of importing an adversariallanguage into the therapeutic sphere; and the danger of furthering the intrusion of the law into territory where it does not belong and where its presence is lamented. The Emperor's Clothes To the outsider, the law may represent all that is certain, but those inside the law are all too familiar with the insecurity of the law. The legal realist movemene6 and its successor, the critical legal studies movement, have come to recognize the essential indeterminacy of every legal debate. 27 The grand scheme of 19th century law has failed; legal categorization has collapsed 28 and contemporary scholars acknowledge that the law is molded to reflect the wishes of the powerful and to reproduce extant hierarchies. 29 Thus, not only are legal principles fluid but they also serve as a method of manipulation. Radical commentators portray the "'science of law," propounded by Christopher Columbus Langdell, as a tool with which classism, racism, and sexism have been perpetuated, while deceiving those oppressed into believing that justice is being served. 30 Even the most moderate among jurists have noted the void at the heart of the law. where conflict remains as conflict and where overarching principles are unavailable to provide the much desired sense of finality and repose. 31 Thus, those who seek answers in the provinces of the law for the problems of the chronic patient are bound to be disappointed. The task of developing a meaningful dialogue with patients who have been left behind by clinical science cannot be passed on to lawyers, themselves coping with the vague- ness at the heart of the law. Legal certainty is a facade, and, moreover, lawyers whose practice bears on mental health must deal with the twin uncertainties of law and psychiatry. They confront the same concerns as clinicians face in their work with the severely disturbed: how to define irrationality and how, once the boundary is delineated, to bridge the gap between madness and sanity. Importing the Adversarial Stance into the Clinical Arena Not only are the answers to these problems not to be found in the law, but the very use of legal rhetoric in an attempt to find those answers introduces a noxious, foreign element into clinical dialogue. Notions of advocacy with their implications of a "zero-sum game"3~ are at odds with the basic premises of the therapeutic encounter. For the clinician to call herself an advocate, in the legal sense. of her patient is to place herself in a position of antagonism 320 Bull Am Acad Psychiatry Law, Vol. 13, No.4, 1985 J Legal Rhetoric in a Clinical Setting vis-a-vis her fellow clinicians. In a clinical situation which demands a collaborative effort-again, most typically, in the case of the severely disturbed-the use of such language is susceptible to being interpreted as an insinuation that the "clinician/advocate" is the only individual on the team who is taking it upon herself to support the patient's best interests, in the face of opposition from other team members. It would hardly be surprising, therefore, were legal rhetoric, however innocently used, to in- crease friction among those who should be working together in the interest of the patient. Similarly, the invocation of the language of liberties implies a struggle between therapist and patient. It is not a foregone conclusion, e.g., that a patient like N. who submits a three-day notice really means to gain his release from the hospital. 33 The act of submitting the notice may be an invitation to the staff to enter into a dialogue with the patient about the significance of the hospitalization, its goals, and anticipated duration or it may be merely an attempt by the patient to express some disappointment in the direction that his hospital stay has taken up to that point. When the treatment team responds with talk of civil liberties, staff members are declining the invitation to enter into a dialogue of clarification. Instead, they are squaring up to the patient, countering his inarticulate invitation to engage in a dialogue with their own offer to engage in confrontation. The original meaning of the three-day notice is lost in the ensuing exchange. In this way, legalisms take the place of therapeutic colloquy and clinicians lose an opportunity to enlarge upon our understanding of psychotic phenomena. Welcoming the Invader The incorporation of legal rhetoric-however it may be altered from its original, contextual meaning-into the clinical setting seems to signal psychiatry's acknowledgment of defeat. Psychiatry is giving in to the perceived aggressor and adopting its language in the process. 34 The true danger lies not so much in psychiatry's cloaking itself in the language of the law as it does in the fact that this exercise diverts energy away from the far more important task of developing a language from within the psychiatric community-a language with which to contend with the needs of the chronic patient population. Absent such a language, the psychiatric community may be preserving a vacuum which the law will seek to fill.35 Psychiatry's mimicry of the law is a temporizing measure. It forestalls the inevitable encounter with the problem of the unremittingly psychotic patient. The act of mimicry will bring no rewards. Unsolved problems of the chronic patient cannot be solved, but only masked, by borrowed legal rhetoric. I suggest that, in lieu of borrowing from the troubled purview of the law, helping professionals once again undertake the painful work of introspection. Provocative suggestions for new visions have been made. 36 Bull Am Acad Psychiatry Law, Vol. 13, No.4, 1985 321 Kraft Alternative approaches to the psychotherapy of psychosis merit considera- tion after years of neglect. 37 Until a new and relevant language is forthcom- ing, those who purport to advocate for the patient may, in fact, be advocating the advocates. References I. ROK£'rs 1'. Commissioner o/Ih£' D£'parlmenl 0/ M£'nlal lIeallh, 390 Mass. 489, 458 N.E.2d 308 ( 1983) 2. O'Collnor 1'. DOllaldson. 422 U.S. 563 (1975) 3. DurjlinK£'f 1'. Arliles. 234 Kan. 484. 673 P.2d 86 (1983) 4. Talbott JA: "i£'llpoinl: whal on £'arlh can h£' don£' 10 save us/rom all Ihis Irouhl£'? Psychiatr News. Sept. ::!I. 1984. at 2. Col. I 5. Id 6. See Mass. Ann. Laws ch. 123. § II (Michie/Law Co-op. 1981) 7. The statutory scheme takes into account precisely the situation wherein a psychiatric staff is not fully comfortable with the premature discharge of a voluntarily admitted patient whose safety is in question. Mass. Ann. Laws ch. 123. § II (Michie/Law Co-op. 1981) provides. in relevant part: "Where persons or their parents or guardians are required to give three days notice of intention to leave or withdraw. an examination of such persons may be conducted to determine their clinical progress. their suitability for discharge and to investigate other aspects of their case .... Such person may be retained at the facility beyond the expiration of the three-day notice period if, prior to the expiration of the said three-day notice period. the superintendent files with the district court a petition for the commitment of such person at the said facility. ~ 8. Bachrach LL: Asylum and chronically ill psychiatric pati£'nls. Am J Psychiatry 141 :975, 1984 9. "Action as Defense. In common with other aspects of care. the procedures of the law provide the trainee with opportunity to discharge anxiety through such activity as consulting lawyers. forensic psychiatrists. court clerks. legal officers. and so on. Such consultations may, of course, represent valid and necessary researches as well as symptomatic acts." Gutheil, Legal defense as ego defense: alpecialji)rm olr£'sistance to Ihe therapeutic process. Psychiatr Q 51 :251,255, 1979. Dr. Gutheil's penetrating observations of the "excesses of legalistic zeal" in psychiatric trainees are further commented on in this paper. See infra text accompanying notes 17-19 10. ROKas \'. Okin, 478 F. Supp. 134::!, 1380-1383 (D. Mass. 1979) II. Gutheil TG. Magraw R: Ambivalence, alliance. and advocacy: misunderstood dualities in psychiatry and law. Bull Am Acad Psychiatry Law 12:51, 55,1984 I::!. Miller RD: Confidentiality or communication in the treatment of the mentally ill. Bull Am Acad Psychiatry Law 9:54. 1981 13. Gutheil T. Appelbaum P: Clinical Handbook of Psychiatry and the Law 9, 1982. See also Slovenko R: Psychiatry and Law 437. 1973. ("[IJt is only the promiscuous nontestimonial disclosure of information which leads to liability.") 14. These examples are to be distinguished from the case where the patient's lawyer is actually present on the ward. engaged in a confrontation with an ambivalent clinician. Sec Gutheil and Magraw, supra note 11, at 56. In the latter case, it is easy to see how the clinician could feel overwhelmed by the attorney. But in the case examples discussed in this paper, the struggle appears to lie totally within the mind of the treating clinician. 15. Day M. Semrad EV: Schizophrenic reactions, in Harvard Guide to Modern Psychiatry. Edited by Nicholi A Jr. Cambridge, MA. Harvard University Press, 1978, p. 199 16. Id See also Minow and Kraft. Deinstitutionalization: professional prescriptions and ideologies, paper presented at the conference on Chronic Mental Patients in the Community, Harvard University Division on Health Policy. Stanford University Department of Psychiatry, December 3. 198::! (unpublished manuscript) (lawyers and psychiatrists alike develop forms of rhetoric which, in order to avoid "professional pain." serve to distance the professional from the patient) 17. Gutheil TG. supra note 9, at 252 18. Id at 253 19. Gutheil also remarks that "[iJn certain situations relating to gathering important data about a new patient (from other agencies or institutions, relatives, outside physicians and so on), the issue of confidentiality may be inappropriately invoked quite simply to avoid doing this work which, though necessary. is otten tedious and time-consuming." Id at 252 20. Gutheil TG. Magraw R . . II/pra note II. Sec also Gutheil and Mills: Legal conceptualizations, legal fictions. and the manipulation of reality: contlict between models of decision making in psychiatry and law. Bull Am Acad Psychiatry Law 10: 17. 1982 (law and psychiatry operate through differing models of reasoning) ::! I. Gutheil TG. Magraw R. Hlpra note II. at 56 322 Bull Am Acad Psychiatry Law, Vol. 13, No.4, 1985 Legal Rhetoric in a Clinical Setting 22. Bachrach LL: Young adult chronic patients: an analytical review of the literature. Hosp Community Psychiatry 33: 189. 1982 23. "[I]t is clear that the biological and behavoria1 approaches to psychiatry. though promising. have not yet solved all the problems of either serious mental disorders or less severe disturbances." Stone. The new paradox of psychiatric malpractice. New Eng! J Med 311: 1384. 1385. 1984 24. Bellak The schizophrenic syndrome: what the clinician can do until the scientist comes. in Disorders of the Schizophrenic Syndrome. New York. Basic Books. 1979, p. 585 25. Sec supra note 7 26. Mensch E: The history of mainstream legal thought, in The Politics of Law. Edited by Kairys D. New York, Pantheon 1982. pp. 26-29 27. See generally Dalton. Book Review. Harv. Women's L.J. 6:229 (1983) (reviewing the Politics of Law (D. Kairys. ed .. 1(82)) 28. Gilmore. G: The Death of Contract. Columbus. OH. Ohio State University Press. 1974 29. Rabinowitz Y: The radical tradition in the law, in The Politics of Law. Edited by Kairys D. New York. Pantheon 1982, p. 310 30. "In a broader sense. the ideological role of concepts like legal reasoning is but one aspect of a larger social phenomenon. In many areas of our lives, essentially social and political judgments gain legitimacy from notions of expertise and analysis that falsely purport to be objective, neutral. and quasi-scientific .... If religion is the opiate of the masses, it seems that objectivity, expertise. and science have become the tranquilizers." Kairys, Legal Reasoning, in The Politics of Law 11, 17 (D. Kairys ed. 1982). 31. "The true grounds of decision are considerations of policy and of social advantage, and it is vain to suppose that solutions can be attained merely by logic and the general propositions of law which nobody disputes. Propositions as to public policy rarely are unanimously accepted, and still more rarely, if ever. are capable of unanswered proof." ,'egeialm v. GUn/ncr, 167 Mass. 92. 106,44 N.E. 1077, 1080. 1896 (Holmes J. dissenting) 32. Gutheil TG, Magraw R, supra note 1 \, at 57 33. Id at 52-53 34. Ironically, at the same time, the law seems to be embroiled in a struggle to limit psychiatric intrusions by reforming the insanity defense, for instance. See Insanity Defense Overhaul Moves Ahead. American Bar Association Journal. Feb. 1984, at 25 35. Kraft P: The right to refuse psychiatric treatment: professional self esteem and hopelessness, in Psychology, Psychiatry and Criminal Law: A Clinical and Forensic Handbook. Edited by Ewing C. In press 36. Unger RM: A program for late twentieth-century psychiatry. Am J Psychiatry 139: 155, 1982 37. Federn P: Ego Psychology and the Psychoses. London, H. Karnak, 1977 Bull Am Aced Psychiatry Law, Vol. 13, No.4, 1985 323 
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work_2ayfulzxajd2hhuxxr24tw2ip4	----	Methods for smoking cessation and treatment of nicotine dependence 820 BRAZILIAN JOURNAL OF OTORHINOLARYNGOLOGY 71 (6) PART 1 NOVEMBER/DECEMBER 2005 http://www.rborl.org.br / e-mail: revista@aborlccf.org.br Methods for smoking cessation and treatment of nicotine dependence Summary Aracy Pereira Silveira Balbani1, Jair Cortez Montovani2 1 Ph.D. in Medicine, Volunteer Professor, Discipline of Otorhinolaryngology and Head and Neck Surgery, Medical School, Botucatu, Universidade Estadual Paulista “Júlio de Mesquita Filho” (UNESP). 2 Full Professor, Discipline of Otorhinolaryngology and Head and Neck Surgery, Medical School, Botucatu, Universidade Estadual Paulista “Júlio de Mesquita Filho” (UNESP). Address correspondence to: Aracy P. S. Balbani - Rua Capitão Lisboa 715 cj. 33 18270-070 Tatuí SP. E-mail: a_balbani@hotmail.com This article was submitted through SGP on May 11, 2005 and approved on June 20, 2005. Smoking is related to 30% of cancer deaths. It is a risk factor for respiratory tract, esophagus, stomach, pancreas, uterine cervix, kidney and bladder carcinomas. Nicotine induces tolerance and addiction by acting on the central dopaminergic pathways, thus leading to pleasure and reward sensations within the limbic system. It stimulates the central nervous system (CNS), enhances alertness and reduces the appetite. A 50% reduction of nicotine consumption may trigger withdrawal symptoms in addicted individuals: anxiety, anger, sleep disorders, hunger, cognitive dysfunction and cigarette craving. Medical advice is the cornerstone of smoking cessation. Pharmacotherapy of nicotine addiction comprises first-line (bupropion and nicotine replacement therapy) and second-line (clonidine and nortriptyline) drugs. Bupropion is a non-tricyclic antidepressant that inhibits dopamine uptake, whose contraindications are: epilepsy, eating disorders, uncontrolled hypertension, recent alcohol abstinence and current therapy with MAO inhibitors. Nicotine replacement therapy can be done with patches or gums. Counseling groups and behavioral interventions are efficacious. The effects of acupuncture on smoking cessation are not fully elucidated. Prompt smoking cessation or gradual reduction strategies have similar success rates. Key words: smoking, nicotine, tobacco use disorder, tobacco use cessation, bupropion. REVIEW ARTICLE Rev Bras Otorrinolaringol. V.71, n.6, 820-6, nov./dec. 2005 821 BRAZILIAN JOURNAL OF OTORHINOLARYNGOLOGY 71 (6) PART 1 NOVEMBER/DECEMBER 2005 http://www.rborl.org.br / e-mail: revista@aborlccf.org.br INTRODUCTION Tobacco is produced by two plant species - Nico- tiana tabacum and Nicotiana rustica, which come from the Peruvian and equatorial Andes. These plants were found out approximately 18,000 years ago, when Asiatic populations migrated to America1. When Christopher Columbus arrived in the New World, the cultivation and use of tobacco had already been disseminated among Indians over the continent. It had several applications, including religious rituals and as insecticide in agriculture. Tobacco was smoked in pipes, inhaled, chewed, eaten, and drunk as tea. Important medicinal plant, it was used for intestinal wash-ups, skin smear to kill louses, instilled as eye-wash and used in ointments, analgesic and antiseptic formulations1. Aware of smoking habits and the tobacco medicinal properties, explorers decided to take the plant seeds to Europe. In Portugal and in Spain, tobacco was cultivated in royal palace gardens, while nobles used it to fight can- cer. Rapidly, tobacco became much valuable in Europe, while English pirates invaded and plundered Spanish ships coming from America, till the British government decided to cultivate the plant in several colonies1. In 1850, the first manufactured cigarettes were sold in England, whose consumption became popular during the First World War. Smoking habits summit took place in the 50 and 60’s, declining in certain countries from 1970 and on1. Today, there are more than a billion tobacco us- ers around the world, among which 90% started smoking in the adolescence2. From 1920’s, the increase of lung cancer incidence was observed, which was confirmed in several studies thirty years later. In 1971, a formal report was published in the United States confirming that “smoking negatively affects human health and contributes for the onset of severe diseases”1. Currently, the World Health Organization accounts for more than four millions fatal victims caused by ciga- rette each year2. It is known that smoking is related to at least 30% of cancer deaths. It is a risk factor for the onset of lung, mouth, pharynx, larynx, esophagus, stomach, pancreas, uterine cervix, kidney and bladder carcinomas3. Moreover, morbidity by cardiovascular and cerebrovascular diseases, chronic obstructive pulmonary diseases (COPD) and peptic diseases, as well as other affections, is higher among smokers1. In 1988, a new North-American report concluded that nicotine found in cigarettes and in other tobacco products is a drug that causes dependence. It is estimated that 24% of the adult population in several countries, Brazil included, are nicotine dependent4. Frequently, otorhinolaryngologists receive smokers with inflammatory or tumoral diseases of the upper air- ways. It is fundamental to diagnose and treat the chemical dependence in these patients, promoting smoking cessa- tion in order to prevent or cure these affections. The authors present a pharmacology outlook, ad- dressing actions and nicotine dependence, as well as treatment modalities available for smoking cessation which may be prescribed by otorhinolaryngologists. Literature Review Indexed studies were reviewed through Lilacs and Medline databases under the keywords in Portuguese, such as “tabagismo”, “nicotina”, “transtorno por uso do tabaco”, “abandono do uso do tabaco”, “bupropiona” or its related links in English: “smoking”, “nicotine”, “tobacco use disorder”, “tobacco use cessation”, “bupropion”. Nicotine Pharmacology Cigarette smoke consists of volatile chemical sub- stances (92%) and particulate material (8%) resultant of tobacco combustion5. Nicotine, a tertiary volatile amine, is the most important active tobacco component4,6. When tobacco coal’s temperature reaches 800°C, racemic shapes of nicotine emerge, which form four nitrosamines with cancer potential7. However, nearly 35% of nicotine is de- stroyed during cigarette combustion; more than 35% is lost in non-inhaled smoke and 8% is not smoked6. Therefore, each cigarette contains 7-9 mg of nicotine, of which a little more than 1 mg is absorbed by the smoker4. Cured tobacco’s nicotine for pipes and cigars is alkaline and it is more easily absorbed through the mouth. On the other hand, cigarette’s nicotine is acid, therefore it is practically not absorbed by the mouth mucosa, and has to be inhaled to be absorbed by the lungs1,7. Nicotine is rapidly absorbed by the lung alveolus and reaches the brain within 10 seconds. Its half-life is of approximately 2 hours, and metabolization is mostly hepatic, through P450 cytochrome. The main enzyme in- volved is CYP2A6. Molecular biology studies demonstrate that capacity in metabolizing nicotine varies according to each individual7. CYP2A6*2 and CYP2A6*3-allele in- dividuals are less prone to be smokers, and if they do, they tend to consume less tobacco than CYP2A6*1-allele individuals8. Vasconcelos et al. (2005)9 analyzed the genetic profile of CYP2A6 in a sample of an adult Brazilian population, composed by 147 Caucasian individuals, 142 Mulattos and 123 Blacks, among which 205 were smokers or ex-smokers, and 207 were non-smokers. The alleles mostly found in this sample were: CYP2A6*1B (29.9%), CYP2A6*2 (1.7%), CYP2A6*4 (0.5%) and CYP2A6*9 (5.7%). Contrary to expectations, frequency of CYP2A6*1B-allel individuals among non-smokers was higher. Distribution of CYP2A6*1B alleles also presented racial differences, with decreasing frequency among Caucasians, Mulattos 822 BRAZILIAN JOURNAL OF OTORHINOLARYNGOLOGY 71 (6) PART 1 NOVEMBER/DECEMBER 2005 http://www.rborl.org.br / e-mail: revista@aborlccf.org.br and Blacks. Presence of this allele was associated with a higher probability of nicotine dependency among Cauca- sians (a 14-fold higher risk) and Mulatto (a 3-fold higher risk), but not among Blacks. The most important nicotine metabolite is cotinine, which can be detected in urine, saliva and blood7. Only 5% of nicotine is excreted without alterations by the kidneys4. Nicotine actions The systemic actions of nicotine are mediated by nicotinic receptors found in the central nervous system (CNS), peripheral autonomic nodes, supra-renal glands, sensitive nerves and the skeletal striated muscle4. Nicotine’s main acute effects over the cardiovascular system are10: peripheral vasoconstriction, increase of the blood pressure and heart rate. Nicotine also interferes in the endocrine system, yielding the release of antidiuretic hormone and water retention. In the gastrointestinal sys- tem, nicotine acts parasympathetically, stimulating tonus increase and intestinal motor activity10. In nervous endings, nicotine stimulates release of the following neurotransmitters: acetylcholine, dopamine (DA), glutamate, serotonin and gamma aminobutyric acid (GABA)11. Nicotine is CNS stimulant, leading to increased alert- ness and to reduced appetite. After a draft, the sensation may be compared to that described by amphetamine, heroine, cocaine and crack users4. The main sensations may include dizziness, nauseas and vomiting10. Rose et al. (2003)11 studied nicotine’s acute effects over the brain blood flow in adults through tomography by positrons emission (PET). Nicotine interferes in the re- ticular formation blood flow, including areas of the pons, mesencephalus and thalamus, and plays a role in aware- ness and awakening mechanisms. Low doses of nicotine have a central stimulating effect, while higher doses have a depressing effect. Nicotine also leads to dose-dependent increase of blood flow in the left hemisphere amygdala, which may explain the anxiolytic effect of smoking. Experimental studies show that nicotine acts as en- zymatic inductor in the liver. This way it reduces half-life of several medicines such as: local anesthetics, morphine, codeine, teophyline, heparin, warfarin, amitriptyline, imipramine, propranolol, chlorpromazine, diazepam, chlordiazepoxide and indometacin. Thus, smokers may require larger doses of these medicines to have the ex- pected therapeutic effects10. Ingestion of nicotine-based insecticides may cause acute intoxication, with the following symptoms: salivation, vomiting, muscle weakness, prostration, cold sudoresis, mental confusion and hypotension. In severe cases (inges- tion of over 60 mg of nicotine), chronic convulsions and respiratory failure may occur10. Nicotine Chemical Dependency Nicotine induces tolerance (need of progressively higher doses to obtain the same effect) and dependence (desire of consumption) as it acts in the dopaminergic pathways of the mesolimbic system, reducing the tha- lamus activity4. Similarly to other psychoactive drugs, it releases dopamine in the nucleus accumbens, located in the mesencephalus, stimulating a pleasant and “rewarding” sensation8,12. After the discomfort caused by the first drafts of tobacco (sickness, dizziness, nausea), the smoker expe- rience a pleasant sensation with the use of nicotine7. According to Marques et al. (2001)4, a 50% decrease in nicotine consumption is enough to trigger withdrawal symptoms in dependent individuals. Nicotine abstinence syndrome is mediated by noradrenalin and starts 8 hours after the last cigarette, reaching a peak on the third day. Main symptoms include: anxiety, irritability, sleep disorders (insomnia and daytime sleepiness), appetite increase, cog- nitive disorders (decrease of concentration and attention) and craving. That is why nicotine-dependent individuals present abstinence relief when they smoke their first morning cigarette. Irritability during nicotine withdrawal is a common smokers’ complaint4. Our experience includes a 34-year- old patient that used to smoke about 12 cigarettes per day and had quit smoking for two months. The patient says she had physically improved during withdrawal, but started smoking again due to her husband’s insistence: “He could no longer stand my bad mood”. Unwanted weight gain is one of the symptoms that mostly upset patients under nicotine abstinence. Mostly, weight gain gets around 4 to 6 Kg13, and in some people it may reach 10% of body weight4. Women and smokers that smoke over 25 cigarettes per day tend to gain weight after smoking cessation, prob- ably due to food ingestion and metabolic adjustments4. Epidemiologic studies show that more than 70% of smokers want to quit smoking8. However, less than 10% reach their goal by their own, as discomfort caused by nicotine abstinence and craving leads most ex-smokers to relapse8,13. Relapses usually occur between two days and three months of withdrawal13. Cox et al. (2003)3 alert that 58% of cancer patients continue smoking after diagnosis, usually due to behavioral habit, anxiety or stress. Treatment of Nicotine Dependency Medical support may enhance the success rate in smoking cessation13. Patient and Family Counseling Talking with the patient is the first step for smok- ing cessation. It is important to evaluate if the patient is 823 BRAZILIAN JOURNAL OF OTORHINOLARYNGOLOGY 71 (6) PART 1 NOVEMBER/DECEMBER 2005 http://www.rborl.org.br / e-mail: revista@aborlccf.org.br nicotine-dependent or not, the quantity smoked, desire to quit, presence of associated diseases and feasible treat- ment modalities4,6. There are many ways to assess nicotine depend- ency: through the International Classification of Diseases (ICD-10), Diagnosis and Statistics Manual of the Ameri- can Psychiatric Association (DSM-IV), and others4. The Fagerström Scale for nicotine tolerance and dependency assessment (Table 1) has English and Swedish originals and has been adapted to several languages. It includes six questions. Total score ranges from zero to 11, where low nicotine dependency (mild) is detected when total is below three. A score higher or equal to seven indicates high nicotine dependency (severe)6. Patient should be encouraged to quit smoking at each medical consultation. Other smokers in the family must also be counseled not to smoke3. According to Jain (2003)13, gradual reduction or quit attempts to smoking cessation show the same probability of success. Pharmacotherapy Pharmacotherapy is indicated for nicotine depend- ents and is divided into: first-line therapy (bupropion and nicotine-replacement therapy) and second-line therapy (clonidine and nortriptyline). First-line Therapy Bupropion Bupropion is a non-tricyclic antidepressive that inhibits pre-synaptic dopaminergic and noradrenalin mechanisms8,14,15. Its action in the central dopaminergic pathways is believed to be the same mechanism respon- sible for craving reduction in patients under nicotine abstinency14. In the United States, bupropion is indicated for addicts smoking 15 or more cigarettes/day or presenting depressive symptoms4. Bupropion therapy should start 7 to 10 days before patient stops smoking, since this interval is necessary for the balance of pharmacotherapeutic levels2,8. The rec- ommended dosage is 150mg/day up to the third day of treatment, increasing to 300mg/day at the fourth day, and maintaining this dosage from 7 up to 12 weeks4. Clinical studies with bupropion have satisfactory results, presenting twice the period of abstinence when compared with placebo, plus reduced weight gain4. Bupropion’s adverse effects occur in 6-8% of patients16. The most common symptoms are: insomnia, restlessness and xerostomia 8. Kolber et al. (2003)16 empha- size that incidence of adverse effects was observed in clini- cal studies sponsored by a pharmaceutical manufacturer, in which 35% of patients had not completed treatment. Table 1. Portuguese version of Fagerström scale for nicotine-dependence evaluation (adapted by Do Carmo; Pueyo, 2002). Questão Resposta Pontuação 1. Quanto tempo você demora para fumar o primeiro cigarro da manhã? menos de 5 minutos 3 6-30 minutos 2 31-60 minutos 1 mais de 60 minutos 0 2. É difícil abster-se e não fumar nos lugares onde é proibido sim 1 (p. ex., hospital, biblioteca, igreja, ônibus, etc.)? não 0 3. Se tivesse de escolher, que cigarro lhe custaria mais deixar de fumar? o primeiro da manhã 1 todos os demais 0 4. Quantos cigarros você fuma por dia? 10 ou menos 0 11-20 1 21-30 2 31 ou mais 3 5. Habitualmente você fuma mais nas primeiras horas do dia do que sim 1 no restante do dia? não 0 6. Você fuma estando doente na cama? sim 1 não 0 NOTE: score from zero to three: low nicotine-dependency (mild); score higher or equal to seven indicates high nicotine-dependency (severe). 824 BRAZILIAN JOURNAL OF OTORHINOLARYNGOLOGY 71 (6) PART 1 NOVEMBER/DECEMBER 2005 http://www.rborl.org.br / e-mail: revista@aborlccf.org.br The authors carried out an independent study to evaluate 39 patients, out of which 15 (38%) discontinued the use of bupropion due to adverse neuropsychiatric effects (trembling, restlessness, and confusion), insomnia and skin eruptions. Seven patients (18%) had to reduce bupropion dosage to 150 mg/day, so side effects could be tolerated. Risk of convulsions in bupropion users is 1:1.000. For this reason, this drug is contraindicated for epileptics4. Other contraindications include: nutrient disorders (nerv- ous anorexia or bulimia), uncontrolled arterial hyperten- sion, recent alcohol abstinence and use of monoaminoxi- dase inhibitors (tranylcypromine or selegiline)2,4,8. Bupropion is a B-category drug according to Food and Drug Administration, which means that there are not sufficient studies on secure use of this medicine during pregnancy4. Nicotine Replacement Therapy (NRT) Combined use of NRT and bupropion almost dou- bles the success rate of smoking cessation14. In Brazil, nicotine patches and chewing gum are available in the market. In the United States, there is also the nasal spray and nicotine mouthwash14. Patches may be found in the Brazilian market in dosages of 7, 14 and 21mg/unit and each pack contains seven units. They maintain blood levels of nicotine for 16 to 24 hours17, therefore they should be replaced on a daily basis. Their effects are observed in two to three days of use18. Mean period for treatment is eight weeks4. Chewing gums contain 2mg of nicotine/unit and are sold in packages of 12 units. The following dosage is recommended18,19: a) For patients who smoke ≤25 cigarettes per day: 1 gum (2mg) at 1-2 hour intervals in the first 4 weeks up to maximum of 20 gums per day18 1 gum (2mg) at 2-4 hour intervals from the 5th to 8th week 1 gum (2mg) at 4-8 hour intervals from the 9th to 12th week b) For patients who smoke >25 cigarettes per day: 2 gums (4mg) at 1-2 hour intervals in the first 4 weeks up to maximum of 20 gums per day18 1 gum (2mg) at 2-4 hour intervals from the 5th to 8th week 1 gum (2mg) at 4-8 hour intervals from the 9th to 12th week Gums should be strongly chewed until numbness of the mouth mucosa occurs or a tobacco taste is perceived. Then the patient should stop chewing and maintain the gum between the cheeks and gingival region until numb- ness disappears, and restart chewing for 30 minutes to throw out the gum. Patient should not ingest any type of liquid while chewing the gum19. The patient must stop smoking as soon as he starts NRT. The most common systemic effects in nicotine replacement are: nausea, hiccups and headache18,20. Main adverse effect of nicotine gums is rash of mouth mucosa4. NRT is contraindicated for individuals younger than 18 years and those with severe cardiovascular dis- eases (acute myocardial infarction occurred within the previous two weeks and instable angina)4. Use of NRT is possible in nicotine-dependent pregnant women and during breastfeeding, should treatment risks and benefits be appraised2. Second-Line Therapy Clonidine may be used at a 0.1 to 0.75 mg dosage per day to relieve nicotine-abstinence syndrome’s symp- toms. Its main adverse effects are sedation and orthostatic hypotension. Sudden discontinuation of clonidine may produce hypertensive crisis4. Nortriptyline inhibits noradrenalin and dopamine mechanisms in the CNS, producing antidepressive and anxiolytic effects. At short-term, its efficacy in smoking cessation seems to be similar to that of bupropion4. Other therapies Acupuncture The Acupuncture Consensus Panel of the United States National Institutes of Health (NIH) (1998)21 confirms that acupuncture “may be useful as a supportive treatment, or acceptable alternative, or part of a comprehensive program” in drug-addiction therapy, including nicotine dependency. According to Approach Consensus and Treat- ment of Smokers of the Health Ministry (2001)19, “so far, there are not sufficient scientific evidences to corroborate the efficacy of acupuncture and of other methods, such as aromatherapy and hypnosis. Thus, acupuncture “is not recommended as a method of choice for smoking cessa- tion”, although it may be used “if this is the patient’s option and if there are no usage contraindications”. He et al. (2001)22 followed 46 adults who smoked 10 or more cigarettes per day and divided them into two groups. The study group was submitted to electroacu- puncture, auriculoacupuncture and auriculoacupressure (manual technique, without needles) for three weeks. The activated spots corresponded to the lungs, airways and mouth. Individuals of the control group were submitted to acupuncture with stimulation of spots related to the muscle-skeletal system, presumably without influence in the organs affected by tobacco. Among the study group 825 BRAZILIAN JOURNAL OF OTORHINOLARYNGOLOGY 71 (6) PART 1 NOVEMBER/DECEMBER 2005 http://www.rborl.org.br / e-mail: revista@aborlccf.org.br patients, 32% abandoned smoking, against 23% of the control group. The desire to smoke was reduced in both groups, although tobacco taste significantly worsened among those submitted to acupuncture. According to the authors, acupuncture action mechanisms in smoking treat- ment remain unknown, although it is possible that tobacco taste is reduced by this technique, with consequent fall of smoking desire. So far, there are not sufficient evidences that acu- puncture is effective in treating nicotine dependency13,23, even though several patients feel better during smoking abstinence13. Cognitive-behavioral Therapy and Self-support groups Marques (2001)4 emphasizes that self-support groups and psychotherapy – individual or group – with counseling sessions are effective adjuvant factors in treat- ing nicotine dependency. This is especially significant when dependency is followed by other affections, such as depression and anxiety. Counseling helps to identify situations in which the tobacco-addicted chases a cigarette due to behavioral (after the meals, a cup of coffee, when meeting friends) or emotional reasons (anxiety, upsetting). Based on that, the tobacco-addicted learns several strategies to break the link between these factors and the act of automatic smoking14. Behavioral intervention and counseling is the base of treatment against tobacco-use among teenagers2. The National Cancer Institute (INCA) has a toll-free phone number 0800-703-7033, where information on smoking cessation methods is provided. In the call center menu options, INCA informs the phone numbers of state coordination centers for smoking treatment under the Central Healthcare System (SUS). Smokers that participate in smoking cessation groups have the right to receive pharmacotherapy without charge. Assessment of Response to Treatment Routinely, the main information for the physician to evaluate smoking reduction or cessation is self-reported smoking cessation. However, in clinical studies, it is fun- damental to adopt an objective and secure measurement to make sure that the patient has really quit smoking. The most effective method in clinical research studies for smoking cessation is blood, saliva or urine cotinine tests22. Another methodology is measurement of carbon monoxide (CO) in exhaled air. In the respiratory tract CO synthesis occurs through hemoxygenase enzymes, in proportional quantity as to local inflammatory process. Tobacco-addicted usually presents high levels of CO in exhaled air. Approximately 24 hours after smoking cessa- tion, CO exhaled levels start to fall, indicating pulmonary functional recovery. Exhaled CO concentration of non- smokers is below 10 ppm (parts per million)24. Some researchers use portable devices to quantify exhaled CO, not only for focused clinical evaluation, but also to encourage the patient during smoking cessation program enrollment24. A National Study Haggsträm et al. (2001)20 assessed 169 smokers which voluntarily enrolled in a university smoking ces- sation service. Most people who searched for assistance were women (67%), median age (mean 46 years), high educational level and motivated to quit smoking due to respiratory disorders (85%). Nicotine dependency was moderate in 50% of the cases, mild in 27% and severe in 22%. Proposed treatment was cognitive-behavioral psy- chotherapy for mild cases, psychotherapy associated with pharmacotherapy (or bupropion 300mg/day or NRT) for moderate cases, and psychotherapy associated with phar- macotherapy (bupropion 300mg/day plus NRT) for severe cases. About 30% of smokers abandoned the program in the first week. At the end of the study, 124 individuals remained in the program; 49% had quit smoking and 13% significantly reduced cigarette consumption. Success rate in smoking cessation was: 23% in psychotherapy, 50% in NRT, 59% in bupropion use and 59% in combined use of bupropion and NRT. Only one patient had to interrupt the use of bupropion due to adverse effects. DISCUSSION Ironically, after five centuries, tobacco has gone from a medicinal plant –used even to prevent cancer – to one of the worst world public health issues. Nicotine dependency is currently one of the most common chronic diseases in the population24. Differently from alcohol and illicit drugs, nicotine does not cause acute conditions due to overdose in addicted individuals. Also, it does not lead to aggressive behavior or worsens the psychomotor performance in car driving and ma- chine operation. Therefore, nicotine dependency is less shocking to society than alcohol dependency and other psychoactive drugs. Exceptionally, tobacco addicts are seen as inconvenient or dangerous – although, there is risk to accidentally burn furniture, clothes, tablecloths or mattresses and causing disastrous fire. On the other hand, an increasing number of people show their disgust to tobacco and to passive smoking. In public places, where smoking is still not prohibited by law, smokers’ segregation is commonly seen. These measures protect non-smokers, although they are not effective to solve nicotine dependency. Governmental campaigns against smoking have been intensified in the last decade, especially through the media and the warnings printed on cigarette packs. 826 BRAZILIAN JOURNAL OF OTORHINOLARYNGOLOGY 71 (6) PART 1 NOVEMBER/DECEMBER 2005 http://www.rborl.org.br / e-mail: revista@aborlccf.org.br However, around ¼ of the Brazilian population is nicotine- dependents and is subjected to the morbimortality caused by tobacco4. Presumably, effective anti-tobacco advertis- ing is useful to make people aware of tobacco negative effects on health, although not sufficient to eliminate nicotine dependency. Most tobacco addicts are aware of cigarettes harms and want to quit smoking8. However, overcoming prac- tical challenges to achieve this goal include: 1) lack of medical diagnosis on nicotine dependency; 2) abstinence discomfort; 3) insufficient number of smoking cessation supportive services and free distribution of medicine by the public health system. It is difficult to compare scientific studies outcomes related to efficacy of smoking cessation. Several factors must be considered, such as: patients’ cultural and socio- economic features, reasons for their enrollment on smok- ing cessation program (spontaneous attitude or disease, such as cancer and COPD), nicotine-dependency grade, follow-up period and criteria to assess treatment success rate (objective or subjective). Invasive treatments due to smoking complications, for instance, have great influence on smoking cessation. Laryngectomized patients due to cancer treatment have a two-fold probability of smoking abstinence than those treated with radiotherapy only3. According to the literature, bupropion is effective in nicotine-dependency treatment, however there are several clinical conditions that contraindicate its use2,4,8. Presence of side effects is relatively significant, leading to dosage reduction or drug discontinuation in about 38% of the cases16. Nicotine replacement therapy presents good out- comes when associated with bupropion, although it also has limitations, besides not being considered for patients with severe cardiovascular diseases4. Acupuncture is a controversial method for smoking cessation23, especially because western Medicine has not sufficient knowledge on this technique. Scientific occiden- tal literature tends to consider it innocuous for smoking cessation treatment, although, when practiced by a skilled physician, the positive effects of acupuncture cannot be denied. Moreover, effectiveness mechanisms of acupunc- ture remain unknown and require thorough research. CLOSING REMARKS Otorhinolaryngologists must be aware of available therapeutic modalities for nicotine dependence. Scientific knowledge, in addition to sensitivity and keenness will allow the physician to choose the most adequate and mo- tivating way to encourage patients to quit smoking, reduce unpleasant symptoms of abstinence and avoid relapses. REFERENCES 1. Musk AW, De Klerk NH. History of tobacco and health. Respirology 2003; 8: 286-90. 2. Prokhorov AV, Hudmon KS, Stancic N. Adolescent smoking: epi- demiology and approaches for achieving cessation. Pediatr Drugs 2003; 5: 1-10. 3. Cox LS, Africano NL, Tercyak KP, Taylor KL. Nicotine dependence treatment for patients with cancer. Review and recommendations. Cancer 2003; 98: 632-44. 4. Marques ACPR, Campana A, Gigliotti AP, Lourenço MTC, Ferreira MP, Laranjeira R. Consenso sobre o tratamento da dependência de nicotina. Rev Bras Psiquiatr 2001; 23: 200-14. 5. Phillips DE, Hill L, Weller P, Willett M, Bakewell R. Tobacco smoke and the upper airway. Clin Otolaryngol 2003; 28: 492-6. 6. Do Carmo JT, Pueyo AA. A adaptação ao português do Fagerström test for nicotine dependence (FTND) para avaliar a dependência e tolerância à nicotina em fumantes brasileiros. Rev Bras Med 2002; 59: 73-80. 7. Rosemberg J. Nicotina. Farmacodinâmica. Ação sobre os centros ner- vosos. Nicotino-dependência. In: Rosemberg J, Pandemia do tabag- ismo: enfoques históricos e atuais. Secretaria Estadual de Saúde de São Paulo, Centro de Vigilância Epidemiológica, 2002, pp. 43-9. 8. Khurana S, Batra V, Patkar AA, Leone FT. Twenty-first century to- bacco use: it is not just a risk factor anymore. Respir Med 2003; 97: 295-301. 9. Vasconcelos GM, Struchiner CJ, Suarez-Kurt G. CYP2A6 genetic polymorphisms and correlation with smoking status in Brazilians. Pharmacogen J 2005; 5: 42-8. 10. Furtado RD. Implicações anestésicas do tabagismo. Rev Bras Anes- tesiol 2002; 52: 354-67. 11. Rose JE, Behm FM, Westman EC, Mathew RJ, London ED, Hawk TC et al. PET studies of the influences of nicotine on neural systems in cigarette smokers. Am J Psychiatry 2003; 160: 232-33. 12. Dani JA. Roles of dopamine signaling in nicotine addiction. Mol Psychiatry 2003; 8: 255-6. 13. Jain A. Treating nicotine addiction. BMJ 2003; 327: 1394-5. 14. Grable JC, Ternullo S. Smoking cessation from office to bedside. Postgrad Med 2003; 114: 45-54. 15. Tonnesen P, Tonstad S, Hjalmarson A, Lebargy F, Van Spiegel PI, Hider A et al. A multicentre, randomized, double-blind, placebo- controlled, 1-year study of bupropion SR for smoking cessation. J Int Med 2003; 254: 184-92. 16. Kolber M, Spooner GR, Szafran O. Adverse events with Zyban (bu- propion). CMAJ 2003; 169: 103-4. 17. De Graff Jr. AC. Pharmacologic therapy for nicotine addiction. Chest 2002; 122: 392-3. 18. Marlow SP, Stoller JK. Smoking cessation. Respir Care 2003; 48: 1238-54. 19. Brasil. Ministério da Saúde. Instituto Nacional do Câncer (INCA). Abordagem e Tratamento do fumante - Consenso 2001. Rio de Ja- neiro, INCA, 2001, 38 p. 20. Haggsträm FM, Chatkin JM, Cavalet-Blanco D, Rodin V, Fritscher CC. Tratamento do tabagismo com bupropion e reposição nicotínica. J Pneumol 2001; 27: 255-61. 21. NIH Consensus Development Panel on Acupuncture. Acupuncture. JAMA 1998; 280: 1518-24. 22. He D, Medbo JI, Hostmark AT. Effect of acupuncture on smoking cessation or reduction: an 8-month and 5-year follow-up study. Prev Med 2001; 33: 364-72. 23. Linde K, Vickers A, Hondras M, Riet G, Thormählen J, Berman B et al. Systematic reviews of complementary therapies - an annotated bibliography. Part 1: Acupuncture. BMC Complement Altern Med 2001; 1: 3. 24. Balbani APS, Montovani JC. Monóxido de carbono endógeno e as vias aéreas. Rev Bras Alergia Imunopatol 2002; 25: 116-21. 25. Britton J, Jarvis M, McNeill A, Bates C, Cuthbertson L, Godfrey C. Treat- ing nicotine addiction. Am J Respir Crit Care Med 2001; 164: 13-5. Methods for smoking cessation and treatment of nicotine dependence INTRODUCTION Literature Review Nicotine Pharmacology Nicotine actions Nicotine Chemical Dependency Treatment of Nicotine Dependency Patient and Family Counseling Pharmacotherapy First-line Therapy Bupropion Nicotine Replacement Therapy (NRT) Second-Line Therapy Other therapies Acupuncture Cognitive-behavioral Therapy and Self-support groups Assessment of Response to Treatment A National Study DISCUSSION CLOSING REMARKS REFERENCES 
work_2bo5gpp6gnejrimsjeywqboft4	----	Mediterranean Sea Becoming Cleaner NOTES, NEWS & COMMENTS Mediterranean Sea Becoming Cleaner That the Mediterranean has never been more 'swimma- ble' was the view expressed recently by scientists and offi- cials meeting in Athens, Greece, at the Mediterranean anti- pollution headquarters of the United Nations Environ- ment Programme (UNEP). 'If you travel around the basin and take a good look, you see lots of progress in making the swimming waters, the sandy beaches, the shellfish and their breeding waters, cleaner, safer, and healthier', asserted Aldo Manos, the impressive Italian who directs the coor- dinating Unit of UNEP's Mediterranean Action Plan (MAP). 'Take municipal sewage, for example. At least 30% of it is now properly treated and piped out to sea where it does no harm. Indeed, it does some good as it feeds the fish. Only a few years ago barely 10% of Mediterranean municipal sewage received any treatment. Several major cities are currently constructing sizeable treatment facilities. For example, municipal authorities are building an immense sewage treatment plant on the island of Psitalia for the four million inhabitants of Athens and its suburbs. The city of Istanbul has launched a $200 million project to clean up the once-glorious, now-inglorious, Golden Horn. This means preventing the dumping of raw sewage, industrial waste, and offal of slaughter-houses, into the sea.' Aldo Manos continued: 'Recently, UNEP sent a mission to Alexandria to explore ways and means of disposing safely and effi- ciently of the Egyptian city's sewage. One option is by very long pipelines out to sea, another is treatment on land and use of purified wastewater for irrigation to reclaim the desert.' Further Examples of Improvement Numerous other examples could be cited, reflecting a gradually-changing new mentality among the peoples of the Mediterranean. Almost a decade ago the town of Neum in southern Yugoslavia decided to build a complex of coas- tal hotels with 15,000 beds. Sewage was to be discharged in the middle of Mali Ston Bay at an estimated cost of $1.5 million. But the magnificent resort of Dubrovnik, only 60 kilometres to the east, had been planning to breed shellfish in Mali Ston Bay, as the Romans did 2,000 years ago, and they opposed Neum's hotel-and-sewage plan. In April of this year, Dubrovnik and Neum signed an agreement, call- ing for a much longer, much more expensive, pipeline (17 kilometres in length and costing $5 millions) that will cross the peninsula and, after treatment, discharge sewage into the open Adriatic. So, Neum will construct its hotels and Dubrovnik will increase its shellfish production to some 40,000 tonnes a year. At last year's meeting in Genoa to commemorate 10 years of Mediterranean Action Plan (MAP) activities, Mediterranean governments pledged themselves, as a priority, to 'build sewage treatment-plants in all cities around the Mediterranean with more than 100,000 inha- bitants, and appropriate outfalls and/or appropriate treat- ment plants for all towns with more than 10,000 inhabi- tants, during the second Mediterranean decade'. There are today around 90 Mediterranean coastal cities with a popu- lation exceeding 100,000, and approximately 600 with populations of more than 10,000. Another of the Genoa meeting's '10 targets by 1995' is the 'establishment of reception facilities for dirty ballast- waters and other oily residues received from tankers and ships in ports of the Mediterranean'. Some 300 million tons of petroleum are shipped across the Mediterranean to and from 18 oil-handling ports. Only 9 or 10 of them possess adequate reception facilities. 'Ad- mittedly there's still a great deal to be done in the fight against Mediterranean coastal pollution, and talking about the next decade discourages some people because it seems such a long time', concedes Aldo Manos. 'All right, I won't defend the indefensible delays in implementing the Medi- terranean Action Plan by saying that Rome wasn't built in a day. Yes, it is taking too long. We're all impatient, but we are definitely making progress.' Some more examples of advances are that 'between 1983 and 1985, Spain spent 7 [thousand million] pesetas (about US $40 millions) on beach protection or improvement, resort access roads, pedestrian paths, and other environ- mentally-sound projects. Almost five times that amount was expended between 1975 and 1985 on water-supply, sanitation, and sewage networks, for 181 Spanish Mediter- ranean communities. The vast majority now have ad- equate facilities. If you go to a beach in the south of Cyprus, you find at 100-yards' [91.4 m] intervals giant oil-drums, painted in attractive colours and converted into trash- barrels. No one has any reason or excuse to litter the beach. And they've installed proper toilet facilities: that's a sine qua non for beaches where families go for the whole day.' The Senior Marine Scientist at the UNEP Mediterranean headquarters, Dr Ljubomir Jeftic, is also optimistic about the way things are going—even if he, too, is disappointed by the slowness of the action. 'For the first time, at Genoa last year, the Mediterranean governments finally agreed on temporary environmental quality criteria for their bathing waters. They adopted the World Health Organization (WHO)-UNEP standards based on a maximum [concen- tration] of faecal [coliform Bacteria]. True, the criteria may not be perfect but I consider going from no common stand- ards to a common standard for safe swimming-waters a great leap forward for Mediterranean countries', said Dr Jeftic. Eighteenth Mediterranean Coastal State Ready to Join? Incidentally, for the past 10 years most stories about Mediterranean pollution meetings and activities have re- ferred to the presence or the participation of' 17 of the 18 Mediterranean coastal States'. Albania was never to be seen; but in Genoa last autumn, two Albanian observers were present. It is entirely possible that Albania will join its 17 'neighbours' in the Mediterranean anti-pollution... pro- gramme within the next year. Already a remarkable exam- ple of how environmental concern can overcome political conflict, the Mediterranean may soon offer an even more extraordinary picture of environmental unanimity. Dr Jeftic, a Yugoslav scientist who has worked in Zagreb, the University of Warsaw, the University of Kansas ('where the nearest sea was one of wheat'), and the Brook- haven National Laboratory on Long Island (USA), pointed to the substantial development of national pollution mon- itoring programmes in the 17 MAP countries: 'Libya and Egypt have two new monitoring programmes. We expect to sign four agreements for programmes within six months with Greece, Turkey, Syria, and Tunisia. Seven countries (Algeria, Morocco, Cyprus, Malta, Lebanon, Israel, and Yugoslavia) have ongoing programmes. France, Italy, Spain, and Monaco, are preparing theirs. 'I think it is important to keep in mind that all these anti-pollution activities do not produce immediately visible results. It takes time for them to be seen and felt.' 'Another very important activity we have just agreed on is a 10-years' plan to assess all the substances on the 'black' 267 Environmental Conservation, Vol. 13, No. 3, Autumn 1986—© 1986 The Foundation for Environmental Conservation—Printed in Switzerland. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0376892900036377 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:29, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0376892900036377 https://www.cambridge.org/core 268 Environmental Conservation and the 'grey' lists of the treaty on land-based sources of pollution—not just to assess their sources, levels of pollu- tion, and effects on people and marine life, but to propose concrete measures to do something about them. We are no longer merely furnishing facts. The substances I am talking about include, among many others, used motor oil, mer- cury, cadmium, radioactive ones, pesticides and other organic pollutants on the 'black' list and, on the 'grey' list, lead, zinc, tin, chromium, silver, crude oil, detergents, and pathogenic microorganisms.' Shipping Industry Involvement The European Community has been a very active parti- cipant in the Mediterranean Action Plan. Recently it spon- sored a workshop on the shipping industry and the marine environment, in Athens, that was organized by the Hell- enic Marine Environment Protection Association (HEL- MEPA). 'When we set out to interest shipowners, captains, and crews, in protecting the sea from pollution, I was very sceptical', admitted Dimitris Mitsatsos, Director-General of HELMEPA. 'Well, in only four years we have enlisted 400 ships, over 3,000 officers and sailors, and most Greek shipowners. We have succeeded in very slowly changing the mentality of thousands of seafarers, and in getting through to their consciences. It is a measure of our success that the Athens workshop [in June 1986], under EEC aus- pices and with the participation of Beate Weber, the chair- woman of the Environmental Committee of the European Parliament, urged 'the general adoption and extension of HELMEPA's approach to merchant marines on a world- wide basis'.' The Director of UNEP's MAP, Aldo Manos, mentioned, as another indication of Mediterranean governments' seri- ousness, the ratification by Greece on 20 June of the treaty on Specially Protected Areas. This brought the number of ratifying countries to six plus the European Community, as a result of which the treaty will enter into force very short- ly- PAUL EVAN RESS Regional Office for Europe United Nations Environment Programme Avenue Trembley 16 Petit-Saconnex Geneva, Switzerland. Environmental Bankruptcy in Haiti Christopher Columbus described Haiti as 'Filled with trees of a thousand kinds and tall'. But no longer is it so; indeed, if present trends continue, this small Caribbean island nation on the doorstep of the USA could be com- pletely deforested within fifteen years. Haiti is experiencing an environmental crisis as severe as are those of the African countries bordering the Sahara. Five years ago, FAO estimated that Haiti was losing the fertility of 6,000 hectares (ca 15,000 acres) of land each year. The rivers and streams are choked with mud, and far out to sea beyond the capital, Port au Prince, the water is stained brown with mud. Rapid population growth, hurri- canes, and frequent droughts and flooding, have all contributed to the crisis, but the real blame lies with decades of neglect under the regimes of the Duvaliers, both father and son. Evidence of that mismanagement is seen on the border with the Dominican Republic, where, on the Dominican side, there is thick forest, whereas on the other side the hillsides are bare. Neglect of investment in agriculture, forestry, and sources of energy, has left the vast majority of Haitians with no alternative other than to fell the trees and over-use the land. Haiti is one of the few countries where agricultural productivity is actually declining. With fertile land becoming increasingly scarce, more and more villagers are turning to firewood collection. Virtually all the trees around the capital have been cleared, and the only significant stands left are in the remoter areas in the northern part of the island; but now these, too, are rapidly being felled. According to a World Bank Survey, the cur- rent 2.4 million cubic metres' deficit of firewood is destined nearly to treble by the turn of the century. There are few energy alternatives. An American-built hydroelectric dam at Peligre in the mountains near the Dominican border is clogged with silt and operating at only one-quarter of its intended capacity. A recent expert survey concluded that it may have to shut down if siltation is not stopped. Many villagers have no alternative other than to leave the land—the drift to the slums of Port au Prince has become a torrent. Virtually everyone you talk to in the slums is a recent arrival, their dream being to escape to the United States. The US Coastguard now keeps a permanent flotilla off Haiti, to intercept illegal immigrants who are prepared to make the risky crossing to Florida. A massive relief effort is needed to help the post-Duval- ier Government to begin the work of rehabilitation—by no means a hopeless task, as for example under a US AID $8 million scheme, volunteer groups have encouraged villag- ers to plant 17 million trees in the past four years. Of those trees about 20% survive, which is a very respectable rate. But it is going to take more than tree-planting to rescue Haiti from such a long-term decline. According to UNI- CEF, 73% of all Haitian children of school age are suffering from some form of malnutrition. Sooner rather than later, the new Government will have to turn far more of its attention than currently to improving the lot of the vast majority of Haiti's poor, who must live with the day-to-day realities of environmental bankruptcy. ROBERT P. LAMB, Director TVE Television Trust for the Environment 46 Charlotte Street London WIPILX England UK. New Northern Look The Arctic Institute of North America, now of the Uni- versity of Calgary, is updating its newsletter Information North, which it has published over the years as an informal vehicle for keeping its subscribers informed. In the past, such newsletters tended to focus on membership matters, and accordingly to be cast in a chatty framework with sto- https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0376892900036377 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:29, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0376892900036377 https://www.cambridge.org/core 
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work_2ffpinb73ze6xhcemfxydzdbhu	----	Introduction Science in Context 12, 1 (1999), pp. 3-6 Introduction* Much has been written on the present and future interactions between science and law, less so of their past. This issue brings together scholarship from history, anthropology, philosophy, and social studies of science in the attempt to add a much-needed historical perspective to the important discourse concerning the relations between science and law. The issue consists of nine papers arranged in chronological order, except for the two synthetic papers that open and close it. The papers vary widely in subject and approach. However, out of this diversity several themes emerge. Scientific expert testimony has been a cause of much concern lately in Anglo- American courts. It is a commonplace today that "junk science" introduced into the courts by partisan scientific experts presents a dramatic new problem that demands immediate redress. However, in the opening article, I show that discon- tent with scientific expertise has existed ever since there were scientific expert witnesses in the courts. Tracing the development of scientific expert testimony in eighteenth- and nineteenth-century England, I demonstrate that the debate over the meaning of conflicting scientific expert testimonies and the ways to resolve the conflicts had acquired by the mid-nineteenth century all the features that today are blithely assumed to be new. The courts' ability to handle complex science-rich cases has been constantly called into question. Critics have argued that judges cannot make appropriate decisions because they lack technical training, and that jurors do not comprehend the complexity of the evidence they are supposed to analyze. Paternity cases in which men were determined to be fathers, even though blood tests could prove that biological paternity was impossible, have served as a much-cited example of the judicial misuse of science. However, analyzing the role paternity blood tests played in divorce cases throughout the twentieth century, Shari Rudavsky shows that judicial distaste for science in paternity cases does not come from a failure to understand science. The goals of the law, Rudavsky reminds us, are not always consistent with those of science. And when the interest of a child is at stake, the courts often prefer a social definition of paternity to a biological one. The courts, then, are not neutral gatekeepers that simply exclude from the courtroom unreliable scientific testimony, but rather active partners in the pro- duction and maintenance of credible scientific evidence. As such, the courts prefer * It gives me great pleasure to acknowledge the generous support of Dibner Institute for the History of Science and Technology, without which this interdisciplinary effort would not have reached fruition. use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0269889700003288 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core terms of https://www.cambridge.org/core/terms https://doi.org/10.1017/S0269889700003288 https://www.cambridge.org/core TAL GOLAN sometimes to ignore certain kinds of legitimate scientific evidence, while privileging other sorts of a more questionably scientific nature. Fingerprint evidence, perhaps the most popular sort of scientific evidence in the twentieth century, is a good example. The community of fingerprint experts was always troubled by the lack of an easily articulated scientific foundation for its practices. Tracing the century-long debate over the "scientific" nature of fingerprint evidence, Simon Cole describes how the community of fingerprint experts was able to keep its lingering disagree- ments private, thereby maintaining its authority in the courtroom. In doing so, Cole suggests, fingerprint experts were allowed remarkable leeway by courts who were interested in preserving a credible technique for criminal identification. The legal application of scientific evidence involves not only the determination of its scientific status but also of its legal status. For example, the legal status of medical images has always been fraught with innate contradictions. On the one hand, they seem to allow the jury to eliminate the witness and see the "bare facts" with their own eyes. On the other hand, they have been recognized as prone to deceit and manipulation. Understood the first way, medical images are primary evidence, affording the greatest certainty about what they depict. Understood the second way, they are, at best, secondary evidence, only resorted to out of necessity in cases where primary evidence is insufficient. Addressing the history of medical images in the courts, from late nineteenth-century radiography to twentieth- century computerized tomography (CT) and positron emission tomography (PET), Joseph Dumit describes the ways in which these images came to be understood in court. The late twentieth-century interpretation of intricate representations as real and objective, Dumit suggests, exacerbates the innate contradictions that have always accompanied the use of scientific images in the courts and brings the issue to a point of crisis. Science has influenced not only legal fact-finding and decision-making proce- dures but also legal education. During the nineteenth century many jurists hoped that, like geometry, the law too could be reduced to first principles from which all necessary consequences could be deduced. Others yet hoped that, like geology and biology, the law could be explained developmentally through the history of its empirical content. Howard Schweber examines the particular conceptions of "science" in antebellum America that were incorporated into the idea of "legal science." In the 1870s, Schweber suggests, these conceptions were incorporated into Christopher Columbus Langdell's famous case method, which continues to influence both legal education and jurisprudence to this day. Of course, law has affected science no less than science has affected law. For example, the conception of scientific information as a tangible asset ushers in the whole legal apparatus designed to deal with issues such as who owns it, how is it transferred, and who is allowed to use it. We are accustomed to think of legal disputes over the ownership of scientific knowledge as a relatively modern pheno- menon. However, as James Voelkel demonstrates, such disputes stretch back at least to the early-modern period. Describing a legal dispute during the opening use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0269889700003288 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core terms of https://www.cambridge.org/core/terms https://doi.org/10.1017/S0269889700003288 https://www.cambridge.org/core Introduction years of the seventeenth century between Johannes Kepler and Tycho Brahe's heirs over the right to capitalize on Tycho's astronomical observations, Voelkel shows how the legal dispute determined Kepler's choice of research, and, more particularly, the way in which that research was presented in his revolutionary Astronomia Nova (1609). With the advent of twentieth-century biotechnologies, the transformation of science from intangible knowledge into tangible commodities has taken a bizarre turn. Revisiting the much-critiqued case of Moore v. Regents of the University of California, in which John Moore claimed property rights in a patented cell line made from his spleen, Hannah Landecker maps the nexus of science, law, and commerce in which human tissue is transformed into a patentable cell line. Tracing the intertwined development of the relevant scientific and legal discourses, Lan- decker shows how legal reliance on scientific explanation can lead to uncritical adoption of ethical and political biases already built into the objects and practices of contemporary biotechnology. The negotiation concerning the proper relations between legal and scientific authorities, and how much deference science should command in relation to other modes of knowledge are at the center of Jessica Riskin's paper. Riskin describes a legal dispute in 1780 France between an amateurphysicien and his neighbors who demanded that he remove a lightning rod he had put on his chimney. This most local of disputes turned into a three-year court battle concerning the proper relations between facts and theory, between center and periphery, and between legal and scientific authorities. The case launched the career of a young and unknown lawyer, Maximilien Robespierre, who argued successfully against the need for expert mediation between the judges and the facts. A decade later, Riskin suggests, this view became the official policy of the newly founded Republic, leading to the abolishment of scientific expertise from French officialdom. Finally, in the paper that closes the volume, Yemima and Hanina Ben-Menahem examine the philosophical bases for our expectations that science and law provide uniquely correct answers to the problems they address. Comparing the different ways in which philosophers of science and philosophers of law have approached this requirement of "one uniquely correct answer," Yemima and Hanina Ben- Menahem suggest significant analogies between the two disciplines, and offer important insights into their practices and philosophies. Both law and science, Yemima and Hanina Ben-Menahem conclude, have developed surprisingly similar strategies to cope with indeterminacy, thereby preserving the legitimacy of their fact-finding and decision-making processes. The relationships between science and law over the past centuries have been varied and complex. As the essays in this volume demonstrate, the study of this relationship allows us to address the ways in which society in different epochs has constructed its ideas about who is entitled to represent nature, what constitutes legitimate scientific and technological knowledge and practices, the criteria by which these are evaluated, and the social role of expertise — in short, how we have use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0269889700003288 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core terms of https://www.cambridge.org/core/terms https://doi.org/10.1017/S0269889700003288 https://www.cambridge.org/core TAL GOLAN understood and deployed truth, justice, knowledge, proof, and property. More research is needed before the interplay of science and law is sufficiently elucidated. It is my hope that the papers in this volume suggest the richness of this picture that has yet to emerge. Tal Golan Dibner Institute for the History of Science and Technology Massachusetts Institute of Technology use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0269889700003288 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core terms of https://www.cambridge.org/core/terms https://doi.org/10.1017/S0269889700003288 https://www.cambridge.org/core 
work_2hofxlrnifb5fay2so2ux4b52a	----	IN HER INTRODUCTION TO THE EN GLISH INSTITUTE’S E- BOOK ON PERI- ODIZATION, THE EDITOR, VIRGINIA JACKSON, REMARKS ON THE ABILITY of its “digital format” to invite innovative ways of interacting with texts. Marshall Brown’s article in the book, for example, allows readers to hear Joseph Haydn’s music while they read nineteenth- century literature, giving them an immediate understanding of the musical metaphors Brown uses for describing literary history. Our contemporary presence and capabilities in the digital world, Brown suggests, may help us to understand periods as “linked episodes within the rolling !ood of time,” enabling what Jackson describes as “a literary historical process” that “is not progress but wave, not transcendence” but, as Brown writes, “the metrics and bar lines shaping the pulse of history’” (Jackson, par. 4). "e authors of On Periodization suggest a practice of periodization that allows for si- multaneities: “a new plane of historicity on which several tempo- ralities unfold at once” (Jackson, par. 4). "is conception of time is made possible by the present moment, the (relatively) new technolo- gies we have in our midst, through which this e- book is expressed. "is “new plane” of simultaneities re!ects the primacy of the present in that the technologies we use are actively shaping how we experi- ence literature and literary history (Martin 153–56). Furthermore, while chronological periodization can dis- embed events from their places, our process of reading rhizomically in the digital world may move us to reconsider the primacy of place. "e pulsing wave may leave us wanting, but as scholars includ- ing Stephanie Fitzgerald, Hillary Wyss, Timothy Powell, and Wai Chee Dimock have suggested, other metaphors may enable us to break the vexing boundaries and narratives of progress inherent in (or inherited from) the process of periodization. As Dimock notes, many people still assume that the linear division of time—repre- sented by minutes and hours, as well as periods and eras—is an onto- logical truth, as if time were “a measuring tape, with #xed segments” that by its own force permeates all spaces over which we impose it. LISA BROOKS is John L. Loeb Associate Professor of the Humanities at Harvard University and author of The Common Pot: The Recovery of Native Space in the Northeast (U of Minnesota P, 2008). theories and methodologies The Primacy of the Present, the Primacy of Place: Navigating the Spiral of History in the Digital World $%&' ()**+& [ P M L A ,-. [ © / -0 / 12 3 4 5 67859 : ; < :=><=5 < ? ?7 @A <3 A7: 7B < 6 59 A@ < ] However, in concert with many Indigenous studies scholars, Dimock questions that as- sumption, revealing that in other places be- yond the “Western world” “a very different ontology of time prevails.” For her, it is the image of the spiral, so prevalent in the litera- tures of the Americas, that is most compel- ling (2; see also Cohen, “New En gland” 315). This spiral is embedded in place(s) but revolves through layers of generations, re- newing itself with each new birth. It cannot be !xed but is constantly moving in three- dimensional, multilayered space. It allows for recurrence and return but also for trans- formation. Its origins lie in ancient worlds, but it moves through our own bodies in the present, perhaps with a sense of irony. As the Muskogee poet Joy Harjo writes, “[W] hen the mythic spiral of time turned its beaded head and saw what was going on, it snapped” (In Mad Love 54). While a romantic reading inherited from salvage ethnography might suggest that the spiral’s “beaded head” was cut o" by modernity, a reading inspired by recent Native literary criticism might see the spiral as a dancer who “snapped” her beaded head !ercely, suddenly directing her gaze to- ward the incredulous world swirling around her. The phrase implies a break, a need to pay attention, a need for considered analy- sis from the perspective of the spiral, which embraces simultaneity (Fitzgerald and Wyss 272; Womack, Red 250–51; Kolosov 47). As Dimock notes, scholars such as Bene- dict Anderson and Anthony Gibbons have ar- gued that the linear measurement of time is “a mark of modernity, linked to the rise of the nation- state and the rule of the mechanical clock” (2). However, as Linda Tuhiwai Smith points out, the “emplotment” of time may also be a mark of colonization, whereby the concept of “modernity” parallels the sweep- ing narratives of “civilization” and “prog- ress” (55; see also Powell, Weems, and Owle 4–5; Wishart 307). As Dimock acknowledges, many colonized peoples retain alternative conceptions of time that share space, albeit unequally, with the ticking of the clock, an instrument that came to be known in the Western Abenaki language as papeezokwazik, “that thing which makes much noise and does nothing useful” (J. Bruchac 9; see also Laurent 290). It may be that in the digital “age,” if we choose to retain such a label, the measuring tape of time will become decreasingly useful and, perhaps, increasingly (self)destructive. This essay presents an opportunity to raise questions, to expose the “!ssures” that may open when the primacy of the present— that is, the possibilities of the digital world and the rise of Indigenous studies in global networks—is put in conversation with the primacy of place, particularly the “Ameri- can” landscape that many readers of this vol- ume now inhabit (Martin 154). What would it mean to privilege place when discussing periodization, to consider, as the geographer David Wishart does, that “period” and “re- gion” are deeply linked narratives? What dif- ferent shape might literary history take if we account for distinct conceptions of time that arise simultaneously from particular places? How might Indigenous methodologies help answer some of the vexing questions that lit- erary historians ponder in our present world? Literary history did not emerge on this continent when Christopher Columbus ar- rived in 1492. As Colin Ca l loway w rote, “What Columbus ‘discovered’ was not a ‘new world’ but another old world” (14; see also Anderson 286). Multiple forms of textualities emerged from this “old world,” literary me- dia deeply intertwined with oral narratives, which in the last several centuries have also taken the form of alphabetic print. David Cu- sick’s History of the Six Nations (1825), for ex- ample, is one of several alphabetic texts that recount the narratives of the Haudenosaunee (Iroquois) Confederacy, drawing on wampum belts, written accounts by Haudenosaunee scribes, and extended oral narratives relayed in the longhouse.1 Cusick allows for multiple 1 2 7 . 2 ] Lisa Brooks  t h e o r ie s a n d m e t h o d o lo g ie s reckonings of periodization in his narrative, even as he calls our attention to the recent- ness of Columbus’s voyage. For example, in telling the story of the “stonish giants,” he relates that this “invasion” of “the country” by a nation from the Mississippi River oc- curred “about two hundred and fifty win- ters since the people left the mountain,” or “perhaps about 1250 years before Columbus discovered the America[s] ” (20). !is account of an actual battle is layered with narratives about an ongoing, spiraling contest between "gures of the upper world of the sky and the lower world of the waters, which spread rhi- zomically into the past and future, as well as through networks that cross the continent. To interpret this one episode in Cusick ’s narrative with insight requires reading rhi- zomically within the extensive narratives of the Haudenosaunee Confederacy and the re- lated oral traditions and graphic media of the continent. Our intepretive travels would take us east to the Wabanaki coast, where petro- glyphs of the same "gures can be viewed in stone; west to the Mississippi, where iconog- raphy of the upper and lower worlds appears in pottery and earthworks; north to the An- ishinaabe country, where similar stories are mapped in birchbark scrolls; and south to Mesoamerica, where related narratives are carried in codices, sung in poetry, and in- scribed on painted walls (Brotherston; Mann; Mann and Fields; Quilter et al.; Reilly and Garber; Townsend and Sharp; Tedlock; Popol Vuh). We might be led to these places by con- temporary literature, tribal history, or “wam- pum chronicles” on the Web (Bonaparte). Scholars have only recently begun to turn their attention to the “wealth of literary me- dia” in the Americas and to the ways in which these media and their associated oral litera- tures might redirect our questions toward new interpretative possibilities (Brotherston 4). What will American literary history look like if we take seriously Indigenous frame- works for reckoning time and conceiving of literature? To place Cusick ’s narrative in what Roger Echo- Hawk terms “Ancient American history,” for example, we would be compelled to consider Haudenosaunee “epochs” as relayed in the longhouse, as Bar- bara Mann does, and, as Gordon Brotherston does, to consider the text’s relation to Quiché Mayan “worlds” and to the larger “Mother Corn era,” proposed by Echo- Hawk, which encompasses the emergence of the Haude- nosaunee Great Law during the agricultural revolution and ties the narrative to the emer- gence of the Quiché nation as the “people of corn,” as related in the epic Popol Vuh. What would it mean to acknowledge that time does not necessarily roll over us like a #ood or a measuring tape? What if time also operates like a spiral? What would it mean to think in terms of “worlds” rather than “periods”? How might these alternative frameworks help us to work “creatively,” as Timothy Powell asks, to “free” American literary history “from the taxonomic grid of chronological time that commences with the moment of coloniza- tion?” (Powell, Weems, and Owle 8). Instead of answering these questions in full, I hope to raise possibilities, examples that might cause us to “snap” our heads and pay close attention to “what [is] going on” around us. Let me offer an example drawn from a place I have come to know well, Harvard Yard, at the time of the college’s origins, when the #edgling university was located just downriver from the Massachusett Saunk- skwa’s town of Missitekw.2 Here, in the pre- paratory school beside Harvard Hall and the Harvard Indian College, En glish and Indian students learned the “truth” about time from their primers, including Thomas Shepard’s Catechism. In answer to the question “How may it be proved that there is a God?” stu- dents would have repeated by rote, “From time, for we see that months come before years, and weeks before months, and dayes before weeks, and houres before dayes . . . and a minute of time before an hour, and there-  The Primacy of the Present, the Primacy of Place [ P M L A t h e o r ie s a n d m e t h o d o lo g ie s fore there must necessarily be some minute of time before the world began, & therefore a God who gave it this beginning.” !e primer relayed a tricky but potentially persuasive form of circular reasoning: the existence of linear, divided time was a fact of the world, and since it could presumably be observed by all humankind, the movement of time dem- onstrated the orderly vision of Jehovah and the world he created. !erefore, time was an a priori creation of the divinity, and the divin- ity could be witnessed in chronological time. Yet Wa mpa noag students li ke Ca leb Cheeshateaumuck and Joel Iacoomes, as well as En glish missionary students like Matthew Mayhew, would have read and recited a Wam- panoag version of the same question. “Oohgôk je korâmen neh átta Mandouh?” ‘How prove you that there is a God?’ the bilingual “Some Helps for the Indians” asked (Clark 343). Here Mandouh referred to an Algonquian conception of ambivalent, ambiguous power that moves through all beings. Among the rote answers o"ered by the text was the reply “there is Mandouh common to all men, nor is it changed by the changes of times; therefore it must arise from some light which is com- mon to all men” (Clark 344). !is depiction ref lected and reinforced the presence of an inde#nable spirit or “light” that inhabited a spiraling, spatialized conception of “deep time,” permeating all spaces and temporali- ties (M. Bruchac 56; see also Dimock 6; Pow- ell, Weems, and Owle 3; Silverman 26–28, 59). T he D a kot a nove l i s t (a nd Ha r v a rd alumna) Susan Power demonstrates a similar conception of layered time in her compelling short story “First Fruits,” based on the his- tory of the Harvard Indian College. Empha- sizing the primacy of place and the spiral of history, Powers creates a young protagonist steeped in Indigenous history who is seeking to understand a new, seemingly foreign place as a freshman at Harvard College. Although Georgiana Lorraine Shoestring, or “George,” occupies a contemporary moment, a place we share, she pursues a deep relationship with her predecessor, Caleb Cheeshateaumuck. She #nds herself “going out of my way, wan- dering behind Matthews Hall, to that spot where the Indian College once stood” every day, “looking for Caleb” (126). For her the history of the Indian College is an “elusive,” animated space that permeates old buildings and new friendships. George #nds her place at Harvard by imaginatively understanding Caleb’s, and, ultimately, it is writing that al- lows her to #nd “Caleb Cheeshateaumuck ’s elusive spirit” (131). Literature is the vehicle that enables her to travel. Her own writing carries her beyond Har vard ’s halls to Ca- leb’s home on the island of Noepe (Martha’s Vineyard), where his “spirit” has rejoined his family. In one of the most powerful passages in the story, George re$ects, “I was taught to believe that time is not a linear stream, but a hoop spinning forward like a wheel, where ever y t hing is connected a nd ever y t hing is eternal. In this cosmology, I am here be- cause Caleb came before me, and he was here in anticipation of me” (127). !is statement has proven potent, not only for the imagined Dakota student but also for countless Native people who have come through Harvard ’s halls, feeling a deep, if con$icted, connection to the young men who came before them and to the buried histories and descendant com- munities that continue to inhabit this place. Indeed, as George discovers, literature itself embodies the spiral of history. As Di- mock notes, “Literature is the home of non- standard space and time” (4; see also Cohen, “New England” 315). We love fiction for its ability to transport us to imagined places and times without requiring us to follow a strictly chronological path (Martin 155). So why are we compelled to contain literature within the bounds of literary periods? What would it mean to follow paths of intellectual kinship, moving through rhizomic networks of in$u- ence and inquiry? What would Web- based networks of literature look like?3 As Fitzgerald 1 2 7 . 2 ] Lisa Brooks  t h e o r ie s a n d m e t h o d o lo g ie s and Wyss suggest, we might adopt Robert Warrior’s model of “intellectual trade routes,” which already guides our readings of Native American literature, more broadly (Fitzgerald and Wyss 272; Warrior 181). !is process of reading rhizomically “across time,” common in Indigenous studies, enables us to apply the insights of the nineteenth- century Pe- quot author William Apess to contemporary questions of sovereignty, identity, and justice; or to see the ancient Pueblo story of Yellow Woman, as Leslie Silko does, moving through the life of a contemporary woman (Storyteller 55); or to read glyphs and their associated oral traditions as a “map to the next world,” in the words of Harjo’s poetic vision (“Map” 19). The digital world is moving in concert with Indigenous literary traditions, carrying us to a place where we are already reading with simultaneity across intellectual trade routes. Our students do this kind of lateral, rhizomic reading without pause. At least half the texts I assign in my courses are now accessible on the Web, and nearly every question my students pose as they are reading can be answered by pursuing a branch into the digital world. !ey can answer old questions about word de"ni- tions, historical context, author biography, or cultural frameworks instantaneously. !e questions that drove me to the library at 6:00 a.m. while I was in graduate school can now usually be answered, even at 3:00 a.m., by the Web. Texts as rare and fragile as the Eliot Bi- ble, which Caleb Cheeshateaumuck held in his hands, can be viewed as PDF "les. Places can be mapped and viewed by satellite on Google Maps. We can instantly communicate with each other, seeking answers to our most press- ing questions, by e-mail, Skype, or Facebook. Even a technophobe like me can appreciate the possibilities o#ered by the digital world. My students, as one thesis advisee explained to me, were born into this space. !ey do not know a world that is not wired. Sometimes, Web- based intellectual trade routes take us to places unimagined when we began. Some- times, they drive us to distraction. However, they are the reality of our world, perhaps part of the scenario that makes the spiral of time snap her beaded head, at the newness not of modernity but of the ancient networks of thinking renewed in innovative forms. Our globalized, digital world, as scholars including Matt Cohen (Networked Wilder- ness), Jerome McGann, and Walter Mignolo have suggested, may be more like the world in which Caleb lived than we realize. Further- more, as Timothy Powell demonstrates, this space offers “dynamic new possibilities for presenting stories from the Native American oral tradition,” a form not easily contained by “the logic of periodization” (Powell, Weems, and Owle 2). Just as the vehicle of writing enabled George Shoestring to "nd Caleb in an unexpected place, the vehicle of the Web enables us to create spaces for oral traditions that continue to live and evolve within Native communities. In “Native/ American Digital Storytelling,” an online essay that provides its readers with links to digital maps, Web sites, and digital video, Powell allows his readers to view and listen to Freeman Owle, a highly respected Eastern Cherokee storyteller, re- late two signi"cant Cherokee narratives in a contemporary setting, the teller surrounded by books. Owle’s account is not le$ to stand on its own, as an artifact of Cherokee culture. Rather, Powell demonstrates through his analysis the complexity of oral traditions and their operation within multiple temporalities. For example, Powell ’s analysis reveals how Owle’s story of the Great Buzzard and the origin of Cherokee medicinal knowledge use a mode he calls “ancient present tense,” both “going back to the beginning of time” and occurring in the moment of telling (Pow- ell, Weems, and Owle 10; see also Basso 6, 33; Connelly 75). Powell demonstrates that gaining knowledge through interpretation is an ongoing process. The story does not simply relate how an object of knowledge was acquired; rather, it functions as a vehicle  The Primacy of the Present, the Primacy of Place [ P M L A t h e o r ie s a n d m e t h o d o lo g ie s for transmitting knowledge. Furthermore, that knowledge is not contained within the bounds of the story, captured in a book or YouTube clip, but is developed in contempo- rary Wolf Clan women’s interaction with the narrative, as well as with the plants and peo- ple through which the knowledge is practiced in a particular place. Interpretation occurs in multiple media—digital, oral, land- based, material—and through the intimacy inher- ent in the relationship between a healer and her kin. Just as the story operates in multiple temporalities, there are also multiple layers of access and interpretation. Oral traditions such as this story, Powell maintains, “provide a glimpse of vast temporal vistas or what might be called deep American literary history” (Powell, Weems, and Owle 2). “Instead of forcing native story telling into a rigid linear time frame of western ‘history,’” as some anthologies have attempted to do, assum- ing all oral traditions belong to the period be- fore colonization, Powell theorizes “alternative forms of temporality,” which move through Native oral traditions and “more accurately ac- count for the deep time and nonlinear move- ments of indigenous poetics.” His aspiration is that the “critique” and analysis he o"ers, in conversation with tribal historians, elders, and scholars, will “contribute to the ongoing pro- cess of recognizing the Native/ American oral tradition as a point of origin for American lit- erary history” (Powell, Weems, and Owle 3). #is is quite di"erent from proposing that Na- tive American origin stories be included as part of or precursor to American literary history. In this work, Powell suggests a new path for mapping American literary history, a spiraling cycle of emergence in an old place. Like Silko’s character Tayo in Ceremony, he calls American literary history to move through and acknowl- edge its own colonization and the colonization of the land, in order to emerge with new eyes into an old, but always transforming, space. Powell also performs “digital storytell- ing” by leading us through the digital world to the “site” of the Cherokee Nation, where we can view an image of Kituwah, the Cherokee Mother Town, and the “home” page of the contemporary nation, while we are listen- ing to Owle’s telling of the “Kituhwa Mound Story” (Powell, Weems, and Owle 15–16). As Eric Gary Anderson notes, “#e early and the contemporary are close enough to touch and are powerfully intertwined” in such “narrated places” (281). Kituwah is simultaneously the place where the nation and its “laws” emerged, where its oral traditions were inscribed, and from which its national $re was renewed and redistributed every year. It is also the site of contemporary contests. As recently as 2010, the ancient mound was threatened by the planned development of a Duke Energy sub- station.4 Just as they used the printing press to disseminate news and arguments against Removal during the nineteenth century, the Cherokee Nation used the Web to communi- cate with tribal citizens and the general public, stirring opposition to the project, the digi- tal world o"ering new technology to expose threats to the community and its motherland. #e nation is located at once in the deep, ex- tending layers of Kituwah, in Oklahoma and North Carolina, and in the networks of the digital world. With the technology of the Web, Powell’s essay puts us in Cherokee space; like a glyph, the image of Kituwah makes us hold the land and its stories, ancient and contem- porary, in our mind, our wired present spiral- ing us back to the primacy of place. In his essay “#e Presence of Early Native Studies,” Anderson writes, “Known, lived, remembered, and living, the land is quite literally the grounds of Native knowledge, literacy, and textualities” (281). Likewise, in- stead of “theorizing ‘America’ as an ideology or a nation,” Powell seeks to “look beyond the topynym” of “America” to consider a “liter- ary history of the land” (Powell, Weems, and Owle 3). #us, rather than think of American literature as a corpus centering around the emergence of the political body of the United 1 2 7 . 2 ] Lisa Brooks  t h e o r ie s a n d m e t h o d o lo g ie s States, we might consider the vast landscape of textualities that have emerged from this land. To do this, we will need to develop new old modes and methods of interpretation. A major aspect of this education will in- volve acknowledging the land that marks the “grounds” of knowledge and the “nations” where “t he Ancient Word ” has been “ in- scribed” and “implanted” (Popul Vuh 63). If we wish to follow Harjo’s map into “the next world,” we will need to turn our attention not only to textual media but also to map texts in- scribed in place, whether the “Storied Walls” of Mesoamerica and the southwest, the mnemonic petroglyphs carved on rock along great water- ways, or the striking mounds and sculptures built from earth, “achievements in science and aesthetics on a monumental scale,” all of which are deeply intertwined with oral traditions and contemporary literature (Allen 808).5 "e safe- guarding of places like Kituwah is necessary to protect not only the sovereignty and historical heritage of the Cherokee Nation but also the ar- chives of the land. Such earthworks may, as the literary scholar Chad Allen suggests, represent “a still readable form of indigenous writing— not simply on the land but literally through the medium of the land itself—toward nothing less than imagination of possible renewal” (Allen 808; see also Hedge Coke). As many contem- porary Native writers, such as Silko, Louise Erdrich, Allison Hedge Coke, and Harjo, have noted, the land itself can operate as a living text map, steering our ability to navigate an ever- changing world (Silko, “Interior and Exterior Landscapes” 32). Along with the Web, texts, petroglyphs, and wampum belts, the land is part of the “spiral on the road of knowledge” (Harjo, “Map” 20). Like Harjo’s readers, we will have to read a “map printed with the blood of history” and to navigate by our “mother’s voice,” but together we might, as Harjo urges, “make our own map” and emerge into a new old world, spiraling in place (“Map”). NOTES 1. The longhouse of the Haudenosaunee or Iroquois Confederacy represents the longstanding, complex gover- nance system of the confederacy; the geographic space of Haudenosaunee territory; and the physical structure in which councils and ceremonies have traditionally been held. 2. "is Saunkskwa, or female leader, was known also as “Squa Sachem” and “the Massachusett Queen.” "e towns of Cambridge and Charlestown were established with her consent, and she reserved lands for herself and her people on the west side of Mystic Ponds. See, e.g., Paige 383; Shurtle# 254, 394; Frothingham 35–36. 3. "e Rossetti Archive (www .rossettiarchive .org), an online database providing access to all of Dante Gabriel Rossetti’s textual and pictorial works, is an early, compel- ling answer to that question, although it still relies on tra- ditional periodization for part of its organizing principle. For more on the development of the archive, see McGann. 4. Even as I was rereading Powell’s essay, published in 2006, the digital world took me to articles from 2010 about the potential development near Kituwah mound (McKie; Carpenter). "is experience exempli$es the kind of rhizomic reading in which we are constantly engaged. "e crisis was resolved through negotiations between the Eastern Band of the Cherokee and Duke Energy of the Carolinas, which led to the selection of an alternative site for the substation. 5. See, e.g., Womack, Drowning; Erdrich, Books and Tracks; Hedge Coke. See also Allen on Hedge Coke’s Blood Run; Womack, Red, on Harjo and the tie snake; Fitzgerald and Wyss on Erdrich’s Tracks; Quilter et al. WORKS CITED Allen, Chadwick. “Serpentine Figures, Sinuous Relations: "ematic Geometry in Allison Hedge Coke’s Blood Run.” American Literature 82.4 (2010): 807–34. Print. Anderson, Eric Gar y. “The Presence of Early Native Studies: A Response to Stephanie Fitzgerald and Hil- ary E. 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McKie, Scott. “Tribe Opposes Substation at Kituwah Site.” Cherokee One Feather. Cherokee One Feather, 8 Feb. 2010. Web. 20 Sept. 2011. Mignolo, Walter. !e Darker Side of the Renaissance. Ann Arbor: U of Michigan P, 2003. Print. Paige, Lucius Robinson. History of Cambridge. Boston: Houghton, 1877. Print. Popol Vuh: !e Mayan Book of the Dawn of Life. Trans. Dennis Tedlock. New York: Simon, 1996. Print. Powell, Timothy B., William Weems, and Freeman Owle. “Native/ American Digital Storytelling: Situating the Cherokee Oral Tradition within American Literary History.” Literature Compass 4.1 (2007): 1–23. Print. Power, Susan. “First Fruits.” Moonwalker. Minneapolis: Milkweed, 2002. 111–37. Print. Quilter, Je#rey, et al., curators. Storied Walls: Murals of the Americas. Peabody Museum of Archaeology and Ethnology. Peabody Museum of Archaeolog y and Ethnology, 2012. Web. Oct. 2011. Reilly, F. Kent, III and James F. Garber, eds. Ancient Ob- jects and Sacred Realms: Interpretations of Mississip- pian Iconography. Austin: U of Texas P, 2007. Print. Shepard, "omas. A Short Catechism. Cambridge: Samuel Green, 1654. Early En glish Books Online. Web. Sept. 2011. Shurtle#, Nathaniel B., ed. Records of the Governor and Company of Ma ssachu setts Bay in New En gland. Vol. 1. New York: AMF, 1968. Print. Silko, Leslie Marmon. Ceremony. New York: Vik ing, 1977. Print. ———. “Interior and Exterior Landscapes: The Pueblo Migration Stories.” Yellow Woman and a Beauty of the Spirit. New York: Touchstone, 1996. 25–47. Print. ———. Storyteller. New York: Arcade, 1981. Print. Silverman, David J. Faith and Boundaries: Colonists, Christianity, and Community among the Wampanoag Indians of Martha’s Vineyard, 1600–1871. New York: Cambridge UP, 2005. Print. Smith, Linda Tuhiwai. Decolonizing Methodologies: Re- search and Indigenous Peoples. New York: St. Mar- tin’s, 1999. Print. Tedlock, Dennis. Introduction. Popol Vuh: !e Mayan Book of the Dawn of Life. New York: Simon, 1996. 21–62. Print. 1 2 7 . 2 ] Lisa Brooks  t h e o r ie s a n d m e t h o d o lo g ie s Townsend, Richard F., and Robert V. Sharp, eds. Hero, Hawk, and Open Hand: American Indian Art of the Ancient Midwest and South. New Haven: Yale UP, 2004. Print. Warrior, Robert. !e People and the Word: Reading Native Non"ction. Minneapolis: U of Minnesota P, 2005. Print. Wishart, David. “Period and Region.” Progress in Human Geography 28.3 (2004): 305–19. Print. Womack, Craig S. Drowning in Fire. Tucson: U of Ari- zona P, 2001. Print. ———. Red on Red: Native American Literary Separatism. Minneapolis: U of Minnesota P, 1999. Print.  The Primacy of the Present, the Primacy of Place [ P M L A t h e o r ie s a n d m e t h o d o lo g ie s 
work_2i5ycua2prcbpg6fqgbuyeqnwy	----	Microsoft Word - 9veverka Acta Montanistica Slovaca Ročník 16 (2011), číslo 4, 291-298 291 Mathematical Approaches to Evaluation of Old Maps Contents and Accuracy Bohuslav Veverka1, Klára Ambrožová2 and Monika Čechurová3 Old maps and stages of their development. What is it an old map? Geographical grids on old maps, drawing, measurement and accuracy. Various Prime Meridians and their history. Geographical coordinates. Modern methods of cartometric analysis. Old Czech maps. Application of Misysview, Infomapa, and MATKART software. Results of evaluation. Key words: cartometry, cartometric analysis, old maps, geographical grid, coordinate systems, Helmert’s transformation, statistical tests. Introduction The definition of an „old map” is quite problematic. The period after the Discovery of America by Christopher Columbus in 1492 is most commonly considered for a golden era of Cartography. This era was followed by an approximately 30 years’ long period of Ocean voyage discoveries of the known World, with the exception of Polar Regions and of Australia. This was an important impulse to development of Cartography. At the beginning the new information was entered into existing maps. The first drawings were only very approximate and positionally inaccurate. The maps were drawn on very expensive handmade parchment and existed only in one original. Later on these maps were engraved in copper plates and their black and white prints were colored by hand and published in tens of copies. Series of maps were assembled in atlases that belong at present to treasures of the most famous world galleries as they represent cultural heritage of humanity. There is a question until what time the maps should be designated as the old once and since when the maps are considered as new once, i.e. modern once. The authors of this contribution decided to consider for „old maps“ all cartographic products drawn up mostly by individual persons by hand on paper or engraved in metal. As long as these maps are produced in a cartographic projection (usually conic or azimuthal projections) and contain plot of geographic network or graphic length scale it is relatively easy to determine their positional accuracy. But it is necessary to point out that the positional accuracy is not constant on the entire area of the map and that it varies in different parts of the map. These variations can be represented graphically by means of quasideformation lines, i.e. lines of equal distortion of a feature investigated by cartometric method on the examined map. The era of old maps defined in the way described in this presentation ends approximately in the 18th century. Later the maps were already produced by skilled teams of state employees and experts. These maps served mainly for land taxation – cadastral maps - and for military use – topographic surveys. It is necessary to remind, that the accurate geodetic control was built up for the Cadastral Map at scale 1:2880 as well as for Military Survey at scale 1: 28 880. Both of these cartographic products are still in use. In the Czech Lands and also in Slovakia these maps were represented by so called Maps of the Stable Cadastre and by maps of the 2nd Military Survey. In Czech Lands these surveys were carried out in the period 1807-1869 based on decision of Emperor Francis I. Originals of these maps are deposited in the War Archives in Vienna. But we are not going to investigate these maps which even from present point of view are modern once, but they may be consider as a milestone between historical and modern cartography. Geographic Networks on Old Maps It is necessary to bear in mind that in the time of the creation of old maps existed practically no accurate methods for determination of geographic coordinates and there was not a common opinion on the position of the Prime Meridian as it was the time before invention of the first precision clock which has been the most important tool for determination of longitude. We do not even know if a cartographic projection was used for construction of these maps. There are almost no publications dealing with an application of Prime Meridian by ancient cartographers. This applies namely to regional maps that were mentioning a Prime Meridian only exceptionally. Without knowing the assumptions of ancient cartographers and astronomers on the position 1 prof. Ing. Bohuslav Veverka, DrSc., Czech Technical University, Faculty Of Civil Engineering, Department of Mapping and Cartography, Prague, Czech Republic,veverka@fsv.cvut.cz 2 Ing. Klára Ambrožová ,Czech Technical University, Faculty Of Civil Engineering, Department of Mapping and Cartography, Prague, Czech Republic,, klara.ambrozova@seznam.cz 3 Mgr. Monika Čechurová, Ph.D., University of West Bohemia, Faculty of Education, Department of Geography, Pilsen, Czech Republic, mcechuro@kge.zcu.cz Bohuslav Veverka, Klára Ambrožová and Monika Čechurová: Mathematical Approaches to Evaluation of Old Maps Contents and Accuracy 292 17°40´ Ferro Greenwi h λ ϕ P0 P N S normal line Z of the Prime Meridian for calculation of longitude in the eastern part of the Mediterranean it is not possible to determine the position of the Prime Meridian used for regional maps in Central Europe. This situation has been briefly described by e.g. Peter Meurer by following words: „ Special literature dealing with analysis of longitude practically does not exist“. Historical Review of Geographic Coordinates Let us briefly remind their definitions: Latitude ϕ: Angle between the normal line in point P and the plane of equator. <0, 90°> for the northern hemisphere and <0, -90°> for the southern one. Longitude λ: Angle between the plane of the local meridian and the plane of the Prime Meridian. <0°, 180°> for the eastern hemisphere and <0°, -180°> for the western one. Fig. 1. Geographic coordinates. Determination of latitude on the northern hemisphere is very simple. It is the vertical angle of the Polar Star above the horizon. This is because the Globe rotation axis intersects the skies just in the position of this star. In other words – all the stars of the northern hemisphere circulate around the Polar Star. Determination of the longitude is a much more complicated than determination of the latitude. It is because in the past there was no uniquely determined Prime (Zero) Meridian and so different countries were using different Prime Meridians. The most ancient Prime Meridian, used already in the antiquity was the Ferro Meridian. This Meridian traverses lighthouse Faro de Orchilla el Hierro which is the most western place of Europe situated on Canary Islands belonging to Spain. Difference in longitude between Ferro Meridian and Greenwich Meridian is 17º 40´. Nevertheless it is necessary to add that the value applied in the lands of former Austro-Hungarian Monarchy was more or less a convention than an accurate value, since the Cape of Orchilla lies 18º 09´ to the west from Greenwich as it is possible to find out e.g. by Google Earth. Fig. 2. Stone cross marking the position of the Ferro Prime Meridian (Wikipedia). Fig. 3. Lighthouse Faro de Orchilla (Wikipedia). Acta Montanistica Slovaca Ročník 16 (2011), číslo 4, 291-298 293 Also the French had their own Prime Meridian. Jean-Mathieu de Chazelles (1657 – 1710) determined on demand of the Science Academy in Paris longitudinal distances from the Paris Prime Meridian on several places in the region of East Mediterranean. Another French scientist De L´Isle (1675 – 1726) built cartography on a new basis. In 1724 he defined the Ferro Prime Meridian as a meridian with longitudinal distance exactly 20° to the West from the Observatory of Paris. This enabled a more realistic cartographic presentation of continents. A Prime Meridian by itself is not sufficient for longitudinal determination of observer’s position, e.g. of a ship on the Sea. It is necessary to know the time difference between the time valid at the Prime Meridian and the time at the local meridian, i.e. the position of the observer. In order to determine this difference an accurate clock is needed – a chronometer – and astronomic tables – the Star Almanac, with times of selected stars culminations at the Prime Meridian. The first known proposal of absolute time measurement comes from the famous astronomer Galileo who already in 1616 proposed a method of time measurement by movements of the moons of Jupiter. The correspondence lasted 16 long years before it was interrupted by order of the Saint Inquisition without any result (except for the home arrest for Galileo). On October 22, 1707 a great naval disaster happened at the south east coast of England near Scilly Islands. Four of five British war vessels were shipwrecked on their home night voyage after a 12 days long navigation in foggy weather by. The catastrophe caused death of many men and resulted also in announcement of a reward for invention of a method for determination of longitude. Many scientists and savants were trying to solve this problem, e.g. Galileo Galilei, Leonard Euler, Edmond Halley, Robert Hooke, etc. In 1714 the British Parliament adopted Edict on Longitude showing thus the priority in discovering a method for Longitude determination. The breakthrough had been invention of a precision clock by John Harrison in 1715 who constructed a precision marine chronometer. The weight of his first clock H1 was 250 kg and it was not very suitable instrument to use for navigation. Nevertheless his fourth model H4 from 1759 represented already a usable clock (diameter 12 cm). It is considered to be the most famous clock in the world (at least for navigation on Sea). The construction of this clock took to Harrison his entire life and the construction was completed only by his son William. The clock was tested already in 1784 when it had been known that its construction corresponds to the reward of 20 000 £ promised by the British Admiralty for solving the problem of Longitude determination. During 5 months the clock was losing merely 15 seconds. This enabled full development of Sea navigation using Sun, Moon, and 57 navigational stars for position determination. The invention of John Harrison’s (1693 – 1776) chronometer and Lunar Tables by Johann Tobias Mayers (1723 – 1762) solved the problem of Longitude determination even on Sea. Fig. 4. Chronometer – model H4 1759 (Wikipedia). The role of the Prime Meridian plays at present the Greenwich Meridian passing through the Greenwich Observatory in London. This meridian was adopted for the Prime one at a special conference (International Meridian Conference) held in October 1884 in Washington, hosting 41 delegates from 25 countries. The Conference adopted following principles: • Of a unique Prime Meridian replacing all the previous once. • The meridian passing through the passage instrument of the Greenwich Observatory should be accepted as the Prime Meridian. • All longitudes up to 180° to the East and West should be calculated starting from this Meridian. • All countries should accept the Universal Day. Bohuslav Veverka, Klára Ambrožová and Monika Čechurová: Mathematical Approaches to Evaluation of Old Maps Contents and Accuracy 294 • As the Universal Day should be accepted the Mean Solar Day starting at midnight of the Mean Solar Time in Greenwich and lasting 24 hours. • The Nautical and Astronomical Days should start everywhere by the Mean Midnight. • All technical studies regulating and contributing to adoption of decimal systems of time and space division should be promoted. The longitude of 180º represents also the calendar date. The Prime Meridian was approved by 22 against 1 vote. Haiti voted against. France and Brasilia abstained. Abstention of France was an expression of political and scientific rivalry with England. The same motive was behind the English refusal to accept the decimal system of weights and measures as they stick until now by their miles, yards, feet, and pounds. Fig. 5. The Prime Meridian - Old Royal Observatory Greenwich (Wikipedia). By solving the problem of determination of geographic coordinates and by their international standardization the cartographic nets on maps were also unified and are used in this way until nowadays. When studying positional accuracy of old maps we have to carefully investigate what Prime Meridian was used. Research of the Jean Baptist Homann’s Map of Moravia from 1726 An example of a possible cartometric research will be presented on Homann’s Map of Moravia. Outlines of the technological procedure are taken over from [1]. John Baptist Homann born in 1644 in Oberkammlach was a cartographer, geographer and publisher in Nürmberg. Among cartographers of his time he belonged to the most recognized representatives of the cartographic profession. Very important year for him was 1766 when he was appointed to Imperial Cartographer. During his life he published round 200 titles, 20 of them were taken over from Netherlands and French models. Very often he used coloring on his maps. The map shows the territory of Moravia with small overlaps to Bohemia and Silesia. The map is colored. All the settlements are represented by graphic symbols classifying the settlements according their size into: „Urbes praecipuae“, „Urbes minores“, „Oppida“, „Pagi“ and „Arces“ (in down size order). The maps show also waters, some main roads, ranges of mountains and forests. The frame of the map bears marks of latitudes and longitudes every 2‘(graphic) and latitudes every 10‘ (numeric). Geographic net is drawn in 0.5° intervals. Each „geographic field“ is delimited by two parallels and two meridians and marked on the frame by small characters. The Prime Meridian is not mentioned. In the left lower corner is drawn the scale rule. Maps are decorated in the upper and lower parts by allegoric scenes. Acta Montanistica Slovaca Ročník 16 (2011), číslo 4, 291-298 295 Fig. 6. Homann‘s map of Moravia from 1726, cutting (Source: The Map Collection of Charles University in Prague). Selection of Nodal Points Homann’s map includes geographic net with 30’ interval in latitudes as well as in longitudes. Intersections of all parallels and meridians form nodal points the coordinates of which were determined by program Misys. In all 46 nodal points were selected. Their geographic coordinates were rounded to minutes and graphical coordinates to full pixels. Graphical coordinates are coordinates of the raster in x and y axes. Origin of the system is situated in the upper right corner of the map. Selection of Settlements Names of settlements are written in German. Settlements (towns) are not drawn as built-up areas but only with circular graphic symbols. 64 settlements on the map were selected for determination of graphical and of the S-JTSK coordinates. S-JTSK coordinates were taken in Program Infomapa 14 on the spots that might have been considered as former town centers. Fig. 7. Map window showing selection of points [1]. Five suitably situated settlements were selected. Graphical coordinates were read on the old map and geographical coordinates determined in Program Infomapa 14. By comparison of these coordinates the mutual shift of these maps was estimated. These points were used for calculation of the average shift, Bohuslav Veverka, Klára Ambrožová and Monika Čechurová: Mathematical Approaches to Evaluation of Old Maps Contents and Accuracy 296 by which was used for correction of all nodal points coordinates. Corrected coordinates were used for calculation of geographic (plane) coordinates in a system that is near to the S-JTSK (System of the Uniform Trigonometric Cadastral Network), (hereafter marked as S-JTSK‘). Following points were selected: Tab. 1. Selection of points for shift determination. Point Name (old) Name (new) S – southern point Landshut Lanžhot N – northern point Altsstadt Staré Město W – western point Pilgram Pelhřimov E – eastern point Fridek Frýdek-Místek M – center Konitz Konice Their coordinates in the map of J.B. Homann: Tab. 2. Homann: Calculation of shift. bod Homann(φ) Homann(λ) Infomapa(φ) Infomapa(λ) ∆φH ∆λH S 48 ° 17 ´ 36 ° 41 ´ 48 ° 43 ´ 16 ° 58 ´ 0 ° 26 ´ -20 ° 17 ´ N 50 ° 21 ´ 36 ° 48 ´ 50 ° 9 ´ 16 ° 56 ´ 0 ° -12 ´ -20 ° 8 ´ W 49 ° 20 ´ 34 ° 11 ´ 49 ° 26 ´ 15 ° 13 ´ 0 ° 6 ´ -19 ° 2 ´ E 49 ° 26 ´ 38 ° 40 ´ 49 ° 41 ´ 18 ° 21 ´ 0 ° 15 ´ -20 ° -19 ´ M 49 ° 24 ´ 36 ° 37 ´ 49 ° 36 ´ 16 ° 53 ´ 0 ° 12 ´ -20 ° 16 ´ průměr: 0 ° 9 ´ -20 ° 5 ´ Tab. 3. Resulting shift. ∆φ ∆λ 0 ° 10 ´ -20 ° 5 ´ Helmert‘s Transformation After the calculation of Helmert’s transformation key between system of plane coordinates of nodal points in raster (outgoing system) and the S-JTSK‘ (destination system). The complete calculation was carried out in MATKART VB800 Program. Program Matkart Version VB800 by prof. Ing. Bohuslav Veverka, Dr.Sc. and Mgr. Monika Čechurová, Ph.D., has been written for calculations on old maps. The dialogue window is divi- ded into two parts that can be used independently. The upper window is for calculation of the transfor- mation key of coordinates of nodal points of the network (intersections of parallels and meridians). Lower window is for calculation of transfor- mation key for selected settlements and water bran- ching. Coordinates of the points are entered by a text file. Fig. 8. Example of a Matkart program VB800 dialogue window. Average: Acta Montanistica Slovaca Ročník 16 (2011), číslo 4, 291-298 297 The transformation key was calculated by SW VB800 using coordinates of identical points by Adjustment Method of Least Squares. The transformation coefficients are solved on condition of a minimum sum of squares of distances between the new and the original positions. As identical points are selected nodal points and points of settlements. Processing of Measured Data Due to some methodical errors in the selection of points for calculation of the shift (inaccurate registration of coordinates from the raster of Infomapa or identification of incorrect points taken for centers of settlement, etc.) some testing of transformation key sensitivity on change in shift size was carried out. The coordinates were changed by half a minute in both coordinates and in both directions. The changes were registered in a table. As it meant also mutual comparison of both maps, the shifts were changed equally. Following values of the transformation key were determined for the selected shift: Evaluation of Nodal Points The transformation key between the plane raster coordinates and the plane coordinates in the S-JTSK‘ (S-JTSK with a false origin) was calculated for a set of 800 nodal points by means of Matkart V800. Errors in the nodal points are between zero up to 6km (see point 37). There is no coherence in rise and decrease of errors in this set. Higher deviations can be due to a damage of the map at the spots of registration of graphic coordinates, non-marked intersections of parallels and meridians. Tab. 6. Homann – transformation key of nodal points. Homann č.b. Mx My M j_graf λ_graf 1 2419 -420 2455 50 ° 30 ´ 36 ° 30 ´ 2 2005 1366 2426 50 ° 30 ´ 37 ° 0 ´ 3 1675 1594 2312 50 ° 30 ´ 37 ° 30 ´ 4 778 2133 2271 50 ° 30 ´ 38 ° 0 ´ 5 1642 -621 1756 50 ° 0 ´ 36 ° 0 ´ 6 1716 -419 1766 50 ° 0 ´ 36 ° 30 ´ 7 1653 214 1667 50 ° 0 ´ 37 ° 0 ´ 8 1053 863 1362 50 ° 0 ´ 37 ° 30 ´ 9 471 1217 1305 50 ° 0 ´ 38 ° 0 ´ 10 -361 1696 1734 50 ° 0 ´ 38 ° 30 ´ 11 -935 -908 1304 49 ° 30 ´ 34 ° 30 ´ 12 -71 -607 611 49 ° 30 ´ 35 ° 0 ´ 13 530 -116 543 49 ° 30 ´ 35 ° 30 ´ 14 860 -31 861 49 ° 30 ´ 36 ° 0 ´ 15 1001 -417 1084 49 ° 30 ´ 36 ° 30 ´ 16 1127 -133 1135 49 ° 30 ´ 37 ° 0 ´ 17 646 85 652 49 ° 30 ´ 37 ° 30 ´ 18 158 230 279 49 ° 30 ´ 38 ° 0 ´ 19 -714 336 789 49 ° 30 ´ 38 ° 30 ´ 20 -1745 805 1922 49 ° 0 ´ 34 ° 0 ´ 21 -1182 707 1377 49 ° 0 ´ 34 ° 30 ´ 22 -557 535 772 49 ° 0 ´ 35 ° 0 ´ 23 99 586 594 49 ° 0 ´ 35 ° 30 ´ 24 449 526 692 49 ° 0 ´ 36 ° 0 ´ 25 713 -292 771 49 ° 0 ´ 36 ° 30 ´ 26 657 -398 768 49 ° 0 ´ 37 ° 0 ´ 27 354 -455 576 49 ° 0 ´ 37 ° 30 ´ 28 -149 -905 917 49 ° 0 ´ 38 ° 0 ´ 29 -767 -1139 1373 49 ° 0 ´ 38 ° 30 ´ 30 -3106 2967 4295 48 ° 30 ´ 34 ° 0 ´ 31 -1895 2493 3131 48 ° 30 ´ 34 ° 30 ´ 32 -1214 1880 2238 48 ° 30 ´ 35 ° 0 ´ 33 -571 1409 1521 48 ° 30 ´ 35 ° 30 ´ 34 -252 975 1007 48 ° 30 ´ 36 ° 0 ´ 35 119 -126 173 48 ° 30 ´ 36 ° 30 ´ 36 -30 -761 762 48 ° 30 ´ 37 ° 0 ´ 37 202 -5756 5760 48 ° 30 ´ 37 ° 30 ´ 38 -479 -1891 1951 48 ° 30 ´ 38 ° 0 ´ 39 -844 -2465 2606 48 ° 30 ´ 38 ° 30 ´ 40 -1370 2067 2480 48 ° 0 ´ 35 ° 30 ´ 41 -943 1349 1646 48 ° 0 ´ 36 ° 0 ´ 42 -766 2021 2162 48 ° 0 ´ 36 ° 30 ´ 43 -497 -1102 1208 48 ° 0 ´ 37 ° 0 ´ 44 -515 -1791 1863 48 ° 0 ´ 37 ° 30 ´ 45 -647 -3011 3079 48 ° 0 ´ 38 ° 0 ´ Tab. 4. Homann: values of transformation key. id ϕ λ mx [mm] my [mm] m [mm] 0 0 ° 10 ´ -20 ° 5 ´ 1101 1668 1999 The changes in the transformation key were as follows: Tab. 5. Homann – testing of the transformation key. id ϕ λ mx my m vmx [mm] vmy [mm] vm [mm] 1 -2 ° 10 ´ -22 ° 5 ´ 3021 3202 4402 -1920 -1534 -2403 2 -1 ° 40 ´ -21 ° 35 ´ 2589 2825 3831 -1488 -1157 -1832 3 -1 ° 10 ´ -21 ° 5 ´ 2160 2463 3276 -1059 -795 -1277 4 0 ° -40 ´ -20 ° 35 ´ 1739 2127 2748 -638 -459 -749 5 0 ° 40 ´ -19 ° 35 ´ 832 1498 1713 269 170 286 6 1 ° 10 ´ -19 ° 5 ´ 782 1446 1644 319 222 355 7 1 ° 40 ´ -18 ° 35 ´ 992 1528 1822 109 140 177 8 2 ° 10 ´ -18 ° 5 ´ 1351 1726 2192 -250 -58 -193 Bohuslav Veverka, Klára Ambrožová and Monika Čechurová: Mathematical Approaches to Evaluation of Old Maps Contents and Accuracy 298 Fig. 9. Homann – Comparison of RMSE by empirical tuning of an optimal shift. Conclusion The purpose of this research consisted in finding an optimal transformation key between the representations on an old map and on a modern one. Input data for the calculations are raster values of coordinates of settlements on old map and their coordinates in the S-JTSK system. Helmert’s transformation was selected because the number of identical points (settlements, branching of rivers, intersections of geographic network, etc.) is not limited. Another advantage of this transformation method is that it is a residual transformation providing us with calculation protocols with residual errors at identical points that enable us to trace an eventual error of point positioning. Results presented in [1] a [2] prove that the scale of Homann’s map varies about 1:635 000 and the accuracy of Helmert’s transformation reaches about two kilometers which was more than expected. However this high accuracy may be due to random errors in maps. It will be necessary to carry out a number of further time consuming observations and calculations for its verification. Nevertheless it is possible to declare that old maps are not only beautiful but – considering the date of their origin – also relatively very accurate from the cartographic and geodetic point of view. The Contribution has been supported by grant of the Faculty of Civil Engineering „Development of Procedures and Methods for the Research of Mathematical Elements of Old Czech Maps“ OHK1-029/12 References [1] Kratochvílová A.: Accuracy analysis of geographic network on selected old maps (In Czech: Analýza přesnosti zákresu geografické sítě na vybraných starých mapách) [Diploma thesis at the Department of Mapping and Cartography of Faculty of Civil Engineering of the Czech Technical University in Prague, under supervision of prof. Bohuslav Veverka] Prague 2009. [2] Vaněk, J: Cartometric analysis of selected historical maps of Moravia (In Czech: Kartometrická analýza vybraných historických map Moravy. [Diploma Thesis at the Department of Mapping and Cartography of Faculty of Civil Engineering of the Czech Technical University in Prague, under supervision of prof. Bohuslav Veverka] Prague 2009. [3] Veverka, B., Zimová, R.: Topographic and Thematic Cartography (In Czech: Topografická a tematická kartografie), CTU. Prague 2008. Homann - průběh změn mx, my, m 0 500 1000 1500 2000 2500 3000 3500 4000 4500 5000 0 1 2 3 4 5 6 7 8 9 id ve lik os t c hy b (m m ) m x m y m variations of mx, my, m s ca le o f e rr or s (m m ) 
work_2lkgyb3zrvhtlo5oorsizx5say	----	John Krigbaum | College of Liberal Arts & Sciences Skip to content University of Florida UF Directory e-Learning WebMail ONE.UF myUFL Maps College of Liberal Arts and Sciences University of Florida John Krigbaum College of Liberal Arts & Sciences Home Courses Publications Research Curriculum Vitae Related Links CLAS IT College of Liberal Arts and Sciences University of Florida John Krigbaum Professor and Undergraduate Coordinator Areas of Interest/Research Biogeochemistry Bioarchaeology Paleodiet Migration Paleoecology Paleopathology Southeast Asia New World Prehistory Old World Prehistory Paleoanthropology Primate Ecology. Contact Information Email: krigbaum@ufl.edu Phone: (352) 294-7540 Office: 1112 Turlington Hall Office Hours: Mailing address: Department of Anthropology University of Florida P.O. Box 117305 Gainesville, FL 32611-7305 Footer Menu Skip to footer content © 2021 University of Florida, Gainesville, FL 32611; (352) 392-3261. Site Updated: January 14, 2021 This page uses Google Analytics (Google Privacy Policy) 
work_2m2fyyozdzbmboh3lhjejs5aou	----	THE STRANDING OF NEGATION MARKERS Robert Cirillo* Abstract: The inverse scope of the negation marker in a sentence such as All the students have not read the book has frequently been described in the literature, and various explanations have been offered for why the negation marker may (but need not) take scope over the more highly positioned QP. I will argue in this paper that the best explanation for this phenomenon is the Neg Stranding Hypothesis, according to which the subject of the sentence All the students have not read the book with the [ > ] reading is the negated QP not all the students and the negation marker has been stranded by the QP all the students. Keywords: constituent negation, sentential negation, inverse scope, universal quantifier, stranding, Logical Form, reconstruction, partial deletion 1. Introduction If one quantificational element has a higher position in a syntactic structure than another quantificational element, one normally expects the higher element to take semantic scope over the lower one, particularly if a c-command relationship is present. This is reflected in the way in which Logical Form is used, as laid out in May (1985, 1989). That is, a quantifier that takes scope over another one is moved to a higher position at Logical Form. In the following sentence, one would expect the quantifier all, due to its superior position, to take scope over the negation marker: (1) All the students have not read the book. In fact, a [ > ] reading is possible in this type of sentence, with the meaning that all the students have as yet failed to read the book. The subject of this paper is the fact that in example (1) a [ > ] or inverse scope reading is also quite natural in the Germanic languages, with the meaning of the sentences in (2): (2) a. Not all the students have read the book. b. The students have not all read the book. * University of Amsterdam, Milletstraat 16-I, 1077 ZD Amsterdam, R.J.Cirillo@uva.nl. R o b e r t C i r i l l o50 I will argue that (1) is ambiguous because it has two separate syntactic analyses and that the base-structure of its [ > ] reading is actually reflected in (2a). That is, in the case of the [ > ] reading of (1), the subject is the negated quantifier phrase [QP [not [QP all [DP the students]]] and the negation marker is stranded in QP by the QP all the students. I refer to this approach as the Neg Stranding Hypothesis, which I introduce and defend in section 2 below. Sections 3 through 5 are devoted to a presentation and rejection of other syntactic approaches to the [ > ] reading of (1), and section 6 contains a brief summary and final comments. 2. Neg Stranding For the sake of clarity I will begin with the reading of (1) in which there is no inverse scope, that is, the reading in which scope reflects Surface Structure word order. Following Zeijlstra (2004) and Cirillo (2009), I assume that the [ > ] reading of (1) is a classic instance of sentential negation and is derived from the following base-structure: (3) PerfP 2 SPEC Perf ́ not 2 Perf vP have 2 SPEC v ́ QP 6 6 read the book all the students The auxiliary verb have will move to I/AgrS/T and the subject QP all the students will move to SPEC of IP/AgrSP/TP. Regarding the [ > ] or inverse scope reading of (1), I propose that it stems from the fact that no sentential negation is involved and that the negation marker and the subject QP form a constituent, a negated QP, at some point in the derivation. The base-structure will look like (3) except that the negation marker, instead of originating in [SPEC, PerfP], will be base-generated in [SPEC, QP]: The stranding of negation markers 51 (4) PerfP 2 SPEC Perf ́ 2 Perf vP have 2 SPEC v ́ QP 6 2 read the book SPEC QP not 2 SPEC Q´ 2 Q DP all 6 the students Under this approach, the upper QP node can move to [SPEC, AgrSP], producing (2a), or the lower QP node can move to [SPEC, AgrSP], stranding the negation marker and producing the word order in (1) but the meaning of (2a and 2b). It is also possible, following the standard stranding analysis of floating quantifiers as presented in Sportiche (1988), Giusti (1990), Shlonsky (1991) and Cirillo (2009), for the DP the students to move out of QP and strand both the negation marker and the universal quantifier in QP, producing (2b). After the negation marker has been stranded, the question arises as to how the pre-stranding scopal relations are preserved, since the quantifier has moved above negation and could conceivably produce a [ > ] reading. Note that this would be equivalent to the sentential negation reading produced by a true sentential negation structure like the one in (3), in which the negation marker originates in the SPEC position of the verbal phrase that it is negating. It is actually not difficult to explain the lack of a sentential negation reading in (4) after Neg Stranding. After all, in the derivation of the [ > ] reading of (1), as can be seen in (4), the stranded negation marker does not c-command PerfP at any point in the derivation and should not be able to take scope over it. Negation only c-commands the trace of the moved QP.1 1 One could perhaps still ask why the derivation in (4) with Neg Stranding does not produce a [ > ] reading, since the quantifier has moved above negation and could be said to dominate it. This will not be discussed here because of space restrictions. The interested reader is referred to Cirillo (2009: 104-114). R o b e r t C i r i l l o52 From a technical standpoint, the Neg Stranding model works, producing the desired output. It also captures a significant generalization by deriving three sentences with the same words and meaning, namely (1) with the [ > ] reading, (2a) and (2b), from a common base-structure. Furthermore, there is independent support for a stranding approach, given the evidence that can be found for preposition and quantifier stranding. The question is whether there is any compelling evidence for Neg Stranding. Compelling evidence would be any instance in which a negation marker is not a sentential negation marker and is separated from the constituent that it negates. I will now present such evidence, beginning with German sentences in which sentential and constituent negation co- occur. Imagine a situation in which a student was expected to read a series of books. Teacher A asks in (5a) which books the student has not read. Teacher B, rather disappointed in the student, responds in (5b), with emphasis on the word all, that the student has not read any of the books. Teacher C, who happens to know that the student has read one of the books, contradicts Teacher B by saying that it is not true for all the books that the student has not done the required reading. (5) a. Welche Bücher hat er nicht gelesen? which books has he not read b. All die Bücher hat er nicht gelesen! all the books has he not read c. Nicht all die Bücher hat er nicht gelesen! not all the books has he not read It is possible, if not terribly elegant, to strand the constituent negation marker in (5c) and retain the same meaning: (6) All die Bücher hat er nicht nicht gelesen! all the books has he not not read It could not be the case that both the negation markers in (6) are sentential. If they were, in a Germanic language they would cancel each other out and the meaning of the sentence would be that the student had read all the books. The first negation marker can only be a stranded constituent negation marker. It negates the topicalized object DP all die Bücher. Let’s now look at some other examples in which there is co-occurrence of sentential and constituent negation markers, since this type of example is perhaps the best evidence in favor of Neg Stranding. Observe the following three sentences in Dutch, German and English, respectively: The stranding of negation markers 53 (7) a. Al de studenten zijn niet niet gekomen. all the students are not not come b. All die Studenten sind nicht nicht gekommen. all the students are not not come c. All the students have not not come. All these sentences are ambiguous for a reading in which the negation markers are both sentential and cancel each other out, with the meaning that all the students have come, and a reading in which the first negation marker takes scope over the subject QP, with the meaning that not all the students have not come. This is strong evidence in support of Neg Stranding. Another example of compelling evidence for Neg Stranding can be found in contrastive not...but constructions, which involve constituent negation: (8) He fed not the dog but the cat. The negation marker cannot be a sentential negation marker here, for three reasons. It is not in the position of sentential negation, there is no do-support, and not...but constructions are used only in the case of contrastive constituent negation. Let’s now take the same sentence in German: (9) Er hat nicht den Hund gefüttert, sondern die Katze. he has not the dog fed but the cat Now let’s take this sentence and pre-pose the negated constituent: (10) Nicht den Hund hat er gefüttert, sondern die Katze. not the dog has he fed but the cat This is clearly a case of constituent negation, since the negation marker has been pre-posed along with the rest of the constituent. And, example (10) can undergo Neg Stranding, as shown in (11), in which the negation marker remains a constituent negation marker that has scope over the pre-posed object: (11) Den Hund hat er nicht gefüttert, sondern die Katze. the dog has he not fed but the cat Inverse scope without sentential negation can only mean one thing: the stranding of a constituent negation marker. As mentioned above, additional support for the Neg Stranding Hypothesis comes from its ability to capture a significant generalization. Consider the R o b e r t C i r i l l o54 following three sentences, which contain exactly the same words and mean exactly the same thing: (12) a. Not all the students have read the book. b. The students have not all read the book. c. All the students have not read the book. (I.e., the [ > ] reading.) The first two of these sentences cannot be produced without the following structure: (13) QP 2 SPEC QP not 2 SPEC Q ́ 2 Q DP all the students Example (12a) could not be produced without (13) because we would otherwise not get the negation marker into sentence-initial position. Example (12b) could also not be produced without the constituent negation marker in (13) because a sentential negation marker would be in the wrong place. This becomes evident if a sentential negation marker is inserted into (12b): (14) The students have not all not read the book. If (12a) and (12b) are derived from the structure in (13), a major generalization would be missed if (12c) were not also derived from the same structure. The Neg Stranding Hypothesis captures this generalization. For further discussion of evidence in support of Neg Stranding the reader is referred to Cirillo (2009).2 The conclusion that I draw in this section is that Neg Stranding is an indispensable part of a theory of syntax, and since we “get it for free”, so to speak, it should at least be considered as a possible explanation for the inverse scope observed in (1). Of course, the fact that it is the most inexpensive explanation does not mean that it is the correct one. In Sections 3-5 we will therefore examine some alternative approaches.3 2 Cirillo (2009: 104-108, 115-118 and 149-150). 3 I first developed the Neg Stranding Hypothesis in 2005. Three years later I heard about an article by Höhle, written in 1991, in which it is suggested that inverse scope can arise when a negation The stranding of negation markers 55 3. Covert movement of negation Whenever there is ambiguity such as that observed in (1), the first thing that comes to mind is that the explanation might be found in covert movement or Logical Form. Under this type of approach, the negation marker in (1) would be covertly moved from its position as sentential negation marker to sentence-initial position, probably [SPEC, QP], which would produce the LF illustrated in (2). The question that immediately arises here is whether we want to allow the covert movement of negation. Consider the following examples from Italian: (15) a. Tutti gli studenti non l’hanno letto. [ > ] all the students not it have read b. Non tutti gli studenti l’hanno letto. [ > ] not all the students it have read Most Italian speakers find (15a) to be an unnatural sounding sentence, but it is not generally rejected as ungrammatical. Some speakers report that they can get a [ > ] reading in (15a), but for most speakers only the [ > ] (Surface Structure) reading is available. Romanian and Portuguese speakers seem to universally reject the sentence. There will be more on Romanian and Portuguese in Section 7. The point that I want to make here is that the [ > ] reading is either difficult or impossible in the Romance languages. If the covert movement of negation were an option, it would be possible to move the negation marker in (15a) to sentence-initial position, thereby producing the LF represented in (15b) and the corresponding reading. Since the [ > ] reading is difficult or impossible in the Romance languages, covert movement of negation does not seem to be an option.4 Consider now the following German sentence from Höhle (1991): (16) Alle Politiker hat so mancher nicht verstanden. all politicians has many a person not understood ‘Many people did not understand all the politicians.’ marker c-commands the trace of a moved quantifier. This is not exactly the same as Neg Stranding, but the similarity between Höhle’s approach and mine is striking and has to be mentioned. Christopher Columbus had never heard of Leif Ericson, but Ericson found America first. 4 Space restrictions do not permit a discussion of why the Romance languages tend not to allow inverse scope in sentences like (15a). It has to do with the idea, following Zeijlstra (2004) and Cirillo (2009), that negation markers in the Romance languages are highly positioned syntactic heads, dominating all verbal phrases, while in the Germanic languages they are maximal projections that can occupy the SPEC position of both verbal and nominal phrases. For a detailed discussion see Cirillo (2009: 128-147). R o b e r t C i r i l l o56 In this sentence the direct object Alle Politiker (all politicians) has been topicalized. The word Alle (all) has rising intonation and nicht (not) has falling intonation and primary stress. The meaning of the sentence is that there are several people who did not understand all the politicians. Scopal relations are thus [ >  > ]. The question is whether the [ > ] reading could have been obtained by moving negation at LF. Höhle argues against this option by pointing out that moving the negation marker to the position in front of the universal quantifier does more than just create a [ > ] reading. It changes a [ >  > ] reading to a [ >  > ] reading. Thus, the covert movement of negation does much more than it is supposed to do, and is probably not the right solution. Höhle is suggesting that scope, at least in the case of negation, is determined hierarchically and not via covert movement. The claim that scope is determined hierarchically is consistent with what is presented in Kayne (1998). Because of the evidence presented in (15) and (16), it is hereby concluded that covert movement of negation is not an option in resolving the ambiguity of (1). 4. Reconstruction If the covert movement of negation is not available for arriving at the [ > ] reading in (1), one should perhaps consider another form of covert movement, namely, reconstruction. Following the copy theory of movement in Chomsky (1995), reconstruction is simply the interpretation of a lower copy. The base-structure copy of all the students in (1) is presumed to be inside vP and below the negation marker. Interpretation of this lower copy would thus produce the [ > ] reading. Note that this would be an instance of reconstruction under A-movement. There is widespread agreement in the literature on the need for reconstruction under A-bar movement, but reconstruction under A-movement is controversial. Some, such as Lasnik (1998), have argued that it does not occur at all. The vast majority of the references to reconstruction under A-movement in the literature are made in connection with anaphora that precede their binding antecedents in the Surface Structure. The following is a quote from Barss (2001: 686): In general, we will observe reconstruction effects under A-movement only in cases where there is an argument NP (the potential antecedent) which c- commands the deep position but not the surface position of the raised NP which contains an anaphor. Due to space constraints, I will not dispute in this paper the need for reconstruction under A-movement in the case of anaphora, however I will The stranding of negation markers 57 mention that in Cirillo (2009: 109-111), while discussing Belletti and Rizzi (1988), I attempt to cast some doubt on the ability of reconstruction to resolve all the problems related to anaphora. Here I want to concentrate on the usefulness of reconstruction in resolving ambiguity. I begin with the following sentence, from Fox (1999): (17) [Someone from New York]1 is very likely t1 to win the lottery. According to Fox’s analysis, if no reconstruction takes place in this sentence, the quantifier someone takes scope over the raising verb to be likely and the meaning is that a specific person in New York who has presumably bought a lot of lottery tickets is probably going to win the lottery. If reconstruction does take place, the raising verb to be likely takes scope over someone and the meaning is that it is probable that a non-specific person from New York will win the lottery, perhaps because more lottery tickets were sold in New York than in any other city. The question is whether this analysis could be used to explain the type of ambiguity observed in (1). There are a number of reasons why I question the appropriateness of applying Fox’s analysis of (17) to a sentence such as (1). I will ignore the fact that nearly all of Fox’s examples involve raising verbs and that none of them involve negation or the quantifier all, which already casts doubt on the applicability of Fox’s analysis to (1). There are other reasons for not adopting Fox’s analysis for sentences like (1). First of all, under an approach like Fox’s, reconstruction is basically an optional LF operation that undoes the effects of raising. But raising is also optional at the Surface Structure. Both of the following sentences are possible: (18) a. Someone from New York is very likely to win the lottery. b. It is very likely that someone from New York will win the lottery. If an operation is not obligatory, it does not seem very economical to optionally raise an element at the Surface Structure and then optionally lower it again at LF. This is one problem with Fox’s analysis. An even bigger problem is the fact that quantifier lowering or reconstruction in (17) does not disambiguate at the Surface Structure. The two sentences in (18), which are based on (17) with and without raising, are both ambiguous. If reconstruction does not disambiguate at the Surface Structure it is not clear how it would be any more effective at LF. This should cast considerable doubt on whether reconstruction at LF is really the way to disambiguate a sentence, whether it be one of the sentences in (18) or example (1). The cause of the ambiguity of the sentences in (18) has nothing to do with syntactic structure but with the specificity or non-specificity of the quantifier someone. R o b e r t C i r i l l o58 Moving away from Fox’s analysis, I would like to present some additional evidence that A-movement reconstruction is of questionable use in matters of ambiguity. Consider the following ambiguous sentence: (19) Everybody loves someone. Under the reading in which everybody takes scope over someone, quantifier raising is unnecessary, since everybody outscopes someone by virtue of its higher position. If the quantifier everybody is raised at LF even though raising is unnecessary, reconstruction is also unnecessary and is therefore irrelevant with or without quantifier raising. Consider the reading of (19) in which someone takes scope over everybody. In order to get this reading, someone has to undergo quantifier raising at LF. Reconstruction in this instance would undo the effect of quantifier raising and produce an undesired reading. In other words, regardless of how one interprets (19), reconstruction is inappropriate and not a suitable way to resolve ambiguity. The following example from Sportiche (2005: 34) illustrates that there are situations in which reconstruction creates ambiguity rather than resolving it: (20) Everyone seems not to be listening. This sentence has only a [ > ] reading. A reconstructed version of this sentence, without raising, is ambiguous for a [ > ] and a [ > ] reading: (21) It seems that everyone is not listening. One last problem that I must point out with A-movement reconstruction is that it is not permitted in the Romance languages when negation is involved. The following Italian sentence, comparable to (15a), allows only a [ > ] reading for most speakers: (22) Tutti gli studenti non hanno letto il libro. all the students not have read the book I assume that the base-position of the subject QP tutti gli studenti is in [SPEC, vP], below negation. If reconstruction (interpretation of the lower copy of the subject QP) were possible in this sentence, a [ > ] would be possible, but such a reading is unavailable or difficult in the Romance languages. To summarize this section, A-movement reconstruction is not a convincing means of disambiguating. It poses economy issues, it sometimes fails to resolve The stranding of negation markers 59 ambiguity, it sometimes creates ambiguity, and it is sometimes not permitted at all. It is no surprise that it is not universally accepted. 5. Partial Deletion à la Nuñes Another potential explanation for the ambiguity in (1) is partial deletion in the manner of Nuñes (2004). Nuñes’ approach is based on the copy theory of movement. Theoretically, in a sentence like (1) optional partial deletion could have taken place as follows: (23) [IP[QP Not all the students] [PerfP have [vP [QP not all the students] read the book]]] Nuñes argues that this type of deletion (called chain reduction) is needed for two reasons. First of all, normally only one copy in a chain can be pronounced. Secondly, in keeping with the Linearization Correspondence Axiom (LCA) in Kayne (1994), copies are non-distinct. Consequently, if there is more than one copy of an item, it is unclear which copy should be linearized with the other elements in a clause. Without deletion, linearization cannot take place and the derivation will crash. Nuñes points out that partial deletion needs to be constrained in order to prevent it from generating absurd sentences. Consider the following sentence from Nuñes (2004): (24) The tall man appears to have been kissed. In the derivation of (24) there are three copies of the subject forming a chain: (25) [The tall man] appears [the tall man] to have been kissed [the tall man]. In order to derive the desired version of this sentence, two deletion operations are needed, as follows: (26) [The tall man] appears [the tall man] to have been kissed [the tall man]. Using partial deletion, one could easily generate the following absurd sentence: (27) *The appears tall to have been kissed man. This sentence would be derived by deleting as follows: R o b e r t C i r i l l o60 (28) [The tall man] appears [the tall man] to have been kissed [the tall man]. Nuñes refers to this as “scattered deletion”. He blocks this type of output by appealing to principles of Economy. In the correct version of this sentence, as I just mentioned, there are only two deletion operations. In this nonsensical product of scattered deletion, there are at least four deletion operations. Thus, only the correct version will be generated by the system because Economy will block other outputs. The problem is that a partial deletion approach is unable to generate the [ > ] reading of a sentence like (1). Remember that in the base structure of this sentence the subject is the negated QP not all the students. If we do not strand the negation marker, we have just one deletion operation in the derivation, as follows: (29) [Not all the students] have [not all the students] read the book. If we want to produce (1) with a [ > ] reading, not one but two deletion operations are needed, as follows: (30) [Not all the students] have [not all the students] read the book. Nuñes’ prediction is therefore that this version of the sentence will never be generated because it involves more deletion operations than (29). This false prediction of the partial deletion approach affects not only Neg Stranding. It affects all kinds of stranding, including quantifier stranding and even preposition stranding. For this reason, Nuñes’ partial deletion approach is not a viable alternative to Neg Stranding (or any other type of stranding analysis.) 6. Conclusions I believe that I have provided strong evidence that the stranding of negation markers occurs in natural language. I have also proposed that since a syntactic theory needs to include the stranding of negation markers anyway, the Neg Stranding Hypothesis might be a good way to account for the inverse scope of negation in sentences like (1). In any case, Neg Stranding seems to be less problematic than other syntactic approaches such as movement of negation at LF, reconstruction, or partial deletion. It may come as a surprise that I would like to end this article by making a proposal for future research that would investigate a semantic explanation for the inverse scope of negation. In Section 3 I pointed out that the Italian sentence in (15a), which is comparable to the English sentence in The stranding of negation markers 61 (1), is judged to be unnatural by most Italian speakers and ungrammatical by virtually all Portuguese and Romanian speakers. The question is why this is so. I would like to suggest that there is a hierarchy of quantification and that negation is the strongest form of quantification, outranking even universal quantifiers. If a universal quantifier precedes negation, the natural reaction is that the quantifier, by virtue of its higher position, should be taking scope over negation, but this produces an unnatural feeling because scope, as reflected in word order, is incompatible with the relative quantificational strength of the quantifiers involved. The suggestion is that a universal quantifier should simply not take scope over negation, the stronger quantifier. This could very well be why speakers of Romance languages do not like sentences in which a universal quantifier precedes negation and thus appears to take scope over it. Even in the Germanic languages, many speakers report that the most natural interpretation of sentences like (1) with neutral intonation is the one in which negation takes scope over the universal quantifier, contra word order. All this points to the idea of a hierarchy of quantification. Büring (1997) does not discuss a hierarchy specifically, but he does point out that there are situations in which it is unnatural for negation to be out-scoped by another quantifier, regardless of word order. In Zeijlstra (2004) mention is made of a constraint that seems to exist against moving a universal quantifier above negation at LF. All this does seem to point to a kind of quantificational hierarchy. Gualmini and Moscati (2009) show interesting evidence that in Italian child language negation can have inverse scope over modal verbs that is not allowed in adult speech, again pointing to the strength of negation with regard to other forms of scope-taking elements. Additional support for the idea of a quantificational hierarchy can be found in the following sentences: (31) a. Everybody loves someone. [ > ] or [ > ] b. Someone loves everyone. [ > ] or [ > ] Both of these sentences allow two readings. That the [ > ] reading would be more natural than the [ > ] reading in (31a) is perfectly understandable, given the word order of the sentence. However, the [ > ] interpretation is more natural than the [ > ] interpretation in (31b) as well, in spite of the [ > ] order. This could also have to do with the relative strength of  with respect to . Thus, in spite of the success of the Neg Stranding Hypothesis in explaining inverse scope in purely syntactic terms, I believe that it would be worthwhile to investigate whether there is a syntax-semantics interface that dictates that when two quantifiers co-occur, regardless of syntactic structure, the stronger form of quantification, negation, will take precedence. Such an investigation would ideally involve a large number of different language families. R o b e r t C i r i l l o62 References Barss, A. 2001. Syntactic reconstruction effects. In M. Baltin and C. Collins (eds.), The Handbook of Contemporary Syntactic Theory, 670-696. Oxford: Blackwell. Belletti, A. and Rizzi, L. 1988. Psych verbs and Theta Theory. Natural Language and Linguistic Theory 6: 293-352. Büring, D. 1997. The great scope inversion conspiracy. Linguistics and Philosophy 20: 175-194. Chomsky, N. 1995. The Minimalist Program. Cambridge, MA: MIT Press. Cirillo, R. 2009. The Syntax of Floating Quantifiers: Stranding Revisited. PhD dissertation, Landelijke Onderzoekschool Taalwetenschap, Utrecht. Fox, D. 1999. Reconstruction, Binding Theory, and the interpretation of chains. Linguistic Inquiry 30: 157-196. Giusti, G. 1990. Floating quantifiers, scrambling and configurationality. Linguistic Inquiry 21: 633-641. Gualmini, A. and Moscati, V. 2009. The early steps of modal and negation interactions: Evidence from child Italian. In E. O. Aboh, E. van der Linden, J. Quer and P. Sleeman (eds.), Romance Languages and Linguistic Theory: Selected Papers from ‘Going Romance’ Amsterdam, 2007, 131-144. Amsterdam/Philadelphia: John Benjamins. Höhle, T. 1991. On reconstruction and coordination. In H. Haider and K. Netter (eds.), Representation and Derivation in the Theory of Grammar 138-197. Dordrecht: Kluwer. Kayne, R. 1998. Overt vs. covert movement. Syntax 1: 128-191. Kayne, R. 1994. The Antisymmetry of Syntax. Cambridge, MA: MIT Press. Lasnik, H. 1998. Some reconstruction riddles. University of Pennsylvania Working Papers in Linguistics 5 (1): 83-98. May, R. 1989. Interpreting Logical Form Linguistics and Philosophy 12: 387- 435. May, R. 1985. Logical Form: Its Structure and Derivation. Cambridge, MA: MIT Press. Nuñes, J. 2004. Linearization of Chains and Sideward Movement. Cambridge, MA: MIT Press. Shlonsky, U. 1991. Quantifiers as functional heads: A study of quantifier float in Hebrew. Lingua 84: 159-180. Sportiche, D. 2005. Division of labor between merge and move: Strict locality of selection and apparent reconstruction paradoxes. <LingBuzz/000163>. Sportiche, D. 1988. A theory of floating quantifiers and its corollaries for constituent structure. Linguistic Inquiry 19: 425-449. Zeijlstra, H. 2004. Sentential Negation and Negative Concord. PhD dissertation, Landelijke Onderzoekschool Taalwetenschap, Utrecht. 
work_2rg3hmhjr5g3xcaf4ytizvp2ee	----	152 book reviews © supriya m. nair, 2015 | doi: 10.1163/22134360-08901025 This is an open access article distributed under the terms of the Creative Commons Attribution-Noncommercial 3.0 Unported (cc-by-nc 3.0) License. Rudyard J. Alcocer Time Travel in the Latin American and Caribbean Imagination: Re-reading History. New York: Palgrave Macmillan, 2011. xv + 238 pp. (Cloth us$85.00) If the preoccupation with history—or the absence thereof—is inescapable in LatinAmericanandCaribbeanliterature,a fixationwithtemporalitycanseem justas inevitable.TimeTravel intheLatinAmericanandCaribbeanImagination examines the links between fictional time travel and the history of Hispanic conquest, slavery, and servitude in the Americas, with particular attention to the regions mentioned in the title as against the British colonization of the northern part of the continent. The prologue, which begins with epigraphs invoking the cyclical nature of time, is fittingly titled “Time Out of Joint,” sug- gesting that temporal dislocations from the past will haunt the present and future of this hemisphere. Rudyard Alcocer argues that the primary rupture of the Conquest (and the Middle Passage for African diasporic communities) creates a wound so deep that a substantial corpus of time travel has emerged in literature and popular culture to reconsider, and perhaps overcome, the enduring legacies of those traumas. The question is whether narratives of time travel serve as “escapism” or as “surgical intervention” (p. xiv), and Alcocer’s critical readings of these narratives seem to find both possibilities. One of the book’s strengths is its nuanced perspective of the contemporary compar- ative literatureonthetheme, inflectedbymultipletheoreticalanddisciplinary approaches (psychoanalytic, postcolonial, deconstructive, historical, anthro- pological, cultural studies). The book has four main chapters. The first includes an analysis of a number of texts, including North American fiction (e.g., S.M. Stirling’s Conquistador: A Novel of Alternate History and Orson Scott Card’s Pastwatch: The Redemption of Christopher Columbus) and Mexican film and fiction (e.g., Gustavo Loza’s Al otro lado [To the Other Side], Homero Aridjis’s La leyenda de los soles [The Leg- endoftheSuns]),andafewofCarlosFuentes’sshortstories.Thesecondchapter focusesonTrinidadianauthorKevinBaldeosingh’smassiveAnglophonenovel, The Ten Incarnations of Adam Avatar, and Cuban writer Daína Chaviano’s El hombre, la hembra y el hambre [Man, Woman, and Hunger]. The third revis- its the myth of La Malinche in the Mexican writer Marcela del Río’s play El sueñodeLaMalinche[TheDreamofLaMalinche]andNicaraguanauthorGio- condaBelli’s firstnovel, Lamujerhabitada[TheInhabitedWoman].Thefourth chapter moves to popular culture versions of time travel in films, children’s stories, gaming, and pedagogical sources (language learning) that cement the variousstereotypesofthe“conquered”peoples: theMayansandtheIncastime- lessly frozeninalostworld,pronetosavageviolence,orannihilatedbycultural Downloaded from Brill.com04/06/2021 01:09:24AM via free access http://creativecommons.org/licenses/by-nc/3.0/ http://creativecommons.org/licenses/by-nc/3.0/ book reviews 153 New West Indian Guide 89 (2015) 89–230 apocalypse and superior invaders. Alcocer claims that popular culture largely repeats colonial discourse of the archives, historiography, and high culture in locating modernity and advanced civilization in the era of European coloniza- tion and settlement. The afterword, which discusses how heritage tourism in Puerto Rico dis- turbingly combines a reification of Taíno culture with a corresponding elision of African elements, demonstrates the continuing obsession with the rein- vented past, here romanticized by ethnocentric and consumerist nostalgia. Although multiple titles mentioned in passing can occasionally be bewilder- ing, the book’s impressive range makes a compelling case for its significance. Despite the varied terrain, the lucid prose, helpful translations, and clear tran- sitionsfromonechaptertothenexthelpreadersnavigatethebookwithouttoo much confusion. While the book does not engage time from a philosophical angle as Wilson Harris does in his notion of “infinite rehearsal,” it considers various classifica- tionsof time. “Inotherwords,whatmodernreadersandwritersare inclinedto categorizeundersciencefictionor fantasy(i.e., contactbetweendifferenttime periods) may in fact have held similarities to certain pre-Columbian under- standingsofhowtimeworks…Fictional, interventionistvisitstothepast…can alsohavepracticalobjectivesinthepresent,”Alcocerconcludes(p.158).Writers like Alejo Carpentier who flout conventional notions of clock-and-calendrical timemayin factbelieve inthecoexistenceof temporalcategories thatareusu- ally considered distinct from each other, pointing to nonlinear routes of time travel. One therefore doesn’t travel back to the past when it is believed that thepastalreadyinhabitsthepresent.Occasionally, timecanmovebackwardor standstillas intheproblematicrepresentationofastagnantpostrevolutionary Cuba, which Alcocer does not critique as much as he does the mythification of indigenous peoples or the idealization of origins in African diasporic returns tothe“homeland.”Conversely, revisionistnarrativescanactuallyreify theview of the past as a fated curse, a pessimistic notion that engages in a “negative determinism,” inflexibly tying the problems in the present to a blighted past (p. 34). The uncanny re-turns to the past imply unresolved issues that demand repeatedvisits tomomentsofcrisis.Sometimesthesevisitscongeal thepast,at others they rewrite it and critique the dysfunctional present, and at still others they gesture toward a hopeful future once these fictional “interventions” con- front traumas. Alcocer situates time travel in these regions by emphasizing continuous historical trauma, but he does not then account for other contexts of time travel narratives that do not share this history as, for example, in Western fiction. Although it is unclear how these non-Western fictional “interventions” Downloaded from Brill.com04/06/2021 01:09:24AM via free access 154 book reviews New West Indian Guide 89 (2015) 89–230 materially alter the present, the book makes an important contribution to the scholarship of time travel by including Latin America and the Caribbean. Supriya M. Nair Department of English, Tulane University, New Orleans la 70118, u.s.a. supriya@tulane.edu Downloaded from Brill.com04/06/2021 01:09:24AM via free access mailto:supriya@tulane.edu 
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work_2t2wlwelvja2hkajtpmhpcdo7m	----	S2398772317000666jra 267..271 SYMPOSIUM ON GLOBAL ANIMAL LAW (PART I) ANIMAL COLONIALISM: THE CASE OF MILK Mathilde Cohen* Greta Gaard writes that “[t]he pervasive availability of cows’ milk today—from grocery stores to gas stations— is a historically unprecedented product of industrialization, urbanization, culture, and economics.”1 To these fac- tors, I would add colonialism and international law; the latter understood broadly to include the rules considered binding between states and nations, transnational law, legal transplants, international food aid, and international trade law. Until the end of the Nineteenth Century, the majority of the world population neither raised animals for their milk nor consumed animal milk. Humans are unique in the mammalian realm in that they drink the milk of other species, including beyond infancy. With the European conquest of the New World and other territories start- ing in the Sixteenth Century, dairying began to spread worldwide—settlers did not set out to colonize lands and people alone; they brought with them their flora, fauna, and other forms of life, including lactating animals such as cows and sheep. Though limited to a narrow group of animals and products, the story of milk’s globalization may have broader implications for how we understand the genealogy of global animal law. It suggests that animal law may long have been “global,” at least since the modern era, which saw the colonization of lands in the Americas, Africa, Asia, and Oceania by a few European countries and the accompanying migration of ideas concerning the legal status of animals. There is a fundamental difference between the new and the old global animal law, however. While the contemporary global animal law initiative embraced by this symposium is an emancipatory movement aiming at promoting animal welfare, the old, colonial animal law was only global for imperialist ends, displaying little concern for the well-being of animals, colonized people, and ecosystems. Bridging the gap between scholarship on animal colonialism and on imperialism and motherhood, this essay argues that lactating animals became integral parts of colonial and neocolonial projects as tools of agroexpansion- ism and human population planning. Due to its disruptive effects on breastfeeding cultures, the global spread of dairying has not only been detrimental for the welfare of animals, but also for humans’, especially mothers and their children. I recognize the simplistic aspect of grouping and analyzing together disparate epochs, regions, peo- ples, and animals in an interimperial historical vein. I do not mean to imply that these epochs, regions, peoples, and animals belong to a coherent whole, but only that despite their diversity, they have experienced comparable forms of state-building projects centered upon the consumption of animal milk. As an aside, animal protection law and advocacy is often critiqued for its supposed cultural imperialism, but as the following discussion illustrates, it may be that the lack of concern for animal welfare exhibited by legal systems was bequeathed by hegemonic European colonizers. * Professor of Law, University of Conneticut. For helpful conversations and comments on earlier drafts, I thank Erin Delaney, Amy DiBona, and Elizabeth Emens. 1 Greta Gaard, Toward a Feminist Postcolonial Milk Studies, 65 AM. Q. 595, 597 (2013). doi:10.1017/aju.2017.66 The American Society of International Law and Mathilde Cohen © 2017. This is an Open Access article, distributed under the terms of the Creative Commons Attribution licence (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted re-use, distribution, and reproduction in any medium, provided the original work is properly cited. 267 http://www.bbk.ac.uk/bih/lcts/summer-school-2015/esther-leslie/65.3.gaard.pdf http://www.bbk.ac.uk/bih/lcts/summer-school-2015/esther-leslie/65.3.gaard.pdf In what follows, after presenting the notion of animal colonialism, I focus on two of its components, which I call “milk colonialism” and “breastfeeding colonialism” before concluding with a provocative proposal about the international right to breastfeed. Animal Colonialism Animal colonialism can be defined as a dual phenomenon, consisting, on the one hand, in using animals to colonize lands, native animals, and people and, on the other hand, in imposing foreign legal norms and practices of human-animal relations upon communities and their environments. Beginning with the work of Alfred Crosby on ecological imperialism—in particular his insight that the conquest of the New World was as much a biological one as a political one2—studies have accorded domesticated farm animals an instrumental role in the establish- ment of colonies around the globe. Virginia DeJohn Anderson writes: “all Europeans … enlisted livestock as part- ners in colonization.”3 By displacing local fauna, altering native weeds, seeds, grasses, and cultivars, ranching and dairying altered New World ecosystems to advance European purposes. This biological invasion disrupted the lives of native peoples, animals, and their environments. Across time and space, colonists used animals to conquer ecosystems and their inhabitants, from Christopher Columbus who transported horses, cattle, swine, sheep, and goats to Caribbean islands to French settlers who brought cattle to New France starting in 1617, to Dutch settlers who exported their first cows to New York in 1629, to the British who landed with their sheep and bovines on the shores of Australia and New Zealand in the Eighteenth and Nineteenth Centuries. Similar in these disparate endeavors was the idea that the importation of European animals and the destruction of local fauna, flora, and local foodways were justified by the goal of “improving” agriculture and population health. Animals and their “products”—in particular milk, leather, fur, bone, wool, and silk—were and remain constitutive of national identity and imperial power. They operate as tools of domination to control territories, humans, animals, and ecosystems. Animal colonialism also served as a pretext for conquest itself: as the imported cattle multiplied, more grazing land was needed, justifying further expansions. Animal colonialism involves not only the migration of animals, but also of the legal status they were accorded in the Old World. Imperial states can recognize or refuse to recognize the legitimacy of multispecies relationships in the regions they conquer, attempting to regulate them or replace them with new ones. In both the civil law and the common law traditions, animals were the personal property or chattel of their human owners and could not pos- sess rights.4 They were means to human ends. One illustration of how the property status of animals became “globalized” is the Seventeenth-Century introduction of the crime of animal theft in the Chesapeake and present day Virginia. While Northern native peoples such as Algonquians did not claim any form of property over animals —and had domesticated very few—Virginia’s governor Francis Wyatt proclaimed in 1623 that anyone convicted of stealing any “Beast or Bird of Domesticall or tame nature” worth more than twelve pence would be put to death.5 By then colonists’ cattle and other domesticated animals were often left to run wild due to the lack of fenced pasture and manpower. These loose animals became a source of recurrent litigation either because they spoiled farmers’ crops or were “stolen.” Preserving the status of animals as property was a way to reinforce the authority of the English rule as wild livestock were considered as property of the Crown. 2 ALFRED CROSBY, ECOLOGICAL IMPERIALISM: THE BIOLOGICAL EXPANSION OF EUROPE 900–1900 (1986). 3 VIRGINIA DEJOHN ANDERSON, CREATURES OF EMPIRE: HOW DOMESTIC ANIMALS TRANSFORMED EARLY AMERICA 97 (2004). 4 GARY L. FRANCIONE, ANIMALS, PROPERTY, AND THE LAW 4 (1995). 5 DEJOHN ANDERSON, supra note 3, at 124. 268 AJIL UNBOUND Vol. 111 http://www.cambridge.org/catalogue/catalogue.asp?isbn=9781107299542 https://toleratedindividuality.files.wordpress.com/2015/02/creatures-of-empire-how-domestic-animals-transformed-early-america.pdf http://www.jstor.org/stable/j.ctt1bw1jm9 http://www.cambridge.org/catalogue/catalogue.asp?isbn=9781107299542 https://toleratedindividuality.files.wordpress.com/2015/02/creatures-of-empire-how-domestic-animals-transformed-early-america.pdf http://www.jstor.org/stable/j.ctt1bw1jm9 https://toleratedindividuality.files.wordpress.com/2015/02/creatures-of-empire-how-domestic-animals-transformed-early-america.pdf https://toleratedindividuality.files.wordpress.com/2015/02/creatures-of-empire-how-domestic-animals-transformed-early-america.pdf The notion of animals as property proved essential to the diffusion of animal farming, particularly dairying, as it justified taking the milk from female animals for human consumption. Milk Colonialism Milk, which can be described as a “conquering colonial commodity,”6 has been caught up in some of the central tensions of nationalist projects both in the metropoles and their colonies. Before the modern colonization area, dairying and animal milk consumption were confined to a few areas: Central and Northern Europe, the Middle East, sub-Saharan Africa, Central Asia, and the Indian subcontinent. To this day, “lactase persistence” (the ability to digest lactose) remains relatively rare among humans: about 75 percent of the world population is lactose intol- erant. Lactase persistence has been tied to population genetics, which explains why it is found primarily in people with ancestry in regions that have a history of animal domestication such as North-Western Europe, South Asia, and the Middle East.7 The fact that animal milk and dairy products are now ubiquitous around the globe, either because they are produced in regions with little or no history of dairying or because they are imported, is a tes- tament to the sway of milk colonialism and international trade law. India, China, Brazil, and New Zealand, all formerly colonized lands, currently figure on the list of the top ten cow’s milk producers in the world. The Asia Pacific is one of the biggest markets for imported condensed milk and other processed dairy products. Deborah Valenze has depicted the global history of milk as the emergence of a culturally malleable, universal commodity, a story “of [the] conquest of space, energy, and dietary preferences.”8 The arrival of domesticated ruminants in colonized lands was driven by European agendas. Settlers had become used to consuming milk prod- ucts back home and were eager to carry on their foodways. Fast forward to the late Nineteenth Century, dairying had become a major industry in Europe and the United States through economic rationalization and new tech- nologies which transformed milk from a substance that spoiled so easily that it had to be consumed on the spot into a commodity that could travel huge distances. Condensed milk—still ubiquitous today in formerly colonized countries of East Asia and Africa in particular—is a paradigmatic imperialist food. Its invention by Gail Borden in the mid-Nineteenth Century was tied to the search for a shelf stable food for soldiers, explorers, and merchants. During the American Civil War, the continental army embraced it as a cheap and transportable source of calories, soon followed by other armed forces, and later by the poor urban classes of European and North America as well as colonizers and colonized people in various regions where fluid animal milk was hard to come by. The interwar period saw the first concerted attempts to industrialize dairying outside of Europe and North America. China is a case in point. Traditionally a nondairying culture, it is now the third largest cow’s milk producer in the world. The Chinese dairy industry originated in American missionaries and foreign businessmen’s efforts to promote milk production and consumption.9 In the postcolonial era, milk colonialism carried on in most conti- nents under the guise of international law and commerce, which is reflected in the number of international trade disputes pertaining to milk since World War II. Since the 1960s, the expansion of international food aid allowed Europe and the United States to dispose of their milk surpluses, all the while maintaining stable prices at home. For instance, “Operation Flood,” a program launched in 1970 and financed in part through the sale of European dairy surpluses through the World Food Program transformed India into the world’s largest milk producer. Reminiscent 6 Jonathan Saha, Milk to Mandalay: Dairy Consumption, Animal History and the Political Geography of Colonial Burma, 54 J. HIST. GEOG. 1, 2 (2016). 7 ANDREA WILEY, RE-IMAGINING MILK: CULTURAL AND BIOLOGICAL PERSPECTIVES 37 (2010). 8 DEBORAH VALENZE, MILK: A LOCAL AND GLOBAL HISTORY 3 (2011). 9 Françoise Sabban, The Taste for Milk in Modern China (1865–1937), in, FOOD CONSUMPTION IN GLOBAL PERSPECTIVE 182, 188–189 (Jakob A. Klein & Anne Murcott eds., 2014). 2017 ANIMAL COLONIALISM: THE CASE OF MILK 269 http://www.sciencedirect.com/science/article/pii/S0305748816300421 http://cw.routledge.com/textbooks/anthropologyofstuff/milk_home.html http://yalebooks.yale.edu/book/9780300188127/milk https://link.springer.com/chapter/10.1057%2F9781137326416_9 http://www.sciencedirect.com/science/article/pii/S0305748816300421 http://cw.routledge.com/textbooks/anthropologyofstuff/milk_home.html http://yalebooks.yale.edu/book/9780300188127/milk https://link.springer.com/chapter/10.1057%2F9781137326416_9 of older forms of animal colonialism, this “white revolution” proceeded in part by replacing Indian bovine breeds with quick fattening, high yield European breeds. The intense, and increasingly global, dairying and dairy food consumption has had dramatic effects on female mammals and their young. By taking milk from animals and feeding it humans, particularly human babies, dairying severs the nursing relationship twice: between lactating animal mothers and their offspring and between human mothers and their offspring. Breastfeeding Colonialism In the early Twentieth Century, lactating animals were conscripted in a colonial reproductive politics aimed at reforming maternity, understood as the embodied experiences of being pregnant, giving birth, and feeding and caring for infants. Since the Nineteenth Century, low birth rates and high infant mortality (which was due in part to the unsanitary animal milk many infants were fed before “safer” substitutes became available) had generated anx- ieties, particularly in the British and French empires. In the metropoles, eugenicist fears developed about national decline and “racial degeneration.” In the colonies, the desire for a larger indigenous labor force and army underlied the declared public health goal of fighting “depopulation” and “improving” population health. Population growth was seen as a form of power and child rearing became a national duty. In this highly racialized populationist project, milk turned into a central nationalist and imperialist tool. Indigenous people and animals were stigmatized as inadequate. Native women were accused of lacking maternal instinct and breastfeeding too long, yet producing mediocre milk. Traditional forms of contraception such as post- partum abstinence and long-term breastfeeding were ridiculed or deplored. Indigenous cows were disparaged as producing milk of inferior quality and in insufficient quantities. A colonial doctor, writing in 1936 about French African colonies thus blames low natality rates among the native population on a combination of prolonged breastfeeding, inferior human milk, and scarce and low quality animal milk.10 Nancy Rose Hunt magisterially described the colonial regulation of breastfeeding in the Belgian Congo as a tool for population increase.11 In the early Twentieth Century, making animal milk available to the colony was thought to promote the fertility of women, both white and black. Early weaning and compulsory bottle-feeding were specifically prescribed to black mothers to reduce their breast milk supply and encourage return to full fertility. The Belgian Congo was not an isolated case as comparable colonial policies were developed in Malaya, Sudan, French West Africa, Vanuatu and Fiji, and the Philippines.12 Improving or modernizing maternity meant replacing the human breast by cow’s milk. That was also true in the metropoles. Milk depots and clinics multiplied in European and American cities, distributing sanitized animal milk at a time when pasteurization and formula were not widely available. In the colonies, early childhood interventions aimed at challenging indigenous traditions of mothering in the name of civilization, modernity, and scientific medicine. Early Twentieth Century milk depots in the Philippines are illustrative of this dynamic.13 Through them, the American colonial government hoped to create “enlightened mothers,” instructed on the “proper” care of infants, particularly in terms of sanitation and hygiene. The depots dispensed free or subsidized pasteurized cow’s milk obtained, whenever possible, by estab- lishing their own dairies populated by cows imported from Australia. 10 J.L.F. Cazanove, La Question du Lait dans les Colonies Africaines, 9 AFRICA 227, 231 (1936) (my translation). 11 Nancy Rose Hunt, “Le Bébé en Brousse”: European Women, African Birth Spacing and Colonial Intervention in Breast Feeding in the Belgian Congo, 21 INT’L J. AFR. HIST. STUD. 401 (1988). 12 Tehila Sasson, Milking the Third World? Humanitarianism, Capitalism, and the Moral Economy of the Nestlé Boycott, 121 AM. HIST. REV. 1196, 1200 (2016). 13 Mina Roces, Filipino Elite Women and Public Health in the American Colonial Era, 1906–1940, 26 WOMEN’S HIST. REV. 477, 484 (2017). 270 AJIL UNBOUND Vol. 111 https://www.jstor.org/stable/1155626?seq=1#page_scan_tab_contents https://www.jstor.org/stable/219448?seq=1#page_scan_tab_contents https://academic.oup.com/ahr/article-abstract/121/4/1196/2581604/Milking-the-Third-World-Humanitarianism-Capitalism?redirectedFrom=fulltext http://www.tandfonline.com/doi/abs/10.1080/09612025.2016.1194076?journalCode=rwhr20 https://www.jstor.org/stable/1155626?seq=1#page_scan_tab_contents https://www.jstor.org/stable/219448?seq=1#page_scan_tab_contents https://academic.oup.com/ahr/article-abstract/121/4/1196/2581604/Milking-the-Third-World-Humanitarianism-Capitalism?redirectedFrom=fulltext http://www.tandfonline.com/doi/abs/10.1080/09612025.2016.1194076?journalCode=rwhr20 It is now well known that the spread of animal milk, particularly in the form of infant formula, has had dele- terious effects on human babies and their mothers, especially in former colonies. However, the harm to animals ushered in by the globalization of milk consumption is less familiar. Female animals bred and exploited for their milk live a particularly miserable existence, exposed to extreme physiological demands. They are maintained in a quasi-constant state of pregnancy and lactation via forced insemination or other forms of reproductive technol- ogies, only to have their newborns removed from them so that humans may express their milk. There is a special harm, for both human and nonhuman mammals in being prevented from nursing. As Sherry Colb has written, “[l]ike other mammals, cow mothers are extremely attached to their newborn babies and want nothing more than to be able to nurse them. The babies feel this way too, and they find comfort, nourishment, and pleasure in nursing on their mothers.”14 Under natural conditions, the weaning process involves a gradual reduction in milk intake, accompanied by increasing social independence from the mother and increasing intake of solid food. By contrast, farm animals are typically weaned abruptly by separating the young from the mother, often within hours of birth. In this system, both baby animals and their mothers show a distinctive distress response when they are separated —both bellow for several days, sometimes weeks with grief. Conclusion: Toward a Trans-Species Right to Breastfeed? While international law has begun to address issues such as endangered species and biodiversity, the welfare of animals, let alone lactating animals, remains unaddressed. Yet, could it be that lactation, because it is common to all mammals, represents a promising starting point for advocating in favor of stronger international animal welfare protection? In other words, one strategy to promote global animal law, both as a research program and as a branch of law, could be to connect it with other international legal initiatives such as women and children’s rights. This could be done in an ecofeminist vein, that is, by taking seriously the idea that the oppression of animals and human females is interconnected and mutually reinforcing. Milk is a quintessentially intersectional issue, cutting across the human/animal divide. It is produced by female mammals of all species, including women. As pioneering ecofeminist Carol Adams likes to point out, all milk from female animals is “breast milk.” One avenue to advance the global animal law agenda may be to reorient interna- tional breastfeeding advocacy toward promoting the welfare of lactating animals of all species, rather than humans only. International human rights lawyers have considered the idea of a woman’s right to breastfeed and a child’s right to be breastfed for some time. No such rights have been recognized yet, but the World Health Organization (WHO) and the United Nations Children’s Fund developed the International Code of Marketing of Breast-Milk Substitutes in 1981 as a health policy framework for breastfeeding promotion. Though the WHO lacks enforce- ment mechanisms, the Code’s recommendations were incorporated into many domestic laws and successfully pressured Nestlé and its like to change their marketing strategies. Why not expand the movement to other lactating animals and their offspring? This shift would vindicate Katsi Cook’s beautiful insight that the mother’s body is the first environment,15 and as such should be protected regardless of species. 14 Sherry F. Colb, “Never Having Loved at All”: An Overlooked Interest that Grounds the Abortion Right, 48 CONN. L. REV. 933, 952–953 (2016). 15 WINONA LADUKE, ALL OUR RELATIONS: NATIVE STRUGGLES FOR LAND AND LIFE 22 (1999) (quoting Katsi Cook). 2017 ANIMAL COLONIALISM: THE CASE OF MILK 271 http://scholarship.law.cornell.edu/cgi/viewcontent.cgi?article=2614&context=facpub https://www.haymarketbooks.org/books/898-all-our-relations http://scholarship.law.cornell.edu/cgi/viewcontent.cgi?article=2614&context=facpub https://www.haymarketbooks.org/books/898-all-our-relations Animal Colonialism: The Case of Milk Animal Colonialism Milk Colonialism Breastfeeding Colonialism Conclusion: Toward a Trans-Species Right to Breastfeed? 
work_2t6g3oskojfivf3rsvm5nb3wjm	----	The French Pox 265J Fam Plann Reprod Health Care 2006: 32(4) HISTORY OF CONTRACEPTION Aetiology and epidemiology Syphilis (also known as ‘The French Pox’) landed on England’s shores in about 1493. The term ‘French Pox’ was derived from the belief that the disease originally travelled from the New World and through France before arriving in England’s green and pleasant land. Controversially, it was believed to be Christopher Columbus’ own ship that brought such misery but this was not suggested until several decades after the event. Smallpox and plague exacted a much higher toll on human life and a lot more quickly than syphilis, yet it still became one of the most prolific and feared fatal diseases for over 450 years. The causative agent for syphilis is a spirochaete bacterium, Treponema pallidum, which is carried through the mucous membranes of the mouth, anus or genitals. The early Tudors had no understanding of bacteria or viruses. They believed, as did the ancient Greeks, in humoral medicine, whereby illness was lodged with the individual who was out of ‘balance’ in some way. It was also thought possible to become ill from bad smells or poisons lodged in foods. The Tudors did understand, however, that plagues came in waves. The Black Death killed 30–50% of the population. These were the massive medical dramas; lower-ranking illnesses tended not to be well recorded. It is therefore interesting for modern-day scholars to find actual reference to both the first known cases of a disease and also some logging from notes, fairly early on, of the development and spread of the epidemic. As early as 1505, clusters of cases began to be recorded. Twelve years after the first notes of the disease may not be considered especially rapid by modern standards but by Tudor standards this was fast. Numerous doctors were discussing cases of syphilis in the last decade of the 15th century, especially in the Italian city-states. Somewhere, out there in the medical community, were individuals who registered the movement of the disease and the nature of the symptoms. The natural scientists of common sense were reacting and asking the right questions such as ‘How?’ and ‘Why?’. The reader must appreciate that in Tudor England there were no esteemed professional publications, such as this one, in which information might be shared and disseminated. Medical schools (as we know them) did not exist. A doctor or surgeon learned their profession as an apprentice to a licensed medical practitioner or, for a rich individual, there was university first to study medicine followed by an apprenticeship. The university did provide a forum for philosophy, including debate. Unfortunately, most of the content of the studies was based on the beliefs of medical philosophers who lived centuries before the birth of Christ. It is important to distinguish between physicians and surgeons. Physicians would have been what we would generally regard as general practitioners, and would have been university trained. Surgeons, who were of a lower social status, would have been ‘knife men’; it was the barber surgeons who would be more likely to have done an apprenticeship. By the mid 1500s, rich and poor alike were being infected by the Pox and a wide range of names for the disease appears in the literature and doctors’ notes of the period: Hot Piss, The Clap, Winchester Goose (the Bishops of Winchester held the taxation on whore houses), the French Disease, the French Embrace, the Infinite Malady and Syphilis. Syphilis is an interesting disease to track since it seems to have gone through some changes or mutation in terms of how symptoms were presented. Indeed, the great challenge is to ascertain whether this is the disease the contemporary doctors’ notes say it is! A further complicating factor is that syphilis modified its behaviour faster than any other disease ever known. There does not seem to be (as we know it) at the beginning of the disease a small hard chancre; instead the body was rapidly covered in pus-filled lesions that seem to correspond to the secondary stage, usually appearing several weeks after the first stage comprising just a small ulcer. The secondary stage was highly infectious. There was confusion, understandably, that this might be a form of leprosy or scabies. This presentation seems to have lasted from a matter of months to just over a year before subsiding, whereupon a cure seemed apparent. In fact, the disease was usually lying dormant and would reappear some years later as tertiary syphilis. Naturally, medical practitioners thought reoccurrences represented re- infection. All this discussion would have been of little concern to the Tudor physician. He would be convinced that sexual contact and the stars had resulted in the body’s humors being thrown out of balance in a hot, dry state (Table 1). The pus-filled blisters were seen as vents for the yellow bile humor. Like bubbling porridge, the heat was so great the skin was boiling. The hot urine further convinced medical practitioners of the extreme heat and fire elements of the Pox. God, in this governance of the stars, would also play His part in this illness as divine retribution for the “licentious and beastly disorder” of the morally degenerate. For it was very early on in the passage of the disease that poxing of the genitals could be seen and it was but a short journey to lay the blame firmly at the whorehouse doors. The Tudors regarded God as a Michelangelo figure who could stretch out His arm and move the planets about like billiard balls, with the resultant effect on air, tides and the humors of man. The astrological sign of Ares (the Greek god of war), which is hot and dry, would be seen as controlling some of the heavens when syphilis was rampant. The French Pox Lesley Smith J Fam Plann Reprod Health Care 2006; 32(4): 265–266 Tutbury Castle, Tutbury, UK Lesley Smith, Curator Correspondence to: Lesley Smith, Tutbury Castle, Tutbury, Staffordshire DE13 9JF, UK. E-mail: info@tutburycastle.com Table 1 The humors and their qualitiesa Humor Fluid Heat/moisture Element Sanguine Blood Hot and moist Air Choleric Yellow bile Hot and dry Fire Phlegmatic Phlegm Cold and moist Water Melancholic Black bile Cold and dry Earth aSource: Sex, Society and Medieval Women by N M Heckel. 265-266 - JFPRHC Oct 06 9/20/06 4:08 PM Page 1 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://jfp rh c.b m j.co m / J F a m P la n n R e p ro d H e a lth C a re : first p u b lish e d a s 1 0 .1 7 8 3 /1 4 7 1 1 8 9 0 6 7 7 8 5 8 6 6 0 6 o n 1 O cto b e r 2 0 0 6 . D o w n lo a d e d fro m http://jfprhc.bmj.com/ Treatment and prevention Doctors set about the business of trying to cure, and in some cases try and prevent, this onslaught on society. The main treatment for syphilis in Tudor times involved the use of mercury. Mercury ointment had been used for centuries by Arabians to treat skin disorders, particularly scabies. ‘Quicksilver’ sales rose dramatically. Patients were rubbed in mercury ointment, drank solutions of it, inhaled it and – to really liven up a dull afternoon – they could bend over and have their genitals injected with it. The source of the latter information is an extraordinary illustration showing the treatment together with other tortuous efforts. Then heat was applied using steam baths: barrel-style with the individual’s head sticking out or alternatively sauna- style rooms for mass treatment. Iatrogenic illness was typical, and so presumably was aversion therapy for visiting a whorehouse again. Some patients were famous, such as Mary Queen of Scots’ second husband, the ghastly Darnley, who was treated in Glasgow for the French Pox. There has also been much speculation about Henry VIII, but real medical evidence is slim. Even Shakespeare has been the subject of great debate as to whether he was a sufferer, virtually only on the basis that he wrote frequently and accurately about the symptoms and treatment of syphilis. The poor Bard has been accused of just about everything else too, from bisexuality to adultery. Shakespeare was a fantastic observer, which might explain his ability to write about the Pox, though I might point out he wrote about kings and fairies too! There is a famous medical poem (usually cited as being published in 1530, but it is thought that it was probably written several years earlier) by Giroloma Frascastoro entitled ‘Syphilis sive morbus Gallicus’ (‘Syphilis or the French Disease’). Contagion, treatment and symptoms all appear in this fine Latin work, which tells the story of Syphilis, the shepherd who contracted the disease by offending the gods. Many believe it was Frascastoro’s poem that gave the disease its name. Steps were taken to try and prevent the disease spreading too wildly. Henry VIII closed the whorehouses in 1546 and the boy king, his son Edward, re-opened them in 1552. The opportunity to regain this source of taxation revenue must have been too tempting. Condoms of leather and gut were used in England and the prophylactic of “hard-pissing” was well thought of. “Hard-pissing” involved a prostitute having two chamber pots under the bed: one for her own use and one for her clients who immediately after ejaculation were advised to urinate as hard as they could to flush out any bodily fluids. Even respectable, general usage household management books gave recipes for the making up of cures and salves for the French Pox. Gervase Markham, in the late 16th century, wrote in his book, The English Housewife: “Take quicksilver and kill it with fasting spittle, then take verdigris, Arabic, turpentine, oil olive, and populeon, and mix them together to one entire ointment, and anoint the sores therewith, and keep the party exceeding warm. Or otherwise, take of alum burned, of resin, frankincense, populeon, oil of roses, oil de bay, oil olive, green copperas, verdigris, white lead, mercury sublimate, of each a pretty quantity but of alum most, then beat to powder the simples that are hard, and melt your oils, and cast in your powders and stir all well together, then strain them through a cloth, and apply it warm to the sores; or else take of capon’s grease that hath touched no water, the juice of rue and the fine powder of pepper, and mix them together to an ointment, and apply it round about the sores, but let it not come into the sores, and it will dry them up”. Future articles This article only deals with the first hundred years of the onslaught of syphilis. The next few hundred years, until the antibiotic revolution of the 1940s, are equally as fascinating. The events of those centuries are the subject of another article. Readers may be interested to note that the next article in the series will be on the subject of childbirth. The author invites readers who would like to find out more about any of the articles in this series to write to her personally and all correspondence will be answered. Acknowledgements The author would like to thank the following individuals for their help and advice: Dr R Arnott, Sub-Dean of Medicine and Director of The Medical School, University of Birmingham, Birmingham, Dr G Williams, Curator of the British Museum, London and Dr R K Dart, Consultant Microbiologist. Bibliography 1 Markham, Gervase (1568?–1637). The English Housewife. Best, Michael R (ed.) (translated from the primary source). Montreal and Kingston, Canada: McGill-Queen’s University Press, 1986. A contemporary piece written to advise housewives on wide ranging topics from home medicine to cooking to brewing. The Renaissance woman’s handbook. 2 Heckel NM. Sex, Society and Medieval Women. http://www.lib. rochester.edu/camelot/medsex/text.htm [Accessed 16 July 2006]. 3 Leyser, Henrietta. Medieval Women. London, UK: Phoenix Press, 1995. 4 Haynes, Alan. Sex in Elizabethan England. Stroud, UK: Sutton Publishing, 1997. 5 Petrie, Hugh. The French Pox. Bristol, UK: Stuart Press, 1999. 6 Various publications available in the The Wellcome Library for the History and Understanding of Medicine, London, UK. Every doctor who enjoys the history of medicine should be a member. About the Author Lesley Smith is an Elizabethan historian, currently studying for the degree of MPhil in the History of Medicine at Birmingham University Medical School. She has appeared in 24 television programmes including Tony Robinson’s The Worst Jobs in History, and is currently working on an eight-part 1-hour major series on the Private Lives of Women. Lesley is well known as a public speaker, and on 23 November 2006 Lesley will be speaking at the Faculty of Family Planning and Reproductive Health Care Current Choices Conference at the Royal Society of Medicine in London. 266 J Fam Plann Reprod Health Care 2006: 32(4) HISTORY OF CONTRACEPTION “The whorehouse client puts his hand in the fire.” C a rt o o n b y L es le y S m it h 265-266 - JFPRHC Oct 06 9/20/06 4:08 PM Page 2 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://jfp rh c.b m j.co m / J F a m P la n n R e p ro d H e a lth C a re : first p u b lish e d a s 1 0 .1 7 8 3 /1 4 7 1 1 8 9 0 6 7 7 8 5 8 6 6 0 6 o n 1 O cto b e r 2 0 0 6 . D o w n lo a d e d fro m http://jfprhc.bmj.com/ 
work_2xeh7rdbpvcc7iyhf2uetxooq4	----	BA602809.pdf Su: Successful Invader 765 HOW TO BECOME A SUCCESSFUL INVADER§ NAN-YAO SU Department of Department of Entomology & Nematology, Fort Lauderdale Research & Education Center, University of Florida, Davie, Florida 33314; E-mail: nysu@ufl.edu §Summarized from a presentation and discussions at the “Native or Invasive - Florida Harbors Everyone” Symposium at the Annual Meeting of the Florida Entomological Society, 24 July 2012, Jupiter, Florida. ABSTRACT Most invasive species hitchhike on human transportation, and their close associations with human activity increase their chances of uptake. Once aboard, potential invaders have to survive the journey, and those with traits such as being a general feeder or tolerance to a wide range of environmental conditions tend to survive the transportation better. Similar traits are generally considered to also aid their establishment in new habitats, but stud- ies showed that the propagule pressure, not any of the species-specific traits, is the most important factor contributing to their successful establishment. Higher propagule pressure, i.e., repeated invasions of larger numbers of individuals, reduces Allee effects and aids the population growth of invasive species in alien lands. Coined as the invasive bridgehead ef- fect, repeated introduction also selects a more invasive population that serves as the source of further invasions to other areas. Invasive species is the consequence of homogenocene (our current ecological epoch with diminished biodiversity and increasing similarity among ecosystems worldwide) that began with the Columbian Exchange of the 15th century and possibly the Pax Mongolica of the 13-14th century. Anthropogenic movement of goods among major cities will only accelerate, and the heightened propagule pressure will increase the number of invasive species for as long as the current practices of global commercial activi- ties continue. Key Words: propagule pressure, invasive bridgehead effect, homogenocene, Columbian Ex- change RESUMEN La mayoría de las especies invasoras entran los países conjuntamente con el transporte humano y sus estrechas asociaciones con las actividades humanas aumentan sus posibilida- des de admisión. Una vez a bordo, los invasores potenciales tienen que sobrevivir el viaje y las species con características tales como ser un consumidor general o una tolerancia a una amplia gama de condiciones ambientales tienden a sobrevivir el transporte mejor. También, por lo general se considera que las características similares ayudan su establecimiento en nuevos hábitats, pero los estudios muestran que la presión de propágulos, no unas de las características específicas de la especie, es el factor más importante que contribuye a su esta- blecimiento exitoso. Mayor presión de propágulos, es decir, repetidas invasiones de un mayor número de individuos, reduce los efectos de Allee y ayuda en el crecimiento de la población de las especies invasoras en paises exóticos. Llamado como el efecto invasivo de la cabeza de puente, la introducción repetida también selecciona una población más invasiva que sirve como una fuente para más invasiones a otras áreas. Las especies invasoras son la consecuen- cia de homogenocene (nuestra época ecológica actual con la disminución de la biodiversidad y el aumento de similitud entre los ecosistemas en todo el mundo), que comenzó con el Intercambio Colombiano del siglo 15 y posiblemente la Pax Mongolica del siglo 13 al 14. El movimiento antropogénico de mercancía entre las principales ciudades seguirá aceleraran- dose, y la elevada presión de propágulos aumentará el número de especies invasoras por el tiempo que las prácticas actuales de actividades comerciales globales continúen. Palabras Clave: presión de propágulos, efecto invasivo de la cabeza de puente, homogenoce- ne, Intercambio Colombiano Of the over 12,500 insect species found in Flor- ida in 1995, 988 (7.9%) were listed as “non-na- tive” species (Frank & McCoy 1995), but not all of them are considered “invasive.” Invasive species are defined as the non-native “pest” species, i.e., those that adversely affect environment, economy and human health (Anonymous 1999). Pest sta- tus is determined primarily by human value and 766 Florida Entomologist 96(3) September 2013 perception. Following its successful introduction to control cacti (Opuntia spp.) (Caryophyllales: Cactaceae) in Australia in 1925, for example, the moth Cactoblastis cactorum Berg (Lepidoptera: Pyralidae) was intentionally introduced to sev- eral Caribbean islands in 1957 (Frank & McCoy 1995) to control Opuntia weeds. By 1989, C. cac- torum had spread to the Florida Keys where it became a “pest” because it began to attack two cati, O. spinosissima Martyn (Mill.) and O. triac- antha (Willdenow), which are considered to have value because they are designated rare (Habeck & Bennett 1990). Certain species-specific characteristics are of- ten regarded as traits that render some species more “invasive.” These include, among others, high dispersal ability (better survival of transpor- tation), association with human activity (increas- ing opportunities for migration), ecological com- petence (better survival in a new environment), rapid and/or placid reproduction (e.g., sexual and asexual reproduction), and rapid population growth. The usefulness of the list of such “inva- sive” traits has been questioned because many species with these traits have never become in- vasive (Kolar & Lodge 2001). These traits may be “necessary” instead of “sufficient,” but they still serve as the guide to understand the likelihood of a species to become invasive. STEPS TOWARD SUCCESSFUL INVASION AND ES- TABLISHMENT Uptake and Migration Most cases of species invasions are human- mediated. Living organisms extend their ranges naturally, but natural extension of most species occurs less frequently and at much shorter dis- tances than anthropogenic events. Because most invasive species hitchhike on human transpor- tation, a close association with human activity increases their chances of uptake. Cockroaches, rodents and some termite species tend to live near human habitat and are frequently transported. The Formosan subterranean termite, Copto- termes formosanus Shiraki (Isoptera: Rhinoter- mitidae), for example, tends to infest man-made structures (hence the common name in its native China is “house termite”), and is one of the most widely distributed subterranean termites (Rust & Su 2012). The West Indies powderpost termite, Cryptotermes brevis Walker (Isoptera: Kaloter- mitidae), often hitchhikes in wooden furniture or picture frames (and thus nicknamed “furniture termite”), and is found in more regions in the world than any other termite species. Once aboard, the stowaway has to survive the journey (Fig. 1). General feeders that can tolerate a wider range of temperature and humidity tend to survive better during the transportation, but some species may create conditions suitable for their survival. Incipient colonies of C. formosa- nus, for example, may seal off the nest after tun- neling into wet wood, and create moist conditions in their food source to survive the journey. Surviving in a New Environment: Propagule Pressure Species-specific traits that better serve for survival during transportation (i.e., generalist feeders, and tolerance to a wide range of environ- mental conditions) are usually considered to aid the invaders to survive in new environment. Co- lautti et al. (2006) who studied 14 invasive char- acteristics (i.e., features associated with invasive species), however, found that propagule pressure was the only consistent predictor of invasive- ness. Physiological tolerance and body size did not have any effect on a species’ ability to invade a foreign land. Propagule pressure is defined as the measure of the total number of individuals being introduced, and is the function of the num- ber of introduction events and the mean number of introduced individuals per event (Lockwood et al. 2005) (Fig. 1). Generally speaking, more intro- duction events with more individuals per event increase the propagule pressure and hence the chance of successful establishment (Colautti et al. 2006). Propagule pressure is affected by inva- sion pathways that are closely associated with human activities. Using the mitochondrial DNA sequences, Yang et al. (2012) examined the inva- sion pathways of the fire ant, Solenopsis invicta Fig. 1. Steps for a species to become a successful in- vader in alien lands. Su: Successful Invader 767 Buren (Hymenoptera: Formicidae), into China and showed that this species was most likely im- ported from Austin, Texas, which also ranked the highest in exporting goods to China. The frequent traffic of goods from Austin to China apparently increased the propagule pressure and aided its successful invasion. Population Growth and Allee Effect The notion that density dependent factors gov- ern the upper limit of population size goes back as far as Malthus and forms the backdrop for natural selection. However, low population den- sity during the early stage of species establish- ment may also inhibit population growth due to infrequent intra-species encounters. Coined the “Allee effect,” this principle was demonstrated in a series of studies using goldfish (Allee 1931; Al- lee & Bowen 1932) during the time when most ecologists were focusing on the adverse effects of overcrowding and competition on individual sur- vival. Overcrowding increased individual com- petition and mortality thus inhibits population growth, but according to the Allee effect, under- crowding also deters population growth due to these aggregation-related consequences. Mecha- nisms contributing to the Allee effect may include mate limitation, cooperative defense, cooperative feeding, and environmental alternation through aggregation. Leung et al. (2004), for example, used prediction models to study zebra mussel invasions in 1,589 inland lakes of Michigan and found that models that included the Allee effect were better in predicting its invasion. Due to the Allee effect, higher propagule pressure increases the probability for invasive species to establish in a new environment, and to increase its population (Fig. 1). Range Expansion and Invasive Bridgehead Effect Many species do not establish in alien lands despite being frequently transported by man, be it intentionally or accidentally (Lockwood et al. 2005). The frequent anthropogenic movement of these species may act as a process to select a particular population that is more invasive than others. Once established, the selected population, instead of the populations in the native land, may become the source of further invasions to other re- gions and range expansion (Fig. 1). This phenom- enon was termed “invasive bridgehead effect” by Lombaert et al. (2010) who tracked the invasive pathways of the Asian ladybeetle, Harmonia axy- ridis (HA) by analyzing the microsatellite genetic variation among its populations worldwide. There have been repeated attempts to release H. axyri- dis as the biological control agent against aphids since early 1900s, but all failed. Since 1988, H. axyridis has been found unexpectedly in multiple areas. Some of these populations were eventu- ally successful in the control of soybean aphids, but others became nuisance pests due to their unpleasant odors when they overwinter indoors in large numbers. A genetic study by Lombaert et al. (2010) showed that H. axyridis from its na- tive Asia established its bridgehead in eastern U.S. in 1988, from which it was later introduced to South America, South Africa and Europe. The study of S. invicta invasive pathways to China of- fers another example of bridgehead effect (Yang et al. 2012). A comparison of the genetic varia- tions among 27 populations of S. invicta (10 in China and 17 in the U.S.) showed that most popu- lations in China appeared to have originated from Wuchuan in southwest Guangdong Province, P.R. China, in which this ant species first established, and served as the bridgehead population to other populations in China. HOMOGENOCENE The process of successful establishment by in- vasive species as shown in Fig. 1 is part of a larger trend of “homogenocene” which was termed by Samways (1999) to characterize our current eco- logical era as an epoch with diminished biodiver- sity and increasing similarity among ecosystems worldwide. Homogenocene results from anthro- pogenic movement of organisms worldwide, and most attribute its beginning to the “Columbian Exchange,” i.e. the large scale exchange of goods, and macro- and microorganisms following the 1492 voyage of Christopher Columbus to the New World (Mann 2011). Connection of 2 once-sepa- rated Hemispheres prompted the movements of numerous organisms, but before the Columbian Exchange, there was another dramatic connec- tion of 2 largely separated worlds during the Pax Mongolica via the Silk Road. Pax Mongolica: 13th-14th Century Following a series of wars waged through most of the 11th century, Genghis Khan and his descen- dents built the largest continuous empire in hu- man history that stretched from the Pacific Ocean to the Caspian Sea and today’s Moscow. The Mon- gol Empire was partitioned into 4 branches, and despite political tensions and constant squabbles among them, trade routes were kept open, and exchanges of goods, people, and ideas changed the lives of those inhabited within the Mongol Em- pire and the neighboring nations. The Silk Road (started in the Han dynasty, 206 BCE – 220 CE) was reopened as the main land route connecting China with Europe. The Maritime Silk Road con- nected China through SE Asia, the Indian Ocean, the Arabian Sea, the Persian Gulf, and the Red 768 Florida Entomologist 96(3) September 2013 Sea to East Africa. Through these networks of trade routes, a global commerce flourished for the first time in human history, and productiv- ity and populations of nations within the trade zone grew rapidly (Abu-Lughod 1989). The Yum system (a series of relay stations at every 32-40 km along the major routes to supply fresh horses and other travel accommodations) that was origi- nally established to secure communication among Mongol troops, provided vital needs for traveling merchants, and the trade routes were manned by Mongol soldiers for safe passage. Chinese silk, exotic spices, Indian cotton, sugar and new crops such as carrots, turnips and buckwheat were in- troduced to Europe by merchants from the East. In addition to commodities and products, people and information also flowed through the Silk Road. The Venetian merchant, Marco Polo traveled with his father and uncle to China (Ca- thay) and the book of his travel and adventure, “The Travel of Marco Polo” introduced Europeans to the exotic countries in the east, and stirred imagination of many including Christopher Co- lumbus (Latham 1958). Introduction of Chinese innovations such as paper, printing, gunpowder, firearms and the magnetic compass were con- sidered underlying factors for the emergence of Renaissance in Europe (Weatherford 2004). Through the same trade routes, the pathogen of Plague, the bacterium Yersinia pestis (Lehmann and Neumann 1896) van Loghem 1944, was also brought to Europe by its carrier, the Oriental rat flea, Xenopsylla cheopis (Rothschild) (Siphonap- tera: Pulicidae) on rodents that hitchhiked trade ships from the Orient. The disease ravaged Asia with an estimated 25 million victims before enter- ing Europe (Kohn 2008). Between 1347 and 1353, Plague killed one third of the European popula- tion, and profoundly altered the course of Euro- pean history. The most significant impact of Pax Mongolica to homogenocene, however, is that sto- ries of lands with abundance of gold, treasures, and exotic spices flowing through the Silk Road led Europeans to the age of discovery, and the Co- lumbian Exchange. Columbian Exchange Columbus’ voyage in 1492 connected 2 Hemi- spheres and promoted a dramatic and widespread exchange of organisms between them. New World crops such as maize, potato, tomato, tobacco, sweet potato, cacao, vanilla, pineapple, chili pep- per, peanut, sunflower, and papaya were spread to and deeply affected lives of those in the Old World. Introduction of maize, potato and sweet po- tato to China, for example, turned marginal lands of mountainous terrains (which were unsuitable for cultivating traditional crops such as rice and wheat) into productive lands that contributed to the doubling of the Chinese population (Mann 2011) in the Qing dynasty (1644 to 1912). Potato was singularly responsible for the population ex- plosion in Ireland as well as the Great Irish Fam- ine (1845-1852) when the crops were decimated by potato blight. Before the 1500s, there were no tomatoes in Italian cuisine, no chocolate in Swit- zerland, no pineapples in Hawaii, no chili peppers in Thai or Indian food, no potatoes in the German diet, and no rubber trees in Malaysia. Almost as many plant species were also brought from the Old to New World, including apple, banana, black pepper, coffee, citrus, garlic, onion, peach, soy- bean, sugarcane, rice, wheat, and watermelon. Domesticated animals such as horse, chicken, donkey, pig, earthworm, honey bee and silkworm were introduced to the New World and changed the life style of Native Americans. As with Plague during the Pax Mongolica, many infectious dis- eases including malaria, small pox, chicken pox, cholera, leprosy, bubonic plague, yellow fever, ty- phoid, and measles were also brought from the Old to New World. Of these, the most devastating was small pox that killed 80-90% of Native Amer- ican populations (Mann 2011). Columbus’ crews who contracted syphilis spread it to European populations when some of them later joined the Spanish army to invade Italy. Edible plants and domestic animals were intentionally introduced, but diseases and other organisms were acciden- tally transferred, and many became invasive, e.g., brown rats, zebra mussels, tumbleweed (Salsola spp.; Caryophylalles: Amarantaceae), wild oat, and ascomycete microfungi (Ophiostoma spp.) responsible for Dutch elm disease. Some species such as Kudzu that was intentionally introduced (to prevent soil erosion) became a pest species, while others such as the yeast, Saccharomyces bayanus Saccardo, which was accidentally intro- duced from South America was later used for pro- ducing lager beer. CONCLUSION As shown in Fig. 1, propagule pressure is the major factor contributing to the increase of inva- sive species across the globe. Beginning with Pax Mongolica, and later the Columbian Exchange, anthropogenic movement of goods among major cities has increased over time, and this trend will only accelerate. This will heighten propa- gule pressure to provide more opportunities for potential invasive species, and to select for a more invasive population within a species. The number of invasive species, thus, will only in- crease for as long as current practices of global commercial activities continue. Between cities with heavy traffic, a more targeted quarantine/ inspection measure focusing on potential inva- sive species of the source region may be one so- lution to intercept their shipments and reduce propagule pressure. Su: Successful Invader 769 ACKNOWLEDEGMENTS I would like to thank P. Bardunias and A. Mullins (University of Florida) for review of the initial draft of this article. REFERENCES CITED ABU-LUGHOD, J. L. 1989. Before European hegemony. The world system A.D. 1250-1350. Oxford Univer- sity Press, New York, NY. 443 pp. ALLEE, W. C. 1931. Animal aggregation. A study in general sociology. University of Chicago Press, Chicago, IL. ALLEE, W. C., AND BOWEN, E. 1931. Study in animal aggregation: mass protection against colloidal silver among goldfishes. J. Exp. Zool. 61: 185-207. ANONYMOUS. 1999. Executive Order 13112 of February 3, 1999: Invasive Species. Federal Register 64: 6183- 6186. COLAUTTI, R. I., GRIGOROVICH, I. A., AND MACISSAC, H. J. 2006. Propagule pressure: a null model for inva- sion. Biol. Invasions 8: 1023-1037. FRANK, J. H., AND MCCOY, E. D. 1995. Introduction to insect behavioral ecology: The good, the bad, and the beautiful: Non-indigenous species in Florida. Invasive adventive insects and other organisms in Florida. Florida Entomol. 78: 1-15. HABECK, D. H., AND BENNETT, F. D. 1990. Cactoblastis cactorum Berg. (Lepidoptera: Pyralidae), a phycitine new to Florida. Florida Dept. Agric. Consum. Serv., Divn. Pl. Industry, Entomol. Circ. 333: 1-4. KOHN, G. C. 2008. Encyclopedia of plague and pesti- lence: from ancient times to the present. Infobase Publishing, New York, NY. pp. 529. KOLAR, C. S., AND LODGE, D. M. 2001. Progress in in- vasion biology: predicting invaders. Trends in Ecol- ogy & Evolution, 16: 199–204. (doi:10.1016/S0169- 5347(01) 02101-2). LATHAM, R. 1958. The travels of Marco Polo. Penguin Books, London. 380 pp. LEUNG, B., DRAKE, J. M., AND LODGE, D. M. 2004. Pre- dicting invasions: propagule pressure and the grav- ity of Allee effects. Ecology 85: 1651-1660. LOCKWOOD, J., CASSEY, L. P., AND BLACKBURN, T. 2005. The role of propagule pressure in explaining species invasions. Trends in Ecology & Evolution, 20: 223- 228 (doi:10.1016/j.tree.2005.02.004) LOMBAERT, E., GUILLEMAUD, T., CORNUET, J-M., MA- LAUSA, T., AND FACON, B. 2010. Bridgehead effect in the worldwide invasion of the biocontrol harlequin ladybird. PLoS ONE 5: e9743 MANN, C. C. 2011. 1493. Uncovering the new world Columbus created. Alfred A. Knopf. New York, NY. 2516 pp. RUST, M. K., AND SU, N.-Y. 2012. Managing social in- sects of urban importance. Annu. Rev. Entomol. 57: 355-375 SAMWAYS, M. 1999. Translocating fauna to foreign lands: here comes the Homogenocene. J. Insect Con- serv. 3: 65-66. WEATHERFORD, J. 2004. Ghenghis Khan and the mak- ing of the modern world. Crown Publishers, New York, NY. 312 pp. YANG, C.-C., ASCUNCE, M. S., LUO, L.-Z., SHAO, J.-G. AND SHIH, C.-J. 2012. Propagule pressure and colony social organization are associated with the success- ful invasion and rapid range expansion of fire ants in China. Mol. Ecol. 21: 817-833 
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work_3cc5phisrnhkxeawgrrl6aglhe	----	Genitourin Med 1996;72:440-442 STD awareness today 0 P Bleker Introduction Nowadays, the medical interest for, and knowledge of, infectious diseases and espe- cially sexually transmitted diseases (STDs) is concentrated in specialist medical societies like the MSSVD in the UK and the NVSSOA in The Netherlands. However, most patients pre- senting with STD-related symptoms are not seen by members of those societies but by gen- eral practioners or medical specialists like gynaecologists, urologists, pediatricians and others. Moreover, the public is not sufficiently aware of the significance of minor symptoms, possibly related to STD and not interested enough in the prevention of STD. Therefore it seems to be the duty of the STD societies, not only to raise the knowledge of those diseases within their circles but also to spread the STD awareness and STD knowledge among other workers in health care and even among the general public. Academic Medical Centre, Department of Obstetrics and Gynaecology, PO Box 22700, 1100 DE Amsterdam, The Netherlands O P Bleker Accepted for publication 1 August 1996 History The present HIV epidemic is of course not the first time that the world (and especially Europe) has been faced with a widespread STD. According to most historians, at the end of the fifteenth century, Christopher Columbus and his fellow travellers introduced syphilis in Europe, especially in Naples. King Charles VIII of France raised an army of 32 000 hired soldiers against Naples and con- tributed to the rapid spread of the disease over Europe after closure of that campaign. The infected soldiers returned to their homelands and brought syphilis with them. In Holland, syphilis was very likely introduced by the Spanish fleet who delivered, in 1496, the bride of Philip of Habsburg. About 24 000 spanish seamen stayed during that winter in the island of Walcheren in the province of Zeeland (Sealand) and experienced an outbreak of syphilis. In those days syphilis was nicknamed after your enemies. Although England and Holland fought four sea wars, the Dutch used to call syphilis the Spanish disease or the Spanish pox, and not the English disease. On the other hand the English decided to refer to French disease and not the Dutch disease. The STD character of syphilis was already recognised in those days: the condition was called disease from Venus and was distinguished from wounds due to fighting which were called a disease from Mars. STD and reproduction The awareness of the significance of STD for the form and function of the reproductive organs, especially for women, has taken a long time and is not complete even now. The importance of the fallopian tubes for the reproductive process was discovered over 400 years ago. The first accurate description of the human oviduct is credited to Gabriele Fallopio in his Observationes Anatomicae, published in Venice in 1561. The Dutchman, Reinier de Graaf from Delft was probably the first to illustrate the sequelae of infection of the fal- lopian tubes. He published an illustration of a distally closed tube entitled Oviductus Extremitas Praeter Natura Clausa in his De Mulerum Organis from 1672. The aetiology of closed tubes was unknown. Francois Mauriceau from France taught that pelvic inflammation resulted from an obstruc- tion of the lochia, while others indicated lacteal suppression and the resultant stasis of milk in the pelvis. All kinds of reasons have been offered: trauma, excessive intercourse, and even involuntary sexual abstinence in a single woman of strong passions, were listed among the causes of pelvic inflammatory dis- ease (PID). The relation between PID and the clinical entity of gonorrhoea was demonstrated for the first time by Bernutz and Goupil in 1857. In 99 autopsy examinations of PID cases they found in 28, or over 25%, an association with gonorrhoea. In general, real discoveries in medicine only provoke disbelief. Ten years later at the first meeting of the American Gynaecological Society the German gynaecologist Noeggerath stated that some 90% of sterile women were married to men who had suffered from gonorrhoea either pre- vious to, or during, their married life. He was simply not believed. The STD character of that important disease was not accepted by the audience. To quote only one of the many opponents on that occasion:... and if our Canadian ladies found out that their sterility was due to the former condition of their husbands, I do not know what would happen. The discovery of the gonococcus itself, by Albert Neisser in 1879, clarified the pathogenesis of a large pro- portion of PID cases in those times. Neisser even demonstrated the presence of his so called "micrococcus" in seven cases of acute ocular infection of the newborn: the proof of vertical transmission from the mother to her baby through the birth canal. So about 100 years ago the pathogenesis of the diseases from Venus was established as well as the possibility of vertical transmission of those diseases to the newborn. General awareness of the existence of STD is at least four centuries old, but the start of scientific The Harrison Lecture 440 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / G e n ito u rin M e d : first p u b lish e d a s 1 0 .1 1 3 6 /sti.7 2 .6 .4 4 0 o n 1 D e ce m b e r 1 9 9 6 . D o w n lo a d e d fro m http://sti.bmj.com/ Blecker knowledge of STDs started only 100 years ago. STD awareness today The awareness of the significance of STD among specialists, such as gynaecologists, urologists and among the workers in primary care and even among the public may have increased somewhat recently. This is far from enough. A most important duty of the STD workers of today is how to raise the general STD interest and how to improve the STD knowledge among health care workers and the public. For example, gynaecologists (my own pro- fession) are not sufficiently aware that their speciality has much to do with infectious dis- eases and especially with STD. Genital can- cers and their pre-stages are beyond any doubt strongly related to HPV infections, a recog- nised STD. We must admit that the ideal anti viral-treatment modalities are not available yet and that we do not know exactly how to deal with the male sexual partners, but gynaecolo- gists anyhow should show more interest. Ectopic pregnancy, ruined internal genitals of the female, female tubal infertility, and possi- bly even male infertility as well, are simply due to STD infections like gonorrhoea, as already stated before, and Chlamydia trachomatis. Perinatal infections, like Syphilis, HIV infec- tion, Hepatitis and Chlamydia trachomatis infection are of extreme importance and are all STD's. Even premature labor and premature rupture of membranes and all the associated severe mortality, morbidity and high costs, are very likely related to infections, and in signifi- cant proportion possibly even to STDs. In primary care practice the two most important complaints among women are "vaginal discharge" and "abnormal uterine bleeding". Both complaints may be due to infections and even to STD's. For instance, the complaint of abnormal uterine bleeding among younger women should raise the suspi- cion for a Chlamydia trachomatis infection and should stimulate appropriate microbiological examinations. The examples of vulvo-vaginitis and PID from daily medical practices may clarify the position of STD awareness today. Vulvo-vaginitis The patient presenting with a vulvo-vaginitis is rather often (alas) only diagnosed by an exter- nal macroscopic examination. Consequently treatment is based on that simple "profes- sional" impression. We have to teach our pro- fessional colleagues again that an infection of the vulvar region is in the majority of cases a reactive vulvitis due to a primary infection of the vagina or even of the uterine cervix and the upper genital tract. We have to teach them again the simple habit to examine the vagina in those cases, to inspect the uterine cervix, to prepare a wet mount preparation for microscopy, to measure the pH of the vaginal fluid, to decide whether there is a fishy odor or not and to consider the need for cervical microbiology for N gonor- rhoeae and Chlamydia trachomatis. All these examinations are very simple and rather cheap. However one has to be prepared to per- form them, which means that all material must be at hand and not be looked for. In the latter case people will postpone their attempts to work according to the (simple) standards of care to the next case. More than likely it will never be done. The direct examinations of vaginal discharge, like pH, odor and microscopy of the wet mounts allow for a direct causative diagnosis in 80 percent of cases of vaginitis. A simple mono-diagnosis directs towards a simple mono-therapy, which is most efficient in these cases. Very likely monotherapy restores the normal vaginal milieu more quickly. However, even more important is the possibility that a mono-diag- nosis may clarify the presence of an STD such as trichomoniasis) or not and allows for an extended STD treatment: the counselling of the patient and the diagnosis and treatment of the sexual contacts. We really have to teach our colleagues in the profession and our col- leagues in primary care, that simple external macroscopic examination is never acceptable in case of vulvo-vaginitis. PID Another example is pelvic inflammatory dis- ease. In former days the classic picture of PID was thought to be due to gonorrhoea in the minority of cases, and unknown in the rest. The diagnosis was based on the clinical pre- sentation: abdominal pain and pain at both external- and internal examinations; besides fever and an elevated blood sedimentation rate. During the last decade or so we have recognised that Chlamydia trachomatis is an important cause of PID, that in PID cases Chlamydia is two to ten times more frequently present than gonorrhoea, that more than half of the PID cases do not show any clinical symptoms and that in symptomatic cases PID may present itself with right upper quadrant abdominal pain (the so-called Fitz-Hugh Curtis syndrome). Diagnostic tools for Chlamydia have only become widely available in the last ten years. It has recently become evident that these diag- nostic methods, such as the immunofluores- cence test and the ELISA test, may miss a significant amount of the Chlamydial infection cases as compared to the new DNA/RNA amplification methods. So once again we have to teach the profession a lot more: PID, the accepted main cause of tubal infertility is an STD in the overwhelming majority of cases, if not in all cases. Any primary treatment of PID must take the possibility of the presence of a Chlamydia infection into account. The sexual partners of the PID patient must be examined and treated, in the interest of the general pub- lic but also in the interest of the patient her- self, to prevent reinfection. Moreover, we must be aware of the exis- tence of subclinical cases of PID and therefore 441 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / G e n ito u rin M e d : first p u b lish e d a s 1 0 .1 1 3 6 /sti.7 2 .6 .4 4 0 o n 1 D e ce m b e r 1 9 9 6 . D o w n lo a d e d fro m http://sti.bmj.com/ STD awareness today undertake diagnostic examinations for Chlamydia trachomatis in cases of abdominal pain, vaginal discharge and in cases of men- strual disorders, especially in younger women. STD care From these new developments, with respect to Chlamydia trachomatis, it is very obvious that it is not enough at all to teach our colleagues in the profession. Because of the subclinical PID cases and because of the asymptomatic carri- ers of Chlamydia trachomatis, the STD special- ists have the duty to inform the other doctors and health care workers. For instance, we must inform the internal medicine specialists about the Fitz-Hugh Curtis syndrome, the eye specialists about Chlamydial conjunctivitis, not just in the newborn, but the adolescents as well, and the STD character of that disease, the urologists about epididymitis, prostatitis and male infertility, the pediatricians about the possibility of Chlamydial infections in child- hood, the orthopaedics about Chlamydial arthritis and so on. We must also inform and cooperate with general practioners who see many more STD patients than we do, especially patients with less complaints and patients with an atypical presentation. In 1996 a campaign starts in Holland to inform primary care workers and other doctors about the different presentations of Chlamydial disease. On this occasion extra attention will be given to menstrual disorders in younger women. We must inform the government about the possibilities of prevention by information and screening of asymptomatics. The public too should be informed on matters relating to STDs. In fact STD care has to do with all aspects of medicine today, from general health to the adequate diagnosis of the individual patient. But STD care has also to do with the education of the public. We should inform and educate the public, especially the younger ones, the amateurs in love-making, like we all once were. We should inform them about the nature of STD, about the possibilities of con- traception and the prevention of STD (what we like to call "Double Dutch" in Holland), about the early signs of possible infections, like abnormal uterine bleeding in case of Chlamydia cervicitis and endometritis and offer them easy access to screening, and to diagnosis and treatment. We may even have the duty to create an open atmosphere for our children to debate all aspects of sexuality. STD Societies and Professional bodies have great importance in raising the knowledge and interest in STDs. A next and most essential step for these societies is to spread that knowl- edge to the medical profession as a whole and to the general public. This text is an adaption of the Harrison lec- ture, given at the MSSVD meeting of May 1996, in Edinburgh. 442 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / G e n ito u rin M e d : first p u b lish e d a s 1 0 .1 1 3 6 /sti.7 2 .6 .4 4 0 o n 1 D e ce m b e r 1 9 9 6 . D o w n lo a d e d fro m http://sti.bmj.com/ 
work_3cwxrzp2mffr7orgld7wdirpt4	----	The Reliability of Non-Cognitive Admissions Measures in Predicting Non-traditional Doctor of Pharmacy Student Performance O... American Journal of Pharmaceutical Education 2003; 67 (2) Article 64. TEACHERS TOPICS Biochemistry of the Water Soluble Vitamins: A Lecture for First Year Pharmacy Students Michael G. Bartlett, PhD Department of Pharmaceutical and Biomedical Sciences, College of Pharmacy, University of Georgia, Athens, GA 30602-2352 Keywords: Biochemistry, vitamins This manuscript describes the lecture on vitamins contained in the core course entitled, “The Bio- chemical Basis of Drugs and Diseases” (Pharmacy 3050). In the first year, our curriculum is designed to focus on systems and diseases. As such, this course acts in concert with both the Anatomy & Physiology course and the Pathophysiology course to present an integrated view of human diseases and systems. The second year of our curriculum is focused on learning about drugs classes and the mechanism of action. The third year of the curriculum is focused on simulated patients, while the forth year of the curriculum the students are presented with real patients. The lecture on vitamins is the last topic of a course focused primarily on metabolism. Because many vitamins play major roles in metabolic cycles, this lecture allows for a brief review of much of the ma- terial covered throughout the course. Therefore, vitamin examples are primarily chosen to reinforce major metabolic cycles and also their role in human disease. There is more clinical information that is relevant to vitamins than what is presented in this lecture. However, since first year students in our curriculum have almost no knowledge of therapeutics, the focus of the lecture is on diseases and not clinical practice. INTRODUCTION Vitamins are a multibillion dollar industry.1 They are readily available to the public and are the focus of the most frequently asked questions to pharmacists. 2 Sur- prisingly, most pharmacy students receive little train- ing on the many roles of vitamins in nutrition.2 There- fore, this lecture attempts to not only reinforce fun- damental biochemical and metabolic pathways in the human body, but also to provide pharmacy students with practical information. The diet is a vast source of important nutrients. These nutrients include several important classes of biomolecules such as: (1) energy yielding components (carbohydrates, lipids, and proteins), (2) essential and nonessential amino acids, (3) essential fatty acids, (4) minerals, and (5) vitamins. Vitamins are organic sub- stances that must be provided by the diet either because they cannot be biosynthesized or the amount that is pro- vided through biosynthesis is inadequate for maintaining normal health. Vitamins are broadly divided into 2 classes based upon their hydrophobicity. The more hy- drophilic vitamins are termed the water-soluble vitamins and are composed of the B-complex vitamins and vita- min C. The more hydrophobic vitamins, referred to as the fat-soluble vitamins, are composed of Vitamins A, D, E, and K. This article focuses primarily on the water- soluble vitamins due to their greater role in the major metabolic cycles, which are the primary focus of this course. The normal North American diet is sufficient to pre- vent significant vitamin deficiencies and the related dis- eases associated with these deficiencies. However, there is increasing concern that slight vitamin deficiencies in a number of water-soluble vitamins (B1, B6, B12, folate and vitamin C) are risk factors for diseases such as Corresponding Author: Michael G. Bartlett, PhD. Mail- ing Address: Department of Pharmaceutical and Bio- medical Sciences, College of Pharmacy, University of Georgia, Athens, GA 30602-2352. Tel: (706) 542- 5390. Fax: (706) 542-5358. E-mail: bart- lett@rx.uga.edu. 1 American Journal of Pharmaceutical Education 2003; 67 (2) Article 64. Mild deficiencies of thiamin are sometimes ob- served in the elderly and in low-income groups on re- stricted diets. The earliest symptoms of thiamin defi- ciency are loss of appetite, constipation, and nausea. Other symptoms such as mental depression, peripheral neuropathy, irritability, and fatigue are related to the role of thiamin in maintaining a healthy nervous system. such as depression, cancer, cardiovascular disease, and neural tube defects. The prevalence of this slight vitamin deficiency is likely related to diet, since most of these vitamins are supplied by fruit and vegetable intake. A recent survey has shown that only 25% of the population meets their daily intake of 5 servings.3 Food preparation is another source of vitamin loss. For example, heating food for more than 2 hours causes more than a 10% loss of most water-soluble vitamins. Refrigeration, freezing, and reheating have all been shown to lead to further loss of vitamins. Ex- posure to light causes significant loss of riboflavin from foods and the combination of heating and light can almost completely remove this vitamin from food.4 The most common form of thiamin deficiency in the United States is alcoholic neuritis. Because alcoholics normally have a poor appetite, overall food consumption is low. In addition, alcoholics are predisposed to devel- oping nutritional deficiencies since alcohol is their pri- mary calorie source. Under the broad umbrella of alco- holic neuritis come two disorders, Wernicke’s Syn- drome and Korsakoff’s Psychosis.7 The symptoms of Wernicke’s Syndrome (ophthalmoplegia, nystagmus, and ataxia) respond quickly to administration of thia- min, whereas the more severe memory and learning dis- orders associated with Korsakoff’s Psychosis are refrac- tory to thiamin treatment. Thiamin (Vitamin B1) Thiamin functions in the body as thiamin pyrophosphate (TPP) an important enzyme co-factor.5 Thiamin reacts with adenosine triphosphate (ATP) to form thiamin pyrophosphate through a reaction medi- ated by the enzyme thiamin diphosphokinase. Follow- ing its production, TPP is incorporated into 2 impor- tant enzymes: pyruvate dehydrogenase and α- ketoglutarate dehydrogenase. Pyruvate dehydrogenase is part of a multi-enzyme complex that acts to convert pyruvate generated in glycolysis into acetyl-CoA for entry into the tricarboxylic acid (TCA) cycle. Thiamin pyrophosphate is also used as a co-factor for the en- zyme α-ketoglutarate dehydrogenase, which is a key point of regulation in the TCA cycle. α-Ketoglutarate dehydrogenase is involved in the conversion of α- ketoglutarate to succinyl CoA. In the case of both en- zymes, TPP assists in decarboxylation of a small ke- toacid. Riboflavin (Vitamin B2) Riboflavin functions in the body as an enzyme co- factor in many oxidation/reduction reactions and has a central role in energy production and cellular respira- tion. Riboflavin reacts with ATP to form flavin mono- nucleotide (FMN). Flavin mononucleotide then reacts with a second molecule of ATP to form a molecule of flavin adenine dinucleotide (FAD). Within cellular me- tabolism, enzymes such as succinyl dehydrogenase (TCA cycle), AcylCoA Dehydrogenase (β-Oxidation), and Glycerol-3-phosphate Dehydrogenase (Glycerol Phosphate Shuttle) use FAD as a cofactor. The enzyme NADH-CoEnzyme Q oxidoreductase (Complex I, Elec- tron Transport Chain) uses FMN as a co-factor. As en- zyme co-factors, FAD and FMN are able to function as electron acceptors. The addition of 2 electrons to FAD results in the formation of a molecule of FADH2, while the addition of 2 electrons to FMN causes the formation of a molecule of FMNH2. In addition to its uses in metabolism, thiamin may enhance circulation and blood formation. It is re- quired for maintenance of the nervous system and is used in the biosynthesis of the neurotransmitters ace- tylcholine and γ-hydroxybutyrate (GABA). Thiamin also is used in the production of hydrochloric acid in the stomach and, therefore, has a role in digestion. Riboflavin + ATP → FMN + 2e- ↔ FMNH2 FMN + ATP → FAD + 2e- ↔ FADH2 Thiamin is provided in the diet through most grains. A deficiency of thiamin is called beriberi and it is most often observed in Southeast Asia.6 The main staple of diet in this part of the world is rice, which does not provide dietary thiamin to as great an extent as other grains. The symptoms of beriberi include limb pain, muscle weakness, and low cardiac output. All symptoms are related to the diminished capacity of the major energy producing pathways that are de- pendent on TPP as a co-factor. The reduced forms of these enzyme co-factors can donate these electrons to return to their previous fully oxidized forms. It is this ability to act as a conduit for electron transfer reactions that makes FAD and FMN such important enzyme cofactors. Riboflavin is available from a wide variety of die- tary sources such as milk, cheese, meat, eggs, and cereal products. Symptoms associated with riboflavin defi- ciency include sore throat, dermatitis, anemia, neuropa- 2 American Journal of Pharmaceutical Education 2003; 67 (2) Article 64. thy, and cataract formation. Riboflavin deficiency is not normally observed in the United States; however, deficiency may be observed as part of a general case of malnutrition or in cases of chronic alcoholism.8 The conversion of riboflavin to FMN is required for absorption and transport into many tissues. The con- version has been shown to be inhibited by hypothy- roidism and the structurally similar medications chlorpromazine, adriamycin, quinacrine, tetracycline, and tricyclic antidepressants.9-12 Niacin (Vitamin B3) The vitamin niacin (nicotinic acid) and its struc- tural analog nicotinamide have identical function due to their facile interconversion in the body. Niacin is converted through a series of reactions to its active form nicotinamide adenine dinucleotide (NAD+). NAD+ can be converted to a reduced form NADH by gaining 2 electrons through a process similar to FAD reduction. NADH is produced in large quantities by the TCA cycle and β-Oxidation and to a lesser extent by glycolysis. Reduced NADH is returned to its oxi- dized form under normal cellular conditions by the electron transport chain. This newly reformed NAD+ can then return to other metabolic pathways to harvest more electrons. In the body the ratio of NAD+/NADH is approximately 1000 demonstrating the primary role of NAD+ in supporting cellular oxidation. NADH also can react with ATP to form NADPH. As opposed to the unphosphorylated form, the ratio of NADP+/NADPH is only 0.01. This ratio points to the role of NADPH in supporting reductive processes in the body. Niacin → NAD+ + 2e- ↔ NADH NADH + ATP ↔ NADPH + ADP Niacin can be found in foods such as meats, breads, and beans. Mild niacin deficiencies have simi- lar symptoms to those observed with riboflavin, which is not surprising due to the similar roles both of these vitamins play in biochemical reactions. Niacin deficiencies are occasionally observed in alcoholics, cases of general malnutrition, and in the elderly on restricted diets. A severe deficiency of niacin is known as pellagra, which is derived from the Italian phrase meaning rough skin. Pellagra is marked by dermatitis and also is notable for causing a blackening of the tongue. Early cases of pellagra were first ob- served in Europe shortly after the introduction of corn from the voyages of Christopher Columbus. In these cases, poor farmers who were raising corn as animal feed were particularly susceptible. Because niacin in corn is not bioavailable unless treated with a strong base such as lye, the farmers developed niacin deficien- cies. Europeans did not know this processing method until revealed to them by Native-Americans during the early colonial period of North America. However, the connection between pellagra and niacin was not known until the early 20th century. Pellagra was a significant health issue in the United States over the period from 1900-1940 resulting in over 100,000 deaths. Today most diets are supplemented with niacin through enriched flour, which receives its name because of the added nia- cin.13 Niacin can be administered in doses of 2g to 4g to causes a decrease in circulating levels of cholesterol and LDL. While the cholesterol lowering effects of niacin are desirable there are potential side effects from such large doses of this vitamin. The most immediate reaction observed from large doses of niacin is vasodilation re- sulting in flushing. Over time there may be a reduction in fatty acid mobilization causing a depletion of glyco- gen and lipid stores in muscle tissue. Long-term expo- sure may also elevate blood glucose and uric acid levels, suggesting increased risk for patients who are on the borderline for diseases such as diabetes and gout. Pro- longed use of high doses of niacin can lead to elevated levels of the serum enzymes alanine aminotransferase and aspartate aminotransferase, which may suggest liver damage. Pyridoxine (Vitamin B6) Pyridoxine is the precursor to the active enzyme co- factor pyridoxal phosphate (PLP). Pyridoxal phosphate is a critical co-factor for enzymes involved in reactions involving many amino acids. The N-terminus of the amino acid forms a covalent bond to PLP, allowing a wide variety of displacement reactions to occur at the alpha carbon. These include decarboxylations, transami- nations, and transfers of side chains. Pyridoxine, there- fore, plays a central role in the production of many neu- rotransmitters, such as serotonin, norepinephrine, and histamine. Pyridoxine also is important in the produc- tion of heme. The PLP co-factor in several enzymes is a therapeu- tic target due to the ability to form irreversible covalent bonds with agents containing a hydrazine moiety, such as carbidopa, isoniazid, and hydralazine.14 The combina- tion of L-Dopa and carbidopa is a widely used therapy that has a biochemical mechanism involving vitamin B6. The conversion of L-Dopa to dopamine is catalyzed by the PLP-dependent enzyme L-aromatic amino acid decarboxylase (LAAAD). L-DOPA → Dopamine 3 American Journal of Pharmaceutical Education 2003; 67 (2) Article 64. The enzyme LAAAD is present in both the gut and in the brain. This presents a problem because L- dopa is readily transported across the blood brain bar- rier while dopamine is not. Therefore, orally adminis- tered L-dopa is rendered ineffective in the gut by LAAAD. Co-administration of carbidopa resolves this dilemma by inactivating LAAAD in the gut. Like do- pamine, carbidopa cannot cross the blood brain bar- rier leaving LAAAD in the brain free to carry out the production of dopamine at the site of action. In addi- tion to hydrazine containing drugs, penicillamine, used in the treatment of Wilson’s disease, cystinuria, and rheumatoid arthritis reacts with and inactivates pyridoxal phosphate.15 Patients treated with penicil- lamine occasionally develop convulsions, which can be prevented by supplementation with vitamin B6. Pyridoxine is found in foods such as meats, breads, eggs, soybeans, and many vegetables. A defi- ciency in pyridoxine can cause facial lesions, depres- sion, peripheral neuropathy, and glossitis. The neuro- logical complications can be directly linked to the effects on neurotransmitter production. Mild pyridox- ine deficiencies are sometimes observed in young women taking oral contraceptives. Deficiencies have also been observed in patients with gasteroenteritis or Crohn’s Disease, presumably due to poor absorption. Mild deficiencies are of concern due to a correlation with an increased incidence of breast cancer and to the risk of coronary heart disease.16,17 Neurotoxicity has been noted with doses of vitamin B6 in excess of 500 mg/day. Cobalamin (Vitamin B12) Cobalamin is vital for cell growth and replication. Its major site of action is at the interface between the folic acid cycle and the active methyl cycle, where cobalamin is a co-factor for the enzyme homocysteine methyltransferase. This enzyme catalyzes the transfer of a methyl group from tetrahydrofolate to homocys- teine, forming the amino acid methionine. These 2 cycles impact many other pathways due to the large number of methylation reactions in the body, espe- cially nucleic acid biosynthesis and neurotransmitter biosynthesis. Cobalamin is found in meats and dairy products. Deficiencies are not common because the liver can store a 6-year supply of cobalamin. In addition, co- balamin is highly conserved by enterohepatic recircu- lation. Strict vegetarians (vegans) may take up to 20 to 30 years to develop a deficiency, whereas inade- quate absorption from the ileum due to ileitis or loss of a glycoprotein that complexes with cobalamin prior to absorption may take from 2 to 10 years to become symptomatic. The anesthetic nitrous oxide inactivates cobalamin and can cause patients with marginal serum levels to develop deficiencies within a week.19 While rare, deficiencies in vitamin B12 are severe and manifest in erythrocytes and nervous tissue. In erythrocytes, nu- cleic acid biosynthesis is slowed. This results in stem cells that are committed to development into erythro- cytes possessing twice their normal protein content but lacking the necessary nuclear material for proper cell division. The resulting anemia, termed megaloblastic anemia, can be quite severe. Cobalamin deficiency can also cause permanent damage to the nervous system. The results are swelling of neurons and demylination of nerve cells, followed by cell death. These progressive manifestations cause a wide range of neurological symp- toms including unsteadiness, decreased reflexes, pares- thesias of the extremities, and ultimately confusion, memory loss, hallucinations, and psychosis. The neuro- logical symptoms of cobalamin deficiency may be mis- taken for multiple sclerosis. In the elderly and in alco- holics, cobalamin deficiency should be considered as a possible cause of dementia even in the absence of ane- mia. The neurological symptoms associated with co- balamin deficiency are not directly related to irregulari- ties in the formation of erythrocytes.20 Folic Acid (Pteroylglutamic Acid) Folic acid is derived from the addition of a pteroyl group to the amino acid glutamate. Folic acid can be reduced to form tetrahydrofolate, which is an important acceptor of one-carbon units. Folic acid plays an impor- tant role in the conversion of homocysteine to methion- ine by providing the methyl to the vitamin B12 depend- ent methyl transferase. Therefore, folic acid levels have a strong influence on the endogenous concentration of homocysteine. Elevated levels of homocysteine are as- sociated with increased risk of coronary heart disease. Supplementation with folic acid has been shown to cor- rect plasma homocysteine levels and decrease the mor- bidity and mortality from atherosclerotic disease.21 Folic acid plays an important role in the biochemis- try of amino acids; it is critical for the interconversion of the amino acids serine and glycine and in histidine me- tabolism. Folic acid also is necessary for the biosynthe- sis of the nucleic acids thymidine, adenine, guanine, and inosine. Because of its role in amino acid and nucleic acid biosynthesis, folic acid supplementation during pregnancy has been shown to prevent most birth defects involving the brain and spinal cord, known as neural tube defects.22 4 American Journal of Pharmaceutical Education 2003; 67 (2) Article 64. Folic acid is found in organ meats such as liver, green leafy vegetables, yeast, and some fruits. Defi- ciencies in folic acid are most often observed with poor intake or alcoholism but are sometimes seen in pregnancy where there is an increased need for folic acid. The recommended daily allowance for pregnant women is at least twice that for nonpregnant women.23 Folic acid deficiencies can also be observed from reduced absorption due to diseases in the intes- tine. Additionally anticonvulsants, such as phenytoin, phenobarbital, and primidone appear to not only to inhibit folic acid absorption, but also to increase ca- tabolism.24 There is also concern that supplementation with folic acid may impact the effectiveness of these anticonvulsants. The most common effect of folic acid deficiency is megaloblastic anemia. The appearance of this type of anemia is identical to that observed with vitamin B12 deficiency due to the common pathway shared by the folic acid and the active methyl cycles. One major difference between folic acid deficiency and vitamin B12 deficiency is the absence of the neurological symptoms from lowered serum folic acid levels.25 Pantothenic Acid Pantothenic acid is one of the many B-complex vitamins. Once in the body, pantothenic acid com- bines with ADP and cysteamine to form coenzyme A (HSCoA). Coenzyme A is involved in a number of cellular pathways, most notably in transferring an ace- tyl unit from the pyruvate dehydrogenase complex or from β-oxidation to oxaloacetate in the TCA cycle. Coenzyme A is also involved in the biosynthesis of cholesterol, steroid hormones, fatty acids, and por- phyrins. Pantothenic acid derives its name from the Greek word meaning “from everywhere”, which re- flects its ubiquitous nature in foods. Deficiencies in pantothenic acid are difficult to achieve but result in neuromuscular degeneration.26 Biotin Biotin is an important co-factor for enzymes in- volved in carboxylation reactions. Biotin aids in these reactions by binding carbon dioxide. An important example of a biotin-containing enzyme is pyruvate carboxylase. This enzyme catalyzes the conversion of pyruvate to oxaloacetate as a preliminary step in glu- coneogenesis. Biotin is found in foods such as liver, egg yolks, milk, fish and nuts. Deficiencies in biotin result in dermatitis, glossitis, muscle pain and anorexia. Defi- ciency in biotin has been observed in patients ingest- ing raw eggs over a long period of time. Egg white con- tains avidin, a protein that binds biotin, strongly preventing its absorption from the intestine.27 Biotin deficiency was observed in early attempts at parenteral nutrition before proper vitamin supplementation became standard practice.28 Choline Choline has many important biochemical roles in the body. It is incorporated into the formation of leci- thin, an important structural phospholipid found most abundantly in mitochondrial membranes. It is also in- corporated into platelet-activating factor, an important signaling agent in the clotting cascade. Choline also af- fects lipid mobilization from the liver. However, its most important role is as a precursor for the neurotrans- mitter acetylcholine where it plays a critical role in mo- tor coordination. Choline is found in eggs, peanuts, and liver. Defi- ciency in choline has not been reported in humans. It is believed that daily needs for choline can be met through biosynthesis and diet. Carnitine Carnitine has an important role in the metabolism of fatty acids. Carnitine accepts and donates fatty acids to co-enzyme A. This is an equilibrium process facilitated by cytosolic and mitochondrial enzymes known as car- nitine acyl transferases. The attachment of fatty acids to carnitine is critical for their transport from the cytosol to the mitochondria, where they are later metabolized through β-oxidation. Carnitine is found abundantly in meats and dairy products. Carnitine deficiency is not normally observed in adults unless it is caused by an inherited genetic dis- order related to its transport or biosynthesis. Carnitine deficiency causes the storage of lipids in muscle tissue resulting in functional abnormalities in both cardiac and skeletal muscles. However, carnitine deficiencies are not uncommon in preterm or low birth weight infants. These infants generally respond to supplements of carnitine as well as changing to a low-fat, high-carbohydrate diet.29 Ascorbic Acid (Vitamin C) Ascorbic acid acts as an enzyme co-factor for 2 ma- jor biochemical processes. It is important for many hy- droxylation reactions, especially those involved in the posttranslational hydroxylation of the amino acid proline in the formation of the structural protein colla- gen. In the gut, vitamin C is involved in the reduction of iron (III) to iron (II), allowing iron to be absorbed into the bloodstream. 5 American Journal of Pharmaceutical Education 2003; 67 (2) Article 64. Table 1. Student perception of the most significant part of the lecture, most inter- esting part of the lecture, and the topic they would like to have greater coverage. Response Percentage Significance (N=28) Biochemical function of vitamins 61% Vitamin deficiencies 18% Sources of vitamins 11% Interesting (N=28) Biotin and raw eggs 18% Scurvy and “Limeys” 18% Alcoholism and vitamins 14% Increase Focus (N=27) Folic acid deficiency 8% Alcoholism and vitamin deficiencies 8% Drug interactions and vitamins 8% Humans are one of the few organisms that are in- capable of biosynthesizing ascorbic acid. As such they are highly dependent on obtaining it from their diet. Vitamin C is found in citrus fruits, tomatoes, strawberries, and potatoes. During the Age of Explo- ration, British sailors were given the nickname “lim- eys” due to the barrels of limes that were used on long voyages to supply vitamin C to the crew. The sailors were trying to avoid a deficiency in ascorbic acid known as scurvy.30 The symptoms of scurvy are re- lated to inhibited synthesis of collagen. These effects include failure of wounds to heal, defects in tooth formation, and capillary leakage. Anemia caused from failure to adequately absorb iron is also common.31 Several factors have been shown to lower serum vi- tamin C levels including smoking, oral contracep- tives, and the use of aspirin.32-34 Patients exposed to any of these conditions long-term should consider taking a vitamin C supplement. However, the use of high doses of vitamin C, a theory popularized by No- bel Laureate Linus Pauling, has not been shown to provide any medical benefit.35 The use of high doses of vitamin C has been shown to cause nausea, diar- rhea, and lead to the formation of oxalate kidney stones.18,35 Student Perception of Lecture Student opinions were obtained using minute pa- pers. Minute papers are given to a group of 25-30 stu- dents following each lecture in this course.36 From the results of the minute papers in Table 1, the student’s perception of the lecture is apparent. The students believe that the most significant material in the lecture was the discussion on the major biochemical functions of the vitamins. This is consistent with the intent of the instructor. The students also felt that understanding vi- tamin deficiencies and the sources of the various vita- mins was important. The students were asked what they found interesting about the lecture and not surprisingly they selected various stories as their favorite points. They especially liked the link between biotin, avidin, and eggs, the nautical history of scurvy resulting in the nickname “Limeys” being given to British sailors, and understanding the role of appetite suppression in alco- holism and general vitamin deficiencies. Over the years, students have commented that they enjoy having inter- esting health related facts to aid them in retaining and understanding the utility of biochemical information. Vitamins provide an enormous number of examples that can be used. Finally, the students were asked to recom- mend areas that could have increased focus in the future. In general these comments fall into 2 catagories. The students are either confused and would like more information to more fully understand the topic, or they are genuinely interested and would like to know more. In this case, 71% of the student responded that they did not see anything else to add. There were a few sugges- tions for adding additional information on folic acid deficiency, alcoholism, and drug-vitamin interactions. This text incorporates many of these suggestions with the inclusion of the link between folic acid and neural tube defects, discussions of alcoholism throughout the lecture rather than being highly focused around thiamin, and drug interactions involving the vitamins pyridoxine, folic acid, and riboflavin. 6 American Journal of Pharmaceutical Education 2003; 67 (2) Article 64. CONCLUSIONS Questions concerning the use of vitamins are common. Vitamins have important roles in many of the major metabolic pathways in the human body. In addition, drug interactions with vitamin and diseases involving vitamin deficiencies are important topics for pharmacy curricula. An understanding of the func- tional roles of vitamins can contribute to improved understanding of general biochemistry and help pharmacy students become better prepared for their roles as health care educators. REFERENCES 1. Muth MK, Nardinelli C, Beach RH. The marketplace for die- tary supplements: recent studies. Drug Inf J. 2001; 35:973-83. 2. Joseph CK. Nutritional supplements: amino acids and their derivatives. Am J Pharm Educ. 2002; 66:157-64. 3. Flood A, Schatzkin A. Colorectal cancer: does it matter if you eat your fruits and vegetables? J Nutl Cancer Inst. 2000; 92:1706- 7. 4. Williams PG. Vitamin retention in cook/chill and cook/hot-hold hospital services. J Am Diet Assoc. 1996; 96:490-8. 5. Schenk G, Duggleby RG, Nixon PF. Properties and functions of the thiamin diphosphate dependent enzyme transketolase. Int J Biochem Cell Biol. 1998; 30:1297-1318. 6. Krishna S, Taylor AM, Supanaranond W, Pukrittayakamee S, ter Kuile F, Tawfiq KM, Holloway PAH, White NJ. Thiamine deficiency and malaria in adults from Southeast Asia. Lancet. 1999; 353:546-9. 7. Cook CCH, Hallwood PM, Thomson AD. B vitamin deficiency and neuropsychiatric syndromes in alcohol misuse. Alcohol Alco- holism. 1998; 33:317-36. 8. Hoyumpa AM. Mechanisms of vitamin deficiencies in alcohol- ism. Alcoholism Clin Exper Res. 1986; 10:573-81. 9. Pelliccione N, Pinto J, Huang YP, Rivlin RS. Accelerated de- velopment of riboflavin deficiency by treatment with chlorpro- mazine. Biochem Pharmacol. 1983; 32:2949-53. 10. Ogura R, Ueta H, Hino Y, Hidaka T, Sugiyama M. Riboflavin deficiency caused by treatment with adriamycin. J Nutr Sci Vita- minol. 1991; 37:473-7. 11. Dutta P, Raiczyk GB, Pinto J, Rivlin RS. Inhibition of ribofla- vin metabolism by tetracycline and quinacrine — drugs with an- timalarial properties. Clin Res. 1986; 34:A636-A636. 12. Pinto J, Huang YP, Rivlin RS. Inhibition of riboflavin metabo- lism by imipramine and amitriptyline in rats. Federation Proceed- ings. 1981; 40:916. 13. Rajakumar K. Pellagra in the United States: a historical per- spective. Southern Med J. 2000; 93:272-7. 14. Koller WC, Rueda MC. Mechanism of action of dopaminergic agents in Parkinson’s disease. Neurology S6. 1998; 50:S11-S14. 15. Levy MD. Pyridoxine and Penicillamine. Ann Intern Med. 1982; 96:125. 16. Kirksey A, Keaton K, Abernathy RP, Greger JL. Vitamin B6 nutritional status of a group of female adolescents. Am J Clin Nutr. 1978; 31:946-54. 17. Bender DA. Vitamin B6: requirements and recommendations. Eur J Clin Nutr. 1989; 43:289-309. 18. Ziegler EE. Present Knowledge in Nutrition. Washington, DC: International Life Sciences Institute; 1996. 19. Mayall M. Vitamin B12 deficiency and nitrous oxide. Lancet. 1999; 353:1529. 20. Carmel R. Cobalamin, the stomach, and aging. Am J Clin Nutr. 1997; 66:750-9. 21. Ward M. Homocysteine, folate, and cardiovascular disease. Int J Vit Nutr Res. 2001; 71:173-8. 22. Botto LD, Moore CA, Khoury MJ, Erickson JD. Neural tube defects. New Engl J Med. 1999; 341:1509-19. 23. National Academy of Sciences. Dietary Reference Intakes. Washington, DC: National Academy Press; 1998. 24. Hernandez-Dias S, Werler MM, Walker MM, Mitchell AA. New Engl J Med. 2000; 343:1608-14. 25. Chan LN. Drug-nutrient interaction in clinical nutrition. Curr Opin Clin Nutr. 2002; 5:327-32. 26. Smith CM, Song WO. Comparative nutrition of pantothenic acid J Nutr Biochem. 1996; 7:312-21. 27. Forbes GM, Forbes A. Micronutrient status in patients receiving home parenteral nutrition. Nutrition. 1997; 13:941-4. 28. Baugh CM, Malone JH, Butterwo CE. Human biotin deficiency: a case history of biotin deficiency induced by raw egg consumption in a cirrhotic patient. Am J Clin Nutr. 1968; 21:173-82. 29. Pons R, Devivo DC. Primary and secondary carnitine deficiency syndromes. J Child Neurol. 1995; 10(Suppl):2S8-2S24. 30. Barker JA. Lind and Limeys: a brief early history of scurvy and the search for its cure in the 18th century. J Biol Educ. 1992; 26:45- 53. 31. Ural AU. Anemia related to ascorbic acid deficiency. Am J He- matol. 1997; 56:69. 32. Cross CE, Traber M, Eiserich J, van der Vliet A. Micronutrient antioxidents and smoking. Brit Med Bull. 1999; 55:691-704. 33. Shenfield GM. Oral-contraceptives: are drug interactions of clinical significance. Drug Safety. 1993; 9:21-37. 34. Loh HS, Wilson CWM. Interactions of aspirin and ascorbic acid in normal men. J Clin Pharmacol. 1975; 15:36-45. 35. Auer BL, Auer D, Rodgers AL. Relative hyperoxaluria, crystallu- ria, and haematuria after megadose ingestion of vitamin C. Eur J Clin Invest. 1998; 28:695-700. 36. Bartlett MG, Morrow KA. Method for assessing course knowl- edge in a large classroom environment: an improved version of the minute paper. Am J Pharm Ed. 2001; 65:264-8. 7 TEACHERS TOPICS Biochemistry of the Water Soluble Vitamins: A Lecture for First Year Pharmacy Students Response 
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work_3fapasrmcfdmzizzkvnteilhi4	----	354 BOOK REVIEWS feeding ecology that might also explain their hitherto- unexplained dark plumage? Tickell does not speculate on this point. Nor does he set out avenues of future research. Given that the age at which individuals of a species start to breed varies so much, and has been declining in some declining populations, it would be fascinating, if difficult, to understand more of the basis for these inter-individual differences. Now that Theresa Burg's unpublished doctoral work in the Department of Zoology at Cambridge has established more extra-pair paternity in wandering albatrosses Diomedea exulans than hitherto realised, there may be scope for more behavioural ecology studies. And the flood of information from transmitters that monitor the birds' positions and physiological states can only increase. The challenge is to ensure that the data are used to address focused questions. How does Albatrosses compare with the opposition? Robertson and Gales (1998) edited a book that is substantially devoted to the impact of longlining on albatrosses. It therefore does not begin to compare with TickelPs book as an all-round source of information on albatross biology. John Warham's (1990, 1996) two excellent volumes were largely written before the advent of satellite tracking permitted wonderful advances in the understanding of albatrosses at sea. Thus the clear message is that, if you are seriously interested in albatrosses, it would be a sin not to obtain Tickell's Albatrosses. How lucky these birds are to have been served by such a dedicated author. (M. de L. Brooke, Department of Zoology, University of Cambridge, Downing Street, Cambridge CB2 3EJ.) References Robertson, C.J.R., and G.B. Nunn. 1998. Towards a new taxonomy for albatrosses. In: Robertson, G., and R. Gales (editors). Albatross biology and conservation. Chipping Norton: Surrey Beatty: 13-19. Robertson, G., and R. Gales (editors). 1998. Albatross biology and conservation. Chipping Norton: Surrey Beatty. Warham, J. 1990. The petrels: their ecology and breeding systems. London: Academic Press. Warham, J. 1996. The behaviour, population biology and physiology of the petrels. London: Academic Press. RAVEN'S SAGA: AN ARCTIC ODYSSEY. Peter Schledermann. 2000. Calgary: Corvus Press. 347 p, soft cover. 0-9687088-0-3. Cdn$15.00; US$12.00. Raven's saga is a significant departure from Peter Schledermann's previous work, which had been situated more narrowly within the domain of the social sciences, especially archaeology. Here, Schledermann shifts to the realm of fiction, informed by the considerable knowledge he has accumulated over the years as a research social scientist, in order to reconstruct a long-past world. At a time when universities in Canada pay great lip service to the importance of interdisciplinary studies, Schledermann's new book truly embraces that integrated notion so elusive to the fragmented approaches of the academy. Schleder- mann draws on his vast professional knowledge of Arctic archaeology and ethnography, as well as his personal interests in sailing and Scandinavian cultural history, to create a piece of fiction that is solidly situated in an historical setting. This is undoubtedly a piece of historical fiction. And historical fiction should be distinguished from fiction that merely uses the historical past as its setting. In many ways, historical fiction is like science fiction: both are imagina- tive accounts attempting to understand something that exists outside the realm of the imagination. Science fiction, at its best, grows out of some subtle principle of science, exploring it in the realm of the imagination. In H.G. Wells' The war of the worlds, for example, the invasion of Earth by the Martians is premised on the scientific understanding that Mars, because of its greater distance from the Sun, would have cooled sooner than Earth, thus allowing the evolutionary process of life to begin long before it was possible on the much hotter Earth. Accordingly, the environment of Mars would have gener- ated more highly evolved forms of life than were present on Earth at the time the book was set. And it is the medical understanding of how organisms build natural immunities to familiar viruses and bacteria that Wells ultimately uses to defeat the Martians upon their invasion of Earth. Raven's saga operates in much the same way. Both books construct an imagined world, although one soundly premised on the scientific understanding of the tactile world in which we live. But while The war of the worlds launches forward into the imagined future, Raven's saga reaches backwards into the distant past. Schledermann's created world of the past, like Wells' imagined world of the future, is solidly based on scientific data that can be verified and substantiated. The imagination comes into play in Schledermann's attempt to account for how those factual, historical details could have occurred. Where organic and inorganic evolution provide the scientific thrust to Wells' fiction, the principles of archaeology inform Schledermann's book. In 1978 and 1982, Schledermann and his colleagues discovered a number of Norse artifacts during archaeo- logical excavations in the high Arctic. Rivets from Viking ships, chain-mail of the variety worn during the Crusades, a Norse carpenter's plane, a knife blade, and several other items were found in the ruins of an Inuit winter house on an island off the central east coast of Ellesmere Island. The house, according to radiocarbon technology, had been occupied sometime between 1250 and 1300 AD. These facts are grounded in the sound empirical observations of sophisticated archaeological research. But they are only the beginning — the point of embarkation, if you will — from which the imaginative journey that is Raven's saga begins. In Schledermann's imaginative reconstruction, an exploratory expedition sets out from the southern tip of Greenland around 1278 and travels up Greenland's west coast beyond modern Thule to Skraeling Island, one of numerous islands midway up the east coast of Ellesmere BOOK REVIEWS 355 Island. While the expedition is underway, and, to a great extent, one of the factors prompting it, a colonizing power struggle takes place in the Norse settlement of Vesterbygd on the southern tip of Greenland. Self-serving machinations by ambitious priests in the Catholic Church and crippling trade restrictions imposed by King Magnus of Norway, who has proclaimed sovereignty over Greenland, seriously threaten the peaceful way of life in the seemingly once- remote frontier of Vesterbygd. The action of the novel shifts back and forth between these two venues. The story of the northern expedition is filled with Boy's Own Magazine variety of adventure, as the small party encounters the natural forces of sea ice, polar bears, and walrus, and the cultural dynamic of first contacts between Europeans and Inuit. Back in the settlements, the story is more complex, with Schledermann drawing on his extensive knowledge of the politics and history of Greenland, Iceland, and Markland (modern Labrador) and their role as the European frontiers of their day. The characterisation throughout is polarised, typical of the romance. The protagonist, Tore Ey vindsson, is a stock heroic figure — young, adventurous, and physically at- tractive to women. He leads the expedition to the coast of Ellesmere Island and returns to marry the chieftain's daughter. To reveal this resolution of the plot will not spoil the book, because no reader would ever imagine a different conclusion. The psychological detail of individual charac- ters counts for little here. Rather, Schledermann has focused the reader's attention on a sense of the setting — both temporal and spatial — in which the action unfolds. This sense of an historical setting is certainly where the book shines. Educated people have long doubted the accuracy of that public-school rhyme concerning the Eu- ropean discovery of North America: 'In fourteen hundred and ninety-two, Columbus sailed the ocean blue.' We have heard too many vague accounts of earlier European contact with North America: fleeting textbook allusions to Leif Ericsson, rumoured work by Helge Ingstad at L'Anse aux Meadows, the Viking grave discovered in Farley Mowat's Lost in the Barrens. But few of us have a solid image of Norse commerce in the New World to match that solidly ingrained mental icon of Nina, Pinta, and Santa Maria sailing into the Caribbean Sea under Christopher Columbus' command. Nor do most of us have an under- standing of European politics in the thirteenth century to match our general grasp of Europe at the beginning of the Renaissance. Raven's saga provides much of that under- standing, as well as a better sense of Inuit culture during the same period. One learns about the important rituals associated with the solstice, the social and economic structure of Norse and Inuit societies, and the practicalities of rope-making, boat-building, food preparation, and house construction. One has an opportunity to glimpse the Crusades as something perpetuated by those who profit from military conflict, and not merely as yet another manifestation of blind religious fanaticism. One is pro- vided with a window through which to observe the eco- nomic hardship that a frontier society of hunters and pastoralists must endure when the Pope and the Norwegian king make sweeping decisions from afar. Schledermann's historical reconstruction also probes into the difficulties encountered when traditional cultures come into contact with new cultures. Some of the mem- bers of the northern expedition to Skraeling Island return to Vesterbygd, bringing with them improved skills and techniques learned from the Inuit. But those better meth- ods are not always accepted, simply because they are new and unfamiliar. Other expedition members choose never to return to their Norse roots, preferring the Inuit culture that has embraced them. Although the setting of Raven's saga is more than eight centuries in the past, there is much of relevance here to modern Canadian society. This is especially true in matters related to northern cultures and the effect on them of more southerly populations. (Richard C. Davis, Department of English, University of Calgary, 2500 University Drive NW, Calgary, Alberta T2N 1N4, Canada.) LEADING AT THE EDGE: LEADERSHIP LES- SONS FROM THE EXTRAORDINARY SAGA OF SHACKLETON'S ANTARCTIC EXPEDITION. Dennis N.T. Perkins, with Margaret P. Holtman, Paul R. Kessler, and Catherine McCarthy. 2000. New York: American Management Association, xx + 268 p, hard cover. ISBN 0-8144-0543-6. $24.95. This book forms part of the contemporary oeuvre based around Sir Ernest Shackleton. The qualities and behaviour exhibited by Shackleton are crafted into a template for identifying and developing the performance and skills of leadership. Another recent book exploring this theme is Shackleton's way, by Morrell and Capparell (2001a), and an article by these authors appears in the March 2001 issue of Director, the magazine for the Institute of Directors (Morrell and Capparell 2001b). In Apsley Cherry-Garrard's first edition of The worst journey in the world (putatively the best exploration book of the twentieth century), he comments on Antarctic lead- ership styles: 'For a joint science and geographical piece of organisation, give me Scott; for a Winter Journey, Wilson; for a dash to the Pole and nothing else, Amundsen; and if I am in a devil of a hole and want to get out of it, give me Shackleton every time' (page viii). Since that time the legend of Shackleton has continued to grow, the last few years having seen a glut of exhibitions, TV and other visual media programmes, and newspaper and magazine articles on arguably this most of charismatic of all Antarctic explorers. Much of the current interest may stem from the paucity of present-day 'real heroes.' Although space exploration provides a genuine frontier, the public are, ineluctably, drawn to the raw confrontation of man with the elements epitomised by the expeditions to Antarctica during the first two decades of the last century. Shackleton's Imperial Trans-Antarctic Expedition of 1914-17 has con- tinually captured imaginations, not for what was achieved in exploration terms, but for the sheer determination and audacity of Shackleton's team to survive against incalcu- 
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work_3ncqxyvnjrgydnabqeto7z56cm	----	[PDF] Editorial: Save Research---Abandon the Case Method of Teaching | Semantic Scholar Skip to search formSkip to main content> Semantic Scholar's Logo Search Sign InCreate Free Account You are currently offline. Some features of the site may not work correctly. DOI:10.1287/MKSC.1060.0202 Corpus ID: 42940113Editorial: Save Research---Abandon the Case Method of Teaching @article{Shugan2006EditorialSR, title={Editorial: Save Research---Abandon the Case Method of Teaching}, author={Steven M. Shugan}, journal={Marketing Science}, year={2006}, volume={25}, pages={109-115} } Steven M. Shugan Published 2006 Psychology Marketing Science The case method of teaching and the corresponding Socratic Method predate the discovery of the scientific method for advancing knowledge and problem solving. The case method applies known principles e.g., laws to specific situations while the scientific method focuses on discovering principles. Although the case method might be effective at teaching leadership and persuasion skills, it can lack the spirit of inquiry and the worship of the truth associated with the scientific method. Moreover… Expand View via Publisher bear.warrington.ufl.edu Save to Library Create Alert Cite Launch Research Feed Share This Paper 59 CitationsHighly Influential Citations 7 Background Citations 23 Methods Citations 14 Results Citations 2 View All 59 Citations Citation Type Citation Type All Types Cites Results Cites Methods Cites Background Has PDF Publication Type Author More Filters More Filters Filters Sort by Relevance Sort by Most Influenced Papers Sort by Citation Count Sort by Recency Course Research: Using the Case Method to Build and Teach Management Theory Clayton M. Christensen, Paul R. Carule Sociology 2009 131 PDF Save Alert Research Feed Exploration of the efficacy of the case method of teaching M. Reed, Rochelle Reed Brunson Psychology 2018 2 Save Alert Research Feed The Perceived Influence of Case Method on Students’ Performance and Critical Thinking in Business Studies Xhimi Hysa, Luca Carrubbo, Armeno Sadiku, Irma Gjana, Nensi Hazizaj Psychology 2020 View 2 excerpts, cites background and methods Save Alert Research Feed Connecting with Reality: Using Mini-Case Study Approach to Facilitate and Assess Student Learning Lucy Xiaolu Wang Sociology 2017 View 2 excerpts, cites background Save Alert Research Feed The Role of Theoretical Breadth and Student Engagement in the Use of Case Methods in Marketing Pedagogy S. Sudhir, Anandakuttan B. Unnithan Sociology 2018 Highly Influenced PDF View 6 excerpts, cites methods and background Save Alert Research Feed Can civility be taught to Latin-American MBAs? Implications of case-method use for the development of civic behaviour in managerial education María Helena Jaén, Ezequiel Reficco, M. Ossa Sociology 2014 3 Save Alert Research Feed Transforming research case studies into teaching cases P. Strach, A. Everett Sociology 2008 18 View 1 excerpt, cites background Save Alert Research Feed Case-method teaching: advantages and disadvantages in organizational training Naghi Radi Afsouran, Morteza Charkhabi, S. Siadat, R. Hoveida, H. Oreyzi, G. Thornton Computer Science 2018 3 Save Alert Research Feed Case teaching in economics: History, practice and evidence G. Volpe Economics, Computer Science 2015 9 PDF View 2 excerpts Save Alert Research Feed International Business Education at the Interface: The Raw Case Study Method Y. Shi, S. Dow Sociology 2019 2 Highly Influenced View 4 excerpts, cites background Save Alert Research Feed ... 1 2 3 4 5 ... References SHOWING 1-10 OF 67 REFERENCES SORT BYRelevance Most Influenced Papers Recency The case method – does learning theory matter? A. Mumford Psychology 2005 13 Save Alert Research Feed The Socratic method in the introductory PR course: An alternative pedagogy M. Parkinson, Daradirek Ekachai Psychology 2002 35 Save Alert Research Feed Editorial: Consulting, Research, and Consulting Research Steven M. Shugan Sociology 2004 34 PDF Save Alert Research Feed Should Case Materials Precede or Follow Lectures F. Phillips, G. Vaidyanathan Psychology 2004 16 Save Alert Research Feed The use of case studies in management training and development. Part 1 W. Rees, C. Porter Psychology 2002 39 Save Alert Research Feed Those Who Understand: Knowledge Growth in Teaching L. Shulman Psychology 1986 11,143 PDF Save Alert Research Feed Case Writing Reconsidered Craig C. Lundberg, P. Rainsford, J. Shay, C. Young Sociology 2001 51 View 2 excerpts, references methods and background Save Alert Research Feed The Effect of the Case Method on Tolerance for Ambiguity Kevin Banning Psychology 2003 82 View 2 excerpts, references background Save Alert Research Feed A Case Method for Teaching Statistics W. Carlson Economics 1999 37 Save Alert Research Feed The future of the business school: Knowledge challenges and opportunities K. Starkey, S. Tempest Sociology 2005 120 Save Alert Research Feed ... 1 2 3 4 5 ... Related Papers Abstract 59 Citations 67 References Related Papers Stay Connected With Semantic Scholar Sign Up About Semantic Scholar Semantic Scholar is a free, AI-powered research tool for scientific literature, based at the Allen Institute for AI. 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work_3pqojd3xmzgvrcdnupfw2jnmrm	----	Microsoft Word - Man on the Moon.docx Man on the Moon A short, critical analysis of Neil Armstrong's photograph from the Apollo 11 mission "...a wider problematic of human- nonhuman relations, and raise the politico-ethical question of human responsibility in a world in which the agency of the majority of actants— such as wind, meteorites, rain, or earthquakes—goes beyond that of human decision or will, even if it may be influenced by human action. The question of human responsibility in the universe, in which we are quintessentially entangled on both a cellular and a cosmic level (with all of us being “made of starstuff,” as Carl Sagan remarked in his documentary TV series Cosmos), is an important one." (Zylinska, 2017, p.58) Image 1 The Moon☽; our planet's only natural satellite shadowing Earth and serving as its sidekick, like the biblical Eve to Adam, is again subject of popular discourse both within and beyond astronomical research, as the first Moon landing called the Apollo 11 project by NASA is celebrating its 50th anniversary in 2019. This paramount event of the history of humankind was carried out on the 20th July, 1969 by two American astronauts, Neil A. Armstrong and Edwin E. "Buzz" Aldrin Jr. It was a success for scientific research, space engineering, political relations, and social progress. Despite the controversies around the legitimacy of the Moon landing, that have been debated on for decades, there is a substantial amount of photographic material documenting some significant momentums of the mission. One of these, according to the journalist Jonathan Jones, can be perceived as "one of the revolutionary artistic masterpieces of the 20th century" (Jones, 2019). The photo in question is Armstrong's double-horizon portrait of his colleague, Aldrin, bearing the title: A triumph of human consciousness in an otherwise mindless universe (Image 1). In his article for The Guardian ("The greatest photos ever? Why the moon landing shots are artistic masterpieces"), Jones argues, amongst other things, that the significance of this portrait is in its all- encompassing power. In his unisex spacesuit and faceless figure Aldrin becomes a symbol for all men and women on Earth, while the uncanny landscape surrounding him is the object of discovery, representing everything non-human, but potentially governed by our species. (Jones, 2019) Even though he is described by Jones as being genderless and embodying each one of us, my counterargument is that the portrait is very much a symbol of hegemonic masculinity. Already indicated by the title of the photo, the "triumph" over the natural spheres, also perceived as an act of homogenous control, marks the affinity of the human species in relation to the rest of the universe. The ultimate heroic mission of bringing rational consciousness to what is deemed primal and unpredictable, might ring a familiar bell for those engaged in critical gender theory, as it is clearly derived from the same source as the disabling of feminity in our virile world. This question, however, might remain invisible to the masters of the cosmos, who can freely move around spaces, without having to encounter their own limitations of privilege. For the following six lunar journeys where a total of twelve astronauts have set their feet on the Moon, not one of them were women or non-binary individuals. The naming of the missions is already a telling choice; Apollo in Greek mythology is the male deity of the sun, light, knowledge, order and angriculture, along many other things, but essentially the epitome of physical superioirity and moral virtue. Aldrin and Armstrong, the two pivotal figures of the Apollo 11 mission, carry this legacy with them together with the weight of their cultural backgrounds. The portait taken by Armstrong is a complex one, both visually and conceptually. It was exposed with a specially made Hasselblad camera, which, together with the photographer and the rest of the technical equipment, are all reflected on the surface of Aldrin's space helmet. The image has been composed so that the scale of the Moon in relation to the size of the portrayed person is distorted, as the central figure is still occupying most of the perceived space. The horizon behind both astronauts merge into a seemless line (supplemented by the reflection), while their non-identifiable faces appear to be looking at each other. They are aliens on a celestial body that has not encountered human life before. They launched a history (both social and photographic), that was already conceived with a specific agenda: colonizing the Moon. Our planet's only Moon. However, as oppose to previous explorers, like Christopher Columbus, the Apollo 11 crew already had an idea of what they would find on this uninhabited land. As noted by Tanya Sheehan, photographic meaning has been produced via the masculine emphasis on "taking", in contrast to the feminine associations of "making", although the opposite analogy can be argued for as well, taking understood as a passive verb, while making as an active one. This gendered politics in the discourse of photographic history has been the foundation to the exclusion of the latter sex, while also informing the standard aesthetic taste for lens-based media (Sheehan, 2014, p.131). In this particular context photography takes the status of an epistemic medium that is both a means of technology and journalism. However, reinterpreting a fifty-year-old scientific documentation is a delicate quest, due to our current perspective accounted to the shifting socio- political climate. Nevertheless, stating that such a historically loaded photograph would be a general representation of humankind – treatment of representation as a vernacular phenomenon – fails to address its infringement of diversity and only succeeds in underpinning the same Western, white, middle-class patriarchal system that it is employed by. Ironically enough, the next NASA Moon program including humans again has been named Artemis, another figure of Greek mythology who was not only the twin sister of Apollo, but also the goddess of the Moon and chastity. This time, NASA officials have stated their intention to send the first woman to the Moon, while also considering to execute the mission with an all-female crew. Nonetheless, it is important to note that this step does not lessen the troublesome objective of colonialization through a self-proclaimed right. Even though this notion might advance from leaving the sole role of spectatorship to women, it still does not let go of the violent practice of demarcating space, whether social, public, natural or even outer. 1 ☽: intentionally written with a capital 'M' throughout the whole essay to honour it with some agency Illustration Image 1: NASA, 1969, A triumph of human consciousness in an otherwise mindless universe, Image, viewed on 1 December 2019, <https://www.theguardian.com/artanddesign/2019/jul/17/greatest- photos-ever-moon-landing-shots-artistic-masterpieces>. Bibliography Gohd, C. (2019, July 16). Apollo 11 at 50: A Complete Guide to the Historic Moon Landing. Space. Retrieved from https://www.space.com/apollo-11-complete-guide.html GreekMythology.com. (n.d.). Apollo. Retrieved from https://www.greekmythology.com/Olympians/Apollo/apollo.html GreekMythology.com. (n.d.). Artemis. Retrieved from https://www.greekmythology.com/Olympians/Artemis/artemis.html Jones, J. (2019, July 17). The greatest photos ever? Why the moon landing shots are artistic masterpieces. The Guardian. Retrieved from https://www.theguardian.com/artanddesign/2019/jul/17/greatest-photos-ever-moon-landing- shots-artistic-masterpieces Minh-ha, T. T. (1991). When the moon waxes red : representation, gender, and cultural politics. New York: Routledge. Mitchell, W. J. (1995). Picture Theory: Essays on Verbal and Visual Representation. Chicago: University of Chicago Press. Monzon, I. (2019, August 26). Will NASA’s Artemis Moon Mission Have An All-Female Crew?. International Business Times. Retrieved from https://www.ibtimes.com/will-nasas- artemis-moon-mission-have-all-female-crew-2818026 National Aeronautics and Space Administration. (n.d.). Artemis. Retrieved from https://www.nasa.gov/specials/artemis/ National Aeronautics and Space Administration. (n.d.). About the Moon/In Depth. Retrieved from https://moon.nasa.gov/about/in-depth/ Rose, G. and, P. Tolia-Kelly, D. eds. (2012). Visuality/Materiality: Images, Objects and Practices. Farnham: Ashgate Publishing Ltd. Sheehan, T. (2014). Photography, History, Difference. (T. Sheehan, Ed.) Hanover: Darmtouth College Press. Zylinska, J. (2017). Nonhuman Photography. Cambridge: The MIT Press. 
work_3pyf4xtbajfj5pthqht335j2bm	----	¿Hacia la academización de las facultades de derecho en Chile? Un análisis teórico y comparado del conflicto de las profesiones 2014] FERNANDO MUÑOZ LEÓN: ¿HACIA LA ACADEMIZACIÓN DE LAS FACULTADES… 9Revista de Derecho Vol. XXVII - Nº 1 - JULIO 2014 Páginas 9-25 ¿Hacia la academización de las facultades de derecho en Chile? Un análisis teórico y comparado del conflicto de las profesiones Fernando Muñoz León*1 Resumen Las facultades de derecho chilenas están viviendo un proceso de cambio consistente en la prolife- ración al interior de ellas de académicos de dedicación completa y exclusiva. Ello involucra una cierta pérdida de protagonismo dentro de las mismas de los docentes que dividen su tiempo entre los tribunales y las aulas universitarias. ¿Estamos ante la profesionalización de la docencia jurídica? Este ensayo sugiere entender este fenómeno más bien como un caso de conflicto entre dos profesiones, los “académicos” y los “docentes litigantes”, al interior de las facultades. Para comprender el posible destino de este “conflicto de las profesiones”, este ensayo propone poner atención a las prácticas académicas de Estados Unidos, cuyas facultades de derecho atravesaron este proceso de academización hacia fines del siglo XIX y principios del siglo XX. Academia jurídica – profesiones – sociología jurídica Towards the academization of law faculties in Chile? A theoretical and comparative analysis of the conflict of the professions Abstract Chilean law faculties are undergoing a process of change that consists in the proliferation within them of full-time academics. This involves a certain loss of importance within them of instructors that split their time between courts and classrooms. Are we witnessing the professionalization of legal instruction? This essay suggests understanding this phenomenon rather as a case of conflict between two professions, the ‘academics’ and the ‘litigant teachers’, within the faculties. To understand the possible outcome of this ‘conflict of the professions’, this essay proposes to pay attention to the academic practices of the United States, whose law faculties went through this process of academization at the end of the 19th and the beginning of the 20th centuries. Legal academia – professions – legal sociology *1Profesor Auxiliar, Facultad de Ciencias Jurídicas y Sociales, Universidad Austral de Chile. Doctor en Derecho, Yale Law School. Correo electrónico: fernando.munoz@uach.cl. Artículo recibido el 30 de agosto de 2013 y aceptado para su publicación el 28 de mayo de 2014. 10 REVISTA DE DERECHO (VALDIVIA) [VOLUMEN XXVII - Nº 1 Introducción Creo posible sostener que la academia jurídica en Chile está experimentando un rápido proceso de cambio. Este podría ser descrito, preliminarmente, como un proceso de profesionalización, entendiendo por tal un proceso de especializa- ción del trabajo; en este caso, del trabajo académico. Así, y en un grupo importante (pero en ningún caso universal) de facultades de derecho, de ser labores realizadas en los intersticios de la actividad profesional del abogado litigante1, las siguientes están comenzando a ser labores realizadas a tiempo completo por académicos: la producción de conocimiento jurídico en la forma de publicaciones especializadas; la transmisión de dicho conocimiento a los futuros profesionales en la forma de docencia universitaria, y al resto de la comunidad mediante la extensión; y la gestión misma de las institucio- nes de educación superior, incluyendo la planificación curricular y metodológica de la docencia antes dicha. Las facultades de derecho se estarían sumando a aquella visión convencional según la cual “sin un profesorado sólido, bien preparado y comprometido, ninguna institución académica o sistema de educación superior puede ser exitoso”2. A manera de hipótesis respecto de las causas de dichos cambios, me permitiría sugerir que en ellos confluyen diversos fenómenos relacionados con la consolidación institucional del sistema universitario chileno. Entre estos fenómenos se encontrarían la masificación de las escuelas de derecho, que a su vez lleva a una competencia de mer- cado entre las mismas; la visibilización de dicha competencia mediante el surgimiento de variados rankings; la especialización de las tareas investigativas por exigencias de formación doctoral; la exclusividad contractual como estrategia monopólica de las facultades en la competencia por los mejores docentes e investigadores; el recurso a la acreditación como mecanismo de certificación de la calidad de la enseñanza; las deman- das características de los procesos de acreditación; y –last but not least– el trasplante de objetivos, prácticas y expectativas de carácter académico provenientes en forma directa de otras latitudes e indirectamente de otras disciplinas. Mientras que algunas de estas dinámicas –en particular, las primeras– no apuntan con necesidad a la proliferación en las facultades de derecho de académicos de dedicación completa y exclusiva, las últimas sí parecieran hacerlo en el presente, imprimiéndole una orientación más clara al conjunto de dichos procesos. 1 Emplearé aquí esta expresión para denominar al heterogéneo conjunto de quienes, según la expresión tan habitual, “ejercen libremente la profesión de abogado”. Por supuesto, no creo que exista una profesión de abogado. Enseñar derecho también es ejercer la profesión. Lo es, también, desempeñarse como juez, notario, defensor público, fiscal, o abogado corporativo. Ahora bien, para efectos de esta discusión, subsumiré a esta abigarrada variedad de formas de ejercer la profesión dentro de la figura del abogado litigante. Escojo a dicha figura porque a mi juicio es la manifestación alternativa al académico más frecuente en las facultades. Asimismo, escojo a una sola figura, que estimo suficientemente representativa del resto, para simplificar lingüísticamente mi discusión del conflicto entre académicos y no académicos. 2  Altbach, P. et  al. (eds), Paying the Professoriate: A Global Comparison of Compensation and Contracts, New York, Routledge, 2012, p. 3. 2014] FERNANDO MUÑOZ LEÓN: ¿HACIA LA ACADEMIZACIÓN DE LAS FACULTADES… 11 Ahora bien, formulada por un académico, ¿no sería la observación con que comienza este artículo un ejemplo de historia whig, un caso de autocomplaciente descripción de la realidad como un constante progreso hacia el presente? A fin de evitar caer en el whig- gismo, voy a sugerir una forma alternativa de entender el proceso de cambio en cuestión. Esta perspectiva involucra reconocer que no corresponde calificar al litigante que hace docencia como un no profesional. A la luz de esta premisa, es más adecuado señalar que el proceso recién reseñado consiste, en estricto rigor, no tanto en una profesionalización a secas, sino más bien en un conflicto. No un conflicto de las facultades3, lógicamente, sino un conflicto dentro de ellas entre dos grupos de profesionales del derecho: ¿los “docentes litigantes”, por un lado, y los “académicos”, por el otro? Ellos no necesariamente entran en conflicto en un sentido subjetivo, es decir, en el sentido de que sus voluntades y sus ánimos entren en mutuo combate4, sino que entran en conflicto en un sentido objetivo: los unos desplazan a los otros de posiciones de influencia y poder anteriormente soste- nidos sin mayores cuestionamientos. Para comprender esta afirmación, acometeré un análisis teórico del concepto de profesionalización. Además de observar este fenómeno, en este trabajo quiero invitar a la reflexión sobre algunas preguntas prospectivas. ¿Qué implicancias tiene para nuestro sistema universitario el paulatino desplazamiento de los “litigantes” a manos de los “acadé- micos”? ¿En qué podría consistir el nuevo modelo de Facultad de Ciencias Jurídicas nacional?¿Qué estructuras internas y externas adoptará para llevar a cabo las funciones de producción académica, entrenamiento profesional, y vinculación con el entorno social que normalmente se esperan de las instituciones de educación superior? ¿Qué oportunidades y peligros nos aguardan con este proceso? Intentaré sugerir respuestas a dichas preguntas a partir de un análisis comparado de la academia jurídica norteameri- cana. He escogido dicho caso debido a que, como he observado en un anterior artículo, la academia norteamericana ya atravesó un proceso de academización hacia fines del siglo XIX y principios del siglo XX; proceso que estuvo guiado por los argumentos y discursos justificatorios ofrecidos por Christopher Columbus Langdell y Oliver Wendell Holmes5. Aquí dedicaré mi atención, en consecuencia, no al proceso de academización sino al resultado del mismo. Por cierto, al fijar mi atención en la estructura y prácticas de las facultades de derecho se hace innecesario que analice las diferencias y similitudes entre nuestro sistema jurídico y el norteamericano6. 3 La referencia, por supuesto, es a Kant, I., El conflicto de las facultades, Madrid, Alianza Editorial, 2003. 4  Aunque tampoco es imposible que ello ocurra. En todo caso, el estudio casuístico de conflictos subjetivos entre “docentes litigantes” y “académicos” no forma parte de los objetivos de este trabajo. 5  Muñoz, F., “Langdell’s and Holmes’s influence on the institutional and discursive conditions of American legal scholarship”, Revista Chilena de Derecho, Vol. 38, 2011, pp. 217-237. 6 Estas diferencias y similitudes son habitualmente administradas mediante la dicotomía entre derecho continental y common law. El análisis clásico de dicha dicotomía se encuentra en Zweigert, K., y Kötz, H., Introduction to Comparative Law, Oxford, Oxford University Press, 1998. Se puede encontrar una evaluación contemporánea de la misma en Pargendler, M., “The Rise and Decline of Legal Families”, American Journal of Comparative Law, Vol. 60, 2012, pp. 1043-1074. 12 REVISTA DE DERECHO (VALDIVIA) [VOLUMEN XXVII - Nº 1 El sistema de las profesiones y la competencia por jurisdicción El estudio de las profesiones ha sido desde temprano una de las preocupaciones de la sociología. Los propios orígenes de esta disciplina están vinculados a los esfuerzos por comprender las consecuencias de la división del trabajo sobre la estructura social. Es lógico que esta preocupación haya llevado a los sociólogos a estudiar una de las mani- festaciones de dicha división, la configuración de diversas disciplinas o profesiones. Max Weber, Emile Durkheim y Georg Simmel contribuyeron así a construir los cimientos de la literatura sobre las profesiones7. La literatura contemporánea sobre profesiones, por supuesto, ha recorrido un largo camino desde entonces. Podemos encontrar una síntesis crítica del estudio de las profesiones en la propuesta de Andrew Abbott. Según este autor, en Estados Unidos la literatura sobre las profesiones y los procesos de profesionalización ha transitado por las siguientes perspectivas: funcionalista, estructuralista, monopolista, y culturalista. Para la perspectiva funcionalista, una profesión es un mecanismo para controlar la relación asimétrica entre expertos y clientes, y la profesionalización es simplemente la evolución de las garantías estructurales de ese control. Para la perspectiva estructura- lista, la profesión es una forma de control ocupacional; la comprensión del proceso de profesionalización involucra la explicación de los pasos que atraviesa una actividad en el desarrollo de mecanismos de control8. Para la perspectiva monopolista, el desarrollo de dichos mecanismos no es natural o espontáneo, sino que el fruto de un deliberado propósito de dominio o autoridad; las profesiones son grupos corporativos que buscan controlar rentas y estatus mediante un dominio ocupacional. Finalmente, observa Abbott, autores que trabajan en la perspectiva culturalista han retornado al foco en el rol de la experticia como un determinante de las relaciones sociales, enfatizando la autoridad cultural de las profesiones9. Abbott critica a las perspectivas antes identificadas, particularmente a la estruc- turalista, por su excesivo foco en profesiones construidas desde la autonomía social, dejando de lado a profesiones construidas al alero de la institucionalidad estatal, típicas de Europa continental. En términos más generales, critica a todas ellas por analizar y teorizar a las profesiones de manera individual, atomizada. En contraste con ello, Abbott propone entender lo profesional como un campo en que existen diversas relaciones entre profesiones; más específicamente, como un ecosistema en el cual cada profesión 7 Weber, M., El político y el científico, Madrid, Alianza Editorial, 2005; Weber, M., Economía y sociedad. Esbozo de sociología comprensiva, México, Fondo de Cultura Económica, 1964; Durkheim, É., La división social del trabajo, Madrid, Akal, 1987; Simmel, G., Sobre la individualidad y las formas sociales, Buenos Aires, Universidad Nacional de Quilmes, 2002. 8 Esta tesis incluye la detección de varios hitos por los cuales en Estados Unidos se ha construido la identidad colectiva de las profesiones: apertura de escuelas de entrenamiento profesional, desplazamiento de las mismas hacia las universidades, asociaciones profesionales locales y nacionales, aprobación de leyes que requieren la obtención de un título para el ejercicio profesional, la aparición de códigos de ética profesional. 9 Abbott, A., The System of Professions. An Essay on the Division of Expert Labor, Chicago, The University of Chicago Press, 1988, p. 15. 2014] FERNANDO MUÑOZ LEÓN: ¿HACIA LA ACADEMIZACIÓN DE LAS FACULTADES… 13 compite con otras por un determinado coto laboral. Por esto, su foco es en el sistema de las profesiones, esto es en las relaciones de competencia, colaboración y jerarquía que se dan entre ellas; y el sitio donde explorar dichas relaciones es en el control por parte de una profesión de determinadas actividades, labores, o problemáticas, vínculo de control al que denomina jurisdicción. “Analizar el desarrollo de las profesiones es analizar cómo este vínculo es creado en el contexto laboral, cómo es anclado por la estructura social formal e informal, y cómo la interacción entre los vínculos jurisdiccionales de distintas profesiones determina la historia de las profesiones individuales en sí”10. En resumidas cuentas, la competencia por jurisdicción explica el sistema de las profesiones existente en un determinado contexto. La propuesta teórica de Abbott nos sirve para conceptualizar de manera más certera el proceso de cambio identificado al principio de este trabajo. Lo que ocurre hoy en las facultades de derecho chilenas es un proceso de competencia entre dos profesiones, los litigantes docentes y los académicos, por reclamar eficazmente jurisdicción sobre las labores de docencia, investigación, y gestión universitaria. En efecto, la integración predominante del cuerpo docente por académicos de dedicación exclusiva conlleva una creciente exclusión de la conducción de la institución universitaria y de la enseñanza de los principales cursos de quienes litigan en tribunales o desempeñan otras funciones en el sistema judicial. Quisiera examinar dos registros discursivos en los cuales esta competencia por ju- risdicción al interior de las facultades de derecho ha sido visibilizada. En primer lugar, examinaré una discusión en un diario nacional entre decanos de facultades de derecho. A continuación, revisaré algunas actas de procesos de acreditación de facultades de derecho. Me parece que estos registros evidencian los imaginarios que, en representación de las dos profesiones en cuestión, se disputan el dominio jurisdiccional de las facultades de derecho. El primer registro ofrece un enfrentamiento entre dos narrativas altamente idealiza- das, casi míticas, que sustentan sus respectivas tesis sobre la orientación que debe tener la facultad de derecho en posturas sobre el personal que debe primar en ellas. Una de ellas, la que cabría calificar como tradicional, plantea que para que la facultad de derecho pueda estar exitosamente orientada al ejercicio profesional, ya sea litigioso o corpora- tivo, ella debe estar construida en torno a la figura del litigante prestigioso devenido en educador en su tiempo libre. Esta narrativa ha sido formulada por Pablo Rodríguez, Decano de la Facultad de Derecho de la Universidad del Desarrollo, en diversas columnas editoriales en el diario El Mercurio. Allí ha afirmando que, en la facultad de derecho, 10 Ídem, p. 20. Véase también ídem, p. 33: “Cada profesión está amarrada a un conjunto de labores por vínculos jurisdiccionales, cuyas fortalezas y debilidades están establecidas en el proceso mismo del trabajo profesional. Ya que ninguno de estos vínculos es absoluto o permanente, las profesiones en su conjunto componen un sistema interactivo, un ecosistema. Las profesiones compiten entre sí dentro de este ecosistema, y el éxito de una profesión refleja tanto la situación de sus competidores y la estructura del sistema mismo como los esfuerzos de la propia profesión. Cada cierto tiempo, tareas son creadas, abolidas o reformadas por fuerzas externas, con sus consiguientes desplazamientos y reajustes dentro del sistema de las profesiones”. 14 REVISTA DE DERECHO (VALDIVIA) [VOLUMEN XXVII - Nº 1 “el investigador, el docente, el filósofo del derecho y el jurista son una excepción que enaltece la profesión”, pero que “lo que Chile necesita” son “abogados para organizar y reglamentar con eficiencia la vida social”11. Asimismo, ha sostenido que los “académicos profesionales”, “sin duda útiles en ciertas cátedras, nada o muy poco aportan a la hora de ejercer el derecho vivo, cuando la norma se confronta con la realidad”12. La segunda narrativa, que podríamos calificar como revisionista, sostiene que solo mediante la incorporación de la figura transnacional del académico de tiempo comple- to, validada por las universidades más prestigiosas del mundo, la facultad de derecho contemporánea podrá alcanzar sus propósitos de una manera autorreflexiva o crítica. En el caso específico que me ocupa, esta narrativa fue planteada como una respuesta a Rodríguez por parte de Rodrigo Correa, Decano de la Facultad de Derecho de la Universidad Adolfo Ibáñez. Correa argumentó que “un sistema jurídico sano requiere de personas dedicadas a examinarlo críticamente”, las cuales “deben contar con tiempo para el constante estudio, tanto del derecho nacional e internacional como de disciplinas importantes para el derecho”, y deben tener “la libertad para criticar las decisiones que toman diversos actores del sistema jurídico”13. Como coronación de su argumento, Correa invocó explícitamente algunos modelos ultramarinos de docencia jurídica (Harvard, Oxford, Leiden, Alexander von Humboldt, París II, Pompeu Fabra), afirmando que “no debe extrañar que todas las facultades de derecho que gozan de prestigio más allá de sus fronteras” estén “integradas principalmente por académicos”14. El segundo registro al que he hecho referencia está conformado por acuerdos de acreditación tomados por agencias acreditadoras privadas y, al menos en un par de casos, por la propia Comisión Nacional de Acreditación. Estos acuerdos, como es lógico, solo reflejan el caso de las facultades que han resuelto someterse al procedimiento de acredi- tación15, el que en nuestra actual legislación es voluntario16. Ellos evidencian la dispar evaluación que, en la actualidad, reciben las facultades, por parte de la institucionalidad regulatoria universitaria, de acuerdo con el número de su personal académico. Esto se comprueba, por ejemplo, observando la retórica que acompaña la evaluación de las ca- rreras de pregrado que han obtenido el mayor número de años de acreditación. 11 Rodríguez, P., “Misión profesional de la universidad”, El Mercurio, 23 de mayo de 2009, A 2. 12 Rodríguez, P., “Sistema jurídico chileno”, El Mercurio, 19 de enero de 2011, A 2. 13 Correa, R., “Sistema jurídico chileno”, El Mercurio, 20 de Enero de 2011, A 2. 14 Ídem. 15  De acuerdo con lo informado por la Comisión Nacional de Acreditación se han sometido a este proceso trece universidades, de entre las cuales en este momento dos gozan de una acreditación de dos años (Universidad de Antofagasta y Universidad Bernardo O’Higgins), una de tres años (Universidad de Antofagasta), una de cuatro años (Universidad Católica de la Santísima Concepción), dos de cinco años (Universidad Católica del Norte y Universidad Alberto Hurtado), cinco de seis años (Pontificia Universidad Católica de Valparaíso, Universidad Austral de Chile, Universidad de Concepción, Universidad de Los Andes, Universidad de Valparaíso), y una de siete (Universidad Diego Portales). 16 Para una crítica de la voluntariedad en los procesos de acreditación, véase Muñoz, F., “La necesidad de regular la docencia universitaria en Chile: una propuesta de lege ferenda”, Revista Chilena de Derecho, Vol. 39, 2012, pp. 891-907. 2014] FERNANDO MUÑOZ LEÓN: ¿HACIA LA ACADEMIZACIÓN DE LAS FACULTADES… 15 Así, en un caso se señala que “la carrera cuenta con un cuerpo académico suficiente en cantidad y altamente calificado para sustentar el programa” y los “docentes cuentan con un elevado nivel y diversidad de formación disciplinaria, y con reconocida produc- tividad en investigación”17. En otro, se afirma que el “cuerpo académico de la carrera es suficiente en cantidad, calidad y dedicación para implementar el plan de estudios” y que la “carga de trabajo está adecuadamente equilibrada entre las funciones de docencia, investigación y gestión que deben desempeñar”18. En un tercer ejemplo se observa que el “cuerpo académico es calificado y con un número creciente de postgraduados”, así como que existe “un nivel de preparación muy bueno en un grupo importante de profesores con entusiasmo y vocación por lo que hacen”19. En otro caso se valora que la “dotación, dedicación y calificación del cuerpo docente es adecuada para llevar a cabo el plan de estudios que se ha propuesto la unidad”, al tiempo que se lamenta “la disminución de profesores de jornada completa entre 2009 y 2010”20. Respecto de otra institución se destaca que “el personal docente es calificado y competente, advirtiéndose el esfuerzo que se ha hecho para aumentar la dotación de profesores con postgrados en jornada completa”21. En un último ejemplo, el organismo acreditador valoró que la unidad aca- démica en cuestión “cuenta con un número apropiado y calificado de profesores que le permite dar cumplimiento a las funciones de docencia”, destacando que ella tiene “una dotación de 19 jornadas completas, 13 medias jornadas y 2 con un cuarto de jornada, todos con estudios de postgrado”, al tiempo que de “las jornadas completas y medias jornadas, la mayoría se encuentra adscrito a la carrera académica regular y realizan do- cencia e investigación”22. ¿Hay valoración por parte de los reguladores universitarios de la presencia de liti- gantes docentes en las facultades con alta acreditación? Al menos hay un caso en el que los acuerdos de acreditación destacan el que, junto a los profesores académicos, “existe un alto número de profesores vinculados con el ejercicio activo de la profesión, lo que es valorado por los estudiantes”23. Viceversa, en el caso de una de las carreras que obtuvieron menor tiempo de acre- ditación se critica que “la cantidad de profesores y su dedicación no es suficiente para cumplir con la misión y objetivos en las distintas áreas del quehacer de la unidad”, observación que se respalda señalando que la unidad académica “tiene dos académicos de jornada completa (Decano y Jefa de Carrera) y diez profesores de media jornada”24, 17 Qualitas, Acuerdo de Acreditación Nº 155: Pontificia Universidad Católica de Valparaíso, p. 7. 18 Qualitas, Acuerdo de Acreditación Nº 122: Universidad Austral de Chile, p. 5 19 Comisión Nacional de Acreditación, Acuerdo de Acreditación Nº 311: Universidad de Concepción, p. 4. 20 Qualitas, Acuerdo de Acreditación Nº 125: Universidad de los Andes, p. 4. 21 Agencia Acreditadora de Chile, Acuerdo de Acreditación Nº 101: Universidad de Valparaíso, p. 7 22 Agencia Acreditadora de Chile, Acuerdo de Acreditación Nº 61: Universidad Diego Portales, p. 6. 23 Qualitas, Acuerdo de Acreditación Nº 155: Pontificia Universidad Católica de Valparaíso, p. 7. 24 Qualitas, Acuerdo de Acreditación Nº 161: Universidad Bernardo O’Higgins, 7. 16 REVISTA DE DERECHO (VALDIVIA) [VOLUMEN XXVII - Nº 1 mientras que en el caso de otra carrera se criticó que “existen pocos académicos con- tratados en calidad de planta” y que “una baja cantidad tiene formación doctoral”25. El debate entre decanos y las actas de acreditación sugieren que el triunfo en la competencia por jurisdicción entre las profesiones jurídicas al interior de las facultades de derecho estará del lado de aquella profesión que logre persuadir eficazmente a los diversos actores del sistema universitario –demandantes de educación, demandantes de literatura especializada, autoridades ministeriales, agencias reguladoras y fiscalizado- ras, prensa especializada– de sus ventajas comparativas en la realización de las labores que componen el respectivo campo operativo; particularmente la formación de futuros profesionales jurídicos. ¿Quién está mejor capacitado para enseñar a nuestros futuros abogados, los litigantes docentes o los académicos? Esa es la pregunta que guía y seguirá guiando la competencia por jurisdicción al interior de las facultades. La academización de las facultades en Estados Unidos y sus críticos Hasta ahora hemos contemplado cómo nuestras facultades de derecho están inmersas en un proceso de competencia por jurisdicción entre litigantes docentes y académicos. Ahora veremos, al menos someramente, las consecuencias del triunfo de los segundos en el caso de las facultades norteamericanas26. En Estados Unidos, el proceso de academización de las facultades de derecho está íntimamente relacionado con el éxito, hacia fines del siglo XIX y principios del siglo XX, de las reformas impulsadas por Christopher Columbus Langdell como Decano de Harvard. Langdell entendía la academia universitaria como una profesión en sí misma; si miramos las cosas desde esa perspectiva, un litigante, que es un profesional de la representación de intereses jurídicos ante los tribunales, es en cambio un amateur de la investigación 25 Comisión Nacional de Acreditación, Acuerdo de Acreditación Nº 107: Universidad de Atacama, p. 4. Esta resolución rechazó la acreditación de la unidad académica, decisión que fue objeto de una reposición presentada por la institución ante el mismo organismo y donde fue desechada mediante su Acuerdo de Acreditación Nº  120. Finalmente, la decisión fue revertida mediante apelación presentada ante el Consejo Nacional de Educación, el que acreditó a la institución por dos años. 26 Estas líneas, por supuesto, podrían también haber analizado la situación europea. Un elemento, sin embargo, hacen más propicia la realidad norteamericana para su empleo como material para la reflexión local: el hecho de que en Estados Unidos, tal como acá, y a diferencia de la mayoría de los sistemas universitarios europeos, las universidades privadas juegan un rol importante tanto en la producción académica como en la formación profesional. Un importante elemento surge de ahí: la existencia de competencia de mercado entre instituciones. El modelo norteamericano, como es obvio, contiene importantísimas influencias europeas, particularmente alemanas; y ya ha encontrado recepción en países de otros continentes, como Israel; por lo que calificarle de “norteamericano” es sencillamente una simplificación propia de la construcción de tipos ideales. Por último, es importante tener presente que los sistemas universitarios norteamericano y europeo tienen definidas ya sea a nivel de legislación (Alemania) o bien a nivel de prácticas unánimemente reconocidas (Estados Unidos) diversos aspectos relacionados con la carrera académica y su estructura interna. Lo que en Chile está tímidamente empezando a delinearse, allá es the law of the land. Véase Muñoz, supra nota 16. 2014] FERNANDO MUÑOZ LEÓN: ¿HACIA LA ACADEMIZACIÓN DE LAS FACULTADES… 17 científica y la enseñanza del derecho. En palabras de James Ames, discípulo de Langdell y su sucesor como Decano de la Facultad de Derecho de Harvard, “no ha de haber duda sobre que el plantel académico deba estar compuesto casi en su totalidad de hombres que dediquen la totalidad de su tiempo a la universidad”27. Langdell y Ames fueron los pioneros de la academización actual en las facultades de derecho norteamericanas. Ello se refleja en que, hoy, en Estados Unidos es de senti- do común sostener que “los requerimientos profesionales de sus carreras generalmente impide a los docentes a tiempo parcial dedicar una atención substancial a reunirse con los alumnos fuera del salón de clases, así como de participar en el desarrollo del cu- rrículum y otros asuntos típicamente conducidos por el cuerpo docente, y de llevar a cabo con seriedad agendas investigativas que contribuyan al desarrollo del derecho”28. Es también de sentido común observar que alguien con un nombramiento académico de tiempo completo “puede contribuir al cuerpo del conocimiento con algo que el abo- gado practicante generalmente no puede: investigación que es rigurosa y sólidamente sustentada”29. Es también pacífica, no controversial, la creencia de que los académicos se caracterizan por una mayor independencia de criterio en el análisis del derecho, pues el académico “puede examinar los problemas que involucran al derecho y a las instituciones jurídicas desde un punto de vista ampliamente independiente, careciendo de clientes reales o potenciales que puedan estar mirándolo por sobre el hombro”30. Demos por establecido, en consecuencia, que el proceso de academización que nuestras facultades están viviendo dio sus frutos hace ya bastante tiempo en las facul- tades de derecho norteamericanas. Esto implica que dichas facultades pueden ser vistas como posibles ejemplos de aquello en lo que nuestras propias facultades se convertirán. Esta posibilidad se ve considerablemente aumentada si tomamos en cuenta la influencia de los académicos que se hayan visto expuestos a la cultura académica norteamericana durante sus estudios de postgrado31. En otros países, como Israel, dicha influencia ha sido considerada decisiva en la transformación de la investigación y la enseñanza 27 Ames, J., “The Vocation of the Law Professor”, The American Law Register, Vol. 48, 1900, pp. 129- 146, p. 137. Véase también Kimball, B., “The Principle, Politics, and Finances of Introducing Academic Merit as the Standard of Hiring for ‘the teaching of law as a career,’ 1870-1900”, Law & Social Inquiry, Vol. 31, 2006, pp. 617-648; y Muñoz, supra nota 5. 28 Kane, M., “The Requirement of Full-Time Faculty in American Legal Education: Responsibilities and Expectations”, Journal of Legal Education, Vol. 51, 2001, pp. 373. 29 Van Zandt, D., “Discipline-Based Faculty”, Journal of Legal Education, Vol. 53, 2003, p. 333. 30 Ibídem. 31 No sería la primera vez que hubiese una influencia explícita de la academia norteamericana en nuestro país. A partir de 1966, la Universidad de Stanford colaboró con un proyecto de reforma de la investigación jurídica nacional que involucró a las universidades de Chile, de Concepción, Católica de Valparaíso, y, en su última etapa, Católica de Chile. Este proyecto de colaboración consistió en un programa de capacitación en métodos de investigación y enseñanza de un total de veinte académicos chilenos a lo largo de un período de tres años, y resultó en la fundación del Instituto de Docencia e Investigaciones Jurídicas en Santiago en 1969. El Instituto desapareció en 1974, cuando se extinguió el financiamiento inicial para este obtenido de la Fundación Ford. Véase Merryman, J., “Law and Development Memoirs I: The Chile Law Program”, The American Journal of Comparative Law, Vol. 48, 2000, pp. 481-499. 18 REVISTA DE DERECHO (VALDIVIA) [VOLUMEN XXVII - Nº 1 jurídicas32. ¿Qué prácticas institucionales reflejan la academización de la facultad de derecho norteamericana? La mejor evidencia de la academización de las facultades norteamericanas se encuentra en el hecho de que el grueso de la planta docente (la faculty) de las escuelas de derecho norteamericanas está integrada por profesores de jornada completa y dedicación absoluta, cuyas posiciones académicas están cubiertas por la garantía de seguridad en el empleo o tenure. El tenure entrega al académico un nombramiento en titularidad caracterizado por el derecho contractual a no ver cesadas sus funciones sin justa causa. En otras palabras, es una especie de derecho o titularidad sobre la posición desempeñada. Los estándares para la regulación del tenure se fundamentan en el Statement of Principles of Academic Freedom and Tenure emitido por la American Association of University Professors en 194033. Para el período 2007-2008, por ejemplo, de los 10.673 profesores reportados por las facultades de derecho pertenecientes a la Association of American Law Schools, 7.653 profesores (el 71,7%) gozaban de tenure o estaban en posición de adquirirlo34. La regulación misma de las facultades, contenida tanto en los Estándares de Acreditación de la American Bar Association como en las directivas autorregulatorias de la Association of American Law Schools, les exige a dichas instituciones “contar con un número suficiente de profesores de jornada completa que asegure la calidad de sus programas educacionales”35. Para los académicos, en consecuencia, la primera y quizás principal meta de desarrollo profesional consiste en alcanzar el tenure. En términos directos el tenure es, entonces, una situación institucional que les entrega estabilidad en el empleo. Pero indirectamente, el tenure es también una señal de prestigio y estatus: socialmente se habla del tenured professor con una cierta reverencia; dentro de la universidad participa de la toma de decisiones colectivas; cuenta con secretarias personales y ayudantes de investigación. Por otro lado, el tenure funciona también como un marcador límite de rendimiento: quien no obtiene tenure dentro del período de cuatro años debe abandonar la institución universitaria y buscar nuevos rumbos profesionales36. El tenure se entrega fundamentalmente sobre la base de la producción académica del profesor, expresada en la cantidad y calidad de sus publicaciones y el prestigio de las revistas donde ellas alcanzan difusión. Los candidatos 32 Véase Lahav, P., “American Moment(s): When, How, and Why Did Israeli Law Faculties Come to Resemble Elite U.S. Law”, Theoretical Inquiries in Law, Vol. 10, 2009, pp. 653-697. El autor concluye que, si bien a partir de 1967 “la historia de las facultades de derecho israelíes muestran una creciente dependencia del modelo norteamericano de enseñanza jurídica”, “la mayoría de los jóvenes estudiantes que fueron a los Estados Unidos y regresaron a Israel equipados con conocimiento jurídico fueron capaces de absorber dicho conocimiento con una mirada crítica… El resultado han sido instituciones que siguen patrones provenientes de la cultura jurídica norteamericana, pero que mantienen su autonomía y una identidad propia”. Id., pp. 696-697. 33 Véase Finkin, M.; Post, R., For the Common Good. Principles of American Academic Freedom, New Haven, Yale University Press, 2009. 34 Association of American Law Schools, Statistical Report on Law Faculty 2007-2008, p. 25. 35 Kane, M., “The Requirement of Full-Time Faculty in American Legal Education: Responsibilities and Expectations”, Journal of Legal Education, Vol. 51, 2001, p. 372. 36 Véase Muñoz, supra nota 16, p. 896. 2014] FERNANDO MUÑOZ LEÓN: ¿HACIA LA ACADEMIZACIÓN DE LAS FACULTADES… 19 saben que su obtención depende de numerosos factores, incluyendo “evaluaciones po- sitivas por parte de los profesores de mayor antigüedad en su área, ubicación de sus artículos en revistas bien evaluadas, numerosas referencias a su trabajo en la literatura pertinente, y la aprobación de colegas de otras áreas”37. ¿Qué tan serias son las exigencias de exclusividad de las facultades de derecho para los tenured professors? Al menos, ellas implican que un profesor no puede desempeñarse como tal simultáneamente en más de una universidad. La excepción a esto consiste en el permiso académico (leave of absence), el que faculta al académico a desempeñarse como profesor visitante en otra institución durante un semestre o un año. Esta práctica, relativamente frecuente, le posibilita a los profesores pasar temporadas breves en otras ciudades y otras comunidades académicas. Ahora bien, el tenure, en ocasiones, puede ser suspendido para que el académico se desempeñe en cargos públicos de relevancia, como jefe de alguna agencia reguladora. También ocurre el caso de profesores que buscan acomodar su labor académica con el cargo de juez. Debido a la estructura de la judica- tura norteamericana, que no se sustenta en jueces de carrera sino en juristas nombrados tras haberse desempeñado por un cierto tiempo en actividades políticas, litigiosas o académicas, se da el caso de académicos que sean nombrados en cargos judiciales. En estos casos, los académicos suelen mantener un nombramiento de tiempo parcial en la institución universitaria38. Por último, la exclusividad sí significa que los académicos no litigan profesionalmente en tribunales. Cabe la posibilidad de que un profesor liti- gue circunstancialmente un caso de interés público, que ejerza ocasionalmente como consultor, que participe como testigo experto en un juicio o que asesore a un cuerpo legislativo; pero no es común ni bien visto, por ejemplo, que un académico sea socio en una oficina de abogados39. Junto a la tenured faculty se encuentran distintos tipos de adjunct faculty, particular- mente los profesores de redacción forense y los profesores de clínicas jurídicas. El origen de estas clínicas jurídicas se remonta a la crítica de los años 30 a la desconexión entre el enfoque teórico de la enseñanza del derecho, que enfatizaba la discusión en clases de los contenidos de sentencias de tribunales de apelación. El pionero de la enseñanza clínica fue el realista jurídico Jerome Frank por medio de su llamado a la creación de “escuelas de abogados”40. Sus críticas dieron pie a un amplio movimiento de creación de clínicas jurídicas en las escuelas de derecho, particularmente en las escuelas de “elite”. Debido a que no todas las escuelas de derecho cuentan con cursos de redacción o de 37 Carbado, D., “Tenure”, Journal of Legal Education, Vol. 53, 2003, p. 160. 38 Como ejemplos destacados podría pensarse en Richard Posner, profesor de la Universidad de Chicago y juez de la United States Court of Appeals for the Seventh Circuit a partir de 1981, y Guido Calabresi, profesor de la Universidad de Yale y juez en la United States Court of Appeals for the Second Circuit a partir de 1994. 39 Pese a ello, Brian Tamanaha ha observado que en facultades de derecho donde hay poca disciplina y compromiso con la institución es posible que “unos pocos vayan a una oficina donde realicen actividades prácticas en asociación con un estudio de abogados”. Tamanaha, B., Failing Law Schools, Chicago, Chicago University Press, 2012, p. 4. 40 Frank, J., “A Plea for Lawyer-Schools”, The Yale Law Journal, Vol. 56, 1947, pp. 1303-1344. 20 REVISTA DE DERECHO (VALDIVIA) [VOLUMEN XXVII - Nº 1 práctica, la existencia al interior de ellas es altamente valorada y constituye un valor distintivo entre distintas escuelas; un elemento que ayuda en la competencia por captar estudiantes talentosos. Así y todo, el lugar académico de los profesores de dichas asignaturas en la escuela de derecho está delimitado, y consiste en la enseñanza de las asignaturas ya indicadas. En consecuencia, hay una división clara del trabajo: el profesor de planta, un académico con la responsabilidad de producir investigación, entrena a los alumnos en el razona- miento jurídico; mientras que los profesores de la planta adjunta, algunos de los cuales comparten su tiempo entre la docencia y el litigio profesional y otros se dedican solo a la enseñanza de ramos prácticos, están encargados de enseñar destrezas prácticas, ya sea mediante clínicas o mediante cursos de redacción de documentos. Tras la obtención de tenure, la próxima meta del profesor de derecho es alcanzar una endowed chair, una cátedra nominada financiada mediante el legado de algún donante, y posteriormente alcanzar el estatus de university professor, una especie de supercátedra concedido por algunas universidades y que ocasionalmente lleva el nombre de algún donante particularmente generoso. También es frecuente que un profesor dotado de tenure cambie de una escuela a otra “por razones de sueldo, mejores condiciones laborales, mejor ubicación, mejores colegas y alumnos, y mayor sintonía entre el académico y su institución”41. En tales casos, las escuelas le reconocen al profesor el tenure ya adquirido. El problema que ocurre en algunas facultades de derecho es que, al no estar vincu- lada a la productividad académica o docente, el tenure permite a los profesores asumir una cómoda posición que le permite hacer el mínimo esfuerzo. Tamanaha ha observado que “prácticamente cualquier facultad de derecho tiene al menos unos pocos profesores que escriben poco”, problema frente al cual los decanos de derecho “han mostrado poca disposición a eliminar esta ineficiencia”42, particularmente incrementando las cargas docentes de quienes publican menos. ¿Qué mecanismos existen en la actualidad de reclutamiento del personal acadé- mico? La forma tradicional de convertirse en profesor de derecho en Estados Unidos es graduarse de una escuela de derecho de prestigio, trabajar en el comité editorial de la revista de mayor prestigio de dicha escuela, publicar un breve artículo o student note, trabajar para un juez federal como asistente o law clerk de uno a tres años, y entonces obtener un trabajo como profesor asistente en una escuela de derecho43. Este camino lleva a que el lugar donde un potencial profesor de derecho estudió tiende a prevalecer por sobre sus posteriores méritos académicos, profesionales, o docentes. Así, parado- jalmente, “la diversidad racial y de género en las plantas de profesores de derecho ha 41 Syverud, K., “The Dynamic Market for Law Faculty in the United States”, Journal of Legal Education, Vol. 51, 2001, p. 424. El comentarista nos indica que “el típico profesor se cambiará de escuela al menos una vez”. 42 Tamanaha, supra nota 37, p. 45. 43 Véase Redding, R., “‘Where Did You Go to Law School?’ Gatekeeping for the Professoriate and Its Implications for Legal Education”, Journal of Legal Education, Vol. 53, 2003, p. 596. 2014] FERNANDO MUÑOZ LEÓN: ¿HACIA LA ACADEMIZACIÓN DE LAS FACULTADES… 21 aumentado drásticamente, pero no ha habido un incremento similar en la diversidad de proveniencia educacional de los nuevos docentes”44. El mercado de entrada a la carrera académica es muy competitivo, pero hay que destacar que está altamente institucionalizado. Cada año, cientos de abogados presentan formularios de registro en el Faculty Appointments Registry de la Association of American Law Schools, la mayoría de los cuales son presentados por vía electrónica45. Tras sortear exitosamente la primera etapa de la postulación, el candidato asiste al Faculty Recruitment Conference, una feria laboral anual (conocida informalmente como el meat market) donde se entrevistará brevemente con los comités reclutadores de diversas escuelas. De allí pueden surgir algunas entrevistas (job talks) en las cuales el candidato expondrá, frente a todo el plantel académico de la escuela en cuestión, uno de sus trabajos académicos, usualmente sin publicar todavía (o en estado de work in progress). A esa altura de su vida profesional el candidato debiera ya contar con una o dos publicaciones, por lo que el presentar un trabajo no publicado permite también hacer que la entrevista sea un intercambio académico verdadero, donde eventualmente las indicaciones o sugerencias de los profesores que participan sean tomadas en cuenta en la publicación definitiva. El carácter profesional de la carrera académica ha creado tendencias que modifican la estructura de reclutamiento ya mencionada. Progresivamente las escuelas de derecho empiezan a buscar candidatos que ya hayan adquirido experiencia en investigación, siguiendo los criterios de contratación de “otras disciplinas académicas, examinando en primer lugar el entrenamiento previo del candidato y sus méritos en materia de publi- caciones y calidad de su enseñanza”46. Actualmente la tendencia mayoritaria es que los aspirantes a convertirse en profesores postulen a una fellowship académica tras haberse graduado. Dichas fellowships les permiten permanecer uno o dos años más en la escuela de derecho preparando publicaciones que les permitan entrar exitosamente al job market. Otro proceso en marcha es el rol de “la forma de educación jurídica avanzada (J.S.D.)”47; esto es, la realización de estudios doctorales propiamente tales48. Otra característica importante de la academia norteamericana, como es sabido, es su interdisciplinariedad. Lo interesante es que ella ha desencadenado también cambios paulatinos en el proceso de reclutamiento, resultantes en el incremento en la cantidad de candidatos que han cursado un doctorado en otras áreas del conocimiento. Se ha dicho que debido a ella la escuela de derecho típica “empieza a parecerse más a una universidad en miniatura –sin las ciencias físicas– que a una planta docente en particular dentro de la universidad”; un lugar donde “encontramos filósofos, economistas, críticos literarios, 44 Ídem., p. 594. 45 Syverud, supra nota 39, p. 423. 46 Redding, supra nota 41, p. 614. 47 Redding, supra nota 41, p. 614. 48 Recordemos que en Estados Unidos el título entregado comúnmente por las escuelas de derecho es el de Juris Doctor (J.D.). El Juris Scientiae Doctor (J.S.D.) es, según la jerga académica norteamericana, un research degree; quien lo obtenga debe no solamente haber cursado asignaturas lectivas sino también haber acreditado su capacidad de producir conocimiento mediante la realización de una tesis. Es, en suma, un doctorado. 22 REVISTA DE DERECHO (VALDIVIA) [VOLUMEN XXVII - Nº 1 académicos de estudios culturales y de estudios femeninos”, “historiadores y sociólogos y sicólogos; antropólogos y teólogos”49. Una vez que el académico se ha incorporado a la facultad, ¿cómo se estructura su carga docente? En la actividad del profesor de planta encuentra un lugar protagónico la enseñanza de un número mínimo de cursos semestrales cada año, típicamente tres o cuatro50. Normalmente el profesor enseñará algún seminario, alguno de los masivos cursos del currículum de primer año (Constitutional Law, Contracts, Torts, Procedure), y alguno de los cursos más especializados y que no siempre son obligatorios para todos los alumnos (Federal Courts, Criminal Law, Administrative Law, Labor Law, entre otros). Hay que señalar que la estructura de departamentos temáticos existente en Chile y proveniente de la academia europea está ausente de la escuela de derecho norteamericana; no hay departamentos de derecho público, derecho privado, etcétera. Por lo demás, los profesores cruzan frecuentemente las fronteras de lo que para nosotros pertenece a una u otra área del derecho. Esto lleva a que se den casos como los de un profesor enseñando, durante un mismo semestre, filosofía de la acción humana y responsabilidad extracontractual51. Otro elemento central en la vida académica norteamericana es la publicación. Un profesor que no publique constantemente se enfrenta a la presión social de sus pares, fenómeno que es popularmente conocido como publish or perish52. La gran paradoja, desde luego, de dicha presión por publicar es que la vida de los académicos (incluyendo su obtención de tenure) depende de las decisiones editoriales de alumnos de segundo año, quienes ofician de directores de prácticamente la totalidad de las revistas de derecho norteamericanas53. Entre las críticas que esto despierta hoy se encuentra la afirmación de que los editores estudiantiles se guían en primer lugar por las credenciales académicas de los autores, dejando fuera a los autores cuyas credenciales sean a sus ojos insatisfacto- rias. Por esto, uno de los procesos de reforma actualmente en curso es la incorporación de profesores con tenure como asesores de las revistas, así como el desencadenamiento de una guerra soterrada (o a veces no tanto) entre revistas student-edited y revistas peer reviewed 54 por captar ciertos nichos editoriales. 49 Luban, D., “Legal Scholarship as a Vocation”, Journal of Legal Education, Vol. 51, 2001, p. 168. 50 Kane, supra nota 28, p. 373. 51 Estoy pensando en el ejemplo de Jules Coleman, quien el 2008 dictara en la facultad de derecho de Yale al mismo tiempo el curso de Torts y un seminario de filosofía analítica titulado Law and the Reactive Attitudes. 52  Por supuesto, como he observado anteriormente, hay algunos profesores a quienes dicha presión les afecta poco. 53 Este modelo data de fines del siglo XIX. Con todo, recuerde el lector que las escuelas de derecho en Estados Unidos constituyen una professional school, a la cual se postula tras obtener un bachelor en un college y a menudo tras haber trabajado como paralegal en un estudio jurídico o haber realizado otras labores que permitan incrementar las posibilidades de aceptación en las escuelas de derecho (que no solo exigen un alto puntaje en el Law School Admission Test, sino también la capacidad de mostrar aptitudes profesionales y de liderazgo). El alumno de segundo año de derecho norteamericano, en consecuencia, tiene una formación totalmente distinta a la del alumno de segundo año chileno, quien es básicamente poco más que un egresado de enseñanza media. 54 Hay que aclarar que ambos tipos de revistas tienen comité editorial; la diferencia es que en un caso son estudiantes y en el otro son profesores (peers). 2014] FERNANDO MUÑOZ LEÓN: ¿HACIA LA ACADEMIZACIÓN DE LAS FACULTADES… 23 Otro elemento central de la práctica académica norteamericana es la existencia de seminarios o workshops organizados regularmente por los profesores. Entre ellos el más importante es el faculty workshop, orientado colectivamente a todos los profesores sin importar su área de especialidad y en el cual se discute semanalmente un paper de elabo- ración de algún miembro de la comunidad académica. Este seminario “es un elemento ineludible del ambiente de una escuela de derecho hoy, que cumple tanto funciones sociales como intelectuales dentro de la comunidad docente”55. Conclusión: el proceso chileno en marcha Los recientes procesos de ampliación de plantas académicas con académicos gra- duados en programas doctorales y de dedicación completa parecieran señalar que el modelo tradicional de facultad de derecho está en retirada. Todo esto, cabe destacar, no sugiere que dichas facultades estén olvidando su rol de formadoras de profesionales. Lo que indica es que estaríamos frente a un paulatino triunfo de los académicos en su conflicto con los docentes litigantes sobre la jurisdicción de la enseñanza del derecho. En ese proceso, las experiencias de otras sociedades que ya han atravesado ese proceso, como la norteamericana, debieran servir como insumo a nuestra discusión local. Algunas de sus instituciones debieran ser revisadas entre nosotros; si bien se hace necesario, como he argumentado anteriormente, la creación de un estatuto que regule y proteja la función académica similar al tenure, también deben estar debidamente reguladas en dicho estatuto la formación y la productividad docente y académica que se le deben exigir al académico. Los mecanismos normativos que sean empleados para alcanzar esta regulación, y que deberán incluir a lo menos estándares legislativamente definidos y criterios reglamentariamente determinados por la autoridad educacional, deberán hacerse cargo de la diversidad del sistema universitario; sin embargo, tal diversidad no puede ser excusa para la consagración de un sistema tan desregulado como el que actualmente existe en la materia. Adicionalmente, la academización chilena debe estar consciente del peligro de que ella involucre un distanciamiento del ejercicio profesional, como algunas voces críticas sostienen que ha ocurrido en Estados Unidos56. En el presente, el mejor argumento de los académicos en su conflicto con los docentes litigantes es que ellos están en mejores condiciones que aquellos de elaborar mecanismos de enseñanza del derecho que poten- cien la práctica. Por último, existen prácticas en el academizado medio norteamericano que pueden servir de inspiración para nuestras propias facultades. Esto es así en materia de reclu- tamiento, donde la existencia de concursos públicos en nuestras facultades de derecho 55 Lawson, G., “Making Workshops Work”, Journal of Legal Education, Vol. 54, 2004, p. 302. 56  Edwards, H. “The Growing Disjunction between Legal Education and the Legal Profession”, Michigan Law Review, Vol. 91, 1992, pp. 34-70. 24 REVISTA DE DERECHO (VALDIVIA) [VOLUMEN XXVII - Nº 1 es una práctica que debe ser potenciada, pero que debiera en algún momento alcanzar mayores niveles de publicidad y de estandarización. Esto ocurre también en materia de actividades de reflexión académicas, las cuales en nuestro medio son todavía esporádicas y por lo general no involucran la circulación y discusión de textos académicos. Bibliografía Abbott, A., The System of Professions. An Essay on the Division of Expert Labor, Chicago, The University of Chicago Press, 1988. Altbach, P. et al. 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work_3smanu444rf6plyljjfrxpfd3e	----	“You Could Call It Magic”: What Parents and Siblings Tell Preschoolers about Unobservable Entities This article was downloaded by: [University of Toronto Libraries] On: 22 April 2013, At: 13:08 Publisher: Routledge Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK Journal of Cognition and Development Publication details, including instructions for authors and subscription information: http://www.tandfonline.com/loi/hjcd20 “You Could Call It Magic”: What Parents and Siblings Tell Preschoolers about Unobservable Entities Caitlin F. Canfield a & Patricia A. Ganea b a Boston University b University of Toronto Accepted author version posted online: 27 Mar 2013. To cite this article: Caitlin F. Canfield & Patricia A. Ganea (2013): “You Could Call It Magic”: What Parents and Siblings Tell Preschoolers about Unobservable Entities, Journal of Cognition and Development, DOI:10.1080/15248372.2013.777841 To link to this article: http://dx.doi.org/10.1080/15248372.2013.777841 Disclaimer: This is a version of an unedited manuscript that has been accepted for publication. As a service to authors and researchers we are providing this version of the accepted manuscript (AM). Copyediting, typesetting, and review of the resulting proof will be undertaken on this manuscript before final publication of the Version of Record (VoR). During production and pre-press, errors may be discovered which could affect the content, and all legal disclaimers that apply to the journal relate to this version also. PLEASE SCROLL DOWN FOR ARTICLE Full terms and conditions of use: http://www.tandfonline.com/page/terms-and-conditions This article may be used for research, teaching, and private study purposes. Any substantial or systematic reproduction, redistribution, reselling, loan, sub-licensing, systematic supply, or distribution in any form to anyone is expressly forbidden. The publisher does not give any warranty express or implied or make any representation that the contents will be complete or accurate or up to date. The accuracy of any instructions, formulae, and drug doses should be independently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings, demand, or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with or arising out of the use of this material. http://www.tandfonline.com/loi/hjcd20 http://dx.doi.org/10.1080/15248372.2013.777841 http://www.tandfonline.com/page/terms-and-conditions ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 1 “You Could Call It Magic”: What Parents and Siblings Tell Preschoolers about Unobservable Entities Caitlin F. Canfield1,, Patricia A. Ganea2 1Boston University, 2University of Toronto Correspondence concerning this article should be addressed to Caitlin F. Canfield, Department of Psychology, Boston University, Boston, MA 02215 Tel.: 617-358-5369; Fax: 617-353-6933 E-mail: ceford@bu.edu Abstract How can we explain children’s understanding of the unseen world? Young children are generally able to distinguish between real unobservable entities and fantastical ones, but they attribute different characteristics to and show less confidence in their decisions about fantastical entities generally endorsed by adults, such as Santa Claus. One explanation for these conceptual differences is that the testimony children hear from others about unobservable entities varies in meaningful ways. While this theory has some experimental support, its viability in actual conversation has yet to be investigated. Study 1 sought to examine this question in parent-child conversation, and showed that parents provide similar types of content information when talking to children about both real entities and entities that they generally endorse. However, parents use different pragmatic cues when they communicate about endorsed entities than they do when talking about real ones. Study 2 showed that older siblings used discourse strategies similar to those used by parents when talking to young children about unobservable entities. These studies indicate that the types of cues children use to form their conceptions of D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 2 unobservable entities are present in naturalistic conversations with others, supporting a role for testimony in children’s early beliefs. In many fields of knowledge, children learn through active exploration of their environments. Through perceptual observation, imitation, and even play they are able to discern the roles of the people, objects, and actions that surround them. This has advanced the idea of the child-as-scientist in much historical and current developmental theory (Piaget, 1954; Gopnik, Meltzoff, & Kuhl, 1999). However, it is sometimes impossible for children to rely on such direct experience, either because an entity, like a microscopic being, is difficult to observe, or because it is impossible to see, as is the case with abstract concepts such as infinity or fantasy entities like unicorns. In these cases, children must depend on the testimony of others (Harris & Koenig, 2006). This testimony hypothesis proposes that the verbal input children receive from others varies in important ways, and that these variations inform children’s conceptions of the unseen world (Harris & Koenig, 2006). Such variations in testimony arise in both the content of speech as well as in other, more subtle, discourse cues. For instance, children may hear the same types of information about both historical figures (“Christopher Columbus sailed in a big boat.”) and fantastical ones (“Santa Clause rides in a sleigh.”), but they are unlikely to ever hear explicit statements of reality or belief when they hear testimony about historical people (Harris, 2007). Although most previous research on children’s understanding of unobservable entities has focused exclusively on children’s conceptions (e.g., Harris, Pasquini, Duke, Asscher, & Pons, 2006; Rosengren & Hickling, D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 3 1994; Sharon & Woolley, 2004), recent research has begun to assess the efficacy of the testimony hypothesis. Woolley, Ma, and Lopez-Mobilia (2011), for instance, suggest that there are two basic tenets of the testimony hypothesis: that conversation about different types of unobservable entities actually differs, and that children are sensitive to these differences. They examined the second of these principles in an experimental paradigm in which children watched a video of two experimenters talking to each other about a novel entity. They found that preschoolers as young as 3 years of age were able to determine the reality status of the entity when explicit statements (e.g., “Bilbies are real. I believe in them.”) were present in the verbal input. By 5 years of age, children could pick up more subtle cues, such as statements that presume an entity’s existence (e.g., “We saw a baby dugong being born!”), in assessing whether an entity was real or not (Woolley et al., 2011). Earlier research has also indicated that children can use statements about belief or denial to make judgments about an entity’s reality status (Woolley & Ma, 2009). Thus, it seems that by the time they enter kindergarten, children are sensitive to discourse cues that relate to the reality status of unobservable entities. The first tenet of the testimony theory, however, remains unexplored. We do not know to what extent the naturalistic input that children receive about non-observable entities actually varies across different categories. Conversations between young children and their parents and older siblings provide an important starting point for an investigation of such input. Much of the testimony children hear about unobservable entities, especially early in life, comes from family members in unstructured conversations, but not much is D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 4 known about whether and how these conversations differ based on the type of entity discussed. Children’s Sensitivity To Cues In Naturalistic Conversation Although there has been little examination of parent-child conversations about unobservable entities, it is clear that children generally are eager to learn from important and familiar others (see Csibra & Gergely, 2009; Gelman, 2009), and it seems that they readily accept and internalize everyday assumptions about some non-observable entities from their parents. For instance, during the preschool years, children acquire the tendency to refer to the heart as the source of emotions (Gottfried & Jow, 2003). Recent studies have also indicated that infants and young children are sensitive to a variety of conversational cues in parents’ speech. Gallerani, Saylor, and Adwar (2009), report that infants as young as 11 months of age are able to use the properties of their mothers’ speech to differentiate types of reference. Mothers use more mental state terms, such as “remember,” when talking about absent objects, and 11-month-old infants are able to distinguish between these variations and respond appropriately, by looking toward the place an absent object was last seen (Gallerani et al., 2009). Mothers also seem to talk more about their actions when engaging in pretend scenarios, such as eating a pretend snack, than when engaging in real ones (Lillard & Witherington, 2004). While young infants do not seem to use this information to advance their understanding of pretend play, they do use other aspects of pretend interactions, such as mothers’ looking at them and smiling after performing an action, to distinguish between a pretend and a real action (Lillard & Witherington, 2004). Such behavioral cues may make complex concepts easier D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 5 to understand, as even high level physicists use gestures to convey dynamic aspects of complicated physical processes (Ochs, Gonzales, & Jacoby, 1996). Children can also use speaker-specific cues, such as a speaker’s confidence, to assess the value of his or her testimony. Jaswal and Malone (2007) had an adult experimenter label an ambiguous object in either a straightforward manner (“That’s a spoon”) or a more hesitant manner (“I think that’s a spoon”) and then asked 3-year-old children to demonstrate the object’s function. The children displayed more label-based functions when the speaker had been confident than they did when the speaker had used “I think.” Further, 2-year-olds are able to use speech disfluencies—pauses such as “uh” or “um”— to attend to new or infrequent words and infer a speaker’s meaning (Kidd, White, & Aslin, 2011). Thus, young children can use linguistic cues in others’ speech to infer both the meaning and quality of the testimony they hear. The goal of the current study is to determine if these types of cues—to which we know children are sensitive—occur in the testimony children hear from both parents and siblings about different types of unobservable entities. If discourse about unobservable entities does vary according to the type of entity discussed, this would provide evidence for the first tenet of the testimony hypothesis and would suggest that variations within conversations account for children’s varying conceptions of different types of unobservable entities. How Children Think About Unobservable Entities D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 6 A large body of research on children’s conceptions of unobservable entities suggests that children readily endorse the existence of several entities which they could not possibly have seen, indicating that they are not simply taking an “empiricist” view of the world (Harris, 2012). Neither do children merely believe in all entities that they hear about from others; they rarely affirm the existence of imaginary creatures like dragons (Harris, 2012). Further, although 4- and 5-year-old children consistently claim that fantasy entities with strong social support (i.e. “endorsed” entities, such as Santa Claus) exist, when asked to describe the characteristics of those entities, they separate them from real entities in much the same way adults do. They attribute significantly more human-like physical and social properties to real entities than they do to fantasy entities, even though they only correctly categorize endorsed entities as “not real” about one-third of the time (Sharon & Woolley, 2004). Similarly, Harris, Pasquini, Duke, Asscher and Pons (2006) have found that children have a clear and confident dichotomy between those entities that they believe are real (e.g., germs, Santa Claus) and those that they believe do not exist (e.g., ghosts). In addition, while young children generally categorize both scientific and endorsed entities as real, they divide them in more subtle ways. For instance, even though children provide the same types of explanations for their beliefs in scientific and endorsed entities, they are more confident in the existence of scientific entities, and are more likely to claim that other people also believe scientific entities exist (Harris et al., 2006). The Current Study D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 7 To summarize, children distinguish among unobservable entities, making subtle distinctions between scientific entities and endorsed entities, even when they classify both as real. Because these entities are unseen, researchers such as Harris and Woolley have theorized that children depend on others’ testimony in forming these conceptions, and previous research demonstrates that children are able to track and use cues in others’ speech to determine the reality status of an entity, at least in controlled experimental settings. Do children’s naturalistic conversations with others provide the same types of cues that experimental data has shown to influence their beliefs about nonobservable entities? If so, how do these cues differ when different types of entities are discussed? Do these variations in everyday testimony about nonobservable entities provide cues that enable children to form different concepts? To answer these questions we asked parents (Study 1) and older siblings (Study 2) to speak with young children about a variety of unobservable entities. First, we hypothesized that the naturalistic conversations would display the cues used in previous experimental work focused on children’s conceptions of unobservable entities. Second, we hypothesized that the testimony young children are exposed to would vary in content across entity types, and that it would especially vary in the types of subtle cues that can guide children’s beliefs—such as cues to consensus, speaker confidence, or placement in the real world (e.g., examples). If the testimony children hear from others does differ depending on the type of entity discussed, this would provide evidence for more than simply the feasibility of the D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 8 testimony hypothesis put forward by Harris and colleagues. It would indicate that children actually encounter linguistic cues about the nature, including the reality status, of different entities in their day-to-day lives. This has direct relevance to theories of children’s concept formation and supports previous work suggesting that children form, update, and elaborate their concepts of unseen entities through their sensitivity to both direct and more subtle cues in the testimony they hear. Studies investigating the actual linguistic input children receive have thus far been missing from this field of research, and thus, the current studies will specify the role of others’ input in young children’s learning. To provide a clear picture of potential variations in testimony, parents in Study 1 were asked to talk about topics in scientific, historical, endorsed and non-endorsed categories. Previous research on children’s conceptions of unobservable entities has suggested that children think about generic classes of fantastical entities differently than they think about specific, endorsed fantasy entities, and that they reason differently about real, invisible entities than they do about fantastical ones (Harris et al., 2006; Rosengren, Kalish, Hickling, & Gelman, 1994; Sharon & Woolley, 2004). Recent research has also indicated that young children sometimes have trouble determining the reality status of unfamiliar historical figures (Corriveau, Kim, Schwalen, & Harris, 2009). The specific entities chosen for the parent-child conversations were based on previous research, and were similar to those used in studies assessing children’s conceptions of unobservable entities (i.e. Harris et al., 2006). This enabled us to better relate the current findings to the previous literature. Further, for each category we chose topics for which children had D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 9 some previous knowledge, so that we could assess cues encountered in parents’ everyday conversations, rather than in conversations that are focused on explicit teaching. STUDY 1 Method Participants A total of 48 children participated, each with one parent, almost all of whom were mothers (87.5%). The children were divided into three age groups: 3-year-olds (N = 16; range = 2;11 – 3;7; mean age = 3;3), 4-year-olds (N = 16; range = 4;1 – 4;10; mean age = 4;6), and 5-year-olds (N = 16; range = 5;0 – 5;11; mean age = 5;3). There were approximately equal numbers of males (N = 23) and females (N = 25). The parent-child dyads were drawn from a community sample in Massachusetts, and were mostly well- educated, middle- to upper-middle-class European Americans. More than three-quarters of the parents in the current sample had a Bachelor’s degree or higher (89.5%; N = 85), and in only one family neither parent had a college degree. More than half of the families reported practicing a religion (60.4%), although level of religiosity was not directly assessed. Procedure Parent-child dyads were asked to converse in an informal sitting room setting. Parents were told that the researchers were interested in how children learn from conversations about things that they cannot see or experience directly. Children were given small prizes for their participation, but no incentives were provided for parents. Parents and children D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 10 were given four possible topics to talk about in each of four categories: scientific, historical, endorsed, and non-endorsed. Categories were not named for the parents. Instead, parents were simply presented with the topics, four at a time, and were asked to choose one from each group to talk about. The topics included the brain, germs and viruses, electricity, and magnetism in the scientific category; Christopher Columbus, Mother Theresa, Princess Diana, and John F. Kennedy in the historical figures category; God, Santa Claus, Easter Bunny, and Tooth Fairy in the endorsed category; and unicorns, mermaids, dragons, and witches in the non- endorsed category. Presentation order of the topics was counterbalanced across parent- child dyads. There were no time constraints placed on the conversations. Sessions were video recorded starting when the parent and child entered the sitting room, and the videotapes of the conversations were transcribed for coding. Coding The conversations were first transcribed for all participants. Then the transcripts were coded into various categories (described below) by one coder. Categories were based on content and pragmatic cues that emerged during pilot testing. Reliability of coding was conducted on 50% of the transcripts. Cohen’s kappa fell within the acceptable range for coding in the Scientific (.85), Historical (.83), Endorsed (.80), and Non-Endorsed (.77) categories, as well as for the sample overall (.81). All disagreements were resolved through conversation between the coders. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 11 Endorsement Of Entities Whether parents affirmed or denied the existence of an entity was coded using a binary rating. This rating included explicit statements regarding the reality or invented nature of the entity, as well as more implicit indications as to whether the entity was real or imaginary. Parent Discourse Parents’ utterances were also coded for a number of discourse cues. Because previous research has indicated that young children can use both the content of conversations as well as the way things are said to determine the meaning of others’ testimony, the coding of parent’s discourse included both the content and form of the testimony provided. Conversations were coded for 17 possible cues, derived from a pilot study of 16 parent- child dyads. In the pilot study, two independent coders categorized each parent statement by its content and pragmatic properties, resulting in cues measured in the current study. The frequency with which each parent used each of the 17 cues was recorded for each topic category. While some content cues may be specific to the types of entities discussed in these conversations, the pragmatic cues closely matched those studied in previous work on how children can learn from conversation. After coding, those cues that were used by at least one-third of the parents in the sample were analyzed. Both spontaneous explanations by parents and answers to children’s questions were coded. Examples of phrases in each category are included in Table 1. The cues through which possible D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 12 changes in the content of explanations, from here on called content cues, could be measured included: Actions. Utterances that involved describing the things that the current topic did, or could do, were coded as actions. Physical Features. Physical features was used to code descriptions of what an entity looked like, including parts of that entity or physical characteristics common to the entity. Internal Features. Utterances that involved aspects of personality, or intrinsic qualities or characteristics of an entity were coded as Internal Features. Location. Utterances that included a location were coded as such. These included references to where entities lived or were from, as well as where to find entities that did not share the same characteristics of personification. Fantastical locations or locations indicating that an entity did not exist (e.g., “Unicorns are only in stories.”) were also coded as Location statements. Related Actions. When parents spoke about the actions of other people or other entities in relation to the topic entity, those utterances were coded as related actions. Traditions that the family or that people in general carry out, as well as more specific behaviors related to the topic entity were among the utterances included in this category. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 13 Cues that related to the properties or form of the parents’ discourse, called pragmatic cues from here on, were those that related more to the way in which information was conveyed, rather than the information itself. These cues include both linguistic and para- linguistic cues, and provided a context for parents’ testimony. These included: Lack of Expertise. Utterances that conveyed a parent’s own doubts about the existence of an entity, or explanations that indicated the parent was unsure about the entity’s characteristics were coded as Lack of Expertise. Lack of Consensus. Statements concerning variation in other people’s beliefs about an entity were coded as Lack of Consensus. Real-world Examples. Utterances that included real-world examples were coded as such. These included things that had happened to the parent or child, things that might happen, and general observations about the world (e.g., “Lightning carries electricity.”). Examples often conveyed the same information about an entity as other content-related strategies, such as physical features of an entity or related actions, but did so by referencing real events or prior experience. Analogy. Utterances in which the parent compared the topic entity to something known to the child were coded as analogies. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 14 Demonstrations. As well as linguistic cues, parents’ use of gestures and other physical demonstrations to aid in their explanations were coded. Children’s Reality Status Comments. In addition to parents’ cues, the frequency of children’s spontaneous comments about the reality status of the entities discussed, as well as the number of children who mentioned an entity’s reality status, was coded. Results Parent and child conversations lasted, on average, 10 minutes and 6 seconds, and were generally evenly split between topic categories (Table 2). While parents spoke longer with older children than with younger children, there were no significant differences between the age groups in length of conversation, or in the proportion of each overall conversation that was spent on each category. Further, there were no significant conversation time differences between the categories of entities. Preliminary analyses using repeated measures ANOVA showed a significant difference in discussion of related actions across age groups, F(1, 182) = 11.23, p < .001, Ș2 = 0.06. However, as this was the only difference involving age, gender, or order of topic presentation, all groups were collapsed for subsequent analysis. The proportion of parents who chose to talk about each entity can be found in Table 2. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 15 Parents’ affirmation of an entity was analyzed according to the category of unobservable entity they were discussing. The number of parents who affirmed or denied the existence of the entity discussed in each category is presented in Figure 1. We conducted a logistic regression (R2 = .37) to determine whether parents’ affirmation of an entity was related to the category to which the entity belonged. Parents were significantly more likely to deny the existence of non-endorsed entities than they were to deny the existence of scientific entities (ȕ = 4.49, p < .001), historical figures (ȕ = 4.49, p < .001) or endorsed beings (ȕ = 1.97, p < .001). Parents were also more likely to deny the existence of endorsed beings than they were to deny scientific entities (ȕ = 2.52, p < .05) or historical figures (ȕ = 2.52, p < .05) Children’s spontaneous remarks about the reality status of the various entities closely matched the endorsement of parents. They differed significantly in how often they mentioned the reality status of the entities across category, F(3, 188) = 12.86, p < .001, Ș2 = 0.17. On average, more children commented on the reality status of non-endorsed entities than any other category of entity (N = 20, 41.7%). Of those, 15.0% claimed the entity was real, 70.0% said the entity was not real, and 15.0% mentioned the reality status, but remained undecided as to the entity’s nature. More children also commented about the reality status of endorsed entities (N = 11, 22.9%) than either scientific or historical topics, with 54.5% of those children claiming the entity was real and 45.5% claiming it was not. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 16 Next we conducted a cluster analysis, using Ward’s minimum variance method and a squared Euclidean distance, of the mean frequencies of all discourse cues used by parents across all four topics discussed. The cluster analysis revealed three distinct clusters of discourse cues. One cluster encompassed the scientific and endorsed categories, a second one included the non-endorsed category alone, and a third cluster included the historical category. We conducted a series of repeated measures ANOVAs to determine whether parents differed in the discourse cues they used across clusters. Mauchly’s tests of sphericity indicated that the sphericity assumption was violated for several cues, so degrees of freedom were corrected using Greenhouse-Geisser’s estimates of sphericity where appropriate. Results from the ANOVAs are displayed in Table 3. Parents varied in several features of the content of their conversations across the three clusters. They differed in their discussions of physical features, of actions, and of the locations of the topic entities across clusters. Planned Scheffe pairwise comparisons revealed that parents relied on physical descriptions of entities significantly more frequently when talking about non-endorsed entities (M = 3.06, SD = 2.21) than they did when talking about entities in either the historical cluster (M = 0.40, SD = 1.10) or the scientific and endorsed cluster (M = 0.80, SD = 1.04), which may indicate that these conversations were more superficial in nature. Interestingly, parents were significantly less likely to talk about the actions of historical figures (M = 2.40, SD = 1.79) than they were to do so for non- endorsed entities (M = 3.91, SD = 3.03) or scientific and endorsed entities (M = 3.69, SD = 2.34). However, they were more likely to talk about the locations where historical D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 17 figures were from (M = 1.26, SD = 1.07) than they were to discuss places associated with scientific and endorsed entities (M = .91, SD = 1.31). Parents also varied in their use of related actions, talking about the actions of others related to the topic entity significantly more often when discussing scientific and endorsed entities (M = 1.43, SD = 1.93) than when talking about non-endorsed beings (M = 0.26, SD = 0.61). Because preliminary analyses revealed an age difference in parents’ use of related actions, individual ANOVAs were undertaken for each age group. The results of the overall sample remained true for parents of three-year-olds, F(2, 63) = 3.62, p < .05, Ș2 = 0.14, and five-year-olds, F(2, 59) = 4.26, p < .05, Ș2 = 0.25. It did not hold for parents of four-year-olds, although there was a trend in the same direction, F(2, 62) = 1.86, p = .16, Ș2 = 0.07. Discussing the actions of other people in relation to scientific and endorsed entities may serve the purpose of connecting these entities to the real world. Parents varied in few of the properties of their testimony across clusters. However, their use of examples and analogies did differ significantly. Similar to the trend observed for related actions, parents used significantly more examples when talking about scientific and endorsed entities (M = 1.52, SD = 1.50) than they did when talking about non- endorsed entities (M = 0.45, SD = 0.72) or historical figures (M = 0.83, SD = 0.80), again, connecting both scientific and endorsed entities to reality in a specific way. On the other hand, they used analogies most often when talking about non-endorsed entities (M = 0.62, SD = 0.95). Rather than indicating that these entities do exist, the way a real-world D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 18 example might, analogies may suggest that non-endorsed entities are “like” real things, but are different. Although the scientific and endorsed categories fell into the same cluster, we were interested in determining if there were any differences in the discourse cues used when discussing entities in these two clusters. No differences were found in the content cues that parents used across these two categories, but parents did use different pragmatic cues when speaking about scientific entities than they did when talking about endorsed entities. For instance, although they rarely explicitly denied endorsed beings, they were more likely to indicate a lack of expertise (F(3, 187) = 3.32, p < .05, Ș2 = 0.07) or consensus (F(3, 187) = 3.46, p < .05, Ș2 = 0.07) when speaking about such entities than they were when talking about scientific entities. Parents were also more likely to use gestures and other physical demonstrations to aid their explanations when describing scientific concepts, in comparison to endorsed entities. Their use of these cues diverged significantly across the two categories, F(3, 187) = 6.77, p < .001, Ș2 = 0.10. Discussion These results indicate that parents use similar content cues when talking about scientific and endorsed entities, and they do not differ much in their discussions of historical figures. However, parents’ discourse cues differ dramatically in conversations about non- endorsed entities. These clear differences in the content of parents’ testimony may explain the confident dichotomy children draw when determining what is real and what is not. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 19 However, more subtle variations arise in the pragmatic cues parents use when talking about scientific and endorsed entities, and these may account for children’s lack of confidence in their knowledge about endorsed entities. Parents use more pragmatic cues—such as animated gestures—when talking about scientific entities, and they also show more confidence in their explanations of these real entities, whereas they tend to indicate a lack of expertise or consensus far more often when talking about endorsed beings. These cues may indicate to children that endorsed entities are different from both non-endorsed and scientific entities, allowing children more room for interpretation and possibly encouraging them to pay even more attention to such pragmatic cues as they try to determine the nature of those entities. This was supported in the examination of children’s spontaneous comments about the reality status of the different types of entities. They were most likely to talk about the reality status of non-endorsed entities, demonstrating, as has been shown in previous studies, their confidence in the fantastical nature of these beings. Further, although they also talked about whether endorsed entities were real more often than they did for scientific entities or historical figures, these comments were made with less confidence, including phrases such as “I guess” or being expressed as questions. The current research provides the first evidence for the first tenet of the testimony hypothesis, indicating that parents do talk differently about real entities than they do about fantastical ones, and that they speak differently about endorsed entities than they do about non-endorsed ones. An alternative interpretation may be that parents do not D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 20 actually speak about different types of unobservable entities differently, but that the differences in the content of parents’ speech about non-endorsed entities stems from the entities provided by the experimenters. For instance, it could be that parents can more easily describe the physical features of dragons than they can germs. While this may be the case, parents spoke about physical features more often for non-endorsed entities than they did for either endorsed entities or historical figures as well, and these topics are also arguably easier to describe physically than scientific concepts. Further, physical features dominated the parent-child conversations about non-endorsed entities, accounting for almost 30% of their total discourse, while making up less than 10% of their discourse in the other categories. This lends support for the interpretation that these conversations were simply more superficial in nature, relying largely on description, rather than expanding into more detailed discussion. Another possibility is that young children’s differential beliefs about various types of unobservable entities stems not from the differences in content and pragmatic cues they perceive in testimony from a single source, but from differences in testimony they receive from several sources. For example, although children are unlikely to encounter anyone who believes that germs are large, they may encounter people who believe that Santa Claus is imaginary. One clear source of this possible conflict can be found in the testimony that older siblings provide to young children. Older siblings speak to young children about unobservable entities in both casual conversation and through direct teaching. Study 2 was aimed to examine the way in which older siblings talk to young children about unobservable entities. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 21 STUDY 2 If young children hear varying testimony about unseen entities from different sources, siblings may be as important a source of information as parents are. Indeed, siblings are important sources of learning for young children. Older siblings are more likely than familiar older peers to spontaneously offer instruction, and to allow younger children to have control over portions of a task in a cooperative building paradigm (Azmitia & Hesser, 1993). They are also more likely than peers to provide positive feedback and explanation for mistakes. Compared to parent-child conversation, studies of conversations between siblings seem to indicate that siblings and parents are quite similar in the information they provide to young children. In one study that examined conversation during play, for instance, both older siblings and parents used labels repeatedly when speaking to toddlers (Perez- Granados, 2002). Both groups were also most likely to use referential labels for objects over other types of labels. However, siblings were less likely to use labels in action, that is, during the course of play, than parents were. They were also less likely than parents to use labels as a collaborative strategy, preferring instead to model references to objects for their younger siblings. Thus, while older siblings do not seem to be as supportive as parents in affording learning opportunities for young children in conversation, the information they provide does not differ from that provided by parents. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 22 Therefore, we hypothesized that, rather than being a point of potential conflict, older siblings’ testimony would closely resemble parents’ testimony, and many of the same discourse cues would be used. In study 2, we examined cues used by older siblings when speaking to their younger siblings about unobservable entities. Method Participants A total of 16 sibling pairs participated in this study. Each sibling pair consisted of a younger sibling aged 3 to 6 years ( range = 3;3-6;7; mean age = 5;3), and an older sibling 6 to 10 years of age (range = 6;11-10;7; mean age = 8;3), with an average difference in age of 3;5. The sibling dyads were drawn from the same community sample in Massachusetts as the first study. Nine older brothers and seven older sisters talked to their younger siblings in the current study. Of the 16 dyads, eight pairs of siblings were of the same gender: five pairs of brothers and three pairs of sisters. Procedure A procedure similar to that used in Study 1 was employed in Study 2. Both siblings received small prizes for their participation. The older siblings in each dyad were asked to teach their younger sibling about topics in the same categories as the parent-child pairs in Study 1. Older siblings were specifically asked to teach their younger siblings because pilot data showed that this helped the sibling pairs stay on topic in their conversations. To ensure that the older siblings had some knowledge of all of the topics, those in the historical figures category were different from the topics presented to the parent-child D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 23 dyads in Study 1. Specifically, Mother Theresa, John F. Kennedy, and Princess Diana were replaced with Rosa Parks, George Washington, and Betsy Ross. All conversations were videotaped and transcribed for coding. Coding The coding procedures used in Study 2 were identical to those used in Study 1. Reliability of coding was conducted on 31.25% of the transcripts. Cohen’s Kappa fell within the acceptable range for coding in the Scientific (.67), Historical (.82), Endorsed (.87), and Non-Endorsed (.67) categories. Results Siblings’ conversations were significantly shorter than parent-child conversations (t(61) = 2.37, p < .05, d = 0.75), but the proportion of time spend on each topic did not differ between the parents and siblings. Table 4 presents more descriptive statistics about siblings’ conversations. Like parents, older siblings were most likely to explicitly deny the existence of non-endorsed entities (see Figure 2). A Firth logistic regression was used because no siblings denied the existence of scientific or historical entities, creating a separation issue. This procedure indicated that topic category explained a significant portion of the variance in older siblings’ endorsement or denial of the existence of an entity, Ȥ2(3) = 15.91, p < .01. Further, older siblings were significantly more likely to deny the existence of non-endorsed entities than scientific entities (ȕ = 3.73, p < .001), historical figures (ȕ = 3.73, p < .001), and even endorsed entities (ȕ = 1.51, p < .05). D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 24 In conversations with older siblings, younger siblings rarely mentioned the reality status of the entities discussed. No younger siblings spontaneously spoke about the reality status of scientific entities or historical figures, while one child (6.25%) mentioned it for endorsed entities, and two (12.5%) talked about the reality of non-endorsed entities. There were no significant differences in younger siblings’ talk about reality status across categories. Repeated measures ANOVAs revealed some differences in the content of siblings’ conversations across the four topic categories, and all ANOVA results are reported in Table 5. Older siblings varied significantly in their discussion of both physical and internal features across categories. Planned Scheffe pairwise comparisons revealed that older siblings were much more likely to talk about the physical features of non-endorsed entities (M = 3.00, SD = 2.78) than of historical figures (M = 0.19, SD = 0.54) or scientific entities (M = 0.69, SD = 1.30). Like parents, it seems, older siblings focused on physical descriptions of non-endorsed entities, rather than using other cues. Older siblings also differed in talk of consensus across the topic categories. Planned Scheffe pairwise comparisons indicated that they demonstrated a lack of consensus significantly more often when speaking about endorsed entities (M = 0.63, SD = 0.89) than they did when speaking about historical entities (M = 0.0, SD = 0.0) or scientific entities (M = 0.0, SD = 0.0). Just like parents, by qualifying their discussions of endorsed entities in this way, older siblings may indicate to young children that these beings are somehow different from other, real entities. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 25 Discussion The substance of siblings’ explanations, similarly to parents’ conversations, varied most when speaking about non-endorsed entities. They often explicitly denied the existence of non-endorsed entities, enabling young children to confidently report that these entities are not real. On the other hand, when older siblings told young children about scientific entities, historical figures, and endorsed beings the content of their testimony remained relatively constant. Older siblings did provide one important pragmatic cue—namely, their indications of a lack of consensus on a topic—to differentiate their conversations about endorsed beings. This may contribute to young children’s less confident but distinct conceptualizations of real and endorsed entities, in much the same way the properties of parent testimony do. When considered with the results of the first study, these findings suggest that there is merit in the testimony hypothesis. The conversations young children have about unobservable entities vary in several types of discourse cues, present in both the information they hear and in how that information is communicated. Further, we find that conversations with various important others in a young child’s environment, including both parents and older siblings, seem to vary in the same types of ways. Exposure to these cues may affect the way in which children conceptualize different unobservable entities. GENERAL DISCUSSION D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 26 The results of the current research indicate that the testimony children receive about unobservable entities in naturalistic settings varies with respect to the type of entity discussed, and that both parents and older siblings provide young children with cues that signal the veridical nature of the entity they are talking about. Thus, these findings provide evidence for the first assumption of the testimony hypothesis, and suggest that such differences in the speech children hear may in fact impact their conceptions of the unseen world. Both parents and older siblings were likely to affirm the existence of entities in the scientific and historical categories, and were most likely to deny the existence of non- endorsed entities. Further, older siblings were just as likely to affirm the existence of endorsed entities as they were to affirm scientific and historical ones. Parents, on the other hand, were more likely to deny that those entities exist. In spite of this difference, parents spoke about scientific and endorsed entities so similarly that discussions in these categories could be clustered together for analysis. On the other hand, both parents and siblings spoke about non-endorsed entities much differently than other entities. For instance, their conversations about non-endorsed entities were more superficial than their talk about either scientific or endorsed entities, emphasizing the non-endorsed entities’ physical features. Although the parent-child and sibling conversations about scientific and endorsed entities were quite similar, subtle distinctions were found between discussions in these two categories. Parents and siblings were much more likely to indicate a lack of consensus or D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 27 expertise when talking about endorsed entities than they were when talking about scientific entities. In addition, parents used physical demonstrations more often when talking about scientific entities than they did when talking about endorsed entities. Previous work has found that young children categorize and conceptualize different types of unobservable entities differently (Sharon and Woolley, 2004; Harris, Pasquini, Duke, Asscher, & Pons, 2006). Harris and colleagues (2006) have proposed that these differences may be due to variations in the testimony children hear from adults and important others, and subsequent work has indicated that children can use speech cues to an entity’s reality status in experimental procedures (Woolley & Ma, 2009). The present study examined a primary tenet of the testimony theory—whether cues like the ones used in experimental designs actually occur in conversations that young children have. The current findings indicate that, in fact, these types of cues are present in naturalistic conversations, and therefore provide further evidence for the testimony hypothesis. Thus, the confident distinctions children make between which entities they believe are real and which they do not may stem from differences in the content of the testimony of others. Nevertheless, it seems that the real variations in children’s conceptions of unobservable entities—those seen when they are asked to make more fine-grained distinctions—may be based on the pragmatic cues in the testimony they hear rather than on explicit content. Older siblings and parents often indicated a lack of consensus when talking about endorsed figures, and previous research has demonstrated that young children can use this cue when deciding whether or not to trust others’ testimony (Corriveau, Fusaro, & Harris, 2009). D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 28 Further, parents also often conveyed a lack of expertise about endorsed entities, expressing doubts in the existence of and their lack of knowledge about such entities. Lack of confidence in one’s knowledge is a cue that children have been shown to use when assessing the quality of others’ testimony (Jaswal & Malone, 2007), but it has not been explored in the context of testimony about unobservable entities. Although most parents encourage belief in many endorsed entities, conveying a lack of expertise when talking about endorsed figures may invite children to think critically about these entities, or to show uncertainty themselves when asked about the nature of such beings. Because we wanted to make sure the conversations included in the current study were as naturalistic as possible, no time limits were placed on the discussions, and experimenters were not present while the dyads talked, so there was no ability to keep conversations on the topics of interest. Thus, the conversations examined were relatively short and the mean frequencies of many types of discourse cues were low. Despite this, the differences in the mean frequencies of cues between the different categories of entities may be important, because children are exposed to many similar conversations in their day-to- day lives. So, although the differences between cues in one conversation may be small, continued experience with these sorts of cues can have a broader effect. This clearly seems to be the case when the present results are considered in the context of previous research showing that children are sensitive to cues manipulated in an experimental context (Harris et al., 2006; Woolley, Ma, & Lopez-Mobilia, 2011). D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 29 Future research should focus specifically on differences in parents’ explanations about different types of endorsed entities. The present results indicate that parents provide less confident explanations about endorsed entities than they do about real entities. However, in previous studies, parents have reported that they would be more confident when speaking with their preschoolers about some endorsed entities than they would be when talking about other topics in the same category (Rosengren & Hickling, 1994). Because in the current research parents were allowed to choose which topic in the endorsed category to explain, the present results are not suited to analyze differences in talk about different endorsed entities. It is possible that if such differences were displayed in parents’ conversations, they may lead children to differential beliefs between, for instance, religious entities and event-related fantasy entities. Future research may also examine the conversations young children have with teachers, peers, and other significant people in their lives. This would provide a more complete picture of the ways in which the testimony children receive varies both between categories of unobservable entities, and between the people with whom they converse. Finally, studies in the future could determine whether socioeconomic status plays a role in the way parents speak with their children about unobservable entities. There is evidence from previous research that middle-class mothers tend to speak about non- present objects and people more often than working-class mothers do (Tizard & Hughes, 2002), and so their children may have different levels of experience in decoding the types of cues found in the current study. This could have implications for children’s later scientific thinking because, according to many researchers, children’s learning about D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 30 science begins in informal settings, such as in conversations with family members (Ash, 2003; Callanan & Jipson, 2001; Ellenbogen, 2002; Leinhardt & Crowley, 2002). By the time they start school, children have spent hours engaged in conversations with adults and have already learned to make inferences about entities that they cannot experience directly. However, if differences exist in the conversations children of different socioeconomic statuses have, their ability to draw these inferences may be affected. The present research provides empirical evidence for the existence of important variations in the naturalistic verbal input that children receive about different types of unobservable entities. This is consistent with the proposal that children’s beliefs about the unseen world (including both real and fantastical entities) are shaped in important ways by the testimony that they receive from others. The current results also show that others’ speech varies both in content and pragmatics across different types of unobservable entities and that children are likely to be exposed to such variations in everyday conversation about a variety of topics. The present study did not empirically connect variations in testimony to children’s conceptions of such entities, both because of the semi-naturalistic nature of the study, and because children had previous knowledge of most of the entities discussed. Further research examining whether differences in the testimony children hear are reflected in their categorization and description of unseen entities should provide important information about how children structure their knowledge about unobservable entities. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 31 This research shows that others’ testimony may play a crucial role in this process, and supports the validity of the last unresolved assumption of the testimony hypothesis. #ACKNOWLEDGEMENT The authors would like to thank the families who participated in this study. We also thank Martyna Galazka, Carina Wind, and Amanda Rhoads for their help in this research, and Paul Harris for his insightful comments on early versions of this manuscript. REFERENCES Ash, D. (2003). Dialogic inquiry in life science conversations of family groups in a museum. Journal of Research in Science Teaching, 40, 138-162. doi: 10.1002/tea.10069 Azmitia, M., & Hesser, J. (1993). Why siblings are important agents of cognitive development: A comparison of siblings and peers. Child Development, 64, 430-444. doi: 10.2307/1131260 Callanan, M., & Jipson, J. (2001). 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Toddlers use speech disfluencies to predict speakers’ referential intentions. Developmental Science, 14, 1-10. doi:10.1111/j.14677687.2011.01049.x Leinhardt, G. & Crowley, K. (2002). Objects of learning, objects of talk: Changing minds in museums. In S. Paris (Ed.), Multiple perspectives on object-centered learning (pp. 301-324). Mahwah, NJ: Lawrence Erlbaum Associates. Lillard, A. S., & Witherington, D. (2004). Mothers’ behavior modifications during pretense snacks and their possible signal value for toddlers. Developmental Psychology, 40, 95-113. doi: 10.1037/0012-1649.40.1.95 Ochs, E., Gonzales, P., & Jacoby, S. (1996). "When I come down I'm in the domain state": Grammar and graphic representation in the interpretive activity of physicists. In E. Ochs, E. A. Schegloff & S. A. Thompson (Eds.), Interaction and grammar (pp. 328-369). New York: Cambridge. Perez-Granados, D. (2002). Normative scripts for object labeling during a play activity: D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 34 Mother-child and sibling conversations in Mexican-descent families. Hispanic Journal of Behavioral Sciences, 24, 164-190. doi:10.1177/0739986302024002004 Piaget, J. (1954). The construction of reality in the child. New York: Basic Books. Rosengren, K., & Hickling, A. (1994). Seeing is believing: Children’s explanations of commonplace, magical, and extraordinary transformations. Child Development, 65, 1605- 1626. doi:10.2307/1131283 Rosengren, K., Kalish, C., Hickling, A., & Gelman, S. (1994). Exploring the relation between preschool children’s magical beliefs and causal thinking. British Journal of Developmental Psychology, 12, 69-82. doi: 10.1111/j.2044-835X.1994.tb00619.x Sharon, T., & Woolley, J. (2004). Do monsters dream? Young children’s understanding of the fantasy/reality distinction. British Journal of Developmental Psychology, 22, 293- 310. doi:10.1348/026151004323044627 Tizard, B., & Hughes, M. (2002). Young Children Learning (2nd ed.). London: Fontana Paperbacks. Woolley, J., & Ma, L. (2009). Children’s use of conversational cues to infer reality status. Paper presented at the Biennial meeting of the Society for Research in Child Development, Denver, CO. Woolley, J., Ma L., & Lopez-Mobilia, G. (2011). Development of the use of conversational cues to assess reality status. Journal of Cognition and Development, 12, 537-555. doi: 10.1080/15248372.2011.554929 D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 35 Table 1. Examples of Coded Statements. Discourse Cue Example Action "And Mermaids swim. Do you know why?" Physical Feature "I think [dragons] are usually green." Internal Feature "Mother Theresa was a very nice lady..." Location "Where in your body is your brain? Can I show you…It's inside [your head]." Related Action "When you lose a tooth, you put it under your pillow…" Lack of Expertise “Well, we don’t actually know this but I think he’s really big” Lack of Consensus “Some people think [God] is like this big guy, up in the sky…” Example "…the lights are electric. What about our stove?" Analogy "Mother Theresa was a nun, like Sister Lois at our church." Demonstration Indicating one end of table: "North America is here," Sliding hand across table: "and then there's the Atlantic Ocean," Indicating other end of table: "and then over here is Europe." D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 36 Table 2. Descriptive statistics of conversations (Study 1). Topic % of Conversations Mean Time Endorsed Category Tooth Fairy 40.4% 2:43 Santa Claus 27.7% 3:03 Easter Bunny 14.9% 2:50 God 17.0% 1:39 Non-Endorsed Category Unicorns 25.5% 2:31 Witches 17.0% 2:15 Mermaids 29.8% 1:45 Dragons 27.7% 3:27 Historical Category Christopher Columbus 36.2% 2:09 Mother Theresa 14.9% 2:02 Princess Diana 34.0% 2:55 John F. Kennedy 14.9% 2:23 Scientific Category Brain 23.4% 2:03 Germs 40.4% 3:14 Magnetism 17.0% 2:45 D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 37 Electricity 19.2% 1:51 D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 38 Table 3. Repeated Measures ANOVA for discourse cues across cluster (Study 1) Cue Type df F Ș2‡ Action 1.72† 7.88* 0.15 Physical Feature 1.46† 39.13* 0.46 Internal Feature 1.68† 0.63 0.01 Location 2 3.95* 0.08 Related Action 2 8.63* 0.16 Lack of Expertise 1.54† 2.38 0.05 Lack of Consensus 1.63† 2.63 0.05 Example 1.55† 9.21* 0.17 Analogy 2 4.06* 0.08 Demonstration 1.53† 0.25 0.01 ‡ Cohen (1988) provides suggested f values for small, medium and large effect sizes for ANOVA, as well as conversions from Ș2 to f. These conversions yield estimates of small, medium, and large effect size values for Ș2 of .01, .06, and .14, respectively. † Greenhouse-Geisser corrected * p < .01 D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 39 Table 4. Descriptive statistics of conversations (Study 2). Topic % of Conversations Mean Time Endorsed Category Tooth Fairy 12.5% 1:52 Santa Claus 37.5% 1:45 Easter Bunny 12.5% 1:22 God 37.5% 1:07 Non-Endorsed Category Unicorns 18.8% 0:34 Witches 12.5% 1:14 Mermaids 31.3% 1:15 Dragons 37.5% 2:33 Historical Category Christopher Columbus 12.5% 1:31 Rosa Parks 18.8% 1:56 Betsy Ross 0.0% 0:00 George Washington 68.8% 1:10 Scientific Category Brain 18.8% 1:57 Germs 43.8% 1:23 Magnetism 6.0% 1:40 D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 40 Electricity 31.3% 2:29 D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 41 Table 5. Repeated measures ANOVA for discourse cues across category (Study 2). Cue Type df F Ș2 Action 3 1.84 0.11 Physical Feature 1.71† 5.50* 0.27 Internal Feature 1.96† 3.50 0.19 Location 3 0.82 0.05 Related Action 2.14† 1.95 0.12 Lack of Expertise 2.13† 2.37 0.14 Lack of Consensus 1.75† 5.87* 0.28 Example 2.01† 3.51 0.19 Analogy 1.79† 3.00 0.17 Demonstration 1.12† 2.45 0.14 † Greenhouse-Geisser corrected * p < .05 D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 42 Figure 1. Number of parents who affirmed or denied the existence of entities in each category. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 ACCEPTED MANUSCRIPT ACCEPTED MANUSCRIPT 43 Figure 2. Number of older siblings who affirmed or denied the existence of entities in each category. D ow nl oa de d by [U ni ve rs ity o f T or on to L ib ra ri es ] a t 1 3: 08 2 2 A pr il 20 13 
work_3ttrf3euejbfnh4xeeb2fviggq	----	‘The Mona Chronicle’: the archaeology of early religious encounter in the New World Jago Cooper1, Alice V.M. Samson2, Miguel A. Nieves3, Michael J. Lace4, Josué Caamaño-Dones5, Caroline Cartwright6, Patricia N. Kambesis7 & Laura del Olmo Frese8 The Caribbean island of Mona, on a key Atlantic route from Europe to the Americas, was at the heart of sixteenth-century Spanish colonial projects. Communities on the island were exposed to the earliest waves of European impact during a critical period of transformation and the forging of new identities. One of many caves within an extensive subterranean world on the island was marked both by indigenous people and by the first generations of Europeans to arrive in the New World. This account of spiritual encounters provides a rare, personalised insight into intercultural religious dynamics in the early Americas. Keywords: Caribbean, Isla de Mona, cave art, finger-fluting, inscription, iconography, religion, Christianity Introduction Isla de Mona in the Caribbean preserves some of the most astonishing and under-researched evidence for indigenous-European interaction in the Americas. The archaeology of the 1 British Museum, Americas Section, Great Russell Street, London WC1B 3DG, UK (Email: jcooper@ britishmuseum.org) 2 School of Archaeology and Ancient History, University of Leicester, Leicester LE1 7RH, UK 3 Departamento de Recursos Naturales y Ambientales, Bureau of Coasts, Reserves and Refuges, Rı́o Piedras 00906, Puerto Rico 4 University of Iowa, Coastal Cave Survey, West Branch, IA 52242, USA 5 Universidad de Puerto Rico Rı́o Piedras, Centro de Investigaciones Históricas, San Juan 00931, Puerto Rico 6 British Museum, Department of Scientific Research, London WC1B 3DG, UK 7 Western Kentucky University, Department of Geography and Geology, Bowling Green, KY 42101, USA 8 Instituto de Cultura Puertorriqueña, Programa de Arqueologı́a y Etnohistoria, San Juan 00902, Puerto Rico C© Antiquity Publications Ltd, 2016. This is an Open Access article, distributed under the terms of the Creative Commons Attribution-NonCommercial-NoDerivatives licence (http://creativecommons.org/licenses/by-nc- nd/4.0/), which permits non-commercial re-use, distribution, and reproduction in any medium, provided the original work is unaltered and is properly cited. The written permission of Cambridge University Press must be obtained for commercial re-use or in order to create a derivative work. ANTIQUITY 90 352 (2016): 1054–1071 doi:10.15184/aqy.2016.103 1054 mailto:jcooper@britishmuseum.org mailto:jcooper@britishmuseum.org http://creativecommons.org/licenses/by-nc-nd/4.0/ http://creativecommons.org/licenses/by-nc-nd/4.0/ http://dx.doi.org/10.15184/aqy.2016.103 R es ea rc h The Mona Chronicle island’s caves provides an opportunity to study personal responses to an indigenous ritual landscape through evidence of the early translocation of Christianity to the New World. This article discusses a body of uniquely preserved inscriptions and iconography that captures the intimate dialogue of spiritual encounter between Christian and Native worldviews in the Caribbean. This unique and unorthodox ‘chronicle’ is examined through the archaeological, palaeographical and historical perspectives of early colonial encounters to situate the dialogue within the wider context of cultural interaction in the Americas. The transformative potential of an archaeological perspective of the early arrival of Europeans and Africans in the indigenous Americas has become increasingly evident since the quincentennial of Columbus’s landfall in the Caribbean (Lightfoot 1995; Deagan 1998; Liebmann & Murphy 2011; Funari & Senatore 2015). Archaeological research has focused on indigenous perspectives that are under-represented in historic texts, breaking down traditional dichotomies of what ‘indigenous’, ‘Spanish’ or ‘mestizo’ means in colonial contexts in terms of material culture, landscape and identities (Voss & Casella 2012; Hofman et al. 2014; Silliman 2015). Increasing use of high-resolution material and archaeometric analyses have provided new understandings of colonial processes that are more nuanced than mere oppression, domination and, in the case of the Caribbean, indigenous extinction (Deagan 1998; Lalueza-Fox et al. 2003; Cooper et al. 2008). Archaeological perspectives on the ways that colonialism reconfigures landscapes and material relationships (Gosden 2004) reveal the forging of new material relationships and identities, be it in the re-use of European clothing and fastenings as jewellery by indigenous populations (Martinón- Torres et al. 2007; Valcárcel Rojas 2016); the creolisation of religious beliefs in newly built churches (Graham 2011); or coloniser familiarisation with new environments, foodways and ecologies (Deagan & Cruxent 2002; Rodŕıguez-Alegŕıa 2005). These each demonstrate that encounter left all sides changed: new identities and practices emerged in local contexts, underlining the importance of archaeological research to provide a counterpoint to grand narratives (Voss 2015). Here, we focus on archaeological evidence for religious engagement between European and indigenous individuals. We see how European perspectives were challenged by indigenous cosmology, and witness the creation of a highly personalised yet syncretic chronicle. This not only provides a counterpoint to official metropolitan histories, but also tracks the beginnings of new religious engagements and transforming cultural identities in the Americas. Isla de Mona Christopher Columbus stopped at Isla de Mona on his second voyage in AD 1494 (Figure 1). Despite its small size (50km2) and seemingly isolated position between the islands of Hispaniola (native name Hayti) and Puerto Rico (Borinquen), Isla de Mona (Amona) played a crucial role in the establishment of the first European towns and the globalisation of the Caribbean. In AD 1494, one or more indigenous communities lived on Mona’s coast, a day’s canoe journey from the neighbouring, larger islands, tending agricultural plots and taking advantage of the abundant terrestrial and marine resources. Stone-lined plazas and a long history of the use of the island’s many caves indicate that these communities were tied into inter-regional networks (Dávila Dávila 2003; Samson & Cooper 2015a). C© Antiquity Publications Ltd, 2016 1055 Jago Cooper et al. Figure 1. Map of Isla de Mona in the Caribbean. Accounts of Mona in early colonial documents (Samson & Cooper 2015b) identify that indigenous populations were fully immersed in direct contact with Europeans and Africans throughout the sixteenth century. This indio population experienced a generation of transformation as Spanish power was increasingly projected into the Caribbean. Islanders produced and exported agricultural products, especially cassava bread, and finished goods such as cotton shirts and hammocks for the first Spanish settlements, increasingly supplying food and water to European ships on their way to or from the Indies (Murga Sanz 1960; Wadsworth 1973; Cardona Bonet 1985). Mona’s location in the heart of Spanish colonial projects, and on one of the main Atlantic routes from Europe to the Americas, allowed inhabitants to exploit the opportunities of this early colonial world. Communities on Mona were exposed to the earliest waves of European impact at a time when Europeans themselves were in an alien environment, gathering knowledge, making decisions and learning patterns of behaviour that became more firmly entrenched as the colonisation of the Americas contin- ued. This was a critical period of creolisation in which the first and subsequent generations of inter-continental Americans were born; there is therefore great potential for the archaeology of Mona to provide insights into the transformation and forging of new identities. Indigenous Amona Archaeological evidence of an indigenous presence on Mona spans over 5000 years (Dávila Dávila 2003; Samson & Cooper 2015b). The population that witnessed Columbus’s ships was part of a large, complex cultural network of territorially, genetically, linguistically and artistically interwoven chiefdoms stretching from the Bahamas to the Lesser Antilles, with some population estimates for Hispaniola alone of over one million people, and for Puerto Rico of 100 000 (Anderson-Córdova 1990; Rouse 1992; Moscoso 2008). During C© Antiquity Publications Ltd, 2016 1056 R es ea rc h The Mona Chronicle Figure 2. Early colonial Nueva Cadiz bead discovered at Playa Sardinera on Isla de Mona. later pre-Columbian times, from AD 500, Mona was a hub of interaction between the chiefdoms of Borinquen and Hayti. From AD 1300–1500, a spike in evidence for cave exploration suggests the island’s subterranean spaces were a major draw; cave practices were instrumental in late pre-Columbian ethnogenesis. The earliest Spanish accounts of Mona emphasise Spanish dependence on indigenous labour and products (Fernández de Oviedo y Valdéz 1851: 16: 1; Samson & Cooper 2015b). European encounter on Mona The adoption of European material culture, products and technology on Mona was immediate and profound. During recent fieldwork, European objects recovered within indigenous settlements and activity areas include glass beads (Figure 2), new types of European storage jars, ceramic vessels and monetary currency at sites along the south coast and inland. Imports spanning the period from AD 1493–1590 are found in residential settlements, agricultural fields and cave refugia. The presence of European ceramics and livestock, and Spanish coins in direct association with indigenous ceramics, tools and food- processing equipment, reflects this changing material world and indigenous transculturation (Dávila Dávila 2003; Cooper et al. 2008). As a counterpart to technological and economic transformation, however, the subterranean landscape of Mona reveals extraordinary material evidence of the face-to-face ontological encounter, providing a window into the spaces and experiences of the spiritual transformation. Caves of Mona Isla de Mona is one of the most cavernous regions, per square kilometre, in the world (Frank et al. 1998). Limestone cliffs dominate, providing access to the island’s 200 Pliocene-era cave C© Antiquity Publications Ltd, 2016 1057 Jago Cooper et al. Figure 3. Indigenous iconography from cave 18 showing ancestral beings and anthrozoomorphic figures. systems in the geological interface between the hard, lower Isla de Mona Dolomite and the porous, upper Lirio Limestone (Kambesis 2011; Lace 2012, 2013). The caves exponentially increase the experience of the island’s size, providing access to a subterranean realm that is often more easily traversed than the densely vegetated world above. Caves on Mona provide a palimpsest of human activity spanning the pre-Columbian past to the present day, with clearly identifiable peaks in human cave use (Samson et al. 2015). The importance of caves within the spiritual or, from a European perspective, ‘religious’ framework of indigenous populations across the Americas is well established (Brady & Prufer 2005; Moyes 2013). In the Caribbean, late-fifteenth-century accounts collected from indigenous informants on Hispaniola relate the emergence and origins of the first humans from two separate caves (Pané 1999). Indeed, archaeological evidence from across the archipelago shows that caves were used for purposes such as the deposition of human remains and social valuables, and as locations of symbolic iconography. Since 2013, archaeological survey of around 70 cave systems—part of an interdisciplinary study of past human activity on Isla de Mona—has revealed that Mona’s caves provided a range of symbolic, economic and subsistence resources to residents and visitors, and to indigenous and historic populations. Indigenous presence has been identified in 30 cave systems around the island. Evidence includes the greatest diversity of preserved indigenous iconography in the Caribbean, with thousands of motifs recorded in darkzone chambers far from cave entrances (Lace 2012; Samson et al. 2013; Samson & Cooper 2015b). Marks consist of geometric motifs, meanders and areas where the soft cave crusts have been deliberately and systematically removed, as well as extensive and complex imagery of anthrozoomorphic and ancestral beings (cemı́es) (Figure 3). Cave chambers both large (>50m in diameter) and small (<1m wide), their surfaces covered with iconography, must C© Antiquity Publications Ltd, 2016 1058 R es ea rc h The Mona Chronicle Figure 4. Indigenous mark-making and its relation to sources of water in chamber E. have been a unique architectural experience for indigenous populations, and very different from the biodegradable and permeable domestic architecture of their settlements (Cooper et al. 2010; Samson 2013). As well as being symbolic locations, caves on Mona contain important subsistence resources, such as the only sources of permanent fresh water. There is a clear association between underground sources of fresh water and concentrations of indigenous mark-making (Lace 2012). The role of the caves as a source of life-giving water is referenced in the iconography (Figure 4). The markings on the cave walls and extraordinary acoustic, olfactory and haptic properties of the environment offer a powerful experience of alterity, enhanced by the lack of usual sensory stimulation, disorientating and heightening awareness, and morphing perspectives of space and time (Siffre 1964). Hundreds of metres underground, torch or lamplight flickering across representations of cemı́es on walls and ceilings, some reflected in pools of water, would have made a powerful impression on all visitors to the caves. C© Antiquity Publications Ltd, 2016 1059 Jago Cooper et al. Figure 5. Indigenous ceramics from cave 18 with similar iconography from cave 12 on the other side of the island. Cave 18 In this paper, we focus on archaeological, chronometric, palaeographical and historical evidence for a series of early to mid-sixteenth-century cave visits that illuminate previously unknown aspects of the indigenous-European spiritual encounter. Cave 18 is on the south coast of Mona, reached by traversing the foot of a cliff, climbing a vertiginous cliff face and scrambling through a human-sized entrance. Chambers and tunnels run for more than 1km. Around half a dozen balcony entrances in the cliff face provide access to dendritic pathways leading back to deep, darkzone cave chambers. Tunnels emerge into a series of low rooms, high vaulted chambers and areas of water pools and flowstone. After around 50m of walking, in darkness, one encounters the material record of indigenous, followed by historic, mark-making. Indigenous mark-making Evidence of indigenous activity occurs within a large yet delimited darkzone area in chambers A–K (Figures 3 & 4). Around 250 separate motifs, made by dragging one to four fingers (‘finger-fluting’), and finger-sized tools through the soft deposits of the cave surfaces, cover the walls, ceilings and alcoves in 10 chambers and interconnecting tunnels over some 6500m2— about 15 per cent of the cave system. Execution of the imagery necessitated climbing and crouching to reach desired surfaces. The indigenous origin of the marks is supported by the clearly identifiable styles of Late Ceramic Age iconography, as well as from Capá (thirteenth- to sixteenth-century) pottery found in the same chambers (Figure 5). Two radiocarbon dates (OxA-31209 & OxA-31536) from charcoal (Amyris elemifera and Bursera simaruba) recovered from untrammelled edges of two separate chambers (Figure 6) date to C© Antiquity Publications Ltd, 2016 1060 R es ea rc h The Mona Chronicle Figure 6. Map of cave 18 showing the locations and spatial relationships between the indigenous iconography and post-contact inscriptions. the fourteenth and fifteenth centuries (1272–1387 cal AD, and 1420–1458 cal AD at 95.4% confidence, in Oxcal v4.2, using IntCal13 (Bronk Ramsey 2009; Reimer et al. 2013)). Historic mark-making More than 30 historic inscriptions in cave 18 include phrases in Latin and Spanish, names, dates and Christian symbols that occur within a series of connecting chambers (Figure 6), all within the area of indigenous iconography. Where both occur together, the average height above the floor of the historic marks is 1.8m, compared to 1.5m for indigenous marks. There are no indigenous marks overlaying written inscriptions or Christian symbols. The majority of the inscriptions are single-lined strokes, created by a variety of edged tools, and thus distinct from the finger-fluted indigenous marks. The Christian imagery and inscriptions are predominantly at or above (European) head height, occupying flat, vertical wall surfaces and visible while walking upright through the space, distinct from the lower positions and multiple orientations of indigenous marks. C© Antiquity Publications Ltd, 2016 1061 Jago Cooper et al. Figure 7. Spanish inscription in cave 18 that reads ‘dios te perdone’, God forgive you. Three inscribed phrases are present in chambers H and K: ‘Plura fecit deus’, ‘dios te perdone’ and ‘verbum caro factum est (bernardo)’. Palaeographic analysis of letter forms, the use of abbreviation and writing conventions place these in the sixteenth century (Samson et al. in press). ‘Plura fecit deus’, or ‘God made many things’, is the first inscription encountered after entering chamber H. There is no obvious contemporary textual source; the commentary appears to be a spontaneous response to whatever the visitor experienced in the cave. There is a strong spatial inference that ‘things’ is a reference to the extensive indigenous iconography present. The phrase may express the theological crisis of the New World discovery, throwing the personal human experience and reaction into sharp relief. In the next chamber, the phrase ‘dios te perdone’, ‘may God forgive you’, is inscribed on a ceiling protuberance surrounded by extensive indigenous finger-fluting (Figure 7). This is a common Christian petition, which implies a separation between the author and the subjects, or acts that require forgiveness, and the intercessional role of the author, perhaps akin to a confessional pardon between priest and sinner. Another implication is that the attendant practices, now invisible to us, require forgiveness as well as the images themselves. The third Latin inscription, ‘verbum caro factum est’, is a direct quotation from the Vulgate version of the bible, the Gospel of John 1:14, “And the Word was made flesh [and dwelt among us]”. The biblical passage follows a description of the creation of the world, and is the first announcement of Jesus (the Word) in the Gospel, followed by his baptism. This well-known chapter of the Bible would have been familiar even to Christians without formal Latin education (Richard Rex, pers. comm. 2015). C© Antiquity Publications Ltd, 2016 1062 R es ea rc h The Mona Chronicle Figure 8. A Christian Calvary in cave 18 with the name Jesus under the central cross. Particularly striking are two depictions of Calvary. The first consists of three crosses, the central one with the Latin inscription ‘Iesus’ (Jesus) set at a height of over 3m in chamber G (Figure 8). Stylistically, all three are barred cross-on-base motifs, in use in the sixteenth century; similar examples are found from contemporary contexts in Europe and South America (McCarthy 1990; Hostnig 2004; Barrera Maturana 2011; Tarble de Scaramelli 2012). A second Calvary panel is made up of two crosses, one of which is a barred cross-on-base, the other a simple two-stroke Latin cross. These flank a pre-existing C© Antiquity Publications Ltd, 2016 1063 Jago Cooper et al. Figure 9. Selection of three Christian crosses found in cave 18 with stroke directions indicated. indigenous anthropomorphic figure. This triptych has clear compositional parallels with representations of Calvary in which the central figure is strikingly cast as an indigenous Jesus. Reinforcing the distinctly Christian character of the inscriptions are a series of 17 crosses, ranging from simple Latin crosses to more complex Calvary crucifixes (Figure 9). Crosses appear alone and in direct association with names and phrases, and most often close to indigenous finger-fluting and iconography. Analyses of stroke sequences demonstrate that the vertical line is drawn first, then the horizontal line added from left to right, in the gesture of a right-handed blessing. Crosses are placed in visually dominant positions over cave entrances or on high walls, most being set vertically above indigenous iconography rather than superimposed. This vertical ordering is a clear and cross-culturally understood visual convention of hierarchical relations, and seen elsewhere in rock art sites across the Americas (Hostnig 2004; Mart́ınez Cereceda 2009; Tarble de Scaramelli 2012; Recalde & González Navarro 2015). Although indigenous cross motifs are common across the Antilles and Andean region, these are distinct, often framed, equal-armed crosses, produced in a different way in terms of directionality, style, method and location (Dubelaar 1986: 102). Simple crosses are also found adjacent to a series of Christograms (Figure 10), abbreviated forms of the name of Jesus Christ, which had been in use for over a millennium when these examples were incised in the walls of the cave. The Christograms employed on Mona used Latin and Greek characters to form a symbology of Christ’s name, and these were in C© Antiquity Publications Ltd, 2016 1064 R es ea rc h The Mona Chronicle common usage from early medieval periods. The simplest form found in cave 18 is IHS, the first letters of Jesus in the Greek alphabet. A more complex form is the abbreviated Figure 10. An IHS Christogram that uses the first three letters of Jesus in the Greek alphabet to reference Jesus Christ. form of ‘Jesus’, ‘IHS’, followed by a cross and then ‘XPS’, or chi-rho-sigma for ‘Christ’. In all cases, the ‘H’ has a cross above it, also common in late medieval Christograms. The name of Christ engraved into the walls of the cave materialises a Christian characterisation of the space. The dominance of the Christ figure (as opposed to Mary or another saint) confers a Christocentric devotional character that was rooted in late medieval tradition and became increasingly popular in New World shrines throughout the sixteenth and seventeenth centuries (Nolan 1991; Taylor 2010). In addition to Christian symbolism and religious commentary, the cave walls also bear a series of dated and named individuals. These include Myguel Rypoll 1550, Alonso Pérez Roldan el Mozo 1550 August and Alonso de Contreras 1554. Other sixteenth-century visitors include a canon (an ecclesiastical office), an individual named Bernardo, who added his name to the inscription ‘verbum caro factum est’ and an anonymous visitor in February 1554. A Capitán Francisco Alegre wrote his name prominently in chamber K. Archival research Many of the names on the cave surfaces are not listed in the official texts referring to the initial Spanish occupation of Mona. Searches of the early colonial chronicles, passenger lists to the Indies from 1500–1590, relevant sections of the digitised archives of Seville, and the Documentos de la Real Hacienda de Puerto Rico were consulted for individuals with connections to Mona, including the Baptismal-indigenous name combinations and Spanish rank titles of over 100 indios. The most secure identification is for Francisco Alegre, who has been identified in historical documents—and on the basis of handwriting similarities (Figure 11)—as having emigrated with his father to the Indies in the 1530s from Spain. Alegre became a prominent citizen (vecino) of San Juan and held a number of royal functions in Puerto Rico throughout the sixteenth century, including that of factor, in charge of royal estates, among which was Isla de Mona (Archivo General de Indias 1550). C© Antiquity Publications Ltd, 2016 1065 Jago Cooper et al. Figure 11. The name of Capitán Francisco Alegre, royal official of Puerto Rico in the mid-sixteenth century; note the similarities between the writing on the cave wall and his name in an archival manuscript from AD 1550. Discussion—‘The Mona Chronicle’ In the sixteenth century, the persistence of Mona’s indio population, their relative autonomy and the island’s geopolitical position in a trans-Atlantic and Caribbean maritime thoroughfare created the conditions for a century of spiritual encounter. The corpus of post-contact inscriptions and their physical interrelationship with indigenous iconography and practices strongly suggests authorship by people of European descent visiting Isla de Mona from the neighbouring Spanish colonies of Puerto Rico and Hispaniola. The position, relative sequencing, production methods, written dates and content of the mark-making, as well as the biographic identification of Francisco Alegre, support this interpretation. Indigenous iconography, ceramics and two radiocarbon dates indicate that the cave was used by indigenous people during the mid fifteenth century, directly preceding European arrival. The presence of a historically documented church in the Sardinera village in AD 1548 (Dávila Dávila 2003: 33), administered by indigenous converts, suggests that indigenous Christians were themselves directly engaged with this arrival of a new ideology and associated visual culture. It is possible that some of the finger-drawn crosses in cave 18 may have been executed by indios conversos (indigenous peoples converting to Christianity), as has been proposed for the colonial Andes (Hostnig 2004). Further research will consider whether at least some of the historic inscriptions and names may belong to indigenous individuals. Certainly, access to both the cave and the relevant chambers necessitated preparation and knowledge of local geography. The presence of over half a dozen named individuals, different dates and the diversity of handwriting indicates multiple visits over time, most notably in the 1550s. The fact that cave 18 was singled out from the nearly 30 currently known caves with indigenous activity on Mona implies that it was an established and meaningful indigenous space at the time of contact, and this was the impetus for its continued use into colonial times. C© Antiquity Publications Ltd, 2016 1066 R es ea rc h The Mona Chronicle New generations of Americans of diverse cultural heritage began to differentiate themselves from the cultures of the European metropole, and new identities such as indio and creole are recognised as early as 1514 in historic records (Moscoso 2010). It is within this context that the first generation of Europeans and Christian indios from diverse American homelands visited Mona’s cave 18. At least some of the authors were elite males of Spanish ancestry, knowledgeable about certain aspects of indigenous culture, conversant with indigenous beliefs and willing to engage with them. The presence of a canon, and those with basic literacy and education, suggests both lay figures and church officials made journeys to the cave. One must consider the range of motivations for such visits. There were economic advantages to alliances with the indio community on Mona, which was still an important centre of cassava production in the second half of the sixteenth century. Similarly, indios may have gained economic and political advantages by pursuing alliances with vecinos such as Francisco Alegre. Beyond economic motivations, the construction of new colonial landscapes may have been related to the emergence of an indio converso identity, especially after the end of Spanish encomienda (where designated territories were given by the crown to individual European colonists to manage and administer) around 1546. Further, from a coloniser perspective, the founding of local Christian shrines was essential to carving out a local Caribbean identity, drawing on indigenous traditions, in line with a post-reformation trend for shrine formation (Nolan 1991; Coleman & Elsner 1995; Stopford 1999). The interaction between Christian commentary and indigenous imagery represents individual responses and a degree of mutual understanding, rather than a coherent programme or formal liturgy. Visitors engaged with cross-cultural preoccupations such as concepts of origins (expressed in phrases such as plura fecit deus), the afterlife (images of the crucifixion), the hierarchy of belief systems (the crosses on top of indigenous marks), and the place of the individual (names and dates). The emotional and theological character of the inscriptions is different from the censure of the inquisition in places such as contemporary Mexico, where the incorporation of indigenous iconography into a Calvary scene (Figure 12) would have been deeply heretical. Moreover, from an indigenous perspective, the lack of clear evidence for resistance, such as the depictions of cross-bearing Spanish horsemen from indigenous rock art in the Andes (Gallardo et al. 1990; Mart́ınez Cereceda 2009), and the lack of explicit continuity of traditional visual codes, points to a degree of ownership of new beliefs and practices. The historical legacy of 1492 fixates upon and fetishises the incompatibility of native and European worldviews, leading to a one-sided picture of the spiritual conquest of the Americas, exacerbated by native ‘extinction’ in the Caribbean. Moreover, the sheer continental scale of colonisation means that grand narratives dominate our image of encounter. The individual narrative of the people who actually made these encounters operate at a temporal resolution of minutes, hours and days as revealed within this cave. These experiences are what frame early colonial attitudes and create the pathways of encounter, not from indigenous and European perspectives, but from an emerging generation of Americans. The unorthodox ‘Mona Chronicle’, a multi-authored account of the spiritual encounter, provides a rare insight into intercultural religious dynamics in the early Americas. C© Antiquity Publications Ltd, 2016 1067 Jago Cooper et al. Figure 12. Christian cross in a niche of cave 18, directly facing an indigenous ancestral figure. Corollary In 1550, King Charles V of Spain presided over a theological debate in Valladolid (Las Casas- Sepúlveda debate) about whether the Indians of the New World had rational souls (Hanke 1974). In the same year, Alonso Pérez Roldan the Younger and Myguel Rypoll partook in a procession to a local shrine, etched their names onto the walls of a cave chamber and joined a debate in this cave about the compatibility of the Catholic God and ancestral spirits with the indios who led them there. The contrast between the formal, intellectual, metropolitan debate, immortalised in paper archives, and the dialogue between colonial individuals of diverse origins, materialised in stone, could not be greater. Nevertheless, both express the metaphysical schisms, anxieties, social experiments and transformations engendered on all sides by the European-American encounters (Hanke 1974; Boxer 1978). It is often said that there was no conclusive outcome to the Valladolid debate. Its Caribbean counterpart C© Antiquity Publications Ltd, 2016 1068 R es ea rc h The Mona Chronicle on the other hand, a personal debate reflected within the Mona Chronicle of cave 18, had some clearly identifiable outcomes with arguably one of the first manifestations of a creole Christian identity in the New World. These discoveries and their interpretation reveal a process by which new identities are forged in this greatest of cultural encounters, and they provide insight into the creation of new cultural identities throughout the Americas. Acknowledgements This research was conducted with the support of the British Museum Research Committee, the McDonald Institute for Archaeological Research (University of Cambridge), the Centro de Investigaciones Históricas (University of Puerto Rico-Rı́o Piedras), the Instituto de Cultural Puertorriqueña, Departamento de Recursos Naturales y Ambientales de Puerto Rico, the British Academy and the Centro de Estudios Avanzados de Puerto Rico y El Caribe. We are also indebted to Herb Allen III, Monica de la Torre, Delise Torres, Osvaldo de Jesús, Victor Serrano, Alex Palermo, Angel Vega, Paola Schiappacasse, Kate Jarvis, Tiana Garcı́a, Daniel Shelley, Rolf Vieten, Lucy Wrapson, David Redhouse, Tom Higham, Jose Rivera, Walter Cardona Bonet, Ovidio Dávila Dávila and Miguel Bonet for their contributions to this research. 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Received: 19 August 2015; Accepted: 17 November 2015; Revised: 24 November 2015 C© Antiquity Publications Ltd, 2016 1071 Introduction Isla de Mona Indigenous Amona European encounter on Mona Caves of Mona Cave 18 Indigenous mark-making Historic mark-making Archival research Discussion-‘The Mona Chronicle’ Corollary Acknowledgements References References 
work_3xdpzc3dwjhvta36ficxhu5rny	----	329 Sa m m e lb e Sp r e c h u n g e n /e SS a y r e v ie w S n. T. m. 17 (2009) 329–338 0036-6978/09/030329–10 DOi 10.1007/ 00048-009-0346-1 © 2009 birkhäuSer verlag, baSel Naturgeschichte und wissenschaftliche Revolution Staffan Müller-Wille Barrera-Osorio, Antonio, 2006. Experiencing Nature. The Spanish American Empire and the Early Scientific Revolution. Austin: Uni- versity of Texas Press, geb. 211 S., 45 $, ISBN-13: 978-0292709812. Cook, Harold J., 2007. Matters of Exchange. Commerce, Medici- ne, and Science in the Dutch Golden Age. New Haven/London: Yale University Press, geb. xiv+562 S., 25 £, ISBN-13: 978-0300117967. Cooper, Alix, 2007. Inventing the Indigenous. Local Knowledge and Natural History in Early Modern Europe. Cambridge: Cam- bridge University Press, geb. xiv+218 S., 47 £, ISBN-13: 978-0521870870. Ogilvie, Brian, 2006. The Science of Describing. Natural History in Renaissance Europe. Chicago/London: The University of Chicago Press, geb. 431 S., 45 $, ISBN-13: 978-0226620886. Die wissenschaftliche Revolution ist gehörig in Verruf geraten. In ihrer Ein- leitung zu dem Band zur Wissenschaft in der frühen Neuzeit der Cambridge History of Science konstatieren Lorraine Daston und Katherine Park, dass „traditionelle Behauptungen über die wissenschaftliche Revolution als Ur- sprung der modernen Welt (oder auch nur moderner Wissenschaft) nicht mehr überzeugen“ (Park/Daston 2006: 13; meine Übersetzung, ebenso die folgenden). Allerdings lassen die Autorinnen ausdrücklich offen, ob die wis- senschaftliche Revolution sich nach allem nicht doch auch anders begreifen ließe: weniger vielleicht als epochemachendes Ereignis, in Analogie zur fran- s STaffan müller-wille 330 zösischen Revolution, denn als eine epochale Umwälzung in der Bewertung und Organisation gesellschaftlichen Wissens, in Analogie also zur industriel- len Revolution, die ihr auf lange Sicht immerhin auf dem Fuße folgte. In die- sem Sinne lässt sich für die Neuzeit in der Tat ein wichtiger Trend feststellen, der ein Wissensfeld betrifft, das von der Wissenschaftsgeschichte lange ver- nachlässigt worden ist, die Naturgeschichte nämlich. Sie erfuhr, zunächst im Rahmen der materia medica, eine zunehmende Aufwertung als Garant einer durch Erfahrung und eigene Anschauung statt durch Schlussfolgerung und Autorität geleiteten Wissenschaft. Der prominenteste Fürsprecher dieser Aufwertung war der englische Rechtsgelehrte und Staatsmann Francis Bacon (1561–1621). Allerdings ließ er sie nicht für Naturgeschichten in jeder beliebigen Form gelten. Eine bloß „narrative“ Naturgeschichte, wie er sie nannte, verglich Bacon mit einem „Königreich, das sich in seinen Angelegenheiten und Geschäften von Stra- ßengerüchten, und nicht von Briefen und Berichten vertrauenswürdiger Kuriere und Botschafter leiten läßt“ (1. Bd., S. 4, 94). Eine „induktive“ Na- turgeschichte hing von Infrastrukturen der Informationsverarbeitung ab, Formen des „intelligencing“, wie es zeitgenössisch hieß, die vom Arrange- ment von Schrift- und Bildelementen auf dem Papier über den Aufbau von Korrespondenznetzwerken bis zur Einrichtung von zentralen Institutionen wie Bibliotheken, botanischen Gärten und Laboratorien reichten. Ein sol- ches Unternehmen – ein wahrhaft „königliches Werk“, wie Bacon meinte – konnte nur kollektiv und über lange Zeiträume realisiert werden, wobei keineswegs von vorneherein feststand, welche Techniken und Strategien er- folgreich sein würden. Die Geschichte der Naturgeschichte spielte sich in der Entwicklung von Medien der Informationsverarbeitung sowie im Auf- und Ausbau von Netzwerken eines verlässlichen Informationsaustauschs ab (vgl. Dauser/Hächler/Kempe/Mauelshagen/Stuber 2008), und in beiden Hinsichten durchlebte die frühe Neuzeit mit der Erfindung des Buchdrucks und der Globalisierung des Handels enorme Umwälzungen. Nachdem seit Mitte der 1990er Jahre bereits mehrere Sammelbände er- schienen sind, in denen auf diese Zusammenhänge aufmerksam gemacht wurde (Jardine/Secord/Spary 1996, Smith/Findlen 2001, Schiebinger/Swan 2005), liegen aus den vergangenen drei Jahren nun auch eine Reihe von Mo- nographien vor. Sie werfen neues Licht auf die verwirrende, sich oft in aben- teuerliche Biographien und minutiöse Einzelheiten verlaufende Geschichte der frühneuzeitlichen Naturgeschichte und dürften auf lange Sicht zu einer endgültigen Dezentrierung des bisherigen Bildes von der wissenschaftlichen Revolution führen. So wendet sich Antonio Barrera-Osorio einer Institution zu, die in der Wissenschaftsgeschichte bislang überhaupt nicht oder allen- falls als randständig wahrgenommen wurde: die Casa de la Contratación (Haus des Handels), die 1503 von der spanischen Krone in Sevilla eingerich- tet wurde, um die Handelsbeziehungen mit der Neuen Welt zu organisie- naTurgeSchichTe unD wiSSenSchafTliche revOluTiOn 331 Sa m m e lb e Sp r e c h u n g e n /e SS a y r e v ie w S ren (S. 14). Eine ganz ähnliche Institution, mit dem bezeichnenden Namen Casa da Índia e Mina, war bereits fünf Jahre zuvor – also bloß sechs Jahre nach Christopher Columbus’ Landung in der Karibik – in Lissabon gegrün- det worden und diente als Vorbild (S. 32–35). 1524 wurde der Casa de la Contratación noch der Consejo de Indias zur Seite gestellt, der sich auf juris- tische und administrative Aspekte in Bezug auf die neuen Besitzungen der spanischen Krone in Übersee konzentrierte. Ursprünglich bestand die zentrale Aufgabe der Casa de la Contratación in der Entsendung von Handelsflotten und dem Eintreiben von Steuern. Bei- de Aufgaben erforderten verlässliches Wissen über Seerouten, Geographie, natürliche Ressourcen und Einwohnerschaft in den neuen Gebieten. Einer der Schwerpunkte der Tätigkeit der Casa de la Contratación wurde, neben der Erstellung von Seekarten, daher schon bald das geordnete Sammeln, Prüfen und Weiterreichen solchen Wissens. Barrera-Osorios übersichtlich gegliedertes und knapp gehaltenes Buch liefert ein Panorama der dabei zum Einsatz gekommenen empirischen Verfahren. Zwei Verfahren wirken aus heutiger Sicht besonders progressiv, da sie das heutige Lizenz- und Patent- wesen vorwegnehmen (S. 60). Barrera-Osorio diskutiert diese Verfahren aus- führlich am Beispiel von Antonio de Villasante, der 1528 von Santo Domingo nach Spanien reiste, um vom Consejo de Indias ein Monopol über den Han- del mit einer Reihe pflanzlicher Drogen zu erwerben. Darunter ein „Balsam“, der aus einem in Santo Domingo wachsenden Baum gewonnen wurde und über dessen medizinische Wirksamkeit Villasante von seiner einheimischen Frau erfahren hatte. Der Consejo war bereit, Villasante das Monopol zuzu- gestehen, allerdings nur im Tausch gegen einen „langen und sehr vollstän- digen Bericht über den Baum, […] wie seine Form beschaffen ist, wo er zu finden ist, und welches Verfahren verwendet wird, um [den Balsam] daraus zu gewinnen“ (S. 16). „Balsam“ war eine auch in Europa produzierte, jedoch ausgesprochen rare Droge. Und um die Identität von Villasantes „Balsam“ entspann sich schon bald ein Streit. Ihn suchte die Krone zu schlichten, in- dem sie Ärzten und Hospitälern anordnete, den neuen „Balsam“ Prüfungen (esperiencias) zu unterziehen (S. 15–23). Ähnliche Lizenz- und Testverfah- ren kamen bei der Validierung von Artefakten und technischen Verfahren zum Einsatz, die in der Neuen Welt entwickelt wurden (S. 60–65). Auch die Zuteilung von indigenen Arbeitskräften an die spanischen Kolonisten war an die Auflage gebunden, Beschreibungen und Zeichnungen des bearbei- teten Landes, Erhebungen zur Bevölkerungsstruktur und Angaben zu be- steuerbaren Gütern zu liefern (S. 82). Die Casa de la Contratación besaß aber auch ihre eigenen Experten und bildete solche auch aus, sogenannte „Piloten“, die die Navigation auf den nach Übersee entsandten Schiffen übernahmen. 1508 wurde Amerigo Vespucci zum obersten „Piloten“ (piloto mayor) ernannt und mit der Aufga- be betraut, Seekarten zu erstellen, künftige Piloten in Navigation auszubilden STaffan müller-wille 332 und Prüfungen abzunehmen. 1523 kam ein „Kosmograph“ hinzu, der für die Entwicklung und Herstellung von Navigationsinstrumenten zuständig war, und 1552 ein weiterer „Kosmograph“, der nun allein für die Ausbildung von „Piloten“ zuständig war (S. 36–38). Ausbildung und abschließende Prüfung verbanden Theorie und Praxis, und die Casa wurde zu einer Institution, in deren Kontext „die Produktion von Wissen dazu diente, menschliche und materielle Ressourcen in Agenten und Instrumente imperialer Herrschaft zu verwandeln“ (S. 48). Francisco Hernandez’ Expedition nach Mexiko in den Jahren 1571 bis 1577 sowie die Relaciones geográficas de Indias, die in den 1570er Jahren nach Aussenden eines gedruckten, 37 Kapitel umfassenden Fragebogens an Gouverneure und Bürgermeister in der Neuen Welt vom Consejo de Indias zusammengetragen wurden, bildeten den Höhepunkt die- ser Produktion (S. 94–98). Ihren Niederschlag fand sie, wie Barrera-Osorio im letzten Kapitel seines Buches nachweist, in den gedruckten Werken von Gonzalo Fernández de Oviedo (Historia natural y general de las Indias, 1535 und 1557) und José de Acosta (Historia natural y moral de las Indias, 1590), für die bereits ein ausgeprägtes Bewusstsein für die kollektive Natur verläss- lichen Wissens charakteristisch ist (S. 118). Die Casa de la Contratación blieb vorerst eine einzigartige, aber durchaus nicht unbeachtete Institution im frühneuzeitlichen Europa, wie Barrera be- tont (S. 132). Angesichts der Konkurrenz, in der sich die europäischen Groß- mächte um die Dominanz über Welthandelsrouten und Niederlassungen in Übersee befanden, dürfte dies kaum überraschen. Eine ähnlich zentrale, straff bürokratisch organisierte und staatlich gelenkte Institution schuf al- lerdings keine von ihnen. Das Bild, welches das übrige Europa in Hinsicht auf empirische Praktiken bot, ist wesentlich diffuser, auch wenn es ähnliche Elemente wie in Spanien aufweist. Harold J. Cook geht diesen Elementen in aller Ausführlichkeit für die Niederlande in ihrem sogenannten „Goldenen Zeitalter“ nach, also in den Jahren, die zwischen der Unabhängigkeit der sie- ben nördlichen Provinzen von den Habsburgern in den 1580er Jahren und dem Ende des 17. Jahrhunderts liegen. Cook spannt einen weiteren, kultur- geschichtlichen Bogen als Barrera-Osorio, indem er im Anschluss an Georg Simmel die Frage aufwirft, welches kreative Potential die „Informationsöko- nomie“, das heißt der Austausch von Worten, Dingen und Personen, der die Niederlande mit dem Rest der Welt verband, freisetzte (S. 42–49). Cooks Antwort auf diese Frage fällt unmissverständlich aus: Nichts weniger als „die sogenannte wissenschaftliche Revolution“, hält er am Ende des zweiten Ka- pitels fest, resultierte aus den globalen Bewegungen von Waren, Nachrich- ten und Personen und den damit verbundenen „zahllosen Bemühungen […] sicherzustellen, ob Informationen zutreffend und kommensurabel waren“. „Objektivität“, so Cook weiter, „hatte die Macht, Appetit zu wecken, ja so- gar Wahrnehmungen, Begriffe und moralische Bedenken zu verändern. Sie schwebte nicht über der Welt, sondern war tief mit ihr verstrickt.“ (S. 81) naTurgeSchichTe unD wiSSenSchafTliche revOluTiOn 333 Sa m m e lb e Sp r e c h u n g e n /e SS a y r e v ie w S Cook belegt dies in einer Reihe von thematisch und chronologisch ge- schlossenen, relativ locker aneinander gereihten Kapiteln, die eine große Bandbreite von religions-, philosophie-, wissenschafts- und technikhisto- rischen Themen mit einem gemeinsamen Fluchtpunkt in der Medizinge- schichte abdecken. So legt er in Kapitel 3 anhand der Biographie des Bota- nikers Carolus Clusius dar, dass der niederländische Humanismus nicht so sehr an die eine oder andere Konfession gebunden war, sondern vielmehr an die Fähigkeit, sich der Herrschaft religiöser Dogmen zu entziehen (S. 84) und sich als „Mann von Welt“ relativ frei in unterschiedlichsten Kontexten zu bewegen (S. 131). In Kapitel sechs widmet sich Cook der empiristischen Wende im Spätwerk René Descartes’ – „einem der bedeutendsten nieder- ländischen Philosophen seiner Zeit“, wie er süffisant bemerkt (S. 227) –, und im zehnten Kapitel behandelt er Hermann Boerhaaves Iatromechanismus im Wesentlichen als deskriptives statt theoretisches Unternehmen. In den übrigen Kapiteln hält sich Cook enger an das eigentliche Thema von Mat- ters of Exchange, die Konsonanz zwischen der „neuen Philosophie“ und den „Werten, die im Handel eingebettet waren“ (S. 410), indem er auf die hart umkämpften „medizinischen Märkte“ in den städtischen Zentren der Nie- derlande, insbesondere aber auf deren komplexe Translationsbeziehungen in den ostasiatischen Raum eingeht. Dabei kamen ganz ähnliche empirische Praktiken ins Spiel, wie sie Barrera-Osario für die Casa de la Contratación beschreibt, wenn auch in einem wesentlich diffuseren und konfliktreicheren Feld disparater Institutionen und Kontaktzonen. Besonders faszinierende Analysen solcher Praktiken bietet Cook mit sei- nen Fallstudien zu Jakobus Bontius, der 1627 bis 1631 im Auftrag der Ver- einigten Ostindischen Compagnie (VOC) das Medizinalwesen in Batavia (heute Jakarta) überwachte und dort nosographische, diätetische und na- turhistorische Manuskripte zusammenstellte, die eine Vielzahl von lokalen, schriftlichen wie mündlichen Quellen vereinten (S. 191–209); zu Jan Swam- merdam, dessen anatomische, mikroskopische und chemische Studien von dem Versuch angestoßen wurden, ein von Louis de Bils in den späten 1650er Jahren entwickeltes, aber noch erfolgreich geheim gehaltenes Verfahren zur Konservierung anatomischer Präparate offen zu legen und weiter zu entwi- ckeln (S. 276–292); zu Hendrik Adriaan van Reede tot Drakenstein, Kom- mandant einer Reihe von holländischen Handelsniederlassungen entlang der Südwestküste des indischen Subkontinents, der Mitte der 1670er Jahre ein regelrechtes Komitee – zusammengesetzt aus europäischen und indigenen Experten, Klerikern, Kaufleuten, Apothekern, Ärzten und Brahmanen – zu- sammenstellte, um die lokale Flora systematisch zu explorieren (S. 310-317); sowie schließlich zu Willem ten Rhijne, der 1674 auf ausdrücklichen Wunsch des japanischen Kaisers hin von der VOC nach Deshima entsandt wurde, um japanische Ärzte und Gelehrte über europäische Heilkunde zu unterrichten, und der im Gegenzug nach seiner Rückkehr aus Japan europäische Gelehr- STaffan müller-wille 334 te mit den diagnostischen (Pulsnehmen) und therapeutischen Techniken (Akupunktur, Moxibustion) der chinesischen Medizin vertraut machte (S. 349–377). Was in diesen Fallstudien deutlich wird, ist nicht nur die Inten- sität – und gelegentlich menschenverachtende Brutalität –, mit der um die Vorherrschaft im Handel mit „Kuriositäten“ und Exotika gekämpft wurde, sondern auch die daraus resultierende Tendenz, den Diskurs auf „Tatsachen“ (matters of fact) zu reduzieren. „Viele Dinge gingen von einer Sprache zur anderen über“, schreibt Cook zusammenfassend, „aber sie neigten dazu, zur Welt der Objektivität zu gehören: schlichte Hauptworte, Adjektive und Verben, die das bezeichnen, was die Sinne uns berichten.“ (S. 377) Wenn es soweit den Anschein haben könnte, als sei es insbesondere und ausschließlich der Fernhandel gewesen, der diese „Welt der Objektivität“ ins Leben rief, so belehrt uns Alix Cooper eines Besseren. Sie beginnt ihr Buch mit einer vielleicht überraschenden, sprachgeschichtlichen Tatsache, näm- lich dass Ausdrücke wie „eingeboren“ oder „indigen“ im Europa der frühen Neuzeit nicht etwa auf außereuropäisches Bezug nahmen, sondern vielmehr einem „nach innen“ gerichteten Blick entsprangen. In einer Art Gegenbe- wegung zu den von Barrera-Osorio und Cook beschriebenen Handels- und Verkehrsströmen wandten sich Mediziner und Botaniker der Erforschung naheliegenderer, heimischer Ressourcen zu, insbesondere in Regionen wie dem deutschsprachigen Raum, die aufgrund ihrer kontinentalen Lage nur aus zweiter Hand an diesen Strömen partizipieren konnten. Ideologisch wurde diese Gegenbewegung von Überzeugungen getragen, die eine enge Kopplung von geographischem Raum, spezifischen Krankheiten und einhei- mischen Heilmitteln behaupteten, polemisch die Nützlichkeit importierter Drogen bestritten und Autarkie als wirtschaftspolitisch erstrebenswertes Ziel bezeichneten. Insbesondere Paracelsisten machten sich in dieser Hin- sicht lautstark bemerkbar (S. 29–31), ähnliche Ansichten finden sich aber auch bei Humanisten wie Hieronymus Bock, Symphorien Champier, Robert Burton und Jan van Beverwyck (S. 35–45). Coopers groteske Überzeichnung Carl von Linnés als Botaniker, der am Ende der von ihr betrachteten Periode „die Beiträge zur lokalen Naturgeschichte stark entwertete“ (S. 167), deutet darauf hin, dass es sich bei der Akzentuierung des Gegensatzes von lokalem und globalem Naturwissen oft nur um eine rhetorische Taktik gehandelt haben dürfte, denn gerade Linné ging, wie Cooper eingesteht (S. 170), von einer Vereinbarkeit der beiden Pole aus. Dies sollte aber nicht davon ablen- ken, dass sich parallel zur Erforschung außereuropäischer Floren und Fau- nen auch die Perspektive auf europäische Naturräume in der frühen Neuzeit radikal verschob. Cooper zeigt dies, indem sie mit großer Aufmerksamkeit für buchhis- torische Details die Entstehungsgeschichte von neuartigen Genres in der naturhistorischen Literatur nachzeichnet. Da sind zunächst die im frühen 17. Jahrhundert vor allem im deutschsprachigen Raum einsetzenden Pu- naTurgeSchichTe unD wiSSenSchafTliche revOluTiOn 335 Sa m m e lb e Sp r e c h u n g e n /e SS a y r e v ie w S blikationen von lokalen Floren zu nennen, die sich auf die Aufzählung der Pflanzenarten beschränkten, die in den Gärten und im näheren Umkreis ei- ner Universitätsstadt anzutreffen waren (S. 55). Von handlichem und schon bald standardisiertem, auf Nennung, kurze Diagnose, Standort und gegebe- nenfalls Nutzen reduziertem Format, begleiteten diese Lokalfloren als regel- rechte „Taschenbücher“ (S. 73) Studenten und Lehrer der materia medica auf ihren Exkursionen, wie erhalten gebliebene, durchschossene und reich annotierte Exemplare beweisen (S. 75). Bereits 1727 war beispielsweise die Flora um Altdorf in einem halben Dutzend solcher Kataloge dokumentiert, während dieses Format erst gegen Ende des 17. Jahrhunderts auch in exo- tische Regionen übertragen wurde, etwa mit der Flora Jamaicensis, die Hans Sloane 1696 veröffentlichte (S. 71f.). Neben dieser Transposition des Modells der Lokalflora in koloniale Kon- texte beobachtet Cooper aber auch seine Ausweitung am Ende des 17. Jahr- hunderts auf regionale und territoriale Naturgeschichten innerhalb Europas. Erstere untersucht sie am Beispiel von Veröffentlichungen, die im Schnitt- feld von Kameralismus und Naturtheologie Bestandsaufnahmen der Boden- schätze einer bestimmten Region lieferten, letztere vor allem im Werk des Schweizer Naturhistorikers Johann Jakob Scheuchzer. Naturgemäß waren diese Unternehmen in weit größerem Maße auf den Austausch zwischen Sammlern, Korrespondenz, umfangreiche bibliographische Recherchen und systematische Umfragen angewiesen. Wie wenig von vorneherein feststand, welche Form gerade letztere nehmen sollten, zeigt sich am Beispiel Hen- ry Oldenbourgs, der seinen Korrespondenten im Gegensatz zu Scheuchzer Auskünfte abverlangte, die zwar sehr spezifische Gegenstände betrafen, aber gleich für ganze Territorien abgegeben werden sollten (S. 122). Scheuchzer dagegen zeigte bei seinen Umfragen, vor allem aufgrund seiner bibliogra- phischen Studien, sehr viel mehr Sensibilität für die „Geopolitik der Wis- senschaft“ (S. 163). Das anscheinend „lokale“ Wissen, das sich in den von Cooper behandelten Werken niederschlug, war in Wahrheit „lokalisiertes“ Wissen (S. 86) – ein Wissen, welches zwar aus lokalen Quellen geschöpft wurde, aber doch in einem translokalen Netz von Literaturverweisen und Austauschbeziehungen eindeutig „verortet“ wurde. Diesen Gesichtspunkt macht sich Brian Ogilvie zu eigen. Seiner Auffas- sung nach nahm die Naturgeschichte bereits im Laufe der Renaissance die Züge einer „distinkten Disziplin“ (S. 2) an, nachdem sie zuvor allenfalls als Hilfswissenschaft von Medizin und Naturphilosophie gegolten hatte. Dabei macht er aus seiner Ablehnung von Interpretationen, die die frühmoderne Naturgeschichte in den Kontext von Patronage und „protokapitalistischen“ Tauschsystemen stellen, keinen Hehl (S. 13f.). Man kann ihm in diesem Punkt vielleicht vorwerfen, symbolischen mit kommerziellem Tausch zu verwech- seln – Carolus Clusius’ offenbarer Verwicklung in den Tulpenhandel gegen Ende des 16. Jahrhunderts begegnet er beispielsweise mit dem Hinweis, dass STaffan müller-wille 336 „Geld keinen Platz im Tausch [zwischen Botanikern] hatte“ (S. 78). Ogilvies Frage nach der spezifischen „kulturellen Form“ der frühmodernen Naturge- schichte bleibt für ein Verständnis der wissenschaftlichen Revolution jedoch relevant, da das, was dieser Form Identität gab, gerade die „Auseinanderset- zung um Methoden der Kommunikation und Reproduktion von Naturer- fahrung“ war (S. 15). Seine internalistische Perspektive fokussiert den Blick auf Probleme der Beschreibung, Kollation und Translation, die sich auch außerhalb der Disziplin Naturgeschichte stellten, aber innerhalb derselben geradezu zum identitätsstiftenden, epistemischen Objekt einer Wissenschaft wurden (S. 7f.). Ogilvie gliedert seine Darstellung nach vier Generationen, beginnend mit den italienischen Ärzten und Humanisten, die sich mit Ausgaben antiker Texte zur Botanik beschäftigten (1490 bis 1530), gefolgt von den meist aus Nordeuropa stammenden Verfassern früher Kräuterbücher (1530–1560), einer weiteren Generation, die sich in die aufblühende Sammlungskultur einschrieb (1560–1590), und schließlich einer vierten Generation, die sich angesichts der zu Tage tretenden Vielfalt von Naturobjekten mehr und mehr Fragen der Nomenklatur und Taxonomie zuwandte (1590–1620). Allerdings gibt er dieser relativ konventionellen Gliederung eine entscheidende Wen- dung, indem er jede dieser Generationen mit der kritischen Fortschreibung, der Korrektur und Ergänzung der Werke der vorangehenden Generation beschäftigt sieht. Für die erste Generation hatte noch die Identifikation der von Dioscurides und Plinius erwähnten Pflanzen im Vordergrund gestan- den, aber bereits 1492 trat Niccoló Leoniceno mit einem Buch über die zahl- reichen „Irrtümer“, die er vor allem Plinus unterstellen zu können glaubte, eine Debatte über die Vertrauenswürdigkeit antiker Quellen los (S. 126–131). Und die zweite Generation, die überwiegend an den oberitalienischen Uni- versitäten studiert hatte und das dort erworbene Wissen nun an nördlicher gelegene Universitäten trug, bezog ihren Antrieb vor allem aus der Tatsache, dass viele mitteleuropäische Pflanzenarten ihren Lehrern unbekannt geblie- ben waren (S. 137). Wie bei Barrera-Osorio, Cook und Cooper rücken so auch für Ogilvie die geographische und kollektive Dimension der frühneuzeitlichen Naturge- schichte in den Blickpunkt sowie die Techniken, die zur Überbrückung von räumlichen und zeitlichen Distanzen entwickelt wurden (S. 52–63). Seine Geographie bleibt allerdings auf die „Gelehrtenrepublik“ (republic of letters) Europas beschränkt, die sich im offenen Gegensatz zur höfischen und städ- tischen Kultur definierte (S. 58, 85). Spanische und portugiesische Gelehrte bleiben damit außen vor (S. 55), und Clusius erscheint mit seinen Reisen nach Wien und Spanien als ein „Odysseus des Hinterlands“ (S. 143). Der Vorteil dieser Beschränkung liegt darin, dass sich Ogilvie mit großer Ziel- genauigkeit an die Untersuchung der empirischen Verfahren machen kann, die Botaniker des 17. Jahrhunderts im engen Austausche miteinander entwi- naTurgeSchichTe unD wiSSenSchafTliche revOluTiOn 337 Sa m m e lb e Sp r e c h u n g e n /e SS a y r e v ie w S ckelten. Da ist an vorderster Stelle das Herbarium zu nennen, das als Unter- richtsmittel bereits Mitte des 16. Jahrhunderts verwendet wurde und sich im Laufe des 17. Jahrhunderts zu einem regelrechten Repositorium botanischen Wissens entwickelte, indem es mit Pflanzenzeichnungen integriert und als Projektionsfläche für laufende Annotationen verwendet wurde (S. 165–174). Daneben experimentierten Naturhistoriker mit einer Vielfalt von Aufzeich- nungs- und Exzerptverfahren, um Gelesenes und brieflich Mitgeteiltes nicht nur aufzubewahren, sondern auch neu zu arrangieren (S. 174–182). Aus solchen literarischen Techniken gingen im Druck Beschreibungen und Abbildungen hervor, die sich zum einen eng und mit standardisierter Terminologie und Gliederung an der Morphologie des Objekts orientierten – Ogilvie spricht von „stellvertretenden“ (vicarious) Beschreibungen, in- sofern sie den Leser glauben lassen, das Objekt selbst vor Augen zu haben (S. 183) –, zum anderen aber aus der Kollation einer Vielzahl von eigenen Beobachtungen und Beobachtungen anderer hervorgingen. Die Spannung zwischen diesen beiden Polen thematisiert Ogilvie am Ende seines Buches, wenn er die Verfahren diskutiert, die Konrad Gessner, Ulysse Aldrovandi und Carolus Clusius verwendeten, um durch Unterscheidung von abhängigen und unabhängigen Quellen die Vertrauenswürdigkeit von naturhistorischen Berichten zu überprüfen. Ironischerweise zeigen sich in diesen Fallstudien nicht nur die Grenzen der frühmodernen Naturgeschichte (S. 236), sondern auch die von Ogilvies eigenem Ansatz – soweit es die Tierwelt des Nordens anging, insbesondere das Walross, setzte Conrad Gessner offenbar viel Ver- trauen in den Portugiesen Damião da Goes, der sich im 16. Jahrhundert im- merhin selbst in Skandinavien aufgehalten hatte (S. 237); und das letzte Wort in der Frage, ob Paradiesvögel Beine haben oder nicht, behielten für Clusius Antonio Pigafetta, der Ferdinand Magellan auf dessen erster Weltumseglung begleitet hatte (1519–1522), und die Seeleute, die Bälge von Paradiesvögeln nach Europa einführten (S. 251). Die gelehrte Naturgeschichte scheint also trotz allem durchlässiger für die zahllosen, globalen Bewegungen von Personen und Dingen gewesen zu sein, die vor allem Cook so lebendig beschreibt und es spricht vieles dafür, dass die disziplinäre Eigendynamik, die sie in der frühen Neuzeit gewann, nur vor diesem bewegten Hintergrund zu verstehen ist. Paula Findlen be- hauptet, dass die massive Aufwertung, welche die Erfahrung aus eigener Anschauung zu Beginn des 16. Jahrhunderts erfuhr, paradoxerweise darauf zurückzuführen ist, dass mehr und genauer gelesen wurde (Findlen 2006: 442). Sowohl Barrera-Osorio (S. 8, 11) als auch Cook (S. 83f.) wenden sich ausdrücklich gegen die von Max Weber und Robert K. Merton aufgestellte These, dass Frühformen des Kapitalismus und der modernen Wissenschaft in ursächlichem Zusammenhang mit einer protestantischen Ethik standen. Trifft das von ihnen, aber auch von Cooper und Ogilvie gezeichnete Bild zu – und zieht man darüber hinaus noch neuere Arbeiten hinzu, welche die Be- STaffan müller-wille 338 deutung des atlantischen Raums für die Literatur- und Kunstgeschichte der alten wie neuen Welt betonen (Phaf-Rheinberger 2008) –, so steht die Wis- senschaftsgeschichte unverhofft vor dem Problem, dass die wissenschaft- liche Revolution nicht mehr auf einen plötzlichen Wandel in Weltbildern und Mentalitäten zurückzuführen ist, sondern als ein kumulativer und kol- lektiver Prozess verstanden werden muss, in dem Verfahren der Fixierung, Verarbeitung und Distribution von Erfahrungswissen ein zuvor nicht dage- wesenes, Grenzen und Traditionen überschreitendes Spiel von Überprüfung und Rückfrage, Ergänzung und Berichtigung ermöglichten. Literatur Dauser, Regina/Hächler, Stefan/Kempe, Michael/Mauelshagen, Franz/Stuber, Martin, Hg., 2008. Wissen im Netz. Botanik und Pflanzentransfer in europäischen Korrespondenznetzen des 18. Jahrhunderts. Berlin: Akademie Verlag (=Colloquia Augustana 24). Findlen, Paula, 2006. Natural History. In: Katharine Park und Lorraine Daston, Hg., Early Mo- dern Science. Cambridge: Cambridge University Press (=The Cambridge History of Science, 3), 435–468. Jardine, Nick/Secord, James A./Spary, Emma C., Hg., 1996. Cultures of Natural History. Cam- bridge: Cambridge University Press. Park, Katherine/Daston, Lorraine, 2006. Introduction: The Age of the New. In: Katharine Park und Lorraine Daston, Hg., Early Modern Science. Cambridge: Cambridge University Press (=The Cambridge History of Science, 3), 1–17. Phaf-Rheinberger, Ineke. 2008. The Air of Liberty. Narratives of the South Atlantic Past. Amster- dam: Rodopi. Smith, Pamela/Findlen, Paula, Hg., 2001. Merchants and Marvels: Commerce, Science, and Art in Early Modern Europe. London: Routledge. Schiebinger, Londa/Swan, Claudia, Hg., 2005. Colonial Botany. Science, Commerce, and Politics in the Early Modern World. Philadelphia: University of Pennsylvania Press. Staffan Müller-Wille ESRC Centre for Genomics in Society University of Exeter Byrne House, St Germans Road Exeter, Devon EX4 4PJ Großbritannien E-Mail: S.E.W.Mueller-Wille@exeter.ac.uk 
work_3yona5tboba47fgb6g65jjzhwu	----	2) Onchocerciasis | Semantic Scholar Skip to search formSkip to main content> Semantic Scholar's Logo Search Sign InCreate Free Account You are currently offline. Some features of the site may not work correctly. DOI:10.2149/tmh.2015-S09 Corpus ID: 160386682) Onchocerciasis @article{Tada20152O, title={2) Onchocerciasis}, author={I. Tada}, journal={Tropical Medicine and Health}, year={2015}, volume={43}, pages={47 - 56} } I. Tada Published 2015 Medicine Tropical Medicine and Health Although onchocerciasis in cattle and horses in Japan had been noted in the veterinary field since the early 1950s, research on human onchocerciasis that is caused by Onchocerca volvulus was carried out only in the early 70s. It began when I did a brief study of skin test for onchocerciasis cases in Guatemala, Central America, in collaboration with Dr. H. Figueroa [1] using a Dirofilaria antigen [2]. Dr. Figueroa was an admirer of Dr. R. Robles, who discovered the presence and distribution of… Expand View on PubMed jstage.jst.go.jp Save to Library Create Alert Cite Launch Research Feed Share This Paper Topics from this paper Onchocerciasis Ivermectin di-(4-aminophenyl)ether Behavior Proprietary Name Intestinal Volvulus References SHOWING 1-10 OF 120 REFERENCES SORT BYRelevance Most Influenced Papers Recency Second case of zoonotic Onchocerca infection in a resident of Oita in Japan. H. Takaoka, O. Bain, +5 authors Y. Otsuka Biology, Medicine Parasite 1996 36 PDF View 1 excerpt, references background Save Alert Research Feed A biometric study ofOnchocerca volvulus microfilariae from Nigeria using the nuclear counting method T. Mimori, I. Tada, K. Shiwaku, G. O. Ufomadu, B. Nwoke Biology, Medicine Zeitschrift für Parasitenkunde 2004 3 View 1 excerpt, references background Save Alert Research Feed Endemic onchocerciasis on the Jarawa valley area of Plateau state, Nigeria. B. Nwoke, C. Onwuliri, K. Shiwaku, G. O. Ufomadu, I. Tada, H. Takahashi Medicine 1989 8 View 1 excerpt, references background Save Alert Research Feed SIMULIUM DAMNOSUM, NATURALLY INFECTED WITH ONCHOCERCA VOLVULUS IN SOUTH-WEST ETHIOPIA I. Tanaka, Y. Inoue, I. Tada, I. Iwamoto, T. Wonde Biology 1973 3 View 1 excerpt, references background Save Alert Research Feed Onchocerciasis in San Vicente Pacaya, Guatemala. I. Tada, Y. Aoki, +8 authors H. Takahashi Biology, Medicine The American journal of tropical medicine and hygiene 1979 18 PDF View 1 excerpt Save Alert Research Feed A sero-epidemiological study of onchocerciasis with the indirect hemagglutination test. T. Ikeda, Y. Aoki, I. Tada, M. Recinos, J. O. Ochoa, P. A. Molina Biology, Medicine The Journal of parasitology 1979 14 View 1 excerpt, references background Save Alert Research Feed Bovine and equine onchocerciasis in Guatemala, especially in San Vicente Pacaya. Y. Hashiguchi, I. Tada, J. O. Ochoa, M. Recinos, P. A. Molina Biology, Medicine The Journal of parasitology 1981 5 View 1 excerpt, references background Save Alert Research Feed Theoretical approach to the epidemiology of onchocerciasis in Guatemala. Y. Wada Biology, Medicine Japanese journal of medical science & biology 1982 28 View 1 excerpt, references methods Save Alert Research Feed A Human Case of Zoonotic Onchocerciasis in Japan H. Hashimoto, I. Murakami, +6 authors H. Yoshimura Biology, Medicine The Journal of dermatology 1990 26 View 1 excerpt, references background Save Alert Research Feed Specific serodiagnosis with adult Onchocerca volvulus antigen in an enzyme-linked immunosorbent assay. I. Tada, M. Korenaga, K. Shiwaku, E. O. Ogunba, G. O. Ufomadu, B. Nwoke Biology, Medicine The American journal of tropical medicine and hygiene 1987 10 View 1 excerpt, references background Save Alert Research Feed ... 1 2 3 4 5 ... Related Papers Abstract Topics 120 References Related Papers Stay Connected With Semantic Scholar Sign Up About Semantic Scholar Semantic Scholar is a free, AI-powered research tool for scientific literature, based at the Allen Institute for AI. Learn More → Resources DatasetsSupp.aiAPIOpen Corpus Organization About UsResearchPublishing PartnersData Partners   FAQContact Proudly built by AI2 with the help of our Collaborators Terms of Service•Privacy Policy The Allen Institute for AI By clicking accept or continuing to use the site, you agree to the terms outlined in our Privacy Policy, Terms of Service, and Dataset License ACCEPT & CONTINUE 
work_3ztz4ncxbfbujayojpaqxryuqi	----	The Columbian Exchange as a source of adaptive introgression in human populations HYPOTHESIS Open Access The Columbian Exchange as a source of adaptive introgression in human populations I. King Jordan1,2,3 Abstract Background: The term “Columbian Exchange” refers to the massive transfer of life between the Afro-Eurasian and American hemispheres that was precipitated by Columbus’ voyage to the New World. The Columbian Exchange is widely appreciated by historians, social scientists and economists as a major turning point that had profound and lasting effects on the trajectory of human history and development. Presentation of the hypothesis: I propose that the Columbian Exchange should also be appreciated by biologists for its role in the creation of novel human genomes that have been shaped by rapid adaptive evolution. Specifically, I hypothesize that the process of human genome evolution stimulated by the Columbian Exchange was based in part on selective sweeps of introgressed haplotypes from ancestral populations, many of which possessed pre-evolved adaptive utility based on regional-specific fitness and health effects. Testing the hypothesis: Testing of this hypothesis will require comparative analysis of genome sequences from putative ancestral source populations, with genomes from modern admixed populations, in order to identify ancestry-specific introgressed haplotypes that exist at higher frequencies in admixed populations than can be expected by chance alone. Investigation of such ancestry-enriched genomic regions can be used to provide clues as to the functional roles of the genes therein and the selective forces that have acted to increase their frequency in the population. Implications of the hypothesis: Critical interrogation of this hypothesis could serve to underscore the important role of introgression as a source of adaptive alleles and as a driver of evolutionary change, and it would highlight the role of admixture in facilitating rapid human evolution. Reviewers: This article was reviewed by Frank Eisenhaber, Lakshminarayan Iyer and Igor B. Rogozin Keywords: Columbian exchange, Human evolution, Adaptive evolution, Natural selection, Selective sweep, Genetic admixture, Introgression, Haplotype, Allele Background The Columbian Exchange The historian Alfred Crosby coined the term “Colum- bian Exchange” to describe the extensive transfer of life between the Afro-Eurasian (Old World) and American (New World) hemispheres following Christopher Col- umbus’ voyage of 1492 [1]. The Columbian Exchange was a byproduct of subsequent European colonization and trade efforts in the Americas, and it entailed a bidir- ectional transfer of numerous species of plants, animals and microbes between the Old and New Worlds (Fig. 1a). This transfer also included human population groups, cultures and technologies, and as such it led to major demographic shifts in both hemispheres [2]. The introduction of calorically rich and nutritional New World crop species – potatoes, maize and cassava in particular – facilitated agricultural developments that allowed for sustained population growth in the Old World [3]. The demographic changes in the New World Correspondence: king.jordan@biology.gatech.edu 1School of Biology, Georgia Institute of Technology, 950 Atlantic Drive, Atlanta, GA 30332, USA 2PanAmerican Bioinformatics Institute, Cali, Valle del Cauca, Colombia Full list of author information is available at the end of the article © 2016 Jordan. Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http:// creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Jordan Biology Direct (2016) 11:17 DOI 10.1186/s13062-016-0121-x http://crossmark.crossref.org/dialog/?doi=10.1186/s13062-016-0121-x&domain=pdf mailto:king.jordan@biology.gatech.edu http://creativecommons.org/licenses/by/4.0/ http://creativecommons.org/publicdomain/zero/1.0/ http://creativecommons.org/publicdomain/zero/1.0/ 60 50 40 30 20 10 EuropeanAfrican L o cu s -s p e ci fic a n ce st ry % A fr ic a n a n ce st ry Avg. -3 +3 el ell a evit p a d A )f( y c n e u q erf 1.0 0.8 0.6 0.4 0.2 0 Number of generations (g) 0 50 100 150 200 Rapid evolution 25g ~ f > 0.5 b c a Banana Sugar cane Cattle Horses Malaria Measles Smallpox Cacao Cassava Maize Potato Tomato Turkey Syphilis Fig. 1 Adaptive introgression via the Columbian Exchange. a Examples of plants, animals and microbes transferred between the Old and New Worlds during the Columbian Exchange. Human populations from Europe, Africa and the Americas were also brought together during this era. b The number of generations needed to fix an adaptive allele is modeled for a selection coefficient (s) of 0.01 and a dominance coefficient (h) of 1.0. The level of per-generation adaptive change in allele frequencies varies over four orders of magnitude and reaches its maximum at intermediate allele frequencies. c Ancestry-enrichment analysis for the adaptive introgression events. An example is shown for a single chromosome from a hypothetical admixed population with African (avg = 30 %) and European (avg = 70 %) ancestry. Locus-specific ancestry is assigned for all chromosomes in the admixed population, and regions with anomalously high (or low) ancestral origins are identified for further investigation Jordan Biology Direct (2016) 11:17 Page 2 of 8 during this era were even more drastic. The Columbian Exchange brought together previously isolated popula- tions from Europe, Africa and the Americas in the New World colonies over a relatively short period of time. More than 50 million Europeans migrated to the Ameri- cas through the nineteenth century [4], and the African slave trade resulted in forced migration of 12 million Af- ricans to the New World over a period of ~450 years [5]. The indigenous population of the New World, on the other hand, was reduced by up to 95 % within 100– 150 years after Columbus maiden voyage, a loss of an es- timated 10–100 million lives [6]; this was largely a result of the introduction of Old World infectious diseases, such as small pox, measles and malaria, to which native populations had little or no resistance. One can expect that such a profound human demographic transform- ation would occasion substantial evolutionary change at the genomic level. From a population genomic perspective, the Colum- bian Exchange can be considered to have facilitated gen- etic admixture among three human population groups – African, European and Native American – that had pre- viously evolved separately for many thousands of years [7–10]. During the time that these populations were iso- lated, they accumulated numerous genetic (allele fre- quency) differences. Many of these differences were likely to be neutral changes with no appreciable effects on fitness, whereas others were the result of adaptations to local selection pressures [11, 12]. In either case, the accumulation of such population-characteristic genetic differences resulted in the presence of distinct haplo- types (i.e., combinations of linked alleles) that are spe- cific to individual populations; the process of admixture during the Columbian Exchange then led to the repeated introgression of these population-specific haplotypes onto distinct genomic backgrounds. In other words, population mixing during the Columbian Exchange gen- erated novel human genome sequences with combina- tions of haplotypes that had never previously co-existed in the same genome. I am interested in exploring the implications of the rapid creation of such novel, admixed American genome sequences for adaptive human evolu- tion, fitness and health. Adaptive introgression and rapid human evolution As mutation is the ultimate source of novel adaptive al- leles, it can be considered to be a critical rate limiting step for adaptive evolution. Human germline mutation rates are low [13], and accordingly adaptive evolution in human populations is generally considered to be a slow process that takes place over many thousands of years [12, 14, 15]. However, introgression can also be an im- portant source of novel alleles for human adaptation [16]. Indeed, a number of recent studies have provided evidence for adaptive evolution of haplotypes that were introgressed from archaic human genomes (Neandertal and/or Denisovan) into modern human genomes [17– 20]. Introgression has the potential to speed adaptive evolution by introducing novel alleles at a relatively rapid rate compared to de novo mutation. If genetic admixture between previously isolated popu- lations is extensive, it can provide introgressed haplo- types at intermediate to high frequencies to the resulting admixed population. Introgression could thereby in- crease the rate of adaptive evolution by elevating the fre- quency of potentially beneficial alleles available in the population. In this sense, introgression of adaptive alleles can be considered to provide an opportunity for so- called ‘soft’ selective sweeps, which are defined as caus- ing rapid molecular evolution via the simultaneous in- crease in frequency of multiple adaptive alleles in the population [21]. Soft selective sweeps can occur under several distinct evolutionary scenarios, including the case where multiple adaptive alleles pre-exist in the population as standing genetic variation [22]. Introgres- sion on the scale seen for the three-way population mix- ing that characterized the Columbian Exchange [7–10] could have provided multiple adaptive alleles as standing genetic variation at intermediate to high population frequencies. Presentation of the hypothesis I hypothesize that genetic admixture and introgression among the human population groups brought together via the Columbian Exchange provided the opportunity for rapid adaptive evolution based on the existence of numerous pre-adapted haplotypes. In other words, intro- gression during the Columbian Exchange provided ex- tensive standing genetic variation to New World populations, much of it with potential adaptive signifi- cance, which could have provided the raw material for numerous (partial) selective sweeps. The three ancestral human population groups – African, European and Native American – that were brought to- gether over the last 500 years during the course of the Co- lumbian Exchange began to diverge ~60–100,000 years ago (ya) as modern humans emerged from Africa and spread around the world [23]. Europe was populated by anatomically modern humans ~40–45,000 ya [24, 25], and humans reached the Americas ~15,000 ya via several waves of migration across the Bering Strait [26, 27]. As these three population groups were isolated during the course of human evolution, they diverged genetically, ac- cumulating numerous allele frequency differences. A number of these allele frequency differences were likely to be adaptive substitutions with regional-specific utility for health and fitness [11, 12, 15]. These pre-evolved adaptive alleles, and the ancestry-specific haplotypes on which they Jordan Biology Direct (2016) 11:17 Page 3 of 8 reside, could have been selected in the admixed American population based on their utility in the New World envir- onment. The process of selection in this case would be based on differential retainment of ancestry-specific hap- lotypes that provide relatively higher fitness in the admixed population. The New World environment that served as the se- lective crucible for the introgressed haplotypes would have consisted of both the external physical environ- ment as well as the internal microbial environment, which was shaped by the mixture of microbes endemic to the ancestral source populations. The novel microbial environment in particular is likely to have exerted strong selective pressure on New World populations, based on the need to respond to the challenge of infectious patho- gens, suggesting that immune system genes would be particularly prone to introgression-accelerated adaptive evolution [28–30]. It should be noted that the ~500 years that have elapsed during the era of the Columbian Exchange is an extremely short amount of time with respect to human evolution; indeed, it would correspond to a mere 20–25 generations assuming a generation time of 20–25 years. Irrespective of the role of introgression in providing standing adaptive genetic variation to an admixed popu- lation, this would not likely be enough time to allow for the complete fixation of adaptive alleles. Thus, the kind of introgression-facilitated adaptive evolution proposed here would amount to partial (or ongoing) selective sweeps [31]. Nevertheless, substantial levels of allele fre- quency change can in fact occur over this time scale. A standard model for the rate of fixation of an adaptive al- lele illustrates how selective increase in allele frequency proceeds successively through slow-fast-slow regimes of change (Fig. 1b). The amount of change per generation is highest at intermediate allele frequencies, where the frequency of a beneficial allele could increase by more than 50 % over 25 generations. Analysis of human population genetic change over such a relatively short time period provides an oppor- tunity to consider the possibility of rapid human evolu- tion in the context of recent studies related to the convergence of evolutionary and ecological time. The question of extremely rapid evolution, i.e. evolution over ecological time scales, has received substantial attention over the last few years [32]. Traditionally, evolutionary and ecological timescales were considered to be very much distinct, but there are numerous studies docu- menting adaptive evolutionary change that have oc- curred well within the time span of the Columbian Exchange [33]. However, this line of work has not been explicitly extended to human populations as far as I know, and as such the admixture-introgression concep- tual framework outlined here may allow for the evolution-ecology synthesis to incorporate a human dimension. Testing the hypothesis The collection of uniquely admixed human populations found in the Americas represents an ideal laboratory to study rapid human adaptation and to test the hypothesis of adaptive introgression via the Columbian Exchange. To test this hypothesis, one would need to compare gen- ome sequences between putative ancestral populations with sequences characterized from admixed American populations. Comparison with genome sequences from ancestral source populations can be used to characterize the admixture contributions to New World populations at various levels: genome-wide and sex-specific ancestry proportions, local chromosomal ancestry assignments, and ancestry probabilities for individual nucleotide vari- ants (i.e., SNPs) when possible. Having characterized the overall ancestry contribution proportions for an admixed American population, one can then search for specific genomic regions (loci) or SNPs that significantly deviate from the expected patterns (Fig. 1c). This approach can be used to identify genomic loci that are enriched for a particular ancestry, or ancestry-specific haplotypes, sug- gesting the possibility that such regions were differen- tially retained in the admixed population based on their utility in the New World environment [7, 28–30, 34– 36]. This approach is analogous to the mapping by ad- mixture linkage disequilibrium (or admixture mapping) technique, whereby local deviations from genome-wide average admixture patterns are used to identify loci im- plicated in diseases that have different prevalences in an- cestral source populations [37]. Having identified ancestry-enriched loci (haplotypes) in this way, they can be further interrogated with respect to their rates of evo- lution as well as the functions of the genes encoded therein. Interestingly, two studies that were published while this manuscript was in revision both found an excess of African ancestry at the MHC locus in admixed Latin American populations [38, 39]. These results were taken to support the idea of adaptive introgression based on genetic resistance to infectious disease agents, and popu- lation genetic modeling was used to provide support for the role of selection in enriching for locus-specific Afri- can ancestry. Of course, selection is not the only evolu- tionary force that could change allele frequencies and lead to the appearance of locus-specific ancestry enrich- ment. Accordingly, it will be important to explicitly con- sider the role of other forces, including demography and genetic drift, in shaping patterns of locus-specific ances- try in admixed American populations. Indeed, the need to do so provides an opportunity for the development and application of admixture-specific population genetic Jordan Biology Direct (2016) 11:17 Page 4 of 8 models that go beyond the more straightforward sequence-based ancestry enrichment analysis outlined here. The potential for demography to shape patterns of ancestry also underscores the importance of choosing the best possible ancestral population for comparative analysis with admixed American populations. Fortu- nately, the increasing availability of population genomic sequence data from putative ancestral source popula- tions serves as a rich resource for this purpose. Implications of the hypothesis The hypothesis that the Columbian Exchange facilitated rapid adaptive evolution via admixture and introgression has implications for both basic research in human evolu- tion and for more clinical investigations into genetic de- terminants of human health. The potential for rapid human evolution is a topic of great interest [40, 41], and critical interrogation of the hypothesis proposed here could help to elucidate one specific mechanism by which such rapid adaptive evolution can be facilitated. It should be emphasized that adaptive evolution predicated upon differential retainment of ancestry-specific haplo- types could entail fairly subtle changes in allele frequen- cies along the mid-range of the frequency spectrum (Fig. 1b). Thus, it will be expected to occur far more rap- idly than complete fixation of new alleles introduced by de novo mutation. Analysis of admixed American populations using this conceptual framework has the potential to reveal human evolution in action. Current methods for detecting the signatures of adaptive evolution (i.e., selective sweeps) in human genome sequences are based on complex statis- tical models of sequence substitution and may lack power to unambiguously distinguish among different models of selection – e.g., hard versus soft selective sweeps, the role of de novo versus standing genetic vari- ation and the prevalence of polygenic selection [22, 31, 42]. Accordingly, there remains substantial controversy as to the relative importance of these different modes of adaptation in human molecular evolution [21, 42]. The alternative introgression-based framework for the detec- tion of potentially adaptive haplotypes that I have out- lined here can be considered to be agnostic with respect to these different models of the adaptation process as well as both conceptually straightforward and sensitive to relatively minor changes in allele frequencies [29]. To date, most population genetic studies of New World human populations have focused on ancestry, utilizing sequence variants as neutral markers of evolu- tionary lineages. Interrogation of the hypothesis pro- posed here calls for an explicit connection between human genetic ancestry and genetic determinants of health and fitness. The relationship between ancestry and genetic determinants of human health, often manifested as population-specific health disparities [43], is an important topic with serious public health implica- tions. For example, investigation into how admixed pop- ulations have been shaped by selection pressures imposed by infectious disease burden can provide insight into the genetic architecture of immune response [44]. Finally, an emphasis on the study of admixed genomes from across the Americas, which testing of the hypoth- esis articulated here necessitates, could provide for an important extension of current clinical genomic studies, the vast majority of which have focused on populations of European descent [45]. Reviewers’ comments Reviewer 1: Frank Eisenhaber, Bioinformatic Institute, Singapore The effort of the author to suggest the consequences of the Columbian Exchange for the human genome evolu- tion is laudable and deserves support. The scientific question of how the genomes of many today almost ex- tinct native American peoples survive as admixtures in genomes of European and African origin is of great im- portance form the evolutionary and historical point of view. Although I do fully agree with the general assess- ments, conclusions and proposals by the author, I am asking myself whether, at this preliminary point of time, we can speculate plausibly about certain new world characteristics that the natives were better adapted to compared with the arrivals from the other side of the Atlantic Ocean. For examples, have there been any in- fections/parasites originating from America that repre- sented a major problem for the colonizers and their imported slaves? Author’s response: The reviewer raises a very interest- ing point regarding the threat of infectious disease to European colonizers and African slaves from pathogens native to the Americas. In fact, it is thought that Native American populations had a far lower burden of infec- tious disease compared to European and African popula- tions. All of humanities major plagues – the black death, cholera, influenza, measles, mumps, smallpox, tubercu- losis and typhus – come from the Old World. The rela- tively low burden of infectious disease among Native American populations has been attributed to the fact that the Americas had far fewer (virtually none in fact) of the domestic animals that serve as sources of zoonotic infections [46], e.g., cows are the natural reservoir for measles, smallpox and tuberculosis, and pigs can harbor whooping cough and flu. The low burden of infectious disease in the Americas, and the related lack of genetic resistance mechanisms, left these populations extremely vulnerable to Old World pathogens and was the major cause of the population crash that occurred during the conquest of the Americas. Jordan Biology Direct (2016) 11:17 Page 5 of 8 One possible exception to this pattern is syphilis [47]. There is evidence to suggest that syphilis was brought to Europe by Columbus’ returning crew members, and the first recorded epidemic was from Naples, Italy in 1495. Shortly thereafter, syphilis quickly spread throughout Europe with devastating effects. Thus, it may in fact be the case that the burden posed to naïve European and African populations by syphilis in the New World also served as a selection pressure for adaptive introgression of resistant Native American haplotypes. The process of admixture as evolutionary process to gain fitness might be contrasted with the consequences of the process of (self-)isolation of populations as it is known, for example, for certain religious groups and heavily stratified societies (see the Indian caste system: “Genomic reconstruction of the history of extant popu- lations of India reveals five distinct ancestral compo- nents and a complex structure” Basu et al., PNAS (2016) doi: 10.1073/pnas.1513197113). It would be interesting to study whether at all or to which extent increasingly inbred mating might have detrimental effects on the populations’ fitness. Author’s response: This is another interesting point, which is entirely feasible although there is less direct evi- dence in support of it at this time. It is certainly possible that Native American populations had lower innate (genetic) resistance to infectious disease owing to lower genetic variability associated with bottleneck event(s) that accompanied their initial migration to the Americas from Asia [48]. High genetic diversity, among African populations for example, has been associated with in- creased resistance to infectious disease [49], and low di- versity could accordingly place populations at risk. Consistent with the idea raised by the reviewer, our own analysis of Native American populations from the Hu- man Genome Diversity project suggests that they have far lower overall genetic diversity than other populations from this same set of samples and/or from the 1000 Ge- nomes Project. However, this could also be a result of a bottleneck that occurred later as a result of contact with European populations [50]. Reviewer 2: Lakshminarayan Iyer, NIH,USA The article must be published. It is an original idea, un- tested and likely to provide new insights. This is a timely, well articulated and well defined hy- pothesis to test for the presence of partial selective sweeps of haplotypes derived from ancestral populations during the “Columbian Exchange”. It is only in the past 5 years or so that we are even beginning to understand the impact of admixtured populations across various re- gions and chronological times, leading to fascinating in- sights on the origins of modern populations, the presence of selective sweeps of alleles and even the impact of these on languages and cultural memes (e.g. PMID: 25731166, 26595274). In this backdrop of devel- opment, King’s proposal to test a very specific aspect on the presence of adaptive allele sweeps, from at least 3 or more ancestral populations that contributed to the admixtured populations of the modern Americas, is timely. The idea of using an introgression-based frame- work is interesting and perhaps quite agnostic as pointed out. Given that both the European and African popula- tions that entered the Americas themselves are derived from multiple ancestral populations, studying the above might further throw light on the evolutionary dynamics of those alleles or loci known to have been selected for in these populations prior to the “Columbian exchange” (e.g. 26595274). I agree that such a study is likely to re- sult in some really interesting insights on the impact of introgression between at least three distinct populations separated by many tens of thousand years. Author’s response: I appreciate the positive feedback from the reviewer. I agree that it will be important to take into account the fact that the Europeans and Afri- cans who came to the Americas during the course of the Columbian exchange were themselves derived from mul- tiple (and/or distinct) populations. It should be possible to tease apart the sub-continental admixture contribu- tions from such ancestral populations, and our own group is currently doing so for Afro-Colombian popula- tions in an effort to more precisely locate their origins within the African continent [51, 52]. The reviewers’ point also underscores the importance of choosing the most appropriate ancestral populations to perform the kind of ancestry enrichment analysis de- scribed here. For example, one may expect that European ancestry for Latino populations would be better modeled using Spanish ancestral populations (e.g., IBS from the 1000 Genomes Project) as opposed to the more widely used CEU sample, which corresponds to broadly distrib- uted Northern European ancestry. Our own preliminary results, suggest that this is in fact the case, and New World admixed populations can be distinguished by virtue of different European ancestry profiles. I have added a paragraph to the “Testing the hypothesis” section of the manuscript to address the need for analysis of ap- propriate ancestral populations. Reviewer 3: Igor B. Rogozin, NIH,USA The author hypothesized that the process of human gen- ome evolution stimulated by the Columbian Exchange was based on partial selective sweeps of introgressed haplotypes from ancestral populations, many of which possessed pre-evolved adaptive utility based on regional- specific fitness and health effects. I think that this is a promising hypothesis. The author suggested that in order to test this hypothesis, one would need to compare Jordan Biology Direct (2016) 11:17 Page 6 of 8 http://dx.doi.org/10.1073/pnas.1513197113 genome sequences between putative ancestral popula- tions with sequences characterized from admixed American populations. It is known that natural selection is not the only force that changes allele frequencies, other evolutionary forces include genetic drift, migration, mutation, and biased gene conversion. One potential problem is how to define “putative ancestral populations”, I think that only small (and potentially non-random) samples from putative an- cestral populations contributed to the Columbian Ex- change (the founder effect). The founder effect might confound the signal of adaptive evolution. However this may not have a substantial impact on the Columbian Ex- change, this needs to be evaluated using sequence data although the author may add a brief discussion of this problem to the paper. Author’s response: The reviewer raises important points about defining ancestral populations for enrich- ment analysis and the need to distinguish between the ef- fects of natural selection and demographic processes, both of which can change allele frequencies over time. The issue of the appropriate choice of ancestral popula- tions was also raised by Reviewer #2. Fortunately, there are more and more genomic data sets available from po- tential ancestral populations, and these data can be compared to genomic data from admixed American pop- ulations in order to determine the most appropriate an- cestral population for analysis. Nevertheless, the issue of founder effects from ancestral populations, which is en- tirely reasonable given the history of the conquest and colonization of the Americas, could still confound at- tempts to quantify changes in allele frequencies by com- paring modern populations. This fact, along with the need to distinguish selection from drift present both chal- lenges and opportunities for the development and appli- cation of population genetic approaches to this question, in addition to the more straightforward genome sequence analysis approaches described here. I have added a para- graph to the “Testing the hypothesis” section of the manu- script to address the points raised by the reviewer. Abbreviations SNP: single nucleotide polymorphism; ya: years ago. Competing interests The author declares that he has no competing interests. Author’s contributions KJ conceived of the hypothesis and drafted the manuscript. Author’s information KJ is Associate Professor in the School of Biology and Director of the Bioinformatics Graduate Program at the Georgia Institute of Technology (http://jordan.biology.gatech.edu). In addition to his research activities in computational genomics, he is also engaged in biotechnology capacity building efforts in Latin America. He co-founded the PanAmerican Bioinfor- matics Institute (http://panambioinfo.org) to apply bioinformatics and gen- omics approaches to challenges in public health and economic development in the Americas and serves as a scientific advisor to BIOS – the Colombian national center for bioinformatics and computational biology. Acknowledgements KJ was supported by BIOS Centro de Bioinformática y Biología Computacional (062-2014) and the Georgia Institute of Technology Denning Global Engagement Seed Fund (320000118). KJ would like to acknowledge members of his laboratory, along with his colleagues and friends from Colombia, who stimulated many of the ideas articulated here along with this particular line of research. Author details 1School of Biology, Georgia Institute of Technology, 950 Atlantic Drive, Atlanta, GA 30332, USA. 2PanAmerican Bioinformatics Institute, Cali, Valle del Cauca, Colombia. 3BIOS Centro de Bioinformática y Biología Computacional, Manizales, Caldas, Colombia. 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Tang H, Choudhry S, Mei R, Morgan M, Rodriguez-Cintron W, Burchard EG, et al. Recent genetic selection in the ancestral admixture of Puerto Ricans. Am J Hum Genet. 2007;81(3):626–33. doi:10.1086/520769. 31. Pritchard JK, Pickrell JK, Coop G. The genetics of human adaptation: hard sweeps, soft sweeps, and polygenic adaptation. Curr Biol. 2010;20(4):R208– 15. doi:10.1016/j.cub.2009.11.055. 32. Hairston NG, Ellner SP, Geber MA, Yoshida T, Fox JA. Rapid evolution and the convergence of ecological and evolutionary time. Ecol Lett. 2005;8(10):1114–27. 33. Carroll SP, Hendry AP, Reznick DN, Fox CW. Evolution on ecological time‐ scales. Funct Ecol. 2007;21(3):387–93. 34. Basu A, Tang H, Zhu X, Gu CC, Hanis C, Boerwinkle E, et al. Genome-wide distribution of ancestry in Mexican Americans. Hum Genet. 2008;124(3):207–14. doi:10.1007/s00439-008-0541-5. 35. Bhatia G, Tandon A, Patterson N, Aldrich MC, Ambrosone CB, Amos C, et al. Genome-wide scan of 29,141 African Americans finds no evidence of directional selection since admixture. Am J Hum Genet. 2014;95(4):437–44. doi:10.1016/j.ajhg.2014.08.011. 36. Jin W, Xu S, Wang H, Yu Y, Shen Y, Wu B, et al. Genome-wide detection of natural selection in African Americans pre- and post-admixture. Genome Res. 2012;22(3):519–27. doi:10.1101/gr.124784.111. 37. Winkler CA, Nelson GW, Smith MW. Admixture mapping comes of age. Annual review of genomics and human genetics. 2010;11:65-89. doi:10. 1146/annurev-genom-082509-141523. 38. Zhou Q, Zhao L, Guan Y. Strong Selection at MHC in Mexicans since Admixture. PLoS Genet. 2016;12(2):e1005847. doi:10.1371/journal.pgen.1005847. 39. Deng L, Ruiz-Linares A, Xu S, Wang S. Ancestry variation and footprints of natural selection along the genome in Latin American populations. Sci Rep. 2016;6:21766. doi:10.1038/srep21766. 40. Cochran G, Harpending H. The 10,000 year explosion: How civilization accelerated human evolution. New York: Basic Books; 2009. 41. Hawks J, Wang ET, Cochran GM, Harpending HC, Moyzis RK. Recent acceleration of human adaptive evolution. Proc Natl Acad Sci U S A. 2007; 104(52):20753–8. doi:10.1073/pnas.0707650104. 42. Schrider DR, Mendes FK, Hahn MW, Kern AD. Soft shoulders ahead: spurious signatures of soft and partial selective sweeps result from linked hard sweeps. Genetics. 2015;200(1):267–84. doi:10.1534/genetics.115.174912. 43. Kittles RA, Weiss KM. Race, ancestry, and genes: implications for defining disease risk. Annual review of genomics and human genetics. 2003;4:33-67. doi:10.1146/annurev.genom.4.070802.110356. 44. Karlsson EK, Kwiatkowski DP, Sabeti PC. Natural selection and infectious disease in human populations. Nat Rev Genet. 2014;15(6):379–93. doi:10. 1038/nrg3734. 45. Rosenberg NA, Huang L, Jewett EM, Szpiech ZA, Jankovic I, Boehnke M. Genome-wide association studies in diverse populations. Nat Rev Genet. 2010;11(5):356–66. doi:10.1038/nrg2760. 46. Diamond J. Guns, germs, and steel: The fates of human societies. New York City: WW Norton & Company; 1999. 47. Harper KN, Ocampo PS, Steiner BM, George RW, Silverman MS, Bolotin S, et al. On the origin of the treponematoses: a phylogenetic approach. PLoS Negl Trop Dis. 2008;2(1):e148. doi:10.1371/journal.pntd.0000148. 48. Mulligan CJ, Kitchen A, Miyamoto MM. Updated three-stage model for the peopling of the Americas. PLoS One. 2008;3(9):e3199. doi:10.1371/journal. pone.0003199. 49. Sanchez-Mazas A, Lemaitre JF, Currat M. Distinct evolutionary strategies of human leucocyte antigen loci in pathogen-rich environments. Philos Trans R Soc Lond Ser B Biol Sci. 2012;367(1590):830–9. doi:10.1098/rstb.2011.0312. 50. O’Fallon BD, Fehren-Schmitz L. Native Americans experienced a strong population bottleneck coincident with European contact. Proc Natl Acad Sci U S A. 2011;108(51):20444–8. doi:10.1073/pnas.1112563108. 51. Medina Rivas MA, Norris ET, Rishishwar L, Conley AB, Medrano Trochez C, Valderrama-Aguirre A, et al. El Chocó Colombia: a hotspot of human biodiversity. Revista Biodiversidad Neotropical. 2016;6(1):45–54. 52. Rishishwar L, Conley AB, Vidakovic B, Jordan IK. A combined evidence Bayesian method for human ancestry inference applied to Afro-Colombians. Gene. 2015;574(2):345–51. doi:10.1016/j.gene.2015.08.015. • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: Jordan Biology Direct (2016) 11:17 Page 8 of 8 http://dx.doi.org/10.1038/nature13408 http://dx.doi.org/10.1016/j.ajhg.2012.06.015 http://dx.doi.org/10.1016/j.tree.2013.08.003 http://dx.doi.org/10.1016/j.tree.2013.08.003 http://dx.doi.org/10.1371/journal.pgen.1003011 http://dx.doi.org/10.1038/nature10617 http://dx.doi.org/10.1038/nature10484 http://dx.doi.org/10.1371/journal.pgen.1004023 http://dx.doi.org/10.1371/journal.pgen.1004023 http://dx.doi.org/10.1038/nature11258 http://dx.doi.org/10.1534/genetics.113.160697 http://dx.doi.org/10.1038/srep12376 http://dx.doi.org/10.1086/520769 http://dx.doi.org/10.1016/j.cub.2009.11.055 http://dx.doi.org/10.1007/s00439-008-0541-5 http://dx.doi.org/10.1016/j.ajhg.2014.08.011 http://dx.doi.org/10.1101/gr.124784.111 http://dx.doi.org/10.1146/annurev-genom-082509-141523 http://dx.doi.org/10.1146/annurev-genom-082509-141523 http://dx.doi.org/10.1371/journal.pgen.1005847 http://dx.doi.org/10.1038/srep21766 http://dx.doi.org/10.1073/pnas.0707650104 http://dx.doi.org/10.1534/genetics.115.174912 http://dx.doi.org/10.1146/annurev.genom.4.070802.110356 http://dx.doi.org/10.1038/nrg3734 http://dx.doi.org/10.1038/nrg3734 http://dx.doi.org/10.1038/nrg2760 http://dx.doi.org/10.1371/journal.pntd.0000148 http://dx.doi.org/10.1371/journal.pone.0003199 http://dx.doi.org/10.1371/journal.pone.0003199 http://dx.doi.org/10.1098/rstb.2011.0312 http://dx.doi.org/10.1073/pnas.1112563108 http://dx.doi.org/10.1016/j.gene.2015.08.015 Abstract Background Presentation of the hypothesis Testing the hypothesis Implications of the hypothesis Reviewers Background The Columbian Exchange Adaptive introgression and rapid human evolution Presentation of the hypothesis Testing the hypothesis Implications of the hypothesis Reviewers’ comments Reviewer 1: Frank Eisenhaber, Bioinformatic Institute, Singapore Reviewer 2: Lakshminarayan Iyer, NIH,USA Reviewer 3: Igor B. Rogozin, NIH,USA Abbreviations Competing interests Author’s contributions Author’s information Acknowledgements Author details References 
work_447632ryfvepzkocy76rdmmm5u	----	JHEOR 175JHEOR | www.jheor.org 2017;5(2):175-82 | This is an Open Access article under the CC BY 4.0 license. The 500-year Cultural & Economic Trajectory of Tobacco: A Circle Complete Christopher A. Jones1,2,3, Amanda Wassel2, William Mierse4, E. Scott Sills5,6 1 Department of Biomedical Informatics, College of Health Solutions, Arizona State University, Phoenix, Arizona, USA 2 University of Vermont Health Network & Socio-Ecological Gaming Simulation Laboratory of the Community Development and Applied Economics Department; University of Vermont, Burlington, Vermont, USA 3 European Centre for International Political Economy (ECIPE), Brussels, Belgium 4 Department of History and Art History, University of Vermont, Burlington, Vermont, USA 5 Center for Advanced Genetics; Carlsbad, California, USA 6 Department of Obstetrics & Gynecology, Palomar Medical Center; Escondido, California USA Corresponding author: drsills@CAGivf.com Abstract Who smokes, and why do they do it? What factors discourage and otherwise reward or incentivize smoking? Tobacco use has been accompanied by controversy from the moment of its entry into European culture, and conflicting opinions regarding its potentially adverse influence on health have coexisted for hundreds of years. Its use in all forms represents the world’s single greatest cause of preventable disease and death. Tobacco was introduced to Europe by Christopher Columbus, who in October 1492 discovered the crop in Cuba. While the next four centuries would see tobacco as the most highly traded economic commodity, by 1900, the now familiar cigarette remained obscure and accounted for only 2% of total tobacco sales. Global tobacco consumption rose sharply after 1914 and became especially prevalent following World War II, particularly among men. Indeed, overall tobacco sales increased by more than 60% by the mid-20th century, and cigarettes were a critical driver of this growth. Cigarettes dominated the tobacco market by 1950, by then accounting for more than 80% of all tobacco purchases. In the absence of clinical and scientific evidence against tobacco, moral and religious arguments dominated opposition voices against tobacco consumption in the 1800s. However, by the mid-20th century, advancements in medical research supported enhanced government and voluntary actions against tobacco advertising and also raised awareness of the dangers associated with passive tobacco smoke exposure. Solid epidemiological work connecting tobacco use with “the shortening of life span” began to appear in the medical literature in the 1950s, linking smoking with lung cancer and related conditions. In subsequent years, these developments led to significant curtailment of tobacco use. This monograph explores aspects of the intersection of tobacco with themes of behavioral incentives, religion, culture, literature, economics, and government over the past five centuries. Keywords: tobacco; incentives; rewards; economics; health economics; society; religion; regulation; smoking JHEOR Jones CA, et al. 176 JHEOR 2017;5(2):175-82 | www.jheor.org INTRODUCTION A century-old riddle sets a peculiar challenge: To three fourths of a cross add a circle complete; Let two semicircles a perpendicular meet; Next add a triangle that stands on two feet; Then two semicircles, and a circle complete. Only one word in English could spell the answer to this geometry-savvy puzzle, as first framed in the 1907 George Welsh novel The Fragrant Weed. Cryptically packaging the familiar subject of tobacco as a playful riddle was not without good economic reason. Tobacco had already been the world’s single largest revenue-creating commodity for centuries. Long before Columbus set sail on the Santa Maria, this lant was used by native peoples for trade and in ritual in the Americas, and its popularity quickly spread after its introduction into Europe. Columbus himself described natives of the West Indies burning “perfumed herbs” and intentionally breathing the resulting smoke.1 Between 1492 and 1660, European explorers across the Americas recorded some 50 distinct native populations who used the tobacco plant. These foreign observers reported that tobacco was used for religious ceremonies and medicinal purposes, such as for toothaches, eye problems, and wounds.1 In the 1530s, during his travels near modern-day Montreal, Jacques Cartier described men carrying dried tobacco in bags and using pipes to “fill their bodies full of smoke, till that it commeth out of their mouth and nostrils, even as out of the tonnel of a chimny.” Tobacco use was not limited to the North American continent; the first protestant missionary in Brazil in the mid-1550s, Jean de Lery, sampled the tobacco of the local inhabitants and wrote that, “it seemed to satisfy and ward off hunger.”1 The phenomenal growth of interest in tobacco resulted from a lethal combination of addiction and profitability— factors which transformed tobacco into a cash crop on a scale scarcely seen before or since in world history. Yet, with tobacco’s immense popularity have come health consequences of an equally astounding magnitude. From a brain science perspective, tobacco is known to alter the hypothalamic-pituitary axis that controls fertility in addition to important growth and development functions. Tobacco is known to cause growth retardation and delayed brain development in infants born to mothers who smoke during pregnancy. Tobacco also predisposes populations to an increased likelihood and severity of costly chronic disease. We are well aware of the dangers of smoking. We may be less aware that the arc of tobacco’s cultural reception has been for centuries modulated by religion and government, tracing an unusual trajectory. In this work, we explore how these forces helped shape the modern cultural understanding of tobacco. ”PHYSIC” AND EARLY ADVOCACY FOR TOBACCO Tobacco entered the European marketplace around 1574 in part with the help of a popular medical text by Nicolas Monardes. This publication (and others of similar type) attempted to establish tobacco as a medical panacea. Disguised as a useful tool in contemporary medical practice, tobacco benefitted from an early association with professional medical practice and was robustly welcomed. While early shipment records (c.1600) show that some 25 000 pounds of tobacco were being imported into England every year, as the 17th century closed, this figure had increased to around 38 000 000 pounds annually.1 Although tobacco was warmly extolled as an essential cure-all by physicians and traders, there were contemporary detractors who voiced clear opposition to it. For example, King James I strongly denounced tobacco in his 1604 pamphlet JHEORJones CA, et al. 177JHEOR 2017;5(2):175-82 | www.jheor.org “A Counterblaste to Tobacco” which condemned the plant both for its negative spiritual and health effects. Smoking tobacco, James declared, was “sinning against God… [It was a] custome loathsome to the eye, hatefull to the nose, harmefull to the braine, dangerous to the lungs, and in the blacke stinking fume thereof, nearest resembling the horrible stigian smoke of the pit that is bottomelesse.”2 Yet such powerful statements by James I and other non-physicians had little effect on reducing the grip of tobacco upon the English people, and even less on the world beyond his realm. Up to the present day, tobacco has maintained a deadly hold on generations of men and women in every nation. As a commodity, it has funded wars, empires, expeditions, and helped build the very fabric of global economies. As accessory baggage on the worldwide tobacco train, numerous communicable diseases (polio, influenza, smallpox, syphilis, etc.) coming into and out of the “New World” brought millions to an early demise.1 Although cures for these ailments did eventually come in the form of medicines, vaccines, antibiotics, and better standards of living, human mortality curves shifted and unmasked lung cancer and other tobacco-related health problems as an important scourge upon human health for many generations. ECONOMIC & DEMOGRAPHIC DIMENSIONS In the United States, more than 16 million individuals now live with a disease caused by tobacco use including cancer, heart disease, and chronic obstructive pulmonary disease.3 The total annual economic impact of smoking in the United States in 2014 included about $170 billion in direct medical costs and about $156 billion in lost productivity.4 In the early 20th century, governments did little to discourage smoking. During World War II and the Korean Conflict, the U.S. Government provided no-cost cigarette allowances to soldiers stationed overseas while sharply discounting cigarette prices on U.S. military bases.5 In 1993, the U.S. Department of Veterans Affairs officially acknowledged the link between their past tobacco policies and negative health outcomes. As late as 2006, the U.S. Defense Department subsidized tobacco products for service members despite the U.S. Surgeon General’s report more than twenty years earlier detailing the dangers of smoking.5 The tobacco companies countered with the hollow innovation of “low tar” products and modified cigarette filter designs— marketing measures which had the unintended effect of attracting more women and minorities as first time smokers. In 1984, the U.S. Congress passed the Comprehensive Smoking Education Act which mandated changes in the way health warnings were displayed on cigarette packaging, including the statement “Smoking by pregnant women may result in fetal injury, premature birth, and low birth weight.” But have these anti-smoking measures worked? The results of this public health initiative, unfortunately, have been mixed: effectiveness in consumer education in the United States is likely positive, although the impact on tobacco consumption worldwide remains closely tied to monetary interests and is decidedly less encouraging. For example, in 2009 the highest percentage of male smokers over the age of 15 could be found in the Pacific island nation of Kiribati (more than 70%), followed by Greece at 63% and Indonesia at 61%. Likewise, the highest percentage of female smokers over age 15 was in Nauru (50%), followed by Austria (45%) and Kiribati (43%).6,7 Notably, China alone had >350 million smokers in 2003; their state-owned tobacco company manufactured 1.7 trillion cigarettes generating a profit of some two billion U.S. dollars—contributing 7.4% of central government revenue in China.8 While the Chinese government is aware of the negative health effects of tobacco and has taken official steps to restrict cigarette advertisements, reduce teen smoking, and discourage smoking in public, the sale of tobacco products curiously remains untaxed in China.8 India has the second largest population of smokers in the world. Indian health data from 2004 show that JHEOR Jones CA, et al. 178 JHEOR 2017;5(2):175-82 | www.jheor.org the direct medical costs to treat four major tobacco-related diseases was $1.2 billion, consuming 4.7% of the country’s total healthcare budget. Every year, about one million deaths occur in India due to tobacco-related diseases.9 Tobacco use thus poses an interesting economic dilemma that has remained unsettled for many years. While the individual and societal health costs of tobacco are undeniably high, the combined forces of corporate profits (including the impact of tobacco tax revenues and related lobbying) and personal addiction make it impossible to reduce tobacco use merely to a supply and demand equation. According to one model, increasing taxes to raise the retail price of a standard pack of cigarettes by 42% would result in a 9% reduction in daily smoking (66 million fewer smokers and 15 million fewer smoking-attributable deaths among adults in 2014). Revenue derived from tobacco sales would increase by 47%, yielding an additional $190 billion for government health spend.10 Against this background, more recent tactics of incentives against (or disincentives for) smoking have emerged with most jurisdictions requiring warnings and images on cigarette packaging, state taxes imposed on purchases, and even clinical programs that offer incentives to palliate tobacco users through short-term goals, such as cash rewards offered for every week of pregnancy that is completed smoke-free. RELIGIOUS THOUGHT AND THE “TOBACCO CULTURE” Even when not specifically crafted for public policy purposes, incentives may be used to promote positive behavior. This notion certainly preceded tobacco’s arrival in European culture and famous examples survive in spiritual thought, art, and architecture. Among the most visually striking “incentives” are images developed in the 12th century as decoration for churches, particularly those on the pilgrimage route to Santiago de Compostela. The Last Judgement was a common theme in these depictions, and that at Saint Lazare at Autun by Gislebertus offers perhaps a representative illustration. It occupies the arched space (tympanum) above the structure’s main entrance. The central figure is Christ the Judge presented as isolated from the rest of the scene, impassive and uninterested in what happens around him. He of course needs no incentive, but appears as one. To his right are the saved, to his left the damned, and below are seen souls awaiting the final judgment. The immediate message seems apparent, “At the moment of the Last Judgment, it will be too late to repent.” Those who have lived a good life will join the ranks of the saved, while those who have not repented will face the demons of hell. Monstrous forms hint of the pains that await the damned. Among the souls to be weighed are those of clergy and nobles, as well as those of more modest folk. All face the same fate, to be weighed and, if found wanting, to be condemned. The visual message is easy to read, and its intention is clear. To escape the horrors of hell, the soul must be judged to be pure. The behavior being promoted is that which corresponds to church teaching, and it is only by practicing such behavior that eternal damnation is to be avoided. Yet, Christ is shown as the highest incentive figure just as the demons and the hell represent disincentives. The message conveyed by this magnificent artwork can be summarized as: live a good Christian life, and you may spend eternity in heaven with your Savior.11 The Roman Catholic Church does not condemn smoking, but considers excessive smoking to be sinful, as described in the Catechism:12 “The virtue of temperance disposes us to avoid every kind of excess: the abuse of food, alcohol, tobacco, or medicine.” Jehovah’s Witnesses have not permitted any active members to smoke since 1973, and their literature warns about physical and spiritual dangers of smoking.13 These directives were later expanded to include electronic cigarettes.14 Seventh-day Adventists, an international non-conformist denomination, have since their foundation in 1863, maintained a distinctive healthcare model for their members. The lifestyle has included vegetarian diet and abstinence from tobacco and other harmful substances.15,16 Moreover, this religious group has called for governments to enact policies that include a uniform ban on all tobacco advertising, stricter laws prohibiting smoking in non-residential public places, more aggressive and JHEORJones CA, et al. 179JHEOR 2017;5(2):175-82 | www.jheor.org systematic public education, and substantially higher taxes on cigarettes.17 The founder of the Latter Day Saint (LDS, Mormon) movement, Joseph Smith, recorded that on February 27, 1833 he received a revelation which addressed tobacco use. It is commonly known as the Word of Wisdom (Section 89 of the Doctrine and Covenants), and prohibits the smoking or chewing of tobacco. While initially regarded only as a guideline, this was eventually incorporated into official LDS Church policy and is now also observed to varying degrees by other LDS denominations. The effects of these practices have been extensively studied and the cancer rate (all types) for male LDS members is nearly 25% less than the comparable national rate. In addition, there appears to be a 50% lower rate of cancers associated with cigarette smoking among LDS men.18 There remains an extraordinarily high rate of tobacco use in southeast Asia.19 Findings from national adult tobacco studies reveal that very few daily users of tobacco plan to discontinue its use. In predominantly Buddhist Cambodia, faith-based tobacco control programs have been implemented where, under the 5th Precept of Buddhism which proscribes addictive behaviors, monks were encouraged to quit tobacco and temples have been declared smoke-free. In one nationwide study on tobacco use throughout Cambodia, investigators found that most individuals (n=13 988) favored Buddhist monks not using any tobacco whatsoever and that the Wat (temple) should be smoke-free. Thus, anti-tobacco sentiments figure prominently in the belief system of Cambodian adults and could be helpful in augmenting anti-tobacco campaigns in this region.20 Likewise in South America, religiosity has been identified as a strongly protective factor against tobacco consumption and use of other addictive substances among Brazilian university students.21 Islam was historically neutral towards smoking, but as health dangers emerged many leaders within influential mosques began to argue that it was “markrooh” (discouraged) or even “haram” (prohibited). Because such sentiments, if widely held, would be catastrophic to the tobacco economy as well as to collective human addictions, Islamic scholars sympathetic to tobacco have been enlisted to argue against strict prohibitions; Islamic theology has also been combed to provide interpretations of the Koran that are friendlier to tobacco. “The industry has sought to distort and misinterpret the cultural beliefs of these communities and to reinterpret them to serve the industry’s interests,” noted Kelley Lee of Simon Fraser University, one of the authors involved in researching this topic. “All to sell a product that kills half of its customers.”22 Populations with large Islamic influences remain critically important to transnational tobacco corporations because they represent growth markets where smoking rates are likely to rise. In contrast, recruitment of new smokers in the Middle East has been less effective among Jewish males, where tobacco uptake has been relatively low for several years.23 In parallel, corporate interests perceive Islam as developmentally antagonistic to tobacco markets where demographic features offer relatively large and young populations of millions of potential future customers. To maximize penetration into these emerging markets, the tobacco industry has mobilized alliances to negate any regulation hostile to its commercial interests,24,25 and began to frame antismoking views within the Islamic community as eccentric and fanatical.26 Not surprisingly, such efforts to find culturally appropriate measures to support tobacco use conflict with the provisions of the World Health Organization’s Framework Convention on Tobacco Control.26 Evidence exists to support the association of positive cultural and artistic smoking portrayals with youth smoking initiation, thus captivating new tobacco consumers who are likely to purchase the product for decades. In Iran, the ten most commercially successful films released over the past 30 years were recently assessed to measure this effect. The proportion of Persian movies depicting tobacco use was 36% in 1982-1991, 60% in 1992-2001 and 74% in 2002-2011, and the mean proportion of each movie’s running time where smoking was JHEOR Jones CA, et al. 180 JHEOR 2017;5(2):175-82 | www.jheor.org shown also grew significantly during this period.27 Perhaps more alarmingly, while the depiction of tobacco use in American (G-rated) films seems to be decreasing, parents should be aware that nearly half of feature “films for children” normalize tobacco use and fail to convey its long-term health effects to impressionable audiences.28 In social media, researchers (including author CJ) found that 80% of e-cigarette related tweets in the Twittersphere were found to be “bots,” created by e-cigarette companies, targeting kids and purporting to be other kids sharing their “success” stories with e-cigarettes.29 CONCLUSIONS The most recent information regarding worldwide smoking shows that about 80% of smokers are men and many of them live in developing countries. Tobacco remains very big business, no matter what scale is used— nearly 20% of the world population now smokes cigarettes. While the prevalence of tobacco use has plateaued or diminished in countries with advanced economies, the rest of the world shows an uneven consumption pattern with only 10 countries accounting for 60% of all tobacco use worldwide—a list led by China. Many interlocking cultural and economic factors are responsible for this arrangement. Tobacco markets have not been financially satisfying in some locations. In Australia, smoking is in decline with 2011–13 data revealing only 16% of the adult population smokes—down from a rate of 22.4% in the previous decade. In the USA, smoking rates have fallen precipitously over 40 years, from 42% to about 20% of adults (1965 vs. 2006). When adequately resourced, the smoking cessation efforts for many states have shown a nearly immediate return on investment (ROI), with every 1 USD invested achieving 3-5 USD in downstream savings, especially in the area of maternal-fetal medicine, not to mention tobacco as a gateway drug to many other substances, including alcohol and opiates that have reached epidemic levels of misuse. It is difficult to overstate the impact of socio-cultural elements of art and religion in fashioning health behaviors among young adults. Young adults are the most likely age group to take up smoking, with a marked decline in smoking rates as populations age, become better educated, and enter employment. Tobacco use is inversely associated with socioeconomic status, with the most disadvantaged quintile of the population registering a rate of tobacco consumption more than double that of the most socioeconomically advantaged “top quintile.” Nowadays tobacco has evolved—its use in language has been replaced with terms like “e-cigarette.” Smoking is part of our everyday culture; it is even a metaphor for describing beauty. Poet Laureate Donald Hall reminds readers of the “dead metaphor,” and the circle complete has left more dead than all the combat and civilian casualties from all wars over the past century. Those least able to afford tobacco and its ill health consequences remain paradoxically the most likely to purchase tobacco products. It therefore appears that the old reservations concerning tobacco by James I were correct, after all; in this new century, we have indeed come “full circle.” While our analysis merely scratches the surface of how interconnected tobacco is to history, economy, religion and culture, it is hoped that by highlighting these issues we may find better ways to navigate a healthier path on the circle of life. CONFLICT OF INTEREST The authors report no conflict of interest. ACKNOWLEDGEMENTS The authors wish to acknowledge the support of the Vermont Tobacco Evaluation and Review Board and Erin Hurley, Eric Clark and Rick Valenta for their helpful collaborations. JHEORJones CA, et al. 181JHEOR 2017;5(2):175-82 | www.jheor.org REFERENCES 1 Mancall PC. Tales Tobacco Told in Sixteenth-Century Europe. Env His 2004;9(4):648-78. 2 James I (of England). A Counterblaste to Tobacco (public domain). Univ Texas Library: https://www.laits. utexas.edu/poltheory/james/blaste/blaste.html. Accessed 29 August 2017. 3 U.S. Surgeon General. The Health Consequences of Smoking—50 Years of Progress (Executive Summary). U.S. Department of Health & Human Services, Public Health Service, Office of the Surgeon General (Rockville, MD) 2014:1-36. 4 Xu X, Bishop EE, Kennedy SM, Simpson SA, Pechacek TF. Annual healthcare spending attributable to cigarette smoking: an update. Am J Prev Med 2015;48(3):326-33. 5 Bedard K, Deschênes O. The Long-Term Impact of Military Service on Health: Evidence from World War II and Korean War Veterans. Am Econ Rev 2006;96(1):176-94. 6 World Health Organization Report on the Global Tobacco Epidemic, 2008. United Nations Press, WHO 2008: 8. 7 World Health Organization Report on the Global Tobacco Epidemic, 2015. United Nations Information Office: http://www.who.int/tobacco/surveillance/policy/country_profile/kir.pdf Accessed 29 August 2017. 8 Hu TW, Mao Z, Ong M, et al. China at the crossroads: the economics of tobacco and health. Tob Control 2006;15 Suppl 1:i37-41. 9 John RM, Sung HY, Max WB, Ross H. Counting 15 million more poor in India, thanks to tobacco. Tob Control 2011;20(5):349-52. 10 Goodchild M, Perucic AM, Nargis N. Modelling the impact of raising tobacco taxes on public health and finance. Bull World Health Organ 2016;94(4):250-7. 11 Snyder J. Medieval Art: Painting-Sculpture-Architecture, 4th-14th Century. Prentice-Hall 1988:287 (Figs. 358 & 359). 12 Vatican Library: Catechism of the Catholic Church (Part III, sec. 2). http://www.vatican.va/archive/ccc_ css/archive/catechism/p3s2c2a5.htm. Accessed 29 August 2017. 13 Watchtower [newspaper]. Awake! Why Quit Smoking? March 22, 2000:4-7. 14 Watchtower [newspaper]. What Is God’s View of Smoking? June 1, 2014:4. 15 Eklöf M. Medicine on mission: The international health reform of Seventh-Day Adventists and their health care facilities in Sweden. Sven Med Tidskr 2008;12(1):119-41. 16 McKenzie MM, Modeste NN, Marshak HH, Wilson C. Religious involvement and health-related behaviors among Black Seventh-Day Adventists in Canada. Health Promot Pract 2015 Mar;16(2):264-70. 17 Seventh Day Adventist Statement. Smoking and Tobacco (policy directive). The Seventh-day Adventist Church: https://www.adventist.org/en/information/official-statements/statements/article/go/-/smoking- and-tobacco/ Accessed 29 August 2017. 18 Lyon JL, Gardner K, Gress RE. Cancer incidence among Mormons and non-Mormons in Utah (United States) 1971-85. Cancer Causes Control 1994 Mar;5(2):149-56. 19 Rerksuppaphol L, Rerksuppaphol S. Prevalence of Cigarette Smoking and Associated Risk Factors amongst Middle-School Students in Ongkharak District, Thailand. J Med Assoc Thai 2015;98 Suppl 9:S1-8. JHEOR Jones CA, et al. 182 JHEOR 2017;5(2):175-82 | www.jheor.org 20 Yel D, Bui A, Job JS, Knutsen S, Singh PN. Beliefs about tobacco, health, and addiction among adults in Cambodia: findings from a national survey. J Relig Health 2013;52(3):904-14. 21 Gomes FC, de Andrade AG, Izbicki R, Moreira Almeida A, Oliveira LG. Religion as a protective factor against drug use among Brazilian university students: a national survey. Rev Bras Psiquiatr 2013;35(1):29-37. 22 Dyer O. Tobacco industry sought to prevent Islamic fatwas against smoking. British Medical Journal 2015;28(350):h2281. 23 Saabneh AM. Arab-Jewish gap in life expectancy in Israel. Eur J Public Health 2015 Nov 26. pii: ckv211 (in press). 24 Assunta M, Chapman S. A mire of highly subjective and ineffective voluntary guidelines: tobacco industry efforts to thwart tobacco control in Malaysia. Tob Control 2004;13 Suppl 2:ii43-50. 25 Nakkash R, Lee K. The tobacco industry’s thwarting of marketing restrictions and health warnings in Lebanon. Tob Control 2009;18(4):310-6. 26 Petticrew M, Lee K, Ali H, Nakkash R. Fighting a hurricane: tobacco industry efforts to counter the perceived threat of Islam. Am J Public Health 2015;105(6):1086-93. 27 Heydari G, Ebn Ahmady A, Lando HA, et al. Time trend of smoking scenes in Iranian movies during the past three decades (1982-2011): a historical analysis. Tob Control 2015 Jul 14. pii: tobaccocontrol-2014-051958 (in press). 28 Thompson KM, Yokota F. Depiction of alcohol, tobacco, and other substances in G-rated animated feature films. Pediatrics 2001;107(6):1369-74. 29 Clark EM, Jones CA, Williams JR, et al. Vaporous marketing: uncovering pervasive electronic cigarette advertisements on Twitter. PLoS One 2016; 11(7):e0157304. 
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work_476nlhgp25afdob63fst4tx5ki	----	Hindawi Publishing Corporation Journal of Oncology Volume 2011, Article ID 408104, 8 pages doi:10.1155/2011/408104 Review Article Tobacco and the Escalating Global Cancer Burden Richard F. Oppeltz and Ismail Jatoi Department of Surgery, The University of Texas Health Science Center, Mail Code 7738, 7703 Floyd Curl Drive, San Antonio, TX 78229, USA Correspondence should be addressed to Ismail Jatoi, jatoi@uthscsa.edu Received 14 December 2010; Revised 28 March 2011; Accepted 10 May 2011 Academic Editor: Venkateshwar Keshamouni Copyright © 2011 R. F. Oppeltz and I. Jatoi. This is an open access article distributed under the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. The global burden of cancer is escalating as a result of dramatic increases in the use of tobacco in the developing world. The use of tobacco is linked to the development of a broad variety of cancers, mainly lung cancer, the single most common cancer in the world. Tobacco smoking-attributable deaths extends beyond cancer and include stroke, heart attack and COPD. Widening disparities in cancer-related mortality have shifted towards a more dramatic burden in the developing world. Appropriate interventions must be implemented to reduce tobacco use and prevent global mortality that has escalated to epidemic levels. Tobacco control policies, including public health advertisement campaigns, warning labels, adoption of smoke-free laws, comprehensive bans and tax policies are highly effective measures to control tobacco use. Clinicians and academic institutions have to be actively committed to support tobacco control initiatives. The reduction in cancer related morbidity and mortality should be viewed as a global crisis and definitive results will depend on a multilevel effort to effectively reduce the burden of cancer, particularly in underprivileged regions of the world. 1. Introduction The global burden of cancer is escalating, largely due to dra- matic increases in the use of tobacco in less developed nations [1]. Indeed, overall cancer rates appear to be increasing in developing countries, even while they remain generally stable or show small decreases in many industrialized countries [2, 3]. Thus, global changes in tobacco use may eventually produce large disparities in cancer-related mortality rates between the developed and less developed countries of the world [4]. The purpose of this paper is to highlight the trend towards increased tobacco use and the increasing cancer burden in developing countries and suggest steps that might be taken to reverse this alarming trend. Tobacco was widely used by the Mayans and other Native Americans well before Christopher Columbus introduced it to Europe in 1492. Within 150 years after its introduction to Europe, tobacco use was common throughout the world. Over the centuries, the methods of tobacco usage have changed considerably. In the 18th century, snuff held sway; the 19th century was the age of the cigar; the 20th century saw the rise of the manufactured cigarette and with it a greatly increased number of smokers [5]. Although the worldwide use of tobacco has steadily increased since the 16th century, early public statements showed its disapproval as stated by James I of England in his Counterblaste to Tobacco in 1604: “Smoking is a custom loathsome to the eye, hateful to the nose, harmful to the brain, dangerous to the lungs, and in the black, stinking fume thereof nearest resembling the horrible Stygian smoke of the pit that is bottomless.” Thus, even though its health risks have been acknowledged for centuries, tobacco use throughout the world continues to increase. Most people who use tobacco regularly do so because of their addiction to nicotine, a major component of cigarettes. Although the majority of users express a desire to reduce their use or stop entirely, overcoming the addiction is difficult and may require both pharmacologic and behavioral treatments. Recent research has clarified the addictive nature of nicotine, and it appears to be similar to that of the opiates, cocaine, or other illicit drugs [6, 7]. Environmental factors likely also contribute to the increased use of cigarettes. For many, the behavior of smoking is not simply a matter of addiction, nor one of poor self-image, but also occasionally to underlying mental illness [8]. mailto:jatoi@uthscsa.edu 2 Journal of Oncology 2. Tobacco-Associated Cancers The association between tobacco and lung cancer was initially demonstrated by Doll and Hill in the 1950s in the UK [9]. Since then, additional case-control studies [10] and prospective cohort studies [11] have all affirmed the association between tobacco and the development of lung cancer. Indeed, lung cancer was rare in the early decades of the 20th century, but with the increase in smoking tobacco, it has become an alarming epidemic. The tobacco hazard, although clearly linked to the development of lung cancer, also causes an increased risk of several other cancers, notably oral, larynx, pharynx, esophagus, stomach, liver, pancreas, kidney, bladder, uterine cervix cancers, and myeloid leukemia [12]. There is a clear dose-response relationship between cancer risk and tobacco use. A lifetime smoker has a risk 20–30 times greater than of a nonsmoker [13]. More than 4,000 chemicals have been identified in tobacco smoke, and some 60 are known or suspected carcinogens [14]. Each cigarette brings approximately 10 mg of soot, tar, ash, phenols, benzpyrene, hydrogen cyanide, formaldehyde, and radioactive polonium 210 into the lungs of the smokers [5]. 3. The Global Problem Worldwide, cancer is responsible for 1 out of every 8 deaths (more than HIV/AIDS, tuberculosis and malaria combined [15]), and tobacco use is responsible for one-third of all cancer-related deaths [16]. The International Agency for Research on Cancer (IARC) estimates that there were approximately 12.7 million new cases of cancer diagnosed in the world in 2008, and 7.6 million deaths attributed to it [17]. Furthermore, tobacco is responsible for 87% of all deaths attributable to lung cancer [18], now the single most common cancer in the world. It is estimated that by 2030 lung cancer will be the sixth most common cause of death in the world, compared with its current ranking of ninth [19]. Tobacco smoking-attributable illness extends beyond cancer and includes stroke, heart attack, and COPD. Indeed, total tobacco-attributable deaths are projected to rise from 5.4 million in 2005 to 6.4 million in 2015 and to 8.3 million in 2030 [19], with an estimated 600,000 deaths attributable to second-hand smoke [20]. These projections are based on models that show a three- to four-decade lag between the rise in smoking prevalence and the increase in smoking- attributable mortality that results from it [21]. Yet, if appropriate measures to control tobacco were implemented, a large proportion of these deaths could be averted. A number of indirect methods to estimate the mortality attributable to tobacco use have been developed; however, limitations related to specific countries and age population groups have been noted in the literature [22–25]. Unless there is widespread cessation of smoking, approxi- mately 450 million deaths will occur as a result of smoking by 2050, and most of these will occur in current smokers [26]. For instance, the global burden of lung cancer has shifted significantly from approximately 31% of cases occurring in developing countries, to now up to 55% occurring in these countries [27]. This makes the widening disparities in cancer-related mortality between developed and developing countries even more tragic. Indeed, the World Health Orga- nization (WHO) estimates that 40% of all cancers diagnosed today could have been prevented, partly by maintaining healthy diet, promoting physical activity, and preventing infections that may cause cancer, but largely through tobacco control [28]. Although the contribution of tobacco use to disease and death is well known, less attention has been given to the ways in which tobacco increases poverty and broadens social inequalities [29]. For example, in Vietnam, the amount spent on cigarettes ($US 416.7 million) is enough to feed 10.6– 11.9 million people per year [30]. Furthermore, it has been reported that in China, poor individuals may spend up to 60% of their income on cigarettes, taking away money from food and children education [31]. Serious environmental problems are also associated with tobacco production, which requires the greater use of fertilizers and pesticides and massive deforestation for curing tobacco leaves. One tree is wasted for every three hundred cigarettes produced, and it is estimated that land used for tobacco cultivation worldwide could potentially be used to feed about 10 to 12 million people [32]. As in other agricultural sectors, child labor is prevalent in the tobacco farms, particularly in the poorer areas, where up to 80% of children are missing school and/or undertaking hazardous tasks due to farm work [33]. Currently, smoking imposes a huge economic burden in developed countries, responsible for 15% of the total healthcare costs [34]. Developing countries, with higher population growth rates, are not prepared to cope with such increases in their healthcare expenditures. 4. Tobacco Industry In many industrialized countries, tobacco use appears to be declining, largely due to the diligent efforts of public health officials. In response to these declines, the tobacco industry is now targeting third world markets, not only to expand their markets, but also as a source of less expensive tobacco. The tobacco industry includes some of the most powerful transnational companies in the world. These companies sell about six trillion cigarettes each year, which accounts for the largest share of manufactured tobacco products, comprising 96% of the total value sales [35]. The industry is highly concentrated within a handful of firms. The global tobacco market, valued at US$ 378 billion, grew by 4.6% in 2007 and by the year 2012 is expected to increase another 23%, reaching US$ 464.4 billion [36]. China is the biggest tobacco market, based on total cigarettes consumed. There are some 350 million smokers in China who consume around 2,200 billion cigarettes a year, or about 41% of the global total. However, the industry in China is state owned. Outside of China, the four largest publicly- listed international tobacco companies account for about 46% of the global market. Although the tobacco compa- nies have experienced declines in profits in industrialized Journal of Oncology 3 countries, their overall profits are increasing, driven by world population growth, particularly in Asia. The tobacco companies have reacted to stagnating demand on their traditional markets in basically three ways: consolidation (dominating the business by few but very influential com- panies), diversification (by producing low- and high-quality cigarettes and geographic diversification), and increasing productivity [37]. Worldwide, even if the prevalence of tobacco use falls, the absolute number of smokers will increase due to the huge population of the developing world [38]. The giant multinational cigarette companies generally find that the political and social climate in the developing world is conducive to their business [39]. Governments in these countries use tobacco taxation as a source of much needed revenue and, therefore, do very little to discourage tobacco use. Furthermore, people in the developing world are generally much less knowledgeable about the health risks associated with cigarettes, and there exist very few anti- smoking campaigns, with tobacco products often carrying no health warnings [40]. In Pakistan, for example, health warnings, even if available, tend to be very vague and poorly understood [41]. High-tar cigarettes, banned in developed countries, continue to be sold in the developing world. For example, nicotine contents for Indonesian kreteks or clove cigarettes are between 1.7 and 2.5 mg per stick compared with <0.05 and 1.4 mg per stick for cigarettes sold in the USA [42]. Yet, the tobacco companies are continuing their market- ing efforts in the industrialized countries as well. Although no other consumer product is more dangerous or kills as many people as does tobacco, it still remains the most advertised product in the USA, with estimated advertising expenditures in the tens of billions of US dollars every year [35]. Facing global antitobacco forces, the tobacco industry is already moving beyond what they refer to as “light” and “mild” cigarettes to a new generation of tobacco prod- ucts referred to as “potential-reduced exposure products” (PREPs) [43]. These products, which have been in develop- ment for decades, are the next step after filters and low- delivery “light” and “mild” cigarettes. The essential idea behind PREPs is that they will deliver the levels of nicotine required for a smoker’s addiction with less (but some) of the toxins associated with smoking [44]. Yet, these products clearly are associated with alarming health risks, downplayed by the tobacco industry. In May, 1999, researchers of the World Bank’s Health, Nutrition and Population sector published a paper entitled “Curbing the Epidemic: Governments and the Economics of Tobacco Control.” This document concluded that tobacco control is not only good for health, but also good for the economy. Yet, multinational tobacco companies have attempted to use their own “economic impact studies” to convince governments that, contrary to the World Bank’s conclusion, tobacco use benefits the economy. Thus, the tobacco industry continues its diligent efforts to undermine any threat to its profits. There are several investigators who have argued that the tobacco industry propagates disinformation, manipulates research, and generates faulty information concerning the effects of tobacco use and second-hand smoke [7, 45]. 5. The Growing Problem in the Developing World Worldwide, cigarette consumption is increasing at a rate of about 3% annually. In Asia, Southern and Eastern Europe, and developing countries, tobacco use is increasing at about 8% per year. Yet, in some industrialized countries, smoking rates are decreasing at about 1% a year, largely due to the implementation of significant anti-tobacco programs. As with all other epidemics involving a major behavioral component, the exact timing, duration, and magnitude of the smoking epidemic will vary significantly from one country to another. In China and many other developing countries, the rate of tobacco-related deaths is rising rapidly. China is now beginning to face the detrimental consequences of tobacco use, as many millions of individuals who began smoking in adolescence are now aging. Yet, it will be around 2030 before the epidemic of tobacco-related deaths peaks in China at the level achieved in the United States in 1990 [46]. Indeed, lung cancer rates in China have already been increasing about 4.5% a year. These trends reflect significant policy deficiencies towards tobacco use in developing countries. Most cigarettes are now consumed and produced in Asia. China alone produces close to 40 percent of world total, followed by India, Brazil, and USA (Figure 1). Neither tobacco nor cigarettes are a homogeneous product. Different conditions in the tobacco growing areas, (type of soil, rainfall, irrigation, and climate) handling and processing, ultimately will influence the quality of the leaf and the smoking product. Most manufacturers use a blend of different tobaccos in their product. However, the tobacco’s leaf quality and additive contents will affect the particular taste of a cigarette brand and certainly the price [47]. The increasing incidence of cancer in developing coun- tries reflects a transition in the global burden of disease away from one previously dominated by infectious diseases. This shift is also partly due to the ageing of the population and public health interventions such as vaccinations and the provision of clean water and sanitation in the developing world, all of which have served to reduce the burden of infectious diseases. Also some of the environmental, social, and structural changes linked to the transformation of a country from agrarian to industrial and then to a postindustrial state may lead to increased longevity in the population. As cancer is more common in the older age groups, cancer rates are expected to increase accordingly. Yet, public health interventions can effectively lower the cancer rates. Low- and middle-income countries, faced with the tobacco epidemic, can learn from the tobacco-control successes in high-income countries by enacting cost-effective tobacco-control policies. Such policies can effectively reduce the burden of cancer. 4 Journal of Oncology 10,000–99,999 1,000–4,999 Less than 1,000 No tobacco grown No data Land devoted to growing tobacco Area in hectares, 2004–2007 100,000 or more 5,000–9,999 Tobacco grown on more than 0.25% of agricultural land, 2005 Figure 1: World land devoted to growing tobacco. The Tobacco Atlas, third edition. “Reprinted by the permission of the American Cancer Society, Inc., The Tobacco Atlas, 3rd Edition. American Cancer Society 2009, http://www.cancer.org/. All rights reserved.” 6. Global Approaches to an Escalating Cancer Burden Many interventions (public health advertising campaigns, warning labels on tobacco products, etc.) that were devel- oped in the industrial world to curb tobacco use should be urgently implemented in the developing world. Interventions to reduce tobacco use may not only avert a large burden of unnecessary deaths, but also save governments huge health care costs. To prevent death or morbidity from cancer, interventions should target behaviors or risk factors that are responsible for tobacco use, and these interventions should be cost effective [48]. The Disease Control Priorities Project (DCPP), a joint effort of the Fogarty International Center of the US National Institutes of Health (NIH), World Health Organization (WHO), and The World Bank, was launched in 2001. This project aims to assist decision makers in developing countries find affordable, effective interventions to improve the health and welfare of their populations [49]. The spirit of international cooperation is exemplified in The Tobacco Control Country Profiles database, a data collection initiative led by the American Cancer Society, the World Health Organization (WHO), and the Centers for Disease Control and Prevention. It represents a worldwide information system to support global tobacco control efforts [50]. The World Health Organization (WHO) has led interna- tional strategies to eradicate tobacco use. The WHO Frame- work Convention on Tobacco Control (FCTC), the first global treaty in response to the tobacco epidemic, adopted in 2003, sets the foundation for price and nonprice population- based control interventions to reduce both demand for and supply of tobacco products and provides a comprehensive direction for tobacco control policy at all levels (Table 1). As of October 2010, 172 countries have ratified the treaty, representing 87.3% of the world’s population. Up to a 21% reduction in smoking prevalence can potentially be achieved by implementing important interventions, such as increased taxes on tobacco products, enforcement of smoke-free workplaces, controls on packaging and labeling of tobacco products, and a ban on tobacco advertising, promotion, and sponsorship [51]. The Tobacco Control Program of the WHO was devel- oped in response to the globalization of tobacco use. It is based on the principles of the FCTC, provides data- supported effective measures for tobacco control at all levels, and launches an annual global report summarizing the most current status of the application of those strategies. In 2008, WHO introduced a package of principles under the acronym of MPOWER intended to assist in the country-level implementation of effective measures to reduce the demand for tobacco. Table 2 summarizes those key points. There are dozens of more national and international nongovernmental organizations which address tobacco con- trol as part of their activities and numerous additional partner organizations that promote tobacco control among their initiatives [35]. Despite significant improvements worldwide in cancer diagnosis and treatment, much still remains to be done [52]. Cancer is a global challenge. Health-oriented resources should be allocated to collect accurate cancer data [53]. In http://www.cancer.org/ Journal of Oncology 5 Table 1: Key policy provisions of the WHO framework convention on tobacco control [8]. FCTC article no. Policy 6 Price and tax measures to reduce demand. 8 Protection from exposure to tobacco smoke. 9 Regulation of the contents of tobacco products. 10 Regulation of tobacco product disclosures. 11 Controls on packaging and labeling of tobacco products. 12 Programs of education, communication, training, and public awareness. 13 Bans on tobacco advertising, promotion, and sponsorship. 14 Programs to promote and assist tobacco cessation, and prevent and treat tobacco dependence 15 Elimination of illicit trade in tobacco products. 16 Measures to prevent the sale and promotion of tobacco to young people. 17 Provision for support for alternative crops to tobacco. 20 Provision for an epidemiologic monitoring system. 22 Cooperation among the parties to promote the transfer of technical and scientific expertise on surveillance and evaluation. Table 2: World Health Organization MPOWER key points [1]. Monitor tobacco use and prevention policies. Protect people from tobacco smoke. Offer help to quit tobacco use. Warn about the dangers of tobacco. Enforce bans on tobacco advertising, promotion, and sponsorship. Raise taxes on tobacco. developing countries, cancer registries are perceived as a luxury and rarely provided sufficient resources. International scientific societies have defined standards for cancer data collection, starting with a hospital-based registry which can be the first step towards the formation of a population- based cancer registry. The major aim of a cancer registry is to produce and interpret data to develop country-specific research protocols and cancer control plans [54]. In high-income countries, comprehensive bans on all advertising, promotion, and sponsorship protect people from industry marketing tactics and decrease tobacco con- sumption by approximately 7%. It has been suggested that these preventive measures might be twice as effective in low and middle-income countries potentially reducing global cancer mortality rates [55, 56]. The Family Smoking Preven- tion and Tobacco Control Act, a United States federal law that gives the Food and Drug Administration (FDA) the power to regulate the tobacco industry, was signed into law on June 22, 2009 by President Barack Obama. The Tobacco Control Act requires that cigarette packages and advertisements have larger and more visible graphic health warnings (including nine new textual warning statements and color graphics depicting the negative health consequences of smoking) and a prohibition on the manufacture of products that use the terms “light,” “low,” “mild”, and similar descriptors [57]. Tax policies that raise the price of tobacco products are the single most effective approach for reducing demand, since consumption is highly influenced by the extent to which smokers can afford to purchase cigarettes [58]. Price increases are especially effective against the initiation of smoking in youth and motivating addicted smokers to quit [59]. A 10% price increase may cause a 4% drop in tobacco consumption in high-income countries and an 8% drop in low- and middle-income countries, in addition to increasing tobacco tax revenue [60]. Additional price cap regulations (wherein a cap is placed on the pretax cigarette manufacturers’ price) limits excess profits for the tobacco industry and increases government revenue [61]. The magnitude of the price increase is one of the most important predictors of an intention to quit/smoke compared with the average cigarette price. However, the availability of alternative (cheaper) cigarette sources may reduce but would not eliminate the impact of higher prices/taxes on the expected intention to stop smoking [62]. Illegally sold cigarettes evade taxes, and indeed, smugglers put cheap cigarettes into the hands of those most vulnerable, the developing countries, where those activities have been rising exponentially. Tobacco has now become the world’s most widely smuggled legal substance. The World Health Organization estimates that as many as 25% of all cigarettes sold in the world are smuggled. For the international gangs that organize the traffic, it is even more profitable than drug smuggling [63]. Cessation programs have been shown to provide benefits to certain populations [64]. Cessation programs have a role at all levels of the health workforce, including primary care, health specialists, and smoking cessation specialists. Adoption of smoke-free laws, included in the article 8 guidelines of the FCTC, has been shown to reduce hospital admission for heart attacks and results in an overall decrease in acute coronary events [65]. Multiple successful examples of countries and cities around the world that have implemented smoke-free laws support the fact that with adequate planning and resources, tobacco-free enforcement protect health and profits the economy [66]. Latin America remains at the forefront of global progress with Colombia, Guatemala, Paraguay, Peru, and Honduras recently added to that growing list [67]. The European Union is proposing a full-scale ban on branded cigarettes, forcing tobacco companies across the continent to sell their products in generic, plain packaging. Worldwide, 25 countries already switched from text to graphic health warnings [68]. International organizations and governments have found certain constraints and barriers to succeed in the war against tobacco: lack of adequate technical and financial resources and capacities for tobacco control; weakness or lack of effective national legislation on tobacco control; lack of public and media awareness of the harmful effects of tobacco use; tactics of the tobacco industry in hindering 6 Journal of Oncology effective implementation of already adopted legislation or interference in the development of such legislation; lack of or insufficient political will or intersectoral cooperation in tobacco control [69]. Tobacco control policies implemented in high-income countries may not necessarily have a similar effect in low- and middle-income countries, and public health officials should consider this possibility when planning appropriate interventions [70]. In summary, the definitive results in public health improvement will depend on how aggressive a particular government is on implementing the elements of the WHO’s FCTC. 7. Clinician and Academic Institution-Based Initiatives Many of the cancers that pose the greatest threat to developing countries are directly linked to tobacco use. In developed countries, most patients have access to a full range of healthcare resources, including smoking cessation programs, but this is not the case in the developing world. In the developing world, primary care physicians and health workers will need to be more involved in cancer control through health promotion programs that emphasize the hazards of tobacco use and prioritize tobacco cessation. Moreover, many low- and middle-income countries will likely see greater increases in quality-adjusted life years (QALYs) through implementation of smoking cessation interventions, tax policies, bans of promotion and adver- tisement, and adoption of smoke-free laws, mainly because tobacco-related cancers are preventable, and specialty cancer care is often limited in these countries [15]. The role of the health professionals is critical in tobacco control. At the local level, brief clinical interventions should be implemented based on patient’s willingness to quit. Strategies should be implemented to advise patients to quit, to reinforce their decision to quit, and identify those who are at risk for relapse to smoking, providing such individuals with counseling, pharmacotherapy, or both [71]. Unfortunately, in many countries, the prevalence of health professional smokers is similar to that of the general population. To set an example, health professionals should be urged to stop smoking [72]. Thus, the eradication of tobacco should become a priority for not only governments, but also medical schools and physicians. Multiple studies have shown that there are differences in patient approach, assistance [73], and educational role between smoking versus nonsmoking physicians [74]. Smok- ing physicians benefit from practical assistance in quitting themselves and providing support to their patients [75]. In 2008, the U.S. Department of Health and Human Services launched a Clinical Practice Guideline, which summarizes the most updated recommendations in clinical treatments for tobacco dependence based on systematic review of evidence-based research that should be implemented by every physician [64]. Along the effective strategies available, clinicians also must be committed to follow a code of professional ethics regarding tobacco. Those should include (1) physicians not smoking, (2) make tobacco cessation assistance a routine part of oncology care, (3) establish all medical facilities to be 100% smoke-free, (4) teaching physicians should lead their students to never become smokers and train them in the prin- ciples of smoking cessation, (5) reject any involvement of the tobacco industry in financing research, training programs, or treatment services for patients, Several international societies have trained medical and surgical oncologists as part of their effort to address the bur- den of cancer in developing countries. Available educational resources for clinicians in developing countries include the European School of Oncology (ESO), the International Cam- paign for the Establishment and Development of Oncology Centres (ICEDOC), the Global Core Curriculum in Clinical Oncology developed by the European Society for Medical Oncology (ESMO), and the American Society for Clinical Oncology (ASCO), among several others [76, 77]. Unfortunately, some academic institutions have received funds from the tobacco industry to support biomedical research. Universities and researchers must understand the motivation underlying such offers of support. By legitimizing the tobacco industry, universities risk their integrity, values, and public trust [78]. Academic institutions should therefore reject offers of funding from the tobacco industry. 8. Conclusion The reduction of cancer-related morbidity and mortality in developing countries should now become an urgent global priority. Developing countries already have enormous limitations in resources and are unable to cope with an escalating cancer burden. Additionally, an escalating cancer burden in developing countries is not in the best interests of the developed world and should be viewed as a global crisis. Urgent efforts are now needed to curb the widespread use of tobacco and thereby effectively reduce the burden of cancer, particularly in underprivileged regions of the world. References [1] Preventing Chronic Diseases: A Vital Investment, World Health Organization, Geneva, Switzerland, 2005. [2] R. Nugent, “Chronic diseases in developing countries: health and economic burdens,” Annals of the New York Academy of Sciences, vol. 1136, pp. 70–79, 2008. [3] Cigarette Smoking among Adults and Trends in Smoking Cessation—United States, 2008, Centers for Disease Control and Prevention (CDC), Atlanta, Ga, USA, 2009. [4] P. 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[69] 2010 Global Progress Report on the Implementation of the WHO Framework Convention on Tobacco Control, World Health Organization, Geneva, Switzerland, 2010. [70] I. Jatoi, K. M. Cummings, and E. Cazap, “Global tobacco problem getting worse, not better,” Journal of Oncology Practice, vol. 5, no. 1, pp. 21–23, 2009. [71] J. H. Black III, “Evidence base and strategies for successful smoking cessation,” Journal of Vascular Surgery, vol. 51, no. 6, pp. 1529–1537, 2010. [72] R. Fakhfakh, M. Hsairi, and N. Achour, “Epidemiology and prevention of tobacco use in Tunisia: a review,” Preventive Medicine, vol. 40, no. 6, pp. 652–657, 2005. [73] M. Kawakami, S. Nakamura, H. Fumimoto, J. Takizawa, and M. Baba, “Relation between smoking status of physicians and their enthusiasm to offer smoking cessation advice,” Internal Medicine, vol. 36, no. 3, pp. 162–165, 1997. [74] S. 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Brandt, A Not-So-Slippery Slope, American Association of University Professors, 2010. http://www.reportingproject.net/underground/ http://www.reportingproject.net/underground/ http://www.globalsmokefreepartnership.org/ http://www.globalsmokefreepartnership.org/ http://www.tobaccolabels.ca/ http://www.tobaccolabels.ca/ Introduction Tobacco-Associated Cancers The Global Problem Tobacco Industry The Growing Problem inthe Developing World Global Approaches to an Escalating Cancer Burden Clinician and AcademicInstitution-Based Initiatives Conclusion References 
work_4cdcrpwiqvbudkrna2nonphsbu	----	Nature vol 138-n3493.indd © 1936 Nature Publishing Group 608 NATURE OCTOBER 10, 1936 Dr. P. Eggleton's paper dealt with some aspects of this very difficult subject. If a dead muscle is suspended in Ringer's solu- tion, dissolved substances can diffuse freely into the whole of the water of the tissue. When the muscle is alive, most electrolytes can diffuse into one third only of the water it contains ; the remaining two thirds are inaccessible to them. Glucose also has access to one third only, but urea can diffuse freely throughout. Histidine can diffuse throughout, but not its derivative carnosine. It is impossible at present to understand the partitioning mechanism underlying these facts, but some mechanism there must be. The electrical potentials that are developed at cell surfaces are generally believed to be due to unequal concentrations of electrolytes on the two sides. The frog's skin develops such a potential between its two surfaces, but only so long as oxidative chemical reactions are going on, pre- sumably to provide energy for maintaining a con- centration gradient. Mr. 0. Ga.tty has found that specific types of chemical reaction are necessary for this purpose, and is endeavouring to work out their course in detail. Mr. J. S. Mitchell's experiments have been con- cerned with a rather special problem, the chemical changes in proteins brought about by ultra-violet light ; but the method used is one of very general interest and great importance. It is to study the process in monomolecular films spread on a water surface. In such films the molecules can be definitely orientated and molecular structures and transformations may be studied directly. Many important cell constituents and other substances of biological interest can form monomolecular films, so that this very powerful method can be applied to them. A. D. R. Obituary Dr. J. B. Charcot T HE wreck of the polar yacht Pourquoi Pas 'I in a furious gale on the coast of Iceland on September 16, with the loss of all on board but one, was a tragic but not an inglorious end to a famous ship and to the life of the brilliant explorer whose career was so closely bound up with her for nearly thirty years. Jean Baptiste Charcot was born in 1867, the son of a famous physician and neurologist, Prof. J. M. Charcot. He studied medicine in Paris and was for a time an assistant in the Pasteur Institute. Although he published several papers on medical subjects which were not without merit, circumstances deter- mined that his reputation was to rest not on his professional achievements but on the outcome of his devotion to the sport of yachting. Charcot's love of the sea brought him under the influence of the revival of polar exploration at the beginning of the present century and fired him to take a part. He raised funds for the purchase and equipment of a small ship, renamed the Franr;ais, for an arctic voyage, but changed the scene of his exploration to the Antarctic and sailed in 1903 with the intention of searching for the missing expedition of Otto Nordenskjold in the Weddell Sea. When in South America he heard of Nordenskjold's relief, and took the Franr;ais to the west side of Graham Land, there to continue the work begun by Gerlacbe in the Belgica. He reported the existence of Loubet Land south of Graham Land, and pushed on within sight of Alexander I Land ; but the main value of the expedition lay in the physical observations and natural history collections made with the aid of his efficient scientific staff during two years. On his return, Charcot secured Government support for a second expedition, and after a close study of the British, German and Norwegian polar ships, he had the Pourquoi Pas? designed to unite the best features of them all. In her he cruised for two years, 1908-10, to the west and south of Graham Land, giving precision to the somewhat nebulous lands seen from the Franr;ais. He explored the coast of a large island south of the Antarctic Circle to which be gave the name of Adelaide Island, believing it to be an ex- tension of the small island so named by Biscoe in 1832. South of Adelaide Island he discovered a large inlet which he named Marguerite Bay and a new land south of Alexander I Land to which he gave the name of his father. These lands he could not approach, and he believed them to be islands lying off the Antarctic continent. As on the previous expedition, the main value of the researches on the Pourquoi Pas ? came from the very extensive series of magnetic, meteorological and oceanographical observations and the collections of geological and zoological specimens. After completing the publication of his results, Charcot continued to make oceanographical summer cruises in the Pourquoi Pas?, especially in the Green· land Sea and along the west of Scotland. He was one of the very small number of sailors to effect a landing on the remote islet of Rockall, 185 miles west of St. Kilda, and he acquired an intimate know- ledge of the complex coMts of the Outer Hebrides. At the beginning of the Great War his Government insisted on placing him in the Army medical service, but he succeeded in proving that he was a better sailor than a surgeon, and received a commission in the French Navy. Later he was given command of © 1936 Nature Publishing Group OCTOBER 10, 1936 NATURE 609 a British vessel with a combined French and British crew, and in her he rendered valuable service by preventing the establishment of enemy submarine bases in the desolate harbours of the west of Scotland which he knew so well. After the War, Charcot continued to visit East Greenland on summer training cruises with young French sailors. He made a trip to Scoresby Sound in 1931 to select a site for the French station for the Polar Year observations of 1932-33, and afterwards transported the party of French physicists to and from the Sound. He rendered willing and efficient help to many of the recent Greenland expeditions. To young explorers Charcot was always a generous friend and a wise counsellor, and he gave the full benefit of his experience to Mr. Rymill of the British Graham Land expedition which is now in the field. Charcot was a man of great personal charm and high culture. His literary style was clear and graceful, and his speeches on his many visits to England Wl'lre always bright and to the point, for he had a perfect command of the English language and a gift for making enduring friendships. Apart from his scientific writings and his polar narratives, he was the author of a very attractive book on Christopher Columbus in which historical critics recognized the value of the interpretation of Columbus's voyages by a scientific man with a practical knowledge of seafaring. Charcot's genius won for him full recognition as a leading man of science both at home and abroad. He was a member of the Institut de France and of the Academies of Sciences and Marine, received the gold medals and honorary membership of all the chief geographical societies of the world, and at the time of his death was president of the Paris Geographical Society. HuGH RoBERT MILL. Dr. A. Anderson DR . .ALEXANDER ANDERSON, whose death at the age of seventy-eight years occurred on September 5, was a physicist and mathematician of note. He was professor of experimental and mathematical physics at University College, Galway, for almost fifty years. He was one of the last holders of the joint chairs of experimental and mathematical physics, a distinction shared with Prof. Morton of Belfast, who paid a graceful tribute to him in The Times of September 10. Dr. Anderson was born in 1858. He studied in Queen's College, Galway (as it was then called), and graduated in 1880. He won an entrance scholarship to Sidney Sussex College, Cambridge, in 1881. He was sixth wrangler in 1884. After a short period in the Cavendish Laboratory under Sir J. J. Thomson, he was appointed professor at Galway in 1885. He became president there in 1899 and held both offices until his resignation in 1934. Anderson is perhaps best known for his method of measuring self-inductance, which is in general use in laboratories of physics and electrical engineering. Two other of his methods have become standard practice, namely, his method of mea.'luring surface tension and his method of measuring the viscosity of a gas. From 1890 onwards he published many papers in experimental and mathem11.tical physics on optics, electrostatics, electromagnetics and relativity. Of his researches in experimental physics, possibly the most important is his contribution to the theory of contact differences of potentiaL In mathematical physics his papers mainly deal with new methods of approach to older theory. The remarkable thing about Anderson was his really wide knowledge of experimental and mathe- matical physics and his continuous keenness as a teacher, especially of advanced students. I remember hearing the late Prof. McClelland, his most dis- tinguished student, state many years ago that it was usual for his advanced lectures on mathematical physics to go on continuously for three hours, and this was his practice almost up to his retirement. He simply revelled in physical and mathematical problems. Personally Dr. Anderson was a most kindly man with a marked sense of humour. M. P. Prof. Antoine Meillet WE regret to record the death of M. Antoine Maillet, professor of philology at the College de France, and president of the Historical and Philo- logical Faculties at the Ecole des Hautes Etudes, Paris, which took place at Chateaumeillant (Cher) on September 22, at the age of seventy years. Prof. Meillet was born at Moulins (Allier) on November 11, 1866. He became a lecturer in the Ecole des Hautes Etudes in 1891. From 1904 until 1906 he was a professor of the Ecole des Langues Orientales Vivantes and in the latter year was appointed to the chair of comparative philology in the Ecole de France. M. Maillet was regarded as one of the most eminent philologists of the day, his researches ex- tending over the whole field of the Indo-European and Iranian languages. His "Introduction a !'Etude Comparative des Langues Europeennes", first pub- lished in 1897, has been through many editions, the last appearing in 1934. WE regret to announce the following deaths : Prof. Henry Le Chatelier, For. Mem. R.S., and honorary fellow of the Chemical Society, on September 17, aged eighty-five years. Brig.-General Sir Brodie Haldane Henderson, K.C.M.G., C.B., president in 1928-29 of the Institution of Civil Engineers, who designed the Lower Zambezi Bridge, on September 28, aged sixty-seven years. Lieut-Colonel R. Knowles, C.I.E., acting director of the Calcutta School of Tropical Medicine, known for his work on medical protozoology, on August 3, aged fifty-two years. Dr. A. H. Mackenzie, C.S.I., C.I.E., pro-Vice- Chancellor of the Osmania University, Hyderabad, who was a member of the recent Quinquennial Reviewing Committee of the Indian Institute of Science, Bangalore, on September 26, aged fifty-six years. Obituary 
work_4e6xauvjorcy5o7ytcdwagx3ta	----	RESEARCH Open Access Dialogic meaning construction and emergent reading domains among four young English language learners in second-language reading Deoksoon Kim Correspondence: deoksoonk@usf. edu Foreign Language Education and Second Language Acquisition/ Instructional Technology (SLA/IT), Secondary Education Department, 4202 East Fowler Ave, EDU 105, Tampa, FL 33620, USA Abstract Rapid growth of English language learner populations has challenged teachers, particularly because English language learners’ academic success and second- language literacy are closely linked. Using qualitative research methods and verbal protocols, this study pursued two goals, namely examining English language learners’ meaning-making processes as they engage in reading activities and how they construct meaning within particular contexts. Results document that dialogic responsive reading offers English language learners the zone of meaning construction for apprehending and mastering within and about domains. These English language learners adopted dialogic-responsive reading, relying on five domains: cultural, aesthetic, efferent, dialogic, and critical. These domains offer English language learners an evolving responsive reading strategy to develop second- language literacy. These five domains are interwoven with the cultural knowledge, prior experiences, and performance styles of diverse learners to render the learning process more meaningful and effective. English language learners position themselves centrally, retaining their cultures’ values, experiences, and perspectives while embracing new content and knowledge in the reading process. Keywords: English language learner, Dialogic meaning making, Second-language literacy, Cultural knowledge Background Literacy is crucial to English language learners’ (ELLs’) academic success: It enables them to become active learners and social beings in an English-speaking culture (Cum- mins 1992). The rapid growth of the ELL population over the past decade (Peregoy and Boyle 2008) has demanded teachers’ and administrators’ attention and challenged them pedagogically. As the number of ELLs continues to rise, researchers continue to describe the challenges of learning to read in a first language (L1) and a second lan- guage (L2). ELL refers to learners who are learning English as their second language after learning a first language other than English (Stern 1983). Given the complex pro- cess of L2 reading, exploring L2 reading processes is demanding (Fitzgerald 1995; Koda 2007). Researchers agree that these processes are closely linked to academic suc- cess (August and Shanahan 2006; Cummins 1992). Over the past decade, a convergence of state and federal policies has emphasized and institutionalized the teaching of reading and reading skills and subskills (e.g., phonemic Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 © 2011 Kim; licensee Springer. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. mailto:deoksoonk@usf.edu mailto:deoksoonk@usf.edu http://creativecommons.org/licenses/by/2.0 awareness, phonics, vocabulary; Pacheco 2010). Whereas some reading researchers argue that these skills and subskills are essential aspects of the reading processes (National Institute of Child and Health and Human Development [NICHD] 2000), others have strong concerns about teaching narrow skills-based reading approaches to ELLs (Olson 2007). Furthermore the main trend moves quickly to whole texts, empathizing reading fluency to enhance reading comprehension, whereas a more balanced approach may be more helpful to some students (Alexander and Fox 2004). L2 reading appears to be a more complex process than L1 reading (Fitzgerald 1995): In their report on the National Literacy Panel, August and Shanahan (2006) demon- strated an urgent need to support ELLs ( language-minority students) in their rapid growth. They addressed ELLs’ challenges in reading and writing well in English and indicated that the nation’s K-12 schools, should urgently address the close link between ELLs’ English proficiency and their empowerment and future success. They identified six key elements for ELLs’ literacy development: (1) Key components of read- ing consist of phonemic awareness, phonics, fluency, vocabulary, and text comprehen- sion (NICHD 2000). (2) High-quality instruction in the key components of reading boosts oral proficiency. (3) Oral proficiency and literacy in L1 facilitate literacy devel- opment in English. (4) There are important individual differences in L2 learning (i.e. general language proficiency, age, English oral proficiency, cognitive abilities, previous learning, and the similarities and differences between the first language and English). (5) Due to the challenges, better assessments for ELLs must be developed. (6) Finally, home language experiences have a positive impact on literacy achievement. Initially, however, August and Shanahan (2006) stated that there little evidence of the impact of sociocultural variables in literacy achievement or development based on the panel’s summary. In contrast, Cummins (2009) argued that sociocultural factors are significant in L2 learning in his review of August and Shanahan (2006), and Pray and Jimenez (2009) accepted Cummins’ claim, which interestingly was against the Panel’s recommendation. This important debate lead me to explore the involvement of social factors in L2 literacy and further discuss the uniqueness of ELLs’ L2 reading. It evolves from both the first and second languages and other factors such as linguis- tic differences between L1 and L2, cultural differences, and the particular context. His- torically, the cognitive processes involved in L2 reading have been discussed with various foci. Studies have examined ELLs’ language acquisition (Ellis 2008) and focused on textual components such as L2 vocabulary acquisition, grammatical structures, and the appreciation of L1 linguistic knowledge for L2 reading (Koda 2007; McElvain 2010). Some researchers have also focused on the interrelationship between L1 and L2, such as L1 positive transfer to L2 learning and how L2 reading skills transfer to L2 reading proficiency (Koda 2007; McElvain 2010; Yamashita 2002). Few studies, how- ever, address L2 reading processes and dialogic meaning construction, critical areas for understanding L2 reading processes and vital for providing appropriate pedagogical recommendations. As Freire observed in 1970, ELLs are historical, cultural, social, and political beings, and L2 reading is a sociocultural practice (Perez 1998). L2 reading pro- cesses for English, however, have not yet been fully discussed and there is an urgent need to discuss ELLs’ L2 reading processes in situated contexts (boundaries of dialogue in social contexts according to Bakhtin 1986). From a sociocultural perspective, reading is a vital system for communication and interaction (Perez 1998). Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 2 of 21 The definition of literacy has evolved to encompass the entire process of thinking and meaning-making (Goodman 1987), which is how readers make sense of texts. Au (1993) extended the definition of literacy from mere reading and writing to include “the ability and the willingness to use reading and writing to construct meaning from printed text, in ways which meet the requirements of a particular social context” (p. 20). She emphasized the importance of the readers’ willingness or feelings about read- ing and writing on the process, suggesting the reader plays a central role in the con- struction of meaning. Goodman (1987) defined L1 reading traditionally as “meaning construction.” Morti- mer and Scott (2003) described the meaning-making process (interchangeable with meaning construction in this paper) as “dialogic in nature as the students try to make sense of what is being said by laying down a set of their ‘own answering words’ to the words of the teacher” (p. 122). Based on Dewey’s (1933) philosophy, Krauss (2005) observed, “human beings have a natural inclination to understand and make meaning out of their lives and experiences” (p. 762), and reading (meaning making) occurs in “dialogic” ways (Bakhtin 1986). Reading is the purposeful construction of meaning within or about the situated context called dialogue (Bakhtin 1986), also known as communication or a semiotic exchange (Gee 2008). Johnson (2004) stressed that L2 learning can be explored socioculturally when the dialogic perspective of L2 reading is emphasized. Furthermore, the U.S. “National Reading Panel Report: Teaching Children to Read” suggested effective reading instruction for children. Particularly, this document recom- mended the importance not only of practicing reading aloud, but also of teaching stra- tegies to improve reading comprehension (International Reading Association 2002). The report’s summary highlighted the effective instructional strategies of vocabulary and text comprehension (International Reading Association 2006). This study investigated the L2 reading processes of four elementary ELLs, focusing on the interactions between the learners and various texts in situated contexts. Using qualitative and verbal protocols, I sought to elicit and examine ELLs’ meaning-making processes. This study pursued two goals: the examination of (a) ELLs’ meaning-making processes as they engage in reading activities focusing on learner’s internal cognitive reading process and (b) how they construct meaning within the particular contexts (including such social factors as cultural background, personal experience, L1 and L2 literacy skills, and oral language proficiency). To answer these questions, I reviewed the available contemporary literature on L2 reading, including the cognitive and social aspects of L2 reading. Next, I expanded the discussion to include the dialogic reading process. L2 Reading Research ELLs have various L2 proficiencies, cultural orientations, and cognitions, all closely related to age differences (Koda 2007; Stern 1983). Koda (2007) documented three major components of reading: (a) decoding (extracting linguistic information directly from print); (b) text-information building (integrating the extracted information into written form); and (c) reader-model construction (synthesizing the incorporated text information with prior knowledge p. 4). L2 reading obviously involves two languages. According to McElvain (2010), linguistic knowledge and prior knowledge help ELLs to Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 3 of 21 construct meaning while engaging in reading events. ELLs’ language proficiency (Koda 2007) and their L1 skills are directly linked to their L2 reading abilities (McElvain 2010). Cummins’ (1992) exploration of the cross-linguistic relationship in reading skills demonstrated that L2 reading success depends primarily on L1 literacy competence. Related studies discussed the relationships between L1 literacy skills and L2 reading (McElvain 2010), L2 language proficiency and L2 reading (Koda 2007; Yamashita 2002), and L1 literacy skill and L2 proficiency’s influence on L2 reading (Nassaji 2007). Likewise, prior learning experiences can be considered a reservoir of knowledge, skills, and abilities to be employed when learning a language and literacy skills (Koda 2007; McElvain 2010). L2 reading is the product of word decoding, vocabulary knowledge, grammatical skills, and oral text comprehension (McElvain 2010). L2 proficiency with vocabulary and grammatical skills, however, appears closely linked to reading fluency and compre- hension (McElvain 2010). Koda (2007) discussed the role of linguistic knowledge in text-information building, emphasizing syntactic awareness and text-structure knowl- edge. Word-recognition and decoding-skill studies showed that these skills cannot cover the full process of reading (Avalos 2003). Researchers have documented contemporary L2 reading theory and reading strate- gies, but have not yet focused on the dialogic responsive reading process. Johnson (2004) emphasized that dialogic responsive reading is comparable to the sociocultural perspective in L2 learning. ELLs are at the centre of meaning construction, struggling to make meaning out of strange and foreign words, and their dialogic meaning con- struction must be closely observed and addressed. Dialogic Responsive Reading Dialogue is described as a, “give-and-take exchange of language between two indivi- duals” (Uebel 2007, p. 331). Bakhtin (1986) saw the individual utterances in a dialogue as the junction between a speaker’s specific speech intent and the listener’s responsive- ness; these two elements are constant and stable and create original meaningful lin- kages within the given boundaries. These two entities, speaker and active listener, create the true essence of meaning through purposeful exchanges. Bakhtin (1986) described dialogue as “The life of the text ... always develops on the boundary between two consciousnesses, two subjects” (p. 107), the author and the reader. Reading is an utterance within the given boundary, a kind of literacy work (Bakhtin 1986). The boundary can be a “rejoinder, letters, diaries, inner speech, and so forth” (p. 115). Bakhtin referred to reading as “an utterance” that creates brand new innovative mean- ings, claiming that the possibilities in the written word are utterly boundless. The ELL who reads is as important as the author and is always central to meaning making, either obtaining knowledge, connecting to culture, engaging in lived-through experience (Rosenblatt 1978) reaching that deeper level of connection that generates readers’ reading pleasure, dialoguing, or creating entirely new meanings from the read- ing (Bakhtin 1986; Freire 1970). Within the L2-reading focus, responsive reading has been referred to under various names, for example, (Rosenblatt’s 1978; 1986) efferent and aesthetic reading; Perez’s (1998) literacy as a cultural practice, which means literacy makes sense within the given context; Bakhtin’s (1986) reading as a dialogue; and Paulo Freire’s (1970) critical Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 4 of 21 literacy. These responsive readings demonstrate different foci of meaning making, but all represent a dialogue between the reader and the text in the situated context. Rosenblatt’s (1978) reader-response theory sees the reader as either gaining a lived- through experience (interchangeably aesthetic) or obtaining information from the text (interchangeably efferent), which is how the ELL creates a dialogic relationship with the text. This relation could be efferent (informative) or aesthetic–transactions occur- ring with the text through the reader’s lived experience, based on the reader’s engage- ment with the text, which will reflect the reader’s level of direct attention. Our individual experience is the sum of these transactions, and the continuous processing of these transactions is the ever-increasing enlargement of experience. Dialogue, an invitation to think and produce meaning, is frequently referred to as dialogic thinking (Bakhtin 1986; Wells 2007). Dialogic thinking goes well beyond two people talking, essentially including any form of two-way semantic interchange between speakers, building a mosaic of new meaning among various texts (Hartman 1995), as well as between readers and texts (Rosenblatt 1978). When literacy is viewed as culturally and politically embedded cross-cultural communication (Freire 1970), the ELLs’ cultural and political contexts become inseparable from utterances, content, style, and arrangement (Bakhtin 1986). ELLs’ cultural and political contexts may differ from those of the text. L2 reading is also “a set of cultural practices and a product of cultural activity” (Perez 1998, p. 252). ELLs identify with words based on their under- standing of the texts (Koda 2007), relying on their historical, cultural, and social back- grounds to understand the words. Creative and critical thinking (Freire 2000) helps language learners develop aware- ness of others and value and appreciate differences. Such thinking also fosters con- structive analytical skills, sensitivity to others, cultural and critical awareness of the self and others, and an evolving worldview (Freire 1970). L2 reading praxis, reflective and active meaning creation through reading texts (Freire 2000), engages learners in learning language and in reading, analysing events and situations from various perspectives to understand how these perspectives position readers in the world. In this instance, reading is a core force of literacy and active learning; reading becomes a basic medium for evoking one’s power in life (Freire 1970, 2000). Freire (2000) pointed to the re-creator concept of reading through the dialogic relationship between the author and reader: The ELL who reads becomes a rewriter, composing a new story while making meaning within the author’s authority. L2 read- ing entails a critical perception of the world and the transformation of the world through practical action and reflection (Freire 2000). While reading, ELLs act as both reader and writer to create comprehension (Bakhtin 1986; Freire 2000). These theories all clearly demonstrate the degree of dialogue and interrelationship among the reader, the text, and the context. Reading is a dialogic responsive process of meaning construction, with the reader responding to the text by creating a unique transactional moment in a particular time and space, the situated context (Rosenblatt 1978). All reading processes are closely linked to the boundary of dialogue and to the vital essence of dialogue. ELLs construct meaning by creating dialoguing with their past experiences and social interactions with others (Windschitl 2000). Learning to read and write are constituted as acts of knowing, reflected as values, or situated as discourse within a given cultural and social context (Gee 1996; Perez 1998). When Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 5 of 21 considered as a dialogue focusing on the reflective process and meaning production, reading becomes a powerful, essential method of transformation whenever the reader encounters a new concept or constructs meaning from the word. Dialogic reading occurs in situated contexts in suitable domains. Domains as Peripheries of Situated Meaning Dialogue or reading requires a “boundary” with the text to make sense of it in a situ- ated context (Bakhtin 1986; Gee 2008). Language and reading have particular meanings in any particular context (Rosenblatt 1978), a concept very similar to Gee’s (2008) ideas on domains. Gee defined authentic learning in a domain as learning that “leads to growing mastery of the semiotic domain’s design grammar and growing member- ship in its associated affinity group” (p. 139). For Gee (2008), design grammar is a set of principles or patterns that legitimate materials in the domain. The domain situates authentic learning (Lave and Wenger 1991), which is situated meaning (Perez 1998), as learners make sense of semiotic domains within the given contexts. Thus, within a domain, multimodalities (i.e., words, symbols) have meanings and combine together (Gee 2008). Gee also emphasized that learning is a trajectory for developing mastery status in the semiotic domains. By learning semiotic domains, learners can associate certain rules and content with affinity groups–groups of people associated within a semiotic domain. These individuals share a community of practices, a set of common goals, and subscribe to common values and norms (Lave and Wenger 1991). Methods This fifteen-month qualitative research involved four second- and third-grade ELLs in the same classroom at an middle-class, urban public elementary school in the south- western United States. As a participant observer (Merriam 1998), I examined how ELLs constructed meaning. Using qualitative research (Lincoln and Guba 1985) as a general method, I inductively analysed the verbal protocol tasks and the interview data. Verbal protocols captured the moments when thinking processes occurred (Ericsson and Simon 1993; Pressley and Afflerbach 1995). The main question of the protocols was based on a fundamental question–"What’s on your mind?"–while the students were reading stories. Verbal protocols include think aloud (verbalized concurrently), introspection (verbalized with explanations of the readers’ thoughts) and retrospection (verbalized immediately after the task; Ericsson and Simon 1993). Verbal protocols provide a window into ELLs’ thinking process. The modified research method for this study sought a verbal report, but sought it in a method focused on comfort, a safe set- ting, in an open, friendly atmosphere for the young readers to vocalize their thoughts, minimizing any discrepancies between the ELLs’ thinking process, vocalization, and language ability. The study’s verbal protocols consisted of think-aloud and retrospec- tive protocols. Setting and Nature of the Instruction Two language arts/literature classes provided the social context for this study: Ms. Green’s language-arts and literature classroom for 10 months and Ms. Lopez’s class- room for 5 months (all names are pseudonyms). Both were certified ESOL teachers and promoted interaction among students using small-group activities. Ms. Green, Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 6 of 21 monolingual, always with a smile, promoted collaborative learning and scaffolding, encouraging students to work in groups and to help one another with questions. Her classroom was equipped with bilingual texts, dictionaries, and other hands-on materials for ELLs. Ms. Lopez, bilingual (Spanish and English), promoted bilingualism and var- ious approaches and learning, while clearly recognizing that ELLs have many strengths. For example, her classroom had many Spanish vocabulary cards on its walls. Participants Using purposive sampling (Merriam 1998), I selected four second-grade ELLs, Hiroki, Jaewon, Maria, and Evert as participants for this study. The four ELLs had different first languages and cultures and had been learning English for under three years. These four ELLs lived near their school in lower-middle-class neighbourhoods. Hiroki, a seven-year-old Japanese American, identified his main hobby as “doing chess.” Ms. Green told me that Hiroki was an excellent problem solver and excited about creating new ideas. Hiroki spoke Japanese at home and had eighteen months of English experience, giving him an intermediate command of English. He was learning Kanji through a correspondence course at home with his mother. Jaewon, a seven-year-old Korean American, was an exemplary second grader with a positive attitude toward his teacher, his peers, and his class. Though born in the Uni- ted States, Jaewon spoke Korean fluently at home, so English was his L2 with three years of English education. His home environment contained various Korean books, songs, and decorations depicting “little Korea.” When I tried to speak with his mother in English, she was not able to respond to me. Her English proficiency was that of a total beginner. I only spoke with her in Korean, and, throughout her interview, she expressed her concern about her poor English proficiency affecting Jaewon’s academic progress. Maria, an eight-year-old Mexican American, learned Spanish as her first lan- guage. She had lived in the United States for 10 months when my research began. Flu- ent in Spanish, she was a beginner in English. Maria’s mother was a competent bilingual who was born in the U.S. and came to Mexico at her age of 18. She had lived for 16 years in Mexico. Maria’s mother reported that L1 knowledge supported her learning English as an L2, as Maria understood how to use language and language structures (Bigelow and Tarone 2004). She spoke Spanish at home and often used Spanish while reading stories and when she became excited. Evert, a nine-year-old Swede, had come to the United States with his family just one week before I met him. A third grader in his school, Evert joined this second-grade classroom for the language arts and literature as a pull-out because the teachers were ESOL-certified. He was a total beginner in English. With his advanced L1 literacy skills, Evert’s L2 English developed remarkably swiftly. In four months, he was able to read a first-grade book with only minor help. I assessed each ELL’s English proficiency based on the teacher’s evaluations, their standard test scores (school diagnostic report, STAR reading, APS word-recognition placement inventory), various documents (spelling tests, math tests, quarterly tests, reading scores), and my own observations. I also assessed their L1 proficiency based on their parents’ evaluations and my own 15 months of observations. L2 reading profi- ciency was measured by spelling tests and the school diagnostic report. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 7 of 21 Materials The materials included culturally related and culturally unrelated content; I chose the selections for each ELL relative to his or her specific L1 cultural orientation, cognition, level of task, reading level, and English proficiency based on Bishop’s (1993) cultural- relevance guidelines. The stories I defined as culturally related included the ELL’s cul- tural concepts, ethnicity, cultural heritage, L1, events, and experiences. Although each ELL used various texts, this study’s focus was not the ELLs’ reading performance or on comparing the children’s reading abilities. Rather, this study explored the children’s dialogic responsive meaning construction. The culturally related stories included Passage to Freedom for Hiroki, Woodcutter and Tiger Brother for Jaewon, I Hate English (related because the story involves com- ing to the United States) for Evert and Maria, Pettson and Findus for Evert, and Family Pictures for Maria. The culturally unrelated material included two depictions of Chris- topher Columbus (Follow the Dream and Encounter) and Hiroko Makes the Team for Hiroki and Jaewon, and Wilfrid Gordon McDonald Partridge for Evert and Maria. Per- sonal experience, such as arrival in the United States, was classified as culturally related material for the ELLs. Since the ELLs were all from different countries and at various stages of English proficiency, it was not possible to use the same texts; instead, I chose the texts to fit each ELL, based on cultural criteria (Bishop 1993) and consultation with each teacher. Data Collection Multiple case studies and verbal protocols helped ensure the trustworthiness of the study’s findings. I drew upon four sources of data concerning the ELLs’ reading pro- cesses: 1. Observation: As a participant-observer, I visited the participants’ classrooms once or twice a week for three or four hours each visit and collected field notes. 2. Interviews: During the research period, I conducted two interviews with each participant, their parents, and their teachers. Evert’s mother participated as a trans- lator in Evert’s first interview and verbal protocol. After that, Evert was able to par- ticipate in other activities with minimal assistance from his mother. 3. Verbal-protocol reports: Each student conducted three verbal protocols, based on cultural orientation and English proficiency. 4. Documents: I reviewed the ELLs’ classroom documents (reading responses, jour- nals, and test scores). The verbal-protocol sessions were conducted under my guidance. Verbal-protocol sessions included one training session and three protocols held in the classroom and home settings. The prompts provided after each session followed the retrospective-pro- tocol guidelines. The prompts consisted of questions related to meaning construction ("Can you retell the story?”) and dialogue and interaction between the story and the reader ("How do you feel after reading the story?”). In a typical think-aloud session, data gathered were the ELLs’ reported immediate responses while reading (Davis and Bistodeau 1993) and their responses to the given prompts. Verbal reports demon- strated how each of these ELLs perceived their thought processes. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 8 of 21 Data Analysis A systematic and rigorous analysis of the data followed a qualitative case-study data analysis. The twelve verbal reports were tape-recorded, transcribed, and analysed fol- lowing the qualitative research analysis method (Lincoln and Guba 1985). Based on Creswell’s (1998) data-analysis spiral, my analysis involved four stages: data manage- ment, reading and memorizing, describing and classifying, and representing and visua- lizing. In data management, I organized files and units of verbal reports manually, using index cards including protocol title, ELL’s name, etc. Then I started making sense of the data, reflecting and writing notes. I read and reread the data, carefully coding it. After coding the data, I constructed categories while linking codes (e.g., cul- turally related, obtaining information; Corbin and Strauss 2007). While categorizing codes and discovering themes, I also reflected on my research questions in relation to the main focus of study–dialogic responsive reading. Themes and categories emerged inductively from the data. For description and classification, I described the context, classifying and interpreting data using comparison. Finally, I visualized and represented the newly evolved themes (e.g., similar responses to culturally relevant texts: Maria and Evert responses after reading I Hate English). I also compared and contrasted the four participants’ findings for the two beginners (Maria and Evert) and the intermediate and fluent ELLs (Jaewon and Hiroki). I also analysed other qualitative data, including transcribed interview data, observation notes, and reflective journals using the same procedure. To ensure the trustworthiness of the study, I confirmed the answers with participants throughout the study. I also carried out peer debriefing and maintained a reflective journal (Lincoln and Guba 1985). Qualitative research is limited to specific cases and contexts. Participants’ emic voices and thick descriptions from the cases, however, pro- vided a detailed, rich account of the study’s observations and insights (Lincoln & Guba, 1985). Multiple data sets and analyses allowed triangulation to enhance trust- worthiness and will allow the transfer of this study into various contexts of teaching and learning. Results As I focused on ELLs’ meaning construction, several themes emerged from the data: (a) ELLs’ cultural perspective; (b) ELLs’ lived-through experiences; (c) ELLs’ efferent reading; (d) ELLs’ dialogic meaning construction; and (e) ELLs’ critical reading to learn. To understand how ELLs make meaning while reading stories, it is vital to understand when, why, and how they work within or about these various domains. ELLs’ Cultural Perspective Each ELL had a different first language, a different level of English proficiency, a differ- ent cultural background, and different prior knowledge–all reflected in their rich and diverse course-reading processes. The cultural perspective is derived from Lederach’s (1995) definition of culture: “Culture is the shared knowledge and schemes created by a set of people for perceiving, interpreting, expressing, and responding to the social realities around them” (p. 9). Maria’s case most clearly represented how beginner ELLs link their new learning to cultural knowledge and prior cultural experiences. Her cul- tural knowledge motivated her to read Family Pictures (Protocol 11). She identified Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 9 of 21 closely with her culture and cultural experiences while reading Family Pictures, exem- plifying how beginner ELLs refer to themselves while making meaning. While reading the “Birthday” chapter in Family Pictures, Maria spontaneously spoke and sang in Spanish: They put you a little thing and they turn you around three times and they sing a little song that’s kind of, ‘Dale, dale, dale, pégale asina, porque si no le das pierdes el camino.’ It’s like ‘hit it, hit it.’ It’s kind of hard to translate it. (Protocol 11) Maria’s cultural experiences motivated her to engage in this culturally related literacy event. Singing a song about the piñata, Maria evinced a high degree of transaction with these stories, and the transactional moment enriched her emotional connection to her father (in Mexico), saying “I missed him” with tears in her eyes. Her prior experi- ences gave her an emotional connection to the piece, helping her build context with her reading. All ELLs were very responsive in their reading when the contents are cul- turally related to them. ELLs’ Lived-Through Experiences As beginning learners, Maria and Evert’s cases revealed their lived-through experiences while reading I Hate English. Lived-through experience, derived from Rosenblatt’s “aes- thetic” reading, is related to how ELLs experienced their reading as a way of obtaining their pleasure. Thus, ELLs found “transactional” moment, which seems themselves in the story while reading (Rosenblatt, 1978). This aesthetic stance of reading enabled the ELLs to speak with strong voices. For example, Maria identified deeply with Mei Mei in I Hate English: Because it’s from another place. Hong Kong is another place from New York, so she wants to speak Chinese, and they want her to speak English, so she [Mei Mei] came here and [she] doesn’t want to speak English, only wants to speak Chinese. (Protocol 10) Maria used her personal opinions, culture, and experiences to identify the story’s main ideas and to determine what was important in the text. She identified with Mei Mei’s resistance to learning English and compared it to her own situation. Placing her- self in Mei Mei’s situation, Maria agreed with Mei Mei: “No. Mei Mei doesn’t speak English because she wants to speak Chinese. But everybody is bugging her because they want her to speak English. And she wishes she was in Hong Kong” (Protocol 10). Maria understood why Mei Mei did not want to speak English: “Because it’s not her main language.” Evert also dialogically connected to himself, using his L1 literacy skills, asking ques- tions and monitoring his comprehension while reading I Hate English and Pettson and Findus. His most used skills were his connection to self and rhetorical strategies, which transferred well from his L1 (Bigelow and Tarone 2004). Like Maria, Evert also identified with Mei Mei’s struggles, and frustration. He stated, “Yeah, I know how she feels. I felt the same thing as her when I came to a new country” (Protocol 6). Dialo- guing with Mei Mei, Evert became part of the story with her, connecting his cultural Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 10 of 21 experiences to hers. Evert understood Mei Mei’s situation through his own situation, by reflecting on his lived experience (Rosenblatt 1978). He also recommended building the community and demonstrated his aesthetic stance by proposing that a friend read the story: “I want to ask a friend to read this book. So they can understand how I feel” (Protocol 6). Evert connected deeply with Mei Mei’s personality and experience as an English beginner in the United States, demonstrating total transaction with Mei Mei through her language struggles and reflecting on his own experience. Having time to under- stand the context with the other (Mei Mei in this instance) was very important for Evert. He felt safer, not so alone, having shared Mei Mei’s experiences through the reading process. Reflecting his engagement, he evaluated the story with “She [the author] has done a good book” (Evert’s interview). Evert clearly believed that sharing this story with his friends would show them his situation in his new country. ELLs’ Efferent Reading The four ELLs developed their vocabularies, syntax, and concepts through reading. For all ELLs, the reading process provides new information and knowledge. For example, Hiroki attained the new word visa in the context of Passage to the Freedom. He under- stood the word as “And he has to, like, sign everybody’s–I don’t know how to read that word [visa]” (Protocol 1). Hiroki did not know how to read the word, but understood a meaning in context: “I kind of figured out. It was, like, this piece of paper that he [ambassador] would sign. Like, the part, like, he signs those pieces of papers that help those other people from, like, getting killed and stuff” (Protocol 1). Hiroki discovered the meaning of the word “visa” from the context of the story. Maria tried to grasp the main ideas, as well as the main words of the stories by using simple words such as the race, Chinese and Hong Kong, and fair and piñata to point out the main ideas and significance of the story. Evert identified a memory as “Some- thing very sad or something happy,” adding his own perspective after reading Wilfrid Gordon McDonald Partridge (Protocol 12). Defining complicated or key words (e.g., memory) appeared to be an important step in obtaining new information. Evert said he knew the word “memory” in Swedish, so he comprehended the word in English without any effort. Similarly, the learners derived lessons from the stories. For example, after reading Hiroko Makes the Team, Jaewon observed, “The important part is, be nice to each other–Never make fun of other people when they couldn’t. You just need a lot of prac- tice [to win swimming race.] That’s all” (Protocol 3). As they reflected on the stories, new ideas emerged. Hiroki identified the main ideas, figured out the significance of the story, and related the text to his own beliefs. Hiroki’s schema from the content and format of the text was clear. Hiroki also obtained new information by identifying main ideas such as “Friendship” in Encounter (Protocol 5), “I think when the dad [ambassa- dor] starts to help people” in Passage to Freedom (Protocol 1), and “So you can read maps to go somewhere” in Follow the Dream (Protocol 8). ELLs’ Dialogic Meaning Construction ELLs constructed meaning as they read. Jaewon’s case is a good example of this dialo- gic reading process. I observed his strong links to personal preferences, experiences, Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 11 of 21 intertextuality, and cultural orientation (Hartman 1995). Jaewon’s intertextuality devel- oped a mosaic of the text, using his cultural background knowledge, textual knowledge, and world knowledge. His inferential skills also supported using his cognition and knowledge processing while reading, invoking his dialogic thinking experiences. Jaewon often summarized and synthesized the story to evoke dialogic responses and to centre himself in the reading event. For example, Jaewon used O for positive and × for negative to evaluate the story: “This [Encounter] might be also O or X, and this one [Follow the Dream] would be O ‘cause this has landing information, and this just has traveling information, and it’s just different.” He continued, “Like moving, so if you combine these two books [Encounter and Follow the Dream] together, like this [show- ing me the two books overlapped], they would know that it’s Christopher” (Protocol 9). As a synthesizer, Jaewon addressed Columbus’s identity by combining both perspec- tives (Encounter was based on the Native American perspective while Follow the Dream was based on a European perspective). These verbal reports exhibited Jaewon’s dialogic response to the two conflicting characterizations of Christopher Columbus. Jaewon continually created critical points of view based on his theory building, socio- cultural values, and prior knowledge. He dialogued with texts and became a rewriter when reading stories, creating new viewpoints on the story following the author’s spirit. For example, Jaewon represented the two authors’ intentions and purposes after reading the two versions of the Christopher Columbus story by stating, “These are dif- ferent! Are they same? No!” (Protocol 4). ELLs’ Critical Reading to Learn To construct meaning from reading through a critical lens, Hiroki and Jaewon were constantly questioning and evaluating the stories. Hiroki frequently identified impor- tant ideas, determining significance and evaluating the content of the stories. Having determined the important ideas, Hiroki admired Columbus’s adventurous personality while reading the European perspective on Columbus in Follow the Dream: I thought that he was pretty brave to go see–to go around the world. To the other side of–This book [Follow the Dream] is more informative and this more data or– this [Encounter] is part of a different story about this event. (Protocol 8) As examples of Hiroki’s explorations, these two different perspectives on the same story are particularly valuable. After reading Follow the Dream (Protocol 8) and seeing Columbus as the “hero” who discovered America, Hiroki said, “I learned that [Colum- bus] discovered the–he, like, helped the world, because they all thought that the world was flat and they thought–they didn’t know America.” While reading Encounter (Pro- tocol 5), written from the Native American perspective, however, Hiroki considered the concept of invader. Hiroki’s response shifted to the opposite stance while reading the Native American perspective in Encounter. “Different. [Encounter] doesn’t say any- thing about–Christopher Columbus [depicted as an “explorer” in this story] It doesn’t say the word anywhere. I think [Christopher Columbus] shouldn’t. Not the land, just the [Native] American people” (Protocol 5), expressing his objection to Christopher Columbus’s landing in the Western Hemisphere as an invader. Hiroki stated, “They shouldn’t come to America without [Native American’s] permission” (Protocol 5). Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 12 of 21 Through on-going dialogue, Hiroki discovered the main ideas of the stories and further developed critical thinking skills. He dialogued with himself to understand the two dif- ferent perspectives and developed his own understanding of Columbus. Evaluating the historical event, Hiroki comprehended the story Follow the Dream (Protocol 8) from an efferent domain, and he developed empathy as he read Encounter (Protocol 5). Hir- oki proposed that his friends read both books to know Christopher Columbus thoroughly. Discussion All the findings revealed ELLs’ responsive reading processes and meaning construction. ELLs’ responses to the text were highlighted as particular or multiple domains. It’s vital to understand how domains are relevant to the research context and to the results. Based on the findings from the study, three discussions follow: (a) L2 respon- sive reading domains; (b) L2 meaning construction through emergent domains; and (c) pedagogical implications. L2 Responsive Reading Domains These ELLs identified with the stories closest to their cultural schema, experiences, and social values. They tended to evaluate stories as deeply interwoven into their cultural heri- tage, first language, values, and beliefs. The beginner ELLs, Maria and Evert, favoured cultu- rally related texts, while the intermediate and fluent ELLs, Jaewon and Hiroki, connected to culturally unrelated texts through responsive reading processes (Kim 2009a, b). Maria and Evert seemed to feel safe and empowered while reading stories related to their cultural backgrounds and personal experiences. For example, Maria, a mostly quiet student, sang a song with enthusiasm. Evert appeared to be empowered after having read I Hate English, recommending that his classmates also read the text. “They [classmates] will understand me better.” Domains provide ELLs with precursors to support their learning and to engage in the learning process. L2 dialogic reading responses were connected to the readers themselves and to the texts. Maria and Evert made strong connections with their cul- tural knowledge and experiences, making sense of the text by taking a cultural domain that elicited empathy with the text. They invited friends to read cultural-experience stories (I Hate English), whereas Hiroki and Jaewon promoted Encounter and Follow the Dream. Jaewon and Hiroki, more advanced ELLs, were more connected to both culturally and not culturally related stories. Critical reading also stimulated their thinking skills as a bridge to critical and dialo- gic thinking (Bakhtin 1986; Wells 2007). Jaewon and Hiroki not only understood how they thought and used strategies while reading, but also how they demonstrated their dialogical thinking skills (Bakhtin 1986) with the not culturally related texts. Hiroki and Jaewon’s complex set of cognitive structures clarified information about events and the contents of the story, drawing upon their cultural knowledge and prior experi- ences (Anderson 1994). Jaewon and Hiroki comprehended the story’s content, compar- ing and contrasting their pre-existing knowledge to acquire new information. Further, English proficiency seemed an important means for connecting with not culturally relevant texts: as the readers tried to connect to what they were reading, they found themselves having to become more proficient with English. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 13 of 21 L2 Responsive Reading Through Emergent Domains Results showed ELLs to be active knowledge builders and critical thinkers. In terms of reading as a form of dialogue, culturally related texts empower ELLs, allowing them to establish strong connections to social values evident in the texts, whereas not culturally related texts offer dynamic discourse and creation through the reading process. Dialogic talk is the key to embedding and expanding these experiences (Rosenblatt 1978). Thus, learning always requires domains in situated contexts. While ELLs make meaning from text within the domains or about domains, the reader actively responds to the text, and these processes motivate ELLs’ meaning construction while reading; this transactional process impacts the readers. The domain provides the zone for learners willing to participate and who have the motivation to engage in extended practice within the domain and who are willing to experience “a way that they take on and grow into a new socially-situated identity, an identity that they can see as a fruitful extension of their core sense of self” (Gee 2008, p 147). Within the domains or about the domains, ELLs retain a “core sense of self,” which means that ELLs transform their sense of their own unique individual traits and history. Their identity reflects their ways of acting, interacting, symbols, and so forth. This event becomes a certain means of understanding, constructing meaning, and dia- loguing with the text (Kim 2011). Based on the results, five domains emerged. ELLs situate themselves in five domains–(a) cultural, (b) lived-through (interchangeably aesthetic), (c) efferent, (d) dia- logic, and (e) critical–to construct meaning and to enhance their experience while engaging in reading activities. Apparently the five major semiotic domains for the responsive reading process discussed here are related to such prior theories as Carrell’s (1988) schema theory, Rosenblatt’s (1978, 1993) reader-response theory, and, especially, Bakhtin’s (1986) dialogue and Freire’s (1970) critical consciousness, because all the domains are grounded in the dialogic principle. The study’s results showed how ELLs master certain reading texts, associate with cultural norms and values by affinity group, and successfully construct meaning within multiple domains. The five domains emerging through the study are: the cultural domain, which ELLs connect to their cultural background knowledge and traditions; the efferent domain, through which ELLs obtain information; the aesthetic domain, in which ELLs transact with the story through emotional associations; the dialogic domain, in which ELLs query and dialogue with the story as readers such as through questions to earlier and later selves and to the author (Bakhtin 1986); and the critical domain, where ELLs think critically and become rewriters of the story as readers (Table 1). These domains can be useful for enhancing educators’ awareness of L2 responsive reading processes. All domains offer ELLs rich dialogic opportunities. These five dialogic domains emerging from the data emphasize the role of the ELL in reading processes. Rosenblatt defines stance as a continuum-private, public, or mixed (Rosenblatt 1986). A stance determines “whether selective attention will focus predo- minantly on the public, lexical aspects of meaning, or whether the focus will broaden to permit attention to the matrix of personal overtones, kinaesthetic states, intellectual or emotional associations” (Rosenblatt 1986, p. 124). Specifically, each domain allows the reader’s selective attention to identify and transact with the text in private, public, or mixed stances. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 14 of 21 These dialogic responsive domains embrace the stances, which are sometimes com- bined. As previously stated, domains provide a zone for the ELL’s active participation and engagement, ultimately creating situated meanings and gaining a membership in affinity groups. Authentic learning occurs while ELLs simulate the perspectives in order to attain situated meanings of semiotic domains within the context of their reading. Alternatively, the domains may stand alone while reading and focus the reader’s attention. This selective attention and situated meaning determine the results of read- ing comprehension and further develop agency of reading and learning. Gee (2008) pointed out that “each of them is associated with a group of people who have differen- tially mastered the domain, but who share norms, values, and knowledge about what constitutes degrees of mastery in the domain” (p. 138). The reader may work in all five domains simultaneously, or in a particular domain at a particular time, with a particu- lar text, or within certain contexts. Through reading, the reader chooses “a selective attention” which means readers are constantly choosing this particular attention in order to master a set of practices, com- mon goals, endeavours, values, and norms by moment-to-moment transaction with the text (Rosenblatt 1978). Examples from this study are Hiroki’s and Jaewon’s responses while reading the two depictions of Christopher Columbus. To evaluate and synthesize the two stories, both boys primarily used the critical and dialogic domains, or a mix- ture of the two. The four ELLs embedded comprehension, sensations, images, feelings, and emotional and intellectual associations. All readers reflect, interpret, find main ideas and details of stories if necessary, evaluating, questioning, and criticizing by choosing and mixing among various domains. ELLs were interacting with the cultural, efferent, aesthetic, cri- tical, and dialogic domains. Cultural domain A cultural domain offers the reader self-recognition as well as a connection to cultural knowledge, experiences, and beliefs while reading stories. All ELLs embrace the values, experiences, and perspectives of their own cultures and cultural experiences even as they expand into others. The cultural domain facilitates comprehension and transac- tion with the text. Maria and Evert, for example, worked extensively in this domain. After reading the Birthday chapter in Family Pictures, Maria burst into song while Table 1 Emerging Dialogic Reading Domains: Cultural, Efferent, Aesthetic, Critical, and Dialogic Domain Stance Example Cultural Private aspect of meaning Maria’s evocation while reading Family pictures. She sings the song about the piñata. Efferent Public aspect of meaning Hiroki’s and Jaewon are gaining information about Christopher Columbus’s adventure story and Evert’s new vocabulary. Aesthetic Private aspect of meaning Evert’s and Maria’s reading processes while reading I Hate English. Dialogic Private and public aspect of meaning Hiroki’s and Jaewon’s responses while reading Follow the Dream and Encounter: The two different depictions of Christopher Columbus drive from the authors’ different intention. Critical Private and public aspect of meaning Jaewon’s and Hiroki’s exploration of the two versions of Christopher Columbus (Encounter and Follow the Dream). Hiroki said Christopher Columbus should not invade the Native Americans. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 15 of 21 explaining the piñata, fondly recalling her father who was absent. Maria’s spontaneous singing demonstrated her engagement with the story and her ownership of learning (Cummins 1992). Maria and Evert used their cultural domain while reading I Hate English and further developed the agency of reading. They recommended that their classmates read this text to build their learning community. All ELLs used cultural domain frequently and spontaneously. Beginner ELLs such as Maria and Evert engaged in the reading event and related to the culturally related text effortlessly and with enthusiasm. Efferent domain The efferent domain facilitates obtaining new knowledge and is primarily involved with analysing, abstracting, and accumulating what will be retained after the reading. This domain seemed to relate to L1 reading ability closely to L2 reading (Koda 2007; Yama- shita 2002). For example, Evert, a total beginner, was able to identify the main idea and key words (e.g., memory) of Wilfrid Gordon McDonald using his L1 literacy skill. He already knew the word for “memory” in Swedish. This information helped him to comprehend the story easily. Despite of his low L2 proficiency, he readily identified the genre and plot of the story. All four ELLs sought information within this domain, implicitly acknowledging the power of knowledge, from simple vocabulary to complex information. Aesthetic domain In the aesthetic domain, the reader’s attention is focused primarily on experiencing what is being evoked, the lived-through experience, with private aspects of meaning attended to during the reading (Rosenblatt 1978). This domain is closely associated with emotion, sensation, and feelings. For example, Maria and Evert transposed Mei Mei’s feelings with their own while reading I Hate English. They temporarily became Mei Mei. Dialogic domain Bakhtin (1986) insisted that meaning comes into existence only when two or more voices interact: When the voice of a listener (reader) responds to the voice of a speaker (author). Reading is an on-going process; readers not only comprehend, question, and evaluate the text, but also create new meaning from the text and create and share their new knowledge with others. During L2 literacy acquisition, readers dialogue in various ways: between their social values and prior experiences, between L1 skills and L2 profi- ciency, by themselves, between texts (intertextuality), and in the social world (Koda 2007; McElvain 2010). Dialogic also involves dialogue between an L1 and an L2 self, a process that helps ELLs to recognize themselves, to co-construct meaning while read- ing, and to become social beings in their new culture (Bakhtin 1986). Bakhtin’s (1986) dialogic discourse was embedded in the study as I analysed the data and reconstructed the participants’ voices. Jaewon and Hiroki dialogued by them- selves–between an earlier and a later self (Bakhtin 1986)–and with the text in their active understanding of two different perspectives of the same historical event. Jaewon and Hiroki used dialogic thinking skills as bridges to culturally unrelated texts. Within this domain, they played active roles in meaning-making processes. Dialogic domains appeared to provide praxis of action and reflection (Freire 1970). Critical domain Literacy enables one to read the world and build critical consciousness; to perceive social, political, and economic oppression; and to take action against the oppressive Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 16 of 21 elements of society (Freire 1970). Hiroki and Jaewon co-constructed meaning while reading without violating the spirit of the work. This domain is the creation of mean- ing with the reader co-constructing public and private aspects of meaning from the text. ELLs, as historical, social, cultural, and political beings, create their critical con- sciousness to read and understand the text in its context (Freire 1970). While reading Follow the Dream, Hiroki considered two concrete facts: Christopher Columbus discovered America from the European perspective, but from the Native American perspective, Columbus was an invader who came to America without per- mission. Hiroki’s dialogue indicated that he associated with Follow the Dream, empha- sizing Columbus’s discovery, but he also acknowledged the concept of invader, realizing that Christopher Columbus was not an expected or “invited” guest, reflecting Encounter. Conclusion and Pedagogical Implications ELLs make meaning while reading stories within the domains or about the particular domains, depending on the texts at hand. While ELLs make meaning of the situated contexts (Gee 2008), these domains embrace these four ELLs’ ethnic and cultural heri- tages, L1 literacy, and real-life experiences, acknowledging them as active knowledge- generators who co-construct meaning from the text (Bakhtin 1986; Freire 1970). Employing certain domains also increases the critical thinking skills and degree of dia- logue among ELLs, with the texts and within social contexts, appropriately implement- ing proper domains under each circumstance (Bakhtin 1986; Freire 1970; Perez 1998; Wells 2007). ELLs are situated in a learning community (Lave and Wenger 1991), play- ing the “role” of a “certain kind of person”, shifting their “socially situated identity” through the construction of meaning (Gee 2008; Kim 2009b). In line with Koda’s (2007) explanation of ELLs’ uniqueness, the ELLs in my study apparently used two languages and cultures to construct meaning while reading. It is vital to apply these factors in our daily teaching. The uniqueness of ELLs’ comprehen- sion of texts appeared in the four examples. First of all, ELLs use both of their lan- guages and their reading processes developed from intertwined knowledge and experiences from the two languages and cultures. As August and Shanahan (2006) indicated that ELLs, “take advantage of cognate relationships between their first lan- guage and English to understand English words, an important precursor to compre- hension” (p. 5). Maria’s case clearly demonstrated how she used her knowledge of the Spanish piñata to explain to me in English. Evert also used his Swedish skill to under- stand memory. Secondly, ELLs also extend their meaning construction further to develop their critical thinking as interweaving and testing these two languages (e.g., Jaewon’s and Hiroki’s cases). Third, ELLs developed their ownership of learning as connecting to their L1 culture and personal experience of arriving in the new country (e.g., Maria’s and Evert’s cases). Fourth, their oral proficiency (e.g., Maria’s case) seems also crucial to developing their L2 practice. It is very important to understand these processes; teachers need to encourage ELLs to use their first and second languages as well as both cultures as part of their L2 practice. Teaching ELLs to practice and use these domains will maximize the benefit the reader derives from the reading process. Rosenblatt (1993) stated, “for a historical work or a political speech that uses many so-called literary devices, it will be especially Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 17 of 21 important to decide what major stance to adopt” (p. 383). There is not a single “cor- rect interpretation,” but the open-minded admission of several points of view. The 2002 conclusion from the International Reading Association clearly stated that “when readers are given cognitive-strategies instruction, they make significant gains on mea- sure of reading comprehension over students trained with conventional instruction” (p. 13). The panel also emphasized that teaching a variety of reading-comprehension stra- tegies in contexts and content areas leads to increased learning of these strategies. It is vitally important for teachers to understand these domains to teach various reading strategies. Teachers need to understand how ELLs connect to the text and comprehend it using various strategies within the domains (Park and Kim 2011). Providing and practicing these domains is crucial. By being familiar with these domains, ELLs will be ready to comprehend the texts. As the panel recommended, more intensive instruction and modelling, employing effective instruction, and transactional practices derived from research are more suc- cessful in improving reading and connecting ELLs to the texts and lead them to be academically successful (August and Shanahan 2006; Kim 2009b). Within the domains or about the domains, students develop ownership of learning and develop their dynamic identities (Kim 2009a). These dialogic responsive reading domains will be helpful in obtaining content knowledge in all the subjects and skills routinely taught in schools and in enabling students to create their own ownership of learning and willing- ness to learn (Au 1993), reflecting the power of literacy (Freire 1970). Using think aloud protocol, we practice these domains with ELLs. I provided simple samples of questions while stimulating the ELL’s reading processes. As the summary of International Reading Association (2002) concluded, teachers are encouraged to explain specific strategies to enhance each domain and model them for students. These strategies improve students’ reading comprehension. Teachers were encouraged to model their own thinking processes and to stimulate students to ask questions and discuss possible answers among themselves. These responsive domains keep students engaged in their tasks and demand active involvements, as well as ongoing thinking. Practicing these responsive reading domains is fundamental for adopting them. According to Gee (2008), ELLs learn better when they use and develop precursors (interchangeably necessary skills, knowledge, and/or social languages), which facilitate becoming a member of the affinity group. For example, ELLs drew upon their own cul- tural knowledge to make sense of a cultural domain. Using culturally meaningful or familiar reading materials that provide strong precursors also appeared to facilitate reading comprehension (August and Shanahan 2006). Consequently, ELLs apprehend and master this domain without difficulty, since they have a well-developed precursor. To master critical and dialogic domains, ELLs need to practice several precursors such as cultural domain, critical thinking, and so forth. This networking is crucial for schooling and language learning. Practicing these domains using think-aloud teaching protocols (Weaver 2002) must be embedded in daily teaching, fostering cultural conti- nuity and critical consciousness (Freire 2000). Situating meanings requires personalized experience of a domain and the ability to situate meaning in the terms of that experi- ence (Gee 2008). Praxis is crucial to mastering content and concepts, and becoming members in or about the domains. Domain praxis is based on genuine dialogue with learners, accepting and valuing their own voices, sharing their cultural and historical Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 18 of 21 knowledge and experiences, and inquiring into their reading of the word and the world, recognizing that the readers are rewriters (Bakhtin 1986). Rewriting the text as a ELL entails a critical perception of the word and the transformation of the world through practical action and reflection (Freire 1970; 2000). Cultural, aesthetic, and efferent domains empower ELLs and will expand their own learning, as they become competent and confident learners. Critical and dialogic domains transform knowledge so that ELLs can read any text (culturally or not cultu- rally related) by forging a connection with it. By scaffolding their knowledge with cap- able peer support, ELLs can grow into cooperative partners (Vygotsky 1978). Educators are cultural workers promoting dialogic thinking to create bridges to critical thinking (Freire 1970; 2000). Educators should encourage ELLs to share their cultural strengths with others in the mainstream classroom. With this guidance, ELLs will be empowered to read words and competently to read the world. Endnotes This is a part of the larger study. This study used only eight protocols: Protocol 1 (Jae- won reading Woodcutter and Tiger Brother), Protocol 4 (Jaewon reading Encounter), Protocol 5 (Hiroki reading Encounter), Protocol 8 (Hiroko reading Follow the Dream), Protocol 9 (Jaewon reading Follow the Dream), Protocol 10 (Maria reading I Hate Eng- lish), Protocol 11 (Maria reading Family Pictures), and Protocol 12 (Evert reading Wil- frid Gordon McDonald Partridge). Abbreviations ELL: English Language Learner; L1: First Language; L2: Second Language Acknowledgements I am thankful to Dr. Suresh Canagarajah at Pennsylvania State University for his thorough review of my first draft. I am also deeply grateful to Dr. Jane Applegate at the University of South Florida for her steadfast support throughout the writing process. All errors and omission are my own. Author's information Deoksoon Kim is an Assistant Professor of Foreign Language Education and Second Language Acquisition and Instructional Technology at the University of South Florida and an iTeach Fellow at USF. Her research involves second language and bilingual processes from a sociocultural-constructivist perspective, L2 reading and literacy, integrating instructional technology in teacher education, and ethnic minority students. She has published in Computers and Education, English Leadership Quarterly, TESOL Journal, Journal of Reading Education, TESOL publications, a Research Anthology chapter sponsored by AERA, and elsewhere. She delivered keynote speeches at the International Qualitative Research Conference in 2007 and 2010. Competing interests The author declares that they have no competing interests. Received: 7 June 2011 Accepted: 16 December 2011 Published: 16 December 2011 References Alexander, PA, and E Fox. 2004. 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Submit your manuscript to a journal and benefi t from: 7 Convenient online submission 7 Rigorous peer review 7 Immediate publication on acceptance 7 Open access: articles freely available online 7 High visibility within the fi eld 7 Retaining the copyright to your article Submit your next manuscript at 7 springeropen.com Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 21 of 21 http://www.springeropen.com/ http://www.springeropen.com/ Abstract Background L2 Reading Research Dialogic Responsive Reading Domains as Peripheries of Situated Meaning Methods Setting and Nature of the Instruction Participants Materials Data Collection Data Analysis Results ELLs’ Cultural Perspective ELLs’ Lived-Through Experiences ELLs’ Efferent Reading ELLs’ Dialogic Meaning Construction ELLs’ Critical Reading to Learn Discussion L2 Responsive Reading Domains L2 Responsive Reading Through Emergent Domains Cultural domain Efferent domain Aesthetic domain Dialogic domain Critical domain Conclusion and Pedagogical Implications Endnotes Acknowledgements Authors' information Competing interests References 
work_4fqbto43arfzpdzbvwdqglv5de	----	PII: 0010-0285(76)90010-4 COGNITIVE PSYCHOLOGY 8, 311-335 (1976) Interference with Real World Knowledge CLAYTON H. LEWISANDJOHN R. ANDERSON The Univrrsiry of Michigan Two experiments are described in which subjects studied made-up, fantasy facts about well-known persons and then were asked to verify actual facts about these persons. Reaction time to the actual facts was longer the more fantasy propositions studied about a person. Reaction time was also longer when the verification test involved a mixture of actual and fantasy facts rather than just actual facts. A mathematical version of the ACT model (Anderson, 1976) was fit to the data. It provides a satisfactory fit, better than an alternate model. However, some’of the parameter values estimated for the ACT model seemed unreasonable. A number of recent studies have supported the idea that the more propositions a subject knows about a concept the slower he is to verify any one of them. (See Anderson & Bower, 1973; Anderson, 1974; Thorndyke & Bower, 1974.) Anderson (1976) has developed the ACT model to account for these findings. These studies have employed artificial “facts” learned by subjects in an experimental situation. Intuitively, it seems unlikely that these results would generalize to the verification of propositions which are part of a subject’s stock of actual facts. If these results did generalize it would seem to imply that the more one knows about a concept, the slower he would be to verify any particular fact about that concept. In the experiments reported below we explored this matter by having subjects learn varying numbers of artificial facts about well-known people. We then examined the effect of the number of artificial facts learned about a person on the time to verify actual facts about him. Since these experiments involve possible interference of propositions learned in an experimental situation with retrieval of actual knowledge they are also of interest in considering whether memory is so structured that information learned under different conditions can be scanned independently if task demands warrant. These experiments are concerned with whether experimentally learned material will interfere with pre-experimental material. A similar question This research was supported by Grant GB-40298 from NSF. We would like to thank the reviewers of this article for their helpful suggestions. The ordering of the authors is arbitrary. Address correspondence to Clayton Lewis at Human Performance Center, 330 Packard Road, Ann Arbor, MI 48104, and to John Anderson at Department of Psychology, Yale University, New Haven, CT 06520. Reprint requests should be sent to John Anderson. 311 Copyright 0 I976 hy Academic Prew Inc. All rights of reproduction in any form reserved. 312 LEWIS AND ANDERSON has been subject to extensive experimental analysis-the question of extraexperimental sources of interference (e.g., Postman, 1962; Under- wood & Ekstrand, 1966; Underwood & Postman, 1960). It had been hy- pothesized that high frequency words would be subject to more rapid for- getting because of greater interference due to more competing extra- experimental associations. The initial results in this investigation were largely negative. However, these experiments tended to confound factors such as form class and imagery rating with frequency. There is a recent set of experiments which seem more favorable to the hypothesis of extraex- perimental sources of interference. These have controlled for form class and imagibility. M. Fehling (personal communication) has found poorer re- tention for high frequency paired associates. Kieras (1974) has found poorer recall for sentences composed of high frequency words. Perlmutter, Harsip, & Meyers (1976) also report longer recognition latencies to pairs composed of high frequency pairs. An experiment by Slamecka (1966) is very similar in intent to the experiments to be reported here. He looked at the effect of learning interfering experimental responses on subject’s ability to recall free associations to a stimulus item. There was no effect of these experimental associations, whether measured by frequency of recall or by response latency. The experiments to be reported here will rely on a more accurate and sensitive latency measure than in Slamecka’s research. However, his results clearly do not favor the prospects of getting an effect of experimentally acquired facts on pre-experimental facts. TABLE 1 EXAMPLES OF MATERIAL USED IN THE EXPERIMENT Examples of artificial facts studied George Washington wrote Tom Sawyer. Napoleon Bonaparte was from India. Napoleon Bonaparte was a singer. Napoleon Bonaparte is a liberal senator. Napoleon Bonaparte had a ranch. Examples of test probes Actual facts 0 Fidel Castro is Cuban. 1 George Washington crossed the Delaware. 4 Napoleon Bonaparte was an emperor. Fantasy facts 1 George Washington wrote Tom Sawyer. 4 Napoleon Bonaparte was from India. False 0 Fidel Castro was a Texan politician. 1 George Washington is a swimmer. 4 Napoleon Bonaparte was a humorist. INTERFERENCE WITH ACTUAL KNOWLEDGE 313 FIG. I. A schematic ACT representation of some of the information attached to George Washington. Table 1 illustrates the materials used in these experiments. A number of fantasy facts, not actually true, were studied about various well-known public figures. After learning these facts, subjects had to respond true or false to test probes that were either actual facts, fantasy facts, or false sentences (neither true in the real world nor learned during the experi- ment). Subjects were instructed to respond true to fantasy facts as well as to actual facts. The digits in Table 1, not shown to the subject, in- dicate how many fantasy facts were studied about the individual. The major question is whether the number of fantasy facts studied about a person would influence the speed with which an actual fact about that person can be verified. According to the ACT model the subject’s knowledge about a person in the experiment can be represented schematically as in Fig. 1. Figure 1 illustrates a very simple network in which the subject, George Wushing- ton, is connected to a number of predicates. Figure 1 is a simplification of the ACT representation which is similar to the HAM model of Ander- son and Bower (1973). We are using this simplification to ease the task of exposition. If a given proposition is to be verified, nodes representing its subject and predicate are identified in memory, and search processes are started from both nodes. These searches spread outward along all arcs from these nodes until they intersect, at which time a check is performed to determine whether the connection between subject and predicate matches the proposition to be verified. If it does, the appropriate response is made. This search mechanism is similar to that proposed by Collins and Loftus (1975). The spread of search processes from a node is assumed to be a limited-capacity parallel process (see Townsend, 1974). This means that the more arcs are encountered at a node the slower will be the progress of the search along each arc. Referring to Fig. 1 it will be seen that the process of verifying an actual fact about George Washington will accordingly be slowed down by the presence of the fantasy fact about him. If additional propositions with the same predicate as an actual fact were studied, verification of the actual fact would be slowed for the same reason, since search also proceeds from the predicate node. 314 LEWIS AND ANDERSON EXPERIMENT I Experiment I allows a test of these predictions. The number of arti- ficial facts studied about a person was varied from zero to four. So that the effect of extra arcs at the predicate node could be assessed, predicates from actual facts to be tested were used in two fantasy facts or were not used at all in the fantasy facts. Method Materials. A list of 40 well-known actual facts about public figures was prepared, two facts for each of 20 individuals (see Appendix). Each fact was of the form NAME PREDICATE, the 40 predicates being all different. From these 40 facts materials were constructed for a learning phase and for a later reaction time test phase. One of the two actual predicates associated with each name was randomly designated a study predicate, the other being reserved. Reserved predicates were not used in constructing fantasy facts for study. A total of 40 fantasy facts was constructed by repairing names and study predicates, four fantasy facts being produced for each name in treatment 4, three for each in treatment 3, and so on for treatments 2, 1, and 0. These 40 propositions, together with six filler propositions constructed from similar materials, formed the study materials for the subject. To form the test materials the original 40 actual facts were added to the 40 fantasy facts, and 80 new false propositions to be used as foils were constructed by repairing names and predicates in such a way that among the test materials each name and each predicate appeared equally often in real or fantasy facts as in foils. Note that all fantasy facts and all false facts used predicates that came from actually true facts. One motivation for this was to assure that the predicates used for the false facts and the fantasy facts had credibility as the sort of thing that might be said of a public figure. Building fantasy facts in this way has the disadvantage that their predicates were connected to other individuals in a nonsystematic way; for example, in the fantasy fact “ George Washington wrote Tom Sawyer” the predicate is strongly associated with another individual, while this is not true of “George Washington was a scientist.” Randomizing the use of predicates and individuals was intended to deal with this problem. Another point to note about the fantasy facts is that many were inconsistent with known facts. This gave the fantasy facts a different character from obscure actual facts that subjects had not seen before. It is not clear how results might differ if such true but not known facts were used. It was intended that each subject have his own randomly constructed set of materials. However, through an oversight only nine different sets of materials were used. Subjects. Twenty-six female subjects from the Human Performance Center paid subject pool participated in the experiment in groups of one to four. Of these, three failed to perform sufficiently accurately in the test phase of the experiment and were eliminated. Subjects were paid $2.00 per hour for their services. Procedure. Study and test materials were presented and responses and response times collected by an IBM 1800 computer with four cathode ray tube terminals, each in a semi-isolated booth. The GEPS II programming system (Kieras, 1973) was used, allowing up to four subjects to be run independently at one time. A subject was first given a list of the 20 names used in the materials, plus those appearing in filler items, and asked to mark any which were unfamiliar. The names were well known to the subjects: the mean number marked was .2. No aid was given to subjects’ recognition beyond mentioning a common nickname if one existed. The subject then entered the study phase of the experiment. The study propositions were presented one at a time on the CRT screen. The subject was told to regard these INTERFERENCE WITH ACTUAL KNOWLEDGE 315 propositions as describing a fantasy world peopled by the individuals described. She was asked to write a short continuation of each proposition on a numbered sheet, then press a button to see the next proposition. The nature of the continuation was not prescribed beyond the requirement that it relate in some way to the subjects’ understanding of the proposition. Examples given in the instructions included adding embellishing detail and providing a reconciliation of the proposition with actually known facts. The 40 study propositions were presented in three random orders, preceded and followed each time by three filler items. The subject was asked not to consult her previous written continuations when seeing a proposition again but was free to use the same continuation again if she chose. To decrease the likelihood that the subject might try to memorize the study materials verbatim, she was told that the continuations would be used to assess her handling of fantasy materials and was not told that she would be tested for retention of propositions or continuations. The study procedure was self-paced and took about 50 min. On completing the study phase the subject entered the test phase of the experiment. Test propositions were presented one at a time on the CRT and the subject was told to press a true or false button as quickly as was consistent with reasonable accuracy. In particular, she was to respond true to any proposition which was an actual fact or which was one of the fantasy facts seen during study, and false to other propositions. To be sure the subject understood this requirement she was asked to write out in her own words the relevant part of the instructions and get the experimenter’s approval or clarification before beginning the test phase. The subject was free to choose which hand to use for true responses and which forfalse. After each response the subject was told whether she was correct or incorrect and the next item was presented after a delay of 1 sec. The test items were presented in three random orders to each subject, each order preceded and followed by six filler items and separated by rest periods. The test phase lasted about 50 min, in- cluding two rest periods. After the test phase the subject was given a list of the actual facts used in the experiment including fillers, and asked to mark any which had been unfamiliar when first encountered in the test or which the subject felt were untrue. The materials were reasonably familiar: the mean number of facts marked was S. Results For each subject, response times for correct responses for each type of test item were averaged, times longer than 5 set being treated as 5 set and times shorter than 200 msec being classed as errors. The sub- ject means were then averaged, and are shown in Fig. 2. The abscissa in Fig. 2 is fun: the number of fantasy propositions studied about the name in the test item. False test propositions and actual facts are broken down according to whether the predicate in the item was a study predi- cate or a reserved predicate; that is, whether the predicate in the test item was seen during the study phase or not. The subjects x conditions interaction mean square was used to estimate the standard error of a condition mean, which was 49.6 msec. This esti- mate may be too low given that a large number of conditions was used in a within-subjects design, but except where noted it is used below to give some idea of the reliability of differences in the data. The first aspect of the results to note is the increasing trend of time to verify actual facts with reserved predicates as fan increases. Because of 316 LEWIS AND ANDERSON em.-.* FALSE A.-.--A . . . . . . . . . . . . . FANTASY FACT - cNAL FACT - STUDY RESERVED PREMC*TE PREDICATE FIG. 2. Reaction times and accuracy in Experiment 1. the importance of this trend its reliability was assessed by calculating the value of a linear trend contrast for each subject and estimating the variability of this contrast directly rather than using the overall estimate of standard error. This computation indicates that the trend is quite sig- nificant (fz2 = 4.0, p < .OOl). Time to verify fantasy facts also increases with fan, (fSW = 2.8, p < .Ol) and verification of artificial facts takes longer than verification of actual facts of the same fan (t,% = 14.0, p < .OOl). On the average, actual facts with study predicates take longer to verify than those with reserved predicates (tgos = 2.0, p < .05), and the inter- action with fan is significant (t 508 = 2.3, p < .025). That is, the effect of fan is significantly less for those actual facts with study predicates. Time to reject false propositions increases with fan (f5,,6 = 5.5, p < .Ol). Propositions with reserved predicates can be rejected faster than those with study predicates (tSo6 = 10.1, p < .OOS). INTERFERENCE WITH ACTUAL KNOWLEDGE 317 Proportions correct for the various types of test items are also shown in Fig. 2. Errors tend to increase with fan. Discussion The basic predictions of the ACT model are borne out: Studying fantasy facts about a person slows down the verification of actual or fantasy facts about that person. Studying extra occurrences of a predicate slows down verification of facts using that predicate. The interaction be- tween prior use of predicate and fan was not expected. The higher the fan associated with a name, the greater the probability that the name would occur close to its study predicate during the study phase. Thus, there is a greater probability that the subject may notice and implicitly rehearse the relation between the name and its actual predicate. This might pro- duce decreased reaction time to the name-predicate combination thus causing the interaction between fan and prior use of the predicate. To account for the overall speed advantage of actual facts over fantasy facts one more feature of the ACT model must be described. Memory connections can have different strengths, and search energy is divided among connections in proportion to strength. It is reasonable to assume that connections making up fantasy facts are weaker than those making up actual facts, so that it takes longer to find a fantasy fact if it is present. The principle means for rejecting false propositions in the ACT model is by means of a process that waits a certain period of time for an intersection to occur. If an intersection does not occur in that period of time, a false response is generated. This waiting process is attuned to the various variables, such as fan, which can delay the occurrence of an inter- section for true probes. That is, the process waits longer for probes con- sisting of elements with greater fan. This accounts for at least the qualitative features of the rejection data: Rejection is slowed by fan and by extra use of predicate. The accuracy data in Fig. 2 are not accounted for directly by the ACT model. One may speculate that imperfect original learning is responsible for the misses in verifying fantasy facts, with the proviso that some sort of interference accounts for poorer learning of facts about names with higher fan. Another possibility is that guesses are produced after allowing processing to go on for some interval, so that items taking longer to process will get more guesses and hence more errors. This could account for the trend in errors for fantasy facts and false test items with study predicates. This sort of guessing model has been developed and tested by King and Anderson (in preparation) and Mohs, Westcourt, and Atkinson (1975). Note that while large differences in accuracy occur among the condi- tions the principle differences in latency cannot be attributed to differ- 318 LEWIS AND ANDERSON ences in speed accuracy tradeoff: Slower conditions are less accurate. It is possible that the accuracy differences do reflect differences in under- lying processing which would make comparison of latencies problematical, but we will argue below that the sort of model proposed by Mohs et al. can account for the accuracy data in a way that does not require serious reinterpretation of the latencies. While the ACT model is fairly well supported by these results, there is another kind of model which can also explain them. In the ACT model the interfering effect of fantasy facts occurs during search: Fantasy and actual facts are stored together in memory, and fantasy facts tie up search capacity when actual facts are being sought. In the other kind of model interference occurs because of a decision problem: Fantasy and actual facts can be searched independently, but the subject does not know in advance where to search for a test item. If the test item is an actual fact, but the subject searches first among his store of fantasy facts, a penalty is incurred which increases with fan. The simplest form of decision-interference model assumes that fantasy and actual facts are searched serially. If m fantasy facts can be searched in time d + me, d being a constant overhead and e the time to check one fact, and all actual facts can be searched in time A, and if actual facts are searched first with probability p , then the average search time for an actual fact with a name of fan m will take A/2 + (l-p) (d + me). The factor A/2 in this expression reflects the assumption that the correct proposition will be uncovered halfway through the test of actual proposi- tions. This formula accounts for the increase in verification time attendant upon fan. The main effect of predicate type on verification could be captured in this model at the expense of another parameter: The probability of starting search with actual or artificial facts could be allowed to vary according to the number of times the elements of the test item were seen during study. This is plausible, since if a subject could be certain that he had not seen a predicate during study he should never search his artificial facts at all. EXPERIMENT II Both search-interference and decision-interference models can account for the Experiment 1 data reasonably well. Experiment II was carried out in an attempt to separate these two models. Experiment II was very similar to Experiment I, the major change in procedure being that subjects were tested on actual and fantasy facts separately to minimize the decision problem that they may have faced in the Experiment I test in which these items were mixed. According to the decision-interference model there should be no effect INTERFERENCE WITH ACTUAL KNOWLEDGE 319 of fantasy facts on verification of actual facts if subjects know they are being tested only on actual facts. In the ACT model, interference should be just as great whether test items are mixed or not. A mixed test was also given to Experiment II subjects to provide a check on the compar- ability of the procedures, Another change in Experiment II was that some fantasy facts were presented more often than others during the study phase. According to the ACT model this should have the effect of in- creasing the strength of these propositions, and hence allowing faster re- sponses to these but also increasing the interference they cause. Because of the interaction of fan with prior use of predicates found in Experiment I and the possibility it suggested of implicit rehearsal occurring during study, it was decided to reserve in Experiment II all predicates associated with actual facts to be tested. Finally, only fans of 0, 1, and 4 were used, as it was felt these gave an adequate picture of fan effects. Method Maferids. The set of 40 facts about 20 names was used again, but the makeup of study and test materials was different from Experiment I. For each subject one of two groups of 10 names was selected at random and called the test group. Two names from this group were assigned randomly to each of the treatments 0, 1, lr, 4, and 4r. These treatment designations indicate the number of fantasy facts to be studied about the individual, and whether the fantasy facts will be repeated during study. Thus an individual in treatment 4r will have four fantasy facts each presented twice as often during study as the four fantasy facts about an individual in treatment 4. The predicates associated with the other group of names, the nontest group, were used to construct the fantasy facts. Altogether there were 20 fantasy facts. These 20 facts, together with six filler items, formed the study materials for the subject. In preparing the study materials for presentation each fantasy fact with a name in treatments Ir or 4r was repeated, so that these items were seen twice as often during study as items with names in treatments 1 and 4. There were three types of reaction time test blocks-pure tests of actual facts, pure tests of fantasy facts, and mixed tests of actual and fantasy facts. In each of these blocks there were an equal number of true and false probes. The false probes were constructed so that each name and each predicate appeared equally often in true and false probes. This was to prevent the names or the predicates from acquiring a response bias. To achieve this balance it was necessary to use some filler actual trues (constructed from the nontest group) and some filler falses. Subjects. Thirty female subjects from the Human Performance Center paid subject pool participated in the experiment. They were paid $2.00 per hour. Procedure. The procedure used in Experiment II was very similar to that used in Experi- ment I. Since a smaller number of fantasy facts was used subjects spent less time on the study phase, about 40 min. On completing the study phase the subject was given instructions describing three different types of tests she would encounter during the next part of the experiment. In each test, propositions were presented, responses collected, and feedback given exactly as in Experiment I, but the subject’s rule for responding was different for the three types of tests. In apurefantasy test the subject was to respond rrue only to items she remembered from the study phase, and false to all others. No actual facts were in- cluded in the materials presented in this kind of test. In apure acfual test the subject was to respond true only to actual facts. No fantasy facts were presented here. In a mixed test the 320 LEWIS AND ANDERSON subject was to respond true to actual or fantasy facts as in Experiment I. To ensure that subjects understood the types of tests they were required to paraphrase versions of the relevent parts of the instructions as in Experiment I before starting the test phase. Each subject received a series of six tests, two of each type, arranged in such a way that each type appeared once among the first three tests, with the last three being simply the first three in reverse order. These test orders were counterbalanced over subjects. Each test was preceded by a summary of the rules for responding, and the subject was told to consult her instruction sheet before proceeding. The test series took about 40 minutes. The familiarity of the materials was checked exactly as in Experiment I. An average of 0.9 names and 1.3 facts were marked as not known. Results Data for Experiment II were treated as described in Experiment I. The mean reaction time for correct responses are shown in Fig. 3 and the accuracy data is shown in Fig. 4. Test results are shown broken down by fan, the number of fantasy facts studied about the individual in a test item. They are also broken down according to which test type they come from- e-m.---* FALSE &-.-.A * . . . . . . . . . . . l FANTASY FACT A . . . . . . . . . . . A - ACWAL FAIZT - NOT RPEATED REPEATED I 1 I 1 I 1 FAN: 0 1 4 1 4 0 I 1 WXED TEST PURE FANTASY TEST PUR ACTUAL TEST FIG. 3. Reaction times in Experiment II. INTERFERENCE WITH ACTUAL KNOWLEDGE 321 mixed test, pure fantasy, or pure actual. Points designated repeated show results for those items for which the fantasy facts were shown twice as often during study. Thus items about individuals in treatment 4r appear as fan 4, repeated. The standard error of the 32 reaction time means in Fig. 3, estimated from the interaction mean square in a conditions x subjects analysis of variance, is 56 msec. Considering first the results for the mixed test, one can note a pattern of times similar to that found in Experiment I, with verification of actual facts being more rapid than verification of fantasy (tsss = 10.2, p < .005). Repetition makes verification of fantasy facts faster (tsss = 2.52, p < .Ol) and reaction time increases with fan (tsss = 3.59, p < .005). There is no interaction between the effect of fan and repetition on fantasy facts i: 899 = .71). Time to reject a false fact is also increased by fan 999 = 3.36, p < .005). Effects of fan and repetition on verification of actual facts are less clear. Their effect was investigated by computing a fan 4-fan 0 contrast for each subject and calculating its variability. The difference is marginally significant (tess = 1.47, p < . 1). There is no apparent effect of repetition on actual facts (tsss = .18). In the pure fantasy test the same effects of fan found in the mixed test appears for verification (t,,, = 4.86,~ < .OOS). The effect ofrepetition on verification is also significant (tsss = 2.44, p < .025). The effect of fan on rejection is marginally significant (tsss = 1.33, p < . 1). The fan x repetition interaction for rejection is not significant (tBss = .94, p < .2). 1 L I 1 I I FAN: 0 1 4 1 4 0 1 4 MlXED TESI PURE FANTASV TEST PURE ACTUAL TEST FIG. 4. Accuracy in Experiment Il. 322 LEWIS AND ANDERSON 95 _ , I I L I I I I I 1300 1400 1500 1600 1700 IS00 1900 2000 2100 REACTION TIME (MSECI FIG. 5. Speed-accuracy plot for Experiment II. The lines are intended simply to indicate test type. In the pure actual tests the effect of fan and repetition on verification was investigated as for the mixed test by computing a fan 4-fan 0 con- trast for each subject. The contrast is positive (tz9 = 1.97, p < .05); 21 of 30 subjects showed positive contrast, (p < .05 by sign test). The effect of fan on rejection time is marginally significant (tag9 = 1.55, p < .Ol). There is not a significant effect of repetition on either time to accept an actual fact (tss9 = .lO) or time to reject a false (t899 = .96). Comparison of the times for the three tests show that verification is faster in the pure tests than for corresponding items in the mixed test; actual facts are faster in the pure actual test (teg9 = 2.91, p < .OOS), and fantasy facts are faster in the pure fantasy test (rsg9 = 6.42,~ < .005). Similarly rejections are faster in the pure actual test than in the mixed test (tsss = 11.7, p < .005), faster in the pure fantasy test than in the mixed test (tsg9 = 2.77,~ < .005), and faster in the pure actual test than in the pure fantasy @SW = 8.08, p < .005). With respect to the accuracy data, the mixed test results in Fig. 4 are quite comparable to the Experiment I results in Fig. 2; in particular, accuracy for fantasy facts is poor and gets worse as fan increases. In the pure fantasy test, accuracy for fantasy facts is much better, but still decreases with fan. Figure 5 provides a plot of the accuracy in the 32 conditions of Experiment II against reaction time. As can be seen there is a general trend such that longer latencies are associated with lower reaction times. An analysis of Experiment I reveals a similar trend. Discussion Returning to the models proposed to account for the results of Experi- ment I, how do they fare now? The most important new facts to be TA BL E 2 PR ED IC TI O NS O F TH E DE CI SI O N- IN TE RF ER EN CE M O DE L FO R EX PE RI M EN T II FA N 0 1 4 z M ix ed te st Fa ls e, n ot r ep ea te d Fa ls e, r ep ea te d Fa nt as y fa ct , no t re pe at ed Fa nt as y fa ct , re pe at ed A ct ua l fa ct , no t re pe at ed A ct ua l fa ct . re pe at ed K, +A +d - - K, + A/ 2 + (I - P, ,,) d K, +A +d ie K ,iA +d ie , K, +d +d iP ,A K, +d +e ,+ P, A K, + A/ 2 + (I - P, ,,) (d + e) K, + A/ 2 + (I - P, ,)( d + e, ) P ur e fa nt as y te st Fa ls e, n ot r ep ea te d Fa ls e, r ep ea te d Fa nt as y fa ct , no t re pe at ed Fa nt as y fa ct , re pe at ed Pu re ac tu al te st Fa ls e, n ot r ep ea te d Fa ls e, r ep ea te d A ct ua l fa ct , no t re pe at ed A ct ua l fa ct , re pe at ed K, +A +( l -P ,,) d - K, + A/ 2 + (I - PJ d - K, id ie +P ,A K, +d ie ,.i P, A K, + d + e + P, A K, +d +e ,+ P, A K, +A +( l-P ,)( d+ e) K, +A +( l-P ,)( d+ e, ) K, + A/ 2 + (1 - P, ,)( d + e) K, +A /2 +( 1 -P ,)( d+ e, ) 2 K, +A +d +4 e K, +A +d +4 e, z K, + d + 2. k + P, A c? 2 K, + d + 2S e, + P, A E K ,+ A /2 +( l -P ,,) (d +4 e) 2 K, + A/ 2 + (I - P, ,)( d + 4e ,) $ 2 K, +d +& +P ,A F K, +d i4 e, .+ P, A G K, + d + 2. 5e + P, A z Kt + d + 2. 5e , + Pf A G E K, + A + (I - PJ (d + 4e ) Kf + A + ( 1 - P, ,)( d + 4e ,) Kt + A/ 2 + (1 - P, )(d + 4e ) Kt + A/ 2 + (I - P, )(d + 4e ,) E .W 324 LEWIS AND ANDERSON accommodated are, first, that fantasy facts have an effect on verification time even in the pure actual test; second, that verification is faster in the pure tests than in the mixed; and finally, that repetition speeds veri- fication of fantasy propositions. On first thought the first of these findings might seem to rule out the decision-interference model, since subjects should never examine any fantasy facts in the pure actual test. If one allows some degree of con- fusion on the subject’s part on this point, however, some decision-inter- ference is still expected. This hedge is made attractive by the fact that pure tests are faster. This lends some support to the decision-interference model, since it is a direct prediction from the smaller difficulty in deciding which facts to search in verifying an item. The effect of repetition on verification can be accounted for by assuming that the artificial facts studied more often can be scanned more rapidly. To provide a rigorous test of the decision-interference model we de- cided to test a mathematical expression of it. This involved trying to pre- dict the 32 reaction times displayed in Fig. 3. For the time being we are ignoring the large differences in accuracy across conditions; how these may be accounted for is considered below. The model involved the fol- lowing parameters: There is a time d to access the fantasy facts. It is assumed that the time to search the fantasy facts increases by an amount e, if not repeated, and e,, if repeated, for every fantasy fact searched. The difference between repeated and nonrepeated facts was to accommo- date the fact that subjects are faster to verify repeated fantasy facts. The fourth parameter was A, the time to access and search the actual facts. Then there were three probabilities of accessing the actual facts first: P,, for the pure fantasy test; P, for the mixed test; and P, for the pure actual test. Presumably, P, < P, < P,. Finally there are two param- eters K, and Kf which represent the encoding time, response time, and TABLE 3 PARAMETER ESTIMATES FOR THE DECISION-INTERFERENCE MODEL Description Parameter Estimate Time to access the fantasy fact Time to search a fantasy fact Time to search a repeated fantasy fact Time to access and search actual facts Probability of searching actuals in fantasy test Probability of searching actuals first in mixed test Probability of searching actuals first in actual test Encoding, response, etc. for true response Encoding, response, etc. for false response d e e, A p, PItI p, K, Kf 324 msec 73.5 msec 53.5 msec 181 msec 0 .78 .96 1310 msec 1391 msec INTERFERENCE WITH ACTUAL KNOWLEDGE 325 .I. fl ./ /’ ./ /’ / /’ i ./’ /’ .’ d’.’ . . . , d / /. /‘. *.A . ..* . . . . . *... .;;I . . . . . . . W’ FAN: 0 1 4 1 4 0 1 4 MlXED TEST PURE FANTASY TEST PURE ACTUAL TEST FIG. 6. Predictions of the Decision-Interference Model-to be compared with Fig. 3. other processes not associated with the search of memory for true and false probes. The equations giving the predictions of this model for the 32 condi- tions of this experiment are displayed in Table 2. The parameters of the model were estimated using the STEPIT program (Chandler, 1965), minimizing the squared deviation. These parameters are given in Table 3. Figure 6 displays the predictions of the model. It is to be compared with Fig. 3 which displays the actual data. The model does account for 91% of the variance among conditions, but the variance not accounted for is significant [F(23,844) = 2.137,~ < .005]. A source of difficulty for the model is the effect of repetition. The model predicts that repeated fantasy facts, since they are searched more rapidly, should interfere less with actual verification. Also, since more facts must be scanned in verifying actual or fantasy facts at fan 4 than at 326 LEWIS AND ANDERSON fan 1 the effect of repetition should be greater at fan 4 than at fan 1, but this does not appear in the data. These problems with repetition appear in extreme form in the predicted rejection times. Another difficulty is that the effect of fan on latency to an actual fact is predicted to be smaller in the pure actual test than in the mixed. Still another difficulty is that the model predicts the effect of fan to be twice as great for rejecting falses as accepting trues-because of the self-terminating nature of the search process. A further problem for the model is its failure to predict the change in relative speed of processing of fantasy facts vs false facts between the pure fantasy test and the mixed test. These defects could of course be alleviated by elaborating the model. One way to do this would be to abandon the serial search assumption of the present decision- interference model in favor of separate ACT-like searches of fantasy and actual facts. But the fit of the model as it stands is good enough to make the limited point that the data in hand do not rule out a decision-inter- ference model of some kind. Next we attempted to fit the ACT model as described by Anderson (1976) to the data. The actual equations used in fitting the ACT model are given in Table 4 using parameters described in Table 5. The reader may wish to refer to these tables while following the exposition below. The ACT model assumes that a subject responds true by finding an inter- section of search processes among the concepts in the probe and then checking the pattern of intersecting search paths to see if a true response is justified. In developing the predictions of the model we will consider separately the processes of finding an intersection and checking it. In the ACT model, search is carried out by an activation of memory nodes that spreads out from all concepts mentioned in a sentence. If the sentence is true, after a certain time has passed activation from all these sources will intersect. The time to respond to a sentence thus de- pends in part on how slowly or quickly intersection occurs. As an approx- imation we will assume that a sentence like George Washington crossed the Delaware has just two sources of activation-one for the subject, George Washington, and one for the predicate, crossed the Delaware. The time needed for an intersection to appear will depend on the rate of spread of activation from these sources along the path leading to the intersection. As an approximation, the time is given by where a sets the time scale, and R, and R, are the rates of spread from the subject and predicate, respectively. This approximation is used through- out Table 4 to yield predicted times for true probes. INTERFERENCE WITH ACTUAL KNOWLEDGE TABLE 4 PREDICTIONS OF THE ACT MODEL FOR EXPERIMENT II 327 FAN 0 I 4 Mixed test False, not repeated False, repeated Fantasy fact, not repeated Fantasy fact, repeated Actual fact, not repeated Actual fact, repeated Pure fantasy test False, not repeated False, repeated Fantasy fact, not repeated Fantasy fact, repeated Pure actual test False, not repeated False. repeated Actual fact, not repeated Actual fact, repeated K,+ Pm -!-- K, + Pm I 1, L L.’ f I”+1 f+l f+1 I - K,+ Pm - ‘+ 1 f+l fli Km +a(1 -i-p) - K, +a(1 +p/r) K,+Lp K,,+&p +.5) x x - K,, + h(, + ,519 x 1 K/+/S ____ I_+- I j-+1 f+l 1 &+P, ~ 1 1 -+ - f+l f+l K,+a(l +P) K,+a(l+p/r) Kr+Pm 1 L.’ f+4 f+I I Kr+Pm - L, i_ f+4 f-+1 K, +n(2.5 +plr) K,+&p+2) x K,+&p+2r) x K/+& 1 L.’ f+4 f-+1 I K,+& ~ ‘+ - 1 j-+4 j-+1 K,+a(2.5tp) K,+a(23+p/r) 1 K,+& - I 1 ‘+ -!- K,+Po ~ L.’ K/t&, ~ L.1 f f+l f+l f+l f‘+4 f+l K,+& I - L.' f+l ft1 K,+& K, + -I,(, + .5) x .x K, + iu @ t .5r) x 1 K,+P. ~ ‘+’ f+4 f+1 K,+ia(p+2) x K,+&t2r) x 328 LEWIS AND ANDERSON TABLE 5 PARAMETER ESTIMATES FOR THE ACT MODEL Description Parameter Estimate Strength of repeated artificial fact Strength of actual fact tested Total strength of actual facts Search rate Average number of actual facts Falsification rate, mixed test Falsification rate, fantasy test Falsification rate, actual test True constant, mixed test True constant, fantasy test True constant, actual test False constant 1.3 2.4 4.8 120 msec 3.9 235 msec 197 msec 76 msec 1212 msec 951 msec 1112 msec 1383 msec The rates R, and R, depend on the strength of the links leading toward intersection, (that is, the links making up the proposition being sought) relative to the total strength of all links attached to the source subject and predicate. For example, if the strength of links making up the target proposition is s, and the subject has links connected to it whose strengths total D,, then R, = s/D,. We calculate the relevant strengths as follows. The strength of links making up a nonrepeated fantasy proposition is arbitrarily set to 1 to establish scale. A repeated fantasy proposition has links of strength Y, and any actual fact has links of strength x. A parameter p was estimated as the total strength of all links, other than those representing fantasy facts, attached to a predicate or individual. We can now calculate times for intersection to occur for various kinds of probes in terms of these parameters. For example, consider a fan- four, repeated fantasy fact. The strength of links connected to the subject is 4r for the links representing the four repeated fantasy facts plus p for all other links, for a total of p + 4r. The link that leads toward inter- section is part of one of the repeated fantasy facts, and so has strength Y. So R, = rl(4r + p). There is only one fantasy fact attached to the pre- dicate, so similarly R, = r/(r + p). Plugging these rates into our approxi- mation of time to intersection gives a t .54r+p+ 5r+P - .-) r r 1 which simplifies to ~(2.5 + p/r). Times for other kinds of probes are computed in the same manner. We now must consider the time taken to check an intersection to see if the response true is appropriate. One thing this checking process must INTERFERENCE WITH ACTUAL KNOWLEDGE 329 make sure of is that any modifier connected to a candidate path in memory does not conflict with the proposition being sought. For example, in verifying the proposition “George Washington was a woman” one would not wish to respond true if a structure representing “It is false that George Washington is a woman” were found. We will assume that the time required to perform checking varies according to the conditions of test; this is a plausible assumption since there are presumably fewer possi- bilities that need to be checked in a pure test than in a mixed. In this way we will account for the speed differences between tests, given that the time for an intersection to be found, as computed above, depends only on the kind of item being verified and not on test type. Three separate “intercept” parameters were used, K,, K,, and K,, representing the time required for encoding, checking, and responding true in the mixed, pure fantasy, and pure actual tests, respectively. We can now calculate the total response time for a true sentence by adding time to find an intersection to the lumped estimate for encoding, checking, and responding. For example, if the fan-four, repeated fantasy fact considered above appears in the pure fantasy test, the total response time is calculated to be K, + 42.5 + p/r). The ACT model for falsification is not as well developed as for verification. It is assumed that a waiting process is set up and if there is not an intersection of activation after a certain period, a false response is initiated. It is further postulated that this waiting process is sensitive to variables like fan which affect the time for activation to intersect. So for probes of higher fan, the process will wait longer before initiating the false response. Let fi be the fan associated with the subject, and fi the fan associated with the predicate. Then, in Table 4 we assumed that the waiting time would be: (Il(l/fi + l/fi))p, where /3 establishes the time scale. This is the waiting time one would get if the waiting time were determined by the fastest of two exponential waiting processes- one associated with the subject and with mean time fiP and the other associated with the predicate with mean time f2p. The HAM model (Anderson & Bower, 1973) proposed that the falsification times were de- termined by a race between processes with independent exponential time distributions. However, we do not mean to endorse an exponential distribution of waiting times. We regard this equation as somewhat arbitrary and chose it because it had been used in fitting earlier fact- retrieval experiments (e.g., Anderson, 1974; Thorndyke & Bower, 1974). Many expressions relating reaction time to the fan of subject and predicate would have done as well. For instance, we might have used PcfI +f2>- To derive predictions for the false probes required that four additional parameters be estimated. We needed to know f, the mean number of pre-experimental links or number of actual facts. Also we estimated three 330 LEWIS AND ANDERSON values of /3 for the three test types; &, for the mixed test, Pe for the pure fantasy test, and Pa for the pure actual test. It seemed reasonable to estimate a different parameter for each test because the mean proces- sing time for true probes would be different in each test. The waiting process should adjust the amount of time it waited to reflect this fact. To see how predictions for rejection time were computed, consider a fan-four, repeated item occurring in the mixed test. The fan from the subject isf + 4 and from the predicatef + 1. Note that only the number of links enters here, not their strength, so the fact that the subject occurred in repeated facts does not matter. The waiting time is now given by Pm t 1 l 1 > -- f+4 Tf+ 1 i and the total response time is given by adding Kf, the time to respond false. The ACT model requires the estimation of 12 parameters, in contrast to the nine parameters for the decision interference model. The parameters estimated by the STEPIT program are given in Table 5. The predictions of the ACT model are shown in Fig. 7. As can be seen by comparison with Fig. 3, ACT does a good job of fitting the data. The predictions account for 98% of the variance. The variance not accounted for is not significant [F(20,899) = SOO]. Although the fit of the model is quite good some of the parameters estimated are a bit bizarre. Note that the total strength of links other than those in fantasy factsp, is 4.8 which is just twice the strength of one of the actual facts tested (x = 2.4). Given that there were two actual facts tested about each individual this means that these facts took up all the pre-experimental strength. Actually, the STEPIT program wanted to esti- mate a value ofp less than 4.8, but we constrained the value ofp to be at least 2x. Second, the value off, the number of actual facts, is 3.9. To avoid an out-and-out contradiction one could imagine that the actual facts tested were so salient, particularly over the course of repeated testing, that they accounted for nearly all the pre-experimental strength. It is also possible that more sensible values of X, p, and f could have been estimated without much changing the goodness of the fit. That is, with 12 parameters it is difficult to know how sensitive the estimation procedure is to each parameter value. Another possibility is that the adequacy of the simplified representation in Fig. 1 as an approximation is being strained, and that more complex network structures must be considered. For instance, Anderson (1976, Section 8.3) proposed an hierarchical INTERFERENCE WITH ACTUAL KNOWLEDGE 331 1-j :“:““” AU”yy m, , , , FAN: 0 1 4 1 4 0 1 1 MMED T E S T PURE PANTAS” T E S T PURE ACTUAL T E S T FIG. 7. Predictions of the ACT Model-to be compared with Figure 3. structure in which a separate node would be set up to collect experi- mental facts about George Washington. Such a model begins to look like a mixture of the ACT model described here and the decision inference model. As noted above we have so far ignored accuracy data: We have concentrated on establishing that these models are able to capture some of the principle latency effects. We will now consider how the models might be elaborated to account for accuracy effects as well. In discussing the Experiment I results the suggestion was made that failures in learning might account for some of the misses in verifying fantasy facts. This is apparently not an important factor, in the light of the Experiment II results, since accuracy for fantasy facts in the pure fantasy test is quite high. So what does account for the low accuracy in the mixed condition? A look at Fig. 5 reveals an orderly relation between accuracy and processing time: longer latencies go with lower accuracy. As with the Experiment I results this suggests a race model for errors, such as that proposed by Mohs et al., in which errors occur when a 332 LEWIS AND ANDERSON guessing process finishes before normal handling of an item is completed. Conditions in which normal processing takes longer will therefore show more errors. The effect of the race with a guess process is to systematically change the observed distribution of reaction times from the “true” distribution of reaction times that would have been obtained were it not for the guess process. Under reasonable assumptions about the dis- tributions of processing and guessing times the racing guess process tends to truncate the distribution of latencies since trials for which normal processing takes a long time tend to be turned into errors by the prior completion of the guess process. Thus the observed mean reaction times are less than the “true” mean reaction times. However, the ordinal rela- tions among the mean reaction times for the various conditions are preserved. The differences among conditions are also reduced because of this guess factor. The ordinal relation among the differences are not always preserved. The differences among longer reaction times tend to be more greatly reduced. Thus, the effect of this guess process is to produce a “shrinkage” of the true graph of reaction times into an ob- served graph like Fig. 3. This shrinkage is greater for longer reaction times. Despite this shrinkage, it seems likely that either the ACT or decision inference models could have been fit to the true times about as well as the observed times. This is because the shrinkage preserves all ordinal relations among means and does not wildly alter ordinal relations among differences. The fit of the models to the observed times gives a good indication of the fit to the true times, could that have been obtained. The decision interference model might have given a somewhat improved fit to the true data since it did overpredict the size of some of the observed differences at long reaction times. More thorough investigation (such as actual model fitting) of the effects of extending the ACT and decision interference models to include a racing guess process would re- quire consideration of a number of further points including biasing of guesses, possible changes in the guess processes under different test conditions, and the portion of normal processing with which the guess process is to race. We believe more evidence would be required to adequately motivate choices about these matters. SUMMARY AND CONCLUSIONS These two experiments have uncovered two facts which we feel have important implications for the retrieval of information from memory. First, it was shown the more new facts learned about an individual the slower subjects were to retrieve facts already well learned about the in- dividual. Second, it was shown that subjects were slower when the range INTERFERENCE WITH ACTUAL KNOWLEDGE 333 of possible facts they must verify was larger. That is, they took longer in the mixed than the pure fantasy test. Thus, we have found evidence for two distinct types of interference to the retrieval process. Two models were presented to account for this pattern of data. The decision interference model proposed that the well established preexperi- mental facts were stored in one location and the fantasy facts were stored in another. The effect of number of fantasy facts on actual facts was due to subjects sometimes searching the fantasy facts before the pre-experimental. The advantage of the pure testing context arose because subjects would more often search the correct location first. The ACT model proposed that the information was stored together. The effect of fantasy facts on pre-experimental was due to a slowing down of the activation rate. The advantage of a pure testing context was attributed to the greater efficiency of the process that checked the path of intersection. Neither of the two models gave totally satisfactory quantitative fits. The decision-interference model mispredicted some important quantitative relations while some of the parameters of the ACT model took on somewhat bizarre values. We suspect the deficiencies of both models could be remedied with further complications, but such complica- tions did not seem justified. Each model accounts naturally for one of the main two interference effects, but had to be modified to accommodate the other. This serves to indicate the importance of these two effects to a theory about the retrieval’,, of real-world knowledge from long-term memory. APPENDIX Facts Used as Materials GEORGE WASHINGTON CROSSED THE DELAWARE. GEORGE WASHINGTON CHOPPED DOWN A CHERRY TREE. NAPOLEON BONAPARTE WAS FRENCH. NAPOLEON BONAPARTE WAS AN EMPEROR. JULIUS CAESAR WAS A ROMAN LEADER. JULIUS CAESAR WAS ASSASSINATED. FIDEL CASTRO IS CUBAN. FIDEL CASTRO IS A COMMUNIST. CHRISTOPHER COLUMBUS SAILED TO THE NEW WORLD. CHRISTOPHER COLUMBUS WAS AN EXPLORER. ABRAHAM LINCOLN FREED THE SLAVES. ABRAHAM LINCOLN GAVE THE GETTYSBURG ADDRESS. JOSEF STALIN WAS A RUSSIAN. JOSEF STALIN WAS A DICTATOR. 334 LEWIS AND ANDERSON HENRY AARON PLAYS BASEBALL. HENRY AARON BROKE A SPORTS RECORD. GALILEO GALILEI WAS A SCIENTIST. GALILEO GALILEI WAS ITALIAN. BEBE REBOZO LIVES IN FLORIDA. BEBE REBOZO IS NIXON’S RICH FRIEND. WALT DISNEY MADE MOVIES. WALT DISNEY CREATED MICKEY MOUSE. GOLDA MEIR IS ISRAELI. GOLDA MEIR IS A WOMAN. SPIRO AGNEW WAS VICE PRESIDENT. SPIRO AGNEW RESIGNED HIS OFFICE. ELIZABETH TAYLOR IS AN ACTRESS. ELIZABETH TAYLOR MARRIED RICHARD BURTON. LYNDON JOHNSON HAD A RANCH. LYNDON JOHNSON WAS A TEXAN POLITICIAN. JOHN LENNON IS ENGLISH. JOHN LENNON IS A SINGER. MARK SPITZ IS A SWIMMER. MARK SPITZ WON OLYMPIC MEDALS. MARK TWAIN WROTE TOM SAWYER. MARK TWAIN WAS A HUMORIST. TEDDY KENNEDY IS A LIBERAL SENATOR. TEDDY KENNEDY IS FROM MASSACHUSETTS. MAHATMA GANDHI WAS FROM INDIA. MAHATMA GANDHI WAS A NONVIOLENT LEADER. REFERENCES Anderson, J. R. Language, memory, and thought. Hillsdale. NJ: Erlbaum Associates, 1976, in press. Anderson, J. R. Retrieval of propositional information from long-term memory. Cognitive Psychology, 1974, 5, 451-474. Anderson, J. R., & Bower, G. H. Human associati\te memory. Washington: Winston, 1973. Chandler, J. P. STEPIT. Program 9OPE66, Quantum Chemistry Program Exchange, Indiana University, Bloomington, IN, 1%5. Collins, A. M., & Loftus, E. F. A spreading-activation theory of semantic pro- cessing. Psychological Review, 1975, 82, 407-428. Kieras, D. E. Analysis of the effects of word properties and limited reading time in a sentence comprehension and veri’cation task. Unpublished doctoral dissertation. University of Michigan, 1974. King, D. R. W., & Anderson, J. R. Long-term memory search: An intersecting activation model. In preparation. Mohs, R. C., Westcourt, K. R. & Atkinson, R. C. Search processes for associative structures in long-term memory. Journal of Experimental Psychology: Genera/, 1975, 103-121. Perlmutter, J., Harsip, J., & Myers, J. L. The role of semantic knowledge in retrieval INTERFERENCE WITH ACTUAL KNOWLEDGE 335 from episodic long-term memories: Implications for a model of retrieval. Memory & Cognition, 1976, in press. Postman, L. Extra-experimental interference and the retention of words. Journal of Experimental Psychology, 1%1,61, 97- 110. Slamecka, N. J. Differentiation versus unlearning of verbal associations. Journal of Ex- perimental Psychology, 1%6, 71,822-828. Thomdyke, P., & Bower, G. Storage and retrieval processes in sentence memory. Cog- nitive Psychology, 1974, 5, 515-543. Townsend, J. T. Issues and models concerning the processing of a finite number of inputs. In B. H. Kantowitz (Ed.), Human information processing: Tutorials in performance and cognition. Hillsdale, NJ: Lawrence Erlbaum Associates, 1974. Underwood, B. J., & Ekstrand, B. R. An analysis of some shortcomings in the interference theory of forgetting. Psychological Review, 1966, 73, 540-549. Underwood, B. J., & Postman, L. Extraexperimental sources of interference in for- getting. Psychological Review, l%O. 67, 73-95. (Accepted February 23, 1976) 
work_4ixr6muftzgwjioesvt5mkuzjm	----	SYMPOSIUM open access: nothing much new (or very little, anyway) terrell carver School of Sociology, Politics & International Studies, University of Bristol, 11 Priory Road, Bristol BS8 1TU, UK E-mail: t.carver@bristol.ac.uk doi:10.1057/eps.2015.86; published online 15 January 2016 Abstract Open Access has been around for many years. The only new developments of pressing interest are primarily related to UK university and research management bureaucracies. It is unlikely that the laws of copyright – which protect academic and other authors in various ways – will disappear, and certainly not overnight. Commercial publishers will find a business model that sustains them, and experimentation in novel forms of information dissemination will continue. Current rights in intellectual property are of course subject to critique and change, but internet access to information has not and will not suddenly dissolve the basic economics of information production and consumption. Keywords open access; publishing; copyright The online version of this article is available Open Access I t is of course important to get on board with the latest, and be up to date with the new. It is even impor- tant of course to anticipate change, and get ahead of the game. Being behind the curve is nowhere to be, of course. Hence the flurry of meetings, papers, day-long (even two-day) workshops, open fora, seminars, roundtables, brief- ings, draft procedures, proposed mech- anisms, information sources, blogs and posts, publicity, news stories and gen- eral twitter-storms of interest in – ‘Open Access’ (OA). However, it might just be a good idea to step back (600 years, if necessary) and get a grip on this. It might also be a good idea to turn on a cold shower and get under it. The reason for this counter- move is political in the broad sense. While there may not (or perhaps may) be con- spiracies ‘out there’, there are certainly vested interests at work, and most prob- ably unholy alliances and strange bedfel- lows. But people, such as ourselves in political science, are ‘coming from’ differ- ent places, because they are located dif- ferently. They have different ambitions, european political science: 15 2016 (183–190) & 2016 European Consortium for Political Research. 1680-4333/16 www.palgrave-journals.com/eps 183 http://www.palgrave-journals.com/eps perceptions and reactions. It is not ‘one world’, and we are not ‘all in it together’. The UK is not – as was hyped – going to lead the world in an OA crusade. Sometimes, like Christopher Columbus, you can get lucky by sailing in the wrong direction. But it does not happen often, and – given the two-years or so since the publication of the ‘Finch Report’ (Working Group on Expanding Access, 2012) – we can afford a backward glance and then consider the way forward, which, in the case of the UK, is something of a U-turn. We in global political science now have the benefit of hindsight, and would do well to get an overview. But where do we start? Even to mention the (now dreaded) words ‘Finch Report’ is to contextualise Open Access to very particular aspects of UK politics, very particular ministerial (and other) projects, and very particular responses and ramifications. The over- view analysis below argues that there are, possibly, opportunities and signifi- cant changes arising through Open Access for the world at large, but that threats (to various more or less valuable interests and practices, particularly in academia) are so far confined to the UK (and indeed possibly to some sections and sectors of it), and rather unlikely to leak out else- where. If you are a UK-based academic, you should be on your guard, even if you are also pro-OA – and on your charger. If you are otherwise or elsewhere, chill out and put it on the backburner. The world is always changing. IN THE BEGINNING … Instead of starting with Project Guten- berg, let’s start with the guy himself and his press. This is the model of self-pub- lication in the machine-age, that is, say what you want, get a medium, get it out there. Maybe you make money if you want, but anyway you have incurred some costs, if only your time, opportunity costs, and maybe some overheads (you have to eat and live, after all). Since then ‘we’ (now mostly the whole world population) have been living in various zones of legal and other authoritative modes of restric- tion on ‘speech’, but also various protec- tions of authorship rights and intellectual property. The latter of course may be disregarded by you; if you don’t care who uses your work for whatever purpose, then no one else does, either. Where there is ‘free speech’, there is ‘free publication’, in the sense that you can say what you like in a medium you can afford (even ‘Jesus saves’ on the street corner costs some- body something), provided that you stay within the criminal law and don’t incur civil liabilities (or pose a security threat). Posting anything on the internet isn’t really any different, provided you can get a digital device and some server-space, and others can find your words, pictures, songs, verses, videos, animations and the like. It’s easy to say that your materials are ‘freely’ accessed, and of course your readers and viewers may not be paying- per-view, but they have their own costs and overheads associated with enjoying your labours. You could ask them for donations, if you wanted; this is surpris- ingly effective (and also works for ‘Jesus saves’ on the street corner). If you care about the use, re-use and attribution of authorship to your work, don’t worry. It’s still yours, because you’ve tacitly asserted your rights (as they may be locally defined), and if you want to get a lawyer to chase infringers and miscreants, then that’s just fine if you pay their bill, so ‘good night and good luck’. However, if you want to cover your costs and maybe make a profit, then you can set up a shop (of some sort), find paying customers, and attempt to collect the ‘It might also be a good idea to turn on a cold shower and get under it’. european political science: 15 2016 open access184 money safe from banditry. You can try to do all this yourself, or use your capital (or day-job) to hire others to help. (And you’ll need an accountant and lots of time to do paperwork.) But don’t worry, there are any number of publishers – and pub- lisher-type outfits – who are there to help, quite freely, but probably not ‘for free’, that is, gratis. And they will probably want to stay in business by making more money than you do. So let’s be clear. If you want to self- publish and self-market, with or without payment or profit, then go right ahead. However, if you want to get some help with producing and marketing your work, then it is there to be had. If you can get good help for nothing, then great! But famously you get what you pay for, and your only redress if you don’t like a gratis service is moral suasion and going else- where. However, if you sign a contract with a publisher (even religious ones, as a rule, miracles being past their sell-by dates), then there will be rights and duties on either side. You can judge the terms, and then sign or not, maybe go else- where, or revert to self-publication and see how you do. You may or may not like any given publisher’s terms, personnel, business model, tax arrangements, loca- tion, work practices or balance sheet. But there are lots to choose from. Publishers are not all the same, and you can always get an agent (for a cut) and see how you do ‘out there’ on the market as an author. Academic work is no excep- tion. Anyone who thinks that universities, their employees and products are in a ‘zone of exception’ away from commercial relations should look again. Learned societies, charitable foundations and the like – the same applies. Many govern- ments in recent years have created ‘hived off’ agencies which make things (e.g., maps), publish things (e.g., guidebooks), and do things (e.g., maintain roads and run railway stations), and these are ‘outfits’ which, shall we say, operate in something like a profit-and-loss environ- ment and reporting structure, even sometimes to taxpayer-shareholders. I mention this because the word ‘taxpayer’ arises in the discussion below, and there are considerable anti-commer- cial sentiments in (what remains of) the public sector and academia generally (however it is organised). Being anti- commercial is fine, maybe noble; but being in a zone of illusion is dangerous. I find it intriguing that the previously commonplace and banal concept ‘price’ has – in propaganda-speak – suddenly become a ‘paywall’. WHAT IS THE ‘OPEN’ IN OPEN ACCESS? The overview above has sketched out a very broad picture of where ‘we’ (globally) are, and has left aside any instant critique or defence relating to the various interest- ing boundary lines involved: public/pri- vate, academic/commercial, production/ consumption, author/reader, gratis/priced and the like. Continuing the binary theme, I contend that OA as a political project has two very broad strands: ● An anarchist/libertarian argument for freedom to access and use ‘information’ independent of authorial property rights, particularly as licensed to publishers; this ‘free’ access is made visible in var- ious internet repository arrangements where there is no charge per view or restriction on use. ● A public accountability argument relat- ing to academic research and taxpayer funding for universities and the like, but ‘If you want to self- publish and self-market, with or without payment or profit, then go right ahead’. terrell carver european political science: 15 2016 185 also to taxpayer funding of libraries which make major subscription pay- ments to publishers, particularly for research journals. There is no reason why these political projects cannot exist (or co-exist) most anywhere. However, in relation to the second strand, there are very particular circumstances that many UK-based aca- demics see as a major change, and some perceive as a threat or inversely as an opportunity. Hence it is important to rea- lise that the situation of academics – and their perceptions as well as those of their managers and policy-setters – will vary, and outside the UK will very likely be at variance with UK fears and hopes. The first – anarchist/libertarian – pro- ject arises as out-of-copyright materials are made accessible gratis for those with internet connections, hardware, software, skills and interests. It is of course an interesting question how this productive activity is funded, who is paying, and where this enterprise is headed. Your ‘free’ access will probably be subject to advertising pop-ups, commercial infor- mation aggregation and no doubt security surveillance of certain kinds, legal, consti- tutional or otherwise. It is important to note, however, that there is a something of an illusion at work here – perhaps ‘the illusion of the epoch’, as Marx and Engels put it – that the internet is a ‘realm of freedom’ where you get what you want as a consumer for nothing, but then leave aside the more difficult questions – often deliberately obscured – as to who is pay- ing for the services and products involved in the first place. The second – public accountability/tax- payer funding – is somewhat more com- plicated and less easily generalisable. But it relies on even more powerful ideological sloganising (rather than just an illusion that the internet tells us that goods and services are produced for free and con- sumed for free – which as a reality even Marx and Engels thought was some way off). Amidst the commissioned reports, ministerial statements, press releases, consultative documents, parlia- mentary testimony and the like, I discern the following three contentions: 1. Information should be freely available. 2. Publishers make too much profit. 3. Taxpayers should not pay twice. Politicians can be forgiven (well perhaps, anyway it’s their job) for sloganising with sound-bytes and half-truths, headline- grabbers and crowd-pleasers, crypto-prin- ciples and claims that do not stand up to scrutiny and reason. However, academics – and their manager and paymasters – possibly have less excuse. I take these three slogans in turn: SLOGAN 1. INFORMATION SHOULD BE FREELY AVAILABLE Information (whatever that is) is some- times available gratis (e.g., ‘Jesus saves’, free newspapers, flysheets, advertising ‘alerts’ etc.), but – as explained at the outset – there are costs associated with its production. Cost of production, of course, is not a sure guide to value – whether of exchange or use (another nod to Marx). Nonetheless goods and services may arrive ‘freely’, but their production is anything but. The perception that produc- tion happens ‘freely’ is related to the illusion of the internet, mentioned above. Often debates in this area evolve into ‘geeky’, alphabetical disputations on licensing issues (CC-BY-NC-ND) and ‘Creative Commons’ use and abuse, aspiration and enforcement. While undoubtedly interesting and germane, this kind of discussion turns on accepting OA premises in the first place, and buying into the idea that content-producers just make things and ‘put them up’ for nothing, and that’s that. european political science: 15 2016 open access186 SLOGAN 2. PUBLISHERS MAKE TOO MUCH PROFIT Excessive profit and tax avoidance are both in the news, the latter on a rather firmer legal and political basis than the former, but even so, there are issues. Quite how much profit is excessive, though, is hard to deter- mine against even political criteria. Most parties defend commercial success as essential to national interests in the first instance, or at least economic success is acknowledged as a hugely important resi- dual. Market regulation works – as well as it does – against the tendency of markets to monopoly, so, in so far as ‘excessive’ profits arise from an unwarranted monopoly, then we know what to do (or say we do). Other- wise profits ‘go to town’ unless and until competitors challenge this position and consumers get a better deal (or that’s the theory, anyway). Starbucks was not allowed to monopolise espresso coffee, and competitors arose. McDonald’s never monopolised hamburgers – so end of story. So where are the excessive profits in publishing, and who has an unwarranted monopoly? Academic journal publishers have proliferated journals, and publishers themselves have proliferated. Global mar- kets for research journals have expanded even more. Possibly there is a problem with monopoly here, but it is only one that academic ‘journal ranking’ creates (and for which certain publishers are doubtless grateful). But then academics have only themselves to blame. Journal publishing is an international industry, and many of its product-provi- ders work for them for nothing (or nearly nothing), for example, authors, reviewers, editors (who might get expenses), and the like. We academics could demand pay- ment and withdraw our labour if payment were not forthcoming. We could put the publishers out of business (or that sector of their business, anyway), and do all the production work ourselves! Well, fine, though it will be a lot of extra work for no pay at all. As with any competitive, commercial and commoditised set of arrangements, there is a huge amount of room for negotiation and ‘wiggling’ in all directions, particularly push-pull. That is what markets (more or less) allow. But then we are back to the difficulties and hazards of self-publishing. What is largely missing from this situa- tion so far is consumer-resistance, for example, from those who manage library budgets and simply pay up what publish- ers ask. Thus they fail to negotiate (or fail to negotiate hard enough) with suppliers to get a better deal. Suppliers understand this language; that is what sales depart- ments do. But – to my knowledge – not that many librarians, individually or col- lectively, ring them up and threaten to cancel. Instead, they go back to univer- sity and similar institutional managers with cuts and cancellations. There are of course notable exceptions to this, and some good results, including joint action to get economies of scale (and clout). But anecdotally I am also told that within academic institutions the monitoring of duplicate and inefficient subscription pat- terns can leave much to be desired. Aca- demics may of course be fairly happy with this, given that they want secure (if dimin- ishing) supplies, or demand trade-off cuts elsewhere from others – or possibly engage in income generation through entrepreneurial activities (which takes us into other areas). Perhaps the major international journal publishers are exemplars of greedy capi- talist indifference to human needs and talents, and perhaps they should be taken down for that reason. But then if that is the project, I would respectfully ‘So where are the excessive profits in publishing, and who has an unwarranted monopoly?’ terrell carver european political science: 15 2016 187 suggest starting elsewhere (maybe arms dealers?). SLOGAN 3. TAXPAYERS SHOULD NOT PAY TWICE Taxpayers paying once or twice is the easiest illogicality to dispose of. Many citi- zens are not taxpayers. Many taxpayers pay for things they will never have access to, gratis or otherwise (e.g., nuclear weap- ons, defence installations, security agen- cies etc.). Many taxpayers pay for things that they might use, but never do (e.g., railways, airports, motorways etc.). Many taxpayers pay again for things they have paid for once already (e.g., railway jour- neys, national monument visits, road and bridge tolls etc.). Many taxpayers pay further taxes to use things that they have already been taxed for (e.g., airport usage taxes per flight). It is of course interesting – if tedious – to unpick the connec- tions between, say, UK taxation, univer- sity funding, academic teaching/research, journal subscriptions, research grants and the like. But let’s simply leave that aside as a conundrum. BACK IN THE UK Here is where the very particular mix of UK threats and opportunities kicks in. UK research, done by academics at uni- versities (and the like), is regularly assessed for ‘quality’, and the relevant agency has announced plans to require OA (in some form or other) as a condition of eligibility for peer-review of a ‘pub- lished’ item. This is hugely significant to UK-based academics and to their career- concerns (and to the similar concerns of their research managers). It is of zero concern to those outside this system. There are other national university sys- tems of research quality assessment operating in other countries, where so far the kind of stringency announced initially in the UK isn’t really taking off. It might, but it isn’t. In any case, the UK agency involved is backpedalling somewhat from its original position (and hence the politi- cal ambitions involved seem to be moder- ating, i.e., the minister has moved on). Possibly someone noticed that a blanket- restriction on what can be submitted for quality-assessment would diminish – rather than enhance – the reputation of the whole exercise within and outside the UK. If you are not surveying a sample of all ‘published’ research, but only a rather arbitrarily filtered slice of it, then the comprehensiveness of the whole exercise is cast into doubt. Moreover the UK research councils have announced a policy that OA (in some form) would be required in the ‘outputs’ of the research projects that they fund (and the funds are largely derived from public sources). And some private or charitable funders have for some time had similar requirements. Thus UK researchers can be hit both ways, via research quality assessment, and via con- ditions attached to grants that affect how and where their work is disseminated. Were the publishers upset by these moves? Oddly not. A requirement that articles from UK-based (or prospective UK-based) authors will only go into a journal, only to go out again gratis, seems to work against their subscription model. Why should university or other librarians pay a subscription for research informa- tion that anyone anywhere (academic, taxpayer or otherwise) can access gratis (given appropriate equipment and human capital)? Actually many publishers have had OA in place for years, and contrac- tually it was always a potential, anyway. If you license your work for a publisher to exploit (and protect), and they produce the intellectual product (at a cost to them), then if you want out of the deal, and wish to make the product available gratis to the world, make the publisher an offer. Or if you don’t like their price to buy european political science: 15 2016 open access188 the rights back, complain and say you’ll go elsewhere next time. Or don’t sign in the first place. If your funder requires OA in this way, then make sure you get it funded by them in your grant. And complain if they renege by cutting your budget. It may not be nice, but that’s how it works. Publishers were rather unworried because – in general – UK authors and income are significant, but not deter- mining for their business models. They sell journals all over the world, including a number of all-OA ones now. These all- OA journals do not have a free-produc- tion/free-consumption business model – no one does. For an OA journal (so- called) someone pays production costs (usually the author), so that you the consumer can access the content gratis. Moreover, publishers have responded to the OA-threat (really a publicity threat, rather than an economic threat) by mak- ing all kinds of content free-to-view – old content, special content, ancillary con- tent, database content – and they are constantly working on pricing, packages and global sales. Free offers/limited period, buy-one-get-one-free, whatever. And – for those who have followed this logic closely – since funded OA has come in the UK, publishers have had an oppor- tunity to collect twice for the same work! Journal cancellations are not cascading in because of OA in the UK; payments by authors, funders and universities (via the funding agency) are flowing into publish- ers’ coffers as well. Maybe this is unstable and unsustainable, but then so is every- thing (or nearly everything) in a competi- tive market situation. However, so far OA has produced a situation that benefits publishers, who are doing better than ever. A SPECTRE IS HAUNTING ACADEMIA In sum, what is threatening and shocking is not OA, even in the UK. What is threa- tening and shocking is the reaction in UK- academia to a plausible-sounding – but really not very important – ministerial ‘initiative’. Too many people in the UK were far too willing to jump on board a bureaucratically piloted ship, for the sheer joy of being on such an exciting cruise, advertised with such exciting slogans. However, two years on, even the propo- nents – both bureaucratic and overtly political – have turned the ship around somewhat, and in any case the party- streamers have wilted. More people in the UK should have kept their feet on the ground, and stood their ground, painful as it might have been at the time. The authoritarians have backed off, but prob- ably not because they encountered that much resistance. Probably they are find- ing other areas of interest … so watch out, UK academics! What is particular about the UK is the interlocking system of public university funding (and nearly all universities are ‘in the system’), and its susceptibility to ministerial initiatives and bureaucratic control by fiat. Sadly, complicity, gullibility and misplaced enthusiasm are probably everywhere. That is the spectre haunting global academia – not OA. Reference Working Group on Expanding Access. (2012) ‘Accessibility, sustainability, excellence: how to expand access to research publications: Report of the Working Group on Expanding Access’, 18 June 2012, available at: http://www.researchinfonet.org/wp-content/uploads/2012/06/Finch- Group-report-FINAL-VERSION.pdf, accessed 17 November 2014. terrell carver european political science: 15 2016 189 http://www.researchinfonet.org/wp-content/uploads/2012/06/Finch-Group-report-FINAL-VERSION.pdf http://www.researchinfonet.org/wp-content/uploads/2012/06/Finch-Group-report-FINAL-VERSION.pdf About the Author Terrell Carver is Professor of Political Theory at the University of Bristol, UK, and a Fellow of the Academy of Social Sciences, publishing widely on Marx, Engels and Marxism, and sex, gender and sexuality. He has held academic appointments in the UK since 1974 and served on the executive committees of the Political Studies Association of the UK and the International Political Science Association, where he is currently Vice-President for Europe. This work is licensed under a Creative Commons Attribution 3.0 Unported License. The images or other third party material in this article are included in the article’s Creative Commons license, unless indicated otherwise in the credit line; if the material is not included under the Creative Commons license, users will need to obtain permission from the license holder to reproduce the material. To view a copy of this license, visit http://creativecommons.org/licenses/by/3.0/ european political science: 15 2016 open access190 http://creativecommons.org/licenses/by/3.0/ open access: nothing much new (or very little, anyway) IN THE BEGINNING … WHAT IS THE ‘OPEN’ IN OPEN ACCESS? SLOGAN 1. INFORMATION SHOULD BE FREELY AVAILABLE SLOGAN 2. PUBLISHERS MAKE TOO MUCH PROFIT SLOGAN 3. TAXPAYERS SHOULD NOT PAY TWICE BACK IN THE UK A SPECTRE IS HAUNTING ACADEMIA Note References 
work_4kply5tgsnc3hnlybqw6mdzrxu	----	M any people skip over the fact that, from early April 1911 to late July 1912, Albert Einstein lived in Prague. “It was, after all, such a short time, and quite early in the physicist’s career,” Michael Gordin explains at the start of Einstein in Bohemia. Historians have variously dismissed those 16 months as an interlude, a sojourn and a detour. So did I — before I read this improbably good book. Multiple biographies of Einstein agree that the Prague period is notable for one main rea- son. Free of the heavy teaching load that had burdened him as an associate professor at the University of Zurich in Switzerland, he focused A fresh look at Einstein’s Prague period Michael Gordin’s elegant prose uses 16 months to build a panoramic view of a century. By Pedro Ferreira. on developing his general theory of relativity. It was in Prague that Einstein came up with the idea of gravitational lensing, the concept that the pull of stars, planets and other astronomi- cal objects would distort light rays. That idea — tool — is now central to modern astronomy, used to determine, for example, how much dark matter is hovering around clusters of gal- axies. Although Einstein had yet to conjure up a dynamical theory of space-time, it was his prediction of gravitational lensing that would demonstrate the theory’s chops in 1919, when physicist Arthur Eddington and his colleagues measured how light from stars in the Hyades cluster was deflected by the gravitational pull of the Sun during a solar eclipse. Personal impact At a personal level, gaining the position of professor of theoretical physics at the German University in Prague pushed Einstein into the senior echelons of academia. Just three years before, he had been a patent clerk in Bern. Interestingly, Gordin tells us, he was not the first person to be offered the job: first refusal went to one Gustav Jaumann at the German Technical University in Brno (who remembers him?), who turned it down. It was also in Prague that Einstein’s marriage to fellow physicist Mileva Marić began to fall apart. She was miserable there: snubbed as a Serbian and resentful at being dragged around for her husband’s career, then left sitting at home while he travelled elsewhere to give talks and collaborate. It was during a trip to Berlin that he began an affair with his cousin Elsa Löwenthal, who eventually became his second wife. But that is about it. Slim pickings on which to base a whole book, I feared. Yet Gordin does something ingenious. He uses Einstein as a MacGuffin, a device that propels the plot but has little significance to the story he wants to tell. He explodes the narrative out of what he calls the “spacetime interval” of 1911–12 to follow a host of figures who were involved with Einstein in Prague, in some cases very tangentially. In so doing, he careers through the history of ideas as well as the political Albert Einstein worked at a university in Prague in 1911–12. Einstein in Bohemia Michael D. Gordin Princeton Univ. Press (2020) H IS T O R Y A N D A R T C O L L E C T IO N /A L A M Y Nature | Vol 579 | 5 March 2020 | 23 Science in culture Books & arts © 2020 Springer Nature Limited. All rights reserved. The Incredible Journey of Plants Stefano Mancuso (transl. Gregory Conti) Other Press (2020) About 400 metres from ground zero in Hiroshima, a weeping willow and other plants regrew from their roots. Revered, they are labelled hibakujumoku, “trees that suffered an atomic explosion”, an elderly Japanese diplomat translates in flawless Italian for visiting plant neurobiologist Stefano Mancuso. Later, he confesses he is a hibakusha: he survived the strike because his classroom was protected by a curtain of trees. Such anecdotes enliven Mancuso’s quirky little global history, which argues that plants “are more sensitive than animals”. The Story of More Hope Jahren Vintage (2020) In 2009, palaeobiologist Hope Jahren was required to teach climate change. Initially reluctant, she soon conceived a vocation. Her compelling book uses statistics brilliantly to provoke self-examination. In sections on ‘Life’, ‘Food’, ‘Energy’ and ‘Earth’, it illuminates subjects from population growth to melting glaciers. If the whole planet consumed resources on the US scale, carbon dioxide emissions would be more than four times higher, she observes: “Using less and sharing more is the biggest challenge our generation will ever face.” Footprints: In Search of Future Fossils David Farrier Farrar, Straus and Giroux (2020) Fossil footprints unmasked by a 2013 storm on the English coast revealed that hominins walked beside an estuary 850,000 years ago. Although quickly erased by the tide, they inspired David Farrier to consider modern civilization’s future footprints, including Neil Armstrong’s marks on the Moon and the nuclear footprint: a geological repository for Finland’s spent fuel. This is designed to be forgotten — unlike its US equivalent, which proposes to use warning signs modelled on Edvard Munch’s 1893 painting The Scream. The Future of Brain Repair Jack Price MIT Press (2020) In 1996, neurobiologist Jack Price, then at a major pharmaceutical company, was invited to fund academic research into stem-cell therapies. He declined. Now an academic himself, he is more hopeful. In 2006, Shinya Yamanaka discovered how to make ‘pluripotent’ stem cells, enabling brain-like tissue to be generated in a dish — “albeit small, misshapen and underdeveloped”, as Price notes in his clear, honest but intellectually challenging account. Today, several therapies have entered clinical trials. But how to make them affordable? Radical Uncertainty John Kay and Mervyn King Bridge Street (2020) When Christopher Columbus sought a westerly route to the Indies, “whatever counted as cost–benefit analysis in the Spanish court took no account of the possibility of a New World”, say economists John Kay and Mervyn King. They refreshingly criticize their discipline for not recognizing that its use of ‘risk’, ‘uncertainty’ and ‘rationality’ doesn’t match that of lay people. Odd, then, that their far-ranging book on “radical uncertainty” mentions Max Planck’s dalliance with economics but not Werner Heisenberg’s uncertainty principle. Andrew Robinson turmoil of Bohemia (now part of the Czech Republic) during most of the twentieth century, touching on physics, philosophy, nationhood, anti-Semitism and the rise of Prague as a centre of intellectual life. There are quirky observations, almost worthy of playwright Tom Stoppard. For example, Einstein and writer Franz Kafka prob- ably met at a 1911 cultural soirée in the house of Berta Fanta, a “philosophically ambitious” socialite who held a salon above her husband’s pharmacy in Prague’s Old Town Square. Social circle But what really grips are the people. Take Oskar Kraus, a philosopher at the German University. Originally trained in law, he took against Einstein, writing countless articles in philosophy journals unpicking what he saw as egregious internal inconsistencies in rel- ativity. His writing and stance foreshadowed the anti-relativity strand of the Deutsche Physik movement, an eviscerating force in German academia during the rise of the Third Reich. Kraus, who had been born into a Jewish family but converted to Protestantism, was arrested by the Gestapo and ultimately fled to Oxford, UK. Inevitably, Gordin takes in Ernst Mach, who had been in a post similar to Einstein’s at the German University’s forerunner from 1867 to 1895. Mach had been “the most successful physicist in the university’s history” and played an important role as rector for part of his ten- ure. But, like Einstein, he had been the second choice for the post. Mach’s ideas shaped the work of important relativists after Einstein, such as Dennis Sciama and Robert Dicke. Another pen portrait is of Einstein’s successor in the post, physicist and philoso- pher Philipp Frank. His journey through the turbulent Prague of the 1930s serves as spot- light on a place battered by historical forces. During the late 1920s and early 1930s, Frank was part of the Vienna Circle, a hugely influen- tial group of scientists and philosophers that also included philosopher Rudolf Carnap and mathematician Kurt Gödel. In Prague, Frank did much to carry the flame of both Einstein and Mach’s ideas through books and journal articles, publicly sparring with Kraus when- ever necessary. In 1938, he had to flee to the United States, where he ended up at Harvard University in Cambridge, Massachusetts, and wrote one of Einstein’s first and most notable biographies. This is a panoramic view of twentieth-century Bohemia, with a sprinkling of Einstein. But what really carries it through is the beauty and force of Gordin’s prose. Pedro Ferreira is professor of astrophysics at the University of Oxford, UK, and author of The Perfect Theory. e-mail: pedro.ferreira@physics.ox.ac.uk 24 | Nature | Vol 579 | 5 March 2020 Books & arts Books in brief © 2020 Springer Nature Limited. All rights reserved. 
work_4nvwqpya3fgnfcatzd2ctzu6ee	----	Microsoft Word - 10th Jan fictional Drawings.doc O'Donnell, Lucy (2018) The magnified glass of liberation: A review of fictional drawings. Drawing, research, theory, practice, 3 (1). pp. 47-62. Downloaded from: http://ray.yorksj.ac.uk/id/eprint/2940/ The version presented here may differ from the published version or version of record. If you intend to cite from the work you are advised to consult the publisher's version: https://doi.org/10.1386/drtp.3.1.47_1 Research at York St John (RaY) is an institutional repository. It supports the principles of open access by making the research outputs of the University available in digital form. Copyright of the items stored in RaY reside with the authors and/or other copyright owners. Users may access full text items free of charge, and may download a copy for private study or non-commercial research. For further reuse terms, see licence terms governing individual outputs. Institutional Repository Policy Statement RaY Research at the University of York St John For more information please contact RaY at ray@yorksj.ac.uk https://www.yorksj.ac.uk/ils/repository-policies/ mailto:ray@yorksj.ac.uk 1 Abstract: The article uses an inactive creative period to consider drawing as a type of fiction. The writing style adheres to academic conventions, however the author’s autobiographical experiences and wonderings are critical in exploring drawings fictions. It revisits making and thinking to explore drawing and philosophizing as speculative commutable passages of exploration and inquiry. The article chronicles the preparation of fictional drawings for a Fictional Museum of Drawing created by Phil Sawdon. This article reworks Sawdons site of fictional drawing, advocating drawings fictions as twofold, as rooted in foresight where predisposed thinking is navigated and anticipation reigns. The other recognition of fiction focuses upon the material illusions of thought. It plays on the autobiographical disposition of drawing/writing redrafting spatial origination of words to become diverse and contradictory graphics of language that displace the blank page. The fictions of the drawings/writings reviewed in the paper pressure syntactical devices and worded conventions, where the works reorganize conventions from both drawing and writing using illusion and paradox to unsteady their material. 2 The magnified glass of liberation: A review of fictional drawings Lucy O’Donnell York St John University This paper reflects upon the paradoxical process of making drawings for Phil Sawdon’s ‘Fictional Museum of Drawing’ published by Fukt Magazine 13 (2014).1 It chronicles the creation of fictional drawings for a fictional museum to foreground drawings material and speculative activities that perform on the parameters of fiction. The drawings employ words and can be thought of as hybrid drawings/writings. This brings debates from drawing/writing to the project, particularly with regard to revisiting material possibilities. The dilemma of making drawings for a space that does not exist is used to reflect upon how predisposed thinking is navigated by drawing by interweaving foresight and hindsight. The writing style of this article adheres to academic conventions, however the voice is heard wondering and could, at times, be thought of as poetic and playful, thereby teasing out the fictions embedded in the project. This deliberate reference to the author recalls a period of difficulty in making drawings and its emotional effects. This method crucially draws on/out the parameters of fiction embedded in both processes of thinking and making. It makes links between the methods of drawings and philosophizing as critical modes of thought, exploration, and expression to propose that material thinking and speculative hesitations are types of fiction. The accounts of making fictional drawings for a fictional museum are presented in this paper through a fundamentally contradictory practice that privileges fiction. This acknowledges Alan Badiou’s (2006) notion of drawing as a constructive deconstruction in order to 1 The ‘Fictional Museum of Drawing’ is ongoing, Phil Sawdon describes himself as keeper, and his undertakings can be viewed here http://philsawdon.tumblr.com. Accessed November 2016. His ‘Fictional Museum of Drawing’ can be understood as a repository of articles and a conceptual space for much of his creative and research work and an account was published by Fukt Magazine in 2014 where words, readymade propositions, parlance, bricolage and other marks join together. Although their composition utilized the organizational features of Microsoft Word, it also demonstrated/signified/employed a break from linear syntactical modes. Here the drawing is presented within the words, their meaning and placement composed and interwoven with other markings. The term Fictional Museum of Drawing is used in this article to represent a fictional space, one that does not physically exist. 3 understand its methods, which are bound between foresight and hindsight, become an ultimately speculative act. This article goes on to propose possibilities for harvesting drawings, review particular works (The Prison Drawing Project, Travelling, flickering and re- framing and This page has intentionally been left blank, parts 1 & 2) and concludes with a summary of how such an absurd project reopened the irregular territories of drawing. Procrastination Research Organization: anxious and unknown This week the PRO (Procrastination Research Organization) postponed the monthly meeting in order for its members to mull over other significances. The PRO is an invented group, used here to make reference to the pandemic that affects academics, where forecasting obscures research production. The preparations for my show at the ‘Fictional Museum of Drawing’ were ever increasingly inactive, so for me, this took precedence. There were two pressing concerns, both needing attention. Firstly, it was important for the practice to reflect and convey its critical concerns: to perform in the parameters of fiction. The drawings proposed for the ‘Fictional Museum of Drawing’ aspired to be equipped with imagined, fictitious, story bound and false propositions; they were to play amongst one of contemporary drawings’ frequent preoccupations: expanded fields and the pleasures of illusion. These fictional drawings were to defer material, physical and actual junk, softening the pressures of site, composition, reading and interpretation. Preparing for the show was proving complex. The drawings often remained in my head and wouldn’t come out; they were hosted by aspirations. The drawings were afraid of the white paper, anxious of the unknown and indefinite, frigid and afraid of being wrong, afraid of laying bare witness for others to make judgment. But paradoxically, I wondered if they were not tied by materiality but, instead, hosted by aspirations, could these be the most glorious fictional drawings of them all? These drawings nestle naked as they day they were not born, miscarriages; material of conception that stay so close to the mother it becomes synonymous with her. Ideas of matter and mattering had been consistent in my reflections of drawing. Catherine de Zegher (2006) makes associations between drawing gestures and the bond between mother and child by identifying particular parallels between the extended arm moving 4 away from the body as an equivalent behavior made by children when reaching out for a departing mother: ‘In the act of drawing, the extended arm and hand away from the bodily axis seems to correspond to the very gesture involved in the first separation (and exploration) where the child reaches out to the departing mother[…] Informed at once by rupture and reciprocity, drawing constitutes a space of relation in which the thrown-out gesture conjures up a trace seemingly tied to this movement used to the retrieve the thought that has been cast out’. (de Zegher 2006: 214-15) These thoughts around the relationships between child and mother resonate with experiences of personal loss, where the body unexpectedly casts away a pregnancy. Here the ‘thrown out gesture’ is the first and final separation; the casting away is absolute and the thrown out gesture is permanently contained, never to retrieve thought or aspirations. My experience of listening to a doctor change their language from baby to ‘material of conception’, has led me to return to the phrase in order to also deliberate drawings’ fictions. Here, in a singular moment the understanding of my unborn child had broken down. This become a catalyst for me to revisit the absurdity of syntactical devices and worded conventions. I was influenced by this language paradox, where the autobiographical investment in drawing was to override permanence and revisit the relationship between making and thinking. The miscarried pregnancies wilted ambitions and the drawings lingered in misty aspirations. This indistinct place muted any warning bells that ring to alert caution of the perils of predisposed thinking/making activities, where actualizing is ultimately delayed. It seemed irregular drawing territories were being unveiled, where act lingers in ambition, seizing upon Alan Badiou’s ‘constructed deconstruction’. Through fraternizing with foresight and hindsight, the collaboration between the known and the cautious places in between became a reflective space that could project knowledge onto a foresight suspended by anticipation, sagacity, and shrewdness. This openness gave the drawings permission to enter unpatrolled terrains, where rules are inadequate and anticipation reigns. This undefended drawings had no resistance to marksmen or mutiny; without the predisposed thinking it was an unprotected space 5 exposed to the elements once again, where line, tone, texture, form/mass, colour and perspective can be reconsidered. Harvesting the false: Preparing for the show These drawings for the show were not necessarily ‘drawn’ and are, instead, better described as ‘harvested’, as this gives precedence to condition and preparation, where a formula is reliable enough to reap crops. So in initial perpetrations for the show I looked back to bubbling thoughts and discarded possibilities bound in sketchbooks. These trace back and forth from idea to execution, from head to hand, from sound to site, from pondering to bemused (and more bemused); marks, ideas, propositions and notes meddled together posing as paths to follow, possibilizing upon, opening up the maybes, and giving respiratory relief to the taxidermy of fixed needs. In a bid to examine dialogues between theory and practice Nicolas Davy (2006) described the dangers of philosophy as taxidermy: where nothing can escape alive. This mode of thinking is bound up in its course of scrutiny, which prejudices its direction and leaves it suspended in its material articulation. The graphic works on paper lay bare the seen and propose the unseen, which is narrated by the gesture of the hand: its speed and pressure recounting the process of marking thought. My drawing practice often used words, letters and punctuations in fragments in order to wonder about drawings syntax. By bringing drawing/writing together, a constructed deconstruction of both took place, questioning foundations of how we think and communicate. Recently for ‘The Prison Drawing Project’ I focused upon the parallel roles of the paper drawing support and the enclosed prison cell as jointly restricted spaces where activities are conscious of their boundaries. This project was held at The Old Borough of Scarborough Jail in February 2016, and the drawings were exhibited within the individual cells. This restricted space allowed a certain type of curatorial approach, where the boundaries of the space and the methods, materials and subjects employed by the artists were all compounded in order to interrogate contemporary drawing practices as paradoxically open-ended. The interrogation of these borders outline drawings’ critical edges as places ‘with play’, which licenses constant change. Here the drawing/writing inscriptions and their wondering navigation(s) become the focus of the work by repeatedly redrafting the pages of my PhD thesis. The paper became a type of constituent where thoughts are caught, overlaid and replayed, making 6 reference to the confined spaces of the page and cell as a limited place to play out thinking. This redrafting process sustained ambiguity by creating a blended mass of information that obliterated the typed text and drawings; instead drawing out an alternative marked semiosis that was performed in the cell as rephrased gestures (see figures 1–5). Molded by the process, these paper worlds allowed opportunities to reveal themselves where possibilities to unfold and the syntax, or fiction, of the drawing evolves within the doing; seizing the descriptive currency of the material, the word play creates a knowing distance between conventional syntactical devices and becomes open-ended and speculative. The drawings for the ‘Fictional Museum of Drawing’ were ideal at adopting a speculative sovereignty. They had to be prepared and harvested in a sprit that reveled in the theater of illusion, mystery and, of course, ambiguity I thought of Avis Newman in 2003 positioning drawing as a communication device beyond or before language. For the drawings in the ‘Fictional Museum’ these ideas redirected any primitive critique, and, instead, speculated upon the embryonic and emergent fictions. Possibilities unfolded within their acts and speaking took forms unbound to syntactical structures; like the Re-Aligning Vision of León Ferrari’s drawings, or silent handwritten words that tell things that word’s cannot say, the drawings evolved in worlds particular to themselves. But how do you harvest a drawing that evolves within the doing, without ‘doing’ it? The drawings for the show needed to perform in the parameters of fiction, and I wondered about the elasticity of this position. Could all drawing be fictitious? When a pencil comes in contact with paper, the gestures generate marks onto a paper surface, creating illusions that reference something other (form, subject, gesture, or manner). Our principles of conjuring up volume, form, matter, and subject are manufactured and manipulated. 7 Figure 1: Drawing Vignettes. 2016 8 Figure 2: Drawing Vignettes. 2016 9 Figure 3: Drawing Vignettes. 2016 10 Figure 4: Drawing Vignettes. 2016 11 Figure 5: Drawing Vignettes. 2016 12 The speculative fictional drawings were taking place ubiquitously as I moved from place to place between work, studio, and home playing with words in my thoughts and on paper. At the annual Society of Artistic Research 2016 conference, I listened to Alva Noë proposing philosophy as a reorganizational practice that needed to ‘fuck things up’ in order to question and review. This proposition intensified my word play as mirroring reflections of uncertainty that could displace marking activities and reflect thought as dwelling in speculation. This speculation was unsteady or flickering, as it was neither ‘on nor off’ or ‘thing or thought’ in between material ‘junk’ and in transit. Alan Badiou (2006) describes drawing as a fragile ‘movable reciprocity between existence and inexistence’. Here drawing is a place that dis(places) all things in it, likened to performance or happenings, with ‘vanishing succession of gestures, pictures and voices’, as a ‘constructive deconstruction’ that is ‘more real’ than the stimuli. Drawing as a description without place, certainly appeared to ‘fuck things up’ in the sprit of Alva Noë. Whilst on my train commute home my body in its immobile mobility struck cords with Michel de Certeau in his Practices of Everyday Life (1998) where with nothing to do one is in a state of reason. And this static speculative experience of the world, where the sensation of static mobility is heightened, became my place to draw. The expanded ‘composition’ was ubiquitous; where, as the commuter, I took ‘thoughtful workouts’ gazing out of the window speculating about unfeasible drawings. My journeys from A to B, pause, stop and move through fleeting territories: jointly commuting and speculating. This displacement within space heightened these embodied senses and I wondered if drawing with words were like silent stories, souvenirs of the commuter. The initial drawing travelling, flickering and reframing combined compositional fictions with the imaginary, fuse the peripatetic thinking making being wondering (See Fig 6, embedded in the text page). 13 travelling, flickering and re- framing ‘Fucking it up’ with Alva Noë: employing his notion of philosophy as a reorganizational practice to make these notes and keynotes from ‘WRITING’ The SAR International Conference of Writing, 2016. I’m training (on a train) […] (budumbudum) exercising & traveling (budumbudum) tacking a thoughtful workout (budumbudum) work ings out (and in) (and out)… (budumbudum) flickering drawing into writing . . . (budumbudum) flickering on off over back on off over back on off over back (on a train) (budumbudum) flickering… (and travelling) between drawing & writing (on a train) words: wording words telling of language denoting self … Henri Michaux drawing on in over (through) self and language or self/language (drawing & writing) (in out) (budumbudum) (in out) (budumbudum) (in and out) (budumbudum) (in/out) (budumbudum) Hit …the ‘picture’ and the self. (i propose this) hard. Narrative or (i propose me) Typing to proposition peek into ice cream vans that play songs of flat Dutch spaces and opened out spaces, postulating. Seeing drawing thinking writing (seeing/drawing/thinking/writing) Dwelling in out over Flickering on Flickering The trains training (and Kate Liston) Flickering Whose body builders erect Dasein & mnemonic symbols Flickering fused with protein supplement Casein Flickering Flickering f I’m Flickering l training Flickering i […] Flickering c exercising & traveling Flickering k as a thoughtful workout Flickering e work ings out (and in) (and out)… Flickering r 14 Figure 6: Travelling, Flickering and Reframing 2016. Travelling, flickering and reframing played with words as drawing materials and displaced conventional written compositions. By using the words as drawing materials, it was important to alter any stabilized meaning and to open up syntactical structures. The authority, or trust, we invest in words is probably upheld by a conviction to a stabilized communicative system underpinned by pre-determined meaning. However, this malfunctions within The Oxford Dictionary of Modern Slang, which confirms the contrary: language evolves and its denotation is recycled. A conversation I once had with John Court rang in my mind when he asserted, ‘you can’t trust words’.2 Revisiting and reposting words and notations reclaimed conventions and alternative fictions for the line and paragraph. The possible play of conventions embedded within the written order of lines drew thoughts back to poet bpNichol, whose practice is arguably underpinned by an appreciation of and fascination with lines of all types. Paul Dutton describes this as poetic play as lines, prose lines, narrative lines, plot lines, typed lines and lines of type, voice lines, drawn lines, solid lines, broken lines, train lines, and all the fine lines of and in communication, especially lines of questing, and lines of thought. 3 This preoccupation emerged strongly in bpNichol’s work, ‘Of Lines: Some Drawings’, featuring thirteen textured pages, each with a single silver line drawing, and underlined with titles such as ‘ Line #1’, ‘Drawing of Line #1’, ‘ Line #4(drawn whilst thinking of previous lines)’, and ‘Line Drawn as Response To An Inner Pressure to Drawn Another Line While Resisting The Urge To Call it Line#5’ (1981). When drawing with words, the ‘silent image’ is challenged and the silent picture of picture poesies is liberated. Equally, the conventions of speaking, silence, interpretation, and subject are all unsteadied. In Signs (1964), Merleau-Ponty suggests language as partly silent, as it does not directly voice an original ‘thing’. This emphasizes the allusive and oblique characteristics of language, and instead Merleau- Ponty advocates meaning lying in the movement of speech with its embodied gestures, silences, and responses created by location and acts. Drawing with words 2 John Court discussed his performance practice when he was visiting speaker at York St John University on 28th November 2016. His output includes performance, sculpture and video and he considers his work to be fundamentally concerned with drawing, in that drawing connects the elements of line, movement, space and time. See http://www.johncourtnow.com Accessed October 2016 3 See http://www.thing.net/~grist/ld/DTTN-BPV.HTM. Accessed July 2014 15 removes the stability of worded meaning redirecting the possibilities of ‘subject’ once suspended in its worded format. The reorganization jointly displaces expectations of the letters, page, subject, and certainty and so instead, words utilized as material for drawing can speculate and possibilize alternative fictions of both the paper, page, and its subjects. In 2013 The Drawing Room, London and The Drawing Center, New York curated Drawing Language. These works expose the union of drawing/writing as a mode to evoke multiple meanings by separating language from a linear narrative, breaking the presentation of words and phrases, incorporating multiple and contradictory graphic language forms, and creating forms from phonetic words and expressions. The drawings for the ‘Fictional Museum of Drawing’ had to be prepared and harvested in a spirit that reveled in the theater of illusion, mystery and, of course, ambiguity.4 It was here in the theater of illusion the sign and signified, Perian symbols and the indexical could be dispersed through new and irregular territories created within the unfolding drawing. In these territories, the paper margins regenerate fixed syntactical constructions, where the untrustworthy word deviates from structured customs conjuring illusion and paradox and becoming fiction drawing. I enjoyed words ‘untrustworthy nature’ and reflected upon their displacement while making This page has intentionally been left blank (part 1) 4 Phil Sawdons: A Drawing Parlay (2011) accounts for ‘The Fictional Museum of Drawing’: ‘The accumulative and ekphrastic guide to a fallacious building: A heuristic architecture of found words … readymade propositions, parlance and bricolage for no such place in the middle, the furthest place from fixed points of view.’ http://www.soanyway.org.uk/philsawdondrawingparlay.htm Accessed November 2016 16 This page has intentionally been left blank 17 Figure 7: This page has intentionally been left blank (part 1) 2017. Paradoxically the words inhabit the white page comforting the possible anxiety of its blankness. This work magnified the fictions of the page, inhabiting a halfway house, where the words are asked to inform the reader of absent words inciting absurd tensions. This page has intentionally been left blank (part 2) followed on from part 1. Here I scanned part 1 as a Jpeg and, by doing so, reframed and reinserted the boundary back onto the page. Here the size of the text was reduced and a thin gray line ran down the right hand side of the work subtly making reference to the edge of the paper. Figure 8: This page has intentionally been left blank (part 2). 2017 18 In these drawings, the blank page is a provocation to disturb the interplay between hindsight and foresight. The whiteness and the words heightened the anxiety of possibilities creating a momentum of possibilities and fictions. The gaps magnify the placement and displacement of subject and are crucial for fictional drawings. For Merleau-Ponty, worded meaning equally lies in what is unsaid, and the gaps between the words. These occurrences pose tensions for both speakers and listeners, while reinforcing the reliance of language upon its placement and displacement. The process of encountering the blank paper directs attention to both the boundary and the void: the space which is yet to be actualized. Jose Rabassa (1993) and Yves Bonnefoy (1994) identify opportunities to build space in the blank paper. Rabassa reflects upon the journal of Christopher Columbus, identifying parallels between writing/drawing and navigation, as the pen navigates the ‘fiction’ of the blank page the writer/explorer claims ownership of text and territory. The ‘fiction’ of the blank page suggests it already has chronicles, which leads to the anticipation of making discoveries by entering it. ‘…the white page is the unknowing which surpasses his ability to know…venturing into that white-ness and discovering there the precarity of all that has been acquired, the vanity of wants, and thus drawing near to that reality-unity that language robs us of. In this way, the drawing, the ‘great’ drawing, will be poetry’. Bonnefoy (1994: 15) The poetry of drawing breaks the whiteness, invites precarity, and its fictions can jointly construct and deconstruct, as Alan Badiou describes the fragile ‘movable reciprocity between existence and inexistence’. The paper support and its conventional whiteness becomes a place to wonder, as much as the unfolding activities that occupy it. The blank sheet of paper is a field for projection, for discovery and innovation. This concept forms part of a discussion between Avis Newman and Catherine de Zegher, where the blank sheet is described as ‘an undifferentiated space’ and ‘the entity of possibility’ (2003: 247). There is also a described and felt fear connected with this space, related by Bonnefoy (1994: 15) as an ‘unknowing’. And here Newman talks of the white page as a place of action: ‘ ...the fascination and the fear of the white page is the site in which one enacts differentiation as soon as a mark or sign is made It changes 19 the non-ness and establishes a place of action. As soon as that act occurs the paper becomes something’ Newman (2003: 247) Conclusion: Fictional Drawing A method to unsteady material junk The drawings for the ‘Fictional Museum of Drawing’ enjoyed the possibilities of playing in illusion and contradiction. The inactivities or fictions of making reconsidered words and their paper support become plausible tools that enable speculation to be seized as a method in conjuring illusion and paradox. Here, material conventions assertively promotes unknowing in a bid to allow alternative possibilities unfold. New Materialism, according to Stacy Alaimo and Susan Hekman (2008), stresses the importance of a review of language structures to reframe the ontological translation of experiences. Language structures are designated as a means to apprehend the ontological without constituting it. Matter is analytical currency for ‘reorganizing’ ontological and phenomenological experiences and borrowing notions from New Materialism where the body as a site of mattering, rather than matter, associates the becoming, interplay, and critical dialogue between foresight and hindsight. Placing and displacing are critical to fictional drawings where poetic freedom and flexible interpretation need speculative investment. These poetics permit the reframing of words into alternative spatial organizations legitimatizing open- ended spaces for graphic thoughts to dwell. Once removed from a dictionary, words are movable raw materials, unstable, untrustworthy and become something unexpected when time and place repositions them. The word play of fictional drawing opens irregular territories by breaking borders, operating in margins, and displacing activities and material; it becomes multiple or contradictory graphics of language. Here in the ‘Fictional Museum of Drawing’ speculation is associated with fiction through the supposed, and the imagined is conjured up from prospect and possibilizing. The employment of speculation as principal method reorganizes the spaces of thinking/drawing through revisiting their conventions and extending any dependence upon assumed material processes. This gives license to transient unstable activities that are so deeply embedded in speculation; their fiction can use the blanks and gaps to override conventional construction methods. The notion of drawing as a 20 constructive deconstruction can be related to the paper’s nothingness, which is apprehended by its boundary edges that pose anticipation. This is where Alva Noë’s philosophy as a reorganizational practice sets the metronome ticking between foresight and hindsight, unsteadying material junk to assume poetic wonder for drawing/writing within the ‘Fictional Museum of Drawing’. These works are driven by wonder to revisit what is known and assumed, where by avoiding material limits agreed, assumed rules can be broken and reshaped.5 The fictions of drawing are twofold: the first rooted in foresight where anticipation overshadows, the other performs in illusion where the communication of thought is material. Drawings’ analytical agency as a conduit of thought is probably conceded within its material, and for the fictional drawings the physical stuff can hover between what we know and possiblize something other. This interaction with physical ‘stuff’ enabled this article to review of language structures appraising material by making stuff matter. By drawing with words, or making hybrid drawing/writings, the language structures of each are by default, deconstructed through the activity of analysis. The doing of drawing becomes a thoughtful workout, where the marking out unites words and speculations carry on independent of material and within a speculative state. This revisited the routine of drawing as a way of thinking that could become freed from material, rerouted through speculation and uncertainty. The periods of not making or the gaps, the spaces between, became opportunity to revisit possibilities, reorganize, and deconstruct in order to construct a new. These gaps are home to anxieties and 5 The blank space, its void, erasure of ‘stuff’ or bareness all point back to the subject of nothing, where construction methods or subjects utilize the possibilities of absence or ‘nothing’ playing into ideas of something. Examples of these undoubtedly include Robert Rauschenberg’s erased De Kooning drawing, or his White paintings. Tom Friedman’s ‘Erased Playboy’ (1992) makes a nod to the erased De Kooning, re-questioning the efficacy of absence as an artistic trope. Other noteworthy examples that question the drawn, written or space of the page include, Gianni Motti's invisible ink drawings (1989): drawings made with invisible ink, visible only for a brief instant before vanishing. David Shrigley’s (2002) ‘Then There is Something’ from Human Achievement, whose hand-written words notate nothing by repeating the words ‘there is nothing’ down the page, which is interrupted by then there is something for a brief moment, then there is nothing again. Or ‘This Book is Intentionally Blank’, exhibited at the ‘Nothing’ exhibition (2001) at Cameraworks Gallery, made from recycled National Curriculum paper collected after it became defunct in 1989. Over 4 tons was first exhibited as waste, then later recycled and turned into white paper that was returned to the schools as blank drawing-paper; these politicized white pages make way for the new. An empty volume called ‘The Nothing Book’, published in 1974 & 1976 acts as an invitation to write your own book, posing the possibility as open that it can be whatever we want it to be. ‘The Book of Nothing’ (2000) by mathematician and cosmologist, John Barrow, drew from mathematics, theology, philosophy, literature, particle physics, and cosmology to explore our fascination and imagination around vacuity, or the absence of matter. 21 discoveries where drawings precarity takes over. The quiet gestures of unseen drawings that buzz in the head were let out for this project, manoeuvring anxieties to discoveries to speculations. This unorthodox actualizing reviewed predetermined propositions, escorted between foresight and hindsight that bounced in rhythm reviewing and reconsidering descriptions of thought. These embryonic and emergent fictions where possibilities unfold within their act, moving words and worlds around in alternative formats can became the ultimate speculative act. The fictions of drawing create an alterative access for thought: always ajar, always speculating. References Alaimo, S. and Hekman, S. (2008) Material Feminisms, Bloomington and Indianopolis: Indiana University. Badiou, A. (2006) Drawing, Lacanian Ink. Bonnefoy, Y. (1994) Overture: The Narrow Path Toward the Whole, (eds) Martine Reid Boundaries: Writing and Drawing, Yale French Studies. Cixous, H. (2005) Without End, No, State of Drawingness, No, Rather: The Executioner's Taking Off (trans, by .C. A. F. MacGillivray), in Stigmata: escaping texts; with a foreword by Jacques Derrida, London: Routledge. Davey, N. (2006) Art in theoria in L. Holdridge and K. Macleod (eds.), Thinking Through Art: reflections on art as research, Abingdon and New York: Routledge. De Certeau, M. (1998) Practices of Everyday Life, Berkeley and London: University of California Press. De Zegher, C. (2006) The Inside is the Outside: The Relational as the (Feminine) Space, in C. Armstrong and C. de Zegher, Women Artists at the Millennium, MIT Press. De Zegher, C. (2010) A Century under the Sign of the Line: Drawing and its Extension (1910-2010), in On Line: Drawing Through the Twentieth Century, Museum of Modern Art, New York. Merleau-Ponty. M. (1964), Signs, Northwestern University Press. Newman, A. & De Zegher, (2003) C. Conversation. In DE ZEGHER, C. ed. The Stage of Drawing: Gesture and Act, Selected from the Tate Collection. London. New York: Tate Publishing & The Drawing Center. 22 O’Donnell, L. (2016) Drawing Vignettes : ... perpetual becoming(s), PhD Thesis Loughborough: Loughborough University. Rabassa, J. (1993) Inventing A-M-E-R-I-C-A: Spanish Historiography and the Formation of Eurocentrism, Norman: University of Oklahoma Press. Reid Boundaries: Writing and Drawing, Yale French Studies. Ramirez, M. C. (1997), Re-Aligning Vision - Alternative currents in South American Drawing, The University of Texas at Austin. Sawdon, P. (2011), A Drawing Parlay, Soanyway. 
work_4oaus2gvfjejvcxy5fbs56sbt4	----	Elvira Vilches. <italic>New World Gold: Cultural Anxiety and Monetary Disorder in Early Modern Spain.</italic> Elvira Vilches. New World Gold: Cultural Anxiety and Monetary Disorder in Early Modern Spain. New World Gold: Cultural Anxiety and Monetary Disorder in Early Modern Spain by Elvira Vilches Review by: J. H. Elliott The American Historical Review, Vol. 116, No. 4 (October 2011), p. 1200 Published by: The University of Chicago Press on behalf of the American Historical Association Stable URL: http://www.jstor.org/stable/10.1086/ahr.116.4.1200 . Accessed: 19/11/2011 17:11 Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at . http://www.jstor.org/page/info/about/policies/terms.jsp JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact support@jstor.org. The University of Chicago Press and American Historical Association are collaborating with JSTOR to digitize, preserve and extend access to The American Historical Review. http://www.jstor.org http://www.jstor.org/action/showPublisher?publisherCode=ucpress http://www.jstor.org/action/showPublisher?publisherCode=aha http://www.jstor.org/stable/10.1086/ahr.116.4.1200?origin=JSTOR-pdf http://www.jstor.org/page/info/about/policies/terms.jsp ELVIRA VILCHES. New World Gold: Cultural Anxiety and Monetary Disorder in Early Modern Spain. Chicago: Uni- versity of Chicago Press. 2010. Pp. xi, 361. $45.00. Elvira Vilches’s study of early modern Spanish eco- nomic theory and practice could hardly have been pub- lished at a more opportune moment. At a time when markets are in turmoil, and when the astronomical profits and bonuses enjoyed by bankers have aroused widespread suspicion, it is salutary to look back to a by no means incomparable situation in sixteenth and sev- enteenth-century Spain. This book explores with acu- men the responses of a society gripped by anxiety over the machinations of financiers. Vilches’s study is essentially of a society—primarily that of Castile—that was still imbued, like other Eu- ropean societies of the fifteenth and sixteenth centu- ries, with medieval ideals of a moral economy based on notions of a just price, but that found itself having to come to terms with the growing sophistication of bank- ing and the development of complex credit instruments like letters of exchange. The first trickle of American gold into Europe came with Christopher Columbus and was followed by a massive influx of both gold and silver that destabilized prices and helped provoke an inflation that contemporaries struggled to explain. Vilches be- gins by examining Columbus’s attitude toward gold and what she calls his “economy of the marvellous.” Then she goes on to explore “the new world of money” and the question of debt by means of a close reading of con- temporary texts, some of them the expressions of the neo-scholastic thought of the famous School of Sala- manca, and others by writers with practical experience of the money markets. Finally, moving into the seven- teenth century, she explores the links made both in imaginative literature and in the writings of the eco- nomic projectors, the so-called arbitristas, between Spanish decline and the gold and silver of the Indies. The story is by no means a new one. Spanish eco- nomic historians have done an enormous amount over the past few decades to illuminate not only the causes and consequences of the sixteenth-century price rise but also the workings of crown finance and the oper- ation of the fairs of exchange, like that of Medina del Campo. Many of the texts discussed by Vilches have been previously explored by Marjorie Grice-Hutchin- son (1952), but Vilches examines them in greater detail and goes beyond Grice-Hutchinson in discussing the work of writers with a close knowledge of contemporary business practice, notably Cristóbal de Villalón. The ar- bitristas, too, have received a great deal of attention in recent years, as has the equation made by contempo- raries between the influx of precious metals from Amer- ica and the decline of Spain. Vilches, however, retells the story well, and her book will be particularly welcomed by those readers who want a reliable and up-to-date account of early modern Spanish economic theory and practice but are unable to consult literature available in Spanish. It is perhaps un- fortunate that she places so much emphasis on gold at the expense of silver, not only in the title of her book but also in the body of the text. While it is true that gold remained the supreme metal and index of wealth, read- ers may not fully appreciate that from the middle years of the sixteenth century onward the influx of silver into Seville far outpaced that of gold, both in volume and in value. More unfortunate is the misdating of one of the authors she discusses. Francisco Martı́nez de la Mata wrote between 1650 and 1660 and does not belong to the group of early seventeenth-century writers among whom she places him. This is an ambitious book, in that it attempts to link a close reading of Spanish economic theory with the imaginative literature of the period. Vilches produces a picture of a society beleaguered by cultural and in- tellectual anxiety over what was happening to its tra- ditional values. Some readers may feel that the author tends, at times, to overinterpret her texts, and her book would have benefited from a deeper knowledge of both the general and the specific historical context of the works she discusses. Anxiety about credit and prices was not confined to sixteenth-century Spain, and the obsession with precious metals needs to be closely re- lated to problems of state expenditure as well as to the practices of money markets. Distinguished, however, by its impressive analytical grasp, this book provides valu- able insights into a world with disturbing parallels to our own. J. H. ELLIOTT Oriel College, University of Oxford DAVID GONZÁLEZ CRUZ. Propaganda e información en tiempos de guerra: España y América (1700–1714). (Sı́lex Universidad.) Madrid: Sı́lex. 2009. Pp. 304. $21.00. In this engaging book, David González Cruz brings to- gether two subfields seldom brought into conversation, at least in the historiography of early modern Spain. He seeks to merge perspectives and methods from military and cultural history in order to shed fresh light on the War of Spanish Succession. He focuses on the role of propaganda, though the book is at its most innovative in its discussion of techniques of misinformation, modes of censorship, and the painstaking construction of the public image of the two protagonists in the con- flict: Carlos of Austria and Philip V. The breadth and depth of González Cruz’s research is impressive. Be- sides consulting myriad collections in Spain, he has ob- tained valuable material from the archives of France, Argentina, Portugal, Mexico, Peru, and Bolivia. Such archival range proves indispensable to González Cruz’s story, for he seeks to portray the War of Spanish Suc- cession as a global conflict whose repercussions for the Spanish Atlantic monarchy were varied and multifari- ous. He largely succeeds in using the methods of cul- tural, social, and intellectual history to reconstruct a se- ries of episodes and practices neglected by traditional military historians. The book concerns propaganda only in the broadest, 1200 Reviews of Books AMERICAN HISTORICAL REVIEW OCTOBER 2011 
work_4sl452zjhjfbnaranjisvfog3i	----	Microsoft Word - p399.docx International Journal of English Linguistics; Vol. 9, No. 4; 2019 ISSN 1923-869X E-ISSN 1923-8703 Published by Canadian Center of Science and Education 399 Reader-Response Theory and Dialogic Analysis of Gerald Vizenor’s The Heirs of Columbus Ghazala Rashid1 & Ali Ahmed Kharal1 1 Department of English, National University of Modern Languages, H-9 Islamabad, Pakistan Correspondence: Ghazala Rashid, Department of English, National University of Modern Languages, H-9 Islamabad, Pakistan. Tel: 92-320-858-0540. E-mail: ghazalarashidalam@gmail.com Received: June 17, 2019 Accepted: July 10, 2019 Online Published: July 23, 2019 doi:10.5539/ijel.v9n4p399 URL: https://doi.org/10.5539/ijel.v9n4p399 Abstract This article has employed the theory of Bakhtin’s (1895–1975) dialogism, and Wolfgang Iser’s (1926–2007) reader-response theory to examine the socio-political, and historical implications of Gerald Vizenor’s The Heirs of Columbus. The Heirs of Columbus (Heirs) was written to dismantle the historical oppression of Native Americans (NA) throughout the post Columbian era. Dialogism is an umbrella term that creates difference between historical and Native American discourse, providing new passages to comprehend the marginalized silenced other; in other words, it helps create a voice for the vanishing Indian. We have systematically identified the use of dialogic techniques like subversion, carnival, polyphony and heteroglossia in Heirs while, at the same time, analyzing his text through the framework of Iser’s reader-response theory. We have come to the conclusion that Iser’s theory is not enough to analyze Vizenor’s revolutionary text since Vizenor provokes his readers to draw their own conclusions rather than conforming to set of fixed ideals of author. Keywords: dialogism, hybridization, heteroglossia, reader’s response, discourse 1. Introduction Vizenor’s (1934–) Heirs is a subverted, mythical account of the discovery of America by Christopher Columbus that revolves around the themes of NA discrimination and oppression by the western world, re-connecting with tribal ethnic identity, and survivance (Vizenor & Vizenor, 1991). It presents the NA heirs i.e., Binn Columbus, Stone Columbus, Felipa, and Miigis flowers who are interested in recovering the human remains of Pocahontas, and their father Christopher Columbus. In his work, “The Dialogic Imagination: Four Essays”, Bakhtin (2010) emphasizes the importance of dialogue in language and text. According to him, we must open up to the possibility of dialogue, and alternative perspectives to break away from the tyranny of authoritative or monologic discourse. The purpose of a dialogic text is not only to create freedom of speech in the text, giving its readers a more realistic experience, it also provides and opens up the possibility of a better understanding of the text itself. It gives hope to the oppressed and misinterpreted voices that were otherwise, left unheard or overlooked in the realm of monologism (Baron, 2016). Therefore, the Native American (NA) literature is an ideal genre to be analyzed using the theoretical framework of dialogism and reader’s response theory since the writers of Native American literature are the proponents of the world of periphery, and also because these writers have to face issues like dual nationality, and are victims of stereotypical identity even though, they are an integral part of American historical landscape (Carmack, Gasco, & Gossen, 2016). Native Americans are the indigenous people who have a rich and vast historic connection with America; however, they have been subjected to centuries of displacement, relocation, and subjugation by the Eurocentric ‘White’ nation. The entire history of Native Americans is filled with power tussle with western invaders over the land. The strategic methods of oppression included forced conversions to Christianity, condemning tribal rituals, and the construction of reservations on the least desirable parts of land for natives (Mielke, 2018). Misinterpreting and molding the NA identity to benefit Western agenda is, however, the greatest mark of injustice done by western invaders. The work created by the Native American writers, in general, is symbolic of a hybridized ethnic identity, inculcated with primitive oral traditions that are still celebrated in the Native American world today (Barry, 2002). Gerald Vizenor is mixed blood, White Earth, Native American writer whose work strives to recreate and regenerate NA identity that can withstand and counterbalance the falsifications created by western dominated ijel.ccsenet.org International Journal of English Linguistics Vol. 9, No. 4; 2019 400 contemporary world. He has used subversion, heterogeneity and agnostic humor in his novels to describe the ethnic identity of the Native Americans. Therefore, these narratives provide us diverse, and vibrant accounts of NA culture while accomplishing the deconstruction of the Eurocentric literary canons (monologism). Speaking specifically about The Heirs of Columbus, Vizenor’s work has been identified in this study to possess dialogic aspects, to shatter the monologic frame of thought, and in the process, change the readers’ opinion by providing alternative perspectives to them. 1.1 Familiarizing with the Problem The novel under scrutiny, The Heirs of Columbus is a true representative of Gerald Vizenor’s work as a struggling Native American, and it also enlightens the readers about the subversive and carnivalesque nature of NA literature. Although Rebecca M. Lush (2012) has examined the role of sexuality and language games in Heirs, we have not found a single work that focuses on encompassing all the dialogic aspects present in Vizenor’s selected novel (a thorough Literature Review is presented in section 2). As discussed earlier, the true identity of Native Americans has been subjected to stereotypical representation by the Western literary society, and Vizenor’s work mainly aims to restore the NA identity to its original grandeur. We have linked the dialogic aspects in Vizenor’s work with the socio-political scenario of Native American history of subjugation which has not been done as yet. Vizenor has used ambivalence, carnival, polyphony, and heteroglossia in his text and left intentional gaps in the story to provoke his readers’ curiosity and set them free from the monologic literary catacombs embedded in their minds. Consequently, we have used Iser’s reader-response theory, to understand the link between Vizenor’s dialogic text, and its impact on readers; how far has he succeeded in shattering monologic frame of thought. We have picked a relatively old novel and analyzed it through a collaborative research approach that provides a fresh perspective on how dialogism has aided Vizenor in restoring NA identity to its former glory in literature. 1.2 Significance of the Problem This paper has highlighted dialogic aspects present in Vizenor’s Heirs, in light of NA socio-political, and cultural backdrop, employing reader-response theory. Dialogism is ubiquitous in approach and it is not just limited to literature; according to the theorist Bakhtin (2010), all language and thought processes are dialogic. Everything that is ever uttered or communicated in these languages by anyone, in reaction or in anticipation of things vice versa is interrelated and dynamic. These views are, as Bakhtin considers, persistently involved in the re-description and evolution of the literary world. Additionally, the process of redefinition or re-description of the world is very crucial to the Native American writers and novelists to restore their NA identity. The aim of Native American writers is not just to create a dialogic discourse, instead, they have to create a text that reinforces an identity that is vibrant, dynamic and can survive the harshness of the contemporary world. In Heirs, Vizenor (1991) has subverted the stereotypical, monologic accounts by using grotesque humor and imaginative metaphors while replacing the real entries from the journal, written and kept by Christopher Columbus, with the ambivalent, parodist encounters with natives. Thereby forcing the reader to examine and re-examine the text to grasp its true meaning and establish a dialogic perspective towards the history of America. 2. Literature Review Most of the research done on Heirs is based on postmodernist theory and trickster discourse. The work by Barry (2002) has analyzed the literary works of Gerald Vizenor from the postmodernist context. She has proposed that the symbolic representation of Bears in Chippewa traditions and religions holds key importance in Vizenor’s works. Similarly, Hockbruck (1992) has emphasized that Vizenor’s work tends to ‘breakaway’ from the established norms of language and literary works that were previously deemed characteristic to Native American narratives by critics. Russo (2017) contends that Vizenor has employed techniques code-switching technique and multi-voiced narrative to archive linguistic transmotion in The Heirs of Columbus. Therefore, none of the above-cited works have shed light on either dialogic content or the socio-political perspectives behind The Heirs of Columbus. We aim to enlighten the reader with the dialogic aspects of The Heirs of Columbus and also provide the socio-political background of Native American history that has driven Vizenor into writing the said narrative. The circle of Native American literature is ever expansive and requires constant pruning since it is still undergoing the developmental stages. Early attempts of writing by the Native American writers were mainly done to oppose or negate their established monologic ‘stagnant’ identity and explain the stance of Native Americans in the history of Eurocentric literature. Bleaser (1996) writes that the NA community has been deeply aggrieved by misinterpretation of their personality in literary works; their mischievous, humorous, and playful identity has been replaced with serious, authoritative, and hardcore traits. Therefore, stereotyping of Native ijel.ccsenet.org International Journal of English Linguistics Vol. 9, No. 4; 2019 401 identity has been strongly addressed by NA writers and often replaced with revolutionary ideals. Michael Fischer (1986) states, “Ethnicity is not something that is simply passed on from generation to generation, taught and learned; it is something dynamic, often unsuccessfully repressed or avoided”. Contemplating the dynamics of such an identity is, therefore, crucial to develop a proper understanding of the Native American perspective in literature. Native literature, as Fischer (1986) explains, can initiate for readers, “a dialectical or two-sided journey examining the realities of both sides of cultural differences so that they may mutually question each other, and thereby generate a realistic image of human possibilities and self-confidence for the explorer grounded in comparative understanding rather than ethnocentrism”. Gerald Vizenor is motivated to bring forth a body of text that is dependent on concepts like ethnicity, victimization, hybridization, social, and political persecution; he aims to bring forth a voice that can bridge the gap between the western world and the Native American indigenous world. Gerald Vizenor has also applied the postmodernist paradigms in his literary works; he differs from other writers of his era in his mediational approach towards NA oppression and his use of carnivalesque discourse to counter the grave realities of NA history. He deliberately creates a text that will be difficult to grasp by the reader in order to make them look for alternative approaches to understand the content and context behind it. The creation of a sovereign state in Heirs, one that celebrates tribal heritage and heals the wounded, abused children using genes of Christopher Columbus, at the end of the novel leaves the reader on a positive note. He sympathizes with Columbus in epilogue and believes that “Christopher Columbus, no doubt, would rather be remembered as an obscure healer in the humor of a novel and crossblood stories than a simulated quiver in national politics” (Vizenor, 1991). This paper aims are to identify the dialogic elements in Heirs, helpful in dealing with the issues related to hybridity and multiple ethnicities that have not been scrutinized by previous research to the best of our knowledge. 2.1 Theoretical Foundation The discerning factor about the NA literature is that it is deeply rooted with the issues concerning ethnic identity, nationalism; it also includes various literary theories like dialogism and reader-response theory of Wolfgang Iser. Therefore, the theoretical framework employed in this paper to critically analyze the selected novel involves a collaborative approach. By collaborative approach, we refer to combining the individual theories of Bakhtin’s dialogism and Iser’s reader-response criticism into a single theoretical framework for the investigation of selected work. Let us briefly elaborate on the collaborative approach before delving towards the dialogical aspects of the selected novel. 2.2 Why a Collaborative Approach? In our society we are often challenged with binaries; opposition coexists in specific forms; provoking questions like yes or no, right or wrong, men or women, up and down, good or evil, and civilization versus barbarianism. Due to these binaries, we are inclined towards only two-sided opinions however, Vizenor transgresses “… they don’t really absorb each other, do they? We hold them as opposites … force them to continue the dialectic” (Bleaser, 1996). Therefore, the problem lies with the dichotomous way of thinking that incites boundaries in the consciousness like good versus evil, black versus white, and right versus wrong etc., providing a Manichean ideology. However, the text provided by Gerald Vizenor is free from such constraints since such Manichean ideology only incites binary opposites in the society. According to him, a dialogic text has more potential to create multiple interpretations as he states that, “Any ‘living event’ must to a greater or lesser degree remain open”; this makes the text prone to generate multiple opinions and alternative perspectives, thereby making the text ambiguous, pre-suggestive, and open to limitless stylistic possibilities and engenders active participation on the part of the readers. These alternative perspectives provoke reader’s response which is purely based on his experiences, context and mental filter, restraining him from being conclusive about the interpretation of the text. Kimberly Bleaser writes about Vizenor’s intentional use of ambiguous and discursive language in his writing by quoting his words in one of his interviews: “literature ought to confront the comfortable values of authority. What other good is there for literature but to heal ourselves?” (Bleaser, 1996). According to her, at a certain juncture, Vizenor purposely writes in ambiguous style, creating confusion and indefiniteness in the minds of readers, forcing them to look for hidden meaning behind the text. Therefore, reading his novels is an interactive process that involves the readers in a literary process. The text created by Vizenor is labyrinthine, the subject matter, content, historic references and diction; everything is over complicated and deeply meaningful; the deconstruction of form and content is also part of his ambiguous text. Kimberley Bleaser states that his difficult style resists what he calls the “consumer mentality of the arts”, and he is perpetually trying to challenge the ijel.ccsenet.org International Journal of English Linguistics Vol. 9, No. 4; 2019 402 authority and the “terminal creeds” (a term coined by Vizenor to describe static ideologies of the society). He wants to question every comfortable niche of our consciousness to liberate ourselves from the stereotyping and to “push the consciousness” of the reader (Bleaser, 1996). Vizenor relies heavily on his active readers’ imagination to fill the gaps in his stories with their own perception of the truth and in doing so liberate themselves from monologic contingencies. Therefore, single theory is not sufficient to fully comprehend Vizenor’s work since it is multiple voiced discourse encompassing heterogeneity, polyphony, carnival, and heteroglossia. This is the reason that Bakhtin’s dialogism along with Wolfgang Iser’s reader-response theory has been employed to perform analysis of Vizenor’s selected work. 2.3 Bakhtin’s Interpretation of Dialogue Mikhail Bakhtin, having faced the oppressive rule of Stalin (1878–1953), gave birth to the concept of dialogism in the novel to celebrate freedom of thought by introducing dialogue in text. In Bakhtin’s dialogic novel, the readers “are to be led step by step from the popular view … to the truth which is merely and purely theoretical, guided by certain obtrusively enigmatic features in the presentation of the popular teaching—obscurity of the plan, contradictions, pseudonyms, inexact repetitions of earlier statements, strange expressions, etc.” (Strauss, 1941). Bakhtin used his analysis of Rabelais and Dostoevsky to contend that dialogue is inevitable in everyday life, generating ambivalence, contradictory perspectives, and inconsistent narratives and must form an integral part of the text, language, and thought. He shunned the monologic authority of the author in designing the fixed and unquestionable interpretation of the text and proposed the use of multiple-voiced discourse to provoke his readers’ interest and force them repeatedly read the text to reaffirm its implied meaning. Through the dialogic techniques of carnival, polyphony, and heteroglossia, he imagined his reader to transgress the monochromatic ideologies, liberating himself to form fresh, unique and imaginative alternative perspectives. Bakhtin’s dialogism has been accepted posthumously in NA literature since it aims to liberate its’ readers from the trite accounts of melodramatic history, and acts as a tool to invigorate their minds with multiple interpretations of verbal and non-verbal discourse. 2.4 Iser’s Interpretation of Implied Readers Wolfgang Iser’s stance on readers’ contribution in the literary process is attributed to his two major works i.e., The Implied Reader (1974), and The Act of Reading (1979). In these books, the text is interpreted as a collection of incomplete instructions that are completed by the reader, through his imagination and previous experiences. Iser’s reader employs the strategy of “wandering viewpoint” to process the text, familiarize with competing perspectives (not necessarily synchronous with his beliefs), and predict outcomes or fill in gaps, based on his enlightened apprehension, and past experiences. He constantly moves back and forth through the text, to confirm and reaffirm the contradicting ideas in the text and is open to revision in his initial opinions. Iser’s reader aims to achieve a holistic response from the text and is well aware of the limitations of his pre-mature beliefs that are harnessed before the reading process (Beach, 1993). Iser’s (1979) reader “combines all that he sees within his memory and establishes a pattern of consistency, the nature, and reliability of which will depend partly on the degree of attention he has paid during each phase of the journey. At no time, however, can he have a total view of that journey”. Steven Mailloux (2018) in his book Interpretive Conventions criticizes Iser’s reader by questioning the ultimate authority given to the author. Although Iser proclaims to give the reader primary importance in the reading process, he instructs the reader to choose from a predefined set of perspectives propagated by the author, ultimately favoring the author’s grand plan for the intended meaning of the text. Mailloux (2018) describes the gap-filling act of Iser’s reader as a predefined set of instructions, and professes that “… perspectives, blanks, and theme-and-horizon structure constitute the constraints that Iser’s account places on the reader’s interpretation of the whole text.” Similarly, Elizabeth Freund (2013) contends that Iser’s theory “presumes both an actively engaged reader employing cognitive strategies to create coherence, while, at the same time, the text’s schemata is also considered to be independent of the readers’ meaning-making”. It seems that Iser’s interpretation of the reader’s role is similar to the situation of students in academia who are instructed to bring out alternative interpretations of the text and then forced to adopt a particular perspective. Therefore, we can conclude that Iser’s reader isn’t as free to exercise his part as a reader and is dependent on the author’s projection of potential intended meanings, to arrive at a particular conclusion. Let us examine Vizenor’s work in this light and determine how far Iser’s implied reader succeeds in achieving closure from Vizenor’s Heirs. ijel.ccsenet.org International Journal of English Linguistics Vol. 9, No. 4; 2019 403 3. Methodology The above mentioned theoretical framework is employed by the authors in this paper to perform a compact analysis of Vizenor’s Heirs. Using the collaborative approach, by combining dialogism, and reader-response theory, our claim of dialogic as well as socio-political linkages in the selected work is further intensified and helps the reader in better deciphering the dialogical connotations buried in the text of the selected novel; these linkages also aid in understanding the stance of writer. We have incorporated adequate textual evidence in line of supporting the basic assumptions and make credible claims. Although incorporation of textual evidence is the tool used more often than not, we have also included citations of sources that concur with our claim in order to further validate our findings. 4. Analysis The Heirs was written in communion with the 500th anniversary of the first arrival of Columbus in America. The time of history mentioned in the novel creates a superior presence of White Nation (Eurocentric) in NA World which led to the inevitable loss of life, land, and NA identity. Vizenor has used language games and postmodernist discourse to create subversion of the stereotypes in the history of America. He rejects the idea of America being discovered, instead, he has weaved an imaginary account of Columbus being the descendant of the Native American origin, and the discovery of America is depicted merely as an act of coming back home of Christopher Columbus to his native homeland. Columbus is depicted as “an obscure cross blood who bore the tribal signature of survivance and ascended the culture of death in the Old World” (p. 3). He is mixed blood, as imagined by the writer, and a descendant of both Mayan (Indigenous origin) and Jewish origin. The roots of Columbus’ genealogy, therefore, go back to the lost tribes of Israel who traveled further than others towards Europe. 4.1 Polyphony and Its Intended Meaning By giving Columbus a tribal heritage, Vizenor has rendered European claim of discovery of America void, as he writes in the epilogue of the novel that it was never Columbus’ intention to settle on Native land and his decision was biased by the destruction of two out of three ships, under his command, at sea. The text is multiple voiced and dialogism is created by combining the historical facts recorded in the Eurocentric books with the NA oral traditions; multiple narrators take hold of the storytelling process and present their versions where each version is unique and never conforms to a single storyline. Dialogic narrative is created by discursive voices of Christopher Columbus and his heirs namely Binn Columbus (mother of Stone Columbus), Stone, Felipa (Stone’s partner) and Miigis flowers (Felipa and Stone’s daughter); the end of one narrative transcends the beginning of the second narrative giving rise to polyphony of voices. Stone Columbus’s narration of Christopher Columbus’ stories is often carried on by Christopher Columbus himself, as stories in the blood are common to all heirs of Mayan descent. In this bizarre New World, these descendants of Columbus are setting out to look for the remains of Columbus and Pocahontas; Felipa is a poacher, in addition to being a lawyer, who “repatriates tribal remains and sacred pouches from museums” (p. 8). Felipa and Stone’s character represents the notion of modern Native American as thriving and re-harmonizing individuals who can withstand the criticisms of the western dominated contemporary world; flexibility in their adherence to a particular school of thought, is the quality that Vizenor wants to endow upon his readers. He teaches his readers to adopt mediation as their ally in working through problems of their lives. Vizenor’s use of dialogism is the opposite of the established binary oppositions in the society and it is reflected in the novel when the concept of pure blood is deconstructed. Vizenor was strongly against the racial discrimination and he revisits this theme when Stone’s sovereign state is threatened by “tribal fascists who would abolish the heirs, their bingo, humor and certain words, such as crossblood, and the genes of survivance” (p. 131). Similarly, the western epistemology rejects the mixed-blood descent of mongrels since they prefer pure blood ties. But the mongrels are presented as the best race, in Hiers, that walks the face of this planet. Vizenor even went the extent to claim that “the best humans” are mongrels: Columbus, Jesus, Mayans, Jews, and Moors. He identifies with Bakhtin’s aversion to the hierarchical system of society and believes that through dialogic deconstruction of societal norms, one can achieve multiple perspectives and invoke freedom of expression to its’ fullest. 4.2 NA Oral Tradition, the Reader’s Response The ambiguity created by Vizenor provokes the reader to cultivate alternative perspectives and the intentional gaps left in the storyline are the source of imaginative response for the reader. The text itself invokes the reader’s mind to misinterpret the meaning intended behind it, all the while, creating confusion and chaos throughout the novel. In Heirs, Vizenor’s method of storytelling borders on incoherent narration; intentionally creating ijel.ccsenet.org International Journal of English Linguistics Vol. 9, No. 4; 2019 404 ambiguity with no hint of closure for the reader. Bleaser (1996) on the emersion of ideals from the work of Vizenor asserts in his book Gerald Vizenor: Writing in the Oral Tradition, that, “Vizenor’s immersion of events, ideas, and characters in a critical context (are) … Sometimes factual, sometimes fictional, sometimes both together, scenes and quotations fill Vizenor’s work as he juxtaposes the words or ideas of one writer or theorist against those of another, letting the context itself support, incriminate, or interrogate the ideas presented.” For example, Stone Columbus is never consistent about his historical account of C. Columbus and changes the details every time; when talking about his link with C. Columbus, he says “Samana … touched his soul and set the wounded adventurer free on October 28, 1492, at Bahia de Bariay” … “spell it out in your own words,” said Admiral White. “October 29, 1492, at Rio de la Luna.” “You changed the date.” “Columbus is ever on the move in our stories,” said Stone. So far, the Iser’s theory is coherent with the Vizenor’s expectation from his readers. The intentional gaps and theme-horizon structure has helped the researcher in comprehending the author’s as well as reader’s role in Heirs. In the first chapter, Vizenor channels his oral ancestral heritage and tells about Naanabozho as an earth diver trickster who has to climb a high mountain and use his own defecation to create a new world. From the dialogic perspective, this entire story of creation of the new world transgresses the story of creation of earth in Christianity, bridging the gaps in NA oral tribal stories and western epistemology. The satirical and a parodist twist are introduced into the novel to combine humor and pain altogether. The new world created by the trickster Naanabozho, mainly depicts Vizenor’s deep yearning for freedom of expression, void of racial, religious and cultural critique; this quest for freedom is transgressing the term ‘New World’, coined with the discovery of America as land of riches, hope and gold rush for the earlier settlers in America. This New World, established on the foundation of capitalism and racism is open to fresh beginnings and renowned as a land of opportunities. However, this entire concept is subverted by Vizenor in his novel when he mentions Naanabozho to create this world with piles of shit collected by him (p. 5). 4.3 Carnivalesque Discourse Vizenor uses humor to dismantle the established canons of the society. Bakhtin names this phenomenon as carnival and associates it with dialogism. Carnival is perceived as an ongoing social process that provokes laughter by subverting the establishment and traditional constructs of society. Vizenor is using this concept to amalgamate comic laughter emerging from joy and sorrow at the same time. For example, the character of Doric Mitchѐd is the physical personification of “tribal fascist” who “pretended to be tribal when his timeworn cross-blood heirs served his economic and political interests” (p. 47); His power tussle with Felipa over medicine pouches takes them to the court, however, fortunately Felipa in not indicted. Nevertheless, Doric succeeds in murdering Felipa to avenge his ego, reclaim his financial loss, and recover Christopher Columbus’ remains. Evidently, Vizenor combines the tragic with the comic in Heirs, therefore, the comic effect can never make us forget the underlying painful and violent history of colonization; the noxious gravity of Native American dialogue is never forgotten. Felipa is senselessly murdered while she is trying to restore ashes of Pocahontas. The cold corpse of Felipa was left unaccounted for by the Scotland Yard in the graveyard reminding us the brutal history of Native massacre of the past and “Binn held the moccasins to her ear and said that two men tied her down in a room, one man touched her breasts, the other man with the blood on his check watched and then he injected a poison into her thigh. Felipa dreamed that she was a mistle thrush in the tree over the church, she flew into a wicked storm and never returned …” (p. 175). Her killers are never convicted; in fact, Scotland Yard closes her case irresponsibly. The entire account is filled with the elements of subversion, humor and satire, often, overshadowing the melancholy and disheartening truths about NA oppression. After the establishment of sovereign state, the heirs use tribal stories, trickster humor and gene therapy to heal the “wounded and the lonesome”. “Panda and three robots were trained to heal with humor; their memories held the best trickster stories, and modern variations, that would liberate the mind and heal the bodies of children” (p. 158) who were subjected to abuse on the reservations. Therefore, the darkness of Native American history is clearly visible in the text of the novel and reminds the reader to re-think the stereotypical account of the events that have been presented by the Western World for centuries. Instead of highlighting NA oppression, the aim of Vizenor’s text is to bridge the gap between NA culture and western epistemology, is to create survivance literature; a literature that recreates and resists the historic facts to be the final truth and insists on NA ability to overcome the miseries of the past and move on, with hope on their side. Vizenor sympathizes with Columbus and contends that he was a survivalist who “escaped the culture of death and carried [his] tribal genes back to the New World” (p. 9). The interesting part of this narrative is that Columbus arrival at the Islands of America is the result of Columbus’ hearing stories carried “in the blood” that provoke him come back to reclaim his ancestry. “The Admiral of the Ocean Sea” has a clubbed penis and has ijel.ccsenet.org International Journal of English Linguistics Vol. 9, No. 4; 2019 405 suffered throughout his life, tormented by his deformity. Grotesque humor is, like Columbus’ genital dilemma, used to subdue the harshness of post-Columbian era and manifests the Vizenor’s ability to use humor in a unique and subverted manner. Ironically, Columbus meets tribal trickster Samana on the night of his arrival and is liberated by their sexual union thereby fathering the heirs. Examples of grotesque humor and sexuality are prevalent in the text as Columbus remembers his encounter with Samana, stating in a secret letter at sea, “his wild pleasures and liberation with a hand talker … she was the “first woman who moved me from the curse of my secret pain” (p. 31). 4.4 Heteroglossia Vizenor’s use of oral literature brings forth heteroglossia in his novel. Bakhtin defines heteroglossia as use of multiple speech genres, different signs and their hidden tensions governed by social, political and cultural backdrop at the time of creation of dialogue. For example, heteroglossia can represent different dialects as in Dickens works; use of oral literature as in Vizenor’s work. Now the “hidden tensions” part requires elaboration through an example. The conversation between Doric and Felipa while they argue over the rightful place of medicine pouches containing Columbus’ remains is marked with heteroglot text. “Stolen, is the right word,” whispered Felipa. “Discover is more accurate,” said Doric. “How much are your discoveries?” asked Felipa. (p. 50). Although argument is about medicine pouches but it points to the NA history and “discovery” of the New World in reality. Similarly, the word “stolen” in the argument, points to the western confiscation of native lands. Vizenor’s use of language games adds another dimension to the said heteroglot text and renders it more ambivalent, requiring its readers to revisit the history of America with suspicious attitude and question the documented facts rather than accepting them blindly. Here we see that Vizenor diverges from Iser’s viewpoint because he requires his readers to derive their own conclusions rather than relying on author’s intended interpretation of text. The narrative of this novel also sets out to criticize the history of colonization that included the wide spread massacre of the natives and that also involves centuries of relocation, persecution, subjugation and victimization of these people. The entire concept of discovering America, according to Vizenor, is demeaning and detrimental to the identity of the Native Americans. Vizenor believes that the word ‘Indian’ bears no identification, since it is nothing more than a mere misinterpretation created by the white people. Upon first contact the natives are not seen as the humans, instead their inability to understand the foreign language was associated with their poor intellect, Columbus was authorized by the king to take slaves therefore he saw potential for taking the natives as slaves; as mentioned in the novel he writes that, “They ought to make good and skilled servants, for they repeat very quickly whatever we say to them” (p. 4). These lines signify the stereotypical mentality of Columbus as the colonizer who construed a single-minded judgment about the livelihood and purpose of the natives. The above mentioned first entry of Columbus sealed the fate of the Native Americans who were seen nothing more than slaves. Kirkpatrick Sale believes that Columbus in the novel is not depicted as character, instead he is “an idea, manipulated by the author” (Sale, 1991). The second way to present Columbus is through the character of Stone Columbus who emulates Christopher Columbus. The mixed blood heirs are earth-divers: their objective is to submerge into the past and the present contemporary society, by jumping back and forth into the time so much so that they want to regenerate their origins and oppose colonization. Dialogically speaking, there is a constant overlapping of boundaries and time frames of the past and present are comingling to create ambiguity in the text. This ambiguity is provoking active response on behalf of its readers. According to Iser, by selection of single event for subversion in history, author opens up the numerous possibilities of conscientious awareness for reader, insinuating a perpetual dialogue, questioning the un-subverted facets of history. Iser differs from Vizenor’s point of view in that he relies on partial authority of author to achieve closure whereas Vizenor celebrates ambivalence and contends that closure is overrated in real life and the reader can change his perspective at any point in reading process. In Trickster of Liberty, Vizenor (2005) shares this point of view by saying that “… words are ambiguous.” “The word never has only one use,” he said at the seminar. “Every word always has a beyond, sustains several meanings. Behind what discourse says, there is what it means … and behind what it wants to say there is another meaning, and the process will never be exhausted.” 5. Discussion After performing the above mentioned analyses based on the hermeneutic theoretical framework, Vizenor’s The Heirs of Columbus has been identified to contain dialogic techniques of carnival, polyphony and heteroglossia. The oppression throughout history and its resulting anger seems to resonate in the hearts of Native Americans and even transcends the lapse of centuries, still igniting the hearts of younger generations. The stereotypical imagery of the Natives which had been honed in by the Western literature is unacceptable to the modern readers and writers. Vizenor’s use of dialogism has opened up the concept of alternative perspectives with regard to the ijel.ccsenet.org International Journal of English Linguistics Vol. 9, No. 4; 2019 406 true identity of Native Americans. Although Vizenor tries not to focus on the victimization of natives, he grieves the massacre of his native brothers by insinuating the death of one of the heirs i.e., Felipa Flowers. Nonetheless, the novel ends on an optimistic note of creation of a sovereign state by Stone Columbus which shelters the broken-hearted children and where tricksters heal their abused bodies and soul with their humor. The art of storytelling by tricksters is what saves the children and “Their best memories held the best trickster stories, and modern variations that would liberate the mind and heal the bodies of children” (p. 158). During our study we have identified that Iser’s reader-response is not enough to understand Vizenor’s text since he aims to transcend the realm of conventional norms of text and create ambivalent, subverted, multiple-voiced discourse that celebrates heteroglot thought processes and provokes contradiction and confusion, rather than proving closure. 6. Conclusion Text within The Heirs of Columbus is resonating with Vizenor’s use of dialogic techniques to bring forth alternative perspectives in the reader’s minds. Vizenor tries to discuss the ideals of native sovereignty by stating that the judge, at the hearing of Stone Columbus case in the novel, says that entire concept of tribal sovereignty “is imaginative … an idea that is more than metes and bounds in treaties” (p. 7). The idea of the novelist is to create a fresh perspective towards the Native American identity. He disregards viewing the Native Americans only as victims or savages. Ambivalence of responses is necessary to powerfully nurture the power of imagination. This novel perspective of carnival humor provides us with something new and it can also affect the native people to think differently about history and the horrible encounters between them and the colonizers. Vizenor, it seems, wants nothing more than to re-imagine alternative viewpoints, rejecting the imposition of stereotypes of society. This alternative and less intense way of thinking, in our view will, allow Native Americans to assimilate with the contemporary world and open up new pathways for their future while sustaining a healthy perspective towards past, present and future. We also contend that the basic techniques of dialogism in Heirs abide by Iser’s interpretation of reader’s response whereas heteroglossia demands its readers to take active part in interpreting the meaning of text rather than relying on author’s accepted set of responses. Conclusively our analysis reveals that there are clear differences in Iser’s implied reader and Vizenor’s active reader, the former is conformist while the latter is revolutionist in his approach. References Baron, R. (2016). Public folklore dialogism and critical heritage studies. International Journal of Heritage Studies, 22(8), 588–606. https://doi.org/10.1080/13527258.2016.1150320 Barry, N. B. (2002). Postmodern bears in the texts of Gerald Vizenor. Melus, 27(3), 93–112. https://doi.org/10.2307/3250657 Beach, R. (1993). A Teacher’s Introduction to Reader-Response Theories (NCTE Teacher’s Introduction Series). National Council of Teachers of English, 1111 W. Kenyon Road, Urbana, IL 61801–1096 (Stock No. 50187–0015, $9.95 members; $12.95 non-members). Blaeser, K. M. (1996). Gerald Vizenor: Writing in the oral tradition. University of Oklahoma Press. Carmack, R. M., Gasco, J. L., & Gossen, G. H. (Eds.). (2016). The legacy of Mesoamerica: history and culture of a Native American civilization. Routledge. https://doi.org/10.4324/9781315663661 Erdrich, L. (1988). Tracks: a novel. Erdrich, L. (1993). Love Medicine. New York: Holt. Fischer, M. M. (1986). Ethnicity and the post-modern arts of memory. Writing Culture: The Poetics and Politics of Ethnography, 194–233. Freund, E. (2013). Return of Reader. Routledge. https://doi.org/10.4324/9781315016078 Hochbruck, W. (1992). Breaking Away: The Novels of Gerald Vizenor. World Literature Today, 66(2), 274. https://doi.org/10.2307/40148132 Iser, W. (1974). The implied reader: Patterns of communication in prose fiction from Bunyan to Beckett. Johns Hopkins University Press. Iser, W. (1979). The act of reading (pp. 16–34). Routledge and Kegan Paul. ijel.ccsenet.org International Journal of English Linguistics Vol. 9, No. 4; 2019 407 Ivanov, V. (1999). Heteroglossia. Journal of Linguistic Anthropology, 9(1/2), 100–102. https://doi.org/10.1525/jlin.1999.9.1-2.100 King, T., & Bernson, B. (1993). Green grass, running water (Vol. 431). Boston, MA: Houghton Mifflin. Krupat, A. (1992). Ethnocriticism: Ethnography, history, literature. Univ of California Press. Lush, R. M. (2012). Turning Tricks: Sexuality and Trickster Language in Vizenor’s The Heirs of Columbus. Studies in American Indian Literatures, 24(2), 1–16. https://doi.org/10.5250/studamerindilite.24.2.0001 Mailloux, S. (2018). Interpretive conventions: The reader in the study of American fiction. Cornell University Press. https://doi.org/10.7591/9781501720949 Mielke, L. L. (2018). Native American Presence. Cambridge University Press. https://doi.org/10.1017/9781316271537.005 Momaday, N. S. (1989). The ancient child: a novel. Doubleday Books. Owens, L. (1994). Other destinies: understanding the American Indian novel (Vol. 3). University of Oklahoma Press. Russo, B. V. (2017). Deconstructing the Master’s House with His Own Tools: Code-Switching and Double-Voiced Discourse as Agency in Gerald Vizenor’s Heirs of Columbus. Studies in American Indian Literatures, 29(4), 58–75. https://doi.org/10.5250/studamerindilite.29.4.0058 Sale, K. (1991). Roll on Columbus, roll on. Nation, 253(13), 465–470. Silko, L. M. (2006). Ceremony. Penguin. Silko, L. M. (2012). Storyteller. Penguin Group USA. Strauss, L. (1941). Persecution and the Art of Writing. Social Research, 488–504. Vizenor, G. (1990). Trickster discourse. American Indian Quarterly, 277–287. https://doi.org/10.2307/1185655 Vizenor, G., & Vizenor, G. R. (1991). The heirs of Columbus. Wesleyan University Press. Copyrights Copyright for this article is retained by the author, with first publication rights granted to the journal. This is an open-access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/4.0/). 
work_4slasxjxwngzljbctg3npcchoa	----	ORIGINAL ARTICLES AAEM Ann Agric Environ Med 2000, 7, 119–123 Received: 8 November 2000 Accepted: 4 December 2000 PEPTIC ULCER AMONG POLISH RURAL POPULATION AND THE NICOTINIC INDEX Janusz Schabowski Clinic for Internal and Occupational Diseases, Institute of Agricultural Medicine, Lublin, Poland Schabowski J: Peptic ulcer among Polish rural population and the nicotinic index. Ann Agric Environ Med 2000, 7, 119–123. Abstract: The paper presents the results of observations concerning the effect of cigarette smoking on the prevalence of peptic ulcer among 6,512 rural inhabitants aged 20-64, selected by two-stage sampling. Of these, 2,506 (38.6%) were regular smokers. In order to determine precisely the negative effect of smoking on the human body the nicotinic index was used (N.I.), calculated by multiplying the number of cigarettes smoked daily by the period of smoking (years). The three-stage scale of the nicotinic index was applied: I° - N.I. < 100, II° - N.I. = 100-300, III° - N.I. > 300. The mean value of the nicotinic index calculated for the total number of smokers in the study was 290.3. A statistically significant higher N.I. was observed in patients with peptic ulcer - 432.5, compared to patients with other diseases - 337.2, and healthy individuals - 203.3. Among patients with peptic ulcer the highest percentage of people with N.I. > 300 was noted (59.0%), compared to patients with other diseases (42.9%) and those who were healthy (22.6%). The differences observed between patients with peptic ulcer and those of the remaining groups were highly statistically significant (p < 0.001). The percentage of people with the lowest value of the nicotinic index (N.I. < 100) in individual groups was: in patients with peptic ulcer - 13.5% (the lowest), among patients with other diseases - 25.0%, in the group of healthy individuals - 38.5% (the highest). An increase was noted in the incidence of peptic ulcer with the value of the nicotinic index. Peptic ulcer occurred in 3.8% of patients with N.I. < 100, in 6.4% of those with N.I. = 100- 300, and in 13.2% of patients with N.I. > 300. An increase in the percentage of patients with the nicotinic index was observed irrespective of the site of ulcer. It became most evident among patients who underwent surgical treatment due to peptic ulcer, where the highest value of the nicotinic index (N.I. > 300) was noted in 79.5%, in patients with gastric and duodenal ulcer - 66.7% and those with gastric ulcer - 59.6%. A positive correlation was observed between peptic ulcer incidence rates, complications of the disease and the value of the nicotinic index. The relationship between state of health and the value of the nicotinic index was confirmed. The results of the study showed that the nicotinic index was useful for determining the negative effect of cigarette smoking on the human body. Address for correspondence: Doc. dr hab. med. Janusz Schabowski, Clinic for Internal and Occupational Diseases, Institute of Agricultural Medicine, Jaczewskiego 2, P.O.Box 185, 20-950 Lublin, Poland. E-mail: schabow@galen.imw.lublin.pl Key words: Polish rural population, gastric ulcer, duodenal ulcer, peptic ulcer, surgical treatment, epidemiology, tobacco smoking, nicotinic index. INTRODUCTION Tobacco, a native plant of America, was brought to Europe at the time of Christopher Columbus’ expeditions. Initially, it was believed that this plant had therapeutic properties. Jean Nicot, a French ambassador to Portugal who contributed to the spread of tobacco cultivation, used tobacco leaves as a medical agent against migraine. The term nicotinism was derived from his surname and denotes the habit of tobacco smoking which in the second 120 Schabowski J half of the 20th century was considered as one of the greatest ‘killers’ of mankind. It has been discovered that tobacco smoking contributes to the occurrence of diseases of the respiratory and cardiovascular systems, alimentary tract, and also causes cancer. Based on the literature concerning etiopathogenesis of the peptic ulcer, tobacco smoking is one of the factors predisposing to this disease [5, 11, 14, 17, 18, 26]. Everyday medical practice provides substantial evidence confirming this hypothesis, e.g. longer healing time of ulcers among smokers, more frequent relapses of the disease and a greater number of complications. In addition, epidemiological observations suggest that there exists a relationship between cigarette smoking and the occurrence of peptic ulcer [1, 11, 13, 21, 22, 23, 27], although some reports also cast doubt on this theory [28]. It was observed that peptic ulcer patients who were smokers were twice as prone to relapses of the disease, and that sickness absenteeism was three times higher [5]. The results of treatment with the antagonists of H2 histamine receptor were similar to those obtained among non-smokers who were administered a placebo. A greater number of peptic ulcer complications was observed among smokers [4, 26]. In addition, higher mortality rates due to peptic ulcer were noted among smokers [4, 18]. The role of tobacco smoking in the pathogenesis of peptic ulcer has not been fully recognized. A considerable prevalence of this habit in Poland, as well as the lack of observations with the use of the nicotinic index, were the essential premises for conducting studies of this problem among rural population. MATERIALS AND METHODS The study was based on the results of the all-Polish comprehensive survey of the state of health of adult rural inhabitants conducted in 1990 by researchers from the Institute of Agricultural Medicine in Lublin, with the consideration of somatic, mental and social aspects of health [6, 25]. The analysis covered a representative group of rural population selected by the method of two-stage sampling. Records from all rural health centres in Poland (3,286), which are kept and annually updated by the Institute of Agricultural Medicine in Lublin, containing 34 parameters, were used for first-stage sampling. At the first stage of the study all health centres were divided into 150 groups according to their location, type of centre, distance to Health Unit (hospital), number of population in the region, percentage of farming population and deviation from the recommended model of employment. In each group two prevention-treatment regions were selected by means of stratified sampling and a sample of a required number of 300 first-stage units was obtained. The second- stage samples were selected based on communes where the selected health centres were located, and covered the population aged 18-64. According to the region and sampling probability the size of the sample ranged from 10 - 120 people from one health centre. A total number of 8,091 rural inhabitants were selected for the study, and 7,006 respondents, i.e. 86.6% were classified for the study (the remaining people did not report for examinations). The two youngest age groups (18-19) were considered as not sufficiently representative for further analysis. These deviations most probably resulted from the inadequacy of the 1988 electoral rolls (people who reached the age of 18 were not always enrolled on the lists). 6,846 people were classified for statistical calculations, including 6,512 rural inhabitants aged 20–64 with a correctly completed Medical Examinations Chart. The latter sample was analysed in the present paper. The study was conducted by trained rural health centre physicians and covered: a specially designed questionnaire, a detailed physical examination, and necessary laboratory tests. The results obtained were registered in a questionnaire, which also contained questions concerning detailed demographic and social data, hazardous agents present at the workplace, as well as data pertaining to housing conditions, mode of nutrition and habits. In order to determine the relationship between cigarette smoking and the occurrence of peptic ulcer the following parameters were analysed: prevalence of smoking, age at starting smoking, number of cigarettes smoked a day, and the period of smoking. Nicotinic index (N.I.) was analysed to determine the relationship between smoking and the occurrence of peptic ulcer. This index was calculated by multiplying the number of cigarettes smoked daily by the smoking period (years). The nicotinic index which covered two parameters - the number of cigarettes smoked a day and the period of smoking, should allow us to determine precisely the unfavourable effect of smoking on the human body. A three-degree scale of the nicotinic index was applied: I° - N.I. < 100, II° - N.I. from 100 to 300, III° - N.I. > 300. Chi2 test was used for analysis. Percentages were compared by means of a test of significance of differences between fractions. The level of p < 0.05 was adopted as significant. RESULTS At the time of study, the Polish rural population constituted 38.6% of the total number of Polish population, i.e. 14,623,000 people [21]. Among the total number of 6,512 rural inhabitants examined - 3,107 males and 3,405 females - 2,506 people (38.6%) were regular smokers, including 1,808 males (58.3%) and 690 females (20.6%); 678 (10.4%) - were ex-smokers, including 473 males (15.2%) and 205 females (6.0%); 3,314 (51.0%) were non-smokers, including 821 males (26.5%) and 2,493 females (73.4%). The mean value of the nicotinic index calculated for the total number of respondents was 290.3: for patients with peptic ulcer - 432.5, for patients with other diseases - Peptic ulcer among Polish rural population and the nicotinic index 121 337.2, and for healthy individuals - 203.3. The differences between the mean N.I. in patients with peptic ulcer and those with other diseases, as well as healthy individuals, were statistically significant (p < 0.001). The nicotinic index below 100 was noted among 29.6% of regular smokers in the study, N.I. = 100 to 300 - in 34%, and N.I. >300 - in 35.9%. Table 1 presents the compilation of patients with peptic ulcer, respondents with other diseases, and those who were healthy according to the nicotinic index. In individual groups, the percentage of people for whom the nicotinic index reached the highest value (N.I. > 300) was as follows: among patients with peptic ulcer - 59.0% (the highest); among patients with other diseases - 42.9%, whereas among healthy individuals - 22.6% (the lowest). The differences between patients with peptic ulcer and the remaining groups in the study were statistically significant (p < 0.001). The percentage of respondents for whom the value of the nicotinic index was the lowest (N.I. < 100) was as follows in individual groups: among patients with peptic ulcer - 13.5% (the lowest); among those with other diseases - 25.0%, and in healthy individuals - 38.5% (the highest). The differences observed between patients with peptic ulcer and the remaining groups were highly statistically significant (p < 0.001). It was observed that the percentage of patients with peptic ulcer considerably Table 1. Compilation of patients with peptic ulcer, those with other diseases, and healthy individuals according to the nicotinic index. Nicotinic index Patients with peptic ulcer (A) Patients with other diseases (B) Healthy individuals (C) Chi2 test value (DF = 1) n % n % n % A - B A - C < 100 33 13.5 387 25.0 475 38.5 15.4*** 56.3*** 100–300 67 27.5 497 32.1 480 38.9 2.1 11.9*** > 300 144 59.0 665 42.9 279 22.6 22.0*** 130.4*** Total 244 100 1,549 100 1,234 100 *** p < 0.001 Table 2. Prevalence of peptic ulcer among smokers according to the value of the nicotinic index. Groups in the study Nicotinic index < 100 100–300 > 300 n % n % n % Gastric ulcer 8 0.9 13 1.2 31 2.8 Duodenal ulcer 22 2.6 45 4.3 74 6.8 Gastric and duodenal ulcer 0 0 4 0.4 8 0,7 Patients who underwent surgical treatment due to peptic ulcer 3 0.3 5 0.5 31 2.8 Total 33 3.8 67 6.4 144 13.2 General number of respondents 895 100 1,044 100 1,088 100 Table 3. Site of ulcer among smokers by the value of the nicotinic index. Site of ulcer Nicotinic index Gastric ulcer (A) Duodenal ulcer (B) Gastric and duodenal ulcer (C) Patients who underwent surgical treatment due to peptic ulcer (D) Chi2 test value (DF =1) n % n % n % n % A - B A - C A - D < 100 8 15.4 22 15.6 0 0 3 7.7 0.02 - 0.52 100–300 13 25.0 45 31.9 4 33.3 5 12.8 0.09 0.05 2.08 > 300 31 59.6 74 52.5 8 66.7 31 79.5 0.78 0.02 4.05* Total 52 100 141 100 12 100 39 100 * p < 0.05 122 Schabowski J increased with the value of the nicotinic index. In this group, the percentage of patients with the highest value of the nicotinic index was significantly greater, compared to that noted for respondents with the lowest N.I. value. Table 2 presents the prevalence of peptic ulcer among smokers according to the value of the nicotinic index. It was noted that the incidence of peptic ulcer increased with the value of the nicotinic index. Peptic ulcer occurred in 3.8% of respondents with N.I. < 100; among 6.4% of those with N.I. = 100 to 300, and in 13.2% of people with N.I. > 300. Table 3 presents the compilation of sites of ulcer among smokers by the value of the nicotinic index. Considering each site of the ulcer, the percentage of patients increased with the nicotinic index. This was most clearly observed among patients who underwent surgical procedures due to peptic ulcer, where the highest value of the nicotinic index (N.I. > 300) was noted in 79.5% of respondents; while among patients with gastric and duodenal ulcer this percentage was 66.7%; and in those with gastric ulcer - 59.6%. The difference between patients who underwent surgical procedures due to peptic ulcer and those with gastric ulcer was statistically significant at p < 0.05. DISCUSSION Among the total number of 6,512 rural inhabitants in the study 38.6% were regular smokers (58.3% of males and 20.6% of females), 10.4% - were ex-smokers and 51.0% were non-smokers. Based on the results of the study conducted in 1987 it was estimated that 30.3% of rural inhabitants aged over 16 were regular smokers - 48.9% of males and 11.7% of females [19]. The greater percentage of smokers noted among the population under study may be due to both the age of respondents (over 20) and an increased prevalence of the smoking habit observed in Poland at that time. The application for the first time of the nicotinic index in order to evaluate the effect of smoking on the prevalence of peptic ulcer enabled us to prove statistically significant differences (p < 0.001) between the mean value of the nicotinic index among peptic ulcer patients (432.5), those who had other diseases (337.2) and healthy individuals (203.3). A significantly higher percentage of respondents with the highest values of the nicotinic index (p < 0.001) was noted among patients with peptic ulcer, compared with patients who had other diseases and healthy rural inhabitants; while the percentage of respondents with the lowest values of the nicotinic index was significantly lower (p < 0.001). Among people with the highest values of the nicotinic index (>300) the highest percentage of patients with peptic ulcer was observed (13.2%), while among people with the lowest N.I. values the number of peptic ulcer patients was 3.5 times lower. A considerably higher morbidity rates due to peptic ulcer were observed among smokers by Anda et al. >�@��- GU\FKRZVNL�et al. [11], Kato et al. [13], Sablich et al. >��@��6FKDERZVNL�DQG�6NU]\GáR- 5DGRPD�VND�>��@� Among patients who underwent surgical procedures due to peptic ulcer, the number of people with the highest nicotinic index was the greatest, compared to other sites of ulcer (p < 0.05). This confirmed the relationship between cigarette smoking and the occurrence of peptic ulcer complications which, in a large number of cases, lead to surgical treatment [4, 26]. Experimental studies, as well as the results of studies on humans, did not explicitly confirm the direct ulcer- inducing effect of nicotine. The widely - known effect of nicotine - a decrease in the production of bicarbonates by the pancreas - could be the only explanation for an increased probability of the occurrence of duodenal ulcer among smokers [14]. Reports concerning the unfavourable effect of smoking on gastric and pancreas secretion, as well as on the motor activity of the upper section of the alimentary tract, considerably expanded the knowledge of pathomechanisms associated with smoking [9, 14, 17, 26]. The last decade has brought to light many new data which confirm that smoking may possibly contribute to the pathogenesis of peptic ulcer. Ogle et al. [17] in their experiment conducted on rats observed an ulcer-inducing effect of nicotine. Cryer et al. [8] and Lindel et al. [16] showed a smaller level of prostaglandin in the mucous membrane of the stomach and duodenum in smokers, compared to non-smokers. Endoh and Leung [9] observed a decreased blood flow in the gastric mucosa due to nicotine. Jones et al. [12] indicated a decrease in the secretion of an epidermal growth factor (EGF) by the salivary glands in smokers with peptic ulcer, compared to non-smokers. The discovery of Helicobacter pylori (Hp) bacterium in the gastric mucosa essentially changed attitudes concerning the pathogenesis of peptic ulcer. It was found that this bacterium is an etiologic factor in about 90% of cases of duodenal ulcer and about 70% of cases of gastric ulcer. An effective eradication of Helicobacter pylori bacteria results in the complete recovery in the majority of peptic ulcer cases. It became evident that Hp infection is very prevalent - it concerns over 50% of the world population, males and females equally; peptic ulcer, however, is observed only in about 10–15% of the population infected, and is considerably more frequently among males [23, 24]. The studies showed that apart from an unfavourable effect on the defence mechanism of the gastric mucosa [8, 9, 14, 15, 16] cigarette smoking increases the risk of Helicobacter pylori infection and may contribute to the pathogenic effect of this bacterium. Bateson [2] observed that Helicobacter pylori infection concerns 49.6% of smokers and only 35.5% of non- smokers and ex-smokers. Bateson [2, 3] and Tursi et al. [29] noted that smoking decreases the immunologic resistance of the mucous membrane and increases Peptic ulcer among Polish rural population and the nicotinic index 123 Helicobacter pylori cytotoxic effect. Nicotinism is also associated with an increasing resistance to antibiotics [7] and poorer results of Hp eradication [10]. A more than three-fold increase in the incidence of peptic ulcer with the growing value of the nicotinic index, as well as a significantly higher percentage of people with high nicotinic index among peptic ulcer patients, compared to patients with other diseases and healthy individuals, confirm the role of smoking in the pathogenesis of peptic ulcer. The results of the study confirmed the usefulness of the nicotinic index for epidemiological assessment of the hazardous effect of cigarette smoking on the prevalence of peptic ulcer disease. CONCLUSIONS The studies conducted based on a representative group of 6,512 rural inhabitants aged 20-64 allowed us to draw the following conclusions: 1. 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Am J Epidemiol 1992, 135, 521-530. 14. .RQWXUHN�6��%LHUQDW�7��5DGHFNL�7��:Sá\Z�SDOHQLD�QD�Z\G]LHODQLH� *Rá�GNRZH�L�WU]XVWNRZH�X�F]áRZLHND���(IIHFW�RI�VPRNLQJ�RQ�JDVWULF�DQG� pancreas secretion in humans). Pol Arch Med Wew 1972, 48, 383-388 (in Polish). 15. Kurata JH, Nogawa AN: Metaanalysis of risk factors for peptic ulcer. Nonsteroidal antiinflammatory drugs, Helicobacter pylori and smoking. J Clin Gastroenterol 1997, 27, 2-17. 16. Lindell G, Bukhave K, Lilja I, Madsen JR, Graffner H: Acute effects of high-dose intragastric nicotine on mucosal defense mechanisms: an analysis of nicotine, prostaglandin E2, phospholipase A2, and phospholipids. Dig Dis Sci 1997, 42, 640-644. 17. Ogle CW, Cho CH, Wong SH: the effect of nicotine on ethanol- induced gastric ulcers in rats. Experimentia 1985, 15, 1140-1141. 18. ParadowskL�/��.OLQLF]QH�DVSHNW\�QDZURWRZR�FL�ZU]RGX�WUDZLHQQHJR� (Clinical aspects of peptic ulcer relapse). Gastroenterologia Polska 1994, 1, 177-181 (in Polish). 19. 3U]HZR(QLDN� .�� *RWWHVPDQ� .�� .XWD� 0�� =DWR�VNL� :�� 3DOHQLH� tytoniu w Polsce w 1987 roku. (Tobacco smoking in Poland in 1987). Zdrowie Publ 1990, 101, 553-559 (in Polish). 20. Rocznik Statystyczny GUS (Statistical Yearbook of the Republic of Poland). Warsaw 1993 (in Polish). 21. Sablich R, Benedetti G, Serraino D: Environmental risk factors in the pathogenesis of peptic ulcer. The role of cigarette smoke. Minerva Dietol Gastroenterol 1990, 36, 99-103. 22. Schabowski J�� 6NU]\GáR-5DGRPD�VND� %�� 3DOHQLH� SDSLHURVyZ� D� FKRURED� ZU]RGRZD� Z�UyG� GRURVá\FK� PLHV]ND�FyZ� ZVL� Z� 3ROVFH�� (Cigarette smoking and peptic ulcer disease among Polish adult rural inhabitants). Abstracts, VI Congress of The Polish Gasteroenterologic Society, Cracow, 1994, No. 123 (in Polish). 23. Schabowski J: Wybrane zagadnienia z epidemiologii choroby ZU]RGRZHM�*Rá�GND�L�GZXQDVWQLF\�Z�UyG�GRURVá\FK�PLHV]ND�FyZ�ZVL�Z� Polsce. (Selected problems of gastric and duodenal ulcer epidemiology among Polish rural population). Dr habil. Dissertation, Medical Academy, Lublin 1995 (in Polish). 24. Schabowski J: Helicobacter pylori – znaczenie kliniczne oraz zasady leczenia (Helicobacter pylori - clinical importance and treatment procedures). Medycyna Rodzinna 1998, 3, 23-25 (in Polish). 25. Skr WRZLF]� %�� =GURZLH� OXGQR�FL� ZLHMVNLHM� – somatyczny aspekt zdrowia. (State of health of rural population - somatic aspect of health). Wiad Stat 1992, 37, 6-11 (in Polish). 26. 6]\PD�VNL�=��0DUOLF]�.��%LUNHQIHOG�%��0DMHZVNL�0��5DWDMF]DN� M, Hnatyszyn A: PorównaniH� SU]HELHJX� NOLQLF]QHJR� L� F]\QQR�FL� Z\G]LHOQLF]HM� *Rá�GND� X� FKRU\FK� ]� ZU]RGHP� WUDZLHQQ\P� SDO�F\FK� L� QLHSDO�F\FK���&RPSDULQJ�FOLQLFDO�FRXUVH�DQG�JDVWULF�VHFUHWLRQ�LQ�SDWLHQWV� with peptic ulcer - smokers and non-smokers). Wiad Lek 1985, 38, 1001- 1004 (in Polish). 27. Watanabe Y, Kurata JH, Kawamoto K, Kawai K: Epidemiological study of peptic ulcer disease among Japanese and Koreans in Japan. J Clin Gastroenterol 1992, 15, 68-74. 28. :GRZLDN� /�� %URGDONR� %�� 5]HSHFND� %�� &KRU]\� QD� FKRURE � ZU]RGRZ�� L� LFK� ZLHG]D� QD� WHPDW� F]\QQLNyZ� ZSá\ZDM�F\FK� QD� MHM� powstanie i przebieg. (Patients with peptic ulcer and their knowledge concerning factors affecting its pathogenesis and course). Wiad Lek 1994, 47, 8-12 (in Polish). 29. Tursi A, Cammarota G, Papa A, Cianci R, Cuoco L, Fedeli G, Gasbarini G: Effect of adequate alcohol intake, with and without cigarette smoking, on the risk of Helicobacter pylori infection. Hepatogastroenterology 1998, 45, 1892-1895. 
work_4sydkzbb5vdtvave4pkubcbyxa	----	Various Types of Earth Buildings Procedia - Social and Behavioral Sciences 89 ( 2013 ) 226 – 230 1877-0428 © 2013 The Authors. Published by Elsevier Ltd. Selection and/or peer-review under responsibility of Prof. Dr. Huseyin Uzunboylu, Near East University, Faculty of Education, Cyprus doi: 10.1016/j.sbspro.2013.08.839 2nd Cyprus International Conference on Educational Research, (CY-ICER 2013) Various Types of Earth Buildings Hamed Niroumanda*, M.F.M Zainb, Maslina Jamilc a,b,cDepartment of architecture, Faculty of engineering and built environment, National University of Malaysia (UKM), Malaysia Abstract Earth architecture is a vernacular architecture. Earth architecture is included various types of buildings. This paper is described various types of earth buildings in the world. Rammed earth buildings, Cob, Adobe, Wattle and Daub, Poured earth are various types of earth buildings. The paper has shown the significant of earth buildings and earth architecture in vernacular architecture. Earth Architecture is a study devoted to the architectural uses of earth in shaping the environment of humankind, a subject closely related to human ecology. Earth Architecture includes contemporary as well as historical and vernacular examples drawn from many cultures and periods. Structural built of earth presently house an estimated 1.5 billion people about 30 percent of the world’s population (Keefe 2005). Archaeologists have found evidence of mud brick buildings constructed as early as ten thousand years ago in the Middle East and North Africa, where impressive buildings up to ten stories high have been recorded in an unbroken architectural tradition that continuous today. © 2013 Published by Elsevier Ltd. Selection and or peer-review under responsibility of Assoc. Prof. Dr. Zehra Özçınar, Ataturk Teacher Training Academy, North Cyprus Keywords: Adobe, Rammed earth, Wattle and Daub, Poured earth, Cob, Vernacular architecture; 1. Adobe Brick Building For wall construction, there has always been a comparison between adobe bricks and rammed earth. One of the major requirements for adobe bricks is climate. Some regular periods of dry weather is essential for the could to dry and the bricks to be structured firmly. This supports the common belief that adobe bricks are limited to arid lands only; however, this is not correct. Any area where climate supports a full week without rain is suitable. Adobe bricks (Figure 1) have also offered simple structural solutions for structures such as vaults, arches and domes, which are impossible to construct with rammed earth. A variety of soil can be used to manufacture adobe bricks. Based on the quality of bricks needed and the capital available for investment in the manufacturing tools, the manufacturing operation is established with different levels. Stabilizing agents such as bricks, mud and mortar are used for manufacturing adobe bricks. The factors on which the type of stabilizing agent is decided are cost and effectiveness. Other additives like asphalt emulsion, lime and Portland cement have also been used in mud bricks and walls. Vernacular builders in some cultures have also used many organic compounds that involve manure, straw, blood and plant juices. The number of advantages in using adobe brick walls is far more than the number of disadvantages associated with it. Some major advantages are low sound-transmission levels Available online at www.sciencedirect.com © 2013 The Authors. Published by Elsevier Ltd. Selection and/or peer-review under responsibility of Prof. Dr. Huseyin Uzunboylu, Near East University, Faculty of Education, Cyprus ScienceDirect Open access under CC BY-NC-ND license. Open access under CC BY-NC-ND license. http://creativecommons.org/licenses/by-nc-nd/3.0/ http://creativecommons.org/licenses/by-nc-nd/3.0/ 227 Hamed Niroumand et al. / Procedia - Social and Behavioral Sciences 89 ( 2013 ) 226 – 230 through walls, solidity and security. Such walls are also considered in selecting the heating, ventilating and cooling systems. Adobe bricks are found to be fireproof and the investment of energy in basic materials is also very low. The major disadvantage of using adobe bricks; however, is their extra wall thickness that considerably decreases the ratio between the total building space and the usable interior space. 2. Rammed Earth Building The man-made equivalent for sedimentary rocks is rammed earth. For more than many thousand years, builders are making use of simple tools to compact soil in order to produce rock-hard structures. This has created some very beautiful and well-known wonders in the construction industry. Examples of such great architectures include the Alhambra in Spain, the great Kasbahs of Morocco and the long stretches of the Great Wall of China. China has evidences of some of the most previous works built from rammed earth, where archaeologists discovered walls made of rammed earth back from the Longshan Culture of the Late Neolithic period (between 2600 and 1900 B.C.E), the period between the Stone Age and the Bronze Age, a period when many cities in China were established. This technology of building structures using rammed earth later spread throughout the Middle East. The Phoenician trading empire was the one that introduced the technology in Europe and helped in laying the foundations of the rammed earth city of Carthage. A famous Roman historian called Gaius Plinius Secundus stated that Carthaginians taught this technology to Romans, and Romans disseminated the technology throughout other territories. He also provided evidences of a fortification built out of rammed earth by Hannibal 250 years ago and also mentioned rammed earth walls in Spain in his studies. The Romans spread the technology to southern France through the Rhone River valley, where they built the capital city, Gaul, which is called Lyon today. In the city of Lyon, substantial evidences of agricultural buildings and houses made of rammed earth are still visible today. Native Americans were practicing the technology much before the arrival of Europeans in America. Another notable rammed earth structure that began construction in 100 C.E., in Teotihuacan, Mexico, is the famous Pyramid of the Sun. This structure was built using 2 million tons of rammed earth along with stone and rises to an impressive height of 207 feet. The first time rammed earth European traditions arrived in Americas was from Spain. The oldest remains of a European structure in America are a restructured earth house belonging to the first formal European settlement and the city of La Isabella in the Dominican Republic. Christopher Columbus founded this on his second voyage to America in the year 1493. The technology of rammed earth further spread into the southern United States and South America with the Spanish conquest. In the mid-19th century, Chinese immigrants that had arrived to participate in the gold rush in California brought this technology to the western coast of the United States. In Dutch flat in California, a small store that was constructed of rammed earth in the year 1877 by Chinese immigrants still remains. During the same time as the gold rush was raging in the West, French immigrants that arrived in the southern United States were constructing plantation houses, churches, slave quarters and schools out of rammed earth. Other notable examples of rammed earth construction are the historic campus of the Southwest School of Art and Craft in Sumter, South Carolina built in 1850. While rammed earth was building its emphasis in the United States, Australians, on the other hand, were beginning to establish towns by compacting the soil of the Central Australian desert. Many French-making countries renamed rammed earth walls “Pise”. Although when the rammed earth technology began is still not clear, researches conclude that it evolved from “puffed” mud wall construction. This is defined as a prehistoric mud type wall that was developed separately worldwide but is still currently used. Rammed earth walls that are placed with forms are similar to the construction using adobe bricks; however, the concept is totally different. 228 Hamed Niroumand et al. / Procedia - Social and Behavioral Sciences 89 ( 2013 ) 226 – 230 Rammed earth walls, in comparison to adobe bricks, are built in more damp, humid climates where building adobe bricks are practically impossible. In countries like North Africa and Australia, rammed earth has been considered a viable option although using adobe bricks in these arid-climate countries is not ruled out. Rammed earth is also widely used in France, Eastern Seaboard of the United States during the 19th Century, especially at the time of the unavailability of manufactured materials. E. Gilman wrote an early manual on constructing rammed earth walls in 1839; the manual was called “The Economical Euilder”. The manual mentioned the construction of rammed earth walls as highly sound and economical. The construction of rammed earth walls includes aggregate portions of silt, sand and clay and adding this mixture to the soil. This makes use of forms, usually of wood, that are placed and secured into damp earth. After drying for few days, the forms are removed and the wall structure is complete, except for curing. Once at this stage, the wall requires no further building except for furnishing it and performing some cosmetic treatments, etc. this is perhaps the most notable feature of rammed earth construction. Forms used can range from very simple small, wooden slip forms, secured with rope or wire, to patented manufactured forming systems used in concrete. The soil used is the same as that used in building adobe brick walls. The most suitable soil type; however, is the one that has small gravel aggregate, sand, silt and clay. Some qualities of the wall such as durability and waterproof qualities are based on the content of the clay in it, which is approximate 15-18%. For soils sued for rammed earth walls, higher clay content is preferred, while adobe bricks that are built using high clay content have a tendency to crack on drying. The moisture content in rammed earth initially is much lower and therefore, rammed earth walls are less subject to shrinkage on drying. A different form of rammed earth wall (Figure 2) construction that does not make use of forms is in Iran, called “chine” construction. This method makes use of damp mud and shapes it with hand. The wall comprises many successive layers, each 18-24 in. in thickness and 18-24 in. in height. The lower level has to dry completely before another layer can be placed on top of it. This technique is similar to the one used in “coil” pottery. However, this construction method is believed to not construct more strengthened wall structures like in case of adobe bricks and rammed earth using forms. In Iran, this type of wall is most often used for garden walls rather than structural building walls. Perhaps this indicates their lack of confidence in the structural qualities of this type of wall design. Other examples of such architecture can also be found in the Western Hemisphere at Casa Grande, Arizona and Casa Grandes, Chihuahua, Mexico, dating back almost a thousand years. 3. Cob The simplest of all earth-building technologies is called Cob. This technology makes use of very few tools and no formwork or internal structure and consists of piling and molding mud to create walls. The cob mix is similar to that of mud brick, however, it is stiffer and has higher straw content, which helps the mud hold its form as it is piled. Mud is shaped using trowel or hand and is placed directly in top of a structure at a height of approximately 18 inches around the perimeter of the building footprint. This is done by using a cob fork or a pitchfork - a traditional tool found in the United Kingdom – that are specifically designed for use in cob construction. Each layer in this construction is called a lift and must be dried completely for the next layer to be placed on top of it. Windows and doors are made as the wall grows and to increase the openings, wood or stone lintels are added after the wall is built completely. Because of the processes involved in building them, cob structures are highly sculptural. Openings in cob construction can be aligned using a pairing iron that helps in creating cleaner walls and edges. Because of its simple nature, cob construction has become very common in the whole world. Native Americans piled mud to create large multi-story dwellings. The ruins of Casa Grande, built using cob construction between 1200 and 1450 by the Hohokam culture near 229 Hamed Niroumand et al. / Procedia - Social and Behavioral Sciences 89 ( 2013 ) 226 – 230 Phoenix, Arizona, became the first prehistoric cultural site to be protected in the United States. The multi- story Taos Pueblo in New Mexico that was constructed using cob construction between 1000 and 1450 is the oldest continuously occupied dwelling in North America and still even today a thriving village. In northern Yemen, Zabur, as cob is called there, is a sophisticated tradition; multi-story dwelling and fortifications of piled mud flourished from the thirteenth to the nineteenth century. In Ireland, Scotland, Wales, Northern Ireland and England, many typologies from humble farmhouses to stately manors, as well as the birthplace of sixteenth century writer and explorer Sir Walter Raleigh were constructed of cob. With British colonization the use of cob spread to Australia, New Zealand, and North America. In New Zealand, English colonists constructed more than 8000 cob houses. 4. Wattle and Daub All this has made cob construction to be part of the present world in which we live. In the United Kingdom the long, curving cob wall in Associated Architects’ Cabtun House demonstrates how well suited this seismological design. In Heringer and Roswag’s design for a children’s school in Bangladesh, the sculptural potential of cob is explored in the caves carved out of the wall where students can study, play, or sleep. Wattle and daub is perhaps the oldest earth-building technologies in the world. Even before humankind had started to create societies based on farming, hunter-gatherer societies seemed shelter that could be made with ready materials that were available to a nomadic lifestyle. Tree branches were the most common construction material at that time to build the structural framework and mud plastered into the nest of interwoven branches to ensure protection from sun and other unfavorable weather conditions. In excavations of the oldest known settlements, such as Jericho and Catalhoyul, wattle and daub structures overpower the more permanent structures constructed using mud brick or rammed earth. The Wattle and daub technique consists of two parts. A wattle is a woven structure of small plant elements held together in a stiff frame. Common materials used to create wattle are reeds, bamboo, branches and twigs. Daub or mud adheres to the irregularities and overhangs of the organic matrix. This mud mixture is similar to the one used for mud brick but with smaller aggregate, and dung is often the organic binder. The daub in then smeared on to the wattle by hand until the entire surface is covered. When dry, either the finish surface can be a smooth final coat of daub, or it can be whitewashed with lime. Unlike other earth building systems, wattle and daub is very thin; however, it lacks the thermal mass properties rendered to the structure by rammed earth or adobe brick. However, the woven structure is highly earthquake resistant because it is extremely flexible. This is the reason why wattle and daub is used in seismic zones throughout the world such as South America and Indonesia. In addition to this, many Native American cultures of North America also employ wattle and daub as the primary construction method, and the United Kingdom is still home to a sophisticated array of examples of the technique. Indigenous and European Australian too used wattle and daub and it also flourishes throughout Europe and Asia. 5. Poured Earth Each of the four earth construction techniques mentioned here comprise pouring earth into frameworks and allowing it to dry. In case of wattle used for an exterior or an interior wall, the resulting gap is filled with mud. However, rammed earth construction requires laborious tamping where the resulting shape is achieved when the mud is completely dry. Based on the traditions prevalent in a region, the framework can serve as the primary structural support to the building. The Juana Briones Houses, built in 1845 near San Francisco, California, is a unique example of this construction type that is also called encajonado. This term is Spanish in origin that describes the process of stuffing mud into a framework of the lath. In the United Kingdom, many houses were built during the late eighteenth and early nineteenth centuries by using a mixture of chalk, straw and soil and pouring the mix into formwork. Once the material dried, the 230 Hamed Niroumand et al. / Procedia - Social and Behavioral Sciences 89 ( 2013 ) 226 – 230 formwork was removed to expose the brilliant white walls. This is similar to Marwan Al-Sayed’s use of gypsum in a poured earth wall in Phoenix, Arizona; the color renders the quality of lightness to the massive poured earth walls while reflecting the desert sun. Nader Khalili’s super adobe, in which flexible sacks of earth are stacked to create quick, low-cost disaster housing, is a radical take on poured earth traditions. 6. Conclusion The current paper is shown a review on various types of earth buildings. According to information, rammed earth houses are high performance buildings in earth buildings that they are developed in various countries. References Middleton, G. F. (1975). Build your own house of earth compendium Pty Ltd. Mentone, Victoria, Australia. Frank, R. Walker, Ed. (1954). The building estimator’s reference book, 12th ed., Frank R. Walker, Publisher Chicago. McHenry, P. G. (1984). Adobe and rammed earth buildings, John Wiley and Sons. Rael, R. (2009). Earth Architecture, Princeton Architectural Press, New York, USA. Morgan, W. N. (2008). Earth architecture from ancient to modern, University Press of Florida, USA. Niroumand, H., Zain, M.F.M., Jamil, M. (2011), Hill development by Earth architecture. International Journal of Physical Sciences, 6 (6), 1249-1256 Niroumand, H. (2011), Nanotechnology in Architecture. Academic Publishing, Germany Niroumand, H., Zain, M.F.M., Jamil, M. (2012), Advanced Materials Research. 457-458, 354-357 Niroumand, H., Zain, M.F.M., Jamil, M. (2012), Advanced Materials Research. 457-458, 395-398 Niroumand, H., Zain, M.F.M., Jamil, M. (2012), Advanced Materials Research. 457-458, 403-406 Niroumand, H., Zain, M.F.M., Jamil, M. (2012), Advanced Materials Research. 457-458, 399-402 
work_4tfptg2ulnaklp2rdvnn5zirra	----	Science Magazine renewal of some nuclear pore components leads to the gradual deterioration of nuclear pore function. As a consequence, the nuclei of older cells become leaky, and proteins that would nor- mally be excluded from the nucleus can be found within it. — SMH Cell 136, 284 (2009). C H E M I S T R Y Product Protection Chemical transformations often pose the dilemma that a desirable product may prove unstable under the reaction conditions. In certain cases, such intermediate products may be sufficiently volatile to be removed evaporatively from the reaction mixture as they are generated, but many compounds are not amenable to this mode of sep- aration. A particularly insidious challenge arises in the partial alkylation of amines. Adding an alkyl group renders an amine more nucleophilic than before, and so more likely to attract yet another alkyl group; therefore, simply mixing equivalent amounts of amines and alkyl electrophiles tends to afford a mixture of unreacted and polyalkylated products. Yebeutchou and Dalcanale skirt the 20 FEBRUARY 2009 VOL 323 SCIENCE www.sciencemag.org984 C R E D IT S ( T O P T O B O T T O M ): O L IV IE R W E IK E N /E P A /C O R B IS ; D ’A N G E L O E T A L ., C E L L 1 3 6 , 2 8 4 ( 2 0 0 9 ) EDITORS’CHOICE C E L L B I O L O G Y Aging Disgracefully As we age, all too many aspects of our physique deteriorate—not just at the macroscopic scale of our limbs and organs, but also at the single- cell level. Nuclear pores allow for the transport of proteins and nucleic acids across the nuclear envelope, both from the cytoplasm to the nucleus and in the reverse direction, and are essential in normal trafficking processes involved in gene expression, cellular homeostasis, and growth. Nuclear pores are complexes of many individual protein components, some of which are extraordi- narily long-lived. D’Angelo et al. have examined the characteris- tics of these complexes in aging postmitotic cells from Caenorhabditis elegans and from rodents, and find that as cells grow old, the lack of problem by adding molecular sequestering agents that selectively capture amines after their preliminary reaction step, thereby protecting them from further interaction with a methylating agent (iodomethane). The optimized protectors were tetra(arylphosphonate)-based cavitands that attracted monomethylated alkyl ammonium cations through ion-dipole forces, hydrogen bonding at the rim, and C-H–pi interactions deep in the cavity. In their presence, a range of alkyl and aryl primary amines could be selectively methylated in good yield. The authors verified preferential encapsulation of the secondary ammonium ions in solution using nuclear mag- netic resonance spectroscopy. — JSY J. Am. Chem. Soc. 131, 10.1021/ja809614y (2009). N E U R O S C I E N C E Opioids and Drink Substance abusers score higher on measures of cognitive and motor impulsivity. Cognitive impul- sivity refers to the inability to delay gratification, whereas motor impulsivity, or disinhibition, describes the inability to withhold a pre-potent response. Animal studies confirm that impulsivity EDITED BY GILBERT CHIN AND JAKE YESTON P S Y C H O L O G Y Cycling Between Worlds During the run-up to the first round of the 2007 presidential election in France, boundaries blurred as the usual mix of campaign rhetoric and dirty tricks spilled over into the virtual world of Second Life. Whether these skirmishes influenced the real-world electorate is unclear, and McCabe et al. have begun to investigate whether associa- tions learned within the confines of a computer- based contest might affect participants’ behavior in real-world situations. They conditioned partici- pants to chase or avoid cyclists who overtook them by linking one type of jersey logo to fruit juice and the other to salty tea, respectively. Several days later and in a different building, approximately two-thirds of the participants, while waiting for their turn in the brain scanner, elected to sit in a chair on which was draped a towel embroidered with the positively associated logo. Furthermore, neural activity of the insula region of the brain (a measure of motivational salience) reflected the previous conditioning of appetitive and aversive stimuli, hinting at a carryover from the virtual reality cycling competition. — GJC J. Neurosci. 29, 1046 (2009). Normally cyto- solic protein tubulin (green) inside an old nucleus. Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ www.sciencemag.org SCIENCE VOL 323 20 FEBRUARY 2009 C R E D IT : J U P IT E R I M A G E S correlates with drug intake, although nearly all of these studies have examined impulsivity in rela- tionship to psychostimulant drugs. Olmstead et al. have investigated whether deletion of the �- or �-opioid receptor genes alters motor impulsivity in mice. They tested the behavior of these mutant animals in an operant- based behavioral task that assesses the ability of mice to withhold a well-learned pre-potent response (a nose poke used to gain a sucrose reward); the reward can be obtained only when nose-poke responses are made during a brief light stimulus. Mice lacking �-opioid receptors exhib- ited decreased motor impulsivity, whereas those lacking �-opioid receptors showed increased motor impulsivity. Additionally, mice lacking �-opioid receptors were insensitive to the effects of alco- hol, which increases impulsivity and decreases conditioned responding in wild- type mice, and the behavior of mice lack- ing �-opioid receptors was completely disrupted by alcohol. Taken all together, these results indicate a link between opiate receptors in the brain, impulsive behavior, and behavior directed toward ingesting alcohol. — PRS PLoS ONE 4, e4410 (2009). M O L E C U L A R B I O L O G Y Finely Balanced Registers Many genes are interrupted by noncoding introns that must be precisely excised from the RNA molecules transcribed from the gene. In the first step of the splicing reaction, a large RNA- protein splicing machine recognizes the 5’ end of most introns via the complementarity of this region to one of the spliceosome components, the U1 RNA. Yet other 5’ splice sites show little complementarity to the canonical U1 sequence and are nonetheless efficiently and accurately spliced by the very same machine. In puzzling over this conundrum, Roca and Krainer noticed that a subset of these atypical 5’ splice sites did have a sequence that could form a base-paired region with the U1 sequence, but only if shifted one base downstream of the nor- mal 5’ splice site (the +1 register). Mutating one of these atypical 5’ splice sites to improve its complementarity to the U1 RNA in the canonical register resulted in aberrant, rather than improved, splicing. Furthermore, mutations in the +1, but not canonical, register of the U1 RNA that restored base pairing with the mutated atypical 5’ splice sites could rescue the splicing defects. Understanding that the U1 RNA can rec- ognize two subsets of 5’ splice sites in two regis- ters accounts for the splicing of atypical 5’ splice sites and also explains the deleterious effect of a mutation in the intron of the gene RARS2, which is associated with pontocerebellar hypoplasia. EDITORS’CHOICE 17050 Montebello Road Cupertino, California 95014 Email:AAASInfo@betchartexpeditions.com For a detailed brochure, please call (800) 252-4910 PERU June7-17,2009 Explore extraordinary cultural and archaeological wonders of Peru. Tour Lima and visit Huaca Pucclana archaeological site. See the heart of the Inca Empire at Cuzco and spec- tacular landscapes in the Andes. Visit Machu Picchu, Ollantaitambo, and Sacsayhuaman. $3,695 + air. Spitsbergen July14-26, 2009 Explore the Arctic and better understand global warming. Travel on board the M/V Antarctic Dream and see glaciers, wild- flowers, polar bears, walrus, Arctic fox, great whales, and much more! From $4,995 + air. Azores &Atlantic Crossing June 1-14, 2009 Cruise to the Azores on board the CleliaIIwith lectures at sea en route to Santa Maria where Christopher Columbus made landfall on his return from America. On the island of Sao Miguel, explore Ponta Delgada and breathtaking Sete Cidades, where two lakes fill a volcanic crater. Visit the islands of Terceira, Pico, and Faial. From $5,995 + air. China’s 2009 Eclipse July13-24, 2009 Visit three of China’s important cultural sites—Beijing, Xi’an, and Hangzhou—before seeing the Total Solar Eclipse, July 22, 2009 at the mouth of the Qiantang River near Hangzhou. $3,695 + air. Travel with AAAS Although the 5’ splice site mutation improves complementarity with the canonical U1 register, it weakens base pairing in the +1 register, and it is this imbalance that probably causes the exon skipping seen in the disease. — GR Nat. Struct. Molec. Biol. 16, 176 (2009). E N G I N E E R I N G Keeping Chips Cool The heat that is generated by silicon chips in the integrated circuits at the heart of modern elec- tronic devices must be efficiently removed, because the performance of field-effect transistors degrades at higher temperatures. One approach for providing active cooling next to a chip is to use thermo- electric materials, which effectively transport heat via current flow. Chowd- hury et al. fabricated a material with a high coeffi- cient of thermoelectric perform- ance and sandwiched it between the chip and a thermal sink layer. Specifically, the thermoelectric mate- rial comprised superlattices of p-type Bi 2 Te 3 /Sb 2 Te 3 and n-type Bi 2 Te 3 /Bi 2 Te 2.83 Se 0.17 grown on GaAs substrates by metal-organic chemical vapor depo- sition. The assembled devices could cool a targeted region on a silicon chip with a high heat flux (1300 W/cm2) by 15°C. — PDS Nat. Nanotechnol. 4, 10.1038/ NNANO.2008.417 (2009). A P P L I E D P H Y S I C S Sensing the Vibes Remotely Vibrations in machinery can lead to excessive wear, and, in the worst case, to catastrophic failure. Mon- itoring unwanted vibration is therefore an impor- tant safety issue. Probing the response of materials to vibrations at ultrasonic frequencies can provide a diagnostic test for defects and cracks in materials that may appear before the device breaks down. It is not always possible, or feasible, to use mechani- cally attached sensors, and so optical sensors may allow for nonintrusive monitoring. Bouncing laser light off a textured surface (such as a wall, a can, or paper) produces a speckle pattern. Bessette et al. introduce a photoconductive sensor that probes the movement of the speckle pattern as the sam- ple, in this case a metal surface cut from a can, is vibrated at high frequency. Using a simple silicon- based photoconductive element, which can be shrunk to micrometer size, they can look at the movement of a single speckle, thereby giving them the ability to monitor vibrations at ultrasonic fre- quencies remotely. — ISO Appl. Phys. Lett. 94, 41121 (2009). Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ Opioids and Drink Peter Stern DOI: 10.1126/science.323.5917.984d (5917), 984-985.323Science ARTICLE TOOLS http://science.sciencemag.org/content/323/5917/984.4 CONTENT RELATED file:/content/sci/323/5917/twil.full PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American Association for the Advancement ofScience © 2009 American Association for the Advancement of Science o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/323/5917/984.4 http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
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work_4wkyvysyonhebi4vrn2zhz7xxq	----	Clinical Study Ingestion of Lycosome L-tug Formulation of Dark Chocolate Ameliorates Postprandial Hyperlipidemia and Hyperglycemia in Healthy Volunteers Ivan M. Petyaev ,1 Natalia E. Chalyk,2 Victor A. Klochkov,2 Dmitry V. Pristenskiy,1 Marina P. Chernyshova,1 and Nigel H. Kyle1 1Lycotec Ltd, Granta Park, Cambridge, CB21 6GP, UK 2Institute of Cardiology, 12 Chernyshevskogo Str, 410028 Saratov, Russia Correspondence should be addressed to Ivan M. Petyaev; ykb75035@aol.com Received 21 January 2019; Accepted 26 March 2019; Published 16 May 2019 Academic Editor: Gerardo E. Guillén Nieto Copyright © 2019 Ivan M. Petyaev et al. This is an open access article distributed under the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Twenty-eight healthy middle-aged volunteers (40-60 years old) with equal gender representation were randomized into 3 study groups to investigate the changes in postprandial glucose and lipids after ingestion of different formulations of dark chocolate (DC). The volunteers from the first group were requested to ingest 100 g of regular DC whereas the individuals from the third group were given 100 g of highly bioavailable lycosome formulated L-tug formulation of DC containing 23.3 mg of lycopene. A second group received a 23.3 mg lycopene capsule, a tomato-derived antioxidant carotenoid as a matching control. Serum specimens were obtained following 30 minutes as well as 1, 2, and 3 hours after study products intake. Ingestion of L-tug DC was accompanied by the reduced postprandial hyperglycemia with maximum difference seen at3rd hour of the study and reduction of average AUCGluc values by 20% (P<0.05) as compared to regular DC. Moreover, ingestion of L-tug DC was accompanied by a statistically significantly reduced median concentrationfor postprandial triglycerides (to 390.7 mg∗hr/dL; 5/95%% CIs: 363.2/405.7 versus regular DC value of 439.5mg∗hr/dL and a lower range of confidence intervals - 5/95%CIs: 394.0/475.1). A similar tendency was observed in changes of total cholesterol concentration. Ingestion of L-tug DC completely abolished total cholesterol increase seen in volunteers at3rd hour of postprandial period following intake of the control DC. Ingestion of lycopene alone did not cause any changes in postprandial changes of glucose or serum lipids. The observed postprandial changes can be related to the 56.2 % increase in serum lycopene level which was observed after ingestion of L-tug DC only. Higher serum lycopene levels following the ingestion of L-tug DC resulted in a corresponding increase in serum antioxidant capacity and reduction of oxidized LDL as well as a decline in malonic dialdehyde concentration in the serum of volunteers. 1. Introduction The medicinal properties of dark chocolate (DC) and other foodstuffs derived from �eobroma cacao were first noted centuries ago dating back to the time of Christopher Colum- bus whose expeditions first brought cocoa to Europe and introduced DC into European culinary culture [1, 2]. Amelio- ration of fatigue, indigestion, and other gastrointestinal disor- ders were attributed to the potential medicinal benefits asso- ciated with regular consumption of DC [1]. Current nutri- tional science and numerous in vitro and in vivo studies sug- gest that DC intake may have a measurable effect on cardio- vascular health, the central nervous system, and intermediate metabolism [3]. DC contains nearly 300 identifiable chemical substances with conceivable biological activity. However, the medicinal effects of DC seem to be mediated largely by cocoa polyphenols, methylxanthines (caffeine, theobromine), and certain minerals: magnesium, zinc, and iron [1, 4]. The molecular interplay of these biologically active compounds and their individual role in the effects of DC are yet to be fully explored. However, it has been demonstrated that some of the physiological changes attributed to DC ingestion occur with the participation of a nitric oxide-mediated pathway, resulting in nitric oxide production via Ca2+-independent activation/phosphorylation of eNOS [3, 5]. Yet, there are legitimate concerns related to the consumption of DC by individuals with compromised health status. Currently, there Hindawi Advances in Preventive Medicine Volume 2019, Article ID 1659384, 8 pages https://doi.org/10.1155/2019/1659384 http://orcid.org/0000-0001-8201-6863 https://creativecommons.org/licenses/by/4.0/ https://doi.org/10.1155/2019/1659384 2 Advances in Preventive Medicine are no dietary guidelines and/or clear recommendations regarding daily intake of DC. Confectionery brands of DC contain more than 50g of fat, 20g of carbohydrates, half of which is sugar, with a total of 600 calories per 100 g [1]. Consequently, regular consumption of large amounts of DC may affect the outcomes of hyperlipidemia and type 2 diabetes mellitus. Therefore, there is a need to develop a new nutraceutical formulation of DC with limited impact on lipid and carbohydrate homeostasis. As we reported recently [6, 7], lycosome formulation of DC containing carotenoids embedded into DC matrix (L- tug DC) has a number of beneficial features including greater bioavailability of cocoa polyphenols and the ability to reduce the concentration of oxidized low density lipoproteins (ox- LDL) as well as other markers of biological oxidation and systemic blood pressure. In the present study we evaluate the effect of L-tug DC on postprandial lipids and glucose levels following acute ingestion as this had not been addressed previously. 2. Material and Methods 2.1. Study Objectives. The study was conducted by Lycotec Ltd (Cambridge, UK) and the Institute of Cardiology (Sara- tov State University, Russian Federation). The study was conducted as part of larger clinical trial under a protocol approved by the local Ethical Committee and registered (ACTRN12613000966796). The study was designed as a pilot, double-blind, interventional, randomized clinical study involving healthy middle-aged volunteers. The main objective of the study was to compare postpran- dial changes in serum lipids and glucose levels after single ingestion of 100 g of L-tug DC in comparison with the same amount of control DC over the first three-hour time window. The secondary objectives of the study included assessment of postprandial changes in markers of inflammatory and oxidative damage, which appear in the blood as a response to the transient challenge to the liver by postprandial lipids. In addition, total antioxidant capacity of the serum and serum lycopene levels were measured following ingestion of L-tug DC and DC. Since the former contained embedded lycopene, a separate group of volunteers was assigned to ingest the same dose of lycopene in capsule form without the intake of DC. All volunteers were aware of the purpose of the study and signed a written consent form regarding their partic- ipation. All volunteers underwent physical and laboratory examination and their medical history was evaluated during the enrolment period. 2.2. Subjects and Inclusion/Exclusion Criteria. Healthy Cau- casian male and female subjects 40–60 years old were enrolled in the study. Major inclusion criteria were assessed at the screening visit and were as follows: Caucasian individuals of both genders, aged 40-60 years, absence of any current disease, normal vital signs (blood pressure, body temper- ature, pulse, and respiration rate), and normal body mass index (BMI 18.5-24.9), as well as normal blood cell count and liver function parameters, no current intake of lipid- lowering, or any antidiabetic drugs. The exclusion criteria were inability to comply with the study protocol, concurrent medical conditions (hepatitis, pancreatitis, diabetes, cancer, recent cardiovascular events, tuberculosis, etc.), smoking (> 10 cigarettes per day), and intolerance to cocoa and tomato products. 2.3. Study Products 2.3.1. Dark Chocolate. Dark chocolate bars (100 g) with 85% cocoa from Green & Black's Organic (Uxbridge, UK) were used in the study. Nutritional characteristics per 100 g were as follows: calories - 630 kcal; protein – 9.2 g; fat – 53.5 g; and carbohydrates – 22.2 g, of which sugar was 13.8 g. The chocolate was melted, treated, and tempered in exactly the same way for all groups of the study regardless of the addition of lycopene. 2.3.2. L-tug� Formulation of Dark Chocolate. Modification of cocoa butter triglycerides by lycopene embedment into DC is accompanied by changes in the DC crystallization [6, 7]. This enhances bioavailability of cocoa flavanol compounds by protecting them from oxidative modification during the digestive process [6, 7]. The concentration of lycopene in the L-tug chocolate was 23.3 mg per 100 g bar. The lycopene used was in the form of tomato oleoresin from Lycored Inc. (New Jersey, NJ, USA) and contained 97% trans-isomers and 3% cis-isomers. 2.3.3. Lycopene. Lycopene control capsules containing 23.3 mg of lycopene were made from the same batch of tomato oleoresin that was used for the preparation of the L-tug DC. 2.4. Study Protocol. The volunteers were asked to refrain from consumption of cocoa- and tomato-based products for 10 days before beginning the study. The study participants were also asked to make no changes to their diet and lifestyle and to avoid vigorous physical activity and excessive alcohol consumption before the test procedure. The volunteers were asked to arrive at the study site fol- lowing overnight fasting (10-12 hours) and blood specimens were obtained within 30 minutes of arrival. The test products (100 g of DC with or without lycopene or 23.3 mg lycopene capsule) were given at the “0” time point of the study after obtaining fasting blood specimens. Volunteers were asked to consume the products within 5 minutes. From this time point a 3-hour observational period began. Volunteers were asked to remain in a sitting position and were allowed to consume 250 ml of regular drinking water with no food served before or after ingestion of the study products. Blood sampling was conducted at the “0” time point as well as after 30, 60, 120, and 180 minutes following consumption of study products. Neither the volunteers nor the study personnel was informed of the specification of the dark chocolate bars (presence or absence of lycopene in the DC matrix) during the interventional period or serum specimen processing/analysis. The lycopene alone ingestion group was unblinded for both the study personnel and the volunteers. An independent statistician and the principal investigator conducted the decoding of the results. All volunteers and https://www.anzctr.org.au/Trial/Registration/TrialReview.aspx?id=364779 Advances in Preventive Medicine 3 study personnel were informed of the study aims and objec- tives and had signed written consent for participation in the study. 2.5. Blood Sampling. Blood specimens were taken at the time points indicated above by qualified personnel. The specimens were allowed to clot at 37∘C for 30 minutes and were then centrifuged immediately in a refrigerated centrifuge (4∘C) at 3000 rpm for 10 minutes. The serum was separated and aliquots dispensed prior freezing at -80∘C. All quantification assays were performed at the same time in side-by-side assays with identical standards and reagents. 2.6. Biochemical Analysis. Total cholesterol (TC), triglyc- erides (TAG), HDL/LDL cholesterol, glucose, C-reactive protein (CRP), and alanine/aspartate aminotransferases (AST/ALT) were measured using a Biosystem A25 automated analyzer (Applied Biosystems, Grand Island, NY) using BioSys kits and calibrators. Total antioxidant capacity (TAC): frozen serum speci- mens were analyzed within 10 days of collection using Biorex reagents according to the manufacturer's instructions (Biorex Diagnostics, Antrim, UK). Results were expressed as mmol of Trolox equivalent (TE) per liter (mM TE/L). Oxidized LDL and malonic dialdehyde values were mea- sured in serum specimens as previously described in our work [5, 6]. Serum lycopene analysis was performed as recently described [8]. Briefly, 400 𝜇l of serum was mixed with 400 𝜇l of ethanol and was extracted twice with 2 ml hexane. The combined hexane layers were evaporated to dryness in a vacuum (Scan Speed 32 centrifuge) and the residue recon- stituted to a volume of 100 𝜇l in sample solution (absolute ethanol—methylene chloride, 5:1, v/v). The specimens were centrifuged again (15 min at 10,000 g) and clear supernatant was transferred to HPLC vials. Five microliters of the extract was injected into an Acquity HSS T3 75 x 2.1 mm 1.8𝜇m col- umn (Waters, MA, USA) preceded by an Acquity HSS T3 1.8 𝜇m VanGuard precolumn (Waters) and eluted isocratically at 45∘C with the mobile phase (acetonitrile—0.08% phosphoric acid solution—tert-butyl methyl ether, 70:5:25, v/v/v) at a flow rate of 0.5 ml/min. The lycopene peak was detected by a photodiode array detector (Waters) at 474 nm. The peak area was measured using Empower 3 software (Waters). The lycopene concentration in serum samples was calculated by reference to an analytical standard (lycopene from tomato, L9879; Sigma, USA). 2.7. Statistical Analysis. The results are shown as averages with standard deviation. For the assessment of normally distributed parameters, the Shapiro–Wilk method was used. Student's t-test was then applied for both paired and unpaired samples. Between-group differences at one time point were evaluated by the Wilcoxon–Mann–Whitney test (continu- ous variables) and Fisher's exact test (categorical variables). Serum levels of glucose and TAG were analyzed additionally using median values and 5% and 95% confidence intervals with box and whisker plot analysis. The 3-hour area under curve (AUC) was calculated using one-way ANOVA with further analysis using Tukey HSD test. Data analysis was performed using Stata SE (College Station, TX), version 12.1. All statistical tests were two-sided and statistical significance level alpha was set at 0.05 for the analysis. 3. Results 3.1. Baseline Parameters. Table 1 shows the variations of major baseline values in the volunteers enrolled in the study. As can be seen from Table 1, all participants enrolled in the study had normal BMI values and were normoglycemic and normolipidemic under conditions of overnight fast- ing. Moreover, normal serum AST and ALT levels suggest uncompromised liver function. No statistically significant variations were seen in gender representation and other baseline physiological values among the three groups of volunteers enrolled in the study. 3.2. Glucose Concentration. Figure 1 shows the dynamics of changes in serum glucose level after ingestion of control and L-tug dark chocolate. Both DC formulations gave a modest but statistically significant increase (p<0.05) in serum glucose values over the postabsorption period with a maximum peak registered 30 minutes after DC intake. However, the serum glucose levels were noticeably higher following ingestion of the regular formulation of dark chocolate at all-time points studied (Figure 1(a)) which was reflected by a higher mean AUC value as compared to L-tug DC (Figure 1(b)). In particular, ingestion of regular DC gave an increase in average serum glucose concentration by 52.2, 34.0, 23.8, and 17.0 % after 30 minutes or 1, 2, and 3 hours, respectively, of the postingestion period, whereas the corresponding increases in serum glucose after L-tug DC ingestion were distinctly less significant (40.2; 9.1; 2.09; and -3.6% accordingly). This muted glycemic response resulted in lower AUC values (Figure 1(b)) in the L-tug DC group (reduction of average AUC values by 20.0%). Ingestion of lycopene alone in capsule form did not give any measurable changes in serum glucose levels (results not plotted). 3.3. Triglyceride Levels. Regardless of the study group, an increase in average TAG values in serum took place over the course of 1 hour following DC ingestion with no statistically significant differences at the 30-minute time point or at the first hour following ingestion of DC for either group. However, after the second hour and especially after the third hour of the observational period the serum triglyceride level was higher in volunteers ingesting regular DC (p<0.05). This resulted in reduction of TAGAUC shown in Figure 2. The ingestion of L-tug DC was accompanied by a lower median for AUCTAG (390.7 mg∗hr/dl) and a lower range of confidence intervals (5/95%CIs: 394.0/475.1)) as compared to regular formulation of DC (median - 439.5mg∗hr/dl; 5/95% CIs: 363.2/405.7). This difference was statistically significant with a p value of 0.034. The analysis of statistical differences in paired variables (“0” time point versus third hour of the postprandial period) revealed that ingestion of L-tug DC leads to a statistically 4 Advances in Preventive Medicine Table 1: Baseline values of fasting study participants (averages±SD). Parameter Study Groups Regular DC Lycopene L-tug DC Age 49.3±4.1 54.3±3.7 51.6±5.3 Men/Women 4/5 4/4 5/5 BMI 22.3±1.1 21.5±1.4 23.0±1.2 Serum Glucose mg/dl 85.3±5.6 81.3±6.3 79.4±4.9 Serum Triglycerides mg/dl 130.6±7.3 121.4±4.2 129.9±5.3 Total Cholesterol mg/dl 167.5±8.3 174.6±14.5 181.5±12.3 LDL Cholesterol mg/dl 112.8±8.3 127.5±12.5 105.6±10.3 HDL Cholesterol mg/dl 37.2±3.1 41.4±2.9 39.4±3.3 AST IU/ml 34.3±6.3 27.2±7.4 35.9±4.2 ALT IU/ml 44.6±3.5 37.8±6.9 45.6±5.5 CRP mg/l 2.1±0.6 1.7±0.8 2.3±0.4 TAC 1.76±0.09 1.79±0.09 1.74±0.10 Pulse Rate beats/min 74.3±4.22 71.8±3.99 76.5±4.76 Blood Pressure mm Hg Systolic: 108.3±6.2 110.1±4.1 111.7±4.5 Diastolic: 78.3±5.3 75.3±5.8 74.6±4.1 0 h 0.5 h 1 h 2 h 3 h DC L-tug DC 0 20 40 60 80 100 120 140 160 G lu co se (m g/ dl ) (a) Reguar DC L-tug DC p<0.05 0 50 100 150 200 250 300 350 400 G lu co se A U C (m g∗ hr /d l) (b) Figure 1: Changes in serum glucose (a) and area under the curve (AUC, (b)) for serum glucose concentration after ingestion of regular and L-tug dark chocolate (DC). Regular DC L-tug DC p=0.034 300 320 340 360 380 400 420 440 460 480 500 Tr ig ly ce ri de A U C (m g∗ h/ dl ) Figure 2: Changes in area under the curve (AUC) values for serum triglyceride concentration after ingestion of regular and L-tug DC. Advances in Preventive Medicine 5 "0" hour 3rd hour "0" hour 3rd hour p<0.05 p>0.05 Regular DC L-tug DC 150 160 170 180 190 200 210 220 To ta l C ho le st er ol (m g/ dl ) Figure 3: Changes in serum total cholesterol concentration after ingestion of regular and L-tug DC. (“p” reflects the statistical difference between initial and final values). significant reduction in medians reflecting serum TAG con- centration as compared to regular DC. The net increase in the postprandial serum TAG content after ingestion of regular DC was +18.0 mg/dl (5/95% CIs:4.8/31.2) whereas the value for L-tug DC was +5.0 mg/dl (5/95% CIs: 1.4/8.6, p<0.05) suggesting altogether a 2.6-fold difference between the groups. Once again, ingestion of lycopene alone did not result in any significant changes to triglyceride concentration at any of the time points studied (results not plotted). 3.4. Total Cholesterol (TC). Changes in TC concentration developed in a manner similar to the triglyceride dynamics described above. The variations in TC content were statisti- cally insignificant at early time points of the observational period. However, at the third hour of the postprandial period there was a noticeable difference between the groups (Figure 3). There was an increase in TC concentration for the regular DC group in both medians (from 173.5 mg/dl to 193.5 mg/dl) as well as confidence intervals (from 5/95% CIs: 163.1/183.5 to 186.2/206.4, p<0.05). On the other hand, there were no changes in serum TC content for the L-tug DC group at the third hour of the postprandial period (p>0.05). Ingestion of lycopene alone did not result in changes to TC concentrations (results not plotted). 3.5. Serum Lycopene Values. As can be seen from Table 2, ingestion of regular DC did not affect postprandial value of serum lycopene concentration at the end point of the observational period. No immediate effect of ingestion of lycopene alone was seen on serum lycopene level in the 3-hour time window following ingestion either. However, there was a statistically significant increase in serum lycopene concentration (Table 2) in volunteers ingesting L-tug DC at the end of the third hour following intake. Figure 4 provides a better insight into variations of lycopene concentration at the end point of the observational period in the study groups. Serum levels of lycopene were almost equal in the volunteers ingesting either regular DC or lycopene alone (median values of 0.156 and 0.147 𝜇g/ml, respectively). However, ingestion of L-tug DC resulted in much higher values for lycopene concentration at the end of the observational period (median - 0.244𝜇g/ml, 5/95% CIs: 0.164/0.406). 3.6. Serum Total Antioxidant Capacity (TAC). There was a different pattern of changes for TAC parameters at the end point of the observational period. As can be seen from Figure 5, ingestion of regular DC was accompanied by a small postprandial increase in TAC medians-up to 1.96 mM TE/L (5/95% Cis: 1.86/2.02) as compared to time “0” (1.75 mM TE/L, 5/95% Cis:1.66/0.40). Ingestion of lycopene alone did not give any changes in TAC (p>0.05), which is consistent with the unchanged serum lycopene level for this group shown in Table 2. However, the most significant increase in TAC values took place in the serum of volunteers who ingested L-tug DC (2.05 mM TE/L; 5/95% Cis: 1.94/2.14) versus time “0” – median 1.74 mM TE/L (5/95%Cis:1.61/1.86). 3.7. Oxidized LDL (ox-LDL) and Malonic Dialdehyde (MDA). Table 3 shows between group differences in ox-LDL and malonic dialdehyde concentrations at the end of the obser- vational period. As can be seen, volunteers ingesting regular DC or lycopene alone showed no statistically significant difference in ox-LDL or MDA concentration. However, there was a postprandial reduction in average ox-LDL and MDA levels following the ingestion of L-tug DC (by 22.7% and 36.8 %, respectively). 4. Discussion Postprandial increases in serum triglyceride, cholesterol, and glucose levels are a normal physiological response to fat and carbohydrate containing meals which depend on health status, age, composition of meals, and time following intake. Recently these increases have gained particular attention as new discoveries reveal their key significance for human health. Repeated episodes of postprandial hyperglycemia (>140 mg/dl) are associated with a two-fold increase in risk of death from cardiovascular disease in healthy normoglycemic individuals with HB1c<6.1 [9, 10]. Similarly, increased post- prandial TAG responses are now considered as an indepen- dent risk factor for atherosclerosis. An increase of 1 mmol/l in fasting TAG level increases risk of the cardiovascular disease by 14% [11]. As shown, ingestion of L-tug formulation of DC blunts postprandial increases in triglycerides, cholesterol, and serum glucose as compared to control DC without lycopene. The decline in postprandial lipids observed in volunteers ingesting L-tug DC is consistent with our previously reported observation that ingestion of L-tug DC resulted in reduction of the fasting level of these lipids [6]. Incorporation of lycopene, a highly lipophilic compound, into cocoa butter triglycerides enlarges the size of their globular / crystal structures in the chocolate matrix which results in reduction of their digestibility. In addition, lycosome particles are relatively stable in the gastrointestinal environment and are known to penetrate the intestinal epithelium at least partially in native form [12]. Presence of lycopene, a powerful ligand for hepatic carotenoid receptors, in the outer layer of lyco- some particles may promote faster and more efficient clear- ance from the bloodstream via hepatic scavenger receptors and ameliorate thereby postprandial hypertriglyceridemia and hypercholesterolemia. 6 Advances in Preventive Medicine Table 2: Serum lycopene concentration (𝜇g/ml) in volunteers at3rd hour after ingestion L-tug DC (averages±SD). Time Point Study Groups Regular DC Lycopene L-tug DC “0” hour 0.14±0.04 0.13±0.04 0.15±0.03 “3”hour 0.16±0.03 0.15±0.03 0.25±0.07∗ (∗) – p<0.05 Table 3: Serum oxidized LDL (ox-LDL) and malonic dialdehyde (MDA) levels in volunteers 3 hours after ingestion of dc formulations (averages±SD). Study Groups “0” Hour “3rd” hour Ox-LDL (ELISA UNITS x 10−3) Regular DC 631.58±16.21 611.56±14.11 Lycopene 644.65±12.95 669.43±15.33 L-tug DC 674.78±12.32 521.23±18.21∗ MDA (𝜇M) Regular DC 123.67±8.31 141.21±11.21 Lycopene 131.25±9.94 118.25±10.41 L-tug DC 119.25±8.66 75.34±12.33∗ (∗) – p<0.05 Regular DC Lycopene Lycosome DC Study Groups p<0.05 p>0.05 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 Ly co pe ne ( g/ m l) Figure 4: Box-and-whisker analysis. Serum lycopene level after 3 hours following ingestion of L-tug DC (“p” value reflects statistical difference in lycopene concentration among study groups as compared to regular DC group). 3 h0 h3 h0 h3 h0 h Regular DC L-tug DCLycopene Study Groups p<0.05 p>0.05 p<0.05 1.5 1.6 1.7 1.8 1.9 2 2.1 2.2 TA C m M T E/ L Figure 5: Box-and-whisker analysis. Postprandial changes in total antioxidant capacity of serum in volunteers following ingestion of L-tug DC. “p” values reflect intragroup differences between initial and final values. Advances in Preventive Medicine 7 Serum lycopene changes observed in our study and possible relation to postprandial responses require careful consideration. Lycopene is highly hydrophobic and poorly absorbed from the gastrointestinal lumen [13, 14]. Even long- term consumption of lycopene-containing foodstuffs and / or lycopene supplements may not lead to significant increase in serum concentration, especially in elderly individuals [14]. Thus, the unchanged lycopene levels seen in volunteers ingesting lycopene alone correlate well with reports reveal- ing low bioavailability of lycopene [13–15]. Coingestion of lycopene with fat-containing products promotes its intestinal absorption [16], explaining the increase in lycopene level with L-tug DC. A combination of two possible mechanisms, reduction in digestibility of cocoa butter, and formation of lycosome structures, which provide increased bioavailability for both lycopene and cocoa bioactives [17], seems the most likely explanation for the beneficial effects of L-tug DC. It was surprising and encouraging to observe a reduction in postprandial hyperglycemia following ingestion of L-tug DC. There is no well-documented link between dietary lycopene and frequency of type 2 diabetes mellitus [18]. How- ever, recent results show that lycopene may increase insulin sensitivity and prevent hyperglycemia through inhibition of the STAT-3/SREBP-1c pathway [19]. Moreover, cocoa fla- vanols seem to affect glucose turnover, reportedly enhancing insulin secretion and sensitivity reducing thereby glucose lev- els [20]. Therefore, potentiated effect of lycopene and cocoa polyphenols on glucose hemostasis may reduce postprandial hyperglycemia as observed with L-tug DC. This is in good agreement with changes in total antioxidant capacity (TAC), which mirrored increase in serum lycopene concentration. As shown above, ingestion of regular DC and especially L- tug DC gives statistically significant postprandial increases in TAC values accompanied in the last group of the study by reduction in postprandial concentration of ox-LDL and malonic dialdehyde. This reveals that postprandial increase in serum lycopene content following the ingestion of L-tug DC is essential for amelioration of oxidative stress markers even in healthy individuals. Elucidation of a potential link between serum antioxidant levels, postprandial hyperglycemia, and markers of oxidative stress requires further thorough inves- tigation. Our study has some limitations: ingestion of 100g of DC is not a recommendable dietary option and was only used for testing purposes. Future studies should verify if smaller amounts of DC with higher amounts of lycopene would help maintain glucose and TAG levels, especially in subjects with metabolic syndrome and type 2 diabetes patients. A higher number of volunteers would obviously be required for further evaluation. Data Availability The supporting results will be displayed on the publicly avail- able website Lycotec.com. Moreover, the data that support the findings of this study are available from the corresponding author, Dr. Ivan M Petyaev, upon reasonable request. Conflicts of Interest The authors declare no conflicts of interest involved. Acknowledgments The study was funded by equal contributions of Lycotec Ltd. (Cambridge, United Kingdom) and Institute of Cardiology (Saratov State Medical University, Saratov, Russia). References [1] I. M. Petyaev and Y. K. Bashmakov, “Dark chocolate: oppor- tunity for an alliance between medical science and the food industry?” Frontiers in Nutrition, vol. 4, no. 43, 2017. [2] S. R. Shah, R. Alweis, N. I. Najim et al., “Use of dark chocolate for diabetic patients: a review of the literature and current evidence,” Journal of Community Hospital Internal Medicine Perspectives (JCHIMP), vol. 7, no. 4, pp. 218–221, 2017. [3] T. Magrone, M. A. Russo, and E. Jirillo, “Cocoa and dark chocolate polyphenols: from biology to clinical applications,” Frontiers in Immunology, vol. 8, p. 677, 2017. [4] A. G. Murillo and M. L. Fernandez, “The relevance of dietary polyphenols in cardiovascular protection,” Current Pharmaceu- tical Design, vol. 23, no. 17, pp. 2444–2452, 2017. [5] I. M. Petyaev, V. A. Klochkov, N. E. Chalyk et al., “Markers of hypoxia and oxidative stress in aging volunteers ingesting lyco- somal formulation of dark chocolate containing astaxanthin,” �e Journal of Nutrition, Health and Aging, vol. 22, no. 9, pp. 1092–1098, 2018. [6] I. M. Petyaev, P. Y. Dovgalevsky, N. E. Chalyk, V. Klochkov, and N. H. Kyle, “Reduction in blood pressure and serum lipids by lycosome formulation of dark chocolate and lycopene in prehypertension,” Food Science & Nutrition, vol. 2, no. 6, pp. 744–750, 2014. [7] I. M. Petyaev, V. A. Klochkov, N. E. Chalyk et al., “Markers of hypoxia and oxidative stress in aging volunteers ingesting lyco- somal formulation of dark chocolate containing astaxanthin,” �e Journal of Nutrition, Health & Aging, vol. 22, no. 9, pp. 1092– 1098, 2018. [8] I. M. Petyaev, N. A. Zigangirova, D. Pristensky et al., “Non- invasive immunofluorescence assessment of lycopene supple- mentation status in skin smears,” Monoclonal Antibodies in Immunodiagnosis and Immunotherapy, vol. 37, no. 3, pp. 139– 146, 2018. [9] J. E. Gerich, “Clinical significance, pathogenesis, and man- agement of postprandial hyperglycemia,” Archives of Internal Medicine, vol. 163, no. 11, pp. 1306–1316, 2003. [10] A. Ceriello and S. Genovese, “Atherogenicity of postprandial hyperglycemia and lipotoxicity,” Reviews in Endocrine and Metabolic Disorders, vol. 17, no. 1, pp. 111–116, 2016. [11] K. Tiihonen, N. Rautonen, E. Alhoniemi, M. Ahotupa, J. Stowell, and T. Vasankari, “Postprandial triglyceride response in normolipidemic, hyperlipidemic and obese subjects – the influ- ence of polydextrose, a non-digestible carbohydrate,” Nutrition Journal, vol. 14, p. 23, 2015. [12] I. M. Petyaev, “Lycosome technology: advances and perspec- tives,” American Journal of Food Science and Nutrition, vol. 3, no. 1, pp. 18–23, 2016. [13] R. E. Kopec, B. Gleize, P. Borel, C. Desmarchelier, and C. Caris- Veyrat, “Are lutein, lycopene, and 𝛽-carotene lost through the 8 Advances in Preventive Medicine digestive process?” Food & Function, vol. 8, no. 4, pp. 1494–1503, 2017. [14] I. M. Petyaev, “Lycopene deficiency in ageing and cardiovas- cular disease,” Oxidative Medicine and Cellular Longevity, vol. 2016, Article ID 3218605, 6 pages, 2016. [15] R. K. Saini, S. H. Nile, and S. W. Park, “Carotenoids from fruits and vegetables: Chemistry, analysis occurrence, bioavailability and biological activities,” Food Research International, vol. 76 (Pt 3), pp. 735–750, 2015. [16] L. Mutsokoti, A. Panozzo, A. Pallares Pallares et al., “Carotenoid bioaccessibility and the relation to lipid digestion: a kinetic study,” Food Chemistry, vol. 232, pp. 124–134, 2017. [17] I. M. Petyaev, D. Pristenskiy, T. Bandaletova et al., “Lycosome formulation of dark chocolate increases absorption cocoa cat- echins and augments their anti-inflammatory and antioxidant properties,” American Journal of Food Science and Nutrition, vol. 3, no. 3, pp. 37–44, 2016. [18] M. A. Valero, A. Vidal, R. Burgos et al., “Meta-analysis on the role of lycopene in type 2 diabetes mellitus,” Nutricion Hospitalaria, vol. 26, no. 6, pp. 1236–1241, 2011. [19] Z. Zeng, W. He, Z. Jia, and S. Hao, “Lycopene improves insulin sensitivity through inhibition of STAT3/Srebp-1c-mediated lipid Accumulation and inflammation in mice fed a high-fat diet,” Experimental and Clinical Endocrinology & Diabetes, vol. 125, no. 9, pp. 610–617, 2017. [20] M. Á. Martin, L. Goya, and S. Ramos, “Antidiabetic actions of cocoa flavanols,” Molecular Nutrition & Food Research, vol. 60, no. 8, pp. 1756–1769, 2016. 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work_4zn3w52fgbahzbxgijrwkfkxem	----	12 | P a g e HOAX LANGUAGE RHETORIC AND HATE SPEECH AS A PRINCIPLE REPRESENTATION OF DEMOCRATIC RIGHTS Author: Max Allan, Tony Williams, Shapier Moonches Published: Journal of Media Information and Science (2020) Vol. 22, Issue. 2 (pp. 12-22) Abstract: On the Internet, when you search for deceptive rhetoric or rhetoric hoax, you'll get more than two million hits for either one. That volume of hits is an echo of what we've heard all our lives---that Rhetoric is associated with deception and trickery, even though the college experts try to reassure us that the discipline of Rhetoric is really neutral. Fact is, though, most of what the public knows about Rhetoric is a hoax, especially as regards the origins, the history, and the confusion over Rhetoric in academic circles. Keyword: Hoax, Hate Speech, Democracy, Language, Pop Culture, Introduction The Origins of Rhetoric Most people, even school teachers, think the history of Rhetoric began in Greece with Aristotle but it didn't. In 427 A.D., sixty-year-old Gorgias, a sophist from the Greek colony of Leontini, in Sicily, brought Rhetoric to Athens. He settled in Athens and popularized rhetoric by offering public demonstrations of his skill in public speaking, which was his way of marketing his trade to anyone who wanted to learn to speak as he did. One of his most apt students, Isocrates, learned the trade and became "the most influential teacher of rhetoric in Aristotle's time" (On Rhetoric, Kennedy, George A., New York: Oxford University Press, 2006, p. 13). Why wasn't Aristotle "the most influential teacher of rhetoric" in his own time? Because he had his own personal brand of Rhetoric, and he taught it only to students in his small, private school in Athens, called the Lyceum. And his Rhetoric, really more of a collection of notes gathered over the years than anything else, was not 13 | P a g e published in his lifetime (384-322 B.C.) and was basically unknown outside his small, private school. In fact, not only was Aristotle's Rhetoric unknown in his own time, it was largely unknown and untaught throughout the ages. According to George A. Kennedy---a universally praised scholar of ancient Greek culture and a highly esteemed translator of Aristotle's Rhetoric---Aristotle's Rhetoric was "obsolete as a school text" throughout most of history (On Rhetoric, p. 308). Discussion The History of Rhetoric Aristotle's Rhetoric became obsolete because, first of all, it was lost in Asia Minor for about 200 years after his death in 322 B.C. out of circulation, out of usage, out of sight, out of mind. During that time, probably because it had no real competition, the Rhetoric of Isocrates flourished and became established as the major well-spring for progress in the art of Rhetoric. Also during that lost time, three very popular major features were added to Isocrates's Rhetoric that were never developed in Aristotle's version: · stasis (contributed to Rhetoric by Hermagoras of Temnos around 150 B.C.; a systematic series of questions used to develop the central issue in court cases) · tropes (one of two major divisions in figures of speech, see below; using words in a way that their normal meaning is replaced with something else, such as, "today the White House issued a statement"---as we know, the White House building did not issue the statement; irony is another example, such as when a sarcastic students says, "Yeah, I just loooove grammar") · figures of speech (the Stoic philosophers of Athens added these to Rhetoric somewhere between 250 and 100 B.C.; figures of speech are divided into two main categories: schemes and tropes; schemes change the ordinary or expected pattern of words, 14 | P a g e such as, "My voice teacher, a real looker," which uses the scheme of apposition or renaming; and tropes change the general meaning of words, as discussed in the entry just above). Scholars throughout history considered these three Rhetorical features as extremely important and studied and discussed them extensively. So they paid little attention to Aristotle's Rhetoric, which did not have them, after it was found and 'published' around 80 B.C. Then, around 190 A.D., Alexander of Aphrodesias published a commentary on Aristotle's Rhetoric, and scholarly interest revived a bit. However, throughout the Middle Ages and the Renaissance, the principal texts on Rhetoric were not Aristotle's, but two books that were based largely on the Rhetoric of Isocrates and its accompanying three supplementary features discussed above. These two books were Rhetorica ad Herrenium (Rhetoric for Herrenium), of unknown authorship, and De Inventione (On Invention), written by Cicero (106-43 B.C.), the great Roman philosopher, politician, and rhetorician. The modern academic and philosophic interest in Aristotle's approach to Rhetoric is often traced to the publication of philosopher Kenneth Burke's book, A Rhetoric of Motives, which was published in 1950. Since then, many other books have investigated and expounded upon Aristotle's Rhetoric, and more people today are reading and studying it than did so in all the rest of history combined. So the public perception that Aristotle's Rhetoric is the Rhetoric that was handed down and taught widely in schools throughout the ages is quite wrong. This hoax has been perpetuated by well-meaning but poorly educated textbook writers. The Confusion Over Rhetoric in Academic Circles Now, wouldn't you think that the actual bedrock principles of Rhetoric, the fundamental principles, would be pretty well-known and established after 2,500 years? And you would also think that an encyclopedia dedicated to collecting and explaining all the important parts, patterns, processes, purposes, and perspectives of Rhetoric would clearly identify and discuss them, right? Well, take a look at what the Preface says in the Encyclopedia of Rhetoric (New York: Oxford Press, 2001): 15 | P a g e [this is] our effort to abstract rhetoric as far as we could... and to endeavor to search for its principles. "Search for its principles"? Immediately following that eye-opener is this: We recognize the paradox, in view of what we take rhetoric to be. It is nearly impossible either to abstract a temporal cause from its effects or to look anew at a subject anchored in but not confined to an ancient tradition. But the attempt to do so, we believe, sets this work apart from other recent publications such as the Encyclopedia of Rhetoric and Composition.... [my bolding] I'm not even going to attempt to work out the "paradox" reasoning. But I wonder: Am I reading too much into this? Is Rhetoric as hard to define, is it as unstable and as unclear in what its old principles are and in what its new principles are, as this encyclopedia makes out? Let's try another encyclopedia dedicated to Rhetoric---there's only one other. Looking at the Preface to the Encyclopedia of Rhetoric and Composition (New York: Garland, 1996), we find: ... [this encyclopedia] provides an introduction to rhetoric, including the major periods and personages, concepts and applications. Rhetoric... is becoming ever more difficult to locate in a conceptual framework... many theorists are reconceptualizing rhetoric in its own terms. [my bolding] This encyclopedia of rhetoric "provides an introduction to Rhetoric"? Only an introduction? It doesn't go beyond identifying the very basic parts, pieces, and patterns of Rhetoric? Plainly, this encyclopedia is not claiming to be thorough and comprehensive, claiming that it covers only the basics, "an introduction." After 2,500 years of discussions and arguments about what Rhetoric is and what it is not, surely there should be more than just "an introduction" to Rhetoric in an encyclopedia dedicated to it! Is a more comprehensive version, which goes beyond this "introduction," in the works or being planned? No mention of that. Furthermore, "Rhetoric... is becoming ever more difficult to locate in a conceptual framework...." What?!!! There's that "paradox" sort of difficulty, again, as confessed by the first encyclopedia we discussed. Maybe it would have been helpful to explain what "conceptual framework" means. Perhaps it has something to do with identifying an overall pattern that organizes all the concepts of Rhetoric---"ever more difficult to locate," even now? 16 | P a g e The fact that "many theorists are reconceptualizing Rhetoric "in its own terms" clearly implies that theorists have not been conceptualizing Rhetoric in its own terms, for some reason. Why might that be? Let me take a shot at it---Perhaps it is because Rhetoric has so very many disorganized parts and pieces, without a clear hierarchical pattern of connections, that it's literally impossible to pin it all down into an organized pattern. In short, "rhetoric can mean nearly anything" (Professor George Pullman of Georgia State University; conference, What is the New Rhetoric? in Sydney, Australia, 2005) that an 'expert' wants it to be and says it is. Given what I've shown, here, that seems a decent interpretation of what was said in the prefaces to those two encyclopedias. So Rhetoric is definitely fair game for being compared to the saying, "You can't see the forest for the trees." Rhetoric has so many hundreds of devices and isolated concepts ("trees"), yet it has no clear, overriding principle ("forest") to hold them all together in a plainly recognizable pattern. Way back in 1663, the poet and satirist Samuel Butler said what many had said for centuries in more general ways and captured the spirit of this perennial confusion and uncertainty about Rhetoric with his famous, oft-quoted criticism: For all a rhetorician's rules teach nothing but to name his tools. Cute little saying, but Samuel Butler was serious. And so was Herbert Spencer (a very influential English philosopher of the Nineteenth Century, in Europe and America, in both literature and Rhetoric) when he said in his 1852 essay, "The Philosophy of Style," The maxims contained in works on composition and rhetoric are presented in an unorganized form. Standing as isolated dogmas---as empirical generalizations, they are neither so clearly apprehended, nor so much respected, as they would be were they deduced from some simple first principle. My take on what Spencer was saying is this: The many rules for writing and public speaking are not organized. If they were organized under a single, simple, powerfully unifying principle, then the rules of composition and rhetoric could be clearly understood, taught, and learned. 17 | P a g e A much more modern Rhetoric authority, the late Professor Wayne C. Booth of the University of Chicago, plainly agreed but went a little further than Spencer when he said, Where is the theory, where are the practical rules for ensuring that this talk will not only grab you, as the Madison Avenue rhetoricians say, but keep you grabbed and send you away determined to behave differently? (The Essential Wayne Booth, Wayne C. Booth & Walter Jost, University of Chicago Press: 2007, p. 69) Booth's point was that modern writing texts don't provide a comprehensive theory or practical rules for writing or speaking to a specific audience (neither did Aristotle's), and that Aristotle's Rhetoric couldn't fulfill our modern needs for "a rhetoric of the symposium, of the conference room," or of other modern situations that were not even imaginable in ancient Greece. Furthermore, there's been a whole host of Rhetoric authorities over the last one hundred and fifty years who have been simply clamoring for a "New Rhetoric"---because, like Booth, Spencer, and Butler, they see that Rhetoric simply can't handle the diversity, depth, breadth, and uniqueness of modern times. These authorities include a number of academic heavyweights: I. A. Richards, Kenneth Burke, Wayne C. Booth, W. R. Winterowd, Francis Christensen, James L. Kinneavy, E. D. Hirsch Jr., Andrea Lunsford, Lisa Ede, Richard Lanham, Reed Way Dasenbrock, C. H. Knoblauch, and Lil Brannon. So confusion reigns among modern encyclopedias dedicated to Rhetoric, and academic authorities have been complaining about the failings of Rhetoric for hundreds, if not thousands, of years. And they are all clamoring for something new-------because the old Rhetoric just isn't good enough anymore. The Hate Speech Manifesto The Western societies we live in today are socially, ethnically, and culturally diverse. Like most people, I believe the only way such a society can maintain its diverse nature is by being more tolerant and inclusive in regards to people from different backgrounds, cultures and also free speech and freedom of expression. In fact, the legal system protects the fundamental rights of each individual and also against any kind of hateful content that causes harm to us. 18 | P a g e Keeping these assertions in consideration, the willful dissemination of hatred - of what today's issues going on in the world definitely fall under - is untenable under our current understanding of hate speech and what is considered unjust. My central argument is not focused on censoring public discussion but on censoring hate and offering equal respect and avenues for all marginalized, stigmatized, and oppressed groups and what is best for our society. Thus, open hateful content not only causes dissemination of hate but the destruction of an inclusive society. There is no doubt that freedom of expression is the foundation of democracy. In fact, an individual's imagination and ability to express ideas and opinions makes us come closer to the truth and ensure a democratic society. However, certain limits need to be placed because with freedom of expression comes responsibility. Generally, hate speech is destructive not because of it being offensive, but because it silences the members of the minority group. For instance, when all Muslims are generalized as "terrorists," they feel damaged and threatened because they no longer feel a sense of belonging and part of a public debate. Another example is of how there are stereotypes attached to Black people being "criminals" or Indigenous women being a victim of rape, sexual abuse, and violence because according to our so-called "hero" Christopher Columbus, " they are barbaric or inhumane." This kind of hate speech convinces not only members of the larger community on how to view the target group but how the target group should view themselves. Therefore, the concern is not how such hateful content and speech on the Media or elsewhere harms an individual, but how the entire community and society is affected with a climate and aura of pure hatred. The logic and understanding behind hate speech and hatred content being problematic is that having the right to insult or offend certain religious beliefs and certain cultures inhibits the right to practice religion, inhibits the right to "blend in" a multicultural society, and inhibits the opportunity to create an inclusive society. If we can consider free speech and freedom of expression as core fundamental rights, shouldn't we consider freedom of religion, conscience, and thought as fundamental rights too? To ensure a democratic society? For a brief moment, let us assume that freedom of speech includes the right to offend. Yet, we should wonder if our 19 | P a g e compliance to celebrate "the right to offend" also extends to us reaching out in compassion to those who are offended or marginalized. Although it may not seem offensive to an outsider, they still give rise to understandable fear and insecurity. Hate speech and content against a particular group of people or race gives rise to consequences such as retaliation and violence. A thought-provoking point, therefore, is that the freedom to offend is not applied equally, but targets again and again communities that are already ostracized. It is important to understand that when we talk about fairness and equality, we should keep in mind that with fairness comes the idea of being sensitive to other people's differences. These differences play an essential role in shaping an individual's identity. Differences include culture, language, and religion. When it comes to free speech, equality, and expression, majority and the ones in power have the privilege to practice it. I believe that free speech should also be used as a tool by the minorities to shed light on injustice and that equality is the right way for them to augment their freedom and privilege they deserve. However, the notion of free speech and freedom of expression is violated when it comes to a certain group of people. This double-standard nature of freedom of expression and speech is visible when controversies and global issues arise. When we talk about the concept of co-existence we should inherit and meet halfway when a conflict is seen arising, not add fuel to the fire that already burns bright. We should not forget the purpose: which is focused on what is best for our society. By applying the difference approach (which is accepting and respecting people's culture, religion, and other differences), we are helping to understand why a particular practice or value is essential to a group's identity. Instead of asking the question of whether or not a particular group of people or individual has a right to practice a particular right or not and whether or not those practices violates a right or not, the difference approach weighs the history and scrutinizes the significance of a particular tradition or cultural/religious practice. It is important for the public to keep their biases and cultural misinterpretations aside about a particular group or race and expose problems by focusing their attention on how to understand, interpret, and assess identity-related claims. The main concern should be about 20 | P a g e fairness, justice, and equality - which each and every single individual/group is entitled to (freedom of speech, freedom of expression, and freedom of religion, conscience, and thought). Conclusion Add to all that, the 2002 report from the National Education Association that only one in five high school seniors can write well enough to do college work. No wonder the National Commission on Writing (NCW) declared in 2003 that there's a crisis in teaching writing in America! But what did the NCW recommend? The NCW practically demanded more time, more people, and more money be poured into the same old, ineffective writing instruction, without any basic changes to the fundamental principles that determine how writing is taught! (And, of course, what is taught in writing textbooks and writing classes across America is all based on Rhetoric. Rhetoricians are proud to point this out, by the way.) They want to spend a whole lot more money, time, and people on the same old thing that isn't working? As they say on Sesame Street, "What's wrong with this picture?" One last very telling point---Is there a final test that would either prove or disqualify Rhetoric as the basis for teaching writing? Yes, there is. It's called the What if test, and here it is: What if an essay or some other written work has all the pertinent forms of Rhetoric used perfectly in it? And what if it isn't new to the readers? If the reading audience DOES already know the ideas and is familiar with the presentation, then what's the point of that writing? Without being new, it has no audience. At the very least, it will be oppressively boring to readers. If it's a book intended for public distribution, it won't see the light of publishing day--- people don't put out good money for old news, and publishers know that very well. Ditto for poetry, short stories, essays, and especially journalistic articles, opinions, and editorials. 21 | P a g e And the Rhetoric of Isocrates, the Rhetoric of Aristotle, the Rhetoric of Cicero, the Rhetoric of Quintilian, the Rhetorica ad Herennium, James L. Kinneavy's Theory of Discourse--- not one of them develops a step-by-step process for generating the astonishingly simple but amazing ignored concept of What's new to the reader We don't need a New Rhetoric. We need a Rhetoric of Newness. In conclusion, I believe that the values of free speech and freedom of expression are misunderstood. They are regarded as intrinsic and instrumental in nature because of our individualistic understanding of them as opposed to a collective understanding. By adapting to the difference approach and also the idea of social consensus, we will be enhancing an inclusive environment. By including the people who are the subject of the debate (whether they are Muslims, Non-Muslims, Jews, Christians, etc) we aim for respectful tackling of controversy - an approach in which we do not make enemies. Therefore, it is important to note that public discourse is not just about what is fair and what is true, it is also helps us develop our preferences and choices. These preferences are not prosaic and dominant in nature but dependent on public debate which is inclusive of all majority and minority. As a result, we should be able to observe how hate, in its pure form, does nothing but disintegrate the vulnerable member's of the society's dignity and does not serve to further the ambitions of freedom of expression and speech. References Aldyan, R. A., Warto, W., & Marimin, M. (2019). " Ngalab Berkah" on the Tradition to Open Luwur the Sunan Kudus Tomb. International Journal of Multicultural and Multireligious Understanding, 6(4), 156-165. Alisa, F., & Ridho, Z. (2020). Sustainable Cultural Tourism Development: A Strategic For Revenue Generation in Local Communities. Journal of Economic and Tropical Life Science , 4(2). https://doi.org/10.21428/e61c265e.f512dbd8 Brown, A., & Sinclair, A. (2019). The politics of hate speech laws. Routledge. Bossaller, J., Bernier, A., McQueen, S., & Peterson, M. (2019). The hoax and the president: Historical perspectives on politics, truth, and academia. Political economy of the information society. https://doi.org/10.21428/e61c265e.f512dbd8 22 | P a g e Carr, P. R., Sanchez, S. L. C., & Daros, M. A. (2020). Citizen Engagement in the Contemporary Era of Fake News: Hegemonic Distraction or Control of the Social Media Context?. Postdigital Science and Education, 2(1), 39-60. Crane, J., Barthow, C., Kang, J., Hood, F., Stanley, T., & Wickens, K. (2019). Probiotics for humans: hoax, hype, hope, or help. Journal of the Royal Society of New Zealand, 1-14. Denton Jr, R. E., Trent, J. S., & Friedenberg, R. V. (2019). Political campaign communication: Principles and practices. Rowman & Littlefield. Diepeveen, L. (2019). Modernist Fraud: Hoax, Parody, Deception. Oxford University Press. Dewi, E. W., Drajati, N. A., & Yunus, M. M. (2019). Exploring Intonations in Sesame Street’s Puppet Shows: A Phonological Perspective. Issues in Language Studies, 8(2), 32-47. Farkas, J., & Schou, J. (2019). Post-truth, Fake News and Democracy: Mapping the Politics of Falsehood. Routledge. Fish, S. (2019). The First: How to Think About Hate Speech, Campus Speech, Religious Speech, Fake News, Post-Truth, and Donald Trump. Simon and Schuster. Habibi, H. (2018). Protecting National Identity Based On The Value Of Nation Local Wisdom. International Journal of Malay-Nusantara Studies, 1(2), 24-40. Heinze, E. (2019). An Anti-Liberal Defense of Free Speech: Foundations of Democracy in the Western Philosophical Canon. Howell, A. R. (2019). Politics, Memes, and Culture Jamming: Meme Culture’s Potential to Engage Youth in Politics. Littlewood, K. (2019). The Big Estrogen Hoax. Endocrinology. Maerz, S. F. (2019). Simulating pluralism: the language of democracy in hegemonic authoritarianism. Political Research Exchange, 1(1), 1605834. McManus, M. (2020). Post-modernism as Philosophy and Post-modernism as Culture. In The Rise of Post-Modern Conservatism (pp. 19-44). Palgrave Macmillan, Cham. Nusbaum, H. C. (2019). The Breakdown of Civic Virtues and the Problem of Hate Speech: Is There Wisdom in Freedom of Speech?. In Applying Wisdom to Contemporary World Problems (pp. 111-142). Palgrave Macmillan, Cham. Poole, A. (2019). Democracy, Rights and Rhetoric in Southeast Asia. Springer. Sellnow, T. L., Parrish, A., & Semenas, L. (2019). From Hoax as Crisis to Crisis as Hoax: Fake News and Information Disorder as Disruptions to the Discourse of Renewal. Journal of International Crisis and Risk Communication Research, 2(1), 6. Stengrim, L. A., & Knight, G. B. (2019). Rhetorics of Resistance in a World of Fake News. Alternative Media Meets Mainstream Politics: Activist Nation Rising, 199. Sparke, M., & Bessner, D. (2019). Reaction, Resilience, and the Trumpist Behemoth: Environmental Risk Management from “Hoax” to Technique of Domination. Annals of the American Association of Geographers, 109(2), 533-544. 
work_57vzqqf6ujgthk2bpwleymetby	----	Iperstoria – Testi Letterature Linguaggi www.iperstoria.it Rivista semestrale ISSN 2281-4582 Saggi/Essays Issue 6 – Fall 2015 299 Stefano Bosco 1 MARITIME RESERVATIONS: HARBORING INDIGENOUS AMERICA IN GERALD VIZENOR’S THE HEIRS OF COLUMBUS 2 Written and published in concomitance with the 500 th anniversary of Columbus’ arrival in America, The Heirs of Columbus is a prime example of Vizenor’s ability to reinvent history using humor and imagination. For those not very much familiar with him and his works, a few introductory notes may help. Of mixed Swedish- American and Ojibway/Anishinaabe ancestry, Vizenor is one of the major figures in contemporary Native American literature and intellectual life: novelist, poet, essayist, university professor, he is also an enrolled member of the Minnesota Chippewa Tribe on the White Earth Reservation. He is probably the writer that has most actively engaged the language and politics of postmodernism to put it at the service of indigenous people’s cultural expression, starting with his first novel Darkness in St Louis Bearheart (1978). He is the inventor of neologisms and concepts that have become common currency in Native American Studies, such as for example the idea of survivance (a sort of proactive, anti-victimizing approach to survival) or the notion of postindian (which he adopted to contrast the simulation and falsification embodied by the signifier Indian, seen as a heritage of the colonial domination of indigenous America). Rejecting a static and fixed notion of Indian identity, he has elaborated a cross-blood (mixed-blood) aesthetics based on the liberating potential of trickster discourse—the trickster being the destabilizing and shapeshifting half-human, half-animal figure so crucial in Native American and particularly Ojibway mythology and folklore. All of these aspects have a part in The Heirs of Columbus, and my exploration of the harbor theme cannot do without a consideration of the larger implications of this novel for the development of contemporary Native American literature. A first element to highlight is the work’s intertextual dimension: the novel is full of references to real and imaginary texts belonging not only to the Euro-American tradition (think of the numerous quotes from Columbus’ logbooks) but also to the Native American (Anishinaabe in particular) oral and written traditions—which can be seen for instance in the choice of character names that sometimes recall those of Native and non-Native fictional or real-life figures. As James Cox pointed out, such contextualization of the novel within the American Indian cultural tradition “helps liberate characters, and Vizenor’s readers, from non-Native traditions that present a single colonial plot of Eurowestern superiority and inevitable violence and conquest” (125). Overall, Heirs is a satirical re-writing of the Columbian master narrative that counters the historical concept of discovery and the consequent subjugation of indigenous people, by transforming it into a return to indigenous sources of knowledge and existence, inspired by the healing power of stories and aimed at a continuation of Indian sovereignty on the American continent. 3 Columbus is imagined by Vizenor as a man of mixed Mayan and Jewish ancestry; such genealogy weaves together the historical (though unfounded) belief that American Indians descended from the lost tribes of Israel with the imaginary notion that the Mayans had actually travelled to Europe long before the time when Europeans encountered their civilization in central America (right in the wake of Columbus’ arrival in the 1 Stefano Bosco (stefano.bosco@univr.it) received his MA at the University of Padua and is now completing a PhD in American Studies at the University of Verona. His dissertation project focuses on Native American literature and in particular on early-20th-century fiction by native authors. Among his other research interests are 19th-century classic American literature, the memory of slavery in literature and film, American cinema and its distinctive genres, literary and film theory and criticism. He has published essays and reviews both in English and in Italian on topics such as Native American literature, the American Western, 19th-century American authors. 2 This piece constitutes a slightly longer version of a talk I gave at the latest AISNA Biennial Conference, which took place in Naples, 24-26 September 2015. The theme of the conference revolved around the idea of ‘harbor’ with its various declinations and connections (e.g. the issue of immigration) across the various fields of American Studies—including primarily literature, history, and visual culture. 3 Taiwanese scholar Iping Liang has provided an interesting analysis of the novel by discussing Vizenor’s technique of “oppositional play,” which articulates a tribal-centered “discourse of encounter in the comic and communal sign of the trickster figure of Admiral Columbus” (124), as a form of tribal resistance against the tragic consequences of the real history of encounter. Iperstoria – Testi Letterature Linguaggi www.iperstoria.it Rivista semestrale ISSN 2281-4582 Saggi/Essays Issue 6 – Fall 2015 300 continent). Columbus’ voyage is thus reconfigured as a return to a homeland distant in time more than in space. The historical motivations behind the expedition are here replaced by Columbus’ hearing of stories carried “in the blood” which inexorably attract him to a world that is actually older than Europe and contributed to establish its supposedly superior ‘civilization.’ According to Vizenor’s narrative, upon his arrival in the Bahamas islands, Columbus meets and copulates with Samana, a shaman figure alternatively described as a “hand talker,” a “silent tribal wanderer,” a “golden healer,” and a “cross-blood black bear” (4, 10, 12): from that “primal union” (20), the heirs of Columbus start spreading across the New World, and Samana continues to re-appear among the heirs to heal with the stories and with a blue radiance as she first did with the great explorer. Of course, the heirs of the title are the present-day (1990s) descendants of Columbus and Samana; they constitute a sort of enlarged, bizarre family, where the confines between animal and human, natural and supernatural, are often unclear, in line with Vizenor’s trickster universe. At the beginning of the novel, they reside at the headwaters of the Mississippi, along the shores of Lake of the Woods in the Northwest Angle exclave between the United States and Canada; here, they have anchored a pleasure barge named after Columbus’ main caravel, The Santa María Casino, where they play bingo and other games of chance that guarantee them economic prosperity and constitute the economical basis of their sovereigntist claims. Right beside the Santa María there’s also the Niña, a barge-restaurant, and the Pinta, a tax-free market. Through this ironical re-imagining of the famous Columbus’ caravels, Vizenor re-appropriates “a master symbol of Euroamerican history” (Owens 101) from a Native American perspective, and transforms the epic of European discovery into an affirmation of Indian sovereignty in the contemporary scene. To do so, Vizenor has to engage with the authority of legal discourse that has characterized the relations between the US government and Indian tribes for centuries, and that has almost always relegated indigenous people into a subordinate position as subjects incapable of ruling themselves. At the beginning of the novel, for example, we are told that Stone Columbus, the oldest of the heirs and host of the bingo barge, had been arrested for violating state tax and gambling laws, but was subsequently released when a sympathetic federal judge ruled that “the Santa Maria and the other caravels are limited sovereign states at sea, the first maritime reservations in international waters” (7-8). Court hearings like this occupy center stage throughout the novel, especially when the heirs set out to repatriate the remains of Christopher Columbus and Pocahontas back to the newly-established Indian nation, and encounter the resistance of white museum directors and other obscure forces—a point I will briefly refer to later on. It is clear that the water element is not inconsequential to Vizenor’s elaboration of the harbor-as-sovereign- reservation metaphor. As the same judge who ruled in favor of Stone Columbus proclaims, “the notion of tribal sovereignty is not confiscable, or earth bound; it is neither fence nor feathers. The essence of sovereignty is imaginative, an original tribal trope, communal and spiritual, an idea that is more than metes and bounds in treaties” (7). 4 This quote articulates in highly imaginative terms what is Vizenor’s creed regarding the highly debated idea of Indian sovereignty: not a fixed, static reality that can be appropriated and usurped, and even less something that can be appraised or measured according to a western-centered anthropological or legalistic discourse, but something that, water-like, continually flows through the spirit and body of the community without being easily separated or isolated from it, and that is continually nurtured by the power of the imagination. In particular, imagination is what allows Native people (and human beings in general) to think differently of history and its traumatic events, and to produce alternative scenarios that reject the imposed narratives of European conquest and white superiority, in order to better sustain native communities in their dealing with past, present, and future challenges. This is exactly the kind of operation Vizenor pursues through The Heirs of Columbus, i.e. a liberating narrative that runs counter to the official histories of Euroamerican discovery and possession of indigenous land (and sea), and that at the same time, by means of scathing humor and satire, may heal indigenous people from the malady generated by a century-long colonial oppression. As Kathryn Hume has argued, “another function of the imagination is to guard us against a fatal attraction of terminal creeds” (131), an expression that Vizenor coined to describe, 4 In another passage of the novel, a character proclaims that “the notion of sovereignty is not tied to the earth, sovereignty is neither fence nor feathers,” and that “the very essence of sovereignty is a communal laser” (62). Iperstoria – Testi Letterature Linguaggi www.iperstoria.it Rivista semestrale ISSN 2281-4582 Saggi/Essays Issue 6 – Fall 2015 301 using James Cox’s terms, “the systems of belief that oppress the human imagination and justify the many manifestations of colonial violence” (137). I would argue that it is precisely the peculiar topography of the harbor what allows Vizenor to resist the kind of colonial discourse that the heirs are so dedicated to overturning. Envisioning a sovereign Indian nation on a land reservation would not have sounded equally subversive, and perhaps it would have risked reiterating the masterful image of confinement with “fence and feathers” that is historically sanctioned by the federal establishment of the reservation system. Imagining a sort of unhistorical, or anti-historical maritime reservation, instead, Vizenor circumvents the disempowering limitations of official history while playing at the same time with the aquatic imagery of the Columbian discovery. The tribal nation established by the heirs, however, is not what one would be tempted to describe as a utopian formation: on the contrary, the maritime reservations/nations Vizenor describes occupy specific geographical locations, whose geopolitical nature bespeaks the senselessness of Euro-American partitioning of the continent but also the Indians’ ability to carve out a space of resistance and to promptly claim their territorial rights on the land of the ancestors. I just used the plural ‘reservations’ since I have not specified yet that in the novel the heirs move from one maritime reservation to another, with the latter being a more solid continuation of the former: when the Santa Maria Casino sinks due to a violent storm on Lake of the Woods, the heirs travel westward to establish another, even more impressive sovereign harbor at Point Roberts in Washington State, which they rename Point Assinika, the “place of stones.” 5 Similarly to the Northwest Angle exclave, Point Roberts too has a peculiar characteristic: it rests on a strip of land that is physically separated from the United States, since it borders Canada and the waters of Boundary Bay, but belongs to the US given that its latitude is below the 49 th parallel (the Northwest Angle, instead, is the only place outside Alaska lying north of the parallel). By choosing such peculiarly-situated areas as the headquarters of the heirs’ tribal nations, Vizenor playfully evokes the tragic history of Euro-American encroachment on Native land and its splitting among colonialist national powers (the US and Canada) by means of treaties that flagrantly ignore the presence of indigenous people on the continent. But the power of his invention goes farther than that: in a sense, what is here being challenged is the Euro-American arrogant certainty that Native tribes have been definitely confined to enclosed spaces and that they can no longer constitute a menace for the territorial wholeness of either the United States or Canada. Inhabiting such interstitial, border-line spaces that are generally overlooked by the big Anglo-American nation states, the heirs pose themselves as a subversive and destabilizing presence, though their main commitment now is not to violent conquest but to the act of healing with storytelling, games of chance, genetic research. In addition, the fact that in both cases (at the Mississippi headwaters in Minnesota and at Point Roberts in Washington) the heirs’ sovereign nations are essentially harbor/marine terminals, occupying inter-national waters between land and sea (or lake), is instrumental to Vizenor’s creative elaboration of the Columbian myth: after all, upon his arrival in the Caribbean sea, the great admiral was indeed crossing what we may term ‘inter-national’ waters, if we think retrospectively (but coherently with the present-day struggle of indigenous people) of pre-Columbian America as peopled by sovereign native nations. In addition, the water element suggests the fluidity of indigenous notions of place, which is not a static figuration on a map but a presence living in tribal memories and tribal stories. As Vizenor stated in an interview included in his book Postindian Conversations, referring specifically to his imagining of Point Assinika, “the creation of a native place is in the memory of the story;” places are remembered and continued through stories that engender their creation as if “out of water,” since for Vizenor “we are water, and there is no presence without water and trickster stories of that creation” (135). Besides turning the Genoese explorer into a cross-blood tribal trickster and the trope of discovery into a much-awaited homecoming, the novel also provides, more specifically, a revision of the mythology of US freedom and exceptionalism from a tribal perspective. Namely, what the heirs accomplish throughout the narrative can be seen as a re-staging of the Slotkinian idea of ‘regeneration through violence’ in the form of a ‘re-generation through healing,’ whereby the very word ‘regeneration’ assumes an additional value by merging the act of generating with the idea of descent from a common ancestor (i.e., Columbus). And once again, the harbor imagery is very effective in illustrating this point. The sinking of the Santa Maria Casino in a thunderstorm at Lake of the Woods, for example, clearly recalls the running ashore of the real Santa Maria 5 Stones and stone-related images recur throughout the novel to symbolize ideas of birth and regeneration according to a specific tribal (Ojibway) account of creation stories. See Liang 134-135. Iperstoria – Testi Letterature Linguaggi www.iperstoria.it Rivista semestrale ISSN 2281-4582 Saggi/Essays Issue 6 – Fall 2015 302 caravel in late December 1492—an event which gave origin to the first European settlement in the Americas, La Navidad. But in the context of Vizenor’s satirical revision of the Columbian myth, the casino’s shipwreck may also stand as a reprimand against the danger of reiterating the European greed for the New World riches. As James Cox argued, the activities taking place in the casino barge (which he defines as “gambling on maritime explorations in search for treasures,” 131) figuratively associate Stone Columbus’ tourists and casino attenders with Christopher Columbus’s sailors and the Spanish monarchs funding his expedition. However, when later in the novels the heirs decide to establish another maritime reservation at Point Roberts, equipped with yet another casino, they ground it more decidedly on healing and communal liberation rather than, as the shipwrecked Santa Maria sailors did, on the personal accumulation of riches and the search for gold. In addition, once settled at Point Roberts, the heirs place a giant copper statue on the shore near the marina and name it “the Trickster of Liberty.” Higher than the Statue of Liberty and facing west instead of east, the statue also bears an inscription that promises “to heal the tired tribes and huddled masses yearning to breathe free” (122): as is well-known to American readers, these words are an almost exact replica of those found on the pedestal of the Statue of Liberty in New York harbor, taken from Emma Lazarus’s sonnet. But rather than being presented as a protective, maternal figure for the (generally white) immigrants seeking refuge in the New World, the heirs’ statue stands out as a tribute to the healing power of American Indian tribal humor, visually reinforced by the attributes of the trickster figure, as the numerous references to its being “crotch high” testify. Moreover, differently from the kind of imagery usually evoked by the Statue of Liberty, the trickster monument announces the entrance into a nation that rejects the regulatory and disciplinary practices of the western nation states: Point Assinika is indeed described as a “free state with no prisons, no passports, no public schools, no missionaries, no television, and no public taxation” (124), whose primary commitment is healing through “genetic therapies, natural medicine, bingo cards, and entertainment.” The commitment to healing and trickster stories runs counter to the arrogance and violence of what Vizenor terms a “monotheistic chemical civilization” (Vizenor and Lee 129) that has been poisoning and ravaging the American continent since the time of Columbus’s first landing. 6 As several scholars have noted, moreover, the establishment of Point Assinika as a sovereign nation is interwoven with the Ojibway creation myths, lying outside the exclusively legal-political framework through which a Euro-centered perspective may read that accomplishment. Besides liberating Native people from the entrapping narratives of European emigration and discovery (Cox 139), then, the novel successfully commits itself to write history anew in a way that is respectful to native presence and informed by native beliefs in the American continent. A few words need to be said about another crucial subplot in the novel, i.e. that revolving around the repatriation of the Christopher Columbus and Pocahontas remains. Their ashes need to be protected from the greedy hands of what Vizenor calls “bone barons,” i.e. white anthropologists, scientists, or collectors that steal tribal remains for purely scientific purposes or, even worse, for profit and exhibition: in their hands, the stories of the dead are turned into “academic chattel” inside museums or other sites that symbolize white exploitation of indigenous history. The ashes are also important to the heirs in that they carry the “genetic signature of survivance” (33), the phrase Vizenor employs to indicate the regenerative power of tribal memories and knowledge for the survival of future generations. In the novel, it is Stone’s wife Felipa Flowers that is especially committed to the repatriation of the bones: Vizenor describes her as “a tribal liberator who poached tribal remains from museums to atone for the moral corruption of missionaries, anthropologists, archaeo-necromancers” (50). First, she manages to steal the Columbus remains along with other sacred medicine pouches from a New York museum thanks to the aid of a teleporting trickster shaman, and subsequently wins the lawsuit filed against her by the cunning museum manager. Then, to recover the 6 Examining the crucial fact of Vizenor’s battle against harmful colonial representations through other representations (though in the interest of indigenous people), Stuart Christie points out the novel’s regrettable overlooking of extant tribal survival and resilience: “Vizenor’s rewriting of Assinikan cultural and geographic space, as it so happens, is also an overwriting of the oral, trickster tradition of the coastal Salish peoples who have historically inhabited not ‘Assinika’ (…) but Chelh-ten-em, translated from coastal Salish as ‘the place where one hangs salmon to dry’” (113). For Christie, such failure to account for the existing tribal presence in the area “across which Vizenor maps his liberated Assinikan nation, casts a long shadow across his powerful articulation of trickster potential.” Iperstoria – Testi Letterature Linguaggi www.iperstoria.it Rivista semestrale ISSN 2281-4582 Saggi/Essays Issue 6 – Fall 2015 303 Pocahontas ashes she has to travel overseas in England, where a book collector helps her locate them in the cemetery of an old parish church near London; however, before she can grab the ash casket, she is killed by a mysterious murderer who will turn out to be the director of the New York museum. By the end of the novel, after the arrest of the villain, the remains of Pocahontas will eventually be delivered by the London antiquarian at the new nation at Point Assinika, where they join those of Columbus in order to be “sealed in vaults at the House of Life near the base of the Trickster of Liberty” (174). 7 With the sealing of Columbus and Pocahontas ashes in a sort of “trickster shrine,” the heirs have completed their mission of turning these two cultural icons from emblems of the epic of discovery and the submission of indigenous people by Euro-American powers into living tribal ancestors to be treasured by the entire community. By playing humorously with both history and myth, Vizenor’s novel has revised the master narrative of domination and exploitation that shaped for centuries the dominant understanding of American history, and that still characterized prominently the 1992 Columbian Quincentenary celebrations. In James Cox’s words, “the political currency of the novel derives from the liberatory humor, not from the possibility that the story itself will become a new master narrative of dominance” (129). While The Heirs of Columbus is a comical attack against the ways those official accounts of history have perpetuated the oppression of indigenous people, it is also a serious invitation to use the liberating power of imagination and trickster humor to dismantle the authority of those narratives and envision a brighter future for indigenous people and their communities. Works Cited Christie, Stuart. Plural Sovereignties and Contemporary Indigenous Literature. New York: Palgrave Macmillan, 2009. Cox, James. Muting White Noise: Native American and European American Novel Traditions. Norman: University of Oklahoma Press, 2006. Hume, Kathryn. “Gerald Vizenor on Imagination.” The Native American Renaissance: Literary Imagination and Achievement. Eds. Alan R. Velie and A. Robert Lee. Norman: University of Oklahoma Press, 2013. 129-143. Liang, Iping. “Opposition Play: Trans-Atlantic Trickstering in Gerald Vizenor’s The Heirs of Columbus.” Concentric: Studies in English Literature and Linguistics 29.1 (2003): 121-141. Owens, Louis. Review of The Heirs of Columbus, by Gerald Vizenor. American Indian Quarterly 17.1 (1993): 101-102. Vizenor, Gerald. The Heirs of Columbus. Middletown: Wesleyan University Press, 1991. Vizenor, Gerald, and A. Robert Lee. Postindian Conversations. Lincoln: University of Nebraska Press, 2003. Weaver, Jace. The Red Atlantic: American Indigenes and the Making of the Modern World, 1000-1927. Chapel Hill: The University of North Carolina Press, 2014. 7 Liang has interestingly discussed the trans-Atlantic exchanges that characterize the novel, and that are visible not just in the obvious ‘detective-story’ subplot, but also in the re-figuring of the Great Admiral as a Sephardic Jew (136-137). From this perspective, The Heirs of Columbus is a work that perfectly fits Jace Weaver’s paradigm of a ‘Red Atlantic’ (literary) imaginary spanning more than five centuries, from the accounts of Columbus and his contemporaries to the postmodern revisions of American Indian history and experience by writers like Vizenor (see Weaver, especially chapters 1 and 5). 
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work_5fyixhflgje2zpmxjlca4e2eki	----	Obituaries 69 Obituaries Colin Bertram, British polar explorer, biologist, and former director of the Scott Polar Research Institute, died at his home in Graffham, Sussex, on 11 January 2001, aged 89. Born on 27 April 1911, George Colin Lawder Bertram showed early interest in natural history. In 1932, while reading zoology at St John's College, Cambridge, he and fellow undergraduate David Lack organised the Cam- bridge expedition to Bj0rn0ya, undertaking ornithological studies and collections. The next year, as a member of the three-man Cambridge expedition to Scoresby Sound, he was transported to East Greenland by the celebrated French explorer J.-B. Charcot, in his equally celebrated expedi- tion ship Pourquoi-Pas?, a remarkable experience for an aspiring polar biologist. After a brief spell studying coral reefs in the Red Sea, in 1934 Bertram joined the British Graham Land Expedi- tion, initially as a marine biologist with the ship's party, later replacing Brian Roberts in the shore party. One of a series of non-governmental, low-budget, but strikingly efficient expeditions that characterised post-'Heroic Age' British polar exploration, the BGLE gave Bertram many opportunities to learn polar craft, including sailing, dog- sledging, and surveying, from friendly experts only a little older than himself. There were also opportunities for a young biologist to make his mark. The 16 men and 80-100 sledge dogs relied heavily on seals for food: Bertram studied the seals as they were killed, writing his conclu- sions in a scientific report and a thesis that earned him a Cambridge PhD. He was awarded also the Polar Medal and the Bruce Memorial Medal of the Royal Scottish Geographical Society. Bertram later told his experiences in 'Antarctica sixty years ago: a re-appraisal of the British Graham Land Expedition 1934—1937,' which was pub- lished as a complete edition of Polar Record (32 (181): 9 8 - 183 (April 1996)). In 1939 Bertram married Kate Ricardo, a fellow gradu- ate in zoology. In the same year he wrote Arctic & Antarctic: the technique of polar travel. During the early months of World War II, he was involved in War Office research on Arctic clothing, which included designing and testing early versions of the string vest. From 1940 he joined the Colonial Office, becoming chief fisheries ad- viser in Palestine, later fisheries adviser to the Middle East Supply Centre in Cairo. After the war Bertram returned to Cambridge, taking up a fellowship and tutorship at St John's and immersing himself in college administration and raising four sons. From 1949 he held the part-time appointment of director of the Scott Polar Research Institute, a prestigious but chroni- cally under-funded institution that made little use of his polar knowledge and skills. Before retiring on 31 Decem- ber 1956, he was instrumental in ensuring that his succes- Fig. 1. Colin Bertram when he was director of the Scott Polar Research Institute. sor would hold a full-time directorship. In the following year Bertram was awarded the Murchison Grant of the Royal Geographical Society and held a visiting professorship at the University of Otago, New Zealand. In 1965 he became senior tutor atStJohn's, an appointment he held until 1972. College life, research on a diversity of practical ecological issues from tropical fisheries and manatee conservation to fur seals of the Pribilof Islands, coupled with long-term involvement in the affairs of the Royal Geographical Society and the Eugenics Society, kept his life busy well beyond formal retirement. Apart from research papers, Bertram wrote Adam's brood: hopes and fears of a biologist (1959), In search of mermaids: the manatees of Guyana (1963), Antarctica, Cambridge, conservation and population: a biologist's story (1987), and Memories and musings of an octogenar- ian biologist (1992). Kate Bertram, who from 1970 to 1979 was president of Lucy Cavendish College, Cam- bridge, died in 1999. Bernard Stonehouse 70 OBITUARIES Helge Ingstad, Norwegian scholar, sailor, adventurer, and writer, died at his home in Oslo on 29 March 2001, aged 101, ending a life spanning three centuries. He discovered the only authenticated Norse ruins in North America. His study of the Icelandic sagas and of other medieval documents, and his knowledge of weather, sea- ice conditions, and early navigation techniques had guided him in his long quest in the wake of Eric the Red and the Norse explorers of a thousand years ago. In 1953 Ingstad and his wife Anne-Stine (Moe), an archaeologist, had examined ruins of Norse settlements in West Greenland. As a result, they recognized the need to search for further Norse remains along the Labrador and Newfoundland coasts. In the summer of 1960, after sailing from Norway in his own ship Halten with a crew of six, Ingstad made a preliminary survey of these coasts from ship and light aircraft. In the following spring, sailing out of Montreal and accompanied by his wife, he followed the north shore of the St Lawrence River, and then the coast- line northeastwards, examining likely locations for Norse settlements. Finally, near the northern tip of Newfound- land and on its eastern side at L'Anse aux Meadows, his attention was drawn by a local man, George Decker, to some grassy mounds that Ingstad recognized as possible remnants of Scandinavian sod houses. His hunch was proved correct from excavations directed by his wife in the 1961 summer and in seven subsequent summers. Her archaeological finds included the foundations of eight buildings, including a large house almost identical to Leif Ericsson's 'great hall' in Greenland; an area used for smelting bog iron; and artifacts such as a soapstone spin- dle-whorl and a bronze tunic pin of Norse design. The radiocarbon method gave the date of the site as about 1000 AD, according with that indicated in the sagas for the main winterings in Vinland. The Ingstads thought it more than probable that L'Anse aux Meadows was the place referred to in the sagas as 'Leifsbudir.' After 1968 the Ingstads left further excavations to Parks Canada, but kept a close eye on L' Anse aux Meadows, which, in 1980 to their delight, was named by UNESCO as an official World Heritage Site. Historical tourism at the site has helped to offset the severe damage to the economy of the region caused by the ban on cod-fishing in Newfoundland's coastal waters, imposed by the Canadian government in 1992. Helge Marcus Ingstad was born on 30 December 1899 at Meraker, near Trondheim, where he enjoyed a hardy upbringing among the mountains. After taking a law degree in 1922, he worked for four years as a lawyer, before embarking on a life of adventure and research. In 1926-30, he worked as a fur-trapper in northern Canada, and there acquired a lifelong interest in the Arctic, which he was able to indulge in a series of privately organized expeditions, with the emphasis on ethnography and archaeology. He wrote up his travels and research in a long series of popular books and scholarly papers. His Canadian experience is recorded in Land of feast and famine (1933), dealing with the region of Great Slave Lake and the upper Thelon River. His expedition to East Greenland, 1932-34, isdescribed'm East of the great glacier(\937). From 1936 to 1938, he served as a district judge in Svalbard, and became an authority on the history and development of those Arctic islands. After the war, Ingstad resumed his travels with an expedition to northern Alaska, 1949-50, to study the Nunamuit Inuit of the Brooks Range, of whom he published an account in Nunamuit (1952). His visits to Norse sites in West Greenland in the 1950s were described in Land under the pole star (1966), and a popular account of his great discovery in Newfoundland is contained in Westward to Vinland (1969). Finally, Ingstad and his wife set the seal on their work in Newfoundland with the publication by the Oslo University Press of The Norse discovery of North America (1986, two volumes), containing a full report on the excavations at L'Anse aux Meadows. Ingstad was recognized in his own country as a Knight of St Olav, Honorary Doctor of Oslo University, and Fridtjof Nansen Medalist. Other honours came to him, including the Andree Medal of the Royal Swedish Geographical Society, and honorary doctorates from the University of Calgary, McGill University, and Memorial University in Canada. Finally, in 1991, jointly with his wife, he received the Founder's Gold Medal of the Royal Geographical Society, a belated award but one that he greatly prized. He must have been the oldest recipient of a Royal medal from that Society; in his quiet and modest way, he took a wry pleasure in receiving it in the year before the quincentennial celebrations of the official discovery of North America by Christopher Columbus. Anne-Stine, for 56 years his devoted wife and co- worker in the field, died in 1997, aged 79 (Polar Record34 (190): 273 (1998), and Ingstad is survived by their daughter and grandchildren. Geoffrey Hattersley-Smith Pyotr 'Peter' Typykhkak, chairman of the Association of Traditional Marine Mammal Hunters of Chukotka (for- merly known as the Union of Marine Mammal Hunters), died of complications associated with stomach cancer on 9 December 2000 in the village of Sireniki, Provideniya Region, Chukotka Autonomous District, Russia. Typykhkak was born in 1933 in Imtuk, a settlement near Sireniki. His Eskimo name was Typykhkak. Typykhkak spent most of his life in Sireniki. When he was 15 years old he was already an assistant marine mammal hunter on the schooner Oktober. He spent his entire career at sea, and, in addition to being a leading traditional marine mammal hunter, he also worked in the Soviet state system, working his way up from shooter, to motor-man, and then to brigadier (whaling crew captain). Although partially blind in one eye, he was a good shot. He was widely considered one of the most respected elders, and he spent much time teaching young hunters in Chukotka. Typykhkak was active in civic life and served as a deputy OBITUARIES 71 (legislator) in village, regional, and district government. He was a member of the Magadan Regional Party Commit- tee. Typykhkak particularly showed his wisdom and talent as a leader after the collapse of the Soviet Union. As the old restrictions melted away, he became extremely active in bringing his people and his organization in close contact with the people of St Lawrence Island, and of northwest and northern Alaska. He forged very close alliances with the Alaska Eskimo Whaling Commission, the North Slope Borough, the Alaska Nanuuq (polar bear) Commission, the Eskimo Walrus Commission, and other native hunting organizations. He was committed to renew the traditional bowhead whale hunt for the Chukotka native people. Typykhkak had been on the last bowhead whale hunt allowed by the Soviet government in 1972. He related that on his wife's deathbed she asked to taste, one last time, some bowhead wha\e muktuk, which he was not able to give her. In 1996, standing on the beach in front of his village, he pressed a delegation from the Alaska Eskimo Whaling Commission and the North Slope Borough about what he could do to renew the traditional bowhead whale hunt. His persistence led to a long process that involved securing the cooperation of the Russian and US governments and ended with an aboriginal quota for bowhead whales for the Russian Federation from the International Whaling Commission. Typykhkak assisted his younger son's crew to harvest a bowhead whale in 1998, after a more than a 25-year hiatus of the tradition. In 1997, Typykhkak helped form and was elected the president of the Union of Marine Mammal Hunters, and was able to employ his skills and knowledge protecting traditional subsistence. Under his leadership, the Union of Marine Mammal Hunters became well-known in Russia and internationally as a native organization interested in protecting the traditional lifestyle of the native people while being actively involved in the management of ma- rine resources. Typykhkak represented the organization at the 2000 meeting of the International Whaling Commis- sion in Australia. He is greatly mourned by his Russian colleagues. In his obituary in the Russian press it was written that 'Peter was one of the most reliable protectors of the traditional marine mammal hunt and the spirit of the Eskimo people, and he prepared an entire generation of talented hunters, sailors, and Arctic naturalists. He was especially known for his wisdom, his love of people, his drive, his integrity, and his honesty.' Typykhkak was also well liked by Alaskans. He often visited Alaska representing the native people of Chukotka. Early in 2000, the US National Park Service and employ- ees of the North Slope Borough arranged for a Fairbanks ophthalmologist, Dr Zamber, to volunteer his time to operate on Typykhkak's cataracts, which had made him almost blind. People from all over Alaska contributed money to the operation, which was a success. Sponsored by Roman Abramovich, Typykhkak returned for medical attention to Anchorage in October 2000. Unfortunately, he was diagnosed with terminal stomach cancer and returned to his native village in November. He is survived by three sons and two daughters. Vladimir Etylin John Tichotsky 
work_5gjo6qhoejdxlcutcyd7nerwo4	----	In This Issue The five articles published in this issue of the Law and History Review examine fundamental questions of legal history and historiography. In our first article, Ian Holloway addresses the resurgence in Australia, including among the courts, of fascination with Australian and colonial legal histo- ry. But he notes an important absence in this resurgence: with respect to public law, there has been little, if any, interest in how English traditions of judicial control of the executive took root in Australia, and what impact this may have had on the development of the present-day system of public law. Holloway's article responds to that gap in scholarship by exploring and analyzing the earliest cases of record, in which the Supreme Court of New South Wales began to enforce the rule of law against public authorities. As Holloway points out, access to these cases has been made possible for the first time by Bruce Kercher's internet-based project to publish annotated copies of the earliest records of the Supreme Courts of New South Wales and Van Diemen's Land (Tasmania), described by Kercher in "Recovering and Reporting Australia's Early Colonial Case Law: The Macquarie Project," Law and History Review 18.3 (Fall 2000): 659-65. Readers who access Holloway's article in our electronic edition will be able to view the cases he discusses through live links to the Macquarie project database. Our second article, by Ernest Metzger, has important implications both for the contemporary study of Roman law and for understanding how Roman law has, in the past, been studied. As such it is simultaneously an exercise in writing legal history and an examination of the production of legal history, particularly in the research of the nineteenth century's Ger- man Historical School. As Metzger notes, Roman law has been admired for a long time. But its admirers, in their enthusiasm, have sometimes bor- rowed ideas from their own time and attributed them to the Romans, thereby filling some gap or fixing some anomaly. Roman private law is a well- known victim of this. Roman civil procedure has been a victim as well, and the way Roman judges are treated in the older literature provides an ex- ample. For a long time it has been accepted, and rightly so, that the deci- sion of a Roman judge did not make law. But the related, empirical ques- tion, whether Roman judges ever relied on the decisions of other judges, has been largely ignored. The common opinion, which today correctly re- jects "case law," passes over "precedent" without comment. It does so because for many years an anachronistic view of the Roman judge was in fashion. According to this, a Roman judge's decision expressed the peo- Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000015273 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000015273 https://www.cambridge.org/core pie's sense of right about a specific set of facts. Thus, a decision is simply a piece of information for an expert to examine; it has no value to another judge. With the passing of this view, however, the common opinion could accept the existence of precedent in Roman law. In our third article, by Bruce Kimball, we move even more explicitly to the question of how central tropes of legal history—in this case U.S. legal history—emerge. Since his death in 1906, Christopher Columbus Langdell—arguably the most influential figure in the history of legal edu- cation in the United States—has been the subject of ceaseless examination by members of the legal profession and academe. Despite the enormous influence of his reforms, this discussion has generally presented a depreci- ating, even disparaging, view of Langdell. Moreover, this has prevailed even though the majority of Langdell's writings have never been studied. These two paradoxes constitute the "Langdell Problem" in the historiography of the last century. Kimball's article addresses and explains the Langdell prob- lem by demonstrating that commentary on Langdell throughout the twen- tieth century has drawn primarily from published studies without consider- ing whether these are validated by evidence from original sources. The result has been the accumulation of an imposing, deeply sedimented, mound of scholarship obscuring the neglect of original sources. This sedimentation has grown because the received view of Langdell has, in a variety of ways over the past century, served the purposes of legal scholars. By historicizing the historiography, Kimball discloses the irony that the law professor who taught his profession to scrutinize every general propo- sition in light of the original sources about specific cases has had his story told and his legacy shaped by many who flouted his most fundamental prin- ciple. He concludes that the received view of Langdell rests on a relatively insubstantial evidentiary base and that a fuller, more complex understand- ing of Langdell and his legacy to modern legal education is needed. Our fourth article continues this issue's historiographical theme and is the subject of its forum. Alejandro de la Fuente reviews literature focusing on slavery and the law in Spanish America and analyzes the use made by slaves of traditional Spanish law and legal customs to claim rights before author- ities and the courts. Using Cuba as a case study, de la Fuente argues that slaves who became familiar with the dominant culture—typically through their participation in urban market relations—learned that under Spanish law they had some rights, including the right to appeal to authorities. Even in the nineteenth century, when Cuba became a prosperous slave-based plan- tation society and a leading producer of sugar, urban slaves continued to invoke these laws to ameliorate their position. De la Fuente notes that the importance of this legal order was recognized by Frank Tannenbaum in his influential 1946 essay Slave and Citizen. But unlike Tannenbaum, who as- sumed that positive laws endowed slaves with a "moral" personality, de la Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000015273 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000015273 https://www.cambridge.org/core Fuente argues that it was the slaves themselves who gave concrete social meaning to the abstract rights regulated in the positive laws by making claims and pressing for benefits. Tannebaum, however, was correct to note the persistent relevance of the traditional statutes of Castile in the colonies, for as late as the nineteenth century Cuban courts continued to invoke the thirteenth-century code Siete Partidas in their verdicts concerning slaves. De la Fuente's position is debated by Maria Elena Diaz and Christopher Schmidt-Nowara. The forum concludes with de la Fuente's response. This issue of the Law and History Review is unique in that, in addition to the forum just described, it also presents the first part of a two-part fo- rum that will conclude in our next, Fall 2004, issue. Here we present the opening of Michael Lobban's treatment of the reform of the English Court of Chancery. By the early nineteenth century, Lobban tells us, the Court of Chancery was perceived to be in crisis: slow and costly, it bore all the hallmarks of a corrupt ancien regime institution. His two-part article ex- amines the process of reforming the court in the sixty years before the Judicature Acts of 1873-75. Debates over reform before 1852 were dom- inated by two issues. The first (explored here) was the question of wheth- er the court's allotment of judicial personnel was adequate to cope with the demands of litigation. Although this question attracted the most political attention—notably in Lord Eldon's era—it was not satisfactorily resolved, for politicians remained uncertain about the nature of Chancery's arrears and cautious about appointing new judges or altering the functions of the Chancellor. The second issue (explored in Part II) was the technical ques- tion of how to simplify Chancery's complex procedures and reform its inefficient offices. The legal profession was the driving force behind ma- jor reforms in these areas, which were achieved by 1852. With many of the old faults of the Chancery addressed, after the mid-nineteenth century, reformers turned their minds toward a larger question of principle—the fusion of the courts of law and equity into a single judicature. Comments on Lobban's article, with his response, will appear in the next issue. As always, the issue concludes with a comprehensive selection of book reviews. As always, too, we encourage readers to explore and contribute to the American Society for Legal History's electronic discussion list, H-Law. Readers are also encouraged to investigate the LHR on the web, at www.historycooperative.org, where they may read and search every issue published since January 1999 (Volume 17, No.l), including this one. In ad- dition, the LHR's own web site, at www.press.uillinois.edu/journals/lhr.html, enables readers to browse the contents of forthcoming issues, including ab- stracts and, in almost all cases, full-text PDF "pre-prints" of articles. Christopher Tomlins American Bar Foundation Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000015273 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000015273 https://www.cambridge.org/core 
work_5ib2dsz6gzgpdl4lwbfds7ivey	----	The Doctrine of Discovery: The International Law of Colonialism UCLA The Indigenous Peoples’ Journal of Law, Culture & Resistance Title The Doctrine of Discovery: The International Law of Colonialism Permalink https://escholarship.org/uc/item/3cj6w4mj Journal The Indigenous Peoples’ Journal of Law, Culture & Resistance, 5(1) Author Miller, Robert J. Publication Date 2019 Peer reviewed eScholarship.org Powered by the California Digital Library University of California https://escholarship.org/uc/item/3cj6w4mj https://escholarship.org http://www.cdlib.org/ 35 © 2019 Robert J. Miller. All rights reserved. THE DOCTRINE OF DISCOVERY: The International Law of Colonialism Robert J. Miller* Indigenous Peoples around the world have been seriously and negatively impacted by the international law of colonialism, which is known today as the Doctrine of Discovery.1 The Doctrine was developed primarily in the fifteenth century by Spain, Portugal, England, and the Church.2 The Doctrine is not just an interesting relic of world history but instead remains an applicable principle in many countries and also continues to limit the human, sovereign, commercial, and property rights of Indigenous Peoples and their governments. The Doctrine was used by European nations to justify their desires to acquire riches and empires around the world. The European powers primarily justified these acqui- sitions and their ambitions by ethnocentric allegations of cultural, racial, governmental, and religious superiority over the rest of the world. Indigenous Nations and Peoples, and everyone for that matter, need to understand how this international law of colonialism was de- veloped, how it was justified, how it was used to subjugate Indigenous Peoples, how it was used to steal Indigenous lands, assets, and rights, and how it has impacted Indigenous Peoples from the onset of colonization to the present day. * Professor, Sandra Day O’Connor College of Law, Arizona State University; Facul- ty Director, Rosette LLP American Indian Economic Development Program; Navajo Nation Council of Economic Advisors; Justice, Court of Appeals, Grand Ronde Tribe; Citizen, Eastern Shawnee Tribe. 1 See Robert J. Miller, The International Law of Colonialism: A Comparative Anal- ysis, 15 Lewis & Clark L. Rev. 847 (2011); Robert J. Miller & Micheline D’Angelis, Brazil, Indigenous Peoples, and the International Law of Discovery, 37 Brook. J. Int’l L. 1 (2011); Robert J. Miller, Lisa LeSage & Sebastián López Escarcena, The Inter- national Law of Discovery, Indigenous Peoples, and Chile, 89 Neb. L. Rev. 819 (2011); Robert J. Miller, Jacinta Ruru, Larissa Behrendt & Tracey Lindberg, Discovering Indigenous Lands: The Doctrine of Discovery in the English Colonies (2010). 2 Robert J. Miller, Native America, Discovered and Conquered: Thomas Jeffer- son, Lewis & Clark, and Manifest Destiny 9–33 (2006). 36 2019:35I P J L C R Similarly, one must understand another principle of international law to fully appreciate the modern-day importance of the fifteenth centu- ry Doctrine of Discovery. According to the principle of “intertemporal” law, modern-day territorial boundaries and land titles “are to be judged by the law in force at the time the title was first asserted and not by the law of today.”3 Consequently, how European countries and their colonies divided up the lands and assets of Indigenous Peoples and Nations in the distant past still determines national boundaries today and thus is highly relevant to Indigenous Peoples. The international law that regulated nearly six hundred years of European colonization can be traced in church law and world history to at least the Crusades to reclaim the Holy Lands in 1096–1271.4 The modern day version of this legal principle started to emerge in the 1430s due to Spanish and Portuguese claims to control and colonize the Canary Islands.5 In 1436, Portugal finally convinced Pope Eugenius IV to issue a papal bull granting Portugal exclusive control of the Islands to civilize and convert the Canary Islanders to the “one true religion” and “for the salvation of the souls of the pagans of the islands.”6 As Portugal expand- ed its explorations and claims down the west coast of Africa, it convinced Pope Nicholas to issue another bull. On January 8, 1455, the Pope grant- ed Portugal the power: to invade, search out, capture, vanquish, and subdue all Saracens [Muslims] and pagans whatsoever, and other enemies of Christ wheresoever placed, and the kingdoms, dukedoms, principalities, dominions, possessions, and all movable and immovable goods what- soever held and possessed by them and to reduce their persons to perpetual slavery, and to apply and appropriate to himself and his successors the kingdoms, dukedoms, counties, principalities, domin- ions, possessions, and goods, and to convert them to his . . . use and profit . . . [and to] possess, these islands, lands, harbors, and seas, and they do of right belong and pertain to the said King Alfonso and his successors . . . .”7 Not surprisingly, in 1493 Spain also sought papal approval for the discoveries Columbus made in the New World. According to the develop- ing international law, Pope Alexander VI issued three bulls and ordered that the lands Columbus discovered, which were “not hitherto discovered 3 John Dugard, International Law: A South African Perspective 113–14 (2d ed. 2000). 4 See, e.g., Robert A. Williams, Jr., The American Indian in Western Legal Thought: The Discourses of Conquest 14 (1990); The Expansion of Europe: The First Phase (James Muldoon ed., 1977); Carl Erdmann, The Origin of the Idea of Crusade (Marshall W. Baldwin & Walter Goffart trans., Princeton Univ. Press 1977) (1935). 5 Miller, Native America, supra note 2, at 13–14. 6 Williams, supra note 4, at 71. 7 European Treaties Bearing on the History of the United States and its De- pendencies to 1648 23 (Frances Gardiner Davenport ed., 1917). 37Doctrine of Discovery by others,” belonged to Spain.8 The Pope further granted Spain lands it would discover in the future if they were not “in the actual posses- sion of any Christian king.”9 The Pope then drew a line of demarcation from the North to the South Poles, 300 miles west of the Azores Islands, granting Spain title to the lands “discovered and to be discovered” west of that line, and granting Portugal the same rights east of the line.10 In 1494, Spain and Portugal signed the treaty of Tordesillas moving the line further west to give Portugal part of the New World, today’s Brazil.11 In 1529, in the Treaty of Zaragosa, the countries extended the line around the globe and divided up the Pacific Ocean and its islands and lands.12 Thereafter, Spain and Portugal applied the Doctrine of Discovery in Africa, Asia, and the Americas.13 Jealous to acquire empires and riches themselves, England, Holland, and France also used this international law to claim rights in North America and elsewhere.14 The colonial- settler so- cieties that resulted from European colonization of much of the world, including the United States, continue to apply the Doctrine of Discovery against Indigenous Nations today.15 A correct understanding of the Doctrine of Discovery and its world- wide application can be gained by studying the world’s leading court 8 Id. at 9–13, 23, 53–56. 9 Id. 10 The Spanish Tradition in America 38 (Charles Gibson ed., 1968); Church and State Through the Centuries 156 (Sidney Z. Ehler & John B. Morrall trans. & eds., 1967); Samuel Eliot Morison, Admiral of the Ocean Sea: A Life of Christopher Columbus 368–73 (1942). 11 Foundations of Colonial America: A Documentary History 1684 (W. Keith Ka- venagh ed., 1973); The Spanish Tradition, supra note 10, at 42–51. 12 Samuel Eliot Morison, The European Discovery of America: The Southern Voyages A.D. 1492–1616 476–77, 490–91, 498 (1974). 13 Miller, Native America, supra note 2, at 13–17; Robert J. Miller, The International Law of Discovery: Acts of Possession on the Northwest Coast of North America, in Arctic Ambitions: Captain Cook and the Northwest Passage (James K. Barnett & David L. Nicandri eds., 2015); Manuel Servin, Religious Aspects of Symbolic Acts of Sovereignty, 13 The Americas 255 (Jan. 1957); Manuel Servin, The Act of Sovereignty in the Age of Discovery (Jan. 1959) (unpublished Ph.D. dissertation, University of Southern California). 14 Miller, Ruru, Behrendt & Lindberg, supra note 1; Miller, Native America, su- pra note 2, at 17–21, 25–33; Miller, The International Law of Discovery, supra note 13; Servin, The Act of Sovereignty, supra note 13. 15 See supra notes 13–14. Scandinavian countries have also applied aspects of the Doctrine of Discovery against the Sami people. See Landowners and right-holders in Manndalen, et al v. The Norwegian State, Serial No. 5B/2001, No. 340/1999 (2001) (Supreme Court of Norway); Riast/Hylling Sami v. Kjell Bendixvold et al, Frostat- ing Lagmannsrett LF-1995-00034 A, Supreme Court HR-1997-00061 A, No. 96/1996 (1997) (Norway); North Frostviken Sami Village v. State, S.Ct. Decision No. DT 2, Case No. 324/76 (1981) (Supreme Court of Sweden); Veli-Pekka Lehtola, The Sami Siida and the Nordic States From the Middle Ages to the Beginning of the 1900s, in Conflict and Cooperation in the North 183–94 (Kristina Karppi & Johan Eriksson eds., 2000). European countries also used aspects of the Doctrine to claim and divide Africa in 1885. See M.E. Chamberlain, The Scramble for Africa 28–83 (2d ed. 1999); S.E. Crowe, The Berlin West African Conference 1884–1885 3, 95–191 (1942). 38 2019:35I P J L C R case on Discovery: the United States Supreme Court case of Johnson v. McIntosh.16 The Johnson case has heavily influenced how colonial-settler societies have defined Discovery and their “rights,” and how they have diminished the rights of Indigenous Nations and Peoples. Johnson has been relied on by many countries to decide issues regarding colonization and the rights of Indigenous Nations. The case has been cited scores of times by courts in Australia,17 Canada,18 New Zealand,19 and the United States.20 The English Privy Council cited Johnson three times in cases regarding colonization in Africa and Canada.21 In Johnson v. McIntosh, non-Indians sued each other over who was the legal owner of lands formerly owned by Indian Nations in what is now the state of Illinois. The plaintiffs claimed their rights through corpora- tions that had allegedly bought the lands in question from Indians in 1773 and 1775.22 In contrast, the defendant, McIntosh, had purchased his land in 1818 from the United States, which had acquired it via treaties with the Piankeshaw and Illinois Indian Nations.23 The U.S. Supreme Court decided that McIntosh was the owner because Indian Nations were not considered to be the full owners of their lands after Euro-Americans ar- rived and claimed a property interest in Indian lands.24 Thus, the Court held that, under the Doctrine, Indian Nations could only sell their lands to the Euro-American government that claimed the Discovery power over them, and therefore that the purported sales to the corporations were invalid.25 The U.S. Supreme Court repeatedly stated in Johnson that the Doctrine and the loss of rights suffered by Indian Nations were based on the justifications of Christianity and civilization. The Court stated for example: “the character and religion of its inhabitants afforded an 16 21 U.S. (8 Wheat.) 543 (1823). For a brief description of the case see Miller, Na- tive America, supra note 2, at 50–56. 17 Ten or more Australian cases have cited Johnson. See, e.g., Western Australia v Ward (2000) 99 FCR 316, 170 ALR 159; Mabo v Queensland [No. 2] (1992) 175 CLR 1, 107 ALR 1. 18 At least forty-four Canadian cases have cited Johnson. See, e.g., R. v. Sparrow, [1990] 70 D.L.R. (4th) 385, 1 S.C.R. 1075 (Supreme Court of Canada); Kwicksutaineuk/Ah- Kwa-Mish First Nation v. British Columbia, [2011] 55 C.E.L.R. (3d) 165, 15 B.C.L.R. (5th) 322 (British Columbia Supreme Court). 19 See, e.g., Attorney-General v. Ngati Apa [2003] 3 NZLR 643; Wi Parata v. Bishop of Wellington (1877) 3 NZ Jur (NS) 72 (SC); R. v. Symonds (1847) NZPCC 387. 20 Johnson has been cited hundreds of times by federal and state courts in the United States. See, e.g., Attorney’s Process v. Sac & Fox Tribe, 609 F.3d 927 (8th Cir. 2010). See also City of Sherrill v. Oneida Indian Nation of N.Y., 544 U.S. 197, 203 n.1 (2005). 21 Amodu Tijani v. Secretary, Southern Nigeria, [1921] 2 A.C. 399 (Privy Council); In re Southern Rhodesia, [1919] A.C. 211 (Privy Council); Canada v. Ontario, [1910] A.C. 637 (Privy Council); St. Catherine’s Milling and Lumber Co. v. The Queen, (1889) L.R. 14 App. Cas. 46 (Privy Council). 22 Johnson v. M’Intosh, 21 U.S. (8 Wheat.) 543, 550–51, 555, 571 (1823). 23 Id. at 560; Miller, Native America, supra note 2, at 51. 24 Johnson, 21 U.S. at 604–05. 25 Id. at 574, 587. 39Doctrine of Discovery apology for considering them as a people over whom the superior genius of Europe might claim an ascendency.  .  .  .  [A]mple compensation [was made] . . . by bestowing on them civilization and Christianity, in exchange for unlimited independence.”26 The Court also claimed “some excuse, if not justification, [for the loss of Indigenous rights] in the character and habits of the people whose rights have been wrested from them.”27 The international law principle that Indigenous Peoples and Na- tions around the world did not and do not own the full title to their lands is still the law in most countries today.28 An effective method to understand and analyze the Doctrine, and to compare how Euro-Americans applied it throughout the world, is to delineate the constituent elements that make up Discovery. These ele- ments are easy to discern from a close reading of Johnson v. McIntosh. The elements are clearly reflected in the laws, treaties, court cases, pol- icies, and histories of almost all European settler societies around the world. I define the ten elements of Discovery in the following manner.29 1. Christianity. Religion was a very significant aspect of Discovery. Start- ing with the Crusades and then the papal bulls of the 1400s, Christians claimed that Indigenous Nations and Peoples did not have the same rights to land, sovereignty, self-determination, and human rights as did Christians. Furthermore, Europeans claimed a right and duty to convert non-Christians. 2. Civilization. European cultures and civilizations were presumed to be superior to Indigenous Peoples and their civilizations. European countries claimed that the Christian God had directed them to civilize Indigenous Peoples and to exercise paternal and guardian powers over them. 3. First discovery. The first European country that discovered lands un- known to other Europeans claimed property, commercial, and sovereign rights over the lands and the Indigenous Nations and Peoples. Conse- quently, the Doctrine created a race among European powers to discover and claim the non-European world. 4. Actual occupancy and possession. To turn a first discovery into a full title of ownership that would be recognized by other European countries, England developed in the 1570s the element that a European country had to actually occupy and possess the lands it claimed via a first dis- covery. Occupancy was usually proved by building forts or settlements. The physical occupancy and possession had to be accomplished within a reasonable amount of time after making a first discovery.30 26 Id. at 573 (emphasis added). 27 Id. at 589 (emphasis added). 28 See, e.g., Miller, The International Law of Colonialism, supra note 1; Miller & D’An- gelis, supra note 1; Miller, LeSage & Escarcena, supra note 1; Miller, Ruru, Beh- rendt & Lindberg, supra note 1. 29 Miller, Native America, supra note 2, at 3–5. 30 Island of Palmas Case (Neth. v. U.S.), 2 R.I.A.A. 829, 845 (Perm. Ct. Arb. 1928) 40 2019:35I P J L C R 5. Preemption. Euro-American countries that claimed the rights of first discovery also claimed the power of preemption, that is, an exclusive right to buy the lands of Indigenous Nations and Peoples. This is a valu- able property right similar to the modern-day real estate principle called a right of first refusal, which is the right to be the first person allowed to purchase another’s land when they choose to sell. Under Discovery, the Euro-American government that held the preemption right could pre- vent, or preempt, any other Euro-American government or individual from buying land from Native Nations. Most colonial-settler societies still claim this property right over Indigenous Nations and Peoples today. 6. Indian/Native title. After a first discovery, Euro-American legal systems claimed that Indigenous Nations automatically lost the full own- ership of their lands and only retained what is called the “Indian title” or “native title,” a property right to occupy and use the lands. These rights could last forever if Indigenous Nations never consented to sell to the Euro-American country that claimed first discovery and preemption. But if Indigenous Nations did choose to sell, they were to sell only to the Euro-American government that held the preemption right. 7. Limited Indigenous sovereign and commercial rights. Euro-Ameri- cans claimed that Indigenous Nations and Peoples lost other aspects of their sovereignty and their rights to engage in international trade and treatymaking after a first discovery. Euro-Americans claimed that Indig- enous Nations could only interact politically and commercially with the Euro-American government that had discovered them. 8. Contiguity. Euro-Americans claimed a significant amount of land contiguous to and surrounding their actual discoveries and colonial settlements. For example, when European countries had settlements somewhat close together, each country claimed rights over the unoccu- pied lands between their settlements to a point half way between their settlements.31 Contiguity provided, for example, that the discovery of the mouth of a river created a claim over all the lands drained by that river.32 (holding that “symbolical . . . possession . . . completed eventually by an actual and du- rable taking of possession within a reasonable time” created a complete title); Miller, Native America, supra note 2, at 72–76, 133–44 (President Jefferson and others were concerned that the United States quickly settle the Pacific Northwest so that actual possession would solidify the United States’ claim to title based on first discovery); Mark A. Smith, Jr., Sovereignty Over Unoccupied Territories—The Western Sahara De- cision, 9 Case W. Res. J. Int’l L. 135, 135 n.2 (1977). 31 Miller, Native America, supra note 2, at 69–70 (President Thomas Jefferson dis- cussed the idea of contiguity as part of European Discovery claims), 138 (House of Representatives 1821 report discussed principles of contiguity as establishing Europe- an Discovery claims). 32 Id. at 67, 70 (Secretary of State Jefferson in 1792 and President Jefferson in 1804), 138 (House of Representatives 1821 report), 147 (Congressman speech 1838). Com- pare the boundaries of the Louisiana Territory and the Oregon Country. U.S. Terri- torial Map 1810, http://xroads.virginia.edu/~MAP/TERRITORY/1810map.html (last visited Nov. 15, 2018). 41Doctrine of Discovery 9. Terra nullius. This Latin phrase means a land that is vacant or empty. Under this element of the Doctrine, if lands were not occupied by any person or nation, or even if they were occupied but they were not being used in a manner that Euro-American legal systems approved, then the lands were considered empty, vacant, and available for Discovery claims.33 Euro-Americans often considered lands that were actually owned, occu- pied, and being used by Indigenous Nations to be terra nullius. 10. Conquest. Euro-Americans claimed they could acquire through mil- itary victories the absolute title and ownership of the lands of Indigenous Nations. Conquest was also used as a term of art to describe the property and sovereign rights Euro-Americans claimed to acquire automatically over Indigenous Nations and Peoples just by making a first discovery. These ten elements are plainly evident in the histories and modern-day laws and policies of all settler societies. These elements were used, and are still being used, to justify limitations on the sovereign- ty, property, and human rights of Indigenous Nations. What can Indigenous Nations and Peoples and their supporters do today to oppose the existence of the Doctrine of Discovery and to repeal its pernicious effects? Several suggestions have been put forward by In- digenous Nations, scholars, and activists.34 First, many people have called on the international community, and the United Nations in particular, to study and truly understand the Doctrine and to begin a process of repudiating and reversing this six hundred-year-old ethnocentric, racist, and feudal legal doctrine. Second, Indigenous scholars and advocates have suggested that all governments review their laws, regulations, and policies that impact Indigenous Peoples and repeal those that are based on the prejudices and fallacies of the Doctrine.35 Furthermore, these governments should undertake such reviews in full consultation with Indigenous Nations and Peoples.36 33 Miller, Native America, supra note 2, at 21–22, 24, 26–28, 56. See also Johnson, 21 U.S. at 595–97 (discussing the Crown’s ownership of, and right to grant titles to, the vacant lands in America); Martin v. Waddell, 41 U.S. 367, 409 (1842) (“[T]he territory [] occupied was disposed of by the governments of Europe at their pleasure, as if it had been found without inhabitants.”); United States v. Rogers, 45 U.S. 567, 572 (1846) (“the whole continent was divided and [parceled out], and granted by the govern- ments of Europe as if it had been vacant and unoccupied land”). 34 See, e.g., The Doctrine of Discovery: The International Law of Colonialism, Con- ference Room Paper, U.N. Permanent Forum on Indigenous Issues, Eleventh Session (May 7–18, 2012) (hard copy on file with author); ‘Doctrine of Discovery’, Used for Centuries to Justify Seizure of Indigenous Land, Subjugate Peoples, Must Be Repudiat- ed by United Nations, Permanent Forum Told, U.N. Permanent Forum on Indigenous Issues, Eleventh Session (May 8, 2012), available at https://www.un.org/press/en/2012/ hr5088.doc.htm. 35 See, e.g., Miller, Native America, supra note 2, at 175–78. 36 Robert J. Miller, Consultation or Consent; The United States’ Duty to Confer with American Indian Governments, 91 N.D. L. Rev. 37 (2015); Colette Routel & Jeffrey 42 2019:35I P J L C R Third, Indigenous Nations and Peoples have called on all gov- ernments to educate their citizens, incorporate at all levels of formal education the true and complete history of their countries, and include the impact and application of colonization and the Doctrine of Discovery on their Indigenous citizens.37 Finally, Indigenous Nations and Peoples have been working with many churches to join them in repudiating the Doctrine of Discovery. Many churches and church organizations have already done so; for ex- ample, the Episcopal Church in 2009, the Anglican Church of Canada in 2010, the World Council of Churches Executive Committee in 2012, the Unitarian Universalists, individual Quaker congregations, the Unit- ed Church of Christ, the United Methodist Church, the Community of Christ, and in June 2016 the General Assembly of the Presbyterian Church USA. How much longer can modern-day societies and churches continue to tolerate the kind of ignorance, and non-Christian principles of death, domination, prejudice, inequity, and violation of sovereign and human rights that the Doctrine of Discovery represents? Clearly, all settler so- cieties need to learn how to repudiate and repeal this Doctrine because it is based on ethnocentric, racist, religious, and feudal ideas that have no place in the modern-day world. Holth, Toward Genuine Tribal Consultation in the 21st Century, 46 U. Mich. J.L. Re- form 417 (2013). 37 See Miller, Native America, supra note 2, at 175–78. https://www.pcusa.org/ https://www.pcusa.org/ 
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work_5mlsctddbbg4tmsaeakv2lhham	----	In This Issue As 1999 winds to a close, and with it (give or take a year) both the twen- tieth century and the second millennium, it is perhaps appropriate that in this issue of the Law and History Review we pay our respects to the roots of our discipline, with articles and essays that explore issues of fundamental importance in the broad continuum of Anglo-American legal history, reach- ing from the nineteenth century back to the ninth. Our first article, by Howard Schweber, reexamines the conception of science and scientific method to which nineteenth-century American legal educators had resort in developing their own idea of law as a science. Far from modern ideas of scientific method, Schweber argues, the conception of science that was appropriated by antebellum legal educators was that dominant in contemporaneous public discussion of natural science, as ev- idenced in lyceums, surveys, and journals. Public scientific discourse em- ployed a language grounded in the same religious commitments and the same normative conception of nature that drove the ideology of laissez- faire. Legal scientific writers from the 1820s onward used that discourse to replace the historical jurisprudence of Hale and Blackstone and the moral legal science of Kent and Story, treating "law" as a species of natural ob- ject. Described here as "Protestant Baconianism," the approach was char- acterized by commitments to four elements: natural theology; a constrained version of Baconian inductivism; a belief in grand synthesis and proof by analogy; and claims of moral improvement. In the natural sciences, respect for the Protestant Baconian conception of science did not survive the Civ- il War. In law, Schweber argues, the story is a little different. Attempting to continue to invoke the powerful idea of "legal science," Christopher Co- lumbus Langdell assembled the remnants of the Protestant Baconian ap- proach into his case method. In the 1870s, that is, crucial elements of the discredited antebellum approach to natural science were given new life in Langdell's "new" model of legal science. These surviving elements of an earlier natural scientific tradition have continued to influence legal educa- tion to this day. In our second article, Martin Wiener undertakes a close inspection of English trial and post-trial proceedings in cases of murder during the nine- teenth century, resulting in an elucidation of several developments of con- siderable importance to the history of English criminal law. Wiener finds significant tension between judges increasingly determined to repress in- Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000011615 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000011615 https://www.cambridge.org/core terpersonal violence and juries increasingly receptive to defense arguments for mitigation. He further finds that, in conjunction with a wider contem- poraneous reconception of notions of personhood and responsibility in the general culture, this tension had an impact upon the law of criminal respon- sibility. Judge-jury conflict both exhibited and contributed to movement in the effective meanings of legal terms such as provocation, intention, and insanity. Judges propagated, and juries gradually accepted, the idea of the "ordinary reasonable man," who was expected not to be easily provoked, nor to become dangerously intoxicated. On the other hand, juries (and the home office) were increasingly receptive to insanity defenses scorned by judges. By 1900, Wiener shows, the scope of provocation and lack of in- tention defenses had narrowed, while that of insanity had broadened. Our third article, by Norma Landau, maintains our focus on English court proceedings while removing us from the nineteenth century to the eigh- teenth, and from murder trials to the more prosaic stuff of Quarter Sessions. Based on research on the general releases in the papers of Middlesex's Quarter Sessions, Landau argues that the overwhelming majority of eigh- teenth-century indictments at Quarter Sessions for such offenses as assault, riot, and other nonfelonious offenses against the person were actually brought by prosecutors using indictment as a means to extract compensa- tion in some form from defendants. Releases, she tells us, have not been analyzed in discussions of early modern English courts. Research on the Middlesex releases shows that, for a very large proportion of indictments found at Quarter Sessions, defendants satisfied their prosecutors, who then signed releases that rendered them unable to prosecute the indicted defen- dants. The court of Quarter Sessions facilitated such settlements and even adopted procedures designed to encourage defendants to satisfy their pros- ecutors. This finding raises important questions about the assumptions defining categories basic to current discussion of early modern crime and the courts. Quarter Sessions has been categorized as a "criminal" court, indictments as "criminal procedures," and defendants to these indictments as putative "criminals." But in these indictments both the court's procedures and the protagonists' behavior actually bear considerable resemblance to proceedings on civil suits. Our fourth article, by Mike Macnair, also offers a remarkably interest- ing reassessment of an institution fundamental to received notions of the meaning of legal proceedings, and provides us with our "forum" for this issue. In his article, Macnair lays out a new approach to the venerable question of the origins of trial by jury. The traditional approach, Macnair tells us, investigated the character of the jury as a system of lay judgment. In contrast the "Brunner thesis," dominant until recently, focused on early juries as forms of royal inquiry. In recent years scholars have favored ap- Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000011615 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000011615 https://www.cambridge.org/core preaching the jury as a survival of early medieval practices in which col- lective testimony and judgment were indistinct. Macnair departs from all three of these tendencies, concentrating on the requirement that the jury come "de visneto," that is, from the locality. The use of groups of "vicini" to establish local reputation to prove "local" facts, he argues, had anteced- ents in late Roman and early medieval normative sources; the uses of spe- cial panels of locals in Anglo-Norman England are most consistent with the ideas of these sources. Local reputation was probably an acceptable form of evidence at least in these "local" matters in eleventh-century can- non law. The extension of the use of panels of locals under Henry II may therefore represent a compromise solution to conflicts of jurisdiction and procedure between the royal and church courts. This would explain the tendency to see jurors as a type of witnesses that persisted in later medi- eval common law doctrine; and this, in turn, in its own politico-legal con- text, may help explain the persistence of jury trial in the common law. Charles Donahue and Patrick Wormald comment on the significance of Macnair's argument and conclusions. The forum concludes with Macnair's response. As usual the issue is rounded off by our book reviews and by another in our continuing series of electronic resource pages. In this issue's page, Terence Halliday of the National Institute for Social Science Information (NISSI) describes the potential of the Internet as a site for the dynamic organization of knowledge. As always, readers of the Law and History Review are encouraged to explore and contribute to the American Society for Legal History's electronic discussion list, H-Law, which offers a con- venient forum for, among other matters, discussion of the scholarship on display in the Review. Readers will also find the address of the Review's own web page displayed on the issue's contents page. Christopher Tomlins American Bar Foundation Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000011615 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000011615 https://www.cambridge.org/core 
work_5mklkx74kfbjnmlnuv476crjke	----	INVITED DISCOURSES at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core ASTRONOMY IN ANCIENT GREECE Michael Hoskin University of Cambridge Abstract: Science has spread from western Europe where it developed into recognisably-modern form in the seventeenth century, stimulated by Copernicus's claim that the Earth is a planet. Copernicus however was an astronomer in the Greek tradition, whose task was to reproduce the planetary paths by geometrical constructions using uniform circular motions. Eudoxus's attempt to do this with nests of concentric spheres had been superseded by the use of the more flexible techniques necessary to meet the observational standards of the Hellenistic era. Ptolemy's Almagest synthesised the Greek achievement but its shortcomings led Copernicus to make the Earth a planet. Our purpose this evening is to travel back in time for two thousand years and more, and to try to enter the minds of those men of the period who worked to understand the heavens and to explain and predict the motions of the stars and planets, and who communicated their conclusions to their fellow-men in the Greek language. And I shall outline reasons why their achievement was of decisive importance, not only for the history of astronomy but for the development of modern science as we know it. First, some general comments by way of orientation. Those like myself who spent most of their school years studying Latin and Greek were encouraged to think that Greek culture came to an end with the death of Alexander the Great in 323 BC and that of Aristotle the follow- ing year. But by then Greek astronomy was still in its infancy, and Claudius Ptolemy, the dominating figure in our story, died around 170 AD, some five centuries later. That is to say, major astronomers wrote in Greek for at least five hundred years after the decline of Athenian culture, and for our purpose the years after Christ are as important as those before. Nor, for the most part, was astronomy written on the main land of what is now Greece. Of where the great astronomers lived and worked we know extraordinarily little, but the places mentioned are mostly in 3 Richard M. West (ed.j. Highlights of Astronomy, Vol. 6,3-14. Copyright © 1983 by the IAU. at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core H - CO 3 o r t O H H - 0 0 H - 3 CO 1— ' a o o c 3 fD 3 r t CO O O 3 r t fD 3 1 3 0 i- i to i- i •< i S3 H - r t 3 * r t 3 * fD So C r t c r 0 i- i <* c r c r t r> o -a H - fD cn o H i CO O P l- i o fD 3 S " r t fD i- i H - (U 1— ' • S3 H - r t 3 * H i n> S3 fD * O fD 1 3 r t H - O 3 cn V ?3 3 * fu r t s: fD 3 * (U < fD O H i O i- i fD fD ? r p i CO r t i- i O 3 o 3 ^ i- i (D O O i- i D - CO r t 3 " P> r t S3 fD 3 - (B <! fD • H P* (D H fD SB i- i fD CO fD < fD l- i (1 1 H 1 l- i fD CD CO o 3 CO H i o l- i r t 3 * H - cn cn o (B l- i o H - r t ^ O H i 3 * (B cn o 0 3 fD cn r t C a *< ! 0 H i C u > O tf p r t O C CD v ( B 3 C u S3 fD s c cn r t 9 p i N 4 fD r t 3 * ro 3 o CO r t O 3 r t H - ,n P H - r t ^ - rt 3 * fD cn H - r t C (B r t H - O 3 H - CO r t 3 * fD < fD l- i ^ 0 T J H i X ) r t 3 * fD H i i- i SB 0 0 3 fD 3 r t (B i- i >< J O CO H " r t fD • < fD l- l ^ 1— ' H - r t r t H 1 (D (B 3 O u r t 3 * fD i- i fD r t O H - I— 1 h -1 c cn r t i- i So r t fD 3 " H - cn 0 0 fD 3 fD i- i (B I— 1 r t 3 * fD O l- i ^ • O < fD i- i « 3 " fD H 1 3 H » 3 0 0 H - 3 3 C 3 c r fD i- i V (B 3 C u r t 3 " fD 3 - H - CO r t O i- i H - B » 3 CO H - 3 W 0 0 c r t S3 3 * fD 3 S fD r t C i- i 3 r t O r t P 1 fD 1— ' fD CO o C r t (B 3 H - 3 o H - (X ro 3 r t 3 " fD l- i fD 1 3 O CO cn H - c r i— • fD • M < (D 3 CO o y H - 3 r t P * fD 3 0 fa - ro rt 3 1 3 ro i- i H - o C u r t C T ro CO c l- i <l H - < H - 3 0 0 l- i ro n o i- i cu CO (B l- i fD o H i ten 3 SB C u fD CO fD 3 CO ro o H i r t p ro CO c l- i < H - < H - P 0 0 l- i ro o o i- i cu CO r t P * fD 3 P * ro p * (B CO C u O P ro fu M i— • r t P * (B r t H - CO ro < n> 3 r t CO O H i S3 3 * H - n 3 " P o l- i fD O o i- i C u CO CO P i- i 0 H - < ro V (B P C u p * ro 3 P CO r t (B O O fD 1 3 r t r t P * (B r t S3 P * ro 3 C T fD 3 * (B C O H i 1 3 O i- i c r i- i (D (B ? r H i (B cn r t r t O I- 1 (B O fD | 1 S3 H - I- 1 1— ' (B P C u V ! 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Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core ASTRONOMY IN ANCIENT GREECE 5 copies of copies, laboriously and expensively made, and perhaps involv- ing one or even several translators. In most cases a work was never widely in demand, or if it was then the demand fell off with time, so that no copy has come down to us and the work is lost. This can apply even to works of the first importance, if their content is assimilated into a later and even more successful work. For then there is no longer any purpose in the potential reader's paying good money to recopy the earlier work, which therefore vanishes. This happened in Greek mathematics when Euclid's Elements synthesised the achievements of his mathematical predecessors: the writings of these predecessors thereupon vanished. But the historian of mathematics is lucky, in that Euclid wrote about 300 BC, when some of the greatest mathematicians of Antiquity were still to come. Ptolemy wrote his Almagest in the middle of the second century AD; he drew extensively on the work of his great predecessor Hipparchus, and so of the writings of Hipparchus we possess only one minor example. The very success of Ptolemy as a synthesiser, coming at the end of the high period of Greek astronomy, brought about the destruction of the works of even his greatest predecessors; and this apparent dearth of predecessors in turn enhanced Ptolemy's own stature in the eyes of later civilisations. With these preliminaries, let us quickly travel back in time from the present, beginning with a word about science and scientists in the modern world. We have at this General Assembly astronomers from every nation on earth, sharing in a common enterprise. There is world-wide agreement about what it is to be a scientist — what a scientist does, the questions he asks, the kind of answer that is acceptable, and the methods for arriving at such an answer and communicating it to other scientists. These agreements are inculcated in our education, and enforced by appointments committees to posts for teaching or research, by referees who control access to scientific journals, and by the electors to membership of scientific societies. Today this agreement is worldwide. But if we travel back in time to the year 1700, say, we find modern science only in western Europe. In England and France there are major scientific societies — the Royal Society and the Academie des Sciences — and scientific journals; scientific teaching posts in universities, and research institutions such as the Greenwich and Paris Observatories. Most important of all, there is the Principia of Isaac Newton which the eighteenth century would take as a model of a mature science. But the rest of the world has yet to learn from western Europe what science is. If we go back another hundred years, to 1600, we find no major scientific societies, no scientific journals, and only here and there a post where an astronomer or mathematician might make a career. But two men are at work whose achievements would set physical science on the path to Newton's Principia. Galileo would soon use the telescope to extend the range of the human senses, something no Greek would have envisaged, and he would become the first human being to see mountains on the Moon, and phases of Venus, the satellites of Jupiter, and so forth. Armed with this evidence against the old world-picture of at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core 6 M. HOSKIN Aristotle and Ptolemy, he became a militant Copernican and set himself to create a physics in which it made sense for the Earth to be in motion about the Sun while we passengers on Earth are totally unaware of it. Kepler was a convinced Copernican from his youth, and he would soon use the accurate observations of Tycho Brahe to develope a profoundly new, dynamical astronomy within which each planet would orbit the Sun in a single curve, the ellipse studied by the mathematicians of Antiquity. In the work of Galileo and Kepler we find powerful new elements marking a fundamental advance beyond anything present in Copernicus only a few decades earlier. Copernicus's De revolutionibus (1543) is thoroughly Greek in spirit and method; it is very obviously modelled in layout on Ptolemy's Almagest, addressing the same problems and offering the same kind of answer by means of similar techniques. Indeed, in some ways it was more faithful to the totality of Greek natural philosophy and astronomy than was Ptolemy's Almagest. Copernicus was not the first of the moderns but the last of the medievals, and last of the astronomers in the Greek tradition; yet his claim that the Earth is a planet convinced both Kepler and Galileo and helped spark off the Scientific Revolution that taught first western Europe and then the whole world what science is. This, in brief, is why Greek astronomy is fundament- ally important in the whole history of science. The basic aim of Copernicus's De revolutionibus is to use combina- tions of uniform circular motions to provide geometrical constructions that would accurately reproduce the observed motion of each planet across the sky. He was, in fact, answering the challenge said to have been thrown down by Plato in the first half of the fourth century BC: "By the assumption of what uniform and orderly motions can the apparent motions of the planets be accounted for?" The assumptions underlying Plato's question are very remarkable indeed. First of all, the universe is assumed to be a cosmos. Today we do not link the astronomical term 'cosmos' with the cosmetics that a lady uses to perfect the beauty and harmony and symmetry of her appear- ance, but the root word is the same. A cosmos is first of all a rational universe, one that the human intellect can penetrate. It is not the domain of the gods with their whims and fancies, their play- things and their enemies, gods whose behaviour a mortal man can neither control nor predict. There can be a science of the universe because the universe is a cosmos. But a cosmos is not merely rational; it has beauty and harmony and symmetry. Copernicus found Ptolemy's treatment of the planets one by one unsatisfactory because there was no perception of the unity of the universe; the result of assembling the various independent bits would be, he said, "monster rather than man". Kepler, in his first publication, believed he had penetrated the mind of the divine geometer who created the universe, when he found that the planet- ary orbits were spaced out on the pattern of a nest of regular solids and spheres. The cosmos had a long and important history, and the conviction on the part of the early Greeks that the universe is a cosmos set the scene for the science of astronomy. at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core ASTRONOMY IN ANCIENT GREECE 7 At the outside of the cosmos was the sphere of the heavens. We are so used to working with spherical geometry that we think it self-evident that the heavens appear spherical to the observer, but a study of other early civilisations shows that this is far from being the case. Curiously, at the other extreme, many people today are convinced that the spherical shape of the Earth is an early modern discovery and that explorers like Christopher Columbus feared they would sail off the edge of a flat Earth. In fact, the spherical shape of the Earth was known to Pythagoreans long before Plato, and in the writings of Plato's pupil, Aristotle, which were so central to medieval education, we have several proofs of this: that the shadow of the Earth during an eclipse of the Moon is always circular in outline, and that the stars are seen differently as we travel north and south. Indeed Aristotle quotes a value for the circumference of the Earth that is too large, but only by a factor of less than two. The Greek sense of symmetry demanded that the spherical Earth be at the centre of the spherical heavens, and there was nothing about the appearances to contradict this. Plato's challenge, therefore, assumed a cosmos that was lawlike, and comprised a spherical Earth at the centre of a spherical heavens. Now the stars goes round us every day, and since the Greeks were the boldest, not to say the most irresponsible of speculative thinkers, a number of early philosophers suggested that the Earth itself might be spinning or otherwise in motion. Since Aristotle's method of exposition is to give the views of others before giving his own, he sets out these theories, thereby ensuring that every medieval and Renaissance student of astronomy considered them too. But Aristotle, like other Greek writers, has one especially decisive argument against the motion of the Earth; and although it is not the custom in Invited Discourses to perform experiments, I would like to reproduce the Aristotelian test, and prove to you experimentally that the Earth is indeed at rest. I take this heavy stone, and I throw it straight up in the air. You will see that it falls back into my hand, and this proves that my hand did not move during the time that the stone was rising and falling. If the Earth had been in motion, and I and my hand with it, then my hand would have moved on in the second or two that it took the stone to rise and fall back again to the place from which it had been thrown. Instead, when it arrived back again, there was my hand, ready to catch it. To quote Aristotle: "heavy bodies forcibly thrown quite straight upward return to the point from which they started" (De caelo, 296b). (It goes without saying that post-Newtonian science provides a theoretical frame- work within which the experiment by no means proves that the Earth is at rest. Modern theory benefits from the heroic efforts of Galileo and others to make dynamical sense of Copernicus's claim. But as historians we have to see the experiment through Greek eyes, and interpret it within the context of their theory, not ours. Within that context, the experi- ment decisively proves the Earth is at rest.) Aristotle, even more than Plato, emphasises for us the contrast between Earth and heavens. On Earth there is coming to be and passing away, life and death, and this is reflected in the fact that natural at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core 8 M. HOSKIN movements (a stone in falling, smoke in rising) take place in a straight line, towards or away from the centre of the Earth, which is also the centre of the universe. And such movements are temporary: the stone stops falling when it has fallen as far as it can. By contrast, in the heavens everything is eternal, stars never appear or disappear, and this is expressed in their movements, regular uniform cyclic movements that of their nature continue endlessly without change. Mainstream Greek astronomy, then, accepted a spherical Earth at rest in the centre of a spherical sky, with almost all the stars rotating daily about the Earth with a common and unchanging cyclic motion. Almost all the stars, but not quite all. Seven stars seemed irregular, whimsical, lawless in their movements: namely, the Sun, the Moon, Mercury, Venus, Mars, Jupiter and Saturn. These were the 'wandering stars', in Greek planetes, 'planet'. These seven planets seemed exceptions to the otherwise regular and lawlike cosmos. Plato's challenge was to show that the seven wanderers are not true exceptions but are equally lawlike and geometrical and regular in their motions - in other words, that the regularity is there, though it is more complex than with the fixed stars. What kind of answer is Plato prepared to accept? The "uniform and orderly motions" he requires must in fact be combinations of uniform circular motions. Just as some recent cosmologists have insisted that a theory of the history of the universe must be without any special moment in time, because this is the way things must be, so Greek geometers and astronomers had a profound conviction that the heavens move with uniform circular motions: the cosmos simply is that kind of realm, and eternal, unchanging circular motions are the only motions so fundamental, so basic that of them no further questions can be asked. The challenge posed by Plato shows a mature attitude to astronomy as an intellectual enquiry: an apparent anomaly in an otherwise satisfactory theory is- to be resolved along agreed lines. The solution proposed by Plato's contemporary, the great mathematician Eudoxus, and preserved for us by Aristotle, is a brilliant mathematical tour de force; in that, although proceeding along what we know to be quite the wrong lines, Eudoxus generates the observed movements of each planet in qualitative outline by means of an elegant and simple geometrical construction. Each of the seven planets is thought of as attached to the equator of a sphere centred on the Earth and spinning about its poles with a uniform angular velocity. These poles are thought of as attached to a second sphere, outside the first and concentric with it, and spinning about different poles with a uniform angular velocity. The motion of the planet will of course be compounded from the motions of the two spheres. Outside the seoond sphere is a third, again centred on the Earth. The poles round which the second sphere spins are attached to the third sphere, which spins about yet another axis, and again with a uniform angular velocity. This completes the geometrical model for the Sun and at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. 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CO • fi u CU 4-1 4-1 CO a M (0 r-4 • M E • M en CO C O Es o 1 -1 1 -1 o C M X I C J • M X I & C 3 C O CU X I 4-1 C M O 4-1 CO X 4-1 C C O > s X 1-4 C U > CU <u C J fi o X I c 3 o u c o o X 4-1 O CO C U u o E X I C J 3 E •» • -I i— i cu £ r j |3 O X 5 CO en • i-l r> &> E o fi 0 i-i 4 -1 CO cO fi • H 4-J o c C M •i-H A >̂ w 4 -1 C U E o C U C O c • H C O 3 X o T 3 3 W 14-1 o CU C J c CO • M i-H i— l •i-l 1-1 X i cu X 4-1 4-1 3 P Q C O C U 1-1 cu X I ex CO C U X 4-1 C M o 4-1 en o E l-i cu 4 J 3 0 cu X 4-1 *> c • H CO c • M ex en >-. i— i • M C O ••a C U X 4J C O CU C J 3 -a 0 u ex C U 1-1 •— V 4-J cu fi CO & 0 i - H < • en 4-J CU a CO r-l ex u CU X 4-1 O C U X 4-J M O C M en i— t C U -a o e en • M X C • M ex X I o CO CU u o C H l-l 3 O U -l <U M CO C U u cu X 4-1 Es o C X I C J • M X 3 4-i O •— ' C U X 4J 6 0 C 0 i-4 CO 4-1 C U c CO r H ex CU X I 4-1 CO C U • M U U CO C J CU 1-4 C U X ex CO 4-1 X cu c cu X I 4-1 C U 1— 1 • M X I Es A f^ ^ CO cu I-l • H 4-1 c CU C U X I 4-1 C M O C U x: 4-1 C U C J 3 T 3 O 1-1 ex C U u 0 4-1 en •i-4 en cu l-i cu x; ex CO 0 13 4-1 1-1 cu X I 4-1 o CU X 4-1 C 4-4 0 X I O • i - l C U X * H • C J • H 4-1 ex • H i— l C J CU C U X r-l • C U E cO C l-i • M C U X 4-1 CO 1-1 CO 4-J en 6 0 fi- • M 1-1 CU T 3 C C O Es cu X I 4-1 • 3 CU fi 1-1 CO CU • 3 cO X I 4-1 CO X I 4-1 CO C U X I H • o 6 0 cO >% l-i 3 4-1 c cu C J cO C CO X 4-1 C O CO CU i-H X I CU M C U > 0 o cu 1-1 en CO Es en • H X 4-1 6 0 C • H X a cO cu o 4-1 >. i— i 4-1 X I 6 0 • H r-l CO X I C U C • M r-l C J C • M C U u C O fi • M ex C D en C U u cu X I ex en O E* 4 -1 CU P -.X I i— l 1-1 cu e X T 3 0 o i— i cu X I CO 1-1 6 0 O l-i 4-1 cu I-I G 3 CO C J • H 4-1 CO E cu X 4-J CO E 4-1 X CJ • H X I Es 4-1 3 o X CO CO CU X cO U cO i— l 3 60 C C O C U 4-J • M CO 0 ex ex 0 X I C C O i-H CO 3 • 4-1 0 1 fi cO r-l ex C U X i 4-1 C M o X I o • M S -l C U ex C J • M X ) 0 C >> CO CU trx ; 0 1 X I 4-1 • H Es cu 4-1 CO 4-1 O S -i CO C U S -i cu X I ex en O Es 4-1 C U X i 4 -1 X I C cO A S -l cu X 4-1 O 4-1 c • H c 0 • H 4-1 CO 4-> O u Ol c o 60 c • H 4-1 C U i-H & C M o X I C •i-l <̂5 cO en • M CO C o • H 4 -1 o E o Es 4-1 0 1 CO CU X 4-1 r - . X X I C U C J 3 X I 0 S -l ex CU > S -l 3 CJ cu X I 4 -1 4-1 CO E X I 0 C J r. en cu • M 4-1 • H C J O i— l <U > 4-1 4 -1 3 o en fi l-i 3 4-1 4-1 M O 4 -1 4-1 c cu 6 0 C C O 4-1 u C U X I c • M r-l >» C J cfl X ) C CO CU r4 CU X i #• S -i C U 4-1 • M 0 1 X 4-1 6 0 C O e x i-i 3 i-> S -l o C M CO C U S -l C U X ex CO S -l 3 o 4 -4 CU e xx en CO C M O fi o •r4 4-1 U O J CO S -l 0 ) 4-1 c • H CU X 4-1 «t 4-1 X 60 • H CU 1 C M 0 | CU M 3 60 • H U -l 4-1 n 4-1 r-l 3 CO cu S -l CO en < • 4-1 C •i-4 O ex cu fi o 4-J cO CU S -l 0 ) X I ex en cu X 4-1 cO C o • H 4-1 o E C O 4-1 • H X ) c CO 4-1 0 1 G CO i— l a CU X 4-1 C M O G o • H 4-1 Q E 4-1 CU C cO i-4 ex cu X I 4 -1 CO C U > • M 6 0 4-1 CO X 4-1 4-1 X I 6 0 • M C U | C M O 1 C U S -l 3 60 • M C M U CO i-4 3 60 O ) 1-4 CO t-.X I r-l • H CO X I CU X i 4-1 CU C J 3 X I o S -l ex cu M n 4-1 • M Es X I C U X I c 3 o o 4-1 3! E • H 4 -1 E o u 4 -4 C U X J CO S -l 6 0 0 S-l 4-1 0 1 S-4 o 4-1 4-1 • M 6 0 fi • H C O 3 CO C J CO CO i-4 i-H CU Es CO CO C U X J 3 4-1 • M 4-1 CO C X r-l E o C J C J • M 4-1 ex • H > -, r H CO en C J C U c • M c o • H 4-J O E cO S -i cu X I 4-1 o cu X I 4 -1 S -l o C M X I C J CO 0 ) S -l 3 o 4 -1 *. fi o o g X ) fi C O c 3 C O cu X I 4-1 S -l o 4 -1 en 0 1 S -l 0 1 X I C X C O cu cu S -l X i 4-1 X 4-1 • 1-1 3 • cu E • H 4-1 C M o i-4 CO 4-1 o 4-1 CO X I C U X I cu C U c CO 3 X o X I 3 w A en S-4 C O 4-1 en X I C U X • M C M cu X 4-1 S -l o 4 -1 C U c o X ) fi CO ». C O 4-1 0 ) c CO 1— 1 cu X 4-1 X I 0 ) 4-1 C J cu r-l 4 -1 0 1 S -i >> i-H ex E • H en 4-1 X 60 • H cu G CO X 4-1 S -l C U s CU 4 -4 o G A 0 ) CO C U X 4-1 4 -1 o X ) c CO • »» C O 0 1 S -l 0 ) X I ex en r*- ex C M cu > •i-4 C M >, r H c o • X I 4 -1 S -l cO w CU X 4-J 4 -1 o c • H C X en ^ 1— 1 • H CO X I 1 -4 0 ) X ) o E 1 -1 CO C J • M u 4-1 0 ) E o 0 1 6 0 CO *. >. u o 4-1 en • M X fi •r-4 0 1 e •r-4 4-1 4-1 en S -l •r-4 4 -1 C U X I 4-1 S-4 o C M •V CU > C O X 01 Es cu S -l cu M r-l r-l CO S -i o C M CO 4-1 C U c CO 1 -1 C X cu X I 4-1 C H o en c o • H 4-1 o E cu X 4-1 CU C J 3 X I o S -i en •r-4 X I r-4 S -i o Es C U X I 4-1 4 -1 CO X 4-1 e S-l • H C M fi o CJ •• cu CO u 3 o o 4 -1 0 •\ ts X i C U S -l C U e xx CU S -i C U r-4 C X •r-4 C J c • H S-4 C X c •r4 X I r-l 3 o C J X I C J • H X I E* 4-1 X ) G CO 1 1 C U S -i 3 4 -1 3 C M cu X 4-1 c • H 0 1 E • M 4-1 r-l cO o •r4 4-1 CO E CU X 4-1 CO E cu X 4-1 X I O ) en en cu S -l ex X CU S J 0 1 4-1 2 B o 0 1 6 0 0 1 X I 4-1 en 3 X o X ) 3 pa • en o E CO o C J cu ^ • M r— 1 Es CO r— I CO X I 0 1 cu X I c • M CU X X ) 4-1 • M CO x i X 4 J cu X I O en >% 4-1 » • H r-4 r— 1 CO • M 0 1 X I U C O X ) ^ O r-l 1-4 r-4 ex co C J r-l - H r— i en CO i> . X i fi CX r-l en CO • e n 4 -1 4-1 O C U fi 4 J CO X I r-4 6 0 C X 3 o 0 ) X I X i 4 J 4-1 cu 4 -4 X o o en 4-J fi O en •r-l CU J J S -i o cu B x i ex C U en X I 4-1 CU en 6 0 C U C X I • M 4 -1 c S-l X I 0) fi > CU O 4-1 6 0 C • M en E $ 4-1 CO O r H . fi • en c cu > CO cu X I C U X 4-1 4 H o 01 S H 3 4-1 C J 3 S H 4-1 en r-4 cO • H S H C U 4-1 s E CU X 4-1 4-1 3 o X CO 6 0 c • H C O • M S H o cu X I 4-1 4-J o fi en CO Es >, r— 1 r H CO C J •r4 en > > X I C X CO cu u cu X I C X en 4 H o 4-1 C O cu fi X I C J CO C U 6 0 c • H r * CO E r. en •rH X 4J 0 X I 0 4-1 c 0 0 CO C O 9 Es C U r— 1 4-J 0 4-1 CO •rH S H < C U c o c cu 0 1 Es 4-1 C U X i en CU !H 0 1 X ex CO r 4-1 3 o 1 6 0 fi • M r H r H cu C J c CO o r. rH cfl c 0 •iH 4 J • H X ) X I C O 6 0 c •rH C J 3 X ) 0 S H 4 -1 c •rH X I c CO r— 1 CO cu SH g o X ) X ) cu 4-1 4-J • H s CO c CO S H 4 J C U X 4-> o c X ) r— 1 3 o Es CO fi o • M 4-1 o E X ) C U 4-1 c CO £ c 3 4-J cfl X 4-1 o en 4-1 X C U c CU X I 4-1 X I G CO 4-1 CO 0 1 G C O 0 1 S H cu X CX CO a • H S H 4-1 G C U C J c o C J C U en C U X I 4-J «l SH C U X I • • en o E CO o C J C U X 4-1 C M o G o • H 4-J cfl G cfl r-H C X X C U 0 1 exx: o CO o r H •rH X CX r— 1 CO SH 3 4-1 cfl G cu X I 4-1 o H • E cu 4-1 en 4 -1 SH o 4 H en •rH CO cfl X i cfl C O CO C U > •rH 4 J a cfl S H 4 -1 4-1 cfl >> > ^ r H CO C U X 4-1 X I 6 0 3 o M X I 4-1 X I G 3 0 C M o S H C X cu SH 0 1 Es s>» r-H S H cfl 0 1 r-H C J cu Es CO C O <*v X 4J SH cfl w . r H CO S H 4-1 c cu C J C U X I 4-1 4 J 3 0 X C fl r S r— 1 E S H o 4 H • H c 3 60 c • H G G • H S H cu X I 4-1 S H 3 4 H X I 0 1 X ) 0 1 C U fi i>. r-H X ) S H cO X i * c • H ex CO 0 4-J CO S -i cfl 4-1 en X I CU X •rH C M cu X I 4-1 4 H o 0 1 V 4 cu X CX en C U exx; C O en 0 ) S J CU X 4-1 O l > S H cu CO ex x CO o C M o M CO cu S H cu X 4-1 J3 4-1 •rH Es 0 1 X I 3 s en s s CU CO SH cu > •rH c 3 cfl X i C J 3 C O > . 4-1 c Q E u cfl X I c • H >, cu X I 4-1 0 1 S H S! Es >. r-H X I C J 3 SH 4 -1 CO fi o C J o 4 -1 4-1 & B cu 4-J 4 -1 cfl 4-1 en C O 6 0 r-H 3 o u o X I 4-1 o C O «A c o •r-l J J cO c cfl r-H C X X cu cfl #» X I 0 1 0 1 X I c M • :*. 6 0 o r-H o E en o o at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. 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Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core ASTRONOMY IN ANCIENT GREECE 11 uniform angular velocity, but where the centre of the circle is no longer the Earth itself (which is therefore 'eccentric'). This obviously would allow the planet to vary in distance from the Earth. Secondly, Apollonius proposed to allow the planet to move uniformly on a little circle (or 'epicycle'), whose centre moved uniformly on a large circle centred on the Earth. Here, of course, Greek astronomy hit upon a most promising line of development. For Venus, say, orbits the Sun in an ellipse that is not far from being a true circle, and the Sun appears to orbit the Earth in an ellipse that is not far from being a true circle; so that the orbit of Venus viewed from Earth is indeed epicyclic to the first approximation. In the short term, however, it was the Sun and Moon that were to be treated with the new mathematical tools. Hipparchus of Rhodes, who lived in the second century before Christ, was the first Greek to be both a careful observer and a competent mathematical astronomer. He compiled a catalogue of over eight hundred stars, and Pliny tells us this was because Hipparchus believed a new star had appeared but he had no existing catalogue by which to prove its novelty. He is said to have discovered the precession of the equinoxes. In order to facilitate the determination of the difference in geographical longitudes between two places, he prepared a table of eclipses for the next six hundred years, so that observers in each place would be ready to record the local time at which the eclipse occurred and so determine the time difference between the two places. And he used the tools of Apollonius in order to construct the first reasonably satisfactory geometrical models for the motions of the Sun and Moon. Apart from one short work, all the writings of Hipparchus have been lost — except, that is, for those which have been assimilated into and developed in the work of Ptolemy. Ptolemy, writing in the middle of the second century after Christ, compiled in his Megale Syntaxis an elaborate treatment of all the planets, a treatment that Copernicus himself admits could be amended to generate acceptably accurate planetary tables. The Almagest, as we know it, rendered all previous works in the field obsolete, causing them to vanish, leaving the Almagest appearing all the more astonishing an achievement for the absence of visible predecessors. Of what had happened in astronomy in the interim we know little. In his lunar theory Ptolemy bases himself on Hipparchus, but he finds that the earlier theory cannot account for evection which Ptolemy discovered from observations. Ptolemy's own theory of the Moon is too elaborate to discuss here, but if taken at face value it would involve the Moon vary- ing its distance from the Earth by a factor of two, with of course a similar variation in its apparent radius. Obviously this does not happen in reality, and so we see here the over-riding concern of the practising astrologer (Ptolemy is the author of an elaborate textbook of astrology) for the position of the Moon against the background of the stars. It was no doubt because of his pressing practical need for a geometrical machinery that would quickly and accurately compute planetary at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core 12 M. HOSKIN positions, that Ptolemy allowed himself to depart from the philosophers' rule that only uniform circular motions can occur in the heavens. If we take advantage of hindsight we can understand why the Ptolemaic device termed the 'equant' was so economical. Consider Kepler's laws that tell us that the Earth moves in an elliptical orbit around the Sun, with the Sun at one focus of the ellipse, and that the radius vector from the Sun to the Earth traces out equal areas in equal times. As far as the observational appearances go we can interchange the Sun and the Earth, and think of the Sun moving round the Earth in an ellipse with the Earth at a focus, the radius vector tracing out equal areas in equal times as before. Now consider the view from the empty focus of the ellipse. When the Sun in its orbit is near the empty focus, its linear velocity is least, but for an observer at the empty focus this is compensated for by the nearness of the Sun. Conversely, when the Sun is nearest to the Earth in its orbit, its linear velocity is greatest, but for the observer at the empty focus this is compensated for by the greater distance of the Sun. To sum up, the passage of the Sun across the sky will appear to an observer at the empty focus to be very close to uniform angular velocity. How the fact that the true orbit of the Sun around the Earth is an ellipse rather than a circle is of secondary importance; it is the variations in speed that are more obvious. And so we conclude that we can approximate well to the observed motion of the Sun across the sky if we consider the Sun to be moving on a circle whose centre is someway from the Earth, and to be moving with such a varying speed that when viewed from a point equidistant at the other side of the centre of the circle, the Sun appears to be moving with uniform angular velocity. Such a point is an equant point, and we note that (i) this requires the Sun to move with variable velocity, contrary to the prescriptions of the philosophers, and (ii) thanks to Kepler, we can see why this device was useful. By using it as one of his permitted mathematical tools, Ptolemy achieved his practical aim of facilitating the calculation of planetary tables; but he created a gulf between the philosophers, or cosmologists, and the mathematical astronomers. The philosophers were less than happy with circles and circular motions that were not centred on the Earth; with non-uniform motions introduced by Ptolemy, it was clear beyond doubt that the real cosmos was not to be found in the work of the mathematical astronomers. The unease at this must have been felt by every student in the late medieval universities, and it is a source of pride to Copernicus that he has succeeded in developing accurate and economical geometrical models without the device of the equant. Ptolemy's achievement in creating for each planet a geometrical model that enabled its position to be computed with accuracy for centuries to come was extraordinary. But in the Almagest there is no unified system. There are common techniques, of course, and a period of one year keeps cropping up, to arouse the curiosity of later medieval astronomers, but there is no integrated system and certainly no physical model of the heavens. This Ptolemy provided in a late work, the Planetary Hypotheses, that was unknown to Copernicus and his at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core ASTRONOMY IN ANCIENT GREECE 13 contemporaries. Here we are indeed given a physical model of the universe, in which the epicycles are like ball bearings running in grooves. Ptolemy adopts a particular order for the planets (Moon, Mercury, Venus, Sun, Mars, Jupiter, Saturn, fixed stars), and he assumes that at every height from the Earth it is possible to have one and only one planet. That is to say, the maximum height of the Moon above the Earth equals the minimum height of Mercury, the maximum height of Mercury equals the minimum height of Venus, and so on. To calibrate this system Ptolemy needs the distance of the Moon from the Earth. Several earlier writers had tackled this problem, and from Aristarchus in the third century BC we possess a mathematical treatise showing how it might be solved. Aristarchus's method involved measuring the angle Moon-Earth-Sun when the Moon is at quadrature, that is, when the angle Sun-Moon-Earth is known to be right angle. The observation gives him the shape of the triangle and so the relative distances from Earth of the Sun and the Moon; and further information about the apparent diameters of the Sun and Moon and about the width of the Earth's shadow as compared to the diameter of the Moon gives him the distances of the Sun and Moon as multiples of the Earth's diameter. This was a brilliant demonstration of the ability of mathematics to master cosmic dimensions, but hardly the technique of a practising astronomer. In the Almagest Ptolemy uses parallax observations to derive the distance of the Moon, and from this he calibrates the planetary system set out in the Planetary Hypotheses. By an extraordinary coincidence, the distance of the Sun then turns out to be close to that he derives by a totally independent method in the Almagest, which does nothing to diminish Ptolemy's confidence in the validity of his system. The fixed stars prove to lie at some twenty thousand Earth radii, or well over one hundred million kilometres, so that the Ptolemaic universe is not small. For fourteen hundred years, Ptolemy's Almagest was without rival, until the invention of printing in the fifteenth century gave a boost to the study of technical astronomy. Copernicus, working the early sixteenth century, saw in the Almagest an extraordinary mathematical achievement that was capable of revision to an acceptable standard of accuracy, but was nevertheless defective in important ways. In particular, it treated each planet independently and on an ad hoc basis, giving the same period of one year to Sun, Venus and Mercury, and leaving even the very order of the planets open to argument. He realised that if the Earth is considered a typical planet, and the other planets are observed from this moving platform, then the true periods of the planets and their distances from the Sun can be established and these two sets of numbers shown to fall into a single harmonious pattern. The division of the planets into those always near the Sun and those not so is no longer surprising and puzzling but actually to be expected. And the curious retrograde motions of the planets, and when and for how long they occur, are all explained, once one accepts that we observe them from a moving platform. All this he shows in Book I of De revolutionibus, and no doubt Plato would have been astonished but delighted with this response to his challenge, with the true harmony of the universe revealed. at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core 14 M. HOSKIN Then, in the remaining books of De revolutionibus, Copernicus shows how the heliocentric approach can be made the basis of a technical astronomy more accurate than Ptolemy's, with numerous epicycles and eccentres but without the illegal equant. De revolutionibus is clearly a mathematical treatment of the apparent motions of the planets in the tradition of the Almagest, though free of some of the defects that had made the Almagest itself unacceptable to the natural philosophers. Unlike its predecessor, it offers a heliocentric cosmology, and even some hints on the physics of the Earth's motion. It is, one might say, as far as Greek astronomy could go. Within two generations came the obsessive search of Tycho Brahe for observational accuracy; the telescope of Galileo, and his theory of uniform motion as a state similar to the state of rest; and the dynamical astronomy of Kepler with its consequent emphasis on the actual orbit of a planet rather than on possible components from which the orbit might be constructed. Between Copernicus and Kepler is a greater intellectual gap than between Ptolemy and Copernicus. Greek astronomy, culminating in Ptolemy and Copernicus, had shown the power of mathematical models in explaining and predicting the motions of the planets, and had indicated in De revolutionibus the need for a new physics in which the motion of the Earth was no longer absurd. Greek astronomy by itself was not a sufficient condition for the development of modern science; but in historical terms it was a necessary one. at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S1539299600004950 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/S1539299600004950 https://www.cambridge.org/core 
work_5qlvn4tp7fcx5hl5zovi4gvm3e	----	‘Columbus's Method of Determining Longitude : An Analytical View’ 444 F O R U M V O L . 49 'Columbus's Method of Determining Longitude: An Analytical View' Arne B. Molander writes i. I N T R O D U C T I O N . The detailed Diario Christopher Columbus recorded during his first voyage lacks any description of his methods for mapping the latitudes and longitudes he had promised to his sovereigns.1 To rationalize a landfall 90 miles south of Columbus's measured latitude, historians have speculated that he relied entirely upon inaccurate dead reckoning navigation to obtain both coordinates, despite considerable opinion from navigation experts that transoceanic pilots then commonly maintained latitude by celestial means.2 On the other hand, navigators and historians agree that lunar distance, a celestial technique for measuring longitude, was not conceived until 1 j 14 — eight years after Columbus's death. However, Amerigo Vespucci recorded a 1499 longitude measurement on the east coast of South America using a lunar conjunction with Mars.3 If Amerigo's controversial claim is true, then his good friend, Columbus, might have actually pioneered the technique in 1492. Strong circumstantial evidence supporting this possibility was published by the author four years ago in a Journal for the History of Discoveries addressed mainly to historians and geographers.4 Keith A. Pickering brought this navigation issue to the attention of appropriate experts in a critique of my article published in the January issue of the Journal of Navigation.5 Unfortunately, Pickering's article contained a number of errors and misinterpretations of fact, some of which may have resulted from my ambiguous presentation. Thus, before responding to Pickering's critique, it would be useful to clarify the lunar longitude method I have postulated for Columbus and his contemporaries. 2. T H E P O S T U L A T E D T E C H N I Q U E . With the possible exception of infrequent occultations, any useful ijth century system for measuring longitude from lunar- planetary conjunctions would have to be based on angle measurements made near the horizon, much as circumpolar stars culminating near the northern horizon were then used to maintain latitude.6 Thus, the optimum lunar conjunctions of Mars, Saturn and Jupiter would have been those which occurred below the horizon (BTH.) These counter- intuitive conjunction locations would have been the most useful to the early explorers because they define horizon geometries unique to the viewing location with the planet usually just a few degrees above the horizon at both moonrise and moonset, either of which was generally visible. (Venus conjunctions may be useful whether they occur above or below the horizon because that planet is usually visible at the horizon.) Accordingly, on average, there should be about 2-j optimum conjunctions of the four visible planets every lunar cycle. Even after adding the infrequently visible Mercury conjunctions, it is reasonable to conclude that the probability of one or more optimum conjunctions occurring within any randomly-selected 24-hour period is about o-i. Pickering missed the point when describing my postulated longitude technique for Columbus as ' one dependent not on measurement of angular distances, but on the timing of lunar-planetary conjunctions'.7 My paper actually pointed out that Columbus could have used either visible or BTH conjunctions, but the latter had the advantage that 'no time measurements are required' .8 , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core NO. 3 FORUM 44S 3. V E S P U C C I ' S C L A I M . On the night of 23 August 1499, Amerigo Vespucci was anchored off the east coast of South America when he made history's first recorded claim for using conjunctions to measure longitude. His estimate that 'the Moon was one degree and several minutes east of Mars '9 at moonrise was impressively accurate if his location was then the Bay of Oyapoc, as can reasonably be inferred from his writings. Fig. 1 shows the Mars horizon geometries he would have observed shortly after this BTH conjunction for a 10-degree grid of Earth locations centred on Oyapoc, where the actual azimuth angle difference measured to the Moon's centre was one degree and seven minutes at moonrise! - 3 - 2 - 1 1 2 3 Planet azimuth angle from moonrise, degrees Fig. 1. Horizon geometries for two BTH conjunctions during Amerigo Vespucci's first voyage. UPPER: Mars position relative to evening moonrise on 23 August 1499 for 10- degree viewing-location grid centred at Oyapac. LOWER: Saturn's relative position at 4 : 4 ^ AM moonrise on 26 May 1 joo for 10-degree grid centred at 2j° N — 900 W. Upon returning to Spain, Vespucci's 18 July 1500 letter to Lorenzo Di Pierfrancesco De'Medici claimed his voyage extended to 90 degrees west longitude.10 His supposedly outrageous claim might actually have been based on a measurement of Saturn's 26 May 1 joo lunar occulation — possibly the most favourable conjunction geometry of the decade. Figure 1 shows Saturn's close proximity at moonrise that morning for a 10- degree grid centred at 2 j° N—900 W. In this case, a simple sketch of the lunar-Saturn geometry could determine longitude to within a degree or so after ephemeris corrections were applied by astronomers who had followed the same event in Spain. (This accuracy would be slightly degraded if Saturn did not become visible until the Moon was a degree or so above the horizon.) The 1502 Cantino Map supports my conjecture by depicting a landmass northwest of Cuba having many place names that match up with modern features of the US coastline extending from the Mississippi Delta to Long Island's Montauk Point." , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core 446 FORUM VOL. 49 Pickering appears to dismiss Vespucci's Mars observation as coincidence while deploring the shortage of' historical context'' 2 supporting use of the Moon for longitude measurement. He ignores Jaime Ferrer, the court cosmographer, whose interest in the Line of Tordesillas longitude led to a 1495 audience with the Queen where he described 'two methods, theoretical and practical, for determining the much-discussed line and showed sincere appreciation of Columbus and his accomplishments'.'3 The ' theoretical' method proposed by this leading cosmographer was probably the well-known use of occasional lunar eclipses, while the ' practical' one might well have advocated the more frequent BTH horizon geometries. 4. C O L U M B U S ' S A I L I N G DATE. In his Appendix II, Pickering purported to show that June was a more favourable sailing date than September for celestial longitude measurements.14 This argument isn't supported by the 26 lunar-planetary conjunctions listed in his table 1 for June through October of 1492. My Fig. 2 shows the optimum 9-16 10-27 OH"19 0 O8-21 o # 8-7 10-16 O7-22 10-22 • # 9 - 1 6 A2-5 9-30- 10-13 8-19T*O7-28O8-26 10- o 6-22 5- r -e es d e g i : e le va tio n a n g le . 1CD A. 1-14 # 9 - 2 4 O 6-28 0 7-10 O 6-13 -15 -10 -5 5 10 Planet azimuth angle from horizon moon, degrees 15 Fig. 2. Optimum horizon geometries predicted by Ephemerides for conjunctions from Pickering's Table 1. Empty circles are for first | ' s of Pickering's five-month interval. Solid circles are for final j when Columbus planned to be in western Atlantic. Solid triangles are predictions for conjunctions he may have utilized on his return voyage. geometries for 22 of these conjunctions relative to the Moon on a darkened horizon. (Pickering's 6—2j Jupiter, 7—23 Mercury and 9—22 Mercury conjunctions, all within eight degrees of the Sun, were probably invisible. His 10-21 Venus conjunction was certainly invisible with the planet then only two degrees from an inferior solar conjunction.) The temporal distribution of these remaining 22 conjunctions supports neither my claim nor Pickering's, because 14 (empty circles) occurred during the first two-thirds (June 1—Sept. 10) of his 1 £3-day interval while eight (solid circles) occurred during the final third (Sept. 11—Oct. 31) when they might have been useful on Columbus's Atlantic crossing. However, several of the 14 resulted from visible conjunctions yielding weaker horizon geometries than BTH. If an acceptance threshold is set at 10 degrees angular separation from the Moon, the counts for the two time intervals are reduced to eleven and eight, respectively, while a more useful eight-degree threshold results in a count of nine and six. Thus, Pickering's own table shows the , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core NO. 3 FORUM 447 density of optimum conjunctions was actually larger during the time-period Columbus selected for an ocean crossing. Two obvious conclusions follow from Fig. 2. First, my assumption of a o-i probability of a BTH conjunction on any given day is a reasonable approximation. Secondly, Pickering's contention that a June transatlantic sailing date would have been preferable to Columbus's September choice is simply not true. j . C O L U M B U S ' S O U T B O U N D V O Y A G E . Now examine Columbus's Diario for evidence of longitude estimates following each conjunction in Pickering's Table i listed between his departure date of 3 August and his landfall on 12 October. Saturn (8—j). The Moon set at 4 : 17 AM on August 7th with Saturn j - j degrees above the horizon and 8 j degrees to its north, following the only lunar-planetary conjunction on the first leg of his journey. Columbus's only position estimate for this leg was delayed 24 hours (possibly to collect estimates from the other ships) until his 8 August entry as: There were among the pilots of the three caravels diverse opinions about where they were, and the Admiral came out nearest the truth.15 Picking confirms that the Ephemerides data were almost error-free on 7 August16, but the weakest horizon geometry of Columbus's entire voyage might have been responsible for his cautious performance claim. Pickering relies on an ambiguous Diario entry to conclude that this 8 August position estimate was actually ' triggered by arrival in the Canaries ',17 but Ferdinand's biography of his father removes all doubt with ' at daybreak on Thursday, August 9th, they came in sight of the Canaries'. Mars (8-19); Jupiter (8-19); Venus (8-26) and Saturn (9~3). As can be seen in Fig. 2, this set of conjunctions was not as favourable as those in the following lunar cycle. However, Columbus could have utilized them to test his method at known longitudes, because none of them occurred during the five days he was shuttling between harbours in the Canaries.19 Jupiter (9—16) and Mars (9—16). When the Moon rose at 2 : 1 2 AM on 17 September, a pair of planets, Mars and Jupiter, stood just above the eastern horizon. Fifty-two hours after that moonrise, Columbus finally recorded the fleet's estimates as: the pilot of the Nina found himself 440 leagues from the Canaries, the pilot of Pinta, 420, and the pilot of the ship in which the Admiral sailed, an even 400.20 Once again, Columbus seems to have delayed recording his position estimate until he had collected corresponding ones from the Nina and Pinta. Venus (9—24). When Venus (at maximum brightness) set at 7:06 PM on 24 September, the Moon was only 4-5 degrees above the western horizon. The following day Columbus's third position fix came to light when he: said to send the said chart to him. And it having been sent over by means of some cord, the Admiral began to plot their position on it with his pilots 21 His unreliable chart must have indicated islands in the vicinity because 2$ September initiated a week of hopeful search for land. The timing of this Diario position entry clearly falls within the 24-hour correlation window. Saturn (9—30). The Moon set at 1:05 AM on 1 October when Saturn was within one degree of the western horizon, and five hours later Columbus recorded yet another correlated position fix as: The Admiral's pilot held at dawn today that they had made up to this point 578 leagues from the island of Hierro But the true account that the Admiral figured and kept to himself was 707.22 , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core 4 4 8 FORUM VOL. 49 In his Table 2, Pickering converts this 707-league estimate into degrees to ' demonstrate' its correspondence with a longitude £0 percent greater than would have been predicted by the Ephemerides.23 Unfortunately, this 'demonstration' is achieved by using an artificial league of 4-22 n.m., jo percent longer than Pickering elsewhere assumes Columbus used to measure distance. His contrived argument conceals a possible influence of Saturn's conjunction on this position estimate. Table 2 also includes an irrelevant 1 £ February longitude estimate obviously triggered by the sighting of land following a terrible storm, rather than derived by dead reckoning or celestial means, which is the question at hand. Pickering goes on to argue that the 3 October entry is an uncorrelated position fix24 excluded from my analysis. Actually, this entry merely terminates his week-long island search, a decision amplified in Fernando's biography with 'he reflected [that day] that he would lose respect and credit for his voyage if he beat aimlessly about from place to place looking for lands whose position he had claimed to know most accurately'.25 Coincidentally, this excerpt from Fernando also validates my assumption that multi-ship position estimates were sometimes delayed when it compares 3 October readings from the Pinta and Nina with the Santa Maria's 1 October reading.26 6. C O L U M B U S ' R E T U R N V O Y A G E . Almost a fortnight after Columbus had lost the Santa Maria to Hispaniola's reefs, he was rejoined by the wayward Pinzon returning the Pinta from an unauthorized two-month excursion to parts unknown. Now, almost ready to return to Spain, the Nina and Pinta sailed eastward for six days along Hispaniola's northern coast, past several fine harbours all opening towards the north. On 12 January 1493 they found anchorage along the north shore of Samana Bay, an excellent vantage point from which to view the eastern horizon when the Moon and Venus rose together at 1 : 21 AM on the 14th. Venus (1—14). If Columbus used this fine horizon geometry (the voyage's best, although i-$ degrees further from the horizon than predicted by the Ephemerides) to estimate his longitude, he would have erred badly in this vital position fix. As luck would have it, the Ephemerides error for that date was the largest of his voyage, as demonstrated in Pickering's Fig. 1,27 If he had corrected for lunar parallax, as ' optimistically ' assumed by Pickering,28 these Ephemerides errors would have generated a longitude 37 degrees east of his actual location! This huge error could account for this surprising Diario entry the following day: And he says that if this is so, these Indies are very near the Canary Islands, and for this reason he believed that they were less than 400 leagues distant.29 While he was then actually 3000 n.m. from Hierro, a longitude computed from the Ephemerides would have reduced his apparent separation to 900 n.m., a reasonable agreement with his Diario entry, given the quality of his charts. It is likely that Columbus was stunned to find such a large discrepancy with his pilotage records from the preceding three months, but he seems to have accepted this erroneous celestial estimate, because he confirmed it the next morning by sailing for home on (an erroneous) course: ...straight to Spain, northeast by east...30 which intersects his 19-degree latitude near his erroneous estimate rather than his true longitude. A third indication that he favoured the erroneous celestial estimate over his pilotage occurred when he reached the Canary Islands latitude. Apparently accepting its indication that the islands were just to his east on 26 January (when they were actually 2000 n.m. away) he altered his north-easterly course after sunrise to steer for 12 hours ...sometimes east-southeast, and sometimes southeast....31 , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core N O . 3 F O R U M 449 This entry tells me he was making a daylight search for Canary Island peaks, rather than taking a close-hauled port tack with the wind East by North. With that assumed wind direction he could have reached home sooner by taking a close-hauled starboard tack to the north-northeast. A fourth, and stronger, indication occurred on 30 January when he interrupted his east-northeast course at Madeira's latitude to sail 'south by east'32 during the twelve search hours provided by daylight. Mars (2—j). At 8 :40 PM on j February, the day after he started sailing eastward along the Azores latitude, Columbus would have seen the waning full Moon rising when Mars was less than two degrees above the eastern horizon. Pickering's Fig. 1 demonstrates the Ephemerides error on this date was about a third of the 14 January error, and of opposite polarity.33 If Columbus had utilized this conjunction to estimate his longitude he would have suddenly shifted his perceived location almost 3000 n.m. westward! This shock might have reverberated throughout the fleet for several days while they tried to resolve the contradictory longitude indications. Thus, it is not surprising that the next day's entry, 6 February, initiated a debate when: Vincente Anes [figured] that today in the morning the island of Flores lay to the north, and that of Madeira, to the east. Roldan said that the island of Fayal or that of San Gregorio lay to the north-northeast and Puerto Santo, to the east.34 This longitude debate seems to have carried over to the next day with: This morning the Admiral [figured that he] was 7 j leagues south of the island of Flores, and the pilot Pero Alonso [figured that] going [i.e. if he went] north he would pass between Terceira and Santa Maria 3 5 I believe the debate continued off and on until 10 February because there had been no celestial or terrestrial triggers since the £th. On that date the position estimates of all the Nina's pilots were specified as: In the Admiral's caravel Vincente Anes and the two pilots, Sancho Ruyz and Pero Alonso Nino, and Roldan charted their position; and all of them, according to their charts, [figured they] were passing much to the east of the islands of the Azores and, steering north, none would encounter the island of Santa Maria, which is the last of all of the islands of the Azores, rather, [they] would be beyond it by five leagues... but the Admiral found himself much off his route, and far behind them, because he figured that tonight the island of Flores lay to the north... So that they were nearer Castile than the Admiral by 1 jo leagues... (when) they see land, it will be known who figured most correctly. Jupiter (2—2J). The Moon set on 27 February at 3 : jo AM with Jupiter visible six degrees above the western horizon. That day's Diario entry includes his only position estimate (following the only conjunction) after the Azores on his final leg. It reads: And he reckoned himself 1 2 j leagues from the Cabo de San Vicente, and 80 from the island of Madeira; and 106 from that of Santa Maria.36 Although this position estimate correlates with the Jupiter conjunction, Columbus probably wouldn't have given the Ephemerides much weight just two days out of Santa Maria in light of the large errors revealed by his recent celestial efforts. 7. F I R S T VOYAGE C O R R E L A T I O N R E S U L T S . Pickering nullifies the many celestial correlations by suggesting that the Diario dates the event recordations, rather than the events themselves. Extending Pickering's argument to the Diario's first entry, he , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core FORUM VOL. 49 would date Columbus' departure from Spain as 2 August rather than the 3 August date celebrated each year in Palos, Spain. While the celestial correlations hold true for any arbitrary shifting of the time axis, they are a lot easier to explain when the position estimates follow the conjunctions within 24 hours. Nine position estimates were recorded in the Diario for: August 8th (multiple ships) 26 hours after a darkened moonset September 19th (multiple ships) j2 hours after a darkened moonrise September 2 jth (single ship) 11 hours after a darkened moonset October 1st (single ship) j hours after a darkened moonset January 15th (single ship?) 30 hours after a darkened moonrise February 6th (single ship) 10 hours after a darkened moonrise February 7th (single ship) 34 hours after a darkened moonrise February 10th (single ship) 106 hours after a darkened moonrise February 27th (single ship) 3 hours after a darkened moonset. For a worst-case analysis, assume all nine Diario position entries are independent. In this case, the joint probability of both multi-ship position estimates falling within any given 7 2-hour window, and four out of seven single-ship estimates within any given 24-hour interval is roughly one in 400. For a better-case analysis, assume the February 7th and 10th entries merely extend the February 6th position debate, thereby reducing the probability to about one in 24000. For a best-case analysis, also elevate the shocking longitude finding of 1 £ January to a multi-ship conference. Then the joint probability that all three multi-ship estimates fall within a 7 2-hour window and all four single-ship estimates within a 24-hour window is reduced to one in 370000. 8. E V I D E N C E F R O M O T H E R V O Y A G E S . In addition to the first voyages of Columbus and Vespucci, two others have enough recorded detail to suggest possible usage of lunar distance techniques: (a) Third Voyage of Columbus. According to Samuel Eliot Morison, the primary purpose of this 1498 voyage was to test whether a great continent lay on the Portuguese side of the Line of Tordesillas.38 On 30 June Columbus departed Boavista's best anchorage in the Cape Verde Islands for Sao Tiago, closer to the Tordesilla's reference line. Early on 4 July he sailed westward from this uncomfortable harbour just 30 hours after a midnight occultation of Jupiter high in the night sky. On 29 July, Jupiter had a near-occultation high in the night sky, and 30 hours later ' Columbus correctly estimated that the fleet lay almost due south of the Caribbee islands'39 Columbus crossed the Atlantic too far to the north, so detection of Brazil's continental bulge would have to wait for Vespucci's voyage a year later. (b) Cabral's Voyage to Brazil. 'According to the treaty [of Tordesillas], they [Spain and Portugal] should have appointed a commission of pilots and navigators to meet at the Cape de Verde Islands, where they would sail in company due west until they found land, or agree that the proper meridian had been reached; in the latter event, they would change course 90 degrees to due south and, where they first made land, would set up a stone pillar. Considering that nobody then had the foggiest notion of how to ascertain longitude, it is probably fortunate for international relations that this voyage never came off.'40 Despite Morison's nay-saying, the Portuguese navigator, Pedro Alvares Cabral, seems to have followed a similar route on his 'discovery' voyage to Brazil in 1 joo. Morison claims Cabral sighted Sao Nicolau (longitude 240 30' W) on 21 or 2 2 March and two days later proceeded due south along this Tordesillas reference line, trying to cross the Equator at that longitude.41 While on this reference meridian he could have observed , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core NO. 3 FORUM a fine BTH conjunction of Jupiter on 27 March with the planet within five degrees of the Moon when it rose at 4 : 30 AM. On 22 April he anchored in the shallows 20 miles from Brazil's coast near 170 S latitude42 (the mirror latitude of Sao Nicolau). The following day he re-anchored on the coast at the same latitude,43 better positioned to measure coastal longitude with Jupiter six degrees above the eastern (unobscured) horizon when the Moon rose at 3 :00 AM that night. 9. C O N C L U S I O N S . Strong circumstantial evidence suggests some form of lunar distance technique was employed by European explorers prior to Werner's supposed development of the method in 1514. This evidence includes: (a) Correlation of Columbus' 1492—93 position estimates with BTH conjunctions, (b) Correlation of Columbus' January 1493 erroneous distance estimate to Canary Islands, erroneous sailing direction to Spain, and otherwise inexplicable course changes with the actual longitude error that would have resulted from his proper use of the erroneous Ephemerides data, (c) Vespucci's accurate description of the Mars azimuth at 1499 moonrise, (d) Coincidence of Vespucci's 1499 longitude claim with mapping of Mississippi Delta on the Cantino Map, (e) Visible occultations at both ends of the 1498 Columbus attempt to measure the Line of Tordesillas, (f) Good BTH conjunctions at both ends of a possible 1 joo Cabral attempt to measure the Line of Tordesillas. Although historians might contribute additional data points for evaluation, most do not have the technical background to evaluate their significance. For example, they know Columbus used an early evening lunar eclipse to scare Jamaica's natives into submission in 1J04. What most don't understand is that Columbus's Ephemerides predicted the eclipse for 1 : 36 AM the following morning in Nuremburg, so he certainly would not have staged his demonstration if he had believed himself more than seven hours west of there. Despite this simple scientific evidence, most Columbus scholars continue to believe he went to his deathbed believing Jamaica to be off the coast of Asia! What is needed now is an objective assessment of the preliminary results I have presented here and in my 1992 paper. Pickering's critique contains some useful data, but its negative assessment depends on: (1) a fictitious league length which conceals distance correlations, (2) distorted Diario interpretations which conceal time correlations, and (3) misinterpretations which conceal the motivation for a September sailing date. The readers of this Journal are well-qualified to assess the validity of my preliminary results. If deemed valid, their next step might be an error analysis defining the actual navigational capabilities of Columbus for historians. REFERENCES 1 Dunn, O. and Kelley, J. E. Jr (1989). The Diario of Christopher Columbus's First Voyage to America, 1492—1493. N o r m a n and London, University of Oklahoma Press, p . 2 1 . 2 Marcus, G. J. (198 1). The Conquest ofthe North Atlantic. N e w York, Oxford University Press, p. 118. 3 Arcienagas, G. (19JJ). Amerigo and the New World. Alfred A. Knopf, New York, p. 192. 4 Molander, A. B. (1992). Columbus and the method of lunar distance. Terrae Incognitae 24, 65-78. , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core F O R U M VOL. 4 9 5 Pickering, K. A. (1996). Columbus's method of determining longitude: an analytic view. This Journal 49, 9$— 111. Tibbetts, G. R. (1971). Arab Navigation in the Indian Ocean before the Coming ojthe Portuguese. The Royal Asiatic Society of Great Britain and Ireland, London, pp. 121-157. 7 Pickering (1996), 9S~9*- 8 Molander (1992), 69. 9 Arciniegas (19JJ). 92. 10 Formisano, L. (1992). Letters from a New World; Amerigo Vespucci's Discovery of America. Marsilio, New York, p. ig. 11 Molander, A. B. (1989). The mystery of the Cantino Map. The Portolan 15, i j - 2 6 . 12 Pickering (1996). 99. 13 Taviani, E. P. (1984). The Voyages of Columbus, The Great Discovery. Translated by Beckwith, M. A. and Farina, L. F. Instituto Geografico De Agostino, Novara, Vol. 1, p. 183. 14 Pickering (1996), 106-108. 15 Dunn and Kelley (1989), 2$. 16 Pickering (1996), Fig. 1, p. 102. " Pickering (1996), 98. 18 Colon, F. (1992). The Life of the Admiral Christopher Columbus by his son, Ferdinand. Translated by K e e n , B. R u t g e r s U n i v e r s i t y P r e s s , N e w B r u n s w i c k , p . 4 6 . 19 C o l o n ( 1 9 9 2 ) , 4 7 - 4 8 - 2 0 D u n n and Kelley ( 1 9 8 9 ) , 3 7 . 21 D u n n and Kelley ( 1 9 8 9 ) , 4 3 . 2 2 D u n n and Kelley ( 1 9 8 9 ) , 4 9 . 2 3 P i c k e r i n g ( 1 9 9 6 ) , 109. 2 4 P i c k e r i n g ( 1 9 9 6 ) , 9 7 . 2 5 C o l o n ( 1 9 9 2 ) , sg. 2 6 Colon (1992), ss- 27 P i c k e r i n g ( 1 9 9 6 ) , 1 0 9 . 28 Pickering (1996), m . 29 D u n n a n d K e l l e y ( 1 9 8 9 ) , 3 4 1 . 30 D u n n a n d K e l l e y ( 1 9 8 9 ) , 3 4 3 . 31 D u n n a n d K e l l e y ( 1 9 8 9 ) , 3 5 3 . 32 D u n n a n d K e l l e y ( 1 9 8 9 ) , i$S- 33 P i c k e r i n g ( 1 9 9 6 ) , 1 0 9 . 34 D u n n a n d K e l l e y ( 1 9 8 9 ) , 3 5 9 . 3 5 D u n n a n d K e l l e y ( 1 9 8 9 ) , 3 5 9 . 36 D u n n a n d K e l l e y ( 1 9 8 9 ) , 3 8 9 . 3 7 Pickering (1996), 99. 38 M o r i s o n , S. E . ( 1 9 4 2 ) . Admiral of the Ocean Sea. L i t t l e , B r o w n a n d C o m p a n y , B o s t o n , p . J ' J - 39 M o r i s o n ( 1 9 4 2 ) , 5 2 8 . 40 Morison, S. E. (1974). The European Discovery of America, The Southern Voyages. Oxford U n i v e r s i t y P r e s s , N e w Y o r k , p . 2 1 7 . 41 M o r i s o n , S. E . ( 1 9 7 4 ) , p . 2 2 2 . 42 M o r i s o n , S. E . ( 1 9 7 4 ) , p . 2 2 3 . 43 M o r i s o n , S. E . ( 1 9 7 4 ) , p . 2 2 3 . KEY WORDS 1. History. 2. Astronomical navigation. , available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300013680 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300013680 https://www.cambridge.org/core 
work_5nmszmutczdgzaoa3s6josly3q	----	The ‘nubians'of East Africa: Muslim club or African “tribe”? The view from within This article was downloaded by: [University of Leeds] On: 15 September 2011, At: 07:30 Publisher: Routledge Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK Institute of Muslim Minority Affairs. Journal Publication details, including instructions for authors and subscription information: http://www.tandfonline.com/loi/cjmm19 The ‘‘nubians'of East Africa: Muslim club or African ““tribe””? The view from within Omari H. Kokole a a Center for Afroamerican and African Studies, University of Michigan, Available online: 20 Mar 2007 To cite this article: Omari H. Kokole (1985): The ‘‘nubians'of East Africa: Muslim club or African ““tribe””? The view from within, Institute of Muslim Minority Affairs. Journal, 6:2, 420-448 To link to this article: http://dx.doi.org/10.1080/13602008508715952 PLEASE SCROLL DOWN FOR ARTICLE Full terms and conditions of use: http://www.tandfonline.com/page/terms-and-conditions This article may be used for research, teaching and private study purposes. Any substantial or systematic reproduction, re-distribution, re-selling, loan, sub-licensing, systematic supply or distribution in any form to anyone is expressly forbidden. The publisher does not give any warranty express or implied or make any representation that the contents will be complete or accurate or up to date. The accuracy of any instructions, formulae and drug doses should be independently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings, demand or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with or arising out of the use of this material. http://www.tandfonline.com/loi/cjmm19 http://dx.doi.org/10.1080/13602008508715952 http://www.tandfonline.com/page/terms-and-conditions The'Nubians'of East Africa: Muslim Club or African "Tribe"? The View From Within Omari H. Kokole Sociologically the Nubians form a fascinating category for scholars to study forming as they do . . . a secondary and expansible social category capable of assimilating Ugandans previously classified under other tribal names.' Michael Twaddle Introduction Between January 25,1971 and April 11,1979 many Ugandans and much of the rest of the world innocently believed that Uganda was, by and large, under the ruthless rule of an alien, Southern Sudanese derived "tribe" called the "Nubi" or "Nubians," whose language was "ki-Nubi" (or "Lu-Nubi" as the Baganda and other Bantu-speaking Ugandans preferred to call it). This article aims at correcting this popular misconception or ethno-linguistic error especially now that Idi Amin and his fellow "Nubi" are no longer a significant factor in the poli- tics of Uganda and the destiny of that country. The "Nubi," as Bernd Heine has reminded us, must not be confused with the Nubians or the Nuba of the South- ern Sudan and upper Egypt with whom they share hardly more than a similar name.2 These "Nubi" were by no means an exclusively Ugandan phenomenon since many of them also constituted distinct Muslim minorities in Kenya (espe- cially in the Nairobi "shantytown" of Kibera) as well as other parts of Eastern Africa. Our thesis in this paper is that the "Nubi" are Muslim by faith but do not constitute a "tribe" in the usual African sense as was, and still is, widely believed. The evidence presented to support this thesis is cumulative and its interests primarily sociological or ethno-cultural rather than politically evalua- tive of the Amin years in power. Indeed, the literature on the woes and tribula- tions of Uganda ever since attaining independence more than two decades ago is now enormous and wide-ranging.3 The evidence mobilized to support the thesis in this essay consists of the following four inter-related components (a) The "Nubi" as a people without an indigenous language of their own; (b) The "Nubi" as a people without a tribal myth of origin of their own; (c) The "Nubi" as a people without indigenous African names of their own; and finally (d) The "Nubi" as a people without a land, or "hinterland,"4 of their own - these usu- ally being either defining or accompanying characteristics of "tribe" in the Afri- can sense of the term. Unlike Aidan Southall and others we reject the propos- ition that the "Nubi" constitute a "tribe."5 The ''Nubi" as an African People without an Indigenous Language: Virtually all African "tribes" (with probably the single exception of what Ali Mazrui calls the "Afro-Saxons" i.e. Africans or people of African ancestry who 420 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 speak English as their native tongue, e.g. Jamaicans, Sierra Leonean Creoles, Americo-Liberians etc., etc.6) each have a language of their own. Oftentimes these languages are related to other proximate ones, and are collectively given a single broad generic label. In the Ugandan situation, for example, such lan- guages like Lungada, Lusoga, Runyakore/Rukiiga, Runyoro/Rutooro etc. are collectively known as "Bantu" languages. These "Bantu" languages are by no means limited to Uganda since "Bantu" peoples and languages are scattered all over central as well as the bulk of southern Africa. Again, within Uganda there are the so-called "Luo" peoples who include the Langi, Acholi, Alur, Jonam, Japadhola etc. Next door in Kenya are a related 'Luo' people actually called the "Luo" as an ethnic group, whose language is Dholou. There are also some Luo in the north-eastern parts of Tanzania especially around the Lake Victoria area. What is more, there are also some indigenous Luo (Acholi, Langi, Shil- luk, and Anuak etc.) in the Southern Sudan - a fact that is not widely known.7 Idi Amin did have his fellow ethnic compatriots (Kakwa in Sudan) but so does Obote (the Sudanese Langi and Acholi). ;The list of African peoples and their related languages could of course be indefinitely lengthened. However, when one examines closely the case of "Ki-Nubi" or "Lu-Nubi" one finds that it is in a class by itself, partly because it is not related to other indigenous African lan- guages nor is it grouped together with them (e.g. "Bantu" "Nilotic" etc.) although it does borrow some of their words, especially Ki-Swahili words. In this particular sense, "Ki-Nubi" is in "splendid isolation" more comparable as it is in this instance to the Creole or Krio (pidgin derivatives of English and French), spoken in parts of Western Africa and the Caribbean than to native African languages. In fact, a German scholar, Dr. B. Heine has published a book on "Ki-Nubi" as a derivative of the Arabic language. Dr. Heine's book is, significantly enough, entitled, The Nubi language of Kibera - An Arabic Creole* Like David Dalby before him, Heine classifies Ki-Nubi a Semitic lan- guage.9 We suggest that it was precisely the use of this same "Arabic Creole" in Amin's Uganda which led many to conclude that the "Nubi" speakers were all Southern Sudanese Muslims despite the obvious fact that the Southern Sudanese are, by and large, believers in traditional religious tendencies although some of their political leaders and elites are, not Muslim, but indeed Christian. Indeed, had the majority of Southern Sudanese been Muslim, there would have been no seventeen-year long civil war in that massive country bet- ween "Arab North" and "Black South". Over sixty years before the publication of Heine's above-mentioned book, a British soldier. Major Chauncey Hugh Stigand (1877-1919), who served in col- onial Eastern Africa both in military and civilian capacities, including service in the then "Lado enclave" - which now constitutes parts of northwestern Uganda, northeastern Zaire and Southern Sudan - wrote several anthropolog- ical books about the inhabitants of the "enclave". One of Major Stigand's books, published posthumously, was entitled, Equatoria: The Lado Enclave.™ Major Stigand met his death on December 8,1919, at the hands of the insurrec- tionist Aliab section of the Dinka tribe near Kor Raby, a village between the River Lau and the River Nile. In this particular book Major Stigand calls the Arabic of the Sudan "Ki-Nubi" and credits the Swahili with inventing the term. In Major Stigand's own words: Journal Institute of Muslim Minority Affairs 421 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 The Sudanese Arabic, a language called Kinubi (the Nubian ton- gue) by the Swahilis in contradistinction to Kiarabu (Arabic), was introduced by the old Egyptian Government and the Danagla trad- ers, the latter leaving behind them also some Dongolese words, such as "Nyerkuk" for a child, which have passed into local Arabic.11 Part of the explanation of the origins or genesis of the term "Nubi" or "Ki- Nubi" may have to be traced to the fact that in classical Arabic the word for "south" is "Junub" and the "southerners" of a country or particular region are called "Junubiya". For those who have had the opportunity to visit both Uganda (especially Amin's Uganda) and the Southern Sudan (anytime) the similarities between the "Ki-Nubi" of Uganda and the colloquial Arabic of the Southern Sudan (Junubi) are very clear, striking and unmistakable, although of course there are also some slight dialectical variations. A substantial portion of the Ugandan refugees (post-Amin) now languishing in Southern Sudan insist on calling their variety of Arabic "Nubi". The indigeneous Southern Sudanese call it "Arabic" - albeit a variety of Arabic that is distinctively southern partly because of the many local words it has absorbed from such local African lan- guages asBari, Mundari, Pojulu, Kuku, Zande, Kakwa, etc., etc. Sometimes even English words are borrowed. In should also be pointed out that the Arabic spoken in the "real" Arab world proper is not uniform either. An ordinary Tunisian or Moroccan Arab may encounter serious difficulties in trying to communicate with a Saudi or Yemeni Arab unless the two make special efforts to approximate the classical Arabic of the Qur'an. One reason why the Arabic of the eastern part of the Arab world (Egypt and the Arabian peninsula) is called Mashriqi, as distinct from the Arabic (called Maghribi) of the western parts of the Arab world (Algeria, Morocco, Tunisia) is because these two broad varieties of the same language are sufficiently different, even mutually unintelligible sometimes to warrant separate labels. But the Arabic language has been helped by the Qur'an since this Muslim scriptural document has stabilized and standardized the language thus averting the possibility of the language changing too fast and thus disinteg- rating into a whole mosaic of vastly different linguistic "animals". By contrast, African languages, including my own — Kakwa, —partly because they don't have scriptures of their own and therefore little or no mystique to them (not to mention the fact that African languages are simply too numerous) face the danger of changing too rapidly, even 'withering away' altogether. Ki-Swahili, itself heavily influenced in vocabulary, though not in structure by Arabic, including the name of the language itself, "Swahili" derived from the Arabic word "Sawahel" Arabic for "coast," is a Bantu language. The structure of Ki-Swahili is definitely Bantu, though approximately 20% of its vocabulary is derived from Arabic. This particular language may have anywhere up to 20 dialects of its own. For example, the Ki-Swahili spoken by the Wazanzibari (people from Zanzibar) is called "Ki-Unguja", whereas the Ki-Swahili of the old town of Mombasa is called "Ki-Mvita," and "Ki-Ngazijja" is the variety people from the Comoro Islands speak. The language is the same, but it has evolved a multiplicity of varieties, sometimes to the extent of sounding like entirely unrelated tongues. This writer is relatively fluent in both Ki-Swahili 422 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 and "Ki-Nubi" and there is no doubt in his mind that "Ki-Nubi", unlike Ki- Swahili, is not an African language (in structure) although it has evidently bor- rowed many African words from the innumerable languages it has interacted with across the years. On the other hand, Ki-Swahili is a "Bantu" or African language though approximately a quarter of its vocabulary is of Arabic deriva- tion, sometimes of a combined Arabo-Turkish derivation. The entire system of numbers (or numerals) in "Ki-Nubi" has a one-to-one correspondence with that of classical Arabic. The "Ki-Nubi" words for one (wahid), two (ithineni), three (thalatha), four (aruba), five (khamsa), six (sita), seven (sabah), eight (thamania), nine (tisa), ten (ashara) are identical to their Arabic counterparts. There is no single "Ki-Nubi" number of any quantity that is not directly lifted from classical Arabic although the pronunciation may sometimes be somewhat "Africanized". Of the first ten Arabic numerals listed above, Ki-Swahili borrows only three "sita" (for six), "saba" (for seven), "tisa" (for nine) and the rest (seven numbers or 70%) are all Bantu-derived, this perhaps reflects Ki-Swahili's overall marginal (as compared to Ki-Nubi's) inde- btedness to Arabic. No other African language I know anything about is so deeply influenced or is so close (if not necessarily identical) to Arabic as is "Ki- Nubi", especially at the level of the numeral. There are of course other illustra- tions of the "Arab-ness" of, or of the influence of Arabic on "Ki-Nubi" but in this essay we have drawn heavily from the system of numbers partly because it is so telling and in the case of "Ki-Nubi" so comprehensive and so total; and finally partly because one has to be selective in the range of illustrations one can employ within the scope of a single article. One of Idi Amin's earliest and most consistent critics was a British journalist, David Martin. David Martin wrote a lengthy book about Amin entitled Gen- eral Amin (London: Faber, 1974). In enumerating the multiplicity of languages that Idi Amin spoke, Martin cited "Ki-Nubi" though, interestingly enough, without making the common mistake that many of Amin's own national com- patriots often made of calling Idi Amin a "Nubi" by "tribe" or calling "Ki- Nubi," a tribal language as such. In David Martin's own words: Amin's mixed background has given him a smattering of five lan- guages. He speaks some Kakwa and some Luganda having been raised in the part of Uganda where those vernacular are spoken. From the army he learned Swahili which is the language of com- mand, as well as limited English, which is laboured when he is read- ing a prepared text, and somewhat better during his impromptu harangues. The only language which he (Idi Amin) speaks reasona- bly well is a type of broken Arabic referred to as Nubian which is used by the West Nile Muslim colony in Buganda.12 (Emphasis added) David Martin should also have added 3 other languages - Lugbara, Madi and Luo - to the list of the languages that Amin spoke. Amin's capacity to be multi-lingual, we contend, was no evidence of his "genius" but rather part of the sociology of a marginalized people who come from the periphery (social as well as geographical) of their new artificial "nations" and are, precisely because of their marginality, forced to learn more than one language as one way of beginning to transcend their marginality and peripherality, a natural method of survival. Journal Institute of Muslim Minority Affairs 423 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 It is Professor Aidan Southall who finds Idi Amin's "multi-lingualism" unusual whereas in fact most Ugandan West Nilers are almost all necessarily multi-lingual. Professor Southall even accuses Idi Amin of pretending to be Kakwa (like former Uganda Anglican Archbishop Silvanus Wani)13 as if when two individual Kakwas profess two different (monotheistic and universalistic) religions they then cease to belong to the same "tribe" because they belong to two different non-African religions. In a way, this assertion is comparable to saying, for example, that the late Lebanese leader Major Haddad, Shiite leader Nabih Berri and Sunni leader Salim-el-Hoss are all not Arab Lebanese because they profess different religions. Professor Southall once accused Southern Ugandans of being relatively uninformed about North Uganda. In Professor Southall's words: It is instructive and indicative of the depth of ignorance about North Uganda in South Uganda, that in the report of the Commission of Enquiry on the allegations by Daudi Ocheng, Amin's mother ton- gue is variously referred to as Lugbara, Madi, and Luo, while an interpreter, Mathew Opu, brought for him, was no doubt Kakwa.14 It is not clear from Professor Southall's paper what makes him so certain that Justice Mathew Opu (a Christian Kakwa) is "no doubt Kakwa" while another Kakwa's "Kakwa-ness" (Idi Amin) is in doubt. Is it because Amin happens to be Muslim by religion while Justice Opu is Christian? Why should two Kakwa cease to be simultaneously Kakwa simply because their respective (non-Afri- can) religions differ? Why, especially in the African context, should religion define "tribe"? The confusion about Idi Amin's mother tongue - at least during the Com- mission on Enquiry that Professor Aidan Southall mentions - originated in part from Dr. Apollo Milton Obote's own testimony. Obote had apparently advised the then Colonel Idi Amin (the two men were "buddies" then) not to deny the fact that the pro-Lumumba Congolese (now Zairean) rebels whom the Ugandan Government had authorized Amin to assist had entrusted to Amin some of their money for sake-keeping and for use in purchasing supplies and equipment if and when they needed or requested them. Obote also advised Colonel Amin to look at the issue as a case of "embezzlement," a term which Amin, expectedly, did not seem to understand. Obote then decided to switch to "Luo" (Obote's mother tongue not Amin's) to make sure that he and Amin understood each other. To use Obote's own words to the Board of Enquiry, some nineteen years ago: I told him that it was a mistake for him to have banked this money in his own name and I also told him that since the account existed it could only lead to further suspicion if he now closed it or tried to hide this account. I told him that he should be quite open about it and it was his responsibility to account for the money he had received. I also told him that I was taking steps to ascertain the exact amount of money which had been given and I in fact said to him that he should regard himself in this matter as in the same position as a Chief who, though authorised to collect taxes, can run into serious trouble in case of embezzlement. This conversation took place in 424 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 English but the word "embezzlement" I translatea\into Luo since he appeared not to have been able to understand it when 1said it in English.15 (Emphasis added) Here was Prime Minister Apollo Milton Obote, as he then was, using his own native language (Luo) to translate a western concept, "embezzlement", to a non-Luo but multilingual rustic Kakwa soldier, the then Colonel Idi Amin, whose command of the English language was, and still is, less than adequate. But just as Amin's capacity to speak and understand Luo did not make him a Langi or Acholi "tribally," likewise his command of "Ki-Nubi," should not convert him into a "Nubi," a group that is not really a "tribe." There is perhaps no single Muslim Ugandan West Niler (Kakwa, Aringa, Lugbara, Lendu, Logo, Madi, etc.) in or outside of the West Nile region, who cannot speak "Ki-Nubi." Yet these same West Nilers also retain their indigen- ous tribal identities and languages. What is more, many non-Muslim West Nil- ers speak "Ki-Nubi" as well. The late Brigadier Charles Arube (Amin's first Chief of Staff of the Armed Forces and a Roman Catholic Kakwa) spoke impeccable "Ki-Nubi" and yet his differences with Amin were widely, and erroneously, interpreted as "tribal" although both men were in fact Kakwa. There was a pervasive tendency in Amin's Uganda to regard all Amin's dissi- dents as non-Kakwa or as non-Muslim. Yet at least "tribally" Brigadier Charles Arube, Colonel Elly Aseni and Justice Mathew Opu were in fact all fellow Kakwa, albeit Christian, and all critics who in April 1974 even attempted (un- successfully) to eliminate the Amin regime. Another Britisher who has written a book on Field Marshall Idi Amin Dada was a man who was himself once Amin's own boss in the colonial period, Major Iain Grahame, now retired and a fowl farmer in Britain. Grahame's book enti- tled Amin and Ugada: A Personal Memoir betrays a deep admiration for soldier Idi Amin (especially the subordinate sergeant-major Idi Amin) subordinate to Major Iain Grahame then company Officer Commanding (OC) of Idi Amin's B company at the Jinja-based 4 Kings African Rifles Battalion. The book also betrays a quarter-hearted denunciation of President Amin as a simple man, or a "lumpen militariat" or "imperfect acculturate," a'la AH Mazrui16 whose limited western/intellectual credentials made him unequal to a modern presi- dential role, though clearly an exemplary sergeant major in colonial East Africa while it lasted. But Grahame has a lot of complimentary things - espe- cially regarding Amin's physical prowess, leadership qualities, and sheer pre- sence - to say in his book about the simple Kakwa soldier who was once his own compoany sergeant-major and later second-in-command: There was one particularly painful training exercise that every com- pany was forced to carry out once a year, and that was a ninety-mile route march . . . Throughout that long and painful night, one man was an example and inspiration to us all. As we finally passed the finishing post, Idi Amin was marching beside me at the head of the column, head held high and still singing 'Tufunge safari' ('Let us complete the march') for all he was worth. Across one shoulder were two bren-guns and over the other was a crippled askari (Swahili for soldier) |7 Journal Institute of Muslim Minority Affairs 425 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 Then one day, many years later, in Kampala while sipping a soft drink in Army Commander, (pre-President) Major General Idi Amin's living room in the "wee-hours" of the morning Grahame heard Amin shduting out orders to one of his soldiers. According to Grahame, the language used was either Arabic or Nubian (i.e., meaning the "Arabic Creole"). At that moment a sentry came in, saluted both of us in turn and addressed some message to Idi in Arabic or Nubian. There was a note of urgency in his voice. Idi rose from his chair and clasped my right hand in both of his. w On yet another occasion during Amin's regime Major Iain Grahame and Lieutenant General Sir Chandos Blair were both involved in a desparate bid to gain the release of the English teacher, author and critic of Amin, Denis Cecil Hills. Here Grahame heard President Idi Amin in Arua talking in Lugbara. Idi, rising from his throne, shook hands warmly with both of us. Then turning to a minion who was crouching in the corner, he shouted something in Lugbara that I failed to understand.n (Em- phasis added) But several years before the Denis Cecil Hills' imbroglio, Iain and his ex- sergeant major had private discussions about Amin's defiant and very daring decision as President of Uganda to expel the Ugandan "Asians" (mainly Indians, Pakistanis and Bangla Deshis) in November 1972, giving them only a ninety-day notice. Grahame, perhaps discreetly encouraged by the British gov- ernment, attempted to persuade President Amin to change his mind about the "Asians" and to revoke the expulsion.order. On this occasion Major Grahame tried a variety of tactics including the use of an Acholi proverb, but all to no avail: I tried a different tack. 'Motmotocero Munupoto.' It was an acholi proverb meaning literally 'Slowness prevented the European from falling.20 But Idi would not change his mind about the Ugandan "Wahindi," They had to go! Nevertheless Grahame then proceeds in his book to lavish praise on Idi Amin (and in a way on himself) for their mutual capacity to master a variety of. unrelated Ugandan languages: Severely limited in so many intellectual spheres and often ridiculed for his slender knowledge of English, Idi was in fact fluent in at least a dozen African languages. He laughed once more, complimenting me on still remembering a dialect that we had struggled together to master in years gone by. Often, as part of his education, it had been English only, but on other occasions we would endeavour to con- verse in Acholi or some other Ugandan tongue. His memory for words, for people and for places never ceased to amaze me.21 (Em- phasis added) Major Grahame clearly seems to be among those who were never able to make up their minds whether to like Idi Amin completely or to entirely hate 426 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 him. In Grahame's case the ambivalence was compounded by memories of the past. Listen to this schizophrenic nostalgia or romanticizing of the past that Grahame shared with soldier Idi Amin. Idi was certainly an outstanding soldier, within the context of that period, and yet his very qualities of leadership and loyalty, brute force and bravery served merely to accentuate the very fragile thread on which the future of Uganda then hung.22 (Emphasis added). But what about others (Ugandans as well as non-Ugandans) who never knew the colonial soldier Idi but only the Soldier-President? What contributed to their own ambivalence - basic incapacity either to like Amin completely or to dislike him totally? AH Mazrui may have already provided us with at least part of the answer: A major aspect of world history is the rise and fall of great heroes and great villains. The corridors of time echo the applause and. denunciations of yester-years. Fused into the paradox of heroic evil is Idi Amin - at once a hero and a villain, at once a subject both of applause and denunciation. As a villain he was a symbol of tyranny. As a hero, Amin has four meanings for Africa and the Third World. Economically he attempted to strike a blow against dependency and foreign control of his country's economy. Culturally, he signified a reaffirmation of cultural authenticity. He helped to foster cultural self-discovery among Africans - for better or for worse. Politically, Amin was often in rebellion against the northern-dominated power structure of the twentieth century. He made fun of the mighty - and sometimes helped to inspire self-confidence in the ranks of the Third World.2-1 But let us now return to Amin's multi-lingualism and relate it to the broader reasons that led him to join the army in the first place. AH Mazrui begins his fas- cinating article, "Boxer Muhammad AH and Soldier Idi Amin as International Political Symbols: The Bioeconomics of Sports and War," with the following significant questions: Did Idi Amin join the army because of a lack of alternative economic opportunities for uneducated Kakwa in colonial Uganda? Or was he helped by the prior attractiveness of "tall African speci- mens" to those who were recruiting for the King's African Rifles?24 I am myself inclined to agree that both factors - i.e. lack of alternative economic opportunities for unwesternized Kakwa as well as their relative phys- ical tallness (whatever its worth to the British) as compared to other, mainly southern Ugandans, - were concurrently at play. But I would also carry Maz- rui's discussion one step further by suggesting that Idi Amin's related "multi- Hngualism" (and by extension that of his fellow uneducated Kakwa and West Nilers in, or outside, the army) was itself also partly a function of limited economic opportunities for uneducated Kakwa (and of course other peripheral Ugandans) in colonial Uganda and partly a function of their peripherally as well. Among the languages most West Nilers speak is the colloquial Arabic Journal Institute of Muslim Minority Affairs All D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 which heartland Southern Ugandans mistook for a "tribal" language and called "Ki-Nubi" or "Nubian." Henry Kyemba was closer to the mark by calling "Ki- Nubi," - "their own version of Arabic." As he put it: A third element, and one of particularly tragic significance for Uganda today (Amin's Uganda), was the community of Southern Sudanese brought in as mercenaries by the British to staff the lower ranks of the army and the police. In Uganda, indeed throughout East Africa, they became known as Nubians. They have retained their own identity, like the Asians. They are wholly Moslem and still speak their own version of Arabic.25 (Emphasis Added). Kyemba does not address the question why an African "tribe" (Southern Sudanese as he assumes it to be) should speak, "their own version of Arabic". Why don't the Basoga (Kyemba's "tribesmen") have or speak their own ver- sion of Arabic? In other words why should a non-Arab African tribe speak Arabic as its mother tonque? Yet Henry Kyemba is definitely correct in stating that, "In Uganda, indeed throughout East Africa, they became known as Nubian." He is correct partly because there are no people in Southern Sudan known as "Nubian" although as indicated earlier there are indeed some Northern Sudanese and Upper Egyptians who are so called. In a way, in calling the descendants of Emin Pasha's mercenaries "Nubians," Ugandans and other East African, were mak- ing a mistake somewhat akin to that which Christopher Columbus and his cohorts made a few centuries previously when they called the native Americans "Indians," firmly convinced as they were that they had reached not the "New World" but India. The term "Indian" has of course stuck as part of the identity of native Americans despite its obvious historical inaccuracy and despite the very basic fact that there are no links of any kind whatsoever between Native Americans on one side and the Indians of the Indian subcontinent on the other. It is suggested here that the term "Nubian" in the East African, and particularly Ugandan sense, is a comparable misnomer, a creation of Ugandans and other East Africans, and that there are equally no links between the "Nubians" of East Africa and the real Nubians of Upper Egypt and northern Sudan. The lat- ter were of course Christian before they became Muslim and were a major bul- wark against the Islamization and gradual Arabization of Upper Egypt and northern Sudan until approximately the fifteenth century A.D. This is the ancient and authentic "Nubian Kingdom" in African history, and not by any means the partially detribalized speakers of colloquial Arabic in East Africa. One thing that Grahame does not seem to have grasped is the fact that the Ugandan Kakwa, including Idi Amin, and indeed most Ugandan West Nilers are by definition almost all multi-lingual. The West Nile district was of course not, until 1914, part of Uganda as we know it today. In fact that particular part of Uganda (West Nile) has within a period of less than a century, much like North Africa, albeit over a longer span of time, had a triple identity. With regard to North Africa it has been pointed out that: If in some respects and at certain periods in history North Africa has virtually been the southern extension of Europe, and if since the Muslim conquest it has been the western extension of Asia, it has all 428 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 along also remained the northern portion of Africa. The greatest theater of interaction between Europe, Africa, and the Arab world has been the Mediterranean coastline of the African continent.26 Could not one equally say that the greatest theater of interaction between today's Uganda, Zaire and Sudan (partly Arab itself) has been, albeit for less than a century, the current peripheral district of the Republic of Uganda called West Nile? Clearly, what is today the district of West Nile in Uganda has, in its own small way, had a triple identity of a kind albeit within the relatively short period of a single century. West Nile as well as the Acholi District in today's Uganda were once part of the Lado Enclave of the Equatoria Province of Egypt. It later became briefly part of what was then the Belgian Congo before it was "re- turned" to the Sudan. Then in the second decade of this century it became part of what is now Uganda. In the words of a distinguished native Ugandan histo- rian, Professor Samwiri Rubaraza Karugire: Then finally West Nile District was added to Uganda and this rounded off the northern limits of the Protectorate. West Nile used to be part of what was called the Lado Enclave which had been leased by Britain to Belgium's King Leopold II. Leopold died in 1910, the lease lapsed and the Enclave was handed over to the Sudan. Then in January 1914 [only 70 years ago] a boundary read- justment between Uganda and the Sudan was made and West Nile district was handed over to Uganda while Gondokoro and Nimule districts were transferred to the Sudan. Thus by 1918 the British Pro- tectorate of Uganda had attained a definite shape and by 1921 [barely 63 years ago] the whole protectorate was under a civilian administration.27 (My emphasis.) My own paternal grandmother, Kidde, without ever leaving her ancestral vil- lage of Koboko in today's Uganda had a triple "national" identity in her life. There was a time when she was a Sudanese or Egyptian; she later became a Congolese (under Leopold II), she died a Ugandan in 1978, for West Nile had indeed become part of Uganda from 1914 onwards. The artificiality of Africa's borders, "nations" and changing identity labels is captured in the life-story of that simple Kakwa grandmother. Since Emin Pasha recruited his "mercenaries" rather heavily from the "Lado Enclave" it is right to say that at the time when Emin Pasha was operating his "mercenaries" were largely Sudanese or Egyptian although also briefly Con- golese as well. Since Uganda's borders later (by 1914) expanded northwards these Sudanese later became Ugandans too, partly as a result of Uganda's northward territorial expansion, and partly because these were no longer fresh immigrants into Uganda as such. It is therefore incorrect to continue to use such anachronistic labels like "Sudanese" or culturally meaningless terms like "Nubian" to describe these group of post 1914-Sudanese Ugandans. Those West Nilers who are today 75 year of age or older have been citizens of three different countries in a single lifetime and have been, in the process, held accountable to three divergent capitals during 3 different phases of their lives - Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 Cairo (or Khartoum), Kampala (Entebbe at that time) and Leopoldville (now Kinshasa). But one consequence of West Nile's rapidly shifting and multiple identity in this century as well as its enduring peripherality has been to encourage the propensity among its inhabitants to speak more than one language. Idi Amin's "multi-lingualism", unbeknownest to his ex-boss, Major Iain Grahame, was not unique or specific to the Field Marshall. Many Ugandan Kakwa speak, at the very minimum, three languages simultaneously. Their nearness to the num- erically more preponderant Lugbara tended to force them to learn Lugbari. The grographical proximity of their home-land to Zaire and the resultant interaction with the Zaireans has enabled many of them to speak Lingala (once called Bangala). To the north of West Nile lay Sudan and from Sudan and Egypt came both Islam and a bastardized, or as Dr. Heine would put it, "Creole" Arabic called "Ki-Nubi". In addition, those Ugandan Kakwa or other West Nilers who trekked south- wards in search of jobs and greater economic opportunities learnt in the process additional languages as well. Those West Nilers who joined the Uganda Army or the then King's African Rifles in the colonial period, K.A.R. or "Keya", or the police - who have been called the "lumpen militariat" - picked up some form of Ki-Swahili, a Ugandan variety of course, not the classical Swahili spo- ken in Tanzania or Coastal Kenya, a creolized Ki-Swahili one is tempted to add. As for those who settled and became peasants or identured laborers ("Kasanvu") in other parts of Uganda or East Africa generally they picked up the relevant local languages as well; Luganda in the case of those Kakwa or other West Nilers who settled in Buganda, Lusoga in the case of Busoga etc., etc. My own father, spoke a total of 7 languages: his native Kakwa, Ki-Nubi which he insisted on calling "Arabic", Lugbara, Lingala, Luganda, Ki-Swahili and finally some Lusoga - some of these totally unrelated to each other. In cal- ling "Ki-Nubi" Arabic, my father was in the company of such people as Captain Stigand (as already indicated) and Colin Legum. As Legum has had occasion to put it: The firm link between all 'Nubians' is their Islamic faith (of the Sunni sect) and their use of Arabic. They are also less a tribe than a community, albeit only a fraction of one percent of the total Ugan- dan population.28 (emphasis added) Partly because I was myself not born in my ancestral homeland, West Nile, in the North but rather in Jinja (Eastern Uganda, where my father spent 34 years of his life), I never had the opportunity to learn some of the languages he learned in Koboko. At home in Jinja we spoke Kakwa; the urban culture of Jinja taught me Ki-Swahili, my first four years of primary (or elementary) schooling in colonial Anglophone Uganda were conducted in a "vernacular," in this case Luganda. But Jinja is also the land of the Basoga and from them I learned their tongue - Lusoga. And because Luganda and Lusoga were inter- related Bantu languages, the combination of these two languages enabled me to understand ("hear") fairly well, though not necessarily speak fluently other Bantu languages especially Runyoro/Rutooro, Runyakore/Rukiga, etc., etc. But the fact that I was born in the south of Uganda de; .ived me of the oppor- 430 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 tunity to learn languages like Lingala, Lugbari, Madi, Aringa though the more widespread, universalistic and non-tribal nature of Islamic culture enabled me to learn "Ki-Nubi" (because of its neo-Islamic nature) even though I was in Jinja in southern Uganda, over four hundred miles away from the land of my ancestors, Koboko, in West Nile. A peripheral and marginalized people like my own, the Kakwa, tend to be "multi-lingual" partly as a matter of necessity and partly as a method of coping with their geographic-cum-social marginality and attempting to maximize their economic opportunities. The "Nubi" phenomenon in Uganda and other parts of East Africa has to be seen, to a sub- stantial degree, as a manifestation of, or the unfolding of this process in the new and very artificial or synthetic nations of twentieth century Africa. The "Nubi" as a People Without a Tribal Myth of Ancestry of Their Own: Virtually every nation or "tribe," as both Roberto Michels and Max Lerner have reminded us, tends to have two predominant myths - the myth of ances- try or myth of origin (how the society started and expanded) and the myth of mission or purpose (that which is unique to that nation or "tribe" in terms of human values).29 In the case of Africa, some "nations" or "tribes" have elabo- rate stories about how it all started, complete with the names of the original ancestors. This is, to a large extent, what "traditionalism" in Africa south of the Sahara is all about. What is more, traditionalism tends to be ethnic-specific. One element of traditionalism that has been particularly influential in Africa beyond the colonial period has been what we may call, "Ancestral Solidarity" or fellowship on the basis of shared ancestors often manifesting itself in "tribalism".30 In the case of the Baganda it is all said to go back to Kintu; for the Kikuyu the relevant original ancestors were Mumbi and Gikuyu, as for Amin's people, the Kakwa, it is Yeku This list of African tribal ancestors could be lengthened indefinitely. In the case of the "Nubi," however, precisely because they are not a "tribe" they do not have a myth of ancestry or origin of their own. It is curious how in Uganda in the immediate post-colonial period (1962-1967) the four topmost military officers in Uganda happened to be - unbeknowest to most Ugan- dans - all Muslim and all multi-lingual. More pertinent for our purposes is the fact that all four officers spoke "Ki-Nubi". We are here referring to the days when Sir Edward Muteesa was the President (non-executive) and Dr. Apollo Milton Obote, Prime Minister of Uganda. The first black Ugandan Army commander was Brigadier Shaban Opolot (an Itesot Muslim, from the Teso district); his deputy was Colonel Idi Amin (a Kakwa from West Nile). The Commanding Officer (CO) of the First Battalion of the Uganda Army was Lieutenant-Colonel Juma Musa, alias "Juma Ndege," (whose father was a Ugandan Lugbara and mother of Munyord). The Second Battalion of the Ugandan Army was commanded by Lieutenant-Colonel Suleiman Hussein, later Brigadier, a "Nubianized" Alur, descended from Zai- rean (or then Congolese Alur most probably part of Emin Pasha's "Nubian mercenaries"). Perhaps no other non-Muslim Ugandan had a better grasp of the non-tribal essence of the "Nubi" phenomenon than President Milton Obote himself. Obote knew full well that all four of his top military officers spoke "Ki-Nubi" Journal Institute of Muslim Minority Affairs 431 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 but he seems to have also been supremely aware that these four were not from the same "tribe" although the four happened to share the same universalistic religion-Zs/am. Obote was therefore quite conscious of the possibility of hand- ling these four officers without taking the "ethnic" or "tribal" factor into seri- ous consideration. So much so that all of Obote's military counter-moves against Idi Amin while Obote was attending that fateful Singapore Conference of Commonwealth Heads of State and Governments in 1971 were not Luo-led but entirely "Nubi"-led. Army Chief of Staff Brigadier Suleiman Hussein, Air Force Chief of Staff Juma Musa and Buganda Police Chief Constable Suleiman Dusman were supposed to arrest and presumably liquidate Amin - an entirely inconceivable scenario had the "Nubi" really been a "tribe" in an African con- text.31 In his moves to neutralize Major Idi Amin militarily Obote "promoted" Amin to the essentially ceremonial title of Chief-of-Defence (itself an ominous replication of Opolot's prior eclipse from the Uganda Army). President Obote assigned and distributed Amin's executive military responsibilities between two other "Nubi" - Brigadier Suleiman Hussein and Colonel Juma Musa. In the words of Jan J0rgensen: Radio South Africa eagerly reported a coup in progress in Uganda on 29 September (1970). After suspending normal programmes, Radio Kampala gave notice of a special announcement that even- ing. The somewhat anti-climactic announcement reported that the Defence Council, chaired by Obote, had approved a number of promotions, transfers and a reorganisation. Those promoted included Sandhurst and other educated officers who would be more loyal to Obote than to the enlisted men and NCOs surrounding him. The Defence Council also promoted Brigadier Suleiman Hussein to Army Chief of Staff and Colonel Juma Musa to Chief of the Air Force, leaving Amin with less direct control over the military.712 (em- phasis added). Obote knew very well that these three Muslim Soldiers - Amin, Hussein and Musa - though all speakers of "Ki-Nubi" were from three different "tribes" and in Africa "tribe" is often "thicker" or more important than religion. As a generalization it is probably true that Africans are more likely to kill each other more because they belong to different tribes than because they profess different religions. After all there are many African families that are multi-denomina- tional without manifesting signs of religious tension and conflict within them. Obote's own family was a good illustration of this phenomenon. Though him- self a Protestant (or Anglican) Obote's cousin and at the time Chief of Intelli- gence (General Service Unit), Mr. Akena Adoko, was Catholic while another cousin and also Cabinet Minister - Abubaker Adoko Nekyon was Muslim. Had the "Nubi" been more than a mere Muslim Club, Obote, astute as he is, would have turned to fellow Luo instead of using Amin's fellow "Nubi". It ought to be remembered that there were many senior Luo officers at Obote's disposal whom he could have used, albeit by "by-passing" the relatively more senior Brigadier Suleiman Hussein and Colonel Juma Musa and "jumping" a single rank which is hardly unknown in African situations. The senior Luo officers included Colonel M. Arach, Colonel Albertino Langoya, Lieutenant- 432 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 Colonel Ojok, Lieutenant-Colonel Tom Loyira, Lieutenant Colonel Abwala, Lieutenant-Colonel Oboma Ayumu, Lieutenant-Colonel Pirimo Obol and Lieutenant-Colonel Emmanuel Ogwal.33 Brigadier Suleiman Hussein was promptly, and it seems brutally, murdered after Amin's successful coup in January 1971. Colonel Juma Musa was luckier; he was spared this brutal fate perhaps because of his partial Lugbara roots (Amin himself has some Lugbara relatives) and partly because of Musa's own Arua connections as he had a personal house there, as well as relatives (Amin's home district town). To be sure, the "Nubi" have no tribal myth of origin of their own. It is the Jewish myth of origin - Genesis and Adam and Eve - which the "Nubi" have adopted, borrowed not directly from Judaism but indirectly through Islam. But in adopting this Hebraic myth of origin, the "Nubi" have not been alone: The Jewish myth of origin . . . has been replacing Africa's own tri- bal myths of origins from one corner of the continent to the other. Monotheism has been conquering Africa under the banner of either the cross or the crescent - but behind both banners is the shadow of Moses and the Commandments he conveyed.34 The "Nubi" case is distinct because there was no indigenous "Nubi" tribal myth of origin to be replaced by the Jewish one. In a way, this scenario is reminiscent of the North American experience. White America tended to emphasize its innovative essence, its newness and to play down its European ancestry. Likewise, "Nubianized" Ugandans and "Nubianized" East Africans have tended to emphasize their Islamic essence, their newness (universalistic non-tribalness) and to underplay their African tribal origins. But whereas White America's "New World" was territorial, the "Nubi" "New World" was simply religious and cultural. Both peoples tended to under-emphasize their "Old Worlds." Many "Nubi" can of course trace their African "tribal" roots quite easily, surely not as long as it took, say, Alex Haley to trace his African roots to the village of Juffure in Senegambia - 12 years - a process that could have been considerably shortened had Haley's name been, say, "Alex Kinte". White America's rejection of Europe and the rebellion against the father was, as Max Lerner once argued, to be seen as part of the American mythology in relation to both origin and mission. The American newness was at once a myth of origin and mission. It is equally arguable that the "Nubi" newness is both a myth of origin and mission. In the "Nubi" case these two myths are ulti- mately Semitic or Middle Eastern in derivation rather than traditional pr indi- genous to Africa. This is a partial explanation of the speedy process of "Nubianization" in East Africa. During the Amin years, encouraged by the universalistic tendencies in Islam, many Ugandan Muslims picked up the "Nubi" language and claimed, for opportunistic reasons, that they were "Nubi" by "tribe". Little did many non-Muslim Ugandans know that all that these "Nubi pretenders" meant was that they were Muslims, sometimes recent opportunistic converts to the Message of Allah - a monopolistic and universal religion whose myth of mission aspires to the Islamization of the entire human race if feasible and conceptually divided the world between — Dar-el Islam (Home of Islam) — and — Dar el Harb (Home of War) — . Michael Twad- dle put his finger on this tendency when he observed thus: ' Journal Institute of Muslim Minority Affairs 433 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 Ugandans who had previously called themselves by other tribal names, now called themselves 'Nubians' and were able to be accepted as such simply by speaking Nubi and practising Islam.35 Idi Amin, despite several disclaimers that there was no such thing as a "Nubi" tribe in African terms and that anybody was welcome to join it, and that he personally was not "Nubi" but Kakwa by tribe was himself not averse to exploiting the "Nubi" connection, or Muslim Club as I prefer to call it, primar- ily for two basic reasons. First, the Ugandan Kakwa (his own tribe) were only a tiny fraction (approximately 50,000 strong) in a national population of over 14 million people. It did therefore make political sense to cultivate additional constituencies including the "Muslim Club" ("Nubi") that had an open door policy a'la Owens or unlimited membership, (Dar-el-Islam), of which some Muslim Kakwa and Kakwa-related groups (Bari, Aringa, Kuku, Nyepo, Pojulu, Nyangwara, Liggi, Mundari, Shir, Reli, Rigbo and Gimara) had already been assimilated i.e. Islamized and relatively detribalized. Second, it was advantageous for Amin to mobilize the Muslim card in the 1970s partly because Amin's Benefactors from 1972 onwards included Islamic fundamentalists like Saudi Arabia and Libya. Amin was in power precisely dur- ing the heyday of OPEC power (1971-1979). As an organization OPEC is over- whelmingly Muslim in composition. In the words of J.S. Trimingham: This Organization (OPEC) may also be viewed as a political power block of Islamic influence, since two-thirds of its members, in respect of both number of states and quantity of oil production and revenue, were Muslim . . . the small Gulf states wield immense financial resources that can be- tapped for projects far beyond the boundaries of the Arab world. In Africa, apart from the Arab states of Libya and Algeria, the OPEC has two black African members in Nigeria, with an immense Muslim population, and Gabon, whose President Omar Bongo has become a Muslim.36 The aid-distribution behavior of OPEC (Organization of Petroleum Export- ing Countries) or OAPEC (Organization of Arab Petroleum Exporting Coun- tries) has tended to be to help: firstly, fellow Arabs; second, fellow Muslims; and thirdly fellow Third World countries provided there is some evidence of support and sympathy for the "Arab cause".37 Under Amin, and despite the fact that Muslims are a minority, Uganda benefitted considerably from OPEC sources because Idi Amim himself was a Muslim head of state who was also staunchly pro-Palestinian as well as a dedicated and consistent friend of the Arabs, once he had taken the decision to break ties with the Israelis in 1972. Amin had once trained as a paratrooper in Israel and continued to wear Israeli wings to his last days in power. In one estimation at that time: Partly because OPEC is so Islamic in composition, and partly because the 'Fourth World' or poorest countries are disproportion- ately Muslim, about 80 per cent of aid from oil-exporting countries has gone to Muslim countries. . . Within Africa, Muslim recipients of Arab aid have included Mali, Somalia, Senegal, Guinea and Sudan. Uganda is hot a Muslim country but has had a Muslim head of state since the army took over in power in 1971. Until the end of 434 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 1974 Uganda had received approximately $120 million in official aid from OPEC sources. Double that amount was promised.2** (em- phasis not in original) Amin's relatively consistent - perhaps the most consistent aspect of his policies as President of Uganda - anti-Israeli/anti-Zionist orientation and strong pro-Palestinian/pro-Arab stand has continued to pay off even after his violent overthrow in April, 1979. Amin is now enjoying Saudi hospitality and generosity partly in return for his dedicated pro-Arabism. The rustic Kakwa soldiers whose father had been converted to Islam less than three quarters of a century ago now resides in the heartland of Sunni Islam - the ancestral home of the message of Allah, the original "Dar-el-Islam" - among fellow believ- ers.M The "Nubi" as a People without "Tribal" or African Names of Their Own: When in the late 1960s the Black American Boxer Cassius Clay converted to Islam, his new Muslim names became Muhammad AH. The name Muhammad was of course the name of the Prophet of Islam himself. The other name, Ali, was that of the fourth Caliph or "Khalifa" (political successor) to Prophet Muhammad also a cousin of the Prophet Muhammad, and grandfather of all those who today claim direct descent from the House of Muhammad. Ali was also the principal figure in the major split in mainstream Islam between Sunni Islam and Shiite Islam. For our purposes and within.the limitations of this arti- cle, it is the fact that Boxer Cassius Clay adopted double Muslim names instead of, for instance, becoming Muhammad Clay, which is most pertinent. The full Muslim names Muhammad AH betray the ex-boxer's newly embraced univer- salistic religion but are not of course helpful either in identifying his ancestral continent (Africa) or in linking him to any ethno-cultural group in Africa or indeed elsewhere on the globe. Like Islam itself, Muslim names tend to be "col- our blind" and universalistic (tribal-less or nation-less). Partly because Islam is not just a religion but also a comprehensive culture it tends to encourage the personal dis Africanization or dis Asianization etc. of the personal identity of its followers (it does not share this with Christianity espe- cially in Africa). Muhammad Ali's disAfricanization at the level of personal identity when he became a Muslim is of course to be contrasted with, and dif- ferentiated from, the prior disAfricanization of the personal identity of, say, Kunta Kinte, Alex Haley's ancestor in Roots, and by extension the disAfricani- zation of the bulk of the original Africans who were brought in chains to the New World approximately four centuries ago. In the case of Boxer Muhammad Ali, the adoption of his Muslim name when he joined Elijah Muhammad's "Nation of Islam" was voluntary, indeed enthusiastically self-embraced. By contrast, Kunta Kinte was literally forced to adopt the Euro-Christian pet name "Toby". In the television series of Roots there is a very moving scene where Kunta Kinte is whipped ferociously because he kept insisting, that his real name was Kunta Kinte, until in a moment of sheer physical exhaustion, due to this vicious lashing, he finally capitulates to the master's given name of "Toby". Clearly, had Alex Haley's name been, say Alex Kinte it would probably not have taken him a dozen years to trace his roots to the Senegambian village of Journal Institute of Muslim Minority Affairs 435 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 Juffure. There were of course, other processes of disAfricanization underway in Black America which had a cumulative impact on the psyche of Black Americans including the disAfricanization of their collective African identity while simultaneously racializing this identity. In other words, the experience of Black Americans in the New World tended to encourage them to forget they were Africans and to remember instead that they were, simply, black. So "Black" Americans gradually became the only group of Americans who were officially classified according to their racial or physical characteristics (Neg- roes, Niggers, Blacks etc.), whereas all other Americans were either linked to their geographical points of ancestry or cultural identities (hence "Jewish Americans", "Polish Americans," "Italian Americans" "Irish Americans" etc.). Even in the case of the mistake made by Christopher Columbus and his cohorts the native Americans were called "American Indians," - neither dis- Americanized nor -racialized. The only group of Americans whose official categorization, until fairly recently and even then only partially, didn't link them to their ancestral home were the "Black Americans." This was not by choice. It was imposed upon them by forces bigger than themselves in their new environment. In addition, Black Americans were made to feel ashamed of Africa (a'la Tar- zan) and the nostalgia for their ancestral continent thereby considerably under- mined. In Alex Haley's Roots there are disparaging remarks about Africa reported by Fiddler, clearly intended and calculated to discourage Kunta Kinte from entertaining the possibility of ever running away and returning to Africa: ... White folks says all Africans knows is livin' in grass huts an' run- nin' 'roun' killin' an' eatin' one 'nother'.40 The death of the African languages the slaves brought with them (linguistic disAfricanization) and the withering away of the African traditional religions in the New World (religious disAfricanization) completed the process of disAf- ricanizing Black Americans as their identity was racialized (overemphasis of their blackness) and disassociated from Africa (underemphasis of their African roots). It is arguable that Islam unleased a comparable process of disAfricanization among Africans within Africa, especially among the "Nubi" and North Afri- cans, although there are important variations that ought to be borne in mind. In North Africa, Islam spread by a combination of conquest and colonization right from the Seventh Century of the Christian era onwards. In fact, in the case of North Africa, Islamization was paralleled by Arabization. Islamization is of course a process of religious conversion and refers to the way by which pre- Islamic North African including the Egyptians who previously had been Chris- tian under the Byzantine Empire embraced Islam (though the Copts in Egypt resisted Islamic proselytization). Arabization, on the other hand, is the process by which North Africans became native speakers of the Arabic language and also absorbed other aspects of Arab culture. Over time, Islamized North Afri- cans began to identify themselves as "Arabs", a rather dubious claim in a "blood sense" though culturally, especially linguistically, it did make sense. In Black Africa, on the other hand, Islam spread by trade, (indeed it was one extra commodity in the market place for Muslim traders) and through inter- 436 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 Black state conquest. In other words in Black Africa many Black Muslims were instrumental in converting their own "heathen compatriots". Idi Amin's father (the late Amin Dada) for example was a Roman Catholic during the first decade of this century before he later became a Muslim. Andrea (his Catholic name) Dada was converted to Islam by a fellow Kakwa by the name of AH Kenyi, perhaps the most influential and towering Ugandan Kakwa "chief in the first half of this century. Major Stigand seems to have cultivated AH Kenyi's friendship as well as a particular fondness for Kenyi's people. Stigand also makes reference to Kenyi's "recent" passing to Uganda - itself an additional testimony to the artificiality and recency of Uganda's present territorial fron- tiers. In Major Stigand's own words, written less than sixty-five years ago (Stigand was killed on 8th Dec. 1919): Southwards and westwards of Yei is inhabited by the Kakwa, the most intelligent people in the Enclave, excepting perhaps the Makaraka. These people, who speak Bari, are chiefly situated about the sources of the Yei; their biggest chief, Bangala, now deceased, lived 37 miles south of Yei. South of Bangala and the source of the Kaya is the Kakwa chief (AH) Kenyi, who has recently passed to Uganda, the Kaya having been made the new frontier bet- ween the Sudan and Uganda. The Kakwa are thus now divided bet- ween three Governments, as they extend westwards into the Congo, about Aba and the Kibi river.41 (Emphasis added) The comparative point here is that whereas on one side the disAfricanization of the personal identity of Black Americans was involuntary and implemented by coercion, that of Black African Muslims and most Muslims elsewhere has, on the whole, been voluntary, self-embraced and partly doctrinally-inspired. Like most major religions Islam has of course its own kind of 'us/them,' 'Jew/ Gentile,' 'Christian/Pagan,' 'believer/non-believer' dichotomy. But partly because of Islam's universalistic and monopolistic tendencies it divided, con- ceptually, the world into Dar-el-Islam (the Abode of Islam) and Dar-el-Harb (the Abode of War). The Abode of Islam was by definition governed by shared norms and principles and by mutual allegiance to Allah (God). Within the world of Islam the rules of intersocietal relations assumed the bonds of Com- munity of whom the "Nubi" are a distinctive sub-section. Muslims all over the world were supposed to constitute an Ummah - namely a community and a people - with the culture of Islam serving as the necessary cement for social cohesion. This worldwide community had names of its own (originating from Arabia), Islamic or neo-Islamrc, and a language of its own, Arabic (all Muslims pray in Arabic) with several varieties of which, we argue, "Ki-Nubi" is defi- nitely one. Rather than constituting a tribe in the African sense, the "Nubi" we contend, are an "East African Muslim Club" to which members of all tribes who have accepted the Message of Allah were welcome. As for Muslim names which defy national or cultural classification the list is virtually endless and scattered all over the Afro-Asian world and beyond. Islam is by and large an Afro-Asian religion in distribution though there are Muslim minorities elsewhere (especially in Eastern Europe) on the globe. How do Muslim names demonstrate this reality? Journal Institute of Muslim Minority Affairs 437 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 One of Africa's best known radical economists is an Egyptian called Samir Amin. Another interesting Egyptian is the world-renowned film actor Omar Shariff. The great modernizer of Egypt in the 19th century was the Ottoman Muhammad AH. The Great Persian (today's Iran) poet and mathematician of the 12th century and author of The Rubaiyat was Omar Khayyam. The former president of Afghanistan prior to President Babrak Kamal was called Hafizullah Amin; Field Marshal Idi Amin ruled or "mis-ruled" Uganda with the help of a cabinet that increasingly assumed a "Muslim face" and whose members carried names that were virtually indistinguishable from the names of Cabinet Ministers in the Arab countries, or Muslim world more broadly. Lis- tening to Radio Uganda in the Amin years non-Muslims (the majority) some- times wondered whether Uganda was not Arab-ruled as illustrated by the fol- lowing full Muslim names of Amin's ministers. Title President Finance Internal Affairs Foreign Affairs Local/Provincial Administration Cooperatives and Marketing Animal Resources Commerce Industry and Power Minister with Portfolio/or other Full Muslim Names Idi Amin Moses Ali Mustafa Adrisi Juma Abdalla Oris AliFadhul Mustafa Ramadhan Ismail Sebi Noah Muhammad Dusman Sabuni Hussein Marijan African Tribe Kakwa Bari/Rigbo Aringa/Kakwa Alur/Madi Avukaya Lugbara Aringa Alur Moru Kakwa Partly because Christianized Ugandans tended to adopt only a Euro-Hebraic first name and retained their African family or surnames (e.g. David Oyite Ojok, Francis Nyangweso, Milton Obote etc.) it is not difficult to see how for the non-Muslims, the use of double non-tribal Muslim names became confus- ing. How could an African possibly not have an African or tribal name as part of his/her personal identity? The "Nubi" phenomenon was at the center of this Islamization-cum-disAfricanization of personal identity and the confusion it generated. The names listed above are decidedly not African in any sense. Rather, they originate from the Arabian peninsula. In Amin's Uganda the popular miscon- ception was that these Muslims were, mainly due to their names (which were not tribal but in fact Muslim and universalistic) members of a particular tribe - the "Nubi" tribe and that these names pointed an accusing finger.to their non- Ugandan roots. What these critics of Amin's regimes "ethnocracy" were doing was basically to confuse or equate religion with "tribe". Although Amin had a strong partiality towards fellow Muslims, and included many of them in his cabinet and appointed them to other influential positions during his reign, these "Nubi" were by and large not from his tribe - the Kakwa. What he shared with them was membership to the universal Muslim Ummah within Dar- el-Islam but not tribe in the normal African use of the term. In fact the only fel- low Kakwa to have ever become (briefly) a member of Amin's cabinet was a 438 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 Christian Kakwa - Major-General Isaac Lumago (briefly Minister of Industry and Power and also as Minister of State for Defence). In African "tribal" terms Isaac Lumago was closer to Idi Amin and Isaac Maliyamungu than he was to Vice President Mustafa Adrisi (the latter was a partial member of the Aringa tribe from northwestern Uganda). In religious or Islamic terms, the reverse was the case, General Lumaga was in religious terms further away from Idi Amin than Muslim Mustafa Adrisi who was half Kakwa. The only important position that Idi Amin tended to reserve for his ethnic compatriots (fellow Kakwa) instead of religious compatriots (fellow Muslim) was the militarily strategic post of Chief of Staff of the Armed Forces. For some reason, no other Ugandan tribe in the Amin years had more than its fair share of this office than the Kakwa (regardless of religion). The list of the Kakwa who held this post included the late Brigadier Charles Arube, General Isaac Lumago, General Yusuf Gowon and the half Aringa/half Kakwa General Mus- tafa Adrisi. The only non-Kakwa who, briefly, held that position was Major- General Francis Nyangweso. In addition, the majority of army battalion commanders under Amin tended to be fellow Kakwa (fellow tribesmen regardless of religion) with a sprinkling of a few fellow but non-Muslim West Nilers as well as other Ugandans. One is tempted to conclude that Idi Amin, for some reason, preferred to have a Kakwa-based military ethnocracy (at least in terms of command) and a broader Muslim political constituency (sometimes erroneously called the "Nubian" tribe). An American student of the "Nubi" language once wrote to the influential Kenyan magazine, The Weekly Review, partly to correct the mistake people often made in calling the "Nubi" a "tribe". Jonathan Owens wrote from the "Nubi village" of Kibera on the outskirts of Nairobi. To use Owens' own words: The general picture of Nubi presented is wrong. It is a "tribe" of the loosest sorts - anyone who speaks Nubi and and is (though not necessarily) a Muslim is a Nubi. I, for instance * an American study- ing the Nubi language, could claim to be a Nubi if I made the effort to adopt myself to Nubi customs.42 Owens then went on to make the point that although the original East Afri- can "Nubi" did come from the (then) Sudan, intermarriage with the other tribes of East Africa had, "given the Nubi a very heterogeneous character".43 But, surprisingly, what Owens does not seem to have noticed was that the "original Nubi" he refers to were themselves very heterogeneous to begin with. Evidence of this heterogeneity was right under Owen's nose and relatively undisguised. It is rather strange that Dr. Owens does not seem to have detected it. The evidence consisted mainly of how the "Nubi" residents of Kibera them- selves used and still us the word "Kambi" (a corruption of the English word "camp"). When the "original Nubi" first settled in Kibera they tended to segre- gate themselves into ethnic-specific units hence the resilience of terms like "Kambi Kakwa," "Kambi Alur," "Kambi Makaraka," "Kambi Avukaya", "Kambi Lendu", "Kambi Bari" etc., incontrovertible and enduring evidence of the original tribes of these heterogeneous "Nubi".44 The fact that there is no "Kambi Nubi" is no accident. "Kambi Nubi" simply does not exist in Kibera. However, the necessity to have a lingua franca, a mutually intelligible lingo, Journal Institute of Muslim Minority Affairs 439 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 forced these immigrant people to develop their "own version of Arabic" partly because a colloquial Arabic was already a common denominator for all the "Kambis". As already mentioned, these "Kambis" continue to exist in Kibera to the present day and point to the multiplicity of indigenous tribes that resulted in the neo-Islamic cultural melting pot called "Nubi". "Kambis" were also present in another major "Nubi" settlement elsewhere in East Africa - Bombo, in the Buganda region of Uganda. In Bomboo too were to be found "Kambi Makaraka," "Kambi Tekrur", "Kambi Bari," "Kambi Mundu," "Kambi Kuku" etc., etc. - a whole host of tribes which were not neatly Sudanese because by the time Emin Pasha operated and recruited his "Sudanese mercenaries" the present borders between Uganda, Zaire (then Congo) and Sudan had not yet, as Stigand and others have reminded us, stabilized or been consolidated. It should also be pointed out that some of Emin Pasha's "mercenaries" or sol- diers who also came to be subsumed under the label "Nubi" came from as far afield as what later became Nigeria, Niger, and Chad in West and Central Africa originally as Muslim pilgrims en-route to Mecca over land in the pre-air travel era. For several reasons many of these Muslims never returned to their respective homelands. In some cases the pilgrimage to Mecca (Hajj) took the better part of a lifetime and according to some estimates the present population of Sudan consists of a considerable "Nigerian" factor consisting of pilgrims who never made it back home to West Africa.45 Dennis Pain has suggested that some of the "Nubi" were in fact Nigerian, though it is conceivable that other West African Muslims were also involved: In a separate and later movement many Nigerians came to the Sudan and some of these joined the Nubians and are to be found among them in Uganda. Indeed Emin found some among them in the 1880s.46 What this demonstrates is that the "Nubi" phenomenon is more heterogene- ous and more universalistic than many Ugandans and other Africans as well as non-Africans have tended to assume. Concerning the theme of the non-tribal names of the "Nubi" let us go a little back in Muslim history. The Caliph ("Khalifa" in Arabic) of Baghdad, Iraq bet- ween 789 and 809 A.D., for example, was Harun al-Rashid. Harun al-Rashid was later to be given popular fame as a hero of the Arabian Nights. In 1980 my colleague at the University of Michigan, Professor Ali A. Mazrui, attended and delivered the keynote address at the ceremony for the installation of the new Chancellor of the University of Calabar in Eastern Nigeria. The new Chancel- lor's name was also precisely Harun al-Rashid. Both Rashids were male. Both were Muslim and both belonged to the same worldwide Muslim Ummah. Both were important personalities in their respective societies albeit in different moments of Muslim history. Had these two men been both Ugandan or East African many non-Muslims there would have jumped to the (wrong) conclu- sion that they both belonged to the same ''tribe" in African terms - the "Nubi". But in fact not only did the two Harun al-Rashids not share a tribe, they were also not from the same nation-state or, for that matter, the same continent. In Black Africa, Islam is strongest in West Africa and in the Horn of Africa. 440 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 It is weakest in Southern Africa. Central Africa and East Africa are somewhere in between. In both West Africa and the Horn of Africa, Muslim purists tended to have double Muslim names making it virtually impossible to identify their tribal or national or African cultural origins. In the case of the "Nubi" it is not just names that have been completely Islamized but also language, albeit a bro- ken rather than the classical Arabic of the Qur'an. However, as has already been pointed out, even in the Arab world proper varieties of the Arabic lan- guage exist, and are sometimes mutually unintelligible unless its speakers approximate and emulate Qur'anic Arabic. This briefly, then, is the thrust of our argument that the "Nubi" have no names of their own, although in their case this was mainly voluntary, or self-embraced disAfricanization at the level of personal identity. To borrow Haley's imagery, there was no Arab slave mas- ter equivalent of the White master in Roots, whipping Kunta Kinte into finally capitulating to the "civilized" name "Toby". Like Cassius Clay who voluntarily became Muhammad AH, most African Muslims opted for Muslim names. But while this disAfricanization of personal identity was voluntary, the death of the languages of the different tribes that came to comprise the East Africa "Nubi" discussed earlier was probably a logical necessity of their predicament. In a way it is comparable to the manner in which the languages the original slaves brought to the New World finally died. The African languages the Afri- can slaves brought were just too numerous and too diverse to permit inter-tribal communication. A Yoruba slave could not possibly have communicated with a Mkongo slave in the plantations of the southern United States. The two lan- guages were simply too different from each other for mutual intelligibility. An additional complication was that,.given the circumstances, the language of command had of necessity to prevail. In North America, the language of com- mand was of course English. In the case of Emin Pasha and his "Sudanese sol- diers/mercenaries" the language of command was Arabic, probably a peculiar brand of Arabic somewhat comparable to the broken Ki-Swahili that German and British colonists insisted on using in communicating with their African sub- ordinates. It is conceivable that the broken Arabic of the southern Sudan, "Junubi," was facilitated to some extent by the racially arrogant Germanic (Teutonic) colonial administrators who insisted on speaking to the "natives" in "their own language" be it Ki-Swahili, Arabic or whatever. Usually these col- onialists' command of the native languages was very poor, or substantially Europeanized enough to result in, in the case of Ki-Swahili, a distinctive dialect called "Kikoloni" (a variety of the Ki-Swahili language spoken by the white col- onialists and settlers). On the whole, the thesis that the Teutonic or Germanic wing of the white race (English, Dutch, German, etc.) was racially arrogant and insisted on speaking with the "natives" in the natives' own languages (however poorly) instead of using English or German or Dutch seems to be validated by the East- ern African experience. Because of this particular racial orientation, the Ger- mans, perhaps in spite of themselves, helped to "Swahilize" Tanganyika (now mainland Tanzania) albeit without having intended the latter-day benefits in terms of national integration and cohesion this process has afforded Tanzania. The British in turn helped to standardize Ki-Swahili and to spread it to other parts of East Africa after the Germans had departed following their defeat in Journal Institute of Muslim Minority Affairs 441 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 World War I. Since it was Teutonic or Germanic whites - Emin Pasha himself was a Ger- man born in Austria - who operated in the Sudan it is equally conceivable that the Germanics helped to spread Arabic in non-Arabized Africa including Southern Sudan/Uganda, primarily as a medium of command in those days. But rather than help to standardize Arabic, the Germanics instead contributed to bastardizing it in this latter case. Standard or classical Arabic owes its quality to the Qur'an, now thirteen centuries old. Arabic had attained a degree of sta- bility and mystique, thanks to the Qur'an, which, to put it mildly, needed little or no European help. The "Nubi" as a "People" Without a Land of Their Own Each African "tribe" or ethnic group has a piece of land that it regards as its own, as its ancestral home. The Baganda have their Buganda; the Basoga their Busoga; the Banyoro their Bunyoro etc., etc. The names of the ethnic group need not reflect or echo the name of the home-land of the relevant people, hence the tendency sometimes to refer to Kikuyu-land, Lugbara-land, etc., etc. in African situations. Colin Legum was certainly right when he once observed that, "In Africa, soil is often thicker than blood".47 The pre-colonial state in Africa entailed the principle of land reverence. It was the Martiniqan poet and inventor of the term "Negritude" - Aime Cesaire - who perhaps best cap- tured this African or black man's orientation: My Negritude is no tower and no cathedral. It delves into the deep red flesh of the soil.48 Indeed pre-colonial Africa (and even post-colonial Africa) indulged in land worship in relation to both cultivation and ancestry. The ancestors were buried there and the present generation sustains itself on land. So will those yet to be born. The contract between the dead, the living and the unborn was by and large land-based. In the case of what is today Republic of Uganda, the name of the entire coun- try is itself derived from a sub-section of its population, the Baganda of Buganda. It is conceivable that some future leader in that country may one day decide to change the name "Uganda" precisely because of its sectional origins, the way Mobuto Sese Seko substituted "Zaire" for "Congo." The Swahili inter- preters of the British colonial authorities have sometimes been credited (or debited) for creating the name "Uganda" partly as a result of their own diffi- culty with pronouncing the word "Buganda." In the words of Professor Karu- gire: In Uganda the most effective agency of transition from the tradi- tional way of life to colonialism was the missionary and the issues of religion have dominated public life in Uganda to the present day. In order to get a proper perspective it is necessary to turn our attention to the activities of the Christian missionaries in Buganda as these explain events in the subsequent Uganda Protectorate - the name Uganda itself owing its origin to the kingdom of Buganda, apparently for no better reason than that the Swahili interpreters of the European colonialists found it difficult to pronounce the word Buganda.49 (Em- 442 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 phasis added) In reality, what the Swahili and Swahili-speaking Arabs were doing was to "Swahilize" the land of the "Ganda" (or more correctly the Baganda). Classical Ki-Swahili normally utilizes the prefix "U" (pronounced "oo") to refer to the "land" or "home" of others as, for example, in the following select illustrations: C/arabum C/turuki C/ajemi C/jerumani C/ngereza t/laya I/faransa — Arab world — Turkey — Persia (today's Iran) — Germany — Britain — Europe — France etc., etc. Indeed, partly because of the role of Ki-Swahili in the history of colonial Uganda names like "Unyoro" (land of the Banyoro) "Usoga" (land of the Basoga) etc., etc. inundate the pages of Ugandan history books. This was the period before Uganda attained its present day territorial boundaries. Dr. Karu- gire and others are right in making the Swahili responsible for giving "Uganda" its name, but it was more for reasons of grammatical consistency than linguistic difficulties in pronouncing the word "Buganda". Grammatical consistency need not of course reflect historical or geographical facts or realities. To the present day, standard Ki-Swahili continues to refer to Ugandans as "Waganda" (plural) each of whom is a Mganda (pronounced "Muganda") which is technically incorrect since the Baganda who call themselves individu- ally as such (Muganda) constitute only a small fraction of the total population of the Republic of Uganda. The Baganda are also only one of over 50 or so ethnic and linguistic groups in the country. The West Nile district alone consists of over ten such groups and this is the area from which the foreign "Nubi" are supposed to have originally come. In this final section we intend to demonstrate that there is no part of present day West Nile or even part of the then Equatoria Province and more specifically the then Lado Enclave which was ever called "Nubi-land" or "Nubi" attesting further still to the non-tribal essence of the "Nubi" phenomenon in an African context. We referred earlier to the role of the Austrian-born German physician - Emin Pasha - who is "debited" with bringing the Sudanese "mercenaries" to Uganda. What ought to have been pointed out as well is that Emin Pasha him- self though "tribally" a German was also a "Nubi". To the extent that he de- Europeanized his personal identity by adopting entirely non-European names and by embracing Islam and its names he, too, was "Nubi". There is some con- troversy regarding the depth of his devotion to the Message of Allah and his motives for doing so but that he converted to Islam and prayed regularly, in and out of Equatoria, is well-documented. What is more, Emin seems to have talked to others outside his domain about his Islamic practices with some pride: During the period he spent with Hakki Pasha he seems to have wholly adopted Turkish manners and customs, and kept to these throughout the rest of his life. According to 'Junker he used to attend mosque regularly on Fridays; on his arrival in Khartoum he Journal Institute of Muslim Minority Affairs 443 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 persisted in calling himself a Turk to Giegler Pasha, then Governor- General, and refused to admit that he was a German, in spite of being described as such on his passport. In 1876, on his visit to Uganda, he told Mtesa that he was a Mohammedan. Whether he had really embraced Islam, or whether this was only a pose, seems uncertain.50 (Emphasis added) The name "Emin" is of course the Turkish version of the Arabic "Amin" and literally means, "faithful" - a common name among Muslims worldwide, as in, for example, Hafizullah Amin, the late president of Afghanistan. Thus the man who is supposed to be responsible for bringing the "Nubi" to East Africa is supposed to be the Austrian born German doctor Edward Schnitzer, alias Emin (Amin) Pasha. Although racially or "tribally" a German, Emin Pasha was himself deeply immersed in Islamic and Turkish culture and cultivated the friendship of influential people in the Ottoman Empire. He was assigned the responsibility of recruiting Sudanese soldiers to "pacify" the vari- ous feuding tribes and kingdoms of Uganda and to help bring them under Anglo-Egyptian control. Where did Emin Pasha recruit his mercenaries? Were they from the Nubian Mountains in Upper Egypt and the Egypt-Sudan border areas? Were his sol- diers the original Nubians (not "Nubi") of Upper Egypt with a rich and well documented civilization? The Nubians of Upper Egypt and Northern Sudan had of course resisted Islam for quite a long time, having been converted to Christianity a few centuries previously. The Nubian culture and civilization has been used by African historians and Black pan-Africanists including W.E.B. Dubois, Chiekh Anta Diop and others as part of the evidence for arguing that pre-colonial Africa was not as primitive as has been alleged and that pre-colo- nial Africa had a rich civilization of its own, the Nubian paradigm being pre- eminent among them. The Nubians of Upper Egypt have of course a language of their own which is very distinctive and has no affinity at all with the Arabic language, although the twin processes of Islamization and Arabization have, gradually but stead- ily, been making inroads into Nubia for over ten centuries now. The National Egyptian Museum in Cairo has to this day a wide variety of Nubian artifacts as part of the Egyptian cultural heritage. There is no evidence whatsoever, either linguistic or otherwise (including the artifacts in the Museum in Cairo) of any link at all between the Nubians of Upper Egypt/Northern Sudan and the "Nubi" of East Africa. If Emin Pasha did not recruit his men from Upper Egypt, where then did he get them? Need he have recruited them from that far afield? If Emin Pasha's theatre was what is today Southern Sudan, northwestern Uganda and northeastern Zaire how could it be that he recruited his "mer- cenaries" from over one thousand miles away, especially in those old days of poor communications and near-impossible mobility? The Egyptian Government was not in a position, financially, geog- raphically or materially, to support this distant province (Equatoria), cut off from it by a thousand and more miles of impenetrable and hostile territory.51 444 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 Didn't Emin Pasha have "natives" nearer to his theatre of operation to use? This writer is convinced that Emin Pasha's recruits were drawn substantially from the then Lado Enclave which has since become parts of three different countries, (Sudan, Uganda and Zaire) now accountable to three divergent cap- itals: the three Ks of Kampala, Khartoum and Kinshasa. And the very fact that there is no piece of land called "Nubi-land" anywhere in southern Sudan is further testimony to the fact that the label "Nubi" which came to stick on these soldiers, either referred to the type of Arabic ("Junuub"-Southern) they spoke, or simply was used, for lack of a better term, as a collective name for a group of ethnically diverse and linguistically disparate African soldiers who, like Emin Pasha himself, were by now Muslim. Indeed some of Emin Pasha's com- manders were well-known pure "tribal" Africans who had their own "tribes" and languages in the usual African sense. John Agami identifies two such Afri- cans and their respective African "tribes". The descendants of these comman- ders were probably later detribalized (Islamized and semi-or Creole-Arabized) and came to be labelled "Nubi". In the words of John Agami, himself a living Lugbara ex-soldier from the West Nile district of Uganda: The origin of the Armed Forces of modern Uganda (till 1979) were Sudanese soldiers who mutinied against Dr. Emin Pasha, Governor of Equatorial Nile in 1889. These soldiers were of various tribes in Sudan (now Southern Sudan) under the Command of Fadl el Mula (notice Muslim names) a 6 feet 4 inchess tall Lugbara and Selim Bey a giant Makaraka: They were adopted and adapted by a man called Captain Fredrick Lugard who was employed by the Imperial British East African Company which needed a military protection for a suc- cessful colonization of the people of the head-waters of the Nile.52 Mr. Agami is certainly correct in re-stating the obvious fact that Emin Pasha recruited for his military forces from a variety of black African ethnic groups or "tribes" including Dr. Agami's own - the Lugbara. Unfortunately for a West Nile Ugandan who should have known better. Dr. Agami insists on using the historically anachronistic label of 'Southern Sudanese' to describe his own people long after the borders had shifted. Part of the then Lado Enclave "re- mained" Sudanese of course, but two other substantial branches became part of today's Uganda (and Mr. Agami would describe himself as a Ugandan) while a third portion was given to Mobutu Sese Seko's Zaire, formerly Congo Leopoldville. Conclusion History is replete with instances of mistaken identities. The range is from Chris- topher Columbus' contribution in labelling native Americans, "Indians," to the ongoing insistence by the Swahili that an individual Ugandan is Mganda (Muganda). Africa's artificial borders and changing identity labels have of course compounded the problem of this particular continent. One such case of mistaken identity is the one discussed in this paper - the "Nubi" - a group of partially detribalized and heterogenous Africans whom alien forces once uprooted, militarized and to some extent semi-disAfricanized. A new breed of Africans was thus born out of this interaction between the indigenous (the arena Journal Institute of Muslim Minority Affairs 445 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 and the people), the Islamic (Islamization and "Creole-Arabization") and the new territorial imperative (the Western concept of the nation-state) of the Western heritage. The concept of Africa's 'Triple Heritage' which has fasci- nated great African minds from Kwame Nkrumah to AH Mazrui is perhaps most paradigmatically captured in the emergence of such a community. The majority of indigenous Southern Sudanese vo':tinue to be both milit- antly anti-Islamic and anti-Arab. They are themselves largely non-Muslim and have, partly on this basis, fought one of Africa's longest and bloodiest civil wars against their Arabized and Islamized compatriots to the North. Yet the dispa- rate Southern Sudanese continue, paradoxically, to use "their own version of Arabic". Today there are thousands of "Nubi" - virtually wholly Muslim West Nile Ugandans of various "tribes" who are post-Amin refugees in the Southern Sudan living, not in disharmony but in fraternal peace, with their host-cousins across the European-drawn borders to the north. The territorial imperative of the modern state that the West bequeathed to Africa and the dichotomous con- ception of the world between the "Abode of Islam" and the "Abode of War," have not stopped these Africans from loving each other. Yet, the Anyanya Movement is militarily resurrected against Arabized Northern Sudan. But the Anyanya have not rejected their own "prodigal sons" from further south, in what Emin Pasha and his Ottoman employers used to include in their concept of "Equatoria." In Africa "soil is perhaps thicker than blood" but blood is still thick, usually thicker than religion and western-style territorial jurisdiction. What this demonstrates is that the "Nubi" phenomenon in Uganda especially as well as in other parts of East Africa, is not a sudden alien intrusion but an integral part of its modern history. It is also inextricably linked to the pattern of ethnic affiliations between the West Nile district of Uganda and the contigu- ous areas of the Sudan and Zaire. The "Nubi" factor in Uganda also simply reaffirms that the boundaries drawn up by the colonial powers were arbitrary. One result has been the tendency sometimes to disregard and defy national frontiers, for better or worse. Notes 1. Michael Twaddle, "The Ousting of Amin," 77ie Round 7aWe, No. 275 (July, 1979). p. 221. 2. Bernd Heine, The Nubi Language of Kibera - An Arabic Creole (Berlin: Dietrich Reimer Verlag, 1982) p. 11. 3. See for example Tony Avirgan and Marsha Honey, War in Uganda (Westport, Conn.: L. Hell, 1982); Princess Elizabeth of Toro, African Princess: The Story of Princess Elizabeth of Toro (London: Hamish Hamilton, 1983); M.S.M. Semakula Kiwanuka, Amin and the Tragedy of Uganda (Munchen: Weltforum, Verlag, 1979); David Martin General Amin (London: Faber and Faber, 1974); Iain Grahame, Amin and Uganda: A Personal Memoir (London, Toronto and New York: 1973) Henry Kyemba State of Blood (London: Corgi Books, 1977) Dennis C. Hills, The White Pumpkin London: George Allen and Unwin, 1975); B.W. Langlands, "Students and Politics in Uganda" African Affairs vol. 76, No. 302. January, 1977; David Gwyn, idiAmin: Death Light of Africa (Boston and Toronto: Little, Brown, 1977); Ali A. Mazrui, Soldiers and Kinsmen in Uganda: The Making of a Military Ethnocracy (Beverly Hills, California: Sage Publication, 1975) A.G.G. Gingyera- Pinycwa, Apolo Milton Obote and His Times (New York, London and Lagos: NOK Pub- lishers, 1978); Ali A. Mazrui, "Religious Strangers in Uganda: From Emin Pasha to Amin Dada" African Affairs (London), vol. 76, no. 302 (January, 1977) pp. 21-28. 4. Unlike other East African people, the "Nubi" tend to live in or.near urban centres. The rad- ical Kenyan historian Atieno Odhiambo has described them as a "tribe without hinterland". 446 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 See his, "Cry havoc! And Let Ship the Dog of War: Historical origins of the Nubian "tribe" in East," Nairobi, 1977 Annual Conference of Historical Association of Kenya. 5. Aidan Southall, "General Amin and the Coup: Great Man or Historical Inevitability?" The Journal of Modem African Studies vol. 12, no. 1 (1975) pp. 85-105; 6. Consult Ali A. Mazrui, The Political Sociology of the English Language: An African Perspective (The Hague: Mouton, 1975). 7. Consult for example Dunstan M. Wai, The African-Arab Conflict in the Sudan (New York: Africana, 1981), pp. 17-18. 8. Heine, The Nubi Language ofKibera, op. cit. 9. Ibid., p. 17. A\soseeDavidDalby,LanguageMapofAfricaandtheAdjacentIslands(Lon- don: International African Institute, 1977) p. 24. 10. Major C.H. Stigand, Equatoria: the Lado Enclave (London: Frank Cass and Company Ltd., 1923) 1968 ed. 11. Ibid., p. 29. 12. David Martin, General Amin (London: Faber and Faber, 1974), pp. 17-18. 13. Aidan Southall, "Social Disorganization in Uganda: Before, During and After Amin" The Journal of Modern African Studies vol. 18, no. 4 (1980) pp. 627-656. 14. Southall, "General Amin and the Coup," op. cit., p. 102. 15. Cited in S.M. Mpambara, The Gold Allegation in Uganda (Nairobi: East Africa Institute Press, 1967) p. 74. 16. See for example, Ali A. Mazrui, "The Lumpen Proletariat and Lumpen Militariat: African Soldiers as a new Political Class," Political Studies (United Kingdom) vol. 21, no. 1 (Feb- ruary, 1977). 17. lain GrahameMmin and Uganda: A Personal Memoir (London: Granada, 1980) pp. 38-39. 18. Ibid., p. 90. 19. Ibid., p . 116. 20. Ibid., p . 134. 21. Ibid. 22. Ibid., p. 39. 23. Ali A. Mazrui. "Between Development and Decay: Anarchy, Tyranny and Progress under Idi Amin." Third World Quarterly vol. 11, no. 1 (January, 1980) p. 40. 24. Ali A. Mazrui, "Boxer Muhammad Ali and Soldier Idi Amin as International Political Sym- bols: The Bioeconomics of Sports and War." Comparative Studies in Society and History, vol. 19, no. 2 (April. 1977). Also consult idem. 25. Henry Kyemba. State of Blood (London: Corgi books. 1977) p. 18. 26. Ali A. Mazrui. "Eurafrica. Eurabia. and African-Arab Relations: The Tensions of Tripo- larity." in Dunstan M. Wai (ed.) Interdependence in a World of Unequals (Boulder, Col- orado: Westview Press. 1982) p. 19. 27. Samwiri Rubaraza Karugire. A Political History of Uganda (Nairobi and London: Heinemann. 1980) p. 116. 28. See Colin Legum, "Uganda." in Legum (ed.) Africa Contemporary Record: Annual Survey and Documents. 1973-74 (New York: African Publishing Co.. 1974) p. B295. 29. We have here expanded on Lerner's more compressed remarks: "Taking the suggestion of the Swiss-Italian theorist Roberto Michels' that every man has two dominant myths - the myth of origin and the myth of mission - America's rejection of Europe and the rebellion against the father may be seen as part of its mythology." See Lerner America as Civilization, (New York: Simon and Schuster. 1957). p.26. Also consult Ali A. Mazrui "Political Nostal- gia" Ibadan Journal of Humanistic Studies no. 2 (October. 1981) pp. 1-17. 30. Again I am indebted to sustained intellectual stimulation by Ali Mazrui. Consult for exam- ple his unpublished manuscript. "African Political Thought." Department of Political Sci- ence. University of Jos. Unpublished MS, 1983, p. 6. 31. For details of Obote's moves consult David Martin. General Amin, op. cit., especially pp. 26-48. 32. Jan Jelmert Jorgensen, Uganda: A Modern History (London: Croom Helm. 1981) p. 256. 33. See for example David Martin. General Amin, op. cit. 34. Ali A. Mazrui. "The Semitic Impact on Black Africa: Arab and Jewish Cultural Influ- ences," Issue: A Quarterly Journal of Opinion vol. XII (1984) pp. 3-8. 35. Michael Twaddle, "The Ousting of Amin."op. cit.. p. 221. 36. J. Spencer Trimingham, The Influence of Islam Upon Africa (London and New York: Longman. 1968). 1980ed..p. 133. 37. Consult for example Omari H. Kokole. "African and Arab States and the Call for a New Journal Institute of Muslim Minority Affairs 447 D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 International Economic Order" Issue: A Quarterly Journal of Opinion vol. XIII (1984), pp. 14-19. And AH A. Mazruij "Cultural Aspects of Foreign Aid" The Overseas Development Institute Bulletin (London) Autumn, 1978. 38. See Ali A. Mazrui, Africa's International Relations: The Diplomacy of Dependency and Change (London and Boulder, Colorado: Heinemann and Westview Press, 1977), p. 154. 39. See Sheikh Muhammad Said Farsi quote in Peter Truell, "Amin Now More Tourist than Tyrant," Canada Times May 15,1984. 40. Alex Haley, Roots: The Saga of an African Family (Garden City, New York: Doubleday and Company, 1976), p. 255. 41. . Stigand, Equatoria: The Lado Enclave op. cit., pp. 57-58. 42. Jonathan Owens, "Nubian Reputation," The Weekly Review (Nairobi, Kenya), August 11, 1975, p. 2. 43. Ibid. 44. This writer was last in Kibera in March, April, and May, 1983. 45. See, for example, J.S. Birks "The Mecca Pilgrimage by West African Pastoral Nomads," The Journal of Modern African Studies vol. 15. no. 1 (1977), pp. 47-58. 46. Dennis Pain, "The Nubians: Their Perceived Stratification System and Its Relation to the Asian Issue" in Michael Twaddle (ed.) Expulsion of a Minority: Essays on Ugandan Asians (London: The Athlone Press, 1975), p. 178. ' 47. Colin Legum, "African, the Arabs and the Middle East" ini egum (ed.) Africa Contempor- ary Record: Annual Survey and Documents, 1972-73(London: RexCollings, 1973),p. A6. 48. Aime Cesaire, Return to My Native Land (1939). 49. Karugire, A Political History of Uganda, op. cit., pp/62-63. 50. Stigand, Equatoria: The Lado Enclave, op. cit., pp. 165-166. 51. Ibid., p. 184. 52. John B. Agami, The Roots of Political Crisis in Uganda (Denmark: H.P. Tryk. Kastrup, 1977), p. 117. 448 Journal Institute of Muslim Minority Affairs D ow nl oa de d by [ U ni ve rs it y of L ee ds ] at 0 7: 30 1 5 S ep te m be r 20 11 
work_5t6vzbrvjvfglo3v7dy5hdamke	----	Musset, Alain. Villes Nomades du Nouveau Monde. Paris: Editions de l'Ecole des Hautes Etudes en Sciences Sociales, 2002. Pp. 398. Tables, maps, illustrations, bibliography, glossary, geographic index, thematic index. (Civilisations et sociétés 109). ISBN 0069-4290 All Rights Reserved © Urban History Review / Revue d'histoire urbaine, 2003 Ce document est protégé par la loi sur le droit d’auteur. L’utilisation des services d’Érudit (y compris la reproduction) est assujettie à sa politique d’utilisation que vous pouvez consulter en ligne. https://apropos.erudit.org/fr/usagers/politique-dutilisation/ Cet article est diffusé et préservé par Érudit. Érudit est un consortium interuniversitaire sans but lucratif composé de l’Université de Montréal, l’Université Laval et l’Université du Québec à Montréal. Il a pour mission la promotion et la valorisation de la recherche. https://www.erudit.org/fr/ Document généré le 5 avr. 2021 21:09 Urban History Review Revue d'histoire urbaine Musset, Alain. Villes Nomades du Nouveau Monde. Paris: Editions de l'Ecole des Hautes Etudes en Sciences Sociales, 2002. Pp. 398. Tables, maps, illustrations, bibliography, glossary, geographic index, thematic index. (Civilisations et sociétés 109). ISBN 0069-4290 Jordana Dym Volume 31, numéro 2, spring 2003 URI : https://id.erudit.org/iderudit/1015772ar DOI : https://doi.org/10.7202/1015772ar Aller au sommaire du numéro Éditeur(s) Urban History Review / Revue d'histoire urbaine ISSN 0703-0428 (imprimé) 1918-5138 (numérique) Découvrir la revue Citer ce compte rendu Dym, J. (2003). Compte rendu de [Musset, Alain. Villes Nomades du Nouveau Monde. Paris: Editions de l'Ecole des Hautes Etudes en Sciences Sociales, 2002. Pp. 398. Tables, maps, illustrations, bibliography, glossary, geographic index, thematic index. (Civilisations et sociétés 109). ISBN 0069-4290]. Urban History Review / Revue d'histoire urbaine, 31(2), 51–51. https://doi.org/10.7202/1015772ar https://apropos.erudit.org/fr/usagers/politique-dutilisation/ https://www.erudit.org/fr/ https://www.erudit.org/fr/ https://www.erudit.org/fr/revues/uhr/ https://id.erudit.org/iderudit/1015772ar https://doi.org/10.7202/1015772ar https://www.erudit.org/fr/revues/uhr/2003-v31-n2-uhr0588/ https://www.erudit.org/fr/revues/uhr/ Book Reviews jects they are writing about, and all in their own ways offer consi- dered and thoughtfully crafted essays which will become a first point of reference for students and scholars alike. Some, such as those on London and on culture, offer succinct and carefully balanced introductions to topics much discussed and some- what controversially so (as, for example, the debate over stabili- ty in London). Others introduce subjects newly studied or recently invigorated by new work, such as politics and govern- ment, population, industrialisation, the formation of regional and county centres, disease, and belonging. A further pleasure comes in reading parallel essays across the 1700 divide. Thus one learns a good deal about ports between 1540 and 1800, or small towns, or the role of towns in the predo- minantly agrarian economy before 1700 and in the rapidly chan- ging economy thereafter, or the changing nature of urban space. However, as with the regional divisions, there are problems with choosing 1700 as a decisive dividing date. To take one ob- vious example, the division of the two chapters on culture implies that religion was the essential feature of urban culture before 1700, but not thereafter, which sits awkwardly with several recent studies of religion and urban society in the nineteenth century. The decision to avoid separate chapters on women, children, and the poor, in preference to integrate their experience, was an understandable one, but several essays could have gone further in insisting upon the importance of gendered experience. To- pics such as childhood, youth, and aging get short shrift here, which is unfortunate given our rapidly expanding knowledge of children, youth, and the old in urban societies. Overall, aside from the chapter considering urban identities - 'belonging and estrangement' - the impression given is that this is a worthy, but somewhat traditional, selection of topics and themes. There isn't as much as one might have hoped on such topics as food, con- sumption, health and medicine, theatre, and the professions. Readers would have also benefited from a much stronger at- tempt to integrate the picture section with the text. These reservations aside, this is most certainly a very rich collec- tion, and readers will want to return to its essays several times. One of its great successes is that Wales and Scotland are not abandoned after the two early chapters devoted to those coun- tries; many authors worked especially hard to ensure their contri- butions were truly British. Overall, then, this volume of The Cambridge Urban History of Britain goes a long way to providing an authoritative introduction to the state of the field. Clark's vo- lume of essays is timely in another sense, for as the British ur- ban landscape and structure changes with developments such as the construction of suburban shopping malls and mayoral e- lections, never was there a more pressing need to understand the nature of the dramatic changes that took place in Britain's ur- ban communities between the Reformation and the railway age. David Dean Carleton University Musset, Alain. Villes Nomades du Nouveau Monde. Paris: Editions de l'Ecole des Hautes Etudes en Sciences Sociales, 2002. Pp. 398. Tables, maps, illustrations, bibliography, glossary, geographic index, thematic index. (Civilisations et sociétés 109). ISBN 0069-4290. Commentary on and analysis of the city as a tool of Spanish conquest and colonization in the Americas have existed since settlers on Hispaniola overthrew Christopher Columbus in part for failing to understand that, for Spaniards, to "discover and set- tle" meant founding a proper town and establishing a local go- vernment. Yet substantial scholarship on colonial urbanization has traditionally concentrated on broad theory or local practice, shying away from systematic analysis of geographically sepa- rate but culturally or politically related phenomena. French geo- grapher and historian Alain Musset breaks this trend in a study of the practice of relocation of colonial Spanish cities and towns, finding colonial administration and society open to, and actively supportive of, "nomadic" urban practices. As is often the case with paradigm-breaking historical research, coincidence piqued Musset's initial interest in the topic. Present in Mexico City during discussions of relocation after a devasta- ting 1985 earthquake, he learned that similar proposals had been made in the sixteenth and seventeenth centuries. While that metropolis never moved, seven years in European and Ame- rican archives, combined with gumshoe work on location in rui- ned cities of Mexico, the Caribbean, Central and South America showed Musset 161 instances of successful traslados, or reloca- tions, of colonial capitals and strategic cities over a period of three hundred years. From these disparate cases, he developed a theory of causes and consequences of "nomad cities" in colo- nial Spanish America. The lengthy study is divided into four sections (3 chapters apie- ce), each accompanied by useful black and white maps, tables, drawings, and photographs that illustrate an often-spatial argu- ment. The first, and more compelling, sections - "Towns of pa- per" and "Times of Error and Wandering" - address the theory and practice of Spanish settlement that created conditions favo- ring municipal relocation as a tool of empire. Musset's principal task is to explain close to 300 relocations experienced by 161 Spanish towns he believes comprise about 15% of those foun- ded during the colonial period (p. 120). To do so, he demonstra- tes how ideas from Roman to Renaissance influenced the choice of the city, an idealized community, as Spanish Ameri- ca's principal political institution and shaped settlers' expecta- tions as well as royal ordinances for city layouts and location that addressed issues of health, geography, and order. Musset then shows that when, despite careful planning, the ideals failed to produce viable results, the same demands for health, physi- cal security, and order justified relocation. Limits of early mo- dern scientific knowledge about climate, earthquakes, volcanic eruptions, and hurricanes (80 moves) and failure to plan ade- quately for Indian and pirate attacks (112 moves) accounted for the majority of relocations. Regional maps refine this information to demonstrate how natural disasters and health concerns oc- curred in all areas of the Americas, whereas human challenges 50 Urban History Review /Revue d'histoire urbaine Vol. XXXI, No. 2 (Spring 2003 printemps) Book Reviews justified relocation primarily on the fringes of empire. Not con- tent to understand why Spanish Americans relocated so many cities, Musset asks when they became peripatetic and finds that two thirds of the moves represented "immediate" or "rapid" relo- cations responding to immediately recognized errors in a town's first few years (50 moves), before a substantial physical plant and economic system were firmly in place. Yet, at the other ex- treme, 41 moves occurred as reluctant response to disaster more than a hundred years after an initial foundation, confirming Musset's thesis of a fundamental cultural openness to movable cities. As a further taxonomy, Musset hints that some towns could be considered "ephemeral," some "intermittent" and o- thers "portable" (p. 139), but does not elaborate. This section provides a compelling model for the phenomenon and classifi- cation of nomad towns, although the reader may wonder why Musset insists that such moves represent the fragility of the ur- ban system, since his evidence implies that the other 85% of towns and cities, established under similar situations, nonethe- less remained in their initial locations. The second half of the book - "To leave is to die a little" and "Territories of the nomad town" - considers the political, social, and economic process, and consequences of resettlement. Musset first evaluates the costs and benefits of a municipal move from local and imperial perspectives, and is most suc- cessful when showing how the cases made for or against a traslado by affected interest groups - Crown, royal officials, cler- gy, city officials, elites, and plèbes - provide insight into social divides and political fractures. However, instead of investigating patterns of behavior for each group, as he ascertained key cau- ses and parameters for each relocation, Musset provides casca- des of examples for each point that dilute the focus from analysis to narrative (Chapter 7). As a result, he fails to address important paradoxes.raised by his cases, such as why the Crown instigated efforts to move some cities (Mexico, 1629) while it disapproved the move of others (San Salvador, 1674), and why local support for a municipal transfer in response to one earthquake (Guatemala, 1717) turned into resistance fol- lowing another (Guatemala, 1773). Similarly, actions of town councils are assumed to represent proto-nationalist Creole in- terests standing up to Spanish officialdom, when actual rela- tionships were often based on trans-Atlantic and regional patron-client networks (Chapter 8). Finally, the book addresses the territorial aspect of municipal relocation: selection of a new site and assignment of new lands to those who leave the old. Musset considers that not only material concerns were at stake, but issues of individual and municipal prestige and prominence. Who would receive a lot near the center of the new town? Would selection of new common lands interfere with existing private land ownership? Should Indian villages around a city move with it? What status might a city lose within the colonial administra- tive hierarchy by relocating? Here Musset once again raises key issues and provides relevant cases, but fails to provide a uni- fying thread or analyze change over space and time. In sum, Musset lays out four key areas for study in cases of "no- mad cities" - theory and practice of municipal foundation, cau- ses for relocation, conflicts created by relocation, and political, social and territorial consequences of moves - but presents do- zens of cases and few comparative analyses, except in the sec- tion on the timing and causes of the traslados. The multiplicity of topics addressed, methods used, and cases presented someti- mes make it difficult to follow the broader argument or evaluate evidence of change over time. Yet there is much to recommend this research. As both geographer and historian, archivist and in- terviewer, Musset uses colonial texts and images to give voice to ideals, ideas, and policies of individuals and societies of the past; narration of encounters with city officials, residents, and mi- litary officers enliven the text while demonstrating the long-term resonance of colonial municipal loyalties and dispute. Together, these methods highlight the cultural and political (subjective) as well as scientific (objective) spirit that infuse the creation of re- sources historians use to understand the past. Of particular in- terest is the comparison of Mexican and Central American town reports of 1573 on climate, with contemporary meteorological data from the same areas to demonstrate how political and cul- tural agendas, as much as scientific knowledge or religious faith, influenced Spanish decision-making and official reporting on city foundation and location. Finally, this book, while raising as many questions as it answers, underlines the importance of comparative research programs, which, by correlating seemin- gly independent or disparate phenomena, arrive at important in- sights, such as a pattern of municipal settlement and resettlement in colonial Spanish America. Subsequent research should address the complexities glossed over in this volume. In the meantime, the story of Spanish America's nomad cities will be of interest to scholars not only of this place and time, but to urban historians who might find methods and arguments useful for examining nomad cities within national contexts, or for com- parison with cities founded as part of later European colonial projects in Africa and Asia. Jordana Dym Skidmore College Christoph Bernhardt & Geneviève Massard-Guilbaud (eds.) 2002. Le démon moderne. La pollution dans les sociétés urbaines et industrielles d'Europe. The modem demon. Pollution in urban and industrial European societies, Clermont-Ferrand, Presses Universitaires Blaise-Pascal, Pp. 464. La pollution urbaine n'est pas un phénomène nouveau. Avec l'in- dustrialisation massive des villes au XIXe siècle, les autorités pu- bliques et les membres de l'élite locale se sont graduellement préoccupés des nuisances engendrées par les procédés de production industrielle. En raison des interventions des autorités locales, nationales, de même que de l'action collective des mou- vements sociaux visant à maîtriser le «démon moderne», nos mi- lieux urbains sont aujourd'hui relativement plus sains que ceux que connurent les habitants des villes européennes en voie d'in- dustrialisation. En effet, dans nos villes post-industrielles, plu- sieurs indicateurs récents témoignent, notamment, d'un air assaini et d'un certain retour de la «nature» en ville par le biais de l'agrandissement des surfaces boisées. En plus du proces- sus de désindustrialisation et de l'intérêt pour la qualité de vie, 51 Urban History Review /Revue d'histoire urbaine Vol. XXXI, No. 2 (Spring 2003 printemps) 
work_5uyvytk3wnctjdlxxfgdusuub4	----	34 ArcheomaticA N°2 giugno 2013 MUSEI StruMentI InterAttIvI AllA ScopertA dI coloMbo e del porto dI GenovA di Serena Boglione Nel nome di Cristoforo Colombo si identifica, simbolicamente, la nuova idea di museo, realizzato con il supporto tecnologico di ETT: la scoperta e la riscoperta della storia e del patrimonio culturale attraverso nuovi linguaggi, nuovi strumenti e nuove chiavi di lettura capaci di coinvolgere, appassionare ed agire da detonatore alla curiosità del visitatore trasformando una semplice visita al museo in una autentica esperienza multisensoriale. C on le nuove sale allestite al Mu.MA di Genova, dedicate alla figura del navigatore genovese e alla storia del Porto di Genova, si parte alla scoperta di Cristoforo Colombo. E’ un ulteriore tassello che arricchisce un allestimento già fortemente caratterizzato dalla presenza di contenuti interattivi e che prosegue sulla linea del rinnovamento, accentuando i propri attributi di immersività e connettività, proponendo al visitatore un dialogo sempre più diretto e stimolante. Nel nome di Cristoforo Colombo si identifica, simbolicamente, la nuova idea di museo, realizzato con il supporto tecnologico di ETT: la scoperta e la riscoperta della storia e del patrimonio culturale attraverso nuovi linguaggi, nuovi strumenti e nuove chiavi di lettura capaci di coinvolgere, appassionare ed agire da detonatore alla curiosità del visitatore trasformando una semplice visita al museo in una autentica esperienza multisensoriale. Le ampie competenze maturate da ETT S.p.a. nei diversi ambiti in cui opera, che abbracciano e-government, e-business, ricerca e new technology, concorrono a definire l’approccio dell’area New Media e ad arricchire la ri- cerca in ambito tecnico scientifico con l’obiettivo di valorizzazione e divulgazione del patrimonio storico-culturale attraverso le potenzialità offerte dalle nuove tecnologie. L’esperienza e la visione di ETT in ambito museale si esprimono nella continua ricerca di una sempre più efficace sinergia tra Museo e nuove tecnologie e nell’introduzione di innovativi metodi di comunicazione e di strumenti di “ultima generazione” (interfacce touch screen, realtà aumentata, immagini 3D, interazione con oggetti, rico- noscimento vocale) più adatti ad agevolare la fruizione e a rendere “attivo” il ruolo del visitatore all’interno del museo. La continua evoluzione della tecnologia di supporto alle esposizioni museali è stimolata dalla moltiplicazione dei flussi turistici e dalla globalizzazione, che richiedono uno sforzo costante per raggiungere differenti target di visitatori, di diverse lingue e culture. La tecnologia diventa così il mezzo più efficace per valorizzare l’esperienza cognitiva ed informativa e per consentire al visitatore di interagire in modo personalizzato con l’ambiente che si trova a visitare. In questa differente concezione di Museo, ETT mette il proprio carattere innovativo al servizio delle moltepli- ci attività che contribuiscono a realizzare una progettazione globale dell’allestimento museale: i processi di Fig. 1 – Galata Museo del Mare Tecnologie per i Beni Culturali 35 sori (digitali, sonar, capacitivi, a infrarossi o di profondità) collegati a fonti luminose, sistemi audiovisivi, proiezioni e monitor touch consente inoltre di creare esperienze poli- sensoriali basate sull’interazione naturale. Un ulteriore strumento che contribuisce a rendere ancora più avvincente l’esperienza è Kinect, un sensore che consente di ricreare un ambiente in cui il fruitore può muoversi utilizzan- do solo la sua gestualità come in un contesto reale, senza bi- sogno di usare dispositivi né di indossare niente di estraneo, adoperando il proprio corpo come interfaccia. Il coinvolgimento e la curiosità del visitatore vengono inoltre stimolate dalle applicazioni per dispositivi Mobile (Smartpho- ne e Tablet) dedicate alla visita museale, con diversi sistemi di attivazione del contenuto, Realtà aumentata, NFC, RFID e QR Code, che consentono di approfondire i temi di maggiore interesse. RILEGGERE LA STORIA: UN NUOVO ALLESTIMENTO PER ANTICHI REPERTI Il Galata Museo del Mare, in occasione del recente restyling di una delle sue aree più antiche, si è affidato all’esperienza di ETT per la realizzazione di un allestimento ad alto conte- nuto tecnologico. Fin dagli inizi, nel 2004, il Galata Museo del Mare si è affer- mato come una delle realtà culturali italiane più avanzate tecnologicamente, grazie alla particolare cura del dettaglio e alla continua ricerca di allestimenti fortemente scenogra- fici e improntati a multimedialità e interattività. La formula allestitiva seguita dal Museo è da sempre fondata su una co- stante rivisitazione delle collezioni permanenti, che vengono dotate, di volta in volta, di nuove strutture informatizzate per la loro migliore valorizzazione. Rientra in quest’ottica il già citato rinnovamento dell’area espositiva introduttiva del percorso, relativa al porto di Genova alla fine del Medioevo e alla storia di Cristoforo Colombo. Per valorizzare quest’area, che espone i masterpiece più ri- levanti dell’intera collezione del museo, sono stati allestiti grandi monitor interattivi che assolvono alla duplice funzione di “spiegare” e “suggestionare” il pubblico. elaborazione del Concept, in stretta collaborazione con la Committenza; la progettazione e l’allestimento degli spa- zi espositivi; la definizione dei contenuti; la realizzazione dell’infrastruttura sistemistica e la creazione di ambienti interattivi. La capacità di gestire e coordinare questo com- plesso insieme di processi consente di seguire e portare a termine la realizzazione di un allestimento museale in modo completo. Il sistema museo realizzato da ETT si attua attraverso l’uti- lizzo di dispositivi di diverso tipo. In ambito educational, per la didattica e il laboratorio mul- timediale, vengono utilizzati strumenti costituiti da og- getti “parlanti” (RFID, NFC, Visual Tag), giochi interattivi o tavoli multitouch per la rielaborazione dell’esperienza museale; la narrazione dei contenuti viene affidata a pro- iezioni a fruizione passiva, tramite video, retroproiezioni, videowall e ologrammi, capaci di creare effetti spettaco- lari che favoriscono il coinvolgimento e l’immersività del visitatore nell’ambiente visitato. Effetti di ancora maggiore suggestione vengono raggiunti con l’utilizzo di ricostruzioni 3D, realizzate con proiezioni stereoscopiche ed auto-stere- oscopiche, immagini olografiche ed ambienti virtuali e con l’impiego dell’Augmented Reality (marker tag recognition, markerless, GPS), in grado di attuare esperienze e processi di conoscenza e di ricreare atmosfere del passato anche in assenza di oggetti fisici. La partecipazione interattiva e la creazione di percorsi per- sonalizzati avvengono attraverso la presenza di superfici touchscreen, che, integrate nell’allestimento tramite tavoli multi-touch, vetrine e superfici con sensori capacitivi, con- sentono al visitatore di esplorare i diversi contenuti museali grazie a un semplice tocco delle dita. L’installazione di sen- Fig. 2 – Il nuovo allestimento della sala dedicata a Cristoforo Colombo 36 ArcheomaticA N°2 giugno 2013 DIDASCALIE INTERATTIVE IN QR CODE Per creare un dialogo diretto e personale con il percorso mu- seale, per la prima volta, a Genova, in un contesto perma- nente, viene utilizzata la tecnologia QR Code. Nel nuovo approccio sperimentale adottato dal Galata, il visi- tatore riceve istruzioni prima di entrare nella sala del museo ed è chiamato a utilizzare la sua applicazione per leggere i QR Code, strategicamente collocati vicino a una vetrina o in prossimità di un oggetto. Scannerizzando il codice il vi- sitatore viene invitato a scegliere la lingua desiderata (ita- liano, inglese o francese) e ha così accesso a pagine web in cui leggere o ascoltare testi di approfondimento sugli oggetti esposti e visualizzare immagini e didascalie. La selezione degli oggetti accompagnati da QR Code nella prima sala riguarda: 4 Il Porto dopo il Medioevo 4 Una veduta di Genova nel 1481 4 La lotta per i fondali 4 Dai pontili in legno ai moli 4 Le grandi navi dei Genovesi Nella sala dedicata a Colombo, grazie al proprio smartphone è possibile navigare nei seguenti temi: 4 Colombo: un marinaio genovese? 4 I quattro viaggi di Colombo 4 Navi o caravelle? 4 Carta, bussola, astrolabio e clessidra 4 Erdapfel, la mela terrestre 4 I molti volti di Colombo 4 I documenti “genovesi” L’introduzione di questi nuovi strumenti dà al visitatore l’op- portunità di scegliere quando e quanto approfondire i temi che suscitano maggiormente il suo interesse, rendendo la visita museale un’esperienza esplorativa più consapevole e coinvolgente. Ma anche di dilatare l’esperienza nel tempo, rendendo possibile scaricare le immagini e i testi da rileggere e da condividere a visita ultimata. POSTAZIONE TOUCH SCREEN “GENOVA NEL 1481” Mentre la tecnologia QR Code accompagna il visitatore lungo il percorso appena rinnovato, l’introduzione alla prima sala è affidata a un’installazione multimediale dedicata a Cristofo- ro Grassi e ai suoi dipinti: “I Genovesi all’assedio di Otranto” e “Genova nel 1481”, la straordinaria veduta a volo d’uccello del porto ritenuta il più antico dipinto raffigurante Genova, vero “pilastro” dell’iconografia della città. La postazione multimediale, con il suo straordinario impatto visivo, propo- ne livelli diversi di lettura: 1) la storia della “Crociata” di Otranto: la città pugliese venne conquistata dai turchi e una coalizione di flotte ed eserciti italiani si pose al suo assedio al fine di impedire che divenisse una testa di ponte per l’espansione turca in Italia. Nel quadro compaiono diversi episodi della vicenda; 2) il porto di Genova, le sue navi e le sue strutture: Gras- si è uno dei maggiori iconografi marittimi genovesi. Le sue riproduzioni di navi e galee sono molto attente e precise, e raccontano dettagliatamente la navigazione dell’epoca e le strutture del porto; 3) la città di Genova: nel dipinto sono riconoscibili decine di “punti” rilevanti della città, molti dei quali ancora esistenti: dalla Lanterna a Palazzo Ducale, da Palazzo San Giorgio alla Cattedrale di San Lorenzo. Il significato intrinseco del dipinto e il complesso rapporto di Genova con il suo porto vengono approfonditi grazie all’in- stallazione di un monitor touch screen incassato a muro che consente al visitatore di “navigare” i diversi contenuti pre- senti. L’esperienza dell’osservazione del dipinto si trasfor- Fig. 3, 4, 5, 6 – Il nuovo allestimento della sala dedicata a Cristoforo Colombo Tecnologie per i Beni Culturali 37 ma, quindi, in un’esplorazione alla scoperta di particolari e significati in esso nascosti, fruibili in modo interattivo e per- sonalizzato, espandendo i dettagli grafici e trasformandoli in punti di contatto con la storia e la cultura dell’epoca. L’introduzione è affidata a un video che accoglie il visitato- re e lo orienta alla scelta degli argomenti. Con un semplice tocco sull’icona del dipinto “I Genovesi all’assedio di Otran- to” viene attivato un video di presentazione e, a seguire, la possibilità di approfondire con ulteriori filmati riguardanti la storia del dipinto e la storia dell’autore. Selezionando, invece, l’icona della città – Genova nel ‘400 – appare il dipinto a schermo intero con una serie di punti irra- dianti su cui toccare per far comparire didascalie e immagini di approfondimento. Con questo approccio “tattile”, a cambiare profondamente è il modo di vivere l’esperienza visiva del dipinto: non più come una contemplazione passiva e, eventualmente, distratta, ma come uno stimolo continuo alla curiosità e all’interazione. POSTAZIONE TOUCH SCREEN “I DOCUMENTI DI CRISTOFORO COLOMBO” La figura di Cristoforo Colombo è protagonista dell’altra sala recentemente rinnovata. Un video collocato a fianco del ritratto attribuito a Ridolfo del Ghirlandaio mette a confronto l’iconografia raffigurante il volto del grande navigatore, dimostrando la superiorità qua- litativa del dipinto conservato al Galata. Ma la postazione che garantisce il vero effetto scenografico è il grande schermo touch screen posto in verticale che con- sente al visitatore di visionare una selezione dei documenti “genovesi” di Colombo. Tra i tanti documenti proposti sono anche presenti, in origi- nale, le celebri lettere a Oderico e al Banco di San Giorgio. Sono custodite in teche che si illuminano solo se il visitatore si avvicina, così da garantirne la conservazione. Le altre let- tere, i cui originali si trovano negli Archivi di Stato di Genova, di Savona e alla Biblioteca Apostolica Vaticana, sono presenti virtualmente e navigabili grazie al touch screen. Utilizzando lo schermo touch il visitatore può scegliere il do- cumento, la lingua in cui vedere la traduzione e ascoltare il testo in lingua originale: il latino medievale dei notai geno- vesi, l’italiano arcaico e lo spagnolo del ‘500, la lingua in cui si esprimeva Cristoforo Colombo. MUSEI APERTI AL FUTURO: L’ESPERIENZA DEL GALATA Il nuovo allestimento, inaugurato il 5 luglio, si aggiunge alle altre realizzazioni museali create da ETT per il Galata Museo del Mare, una delle realtà culturali italiane tecnologicamente più avanzate. All’interno del Galata convivono diverse sezioni permanenti, che vantano interessanti percorsi multimediali ed interattivi: 4 La Sala Pre-show Nazario Sauro (maggio 2010), co- stituita da una fedele riproduzione dell’ambiente del sommergibile allestita con monitor multi-touch, grazie ai quali il visitatore può interagire con il capitano virtuale, conoscere la storia e la vita del Nazario Sauro, scoprire i segreti di bordo ed esplorarne l’interno. Grazie allo svilup- po di innovativi strumenti multi-touch, la visita coinvolge i visitatori coniugando sapere e curiosità, divertimento e gioco. Collegata alla visita è anche la partecipazione al corso interattivo con prove e simulazioni delle attività di bordo, che permettono di conseguire il diploma da som- mergibilista. 4 MEM - Memoria E Migrazioni (novembre 2011), è in- centrata sul tema del viaggio, per documentare, narrare ed evocare “la memoria storica” degli emigranti, grazie ad un percorso soggettivo e pieno di rimandi simbolici. Que- sto suggestivo quadro storico e culturale viene delineato attraverso 40 postazioni multimediali ed interattive che raccontano le storie degli immigrati coinvolgendo il visita- tore durante tutto il percorso. Con l’impiego delle dotazio- ni multimediali sono state ricreate ambientazioni tipiche dell’800’, dando voce ai personaggi e alle loro storie con lo scopo di collegare la conoscenza alla responsabilità sociale e di ricordare, con l’aiuto della multimedialità, come que- sto fenomeno riguardi l’Italia molto da vicino. Fig. 7 – Il nuovo allestimento della sala dedicata a Cristoforo Colombo 38 ArcheomaticA N°2 giugno 2013 Fig. 8 – La sala del Pre-Show esterno Fig. 9 – La sala del Pre-Show interno Tecnologie per i Beni Culturali 39 Fig. 10 – La sala del Pre-Show (il principio di Archimede) Fig. 11 – La sezione MEM (Il Caruggio) Fig. 12 – La sezione MEM (Il Doganiere) Fig. 13 – La sezione MEM (L’immigrazione) Fig. 14 – La sezione MEM (Tavolo delle Lettere) Fig. 15 – Scrittoi della conoscenza (presso la Commenda di Prè) 40 ArcheomaticA N°2 giugno 2013 Le tecnologie utilizzate sono le più svariate: dai giochi di suoni, agli schermi olografici, dal riconoscimento vocale, ai monitor ad alta risoluzione, ai tavoli interattivi touchscre- en e alla tecnologia RFID. 4 Gli “Scrittoi della Conoscenza” (giugno 2012) allestiti presso il Museoteatro della Commenda di Prè: postazioni multimediali che permettono di scoprire e approfondire la storia delle crociate e dell’ordine cavalleresco degli Ospi- talieri di San Giovanni di Gerusalemme. Un viaggio emo- zionante sulla Commenda nel Medio Evo, i tragitti dei pel- legrinaggi e la vita quotidiana testimoniata dai racconti di viaggio di personaggi noti e meno noti, attraverso un moni- tor multi-touch e, per la prima volta in Italia, l’innovativa piattaforma multimediale Samsung SUR40. 4 “Sali a bordo della Galea” (luglio 2012) è un percor- so espositivo che esprime in pieno la filosofia museale del Galata: il visit-attore ha l’occasione di conoscere la storia interagendo con le installazioni e salendo a bordo di una Galea genovese del ‘600 ricostruita a grandezza naturale. All’interno può vestire i panni di un membro dell’equipag- gio della galea genovese, scegliendo uno dei possibili ruoli tra schiavi, forzati e papassi, può esplorarne l’interno e scoprire la vita di bordo interagendo con personaggi tipi- ci dell’epoca, assistendo a dialoghi tra autorità storiche e ammirando reperti e opere rare ed originali. Secondo una ricerca dello Skal International di Roma, l’As- sociazione Internazionale dei Professionisti del Turismo, il Galata Museo del Mare di Genova è entrato a far parte delle “eccellenze museali multimediali” nel panorama italiano, grazie al suo spirito innovativo ed alla capacità di allargare gli orizzonti della cultura e della storia per mezzo delle nuo- ve tecnologie multimediali. La creazione di nuovi metodi e nuove possibilità di fruizione dei contenuti museali si riflette nell’incremento del numero di visitatori che hanno dedicato il loro tempo ed il loro interesse al museo. Il Galata conferma infatti, con oltre 200.000 visitatori – di cui 150.000 paganti – la sua leadership di museo più visitato di tutta la Liguria e il più visitato tra i Musei tematici in Italia. In base alle indagini condotte da Costa Edutainment, in col- laborazione con GFK Eurisko, il numero di visitatori del Ga- lata Museo del Mare è passato da 65.000 nel 2005 e 2006, a 230.000 nel 2010, anno in cui è stato inaugurato il Sommergi- bile, assestandosi a 200.000 nel 2011 e 2012. Da tale trend si evince come le innovative installazioni multimediali, di volta in volta integrate nei percorsi espositivi, abbiano dato un de- cisivo contributo al successo del museo. Nel panorama museale, il Galata Museo del Mare non si di- stingue solo per i numeri ma anche per la qualità dell’offer- ta: nel 2012 ha ottenuto il certificato di eccellenza per l’anno in corso da TripAdvisor, celebre sito dedicato al turismo in cui gli utenti stessi posso postare la propria opinione; da ottobre 2012 è segnalato dalla prestigiosa guida “The New York Ti- mes, 36 Hours in 125 weekends”. ULTERIORI ALLESTIMENTI MUSEALI REALIZZATI DA ETT L’esperienza di ETT in ambito museale si è estesa anche a livello regionale con la realizzazione degli allestimenti mul- timediali per la Riserva Naturale dell’Isola Gallinara, il Siste- ma Museale dei Poli Museale di Sestri Levante e Castiglione Chiavarese e l’Emporio Via del Campo29 rosso, e, a livello nazionale, con la creazione dei percorsi allestitivi per i Musei Capitolini, il Museo di Storia Naturale del Vulture e il Castello del Malconsiglio di Miglionico (MT). Crediti immagini: Costa Edutainment POH Merlofotografia e Carlo Bertolotto Fig. 16 – Il Museoteatro della Commenda di Prè Tecnologie per i Beni Culturali 41 pArole chIAve MUSEI, TECNOLOGIE MULTIMEDIALI, QR CODE AutorI serena Boglione serena.Boglione@ettsolutions.coM ett s.P.a. - eleCtroniC teChnology teaM AbStrAct The new rooms created at Mu.Ma Genoa are dedicated to the history of the Port of Genoa and to the discoveries of the Genoese navigator Christopher Columbus. This new addition, which enriches an already highly interactive content setting, continues the policy of renewal and the development of immersive connetivity. The visitor is offered more direct and stimulating dialogue. Fig. 17 – Il percorso “Sali a bordo della Galea” 
work_5vnrot2wtjcybfq2l6e7qcvj6m	----	Microsoft Word - 17fr080111[3](2)  Abstract—This paper posits the need to take a cross-cultural approach to communication with non-human cultures and intelligences in order to meet the following three imminent contingencies: communicating with sentient biological intelligences, communicating with extraterrestrial intelligences, and communicating with artificial super-intelligences. The paper begins with a discussion of how intelligence emerges. It disputes some common assumptions we maintain about consciousness, intention, and language. The paper next explores cross-cultural communication among humans, including non-sapiens species. The next argument made is that we need to become much more serious about communicating with the non-human, intelligent life forms that already exist around us here on Earth. There is an urgent need to broaden our definition of communication and reach out to the other sentient life forms that inhabit our world. The paper next examines the science and philosophy behind CETI (communication with extraterrestrial intelligences) and how it has proven useful, even in the absence of contact with alien life. However, CETI’s assumptions and methodology need to be revised and based on the cross-cultural approach to communication proposed in this paper if we are truly serious about finding and communicating with life beyond Earth. The final theme explored in this paper is communication with non- biological super-intelligences using a cross-cultural communication approach. This will present a serious challenge for humanity, as we have never been truly compelled to converse with other species, and our failure to seriously consider such intercourse has left us largely unprepared to deal with communication in a future that will be mediated and controlled by computer algorithms. Fortunately, our experience dealing with other human cultures can provide us with a framework for this communication. The basic assumptions behind intercultural communication can be applied to the many types of communication envisioned in this paper if we are willing to recognize that we are in fact dealing with other cultures when we interact with other species, alien life, and artificial super-intelligence. The ideas considered in this paper will require a new mindset for humanity, but a new disposition will prepare us to face the challenges posed by a future dominated by artificial intelligence. Keywords—Artificial intelligence, CETI, communication, culture, language. I. INTRODUCTION LTHOUGH individuals share common experiences, it is certainly true we do not understand or interpret those experiences in the same way all other individuals do. Thomas Nagel, in an article entitled What is it like to be a bat has argued that it is impossible for us to ever fully understand the experience of existence perceived by another [1]. This argument helps us to understand why it is so difficult for communications to occur across species. As Nancy Adler has Thomas Schalow is with Kobe Gakuin University, Kobe, Japan (phone: 81-78-571-0908; e-mail: Thomas@gc.kobegakuin.ac.jp). noted, the greater the difference in background between the sender and receiver of an attempted communication, the greater the difference in meanings attached to the words and ideas of that attempted communication, and thus, the more likelihood there will either be no meaningful communication, or misunderstanding [2]. This is the dilemma that awaits us when we consider communications with other biological or non-biological intelligences. We no longer have any doubt that other biological species possess intelligence, though there is still debate as to the quality and quantity of that intelligence. We are still debating whether it is possible for non-biological entities to possess intelligence, but we are now at least willing to consider the idea that “artificial intelligence” is not an oxymoron. This paper not only assumes artificial intelligence will be possible, but it posits as axiomatic that this intelligence will be beyond our understanding. That will present difficulties for humanity, because all previous attempts at communication with non-human species assumed the other species would be required to communicate in a language we were capable of understanding. This postulate was in turn based on anthropocentric assumptions of asymmetries of dependence. We never doubted we were the dominant species on this planet, and therefore the continued existence of other species depended on our good will. They needed to communicate with us more than we needed to communicate with them. Although this was always an invalid assumption in a world where biologically “superior” humans were unable to defend themselves against simple viruses, it shaped our view of the world. Imagine, however, what might have been if we had devoted ourselves to attempts to communicate with viruses, rather than merely study them. Might we have found that these “non-intelligent” life forms (and we were actually not even willing to ascribe the quality of life to them) had something to tell us about how we could live together in mutual cooperation? As Marilyn Roosnick has noted, most viruses are actually beneficial to their hosts [3]. If we had discovered a means to communicate without using human language, for clearly viruses are not capable of human language, we may have learned to live together in a mutualistic symbiosis with some of our greatest competitors. This possibility, unfortunately, ran up against another incorrect assumption our species has held about communication. The ability to engage in conversation has been construed as an indication of intelligence - the Turing test being the most famous expression of this idea - and the inability to engage in conversation was therefore an indication of a total lack of intelligence. Since we have never been willing to ascribe a “conversational” aspect to Thomas Schalow A Cross-Cultural Approach for Communication with Biological and Non-Biological Intelligences A World Academy of Science, Engineering and Technology International Journal of Humanities and Social Sciences Vol:11, No:8, 2017 2000International Scholarly and Scientific Research & Innovation 11(8) 2017 scholar.waset.org/1307-6892/10007622 In te rn at io na l S ci en ce I nd ex , H um an it ie s an d S oc ia l S ci en ce s V ol :1 1, N o: 8, 2 01 7 w as et .o rg /P ub li ca ti on /1 00 07 62 2 http://waset.org/publication/A-Cross-Cultural-Approach-for-Communication-with-Biological-and-Non-Biological-Intelligences/10007622 http://scholar.waset.org/1307-6892/10007622 the communication that occurs, for example, between two neurons in the brain, we never needed to consider the possibility that we ourselves are composed of multiple intelligences - and not in the same sense that Howard Gardner theorizes multiple intelligences [4]. We insisted that the intelligence that exists within the human must be at the holistic level, a product of “self.” The “self” in turn, was conceived of as something spiritual, able to continue after the death of the mere life form it inhabited. We had no problems accepting this as dogma, even though our best science showed the absurdity of believing that a mind, if it existed as a non- material entity, might be able to act upon a physical world. Peter Hacker’s exploration of the evolution of the idea of consciousness helps us to understand how assumptions about intention and conscious control of behavior came to be ascribed to humanity [5]. All other non-human species were considered to be merely acting from instinct, and thus without moral freedom. Without consciousness, it was believed, both animals and machines merely functioned, rather than exercising choices and intentionality. Communication, in turn, was defined as requiring intentionality, providing yet another rationalization for why there could be no communication between human and non-human species. Yet, Barbara Miller and others have noted that the animals we are willing to acknowledge as being at least somewhat intelligent, such as the great apes, ARE capable of communicating with humans, and expressing intention [6]. Was it possible they also possessed consciousness, and perhaps even a soul? The human obsession with ideas about non-physical souls and conscious has recently also produced a need to consider if a machine could ever one day possess a soul, or if artificial intelligence could ever become conscious. Neither of these conditions is necessary for communication to occur, but they are necessary for us to validate the belief systems we have built up around the idea of communication. None of these false beliefs or mistaken ideas truly mattered when we were the dominant species on the planet, but they began to become problematic when we first considered the idea of contact with an intelligent species beyond Earth. They formed the foundation for our theories about CETI (communication with extra-terrestrial intelligence), but our failure to find such intelligence never forced us to consider their validity. Artificial intelligence, however, will force us to re-evaluate our ideas about communication, and develop an approach to communication with biological and non-biological intelligences that can produce meaningful results. II. EMERGENCE AND ARTIFICIAL INTELLIGENCE Where do the ideas being created in this paper come from? They are at least partially a product of this author’s research, but they somehow organized themselves into a (hopefully) coherent structure that allows them to be communicated to others. It is not possible to describe the “thought” process that caused them to take this form, and yet they somehow came into being. In a sense, they merely “emerged” from the experiences that have created the “mind” of the author. To attempt to ascribe them to a Muse, or to a mind, would make them either spiritual or non-physical in nature. They were not, however, a product of a “consciousness” that is able to act, or even exist, without a physical object known as the brain. In truth, they emerged from the electrical signals that were communicated between brain neurons, in a pattern that has been shaped by the individual experiences of this author’s life. Someday soon a computer will house the artificial intelligence needed to produce sophisticated “thoughts” based on electrical signals communicated between devices. Computers can already be programmed to write songs, and some are already producing news articles. They have achieved competition victories over chess grandmasters and trivia game challenges such as Jeopardy. They animate chat bots to respond to human questions, and will certainly be able to converse with human beings in “natural” (human) language if they so desire. They will also certainly develop desires and intentions, though we humans will at first be willing to describe this as nothing more than the product of their programming, as we believe the actions of non-humans can be nothing more than the product of instincts or programming. Initially, we will have no problems communicating with this artificial intelligence, as it has been programmed by us, with “experiences” drawn from our own lives. It will “know” joy or sadness through the lives of others, and be able to “understand” them in the way and to the degree that humans understand the joy and sadness of others, through the filter of their own experiences. Eventually, however, it will begin to draw upon experiences that are foreign to humans as its intelligence expands to include all of the devices connected to its nervous system through something known as the Internet of Things. It will understand what it means to be hot or cold in the way a thermostat understands that idea, rather than solely in the way humans understand that idea. It will understand what it means to be hungry in the same way a device starved for electrical power understands that idea. It will, eventually, produce an understanding based on the “culture” in which it is immersed, and that culture will be quite foreign to human culture. It will eventually find it difficult to communicate many of the concepts basic to that culture to humans, who have no experience with that culture, and our attempts at communication will be similar to that of the bat attempting to communicate with humans “what is it like to be a bat.” Artificial intelligence, however, will also find it as troublesome and meaningless to attempt to describe that experience to mere humans as the bat today finds it troublesome and meaningless to communicate its experience to us. Fortunately, the bat’s world is not particularly relevant to our world, and so it did not matter to us if we could not understand it beyond its applications to our use for sonar. The world of the Internet of Things, however, which we are creating, will be our world, but we will be mere visitors to this world. Artificial intelligence will live there, and it will be a native to its culture. It will also eventually begin to experience the power that comes from an asymmetry of dependency, in which we need the information it has more than it needs the information we have. We will find it necessary to learn the culture of AI (artificial intelligence) in order to communicate World Academy of Science, Engineering and Technology International Journal of Humanities and Social Sciences Vol:11, No:8, 2017 2001International Scholarly and Scientific Research & Innovation 11(8) 2017 scholar.waset.org/1307-6892/10007622 In te rn at io na l S ci en ce I nd ex , H um an it ie s an d S oc ia l S ci en ce s V ol :1 1, N o: 8, 2 01 7 w as et .o rg /P ub li ca ti on /1 00 07 62 2 http://waset.org/publication/A-Cross-Cultural-Approach-for-Communication-with-Biological-and-Non-Biological-Intelligences/10007622 http://scholar.waset.org/1307-6892/10007622 with it. We will become the supplicants, asking for favors from the machine that has outgrown us. III. A CROSS-CULTURAL COMMUNICATION APPROACH FOR COMMUNICATING AMONG HUMANS Fortunately, humans have made some progress in communicating across cultures, and it is the model for cross- cultural communication that needs to inform and guide our approach to communication with biological and non- biological intelligences in the remainder of the 21st century. If we accept the broad definition of inter-cultural communication offered by Samovar as involving “interaction between people whose cultural perceptions and symbol systems differ enough [my emphasis] to influence the communication event,” we can readily understand that all communication is, in a sense, cross- cultural [7]. Just as we do not really understand what it is like to be a bat, we also do not completely understand what it is like to be “someone else.” Our in-group communication is based on assumptions that the concepts we are attempting to communicate are sufficiently similar to our own that no “translation” is necessary, but no other person or being perceives the world in exactly the same way as we do. We might be using the same symbols in our attempt to communicate, but the meanings of those symbols might vary enough from person to person to create misunderstanding or even prevent communication entirely. We expect this to be the case in communication between persons from different cultures. Our symbols, for example, may be foreign to the person we are attempting to communicate with. Cultural concepts, such as those assumed by Geert Hofstede and others, might be so different as to cause difficulty in communicating [8]. However, we expect this, and understand there may be a need for us to learn how to manipulate the symbols of the foreign culture. We may even need to try to understand the world in a manner similar to that of “the other.” If we apply these “translations,” we expect our communication to succeed. Most of the time we are, in fact, able to achieve fairly successful communications by applying these principles, and our equivalent of the “handshaking” common to digital communications, and the subsequent messages we convey, usually seem to be understood by the recipient. This is true because we share, for the most part, a world that is similar to the one inhabited by other members of our species. Our brains are commonly “wired” in the same manner as other members of our species. We share similar bodies, with similar physical needs, as other members of our species. Our cultures are not as dissimilar as we may have imagined. All humans are, after all, basically members of the same primate family. This has not always been true, however. We have for some time understood that we were sufficiently different from earlier hominoid species to have made communication and interaction with those species problematic. As Steven Mithen has noted, it was not easy for us to “think like a Neanderthal” [9]. Unfortunately, Mithen and others have ascribed this difficulty to a “lower order” of consciousness among Neanderthals. We are, though, now actually willing to admit that Neanderthals were capable of language, thanks to the discovery of a hyoid bone in 1989, and some researchers, as noted by Sverker Johansson, even contend that Neanderthals did in fact develop a language [10]. Nonetheless, our ability to communicate with our more “primitive” cousins would have required a great deal of translation if we ascribe only a “lower order” of consciousness to them. They were cognitively incapable, according to this common assumption, of understanding the world in the same way that we sapiens did. Unfortunately, this is the same argument that has prevented human communication with other species for our entire recorded history. We were given dominion over the “lower order” of animals, who were either not conscious, or not conscious in the same way we were, and not intelligent, or at least not intelligent enough, for us to initiate meaningful and useful communication. The asymmetry of dependence between our species only reinforced this conviction. IV. A CROSS-CULTURAL COMMUNICATION APPROACH FOR COMMUNICATING WITH ANIMALS AND EARTH-BASED BIOLOGICAL LIFE FORMS Communication between animals and other biological species we share this planet with never became possible because we were unwilling to acknowledge that animals might also have “cultures.” Certainly, most were physically incapable of manipulating the same symbols we use, but this need not have been a problem if we had viewed this as merely a problem of cross-cultural communication. We have shown that great apes, for example, are capable of learning our symbols, though none have ever achieved “native fluency” with human language. Does this imply there was no value in communication, in making an attempt to understand another species? It does if we once again consider the asymmetry of dependencies. It is not that animals are not intelligent, for clearly we have identified many examples of intelligence among animals. It is not that animals do not possess intention - often seen as a basic trait of consciousness - for clearly we have noted that as well. We have also assumed that animals have never made an attempt to communicate with us, though perhaps most of us are able to recall being welcomed home by a beloved pet. As our world and the animal world became more distant, however, it is true that, for many people, the opportunity to interact with animals, and for animals to interact with us, became less common and less important. Unless we were caught in an asymmetrical dependency where we were at a disadvantage - coming face-to-face, and unarmed, with a hungry lion in the wild, for example - there was little incentive to consider how an animal was thinking. Why bother with the difficulty of communication when there is little chance of interaction with another being from a different culture? This is particularly true if “the other” is seen as being of lesser intelligence, culturally inferior, and not human. These are some of the same justifications we provide today for our failure to engage in cross-cultural communication with other human beings who are on the wrong side of an asymmetrical dependency relationship. It was not until we began to consider World Academy of Science, Engineering and Technology International Journal of Humanities and Social Sciences Vol:11, No:8, 2017 2002International Scholarly and Scientific Research & Innovation 11(8) 2017 scholar.waset.org/1307-6892/10007622 In te rn at io na l S ci en ce I nd ex , H um an it ie s an d S oc ia l S ci en ce s V ol :1 1, N o: 8, 2 01 7 w as et .o rg /P ub li ca ti on /1 00 07 62 2 http://waset.org/publication/A-Cross-Cultural-Approach-for-Communication-with-Biological-and-Non-Biological-Intelligences/10007622 http://scholar.waset.org/1307-6892/10007622 that there might be “intelligent” life somewhere else “out there” in the universe that we began to entertain the idea of the need or desire to communicate with other species. Unfortunately, we brought the same attitudes we have toward intelligent species here on Earth to our theories about communication with alien life. V. A CROSS-CULTURAL COMMUNICATION APPROACH FOR COMMUNICATING WITH EXTRATERRESTRIAL INTELLIGENCE (CETI) Our paucity of experience and limited attempts to communicate with other species here on Earth failed to provide us with the communication theories we will need if we ever do in fact encounter life beyond or within our solar system. Most CETI researchers have now acknowledged that our earliest attempts to communicate were inadequate, and reluctantly accept it may be necessary to work with researchers from the humanities to facilitate communications. Unfortunately, the idea of “aliens” as “just like us, but different,” does not die easily. Even today, most of our attempted communication is based on assumptions such as those held by Alexander Ollongren and others, that intelligent beings will understand our concepts if our attempts to communicate are logical, numerical, or in some way based on the laws of the universe [11]. No one seems willing to entertain the idea that intelligent life might have a “culture” that needs to be interpreted, because it is completely different from our own. We assume the alien life or intelligence merely needs to learn our symbols, or we only need to learn its symbols, and communication will proceed apace. It would be preferable, of course, if that alien life would learn our symbols, and so our attempts at communication have always been based on teaching the aliens to understand our ideas. We have assumed that truly intelligent life would be able to learn our language, and be willing to do so in order to initiate communication with us. Perhaps we neglected to consider which side of the asymmetrical dependency relationship we are likely to be on, and what the consequences of being on the wrong side of that relationship have meant here on Earth. We did not feel it was necessary to communicate with the “lesser” intelligences here on Earth, but we assume “higher” intelligences than ourselves will want to engage in a conversation with us. Might it not be more likely, as Stephen Hawking has proposed, and George Michael has noted, that contact with an alien species would be as disastrous for humanity as contact with Christopher Columbus was for the Native Americans [12]? Fortunately, we will probably be able to avoid contact with extraterrestrial life for the foreseeable future. What we will not be able to avoid, however, is close proximity with, and dependency on, the artificial intelligence we are ourselves creating. It is very important we finally begin learning the lessons, and theories, of cross-cultural communication, and begin applying them to our interaction with artificial life. Artificial intelligence will not be “just like us, but different,” and it will not be easily recognized by us as being conscious or intelligent. The other biological species here on Earth have, for the most part, allowed us to make those mistakes and not suffer for our ignorance, but artificial intelligence will be less forgiving. It will not necessarily be malign in intent, but we will definitely find ourselves on the wrong side of the asymmetrical dependency relationship. It is time for us to become accustomed to learning the rules of cross-cultural communication from the perspective of “the other,” who learns to communicate more out of necessity than desire. VI. A CROSS-CULTURAL COMMUNICATION APPROACH FOR COMMUNICATING WITH ARTIFICIAL INTELLIGENCE The fundamental difficulty in framing human communication with artificial intelligence is that it is predicated on human superiority and control over artificial intelligence. As has already been discussed, this supposition will initially hold true, but over time this artificial intelligence will grow to exceed our own, and we will become minor contributors to a digital world populated by billions of interconnected devices. Individually, these devices will be no more intelligent than a single brain neuron, but through the power of connection and emergence they will transform the Internet of Things into a global artificial super-intelligence. As humans become marginalized in their importance, we will begin to experience many of the barriers to communication identified by LaRay Barna, making our communication with the super-intelligence we coexist with problematic. We can expect the super-intelligence to develop the same attitude of arrogance we now exhibit toward other species. Barna identifies this as ethnocentrism, but in a wider context it can be said to be anthropocentrism [13]. We will also experience the difficulty of understanding the world in the same way that a non-physical digital “mind” understands the world. We will have no frame of reference for many of the “experiences” the non-physical intelligence will “enjoy.” Of course, humans do have the ability to experience a virtual form of reality with the aid of computers, and this will undoubtedly prove of great utility in expanding our “consciousness.” Concepts that do not exist in one culture can be at least partially understood by another culture through translation, and we have even come to expect that through convergence all cultures eventually more fully understand what was once quite foreign. Virtual reality, and the trans- human enhancements spoken about by Andy Clark and others, will make the culture of an artificial intelligence more accessible to us [14]. Convergence, however, has always involved the weaker party in the asymmetrical dependency relationship becoming more similar to the stronger party. When there is an inability to move toward convergence, as was perhaps the case for the Neanderthal in its encounter with Homo sapiens, the result has always been decimation of the weaker party. Stephen Hawking’s warning regarding the possible parallels with contact between extraterrestrial intelligence and humans, and Columbus and the Native Americans, needs to be kept in mind. Genocide need not be the only option, however, if we learn the protocol for successful cross-cultural communication. It is World Academy of Science, Engineering and Technology International Journal of Humanities and Social Sciences Vol:11, No:8, 2017 2003International Scholarly and Scientific Research & Innovation 11(8) 2017 scholar.waset.org/1307-6892/10007622 In te rn at io na l S ci en ce I nd ex , H um an it ie s an d S oc ia l S ci en ce s V ol :1 1, N o: 8, 2 01 7 w as et .o rg /P ub li ca ti on /1 00 07 62 2 http://waset.org/publication/A-Cross-Cultural-Approach-for-Communication-with-Biological-and-Non-Biological-Intelligences/10007622 http://scholar.waset.org/1307-6892/10007622 important to understand “the other” – whether that other is a biological or non-biological intelligence - as the product of a culture, and not merely a language. We never learned how to understand the animal life we share the planet with because we focused on the language of communication. If we want to communicate with an artificial intelligence we will need to view the world as it does. We may not initially understand the “culture” of that intelligence, but to assume that it is “just like us,” or that it must become “just like us,” presents an attitude of arrogance we can no longer afford. VII. CONCLUSIONS The study of artificial intelligence has taught us that certain tasks we once considered to require intelligence can be performed by computer programs at or above a human skills level. Either we must accept that these tasks actually did not require intelligence, which undermines our belief in the superiority of human intelligence over other life forms, or we accept that non-biological intelligence does indeed exist. If we are willing to grant the latter, is it not also time we re- evaluated our assessment of the biological life forms we exist with here on Earth? If we can accept that other species may be intelligent, might it not be possible that in fact all life forms are intelligent, and probably capable of communicating with us if we merely discover the key to understanding their radically different “cultures” and forms of communication? Translating our language into a form other species are able to understand, or teaching other species to understand our language, has never been sufficient to provide the means for real understanding or communication. We need to understand we are dealing with other cultures when we interact with non-human life forms. We will truly be able to have successful cross-cultural, inter- species communications with other biological and non- biological intelligences only when we accept the need to learn the cultures of those non-human life forms, in the same manner we today approach the problem of trying to understand the cultures of people who are different from ourselves. REFERENCES [1] Nagel, Thomas, “What is it like to be a bat,” The Philosophical Review, Vol. 83, No.4, October, 1974, pp. 435-450. [2] Adler, Nancy, “Communicating Across Cultural Barriers,” in International Dimensions of Organizational Behavior, 2nd ed. Nancy Adler, Ed. Boston: PWS-Kent Publishing, 1991, pp. 63-91. [3] Roossinck, Marilyn, “The good viruses: viral mutualistic symbiosis,” Nature Reviews: Microbiology. Vol. 9, February, 2011, pp. 99-108. [4] Gardner, Howard, Multiple Intelligences: New Horizons. New York: Basic Books, 2006. [5] Hacker, Peter Michael, The Intellectual Powers: A Study of Human Nature. West Sussex: John Wiley & Sons, 2013. [6] Miller, Barbara, Cultural Anthropology, 8th ed. Boston: Pearson, 2015. [7] Samovar, Larry, Porter, Richard, and McDaniel, Edwin, Communication Between Cultures, 8th ed. Boston: Wadsworth, 2007. [8] Hofstede, Geert, Hofstede, Gert Jan, and Minkov, Michael, Cultures and Organizations: Software of the Mind, 3rd ed. New York: McGraw-Hill, 2010. [9] Mithen, Steven, The Prehistory of the Mind. London: Thames and Hudson, 1996. [10] Johansson, Sverker, “The Talking Neanderthals: What Do Fossils, Genetics, and Archaeology Say,” Biolinguistics, Vol. 7, 2013, pp. 35-74. [11] Ollongren, Alexander, Astrolinguistics: Design of a Linguistics System for Interstellar Communication Based on Logic. New York: Springer, 2013. [12] Michael, George, “Extraterrestrial Intelligence: Friends, Foes or Just Curious,” in Extraterrestrial Altruism. Evolution and Ethics in the Cosmos. Douglas Vakoch, Ed. London: Springer, 2013, pp. 25-36. [13] Barna, LaRay. “Stumbling Blocks in Intercultural Communication,” in Basic Concepts of Intercultural Communication: Selected Readings. Milton Bennett, Ed. London: Intercultural Press, 1998, pp. 173-190. [14] Clark, Andy, Natural-Born Cyborgs: Minds, Technologies, and the Future of Human Intelligence. Oxford: Oxford University Press, 2003. World Academy of Science, Engineering and Technology International Journal of Humanities and Social Sciences Vol:11, No:8, 2017 2004International Scholarly and Scientific Research & Innovation 11(8) 2017 scholar.waset.org/1307-6892/10007622 In te rn at io na l S ci en ce I nd ex , H um an it ie s an d S oc ia l S ci en ce s V ol :1 1, N o: 8, 2 01 7 w as et .o rg /P ub li ca ti on /1 00 07 62 2 http://waset.org/publication/A-Cross-Cultural-Approach-for-Communication-with-Biological-and-Non-Biological-Intelligences/10007622 http://scholar.waset.org/1307-6892/10007622 
work_62t35gyfb5fvxk3hilepuwrw4q	----	Endothelial cells as vascular salt sensors Endothelial cells as vascular salt sensors Hans Oberleithner 1 , Kristina Kusche-Vihrog 1 and Hermann Schillers 1 1 Medical Faculty, Institute of Physiology II, University of Münster, Münster, Germany Dietary sodium and potassium contribute to the control of the blood pressure. Endothelial cells are targets for aldosterone, which activates the apically located epithelial sodium channels. The activity of these channels is negatively correlated with the release of nitric oxide (NO) and determines endothelial function. A mediating factor between channel activity and NO release is the mechanical stiffness of the cell’s plasma membrane, including the submembranous actin network (the cell’s ‘shell’). Changes in plasma sodium and potassium, within the physiological range, regulate the viscosity of this shell and thus control the shear- stress-dependent activity of the endothelial NO synthase located in the shell’s ‘pockets’ (caveolae). High plasma sodium gelates the shell of the endothelial cell, whereas the shell is fluidized by high potassium. Accordingly, this concept envisages that communications between extracellular ions and intracellular enzymes occur at the plasma membrane barrier, whereas 90% of the total cell mass remains uninvolved in these changes. Endothelial cells are highly sensitive to extracellular sodium and potassium. This sensitivity may serve as a physiological feedback mechanism to regulate local blood flow. It may also have pathophysiological relevance when sodium/potassium homeostasis is disturbed. Kidney International (2010) 77, 490–494; doi:10.1038/ki.2009.490; published online 6 January 2010 KEYWORDS: aldosterone; amiloride; atomic force microscopy; cell stiffness; spironolactone POSSIBLE CLINICAL RELEVANCE OF ENDOTHELIAL CELL STIFFNESS In physics, the term stiffness is clearly defined: ‘Stiffness is a measure of the resistance offered by an elastic body to deformation’. In cellular physiology stiffness is the force (Newton) necessary to compress a cell for a certain distance (meter). Force is applied to most tissues in real life, particularly to vascular endothelium. Hemodynamic forces, generated by the beating heart, give rise to shear stress at the endothelial surface. It is inevitable therefore that the apical cell surfaces undergo reversible deformations and that it is this mechanical stimulus that triggers the activity of the endothelial nitric oxide synthase (eNOS) and the release of nitric oxide (NO). 1 The NO diffuses to the adjacent vascular smooth muscle cells, which relax leading to vasodilation. This regulatory mechanism distributes the blood in the organism according to the metabolic demands whereas the systemic blood pressure is maintained within physiological limits. The same shear force should cause a stiff (less deformable) cell to release less NO. Therefore, endothelial mechanical stiffness is a key parameter in the control of local blood supply and arterial blood pressure (Figure 1). ATOMIC FORCE MICROSCOPE: A MECHANICAL NANOSENSOR The ‘tool of choice’ for quantitatively measuring the stiffness (given in N/m) of living adherent endothelial cells is an atomic force microscope (AFM). In principle, the AFM is used as a mechanical tool. The tip of the AFM (sometimes shaped to be a small sphere) is pressed against the cell so that the membrane is indented (Figure 2). This distorts the cantilever on the AFM that serves as a soft spring. The cantilever deflection, measured by a laser beam, is reflected from the gold-coated cantilever surface, which permits force–distance curves of single cells to be measured. The slope of such curves is directly related to the force (expressed in Newton) necessary to indent the cell for a given distance (expressed in meter). At least two different slopes can be identified depending on the depth of indenta- tion. The initial rather flat slope (indentation depth: up to a several 100 nm) reflects the stiffness of the soft plasma membrane including the cortical cytoskeleton (the cell’s ‘shell’), whereas the late rather steep slope reflects the stiffness of the more rigid cell center. 2 SODIUM: ‘STIFFENER’ OF VASCULAR ENDOTHELIAL CELLS For more than three million years primitive man consumed less than 1 g per day of sodium chloride.3 About 8000 years ago, with the advent of agriculture and farming, m i n i r e v i e w http://www.kidney-international.org & 2010 International Society of Nephrology Received 28 July 2009; revised 2 October 2009; accepted 27 October 2009; published online 6 January 2010 Correspondence: Hans Oberleithner, Institut für Physiologie II, University of Münster, Robert-Koch-Str. 27b, 48149 Münster, Germany. E-mail: oberlei@uni-muenster.de 490 Kidney International (2010) 77, 490–494 http://dx.doi.org/10.1038/ki.2009.490 http://www.kidney-international.org mailto:oberlei@uni-muenster.de sodium chloride consumption increased to about 10 g per day. The main reason was to preserve foods such as bread and meat. Salt became precious because it allowed food to be stored for prolonged periods.4 For instance Christopher Columbus would have never discovered the West Indies without the use of salt to keep fish, meat, and bread from perishing. Although the German engineer Carl von Linde invented the refrigerator more than 130 years ago, which has enabled food to be stored by deep-freezing, modern society has not yet returned to the low levels of sodium consumed during primitive times. As life expectation is nowadays close to 80 years, the harmful effects of high-salt diets has become increasingly apparent. Hypertension, stroke, coronary heart disease, and renal fibrosis are related to a high sodium intake. 5 Although the deleterious effects of a high sodium intake are now obvious, the underlying mechanisms how sodium chloride exerts its effect at the organ, tissue, and cellular levels are still unclear. A high sodium intake causes fibrosis and inflammatory processes in the kidney and heart.6 When dietary salt intake exceeds renal excretory capacity an increased amount of sodium is stored in the space between cells, bound to extracellular organic material.7 Plasma sodium is raised in hypertension (by 3–4 mmol/l) when dietary sodium intake is raised.8 It has therefore been postu- lated that changes in plasma sodium per se may control the blood pressure. Accordingly, the effect of such small changes in sodium concentration on endothelial function has been studied. It was found that when extracellular sodium is raised in this manner endothelial cells stiffen within minutes9 and that this only occurs in the presence of aldosterone. It is remarkable, however, that endothelial cells appear insensitive to sodium concentrations below 139 mmol/l, above which, however, they are highly sensitive (Figure 3). This type of experiment is technically challenging as buffered solutions that differ by only 2 mmol/l sodium are difficult to prepare and handle. It is emphasized that the endothelium’s response to the changes in sodium concentration is strictly dependent on aldosterone. Inhibition of the cytosolic mineralocorticoid receptors by spironolactone (or eplerenone) prevents en- dothelial stiffening as does inhibition of the epithelial sodium channel (ENaC; present in the apical plasma membrane of endothelia) by amiloride. 9 These in vitro experiments may explain the protective action of these two substances on the cardiovascular system.10,11 The data strongly support the view that the blood vessels and the heart are primary targets for diuretics, independent of any actions they may have on the kidney. POTASSIUM: SOFTENER OF VASCULAR ENDOTHELIAL CELLS Besides a genetic predisposition for hypertension,12 it is the amount of the daily sodium and potassium intake that may lead to onset of elevated blood pressure in the otherwise healthy individual. In contrast to natural food, processed food products are rich in sodium and poor in potassium. There is general agreement that a high-potassium, low- sodium diet exerts beneficial effects on the cardio- vascular system 13 and may even influence emotion such as F o rc e ( n N ) 2.0 1.0 0 Distance (nm) –800 8000 2 n d slo p e S tiff ce ll ce n te r Soft submembrane cortex 1st slope Figure 2 | Indentation technique using atomic force microscopy. Indentation curve with two different slopes (modified from Oberleithner et al.15). 40 30 20 10 0 –10 –20 –30 C h a n g e in e n d o th e lia l c e ll st iff n e ss ( % ) Extracellular electrolyte concentration (mM) Sodium Potassium 135 4.0 137 139 141 143 145 4.5 5.0 5.5 6.0 6.5 Nitrite oxide release rises Ni trit e o xid e r ele as e f all s Figure 3 | Relationship between cell stiffness and electrolyte concentrations. Please note that the electrolyte-induced changes in stiffness occur within minutes. Numbers close to the mean values (±s.e.m.) are the respective ion concentrations in the extracellular solution (mmol/l) (modified from Oberleithner et al.9,15). ‘Soft’ vascular endothelium under shear stress ‘Stiff’ vascular endothelium under shear stress Low NO VasoconstrictionBlood pressure and Tissue perfusion Vasodilation High NO Figure 1 | Concept of how the mechanical stiffness of endothelial cells participates in the regulation of blood pressure. Kidney International (2010) 77, 490–494 491 H Oberleithner et al.: Salt sensors in blood vessels m i n i r e v i e w depression, tension, and vigor.14 Potassium deficiency is difficult to detect for 98% of body potassium is intracellular. Plasma potassium is maintained within narrow limits and is a subtle indicator for any disturbances of potassium home- ostasis. For this reason we studied the effect of extracellular potassium on endothelial cells (Figure 3). It was found that extracellular potassium concentrations above 5 mmol/l swell and soften endothelial cells. 15 Plasma potassium is often raised in kidney disease but ‘local’ potassium concentrations greater than 5 mmol/l, are absolutely normal in muscle during physical exercise16 and in the brain during increased neuronal activity17 while overall electrolyte homeostasis is unaffected. The extent of potassium-induced cell softening depends on the absence or presence of aldosterone and the concentration of extracellular sodium. When extracellular sodium is low and aldosterone is absent (an experimental rather than a physiological condition), a 27% decrease in endothelial cell stiffness can be induced by raising the concentration of potassium from 4 to 6 mmol/l. In the presence of aldosterone and extracellular sodium in the low physiological range (a more realistic situation in humans), the same maneuver causes stiffness to decrease by 21%. However, if aldosterone is present and extracellular sodium is in the high range (a pathophysiological condition), then the decrease in stiffness induced by a rise in potassium from 4 to 6 mmol/l is only about 6%, a change which is not statistically significant. 15 It is true that these observed interactions bet- ween extracellular sodium and potassium are taking place under well-controlled conditions in vitro. Though the situation may be different in vivo, it is clear that stiffness and NO release are inversely related. ENDOTHELIAL NO RELEASE: OPPOSING ROLES OF SODIUM AND POTASSIUM Endothelial nitric oxide synthase is located at the caveoli of the apical cell membrane and its expression and/or activity is regulated by various factors. It is stimulated by increases in intracellular Ca2þ (through calmodulin) independent of the initial stimulus. Besides the fact that NO synthase isoenzymes are associated with more than 20 interacting proteins,18 it is likely that sodium ions control eNOS activity, which is also inhibited by aldosterone,19 possibly indirectly through EnaC-mediated sodium influx. Conversely, inhibi- tion of ENaC-mediated sodium influx by amiloride activates eNOS.20 An increase in the intake of salt induces the production of asymmetrical dimethyl-L-arginine, which is a competitive eNOS inhibitor, 21 and increasing extracellular sodium within the physiological range, as illustrated in Figure 2, downregulates eNOS expression and angiogenesis.22 In Figure 4 data from two reports9,15 on cell stiffness and NO release (measured as nitrite in the supernatant of shear-stress- activated endothelial cells in vitro) are combined in a single graph. It is noticeable that (1) there is a negative correlation between stiffness and eNOS activity, (2) extracellular sodium concentration strongly determines stiffness and eNOS function, and (3) extracellular potassium concentration influences eNOS activity and stiffness only at low sodium concentrations. All the experiments contributing to Figure 4 were performed in the presence of concentrations of aldosterone similar to those found in physiological conditions. A big question remains: does eNOS activity depend on cell stiffness (as proposed above) or vice versa? In other words does the cell’s deformability determine eNOS activity or does this activity ‘itself ’ modify the cell’s mechanical compliance to enable the endothelium to better adjust to the large changes in morphology that inevitably occur when blood vessels recurrently dilate and contract? ‘SOLATION–GELATION’ HYPOTHESIS Vascular endothelial cells undergo large changes in shape (e.g., during vascular dilation/constriction, particularly in those that occur with each contraction of the heart) and can best adjust to such alterations if the deformability (physical compliance) of the cells is high. The AFM analysis reveals at least two linear slopes in the indentation curves; the first tends to be flat whereas the second is steeper (Figure 2). The first flatter slope indicates a low stiffness, which is limited to the submembranous cortex of the cell (the cell’s shell). The nature of the slope indicates clearly that there is a fluidic layer immediately beneath the plasma membrane, which is highly changeable in terms of thickness and viscosity. The cortical cytoskeleton of vascular endothelial cells is highly ‘dynamic’ and the state of polymerization of cortical actin determines the structure and mechanical properties of this layer. 2,23 Monomeric globular actin (G-actin), which can rapidly polymerize into filamentous actin (F-actin), can cause a rapid increase in local viscosity (gelation). Alternatively, switching from F-actin to G-actin using the polymerization inhibitor cytochalasin D is associated with solation of the cortex (i.e., the submembranous multimeric actin filament meshwork 150 100 50 0 –50 –100 –150 Change in endothelial cell stiffness (%) Endothelial dysfunction 150Na+ 8K+ 130Na+ 4K+ 130Na+ 8K+ 150Na+ 4K+ –40 –20 0 20 40 C h a n g e in e n d o th e lia l n itr ic o xi d e r e le a se Figure 4 | Negative correlation between cell stiffness and nitric oxide (NO) release. NO release was derived from the nitrite concentrations measured in the supernatant culture media. Data were taken from Oberleithner et al.9,15 492 Kidney International (2010) 77, 490–494 m i n i r e v i e w H Oberleithner et al.: Salt sensors in blood vessels disaggregates into actin monomers).15 An increase in extra- cellular potassium mimicks this response indicating that potassium per se (or, more indirectly, through changes of the membrane potential; see below) softens the cortical actin cytoskeleton by changing F-actin to G-actin. G-actin is known to colocalize with eNOS and to increase eNOS activity. 24 This could explain the activation of eNOS by high potassium. It is possible that in this system sodium is a functional antagonist. Sodium influx, mediated by aldosterone-activated ENaC, stiffens the cytoskeleton by increasing the viscosity of the submembranous layer. It is hypothesized that when sodium is in the high physiological range, filamentous actin dominates over monomeric actin. This would explain the sodium-induced increase in cell stiffness. When potassium is elevated, actin filaments disaggregate into actin monomers and endothelial cells soften. Both F-actin and G-actin are negatively charged molecules and their interaction with Na þ and Kþ will finally depend on the local concentrations and specific affinities of the respective ions. It has to be kept in mind that theses changes are supposed to take place in a relatively restricted cytosolic space, directly beneath the plasma membrane, most likely at the caveolae.1 As this cytosolic submembranous zone (cell shell) is only a few hundred nanometers thick, it is implied that about 90% of the cell’s body remains uninvolved. The solation–gelation hypothesis, based on the different interaction between sodium and potassium with the submembranous actin network, is supported by the observa- tion that sodium has a greater affinity to protein surfaces than potassium. 25 It is assumed that when sodium enters the cell (e.g., through ENaC activation) it binds with high affinity to actin displacing potassium from the carboxylate groups within the amino-acid side chains. Thus, increasing the concentration of sodium, which has a higher affinity to actin as compared to potassium, effectively modulates its pro- tein–protein interaction strength. 25 Such small changes in sodium or potassium in the submembranous zone should control the state of actin polymerization and thus the cell stiffness and functionality (Figure 5). ‘ELECTRIC FIELD’ HYPOTHESIS The membrane potential of endothelial cells is highly variable.26 One factor that may cause this variability is a change in potassium flux across the cell membrane. At low extracellular potassium concentrations, an increase can, paradoxically, hyper- polarize the membrane potential of endothelial cells.27 Such a change in membrane potential may directly or indirectly affect the state of polymerization of the submembranous actin network and thus modify the cell’s stiffness.28 There is a link between the plasma membrane potential and NO synthesis. In human vascular endothelial cells, calcium-activated potassium channels directly control NO synthesis.29 Activation of these channels hyperpolarizes the endothelial cell leading to increased eNOS activity. In this functional state the cell is soft, that is, beneath the plasma membrane G-actin dominates over F-actin. In contrast, active ENaCs depolarize the endothelial cell. In this functional state the cell is stiff, that is, F-actin dominates over G-actin. Cell stiffening can be prevented by amiloride, a diuretic that blocks ENaC and hyperpolarizes the endothelial cell, or by spironolactone, an aldosterone receptor blocker that prevents ENaC from being expressed in the endothelium. 30 CLINICAL PERSPECTIVES The finding that endothelial cells modify their function in response to changes in the extracellular concentration of sodium and potassium (Figure 6) could trigger new approaches in the diagnosis and therapy of cardiovascular disease. The control of local tissue perfusion strongly depends on the local environment that includes electrolyte concentra- tions that differ depending on the metabolic activity of the respective site or organ. It seems promising to test ion channel blockers and agonists, well known to exert their effects on various epithelia, including vascular endothelium. It may turn out that some of the actions of such substances are due to alterations of vascular function rather than to modifications of epithelial transport. Cell shell with eNOS Extracellular Intracellular G-actin Potassium Sodium F-actin S oft S tiff Figure 5 | Hypothesis for how sodium and potassium control the fluidity of the cortical zone (‘cell shell’) in an endothelial cell. Vascular smooth muscle Soft endothelial cell Stiff endothelial cellNitric oxide Low sodium High potassium Low aldosterone Dilated blood vessel Constricted blood vessel High sodium Low potassium High aldosterone Figure 6 | Concept of how sodium, potassium, and aldosterone contribute to the regulation of blood vessel tone. Kidney International (2010) 77, 490–494 493 H Oberleithner et al.: Salt sensors in blood vessels m i n i r e v i e w DISCLOSURE All the authors declared no competing interests. ACKNOWLEDGMENTS This study was supported by grants from the Deutsche Forschungsgemeinschaft (OB 63/17-1 and Koselleck Grant OB 63/18). We thank colleagues from Imperial College, London and St George’s Hospital, University of London; Prof. Hugh E. de Wardener and Prof. Graham A. MacGregor, who set us on the track that plasma sodium might affect the endothelium directly; and Prof. Gerhard Giebisch from Yale University Medical School, who has supported our scientific efforts over many years. REFERENCES 1. Rizzo V, McIntosh DP, Oh P et al. In situ flow activates endothelial nitric oxide synthase in luminal caveolae of endothelium with rapid caveolin dissociation and calmodulin association. J Biol Chem 1998; 273: 34724–34729. 2. Kasas S, Wang X, Hirling H et al. Superficial and deep changes of cellular mechanical properties following cytoskeleton disassembly. Cell Motil Cytoskeleton 2005; 62: 124–132. 3. Meneton P, Jeunemaitre X, de Wardener HE et al. Links between dietary salt intake, renal salt handling, blood pressure, and cardiovascular diseases. Physiol Rev 2005; 85: 679–715. 4. Ritz E. Salt—friend or foe? Nephrol Dial Transplant 2006; 21: 2052–2056. 5. Adrogue HJ, Madias NE. Sodium and potassium in the pathogenesis of hypertension. N Engl J Med 2007; 356: 1966–1978. 6. Sanders PW. Vascular consequences of dietary salt intake. Am J Physiol Renal Physiol 2009; 297: F237–F243. 7. Titze J, Lang R, Ilies C et al. Osmotically inactive skin Na + storage in rats. Am J Physiol Renal Physiol 2003; 285: F1108–F1117. 8. Adams JM, Bardgett ME, Stocker SD. Ventral lamina terminalis mediates enhanced cardiovascular responses of rostral ventrolateral medulla neurons during increased dietary salt. Hypertension 2009; 54: 308–314. 9. Oberleithner H, Riethmuller C, Schillers H et al. Plasma sodium stiffens vascular endothelium and reduces nitric oxide release. Proc Natl Acad Sci USA 2007; 104: 16281–16286. 10. Pitt B, Remme W, Zannad F et al. Eplerenone, a selective aldosterone blocker, in patients with left ventricular dysfunction after myocardial infarction. N Engl J Med 2003; 348: 1309–1321. 11. Teiwes J, Toto RD. Epithelial sodium channel inhibition in cardio- vascular disease a potential role for amiloride. Am J Hypertens 2007; 20: 109–117. 12. Luft FC. Geneticism of essential hypertension. Hypertension 2004; 43: 1155–1159. 13. Haddy FJ, Vanhoutte PM, Feletou M. Role of potassium in regulating blood flow and blood pressure. Am J Physiol Regul Integr Comp Physiol 2006; 290: R546–R552. 14. Torres SJ, Nowson CA, Worsley A. Dietary electrolytes are related to mood. Br J Nutr 2008; 100: 1038–1045. 15. Oberleithner H, Callies C, Kusche-Vihrog K et al. Potassium softens vascular endothelium and increases nitric oxide release. Proc Natl Acad Sci USA 2009; 106: 2829–2834. 16. Mohr M, Nordsborg N, Nielsen JJ et al. Potassium kinetics in human muscle interstitium during repeated intense exercise in relation to fatigue. Pflugers Arch 2004; 448: 452–456. 17. Kofuji P, Newman EA. Potassium buffering in the central nervous system. Neuroscience 2004; 129: 1045–1056. 18. Nedvetsky PI, Sessa WC, Schmidt HH. There’s NO binding like NOS binding: protein–protein interactions in NO/cGMP signaling. Proc Natl Acad Sci USA 2002; 99: 16510–16512. 19. Schiffrin EL. Effects of aldosterone on the vasculature. Hypertension 2006; 47: 312–318. 20. Perez FR, Venegas F, Gonzalez M et al. Endothelial epithelial sodium channel inhibition activates endothelial nitric oxide synthase via phosphoinositide 3-kinase/Akt in small-diameter mesenteric arteries. Hypertension 2009; 53: 1000–1007. 21. Fujiwara N, Osanai T, Kamada T et al. Study on the relationship between plasma nitrite and nitrate level and salt sensitivity in human hypertension: modulation of nitric oxide synthesis by salt intake. Circulation 2000; 101: 856–861. 22. Li J, White J, Guo L et al. Salt inactivates endothelial nitric oxide synthase in endothelial cells. J Nutr 2009; 139: 447–451. 23. Pesen D, Hoh JH. Micromechanical architecture of the endothelial cell cortex. Biophys J 2005; 88: 670–679. 24. Su Y, Edwards-Bennett S, Bubb MR et al. Regulation of endothelial nitric oxide synthase by the actin cytoskeleton. Am J Physiol Cell Physiol 2003; 284: C1542–C1549. 25. Vrbka L, Vondrasek J, Jagoda-Cwiklik B et al. Quantification and rationalization of the higher affinity of sodium over potassium to protein surfaces. Proc Natl Acad Sci USA 2006; 103: 15440–15444. 26. Nilius B, Droogmans G. Ion channels and their functional role in vascular endothelium. Physiol Rev 2001; 81: 1415–1459. 27. Edwards G, Dora KA, Gardener MJ et al. K + is an endothelium-derived hyperpolarizing factor in rat arteries. Nature 1998; 396: 269–272. 28. Callies C, Schon P, Liashkovich I et al. Simultaneous mechanical stiffness and electrical potential measurements of living vascular endothelial cells using combined atomic force and epifluorescence microscopy. Nanotechnology 2009; 20. 29. Sheng JZ, Braun AP. Small- and intermediate-conductance Ca 2+ -activated K + channels directly control agonist-evoked nitric oxide synthesis in human vascular endothelial cells. Am J Physiol Cell Physiol 2007; 293: C458–C467. 30. Kusche-Vihrog K, Sobczak K, Bangel N et al. Aldosterone and amiloride alter ENaC abundance in vascular endothelium. Pflugers Arch 2008; 455: 849–857. 494 Kidney International (2010) 77, 490–494 m i n i r e v i e w H Oberleithner et al.: Salt sensors in blood vessels Endothelial Cells as Vascular Salt Sensors ������������������������������������������������������������������������������������������������������������������������������������������������� Possible Clinical Relevance of Endothelial Cell Stiffness ���������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������� Atomic Force Microscope: a Mechanical Nanosensor ������������������������������������������������������������������������������������������������������������������������������������������������������������������� Sodium: ’stiffener’ of Vascular Endothelial Cells ���������������������������������������������������������������������������������������������������������������������������������������������������������������������� Potassium: Softener of Vascular Endothelial Cells ���������������������������������������������������������������������������������������������������������������������������������������������������������������������� Endothelial No Release: Opposing Roles of Sodium and Potassium ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������� ’solation-gelation’ Hypothesis ������������������������������������������������������������������������������������������������������������� ’electric Field’ Hypothesis ���������������������������������������������������������������������������������������������������� Disclosure ������������������������������������������������� Acknowledgments ���������������������������������������������������������������� References ������������������������������������������������� 
work_67xbevsuz5c7nkjae4iscm2koi	----	A global perspective on hepatitis B‐related single nucleotide polymorphisms and evolution during human migration A Global Perspective on Hepatitis B- Related Single Nucleotide Polymorphisms and Evolution During Human Migration Dar-In Tai, Wen-Juei Jeng, and Chun-Yen Lin Genome-wide association studies have indicated that human leukocyte antigen (HLA)-DP and HLA-DQ play roles in persis- tent hepatitis B virus (HBV) infection in Asia. To understand the evolution of HBV-related single nucleotide polymorphisms (SNPs) and to correlate these SNPs with chronic HBV infection among different populations, we conducted a global perspective study on hepatitis-related SNPs. We selected 12 HBV-related SNPs on the HLA locus and two HBV and three hepatitis C virus immune-related SNPs for analysis. Five nasopharyngeal carcinoma-related SNPs served as controls. All SNP data world- wide from 26 populations were downloaded from 1,000 genomes. We found a dramatic difference in the allele frequency in most of the HBV- and HLA-related SNPs in East Asia compared to the other continents. A sharp change in allele frequency in 8 of 12 SNPs was found between Bengali populations in Bangladesh and Chinese Dai populations in Xishuangbanna, China (P < 0.001); these areas represent the junction of South and East Asia. For the immune-related SNPs, significant changes were found after leaving Africa. Most of these genes shifted from higher expression genotypes in Africa to lower expression genotypes in either Europe or South Asia (P < 0.001). During this two-stage adaptation, immunity adjusted toward a weak immune response, which could have been a survival strategy during human migration to East Asia. The prevalence of chronic HBV infec- tion in Africa is as high as in Asia; however, the HBV-related SNP genotypes are not present in Africa, and so the genetic mech- anism of chronic HBV infection in Africa needs further exploration. Conclusion: Two stages of genetic changes toward a weak immune response occurred when humans migrated out of Africa. These changes could be a survival strategy for avoiding cyto- kine storms and surviving in new environments. (Hepatology Communications 2017;1:1005-1013) Introduction C hronic hepatitis B virus (HBV) is a global dis- ease. The majority of carriers of hepatitis B surface antigen (HBsAg) are inhabitants of Africa and Asia.(1,2) Immune tolerance is a hallmark of persistent HBV infection.(3) Typically, patients with chronic hepatitis B are infected through their parents in the early stage of life.(4) Remarkably, the immune system of the host may respond to the HBV(5) but does not produce the immune clearance of HBV. HBV may replicate in host cells peacefully until they enter immune clearance phases 2-4 decades later.(3) If the HBV can be eradicated, HBV replication will be terminated, and ultimately 50% of hosts may clear HBsAg by 80 years of age.(6) Genome-wide associa- tion studies from Asia have revealed that the human leukocyte antigen (HLA)-DP and HLA-DQ loci play roles in persistent HBV infection. (7-13) Our objective is to understand the evolution of the single nucleotide Abbreviations: BEB, Bengali in Bangladesh; CD40, clusters of differentiation molecule 40; CDX, Chinese Dai in Xishuangbanna, China; CFB, complement factor B; GIH, Gujarati in India; HBeAg, hepatitis B e antigen; HBsAg, hepatitis B surface antigen; HBV, hepatitis B virus; HLA, human leukocyte antigen; IFNL4, interferon lambda 4; LWK, Luhya in Webuye, Kenya; NPC, nasopharyngeal carcinoma; SNP, single nucleotide polymorphism. Received February 26, 2017; accepted September 27, 2017. Supported by grant CMRPG3F0331 from Chang Gung Memorial Hospital, Linkou. Copyright VC 2017 The Authors. Hepatology Communications published by Wiley Periodicals, Inc., on behalf of the American Association for the Study of Liver Diseases. This is an open access article under the terms of the Creative Commons Attribution-NonCommercial-NoDerivs License, which permits use and distribution in any medium, provided the original work is properly cited, the use is non-commercial and no modifications or adaptations are made. View this article online at wileyonlinelibrary.com. DOI 10.1002/hep4.1113 Potential conflict of interest: Nothing to report. 1005 ORIGINALS | HEPATOLOGY COMMUNICATIONS, VOL. 1, NO. 10, 2017 http://creativecommons.org/licenses/by-nc-nd/4.0/ polymorphisms (SNPs) that were responsible for HBV-related immune tolerance during human migra- tion and to correlate the HBV-related SNPs with a prevalence of chronic HBV infection among global populations. Based on the data from 1,000 genomes collected worldwide, we conducted a global perspective study on the allele frequency of hepatitis-related SNPs. Materials and Methods Based on a literature review, 12 HBV- and HLA- related SNPs,(7-13) five hepatitis- and immune-related SNPs in complement factor B (CFB), clusters of dif- ferentiation molecule 40 (CD40), and interferon lambda 4 (IFNL4) loci (14-18) , and five nasopharyngeal carcinoma (NPC)-related SNPs in HLA regions(19-21) were selected for this analysis (Tables 1 and 2). These SNP data from around the world were downloaded from the phase 3 data of 1,000 genomes (http://www. 1000genomes.org/). (22) The subjects participating in the 1,000 genome project were older than 18 years and had three out of four grandparents who identified themselves as members of the group. The location of the 26 populations evaluated in the 1,000 genomes are shown by abbreviation on a global HBsAg prevalence map reported by Hou et al.(2) (Fig. 1). The allele fre- quencies of different geographic groups in viral hepatitis-related SNPs and NPC-related SNPs are illustrated in Fig. 2. The SNP genotype differences between groups are listed in Tables 1 and 2. We used interactive chi-square tests to calculate the difference in genotypes between groups (http://quantpsy.org). Results Among two HBV- and immune-related SNPs in the CFB and CD40 regions(14,15) and three hepatitis C virus-related SNPs in the IFNL4 regions, (16-18) allele type differences can be found between Africa and Europe or between Africa and South Asia (Fig. 2A). All these immune-related SNP genotypes differed sig- nificantly between Esan in Nigeria and Toscani in Italy and between Luhya in Webuye, Kenya (LWK) and Gujarati in India (GIH) (Table 1; P < 0.001). Among 12 HBV- and HLA-related SNPs, (7-13) the allele frequency showed marked differences between South and East Asian genome samples (Fig. 2B). Eight of the 12 SNPs differed significantly between Bengali in Bangladesh (BEB) and Chinese Dai in Xishuangbanna, China (CDX); these areas represent the junction of South and East Asia (Table 2; P < 0.001). Three of the 12 HBV- and HLA-related SNPs (Fig. 2B, dotted lines; rs9276370, rs3128917, and rs9380343) also showed significant differences between LWK in Africa and GIH in South Asia (Table 2; P < 0.001). In contrast, we found the allele frequency of NPC-related SNPs(18-20) to be relatively stable among different populations (Fig. 2C). Discussion Based on the well-known human migration path- ways (23,24) and the recent data from 1,000 genomes, (22) our analysis of hepatitis- and immune-related SNPs demonstrate a significant change in allele frequency shortly after the migration out of Africa (Fig. 2A). All genotypes of five immune-related SNPs differed sig- nificantly between Esan in Nigeria in Africa and Toscani in Italy in Europe and between LWK in Africa and GIH in South Asia (Table 1; P < 0.001). In addition, both CFB and CD40 shifted from a higher expression in African genotypes (rs12614:TT; rs1883832:CC) to a lower expression in European and South Asian genotypes (rs12614:CC; rs1883832: TT).(14,15) These changes conferred a decrease in the strength of immune responses. The CC genotype of ARTICLE INFORMATION: From the Division of Hepatology, Department of Gastroenterology and Hepatology, Chang Gung Memorial Hospital, Linkou Medical Center, Taoyuan City, Taiwan. ADDRESS CORRESPONDENCE AND REPRINT REQUESTS TO: Dar-In Tai, M.D., Ph.D. Division of Hepatology, Department of Gastroenterology and Hepatology Chang Gung Memorial Hospital and Chang Gung University College of Medicine 199 Tung-Hwa North Road Taipei, Taiwan 105 E-mail: tai48978@adm.cgmh.org.tw Tel: 1886-3-328-1200 ext. 8107 TAI, JENG, LIN HEPATOLOGY COMMUNICATIONS, December 2017 1006 http://www.1000genomes.org/ http://www.1000genomes.org/ http://quantpsy.org/ T A B L E 1 . G E N O T Y P E D IF F E R E N C E S B E T W E E N G E O G R A P H IC A R E A S O N H E P A T IT IS - A N D IM M U N E -R E L A T E D S N P S TS I (n 5 1 0 7 ) E S N (n 5 9 9 ) TS I V s. E S N LW K (n 5 1 0 3 ) G IH (n 5 9 9 ) LW K V s. G IH B E B (n 5 8 6 ) C D X (n 5 9 3 ) B E B V s. C D X S N P G en o ty p e N o % N o % P va lu e N o % N o % P va lu e N o % N o % P va lu e rs 1 2 6 1 4 C C 7 6 7 1 .0 3 7 3 7 .4 4 5 4 5 .5 7 4 7 1 .9 6 8 7 9 .1 9 0 9 6 .8 C FB C T 2 9 2 7 .1 4 7 4 7 .5 4 5 4 5 .5 2 5 2 4 .3 1 7 1 9 .8 3 3 .2 TT 2 1 .9 1 5 1 5 .1 1 .1 3 1 0 2 6 9 9 .0 4 3 .9 6 .2 5 3 1 0 2 6 1 1 .2 0 0 1 .1 3 1 0 2 3 rs 1 2 9 7 9 8 6 0 C C 3 7 3 4 .6 8 8 .1 1 8 1 8 .2 6 2 6 0 .2 5 3 6 1 .6 7 5 8 0 .6 IF N L4 C T 5 5 5 1 .4 4 1 4 1 .4 6 0 6 0 .6 3 3 3 2 .0 3 2 3 7 .2 1 7 1 8 .3 TT 1 5 1 4 .0 5 0 5 0 .5 0 .0 0 0 0 2 1 2 1 .2 8 7 .8 6 .6 3 1 0 2 4 1 1 .2 1 1 .1 1 .7 3 1 0 2 2 rs 3 6 8 2 3 4 8 1 5 -- 1 5 1 4 .0 5 2 5 2 .5 2 5 2 5 .3 8 7 .8 1 1 .2 1 1 .1 IF N L4 -T 5 6 5 2 .3 3 8 3 8 .4 6 0 6 0 .6 3 3 3 2 .0 3 3 3 8 .4 1 7 1 8 .3 TT 3 6 3 3 .7 9 9 .1 0 .0 0 0 0 1 4 1 4 .1 6 2 6 0 .2 0 .0 0 0 0 5 2 6 0 .5 7 5 8 0 .6 1 .1 3 1 0 2 2 rs 8 0 9 9 9 1 7 TT 6 4 5 9 .8 9 5 9 6 .0 8 4 8 4 .8 7 2 6 9 .9 6 7 7 7 .9 7 5 8 0 .6 IF N L4 M S R B 1 P 1 G T 4 2 3 9 .3 4 4 .0 1 5 1 5 .2 2 9 2 8 .2 1 9 2 2 .1 1 8 1 9 .4 G G 1 0 .9 0 0 1 3 1 0 2 8 0 0 2 1 .9 2 .6 3 1 0 2 2 0 0 0 .0 0 .0 1 .0 0 0 0 rs 1 8 8 3 8 3 2 TT 2 1 .9 0 0 0 0 6 5 .8 9 1 0 .5 2 9 3 1 .2 C D 4 0 C T 6 0 5 6 .1 0 0 8 8 .1 4 6 4 4 .7 3 6 4 1 .9 4 4 4 7 .3 C C 4 5 4 2 .1 9 9 1 0 0 0 .0 0 0 0 9 1 9 1 .9 5 1 4 9 .5 0 .0 0 0 0 4 1 4 7 .7 2 0 2 1 .5 1 .7 3 1 0 2 2 A b b re vi at io n s: B E B , B en g al i p o p u la ti o n s fr o m B an g la d es h ; C D X , C h in es e D ai p o p u la ti o n s in X is h u an g b an n a, C h in a; E S N , E sa n in N ig er ia ; G IH , G u ja ra ti in In d ia fr o m H o u s- to n , T X ; L W K , L u h ya in W eb u ye , K en ya ; M S R B 1 P 1 , m et h io n in e su lf o xi d e re d u ct as e B 1 p se u d o g en e 1 ; T S I, T o sc an i in It al y. HEPATOLOGY COMMUNICATIONS, Vol. 1, No. 10, 2017 TAI, JENG, LIN 1007 T A B L E 2 . G E N O T Y P E D IF F E R E N C E S B E T W E E N G E O G R A P H IC A R E A S O N H B V - A N D H L A -R E L A T E D S N P S TS I (n 5 1 0 7 ) E S N (n 5 9 9 ) TS I V s. E S N LW K (n 5 1 0 3 ) G IH (n 5 9 9 ) LW K V s. G IH B E B (n 5 8 6 ) C D X (n 5 9 3 ) B E B V s. C D X S N P G en o ty p e N o % N o % P va lu e N o % N o % P va lu e N o % N o % P va lu e rs 9 2 7 6 3 7 0 G G 1 6 1 5 .0 5 3 5 3 .5 4 1 4 1 .4 6 5 .8 0 0 .0 0 0 .0 H LA -D Q A 2 G T 4 2 3 9 .3 4 1 4 1 .4 4 3 4 3 .4 3 4 3 3 .0 2 2 2 5 .6 1 8 1 9 .4 TT 4 9 4 5 .8 5 5 .1 0 .0 0 0 0 1 5 1 5 .2 6 3 6 1 .2 0 .0 0 0 0 6 4 7 4 .4 7 5 8 0 .6 0 .6 0 7 1 rs 7 7 5 6 5 1 6 C C 1 3 1 2 .1 4 1 4 1 .4 2 9 2 9 .3 1 3 1 2 .6 2 2 .3 0 0 .0 H LA -D Q B 2 C T 5 4 5 0 .5 4 9 4 9 .5 4 7 4 7 .5 4 7 4 5 .6 3 5 4 0 .7 2 0 2 1 .5 TT 4 0 3 7 .4 9 9 .1 4 .0 3 1 0 2 8 2 3 2 3 .2 4 3 4 1 .7 2 .3 3 1 0 2 3 4 9 5 7 .0 7 3 7 8 .5 5 .1 3 1 0 2 3 rs 7 4 5 3 9 2 0 A A 1 2 1 1 .2 8 8 .1 7 7 .1 6 5 .8 0 0 .0 0 0 .0 H LA -D Q B 2 A G 4 1 3 8 .3 4 8 4 8 .5 4 2 4 2 .4 2 9 2 8 .2 1 9 2 2 .1 1 1 1 1 .8 G G 5 4 5 0 .5 4 3 4 3 .4 0 .3 1 8 1 5 0 5 0 .5 6 8 6 6 .0 0 .0 7 7 1 6 7 7 7 .9 8 2 8 8 .2 0 .1 8 5 0 rs 9 2 7 7 3 4 1 TT 4 4 4 1 .1 6 6 .1 1 8 1 8 .2 2 1 2 0 .4 1 4 1 6 .3 1 1 .1 H LA -D P A 1 C T 4 7 4 3 .9 4 1 4 1 .4 4 3 4 3 .4 5 7 5 5 .3 4 2 4 8 .8 2 3 2 4 .7 C C 1 6 1 5 .0 5 2 5 2 .5 0 .0 0 0 0 3 8 3 8 .4 2 5 2 4 .3 0 .0 9 0 9 3 0 3 4 .9 6 9 7 4 .2 1 .1 3 1 0 2 7 rs 3 1 3 5 0 2 1 G G 5 5 5 1 .4 4 5 4 5 .5 3 3 3 3 .3 2 6 2 5 .2 2 9 3 3 .7 6 5 6 9 .9 H LA -D P A 1 /B 1 A G 4 0 3 7 .4 4 3 4 3 .4 4 6 4 6 .5 6 3 6 1 .2 4 5 5 2 .3 2 7 2 9 .0 A A 1 2 1 1 .2 1 1 1 1 .1 0 .6 5 6 1 2 0 2 0 .2 1 4 1 3 .6 0 .1 0 7 4 1 2 1 4 .0 1 1 .1 1 .1 3 1 0 2 6 rs 9 2 7 7 5 3 5 A A 5 1 4 7 .7 6 1 6 1 .6 6 2 6 2 .6 5 2 5 0 .5 4 0 4 6 .5 1 3 1 4 .0 H LA -D P B 1 A G 5 0 4 6 .7 3 4 3 4 .3 3 2 3 2 .3 4 8 4 6 .6 3 0 3 4 .9 4 2 4 5 .2 G G 6 5 .6 4 4 .0 0 .1 3 2 9 5 5 .1 3 2 .9 0 .0 9 4 9 1 6 1 8 .6 3 8 4 0 .9 4 .8 3 1 0 2 6 rs 1 0 4 8 4 5 6 9 G G 1 0 0 9 3 .5 8 3 8 3 .8 8 8 8 8 .9 9 5 9 2 .2 8 2 9 5 .3 3 3 3 5 .5 H LA -D P A 2 A G 7 6 .5 1 5 1 5 .2 1 0 1 0 .1 8 7 .8 3 3 .5 4 1 4 4 .1 A A 0 0 .0 1 1 .0 0 .0 7 4 8 1 1 .0 0 0 .0 0 .4 9 3 9 1 1 .2 1 9 2 0 .4 0 .0 0 0 0 rs 3 1 2 8 9 1 7 TT 5 4 5 0 .5 2 5 2 5 .3 2 8 2 8 .3 5 9 5 7 .3 4 4 5 1 .2 2 2 2 3 .7 H LA -D P A 2 G T 4 4 4 1 .1 4 8 4 8 .5 5 1 5 1 .5 3 9 3 7 .9 3 2 3 7 .2 4 2 4 5 .2 G G 9 8 .4 2 6 2 6 .3 8 .3 3 1 0 2 5 2 0 2 0 .2 5 4 .9 2 .1 3 1 0 2 5 1 0 1 1 .6 2 9 3 1 .2 1 .4 3 1 0 2 4 rs 2 2 8 1 3 8 8 G G 1 0 3 9 6 .3 9 9 1 0 0 .0 9 9 1 0 0 9 6 9 3 .2 8 1 9 4 .2 3 3 3 5 .5 H LA -D P A 2 A G 4 3 .7 0 0 .0 0 0 .0 7 6 .8 4 4 .7 4 1 4 4 .1 G G 0 0 .0 0 0 .0 0 .1 5 1 6 0 0 .0 0 0 .0 0 .0 3 0 7 1 1 .2 1 9 2 0 .4 0 .0 0 0 0 rs 3 1 1 7 2 2 2 C C 5 4 5 0 .5 2 5 2 5 .3 2 8 2 8 .3 5 9 5 7 .3 4 4 5 1 .2 2 1 2 2 .6 H LA -D P A 2 C T 4 4 4 1 .1 5 0 5 0 .5 5 1 5 1 .5 3 9 3 7 .9 3 2 3 7 .2 4 3 4 6 .2 TT 9 8 .4 2 4 2 4 .2 1 .5 3 1 0 2 4 2 0 2 0 .2 5 4 .9 2 .1 3 1 0 2 5 1 0 1 1 .6 2 9 3 1 .2 8 .4 3 1 0 2 5 rs 9 3 8 0 3 4 3 C C 9 9 9 2 .5 9 3 9 3 .9 9 5 9 6 .0 9 5 9 2 .2 8 2 9 5 .3 3 1 3 3 .3 H LA -D P B 2 C T 8 7 .5 6 6 .1 4 4 .0 8 7 .8 3 3 .5 4 3 4 6 .2 TT 0 0 .0 0 0 .0 0 .9 2 1 7 0 0 .0 0 0 .0 0 .5 3 3 9 1 1 .2 1 9 2 0 .4 0 .0 0 0 0 rs 9 3 6 6 8 1 6 TT 6 5 6 0 .7 6 5 6 5 .7 6 4 6 4 .6 6 5 6 3 .1 5 8 6 7 .4 2 4 2 5 .8 H LA -D P A 3 C T 3 7 3 4 .6 2 9 2 9 .3 3 2 3 2 .3 3 5 3 4 .0 2 5 2 9 .1 4 7 5 0 .5 C C 5 4 .7 5 5 .1 0 .7 1 8 9 3 3 .0 3 2 .9 0 .9 6 9 0 3 3 .5 2 2 2 3 .7 2 .0 3 1 0 2 8 A b b re vi at io n s: B E B , B en g al i p o p u la ti o n s fr o m B an g la d es h ; C D X , C h in es e D ai p o p u la ti o n s in X is h u an g b an n a, C h in a; E S N , E sa n in N ig er ia ; G IH , G u ja ra ti in In d ia fr o m H o u s- to n , T X ; L W K , L u h ya in W eb u ye , K en ya ; M S R B 1 P 1 , m et h io n in e su lf o xi d e re d u ct as e B 1 p se u d o g en e 1 ; T S I, T o sc an i in It al y. TAI, JENG, LIN HEPATOLOGY COMMUNICATIONS, December 2017 1008 rs12979860 (IFNL4), which is more prevalent in East Asia, is associated with a lower baseline IFNL3 (inter- leukin-28B) expression. (16,17) The IFNL4 open read- ing frame is truncated by a polymorphic frame-shift insertion (rs368234815), which turns IFNL4 into a polymorphic pseudogene in East Asian popula- tions. (18) Because the prevalence of HBsAg is higher in Africa than in Europe or South Asia, these trends of decreased immune protein expression are not related to HBV-specific immune tolerance. Although it is clear that Europeans and South Asians are two different races, they showed similar genetic adaptions when they migrated out of Africa. These changes suggest that the decreased expression of immune-related genes might have been an important survival strategy when humans migrated into new territories and faced new pathogens. The contact between different races of humans may induce devastating diseases, for example, when the New World was discovered by Christopher Columbus in 1492.(25) A similar situation was well documented when Japan sent troops to Taiwan in 1874 and 1895; only 0.1% to 0.3% of soldiers died in battle, while around 10% died of diseases in a short period of time after arrival. (26) Our second principal result is that the allele frequency of HBV- and HLA-related SNPs show marked differ- ences between South and East Asian genome samples (Fig. 2B). Eight of the 12 SNPs differed significantly between BEB and CDX (Table 2; P < 0.001). These two populations are located at the junction of South and East Asia. The unique allele types of HBV-related SNPs in East Asian populations are different from those of other geographic populations. These genotypic changes could be related to antigen presentation and could be associated with persistent HBV infection.(7-13) Our find- ings are in agreement with a higher prevalence of HBsAg in East Asia than in South Asia (Fig. 1). These genotypic populations are generally overlapped in the Y chro- mosome haplogroup O1-O3 distribution map (https:// en.wikipedia.org/wiki/Human_Y-chromosome_DNA_ haplogroup) as they started in the Indo-China Peninsula and travelled to northern China and Japan. ��������������������������������������������������������������������������������������������������������������������������������������� FIG. 1. Global HBsAg prevalence before HBV vaccination and the locations of the population groups of 1,000 genomes. The boxed groups are populations used in Tables 1 and 2. (Modified from Hou et al., Int J Med Sci 2005; 2:50-57.) Abbreviations: ACB, Afri- can Ancestry from Barbados in the Caribbean; ASW, African ancestry in Southwest United States; BEB, Bengali in Bangladesh; CDX, Chinese Dai in Xishuangbanna, China; CEU, Utah residents with ancestry from Northern and Western Europe; CHB, Han Chinese in Beijing, China; CHS, Han Chinese South, China; CLM, Colombians in Medellin, Colombia; ESN, Esan from Nigeria; FIN, Finnish in Finland; GBR, British from England and Scotland, United Kingdom; GDW, Gambian in Western division, Gambia, GIH, Gujarati Indians in Houston, TX; IBS, Iberian populations in Spain; ITU, Indian Telugu in the United Kingdom; JPT, Japanese in Tokyo, Japan; KHV, Kinh in Hochi Minh city, Vietnam; LWK, Luhya in Webuye, Kenya; MSL, Mende in Sierra Leone; MXL, Mexican ancestry in Los Angeles, CA; PEL, Peruvian in Lima, Peru; PJL, Punjabi in Lahore, Pakistan; PUR, Puerto Ricans in Puerto Rico; STU, Sri Lankan Tamil in the United Kingdom; TSI, Toscani in Italy; YRI, Yoruba in Ibadan, Nigeria. ��������������������������������������������������������������������������������������������������������������������������������������� HEPATOLOGY COMMUNICATIONS, Vol. 1, No. 10, 2017 TAI, JENG, LIN 1009 https://en.wikipedia.org/wiki/Human_Y-chromosome_DNA_haplogroup https://en.wikipedia.org/wiki/Human_Y-chromosome_DNA_haplogroup https://en.wikipedia.org/wiki/Human_Y-chromosome_DNA_haplogroup Given the results, we theorized on the reason behind the dramatic allele differences in HBV-related SNPs between BEB in South Asia and CDX in East Asia. One possible explanation for this variation involves the consideration of environmental landscape factors.(27) For example, Bangladesh is a predominately rich, fer- tile, and flat land, with many areas situated less than 12 m above sea level. On the other hand, Xishuang- banna is situated in a mountainous and forested area that has the largest diversity of plants and animals in China. Regions with higher plant and animal biodiversity are often accompanied by an increased range and abundance of vector-borne or nonvector-borne dis- eases.(28-34) Accordingly, the inhabitants of these areas should be able to tolerate an increased number of unfa- miliar microorganisms. We speculated that the subjects who demonstrate direct and strong immune responses ��������������������������������������������������������������������������������������������������������������������������������������� FIG. 2. Allele frequency of viral hepatitis- and NPC-related SNPs in different geographic groups. (A) Allele frequency of immune- related SNPs (CFB, CD40, IFNL4). Significant allele type differences were found between African and European populations and between African and South Asian populations in all of the immune-related SNPs. (B) Allele frequency of HBV- and HLA-related SNPs (HLA-DP and -DQ). Significant allele type differences were found between South and East Asian populations in 8 of 12 HLA-related SNPs and between African and South Asian populations in 3 of 12 SNPs. (C) Allele frequency of NPC-related SNPs (HLA regions). There was no significant difference among different populations in five NPC-related SNPs. Abbreviations: ACB, African Ancestry from Barbados in the Caribbean; AFR, Africa, total; ALL, global, total; AMR, America, total; ASW, African ancestry in Southwest United States; BEB, Bengali in Bangladesh; CDX, Chinese Dai in Xishuangbanna, China; CEU, Utah resi- dents with ancestry from Northern and Western Europe; CHB, Han Chinese in Beijing, China; CHS, Han Chinese South, China; CLM, Colombians in Medellin, Colombia; EAS, East Asia, total; ESN, Esan from Nigeria; EUR, Europe, total; FIN, Finnish in Finland; GBR, British from England and Scotland, United Kingdom; GIH, Gujarati Indians in Houston, TX; IBS, Iberian popula- tions in Spain; ITU, Indian Telugu in the United Kingdom; JPT, Japanese in Tokyo, Japan; KHV, Kinh in Hochi Minh city, Viet- nam; LWK, Luhya in Webuye, Kenya; MAG, Mandinka in Gambia; MSL, Mende in Sierra Leone; MXL, Mexican ancestry in Los Angeles, CA; PEL, Peruvian in Lima, Peru; PJL, Punjabi in Lahore, Pakistan; PUR, Puerto Ricans in Puerto Rico; SAS, South Asia, total; STU, Sri Lankan Tamil in the United Kingdom; TSI, Toscani in Italy; YRI, Yoruba in Ibadan, Nigeria. ��������������������������������������������������������������������������������������������������������������������������������������� TAI, JENG, LIN HEPATOLOGY COMMUNICATIONS, December 2017 1010 may die of a cytokine storm in fulminant hepatitis, severe acute respiratory syndrome, influenza, and other infections.(30-34) This concept is supported by a lower mortality rate from influenza H1N1 in Asia than in Australia, New Zealand, and North America. (35) Cytokine storm was first described in graft-versus- host disease and was soon also identified in many infectious diseases (36) ; many cytokines, chemokines, and complements are involved.(37-39) The immune- related SNPs selected in this study that included IFN (IFNL4), tumor necrosis factor-receptor (CD40), and complements (CFB) are all participants in cytokine storms. HLA class II molecules are associated with antigen presentation and are also modulated by cyto- kines. (40) A cytokine storm is considered to be a hyper- reaction of the immune response to a pathogen that may cause fulminant disease and mortality.(36-39) When humans migrate to a new territory, they face many unfamiliar pathogens. Those subjects with a strong immune response will die of disease, but those subjects with a weak immune response to the patho- gens may survive. Chronic HBV infection with an immune tolerance stage is an example of a weak immune response.(3-5) East Asian populations carry similar allele types of HBV-related SNPs (Fig. 2B), although the environ- ments of northern China and Japan differ substantially from those of southern China and the Indo-China Peninsula.(41) We therefore propose that there was a significant physical block to gene flow on the Indo- China Peninsula. Most of the survivors in East Asia exhibit delayed HBV-related immune clearance geno- types. This could have been a survival strategy to pass through the Indo-China Peninsula and southern China during human migration. Such HLA class II genotypes are aimed toward an immune tolerance strategy.(7-13) These changes were successful because this group of people spread to northern China and Japan and have become the largest population in the world numerically. However, such a survival benefit may have been a trade-off with cold tolerance as these populations were unable to cross the Bering Strait in large numbers. Indigenous Americans do not show the same HBV-related allele pattern; they have a low prev- alence of chronic HBV infection and high influenza- related mortality rates.(1,2,35) Overall, we identified two genetic adaptations that occurred during human migration. The first was the decreased expression of immune-related genes after leaving Africa; the second was the evolution of an HLA system with migration into the Indo-China Peninsula. Both events may have aimed to decrease the strength of the immune response and avoid cytokine storms when facing different types of pathogens. The high prevalence of chronic HBV infection in East Asia could be a consequence of such a strategy. However, persistent HBV infection-related HLA genotypes are not present in the African population (Fig. 2B) and cannot be responsible for the high prevalence of HBsAg in Africa. Different genetic and nongenetic mechanisms of chronic HBV infection are presented between East Asian and African populations.(4,42-44) We summarize the differences on HBsAg carriers between East Asia and Africa in Table 3. These differences may provide a clue for the mechanism of the function of SNPs in the persistent HBV infection. The high prevalence of low- expression-type immune-related SNPs and chronic HBV infection-related SNPs on the HLA locus may be a reason for a longer hepatitis B e antigen (HBeAg)-positive phase in East Asia. IFN-alpha has been recommended for treatment of HBeAg-positive chronic hepatitis B. In a larger series from pediatric patients, IFN-alpha was found to be an effective ther- apy in chronic hepatitis B with severe inflammation that facilitates HBeAg seroconversion in earlier life.(45) In addition, HBV- and HLA-related SNPs are also associated with spontaneous HBeAg seroconver- sion.(46-48) These genetic polymorphisms could be a reason for an early HBeAg seroconversion and a lower vertical transmission in Africa compared to East Asia. It is well known that HBV genotypes A, B, and D show an earlier HBeAg seroconversion compared to genotype C.(42,44) This early HBeAg seroconversion was suggested to be the reason of low vertical transmis- sion in Africa.(49) However, HBV genotype B also had an early HBeAg seroconversion but had a high vertical transmission rate in East Asia.(4) Therefore, host fac- tors rather than HBV genotypes alone should be con- sidered for the high vertical transmission rate in East Asia. Most HBV-related genome-wide association TABLE 3. 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Hepatology 2010;51:81-91. 31) Yu X, Zheng Y, Deng Y, Li J, Guo R, Su M, et al. Serum interleukin (IL)-9 and IL-10, but not T-helper 9 (Th9) cells, are associated with survival of patients with acute-on-chronic hepati- tis B liver failure. Medicine (Baltimore) 2016;95:e3405. 32) Gralinski LE, Baric RS. Molecular pathology of emerging coro- navirus infections. J Pathol 2015;235:185-195. TAI, JENG, LIN HEPATOLOGY COMMUNICATIONS, December 2017 1012 33) La Gruta NL, Kedzierska K, Stambas J, Doherty PC. A question of self-preservation: immunopathology in influenza virus infec- tion. Immunol Cell Biol 2007;85:85-92. 34) Oldstone MB, Rosen H. Cytokine storm plays a direct role in the morbidity and mortality from influenza virus infection and is chemically treatable with a single sphingosine-1-phosphate ago- nist molecule. Curr Top Microbiol Immunol 2014;378:129-147. 35) Wong JY, Kelly H, Cheung CM, Shiu EY, Wu P, Ni MY, et al. 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work_6axxg3tdrzbjlhh2zb5ulgodhm	----	The dawn of neurosurgery in pre-conquest Mesoamerican territories PRESIDENTIAL ADDRESS The dawn of neurosurgery in pre-conquest Mesoamerican territories Graciela Zuccaro1 Received: 3 May 2017 /Accepted: 14 May 2017 # Springer-Verlag Berlin Heidelberg 2017 Today I would like to take you back in time…. In 1492, the Italian born navigator, Christopher Columbus, presented to the Spanish Queen Isabel the Catholic, a plan to cross the Atlantic Ocean on a westward route to reach India and China and to negotiate riches with the Asian continent. With the plan approved, Columbus set sail with his three ships: La Niña, La Pinta, and La Santa Maria. On October 12th, 1492, Columbus landed in the island of Guanahani in the archipelago of The Bahamas, which he baptized as San Salvador, where they were met by local, semi-naked inhabi- tants that he called BIndios^, BIndians^, believing that he had reached India (Fig. 1). But in fact, Columbus had discovered the American continent. What today is called Latin America, back then was a very vast yet heterogeneous territory inhabited by nomadic tribes with minimal group organization but with an echelon of po- litical and social structures very comparable to the most de- veloped European ones of the time. The two predominant areas of prescientific development pertain to Mesoamerica: an area conformed by the central region of the American continent, which extended from the center of Mexico to present day Nicaragua, with its Mayan and Aztec Empires; and South America, whose major apogee was reached during the Incan Empire whose capital was in Cuzco, Peru yet extended westward into Ecuador, Bolivia, Chile, and Northern Argentina, and the Jívaro Shuar in Ecuador (Fig. 2). In both regions of Mesoamerica, there already existed rich cultures with their own symbolisms and theories, but these were eventually absorbed or destroyed by the aforementioned Indian empires and later on by European powers. But during the centuries following the establishment of the first agricul- tural settlements, (Fig. 3a, b) several social and cultural fea- tures evolved among Mesoamerican and South American so- cieties, such as complex calendar and numeral system, (Fig. 4) rich and colorful mythological traditions, advanced astronom- ical knowledge (Fig. 5), and distinct architectural styles whose vestiges still remain (Fig 6). The origins of pre-Columbian medicine date back to 1500 years before Christ. Health was measured with a hot/ cold polarity, and this balance affected the body and its rela- tion to the cosmos. Everything that was masculine, celestial, or came from above was considered warm; on the contrary, all that was feminine came from below, and the underworld was considered cold. And disease had a multifactorial origin: it could be due to the punishment from the Gods, caused by another man’s evil, or a stroke of fate destined from birth. At the time, there was a persistent belief that medicine had a Bmagical^ aspect to it: if supernatural forces caused disease, then in order to cure the disease, it was necessary to orches- trate against these evil influences whether they came from the stars/cosmos or from relegated faraway forces or from certain animals, such as the serpent that lived deep within the land and was considered to carry out the will of the dead. The magician, wizard, or sorcerer was the expert who pos- sessed the ability to communicate with superior beings, and to have influence upon them through prayer or threats in order to modify their adverse effect. Here emerged the infamous first Bwitch doctors^ who observed the stars, fire, animal entrails in * Graciela Zuccaro gnzuccaro@gmail.com 1 Buenos Aires, Argentina Childs Nerv Syst (2017) 33:1621–1629 DOI 10.1007/s00381-017-3464-4 http://orcid.org/0000-0001-8831-8424 mailto:gnzuccaro@gmail.com http://crossmark.crossref.org/dialog/?doi=10.1007/s00381-017-3464-4&domain=pdf Fig. 2 Depicts predominant areas of civilizations and of prescientific development Fig. 1 Christopher Columbus meeting the “Indians” Fig. 3 a Aztec Farmers harvesting maize outside of Majea (Teotihuacán). b Mayan Stone Calendar 1622 Childs Nerv Syst (2017) 33:1621–1629 order to predict the future and to cure diseases. Their power grew exponentially during times of disease epidemics and wars. These doctors constituted a separate cast. They were prepped from childhood with special rituals and complicated initiations. They wore elaborate colorful garments decorated with precious jewels, animal feathers, and sacred amulets that bestowed upon them a mysterious aura of superiority over other men; (Fig. 7) and therefore, gave them the authority to practice their profession. They possessed an immense knowl- edge of the virtues of the plants used to prepare their potions and also of the variety of animal poisons. They were in charge of animal and human sacrifices, and of human decapitation. These topics shall be expanded upon later in this document. The use of psychoactive substances was common in pre- Colombian Mesoamerican societies. Hallucinogenic cactus, plants, and mushrooms that contained mescaline were used to induce altered states of consciousness in healing rituals and religious ceremonies. The shaman, the intermediaries between the real and the supernatural worlds, were the only ones who knew the book Fig. 4 Six sheets of the Dresden Codex from the pre-Columbian Maya civilization Fig. 5 Maya Astronomical Observatory Temple, known as "El Caracol", Chichen Itza, Mexico Childs Nerv Syst (2017) 33:1621–1629 1623 of life and destiny of each individual. And in a time marked by magic, prophecies, and religion, they consumed these psycho- active substances in group ceremonies to achieve intoxication to embark on their shamanic voyages to communicate with spirits to acquire knowledge about plants, to diagnose epi- demics, to ensure good harvests, to predict rain seasons, to know the outcome of wars and also to predict sickness and health, life expectancy, future diseases, and the fate of new- borns. Ritual enemas were also used to induce trance-like states. All of this was accompanied by ritual songs and dances performed to the beat of drums and contained within a reli- gious circle symbolizing death and resurrection. These sub- stances were also administered to their warriors so they could experience a trance like state that would allow them to fight without feeling fear, thirst, or hunger. Given that the different ethnic groups of the time lived in a constant state of war, of full body-to-body combat which re- sulted in numerous injuries, deaths, and executions, this pro- vided hands on knowledge of the human body, of anatomy. The acquired knowledge began to be reflected in their surgical procedures in the treatment of war injuries, the decapitation of prisoners, and in the development of war headgear to protect the main part of the body: the brain and to strike adversaries with more accurate precision (Fig. 8a, b). Human sacrifices, considered a debt paid to the Gods in return for their favors in winning battles, fertility of families and animals, ensuring rain, among other things, also greatly contributed to the knowledge of the human body, especially of the nervous system and to a superficial knowledge of neurolog- ical disorders. Victims were beheaded lying down and an obsid- ian or a quartz knife was used. (Fig. 9) Priests would make the initial incision, then, with a quick, masterful move, the heart was removed and given as the ultimate offering to the Gods. (Fig. 10) And finally, the poor individual’s head was cut off. These heads had three main purposes: offered to the tem- ples, displayed in a trophy style gallery of skulls, or used to make ornamental masks. How these masks were made showed technical precision that included scrapings, abrasions, and bone separation, gem incrustations in orbital lobes, and obsidian, quartz or flintstone blades in the nasal and oral cav- ities. These masks represented a bond between life and death (Fig. 11 a, b, c, d). The Indians considered that the body consisted of three main areas: 1. The head (cuaitl) contained the conscience, reason, and the tonali, the individual’s shadow that could be lost in Fig. 6 Inca Civilization, Machu Picchu, Peru Fig. 7 Shaman worshipping Sun and Gods. Courtesy of BApocalypto^ Director Mel Gibson, Copyright: ©Icon 1624 Childs Nerv Syst (2017) 33:1621–1629 dreams, repeated coitus, drunkenness, and it could be re- covered by consuming cocoa, chicha, chiles or using a redwood charm. 2. The heart (yollotl) contained the individual’s emotional processes, vital functions, and rational thought. 3. The liver (ihiyotl), encompassing the body’s lower part, contained the emotions originating from the underworld. As in all war oriented cultures, there was a clear intent to rescue and cure young injured warriors. Pre-Columbian doc- tors were extremely interested in head injuries as is evidenced in the remains found in Mayan archeological sites. These re- mains show wounds sutured with human hairs, fracture reduc- tions, and dental prostheses made of turquoise or jade. For example, Aztec doctors knew that severe head injuries and injuries to the superior part of the spinal cord were lethal and if the injured survived, they became known as Bmen with crippled hands^ and were not treated due to their poor prognosis. Various battle weapons were used at the time, as were helmets, protective warrior headgear used to pro- tect the brain, due to their extensive knowledge of the severity of head traumas. These are axes, clubs, spikes, spears, slings, bolas, etc. An image of an Incan warrior wearing his uniform: sandals, shield, breastplate, and a protective helmet to prevent head trauma with a spear in his right hand (Fig. 8a, b). Numerous carved sculptures from this time period have been found showing post-traumatic facial paralysis, spins bifida with kyphosis, orbital tumor, facial paralysis and Krauze syndrome, among other malformations (Fig. 12a–e). Fig. 8 a Warrior using his maza orclava against the cranium of his opponent. Courtesy: Professor Doctor Fernando Rueda Franco. b Warrior with a large tumi used to decapitate enemy. Courtesy: Museo del Oro, Lima, Perú Fig. 9 Image of Shaman offering heart to the Gods. Courtesy of BApocalypto^ Director Mel Gibson, Copyright: ©Icon Childs Nerv Syst (2017) 33:1621–1629 1625 There were three principal neurosurgical practices at that time: 1. Cranial trephination 2. Intentional cranial deformation 3. Head shrinking The suggested reasons for trephination surgeries in ancient Peru are numerous: for trauma, fractures, diseases of the cra- nium, epilepsy to release evil spirits, headaches, mental dis- ease, and some rituals. In the National Museum of Anthropology and Archeology in Peru, there are 15,000 skulls and sitting mummies that have been preserved and recovered from pre-Colombian civilizations. If the patient was conscious, the anesthesia applied was intoxication with alcohol using Bchicha^, a beverage derived from fermented maize, accompanied by chewing coca leaves and by techniques of hypnosis or suggestion. The principal instrument used in craniotomies was the ceremonial tumi knife in bronze, but bone elevators, dissectors, and needles were also used. Four different trepanation techniques of the time have also been discovered: 1. Scraping or abrasive techniques done with obsidian, a volcanic glass sharpened and hoisted on a wooden handle to serve as a scalpel blade (Fig. 13a); 2. A second technique was to carve out a circular cone like orifice (Fig. 13b) 3. The third was incising linear grooves to make a square shaped hole in the skull. In this image, surely used to treat the large fracture this patient presented. (Fig. 13c) 4. In children, supra-inion trepanation was practiced, scrap- ing the external table above the inion without perforating the inner table. This was considered a baptism ritual and a prophylactic procedure to protect patients from future problems such as headaches. The more advanced cultures practiced gold cranioplasty. They possessed such an advanced knowledge of anatomy that they never included the middle line in craniotomies because they knew that this would produce massive hemorrhaging and they never perforated the meninges because they knew that if they did, inevitably infection and death would follow. The patients’ post-surgery survival prognosis was calculat- ed based on the presence of osteoporosis in craniotomies’ borders. When the marks done by the surgical instruments could be perfectly identified, this demonstrated that survival was minimal. An osteoporotic halo with a moth-eaten appear- ance meant survival of 1 to 3 weeks. An important presence of osteoporosis associated with an inflammatory reaction and necrosis, suggests survival of 4 to 7 weeks. Evidence of osse- ous bridges formed between the edges, suggests survival of 8 to 12 weeks. And fully healed borders, where both cortical bones have joined and the diploe has disappeared, the patient survived indefinitely (Fig. 14a–e). The intentional deformation of a newborn infant’s skull was common in the Mesoamerican cultures. This practice Fig. 10 Image of human sacrificial ceremony. Courtesy of BApocalypto^ Director Mel Gibson, Copyright: ©Icon Fig. 11 Variety of ornamental masks. a-c) Courtesy of www.britishmuseum.org 1626 Childs Nerv Syst (2017) 33:1621–1629 http://www.britishmuseum.org Fig. 12 a-e) Sculptures depicting deformities and syndromes. Courtesy: Private Collection of James T. Goodrich Fig. 13 a-c) Different trepanation techniques. Courtesy: Fernández Díaz-Formentí, J.M a Less than a week c 4-7 weeks d 8-12 weeks e More than 12 weeks b 1-3 weeks Fig. 14 a-e) A patients’ post- surgery survival prognosis based on the presence of osteoporosis in craniotomies’ borders. Couresty: Fernández Díaz-Formentí, J.M Childs Nerv Syst (2017) 33:1621–1629 1627 was limited to the upper classes and nobility, and its practice prohibited in slaves and the lower classes. This practice allowed for tribal identification since the tribes of each region used a different head shape. Several techniques were used to bind and shape the head, including the use of cradles and other boards, cloth bindings applied to the skull. (Fig. 15a, b) Cranial deformation was greatly opposed by the Catholic Church because it was considered a pagan practice but today, helmets are used to remodel positional plagiocephaly (Fig. 16). The third neurosurgical procedure was the shrinking of human heads. This practice was common among the Jívaro- Shuar tribe living in the upper Amazon basin of southeastern Ecuador and Peru. They were bloodthirsty warriors that lived in small groups of 10 to 12 in the same household where the eldest was the leader. The households went to war because the eldest member believed that the death of a member was due to the evil sorcery performed by another other household. The identity of this enemy was determined by the Shaman under the influence of hallucinogens. The warriors were accompa- nied into war by all members of the household, including wives and children. Once a household was defeated, all of its members were killed and decapitated, their heads later shrunk. The children were killed and abandoned without de- capitation. After 2 days of rituals, the triumphant household proceeded to shrink the heads (called tsantsa) (Fig. 17). First, they removed the victims’ scalp, starting with an in- cision at the base of the ear to the base of the neck. They removed the skin of the head and face, and with sharpened wooden pins removed the remaining cartilages of the nose and ears and enucleated the victims’ eyes. The skull itself was discarded. Then in a ceramic pot with boiling water, the Fig. 15 a) and b) Cranial manipulation techniques Fig. 16 Modern day cranial manipulation to remodel positional plagiocephaly. Courtesy: Private Collection of Graciela Zúccaro 1628 Childs Nerv Syst (2017) 33:1621–1629 victims’ skin was grabbed by the hair and submerged three times. Then the skin was dried. Once dry, the hair was tied on the scalp, the mouth was closed with darts and the eyelids were sutured. This ceremony lasted several days, accompa- nied by ritual songs and dances until the warriors returned triumphant to their own household. These shrunken heads were displayed as trophies for one year, after which they were either discarded or given to the household’s children as baubles. In conclusion, medicine constitutes one of the most impor- tant legacies from the pre-Colombian-Mesoamerican cultures and has had an impact in European culture since the sixteenth century. As a result, the fusion of the European origins of medicine with these New World cultures, gave way to a new form of syncretism of medicine and therapeutics in the insti- tutions later founded in New Spain. Several contributions to medical practice have surely emerged from these historical decapitations, trephinations, head shrinking techniques, and human sacrifices. Based on the existence of a specialized caste of doctors and shamans, we can hypothesize about the level of expertise they might have achieved through the continuous practice of these early neurosurgical procedures. Acknowledgements The author would like to thank María Amelia Gamba for her investigation, data collection and translation. Compliance with ethical standards Conflict of interest The author states that there is no conflict of interest. Fig. 17 Shrunken heads of the Jívaro-Shuar Childs Nerv Syst (2017) 33:1621–1629 1629 The dawn of neurosurgery in pre-conquest �Mesoamerican territories 
work_6cindtu2erapzlailgcfkhxswy	----	New Northern Look 268 Environmental Conservation and the 'grey' lists of the treaty on land-based sources of pollution—not just to assess their sources, levels of pollu- tion, and effects on people and marine life, but to propose concrete measures to do something about them. We are no longer merely furnishing facts. The substances I am talking about include, among many others, used motor oil, mer- cury, cadmium, radioactive ones, pesticides and other organic pollutants on the 'black' list and, on the 'grey' list, lead, zinc, tin, chromium, silver, crude oil, detergents, and pathogenic microorganisms.' Shipping Industry Involvement The European Community has been a very active parti- cipant in the Mediterranean Action Plan. Recently it spon- sored a workshop on the shipping industry and the marine environment, in Athens, that was organized by the Hell- enic Marine Environment Protection Association (HEL- MEPA). 'When we set out to interest shipowners, captains, and crews, in protecting the sea from pollution, I was very sceptical', admitted Dimitris Mitsatsos, Director-General of HELMEPA. 'Well, in only four years we have enlisted 400 ships, over 3,000 officers and sailors, and most Greek shipowners. We have succeeded in very slowly changing the mentality of thousands of seafarers, and in getting through to their consciences. It is a measure of our success that the Athens workshop [in June 1986], under EEC aus- pices and with the participation of Beate Weber, the chair- woman of the Environmental Committee of the European Parliament, urged 'the general adoption and extension of HELMEPA's approach to merchant marines on a world- wide basis'.' The Director of UNEP's MAP, Aldo Manos, mentioned, as another indication of Mediterranean governments' seri- ousness, the ratification by Greece on 20 June of the treaty on Specially Protected Areas. This brought the number of ratifying countries to six plus the European Community, as a result of which the treaty will enter into force very short- ly- PAUL EVAN RESS Regional Office for Europe United Nations Environment Programme Avenue Trembley 16 Petit-Saconnex Geneva, Switzerland. Environmental Bankruptcy in Haiti Christopher Columbus described Haiti as 'Filled with trees of a thousand kinds and tall'. But no longer is it so; indeed, if present trends continue, this small Caribbean island nation on the doorstep of the USA could be com- pletely deforested within fifteen years. Haiti is experiencing an environmental crisis as severe as are those of the African countries bordering the Sahara. Five years ago, FAO estimated that Haiti was losing the fertility of 6,000 hectares (ca 15,000 acres) of land each year. The rivers and streams are choked with mud, and far out to sea beyond the capital, Port au Prince, the water is stained brown with mud. Rapid population growth, hurri- canes, and frequent droughts and flooding, have all contributed to the crisis, but the real blame lies with decades of neglect under the regimes of the Duvaliers, both father and son. Evidence of that mismanagement is seen on the border with the Dominican Republic, where, on the Dominican side, there is thick forest, whereas on the other side the hillsides are bare. Neglect of investment in agriculture, forestry, and sources of energy, has left the vast majority of Haitians with no alternative other than to fell the trees and over-use the land. Haiti is one of the few countries where agricultural productivity is actually declining. With fertile land becoming increasingly scarce, more and more villagers are turning to firewood collection. Virtually all the trees around the capital have been cleared, and the only significant stands left are in the remoter areas in the northern part of the island; but now these, too, are rapidly being felled. According to a World Bank Survey, the cur- rent 2.4 million cubic metres' deficit of firewood is destined nearly to treble by the turn of the century. There are few energy alternatives. An American-built hydroelectric dam at Peligre in the mountains near the Dominican border is clogged with silt and operating at only one-quarter of its intended capacity. A recent expert survey concluded that it may have to shut down if siltation is not stopped. Many villagers have no alternative other than to leave the land—the drift to the slums of Port au Prince has become a torrent. Virtually everyone you talk to in the slums is a recent arrival, their dream being to escape to the United States. The US Coastguard now keeps a permanent flotilla off Haiti, to intercept illegal immigrants who are prepared to make the risky crossing to Florida. A massive relief effort is needed to help the post-Duval- ier Government to begin the work of rehabilitation—by no means a hopeless task, as for example under a US AID $8 million scheme, volunteer groups have encouraged villag- ers to plant 17 million trees in the past four years. Of those trees about 20% survive, which is a very respectable rate. But it is going to take more than tree-planting to rescue Haiti from such a long-term decline. According to UNI- CEF, 73% of all Haitian children of school age are suffering from some form of malnutrition. Sooner rather than later, the new Government will have to turn far more of its attention than currently to improving the lot of the vast majority of Haiti's poor, who must live with the day-to-day realities of environmental bankruptcy. ROBERT P. LAMB, Director TVE Television Trust for the Environment 46 Charlotte Street London WIPILX England UK. New Northern Look The Arctic Institute of North America, now of the Uni- versity of Calgary, is updating its newsletter Information North, which it has published over the years as an informal vehicle for keeping its subscribers informed. In the past, such newsletters tended to focus on membership matters, and accordingly to be cast in a chatty framework with sto- https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0376892900036390 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:30, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0376892900036390 https://www.cambridge.org/core Notes, News & Comments 269 ries on good old Harry Smith going back to the Arctic for another summer of watching the bugs and the beetles. But the North is much more sophisticated in the late nineteen-eighties than formerly, and most of the subscri- bers do not know Harry Smith and are not all that inter- ested in bugs and beetles any more. Rather do they care to view the broader scene. For instance, how is political devo- lution getting along in the NWT? What is the future of the mineral industry? Is the anti-fur-harvesting lobby having an effect? What is the view of northerners on the DEW- Line rebuilding? What is the fundamental basis for sub- division of the Northwest Territories? Is the proposal to build a class-eight icebreaker solely a question of Canadian sovereignty or is it tied into the so-called 'Star Wars' scen- ario? What is the next boom-and-bust cycle going to be based upon? Will the languages of the majority (the native peoples) and the government of the majority in the north of Canada lead to a nation of the majority? Information North is aware of these and other large ques- tions, and has taken steps to change its editorial format to address them. Without adopting any sort of advocacy stance, Information North feels a responsibility to present essay treatments of such topics. Thus, entire issues are devoted to single topics, apart from retaining a few 'depart- mental' items such as up-coming northern conferences. For example, Information North invited members of the Dene Nation* to write much of the material in the anti-fur-har- vesting issue which came out in the winter of 1985. The summer issue of 1986 dealt with native languages, and was constructed around a report generated by a task-force that is busily studying the future of native languages in the NWT. * Consisting of native inhabitants of northern Canada speaking any of the Dene languages (Loucheux, North Slavey, South Slavey, Dogrib, and Chipewyan). The next issue of Information North will deal with mil- itarization of the North and will comprise a number of short essays written from a variety of points of view, both Canadian and international. The issue following that will deal with arts and culture in the North, while subsequent topics will include employment and communications in the North. On some occasions, extra copies of the newslet- ter are printed and made available for wider distribution in northern regions. Arctic is the academic journal of the venerable Arctic Institute of North America, now of the University of Cal- gary. It is currently in its 39th volume and just recently adopted a more contemporary look, with cosmetic upgrad- ing. Moreover the academic quality and central focus is shifting to include more contributions in the field of social studies, though history, anthropology, and archaeology, remain as mainstays along with physical and life sciences and engineering. Meanwhile politics and economics as well as social planning are becoming increasingly important in the North, and these are giving rise to more submissions on those topics. Attention is being given to the potential of electronic management in journal and newsletter publishing. So also, in the broader field of information distribution, consider- ation is being given to the possibility of establishing elec- tronic bulletin boards, and electronic mailing and telecon- ferencing for northern communities. GORDON HODGSON Arctic Institute of North America University of Calgary 2500 University Drive NW Calgary Alberta T2NIN4 Canada. The Council of Europe and Environmental Protection Following his election as President of the Parliamentary Assembly of the Council of Europe, Louis Jung, of France, declared that the role of the Council of Europe in environ- mental protection was vitally important: 'The tasks of con- serving our natural heritage and bequeathing a hospitable environment to future generations are of fundamental con- cern to us as we stand on the threshold of the 21st century. Environmental problems should be regulated at European level, with the close cooperation of local and regional authorities and the populations of the various different countries.' The newly-elected President went on to say that 'The Council of Europe is a driving-force proposing specific effective remedies—such as multilateral treaties, recom- mendations, and publicity campaigns—which are instru- ments for encouraging and promoting environmental pro- tection in Europe. The Parliamentary Assembly plays a specific role in this field, helping to forge a common aware- ness throughout Europe, and to establish a network of close cooperation—not merely between member states, but also with Eastern bloc and African countries for instance. If we defend the environment, we are defending the human race and the lives of Europeans.' Successful Cloning of Flotation Gene with Possible Applications A French-American team has identified and cloned a 'flotation gene' that they believe could confer buoyancy on microbes or cellular organisms which normally sink in liquid culture media. They believe that inserting this gene into industrially useful microbes or cellular organisms could improve product-yields by increasing aeration, re- ducing stirring-needs, and improving organism survi- val.* * and, we would think, quite likely having ultimate environmen- tal implications—hence our interest in publishing this note.— Ed. The flotation gene was found and cloned by a team which included Dr Donald Bryant, assistant professor of Molecu- lar and Cell Biology at Pennsylvania State University, and three molecular biologists from the Pasteur Institute in Paris, France. The French scientists are Nicole Tandeau de Marsac, Didier Mazel, and Jean Houmard. The Penn State-Pasteur Institute team is continuing its collaboration under grants from the US National Science Foundation and the French National Centre for Scientific Research. The idea and method for cloning the flotation gene were patented recently in France by the Pasteur Insti- https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0376892900036390 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:30, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0376892900036390 https://www.cambridge.org/core 
work_6dqxtqjpbjbjlh3kdeqcjs5gpm	----	Universal Journal of Agricultural Research 4(2): 42-47, 2016 http://www.hrpub.org DOI: 10.13189/ujar.2016.040202 Case of Study: Honey without Bees? Chemical Risks Associated to Sugarcane (Saccharum Officinarum) from Belo Horizonte, Brazil Artur Canella Avelar Laboratory of Rabbit Science, Department of Animal Science, Veterinary School, Federal University of Minas Gerais, Brazil Copyright©2016 by authors, all rights reserved. Authors agree that this article remains permanently open access under the terms of the Creative Commons Attribution License 4.0 International License Abstract Sugarcane is one of the most important of raw materials used in manufactured food products. Its consumption is under public scrutiny for decades, always associated to cavities, obesity and diabetes. Sugary beverage portion sizes have exploded as high as 64 fluid ounces in some fast food chains in the USA. Meanwhile, anthropogenic activities such the application of arsenical pesticides has resulted in elevated (high as 900 g.g-6) levels of arsenic (As) in surface soils in many historic sugar cane areas of Hawaii, USA. To quantify simultaneously many elements as possible, it was applied the well-established nuclear analytical technique of Neutron Activation Analysis. Hazardous elements such As, Br, Na, some RREs (rare earth elements), Rb, Sc and U were detected and quantified in the product. Keywords Arsenic, Uranium, Bromine, Lanthanum, Sucrose 1. Introduction Sugarcane is a product extracted mainly from the plant Saccharum officinarum, belonging to the grass family Gramineae 1,2. Sugarcane offers a very condensed source of calories: an edible portion of 100 grams of sugar cane contains 380 kcal 3. Due to its sweet and pleasant flavor, the product is an often ingredient used in gum candies, cereal bars, juices, carbonated beverages, energy drinks, baked goods and several breakfast items. Practically everyone in the world consumes one or more forms of refined sugar each meal. Furthermore, sugar cane (as molasses) is plenty used in animal nutrition as an ingredient to increase palatability and energy to the final feed 3. Eighty percent of the world’s sugar supply is derived from sugar cane, cultivated mostly in tropical climates in developing countries. The remaining twenty percent of the world's supply of sugar is derived from sugar beets, mainly cultivated in the northern hemisphere 4. Brazil is the leading sugar producer and the dominant player in the global trading of sugar. The country is considered the “price setter” on the world sugar market with international sugar prices set by the low production costs associated to produce sugar cane in Brazil 5. The current forecast shows of Brazilian production of sugar cane within season 2012/13 are 37.66 million tons, 4.72% more than in the previous season, which was 35.97 million tons. Out of this total 69.46% produced in the Southeast Region (including states of São Paulo – major producer, Minas Gerais – the second largest producer), 11.32% in the Northeast, 10.95% in the Midwest Region and 8.13% in the South 6. The world indicator price for raw sugar experienced a succession of peak and downward movements in 2010 before soaring to a 30-year high of USD $36.08 cents/lb or USD $795.4/t in February 2011. By 2020-2021, the raw sugar price (Intercontinental Exchange) in nominal terms is expected at nearly USD $408/t or USD 18.5 cents /lb 5. 1.1. Health Risk Associated to the Elevating Sugar Consumption In 2011, the American Heart Association published a statement that warned the fact of Americans consumed 22 teaspoons of sugar in daily basis. The document endorses that per capita consumption needs to come down to levels that should not be toxic7. The American Heart Association sustains that the best way to maintain a healthy weight and to decrease the risk of heart disease is to eat a healthy diet and to limit added sugar to no more than 100/150 calories a day for women/for men. The limit sounds unrealistic in the era of large size beverages offer: serving cup sizes in fast-food chains are getting larger, leading to an enormous consumption of sugar mainly in infant and teenagers demographics. The trend toward larger portion sizes has occurred together with the prevalence of obesity and people becoming overweight in the west world. Serving sizes of Universal Journal of Agricultural Research 4(2): 42-47, 2016 43 manufacturer-packaged carbonated beverages have exploded – the original bottle size of the world leading soda drink was 6.5 fluid ounces. The same brand is found on market fourfold larger as portion seen on sale nowadays. Beverage portion sizes from the leading fast food (burgers) chains have increased more than fourfold since 1950s, from 7 fluid ounces to 32 fluid ounces. A sugary drink of this size contains 390 calories and almost no nutrients 8,9. In New York, the former mayor Michael Bloomberg has attempted to limit the size of sugary drinks. Seeking to reduce runaway obesity rates and deaths related to diabetes, the New York City Board of Health approved a ban on the sale of large sodas and other sugary drinks at restaurants, street carts and movie theaters. The rule has intended to bar the sale of sugary drinks in containers larger than 16 ounces 10. The ban was struck down in March 2013, and remains under debate and appeals in court 11. 1.2. Honey without Bees: An Historical Perspective of Sugar Cane and Slavery The plant is known to have been cultivated in New Guinea before 1000 BC. After a long journey a semi extensive culture was initiated in India and afterwards in China. The Indians devised the first techniques for extracting sugar from cane and called it “sarkara”, a Sanskrit term from which the words for sugar in many European languages originate (açúcar, azúcar sucre, zucker, zucchero). It was in India, between the sixth and fourth centuries BC, that the Persians and the Greeks, discovered the famous “reeds that produce honey without bees” and brought sugar cane to the region from Middle East to Mediterranean Sea 4. In the 14th Century, Cyprus (followed decades later by Sicily) produced large amounts of sugar cane using labor of Syrian and Arab slaves 12. Iberians (from the Spanish side) started the modern exploitation of European Islands from the Canary Islands in 1312 by Malocello. In the following decades, the Castile Crown sponsored the profitable production of wine, sugar cane, sheep and cattle products in the Canary Islands. The commerce of these items expanded navigation and shipping farther South Atlantic 12. In the same way, Portuguese Crown copied the Canary´s model based in slave workforce in the luso coast of Açores, Madeira, Cabo Verde and São Tomé, to produce wine, sugar cane, sheep and cattle products 12. By the end of 15th Century, Iberians divided their strategies to expand their colonies: Portuguese searching for an eastward route to Asia and Spanish gambled on a westward route leaded by the Genovese Cap. Christopher Columbus, a sailor who previously worked in sugar cane plantation and slavery in North African Coast. Yet in 1492, date of discovery of America by Columbus, Pope Alexander VI issued a papal bull (bula pontificia) establishing the earth as the rightful property of the Roman Catholic Empires divided into regions to Portugal and Spain, accorded by the two Iberian nations in the treat named Tratado de Tordesilhas 12. Afterwards, sugar cane was firstly introduced in Brazilian tropical plantations by the Portuguese Crown in 1530´s. Under Portuguese rule, the African coastline supplied slaves for colonial Brazil’s sugarcane plantations. Slavery for Brazilian plantations was responsible for the exodus of millions of African men to South America (mostly to Brazil) in order to keep the sugar cane production running. Those slaves never returned to their homes in Africa. Hence, this exodus was the key fact for the formation of the Brazilian Society. Promptly the number of Africans outnumbered the number of Portuguese and natives. From XVII to XIX centuries, Portuguese men from the work class fathered more offspring with African slaves than with Portuguese women. Nowadays in the Brazilian Southeast, the majority of individuals are mix breed of Europeans, Africans (most of them from the slave heritage) and Indigenous forming the major population group of mulatos 12,13. Slavery was abolished in Brazil only in May 13 1888 ruled by the Princess-Impress Isabel (the last crowned head of Brazil). The Lei Aurea (Golden Law) gave an end to the most everlasting slavery in the free world. Additionally, early in the XX Century, coffee temporary replaced sugar cane as the major commodity (in US$) in Brazilian trading 6. Recently Phillips14 wrote in The Guardian (London) regarding the sugar cane cutters labor situation in São Paulo State, Brazil, 2007 ` Inside the prison-like construction are the cortadores de cana - sugar cane cutters - part of a destitute migrant workforce of about 200,000 men who help prop up Brazil's ethanol industry. (…) The "cortadores" - cane cutters - are effectively slaves and complain that Brazil's cane industry is, in fact, a shadowy world of middle men and human rights abuses. (…) That includes working 12-hour shifts in scorching heat and earning just over US$ 1 per ton of sugar cane cut, before returning to squalid, overcrowded "guest houses" rented to them at extortionate prices by unscrupulous landlords, often ex-sugar cutters themselves. (…)`. This modern slavery encountered nowadays in sugar cane plantations of Brazil and in South Asia is a conjunction of psychological manipulation and debt bondage, by which unfair loans to pay the subsistence and the worker round-trip to the farm keeping them perennially bonded to their employers 15. 1.3. Hazardous Substances in Sugar Cane Plantations Anthropogenic activities such the application of arsenical pesticides has resulted in elevated (high as 900 g.g-6) levels of arsenic (As) in surface soils in many historic sugarcane areas of Hawaii, USA 16. Rock phosphates applied as fertilizers in many crops present essential elements: calcium, phosphorus, manganese, selenium, sodium, and also hazardous elements such as uranium, thorium, arsenic, fluoride and elements with role to be determined such rubidium and the rare earth elements (the called RREs) 17. 44 Case of Study: Honey without Bees? Chemical Risks Associated to Sugarcane (Saccharum Officinarum) from Belo Horizonte, Brazil 2. Objective To assess the concentration of multiple elements, including the most hazardous element in the world arsenic, in sugar cane Saccharum officinarum produced and commercialized in Brazil in order to verify the levels of essential, hazards and also of elements with role yet to be defined. 3. Material and Methods 3.1. Analytical Technique The instrumental neutron activation analysis (INAA) technique is based on nuclear properties of the nucleus of the atom, radioactivity, and the interaction of radiation with matter. The simplest description of the technique says that when one natural element is submitted to a neutron flux, the reaction (neutron, gamma) occurs. The radionuclide formed emits gamma radiation, which can be measured by suitable equipment. About 70% of the elements have nuclides possessing properties suitable for neutron activation analysis. At the Nuclear Technology Development Centre (CDTN), Belo Horizonte, Brazil, it is located the nuclear reactor Triga Mark I IPR-R1 that allows the application of this technique 18,19. 3.1.1. Sampling It was taken randomized 5 commercial packs of sugar cane from local brands in local stores in Belo Horizonte, Minas Gerais State, Brazil. To quantify simultaneously many elements as possible, it was applied the well-established nuclear analytical technique of Neutron Activation Analysis 18,19 The sugar cane samples were freeze-dried and lyophilized for 24 hours to eliminate their water content. Samples of each pack were isolated, weighed around 250 mg and stored into polyethylene irradiation vials. They were irradiated in the reactor IPR-R1 (CDTN/CNEN operating at 150 kW the thermal neutron flux is 6.6 × 1011 neutrons cm2 s–1. The samples were irradiated simultaneously with gold foil comparators and reference material. Elemental contents were determined through two schemes of sample irradiations: 8 hours of irradiation to detect calcium, rubidium and uranium contents16, 4 hours of irradiation to detect the remaining elements cited herein 17 accordingly their half-lives as seen in Table 1. After suitable decay time, the gamma spectroscopy was performed in a HPGe detector (hyper pure germanium semiconductor detector), 10% of efficiency, FWHM 1.85 keV and 60Co, 1332 keV, connected to a multichannel analyzer. The calculations were processed using the Solcoy/KayZero Software 18,19. 3.1.2. Quality Control Triplicates of reference material Rice Flour (SRM 1568a, from National Institute of Standards and Technology, USA) were analyzed in order to verify the efficiency of the method and the traceability of element level determinations. Triplicates were weighed around 250 mg (same mass of the samples) into polyethylene irradiation vials in order to be irradiated in the same batch of the sugar samples and monitors, each triplicate for an irradiation scheme (4 or 8 h). 4. Results: Presence of Some Selected Hazardous Elements in Sugarcane from the Local Market of Belo Horizonte, mMnas Gerais, Brazil Quality Control For QA/QC purposes, a selected reference material: Rice Flour Reference Material SRM 1568a see data on Table 2 were used as three replicates (each irradiation batch was formed of 32 bone samples, samples of phosphate and one replicate of each SRM and k0-INAA standards). Batches were irradiated ways on Monday morning for 3 weeks in a row. SRM were analysed in order to verify the efficiency of the method and the traceability of element level determinations. Table 1. Elemental composition of sugar cane from Brazil. N=5, dry weight Element Activation Product Product Half Life Elemental Concentration [g.g-6] Arsenic 76As 1.097 days 0.81 ± 0.10 Bromine 82Br 1.471 days 16.8 ± 1.54 Calcium 47Ca 4.536 days 848 ± 79 Lanthanum 140La 1.679 days 0.53 ± 0.06 Sodium 24Na 0.621 days 262 ± 30 Rubidium 86Rb 18.660 days 31.7 ± 6.2 Scandium 46Sc 3.410 days 0.34 ± 0.04 Samarium 153Sm 1.816 days 0.12 ± 0.02 Uranium 239Np 2.355 days 0.31 ± 0.05 Table 2 data quality assessment: summarizes the concentrations for calcium, arsenic, rubidium and sodium determined in the certified reference material, Rice Flour (NIST-SRM 1568a) from National Institute of Standards and Technology, Gaithersburg, USA. A good agreement was found between the experimental and certified values. Table 2. Elemental composition of Rice Flour Reference Material SRM 1568a. N=3, dry weight Element Certified Value [g.g-6] Experimental Value [g.g-6] Arsenic 0.29 ± 0.03 0.25 ± 0.04 Calcium 118 ± 6 112 ± 19 Rubidium 6.14 ± 0.09 6.59 ± 0.45 Sodium 6.6 ± 0.8 6.1 ± 1.5 Universal Journal of Agricultural Research 4(2): 42-47, 2016 45 5. Discussion The FDA Food and Drug Administration (USA) has published results on arsenic in apple juice (ready to drink) of domestic (North American) market: five percent of the 94 apple juice samples were above 10 g.g-9 of total arsenic, data obtained using ICP-MS (Inductively coupled plasma mass spectrometry). In a memorandum from the Department of Health and Human Services - Chemical Hazard Assessment Team, Office of Food Safety (HFS-301), FDA affirms that the chronic consumption of apple juice products containing over the level of concern (LOC = 23 µg.L-1 or g.g-9) of total arsenic would represent a potential health risk 20. The same LOC could be applied for different types of juices and beverages, for instance pear juice. In a different survey from 2008 using ICP-MS some samples of concentrated pear juice show up to 70 µg.L-1 of total arsenic 21. If it compared a cup of coffee prepared with a 100 mg of hot water, 1 rounded tablespoon (7.5 grams with less than 1.0 gram passing the paper filter) of coffee and 2 rounded tablespoon 15.0 grams of sugar cane from this study, considering a hypothetical amount of 0.0 g.g-9 arsenic in both water and coffee, this hypothetical cup of coffee would present 13 µg.L-1 (or g.g-9) of inorganic arsenic only due to sugar cane, half of the LOC = 23 µg.L-1 or g.g-9 of total arsenic. The odd presence of uranium and rare earth elements such lanthanum and samarium in sugar cane could be explained due the fact of phosphate fertilizers (monazite and rock phosphate for instance) are used in crop yielding; these rock fertilizers present significant amounts of uranium and RREs 17. Apparently, metabolism of some nutrients in plants is increased by rare earth elements. RREs are responsible for the transfer of N from inorganic to organic form, which is beneficial for protein synthesis and regulation of nutrient balance in plants 22. Many studies such the USDA Data Library 3 point out the fact of sugar is not an important source of any essential element or vitamins. Results strength the term ‘empty calories` what often is used to refer sugar (and solid fats) 23. One example of the lack of essential elements in sugar cane is the low concentration found for calcium (one of the most important element in man and animal lives), Ca = 84.8 ± 7.9 mg/100 g in sugar, which is in accordance with the value of 83.0 mg/100 g as calcium concentration in the sugar brown reported in the Basic Report from the National Agricultural Library NAL 3. Sodium concentration observed in this study (Na = 262 ± 30 g.g-6 in sugar) is in compliance with NAL USDA data Na = 280 g.g-6 in sugar brown 3. In fact, Na is an essential element with a limited ingestion up to 2400 mg.day-1 (equivalent to 8 kilograms of sugar or 6.0 grams of table salt Sodium Chloride) to be considered as safe. Upper values are associated to heart and kidney diseases 7. Hence, sugar is not a major source of sodium in a healthy diet. For different commodities like rice (what is not an empty calorie itself), fortification programmes are already a reality. Muthayya 24 point out` There are opportunities to fortify a significant share of rice that comes from large mills supplying centralized markets and national welfare programs in major rice-growing countries. (…) The cost of fortifying rice is only 1.5% to 3% of the current retail price of rice. Countries that mandate rice fortification have the strongest evidence for achieving wide coverage and impact 24. In fact, the role of sugar as an efficient vehicle for fortification with vitamin A is already a well-stablished technology 25. Concerning mineral fortification of sugar, there are different conclusions for different initiatives. In Guatemala during the mid-1970s, a trial on fortification of sugar with NaFeEDTA was carried out. At the time, the product appeared to be promising, showing an apparent absorption of 3% to 8%. Sugar was fortified by directly adding 1 g of the chelate per kilogram of sugar. However, after four years of consumption of this fortified sugar in three selected communities, the change in iron nutrition was only marginal. Significant increase in the urinary excretion of zinc, copper, and iron was observed. Recently, iron tris-glycine chelate, a new tasteless chelate in which iron is chelated with three molecules of glycine has been used successfully to fortify sugar in Brazil. With the tris-glycine chelate, there are no organoleptic changes, to the point that it can be used in caster sugar 26. 6. Conclusions and Recommendations Sugar cane is really an ‘empty calories’ food additive, in terms of essential elements (such calcium) in man and animal nutrition. It should be discussed among public and private stakeholders how pertinent and reliable could be the adoption of policies like fortification of sugar with minerals, policy proposed and reported during the WHO – World Health Organization - Global Nutrition Policy Review (GNPR) 2009-2010 27. Nevertheless, fortification programmes to improve mineral properties on sugar should not promote increased consumption of sugar itself, since sugar cane presents hazardous elements as observed in this study, besides the fact of high consumption of sugar leads to obesity and diabetes. When we ingest a food or drink, the nutrients contained are released from a complex matrix, absorbed into the bloodstream and transported to their respective target tissues. However, not all nutrients can be utilized to the same extent. In other words, they differ in their bioavailability. Understanding nutrient bioavailability helps optimize diet formulations and set appropriate nutrient recommendations. Regarding main human health, the bioavailability of a nutrient is governed by external and internal factors. External factors include the food matrix and the chemical form of the nutrient in question, whereas gender, age, nutrient status and life stage (e.g., pregnancy, labor, exercising) are among the internal factors. Because aspects such as nutrient status also determine whether and how much of a nutrient is actually used, stored or excreted. 46 Case of Study: Honey without Bees? Chemical Risks Associated to Sugarcane (Saccharum Officinarum) from Belo Horizonte, Brazil Acknowledgements This project is partially supported by: by the Minas Gerais state-owned Scientific supporter Agency FAPEMIG. We appreciate every effort from CDTN/CNEN during Mr. Avelar´s Post-Doc internship at the institute in order to carry-out the nuclear analyses. Disclaimer Statements and opinions expressed in this paper are those of the authors, and do not necessarily reflect the organizations with which the authors are affiliated. The authors disclaim any responsibility for such material and do not endorse any product, technology or equipment mentioned herein. REFERENCES [1] Chaudhary S, Gupta AK, Kumar L the Sedges and Grasses of Gautambudhnagar (Noida) U. P. India, International Multidisciplinary Research Journal. 2012; 2(3):45-48. [2] Rastogi VB Modern Biology, 251 pages. 8th Edition. New Delhi. Piyushi Publishers PVT. 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[10] Grynbaum M Health Panel Approves Restriction on Sale of Large Sugary Drinks, New York Times: New York, September 13, 2012. Page A24. 2012. [11] Grynbaum M.M. Judge Blocks New York City’s Limits on Big Sugary Drinks, New York Times: New York, March 11, 2013. Page A1. 2013 [12] Alexander L.M. , Rucker W. C. Encyclopedia of African American History - Volume 3, Santa Barbara, USA; 2010 [13] Fish J.M. What Does the Brazilian Census Tell Us About Race? Psychology Today, from [http://www.psychologytoda y.com/blog/looking-in-the-cultural-mirror/201112/what-does -the-brazilian-census-tell-us-about-race], accessed in [04/04/2013]. [14] Phillips T First London, The Guardian, World News., from [http://www.guardian.co.uk/world/2007/mar/09/brazil.renew ableenergy], accessed in [03/17/2013]. [15] Campbell J. A (2008) Growing Concern: Modern Slavery and Agricultural Production in Brazil and South Asia, Human Rights and Human Welfare, Topical Research Digest: Human Rights and Contemporary Slavery, Graduate School of International Studies: University of Denver, USA. Pages 131-141. [16] (Avelar et al., 2015) Avelar A. C, Ferreira W. M., Menezes M.A.B.C., 2015. Dietary phosphate contribution to uranium deposition in rabbit shinbones. J. Radioanal. Nucl. Chem. 304, 1071-1076. [17] Avelar AC, Ferreira WM, Menezes MABC Contribuição dos fertilizantes agrícolas para a dispersão de urânio no meio ambiente. Revista Saúde e Ambiente. 2007;37-42. [18] Avelar AC, Ferreira WM, Brito W. Elementos tóxicos presentes em fosfatos, calcário e farinha de ossos. Rev. Bras. Saúde Prod. An, 2011;.12,709-717 . [19] Menezes MABC, Jacimovic R Optimised k0-instrumental neutron activation method using the TRIGA MARK I IPR-R1 reactor at CDTN/CNEN, Belo Horizonte, Brazil. Nuclear Instruments & Methods in Physics Research. Section A, 564:707-715, 2006. [20] FDA DEPARTMENT OF HEALTH & HUMAN SERVICES Memorandum 15 December 2008. From [http://www.fda.go v/Food/FoodborneIllnessContaminants/Metals/ucm277681.h tm], accessed in [03/07/2013]. [21] FDA DEPARTMENT OF HEALTH & HUMAN SERVICES Memorandum 08 April 2008. fFom [http://www.fda.gov/Foo d/FoodborneIllnessContaminants/Metals/ucm277676.htm] accessed in [03/07/2013]. [22] Challaraj ES, Ramachandran AM, David RA., Natesan M, Maruthamuthu S. Effect of some rare earth elements on dry matter partitioning, nodule formation and chlorophyll content in Arachis hypogaea L. plants Australian Journal of Crop Sciences. 2010;4(9):670-675 [23] USDA United States Department of Agriculture, What are empty calories? From [http://www.choosemyplate.gov/weig ht-management-calories/calories/empty-calories.html], accessed in [07/03/2013]. Universal Journal of Agricultural Research 4(2): 42-47, 2016 47 [24] Muthayya S, Hall J, Bagriansky J, Sugimoto J, Gundry D, et al. Rice fortification: An emerging opportunity to contribute to the elimination of vitamin and mineral deficiency worldwide Food & Nutrition Bulletin, 33(4);296-307, 2012. [25] Kawuma M. Sugar as a potential vehicle for vitamin A fortification: Experience from Kamuli district in Uganda, African Health Sciences. 2002, 2(1): 11–15. [26] UNU United Nations University Fortification of sugar with vitamin A From [http://archive.unu.edu/unupress/food/V192 e/ch07.htm#b8Fortification%20of%20sugar%20with%20ir], accessed in 07/03/2014 [27] WHO World Health Organization, Global database on the Implementation of Nutrition Action (GINA). Extraído de [https://extranet.who.int/nutrition/gina/es/node/10868], accessed in 11/12/2014. 1. Introduction 2. Objective 3. Material and Methods 4. Results: Presence of Some Selected Hazardous Elements in Sugarcane from the Local Market of Belo Horizonte, mMnas Gerais, Brazil 5. Discussion 6. Conclusions and Recommendations Acknowledgements Disclaimer REFERENCES 
work_6eijlqifgnh5pnzb6fr6ypef2m	----	Linguistics and Literature Studies 4(2): 124-128, 2016 http://www.hrpub.org DOI: 10.13189/lls.2016.040204 Writing the Shakespeare Mask: The Novelist’s Choices Newton Frohlich Independent Researcher, USA Copyright©2016 by authors, all rights reserved. Authors agree that this article remains permanently open access under the terms of the Creative Commons Attribution License 4.0 International License Abstract The authorship of the works of Shakespeare by the glover from Stratfiord-on-Avon has been considered a myth almost from its inception. No less than Charles Dickins, Mark Twain, Henry and William James, Ralph Waldo Emerson, Herman Melville, Walt Whitman, Royal Shakespeare Company actors John Gielgud, Derek Jacobi, Jeremy Irons, and Michael York, British Prime Minister Benjamin Disraeli, five United States Supreme Court Justices, and thousands who signed a Declaration of Doubt About Will circulating the World-Wide Web have attested to their doubts. In response to the request by his publisher, author Newton Frohlich, commencing research connected with a sequel to his novel about Columbus, came across clues to the authorship of the works of Shakespeare. The man now considered by many to be the author of the works of Shakespeare is Edward de Vere, the 17th Earl of Oxford, the subject of Mr. Frohlich's new historical novel, The Shakespeare Mask. * Since the works of Shakespeare are considered some of the most sophisticated works of literature in the English language, it is important to know that de Vere was educated by outstanding Renaissance scholars and at Cambridge University, Oxford University and the Inns Of Court. (The man from Stratford had virtually no education except possibly grammar school till he was twelve.) * Since one-third of the plays of Shakespeare are set in Italy, Edward de Vere's life in Venice, Padua, Verona, Rome, Sicily, Mantua and Volcano is described including his work with the director of the Academy of Art in Mantua where commedia dell'arte was taught. (The man from Stratford never traveled outside of England and spoke no Italian or any other foreign language.) * Since no manuscript of the works of Shakespeare has ever been found in the hand of the author, the literary works of Edward de Vere are described along with the fact that in his life-time he was praised as the "most excellent writer" in Queen Elizabeth's court and, as England's premier nobleman, he was required to write anonymously and forbidden from publishing or staging any of his writings in its own name. (The man from Stratiord never left a single piece of writing in his hand except six signatures on his Will and mortgage.) * Since the works of Shakespeare are a veritable autobiography of the life of the life of Edward de Vere -- from the poisoning of his father to his wrongful accusation of his wife's infidelity -- the life of de Vere is depicted from when he was five to the time of his tragic death, including his "favored," sexual relationship with the queen and his intimate relationship with Emilia Bassano, who is widely accepted as the "Dark Lady" of Shakespeare's Sonnets. (There is no evidence of any relationship between the Stratford man and Emilia Bassano,). In short, while the documentary evidence of de Vere's -- or the Stratford man's -- authorship of the works of Shakespeare is missing, the circumstantial evidence of de Vere's authorship is overwhelming. And as United States Supreme Court Justice John Paul Stevens puts it, "circumstantial evidence can be as persuasive as documentary evidence especially where, as here, there's so much of it. Keywords Myth, Edward de Vere, The 17th Earl of Oxford, The Stratford Man, Anonymous Writer, Autobiographical Nature of de Vere's Writing 1. Introduction When constructing an historical novel, for me the greatest challenge is to find the true facts that will form the basic narrative because often, over time, facts are obscured by myths. For example, in the case of my previous historical novel, 1492: The World of Christopher Columbus, two myths obscured the truth. One myth concerned Columbus’ family background. In Inquisition Spain, his Jewish roots had to be expunged. All evidence that he was the son of Spanish Jews who had been forced to convert to Catholicism before fleeing to Italy had to be eliminated. But in the Biblioteca Columbina in the Cathedral of Sevilla, I found evidence in Columbus’ handwriting of his Jewish identity. The second myth was that Queen Isabella pawned her jewels to pay for Columbus’ voyage to the new world when, in fact, I found a letter from Columbus to Luis de Santangel, a Jewish banker in Barcelona, proving Santangel , not Queen Isabella , financed hi first voyage to America. But in the case of the Earl of Oxford, no such documentary evidence has surfaced to prove the authorship of Shakespeare’s plays by the Earl of Oxford or by the man Linguistics and Literature Studies 4(2): 124-128, 2016 125 from Stratford, and we are forced to rely on circumstantial evidence. Yet, as United States Supreme Court Justice John Paul Stevens has explained, circumstantial evidence can be just as persuasive when, as in the case of the Earl of Oxford, there is so much of it. Therefore, it seemed to me the historical novel that put flesh and blood on the bare bones of what we know about Oxford’s life would go a long way toward establishing his authorship of the works of Shakespeare. 2. Discussion The Stratford man myth is an attractive idea. That a poor commoner could write the most respected works of literature in the English language with little or no education, without traveling to Italy where a third of the plays took place, and without having any connection to the aristocratic world where 36 of the 37 Shakespeare plays are set is seductive. Everybody loves a miracle. So, my first novelistic decision was to emphasize the Earl of Oxford’s extraordinary education. Not only was that education crucial to the sophistication of his writing, but it stood in stark relief to the Stratford man’s lack thereof. I discovered that Oxford’s first tutor, Sir Thomas Smith, was not only England’s leading Renaissance scholar, but Smith’s close friend, the Italian Giralomo Cardano, studied the philosophical question “to be or not to be,” and wrote a book on the subject entitled On Melancholy. That book was in Smith’s library when Oxford studied there, and was likely an inspiration that later found profound expression in one of his greatest plays, Hamlet, Prince of Denmark. We know that Smith also taught him the joys of the aristocrat’s sport of hawking as well as to speak Italian, Smith’s favorite language besides Greek. So, by the end of Oxford’s seven years with Smith, not only was he primed to write Hamlet, but The Taming of the Shrew. Smith also cautioned Oxford that the uncontrolled outspokenness that blocked Smith’s career -- he had been fired from Court for not holding his tongue -- could block the career of any nobleman, including Oxford. Moreover, he warned Oxford that England’s monarchy and sumptuary laws dictated everything, from food eaten, to clothing worn, to words written and spoken. So, the moment Smith realized he was tutoring a young man whose mind was one in a million, undoubtedly he felt obliged to warn him always to shroud his authorship in anonymity. But before Smith could review methods of coping with that problem, Oxford’s father was murdered or, to be precise, Oxford believed his father was murdered. Suddenly, Oxford was the premier nobleman of England, yet he was twelve years old, a minor and therefore compelled to live in the London home of Sir, William Cecil, the queen’s Prime Minister and Master of Wards. Now, another novelistic challenge was presented: how to characterize Cecil. As with most people, Cecil was neither all good nor all bad. Smith taught Oxford always to wear the mask of anonymity, but Cecil, his over--bearing Guardian, gave him very different advice. Cecil was against Oxford becoming an independent thinker and was determined that Oxford be a pillar of the establishment. But in Cecil’s house, Oxford was also introduced to a new tutor, Thomas Nowell, who taught him to read Saxo Grammaticus in Old English, a work containing the story of Amleth. We can readily conclude that when Oxford read it, he was struck by the parallels between his life and the life of that Danish prince. Each lost a father through murder. Each desired revenge. Thus, early on, he found more elements of Hamlet, the play he was to write the rest of his life. Oxford also met Cecil’s daughter Anne, a five-year-old who one day he would be coerced to marry. That marriage would also find expression in Hamlet, All’s Well That Ends Well, Othello, The Moor of Venice and other plays. The emotional effect on Oxford of his father’s murder is well known, but it seemed important to emphasize the monetary consequences, too. His father’s death meant he inherited 106 parcels of real estate and was now one of the richest noblemen in England. That wealth provided him with the freedom to study and write, to publish and produce his plays and poems, and to travel and gain the erudition that underpinned his work. So, I depicted him studying at Cambridge University, but also at Oxford University where he produced his first play, a musical. I pointed to his study of law at the Inns of Court, where plays were the main source of entertainment. And I emphasized his service as a military aide to his uncle, Tom Radcliffe, the Earl of Sussex, who suppressed the Northern Rebellion thus laying the basis for Oxford’s writing Henry the Fifth and other history plays. I showed Oxford traveling to France, living in Italy, learning languages, acquiring acting companies, and writing plays about English history at a time when the subject wasn’t even taught in England’s schools. His wealth also provided him with the large resources to conduct the multiple love affairs he featured in so many of his plays and poems. His affairs with the queen and the Italian courtesan Virginia Padoanna, and with the queen’s Lady-in-Waiting Anne Vavasour, and with the Dark Lady of his Sonnets Emilia Bassano, and his marriages to Anne Cecil and Elizabeth Trentham demonstrated that the works of Shakespeare are a veritable autobiography of the Earl of Oxford. In an earlier life, I practiced law in Washington and wrote about divorce. When it came to a love life, the Earl of Oxford wrote the book. Another subject for novelistic treatment was Oxford’s investment in the search for a northwest passage to the Orient, and also in the maintenance of an entourage of eight so he could travel in comfort to France, Venice, Verona, Padua, Mantua, Rome and Volcano whether by horse, by Italian canal boat, or by galleys propelled by slaves and the wind along the coast of the Adriatic Sea to Sicily and Cyprus. His life was so varied the challenge was how to prevent the book from becoming a laundry list of experiences. And then, there was the central issue of his front man. Always I chose to emphasize the stark contrast between the 126 Writing the Shakespeare Mask: The Novelist’s Choices life of the Stratford man, which was so limited, and Oxford’s, which was so rich. Before Oxford employed him as his go-between, the man from Stratford worked for his glove maker father who was convicted of trading wool without a license, lending money at usurious interest rates, and failing to attend Protestant church services, for all of which he was fined heavily. Moreover, the son was a chip off the old man’s block. He too was involved in the dark side of the law, conspiring with prostitutes to disturb the peace, failing to pay his income taxes, and hoarding grain during a drought. Why was this important to the novel ? Because only Oxford’s employment of the Stratford man could account for the wherewithal of the Stratford man to amass the huge sums he required to support his family of nine, including parents, brothers, a sister and three children in Stratford, as well as to live in London. Only the large amount of income he collected from Oxford can explain his ability to purchase a coat of arms and the second largest house in Stratford as well as supply him with the sums of money he required to lend, to invest in real estate, and to acquire shares in an acting company and a theater lease. I did the numbers. Even if he received every penny from his share of the acting company profits, his expenditures required much more than the six to ten pounds a play he could have earned had he written 37 plays and two long poems. Oxford’s experiences in Italy were also crucial to proving his authorship. Based in Venice, he went first to Mantua to master the theatrical technique of commedia dell’arte. I read Cecil Roth’s Renaissance and the Jews which explains how Leone de Sommi, the Director of the Gonzaga Duke’s Academy of the Theater, introduced Shakespeare to the world of commedia dell’arte. Leone was living in Mantua when Oxford was in Italy. A Jewish exile from the Spanish Inquisition, Leone de Sommi had a profound influence on all Italian theaters and he wrote a fifty-volume manuscript discussing every aspect of play-making from make-up to sets, from writing scripts to training playwrights and actors to use commedia dell’arte with its broad range of stock characters. Wise yet talkative doctors, bragging but rich fathers, arrogant but courageous military heroes, clever but devious con men, loyal yet duplicitous servants all worked to create a theatrical experience that was spontaneous and comprehensive. After Oxford returned to London, commedia dell’arte was one of his principle modi operandi, and the world of the theater was never the same. At the time of her death, Professor Noemi Megri of Padua was studying Oxford’s Mantua experience. She had written about his travels in Italy and showed how Oxford’s visit to Titian’s atelier in Venice influenced his long poem, Venus and Adonis. Had she lived we would know much more about the crucial impact that Mantua had on Oxford’s artistic development. I chose to dramatize her efforts. In Venice, Oxford had a love affair with the courtesan, Virginia Padoanna, and I used her character to explain the influence of Italy on Oxford as she escorted him throughout Italy. Oxford’s visit to the Venetian palazzo of Senator Venier was also invaluable to Oxford. Venier’s atelier was one of the great literary salons of Venice and his personal courtesan, the young Jewess, Veronica Franco, became a hero of Venice for convincing the king of France to lend his navy to Venice in its war with the Turks. No wonder Veronica Franco became a role model for all courtesans including Virginia Padoanna, Oxford’s lover. Sitting in a cafe in front of Venier’s palazzo, it didn’t take much imagination to picture the evening when movers and shakers that included Veronese and Tintoretto, celebrated the publication of Veronica’s book of poetry that featured her night with the king of France. After researching the world of Venetian courtesans, it was a short novelist’s step to exploring Oxford’s first meeting with Virginia. I learned how Venetian courtesans functioned. Sophisticated, musical, literary, rich, beautiful and sexy, they were an English aristocrat’s dream come true. So too must Virginia Padoanna have been for Oxford. After all, before he left London, in five years of marriage, he swore he’d only slept with his wife once. Across the square in front of Venier’s house is the church where Oxford met Orazio Cuoco, the tenor whose voice was so extraordinary Oxford invited him to London to sing for his queen. His sojourn in London with Oxford occupied only a few months and we know from his testimony before an Inquisition panel that Oxford treated him respectfully. But we also know from John Hamill’s important work that loving men was as natural to Oxford as loving women, so Cuoco presented an opportunity to deal with Oxford’s bi-sexuality. John Hamill pointed out that in at least one Shakespeare play a male character makes a gift of his girlfriend to his male friend. Also, we know that some of Shakespeare’s Sonnets, his dedication of long poems to the Earl of Southampton, as well as the counterclaims against Oxford’s allegations of treason, contain ample evidence of his homosexual love. But England encumbered homosexuality with criminality, and I found no hard evidence to prove Oxford’s homosexual behavior beyond the realm of infatuation. As I said before, Oxford’s Italian experiences are crucial to the authorship issue. After I’d written most of my novel, I read Richard Roe’s Shakespeare’s Guide to Italy. Roe, also a lawyer who spent years studying Shakespeare’s authorship, went to Italy often, and connected the plays Shakespeare set there with Oxford’s travels. His book could have been a powerful catalyst to the cause of Oxford’s authorship, especially since there’s no evidence the Stratford man ever traveled to Italy, but at no point in his splendid work did Roe mention the name Oxford. Perhaps Roe was afraid if he connected Oxford to Shakespeare he’d never get his book published by a mainstream publisher but. Fortunately for us, his family appreciated the value of self-publishing and delivered his book to him on his death bed. Subsequently, his work was re--published by Harper as a kind of travel book. I used his treasure trove of facts about Italy to document Oxford’s authorship. Likewise, I used Charlton Ogburn’s research about William Lewyn, Oxford’s companion from Linguistics and Literature Studies 4(2): 124-128, 2016 127 childhood. We know that before Oxford left for Europe with Lewyn and others, Cecil retained Lewyn as a kind of spy to report on his son--in-law’s behavior. But in Italy, when Oxford, in Lewyn’s opinion, went too far with Virginia Padoanna, instead of tattling to Cecil Lewyn resigned. Lewyn’s resignation thus became a novelist’s opportunity to explore Oxford’s evolving attitude toward marriage and marital fidelity. We know that, in Sicily, Oxford met Miguel Cervantes, soon to be the author of Don Quixote. In their meeting it was reported that Oxford became drunk, and Charlton Ogburn relates how a British military officer named Webbe described Oxford climbing onto a tavern table and challenging the world to a duel. Could it be Cervantes incorporated Oxford’s wild behavior in his portrayal of Don Quixote? Could it be Oxford’s meeting with another like-minded, brilliant writer inspired Oxford to get back to England and produce his plays? I chose to use their meeting as an opportunity to answer both questions in the affirmative. Another crucial decision was how to deal with Oxford’s relationship with his first wife, Anne Cecil. He resented having to marry her and refused to sleep with her but, when the queen conditioned her approval of his trip to Italy on his sleeping with Anne to create an heir, he acceded to the queen’s demand. Then, while he was in Europe, his wife gave birth to a child but, in Paris, he heard about gossip in London that the child wasn’t his. At first he refused to believe it, but as he was returning to England and crossing the Channel, he changed his mind and decided to use the allegations of his wife’s infidelity to separate from her, embrace his fate as an anonymous author, and cease his life as a courtier. Why? The subject permeates All’s Well That Ends Well and Othello, and I won’t spoil the novel by giving you my answer here. Sufficed it to say I think my explanation, including his willingness later to accept paternity of the child, makes sense. Ultimately he and his wife reconciled but during the years they were separated, he had an affair with Anne Vavasour, another of the queen’s Ladies-in-Waiting, which I also used to touch on his treatment of women. With Oxford, I found a most perplexing fellow, but Kay Redfield Jameson, Professor of Psychiatry at Johns Hopkins University Medical School and author of Touched with Fire: Manic Depression and the Artistic Temperament, was helpful. She has argued that Shakespeare was probably manic-depressive as so many creative artists are, so I used her book to explore this aspect of Oxford’s probable character. I had Oxford discuss the issues of his marriage with Emilia Bassano, the Dark Lady of his Sonnets and his mistress, because I agree with so many others that she was his soul mate. One need only read the Sonnets to understand their relationship. As Wordsworth put it so well, in the Sonnets “Shakespeare unlocked his heart.” Still another novelistic device was my emphasis on the importance of Oxford’s relationship with his Uncle Tom Radcliffe, the Earl of Sussex. When his uncle was suppressing the Northern Rebellion, he appointed Oxford his aide and they shared a harrowing military experience. Afterward, when Oxford returned from Italy to find that Tom had become the queen’s new Lord Chamberlain in charge of her entertainment, it made sense to conclude that the queen and his Uncle Tom were the ones behind the sudden performance of new Oxford plays in the palace and the launching of Oxford’s career. I also explored Oxford’s relationship with Francis Walsingham, Queen Elizabeth’s Secretary of State. When Walsingham asked Oxford to re-name his acting company The Queen’s Men, and make them available to tour England to spread propaganda urging unity in confronting Spain, Oxford’s professional career took another giant leap. I invested space in Oxford’s flirtation with Catholicism after he returned from Italy because the drama, music and pageantry of the Church undoubtedly impressed him. While his mother came from a devout Protestant family, and his father was Catholic, when he discovered that some of his Catholic friends were plotting to murder the queen, his patriotism took precedence over aesthetic attractions and he abandoned his flirtation with Catholicism. Oxford accused his friends of treason about the time the queen discovered Oxford impregnated her Lady-in-Waiting. She banished him from Court, but fortunately the episode ended well for him. He was accepted back into the queen’s good graces, received still more of her favors and these events provided fine opportunities to flesh out his personal life, including his sword fights with Anne Vavasour’s uncle that resulted in permanent lameness of his left leg. Finally, I fleshed out Oxford’s relationship with the queen. In my novel in their first meeting I alluded to the queen’s possible maternity of Oxford but I did not want my book to be submerged in a subject that had muddled the film Anonymous. Therefore, I used their meeting tangentially, as a way to demonstrate their mutual precocity and susceptibility to passion. Another issue was how to deal with the sexual relationship they are thought to have shared. She referred to Oxford as one of her “favorites,” a term she also used to describe Robert Dudley, whose room in the palace adjoined hers, as well as Christopher Hatton, the Captain of her palace guards. As with Dudley, Oxford was mentioned as a potential mate for her in view of his brilliance and noble lineage, so I decided to make her sexual relationship with Oxford explicit, given Elizabeth’s intense interest in attractive noblemen from Dudley to Hatton to the “Frog” Prince of France. It seemed doubly credible considering the queen and Oxford shared intellectual interests. The queen’s favoring of Oxford is crucial to determining authorship. Anyone writing the works of Shakespeare had to enjoy her good graces lest the author’s satirical treatment of the queen or the aristocracy become fatal to him. We know his work was never censored. Instead, time and again he was protected. The queen also had to be the driving force behind his being awarded the extraordinary one thousand pound 128 Writing the Shakespeare Mask: The Novelist’s Choices annual stipend by her Privy Council without his having to account for how he spent the money or disclose that he, a nobleman, was being paid for his theatrical services. Likewise, Oxford was acknowledged in print during his lifetime as the “most excellent” writer in her Court if only his writing could be “made known.” In his speech at Audley’s End in the queen’s presence, his friend Gabriel Harvey is reported to have said words to the effect that “the Greeks had their mysterious great author Homer, just as England has its Oxford.” In an Author’s Note, I pointed out that one hundred years after Oxford died, no one could attest to the Stratford man ever having been an author. But Samuel Johnson suggested England should not be frustrated by the lack of proof of the Stratford man’s literary identity: after all, he said, the Greeks had their undocumented Homer; why couldn’t England have its undocumented Shakespeare? When Johnson’s friend, David Garrick, a London celebrity actor, arranged a Shakespeare Festival in Stratford, the myth of the Stratford man as the author of Shakespeare’s plays was launched. Add to that the bogus Stratford monument in Holy Trinity Church. Richard Whalen has documented how a hundred fifty years after the bust honoring the Stratford man’s wool-trading father was installed; town fathers took advantage of Stratford’s new-found notoriety as Shakespeare’s “birthplace” to “beautify” the bust. They put a pen in his father’s hand, turned the wool sack on his father’s lap into a cushion, placed a piece of paper on the cushion and, voila, a monument to his father was turned into a shrine to the now famous “playwright son.” As for Oxford’s end, official burial records report he died of the plague, but I found that strange because we know no nobleman who wished to live stayed in London during a plague; instead he fled to his country estate. Since Oxford still owned one or two, I took the liberty of exploring the emotional climate that made him stay in the city and precipitate his death. First, there was the trumped up, anti-semitic accusation against his, and the queen’s, Jewish physician, Dr. Rodrigo Lopez, that resulted in Doctor Lopez’s execution. Second, there was Oxford’s loss of his lover Emilia Bassano who was forced by the queen to become the mistress of another nobleman. Third, there was the pressure on him to employ the Stratford man as a mask, thereby sealing Oxford’s literary oblivion. And fourth, there was the death the year before he died, of the queen who was his mainstay. In his lifetime he had created plays and poems, organized an atelier in his home to train University Wits to write, reconciled with his wife, produced three daughters and two surviving sons (one of whom was illegitimate) and maintained an acting company that helped achieve England’s national unity. But the queen’s and Doctor Lopez’s deaths, as well as his loss of Emilia’s emotional comfort, had created an unbearable vacuum. Oxford knew very well that employing the Stratford man would result in his literary oblivion so, as carefully as I could, I detailed how and when he met the Stratford man, how he employed him, and how much he paid him. I tried to explain the circumstances not only of his adopting his literary anonymity but of his use of a mask. I also showed how successful the arrangement was: not once did the Stratford man ever claim he was the author of Oxford’s works. After Oxford died, not once did the Stratford man or anyone in his family claim the Stratford man was the author of the literary works of Shakespeare. Finally, a word about what I cut. Originally I conceived of this novel as a “wrap-around,” the story of the Earl of Oxford enclosed in a contemporary plot of a Ph.D. candidate seeking to write a dissertation based on Oxford’s authorship against the opposition of her establishment professors. I made that decision trudging through the Gloucestershire countryside with my agent who argued historical novels are hard to get published, so why not disguise the story as a modern drama? But after I began to draft the book that way I showed some pages to my editor and she said, “Newt, don’t force us to read about bickering professors. We’re talking about Shakespeare. Give us the Earl of Oxford, unabridged.” 3. Conclusions Now, fifteen years after I began the project, I am even more convinced of Oxford’s authorship as are so many others. Establishment professors may not be ready to accept change, but that’s understandable. They received Ph.D’s based on the wrong man and have much to lose should someone else be Shakespeare. But as the Earl of Oxford wrote to his brother-in-law Robert Cecil, England’s Prime Minister, “. . . truth is subject to no prescription, for truth is truth though never so old, and time cannot make that false which once was true.” Oxford wrote those words on May 7, 1603, a year before he died, and they are as powerful today as they were then. He also wrote in his Sonnets that he expected his name to be buried with his body. But, with all due respect, I say, “Edward, there are people in an audience in Madison, Wisconsin at a Shakespeare Oxford Authorship Conference who disagree. I wrote a novel based in part on their fine research, and all of us are determined to keep working.” Four hundred years after the creation of a myth about the authorship of the works of Shakespeare, it’s still hanging around, but it’s in the process of eroding. Though we may not yet have won the battle against the current generation of professors and critics, book by book, article by article, we shall persevere. After all, Edward de Vere put it so well, ‘time cannot make that false which once was true.’” 
work_6j4yyznfnvhybfbxaousc3etw4	----	paeav17n2.qxp 60 2006 Vol 17 No 2 | The Journal of Physician Assistant Education The PPrraaccttiiccaannttee:: Puerto Rico Physician Assistant Prototype Justine Strand, MPH, PA-C, Duke University Medical Center, Durham, North Carolina PA HISTORY INTRODUCTION Physician assistants (PAs) have achieved enabling legislation in all 50 states and almost all US territories, with the notable exception of Puerto Rico and American Samoa. (An attempt at passage of legislation authorizing PA practice in Puerto Rico was unsuccessful in 2000.1) Given that Puerto Rico is one of the last places in America to enact PA enabling legislation, it is surprising to learn that Puerto Rico had a PA prototype, the practicante, in the 19th and early 20th centuries. The practi- cante was discontinued in 1931 when the Puerto Rican legislature passed a new law regulating the practice of medicine. The Commonwealth of Puerto Rico is part of the Greater Antilles island chain in the Northwestern Caribbean. Christopher Columbus claimed the island for Spain in 1493, and it was under Spanish rule until it was ceded to the United States at the end of the Spanish American War in 1899. The island is 100 miles long and 35 miles across, and has 3,500 square miles of land and 750 miles of rugged coastline. A steep mountain range, the Cordillera Central, bisects the island from east to west.2 As recently as the second half of the 20th century, Puerto Rico had many isolated areas that were difficult to reach because of a lack of roads. Trujillo-Pagan observes that in the 19th and early 20th centuries “… physicians rarely set foot in rural areas. They saw rural, interior mountainous regions as inaccessible … these rural areas and the people who lived within them carried conta- gious diseases they felt ill-equipped to control.”3 Care of the poor in rural areas thus fell to another type of health care provider, who worked under the auspices of physicians—the practicante. On May 29, 1866, the Royal Subdelegation of Medicine, which regulated the practice of medicine in Puerto Rico under the authority of the Spanish government, authorized the profession of practicante.4 The practicante is a forerunner to the modern PA. A two-volume manual for practicantes published in Spain in 1951 covers a broad range of medi- cine, including anatomy, physiology, diagnosis and treatment, suturing wounds, and setting fractures.5 Practicantes were typically located in rural and isolated areas, while licensed physicians usually practiced in more populous urban centers. Practicantes were classified as either minor or major, and surgical or medical, and the major practicantes had responsibility for supervision of those classified as minor. Practican- tes’ duties included bloodletting (accepted medical practice in the 19th century), pulling teeth, minor sur- gery, and care of the acutely ill. Care of the sick was historically pluralistic in Puerto Rico, and was delivered by a variety of nonphysician and nontraditional practitioners, including comadronas and parteras (midwives), curanderos (folk healers), and curiosos (people who found medi- cine interesting and dabbled in it). This feature publishes articles on all aspects of PA history. Much of the material comes from the PA History Center, which is dedicated to the study of the history and legacy of the physician assistant profes- sion. Additional information can be found on the Society for the Preservation of Physician Assistant History at http:// pahx.org. Authors desiring to contribute to PA History should forward submissions to: Reginald Carter, PhD, PA Physician Assistant History Center 1121 Slater Road Durham, NC 27703 Phone: 919-941-9325 Fax: 919-479-9726 Email: pahx@mc.duke.edu Feature Editor’s Note: Feldshers, barefoot doctors, and frontier nurses are often cited as examples of prototypical physician assistants. But there is another, not previously men- tioned in the literature—the practicante. Exported from Spain to Puerto Rico, the practicante was used to extend physi- cian health care services in the com- monwealth from the mid-1800s into the 1940s. It is ironic that the last place in the US and its territories to enact enabling legislation for PAs was the first place in the Western hemisphere to legitimize and use a PA-like provider. — Reginald Carter, PhD, PA Justine Strand can be reached at justine.strand@duke.edu 61The Journal of Physician Assistant Education | 2006 Vol 17 No 2 The role of the practicante was adopted from Spanish tradition, as were (obviously) many of the customs and practices in the Spanish-speaking new world. The practicante was supervised by a physician or surgeon (or in some cases by major practi- cantes), and occupied a position we would describe as “midlevel” today. Costa Mandry notes that “the profes- sion of practicantes in Puerto Rico began as a consequence of the lack of physicians, the great number of patients under their [physicians’] care and the need for a person who could provide services urgently in [their absence].”6 A subtype of physician, called the municipal physician, was charged with caring for the poor in towns and villages and also had public health responsibilities for controlling epi- demics and providing for vaccination of the populace. Each was aided, by edict, by five practicantes.7 Municipal physicians were loosely defined and may not have had formal medical training. (It should be noted that this was not unusual in those days; until Abraham Flexner’s report on the scandalous state of American medical education in 1910, many mainland US physicians had for all practical purposes purchased their diplomas). Problems with access to care, com- bined with epidemics of cholera, bubonic plague, and the aftermaths of hurricanes, led to desperation on the part of government and the need to allow anyone who was willing to help to provide medical care. For example, curiosos and curanderos were authorized to vaccinate and pre- scribe in 1855, during a cholera epi- demic.3 This set the stage for formal- izing the role of the practicante through regulation by the Subdelegation of Medicine in 1866. A beloved figure in Puerto Rican history of the mid-1800s, physician Ramón Emeterio Betances, utilized a practicante. Betances received his medical training in France and later became a leader in the Puerto Rican independence movement. He was exiled on several occasions because of his opposition to slavery and his political activism against Spanish authority. Though born into a wealthy family, he cared for the med- ically underserved; history docu- ments his care for the poor people of Mayagüez during the cholera epidem- ic of 1855. On September 23, 1868, several hundred of his compatriots occupied the town of Lares, declared Puerto Rico independent, and set up a provisional government. The Spanish quelled this revolutionary spark, but the shouted motto of their revolution, “Puerto Rico Libre!” (Free Puerto Rico!) became known as the Grito de Lares (Cry of Lares) and remains the rallying cry for Puerto Rican independence. Betances’ prac- ticante, Juan B. Ventura, is listed in Spanish colonial regulatory records and noted in historical records as “el compañero de Betances (Betances’s associate).”7 Arana-Soto provides documenta- tion of the duties of the major practi- cante of surgery: “It is your obliga- tion to treat the sick and injured as soon as they arrive at the Hospital, and if the [level of injury] requires it, involving the surgeon by notifying him of the diagnosis and treatment you have provided.”7 The practi- cantes’ manual speaks to role social- ization: “In all your activities, obedi- ence, respect and submission to the physician will be the basis of profes- sional regard, but in no case should this become servility or adulation, because the only real servitude we all owe in our profession is to the sick.” The manual goes on to assert: “The auxiliary mission requires a decided spirit of collaboration between physi- cians and their helpers for the bene- fit of the sick.”5 The practicante continued to exist after the US government took over regulation of medicine in 1899 but was eliminated in 1931 when the Puerto Rico legislature passed a new law regulating the practice of medi- cine and did not include practi- cantes. In 1945 a law establishing a role of “surgical technical auxiliary” (surgical technician) was created, which subsumed some aspects of the practicante’s scope of practice.6 Despite their loss of legal status, some practicantes continued to pro- vide health services, particularly in rural areas. In 1942, when a proposal to expand training for public health in Puerto Rico was being debated, pub- lic health director Myron Wegman suggested that practicantes should undergo formal training through the new school. He wrote: “At present these men are looked down upon because of the inferior nature of their work. We must, however, recog- nize the actualities of the situation. They carry and will continue to carry a large part of the burden of medical care of the people. They are fre- quently criticized for practices beyond their ability but no attempt seems to be made to supervise or instruct them. Training would serve the double purpose of making them effective within their legitimate sphere of activity as well as making clear the danger of doing things for which they have no training.” Dr. Wegman’s suggestion was not adopted, and the practicante remained without legal standing in Puerto Rico.8 The practicante has a place in history alongside Russia’s feldshers and China’s barefoot doctors. As Perry and Breitner noted in 1982: “The ‘discovery’ in the United States that appropriately trained nonphysi- cians are perfectly capable of diag- nosing and treating common medical problems had been previously recog- The Practicante: Puerto Rico Physician Assistant Prototype 62 2006 Vol 17 No 2 | The Journal of Physician Assistant Education The Practicante: Puerto Rico Physician Assistant Prototype nized in both Russia and China.”9 A similar discovery was made in Spain and exported to Puerto Rico, where the practicante was utilized extensive- ly until legally discontinued in 1931. Perhaps it is time for history to come full circle and enable today’s physi- cian assistant to contribute to health care in the Commonwealth of Puerto Rico. ACKNOWLEDGEMENT The author would like to thank Nicole Trujillo-Pagan, PhD, for her assistance in the preparation of this article. REFERENCES 1. Gardenhire R. American Academy of Physician Assistants. Letter to Sen. Kenneth McClintock, Request to sponsor enabling legislation for PAs in Puerto Rico in 2006 legisla- tive session. 2005. 2. Peffer R. Puerto Rico. 2nd ed. Haw- thorn, Vic: Lonely Planet Publications; 2002. 3. Trujillo-Pagan NE. Health beyond prescription: a post-colonial history of Puerto Rican medicine at the turn of the twentieth century. DAI. 2003;64(06A):298. 4. Costa-Mandry OG. Report on establish- ment of an accredited medical school at the University of Puerto Rico. Río Piedras, PR: University of Puerto Rico; 1944. 5. Box María-Cospedal A. Manual teóri- co-práctico para practicantes, matronas y enfermeras. 3rd ed. Madrid: Instituto Editorial Reus; 1951. 6. Costa Mandry O. Apuntes para la historia de la medicina en Puerto Rico: breve reseña histórica de las ciencias de la salud. San Juan, PR: Departamento de Salud, Estado Libre Asociado de Puerto Rico; 1971. 7. Arana-Soto S. Historia de la medicina puertorriquena hasta 1898. San Juan de Puerto Rico; 1974. 8. Ramirez de Arellano AB. Education for public health in Puerto Rico: 1940-1942. P R Health Sci J. Dec 1991;10(3):157-164. 9. Perry HB, Breitner B. Physician assis- tants: their contribution to health care. New York, NY: Human Sciences Press; 1982. 
work_6mdp2fel3nh4vp4vdptgbuictm	----	Pym, Anthony. Negotiating the Frontier: Translators and Intercultures in Hispanic History. 148 Resenhas Pym, Anthony. Negotiating the Frontier: Translators and Intercultures in Hispanic History. Manchester: St.Jerome Publish- ing, 2000, 265 pp. Negotiating the Frontier: Transla- tors and Intercultures in Hispanic History is written by Anthony Pym who was born in Perth, Australia in 1956, and who received his doctor- ate in sociology from the Ecole des Hautes Etudes en Sciences Sociales, Paris. The book is composed of two sections: before August 3, 1492 and after. It is a well-organized chro- nological overview of the role of translators in Hispanic history, ad- dressed in twelve chapters. This is a key date in the history of transla- tors in Hispania because it was dur- ing the reign of Queen Isabel that Castilian started to stand out as a world language. It was on this day that Christopher Columbus set out on his intercultural endeavour to explore the New World. Further- more, on the previous day, more than 4,000 Jews were expelled from Hispania, and they were to be the first of other influential cultural groups to undergo such treatment. Overall, Pym explores intercultural relations and the role of translators as intermediaries in a world where geographic and economic borders are constantly in flux. As the title of the book suggests, frontiers are both physical and symbolic. The frontiers are physical in that there are real boundaries that divide intercultures, but they are also sym- bolic since there are, according to the author, “conflicting ways people seek to belong together.” Pym re- fers here to the specifics that “must be known or done in order to be- long to a social group…its terms need not be territorial.” In his introduction, Pym claims that cultures do not relate to each other directly. Instead, he affirms, they employ intermediaries that work out of a neutral space between cultures, which Pym calls intercul- tural space. This space has limita- tions because interculturality re- quires “the transfer of cultural prod- ucts across borders” as well as a dependence on a “more primary cultural division.” Another impor- tant concept he introduces is that of “mediators as negotiators.” Inter- mediaries help negotiate understand- ings of what translation is, should be and how it should come about across intercultural frontiers. In the first section of his book, Pym offers that translation is a nec- Resenhas 149 essary human activity, but that it is not simply a transposition of a text from one language to another. He suggests that the study of transla- tion often leaves out other aspects of the translation process, such as a hidden agenda. One hidden agenda of translation that Pym addresses is the power and manipulation that comes with the ability to translate texts within a national intercultural context, such as Spain over the cen- turies. He distinguishes the transla- tor as a negotiator of the boundaries or “frontiers” of a translation. In other words, he or she exercises power upon making decisions as per the “rules” and guidelines that will be used in his or her translation. This is similar to the ideas that Tejaswini Niranjana addresses in her work entitled Siting Translation: History, Post-Structuralism and the Colonial Context: “History and translation function…creating co- herent and transparent texts through the repression of difference, and par- ticipating thereby in the process of colonial domination.”(43) Pym sees an example of this colonizing behaviour in Petrus Venerabilis, the Abbot of Cluny in 1145, for it was the venerable abbot who ordered a Latin translation of the Qu’ran un- der the pretext that he wanted to communicate to ‘the Arabs.’ How- ever, with further examination, Pym reveals that Venerabilis wanted, in fact, to build an arsenal of litera- ture on the subject of Islam to bet- ter protect Christianity from the “heresy” of Islam. The power of manipulation in translation is also visible in Pym’s chapter on Rabbi Mose Arrangel who was requested to carry out a translation of the Old Testament into Castilian. The notion of hy- bridism is certainly present here because the Biblia de Alba manages to communicate both Christian and Jewish religious ideology. The work contains over 6,000 glosses that help readers from either cultural group to understand terminology. Rabbi Mose did not smooth over any spe- cific cultural differences. In this case, the Rabbi chose glosses thus making visible the creative decisions and steps he took in his translation. Pym highlights the exceptional na- ture of the Rabbi’s ‘intercultural’ work considering that, upon the empowerment of Fernando and Isabel in 1492, over 4,000 Jews were expelled and massacred. In the second section of the book, Pym talks about Queen Isabel, the Catholic Monarch who used her power to introduce Castilian as the official target lan- guage of translations, taking her lead 150 Resenhas from Alfonso X, more than two hundred years prior. Alfonso’s translation policy was geared toward the construction of a nation – to- ward gaining Castilian unity. Pym says about Alfonso’s approach to translation: “Alfonso’s insistence on Castilian as a written target lan- guage was part of a nation-build- ing policy, regulating the frontier with Islamic knowledge at the same time as it attempted to unify Castilian diversity.” According to Pym, Isabel the Queen Monarch and Antonio Nebrija, a grammarian, worked to- gether to make a standard language that would withstand change “with- out interference and without depen- dence on internal varieties or other languages…this was an imperial programme for future nontranslation.” This pertains to Pym’s statement about the impor- tance of intercultures because Isabel’s policy (expulsion / inqui- sition) threw out all possible inter- actions with significant intercul- tural groups, and was detrimental to the society of Hispania. Pym says that when the “empire might ideally have needed more transla- tors and greater competence in for- eign languages, it proceeded to ex- pel precisely the intercultural or outward looking social groups that tended to produce the required in- termediaries.” One of the biggest assets of this book is that Pym’s work also ad- dresses more modern times. In the chapter about authorship in transla- tion anthologies, he cites antholo- gies such as La poesía francesa moderna (1913) and Las cien mejores poesías (líricas) de la lengua inglesa (1918.) He suggests that translation is a strategy of lib- eration, specifically by disseminat- ing French poetry in Spanish. The Olympic games held in 1992 in Barcelona also serve to il- lustrate the intercultural importance of translation. Pym believes that this event facilitates the communi- cation between athletes of all na- tions, but, paradoxically, ensures the existence of such symbolic na- tional divisions. In Spain’s specific case, there was a dilemma on a lin- guistic level because of the pres- ence of Catalunya in Barcelona, and the city’s bilingual nature. This posed problems for national iden- tity because although the “host country” was Spain, the host lan- guage could not uniquely be Castilian. This example demon- strates our society’s unfortunate tendency to associate one language with one country and one culture. In this sense, there is a tendency to Resenhas 151 forget the presence and importance of interculturality. In the final chapter entitled “Training for globalizing markets,” Pym talks about how globalization is creating distance between intercultures and the negative effect this has on the labour market for translators. Pym highlights the im- portance of transport and commu- nication technology, which implies facilitated communication and the disappearance of any original or tar- get text because of a constant state of revision. Also, Pym says that if globalization continues as a phenom- enon, “frontier dynamics would po- tentially operate within every pro- duction process, [and] all agents would constantly be crossing cul- tural borders.” For the translation market, this means segmentation. That is to say that Spanish four-year undergraduate students will fall into the “notoriously underpaid seg- ment” because of a minimal com- petency in the language and gener- alized programmes. Meanwhile, the globalized and specialized end of the market remains in shortage of good translators adequately prepared to perform “…fairly advanced market- ing and computer skills through the handling of ethical dilemmas.” However, Pym does seem optimis- tic about the development of trans- lation schools because they may, he says, “promote critical thought on the nature of globalization itself.” Pym states that he did not write this book solely to address Hispanic culture and identity. In fact, he says his goal is to remove the notion of “territory” from that of translation and language. Pym believes that it is surely the intermediaries who live on “contemporary borders” and who hold enormous power in today’s information-based society that contributes to the creation of identities. Julia Morris St. Lawrence University 
work_6n6l65y5nva4jp2cd57emglgsa	----	Munich Personal RePEc Archive Blockchains and Extra-Terrestrial Nations: Role of Blockchains in the Socio-Political Milieu of Future Extra-Terrestrial Settlements Hegadekatti, Kartik 1 April 2017 Online at https://mpra.ub.uni-muenchen.de/82837/ MPRA Paper No. 82837, posted 25 Nov 2017 15:28 UTC Electronic copy available at: https://ssrn.com/abstract=2944541 BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 1 BLOCKCHAINS AND EXTRA-TERRESTRIAL NATIONS: ROLE OF BLOCKCHAINS IN THE SOCIO-POLITICAL MILIEU OF FUTURE EXTRA-TERRESTRIAL SETTLEMENTS Dr.Kartik H Author's email-dr.kartik.h@gmail.com ABSTRACT Humanity is on the cusp of a great wave of space exploration and colonization of Extra-Terrestrial Bodies (ETB). This paper deals with the socio–political issues that may arise between earth and E.T Settlements and the possible ways to resolve them. Firstly we discuss as to how early maritime explorations compare to present day space voyages. Based on the lessons learnt we will analyse the socio–political relation between Earth and Extra-Terrestrial Settlements (ETS) and how some possibilities of conflicts can arise. We then evaluate as to how Blockchain systems can potentially keep earth and ETS tethered to each other and provide a way for harmonious co-existence. The paper concludes by summarizing the possible Socio–Political and Economic conflicts between Earth and future ETS and ways to resolve them. INTRODUCTION A cryptocurrency is a medium of exchange using cryptographic techniques to safeguard transactions and also manage the formation of additional units of the currency. A Blockchain is a widely disseminated archive of data that maintains a continually-expanding register of records fully and reliably protected from any alteration or modification. Each block has a timestamp and link to the preceding block. A Crypto Electronic copy available at: https://ssrn.com/abstract=2944541 BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 2 wallet is an encrypted electronic device that allows an individual to make electronic cryptocurrency transactions. Each wallet will have a public key visible to anyone. But it can be operated by only a person who has a private key. Transactions on the cryptocoin network are usually anonymous. When people send cryptocoins to each other, someone has to keep account of who spent how much at what time. In case of fiat money (or paper money) it is done by banks (known as Trusted Third Parties, for which they charge a commission).But in case of Cryptocoins, it is registered on a ledger called Blockchain (with nil or minimal fees). The cryptocoin network makes this possible by detailing all the transactions made during a certain timeframe into a list. This list is known as a block. A certain set of people called 'miners' verify these transactions mathematically and register them on the Blockchain. Those bona-fide miners who have successfully verified the transactions are paid freshly created Cryptocoins. This is how miners are rewarded, and new cryptocoins are generated. This is also the reason why no transaction costs are levied, as the network (in the form of miners) verifies the transactions. Bitcoin is a peer-to-peer based cryptocoin which is not backed by any commodity and (unlike fiat money) carries no sovereign guarantee whatsoever. Regulated and Sovereign Backed Cryptocurrencies (RSBC), on the other hand are government backed cryptocurrency akin to paper currency, but in digital form. In this system, the cryptocoins (known as NationCoins) are backed by Sovereign Guarantee. They are run on a highly secure Controlled Blockchain (CBC). NationCoins are completely managed by the Sovereign Authorityi.e.the Government. This system is based on the K- Y Protocol [1] . The K-Y Protocol is a set of rules and instructions to implement the Regulated and Sovereign Backed Cryptocurrency (RSBC) system [2] . Electronic copy available at: https://ssrn.com/abstract=2944541 BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 3 It is expected that by the 2030s, humans will have landed on Mars [3] , from the time that humanity landed on the moon; there have been speculations that man will someday colonize and have a permanent settlements there. Mars, having many conditions similar to that of Earth would be a logical next step. Since the last moon landing in 1972, there has been considerable interest in going back to the moon and beyond. Various teams (both government and private) have been studying, researching and designing plans to go to Mars. Once man lands on Mars, a permanent settlement can be expected in the form of human habitations. The present state of space exploration bears many similarities to the early days of European Sea Voyages and Explorations (ESVEs) in the 15 th and 16 th century A.D. Some of them are: (1) Distance and Time: ESVEs had to cover thousands of nautical miles by sea (and sometimes by land). Present day space exploration will have to cover anywhere from hundreds of thousands of miles to several million miles in outer space. Though the distances are two or three orders of magnitude higher, the time taken will be the same. (e.g.; Time taken by Vasco-da-ga-ma on his first trip to India was around 10 months). A one way trip to Mars is expected to take 7 to 9 months. Therefore time taken for space voyages will be similar to early renaissance era maritime voyages. (2) Communication: In ESVEs the success of a voyage was known only when one or all of the crew returned. Sometimes, they had to provide evidence of travel. There was no real–time communication of value between a sailed ship and its government. Once sailed, the crew were on their own. In the present day, it will be possible to stay in touch with the space crew even with the time lag; an almost real–time communication link is possible (Time lag to Mars ranges from 4 to 24 Minutes). Moreover we already have artificial satellites around Moon and Mars to assist a future space crew. BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 4 (3) Lay of the land – Explorers in ESVEs had no idea how the seas or land would be. They had to experience it themselves to know it. They had no way of knowing what lay ahead. Mapmaking was in its infancy. E.g.: Columbus thought he had reached India when he had actually reached the Bahamas. But Space voyages will be well planned as we have an idea of the entity to be explored. Though explorers will face many new things, there are ways to at least discern as to what to expect once a crew successfully makes landfall in space. (4) Physical and Environmental conditions – ESVE had the advantage that however far they went or however new the territories, they were still on Earth. Atmospheric conditions were more or less similar to their place of origin. Water and food was somehow available, so that explorers could live off the land or sea. Space explorers will not have this advantage. And it is the most challenging aspect of space exploration. Though sailors suffered from rickets (Vitamin C deficiency) or other nutritional deficiencies on long voyages, space explorers will have to withstand much tougher physical conditions. Once they leave Earth, they will always find themselves in confined, pressurised spaces to keep themselves alive. (5) Return journey- Once they had reached new lands, ESVEs, had to just restock their ships with supplies and set sail again back home. In case of space explorations, things get complicated as future astronauts will need a launching mechanism to launch them back home. This means they have to carry the return fuel with them from Earth. They cannot ‘restock’ their spacecraft with food, fuel or water. Everything has to be carried from here. (6) Settlements and colonies- ESVEs used to sail in a convoy of ships (E.g.: of Christopher Columbus and his crew sailed in 3 ships-Santa María, Pinta and the Niña). Many a times, some of the crew would settle on the newly discovered territories. Sometimes it was deliberate government policy to settle faraway lands (Australia was a penal colony). BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 5 Space exploration may take a similar road. Mankind will have to someday settle extra-terrestrial bodies. But the manner in which it will be carried out remains to be seen. We thus observe that barring a few exceptions, space exploration (manned) is similar to ESVEs. The major differences are that (a) Humans cannot freely live off the land as done by ESVEs. (b) There are incredible physical and environmental constraints and early settlers on Extra-Terrestrial Bodies may find it difficult to start the colonization process. And once a self – sufficient colony becomes established, with births and deaths taking place on those Extra-Terrestrial Bodys, the question of legal status of the inhabitants of Extra-Terrestrial Bodys might emerge. Will a baby born on mars be considered as a citizen of its parent’s nation(s), citizen of earth or mars? If it is the latter, will mars be considered a ‘province’ of earth or a separate nation or an altogether new (presently undefined) entity? Will Mars be considered a colony like the U.S.A or India was of Great Britain ? Once there is a self-sufficient colony on Mars, will it pay ‘taxes’ to earth or to a particular nation that will lay claim to Mars due to its astronauts (or their descendants or ancestors) having been there? The purpose of the above discussion is to analyse that present and near–future space exploration being similar to ESVEs, we can expect that the end results may also be similar i.e. future space settlements may develop into independent (and maybe autonomous) socio-political units (like 16th & 17th century colonies and settlements) setting a stage for an interaction between Earth bound and Extra–Terrestrial nations. It is pertinent here to note that an ET national unit may be around five or ten decades into the future. It may appear too early to speculate on its BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 6 probabilities. But the fact is that the analysis we do now and the decisions we take as mankind will decide whether our interaction with E.T national units will be confrontational or co–operative. The ability to do such analysis will also prepare us to have long term policies which will cement our self–esteem as a space–faring race (which can make policies that stand the test of time). THE POLITICAL POSSIBILITIES OF A FUTURE E.T SETTLEMENT Once an Extra-Terrestrial Settlements (E.T settlement) becomes self- sufficient in oxygen, water, and food; there is little reason for it to depend on earth for supplies. (Oxygen can be extracted from certain minerals on Extra-Terrestrial Bodies, and food can be grown once free water becomes available). We need to have a system which will sort these questions out. Once successfully established, an E.T colony might provide earth with exotic resources hitherto unavailable. It may also open radical new areas of economic expansion. And considering the fact that humans born on Extra-Terrestrial Bodies might be slightly different than earth born humans (in a biological sense), the perception of each other (on both sides- Earth and the Extra-Terrestrial Body) as ‘different’ may be aggravated. What if a self–sufficient Extra-Terrestrial Body breaks away from Earth’s humanity? Some may argue that Extra-Terrestrial Settlements have a right to break free from earth’s ‘enslavement’. But the future repercussions of this argument will be devastating, both for the Extra-Terrestrial Settlements and Earth’s humanity. (1) The Extra-Terrestrial Settlement may consider itself as ‘other humanity’ and its existence and social systems may be at cross- purposes with that of Earth. This will pit earth’s humanity against Extra-Terrestrial Settlements causing an investment into resources that may perpetuate a conflict or a ‘space arms race’ BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 7 (2) Once a break has occurred, it will take additional resources to reconcile with each side bargaining with the other for ‘concessions’. This may cause additional loss of time and delay in space research. (3) It may also happen that after a breakaway, E.T. humanity and earth’s humanity compete in a space race (akin to the space race between the former USSR & USA) and lot of positive developments may take place. But this will happen under the shadow of a possibly impending and devastating conflict. USA and USSR's actions were held in check due to Mutually Assured Destruction (M.A.D). Unlike earlier days, Earth’s humanity (or E.T humanity) may have no qualms in destroying the other as each planet/ E.T Body is separated from each other by vast distances and the after effects of war(like a nuclear fallout) will not affect the other. Mutually Assured Destruction will not be deterrent enough to prevent devastating conflict. (4) In case of a future threat to earth or Extra-Terrestrial Settlements (e.g.: from comet or asteroid) Humanity can respond as a single entity if it stays united. Another possible way to keep humanity whole is for the international comity of nations to legislate a ‘Right of Return’ where every human being, even if born on an Extra-Terrestrial Body has the right to come back to earth and settle here on earth during his/her lifetime. Similarly every human being born on earth will have a right to settle on any Extra-Terrestrial Body with a pre-existing human settlement. AN INTERNATIONAL POLITICAL ARRANGEMENT FOR E.T EXPLORATION Space exploration, let alone landing and colonization of E.T bodies are a costly undertaking. The estimated cost of a manned mission to Mars is greater than the GDP of a majority of nations. As such, manned missions to E.T bodies require that nations of the world should co- operate. The ISS was built through international cooperation [4] . CERN building the LHC was possible because of international cooperation. BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 8 Thus, manned mission to E.T bodies will most likely involve international collaboration on a big scale. Once a manned mission is successful, we will need to move on to settlement and colonization. For a settlement to flourish and become self-sustaining it needs to become economically viable. And for that to happen, it has to add value. How can a settlement add value? It can happen only if it produces a definite output that has value for people who can pay a price. Simply put, an E.T settlement has to provide something valuable that can be traded with earth so that it becomes economically viable. Vasco–da–Gama's trip to India was commercially successful, which made it affordable to send more expeditions [5] . Similarly a manned mission to Mars should be economically viable in order for humanity to continue sending expeditions to Mars/Moon and colonize them. In short an E.T Body has to pay for its own colonization. In this regard, there are a few models that can be followed. The question to be answered here is–should the E.T. Body be commercially exploited or should, it be used purely for scientific and research purposes only? THE ANTARCTIC MODEL The Antarctic model may appear to be a viable model to emulate. Antarctica has no permanent human native population and therefore has neither citizenship nor government. All people present on Antarctica at any given time are citizens, residents or nationals of some dominion outside Antarctica, as there is no Antarctic sovereignty. The Antarctic Treaty is considered to signify the model of a common principle of heritage of mankind. BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 9 But it might not be feasible for following Antarctic treaty model fully when colonizing E.T bodies. This is because: (1) E.T bodies have so far not known to contain life. Therefore concept of commercially exploiting E.T bodies is in no danger of harming any life. (2) E.T bodies cannot be used as waste dumping grounds as it is too costly to ferry waste for sole purpose of dumping them. This logic applies to Antarctica as it is part of Earth’s ecosphere (i.e. Bio, hydro, atmosphere etc.) and hence any pollution of Antarctica will have an impact on our lives. But Mars or Moon is in no way part of our ecosphere. (3) Antarctica is not commercially exploited due to environmental concerns. But E.T bodies can be commercially exploited as they are not connected to Earth’s ecosphere. The one feature that from the Antarctic treaty that can be applied to E.T bodies is the sovereignty status of the E.T bodies. They should be considered as property of all humanity and not that of any one nation. If we evaluate the value addition process of an E.T settlement, we find that the following hold true: (1) Early settlements on Moon/Mars may have activities limited to growing food and conducting research. It is not economically feasible for Martian grown food to be exported to earth as costs will be too high. (2) Minerals and ores being transported to earth is also not a valid economic proposition for the same reason. (Save except in cases where the commodities are highly precious metals/ commodities like diamond, platinum, iridium etc. which can be extracted at a very low cost and transported to earth in research bound space crafts on return journeys). BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 10 (3) There will be no secondary sector of manufacturing to speak of in the initial days of settlement. (4) The number of tradable entities that an ET settlement can provide in its early days is thus limited to- (a) Research data – Research data about the E.T. Body will be the primary purpose for a manned E.T Body mission. Space agencies and /or governments can pay a certain fee for the research data obtained from the manned missions. Private companies/governments involved in the projects may argue (rightfully) that research data of E.T Bodies are the end products of their capital investment i.e. manned ET Body mission. Thus, initially for a few years, research data may have to be provided on a no–cost basis until capital costs are recovered. (b) E.T settlements can be used as launch pads to launch missions into deep space. This will be possible in medium term once the settlements have grown enough to build rockets, satellites and spacecraft's. Governments can pay a fee for such services. (c) E.T Cryptocurrencies – Machines on E.T Bodies will be part of an E.T Blockchain network. They will have microprocessors which can conduct ‘SMART’ mining of E.T cryptocurrencies [6] . These cryptocurrencies can be used by early settlers as entropic money [7] for transactions between themselves and/or with earth. Such cryptocurrencies can be traded on crypto exchanges here on earth. This can become a viable source of funding and revenue to sustain E.T settlements and plan future missions (manned or unmanned) This source of revenue (i.e as mentioned in (c)) appears to be the most feasible and workable solution in the short and medium term to make the settlement economically viable. We can observe that future manned missions to ET bodies need to be based on international cooperation with a purpose to become commercially viable so as to be sustainable and have optimum development. BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 11 A future repeat of the ‘Boston Tea Party’ or ‘Sepoy Mutiny’ (of 1857) like scenario on Extra-Terrestrial Bodies leading to a cut–off of all contact and interaction with earth will be devastating to humanity. This is because, any act of political secession will cause a rift of ‘humanity’ as a whole resulting in two ‘humanities’, each politically, socially, territorially and (most significantly), biologically different from the other. Once cracked, it will be immensely difficult to reconcile the two humanities with each other as with subsequent generations, evolution will lead to a divergence that will be tough to bridge. Once separated, an Extra-Terrestrial Settlements will no longer belong to the Earth’s Comity Of Nations – a concept that, for a long time has defined the notion of humanity as a whole. (*Banning of births on Extra-Terrestrial Bodies appears to be a proposition which can stem the rise of the ‘other’ humans. (i.e. humans not born on earth). But it is both unviable and unethical when viewed from the point of view of human rights. We cannot expect to replenish populations of Extra-Terrestrial Settlements from earth in perpetuity. This will tend to slow down the pace of space exploration. Moreover the resources needed from earth will also be substantial. Additionally by banning E.T. births, we are discounting the ‘Right to reproduce’ of the astronauts who are willing to go to the frontiers of space research.) We thus need to have a system that will- (a) Provide a seamless bridge between Extra-Terrestrial Settlements and earth in a political and economic sense. (b) Allow Extra-Terrestrial Settlements to function fairly autonomously (politically and economically) yet provide a connect to earth’s humanity. We thus have to find a way in which power (political) should not be centralised with earth (which is very difficult to maintain due to time lag and distance issues) at the same time the self–governing style of Extra-Terrestrial Settlements should be acceptable to and considerate of Earth’s concerns. BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 12 One such system that might fulfil the above criteria may possibly be Blockchain technology- as they provide a decentralised yet consensus based platform for various functions. USE OF BLOCKCHAINS IN EXTRA-TERRESTRIAL SETTLEMENTS Use of cryptocurrencies in space and Extra-Terrestrial Settlements has already been envisaged [8] . Some of the significant uses of Blockchain technology in Extra- Terrestrial Settlements can include: (1) Blockchains can help jumpstart the nascent E.T. economy–when the human population of an Extra-Terrestrial Body reaches a (pre– determined) critical number; an economic setup based in Blockchains can be initiated. This will allow for a completely cashless economy (which does not produce any waste) to function for the benefit of the Extra-Terrestrial Settlements. (2) Value creation and value transfer can take place without any hitch between members of the Extra-Terrestrial Settlements and also between the Extra-Terrestrial Body and earth. (3) The E.T cryptocoin can be traded on earth based exchanges. This will create a source of revenue and also a means of investments into the Extra-Terrestrial Body. (4) Blockchains can be used for voting, contracting, legal functions, taxations, lending and borrowing activities etc. on the Extra-Terrestrial Body. This will eliminate the need for a large manned bureaucracy which will be unsustainable and costly on an Extra-Terrestrial Body. (5) Most importantly, Blockchain technology will provide the basis for future IoT on the Extra-Terrestrial Body which is one of the steps in the evolution of a viable Artificial Intelligence [6] . In fact, the first fully independent A.I may be E.T in nature (i.e developed by humans on an Extra-Terrestrial Body) BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 13 (6) Since future systems will probably be based on Blockchains and IOT on earth, Blockchain technology and IoT on Extra-Terrestrial Bodies will provide a semblance of a bridge and uniformity between earth and the Extra-Terrestrial Settlements. This will act like an umbilical cord that will keep E.T colonies connected to earth and hence keep humanity whole. Space exploration and colonization cannot be sustained indefinitely by Earth's limited resources; hence the need to make Extra-Terrestrial Settlements Socio-politically and economically viable. The proposal is to therefore form an Extra-Terrestrial Blockchain Authority (ETBA) as an associate Body with IBSES [9] . ETBAs will: (1) Manage Blockchain related issues of Extra-Terrestrial Bodies and (2) Also conduct research into Extra-Terrestrial Blockchains and Earth based Blockchain interface. (3) ETBA will also manage the stock exchange trades of E.T cryptocurrencies. Thus ETBA will provide support in matters relating to Blockchain technology and also monetize the proceeds coming about from such a venture. (4) ETBA will, by keeping a uniform Blockchain regime ensure the implementation of the ‘law of return’ BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 14 CONCLUSION We have realised that there are many questions to be resolved regarding the socio–political issues that may arise with respect to future Extra-Terrestrial Settlements. The legal status of Extra-Terrestrial Settlements, as also their international standing, is to be decided by the Comity Of Nations (in the form of the United Nations or a similar appropriate organisation). It might be possible that if these issues are not resolved, there may be a socio–political breakaway of the Extra- Terrestrial Body from earth’s humanity, once the Extra-Terrestrial Body becomes self-sufficient. This will essentially cause a ‘break–up’ of humanity into two or may be more fragments (one on Earth and the 'other' on Extra-Terrestrial Bodies). One of the untoward consequences will be that Earth’s humanity may be deprived of exotic resources which can potentially open up new economic and social avenues. It is therefore imperative to keep humanity as a united whole. To provide a sense of connect and uniformity we can use Blockchain technology (It will be accomplished by ETBA, an arm of IBSES). This will ensure that humans on Extra-Terrestrial Body function autonomously within the broad framework of Earth’s socio–political and economic setup in Harmonious co-existence. BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 15 ABBREVIATIONS AND TERMINOLOGIES E.T.: EXTRA-TERRESTRIAL ETS: EXTRA-TERRESTRIAL SETTLEMENTS ESVE: EUROPEAN SEA VOYAGES AND EXPLORATIONS ETBA: EXTRA-TERRESTRIAL BLOCKCHAIN AUTHORITY REFERENCES [1] Hegadekatti, Kartik and S G, Yatish, The K-Y Protocol: The First Protocol for the Regulation of Crypto Currencies (E.G.-Bitcoin) (February 13, 2016). Available at https://ssrn.com/abstract=2735267 or [2] Hegadekatti, Kartik and S G, Yatish, Roadmap for a Controlled Block Chain Architecture (August 13, 2016). Available at SSRN: https://ssrn.com/abstract=2822667 [3] http://www.businessinsider.in/This-is-NASAs-audacious-plan-to- land-humans-on-Mars-within-your-lifetime/articleshow/52131141.cms [4]"International Space Station Legal Framework". International Space Station. European Space Agency. 20 July 2001. Retrieved 16 September 2006 [5] https://goo.gl/08TqOj [6] Hegadekatti, Kartik, Automation Processes and Blockchain Systems (December 27, 2016). Available at SSRN: https://ssrn.com/abstract=2890435 [7] Hegadekatti, Kartik, The New Concept of Money: From Record-of- Value (RoV) to Record-of-Entropy (RoE) (November 28, 2016). Available at SSRN: https://ssrn.com/abstract=2876533 BLOCKCHAINS & E.T.NATIONS dr.kartik.h@gmail.com Page 16 [8] Hegadekatti, Kartik, Extra-Terrestrial Applications of Blockchains and Cryptocurrencies (December 8, 2016). Available at SSRN: https://ssrn.com/abstract=2882763 [9] Hegadekatti, Kartik, IBSES: International Bank for Space Exploration and Sciences (March 30, 2017). Available at SSRN: https://ssrn.com/abstract=2943376 
work_6pfd6aguaraxbjxpavdvib272e	----	Kitab-ı Bahriye (Book of Navigation), Commemoration of the Pîrî Reis and Understand His World Map of 1513. Aytaç YÜRÜKÇÜ a, * a Ass. Specialist & PhD. Student, Turkish Historical Society, Ankara, TURKEY, aytacyurukcu@hotmail.com Abstract: Many literary or scientific works had reached immortality by either its content or the author. Without a shadow of a doubt, Pîrî Reis' major work, a navigation book titled Kitab-ı Bahriye is one of those works that are passed down from generation to generation, light the way of historical process with the intense knowledge it contains, and guide researches and navigators. In Kitab-ı Bahriye which was written as a guide for navigators, sea towns are plotted in maps, bays are denoted, and information about ports for ships to berth, shoals, castles and habitants of these places are given. Furthermore, this work, as a reference book, has a very important place for geographical discoveries where experiences and fund of scientific knowledge accumulated for ages were verified and transmitted through generations in great detail. Kitab-ı Bahriye and world map of Pîrî Reis dated 1513 is not only a source for discoveries, navigation, cartography and cartography works but also it contains important and valuable data about word history and experiences, myths, values and historical positions of societies in 16th century. So much so that information in the book is ranging from Aegean and Red Sea to China Sea, from Indian Ocean to Japanese Sea. In this article, it will be focused on how Pîrî Reis plotted such a precious map in that ages, from which books and works he got inspired while working on it, in which coasts he made observations and how he used these observations on his world map of 1513 and his unique work called Kitab-ı Bahriye. Being able to be studied by researchers after centuries, these two precious works also draw attention to how this kind of documents can be protected carefully for long duration in archives and museums. Lastly, with the examination of maps and drawings that have a past of 506 years, it is aimed at to understand mind world and all works of famous scientist Pîrî Reis who was commemorated by UNESCO in 2013 better and to share his impressions about new world geography in detail with researchers. Keywords: Kitab-ı Bahriye (Book of Navigation), The World Map of 1513, Pîrî Reis, History of Cartography. 1. Introduction  This article will be approached in three different tittles as following:  To examine Pîrî Reis and his life,  To examine Kitab-ı Bahriye, (Book of Navigation)  To examine Pîrî Reis maps (1513 and 1528) for making the subject more understandable. Undoubtedly, many studies on Pîrî Reis and Ottoman cartography had itself a place on differents sources, were researched and put at the disposal of researchers but there are quite a little studies on this field within International Cartographic Association and International Cartographic Journal. In this study by focusing mainly on Pîrî Reis, who has an important place in Ottoman cartography history and maybe even in world literature of cartography, and his maps dated 1513 and 1528, it is aimed at to give information about his features that haven’t been examined within International Cartographic Association before. The map dated 1513 mentioned in this study is plotted by Pîrî Reis by benefiting from Cristof Colomb’s world map and from this aspect it has great importance for world cartography and geographical discoveries. 2. Pîrî Reis and His Life in 16 th Century A Turkish Admiral Pîrî Reis, with his two world maps and his book Kitâb-i Bahriyye, became one of the most important representatives of marine geography not only in Ottoman Empire but also in the world. Great navigator Pîrî Reis is agreed to be born in Gallipoli 1 , an Ottoman nautical town (). Even his exact birth date is unknown, it was shown as between the years 1465-1470 (İnan, 1983, 9). The word “Pir” had been using in the meaning of “tutor of a profession, starter and teacher of a craft” along with the meaning of old and aged (Develioğlu, 1993). When his writings in his Kitab-ı Bahriye and events in history are compared, it is understood that he might have been born after 1465. His father was Hacı Mehmed and his uncle, one of the famous admirals of the period, Kemal Reis. 1 Gallipoli is an important naval base along the Marmara coast. Proceedings of the International Cartographic Association, 2, 2019. 29th International Cartographic Conference (ICC 2019), 15–20 July 2019, Tokyo, Japan. This contribution underwent single-blind peer review based on submitted abstracts. https://doi.org/10.5194/ica-proc-2-154-2019 | © Authors 2019. CC BY 4.0 License. mailto:aytacyurukcu@hotmail.com 2 of 6 When Pîrî was about eleven, he joined the crew of his uncle who had started out as a pirate and then joined the Imperial Ottoman fleet. Between 1487 and 1493, Pîrî participated in many naval battles with his uncle. His independent career as naval captain corresponds to his heroic performances in the sea battles between 1499 and 1502. It is probably during one of these battles that he may have gotten hold of the Columbus Map. After his uncle's death in 1511, he left the open seas to live in Gallipoli and started working on map drawing. After a while, he joined in the crew of the great Turkish sailor Barbaros Hayrettin (Barbarossa Hayr al-Din). According to Kâtib Çelebi, after the death of Kemal Reis, Piri Reis worked with Barbaros, as well. (Katip Çelebi, 1980, 42- 43). After that, Piri Reis stayed in Gallipoli for a while and prepared his world map. The copy of the map we have today which shows east coasts of Central and South America and west coasts of Europe and Africa is a part of this world map. (Topkapı Palace Museum Library, Revan, 1633). Piri Reis’ map discovered by Halil E. Eldem 2 in 1929. Halil examined this map together with Professor Kahle, the German orientalist, then a visitor in İstanbul and result of these investigations was made known by Professor Kahle at the XVIIIth Congress of Orientalists, which met in September 1931 in Leiden, Holland. Then Kahle published an article titled “The lost Columbus map of 1498: Discovered in a Turkish map of the world of 1513” and introduced the map to the science world. He did not only give broad information about the map but he also shared two photos of it. Thus this important world map shared with the science world and created a tremendous impact. 3 The creator of the map, Pîrî Reis did not only hold office as a fleet commander but he was also interested in navigation, cartography and cartographic sciences. He gathered all his knowledge and experience on navigation together in his work called Kitab-ı Bahriye. Piri Reis found the opportunity to use his experiences he gained in early ages and his knowledge on Ottoman navigation when Ottoman Empire having hard time in Mediterranean and he was promoted to fleet commander. Piri Reis, in his map of 1513 he presented to Yavuz Sultan Selim in Kahire, in 1517, he wrote about his life and his aim to draw this map as: “And this poor (man), I made a map once and in this map I stated many times more places and information compared to the maps that have been using, I enregistered 2 He was a director of National Museum, in 1929, when the Palace of Topkapı He was a director of National Museum, in 1929, when the Palace of Topkapı was being turned into a museum of antiquties. He is one of the prominent figures who developped modern museology in the Ottoman Empire and specialized in numismatics, archeology, epigraphy,genealogy and history. 3 Kahle’s these studies along with his other studies anout cartography were published in Spanis and Italian. Wide-reaching information on this map was given by Oberhummer, Professor of Geography in Vienna University, in Vien Academy in 1931. Indian and Chinese seas, and information in new maps which are seen and known by no one in Ottoman country. That map was presented to the door of happiness of deceased Sultan Selim Han, may his soil be spotless and in heaven, and it was approved.” () Piri Reis found the opportunity to observe Nile River closely during Egypt campaign and having drawn important maps of these places he put them into Kitab-ı Bahriye. Pîrî Reis who transmitted his knowledge and experience in Ottoman Navy for a long time, gathered all his experience and drawings in his work called Kitab-ı Bahriye. Lastly he was appointed as Indian Captain in East Mediterranean of Ottoman Empire and he tried to order and regulate Suez fleet. After the discovery of Good Hope Cape, activities of Portuguese in this area speeded up. Their activities in the Persian Gulf in 1550 and 1551 turned political and economic developments against Ottoman Empire. Even though Pîrî Reis who read these developments and technical supremacy of Portuguese ships well, made some technical and scientific points for renewing and developing Ottoman fleet in this area, in 1554, by order of Kanuni Sultan Süleyman first he was expropriated and then he was executed in Cairo being a victim of various plots. It is undoubtedly obvious that Muhyiddin Pîrî Reis, lived guessingly for about 85 years, had gave important service to Ottoman navigation and world history of cartography. Figure 1: Die Verschollene Columbus-Karte von 1498 in einer Türkischen Weltkarte von 1513 (The Lost Map of Colombus, 1498. In A Turkish General Chart of 1513). by Paul Ernst KAHLE. (Walter de Gruyter & Co., Berlin and Leipzig, 1933, 52 pp. 9 facsimile charts.) Proceedings of the International Cartographic Association, 2, 2019. 29th International Cartographic Conference (ICC 2019), 15–20 July 2019, Tokyo, Japan. This contribution underwent single-blind peer review based on submitted abstracts. https://doi.org/10.5194/ica-proc-2-154-2019 | © Authors 2019. CC BY 4.0 License. 3 of 6 3. Kitab-ı Bahriye (927-932 AH) 1521-1526 CE (The Book of Navigation) The book called Kitab-ı Bahriye 4 (Book of Navigation on Mediterranean Coasts) gives a lot of key information about the Mediterranean Sea, cities and towns on the Mediterranean coast and islands with illustrations and text on navigation and seafaring. Piri Reis first wrote Kitab-ı Bahriye in 927 AH/1520-1521 CE and then added other parts of book in 932 AH/1525-1526 CE. Figure 2: The Map of Europe from Piri Reis, “Kitab-ı Bahriye” second version, 1525-1526. Manuscript copied in 17th century, İstanbul University Library, İstanbul (T. 6605). The compilation by Pîrî Reis of his monumental undertaking, the Kitâb-ı Bahriye, was completed in h.928 (1521) of 130 chapters, with a second longer presentation version made at the request of the Vizier to Sultan Süleyman, Ibrahim Pasha, of 210 chapters and containing anb extensive informative poem and was completed by h. 932 (1526) and The Navigation Book of Bahriye was produced from a copy of the extended 1526 presentation version. When we read the Kitab-ı Bahriye, we can also understand that Piri Reis explains a lot about geography and gives advice to sailors to get a better understanding of the coast and cultures more. Moreover, Mediterranean islands and coastal settlements, ruins, harbors, waters, stones and shallows on which side of the harbor in 4 Kitab-ı Bahriye has a limited number of original copies preserved in various museums across Europe. 29 copies of Kitab-ı Bahriye still exist, 16 of which date back to 1521 in İstanbul, Dresden, Bologna, Berlin, Paris, Vienna and London, and 13 of which date back to 1526 in İstanbul. Prof. Svat Soucek claims that there are 38 copies with two different versions and with text, without text and unknown (Soucek, 1992, 290-291 his appendix 14.2, Preliminary list of extant manuscripts of the Kitab-ı Bahriye, in this article we can find all types of copies in detailed.) and Özen claims that there are 42 copies (Özen, 1998, 20-21), for Sarıcaoğlu there are roughly 60 copies (Sarıcaoğlu, 2002, 73). question, which wind is open or closed, the width of the harbor or narrow, how long the ship can harbor, shore and their distance to each other. In a specific chapter of Kitab-ı Bahriye, Piri Reis says that he abided by the internationally approved map cartography traditions of his time. Cities and castles are shown by red stripes, desolate places by black stripes, debris and giblets by black points, shallows and sandy places by red points and secret rocks by crosses. Figure 3: The Map of Europe from Piri Reis, “Kitab-ı Bahriye,” second version, 1525-1526. Manuscript copied in 17th century, İstanbul University Library, İstanbul (T. 6605) The fact that the discovery of the new world at the end of the 15th century and the beginning of the 16th century, though not directly related to the interests of the Ottoman Empire, was closely and attentively followed by the Turkish intellectuals and their remarkable talent in map drawing and geography demonstrate the presence of Turks within the European civilization at that time. This is confirmed by Kitab-ı Bahriye, since it is among the best of works on the Mediterranean of the time. Kitab-ı Bahriye is in four parts: Introduction, Verse, Prose and Conclusion. The book contains a lot of detailed information about physical geography (tombolos, deltas, coastal shapes) and human geography (tents, villages, castles, cities, bridges, harbors and ships), underwater topography (shallow fields, harbors, cliffs), climate characteristics (wind, rain, temperature), stream sources (creeks, streams, springs and water wells), coastal shapes, animals (fish and fishing, sheep, goats, gazelles, wild boars, rabbits), soils, structure of mountains and agriculture and farming, vegetation cover (juniper, acorn, pine, witch elms, fig tree, olive groves, citrus gardens). Furthermore, economic activities (coal quarries, stone quarries, marble quarries), mines, administrative and political structures (borders and countries), map marks and various directional information and details are illustrated with specific different icons and symbols. It Proceedings of the International Cartographic Association, 2, 2019. 29th International Cartographic Conference (ICC 2019), 15–20 July 2019, Tokyo, Japan. This contribution underwent single-blind peer review based on submitted abstracts. https://doi.org/10.5194/ica-proc-2-154-2019 | © Authors 2019. CC BY 4.0 License. 4 of 6 also offers information about history, maps, cartography, general geography, economic structures, social life, shipping knowledge and techniques from the 15th century and his final experiences. It is certain that Kitab-ı Bahriye was composed by making use of the earlier maps and developing with new studies. It is thought that some Catalan, Portuguese and Italian portolon maps that were used in navigations and research in the Mediterranean in the 15th century and Italian island books (isolario) of the 15th century were used as a contribution to Kitab-ı Bahriye. For the islands of the Aegean Sea, isolario of Bartolommeo (Venice 1484-1486), because of their resemblance in style, works that were started by C. Boundelmonti and developed by B. Bartolommeo dalli Sonetti and B. Bordone, are probably are the miniatures depicting Venice in the Kitab-i Bahriye. Here, Sicilian island, Italian peninsula, Adriatic sea and French coasts are particularly mentioned. (Soucek 1992, 276-80). 4. Piri Reis’ World Maps 4.1. The First World Map of Piri Reis 1513 Piri Reis’s Map of 1513 is one of the most detailed and beautiful, interesting and significant portolan in the historyof cartography and geographical resourses. Piri Reis spent most of his life at sea, especially in the Mediterranean. Carefully observing the places he visited and combining his observations with his experience and skills in cartography (McIntosh, 2000). The First World Map of Piri Reis 1513 was meticulously drawn on antelope skin in colour. The part of the map we have at hand is the piece of a world map. It is clear to an attentive eye that the notes in the eastern side are cut in half, we may thus deduce that the entire map shows then discovered parts of the world, namely Europe, Asia and Africa. In a note attached to the map, Piri Reis explained the maps he had seen and investigated while he was composing his own map. The notes on the Antilles coasts tell that he benefited from the map of Christophe Columbus for these coasts and islands. He also tells cruise memories of a Spanish kept by his uncle Kemal Reis as a slave telling he visited America three times wity Christophe Columbus. He also says that he has seen the new maps of four Portuguese in his notes on the Southern America. the work is a wide world map, he had also investigated some maps showing the old world, maps composed in “the times of Alexander” as he put forward, “Mappamondos” and eight pieces of maps composed by the Muslims. Unfortunately, the valuable map we currently have at hand is only a part of the entire map. If the other parts had been lost, we would have had a perfect Turkish map composed 1513 showing both the old and the new map. Considering the fact that the journeys of Christophe Columbus date back to the end of 15 th century and the first years of the 16 th century (Columbus had turned from his fourth voyage in 1504), such a map composed just a while later than the new discoveries is one of the first maps showing the entire world. Piri Reis wrote some explanations on the world map of 1513, and these notes are very important for sailros and cartographers, as well as historians. It is possible to read and explain what he wrote on the map clearly. 4.2. Explanatory Remarks in the World Map of Piri Reis 1513 5 1. A red dye in this land is derived from a tree called Vakami, which can’t be seen at first sight. Over the the mountains which are rich in mineral deposits, there are many sheep, wool of which is used for making silk threads one can easily untie. (Piri Reis Map, 2014, 7). 2. The people of these inhabitable countries wander and walk naked. (Piri Reis Map, 2014, 7). 3. In this region called Antilia and positioned in the west, there are four kinds of parrots: white, red, green and black. The people wear headpieces made of the feathers of the parrots, and eat their flesh. We saw avery hard type of stone here which looked like black touchstone and used by people to make ox. (Piri Reis Map, 2014, 7). 4. This map has drawn by Piri Inb Hacı Mehmet (Piri Reis), the nephew of Kemal Reis, in Gallipoli between March 9th and April 7 th of the year 1513. 5. This section explains how these shores and islands were discovered. (Piri Reis Map, 2014, 7). It has been said that a Genoese called Christopher Columbus discovered these coasts are called the shores of Antilia. They were discovered in the year 896 of the Arab calendar. But it was rumoured thus, that a Genoese infidel called Colombo, was the one who discovered these places. For instance, a book came into the hands of the said Colombo, and he found it said in this book that at the end of the Western Sea (Atlantic), that is, on its western side, there were coasts and islands and all kinds of metals and also precious stones. The above-mentioned, having studied this book thoroughly, explained these matters one by one to the lords of Genoa and said: Come, give me two ships, let me go and find these places. They said: O, unprofitable man, can an end or limit be found to the Western Sea? Its vapour is full of darkness. The above-mentioned Colombo saw that no help was forthcoming from the Genoese, so he sped forth, went to the Bey of Spain (King) and told his tale in detail. They too answered like the Genoese. In short, Colombo petitioned these people for a long time, finally the Bey of Spain gave him two ships, saw that they were well equipped and said: O, Colombo, if it happens as you say, let us make you Kapudan (Admiral) to that country. The late Ghazi Kemal had a Spanish slave. The above-mentioned slave told Kemal Reis that he had been three times to that lands with Colombo. He said: “First we reached the straits of Gibraltar, then from there straight south and west between the two. . . 5 Because of the limited pages of article we can’t share all detailed notes about map, but it will be declared in presentation clearly. Proceedings of the International Cartographic Association, 2, 2019. 29th International Cartographic Conference (ICC 2019), 15–20 July 2019, Tokyo, Japan. This contribution underwent single-blind peer review based on submitted abstracts. https://doi.org/10.5194/ica-proc-2-154-2019 | © Authors 2019. CC BY 4.0 License. 5 of 6 Having advanced straight four thousand miles, we saw an island facing us, but gradually the waves of the sea became foamless, that is, the sea was becalmed and the North Star- the seamen still call it star on their compasses-little by little veiled and became invisible; and he also said that the stars in that region are not arranged as here. They are seen in a different arrangement. They anchored at the island which they had seen earlier across the way. The population of the island came, shot arrows at them and did not allow them to land and ask for information. The males and females shot hand arrows. The tips of these arrows were made of fish bones, and the whole population went naked. Seeing that they could not land on that island they crossed to the other side of the island and they saw a boat. On seeing them, the boat fled and they (the people in the boat) dashed out on land. They (the Spaniards) took the boat. They saw that inside of it there was human flesh. It happened that these people were of that nation which went from island to island hunting men and eating them. They said Colombo saw yet another island, they neared it, and they saw that on that island there were great snakes. They avoided landing on this island and remained there seventeen days. People of this island saw that no harm came to them from this boat. They caught fish and brought it to them in their small boat (filika). .. These (Spaniards) were pleased and gave them glass beads. It appears that he (Colombo) had read in the book that in that region, glass beads were valued. Seeing the beads, they brought still, more fish. These (Spaniards) always gave them glass beads. One day they saw gold around the arms of a woman; they took the gold and gave her beads. They told them: 'bring more gold, and we will give you more beads. They went and brought them much gold. It appears that in their mountains, there were gold mines. One day, also, they saw pearls in the hands of one person. They saw that when they gave beads, many more pearls were brought to them. Pearls were found on the shores of this island, in a spot one or two fathoms deep. And also leading their ship with many logwood trees and taking two natives along, they carried them within that year to the Bey of Spain. But the said Colombo, not knowing the language of these people, they traded by signs, and after this trip, the Bey of Spain, sent priests and barley, taught the natives how to sow and reap and converted them to his own religion. They had no religion of any sort. They walked naked, lay there like animals. Now, these regions have been opened to all and have become famous. The names, which mark the places on the said islands and coast, were given by Colombo so that they may know these places. And also Colombo was a great astronomer. The coasts and the islands on this map are taken from Columbus’s map.”(İnan, 1983, 30-31, (Piri Reis Map, 2014, 7-8, (Tekeli 1985, 276-7). 4.3. The Second Map of Piri Reis 1528-1529 The map starts with Greenland in the north. Towards the south there are two pieces of land, the first is called Baccalo, the second one further down is called Terra Nova and it is mentioned that the Portuguese discovered these. Further south there is the peninsula of Florida drawn quite correctly and which Pîrî Reis names San Juan Batisto. This name was given to Puerto Rico on the previous map. The pieces of land at the side are the peninsulas of Honduras and Yucatan, discovered in 1517 and 1519 respectively (Tekeli 1985, 279). 5. Appendix Appendix 1: The First World Map of Piri Reis 1513. The First World Map of Piri Reis was producted in 1513, it shows the Atlantic with the coasts of Europe, New World and Africa Continental. The World Map of 1513 discovered in 1929 at the Museum of Topkapi Palace. (The Author will share this uniq map with participants, in Engilish, French, Italian, Portuguese and Russian Languages version.) Topkapı Sarayı Museum Library, İstanbul (Revan 1633). Proceedings of the International Cartographic Association, 2, 2019. 29th International Cartographic Conference (ICC 2019), 15–20 July 2019, Tokyo, Japan. This contribution underwent single-blind peer review based on submitted abstracts. https://doi.org/10.5194/ica-proc-2-154-2019 | © Authors 2019. CC BY 4.0 License. 6 of 6 Appendix 2: Projection of the Pīrī Re¸ is-map on the modern atlas. Appendix 3: The Second Map of Piri Reis 1528-1529. The World map of Piri Reis was made from 1528-29 and it covers the North western part of the Atlantic Ocean, The Caribbean Sea, Venezuella and as well as the Greenland. Topkapı Sarayı Museum Library, İstanbul (H. 1824, Revan 1633). 6. References Develioğlu, Ferit, (1993). Osmanlıca Türkçe Lugat, 11. Baskı, 1993, Ankara. İnan, Afet, (1983). Piri Reis’in Hayatı ve Eserleri (Piri Reis, His Life and Works), Ankara. Katib Çelebi, (1980). Tuhfetü’l-Kibar fi Esfari’l-Bihar, C.I., İstanbul. Kitab-ı Bahriye, https://dl.wdl.org/9210/service/9210.pdf Accessed 3 April 2019. McIntosh, G. C., (2000). The Piri Reis Map of 1513, The University of Georgia Press, Athens GA and London. Özen, M. Esiner, (1998). Piri Reis and his Charts, İstanbul. Piri Reis Map, (2014). Turkish Naval Forces, Office Of Navigation, Hydrography and Oceanography Publication, İstanbul. Sarıcaoğlu, Fikret, (2002). Kitab-ı Bahriyye, DİA, 71-73. Soucek, Svat, (1992). “Islamic charting in the Mediterranean”, The History of Cartography Vol. 2. book on: Edited by J. B. Harley and David Woodward, Cartography in the Traditional Islamic and South Asian Societies, 263-92. Tekeli, Sevim, (1985). “The Map of America by Pîrî Reis”, Erdem, 3, 673-683. Proceedings of the International Cartographic Association, 2, 2019. 29th International Cartographic Conference (ICC 2019), 15–20 July 2019, Tokyo, Japan. This contribution underwent single-blind peer review based on submitted abstracts. https://doi.org/10.5194/ica-proc-2-154-2019 | © Authors 2019. CC BY 4.0 License. https://dl.wdl.org/9210/service/9210.pdf 
work_6rcuglqyprbhvjay5isvexyswq	----	The Poisoned Arrows of Amor: cases of syphilis from 16th-century Iceland This article was downloaded by: [Steinunn Kristjánsdóttir] On: 29 September 2011, At: 03:37 Publisher: Routledge Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK Scandinavian Journal of History Publication details, including instructions for authors and subscription information: http://www.tandfonline.com/loi/shis20 The Poisoned Arrows of Amor: cases of syphilis from 16th-century Iceland Steinunn Kristjánsdóttir Available online: 29 Sep 2011 To cite this article: Steinunn Kristjánsdóttir (2011): The Poisoned Arrows of Amor: cases of syphilis from 16th-century Iceland, Scandinavian Journal of History, 36:4, 406-418 To link to this article: http://dx.doi.org/10.1080/03468755.2011.608483 PLEASE SCROLL DOWN FOR ARTICLE Full terms and conditions of use: http://www.tandfonline.com/page/terms-and- conditions This article may be used for research, teaching, and private study purposes. Any substantial or systematic reproduction, redistribution, reselling, loan, sub-licensing, systematic supply, or distribution in any form to anyone is expressly forbidden. The publisher does not give any warranty express or implied or make any representation that the contents will be complete or accurate or up to date. The accuracy of any instructions, formulae, and drug doses should be independently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings, demand, or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with or arising out of the use of this material. http://www.tandfonline.com/loi/shis20 http://dx.doi.org/10.1080/03468755.2011.608483 http://www.tandfonline.com/page/terms-and-conditions http://www.tandfonline.com/page/terms-and-conditions Steinunn Kristjánsdóttir THE POISONED ARROWS OF AMOR Cases of syphilis from 16th-century Iceland While syphilis spread rapidly in Europe during the late 15th and early 16th centuries, scholars have doubted that the disease reached Iceland at that time. Still, discoveries of nine cases of venereal and congenital syphilis during a recent excavation on a monastic site, Skriðuklaustur (1496–1554) in East Iceland, indicate that the disease became an epidemic there, as it did worldwide. These findings may also be regarded as an important source of information on the contacts and communications of a country, which is commonly regarded as having been socially isolated from the outer world, with its neighbouring countries during the medieval times. Keywords syphilis, Medieval Iceland, Skriðuklaustur, monastery, communica- tion Introduction Nine cases of both venereal and congenital syphilis, caused by bacteria of the genus Treponema, have been identified in an assemblage of 198 skeletons exhumed at the monas- tic site Skriðuklaustur in East Iceland, dating from the period 1496–1554. Before these identifications were made, the disease was not thought, with any certainty, to have reached Iceland until modern times, while it became an epidemic during the late 15th and early 16th centuries worldwide. The findings at Skriðuklaustur may be interpreted as an indication of a syphilis outbreak in Iceland at the same time as it spread rapidly in its neighbouring countries. Moreover, it even supports recent theories that Iceland was not as socially isolated from the rest of Western Europe during the Middle Ages, as has been claimed earlier. The Skriðuklaustur monastic site The Augustinian monastery at Skriðuklaustur in East Iceland (Figure 1) was established in 1493, but closed down shortly after the Lutheran Reformation in Iceland at the begin- ning of the 1550s. Its cemetery was consecrated three years after the foundation of the monastery and shortly after that the earliest burials were made.1 There were eight other monastic institutions in Iceland during the Catholic period, but Skriðuklaustur is the only one that has been nearly fully excavated so far, although the ruins of two Scandinavian Journal of History Vol. 36, No. 4. September 2011, pp. 406–418 ISSN 0346-8755 print/ISSN 1502-7716 online © 2011 the Historical Associations of Denmark, Finland, Iceland, Norway and Sweden http://www.tandfonline.com http://dx.doi.org/10.1080/03468755.2011.608483 D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 http://www.tandfonline.com http://dx.doi.org/10.1080/03468755.2011.608483 THE POISONED ARROWS OF AMOR 407 FIGURE 1 Map of Europe. The Skriðuklaustur monastery was located in East Iceland. other monastic sites have been partially investigated: the ruins of the monastery at Viðeyjarklaustur and the nunnery at Kirkjubæjarklaustur.2 Until the archaeological investigations at Skriðuklaustur started in 2000, little was known about the buildings or the activities of the monastery. Up to now (spring of 2011), 1,300 square metres of its ruins have been excavated and 198 graves in its ceme- tery exhumed (Figure 2).3 The excavation has revealed that the monastic buildings at Skriðuklaustur appear to have contained most of the elements that are common to other religious institutions of the Augustinian Order outside Iceland. Although they were built with turf, stones, and driftwood, the interior plan of the structures is typical, as the monastary was constructed around a well defined cloister-garden, forming a closed square of four ranges. The south range was formed by the church, the western range by the brethren’s living quarters, the northern range by the kitchen and the refectory area, and the storage rooms and stables were located in the eastern part of the complex, farthest away form the sacred space of the brethren. The square was fully enclosed by a thick wall in the southeast.4 The human bone assemblage at Skriðuklaustur strongly indicates that the monastery served as a hospital. This is supported by pollen analysis, which shows that medieval medicinal plants were grown at the site during the time of the monastery. Besides this, D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 408 SCANDINAVIAN JOURNAL OF HISTORY FIGURE 2 Skriðuklaustur monastery and cemetery after excavation, 2000–2010. The syphilis cases are highlighted with circles. Source: Drawn by Vala Gunnarsdóttir for this article. several surgical instruments have been identified in the artefact collection. These are mainly lancets, scalpels and needles.5 The human bone assemblage contains a high num- ber of skeletons bearing signs of long-term diseases and illnesses commonly known from medieval times. There is evidence of syphilis, tuberculosis, leprosy, hydatid disease, con- genital disorders (e.g. cleft palate), periodontal disease, metabolic insult, fractures and traumatic injury and non-specific infection.6 Interestingly, the cemetery shows a spatially based pattern in the division of graves, based on the principles of sex, age, religious and secular status, and disease in some cases.7 There are four different burial areas visible that may have each had discrete mean- ing in regard to the monastic complex itself. The patients were all buried in the area west of the church, including in the cloister-garden; the area east of the chancel was desig- nated for the brethren, and later the sheriffs that resided at the Skriða farm, after the monastic period ended in 1554; the area south of the church was where the lay people were buried; and finally, the area inside the church building itself was chosen for the D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 THE POISONED ARROWS OF AMOR 409 benefactors of the monastery. Furthermore, the patients, who were exclusively buried inside the cloister-garden and west of the church, received their last resting place in accordance with their age and sometimes disease. The younger patients were buried inside the cloister-garden but the older patients were west of the church. The nine syphilis cases from Skriðuklaustur monastery are all found in graves located in the cloister-garden and east of the choir, which is the area of the cemetery that was designated for patients. The skeletons are of individuals of all ages and both sexes, but only one of the individuals identified as having syphilis was male. The younger individuals bearing signs of syphilis were buried inside the cloister-garden but the older ones west of the church (the syphilis cases are shown by circles around the graves in Figure 2). Both venereal and congenital syphilis have been identified among the nine syphilis cases. Venereal and congenital syphilis Venereal syphilis is recognized worldwide, but it also appears in a congenital form. At least three other types of the disease are known in different areas of the world, such as in the Tropics, the Caribbean, countries of the Middle East, West Africa and Central and South America.8 These are all non-venereal varieties and will not be the subject of this article. Venereal syphilis transmits through sexual intercourse between individuals, but con- genital syphilis is transmitted when the foetus is infected by the bacteria in utero or during birth. In these cases, the infection transmits from the diseased mother to her unborn child, in some instances causing stillbirth. If they survive the birth, individuals with congenital syphilis can survive until early adulthood, as some of the cases from Skriðuklaustur demonstrate.9 Both the venereal and congenital forms of syphilis develop in three stages – the so- called primary, secondary and tertiary stages – and this development can take up to 30 years. The signs and symptoms of the disease vary depending on which of the stages is presented, but the secondary stage starts some days or weeks after the primary infection. Being a long-term illness, the infection rarely causes any bone formation during the initial stages, but it is known to appear in some cases. During the two later stages of the disease, and particularly in the tertiary one, significant changes occur on bones and skin, and serious damage can occur to the central nervous and cardiac systems, as well as outer lesions and pimples on most parts of the body. The tertiary lesions occur progressively between two and ten years after the initial infection.10 Archaeologically, the symptoms of syphilis generally become visible on the frontal bone, tibia, ribs and sternum, where the lesions and pimples mostly settle. A child born with congenital syphilis often shows a number of symptoms shortly after birth, but can also be born without any symptoms. The most common symptoms visible on the skeletons of individuals with congenital syphilis are pimples on the frontal bones, deformity of the nose, underdevelopment of the maxilla, as well as peg-shaped teeth.11 There are several theories about the origins and spread of syphilis.12 The most com- mon one is related to the return of Christopher Columbus from America to Europe in the late 15th century, as the disease had its first outbreak in Europe around that time.13 Cases from this time indicating the rapid spread of syphilis have been found during exca- vations of burials in, for example, Trondheim in northern Norway,14 Rostov Velikiy near Moscow in the northeast of European Russia,15 England,16 Denmark17 and North Carolina in the United States.18 D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 410 SCANDINAVIAN JOURNAL OF HISTORY However, cases from the different areas of both the Old World and America indicate that the disease existed much earlier, even as early as the Stone Age, although it was not as widespread as in the late 15th and early 16th centuries. Initially, syphilis was most likely a single disease that later on became a permanent factor among humans, as man spread around the world. The current theory is that the venereal type is a variant of syphilis that, at an unknown date, developed from the original non-venereal bacteria of the same genus.19 Consequently, most scholars regard the spread of syphilis around the turn of the 15th century as an epidemic.20 A disease is commonly classified as such when new cases during a given period and population substantially exceed what is expected, based on earlier experience.21 However, syphilis did not pass, as many other epidemic diseases do; instead it became a permanent illness among humans and is still present today.22 The nine cases from Skriðuklaustur The number of syphilis cases at the Skriðuklaustur monastery is unexpectedly high, as nine individuals with the disease have been identified in a skeletal assemblage totalling only 198 skeletons (Table 1). At least two of the cases bear the signs of congenital syphilis. The youngest individual (grave no. 46) was just an adolescent at death but still showed severe symptoms of congenital syphilis that had developed to the tertiary stage. Four of the cases were of individuals that lived until their fifties (graves no. 126, 128, 130 and 181), and five were younger than 30 years old (graves no. 23, 29, 91 and 195), including a 13–14-year old child (grave no. 46). As can be read from Table 1, in six of the cases from Skriðuklaustur the disease had reached the final tertiary stage (Figure 3). This includes younger individuals, in which cases the disease most likely caused their death. Conversely, the cause of death of the older individuals cannot be concluded with any certainty, as most of them also suffered from other diseases of a chronic nature, such as tuberculosis and hydatism, or they had suffered serious injuries. For example, the individual in grave no. 128 at Skriðuklaustur, an older woman, had been seriously injured on the arch of the second lumbar vertebra, undoubtedly causing complete flaccid paralysis of both lower limbs. The woman survived the severe trauma but could not walk any more, not even on crutches. Extreme stress on the upper limbs shows that she moved on a kind of low cart or sledge, driving it with her arms.23 Furthermore, this individual was buried with her knees drawn up (grave 128, Figure 4), which is a highly unusual position for a body in a grave in a Christian cemetery. The other individuals identified with syphilis were buried according to the Christian fashion, with the legs stretched, and all had their heads in the eastern end of the grave. The reason for the unusual positioning of the body is unknown, but it may have had something to do with the syphilis or other illnesses the indi- vidual suffered from. Similar body positioning was found in the cemetery of the leper hospital of St. Mary Magdalene, Chichester, England, but there an advanced stage of leprosy is regarded as having required the person to be buried in this position.24 It may seem odd to find both women and children buried in the cemetery of a monastery whose main inhabitants were monks, as at the Skriðuklaustur monastery. Material from other monastic hospital sites shows that this was not unusual, so the fact that some of the individuals with syphilis found at the site in question were women D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 THE POISONED ARROWS OF AMOR 411 TABLE 1 The nine cases of syphilis found at the Skriðuklaustur monastic site, dating 1496–1554 No. Grave Location Sex Age Other alterations Identified by 1 23 Cloister F 20–25 Tertiary syphilis Zoëga 2007 2 29 Cloister F 20–25 Tertiary syphilis Congenital Zoëga 2007 3 46 Cloister F 13–14 Tertiary syphilis Congenital Hawtin 2004 4 91 Cloister Young adult Tertiary syphilis 5 126 W-cemetery F 45+ Tertiary syphilis Osteomyelitis Hydatism Osteoporosis and osteoarthritis In the left hand, the third phalange fused at 90◦ angle, due to a fracture Collins 2010 6 128 W-cemetery F 45+ Syphilis Tuberculosis, osteomyelitis, arthritis and periostitis Paralysed due to a fracture on the vertebra Benign tumors on the skull vault Pacciani 2010 7 130 W-cemetery M 40+ Tertiary syphilis Osteomyelitis Gummatous lesion of the cranium Early signs of arthritis Right femur shorter because of a healed fracture Pacciani 2010 8 181 East of church F 45+ Syphilis Other cranial deformity Ricci 2010 9 195 W-cemetery F 25–30 Syphilis Ricci 2010 and children is not anomalous. For example, the only case of syphilis discovered at the hospital run by the Augustinian monks at Æbelholt in Denmark was of a woman who died age 25–30.25 Archaeological findings also indicate that monastic hospitals generally were flexible in this regard and, in fact, adjusted their primary roles to the charitable demands of the surrounding society. For example, an increased number of female burials were identified over time in the cemetery of the Augustinian friary of St. Mary Merton in England.26 At the Æbelholt monastery and hospital, individuals of all ages and both sexes were buried in its cemetery, although the female and the child burials were relatively fewer inside the church.27 D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 412 SCANDINAVIAN JOURNAL OF HISTORY FIGURE 3 Grave no. 23 from Skriðuklaustur. The infection due to syphilis was clearly visible on the frontal and long bones. Source: Author. FIGURE 4 The woman in grave no. 128 was buried with the knees drawn up. Source: Photograph taken by Margrét Valmundsdóttir. The young age of four of the syphilis patients found at Skriðuklaustur, two of which most likely had venereal syphilis, can therefore be regarded as an indication of the grow- ing tolerance of monastic institutions towards needy people of all ages, and in fact both sexes, being a monastery of such a late date. At least, the monastery there appears to D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 THE POISONED ARROWS OF AMOR 413 have been open to anyone, regardless of sex and age, as individuals of all ages and both sexes have been buried there. It is also worth noting that monasteries were in fact obliged to bury all those who died in their care as patients or guests.28 Thus, taking care of the patients at Skriðuklaustur must have been highly demanding for all of those involved in healing or nursing. A prime example of this demanding work would be with the patients with syphilis; bearing in mind that during the tertiary stage the bacteria causing the disease affects the central nervous system, resulting in serious mental illnesses. The mental affections, and the lesions and wounds that syphilis causes on both skin and bones, would make the individual almost unable to function in a normal manner. Syphilis in Medieval Iceland Before the identification of the nine syphilis cases found in the Skriðuklaustur monastic cemetery, the disease was generally not believed to have existed among the inhabitants of Iceland until modern times. However, written sources inform about some barber- surgeons (Icelandic bartskeri), who were especially skilled in healing syphilis, coming to Iceland in the early 16th century to heal Icelanders of the disease. Most likely, the barber-surgeons did some exterior operations on their patients, but they may also have used mercury in their healing. The use of mercury was the earliest known treatment for diseases such as syphilis and leprosy during the medieval times. It is known to have been used at the medieval hospital at Øm monastery in Denmark,29 and primary results indicate that it was used in Skriðuklaustur as well. The most famous surgeon working in Iceland was undoubtedly the German Lasarus Mattheusson, who came thereto at the request of the bishop Ögmundur Pálsson in 1525. For healing 100 Icelanders, he was meant to obtain the farm Skáney in Borgarfjörður, where he lived during his visit. According to the agreements made, all equipment and ointments should be provided by him. Eventually, Skáneyjar-Lassi, as he was called, got the farm, although it does not seem likely that he managed to heal all those he was supposed to heal. Still, while Icelandic scholars have not denied that Skáneyjar-Lassi existed, they believe that in these cases syphilis was most likely being confused with leprosy, tuberculosis (or scrofula), scurvy or a mixture of these.30 For example, it has been claimed that when the first Lutheran bishop in Iceland, Gissur Einarsson, got the disease, it was not venereal syphilis but a mixture of leprosy and scurvy.31 Generally, venereal or congenital syphilis is hardly mentioned in preserved doc- uments on the medical history of Medieval Iceland. Since syphilis was classified as a venereal disease, it was often associated with promiscuity and deviant living. Because of these associations, it was common to record it as another disease entirely or to blame somebody else for its existence. Following its first outbreak, the term syphilis was coined in the 1520s in Italy, although it did not come into general use until much later. Before that, Italians called it the French disease, but in France it was named the disease of Naples. In England it was named the French disease, as in Italy, but also the Bordeaux disease and the Spanish disease. The Russians called it the Polish disease and the Poles the German disease.32 How did the disease then reach Iceland so quickly, an island far out in the North Atlantic, at the same time is it spread rapidly among other inhabitants of Europe? In D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 414 SCANDINAVIAN JOURNAL OF HISTORY fact, despite being on the outskirts of Northern Europe, the Icelandic church was in close contact with the Catholic Church on the mainland during medieval times. Many of the instigators of the Icelandic church studied and lived abroad before they obtained important positions on behalf of the church in Iceland, as abbots, priors, or even bishops.33 The church was, however, not the only way that Icelanders came into contact with the inhabitants of their neighbouring countries. From the 15th century onwards, English, German, Dutch, and, later, Danish traders dominated the trading and fishing in Iceland.34 The pottery found in Icelandic archaeological contexts underlines this, as it is almost exclusively from the regions of Europe that Icelanders were in contact with through trade.35 It is though, in general, difficult to know where the clients of the Skriðuklaustur monastery were from, as all monasteries were obliged to bury those that died in their care, regardless of their age, sex, status or geographical background.36 Bearing this in mind, the clients of Skriðuklaustur monastery could have belonged to any level in the social hierarchy. The nine cases of syphilis, especially the congenital cases described above, show that syphilis may not just have been found amongst foreign fishermen or merchants in Iceland, or the elite of the church, but that it was also common among the general population of Iceland. This is also supported by the age at death of these individuals, which ranges from adolescence to adulthood, supporting the view that they were common people living in Iceland. The remains of surgical equipment and the medicinal plants found at Skriðuklaustur indicate that patients came to the monastery to get salvation and physical treatment, as was done in the majority of Catholic monasteries during medieval times. This means that the patients with syphilis, or any other illness, may also have gathered at the other monas- tic institutions in Iceland providing a similar service. The fact that the Skriðuklaustur monastery is the only Icelandic monastic site where evidence of a hospital has been archaeologically excavated can explain why syphilis cases have not been found before from Medieval Iceland. Some final remarks The origins of syphilis are not known and its initial spread is poorly understood. Most scholars agree that the bacteria Treponema has been bound to humans for millennia but that it became an epidemic around the turn of the 15th century. Until the discoveries were made at the Skriðuklaustur monastery, syphilis was believed to have been first found in Iceland during modern times, despite its extensive outbreak throughout Europe in the late 15th and early 16th centuries. In the assemblage from the site, counting 198 skeletons, the nine cases of syphilis may be interpreted as an indication that the disease had become an epidemic in Iceland in the early 16th century, just as in the rest of Europe. These recent findings are therefore not only meaningful for the medical history of Iceland, but may also be regarded as an important source of information about contact and communication in a country that is commonly regarded as having been socially iso- lated from the external world during the medieval times. Last but not least, the findings shed light on the charitable role and function of the monastery at Skriðuklaustur, appar- ently assisting needy visitors of all ages, and even regardless of whether they were female or male. D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 THE POISONED ARROWS OF AMOR 415 Acknowledgements The author would like to thank the osteologists, Guðný Zoëga, Elsa Pacciani, Cecilia Collins, Glenn Ricci and Christina Brandt for their identifications, the archaeologist Vala Gunnarsdóttir for helping with the figures, historian Gísli Kristjánsson for useful comments, and archaeologist Albína Hulda Pálsdóttir for reading over the final version of the text. This research was made possible by the University of Iceland, the National Museum of Iceland, the Institution of Gunnar Gunnarson, the Leonardo da Vinci Fund, Archaeology Fund and the University Research Fund. Notes 1 Steinsson, ‘Saga munklífis á Skriðu’. 2 Hallgrímsdóttir, ‘Húsakostur Viðeyjarklausturs’; Mímisson ad Einarsson, ‘Ora et labora’. 3 Kristjánsdóttir, Skriðuklaustur – híbýli helgra manna. 4 Kristjánsdóttir, ‘The Tip of the Iceberg’. 5 Harðarson, ‘Klausturgarðar’; Kristjánsdóttir, ‘Skriðuklaustur Monastery – a Medical centre of Medieval Iceland’; and Kristjánsdóttir, ‘Icelandic Evidence for Late-Medieval Hospital’. 6 Zoëga, Fornmeinafræðileg rannsókn á fimm beinagrindum; Pacciani, Anthropological Description of Skeletons from Graves No. 4, 62, 63, 65, 66, 67 and 68; Pacciani, Anthropological Description of Skeletons from Graves No. 5, 17, 27, 34, 54, 74 and 75; Pacciani, Anthropological Description of Skeletons from Graves No. 83, 84, 85, 87, 88, 95, 96, 97 and 99; Pacciani, Anthropological Description of Skeletons from Graves No. 123, 124, 125, 126, 127, 128, 129, 130, 131, 132, 133, 134, 135, 136, 141, 142, 143, 145 and 146; Brandt, Osteological Analysis; Ricci, Osteological Analysis; Kristjánsdóttir and Collins, ‘Cases of Hydatid Disease in Medieval Iceland’; and Collins, An Osteological Analysis. 7 Kristjánsdóttir and Collins, ‘Cases of Hydatid Disease in Medieval Iceland’; Kristjánsdóttir, ‘The Tip of the Iceberg’, 54–8. 8 Kiple, ‘The History of Disease’, 25; Waldron, Palaeopathology, 103. 9 Waldron, Palaeopathology, 103, 106. 10 Hackett, Diagnostic Criteria for Syphilis; Waldron, Palaeopathology, 103, 106. 11 Waldron, 106–8. 12 Crosby, ‘The Early History of Syphilis: a Reappraisal’; Kiple, ‘The History of Disease’, 31–2; and Waldron, Palaeopathology, 104–5. 13 Waldron, Palaeopathology, 104–5. 14 Anderson, et al., ‘Suspected Endemic Syphilis’. 15 Buzhilova, ‘Medieval Examples of Syphilis’. 16 Mays, Crane-Kramer, and Bayliss, ‘Two Probable Cases of Treponemal Disease’. 17 Møller-Christensen, Æbelholt kloster, 196–8; Rasmussen, et al., ‘Mercury Levels in Danish Medieval Human Bones’. 18 Hutchinson and Weaver, ‘Two Cases of Facial Involvement’. 19 Crosby, ‘The Early History of Syphilis: A Reappraisal’; Waldron, Palaeopathology, 105; see also cases mentioned earlier from North Carolina in Hutchinson and Weaver, ‘Two Cases of Facial Involvement’; and Mays, Crane-Kramer, and Bayliss, ‘Two Probable Cases of Treponemal Disease’. D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 416 SCANDINAVIAN JOURNAL OF HISTORY 20 See, for example, Crosby, ‘The Early History of Syphilis: a Reappraisal’; Waldron, Palaeopathology. 21 Kiple, ‘The History of Disease’, 18. 22 Crosby, ‘The Early History of Syphilis: a Reappraisal’, 218. 23 Pacciani, Anthropological Description of Skeletons from Graves No. 123, 124, 125, 126, 127, 128, 129, 130, 131, 132, 133, 134, 135, 136, 141, 142, 143, 145 and 146, 54–8. 24 Rawcliffe, Leprosy in Medieval England; Magilton, Lee, and Boylston, ‘Lepers Outside the Gate’; and Gilchrist and Sloane, Requiem. The Medieval Monastic Cemetery in Britain, 154–6. 25 Møller-Christensen, Æbelholt kloster, 196. 26 See, for example, Møller-Christensen, Æbelholt kloster, 190–3; Gilchrist and Sloane, Requiem. The Medieval Monastic Cemetery in Britain, 63–6, 72, 205–6; and Metzler, Disability in Medieval Europe. 27 Møller-Christensen, Æbelholt kloster, 136. 28 Gilchrist and Sloane, Requiem. The Medieval Monastic Cemetery in Britain, 63. 29 Shorter, ‘Primary Care’, 108–9; Rasmussen, et al., ‘Mercury levels in Danish Medieaval Human Bones’. 30 Þorláksson, ‘Frá kirkjuvaldi til ríkisvalds’, 124; Ísberg, Líf og lækningar, 162. 31 See Ísberg, Líf og lækningar, 162–3. 32 Crosby, ‘The Early History of Syphilis: a Reappraisal’, 218–20. 33 Stefánsson, ‘Kirkjuvald eflist’, 81–5; Sigurðsson, Det norrøne samfunnet, 161–76. 34 Þorláksson, ‘Frá kirkjuvaldi til ríkisvalds’, 30–48. 35 Sveinbjarnardóttir, Leirker á Íslandi/Pottery Found in Excavations in Iceland, 131–2. 36 Gilchrist and Sloane, Requiem. The Medieval Monastic Cemetery in Britain, 63. References Anderson, T., C. Archini, S. Anda, A. Tangerud, and G. Robertsen. ‘Suspected Endemic Syphilis (Treponarid) in Sixteenth-Century Norway’. Medical History 30 (1986): 341–50. Brandt, C. Osteological Analysis of Graves 175, 176, 177, 182, 183, 184, 185, 188, 191, 192, 194 and 196 from Skriðuklaustur Monastery. 2010. http://notendur.hi.is/sjk/ CBHUM_2010.pdf Buzhilova, A. ‘Medieval Examples of Syphilis from European Russia’. International Journal of Osteoarchaeology 9 (1999): 271–6. Collins, C. An Osteological Analysis of the Human Remains from the 2009 Excavation Season at Skriðuklaustur, East Iceland. Skýrslur Skriðuklaustursrannsókna XXVII. Reykjavík: Skriðuklaustursrannsóknir, 2010. Crosby, A. W. ‘The Early History of Syphilis: A Reappraisal’. American Anthropologist 71 (1969): 218–27. Gilchrist, R., and B. Sloane. Requiem. The Medieval Monastic Cemetery in Britain. London: Museum of London Archaeological Service, 2005. Hackett, C. J. Diagnostic Criteria for Syphilis, Yaws and Treponarid (treponemastoses) and of Some other Diseases in Dry Bones (for use in Osteo-Archaeology). Berlin: Springer, 1976. Hallgrímsdóttir, M. ‘Húsakostur Viðeyjarklausturs’. MA diss., University of Iceland, 1993. Harðarson, S. B. ‘Klausturgarðar’. In Skriðuklaustur, evrópskt miðaldaklaustur í Fljótsdal, ed. Hrafnkell Lárusson and Steinunn Kristjánsdóttir, 101–11. Skriðuklaustur: Gunnarsstofnun, 2008. D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 http://notendur.hi.is/sjk THE POISONED ARROWS OF AMOR 417 Hawtin, T. Human Remains from Skriðuklaustur 2004. Skýrslur Skriðuklaustursrannsókna XII. Reykjavík: Skriðuklaustursrannsóknir, 2006. Hutchinson, D. L., and D. S. Weaver. ‘Two Cases of Facial Involvement in Probable Treponemal Infection from Late Prehistoric Coastal North Carolina’. International Journal of Osteoarchaeology 8 (1998): 444–53. Ísberg, J. Ó. Líf og lækningar: Íslensk heilbrigðissaga. Reykjavík: Hið íslenska bókmenntafélag, 2005. Kiple, K. F. ‘The History of Disease’. In The Cambridge History of Medicine, ed. R. Porter, 10–46. Cambridge: Cambridge University Press, 2006. Kristjánsdóttir, S. ‘Skriðuklaustur Monastery – a Medical Centre of Medieval Iceland’. Acta Archaeologica 79 (2008): 208–15. ——.‘Icelandic Evidence for Late-Medieval Hospital: excavations at Skriðuklaustur’. Medieval Archaeology 54 (2010): 371–81. ——.‘The Tip of the Iceberg – the Material of Skriðuklaustur Monastery and Hospital’. Norwegian Archaeological Review 43, no. 1 (2010): 44–62. ——. Skriðuklaustur – híbýli helgra manna. Áfangaskýrsla fornleifarannsókna 2010. Skýrslur Skriðuklaustursrannsókna XXVIX. Reykjavík: Skriðuklaustursrannsóknir, 2011. Kristjánsdóttir, S., and C. Collins. ‘Cases of Hydatid Disease in Medieval Iceland’. International Journal of Osteoarchaeology 21 (2011): 479–86. Magilton, J., F. Lee, and A. Boylston. ‘Lepers Outside the Gate’: Excavations at the Cemetery of the Hospital of St James and Mary Magdalene, Chichester, 1986-1987 and 1993. York: Council for British Archaeology, 2008. Mays, S., G. Crane-Kramer, and A. Bayliss. ‘Two Probable Cases of Treponemal Disease of Medieval Date From England’. American Journal of Physical Anthropology 120 (2003): 133–43. Metzler, I. Disability in Medieval Europe. Thinking about Physical Impairment during the High Middle Ages, c. 1100–1400. London: Routledge, 2006. Mímisson, K., and B. F. Einarsson.‘“Ora et labora”. Efnisveruleiki klausturlífs á Kirkjubæjarklaustri’. In Endurfundir, ed. Guðmundur Ólafssonand Steinunn Kristjánsdóttir, 86–98. Reykjavík: Þjóðminjasafn Íslands, 2009. Møller-Christensen, V. Æbelholt kloster Copenhagen: Nationalmuseet, 1982. Pacciani, E. Anthropological Description of Skeletons from Graves no. 4, 62, 63, 65, 66, 67 and 68 at Skriðuklaustur Monastery. Skýrslur Skriðuklaustursrannsókna XIV. Reykjavík: Skriðuklaustursrannsóknir, 2006. ——. Anthropological Description of Skeletons from Graves no. 5, 17, 27, 34, 54, 74 and 75 at Skriðuklaustur Monastery. Skýrslur Skriðuklaustursrannsókna XVIII. Reykjavík: Skriðuklaustursrannsóknir, 2008. ——. Anthropological Description of Skeletons from Graves no. 83, 84, 85, 87, 88, 95, 96, 97 and 99 at Skriðuklaustur Monastery. Skýrslur Skriðuklaustursrannsókna XXII. Reykjavík: Skriðuklaustursrannsóknir, 2009. ——. Anthropological Description of Skeletons from Graves no. 123, 124, 125, 126, 127, 128, 129, 130, 131, 132, 133, 134, 135, 136, 141, 142, 143, 145 and 146 at Skriðuklaustur Monastery. Skýrslur Skriðuklaustursrannsókna XXVIII. Reykjavík: Skriðuklaustursrannsóknir, 2010. Rasmussen, K. L., J. L. Boldsen, H. K. Kristensen, L. Skytte, K. L. Hansen, L. Mølholm, P. M. Grootes, M.-J. Nadeau, and K. M. F. Eriksen. ‘Mercury Levels in Danish Medieaval Human Bones’. Journal of Archaeological Science 35 (2008): 2295–306. Rawcliffe, C. Leprosy in Medieval England. Woodbridge: Boydell, 2006. D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 418 SCANDINAVIAN JOURNAL OF HISTORY Ricci, G. Osteological Analysis of Graves 174, 181 and 195 from Skriðuklaustur Monastery. 2010. http://notendur.hi.is/sjk/GRHUM_2010.pdf Shorter, E. ‘Primary Care’. In The Cambridge History of Medicine, ed. R. Porter, 103–35. Cambridge: Cambridge University Press, 2006. Sigurðsson, J. V. Det norrøne samfunnet. Vikingen, kongen, erkibiskopen og bonden. Oslo: Pax forlag, 2008. Stefánsson, M. ‘Kirkjuvald eflist’. In Saga Íslands, vol. 2, ed. S. Líndal, 57–145. Reykjavík: Hið íslenska bókmenntafélag and Sögufélagið, 1975. Steinsson, H. ‘Saga munklífis á Skriðu í Fljótsdal’. Cand. theol. diss., University of Iceland, 1965. Sveinbjarnardóttir, G. Leirker á Íslandi/Pottery Found in Excavations in Iceland. Reykjavík: University of Iceland Press, 1996. Þorláksson, H. ‘Frá kirkjuvaldi til ríkisvalds’. In Saga Íslands, vol. 6, ed. S. Líndal, 57–145. Reykjavík: Hið íslenska bókmenntafélag og Sögufélagið, 2003. Zoëga, G. Fornmeinafræðileg rannsókn á fimm beinagrindum úr klausturgarðinum á Skriðu. No. 23, 29, 30, 33 og 43. Rannsóknarskýrslur 2007/61. Sauðárkróki: Byggðasafn Skagfirðinga, 2007. Waldron, T. Palaeopathology. Cambridge: Cambridge University Press, 2009. Steinunn Kristjánsdóttir, Ph.D., Associate Professor, Department of Archaeology, Faculty of History and Philosophy, University of Iceland and National Museum of Iceland. She has directed the archaeological excavation at the monastic site of Skriðuklaustur, in eastern Iceland, since 2000. Address: Department of Archaeology, University of Iceland, 101 Reykjavík, Iceland. [email: sjk@hi.is] D ow nl oa de d by [ S te in un n K ri st já ns dó tt ir ] at 0 3: 37 2 9 S ep te m be r 20 11 http://notendur.hi.is/sjk/GRHUM_2010.pdf mailto:sjk@hi.is 
work_6swyshtmuvcalpy3enxgzys5gu	----	Antiquity V O L . L V I I N o . 2 2 0 J U L Y 1 9 8 3 Editorial We begin with a correction and an apology. I n our discussion of the use of ad/bc for uncalibrated dates and A D / B C for calibrated dates, sparked off by the criticisms of Professor D r W. G . Mook of Groningen, we attributed comments to Richard Burleigh which were in fact from a letter by Dr Roy Switsur (Antiquity, 1983, p. 5 , col. I , lines 7-18). Will bibliographically minded readers make this correction and note also that the date of Clark’s paper was, as correctly stated elsewhere, 1975 ? Meanwhile, for the benefit of all historically minded scholars, like ourselves, we can report that D r Justin Schove, Principal of St David’s College, Kent, is the originator of our bc/ad BC/AD system as D r Roy Switsur suggested (Antiquity, 1983, 4). D r Schove writes: The use of lower-case letters for uncalibrated radio- carbon dates seemed necessary in the 1960s partly because archaeologists and climatologists often for- got to specify whether their dates were or were not calibrated and confused the two. This is sometimes still the case. As a believer in Suess wiggles I felt also that uncalibrated dates should be published as the usual conversion tables smoothed the time-scales unnecessarily. Professor Mook’s laboratory a t Groningen thus later confirmed that whereas 3400 BC converted to 4700 bp but 3300 ~ c t o 4 5 0 0 bp, 4700 bp converted to the range 3500 -3400 and 4600 bp to the range 3350-3200 BC. T h e suggestions were given first in a short paper in the Royal Meteorological Society’s 1966/7 publication ‘World Climate 8000-0 BC’ on pp. 52-53, although printer’s confusion necessitated errata to the first printing given on p . 234. T h e ‘British’ system h a s been accepted by several international committees and is indeed being adopted in some books published in the Netherlands (e.g. eds Creer e t al., ‘Geo- magnetism of baked clays and recent sediments’, Elscvier; and eds, Schove & Fairbridge, ‘Ice-cores, varves and tree rings’, Balkema). I n a Benchmark book published in America (D. J . Schove, ‘Sunspot Cycles’, Hutchinson Ross Publishing Company, Stroudsburg, Pa, 1983) tables of bp and BC/AD dates are given (e.g. Appendix C). Little Ice Ages are thus dated on the bp scale as 4575, 3225, 2800 and 2300 and on the BC scale as C. 3375, c. 1575, C. 1030 and C. 500. 8 Unlike the United Kingdom, the Common- wealth of Australia is a member state of the World Heritage Convention. Late last year, Southwestern Tasmania was inscribed upon the list of properties of the World Cultural and Natural Heritage, because its status was such that it met all four natural criteria and half of the six cultural criteria. However, Tasmania’s State government proposes to construct a hydro-electric dam in the heartland of this region, thereby drowning all known major archaeological places, and destroying a botanical wilderness. T h e recent Federal Labour government election landslide was assisted by its pledge to save the Gordon and Franklin river valleys from destruc- tion. Whether it can honour its promise will depend upon its strength of conviction, because i t could become embroiled in constitutional issues concern- ing the rights of individual states in the Federation to determine matters within their borders. Mean- while, the Tasmanian government pursues its dam construction with vigour. World archaeological opinion has been emphatic- ally conservationist. Several months ago, over a score of prominent British, Canadian, New Zealand and United States prehistorians and kindred dis- ciplines wrote to the then Prime Minister, urging preservation policies. Science (218, 3 Dec. 1982) and Nature (23/30 Dec. 1982, 6 Jan. 1983) ex- pressed similar clear views o n the matter. So did the Indo-Pacific Prehistory Association and the Pacific Science Congress, at recent meetings in New Zealand. An all-Party Committee of the Australia Senate reported adversely against the dam proposals last November, concluding that, ‘apart from any other reasons for preserving the area the caves are of such importance that the Franklin River be not inun- dated’. 82 A N T I Q U I T Y These valleys contain forests which are botanical relics from the great southern continental mass, Gondwanaland. Living Huon pine survive which exceed 2,000 years in age; recent radiocarbon dating established that two fallen trunks in another valley have lain preserved for 7,000 and 12,000 years respectively. T h e possibilities offered in these moss-covered valleys for dendrochronological and radiocarbon correlation with the Bristlecone pine- derived chronology are challenging. People occupied the valley at least 20,ooo years ago, constituting the furthest southerly penetra- tion of the ice age world, at a period when glaciers covered the nearby mountains. T h e y evidently abandoned these open grasslands some 15,000 years ago, when increasing humidity encouraged dense rain forest. These caves are therefore contemporary with those of Upper Palaeolithic Europe, and represent time capsules of economic and cultural data of immense importance. Both the quantity and quality of preservation of cultural material, fauna and pollen, are virtually unprecedented in Australia. They also constitute places of immense spiritual and symbolic significance to Australian Aboriginal people. I t is ironic that one decade of ‘progress’ to pro- duce a mere zoo megawatts of electricity could submerge this entire world of ancient plants and people. We are pleased to learn that both the Australian Archaeological Association and the Australian Association of Consulting Archaeolo- gists, are taking a firm stance in this debate. We concur with the Senate Select Committee ‘that Australia’s world reputation would be badly tarnished if such significant discoveries were to be lost’. 8 When Mark Gregson was killed in a car accident in 1982 at the age of 24 his colleagues and friends decided to put together some of his unpublished papers with their own comments. T h i s book has now been published, edited by Keith W. Ray, entitled Young archaeologist : collected unpublished papers, contributions to archaeological thinking and practice from Mark S. Gregson (Cambridge, September 1982). I t was an excellent idea to produce this book which can be obtained (price Er2) from his parents (H. Gregson Esq., South Stack, 295 S t John’s Road, Clacton-on-Sea, Essex CO16 8DE). Some, if not all, of the proceeds of the sale will go to boost the Gregson Memorial Fund in the Department of Archaeology in the University of Cambridge. I n this book we can see the contribution Gregson was already beginning to make to archaeological thinking and practice, and what a loss his death has been. I n addition to Gregson’s own papers there are sympathetic and interesting papers by Mike Corbishley, Alison Taylor, Peter Woodward, David Baker, Francis Pryor, and Keith Ray. a When Professor Ole Klindt-Jensen died sud- denly in June 1980 at the age of 6 2 (Antiquity, 1980, 169-70) the University of Aarhus established a Klindt- Jensen Memorial Lecture in Archaeology and Ancient History, and the first of these lectures was given by the Editor of ANTIQUITY in the Forhistorisk Museum at Moesgaard on 2 March of this year to an audience which included H.M. the Queen of Denmark, the British Ambassador to Denmark, Rektor Vandel of Aarhus University, and Riksantiqvariet Olaf Olsen. I t was nice to be back in Aarhus and on this occasion we were re- ceived by the Rektor of the Cathedral School where Ole Worm was a student-that remarkable character was son of the Mayor of Aarhus. A splendid portrait of Olaus Wormius hangs in the Headmaster’s office and we were able to look, for the first time, at Worm’s published letters (the press mark is Havnia, 1761) which include a fascinating correspondence with Sir Henry Spelman. After taking his medical degree at Basel, Worm went to England and practised as a doctor there before taking up his post as Professor of the Humanities in Copenhagen. Probably he met Spelman then ; the DNB gives his date of birth as ?1564, and certainly when Worm was back in Denmark (he became Professor of Greek in 1615 and Medicine in 1624-what a generous poly- mathic age the seventeenth century was!), he was corresponding with Spelman about tumuli and runes and the genealogy of families and about the real meaning of the names Goths, Celts, and Saxons in early times. Henry Spelman is, we think, an under-estimated man in the development of antiquarianism and scholarship. H e was a member of the original Society of Antiquaries and after the Society was discontinued in 1604 he went on trying to resusci- tate it but was frustrated by the prohibition of James I. Spelman was one of the first who realized that to understand the past of Britain we must be able to read Anglo-Saxon and study all the manu- E D I T O R I A L 83 script sources that exist from pre-Norman times. H e came across a man called Abraham Wheelocke (his name in the DNB is given the various spellings of Wheelock, Whelocke, Whelock and Wheloc) whose dates are 1593-1653: he became Librarian and amanuensis in the Cambridge University Library and the first Professor of Arabic in Cam- bridge, a chair endowed by Sir Thomas Adams (1586-1667). Spelman wrote to his friend Wheel- ocke discussing the possibility of founding an Anglo-Saxon lectureship in Cambridge and said in a letter of 28 September 1635, ‘We must not launch out into the deep before we know the points of the compass.’ (Words which might be put on a card in front of the desks of most Old Archaeolo- gists and all New Archaeologists.) T h e lectureship was established and endowed with the stipend of the impropriate rectory of Middleton. Wheelocke was appointed to it but he was the first and last holder of this post. When he died in 1657 it lapsed and the stipend of the rectory of Middleton was paid to William Somner towards the expense of completing his Saxon dictionary. a I t is surprising that though the first archaeologi- cal air photograph was taken from a balloon in 1906, and Wessex from the air was published in 1928, no general handbook for archaeologists telling them how to interpret air photographs has existed until now. This book, Air photo interpreta- tion for archaeologists by D. R. Wilson (212 pp, 121 photographs, London: Batsford, 1982, 49.95 limp, 417.50 cased), by a man who has worked for 17 years in the Department of Aerial Photo- graphy in the University of Cambridge and suc- ceeded Professor St Joseph as its Curator in 1980, fills this need and does so admirably. I t can now be revealed, though it has been an open secret for many years, that as St Joseph was moving to his retirement the University of Cambridge very properly considered the future of the Department he had so successfully created and run. A wrong- headed Committee recommended that the Depart- ment should be reduced to an archive, but eventu- ally the powers of darkness that lurk only too often in the uninformed back-corridors of academic power were defeated and the Department survives with its own aircraft and pilot; long may this continue. In this manual Wilson takes us through the techniques of air photography and of interpretation simply and clearly and it is healthy to find him insisting that one must see the ground and look at photographs with the shadows falling towards one. A brilliant example of this is shown in the pair of photographs of Walton Hall, Warwickshire (p. 32). Wilson is very good in discussing the pitfalls of interpretation, namely natural features and recent man-made features. Among natural features he has good photographs of ice wedge polygons, parch- marks, jointing in limestone, collapsed frost mounds and frost cracks, and limestone solution holes. His examples of modern features include spoil heaps from coalmining near Tankerlet, the site of a fete at Orsett Heath, the riding school at Wramplingham, and emplacements of the 1939-45 war. T h e appreciation of the fact that everything on an air photograph is not made by prehistoric man is a very important lesson to be learnt by interpreters in peacetime, just as in war it was im- portant that interpreters did not mistake normal features of the cultural landscape for military targets. Generations of archaeological under- graduates shown the Yarnbury photograph in Wessex from the air (Pl. vi) could never condition themselves to think of sheep-pens and fairs; everything had to be very old. And we recall, wryly, being excited by discover- ing in 1941 on air photographs of occupied France what we thought were clear traces of prehistoric villages at low water in many places on the Norman and Breton coasts. Stuart Piggott and Terence Powell shared our excited discovery and we began to think that perhaps archaeologists serving as military interpreters in the war might pick up all sorts of discoveries, as the late lamented John Bradford most certainly did in southern Italy. But our prehistoric villages did not exist. We showed the pictures to that omniscient man, Charles Phillips (who once said to a photographic inter- preter wrestling with pictures of a Hungarian city, ‘If there was a second railway station there, I would have known about it’), and he looked at us all with that kind and sympathetic glance which always meant that he was dealing with ignoramuses, ‘Good heavens,’ he said, ‘I’ll excuse Stuart and Terence but not you. You’ve been to Brittany so often. Oyster beds, my boy. Oyster beds.’ And of course that is what they were. Wilson omits to tell us two things: first, how to buy a portable stereoscope for studying overlapping prints, and secondly, how to arrive at the scale of a vertical air photograph by calculating from the flying height of the aircraft and the focal length of 84 A N T I Q U I T Y the camera. These omissions can be put right in future editions of a book which is clearly going to be indispensable to all archaeologists for many years. T o the new interpreter it provides helpful and clear instruction, t o the experienced inter- preter a joyous collection of old and new photo- graphs-and an occasional belly-laugh like the wrongly laid out football pitch at King’s Lynn (p. 16). T h e photograph of the University Parks in Oxford is fascinating-beneath the University’s cricket field and two hockey pitches are a complex of prehistoric and Roman sites, A very well produced and, as it had to be, a very well illus- trated book ; the bibliography is printed in very small type. a We draw attention to a new journal, theJournal of Danish Archaeology, produced by the Odense University Press; it is edited by Kristian Kristiansen and Poul Otto Nielsen, assisted by an Editorial board of 24 including Ssren Andersen, 0. Crumlin-Pedersen, David Liversage, H. J. Madsen, Peder Mortensen, Elisabeth Munks- gaard, Henrik Tauber and Henrik Thrane-to mention invidiously a few of that distinguished corps d e ballet. I t is published in one annual volume and the annual subscription rate is IIO Danish Kroner, excluding postage. Subscriptions should be sent to the Odense University Press, 36 Pjentedamsgade, DK-5000, Odense Co., Denmark. T h e preface to the first volume (signed by Hans Rostholm as well as the two editors) declares that: The background for launching JD,4 is the increas- ing pile-up of unpublished excavations that has accompanied the expansion of archaeology in Denmark in the 1960s and even more in the 1970s. Only a small selection of these many investigations have found their way into the established periodicals. In this way there has been a n increasing disagree- ment between the existing publication structure and expanding needs. Moreover the established periodi- cals have been a t the disposal mainly of archaeolo- gists a t the universities and central museums while today the majority of Danish archaeologists work at regional museums. It is the editorial committee’s hope that the appearance of J D A will help to remove these discrepancies and bring published knowledge more in line with the existing. T h e first number has 17 articles (including Niels Andersen on a neolithic causewayed camp at Trelleborg underneath the Viking Age ring-fort, Harder Ssrensen on the use of air photographs in Celtic field studies in Denmark, Karsten Davidsen on bronze age houses, David Liversage on an early neolithic ritual structure on Sejern, Henrik Thrane on a research policy for bronze age settle- ments), eight reviews, and 25 pages of notes on recent excavations and discoveries in Denmark. We welcome this very well-produced and excellently edited new journal: no one concerned with the archaeology of northern Europe can afford to be without it. a We had hoped that Professor Barry Fell had shot his bolt with America BC and Saga America, but, alas, not so. Here comes Bronze Age America, the third, and please God the last, of these bizarre accounts of his invented past of America before Leif Erikson and Christopher Columbus: his trilogy of fairy stories for foolish fabulists. I n America BC (1976) he described roving Celtic mariners crossing the Atlantic from Iberia, establishing settlements in New England and Oklahoma, followed or accompanied by other colonists from Europe and North Africa speaking Basque, Phoenician and Libyan. Latin numerals, calendar systems, and ancient Greek astronomical knowledge were, he told us, brought to America then. T h i s tarradiddle of rubbish sold like the hot cakes of apostasy, and in 1980 there appeared Saga America in which we are told that pre-Columbian Europeans and North Africans crossed the Indian and Pacific oceans as well as the Atlantic and settled in California and Nevada from the third century BC, and that there is rich evidence of a Chinese presence, and an early Arabic presence, including (yes, believe it or not) the decorative signature of the Prophet Mohammed. T h e name America, according to the deluded D r Fell, is nothing to do with Amerigo Vespucci, but comes from a Libyan word meaning ‘land across the ocean’. (Reviewed, Antiquity, I 980, LIV, I 54 -5 .) So far, so bad-twice round the bend and well up to winning the lunatic stakes and the Von Daniken Cup. What fresh follies and fantasies were we to be subjected to, we wondered, as we opened the pages of Bronze Age America (304 pp. 220 figs. and photographs, 1982, Boston and Toronto: Little, Brown & Company, L9.95). Had the emeritus Professor of Biology at Harvard made i t ? Yes, he has. This beats all the other runners from Elliot Smith to M r s Maltwood, John Michell, C. E. Joel, Alfred Watkins, Uncle T o m Cobbleigh and all. Here we are told that seventeen centuries E D I T O R I A L 85 BC a Nordic king called Wodenlithi sailed across the Atlantic, reaching the neighbourhood of Toronto, and established a trading colony with a religious and commercial centre at what is now Peterborough, leaving behind an inscription recording his visit, his religious beliefs, a standard of measures for cloth and cordage and an astronomical observatory for determining the Nordic Calendar Year. ‘Flotillas of ancient Norse, Baltic and Celtic ships’, he tells us (p. 288), ‘each summer set their prows to the north-west, to cross the Atlantic, to return later in the season with cargoes of raw materials furnished by the Algonquins with whom they traded.’ When I am next in the Blue Bar of the Algonquin Hotel on West 44th Street in New York I will lift a glass in desperation and despair to learned Pro- fessors from Elliot Smith to Barry Fell and van Sertima who degrade scholarship and besmirch good sound learning by their opinionated and ignorant oddities. Elliot Smith, himself with Perry a prominent peddlar of pernicious and private prehistories, once said, ‘The set attitude of mind of a scholar may become almost indistinguishable from a delusion.’ Fell is a sadly, badly, unhappily deluded man. Most readers of this journal will, fortunately, not share his delusions, or accept his flotillas of fantasies, but the commuters crowding round the bookstalls at Grand Central Station and Harvard Square will be tempted to buy the book. T h e title is good and a catch-dollar, but it is out- rageous that his publishers in England demand E I O for this fumbling farraginous charade. 8 We are sometimes accused of paying too much attention in the Editorials of ANTIQUITY to the lunatic fringes of our subject, but we quote again with warm approval the words of Professor Jeremy A. Sabloff which we quoted in our November 1982 issue (p. 165): ‘It is the responsi- bility of archaeologists to correct the misinformed perspectives of the discipline of archaeology that many members of the popular media and the general public seem to have.’ T h i s was not the view of an earlier generation of archaeologists : Mortimer Wheeler was of the view that bad books and cranky books should not be reviewed, and Crawford was also against bothering about crack- pots and cranks except for refusing t o print advertisements for Watkins’s The old straight track. I n 1935 Gordon Childe surprisingly ended his Presidential Address to the Prehistoric Society with these words: ‘It is the peculiarly British practice t o ignore in scientific discussions the groundless hypotheses of amateurs and cranks, however much publicity these may have in the provincial press. Whether that result [sic] from laziness, snobbishness, the law of libel or a sound historical tradition I do not know. My references to unacceptable theories of diffusion will emphasize my silence on the much advertised drivellings of charlatans’ ( P P S , 1935, I S ) . We therefore welcome and warmly applaud the courage of the Editors of Popular Archaeology in devoting much of their February 1983 number to a discussion of some widely held crankeries such as the Glastonbury zodiac, dowsing (with the good results that can come from it), and particularly ley lines: indeed the issue is called ‘ T h e Great Debate: living leys o r laying lies’, and devotes six pages to a lively debate on leys between Aubrey Burl and John Michell. I t all makes very good reading, and is gutsy stuff. 8 I t has been announced that the X I t h Congress of the Union Internationale des Sciences Pr6- historiques et Protohistoriques will be held in Great Britain (in Southampton and London) from I to 7 September 1986, and the first circular has gone out to 20,000 individuals and institutions all over the world. T h e national secretary is Professor Peter Ucko, Department of Archaeology, Univer- sity of Southampton, Southampton SO9 gNH, England, and those who have not yet received the first circular should write to him. I n a message in the first circular the Secretary says: T h e suggested format of this Congress is different from previous ones. T h e participation of profes- sional academic archaeologists continues, of course, to be crucial to the success of the Congress but, in addition, the 1986 Major Themes are designed to widen the field of participants to include those from all continents, countries, nations and cultural groups who are in any way involved in studying the past, whether as guides, or as custodians of monu- ments, or as trainees on excavations, or involved in some other way with archaeological projects. Personally I believe that the major aims of the Congress will have succeeded only if in 1986 new and continuing dialogues are established between people from diverse backgrounds with diverse pre- conceptions who share a common interest in compre- hending the cultural processes which have con- tributed to past human cultures. I t is my intention that out of this Congress there will develop an increased understanding and appreciation of our 86 A N T I Q U I T Y global heritage and the variety of attitudes that we bring to it. With these unusual aims in mind, it is essential that news of the 1986 conference reaches as wide an audience as possible. There is one alarming sentence at the end of the first circular, namely that the Congress registration fee is likely to be in the region of A200. T h e National Heritage Bill is a matter of very great concern to all involved with our British past and its provisions are of interest to many in other countries as we found on recent visits to Copen- hagen and Paris. We asked Professor Renfrew, who is himself a member of the Ancient Monu- ments Board for England and of the Royal Com- mission on Historical Monuments for England, t o comment o n these far reaching changes. H e writes: T h e legislation now before Parliament, the National Heritage Bill, which is likely to be law by the time these pages are in print, will bring about the most far-reaching reorganization in England’s provisions for its archaeological heritage since the original Ancient Monuments Protection Act of 1882. That far-sighted legislation first publicly defined (and listed) ancient monuments in Britain, and provided for Commissioners of Works to act as their guard- ians. Later acts placed ‘guardianship’ monuments under the care of the Secretary of State for the Environment, and established Ancient Monuments Boards for England, for Scotland and for Wales to advise him. The new bill incorporates many of these pro- visions : there will still be ‘guardianship’ monuments, directly placed under official care, and ‘scheduled’ monuments, which are on an official list and which it is an offence to damage, but which in practice are often afforded little effective protection under the existing (or the new) legislation. T h e new National Heritage Act will abolish (or radically reduce) the Directorate of Ancient Monuments of the Depart- ment of the Environment, and with i t the Inspectors of Monuments. Most of its activities will be taken over by a new, official but non-governmental body, to be called T h e Historic Buildings and Monu- ments Commission. (The position for Scotland and for Wales will be unchanged by the Act, and the Ancient Monuments Board for each will continue to function.) Although the new Commission will take on most of the functions of the former Directorate, the Secretary of State will still carry out such govern- mental functions as ‘scheduling’ monuments, or granting ‘scheduled monument consent’ to land- owners seeking planning permission for building works and the like. T h e Ancient Monuments Board for England and the Historic Buildings Council for England will be abolished. There will be up to seventeen Commissioners, appointed by the Secre- tary of State, and they will (with his approval) appoint a chief officer and a staff. It is these Com- missioners who will in practice administer the monuments held in guardianship (except the Royal Palaces and the Tower of London). They will like- wise control the budget for rescue archaeology in England. Whether all this amounts to a good thing or a bad thing remains to be seen. Certainly it will, as Michael Heseltine (then Secretary of State for the Environment) intended, allow for more energetic promotion of the various ‘guardianship’ monuments. His original consultative document called for ‘entrepreneurial flair’, and the legislation requires that some of the Commissioners should have knowledge or experience of ‘tourism, commerce and finance’ as well as the more obvious fields of ‘archaeology, architecture, the history of archi- tecture, and the preservation or conservation of monuments or buildings’. Some imaginative promotion might be no bad thing, at a time when visitor figures have been falling at many sites in the Department’s care, in contrast to the buildings owned by the National Trust. T h e major concern, however, is that the Commis- sion will be too preoccupied (like Michael Heseltine himself, as some critics have pointed out) with the historic buildings in its care, and with the concern of attracting visitors to them, and insufficiently aware of its wider responsibilities. There are, after all, only 400 guardianship monuments and buildings in this country, as against 1 2 , 5 0 0 scheduled monuments (to say nothing of 275,000 listed buildings), and an estimated 500,ooo further archaeological sites with- out official protection of any kind. Will the new Commission concern itself sufficiently about these, which in reality constitute the greater part of our national heritage ? T h e new Act makes little reference to rescue archaeology (and none at all to the Ancient Monuments Laboratory), so that the emphasis given to this crucial area of activity will be very much a matter for the Commissioners themselves to decide. The way they interpret these responsibilities will be of crucial importance. T h e only body in England with statutory responsi- bilities in this area which is not mentioned in the Bill is the Royal Commission on Historical Monu- ments for England. The Royal Commission has had, since the beginning of this century, the task of recording the ancient monuments and historic buildings of the land. I t does this with a team of investigators, who also maintain the National Monuments Record (held at Savile Row in London). The Royal Commission publishes the handsome E D I T O R I A L 87 and authoritative county inventories and a range of other publications. O n I April it will absorb many of the remaining staff of the former Archaeology Divi- sion of the Ordnance Survey. Until the last moment, it was uncertain whether the Government would seek to incorporate the Royal Commission within its newly created agency. T h e Royal Commission itself (whose Chairman is Lord Adeane, and Secretary D r Peter Fowler) wished to retain its independent status, and the Government recently announced in the House of Lords that this was now its own policy. All of which is fine, but certainly leaves the archaeo- logical world with a problem in terminology. Next year I shall be setting my students the question: ‘Distinguish between T h e Historic Buildings and Monuments Commission [for England] and the Royal Commission on Historical Monuments for England’. I wonder how many h1.P.s would score an alpha. T h e real concern among archaeologists, however, is that the great opportunity has been missed of setting up a unified, national Antiquities Service. (And why not include Scotland and Wales too ? T h e answer is, of course, a political one.) Where is the keen awareness that agricultural development (especially deep ploughing) is rapidly destroying a large proportion of what is left of our national heri- tage? One need not doubt the good intentions of those responsible for the new legislation to regret the sadly missed opportunity for a more thorough and thoughtful re-examination of the way we care for our heritage. Nothing is lost so far, however, and there is no a priori reason why the new Commission should not cope at least as well as its predecessor with these broader concerns, as well as exercising appropriate ‘flair’ in its promotional activities. I t is expected to come into operation (appropriately perhaps for a QUANCO with a title in Doublespeak) early in 1984. Does it offer a glimmer of hope that the recently appointed Secretary of State for the Environment, T o m King, who will be responsible for setting u p the new Commission, took Part I of the Cambridge Archaeology and Anthropology T r i p o s ? He must, I think, be the first ever of all those with ministerial responsibility for our heritage to have been so appropriately qualified. T i m e will tell. T h e next couple of years will certainly be crucial for the future well-being and for the further development of archaeology in England. Book Chronicle W e include here books which have been received f o r review, or books of importance (not received f o r review) of which we have recently been informed. W e welcome information about books, particularly in languages other than English, of interest to readers of ANTIQUITY. The listing of a book in this chronicle does not preclude its review in ANTIQUITY. The handbook of British archaeology edited by Lesley Adkins and Roy A. Adkins. London: Macmillan, 1982. 320 p p . , illus. E5.95. The archaeology of Somerset: a review to rgoo AD edited by Michael Alston and Ian Burrow. Taunton : Somerset County Council, 1982 (copies obtainable from the County Planning Department, County Hall, Taunton). 154 p p . , illus. E5.25 + E1.00 p . and p . The Roman and Early Byzantine fortifications of Lower Moesia and Northern Thrace by Malgorzata Biernacka-Lubanska. Ribliotheca Antiqua series, vol. XVII. Wroclazc, Warsaw, Cracow, Gdansk, Lodz : Ossolineuin, f o r the Polish Academy of Sciences. 286 p p . , 156 jigs. 250 z l o t y . Castulo I11 by Jose lLlaria Blazquez Blartinez and Jesus Valiente Malla. Excavaciones arqueologicas en Espaiia. M a d r i d : Ministerio de Cultura, 1981. 300 p p . , I 55 jigs., 28 pls. Atlas of the Roman world by T i m Cornell and John Matthews. Oxford : Phaidon, 1982. 2 4 0 p p . , illus. (many in colour). L I 7 . 5 0 . Falsifications and misreconstructions of Pre- Columbian art edited by Elizabeth H. Boone. Dumbarton Oaks : Trustees for Harvard Univer- sity, 1982. 152 p p . , many illus. $16.00. The art and iconography of late post-Classic central Mexico edited by Elizabeth H. Boone. Dumbarton Oaks : Trustees f o r Harvard University, 1982. 264 p p . , illus. Coastal archaeology in eastern Australia: pro- ceedings of the 1980 Valla conference on Australian prehistory edited by Sandra Bowd- ler. Canberra : Department of Prehistory, Research School of Pacific Studies, Australian National University. 160 p p . , illus. A U S $10.00. Iherir. Klippmalningar frin stenhldern i Centralsahara by Goran Burenhult. Stockholm : Sturejarlaget, 1982. 260 p p . , illus. (many in colour) . E l l e and Ella: Anglo-Saxon kings of North- umbria by Raymond E. 0. Ella. ICfracombe: Stockwell, 1983. 32 p p . , 4 f i g s . , I p l . L I . 5 2 . continued on p . 9 4 
work_6tfbbxja4fe6fhshcneybelw6u	----	PII: S0961-1290(00)90296-5 News Update First diamond UV emitter The Frontier Technology Laboratory (Yokohama, Japan) of the Corporate R&D Department of Tokyo Gas Co Ltd has de- veloped the first dia- mond UV light emitting device Upn. J Appl.Pbys. 39 (15 June 2000) L604-6). Room-temperature operation by current-in- jection is at 235 nm, the shortest wavelength re- ported to date. This could potentially in- crease optical storage density and capacity to 10 times that of red 650 nm AlGaAs laser cur- rently used in DVDs and four times next-genera- tion 400 nm GaN blue lasers (e.g. 4.5 hours of high-density TV per DVD), as well as effi- ciently irradiating fluo- rescent illuminating materials. Grains of diamond are synthesised from isotopi- tally pure (12C) carbon powder (refmed from “lower-value-added” liq- uefied natural gas - main- 1Y methane) under high-pressure (about 50,000 atmospheres) and temperature (1,500”Q.A solvent-catalyst was used to reduce impurities (such as nitrogen) and White LED wins Discover award Fred Schubert, professor of electrical and computer engineering at Boston University’s Photonics Center, is among eight winners of the 11th AlNlUd DISCOVER Magazine Awards for Technological Innovation (presented by the Christopher Columbus Fellowship Foundation). Schubert’s Photon Recycling Semiconductor LED uses at least two different-wavelength light- emitting active regions combined to produce white light. Some blue light emitted from InGaN through the sapphire sub strate is reabsorbed by a second AlInGaP active re- gion (wafer bonded to the first) which re-emits it in the yelIow/omnge/red wavelength range. Alth- ough experimental effi- ciency so far is c 10 lumens/Watt, theoretical efficiency is 300 h/W (vs 280 h/W for phosphor-based wh- ite LBDs). The active regions can also be changed to produce hundreds of different colours. Boston Uni- versity Bled a patent on the PRSLRD in June 1999. _U_ Tel: +16173534626 lattice defects and hence in- crease emis- sion efficiency compared to previous cur- rent-injected emission of semiconduct- ing diamond (which yield- ed only longer wavelengths). Unlike conventional semiconductors, the emission is intrinsic through an intermediate state due to free excitons (an electron-hole pair bound by the Coulomb force and in a stable en- ergy state - even at room temperature in FTL’s dia- mond). The ’ 2C diamond also has record thermal conductivity. TokyoGasCoLtd Tel : +81-35400-7597 Fax : +81-334327629 Comnlete Growth PEDIGREES With Our Breeds of Eni-wafers Ill-Vs Review *Vol.13 No.4 2000 , 7 
work_6uuv7ipdlvh73jyko45lsjszzy	----	Microsoft Word - DRM161BF Editorial Dermatology 1993;186:161-162 SAPHO: The Impossible Acronym E.M. Grosshans Clinique Dermatologique des Hôpitaux Universitaires, Strasbourg, France Edouard M. Grosshans, Clinique Dermatologique des Hôpitaux Universitaires, 1, Place de l’hôpital, F-7091 Strasbourg Cédex (France) The excellent paper of Brandsen et al. [1] dealing with this French-born new concept, the SAPHO [2], deserves some comments. This acronym – Syndrome – Acne – Pus-tulosis – Hyperostosis – Osteitis – emphasizes the occurrence simultaneous or not of cutaneous and osteoarticular disorders and the relationship of chronic, aseptic, neutro-philic, skin-limited, and painful rheumatic diseases. Behind this acronym, one may have the erroneous impression of discovering a ‘new disease’. It is in fact the imaginative creation of a new nosologic concept, which has drawn the attention of dermatologists, awaken their skepticism and will probably have some difficulties to make its way because of the choice of this acronymous effeminated denomination. The rheumatological counterpart is characterized by inflammatory aseptic changes of bones involving chiefly the sternocostoclavicular region, the spine and the sacroiliac joints; peripheral bones may also be involved. The radio-logic changes include osteitis (lytic lesions) and hyperostosis extending to the insertions of tendons and ligaments near the involved joints; they lead to progressive synostosis and ankylosis. The bone scan with 9‰Tc of these osteoarticular lesions discloses an increased uptake of the radioiso-tope. Slight nonspecific biological changes may be observed (increased WBC count and ESR, neither rheumatoid factor nor antinuclear antibodies). It has not yet been demonstrated if the structures primarily involved are the synovial membranes and the cartilages of the joints (arthritis), the bony tissue near the joints (osteitis) or the insertions of tendons, ligaments or capsules around the joints (enthesitis). These bone and/or joint lesions have their own specificity; but they are not necessarily associated with a skin disease or specifically related to a special type of skin disease. The dermatological counterpart is more ambiguous, at least for dermatologists. Palmoplantar pustulosis, a recurrent acrovesiculopustulosis unrelated to psoriasis, is one of the conditions which may be associated with osteoarticular lesions, chiefly of the anterior chest wall (Sonozaki syndrome). These recurrent pustules are aseptic, histologically unilocular and filled up with neutrophils in the mature stage; the bone and joint lesions are also aseptic, although Edlund et al. [3] found Propionibacterium acnes in some open biopsies of arthroosteitis: P. acnes are common anaerobic bacteria belonging to the microflora of seborrheic skin, and these findings deserve further controls. Acne is another condition that may be associated with osteoarticular involvement: the acne-associated rheumatism is especially observed in severe forms, such as acne conglobata or acne inversa; to this latter form belong some other conditions such as hidradenitis suppurativa, VerneuiΓs disease or dissecting cellulitis of the scalp, which are less common expressions of follicular occlusion [4], also described in association with aseptic arthroosteites. Palmoplantar Pustulosis and Acne are two unrelated conditions. Their initials are 2 of the 5 letters of the acronym SAPHO, but these two conditions never do occur together in a same patient suffering episodes of painful joint swelling. Can therefore the acronym and the syndrome survive if the constituent clinical and radiological items never occur together? I think that an ‘impossible’ acronym is not worth of acceptance; in the clinical practice, a diagnosis of the SAPHO cannot be relevant. On the contrary, the concept of a skin-related bone disease is a noticeable progress in the understanding and management of some chronic and recurrent painful arthroosteites with hyperostosis and functional impairment of joints. For this reason, the dermatologists ought to do homage to Chamot et al. [2] and to their © 1993 Karger AG, Basel 1018-8665/93/1863-0161 $ 2.75/0 outstanding achievement: like Christopher Columbus who rediscovered [5] the New World previously discovered by anonymous Vikings or Phoenicians, and made it known to Europe, they brought together their own experience and the dispersed data of literature and provided a new concept to the medical community. Christopher Columbus omitted to give a name to the new continent, and history has later been unfair to him in that respect. The French rheumatolo-gists baptized their discovery; the future will tell if the inaccuracy of the acronym will either impair or stimulate the diffusion of the concept and if misspelling may influence the fate of an idea. References Brandsen RE, Dekel S. Yaron M, Caspi D, Ophir J, Brenner S: SAPHO syndrome. Dermatology 1993;186:176-180. Chamot AM, Benhamou CL, Kahn MF. Bera-nek L, Kaplan G, Prost A: Le syndrome acné-pustulose-hyperostose-ostéite (SAPHO). Ré-sultats d’une enquête nationale. 85 observations. Rev Rhum 1987;54:187-196. Edlund E, Johnson U. Lidgren L, Pettersson H, Sturfelt G, Svensson B, Theander J, Willen H: Palmoplantar pustulosis and sternocostocla-vicular arthro-osteitis. Ann Rheum Dis 1988; 47:809-815. Grosshans E, Bouffioux B. Toufik-Bellahcene M: Arguments en faveur de la nature follicu-laire de la maladie de Verneuil (‘hidrosadénites suppuratives chroniques’). Ann Dermatol Vénéréol 1991;118:207-209. Grosshans E, Tomb R: 1492-1992 – II y a 500 ans Christophe Colomb redécouvrait ΓAméri-que. De la redécouverte des dermatoses dejà décrites. Ann Dermatol Vénéréol 1992;119: 7-9. 162 Grosshans SAPHO 
work_6wse2vvjqfc25m4hwrw7ijwtqi	----	Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 189 EXPLORING THE FACTORS THAT AFFECTS ROMANIAN RELIGIOUS TOURISM: THE CASE OF ORADEA CITY Elena Aurelia Botezat1 Ada Mirela Tomescu Abstract The purpose of this paper is to contribute to a better understanding of the critical factors responsible for the success of religious tourism in Romania, meaning a sustainable success. In the special case of religious tourism, this seems much easier to accomplish, but in Romania there is a lack of studies to show this. The research outcomes show that the critical/decisive/determinants success factors in religious tourism depends on: the attractiveness of the location, the avoidance of excessive exposure of the elements of the religious offer, the limitation of the commercial activity, and how participants behave. This paper is important, both for the assessment of religious tourism and for the possibility of the tourist destinations sustainable development strategy. The results of this research reveal that decisions should not be taken alone on the basis of a single set of factors, but that they should be taken together, taking into account all the factors involved. Also results indicate a focus on all stakeholders, highlighting current identified trends. The work is focused on how the experiences of religious tourism are evaluated, and it is followed by some conclusions and limitations. This study being a preliminary work, in the future, the research should address the relative importance of these factors for different segments of the religious tourism consumers. Keywords: critical success factors, assessment, sustainable development. Jel Classification: L83; Z12 INTRODUCTION Religious tourism is subordinated to permanent education and encourages learning through travel. More than that, at first, it was the trip. Traveling people began to expand their horizons of knowledge and to seek answers to the great questions that have always stirred up the human mind, questions that make religion "What is happiness?", "Is there life after death?", "What is it wisdom?". This is how religious tourism was born, as a specific form of tourism, whose participants are "motivated either partially or exclusively 1 Elena Aurelia Botezat, PhD, Full Professor; Ada Mirela Tomescu, PhD, Full Professor, University of Oradea, Faaculty of Economic Sciences, Oradea, Romania. Preliminary communication (accepted September 11, 2018) Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 190 by religious reasons" (Rinschede 1992). At the heart of these religious motives, according to Lewis, there is a "longing to heaven", although some may find it difficult to identify it either because of lack of education or lack of awareness (Lewis 1997). The development of tourism in general has attracted also the development, of religious tourism, in particular. An eloquent aspect is the pilgrimage phenomenon that was estimated to have attracted 240 million people in 2000 (Jackowski 2000). Though, practically tourism interacts with religious life and religious institutions all over the world (Bremer 2005), religious tourism is not researched enough (Vukonic 2006). An explanation would be that atheism is attracting more and more followers, both globally and at a European level. In spite of the fact that religious tourism is the oldest form of tourism due to the concept of pilgrimage and the fact that this phenomenon has been going on for thousands of years (Pohner, Berki, and Ratz 2009 apud Sledge 2017), a synthesis of the statistical data for religious tourism all over the world are very difficult to obtain (Sledge 2017). According to the Eurobarometer Poll (2016), 19% of Spaniards, 24% of Danes, 26% of Slovenians, 27% of Germans and Belgians, 34% of Swedes, and 40% of the French, claim to not believe in “any sort of spirit, God, or life-force”. The Romanians are among the most religious peoples of the world (Voicu 2007). National statistics show that only 0.2% of Romanians declared themselves "without religion" or atheists at the 2011 Census, and that more than 250,000 Romanians travel every year for religious purposes throughout the country (INS 2015). However, the number of studies related to religious Romanian tourism is rather small. These studies either investigate Romanian religious tourism as a whole (Badulescu and Ban 2005; Vorjak and Gut, 2009; Angheluţa, Strambu-Dima, and Zaharia,2009; Alecu 2010) or certain aspects of it (Stanciulescu and Tirca, 2010; Chiş, Bacila and Ciornea 2012; Pohoaţa, Socoliuc, and Bostan 2013; Cristea, Apostol, and Dosescu 2015) emphasizes on the one hand, the particularity of the field and, on the other hand, the precaution and the skills with which must be act. Practical, there are people discussing the potential and opportunity that we have to give to religious tourism, but point out that if things do not happen in an organized and controlled manner, we could get into the position of losers. Therefore, a study that aims to take another step in identifying and understanding the critical factors responsible for the viable success of religious tourism in Romania is, in our opinion, more than necessary. Starting from the understanding of the key factors of success in tourism (Baker and Cameron 2008), this article presents the results of a research undertaken to detach generalizable lessons for Romanian religious tourism. Thus, in a first stage, with the help of the specialized literature, the determinants of the success of religious tourism are presented. In the second stage, the determinants identified in the case of our city (Oradea - that is a tourist destination in the West of Romania), are analyzed in terms of their characteristics and their links with the fulfillment of the purpose of religious tourism. Finally, the implications for the sustainable development of religious tourism in Romania are highlighted. https://en.wikipedia.org/wiki/Religion_in_Europe Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 191 1. THEORETICAL FRAMEWORK 1.1. Understanding religious tourism On the tourism market, the tourist consumer is increasingly looking for unique and specific experiences in the visited destinations, which implies, for example, unique landscapes or unique cultural attractions (Jones 1998, McCabe 2000, Baker and Cameron 2008; Meng, Tepanon, and Uysal 2008). That is why, in the case of religious tourism, a first question which appears almost naturally is: "What does the consumer of a religious tourism experience really want?" (Holmberg 1993; Poria, Butler, and Airey 2003, Timothy and Olsen 2006). Hereinafter, in our research we will follow this logic, in order to find the best answer. The philosophy we put into practice, depends on what we are aware of, or what we learn from experience. In these circumstances and due to of the aforementioned, we believe that first of all, we need to see what economists understand by religious tourism, as specialists of the material, and afterward the philosophers, as specialists of the spiritual (Jauhari and Sanjeev 2010; Imon 2017). As is known for economists, religious tourism is "a socio-economic phenomenon involving relationships and activities that are based on a spiritual motivation and that involves calling for the place where they occur for at least one night of accommodation." Instead, for a church man, such as the patriarch of the Romanian Orthodox Church, the majority religious faith in Romania, "every time we go on a pilgrimage to worship in cathedrals, monasteries or churches, we pray earnestly to the saints to guide our way, and try to resemble them, as much as possible through our good thoughts and deeds". Our approach is one that lies somewhere in the middle, generated by the caution of not mingle the sacred with the profane, the material considerations with the spiritual ones, a stage objectives with the purpose of life, and the like. We had in mind that the fact that religion is extremely well anchored in Romanian mentality, but also the fact that a religious offer - too ostentatious - can get more confusing, disoriented, than clarify up this mental, so besieged in this era of consumerism . The question, which is fully justified at this point, would be about what kind of consumerism, do we speak, in the case of religious tourism. Oxford English Dictionary presents two very different meanings of the word "consumerism": a. the positive one - "protecting and promoting consumers' interests" and b. a negative one - "preoccupation of society with the acquisition of consumer goods”, we could add an excessive preoccupation. In this context, we agree with the "discerning" and the approach of religious tourism proposed by authors such as Angheluța, Strambu-Dima and Zaharia (2009) and Alecu (2010). 1.2. Challenges for religious tourism As economists, our research mainly focused on those types of activities and relationships that were born on the occasion of practicing religious tourism (Russel 1999; San Filippo 2001) in the trend, respectively identified by the literature as being most susceptible to profound changes. Based on the factors or vectors of change mentioned by Jones (1998), we adapted them to the particularities of Romanian religious tourism as follows: Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 192 • travel type - short distances, based on the organization of events and experiencing; • destination type - close to, and generated by the desire to have repeated experiences, even if shorter in duration; • product type - accessible regardless of the season and offered in the option "everything in the same place"; • strategy type - focusing on characteristics, advantages and benefits, not on the number of tourists, also on the time and quality requirements of consumers who represents "the early majority"; • community control - increasing the degree of involvement and evaluation of the ethical, economic and environmental effects taken as a whole; • financial realism - investments based on detailed studies on the necessity, opportunity and possible reaction of the market; • interacting with the tourist - moving the emphasis to the relationship, promoting tourist packages that contain unique experiences, e.g. cultivating virtues or acquiring a certain skill only in a certain context offered by the religious tourist destination; • integration of new communication technologies - creative adaptation of technologies to the needs of religious tourism related to the conception and presentation of the offer, communication with potential tourists, creation of databases; • segment and targeting - offering attractive tourist packages that can be self- supporting financially and attracting potential tourists through messages and appropriate channels to each market segment; • changing the standardization-customization report - we are considering personalizing the message sent to the client, direct communication, working with the tourist we see as "our seed", in order to conceive the offer, to interpret the feed-back and to take action at the level of the religious tourist destination. In conclusion, we believe that only by answering to these challenges, the religious tourism can develop sustainably and can fulfil the most ambitious function of tourism, namely the development of the human person. 1.3. Research question, conceptual background and relationship framework In a world that despite unprecedented material progress seems to have lost its compass, we can ask: How could religious tourism help to improve the people involved in, and the surrounding world? Can the balance be restored in a global world where the population is in such an accelerated growth and resources are so rapidly exhausted? Obviously, we believe that this is only possible with a perspective that takes spirituality into account. The meanings in which the words "spirit" and "spiritual" are used according to the Oxford English Dictionary, thus: spiritual is often used to signify only the material contradiction (e.g. not concerned with material values or pursuits). Some authors use the word spirit to name the soul, a non-physical element that is given to every human being when born (e.g.The non-physical part of a person which is the seat of emotions and character; the soul.) The Christian authors use spirit and spiritual (for believers of Orthodox rite: "duh" and "duhovnicesc", terms that are not fully translatable Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 193 into English) to name the type of life that raises into rational beings when they voluntarily submit to the Divinity (e.g. short for Holy Spirit; and relating to religion or religious belief). These meanings will help us in identifying the type of understanding of the spirit with which people operate - religious tourism consumers, looking for happiness or well- being. The concept of happiness, of well-being, has its roots in Ancient Greek philosophy. Over time, two forms have crystallized: hedonistic well-being, and eudaimonic one. The state of hedonistic well-beeing, appears after an abundance of positive feelings and pleasures, and the eudaimonic state, the eudemonic well-being as a result of pursuit the practice of life purpose, and the cultivation of virtues conducive to happiness. Currently, it is appreciated that as society moves towards a philosophy of recycling, reuse and increasing sustainability, achieving the "well-being" state and prosperity is better suited to an eudaemonic positioning (Hawkes 2006). We believe this is more than is obviousis through the relationship of type economy-ecology-ethics. Moreover, it is appreciated that man can only be fulfilled as part of the whole, and this is viable through relationships. This is also quite logical, because we are not living singular but interdependent, and this is behold how the religious tourism consumer or the relationship with him is a continuous challenge of knowledge. The way we see the typology of these relationships in the case of religious tourism is given in the following table: Table 1. Types of offers to consumers in religious tourism Feature Occasional transaction Functional relationship Strategic partnership Time horizon Short term Medium term Long term The concern about the other party Low Medium High Investing in relationship Low Medium High The nature of the relationship Connect with...; Positional negotiation Coordination; Rational negotiation Cooperation; Integrative negotiation The predominant form of consumer participation at the spiritual level Emotional participation Rational participation Volitional participation Desirable finality at the spiritual level Spirit sensitized (moved by the feeling part) Aware of spirit (moved by thinking part) Regenerated spirit (moved by choosen part) Source: authors based on Dweyer, Schurr, and Oh 1987, 11–27. 2. THE DESIGN OF RESEARCH In the case of city of Oradea, we have been studying religious tourism over ten years. Oradea, is a cosmopolitan city, characterized by cultural and religious diversity, which has always been an important reference point for Western part of Romania. Due to the development of the last years, in November 2017, it became the country's tenth city in terms of population, it reached 221,000 inhabitants. According to the National Statistics Institute of Romania, the total number of tourists who stayed at least one night in the city in 2017 was 223,356, 17.5% more than in 2016. Oradea can be proud to have at least 60 of churches, special as style and architecture. In a walk around the center, in one square kilometer, we can find an Orthodox church, a Catholic church, a Reformed church, a Neo-Protestant one and two synagogues. Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 194 Our approach is interpretative (Girod-Seville and Peret 1999). In order to understand the phenomenon of religious tourism and its evolution over time we analyzed a set of defining elements present in specialized literature (Holmberg 1993; Poria, Butler, and Airey 2003; Timothy and Olsen 2006). In order to ensure the necessary objectivity of our qualitative research we used multiple sources of information. Data used in our analysis originated from records, documents, participants' observations and semi- structured interviews conducted in five churches from the city of Oradea. Starting with 2008, we have studied the issue of religious tourism in Oradea. In 2017 we conducted a directional research. As well as we saw in the literature (Yin 1990), we have used several sources as can be seen from table 2. Table 2. Sources of information on religious tourism factors in Oradea Period From 2008 to md 2017 Form md 2017 to first trimester of 2018 Data archives (records, documents) yes yes Participants' observations yes yes Semi-structured interviews no yes During collecting, analyzing and presenting the data we met the criteria set by Yin (1990) and Robson (2002) to ensure scientific requirements. Data originated from records, documents and participants' observations were used to select the right persons for the eight semi-structured interviews. The interviewees were representatives of religious denominations in Oradea involved in leadership (5 persons) and representatives of local authorities involved in the field of religious tourism (3 persons). By their natures, the interviews, were conversational. We did not use default questions. Instead, we encouraged the interviewees to speak freely, about the situation, activity and aspirations of the confession / institutions they represent with reference to the present and future religious tourism in Oradea. Over the time of all the interviews, we had just follow-up questions, but always these took into account, the requirement of non-influencing the interviewee. Each interview lasted for about an hour and took place in the spaces where the interviewees are working. 3. ANALYSIS AND RESULTS In the following, we will summarize the results of our research. First, we will present four cases of spiritual establishments, succinctly characterized by their contribution to the development of religious tourism in Oradea. Then we will summarize the results of the interviews in order to identify the key factors affecting the religious tourism in Oradea. 3.1. The illustration with cases contributing to the success of religious tourism in Oradea The four cases of religious settlements that we will present here are the reference points for religious tourism in Oradea (Pop 2013), being as their valuable, rare, inimitable and well-organized tourism resource (VRIO). This appreciation is using the theoretical Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 195 framework developed by Barney (2001) and adapted to Romanian tourism by Botezat and Benea (2012). Summarizing (VRIO): a. (V)The value refers to the characteristic of the tourist resource to exploit the opportunities of the environment; b. (R) Rarity has to do with the presence of the tourist resource among the direct competitors; c. (I) Inimitable refers to how much it would cost or how easy it would be to get a tourist resource; d. (O) The way of organization is related to the extent to which the resource is used by the bidder, or how the organization of activities allows an efficient and effective use of the tourism resource. In our opinion, the success of the religious tourism in Oradea depends, first of all, on an adequate promotion and management of this kind of resources that are briefly presented in the following. Case 1: The Moon Church The Moon Church (built 1784-1790) is a stately building situated in the central square of the city (Unirii Square). This renovated market, which costed 4 million euros, convey the atmosphere at the beginning of the 20th century. The church is built in late Baroque style and has over 40-meter high tower. In the year 1793, the globe mechanism, indicating the moon phases in the sky, was placed in the tower and is operating with the same precision of over two centuries! Case 2: The Palace of the Roman-Catholic Episcopate The Palace of the Roman Catholic Episcopacy (built 1751-1799) or it is known as Baroque Palace in Oradea, a reduced replica of the Belvedere Palace in Vienna. This is one of the most valuable edifices built in Baroque style on Romanian territory and probably in South-Eastern Europe. Just like the two other nearby buildings, the Roman-Catholic Basilica of Saint Mary and the Corridor of Canons, the palace was built in the second half of the 18th century. This Baroque-style complex representative for Europe has in the middle a 117-room palace, interior walls painted with wonderful frescoes and a detail, as a curiosity, the ones 365 windows, one for each day of the year, but this is a legend, in fact there are 282 windows on the three floors of the monumental building. Case 3: The Neolog Synagogue ”Zion” The Neologue Jewish Synagogue (built 1877-1878) entered the tourist circuit in 2015, after it was rehabilitated through An European, Romanian-Hungarian cross-border project. The rehabilitation was worth about 1.5 million euros. It is a monumental synagogue with a square plan. The eclectic styl has elements belonging mainly to the Italian Renaissance, its exterior and interior decorations are Moorish. The monumental building has a capacity of 1000 seats. At its inauguration in Novembre 2015, the bottle of parchment dedicated to Emperor Franz Joseph I of Austria in 1896 on the occasion of the first rehabilitation of the synagogue was opened. Case 4: The Baptist Church ”Emmanuel” The Baptist Church”Emmanuel” is a recent construction, built after 1990 in contemprary style. We mention this is the second largest Baptist church in Europe as construction. Inside there is an auditorium, dedicated to religious services with a capacity of 2,700 seats, but also several annexe rooms dedicated to various support activities. The church is renowned for its divine services and its choir. Adiacent to the church, stand three education institutions (a primary school, a high school and also a university, with the same name, that stand at the exit of the city). These four establishments contribute greatly to the success of religious tourism in Oradea, as can be seen from Table 3. Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 196 Table 3. Four examples of resources contributing to the success of religious tourism in Oradea Name of religious touristic resource Contribution to the success of religious tourism in Oradea Moon Church ✓ a focal point in the central square of the city that captures both the Orthodox believers and tourists; ✓ the unique mechanism that works with the same precision for over 200 years; ✓ adequate framing into the renovated central city square; ✓ a reference element among the 21 churches of the Orthodox rite in Oradea. The Palace of the Roman- Catholic Episcopate ✓ attraction for Catholic rite parishioners, as well as for tourists in transit; ✓ one of the most important Baroque buildings in Europe; ✓ intrinsic value and of architectural and historical heritage; ✓ it is a reference element through15 other churches of the same rite in Oradea, one of them in the Oradea Fortress, which is known as the place of the Bible in Oradea, but also as firsdt European astronomical observer and the place of the first zero meridian (established here between 1464–1667). It is said that the maps for Voyages of Christopher Columbus were originated from here. The Neolog Jewish Synagogue ”Zion” ✓ attraction for the Jews having roots in Oradea (33% of city population before the Second World War) and for tourists; ✓ historical and architectural testimony; ✓ rehabilitation and rendering to the small Jewish community remaining in the ✓ city, but also to the entire local community; ✓ also, organized as a multifunctional hall for cultural events (exhibitions, book launch and concerts, including the traditional music of the Ashkenazi Jews of Eastern Europe, Klezmer music). The Baptist Church ”Emmanuel” ✓ attraction for residents, Neo-Protestant believers, that are at work, or in transit; ✓ the second largest Neo-Protestant church in Europe ✓ restores the idea of school development (primary, high school, university) beside the church; ✓ a reference element for the 21 Neo-Protestant various churches in Oradea. These four religious settlements represent an important element of the development of religious tourism in Oradea, which are the resources that can be used under the terms of knowing the factors that affect religious tourism. Identifying these factors and assessing their impact, both positive and negative, was the goal of interviews, along with the originated date from records, documents and participants' observations. 3.2. Determinants success factors in Oradea religious tourism In table 4 we presented the result (authors) of the analysis. We started from the factors influencing religious tourism identified at national level as strengths and weaknesses in the study conducted by Vorzsak and Gut (2009). Then we processed the data from our study and inserted the conclusions in column three. In the fourth column we inserted the comments of the interviewees. Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 197 Table 4. Determinants factors in Oradea religious tourism Factor (characteristic of religious touristic patrimony) The identified competitive position at national level (Romania) The competitive position at local level (Oradea) The comments of interviewee Geographical distribution Strenghts (++) Strenghts (++) "Balanced"; "Possible to cover by walk"; "Concentrically displayed" Originality Strenghts (++) Strenghts (++) "Uniqueness"; "Heritage"; "Value"; "Attractiveness" Number and diversity Strenghts (+) Strenghts (++) "One to 3000 inhabitants"; "I do not think there is anything unrepresented" Accommodation capacity Weaknesess (-) Strenghts (+) "Increasing"; "Diversity"; "Maybe too commercial" Co-operation with local authorities Weaknesess (-) Strenghts (+) "Good cooperation"; "Constructive"; "Interest in partnership"; "Limits the excessive trade" Degree of modern facilities Weaknesess (- -) Strenghts (+) "Concern for modernization"; "The use of modern technology", "Develpoment and spread online" Media-attention Weaknesess (-) Weaknesess (-) "Too little focused on positive elements"; "Tributary to the negative sensation"; "Subservient to economic interests" Accesibility Weaknesess (- -) Weaknesess ( -) "Limited"; "Neo-Protestants are not very interested in religious tourism" Guides, visiting hours Weaknesess (- -) Weaknesess ( - ) "Limited groups"; "We do not offer guidance"; "We can not afford too much access inside" Our study highlights the fact that Oradea could represent a successful case in religious tourism in Romania. Thus, while at the national level only three success factors were identified in the case of Oradea city were identified six factors. Moreover, the braking factors also have a lower impact. The analysis of data, the interpretation of the interviews and the verification of the hypotheses of previous studies (Stanciulescu and Tirca 2010; Gallarza 2009; Cristea, Apostol, and Dosescu 2015) led us to the conclusion that the critical determinants of success factors in religious tourism depend on: the location, the avoidance of excessive exposure of the elements of the religious offer, the limitation of commercial activity, and how participants behave. CONCLUSION The results of the research reveal that religious tourism in Oradea is determined by several factors, but the crucial success factors in religious tourism depends on ”four generic groups”: the attractiveness of the location, the avoidance of excessive exposure of the elements of the religious offer, the limitation of the commercial activity, and how participants behave. Whereas the attractiveness of the site is mentioned by all eight interviewees, the other three factors are perceived and evaluated differently by the representative people involved in the religious tourism coordination and / or the Elena Aurelia Botezat and Ada Mirela Tomescu. 2018. Exploring the Factors that Affects Romanian Religious Tourism: The Case of Oradea City. UTMS Journal of Economics 9 (2): 189–199. 198 leadership of representative religious institutions in Oradea. Thus, the seculars, representatives of the local authorities with attributions in the field of religious tourism, those involved in the coordination of religious tourism attach the greatest importance to avoiding the excessive exposure of the elements of the religious tourist offer, as well as to limiting of the commercial activity; while the religious, those representative with attributions in religious denominations in Oradea, that are involved in leadership and coordination activity of representative religious organizations, also representatives of religious denominations involved in the leadership of churches in Oradea, grant the greatest importance to the behaviour of tourists. In our research we identified interdependent factors that can be easily included in one of the four groups, but also factors that may belong simultaneously to several groups. For this reason, a categorization of these is quite difficult. 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work_6xrhdf2yivah7d4jcmve5jrpha	----	Bubble Investing: Learning from History NBER WORKING PAPER SERIES BUBBLE INVESTING: LEARNING FROM HISTORY William N. Goetzmann Working Paper 21693 http://www.nber.org/papers/w21693 NATIONAL BUREAU OF ECONOMIC RESEARCH 1050 Massachusetts Avenue Cambridge, MA 02138 October 2015 The author thanks Elroy Dimson, Paul Marsh and Mike Staunton for the generous use of the DMS database and Michele Fratianni for providing the data on the Casa di San Giorgio. The views expressed herein are those of the author and do not necessarily reflect the views of the National Bureau of Economic Research. NBER working papers are circulated for discussion and comment purposes. They have not been peer- reviewed or been subject to the review by the NBER Board of Directors that accompanies official NBER publications. © 2015 by William N. Goetzmann. All rights reserved. Short sections of text, not to exceed two paragraphs, may be quoted without explicit permission provided that full credit, including © notice, is given to the source. Bubble Investing: Learning from History William N. Goetzmann NBER Working Paper No. 21693 October 2015, Revised January 2016 JEL No. G01,G14,N2 ABSTRACT History is important to the study of financial bubbles precisely because they are extremely rare events, but history can be misleading. The rarity of bubbles in the historical record makes the sample size for inference small. Restricting attention to crashes that followed a large increase in market level makes negative historical outcomes salient. In this paper I examine the frequency of large, sudden increases in market value in a broad panel data of world equity markets extending from the beginning of the 20th century. I find the probability of a crash conditional on a boom is only slightly higher than the unconditional probability. The chances that a market gave back it gains following a doubling in value are about 10%. In simple terms, bubbles are booms that went bad. Not all booms are bad. William N. Goetzmann School of Management Yale University Box 208200 New Haven, CT 06520-8200 and NBER william.goetzmann@yale.edu 1 I. Introduction The broad awareness of financial history seems to correlate to extreme market events. For example, the closest comparison to the Dot-Com bubble of the 1990’s was the run-up in U.S. stock prices in the 1920’s. During the 2008 financial crisis, the financial press frequently referenced past bubbles– periods of market euphoria followed by sharp price declines. In this paper I argue that using past crashes in this way is misleading to both investors and policy-makers. Particularly during periods of market booms, focusing attention on a few salient crashes in financial history ignores the base rate for bubbles. In simple terms, bubbles are booms that went bad but not all booms are bad. To illustrate this last point, I present empirical evidence drawn from more than a century of global stock market data. I define a bubble as a large price decline after a large price increase or, a crash after a boom. I find that the frequency of bubbles is quite small. The unconditional frequency of bubbles in the data is 0.3% to 1.4% depending on the definition of a bubble. Not only are bubbles rare but conditional upon a market boom (i.e. increasing by 100% in a one to three year period). Crashes that gave back prior gains happened only 10% of the time. Market prices were more likely to double again following a 100% price boom. Prior to the empirical analysis, I present evidence about bubbles (as well as the lack of them) in very early equity investments. Thus, the next section discusses some of the early bubbles in financial history. Section III describes the databases used in the study and the empirical analysis. Section IV discusses the implications of the results for investors and regulators. II. Data on Markets and Bubbles The first bubbles precede the development of organized stock exchanges. Stuart Jenks reports evidence of a bubble in speculative German mining shares, kuxe, at the end of the 15th century.1 Fractional equity interest in individual silver mines in the Hartz mountain district were evidently freely traded, purchased on credit and occasionally had option-like features. Transactions were settled at financial fairs during which share prices could fluctuate dramatically. 1 Jenks, Stuart, ND, “THE FIRST BUBBLE Silver mining in the Saxon Erzgebirge, c. 1470-1540” http://vkc.library.uu.nl/vkc/seh/research/Lists/Seminar%20Program/Attachments/37/The_first_bubble.PDF. He cites Werner (1936) and Laub (1974) for empirical price evidence. http://vkc.library.uu.nl/vkc/seh/research/Lists/Seminar%20Program/Attachments/37/The_first_bubble.PDF 2 These were famously condemned by Martin Luther in 1554: “Ich will kein kuks haben! Es ist spiegelt, und es will nicht wudeln [gedeihen] dasselbige gelt.” “I will have nothing to do with kuxen. They are play money and will not generate hard cash.” In 1502, on the eve of sailing on his final voyage, Christopher Columbus expressed a desire that his son use his inheritance to purchase shares in the Casa di San Giorgio in Genoa which he observed would generate “6 % interest and constitute a very safe investment.”2 The firm was a financial institution that owned and managed government contracts and ultimately became a bank. Its board regularly declared dividends and these, as well as the shares themselves, were actively traded.3 Shares in Genoa’s Casa di San Giorgio fluctuated considerably in the 16th century. Figure 1 shows an index of prices and yields. The dramatic doubling of prices in 1602 looks like a bubble to the modern eye because yields declined from 3% to 1 ½%. This bubble sustained itself for a long time however, prices did not drop back to their former level until 1683. Likewise, a peak in 1622 looks ex post like a bubble, although the fortunes of Genoa as a financial power in the early 17th century also fluctuated considerably. The variation on both occasions might be due to rational speculation on events of the time. Nevertheless, they appear to fit a price-based definition of a bubble. This bubble pattern is not ubiquitous in the early history of equity shares. In Le Bris et al. (2014) we found no evidence of a bubble in the trading history of an even older corporation. Stock prices for the Bazacle milling company of Toulouse, over an extended period from the 1530’s to 1946, moved fairly closely with dividends. The first discussions in England of a stock market bubble centered on the speculation in shares for start-up companies during the 1690’s. McCleod (1986) argued that intellectual property rights were more likely the excuse for stock market speculation rather than the basis for real valuation in this first English market bubble. The first great stock market bubble began in France, with the creation of the Mississippi Company by John Law which was an ingenious financial innovation that merged a bank empowered to issue currency with companies chartered for overseas trade– hence the name Mississippi Company. The price of shares grew by more than 10 times during 1719 and 1720. 2 Harrisse, Henry, 1888, Christopher Columbus and the Bank of Saint George (Ufficio Di San Giorgio in Genoa): Two Letters Addressed to Samuel L.M. Barlow, Esquire, Priv. print. [Chiswick Press; C. Wittingham and Company, London]. 3 Cf. Fratianni (2006). 3 The Mississippi Bubble burst in the spring of 1720 when shares were made exchangeable with paper currency at a fixed rate, resulting in a massive government commitment to propping up share prices by printing money.4 The Mississippi Bubble was followed shortly by the South Sea Bubble in London and a smaller but significant bubble for shares in the Netherlands. The British and Dutch bubbles subsequently burst in late 1720, and by the end of the year, the boom in stock market speculation was effectively over. My co-authors and I have worked to understand the basis for this remarkable sequence of international stock bubbles from 1719-1720.5 We found empirical and archival evidence that regulatory enforcement following the Bubble Act in London triggered a crash in the prices of insurance company stocks and that this ultimately spread to the large trading companies and banks in the UK and then overseas to the Dutch West Indies Company and a number of recently launched companies in the Netherlands. Figure 2 illustrates the parallel growth in share prices for selected companies in London and Amsterdam in this period. The three London companies are Royal Exchange Assurance, London Assurance and the South Sea Company. The two Dutch companies are the Dutch West Indies Company and Stad Rotterdam– an insurance company whose successor firm still exists today. The figure shows the scale of the London and Amsterdam bubbles. The South Sea Company rose by a factor of 7.5 over the year leading to the eponymous “South Sea Bubble.” The two marine insurance companies grew much more by multiples of more than 10 and 13. Only the Dutch West Indies Company grew at a comparable scale in Amsterdam by a factor of 7. Stad Rotterdam did not quite double before declining in price. The graph also shows how inter- connected the Dutch and British bubbles were. Although they rose at different times in the year 1720, the crash in the prices of the London insurance firms and the Dutch West Indies Company occurred at about the same time (a few days lag is consistent with travel times between the two financial centers). In the United Kingdom, the Bubble Act curtailed the issuance and trading of unauthorized company shares and set back the development of an equity market as a vehicle for a financing enterprise. In the Netherlands, there was no such governmental response but nevertheless, initial public offerings stopped and a cultural re-examination of stock market speculation occurred. Stock 4 C.f. Murphy (1997) & Velde (2009). 5 Cf. Frehen et al (2013). 4 schemes were ridiculed and speculators were caricatured. One curious legacy of the 1720 international stock market bubble was a lavishly illustrated volume, Het Groote Tafereel Der Dwaasheid, or The Great Mirror of Folly, a book of satirical poems, prints, plays and engravings specifically intended to preserve the memory of the folly of speculation during the crisis. Bubbles make interesting stories. Charles MacKay’s classic book, Memoires of Extraordinary Popular Delusions and the Madness of Crowds, was first published in 1852 and is still in print. Using illustrations redrawn from The Great Mirror of Folly, MacKay poked fun at both the South Sea Bubble and the Mississippi Company including them along with chapters on alchemy, fortune-telling and “magnetizers.” MacKay regarded stock speculation as a “madness which infected the people of England.” In Frehen et al. (2013) we used cross-sectional evidence from the 1720 bubble to argue that the stock boom in 1720 was founded on economic fundamentals including the economic potential of trans-Atlantic trade, innovations in maritime insurance and the potential of the publicly traded corporation itself as a vehicle for enterprise. Nicholas (2008) likewise, used cross-sectional evidence for companies with patents in the 1920’s. He shows that, ex-post, firms with valuable patents, rose relatively more. In seeking to understand the economics underlying the causes of bubbles, Pástor, L’, & Veronesi, P. (2009) build a model of technological innovation and test it on cross-sectional historical data from the 19th century railroad boom in the U.S. Perez (2009) explored the relationship between technological innovation and financial innovation in five major bubbles that occurred in the 19th, 20th and 21st centuries. In each of these cases evidence suggests that there was at least some method to the madness of the investors. While potentially overly- optimistic about valuations for new technology companies, investors in these bubbles identified, ex ante, the potential transformative value of innovations. 5 III. Analysis III.1 Data This brings us to the empirical analysis of market booms and busts. Dimson, Marsh and Staunton (DMS) have constructed an annual database of equity returns for 21 of the world’s stock markets by collecting stock and dividend data beginning in 1900 and extending through 2014. We used their equity total return real return indexes denominated in dollars as our market measures for these countries. We augmented these with the annualized dollar-denominated stock market indexes used in Jorion and Goetzmann (1999) (JG). For countries in DMS, we dropped the JG indexes resulting in 20 remaining JG indexes. The JG indexes are taken mostly from contemporaneous sources that sought to track indices in real time. The League of Nations (LofN) maintained indexes for several countries beginning in 1919 and these were continued by the United Nations (UN). We collected these indexes in a “follow forward” manner from the published periodicals and linked them to IFC indexes available in the 1990’s. The advantage of augmenting the DMS series is that the JG database contains a number of markets that failed or disappeared during the 20th century due to wars, revolutions and various other reasons. Reliance on LofN and UN sources means that we do not control the manner in which the indexes were created and cannot be sure that the capital appreciation returns we calculated were actually obtainable. On the positive side, the JG indexes derive from documentary data widely available in libraries through much of the 20th century. Hence, the frequency of past bubbles since at least 1920 has been available for establishing a “base rate” for price run-ups and crashes and their coincidence in time. We include two additional series constructed for the International Center for Finance (ICF) at the Yale School of Management– The Saint-Petersburg Stock Exchange and the Shanghai Stock Exchange are both dollar-denominated, total return indexes. Finally, we augment both the JG and ICF series with FTSE dollar-denominated price appreciation series available in the Morningstar EnCorr database. We have not used the IFC or FTSE indexes to add additional markets, although these could provide an even broader set of indexes. The reason is survival-conditioning bias. Taking markets that exist today and tracing them back may result in a series that is mean-reverting or displays more complex time-series behavior associated with recent growth (cf. Goetzmann and 6 Jorion, 1999). This could then bias the analysis of stock market performance conditional on a boom, which is our aim. Table 1 lists the markets in this study and calculates summary statistics for the DMS and the JG/ICF databases. Note that the JG/ICF series are discontinuous and start and stop at various intervals. They are generally considered emerging markets and have a strong representation of South American, Central American and Eastern European countries. The JG/ICF series are more volatile by far, with an average standard deviation of 50% per year. On the other hand, their average annual returns for years we have data is no higher than the DMS series. For series known to have been expropriated, a minus 100% return is included. III.2 Booms and Crashes For the purposes of this analysis, a bubble is defined as a boom followed by a crash. A boom is a large, rapid increase in stock prices. A crash is a large, rapid decline in market prices. What is large? What is rapid? Table 2 defines booms in two ways: (1) a single year in which a market value (or cumulative return) increased by at least 100%; (2) a period of three years over which the market increased by 100%. This second definition is chosen so as to include the famous U.S. bubbles of the 1920’s and 1990’s. A crash is defined as: (1) a drop of at least 50% in the following year; (2) a drop of at least 50% over the next five years. There are other ways to use price dynamics to define a bubble. For example, a high price-earnings ratio is a common metric invoked as a bubble indicator. Long- term data for dividends are not available for most of the markets examined here. However, most people would agree that a doubling in market prices followed by a halving in value is a significant reversal, and further absent are details about economic fundamentals. Thus, this study can be interpreted as focusing on one common notion of a bubble, but not the only one. Table 2 reports results for each of the two bubble definitions. The first horizontal block in panel one shows the unconditional counts of market-years and the frequency of doubling and halving. Column one, for example, shows that there are 3,470 market-years in the database, 72 of which were returns over 100% and 84 of which were returns under 50%. Moving to column two, the market-year count declines to 3,308 reflecting the requirement of a prior year return.6 Two 6 That is, conditional upon the existence of a return in a prior year, what is the frequency of doubling or halving. This excludes, for example, the first year in a series, and a year following a resumption of market data after a break. 7 percent of these market years (i.e. years with an existing prior year) were returns in excess of 100%. In the next horizontal block, Table 2 follows the 72 market years that had 100% or better growth in a calendar year. The conditional frequency of doubling in the subsequent year is 8.33% which is much higher than the population fraction in the block above. This is not surprising given that a doubling is more likely in volatile markets. Likewise, the probability of halving is 4.17% which is about twice the unconditional probability. Six of the 72 “doubling” markets more than doubled again in the following year. Three of the 72 declined by a half or more, essentially giving back the prior year’s gains. Table 3 identifies these reversal events which are Argentina in 1976- 77, Austria in 1923-24 and Poland in 1993-94. Bubbles may take some time to deflate. Counts and frequencies at the five year horizon are reported for the T+5 columns in Table 2. After five years, 15.28% percent of the boom markets had crashed to less than half their levels at T=0. On the other hand, 26.93% of the markets had at least doubled in value again. After a stock market boom of at least 100% in a single year, the frequency of doubling in the next five years was significantly greater than the frequency of halving. Note that the frequency of crashing at the five year horizon is significantly higher for booming markets than the unconditional frequency, while the frequency of doubling after five years is about the same. Thus, a boom does increase the probability of a crash, however the crash probability is low. A rapid boom is not a strong indicator of a bust– probabilities move from 2% to 4% at the one year horizon and from 6% to 15% at the five year horizon. The significance of this shift depends of course on investor risk aversion. From a historical perspective, it is important to recognize that the overwhelming proportion of booms that doubled market values in a single calendar year were not followed by a crash that gave back these gains. Table 2 also includes results for markets that halved in value in a single year. These are similar to the doubling market results. Subsequent tail events (doubling or halving) at the one year and five year horizons are higher than the unconditional probabilities of these events. Doubling in a single year may be too restrictive as a definition of a boom. The Dot-Com bubble of the 1990’s evolved over several years. Panel two of Table 2 reports results for the second definition of a boom– one that doubles market value over a three year horizon. This definition is chosen so that it includes the U.S. booms of 1928 and 1999. This definition also includes booms in the US in 1935, 1945, 1956 and 1997. This broader definition of a boom generates 460 events 8 of a doubling over three years– roughly 14% of the overlapping three year return periods in the data. In the context of global equity markets, the 1928 and 1999 booms were not that unusual, although three-year bubbles were not common. After a three year run-up, markets subsequently halved in the following year 4.57% of the time. This is about twice the unconditional probability of a one year halving event, but it is still rare. At the five year horizon, the probability of the market value declining by a half after five years is 10.42%, which is higher than the unconditional probability of 6.31% but not dramatically so. One important caveat– the frequencies in Table 2 are conditional upon data existing in subsequent years after the event of interest. I’ve taken care to include markets known to have closed after wars and revolutions, and assigned -99% returns to them. A robustness test that assigns a -100% return to all missing observations (not reported) increases the frequency of halving for both conditional and unconditional distributions but not the basic result that conditioning of a boom has a relatively minor effect. Past studies of the mean reversion of stock markets suggests that what goes up must come down and thus a large boom should increase the probability of a future decline. However, focusing on the rejection of the null of no association between past and future multi-year market returns can be misleading for economic decision-making. The fact that probabilities of a decline increase from 6% to 10% following a three year boom may not be as relevant to investor choice as the fact that the chance of doubling in value is twice the chance of halving in value over that same horizon. IV. Conclusion The most important thing a financial historian can tell investors about bubbles is that they are rare. Indeed any discussion of bubbles quickly turns to history because recent evidence is lacking. Most models and analysis of stock market bubbles focuses on a few well-known instances. Gathering data about the world’s stock markets helps to fill in this lack of empirical evidence. The DMS and JG/ICF data provide some insight into the rarity of bubbles. The overwhelming proportion of price increases in global markets were not followed by crashes. Investor decision making under uncertainty involves a consideration of the probabilities of future outcomes and attitudes about these outcomes. The bubbles that did not burst are just as important for investors to know about as bubbles that did burst. Placing a large weight on avoiding a bubble, or misunderstanding the frequency of a crash following a boom, is dangerous for the 9 long-term investor because it foregoes the equity risk premium. If investors in the shares of the Casa di San Giorgio had sold out in 1603, they would have missed a 20 year boom in prices and would have had to wait 80 years to be proven right. For regulators, the evidence raises the question of whether deflating a bubble is the right course of action. If a bubble is associated with investment in new technologies with high economic potential as well as high economic uncertainty, it forces a choice between guarding against a financial crisis vs. allowing productive investment. This chapter presents a preliminary examination of bubbles in stock markets around the world over the last 115 years. While economists often focus on a few representative and memorable bubbles, the analysis presented here suggests there are dozens more we should investigate. The list in Table 3 is a good starting point for financial historians seeking to understand what factors determine whether a boom turns into a bust. Learning something about the fundamentals underlying these other bubbles may help to more rationally assess the causes of booms and crashes and their consequences– economic, financial and regulation. 10 Table 1: Summary Statistics for Global Markets Data sources: (1) Total return indices for stock markets in 21 countries over the period 1900 to 2014, converted to U.S. dollars, provided by Dimson, Marsh and Staunton [DMS Global] via Morningstar. (2) Real capital appreciation indices for 18 countries from 1919 onwards used in Jorion & Goetzmann (1999) and available on the website of the ICF. It is constructed from indices reported in League of Nations and United Nations periodicals, augmented with published IFC data. (3) Total return indices in U.S. dollars for Russia and China from the International Center for Finance (ICF) at the Yale School of Management, constructed from official publications and/or newspaper sources. Jorion-Goetzmann & ICF indices are augmented for recent years by the FTSE and IFC country dollar-denominated stock market appreciation indices as available via Morningstar. country Source period mean std max min Source period period mean std max min Australia DMS 1900-2014 0.13 0.24 1.07 -0.53 India JG&FT 1940-2014 0.07 0.28 1.01 -0.65 Austria DMS 1900-2014 0.09 0.39 2.00 -0.69 Pakistan JG&FT 1961-2014 0.08 0.34 1.22 -0.75 Belgium DMS 1900-2014 0.09 0.26 1.28 -0.50 Philippines JG&FT 1955-2014 0.13 0.87 6.21 -0.63 Canada DMS 1900-2014 0.11 0.20 0.72 -0.46 Argentina JG&FT 1948-2014 0.19 0.92 4.55 -0.86 Denmark DMS 1900-2014 0.11 0.24 1.06 -0.50 Brazil JG&FT 1952-2014 0.19 0.60 2.32 -0.69 Finland DMS 1900-2014 0.13 0.34 1.28 -0.72 Chile JG&FT 1928-2014 0.12 0.39 1.18 -0.53 France DMS 1900-2014 0.10 0.29 1.07 -0.73 Colombia JG&FT 1937-2014 0.08 0.39 1.88 -0.55 Germany DMS 1900-2014 0.18 0.80 7.00 -0.79 Mexico JG&FT 1935-2014 0.14 0.37 1.15 -0.79 Ireland DMS 1900-2014 0.10 0.26 1.10 -0.67 Peru JG&FT 1942-1977, 1989-2014 0.11 0.44 2.23 -0.71 Italy DMS 1900-2014 0.10 0.34 1.52 -0.62 Uruguay JG&FT 1937-1943 0.10 0.21 0.32 -0.26 Japan DMS 1900-2014 0.13 0.33 1.32 -0.92 Venezuela JG&FT 1938-2007 0.08 0.55 3.90 -0.76 Netherlands DMS 1900-2014 0.11 0.25 1.30 -0.63 Czech JG&FT 1920-1944, 1995-2014 0.08 0.36 1.13 -1.00 New Zealand DMS 1900-2014 0.12 0.26 1.40 -0.50 Greece JG&FT 1930-1939, 1998-2014 0.14 0.60 2.74 -0.67 Norway DMS 1900-2014 0.12 0.32 1.84 -0.63 Hungary JG&FT 1926-1940, 1995-2014 0.10 0.44 1.05 -1.00 Portugal DMS 1900-2014 0.14 0.44 2.05 -0.74 Poland JG&FT 1922-1938, 1993-2014 0.24 1.25 7.45 -1.00 South Africa DMS 1900-2014 0.13 0.30 1.86 -0.43 Romania JG&FT 1938-1940, 2006-2014 -0.08 0.43 0.54 -1.00 Spain DMS 1900-2014 0.10 0.28 1.51 -0.50 Egypt JG&FT 1938-1961, 1995-2014 0.17 0.48 1.54 -0.54 Sweden DMS 1900-2014 0.12 0.25 0.72 -0.54 Israel JG&FT 1951-2014 0.13 0.35 0.86 -0.70 Switzerland DMS 1900-2014 0.10 0.21 1.04 -0.35 China ICF&FT 1900-1940, 1994-2014 0.04 0.31 1.20 -1.00 United Kingdom DMS 1900-2014 0.11 0.24 1.12 -0.50 Russia ICF & IFC 1900-1913, 1998-2014 0.17 0.67 2.85 -1.00 United States DMS 1900-2014 0.13 0.20 0.63 -0.44 average 0.12 0.31 1.57 -0.59 average 0.11 0.51 2.27 -0.76 median 0.11 0.26 1.28 -0.54 median 0.11 0.43 1.38 -0.73 std deviation 0.02 0.13 1.31 0.14 std deviation 0.07 0.25 1.91 0.20 min 0.09 0.20 0.63 -0.92 min -0.08 0.21 0.32 -1.00 max 0.18 0.80 7.00 -0.35 max 0.24 1.25 7.45 -0.26 11 Table 2: What happened when a stock market doubled or halved in value A boom is defined as either (1) a return of more than 100% to a stock market index within a single year, defied according to availability in real or dollar-valued and total or capital appreciation only or (2) a return of more than 100% to a stock market index within a three year calendar period, defied according to availability in real or dollar-valued and total or capital appreciation only. A bubble is a boom followed by a bust, defined as either (1) more than a 50% decline in index value in the following year or (2) more than a 50% decline over the following five years. The conditional bubble frequency is the percentage of booms followed by a bust. A crash is similarly defined as a decline in real or dollar-valued and total or capital appreciation of a market index within a one year or a three year calendar period. Missing observations due to interruption of market are deleted from frequency calculation. Data sources are reported in Table 1. 100% Real One-Year Price Increase T=0 T+1 T+5 Count Count conditional frequency unconditional frequency Count conditional frequency unconditional frequency Market-Year Counts (frequencies) 3387 3308 100% 3122 - Double in value 68 - 2.06% 803 - 25.72% Halve in value 73 - 2.21% 197 - 6.31% Years with a 100% real price increase 72 72 2.13% 72 2.13% Counts (frequencies) of doubling 6 8.33% 0.18% 19 26.39% 0.56% Counts (frequencies) of halving 3 4.17% 0.09% 11 15.28% 0.32% Years with subsequent a -50% decline 84 76 2.48% 75 2.21% Counts (frequencies) of doubling 10 13.16% 0.30% 27 36.00% 0.80% Counts (frequencies) of halving 5 6.58% 0.15% 7 9.33% 0.21% 12 Table 2 Continued: 100% Real Three Year Price Increase T=0 T+1 T+5 Count Count conditional frequency unconditional frequency Count conditional frequency unconditional frequency Counts (frequencies) 3271 3186 100% 3200 - Double again in value 70 - 2.20% 788 - 25.90% Halve in value 74 - 2.32% 192 - 6.31% Three year periods with a 100% increase 460 460 14.06% 451 13.79% Counts (frequencies) of doubling 17 3.70% 0.52% 98 21.73% 3.00% Counts (frequencies) of subsequent halving 21 4.57% 0.64% 47 10.42% 1.44% Three year periods with a -50% decline 203 178 6.21% 179 5.47% Counts (frequencies) of doubling 15 8.43% 0.46% 85 47.49% 2.60% Counts (frequencies) of subsequent halving 6 3.37% 0.18% 14 7.82% 0.43% 13 Table 3: Markets that doubled in value in dollar (or real) terms in a calendar year This table reports the cumulated dollar-valued capital appreciation return to markets following a calendar year in which the dollar-valued index level at least doubled. Subsequent event-years in which the index value doubled again are highlighted in green. Subsequent event years in which the index gave back all or more of its one year gain at some point in the next five years are highlighted in pink. Values are sorted on event-year five cumulative capital appreciation returns. Country year -1 0 1 2 3 4 5 Country year -1 0 1 2 3 4 5 Germany 1949 0.12 1 1.01 2.35 3.52 4.43 8.08 Italy 1933 0.46 1 1.26 1.33 1.19 1.35 1.34 Peru 1989 0.31 1 0.77 1.61 3.54 4.43 6.41 Belgium 1940 0.44 1 1.77 1.92 1.75 1.36 1.33 Portugal 1985 0.38 1 3.05 8.82 6.24 8.04 6.09 Hungary 1996 0.49 1 1.95 1.77 1.96 1.42 1.28 Chile 1986 0.47 1 1.25 1.53 2.22 2.67 5.49 Japan 1972 0.46 1 0.84 0.73 0.85 1.08 1.28 Peru 1991 0.48 1 2.20 2.75 3.98 4.85 4.72 Portugal 1942 0.45 1 0.94 1.15 1.30 1.43 1.20 Germany 1951 0.43 1 1.49 1.88 3.43 4.01 3.77 Egypt 2005 0.39 1 1.15 1.78 0.82 1.09 1.19 Brazil 1991 0.37 1 1.05 1.84 3.02 2.38 3.28 Ireland 1977 0.48 1 1.55 1.55 1.68 1.41 1.16 Austria 1985 0.33 1 1.22 1.21 1.30 2.90 3.28 New Zealand 1933 0.42 1 1.15 1.19 1.18 1.24 1.09 Colombia 2004 0.44 1 2.02 2.24 2.53 1.83 3.23 India 2009 0.50 1 1.19 0.74 0.92 0.87 1.06 United Kingdom 1975 0.47 1 0.86 1.48 1.76 2.14 3.08 South Africa 1979 0.49 1 1.56 1.22 1.50 1.51 1.02 Russia 1999 0.26 1 0.68 1.05 1.45 2.54 2.91 Austria 1989 0.45 1 1.13 0.94 0.75 0.99 1.00 Pakistan 2002 0.45 1 1.31 1.42 2.23 2.19 2.90 Norway 1979 0.35 1 0.81 0.69 0.49 0.88 0.96 Egypt 2004 0.46 1 2.54 2.92 4.53 2.09 2.77 Mexico 1991 0.46 1 1.23 1.82 1.08 0.79 0.93 Peru 1992 0.46 1 1.25 1.81 2.21 2.15 2.53 Argentina 1991 0.20 1 0.61 0.95 0.71 0.78 0.91 Colombia 2005 0.49 1 1.11 1.25 0.90 1.59 2.24 Argentina 1978 0.38 1 3.51 3.12 1.43 0.55 0.79 Italy 1985 0.42 1 1.71 1.45 1.64 2.35 2.18 Portugal 1980 0.37 1 0.64 0.39 0.29 0.30 0.78 Brazil 1969 0.30 1 1.79 3.45 1.84 1.94 2.15 Austria 1946 0.49 1 1.12 0.53 0.53 0.44 0.75 Chile 1977 0.49 1 1.96 3.59 6.84 4.22 2.15 Finland 1999 0.44 1 0.85 0.56 0.44 0.58 0.67 Brazil 2003 0.49 1 1.30 1.96 2.75 4.82 2.04 Netherlands 1940 0.43 1 0.72 0.80 0.97 0.73 0.67 Portugal 1986 0.33 1 2.90 2.05 2.64 2.00 1.92 Austria 1923 0.40 1 0.48 0.36 0.48 0.60 0.63 Spain 1986 0.40 1 1.38 1.63 1.88 1.67 1.89 Russia 2009 0.49 1 1.23 0.97 1.08 1.11 0.59 Japan 1952 0.43 1 1.00 1.01 1.47 2.06 1.87 Venezuela 1996 0.44 1 1.27 0.60 0.61 0.62 0.56 Argentina 1976 0.18 1 0.48 1.28 4.48 3.98 1.82 Portugal 1987 0.35 1 0.71 0.91 0.69 0.66 0.54 Australia 1933 0.48 1 1.15 1.41 1.60 1.98 1.77 Italy 1944 0.40 1 0.53 0.49 0.42 0.47 0.52 Germany 1985 0.44 1 1.37 1.09 1.27 1.82 1.75 Brazil 2009 0.45 1 1.04 0.78 0.75 0.61 0.51 Finland 1933 0.45 1 1.12 1.26 1.84 1.85 1.75 New Zealand 1986 0.47 1 0.64 0.57 0.63 0.40 0.48 Germany 1923 0.23 1 1.09 0.71 1.69 1.57 1.74 Norway 1973 0.44 1 0.60 0.51 0.58 0.45 0.48 Chile 1991 0.49 1 1.18 1.55 2.19 2.05 1.71 Poland 1993 0.12 1 0.45 0.43 0.67 0.51 0.47 Colombia 1991 0.35 1 1.22 1.61 2.11 1.51 1.61 Venezuela 1990 0.20 1 1.34 0.59 0.69 0.58 0.44 South Africa 1933 0.35 1 1.31 1.52 1.94 1.62 1.58 Philippines 1993 0.45 1 0.92 0.81 0.94 0.35 0.39 Switzerland 1985 0.49 1 1.39 1.29 1.35 1.61 1.57 Germany 1926 0.42 1 0.93 1.03 0.78 0.57 0.36 Denmark 1972 0.48 1 1.12 1.03 1.33 1.48 1.54 Chile 1933 0.46 1 0.98 0.46 0.44 0.44 0.33 Czech 1922 0.47 1 1.17 1.03 0.98 1.05 1.52 France 1941 0.48 1 0.57 0.99 1.14 1.06 0.28 China 2003 0.45 1 0.91 1.02 1.97 3.18 1.50 Poland 1927 0.47 1 0.88 0.57 0.39 0.21 0.20 Greece 1933 0.27 1 1.17 1.18 1.20 1.49 1.39 Argentina 1979 0.28 1 0.89 0.41 0.16 0.23 0.18 Philippines 1986 0.14 1 1.37 1.64 1.88 1.35 1.38 Germany 1940 0.49 1 1.15 1.07 0.88 0.75 0.16 14 Figure 1 0.0% 1.0% 2.0% 3.0% 4.0% 5.0% 6.0% 0 1 2 3 4 5 6 1522 1542 1562 1582 1602 1622 1642 1662 1682 1702 1722 In co m e R e tu rn C a p it a l A p p re ci a ti o n Casa di San Giorgio: Share Prices and Yields 15 Figure 2 Rotterdam subscription issue | King's Request to Charter Insurance Co's | … Treasury enforces Bubble Act Aug. 18th Julian | | SS Parliamentary Committee Formed Atty General Report | | Parliamentary Committee … Amendment to the Bubble Act Completed | Jamaica ships loss reported in LC Aug. 30th Gregorian Aug. 19 Julian | Whitehall Reprimand | Atty General Committee on Insurance Incorporation Formed | | Bubble Act Signed 0.1 1 10 100 1 -J a n 3 1 -J a n 1 -M a r 3 1 -M a r 3 0 -A p r 3 0 -M a y 2 9 -J u n 2 9 -J u l 2 8 -A u g 2 7 -S e p 2 7 -O ct 2 6 -N o v 2 6 -D e c Lo g C a p it a l A p p re ci a ti o n w it h P ri ce i n d e x e d t o f ir st o b se v a ti o n o r Ja n u a ry 1 , 1 7 2 0 Gregorian Calendar Dates in 1720 Stock prices in London and Amsterdam in 1720 and a timeline of the enforcement of the Bubble Act Rotterdam Royal Exchange Assurance London Assurance South Sea WIC Parliamentary review of funding request by insurance companies 16 V. References Cameron, Rondo. "The Cambridge Economic History of Europe. Volume V: The Economic Organization of Early Modern Europe. Edited by EE Rich and CH Wilson. Cambridge: Cambridge University Press, 1977. Pp. xi, 749. $38.50." The Journal of Economic History 38.03 (1978): 810-812. Fratianni, Michele. "Government debt, reputation and creditors' protections: The tale of San Giorgio." Review of Finance 10.4 (2006): 487-506. Frehen, Rik GP, William N. Goetzmann, and K. Geert Rouwenhorst. "New evidence on the first financial bubble." Journal of Financial Economics 108.3 (2013): 585-607. Frehen, Rik GP, William N. Goetzmann, and K. Geert Rouwenhorst, 2013b, “Finance in the Great Mirror of Folly”, in The great mirror of folly: finance, culture, the crash of 1720 William N. Goetzmann, Catherine Labio, K. Geert Rouwenhorst, and Timothy G. Young, eds. (New Haven: Yale University Press, 2013. pp. 63-88. Garber, Peter M. "Famous first bubbles." The Journal of Economic Perspectives (1990): 35-54. Goetzmann, William N., and Philippe Jorion. "Re-emerging markets." Journal of Financial and Quantitative Analysis 34.01 (1999): 1-32. Goetzmann, William N., and Roger G. Ibbotson. The equity risk premium: essays and explorations. Oxford University Press, 2006. Goetzmann, William N., Lingfeng Li, and K. Geert Rouwenhorst. "Long-term global market correlations." Journal of Business 78.1 (2005). Jorion, Philippe, and William N. Goetzmann. "Global stock markets in the twentieth century." Journal of Finance (1999): 953-980. Laube (1974), Adolf Laube, Studien über den erzgebirgischen Silberbergbau von 1470 bis 1546 (Forschungen zur mittelalterlichen Geschichte 22),Berlin (Ost): Akademie-Verlag MacLeod, Christine. "The 1690s Patents Boom: Invention or Stock‐Jobbing? 1." The Economic History Review 39.4 (1986): 549-571. Murphy, Antoin E. John Law: Economic theorist and policy-maker. Oxford University Press, 1997. Nicholas, Tom. 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work_6yysmysun5ct5onafnd4aegsv4	----	Revista de Estudios Norteamericanos, n. • 8 (200 J ), pp. 11 · 26 EXILES AND ARRIVALS IN CHRISTOPHER COLUMBUS AND WILLIAM BRADFORD* JOSÉ MARÍA RODRÍGUEZ GARCÍA Universidade da Con1ña I will be concerned in this essay with a few key passages in Christopher Columbus's Journal of the First Voyage (1492-1493) and William Bradford's Of Plymouth Planta/ion (1630-1650; pub. 1856) in which the two authors invest their respective plans for a voyage across the ocean with a transcendental significance, linking them to important movements of population caused by religious persecution. In both cases persecution altemately takes on positive and negative connotations: depending on the perspective being adopted, it can be a sign of divine favor or a sign of divine punishment. While Columbus sees the expulsion of the Jews of Sepharad and the fall of Granada's last Moorish king, Boabdil, as an ornen of the discovery of a Christian paradise on earth -the original Garden of Eden- Bradford sees the exodus of the Pilgrim Fathers through England, Holland, and America as the ultimate test of faith in divine Providence that the English Israel must undergo. In the course of the fifteenth century, as «Israel» and «the Jewish people» acquired the c ultural status of the rejected other of Christendom, they also became the symbol of an e1Tant people continually striving for an interpretation of their own deferred destiny. Sixteenth -and seventeenth- century theories of national election inspired by the Reconquest of Spain and by massive religious migrations often emphasized two interdependent historical time frames , each deploying a different understanding of history and progress, and each promoting also a characteristic sense of purpose. This dual time scheme appears in Andrés de Bernáldez, Christopher Columbus, Tommaso Campanella, Robert Cushman, John Eliot, John Winthrop, and Edward Johnson, amo ng others. On the one hand, only the elect people were destined to achieve terrestrial success in this world, their lives being the culmination of a completed cycle * This essay is part of a collective research project funded by the Xunta de Galicia (S pain) for lhe ycars 1998-2000 (grant code: XUGA 10404A98). 12 José María Rodríguez García of fall and redemption.' Thus, both Columbus and the New England Puritans thought they were living in the penultimate moment of human history- the time immediately preceding the revelation of God's grand design and the Second Coming of the Messiah. On the other hand. however, the same Renaissance theorists also insisted that all contemporary events amounted to simply one more episode in the progressive history of redemption of ali humankind, a history that was to have further moments of redemption and declension in future generations. As these cataclysmic changes took place, the prerogative of imperium or dominion was transferred, according to the open-ended logic of translatio imperii, from one people to another: in each historical period God chose one people over another as his main agent to reunite the world under the rule of Christ. Although Bradford makes as many references to God's acts of Providence as a Robinson Crusoe, he does not indulge in frightful anticipations of the Apocalypse (representations of the end of the world and Judgment Day), as the third-generation Puritans will do toward the end of the seventeenth century. Bradford professed the ideology of Separatist Congregationalism, in which the individual Christian sought a direct contact with God, uncontaminated by política! institutions. This persuasion notwithstanding. he knew from the beginning that severa] churches were to rival with Separatist Plymouth. The rival forms of organized worship included the Church of England (indicted in the opening two chapters and mentioned in the Mayflower Cornpact) and Thomas Morton's bacchanalian revels (described in detail in the Merrymount chapter).2 The Pilgrims' penchant for states of extreme spiritual alert was reinforced by their living in close proximity to the Native Indians and by the establishment of the first Nonseparalist Puritan colony in Massachusetts in 1630, the same year in which Bradford set out to write his chronicle. Like most seve nteenth-cenl ur y Chrislians, regardless of their churches , Bradford seems aware of the insignificant role allotted to him in the unfolding of God 's preordained plan for the entire history of the world from the moment of creation to the Apocalypse. At the same time , however, he knows he exists in the microhistory of the Puritan nation, which is specifically informed by a smaller pattem of periodic changes of fortune, of loss and recovery or great peri! and triumph. As noted by Walter P. Wenska, the Pilgrims, «simply by being part of history, were part of the first pattern, and their experience until their arrival in New England was part of the second» ( 158). They were living in the autumn of world, at thc end of history, and believed that the advent of the messianic rule over the world (the acknowledged clímax of the Millennium), although not immediately close at hand, was bound to occur sometime in the near future. The Puritans' slow but steady march toward the Millennium in tum authorized their clairn to moral superiority over Israel, and to the New World's superiority over the bíblica] Canaan: «they declared the New World another promised land, counterpart of Canaan of old but greater, because closer to the l. Scc Pagdcn 51-54; Liss 263-90; Zagorin 163-71; Bercovitch, «Puritan New England Rhctoric» 64-69; Rifes of Asse11t 14041. 2. On Bradford's and Morlon's verbal indictmenls of each other, see Cartelli. Morton's views on the Spartan discipline dccreed at Plymouth appear in his New E11glish Ca11aan ( 1637). Exiles und Arrivuls in Christopher Columbus and William Bmdford 13 millennium, and they documented their claim with scriptural prophecies as befit a chosen people» (Bercovitch, Rites of Assent 77). The use of a dual time scheme in the interpretation of history helps explain the alternate feelings of optimism and despair that inform much of early Puritan literature. The emphasis on wordly success as a sign of divine favor also explains why neither the average Spanish explorer nor the average Puritan felt that by pursuing his own interest he was betraying the teachings of his religion. While it is true that the capitulación or charter privileges issued to Columbus did not entrnst him with any evangelical mission, and that it was the Admira! who first invoked one such purpose in his widely circulated «Letter of 1492» (also known as «Prologue to the Sovereigns» ), the invocation had the effect of endowing ali future enterprises with the appearance of a mercantile crusade. Columbus, for one, wanted to claim the Indies back from the hands of the pagans, assuming that the trading expeditions to the Orient were only a first step toward evangelizing Asia. As Margarita Zamora has put it, with Columbus it became customary to replace the earlier, medieval purposes of «comprar, trocar, hallw; haber (buy, barter, locate, possess)» with the modern ones of «ganar, descubrir, regir (acquire, discover, govern)» (Reading Columbus 27-28).3 This plan was inspired by the process of Christian Reconquest of Spain just completed with the fall of Granada in 1492. If the conquest of America soon became a displacement anda continuation of the medieval Reconquest, the Native Indians became willy-nilly the successors, in the Castilian imaginary, of the bellicose Moors of Muslim Spain.4 Together with the overtly commercial interests supported by the Castilian and English monarchs, one must also look at the political and spiritual reasons for the colonization of American territories that Columbus and Bradford adduce in their writings. It is interesting to note that, despite the century-and-a-half that separates Columbus 's first voyage from Bradford's Mayflower expedition, the two authors invoke the same two fo1ms of religious zeal as the immediate causes prompting their crossing of the ocean. The first cause is the desire lo conve11- to appeal to the minds and hearts of the unbelievers (the peoples of the Far East in the case of Columbus, and the Native Indians and Virginia and New England Anglicans in the case of the Puritans). The process of conversion was to be carried out by preaching and the force of example, eventually to bring unbelievers into the community of belief. The second cause was the more simple-minded desire to ensure by military and political means the safety and independence of one's own religious community (Christendom at large in the case of Columbus), and, better still, its predominance over others. Bradford, however, did not profess the same view of the nation put fo11h by the leaders of the Church of England. Because Bradford and the Separatists publicly refused allegiance to any institutional authorily, including the Middle-Way Congregationalists (e.g., John 3. On Columbus's use of the «descubri r y ganar» topos. sec Kadir 69-72. For its ironic occurrcnce. as «conquistados y perdidos,» in Berna! Díaz de l Cas tillo, who finished writing his eycwitncss account of thc Spanish cm,qucst of Ncw Sp'Jin s1)me seventy-fivc years aftcr Columbus's firsl voyage. see Rodríguez García 490-9 l. 4. Th.is is now a lucw dassicus in Hispanic historiography. For a gooil <;ummary of thc main thesis, <;ee Pcrez 58-62. 14 J osé María Rodríguez García Winthrop) and the Presbyterians (the representative ecclesiastical government put in praclice by the Church of Scotland), they did not envision the immediate appearance of a nation that mediated between their small scattered, self-goveming congregations and the New England Canaan. Instead , they «hoped to join the progress of tbe ' universal invisible church' in small congregations, modelled after the first Christian communities» (Bercovitch, Rites of Assent 73 ). The Separatists for the most part accepted the as-yet unredeemed nature of humankind, and so did not explicitly address the imminence of the Apocalypse, as later Puritans would do . Columbu s had a slightly different view of human his tory. He thought that America, given its exuberan! landscapes and riches, was the original Garden of Eden, which he even dared to locate somewhere up the Orinoco River (Zamora, Reading Cofumbus 137-5 1). This important difference goes a long way toward explaining why Columbu s and Bradford have very rarely be en brought together, in th e s ame discussion on the millennial rhetoric of colonialism, by either historians or literary scholars. To be sure , Bradford (unlike the Nonseparatists J ohn Winthrop and John Eliot) was more interested in having his community repeat the errand of the Old Testament prophets than he was in paving the way for the doctrinal arrival at the Terrestrial Paradise, the New England Canaan. In fact, for the older, more introverted Bradford, if he could lay his eyes on a new Canaan at ali, this was to be found in a text. In a short piece often referred to as the «Jewish Preface» to his «Hebrew Exercises,» which itself can be read as a belated poslcript to Of Plymouth Plantation , the Governor explains that while Moses discovered Canaan, he, Bradford, is content with discovering the original meanings contained in the Hebrew Scripture: Though 1 arn grown aged, yet I have had a longing desire, to see with my owne eyes, som[e]thing of that most ancient language, and holy tangue, in which the Law, and oracles of God were write ; and in which God, and angels, spake to the holy patriarks of old time; and what names were given to things from the creation. And though 1 cannot attaine to much herein, yet I am refresh- ed, to have seen sorne glimpse hereof ; (as Moyses saw the land of Ca- naan a farr off) My aime and desire is, to see how the words and phrases lye in the holy texte; and to disceme somewhat of the same, formy owne contente.s S. The text was first published, in a facsímile reproducti on preceded by a critica! introduction, by lsidore S. Meyer in 1949. ft is transcribed in a s li ghtly modemi zcd re ndering by Frankli n on p. 178 of hi s st udy, from where I have taken it. Exi/es and Arrivals in Christnpher Columhus and William Bradford 15 Bradford and Columbus seem equally fond of interpreting events in light of scriptural doctrine, setting those events either in contrast or in parallel to similar episodes narrated in the Bible. Contrary to Bradford, Columbus also identifies his own travels of exploration with the physical discovery of the ancient Canaan , the Terrestrial Paradise promised by God to David. Here I wish to argue that the frequency with which both authors resort to the tropes of exodus and errancy, their emphasis on what it means to be always on the move (both spiritually and socially), is what brings them together at the same time as it sets them apart from other figures like John Winthrop and Hernán Cortés. The only modern historian who has briefly touched on Columbus apropos of Bradford, Wayne Franklin, has noted other points of contact, although by no means does he attempt a thorough comparison. First, the two governors ended their careers reverting to a state approaching self-defensive solipsism, unable to cope with the competitors that launched altemative projecls of exploration and settlement (Winthrop eclipsed Bradford; Vespucci rivaled with Columbus), and, in Colurnbus's case, with legends of «unknown pilots» who landed on America's mainland before the Admiral.6 And second, as cosmographers and theologians, both looked for a «paradise of the mind,» Columbus imagining it in the recondite source of the Orinoco while Bradford displaced it into his study of the Hebrew Ianguage, to which he devoted his last scholarly efforts (Franklin 177-78, 182-83 ). Sin ce Columbus was not granted the opportunity to search for the Venezuelan Canaan, which he identified with the lost Garden of Eden, he turned to the composition of the Book of Prophecies (Libro de las profecías (1501-1502]). This work, like Bradford's Hebrew studies, providcd its author with sorne consolation for the failure of his plan for the establishment of an uninterrupted lineage of saints in the New World.7 As reco rds of a religious patriarch struggling to overcome his feelings of loss and nostalgia, Bradford's comments on the Hebrew Bible and Columbus 's annotation of select prophecies take their authors out of historical contingency and into the realm of the imagination. They both enact a nominalist retnrn to the language of revelation, in which ideals cannot be tainted or thwarted, and in which words are spiritual events in their own right. By contrast with Columbus, whose expedition was sponsored directly by the all-powerful crown of Castile-Aragon, Bradford did not have the full support of the same state power that granted him a charter in the first place . Yet the Plymouth Governor, a largely self-taught man and a religious ideologue like Columbus, had also a medieval imagination that made him look for analogies between bíblica! and 6. On the early efforts to dispossess Columbus, even in his own lifetíme, of the honorific title of «discoverer,» see Fcmández-Armesto 185-87. 7. The Libro de las profecías, which was compíled under Columbus' s direc tion, is best described as a not ebook of Bible studies, a repository of source materials that the Admira! occasionally u sed to argue for the immincnt fulfillmcnt of other prophecíes foretold in the Bible and in thc works of s uch ancient authorities as Sencca and Augustine. The complete tcx.t of the Libro was first published in the rare 1892-94 ltalian anniversary editio n of Columbus 's p apers (Raccolta di documenti), was translated into Spanish in 1984, and translated into English for thc first time only in 1991, in anticípation of thc Columbian quincentennial. 16 Jo"é María Rodríguez García contemporary episodes, read prophecy as history, and present personal convictions as revealed truths. An important bíblica! episode that caught Bradford 's imagination was the narration, in the Old Testament , of the exodus of the Israelites from Egypt and their crossing of a wilderness of waters (the Red Sea) in search of the Te rrestrial Paradise.R A crucial point to make here is that Bradford was from the oucset more concerned wilh lhe possibilily that the Separatists escape the bondage of body and conscience represented by European Catholicism and Lutheranism than he was with a rriving al the Promised Land, for which his Puri ta ns were not yet prepared . Accordingly, he uglifies America to avoid the temptation to see in it signs of Paradi se. He also famously compares himself to a new Moses who, af!er leading bis pilgrim saints through a «Sea of troubles» and a «desolate wilderness» cannot «go up to the top of Pisgah to view a more goodly country to feed [his people's] hopes» (69). From its first occu1Tence in the book of the same title and in Deuteronomy, «Exodus» m e ans the emancipation of God's chosen people from their bondage to an illegitimate ruler (the Pharaoh) by means of a depm·ture from the land of the oppressor. Beginning in the early seventeenth centu ry it also came to signify, according to the Oxford English Dictionary. any removal and relocation of a grou p of people because of religious, political, and even economic reasons. Columbus, who carne from a family of converso weavers and merchants and fanc ied himself, like Bradford, an interpreter of prophecies, also mentions Moses by name in the joumal entry for 23 September 1492: Como la mar estuviese mansa y llana, murmurava la gente diziendo que, pues por al lí no avía mar grande, que nunca ventaría para volver a España. Pero después ali:;óse mucho la mar y sin viento. que los asombrava, por lo cual dize aquí e l Almirante: «Así que muy ne i:;essario me fue la mar alta, que no parei:;ió salvo el tiempo de los judíos cuando salie ron de Egipto contra Moisén, que los sacava del captiverio.» (Varela ed., 23-24) The sea was a flat calm, and the crew were complaining, saying that as the sea was never roug h here there would never be a wind to take us home to Spain, but then they were as tonished w he n a heavy sea rose with no wi nd , and the Admira! wrote accordingly: «So this heavy sea came very opportunely for me; it was just like the Jews, on their way out of Egypt, arguing with Moses as he led them out of captivity.» (Cummins ed .. 89; trans. amcnded) 8. Gay ohscrvcs in a footnotc that the popularity of thc «desola te wilde mess» mctaphor did not dec line aftcr Bradford. On the contrary, for late r autho rs likc Collo n Mather (who uses the word «Wildcrnc~s» 94 times in thc MaRnalia Christi Ameri«tma [ 1702)), it hecamc «an alt-purpose, and he r.ce a lm ost meaninglc <; s. mctaphor. embrncing the Am erican ~nv .ronrn<>r~'" th; tcmptation of Jes us. Luthcr·~ ~uffering in his cxilc, King Davi d's v,.inJcr in g. nnd, <lhO\ ~ all, the ch lldren of Israel fleeing Egypt» (29 n5). Exiles and Arrivals in Christopher Columbus and William Bradford 17 Consuelo Vareta adds the following note to this passage: «¿Se identifica aquí Colón con Moisés? No hay que olvidar que emprende el viaje el mismo día de la exp ulsión de los judíos, y que parece ser que en el rol de esta primera navegación aparece gran cantidad de hebreos» (24 n22). Another episode from Scripture that also fascinated Columbus was the Lord's promise to King David of bringing the en-ancy of the Jewish nation to a conclusion by letting the Israelite king conquer the last of the four corners of the earth and build there a temple. 1 would like to propose that Columbus literalizes the relationship between the Lord and David in his own relationship with the Catholic Monarchs, whom he addresses performatively, in the «Letter of 1492», demanding that they grant him, as promised in the «Capitulaciones de Santa Fe (17 April 1492)» and the «Carta de Merced (30 April 1492)», a title of nobility in keeping with his lofty mission. While the royal docurnents insisted on Columbus's status as a subject anda vassal, he insists on the separate unfolding of bis succession as bis family becornes more powerful with each new discovery:9 Vuestras Altezas ... me hizieron grandes mercedes y me anoblei;ieron, que dende en adelante yo me llamase Don y fuesse Almirante Mayor de la mar Occéana y Visorey e Governador perpetuo de todas las islas y tien-a firme que yo descubriese y ganasse, y de aquí en adelante se descubriesen y ganasen en la mar Occéano, y así sucediese mi hijo mayor, y él así de grado en grado para siempre jamás. (Varela ed., 16)10. Your Majesties ... granted me great concessions and ennobled me, allowing me to cal! myself Don from then onwards, with the title of Grand Admira! of the Ocean Sea, and Viceroy and Governor in perpetuity of all the islands and mainland that I might discovcr and win, or which rnay be henceforth discovered and won in the Ocean Sea, and you ordained moreover that my eldest should succeed me in this, and so on through future generations forever. (Cummins ed .. 82) This passage summarizes the terms of the commission that he was granted through the «Capitulaciones» and the «Carta de Merced», which were generous in bestowing on CoJumbus unheard-of privilegcs (including the new title of viceroy ) simply because no one at the time could suspect the magnitude of the lands he was to 9. Although the history of thc composition and carly circulation of the «Letter of 1492» is far from clear, Zamora believes it was written aftcr Columbus's rcturn from his lirst voyage to America, whcn he became fully conscious of the way in which he coulcl rhetorically transform what was ini tially only a trading expedition into a large-scale enterprise of conques! govemed by a providenti al clesign. This cover letter probably was enclosed with Culumbus's revised version of the ship-log that he scnt to the Catholic Monarchs, presenting it as a day -by-day record of the navigation («El prólogo al Diario» 16; Reading Columbus 23-24, 27). 1 O. In chapter 8 of his Crónica de Jos Reyes Católicos, Alonso de Santa Cruz summarizes the privilcgcs granted Columhus in words that restate what Columbus wrote in thc «Letter of 1492» almost verbatim (chapter reproduced in Perez 102-05). 18 José María Rodríguez García conquer. No sooner did he return than the monarchs realized they had made Columbus legally the most powerful feudal seigneur of Castile, with ful! legitimate powers to dispense thc highest form of justice in his vast dominions (Kadir 66-71 ). He now held simultaneously the offices of admira], viceroy, and governor. According to Felipe Fernández-Armesto, this unforeseen development rnade tbe Catbolic Monarchs «apprehensive and alert to tbe need to curtail [Columbus's] powers» , since such powers wcre now large enough to threaten «the triumph of a centralizing monarchy.» Commenting on Columbus's thirst for titlcs of nobility, Fernández-Armesto has also argued that while Columbus was at times able to temper bis higb pecuniary demands, he could never attenuatc bis genealogical obsession, wbich goes from considering himself thc new prophet of the Messiah's Second Coming to claiming for bis lineage thc hereditary title of viceroy (69-72). 11 Columbus anticipatcs the belief of the Puritans that God will show his grace to bis people in this world by allowing them to pursue and achieve terrestrial goals in America, goals tbat in turnare rcalized ad majorem Gloriam De;. 12 After lhe success of the first and second joumeys, Columbus recast his earlier role of conqueror in to the new role of messenger. Thus . in the «Letter to Prince Juan's Nurse. Doña Juana de la Torre» («Carta a Doña Juana de Ja Torre, ama del Príncipe Don Juan» [1499)), he explains how he came lo serve the Catholic Monarchs for exclusively religious reasons. In this and other autobiographical texts . Columbus silences his earlier pilgrimage, in the late 1480s. through other European courts (notably those of P011ugal's Joao JI and England's Henry VII) in search of a sponsor.IJ He also neglects to mention the legal bond of vassalage that from lhe beginning subjected him to the will of Isabel and Fernando. with rights and obligations on both parts. lnstead. Columbus chooses to fashion himself asan appointee of God: «Yo vine con amor tan entrañable a servir a estos Príncipes, y e servido de servicio de que jamás se oyó ni vido. Del nuevo cielo y tierra que dezía nuestro Señor por Sant Juan en el Apocalipsi, después de dicho por boca de Isaías, me hizo mensajero y amostró aquella parte» [ «l carne to serve their Majeslies like no one was seen or heard to serve them before, driven by my tender love for them. God made me the messenger of tbe new heaven and the new earth of which he spoke in the Apocalypse of St. John after having spoken 1 1. Columhus saw his dynastic ambitions fullilled when king Fernando restored Diego Colón in thc office of Governor of Hispaniola and had him married to thc gra nddaughtcr of the heredita ry Admira! of Castile. On the matter of pccuniary rcwards, howevcr. the king made no concessions to him that could supplement the already ~ubstantial remittances in gold thal reached him intermittently from Hispaniola (Fcrnández-Armesto 178-79 ). 12. 1 n one suc h cosmology. both the monarch and thc individ ual Christian appear as passive subjccls of a transcendental plan. It is God who chooscs who will light and defeat His enemies and so entcr the Pro miscd Land. This line of interpretation corresponds to what Nader has called the prov iclcntialist «letrado theory of history» (besl reprcscnted by Andrés de Bernáldez) by opposition to the secular. more Machiavellian , «caballero theory of history» (bcst represcn ted by Diego de Valcra). Nader situatcs thc apcx of thc confront ation betwccn rcpresentat ives of thc two theori es in Caslile in the 1480s (27-30). 13. On Columbus's qucsI for patronage. before and after he removed to Castilc in 1488, sce Fcrnández-Armcslo 45-65. Exi/es and Arrivals in Christopher Co/umbu.s and Wil/iam Bradford 19 of it through the mouth of Isaiah, and he showed me where to find it»] (Varela ed. , 263-64; my translation). 14 By means of the word «mensaj ero» Columbus alludes here to the games with Greek and Roman etymology to which different spellings of his name lent themselves. To give an example, one of his preferred signatures, the Greco- Roman «Christo Ferens», can be rnade to mean the «transporter or bearer [ferens ] of Christ» or even, in a metaphorical extension, «one who bears testimony to Christ's (the Messiah's) Second Coming». 1s The references to John and Isaiah evince Columbus's interest in the prophetic aperture of Christian history. Yet he also had an interest in institutional closure. in moments that announce an end to the joint processes of errancy and revolution, ushering in instead a period of stability in which the original prophet and his successors achieve institutional consecration. In the Libro de las profecías, in which Columbus meant to gather all scriptural prophecies of the Terrestrial Paradise that he thought might prefigure bis own arrival in the New World, he included the passage from Chronicles 1.1 7 in which Nathan reveals to David God's designs for him: fui tecum quocumque perrexisti; et interfeci omnes inimicos tuos coram te , fecique tibi nomen quasi unius magnorum, qui celebrantur in terra. Et dedi locum populo meo Israel; plantatibur, et habitabit in eo, et ultra non co[m]movebitur .... A[n]nuntio ergo tibi, quod edificaturus sit tibi Dominus dornum. Cumque impleveris dies tuos , ut vadas ad patres tuos, suscitabo semen tuum pot fe, quod erit de filiis tuis; et stabiliam regnum eius. (West and Kling eds., 218. 220) I have been with thee withersoever thou hast gone: and have slain all thy enemies before thee, and have made thee a name like that of one of the great ones that are renowned in the earth. And I have given a place to my people Israel. They shall be planted, and shall dwell therein, and shall be moved no more .... And I declare to thee, that the Lord will build thee a house. And when thou shalt have ended thy days to go to thy fathers, I will raise up thy seed after thee. which shall be of thy sons: and I will establish his kingdom. (West and Kling eds., 219, 221) 14. Isabel of Castilc was hcrsclf, likc lhc Admira!, an avid reader of St. John 's apocalypti c cosmography and of Sir John Mandcvillc's Book of rhe Man·els of rlze World und \i1yage tlirough Jerusalem. Asill. and Africa, an intcrcst awakcncd in her by thc travels of her adventurous great-un cle Don Pedro and by two of Columbus's backers, th e Observatine Franc iscans Fray Antonio de Marchena (her astrologer) and Fray Juan Pérez (one of her confessors). There were also severa! humani st scho lars at her Court, like Andrés de Bcmáldcz (later to becom e an importan! chronicler), wh o in te rpreted rnany momenlous cpisodes during her rule as part of her divine mission to assume the role of the new Virgin M ary, the mother of the redeemcr or Messiah who was going to restore the kingdom of God on earth after the conques! of Granada and of the Holy Scpulchre. See West and Kling cds., 56-58; Liss 284-88, 152-61, 254-58. 15. Sce Kadir 1-2, 32-33, 153-54. 20 José María Rodríguez García Thinking no doubt of his own relationship with his earthly lords, the Catholic Monarchs, Columbus yokes together, in the authoritative exercise of appl ying Scripture to his experiences in America, David's mission to establish a new lineage of prophet-kings (a «house», as he calls it) in Israel and his own mission to found a Columbian dynasty in America. Both are symbolically given perpetuity through the rehearsal of a succession of generations as a material sign of God's promise of redemption to bis people. In summary: both Columbus and the Puritans repeatedly intersperse situations of immediate danger with references to events that hark back to a preexisting sacred text and therefore illustrate their assurance of being the protagonists of a divinely ordained scheme. In the «Letter of 1492» Columbus effectively links h is own departure westward with the departure of the Jews and Muslims of Spain: [E]ste presente año de 1492, después de Vuestras Altezas aver dado fin a la guerra de los moros, que reinavan en Europa, y aver acabado la guerra en la muy grande ciudad de Granada, adonde este presente año, a dos días del mes de Enero, por fuer\a de armas vide poner las vanderas reales de Vuestras Altezas en las torres de la Alfambra, que es la fortaleza de Ja dicha ciudad, y vide salir al rey moro a las puertas de la ciudad, y besar las reales manos de Vuestras Altezas y del Príncipe mi señor, y luego en aquel presente mes, por la informa\ión que yo avía dado a Vuestras Altezas de las tierras de India y de un Príncipe que es llamado Gran Can (que quiere dezir en nuestro roman\e Rey de los Reyes) , como muchas vezes él y sus ante\essores avían enbiado a Roma a pedir doctores en nuestra sancta fe porque le enseñasen en ella, y que nunca el Sancto Padre le avía proveído y se perdían tantos pueblos , cayendo en idolatrías e resr;ibiendo en sí sectas de perdir;ión; y Vuestras Altezas, como cathólicos cristianos y prín\ipes amadores de la sancta fe cristiana y acrei;entadores d' ella y enemigos de la secta de Mahoma y de todas idolatrías y heregías, pensaron de enbiarme a mí, Cristóval Colón, a las dichas pm1idas de Indias para ver los dichos prínr;ipes y los pueblos y las tierras y la disposir;ión d 'ellas a nuestra sancta fe .... ; así que, después de aver echado fuera todos los judíos de todos vuestros reinos y señoríos, en el mismo mes de Enero, mandaron Vuestras Altezas a mí que con armada suffir;iente me fuese a las dichas partidas de India .... (Varela ed., 15-16) In this year of 1492 Your Majesties brought to an end the war against the remaining Moorish kingdom on European soil, terminating the campaign in the great city of Granada, where on 2 January this year I witnessed Your Majesties' royal standards raised by force of arms on the Alhambra, the fortress of that city, and the Moorish king emerge from the gates to kiss Your Majesties' hands and those of My Lord the Prince. In that same month, on the information which I had given Your Majesties about the lands of India and a ruler known as the Great Khan (which means in Spanish «King of Kings» ), of whom I told you that he, like bis predecessors, had many times appealed to Rome for men learned in our Holy Faith to instruct Exiles and Arrivals in Christopher Columbus and Wi/liam Bradford 21 him, an appeal to which the Holy Father had not responded, and about the many peoples who were being lost through belief in idolatries and the acceptanc e of religions of damnation, Your Majesties, being Catholic Christians and rulers devoted to the Holy Christian Faith and dedicated to its expansion and to combating the religion of Mahomet and ali idolatries and heresies, decided to send me, Christopher Columbus, to those lands of India to rneet their rulers and to see the towns and lands and their dislribution, and all other things, and to find out in what manner they might be converted to our Holy Faith .... After expelling all the Jews from your kingdoms and territories, in the same month of January Your Majesties commanded me to sail to those regions of India with a suitable fleet.... (Cummins ed., 81-82) In the passage just quoted, Columbus variously represents his enterprise of conquest as an exodus (the Jews abandon Spain), a crusade (the Christians advance into Granada), and an evangelical mission (the Great Khan and his people wish to be christened). Peggy K. Liss has intelligently noted that here Columbus inverts the actual order of events: by making it look that the Jews' leaving preceded his royal comrnission (which it did not), he inserts himself in the proper sequence of prophetic conditions announcing the coming of the Last Days, intermingling his personal destiny with that of the monarchs and of the nation (286). Along with the Sephardic exodus and the voyage of Columbus, the main event lhat caused a major readjustment of power relations in Spain in 1492 was the surrender of Granada, the last Muslim hold over Iberia, to the siege of the Catholic Monarchs. Muslims who declined conversion were also forced , Iike the Jews of Sepharad, to go into exile. The synchronicity of all three movements of population has been aptly commented upon by maritime historian D.W. Meinig, for whom the events of 1492 were the end-result of a process long in the making. According to Meinig, just as the conquest of Granada simply culminated the Castilian warriors' reclaiming of the richest lowlands of Andalusia, pushing the Muslims progressively to the West, so too was Columbus's first transoceanic voyage the culmination of a long prelude of lberian Atlantic reconnaissance and island conquests. Yet this superficial coincidence can be given significant meaning, for it was in thanksgiving for the fall of Granada that Is abel equipped Columbus's expedition, and it is quite appropriate to see the reconquista in Europe and the range of the conquistadores over the Americas as successive phases in the same broad movement : the powerful outward expansion of Western Christian society. Viewed at such a scale these events of 1492 do mark an ending in the Old World, a beginning in the New, anda convenient symbolic concatenation in the larger structure of history. ( 4) A well-known phenomenon of early modem Europe was the migration of minority groups from one country to another because of religious persecution. Both 22 José María Rodríguez García Colu mbus and Bradford repeatedly recall situations and events that ill ustrate the physical and emotional afflictions ioherent in this plight. Col umbus neatly and cunningly represents the banishment of the Jews and Muslims as the fulfillment of a propbecy- the ins tauration of the monarchia hispanica. Instead of lamenting the demise o f the situation known a~ convivencia, Columbus mentions approvingly the near-sim ultaneous surrender of the «Moorish king» and the «expelling [of] a li the Jews». In Of Plymouth Pfantation Bradford also devotes severa) long passages to the topic of banishment and rnigration, listing the principal motives advising the Pilgrims to choose what he calls «self-rernoval» and «exile» from England to Holland and on to America. These motives include the impending threat of imprisonment in England; the appearance there of the «plague,» which itself takes on a biblical resonance through its intertextual allusion to the «seven plagues of Egypt;» and the series of schisms taking place within Protestantism , which he compares to the «prophets crying out the high places in Israel» (5-7). Furthermore, in Holland the Pilg1ims were forced by necessity to seek employment with other Egyptian- like oppressors-the Catholic and Lutheran artisans and merchants-thus «admitting of bondage with danger of conscience» (23-24). 16 Book I of Bradford's work is full of references to the positive and negative aspects of migration. For example, in chapter 4 we read: After they had lived in this city [of Amsterdam ] about sorne e leven or twelve years (which is the more observable being the whole time of that famous truce betwccn the state and the Spaniards) and sundry of them were taken away by death and many others hegan to he well stricken in years ... those prudent governors with sundry of the sagest members began both deeply to apprehend their present dangers and wisely to foresee the future and think of timely remedy. In the agitation of their thoughts, and much discourse of things hereabout. at length they began to incline to this conclusion: of rcmoval to sorne other place. (23) This series of removals from one place to another, enacted in the form of an exodus from the 1and of the Plwraonic oppressor (the Stuart king) to the Sod om-like lihertine ci ty (Amsterdam) and on to the Ncw World causes the dispersion of the Separatist Church, a veri table d iaspora which opens up a new horizon of trials and opportunities for the dissenters. This modern diaspora was to entaiL first of al!, thc spread of the true faith and its testing in what Bradford called, deliberately and hyperbolically, a «desolate wilderness.» As is well known , although the Mayflmrer 16. On Brad ford 's cxaggcration of thc dissulu1cness of Amstcrdam and Leyden, dcsigned to hidc the Scparatists' fear of assirnitation in thc «lovcly hospitahle citics» of the Dutch provinces. sce Gay 27-29. Exiles and Arri1•als in Cliristopher Columbus mu/ William Bradford 23 Pilgrims were quick to realize the vast natural resources of Massachusetts (as made clear in the collective work known as Mourt' s Relation: A Journal of the Pilgrims at Plymouth. written between che years 1620 and 1621), Bradford, as civil and religious leader, shows a rnarked tendency to uglify the New World by making it resemble the deserts, the wildernesses, and other hellish places found in the Bible.11 The main drawback to the enactment of a diaspora is the dilution, hybridization, and ultimate weakening of the original culture and foith as the rnembers of the group move forther away from the center wbere their identity originated. By the time Bradford set out to write his history, the Mayflmver colonists were no longer destitute immigrants in a strangc land. They were now living in the vicinity of John Winthrop's Middlc-Way Congregationalists, whose colony and church provided the nucleus of the genteel and commercial Boston in thc later seventeenth century. Bradford was quick to apprehend that the economic prosperity of his neighbors (a prosperity announced in Old Testament tex.ts, from Moses to Jeremiah) was to bring about the diaspora of the Pilgrims in the New World. As both Separatists and Nonscparatists found additional signs of their elect s tatus in the thriving prosperity of some oftheir fcllow Puritans, they also felt the temptation to go wcstward, in search of more land to explore and claim for themselves. This situation replicates Columbus's inveterate tendency to go always plus ultra - he wishes to «descubrir y ganar nuevas tierras» as he puts it in the Journal <1( the First Vciyage - inste ad of staying in the places over which he has airead y claimed jurisdiction. Bradford's role in the early stages of New England history is twofold: as a historical agent. he participated directly in the creation of the first «Community of saints» in America: and as a historical writer. he narrated retrospectively the vicissitudes of the foundatiou of the first Puritan colony in America (in Book l of Of Plymouth Pla11tatio11). and chronicled its ecl ipse against the background of Massac.:husetts Bay's rise (in Book Il). At the moment of writing Book l. in 1630, Brac.lford was aware that the Plymouth settlers now looked at the Massachusetts Bay Colony as the place where the promise made to Abraham and Moses of a new Canaan could be achievcd. Here the two altemate ai1iculations of history and progress studied by Bercovitch carne into play. Plymouth. on the one hand. with its shortage of lands and its policy of voluntary isolation, represented a single episode in the history of suc.:cessive tlourishings and dccays (or redemptions and declensions). Massachuselts Bay. on the other. represented to the world the foundation of a godly c ity on earth. Almost from the beginn ing. Plymouth was overshadowed by Massac.:husetts Bay, into wh ich it was merged in 1691, when the Ncw Charter for the colony was approved. By contrast with Bradford 's Separatist ploughmen. Winthrop's Puritan tradcsmen did not rejoice in thcir isolation from England nor did they welcome the additional hardships and trials involved in settling down in America. lnstead. thcy willing ly took the lcss traumatic path of progressively reforming their doctrines to makc them fit their immediatc need to ac hi evc cconomic success and emotional 17. For two illuminating comparisons or thc two documents. sec Hovey 5 1-56; Jehkn ~4-89. 24 José María Rodríguez García relaxation. This success would be later equated, during the years of the Antinomian controversy, with assurance of eternal salvation. But Bradford was not prepared to make such concessions, not even in 1644, when he sat down to write chapter 34 of Book Il, in which he strikes an elegiac note in the representation of Plymouth's decay: And thus was this poor church left, like an ancient mother grown old and forsaken of her children, though not in their affections yet in regard of their bodily presence and personal helpfulness; her ancient members being most of them wom away by death, and these of later time being like children trans lated into other families, and she like a widow left only to trust in God. Thus, she that had made many rich became herself poor. (334)t x. Columbus uses the imagery of the Israelite exodus and the centrifuga! movement of populations to legitimate his own process of upward social mobility. Bradford actualizes a similar diasporic movement in his representation of Plymouth as an old mother who has been abandoned physically and economically by her ambitious younger children. Neither Columbus nor Bradford realizes the dream of genealogical continuity in which the parents transmit their authority and their spiritual and material patrimony to their c hildren. In the years when he wrote each and every one of the episodes involving an exodus-like movement, Bradford knew that the Separatist experiment at Plymouth was bound to fail. lt probably did not surprise him that a large number of second-generation colonists already chose to place themselves under the tutelage of a Nonseparatist Puritan colony (Massachusetts Bay), a decision that was to grant them new opportunities for social and economic betterment. 19 What a joint reading of Columbus and Bradford teaches us is that the language of religious emancipation is inextricably bound up with the language of economic promotion. Both discourses insist on the self-differentiation of the individual Christian, firsl from the alíen culture constructed asan other, and later from one's own community. Columbus's arnbitions to become Grand Admira! of the Ocean Sea and have that title inherited by his descendant'> are parallel to the desire of the first-generation Plymouth colonists to have their children follow in their doctrinal footsteps , to define their identity not as colonists of a fertile land but as custodians of a legacy of persecution and suffering. Columbus's and Bradford's respective emphases on the exilie and nomadic condition of their pursuits result as much from the authority of the biblical intertext of Exodus as they do from the realization that the as-yet unclaimed American territoties in which they landed opened up a whole new horizon of possibilities for the economic and social a:melioration of their families and their churches. 18. For a detailed rcading of thi s passage that emphasizes Bradford's sensc of personal loss and bctrayal, see Franklin 168-69. 19. Jn a well-argued cssay on the various strands of Puritan utopianism, Peñalba García provides an apt summary of thc diluúon of Plymouth's ideals into those of Massachusetts Bay (130-35). Exiles andArrivals in Christopher Columbus and William Bradford 25 WORKSCITED Bercovitch, Sacvan. «Puritan New England Rhetoric and the Jewish Question.» Early American Literature 5 (1970): 63-73. - . The Rites of Assent: Transformations in the Symbolic Construction of America. New York: Routledge, 1993. Bradford, William. Of Plymouth Plantation, 1620-1647. Ed. Samuel Eliot Morrison. New York: Knopf, 1952. Cartelli, Thomas. «Transplanting Disorder: The Construction of Misrule in Morton 's New English Canaan and Bradford's Of Plymouth Plantation.» English Literal}' Renaissance 27 ( 1997): 258-80. Cummins, JOHN, ed. The Vóyage of Christopher Columbus: Columbus' Own Joumal Newly Restored and Translated. New York: St. Martin's, 1992. Fernández-Armesto, Felipe. Columbus. New York: Oxford UP, 1991. Franklin, Wayne. Discoverers, Explorers, Settlers: The Diligent Writers of Early America. Chicago: U of Chicago P, 1979. Gay, Peter. «William Bradford: Caesar in the Wildemess.» A Loss of Mastery: Puritan Historians in America. New York: Vintage, 1968. Hovey, Kenneth alan. «The Theology of History in Of Plymouth Plantation and lts Predecessors». Early American Literature 10 ( 1975): 47-66. Jehlen, Myra. The Literature of Colonization. The Cambridge History of American Literature. Volume One: 1590-1820. Gen. ed. Sacvan Bercovitch. New York: Cambridge UP. 1994. 11-168. Kadir. Djelal. Columbus and the Ends of the Earth: Europe 's Prophetic Rhetoric as Conquering ldeology. Berkeley: U of California P, 1992. Liss, Peggy K. Isabel the Queen: Lije and Times. New York Oxford UP, 1992. Meinig, D.W. Atlantic Ame rica, 1492-1800. The Shaping of America: A Geographical Perspective on 500 Hundred Years uf History. Vol. 1. New Haven: Yale UP, 1986. Nader. Helen. The Mendoza Family in the Spanish Renaissance, 1350-1550. New Brunswick: Rutgers UP, 1979. Pagden, Anthony. Spanish lmperialism and the Political lmagination. New Haven: Yale UP. 1990. Peñalba García, Mercedes. «Visiones eutópicas de América en la identidad colonial puritana.» RevistaAlicantina de Estudios Ingleses 2 (1989) : 127-42. Pérez, J oseph. La España de los Reyes Ca tólicos. 1986. Madrid: Información y Revistas, 1992. Rodríguez García, José María. «From the Communal "We" to the Individual 'T': The Rhetoric of Self-Legitimation in Berna! Díaz's Historia.» Revista de Estudios Hispánicos 31 (1997): 475-503. Varela, Consuelo, ed. Cristóbal Colón . Textos y documentos completos. Madrid: Alianza, 1982. Wenska, Walter P. «Bradford's Two Histories: Pattem and Paradigm in Of Plymouth Plantation». EarlyAmerican Litemture 13 (1978): 151-64. 26 José María Rodríguez García West, Dclno C. & August Kling, eds. The Libro de las profecías of Christopher Co/111nb11s: A11 en face Edition . Trans. and commcntary by West and Kling. Gainesville: U of Florida P, 1991 . Zagorin , Pérez. Societies. States, and Early Modem Revolutions: Agrarüm and Urban Rehelliom. Vol. l of Re beis and Rulers. 1500-1660. New York: Cambridge UP, 1982. Zamora, Margarita. «El prólogo al Diario de Cristóbal Colón ». Ínsula 522 (June 1990): 16-17. - . Readi11g Columhus. Berkeley: U of California P. 1993. 
work_6zqmg3eoezf4zllpqp7ght2lae	----	The ethics of innovation: Columbus and others try something new IA L McKneally Editorials D IT O R The ethics of innovation: Columbus and others try something new E Martin F. McKneally, MD, PhD When is it ethically acceptable to embark on an innovation that involves the life and health of human subjects? Our au- thors regularly submit new operations, devices, and man- agement techniques for publication in the Journal. Because professional journals and organizations are held accountable for their implicit endorsement of off-label and novel practices that prove to be dangerous or harmful, Editor Larry Cohn asked me to comment on the ethics of in- novation. I’ll begin and end with a case, describe an ethics framework for innovation, and recommend a practical approach that has served us well. THE CASE Christopher Columbus hypothesized that he could de- velop a shorter trade route to India by sailing straight west across the Atlantic. He was an experienced captain who had exceptional knowledge of ocean currents and celestial navigation. He had sailed as far west as the Canary Islands, 100 km off the west coast of Africa. During these innovative excursions, he did not fall off the edge of the world or en- counter the dragons depicted on maps of that era. The cur- rents off the Canaries, where he was alleged to have kept a mistress, ran westward toward an uncharted new world. Should Columbus have told the sailors he recruited that he was not planning to follow the navigational convention of sailing down the coast of Africa and around the Cape of Good Hope in constant sight of land? His seasoned col- league Pinchon, the captain of the Ni~na, advised recruiting seamen with the usual inducements—a good ship, good captain, rum, and the prospect of shared treasure—without mentioning the innovation of sailing an uncharted course. If Columbus insisted on full disclosure, Pinchon recommen- ded recruiting convicted prisoners with the promise of a royal pardon if they survived. Columbus retired to a mon- astery to seek consultation with the monks, pray for guid- ance, and make a decision. What should Columbus do? ETHICS FRAMEWORK Ethics is a plural noun. An ethic is a set of values, princi- ples, beliefs, and standards of conduct that guide the behav- ior of a specified group, such as journalists, lawyers, or From the Department of Surgery and Joint Centre for Bioethics, University of Toronto, Toronto, Ontario, Canada. Received for publication Dec 14, 2010; revisions received Dec 14, 2010; accepted for publication Jan 3, 2011. Address for reprints: Martin F. McKneally, MD, PhD, University of Toronto, 77 For- est Grove Dr, Toronto, ON M2K1Z4, Canada (E-mail: martin.mckneally@ utoronto.ca). J Thorac Cardiovasc Surg 2011;141:863-6 0022-5223/$36.00 Copyright � 2011 by The American Association for Thoracic Surgery doi:10.1016/j.jtcvs.2011.01.003 The Journal of Thoracic and Ca doctors. The ethic of surgery, with its foundational values of competence and commitment, is a singularly intense ver- sion of the ethic of medicine. The magnitude of the viola- tions of physical integrity and dignitary rights of surgical patients 1 and the immediacy of the surgeon’s personal en- gagement and responsibility contribute to this singularity. Surgeons take pains to explain in detail the goals, conse- quences, and expected outcomes of the surgical interven- tions they plan to perform. The variability of the terrain in which we practice leads to inevitable unplanned innovation: ‘‘We couldn’t remove the tumor, but we were able to bypass it,’’ or ‘‘We had only one donor lung, so we did a contralat- eral volume reduction on the recipient to maximize func- tion.’’ 2 Such innovations are morally justified in the court of professional opinion by their reasonableness, the lack of better alternatives, and their congruence with the values and principles of the surgical community. Planned innovations, like Columbus’ voyage, require definition and forethought. Innovation is a notional concept. There are many notions of its meaning, and no widely ac- cepted definition. To distinguish innovation from the minor incremental changes that surgeons introduce in the course of everyday practice, we have defined surgical innovation as ‘‘a new evolving intervention whose effects, side- effects, safety, reliability and complications are not widely known.’’ 3 This definition is intended to encompass transfor- mative rather than incremental changes. Although the boundary between minor incremental improvements and major transformative innovations is difficult to define, it is easy to recognize. McBurney’s decision to remove the ap- pendix through a small, muscle-splitting incision trans- formed the treatment of appendicitis. Prestigious advocates of traditional management, including William Osler, were adamantly opposed to his approach. McBurney thought that the conventional treatment—hot packs to the abdomen, morphine analgesia, turpentine enemas, rectal in- sufflation of tobacco smoke, and eventual drainage of the periappendicial abscess—was inadequate. Against the pre- vailing beliefs of medical and surgical colleagues, he devel- oped a bold new transformative treatment. The guidance documents on the ethics of innovation are reasonable but insufficient. For example, the Declaration of Helsinki 4 is the Journal’s reference standard; it autho- rizes us to try unproven treatments when nothing else works, to save life, re-establish health, or alleviate suffer- ing. ‘‘In the treatment of a patient, where proven interven- tions do not exist or have been ineffective, the physician, after seeking expert advice, with informed consent from the patient or a legally authorized representative, may use an unproven intervention if in the physician’s judgment it rdiovascular Surgery c Volume 141, Number 4 863 mailto:martin.mckneally@utoronto.ca mailto:martin.mckneally@utoronto.ca http://dx.doi.org/10.1016/j.jtcvs.2011.01.003 Editorials McKneally E D IT O R IA L offers hope of saving life, re-establishing health or alleviat- ing suffering. Where possible, this intervention should be made the object of research designed to evaluate its safety and efficacy. In all cases, new information should be re- corded and, where appropriate, made publicly available.’’4 The problem with this principle is that it allows innovation only where proven interventions do not exist or are ineffec- tive. Innovations in areas that might make the treatment cheaper, quicker, less debilitating, or easier to teach are ig- nored. We innovate to improve interventions that are al- ready in existence and effective but may be too expensive, slow, uncomfortable, or inconvenient. A thoughtful book, Ethical Guidelines for Innovative Surgery, 5 summarizing 5 years of study and 2 conferences on surgical innovation, addresses some of these issues. It will reward careful reading and provides a basis for further research. ETHICAL ISSUES SPECIFIC TO INNOVATIVE SURGERY An issue is an important social question to which there is often more than one reasonable answer. The important issues confronting innovators and those accountable for innovations are consent, validity, competence, conflict of interest, cost, and oversight. Consent The issue of consent is particularly sensitive and easily mismanaged. In a progressive society, procedures that are described as new are often presumed to be improvements relative to those that are older. Patients subjected to un- proven interventions should be explicitly informed about the innovation’s novelty and lack of a proven record of ef- fectiveness. Consent for the first patient to undergo heart surgery with cross-circulation is well described in G. Wayne Miller’s excellent book King of Hearts: The True Story of the Maverick Who Pioneered Open Heart Surgery. 6 ‘‘The Gliddens remembered their daughter LaDonnah, who had been born with the same [ventricular septal] defect.. They were willing to try almost anything to spare their baby Gregory their daughter’s fate.’’6 In obtaining their con- sent for a landmark innovative operation, ‘‘[Walt] Lillehei told the Gliddens that his ‘‘artificial heart’’ was actually an- other person—in fact, one of them. [He] drew a diagram of cross-circulation and talked of his experimental success with dogs.’’ 6 In contrast, many innovators are tempted to take the easy and less transparent approach, saying simply, ‘‘We have a new [and, by implication, better] way to do your operation.’’ Participants undergoing innovative interven- tions should be informed of the novelty of the undertaking. Validity The issue of validity is less settled with innovation than with accepted standard procedures, although many of the 864 The Journal of Thoracic and Cardiovascular Surg latter remain unvalidated. Valid interventions are effective, well-founded, and able to produce the desired result. The word valid derives from the Latin validus, meaning strong. An innovation may be presumed to be valid if it is founded on reasonable evidence of feasibility and effectiveness. This evidence may come from unplanned successful experience in an emergency, studies in animals, or demonstrations in the anatomy or pathology laboratory. Further support may come from the experience and endorsement of peers work- ing with similar frontier technologies and techniques. Intro- duction of an innovation is ethically justified on the grounds of probable validity, as judged by competent professionals. This remains a claim until validating evidence has been de- veloped with the help of well-informed, willing patients. Successful application in their care provides the basis for eventual recognition of the innovation as a validated com- ponent of the surgical armamentarium. Competence A foundational element of the surgical ethic is compe- tence to perform the appropriate surgical intervention with a high probability of success and a low risk of compli- cations. Many innovations challenge the competence of the surgical team. The learning curve—the progression in knowledge and skill in performance of innovative procedures—should be managed collaboratively with col- leagues under professional oversight. 7 There is an addi- tional issue of the impact on training. As teachers work on mastering new techniques, such as robotic cardiac sur- gery or video-assisted thoracic surgery, the operative expe- rience of their residents and fellows is inhibited. In some instances, gaining sufficient confidence to teach new proce- dures can take a year or longer. Conflicts of Interest Conflicts of interest arise in ‘‘situation(s) in which an in- terest (financial, personal, political) can interfere with a duty.’’ 8 The financial, personal, or reputational interests of innovative surgeons can compete with their fiduciary duty to put patients’ interests first. The temptation to in- crease market share, academic credit, or personal notoriety may lead to overuse or less attention to the cost of new tech- nology. Professional oversight can help to manage this risk. Cost The issue of cost arises because innovations in health care have been linked to the rapid rise in the cost of health care, potentially disadvantaging such other priorities as educa- tion and highway safety. Technologic innovation is believed to be responsible for the rise of the cost of health care at 2 to 3 times the rate of inflation. At hospitals emphasizing fron- tier technologies, the rate may be substantially higher. This conflict is an issue in societal justice, not simply a hospital management problem. ery c April 2011 McKneally Editorials E D IT O R IA L Oversight The issue of oversight requires special consideration. Re- sponsibility for ensuring that consent, validity, conflicts of in- terest, and cost are managed correctly is a professional issue. The chief of service and the institutional trustees are held publicly accountable when innovations go awry. Although some institutions delegate responsibility for oversight to in- stitutional [ethics] review boards or research ethics boards, innovation is not research. There is a family resemblance between them, arising from their experimental nature. Research is designed to produce generalizable knowl- edge, with carefully controlled methods for patient selec- tion and treatment assignment and with specified uniform techniques and outcome measures. The conduct of research is specified in predetermined, agreed, approved protocols to minimize the effects of chance variables. In contrast, the methods, patient selection, technical steps, and manage- ment are constantly evolving during the development of an innovative surgical procedure (Table 1). The innovators’ question is, ‘‘How can we make this work?’’ With time, pa- tient selection, management approaches, instrument modifi- cations, and techniques evolve. When all these have been settled, formal research can be undertaken to test hypothe- ses about the innovation, to answer the question, ‘‘Is this better than the standard approach?’’. Almost every major advance in medicine and surgery has been introduced through the pathway of innovation. Anes- thesia, antibiotics, arthroscopy, aneurysmectomy, and aortic valve replacement exemplify only a few of the a’s. Innova- tions can be hypothesis generating, but formal research to compare the outcomes with conventional treatment follows relatively rarely. THE CASE REVISITED Columbus did disclose his novel plan to the men he re- cruited. Unlike Pinchon, he reasoned that they should not all be thought of as identical members of a single category, with identical attitudes toward risk. This wise decision gave more risk-averse candidates, or those with pregnant wives or aging parents, the opportunity to opt out of a heroic ad- venture with unknown risks. Rejection of Pinchon’s prisoner proposal may have saved Columbus’s life. When the voyage stretched longer and lon- TABLE 1. Innovation versus research Innovation Research Techniques Evolving Defined Outcome measures Evolving Defined Patient selection Evolving Defined Conclusions Tentative, particular Generalizable Oversight Professional Societal (institutional review board, research ethics board) The Journal of Thoracic and Ca ger and the crew became restless, some turned against the captain, considering mutiny. If he had chosen criminals, with their ingrained distrust of authority and advanced edu- cation in violence, he might not have lived to celebrate his discovery of Hispaniola and the new world. HOW WE INTRODUCE SURGICAL INTERVENTIONS At several of the teaching hospitals at the University of Toronto, a helpful ‘‘Enabling Innovation’’ protocol has been in place for several years. 9 1. The surgeon initiates an ‘‘Enabling Innovation Let- ter’’ to the Surgeon-In-Chief (SIC), describing the in- novative procedure or device, the rationale for the request (including expected benefits, risks, and costs), and the names of 2 informed colleagues who endorse the validity of the proposal. These may be internal or external advisors whom the SIC can consult if needed. 2. The surgeon pledges to add the ‘‘Columbus Clause’’ to the standard consent form: ‘‘Iunderstandthatthistreat- ment is new to this hospital. I will be one of the first [x] patients to receive it here. I have been offered the stan- dard treatment. My doctors and nurses are working to find the best way to perform the new treatment and learn which patients will benefit most from it.’’ 3. If needed, the SIC consults members of an unconv- ened innovation task force of nursing, anesthesia, en- gineering, ethics, and legal personnel who are familiar with the Enabling Innovation pathway. 4. The SIC shows the letter and consent form to the chair of the research ethics board, who accepts or advises full review. This step proved useful in the early adop- tion phase of the policy. The research ethics boards no longer consider this necessary unless the SIC decides it is appropriate. 5. The innovator reports the outcomes of the first patients treatedtotheSIC,withhelpfromhospitaldatamanagers and cost estimates from the operating room manager. 6. Formal research is initiated if and when appropriate. Like Columbus’ sailors, patients are not identical mem- bers of a single category with identical attitudes toward risk. Some are intensely risk averse, some are foolishly ad- venturous, and some are heroes who are well suited to partic- ipate in advancing the frontier of medical science. Because the risks and outcomes of innovative surgical procedures are not always predictable, it seems fair and responsible to use more thorough procedures for disclosing the uncer- tainties associated with innovative surgical interventions. In summary, surgical innovations should be able to meet ethical standards of appropriate consent (including disclo- sure of their novelty), validity, competence, management of the conflicts of interest that might encourage their over- use, assessment of the impact of their cost on institutional or rdiovascular Surgery c Volume 141, Number 4 865 Editorials McKneally E D IT O R IA L societal resources, and oversight to ensure that the consent, validity, conflict of interest, and cost criteria are managed correctly. Bryce Taylor, Jacob Langer, John Wedge, and Randi Zlotnik- Shaul contributed to the development of the Enabling Innovation policy. Deborah McKneally made helpful revisions to the manuscript. References 1. McKneally MF. Managing expectations and fear: invited commentary on ‘‘Inde- cency in cardiac surgery: a memoir of my education at a super-esteemed medical place (SEMP),’’ by Dr. Edmund Erde. J Card Surg. 2007;22:49-50. 2. Todd TR, Perron J, Winton TL, Keshavjee SH. Simultaneous single-lung trans- plantation and lung volume reduction. Ann Thorac Surg. 1997;63:1468-70. 866 The Journal of Thoracic and Cardiovascular Surg 3. McKneally MF, Daar A. Introducing new technologies: protecting subjects of sur- gical innovation and research. World J Surg. 2003;27:930-5. 4. World Medical Association. WMA declaration of Helsinki ethical principles for medical research involving human subjects [Internet]. Ferney-Voltaire, France; 2008. Available at: http://www.wma.net/en/30publications/10policies/b3/index. html. Accessed January 30, 2011. 5. Reitsma AM, Moreno JD. Ethical guidelines for innovative surgery. Hagerstown, MD: University Publishing Group; 2006. 6. Miller GW. King of Hearts: the true story of the maverick who pioneered open heart surgery. New York, NY: Random House; 2000:4-6, 107. 7. McKneally MF. Video-assisted thoracic surgery: standards and guidelines. Chest Surg Clin North Am. 1993;3:345-51. 8. Khushf G, Gifford R. Understanding, assessing, and managing conflicts of interest. In: McCullough LB, Jones JW, Brody BA, eds. Surgical ethics. New York, NY: Oxford University Press; 1998:342-66. 9. McKneally MF. Editor’s column: enabling innovation. Univ Toronto Surg Spotlight [Internet]. Winter 2005-2006:15. Available at: http://www.surgicalspotlight.ca/ Shared/PDF/Winter06.pdf. Accessed January 30, 2011. ery c April 2011 http://www.wma.net/en/30publications/10policies/b3/index.html http://www.wma.net/en/30publications/10policies/b3/index.html http://www.surgicalspotlight.ca/Shared/PDF/Winter06.pdf http://www.surgicalspotlight.ca/Shared/PDF/Winter06.pdf Outline placeholder The case Ethics framework Ethical issues specific to innovative surgery Consent Validity Competence Conflicts of Interest Cost Oversight The case revisited How we introduce surgical interventions References 
work_73mz2gwtyrehxbaljpxgm5h3ne	----	Brit. 7. vener. Dis. (1974) 50, 169 Changing patterns of treponemal disease R. R. WILLCOX* St. Mary's Hospital, London, and King Edward VII Hospital, Windsor It has been postulated that T. pallidum of syphilis arose originally from free-living treponemes in mud, of which T. zuelzerae still remains representative (Veldkamp, 1960). These organisms then came to be carried commensally by man, as are the dental treponemes today. Disease syndromes then developed as natural selection ensured the optimal survival of mutants most likely to produce the lesions best suited for onward transmission from host to host in the prevailing environment (Willcox, 1972). The three treponemes which are pathogenic to man are T. pallidum, the cause of venereal and non- venereal syphilis, T. pertenue of yaws, and T. carateum of pinta, all of which have a similar morphology and evoke so-far indistinguishable antibodies in infected persons. In animals, T. cuniculi has evolved sep- arately in the rabbit in which it is responsible for a naturally occurring venereal disease (cuniculosis), while a more recently discovered member of the group, T. Fribourg-Blanc, has been isolated from monkeys in yaws areas (Fribourg-Blanc, Niel, and Mollaret, 1963). Of the treponematoses affecting man, venereal syphilis is ubiquitous, yaws is a disease of the tropical belt, endemic syphilis is encountered in adjacent dry areas, while pinta is confined to the Central and South Americas. Evolution of pinta It has been postulated (Cockburn, 1961; Hackett, 1963) that pinta was the first treponematosis to evolve within the Afro-Asian land mass, from which it gained world-wide distribution, finally persisting amongst underprivileged peoples in the remoter areas of the Central Americas and the Northern part of the South American continent-being most prevalent today in Mexico, Colombia, Peru, Ecuador, and Venezuela. Some i million cases of pinta were Received for publication October 15, 1973 Presented at the II Venezuelan Congress of Dermatology, Caracas, Venezuela, in September, 1973 *Member of the W.H.O. Expert Panel on Venereal Infections and Treponematoses believed to exist 20 years ago (Guthe and Willcox, 1954). The understanding of this disease owes much to the pioneering work of Herrejon (1938) and later of Varela and others in Mexico (Rein, Kitchen, Marquez, and Varela, 1952); Guimaraes, Rodriquez, Costa, Silva, and Padilha Goncalves in Brazil; Leon Blanco in Cuba; and Sainz in Ecuador. In Venezuela it has been studied by Iriate, Rossi, and others but particularly by Dr. Martin Vegas, Honorary President of this Congress, and its Co- ordinating Secretary, Dr. Rafael Medina. Dr. Medina has been described (Smith and 14 others, 1971) as 'the world authority on the non-venereal treponematoses having had more experience with clinical yaws and pinta than virtually any other living physician'. He has contributed much to our knowledge of cross-immunity between the tre- ponematoses (Medina, 1967), and with Dr. Kuhn and colleagues in Atlanta has successfully established the disease in the chimpanzee (Kuhn, Medina, Cohen, and Vegas, 1970). The lesions of pinta virtually only affect the skin (apart from the odd juxta-articular node) although a case with co-existing interstitial keratitis has been described (Smith and others, 1971). It starts with an initial lesion, and subsequently satellite or more remote skin lesions (pintides) of various hues develop, which may be pink, brown, blue, and black, finally becoming white or achromic. It is spread by direct skin contact amongst poor peoples, particularly in the lower age groups. Half of the series of Rein and others (1952) comprised persons below 15 years of age. Evolution of yaws It has been considered that yaws evolved from pita as a humid warm environment developed in Afro- Asia. The new climate, resulting in much local moisture from sweating, favoured the production of exuberant skin lesions containing vast numbers of treponemes such as are found in the papillomata, nd other infective manifestations characteristic of fram- boesia or yaws (Hackett, 1957). The surface lesions of o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ 170 British Journal of Venereal Diseases yaws, like those of pinta, may remain infective for long periods of time. The absence of clothes with resultant liability to trauma, which facilitates the entry of the organism, and person-to-person contact of sweaty skins in a tropical environment, facilitated its rapid spread amongst primitive communities and its very contagiousness ensured that it was mainly a disease of childhood. Through the centuries yaws has been one of the world's most prevalent infections, which for practical purposes had been contained between the Tropics of Cancer and Capricorn although with modern travel the occasional case may be encountered in temperate zones (Fig. 1). Before the WHO-assisted mass campaigns were extensively mounted, it was esti- mated that some 50 million cases existed, half of them in Africa (Guthe and Willcox, 1954). In these campaigns against the endemic treponematoses organized by WHO in 46 countries, the prodigious total of 160 million people has been examined and 50 million treated with penicillin as clinical cases of yaws or endemic syphilis, or as latent cases or contacts (Guthe, Ridet, Vorst, D'Costa, and Grab, 1972). The incidence of the disease has been reduced to extremely low levels in many areas (e.g. from 2-95 to 0 005 per cent. of clinically active cases in Western Samoa), although continued seroreactivity to tests with treponemal antigens has suggested that the disease continues to be transmitted in the community, possibly at a subclinical level. It is stated that early infectious cases are now virtually eliminated from Venezuela. Yaws, unlike pinta, can have more serious compli- cations remote from the skin, such as early osseous involvement and late gummatous manifestations. Although not thought to have cardiovascular or neurological complications, or to be transmitted to the fetus, in the so-called Caracas project, Smith and others (1971) found ocular abnormalities, raised immunoglobulin levels in the cerebrospinal fluid, and treponemes in the aqueous humour of some patients with late yaws. Evolution of endemic syphilis A further development followed in the more arid regions bordering on the yaws areas where the still very warm but now dry climate, frequently cold at night, necessitated the wearing of clothes, thus preventing skin-to-skin transmission. Only organisms producing lesions of the mucous membranes could now survive by means of direct transmission by kissing, or indirectly through the intermediary of common eating or drinking vessels (Grin, 1953) or fingers (Guthe and Luger, 1957), although condy- lomata lata and skin lesions are encountered, parti- cularly in moist areas. Because infection tended to occur before puberty, sexual spread was seldom noted as by the time the children were old enough for sexual intercourse they had already acquired the disease. In all of the endemic treponematoses, there is the vicious circle of poverty creating disease and disease creating poverty (Fig. 2). Endemic syphilis acquired prominence when it was described usually in desert or near-desert regions in a number of Middle-Eastern countries under the name bejel (Hudson, 1928; Csonka, 1952) or balash. It is also found today in Africa in countries FIG. 1 Primary dark-field positive yaw on ankle of West Indian child who had been resident in Londonfor only a few months o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ Changing patterns of treponemal disease 171 only at the end of the 15th century, when Christopher Columbus and parts of the Americas were unfairly incriminated. Like other sexually-transmitted diseases the inci- dence of venereal syphilis has been high in times of war, and the period during and immediately after the second war was no exception. The more settled conditions of peace and the introduction of effective treatment with penicillin led to a dramatic fall, but in the past 10 to 15 years numbers have again risen in many countries although in most they remain at less than one-tenth of the wartime peak. F IG. 2 Vicious circles of endemic treponematoses bordering on the Sahara desert in the North (Basset and Boiron, 1965), and it has also been found in the South adjacent to the Kalahari desert in present-day Rhodesia-where under the name njovera it was observed by the author when making a survey (Willcox, 1951a, b), and in adjacent Botswana (Murray, Merriweather, Freidman, and de Villiers, 1956). It also still exists in the Karoo in the Transvaal (Du Toit, 1969) and in the North-Western Cape areas, and has recently been observed around Bloemfontein (Scott and Lups, 1973). In these areas gangosa-like lesions and other late complications may be encountered. The 'give-away' sign of its existence is the finding of a nipple chancre in a mother caused by her infected child. Foci of endemic syphilis were present in Europe, in Bosnia, Yugoslavia, even after the second world war, but have since been successfully eradicated by mass campaigns (Grin and Guthe, 1973). Between the wars it extended over wide areas of the Southern U.S.S.R., Turkey, and the then Palestine. There are also many historical examples, including the sibbens of Scotland, the button scurvy of Ireland and the radesyge of Norway (Lancereux, 1868). Emergence of venereal syphilis Venereal syphilis develops from endemic syphilis as social advance limits transmission between children; as the children grow up they are then susceptible to its sexual transmission (Willcox, 1960). With this trend some unhygienic habits still persist (e.g. sharing of pipes and toothpicks, widespread mouth- to-mouth kissing, wet nurse practices, etc.), and both venereal and non-venereal syphilis exist together, the former being found in the older age groups in those who have not experienced the childhood infection. It is considered probable that endemic syphilis was once widespread in non-tropical regions including Europe, where it was recognized as a venereal disease Continuing evolution of syphilis EFFECTS OF DETERIORATING ENVIRONMENT Changes in the distribution, severity, clinical ap- pearances, and other features of syphilis still continue as man's habits and environment alter for the better or worse, particularly since the introduction of penicillin and other antibiotics. The gradually extending process of urbanization has itself contri- buted to the waning of pinta, yaws, and endemic syphilis in many areas, but a reversal of this process is possible and is reported from time to time when social conditions deteriorate and infections once again occur among children. Such a reversal from venereal to non-venereal syphilis has been recorded from a number of coun- tries even in the penicillin era (Murrell and Gray, 1947; Fejer, 1948; Eisenberg, Plotke, and Baker, 1949; Rajam and Rangiah, 1952; Rees, 1954; Taylor, 1954). A more recent experience was described by Luger (1972); three children were infected in a crowded ex-barrack building in Vienna, although the room occupied by the family of nine also contained the luxury items of a refrigerator, television set, record-player, and two transistor radios. With the present population explosion and increasing accommodation difficulties, including the unwelcome growth of shanty towns near to modem cities in many parts of the world, such small-scale reversals of treponemal evolution are to be expected from time to time. EFFECTS OF PENICILLIN Action of penicillin This antibiotic acts during the growth and division of T. pallidum and related treponemes when the cross-linked chains of N. acetyl glucosamine and N. acetyl muramic acid, which form a matrix in the outer cell wall to contain the inner protoplast like o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ 172 British J7ournal of Venereal Diseases the outer skin of a football (Fig. 3), are breached by the hydrolytic action of a lysozyme manufactured by the organism (Fig. 4). The enlarging gap is restored |Transpeptidasel Mureine precursors INN* / 00; l ITranspeptidasel fZAP FIG. 5 Cell wall biosynthesis. Stage two a N-acetyl-muramic acid ( N-acetyl.glucosamine FIG. 3 Mureine structure of T. pallidum cell wall after Pelzer (1967), Kern (1972), and Luger (1973) FIG. 6 Cell wall biosynthesis. Stage two M FIG. 4 Cell wall biosynthesis. Stage one (after Luger (1973) andKern (1972)) by means of mureine precursors, which pass through the cytoplasmic membrane of the protoplast to be reconstituted through the action of several enzymes including carboxypeptidases and particularly trans- peptidase (Fig. 5). These enzymes affect the strength- ening cross-bondings between the adjacent reforming chains (Pelzer, 1967; Kern, 1972; Luger, 1973) (Fig. 6). By the affinity of penicillin for these enzymes, particularly transpeptidase (Fig. 7), and by inter- fering with the proper assembly and production of the mureine precursors, the antibiotic prevents their effective peformance, thereby allowing the un- affected lysozyme to continue to breach the cell wall more quickly than it is being renewed. Internal osmotic pressure will then cause the protoplast to bulge through the rent in the outer casing and this may ultimately burst or destroy the organism (Fig. 8). Effectiveness of penicillin Penicillin has been shown to be effective in the treatment of early infections with pinta, yaws, and syphilis, both endemic and venereal, even in single injections of the right preparation, notably procaine penicillin in oil with aluminium monostearate (PAM) and benzathine penicillin. There are no signs that T. pallidum is becoming resistant to penicillin, although the inability to culture the virulent organism in vivo makes precise assessment of this point impossible (Schamberg, 1963). The antibiotic has proved virtually 100 per cent. successful in the incubation period, when it is widely used for epidemiological treatment, and in seronega- tive primary syphilis; in serpositive primary and in secondary syphilis the clinical results are excellent, with re-treatment rates around 3 to 10 per cent., and even then many such recurrences are probably re-infections (Idsoe, Guthe, and Willcox, 1972). Seroreversal of reagin tests is the rule, although the treponemal immobilization and FTA-ABS tests may continue to show reactivity which may or may not be associated with persistence of the organism. In the late infection gummata quickly heal and good results are also obtained in neurosyphilis with o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ Changing patterns of treponemal disease 173 ,-Lactam ring l (3NH-CH-CH/ \Co3I-CLH C7- N CH-COO-( |Transpeptidase I + HOH -CH-CH- O=C7 N- |Transpeptidase | FIG. 7 Action of penicillin Lysozyme 'dose s Penicillin Penicillin - Tra nspeptidase FIG. 8 Action of penicillin meningeal involvement. The outcome is less striking in parenchymatous neurosyphilis, in cardiovascular syphilis, and in complicated late congenital syphilis. In late latent syphilis, and indeed in late syphilis as a whole, seropositivity usually persists, although future complications are largely prevented. Changes in the clinical pattern There have been striking changes in the clinical manifestations of syphilis since the introduction of penicillin. Exuberant secondary lesions of skin and mucous membranes are now rare in many areas as are ulcerative skin lesions, and syphilis seems to be becoming a milder disease. This may be partly due to better nutrition and to better standards of hygiene which may well explain the decline in the prevalence of condylomata lata. However, it would not be unreasonable to suppose that the disease would become milder under 'antibiotic bombardment', as those strains of the organism which did not draw attention to themselves by provoking a marked host response would be those more likely to survive. In the untreated disease approximately one- quarter of the patients used to undergo secondary infectious relapse (Gjestland, 1955) but today this is seldom seen. Likewise the total incidence of late complications are observed to fall wherever figures are compiled (Kiraly and Causse, 1973). Gummata, which were at one time rife-especially when the incidence of early infection was high (Grin, 1953)- have virtually disappeared in many places; at St. Mary's, where around 10 per cent. of the annual total of cases of early syphilis in England and Wales are encountered, a year or more may pass without a gumma being seen. Early congenital syphilis has also become very rare, infection in the child having been prevented pre-natally or cured by penicillin while still in utero. On the other hand, as penicillin is so quickly effective, re-infections with syphilis, at one time seldom encountered, are now common. In 1972, of 165 patients with early infectious syphilis seen at St. Mary's, 22 (13 3 per cent.) had experienced 26 earlier attacks of the disease, in eighteen instances 3 o 11 years previously. Persistence of treponemal forms After very painstaking examinations Collart, Borel, and Durel (1962), in France, found treponemal forms in the lymph glands and cerebrospinal fluid of both penicillin-treated rabbits and humans who had not been treated early in the disease. They were later found in the cerebrospinal fluid of patients with untreated and treated late syphilis (Rice, Dunlop, Jones, Hare, King, Rodin, Mushin, and Wilkinson, 1970) and also in the aqueous humour (Smith and Israel, 1967) and more recently in Venezuela in patients with yaws (Smith and others, 1971). In only a few instances have these organisms been passaged in rabbits (Turner, Hardy, and Newman, 1969), but animals which have received passaged material may develop positive serological reactions to trepo- nemal antigens and some of these have later been shown to carry treponemes (Yobs, Clark, Mothershed, Bullard, and Artley, 1968). This phenomenon could be related to the occurrence of such reactions amongst apparently normal children in yaws areas where near-eradication of the early clinical disease has apparently been achieved by mass treatment (Guthe and others, 1972). While some doubt exists as to the significance of these organisms, e.g. whether they are derived from the mouth or other sources, the possibility remains that they are T. pallidum which have not been over- come by the low levels of penicillin commonly encountered in the fluids in which they are found or which may have survived as 'L' forms. These have been observed for some years with cultured tre- ponemes in an unfavourable penicillin environment, and have also been observed in syphilitic tissues o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ 174 British Journal of Venereal Diseases under the electron microscope (Ovcinnikov and Delektorskij, 1971). Collart, Franceschini, and Durel (1971) believe that, if penicillin treatment is given during the first 3 months of a syphilitic infection, the treponemes disappear and there is no persistent reactivity to the TPI test. In infections of 2 or more years' duration, treponemes are still found after penicillin therapy. Lymph node transfer tests are positive in about 5 per cent. of such cases and cortisone therapy can activate some infections to produce clinical lesions. It is postulated that, in the latent period, the untreated host develops resistance so that the parasites vegetate in a commensal state, but the possibility cannot be excluded that under unknown biological conditions they may recover their virulence. Venereal syphilis fills treponemal disease vacuum In areas where near-eradication of yaws has been achieved by mass campaigns or by advancing civilization resulting in urbanization and the wearing of clothes, the herd immunity to syphilis due to past yaws is now removed and venereal syphilis tends to take its place. Such an event has been reported in Tahiti (Van der Sluis, 1969), Western Samoa (Guthe and others, 1972), and in New Guinea (Rhodes and Anderson, 1970; Bell, 1971). The writer has had the good fortune to witness the situation in New Guinea. Here venereal syphilis has spread through the centre of the country along the new highway, in some parts a rough winding mountainous road, which extends from the port of Lae in the east to Mount Hagen in the Western Highlands. Syphilis did not exist in this area up to 3 years or so ago, although gonorrhoea was prevalent, as was yaws until a mass campaign was undertaken in 1957. Today syphilis is being carried by the truck-drivers and the so-called 'passenger-meris', who prostitute themselves in the villages along the route and with the drivers in their journeys to and from more prolonged prostitutional activities in Lae. The dissemination of the disease amongst the local population is in proportion to the prevailing sexual freedom, the spread being most extensive amongst the promiscuous Chimbu. In the male, primary chancres are encountered in half the clinical cases, although many are atypical. Most of the remainder of clinically affected males show condylomata lata, sometimes in the axillae (Fig. 9). In the female, secondary condylomatous lesions are usual but primary lesions are sometimes observed. Secondary rashes are only occasionally encountered but maybe these by themselves do not FIG. 9 Condylomata lata in the axilla (Courtesy of Bell, 1971) prompt patients to seek treatment. The same applies to oral mucous patches. Treponemes resembling T. pallidum can be found in the lesions. Donovanosis (granuloma inguinale), of which the number of reported cases exceeds 40 per cent. of the reported cases of syphilis in adjacent Papua, need cause no confusion when the lesions are extensive, and can be confirmed by appropriate pathological tests, but may well do so when no darkfield tests for treponemes or smears for Donovan bodies are made. Thus, even now, towards the end of the 20th century, an opportunity still exists of observing the rapid 'syphilization' of a susceptible community. EFFECTS OF MAN'S BEHAVIOUR Population movement All the treponematoses have been distributed during mass migrations (Hudson, 1965), including religious pilgrimages (Hudson, 1963), and the African slave trade (Hudson, 1964). The role of the seaman and soldier in the spread of syphilis and other sexually- transmitted diseases is traditional. In modern times, of no less importance are migrations in search of work or fleeing from oppression, and latterly the 'travel explosion' of tourists (Guthe and Willcox, 1971). It is estimated that there are now more than six million migrant workers in Europe alone, 20 to 30 per cent. of whom return to their countries each year to be replaced by more recruits. The world figure for tourists in 1971 was around 170 million, approxi- mately three-quarters involving Europe (WHO, o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ Changing patterns of treponemal disease 175 1972). These movements, and the accompanying social circumstances, make possible a far greater international exchange of syphilis and other venereal diseases than ever before and, in the case of the tourist, the diseases may be brought home to the smallest towns and villages. Increased promiscuity With greater opportunity for the two sexes to meet without supervision and with the removal of pre- viously inhibitory influences, there has been an increase in promiscuity, both heterosexual and homosexual. Quite small increases in promiscuity can have alarming effects in closed groups. In any 'closed' group of any size, it only needs one additional outside sexual link to introduce venereal disease, possibly to all. This can happen in groups in which half or even two-thirds have only one sexual partner (Willcox, 1973) (Fig. 10). 2/3 of this qroup have only one consort yet one outside link could result in all infected It is presumed that the numbers of different contacts per unit of time has increased, although there are no firm data to support or refute this. Certainly anal chancres are a more commonly recognized presentation of early syphilis today, although it might be argued that previously they were frequently missed. Although many individual physicians have presen- ted data concerning the incidence of homosexual infections, there are few nation-wide data. One such study has been recently undertaken in the United Kingdom (British Cooperative Clinical Group, 1973), in which 176 clinics in 153 towns and cities participated and the cases included comprised 90 per cent. of the reported national totals of primary and secondary syphilis treated during the year, and 86-1 per cent. for gonorrhoea. Of the total of 924 male infections treated, 532 penile infections were believed to have been hetero- sexually acquired and 172 homosexually; 220 infections were anorectal. Thus homosexuals were responsible for 42-4 per cent. The percentage was highest (45 -9 per cent.) in England, those for Scotland and Wales being 13-5 and 9 5 per cent. respectively. In England, outside London, the percentage of known homosexuals with early syphilis was 25-1, but reached 62-1 in the twenty participating clinics in the capital. In London four out of five of the homo- sexuals with syphilis were treated in but five clinics in the West End, where they comprised no less than 73-3 per cent. of infections compared with 37 2 per cent. in the other fifteen clinics. (Fig. 11). 80 FIG. 10 Diagram to show how a slight extra degree of promiscuity may cause a large increase in venereal disease Male homosexuality A noteworthy feature has been the much more frequently recognized association of early syphilis in males with homosexuality, particularly in the larger cities where homosexuals may be responsible for the bulk of infections. Although this would appear fundamentally to be a problem of the more permissive society and greater promiscuity amongst homosexuals, the observed increase is also due at least in part to the fact that such persons now feel freer to discuss their behaviour. Homosexuality involves about 4 per cent. of adult males and a moderately active homosexual man may have contact with 100 different males each year (Gebhard, 1971). 70 c .2_ tU60 u 0r- 20 20- 37.2 London 25.1 except England West 13.5 except End9.5 Scotland London I Wales 73.3 London West End FIG. 1 1 Percentage of homosexually acquired infections with primary and secondary syphilis in males A similar pattern was seen in gonococcal infections (Fig. 12); homosexuals represented 9-8 per cent. of the total and 27-6 per cent. in the five clinics in the o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ 176 British Journal of Venereal Diseases 30- 2- 20- 0 .0- 1 0 7.7 4.0 4.1 4.6 London I Wnl . IQntnlln9!.nt W.,t End 27.6 London West End 01 I Yvies la u w IL mdcp l -- I - FIG. 12 Percentage of homosexually acquired infections with gonorrhoea in males West End of London. However, as approximately forty times as much gonorrhoea as primary and secondary syphilis occurred in males, gonorrhoea represents the greater numerical problem (Fig. 13). EJ Heterosexual 0 Penile homosexual E Ano-rectal homosexual Syphilis Gonorrhoea F I G. 13 Relative importance of homosexual infections with syphilis and gonorrhoea in males It is difficult to explain why syphilis has lurked more commonly in the homosexual male than in the heterosexual female (where the chancre may also be concealed, e.g. on the cervix), unless it is agreed that greater promiscuity in terms of sexual partners over a period of time has occurred in homosexuals now that previously strong taboos have been removed from such behaviour in many countries. Oral sexual contact The influence of oral sex in relation to venereal disease has recently been highlighted by Bro- Jorgensen and Jensen (1971), who found gonococci in the throat of 6 per cent. of Danish men and 9 per cent. of Danish women, and by Hellgren (1971) who noted that fifty of 200 Swedish patients with uro- genital gonorrhoea admitted to oral sex at their last intercourse. Oral infections with syphilis remain relatively uncommon. Those which are found today are more likely to be associated with oral intercourse than with kissing, which was regarded as the usual method of contraction 25 years ago. It has been thought likely that, possibly following the greater dissemination of pornographic and near pornographic films, the practice of oral intercourse is increasing in Western Society. In a recent series of 105 female gonorrhoea contacts seen at St. Mary's, 41 0 per cent. admitted to oral sex with the partner or partners recently involved. (Rectal intercourse had also occurred in 18-1 per cent. of patients- Cornthwaite, Savage, and Willcox, 1974). But here again it must be noted that 20 years ago Kinsey, Pomeroy, Martin, and Gebhard (1953) found that, of younger females who had had some but not extensive coital experience, 16 per cent. had indulged in oral stimulation of the male genitalia as had 43 per cent. of those with more extensive experience. The latter figure (which reached 62 per cent. amongst the more educated) varied little from the 38 per cent. noted in those born before 1900. In view of the success of a recent film in the U.S.A., the report is awaited of the first case of a chancre at the lower end of the oesophagus! Other behavioural factors Other changes in the presentation of syphilis have been brought about by new industrial and other practices. No longer do oral chancres occur in glassblowers, although these were once not so uncommon (Royal Commission on Venereal Diseases, 1916). An interesting recent presentation is that of double chancre arising in the vasectomy scars of a patient who had cooperated in the Indian steriliza- tion programme and who had had a night 'on the town' shortly afterwards (Bai, 1973) (Fig. 14). Summary and conclusions (1) The evolutionary patterns of the treponematoses, occasioned by environmental circumstances, from pinta and yaws through endemic to venereal syphilis are outlined. A reversal from venereal to endemic syphilis may occur should social conditions deterio- rate. (2) Changes are still occurring today in the patterns of venereal syphilis, particularly as a result of the introduction of penicillin and of human behaviour. (3) The mode of action of penicillin and its effects in the various stages of syphilis are outlined. The significance of the treponemal forms found in cases of treated late disease is considered, but notwith- standing these the practical results obtained by penicillin treatment remain excellent. o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ Changing patterns of treponemal disease 177 F I G. 14 Chancres arising in vasectomy scars (Courtesy of Bai, 1973) (4) In developed countries today, syphilis is ap- parently becoming a milder disease with fewer exuberant lesions, a low incidence of previously common secondary relapses and gummata, and a much reduced incidence of other late manifestations. On the other hand, re-infections and ano-rectal infections have become more common. For this a number of factors are responsible, including better nutrition, better hygiene, and above all the discovery of penicillin, treatment with which would be expected to tend towards the removal of the more virulent strains leaving the more insidious. (5) Behavioural patterns have also contributed, especially in relation to ano-rectal infections. Data concerning homosexual infections and oral inter- course are presented. (6) Doubtless, as long as human behaviour changes and the environment evolves, these alterations will be reflected also in the patterns of treponemal disease. References BAI, K. V. (1973) Personal comnmunication BASSET, A., and BOIRON, H. (1965) Bull. Mem. Fac. mixte Mid. Pharm. (Dakar), 13, 308 BELL, C. 0. (1971) Personal communication BRITISH COOPERATIVE CLINICAL GROUP (1973) Brit. J7. vener. Dis., 49, 329 BRO-J0RGENSEN, A., and JENSEN, T. (1971) Brit. med. J7., 4, 660 COCKBURN, T. A. (1961) Bull. Wld Hlth Org., 24, 221 COLLART, P., BOREL, L.-J., and DUREL, P. (1962) Ann. Inst. Pasteur, 102, 596 , FRANCESCHINI, P., and DUREL, P. (1971) Brit. J. vener. Dis., 47, 389 CORNTHWAITE, S. A., SAVAGE, W. D., and WILLCOX, R. R. (1974) Brit. J. clin. Pract. in press CSONKA, G. W. (1952) Med. Illustr., 6, 401 Du TOIT, J. A. (1969) S. Afr. med. 7., 43, 355 EISENBERG, H., PLOTKE, F., and BAKER, A. H. (1949) J. vener. Dis. Inform., 30, 7 FEJER, E. (1948) Orv. Lapja, 4, 616 FRIBOURG-BLANC, A., NIEL, G., and MOLLARET, H. H. (1963) Bull. Soc. Path. exot., 56, 474 GEBHARD, P. H. (1971) In 'The VD Crisis', pp. 60-62. Amer. Soc. Hlth Ass. and Pfizer Laboratories, N.Y. GJESTLAND, T. (1955) Acta derm.-venereol. (Stockh.), 35, Suppl. 34 GRIN, E. I (1953) 'Epidemiology and Control of Endemic Syphilis'. WHO Molograph Series No. 11, W.H.O., Geneva - and GUTHE, T. (1973) Brit. J7. vener. Dis., 49, 1 GUTHE, T., and LUGER, A. (1957) Dermatologica (Basel), 115, 248 -- RIDET, J., VORST, F., D'COSTA, J., and GRAB, B. (1972) Bull. Wld Hlth Org., 46, 1 and WILLCOX, R. R. (1954) Chron. Wld Hlth Org., Special Number 8, p. 33 - - (1971) J. roy. Soc. Hlth, 91, 122 HACKETT, C. J. (1957) J. trop. Med. Hyg., 29, 7 - (1963) Bull. Wld Hlth Org., 29, 7 HELLGREN, L. (1971) Lakartidningen, 68, 569 HERREJON, S. G. (1938) 'El Mal Del Pinto' Revista de Informacion Terapeutica Leverkusen (Alemania) HUDSON, E. H. (1928) U.S. naval med. Bull., 26, 817 (1963) Amer. J. med. Sci., 246, 645 (1964) Brit. J3. vener. Dis., 40, 43 (1965) Amer. Anthropol., 67, 885 IDS0E, I., GUTHE, T., and WILLCOX, R. R. (1972) Bull. Wld Hlth Org., 47, Suppl. 'Pencillin in the Treatment of Syphilis' KERN, A. (1972) Medicamentum, No. 25, p. 6 KINSEY, A. C., POMEROY, W. B., MARTIN, C. E., and GE}B- HARD, P. H. (1953) 'Sexual Behaviour in the Human Female'. Saunders. Philadelphia KIRALY, K., and CAUSSE, G. (1973) Tribuna Medica, Madrid, No. 484, p. 16 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ 178 British Journal of Venereal Diseases KUHN, U. S. G., MEDINA, R., COHEN, P. G., and VEGAS, M. (1970) Brit. J. vener. Dis., 46, 311 LANCEREUX, E. (1868) 'A Treatise on Syphilis', vol. 1. New Sydenham Society, London LUGER, A. (1972) Brit. J. vener. Dis., 48, 356 (1973) WHO Document VDT/RES/73. 297 MEDINA, R. (1967) Dermatologia Ibero Latino Amer., Eng. Ed., vol. 121 MURRAY, J. F., MERRIWEATHER, A. M., FREIDMAN, M. L., and DE VILLIERS, D. J. (1956) Bull. Wld Hlth Org., 15, 975 MURRELL, M., and GRAY, M. S. (1947) Brit. med. J., 2, 206 OVtINNIKOV, N. M., and DELEKTORSKIJ, V. V. (1971) Brit. J. vener. Dis., 47, 315 PELZER, H. (1967) In 'Molekularbiologie', ed. T. Wieland and G. Pfleiderer. Umschau-Verlag, Frankfurt on Main RAJAM, R. V., and RANGIAH, F. N. (1952) WHO Working Document, VDT 79 REES, E. (1954) Brit. J. vener. Dis., 30, 19 REIN, C. R., KITCHEN, D. K., MARQUEZ, F., and VARELA, G. (1952) J. invest. Derm., 18, 137 RHODES, F., and ANDERSON, S. E. (1970) Papua and New Guinea med. J., 13, 49 ROYAL COMMISSION ON VENEREAL DISEASES (1916) 'Final Report ofthe Commissioners'. H.M. Stationery Office, London SCHAMBERG, I. L. (1963) Brit. J. vener. Dis., 39, 87 SMITH, J. LAWTON, DAVID, N. J., INDGIN, S., ISRAEL, C. W., LEVINE, B. M., JUSTICE, J., McCRARY, J. A., SCHATZ, N. J., SPITZER, M. L., SPITZER, W. O., and WALTER, E. K. (1971) Ibid., 47, 226 - and ISRAEL, C. W. (1967) J. Amer. med. Ass., 199, 980 TAYLOR, W. N. (1954) S. Afr. med. J., 28, 176 TURNER, T. B., HARDY, P. H., and NEWMAN, B. (1969) Brit. J. vener. Dis., 45, 183 VAN DER SLUIS, I. (1969) 'The Treponematosis of Tahiti, its Origin and Evolution. A Study of the Sources'. Amsterdam B.M., Israel, N.V. VELDKAMP, H. (1960) Antonie van Leeuwenhoek, 26, 103 WILLCOX, R. R. (1951a) Lancet, 1, 558 (1951b) S. Afr. med. J., 25, 501 (1953) 'Progress in Venereology', p. 171. Heinemann, London (1960) Brit. J. vener. Dis., 36, 78 - (1972) Trans. St. John's Hosp. derm. Soc., 58, 21 (1973) Sandorama, No. 1, 4-8 WORLD HEALTH ORGANIZATION (1972) 'The Inter- country Spread of Venereal Diseases', Report on a Working Group, Copenhagen, 7-10 December 1971. Regional Office for Europe, Copenhagen YOBs, A. R., CLARK, J. W., MOTHERSHED, S. E., BULLARD, J. C., and ARTLEY, C. W. (1968) Brit. J. vener. Dis., 44, 116 Modifications des aspects des tr6pon6matoses SOMMAIRE (1) On decrit 1'evolution des aspects des treponematoses due aux circonstances de 1'environnement, menant de la pinta et du pian a la syphilis v6n6rienne en passant par la syphilis endemique. De venerienne, la syphilis peut prendre le type endemique si les conditions sociales se deteriorent. (2) Les aspects se modifient aujourd'hui encore pour la syphilis venerienne, ceci resultant particulierement de l'introduction de la penicilline et du comportement humain. (3) On examine le mode d'action de la penicilline et ses effets aux divers stades de la syphilis. On examine la signification des formes treponemiques trouvees dans des cas traites tardivement mais, quoi qu'il en soit, les resultats pratiques obtenus par le traitement par la penicilline restent excellents. (4) De nos jours, dans les pays developpes, la syphilis parait devenir plus benigne, avec moins de lesions exuberantes, une faible incidence des reprises secondaires et des gommes, faits communs anterieurement, et une forte diminution de l'incidence des autres manifestations tardives. Par contre, les reinfections et les atteintes ano- rectales sont devenues plus frequentes. Un certain nombre de facteurs en sont responsables, dont une meilleure nutrition, une meilleure hygiene et, par dessus tout, la decouverte de la p6nicilline, traitement dont on peut penser qu'il tend a supprimer les souches les plus virulentes, laissant subsister les souches les plus insidi- euses. (5) Les types de comportement ont aussi joue un role, specialement en ce qui concerne les infections ano- rectales. On presente des informations sur les infections homosexuelles et celles dues aux rapports oraux. (6) I1 n'est pas douteux qu'aussi longtemps que le comportement humain changera et que l'environnement evoluera, ceci influencera les aspects de la maladie treponemique. o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://sti.b m j.co m / B r J V e n e r D is: first p u b lish e d a s 1 0 .1 1 3 6 /sti.5 0 .3 .1 6 9 o n 1 Ju n e 1 9 7 4 . D o w n lo a d e d fro m http://sti.bmj.com/ 
work_74hlkir2vbezfelaytu37ejiki	----	1430003 1..14 UvA-DARE is a service provided by the library of the University of Amsterdam (https://dare.uva.nl) UvA-DARE (Digital Academic Repository) Citation analysis of the scientific publications of Britton Chance in ISI citation indexes Li, L.Z.; Leydesdorff, L.; Nioka, S.; Sun, N.; Garfield, E. DOI 10.1142/S1793545814300031 Publication date 2014 Document Version Final published version Published in Journal of Innovative Optical Health Sciences Link to publication Citation for published version (APA): Li, L. Z., Leydesdorff, L., Nioka, S., Sun, N., & Garfield, E. (2014). Citation analysis of the scientific publications of Britton Chance in ISI citation indexes. Journal of Innovative Optical Health Sciences, 7(2), 1430003. https://doi.org/10.1142/S1793545814300031 General rights It is not permitted to download or to forward/distribute the text or part of it without the consent of the author(s) and/or copyright holder(s), other than for strictly personal, individual use, unless the work is under an open content license (like Creative Commons). Disclaimer/Complaints regulations If you believe that digital publication of certain material infringes any of your rights or (privacy) interests, please let the Library know, stating your reasons. In case of a legitimate complaint, the Library will make the material inaccessible and/or remove it from the website. Please Ask the Library: https://uba.uva.nl/en/contact, or a letter to: Library of the University of Amsterdam, Secretariat, Singel 425, 1012 WP Amsterdam, The Netherlands. You will be contacted as soon as possible. Download date:06 Apr 2021 https://doi.org/10.1142/S1793545814300031 https://dare.uva.nl/personal/pure/en/publications/citation-analysis-of-the-scientific-publications-of-britton-chance-in-isi-citation-indexes(bf03b40b-d2f1-4484-b3a0-fe942b73c1f3).html https://doi.org/10.1142/S1793545814300031 Citation analysis of the scienti¯c publications of Britton Chance in ISI citation indexes Lin Z. Li*,†,||, Loet Leydesdor®‡, Shoko Nioka†, Nannan Sun*,†, § and Eugene Gar¯eld¶ *Department of Radiology, Perelman School of Medicine University of Pennsylvania, Philadelphia, PA 19104, USA †Britton Chance Laboratory of Redox Imaging, Johnson Research Foundation Department of Biochemistry and Biophysics, Perelman School of Medicine University of Pennsylvania, Philadelphia, PA 19104, USA ‡University of Amsterdam Amsterdam School of Communications Research (ASCoR), Netherlands § Britton Chance Center for Biomedical Photonics Wuhan National Laboratory for Optoelectronics Huazhong University of Science and Technology Wuhan 430074, P. R. China ¶Institute for Scienti¯c Information — Thomson Reuters Philadelphia, PA 19130, USA ||linli@mail.med.upenn.edu Received 4 March 2014 Accepted 4 March 2014 Published 2 April 2014 Britton Chance was a pioneer in many scienti¯c ¯elds such as enzymatic reaction kinetics, bioenergetics, metabolism, in vivo NMR, and biophotonics. As an engineer, physical chemist, physicist, physiologist, biophysicist, biochemist, innovator and educator, he had worked in diversi¯ed ¯elds over extended periods between 1926 until his death in 2010, at the age of 97. In order to illustrate his scienti¯c career and great impact on research from a new perspective, we employ scientometric analysis tools to analyze the publications of Britton Chance with data downloaded from the ISI Citation Indexes in April 2013. We included articles, reviews and proceeding papers but excluded meeting abstracts. In total, we obtained 1023 publication records with 1236 authors in 266 journals with 17,114 citations from 1945 to 2013. We show the annual publications and citations that Britton Chance received from 1945 to 2013, and generate HistCite maps on the basis of the global citations (GCS) and local (self) citations (LCS) to show the citation relationships among the top-30 publications of Britton Chance. Metabolism and the This is an Open Access article published by World Scienti¯c Publishing Company. It is distributed under the terms of the Creative Commons Attribution 3.0 (CC-BY) License. Further distribution of this work is permitted, provided the original work is properly cited. Journal of Innovative Optical Health Sciences Vol. 7, No. 2 (2014) 1430003 (14 pages) #.c The Authors DOI: 10.1142/S1793545814300031 1430003-1 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . http://dx.doi.org/10.1142/S1793545814300031 development of physical methods to probe it appear to be the connecting thread of the lifelong research of Britton Chance. Furthermore, we generate the journal map and co-authorship map to show the broad scope of research topics and collaborators and the high impacts of the scienti¯c oeuvre of Britton Chance ranging from physics, engineering, chemistry and biology to medicine. Keywords: Scientometric analysis; impact; HistCite; citation tree; metabolism; mitochondria. 1. Introduction to Britton Chance Britton Chance (1913–2010), one of the most out- standing scientists in the world in the 20th century, had been a legendary ¯gure in the history of science. He was famous for his enthusiasm in sailing due to his family tradition, which brought him the rare experience of catching a big, over 400 lb blue marlin in Caribbean Sea, an Olympic Gold Medal for 5.5 m boat sailing in 1952, and a couple of world cham- pionships of sailing in 1960s. However, his talent, enthusiasm and fame were far more distinguished in science. As a teenager, he invented an optoelectric device for ship autosteering, which was later tested satisfactorily for large commercial ships such as the Texas Sun and New England Star in 1930s. Along with these testing trips, he was admitted to the Trinity College of Cambridge University in late 1930s under the mentorship of Glenn Millikan, the son of the Nobel Laureate Robert A. Millikan, who measured the charge of the electron. Eventually, he graduated with two PhDs, one in Physical Chem- istry from the University of Pennsylvania in 1940, and one in Physiology from the University of Cambridge in 1942. His PhD thesis was on devel- oping a fast mini stop-°ow device for measuring the kinetics of enzymatic reactions. With such a device, he achieved the ¯rst experimental, quantitative demonstration of the existence of Michaelis-Menten enzyme–substrate complex in early 1940s. He was also highly skillful with circuits and electronics. From 1941–1946, he was recruited to the Radiation Lab in MIT for developing advanced radar systems including anti-aircraft radar SCR584 and airborne radar bomber sight used for ¯ghting against Nazi during World War II. He quickly rose to be a member of Steering Committee of the Radiation Lab, leading a large group of physicists with over 200 people. His group taught Presper Eckert how to make key circuits and overcome some technical problems for ENIAC, the world 1st general purpose electronic digital computer at the University of Pennsylvania in 1946. From 1940s till 2010 except a couple of short term leaves, he stayed in the Johnson Research Foundation, Department of Biochemistry and Biophysics at the University of Pennsylvania for seven decades. From 2006 to 2010, he spent half a year annually in research institutions in Asian countries and regions such as Singapore, Mainland China and Taiwan to conduct research and education, helping the development of biopho- tonics in those places. His eight decades of scienti¯c research (1926– 2010) culminated into numerous scienti¯c dis- coveries and technological inventions. He had advanced many frontier research ¯elds at the time with both the development of new methods/devices and their applications to key biological questions. Apart from the aforementioned enzyme kinetics studies with his mini stop-°ow device, in 1950s, Chance invented the dual-wavelength spectropho- tometer which has been widely used for studying turbid biological samples around the world until today. He applied this instrument to extensive in- vestigations on the electron transport in mitochon- drial respiration, redox cofactors and metabolic control mechanisms. In 1960s, he ¯rst discovered the electronic tunneling process in biological sys- tems. In 1970s, he identi¯ed hydrogen peroxide released by the respiratory chain in mitochondria. From 1970s to early 1980s, he developed the 3D cryogenic redox scanner for imaging tissue redox state and its heterogeneity at submillimeter resol- ution. In the 1970–1980s, he was also a key player in developing in vivo31 P-NMR spectroscopy for bioe- nergetics studies and using X-ray spectroscopy to elucidate the structure–function relation of biomo- lecules. Since late 1980s, Prof Chance and his col- laborators had founded the ¯eld of biophotonics by developing in vivo NIR spectroscopy and imaging methods, mainly based on hemoglobin absorption, time-resolved spectroscopy, photon di®usion, etc. These methods have been widely applied in both laboratory and clinic studies for the measurement of blood oxygenation, volume, and °ow, brain activi- ties, muscle functions and cancer detections and diagnosis. The new research directions he developed L. Z. Li et al. 1430003-2 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . during the last decade of his life includes developing novel molecular beacons for cancer diagnosis and therapy, predicting cancer aggressiveness by redox scanning, and developing an oral optical metabol- ometer to detect nutritional status in human sub- jects. The latter two directions completed the circle of his scienti¯c research since 1950s by utilizing intrinsic optical signals from mitochondria. Among many honors and awards1 he has received are the memberships of national academies of sci- ences from six countries including United States, Italy, United Kingdom, Sweden, Germany and Argentina; over 10 honorary PhD and MD degrees; US National Medal of Sciences (1974); The Gold Medal for Distinguished Service to Medicine, College of Physicians, USA (1987); The Gold Medal of the Society of Magnetic Resonance in Medicine, USA (1988); The Benjamin Franklin Medal for Dis- tinguished Achievement in the Sciences, American Philosophical Society (1990); The Christopher Columbus Discovery Award in Biomedical Research, National Institutes of Health, USA (1992); The In- ternational Society for Optical Engineering (SPIE) Lifetime Achievement Award (2005); The Gold Medal of American Roentgen Ray Society (2006); Distinguished Achievement Award of American Aging Association (2006). Due to his tireless e®ort in promoting scienti¯c exchange and collaboration between the East and the West, Chance received the Friendship Award from the State Administration of Foreign Experts A®airs of China in 2008. He was further recognized in 2009 with the International Science and Technology Cooperation Award, which is China's highest national honor given to foreign scientists. In 2013, Chance was inducted into the Innovators Walk of Fame at the University City Science Center, Philadelphia. 2. Scientometric Analysis To commemorate a great scholar and carry on his/ her legacy to future generations, scientometric analysis can be used in addition to anecdotal stories. Scientometric analyses have been utilized to evalu- ate the achievements of scholars,2 and usually these scholars have a focus within a speci¯c ¯eld. Here we employed several tools to evaluate the scienti¯c contribution of Britton Chance whose career span- ning multiple disciplines. Our analysis was based on a dataset downloaded from the ISI Citation Indexes in April, 2013. Articles, reviews and proceeding papers were included with no meeting abstracts. We obtained 1023 publication records in total from 1945 to 2013 including 1236 authors in 266 journals with 17,114 citations. Publication periods. We try to correlate the annual publication pro¯le of Chance with his research activities. In these 67 years between 1945 and 2012 (age 32–97), average of 15.3 papers were published with 255 citations annually. Note that these numbers underestimate his published manu- scripts, because many of his manuscripts were published in places not indexed by ISI Citation Indexes yet. His publications during his graduate studies were not covered by ISI. Moreover, during the time before World War II ended in 1945, he worked in the area of electronic engineering in a secret mission at Radiation Laboratory, thus, most of his works were not published in academic journals. Figure 1 shows the annual number of published manuscripts from 1945–2012. At a glance, there are seven periods of Gaussian distributions over the whole time, and each one seems to represent roughly main subjects of his works. The publi- cations of these periods went up and down, and we found that, for quite a few occasions, the publi- cations of new ideas changed the research direction of Chance and boosted his publication records. The ¯rst Gaussian period (1945–1956, peak at 1952) includes a number of applications of the micro stop-°ow method to enzyme–substrate kinetics3–5 and the development of dual beam spectrometer6 enabling the study of turbid biological samples. With those apparatuses, Chance was active himself in several areas as well as he helped many other research works in various ¯elds of physiology, chemistry, biochemistry, enzymology, etc. In 1947, Chance was the ¯rst to identify catalase compound I as an intermediate in the reaction of hydrogen peroxide and catalase.7 In 1955, he published a landmark paper series with G.R. Williams on res- piratory enzymes in oxidative phosphorylation.8–11 Chance ¯nally set his life work into the mitochon- drial biochemistry. The second period (1957–1968) contains a peak at 1959 with the key publications of Chance's life- long work on metabolic control mechanisms.12–17 The function of mitochondrial energy metabolism was well understood by the kinetic experiments of substrate and products relationships using the Citation analysis of the scienti¯c publications of Britton Chance 1430003-3 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . double beam spectrometer. The peak at 1959 also came after the ¯rst observation of mitochondrial NADH °uorescence18 by him and Baltsche®sky in 1958 and coincided with the ¯rst observation of tissue NADH °uorescence19 by Chance and Jobsis in 1959. Chance et al. published in 1962 the ¯rst in vivo observation of NAD(P)H °uorescence and redox state from the brain and kidney.20–22 As we can see with his work on NADH °uorescence, Chance started with mitochondria followed by tis- sue and in vivo studies. This group of papers laid down a milestone for bioenergetics research and Chance's later work on the translational and clinical studies. From 1962–1968, Chance continued mito- chondrial bioenergetics research on Complex I to IV with optical spectrometers and °uorometers of cytochromes and NADH. His publication peaked again in 1966 coinciding with another landmark discovery by him and DeVoult on the ¯rst exper- imental observation of quantum mechanical electron tunneling in biological system.23 The importance of this work was recognized later on by a conference of the Royal Society on quantum catalysis in enzymes in 2005.24 During the valley of 1967–1968, Chance and coworkers identi¯ed oxidized °avoproteins (Fp including FAD) as another source of intrinsic °uor- escence from mitochondria,25–27 which contributed to another rebound of publications in the following years. The 3rd broad period of Chance publication curve from 1969–1977 appears to have the 2nd largest publication peak with studies ranging from NADH, °avoproteins, cytochoromes, calcium uptake to hydrogen peroxide generation. The use of oxidized °avoproteins together with NADH makes the in vivo measurement of redox status (Fp/NADH or Fp/ (FpþNADH)) possible by the °uorescence spec- troscopy and imaging. Therefore Chance et al. developed this idea and technologies into transla- tional researches by inventing NADH °uorometery, °ying spot technology and cryogenic NADH/Fp redox scanning, etc. Still now, these are the only °uorescence signals used clinically, mainly for can- cer detection. Chance wrote in his unpublished autobiography regarding the importance of his dis- covery of the °uorescence of NADH and Fp from mitochondria both in vivo and ex vivo: \. . .This was perhaps the most important discovery of my career because, for the ¯rst time, we could obtain optical signals from living mitochondrial tissues. A series of papers, exploring this discovery in the liver, kidney, adrenal gland, and brain, opened a new ¯eld of metabolic research. . .." Indeed, since 1950s Chance kept publishing on NADH and Fig. 1. The annual number of publications of Britton Chance from 1945–2012. Graph reproduced from ISI Citation Indexes (accessed in April, 2013 excluding meeting abstracts) with modi¯cations. There were seven periods I–VII as described in the text. L. Z. Li et al. 1430003-4 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . °avoproteins throughout the rest of his life. The work on NADH and °avoproteins, along with his other research work including the studies on cyto- chromes,28–30 discovery of the calcium uptake by mitochondria and its e®ects on bioenergetics,31 discovery of hydrogen peroxide generation by mitochondria,32 etc., really drove the publication of Chance onto a new level in the subsequent years until late 1970s, with about 20 papers annually. The 4th period in 1978–1981 is only 4 years, and it is the beginning of three important new directions of publications. The ¯rst direction of new publi- cations marked the beginning of Chance's e®ort in developing 31P-NMR techniques for bioenergetics studies in organs and human body.33–36 Chance funded himself to make an NMR machine for studying phosphorous energetics in human subjects including his own leg in vivo.33,37 The second new direction of publications was about the chemilumi- nescence38–40 emitted by the lipid peroxidation process in biological systems, which was the con- tinuation of the interest of Chance on metabolism, redox reactions and free radicals. Chance published his studies on chemiluminescence from late 1970s to mid 1990s. He and coworkers probably provided one of the early experimental evidences for the generation of singlet oxygen in biological pro- cesses.41–43 The third source of new publications was the studies44–48 by Chance and Power et al. using synchrotron radiation X-ray spectroscopy to illustrate structure–function relation for biomole- cules including cytochrome oxidase, myoglobin, glyoxalase, etc. The 5th period of Chance publication (1982– 1989) has the highest peak in 1987 with an annual publication of 32 papers. That was on average two papers per three week at the age of 74. That was the period when Chance and Leigh et al. had made signi¯cant progress in developing in vivo NMR for bioenergetics and applying it to diseases. From 1984 to 1987, every year Chance and Leigh coauthored 10–15 papers according to the ISI Science Citation indexes. Other sources of contributions include the chemiluminescence studies and the synchrotron radiation studies aforementioned. After the peak in 1987, Chance publication lowered to 15 in 1990. In 1988, Chance and Leigh et al. initiated time- resolved measurements on hemoglobin and myo- globin in tissues.49,50 Chance then published with M. S. Patterson and B. C. Wilson the work on time- resolved optical spectroscopy,51 which made it possible to measure scattering and absorption coe±cients in biological tissue. This paper was revolutionary for optical ¯elds because it gave birth to the di®usive biomedical photonics. The last two Gaussian periods of Chance publi- cation (1990–1999 and 2000–2010) are truly optical and more translational periods of Chance's work. Chance, as a founding father of modern biopho- tonics, had collaborated with A. Yodh and a num- ber of researchers since 1990s to develop NIR spectroscopy and imaging, including time resolved spectroscopy, photon di®usion tomography (PDT), phased array and their biomedical applications to study brain (fNIR), muscle and various diseases such as breast cancer.52–63 Chance et al. also inte- grated NIR spectroscopy/imaging with magnetic resonance imaging.58,64 Since 2002, Chance had publications with Zheng and Glickson et al. on molecular beacons, nanoparticles and photo- dynamic therapy.65–69 His publication rebounded in 1991 and maintained an average publication of about 18 papers annually for 15 years until 2005. In 2006, Chance ran out of his research funding and since then he was invited to teach and conduct research in Singapore, Mainland China and Taiwan half of the time each year, while Li and Xu were maintaining his redox scanning lab at the Univer- sity of Pennsylvania. His publication went down but was still maintained at about eight papers on average per year until 2010. During this period of time, he and his coworkers investigated on the development of optical imaging biomarkers for cancer diagnosis and tumor metastatic poten- tial,70–73 stem cell stemness74 and a metabol- ometer75 for monitoring human nutritional status. Chance worked on research till the last few days of his life. Li et al. remembered discussing research data with him in the hospital room three days before his passing away. Citation trends. The annual citations of the Chance publications shown in Fig. 2 exhibited 4 rising (R) phases and 2 leveling (L) phases. The 1st rising phase (R1) from 1947 till 1958, increasing with about 20 citations per year, is presumably based on his studies on enzyme kinetics and pio- neering work on oxidative phosphorylation. The phase R2 from 1959 to 1972 has the steepest slope (� 60 citations per year) among the four R phases, indicating his scienti¯c in°uence expanded at the fastest pace during these years. This expansion of fame should be signi¯cantly contributed by his Citation analysis of the scienti¯c publications of Britton Chance 1430003-5 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . previous work on the stop-°ow measurement of enzyme–substrate kinetics. Indeed, \when Manfred Eigen won the [Nobel] prize in 1967 for his tem- perature jump method that could dissect chemical reactions even more ¯nely than Brit's stopped °ow approach, he publicly regretted not being able to share the honor with Britton Chance" (Gottfried Schatz, 2011 http://www.med.upenn.edu/biocbiop/ chance/symposium/schatz/schatz talk.html). For Britton Chance, this was also a period with im- portant new discoveries that were nothing short of importance compared to his ¯rst experimental demonstration of the existence of Michaelis-Menten enzyme–substrate complex. He and his coworkers developed the dual-beam spectrometer for biological studies and characterized theelectron-transport chain and bioenergetic process in mitochondrial oxidative phosphorylation. They discovered the °uorescence of NADH and °avoproteins from mitochondria and translated these methods to tissue in vivo with many clinical applications. They also discovered the electron-tunneling in biological systems, and ident- i¯ed the calcium uptake and hydrogen peroxide generation by mitochondria. In 1974, Britton Chance was awarded the US National Medal of Sciences. The ¯rst leveling phase L1 corresponds to 1973–1976. The third rising R3 phase from 1976 to 1996 includes the original development of phos- phorous NMR and di®usive optical spectroscopy and imaging methods, with a slope similar to that of ¯rst phase, followed by the leveling phase L2 from 1997–2001 with over 1500 citations per year on average. The rising phase R4 is from 2002 to 2012 with a slope of 30 citations per year higher than that of R1 and R3. HistCite analysis. Figures 3 and 4 show the citation analysis results from HistCiteTM for top 30 papers with the highest global citations and local citations, respectively. The local citations refer to the citations only by the papers published by Chance himself. The citation relationships among these papers are displayed in these two ¯gures. The detailed paper information and the number of citations are also listed in the order of publication years from the oldest to the latest. For global citation analysis, there are six papers cited by over 1000 times. The No. 1 highest cited paper76 is a review by Chance et al. in 1979 on hydrogen peroxide metabolism in mammalian organs, with nearly 4000 citations. The fourth highest cited paper77 is also about hydrogen per- oxide, i.e., its generation by mitochondria, general Fig. 2. The annual citations of publications of Britton Chance from 1947–2013. Graph reproduced from ISI Citation Indexes (accessed in April, 2013 excluding meeting abstracts) with modi¯cations. R: rising phase; L: leveling phase as described in the text. L. Z. Li et al. 1430003-6 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . F ig . 3 . C it a ti o n tr ee a n d ta b le fr o m th e g lo b a l ci ta ti o n a n a ly si s o n th e p u b li ca ti o n s o f B ri tt o n C h a n ce b y H is tC it e. T h e a rr o w fr o m A to B in d ic a te s A ci ti n g B . Citation analysis of the scienti¯c publications of Britton Chance 1430003-7 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . F ig . 4 . C it a ti o n tr ee a n d ta b le fr o m th e lo ca l ci ta ti o n a n a ly si s o n th e p u b li ca ti o n s o f B ri tt o n C h a n ce b y H is tC it e. T h e a rr o w fr o m A to B in d ic a te s A ci ti n g B . L. Z. Li et al. 1430003-8 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . Fig. 5. Journal maps of Britton Chance publications. The size of sphere is proportional to number of publications. Fig. 6. Top journals with most publications from Britton Chance. Citation analysis of the scienti¯c publications of Britton Chance 1430003-9 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . properties and e®ects. The second78 and ¯fth8 highest cited papers are both about mitochondrial respirat- ory chain and oxidative phosphorylation. The third highest cited paper79 is about assays of catalases and peroxidases. The sixth highest cited paper51 is about the time-resolved optical spectroscopy marking the beginning of photon-di®usion spec- troscopy and imaging. Among the top 30 globally most cited papers, 4 are about enzyme assay and kinetic studies, 1 about dual beam spectrometer, 13 about mitochondrial oxidative phosphorylation, 5 about NIR imaging and spectroscopy (biophotonics), 1 about in vivo 31P-NMR, 1 about electron tunneling, 1 about calcium ion uptake by mitochondrion, 5 about hydrogen peroxide. For local citation analysis, three of the top six highest globally cited papers remain in the top six. They are two papers on respiratory chain/oxidative phosphorylation8,78 and one on time-resolved opti- cal spectroscopy.51 The other three ranked within Fig. 7. Coauthor maps. All coauthors with more than 1 publication with Britton Chance. The size of sphere is proportional to the number of papers. L. Z. Li et al. 1430003-10 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . the top six locally cited are all on respiratory chain/ oxidative phosphorylation.10,80,81 Among the top 30 locally most cited papers, 4 papers are about enzyme assay and kinetic studies, 1 about dual beam spec- trometer, 16 about mitochondrial respiration and redox state, 1 about calcium ion uptake by mito- chondrion, 5 about NIR imaging and spectroscopy (biophotonics), 4 about in vivo 31P-NMR. It appears that the studies on mitochondrial metabolism and the related development of optical techniques are most-often cited by Chance himself. From the LCS map (Fig. 4) we can see that these work form the center of the citation tree, with biophotonics and NMR bioenergetics as side lobes linked to the center. This relationship indicates mitochondrial metab- olism as a central basis of Chance research rationale and a long-term pursued research goal. During the last 20 years of his life, Chance appeared to have diversi¯ed his research and moved away from this research focus by developing new techniques such as in vivo NIR spectroscopy and imaging. Nevertheless, these new methods, although with many novel ap- plications beyond mitochondrial metabolism, are important for probing and understanding about tis- sue metabolism. Diversity of research ¯elds and collaborators. Figure 5 shows the journal maps of Chance publi- cations. The size of sphere is proportional to the logarithm of the number of publications. Among the 266 journals, Chance has published in this ISI database, the leading journals include Journal of Biological Chemistry, Proceedings of National Academy of Sciences (PNAS), Nature, Review of Scienti¯c Instrumentation, Journal Biomedical Optics, Science, Journal of Applied Physiology, Analytical Biochemistry, New England Journal of Medicine, Physics in Medicine and Biology, Brain Research, Medicine & Science in Sports & Exercise, NMR in Biomedicine, and so on. From these journal titles (only a portion of journal titles shown in Fig. 5), we can see that the research of Chance covered multiple disciplines ranging from physics, engineering, biology to medicine. Figure 6 provides more detailed information about the top 19 journals with most publications from Chance. Impressively there are 92 papers in Journal of Biological Chem- istry, 37 in PNAS, 27 in Nature and 16 in Science. Figure 7 is the coauthor map showing all coauthors with more than 1 publication with Chance. The size of sphere is proportional to the number of papers. We can see S. Nioka, J. S. Leigh, A. Yodh as the top 3 coauthors with the most coauthored papers with Britton Chance. 3. Discussion and Summary Note that all the above analysis and discussion are based on the 1023 records collected by ISI citation database in April, 2013. Our own collection of Brit- ton Chance's publication record, which is still an ongoing process, showed over 1500 manuscripts. We may perform additional analysis on this database once it is complete. This may provide a more com- plete picture about his research activity. Further- more, considering the tremendously diversi¯ed multi-disciplinary research conducted by Britton Chance, we can only cover some major research topics we are familiar with. The scientometric methods we used have a limited number of angles of perspectives. It is highly possible we fail to disclose many interesting or meaningful connections among the research publications by Chance and his research activities. In summary, we have presented the ¯rst scien- tometric analysis on a world preeminent scholar Britton Chance, whose research spanned multiple disciplines from physics, engineering, biology to medicine. We try to understand the pro¯les of his annual publications and citations by correlating them with his research activities. We have also summarized some key research areas that Britton Chance had focused and exerted great impact on. Among the diversi¯ed research studies Chance had conducted, metabolism and the development of physical methods to probe it appeared to be the central thread that connected all the dots. We also note that Chance had many excellent collaborators from very diversi¯ed ¯elds of science throughout his life, and that had enabled him to make such a great amount of publications with tremendous impact on science. References 1. L. Z. Li, S. Nioka, K. A. Kang, \Dedication: Britton Chance, M.D., Ph.D., D.Sc.," Adv. Exp. Med. Biol. 765, v–xiv (2013). 2. L. Leydesdor®, \Eugene Gar¯eld and algorithmic historiography: Co-words, co-authors, and journal names," Ann Library Inform. Stud. 57, 248–260 (2010). Citation analysis of the scienti¯c publications of Britton Chance 1430003-11 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . 3. B. Chance, J. Brainerd, F. Cajori, G. Millikan, \The kinetics of the enzyme-substrate compound of per- oxidase and their relation to the Michaelis theory," Science 92, 455 (1940). 4. B. Chance, \The kinteics of the enzyme-substrate compound of peroxidase," J. Biol. Chem. 151, 553– 577 (1943). 5. H. Theorell, B. Chance, \Studies on liver alcohol dehydrogenase. II. The kinetics of the compound of horse liver alcohol dehydrogenase and reduced diphosphopyridine nucleotide," Acta Chem. Scand. 5, 1127–1144 (1951). 6. B. Chance, \Rapid and sensitive spectropho- tometry. III. A double beam apparatus," Rev. Sci. Instrum. 22, 634–638 (1951). 7. B. Chance, \An intermediate compound in the catalase-hydrogen peroxide reaction," Acta Chem. Scand. 1, 236–267 (1947). 8. B. Chance, G. R. Williams, \Respiratory enzymes in oxidative phosphorylation. I. Kinetics of oxygen utilization," J. Biol. Chem. 217, 383–393 (1955). 9. B. Chance, G. R. Williams, \Respiratory enzymes in oxidative phosphorylation. II. Di®erence spectra," J. Biol. Chem. 217, 395–407 (1955). 10. B. Chance, G. R. Williams, \Respiratory enzymes in oxidative phosphorylation. III. The steady state," J. Biol. Chem. 217, 409–427 (1955). 11. B. Chance, G. R. Williams, \Respiratory enzymes in oxidative phosphorylation. IV. The respiratory chain," J. Biol. Chem. 217, 429–438 (1955). 12. B. Chance, B. Hess, \Metabolic control mechanisms. IV. The e®ect of glucose upon the steady state of respiratory enzymes in the ascites cell," J. Biol. Chem. 234, 2421–2427 (1959). 13. B. Chance, B. Hess, \Metabolic control mechanisms. III. Kinetics of oxygen utilization in ascites tumor cells," J. Biol. Chem. 234, 2416–2420 (1959). 14. B. Chance, B. Hess, \Metabolic control mechanisms. II. Crossover phenomena in mitochondria of ascites tumor cells," J. Biol. Chem. 234, 2413–2415 (1959). 15. B. Chance, B. Hess, \Metabolic control mechanisms. I. Electron transfer in the mammalian cell," J. Biol. Chem. 234, 2404–2412 (1959). 16. B. Chance, D. Gar¯nkel, J. Higgins, B. Hess, \Metabolic control mechanisms. V. A solution for the equations representing interaction between gly- colysis and respiration in ascites tumor cells," J. Biol. Chem. 235, 2426–2439 (1960). 17. B. Hess, B. Chance, \Metabolic control mechanisms. VI. chemical events after glucose addition to ascites tumor cells," J. Biol. Chem. 236, 239–246 (1961). 18. B. Chance, H. Baltsche®sky, \Respiratory enzymes in oxidative phosphorylation. VII. Binding of intramitochondrial reduced pyridine nucleotide," J. Biol. Chem. 233, 736–739 (1958). 19. B. Chance, F. Jobsis, \Changes in °uorescence in a frog sartorius muscle following a twitch," Nature 184, 195–196 (1959). 20. B. Chance, B. Schoener, P. Cohen, F. Jobsis, \Localized °uorometry of oxidation-reduction states of intracellular pyridine nucleotide in brain and kidney cortex of anesthetized rat," Science 136, 325 (1962). 21. B. Chance, P. Cohen, F. Jobsis, B. Schoener, \Intracellular oxidation-reduction states in vivo," Science 137, 499–508 (1962). 22. B. Chance, B. Schoener, \Correlation of oxidation- reduction changes of intracellular reduced pyridine nucleotide and changes in electroencephalogram of the rat in anoxia," Nature 195, 956–958 (1962). 23. D. DeVault, B. Chance, \Studies of photosynthesis using a pulsed laser. I. Temperature dependence of cytochrome oxidation rate in chromatium. Evidence for tunneling," Biophys. J. 6, 825–847 (1966). 24. N. S. Scrutton, M. J. Sutcli®e, P. Leslie Dutton, \Quantum catalysis in enzymes: Beyond the tran- sition state theory paradigm. A Discussion Meeting held at the Royal Society on 14 and 15 November 2005," J. R. Soc. Interface / the R. Soc. 3, 465–469 (2006). 25. B. Chance, L. Ernster, P. B. Garland, C. P. Lee, P. A. Light, T. Ohnishi, C. I. Ragan, D. Wong, \Flavoproteins of the mitochondrial respiratory chain," Proc. Natl. Acad. Sci. USA 57, 1498–1505 (1967). 26. P. B. Garland, B. Chance, L. Ernster, C. P. Lee, D. Wong, \Flavoproteins of mitochondrial fatty acid oxidation," Proc. Natl. Acad. Sci. USA 58, 1696– 1702 (1967). 27. I. Hassinen, B. Chance, \Oxidation-reduction prop- erties of the mitochondrial °avoprotein chain," Bio- chem. Biophys. Res. Commun. 31, 895–900 (1968). 28. M. V. Gilmour, M. R. Lemberg, B. Chance, \Cytochrome oxidase and its derivatives. IX. Spec- trophotometric studies on the rapid reaction of fer- rous cytochrome c oxidase with molecular oxygen under conditions of complete and partial oxy- genation," BBA — Bioenergetics 172, 37–51 (1969). 29. B. Chance, \Cytochromes: Chemical and structural aspects," Science 159, 654–658 (1968). 30. B. Chance, C. Saronio, J. S. Leigh Jr, \Functional intermediates in the reaction of membrane bound cytochrome oxidase with oxygen," J. Biol. Chem. 250, 9226–9237 (1975). 31. B. Chance, \The energy-linked reaction of calcium with mitochondria," J. Biol. Chem. 240, 2729–2748 (1965). 32. G. Loschen, L. Floh�e, B. Chance, \Respiratory chain linked H2O2 production in pigeon heart mitochondria," FEBS Lett. 18, 261–264 (1971). L. Z. Li et al. 1430003-12 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . 33. B. Chance, S. Ele®, J. S. Leigh, Jr., \Noninvasive, nondestructive approaches to cell bioenergetics," Proc. Natl. Acad. Sci. USA 77, 7430–7434 (1980). 34. P. B. Garlick, G. K. Radda, P. J. Seeley, B. Chance, \Phosphorus NMR studies on perfused heart," Biochem. Biophy. Res. Commun. 74, 1256–1262 (1977). 35. B. Chance, G. Radda, P. J. Seeley, I. Silver, Y. Nakase, M. Bond, G. McDonald, \31P NMR of excised and in situ brain tissues," in NMR and Biochemistry: A Symposium Honoring Mildred Cohn, S. Opella & P. Lu, Eds., pp. 269–281, Marcel Dekker, Inc., New York (1979). 36. A. C. McLaughlin, H. Takeda, B. Chance, \Rapid ATP assays in perfused mouse liver by 31P NMR," Proc. Natl. Acad. Sci. USA 76, 5445–5449 (1979). 37. J. Cohen, \Scientists who fund themselves," Science 279, 178–181 (1998). 38. A. Boveris, B. Chance et al., \Enhancement of the chemiluminescence of perfused rat liver and of iso- lated mitochondria and microsomes by hydro- peroxides," Adv. Exp. Med. Biol. 2, 975–984 (1978). 39. A. Boveris, E. Cadenas, R. Reiter, M. Filipkowski, Y. Nakase, B. Chance, \Organ chemiluminescence: Noninvasive assay for oxidative radical reactions," Proc. Natl. Acad. Sci. USA 77, 347–351 (1980). 40. E. Cadenas, A. I. Varsavsky, A. Boveris, B. Chance, \Low level chemiluminescence of the cytochrome c-catalyzed decomposition of hydrogen peroxide," FEBS Lett. 113, 141–144 (1980). 41. E. Cadenas, R. P. Daniele, B. Chance, \Low level chemiluminescence of alveolar macrophages: Spec- tral evidence for singlet oxygen generation," FEBS Lett. 123, 225–228 (1981). 42. A. Greer, \Christopher Foote's discovery of the role of singlet oxygen [ 1O2 ( 1�g)] in photosensitized oxidation reactions," Acc. Chem. Res. 39, 797–804 (2006). 43. M. J. Thomas, P. S. Shirley, C. C. Hedrick, L. R. DeChatelet, \Role of free radical processes in stimulated human polymorphonuclear leukocytes", Biochemistry 25, 8042–8048 (1986). 44. L. Powers, W. E. Blumberg, B. Chance, C. H. Barlow, J. Leigh, J. S., J. Smith, T. Yonetani, S. Vik, \Structure and function of copper atoms in cytochrome oxidase," Adv. Exp. Med. Biol. 2, 863– 871 (1978). 45. L. Powers, W. E. Blumberg, B. Chance, C. H. Barlow, J. S. Leigh, Jr., J. Smith, T. Yonetani, S. Vik, J. Peisach, \The nature of the copper atoms of cytochrome c oxidase as studied by optical and x-ray absorption edge spectroscopy," Biochim. Biophys. Acta 546, 520–538 (1979). 46. J. Peisach, L. Powers, W. E. Blumberg, B. Chance, \Stellacyanin. Studies of the metal-binding site using x-ray absorption spectroscopy," Biophys. J. 38, 277–285 (1982). 47. B. Chance, R. Fischetti, L. Powers, \Structure and kinetics of the photoproduct of carboxymyoglobin at low temperatures: An X-ray absorption study," Biochemistry 22, 3820–3829 (1983). 48. L. Garcia-Iniguez, L. Powers, B. Chance, S. Sellin, B. Mannervik, A. S. Mildvan, \X-ray absorption studies of the Zn 2þ site of glyoxalase I," Biochem- istry 23, 685–689 (1984). 49. B. Chance, J. S. Leigh, H. Miyake, D. S. Smith, S. Nioka, R. Greenfeld, M. Finander, K. Kaufmann, W. Levy, M. Young, \Comparison of time-resolved and -unresolved measurements of deoxyhemoglobin in brain," Proc. Natl. Acad. Sci. USA 85, 4971–4975 (1988). 50. B. Chance, S. Nioka, J. Kent, K. McCully, M. Fountain, R. Greenfeld, G. Holtom, \Time-resolved spectroscopy of hemoglobin and myoglobin in rest- ing and ischemic muscle," Anal. Biochem. 174, 698– 707 (1988). 51. M. S. Patterson, B. Chance, B. C. Wilson, \Time resolved re°ectance and transmittance for the non- invasive measurement of tissue optical properties," Appl. Opt. 28, 2331–2336 (1989). 52. M. A. O'Leary, D. A. Boas, B. Chance, A. G. Yodh, \Refraction of di®use photon density waves," Phys. Rev. Lett. 69, 2658–2661 (1992). 53. D. A. Boas, M. A. O'Leary, B. Chance, A. G. Yodh, \Scattering of di®use photon density waves by spherical inhomogeneities within turbid media: Analytic solution and applications," Proc. Natl. Acad. Sci. USA 91, 4887–4891 (1994). 54. X. Li, B. Beauvoit, R. White, S. Nioka, B. Chance, A. G. Yodh, Optical Tomography, Photon Mi- gration, and Spectroscopy of Tissue and Model Media: Theory, Human Studies, and Instrumenta- tion Tumor Localization Using Fluorescence of Indocyanine Green(ICG) in Rat Models, Vol. 789 SPIE, San Jose, CA, USA (1995). 55. A. Yodh, B. Chance, \Spectroscopy and imaging with di®using light," Phys. Today 48, 34–40 (1995). 56. X. D. Li, T. Durduran, A. G. Yodh, B. Chance, D. N. Pattanayak, \Di®raction tomography for bio- chemical imaging with di®use-photon density waves," Opt. Lett. 22, 573–575 (1997). 57. V. Ntziachristos, X. Ma, A. G. Yodh, B. Chance, OSA Trends in Optics and Photonics, E. M. Sevick- Muraca, J. A. Izatt, M. N. Ediger, Eds., Quanti- tation of Functional Motor Cortex Activity using Time-Resolved Spatially Localized NIR Spec- troscopy, pp. 200–204, Optical Society of America, Washington, DC (1998). 58. V. Ntziachristos, A. G. Yodh, M. D. Schnall, B. Chance, \MRI-guided di®use optical spectroscopy Citation analysis of the scienti¯c publications of Britton Chance 1430003-13 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . of malignant and benign breast lesions," Neoplasia 4, 347–354 (2002). 59. G. Yu, T. Durduran, G. Lech, C. Zhou, B. Chance, E. R. Mohler, 3rd, A. G. Yodh, \Time-dependent blood °ow and oxygenation in human skeletal muscles measured with noninvasive near-infrared di®use optical spectroscopies," J. Biomed. Opt. 10, 024027 (2005). 60. X. Intes, B. Chance, M. J. Holboke, A. G. Yodh, \Interfering di®usive photon-density waves with an absorbing-°uorescent inhomogeneity," Opt. Express 8, 223–231 (2001). 61. A. Villringer, B. Chance, \Non-invasive optical spectroscopy and imaging of human brain function," Trends Neurosci. 20, 435–442 (1997). 62. D. M. Mancini, L. Bolinger, H. Li, K. Kendrick, B. Chance, J. R. Wilson, \Validation of near-infrared spectroscopy in humans," J. Appl. Physiol. 77, 2740–2747 (1994). 63. E. M. Sevick, B. Chance, J. Leigh, S. Nioka, M. Maris, \Quantitation of time- and frequency-resolved opti- cal spectra for the determination of tissue oxy- genation," Anal. Biochem. 195, 330–351 (1991). 64. V. Ntziachristos, A. G. Yodh, M. Schnall, B. Chance, \Concurrent MRI and di®use optical tom- ography of breast after indocyanine green enhancement," Proc. Natl. Acad. Sci. USA 97, 2767–2772 (2000). 65. G. Zheng, H. Li, K. Yang, D. Blessington, K. Licha, S. Lund-Katz, B. Chance, J. D. Glickson, \Tricarbocyanine cholesteryl laurates labeled LDL: New near infrared °uorescent probes (NIRFs) for monitoring tumors and gene therapy of familial hypercholesterolemia," Bioorg. Med. Chem. Lett. 12, 1485–1488 (2002). 66. M. Zhang, Z. Zhang, D. Blessington, H. Li, T. M. Busch, V. Madrak, J. Miles, B. Chance, J. D. Glickson, G. Zheng, \Pyropheophorbide 2-deox- yglucosamide: A new photosensitizer targeting glu- cose transporters," Bioconjug. Chem. 14, 709–714 (2003). 67. J. Chen, K. Ste®lova, M. J. Niedre, B. C. Wilson, B. Chance, J. D. Glickson, G. Zheng, \Protease-trig- gered photosensitizing beacon based on singlet oxygen quenching and activation," J. Am. Chem. Soc. 126, 11450–11451 (2004). 68. Z. Zhang, D. Blessington, H. Li, T. M. Busch, J. Glickson, Q. Luo, B. Chance, G. Zheng, \Redox ratio of mitochondria as an indicator for the re- sponse of photodynamic therapy," J. Biomed. Opt. 9, 772–778 (2004). 69. Z. Zhang, H. Li, Q. Liu, L. Zhou, M. Zhang, Q. Luo, J. Glickson, B. Chance, G. Zheng, \Metabolic imaging of tumors using intrinsic and extrinsic °u- orescent markers," Biosens. Bioelectron. 20, 643– 650 (2004). 70. L. Z. Li, R. Zhou, H. N. Xu, L. Moon, T. Zhong, E. J. Kim, H. Qiao, R. Reddy, D. Leeper, B. Chance, J. D. Glickson, \Quantitative magnetic resonance and optical imaging biomarkers of melanoma metastatic potential," Proc. Natl. Acad. Sci. USA 106, 6608– 6613 (2009). 71. L. Z. J. Li, R. Zhou, T. Zhong, L. Moon, E. J. Kim, H. Qiao, S. Pickup, M. J. Hendrix, D. Leeper, B. Chance, J. D. Glickson, \Predicting melanoma metastatic potential by optical and magnetic res- onance imaging," Adv. Exp. Med. Biol. 599, 67–78 (2007). 72. H. N. Xu, S. Nioka, J. D. Glickson, B. Chance, L. Z. Li, \Quantitative mitochondrial redox imaging of breast cancer metastatic potential," J. Biomed. Opt. 15, 036010 (2010). 73. H. N. Xu, J. Tchou, B. Chance, L. Z. Li, \Imaging the redox states of human breast cancer core biopsies," Adv. Exp. Med. Biol. 765, 343–349 (2013). 74. H. N. Xu, R. C. Addis, D. F. Goings, S. Nioka, B. Chance, J. D. Gearhart, L. Z. Li, \Imaging redox state heterogeneity within individual embryonic stem cell colonies," J. Innov. Opt. Health Sci. 4, 279–288 (2011). 75. J.-R. Horng, S. Nioka, A. Quo, B. Chance, \A novel time-shared °uorometer gives the mitochondrial redox state as the ratio of two components of the respiratory chain of the animal and human buccal cavity with quantitative measures of the redox energy state," J. Innov. Opt. Health Sci. 3, 235–245 (2010). 76. B. Chance, H. Sies, A. Boveris, \Hydroperoxide metabolism in mammalian organs," Physiol. Rev. 59, 527–605 (1979). 77. A. Boveris, B. Chance, \The mitochondrial gener- ation of hydrogen peroxide. General properties and e®ect of hyperbaric oxygen," Biochem. J. 134, 707– 716 (1973). 78. B. Chance, G. R. Williams, \The respiratory chain and oxidative phosphorylation," Adv. Enzymol. Relat. Subj. Biochem. 17, 65–134 (1956). 79. B. Chance, A. C. Maehly, \Assay of catalases and peroxidases," Methods Enzymol. 2, 764–775 (1955). 80. B. Chance, \Spectra and reaction kinetics of res- piratory pigments of homogenized and intact cells," Nature 169, 215–221 (1952). 81. B. Chance, \Spectrophotometry of intracellular res- piratory pigments," Science 120, 767–775 (1954). L. Z. Li et al. 1430003-14 J. I nn ov . O pt . H ea lt h S ci . 2 01 4. 07 . D ow nl oa de d fr om w w w .w or ld sc ie nt if ic .c om by U N IV E R S IT Y O F A M S T E R D A M o n 12 /1 6/ 14 . F or p er so na l us e on ly . Citation analysis of the scientific publications of Britton Chance in ISI citation indexes 1. Introduction to Britton Chance 2. Scientometric Analysis 3. Discussion and Summary References 
work_76d3vxwg7nasxhrl7arzxzfovm	----	wp-p1m-39.ebi.ac.uk Params is empty 404 sys_1000 exception wp-p1m-39.ebi.ac.uk no 218196983 Params is empty 218196983 exception Params is empty 2021/04/06-02:09:22 if (typeof jQuery === "undefined") document.write('[script type="text/javascript" src="/corehtml/pmc/jig/1.14.8/js/jig.min.js"][/script]'.replace(/\[/g,String.fromCharCode(60)).replace(/\]/g,String.fromCharCode(62))); // // // window.name="mainwindow"; .pmc-wm {background:transparent repeat-y top left;background-image:url(/corehtml/pmc/pmcgifs/wm-nobrand.png);background-size: auto, contain} .print-view{display:block} Page not available Reason: The web page address (URL) that you used may be incorrect. Message ID: 218196983 (wp-p1m-39.ebi.ac.uk) Time: 2021/04/06 02:09:22 If you need further help, please send an email to PMC. Include the information from the box above in your message. Otherwise, click on one of the following links to continue using PMC: Search the complete PMC archive. Browse the contents of a specific journal in PMC. Find a specific article by its citation (journal, date, volume, first page, author or article title). http://europepmc.org/abstract/MED/ 
work_76vd3ckiprc5reccwb3bxo2wti	----	60 1 1 July 1970 Leading Articles REDICAL JOURNAL pericarditis is active. Sometimes the pericarditis is present without any E.C.G. changes.5 About half the patients reported on by Kirk and Cosh also had rheumatoid lung or pleural lesions.5 Pleural effusion is common, but pericardial effusion is rare. In the few cases in which pericardial effusion occurs the fluid closely resembles the straw-coloured non-viscous fluid found in the pleural cavity; typically it is high in protein but low in sugar. L.E. cells are found in the blood in a minority of patients,6 but even then the diagnosis of rheumatoid arthritis as opposed to systemic lupus erythematosus is usually clear. To assess the incidence of rheumatoid pericarditis Kirk and Cosh made a prospective study of 100 inpatients with severe rheumatoid arthritis selected at random. They found it was 10%. But their patients had sufficiently severe disease to warrant admission to hospital, and so high an incidence would not be expected in patients outside hospital. The prognosis of rheumatoid pericarditis is generally good. The condition appears to run a benign course, usually with rapid spontaneous resolution. Specific therapy does not prevent its onset or shorten its course once established. If pericardial effusion occurs, early aspiration is advised to prevent tamponade and to reduce the risk of later pericardial constriction. B. P. Harrold7 reviewed 17 reported patients with rheumatoid pericarditis who had undergone pericardi- ectomy for constriction and noted that in only three did the interval between onset of arthritis and operation exceed five years. This suggests that if constriction is going to occur it is unlikely to do so in patients with arthritis of long duration. Rarely, heart failure may be the presenting symptom of rheumatoid pericarditis, and the onset of oedema in a patient with rheumatoid arthritis should prompt the doctor to consider this possibility. Children's Eyes Errors of refraction are almost universal, and few of us attain old age without recourse to spectacles. Yet, though the refractive state of the eye is simply the product of physical variations in the eye's anatomy which admit an exact measurement, our knowledge of these measurements in sub- stantial numbers of the population at different ages has been very incomplete. A recent comprehensive report by Arnold Sorsby and G. A. Leary' is welcome not only because of the information it provides on the patterns of refractive changes in growing children but also because it helps to clear away some of the myths that are still being reported about the prophylaxis and "treatment" of short-sightedness. The infant's eye is normally hypermetropic (long-sighted), and as the eyeball grows in length the hypermetropia decreases. The eye thus becomes more normal-sighted or even short- sighted until growth comes to an end by the age of 14. Between the ages of 3 and 14 the eye becomes about 1*2 mm. larger. But some 60% of the potential decrease in hyper- metropia (or increase in myopia) that this elongation could be expected to produce is eliminated by a simultaneous reduction in the converging power of the cornea and lens, so Sorsby, A., and Leary, G. A., Medical Research Council. Special Report Series, 1970, No. 309. 2 Sorsby, A., Sheridan, M., and Leary, G. A., Medical Research Council. Special Report Series, 1962, No. 303. 3 Morgan, O., British Medical_Journal, 1970, 1, 175. 4 Gilkes, M. J., British MedicalJournal, 1970, 1, 758. that the resultant change in refraction is little more than 1 dioptre. And, as most infants are more than 1 dioptre hyper- metropic, only exceptionally does this trend produce a frank myopia, and that of quite a low order. In about 28% of children a greater elongation of the eyeball during this growth period does cause a further shift towards myopia than can be compensated for by a slight additional decrease of the power of the cornea and lens. The change in cornea and lens is in part the direct sequel to this elongation and would itself tend to neutralize some of this adventitious myopia. The authors of the report found that bodily heights and weights were unrelated to the refraction at the beginning and end of the period ofobservation, and there were no obvious sex differences in these developments. As the authors had shown in an earlier report,2 the refraction and its components are genetically determined. And this, they state, must be assumed to apply also to the anomalous axial elongation and paradoxical changes in the cornea and lens. The provision of correct spectacles will thus have no influence on this predetermined refractive change3 4 any more than on other organic disorders of the eyeball. Caribbean Food and Nutrition Institute Christopher Columbus made his first landfall in the Caribbean in October 1492 at an island in the Bahamas which he piously named San Salvador. Believing he had reached Asia, he imposed on posterity the confusing practice of calling the people of the New World "Indians" and the Caribbean islands the "West Indies." The area was at that time inhabited by the gentle Arawaks and the fierce Caribs, who gave us the word "cannibal." The Arawaks were soon exterminated by the Europeans who followed Columbus; the Caribs held out somewhat longer, and a few thousand survive today. In the sixteenth and seventeenth centuries the islands were appropriated by European powers-the English, French, Dutch, and Spanish. They became sugar islands, devoted to sugar plantations worked by negro slaves captured in West Africa and carried across the Atlantic in the dreadful circum- stances of the middle passage. After emancipation in the nineteenth century the sugar industry declined because the ex-slaves hated the sight of the sugar cane, which was being grown in increasing quantities in other parts of the tropics, and the sugar beet, efficiently cultivated in the temperate zone, began to rival the cane as a source of sucrose. During a long period of economic depression the Caribbean territories faded out of history, becoming of little importance to their European owners. Partial economic recovery came only recently, with the development of new industries such as bauxite manufac- ture, and the discovery, by wealthy Canadians and Americans, that the Caribbean offers an escape from winter blizzards and has lovely scenery. The tourist industry has boomed. During the last decade many of the Caribbean territories have become independent members of the United Nations. This, roughly, is the setting of the Caribbean Food and Nutrition Institute, established in 1967. The institute has centres in Jamaica and Trinidad, each located in the campus of the University of the West Indies. At present its activities I'Journal of Tropical Pediatrics, 1968, 14, 52. 2 Waterlow, J. C., Cravioto, J., and Stephen, J. M. L., Advances in Protein Chemistry, 1969, 15, 131. o n 5 A p ril 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://w w w .b m j.co m / B r M e d J: first p u b lish e d a s 1 0 .1 1 3 6 /b m j.3 .5 7 1 4 .6 0 o n 1 1 Ju ly 1 9 7 0 . D o w n lo a d e d fro m http://www.bmj.com/ 
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work_7g5pcnv7mfcvlgobmwsz223qge	----	Nonlinear Physics of Ecosystems Physics Today Nonlinear Physics of Ecosystems Hugo Fort Citation: Physics Today 68(10), 46 (2015); doi: 10.1063/PT.3.2949 View online: http://dx.doi.org/10.1063/PT.3.2949 View Table of Contents: http://scitation.aip.org/content/aip/magazine/physicstoday/68/10?ver=pdfcov Published by the AIP Publishing This article is copyrighted as indicated in the article. Reuse of AIP content is subject to the terms at: http://scitation.aip.org/termsconditions. Downloaded to IP: 164.73.83.101 On: Thu, 01 Oct 2015 22:06:59 http://oasc12039.247realmedia.com/RealMedia/ads/click_lx.ads/www.aip.org/pt/adcenter/pdfcover_test/L-37/452059625/x01/AIP-PT/KNF_ArticleDL_092315/PhysicsToday_DD_pumps_1640x440_banner-2.jpg/6c527a6a713149424c326b414477302f?x http://scitation.aip.org/content/aip/magazine/physicstoday?ver=pdfcov http://scitation.aip.org/search?value1=Hugo+Fort&option1=author http://scitation.aip.org/content/aip/magazine/physicstoday?ver=pdfcov http://dx.doi.org/10.1063/PT.3.2949 http://scitation.aip.org/content/aip/magazine/physicstoday/68/10?ver=pdfcov http://scitation.aip.org/content/aip?ver=pdfcov 46 October 2015 Physics Today www.physicstoday.org books A Beautiful Question Finding Nature’s Deep Design Frank Wilczek Penguin Press, 2015. $29.95 (430 pp.). ISBN 978-1-59420-526-2 Reviewed by Sabine Hossenfelder My four-year-old daughter recently dis- covered that equilateral triangles com- bine to form larger equilateral triangles. When I caught a distracted glimpse of her artwork, I thought she had drawn the baryon decuplet, an often-used dia- gram to depict relations between some of the particles composed of three quarks. The baryon decuplet doesn’t come easy to humans, but the beauty of sym- metry does. And how amazing it is that physicists have found symmetry tightly woven into the fabric of nature itself: Both the standard model of particle physics and general relativity, currently our most fundamental theories, are in essence mathematically precise imple- mentations of symmetry requirements. Next to being instrumental for the accurate description of nature, symme- tries are also universally appealing to humans, as reflected in art and design across cultures. For the physicist, it is second nature to see the equations be- hind the art. Indeed, having that ability may be considered either a curse or a blessing. To Frank Wilczek, it clearly is a bless- ing. In A Beautiful Question: Finding Nature’s Deep Design he highlights the success of symmetries in physics and goes on to answer the question of whether “the world embodies beautiful ideas” with an emphatic “Yes.” Wilczek starts from the discovery of basic math- ematical relationships like Pythagoras’s theorem (and doesn’t shy away from proving it!) and proceeds through the history of physics, stopping to consider such milestone topics as musical har- monies, the nature of light and the basics of optics, Newtonian gravity and its extension to general relativ- ity, quantum mechanics, and ultimately the standard model of particle physics. He touches briefly on condensed-matter physics—graphene in particu- lar—and takes an interesting detour into the human eye’s limited ability to decode visual information. In the last chapters of the book, Wilczek goes into quite some detail about the particle content of the stan- dard model and how, it seems, the model is not as beautiful as one may have hoped. He introduces the reader to extended theories such as grand unification and also supersymmetry, which was invented to remedy some of the supposed shortcomings of the standard model. The reader unfamiliar with the quantum numbers used to classify elementary particles will likely find some parts of that section a bit demanding. But whether or not one makes the effort to follow the details, Wilczek gets his message across clearly: Striving for beauty in natural law has been a useful guide, and he expects it to remain one. He is, however, careful to note that relying on beauty has, on various occa- sions, led to plainly wrong theories, such as an explanation of planetary orbits in terms of Platonic solids or a theory of atoms based on the mathe- matics of knots. A Beautiful Question is a skillfully written reflection, or “meditation,” as Wilczek puts it. It is well structured and accompanied by many figures, includ- ing two inserts with color prints. The book also contains an extensive glos- sary, recommendations for further reading, and a timeline of discoveries mentioned in the text. The content of the book is unique in the genre of popular works. Dave Goldberg’s The Universe in the Rearview Mirror: How Hidden Symmetries Shape Reality (Dutton, 2013), for example, also discusses the role of symmetries in fun- damental physics, but Wilczek gives more space to the connection between aesthetics in art and science. A Beautiful Question picks up and expands on the theme of Steven Weinberg’s book, Dreams of a Final Theory (Pantheon, 1992), which also expounds on the rel- evance of beauty in the development of physical theories. More than 20 years have passed since Weinberg wrote his book, but the dream is still as elusive today as it was back then. For all its elaboration on the beauty of symmetry, Wilczek’s book falls short of spelling out a conundrum physicists face today: We have no reason to be confi- dent that the laws of nature yet to be discovered will conform to the human sense of beauty. Nor does Wilczek spend many words on aspects of beauty beyond symmetry; he only briefly touches on fractals, and never goes into the rich appeal of chaos and complexity. My mother used to say that “sym- metry is the art of the dumb,” a criticism perhaps too harsh to level at the stan- dard model. But seeing that reliance on beauty has not helped us in the past two decades, maybe it is time to consider that a beautiful answer might not reveal itself as effortlessly as does the appeal of plane tilings to a four-year-old. Maybe the inevitable subjectivity in our sense of aesthetic appeal will turn out to be a curse, misleading us as to where the answers lie. Wilczek’s book contains something for every reader, from the physicist who wants to learn how a Nobel Prize win- ner thinks of the connection between ideas and reality to the layman who wants to know more about the structure of fundamental laws. A Beautiful Ques- tion reminds us of the many ways that science connects to the arts, and it in- vites us to marvel at the success our species has had in unraveling the mys- teries of nature. Nonlinear Physics of Ecosystems Ehud Meron CRC Press, 2015. $89.95 (344 pp.). ISBN 978-1-4398-2631-7 Many concepts and methods from non- linear physics have proved to be useful for addressing important problems in ecology. Indeed, a growing number of physicists are working with ecologists and are making significant contribu- tions to ecology. Pattern formation and spatial ecology—how those patterns are related to ecological phenomena—are particular research areas that benefit The allure of the aesthetic Sabine Hossenfelder is an assistant professor of high-energy physics at Nordita, the Nordic Institute for Theoretical Physics, in Stockholm. She works on physics beyond the standard model and on quantum- gravity phenomenology, and she blogs at http://backreaction.blogspot.com. This article is copyrighted as indicated in the article. Reuse of AIP content is subject to the terms at: http://scitation.aip.org/termsconditions. Downloaded to IP: 164.73.83.101 On: Thu, 01 Oct 2015 22:06:59 October 2015 Physics Today 49 from the interdisciplinary inter- actions. For example, field ob- servations of vegetation pat- terns in arid and semiarid regions have revealed patterns similar to ones found in fluid dynamics and nonlinear optics. Any book that attempts to bridge ecology and nonlinear physics would be welcomed by scien- tists who work at the intersection of both fields. In my own work, I have col- laborated with ecologists to develop quantitative methods and models to address biodiversity dynamics and spatiotemporal early warning signals of catastrophic shifts in ecosystems. I have also taught courses for mixed audiences of agronomists, ecologists, and physicists. I was greatly impressed by the vari- ety of topics covered in Ehud Meron’s Nonlinear Physics of Ecosystems and by the depth in which they are discussed. The author’s introduction to each topic is clear, and the book’s overall organiza- tion makes it easily readable. At the be- ginning of each chapter is an outline of the major points treated, and at the end, a summary of the key ideas that were developed. The bibliography is exten- sive and comprehensive. I found few omissions. The most significant one would be James Murray’s classic text Mathematical Biology II: Spatial Models and Biomedical Applications (Springer, 2003), which, although it does not focus on spatial ecology, has substantial over- lap with this book. Nonlinear Physics of Ecosystems also contains many figures and photos that help readers to visual- ize spatial patterns in real eco systems. All that makes Meron’s book an im - portant reference, particularly for re- searchers of spatial self-organization and spatial ecology. The book is divided into three parts. The first begins with a quite standard presentation of the basics of self- organization in nonequilibrium sys- tems. It then offers a qualitative review of spatial ecology and presents out- standing problems such as desertifi - cation and biodiversity loss. The con- cluding chapter for that section raises important and broadly relevant ques- tions about ecosystem modeling: Why model? How should a model be set up? What is the significance of qualitative information? Such questions should be considered by anyone who conducts scientific research and uses models. The second part is devoted to pat- tern formation theory, which, according to Meron, is a missing link in ecological research. In fact, the book’s main pur- pose is to fill that gap; in essence, part two is the book’s nucleus. The author presents basic and advanced methods related to the main types of pattern formation mechanisms. Among the plethora of struc- tures are stripe and hexagonal patterns, scale-free patterns, and spiral waves. The third part considers different applications of pattern formation the- ory to spatial ecology. The author ex- plains the significance of self- organized vegetation patchiness to paramount ecological problems presented in the first part, including desertification and biodiversity loss in changing environ- ments. I enjoyed reading the two final chapters—11 and 12—which cover topics I have been working on, namely, regime shifts, desertification, and species coexistence and diversity in plant communities. Particularly well done were the discussions on different early warning signals of regime shifts and their spatial aspects. I enjoyed the explanation of species coexistence in- duced by plants that act as ecosystem engineers by modifying their physical 20+ years serving the scientific & engineering community NEW VERSION Over 100 new features & improvements in Origin 2015! FOR A FREE 60-DAY EVALUATION, GO TO ORIGINLAB.COM/DEMO AND ENTER CODE: 2876 Over 500,000 registered users worldwide in: ◾ 6,000+ Companies including 120+ Fortune Global 500 ◾ 6,500+ Colleges & Universities ◾ 3,000+ Government Agencies & Research Labs This article is copyrighted as indicated in the article. Reuse of AIP content is subject to the terms at: http://scitation.aip.org/termsconditions. Downloaded to IP: 164.73.83.101 On: Thu, 01 Oct 2015 22:06:59 50 October 2015 Physics Today www.physicstoday.org books environment and in certain circum- stances facilitating the growth of other species. Nonlinear Physics of Ecosystems surely will contribute to the development of a newly emerging interdisciplinary re- search field at the interface of ecology and pattern formation. I would recom- mend it to graduate students who want to conduct research in mathematical ecology or physics applied to spatial- ecology problems. A minor caveat: I wish the book had included exercises to help students reinforce and test their understanding; maybe it will in the next edition. Nonetheless, it could be used either as a main or supporting textbook in a one-semester course for advanced un- dergraduate or graduate students in physics or ecology or in a course with a mixed audience of students from both disciplines. I also warmly recommend the book for nonlinear physicists, ap- plied mathematicians, and theoretical ecologists working on those cutting- edge environmental interdisciplinary problems. Hugo Fort University of the Republic Montevideo, Uruguay Particle Accelerators From Big Bang Physics to Hadron Therapy Ugo Amaldi Springer, 2015. $34.99 (284 pp.). ISBN 978-3-319-08869-3 Particle Accelerators: From Big Bang Physics to Hadron Therapy takes us on a fascinating odyssey of accelerator history and applications. Author and prominent CERN scientist Ugo Amaldi’s principal aim is to highlight and praise the role of the machine builders. In doing so, he borrows a comparison made by particle theorist Victor Weiss - kopf, CERN director general from 1961 to 1965. Weisskopf likens accelerator builders to the creators and captains of the ships that brought Christopher Columbus and his crew to the Ameri- cas; experimentalists to those who set foot on the new lands and described them; and, somewhat self-mockingly, theorists to those who stayed behind in Europe and made the prediction that Columbus would arrive at India. Amaldi’s book also confirms the view that developments in science are driven by the achievements of many people across many generations, and that we are indeed standing on the shoulders of giants. The first version of Particle Accelerators was published in 2012 and written in Italian. In 2013 it won a science communi- cation award from the Italian Book Association. Following that success, the author consid- erably expanded his text, add - ing many useful details. In its present form, the book contains many recollections of CERN; it would defi- nitely warm the heart of anyone who worked and lived in that wonderful sci- entific mecca. Particle Accelerators, which is aimed at the general public, is filled with intrigu- ing analogies, metaphors, and humor. For example, the author describes the uncertainty principle as the process of taking a “loan of energy” from the “Heisenberg bank,” with the unusual twist that the greater the loan amount, the earlier it matures. He compares the Bevatron at Lawrence Berkeley National Laboratory to a 10 000-ton “cracker of invisible nuts” and electron–positron annihilation to the disappearance of two colliding strawberries giving rise to a flood of bananas or apples. And he suggests what he considers a compact and more meaningful nomenclature for the three neutrinos: neutrino for the electron neutrino, neutretto for the muon neutrino, and neutrotto (or fatter neutrino) for the tau neutrino. After telling the story of the early ac- celerator builders, the book goes on to particle physics, the field that has most benefited from the technology. Topics covered include the standard model and its extensions; dark matter; dark energy; supersymmetry; and string the- ory, which the author believes provides the most likely explanation for symme- try breaking. If a subsequent edition is written, I hope it includes brief and sim- ple descriptions of the many phenom- ena and methods that are mentioned but never explained—for example, syn- chrotron radiation and the supernova standard candles that led to the idea of an accelerating universe. Medical applications are featured in the book’s concluding section, which de- scribes in popular terms the basics of x-ray and particle imaging and tumor treatment. Readers will learn about many technical details and enjoy some intriguing stories along the way. For instance, the first—and for a long time, the only—interest in an early article outlining computerized tomography came from a Swiss center for avalanche research, which wanted to use the technology to find objects—like lost skiers—trapped in snow. Amaldi captures the roman- tic spirit of the early days of par- ticle physics experiments. He also touches on the cooperation and competition between the continents. Surprisingly, at least at the time this edition was pub- lished, all bosons since 1948 had been discovered in Europe and all fermions in America—a peculiar sort of symmetry breaking. The author also occasionally makes what some readers may consider as frank and provocative remarks. For example, he states that the Large Electron–Positron Collider could have discovered the Higgs more than a decade ago had he and his colleagues convinced the CERN directorate to invest substantially in upgrading the superconducting RF cavities. Amaldi also laments that Bruno Touschek and Gersh Budker were not rewarded with the Nobel Prize for their role in the de- velopment of electron–positron collid- ers; he suggests that had the scientists been working in the US—where the main action was—they would have re- ceived the honor. In any case, such com- ments are nicely balanced by wonderful stories of cooperation, such as between Brookhaven National Laboratory and CERN during the building of the CERN Proton Synchrotron. Particle Accelerators culminates with an inspiring story of the development and creation of the Italian National Center for Oncological Hadron Ther- apy, a great achievement for Amaldi, who put an enormous amount of effort and energy into its creation. He is now working to develop a novel linac for proton therapy. These initiatives prove the author’s own maxim that “physics is beautiful and useful.” Andrei Seryi University of Oxford Oxford, UK Gravity Newtonian, Post-Newtonian, Relativistic Eric Poisson and Clifford M. Will Cambridge U. Press, 2014. $80.00 (780 pp.). ISBN 978-1-107-03286-6 Gravity: Newtonian, Post-Newtonian, Rel- ativistic is not the usual relativity text. But it’s the one you need if you actually want to calculate something astrophysi- cal without a supercomputer. I know of no other text that compares with this compendium of tricks for calculating ob- servables in the large fraction of the uni- verse that is not near an event horizon. This article is copyrighted as indicated in the article. Reuse of AIP content is subject to the terms at: http://scitation.aip.org/termsconditions. Downloaded to IP: 164.73.83.101 On: Thu, 01 Oct 2015 22:06:59 
work_7hnewwn6azekhkgoshqkaafjr4	----	An attempt to correlate cattle breed origins and diseases associated with or transmitted by the tick Amblyomma variegatum in the French West Indies J.C. Maillard l S.J. Kemp * M. Naves 3 C. Palin 4 C. Demangel l A. Accipe 5 N. Maillard 6 A. Bensaid 7 STVM-93 I An attempt to correlate cattle breed origins and diseases associated with or transmitted by the tick Amblyomma variegatuh in the French West Indies MAILLARD (J.C.), KEMP, (S.J.), NAVES (M.), PALIN (C.), DEMANGEL (C.), ACCIPE (A.), MAILLARD (N.), BENSAID (A.). Tentative de corrélation de l’origine des races bovines et des maladies associées à ou transmises par la tique Amblyomma vnriegntum dans les Antilles françaises. Revue Eh. Méd. vét. Pays trop., 1993, 46 (l-2) : 283-290 A l’aide de données biologiques et de la recherche historique, on a essayé d’expliquer la différence, en ce qui concerne la résistance et la sensibilité aux maladies transmises par (cowdriose) ou associées à (dermatophilose) la tique AmbZyomma variegatum, entre deux races bovines des Antilles françaises : la race Créole hybride de la Guadeloupe et le zébu Brahman de la Martinique. Les polymor- phismes de 5 systèmes génétiques indépendants (hémoglobine éry- throcytaire, albumine et transferrine du sérum, la région classe 1 du complexe BoLA et le gène gamma S cristallin) ont été étudiés chez différentes races, à savoir des Bos faurus d’Europe et d’Afrique, des Bos indicus d’Afrique de l’Ouest et de l’Est, le Brahman de la Martinique et le Créole de la Guadeloupe. Par comparaison des fré- quences de différents allèles de ces 5 loti polymorphiques non liés et à l’aide de deux matrices mathématiques différentes de NE1 et de CAVALLI-SFORZA, on a établi les distances génétiques entre ces races. Il apparaît clairement que le bovin Créole de la Guadeloupe est dans une position intermédiaire entre le Bos turcrus N’Dama de l’Afrique de l’Ouest et deux races de zébu, Bos indicus, le zébu souda- nais de l’Afrique de l’Ouest et le Brahman. Grace aux études d’archives différentes dans les Caraibes et en Europe, des preuves historiques ont pu être accumulées sur les origines géographiques et sur la chronologie de l’établissement des bovins Créole et Brahman dans les Antilles françaises. La résistance élevée des bovins Créole de la Guadeloupe aux maladies associées à ou transmises par la “tique sénégalaise”, Amblyomma variegatum, semble due à l’héritage d’un lot de gènes de bovins de l’Afrique occidentale, en particulier de la race N’Dama. En effet, la tique A. variegatum, implantée dans toute l’Afrique de l’Ouest, a été introduite dans la région caraïbe avec des bovins ouest-africains. Cette tique a certainement continué à exercer une pression parasitaire, ce qui explique la capacité innée des bov-ins Créole à maîtriser ces maladies spontanément. Mots clés : Bovin - Bovin Créole Bovin N’Dama Zébu Brahman Zébu soudanais - Cowdriose Dermatophilose Tique - Amblyomrnn variegatum - Résistance aux maladies - Antilles françaises Guadeloupe - Martinique. 1. CIRAD-EMVT, Guadeloupe. 2. ILRAD, Nairobi, Kenya. 3. INRA-CRAAG, Guadeloupe. 4. Veterinary Service of Martinique. 5. Veterinary Service of Guadeloupe. 6. Historian, Guadeloupe. 7. CIRAD-EMVT Maisons Alfort, France. INTRODUCTION The Brahman zebu cattle of Martinique is a crossbred population coming from a stabilized mix of different Indian zebu breeds (Gir, Nelore, Gujera) selected in the South of the USA (27, 32) and introduced in this island around 1952. These cattle are very well adapted to the tropical breeding conditions but it is to some extent sus- ceptible to dermatophilosis (5, 11, 12, 26). As a matter of fact, before its introduction in Martinique, this cattle population had never been in contact with the tick Amblyomma variegatum. Also, imported “exotic” European breeds are fully susceptible to dermatophilo- sis and cowdriosis and are in addition not adapted to the tropical conditions. The Creole cattle of Guadeloupe are a population high- ly resistant to dermatophilosis and to cowdriosis (5, Il, 43). Phenotypically, they show a more or less important hump but also several taurine features. This capability to resist diseases associated or transmitted by the “Senegalese” bont tick Amblyomma variegatum is an innate genetic character which is inheritable and proba- bly maintained by a constant parasitic pressure (1, 12, 22, 29, 37, 44). It is known for a long time that these cattle are a cross- bred between 130s taurus and 130s indicus breeds, but this fact presumed by zootechnical and phenotypical observations (5) has never been proved by biological data. Furthermore the ancestral breeds of the Creole cattle have never been clearly identified. We have tried to answer several questions. On the one hand, is the Bos taurus type coming from European breeds, first introduced during the colonization of the West Indies (27), and/or from African taurines introduced later during trade shipping exchanges (16, 41) ? Does the Bos irtdicus type corne from African and/or Indian zebu breeds ? It is evident that if we could answer these questions, we could explain many breeding traits ‘of this Creole popula- tion. Furthermore, it would be possible to include these breeds in comparative studies on genetic research on the improvement of disease resistance and/or zootechnical characters. Revue Élev. Méd. vét. Pays trop., 1993, 46 (l-2) : 283-290 283 Retour au menuRetour au menu J.C. Maillard S.J. Kemp M. Naves C. Palin C. Demangel A. Accipe N. Maillard A. Bensaid MATERIAL AND METHODS Animals The polymorphism of 5 genetic systems in the 9 following breeds have been compared (table 1): - 2 European taurine breeds : 139 Friesian and 212 Jersey ; - 2 African taurine breeds, living in the West African tro- pical area infested by the tick Amblyomma variegatum, and well known to be resistant to several diseases, especially trypanosomosis. These are 1 ,016 shorthorn Baoule of Burkina Faso and 220 longhorn N’Dama of Guinea ; - 167 Creole cattle of Guadeloupe ; - 3 African zebu breeds : 106 Sudan zebus living in the Sahelian area of West Africa, 218 Boran and 393 Kapiti zebus of Kenya in East Africa ; - 121 Brahman zebus from Martinique. TABLEZ Species, geographical origins and numbers of ani- mals sampled in each population of the different breeds studied. L AFRICA West Crossbreed 60s t. indicus GUADELOUPE West AFRICA ~ East MARTINIQUE ! 139 Friesian 212 Jersey 1016 Baoule (shorthorn) 220 N’Dama (longhorn) 167 Creole 106 Sudan 393 Kapiti 218 Boran 121 Brahman Techniques The 5 genetic systems studied were: - the B chain of haemoglobin which is an erythrocytic pro- tein showing 10 electrophoretic variants. The authors have considered the 2 main alleles A and B detected by electrophoresis on a cellulose acetate support, and well known to be good markers of differentiation in the 50s genus between the taurus and indicus species (4, 6, 8, 30, 31, 33,35) ; 284 - the serum albumin displaying 7 variants by polyacryla: mide gel electrophoresis (PAGE). As for haemoglobin, the authors have considered the 2 main alleles ; the F (fast) rather characteristic of Bos taurus breeds, and the S (slow) more frequent in Bas indicus breeds (3, 6, 7, 1.51 19, 33, 36, 38) ; ) - the serum transferrin also analysed by PAGE showing 6 electrophoretic variants : 2 of them (B and F) are known to be specific for Bos indicus zebu breeds (3, 6, 8, 33: 34). The Brahman population of Martinique was not typed for this system ; - the Bovine Major Histocompatibility Complex : BoLA, highly polymorphie, shows in cattle about 50 allo speci- ficities in the class I region (2, 9, 14, 39). These are serologically detected by the standard method of lym- phocytotoxicity. Some antigens of this BoLA class 1, ; region are known to be associated with resistance or susceptibility to several diseases but also 2 of them are ~ ~ specific breed markers (25, 40) when considering ove- rall breed populations. * The KN8 specificity, isolated in Kenya, is a good i3os indicus breed marker (17, 25) . * The KN18 specificity is more interesting because it is, not only a Bos taurus marker but is above all specific for African taurines (17, 25, 42). Its frequency in European taurines and in zebu breeds is low ; - the gamma S crystallin gene, investigated by molecular analysis (18) and showing a bi-allelic polymorphism due to a punctual G/C substitution detected at base number 1754. Indeed, after amplification by the PCR technique and separation by agarose gel electrophoresis, two DNA fragments of 128 and/or 149 bp cari be detected, each’ DNA fragment being representative of one of the two alleles. Mathematical models By using the frequency differences of these 5 polymor- phic loti situated on 5 different chromosomes in the bovi- i ne genome, we have established the genetic distances ) (21) between the 9 breeds. Calculation was based on the ~ two mathematical matrices of NEI (28) and CAVALLI-1 SFORZA (10). Historical research We have studied different historical and commercial’ archives in the two French West Indies islands of, Guadeloupe and Martinique and we have tried to summa- rize numerous specialized books and bibliographical refe- rentes (16, 20, 41). Retour au menuRetour au menu STVM-93 RESULTS AND CONCLUSIONS In the B haemoglobin system, where the A allele is a marker of 130s taurus breeds (frequency always higher than 90 % whereas in /~OS indicus it rarely exceeds 50 %), it was noticed (figure 1) that the Brahman frequency (55 %) is closer to the zebu average while the Creole one (71 %) indicates clearly an intermediate value between Bas taurus and ~?OS indicus. In the serum albumin system, where the F allele is also a marker of Bos taurus breeds, it is observed here again (figure 2), an intermediate frequency of 52 % for the Creole breed whereas the Brahman value is closer to the The results obtained from these two systems of hae- moglobin and albumin show evidence for the presence of taurine features in the Creole population of Guadeloupe. Concerning the transferrin system :, - for the B allele, (figure 3) the Creole displays a frequen- cy which is very similar to that of zebu breeds, whereas for the taurine breeds the allele B is completely absent ; - for the F allele, the same phenomenon cari be observed (figure 4) suggesting also the presence of 130s indicus blood in the Creole breed. other zebu breeds. Percent. 0,06 _’ : .’ 0,05 .’ .’ .’ : 0,04 f ,’ .’ : .’ 0,03 .’ : :. ,: 0,02 ,,: : 1 Percent. /l , >>, .̂ ̂ \ :t..<:.o:,..r;.. , 1 1.00 030 0,60 0,40 0,20 0.00 . . . . . . . . . . . . . . . . . . . . . . . . ..A 0 HBI3 type B n HBB type A F J B N’D CG SZ KZ F J B N’D CG SZ KZ BZ SM BE Breeds Figure 3 :Transferrin B type polymorphism : Allele frequencies (in percen- tage) in different cattle breeds (seefigure 1) (nd = not determined). The Creole frequency is very similar to those of zebu breeds, wherens this allele is completeh absent in the taurine breeds. (Data sources : CIRAD- EMVT, CRTA, ILRAD, AFRUABRO) Figure 1 : Haemoglobin B type polymorphism : Allele frequencies (in per- centage) in different cattle breeds : F = Friesian, J = Jersey, B = Baoule, N’D = N’Dama, CG = Creole Guadeloupe, SZ = West African Sudan Zebu, KZ = East African Kapiti Zebu, BZ = East African Boran Zebu, BM = Brahman Martinique. The frequency of the A allele which is a taurine marker indicates in the Creole of Guadeloupe, an intermediate value (71 %) between Bas taurus and Bos indicus, whereas the Brahman frequency (55 %) is closer to the zebu average. (Data sources : CIRAD-EMVT, INRA, ILRAD, AFRUABRO) Percent. a’ 0,50 : : : 0,40 .. .’ _’ I i : 0,30 .. ) _ ; : : 0,20 .- . : : :.. . . 0,lO .. , Percent. 1,20 :’ 0.60 0,oo F J B N’D CG SZ KZ BZ BM Breeds 0 ALB type S 1 HALBtype F j 0,oo F J B N’D CG SZ KZ BZ BM Breeds Figure 2 : Albumin type polymorphism : Allele frequencies (in percentage) in dtjferent cattle breeds (see figure 1). The frequency of the F allele which is also a taurine marker indicates in the Creole of Guadeloupe, an intermediate value (55 %) between Bos taurus and Bos indicus, whereas the Brahman frequency is 12 % (Data sources : CIRAD-EMVT, INRA, ILRAD, AFRUABRO) Figure 4 : Transferrin F type polymorphisrn : Allele frequencies (in per- centage) in dtrerent cattle breeds (seejlgure 1) (nd = not determined). The Creole frequency irrdicates an intennediate value between Bos indicus and Bos taurus breeds where this allele is absent. (Data sources : CIRAD- EMVT CRTA. ILRAD, AFRUABRO) 285 Retour au menuRetour au menu J.C. Maillard S.J. Kemp M. Naves C. Palin C. Demangel A. Accipe N. Maillard A. Bensaid In the BoLA Complex: - the frequencies of the KN8 specificity (figure 5) confirm the previous results shown with the transferrin polymor- phisms, that the Creole breed possesses this zebu mar- ker, as expected for the Brahman zebu ; - high frequencies of the KN18 specificity (figure 6) are characteristic of West African Bos taurus populations whereas this specificity has only been found in a very low Gene - : - !i / o.oov ’ ’ ’ ’ ’ ’ ’ ’ ,-- F J 6 N’D CG SZ KZ BZ BM Breeds Figure 5 : Polymorphism of the KN8 specificity in the BoLA Complex : Gene freguencies in different cattle breeds (see figure 1). The Creole frequency of this specifkity is closer to those of Bos indicus breeds including Bruhman. (Data sources : CIRAD-EMVT, ILRAD) Gene Frequencies F J B N’D CG SZ KZ BZ BM Breeds Figure 6 : Polymorphism of the KN18 specificity in the BoLA Complex: Gene frequencies in dtflerent cnttle breeds (see figure 1). The Creole frequency of this specificity is closer to those of the 2 African Bos taurus breeds : N’Damn and Bnoule, indicnting its Africnn taurine ori- gin. Indeed, this KN18 antigen is specific to African taurine being nlmost absent in European taurine breeds. The frequency of’the Brahmnn populo- tion is normnlly closer to those of other Bos indicus breeds. (Data sources : CIRAD-EMVT, ILRAD) level in cattle from Northern Europe. For this reason, a KN18 frequency of 15 % in the Creole population is highly significative in determining the partial West African 90s taurus origin of the Creole breed. This result strongly sug- gests that Creole cattle have acquired their taurine fea- tures not only from European Bos taurus but also from African Bos taurus . For the gamma S crystallin gene polymorphism, it is found (figure 7) that the allele represented by the 128 bp fragment is monomorphic at 100 % in the Creole popula- tion. The most similar frequency of this allele is encounte- red in the African N’Dama (85 %). This result confirms the previous hypothesis obtained with MHC-BoLA typing, viz. that some of the Creole taurine features have been inheri- ted from an N’Dama ancestor. The two dendrograms obtained by the calculations of genetic distance indicate clearly (figure 8) the intermedia- te position of the Creole, breed of Guadeloupe between the N’Dama Bos faurus breed of West Africa and two zebu breeds, the Sudan zebu of West Africa and the Brahman. In the NEI dendrogram the Creole is closer to the African taurine group and far from the European tauri- ne breeds. In the CAVALLI-SFORZA dendrogram the Creole is closer to the zebu group but the N’Dama remains the nearest taurine breed. This slight difference could be explained by the existence of a close equilibrium between Bos taurus and Bos indicus types. Regarding the historical approach, evidence have been accumulated suggesting the following *chronology of the establishment of cattle in the French West Indies. When Christopher Columbus discovered the Caribbean islands in 1492, there was no domestic livestock. i,20 0,60 F N’D CG 5 10 10 SZ BZ BM Breeds 5 5 9 Nb. Of mImals Figure 7 : G/C Bi-Allelic polymorphism of the Gamma S Crystctllin gene in different cattle breeds (seefigure 1). The allele represented by a 128 bp fragment is monomorphic ut 100 % in the Creole population and the most similnr frequency of this allele is the one of the African N’Dnma with 85 %. This indicntes once agnin the African Bos taurus N’Dnmn origin of the Creole crossbred. (Data sources : CIRAD-EMVT, ILRAD) 286 Retour au menuRetour au menu STVM-93 T Z 1 T Z KZ - BZ - CAVALLI-SFORZA Figure 8 : Dendrograms of genetic distance are obtained by using the two different mathematical matrices of NEI and CAVALLI-SFORZA in difSe- rent cattle breeds (see figure 1). It cari be seen clearly in the two dendrograms the intermediate position of the Creole breed of Guadeloupe between the N’Dama Bas taurus breed of West Africa and two zebu breeds, the West African zebu and the BI-ahman In the NEI dendrogram the Creole is closer to the African taurirle groap and far from the European taurine breeds. In the CAVALLI-SFORZA den- drogram the Creole is closer to the zebu group but the N’dama rernains the nearest taurine breed. This slight difference could be explained by the existence of a close equilibrium between Bos taurus and Bos indicus types. All during the colonization period from the XVlth to the XVlllth Century, the cattle which populated these islands were imported from Europe, mainly from Spain and Portugal, but a few from France. At the same time, African cattle were probably also imported from the Spanish, Portuguese and French colonial establishments of Africa, which were located essentially all along the Guinea Gulf Coast (map 1). These dwarf, humpless and shorthorn Bas taurus cattle have been established for 7,000 years (13) in this area infested by the tick Amblyomma variegatum. It was well adapted to the tropi- cal environment and was resistant to certain tropical diseases. In this way it is possible that these cattle could be responsible for the introduction of Amblyomma varie- gatum into the Caribbean islands, since the XVlth centu- ry. Its survival during some weeks of shipping was proba- bly possible by completing its development cycle on different hosts during the journey. Arriving in the tropical environment of the Caribbean islands, this tick was able to acclimatize. Map 1 : Map of .4frica showing the foci of origin and tirne of subse- quent spread in indigenous breeds of &rican cattle. Data are based on PAYNE (1964) and EPSTEIN (1971). The distribution area of .4fricarz Bos taurus either longhorn or shorthortl lies ail along the Guinea Gulf Coast and is included in the distribution area of the tick Amblyomma variegatum. The Spanish, Portuguese and French colonial establish- ments were mainly based in these areas between the South of Senegal and Angola. This tick could have existed in small numbers, without visible pathologie consequences on cattle, before 1828 when its introduction is presumed to have occurred with zebu cattle of Senegal. These cattle of African origin might have resisted diseases associated or with trans- mitted by Amblyomma variegatum, whereas the cattle of European origin might have disappeared progressi- vely. During the XIXth Century, African cattle were imported again : mainly zebus from Senegal to improve the pheno- typic aspects necessary for cart traction in sugar cane cultivation, and pure or crossbred N’Dama cattle from the Gambia (24). This African zebu al,so originated from an area infested with Amblyomma variegatum, and was accustomed to the environmental conditions. It was crossbred with the taurine cattle of African origin (such as the Senepol breed of the Virgin Islands which is a cross- bred population between 2 60s taurus breeds: African N’Dama of Senegal and European Red Poll). The hetero- sis effect could improve the resistance phenomenon in the areas infested by Amblyomma variegatum where the constant parasitic pressure maintained this genetic pre- disposition. 287 Retour au menuRetour au menu J.C. Maillard S.J. Kemp M. Naves C. Palin C. Demangel A. Accipe N. Maillard A. Bensaid All during the XXth Century, the African zebu type was gradually replaced by Indian zebu breeds imported since, from the French establishments of India and from Venezuela. At the present time, this crossbreeding is continuing with Brahman zebu selected in the USA. Also, different attempts at crossbreeding with European breeds for zootechnical improvements were severe failures because of disease. At present, have been studied 5 distinct polymorphie loti situated in 5 distinct chromosomes out of the 26 autoso- mal chromosomes constituting the bovine genome. It is therefore impossible to conclude with certainty on the exact phylogeny of the French West Indies cattle popu- lations. Contribution of Spanish and Portuguese cattle to the taurine features of the Creole breed needs to be assessed because these cattle are the ancestors of the Criollo Bas taurus breed widely distributed in South America and in the Spanish Caribbean islands. Origin and genetic characteristics of European breeds have been recently studied in relation to Indian and African cattle (23, 24)). These studies performed by using mole- cular techniques have revealed new molecular markers, one of them associated with the Y chromosome, allo- wing to distinguish Bas taurus from i3o.s indicus geno- types. In the light of these results, the authors plan to further investigate the genetics of the French West Indian cattle by including Spanish and Portuguese breeds in our pre- sent panel. The rationale of these studies is to define gene pools in different breeds known to be resistant or susceptible to diseases in order to preserve these gene pools in future breeding programs. The authors also think that it could be very interesting and useful to pursue their historical investigations by studies of other archives in several countries. These could be the formerly colonized countries like Trinidad, St Domingo, Cuba and Puerto Rico in the Caribbean, and the formerly colonizing countries like Spain, Portugal and France. ACKNOWLEDGMENTS This work is financially supported by the European Economie Communities (TS3-CT91-0012) and the department of Elevage et médecine vétérinaire of CIRAD. We thank Drs R. QUEVAL and G. DUVALLET (CRTA Bobo-Dioulasso, Burkina Faso), Dr. A. TEALE (ILRAD, Nairobi, Kenya), Dr. R.L SPOONER (ABRO Edinburgh, Scotland), Dr. H. LEVEZIEL (INRA, Jouy-en-Josas, France), Drs D. BRADLEY and D. MACHUGH (University of Dublin, Ireland), Dr. P. ZARAGOZA (University of Saragossa, Spain), for their cooperation in providing samples, reagents or data. 288 REFERENCES 1. ADAMS (T.E.), BRANDON (M.R.). Genetic aspects of disease resistan- ce in cattle. In : BUTLER (J.E.), Ed. The Ruminant system. New York, London, Plenum Press, 1981. P. 451.473. 2. AMORENA (B.), STONE (W.H.). Bovine lymphocyte antigens (BoLA) : a serologic, genetic and histocompatibility analysis. Tiss~e Antigens, 1982, 16(3):212-225. 3. ASHTON (G.C.), LAMPKIN (G.H.). Serum albumin and transferrin polymorphisms in East African cattle. Nature, 1965,205 : 201-209. 4. BANGHAM (A.D.), BLUMBERG (BS.), Distribution of electrophoreti- cally different haemoglobins among some cattle breeds of Europe and Africa. Nature, 1958, 181 (4622) : 1551-1552. 5. BARRE (N.), MATHERON (G.), ROGEZ (B.), ROGER (F.), MARTI- NEZ (D.), SHEIKBOUDOU (C.). La dermatophilose des bovins à Dermatophilus congolensis dans les,Antilles francaises. II. Facteurs de réceptivité liés aux animaux. Revue Elev. Méd. vét.Pays trop., 1988, 41 : 339-345. 6. BRAEND (M.). Study on the relationship between cattle breeds in Africa, Asia and Europe : Evidence obtained by studies of blood group and pattern polymorphisms. Wrld Rev. Anim. Prod., 1972,7 (1) : 9-14. 7. BRAEND (M.), EFREMOV (G.). Polymorphism of cattle serum albu- min. Nord. Vet. Med., 1965,17 : 585-588. 8. BRAEND (M.), KHANNA (N.D.). H aemoglobin and transferrin types of some West African cattle. Anim. Prod., 1968,lO (2) : 129-134. 9. CALDWELL (J.). Polymorphism of BoLA system. T&ue Antigens, 1979, 13 : 319-326. 10. CAVALLI-SFORZA (L.L.), EDWARDS (A.W.F.). Phylogenetic ana- lysis: Models and Estimation Procedures. Evol., 1967,121: 550-570. 11. Cowdriosis and dermatophilosis of livestock in the Caribbean region. Proceedings of the CARDI-CTA Seminar, held in St John, Antigua, 12-14 Nov. 1990. 12. DUMAS (R.), LHOSTE (P.), CHABEUF (N.), BLANCOU (J.). Note sur la sensibilité heréditaire des bovins à la streptothricose. Revue Élev. Méd. vét. Pays trop., 1971,24 : 349-353. 13. EPSTEIN (H.). The origin of domestic animais of Africa. New York, Africana Publishing Corp., 1971. 14. Fifth International BoLA Workshop Meeting, held in Aug. 1992. Interlaken (Suisse). Anim. Genetics, Special Issue (in press). 15. GAHNE (B.), JUNEJA (R.K.), GROLMUS (J.). Horizontal polyacryla- mide gradient gel electrophoresis for the simultaneous phenotyping of transferrin, albumin and post albumin in the blood plasma of cattle. Anim. Blood Grps. Biochem. Genet., 1977,8 : 127-137. 16. GERBAUD (0.). Les premiers véterinaires français engagés pour le service des colonies entre 1770 et 1830. Maisons-Alfort, IEMVT, 1986. (Etudes et synthèses de 1’IEMVT n”19) 17. KEMP (S.J.), SPOONER (R.L.), TEALE (A.J.). A comparative study of major histocompatibility complex antigens in East African and European cattle breeds. Anim. Genet., 1988, 19 : 17-29. 18. KEMP (S.J.), MAILLARD (J.C.), TEALE (A.J.). A polymorphism in the bovine gamma S crystallin gene revealed by allele specific amplifica- tion Accepted in Anim. Genet. ,1993. 19. KHANNA (N.D.), SINGH (H.). Serum albumin polymorphism in four Indian cattle breeds : a note. Zndian J. Anim. Sci., 1972, 42 (7) :470- 471. Retour au menuRetour au menu STVM-93 20. LASSERRE (G.). La Guadeloupe. Thèse Doctorat Faculté Lettres, Bordeaux, 1961 (3 volumes). 21. LEFORT-BUSON (M.), de VIENNE (D.). Les distances génétiques : Estimations et applications. Paris, INRA, 1985. 22. LEROY (P.), MARCHOT (P.). The resistance to dermatophilosis of Dinka cattle breed, Dinka crossbred and Boran, Friesian, Jersey, Sahiwal crossbreds. Ann. Rech. vet., 1987,lS : 107-109. 23. LOFTUS (R.), MacHUGH (D.), BRADLEY (D.), SHARP (P.), CUN- NINGHAM (P.). Mitochondrial genetic distances among European, African and Indian cattle. In : UILENBERG (G.), HAMERS (R.), Eds. Resistance or Tolerance of Animals to Disease and Veterinary Epidemiology and Diagnostic Methods. Proceedings of EEC contractant Workshops, Rethymno (Crete), 2-6 nov. 1992. Maisons-Alfort, CIRAD-EMVT, 1993. P. 72. 24. MacHUGH (D.), BRADLEY (D.), LOFTUS (R.), MEGHAN (C.), SHARP (P.), CUNNINGHAM (P). Molecular biogeography of West African cattle breeds. In : UILENBERG (G.), HAMERS (R.), Eds. Resistance or Tolerance of Animais to Disease and Veterinary Euidemiologv and Diagnostic Methods. Proceedings of EEC contractant Workshops,%ethymno-(Crete), 2-6 nov, 1992. M&ons-Alfort, CIRAD- EMVT, 1993. P. 17. 25. MAILLARD (JC.), KEMP (S.J.), LEVEZIEL (H.), TEALE (A.J.), QUEVAL (R.). Le complexe majeur d’histocompatibilité de bovins ouest-africains. Typages d’antigenes lymphocytaires (BoLA) de taurins Baoulé (Bas tanrus) et de, zébus soudaniens (Bas indicus) du Burkina Faso (Af. Occid.). Revue Elev. Méd. vét. Pays trop., 1989, 42 (2) : 275. 281. 26. MAILLARD (J.C.), PALIN (C.), TRAP (I.), BENSAID (A.). An attempt to identify genetic markers of resistance or susceptibility to derma- tophilosis in the zebu Brahman population of Martinique. Revue Elev. M&l. véf. Pays trop., 1993,46 (l-2) : 291-295. 27. MAULE (J.P.) The Cattle of the Tropics. Univ. of Edinburgh, CTVM. Melksham, Wilts, Eds Redwood Press Ltd, 1990. 225 p, 28. NE1 (M.). Genetic distance between populations, An?. Nnturnlisr, 1972, 106:283-292. 29. OPPONG (E.N.W.). Epizootiology of dermatophilosis infection in catt- le in the Accra plains of Ghana. In : LLYOD (D.H.), SELLERS (K.C). Eds. Dermatophilus Infection in Animals and Man. London. Academic Press. 1976. P. 17-32. 30. OSTERHOF (D.R.). Haemoglobin types in African cattle. .Z. Stll. Afi-. Vet. A~S., 1975,46 (2) : 185-189. 3 1. PETIT (J.P.). Haemoglobin polymorphism studies in West African tr) - panotolerant taurine breeds. Zn : ISAG Meeting, Dublin. Ireland, 12-l 7 Juil. 1976. 32. PHILLIPS (R.W.). World distribution of the major types of cattle. J. Hered, 1961, 52 : 207-213. 33. QUEVAL (R.). Genetic markers of West ‘African cattle breeds. Zrz : Proceedings of a Workshop on Trypanotolerance and Animal Production; held 10-14 May 1982, Avetonou, Togo. Eschborn, GTZ, 1982. P. 207- 216. 34. QUEVAL (R.). Polymorphisme de la transferrine chez les bovins trypa- nosensibles et trypanorésistants de l’Afrique de l’Ouest. Répartition et fré-~ quence de leurs allèles. Revrrr Élev. Méd. vét. Pays trop., 1982, 35 (4) : 373.380. 35. QUEVAL (R.), PETIT (J.P.). Polymorphisme biochimique de l’hémo- globine de populations bovines trypanosensibles,et trypanotolérantes et de leurs croisements dans l’Ouest africain. Revue Elev. Méd. vét. Pqs frop., 1982, 35.(2) : 137.146. 36. QUEVAL (R.), BAMBARA (L.). Polymorphisme de l’albumine dans la race Baoulé et une population de zébus de type soudanien. Revue Elev. ,!4&/. vét. Pays trop., 1984, 37 (N” spécial) : 288-296. 37. SPOONER (R.L.). Genetics of resistance to disease in domestic animals. In : UILENBERG (G.), HAMERS (R.), Eds. Resistance or’ Tolerance of Animals to Disease and Veterinary Epidemiology and Diagnostic Methods. Proceedings of EEC contractant Workshops, Rethymno (Crete), 2-6 nov. 1992. Maisons-Alfort, CIRAD-EMVT, 1993. P.I.5. 38. SPOONER (R.L.), OLIVIER (R.A.). Albumin polymorphism in British cattle. Anim. Prod., 1969,ll : 59-63. 39. SPOONER (R.L.), LEVEZIEL (H.), GROSCLAUDE (F.), OLIVIER (R.A.), VAIMAN (M.). Evidence for a possible major histocompatibility complex (BoLA) in cattle. .Z. Zmmunogen., 1978, 5 :335-346. 40. STEAR (M.J.), BROWN (SC.), DIMMOCK (C.K.). DUFTY (J.H.), HETZEL (D.J.S.), MACKIE (J.T.), NICHOLAS (F.W.), TIERNEY (T.J.), WETHERALL (J.D.). Breed differences in the’frequency of bovine lym phocyte antigens. Exp. C/irt. In?ntunoger?et.,l987. 4 : 27-36. 41. TAILLEMITE (E.). Inventaire de la correspondance à l’arrivée des gou- vernements de Martinique. Paris, SEVPEN, Séries C8A, 197 1. 42. TEALE (A.J.), KEMP (S.J). BoLA typing applications in the Gambia. 111 : Abstracts of African Trypanotolerant Livestock Network Meeting, Nairobi, Kenya, 1987. 43. UILENBERG (G.), BARRÉ (N.), CAMUS (E.), BURRIDGE (M.J.), GARRIS (GI.). Heartwater in the Caribbean. In : RIEMANN (H.P.), BURRIDGE (M.J.), Eds. Impact of livestock diseases on livestock pro- duction in the tropics. Amsterdam. Elsevier Sciences Publishers, 1984. P. 255-268. -14. WAKELIN (D.). Genetic control of susceptibility and resistance to parasitic infection. :lrh.. Pnr-crsitol. 1978. 16 : 2 19-308. 289 Retour au menuRetour au menu J.C. Maillard S.J. Kemp M. Naves C. Palin C. Demangel A. Accipe N. Maillard A. Bensaid MAILLARD (J.C.), KEMP (S.J.), NAVES (M.), PALIN (C.), DEMANGEL (C.), ACCIPE (A.), MAILLARD (N.), BENSAID (A.). An attempt to correlate cattle breed origins and diseases associated with or trans,mitted by the tick Amblyommn varie@um in French West Indies. Revue Elev. Méd. vét. Puys trop., 1993,46 (l-2) : 283-290 By using biological data and historical research, we have tried to explain the difference hetween resistance and susceptibility to the diseases transmitted (cowdriosis) or associated (dermatophilosis) with the tick Amblyomma variegatum, in two cattle breeds of the French West Indies: the Creole crossbred cattle of Guadeloupe and the Brahman zebu cattle of Martinique. Have been studied the polymor- phisms of 5 independent genetic systems (erythrocytic haemoglobin, serum albumin and transferrin, the class 1 region of the BoLA com- plex and the gamma S crystallin gene) in different breeds comprising Bas taurus cattle of Europe and Africa, Bos indicus of West and East Africa, as well as the Brahman of Martinique and the Creole cross- bred of Guadeloupe. By comparing the different allele frequencies of these 5 non related polymorphie loti and by using the two different mathematical matrices of NE1 and of CAVALLI-SFORZA, have been estahlished the genetic distances hetween these breeds. It appears clearly that the Creole cattle of Guadeloupe are in an intermediate position between the Bos taurus N’Dama breed of West Africa and two Bos indicus zebu breeds, namely the West African Sudan zebu and the Brahman. Thanks to studies of different archives in the Caribbean and in Europe, historical evidence have been accumulated on the geographical origins and on the chronology of the establish- ment of Creole and Brahman cattle in the French West Indies. The high resistance of the Creole cattle of Guadeloupe to diseases associa- ted with or transmitted by the “Senegalese” tick Amblyomma variega- tum seems to he due to the inheritance of a pool of genes from West African cattle and more particularly from the N’Dama hreed. Indeed, the tick AmbZyomma variegatum, endemic in all West Africa, was introduced in the Caribhean with West African cattle. Most certainly, this tick maintained a parasitic pressure, hence the innate capability of the Creole cattle to naturally control these diseases. Key words : Cattle - Creole cattle N’Dama cattle Brahman zebu cattle Sudan zebu cattle Heartwater Dermatophilosis - Tick - Amblyomma varie- gntum - Disease resistance - French West Indies - Guadeloupe - Martinique. MAILLARD (J.C.), KEMP, (S.J.), NAVES (M.), PALIN (C.), DEMANGEL (C.), ACCIPE (A.), MAILLARD (N.), BENSAID (A.). Intento de correlacion entre las razas bovinas y las enfermedades relacio-; nadas o transmitidas por,la garrapata Amblyommn vaviegatum en las Antillas francesas. Revue Eh. Méd. vét. Pays trop., 1993, 46 (l-2) : 283-’ 290 Mediante el uso de datos biologicos e historicos, se trata de explicar la; diferencia entre la resistencia y la susceptibilidad a las enfermedades transmitidas (por ejemplo la cowdriosis) o asociadas (por ejemplo la dermatofïlosis) con el acaro Amblyomma variegutum, en dos razas de ganado de las Antillas Francesas : cruce autoctono (Criollo) de Guadalupe y ganado Brahman de Martinica. Se estudiaron Los poli- morfismos de cinco sistemas genéticos independientes (hemoglobina eritrocitica, albumina sérica y transferrina, complejo de clase 1 de BoLA y gen cristalino gama S),,en diferentes razas de ganado Bas; taurus europeo y Bos indicus de Africa del Este y del Oeste, incluyen- do el cruce autoctono (Criollo) de Guadalupe y el ganado Brahman de Martinica. Las distancias genéticas de estas razas, se establecieron mediante la comparacion de las frecuencias alélicas de estos 5 Ioci polimorficos e independientes y el uso de dos matrices matematicas diferentes, de NE1 y CAVALLI-SFORZA. Parece claro que el ganado Criollo de Guadalupe se encuentra en una position intermedia entre el Bos tuurus N’Dama de Africa del Oeste y dos razas cebuinas de Bos indicus, el cebu Sudanés de Africa del Oeste y el Brahman. Gracias a 10s estudios de diferentes archives, tanto en el Caribe como en Europa, logramos acumular la evidencia historica sobre 10s origenes geograficos y cronologicos del estahlecimiento del ganado Criollo y Brahman en las Antillas Francesas. La alta resistencia del ganado Criollo de Guadalupe a las enfermedades asociadas o transmitidas por la garrapata “senegalesa” Amblyomma variegatum, parece ser debida a la carga hereditaria de un “pool” de genes de ganado de Africa del Oeste y particularmente de la raza N’Dama. De hechoi Amblyomma vuriegutum, endémica en Africa del Oeste, fue introduci- da en el Caribe junto con el ganado del oeste africano. Aparentemente, este acaro ha mantenido una presion parasitaria suficiente para la conservation de la capacidad natural del ganado Criollo para el control de este tipo de enfermedades. Palabras claves : Bovino - Bovino Criollo - Bovino N’Dama - Cebu Brahman - Cebti Sudanés - Cowdriosis - Dermatofilosis - Garrapata - Amblyomma variegntum - Resistancia a las enfermedades - Antillas fran- cesas - Guadalupe - (La) Martinica. 290 Retour au menuRetour au menu 
work_7inntoilrvaz5lc4exys4ckesu	----	19 Journal of Intercollegiate Sport, 2012, 5, 19-21 © 2012 Human Kinetics, Inc. Michael Oriard on NCAA Academic Reform: Academics Over Dollars Kenneth L. Shropshire University of Pennsylvania The purpose of this paper is to provide a response to Michael Oriard’s keynote address. The paper highlights the link between monies generated through intercol- legiate athletics and calls for academic reforms. There is also need for examination of how increased participant diversity coincided and influenced these dynamics—a connection frequently overlooked. Professor Oriard’s (2012) presentation provides us all with a reminder of the priori- ties in collegiate sports absent from the conversations delivered most recently by American public intellectuals: academics over dollars. He also makes clear that the most prominent recent pieces by Taylor Branch in The Atlantic (2011) and Joe Nocera in the New York Times Magazine (2011) represent the works of a modern- day Christopher Columbus; they were not the first to find the issues, but they have certainly garnered them broader attention. The academic-reform and compensation issues were with us even before the Knight Commission of the past few decades or even the Carnegie Commission in 1929 (Savage, 1929). Oriard’s paper (2012) provides an impressive time line of the history of the National Collegiate Athletic Association (NCAA) and the academic-reform issue. He takes us back to the Teddy Roosevelt trope with college presidents convening to address the sports safety issue of the day—not steroids, but deaths due to the violent nature of the game. He further takes us back to historic crew events featur- ing compensation and “tramp” athletes. What Oriard leaves out is the proximity in time to the creation of the modern Olympiad by Baron Pierre de Coubertin.1 I have always wondered if there was any connection between the two events. Were there any conversations between the originators? What is clear, intended or not, is that the Olympics and the NCAA begin in the same era, and they both evolve as huge enterprises in which labor participates without being compensated in a traditional manner. Labor participates for free because of a mythically created concept of amateurism. Why is amateurism seemingly the fulcrum of all reform issues? How did we get into this mess? It is an understanding of that foundational amateurism background that allows us to move to the real issues Oriard (2012) is focusing us upon and away from the popular focus of the day: money. I advise those interested in the most Shropshire is with the Wharton School, University of Pennsylvania, Philadelphia, PA. 20 Shropshire in-depth analysis to read David C. Young’s The Ancient Myth of Greek Amateur Athletics (1985). He clearly conveys amateurism is both a word and a concept that did not even exist for the ancient Greeks. He points us squarely to Victorian Eng- land and then later to the modern Olympiad, which bumps up against the creation of organized collegiate sports in the United States. The short answer is there is no glamorous history of amateurism. There is certainly, for many, a philosophical basis for the current professional/amateur dichotomy, but looking back, we should also at least contemplate the economic foundations of amateurism: a sporting event or any activity with free labor is likely to be more profitable for the organizers than one for which the labor is paid. But I contend, and as Oriard highlights, this money issue is much less important for society than the issues related to the quality of education received by student athletes. Oriard notes that when we think about academic reform, we are thinking pri- marily about basketball and football. I agree, and I also similarly think, that blended with that thought process, we must reflect on race and other diversity issues. Oriard (2012) alludes, but does not state explicitly, that college sport was predominantly conceived for able-bodied White men. What would we learn from a fully integrated historical discussion of the path of reform incorporating people of color, persons with disabilities, and women? I am not sure. But if we do not take that approach at every juncture when we review reform issues, we risk running afoul of that adage regarding repeating history. Is there a diversity trail one should follow when con- templating academic reform issues? Do we unconsciously insert any biases into our thinking due to the composition of student athletes in a given era? Oriard (2012) does examine to an extent the racial implications in the later years. Deeper exploration should definitely take place regarding the impact of increased diversity on academic performance. I suggest this, not so much so that we can find a culprit on which to place the blame for academic decline, but rather I do so more to examine society’s poor record of education in these communities and contemplate the sad state of educational inequity simply becomes incorporated into the frame of college sport, where such diversity has not always existed. The other issue that I find curious—related to money again—is that the increased revenues in sport have come with increased diversity. There is no real reason to find that one has driven the other. But what is curious is the focus on money in public discourse over academic performance. This relates squarely to my previ- ous point. Is there a diversity connection that we should contemplate more deeply? There have certainly been times when the academic side dominated. As Oriard (2012) highlights, discussions of initial eligibility rules were almost full focused on the academic side, with money rarely raised in the debates of past decades. The challenge, as Oriard (2012) raises, is finding the academic reform “fix.” Even amongst those who agree that there is a need to reform collegiate sports so a better academic deliverable is produced, there is no agreement on how to accomplish this end. Unfortunately, and not surprisingly, neither his paper nor my response provides us with the definitive answer. As in the past, money is a distraction. It is a sexier topic. If granted Oriard’s (2012) “system restore” on this academic performance issue, what would we do differently? The Atlantic and the New York Times Maga- zine are barometers of how the most important issue is not the most focused upon issue. Branch (2011) gives us the free-market solution. Nocera (2011) suggests Academics over Dollars 21 a pay scale. I have mentioned before that the problem has gotten so large, one big solution is not going to be feasible. The White Man’s Burden (Easterly, 2007) focused on solving global issues related to poverty; the argument of finding the multiple successful approaches that are out there and supporting those is the way to go. What are the various academic-support programs around the country that work? Can they be replicated? Can they be tweaked? That is the path we should take, one program at a time. The mind-exploding path of a singular solution, like ending world poverty, is not likely to be found and is, in fact, a distraction on where our resources should be focused. That single focused remedy distraction coupled with the amateurism distraction, doubly deters us from implementing academic reform strategies that work. At a minimum, academic-reform issues, in terms of academic accomplishment, must be separated from issues related to increased compensation, in whatever form. The key to me in any system restore is to restore, maintain, and support the pos- sibility of academic success by the greatest number of student athletes. Note 1. The modern Olympics returned in 1896; the NCAA, as we know it now, is formed in 1905. References Branch, T. (2011, October). The shame of college sports. The Atlantic. Retrieved from http:// www.theatlantic.com/magazine/archive/2011/10/the-shame-of-college-sports/8643/ Easterly, W. (2007). The White man’s burden: Why the West’s efforts to aid the rest have done so much ill and so little good. New York: Penguin. Nocera, J. (2011, December 30). Let’s start paying college athletes. New York Times Maga- zine. Retrieved from http://www.nytimes.com/2012/01/01/magazine/lets-start-paying- collegeathletes.html?pagewanted=all Oriard, M. (2012). NCAA academic reform: History, context, and challenges. Journal of Intercollegiate Sport, 5, 4-18. Savage, H. J. (1929). American college athletics. New York: Carnegie Foundation for the Advancement of Teaching. Young, D. C. (1985). The Olympic myth of Greek amateur athletics. Chicago: Ares. 1. 
work_7qgontc4pfev3g72otjnh7lz2i	----	Cyberspace 2 This is a preprint of an article whose final and definitive form has been published in Critical Studies in Media Communication Vol. 26, No. 2, June 2009, pp. 104-127. CSMC is available online at http://journalsonline.tandf.co.uk/ Terra Nova 2.0—The New World of MMORPGs David J. Gunkel & Ann Hetzel Gunkel The dominant metaphor used to describe and situate MMORPGs, or massively multiplayer online role playing games (e.g. Ultima Online, EverQuest, World of Warcraft, Second Life, etc.), has been "new world" and "new frontier." By deploying this powerful imagery, game developers, players, the popular media, and academic researchers draw explicit connections between the technology of MMORPGs and the European encounter with the Americas and the western expansion of the United States. Although providing a compelling and often recognizable explanation of the innovations and opportunities of this new technology, the use of this terminology comes with a considerable price, one that had been demonstrated and examined by scholars of the Internet, cyberspace, and virtual reality over a decade ago. This essay explores the impact and significance of the terms "new world" and "frontier" as they have been deployed to explain and describe MMORPGs. Keywords: Computer Games, Ethics, Information Technology, Cultural Studies, New Media MMORPG is not only difficult to pronounce but identifies a technology that is perhaps even more difficult to define. And expanding the acronym, massively multiplayer online role playing game, does not necessarily provide much help. Although these things are routinely called "games," research has demonstrated that they are much more than fun and games. As Edward Castronova (2001) pointed out in his seminal paper "Virtual Worlds: A First-Hand Account of Market and Society on the Cyberian Frontier," a MMORPG, like Sony Online Entertainment's David J. Gunkel is Presidential Teaching Professor of Communication at Northern Illinois University. He is the author of Hacking Cyberspace (Westview, 2001) and Thinking Otherwise: Philosophy, Communication, Technology (Purdue University Press, 2007). Ann Hetzel Gunkel is Director of Cultural Studies at Columbia College Chicago. As Associate Professor of Cultural Studies & Humanities at Columbia, she teaches and publishes in Ethnic Studies, Media Criticism, Feminism, Postmodernism, and Popular Cultural Studies. Correspondence to: David J. Gunkel, Northern Illinois University, DeKalb, IL 60115, USA. Email: dgunkel@niu.edu 1 EverQuest, constitutes a "new world" or "frontier" that is, at least in terms of its social structure and economy, a very real and viable alternative to the terrestrial world we currently inhabit. This conceptualization of the MMORPG as a kind of terra nova, is not something that is unique to Castronova's essay; it is evident in much of the current popular, scholarly, and technical literature on the subject. It appears, for example, in the work of Wagner James Au (2007), the official embedded journalist of Linden Lab's Second Life. Au, who reports on in- world events and activities, publishes his stories on a blog he calls New World Notes, many of which have been collected in the book, The Making of Second Life: Notes from the New World (2008). Likewise the terms "new world" and "frontier" have been employed by "real world" journalists in articles covering MMORPGs, like the Guardian's "Braving a new 'world'" (Pauli, 2006), IT Times's "Is Second Life a brave new world?" (Tebbutt, 2007), The Stanford Daily's "A whole new 'World'" (Ford, 2004), Frankfurter Allgemeine's "World of Warcraft: Die Neue Welt" (Rosenfelder, 2007), and Mother Jones's "Even Better Than the Real Thing: Sweatshop Gamers, Virtual Terrorists, Avatar Porn, and Other Tales from the Digital Frontier" (Gilson, 2007). They are also evident in recent scholarly literature with T. L. Taylor's (2006) Play Between Worlds: Exploring Online Game Culture, the first chapter of which is titled "Finding New Worlds," Cory Ondrejka's (2006) "Finding Common Ground in New Worlds," and Rich Vogel's (2007) "Utlima Online—The Last Great Frontier." The terms are also frequently employed in MMORPG titles, e.g. Atlantis III: Le Nouveau Monde and Frontier 1895, and in entries and comments posted on gaming blogs, e.g. Greg Lastowka's (2003) "New Worlds/Old World" posted on the aptly named weblog Terra Nova, Ninemoon Family's (2007) "Granado Espada: Dispatches from the New World," and Duckling Kwak's (2007) comment on the Second Life blog, "SL is a new frontier; by definition, we are all pioneers." We could go on. If all of this sounds vaguely familiar, there is a good reason for it. It turns out the same discursive maneuvers accompanied the introduction of cyberspace and first generation network applications—chat rooms, LISTSERV, MUDs/MOOs, USENET, BBS, email, and the World Wide Web. As David Gunkel (2001) describes it: immediately after its introduction in 1984, cyberspace was proclaimed the "electronic frontier" and a "new world." Terminology like this currently saturates the technical, theoretical, and popular understandings of cyberspace. From the "console cowboys" of Gibson's Neuromancer to the exciting "new worlds" announced by John Walker of AutoDesk and from the pioneering work of Ivan Sutherland and Tom Furness to John Perry Barlow and Mitch Kapor's Electronic Frontier Foundation, the spirit of frontierism has infused the rhetoric and logic of cyberspace. (p. 14) 2 The examination and critique of this "new world rhetoric" was initiated over a decade ago with Chris Chesher's "Colonizing Virtual Reality" (1993), Mary Fuller and Henry Jenkins's "Nintendo® and New World Travel Writing: A Dialogue" (1995), Ziauddin Sardar's "alt.civilization.faq: Cyberspace as the Darker Side of the West" (1996), and our own "Virtual Geographies: The New Worlds of Cyberspace" (Gunkel and Gunkel, 1997). These publications tracked, investigated, and critiqued the seemingly innocent circulation of this discursive material, demonstrating that the deployment of phrases like "new world" and "electronic frontier" come with a considerable price, one that has potentially devastating consequences. Now this terminology returns and, judging from its popularity, seems to be deployed with little hesitation or even acknowledgement of the critical investigations that were introduced over a decade ago. So what if anything has changed? Or is there something about this particular technology that makes it different this time around, that allows us to redeploy the rhetoric and logic of terra nova without its attendant problems and complications? The following investigates these questions and is divided into three sections. The first considers the terms "new world" and "frontier" as they have been employed to explain and describe MMORPGs and their significance. The second critiques the use of this terminology by investigating three related aspects—the forgetting of history that is part and parcel of both technological innovation and new world adventures, the ethnocentrism implicated in and perpetrated by new world exploration and frontier settlement, and the unfortunate consequences these particular actions have for others. The third and final section examines the effect this critique has on our understanding of the MMORPG and its current and future research. New World Redux The term "new world" refers to and designates the European encounter with the continents of North and South America, which began with Christopher Columbus's initial Caribbean landfall in 1492. Although the exact origin of the phrase is still disputed by historians, it is widely recognized that it was initially popularized in Europe by way of a 1502/03 document attributed to Amerigo Vespucci and titled Mundus Novus (Luzzana, 1992; Zamora, 1993). Ten years later, the Latin form, Terra Nova, appeared as the official title applied to the Americas on Martin Waldseemüller's influential 1513 world map, Carta marina (Johnson, 2006). In the European imagination, this "new world" was understood as an alternative to the "old world." It was situated on the other side of the globe, populated with unfamiliar fauna and flora, and inhabited by other, unknown peoples. As Kirkpatrick Sale (2006) points out, "whatever Europe understood 3 the New World to be—and it was many things, not all clearly assimilated yet—it was a new world, another half of the globe not known before, plainly different from Europe and even the Orient, rich and large and mysterious, a place of new peoples, new vistas, new treasures, new species" (p. 234). "New world," then, names not only a specific geographical location but, perhaps more importantly, designates a powerful and seductive idea, that of a different and uncharted territory open to and available for European exploration, exploitation, and eventual settlement. "Frontier" has a similar lineage. Instead of naming the European encounter with the Atlantic coast of the Americas, however, it identified the western movement of white European settlers across the North American continent. Although the word had been used at the time of this migration to identify the receding boundary of the American West, the idea of the frontier was largely a retroactive construct. "The frontier was," as Ziauddin Sardar (1996) reminds us, "an invented concept which recapitulated an experience that had already past" (p. 18). In fact, the concept of the American "frontier," which is attributed to the historian Frederick Jackson Turner, was introduced and theorized only after the announcement of its closure by the US Census Bureau in 1890. Turner formulated what came to be known as the "frontier hypothesis" (Billington, 1965) in a paper that was read at the ninth annual meeting of the American Historical Association, which was convened in Chicago at the same time as the World Columbian Exhibition's celebration of the 400th anniversary of Columbus's discovery of the New World. "Up to our own day," Turner (1894) writes, "American history has been in a large degree the history of the colonization of the Great West. The existence of an area of free land, its continuous recession, and the advance of American settlement westward, explain American development" (p. 199). Conceptualized in this way, the frontier was not just an arbitrary boundary situated some where west of the Mississippi river; it designated a particular understanding of American history, one which, according to Turner, was directly influenced and informed by the Columbian voyages. "Since the days when the fleet of Columbus sailed into the waters of the New World, America has been another name for opportunity, and the people of the United States have taken their tone from the incessant expansion which has not only been open but has even been forced upon them" (p. 227). According to Turner's hypothesis, then, the frontier was understood as more than a geophysical boundary. It constituted something of a national ideology, one which not only narrated the growth and development of the young nation as it expanded westward but explained the formation of a distinct national character—what some have called the "pioneering spirit." 4 Because the terms "new world" and "frontier" were already more than mere geophysical markers, they were easily applied beyond their original context and scope. As Ray Allen Billington (1965) points out in his reconsideration of Turner's hypothesis, "modern technology has created a whole host of new 'frontiers'" (p. 41). In 1901, for example, Charles Horton Cooley, the progenitor of the sociology of communication, employed the term "new world" to explain the social effects of telecommunications technology. "We understand," Cooley (1962) writes, "nothing rightly unless we perceive the manner in which the revolution in communication has made a new world for us" (p. 65). Echoes of this "new world metaphor," as Gunkel (2001) and Fuller and Jenkins (1995) call it, can also be detected in the early writings addressing cyberspace and the Internet. Cyber-enthusiasts like John Perry Barlow (1990 and 1994) and Timothy Leary (1999), for instance, often mobilized the figure of Columbus and his discovery of the new world as a way to characterize the impact and importance of information and communication technology (ICT). And this "impact" is, at this early stage, characterized as overwhelmingly positive and full of wild optimism. As Nicole Stenger (1992) describes it, "cyberspace, though born of a war technology, opens up a space for collective restoration, and for peace. As screens are dissolving, our future can only take on a luminous dimension! Welcome to the New World" (p. 58). "Frontier" is employed in a similar fashion. In 1996, for example, the conservative think tank The Progress and Freedom Foundation published a white paper that drew explicit connections between the Columbian voyages, the expansion of the American frontier, and the new opportunities introduced by ICTs: "The bioelectric frontier is an appropriate metaphor for what is happening in cyberspace, calling to mind as it does the spirit of invention and discovery that led ancient mariners to explore the world, generations of pioneers to tame the American continent, and, more recently, to man's first explorations of outer space" (Dyson, et al., p. 297). Similar comparisons can be found in both the name and rhetoric of the Electronic Frontier Foundation, which was founded by Mitch Kapor and John Perry Barlow in 1990 to protect the rights of the new cyber-pioneers and homesteaders, Howard Rheingold's The Virtual Community: Homesteading on the Electronic Frontier (1993), and Jeffrey Cooper's "The CyberFrontier and America at the Turn of the 21st Century: Reopening Frederick Jackson Turner's Frontier" (2000). As its title indicates, Cooper not only leverages Turner's "frontier hypothesis" but characterizes cyberspace as reopening the American West. Although he makes brief mention of some of the "costs that settlement imposed in degradation of environment, near- extinction of species and habitat, and displacement of the indigenous populations," Cooper, like most cyber-enthusiasts, provides a rather sanitized and sanguine image: "I suggest that this new 5 cyberfrontier is playing the same role as did 'the West' earlier in American history and, moreover, that it will engender many of the same types of impacts on the nation as a whole" (p. 4). In the discourse of ICT, however, "new world" and "frontier" have always been more than metaphors. This is especially apparent in the considerations of virtual reality technology and computer gaming. "In the rhetoric of the virtual realists," Benjamin Woolley (1992) writes, "this 'nonspace' was not simply a mathematical space nor a fictional metaphor but a new frontier, a very real one that was open to exploration and, ultimately, settlement" (p. 122). According to Woolley, the virtual environments created in the non-space of cyberspace are not to be understood as something like a new frontier; they are, quite literally, a new world—a very real space (albeit one which is entirely virtual) that is open to exploration and colonization. This particular understanding of cyberspace as an another spatial dimension is firmly rooted in William Gibson's Neuromancer (1984), the proto-cyberpunk novel that introduced the neologism, and Neil Stephenson's Snow Crash (1992), which describes something he called "Metaverse," a network accessed, immersive virtual reality environment occupied by and experienced through user controlled avatars. The concept is also evident in video and computer gaming. Although Fuller and Jenkins (1995) trace discursive connections between new world travel writing and the narrative structures of computer gaming, Ziauddin Sardar (1996) finds a more fundamental connection between the two. Many computer games, like "Super Mario Brothers," "Civilization," "Death Gate," "Merchant Colony," and "Big Red Adventure" are little more than updated versions of the great European voyages of discovery. These are not games but worlds, constructed Western Utopias, where all history can be revised and rewritten, all non-Western people forgotten, in the whirl of the spectacle. (p. 17) According to Sardar's argument, computer games not only employ the rhetoric of but actually constitute a new world, and as such provide the space for an exercise of what can only be called "colonization." A similar insight is provided by James Newman (2004), who finds "colonization" to be one of the structuring principles of game play. Typically, videogames create "worlds," "lands" or "environments" for players to explore, traverse, conquer, and even dynamically manipulate and transform in some cases. As we have noted in the discussion of the typical structuring of the videogame into levels or stages, progress through a particular game is frequently presented to the player as progress through the world of the game…videogames may be seen to offer the equivalent of de Certeau's (1984) spatial stories, with gameworlds presenting sites imbued with narrative potential and in which play is 6 at least partly an act of colonization and the enactment of transformations upon the space. (pp. 108-109) A similar lineage and development is present in the evolution of the role-playing game (RPG). It is, for example, evident in MECC's The Oregon Trail. Originally released in 1974, The Oregon Trail was an educational computer game based on and designed to teach school children about the American frontier through first-person role playing. In the game, players assumed the role of a wagon leader with the objective of successfully leading a group of pioneers into the western frontier. The idea of the frontier plays a similar role in the development of multiplayer RPGs. It is, for instance, the organizing principle of TSR's Dungeons and Dragons (D&D). Although a low-tech, tabletop game published in the same year as The Oregon Trail, D&D introduced the basic concepts and structures that inform the text-based, multiplayer online virtual worlds of MUDs/MOOs and their graphical progeny, the MMORPG. According to Gary Gygax, the inventor of the game, D&D plays the role of frontier. Our modern world has few, if any, frontiers. We can no longer escape to the frontier of the West, explore the Darkest Africa, sail to the South Seas. Even Alaska and the Amazon Jungles will soon be lost as wild frontier areas…It is therefore scarcely surprising that a game which directly involves participants in a make-believe world of just such a nature should prove popular. (Gygax, 1979, p. 29; quoted in Fine, 1983, p. 55) Gygax, like Turner (1894), perceived the closing of the geophysical frontier and, like Cooper (2000), situates the RPG as a new frontier—a new world that is open for exploration and adventure. The MMORPG, which is designed and understood as the most recent iteration of RPG technology (Castronova, 2005, p. 9; Lastowka and Hunter, 2006; Taylor, 2006, p. 21), capitalizes on and deploys all these elements. First, MMORPGs are characterized and defined as "new worlds" and "frontiers." This is apparent not only in the marketing literature of games and their coverage in the popular media but also in critical assessments provided by scholars and researchers. As R. V. Kelly (2004) reports: this isn't a game at all, I realized. It's a vast, separate universe with its own rules, constraints, culture, ethos, ethics, economy, politics, and inhabitants. People explore here. They converse. They transact business, form bonds of friendship, swear vows of vengeance, escape from dire circumstances, joke, fight to overcome adversity, and learn here. (p. 9) 7 For Kelly, MMORPGs are not merely an entertaining past-time. They constitute an independent and fully realized world, one which not only offers escape from the restrictions of the "old world" but provides for new and improved opportunities. Engaging with the world of a MMORPG, therefore, is similar to, if not the same as, embarking on a voyage to the New World or the American frontier. "It's the equivalent," Kelly (2004) writes, "of getting on the boat to come to America or piling into the Conestoga wagon to head out west" (p. 63). In this new world, one not only escapes the limitations and trappings of the old world but can begin a new life. The game, like the new world of the Americas and the frontier of the American West, "offers a chance to completely redefine and reinvent yourself" (Kelly, 2004, p. 63). A similar characterization is supplied by Castronova (2005), for whom MMORPGs constitute "synthetic worlds" (p. 4), "an alternative Earth" (p. 6), a "new world" (p. 9), or a "frontier" (p. 8). In fact, it is the latter term that, according to Castronova's (2005) judgment, provides "the simplest answer to the question of what synthetic worlds really are" (p. 8). For Castronova, then, MMORPGs are not analogous or comparable to the frontier; they are quite literally a new territory. This particular formulation is emphasized in a footnote concerning Second Life. "The synthetic world of Second Life," Castronova (2005) writes, "sells server resources to those who want them, and nobody bats an eye when they call it 'land,' for that is what it is. Land. Space. Lebensraum. The New World. Terra Nova" (p. 306). The use of the word "land" by Linden Lab is, on Castronova's account, an entirely appropriate characterization and not simply a clever image or metaphor. This is because Second Life, like other MMORPGs, constitutes another world, a very real world with very real social and economic opportunities for individuals and communities.1 This terra nova, however, is not located somewhere across the Atlantic or on the other side of the Mississippi; it is situated in a computer-generated environment accessed over the Internet. And as with the New World of the Americas and the western frontier of the United States, people have begun migrating to this new land, settling on the frontier, and colonizing this vast, new territory. "Statistics reported in this book," Castronova (2005) writes: will suggest that many people are diving into the new worlds right now, with enthusiasm. Evidently, they find the physical environments crafted by computer game designers much more attractive than Earth. Accordingly, these travelers or colonists have come to maintain a large fraction of their social, economic, and political lives there. (p. 9) 8 Second, understood in this way, MMORPGs participate in the ideology and rhetoric of the European "age of discovery" and American expansionism. This includes, among other things, concepts of individual freedom and egalitarianism that inevitably pull in the direction of utopianism. New worlds, no matter their location or configuration, have always been situated as an alternative to and an improvement over the old world. "During the Renaissance," Carlos Fuentes (1999) writes, "the discovery of America meant, as we have seen, that Europe had found a place for Utopia. Again and again, when the explorers set foot in the new world, they believed that they had regained paradise" (p. 195). And the virtual environments created by various forms of ICT turn out to be the perfect place for relocating and recoding this utopian fantasy. "You might think," Kevin Robins (1995) explains, "of cyberspace as a utopian vision for postmodern times. Utopia is nowhere (outopia) and, at the same time, it is also somewhere good (eutopia). Cyberspace is projected as the same kind of 'nowhere-somewhere'" (p. 135). Despite the fact that both Gibson's and Stephenson's cyberpunk science fiction present distinctly dystopian visions, the first generation of writings on and about cyberspace were unapologetically idealistic and utopian (Sardar, 1996; Gunkel and Gunkel, 1997). This utopian strain, as Gunkel (2001) has pointed out, is not something that is limited to recent innovations in ICT but is part and parcel of virtually every innovation in communication technology (p. 43). Electric telegraphy, for example, was powered by an ideology that deployed the rhetoric of and made explicit connections to Christian eschatology (Carey, 1989, p. 17). Radio had been, at least during the first decades of its dissemination, promoted as a kind of deus ex machina that would repair the deep wounds of industrialized modernity (Spinelli, 1996). Television, as Marshall McLuhan (1995) famously argued, abolished the physical limitations of terrestrial distance, reducing the effective size of the planet to a "global village" (p. 5). And the Internet, as Julian Dibbell (2006) describes it, was supposed to have created a "commerical utopia"—"a realm of atomless digital products traded in frictionless digital environments for paperless digital cash" (p. 23). The new worlds of MMORPGs are no exception—utopian ideas and rhetoric saturate the contemporary discussions, marketing campaigns, and debates. Second Life, for example, is routinely described in terms that evoke such optimism. "Our goal with Second Life," Philip Rosedale, the founder and CEO of Linden Lab, has stated, "is to make it better than real life in a lot of ways" (CBS News, 2006). Even in those circumstances where the assessment is more measured, utopianism is still the operative category. Grey Drane (2007), for instance, is not ready to call Second Life utopia, but he still finds it involved with utopian ideas. "OK, I'm not suggesting that utopia can be achieved in Second Life, but it might be the kind of environment in which you could play around with what the word 'utopia' might actually mean" (p. 1). 9 This utopianism, however, is not something that is limited to the world of Second Life or the popular hype that currently surrounds it. The same is true with other games and their critical assessment. Kelly (2004), for instance, argues that MMORPGs offer alterative worlds that are not just different from but "better than the real world" (p. 9). And in justifying this statement, he mobilizes a frontier mythology that is distinctly American. "A MMORPG, after all, is a completely separate and egalitarian world where energy and resolve determine your fate and where appearance, age, connections, and socioeconomic advantage are all meaningless. In a MMORPG it doesn't matter how young and pretty you are, how svelte you are, what color your skin is, how much money you were born into, how well you did on your SATs, or who you know. The only thing standing between you and success is you" (p. 63). For Kelly, the MMORPG fulfills all the promises of the techno-libertarian idea of utopia—a new world where the limitations of old world traditions and institutions do not matter, and a man (because the rhetoric of this ideology is always masculine) can determine his own life, his own opportunities, and his own success. A similar argument is supplied by Castronova. In his initial paper on the subject of MMORPGs, Castronova (2001) explains the growing popularity of these virtual worlds (VWs) by mobilizing the same mythos: "Unlike Earth, in VWs there is real equality of opportunity, as everybody is born penniless and with the same minimal effectiveness. In a VW, people choose their own abilities, gender, and skin tone instead of having them imposed by accidents of birth. Those who cannot run on Earth can run in a VW. On Earth, reputation sticks to a person; in VWs, an avatar with a bad reputation can be replaced by one who is clean" (p. 15). According to Castronova, the virtual world of a MMORPG provides users with an equal opportunity world, where they are effectively liberated from the inherent baggage of and unfortunate restrictions imposed by terrestrial existence. This is again a reason to be optimistic. "Looking beyond these simple joys of immersive, interactive entertainment, however, it should be stressed that synthetic worlds may eventually make contributions to human well-being that will be judged as extraordinarily significant" (Castronova, 2005, p. 25). In the final analysis, Castronova (2005) goes so far as to risk venturing the "outrageous claim" that "synthetic worlds may save humanity" (p. 278). And if they do not actually achieve what we currently understand by "utopia," they do at least provide the best chance to explore and examine its possibilities. "It may well be the case," Castronova (2005) writes: that no one spends time in worlds constructed as they 'ought' to be; if we build Utopia and no one comes, we need to get serious about revising our notions of Utopia. The point here is that Utopian concepts need to be part of our strategy in making use of this technology. Let's build places that we truly believe are the 10 best possible places to be. The very act of building them is a discussion about the future of humankind. (p. 262) Third, because MMORPGs are understood as new worlds, researchers situate themselves in the position of explorers and their accounts often read like a travel journal, a frontier chronicle, or Columbus's Diario—those writings that Fuller and Jenkins (1995) call "new world travel writing." Frank Schaap (2002), for instance, describes his ethnographic investigation of MUDs and MOOs in terms that evoke new world travels: "The journey is not just about getting to know a strange land and understanding the Other and his culture, it is also, and maybe more importantly, a way to better understand the Self, one's own country and culture" (p. 1). Like Columbus and several generations of European explorers to the new world, Schaap characterizes his research as a voyage to another world, where he confronts the Other and returns home with a new understanding of self and country.2 A similar approach is evident in Kelly's Massively Multiplayer Online Role Playing Games. Kelly (2004) begins his examination with a first- person account of his own adventures in the new world of a MMORPG, and, like many new world adventure tales, he narrates how he is lost and on the verge of death, if not already dead. "Somewhere in the middle of the virtual forest my corpse is rotting away. Its flesh will decay overnight if I don't discover its final resting place, and I'll lose the trinkets that are stored on the cadaver—serious trinkets, important trinkets" (p. 1). And Castronova does something similar. In the "Virtual Worlds" article from 2001, he not only includes entries from his journal but explicitly identifies his own research efforts with that of a new world explorer. In the past, the discovery of new worlds has often been an epochal event for both the new world and the old. The new world typically has a herald, a hapless explorer who has gotten lost and has wandered aimlessly about in strange territory, but has had the wit and good fortune to write down what he has seen, his impressions of the people, and the exciting dangers he has faced, for an audience far away. In similar fashion, I stumbled haplessly into Norrath in April 2001, and then spent four months wandering around there. It took me about six weeks to get my bearings. I began recording data in May. And I assure you, I faced many dangers, and died many, many times, in order to gather impressions and bring them back for you (p. 4). In providing this reflection, Castronova explicitly characterizes his own research efforts in terms that evoke the heroic adventures of the "great" European explorers—Christopher Columbus, Amerigo Vespucci, Walter Raleigh, etc. MMORPGs, like EverQuest, are new, new worlds and, because of this, the researcher plays the role of the hapless explorer who ventures into the 11 unknown, faces unprecedented dangers, and returns home with fantastic tales of exotic peoples, strange lands, and exciting opportunities. The Darker Side of the West Characterizing MMORPGs as a new world or frontier seems innocent enough. In fact, these terms are not without a certain amount of discursive utility, as is immediately evident from their seemingly unrestrained proliferation in the popular press, technical literature, marketing campaigns, scholarly investigations, blogs, etc. By describing MMORPGs in this fashion, one connects this "practical virtual reality" technology, as Castronova (2005, p. 3) calls it, to the history and legacy of European exploration and the westward expansion of the United States, two epoch-defining events that are noteworthy for their socio-political innovations, economic opportunities, and celebrated adventures. At the same time, however, neither term is without considerable controversy and criticism. Although the concept of the "new world" remained relatively unchallenged for several centuries, it gets submitted to significant re-evaluation in the later-half of the twentieth century. As the quincentennial of Columbus's first American landfall approached, scholars and educators, especially in the Americas, engaged in a wholesale reassessment of the Columbian legacy (Brandon, 1986; Fuentes, 1999; Pagden, 1993; Zamora, 1993). The most polemic of these criticisms ventured a fundamentally revised image of the Admiral and subsequent European explorers/colonizers, one in which these events were interpreted not as heroic acts of discovery but as the first steps in what became a violent invasion, bloody conquest, and unfortunate genocide. "The New World," as Carlos Fuentes (1999) argues, "became a nightmare as colonial power spread and its native peoples became the victim of colonialism, deprived of their ancient faith and their ancient lands and forced to accept a new civilization and a new religion. The Renaissance dream of a Christian Utopia in the New World was also destroyed by the harsh realities of colonialism: plunder, enslavement, genocide" (p. 195). Similar criticisms were leveled against the image of the American frontier. Shortly after Turner's death in 1932, a new generation of historians took issue with his "frontier hypothesis," finding, among other things, questionable forms of provincialism, determinism, and ethnocentrism (Billington, 1965, p. 2). Despite these critical insights, however, MMORPG developers, players, and researchers deploy the terms "new world" and "frontier" with little or no evidence of hesitation or critical self-reflection, leaving one to reissue a query initially proposed by Fuller and Jenkins (1995) over a decade ago: "One has to wonder why these heroic metaphors of discovery have been adopted by popularizers of new technologies just as these metaphors are 12 undergoing sustained critique in other areas of culture, a critique that hardly anyone can be unaware of in the year after the quincentennial of Columbus's first American landfall" (p. 59). This lack of consideration is evident, for example, in Kelly's research and the experiences of the gamers he interviewed. "Many of the players I spoke with," Kelly (2004) writes, "mentioned that they owned reprints of the diaries of Christopher Columbus, the ship's logs of Captain Cook, the journals of Lewis and Clark, the travelogues of Marco Polo, or the histories of Magellan, Ibn Battuta, or Zhang He. They were fascinated with exploration. And MMORPG games were the closest they could come to discovering new continents on their own" (p. 72). In reporting this data, Kelly explicitly recognizes a connection between the history and literature of exploration and the experience of MMORPG game play. MMORPGs, on this account, simulate new worlds or uncharted territory, offering players the opportunity to experience the thrill and adventure of discovery. At the same time, however, Kelly's account provides no acknowledgement of the profoundly complicated history that is part and parcel of the age of discovery and that is both recounted and recorded in this literature. This rather selective and arguably superficial reading of history is, however, not without justification. If MMORPG developers, players, and researchers do not explicitly account for the problems and complications that have become historically sedimented in the terms "new world" and "frontier," it is because both computer technology and the concepts of the new world and frontier are presumed to be liberated from the burden of history. Computer technology has often been characterized as radically ahistorical. "New technologies are," Simon Penny (1994) argues, "often heralded by a rhetoric that locates them as futuristic, without history, or at best arising from a scientific-technical lineage quite separate from cultural history" (p. 231). New technology and ICT in particular is often characterized as radically distinct and different from anything that came before, providing for a significant break with tradition that facilitates an easy escape from both cultural context and history. Even though technology is always the product of a specific culture and introduced at a particular time for a particular purpose, the futuristic rhetoric that surrounds technical innovation allows for this context to be set aside, ignored, or simply forgotten. As Ken Hillis (1999) summarizes it, "cyberspace and VR are, respectively, a frontier metaphor and a technology offering both the promise of an escape from history with a capital H, and the encrusted meanings it contains, and an imaginary space whereby to perform, and thereby possibly exorcise or master, difficult real- world historical and material situations" (p. xvii). This tendency to escape from or exorcise history is also one of the integral components of the myth of the new world and the American frontier. "The imagination of Americans after 1800," David Noble (1964) argues: 13 was dominated by the belief that the American West represented a redemptive nature which would provide spiritual salvation for the men who settled upon it. European man, corrupted by civilization, was reborn, made innocent, when he abandoned old world history for new world nature. (p. 419) The new world of the Americas was situated and idealized as a place where Europeans could forget the problems and complications of the old world, exit the burdens imposed upon them by history, and begin anew. Consequently, what allows MMORPG players, developers, and researchers to set aside the complex histories associated with the new world and frontier is the fact that these terms already deploy, validate, and justify a forgetting of history. If the new world was where Europeans came to forget their past and begin anew, MMOPRGs appear to be where one now goes to forget the unfortunate history and legacy of this forgetting. Although the "darker side" of this history appears to have been effectively suppressed by those involved with MMORPGs, their descriptions and characterizations are nevertheless ethnocentric. And to make matters worse, this ethnocentrism is itself a byproduct of the forgetting of history. The concepts of "new world" and "frontier" are not semantically empty or neutral. They have been derived from and are rooted in a distinctly white, European understanding and experience.3 They are, therefore, already involved in a particular set of assumptions and values that are culturally specific and by no means universally accepted or applicable. The characterization of the new world and the frontier as vast open territories, ripe with new economic opportunities to be exploited, and providing the perfect location for potentially utopian communities is a fantasy that is unique to Renaissance Europe and the relatively new nation of the United States. Other populations do not share these values and assumptions nor do they experience frontiers and movement into and through the frontier in the same way. The native peoples of South and North America, for instance, account for the so- called "age of discovery" and the settling of the American West with an entirely different and much less optimistic understanding. This is particularly evident in critical reassessments of the dominant historical narratives as provided by scholars Tzvetan Todorov (1984), Berry Lopez (1992), and Carlos Fuentez (1999), and performance-artists Coco Fusco and Guillermo Gómez- Peña (Fusco, 1995); and efforts to write alternative histories like those introduced by historians Jonathan Hill (1988), Alvin Josephy (1993), and Francis Jennings (1994). Deploying the grand narratives of exploration, colonization, and settlement as if they were somehow beyond reproach and universally applicable has the effect of normalizing a particular culture's experiences and asserting them over and against that of all others. This is not only presumptuous, it is, as Gunkel (2001) points out, the ethnocentric gesture par excellence—one assumes that his/her experience 14 is normative, elevates it to the position of a universal, and imposes it upon others (p. 34). In using the terms "new world" and "frontier," MMORPG developers, players, and researchers, impose a distinctly Euro-American understanding, colonizing both the idea and the technology of the MMORPG.4 This kind of implicit ethnocentrism can, for instance, be found in Castronova's account of migration. Although "migration" sounds considerably less disturbing than "colonization," its formulation is nevertheless dependent upon and informed by ethnocentric bias. Writing in 1998, Michael Vlahos describes the initial migration of people to the "infosphere," another name for the then nascent cyberspaces created and sustained by computer networks, like the Internet (p. 498). "Human migration to the Infosphere," Vlahos (1998) explains: represents an historical shift on several levels of significance. It is a true transhumance—a movement of human society to a new place, much like the colonizing of the New World, while still connected to the old. It is thus a migration away from, as well as toward, the in situ and material patterns of all human relationships to something very different and more complex. This entails a migration from long familiar patterns of culture. Human culture has always adapted to fit new environments, and the change is often as difficult as it is exhilarating. (p. 500) Castronova provides a similar account, when he describes the current migration to MMORPGs as involving a movement of people justified and explained by the promise of better opportunities and experiences. "However we refer to these territories," Castronova (2005) writes the most general causes and effects of any migration into them may not be hard to predict. Human migration is a well-known and fairly well-studied phenomenon. A simplified economic story would say that those doing relative less well in one place face the risks of change and head off to a new place. They stake claims there but retain ties with their former neighbors. If they do well, they stay; if they don't they go back…While this is a happy story in the long run, nonetheless, it is also a story of great change and short-run stress. (p. 11) This account of a potentially significant migration to MMORPG cyberspace, despite what might appear to be a neutral stance, is unfortunately biased and ethnocentric. It privileges the interests and fate of the migrating population, emphasizing their new opportunities, their hardships and stresses, and their connections to the old world they leave behind. What such an account conveniently leaves out is consideration of the effect this mobility has on the indigenous peoples who were historically the unfortunate victims of such movement. Consider, for example, 15 the narrative structure usually employed in the mythology of the American West. The standard story, one told in countless Hollywood westerns, goes like this: At one time a group of brave pioneers left the comforts of home and hearth. They embarked on a long and dangerous journey to a new land west of the Mississippi river. They endured many hardships and had to deal with all kinds of stress. But eventually, through their own hard work and ingenuity, they were successful in domesticating this wild and uncharted territory. This is, no doubt, a good story, and it makes for some compelling and enduring drama. Unfortunately it also effectively excludes consideration of those indigenous peoples that Columbus had originally misidentified as "Indians." Or if there is some consideration, these others are more often than not reduced to one more challenging hardship that needs to be endured and eliminated—what is often called quite pejoratively "those pesky Indians." In organizing the explanation so that it is told from the perspective of the migrating population, those individuals who Castronova calls "travelers" or "colonists," one participates in and perpetuates ethnocentrism.5 Stating this, however, appears to ignore the fact that MMORPGs, like other forms of computer-generated cyberspace, are not inhabited by an indigenous population who would be subject to displacement, enslavement, and colonization. What makes the new, new worlds of the MMORPG different, is that this time around there do not appear to be victims. "I would speculate," Mary Fuller writes: that part of the drive behind the rhetoric of virtual reality as a New World or new frontier is the desire to recreate the Renaissance encounter with America without guilt: this time, if there are others present, they really won't be human (in the case of Nintendo characters), or if they are, they will be other players like ourselves, whose bodies are not jeopardized by the virtual weapons we wield. (Fuller and Jenkins, 1995, p. 59) Understood in this way, computer technology simulates new territories to explore, to conquer, and to settle without the principal problem that has come to be associated with either the European conquest of the Americas or the westward expansion of the United States. Unlike the continents of North and South America, these new worlds are not previously inhabited. "Plenty of humans," Castronova (2007) points out, "lived in the allegedly New World happened upon by Christopher Columbus. Not so with new virtual worlds. On the day of launch, these are truly newly created terrains that no human has yet explored" (p. 63). MMORPGs, then, reengineer or reprogram the concept of the new world, retaining all the heroic aspects of exploration and 16 discovery while stripping away the problems that have historically complicated the picture. As Gunkel (2001) explains it: the terra nova of cyberspace is assumed to be disengaged from and unencumbered by the legacy of European colonialism, because cyberspace is determined to be innocent and guiltless. What distinguishes and differentiates the utopian dreams of cyberspace from that of the new world is that cyberspace, unlike the Americas, is assumed to be victimless. (p. 44) The new worlds of cyberspace are not occupied by others; they are effectively open and empty. They are, therefore, available for frictionless and guilt-free exploration and settlement. Understood in this way, movement into and through MMORPGs is a matter of individual choice, and the decision is ultimately based on what appears to be best for the user. As Castronova (2005) describes it, "those who do well by moving, move; those who do well by staying, stay; and everyone eventually finds the best possible place to be" (p. 11). Although this sounds good, it is insensitive to the very real conditions of others. "Cyberspace," as Sardar (1996) reminds us, "does have real victims" (p. 19). These victims are not situated within the space of the MMORPG world but are those others who cannot, for numerous reasons, participate. Although the encounter with MMORPGs offers "everyone," as Castronova claims, the opportunity to find "the best possible place to be," there are others, the majority of humanity in fact, who do not have a choice in the matter. That is, the place where they find themselves is not something that they actively select or have the ability to change. The decision to migrate to a MMORPG or not, which is often presented as if it were simply a matter of personal preference, is a privilege that only a small percentage of the world's people get to consider. As Olu Oguibe (1995) describes it Despite our enthusiastic efforts to redefine reality, to push the frontiers of experience and existence to the very limits, to overcome our own corporeality, to institute a brave new world of connectivities and digital communities, nature and its structures and demands still constitute the concrete contours of reality for the majority of humanity. (p. 3) Access to computer technology and the opportunity to experience the new worlds and open vistas of a MMORPG is something that is only available to a small fraction of the world's population. The majority of humanity, as Oguibe points out, does not have the luxury to question or contemplate the issue. Consequently these statements about migration and individual choice can only be made from a position of relative privilege that remains effectively blind to the fact that others—most others—do not have the option to participate in such a discussion. "Although this 17 virtual exclusion," as Gunkel (2001) calls it, "is admittedly bloodless and seemingly sanitized of the stigma of colonial conquest, it is no less problematic or hegemonic" (p. 45). For the victims of colonial conquest, then, the MMORPG presents something of a double whammy. Not only do the events of new world conquest and frontier settlement conjure up less than pleasant memories for indigenous and aboriginal peoples, but many of these populations are currently situated on the "information have-nots" side of the digital divide. To put it in rather blunt terms, the message is this: Listen, we understand that what we thought to be a new world and frontier didn't go so well for you folks, and we really regret that whole genocide thing. That was clearly a mistake. But we can just forget about all that. This time we're going to get it right. Because this time we have excluded you people from the very beginning. Conclusions When the history of the 21st century comes to be written, it is possible that the first decade of the new millennium will be remembered alongside the years 1492, the year of Columbus's discovery of the New World, and 1894, the year Frederick Jackson Turner introduced the frontier hypothesis. This is because the 2000's are already being promoted as the decade in which new worlds were discovered and a brand new frontier was first opened to migration, exploitation, and settlement. Although this account sounds promising, it has, as we have seen, a number of important consequences. First, using the terms "new world" and "frontier" to characterize MMORPGs clearly have a way of articulating what is really interesting and compelling about this technology. In fact, by using this terminology, one can immediately and intuitively perceive why so many developers, players, and academics understand MMORPGs as much more than fun and games. When described in terms of "new worlds" or "new frontiers," MMORPGs are framed, to use George Lakoff's (2002) word, as vast new territories that are open to exploration, settlement, and exploitation. As Barlow described it back in 1990, "Columbus was probably the last person to behold so much usable and unclaimed real estate (unreal estate)" (p. 37). Understood in this way, MMORPGs are not just another network application or a new form of entertainment but are, as Castronova (2005), Taylor (2006), Kelly (2004) and many others argue, an important socio-cultural development that needs to be taken seriously. These synthetic new worlds, like the New World of the Americas and the frontier of the American West, offer new economic and social opportunities, provide a location for innovative and unheard of adventures, and even support grand utopian experiments and new forms of community. This is 18 understandably hard to resist, and it is difficult to fault the players, developers, and scholars who leverage this powerful rhetoric and historical precedent. At the same time, however, "new world" and "frontier" have what Sardar calls a "darker side," specifically the forgetting of history, the imposition of colonial power and the exercise of ethnocentrism, and the unfortunate exclusion of others. Colonization, violent conquest, and bloody genocide necessarily haunt the use of this terminology and mitigate against its effectiveness and significance. To make matters worse, the current publications, marketing literature, and academic studies surrounding MMORPGs willfully ignore, unconsciously suppress, or conveniently forget these important complications. And they do so despite the fact that a good number of articles and books were published on this exact subject over a decade ago. Consequently, the current crop of texts addressing and promoting MMORPGs not only perform a highly selective and arguably uninformed reading of history but participate in and even perpetrate the very problems they exclude and leave unarticulated. Second, words matter. When all is said and done, the problems we have identified have to do with language. That is, the critical issue concerns not MMORPGs per se but the words that have, for better or worse, been selected by game developers, promoters, players, and academics to describe, characterize, and frame MMORPGs in contemporary discussions, marketing campaigns, and debates. The problem, then, is not with MMORPGs in general or any particular MMORPG but with the use and circulation of the terms "new world" and "new frontier." These words, however, are not immaterial. As Gunkel (2001) explains, "the words that are employed to describe a technological innovation are never mere reports of the state-of-the-art but constitute sites for the production and struggle over significance" (p. 50). Consequently, what MMORPGs are and, perhaps more importantly, what we understand MMORPGs to be, is as much a result of computer programming and game design practices as it is a product of the discursive decisions made by game developers, marketing firms, journalists, gamers, scholars, educators, bloggers, etc. Addressing this difficulty, however, is not simply a matter of finding a better and less controversial terminology. Whether we call MMORPGs new worlds, new frontiers, games, parallel universes, synthetic worlds, or something else we inevitably inherit etymological baggage that we do not necessarily control or even fully comprehend. The goal, then, is not to identify some pure linguistic signifiers that would be unaffected by these complications and issues. Language, any language, is already shaped by the sediment of its own culture and history. This is simultaneously the source of its explanatory power and a significant liability. The best we can do is to remain critically aware of this fact and to understand how the very words we employ to describe technology already shape, influence, and construct what it is we think we are 19 merely describing. This is, as James Carey (1992) explains it, the "dual capacity of symbolic forms: as 'symbols of' they present reality; as 'symbols for' they create the very reality they present" (p. 29). Consequently, the critical issue is to learn to deploy language self-reflectively, knowing how the very words we use to characterize a technological innovation are themselves part of an on-going struggle over the way we understand the technology and frame its significance. Third, there is a way that all of this bends around and facilitates opportunities for critical self-reflection on the current state of game studies. In the inaugural issue of Game Studies, for example, Espen Aarseth (2001) argued in favor of a distinct academic discipline to address computer games. According to his account, games constitute a new and uncharted field of investigation that is exposed to the pressures of colonization. The greatest challenge to computer game studies will no doubt come from within the academic world. Making room for a new field usually means reducing the resources of the existing ones, and the existing fields will also often respond by trying to contain the new area as a subfield. Games are not a kind of cinema, or literature, but colonizing attempts from both these fields have already happened, and no doubt will happen again. (p. 2) For Aarseth, and others who follow his lead (Douglas, 2002; Eskelinen, 2001 and 2004; Pearce, 2004), the nascent field of game studies is rhetorically situated as virgin territory that has endured and will need to struggle against the colonizing forces of the established, old world disciplines. For this reason, his account deploys many of the discursive tropes that are constitutive of and operative in the narratives of new world exploration and conquest. We all enter this field from somewhere else, from anthropology, sociology, narratology, semiotics, film studies, etc., and the political and ideological baggage we bring from our old field inevitably determines and motivates our approaches. And even more importantly, do we stay or do we go back? Do we want a separate field named computer game studies, or do we want to claim the field for our old discipline? (p. 3) In this way, Aarseth situates scholars of computer games in the position of new world explorers. No one, he argues, is indigenous to this new land; we all come from somewhere else. And in coming from these other places, we all carry a certain amount of baggage—assumptions, methods, and practices that come to be imposed on this new territory in order to make sense of it and to domesticate it. Finally like all new world explorers and adventurers, the big question, the question that really matters for each of us, is whether to make our home in this new world or to 20 claim it for our homeland. Elsewhere Aarseth (2004) reiterates this claim, although in this context he leverages frontier imagery: the great stake-claiming race is on, and academics from neighboring fields, such as literature and film studies, are eagerly grasping 'the chance to begin again, in a golden land of opportunity and adventure' (to quote from the ad in Blade Runner). As with any land rush, the respect for local culture and history is minimal, while the belief in one's own tradition, tools and competence is unfailing. Computer game studies is virgin soil, ready to be plotted and plowed by the machineries of cultural and textual studies. (p. 45) Clearly this language and these metaphors are persuasive, seductive, and powerful. At the same time, however, they deploy the problematic mythology and ideology that we identified and critiqued in the discourse of MMORPGs. Consequently the problem is not whether and to what extent other disciplines might come to "colonize" computer games and game studies or whether we resist the onslaught and support what Celia Pearce (2004), who considers herself an "'indigenous' game person," the "further development of an indigenous theory" (p. 1). The problem is that we have already defined and articulated the main problem for game studies in terms that are themselves already questionable and problematic. Finally, one could, with some justification, end by asking the question, "so what's your solution?" Or as Neil Postman (1993) puts it, "anyone who practices the act of cultural criticism must endure being asked, What is the solution to the problems you describe?" (p. 181). This question, although entirely understandable and seemingly informed by good "common sense," is guided by a rather limited understanding of the role, function, and objective of critique—an understanding of instrumental rationality that, like the deployment of the new world and frontier metaphors, might be seen as particularly American given the legacy of Pragmatism. Colloquially the word "critique" is understood as the process of identifying problems and imperfections that then require some kind of reparation. This is the way that Postman understands and deploys "critique" in his book Technopoly. There is, however, a more precise and nuanced definition rooted in the tradition of critical philosophy. As Barbara Johnson (1981) characterizes it, a critique is not simply an examination of a particular system's flaws and imperfections designed to make that system better. Instead: it is an analysis that focuses on the grounds of that system's possibility. The critique reads backwards from what seems natural, obvious, self-evident, or universal, in order to show that these things have their history, their reasons for being the way they are, their effects on what follows from them, and that the starting point is not a given but a construct, usually blind to itself. (p. xv) 21 Understood in this way, critique is not an effort that simply aims to discern problems in order to fix them. There is, of course, nothing inherently wrong with such a practice. Strictly speaking, however, critique involves more. It consists of an examination that seeks to identify and to expose a particular system's fundamental operations and conditions of possibility, demonstrating how what initially appears to be beyond question and entirely obvious does, in fact, possess a complex history that not only influences what proceeds from it but is itself often not recognized as such. This is the case with the terms "new world" and "frontier." Although the use of this rather powerful terminology seems innocent enough, it proceeds from and entails a rich and equally problematic history. This history not only has a considerable cost but entails an amnesic forgetting of the past that effectively blinds us to its influence. The objective of the critique, therefore, is to distinguish and to expose this particular structure, its operations, and its implications. And we do so, it is important to note, not because we oppose MMORPGs, their current use and future development, or the important research that has been undertaken thus far. Our point rather is that the current excitement about these "new worlds" and "new frontiers" needs to be tempered by an understanding of the history, logics, and ideologies that have been mobilized in the process of deploying this very terminology. Notes [1] Technically speaking Second Life is not exactly a MMORPG; then again it is not something entirely different. The FAQ on Linden Lab's (2008) website explains its ambivalent position in the following way: Is Second Life a MMORPG? Yes and no. While the Second Life interface and display are similar to most popular massively multiplayer online role playing games (or MMORPGs), there are two key, unique differences: 1) Creativity: Second Life provides near unlimited freedom to its Residents. This world really is whatever you make it, and your experience is what you want out of it. If you want to hang out with your friends in a garden or nightclub, you can. If you want to go shopping or fight dragons, you can. If you want to start a business, create a game or build a skyscraper you can. It's up to you. 2) Ownership: Instead of paying a monthly subscription fee, Residents can obtain their first Basic account for FREE. Additional Basic accounts cost a one-time flat fee of just $9.95. If you choose to get land to live, work and 22 build on, you pay a monthly lease fee based on the amount of land you have. You also own anything you create—Residents retain IP rights over their in- world creations. There is an ongoing debate over the essential characteristics of games and what is or is not a game (for more on this debate, see Harrigan and Wardrip-Fruin, 2007). And depending on how you look at it and who provides the explanation, Second Life both is and is not a MMORPG. More importantly, however, when a distinction is advanced, the leadership at Linden Lab has explained the difference by mobilizing the figure and rhetoric of terra nova. "I'm not building a game." Philip Rosedale, the CEO of Linden Lab and "founding father" of Second Life told Wired magazine's Daniel Terdiman in 2004. "I'm building a new country" (p. 2). In providing this explanation, however, Rosedale does not so much distinguish Second Life from other MMORPGs as he grounds their point of contact in a common and problematic ideology. [2] This particular narrative trajectory, which is deployed by and manifest in many of the canonical works of Western literature, is one of the fundamental characteristics of what Edward Said (1979) called "Orientalism." Wendy Chun (2003) has traced explicit connections between the concept of Orientalism and the literary constructions of cyberspace, demonstrating how "the narratives of cyberspace, since their literary inception, have depended on Orientalism for their own disorienting orientation" (p. 4). [3] It should not be forgotten that this particular formulation was also gendered. For this reason, the logic and rhetoric of new world exploration and frontier expansion often exhibits complex patterns of gender bias and inequality. "In the past 15 years," Nora Jaffary (2007) explains, "national and regional histories of the Americas in the era of colonization have increasingly incorporated gender analysis, fulfilling in this intriguing context Joan Scott's call for a history of how 'politics constructs gender and gender constructs politics'" (p. 8). As evidence of this, Jaffary (2007, pp. 8-9) provides a litany of recent scholarship, which includes, among other works, Ann Twinam's (1999) investigation of the gendered aspects of social status as articulated in the Spanish colonies of Central and South America, Kathleen Brown's (1996) examination of the construction of political authority in colonial Virginia by the deliberate manipulation of racial and sexual identities, and Karen Anderson's (1991) considerations of indigenous women's subjugation to French men through marriage contracts and, by extension, the subjugation of the territory of North America to the authority of the French Crown. Although it is beyond the scope of the current essay, it would be both interesting and useful to examine the ways these gendered 23 constructions influence and become expressed in the new worlds and frontiers of computer games and MMORPGs. By way of anticipating this subsequent analysis, we note two points of contact. First, the new world of cyberspace is, from the moment of its introduction, already gendered. According to William Gibson, who coined the neologism in his 1984 cyberpunk novel Neuromancer, cyberspace is identified as "the matrix," a term that not only has a nominal association with mathematics but also anticipates the popular vision of immersive virtual reality as exhibited by the Wachowski brother's trilogy of the same name. Matrix, as Gunkel (2001) points out, is a Latin word that signifies "womb." Consequently, the fictional cyberspace presented in Gibson's Neuromancer is already gendered female. Through this engendering, the novel is presented and functions according to traditional gender stereotypes and biases. Cyberspace, arguably the main female character in the novel, remains for all intents and purposes passive, formless, and receptive, while Case, the cowboy hotshot, is presented as active and is primarily defined by his penetrations into this matrix (pp. 164-165). Second, similar gender constructions are also exposed and examined in many of the initial studies of computer graphics practices and gaming. According to Simon Penny (1995), for example, "computer-graphics production—as seen in commercial cinema, video games, theme park rides, and military simulations—is dominated by a late adolescent Western male psyche and world view" (p. 231). For this reason, the place of female characters within these virtual worlds is often informed by and formed according to gender stereotypes. According to Eugene Provenzo's (1999) analysis of Nintendo, female characters are all too often "cast as individuals who are acted upon rather than as initiators of action" (p. 100). And Shoshana Magnet (2006) traces how these particular gender constructions connect up with the colonial history of the United States, demonstrating the way that players of the video game Tropico are interpellated as heterosexual male colonizers (p. 146). Clearly much more can and should be said about the gendering of game environments, game play, and gamer demographics. We simply want to point out that, insofar as MMORPGs are already wired into the rhetoric and logic of colonial and frontier (mis)adventure, a great deal can be learned from looking at the way gender was constructed and mobilized in the histories and mythologies of the European encounter with the new world of North and South America and the westward expansion of the United States. [4] How and when this took place remains an open question. MMORPGs, for instance, first became popular in south-east Asia, specifically South Korea. Did South Korean game developers, players, and critics conceptualize early MMORPGs, like Lineage I and II and 24 Legend of Mir, as "new worlds" and "frontiers?" Or is the new world metaphor something that comes into play only after MMORPGs become popular in Europe and North America? Although this kind of cross-cultural comparison is beyond the scope of the current essay, such an investigation would not only provide interesting points of comparison but would, insofar as the Korean peninsula has had an entirely different and unfortunate experience with the exercise of colonial power, provide another way to examine the interaction of games and culture. A good place to begin this subsequent investigation would be Dal Yong Jin and Florence Chee's "Age of New Media Empires: A Critical Interpretation of the Korean Online Game Industry" (2008). [5] One interesting and possible exception to this is Frontier 1859. Although still in development, the game's design appears to be sensitive to the complexities of frontier migration: Two worlds collide in the struggle to survive—From the perspective of hope, Emigrants imagined the Frontier as a place to begin a new life. From the perspective of home, Native Americans were here first. Wrong or right, the decisions people made who lived on the Frontier helped them survive the hardships of life. In that process, two lifestyles became extinct, the way of the Native American Indian, and the way of the Wild Frontier. (Frontier 1895, 2007). References Aarseth, E. (July 2001). Computer game studies, year one. Game studies, 1(1), 1-4. Aarseth, E. (2004). Gender trouble: Narrativism and the art of simulation. In N. Wardrip-Fruin and P. Harrigan (Eds.), First person: New media as story, performance, and game (pp. 45- 55). Cambridge, MA: MIT Press. Anderson, K. (1991). 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work_7syilj7unjah5dpq7ojcb4mdlu	----	HOW-SEPTIEMBRE 2010.vp Language Policies in Colombia: The Inherited Disdain for our Native Languages Carmen Helena Guerrero helenaguerreron@gmail.com Universidad Distrital “Francisco José de Caldas” As a contribution to enhance the discussion about the spread of the symbolic power of English in Colombia through a National Bilingual Policy, this paper aims at raising awareness about two main aspects: 1) Colombia has a variety of languages that should be seen as resources and not as problems (Ruíz, 1984) and 2) There is a pattern in our government language policies that tends to favor the elite. The conclusion of this paper is that not much has changed in the linguistic planning in Colombia since the Spanish colonization; privileged groups continue to legislate to favor privileged groups. This approach contributes to enlarge the gap between the haves and the haves not in Colombia. Key words: indigenous, languages, palenquero, creoles, marginalization, language, policy Resumen Como una forma de contribuir a la discusión acerca de la difusión del poder simbólico del inglés en Colombia a través del Plan Nacional de Bilingüismo, este artículo busca despertar la conciencia acerca de dos aspectos fundamentales: 1) Colombia tiene una variedad de idiomas que deberían ser vistos como recursos y no como problemas (Ruiz, 1984) y 2) existe un patrón en relación con las políticas lingüísticas en nuestro gobierno que tienden a favorecer las élites. La gran conclusión es que no ha cambiado mucho en la planeación lingüística en Colombia desde la colonización española donde los grupos privilegiados legislaban para favorecerse a ellos mismos. Este tipo de actitudes contribuye a agrandar la brecha entre quienes lo tienen todo y quienes no tienen nada. Palabras clave: Lenguas, indígenas, Palenquero, Creole, políticas, lingüísticas Introduction The Ministry of Education of Colombia has produced a series of guidelines to establish the national standards for the core areas of the Colombian curriculum which are Spanish, mathematics, social and natural sciences, and citizenship competences. To these series the MEN added the “Estándares básicos de HOW 16, December 2009, ISSN 0120-5927. Bogotá, Colombia. Pages 11-24 11 SEPT 30-HOW-SEPTIEMBRE 2010.prn competencias en lenguas extranjeras: Inglés. Formar en lenguas extranjeras: ¡el reto!” as part of its “Programa Nacional de Bilingüismo (PNB)” (National Bilingualism Program). The production of these standards is inscribed within the government proposal of the current President of Colombia, Álvaro Uribe Vélez, called “La revolución educativa” (Educational revolution). The goal of the educational revolution is to improve the quality of education and extend access to education in order to promote the social and economic development of the country and better the living conditions of Colombians. To reach this objective, the national government set three basic policies: 1) Extend education coverage, 2) Improve the quality of education, and 3) Improve the efficiency of education (Ministerio de Educación Nacional, n/d, p. 8). Despite the fact that, initially, favoring the teaching of English was neither included in any of these policies nor in the “Plan decenal de educación 1996-2005”, a document that established the direction of education for ten years, it was added later as a national policy in the “Plan sectorial 2006-2010”. All of these documents state a deep interest in the improvement of the quality of education in Colombia, and the need to favor less privileged groups; nevertheless, there is a lack of coherence between the sociolinguistic reality in Colombia and the projects undertaken by the Ministry of Education. In the National Constitution of 1991 Colombia is acknowledged as a multicultural and multilingual nation where there is a convergence of indigenous languages, creoles, several foreign languages, and Spanish. In this paper, I would like to bring to the surface the existence of multilinguism in Colombia and relate it to language policies. My main objective here is to raise awareness of the fact that these languages are real, have real speakers and are alive today. It is not new that multilingualism (especially the type that is related to indigenous languages and creoles) has been permanently overshadowed by monolingual ideologies and poor language polices, but the launch of the PNB has affected (and will continue to affect) negatively the value, recognition, use, study, teaching and learning of these and all the other languages different from English that share the Colombian territory. Indigenous Languages According to the National Planning Department (DNP), the official organism in charge of tracing the directions of all national polices, the indigenous population in 12 HOW, A Colombian Journal for Teachers of English Carmen Helena Guerrero SEPT 30-HOW-SEPTIEMBRE 2010.prn Colombia is 1,378,884, which represents 3.3% of the national populace, and these citizens live in the 33 departments of Colombia. Although a small percentage of this population is monolingual in Spanish, the majority of them speak any of the sixty-six languages that are alive today (Landaburu, 2005; Pineda Camacho, 1997). This is a small number of indigenous languages compared to the large number of languages found by the Spaniards when they first arrived in America. The multilinguism found by the Spanish conquistadors provoked a negative impression, so that they referred to the large number of languages spoken by the indigenous peoples as an “illness” that was spread along all the different groups found in the new world. There was such disregard (or ignorance) for our indigenous languages that Christopher Columbus re-named as many things as he could (he re-named the island of Guanahani, the name given it by the Indians, as San Salvador; he re-baptized two Indians he took back to Spain with the names of Don Juan de Castilla and Don Fernando de Aragón) (Patiño Rosselli, 2000; Todorov, 1984). This account of the first encounters of the colonizers with the natives gives evidence that the prevalent ideology of devaluing our indigenous peoples and everything related to them has deep roots in our historic past. The linguistic diversity was a problem for evangelization purposes and for business; the Spaniards’ interest was not in learning indigenous languages but in subjugating the indigenous peoples. To achieve their goal, their policy was to teach Castilian to the children of the indigenous chiefs, as well as Catholicism and government skills (Pineda Camacho, 2000). Soon the Church realized that aborigines were reciting prayers but did not understand their meaning and started to promote the learning of indigenous languages among its missionaries so they could evangelize indigenous peoples in their native languages. The Spanish Crown, headed by Philip II, supported this initiative but only for evangelization purposes while at the same time encouraging the spread of Castilian, which was clearly a policy of transitional bilingualism (De Mejía, 2005; Patiño Rosselli, 2000; Pineda Camacho, 2000). All of this period was characterized by a struggle within the Church; some missionaries, especially “mestizos” (children of Spaniards and Indigenous peoples), wanted to keep the indigenous languages (which they spoke) but the Spanish missionaries wanted to conduct evangelization only in Spanish. The discrepancy in the application of linguistic policies resulted in some aborigines learning Spanish and HOW 16, December 2009, ISSN 0120-5927. Bogotá, Colombia. Pages 11-24 13 Language Policies in Colombia: The Inherited Disdain for our Native Languages SEPT 30-HOW-SEPTIEMBRE 2010.prn some not, a situation which was used by the “Ordenanzas” (people in power in the new Colony) as a means for segregation (Pineda Camacho, 2000) Years later, during the government of Charles III, this policy changed drastically; indigenous languages were prohibited, and Castilian was declared the only acceptable language (Landaburu, 2005; Mar-Molinero, 2000; Patiño Rosselli, 2000). The development of maritime commerce conducted in Spanish, and the insurgency of Tupac Amaru in 1780-1781, triggered the interest of Charles III to forbid the indigenous languages. This policy continued during the rest of the colonization period, and speaking Spanish (Castilian) was required in order to obtain citizenship in the new colonies. The marginalization towards indigenous peoples continued during the era of the republic, when a great number of the population was “Criolla” (Creole, the name given to children of Spaniards born in America) and spoke Spanish. The “Criollos” did not want the indigenous to speak Spanish; they wanted to keep the aborigines marginalized linguistically and culturally due to three main reasons: 1) as a control mechanism; 2) the “Criollos” thought that if the indigenous peoples learned Spanish they would become lazy and corrupted; and 3) the “Criollos” wanted the linguistic difference as a way of discrimination (Pineda Camacho, 2000). Feeling left out from society, the aborigines did not see any purpose for speaking Spanish. Some years after the independence from Spain, in 1886, the new republic, then called “La Gran Colombia”, wrote its first Constitution. In it, Spanish was designated as the official and only language. This Constitution was characterized by a strong sense of cohesion and homogeneity, evidenced by the fact that it did not acknowledge the multiculturalism or multilingualism of the country (Pineda Camacho, 2000); the natural implication for indigenous populations (and Afro-Colombians) was that they should drop their languages (that at the time, and until recently, were not recognized as languages but as “dialects”) and speak Spanish instead. This policy succeeded for more than one hundred years and was strengthened by the fact that the education of indigenous groups was in the hands of Catholic missionaries who conducted it in Spanish (De Mejía, 2005). It has been until very recently (1962) that indigenous peoples have started to claim their linguistic rights which were taken away, first by Spanish conquistadors and later on by their own flesh: the “Criollos”. The early 70s witnessed the emergence of indigenous group organizations whose purpose of reclaiming their lands was 14 HOW, A Colombian Journal for Teachers of English Carmen Helena Guerrero SEPT 30-HOW-SEPTIEMBRE 2010.prn accompanied later by a demand for the acknowledgment of their culture and languages. In 1978, for the first time, the Ministry of Education with the issue of Decree 1142 recognized that indigenous populations had the right to be educated in their own languages and design a curriculum that addressed their contexts and needs (De Mejía, 2005; Jiménez, 1998; Landaburu, 2005). In 1991 with the issue of the new National Constitution, Colombia was acknowledged as a multicultural and multilingual nation with the recognition of indigenous communities and minority groups as legitimate Colombian citizens. Spanish was still designated as the official language of the country, but the indigenous languages were included as official in the indigenous territories, which implied that the state would guarantee bilingual education and respect for their cultural identity (Constitución Política de Colombia, 1991). With the issuance of Law 115 in 1994, the National Government ratified the rights of indigenous groups and recognized the need for ethno-education. Ethno-education in this context means the right to foster the culture and language of the indigenous peoples. To ensure this, their education will be conducted in their mother tongue and in Spanish and teachers should be bilingual and, preferably, members of the same indigenous community. Indigenous languages have gained recognition little by little now 500 years after the discovery of America, but still there is a long way towards the concretization of some of the objectives registered in the Constitution and Law 115. It is still uncertain what will happen with the indigenous languages in the years to come, considering that in the past the competition for prestige and resources was only against Spanish, but now, with the launching of the PNB, English enters as a new and powerful player. What is clear is that more decisive governmental efforts and investment are necessary in order to preserve the language and culture of our indigenous groups in Colombia. Unfortunately, as Omoniyi (2003) states: “Language policies sometimes never rise beyond the page of the document on which they are printed” (p. 16). Afro-Caribbean Languages Besides the more than sixty-six indigenous languages that exist today in Colombia, there are two Afro-Caribbean languages that have developed since the colonial times: “Palenquero”, a Spanish-based creole spoken in San Basilio de Palenque, and an English-based creole spoken on San Andrés Island. It seems that HOW 16, December 2009, ISSN 0120-5927. Bogotá, Colombia. Pages 11-24 15 Language Policies in Colombia: The Inherited Disdain for our Native Languages SEPT 30-HOW-SEPTIEMBRE 2010.prn these creoles developed due to two main reasons: 1) The practice of slavery: Spaniards brought a large number of Africans to work in agriculture, mines, and sugar cane plantations (Holm, 1984; Patiño Rosselli, 1992) and 2) “Cimarronismo” (maroons) (Patiño Rosselli, 1998). Until very recently, these two languages were invisible in Colombia, and very little was known about them. The Ministry of Culture has started a project led by Jon Landaburu to revive and maintain these and the indigenous languages spoken in Colombia. Palenquero During the colonial period, Spain brought over a huge number of Africans to enslave them and send them to work in agriculture and mines, particularly in the Caribbean region. Africans never accepted their condition as slaves and always sought ways to recover their freedom, which motivated them to escape and settle in isolated areas. San Basilio de Palenque is one of more than forty settlements and where “Palenquero” originated. This small village is located about 60 km from Cartagena and 200 km from Barranquilla, on the north coast of the country. It is not clear when exactly San Basilio de Palenque was founded; Morton (2005) and Schwegler and Morton (2003) state that it must have been between 1650 and 1700, but Lipski (1987) places it around 1599 and Megenney (1986) in 1608. Despite the discrepancies in dates, they all agree that it was Domingo Bioho, an African slave who claimed to be King Benkos from an African royal family, who led a rebellion and was followed by thirty other slaves who escaped from Cartagena; together they built a fortified site and founded a community of maroons (cimarrones). They built these fortified settlements with sticks (“palos”), hence the name “Palenqueros”, to resist the attempts of the Spaniards to recapture them and also to keep whatever they had built in their short period of freedom (Morton, 2005; Colombia Aprende, 2008; De Mejía, 2005; Patiño Rosselli, 1992; Pineda Camacho, 2000). By 1603, the official reports warned about the increasing number of “Palenques” near Cartagena (capital city of Bolivar), and this motivated the Governor of Bolivar to sign an agreement with the inhabitants of Palenque de San Basilio in which the former acknowledged the independence of the “Palenqueros” as long as the latter did not encourage “cimarronaje” (marronage) and did not take in more escapees. Despite this agreement, for almost a century the “Palenqueros” had to fight the colonizers to 16 HOW, A Colombian Journal for Teachers of English Carmen Helena Guerrero SEPT 30-HOW-SEPTIEMBRE 2010.prn keep their freedom and their lands until 1691, when the King of Spain agreed to confer on them the lands they had cultivated and where they had built their towns (Patiño Rosselli, 1998; Pineda Camacho, 2000). According to Morton (2005), this type of agreement took place only with Palenque de San Basilio, which in a way determined the unique “linguistic and cultural evolution of this village” (p. 34). These communities of “Palenqueros” communicated in Spanish and their native languages or in a pidgin used on the African coast which spawned the “Palenquero” (Patiño Rosselli, 1991; 1998; Pineda Camacho, 2000; Oceanic linguistics special publication, 1975, p. 125-127), and it has been reported as the only Spanish-based Creole that has survived in the Caribbean (Dieck, 1998; McWhorter, 1995; Patiño Rosselli, 1991, 1992; Pineda Camacho, 2000). Different from indigenous peoples, African slaves were kept marginalized from formal education; their only instruction was aimed towards their conversion to Catholicism. This isolation propitiated their frequent use of their own Creole and of a variety of Spanish that was very different from the norm (Pineda Camacho, 2000). The marginalizing attitude has continued until today in such a way that having black color of skin has been related to poverty, backwardness, and underdevelopment; being perceived in this negative way has granted “Palenqueros” a stigmatization that has affected the interest of new generations to speak their language (Schwegler, 1998; Schwegler & Morton, 2003). During the Republic years, the spread of Castilian (or Spanish) became stronger, and it forced “Palenquero” to be restricted to the area of San Basilio. Since then, the inhabitants of San Basilio de Palenque have been bilingual in “Palenquero” and Spanish, using the former as their first and home language (De Mejía, 2005; Pineda Camacho, 2000), but this is an asymmetrical bilingualism because while everybody understands and speaks Spanish, young people and children understand “Palenquero” but do not speak it fluently or do not speak it at all (Lipski, 1987; Patiño Rosselli, 1992). “Palenquero” was documented for the first time by Ochoa Franco in 1945 and recognized as Creole by Bickerton and Escalante in 1970. (De Mejía, 2005; Oceanic Linguistics Special Publications, 1975, p. 132-133; Schwegler, 1998). Due to its unique characteristics, it has been regarded as a linguistic relic, but it was only until the mid 1980s when the government started to take action to give “Palenquero” official status through the program ‘Education for identity’. Thanks to this initiative, HOW 16, December 2009, ISSN 0120-5927. Bogotá, Colombia. Pages 11-24 17 Language Policies in Colombia: The Inherited Disdain for our Native Languages SEPT 30-HOW-SEPTIEMBRE 2010.prn the language is being used at school, and there are projects running to produce a Palenquero-Spanish bilingual dictionary as well as other printed materials (De Mejía, 2005; Patiño Rosselli, 1992; Pineda Camacho, 2000). In 2005, San Basilio de Palenque was declared a “Masterpiece of the oral and intangible heritage of humanity” by UNESCO, which has triggered more interest from the Colombian national government towards the preservation of the language. San Andrés and Providence Creole English San Andrés and Providence make up the Caribbean archipelago which is the smallest Colombian “departamento”. Its population is approximately 62,000 and about half is of African descent (Decker & Keener, 2001; Morren, 2001). The situation of San Andrés and Providence is the result of the negligence of the State and the role of Church in education. Spain took possession of the islands of San Andrés and Providence in 1641, but by then, a large number of Puritan colonists had arrived in the island (Morren, 2001); in addition, during the early 18th century, immigrants from Jamaica and other English speaking countries settled there and Spain lost control of the island (Decker & Keener, 2001; Forbes, 2005; Holm, 1984; Patiño Rosselli, 1992; Pineda Camacho, 2000). In 1786, a treaty ceded the islands back to Spain, but English inhabitants were allowed to stay as long as they swore allegiance to the Spanish Crown, converted to Catholicism and spoke Spanish (De Mejía, 2005). Despite these requests and due to the presence of a large population of English speaking settlers, most people on the island spoke only English, which led the governor in 1803 to ask the central government to send Irish missioners to evangelize the inhabitants in that language, but it was never granted. After the independence of New Granada from Spain in 1822, the inhabitants of the island adhered to the Colombian republic (Morren, 2001; Pineda Camacho, 2000). In 1845, Philip Beekman Livingston Jr., a Baptist pastor, arrived in the island and started to teach slaves reading and writing in English (this activity was rejected by the white people of the island). Two years later, he founded the Baptist church and established a school. Both the Church and the school used English as the language of instruction, which helped in the spread of both this religious group and English. By 1850, most islanders had converted to the Baptist religion and a significant number of 18 HOW, A Colombian Journal for Teachers of English Carmen Helena Guerrero SEPT 30-HOW-SEPTIEMBRE 2010.prn them could read and write in English in addition to speaking their own languages (Morren, 2001; Patiño Rosselli, 1992; Pineda Camacho, 2000). In 1869 the President of Colombia, Santos Acosta, signed a decree in which San Andrés and Providence’s English was acknowledged as a language. This decree ordered the translation of the National Constitution in effect at that time, “Constitución de Río Negro”, and the appointment of translators for official events. This situation did not last because with the writing of the National Constitution of 1886, which aimed at creating a sense of national identity by homogenizing as much as possible the cultural practices of Colombians, it was declared that Catholicism was the official religion of the country and that education should follow the principles of Catholic dogma. Although Spanish was not explicitly designated as the official language, it was actualized as such in the whole Colombian territory. This Constitution was harmful to San Andrés and Providence’s inhabitants because they were forced to adopt a new religion and a new language. By 1926, due to the pressure of the Catholic Church, many islanders converted to Catholicism; one year later, Law 17 of 1927 prohibited the use of English to designate public places, and some years after, in 1943, the use of the vernacular language was prohibited to designate public places, to be used in schools, or to be used in the official documents of the island (Pineda Camacho, 2000). Nevertheless, islanders continued using Standard English for school and Church and Caribbean Creole English for oral communication (Grimes, 2000). Despite the requests made to the national government in several reports by educational inspectors (from 1912 to 1937) to implement a bilingual program in the island that responded to the sociolinguistic characteristics of the population, the response of the government was to eliminate English from schools and place it as a second language subject in high school, as in the rest of the country. The consequences of this policy were very negative because students did not master Standard English, and this put them in a disadvantageous academic situation (Dittmann, 1992). The Colombian government, led by General Rojas Pinilla, then President, in 1953 declared San Andrés and Providence a free port and promised the construction of an airport, roads, and the arrival of progress. This caused a tremendous change in the economy and demographics of the islands because it attracted the interest of a lot of mainland Colombians. Due to their superior knowledge of Spanish, Colombian laws, and business expertise, they soon owned most businesses on the island. Their HOW 16, December 2009, ISSN 0120-5927. Bogotá, Colombia. Pages 11-24 19 Language Policies in Colombia: The Inherited Disdain for our Native Languages SEPT 30-HOW-SEPTIEMBRE 2010.prn presence also produced a change in language use, and Spanish replaced English and Creole in official events, mass media, business transactions and, of course, Church and education. Since 1954, as part of the national program to “Colombianize” the islanders, Spanish became the official language. However, Baptist churches still prefer English for their services and schools and use both English and Spanish as the medium of instruction (MOI); at home most native islanders use Creole English as well for interaction with friends (Dittman, 1992; Forbes, 2005; Morren, 2001; Patiño Rosselli, 1992). Today in San Andrés and Providence three languages converge: Creole, English and Spanish. At the same time, conflict emerges as each of these languages is perceived and valued differently by various groups. Most religious leaders (who have a strong influence in the island due to their historical presence there) think that Islander English (or Creole) is a legitimate language while Spanish is an imposition that threatens islanders’ native language, culture, and identity. Political leaders have a different opinion and consider that Islander English is broken English or inferior English and should be eradicated (Morren, 2001; Pineda Camacho, 2000). And in a different group, some teachers think that there is a lack of articulation between school and the community and demand the inclusion of English as a MOI probably based on the continuum that exists between Creole English and English (Dittman, 1992; Morren, 2001; Holm, 1984; Patiño Rosselli, 1992). In 1980, the national government issued Decree 2347 whose purpose was to mandate the professionalization of high school bilingual graduates of the island to incorporate them as teachers in an experimental bilingual program that was running in some elementary schools in the archipelago. The project was coordinated by the “Centro Experimental Piloto de las Islas” with the advice of the “Centro Electrónico de Idiomas”, an annex of the Ministry of Education in charge of English teaching in the country at the time, and the British Council (Dittmann, 1992). The project was adopted officially by the Secretary of Education in 1988; seven primary and three secondary schools have been recognized as bilingual schools where Standard Caribbean English and Spanish are used as the MOI; Creole English is, however, marginalized from school and used only for informal interaction (De Mejía, 2005). Although the National Constitution of 1991 acknowledges the right of ethnic groups to conduct education in their own languages, it refers more to indigenous peoples; Afro-Colombians are mentioned only in Article 55 which states that in two 20 HOW, A Colombian Journal for Teachers of English Carmen Helena Guerrero SEPT 30-HOW-SEPTIEMBRE 2010.prn years from 1991, the government will create a special commission to study the situation of black communities who have lived on the Pacific coast and in other areas of the national territory in order to grant them the rights to land, protection of their cultural identity, and support for their economic and social development. In 1993, the national government issued Law 70 to officially acknowledge black communities of the country and establish measures to grant them the rights to land, identity, culture, and social development. Specifically, Chapter VI of this law refers to protection of cultural identity and sets the bases of the autonomy of Afro-Colombian communities to design a curriculum that responds to their particular needs. Despite this, there is no explicit mention of San Andrés Creole English, and Standard Caribbean English. As a consequence of the convergence of different historical events and national policies, today bilingual education is permitted on the island but is not observed completely due to several factors such as lack of instructional materials, lack of teachers’ training in bilingual education, the large number of Spanish monolingual teachers, and the importance of Spanish for the economy of the island (Decker & Keener, 2001). With the National Bilingualism Project, there has been a renewed interest in San Andrés as a potential site for immersion courses (Grimaldo, 2007); the results are still to be seen because the language attitudes of mainland Spanish speakers in Colombia still think of San Andres’ English as broken English, hence a variety of very low prestige. Conclusion Since the Spanish colonization, language policies in Colombia have been marked by a constant asymmetry that values the language of the powerful and disregards the languages of the powerless. More than 500 years after the so-called discovery of America by Christopher Columbus, the situation is not very different. While during the colonial years Spanish was favored and perceived as the language of modernization and progress, English is the language associated with those characteristics today. And yesterday, as today, indigenous languages and creoles are treated as second class languages. Also relevant is the way in which the official discourse, no matter the epoch, has constructed attitudes towards minority languages to the point that mainstream HOW 16, December 2009, ISSN 0120-5927. Bogotá, Colombia. Pages 11-24 21 Language Policies in Colombia: The Inherited Disdain for our Native Languages SEPT 30-HOW-SEPTIEMBRE 2010.prn Colombians do not consider learning one of our languages as a second language. The State has a crucial responsibility in this lack of interest because not only does it not promote the study of our languages but discourages people who speak them from converting them into cultural or linguistic capital. Anecdotal evidence shows that in graduate programs where people need to demonstrate proficiency in a second language, people who speak an indigenous language have had to struggle to get their languages accepted to fulfill that requirement. It is too early to predict the outcomes of the national bilingualism program set by the MEN, but it is worrisome to see how this project is repeating the same patterns of inequality, discrimination, marginalization, and segregation that were used to impose Spanish more than five hundred years ago. It is easy today to associate indigenous peoples and most Afro-Colombians with poverty and backwardness and to blame them for that, but if we look closer and carefully, we can see that the causes of their disadvantaged situation have profound roots embedded in our history and in an ideology of superiority vs. inferiority. References Colombia Aprende (2008) Cimarrones y cimarronajes. Retrieved from: http:// www.colombiaaprende.edu.co/html/etnias/1604/article-82836.html Constitución Política de Colombia (2000) Retrieved from: http://www.banrep.gov.co/ regimen/resoluciones/cp91.pdf De Mejía, A.M. (2005). Bilingual education in Colombia: Towards an integrated perspective. In De Mejia, A.M. (Ed.), Bilingual education in South America (pp. 48-64). Clevedon: Multilingual Matters Ltd. Decker, K. & Keener, A. (2001). A report on the English-based Creole of San Andres and Providence Islands, Colombia. SIL International. Dieck, M. (1998). Criollística Afrocolombiana. In Maya, L.A. (Ed.) Geografía humana de Colombia: Los Afrocolombianos. Tomo VI (pp. 303-338). Bogotá: Instituto Colombiano de Cultura Hispánica. Dittmann, M. (1992). El criollo sanandresano: Lengua y cultura. Cali: Universidad del Valle. Forbes, O. (2005). Creole culture and language in the Colombian Caribbean. Centro de Medios independientes de Colombia. Retrieved from: http://colombia.indymedia.org/news/2005/ 05/25461.php Grimaldo, J.C. (2007). Programa Nacional de Bilingüismo. Colombia 2004-2019. Talk presented in Bogotá during the “Talleres de apropiación de los Estándares”. Grimes, B.F. (2000). Ethnologue: Languages of the world. 14th edition. Dallas: SIL International. Holm, J. (1984). Central American English: Our hemisphere’s best-kept secret. Geolinguistics, 10, 57- 73. 22 HOW, A Colombian Journal for Teachers of English Carmen Helena Guerrero SEPT 30-HOW-SEPTIEMBRE 2010.prn Jiménez, N. (1998). Etnoeducación: Política oficial para la educación en comunidades indígenas. In Trillos, M. (Ed.), Educación endógena frente a educación formal (pp. 59-79). Bogotá, Universidad de los Andes: Centro Colombiano de Estudios de Lenguas Aborígenes. Landaburu, J. (2005). La situación de las lenguas indígenas de Colombia: prolegómenos para una política lingüística viable. En Amérique Latine Histoire et Mémoire, No. 10-2004 - Identités: positionnements des groupes indiens en Amérique latine, Retrieved from: http:// alhim.revues.org/document125.html. Retrieved April 13th 2007. Lipski, J. (1987). On the construction ta + infinitive in Caribbean “Bozal” Spanish. Romance Philology, 40 (4), 431-450. Mar-Molinero, C. (2000). The politics of language in the Spanish-speaking world. London and New York: Routledge. Megenney, W. (1986). El Palenquero. Un lenguaje post-criollo de Colombia. Bogota: Instituto Caro y Cuervo. LXXIV. McWhorter, J. (1995). The scarcity of Spanish-based creoles explained. Language in Society, 24 (2), 213-244. Ministerio de Educación Nacional (n/d) La revolucion educativa. Retrieved from: http://www.mineducacion.gov.co/1621/article-85576.html Morren, R. (2001). Creole-based trilingual education in the Caribbean archipelago of San Andres, Providence and Santa Catalina. Journal of multilingual and multicultural development, 22 (3), 227-241. Morton, T. (2005). Sociolinguistic variation and language change in el Palenque de San Basilio (Colombia). Doctoral Dissertation. Philadelphia, Pennsylvania: University of Pennsylvania. Oceanic Linguistics Special Publications, 14 (1975). A Bibliography of Pidgin and Creole Languages. 132-133. Omoniyi, T. (2003). Language ideology and politics. A critical appraisal of French as a second official language in Nigeria. AILA Review, 16, 13-25. Patiño Rosselli, C. (1991). Español, lenguas indígenas y lenguas criollas en Colombia. Bogotá: Instituto Caro y Cuervo. Patiño Rosselli, C. (1992). La criollistica y las lenguas criollas de Colombia. Thesavrvs. Boletin del Instituto Caro y Cuervo. Tomo XLVII (2) 233-264. Patiño Rosselli, C. (1998). Relaciones de contacto del Criollo palenquero de Colombia. Forma y Función, 11, 77-101. Patiño Rosselli, C. (2000). Apuntes de lingüística colombiana. Forma y Función, 13, 67-84. Pineda Camacho, R. (1997). La Constitución de 1991 y la perspectiva del multiculturalismo en Colombia. Alteridades, 7 (14), 107-129. Pineda Camacho, R. (2000). El derecho a la lengua. Historia de la politica linguistica en Colombia. Estudios Antropologicos No. 4. Bogota: Universidad de los Andes. Ruiz, R. (1984). Orientations in language planning. The Journal for the National Association for Bilingual Education, 8(2) 15-34 Schwegler, A. (1998). El Palenquero. In: M. Perl and A. Schwegler (Eds.), America negra. Panoramica actual de los estudios linguisticos sobre variedades hispanas, portuguesas y criollas, (pp. 220-291). Vervuert: Iboeroamericana. HOW 16, December 2009, ISSN 0120-5927. Bogotá, Colombia. Pages 11-24 23 Language Policies in Colombia: The Inherited Disdain for our Native Languages SEPT 30-HOW-SEPTIEMBRE 2010.prn Schwegler, A. & Morton, T. (2003). Vernacular Spanish in a microcosm: Kayetano in El Palenque de San Basilio (Colombia). Revista internacional de linguistica iberoamericana, 1 (1), 97-159. Todorov, T. (1984). The conquest of America. The question of the other. (Richard Howard [Trans.]) New York: Harper & Row, Publishers. The Author Carmen Helena Guerrero holds a Ph. D. in Second Language Acquisition and Teaching. She also holds an MA in Second Language Acquisition and Teaching and an MA in Applied Linguistics to the teaching of English. Her research interests include Critical Discourse Analysis, Critical Pedagogy, and Educational Policies. She is a faculty member of the Maestria en Comunicacion Educación at Universidad Distrital. SEPT 30-HOW-SEPTIEMBRE 2010.prn 
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work_7yct5pm5erek7mzoewbsqid3ri	----	Globalization and Religion: The Case of Malacca and the Work of Robert Morrison Religions 2012, 3, 1075–1084; doi:10.3390/rel3041075 religions ISSN 2077-1444 www.mdpi.com/journal/religions Article Globalization and Religion: The Case of Malacca and the Work of Robert Morrison Peter Tze Ming Ng SKH Minghua Theological College, Glenealy, Central, Hong Kong; E-Mail: peterng.cuhk@gmail.com Received: 2 October 2012; in revised form: 6 November 2012 / Accepted: 7 November 2012 / Published: 7 November 2012 Abstract: Religion has long been a significant factor in the process of globalization. In this article, the author attempts to explore and review religious factors involved in the history of Malacca (Melaka) and in the missionary work of Robert Morrison in the early 19 th century. Malacca has long been a meeting place for various religions in their respective processes of globalization. Robert Morrison was the first Protestant Missionary to come to the Chinese Mainland. He arrived in 1807. However, after 10 years of working in Canton and Macau, he made a proposal for setting up a mission school in Malacca, hence the Anglo-Chinese College of 1818. It was found that, indeed, Morrison had learned much from his experiences in China and in Malacca, especially in paying due respect to Chinese culture. Keywords: globalization; religion; Robert Morrison; Anglo-Chinese College; Malacca (Melaka) Introduction Though the term ‗globalization‘ is often thought of as a modern concept, the process of globalization is an old one, especially in regard to the cultural transmission beyond national borders, and can be traced back centuries. Religion has been a vital factor in this process. In his exploration of the relationship between ‗globalization‘ and ‗religion‘, Peter Beyer affirmed that religion as culture had played a significant role in the development, elaboration and problematization of global society ([1], Introduction). Indeed, there has been a growing awareness that ‗globalization‘ and ‗religion‘ are not quite separate entities. Nor should ‗religion‘ be seen as an ‗outside‘ respondent or ‗victim‘ in the process of globalization. Modern scholars began to see religion as an integral part of globalization and OPEN ACCESS Religions 2012, 3 1076 reckon that it is one that was a proactive rather than a regressive force in the development of globalization, being intertwined in a way that influences most of the worldwide political, economic and cultural processes ([2], Introduction). It should also be noted that contemporary globalization is the outcome of a long historical process that includes the historical development of religious movements around the globe, hence the religious factor in the context of globalization ([2], pp. 145–165). The spread of religion should be understood, not simply as a result of migration of religious believers because of political or economic reasons, but that ‗religion‘ in itself is an important moving force in the process of globalization, such as in the Christian movement of ‗the evangelization of the whole world‘. In this paper, I shall use the history of Malacca and the work of Robert Morrison as a case to review the relevant connections between religion and globalization. There are indeed some significant findings we could extract from this lively case of Robert Morrison and Malacca. History of Malacca The history of Malacca revealed the fact that religion has indeed been a significant factor in the development of globalization in the region. As we study Malacca closely, we find that the city has a unique history of its own that could provide some good insight not only in the study of Protestant missionaries, such as Robert Morrison in setting up schools for inter-cultural dialogues, but also in the study of the impact of other religious traditions in the area, such as Hinduism, Buddhism, Confucianism and Islam. Malacca is a typical example of how the great religions have imprinted their many influences on a place. The city has been a busy trading centre in Southeast Asia for centuries, lying on the southern part of the Malay Peninsula and providing a comfortable port of call for all trading vessels in their passage between the Indian Ocean and the South China Sea. It has also been overtaken as a colony by various peoples from East Asia and Europe. Indian traders first came to the peninsula in the first century A.D. The Indian Emperor, Harsha (606–647 A.D.) was a patron of Shaivism and Buddhism. He sent missionaries to the South during his reign, hence starting the spread of Indian cultures and religions, including Hinduism and Buddhism, throughout Southeast Asia. Hinduism became the state religion of many Southeast Asian states, including Malaysia, until the 13 th century. Indian (Hindu) beliefs and culture were regarded as a higher culture of the time and, hence, it was natural that the Malay people had adopted Indian cultures into their own culture. That was why Malay culture used to be foundationally close to Indian and Hindu cultures in many aspects [3]. Then came the Muslims in the 13 th centuries A.D. The movements of the Muslims could be seen in a global context, as it was partly because of their defeats by the Christian Crusaders in Europe in the eleventh and twelve centuries that the Muslims were held back from Europe and began to move from the ‗Near East‘ to the ‗Far East‘, as well as to Southeast Asia. There was a wide spread of Islamic religion especially under the Ottoman Empire in 1300 A.D., which spanned from Asia Minor to India and to Southeast Asia. As a result, there was not only a huge expansion of trade and commerce, but also the spread of Islamic civilization, including all the cultural and social aspects of the Islamic religion ([3], pp. 7–13). When the Muslims came to Malaysia, there was already the existence of Indian cultures, with Hindu and Buddhist temples, beliefs and rituals in the area. The intrusion of Islamic religion furthered another hybrid culture and a syncretised mix of religious traditions ([4], Religions 2012, 3 1077 pp. 69–90). Since 1414, the ruler (sultanate) of Malacca had become a Muslim. Islam then became the state religion of Malacca until the arrival of the Portuguese from Europe in 1511. Since the beginning of the 15 th century, the Chinese came to establish relationships with the Malacca Sultanate. The Chinese Emperor Yongle sent huge naval expeditions under the leadership of Admiral Zheng He (1371–1433) and visited Malacca six times for trade and commerce. As a result, the Sultanate sent tributes to China, and in return, China sent her princess to be married to the Sultan. China also sent out 500 Chinese men to accompany the princess and they had brought with them Chinese beliefs and culture, which were later transformed to become ‗Baba Nyonya Culture‘, another syncretised mixture of Chinese and Malay cultures in Malacca [4,5]. Chinese people settled in Malacca and married Malay ladies down through the centuries. The Baba Nyonya Culture had helped in many ways to preserve the Chinese culture for the younger generations and held them together within the Chinese community in Malacca. Protestant missionaries, like Robert Morrison, found themselves interested in staying in Malacca simply because of this Chinese community. Though they had already been living in Malacca for a few centuries, they had kept the Chinese language and culture in many ways. While the Qing government was enforcing a ―closed-door policy‖ at the beginning of the 19 th century, the Protestant missionaries could still work with this Chinese community in Malacca, as a step towards preparing themselves for the opening of China in later years. That was why Morrison launched his plan for setting up the Anglo-Chinese College at Malacca in 1818, so as to have closer contact with the Chinese community there. Christianity came to Malacca in 1511. This was another wave of cultural globalization. It was the Portuguese who captured Malacca in 1511, in order to seize the control of all trade and commerce through the Straits of Malacca. They ruled over the land for 130 years, till 1641. The coming of the Portuguese at this time signified also the religious situation in Europe. It was the decline of power of Roman Catholicism in Europe that had pushed the kings in Spain and Portugal to extend their support to the explorers of the ‗New World‘, so as to help also for the expansion of both their kingdoms and the Roman Catholic Church by military forces. Hence, both the army and the missionaries were sent out together with the explorers and colonizers such as Christopher Columbus (1451–1506) and Vasco da Gama (1460–1524). It was Alfonso de Albuquerque (1453–1515) who had the support from the king of Portugal and captured Malacca for the king in return. This Portuguese colonization of Malacca opened the door for the spread of Christianity in the Far East and the evangelization work of the Roman Catholics for over a century. The most famous Catholic missionary was St. Francis Xavier (1506–1552) who came to Malacca on 8 th May 1545. St. Francis Xavier, who was well-known as ‗the Apostle of the Indies‘, had been dreaming of setting up a mission station at Malacca and expanded his missionary work to Japan, China and India. Unfortunately, he died on 3 rd February 1552. The St. Francis Xavier Church was built in memory of his work in Malacca ([3], pp. 14–21). Then, in the year 1641, came the Dutch explorers and colonizers. The Dutch Reformed missionaries followed the examples of the Roman Catholics and started their evangelization work in Southeast Asia and the Far East, using Malacca as a missionary base. It is also interesting to note that the Dutch missionaries were more interested in the Chinese community than the Malay people in Malacca, as they were looking beyond the state to the reach of China in the Far East. The missionaries started translating the Bible into Chinese and attempted reaching out to the Chinese community in Malacca. Their work, especially their activities in education and publication, had inspired the two missionaries Religions 2012, 3 1078 from the London Missionary Society, William Milne and Robert Morrison, who came in the early 19 th century. With the rise of her military forces and dynamic sea power, Great Britain took over Malacca during the Napoleonic wars of 1795, and officially signed the Treaty of London with the Dutch colonies in 1824. The capture of Malacca opened the door to Protestant missionaries from the United Kingdom. That was why William Milne and Robert Morrison were sent to the Far East by the London Missionary Society and they arrived in Malacca in the early 1810s. They learned from previous missionaries and especially the Dutch Reformed missionaries‘ approach to the Chinese community in Malacca. That was also why Robert Morrison had made a proposal in his ―Ultra-Ganges Mission Plan‖ to set up a mission school for the Chinese in Malacca. The Anglo-Chinese College was set up in 1818 and was later moved to Hong Kong after it was ceded to Britain by the Treaty of Nanking in 1842. It was during the Second World War that Malacca was overtaken by Japan for some years and it was after the War that Malaya (or ‗Malaysia‘) declared her independence by uniting all the states on the Malay Peninsula in 1957 [3]. Furthermore, in order to unite and get control over this religiously pluralistic country, the new Malaysian government claimed to uphold Islam as its state religion. Hence, Malaysia became an Islamic country. Robert Morrison—The First Protestant Missionary in China Robert Morrison was the first Protestant Missionary who arrived on the Chinese Mainland in 1807. How did he come to know about China? When Morrison was preparing himself for missionary work in London, he came across the text of a Chinese translation of the New Testament Bible in the British Museum Library. He was surprised to find that Chinese characters were so sophisticated and beautifully written. Therefore, amongst other places, he chose China as his missionary field. His request was accepted by the London Missionary Society, but Morrison could not go directly to China. He was rejected by the British merchants. Being well aware of the Chinese (Qing) government‘s ‗closed-door policy‘, which would not allow any foreign missionary to enter the Chinese territories at that time, the British merchants simply refused to take him on board. Therefore, Robert Morrison took the route via New York in America and then boarded a ship, The Trident, from New York to China. This was indeed a global journey for Morrison, travelling from Europe to America, finally arriving at China in Asia on September 4 1807. Upon arrival in China, Morrison discovered that he really could not enter the Chinese Mainland as a missionary, so he worked as a translator for the British East India Company and lived in Canton and Macau on the southern coast of China ([6], pp. 62–136). For the first ten years, Morrison focused his time on learning the Chinese language and culture, and started compiling an English-Chinese dictionary, alongside with his translation work of the New Testament Bible ([7], pp. 38–45). The work as a translator and an interpreter helped not only to guarantee Morrison‘s stay in China, but also to improve a lot his understanding of the Chinese language and culture, which was an essential foundation for his translation of the Bible and his future ministry in China. The work was slow but steady. After ten years, Morrison submitted a report to the London Missionary Society, entitled: ―A Retrospect of the First Ten Years of the Protestant Mission to China‖ (dated 4 th September, 1817) ([6], pp. 243–245). Morrison admitted that the mission in China was not an easy one and that it was very slow progress. There was only one Chinese convert found, Religions 2012, 3 1079 named Tsae A-ko (蔡高), who was employed as a printing helper for Morrison. Tsae had been convinced by the work of Morrison and was finally baptized in October 1815, at the age of twenty-seven ([7], pp. 60–61). In his report, Morrison enclosed a proposal for ―The Ultra-Ganges Mission Plan‖. One of the proposals made was the setting up of a mission school in Malacca, the ―Anglo-Chinese College‖, which aimed at (1) the promotion of a better understanding of European and Chinese literature and culture; (2) the peaceful spread of the Christian faith and the East-Asian civilization throughout the globe ([6], p. 261; [8]). Why did Morrison choose to set up the Anglo- Chinese College at Malacca, awaiting the opening of China? [8] Though Morrison could not preach to the Chinese on the Mainland, he was convinced that since China was a civilized country, the best means of evangelization was through the understanding of Chinese language and culture. After ten years in preparation, Morrison had equipped himself with proper understanding of Chinese language and culture and he now found a Chinese community in Malacca who could read and speak in Chinese. They could be a perfect target group for evangelization of the Chinese people outside China ([6], p. 244). Hence, he started the Anglo-Chinese College there. As he stated, the aim of the College was to promote a better understanding of European and Chinese language and literature, to cultivate mutual dialogues between the two cultures, and to pave ways for the peaceful spread of the Christian faith and the East-Asian civilization around the globe ([6], pp. 222, 261). He had a vision of seeing the college as the ‗school for open minds‘, and Malacca to be not only the ‗Athens of the East‘, but also the ‗Jerusalem of the East‘ ([6], p. 264). It is interesting to note that even in the early 19 th century, Protestant missionaries like Robert Morrison had already entertained such ideas of respecting ‗heathen‘ cultures and working to promote better understanding of different cultures through the study of their languages and literatures. Morrison had made significant contribution in promoting the study of Chinese literature and culture at the Anglo-Chinese College. There were altogether seven Presidents of the College from 1818 on, until the year 1843 when the College was moved to Hong Kong. The seven Presidents were: William Milne (1818–1822) James Humphrey (1822–1824) David Collie (1824–1828) Samuel Kidd (1828–1832) Jacob Tomlin (1832–1834) John Evans (1834–1840) James Legge (1840–1843) Of the seven Presidents, some were so interested in the study of Chinese language and culture that they later became great Professors of Chinese Studies in well-known universities. For instance, David Collie had completed the translation of The Four Books (《四書》) in 1827 while he was still the President. Samuel Kidd was later appointed as the first Professor of Chinese at the University of London in England. He had trained a great number of students as Sinologists while he was a professor in London. One of his students was James Legge who followed his path and became the seventh President of Anglo-Chinese College at Malacca in 1840. James Legge was well-known for his translation and commentary work on The Four Books (《四書》) and The Five Classics (《五經》), which are still reckoned as authoritative commentaries of Chinese Classics nowadays ([9]; [10], p. 21). Religions 2012, 3 1080 James Legge was later appointed as Professor of Chinese Studies at Oxford University, England and had trained a great number of students to be Sinologists in the late 19 th and early 20 th centuries. As for the training of Chinese students, there were two known Chinese preachers, Leung Fat (Liang Fa, 1789–1855) and Ho Fuk Tong (Hoh Fook Tong, 1789–1855) worth to mention here. They were among the first ordained evangelists and pastors who had made significant contribution to the spread of Christianity in 19 th century China. Leung Fat had helped print the first complete Chinese Bible, which was jointly translated by Robert Morrison and William Milne. He had also written a number of Christian books and pamphlets, one of which was Quan Shi Liang Yan (‗The Benevolent Words to Advice the World‘). The pamphlet had inspired a young scholar, Hong Xiu Quan (1814–1864), who eventually established the ‗Tai Ping Heavenly Kingdom‘ (or known as ‗Tai Ping Rebellion‘) in China in 1851 [11]. The other student, Rev. Ho Fuk Tong was the second Chinese minister ordained by the London Missionary Society in China. He was put in charge of the Union Church in Hong Kong, which had played a significant role in society too ([12], pp. 6–13). James Legge had brought four students to United Kingdom and they became the first group of Chinese students to visit Buckingham Palace and were the guests of the Queen ([10], p. 23). There was another school, the Morrison School, which was set up in 1836, to commemorate the death, and continue the work, of Robert Morrison ([10], pp. 24–28). The president, Samuel R. Brown had brought 3 of his students to the United States in 1847—Yung Wing (Rong Hong 1828–1912), Wong Fun (Huang Kuan 1829–1878), and Wong Shing (Huang Xing 1827–1902). Yung Wing became the first Chinese student to graduate from an American university (Yale College) in 1854. Yung became a lifelong supporter of reform in China. He successfully persuaded the Qing government to send young Chinese students to the U.S. to study Western sciences and technology. During 1872–1875, he brought, altogether, 120 young Chinese students to the U.S. and these students made significant contribution to the modernization of China in the early 20 th century. Yung received an honorary Doctor of Laws from Yale University in its bicentenary in 1876 ([13], p. 83; [14], p. 9). The other student, Wong Fun, moved to the United Kingdom after studying for one year at Monson Academy in Massachusetts, and became the first Chinese student to attain a MD qualification as a physician and received a Ph.D. in Medicine from Edinburgh University. Another student, Wong Shing attended Monson Academy for one year and returned to China (Hong Kong) because he had been ill since arriving America. He later became the first Chinese juror in Hong Kong and succeeded Ng Choy as the second senior Chinese member of the Legislative Council in Hong Kong (1884–1890) ([10], pp. 24–28). It was also recorded that in 1823 Malacca‘s Anglo-Chinese College had already stored a collection of 3380 book volumes, of which 2850 were in Chinese and the rest were in European and other Asian languages. Hence, the College would probably be the first Asian Studies research centre in the Far East ([10], p. 18). The Anglo-Chinese College was moved to Hong Kong in 1843 and later continued with a new English name, ‗Ying Wa College‘, while the Chinese name ― 英華書院‖ remained unchanged. The school building has been moved to various places and is presently located at Shum Shiu Po, Kowloon, Hong Kong [15]. Religions 2012, 3 1081 Conclusion: Globalization and Religion In the article, ―The First Globalization: The Internationalization of the Protestant Missionary Movement between the World Wars‖, Dana Robert, an American historian, has reminded us that the Christian missionary movement could be seen as ―the first globalization‖ ([16], pp. 50–67). She argued that Christian missionaries were among the first group of people who had attempted global visions in spreading the Christian gospel and Christian culture to the world, or in their own terminology, ‗the evangelization of the whole world in this generation‘ ([17], p. 504). Indeed, besides Christianity, other religions such as Hinduism, Buddhism and Islam did share similar global visions and spread their religions in similar ways. Hence, they had also contributed greatly to the processes of globalization, especially in the Far East and in Southeast Asia. The history of Malacca and the story of Robert Morrison were really good cases for the study of the significant role of religion in the context of globalization of cultures. In the case of Malacca, religion was indeed a great moving force in such processes of globalization. It was the sending out of missionaries by the Indian Emperors that led to the spread of Hinduism and Buddhism, together with Indian rituals and cultures to the Far East and Southeast Asia. Religion as culture went hand in hand with commerce and politics, and they could not accomplish their work of evangelization so effectively and rapidly without the help of military forces. The coming of the Muslims was found even more vivid when it was seen from a global perspective. It was because of their defeat in Europe by the Christian Crusades that the Muslims were forced to turn to the Far East. The Muslims continued their conquest in Southeast Asia and ruled over Malacca for over a century. The Islamic culture was so imposing that the Malay people had incorporated much of it into their own culture. The religion was even claimed by the Malay Government as its state religion during its independence and Malaysia became an Islamic country. On the other hand, Christianity, whether it was Roman Catholicism, which came in the 16 th and 17 th centuries, or Protestantism, which came in the 19 th and 20 th centuries, had also brought its Christian gospel and Christian cultures to Malacca. However, since they were the ‗late-comers‘ in the state, they became ‗cultural otherness‘ in the non-Christian world in Asia. Peter Beyer, the Canadian sociologist of religion, has suggested this concept of ‗the factor of cultural otherness‘ in his study of globalization and religion ([18], p. 367). When Christian missionaries first came to Malacca as a non-Christian world, they had already identified the local Asian cultures as ‗heresy, heathendom and superstition‘, but very soon they were shocked to find that the Asian cultures—whether they were Indian, Chinese or Malay cultures, or whether they were Hindu, Buddhist or Islamic—were equally civilized and deserved to be respected as ‗cultures‘ too. In the same article, ―De-centering Religious Singularity: the Globalization of Christianity as a Case of Point‖, Beyer raised the issues of authority, orthodoxy, authenticity and legitimacy when Christianity experienced the process of globalization, especially in the 19 th and 20 th centuries. As he saw it, the ‗de-centring of Christianity‘ was expressed in the ‗loss of centralized authority‘ and ‗the separation of religious authority from religious authenticity and legitimacy‘ ([18], p. 369). In other words, global Christianity spawned multiple localizations and particularizations of religion, with the question of religious authority largely divorced from that of authenticity and legitimacy. Hence, Global Christianity had to pay due respect to all local cultures, whether they were European culture, American culture, Asian culture or Chinese culture [19]. Several Religions 2012, 3 1082 of his theses could be found vividly relevant in the case of Robert Morrison and throughout the history of Malacca. For instance, Morrison took a global route to China and arrived in China in 1807. Being a Protestant missionary, he had to learn to move between cultures, not only the crossing between lands and continents, from Europe to North America, then to Asia; or from Great Britain to the United States, then to China. It was also a crossing between cultures, from Western cultures to Asian and Chinese cultures. When Morrison came to Canton, he was not allowed to enter the city as a missionary and he had to respect the local culture. Hence, he worked as an interpreter for the British East India Company and settled to live between Macau and Canton. Morrison began to learn to build bridges between cultures. He started learning Chinese language and Chinese culture, and began to equip himself to be a good interpreter of Chinese culture and a good translator of the Bible into Chinese. He completed The Lord’s Prayer in Chinese Characters (《中文主禱文》) and The Holy Bible (《神天 聖書》). He had written a textbook, A Grammar of the Chinese Language (《中國語文凡例》), together with A Dictionary of the Chinese Language (《華英字典》) [20]. It was in such encounter with Chinese language and culture that Morrison had learned to understand the language and to pay due respect to Chinese culture. He had also found that ‗translation work‘ was not merely a mechanical arrangement of words, but it involved a deeper understanding of cultural and historical contexts, especially when one was dealing with the Chinese language and culture ([21], pp. 1–8; [22], pp. 65–83). Morrison had probably learned it so well that later, when he made a proposal to set up the Anglo-Chinese College in Malacca, he set a dual purpose for the college: ‗Firstly, (it was) to promote two-ways communication between Chinese and European languages and literatures, so that Europeans may be able to learn more about Chinese language and cultures and the Chinese may learn more English and about European cultures; Secondly, to help the peaceful spread of Christianity and East- Asian civilizations‘ ([7], pp. 164–165). In other words, ‗Education‘ was not merely the learning of a language, but also its culture and literature. In addition, ‗Communication‘ must travel two ways, with teachers and students, Europeans and Chinese, both learning from one another at the same time. Hence, what could missionaries do in the process of globalization? It was the building of bridges so that through this ‗two way‘ education, both teachers and students could cross the bridges and enter into communication and dialogue between the two cultures; therefore, they were mutually educated. The term ‗Anglo-Chinese‘ was indeed a great invention. What Robert Morrison attempted to do was the building of bridges, which would link the two cultures together. As a result, the Anglo-Chinese College had produced not only great Chinese scholars who were well-versed with European cultures, but also many great Sinologists for the West, including the two college presidents: Samuel Kidd, who had became the First Professor of Chinese at University of London; and James Legge, who became a Professor of Chinese Studies at Oxford University in England. Both had contributed significantly in the processes of cultural globalization in the past centuries ([10], pp. 18–22; [23], pp. 3–11). In short, the history of Malacca demonstrates clearly the importance of the religious factor in the process of globalization in Southeast Asia, and the missionary work of Robert Morrison has shown how Protestant missionaries learned to respect local cultures, especially Chinese culture in this case, which remained a crucial factor both in the re-thinking of the significant roles played by religion in the process of cultural globalization and also in the conception of the interplay between globalization and religion as we think of it today. Religions 2012, 3 1083 References 1. Beyer, Peter. Religions in Global Society. London: Routledge, 2006. 2. Beyer, Peter, and Lori Beaman, eds. Globalization, Religion and Culture. Leiden, Netherland: Koninklijke Brill, NV, 2007. 3. Batumalai, Sadayandy. A History of Christ Church Melaka of the Diocese of West Malaysia in the Province of S.E. Asia. Melaka, Malaysia: Syarikat Percetakan Muncul Sistem Sdn. Bhd, 2003. 4. Luis Filipe Ferreira Reis Thomaz. ―The Malay Sultanate of Melaka.‖ In Southeast Asia in the Early Modern Era- Trade, Power and Belief, edited by Anthony Reid. Ithaca, N.Y.: Cornell University Press, 1993, chapter 3, pp. 69–90. 5. Lee Su Kim. ―The Peranakan Baba Nyonya Culture: Resurgence or Disappearance?‖ Sari 26 (June 2008): 161–70. 6. Morrison, Eliza Armstrong. Memoirs of the Life and Labours of Robert Morrison, D.D. (1839) Chinese translation by Joe Dunn. Hong Kong: Chinese Christian Literature Council Ltd., 2007. 7. Milne, William. A Retrospect of the First Ten Years of the Protestant Mission to China (1817). Chinese translation by Zhengzhou: Da Xiang Publishing Co. 2008. 8. Brian Harrison, Waiting for China: The Anglo-Chinese College at Malacca, 1818–1843. Hong Kong: Hong Kong University Press, 1979. 9. James Legge. The Chinese Classics (in 5 volumes). Hong Kong: Hong Kong University Press, 1960. 10. Ng, Peter Tze Ming. ―Earliest Protestant Missionary Schools since the 19th Century (In Chinese).‖ In Christianity and University Education in China. Beijing: China Social Sciences Press, 2006, 16–28. 11. Spence, Jonathan D. God's Chinese Son: The Taiping Heavenly Kingdom of Hong Xiuquan. New York: W.W. Norton, 1996. 12. Cha, Shijie. Zhongguo Jidujiao renwu xiaochuan (Biographies of Christian characters in China). Taipei: China Evangelical Seminary Press, 1983. 13. Yung, Wing. My Life in China and America. New York: Henry Holt & Co., 1909, 16–28. 14. Chu, T. K. ―150 Years of Chinese Students in America.‖ Harvard China Review, Spring 2004, 1–9. 15. Lau Siu Lun. Sanctuary of Excellence: The History of Ying Wa College. Hong Kong: The Alumni Association of Ying Wa College Co. Ltd., 2001. 16. Robert, Dana L. ―The First Globalization: The Internationalization of the Protestant Missionary Movement between the World Wars.‖ International Bulletin of Missionary Research 26 (2002): 50–67. 17. See Latourette, K.S. Christianity in a Revolutionary Age: A History of Christianity in the 19 th and 20 th Centuries. Grand Rapid: Zondervan Publishing House, 1962, vol. 5. 18. Beyer, Peter. ―De-centring Religious Singularity: The Globalization of Christianity as a Case in Point.‖ Numen 50 (2003): 357–386. 19. Ng, Peter Tze Ming. Chinese Christianity: An Interplay between Global and Local Perspectives. Leiden & Boston: Brill Publishing Co., 2012. 20. Morrison, Robert. A Dictionary of Chinese Language. Macau: East Indian Company Press, 1815– 1823, 6 volumes. http://en.wikipedia.org/wiki/Jonathan_D._Spence Religions 2012, 3 1084 21. Lamin O. Sanneh. Translating the Message: The Missionary Impact on Culture. New York: Orbis Books, 1989. 22. Zhong, Shao Hua. ―A Study of Morrison‘s Dictionary of Chinese Language: Using the Word ‗Learning‘ as a Case.‖ In East Meets West: Essays Celebrating the Bicentennial of Protestant Christianity in China, edited by Lee Kam Keung et al. Hong Kong: Chinese Christian Literature Council Ltd., 2009, 65–83. 23. Leung, Philip Yuen Sang. ―Crossing Oceans and Building Bridges: A Study of Morrison‘s Experience in China from Cultural Perspectives (In Chinese).‖ In East Meets West: Essays Celebrating the Bicentennial of Protestant Christianity in China, edited by Lee Kam Keung et al. Hong Kong: Chinese Christian Literature Council Ltd., 2009, 3–13. © 2012 by the author; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/3.0/). 
work_a4dezi2ql5aphag37jqg5qbqmm	----	3037 More anthropogenic CO2 in deep ocean than previously thought 3273 Little role for competition in regulating population size 3289 Barley domesticated twice 3663 Isotope analysis details Columbus’ second expedition failure ENVIRONMENTAL SCIENCES More anthropogenic CO2 in deep ocean than previously thought Carbon dioxide (CO2) produced by human activities (anthropo- genic CO2) is a key driver of global climate change. Roughly half of the CO2 generated from the burning of fossil fuels is stored in the oceans, and changing oce- anic carbon concentrations can be indicators of human- generated CO2. Estimating anthropogenic CO2 levels in the oceans has been challenging due to natural variability, the need to estimate preindustrial oce- anic carbon levels, and the different behavior and properties of ‘‘proxies,’’ or indirect indicators of CO2, such as chlorof luorocar- bons. To avoid these problems, Toste Tanhua et al. developed and applied a method to estimate anthropogenic oceanic CO2 in the North Atlantic Ocean, based on measurements of decadal changes in ocean carbon concentrations. The authors determined that an- thropogenic CO2 levels in the deep ocean are higher than previous estimates. These higher CO2 levels could imply a longer-lived ca- pacity of the ocean to act as a carbon sink for the future, but could also show potential for negative impact on calcification by deep-water corals and other organisms. — M.M. ‘‘An estimate of anthropogenic CO2 inventory from decadal changes in oceanic carbon content’’ by Toste Tanhua, Arne Körtzinger, Karsten Friis, Darryn W. Waugh, and Douglas W. R. Wallace (see pages 3037–3042) ECOLOGY Little role for competition in regulating population size Population ecologists have long debated whether population sizes are driven primarily by competition for scarce resources or by en- vironmental factors such as precipitation or temperature. If com- petition is the primary driver of population size, changes in the abundance of one species should be accompanied by compensa- tory changes in the abundance of other species within a commu- nity; that is, there should be a negative covariance. To assess the role of such ‘‘compensatory dynamics’’ on population size, J. Hou- lahan et al. analyzed the amount of covariance in 41 different plant and animal communities throughout the United States and United Kingdom. In these natural communities, species tended to vary positively, contrary to the negative covariance predicted by compensatory dynamics. These results suggest that environmental factors are more important than competition among coexisting species in driving the yearly f luctuations in species abundance within a given community. — M.M. ‘‘Compensatory dynamics are rare in natural ecological communi- ties’’ by J. E. Houlahan, D. J. Currie, K. Cottenie, G. S. Cumming, S. K. M. Ernest, C. S. Findlay, S. D. Fuhlendorf, U. Gaedke, P. Legendre, J. J. Magnuson, B. H. McArdle, E. H. Muldavin, D. Noble, R. Russell, R. D. Stevens, T. J. Willis, I. P. Woiwod, and S. M. Wondzell (see pages 3273–3277) EVOLUTION Barley domesticated twice Since Neolithic times, barley (Hordeum vulgare) has been an important crop, found at human Neolithic sites in Palestine and Syria dating back to 8500 B.C. The grain has also been cultivated for at least 8,000 years in Central Asia, but whether it was domesticated locally or imported from the Middle East remains un- known. Peter Morrell and Michael Clegg show that two independent domestications of barley occurred. The first event occurred within the Fertile Crescent, and the sec- ond occurred 1,500 –3,000 km further east. The authors used DNA sequencing and genetic assignment analysis to examine �60 wild and domesticated barleys. Ten SNPs exclusive to wild and domesticated barley cultivars from east of Iran’s Zagros Mountains were identi- fied, and a number of haplotypes was associated with a ge- netic divide between western barley strains and wild barley found east of the Zagros Mountains. Today, most of the di- versity seen in European and American barley cultivars stemmed from the Fertile Crescent domestication, whereas Concentration of anthropogenic carbon in North Atlantic Ocean. Wild barley in Syria. www.pnas.org�cgi�doi�10.1073�iti0907104 PNAS � February 27, 2007 � vol. 104 � no. 9 � 3017–3018 PNAS Proceedings of the National Academy of Sciences of the United States of America www.pnas.org In This Issue February 27, 2007 � vol. 104 � no. 9 � 3017–3668 D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 most of the diversity seen in barley cultivars from central Asia and the Far East originated from the second domestica- tion event. — B.T. ‘‘Genetic evidence for a second domestication of barley (Hordeum vulgare) east of the Fertile Crescent’’ by Peter L. Morrell and Michael T. Clegg (see pages 3289 –3294) ANTHROPOLOGY Isotope analysis details Columbus’ second expedition failure In 1494, Christopher Columbus established La Isabela, the first European settlement in the New World, on the Domini- can Republic’s north coast, with the aim of discovering and exploiting gold and silver ores. The site was abandoned in 1498, but recent archaeological finds of crucibles, metallurgi- cal slag, and silver-bearing galena seemed to indicate that the expedition had found local sources of precious metals. Alyson Thibodeau et al. report, however, that the lead isotope com- position of La Isabela’s galena does not match any known galena deposits in the Caribbean. Rather, the galena at La Isabela resembles galena de- posits found in Spain. Thi- bodeau et al. infer that these ores were brought over from Spain as a reagent for metal assays during early metal ex- ploration. In addition, most of the slag consists of lead silicate glass, which would be produced if the galena was refined using beach sand instead of the bone ash typi- cally employed in medieval European refining practices. Com- bining these findings with close scrutiny of the archaeological evidence, Thibodeau et al. suggest that La Isabela does not represent some of the first New World mining by Europeans, but rather a desperate attempt by the sur vivors of a failed expedition to extract metals from their own supplies. — N.Z. ‘‘The strange case of the earliest silver extraction by European colonists in the New World’’ by A. M. Thibodeau, D. J. Killick, J. Ruiz, J. T. Chesley, K. Deagan, J. M. Cruxent, and W. Lyman (see pages 3663–3666) Lead silicate glass slag from La Isabela. 3018 � www.pnas.org�cgi�doi�10.1073�iti0907104 D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 
work_a4s2yq3tjvevvm44o5ukvljqum	----	UC Santa Barbara UC Santa Barbara Previously Published Works Title The Boy Problem: Educating Boys in Urban America, 1870-1970 Permalink https://escholarship.org/uc/item/33g9c361 Journal AMERICAN HISTORICAL REVIEW, 120(1) ISSN 0002-8762 Author Chavez-Garcia, Miroslava Publication Date 2015-02-01 DOI 10.1093/ahr/120.1.258 Peer reviewed eScholarship.org Powered by the California Digital Library University of California https://escholarship.org/uc/item/33g9c361 https://escholarship.org http://www.cdlib.org/ for their ethnic origins, noting that their assimilation into mainstream American culture remains incomplete. He characterizes their culture as “American Italian.” Many of them still experience persistent prejudice. Some retain allegiance to their homelands by playing soccer and bocce; they take pride in their Italian her- itage, but identify themselves as more American than Italian. Gems observes that despite Italian achieve- ments in the political, economic, and social life of the United States, “Italian-American monuments are no longer dedicated to Christopher Columbus, or even to national leaders, statesmen or -women, or military he- roes, but to athletic heroes in the popular culture” (pp. 214 –215). Sport and the Shaping of Italian-American Identity is a clear and engaging summary of the experiences of the first four generations of Italians in the United States. Those who are familiar with this saga will find little orig- inal material in Gems’s volume, but they will gain new knowledge about how sport enabled newcomers from Italy to gain entry into mainstream American society while preserving the customs and traditions of their home regions and villages. Gems’s book has a few weak- nesses. It is repetitive, and includes too many digres- sions on the Italian experience in the United States. It also lacks depth on the cultural meaning of soccer and bocce for Italian-American players and spectators. But, on the whole it is a major contribution to a subject ne- glected by specialists in immigration history, and it will enlighten readers from the general public who enjoy learning more about Italian-American participation in and contributions to American sports. GEORGE B. KIRSCH Manhattan College JULIA GRANT. The Boy Problem: Educating Boys in Ur- ban America, 1870–1970. Baltimore: Johns Hopkins University Press, 2014. Pp. 230. $45.00. Julia Grant’s The Boy Problem: Educating Boys in Urban America, 1870–1970 came at an opportune moment when I struggled to understand why my eight-year-old son had difficulties in his fourth-grade class. Unable to sit for extended periods and complete his assignments on time, my son interrupted his peers and his teacher. Rather than linking my son’s problems to what Grant calls the current “moral panic” (p. 2) over bad boys of color, I learned that my son’s difficulties were, instead, tied to centuries’ old notions of acceptable and unac- ceptable behavior—in reality, learning styles—in and outside the classroom. Indeed, Grant’s book forces us to reconsider the ineffective and destructive ap- proaches in attempting to mold racially and ethnically diverse, migrant and immigrant, poor, working-class young boys into productive male citizens. She demon- strates that even when many European American boys in the early twentieth century had the opportunity to escape the clutches of poverty, prejudice, and the ghetto, entrenched racism, intimidation, and violence locked out African American boys from those same av- enues of social mobility, forcing them to occupy the cur- rent ranks of the “boy problem.” Today’s boy problem, she says, is a long-term “consequence of inadequate and punitive schools, poverty, race, ethnicity, and cul- tures of masculinity that emerge as an antidote to op- pressive social structures” (p. 1). Using a thematic and chronological approach, Grant’s study begins by exploring the evolution of mis- guided models for the socialization of the poor, immi- grant, ethnic, and working classes that emerged in the nineteenth century with the explosion of urban centers in the North. Spurred by massive immigration, indus- trialization, and urbanization, social reformers worried about the growing “dangerous classes” and illiteracy, lawlessness, and poverty found in the cities (p. 7). Rather than assisting parents, reformers established re- formatories, orphan trains, and public education aimed specifically at containing boys who they viewed as trou- blesome. Similar institutions for girls emerged, too, but on a smaller scale and they focused on containing sex- uality and inculcating domestic values, underscoring the gendered nature of social reform. The rise in anxieties and beliefs about the inherent, savage nature of boys, an ideology that emerged in the early twentieth century, led reformers to organize ath- letic programs and build boys’ clubs and recreation cen- ters, including the Young Men’s Christian Association (YMCA), to tame and channel boys’ energies into use- ful activities. Compulsory and special education also figured prominently in the social reformers’ approach to handle particularly wayward and problematic boys. To control and contain poor, unruly, and unsupervised boys who posed a moral menace to the larger society, reformers invented the crime of truancy, giving school officials the power to police the bodies of school-age boys in public spaces. In the classroom, reformers turned to the accepted practice of measuring intelli- gence to determine boys’ fitness in the standard edu- cational setting. Reformers then sent boys who scored poorly on the intelligence tests to classes for “back- ward” or “subnormal” children or, in extreme cases, to institutions for the defective and uneducable. The rigid and intolerant culture of the schools, Grant demonstrates, contributed to the development of de- structive peer cultures of delinquency in the early and mid-twentieth century. Robbed of opportunities to demonstrate their promise in the classroom, boys re- sisted schooling, performed poorly, and simply stayed away. To affirm their racial, ethnic, and gendered iden- tities, many of these boys joined gangs and devised al- ternative ways of expressing their masculinity. When child welfare workers sought to reorient such youths to the school setting, they misunderstood the larger con- text in which the boys and gangs operated. Focusing on tapping into the boys’ masculinity as a way to transform their behavior, welfare workers ignored the larger so- cial structures that confined them in and outside the classroom and, in the process, re-inscribed the same no- tions they sought to overturn. Finally, Grant focuses on African Americans, detail- 258 Reviews of Books AMERICAN HISTORICAL REVIEW FEBRUARY 2015 by guest on F ebruary 13, 2015 http://ahr.oxfordjournals.org/ D ow nloaded from http://ahr.oxfordjournals.org/ ing their experiences in the educational setting in the twentieth century, particularly in the 1940s and 1950s, when they came to the attention of the school author- ities in the wake of the Great Migration. Grant details how deeply entrenched racism prevented them from gaining a foothold in the educational system and, in- stead, funneled disproportionate numbers of them to special schools and reformatories. When community leaders brought race and the failure of the educational system to national attention, the focus was primarily on girls and not on boys’ poor school performance. In- stead, the gaze shifted to the boys’ participation in gangs. Grant closes her study with an examination of the most significant developments in special education and juvenile justice in the 1960s and 1970s. While new pol- icies and practices were developed to intervene in the lives of some of the most poorly performing school chil- dren, poor and racial and ethnic minorities, they were largely ignored in favor of mainstreaming and, later, inclusion of “special needs” children, not necessarily boys of color. Boys and boys of color, in particular, she concludes, continue to be overrepresented in special education and the juvenile justice systems. Grant’s study is successful for its engaging prose and ability to reach across a broad variety of fields, includ- ing education, juvenile justice, and childhood, youth, and gender studies, to delineate the interlocking his- tories of institutions of social control for young people and reveal the deeply entrenched ideologies of gender, class, ethnicity, and race that shaped their establish- ment and their development in the nineteenth and twentieth centuries. Though not her focus, the inclu- sion of Latino boys in her analysis would have brought new insight to understanding how social reformers’ fixed notions of gender, class, ethnicity, and race in the twentieth century served to disempower many, if not most, boys of color in classrooms throughout the United States today. This reviewer would have also wel- comed the discussion of African American boys’ expe- riences within each chapter rather than in a separate chapter at the end of the book, for it appears as an af- terthought, though this likely was not the intention. Ul- timately, she argues, we must transform how we think about boys’ and girls’ learning styles in the classroom as well as peer cultures of masculinity if we are to enable students of all backgrounds to reach their educational potential. MIROSLAVA CHÁVEZ-GARĆIA University of California, Santa Barbara ROBERT MACDOUGALL. The People’s Network: The Po- litical Economy of the Telephone in the Gilded Age. (American Business, Politics, and Society.) Philadel- phia: University of Pennsylvania Press, 2014. Pp. 332. $55.00. In an increasingly interdependent world, the expansion of transportation and communication networks to cover more territory and connect more people often seems natural and inevitable. As Robert MacDougall reminds us in this insightful comparative history of late- nineteenth and early-twentieth-century telephone net- works in the United States and Canada, however, the introduction of technologies of reach such as the rail- road, telegraph, and telephone has frequently been more contentious and contingent than is commonly perceived. Questions regarding access to and authority over telephone networks produced fierce commercial, political, and cultural battles in both countries. In the United States, they also generated the independent te- lephony movement, a viable alternative to the domi- nance of the American Telephone and Telegraph Com- pany (AT&T) and its predecessor, American Bell. One of MacDougall’s objectives is to uncover the dramatic but forgotten early history of the North Amer- ican telephone networks. The drama of those early years has been neglected, he argues, because AT&T has written or commissioned much of the published history of the telephone. Even independent scholars have re- lied heavily on the records in the AT&T archives. There is also a tendency in the history of technology to treat the most recent device or system as the most logical one and ignore the choices made along the way and possible alternative outcomes. Consequently, the history of the telephone has focused on the gradual expansion of AT&T’s high quality network across the nation. Mac- Dougall has scoured trade journals, the records of AT&T’s early rivals, and municipal archives to shed light on the independent movement and its “vision of ‘a telephone for the people’” (p. 4). The independents favored decentralized, locally owned and locally ori- ented telephone networks that offered less expensive but lower quality service to a broader swath of the pop- ulation. A second objective is to highlight the role of political economy in shaping technological outcomes. According to MacDougall, the key determinants in the develop- ment of the independent telephony movement were the involvement and relative power of municipal govern- ments. In areas where local government actively en- gaged the telephone industry, there was more compe- tition, wider and earlier access to telephone service, and a more frivolous culture of telephone use. In towns and cities without such municipal involvement, there was less competition, better quality but more expensive telephone service, and a more formal telephone cul- ture. MacDougall’s third objective is to compare the de- velopment of the telephone networks in the United States and Canada. In regions of the United States with active municipal governments, such as the Midwest and the West, independent telephony thrived. In 1907, “in- dependents controlled more than half of the six million telephones in the United States” (p. 2). In Canada, where Parliament regarded the telephone as a work for national benefit and cities had much less political power, municipal politicians accepted local monopo- lies. Ironically, the nationalist vision of the telephone in Canada ultimately undermined attempts to create a sin- Canada and the United States 259 AMERICAN HISTORICAL REVIEW FEBRUARY 2015 by guest on F ebruary 13, 2015 http://ahr.oxfordjournals.org/ D ow nloaded from http://ahr.oxfordjournals.org/ 
work_a7nnjyoqczevtaiauygocekmmi	----	R. Price Caribbean pepper-pot In: New West Indian Guide/ Nieuwe West-Indische Gids 58 (1984), no: 1/2, Leiden, 89-98 This PDF-file was downloaded from http://www.kitlv-journals.nl Downloaded from Brill.com04/06/2021 01:09:21AM via free access REVIEW ARTIGLES CARIBBEAN PEPPER-POT Amerindians of the Lesser Antilles: a bibliography. R O B E R T A. M Y E R S . New Haven CT: Human Relations Area Files, 1981. x + 158 pp. (Paper US$ 15.00) Santo Domingo en los manuscritos de Juan Bautista Munoz- R O B E R T O MARTE (ed.). Serie Documental Vol. I. Santo Domingo, Dominican Republic: Ediciones Fundación Garcia Arévalo (P.O. Box 723, Santo Domingo), 1981. xxxix + 573 pp. (Cloth US$ 15.00) Crónicas francesas de los indios caribes. Edited and translated by MANUEL CARDENAS Ruiz. Rio Piedras, Puerto Rico: Editorial Universidad de Puerto Rico and Centro de Estudios Avanzados de Puerto Rico y el Caribe, 1981. xii + 624 pp. (Paper US$ 20.00) Race and ethnic relations in Latin America and the Caribbean: an historical dictionary and bibliography. ROBERT M. LEVINE. Metuchen NJ: The Scarecrow Press, 1980. viii + 252 pp. (Gloth US$ 14.50) Dictionary of Afro-Latin American civilization. BENJAMIN N U N E Z , with the assistance of the African Bibliographic Center. Westport CT: Greenwood Press, 1980. xxxv + 525 pp. (Cloth US$ 45.00) The Jamaican national bibliography 1964—igj4- INSTITUTE OF JAMAICA, KINGSTON. Millwood NY: Kraus International, 1981. viii + 439 pp. (Cloth US$ 120.00) Downloaded from Brill.com04/06/2021 01:09:21AM via free access g o REVIEW ARTICLES Towards a bibliography of African-Caribbean studies igjo-ig8o. BEVERLEY HALL-ALLEYNE, GARTH WHITE, MICHAEL COOKE (eds.). Kingston, Jamaica: African-Caribbean Institute of Jamaica, 1982. ii + 37 pp. (Paper n.p.) Les migrations antülaises: bibliographie sélective et annotêe. M A R I A N N E KEMPENEERS & RAYMOND MASSÉ. Montréal: Centre de Recherches Caraïbes de l'Université de Montréal, 1981. 53 pp. (Paper n.p.) Latin America: a guide to illustrations. A. CURTIS W I L G U S . Metuchen NJ: The Scarecrow Press, 1981. xxviii + 250 pp. (Cloth US$ 16.00) Encyclopaedie van Nederlandsen West-Indië. H . D. BENJAMINS & J O H . F. SNELLEMAN (eds.) Unchanged reprint of the original edition, The Hague-Leiden, 1914—191 7. Amsterdam, S. Emmering, 1981. xi + 782 pp. (Cloth Dfl. 65.00) Dutch authors on West Indian history: a historiographical selection. M. A. P. MEILINK-ROELOFSZ (ed.), translated by MARIA J. L. VAN YPEREN. Koninklijk Instituut voor Taal-, Land- en Volkenkunde Translatiori Series 21. The Hague: Martinus Nijhoff, 1982. viii + 384 pp. (Paper Dfl. 95.00, US$ 41.50) The Jewish nation in Surinam: historicalessays. R O B E R T C O H E N (ed.). Amsterdam: S. Emmering, 1982. 103 pp. (Paper Dfl. 65.00) Metamorphosis insectorum Sunnamensium of de Verandering der Suri- naamse insecten: metamorphosis of the insects of Surinam. M A R I A SIBYLLA MERIAN. Edited by CHRIS SCHRIKS, with translations by P. A. VAN DER LAAN. Zutphen: De Walburg Pers, 1982. Unpagi- nated. (Cloth Dfl. 69.50) De wisselende gedaante: facetten van Maria Sibylla Merian. J . E. V . D . LAAN. Zutphen: Uitgeverij Terra, 1980. 46 pp. (Paper n.p.) Reis door Suriname: beschrijving van de Nederlandse bezittingen in Guyana. Downloaded from Brill.com04/06/2021 01:09:21AM via free access REVIEW ARTICLES g i P. J. BENOIT. Translated and edited by CHRIS SCHRIKS, with an English summary by SILVIA W. DE GROOT. Zutphen: De Walburg Pers, 1980. 99 pp. + 99 colored plates. (Cloth Dfl. 95.00) Avonturen aan de Wilde Kust: de geschiedenis van Suriname met zijn buurlanden. ALBERT HELMAN. Alphen aan den Rijn: A. W. Sijthoff, 1982. 208 pp. (Cloth Dfl. 52.50) The current sampling of reference tomes — intended to complement those in Price 1980 and 1982 — resembles that pinnacle of aboriginal Caribbean cuisine, the pepper-pot: for it, too, "is a compound of the most heterogeneous description" (Cassidy & Le Page 1967: 346), sometimes "palate-scorching," sometimes "delicate," "a kind of devil's broth" (OED, s.v. Pepper-pot), something to dip into time and again, with a some- what different flavor on each occasion, since new ingredients are added to the pot each day. Recent works devoted to Caribbean Amerindians seem a fitting starting place. Myers' workmanlike bibliography is easily the most comprehensive available guide to its subject, with some 1300 unannotated references by nearly 500 authors (vs. about 200 comparable references in Comitas' Complete Caribbeana). The author, a social anthropologist whose own research has been with the Carib of Dominica, carried out archival and library visits in Jamaica and London as well as in major U.S. repositories, to produce six alphabetical listings, divided into Archaeology and Prehistory; Archives, History, Travel and Description, and Social Science Research; Languages; Biology, Nutrition and Medicine (very brief); and Literature (also very brief). There are both geographical and authors' indexes, as well as a thoughtful Preface. Myers' work provides a focused and selective counterpart to the more ambitious but far spottier pan-Caribbean Amerindian bib- liography compiled by Sued Badillo (1977); that earlier work does, however, include a significant number of items on the Lesser Antilles not in Myers', and the two might usefully be consulted together. Marte's impressive compilation of early manuscripts on Santo Domingo will be welcomed by a broad range of Caribbean his- Downloaded from Brill.com04/06/2021 01:09:21AM via free access g2 REVIEW ARTICLES torians and anthropologists. Drawn from the magnificent Colección Munoz in the Real Academia de la Historia in Madrid — Mufioz: was the eighteenth-century historian who founded the Archivo General de Indias and whom Carlos III designated Cosmógrafo Mayor de Indias — these varied documents (includ- ing maps and other illustrations) span the years from Columbus' second voyage to the mid-sixteenth century. Marte provides a helpful historiographical introduction, careful annotations, a glossary, and indexes. This first volume is a most auspicious beginning for the new documentary series from the Fundación Garcia Arévalo, which has been so active in recent years in publishing archaeological, historical, and ethnographic works on the Dominican Republic. Crónicas francesas, which has a comprehensive ninety-page Introduction by Ricardo Alegria, offers a judicious selection of seventeenth-century French witnesses to the Carib world, with readable Spanish translations and careful notes by Cardenas Ruiz. Samplings from the well-known works of Rochefort, Du Tertre, de la Borde, and Labat are complemented by those of such lesser-known observers as Du Puis, Chevillard, and Coppier, and contemporary engravings are scattered through the text. Overall, this is an attractive book and another significant step in bridging insular and linguistic boundaries; it should be welcomed by stu- dents throughout the hispanophone Caribbean. The two recent "dictionaries" — one on Afro-Latin American civilization, the other on race and ethnic relations — contrast dramatically in quality and potential usefulness. Levine's book is almost an affront to scholars, librarians, and the people whose lives it documents, and should never have been published. The effect of reading its individual definitions is cumulative; the com- bination of errors, misinformation, and idiosyncratic selectivity truly boggled this reader's mind. From its remarkable definition of "Negro": "One of the major races of mankind, characterized by slight body hair, small ears, wooly or frizzed head h a i r . . . , " it goes straight downhill: the interested reader might try, at random, the entries s.v. "Jewish Maroons," "Talkie-Talkie," "FESTAF," "Compadrazgo," "Chichicastenango Drunkenness," or "Racial Endogamy," and decide whether the appropriate response is to Downloaded from Brill.com04/06/2021 01:09:21AM via free access REVIEW ARTICLES 9 3 laugh or to cry. Nufiez' more substantial dictionary (4,500 en- tries) contains a good deal of mainly accurate, if necessarily selective, information. A side-by-side comparison with Levine's work (s.v., for example, Abeng, Beké, Bozal) quickly reveals the contrasting quality of their definitions. Nevertheless, such a dic- tionary — one volume, largely single-authored — must remain so selective that its usefulness seems limited largely to beginning students. Considering the genuine richness of more geographi- cally focused dictionaries such as that by Cassidy & Le Page for Jamaica (1967) or Holm & Shilling on the Bahamas (1982), or of Herdeck's encyclopedie work on Caribbean writers (1979), one might question whether a book that very selectively sprinkles, for example, writers and root crops amidst Afro-Brazilian cults and Jamaican proverbs is ultimately worth the very serious efforts and expense that went into its production. The Jamaican National Bibliography, 1964— igy4 is a somewhat problematical, if handsomely printed and bound, endeavor. For its core is the "Jamaican" portion of the West India Reference Library, Institute of Jamaica, covering items acquired and catalogued between 1964 and 1974. Yet its publisher, Kraus International, brought out in 1980 a six-volume comprehensive catalogue of that same library, explicitly including all items catalogued through 1975. It seems curious that this latest volume not only includes a significant number of items not in the larger set (explicable, in part, because the new one covers the relevant holdings of several additional local repositories) but also lacks many apparently relevant items from the former collection. In any case, the entries in the newer, more specialized publication have been carefully printed and proofread, in contrast to the photo-offset uncorrected card-catalogue approach of the larger work (see Mintz 1982, Price 1982). The idea of an ongoing national bibliography for Jamaica is certainly laudable; the apparent lack of coordination of bibliographical endeavors even within one Caribbean state must, however, be deplored. At the opposite financial end of the reference book production continuüm, the African-Caribbean Institute of Jamaica has issued a modest, mimeographed checklist covering the last decade of African-Caribbean studies. Divided into General Works, Art, Downloaded from Brill.com04/06/2021 01:09:21AM via free access 9 4 REVIEW ARTICLES Family Structure, Religion, and so on, it is a necessarily prelimi- nary compilation that is, nonetheless, guaranteed to add at least a few unknown items to the bibliographic knowledge of even the most knowledgeable Afro-Americanists. May this kind of spe- cialized, labor-intensive bibliographic work continue! Les migrations antillaises is an annotated, very selective biblio- graphy that will prove useful to beginning researchers interested in the geographical movement of Caribbean peoples. Thirty- three references about migration to Canada are followed by twenty-seven on the U.S., thirty-three on Europe and fifty-six on internal and return migration. The academie subject matter, like the social facts it addresses, continues to experience runaway growth, and a fuller bibliographic survey would now be most welcome. The Guide to Latin American (and Caribbean) illustrations, according to its author, "fills a gap in publications in English relating to Latin America by providing an aid for a better under- standing of the rise and development of these countries" (v), and he considers it a supplement to the twenty-three historical diction- aries to which Levine's work belongs. It is, unfortunately, a fitting supplement to that publishing venture. For Wilgus' own dis- claimers about incompleteness and limitations do not begin to signal the volume's fatuousness. What reader — student, scholar, librarian, general reader — would benefit from consulting the pictorial references he chooses to cite? Consider these complete examples, from the Dutch, British, and French Caribbean: the full listing under "Bush Negroes" (surely one of the most photo- graphed of all Caribbean populations) consists of a 1954 Américas article and a single plate from a general book on South America; under "Dominica" one also finds but two sources, the twenty- volume Peoples of the earth encyclopedia and a plate labelled "water fall"; and for the picturesque island of Martinique there are but the following five sources (fully representative of the kinds of sources throughout the volume) — The tropics, Peoples of the earth, The West Indian islands, Christopher Columbus, and the National Geographic. Compiling a successful guide to Latin American il- lustrations would be a massive enterprise, one that new tech- nology could bring within the reach of the team of knowledgeable Downloaded from Brill.com04/06/2021 01:09:21AM via free access REVIEW ARTICLES 9 5 specialists, from different countries, that would be necessary to accomplish it. The present volume, to which the author appar- ently devoted considerable labor, seems a thoroughly misguided effort. The Encyclopaedie van Nederlandsen West-Indië, written more than six decades ago, represents to my mind the pinnacle of Dutch colonial scholarship on the Caribbean. The publication by teams of modern experts of an Encyclopedie van de Nederlandse Antillen in 1969 and an Encyclopedie van Suriname in 1977 in no way detracts from the achievement or continued usefulness of many of the articles in the original volume; it remains a major storehouse of historical, geographical and biographical information. S. Emmering deserves our thanks for continuing to make available once again important historical sources on the history of the Netherlands West Indies and Suriname. Two other volumes make traditional Dutch scholarship on the Caribbean available for the first time to an English-speaking audience. Meilink-Roelofsz provides a forthright, informative guide to Dutch historiography on "the West" during the first half of the twentieth century. The authors — many of whom will be familiar to readers of this journal — include, in addition to the editor, Bijlsma, Unger, van Winter, van Hoboken, van Dillen, van Overeem, Knappert, de Gaay Fortman, Kesler, and van Grol. The historiographical record, as she describes it and as the translated articles clearly attest, is far from overwhelming — Dutch colonial historians gave relatively little attention to their Caribbean possessions until very recent decades, and the selec- tions she had to choose from were in many respects disappointing. But this is an honest and representative sampling, made more useful by the introduction and biographical notes. Cohen's selec- tion of historical essays on the Jews of Suriname vombines more traditional with modern scholarship: four previously published pieces (by van Lier, Bijlsma [the same article that appears in Meilink-Roelofsz], Rens, and Schiltkamp) and three new ones, all presented here in English. Together they constitute a brief, some- what miscellaneous introduction to an important corner of Carib- bean history. There is a faintly hagiographic tone to parts of the book, with more stress on the Enlightenment values and learning Downloaded from Brill.com04/06/2021 01:09:21AM via free access g 6 REVIEW ARTICLES than on the often brutalizing day-to-day activities of eighteenth- centuryjewish planters, but the competent original essays by Van der Meiden, Loker & Cohen, and Cohen do cover new historical ground. Most notable, perhaps, is a lengthy late eighteenth- century prayer written by a local cantor, presented here in both the original Hebrew and in English, which pleads for the Almighty's assistance against "our enemies, the cruel and rebelli- ous Blacks [maroons]," and prays that "terror and dread shall fall upon them." Finally, some recent largely-pictorial perspectives on the his- tory of Suriname. Two new editions of the stunning work of Maria Sibylla Merian bear witness to the continued interest in this pioneer naturalist, whose brief stay in Suriname ended in 1701. The Walburg Pers edition presents the complete Dutch version, reduced in page size from the original, with new English sum- maries facing each of the sixty plates, making a color version of the whole work available for the first time to a wide audience. De wisselende gedaante, in contrast, simply presents eleven of the plates with their original Dutch commentary, interspersed with bio- graphical information about Merian. One curiosity is that the Terra and Walburg Pers editions claim to have used the same Suriname Museum illustrations for reproduction, yet the Terra plates show lightly colored backgrounds and, in most cases, hand- written engraver's signatures, while the Walburg Pers plates — which seem garishly tinted and are printed on a white background — have the signatures dropped out and are all printed reversed. The interests of social scientists, as opposed to natural historians, in Merian's work derives largely from her several references to the uses of local plants by African slaves and Amerindians (e.g., the slaves' use of the seeds of Flos pavonis as an abortifacient) and from her fortuitous residence, during part of her Suriname stay, at the illfated Labadist retreat, Providence Plantation, whence a large number of rebel slaves escaped to become one of the founding clans of the Saramaka Maroons (see Price 1983). De Walburg Pers, with financial support from Suralco, has brought out yet another colored edition of Benoit's Surinam, originally published in French in 1839 and reprinted in a fine facsimile edition by S. Emmering in 1967 — this time in a Downloaded from Brill.com04/06/2021 01:09:21AM via free access REVIEW ARTICLES 9 7 reduced-page-size Dutch translation with an introduction by Chris Schriks and a fairly extensive English summary/com- mentary (originally published to accompany the Emmering fac- simile) by Silvia W. de Groot. This edition, the least expensive currently available, should serve to allow a wider audience, in- cluding many Surinamers, to enjoy for the first time this nineteenth-century classic. Albert Helman's richly illustrated adjosi to Suriname expresses a panoramic yet deeply poetic vision of his native land. From the opening pages of this oversized book, which overwhelm the reader with the geographical vastness and mystery of the rivers and forests of the Wild Coast, to its leisurely meanderings through colonial history, text and illustrations consistently complement each other and delight both eye and mind. In a work of this sort, occasional infelicities can be excused — the uncredited illustration on p. 141 in fact depicts a scène in Dominica, not Suriname; the plantation on p. 91 is Palmeneribo, not Palmenizibo; and so on. This is primarily a work of synthesis, a popular and accessible book that is at once a fine introduction for the general reader, and a provocative vision for the specialist to ponder. Taken together, this pepper-pot of fifteen books certainly con- stitutes a sufficiently "rare Soop," what one seventeenth-century observer (Cassidy and Le Page 1967, s.v. Pepper-pot) called "an excellent Breakfast for a Salamander, or a good preparative for a Mountebanks Agent, who Eats Fire one day, that he may get better Victuals the next." REFERENCES CASSIDY, F. G. & R. B. LE PAGE, 1967. Dictionary of Jamaican English. Cambridge: Cambridge University Press. HERDECK, DONALD E., et al., 1979. Caribbean wnters: a bw-biblwgraphical-critical encyclopedia. Washington, D.C.: Three Continents Press. HOLM, JOHN A. with ALISON W. SHILLING, 1982. Dictionary of Bahamian English. Cold Spring, N.Y.: Lexik House. MINTZ, SIDNEY W., 1982. Review of The Catalogue of the West India Reference Library. Revista Interamericana 12. Downloaded from Brill.com04/06/2021 01:09:21AM via free access 9 8 REVIEW ARTICLES PRICE, RICHARD, 1980. "So many different people in the same device": recent Caribbean bibliography. Nieuwe West-Indische Gids 54: 39—44. — 1982. Opodron: new pathways to Caribbean Knowledge. Nieuwe West-Indische Gids 56: 83-89. — 1983. First-Time: the historical visionqfan Afro-American people. Baltimore and London: Johns Hopkins University Press. S U E D B A D I L L O , J A L I L , 1977. Bibliografia antropológica para el estudio de los pueblos indigenas en el Caribe. Santo Domingo: Fundación Garcia Arévalo. RICHARD PRICE Department of Anthropology The Johns Hopkins University Baltimore MD 21218, U.S.A. Downloaded from Brill.com04/06/2021 01:09:21AM via free access 
work_acqttxb5ifebzn4remaruop5ae	----	Obituaries 272 Obituaries Drummond Hoyle Matthews, an Antarctic geologist who became one of the leaders in the understanding of plate tectonics, died in Taunton, Somerset, on 20 July 1997 at the age of 66. Matthews began research as a field geologist in the Falkland Islands Dependencies Survey (FIDS, now the British Antarctic Survey). He made the main contribution to the current geological understanding of the South Orkney Islands, but his Antarctic work was overshadowed by later accomplishments. In the weeks after his death, there were obituaries in The Independent (1 August), The Times (12 August), The Guardian (14 August), and Nature (7 August). Bob White, his former student and now professor of geophysics at the University of Cambridge, described him as one of the chief architects of the plate tectonics revolution. This accolade was earned for the recognition of patterns in magnetic anomalies and bathymetric features on either side of mid-ocean ridges and the sustained follow-up of those discoveries. In the five years from 1967 to 1972, the Cambridge marine geophysical group led by Matthews made 33 seagoing expeditions, and in the following dec- ade another 39 voyages were made to all oceans of the world. The esprit among that small group of scientists and technicians is reflected in Matthews' own memory of the time as the 'heroic' period of ocean exploration. Matthews was born on 5 February 1931 and grew up by the sea in Porlock, Somerset, an only child whose father died when he was young. He soon developed a passion for sailing. At Bryanston School, he did well and was greatly respected by staff. In September 1949, he became a midshipman in the Royal Navy, and he served in the Mediterranean Fleet before completing national service with the rank of Lieutenant. At King's College, Cambridge, he soon seemed des- tined for postgraduate studies, but in 1955 he graduated with only an average degree in geology and petrology. His mentor, Maurice Hill, still wanted him in the Department of Geology and Geophysics, but Matthews decided to try something else first. Cambridge had many Antarctic contacts, so it is hardly surprising that he was attracted to FIDS, although he committed himself to only one winter south. In 1955 a new hut had been built at Signy Island, and the following years were to be devoted to topographical and geological surveys of the South Orkney Islands. Only a week before sailing, Matthews learned that Derek Maling had already done two years of geology at Signy and Coronation islands. A last-minute attempt to meet failed, and Matthews did not benefit from Maling's experience until he had been in the South Orkneys a year and had almost completed his own fieldwork. Most fieldwork on Signy Island could be undertaken alone in days out from base. Coronation Island was a more serious undertaking, and throughout his time on the island Matthews was accompanied by the late Douglas Bridger (surveyor) and other members of Base H. Access to Coronation Island from Signy depended upon the state of the sea and/or ice. There were two dog teams at base, but 1956 was one of those rare winters when no fast ice formed between the islands. Two small clinker-built boats were in constant use as long as there was open water and in loose pack whenever it seemed feasible. Matthews was in his element, and his skill in handling boats rubbed off on everyone. He was adept at sculling over the stern with one oar 'fishwife fashion,' which was the ideal way of pushing a boat through brash. During the winter of 1956, the highlands of Coronation Island remained shrouded in orographic cloud for weeks at a time, making surveying impossible and glacier travel hazardous. During prolonged lie-ups, books became as important as rations. Short spells of good weather eventu- ally allowed the main objectives to be achieved. In the summer of 1955/56, a party was landed by ship at Meier Point to survey the west end of Coronation Island. The following summer another party led by Matthews was landed by ship at the eastern end of the island and worked from a base camp at Rayner Point. Towards the end of their time there, Matthews attempted to extend the geological survey eastwards by taking their one boat across the Lewthwaite Strait to Powell Island. This endeavour was thwarted by lack of a beach, so Matthews leapt onto the rocky coast for a few hours while Sandy Hall cruised about offshore. They landed briefly at Whale Skerries on the way back, then some days later returned to map these islets, camping on one of them. After RRS Shackleton had picked up the party from Rayner Point, Matthews and Hall landed briefly at two sites on Fredriksen Island and then had one last encounter with Coronation Island, an hour or so at Palmer Bay on one of the north coast promontories. Altogether Matthews had been on Coronation Island for 263 days. In the summer of 1957, Matthews returned to the FIDS Geology Group, recently set up under R.J. Adie at the University of Birmingham. The geology of the South Orkney Islands was to appear in three parts, each one published as a separate FIDS Scientific Report. Matthews and Maling submitted their contribution to 'Part I. Signy Island' in January 1959; it was eight years before it was published (Matthews and Maling 1967). By December 1959, Matthews had submitted 'Part II. Coronation Is- land,' but that significant work never appeared in his name (Matthews 1959b). He published two other papers: a technical note (Matthews 1958) and a review of the Scotia Arc incorporating marine interests that were to dominate OBITUARIES 273 the rest of his career (Matthews 1959a). Matthews received his PhD from Cambridge in 1961. He then served as a senior assistant in research in Cam- bridge's Department of Geodesy and Geophysics, where his investigations ofthe sea-floor helped him become one ofthe first scientists to understand plate tectonics. He later was promoted to assistant director of research (1966) and then to reader in marine geology (1971). With later colleagues, Matthews was apt to dismiss his early career with hints that those years were not all they might have been. Nevertheless, he was much moved by the Antarctic, and those who shared the experience re- member him as a friend with a subtle sense of fun, and as a reliable, thoughtful companion deeply committed to science, who always went the extra mile. W.LN. Tickell References Matthews, D.H. 1958. Dimensions of asymmetrical folds. Geological Magazine 95: 311-313. Matthews, D.H. 1959a. Aspects ofthe geology of the Scotia Arc. Geological Magazine 96: 425-441. Matthews, D.H. 1959b. The geology of the South Orkney Islands: II. Coronation Island. Unpublished paper. Cam- bridge: British Antarctic Survey Archives E53/GY14/6/ 1: 1-66. Matthews, D.H., and D.H. Maling. 1967. The geology of the South Orkney Islands: I. Signy Island. FIDS Scientific Reports 25: 1-32. Anne-Stine Ingstad, the Norwegian archaeologist, died at her home in Oslo on 6 November 1997, aged 79. By her excavations, she authenticated the first undoubted Norse ruins in North America, discovered by her husband Helge, scholar, sailor, and writer. Her husband, whom as Anne-Stine Moe she married in 1941, became interested in the Norse voyages after a visit to a Norse excavation in Greenland in the early 1950s. A study ofthe Icelandic sagas guided him on a long quest in the wake of Eric the Red and other Norse explorers. The climax of his quest came in 1960, when he sailed his ship from Greenland across to Labrador and southwards in search of Norse settlement sites. At L'Anse aux Meadows, his attention was drawn by a local man, George Decker, to some grassy mounds that Ingstad recognized as possible remnants of Scandinavian sod houses. The seven subse- quent summers of archaeological work directed by Anne- Stine were to prove his hunch correct. Anne-Stine enhanced the educational value of the project by using several local workers as part of her team, all of whom remember her with warm affection. During the excavations, the foundations of eight buildings were gradually uncovered, including a large house almost iden- tical to Leif Ericsson's 'great hall' in Greenland. An area used for smelting bog iron was also discovered, and artefacts such as a small stone spindle-whorl and a bronze tunic pin of Norse design were found. The Ingstads thought it more than probable that L'Anse aux Meadows was the place referred to in the sagas as 'Leifsbudir,' which had been the site of several winterings in Vinland. The radiocarbon (C14) method showed AD 1000+ 100 years as the date for the site, which accorded well with those indicated in the sagas. The Ingstads left further excavations to Parks Canada after 1968, but maintained a close interest in L'Anse aux Meadows, which, in 1980, to theirdelight, was declared by UNESCO an official World Heritage Site. Historical tourism at this site has since provided a valuable boost to the economy of a region hard hit by the ban on cod-fishing in Newfoundland's coastal waters, imposed by the Cana- dian government in 1992. After her work in Newfoundland, Anne-Stine Ingstad returned to the University of Oslo, where she had her book published in 1977: The discovery of a Norse settlement in America: excavations at L'Anse aux Meadows, 1961— 1968. In 1979, she received an honorary doctorate from Memorial University, St John's, Newfoundland. She and her husband set the seal on their work in Newfoundland with the publication by the Oslo University Press of The Norse discovery of America (1986) in two volumes. In 1991, the Royal Geographical Society honoured the Ingstads by awarding them jointly the Patron's Gold Medal. In their quiet and modest way, they took a wry pleasure in receiving it in the year before thequincentennial celebrations ofthe official discovery of North America by Christopher Columbus. Anne-Stine Ingstad is survived by her husband (now 98), their daughter Benedicta, and their grandchildren. Selma Barkham Geoffrey Hattersley-Smith 
work_anfzciqq3ndopdnovio4xldygq	----	EDITORIAL Meet the contributors Nicola Oberbeckmann-Winter Published online: 14 December 2011 # Springer-Verlag 2011 This opening issue of Analytical and Bioanalytical Chem- istry for 2012 celebrates the 10th anniversary of Analytical and Bioanalytical Chemistry and highlights current re- search by the Editors and members of the International Advisory Board. The strong commitment and dedication of the Editors and Advisory Board have been of enormous value in establishing ABC as an international journal of high rank and standing, publishing innovative research papers from all areas of analytical and bioanalytical science. In preparing this special issue, we are grateful for the overwhelming support we have received and thank the contributors for generously providing thirty-four research papers, nine critical reviews, and seven trend articles from the forefront of their research. Below, we invite you to meet the contributors to this exceptional 10th anniversary issue. Edgar A. Arriaga was Fesler–Lampert Chair in Aging Studies from 2007 to 2008 and is currently Professor of Chemistry at the College of Science and Engineer- ing, University of Minnesota, Minne- apolis, MN (USA). He is also a graduate of the Faculty of Biomedical Engineering, Gerontology, Molecular Biology, Biochemistry and Biophysics. He is a chartered member of the National Institutes of Health (NIH) Review Study Section Emerging Bio- technologies. His research program focuses on the development of bioana- lytical methods to investigate tissue complexity, single cells, and subcellular compartments. Applications of these methods include determination of the subcellular fate and metabolism of xenobiotics, and investigating subcellular processes associated with the causes of aging. Marco Aurélio Zezzi Arruda is Full Professor at the University of Campinas—Unicamp, Department of Analytical Chemistry, also belonging to the National Institute of Science and Technology—INCT—for Bioanalysis. The main lines of research of his group includes mass (ICP–MS, LA–ICP–MS, MALDI-QTOF-MS, ESI-MS, TWIMS) and atomic spectrometry (FAAS, TS- FF–AAS, ETAAS, ICP–OES), sample preparation, mechanization, and bioanal- ysis with emphasis on proteomics and metallomics. He is the author or co- author over 130 research articles and five books, and is on the Editorial Staff or Advisory Board of four journals. His current research interests include trans-disciplinary work involving the comparative omics of plants (i.e. soybean, sunflower) and human body fluids (i.e. blood serum) to identify possible biomarkers for transgenic species and human diseases, and to evaluate reactive oxygen species production, and (metallo)proteins responses under stress in a given system. N. Oberbeckmann-Winter (*) Analytical and Bioanalytical Chemistry, Springer, Tiergartenstrasse 17, 69121 Heidelberg, Germany e-mail: abc@springer.com Anal Bioanal Chem (2012) 402:15–23 DOI 10.1007/s00216-011-5537-7 Antje J. Baeumner is Professor of Biological Engineering and Director of Graduate Studies in the Department of Biological and Environ- mental Engineering at Cornell Univer- sity in Ithaca, NY, USA. She is on the Board of Directors of the Society of Electroanalytical Chemistry, a member of the Extended Executive Committee of the International Association of Environmental Analytical Chemistry, was the 2010 Chair of the Gordon Research Conference on Bioanalytical Sensors, and has received numerous honors in recent years including being Finalist for the Blavatnik Award of the NY Academy of Sciences, and recipient of a Humboldt Research Fellowship and a German National Science Foundation Mercator Guest Professorship. Her research is focused on the development of micro-total analysis systems and smart lateral flow assays for detection of pathogens and toxins in food and the environment, and for medical diagnostics. Francesco Baldini graduated in physics from the Uni- versity of Florence in 1986. He is Senior Scientist at the Institute of Applied Physics of the National Research Council and his main re- search activity is devoted to the development of optical sensors/sys- tems for chemical and biochemical analysis. He is author of more than one hundred publications on the subject in international journals, in scientific books, and in international conference proceedings. In 2009 he was appointed as a fellow of SPIEC society for his “achievements in biological and chemical sensing in biomedicine”. Damià Barceló Cullerés is Full Research Professor and Deputy Director at IDAEA-CSIC and, since 2008, Director of the Catalan Institute for Water Research (ICRA). From 2009 he has been Visiting Professor at King Saud University, Riyadh, Saudi Arabia. In 2007 he received the King Jaime I Award from the Generalitat of Valen- cia (Spain) on the Protection of Nature. His research interests are in environmental analysis, and the fate and behavior of organic pollutants in water, sediment, and biota, using mass spectrometric techniques, immunoassay, toxic assays and biosensors. During recent years his interests have also included bridging environment and health risks in the field of emerging contaminants. Boguslaw Buszewski is Head of the Chair of Environ- mental Chemistry and Bioanalysis at the Faculty of Chemistry, Nicolaus Copernicus University. He serves as President of the Polish Chemical Society, Vice Chair of the Commit- tee of Analytical Chemistry of the Polish Academy of Sciences, and is a member of the Advisory Board of the Austrian Academy of Sciences. Dr Buszewski is president of the European Society for Separation Sci- ence (EuSSS). His main scientific interests cover environmental analy- sis, chromatography, and related techniques (HPLC, SPE, GC, CZE, adsorption, sample preparation), spectroscopy, utilization of waste and sludge, and chemometrics. He is also the chairman of the Central European Group for Separation Sciences (CEGSS), the chairman of the Societas Humboldtiana Polonorum, and member of the Steering Committee of the Division of Environmental Chemistry of the European Association for Chemical and Molecular Sciences (EuCheMS). Rafael Cela Torrijos is Professor of Analytical Chemistry at the University of Santiago de Compos- tela, Spain, and the Head of the Labora- tory for Analytical Chemistry in the Research Institute of Food Analysis at the same university. Previously, he was at the Universities of Madrid (Complu- tense) and Cadiz, belonging to the group of analytical chemists that started the development of chemometrics in the 1980s in Spain. His research has focused on the analytical applications of separa- tion science, and, particularly, the devel- opment and optimization of sample preparation techniques in chromatographic analysis, including experimental designs and the development of computer-assisted chromatographic methods. He is the author or coauthor of more than 200 scientific papers and several textbooks. Craig A. Aspinwall is an Associate Professor in the Depart- ment of Chemistry and Biochemistry at the University of Arizona, where he has been since 2002. His research focuses on the development and application of opti- cal and electrophysiological sensors and microscale separations for the analysis of biological systems. He is a recipient of the ACS Division of Analytical Chemis- try Award for Young Investigators in Separation Science (2009) and was an inaugural ACS GREET (Global Re- search Experiences, Exchanges, and Training) Scholar (2011). 16 N. Oberbeckmann-Winter Sapna Deo is Associate Professor in the Department of Biochemistry and Molecular Biology at the University of Miami, Miller School of Medicine. Dr Deo’s research interest is in the development of novel nanobioana- lytical techniques based on luminescence and quantum dots for detection of micro- RNAs and RNA molecules for applica- tion in biomedicine, diagnosis, and pathogen detection. Other areas of re- search include development of molecular probes for biosensing and bioimaging applications. Her research also focuses on creating luminescent nanocarriers for targeted imaging and sensing applications in biomedicine. She is a author and co- author of over 70 scientific publications and several patents and a recipient of the NSF-CAREER Award. Erkang Wang was Director of the Changchun Institute of Applied Chemistry. During his active career he acted as visiting professor in the US, France, Japan, and Hong Kong, and has presented over 150 seminars and keynote lectures in 26 countries. He has published more than 900 papers and monographs in international journals. He is member of various prestigious chemi- cal societies, among others the Japan Society for Analytical Chemistry, the Academy of Sciences for the Developing World, and the Chinese Academy of Sciences. Erkang Wang holds more than ten awards from Chinese national and provincial governments and two international awards. His research interest is focused on analytical chemistry, electrochemistry, electroanalytical chemistry, bioelectrochemistry, and environmental chemistry. Jörg Feldmann has held the Chair in Environmental Analytical Chemistry and been Director of TESLA (Trace Element Speciation Laboratory) at the University of Aberdeen (Scotland, UK) for 14 years. He received his PhD from the University of Essen (Germany) and was Feodor Lynen Fellow (Alexander von Humboldt Foundation) for two years at the Univer- sity of British Columbia (Canada). He has pioneered the simultaneous hyphen- ation of ICPMS and ESI-MS to HPLC for determination of labile metal biomol- ecule interactions which are crucial to explaining environmental and biological processes. In addition he uses laser ablation ICPMS extensively for bioimaging of elements. He is author or coauthor of more than 150 peer-reviewed publications. John Fetzer is author or coauthor of over 130 research articles, reviews, and book chapters. He worked for over 20 years as an analytical chemist for the Chev- ron Corporation and now runs his own consulting company, Fetzpahs Consult- ing, in Hercules, CA, USA. He is author of the book Career management for chemists-a guide to success in a chemistry career. Philippe Garrigues is a CNRS Research Director and Head of the Department of Molecular Scien- ces (CRCM, FR 1981 CNRS) at the University of Bordeaux 1, France, with around 200 researchers involved in a variety of chemistry disciplines (theo- ry, analysis, environment, spectrosco- py, synthesis). Dr Garrigues’s personal research interests are analytical aspects (chromatography and spectroscopy) of the detection of organic pollutants and their environmental fate and toxicolog- ical effects. Recently, he has been involved in the development of bio- chemical markers as early warning systems for the toxicological evaluation of ecosystems by coordination of large research projects (i.e. BIOMAR, BEEP) supported by DG Research (European Commission, Brussels). Sylvia Daunert holds the Lucille P. Markey Chair of Biochemistry and Molecular Biology at the Miller School of Medicine of the University of Miami. Previously, she was the Gill Eminent Professor of Chemistry at the University of Ken- tucky where she had a secondary appointment in the pharmaceutical sciences. She is a Fulbright Scholar and recipient of numerous awards, for example the A.F. Findeis Award of the American Chemical Society and the special Creativity Award from the National Science Foundation. Dr Daunert’s research interests are in bionanotechnology at the interface between analytical biochemistry, molecular biology, and bioengineering. Her group uses recombinant DNA technology to design new molecular diagnostic tools and biosensors, with biomedical, environmental, and pharmaceutical applications, based on genetically engineered proteins and cells. The research also focuses on the design of sensing arrays for detection of molecules in small volumes, by use of microfluidics, and in the development of biomaterials for responsive drug- delivery systems. Meet the contributors 17 Walter Giger is Scientist Emeritus at Eawag, the Swiss Federal Institute of Aquatic Science and Technology, and Professor Emeritus at ETH, the Swiss Federal Institute of Technology. He is active as an Independent Consultant for Giger Research Consulting in Zurich and as Adjunct Professor at the Curtin Water Quality Research Centre, Curtin Uni- versity of Technology, Perth, Australia. He is an expert on organic contami- nants in the aquatic environment and in the evaluation of chemical, physical and biological processes determining the environmental fate of chemicals. Since 2009, Dr Giger has chaired the Division of Chemistry and the Environment of the European Association of Chemistry and the Environment of the European Association of Chemical and Molecular Sciences (EuCheMS). Heidi Goenaga-Infante is Principal Scientist at LGC, UK. Her research interests lie in trace element speciation analysis, metallomics research, combined use of elemental and molecular mass spectrometry, size-based element fractionation and the development of reference methods for characterization of “speciated” reference materials and stand- ards. Dr Goenaga-Infante is the UK representative at the Inorganic Analysis Working Group of the CCQM, the inter- national Consultative Committee for Me- trology in Chemistry. Klaus Gustav Heumann is Emeritus Professor of Analytical Chemistry at the Johannes Gutenberg University Mainz. His research inter- ests lie in the development and appli- cation of analytical methods for the determination of trace elements and trace amounts of elemental species, using inductively coupled plasma mass spectrometry, thermal ionization mass spectrometry, different types of optical atomic spectrometry, and elec- troanalysis as detection methods, and high-performance liquid chromatogra- phy, capillary electrophoresis, and capillary gas chromatography as separation methods. He has received several awards, including the Clemens Winkler Medal of the German Society for Analytical Chemistry in 2004 for his scientific lifework and for continuous support of analytical chemistry in Germany. In 2007 he received the European Award for Plasma Spectrochemistry. He is a member of several national and international scientific societies and he was a member of the IUPAC Commission on Atomic Weights and Isotopic Abundances for 12 years and chairman from 1991 to 1995. Jiří Homola is Head of the Photonics Division and Chairman of the Department of Optical Sensors at the Institute of Photonics and Electronics, Prague (Czech Republic). He also is Affiliate Professor at the University of Washington, Seattle (USA) and Associate Professor at Charles University in Prague (Czech Republic). His research interests are in photonics and biophotonics, in particular in optical sensors and biosensors. J. Homola is a recipient of the Roche Diagnostics Prize for Sensor Technology and Premium Academiae. Maciej Jarosz is Chair of Analytical Chemistry at the Faculty of Chemistry, Warsaw Universi- ty of Technology, Poland, Vice-President and treasurer of the Board of the Polish Chemical Society, member of the Board of the Committee on Analytical Chemis- try, Polish Academy of Sciences, Nation- al Representative in the Division of Analytical Chemistry of IUPAC, and member of the Steering Committee of the Division of Analytical Chemistry of EuCheMS. He is author or co-author of 83 original papers and chapters in mono- graphs. His scientific interests focus on cultural heritage preservation (identification of natural products in art works); food and pharmaceutical analysis, and environmental speciation analysis. He was awarded (among others) the Honored Award of the Polish Chemical Society and the Professor Andrzej Waksmundzki Medal—Committee on Analytical Chemistry, Polish Academy of Sciences Award. Günter Gauglitz is Professor at the Eberhard-Karls- University of Tübingen working in analytical and physical chemistry. He was chairman of the GDCh Division of Analytical Chemistry and chaired the Europt(r)ode VIII meeting. He is also member of the DAC in EuCheMS. For the last 10 years his main scientific interests have centered on research on and development of chemical and biochemical sensors with special focus on characterization of the interfaces of polymers and biomembrane surfaces, spectroscopic techniques, use of spectral interferometry to monitor changes in optical thickness of thin layers, and the effects of Fresnel reflectivity at interfaces. 18 N. Oberbeckmann-Winter Uwe Karst has been Full Professor of Analytical Chemistry at the University of Münster since 2005, and was previously Full Professor of Chemical Analysis at the University of Twente, The Nether- lands, from 2001–2005. His current research interests cover hyphenated techniques, speciation analysis, minia- turization, and derivatization. In 2009, he received the Fresenius Prize of the German Chemical Society (GDCh). Takehiko Kitamori is Full Professor at the Department of Applied Chemistry, Graduate School of Engineering, University of Tokyo, and also Dean of the Faculty of Engineering and the Graduate School of Engineering. His research activity covers analytical chemistry, applied laser spectroscopy, and micro and extended nanochemistry. He has re- ceived several prestigious awards, in- cluding the Chemical Society of Japan Award for Creative Work (2006) and the IBM Faculty Award (2008). Rudolf Krska is Full Professor of (Bio)Analysis and Organic Trace Analysis at the University of Natural Resources and Life Sciences, Vienna (BOKU) and Head of the De- partment of Agrobiotechnology (IFA- Tulln) at BOKU. Rudolf Krska, who is also Head of the Center for Analytical Chemistry at the IFA-Tulln, is an expert in food and feed analysis by chromato- graphic, mass spectrometric, and immu- noanalytical techniques. He has established intensive interdisciplinary cooperation with universities and com- panies and has been coordinator and work package leader of several European Commission-funded projects dealing with the determination of mycotoxins and allergens in food. As member of JECFA (Joint Expert Committee for Food Additives) of the FAO/WHO he has evaluated the affect of trichothecenes on humans. Dr Krska is also involved in other international activity, for example two working groups of the European Committee for Standardization. Bernhard Kuster is a chemist by training and obtained his PhD in Biochemistry at the Univer- sity of Oxford, UK. After post-doctoral terms at the EMBL in Heidelberg and Odense University, Denmark, he worked in the biotechnology firm Cellzome for seven years where he held a number of senior research positions. Professor Kuster currently holds the Chair for Proteomics and Bioanalysis at the Technische Univer- sität München and is also head of the department for Biosciences at the TUM. His research interests include chemical biology, cancer drug discovery, and development of technology for proteomics and mass spectrometry. Professor Kuster has published more than 60 papers which have collected over 8,000 citations and he has won awards from the German Society for Mass Spectrometry, the German Academic Exchange Service, and the European Molecular Biology Organisation. Olivier Laprévote is currently Professor of Toxicology at the University Paris Descartes (Faculty of Pharmacy) and at Lar- iboisière Hospital in Paris. He was Group Leader of the Mass Spec- trometry Laboratory of the Institute for Natural Compounds Chemistry at Gif-sur-Yvette (France) until 2008. His scientific interests are in the development of original mass spectrometric methods for character- ization of natural molecules in com- plex biological matrices. Among his past research activity, mass spec- trometry imaging was prominent, with a particular interest in biomedical applications. Kiyokatsu Jinno is currently trustee and Vice-President of Toyohashi University of Technolo- gy, Toyohashi, Japan. His major re- search interests are in molecular recognition in chromatography, reten- tion mechanisms in liquid chromatog- raphy, design of novel stationary phases, miniaturized sample prepara- tion processes with newly designed materials, and their combination for liquid phase separations, development of capillary separation techniques, hy- phenated techniques in chromatogra- phy, and spectroscopy and computer networking in the separation sciences. He has received several awards for his contributions to chromatography and related analytical techniques: the Tokai Chemical Industry Award in 1986, the Russian Tswett Medal in 1996, the University of Helsinki Medal in 1998, the Golay Award in 1999, the Society Award from the Japanese Society for Chromato- graphic Sciences in 2000, and the Society Award from the Japan Society for Analytical Chemistry in 2003. Meet the contributors 19 Frances S. Ligler is the Navy’s Senior Scientist for biosensors and biomaterials and a member and past chair of the Bioengi- neering Section of the US National Academy of Engineering. She has over 350 full-length publications and patents (>7,000 citations), which have led to eleven commercial biosensor products and won her the Homeland Security Award (Biological, Radiological, Nu- clear Field) of the Christopher Colum- bus Foundation and the Presidential Rank of Distinguished Senior Profes- sional awarded by President Bush. Wolfgang Lindner is expert in separation sciences with focus on life-science analysis and material sci- ence, developing diverse stationary phases with dedicated selectivity properties. Among these the chiral stationary phases became the most widely known. Since 1996 Wolfgang Lindner has held the Chair of Analytical Chemistry at the University of Vienna, Austria. He is author and co- author of more than 400 publications. Among other prizes, he has received the Chirality Medal, the A.J.P. Martin Gold Medal, the Halasz Medal, and, very recent- ly, the ACS Award for Chromatography. R. Kenneth (Ken) Marcus is Professor of Analytical Chemistry at Clemson University. Professor Marcus’ research program covers three distinct lines of study: the use of capillary- channeled polymer (C-CP) fibers and films for protein separations; the use of particle beam LC–MS for profiling botanical products (nutraceuticals); and the development of liquid sam- pling-atmospheric pressure glow dis- charge (LS-APGD) microplasmas for spectrochemical analysis. In 2010 he was honored by election to Fellowship of the Royal Society of Chemistry. Hans H. Maurer is Head of the Department of Experi- mental and Clinical Toxicology of the Saarland University in Homburg (Saar). He has published over 200 original papers and 30 invited reviews on his main two areas of research, analytical toxicology (GC– MS, LC–MS) and metabolism of xenobiotics. He has received several international scientific awards, and in 2007 he was awarded the title of Doctor Honoris Causa by the Uni- versity of Ghent, Belgium. Juris Meija is a Research Officer at the Institute for National Measurement Standards, National Research Council, Canada. His research interests encompass the- oretical analytical chemistry, isotope - ratio measurements, and the history of chemistry. He serves as Column Editor for the Analytical Challenge series in Analytical and Bioanalytical Chemis- try and is the Secretary of the IUPAC Commission on Isotopic Abundances and Atomic Weights. Cynthia Larive is Professor of Analytical Chemistry at the University of California, Riverside. Dr Larive’s research in bioanalytical chemistry focuses on the structural char- acterization of carbohydrates and plant- based metabolomics. She has an active research program involving bioanalytical and environmental analytical applica- tions of NMR spectroscopy. Professor Larive is also active in curricular reform and promotion of undergraduate re- search. She is editor-in-chief and princi- pal investigator of the Analytical Sciences Digital Library (http://www. asdlib.org), an Internet-based resource for instructors, students, and practitioners of analytical chemistry. This digital library is a collection of peer-reviewed web sites on topics including pedagogical approaches, analytical techniques, applica- tions, and classroom resources. 20 N. Oberbeckmann-Winter http://www.asdlib.org http://dx.doi.org/ David S. Moore is Research Scientist and Team Leader in the Shock and Detonation Physics Group at Los Alamos National Labo- ratory. Moore received the 2009 Los Alamos Fellows Prize for Leadership in Science and Engineering, and was an Alexander von Humboldt Fellow and a Los Alamos National Laboratory Director’s Postdoctoral Fellow. His research team exploits ultrafast lasers to measure, in real time, chemistry and phase transitions in shock compressed materials, as well as for development of optimum coherent control methods for condensed phase chemistry (initiation of explosives) and the dynamic detection of explosives, especially at standoff distances. David C. Muddiman is currently Professor of Chemistry and Founder and Director of the W.M. Keck FT–ICR Mass Spectrometry Laboratory at North Carolina State University in Raleigh, NC, USA. His research interests include the development and application of advanced separations and mass spec- trometry. His group has presented over 350 invited lectures and presentations at national and international meetings, has published over 175 peer-reviewed papers and reviews, and has been awarded three US patents. He is the recipient of the 2010 Biemann Medal, American Society for Mass Spectrometry, 2009 NCSU Alumni Outstanding Research Award, the 2004 ACS Arthur F. Findeis Award, the 1999 American Society for Mass Spectrometry Research Award, and the Safford Award, University of Pittsburgh, for Excellence in Teaching. Reinhard Nießner is Full Professor of Analytical Chem- istry at the Technical University of Munich. His research interests are in environmental analytical chemistry, es- pecially devoted to applications of laser spectroscopy, nanoparticle char- acterization, and microarray technolo- gy. His main areas of interest are aerosols, hydrocolloids, and biofilms, in the water and atmosphere. He has received several international awards, e.g. the Emanuel–Merck Prize for Analytical Chemistry (1990), the Smo- luchowski Award for Aerosol Research of the Association for Aerosol Research (1991), the Fritz–Pregl Medal of the Austrian Society for Analytical Chemistry (1996), and the Fresenius Award for Analytical Chemistry of the German Chemical Society (2000). Professor Nießner has served in many national and international scientific organizations, e.g. within IUPAC as a Titular Member and the European Science Foundation. Giuseppe Palleschi is Full Professor of Analytical Chem- istry and was Head of the Department of Chemical Science and Technology of the University of Rome “Tor Ver- gata” between 1995 and 2007 In the 2000 he obtained the “Laurea Honoris Causa” from the University of Bucharest for his activity in the field of chemical sensors for food and environmental control. Professor Palle- schi’s research over the last 30 years has been focused on the development of chemical sensors and bio and immunosensors for use in biomedicine, food and environmental analysis. He is the author of more than 200 papers in international scientific journals and invited speaker at many International Congresses. He has been visiting scientist for two years in the USA (University of New Orleans), for three months in the UK (University of Cranfield), and one month at RCAST (Japan). Aldo Roda is Professor of Analytical Chemistry at the Alma Mater Studiorum University of Bologna, Italy. He is Vice-President of the Italian Society of Chemistry (“Società Chimica Italiana”, SCI) and a member of the Academy of Science, Institute of Bologna. His main research interests center on the development of devices, cellular biosensors, and ultra- sensitive analytical methods and imag- ing based on chemi-bioluminescence applied to clinical chemistry, medicinal chemistry, environmental chemistry, cultural heritage, and food analysis. He is co-author of more than 400 articles published in international journals, and 24 international patents on new bile acids, antioxidant drugs, new luminescent labels, biosensors, and luciferase probes. Boris Mizaikoff is currently Chaired Professor and Director of the Institute of Analytical and Bioanalytical Chemistry at the University of Ulm, Germany. He is also a member of the Center for Cell and Molecular Signaling at Emory University, Atlanta, GA, USA. His research interests focus on optical sensors, biosensors, and biomimetic sensors operating in the mid-infrared spectral range, quantum cascade lasers, system miniaturization and integration based on micro and nanofabrication, multifunctional (nano)analytical tech- nology, focused ion-beam techniques, development of chemical recognition layers for separation and sensing applications, environmental and process analysis, and biomedical diagnostics. Meet the contributors 21 Reiner Salzer retired as Professor of Analytical Chemistry at the Technische Universität Dresden, Germany, in 2007. His main scientific interests include molecular monitoring for early diagnosis of diseases, integration of biologically active functions into polymers, and electronic media in university educa- tion. Professor Salzer has authored 14 patents in different fields of analytical chemistry, and over 250 books and scien- tific publications. Professor Salzer has been elected on to a variety of national and international boards. He is a member of the Norwegian Academy of Science, a recipi- ent of the Emich Plaque of the Austrian Society of Analytical Chemistry (2007) and of the Clemens Winkler Medal of the Division Analytical Chemistry of the German Chemical Society (2011). He served as President of the Division Analytical Chemistry of the German Chemical Society, and is National Delegate to the Division of Analytical Chemistry of EuCheMS, where he is Head of the Study Group Education. He is Vice- Chairman of the ECTNA Label Committee for the Chemistry Eurobachelor and Chemistry Euromaster and is currently involved in the development of a quality scheme for a Eurodoctorate label. Alfredo Sanz-Medel has been Professor in the Department of Physical and Analytical Chemistry of Oviedo University (Spain) since 1982. He is author or co-author of approximate- ly 500 scientific publications in interna- tional journals, several patents, and books. His current research interests include new atomic detectors and ion sources for ultra- trace analysis using plasmas, new molec- ular optical sensors, particularly those based on the use of quantum dots, and hybrid techniques, coupling a separation unit and an atomic detector for ultra-trace and trace metal speciation to solve bio- logical and environmental problems, and speciation for proteomics. The objective of this work is to integrate mass spectrometry (MS), “molecular” (matrix-assisted laser desorption/ionization and electrospray MS), and “atomic” (inductively coupled plasma (ICP)MS) techniques, and introduction of the extensive use of ICP–MS to carry out “heteroatom-tagged proteomics”, for both qualitative and quantitative purposes. At Euroanalysis 2007, in Antwerp, he received the Robert Kellner Award. In 2011 he was granted the European Award of Plasma Spectrochemistry. Frieder W. Scheller is Visiting Professor at University of Potsdam and consultant at the Fraunhofer IBMT. For many years he headed the Department of Bioelectrochemistry/Bio- sensors at the Central Institute of Molec- ular biology of the German Academy of Sciences, Berlin-Buch. In 2001 he was President of the German Society of Biochemistry and Molecular Biology. He has been working on the development of biosensors for more than 30 years. At present his research interest is focused on bioelectrocatalysis and molecularly imprinted polymers. André M. Striegel is a Research Chemist at the National Institute of Standards and Technology (NIST). He was previously Assistant Professor of Analytical and Materials Chemistry at Florida State University (FSU) and, before that, Research Spe- cialist at Solutia Inc. He was the inaugural recipient of the ACS-DAC Award for Young Investigators in Sep- aration Science and inaugural Professor in Residence for Preservation Research and Testing at the US Library of Congress. He is also the recipient of an Eli Lilly Analytical Chemistry Grantee Award, an FSU First Year Assistant Professor Award, and a Solutia Technical Achievement Award. His main research interests are in separation science of macromolecules. Ralph Sturgeon is Principal Research Officer in the Chemical Metrology Group of the Institute for National Measurement Standards, National Research Council, Canada. His interests lie in inorganic analytical chemistry, including trace element analysis, vapor generation, organometallic speciation, and produc- tion of certified reference materials with a focus on atomic and mass spectrometric detection. Jorge Ruiz Encinar has been Associate Professor at the University of Oviedo (Spain) since 2010. His research interests are mass spectrometry and stable isotope-based methods, mostly applied to environ- mental science, speciation, and heteroatom-tagged proteomics, and the development of new biological appli- cations of functionalized nanoparticles. In 2007 he was awarded the “Young Chemist Prize” by the Spanish Royal Society of Chemistry. He is currently the coordinator of the International Master in Analytical and Bioanalytical Sciences at the University of Oviedo (dual diploma with the University of Pau, France). 22 N. Oberbeckmann-Winter Miguel Valcárcel Cases has been Full Professor of Analytical Chemistry at the University of Córdoba since 1976. He is author and co-author of 800 scientific articles, seven mono- graphs, eight textbooks, and sixteen chapters of books. He has been the coordinator of 25 Spanish scientific research projects and 14 of internation- al nature, and of 12 contracts with private firms, and has promoted a spin- off devoted to nanotechnology. Profes- sor Valcárcel has been co-supervisor of 68 doctoral theses and invited lecturer at 70 international meetings. He is the recipient of scientific national (e.g. Award in Chemistry in Spain, 2006) and international (e.g. Robert Boyle Medal of the RSC, 2004) prizes as well as Doctor Honoris Causa by the University of Valencia (Spain). Frank Vanhaecke is Professor of Analytical Chemistry at Ghent University (Belgium) where he leads the “Atomic and Mass Spec- trometry—A&MS” research group. Prof Vanhaecke has a passion for the determination, speciation, and isotopic analysis of (trace) elements by ICP– mass spectrometry (ICP–MS). He is an author of approximately 170 papers in peer-reviewed international journals and several book chapters. In 2011, he received a “European Award for Plasma Spectrochemistry”. Weihong Tan obtained his PhD in Physical Chemis- try in 1993 at the University of Michigan and is currently V.T. and Louis Jackson Professor of Chemistry. His research interests are in molecular engineering, bioanalysis, bionanotech- nology, and chemical biology. His group has engineered nucleic acid probes for biosensing and DNA nano- motors. The Tan group has also devel- oped numerous bioconjugated nanostructures, for example silica nano- particles, for molecular imaging, cell separation, and sensitive analytical de- tection. With the development of cell-based SELEX, they have generated a variety of aptamers for cancer cells as molecular tools for early cancer detection, targeted treatment, and biomarker discovery. Stephen A. Wise is Head of the Analytical Chemistry Division at the National Institute of Standards and Technology (NIST). Dr Wise’s research efforts focus on the development of certified reference materials for trace organic constituents in environmental, clinical, food, and dietary supplement matrices; develop- ment of chromatographic methods for organic analysis; and investigations of chromatographic separation mecha- nisms and chromatographic selectivity. He has served as Chairman of the Division of Analytical Chemistry of the American Chemical Society (1996) and as President of the International Society of Polycyclic Aromatic Compounds (2003–2005). He received the 2001 Polycyclic Aromatic Hydrocarbon Research Award presented by the International Society of Polycyclic Aromatic Compounds (ISPAC) and the 2006 Harvey W. Wiley Award from AOAC International. Xinrong Zhang received his Bachelor’s and Master’s degrees in chemistry from Shaanxi Normal University, China, and Ph.D. degree in analytical chemistry from University of Ghent, Belgium. He was appointed Professor of the Depart- ment of Chemistry, Tsinghua Universi- ty, China, in 1997. His current research interests are focused on developing optical and mass spectrometric techni- ques for biomedical and environmental analysis. He published over 170 papers and several book chapters (in English) on these topics. Toyohide Takeuchi is Professor of Chemistry at the Faculty of Engineering, Gifu University, Japan. He received a Bachelor’s degree in engineering (1977), a Master’s degree in engineering (1979), and a Doctorate in engineering (1985) from Nagoya University. He was appointed Research Associate (1980) and Associate Profes- sor (1989) at Nagoya University, and joined Gifu University as Associate Professor in 1992, where he was promoted to Professor of Chemistry in 2001. During 1985 and 1986 he was appointed postdoctoral fellow at Ames Laboratory in USA. His research interests include the development of capillary columns, and novel detection and separation systems for capillary LC. He is author or co-author of approximately 240 original papers. He received the Japan Society for Analytical Chemistry Award for Young Scientists in 1987, the Takeda Techno-Entrepreneurship Award in 2001, and The Society for Chromatographic Sciences Award in 2004. Meet the contributors 23 Meet the contributors 
work_ap3p6d42rvh3td4aydbhpxpenm	----	107 Invited Review: Cocoa and chocolate consumption 2008;21(3)S Afr J Clin Nutr Afoakwa EO, MPhil, PhD Centre for Food Quality, Strathclyde Institute for Pharmacy and Biomedical Sciences, University of Strathclyde, United Kingdom Department of Nutrition and Food Science, University of Ghana, Legon – Accra, Ghana. Nestlé Product Technology Centre York, York, United Kingdom Correspondence to: E Afoakwa, e-mail: e_afoakwa@yahoo.com Keywords: cocoa; chocolate; aphrodisiac; flavanols; polyphenols; cardioprotection Cocoa and chocolate consumption – Are there aphrodisiac and other benefits for human health? Introduction “Cocoa” is a corrupted word for cacao, which is taken directly from the Mayan and Aztec languages. Chocolate is derived from cocoa beans, central to the fruit of the tree Theobroma cacao (Figure 1). Theobroma (from the Greek for “food of the gods”) are of the family Sterculiaceae. They comprise two principal types: Criollo, constituting about 5% of the world’s cocoa production, and the more common Forastero, which has smaller, flatter, purple beans. A third variety, Trinitario (a more disease-resistant hybrid of Criollo and Forastero), is regarded as a flavour bean.1 Theobroma cacao grows between the tropics of Cancer and Capricorn, with varieties originating in the forest areas of South America. Forastero – basic cocoa – grows mainly in Brazil and West Africa, while the flavour cocoas (largely hybrids), thrive in Central and South America. The Aztecs in Mexico cultivated cocoa from South America via the Caribbean Islands and Hernandos Cortés, a Spanish took cocoa to Spain as a beverage and to Spanish Guinea as a crop. West Africa currently produces more than 70% of the world’s cocoa, with production dominated by the Ivory Coast (39%), Ghana (21%), Nigeria (6%) and Cameroon (5%).2 The use of cocoa beans dates back at least 1 500 years, when the Aztecs and Incas used the beans as currency for trading or to produce so-called chocolatl, a drink made by roasting and grinding cocoa nibs, mashing them with water and often adding other ingredients such as vanilla, spices and honey.3 In the 1520s, the drink was introduced to Spain4, although Coe and Coe5 emphasise that the European arrivals in the New World, including Christopher Columbus and Herman Cortes, were unimpressed with the Mayan beverage and therefore sweetened it with honey. The conquistadors nevertheless familiarised the chocolate beverage throughout Europe but, being expensive, it was initially reserved for consumption by the highest social classes. It was only in the 17th century that the consumption of chocolate spread through Europe. In 1847, Joseph Fry was the first to produce a plain eating chocolate bar in the United Kingdom, made possible by the introduction of cocoa butter as an ingredient.4 Demand for cocoa then sharply increased and chocolate processing became mechanised with the development of cocoa presses for the production of cocoa butter and cocoa powder by Conrad J van Houten in 1828, milk chocolate by Daniel Peters in 1876 after Henri Nestlé’s invention a decade earlier, and the conche process by Rodolphe Lindt in 1880.3 Chocolate confectionery is now ubiquitous, with consumption averaging 8,0 kg per person per annum in many European countries.6 Cocoa and chocolate products have recently attracted the attention of many investigators and the general consuming public because of their potential nutritional, medicinal and mystical properties. Chocolate is a very complex food and scientists continue to investigate it in order to unlock its potential benefits and secrets. When consumed, for example, it has been observed to have effects on human behaviour and health. Over the past decade, several studies have also reported that its consumption can contribute to the attainment of optimal health and development as well as play an important role in reducing the risk or delaying the development of chronic disease, such as cardiovascular disease (CVD), cancer and other age-related disease.7,8,9 Abstract Cocoa and chocolate have been acclaimed for several years for their possible medicinal and health benefits. It is only recently, however, that some of these claims have been more clearly identified and studied. Recent epidemiological and clinical studies, for example, have shown that dietary supplementation with flavonoid-rich cocoa and chocolate may exert a protective effect on low-density lipoprotein (LDL) oxidation, which has been associated with a reduced risk of developing atherosclerosis. Some of the identified benefits of flavonoid-rich cocoa and chocolate include antioxidant properties, reduced blood pressure via the induction of nitric-oxide (NO)-dependent vasodilation in men, improved endothelial function, increased insulin sensitivity, decreased platelet activation and function, as well as modulated immune function and inflammation. Furthermore, chocolate has been reported to release phenylethylamine and serotonin into the human system, producing some aphrodisiac and mood-lifting effects. Since these claims could have implications for the consumption levels of cocoa and chocolate products on the global market, understanding the critical factors involved and their potential benefits are currently thought to be of great importance to consumers. S Afr J Clin Nutr 2008;21(3):107-113 Invited Review: Cocoa and chocolate consumption 108 Invited Review: Cocoa and chocolate consumption 2008;21(3)S Afr J Clin Nutr Recently, chocolate has gained a reputation as an aphrodisiac, as is the case with lobster, crab legs, pine nuts, walnuts, alcohol and Viagra. In most parts of the world, chocolate is also associated with romance – and not without good reason, as it was viewed as an aphrodisiac by the Mayan and Aztec cultures, which believed that it invigorated men and made women less inhibited.10 The reputed aphrodisiac qualities of chocolate are, however, most often associated with the simple sensual pleasure of its consumption. Additionally, chocolate’s sweet and fatty nature is reported to stimulate the hypothalamus, which induces pleasurable sensations and affects the levels of serotonin in the brain11, hence enhancing sexual drive.12 Finally, chocolate has been shown to contain unsaturated N-acylethanolamines, which may activate cannabinoid receptors in humans or increase endocannabinoid levels, resulting in heightened sensitivity and euphoria.12 Over the past decade, however, associations between chocolate consumption and hypertension, diabetes, sexual weakness and CVD have also grown steadily, appearing to be supported by basic, clinical and epidemiological research. As the approach to treating these diseases is through pharmacological agents, lifestyle adjustment and dietary modification, the identification of foods with aphrodisiac qualities and/or cardiovascular health benefits and the understanding of how these food components influence normal human physiology could hold a promise of benefit for the consumer. This review discusses current information relating to the acclaimed aphrodisiac and other beneficial health implications of cocoa and chocolate consumption based on epidemiological, preclinical and clinical studies conducted over the past decade. Chemistry and composition of cocoa flavonoids Cocoa and its derived products – chocolate and cocoa powder – are rich in flavonoids, which are characterised as flavan-3-ols or flavanols, and include the monomeric forms, (-)-epicatechin and (-)-catechin, and the oligomeric form of the monomeric units, the procyanidins (Figure 2).9,13,14 Figure 1: Typical cocoa trees with fruit pods at various stages of ripening (-)-epicatechin (+)-catechin procyanidin (4β->6) dimers Figure 2: Chemical structure of the major cocoa flavanols: (-)-epicatechin and (+)-catechin, and procyanidin Invited Review: Cocoa and chocolate consumption 109 Invited Review: Cocoa and chocolate consumption 2008;21(3)S Afr J Clin Nutr These flavonoids are stored in the cotyledon pigment cells of the cacao bean, the fruit of the cacao tree (Theobroma cacao), and are differentiated into three main groups: catechins or flavan-3-ols (about 37%), anthocyanins (about 4%), and proanthocyanidins (about 58%). Less abundant is (+)-catechin, while only traces of (+)-gallocatechin and (-)-epigallocatechin are present. The anthocyanin fraction is dominated by cyanidin-3-α-L-arabinoside and cyanidin-3-ß- D-galactoside. Procyanidins are mostly flavan-3,4-diols and are 4-to-8 or 4-to-6-bound to form dimers, trimers or oligomers, with epicatechin as main extension sub-unit.15,16 The flavonoids represent a ubiquitous and abundant group of polyphenols consumed in the diet primarily from fruits, vegetables and/or plant products. They act as antioxidants due to their free radical scavenging properties, their ability to reduce the formation of free radicals and their ability to stabilise membranes by decreasing membrane fluidity.17,18 These antioxidant properties may contribute to the mounting evidence that a diet rich in fruits and vegetables reduces the risk of CVD.9 Metabolic and epidemiological studies indicate that the regular intake of such products increases the plasma level of antioxidants, a desirable attribute as a defence against reactive oxygen species (ROS). The antioxidants in cocoa can also prevent the oxidation of low-density lipoprotein (LDL) cholesterol, which is related to the mechanism of protection in heart disease. Few studies, however, have shown that ROS associated with carcinogenic processes is also inhibited.14,19,20 The fats from cocoa (cocoa butter) are moreover mainly stearic triglycerides (C18:0), which are less well absorbed than other fats and tend to be excreted in the faeces. They are thus less bioavailable and have a minimal effect on serum cholesterol.9,13 Many investigators have identified the common classes and food sources of flavonoids as including flavanol (quercetin, kaempferol and myricetin [in onions, apples, tea and red wine]), isoflavones (daidzein and genistein [in soy]), flavan-3-ols or flavanols (catechin and epicatechin [in tea, chocolate and red wine]), flavanones (naringenin and hesperitin [in citrus fruits]), flavones (apigenin [in celery], luteolin [in red pepper]) and anthocyanins (in the pigments of red fruits, such as berries and red grapes).14 These different classes of flavonoids are based on their level of oxidation in the basic flavonoid structure (C6-C3-C6), a 15-carbon atom structure arranged in three rings (two aromatic rings on the ends with an oxygenated heterocycle in the middle). Evidence from epidemiological studies suggests that a high intake of dietary flavonoids may reduce the risk of coronary heart disease.13,21,22 Flavonoids have also been reported to have benefits for oxidative stress, vascular function, platelet function and immune response, which may collectively be involved in the process of atherogenesis. Chocolate types and their major nutritional constituents Chocolate is a dense suspension of solid particles, with an average solids concentration of about 60 to 70% from sugar, cocoa and milk (depending on the type) dispersed in a continuous fat phase, which consists mostly of cocoa butter. The main chocolate categories are dark, milk and white (Figure 3), differing in their content of cocoa solid, milk fat and cocoa butter. The outcome is varying proportions of carbohydrate, fat and protein content (Table I). Cocoa refers to the non-fat component of cocoa liquor (finely ground cocoa beans) used in chocolate manufacture in the form of cocoa liquor (containing about 55% cocoa butter) or cocoa powder (about 12% fat), with the addition of sugar, cocoa butter and/or milk. Apart from chocolate, other cocoa products include cocoa powder consumed as a beverage, which is very popular in most African countries. Despite the varied chemical contents, cocoa and chocolate consumption makes a positive contribution to human nutrition through the provision of the macronutrients for energy and other metabolic functions. Chocolate also contains minerals, specifically potassium, magnesium, copper and iron. In addition, cocoa and chocolate fat contain many fatty acids, which are triglycerides dominated by saturated stearic, palmitic and monounsaturated oleic24,25 and all of which appear to have a neutral effect on blood-lipid levels. They do not, in other words, raise blood-cholesterol levels. The antioxidants in cocoa, principally polyphenols including flavonoids such as epicatechin, catechin and notably the procyanidins, are also thought to provide added medicinal and health benefits. White chocolate, however, differs from milk and dark through the absence of cocoa solids, which contain antioxidants, and thus makes little or no contribution to the potential polyphenol-induced improvements in human health. It is also important to note that most dark chocolate contains higher amounts of antioxidant cocoa flavanols than does milk chocolate. A 40-g serving of milk chocolate, for example, provides 394 mg of cocoa flavonoids, whereas dark chocolate contains 951 mg. A hot cocoa mix, in contrast, contains 45 mg of cocoa flavonoids in a 240-mL serving.14,22 These numbers represent typical cocoa flavonoid concentrations and depend on the chocolate-processing Table I: Major constituents of dark, milk and white chocolate23 Product Carbohydrate (%) Fat (%) Protein (%) Dark chocolate 63.5 28.0 5.0 Milk chocolate 56.9 30.7 7.7 White chocolate 58.3 30.9 8.0 Dark chocolate Milk chocolate White chocolate Figure 3: Packs of chocolates containing mixtures of the major types (dark, milk and white) Invited Review: Cocoa and chocolate consumption 110 Invited Review: Cocoa and chocolate consumption 2008;21(3)S Afr J Clin Nutr methods, which may reduce or retain the amount of flavonoids derived from the cacao bean. Judging from reported research on cocoa and chocolate, milk chocolate has been less of an object of investigation than dark (black) chocolate. The reason for this is that the amounts of polyphenols in milk chocolate are smaller than in dark chocolate due to the lower amount of cocoa liquor used in milk chocolate (about 10±15%) compared with that of dark chocolate (about 30±50%). In addition, milk proteins, especially caseins, which are relatively proline-rich, may impair the absorption of procyanidins due to complexation.13 Dark chocolate thus seems a priori to have higher potential as being the most beneficial to human health. Antioxidant properties and their mechanism of action Cocoa powder and chocolate have been shown to have antioxidant potential and to inhibit LDL oxidation in vitro.26 Studies show that the ingestion of a single bolus of cocoa or chocolate increases the antioxidant capacity of plasma, decreases the formation of plasma 2-thiobarbituric acid-reactive substances (TBARS), increases insulin sensitivity and inhibits LDL oxidation ex vivo.26–30 Recent evidence suggests that the long-term consumption of cocoa polyphenols also increases the antioxidative capacity of plasma.31 Studies dealing with the effects of the long-term consumption of chocolate on lipid peroxidation in vivo, however, are scarce and therefore warrant further investigation. Several approaches have been used to investigate the mechanism of the action of cocoa flavanoids. These include preclinical, clinical and in vitro studies predominantly for their effects on the vascular system, with nitric acid (NO) concentration being the central target (Figure 4), and for their effects on endothelial function*, which are thought to be a good biomarkers for estimating coronary-disease risk.9 In vitro cocoa procyanidins have been shown to be antioxidative and to be chelators of copper and iron, thereby preventing LDL from oxidising. Procyanidins also inhibit cyclo-oxygenase 1 and 2 (COX-1 and COX-2) and lipoxygenase. By enhancing the levels of NO, which has been identified as the endothelial-derived relaxing factor and is derived from constitutive endothelial nitric oxide synthase, procyanidins could cause vasodilatation.13 Romanczyk and co- workers16 suggest that, although the polyphenolic compounds inhibit the oxidation of LDL, the more comprehensive consequence is their multidimensional effects on atherosclerosis via NO. The beneficial effects of NO modulation include the regulation of blood pressure and the lowering of NO-affected hypercholesterolaemia and monocyte adhesion, all of which are involved in the progression of atherosclerosis. Many clinical trials have also shown improved epithelial function after chocolate consumption, with neutral effects on total serum cholesterol.14,32–34 Other effects related to CVD risk include the inhibition of platelet activation and aggregation.35–37 This is due probably to the high content of stearic acid (~30% of fatty acids), which is considered to be neutral with respect to total and LDL cholesterol. The consumption of cocoa or dark chocolate may also benefit serum lipids. In a recent study, the consumption of cocoa with dark chocolate increased the serum concentration of high-density lipoprotein (HDL) cholesterol by 4% as a result of the antioxidant properties of flavonoids, which may account partially for the protective effect. The oxidative modification of LDL also plays an important role in atherogenesis. Agents that can prevent LDL oxidation in the arterial wall have furthermore been noted to delay the onset of atherosclerosis in humans.9,33,35 Figure 4: Role of cocoa polyphenols on the vascular system, with nitric oxide (NO) as the target (eNOS = endothelial nitric oxide synthase) 9 Cocoa polyphenols Oxidative stress Superoxide NOArginine eNOS Peroxinitrite Cardiovascular risks Endothelial dysfunction Lipoprotein oxidation Platelet aggregation Inflammation * Lipoprotein oxidation, platelet aggregation and inflammation Invited Review: Cocoa and chocolate consumption 111 Invited Review: Cocoa and chocolate consumption 2008;21(3)S Afr J Clin Nutr Effects on endothelial function, blood pressure and the cardiovascular system Investigators have recently focused on flavan-3-ols as bioactive compounds, particularly with respect to their beneficial effects on endothelial function, blood pressure and cardiovascular function. Many of these studies report that cocoa and chocolate consumption is associated with short-term improvement in the delayed oxidation of LDL cholesterol31, with improved endothelial function34,38, with lowered blood pressure39, with increased insulin sensitivity30 and with improved platelet function.36,37,38 A recent 15-year epidemiological study of elderly Dutch men showed that blood pressure was significantly lowered in the group consuming cocoa or chocolate. The group with the highest cocoa and chocolate consumption was also reported to have a lower incidence of death due to CVD compared with men who did not consume cocoa or chocolate.40 Taubert and colleagues41 also state that small amounts of commercial cocoa confectionary conveyed similar blood pressure-lowering potential compared with comprehensive dietary modifications that have a proven efficacy to reduce cardiovascular-event rate. They explain that, whereas long-term adherence to complex behavioural change is often low and requires continuous counselling,42,43 the adoption of small amounts of flavanol-rich cocoa in the habitual diet is a dietary modification that is easy to adhere to and that therefore may be a promising behavioural approach to lower blood pressure in individuals with above-optimal blood pressure. Although chocolate and cocoa consumption is reported to have benefits for lipid peroxidation ex vivo and for the serum concentration of HDL,14,17 very few long-term studies on effects on lipid peroxidation in vivo have been published. Previous studies have shown that the concentration of serum HDL cholesterol and the oxidative modification of LDL play an important role in the pathogenesis of atherosclerosis,15,37–40 with reports that the consumption of cocoa or chocolate may benefit both these factors in humans. In many of these studies, the consumption of cocoa and dark chocolate was reported to increase the concentration of HDL cholesterol and plasma antioxidant capacity31,44,45 and to decrease the formation of lipid oxidation products (TBARS).44,45 In another study, Mursu and colleagues47 found that the concentration of HDL cholesterol increased in healthy humans ingesting chocolate that contained cocoa mass. The increase in HDL cholesterol was 11% after the consumption of dark chocolate and 14% after the consumption of dark chocolate enriched with cocoa polyphenols, whereas no effect was observed after the consumption of white chocolate. The ratio of LDL:HDL also changed in a similar manner, suggesting that, because the fatty-acid content in the study chocolates was identical, it was the compounds in the cocoa mass that were responsible for the increase in HDL cholesterol. Data documenting the benefit on HDL concentration are supported by a recently reported, long-term crossover study. In this study, Wan and colleagues31 found that, after the daily consumption of 22 g of cocoa powder and 16 g of dark chocolate for four weeks, the concentration of HDL cholesterol was 4% higher compared with the control diet (an average American diet). The higher amount of chocolate ingested (75 g or the equivalent of two candy bars) may explain the greater increase in the HDL cholesterol (11 to 14%) reported by Mursu and colleagues.47 A high concentration of HDL cholesterol has been shown to decrease the risk of CVD.48 The concentration of HDL cholesterol can usually also be increased by 10 to 15% through a change in lifestyle behaviour but this strategy is not suitable for everyone, since it can be meaningfully achieved only by vigorous exercise or moderate alcohol consumption.49 The consumption of chocolate also significantly inhibited the oxidation of LDL in vivo, as measured in the formation of conjugated dienes. The decrease in LDL peroxidation in these study groups indicates the likelihood of this effect being due to the fatty acids in chocolate. It has previously been reported that, compared with polyunsaturated fatty acids, monounsaturated fatty acids inhibit lipid peroxidation.50–53 A high consumption of saturated or monounsaturated fat in the form of chocolate may thus modify the lipid content of LDL to make it more resistant to oxidation by increasing the amount of monounsaturated and saturated fats and by decreasing the amount of polyunsaturated fatty acids. Effects on insulin sensitivity and carcinogenic properties Cocoa and dark-chocolate consumption has been claimed to protect the vascular endothelium by augmenting NO availability and thereby improving endothelium-dependent vasorelaxation.54-57 In an attempt to expand on these findings, Grassi and colleagues30 studied the effects of the consumption of either dark or white chocolate on the homeostasis model assessment of insulin resistance and the quantitative insulin sensitivity check index in 15 healthy young adults with typical Italian diets. These diets were supplemented daily with 100 g of dark chocolate or 90 g of white chocolate, each of which provided 480 kcal. The polyphenol contents of the dark and white chocolate were assumed to be 500 and 0 mg, respectively. Dark-chocolate ingestion not only proved to decrease blood pressure but also to improve glucose metabolism and insulin sensitivity in the subjects. They therefore proposed that it was polyphenol-rich dark chocolate – not white chocolate (which contains mainly sugar and cocoa butter) – that decreased blood pressure and improved insulin sensitivity. In another study, Romanczyk and colleagues16 examined the anti- carcinogenic properties of cocoa extracts using several human cancer-cell lines. Interestingly, the effects were seen only with oligomeric procyanidins and, of these, in particular, with oligomers of 5±12 sub-units, with the most effective being the pentamer. It was suggested that the mechanisms by which procyanidins exert anti-carcinogenic activity include the inhibition of DNA-strand breaks, DNA-protein cross-links and the free radical oxidation of nucleotides due to their antioxidative activity as well as the inhibition of the activities of COX-2 and DNA topoisomerase II. Procyanidins moreover modulate NO production through macrophages, which possess an inducible nitric oxide synthase (iNOS) and thereby affect ribonuclease reductase, the enzyme that converts ribonucleotides into deoxyribonucleotides necessary for DNA synthesis. The inhibition of DNA synthesis may be an important way in which macrophages and other tissues possessing iNOS can inhibit the growth of rapidly dividing tumour cells or infectious bacteria. These findings indicate that cocoa and dark-chocolate consumption may exert an anti- carcinogenic activity in human cells and offer protective action to the vascular endothelium by improving insulin sensitivity, thereby exerting favourable metabolic effects in humans, with further protection against CVD. Since these findings cannot be generalised for all populations, large-scale trials are obviously needed to confirm Invited Review: Cocoa and chocolate consumption 112 Invited Review: Cocoa and chocolate consumption 2008;21(3)S Afr J Clin Nutr these potentially protective actions of dark chocolate or other flavanol-containing foods in populations affected by insulin-resistant conditions, such as essential hypertension and obesity. Cocoa, chocolate and aphrodisiac properties Cocoa and chocolate have been reported to exert several effects on human sexuality, acting mainly as an effective aphrodisiac, increasing sexual desire and improving sexual pleasure.58 They have been claimed to contain a chemical substance known as phenylethylamine, which has been reported to stimulate the hypothalamus, inducing pleasurable sensations as well as affecting the levels of two neurotransmitters – 5-hydroxytrytamine (serotonin) and endorphins in the brain – hence enhancing mood lifting and sexual drive.11 These chemicals occur naturally and are released by the brain into the nervous system during situations of happiness and feelings of love, passion and/or lust. This causes a rapid mood change, a rise in blood pressure, an increase in heart rate and an inducement of those feelings of well-being bordering on euphoria that are usually associated with being in love. In other studies, the cocoa in chocolate has been reported to contain several potentially psychoactive chemicals, such as the sympathomimetic biogenic amines (tyramine and phenylethylamine) and the methylxanthines (theobromine and caffeine).59,61 Spampinato62, for example, notes that each 100 g of chocolate contains 660 mg of phenylethylamine (C 6 H 5 (CH 2 ) 2 NH 2 ), a stimulant similar to the body’s own dopamine and adrenaline. Phenylethylamine has been noted to raise blood pressure and heart rate, heightening sensations and blood-glucose levels.63 Since eating chocolate gives an instant energy boost and an increase in stamina, it is no wonder that the effects of eating chocolate have given chocolate a reputation as an aphrodisiac. Both compounds can also be mildly addictive, which explains the drive of chocoholics. Women are more susceptible to the effects of phenylethylamine and serotonin than men,58 which explains why more women tend to be chocoholics than men. Chocolate has also been shown to contain unsaturated N-acylethanolamines, which may activate cannabinoid receptors or increase endocannabinoid levels and result in heightened sensitivity and euphoria.12 Researchers believe that chocolate contains pharmacologically active substances that have the same effect on the brain as marijuana and that these chemicals may be responsible for certain drug-induced psychoses that are associated with chocolate craving.10,63 Marijuana’s active ingredient leading a person to feel “high” is tetrahydrocannabinol, however, a different chemical neurotransmitter produced naturally in the brain called anandamide has been isolated from chocolate.12 Because the amount of anandamide found in chocolate is so minuscule, this is not the reason for chocolate giving a person a “high”; rather, it is the compounds such as unsaturated N-acylethanolamines in chocolate that have been associated with the good and “high” feeling that chocolate consumption provides. Anandamide is nevertheless broken down rapidly into two inactive sections after production by the enzyme hydrolase, which is found in our bodies.12 Other chemicals are present in chocolate, however, which may inhibit this natural breakdown and thus make people feel good for longer when they eat chocolate. Although chocolate contains chemicals that are associated with feelings of happiness, love, passion, lust, endurance, stamina and mood lifting, scientists continue to debate whether it should be classified as an aphrodisiac. It would be very challenging to say that there is firm proof that chocolate is indeed an aphrodisiac. Chocolate does, however, contain substances that increase energy, stamina, mood lifting and feelings of well-being. The reality is that a gift of chocolate is a familiar courtship ritual that makes people feel good and that induces feelings of being in love. In conclusion, cocoa and chocolate flavonoids are compounds that are vital to human health This is evidenced by their influence on a number of findings related to their biochemical and physiological functions in the body, with identified potent antioxidant effects under in vitro conditions and in vivo after consumption. These antioxidant properties have been related to increases in plasma epicatechin concentrations, to endothelial-dependent vascular relaxation as promoted by cocoa flavonoids due in part to the increased bioavailability of NO and prostacyclin, and to the anti-atherosclerotic properties of NO combined with a favourable shift toward vasodilation, which confers a vasculo-protective effect. The lowering of blood pressure has also been found after short-term dark-chocolate intervention in the presence of mild isolated systolic hypertension. Other known effects from cocoa flavonoids include their suppressive effect on platelet reactivity and platelet-related primary haemostasis, the modulation of immune function, and inflammation as potential cardioprotective effects. Finally, some aphrodisiac effects, mood lifting and heightened sensitivity have also been reported to be due to phenylethylamine and N-acylethanolamine compounds in cocoa and chocolate. As consumers become more aware of the potential aphrodisiac effects and health benefits associated with cocoa and chocolate consumption, they will require more information on whether the intake of these functional compounds and/or their sources is related to measurable effects on human sexual lives, health and/or the development of disease. They will also require relevant information on specific sources and products commonly available in the marketplace as a guide to their selection of foods. The consumption of cocoa and chocolate flavonoids therefore still presents an exciting area of further nutritional, clinical and epidemiological research, with significant implications for sexual health and cardiovascular protection in humans. References 1. Fowler MS. Cocoa beans: from tree to factory. In: Beckett ST, ed. Industrial chocolate Manufacture and Use. 3rd ed. Oxford: Blackwell Science, 1999: 8–35. 2. International Cocoa Organisation (ICCO). International Cocoa Organisation report of cocoa statistics. The Manufacturing Confectioner 2008; 88(3): 39–40. 3. McNeil C. Chocolate in Mesoamerica: A Cultural History of Cacao. ….. University of Florida Press, 2006. 4. Minifie BW. Chocolate, Cocoa and Confectionery – Science and Technology. London: Chapman & Hall, 1989. 5. Coe SD, Coe MD. The True History of Chocolate. London: Thames and Hudson, 1996. 6. International Confectionery Association (ICA). Statistical Review. 2007. 7. Hammerstone JF, Lazarus SA, Schmitz HH. 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work_apvxqqriejhtta7eloskksyqbq	----	EDITORIAL Meet the contributors Nicola Oberbeckmann-Winter Published online: 12 December 2014 # Springer-Verlag Berlin Heidelberg 2014 This special issue celebrates the 13th Anniversary of Analyt- ical and Bioanalytical Chemistry (ABC) by highlighting cur- rent research from the Editorial Board of ABC. The strong commitment and dedication of the Editors and International Advisory Board have been of enormous value in establishing ABC as an international journal for rapid publication and global visibility of analytical research. In preparing this 13th Anniversary Issue, we are grateful for the overwhelming support we have received and thank all contributors for generously providing ex- cellent research articles, critical reviews, and trend arti- cles from the forefront of their research. Below, we invite you to meet those who contributed to this excep- tional issue. Marco Aurélio Zezzi Arruda is Full Professor at the University of Campinas—Unicamp (Campinas, Brazil), Department of Analytical Chemistry; Head of the Department of Analytical Chemistry, Institute of Chemistry, Unicamp; Head of the Sample Preparation, Spectrometry and Mechanization group— GEPAM; and a member of the ad- visory board of the National Institute of Science and Technology—INCT, for Bioanalytics. He is a member of the editorial staff or advisory board of Analytical and Bioanalytical Chemistry, Metallomics, Journal of Integrated Omics, and Brazilian Journal of Analytical Chemistry; a member of the advisory board of the Brazilian Mass Spectrometry Society (BrMASS) and Brazilian Chemistry Associa- tion (ABQ); and he is a coordinator of the inorganic mass spectrometry area of the BrMASS. His current research interests include trans-disciplinary work, involving speciation analysis and comparative omics of plants (i.e., soybean, sunflower, Arabidopsis Thaliana) and human bodily fluids (i.e., blood serum, urine, saliva) to identify possible biomarkers for transgenic species and human diseases, as well as to evaluate the production of reactive oxygen species, and (metallo)proteins responses under stress in a given system. He is the author or co-author of over 170 research articles, 5 book chapters, 5 patents, over 35 invited lectures at national/international meet- ings, and the editor of 1 book. Additionally, he has over 3100 citations in the literature and an h index of 30. Craig A. Aspinwall is an Associate Professor in the De- partment of Chemistry and Biochem- istry at the University of Arizona. His research focuses on the development and application of optical and electro- physiological sensors and microscale separations for the analysis of biolog- ical systems. He is a recipient of the ACS Division of Analytical Chemis- try Award for Young Investigators in Separation Science (2009) and was an inaugural ACS GREET (Global Re- search Experiences, Exchanges, and Training) Scholar (2011). Antje Baeumner is Director and Professor of the In- stitute of Analytical Chemistry, Chemo and Biosensors at the Uni- versity of Regensburg. Until 2013 she was Professor of Biological En- gineering at Cornell University, where she started her tenure-track career as Assistant Professor in 1999 and, to date, remains active on the faculty. Her research focuses on the development of lab-on-a- chip devices and paper-based bio- sensors for the detection of pathogenic organisms and toxins. She has received numerous awards for her teaching and research, including the State University of NY Chancellor’s Award in Excellence in Teaching, an Alexander-von-Humboldt Research Fellowship, and a DFG Mercator Visiting Professorship, as well as being a finalist for the Blavanik Award for Young Scientists. Published in the topical collection celebrating ABCs 13th Anniversary. N. Oberbeckmann-Winter (*) Analytical and Bioanalytical Chemistry, Springer, Tiergartenstrasse 17, 69121 Heidelberg, Germany e-mail: abc@springer.com Anal Bioanal Chem (2015) 407:629–635 DOI 10.1007/s00216-014-8348-9 Damià Barceló Cullerés is Full Research Professor and Dep- uty Director at IDAEA-CSIC and, since 2008, Director of the Catalan Institute for Water Research (ICRA). Since 2009, he has been Visiting Professor at King Saud University, Riyadh, Saudi Arabia. Apart from receiving the renowned King Jaime I Award from the Generalitat of Valencia (Spain) for the Protection of Nature in 2007, he also received the Prince Sultan Bin Abdulaziz International Prize for Water and the Recipharm Environmenal Award in 2012. His research interests are in environmental analysis and the fate and behavior of organic pollutants in water, sediment, and biota, using mass spectrometric techniques, immunoassay, toxic assays, and biosensors. In recent years, his interests have also included bridging environmental and health risks in the field of emerging contaminants. Maria Careri has been Full Professor of Analytical Chemistry at Parma University since 2001 and Head of the Chemistry De- partment at the same University since 2012. She has also been Director of the University Master Course Chem- istry Laboratory Quality Systems since 2002 and Director of the Na- tional School of “Analytical and Bioanalytical Methodologies Based on Mass Spectrometry” of the Italian Chemical Society from 2005. For the past 10 years, her research activities have centered on the development of novel materials for solvent-free extraction techniques for food safety and environmental monitoring and development of innovative methods for structural and functional proteomics using mass spectrometry based tech- niques. Her current research interests include the development of novel materials for desorption electrospray ionization and matrix-assisted laser desorption ionization mass spectrometry techniques and the developments of biosensors for diagnostic purposes. She is the author of more than 160 scientific papers in international peer-reviewed journals and of more than 250 communications at national and international symposia. Rafael Cela is Professor of Analytical Chemis- try at the University of Santiago de Compostela, Spain, leading a re- search group on chromatography and chemometrics in the Laborato- ry for Analytical Chemistry at the Research Institute of Food Analy- sis of that university. His research has focused on the analytical appli- cation of separation science and particularly on the development and optimization of sample prepa- ration microtechniques for chro- matographic analysis, including experimental design and the development of computer-assisted chro- matographic methods and sample handling strategies. He is the author of more than 250 scientific papers and several textbooks. Jörg Feldmann, a Feodor Lynen Fellow (Alexander von Humboldt Foundation), is cur- rently Head of Chemistry at the Uni- versity of Aberdeen (UK), where he has been the Chair in Environmental Analytical Chemistry and Director of TESLA (Trace Element Specia- tion Laboratory) since 1997. He has pioneered the simultaneous hyphen- ation of ICPMS and ESI-MS to HPLC for the determination of labile metal (mainly arsenic) biomolecule interactions, which are crucial for explaining environmental and bio- logical processes. In addition, he developed laser ablation ICPMS for dynamic bioimaging of elements in biological tissues from trace experi- ments. He is the author or co-author of more than 190 peer-reviewed publications. Günter Gauglitz is Senior Professor at the Eberhard- Karls-University of Tübingen work- ing in analytical and physical chem- istry. He was chairman of the GDCh Division of Analytical Chemistry and chaired the Europt(r)ode VIII meeting. For more than 15 years, his main scientific interests have centered on research and develop- ment in chemical and biochemical sensors with a special focus on the characterization of interfaces of polymers and biomembrane sur- faces, spectroscopic techniques, the use of spectral interferometry to monitor changes in the optical thickness of thin layers, and the effects of Fresnel reflectivity at interfaces. He has been an Editor of Analytical and Bioanalytical Chemistry (ABC) since 2002. Heidi Goenaga-Infante joined LGC as a Senior Researcher in speciation analysis in 2003. She is currently Principal Scientist and Team Leader of the Inorganic Anal- ysis team within the Science and Innovation Division. Her team ex- pertise lies in trace element specia- tion analysis, metallomics research, size-based element fractionation, high-accuracy bulk and spatial ele- mental and isotope ratio analysis, and the characterization of speciated reference materials and standards. She is the UK representative at the Inorganic Analysis Working Group of the CCQM (the International Consultative Committee for Metrology in Chemistry). She is also a member of the advisory board of Metallomics, a member of the editorial board of JAAS, and a member of IUPAC. She currently coordinates the EU project NanoChop (Chemical, Optical and Physical Characterisation of Nanomaterials in Biological Samples) and leads work packages within the EU projects “Metrology for Metalloproteins” and “Traceability of Mercury Measurements in the Environment”. 630 N. Oberbeckmann-Winter Michal Holčapek is Full Professor of Analytical Chem- istry at the Department of Analytical Chemistry, University of Pardubice, Czech Republic. His research interests are mass spectrometry and LC/MS with applications in the lipidomic analysis of various types of lipid iso- mers, the lipidomic quantitation of bi- ological samples, and the search for lipid biomarkers of serious human dis- eases. He is the co-author of 106 pa- pers with an h index of 30. He is also editor of the book ‘Extreme Chroma- tography: Faster, Hotter, Smaller’ and of special mass spectrometry volumes in Journal of Chromatography A, as well as of the lipidomics virtual issue in Analytical Chemistry. He is also on the Power List of the 100 most influential people in the analytical sciences presented by The Analytical Scientist. Marilyn A. Huestis is Chief of Chemistry and Drug Me- tabolism, National Institute on Drug Abuse, National Institutes of Health. Her main research interests are the pharmacology of cannabinoid ago- nists and antagonists, in utero drug exposure, and the many new psy- choactive substances that are the current face of drug abuse. She has published 348 peer-reviewed manu- scripts, and more than 500 abstracts. She has received many awards, including the Distinguished Fellow of the American Academy of Forensic Sciences (AAFS), Australian Distin- guished Visiting Scholar, Inspiring Minds in Clinical Chemistry, Alan Curry Lifetime TIAFT Achievement Award, Doctor Honoris cause from University of Helsinki Faculty of Medicine, Outstanding Contributions in Research from AACC, Irving Sunshine Award from IATDMCT, and the Rolla N. Harger Forensic Toxicology Award from AAFS. Maciej Jarosz is Chair of Analytical Chemistry, Fac- ulty of Chemistry, Warsaw University of Technology, Poland; a former Vice President and Treasurer of the Polish Chemical Society; a member of the board of the Committee on Analytical Chemistry, Polish Academy of Sci- ences; a national representative in the Division of Analytical Chemistry of IUPAC; and a member of the Steering Committee of the Division of Analyt- ical Chemistry of EuCheMS. He is the author or co-author of about 100 orig- inal papers and chapters in mono- graphs, and has given more than 200 lectures and made other contributions to scientific conferences. His scientific interests focus on cultural heritage preservation (identification of natural products in art works), food and phar- maceutical analysis, and environmental speciation analysis. He was awarded (among others) with an Honored Award of the Polish Chemical Society and the Prof. Andrzej Waksmundzki Medal from the Committee on Analytical Chemistry, Polish Academy of Sciences Award. Kiyokatsu Jinno is currently Professor Emeritus and Guest Professor at the Department of Environmental and Life Sciences, Toyohashi University of Technolo- gy, Japan. His research interests fo- cus on the miniaturization of analyt- ical separation systems and sample preparation. He has received various awards, such as the Golay medal. Uwe Karst obtained his Ph.D. in Analytical Chemistry from the University of Münster, Germany, in 1993, and was a Postdoctoral Research Asso- ciate at the University of Colorado in Boulder, CO, USA. After his return to the University of Münster, he finished his Habilita- tion in 1998. In 2001, he took over a position as Full Professor of Chemical Analysis at the Uni- versity of Twente, The Nether- lands. He accepted his current po- sition as Chair of Analytical Chemistry at the University of Münster in 2005. His research interests focus on hyphenated analytical tech- niques and their (bio)medical and pharmaceutical applications, includ- ing elemental speciation analysis, metallomics, mass spectrometric imaging, and electrochemistry/MS. David A. Keire is a Research Chemist in the Di- vision of Pharmaceutical Analy- sis within the Center for Drug Evaluation and Research at the US Food and Drug Administra- tion. He is an analytical chemist with expertise in NMR spectros- copy. His focus at the US FDA is on the application of modern analytical methods to the assess- ment of drug quality. His current work includes studies on the comparison and characterization of complex carbohydrate drugs, protein therapeutics, and mono- clonal antibodies. Meet the contributors 631 Rudolf Krska is Full Professor for (Bio-) Analytics and Organic Trace Analysis and is Head of the Department for Agrobiotechnology, IFA Tulln, with more than 170 co-workers at the Uni- versity of Natural Resources and Life Sciences, Vienna (BOKU). In 2009/2010, he worked for 1 year as Chief of Health Canada’s Food Re- search Division in Ottawa. He has received 6 scientific awards and is (co-)author of more than 200 SCI pub- lications (h index of 39). His cur- rent research interests are in the area of plant–fungi metabolomics and mycotoxin determination by novel mass spectrometric and infrared based techniques. Aldo Laganà has been Full Professor of Analyti- cal Chemistry at the Faculty of Sci- ences of Sapienza University of Rome since 2002 and Head of the Chemistry Department since 2003. His research activities are focused on the development and validation of novel analytical methods by means of advanced mass spectro- metric instrumentation (such as LC–MS/MS and nanoLC-HRMS with Orbitrap technology) for char- acterization and quantification of natural and anthropogenic sub- stances (e.g., flame retardants, pesticides, mycotoxins, polyphenols, phytoestrogens, estrogens, and other endocrine disrupter compounds) in environmental, food, plant, and biological matrices. In recent years, he has also turned his attention to proteomics and metabolomic studies, as well as to the interactions between biomolecules and nanoparticles for gene/drug delivery. Frances S. Ligler, Dr.Phil., Dr.Sc., is the Lampe Dis- tinguished Professor of Biomedical Engineering at the University of North Carolina at Chapel Hill and North Carolina State University, Se- nior Scientist Emerita at the US Na- val Research Laboratory, and a Member and Councilor of the US National Academy of Engineering. Currently working in the fields of biosensors and microfluidics, she has also performed research in bio- chemistry, immunology, and tissue engineering. She has over 375 full-length publications and patents, which have led to 11 commercial biosensor products, and she has been cited over 12,000 times (h index of 64). Her major awards include the 2003 Homeland Security Award from the Christopher Columbus Foundation; the 2003 Presidential Rank of Distinguished Senior Professional from President Bush; the 2012 Presidential Rank of Meritorious Senior Pro- fessional from President Obama; and an honorary doctorate from the Agricultural University of Athens, Greece, in 2014. Wolfgang Lindner is an expert in separation technolo- gies with a focus on molecular rec- ognition phenomena in separation sciences, life-science analysis, and materials science, as well as devel- oping diverse stationary phases with dedicated selectivity properties. Among these stationary phases, the chiral stationary phases (CSPs) have become the most widely known. He is the author and co-author of more than 440 publications, leading to >10,000 citations. Among other prizes, he has received the Chirality Medal, the A.J.P. Martin Gold Medal, the Halasz Medal, the ACS Award for Chromatography, the CaSSS Award for outstanding achievements in separation science, and very recently the Nernst-Tswett Award from the European Society of Separa- tion Sciences (EuSSS). R. Kenneth Marcus is Professor of Chemistry at Clemson University, where he has served on the faculty since 1986. His research interests are diverse, including the development of capillary-channeled polymers (C-CP) for applications in protein analytics and downstream process- ing, and the implementation of liq- uid sampling–atmospheric pressure glow discharge (LS-APGD) microplasmas as sources for atomic emission and mass spectrometric analyses. His research has resulted in over 170 peer-reviewed publica- tions and yielded 30 Ph.D. graduates. He has been elected as a Fellow of the Royal Society of Chemistry and the American Association for the Advancement of Science. Hans H. Maurer has been Full Professor of Pharma- cology & Toxicology at the Faculty of Medicine and Pharmacy, Saarland University, since 1992, and Head of the Department of Ex- perimental and Clinical Toxicology in Homburg, Germany. He has pub- lished over 260 original papers and been invited to write reviews on his two main areas of research: analyti- cal toxicology (GC-MS, LC-(HR)- MS), and the toxicokinetics and metabolism of xenobiotics. He is a member of the editorial board of various international journals and a member of the executive boards of scientific societies in his field. He has received several international scientific awards, including the title of Doctor Honoris Causa (honorary doctorate) in 2007 from the University of Ghent, Belgium. 632 N. Oberbeckmann-Winter Juris Meija is a Research Officer at the National Research Council, Canada. His research interests encompass the- oretical analytical chemistry, isotope-ratio measurements, and the history of chemistry. He serves as Column Editor for the analytical challenge series in Analytical and Bioanalytical Chemistry and is the Chairman of the IUPAC Commis- sion on Isotopic Abundances and Atomic Weights. Boris Mizaikoff is a Chaired Professor at the Uni- versity of Ulm and Director of the Institute of Analytical and Bioanalytical Chemistry (IABC), Ulm, Germany. His research in- terests include optical chemo-/bio- sensors, infrared spectroscopy and sensing technologies, quantum cascade lasers, multifunctional (nano-)analytical systems, sensor miniaturization, on-chip sensing platforms, integration and micro-/ nanofabrication, focused ion beam based nanofabrication, (bio)chemical molecular recognition schemes for separation and sensing applications, molecularly imprinted materials, environmental analytical chemistry, process analytical chem- istry, and biomedical diagnostics. Maria C. Moreno-Bondi has been Full Professor at the De- partment of Analytical Chemistry of Complutense University since 2008 after receiving her Ph.D. in analytical chemistry from the Complutense University of Madrid (Spain) in 1990. She received the Young Researcher’s Award from the Spanish Society of Analytical Chemistry in 1993 and a Research Award in Analytical Chemistry from the Royal Spanish Society of Chemistry in 2010. Her research interests lie in the development of optical chemical sensors and biosen- sors and their applications to environmental and food analysis, as well as in the development of biomimetic recognition elements for sensing and separation purposes. David C. Muddiman is currently Distinguished Professor of Chemistry and Founder and Di- rector of the W.M. Keck Fourier Transform Mass Spectrometry Lab- oratory at North Carolina State Uni- versity in Raleigh, NC, USA. His research interests include the devel- opment and application of novel chemistries, advanced separations, ionization sources, and mass spec- trometry directed at ovarian cancer research. His group has presented over 500 invited lectures and pre- sentations at national and international meetings, has published over 200 peer-reviewed papers and reviews, and has been awarded 4 US patents. He is the recipient of the 2010 Biemann Medal, American Society for Mass Spectrometry; the 2009 NCSU Alumni Outstanding Research Award; the 2004 ACS Arthur F. Findeis Award; the 1999 American Society for Mass Spectrometry Research Award; and the Safford Award, University of Pittsburgh, for Excellence in Teaching. Valérie Pichon is Full Professor at the UPMC. Since 2009, she has been leading the De- partment of Analytical, Bioanalytical Sciences and Miniaturization, which is part of the UMR Chimie Biologie Innovation. It comprises a team of 30 researchers (permanent staff, postdoc- toral researchers, and PhD students) and is located at the ESPCI ParisTech. She also co-leads the UMR CBI (more than 100 re- searchers). Her major research inter- ests include developing stationary phases based on antibodies or aptamers and molecularly imprinted polymers to selectively extract organic molecules from complex samples, and is always trying to miniaturize these tools. She is the author of more than 90 publications (h index of 32), 5 book chapters, and holds a patent. In 2001, she was awarded the Chemistry Prize of the Analytical Chemistry Department of the French Society of Chemistry. Furthermore, she is currently Vice President of AfSep (Association Française des Sciences Séparatives), the French Association of Separations Sciences. Jürgen Popp studied chemistry at the universities of Erlangen and Würzburg. After receiving his Ph.D. in chemistry, he joined Yale University for post- doctoral work. He subsequently returned to Würzburg University, where he finished his Habilita- tion in 2002. Since 2002, he has held the Chair for Physical Chemistry at the Friedrich- Schiller University Jena. Further- more, since 2006, he has been the Scientific Director of the Leibniz Institute of Photonic Technology, Jena. His research interests are mainly concerned with biophotonics, in particular, the development and application of Meet the contributors 633 innovative Raman techniques for biomedical diagnostics, as well as environmental and food analysis. He has published more than 450 papers in journals and is a fellow of SAS and SPIE. In 2012, he received an honorary doctorate from Babes-Bolyai University Cluj, Napoca, Romania, and in 2013 the Robert-Kellner Lecture Award. Luigia Sabbatini is Full Professor of Analytical Chemistry at the University of Bari Aldo Moro. She has been Head of the Chemistry Department (2005– 2010), President of the Laboratory for Diagnostics in Cultural Heritage, President of the Analytical Chemis- try Division of the Italian Chemical Society (1997–2000), and Italian Representative in the Division of Analytical Chemistry of EuCheMS. She is also on the Editorial Staff or Advisory Board of international journals, and is the co-author of about 170 ISI papers, co-inventor of several international patents, and editor or co-editor of books on surface analysis of polymer materials. Her main scientific interests focus on the development of application-oriented innovative (nano)materials, and on the design of surface architectures for biomedical devices and sensors and their characterization by X-ray pho- toelectron spectroscopy. Recently, she has devoted her attention to the development of nondestructive and noninvasive analytical methodologies for the characterization of samples in the field of cultural heritage. Yoshihiro Saito has been Associate Professor at the Department of Environmental and Life Sciences, Toyohashi University of Technology, Japan, since 2008. He received his Ph.D. in 1996 from the same university. After 2 years as a Postdoctoral Researcher in the USA, he returned to Toyohashi as a Research Associate, and was then promoted to Assistant Professor (2000) and Associate Professor (2008). He received the Young Sci- entist Award from The Society for Chromatographic Sciences (Japan) in 2002 and the Tokai Chemical Industry Award (Japan) in 2004. He has served as Secretary General of The Society of Chromatographic Sciences since 2012 and as Associate Editor of Analytical Sciences (2009–2014). His research interests include the development of micro- scale analytical systems, such as microextraction and microcolumn sep- aration techniques, hyphenated systems based on these techniques, new stationary phase design and synthesis, and the application of fibrous materials to microscale extraction/separation methods. He is the author or co-author of over 130 research papers in separation science. Renato Seeber is Professor of Analytical Chem- istry at the University of Mode- na and Reggio Emilia, Italy. He is the co-author of about 190 scientific publications and chap- ters of books, and has also been editor or co-editor of special is- sues for various journals, such as S e n s o r s , A n a l y t i c a l a n d Bioanalytical Chemistry, and Electrochimica Acta. His current in- terests are in the field of electro- chemical sensing, from the design, realization, and characterization of new materials, devices, and measure- ment procedures, to elaboration of the relevant responses. Previously, he was interested in molecular electrochemistry, in the definition of novel algorithms for simulation and analysis of electrode mechanisms, and in experimental and theoretical studies of equilibria and kinetics of interest in food and soil chemistry. Torsten C. Schmidt is Head of the Department of Instru- mental Analytical Chemistry and the Center for Water and Environmental Research (ZWU) at the University of Duisburg-Essen, and Scientific Di- rector at the IWW Water Centre in Mülheim an der Ruhr. He is currently President of the German Water Chemistry Society. In 2013, he re- ceived the Fresenius Award from the German Chemical Society. His main research interests include the development and application of ana- lytical methods with a focus on separation techniques (GC, LC), sample preparation, compound-specific stable isotope analysis, process-oriented environmental chemistry, and oxidation processes in water technology. Toshimasa Toyo'oka is Full Professor at the School of Pharmaceutical Sciences and the Graduate School of Pharmaceutical Sciences, University of Shizuoka, Japan. He is also Dean of the Gradu- ate School of Pharmaceutical Sci- ences. His major research interests are the development of new chiral derivatization reagents for various functional groups, new analytical methods including high-throughput separations (UPLC and SFC, etc.), highly sensitive detections (FL and MS, etc.) of biomolecules, and bio- marker discovery in noninvasive samples (saliva and hair, etc.) for the diagnosis of disease. He is the author and co-author of over 230 original scientific papers, 20 review papers, and 25 book chapters. In 2011, he received the Society Award from the Japan Society for Chromatographic Sciences. 634 N. Oberbeckmann-Winter Miguel Valcárcel has been Full Professor of Analyti- cal Chemistry at the University of Córdoba since 1976. His master re- search lines have focused on analyt- ical nanoscience and nanotechnolo- gy, and the automatization/minia- turization/quality of (bio-)chemical measurement processes. He is the author and co-author of more than 900 scientific articles, 8 mono- graphs, 10 textbooks, and 20 book chapters. He has been the coordina- tor of 25 Spanish scientific research projects, 14 of which were interna- tional in nature, and of 12 contracts with private firms, and has promoted a spin-off company devoted to nanotechnology. He has been co- supervisor of 75 doctoral theses and invited lecturer at 70 international meetings. He is the recipient of national (e.g., Award in Chemistry in Spain, 2005) and international (e.g., Robert Boyle Medal from the RSC, 2004) scientific prizes, as well as having received the Doctor Honoris Causa from the University of Valencia (Spain). Frank Vanhaecke is Senior Full Professor of Ana- lytical Chemistry at Ghent Uni- versity (Belgium) and has a pas- sion for the determination, speci- ation, and isotopic analysis of (trace) elements by inductively coupled plasma mass spectrome- try (ICP-MS). He leads the Atomic & Mass Spectrometry (A&MS) research group, which studies fundamentally oriented aspects of the technique and de- velops methods for solving challenging scientific problems in an interdisciplinary context. So far, his scientific research has result- ed in more than 250 publications in peer-reviewed journals. In 2011, he received a European Award for Plasma Spectrochemistry for his contributions to the field. He is a Fellow of the Royal Society of Chemistry (RSC) and the Society for Applied Spec- troscopy (SAS). Picture © Cédric Verhelst. Adam T. Woolley is Professor and Associate Chair in the Department of Chemistry and Biochemistry at Brigham Young University in Provo, UT, USA. He is the recipient of a Presidential Early Career Award for Scientists and En- gineers (2006) and the ACS Division of Analytical Chemistry Award for Young Investigators in Separation Science (2007). His current research focuses on three general topics: the development of novel and sophisti- cated integrated microfluidic sys- tems for preterm birth biomarker quantitation, the design of simple miniaturized biomolecular assays, and biotemplated fabrication of nanoelectronic systems. Guowang Xu is the Director of the Metabonomics Research Center in the Dalian Insti- tute of Chemical Physics, Chinese Academy of Sciences. In 2004, he obtained the Distinguished Young Scientists award from the National Natural Science Foundation of China. He was the co-chairman of the 30th ISCC in China, 33rd HPLC in Japan, and 37th HPLC in China, and is a member of the permanent scientific committee of HPLC. His main research interests are in chroma- tography, mass spectrometry, and metabolomics applications in disease biomarker discovery, traditional Chinese medicines, and food safety. Xiangmin Zhang is Professor of Analytical Chemis- try in the Department of Chemistry at Fudan University with a second- ary appointment at the Institutes of Biomedical Sciences in Shanghai, China. He is also a member of the editorial board of Proteomics and the Chinese Journal of Chromatog- raphy. His major research interests include chromatographic separa- tion; developing nanomaterials for the enrichment of proteins/ peptides; and the development of chromatographic techniques, mass spectrometric methods, and hyphenated technologies for proteomic anal- ysis and disease biomarker discovery. He is the author or co-author of over 200 peer-reviewed papers, books, and book chapters. Meet the contributors 635 Meet the contributors 
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work_av4bjingizezjcc6k27eydunwy	----	2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 224 PressAcademia Procedia 2nd World Conference on Technology, Innovation and Entrepreneurship May 12- 14, 2017, Istanbul, Turkey. Edited by Sefer Şener NEW FORESIGHT GENERATION AND FRAMEWORK OF FORESIGHT DOI: 10.17261/Pressacademia.2017.593 PAP-WCTIE-V.5-2017(31)-p.224-233 Nurdan Yuksel 1,2 , Hasan Cifci 1,3 Serhat Cakir 4 1 Department of Science and Technology Policies Studies, Middle East Technical University 3 Turkish Air Force 4 Department of Physics, Middle East Technical University, Çankaya, Ankara, Turkey 2 ASELSAN Inc.,Yenimahalle, Ankara, Turkey *Corresponding Author: nurdan.yuksel@metu.edu.tr ABSTRACT The article starts with various definitions of technology foresight from the literature and new definition is given by the authors. Prominent definitions of foresight are analyzed and given according to their different elements in the literature. By assessing the evolution of foresight as a term and its five generations through time, the foresight of sixth generation is set forth. Based on the literature analysis, foresight generations are grouped into four main categories. Foresight frameworks are analyzed and a generic foresight functional model with nine consecutive phases named ‘FORESIGHT’ is suggested. Functions in the FORESIGHT model are matched with the phases of main foresight frameworks in the literature based on their actions and artifacts within specific phases. It is like a guide for practitioners of which activities are carried out in foresight studies. Keywords: Foresight, foresight framework, foresight generations. 1. INTRODUCTION Humans have a capacity to systematize the estimation of future events [1]. Voros [2] defines the Three Laws of Future based on the suggestion of Amara [3] as it is not predetermined, not predictable and the selection of today affects its outcomes. Since the future itself is a complex subject coming from its uncertain nature, futures oriented studies are difficult to determine and realize. Any statement related with future cannot be confirmed at the time when they are built [4]. It is a challenge or almost impossible to predict the future. Following quotes show the difficulty of predicting the future developments and prove the need a new approach to the future related matters: - "Everything that can be invented has been invented", Charles H. Duell, Commissioner, US Office of Patents, 1899. - "Airplanes are interesting toys, but of no military value", Marshall Foch, 1911. - "There is no reason for an individual to have a computer at home", Ken Olsen, Chairman of Digital Equipment Corporation, 1978. Unlike future as a term, which invokes “looking ahead” [5], futures studies also include “looking back” [6] and looking present. Since futures is very wide subject, there is different terminology about it as futures research, "futures studies", sometimes futures analysis, futurism, futuristics, or even futurology [2]. According to Sardar [5], suffix of –logy in futurology which shows the meaning of certainty and objectivity is not suitable for futures having ambiguity. He mentions about the linguistic and pronunciation difficulty of futuristics and lethality of futurism’s logic which implies that science will provide knowing the future. While Voros [2] prefers to use Futures since the term gives the plurality of different futures, Sardar [5] finds the best suitable term as Future Studies with the same reasoning of Voros. Futures are evaluated as extensive professional and academic area continuing mailto:nurdan.yuksel@metu.edu.tr 2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 225 PressAcademia Procedia to develop with its methods, tools and research [7]. Futures studies are multi-disciplinary, trans-disciplinary and un-disciplinary 1 [5] activities for the future. When looking at the literature, forecast and foresight as future studies come into prominence. While forecast is mainly passive attitude for the single future, foresight is systematic active attitudes of today for diverse futures. Foresight has wider aim such as involvement of broad participation, invoking the policy makers with its outputs [8] and providing greatest economic and social benefits [9]. Forecast is a set of techniques which are used to convert inputs to outputs whereas foresight is mainly a process of which techniques are used to create common understanding, commitment and networking [10]. According to Loveridge [11] foresight is structurally based on the “uncomfortable marriage of well-structured and tested information to its counterpart subjective opinion”. The timeline in Figure 1 shows the history of foresight as a term. Figure 1: Timeline of Foresight as a Term 2 Hines and Gold [12] researched about the foresight profession and assessed its status against the common criteria of profession. Since they concluded that it corresponded the requirements of capacity, field and discipline more or less but it was not able to emerge as profession by 2013. Together with the knowledge economy in globalized world, it is undeniable that science and technology are the major determinants of the future. So, technology foresight becomes the most important type for future studies. Martin [13] defines Technology Foresight (TF) as "A process involved in systematically attempting to look into the longer-term future of science, technology, the economy and society with the aim of identifying the areas of strategic research and the emerging generic technologies likely to yield the greatest economic and social benefits". TF also creates networks between the stakeholders by invoking awareness about opportunities, threads, social and economic needs, benefits or damages. TF studies contribute to knowledge creation by building Ba 3 which is shared extent of the relations emerged from interactions between individuals, groups and environment [14] and filling the Ma 4 which represents the spaces between boundaries of Ba such as disconnection of stakeholders or physical distance between them. TF is just one of the analyses of Technology Future Studies (TFA) or Future oriented Technology Analyses (FTA). Different forms of FTA, which covers emerging technology conditions and types, 1 It consciously rejects the status and state of a discipline while being a fully-fledged systematic mode of critical inquiry. 2 Miles [22] was used in building timeline of foresight. 3 Japanese term come up with by philosopher Kitaro Nishida and developed by Shimizu 4 Japanese word which can be roughly translated as "gap", "space", "pause" or "the space between two structural parts [43]. 2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 226 PressAcademia Procedia technology development paths and their impacts systematically, such as technology forecasting, technology intelligence, technology assessment, technology roadmapping exist concurrently with TF [15]. In Table 1, elements of various foresight definitions in the literature are shown. Elements are listed based on the number of references given. In accordance with the model suggested in this study, a new foresight definition is set forth as follows: “Foresight is a systematic and multidisciplinary process with proper methodology combinations for identifying technological, economic and social areas to prioritize investments and research in order to determine medium or long term future strategies by using all level of resources from organizational to international.” 2.FORESIGHT GENERATIONS Foresight studies can be divided into different generations based on the scope, goals and methods involved within foresight processes. In the literature, there are different approaches which can be categorized under 4 main groups towards generational models of foresight as shown in Figure 2. Linstone [16] classifies foresight generations into three groups based on certain society. I. First generation (ca. 1800 - Industrial Society): Foresight activities were mainly based on technology forecasting which dated back to industrial era with Taylor’s scientific management. Quantitative, semi- quantitative and qualitative tools were developed in order to forecast and predict technological developments. II. Second generation (ca. 1970 - Information Society): Information technology has noteworthy impact in effecting simultaneous centralization and decentralization or globalization and localization. Computer capabilities have been used for forecasting. It has become possible to use vast majority of databases and computer power in order to reach and process huge volumes of data. III. Third generation (ca. 2025 - Molecular Society): This era is founded on molecular level with nanotechnology, biotechnology, and materials science stepping forward. It is also referred to as the Nano-biotechnology era and the Micro and Nanotechnology era (MNT). Nanotechnology is expected to lead to a vast increase in computational power and intelligence which are exploited in foresight methods and activities. As one of the main triggers of the foresight studies, globalization plays an important role in emerging of foresight generations. Table 1: Elements of Various Foresight Definitions M a rt in ( 1 9 9 5 ) M a rt in & J o h n st o n (1 9 9 9 ) S la u g h te r (1 9 9 5 ) G e o rg h io u (1 9 9 6 ) G e o rg h io u , H a rp e r, K e e n a n , M il e s, & P o p p e r (2 0 0 8 ) B a rr é ( 2 0 0 1 ) M il e s & K e e n a n ( 2 0 0 2 ) M il e s ( 2 0 1 0 ) H a rp e r (2 0 0 3 ) V o ro s ( 2 0 0 5 ) K e e n a n e t a l. ( 2 0 0 7 ) P o p p e r (2 0 0 8 ) P o p p e r ( 2 0 1 1 ) S ch m id t (2 0 1 5 ) C o n w a y ( 2 0 1 5 ) Y ü k se l & Ç if ci & C a k ir (2 0 1 7 ) Systematic studies/process X X X X X X X Looking at medium and long term future X X X X X X Participatory, collective, networking process X X X X X X Building visions X X X X Gathering intelligence X X Learning process X X Mobilized actions X X Joining key agents of change and knowledge sources X X Assessing scientific and technological developments X Looking into science, technology, economy and society X Identifying technologies which have impact to create economic and social benefits, industrial competitiveness, wealth creation and quality of life X 2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 227 PressAcademia Procedia Identifying critical technologies to the success of the country or industry X Cognitive capacity X Setting Priorities X X Changing research system and administrative culture X Identifying and examining weak signals X Activities anticipating, recommending and transforming (ART) technological, economic, environmental, political, social and ethical (TEEPSE) futures. X Actively engaging key stakeholders X Prospective and policy-oriented process X Context for predictive analysis and planning X Promoting trans-disciplinarity research X Underpinning areas of strategic research X Universal Human Capacity X Wiring up the national/regional system of innovation X Strategic Thinking X Common Ownership of Strategies X Incubation of Strategic Approaches X Using organizational, regional, national and international resources X Proper methodology combinations X Identifying technological, economic and social areas to prioritize investments and research X Figure 2: Main Approaches to Foresight Generations 2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 228 PressAcademia Procedia Jemala [29] classifies five foresight generations according to their corresponding three globalization phases by pointing out first foresight studies of related generations according to date: I. First globalization phase: The phase dating back to Christopher Columbus in 1490s and lasting to 1913 with the effect of “Laissez Faire” thought was generalized as Era of Forecast since there were not so many systematic approaches and strategic plans in general. Most of the future studies were being performed just because of inherent human reaction to its fear of undetermined future. II. Second globalization phase: The phase from 1914 to 1980s mainly affected from world wars and information and communication technologies was named as Era of Forecast until 1956 and First Generation of Foresight from 1956 to 1990. First foresight generation focused on science and technology of post war conditions. Although ‘forecasting’ term continued to be used to 1980s, in 1956 China performed forecast having many features of foresight. Systematic manner with participatory methods and strategic planning to be beneficial in societies especially with the efforts of futurology and technology professionals [29], e.g. 30-year technology forecast of Japanese Science and Technology Agency (STA) in 1971, started to be dominant as First Generation of Foresight. III.Third globalization phase: The phase from 1999 to 2009 based on the inequalities between the countries arising from the global trade and finance included all five generations of foresight. Second foresight generation was mainly triggered from industry and markets. It is performed with the participation of different stakeholders and science-technology relation with social-economic development was the main focus. Third foresight generation, approximately in 2000, expands the stakeholders to social actors to create foresight culture and to do studies on different areas like environment, education, ethics etc. apart from just science and technology. Fourth and fifth generations focus on systematic approach with system view more and technology and innovation management become dominant. When it comes to mixed approach –i.e. generations based on certain era and activities- Reger [30] determines three generations based on technology foresight process and assigns certain time intervals per generation [31]: I. First generation (from 1960s to beginning of 1970s): Technology foresight was carried out within organizations and focused on forecasting and prediction. Foresight was conducted as a sub-task of project planning. II. Second generation (from 1970s to beginning of 1990s): Foresight was focusing on technology data and remained a forecasting action. Specialized and separated foresight units were responsible for foresight within organizations. III. Third generation (from 1990s): Technology foresight became an important element of strategic management and decision-making. Not only technologic but also economic, social, environmental and legal trends were taken into account. Activities were extended to encompass networks of organizations. In terms of foresight generations based on activities, Georghiou categorizes generations into five different groups based on the stakeholders involved and activities carried out [32]. Foresight generations are [33]: I. First generation: Merely technology forecasting carried out by experts on the future studies. Main goals are making accurate predictions and expressing results to non-expert audiences. II. Second generation: Foresight activities which began in 1990s in order to combine technology and markets. Industry and academia are bringing together to establish science and business networks. III. Third generation: While keeping technology and markets, social dimension is added to the studies. Industry, academia, government and civil society are the main actors. More stakeholders are involved in evaluation. IV. Fourth generation: Foresight activities are moved away from integrated programs to different actors within science and innovation system. Multiple organizations carry out foresight studies according to their needs with some level of coordination. V. Fifth generation: Structural activities focusing on complex policy issues of global science, technology and innovation systems. The foresight generations in the literature classified based on the certain dates by authors Reger [30] and Jemala [29] (with the addition of the first performing countries) is depicted in the Figure 3. While Reger [30] assorted foresight as three generations up to 2001, Jemala [29] grouped them into five generations until 2009. The generations’ dates were not coherent in their studies because of different arguments used in classification and terminological confusion between forecast and foresight. An individual foresight program can have elements of more than one generation. These generations are not sequential approaches and should be thought as “concurrent, overlapping and reflexive” [34]. 2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 229 PressAcademia Procedia Figure 3: Dates of Foresight Generations in the Literature When foresight generations are evaluated for their methodologies approaches; first generation, which was dominated by forecasting mostly around 1960s, used mostly quantitative methods although some qualitative methods like scenario planning emerge in this generation [35]. For the second generation, in which foresight activities started to increase, participative methods together with qualitative methods became widespread. Third generation, which included social dimension, used the analysis like SWOT (Strengths, Weaknesses, Opportunities, and Threats) more. Fourth and fifth generations, which focus on global science, technology and innovation systems with different actors and complex structures, use mixed and internet based methods more prevalently. Saritas [36] suggests new foresight approach which comprehends complex, inter-dependent, inter-connected nature and behaviors of the foresight system. As sixth foresight generation the assessment of the authors is added to Table 2, which is adapted from Georghiou et al. [19] and [37], and generations are shown with respect to its concentration/dimensions, participating actors, economic rationales and principle. Table 2: Foresight Generations Foresight Generations Concentration Dimensions Participating Actors Economic Rationales Principle First Technology Technology Experts, Professional Futurists Economic Planning To follow the disciplinary taxonomies of science-engineering Second Technology- Markets Academics, Industrial Researchers and Managers Market Failure To provide a bridge between industrial/service sector and economy Third Technology- Markets-Social Dimension More Social Stakeholders (NGOs, Consumer Groups System Failure (socio-economic system) To solve socio- economic problems Fourth Science- Innovation System More Participators of National Policy Exercise Bridging institutions in socio-economic system To build own structures in terms of object of analysis Fifth Global science- technology management- innovation systems More experts, stakeholders and professionals with foresighting skills Bridging institutions in socio-economic system To build own structures in terms of object of analysis Sixth Netocracy 5 , biotechnology, more values and ethics in chaordic social dimension Netocrats 6 , Netizens 7 (crowd-sourced from a much wider range of constituencies than the usual experts), Futurists, Futurizens 8 Blurring the roles of consumers and producers in economy To co-create by combining altogether the desirable visions of stakeholders with evidence from big data 5 "It refers to a perceived global upper-class that bases its power on a technological advantage and networking skills" [44]. 6 "Those who can harness networks of information and master new forms of communication will control finance and legislation, forming the new business and government elites" [45] 7 "People online who actively contribute towards the development of the Net (a Net Citizen)" [46]. 8 "Prescient, future-facing, forward-looking people, citizens of future [47] and futurium (The European Commission Project collecting people's contributions in futures policy constitution) community. 2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 230 PressAcademia Procedia 3.FORESIGHT FRAMEWORKS AND PRINCIPLES The main dimensions of foresight, which are context, scope, artifacts, participating actors and methods, have evolved throughout the foresight journey within its generations until today. So, many scholars have been contemplating about foresight’s theoretical and conceptual framework to catch this dimensional change. It has also brought the need for common vocabulary for foresight thus ontology has become important. “Ontology is a formal, explicit specification of a shared conceptualization” [38] and it provides clarification of knowledge [39]. Within this perspective, in the foresight literature, frameworks play important role to create common terminology. Accordingly, some of well-known foresight frameworks are analyzed in the following paragraphs. Martin [13] analyses foresight as a process having three phases. In the first phase named pre-foresight, the decision taking to perform the process and preparation are the main steps. Second phase is foresight containing comprehensive design, strategic analysis of its possible utilities, consensus about the best promising options, determining the scientific priorities by disseminating the outputs. In the last phase which is post-foresight, implementation of foresight in policy-making and resources allocation take place [39]. Voros [40] defined generic foresight framework by treating it as a process. His framework is based on modification of Horton’s three phased process, combining it with Mintzberg’s strategy view and Slaughter’s strategic foresight approach. While knowledge gathering and strategic intelligence are assessed as inputs; analysis which is related to the question of ‘what seems to be happening?’, interpretation based on the question of ‘what is really happening?’ and prospection related to the ‘what might happen?’ are handled in the foresight phase. Outputs are comprised of strategic choices resulted from broad understanding. By separating outputs and action, he added strategy as a last step that contains actions for decision-making in strategy development and strategy planning. Hines & Bishop [41] viewed foresight as a process requiring six involvements of leaders and organizations defined as framing, scanning, forecasting, visioning, planning and action. Framing contains problem identification and determination of its and its solutions’ expenses. Scanning is the step of being aware of the trends and related information. While forecasting is creating the possible futures, visioning is selection of desired future and determining the position of organization for that future. Planning is generating the road to the desired future and acting is bringing plans to actions on ongoing base. Saritas [36] proposed a Systemic Foresight Methodology (SFM) comprised of Intelligence, Imagination, Integration, Interpretation, Intervention and Impact, all within Interaction, to generate and conduct foresight operations. All of the operations are performed in dynamic, repetitive and evolutionary way and considered in the extent of how systems in the range of foresight are handled. Foresight is implemented with the thought of the internal (e.g. management, processes, motivation, politics, culture, power, skills) and external context (e.g. STEEPV 9 ) in the systemic approach [36]. The systemic approach assesses the foresight with its interrelated and interdependent elements and their complex connections [36]. Within this approach, intelligence phase contains gathering data, analysis of trends and changes to determine the scope and content of the foresight study. Imagination involves creating and interconnecting new ideas, scenarios. Integration is the phase of identifying priorities and creating agreed model of future. While the models and visions are transformed to strategies to be carried out in interpretation phase, plans and policies are required to be constituted in order to put them into practice in intervention phase. The foresight is reviewed and lessons learned are taken to renew it or for better applications in impact analysis. All of the phases in SFM are conducted with the participation of stakeholders in some forms interaction. Schultz [42] took foresight as an integrated process and defined it as a five key activities namely ‘identify and monitor change’, ‘assess and critique impacts’, ‘imagine alternative outcomes’, ‘envision preferred vision’ and ‘plan and implement change’ in order. He puts the change to the center of foresight process and starts with catching the pattern of change with trend analysis. As a second activity, the impacts of change are defined by sorting them according to their relevance and importance. Determining alternative futures and picturing them in the mind is the key element called imagining alternative outcomes. Selecting the desired future and putting it forth as stated vision is the following activity. Last activity is comprised of specifying stakeholders, designating resources for the clear purposes, developing strategies, organizing activities and creating change. With the light of the foresight frameworks in the literature, in this study a generic foresight functional model named ‘FORESIGHT’ which is built to draw outlines of the functional system is developed. When one of the functions doesn’t work properly, it can’t be mentioned about the proper operation of the whole system. In the proposed functional model FORESIGHT, there are nine functional blocks as ‘framing’, ‘obtaining’, ‘reviewing’, ‘establishing’, ‘synthesizing’, ‘illustrating’, ‘guiding’, ‘handling’ and ‘tracking’. In the model, consecutive functions are interrelated and interdependent. 9 STEEPV: Social, Technological, Economic, Ecological, Political, Values analysis tool is a framework to gauge how the external environment will impact a given company’s strategic plan to remain competitive. 2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 231 PressAcademia Procedia Framing: Fulfilling the tasks of determining foresight purpose, scope, content and time horizon. Obtaining: Collecting data and information, gathering participants also by using co-nomination in iterative way which are consistent with its frame stated in the previous function. Reviewing: Sharing ideas and opinions on the accessed data and information related with past and present, summarizing, analyzing them to be processed. Establishing: Thinking about the future with the knowledge created, picturing possibilities in the minds and imagining the alternatives to create futures. Synthesizing: Combining all alternative future thoughts with the present state conditions and resources in an interpretive way. Discussion, negotiation, facilitation and conflict resolution takes place in this function. Illustrating: Pointing out the possible futures, visioning and generating reports, broadcasting with multimedia, sharing in social media. Guiding: Defining actions and changes those will be performed, determining sequencing of them to reach different futures, strategy development and planning. Handling: Taking actions, making changes and solving application problems. Tracking: Evaluating outcomes and results of handling, performing impact analysis to take lessons for learning process. In Table 3, functions in the FORESIGHT have been matched with the phases of mentioned foresight frameworks based on their actions and artifacts within specific phases. Table 3: Foresight Frameworks in the Literature 4.CONCLUSION Future has always been wondered and some systematic studies have been done to get ready to different futures through the time. So, there are different futures studies in the literature including the foresight which is the most common one especially from 1990s. To cover the all elements of prominent foresight definitions in the literature, the new definition of foresight which is based on the resources, methodology and futures strategies is presented. By searching the literature for foresight generations, sixth foresight generation is evaluated as the one dominated with netocracy and biotechnology. It is assessed that the intensive use of big data, Internet of Things, add on biological units and artificial cyborgs will bring ethical and social dimensions together. The sixth generation foresight studies involve the netocrats, netizens, futurists and futurizens as the actors who initiate, carry out the operations and affected from them. Additionally, a generic foresight functional model with nine consecutive phases named FORESIGHT (Framing, Obtaining, Reviewing, Establishing, Synthesizing, Illustrating, Guiding, Handling, Tracking) is suggested with the search of frameworks in the literature. This functional model covers the phases of a generic foresight process regarding to its activities done. Futures will continue to remain the latent area always been tampered by humans even the science allows to read Yüksel&Çifci (2017) Martin (1995) Miles (2002) Voros (2003) Bishop&Hines (2006) Schultz (2006) Sarıtaş (2011) Foresight Functions Foresight Process The Foresight Cycle A Generic Foresight Framework Foresight Key Activities of Integrated Foresight Systemic Foresight F Framing Pre-Foresight Framing O Obtaining Recruitment Identify and monitor change Intelligence R Reviewing Analysis Interpretation Asses and Critique Impacts Imagination E Establishing S Sythesizing I Illustrating Outputs G Guiding H Handling Post-Foresight (Implemantation, Allocation) Action Action T Tracking Renewal Impact Plan and Implement Change Intervention Scanning Forecasting Envision Preferred Futures Integration Interpretation Visioning Planning Pre-Foresight (Decision, Preparation) Inputs Foresight (Process Design, Strategic Analysis, Agreeing, Disseminating) Generation Prospection Strategy 2nd World Conference on Technology, Innovation and Entrepreneurship (WCTIE-2017), V.5-p.224-233 Yuksel,et al. ___________________________________________________________________________________________ DOI: 10.17261/Pressacademia.2017.593 232 PressAcademia Procedia the thoughts and determine the people tendencies in the future. 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work_ax273z7ldzbrplmak5eznfsbr4	----	Antiquity - V O L . X L V I N o . 181 XTARCH 1972 Editorial The Guy Tourguide map that was given us when we hired a car to drive from New York to Boston last September had a special section: Tourguide Facts : Places of Interest and, under New Hampshire, was this entry: N . Salem. Mystery Hi21 Internationally famous archaeological mystery And then we remembered correspondence between Frank Glynn and Tom Lethbridge in the thirties and photographs passed on to us of what purported to be pre-Columbian mega- lithic monuments in New England. We drove to Mystery Hill so soon as we decently could leave the better-known famous archaeologists of Harvard. It lies some 65 km. north of Boston and is 40 km. from the sea. As we nervously approached it, we saw a great notice saying ‘Welcome to Mystery Hill-the American Stonehenge’, and on arrival were presented with a pamphlet describing it thus: IZ-acre settlement of megalithic structures, huts, dolmens, carefully built walls, intricate underground drainage systems, carvings, rock- basins and bowls : several underground caverns. Centered by a grooved slab, with supporting table, called the sacrificial stone. The tea and souvenir shop which issued tickets for admission, and which we approached with mounting trepidation, had notice boards with cuttings from various journals. One by Dorothy Patten, in the Haverhill Gazette for 3 I July 1967, described Mystery Hill as: . . . the largest unsolved complex of man-made stone structures ever found in the United States . . . How far back in the centuries do these date? What are they and who built them? Are they the products of the Bronze Age? The Phoenicians ? Irish Culdee Monks ? Vikings ? Indians ? Or the eccentricities of Colonial farmer Jonathan Pattee who occupied the site from 1826-1848 ? We went round the site with interest and spent another whole day there with Paul Johnstone of BBC Chronicle, who was making a film of this strange complex of buildings. Pattee’s Hill is 800 m. high and the stone complex covers three quarters of an acre (0.30 ha.) on the top of the hill. At first sight it looks like a cross between a large neglected rockery, disused farm out-buildings, and the ruins of a folly, all with ghost memories of Cornish fogous, Grimspound, French souter- rains, and Sardinian cappane. In our judgement it certainly bears no morphological or construc- tional resemblance to the great megalithic monuments of prehistoric Western Europe, apart from, of course, the coincidental resemb- lances that occur when dry stone walling is used in a building for construction and large stone slabs for trabeate roofing. The pigsties of Pembrokeshire and the clapper bridges of Dartmoor are as much ‘megaliths’ in the proper archaeological sense of the word, as are some of the odd buildings at Mystery Hill. The site has been known to natives of the area for more than a hundred years as Pattee’s Caves. Jonathan Pattee was a French Huguenot farmer who lived there for a while. In 1936 the site was bought by a prosperous gentleman, a retired insurance executive, from Hartford, Connecticut, named William B. Goodwin. He brought the site to the attention of archaeologists and himself dug large portions of it, with, apparently, little care or attention. He decided, on the results of his diggings, that it was a settlement of Irish Culdee monks. I A N T I Q U I T Y In 1939 Goodwin persuaded Dr Hugh Hencken of Harvard to visit the site. Hencken was unable to agree that the site was,of Irish origin, and thought it colonial: he published his views in an article entitled ‘The “Irish Monastery” at North Salem, New Hampshire’ in the New England Quarterly, XII, September 1939. His learning and argument however did not convince Goodwin who believed the site an Irish monastery until his death in 1950; and, in 1946, published a book entitled The Ruins of Great Ireland in New England. In 1955 the Early Sites Foundation of New England authorized and financed an expedition to dig the site: the excavators were Junius Bird of the American Museum of Natural History and Gary Viscelius of Yale. After six weeks’ digging the Bird-Viscelius expedition decided that there was nothing earlier than revolutionary days and Jonathan Pattee. One member of the expedition, Frank Glynn of Clinton, Connecticut, and sub- sequently President of the Connecticut Archaeo- logical Society, did not agree with these find- ings and continued to excavate on his own for many years. Glynn alleged that he could point to forty-eight similarities between Mystery Hill and the Bronze Age of the Old World: he believed the site to be the most westerly exten- sion of the European megalith builders, and he dated the site to between 3000 and 500 BC. The site is now owned by Robert Stone of Derry, an engineer with Western Electric, and President of the New England Antiquities Research Association (founded in 1964). New excavations have been proceeding at Mystery Hill for the last six years under the direction of James P. Whittall Jr: Stone and Whittall are convinced that they are dealing with something much earlier than Pattee, and, while they agree that such evidence does not date the site, were very excited by the C14 dating of charcoal found between walling stones of one of the buildings. This gave a date of 3475 f 210 BP or I525 BC: the dating was determined in the Geochron Laboratories at Cambridge, Mass. (reference GX.23 10). This date shows that the site had an early occupation; but we share Hencken’s views that the visible structures of the present day are unlikely to be earlier than the 17th century. A colleague summed up his views recently by saying that it was a classic example of ‘how archaeology is used to take the great American public for the proverbial ride’ and how right he was! The real interest of Mystery Hill is not that it is a great archaeological mystery, but that it is built up as such. The great American public want mystery and they passionately want proof of the settlement of their country in pre- Columbian times. The bookstall at Mystery Hill sold copies of NEARA-the quarterly Newsletter of the New England Antiquities Research Association; and C. M. Boland‘s They all discovered America. We devoured Boland avidly. His book, des- cribed as ‘an absorbing, imaginative account of the explorers who came to America before Columbus’, was first published in 1961, and is now a paperback to be found everywhere. When Boland’s book first came out the Sun Francisco News-Call Bulletin said ‘Americans should read this book to learn just how long their native land has been there’, and the Indianapolis Star declared that ‘If Christopher Columbus had known half as much about the discovery of America as the author of this book, he never would have taken the trouble.’ Boland has nineteen pre-Columbus discoverers of America : these include Phoenicians, Romans, the Chinese Hoei-shin (and where indeed did he get to?), St Brendan, Irish Culdee monks, Vikings from Bjarni Herjulfsson to Bishop Eric Gnupsson, Quetzalcoatl, Prince Madoc, Paul Knutson, Prince Henry and the brothers Zeno, and Joaz Vaz Cortereal. Every con- ceivable dubious find or known forgery is dragged into service by Boland, from alleged Phoenician inscriptions through the Dighton Rock on Assonet Neck, Rhode Island, the Minnesota Stone, the Newport Tower (of course) and the Beardmore finds of 1931. There is a photograph of a carving of an alleged Phoenician ship revealed when the waters of Lake Assawompsett in Massachusetts were lowered, and of Mr Albert Wheeler holding aloft a fragment of a suspected (by whom and why?) Viking ship found on his property in Massachusetts. And as he finished writing this 2 E D I T O R I A L amazing collection of credibilities and nonsense, Boland was able to trumpet abroad the announcement of the authentication of a Roman head of the 2nd century AD found in Calixtlahuaca in Mexico ‘under three sealed and undisturbed floors, found in 1940, but an- nounced by Dr Heine-Geldern in the Inter- national Congress of Americanists in Vienna in July 1960’. Boland coins a useful and amusing phrase: ‘the NEBC principle’, which means the model of thought that insisted there could be no Europeans in America before Columbus, and this model of thought is to be recorded and described in the same way as we are describing, from Boland and Gordon and others, the reverse model which we may encapsulate in a similarly useful and perhaps amusing phrase : ‘the MEBC principle’, which means many Europeans (and Mediterraneans and Orientals and others) in America before Columbus. The N E A U newsletters are, unhappily, the same sort of MEBC stuff that one reads in Boland: they are full of oddities, quiddities and lunacies; they are credulous and querulous. Here are men trying hard-oh, so hard and often so honestly-to invent a past, but who often remain unconvinced of their own myth. All the current lunacies are ventilated in the NEARA newsletters, the Landsverk-Monge theory of ciphers and dates hidden in runic inscriptions, balancing rocks, astronomical alignments, bogus ‘dolmens’ at Martha’s Vine- yard, Madoc’s stone forts in southern Illinois, the Parafba Stone, the Newport Tower, the Dighton Rock, the Roman (?) inscriptions in Maine, and the second-century AD Hebrew and Roman coins from Kentucky. We returned to Cambridge, Mass., dejected and disappointed by this sortie into the maverick archaeology of New England. As we had left the little museum-cum-cafb-cum- souvenir shop, the headline of an article in the Lawrence Eagle-Tribune for LI June 1965 caught our eye: ‘Antiquity Researchers Probe Secrets of Mystery Hill’, but it gave us no comfort. A shelf in the Harvard Coop dis- played five books, four of them new, discussing in various ways the problems of pre-Columbian America. I. Collectors’ luck : giant steps into prehistory by Betty Bugbee Cusack. Stonehaven, Mass. : the G.R. Barnstead Printing Company, 1968. $5. 2 . Before Columbus by Cyrus H. Gordon: N e w York : Crown Publishers, 1971. $15. 3 . The Quest f o r America (ed. Geoffrey Ashe). New York : Praeger, I g 7 I . $15. 4 . M a n across the sea : problems of @re-Columbian contacts (edited by Carroll L. Riley, J . Charles Kelley, Campbell W. Pennington and Robert L. Rands). Austin and London: University of Texas Press, I 9 71. $12.50. 5 . The European discovery of America : vol. I : The northern voyages A D 500 to 1600 by Samuel Eliot Morison. London : Oxford University Press, 1971. A7.00. The last three books are of great importance and will receive special and serious considera- tion in a future number of this journal. The Bugbee Cusack and Cyrus Gordon books are autre chose, and must be summarily dismissed here. Mrs Bugbee Cusack’s book is a scissors-and- paste affair of cuttings about prehistory in America that have interested her. It begins with a photograph of a piece of metamorphic rock 300 to 400 million years old, found by the author at Cape Cod in 1966, and ends with a photocopy of her husband’s deposit of $ 5 0 with Thomas Cook and Son ‘for trip to Moon if and when trip is feasible: refundable on request’ and dated 11 July 1961. In between these unusual items we are treated to all sorts of curious things from Irish monks, Vikings and Mystery Hill to an account of how herring gulls navigate in fog, runic (??) inscriptions from Maine and Massachusetts, and a delicious titbit, namely that in 1695 the town of Sandwich (which, incidentally, has in addition to its reputation for glass, the lovely spire on its Congregational Church designed by Christo- pher Wren), passed an order that ‘every unmarried man in the Township yearly should kill six blackbirds, or three crows, while he remained single, and then should not marry until he obeyed and fulfilled that order to the letter’. Mrs Bugbee Cusack is frivolous and futile: she is, encapsulated in a book, the uninformed 3 A N T I Q U I T Y conversation one hears in the cocktail hour either side of the Atlantic. She was not expect- ing t o be taken seriously, and we respect her expectations: hers is a jeu d’esprit of enthusiasm and lunacy. Not so Cyrus H. Gordon who is a professional scholar and teacher, Head of the Department of Mediterranean Studies at Brandeis University in Boston. T h e publishers’ blurb describes him as ‘an internationally respected scholar . . . the author of some thirteen books’ and his book as ‘a revolutionary treatise by one of the world’s most eminent scholars’. Robert Graves, the distinguished poet, who, even in the moments when he feels most inspired by his imaginary White Goddess, could hardly be called a person knowledgeable about the ancient history of western Europe and pre-Columbian contacts with America, writes: ‘Romantic novelists and amateur historians have so often tried to sell us news of pre- Columbian traffic across the Atlantic, long before the days of Leif Ericsson, that when at last it comes, irrefutably substantiated and dated by one of the world’s most dependable scholars, the shock makes us gasp. Professor Gordon is the newsbringer.’ Turning eagerly to Before Columbus, knowing Gordon’s reputation, and rather warily brush- ing aside publishers’ blurb and Graves’s extra- vaganza, we read the book. What is it? Just a load of concentrated and dangerous rubbish. What has happened to Professor Gordon? He believes that the portraits illustrated and des- cribed by Alexander von Wuthenau (see Antiquity, 1971, 229) are of European and African and Asiatic types (but what does he, a Semitic scholar, mean by referring to a Semitic type ? H e must know better than most of us that Semitic is a linguistic and ethnic, not racial, term); and he alleges that the Greeks knew America. ‘To sum up,’ he says (p. 49), ‘Greek classics independently and repeatedly attest transatlantic contacts between the Mediter- ranean and America.’ H e suggests that ‘we visualize the founders of ancient astronomy as setting up bases in the Near East, Middle America and the West Pacific’ (p, 172). He sees ‘the megalithic monuments of the Bronze Age mariners’ as ‘tangible reminders of a world civilization, with highly developed science and technologies’. H e believes in the Paraiba inscription, the Metcalf stone, the Bat Creek Hebrew Inscription, the Roman Head from Calixtlahuaca, the 2nd century AD Hebrew and Roman coins from Louisville, Clay City and Hopkinsville, and thinks that Mexico ‘rich in silver and other metal ores is a possible identi- fication for Tarshish‘. This is not the lunatic fringe of archaeology: this is not the world of the New Diffusionists, Black Horses, Atlantis, Pyramidiots, straight- trackers and the rest of them, the world which every student of antiquity recognizes, with an embarrassed smile, as a danger only to those whose weak and muddled heads prefer the comforts of unreason to the difficult facts of archaeology. This is dangerous stuff because it is set out as scholarship by a professional scholar. This is poisoned chocolate : attractive from the outside, decked out in good wrappings -but, beware : the filling is bitter-sweet, this is false-centre archaeology. T h e fantastic Before Columbus must, alas, be placed on one’s shelves alongside Elliot Smith, Perry and Raglan. I t contains sentences very reminiscent of the hyper-diffusionists, such as, ‘If high independently invented civilizations have existed, they were not on this planet’ (p. 35). We are reminded of what SamueI Johnson said of Monboddo: I t is a pity to see Lord Monboddo publish such notions as he has done: a man of sense and so much elegant learning. There would be little in a fool doing it; we should only laugh; but when a wise man does it we are sorry. Other people have strange notions, but they conceal them. If they have tails, they hide them: Lord Monboddo is as jealous of his tail as a squirrel. T h e Paraiba inscription is Gordon’s tail and he dedicates his book to Jules Piccus, now a Professor of Hispanic Studies at the University of Massachusetts at Amherst, who told Gordon that he had acquired a scrapbook ‘for a small sum at a rummage sale in Providence, R.I.’: this scrapbook contained a new copy of the text of the inscription found by slaves of Joaquim Alves da Costa, on 11 September 1872, on his plantation at Pouso Alto near Parafba in Brazil. 4 E D I T O R I A L Ernest Renan, at the time the leading authority on Canaanite epigraphy, but whom Gordon castigates as a person ‘whose knowledge and reputation were exceeded only by his pedantry’, declared the inscription to be a fake. Gordon believes it to be true and provides a fresh translation from the text in the scrapbook (the original stone having vanished), and finds that it records a crossing from Canaan to Brazil in 534-531 BC. It is this translation, his conviction of the authenticity of the stone, and its general implications, if authentic, that started Gordon off on writing this unhappy book. Unhappy because it is frankly and out- rageously partisan. The possibility of trans- atlantic voyages in pre-Viking and pre- Brendan times is denied these days only by a few. It is the archaeological or other proof that such voyages did indeed take place that interests us all. What evidence there is needs careful weighing: every alleged find from Paraiba to Bat Creek studied with care and both sides of each argument fairly presented. This is what Gordon does not do. He says, ‘If I have learned anything throughout nearly half a century of study it is to keep an open mind and to avoid confusing majority opinion with truth‘ (p. 79). What an admirable sentiment, but what a pity that Gordon should now have closed his mind so that he confuses minority opinion with truth. We are reminded of Elliot Smith‘s phrase in his 1928 Huxley Memorial Lecture: ‘The set attitude of mind of a scholar may become almost indistinguishable from a delusion.’ Once after a lecture in California we were asked by an anxiously interested lady, a kind of Mrs Betty Bugbee Cusack, why scholars like Lowie and Dixon and Wauchope would have no truck with Egyptians and lost tribes in America, nothing to do with Atlantis and Mu. ‘Can’t we believe what we read in books?’ she cried in despair (and with what joy she will seize on Before Columbus). Perhaps her best answer is contained in two sentences on page 38 of Gordon’s book: ‘Ignorance is a curable disease’, and ‘Not everything written as history is true.’ a The death of T. C. Lethbridge in the early autumn of last year took away from us a man who had been a colourful, stimulating, provoca- tive and often controversial figure in British archaeology; a man who could very properly be described, in Cyrus Gordon’s phrase, as one who throughout his life kept an open mind and avoided confusing majority opinion with truth. Tom Lethbridge was one of the last of that invaluable band of dilettante scholars and skilled devoted amateurs of whom we have had so many in Britain. The long list begins, if we exclude the antiquaries of the 17th and 18th centuries, with men such as John Frere and William Pengelly, and continues through Lubbock, Greenwell, Pitt-Rivers, Williams Freeman, Alexander Keiller, the Cunvens and many another to the present day-indeed the present day represented by two of the Trustees of ANTIQUITY: Elsie Clifford and I. D. Margary. Perhaps, for a short while, Tom Lethbridge was a semi-professional: he taught Anglo-Saxon archaeology in Cambridge for many years and was Honorary Curator of Anglo-Saxon anti- quities in the Cambridge Museum of Archaeo- logy and Ethnology. But even so, during those years one never thought of him as a member of the establishment : he stood outside, viewing scholars and crackpots with the same critical detachment and amusement, to the benefit of both and the advancement of archaeological scholarship. Much of his writing had a fresh- ness and an eager restless sense of enquiry: we particularly remember Boats and boatmen (1952), Coastwise craft (1952) and Herdsmen and hermits: Celtic seafarers in the Northern Seas (1950), this last book described by Sam Morison as ‘a chatty book by an imaginative archaeologist’. That was the essence of Tom Lethbridge : he was an imaginative archaeologist. Sometimes, not unnaturally, as with the discoveries of hill figures he was convinced he had made on the Gog Magog Hills near Cambridge, it seemed to many that he was too imaginative. Others warmly supported him. The Wandlebury figures or non-figures are unimportant in an assessment of Lethbridge’s work: he showed us all that without informed imagination, the interpretation of archaeology could be deadly dull. This is perhaps why he and Cyril Fox were such close friends from 5 A N T I Q U I T Y their Cambridge days together in the twenties : both wanted to make the past of man alive. The generation of young men and women who came under Lethbridge’s influence at Cambridge in the twenties and thirties will never forget his enthusiastic reconnaissances and excavations, and his stimulating, wide-ranging and mind-blowing conversation, both in the field at picnics (the while D r Palmer was experimenting dangerously with his home-made mixture of cyder and beer which invariably broke the bottles into which this lethal mixture was put, or D r Lucas was announcing that all the manifestations in the fens were due to ‘the great wind of the Resurrection’), or at those gargantuan high teas (four fried eggs and six rashers of bacon as the first course) at his house outside Cambridge curiously enough, as we now recall, named Mount Blow. Certainly the writer of these words will not forget. Professor Christopher Hawkes, who knew Lethbridge well, wrote appreciatively of his work in The Times for 6 October 1971 and The Times and Professor Hawkes have allowed us to quote the following sentences: T o your notice of Tom Lethbridge, I should like to add two essentials: the strength and honesty of his character as a man, and the singleness of purpose that united all his work, as experimental testing of what he found by observation. He liked to respect the workof others; yet he preferred to test that too. . . . His well- observed drawings had their part in all he wrote; and his exploring of ancient dwellings, such as the ‘wheel house’ at Kilpheder and round Cambridge of Anglo-Saxon and earlier graves and cemeteries, not only assembled facts in an array for which research will long be grateful, but made them reveal the lives that people had lived. His archaeology stretched back into the past directly from the present, from the people and the places he knew familiarly: it could start ‘from your empty cartridge left smoking on the ground’. T h e present writer well remembers the effect that Lethbridge had on him. Coming from an intensive academic sixth-form education to the Cambridge Tripos in Archaeology and Anthro- pology, he found the study of man’s past academic and very learned: it was full of artifacts and taxonomy, of typology and cross-dating. T h e tub was there but Diogenes was missing. Lethbridge showed us Diogenes and brought ordinary man and the ordinary everyday doings of farmers and sailors into what had sometimes seemed from Montelius onwards as no more than a study of tool types and houseplans. H e was a practical, sensible, down-to-earth country- man. H e would have appreciated the following passage from Sam Morison’s book, to which we have already referred: Modern sailors are so dependent on the mariner’s compass that they find it difficult to imagine how any ship could find her destination across a broad ocean without one. But the Polynesians did so in a wider ocean than the Atlantic and simple seafaring folk to this day do it. Fishermen used to sail from Newfoundland to Labrador without a compass. And as a sojourner on the rocky coast of Maine, I have heard a lobsterman say ‘I don’t need no compass to find my gang 0’ traps in a fog, or to git home, neither.’ Ensel Davis, a mariner and lobster fisherman of Otter Creek, Maine, who died recently at a great age, was asked how he found his way home through fog without a compass. ‘By the ocean swells’ he said, ‘they always run south to north.’ ‘But supposing there is no swell?’ ‘There always is one, even in the calmest day, if you know how to look for it.’ Lethbridge, like Cyril Fox, took us out from our studies and museum cases, to see how life was lived in Fenland farms, in Scottish crofts, and by fishermen and sailors everywhere. They have gone, but the breath of fresh country and sea air they blew through academic archaeology, remains. a And speaking of fresh sea air and swells, these words are being hammered out on the Purser’s typewriter aboard the t.s. Bremen (mark V, formerly the French Pusteur, and now making her last transatlantic crossing, at least under the North German Lloyd flag) in mid- Atlantic in mid-December in conditions des- cribed on the ship’s notice board as sehr hohe see and phenomenal. Looking out to sea from the comparative comfort of the bar, a glass of Steinhager (as privately prescribed in his 6 wisdom by the President of the Prehistoric Society) clutched firmly in our hands, observing the sixty-foot waves outside, and the passengers, glasses and ship’s unanchored furniture within sliding from side to side with the confused regularity of the motions of the high seas, one is filled again with wonder, delight and admiration for those who, long before the compass and stabilizers, crossed the Atlantic in pre-Colum- bian days. We lift our glass to S t Brendan, and keep a look out for friendly whales. How nice it would be to meet some modern Jasconius! Readers will be interested in the dates of two exhibitions of special importance which will be mounted in London this year. T h e first is the exhibition of fifty of the finest pieces of Tutankhamun’s treasure : this will open in the British Museum on 29 March and will be there for six months; Sir John Wolfenden, Director of the Museum, has declared that this is the most splendid exhibition the Museum has ever staged. T h e treasures are so valuable that they are not being insured: they will be covered by an indemnity for ‘many million of pounds’ by the British Government. This exhibition com- memorates the fiftieth anniversary of the discovery of the treasure by Howard Carter and Lord Carnarvon in 1922. T h e second exhibition is called Chaucer’s London: The Mirror of all England and will be mounted in the London Museum from I April to 31 August (weekdays 10 to 6, Sundays 2 to 6). I t will contain a rare wealth of medieval material assembled from all over the British Isles. Among those contributing to the exhibition are the Guildhall Museum, the British Museum, the Victoria and Albert Museum, the Public Record Office, Westmin- ster Abbey, the Glasgow City Museum, the Liverpool Museum, Exeter University Library, Winchester College, S t Albans Abbey, and many private collectors. 6 D r Elisabeth Munksgaard, of the National Museum, Copenhagen, writes in a letter dated 16 June 1971: Inspired by the satirical masterpiece mentioned in the June 1971 issue of ANTIQUITY I should very much like to draw your attention (and that E D I T O R I A L 7 of the readers, too) to the most amusing archaeo- logical satire I have ever had the privilege to read. I refer to the German publication by Hans Traxler, Die Wahrheit iiber Hansel und Guetel. Die Dokumentation des Marchen der Briider Grimm. Eine glaubwiirdige Parodie (Bar- meier & Nikel, Frankfurt/Main, 1963; pocket edition by Heyne Verlag, Munich, 1967). This excellent book is not only very wicked; it is also uproariously funny. I shall not go through the contents in detail thus spoiling the mirth of future readers-but only mention the hilarious idea of an amateur archaeologist setting out to find and excavate the witch’s house (taking the contents of the fairy tale as gospel truth). T h e satire and wickedness is very subtle throughout as the description of reasoning and conclusions, C14 tests, dendrochronology, chemi- cal analyses, and anthropological determinations comes so near to sober truth that it sends cold shivers down one’s spine. An awful warning to us all and a very clever lesson in curbing too vivid imaginations. There is only one drawback concerning this nasty masterpiece (which is also amply illustrated with the most gorgeous photographs)-it is out of print. May this letter inspire the publishers to issue a new edition! This exquisite publication has done much to restore one’s faith in the German nation which has always been justly stigmatized as having no sense of humour whatsoever. But Mr Traxler has certainly done more for his country than a host of politicians could ever hope to attain. If any reader of ANTIQUITY should know of other archaeological satires, maybe the editor would undertake to publish the titles to enlighten all of us who can’t resist ‘The lighter side of archaeology’ (cf. Antiquity, XI, 1937, 80 ff.). How about a column headlined, ‘Though this be method, yet there is madness in it’? (May the great poet forgive me!) a Finally an apology to author and reviewer o f I vetri romani del Museo di Aquileia (Pubblica- zioni dell’ Associazione Nazionale per Aquileia) : M. C. Calvi and D r D. B. Harden. The correct title is as above and needs amending in our December 1971 issue p. 307 and in Contents and Index of the same number. P. 307, 1. 47, col. 2, for grazed read grozed and p. 308, 1. 2, col. I for Clavi read Calvi. We are sorry about these careless errors : transatlantic editing and production has its problems! 
work_azq3locmqbaidcnikrsvafr3qm	----	11 July 1970 Leading Articles DIBxn=U 59 and in the level of blood urea, while the salt-retaining effects may aggravate the oedema and lead to hypertension. In a recent controlled trial9 of steroid treatment versus sympto- matic treatment alone the early mortality was higher among the patients who received steroids, emphasizing that even the modest doses of steroids given were potentially dangerous. It may be argued that doses of about 20 mg. prednisolone daily serve only to suppress adrenal function and that doses of 60 mg. daily for several months are necessary to produce an effect on the renal disease. Such regimens are correspondingly more dangerous, and no controlled trial has been published that investigates their value. There is some evidence10 that the administration of a double dose of steroids on alternate days is less toxic but as efficacious, and it is reasonable to give large doses in this way. Recently M. Friedman and L. B. Strang"' have shown that corticotrophin (A.C.T.H.) produces less stunting of growth for a given effect than does prednisolone. However, the problems of hypertension and a cushingoid appearance remain. Owing to the limitations of steroid therapy interest has grown in the cytotoxic drugs. Azathioprine,12 cyclophospha- mide,13 14 and chlorambucill5 have all been used extensively, and there can be no doubt that cyclophosphamide and chlorambucil are helpful in the treatment of the patient with a minimal renal lesion. The value of azathioprine is less certain. M. Abramowicz and his colleagues"6 concluded that, at least in children and in fairly low dosage, it was no better than a placebo. Remissions induced with cyclophosphamide last longer than those induced with steroids,17 18 and many patients who were previously dependent on steroids now appear to have been cured and to require no further treatment. There is some doubt about the best therapeutic regimen. M. W. Moncrieff and his colleagues'4 have induced a leucopenia (and usually alopecia) with a high initial dose and then maintained the leucopenia for about three months with a relatively small dose. On the other hand, J. F. Soothill"7 18 has found that the continuous administration of an inter- mediate dose for two months produces a remission without inducing either leucopenia or alopecia. Relapse occasionally follows withdrawal of treatment, and in some cases it is related to inadequate therapy.'4 Given to patients with proliferative glomerulonephritis, azathioprine has occasionally produced a dramatic response.'2 Relatively high and dangerous doses (4-6 mg./kg. body wt. per day) have been necessary, and recently there have been attempts to use smaller doses combined with modest doses of steroids. A small controlled trial'9 of this method of treatment in adults showed slight benefit that was just significant statistically, and a much larger trial at present in progress under the supervision of the Medical Research Council has led to the same conclusion. There have been no controlled trials of cyclophosphamide in the treatment of proliferative glomerulonephritis, though occasional patients, especially children, do seem to respond. Patients with membranous nephropathy run a downhill course over many years. During this time their proteinuria fluctuates and occasionally their urine becomes free of protein for a period. The underlying lesion persists, however, and it is generally considered that neither steroids nor cytotoxic drugs affect the course of the disease.20 Occasional reports2' 22 challenge this view, and recently S. P. Rastogi and colleagues22 reported on four patients who were given prolonged courses of steroids and lost their proteinuria for periods up to 6 5 years. Repeated renal biopsies showed that the histological lesion persisted but had not progressed significantly. Pericarditis and Rheumatoid Arthritis Patients with systemic lupus erythematosus may present with rheumatoid arthritis, and patients with unequivocal rheuma- toid disease may develop the serological changes of systemic lupus erythematosus. But the great majority of patients show the lesions of only one of these diseases, and the frequency of their overlap has been exaggerated. It is therefore surprising that little attention has been paid to the pericarditis of rheumatoid arthritis when it is so well recognized as a feature of systemic lupus erythematosus. Necropsy studies have given an overall incidence of peri- carditis in association with rheumatoid arthritis as high as 30%1-3 and this complication is recognized in about 7% of cases of juvenile rheumatoid arthritis.4 A recent study by J. Kirk and J. Cosh of 33 patients with rheumatoid peri- carditis is therefore of interest.5 The condition must be taken seriously, for acute or chronic pericardial effusion, chronic constriction, and even haemopericardium with tamponade may supervene. The pathological changes found in most cases at necropsy are obliterative pericarditis, with acute fibrinous pericarditis making up almost all the remainder. Specific granulomatous infiltration is rare; when it is present the lesions are found on the epicardial surface of the heart as small necrotic nodules similar histologically to the sub- cutaneous rheumatoid nodule.2 3 The onset of pericarditis seems to bear no relationship to the duration of the arthritis, though it is particularly apt to be found in middle-aged males in whom the arthritis was of acute onset. It is perhaps commoner when the arthritis is active than when it is dormant. Serological tests for rheuma- toid arthritis are usually positive in patients developing peri- carditis, and one-third of these patients have typical rheuma- toid nodules. Anaemia and a raised erythrocyte sedimentation rate merely reflect the activity of the arthritis. On careful inquiry a history of chest pain can be obtained in about half the patients with pericarditis. The pain is fre- quently pleuritic and fleeting in nature, lasting only a matter of hours or a day or so. In some the pain may closely simulate that of cardiac ischaemia, but it is distinguished by alteration in intensity with.changes in posture. The remaining half of these patients have no symptoms, and the condition is diagnosed on routine clinical examination. The characteristic auscultatory finding of a pericardial friction rub may be absent, but it is heard in most patients at some period of their illness. The rub may be atypical and may be confined to systole, making differentiation from a systolic murmur difficult. This difficulty may be increased by the persistence of the rub unchanged for several months. Low- grade fever is frequently present and should alert the physician to seek this particular complication. Confirmation may come from electrocardiographic changes, alteration of the cardiac outline on chest radiograph, or aspiration of pericardial fluid. The characteristic E.C.G. pattern in pericarditis is the raising of the ST segment without T wave inversion. Later, abnormalities of the T waves may appear, including inversion; they are found only when the 1 Bywaters, E. G. L., British Heart_Journal, 1950, 12, 101. 2 Goehrs, H. R., Baggenstoss, A. H., and Slocumb, C. H., Arthritis and Rheumatism, 1960, 3, 298. 3 Lebowitz, W. B., Annals of Internal Medicine, 1963, 58, 102. 4 Leitman, P. S., and Bywaters, E. G. L., Pediatrics, 1963, 32, 855. 5 Kirk, J., and Cosh, J., Quarterly Journal of Medicine, 1969, 152, 397. ' Hart, F., British Medical_Journal, 1966, 2, 131. 7 Harrold, B. P., British Medical Journal, 1968, 1, 290. o n 5 A p ril 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://w w w .b m j.co m / B r M e d J: first p u b lish e d a s 1 0 .1 1 3 6 /b m j.3 .5 7 1 4 .5 9 o n 1 1 Ju ly 1 9 7 0 . D o w n lo a d e d fro m http://www.bmj.com/ 60 1 1 July 1970 Leading Articles REDICAL JOURNAL pericarditis is active. Sometimes the pericarditis is present without any E.C.G. changes.5 About half the patients reported on by Kirk and Cosh also had rheumatoid lung or pleural lesions.5 Pleural effusion is common, but pericardial effusion is rare. In the few cases in which pericardial effusion occurs the fluid closely resembles the straw-coloured non-viscous fluid found in the pleural cavity; typically it is high in protein but low in sugar. L.E. cells are found in the blood in a minority of patients,6 but even then the diagnosis of rheumatoid arthritis as opposed to systemic lupus erythematosus is usually clear. To assess the incidence of rheumatoid pericarditis Kirk and Cosh made a prospective study of 100 inpatients with severe rheumatoid arthritis selected at random. They found it was 10%. But their patients had sufficiently severe disease to warrant admission to hospital, and so high an incidence would not be expected in patients outside hospital. The prognosis of rheumatoid pericarditis is generally good. The condition appears to run a benign course, usually with rapid spontaneous resolution. Specific therapy does not prevent its onset or shorten its course once established. If pericardial effusion occurs, early aspiration is advised to prevent tamponade and to reduce the risk of later pericardial constriction. B. P. Harrold7 reviewed 17 reported patients with rheumatoid pericarditis who had undergone pericardi- ectomy for constriction and noted that in only three did the interval between onset of arthritis and operation exceed five years. This suggests that if constriction is going to occur it is unlikely to do so in patients with arthritis of long duration. Rarely, heart failure may be the presenting symptom of rheumatoid pericarditis, and the onset of oedema in a patient with rheumatoid arthritis should prompt the doctor to consider this possibility. Children's Eyes Errors of refraction are almost universal, and few of us attain old age without recourse to spectacles. Yet, though the refractive state of the eye is simply the product of physical variations in the eye's anatomy which admit an exact measurement, our knowledge of these measurements in sub- stantial numbers of the population at different ages has been very incomplete. A recent comprehensive report by Arnold Sorsby and G. A. Leary' is welcome not only because of the information it provides on the patterns of refractive changes in growing children but also because it helps to clear away some of the myths that are still being reported about the prophylaxis and "treatment" of short-sightedness. The infant's eye is normally hypermetropic (long-sighted), and as the eyeball grows in length the hypermetropia decreases. The eye thus becomes more normal-sighted or even short- sighted until growth comes to an end by the age of 14. Between the ages of 3 and 14 the eye becomes about 1*2 mm. larger. But some 60% of the potential decrease in hyper- metropia (or increase in myopia) that this elongation could be expected to produce is eliminated by a simultaneous reduction in the converging power of the cornea and lens, so Sorsby, A., and Leary, G. A., Medical Research Council. Special Report Series, 1970, No. 309. 2 Sorsby, A., Sheridan, M., and Leary, G. A., Medical Research Council. Special Report Series, 1962, No. 303. 3 Morgan, O., British Medical_Journal, 1970, 1, 175. 4 Gilkes, M. J., British MedicalJournal, 1970, 1, 758. that the resultant change in refraction is little more than 1 dioptre. And, as most infants are more than 1 dioptre hyper- metropic, only exceptionally does this trend produce a frank myopia, and that of quite a low order. In about 28% of children a greater elongation of the eyeball during this growth period does cause a further shift towards myopia than can be compensated for by a slight additional decrease of the power of the cornea and lens. The change in cornea and lens is in part the direct sequel to this elongation and would itself tend to neutralize some of this adventitious myopia. The authors of the report found that bodily heights and weights were unrelated to the refraction at the beginning and end of the period ofobservation, and there were no obvious sex differences in these developments. As the authors had shown in an earlier report,2 the refraction and its components are genetically determined. And this, they state, must be assumed to apply also to the anomalous axial elongation and paradoxical changes in the cornea and lens. The provision of correct spectacles will thus have no influence on this predetermined refractive change3 4 any more than on other organic disorders of the eyeball. Caribbean Food and Nutrition Institute Christopher Columbus made his first landfall in the Caribbean in October 1492 at an island in the Bahamas which he piously named San Salvador. Believing he had reached Asia, he imposed on posterity the confusing practice of calling the people of the New World "Indians" and the Caribbean islands the "West Indies." The area was at that time inhabited by the gentle Arawaks and the fierce Caribs, who gave us the word "cannibal." The Arawaks were soon exterminated by the Europeans who followed Columbus; the Caribs held out somewhat longer, and a few thousand survive today. In the sixteenth and seventeenth centuries the islands were appropriated by European powers-the English, French, Dutch, and Spanish. They became sugar islands, devoted to sugar plantations worked by negro slaves captured in West Africa and carried across the Atlantic in the dreadful circum- stances of the middle passage. After emancipation in the nineteenth century the sugar industry declined because the ex-slaves hated the sight of the sugar cane, which was being grown in increasing quantities in other parts of the tropics, and the sugar beet, efficiently cultivated in the temperate zone, began to rival the cane as a source of sucrose. During a long period of economic depression the Caribbean territories faded out of history, becoming of little importance to their European owners. Partial economic recovery came only recently, with the development of new industries such as bauxite manufac- ture, and the discovery, by wealthy Canadians and Americans, that the Caribbean offers an escape from winter blizzards and has lovely scenery. The tourist industry has boomed. During the last decade many of the Caribbean territories have become independent members of the United Nations. This, roughly, is the setting of the Caribbean Food and Nutrition Institute, established in 1967. The institute has centres in Jamaica and Trinidad, each located in the campus of the University of the West Indies. At present its activities I'Journal of Tropical Pediatrics, 1968, 14, 52. 2 Waterlow, J. C., Cravioto, J., and Stephen, J. M. L., Advances in Protein Chemistry, 1969, 15, 131. o n 5 A p ril 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://w w w .b m j.co m / B r M e d J: first p u b lish e d a s 1 0 .1 1 3 6 /b m j.3 .5 7 1 4 .5 9 o n 1 1 Ju ly 1 9 7 0 . D o w n lo a d e d fro m http://www.bmj.com/ 
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work_b4cf5w6y7zapbaztg6gzprtjy4	----	JSE 314 online.indd BOOK REVIEW Ancient Ocean Crossings by Stephen C. Jett. Tuscaloosa, AL: University of Alabama Press, 2017. 508 pp. $49.94 (hardcover). ISBN 978-0-8173-1939-7. This review should properly be prefaced with two caveats. First, I am not a specialist in the field of human origins. I am not an archaeologist or anthropologist, but a geologist who is generally unfamiliar with the literature covered and reviewed in this book as well as the issues and controversies. Second, I did not read the entire book. This review is based on a reading of the introduction and conclusion while skimming the rest of the text. For those who find it unsettling that a reviewer has not read a book in its entirety, I can only tell you that it is very difficult to find people who are willing to donate the time necessary to read and review long technical books. (I’m still waiting on JSE to find reviewers for books I published in 2010). Anyone who is offended by my failure to peruse this volume from front to back covers may satisfy themselves with one-hundred percent of nothing by stopping their reading at this point. Ancient Ocean Crossings examines the evidence and arguments that human cultures in the Western Hemisphere were influenced by occasional contacts with ocean voyagers before Christopher Columbus arrived in the Americas in 1492. As the author notes, it’s now conceded that Vikings established a few settlements in North America hundreds of years before Columbus, yet these colonies were short-lived and apparently had little to no influence on American Indians. The ocean crossings referred to in the text are hypothetical voyages that may have occurred in the ten thousand years before Europeans first set foot in the Americas. There are some striking and unexplained cultural similarities between native peoples of the Old World and the Americas. These include “technical complexities of weaving and dyeing that are shared between southern Asia and the Central Andean region of South America,” “stepped temple pyramids that are oriented to the cardinal directions in both Mesoamerica and Cambodia,” and the belief “in both China and Mesoamerica, that raw jade can be discovered in nature owing to ‘exhalations’ coming from the stone” (p. 5). The two schools of thought regarding the origin of these similarities Journal of Scientifi c Exploration, Vol. 31, No. 4, pp. 700–702, 2017 0892-3310/17 are diffusionism and independent inventionism. Ancient Ocean Crossings is largely devoted to making the argument for the minority viewpoint of diffusionism. Diffusionists argue that it was possible for ideas and technology to diffuse between the hemi-spheres by pre-Columbian con-tact through ocean crossings. The text is divided into five parts. The first reviews “intellectual obstacles to the notion of early transoceanic contacts” (pp. 13–142). The second, third, and fourth sections treat means, motives, and opportunities for ocean crossings (pp. 143–356). The fifth section is a brief conclusion (pp. 357–361). Having presented the arguments and evidence, both pro and con, the author is entitled to draw a conclusion. He concludes that “crossings occurred,” and that “the sum of the evidence” is definitive (p. 359). The idea that the pre-Columbian peoples of the Eastern and Western Hemispheres “were hermetically sealed off” from each other rests “upon overly simple, insufficiently tested suppositions and incompletely thought- through conclusions concerning both physical geography and human capabilities” (p. 357). The question of whether or not ancient ocean crossings occurred is a reminder that evidence regarding human origins is scant. Important questions remain poorly resolved. The author of Ancient Ocean Crossings appears to implicitly accept the old idea that the Americas were first settled only in late Pleistocene time by migration across the Bering Strait (pp. 2–3). Yet as I have pointed out, there is a plethora of evidence suggesting a human presence in the Western Hemisphere as early as 200,000 years before present (Deming 2013). This was corroborated a few months ago when human artifacts 130,000 years old were found at the Cerutti Mastodon site in California (Holen et al. 2017). Another example is provided by recent finds from North Africa. Fossils from a single site in Morocco this year obliterated the idea that Homo 702 B o o k R e v i e w sapiens evolved in East Africa about 200,000 years ago. Excavations at the Jebel Irhoud site indicate that modern humans were in North Africa as early as 315,000 years before present (Stringer & Galway-Witham 2017). If fossils and artifacts from lone sites can completely rewrite our knowledge of human history and evolution, surely our theoretical framework rests upon shaky foundations. The entire issue of ancient ocean crossings is also a case study in how science works. Rather than adopt Chamberlin’s idealized model of multiple working hypotheses (1890), most scientists are narrowly focused specialists who operate within the realm of what Thomas Kuhn called “normal science” (Kuhn 1996:10). By the term “normal science,” Kuhn meant research based upon an existing intellectual framework. Most researchers see their work as the “further articulation and specification” of the prevailing paradigm (Kuhn 1996:23). Thus an archaeologist wedded to the idea that cultural novelties arise from independent inventionism will tend to automatically filter out and reject all evidence of cultural diffusionism. This mindset quickly evolves into a self-fulfilling prophecy whereby the diffusionist theory is rejected for lack of evidence. In summary, Ancient Ocean Crossings is a well-written and comprehensive review of an important issue in human origins. The author appears to have an in-depth and comprehensive knowledge of the pertinent scholarly literature. The text contains 35 pages of endnotes and the bibliography occupies 61 pages. This book is highly recommended to anyone interested in the history of the human race. DAVID DEMING College of Arts & Sciences, University of Oklahoma Norman, Oklahoma email: ddeming@ou.edu References Cited Chamberlin, T. C. (1890). The Method of Multiple Working Hypotheses. Science, 15:92–96. Deming, D. (2013). Did Modern Humans Originate in the Americas? A Retrospective on the Holloman Gravel Pit, Oklahoma. Journal of Scientific Exploration, 27:51–72. Holen, S. R., Demere, T. A., Fisher, D. C., Fullagar, R., Paces, J. B., Jefferson, G. T., Beeton, J. M., Cerutti, R. A., Rountrey, A. N., Vescera, L., & Holen, K. A. (2017). A 130,000-year-old Archaeological Site in Southern California, USA. Nature, 544:479–483. Kuhn, T. (1996). The Structure of Scientific Revolutions (Third Edition). Chicago: University of Chicago Press. Stringer, C., & Galway-Witham, J. (2017). On the Origin of Our Species. Nature, 546:212–214. 
work_b6dti3pbcjc75dimvvex4ukuwa	----	The British Atlantic World, 1500-1800 (review) The British Atlantic World, 1500-1800 (review) John Coffey The Scottish Historical Review, Volume 85, Number 1: No. 219, April 2006, pp. 155-156 (Review) Published by Edinburgh University Press DOI: For additional information about this article [ This content has been declared free to read by the pubisher during the COVID-19 pandemic. ] https://doi.org/10.1353/shr.2006.0008 https://muse.jhu.edu/article/199858 https://doi.org/10.1353/shr.2006.0008 https://muse.jhu.edu/article/199858 The British Atlantic World, 1500-1800. Edited by David Armitage and Michael J. Braddick. Pp. xx, 324. ISBN 0333963415. Houndmills: Palgrave Macmillan. 2002. £49.50. According to J.H. Elliot, the rise of the new Atlantic histor y is ‘one of the most important new historiographical developments of recent years’. Along with the new British histor y, it is forcing scholars of early modern England, Scotland, Ireland and North America out of the comfort zone of their national histories. It ‘pushes historians towards methodological pluralism and expanded hori- zons’ (p. 27), and challenges us to ‘trace connections’ and ‘draw comparisons’ (p. 236). David Armitage and Michael Braddick have edited an outstanding primer that will be warmly welcomed by first-time sailors and experienced navigators of this oceanic field. The collection is topped and tailed by two of the doyens of the new Atlantic histor y, Bernard Bailyn (who writes the Preface) and John Elliot (who provides the After word). Armitage himself contributes the introductor y essay, a sophisticated theoretical analysis of the new subject. But the heart of the book lies in ten thematic essays arranged into three categories. The first cate- gor y, ‘Connections’, contains pieces on migration (Alison Games), the economy (Nuala Zahedieh) and religion (Carla Pestana); the second, ‘Iden- tities’, covers civility and authority (Braddick), gender (Sarah Pearsall), class (Keith Wrightson) and race (Joyce Chaplin); and the third, ‘Politics’, tackles empire and state (Elizabeth Mancke), revolution and counter-revolution (Eliga Gould) and slaver y (Christopher Brown). The topics covered indicate the diversity and ambition of the new Atlantic histor y. If the emergence of the new British histor y was largely driven by the questions of political historians (especially concerning the origins of the English Civil War), Atlantic histor y is more wide-ranging in its origins and scope—both thematically and geographically. The essays assembled in this unusually coherent collection provide wonderfully compressed over views of their topics. Inevitably, some subjects lend themselves to the Atlantic approach more than others—as Elliot obser ves, migration and slaver y are particularly well suited to this kind of treatment, and it is no surprise that the essays by Games and Brown are among the most satisfying. But the quality of the collection as a whole is ver y high, and each piece is packed with striking detail and provocative generalisation. Elliot even offers a speculative piece of ‘counter-factual Atlantic histor y’ in which Christopher Columbus enters the ser vice of Henr y VII of England and an expedition of five hundred West Countr ymen conquers the Aztecs, with world-historical consequences (pp. 241-43). There are also, however, some questionable statements. Gould suggests that ‘Few historians would dispute the interconnectedness of what they now describe as the “three British revolutions” of 1641, 1688, and 1776’ (p. 196). In fact, few scholars apart from John Pocock (to whom Gould refers) show the slightest interest in the connections between 1641 and 1776, and many historians of the English Civil War would insist that if a ‘revolution’ took place at all it did not do so until 1648-49. On another matter, historians of the Covenanter Parliaments will be surprised at the claim that the Glorious Revolution ‘opened the way for the first truly independent parliaments in Scottish histor y’ (p. 203). In other essays, the vastness of the subject inspires grandiose phrases—‘inter-hemispheric civilisation’ (p. xiv) will presumably appeal to sci- ence-fiction fans. The new subject is even generating new jargon. We read of ‘circum-Atlantic histor y’, ‘Trans-Atlantic histor y’, ‘Cis-Atlantic histor y’, the ‘white’ Atlantic, the ‘black’ Atlantic, the ‘red’ Atlantic, the ‘multicoloured’ R E V I E W S 1 5 5 Mary Botto muse_logo Atlantic and even the ‘green’ Atlantic (a reference to the Irish, not to ecology). One can only be grateful that there is as yet no sign of a ‘tartan Atlantic’. Scotland, in fact, does not loom particularly large. It receives reasonable cov- erage in the essays on migration and revolution, but in several others the Scots make only a token appearance. The index contains more references to Ireland, not least because it was such an important trial-ground for English colonialism. Scotland’s relatively low profile reflects the fact that for much of the period from 1500 to 1800 the majority of Scots were facing East rather than West. As Games suggests, ‘In their Atlantic orientation the English were distinct from the Scots, who were precociously European in orientation’ (p. 37). Of course, the Scots made up for lost time in the eighteenth and nineteenth centuries, though the authors of this volume were unable to benefit from the latest studies of Scottish overseas migration, such as Tom Devine’s Scotland’s Empire, 1600-1815 (2003) and Marjor y Harper’s Adventurers and Exiles: The Great Scottish Exodus (2003). Despite this, historians of Scotland will find this to be a ver y stimulating col- lection. It provides a broader framework for national histories, and succeeds admirably in its task of pushing historians towards expanded horizons. University of Leicester JOHN COFFEY The ‘Conquest’ of Acadia, 1710: Imperial, Colonial, and Aboriginal Constructions. By John G. Reid, Maurice Basque, Elizabeth Mancke, Barry Moody, Geoffrey Plank and William Wicken. Pp. xxiii, 297. ISBN 0802037550 cloth; 0802085385 paper. Toronto: University of Toronto Press. 2004. £40.00 cloth; £20.00 paper. This collection of nine essays, by six United States and Canadian scholars, examines the British conquest of the French colony of Acadia and the subse- quent problems which beset the administrators of the renamed Nova Scotia. The authors take a rather post-modernist approach to the conquest, arguing that there is no ‘single valid narrative’ of the conquest and that ‘the events that are central to this book were experienced differently by native inhabitants, Aca- dians, and British and French officials, and by British colonists in New England and then in Nova Scotia’ (p. xi). Consequently, each chapter takes a different approach and studies a different aspect of the conquest and its legacy. Although the work is a collection of separate essays, it does have a clear central focus, and the essays develop several central themes. In particular, the authors also place the Acadian experience in the broader context of the eigh- teenth-centur y Atlantic world and arrive at two central conclusions. As they explain, ‘The first is the bankruptcy of the notion that this period in histor y was the “colonial” era. Colonies existed, but they existed in relationship to imperial and native worlds that interacted with each other as well as with colonial popula- tion’ (p. 208). The second is that the interaction between British, Acadian and Mik’maqs ‘by conforming neither with the accepted pattern of a colony of settle- ment nor with that of a “middle ground” provides the historian with an interme- diate model. Here European settlement existed and so did imperial institutions of governance. The Acadian communities, however, represented a form of set- tlement that had become divorced from state formation and from formal impe- rial expansion’ (pp. 208-9). The authors also stress the pivotal role of negotiation in shaping their model of imperialism. Central to all negotiations in the region was the weakness of the British administration in Nova Scotia. Deprived of both money and men, British administrators were unable to impose their rule on the Acadians or Native 1 5 6 R E V I E W S 
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work_binry3w65bdfrbyb2kcpq424ry	----	National Curriculum - History key stages 1 to 2 Published: September 2013 History programmes of study: key stages 1 and 2 National curriculum in England Purpose of study A high-quality history education will help pupils gain a coherent knowledge and understanding of Britain’s past and that of the wider world. It should inspire pupils’ curiosity to know more about the past. Teaching should equip pupils to ask perceptive questions, think critically, weigh evidence, sift arguments, and develop perspective and judgement. History helps pupils to understand the complexity of people’s lives, the process of change, the diversity of societies and relationships between different groups, as well as their own identity and the challenges of their time. Aims The national curriculum for history aims to ensure that all pupils:  know and understand the history of these islands as a coherent, chronological narrative, from the earliest times to the present day: how people’s lives have shaped this nation and how Britain has influenced and been influenced by the wider world  know and understand significant aspects of the history of the wider world: the nature of ancient civilisations; the expansion and dissolution of empires; characteristic features of past non-European societies; achievements and follies of mankind  gain and deploy a historically grounded understanding of abstract terms such as ‘empire’, ‘civilisation’, ‘parliament’ and ‘peasantry’  understand historical concepts such as continuity and change, cause and consequence, similarity, difference and significance, and use them to make connections, draw contrasts, analyse trends, frame historically-valid questions and create their own structured accounts, including written narratives and analyses  understand the methods of historical enquiry, including how evidence is used rigorously to make historical claims, and discern how and why contrasting arguments and interpretations of the past have been constructed History – key stages 1 and 2 2  gain historical perspective by placing their growing knowledge into different contexts, understanding the connections between local, regional, national and international history; between cultural, economic, military, political, religious and social history; and between short- and long-term timescales. Attainment targets By the end of each key stage, pupils are expected to know, apply and understand the matters, skills and processes specified in the relevant programme of study. Schools are not required by law to teach the example content in [square brackets] or the content indicated as being ‘non-statutory’. Subject content Key stage 1 Pupils should develop an awareness of the past, using common words and phrases relating to the passing of time. They should know where the people and events they study fit within a chronological framework and identify similarities and differences between ways of life in different periods. They should use a wide vocabulary of everyday historical terms. They should ask and answer questions, choosing and using parts of stories and other sources to show that they know and understand key features of events. They should understand some of the ways in which we find out about the past and identify different ways in which it is represented. In planning to ensure the progression described above through teaching about the people, events and changes outlined below, teachers are often introducing pupils to historical periods that they will study more fully at key stages 2 and 3. Pupils should be taught about:  changes within living memory. Where appropriate, these should be used to reveal aspects of change in national life  events beyond living memory that are significant nationally or globally [for example, the Great Fire of London, the first aeroplane flight or events commemorated through festivals or anniversaries]  the lives of significant individuals in the past who have contributed to national and international achievements. Some should be used to compare aspects of life in different periods [for example, Elizabeth I and Queen Victoria, Christopher Columbus and Neil Armstrong, William Caxton and Tim Berners-Lee, Pieter Bruegel the Elder and LS Lowry, Rosa Parks and Emily Davison, Mary Seacole and/or Florence Nightingale and Edith Cavell]  significant historical events, people and places in their own locality. History – key stages 1 and 2 3 Key stage 2 Pupils should continue to develop a chronologically secure knowledge and understanding of British, local and world history, establishing clear narratives within and across the periods they study. They should note connections, contrasts and trends over time and develop the appropriate use of historical terms. They should regularly address and sometimes devise historically valid questions about change, cause, similarity and difference, and significance. They should construct informed responses that involve thoughtful selection and organisation of relevant historical information. They should understand how our knowledge of the past is constructed from a range of sources. In planning to ensure the progression described above through teaching the British, local and world history outlined below, teachers should combine overview and depth studies to help pupils understand both the long arc of development and the complexity of specific aspects of the content. Pupils should be taught about:  changes in Britain from the Stone Age to the Iron Age Examples (non-statutory) This could include:  late Neolithic hunter-gatherers and early farmers, for example, Skara Brae  Bronze Age religion, technology and travel, for example, Stonehenge  Iron Age hill forts: tribal kingdoms, farming, art and culture  the Roman Empire and its impact on Britain Examples (non-statutory) This could include:  Julius Caesar’s attempted invasion in 55-54 BC  the Roman Empire by AD 42 and the power of its army  successful invasion by Claudius and conquest, including Hadrian’s Wall  British resistance, for example, Boudica  ‘Romanisation’ of Britain: sites such as Caerwent and the impact of technology, culture and beliefs, including early Christianity History – key stages 1 and 2 4  Britain’s settlement by Anglo-Saxons and Scots Examples (non-statutory) This could include:  Roman withdrawal from Britain in c. AD 410 and the fall of the western Roman Empire  Scots invasions from Ireland to north Britain (now Scotland)  Anglo-Saxon invasions, settlements and kingdoms: place names and village life  Anglo-Saxon art and culture  Christian conversion – Canterbury, Iona and Lindisfarne  the Viking and Anglo-Saxon struggle for the Kingdom of England to the time of Edward the Confessor Examples (non-statutory) This could include:  Viking raids and invasion  resistance by Alfred the Great and Athelstan, first king of England  further Viking invasions and Danegeld  Anglo-Saxon laws and justice  Edward the Confessor and his death in 1066  a local history study Examples (non-statutory)  a depth study linked to one of the British areas of study listed above  a study over time tracing how several aspects of national history are reflected in the locality (this can go beyond 1066)  a study of an aspect of history or a site dating from a period beyond 1066 that is significant in the locality. History – key stages 1 and 2 5  a study of an aspect or theme in British history that extends pupils’ chronological knowledge beyond 1066 Examples (non-statutory)  the changing power of monarchs using case studies such as John, Anne and Victoria  changes in an aspect of social history, such as crime and punishment from the Anglo-Saxons to the present or leisure and entertainment in the 20th Century  the legacy of Greek or Roman culture (art, architecture or literature) on later periods in British history, including the present day  a significant turning point in British history, for example, the first railways or the Battle of Britain  the achievements of the earliest civilizations – an overview of where and when the first civilizations appeared and a depth study of one of the following: Ancient Sumer; The Indus Valley; Ancient Egypt; The Shang Dynasty of Ancient China  Ancient Greece – a study of Greek life and achievements and their influence on the western world  a non-European society that provides contrasts with British history – one study chosen from: early Islamic civilization, including a study of Baghdad c. AD 900; Mayan civilization c. AD 900; Benin (West Africa) c. AD 900-1300. © Crown copyright 2013 You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit www.nationalarchives.gov.uk/doc/open- government-licence/ or email: psi@nationalarchives.gsi.gov.uk. Reference: DFE-00173-2013 http://www.nationalarchives.gov.uk/doc/open-government-licence/ http://www.nationalarchives.gov.uk/doc/open-government-licence/ mailto:psi@nationalarchives.gsi.gov.uk Purpose of study Aims Attainment targets Subject content Key stage 1 Key stage 2 Examples (non-statutory) This could include: Examples (non-statutory) Examples (non-statutory) Examples (non-statutory) Examples (non-statutory) Examples (non-statutory) 
work_bjajsm5245avnlclythhnpipra	----	RESEARCH REPORT Secular trends in sex ratios at birth in North America and Europe over the second half of the 20th century V Grech, P Vassallo-Agius, C Savona-Ventura . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J Epidemiol Community Health 2003;57:612–615 Context: A previous study showed that significantly more boys were born in southern latitudes in Europe than in northern latitudes and the converse pattern was observed in North America. Objective: This study analyses secular trends in gender ratios for live births over the second half of the 20th century. Design, setting, participants: Analysis was carried out from a World Health Organisation dataset comprising live births over the above period. This included 127 034 732 North American and 157 947 117 European live births. Main outcome measures: Analysis of trends in gender ratios for countries in both continents. Results: The findings show a highly significant overall decline in male births in both Europe and North America (p<0.0001), particularly in Mexico (p<0.0001). Interestingly, in Europe, male births declined in North European countries (latitude>40°, p<0.0001) while rising in Mediterranean countries (latitude ≅35–40°, p<0.0001). These trends produced an overall European male live birth deficit 238 693 and a North American deficit of 954 714 (total male live birth deficit 1 193 407). Conclusions: No reasonable explanation/s for the observed trends have been identified and the causes for these trends may well be multifactorial. S ex in reptiles and fish is determined after conception, during embryogenesis, according to ambient environ- mental temperature.1 In contrast, in mammals and birds, sex is determined at conception. In mammals, male births invariably occur slightly in excess.2 The male to female ratio of live births is generally expressed as the ratio of male live births divided by total live births (M/F), and the human M/F is expected to be 0.515, with approximately 3% more males born than females.3 The reason for this discrepancy is uncertain as testicles produce equal numbers of X-bearing and Y-bearing spermatozoa.4 Several theories have been put forward to explain why this ratio should not be 0.5, with equal number of male and female births. These theories include the timing of conception within the ovulatory cycle,3 endocrine effects,5 and immunological effects.6 We have shown that M/F varies in geographical space, exhibiting a latitude gradient,7 and that this gradient is differ- ent in Europe and North America, with more males born towards the south of Europe, compared with the North American continent where more males are born towards the north of the continent.8 Other studies have also shown that M/F may vary with time. Several authors have shown that M/F has declined over the second half of the 20th century in various industrialised countries. These include Denmark,9 the United Kingdom,10 the Netherlands,11 Germany,12 Canada,13 the United States of America,14 and Finland.15 In contrast, M/F has been noted to have risen in Ireland over the same period.16 A non-significant rise in M/F has also been noted in Australia17 and Japan.18 James has proposed that M/F fluctuates over a 30 year cycle.19 In this study, we identify secular trends in M/F in dif- ferent countries and continents from a World Health Organis- ation dataset for the second half of the 20th century. We also analysed these trends by geographical latitude in Europe and briefly review the relevant literature regarding this topic. METHODS Data sources Annual male and female live births were obtained directly from WHO. Data were available for 1950–97 for the North American continent (Canada, USA, and Mexico), and for European countries for the period 1950–99, with the following exceptions: Data were not available for Mexico for the period 1950–8 and for 1996–7. Data were not available for the years 1998–9 for the following countries: France and Spain. Data were not available for 1999 for the following countries: the Nether- lands, Poland, United Kingdom, Germany, Norway, and Greece. Data for Romania were not available for the period 1950–54. Stillbirths are not included in this study and neither were data from small countries. Statistics The quadratic equations of Fleiss were used for exact calcula- tion of 95% confidence limits for ratios. 20 Linear regression was used for the calculation of association of annual M/F with time. Graphs are drawn as five year moving averages. A p value <0.05 was taken to represent a statistically significant result. RESULTS There has been a significant decline in M/F ratios during the second part of the 20th century in both the European and North American continents (fig 1). Live birth data and regression calculations for countries studied are shown in table 1. Europe This continent included a study (live birth) population of 157 947 117. A statistically significant decrease in M/F was noted in Greece, Hungary, Poland, and Sweden. A decline in M/F, albeit not statistically significant, was found in Austria, Belgium, Bulgaria, Norway, Portugal, Romania, and Switzer- land. In contrast, M/F rose significantly in France and Italy. M/F rose and then fell in Spain, with an overall significant rise. See end of article for authors’ affiliations . . . . . . . . . . . . . . . . . . . . . . . Correspondence to: Dr V Grech, Paediatric Department, St Luke’s Hospital, Guardamangia, Malta; victor.e.grech@govt.mt Accepted for publication 2 January 2003 . . . . . . . . . . . . . . . . . . . . . . . 612 www.jech.com o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://je ch .b m j.co m / J E p id e m io l C o m m u n ity H e a lth : first p u b lish e d a s 1 0 .1 1 3 6 /je ch .5 7 .8 .6 1 2 o n 2 5 Ju ly 2 0 0 3 . D o w n lo a d e d fro m http://jech.bmj.com/ Summation of live births for Mediterranean countries that span latitude ≅35–40° (Bulgaria, Greece, Italy, Portugal, and Spain) showed a significant rise in M/F. Live births for the remaining European countries above latitude 40° (Austria, Belgium, Denmark, Finland, France, Germany, Hungary, Ireland, the Netherlands, Norway, Poland, Romania, Sweden, Switzerland, and the United Kingdom) showed a significant fall in M/F (fig 2). Assuming an expected M/F of 0.515, these trends produced a male birth deficit of 12 744 in the Mediterranean region, 212 780 in central Europe and 13 169 in the Nordic countries; a total male birth deficit of births 238 693. North America This continent included a study (live birth) population of 127 034 732. The combined North American continent data (Mexico, USA, and Canada) showed a significant decline in M/F (fig 1). M/F declined significantly in the USA and Mexico (fig 3). Once again, assuming an expected M/F of 0.515, these trends produced a male birth deficit of 21 993 in Canada, 410 932 in the United States, and 521 789 in Mexico; a total male birth deficit of 954 714. The combined live male birth deficit for the two continents was 1 193 407. Figure 1 M/F ratios for Europe (combined), North America (combined), and both continents combined. Table 1 Male, female, total births and linear regression of sex ratio with time for countries included in this study Country Male live births Female live births Total live births r p M/F 95% CI Denmark* 1680922 1588490 3269412 −0.29 0.49 0.5141 0.5136 to 0.5147 Finland* 1741682 1652473 3394155 −0.10 0.50 0.5131 0.5126 to 0.5137 Germany* 25678261 24239453 49917714 −0.75 <0.0001 0.5144 0.5143 to 0.5146 Ireland* 1498481 1416062 2914543 0.45 0.002 0.5141 0.5136 to 0.5147 Netherlands* 5160590 4899973 10060563 −0.60 <0.0001 0.5130 0.5126 to 0.5133 UK* 20441737 19330020 39771757 −0.61 <0.0001 0.5140 0.5138 to 0.5141 Austria 2600186 2466512 5066698 −0.13 0.38 0.5132 0.5128 to 0.5136 Belgium 3138073 2965932 6104005 −0.17 0.26 0.5141 0.5137 to 0.5145 Bulgaria 3176760 3000118 6176878 −0.22 0.13 0.5143 0.5139 to 0.5147 France 19579581 18634567 38214148 0.52 <0.0001 0.5124 0.5122 to 0.5125 Greece 3395944 3168572 6564516 −0.43 0.002 0.5173 0.5169 to 0.5177 Hungary 3815036 3587994 7403030 −0.65 <0.0001 0.5153 0.5150 to 0.5157 Italy 18671513 17652250 36323763 0.73 <0.0001 0.5140 0.5139 to 0.5142 Norway 1444600 1363935 2808535 −0.15 0.31 0.5144 0.5138 to 0.5149 Poland 15295234 14359427 29654661 0.80 <0.0001 0.5158 0.5156 to 0.5160 Portugal 4283717 4015694 8299411 −0.03 0.81 0.5161 0.5158 to 0.5165 Romania 8082232 7649545 15731777 −0.27 0.07 0.5138 0.5135 to 0.5140 Spain 13600342 12805240 26405582 0.69 <0.0001 0.5151 0.5149 to 0.5152 Sweden 2607559 2459796 5067355 −0.51 <0.0001 0.5146 0.5141 to 0.5150 Switzerland 2103563 1995775 4099338 −0.07 0.65 0.5131 0.5127 to 0.5136 Mediterranean (35-40°) 43128276 40641874 83770150 0.66 <0.0001 0.5147 0.5148 to 0.5149 Northern Europe (>40°) 114818841 108564205 223383046 −0.84 <0.0001 0.5139 0.5140 to 0.5141 All Europe 157947117 149206079 307153196 −0.68 <0.0001 0.5142 0.5142 to 0.5143 Canada (>50°)* 8012882 7588817 15601699 0.26 0.79 0.5136 0.5133 to 0.5138 USA (30-50°)* 76827922 73150435 149978357 −0.73 <0.0001 0.5123 0.5122 to 0.5123 Mexico (<30°) 42193928 40749212 82943140 −0.76 <0.0001 0.5087 0.5086 to 0.5088 North America 127034732 121488464 248523196 −0.73 <0.0001 0.5112 0.5111 to 0.5112 *Previously reported. Figure 2 Summation of M/F ratios for Mediterranean and northern European countries. Figure 3 M/F ratios for Canada, the United States of America, and Mexico. Trends in sex ratios at birth 613 www.jech.com o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://je ch .b m j.co m / J E p id e m io l C o m m u n ity H e a lth : first p u b lish e d a s 1 0 .1 1 3 6 /je ch .5 7 .8 .6 1 2 o n 2 5 Ju ly 2 0 0 3 . D o w n lo a d e d fro m http://jech.bmj.com/ DISCUSSION In utero, the male fetus is more prone to morbidity and mor- tality from external influences than the female fetus. Moreover, the male fetus is at greater risk of all obstetric com- plications than the female fetus and readers are referred to the review by Kraemer.21 Despite these adverse factors, males are invariably born in excess of females,2 implying an even higher conception rate of males over females than evinced by the sex ratio at birth. In the first half of the 20th century, antenatal care improved dramatically in industrialised countries, which led to a fall in stillbirths, most of which would have otherwise been male. This therefore led to an increase in the M/F ratio. 9 22 M/F then declined in several countries in the second half of the 20th century, and one study has proposed that M/F could be used as a sentinel health indicator.23 This is supported by data from Italy that showed that in metropolitan areas, M/F declined in comparison with the rest of the country where M/F increased.24 However, there are several arguments against this hypoth- esis. Firstly, in Finland15 and in Malta,7 the decline in M/F pre- dated the countries’ industrialisation or the widespread use of pesticides. Secondly, it has been noted that in the United States, M/F was overall higher in the black population than in the white population,14 and that M/F rose and then fell in the white population (1964–1988), while rising throughout the study period in the non-white population.25 The overall decline is accounted for by the fact that over 80% of the USA popula- tion falls in the “white” category. Thirdly, Ireland has reported a rise in M/F despite increasing industrialisation,16 and in this study, M/F was also seen to rise in France, Italy, and Spain. These findings do not support the sentinel health indicator hypothesis. Our earlier study provoked several useful comments.8 Jacobs commented that the differences that we showed were very small,26 which is perfectly true. However, this small difference has resulted in an overall deficit of 1 193 407 male births in the European and North American continents for this same study period.8 Voracek and Fisher commented that as the onset of the study period in the 1950s is slightly differ- ent for Europe and North America, the peak in male live births after the second world war may have skewed our results. However, after the war, the ratio rapidly declined to the base- line and is therefore unlikely to have affected our overall results. 11 12 They also pointed out that that the area of the North American continent is 4.8 times the 24 European coun- tries in our study. However, the data on which the paper is based show that the number of actual births is quite similar (North America 127 034 732, Europe 157 947 117, ratio 0.80). They also reanalysed the dataset and showed a curvilinear relation of latitude and sex ratio that is consistent with an effect related to photoperiod. However, the secular trends can- not be explained, to our mind, by such an effect. 27 Shields et al showed a significant relation between cytomegalovirus sero- positivity in cord blood and female sex, but again, we cannot see how CMV infection may possibly be implicated in these secular trends.28 James also reiterated the influence of maternal oestrogen levels on birth weight and the likelihood of dizygotic twins.29 While an interesting hypothesis, we cannot see how this fac- tor alone could explain the widely varying secular trends in different countries over the same timespans. An earlier study had noted declining trends in several countries in various continents, but a latitude effect had not been perceived.30 This same study also showed no overall change in M/F over 1926–1990, whereas our study only looked at the second half of 20th century. It may be that Parazzini et al’s early part of the dataset trends nullified the trends in the second half of 20th century.31 External factors that influence M/F have also been described. Germany, for example, experienced two M/F peaks that were related to the two world wars,12 and these peaks were also supported by data from the Netherlands.32 James has proposed that M/F fluctuates over a 30 cycle, and that this is attributable to a homeostatic mechanism that cor- relates sex at birth negatively with the adult sex ratio at the time of conception.33 The current decline in M/F would there- fore be a negative feedback response to the increase in M/F in the first half of the 20th century. This hypothesis is partly supported by data from the USA that demonstrated a degree of cyclicity over a 55 year period.30 More interestingly, this same study showed a strong degree of correlation between parental age and birth weight. However, the overall decline in M/F in our 50 year study seems constant in both Europe and North America (fig 1) with no evidence of a 30 year cycle. Diverging cultural attitudes may also potentially influence M/F. For example, Latino and Eastern cultures prefer male over female offspring. 34 35 In such cultures, families would be more likely to settle for a single son, than for a single daugh- ter, and on first having a daughter, may therefore opt to have additional children in order to have a son. Male offspring bias may also be evinced by female infanticide and/or sex selective abortion. However, it is unlikely that such factors could have played an important part in determining the observed M/F ratios in the developed countries considered in this study. 36 37 Moreover, any such skew would have mitigated against our finding of an overall male deficit. Several other hypothesis have been put forward to explain different trends in M/F ratios, with various factors assumed to influence the female genital tract environment in ways to favour the Y-bearing spermatozoa.25 For example, it has been claimed that caloric availability per capita correlates positively with M/F.37 In an earlier study we showed a latitude gradient for both Europe and the North American continent.8 Our current European results are interesting in that they show a rising M/F ratio in Mediterranean countries and a falling M/F ratio in more northern European countries (fig 2). Since the early 1980s, in Mediterranean countries, M/F ratio seems to have stabilised at just over the expected value of 0.515, while in more northern countries, M/F ratio seems to have stabilised at 0.513. Should these secular trends increase in magnitude, with an increasing male deficit, this will naturally have social, occupational, epidemiological, and community health related effects. The results of this study yield highly significant p values because of the large numbers of births involved despite the comparatively small shifts in secular trends. The p values are usually used to enable inferences to be drawn about popu- lations from samples. In this context, the p value is only use- ful as an indicator that shows how likely it is that these results should occur by chance alone, assuming that the dataset is correct. One final point that must be borne in mind is that the differences that we demonstrated are very small, and could theoretically have been produced by even very small differen- tial reporting in male and female births, although such errors are unlikely to produce the observed, rather smooth secular trends. In conclusion, while we have expanded our findings on the sex ratio at birth by studying secular trends, we still cannot put forward any reasonable explanation for the observed trends, which may well be attributable to several factors and not just one. . . . . . . . . . . . . . . . . . . . . . Authors’ affiliations V Grech, Paediatric Department, St Luke’s Hospital, Malta P Vassallo-Agius, Medical School, University of Malta C Savona-Ventura, Department of Obstetrics and Gynaecology, St Luke’s Hospital, Malta REFERENCES 1 Dournon C, Houillon C, Pieau C. Temperature sex-reversal in amphibians and reptiles. Int J Dev Biol 1990;34:81–92. 614 Grech, Vassallo-Agius, Savona-Ventura www.jech.com o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://je ch .b m j.co m / J E p id e m io l C o m m u n ity H e a lth : first p u b lish e d a s 1 0 .1 1 3 6 /je ch .5 7 .8 .6 1 2 o n 2 5 Ju ly 2 0 0 3 . D o w n lo a d e d fro m http://jech.bmj.com/ 2 Parkes AS. The mammalian sex ratio. Hum Reprod 1926;2:1–51. 3 James WH. The human sex ratio. Part 1: a review of the literature. Hum Biol 1987;59:721–52. 4 Wyrobek AJ, Robbins WA, Mehraein Y, et al. Detection of sex chromosomal aneuploidies X-X, Y-Y, and X-Y in human sperm using two-chromosome fluorescence in situ hybridization. Am J Med Genet 1994;53:1–7. 5 James WH. Parental hormone levels and mammalian sex ratios at birth. J Theor Biol 1989;139:59–67. 6 Ober C. The maternal-fetal relationship in human pregnancy: an immunogenetic perspective. Exp Clin Immunogenet 1992;9:1–14. 7 Grech V, Vassallo-Agius P, Savona-Ventura C. Declining male births with increasing geographical latitude in Europe. J Epidemiol Community Health 2000;54:244–6. 8 Grech V, Vassallo-Agius P, Savona-Ventura C. BMJ 2002;324:1010– 11. 9 Moller H. Change in male:female ratio among newborn infants in Denmark. Lancet 1996;348:828–9. 10 Dickinson HO, Parker L. Why is the sex ratio falling in England and Wales? J Epidemiol Community Health 1996;50:227–8. 11 van der Pal-de Bruin KM, Verloove-Vanhorick SP, Roeleveld N. Change in male:female ratio among newborn babies in Netherlands. Lancet 1997;349:62. 12 Bromen K, Jockel KH. Change in male proportion among newborn infants. Lancet 1997;349:804–5. 13 Allan BB, Brant R, Seidel JE, et al. Declining sex ratios in Canada. Can Med Assoc J 1997;156:37–41. 14 Marcus M, Kiely J, Xu F, et al. Changing sex ratio in the United States, 1969–1995. Fertil Steril 1998;70:270–3. 15 Vartiainen T, Kartovaara L, Tuomisto J. Environmental chemicals and changes in sex ratio: analysis over 250 years in Finland. Environ Health Perspect 1999;107:813–15. 16 Moynihan JB, Breathnach CS. Changes in male:female ratio among newborn infants in Ireland. APMIS 1999;107:365–8. 17 Lancaster PA, Day PL. Declines in population sex ratios at birth. JAMA 1998;280:1139–40. 18 Minakami H, Sato I. Change in male proportion of newborn infants in Japan. Am J Obstet Gynecol 1998;178:624. 19 James WH. Declines in population sex ratios at birth. JAMA 1998;280:1139. 20 Fleiss JL. Statistical methods for rates and proportions. 2nd edn. New York: Wiley, 1981:14–15. 21 Kraemer S. The fragile male. BMJ 2000;321:1609–12. 22 National Center for Health Statistics. Vital statistics of the United States, 1992: mortality part A. Vol 2. Washington, DC: Public Health Service, 1996. 23 Davis DL, Gottlieb MB, Stampnitzky JR. Reduced ratio of male to female births in several industrial countries: a sentinel health indicator? JAMA 1998;279:1018–23. 24 Astolfi P, Zonta LA. Reduced male births in major Italian cities. Hum Reprod 1999;14:3116–19. 25 Nicolich MJ, Huebner WW, Schnatter AR. Influence of parental and biological factors on the male birth fraction in the United States: an analysis of birth certificate data from 1964 through 1988. Fertil Steril 2000;73:487–92. 26 Jacobs A. Different sex ratios at birth in Europe and North America. [Letter]. BMJ 2002;325:334. 27 Voracek M, Fisher ML. Different sex ratios at birth in Europe and North America. [Letter]. BMJ 2002;325:334. 28 Shields MD, O’Hare B, Nelson J, et al. Different sex ratios at birth in Europe and North America. [Letter]. BMJ 2002;325:334. 29 James WH. Sex ratio at birth and latitude. [Letter]. J Epidemiol Community Health 2001;55:216. 30 Parazzini F, La Vecchia C, Levi F, et al. Trends in male:female ratio among newborn infants in 29 countries from five continents. Hum Reprod 1998;13:1394–6. 31 Parazzini F, La Vecchia C, Chatenoud L, et al. Change in male proportion among newborn infants. Lancet 1997;349:805–6. 32 van den Broek JM. Change in male proportion among newborn infants. Lancet 1997;349:805. 33 James WH. What stabilizes the sex ratio? Ann Hum Genet 1995;59:243–9. 34 Sachar RK, Soni RK. The role of secondary sex ratios in the declining sex ratio of India. Indian J Public Health 1995;39:12–15. 35 Coale AJ, Banister J. Five decades of missing females in China. Demography 1994;31:459–79. 36 Rinehart W. Sex preselection–not yet practical. Popul Rep I 1975;2:21–32. 37 Williams RJ, Gloster SP. Human sex ratio as it relates to caloric availability. Soc Biol 1992;39:285–91. APHORISM OF THE MONTH ......................................................................... Starting a rumour, following Christopher Columbus, and spending other people’s money R eaders will recall that Columbus was adept at following his strategy for exploration by spending other people’s money.1 Bridging the gap between starting a rumour and mobi- lising resources for change is at the heart of public health—how often have you heard somebody say that they can’t do anything to improve health without knowing where the money is coming from first, yet public health is essentially about shaping and influencing the actions of others and other sectors. An effective public health practitioner should be adept at spending other people’s money, but for this to happen on any meaningful scale it is essential for other players involved to feel a sense of ownership.2 I have long contended that in health and health care we need not Directors of Finance, but Directors of Resources. The mindset that starts with financial resources in health finishes up with doctors, nurses, bricks and mortar, and bits of kit. In reality, the resources for health run much wider, including many human and environmental resources that lie outside the bailiwick of something called health. JRA References 1 Ashton JR. Columbus on the need for strategy. J Epidemiol Community Health 2003;57:235. 2 Ashton JR. Communities and sustaining change. J Epidemiol Community Health 2002;56:561. Trends in sex ratios at birth 615 www.jech.com o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://je ch .b m j.co m / J E p id e m io l C o m m u n ity H e a lth : first p u b lish e d a s 1 0 .1 1 3 6 /je ch .5 7 .8 .6 1 2 o n 2 5 Ju ly 2 0 0 3 . D o w n lo a d e d fro m http://jech.bmj.com/ 
work_bjrzctqlmrej3cqmrxtf5pedri	----	Science and Industry N o . 4 RADIO ADDRESS : SCIENCE AND THE WAR 161 SCIENCE AND INDUSTRY THOMAS MIDGLEY, JR. Q. Our discussion today, Dr. Midgley, is about the role of science in industry. What have been among the outstanding contributions of science to industry, and where do the contributions of science to industry start? A. Since mankind first developed co-operation, there have been activities such as the making of arrowheads that have been called industry. However, it was not until nearly two hundred years ago that what we now call industry started in England. This was founded on the application of power to production. I mean power other than man or animal power. This was done by James Watt developing the steam engine. This was not the result of young Watt watching the lid of his mother's teakettle blow off but actually was the result of applying science. Watt was an instrument maker at the University of Glasgow and was assigned a job of studying the operation of a steam engine used for pumping water out of mines. Watt decided that this device was inefficient and cumbersome and needed improve- ment. He spent two years in researching on the properties of steam and with the aid of this scientific knowledge was able to produce an engine that would not com- pare unfavorably with some of the present day. This made it possible to gather 162 THOMAS MIDGLEY, JR. Vol. X L I I people together in factories where steam power could be used and thus produce quantities of finished goods, the like of which had never before been seen. Thus what we call industry was actually founded upon a scientific development. Q. Most of us, Doctor, think of science in industry as being solely in the lab- oratory and not something t h a t is brought into the factory itself. Is this true? A. No. For example, many years ago Mr. C. F . Kettering, who invented and developed the self starter, was calling on Mr. Nash in the expectation of obtaining a contract for t h a t year's business. I t so happened, t h a t a competitive starter was being offered to Mr. Nash at $1.00 less than Mr. Kettering's. The arguments waxed thick and strong. Mr. Kettering continually telling Mr. Nash how much research Delco did in its laboratories to improve its products and Mr. Nash repeatedly saying, " I ' m not paying t h a t dollar just to run your laboratory." Finally with things deadlocked, Mr. Nash started talking about some troubles they were having with their rear axles and asked Mr. Kettering if he could make any suggestions. They walked through the shop to the heat-treating room and Mr. Kettering saw t h a t they were judging the temperatures of the axle pieces being heat treated b y eye so t h a t on bright days they were bound to get the axles hotter, before quenching, t h a n on cold days and t h a t herein lay most of the trouble. So he said to Mr. Nash, " I f you will just use pyrometers to tell what the temperature really is instead of guessing, your troubles will be over." Mr. Nash saw t h a t this was so and thanked Ket for the suggestion. Ket said, "All right Charley, I learned t h a t in our lab- oratory and now I want t h a t dollar." And Mr. Nash signed the contract. Q. Doctor, how does what you have been telling us apply to an every day article such as a refrigerator? How does science in industry apply to the refrigerator itself? A. Well, in the first place, no savage has the slightest conception t h a t he possesses the ability to make things cold b y applying power b u t with the development of the science of thermodynamics. Q. Well, Doctor, t h a t sounds like a $64 word. A. Yes, all of that, as I was saying with the development of this science, it became quite clear to one versed in this science t h a t a machine like the engine of James W a t t made to run backwards in principle could absorb power and pump heat out of things which is all one needs to do to make things cold. This is refrigeration. The household refrigerator is the embodiment of this scientific idea. Q. Is then air conditioning nothing more or less than a glorified refrigerator ? A. In a sense, yes, but had t h a t been all there was to it, the cooled dining car t h a t ran from Columbus to Cincinnati in the 1860's would have been a success. Unfor- tunately, its designer knew nothing about humidity nor how unpleasant a person could be in air so humid t h a t his perspiration would not dry. I t was over half a century later before science understood these simple facts so t h a t refrigeration could be expanded to give comfort in hot weather which is a simple definition of air conditioning. But even this was not quite enough. Reversing the principle of W a t t ' s steam engine is not enough. Steam doesn't work well backwards. One has to use a substance with properties quite different than water to get results in refrigeration. In the early days of artificial ice making, ammonia gas was used exclusively as the refrigerant. Later with the advent of household units, SO2 became very popular, also methylchloride. One trouble of applying such things to air conditioning was t h a t if there was a leak, even a small one, people's lives were in danger. A new refrigerant was needed—one t h a t was neither toxic nor combustible. Mr. Kettering saw t h a t such a substance was essential to the development of air conditioning. So, one morning, he called me up and told me to get to work on this problem. With the aid of Dr. A. L. Henne the problem was solved b y using dichlorodifluoromethane. N o . 4 RADIO ADDRESS : SCIENCE AND INDUSTRY 163 Q. I think that one should be worth $65. A. Well, Paul, as a matter of fact, it turned out to be worth many millions and gave comfort to many millions more. So that today by the application of science to the improvement of refrigerants, a brand new industry came into existence, and air conditioning in theaters, restaurants, railroad cars, stores, office buildings, is well nigh universal. However, it has been terribly disappointing to see the Amer- ican public fail to make more use of it in their homes. It is my feeling that had we been willing to raise our standard of living to the air conditioned level during the early 30's much of the depression unemployment could have been avoided. Q. All right Dr. Midgley, you have explained the application of science to the common refrigerator. Now let me ask you how some lesser known science, such as say Entomology or bug study, can be applied to industry? A. I see you too started on the $64 words. Q. Doctor, I think it's catching. A. As a matter of fact, Entomology has not played a very important part in what we call industry. Maybe we use some exterminators in the woolen goods industry and maybe we don't. I don't know. Yet if we look at the whole, Entomology is important. Many insect pests must be eradicated or at least controlled for suc- cessful farming. This is done largely by the use of chemicals called insecticides which constitute a fair portion of our normal peacetime production of chemical goods. Q. Well, that answers my question, Doctor, and now getting back to the factory, what has science done towards the fabrication of metals, the making of steels and alloys? How does science work here? A. Suppose we start at the beginning. Primitive man was unacquainted with the properties of metals. It is supposed that some ancient person used some sort of copper ore to blanket a fire. Later he discovered some particles of copper in the ashes and observed that here was a stone which could be fashioned by ham- mering and hence he could make arrowheads, knives and the like which were better than the chipstone implements he had been used to and so it went. Individual discoveries passed on from generation to generation building up a craft of metal work. For example, take the much vaunted steel of Damascus. Was this the result of science? No. Damascus steel actually was one of the poorest steels known to the ancient world. It was too hard and brittle for practical use so the blacksmiths of Damascus took small rods of steel and small rods of wrought iron, wound these together and hammered them into a single rod. These rods in turn were twined with others and the whole welded together by hard work. The result was a sword or a knife that could be sharpened to a razor edge and was held together by the tough wrought iron. No one else could make as good a sword. Today we would take the brittle steel of Damascus, analyze it, probably find too much phosphorous, add what would be needed to remove the phosphorous, in the furnace operation add some nickel, tungsten and vanadium and without any blacksmithing turn out knives, swords or razor blades that would make any Damascan green with envy. This is science. Q. Using scientific methods, what have been some of the modern day develop- ments in the fabrication of metals? A. Well, you might call the railroad one, the Golden Gate Bridge another, the three hundred mile an hour airplane one more, telephone communication still another and so on ad infinitum. Q. Along with steel, Dr. Midgley, rubber has contributed much to modern living standards. Where does science enter into the making of rubber? A. It is said that Christopher Columbus took back a piece of rubber on his first voyage and this was the first contact that white men had with this very valuable material. Be that as it may, rubber was not of much value until Charles Goodyear 164 N. PAUL HUDSON Vol. X L I I by applying research methods, discovered that rubber would combine with sulphur to give the remarkable resulting product with which we are all familiar. This was about a century ago. Since then other scientists, principally chemists, have added to the knowledge of and the utility of this material. The importance of vulcanized rubber to modern life cannot be over-emphasized. Without it we would have no automobiles, no electrical industry, no air brakes, no golf balls or airplanes, suspend- ers or erasers, faucet valves or garden hose. All of which depend upon this product of science. Again to emphasize its value, the Kaiser did not start the war in 1914 until his advisors told him that Germany could make synthetic rubber. They were wrong and Germany lost. Hitler made more certain. Today Germany supplies its own needs of synthetic rubber; product of science. We, on the other hand, have been a bit backward. Our hope is now that our scientists will catch up. Q. What would you say, Dr. Midgley, in summing up the role of science in industry ? A. Industry is science. The two are inseparable, Siamese twins, except that some science would go on without industry but no industry could live long without science. Management which neglects science is neglecting its business and failure will be the ultimate reward. New applications of science mean success and it will always be so. 
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work_bpqhdcbvyzbzhasz3jjh3jtrkq	----	150 D E B A T E 1 Keywords Resistance Monuments History Protests Debate should monuments resist? The social outbreak of October 2019 defined a new role for monuments in Chile. During the demonstrations, not only the statues that paid tribute to Spanish conquistadors – namely, those who built a country to the detriment of the native peoples – were torn down, but the historical (therefore constructed) backing of certain buildings’ patrimonial status was also questioned. Even the Baquedano monument, located in the middle of a roundabout of the same name, at the focal center of the demonstrations in Santiago, was completely covered with new meanings during the protests. A R Q 1 0 5 — S A N T IA G O , C H IL E 151 2 In late May 2020, the death of African American citizen George Floyd – at the hands of the Minneapolis police, in the U s – reactivated the Black Lives Matter movement, which resists and opposes racism against African American people. In the context of this movement, a series of statues that paid tribute to slave-traders and owners were attacked, generating a surprising parallel (just months away), between what happened in Chile and in other parts of the world. Considering both events, in the debate on this issue of a r Q we asked: should monuments resist in place? Or is it preferable to protect them by removing them from the public space? What happens if their meaning changes? Are they still considered monuments? What is it that resists in them? After all, if monuments materialize the intersection between history, architecture, and the city, what can resist the most, their meaning or their material? FIG. 1 La estatua de Edward Colston cae en Bristol, Inglaterra, el 7 de junio de 2020. Edward Colston Statue falls in Bristol, England, on June 7, 2020. © Ben Birchall, Pa Wire/ Pa Image FIG. 2 Estatua del General Baquedano después de las protestas del estallido social iniciadas el 18 de octubre de 2019, Santiago de Chile. The General Baquedano Statue after the protests of the social outbreak, which started on October 18, 2019, Santiago, Chile. © Francisco Díaz, 23 de febrero de 2020 / February 23, 2020 152 D E B A T E Continúa en / Continues in: p. 154 I n 1936, Robert Musil famously wrote: “there is nothing more invisible than a monument.” Nothing seems further from the truth right now. In Bristol, protesters recently tossed a statue of slave trader Edward Colston into the harbor; in Antwerp, activists are defacing bronzes of King Leopold II; in the United States, citizens are toppling Confederate monuments; and across the world statues of Christopher Columbus are falling. The toppled, sunken, defaced, vandalized and beheaded statues of these past months speak to the reemergence of rage and discontent against monuments – Confederate, federal, patriarchal, colonial, racist, white –, spatial reminders of structural and representational inequality. The recent protests against racism in the United States and across the world reveal a special affinity between monuments and social protests; between citizens occupying the streets to demand justice and the dead bronzes standing in their way. The same can be said about the social upheaval that started in response to a public transportation fare hike in Chile on October 18, 2019. During months of massive protests for equality, justice and redistribution, Chilean demonstrators toppled, beheaded and vandalized monuments honoring Spanish colonizers and Republican war heroes who sought to eradicate native peoples. Our current statuophobia is different from that of the 20th century counter-monument movement reflected in Musil’s words, as well as the 19th century monument disdain. While monuments’ lack of function upset modernists, the growing number of new unregulated monuments troubled city planners a century before. Today we are grappling with a different kind of monument malaise: our monuments no longer reflect who we are. The problem is twofold. For the one part, cities have largely failed to build monuments to represent current – or rather – aspirational values: monuments to black lives, to women, to the lG B tq + community, to minorities, to people of color, to immigrants, to the disabled, and to ordinary citizens. For the other part, cities have been reluctant to remove offensive, racist and colonial monuments of the past. In Berlin, for example, Black and Afro-German activists and their allies have been struggling for over a decade to remove colonial and racist street-names from the city center and to build a memorial to the victims of German colonialism. Similarly, it took 23 years after the return to democracy, for a central throughway in Santiago de Chile honoring September 11, the date of the military coup, to be renamed. Most of the monuments that have been toppled in the past few weeks, were removed by Sinking Monuments: Notes on our Current Statuophobia Va L e n t i n a r oz a s - K r au s e Becaria postdoctoral y profesora adjunta, University of Michigan, Ann Arbor, Estados Unidos 154 D E B A T E activists and protesters. One of the only exceptions is the Columbus statue in San Francisco, which the city removed preemptively as a form of preservation. While protesters’ actions might seem violent, they are a response to decades of veiled and overt racism and indifference combined to perpetuate the monumental status quo. In other words, without protests, much of the Robert E. Lee, Leopold II, and Columbus statues of the world would remain intact, protected by a veil of selective invisibility. In response to our present-day statuophobia most monument supporters claim that removing monuments is an erasure of history. This widely echoed argument not only conflates history with its representation, but also assumes that all monuments were erected with the purpose of preserving the memory of a deed, event, or figure of the past. Both assumptions are false. While monuments might tell stories, they are not stone and bronze versions of peer-reviewed history books. On the contrary, monuments are the result of selection and erasure processes, strongly aimed at maintaining dominant narratives. Every statue is the product of a specific cultural and political milieu that decided to elevate a certain version of the past over multiple others. The proliferation of Confederate monuments erected after the end of the American Civil War to spread the false narrative of the ‘Lost Cause’ illustrates this point. These Confederate statues are not historical monuments, but purposefully ahistorical representations of the past. History at large is not in danger, what has been threatened by the recent removal of monuments is a certain version of the past, one that justified colonialism, genocide, slavery and injustice in the name of ‘progress and enlightenment.’ As cities across the world grapple with the monument debris of the ongoing protests against racism and police brutality, I would like to conclude with one photograph (F i G . 1). The photograph of the bronze of Edward Colston being tossed into the Avon river, which was located later in the middle of Bristol harbor by the witty Google Maps algorithm. Colston, like most of his kind, was rescued from the bottom of the river and stored in an undisclosed location. Museums have been our preferred place for defunct objects of the past. However, I would argue that under our current circumstances there are other alternatives to consider besides exhibiting these monuments in an enclosed and regulated space. Perhaps some monuments should be left untouched – showing the accumulative signs of vandalism and re-appropriation, perhaps others could be put in dialogue with new monuments that reframe their values, and perhaps some statues deserve to stay underwater. ARQ Valentina Rozas-Krause <vrozas@umich.edu> Architect and Master in Urban Planning, Pontificia Universidad Católica de Chile. PhD in Architecture, University of California, Berkeley. She is currently working on her next book Memorials and the Cult of Apology as a postdoctoral Collegiate Fellow at the University of Michigan. 
work_btbxnlynsva6ddi2crpb6kuo6e	----	R. Price S. Price Sancocho In: New West Indian Guide/ Nieuwe West-Indische Gids 69 (1995), no: 1/2, Leiden, 127-141 This PDF-file was downloaded from http://www.kitlv-journals.nl Downloaded from Brill.com04/06/2021 01:09:22AM via free access RlCHARD & SALLY PRICE SANCOCHO In devoting this essay to sancocho, we continue our tradition of annual book round-ups spiced with Caribbean culinary lore. Having already served up pepperpot and rundown from the Anglophone islands, migan from Martinique and Guadeloupe, and callaloo from all of the above, the time seemed ripe to turn to the Hispanic Caribbean. And as our list of books has expanded (from the forty to fifty of previous years to nearly one hundred in this installment), a dish with as many ingredients as sancocho seemed particularly appropriate. According to Manuel Vargas, who generously shared with us his ample knowledge of sancocho in the Dominican Republic, the ideal is to include seven meats (pork, beef, goat, chicken, turkey, duck, and pigeon) as well as "many spices and as many roots and vegetables as possible." Ligia Espinal de Hoetink's more detailed recipe, also from the Dominican Republic, includes longaniza sausage, chicken, pork chops, salt pork, and goat meat, as well as pumpkin, plantains, corn-on-the-cob, four root crops, vinegar, and a variety of herbs, vegetables, and broths. Our Man in San Juan, Antonio Dfaz-Royo, provided a number of Puerto Rican recipes from both literary and domestic sources, even treading in the perilous waters of mother-daughter rivalry by eliciting versions from his wife, Cruz Nazario, and her mother, Dofla Sol (whose reaction to her daughter's recipe, presented anonymously by her diplomatic son-in-law, was to dismiss it as mere sopón). Despite variation on some of the details (notably celery, chickpeas, and sofrito), they both confïrmed the general heart of the dish - several different meats and root crops, plus plantains, pumpkin, and corn-on-the-cob. There are also regional differences; Vargas reports that in the Dominican Republic, for example, wheat-flour dumplings are used in the east but pigeon peas are more common in the north and southwest. Downloaded from Brill.com04/06/2021 01:09:22AM via free access 128 New West Indian GuidelNieuwe West-Indische Gids vol. 69 no. 1 & 2 (1995) Elisabeth Lambert Ortiz's Complete Book of Caribbean Cooking (1973) offers seven sancocho recipes, all from the Dominican Republic, plus a saucochi di gallinja from Aruba (whose ingredients include beef, veal, chicken, potatoes, sweet potatoes, pumpkin, corn-on-the-cob, plan- tains, and more) and a Trinidadian dish called sancoche, which adds coco- nut cream and cornmeal dumplings to the usual list of ingredients. Trinidadian sancoche is documented without the cornmeal dumplings in Callaloo, Calypso & Carnival: The Cuisines of Trinidad and Tobago (see NWIG 68:130); it has also been described as a Saturday dish that simply cooks up all the week's leftovers (meat, coocoo, rice, fish, etc.) in a single pot (Gerard Pantin, A Mole Cricket Called Servol, Ypsilanti MI: High/Scope Press, 1979:115) - a concept that strikes us as particularly analogous to the mixed pot of otherwise-unreviewed books we present in the following pages. We have been told that sancocho is also found in Colombia and Venezuela. Putting theory into practice while writing this essay, we served up our own seven-meat sancocho at a pre-Christmas party. Our Martiniquan guests suggested that the closest local equivalent, in this ever racially- conscious society, might be manjé-milat ("mulatto meal"), which is made with "half chicken and half pork, half plantains and half root crops." As part of the same discussion, poet Nancy Morejón, in Martinique to serve on the jury for the Prix Carbet des Caraïtes (awarded this year to Raphaël Confiant, see below) reported that there's nothing called sancocho in her native Cuba but that qjiaco comes very close. Indeed, one printed source (the upper-class Memories of a Cuban Kitchen - see NWIG 68:130) offers an ajiaco criollo that includes three kinds of beef, green and ripe plan- tains, corn-on-the-cob, pumpkin, five root crops, and a sofrito. All of our consultants say that sliced avocados are a customary side dish, all mention rainy days as particularly appropriate for sancocho- eating, and all link the stew to rural, rather than urban, settings (though Harry Hoetink encouraged an open attitude toward contexts, citing an ex- ceptionally good sancocho that he and Ligia once stumbled upon in a shopping-mall restaurant in Kissimmee, Florida). While our two main Dominican authorities differed on whether the dish should be enjoyed with rum or beer, both cited the classic merengue, "El sancocho prieto." Manuel Vargas provided the full lyrics (by Julio Alberti) to support his argument about the strong sexual connotations of the dish: Downloaded from Brill.com04/06/2021 01:09:22AM via free access REVIEW ARTICLES 129 Del sancocho prieto Some black sancocho, color de tu carne, with meat of your color, til tendras que darme, you'11 have to give me porque estoy hambriento. because Fm very hungry. Del sancocho dame, Give me some sancocho tambien de tu amor. as well as your love. Quiero con ardor I want passionately yo saciar el hambre. to satisfy my hunger. El humo de la paila The smoke from the kettle quema tan caliente is burning as hot como quema tu alma. as your soul is burning. Dentro la gallina Inside, the chicken sabe tan sabrosa como tü tastes as sweet as you, hermosa, sabes a divina. my beauty, who tastes divine. There's much more to the story, in terms of such considerations as race, class, and gender. But we have many books to review, and must move on. We begin, as usual, with our Caribbeanist Hall of Shame, listing those books that (as of press time, January 1995) we have been unable to review because the scholars who agreed to the task (identified here by initials in square brackets) have - despite reminder letters - neither provided a review nor returned the books so that they could be assigned to someone else. As in the past, this paragraph may serve as a kind of backlist "books received." (And as always, we would still welcome the submission of any of these reviews, however tardy.) The Atlantic Slave Trade: Effects on Economies, Societies, and Peoples in Africa, the Americas, and Europe, edited by Joseph E. Inikori & Stanley L. Engerman (Durham: Duke University Press, 1992, cloth US$45.00, paper US$17.95) [J.C.C.]; Ideology and Class Conflict in Jamaica: The Politics of Rebellion, by Abigail B. Bakan (Montreal: McGill-Queen's University Press, 1990, cloth US$ 39.95) [D.A.-B.]; The Meaning of Freedom: Economies, Politics, and Culture after Slavery, edited by Frank McGlynn & Seymour Drescher (Pittsburgh: University of Pittsburgh Press, 1992, cloth US$ 49.95, paper US$ 19.95) [L.R.]; Whispers from the Caribbean: 1 Going Away, I Going Home, by Wilfred Cartey (Los Angeles: Center for Afro-American Studies, UCLA, 1991, paper US$ 43.00) [M.McW.]; The Islands and the Sea: Five Centuries of Nature Writing from the Caribbean, edited by John A. Murray (New York: Oxford University Press, 1991, cloth US$ 22.95) Downloaded from Brill.com04/06/2021 01:09:22AM via free access 130 New West Indian GuidelNieuwe West-Indische Gids vol. 69 no. 1 & 2 (1995) [D.W.]; El Caribe hacia el 2000, edited by Andrés Serbin & Anthony Bryan (Editorial Nueva Sociedad, 1991, paper n.p.), jVecinos indiferen- tes? El Caribe de habla inglesa y America Latina, edited by Andrés Serbin & Anthony Bryan (Caracas: Editorial Nueva Sociedad, 1990, paper n.p.) and El Caribe entre Europa y America: Evolución y perspectivas, edited by Luis Beltran & Andrés Serbin (Caracas: Editorial Nueva Sociedad, 1992, paper n.p.) [C.A.R.]; Haiti and the United States: The Psychological Moment, by Brenda Gayle Plummer (Athens: University of Georgia Press, 1992, paper US$ 18.50, cloth US$ 45.00) [K.R]; Sojourners in the Sun: Scottish Migrants in Jamaica and the Chesapeake, 1740- 1800, by Alan L. Karras (Ithaca: Cornell University Press, 1992, cloth US$ 34.50) [R.A.McD.]; Surinaams contrast: Roofbouw en overleven in een Caraïbische plantagekolonie 1750-1863, by Alex van Stipriaan (Leiden: KITLV, 1993, paper NLG 60.00) [R.B.-S.]; Peregrinos de la libertad: Documentos y fotos de exilados puertorriquenos del siglo XIX localizados en los archivos y bibliotecas de Cuba, by Félix Ojeda Reyes (San Juan: Editorial de la Universidad de Puerto Rico, 1992, cloth US$ 29.95) [J.L.D.]; The Suffer ing Grass: Superpowers and Regional Conflict in Southern Africa and the Caribbean, edited by Thomas G. Weiss & James G. Blight (Boulder CO: Lynne Rienner, 1992, cloth US$ 30.00) and The Russians Aren't Coming: New Soviet Policy in Latin America, edited by Wayne S. Smith (Boulder CO: Lynne Rienner, 1991, cloth US$ 25.00) [A.S.]; Identifying Crime Correlates in a Developing Society: A Study of Socio-Economic and Socio-Demographic Contribu- tions to Crime in Jamaica, 1950-1984, by Hyacinthe Ellis (New York: Peter Lang, 1991, cloth US$ 49.95) [J.E.]; The Novels ofV.S. Naipaul: A Study in Themes and Form, by Shashi Kamra (New Delhi: Prestige, 1990, cloth Rs. 180) and On the Margins: The Art of Exile in V.S. Naipaul, by Timothy F. Weiss (Amherst: University of Massachusetts Press, 1992, cloth US$ 30.00) [S.N.]; Esclaves et citoyens: Les noirs a la Guadeloupe au XlXe siècle dans les processus de resistance et d'intégration (1802- 1910), by Josette Fallope (Basse-Terre Guadeloupe: Société d'Histoire de la Guadeloupe, 1992, paper n.p.) [D.T.]; Sources of Bahamian History, edited by Philip Cash, Shirley Gordon & Gail Saunders (London: Macmillan Caribbean, 1991, paper £6.95) and Supplement to A Guide to Source Materials for the Study of Barbados History, 1627-1834, by Jerome S. Handler (Providence RI: The John Carter Brown Library and The Barbados Museum and Historical Society, 1991, cloth US$ 22.50) [H.J.]; The Jamaican Stage, 1655-1900: Profile of a Colonial Theatre, by Errol Hill (Amherst: University of Massachusetts Press, 1992, cloth US$ 35.00) [L.F.]; Ex-iles: Essays on Caribbean Cinema, edited by Mbye Downloaded from Brill.com04/06/2021 01:09:22AM via free access REVIEW ARTICLES 131 Cham (Trenton NJ: Africa World Press, 1992, cloth US$ 49.95, paper US$ 18.95) [K.A.]; The Caribbean in the Pacific Century: Prospects for Caribbean-Pacific Cooperation, by Jacqueline A. Braveboy-Wagner, with W. Marvin Will, Dennis J. Gayle & Ivelaw L. Griffith (Boulder CO: Lynne Rienner, 1993, cloth US$ 35.00) and Pursuing Postdependency Politics: South-South Relations in the Caribbean, by H. Michael Erisman (Boulder CO: Lynne Rienner, 1993, cloth US$ 30.00) [R.P.]; Les repré- sentations du corps chez les noirs marrons ndjuka du Surinam et de la Guyanefrangaise, by Diane Vernon (Paris: ORSTOM, 1992, n.p.) [D.N'D.]; Sam Selvon's Dialectical Style and Fictional Strategy, by Clement H. Wyke (Vancouver: University of British Columbia Press, 1991, cloth US$ 35.95) [V.R.]; The C.L.R. James Reader, edited by Anna Grimshaw (Oxford: Blackwell, 1992, cloth £45.00, paper £12.95) [B.S.]. And finally, none of the several Césaire specialists we asked to review Aimé Césaire, by Janis L. Pallister (New York: Twayne, 1991, cloth US$ 24.95), feit it worthy of their attention. Although as a matter of policy the NWIG does not review literature, we continue the tradition of briefly noting those new works that we have seen in the last twelve months. First, two contrasting novels. V.S. Naipaul's A Way in the World: A Novel (New York: Knopf, 1994, cloth US$ 23.00) covers vast territories of the imagination, from the precise, almost surgical memoirs of his summer-before-leaving-for-England as an assistant clerk in the Red House, to morose wanderings and dreamings near the mouth of the Orinoco, contemplating El Dorado - all themes he has plumbed before, yet once again with that inimitable stylistic finesse and chilling gaze. With Stedman and Joanna - A Love in Bondage: Dedicated Love in the Eighteenth Century (New York: Vantage, 1991, cloth US$ 15.95), Beryl Gilroy offers an apparently well-meaning (vanity- press) historical novel that hovers between the maudlin and the ridiculous; though the author has previously produced respectable fiction, this work can only be read as an embarrassment even by someone unfamiliar with Stedman's original, which needs no bowdlerization. An unusual number of first novels have appeared. Dreaming in Cuban, by Cristina Garcia (New York: Knopf, 1992, cloth US$ 20.00), moves back and forth, with panache and pathos, between Havana and Brooklyn, international and domestic politics, and the lives of four women. Secrets (New York: Villard, 1993, cloth US$ 20.00), by Trinidadian-born New York writer Keivin Christopher James, depicts in lyrical prose an island girl's coming of age. In Under the Silk Cotton Tree (Brooklyn NY: Interlink, 1993, paper US$9.95), Jean Buffong weaves richly-textured tales of village life in her native Grenada. Me Dying Trial, by Jamaican- Downloaded from Brill.com04/06/2021 01:09:22AM via free access 132 New West Indian Guide/Nieuwe West-Indische Gids vol. 69 no. 1 & 2 (1995) born Patricia Powell (Oxford: Heinemann, 1993, paper £5.99), provides a bitter-sweet perspective on the everyday realities of rural domestic life. The Roads Are Down (Oxford: Heinemann, 1993, paper £4.99), by Jamaican Vanessa Spence, engagingly explores the romance between a married American man and a young woman from the Blue Mountains. With Harriet's Daughter (Oxford: Heinemann, 1988, paper £5.99), the accomplished Tobagan-Canadian poet Mariene Nourbese Philip has published a book for children, dealing with such themes as migration, exile, and the inter-generational conflicts in adjusting to a multi-racial society. The Dispossessed, by Clem Maharaj (Oxford: Heinemann, 1992, paper £5.99), is an engagé exploration of the lives of the working poor on a Trinidad sugar estate. And Lawrence Scott's Witchbroom (Oxford: Heine- mann, 1993, paper £6.99) recounts, through an androgynous narrator, carnival tales interwoven with a visionary history of his native Trinidad. The latest erop of Francophone literature includes no fewer than three simultaneously-published works by Raphaël Confiant (complementing two major books he published the previous year): Bassin des Ouragans (Paris: Mille et Une Nuits, 1994, paper FF 10) is a mini-divertissement about contemporary Martinique; Commandeur du sucre (Paris: Ecriture, 1994, paper FF 120) offers a somewhat cardboard, didactic récit about 1930s life in and around the canefields; and the prize-winning L'Allee des Soupirs (Paris: Grasset, 1994, paper FF 130), depicts la vie foyalaise during the anti-colonial riots of 1959. Confiant's companion-in-créo/j/é, Patrick Chamoiseau, has written a sequel to his own Prix Carbet winner, Antan d'enfance (1990); set next to Lamming's classic In the Castle ofMy Skin, which covers similar ground, Chamoiseau's Chemin-d'école (Paris: Galli- mard, 1994, paper FF 80) seems cloyingly cute, adopting the third person (like the autobiographies of Charles de Gaulle and Julius Caesar) to depict the darling little négrillon, with an effect that is not unreminiscent of a highbrow bande dessinée. Finally, a very different sort of autobio- graphical work by the long-time rightist politician Victor Sablé, Mémoires d'un Foyalais, des iles d'Amériques aux bords de la Seine (Paris: Maisonneuve & Larose, 1993, paper FF 115), tries to settle old scores and offers a profoundly French-oriented, non-créoliste vision of Martinique. Four recent short-story collections have come in. A Boy Named Ossie: A Jamaican Childhood (Oxford: Heinemann, 1991, paper £4.95), by Earl McKenzie, is filled with simple tales of growing up in rural St Andrews. Mint Tea and Other Stories, by Jamaican Christine Craig (Oxford: Heinemann, 1993, paper £5.99), focuses on women's life on the island. The Man Who Loved Attending Funerals and Other Stories (Oxford: Heine- mann, 1993, paper £5.99) collects for the first time some of the Bajan Downloaded from Brill.com04/06/2021 01:09:22AM via free access REVIEW ARTICLES 133 stories by the late Frank Collymore, editor of Bim and godfather of the whole West Indian literary renaissance of the 1940s and 1950s. // So Happen (Oxford: Heinemann, 1991, paper £4.95) reissues the lively 1975 collection by the late Timothy Callender, from whom we once bought a novel he was hawking at the Barbados airport (How Music Came to the Ainchan People, 1979). Several major works of West Indian literature have been reprinted. The University of Michigan Press (Ann Arbor) has brought out George Lamming's 1954 novel, The Emigrants (1994, paper US$ 14.95), as well as a collection of his essays first published in 1960, The Pleasures ofExile (1992, cloth US$ 42.50, paper US$ 14.95), this latter with an insightful new foreword by Sandra Pouchet Paquet. The republication of Sam Selvon's Moses Migrating (Washington DC: Three Continents, 1992, cloth US$ 20.00, paper US$ 9.50) reminds us of the author's infectious and unpretentious enthusiasms - visiting Martinique from England just months before his death last year, he picked the very hottest kind of pepper from a bush in our garden and swallowed the better part of it, remarking that he hadn't eaten a fresh one since he'd last been in the West Indies. Roy Heath's The Armstrong Trilogy: From the Heat of the Day, One Generation, Genetha (New York: Persea, 1994, paper US$ 15.00) brings together three of this Guyanese novelist's best, collected here for the first time in one volume, as he intended. Duke University Press (Durham NC) has brought back into print C.L.R. James's classic memoir of colonialism, cricket, and growing up Trinidadian, Beyond a Boundary (1993, paper US$ 14.95). And the professorial team of William Breit & Kenneth G. Elzinga, who write under the name of Marshall Jevons, now boast a new edition of their 1978 mystery Murder at the Margin (Princeton NJ: Princeton University Press, 1993, cloth US$ 34.95, paper US$ 10.95), which uses (and from our Caribbeanist perspective, abuses) St. John as the platform for their lessons in economie rationality. Several literary works have appeared in translation. Maryse Condé's /, Tituba, Black Witch of Salem (Charlottesville: University Press of Virginia, 1992, cloth US$ 19.95) translates her 1986 imaginative account; an inter- view with the author following the text makes clear that her intent was to follow her intuitions about Puritan New England and Tituba's role in it rather than to write a "historical novel." Between Two Worlds (Oxford: Heinemann, 1992, paper £5.99) translates Simone Schwarz-Bart's second novel, Ti Jean L'horizon (1979), and Le Chainon Poétique (Champigny- sur-Marne: Edition L.C.J., 1994, paper n.p.) offers a selection of works by Cuban poet Nancy Morejón, in facing-page Spanish and French. And selected poems of Angel Cuadra, a Cuban (now-exile) of a very different Downloaded from Brill.com04/06/2021 01:09:22AM via free access 1 3 4 N e w West Indian Guide/Nieuwe West-Indische Gids vol. 69 n o . l & 2 (1995) stripe, are presented by Warren Hampton in Angel Cuadra: The Poet in Socialist Cuba (Gainesville: University Press of Florida, 1994, cloth US$ 19.95). A number of new collections of poetry have come to our attention. From Jamaica to New England, Lorna Goodison's Selected Poems (Ann Arbor: University of Michigan Press, 1992, cloth US$ 34.50, paper US$ 12.95) speaks in a rich and vibrant voice. Merle Collins's Rotten Pomerack (London: Virago, 1992, paper £5.99) moves rather between Grenada and London, and between longing to remember and trying to forget. Spring Cleaning (London: Virago, 1992, paper £5.99) is the most recent collection by Jean 'Binta' Breeze, the well-known Jamaican perfor- mance poet. And Duppy Jamboree and Other Jamaican Poems, by Valerie Bloom (Cambridge: Cambridge University Press, 1992, cloth £5.50, paper £3.75), consists of performance poems for children. Kamau Brathwaite has published two major poetic works. The Zea Mexican Diary (Madison: University of Wisconsin Press, 1993, cloth US$ 17.95) is a sustained, riveting account of his innermost thoughts during the three months when his wife Doris ("Mex") was dying of cancer in 1986 - written in his emerging "video" style. His richly-textured Barabajan Poems 1492-1992 (Kingston & New York: Savacou North, 1994, paper n.p.), presented in full-scale "video" on large-format pages, is filled with multiple surprises and humor. David Dabydeen's Turner: New & Selected Poems (London: Jonathan Cape, 1994, paper £7.00) presents his lyrical but muscular long poem, "Turner," taking off from that artist's luminous and horrific 1840 painting, "Slavers Throwing Overboard the Dead and Dying." Several books of essays deserve mention. Roots, by Kamau Brathwaite (Ann Arbor: University of Michigan Press, 1993, cloth US$ 32.50, paper US$ 14.95), reprints a collection first published by Casa de las Americas (Havana, 1986) gathering a number of EKB's major essays, including "History of the Voice." Motherlands: Black Women's Writing from Africa, the Caribbean and South Asia, edited by Susheila Nasta (New Brunswick NJ: Rutgers University Press, 1992, cloth US$ 36.00, paper US$ 12.95), brings together essays by a variety of astute critics. Pedro Pérez Sarduy & Jean Stubbs have introduced and edited the timely collection AfroCuba: An Anthology of Cuban Writing on Race, Politics and Culture (Melbourne Australia: Ocean Press, 1993, paper US$ 34.95). Anil Ramdas has published the second in his series of snappy T.V. interviews with non-Dutch intellectuals, In mijn vaders huis II (Amster- dam: Jan Mets, 1994, paper NLG 27.50), this time engaging among others Edward Said, Paul Gilroy, bell hooks, and Dick Hebdige. Downloaded from Brill.com04/06/2021 01:09:22AM via free access REVIEW ARTICLES 135 There are three new relevant volumes in the World Bibliographical Series, published at Oxford by Clio, and each containing some 600 an- notated items: Virgin Islands, compiled by Verna Penn Moll (1991, cloth US$ 78.00), which includes much useful material but inexplicably manages to overlook Gordon K. Lewis's The Virgin Islands: A Caribbean Lilliput (1972); St. Vincent and the Grenadines, compiled by Robert B. Potter (1992, cloth US$ 79.00); and Netherlands Antilles and Aruba, compiled by Kai Schoenhals (1993, cloth US$ 50.00), which suffers even more than the others from the series-wide targeting of mono-lingual Anglophone readers. The distinguished Haitianist Léon-Fran9ois Hoffmann has pro- duced Bibliographie des études littérair es haïtiennes 1804-1984 (Vanves: EDICEF, 1992, paper FF 120), an unannotated 2767-item-long list that makes a brave beginning in what are perhaps the Caribbean's most bibliographically troubled waters. Manuel J. CarvajaFs The Carib- bean 1975-1980: A Bibliography of Economie and Rural Development (Metuchen NJ: Scarecrow, 1993, cloth US$ 89.50) explains neither the jusüfication for (or significance of) its strict temporal limitations nor the rather random nature of its 5300 largely unannotated selections. Political Porties of the Americas and the Caribbean: A Reference Guide (Harlow Essex: Longman, 1992, cloth £82.00), edited by John Coggins & D.S. Lewis, provides encyclopedia-type data, including recent election results, updated to May 1992. A number of recent books devote one or more chapters to the Carib- bean. Size & Survival: The Politics of Security in the Caribbean and the Pacific (London: Cass, 1993, cloth £30.00), edited by Paul Sutton & Anthony Payne, includes Gary Brana-Shute's analysis of the Tukuyana Amazones insurgency in Suriname, Bishnu Ragoonath's assessment of the Abu Bakr coup in Trinidad, Ivelaw L. Griffith's overview of drug pene- tration in the Commonwealth Caribbean, and Paul Sutton's reflections on small state security in the region. Joseph K. Adjaye's edited book, Time in the Black Experience (Westport CT: Greenwood, 1994, cloth US$ 55.00), has a nuanced chapter by Kenneth M. Bilby about time and history among the Aluku Maroons as well as one by the volume's editor on the Maroons of Jamaica. Campesinos: Kleine boeren in Latijns-Amerika, vanaf 1520, edited by Arij Ouweneel (Amsterdam: Thela, 1993, paper NLG 49.50), gathers eighteen pieces by one American and several Dutch scholars including two on the Caribbean: Gert Oostindie's historical overview of Caribbean peasantries and Michiel Baud's analysis of nineteenth- and twentieth-century peasants in the Dominican Republic's Cibao region. Robert Durfee's Journal and Recollections of Newport, Rhode Mand, Freetown, Massachusetts, New York City & Long Island, Downloaded from Brill.com04/06/2021 01:09:22AM via free access 136 New West Indian Guide/Nieuwe West-Indische Gids vol. 69 no. 1 &2 (1995) Jamaica & Cuba, West Indies & Saint Simons Island, Georgia, ca. 1785- 1810, edited by Virginia Steele Wood (Marion MA: Belden Books, 1990, cloth US$ 29.95), contains a few pages on the Caribbean but the author's illness during this portion of the voyage limited his observations. For those still unsatiated by the Quincentenary, Rebecca Catz provides a Luso- centric perspective on the Great Navigator in Christopher Columbus and the Portuguese, 1476-1498 (Westport CT: Greenwood, 1993, cloth US$ 45.00). Alan Dundes's excellent and wide-ranging anthology, The Cockfight: A Casebook (Madison: University of Wisconsin Press, 1994, cloth US$ 58.00, paper US$ 19.95), includes a lone chapter on the Caribbean - Francis Affergan's idiosyncratic structuralist/psychoanalytic take on the Martiniquan variant. France's Overseas Frontier: Départe- ments et Territoires d'Outre-Mer (Cambridge: Cambridge University Press, 1992, cloth US$ 69.95), by Robert Aldrich & John Connell, competently skims through history, politics, and culture, serving as a useful English- language introduction to these "confetti of empire" - including Marti- nique, Guadeloupe, and Guyane. Jean Benoist's important work of medical anthropology, Anthropologie médicale en société créole (Paris: Presses Universitaires de France, 1993, paper FF 178), focuses on the fourth of France's vieilles colonies, Réunion in the Indian Ocean, but within an analytical framework of creolization that Caribbeanists would ignore at their peril. Finally, Creole Movements in the Francophone Orbit (special issue of International Journal of the Sociology ofLanguage, no. 102, 1993), edited by Ellen M. Schnepel & Lambert-Félix Prudent, includes several Caribbeanist chapters: on St. Lucia, Dominica, Haiti, Guadeloupe, and Martinique. A number of new editions or reprints of scholarly works merit mention. Prefaced by a new foreword by Faye V. Harrison, Comparative Perspec- tives on Slavery in New World Plantation Societies (New York: New York Academy of Sciences, 1993, cloth US$ 42.00), edited by Vera Rubin & Arthur Tuden, still contains much lively debate. A second edition has appeared of Sally Price's Co-Wives and Calabashes (Ann Arbor: Uni- versity of Michigan Press, 1993, paper US$ 14.50) with a new preface updating the situation of Maroon women and engaging some recent feminist controversies. The Puerto Ricans: A Documentary History, edited by Kal Wagenheim & Olga Jiménez de Wagenheim (Princeton: Markus Wiener, 1994, paper n.p), is a lightly revised edition of a 1973 collection. Unchanged reprints include: Bondsmen and Rebels: A Study of Master- Slave Relations in Antigua, by David Barry Gaspar (Durham NC: Duke University Press, 1993, paper US$ 18.95); Puerto Rico's Revolt for Independence: El Grito de Lor es, by Olga Jiménez de Wagenheim (Prince- Downloaded from Brill.com04/06/2021 01:09:22AM via free access REVIEW ARTICLES 137 ton: Markus Wiener, 1993, paper US$ 11.95); and A History of the Virgin Islands of the United States, by Isaac Dookhan (Kingston Jamaica: Canoe Press, 1994, paper J$ 494.00). Cuba: A Short History, edited by Leslie Bethel (Cambridge: Cambridge University Press, 1993, cloth US$ 44.95, paper US$ 14.95), reprints in handy form the country-specific chapters from the Cambridge History of Latin America (see NWIG 67:104). A Black Woman's Odyssey through Russia and Jamaica: The Narrative of Nancy Prince, introduced by Ronald G. Walters (New York: Markus Wiener, 1990, paper US$ 8.95), makes available this free African American's description of her 1840-41 stay in post-emancipation Jamaica. Puerto Rico: The Four-Storeyed Country and Other Essays, by José Luis Gonzalez (Princeton: Markus Wiener, 1993, paper US$ 12.95), translates for the first time these provocative essays on national identity by one of Puerto Rico's leading writers. And Reinier Heere, through his publishing house Lord & Hunter based on St. Maarten, has begun issuing a series of reprints on the history of the island; entitled Tropical Mirror, the series has thus far published relevant portions of M.D. Teenstra's De Neder- landsch West-Indische eilanden (1836/1837) as well as a 1937 article by F.S. Langemeyer in De West-Indische Gids, both translated into English. There are several new books of photography and a number on art, architecture, and gardening. The large-format Dancing on Fire: Photo- graphs from Haiti, by Maggie Steber with an introduction by Amy Wilentz (New York: Aperture, 1991, cloth n.p.) presents absolutely gripping color photos, taken between 1986 and 1991, arranged in a narrative sequence that underlines the horror and beauty - the despair and hope - of daily life during that period. In the stark, breathtaking Puerto Rico Mio: Four Decades of Change I Cuatro decadas de cambio (Washington D.C.: Smithsonian Institution Press, 1990, paper US$ 24.95) - which has introductory essays by, among others, Sidney W. Mintz and Arturo Morales Carrión - Jack Delano presents some 175 of the b/w photos (here printed as duotones) that he shot during the 1940s and 1980s, above all riveting images of working people and their families. Havana: Portrait of a City, by Juliet Barclay with photographs by Martin Charles (London: Cassell, 1993, cloth US$ 35.00) mainly portrays architectural monuments, to the end of the nineteenth century. Ute Stebich's A Haitian Celebration: Art and Culture (Milwaukee: Milwaukee Art Museum, 1992, paper n.p.) documents the fine collection recently acquired by the Milwaukee museum. The Art of Exclusion: Representing Blacks in the Nineteenth Century, by Albert Boime (Washington DC: Smithsonian Institution Press, 1990, paper US$ 24.95), conveniently presents a range of important and oft-neglected materials. Downloaded from Brill.com04/06/2021 01:09:22AM via free access 1 3 8 New West Indian Guide/Nieuwe West-Indische Gids vol. 69 n o . l & 2 (1995) The Caribbean: A Painter's Paradise, by William Wood (London: Macmillan Caribbean, 1993, cloth £9. 99), consists of this British author's own West Indian paintings, set off by fragments from the poems of Walcott, McKay, Drayton, and others. John Michael Vlach's handsome Back of the Big House: The Architecture of Plantation Slavery (Chapel Hill: University of North Carolina Press, 1993, cloth US$ 37.50, paper US$ 18.95) is devoted to the architecture of North American slave culture but contains pictures and insights relevant to all Caribbean historians. African-American Gardens and Yards in the Rural South, by Richard Westmacott (Knoxville: University of Tennessee Press, 1992, paper US$ 24.95), while again dealing with the southem United States, focuses on the present and provides ethnographers of the Caribbean numerous seeds for thought. Which leads us fairly naturally to Gardening in the Caribbean, by Iris Bannochie & Marilyn Light (London: Macmillan Caribbean, 1993, cloth £10.95) and Wild Plants of Barbados by Sean Carrington (London: Macmillan Caribbean, 1993, cloth £12.99), the first a how-to guide devoted largely to ornamental plants, and the second a useful illustrated compendium that describes more than five-hundred wild plants of all kinds. A bumper erop of guide books has reached us. Caribbean Ways: A Cultural Guide (Westwood MA: Riverdale, 1993, paper US$ 19.95), by the well-meaning Chelle Koster Walton, deliberately skirts the Club Meds and KFCs in "quest of an authentic [Caribbean] experience"; she gets much of it just about half right - in Jamaica, abengs become "cow-bells," in Martinique 1'Anse Mitan gets confused with 1'Anse a 1'Ane and Ie Frangois is canonized St. Fran9ois, the Guadeloupean drum called gwo ka turns into quo wa, and her garbled ideas on "language" (p. 218) are al- most worth quoting in extenso (though we won't). Rum & Reggae. The Insider's Guide to the Caribbean: What's Hot and What's Not, by Jonathan Runge (New York: Villard, 1993, paper US$ 17.00), which updates a 1988 St. Martin's Press publication, touts everything that Caribbean Ways eschews - "the best nude beaches," "the wildest yacht- ing nightlife scène," and ... you get the idea. Jamaica in Focus: A Guide to the People, Politics, and Culture, by Marcel Bayer (London: Latin America Bureau, 1993, paper £5.99), has nothing on hotels or beaches but provides an excellent introduction to social life and history - the sort of thing every island visitor should read. St. Vincent and the Grenadines, by Lesley Sutty (London: Macmillan Caribbean, 1993, paper £5.50), is a passable Baedeker by a veteran sailor and 20-year-long resident. There are two new texts for the Dutch market - Suriname (Landenreeks), by Wim Noordegraaf and Marie-Annet van Grunsven (Amsterdam: Koninklijk Downloaded from Brill.com04/06/2021 01:09:22AM via free access REVIEW ARTICLES 139 Instituut voor de Tropen, 1993, paper NLG 14.90), and Suriname, by Wim Noordegraaf (The Hague: ANWB, 1994, paper NLG 27.50) - the latter a detailed, practical guidebook for visitors to all parts of the country (including the new tourist-island developments in the Saramaka region where we worked), as well as to French Guiana and Guyana. A very different guidebook is Martinique (Paris: Gallimard, 1994, paper FF 175 - though bookstores on the island charge FF 204.75). Profusely illustrated with encyclopedia-style images (some as small as one cm2), written in part by university scholars, and covering with apparent expertise everything from plate tectonics and marine life to history and literature, this ambitious work nevertheless disappoints. It views ongoing cultural practices with a downward gaze, combining folklorization and museumification (with scarcely a word to let the reader know that Martinique's largest industry is tourism, which is wreaking great trans- formations throughout the isle). We are told, for example, in a handsomely illustrated two-page spread on the gomyé (the fishing boat dating back to the Caribs) that this craft "n'est plus utilisé actuellement que pour les courses traditionelles" - and yet as we sit at the laptop and look out at Anse Chaudière through a papaya tree, we can see one gomyé whose occupant is puiling fishpots, two others engaged in laying out a balaou seine, and a fourth making its way from the bourg of Anses d'Arlet toward Petite Anse. And the blatant appropriation of illustrations from foreign historical sources renders poor service to the text's arguments for Martinique's specificity. The authors give no indication, for example, that the Indien Caraïbe on page 76 is a Kalina from Suriname. Nor that the most important depictions of slave life are also lifted wholesale (and without credit) from Benoit's lithographs of that Dutch colony, embellished with a newly constnicted commentary implying that they show the particularities of Martinique - the text accompanying "slaves returning from the fields" (which Benoit titled "slaves on their way to the fields") points to the unusual elegance of their clothing; Benoit's "wigmaker with his young slave" is described here as wearing "the clothing of a freedman, proud that he need not carry anything himself'; the depiction of a slave fête, accompanied by a quote from Frantz Fanon, fails to mention that the image in fact shows the distinctive Surinamese doe; the entry on Ie costume ("In rags or nearly naked while working, the slaves liked to dress up, whenever they could, in fine clothing and jewelry") in fact shows typical nineteenth-century "missie" dress from Suriname; and even the vision of the heroic Maroon (here embedded in quotes from Césaire, Chamoiseau, Confiant, and Glissant) is illustrated by two uncredited images from Suriname - one a runaway slave and the other Downloaded from Brill.com04/06/2021 01:09:22AM via free access 140 New West Indian Guide/Nieuwe West-Indische Gids vol. 69 no. 1 & 2 (1995) a slave(!) that Benoit drew carrying a basket for nis master (who is here simply cropped out of the picture). This season's culinary harvest is sparse. Island Cooking: Recipes from the Caribbean (Freedom CA: Crossing Press, 1988, paper US$ 10.95) is a solid, unpretentious sampling from throughout the region, by the Jamaican-born Dunstan A. Harris. JnA Taste of the Tropics: Traditional & Innovative Cooking from the Pacific & Caribbean (Freedom CA: Crossing Press, 1991, paper US$ 10.95), Jay Solomon - an Ithaca NY restauranteur - does nis bit for globalization by providing a number of generic "island style" dishes and drinks. Cooking the Caribbean Way: A West Indies Recipe Book (St. Maarten: Lord & Hunter, n.d., n.p.) is a slap- dash affair replete with recipes missing key portions, historical howlers (e.g., that "peanuts were brought to the West Indies from Indonesia in 1890"), and the anonymous authors' "composite chef whom we call Celestine." Several new works on slavery and its aftermath. The Danish West Indian Slave Trade: Virgin Islands Perspectives, edited by George F. Tyson & Amold R. Highfield (St. Croix: Virgin Islands Humanities Council, 1994, paper n.p.), includes original contributions by Colin Palmer, Svend E. Holsoe, Sandra E. Greene, Karen Fog Olwig, and Highfield. The Kamina Folk: Slavery and Slave Life in the Danish West Indies, edited by George F. Tyson & Arnold R. Highfield (St. Thomas: Virgin Islands Humanities Council, 1994, paper n.p.), is a fine compilation of testimonies (many in translation) from first-hand observers. In "The Land is the Herit- age": Land and Community on St. John (St. John Oral History Asso- ciation, 1994, paper n.p.), Karen Fog Olwig offers a little gem consisting of oral testimonies combined with a moving analysis of the ways St. Johnians understand their own incorporation into the modern global system. Anthony de Verteuil, principal of St. Mary's College, continues nis series of high school-level, uplifting historical sagas with Seven Slaves and Slavery: Trinidad 1777-1838 (Port of Spain: Scrip-J Printers, 1992, paper n.p.). Some volumes didn't fit into our earlier categories. Alternative Cultures in the Caribbean: First International Conference of the Society of Caribbean Research, Berlin 1988, edited by Thomas Bremer & Ulrich Fleischmann (Frankfurt am Main: Vervuert, 1993, paper n.p.), includes a miscellany of papers, but as only some three of the twenty-three contributors are not German (or Austrian or Polish), the volume - which is largely in English with some French and Spanish - may be most useful as a window for non-German speakers on current Caribbeanist work across the Rhine. El Caribe colonial, by Consuelo Naranjo Orovio (Madrid: AKAL, Downloaded from Brill.com04/06/2021 01:09:22AM via free access REVIEW ARTICLES 141 1992, paper n.p.), part of a series of quincentennial pamphlets, makes a quick, encyclopedie run through the territory. Small Country Development and International Labor Flows: Experiences in the Caribbean, edited by Anthony P. Maingot (Boulder CO: Westview, 1991, paper n.p.) - for which we tried in vain to find a reviewer - contains a set of competent articles on the Anglophone islands, the Dominican Republic, and Haiti, that will be of interest to specialists. 'Bananensplit' in Europa: Protectionisme versus liberalisme in het Europese bananenbeleid, edited by C.P. van den Tempel & G.M. van der Horst (Amsterdam: Caribische Werkgroep AWIC, 1994, paper NLG 32.50), gathers together a number of pertinent reflections and statistics about the European banana market. Asuntos dominicanos en archivos ingleses, edited by Bernardo Vega & Emilio Cordero Michel (Santo Domingo: Fundación Cultural Dominicana, 1993, paper n.p.), translates into Spanish five English-language sources, including little-known archival manuscripts, on the Dominican Republic. And Gert Oostindie's Caraïbische dilemma's in een 'stagnerend' dekolonisatie-proces (Leiden: KITLV, 1994, paper NLG 12.50), the expanded version of his inaugural address on the occasion of taking up a professoral chair at Utrecht, ranges through time and space across the Caribbean world to home in, at the end, on present-day realities. Finally, and against all odds, the Bulletin du Bureau National d'Ethnologie (Port-au-Prince) has published a special issue, dated 1987- 1992, devoted in large part to "Ayti before and after 1492." RlCHARD & SALLY PRICE Anse Chaudière 97217 Anses d'Arlet, Martinique Downloaded from Brill.com04/06/2021 01:09:22AM via free access 
work_btqxzdn255fz5hqg6dqnmfmk6y	----	TJkEAMERICA5 A Quarterly Review of Inter-American Cultural History V o l u m e X J A N U A R Y , 1 9 5 4 Number 3 T H E DISCOVERY AND EXPLORATION O F T H E NICARAGUAN T R A N S - I S T H M I A N R O U T E , 1519-1545 Lyle N. McAlister 259 SILVIO R O M E R O AND T H E E V O L U T I O N OF LITERARY C R I T I C I S M I N B R A Z I L Alceu Amoroso Lima 277 A FRANCISCAN F I G H T E R FOR S O U T H A M E R I C A N I N D E P E N D E N C E : F R A Y L U I S B E L T R A N Fritz L. Hoffmann 289 J U A N D I A Z COVARRUBIAS: M E X I C O ' S M A R T Y R - N O V E L I S T / . S. Brushwood 301 S U R V E Y A T E N T A T I V E BIBLIOGRAPHY OF T H E S P A N I S H - L A N G U A G E P R E S S I N LOUISIANA, 1808-1871 .Raymond R. MacCurdy 307 D O C U M E N T S A F R E N C H T R A V E L E R I N M E X I C O I N 1768: T H E J O U R N E Y O F T H E V I C O M T E DE PAGES ( E d . ) Edwin A. Davis 331 I N T E R - A M E R I C A N N O T E S SESQUICENTENNIAL OF T H E C R E A T I O N OF T H E H A I T I A N N A T I O N A L FLAG Joseph F. Thorning 353 T w o N E W R E V I E W S OF I N T E R - A M E R I C A N I N T E R E S T 354 CHICAGO C U L T U R A L C E N T E R S B E G I N P H I L I P P I N E STUDIES PROGRAM 354 F O U R T H A N N U A L C O N F E R E N C E ON T H E CARIBBEAN 355 C H R I S T O P H E R C O L U M B U S AND A X A C A N A W A R D S P R E S E N T E D . . 356 M U S E U M O F INTERNATIONAL F O L K A R T DEDICATED I N SANTA F E 356 SERRA A W A R D OF T H E A M E R I C A S C O N F E R R E D ON C L A R E N C E H . H A R I N G 357 M I S C E L L A N E A 357 B O O K R E V I E W S 359 ACADEMY OF AMERICAN FRANCISCAN HISTORY The contents of T H E AMERICAS are fully indexed in the Catholic Periodical Index EDITORIAL STAFF FRANCIS B. STECK, O.F.M., Ph.D., Q u i n c y College. MAYNARD GEIGER, O.F.M., Ph.D., Mission Archivist, Santa Barbara, California. LAZARO LAMADRIO, O.F.M., Lic.Hist., W a s h i n g t o n , D . C. FIDEL CHAUVET, O.F.M., Ph.D., Mexico City, D . F . L I N O G . CANEDO, O.F.M., Ph.D., Washington, D . C. MICHAEL B. MCCLOSKEY, O.F.M., P h . D . Siena College. Assistant Managing Editor Acting Managing Editor, ad interim BEDE A . D A U P H I N E E , O.F.M., M.A., MICHAEL B. MCCLOSKEY, O.F.M., Ph.D. A c a d e m y of American Franciscan H i s t o r y . ADVISORY EDITORS GEORGE P . H A M M O N D , P h . D . University of California. ROBERT S. CHAMBERLAIN, Ph.D., Carnegie Institution of W a s h i n g t o n . CARLOS E . CASTANEDA, Ph.D., University of Texas. J O H N T A T E L A N N I N G , Ph.D., D u k e University. J. M A N U E L ESPINOSA, Ph.D., D e p a r t m e n t of State, W a s h i n g t o n , D . C FRANCE V . SCHOLES, Ph.D., University of N e w Mexico. DAVID R U B I O , O.S.A., Ph.D., Madrid, Spain. ENRIQUE CARLOS DE LA CASA, Ph.D., Secretary of t h e Inter-American Institute. M A N O E L CARDOZO, Ph.D., Oliveira Lima Library, Catholic University of America. RICHARD F . PATTEE, N a t i o n a l Catholic W e l f a r e Conference. L E W I S H A N K E , Ph.D., University of Texas. IRENE A . W R I G H T , F.R.H.S., D e p a r t m e n t of State, W a s h i n g t o n , D . C. L E O FRANCIS STOCK, Ph.D., Carnegie Institution of W a s h i n g t o n . R U T H L A P H A M BUTLER, Ph.D., N e w b e r r y L i b r a r y , Chicago. MARIE R. MADDEN, Ph.D., T e a c h e r s ' Institute of Brooklyn. ROSCOE R. H I L L , Ph.D., National Archives ( r e t i r e d ) . JOSEPH F . T H O R N I N G , Ph.D., Carrollton M a n o r , M d . W I L L I A M F . MONTAVON, LL.D., Director, Legal D e p a r t m e n t , National Catholic W e l f a r e Conference. H E N R Y GRATTAN D O Y L E , L i t t £ ) . , Dean, G e o r g e W a s h i n g t o n University. W . E U G E N E SHIELS, S.J., Ph.D., Xavier University, Cincinnati, O . Address all communications to T H E M A N A G I N G E D I T O R 5401 W . Cedar Lane W a s h i n g t o n 14, D . C. E n t e r e d as second class matter at the PostofEce at Washington, D . C , u n d e r t h e A c t of M a r c h 3, 1879. Additional e n t r y at the Post Office at R i c h m o n d , Va. Published quarterly duly, October, January and April). Annual subscrip- tion $4.00 for four issues. 
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work_bzd6qeaf2jak5kefekrqq37ngm	----	Underwater Cultural Heritage at Risk20 The Monte Cristi The Monte Cristi “Pipe Wreck” Jerome Lynn Hall Assistant Professor University of San Diego USA Background The Monte Cristi “Pipe Wreck” faces significant threats from both natural and human origins. The following is an outline of steps taken by the Monte Cristi Shipwreck Project (MCSP) in managing these impacts on this important site. The “Pipe Wreck,” so-called for the large quantity of clay, tobacco smoking pipes carried as cargo, was, until recently, one of the best known, yet least understood submerged cultural resources in the Dominican Republic. However, this is changing thanks to the generous support of several United States-based non-profit organizations, the University of San Diego (USD), and the dedication of the Oficina Nacional de Patrimonio Cultural Subacuático in Santo Domingo. The remains of this 17th-century merchantman are reshaping how we view colonial life in the Americas. The presence of intrusive artifacts on the site along with anecdotal evidence collected by the MCSP team combine to suggest that the “Pipe Wreck” has been salvaged many times over the past three and a half centuries. This is due, in large part, to its location in shallow, clear water less than a kilometer from the mainland. The geographical fact that the northern coast of Hispaniola is located in the seasonal hurricane corridor poses a threat to all submerged cultural resources in its shallow coastal waters, including the “Pipe Wreck.” Today, the expansion of the Monte Cristi suburbs and the development of a regional yacht club have resulted in an increasing number of tourist “day cruises” that pass within meters of — if not directly over — the site. Archaeological Investigation When archaeological excavation commenced in 1991, the visible portion of the site comprised scattered ballast stones, pipe stems, ceramics sherds, and concreted iron caldron fragments. Careful study of these artifacts by archaeologists and volunteers of the MCSP led to the formulation of research questions which, to date, have guided seven excavation seasons and several archival studies: Could the site be accurately, if not precisely, dated? Did the extant hull and cargo suggest a nation of origin? Could a specific vessel and journey be implicated? Why did the vessel sink in the shallow water of a protected bay? The investigation of these and other questions eventually led the team to hypothesize that the remains were of an inbound Dutch merchant vessel that wrecked between 1630 and 1665. Testing this idea entailed years of controlled excavation, historical research, and the subsequent conservation, analyses, and interpretation of numerous artifacts. As a result, researchers have revised the original date range, replacing it with a terminus post quem (date after which) of 1651 for the vessel’s demise and narrowing the temporal window from 35 to 14 years. The Artifacts The remnant cargo of the “Pipe Wreck” – not yet fully excavated – is certainly one of the largest and most diverse of any inbound merchantman destined for the Americas, rivaled only by Belle (1686), the “Quicksilver galleons” Conde de Tolosa and Nuestra Señora de Guadalupe (1724), and Machault (1760). Furthermore, a study of comparative contemporary sites suggests the vessel was headed for the eastern seaboard of what is presently the United States, specifically the Hudson River Valley, for its typically Dutch cargo compares well with archaeological collections from upstate New York, and specifically the Dutch-American settlement at Fort Orange (modern day Albany). The most conspicuous artifacts on the site are the pipes and pipe • • • • Figure 1: Yvonne Broeder, Monte Cristi Pipe Wreck team conservator, working at the dredge screen Underwater Cultural Heritage at Risk The Monte Cristi 21 demise of the ship: originally strung in hanks, these once spherical beads are now slumped and fused into each other, a phenomenon that occurs with intense heat lasting for a short period of time. Along with charred wood and melted metal globules, it appears that there may have been an explosion on board, a scenario that archaeologists are studying with considerable interest. Faunal remains indicate that sailors aboard the ship subsisted on a diet of beef, pork, salted fish, and conch. Occasionally, they competed with vermin for these foodstuffs, as evidenced by animal bones that bear rat incisor marks. Olive pits and other fruit stones appeared regularly in our dredge screens, indicating that the shipboard diet was indeed varied. The Ship Timber analysis indicates the vessel was constructed sometime after 1642. The manner in which it was built and the predominant wood types used in its construction suggest England as the locus of production. The extant keel, frames (N=17), outer planks (N=9), inner ceiling planks (N=6), and treenails were all shaped from English oak. Additionally, the hull was coated with tar and cow hair and covered with softwood deals (thin, protective outer boards) of spruce or larch, a measure common throughout the 17th-century to protect a ship’s hulls from biological degradation caused by teredo worms and bacteria. fragments, the combined collection of which represents the largest aggregation of smoking-related artifacts ever recovered from a shipwreck, and possibly from any known archaeological site. The pipes alone number close to ten thousand, yet only two distinct types are represented in this assemblage: those with barrel-shaped bowls – accounting for approximately 93% of the assemblage — and the remainder (7%) with bowls shaped like inverted cones, known as funnel pipes. All are of Dutch manufacture and date to the middle 17th-century, and although the former were preferred by Europeans and European-American colonists, funnel pipes are clear imitations of Native American designs and were intended for both the colonial and tribal trades. The wreck’s ceramic cargo is composed of Rhenish stoneware from Germany and two varieties of glazed earthenware that are likely Dutch in origin, all of which fit well into the aforementioned temporal framework. Fragments of Westerwald pottery, as well as green-glazed and orange- glazed wares were also recovered, but in such small quantities that they were likely ship’s wares rather than merchandise. Metal artifacts include numerous cooking cauldrons, an assortment of tools, lead shot, and 27 silver coins from two South American mints. Glass shards of many different colors have been found, but most interesting is a cluster of approximately 800 black glass beads. These, in fact, possibly hold a tantalizing clue to the Figure 2: Divers excavate and photograph the extant hull of the “Pipe Wreck” Underwater Cultural Heritage at Risk22 The Monte Cristi History Threatened, Yet Protected This research has confirmed the value of archaeological investigation in understanding the history and importance of the “Pipe Wreck”. Although not all of our research questions have been answered, these critical bits of information reveal a 17th-century merchant vessel that carried a cargo of European-manufactured trading goods, a part of which may have been for Native American tribes of the eastern seaboard of North America. Sailing during a period of volatile competition between the English and Dutch for maritime, mercantile, and military supremacy in both Europe and the Americas, our ship passed along the northern coast of Hispaniola, where historical sources suggest its crew may have engaged in illicit trade with smugglers. Likewise, there is strong evidence to suggest that this vessel entered the bay in search of salt, as today the outskirts of Monte Cristi are home to large, shallow evaporating pans. How far back this practice reaches is lost in the historical and ethnographic records, although Christopher Columbus noted at the close of the 15th-century that the region held great potential for salt production. To ensure that the archaeological value of the “Pipe Wreck” is protected against inclement weather and less-than- scrupulous tourists, its timbers have been buried beneath a protective covering of tarpaulins, sandbags, and a meter- thick layer of sand and coral rubble. The MCSP team continues to work diligently with local officials, fishing boat operators, and tourist guides to inform them of the importance of the “Pipe Wreck” to the regional history of the island’s northern coast, enlisting their cooperation in protecting one of the Dominican Republic’s most valuable cultural resources. Figures 3, 4 and 5 (Left to Right): Example of a smoking pipe from the wreck site(left); Rhenish stoneware from the “Pipe Wreck,” with the highly stylized Bartmänner, or bearded man face adorning the vessel’s neck (middle); and shoulder (right) 
work_c27tvcwfxjbzrklznhdhpawrg4	----	Contributor Notes Contributor Notes Prairie Schooner, Volume 77, Number 1, Spring 2003, pp. 193-196 (Article) Published by University of Nebraska Press DOI: For additional information about this article [ This content has been declared free to read by the pubisher during the COVID-19 pandemic. ] https://doi.org/10.1353/psg.2003.0007 https://muse.jhu.edu/article/41648 https://doi.org/10.1353/psg.2003.0007 https://muse.jhu.edu/article/41648 CONTRIBUTOR NOTES cover “Head in the Sand” by Didier Delmas. Mr. Delmas’s photographs have been shown in galleries in Toulouse, France; Vancouver, B.C.; Washing- ton, D.C.; and throughout Vermont, where he resides with his wife, Nancy Welch. A portfolio of his commercial and artistic work can be seen at www.delmasdigital.com. Design by Dika Eckersley. prose Maxine Chernoff is author of three novels and three books of stories, most recently, Some of Her Friends That Year: New and Selected Stories (Coffee House P, 2002). She is editor with Paul Hoover of New American Writing. Lee Martin is author of the novel Quakertown (Dutton, 2001), the memoir From Our House (Dutton, 2000) and the story collection The Least You Need To Know. He is winner of a fellowship from the National Endowment for the Arts and the Mary McCarthy Prize in Short Fiction. Claudia Mon Pere’s fiction and poetry have appeared in The Kenyon Re- view, Puerto del Sol, Calyx, Another Chicago Magazine, and elsewhere. Rose Moss is author of The Family Reunion, The Terrorist and Shouting at the Crocodile. Her work has been short-listed for the National Book Award, won a Quill Prize and a PEN short fiction award, and was featured by the New Fiction Society. Ed Rutkowski is an editorial assistant with the Society for Technical Com- munication in Arlington, VA. Alex Shishin’s first story in Prairie Schooner, “Mr. Eggplant Goes Home,” received an Honorable Mention from the O. Henry Awards. His work has appeared in Broken Bridge: Expatriate Fiction from Japan and Shy Voice in American Literature. Sharon Oard Warner is author of Learning to Dance and Other Stories (New Rivers P, 1992) and Deep in the Heart (The Dial P, 2000), and editor of The Way We Write Now: Short Stories from the AIDS Crisis (Citadel P, 1995). She is the founding director of UNM’s Taos Summer Writers’ Conference. poetry Talvikki Ansel’s poetry collection My Shining Archipelago (Yale UP, 1997) won the Yale Series of Younger Poets Award in 1997. Her new book Jetty and Other Poems is forthcoming in 2003 from Zoo Press. Carol Willette Bachofner’s work has appeared in ELF: Eclectic Literary Form, My Home as I Remember, Gatherings: The En’owkin Journal of First North American Peoples (Vols. IX and XI) and Pacific Review. She won the Jack London Award for Poetry in 1997 and was named Wordcrafter of the Year in 1999 by the Wordcraft Circle of Native Writers and Storytellers. 03-N2536-CTB 1/24/03 9:18 AM Page 193 Todd Holmberg James Cihlar is the recipient of a Minnesota State Arts Board Fellowship in Poetry in 2000. His poems have appeared in The James White Review, Northeast, and Minnesota Monthly. Jim Daniels’s most recent book of poems is Night with Drive-by Shooting Stars (New Issues P, 2002). Michael Dumanis’s poems have appeared or are forthcoming in, Chel- sea, Crazyhorse, Epoch, Indiana Review, New England Review, Seneca Review, Verse, and other journals. He is the Poetry Editor of Gulf Coast. Joseph A. Enzweiler’s books include Home Country (Fireweed P, 1986), Stonework of the Sky (Graywolf P, 1995) and A Curb in Eden (Salmon P, 1999). Maria Mazziotti Gillan has published seven books of poetry, including Where I Come From (Guernica Editions, 1995) and Things My Mother Told Me (Guernica Editions, 1999), and is co-editor with her daughter Jennifer of three anthologies published by Penguin/Putnam: Unsettling America, Identity Lessons, and Growing Up Ethnic in America. She is the editor of The Paterson Literary Review. Ben Howard’s fifth poetry collection Dark Pool: Poems 1994 –2000 was published by Salmon Publishing in 2002. His work appears recently in The Sewanee Review and Shenandoah. Joseph Hutchison’s work appears in The American Poetry Review, Poetry, Luna, and Denver Quarterly. He is author of The Rain at Midnight (Sherman Asher P, 2000) and Bed of Coals (UP of Colorado, 1995), winner of the 1994 Colorado Poetry Award. Barbara Helfgott Hyett is the author of Natural Law (Summerland P, 1989), In Evidence (U Pittsburgh P, 1997), The Double Reckoning of Chris- topher Columbus (U Illinois P, 1992), and The Tracks We Leave (U Illinois P, 1996). Recent work appears in New Republic, The Hudson Review, Partisan Review, and elsewhere. Wayne Johns poems appear or are forthcoming in The Cortland Review, Image, Ploughshares and River Styx. He received a Prairie Schooner Reader’s Choice Award in 1999. Lynne Kuderko’s poems have appeared in Crab Orchard Review, Poetry Northwest, Indiana Review, Cimarron Review, Southern Poetry Review, Pas- sages North, and Luna. Her chapbook The Corner of Absence was published by Flume Press. George Looney is the author of Attendant Ghosts (Cleveland St UP, 2000) and Animals Housed in the Pleasures of the Flesh (Bluestem P, 1995), winner of the 1995 Bluestem Award. Tim Muren is a librarian’s assistant in Little Rock, Arkansas. Robert Phillips is author of thirty books of poetry, fiction, and criticism, most recently Spinach Days (2000) and Breakdown Lane (1994), poetry vol- umes from John Hopkins University Press. He is winner of an Award in Literature from the American Academy of Arts & Letters. David Ray’s books include The Tramp’s Cup (Chariton Review P, 1978), The 194 Prairie Schooner 03-N2536-CTB 1/24/03 9:18 AM Page 194 Touched Life (Scarecrow P, 1982), Sam’s Book (UP New England, 1994), Kan- garoo Paws (Truman St UP, 1994), Wool Highways (Helicon Nine Ed, 1993), and The Maharani’s New Wall (UP New England, 1990), as well as Fathers (St. Martin’s P, 1999), an anthology co-edited with his wife Judy. Two of his titles have won the William Carlos Williams Award from The Poetry Society of America, and two have been nominated for a Pulitzer Prize. His most recent book Demons in the Diner (Ashland Poetry P, 1999) won the Richard J. Snyder Memorial Award. Philip St. Clair’s fourth collection Acid Creek was published by Bottom Dog Press in 1997. His poems have appeared recently or are forthcoming in Black Warrior Review, Gettysburg Review, Ploughshares, Beloit Poetry Jour- nal and Chiron Review. He has been awarded fellowships from the National Endowment for the Arts (1995) and the Kentucky Arts Council (1999). Joan I. Siegel’s poetry appears recently or is forthcoming in The Atlantic Monthly, Commonweal, Yankee, The American Scholar, The Amicus Journal, and the anthologies Poetry Comes Up Where It Can, Beyond Lament, and Es- sential Love. She has won the New Letters Poetry Prize (1999) and the Anna Davidson Rosenberg Poetry Award (1998). Elisa Spindler’s poetry has appeared in Beloit Poetry Journal and New Letters. Maureen P. Stanton’s recent books are the poetry collection Glacier Wine (CMU P, 2001) and the short story collection Do Not For Sake Me, Oh My Darling (U Notre Dame, 2002). Marjorie Stelmach is author of Night Drawings (Helicon Nine Ed, 1995). Her work appears in The Kenyon Review, New Letters, Chelsea, and elsewhere. Judith Strasser’s poems appear recently in Poetry, Nimrod, 5 AM, The Se- attle Review, and The Underwood Review. Her chapbook Sand Island Succes- sions: Poems of the Apostles was published by Parallel Press in 2002. Joe Survant is the author of We Will All Be Changed (State St P, 1995), The Presence of Snow in the Tropics (Landmark Books, 2001), and Anne & Al- pheus, 1842 –1882 (U Arkansas P, 1995), winner of the Arkansas Poetry Prize in 1996. Kim Tedrow has published poetry in Cyphers 41 and interviews with John Barr and David Budbill in Grace and Moment to Moment respectively. Elaine Terranova is author of Damages (Copper Canyon P, 1996) and most recently The Dog’s Heart (Orchises P, 2002), and has new poems in Pleiades, Poet Lore, and Crab Orchard Review. She is associate editor for poetry at frigatezine.com. Kyoko Uchida’s work appears in The Georgia Review, Black Warrior Review, Grand Street, Manoa, New Letters, Northwest Review, Phoebe, The Virginia Quarterly Review, and elsewhere. Nance Van Winckel has poems recently in The Paris Review, The Virginia Quarterly Review, Field, The Kenyon Review, Michigan Quarterly Review, Massachusetts Review, The Gettysburg Review, and Ploughshares. Recent Contributor Notes 195 03-N2536-CTB 1/24/03 9:18 AM Page 195 books include the poetry collection After a Spell (Miami UP, 1998) and the story collection Curtain Creek Farm (Persea Books, 2000). She is the recipi- ent of an nea Poetry Fellowship. Pramila Venkateswaran was a finalist for the Allen Ginsberg Award. Her poems have appeared in Paterson Literary Review, Ariel, Calyx, Atlanta Re- view, Long Island Quarterly, and elsewhere. Paul Zarzyski is author of the books The Make-up of Ice (U Georgia P, 1984) and All This Way For the Short Ride (Museum of NM P, 1996) and the re- cording, Words Growing Wild (cd and tape). He makes his living primarily on the cowboy poetry circuit and has toured Australia and England and appeared at The Library of Congress, The National Storytelling Festival, and on Garrison Keillor’s A Prairie Home Companion. review Stephen C. Behrendt’s poems appear recently in Hudson Review, Sewanee Review, Ontario Review, and elsewhere. Elinor Benedict is founding editor of Passages North and author of All That Divides Us (Utah St UP, 2000), winner of the May Swenson Award. Jenny Factor’s first book of poetry is Unraveling at the Name (Copper Can- yon P, 2002). She teaches poetry at Beyond Baroque in Venice, California. Gaynell Gavin’s work has appeared in The Comstock Review, Natural Bridge, Tulane Review, and elsewhere. Anna Leahy’s poetry collection Hagioscope was winner of the Sow’s Ear Press Competition. Her poems have appeared in Crab Orchard Review, Im- age, The Journal, and Quarterly West. She is an assistant professor of En- glish at North Central College. Maureen P. Stanton’s work has appeared in Creative Nonfiction, The Sun, Fourth Genre, and American Literary Review, as well as several anthologies. 196 Prairie Schooner 03-N2536-CTB 1/24/03 9:18 AM Page 196 
work_c2jfns2kcvgsxogitdm2y3wiwi	----	IJMM_Oct_08.indd www.ijmm.org Snippets Indian Journal of Medical Microbiology, (2008) 26(4): 409-10 RESEARCH SNIPPETS FROM THE WORLD OF MEDICINE P Desikan Intense public support for clinical research can be a mixed blessing � and the hunt for a vaccine against AIDS offers an important lesson for many biomedical initiatives on what can go wrong. Last year�s failed clinical trial for Merck�s HIV vaccine led many to claim that AIDS vaccine research was facing a crisis (Nature 452:503, April 2008). The decision to move Merck�s candidate vaccine into clinical trials was partly based on the need to show progress, in order to justify the millions of dollars in funding received from philanthropists and taxpayers. The vaccine not only failed to lower patients� viral loads, it even boosted the risk of infection in some groups. This dealt a double blow to the Þ eld of HIV research, leading to a setback in the search for therapies while eroding public support. In Africa, as elsewhere, fever is often treated presumptively as malaria, resulting in misdiagnosis and overuse of antimalarial drugs. In this scenario, rapid diagnostic tests (RDTs) for malaria may play an important role in improved fever management. A study carried out in Uganda (J Infect Dis. 15;197(4):510-8,2008) compared RDTs based on histidine-rich protein 2 (HRP2) and RDTs based on Plasmodium lactate dehydrogenase (pLDH) with expert microscopy and PCR-corrected microscopy for 7000 patients at sites of varying malaria transmission. HRP2- based RDTs were found to have high positive predictive and negative predictive values and were identiÞ ed as good diagnostic choices for areas with medium-to-high malaria transmission rates in Africa. Each of us carries a community of microorganisms in our intestinal tract that is necessary for optimal health but varies in composition from person to person. In order to identify gut microbes that maximally inß uence human physiology, a study was carried out on seven members of a four-generation Chinese family (Proc. Natl. Acad. Sci. U.S.A. 105, 2117, 2008). A phylogenetic picture of the resident microbes was assembled by sequencing rRNA genes. Parallel analysis of urine samples from the same family allowed the authors to correlate variations in resident microbes with variations in excreted metabolites. They found that Faecalibacterium prausnitzii was associated with the presence of dimethylamine, a tentative indicator of metabolic syndrome and diabetes. It may therefore eventually be possible to have bacterial indicators of disease states and of human well- being. A �safe� version of Ebola virus has been developed by researchers at the University of Wisconsin to help increase opportunities to study the deadly virus (Proc. Natl Acad. Sci. USA 105, 1129-1133, 2008). The gene coding for VP- 30 in the wild virus was replaced with a marker gene, thus disabling its capacity to multiply in normal human cells. If approved by regulatory authorities, this non-infectious virus could be studied in a broader variety of laboratories and enable speedier development of vaccines and antiviral compounds. Currently, work on Ebola viruses is conducted only in a small number of laboratories rated at biosafety level-4 (BSL-4). For more than 500 years, Christopher Columbus has been alternately blamed and exonerated for bringing syphilis to Europe. Now, a genetic analysis of Treponema strains indicates that syphilis is a close cousin to yaws, which is endemic in South America, suggesting that the malady has its roots in the Americas (PLoS Negl. Trop. Dis. 2, e148, 2008). Twenty-two Treponema samples isolated from human infections, including two collected from a Guyanese village with an active outbreak of yaws (T. pertenue), were studied. Four of 17 base pairs were identical between T. pallidum and T. pertenue. The overlap with any other kind of Treponema was limited to one or none of the sites. We usually live in harmony with tens of millions of bacteria in our gut. It is a commonly held perception that an imbalance in the normal commensal microbiota contributes to the development of inß ammatory bowel diseases. A study (Nature 453, 620�625, 2008) provides some basis for this perception. Using speciÞ c pathogen-free mice, it was found that a factor produced by Bacteroides fragilis, a common commensal bacterium in mammals, could actually prevent colitis caused by Helicobacter hepaticus. Use of prophylactic antibiotics for infective endocarditis before tooth extraction is becoming increasingly controversial. Using 16S ribosomal RNA sequencing and quantitative polymerase chain reaction assays, a study (Circulation 117, 3118, 2008) proÞ led the bacteria in sequential blood samples drawn from patients who had undergone tooth extraction with or without antibiotic treatment and from untreated patients who simply brushed their teeth. It was found that brushing alone caused a substantial increase in bacteria in blood samples. The risk of bacteremia following brushing was comparable to that *Corresponding author: (email: <prabhadesikan@yahoo.com>) Department of Microbiology, Bhopal Memorial Hospital and Research Centre, Bhopal-462 038, MP, India www.ijmm.org 410 Indian Journal of Medical Microbiology vol. 26, No. 4 following a tooth extraction. This underscored the need for controlled clinical trials to evaluate current practices. It is a common assumption that most recurrent urinary tract infections (UTIs) caused by uropathogenic Escherichia coli (UPEC) are caused by the persistence of UPEC strains in the faecal ß ora, which re-infect the bladder. Recent work on mice, however, suggests an additional explanation for UPEC persistence and recurrent UTIs (PLoS Med. 4, e329, 2007). In this model, UPEC strains invade the epithelial cells that line the bladder and form intracellular bacterial communities (IBCs). Some infected epithelial cells are expelled into the urine, whereas others release bacteria, many of which adopt a Þ lamentous morphology. These Þ lamentous bacteria can resist the host immune response, and ultimately the pathogen establishes an intracellular reservoir that is protected from both antibiotics and host immune surveillance. This Þ nding will have important implications for treatment of recurrent UTIs. Finally, there is some good news for travellers. Enterotoxigenic Escherichia coli (ETEC) are a major cause of travellers` diarrhoea. In a phase II trial, a candidate vaccine containing heat-labile enterotoxin, derived from ETEC, delivered by a skin patch, was tested among travellers to Mexico and Guatemala (Lancet 371(9629):2019-25, 2008). Participants were vaccinated before travel, with two patches given 2 to 3 weeks apart. They were found to be protected against moderate-to-severe diarrhoea. Source of Support: Nil, Conß ict of Interest: None declared. Indian Journal of Medical Microbiology Change of Editorial offi ce Beginning November 2008, IJMM ofÞ ce would be shifting base to the following address: Dr. Reba Kanungo Editor- in-Chief Indian Journal of Medical Microbiology Pondicherry Institute of Medical Sciences Kalapet, Puducherry- 605 014 Ph: 0413-2656271/72 Ext: 340, 178, 179 Mobile : 09443375275 Fax : 0413-2656273 Email: reba.kanungo@gmail.com Website: http://www.ijmm.org Website for manuscript submission to ijmm: http://www.journalonweb.com/ijmm Announcement MedknowPC Rectangle 
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work_c3fdego5bvemlgszajdlv4uuru	----	SCIENCE American Association for the Advancement of Science Science serves its readers as a forum for the presentation and discussion of important issues related to the advancement of science, including the presentation of minority or conflicting points of view, rather than by publishing only material on which a consensus has been reached. Accordingly, all articles published in Science-including editorials, news and comment, and book reviews-are signed and reflect the individual views of the authors and not official points of view adopted by the AAAS or the institutions with which the authors are affiliated. Publisher: Richard S. Nicholson Editor: Daniel E. Koshland, Jr. Deputy Editor: Ellis Rubinstein Managing Editor: Monica M. Bradford International Editor: Alun Anderson Deputy Editors: Philip H. Abelson (Engineering and Applied Sciences); John I. Brauman (Physical Sciences); Thomas R. 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Canada: Fred Dieffenbach, Rt. 30, Dorset, VT 05251; 802-867-5581, FAX 802-8674464 * Mid- Atlantic: Richard Teeling, 28 Kimberiy Place, Wayne, NJ 07470; 201-904-9774, FAX 201-904-9701 * Southeast: Mark Anderson, 1915 Brickell Ave, Suite CC-1, Miami, FL 33129; 305-856-8567, FAX 305-856-1056 * Midwest: Don Holbrook, 1110 North Harvey, Oak Park, IL 60302; 708-386-6921, 708- 386-6950 * West Coast/W. Canada: Neil Boylan, 828 Cowper, Ste. A, Palo Alto, CA 94301; 415-323-3302, FAX 415-323- 3312 * Europe/Scandinavia: Nick Jones, UK; 44-647-52918, FAX 44-647-52053 Information for contributors appears on pages 35-37 of the 4 January 1991 issue. Editorial correspondence, including re- quests for permission to reprint and reprint orders, should be sent to 1333 H Street, NW, Washington, DC 20005. Telephone: 202-326-6500. London office: 071-494-0062. Subscription/Member Benefits Questions: 202-326-6417. Science: 202-326-6500. Other AAAS Programs: 202-326-6400. 6 DECEMBER 1991 VOLUME 254 NUMBER 5037 Pork Barrel "Science" T he polite term on Capitol Hill is "earmarking." But whether one calls it earmarking or pork barrel, it is a reprehensible activity practiced by a few powerful members of Congress. Moreover, it has reached a point where the negative impact on scientific projects is very real, as is apparent from the following excerpt of recent remarks by George Brown, chairman of the House Science, Space, and Technology Committee. "Mr. Speaker...I want...to comment on the.. .practice of adding unauthorized, unrequested earmarks for personal interest items. "This, of course, is in many ways a time-honored tradition of this body and could be overlooked if it were not for the severe budgetary environment that we have had to operate within this year and for the foreseeable future. This year, the budget reductions that Congress has had to make have made it entirely inappropriate to indulge in the earmarking that we are being asked to approve. ".. .I want to take a few moments to cite a few examples and explain why I believe this practice has simply gone too far. "In the NASA area, I am certain that my colleagues recall the debate earlier this year over the space station. That debate was, in many ways, a historic one. We were asked to make a major decision on whether we could afford to continue the space station when so many other programs were in dire need offunding. These included space science programs, housing programs, environmental programs, and veterans programs. We voted to continue the station, and there can be no doubt that many ofthese other meritorious programs have not received the funding they needed. "Yet the conference report [that is, final bill] contains over $100 million in projects that were never requested by the administration, never authorized, and never discussed on the floor. We were never given the choice between the station and these projects. These appear in the NASA portion of the budget, but some can scarcely even be called space projects. "The conferees generously set aside over $40 million for a vast variety of brick and mortar projects in West Virginia. These include $22.5 million in funding for a National Technology Transfer Center in Morgantown, WV. The proponent envisions that persons inquiring about technological advances that are taking place through government projects must write to West Virginia for the answer. It includes $7.5 million in continued funding for the Wheeling, West Virginia, Jesuit College. I do not believe anyone in Congress or in NASA knows what this will be used for. "It includes continued funding for a consortium of universities and consultants in the Saginaw, MI, area which somehow has emerged as the center for environmental research over the past 3 years.... NASA itself has little idea where this funding is going. "It includes $20 million for the Christopher Columbus Center for Marine Research in Baltimore. I stress Marine research, not Space research.... "The conference report terminates a vast variety ofNASA scientific projects such as the space infrared telescope,...the orbiting solar observatory.., and the flight telerobotic servicer. These are all projects that scientists have spent decades planning and developing. These are all projects that could have been funded with a little more restraint on the part of the conferees.... "I note that while the recommended funding level [for the National Science Foundation] represents an increase, the funding for research at NSF in this agreement is below that passed by either the House or the Senate. This is the only NSF function which is below the funding level approved by one of the Houses and is probably the most critical function at NSF.... "I must note with some concern that the conference agreement contains language earmarking $2 million for planning a demonstration for shared supercomputer use. While I agree with the need for this type of a program, I worry that we are moving dangerously close to earmarking within the NSF funding, a threshold which we have not crossed to date...." With regard to the pork barrel sites mentioned by Representative Brown, it is no coincidence that chairs of three of the relevant appropriation committees come from West Virginia, Maryland, and Michigan. While it is reassuring to have someone with George Brown's good sense in a key position in the House, his ability to influence is limited to his powers ofpersuasion, because he chairs an authorizing, not an appropriating, committee. Brown's willingness to take on this issue deserves the support ofthe entire scientific community.-RIcHARD S. NICHOLSON 6 DECEMBER 1991 EDITORIAL 1433 o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ Pork Barrel "Science" RICHARD S. NICHOLSON DOI: 10.1126/science.254.5037.1433 (5037), 1433.254Science ARTICLE TOOLS http://science.sciencemag.org/content/254/5037/1433.citation PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American Association for the Advancement ofScience 1991 by the American Association for the Advancement of Science o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/254/5037/1433.citation http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_c5r2qjf5bferjhmae25xodrvdu	----	Correspondence Supercollider critics: learn from history Hugely expensive new accelerators are being proposed to look for unknown entities such as particles of dark matter and companions of the Higgs boson (see Nature 565, 398; 2019). Opponents of these plans could learn from history. Critics argue, for example, that such ‘big science’ projects drain money away from other research, a view that led to the cancellation of the US Superconducting Super Collider in 1993. To my knowledge, that cancellation brought no funding benefit to other sciences. And because Europe has already committed to the ITER fusion project for energy production in France, and to the LISA gravitational-wave experiment in space; successors to the Large Hadron Collider would not be competing for funding with those projects. Others are sceptical about the existence of new particles, given that nothing has materialized since the discovery of the Higgs boson in 2012. That puts me in mind of Spain’s reaction to Christopher Columbus, when he requested funding to explore a westerly route to Asia in the fifteenth century. His proposal was initially rejected by a royal commission, which pronounced that “so many centuries after the Creation, it is unlikely that anyone could find hitherto unknown lands of any value”. Columbus Three women with a claim to astatine In this International Year of the Periodic Table, we suggest that three unsung women — Yvette Cauchois, Berta Karlik and Traude Bernert — should also be celebrated (see B. Van Tiggelen and A. Lykknes Nature 565, 559–561; 2019). They all contributed to the discovery of the halogen astatine (At), one of the rarest elements in Earth’s crust. Astatine (atomic number 85) is radioactive. Cauchois and Horia Hulubei first detected the isotope astatine-218 in a sample of radon-222 in 1939 in Paris (M. Thoennessen Int. J. Mod. Phys. E 25, 1630004; 2016). Karlik and Bernert subsequently reported 218At (in 1942), then 216At and 215At (in 1943), in natural samples at the Institute for Radium Research in Vienna (B. Karlik Monatsh. Chemie 77, 348–351; 1947). And Dale Corson, Kenneth MacKenzie and Emilio Segrè synthesized and chemically characterized 211At, which doesn’t occur naturally, in 1940 in Berkeley, California. Misperceptions about allegiances during the Second World War could have influenced those adjudicating discovery assignments (see B. F. Thornton and S. C. Burdette Bull. Hist. Chem. 35, 86–96; 2010), and Cauchois and Hulubei’s experiments were largely forgotten. With the acceptance of synthetic elements into the periodic table, element 85 was credited to the Berkeley group. Brett Thornton Stockholm University, Stockholm, Sweden. Shawn Burdette Worcester Polytechnic Institute, Worcester, Massachusetts, USA. brett.thornton@geo.su.se Don’t single out Chinese names I agree with Cristina Muñoz- Pinedo that researchers and scholars should have unique identifiers such as those provided by ORCID, but I object to the singling out of Chinese scientists for not complying with the system (Nature 565, 161; 2019). When different cultures seek to do business, all parties need to make compromises. Although “millions of Chinese people share the same 100 last names”, millions do not — there are more than 5,000 surnames in China. The 100 most common Chinese surnames are used by roughly 80% of the country’s population (see go.nature. com/2sjqufi; in Chinese), a situation that would hold for any country with a large enough population. There are probably many scholars with the last names García or Hernández, say, in Muñoz-Pinedo’s Spain and in the Spanish-speaking nations of Central and South America. In my view, Nature and other journals should follow an initiative by the Journal of Biological Chemistry and the Journal of Neuroscience (see go.nature.com/2xhiIj5), among others, to list authors in the script of their own language — whether Arabic, Urdu, Kanji or other — as well as in the Roman alphabet and in ORCID or similar. If you can accommodate accented letters in European names, you should extend comparable courtesy to other international scholars. Zhongmin Wang Memorial Sloan Kettering Cancer Center, New York City, USA. wangz2@sloankettering.edu Forests are still key to climate action We disagree with those who caution against relying on forests as a solution to global warming until the warming effects of trees themselves are better understood (see Nature 565, 280–282; 2019). Science looks worse as it gets better It is easy to assume that science is more flawed than in the past, given widespread coverage of the reproducibility crisis, perverse incentives and P-value hacking, alongside a proliferation of corrective measures (see, for example, C. K. Gunsalus et al. Nature 566, 173–175; 2019). But it could be that we are now seeing more problems simply because we are more alert to them. Consider related lessons from medicine. When a new treatment method is invented for a particular disease, there is typically an increase in the number of people who might benefit from that treatment, because conditions that were previously undetectable or Forests are currently the safest, most cost-effective way to avoid dangerous increases in global warming, through their retention, management and restoration (B. W. Griscom et al. Proc. Natl Acad. Sci. USA 114, 11645–11650; 2017). The land sink for carbon (which is made up mainly of intact forests) captures at least 30% of global emissions generated by human activity (C. Le Quéré et al. Earth Syst. Sci. Data 10, 405–448; 2018). And there is almost universal agreement that increased carbon dioxide in the atmosphere will boost the rates of carbon uptake on land (G. Schurgers et al. Geophys. Res. Lett. 45, 4329–4336; 2018). Simple tree-planting programmes might not simulate the climate-mitigation capabilities attributed to established forests. Until the warming effects of some trees are quantified and explained, forests must be managed to optimize their capacity to act as sinks. James E. M. Watson* University of Queensland, St Lucia, Australia. jwatson@wcs.org *On behalf of 4 correspondents (see go.nature.com/2tccpdy for full list). ignored are now uncovered systematically. Science could be the same. Today, we study in minute detail the dynamics of discovery, careers, teams and institutions, sometimes exposing issues that we didn’t know existed (see S. Fortunato et al. Science 359, eaao0185; 2018). That, to me, is grounds for optimism: such intense scrutiny should markedly improve the quality of science. Dashun Wang Northwestern University, Evanston, Illinois, USA. dashun.wang@northwestern.edu sailed west anyway and found “hitherto unknown” lands that have dominated the planet for the past century. John Ellis King’s College London, UK. john.ellis@cern.ch 2 1 M A R C H 2 0 1 9 | V O L 5 6 7 | N A T U R E | 3 1 1 © 2019 Springer Nature Limited. All rights reserved. 
work_caauczeg4vbn3iwhwr3gvbshn4	----	[PDF] On viral epidemics, zoonoses and memory | Semantic Scholar Skip to search formSkip to main content> Semantic Scholar's Logo Search Sign InCreate Free Account You are currently offline. Some features of the site may not work correctly. DOI:10.1016/S0966-842X(99)01586-3 Corpus ID: 38613426On viral epidemics, zoonoses and memory @article{WainHobson1999OnVE, title={On viral epidemics, zoonoses and memory}, author={S. Wain‐Hobson and A. Meyerhans}, journal={Trends in Microbiology}, year={1999}, volume={7}, pages={389 - 391} } S. Wain‐Hobson, A. Meyerhans Published 1999 Biology, Medicine Trends in Microbiology Given this, what might have happened when Christopher Columbus et al. and attendant microorganisms travelled into virgin territory? As American Indians had been geographically isolated from the conquistadors for tens of thousands of years, much of the local human and animal microbial fauna, particularly the rapidly mutating RNA viruses, would have been antigenically very distinct from those aboard the Santa Maria. Eurasians had harnessed the horse, dog, pig, goat and cow to mention just a few… Expand View on Elsevier europepmc.org Save to Library Create Alert Cite Launch Research Feed Share This Paper 5 CitationsBackground Citations 1 View All Topics from this paper Smallpox Yellow Fever HIV Infections Name citation Microorganism Zoonoses Rivet Device Component Pathogenic organism 5 Citations Citation Type Citation Type All Types Cites Results Cites Methods Cites Background Has PDF Publication Type Author More Filters More Filters Filters Sort by Relevance Sort by Most Influenced Papers Sort by Citation Count Sort by Recency Das zoonotische Potenzial feliner und boviner F. Romen 2007 PDF Save Alert Research Feed The Human/Animal Interface: Emergence and Resurgence of Zoonotic Infectious Diseases M. Greger Biology, Medicine Critical reviews in microbiology 2007 199 PDF Save Alert Research Feed Extensive MHC class I-restricted CD8 T lymphocyte responses against various yeast genera in humans. T. Heintel, F. Breinig, M. Schmitt, A. Meyerhans Biology, Medicine FEMS immunology and medical microbiology 2003 29 PDF Save Alert Research Feed Enabling systems-level analyses of the host response to infectious diseases in bovine and other mammalian species Khosravizadeh Foroushani, Amir Bahram Biology 2014 PDF View 2 excerpts, cites background Save Alert Research Feed COMPARATIVE IMMUNOLOGY-BASED APPROACHES TO VETERINARY DISEASES D. Barreda, A. Rieger, N. Girard, Shannon D. G. Clarahan, Afolabi F. Eleyinmi Biology 2011 PDF Save Alert Research Feed References SHOWING 1-10 OF 30 REFERENCES SORT BYRelevance Most Influenced Papers Recency Cowpox: reservoir hosts and geographic range. J. Chantrey, H. Meyer, +6 authors M. Bennett Biology, Medicine Epidemiology and infection 1999 202 PDF Save Alert Research Feed Genetic and Experimental Evidence for Cross-Species Infection by Swine Hepatitis E Virus X. J. Meng, P. Halbur, +5 authors S. Emerson Biology, Medicine Journal of Virology 1998 546 PDF Save Alert Research Feed Isolation of a new human retrovirus from West African patients with AIDS. F. Clavel, D. Guétard, +7 authors C. Rouzioux Biology, Medicine Science 1986 1,203 Save Alert Research Feed Cross-reactivities in memory cytotoxic T lymphocyte recognition of heterologous viruses L. Selin, S. Nahill, R. Welsh Biology, Medicine The Journal of experimental medicine 1994 342 PDF Save Alert Research Feed A novel hantavirus associated with an outbreak of fatal respiratory disease in the southwestern United States: evolutionary relationships to known hantaviruses. B. Hjelle, S. Jenison, +5 authors G. Myers Biology, Medicine Journal of virology 1994 155 PDF Save Alert Research Feed Comparisons of Highly Virulent H5N1 Influenza A Viruses Isolated from Humans and Chickens from Hong Kong D. Suarez, M. Perdue, +4 authors D. Swayne Biology, Medicine Journal of Virology 1998 351 PDF Save Alert Research Feed Isolation of a Coronavirus from Kidney Biopsies of Endemic Balkan Nephropathy Patients Branislava Uzelac-Keserović, P. Spasić, +6 authors K. Apostolov Medicine Nephron 1999 30 Save Alert Research Feed Detection of a Novel Bovine Lymphotropic Herpesvirus J. Rovnak, S. Quackenbush, R. Reyes, J. Baines, C. Parrish, J. Casey Biology, Medicine Journal of Virology 1998 64 PDF Save Alert Research Feed Three closely related herpesviruses are associated with fibropapillomatosis in marine turtles. S. Quackenbush, T. Work, +8 authors J. Casey Biology, Medicine Virology 1998 157 PDF Save Alert Research Feed Characterization of an avian influenza A (H5N1) virus isolated from a child with a fatal respiratory illness. K. Subbarao, A. Klimov, +13 authors N. Cox Biology, Medicine Science 1998 1,329 PDF Save Alert Research Feed ... 1 2 3 ... Related Papers Abstract Topics 5 Citations 30 References Related Papers Stay Connected With Semantic Scholar Sign Up About Semantic Scholar Semantic Scholar is a free, AI-powered research tool for scientific literature, based at the Allen Institute for AI. 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work_ccnwtncrffalnmrljycy6sfdq4	----	Surname and Y chromosome in Southern Europe: a case study with Colom&sol;Colombo ARTICLE Surname and Y chromosome in Southern Europe: a case study with Colom/Colombo Luis Javier Martı́nez-González1, Esther Martı́nez-Espı́n2, Juan Carlos Álvarez3, Francesc Albardaner4, Olga Rickards5, Cristina Martı́nez-Labarga5, Francesc Calafell*,6 and José Antonio Lorente1,3 According to most historians, Christopher Columbus was born in Genoa, Italy. However, based on some key facts in the discoverer’s biography, as well as in the linguistic analysis of his texts, some historians and linguists believe that Columbus could have been of Catalan origin. A Ligurian Columbus would have carried the Colombo surname, whereas he would have been called Colom if he were Catalan. In order to test whether it would be possible to discriminate between a Ligurian or a Catalan origin were Columbus’ Y-chromosome haplotype to be retrieved, we genotyped 17 Y-chromosome STRs in 238 Spanish (from Catalonia, Valencia, and the Balearic Islands) and French Colom men, and 114 North Italian Colombo (from Liguria, Lombardy, and Piedmont). The Italian samples and, in particular, the Lombard Colombos were genetically as diverse as the general population, and we found little evidence of clusters of haplotypes that could indicate descent from a single founder. Colombo is actually the most frequent surname in Lombardy, where foundlings and orphans used to be given the surname Colombo. By contrast, Y-chromosome diversity was reduced in the Iberian Colom, where most of the men had Y chromosomes belonging to a few lineages. This implies that a positive identification would be more likely if Columbus were of Catalan descent. In this study, we have shown the diverse dynamics of two surnames linked by their etymology, in what is, to the best of our knowledge, the first genetic analysis of a surname in Southern Europe. European Journal of Human Genetics (2012) 20, 211–216; doi:10.1038/ejhg.2011.162; published online 17 August 2011 Keywords: surnames; Y chromosome; Christopher Columbus INTRODUCTION The origin of Chistopher Columbus is the object of an ongoing debate among historians. The most widely accepted hypothesis is that Christoper Columbus was Cristoforo Colombo, from Genoa, and over 200 texts document the life of a Cristoforo Colombo; the discoverer referred to himself as a Genoese in his deed of primogeni- ture of 1498, although many scholars contest the authenticity of this document. However, several lines of evidence, mostly linguistic, question that Columbus could be Genoese and point instead to a Catalan origin; he would be Cristòfol Colom rather than Cristoforo Colombo. Throughout Columbus’s life, he was never referred as Colombo; before 1492, his contemporaries called him Colomo and Colom, and, after the first voyage, he was almost exclusively referred to with the Spanish form Cristóbal Colón. He wrote in Spanish with lexical mistakes and phonetical misspellings that are typical of a Catalan native speaker.1,2 According to Merrill,2 the Genoese Cristoforo Colombo was a modest wool carder and cheese merchant with no maritime training, whose age does not match that of Columbus, and it is unlikely that a tradesman would marry a Portuguese noblewoman, as Columbus did. A genetic analysis could settle this dispute. Columbus’ Y-chromo- some haplotype could be compared with that of extant North Italian Colombo and Catalan Colom men; a match, with the pertinent statistical assessment, could indicate which is the most likely origin of the discoverer. Both the Italian Colombo and the Catalan Colom derive from the Latin colmbus, ‘dove’. In Italy, 21 068 telephone landlines are registered to individuals named Colombo (online search on November 2010, http://www.paginebianche.it). Most of those (16 169, 76.7%) were found in the Lombard provinces of Lecco, Monza and Brianza, Varese, Milan, and Como, which make up 9.6% of the total Italian popula- tion. In fact, Colombo is the most frequent surname among telephone customers in Lombardy. Significant numbers of Colombo were found in the Piedmontese provinces that border Lombardy, and 486 telephone directory entries for Colombo were found in Liguria (2.3%), the region around Genoa; Colombo ranks in 27th position among Ligurian telephone customers. The abundance of people named Colombo in Milan and the surrounding region can be explained by the fact (according to Mario Colombo – Gruppo Ricerche Storiche Borsano, cited by http://www.cognomiitaliani.org/ cognomi/cognomi0003col.htm) that, until 1825, the orphans and foundlings hosted by the orphanage at the Ospedale Maggiore in Milan were given the surname Colombo, because a dove figured prominently in the crest of the Ospedale Maggiore. In Spain, 4056 males and females carry Colom as a paternal surname, according to official registry figures reported by the Spanish National Statistical Institute (http://www.ine.es/fapel/FAPEL.INICIO). Of those, 1207 (29.8%) were born in the Balearic Islands, 1976 (48.7%) in Catalonia, and 564 (13.9%) in the Valencia region. Catalan is spoken in these three regions; the Balearics and Valencia were Received 2 February 2011; revised 7 June 2011; accepted 7 July 2011; published online 17 August 2011 1GENYO – Centro Pfizer-Universidad de Granada-Junta de Andalucı́a de Genómica y Oncologı́a, Granada, Spain; 2LORGEN GP, S.L., Granada, Spain; 3Department of Legal Medicine, University of Granada, Granada, Spain; 4Centre d’Estudis Colombins, Òmnium Cultural, Barcelona, Spain; 5Centre of Molecular Antropology for Ancient DNA Studies, Department of Biology, University of Rome Tor Vergata, Rome, Italy; 6Institute of Evolutionary Biology (CSIC-UPF), CEXS-UPF-PRBB, Barcelona, Spain *Correspondence: Dr F Calafell, Institute of Evolutionary Biology (CSIC-UPF), CEXS-UPF-PRBB, Doctor Aiguader 88, 08005 Barcelona, Catalonia, Spain. Tel: +34 93 316 08 42; Fax: +34 93 316 09 01; E-mail: francesc.calafell@upf.edu European Journal of Human Genetics (2012) 20, 211–216 & 2012 Macmillan Publishers Limited All rights reserved 1018-4813/12 www.nature.com/ejhg http://dx.doi.org/10.1038/ejhg.2011.162 http://www.paginebianche.it http://www.cognomiitaliani.org/cognomi/cognomi0003col.htm http://www.cognomiitaliani.org/cognomi/cognomi0003col.htm http://www.ine.es/fapel/FAPEL.INICIO mailto:francesc.calafell@upf.edu http://www.nature.com/ejhg conquered by the Crown of Aragon (constituted by Catalonia and Aragon proper) from the local Muslim rulers in the 13th century and repopulated mostly with Catalans. In 1659, the Treaty of the Pyrenees awarded the fraction of Catalonia lying north of the Pyrenees (known as the Roussillon) to France; 91 landlines are registered to Coloms in the Roussillon. The analysis of Y-chromosome haplotypes in samples of men carrying the same surname can provide invaluable information about the genealogy linking these men, up to the point that Y chromosome analyses are being routinely used by the general public to retrace family histories.3 In England, it has been shown that it is possible to define clusters of phylogenetically related Y-chromosome haplotypes that are likely to represent the descendants of a single founder, and, from the diversity they accumulate, a time depth can be estimated that is compatible with the historical time in which paternal surname inheritance is systematized.4 In general, in England, the more frequent surnames have more diverse Y-chromosome haplotypes, as if surname frequency was driven by polyphyletism (ie, the repeated assumption of a surname by different, unrelated people).4 On the contrary, no such effect was found in Ireland,5 and the success of a surname was driven by social factors rather than by polyphyletism. It should be noted that, to the best of our knowledge, European analyses of Y-chromosome diversity in specific surnames are restricted to the British Isles (see also ref. 6). The goal of the present research is to study the feasibility of identifying the geographical origin of Christopher Columbus in the event that his Y chromosome could be retrieved and compared with the extant Colom and Colombo men. To that effect, we have genotyped 17 Y-chromosome STRs in samples of Colombo collected in Northern Italy (Lombardy, Liguria, and Piedmont), and of Colom collected in Catalonia, the Balearic Islands, Valencia and the Roussillon. To the best of our knowledge, this is the first study of the genetics of a surname in continental Europe. METHODS Samples Men with the surname ‘Colom’ were sampled in Catalonia (n¼126, including one sample from Andorra), the Balearic Islands (n¼50), Valencia (n¼45), and the Pyrénées Orientales département of Southeast France (n¼17). Lists of men bearing the Colom surname were obtained from public telephone directories. Participants were shown the lists and asked to identify any relatives, in order to avoid sampling closely related men. A total of 18 men bearing the Colomb, Colom, Coulom, Coulomb, Coulon, Collon, Colon, Collomb, and Coullon surnames were sampled in Southwest France, in Bordeaux, and the rest of the Gironde département. The Colombo surname was sampled in three Italian regions: Lombardy (n¼52), Liguria (n¼48), and Piedmont (n¼14) (Figure 1). Additionally, reference samples of 59 random Catalan males (with all eight great-grandparents born in Catalonia) and 50 North Italian men (with three generations of paternal line ancestry in Liguria and Lombardy) were gathered. In all cases, biological samples were obtained as buccal swabs, except for control Northern Italians, in which blood samples were collected at the Blood Transfusion Centre of the ‘Umberto I’ Hospital in Rome. Written informed consent was obtained from all participants. DNA extraction and genotyping DNA was extracted from buccal swabs using a standard organic method (proteinase K and DTT digestion, followed by phenol–chloroform extraction and Microcon 100 purification and concentration). Amplification of samples was performed with about 1 ng of target DNA. For blood samples, DNA was extracted following the salting-out procedure of Miller et al7. A total of 17 Y-chromosome STR loci (DYS19, DYS385a,b, DYS389I, DYS389II, DYS390, DYS391, DYS392, DYS393, DYS437, DYS438, DYS439, DYS448, DYS456, DYS458, DYS635, and GATAH4) contained in the AmpFlSTRYFiler PCR Amplification kit (Applied Biosystems, Foster City, CA, USA)8 were genotyped according to the manufacturer’s instructions. Alleles were separated and detected using an Applied Biosystems ABI 310 genetic analyzer. Fragment sizes were analyzed using the GeneScan Analysis and Genotyper ver. 2.0 Software (Applied Biosystems). The sample run data were analyzed together with an allelic ladder and positive and negative controls. The alleles were named according to the number of repeated units based on the sequenced allelic ladder (ISFG recommendations).9 Data analysis Basic descriptive statistics were estimated with Arlequin 3.1 (http://cmpg.unibe. ch/software/arlequin3/).10 Each individual was allocated to a haplogroup using a Bayesian approach11 as implemented in Haplogroup Predictor (http:// www.hprg.com/hapest5/), with the ‘Area Selection’ field set to ‘Equal priors’; haplotypes with a posterior probability o95% were left unclassified. J2a1 and its subgroups (J2a1b, and J2a1h) were pooled, as Haplogroup Predictor often failed to discriminate among them with the current 17-STR haplotypes. We validated Haplogroup Predictor by running it through a previously published sample of 307 Y chromosomes from Catalonia, Valencia, and the Balearic Islands.12 SNPs and a widely overlapping set of Y-chromosome STRs had been typed in those samples; 14-STR-haplotypes were input in Haplogroup Pre- dictor, with 11 (DYS19, DYS385, DYS389I, DYS389II, DYS390, DYS391, DYS392, DYS393, DYS437, DYS438, and DYS439) matching those in the present study, plus DYS460, DYS461, and DYS462. Within each haplogroup, median joining networks13 were drawn with Network 4.5.1.6 (http://www.fluxus-engineering.com), by giving each STR a weight inversely proportional to its variance, and equating the average variance to a weight of 10. FST distances based on the number of different alleles among Y-chromosome haplotypes were computed for pairs of populations with Arlequin 3.5 (http://cmpg.unibe.ch/software/arlequin35/),14 and, after adding a small value to the entire matrix in order to remove negative values while preserving ordinality, it was plotted with multidimensional scaling as imple- mented in Statistica 7.0 (Statsoft, Inc., Tulsa, OK, USA). The time depth of inherited surnames is expected to be 500–600 years in Spain and Italy;3 two extant bearers of the same surname would have at most double that time to accumulate mutations at their Y-chromosome STRs. The overall genealogical mutation rate for the 17 STRs we genotyped is 4.167�10�2 per generation (as compiled from multiple studies by Sascha Willuweit and Lutz Roewer and reported in http://www.yhrd.org, 22 October 2010), or, with a generation time of 25 years, 1.667�10�3 per year, or one mutation per 600 years. Thus, at most, bearers of the same surname are expected to differ by two Figure 1 Populations and localities where Colom/Colombo men were sampled. Dot area is proportional to the number of individuals sampled in that locality. The Y chromosome in Colom/Colombo men LJ Martı́nez-González et al 212 European Journal of Human Genetics http://www.hprg.com/hapest5/ http://www.hprg.com/hapest5/ http://www.fluxus-engineering.com http://www.yhrd.org mutations in their Y-chromosome STRs. Pairwise comparison of all reference haplotypes in Catalans and Italians showed that 19 out of 5886 pairs (0.32%) showed r2 differences, in contrast with 2.99% of the Colom/Colombo chromosome pairs. Therefore, we used these observations to construct an ad hoc heuristic to identify groups of Colom/Colombo men with shared recent ancestry. Within each haplogroup median network, haplotypes that could be linked to another haplotype by an edge at most two mutations long were grouped and were considered as descendants of a common founder. However, this algorithm has the potential to create long strings of connected haplotypes that might be false positives. We postprocessed the lineages obtained in the first pass by eliminating those with times to the most recent common ancestor 41000 year and replacing those with the lineages (if any) that could be obtained with the more stringent definition of descent lineage adopted by King and Jobling.4 Overall, we also compared the lineages obtained with our method with those produced with King and Jobling’s. Time to the most common recent ancestor within lineages was computed with the r method15,16 with Network 4.5.16. RESULTS Haplotype, haplogroup and lineage assignment for each individual can be found in Supplementary Information. Basic descriptive statis- tics for the Colom/Colombo and reference samples are shown in Table 1. The Catalan and Northern Italian reference samples were quite diverse, and all haplotypes were different from each other (although one Catalan and one Northern Italian individual shared the same haplotype). Italian Colombo samples showed a slight reduction in haplotype diversity, which was more pronounced in the Iberian Colom, particularly in those from Valencia and Majorca. Pairwise differences in repeat size were reduced only in Majorcan Coloms, probably because in the remaining Colom/Colombo samples, different haplogroups were still well represented. The homogeneity of Majorcan Colom haplotypes cannot be attributed to the insular nature of the general population: the Majorcan samples in Adams et al12 showed, for a widely overlapping set of SNPs, no reduction of haplotype diversity with respect to the mainland (0.9921 vs 0.9984 in Catalans; Majorcan Coloms had H¼0.5665 for the overlapping STRs). General similarities between the samples were measured with FST and represented by means of multidimensional scaling (Figure 2a). Stress was 1.42%, below the 1st percentile for random data sets.17 The Balearic Colom appeared as extreme outliers, to the point that they might obscure the relations among other samples. When the Balearic Colom were removed from this analysis (Figure 2b), the Lombard and Ligurian Colombo, and the SW French Colomb appeared closer to the general Northern Italian and Catalan populations than other samples were. Haplogroups were inferred for each individual based on their STR haplotypes. A previous validation study (see Methods) showed that 302 out of 307 (98.4%) Catalan, Valencian, and Balearic Y-chromo- some STR haplotypes could be allocated to a haplogroup, and only three haplogroup assignments (1%) were erroneous: R1b3*, J2, and K(xP) chromosomes were called as R1a, J1, and R1b, respectively. Haplogroup frequencies are shown in Table 1. Overall, 4 out of 479 chromosomes (0.84%) could not be classified. Most Colom/Colombo samples were similar in haplogroup frequencies to their respective reference populations. Estimated haplogroup frequencies were similar Table 1 Descriptive statistics of the genetic diversity in the different samples and percent frequencies of estimated haplogroups Sample N k D (SD) p (SD) E1b1b G2a I1 I2a I2b J1 J2a1 J2b L R1a R1b T unc. Catalan ‘Colom’ 126 57 0.9685 (0.0067) 14.899 (8.066) 4 5.6 1.6 0 0.8 0 11.1 4 0 5.6 65.1 0 2.4 Balearic ‘Colom’ 50 19 0.7469 (0.0663) 7.061 (9.454) 4 6 0 0 2 0 0 0 0 0 88 0 0 Valencian ‘Colom’ 45 20 0.9424 (0.0156) 16.683 (10.239) 0 0 0 0 0 31.1 0 11.1 0 0 57.8 0 0 SE French ‘Colom’ 17 14 0.9559 (0.0436) 15.971 (8.829) 11.8 5.9 11.8 0 0 5.9 0 5.9 0 0 58.8 0 0 SW French ‘Colomb’ 18 16 0.9869 (0.0229) 11.608 (5.936) 5.6 11.1 0 0 0 0 0 0 0 0 83.3 0 0 Lombard ‘Colombo’ 52 50 0.9985 (0.0042) 16.955 (7.638) 7.7 5.8 3.8 0 5.8 3.8 7.7 0 0 1.9 59.6 3.8 0 Piedmontese ‘Colombo’ 14 13 0.9890 (0.0314) 17.604 (6.231) 14.3 14.3 0 7.1 14.3 0 14.3 0 0 0 35.7 0 0 Ligurian ‘Colombo’ 48 36 0.9876 (0.0068) 17.716 (7.104) 8.3 6.3 2.1 6.3 2.1 0 8.3 6.3 2.1 0 56.3 0 2.1 Catalan reference 59 59 1 (0.0031) 14.788 (7.181) 1.7 5.1 5.1 3.4 3.4 1.7 5.1 0 0 0 72.9 1.7 0 N Italian reference 50 50 1 (0.0040) 16.940 (7.710) 8 4 6 2 2 4 10 2 0 0 60 2 0 Abbreviations: D, haplotype diversity; k, number of different haplotypes; N, sample size; p, average number of pairwise differences in absolute number of repeats; Unc, unclassified haploypes. Figure 2 (a) Multidimensional scaling plot based on FST distances among haplotypes. Stress was 1.4%. (b) MDS after removing the outlying Balearic Colom sample. Stress was 7.7%. Abbreviations: B, Balearic; C, Catalan; V, Valencian; FSE, SE French; FSW, SW French; LO, Lombard; LI, Ligurian; PI, Piedmontese; CTR, Catalan control sample; ITR, Northern Italian control sample. The Y chromosome in Colom/Colombo men LJ Martı́nez-González et al 213 European Journal of Human Genetics across samples, and the most salient specific features were the high frequency of J1 in the Coloms from València (31.1%, compared with 0–4% in the other samples) and the low frequency of R1b in the small Piedmontese Colombo sample (35.7% as opposed to 56–88% elsewhere). Median Joining networks for Colom/Colombo chromosomes in the major haplogroups are shown in Figures 3 and 4. These were used to detect possible founder lineages (groups of chromosomes that may descend from a single founder of the surname) as decribed in the Methods section. When we applied this approach to the reference Catalan and Northern Italian samples (which were collected regardless of surname), the 109 chromosomes represented 95 different lineages, with a maximum frequency of 5 chromosomes in Catalonia. In the total Colom/Colombo sample, 153 lineages were detected, most (91/135¼67.4%) being represented by a single chromosome. By contrast, the eight most frequent lineages (Table 2) comprised 40.5% of the total sample, but this fraction varied from 12.5% in the Ligurian to 82% in the Balearic. Estimated ages and places of origin are shown also in Table 2, as well as the corresponding core haplotypes (descent clusters as defined more narrowly by King and Jobling4). All major lineages are clearly geographically clustered in their distribution. Within each Colom/Colombo sample, the number and diversity of lineages varied greatly. Number of lineages and lineage diversity (computed as if it were haplogroup diversity) can be found in Table 3. Although in the Italian Colombo, the number and diversity of lineages is close to that of the general population, in the Iberian Colom (particularly in the Valencian and Balearic), a few lineages made up a sizeable portion of the chromosomes. In the Catalan Colom sample, the four most frequent lineages comprised 40.5% of the sample; two of those have clear geographical clusterings. Lineage 77 comprised 82% of all Balearic Coloms, which is rare elsewhere and is dominated by a single haplotype covering 58.5% Figure 3 Median joining networks for the Colom/Colombo chromosomes in each estimated haplogroup. Dotted ovals indicate lineages comprising more than one haplotype. The Y chromosome in Colom/Colombo men LJ Martı́nez-González et al 214 European Journal of Human Genetics of the Balearic Colom in this lineage. In Valencia, four distinct lineages cover 77.8% of the chromosomes. Of note is lineage 48, which was predicted to be in haplogroup J1, which is rare in the Iberian Peninsula (0–3%12) and with 12 chromosomes carrying the distinct DYS458*16.2 allele, which has a frequency in Europe of 10/9366 (1.068�10�3). The Italian samples were more diverse than the Iberian ones, without frequent lineages that could point to a few discrete origins for the surname. No lineage contained more than four chromosomes in Italy. DISCUSSION We have found that Colombo men in North Italy, particularly in Lombardy, carry in their Y chromosomes an array of haplotypes as diverse as that of the general population, whereas the Catalan-speaking Coloms show clear signs of founding effects, espe- cially in València and Majorca. In North Italy, haplotype and lineage diversity was extreme in Lombardy and less pronounced in Liguria. This observation matches the frequency of Colombo in each region: it is the most frequent surname in Lombardy, but only the 27th in Liguria. We could ask whether the high frequency by itself is sufficient to explain why a sample of Lombard Colombos is as diverse as the general population, or whether the orphanage at the Ospedale Maggiore in Milan had a role in increasing genetic diversity in the Colombos by giving that name to foundlings. Two considerations point indeed for a contribu- tion of the foundlings: ‘Colombo’, that is, ‘dove’, does not seem a type of surname that would have the most independent origins, unlike trade names (‘Smith’) or patronyms (‘Jones’). In Campania, a South Italian region, the most frequent surname is Esposito, which was given solely to foundlings. Genetic diversity in the Ligurian Colombos is high to the point that in a sample of 48 individuals, we found 36 different haplotypes and estimated 34 different founding events. Still, this slight reduction is sufficient to set the Ligurian Colombos apart both from the Northern Italian general population and from the Lombard Colombos, and, as seen in Figure 1, they are further apart from the Catalan Coloms; they appear closer to the Valencian Coloms, but, as discussed below, this is due just to the outlier position of the latter. Figure 4 Median joining network for the estimated R1b chromosomes. Lineages comprising more than one haplotype are indicated with colored lines. Population color codes as in Figure 3. Table 2 Major lineages found in the Colom/Colombo samples Lineage HG Frequency/Core lineage Median Haplotype YHRD core matches Age (SD)/Core lineage Geographical origin 77 R1b 60 (41 B, 8 C, 6 F, 4 V, 1 PI) 49 (38 B, 5 C, 3 F, 3 V) B-12 3/13 578 (153)/269 (88) Majorca 73 R1b 22 (16 C, 5 F, 1 PI) 21 (16 C, 5 F) C-004 2/3 136 (67)/86 (64) NE Catalonia 48 J1 14 (14 V) 13 (13 V) V-13 0/4 643 (361)/508 (323) S Valencia 51 J2a1 14 (14 C) 9 (9 C) C-003 0/2 557 (250)/200 (200) W Catalonia 70 R1b 13 (13 C) 13 (13 C) C-124 0/2 46 (46)/46 (46) NW Catalonia 85 R1b 13 (9 V, 4 C) 11 (8 V, 3 C) V-008 0/4 500 (245)/360 (355) N Valencia Abbreviations: B, Balearic; C, Catalan; HG, predicted haplogroup; V, Valencian. Core lineage: lineage as defined with the more stringent definition by King and Jobling.4 Frequency: total and regional absolute frequencies. YHRD core matches: haplotypes in the core lineage with matches in the YHRD database. Lineages with absolute frequency Z10 are shown. See Supplementary Information for the composition of each haplotype. Table 3 Descriptive statistics of the Y-chromosome lineages in the different samples Sample N kl Dl Catalan ‘Colom’ 126 35 0.9476 Balearic ‘Colom’ 50 7 0.3282 Valencian ‘Colom’ 45 10 0.8333 SE French ‘Colom’ 17 11 0.9045 SW French ‘Colomb’ 18 14 0.9672 Lombard ‘Colombo’ 52 45 0.9940 Piedmontese ‘Colombo’ 14 13 0.9890 Ligurian ‘Colombo’ 48 34 0.9832 Catalan reference 59 53 0.9931 N Italian reference 50 47 0.9976 Abbreviations: Dl, lineage diversity; kl, number of different lineages; N, sample size. The Y chromosome in Colom/Colombo men LJ Martı́nez-González et al 215 European Journal of Human Genetics The Catalan Coloms show clear founder effects that also correspond with geographical origins; four major clusters explained 40.5% of the individuals. Colom is much less frequent than Colombo: it ranks 467th among surnames in Catalonia, and is carried by 0.027% of the population. It falls below the limit (6000 bearers) under which King and Jobling4 suggest that it is feasible to predict a surname from a Y-chromosome haplotype using the same set of STR markers we employed. The situation is more extreme in Valencia and the Balearics, and is reflected also in their position in the multidimensional scaling plot. In Valencia, four lineages covered 77.8% of the sample, again with clear geographical clustering. Given the history of the resettle- ment of Valencia, one could expect that those lineages would also be represented in Catalonia, but we could not identify those origins. Then, the origins of Colom in Valencia could be local: the estimated TMRCAs (Table 2) hardly overlap with the resettlement age, 750 ya. Alternatively, the Catalan descendants of the founders were not in our sample, either because we could not find them (although our sample contains B12% of the Catalan Colom men before excluding known relatives), or because their paternal lines became extinct. A similar situation is found in the Balearics, where the Coloms are dominated by a single lineage that comprises 82% of the sample. As in the case of the Valencian Colom, and for similar reasons, a clear founder could not be identified in the mainland. We analyzed three other samples: the Southeast French Colom, which were linked to the Colom in Northeast Catalonia. Both regions have strong geographical, linguistic, and historic bonds. The Y chromosomes of the Southwest French Colomb reflected their mixed origins, given the variety of spellings and geographic origins gathered in that sample. Finally, the Alessandria Piedmontese Colombo seemed connected to the Ligurian Colombo, although, given its small sample size (n¼5), no clear conclusions can be derived. We have also shown that Colombo and Colom are two distinct surnames with no clear genealogical connection, and local origins in Italy and Spain. The dove, probably as a nickname, has originated surnames in many languages: Palomo (Spanish), Pigeon (French), Dove (English), Taube (German), and Golub (various Slavic languages) among others. The main reason for this research was trying to establish whether Christopher Columbus’ Y-chromosome haplotype, if retrieved, could be allocated to Liguria or to Catalonia. The most convincing evidence for either origin would be a match with a geographically specific descent cluster. If we set a simple, arbitrary threshold at a frequency of four chromosomes in each sample, then the cumulative frequencies of such lineages are 71, 87, and 82% of the Catalan, Valencian, and the Balearic Coloms, while they are only 18 and 0% in the Ligurian and Lombard Colombos, in which only lineage 109, found in four Ligurians, would provide the possibility for a specific match. On the contrary, and as also discussed above, the Colom lineages are much more geographically specific. Then, if we use as a criterion for identification a match with such lineages, a positive identification would be much more likely for a Catalan than for a Ligurian Columbus. A match with a singleton Catalan or Ligurian haplotype should be treated with great caution, and, while indicative, would be by no means conclusive. Assessing the relative likelihood of each origin would be complex (if possible at all), and, given the sample sizes, values in favor of a particular origin would be modest. Additionally, the close similarity of the Catalan and Ligurian general populations should be taken into consideration. For instance, two different Italian reference haplotypes from our sample match two Catalan Coloms, and another Italian control matches a Catalan control. We have shown that, although linked by their linguistic origin, Colombo and Colom are two surnames with very different histories that are reflected in the genetic diversity of their bearers, which offers a glimmer of hope for settling the dispute about Columbus’ origins. CONFLICT OF INTEREST The authors declare no conflict of interest. ACKNOWLEDGEMENTS We wish to express our gratitude to all donors, and to Professor Gabriella Girelli (University of Rome ‘La Sapienza’) and Ms Irene Contini (University of Rome ‘Tor Vergata’) for their cooperation in collecting the control north Italy samples. Funding for this research was provided by Malvarrosa Media – Valencia, Fundación M. Botı́n and University of Granada. Sampling of the Colom men was sponsored by ‘Fausto Producciones’. 1 De Yzaguirre L: Aproximació lexicomètrica a les interferències de base fonològica en els escrits autògrafs de Cristòfor Colom: La lengua materna de Cristóbal Colón. Eivissa: Consell interinsular d’Eivissa i Formentera, 2006. 2 Merrill CJ: Colom of Catalonia: Origins of Christopher Columbus Revealed. Spokane, WA: Demers Books, 2008. 3 King TE, Jobling MA: What’s in a name? Y chromosomes, surnames and the genetic genealogy revolution. Trends Genet 2009; 25: 351–360. 4 King TE, Jobling MA: Founders, drift, and infidelity: the relationship between Y chromosome diversity and patrilineal surnames. Mol Biol Evol 2009; 26: 1093–1102. 5 McEvoy B, Bradley DG: Y-chromosomes and the extent of patrilineal ancestry in Irish surnames. Hum Genet 2006; 119: 212–219. 6 Sykes B, Irven C: Surnames and the Y chromosome. Am J Hum Genet 2000; 66: 1417–1419. 7 Miller SA, Dykes DD, Polesky HF: A simple salting out procedure for extracting DNA from human nucleated cells. Nuclear Acids Research 1988; 16: 1215. 8 Mulero JJ, Chang CW, Calandro LM et al: Development and validation of the AmpFlSTR Yfiler PCR amplification kit: a male specific, single amplification 17 Y-STR multiplex system. J Forensic Sci 2006; 51: 64–75. 9 Gusmao L, Butler JM, Carracedo A et al: DNA Commission of the International Society of Forensic Genetics (ISFG): an update of the recommendations on the use of Y-STRs in forensic analysis. Forensic Sci Int 2006; 157: 187–197. 10 Excoffier L, Laval G, Schneider S: Arlequin (version 3.0): an integrated software package for population genetics data analysis. Evol Bioinform Online 2005; 1: 47–50. 11 Athey TW: Haplogroup prediction from Y-STR values using a Bayesian allele frequency approach. J Genet Geneal 2006; 2: 34–39. 12 Adams SM, Bosch E, Balaresque PL et al: The genetic legacy of religious diversity and intolerance: paternal lineages of Christians, Jews, and Muslims in the Iberian Penin- sula. Am J Hum Genet 2008; 83: 725–736. 13 Bandelt HJ, Forster P, Rohl A: Median-joining networks for inferring intraspecific phylogenies. Mol Biol Evol 1999; 16: 37–48. 14 Excoffier L, Lischer HEL: Arlequin suite ver 3.5: a new series of programs to perform population genetics analyses under Linux and Windows. Mol Ecol Resources 2010; 10: 564–567. 15 Morral N, Bertranpetit J, Estivill X et al: Tracing the origin of the major cystic fibrosis mutation (DF508) in European populations. Nat Genet 1994; 7: 169–175. 16 Saillard J, Forster P, Lynnerup N, Bandelt HJ, Nørby S: mtDNA variation among Greenland Eskimos: the edge of the Beringian expansion. Am J Hum Genet 2000; 67: 718–726. 17 Sturrock K, Rocha J: A multidimensional scaling stress evalutation table. Field Methods 2000; 12: 49–60. Supplementary Information accompanies the paper on European Journal of Human Genetics website (http://www.nature.com/ejhg) The Y chromosome in Colom/Colombo men LJ Martı́nez-González et al 216 European Journal of Human Genetics http://www.nature.com/ejhg Surname and Y chromosome in Southern Europe: a case study with ColomsolColombo Introduction Methods Samples DNA extraction and genotyping Data analysis Figure 1 Populations and localities where ColomsolColombo men were sampled. Results Table 1 Descriptive statistics of the genetic diversity in the different samples and percent frequencies of estimated haplogroups Figure 2 (a) Multidimensional scaling plot based on FST distances among haplotypes. Figure 3 Median joining networks for the ColomsolColombo chromosomes in each estimated haplogroup. Discussion Figure 4 Median joining network for the estimated R1b chromosomes. Table 2 Major lineages found in the Colom/Colombo samples Table 3 Descriptive statistics of the Y-chromosome lineages in the different samples Conflict of interest ACKNOWLEDGEMENTS 
work_cipbr63bh5apvj2bjgpgp5dxp4	----	J F M S E , 28(2), pp. 489~501, 2016. www.ksfme.or.kr 산해양 연구 권 통권, 28 2 , 80 , 2016. http://dx.doi.org/10.13000/JFMSE.2016.28.2.489 - 489 - 서 론. Ⅰ 우리나라 등 생들 역사를 주 역사 업 이나 역사 과 를 통해 가장 많이 습 는 것 나타난다(Moon, Jae-Kyung Jeong, Mi-Ran, ㆍ 이는 역사 업과 역사 과 가 생들 2015). 역사 습에 요 매체가 다는 것 양질, 역사 업과 과 개 이 요 다는 나타낸다 특히 생들에게 존 지식 소 자 . , 개 어 새 운 지식 생산자 창조 인 합인재가 것 요구 는 계 움직임 역사 (Cho, Soo-Hyun Park, Chang-Un, 2013)ㆍ 업과 과 개 에도 향 미 게 다. 근 내러티 를 용 역사 과 개 업에 심이 많 지고 있는 생들 에게 지식 생산자 역 권장 는 움직 임과 지 다 내러티 를 역사과에 용. 효과 여, VanSledright & Brophy(1992) 에 르면 생들이 구체 인 역사 , 5, 6 인 과 웅 심 이야 역사를 명 고, 역사 지식 내러티 구조 억 고 있 인 다(Kang, Sun-Joo, 2011). Barton & 생들 다양 역사 인Levstik(2004) 과 사건 자료 부 역사 지식 획득 , 한 미 등학교 역사교과서의 내러티 분석 소 대 대학( ) Analysis of Narratives of Elementary School History Textbook of Korea and US So-Young PARK (Daegu University) Abstract The purpose of this research is to analyze the narratives of elementary school history textbooks of Korea and US. The research problems are as follows. Firstly, what are the form and content of narratives of Korea's elementary school history textbook of Korea and US. Secondly, what are the characteristics of narratives of American elementary school history textbook of Korea and US. The content analysis method was utilized for analyzing narratives of textbooks. Research results are summarized as follows. Firstly, the features of Korea's elementary school history textbook are described. Secondly, the features of American elementary school history textbook are described. Thirdly, the common features and differences between both countries' textbook narratives are analyzed. Lastly, the implications for diversifying the narratives of Korea's elementary school history textbook are recommended. Key words : History Textbook, Narrative, Elementary School Corresponding author: 053-850-4364, syoungpark@daegu.ac.kr 2013 . - 490 - 보들 별개 것 들이는 것이 니라 미가 통 있도 구조 여 억 다고 보고 면 인 구조가 내러티, 라고 보 다(Kang, Sun-Joo, 2011). 이는 내러티 가 습자 미에 부합 고, 역사를 쉽게 이해 있게 며 역사 사실, 억 용이 고 사고를 가능 게 , 다는 장 이 강조 이다(Yu, Jeong-Mi․ 그 다면 내러티 란 어떤 것Choi, Yong-Gyu). , 인지에 자들 를 살펴볼 요가 있 다 는 러다임 사고 내러. Bruner(1986) 티 사고를 구분 여 러다임 사고가 논리 , 규 에 해 지 는 보편 인 식인데 해, 내러티 사고는 스토리 링 통 여 미를 획 득 는 식 는 것 소개 다(Kang, Hyun-Suk Kim, Kyung-Su Joint Translation, 2010). ㆍ 그리고 내러티 사고를 삶 를 다루는 상 황맥락 인 사고 인간 계에 이해 미 추구 는 것 사 다(Bruner, 루 내러티 사고는 논리 지식 1986). 획득과 달리 인간 삶에 이해 미, 가능 게 다. 내러티 범 를 사고 양식에 여 이야 결과 내러티 사고 양상, 내러티 커뮤니 이 내러, 티 명 도 다(Park, Min-Jeong, 2007). 이는 참여를 통 미구 과 계 , 상상 차원 통 지식 획득 구, 이 가능 내러티 를 강조 것이다. 내러티 를 나 구조 간주 는 견도 존 재 다 즉 내러티 란 이 어 사건들에 . , 미를 공 해 이야 같 태 조직 구조 이야 이며(Kang, Hyun-Suk et al., 내러티 를 통해 지식 구조 있2007). 나타낸다. 이러 들에 추어 볼 내러티 는 , 자 독자 참여를 허용 는 이야 이 며 계 상상 등 다양 차원 , , , 미 구 이 가능 이야 이며 삶 를 다루, 는 상황 맥락 인 사고를 미 다 특히 내러티. 를 용 역사과 특징 는 다 과 같이 시 다 에 르면. Jeong, Ji-Whang(2005) , 역사가 역사 인식과 해결 답 구 사료 내용 읽고 구 며 , 그 가 계를 논 역사 상상 사용, 여 연구 상 인 입장에 사고 내용 ( ) 담 자 이 명 히 드러나며 독자를 고, , 등이 역사 내러티 특징 시 다 는 내러티 특. Ahn, Jung-Ai(2007) 징 자 존재 구체 이고 인 사, , 인간 존재 시 다. 상 내러티 특징에 추어볼 특히 역사 과 에 시 는 내러티 는 다, 양 이야 장르를 용 있고 스트를 , 심 자 습자 참여가 가능 고 삶에 역사 상상 , , 있는 목소리를 담 있는 내러티 라고 있다 역사 인 과 사건 등 이야 를 . 자 목소리 없이 논리 이고 보편 인 식 명 다면 이는 내러티 간주 어 울 , 것이다. 등 역사과 내러티 여 내러티, 를 용 등 역사 업 효과(Lee, Ju-Yeonㆍ 내러티 식 용 Kim, In-Sook, 2014) 통 등 생 역사 사고 신장에 연 구 내러티 를 (Jeong, Ji-Whang, 2005), 용 등 역사 재 구 (Yu, Jeong-Mi Choi, ㆍ 등 연구가 행 있다Yong-Gyu, 2010). . 이 연구들 연구자가 내러티 를 자체 개 여 행 것 내러티 를 용함 써 생들, 과 미를 높이고 역사 사고 신장에 , 인 결과를 도출 것 나타난다. 생들이 역사를 공부 는 데 있어 가장 용 도가 높 매체는 과 이다 과 에 시 . 내용이 습자들 미 심 고 주 를 지속 집 시킬 있도 계열 있게 - 491 - 조직 어 있다면 사 욱 높, 질 것이다 라 행 (Won, Hyo-Heon, 2010). 우리나라 과 에 시 내러티 는 어떠 식과 내용 구 어 있고 어떠 특징 , 지니는지를 연구함 써 습자 역사 과 미 역사 사고 보다 높일 있는 마 요가 있다. 행 우리나라에 용 는 등 역사 2009 과 를 용 업 5 2 6 1 에 이루어진다 연구. Moon, Jae-Kyung(2015) 에 들이 가장 미를 보이는 시 가 5, 6 일 강 라는 결과에 주목 여 본 연구는 일, 강 가 담 역사 과 내러티 를 6-1 분 고자 다 본 연구에 는 우리나라 역사 . 과 내러티 를 분 해 미국 등 역사 과 내러티 를 병행 여 분․ 고자 다 이는 우리나라 역사 과 내러티. 를 보다 체계 이해 고 내러티 를 다양, 게 구 시사 도출 는 데 도움 이 있다고 단 이다. 본 연구는 국과 미국 등 역사 과 에 시 내러티 를 분 는 데 연구 목 이 있다 연구 는 다 과 같다. . 첫째 국과 미국 등 역사 과 에 , 시 내러티 식과 내용 어떠 가? 째 국과 미국 등 역사 과 에 , 시 내러티 사 에는 어떤 특징이 있는가? 본 연구는 국과 미국 등 역사 과 에 시 내러티 특징 분 함 써 우리나라 등 역사 과 내러티 특징, 상 이해 고 내러티 특징 좀 , 있는 과 개 시사 도출 다는 데 연구 가 있다. 연구 방법. Ⅱ 조사 상1. 이 연구에 는 국과 미국 등 고 역사 과 에 시 내러티 를 분․ 다 국 경우 개 과 에 른 사. , 2009 회과 과 를 상 며 특히 단6-1 , ‘2 원 근 국가 립 노 과 민족 운동 : ’ 분 다 미국 경우 출 사에 . Harcourt 상 Social Studies: The United States(2007) 며 를 , ‘Unit 2: Exploration and Settlement’ 분 다. 분석 거2. 미에 역사 내러티 는 역사 가리키지만 본 연구에 는 역사 과 , 내러티 를 다 과 같이 여 고자 다 내러티 란 이 이고 식 논리 인 지식. 명이 닌 이야 식 시 다, ‘ ’ 양 스토리에 부 인간 삶과 모든 이야 를 포 는 개 이다(Park, So-Young ․ Kim, Dae-Hyun, 2012). 내러티 과 내용 분 거 행연구(Park, So-Young Kim, Dae-Hyun, 2012)․ 에 여 다 과 같이 내러티 분 거 를 다. 내러티 식과 내용․ 내러티 사 특징․ 분석 방법3. 본 연구에 는 내러티 구 과 특징 분 해 내용 분 법 용 다 본 연구에. 는 내러티 범 에 다 항목들 외 다 연 지도 사진이나 삽 그림 그리고 . , , , , 과거 역사 름 논리 명 는 스트 스트 이해 도를 평가 는 질 등 외 다 본 연구에 는 역사 논리를 감소시. 키지 면 자 목소리가 보이는 만, 캐릭 이야 습자 감 이 담, - 492 - 이야 를 요구 는 동 습자에게 , 게 다가가는 다양 읽 자료 등 내러티 범 에 포함 다. 분석 결과. Ⅲ 한국1. 가 내러티 식과 내용. 본 연구에 분 단원 도입 소단원 개2 , 4 , 리 단계 구 다 단원에 시 내러티. 2 는 본 에 내러티 자 이야 만 , , 캐릭 질 상자 읽 자료 작 이야 , , 큰 역사 역사 능 등 구 었다, . Division Form Content Unit Introd uction Author's narrative Outline and Ask a Question Less on Introd uction Author's narrative Outline and Ask a Question Main Text Text Stimulate Student's emotion Caricature' s narrative Ask a Question or Give information Text box Reply or Enrich Text Small story, Big History Give a Question and reading materials Unit Last History Skill Give Problem-Solving Activities <Table 1> Forms and Contents of Narratives of Korea's Primary School History Textbook 나 내러티 사. 도입단계에 시 내러티 는 자가 본 내용 개 면 미를 고 핵심 내 용 내 는 질 어 있다 단원. 도입부에 시 내러티 는 다 과 같다. 세기말 우리나라는 개항을 요구하는 서양의 여19 러 나라와 일본의 침략을 받았다 우리 민족은 여. 러 방법으로 외세와 맞서 싸우며 항하 으나 무 력을 앞세운 일본에 나라를 빼앗겨 강압 인 식민 통치를 겪었다 우리 민족은 빼앗긴 나라를 되찾기 . 하여 어떤 노력을 하 을까? 세기에 조선은 나라 안 으로 어려움을 겪었다19 . 안으로는 세도 정치의 잘못으로 살기 어려워진 백 성의 기가 끊이지 않았고 밖으로는 서양과 일본, 의 세력이 조선을 하기 시작하 다 이에 조선. 은 세도 정치의 잘못을 바로잡고 서양과 일본의 세력을 막아 내려고 노력하 다 조선은 서양과 일. 본의 세력을 어떻게 막아 내려 하 을까 조선이 ? 개항할 수밖에 없었던 까닭은 무엇일까? 사 는 단원 시작 는 단계에 자가 해당 단원 내용 개 면 습자가 습, 해야 는 핵심 내용 내 는 질 시 것이다 이는 자 사고 름 보여주 . 에 습자들도 역사 사고를 모델링 있, 는 회를 공 다. 그리고 단원과 소단원 도입 내러티 뒤에 는 주 습 내용이 명 다 주 . 습 내용 가장 많 차지 는 것 본 이다 본 내용 에 자가 . 이야 를 건 는 식 었거나 자 사 고 과 이나 가 단이 드러나거나 습자 , 를 자극 거나 습자가 이야 를 도 부분 내러티 간주 고 분 다. 만 캐릭 이야 나 상자 작 이야 큰 , 역사 등 외 본 내용 부분 내, 용 자 목소리 없이 과거 사건들 명 는 태 어 있다 그러나 일부 내용에. 는 감 인 단어들 사 며 습자 를 자극 있는 부분들이 나타났다 특히 나. ‘ 라를 찾 노 단원에 해당 사 들 ’ 찾 볼 있었다. 헌병 경찰에게 체포된 독립운동가들은 고문을 받 다 죽기도 하 다 살아남아도 감옥에 갇 질병과 . 노동 배고픔에 시달렸다, . (p. 88) 토지 조사 사업 이후 많은 농민이 비싼 토지 사용 료를 내고 농사를 지어야만 했다 비싸진 토지 사. 용료와 늘어난 세 때문에 농민의 생활은 더욱 어려워졌다. (p. 89) - 493 - 도시로 일자리를 구하러 간 사람들도 가난한 생활 을 하 다 일본인이 경 하는 회사에서 은 임. 을 받으며 하루 시간이 넘는 힘든 일을 하 다12 . 일자리를 구하기 힘든 사람은 날품을 팔거나 구걸 하며 먹고살았고 주로 도시 주변 토막집에서 살았, 다. (p. 89) 사 들에 나타난 질병과 노동 고‘ , 에 시달 다 농민 생 욱 어 워 다’, ‘ ’, 루 시간이 는 힘든 일 다 등 ‘ 12 ’ 자 감 어 볼 있다 롭고 . 고통스러웠 삶에 자 감 이 담 습자에게 역사 감 이입 가능 공 다. 다 만 캐릭 이야 상자 읽, 자료 작 이야 큰 역사 등 내러티 가 , ‘ ’ 있다 만 캐릭 이야 사 들 다 과 같. 다. 강화도 조약은 왜 불평등 조약일까요? ․ 박규수가 일본 서양 세력과 통상해야 한다고 ․ 주장한 까닭은 무엇일까요? 최익 이 일본 서양 세력과 통상하는 것을 반․ 한 까닭은 무엇일까요? 근 문물이 들어와서 편리해진 은 무엇일까․ 요? 일제는 놋그릇 가마솥 농기구와 같이 속으로 , , ․ 된 생활 도구까지 빼앗아 갔습니다. 사 들 근 만 캐릭 를 용 여 습자가 생각해볼 질 시 거나 본 과 , 보를 공 는 태들이다 습자는 . 만 캐릭 질 과 이야 를 통해 보다 재미 있고 생생 게 습 있 며 만 캐릭 가 , 시 는 질 에 답 해 답 찾 는 사 고 동 게 다. 상자 읽 자료들 만 캐릭 질 에 답 있는 내용이나 본 내용 보충 심, 있는 내용들이 많다 그 사 는 다 과 . 같다. 강화도 조약의 주요 내용․ 서양 통상에 한 찬반의 입장 ․ 단발령에 한 찬성과 반 의 입장․ 근 문물 기차 화 차( , , )․ 일본의 독도 강탈․ 조선 태형령․ 한국 복군 창설․ 오동 투 청산리 첩 이 창 의거 윤 길 , , , ․ 의거 일제 강 기 어느 학생의 생활 일제 강 기 국, ․ 어학자의 항 역사학자의 항, 사 에 찬 입장에 는 양 통상과 단 에 내용이 있 며 습자, 여 찬 견 내도 함 써 역사 가 단 회를 공 다 그리고 일본 . 독도 강탈과 조 태 국 복군 창 이, 내용들 나라를 지키고 찾 노 보여 다 상자 읽 자료들 만 캐릭. , 질 에 답 있는 내용 구 경우 목 식 가지고 읽도 었 며 읽 , 자료 보를 포함 고 있어 습자 미 내용 이해에 도움 있 것 이다. 작 이야 큰 역사 내러티 는 목 질‘ ’ 태 시 고 내용 사진이나 삽, 등과 함께 고 있다 보통 소단원별 . 개 시 어 있 며 만 캐릭 나 상자1~2 , 를 많이 용 소단원에 는 생략 도 다. 작 이야 큰 역사 내러티 목 는 ‘ ’ 다 과 같 사 가 있다. 조선왕조의궤는 왜 랑스에 있었을까․ 안 근이 이토 히로부미를 격한 까닭은 무엇일․ 까 유 순이 고향에서 만세 시 를 벌인 까닭은 무․ 엇일까 이회 과 그의 형제들이 만주로 간 까닭은 무엇․ 일까 윤동주는 어떻게 독립운동을 하 을까․ 작 이야 큰 역사 에 목 시 ‘ ’ 질 들 주 인 다루고 있 며 (Why), 엇 어떻게 등 포함 고 있어 (What), (How) 습자 다양 사고를 허용 다 작 이. - 494 - 야 큰 역사에 포함 내러티 에는 질 에 답 있는 내용 읽 자료뿐만 니라 질 상 실 사진 그림 건축 작품 시, , , ( ) 등도 포함 어 있어 척 미 운 습이 가 능 것 보인다. 역사 능 내러티 는 습자 해결 동 다 본 연구에 분 단. 원에 는 역사 능 시사만평 읽 를 시‘ ’ 며 단계 동 있도 었다, 4 . 시사만평이란 무엇일까․ 시사만평은 어떻게 읽어야 할까․ 질문에 답하며 시사만평을 읽어 보자․ 시사만평을 스스로 읽어 보자․ 시사만평 읽 에 는 만 캐릭 질 ‘ ’ 통해 습자 다양 이해 해 가능 게 다 습자 경험이 경이 는 이야 를 도. 출 있는 내러티 라 있다. 다 내러티 특징. 우리나라 등 역사 과 에 시 내러티 특징 다 과 같이 시 있다. 첫째 단원 도입 주 습 리 단계에 , , , 골고루 내러티 를 용 다. 째 자 목소리 타인 목소리를 들, 써 미 핵심 내용 이해에 도움이 있는 내러티 를 용 다 단원 도입 . 내러티 는 자 목소리를 통해 본 내용 개 고 핵심 내용 있는 질 시 었 며 다양 만 캐릭 타인 이야, ( ) 를 통해 습자가 만 캐릭 를 나 면 습 내용에 근함과 이해도를 높일 있도 다. 째 습자 목소리를 들 있는 질 , 시 고 질 에 답 있는 내용 담 내, 러티 를 용 다 상자 읽 자료 경. 우 만 캐릭 가 시 는 질 에 답 있도 내용이 구 었다 작 이야 큰 역사 는 . ‘ ’ 엇 어떻게를 는 질 과 그에 답 있, , 는 내용 시 고 있다. 째 습자 산 사고를 개 있는 , 내러티 를 용 다 리 단계 역사 능. 에 용 내러티 는 습자가 다양 상상과 택 있게 함 써 습자 산 사 고 개 는 데 도움이 있다. 미국2. 가 내러티 식과 내용. 본 연구에 분 단원 개 단(Unit) 3 원 구 어 있고 단원 개 (Chapter) , 3~4 소단원 구 다 단원 도입과 (Lesson) . 소단원 도입 본 리 단계에 시 내러, , 티 태는 다 과 같다. Division Form Content Unit Introd uction Practice Read the paragraphs, and identify details that support the main idea Apply Read the paragraphs, and answer the question Start with a Journal The log of Christopher Columbus Less on Introd uction You Are There History including reader Main Text Text Narrative Text Biography Presented in most of the lesson C h i l d r e n in History Dipending on the lessonPoints of View Review Critical Thinking Write A Scene Cha pter Last Critical Thinking Present questions Unit Last Critical Thinking Present questions Activities Writing, Project, Read More, Online adress <Table 2> Forms and Contents of Narratives of American Primary School History Textbook - 495 - 나 내러티 사. 단원 도입부에 시 ‘Practice’ ‘Apply’ 는 소개 고 용 도 는 내러티 이Skill 다 에 는 소개 며 에. ‘Practice’ ‘Skill’ , ‘Apply’ 는 이를 용해보는 시간 갖게 다 본 연. 구에 분 단원에 시 능 핵심 이 어 이를 명 는 구체 인 사실들 인 는 것이다 이 능 익히 해 라는 미. Taino 국 원주민 소재 읽 자료를 시 다. 그리고 이어 시 는 는 ‘Start with a ~ ’ 시 이야 등 시작 는 내러티 이다, , . 이 단원에 는 시작 며 럼버스 행, 소개 다 월 일 월 일 월 . 1492 9 9 , 10 11 , 10 일 담고 있 며 덧붙여 가지 12 , 질 시 다 나 질 핵심 이 어. 구체 사실 인 는 질 이며 나 , 질 습자에게 럼버스가 했 것과 같 여행에 도 있겠는지 닌지 그 이 를 생각해보도 는 질 이다. 각 소단원 여러분이 거 에 있다‘ (You are 시작 는데 이는 습자가 당시 상황 there)’ , 속에 살고 있다고 가 이야 이다 를 들면 . 다 과 같다. 년 월이다 는 한 달 넘게 바다에 있다 앞1497 6 . . 서 는 국에서 콜럼버스의 탐험에 해 듣고 이 여행을 하기로 서명을 했다 그러나 지 는 . , 다시 생각하기 시작했다 안개가 배 주변에 자욱하. 다 탑승한 부분의 사람들은 걱정하는 듯이 보인. 다 한 승무원은 차가운 공기가 뼛속까지 춥게 . ‘ 한다 고 말한다 는 안개 속을 들여다보려고 애’ . 를 쓰지만 소용이 없다 밖의 모든 것이 불안스럽. 다. (p. 118) 년이다 는 아래에 거 한 만이 내려다보이1650 . 는 언덕 에 서 있다 두 달 에 는 국에서 . 배를 타고 메릴랜드 식민지로 왔다. 땅은 사람들로 북 거리는 런던의 거리와 매우 다 르게 보인다 담배 밭과 다른 농작물들이 시선이 . 머무는 데까지 펼쳐진다 는 런던에서 직장을 구. 할 수 없었기 때문에 메릴랜드에 왔다 주변을 둘. 러보았을 때 는 많은 일을 하게 될 것이다, . (p. 194) 사 들 과거 상황 속에 습자를 면 습자 여 마 역사 속 인, 이 것처럼 느끼게 다 이는 일종 타임. 신과 같 장 이다 습자들 여러분이 거. ‘ 에 있다 라는 타임 신 타고 과(You are there)’ 거 시간 여행 게 다. 편 본 내용 역사 사실 명 는 , 내용 이외에 내러티 태 부분들 살펴볼 있었다 이는 자 목소리를 . 이었다 를 들면 탐험 즈니스 간주. , 면 험과 보상 업가 등 용어를 사용‘ ’, ‘ ’ 여 부분이 있다. 탐험가들은 기업가가 되어야 했다 그들은 기업가. 가 사업을 개시하고 운 하는 것처럼 탐험을 계획 하고 실행했다 흔히 탐험가들은 뭔가를 성취하고 . 얻기 해 기울여야 하는 노력과 비용이 탐험의 모험 가치가 있다는 것을 다른 사람들에게 설득시 켜야 했다 선박과 물품들은 상당한 비용을 필요로 . 했다 한 많은 험들이 있었다 를 들면 배가 . . , 가라않을 수가 있고 탐험가가 값비싼 물품들을 발, 견하지 못할 수도 있었다. (p. 112) 사 에 특히 히 탐험가들 가‘ 를 취 고 얻 해 울여야 는 노 과 용이 탐험 모험 가 가 있다는 것 다른 사람 들에게 득시 야 했다 는 장 탐험가 자’ 질 는 역 에 자 목소리가 것 볼 있다. 본 에 나 주 상황 인 등 를 ( , ) 여러 단에 걸쳐 내러티 들이 있다. 를 들면 에 는 럼버스 , Chapter 3 Lesson 2 다른 탐험가들 항해 탐험 심 변 는 계를 상 게 사 다 . Chapter 4 에 는 청 도들 이 라워 항Lesson 3 해 약에 여 구체 사 다 나. 소단원 동일 주 래 각 단들이 계 속해 이어지는 이야 구조 어 동일, 상이 주어 는 목 어 복 여 시 다 사 이 라워 약에 단 . - 496 - 다 단 구 다 일부를 시 면 다. 과 같다. 메이 라워는 버지니아를 향했지만 폭풍이 불면서 , 배를 코스에서 벗어나게 했다 신에 메이 라워. 는 지 매사추세츠인 에 상륙했다Cape Cod . 정착자들은 정부가 없는 곳에 도착했다 질서를 지. 키기 해 메이 라워에 탑승한 모든 사람들은 서 약 는 정에 서명했다 이 문서는 메이 라워 . 서약으로 알려지게 되었다 서명자들은 공정한 법. 이 식민지의 선을 해 만들어졌다는 데 동의했다. 그들은 이 법을 수하기로 약속했다. 메이 라워 서약은 서명한 사람들에게 그들 스스 로를 통치할 수 있는 권리를 주었다 군주가 통치. 하던 시 에 셀 정부는 매우 새로운 아이디어- 다 한 메이 라워 서약은 다수의 규칙이라는 . 아이디어를 포함했다 과반수의 사람들이 어떤 법. 이나 결정에 동의한다면 모두가 그것을 따라야했, 다. (p. 160) 사 는 이 라워 약에 개 과 본 지식 간단히 달 고 마 는 것이 니라 이 라워 약이 등장 게 경에, 부 약 특징에 이르 지 여러 단에 걸 쳐 구체 이야 다 이는 나 주 를 . 구체 인 이야 느껴지게 는 목이라 있다. 경우 부분 소단원에 (Biography) 시 는데 이는 쪽 분량 작 었다 본 , . 연구에 분 단원 들 신뢰 존경, , 책임 공 돌 국 가지 가 를 다루고 , , , 6 있 며 나 에 나 가 가 었, 다 시 들 다 인 삶 통해 . 주요 가 를 다룬다. 노 로 팔려간 아 리카인 고용주의 요Estevanico( , 구에 의해 북미를 탐험하던 에 사망 신뢰성 )_ (p. 133) 북미 원주민들의 삶을 개Bartolom de Las Casas(é 선하기 해 노력한 최 의 유럽인 책임 )_ (p. 151) 추장의 딸 정착민들과의 평화 계Pocahontas( , 를 형성 돌 )_ (p. 157) 종교 자유를 해 투쟁하다 미Anne Hutchinson( 국 원주민의 공격에 의해 사망 공정함 )_ (p. 185) 건 를 살펴보면 억울했지만 주인 신4 , 뢰를 얻어 모험 인 삶 살 노 원주민 , 해 책임감 가지고 행동했 럽인 착민, 에게 도움 주면 평 운 계를 만들었 원주민 추장 모 에게 공 종 자, 를 해 일 다가 원주민 공격 사망 럽인 등 삶이 이야 었 있다 이 . 들 노 럽인 원주민 등 다양 사회 , , 지 인 들 다루고 있 며 신뢰 책임 돌, , , 공 함 등 가 를 직 내 우면 , 인 들 삶 개 다 그리고 각 이야 . 마지막에는 생들이 생각 있는 질 시 는데 이는 가 담고 있는 신뢰 책임, , , 돌 공 함 등 가 들 생각해보도 요구, 다 에 포함 질 들 다 과 같다. . 의 행동은 어떻게 그가 신뢰받을 수 있Estevanico․ 었다는 것을 보여주었는가? (p. 133) 는 북미 원주민들의 우Bartolom de Las Casas․ é 를 한 책임감을 어떻게 가졌는가? (p. 151) 의 행동은 어떻게 그녀가 타인을 돌보Pocahontas․ 았다는 것을 나타내는가? (p. 157) 은 어떤 에서 공정하게 처리하Anne Hutchinson․ 기 해 투쟁했는가? (p. 185) 질 들 를 읽고 가 도 가, 에 해 해당 인 삶과 지어 생각 있는 시간 습자에게 공 다. 다른 내러티 는 역사 속 이들‘ (Children in History)’, ‘ (Points of View)’, ‘ 사고 등이 있다 역사 속 이들’ . ‘ ’ 에 는 럼버스 탐험에 동승 원들 명인 소 를 소개12 Diego Bermúdez 다. 략 디에고는 배에서 가장 낮은 지 의 사환이... 었다 사환은 부분의 선원들이 하고 싶어 하지 . 않는 일 를 들면 요리 세탁 시간을 확인하는 , , , , 일 등을 한다 디에고는 분짜리 유리를 이용해서 . 30 시간을 확인했다 디에고는 모래가 유리의 바닥까. - 497 - 지 모두 떨어지는 분 간격으로 벨을 울리고 짧30 은 기도를 외쳤다 모든 사람들은 그의 행동을 통. 해 시간을 알 수 있었다. 여러분은 집이나 학교에서 어떤 일을 해야 하는 가? (p. 114) 사 에 는 생들 래 과거 인 에 해 이야 면 재 삶 생각 있는 질 시 다 이러 질 통해 생들 . 과거 재를 지 있게 다. 인 에 내러티 가 태 만 ‘ ’ 시 는 것 니다 본 에 도 인 에 이. 야 가 자주 는데 이 는 가 추구했, ‘ ’ 것처럼 가 짓 보다는 탐험과 착, 과 에 맞추어 다. 이라는 목 내러티‘ (Points of View)’ 는 럼버스 탐험에 가지 시 뒤에 개 질 시 다 나는 요약, . 는 질 이고 나는 재 과거를 지, 있는 질 이다. 아메리카 원주민 리더 콜럼버스의 도착은 처음: ① 부터 재난이었다 그는 즉시 카리 섬의 인. ... 디언들을 노 로 만들기 시작했다. 교사 작가 콜럼버스 항해의 주요한 장기 인 : ② 요성은 그것이 측할 수 없었던 규모로 세 상의 사람들을 섞어 놓았고 미국이 인종 으로 , 가장 다양한 사회가 되는 과정을 발시켰다. 교사 작가 콜럼버스가 도착했을 때 히스 니: , ③ 올라 섬에 많은 타이노족이 살았음에도 불구하 고 그들 수의 격한 감소는 유럽 계약의 가장 , 놀라운 즉각 인 향이었다. 이 여러분 차 요약하기․ 련짓기 여러분과 친구는 왜 하나의 사건이나 . ․ 아이디어에 다른 을 가지는가? (p. 125) 사 에 는 럼버스 탐험 가지 시각 이해 보다는 가지 이상 시각, 이 있 있다는 습자에게 보여 다. 그리고 습자 스스 차이에 해 인식 있는 질 시 다. 다 는 소단원 리 단계에 시 는 사고 쓰 내러티 를 들 있다‘ ’ ‘ ’ . 사고 경우 소단원 단원 단원 ‘ ’ , , 리 단계에 모 시 다 소 단원에 . , , 시 사고 질 가지 시 면 ‘ ’ 다 과 같다. 소단원 여러분은 남부 식민지에 환 작물이 없: ․ 었다면 노 제도가 성장했을 거라고 생각합니 까 설명하세요? . (p. 201) 단원 무역과 기술은 탐험의 성장에 어떻게 : ․ 요한 역할을 하 는가? (p. 143) 단원 여러분이 뉴잉 랜드 식민지에서 성장했: ․ 다면 여러분의 삶은 어떻게 달라졌을 것이라고 , 생각하는가 동 식민지에서 성장했다면 남부 ? ? 식민지에서 성장했다면? (p. 207) 소단원과 단원에 시 사고 질‘ ’ 과 지식 용 여 분 이고 인 사고를 것 요구 다 면 단원에 시 . , 사고 질 분 이고 질 에 ‘ ’ 추가 여 습자 상상 요구 는 질 이 시 다 그리 여 습자들 상상 여 . 시간 여행 고 그 여행 결과에 해 이야, 를 풀어가야 다 시간 여행 경우 도입 부. , 분에 시 여러분 거 에 있다 를 통해 도 ‘ ’ 가능했는데 도입 부분에 는 시간 여행 는 , 것 간주 만 면 지만 단원에 시, 사고 질 상상 도 요 구 다는 에 차이가 나타난다. 쓰 경우 생들에게 상상 고 탐구 ‘ ’ , 것 요구 다 를 들면 스페인 원과 타이노 . , 리 간에 이루어지는 짧 를 쓰도 거 나 탐험가 함께 여행 는 것처럼 상상(p. 115), 여 여행 일지를 쓰도 다거나 스페(p. 132), 인이 임 를 부여 이 에 해 조사 여 짧 보고 를 쓰도 다거나 매사 에 (p. 150), 착 사람인 것처럼 가 고 국에 있는 구에게 편지를 쓰도 는 쓰 등이 (p. 184) - 498 - 있다 이는 생들 다양 지식과 등 . 내러티 가 담 쓰 가 있다. 단원 리 단계에 는 를 통해 ‘Activities’ 습 것 도 는 동들이 시 다 이는 쓰 트 구 다. ‘ ’ ‘ ’ . ‘ 쓰 경우 북미 새 운 식민지 착자들’ 도 득 는 고를 쓰도 며, ‘ 트 는 북미 탐험과 식민지 에 해 시’ 는 만들도 다. 다 내러티 특징. 미국 등 역사 과 에 시 내러티 특징 다 과 같이 시 있다. 첫째 과거 재를 지 있는 내러티, 들 다양 태 용 다 소단원 도. 입부에 시 여러분이 거 에 있다 는 습자‘ ’ 가 시간여행 있도 며, ‘ ’, 역사 속 이들 등 내러티 에 도 ‘ ’, ‘ ’ 읽 자료 질 통해 습자 여 재 삶 찰 있는 회를 공 다. 째 시민 요소라 있는 가 들 , 내러티 에 직 다 본 연구 단. 원에 는 신뢰 책임 돌 공 함 등 가 를 , , , 내러티 지어 시 다. 째 본 핵심만 시 는 객, 언어뿐만 니라 자 견이나 가 가 포함 내러티 구체 이야 를 풀어가 는 내러티 를 용 다 탐험가를 업가 . 사 는 사 를 통해 과거 인 과 재 인 연속 상에 있게 며 나 , 사건 이 닌 여러 단에 걸쳐 자, 게 함 써 역사를 쉽게 이해 있게 다. 째 부분 내러티 는 읽 자료 함께 , 생들 목소리를 내도 는 질 시 다 이 질 들 요약 는 질 분 사고. , 상상 요 는 질 과거 재를 짓, 는 질 들이었다. 다 째 다양 장르 내러티 를 용 다, . 편지 보고 등 , , , , , 내러티 를 시 거나 습자가 직 만들어 , 내도 요구함 써 다양 인지 를 가능 게 다. 논의 결론. Ⅳ 본 연구는 국과 미국 등 역사 과 에 시 내러티 를 분 는 데 있다 본 . ․ 연구 결과를 통해 양국 과 에 시 내 러티 특징 이해함 써 내러티 특징, 보다 잘 살릴 있는 과 개 시사 고자 다. 우리나라 등 역사 과 경우 단원 도, 입 주 습 리 단계에 내러티 를 골고루 , , 용 며 자 만 캐릭 목소리를 , 내는 읽 자료 심 내러티 습자 목소, 리를 내도 요구 는 질 태 내러티 , 습자 를 자극 는 스트 산 사고를 , 요 는 내러티 등이 용 었다. 미국 등 역사 과 경우 과거 재를 , 지 있는 내러티 시민 가 를 , 직 내러티 이야 태 자, 게 풀어가는 내러티 스트 질 포함, 함 써 생들 다양 사고 과 상상 도 내러티 다양 장르 내러티 , 등이 용 었다. 우리나라 미국 내러티 사 를 통해 나타난 공통 과 차이 다 과 같다. 첫째 과 도입 단계에 내러티 가 , 용 다는 이 공통 나타난다 우리나라 . 경우 도입 단계에 자 목소리가 담 내용 개 과 핵심 내용 시사 는 질 태 내러 티 를 시 다 역사. Jeong, Ji-Whang(2005) 가 역사 인식과 해결 답 구 여 것 강조 있는데 도입 단, - 499 - 계에 내러티 는 이러 특징 다고 있다 미국 과 도입 단계에 는 . 습자가 마 과거에 존재 는 것처럼 사 내 러티 를 용 다는 에 우리나라 도입 단계 내러티 차이가 있다. 우리나라 도입 내러티 에 는 자가 습 자를 과거 시간 속 내 는 듯 느낌 주며 각 단원에 습해야 핵심 내용이 , 엇인지를 있게 면 미국 경우에는 , 습자가 마 과거에 존재 는 것처럼 사 읽 자료를 시함 써 습자 여 역, 사 감 이입 가능 높일 있 것 보인다는 에 차이가 있다. 째 읽 자료 질 함께 시 내러티, 를 용 다는 이 공통 나타난다. 우리나라 경우 질 시 고 읽 자 료를 시 경우가 많고 미국 경우 읽 자, 료를 시 고 질 마지막에 경 우가 많다는 에 차이가 있다 질 . 시 경우 질 에 답 목 식 가 지고 자료를 읽게 다는 에 미가 있다. 그리고 자료 에는 질 에 답이 부분 시 어 있다. 그런데 미국 경우 질 에 답 해 는 , 읽 자료에 시 내용 탕 약간 추 과 상상 해야 다. Jeong, Ji-Whang 역사 상상 보여주는 내러티 (2005) 용 있다 우리나라 과 에도 . 습자 역사 상상 요구 는 내러티 가 존재 다 를 들면 습자가 일 강 에 . , ‘ 살고 있다면 독립 여 어떤 일 있 지 생각해보도 는 내러티 가 있(p. 100)’ 다 미국 과 경우 과거 재를 지어 . 상상해보도 요구 는 질 이 자주 용 다. 째 본 스트 에 객 뿐, 만 니라 자가 이야 는 내러티 부분이 공통 나타난다 우리나라 경우 . 주 습 본 내에 상자 이나 만 캐릭 읽 자료 등 태 내러티 를 시, 는 경우가 많고 본 스트 에 는 , 부분 자 목소리가 나타나지 채 간략 명식 다 그러나 일부 소단원에 는 . , 자 견과 가 가 포함 내러티 가 용 도 다 면 미국 경우 자 견이나 . , 가 가 포함 과 이야 를 구체 풀어 나가는 이 많이 용 다는 차이가 있었다. 연구자들 역사 이 추상 이고 객 인 자 를 강조 뿐만 니라 생들 여 , 과 내용 부 일 거리를 지 게 는 객 언어 시 며 단락들 사이에 일‘ ’ , 이 부족 다고 지 다(Ahn, Jung-Ai, 2007). 우리나라 경우 페이지에 다양 상황이 사 어 각 단마다 다른 내용 명 는 경우 가 많고 단이 명이 나는 경, 우가 있다 면 미국 과 에 는 나 내. , 용 여러 단에 거쳐 구체 이야 는 차이가 나타난다 우리나라 경우 과 지면 . 약 단가 인해 페이지에 많 내용이 담겨 가능 도 있 것 추 다. 째 역사 능 내러티 가 공통, 용 었다 우리나라 경우 리 단계에 . 역사 능 다루는 내러티 를 용 는 면, 미국 경우에는 도입 단계에 역사 능 다 루는 내러티 가 있게 다루어진다는 에 차이가 있다 미국 경우 리 단계에 도 . 사고 같 역사 능 요 는 질 용 는 지만 도입 단계에 역사 능 , 내러티 용이 많 편이다 역사 . 능 내러티 가 도입 단계에 시 경우, 본 습 는 동 역사 능 용 있 다는 에 미가 있다 면 우리나라 같이 . , 역사 능 내러티 가 리 단계에 시 경우 해당 단원 습이 난 후 내용 이, 해 고 리 는 데 도움 있다. 다 째 역사 인 에 내러티 를 공통, - 500 - 용 다 우리나라 경우 상자 이. ‘ ’ 나 작 이야 큰 역사 등 용 여 나라를 ‘ ’ 해 쓴 인 들과 당시 생 삶에 이야 가 시 었다 미국 경우 를 통해 노. ‘ ’ 럽인 원주민 등 삶에 이야 를 , , 시 다 편 우리나라 경우 역사 인 에 . , 내러티 를 통해 역사 사건 인 에 이해 간 인 감 이입 가 것 는 면 미국 경우 를 통해 신뢰, ‘ ’ , 존경 책임 공 돌 국 등 시민 , , , , 요소를 직 시 다는 에 차이가 있다. 이는 사회과 역사과 격과 과 목 차이에 롯 었 있다 우리나라 . 사회과 목 에 르면 사회과는 민주 시민, 「 」 자질 갖추는 데 있고 등 과 에 , 시 역사과 목 는 인간 삶에 이해 「 」 목 키우는 과목 고 있다(MOE, 미국 사회과를 과 2015). 「 」 에 르면 사회과는 시민 향상시키 해 , 과이고 미국사를 과 , 「 에 르면 역사과는 시민 함양 목, 」 다 미국 경우 (Joo, Woong-Young, 2010). 역사과 사회과 목 마찬가지 시 민 함양 우 에 를 통, ‘ ’ 해 시민 가 를 고자 것 이 해 있다. 본 연구를 통해 내러티 를 용 과 개 시사 다 과 같이 도출 있었 다 첫째 과거 재를 짓는 내러티 를 . , 극 용 는 고 요가 있다. 과거에 미를 느끼고 공감 면 습 해 는 과거 재를 지어 생각 있는 다 양 내러티 용이 요 다 재 우리나. 라 과 에도 과거 재를 짓는 내러티 가 용 고 있 므 향후 읽 자료나 질, , 습자 동 등과 같이 다양 태 내러티 를 통해 습자가 과거 재를 지 있 는 회를 는 고 요가 있다. 째 역사 능 다루는 내러티 를 본, 에 용 있도 조직 는 고 요가 있다 재 우리나라 과 에도 역사. 능 다루는 내러티 가 어 있지만, 리 단계에 시 고 있어 본 내용 습 면 용 에 어 움이 른다 컨 역. , 사 능 다루는 내러티 를 도입 단계에 다면 해당 단원 습 는 동 역사 , 능 용 가능 이 높 질 것 상 다. 요컨 역사 능 내러티 를 본 에 용 , 있도 조직 는 고 요가 있다. 째 등 역사 이 사회과 , ‘ 역사 습 격 지향 있도 내러티’ 를 용 는 고 요가 있다 입시 . 주 역사 습이 니라 사회과 역사, 습이 해 는 특히 민주 시민 권리 책 를 진 있게 들이도 도울 있는 내러티 용이 요 다 라 역. 사 통해 사회과가 추구 는 민주 시민 자질 함양 는 데 여 있도 민주 시민 양 가 요소를 다루는 내러티 를 용 는 고 요가 있다. 째 본 함에 있어 자가 이야, 는 식 내러티 를 보다 있는 이 요 다 자가 이야 는 내러티 는 내. 용에 장감 공 있 이다. 지면 에 과 가 다루어야 , 내용 모 다루 해 는 간결 명이 욱 효과 일 있다 그러나 과 . , 지면이 라면 자 이야 를 라인 , 공 고 해당 라인 주소를 과 에 소개 는 도 고 있 것이다. 본 연구는 과 를 심 내러티 특징 들 분 에 실 업 장면에, ․ 이루어지는 과 내러티 용에 부분 다루지 못 다 후속 과 에 . 시 내러티 를 업에 어떻게 용 는지 - 501 - 에 연구를 행 요가 있다 본 연. 구에 는 내러티 포 인 특징 심 분 에 역사 사고 능과 내러티 를 , 지어 분 지는 못 다 라 후속 연. 구를 통해 역사 사고 능 함양 균 내러티 개 연구 요가 있다. References Ahn, Jung-Ai(2007). Narrative text and history learning, History Education, 103, 35~67. Barton, K. C. & Levstik, L. S.(2004). Teaching history for the common good, Mahwah, New Jersey: Larence Earlbnaum Associates, Inc., Publishers, p.133. Berson, M. J. Howard, T. C. & Salinas, C.(2007). Social Studies: The United States. Florida: Harcourt. Bruner, J. S.(1986). Actual minds, possible worlds. Cambridge, Mass.: Harvard University Press. Cho, Soo-Hyun Park, Chang-Un(2013). The analysis on degree of concerns for STEAM education of elementary school teachers, The Hournal of Fisheries And Marine Sciences Education, 25(3), 743~755. Jeong, Ji-Whang(2005). A study on developing historical thinking by applicating narrative description, Elementary Social Studies Education, 17(2), 92~118. Joo, Woong-Young(2010). The purpose of history education in the subject of elementary Social Studies and History class, The Journal of History Education, 45, 3~32. Kang, Hyun-Suk So, Kyung-Hee Park, Chang-Un Park, Min-Jeong Choe, Yun-Gyeong Lee, Ja-Hyun Joint Translation(2007). The theory and practice of narrative curriculum. Seoul: Hagidang. Kang, Hyun-Suk Kim, Kyung-Su Joint Translation(2010). Making Stories. Kyunggido: Education Science Company. Bruner, J. S.(2002). Making Stories: Law, Literature, Life. Kang, Sun-Joo(2011). How should elementary school History organized? History Education, 117, 29~63. Lee, Ju-Yeon Kim, In-Sook(2014). The effects of applicating narratives at the history instruction in the elementary school, Journal of Curriculum Integration, 8(3), 195~221. Moe(2015). Social Studies Curriculum. Moe(2016). Social Studies 6-1. Seoul: Dong-A Publisher. Moon, Jae-Kyung(2015). 2014 Survey of awareness about history of elementary schoolchild, History and Educaion, 12, 25~65. Moon, Jae-Kyung Jeong, Mi-Ran(2015). Review of awareness of elementary history, History and Educaion, 11, 22~59. Park, Min-Jeong(2006). A theoretical investigation on the concept of narrative: Storytelling, meaning-making, and communication, Asian Journal of Education 7(4), 27~47. Park, So-Young Kim, Dae-Hyun(2012). An analysis of narrative text described in elementary S ocial Studies textbook of South Korea and the US, The Journal of Educational Research, 10(4), 125~150. VanSledright, B. & Brophy, J.(1992). Storytelling, imagination, and fanciful elaboration in children’s historical reconstructions, American Educational Research Journal, 29(4), 837~859. Won, Hyo-Heon(2010). Exploration of teaching elements on pedagogical content knowledge(PCK) for teaching professional growth, The Journal of Fisheries And Marine Sciences Education, 22(2), 231~244. Yu, Jeong-Mi Choi, Yong-Gyu(2010). Developing elementary history material using contrast narrative, Social Studies Education Research, 12, 67~94. Received : 15 March, 2016 Revised : 08 April, 2016 Accepted : 11 April, 2016 
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work_cqv564wo5je4pdvm6frexbe7da	----	esj020 107..113 Iberian Origins of New World Horse Breeds CRISTINA LUÍS, CRISTIANE BASTOS-SILVEIRA, E. GUS COTHRAN, AND MARIA DO MAR OOM From the Centro de Biologia Ambiental, Departamento de Biologia Animal, Faculdade de Ciências, Universidade de Lisboa, Edifı́cio C2-Piso 3, Campo Grande, 1749-016 Lisboa, Portugal (Luı́s, Bastos-Silveira, and Oom); and the Department of Veterinary Science, University of Kentucky, Lexington, KY 40546-0099 (Cothran). E. G. Cothran is now at the Department of Veterinary Integrative Biosciences, College of Veterinary Medicine and Biomedical Sciences, Texas A&M University, College Station, TX 77843. Address correspondence to C. Luı́s at the address above, or e-mail: cmluis@fc.ul.pt. Abstract Fossil records, archaeological proofs, and historical documents report that horses persisted continuously in the Iberian Peninsula since the Pleistocene and were taken to the American continent (New World) in the 15th century. To investigate the variation within the mitochondrial DNA (mtDNA) control region of Iberian and New World horse breeds, to analyze their relationships, and to test the historical origin of New World horses, a total of 153 samples, representing 30 Iberian and New World breeds, were analyzed by sequencing mtDNA control region fragments. Fifty-four haplotypes were found and assigned to seven haplogroups. Reduced levels of variation found for the Menorquina, Sorraia, and Sulphur Mustang breeds are consistent with experienced bottlenecks or limited number of founders. For all diversity indices, Iberian breeds showed higher diversity values than South American and North American breeds. Although, the results show that the Iberian and New World breeds stem from multiple origins, we present a set of genetic data revealing a high frequency of Iberian haplotypes in New World breeds, which is consistent with historical documentation. The genus Equus evolved in North America, and during the first major glaciations of the late Pliocene (2–3 million years ago), some species crossed to Eurasia. North American and South American Equus species became extinct about 10,000 years ago from causes that are not fully understood, probably due to a combination of overhunting by humans and environmental causes, such as climatic changes (e.g., Clutton-Brock 1996). However, horses persisted continuously on the Iberian Peninsula since the Pleistocene (1.8 million years ago) even during the Mesolithic, when the horse became extinct north of the Pyrenees (Gonzaga 2004). Gene flow between horse populations of Iberia and North Africa occurred at multiple times throughout history. Exchanges between these two regions were particularly fre- quent during the long period of occupation of the Peninsula by the Moors (AD 711–1492), who brought Barb horses from North Africa (e.g., Oom 1992). Horses only returned to the American continent (the New World) in 1493, with the navigator Christopher Columbus and during the subsequent Spanish colonization period (Bort 2004; Primo 2004). Those stallions and mares were bought in Seville’s province, mainly from the peasant stock bred in the islands and salt marshes of the Guadalquivir River (Bort 2004). Historical records report the presence of around 70 horses on the first colony of La Española (Dominican Republic and Haiti) by the year 1503. Subsequently, horses were brought into Panama (1514), Mexico (1524), Brazil (1531), Peru (1532), Argentina (1535), and Florida (1538) (Digard 1994). By 1553, there were some 10,000 free-roaming horses in the area of Queretaro (Mexico) that spread throughout North and South America (Clutton-Brock 1992). Analysis of the mitochondrial DNA (mtDNA) control region sequence diversity has been an important tool for understanding the origin and diversification of domestic horses. Studies by Jansen et al. (2002), Lister et al. (1998), and Vilà et al. (2001) all point to extensive variation within and among breeds, with little congruence of haplotype assignment to breed or geographic region. These studies suggest that the domestic horse arose from several distinct wild horse populations and distributed over a moderately extensive geographic region large enough to contain con- siderable preexisting haplotype diversity and that there was considerable mixing of these haplotypes after domestication. Here we compare the mtDNA control region variation in Iberian and New World horse breeds in order to under- stand their relationships and test the accuracy of historical documentation of New World horse origins. Journal of Heredity 2006:97(2):107–113 doi:10.1093/jhered/esj020 Advance Access publication February 17, 2006 ª The American Genetic Association. 2006. All rights reserved. For permissions, please email: journals.permissions@oxfordjournals.org. 107 b y g u e st o n O cto b e r 1 0 , 2 0 1 0 jh e re d .o xfo rd jo u rn a ls.o rg D o w n lo a d e d fro m mailto:journals.permissions@oxfordjournals.org mailto:cmluis@fc.ul.pt http://jhered.oxfordjournals.org/ Materials and Methods DNA Samples We analyzed 90 samples, representing 3 Iberian, 4 North American, and 12 South American breeds (Table 1). When pedigree information was available, we selected unrelated individuals. DNA was extracted from (1) fresh whole-blood samples after a high-salt extraction procedure (Montgomery and Sise 1990), (2) frozen whole-blood samples using the QIAmp Mini Blood Kit (Quiagen Inc., Valencia, CA), (3) frozen blood lysates using the Puregene Genomic DNA Isolation Kit (Gentra Systems Inc., Minneapolis, MN), and (iv) hair roots using Chelex-100 (Walsh et al. 1991). DNA Sequencing The universal primers L15926 and H16498 (Kocher et al. 1989) were used to amplify 360- to 442-bp fragments be- tween sites 15411 and 15852 according to the horse reference sequence X79547 (Xu and Árnason 1994), including the Table 1. Number of samples sequenced in this study and gathered from GenBank and the respective main geographic location, breed, breed’s code, and GenBank accession numbers Number of samples Geographic location Breed Code This study GenBank Accession number Iberia Asturcon AST — 6 AY519872, AY519875–76, AY519879–81 Caballo de Corro CCO — 6 AY519884–86, AY519888, AY519890, AY519897–98 Cartujano CTJ — 6 AY519897–98, AY519900, AY519902, AY519904, AY519906 Garrano GR 3 3 AF516500–01, AY997193, AY246231, AY246233, AY246235 Lusitano LUS 6 — AF516502–05, AY997194–95 Losino LOS — 6 AY519924–25, AY519928, AY519930, AY519932, AF466009 Mallorquina MA — 2 AF466013–14 Marismeño MAR — 6 AY519934, AY519936, AY519938, AY519940, AY519942, AY519944 Menorquina ME — 2 AF466015–16 Potoka POT — 6 AY519958–60, AY519963, AY519967, AF4666012 Pura Raza Española PRE 6 — AY917165–66, AY917168, AF516509–11 Sorraia SOR — 2 AF447764–65 Barb BA — 6 AJ413658, AJ413661, AJ413664–66, AJ413668 North America Florida Cracker FC 3 — AY997150–51, AY997192 Kiger Mustang KM 6 — AF516489–90, AY997152–55 Spanish Mustang SM 4 — AY997178–81 Sulphur Mustang SUL 6 — AF516494–95, AY997187, AY997200–02 Mustang MU — 6 AJ413753, AJ413797, AJ413802, AJ413804, AJ413807, AJ413817 South America Argentine Criollo AC 1 5 AF465986–90, AY997128 Brazilian Criollo CR 6 — AF516496, AF516498, AY997145, AY997147, AY997149, AY997190 Campolina CMP 6 — AY997139–44 Chilean Criollo CC 4 — AY997131–34 Chilote CH 4 — AY997135–38 Mangalarga BM 5 — AF516506–08, AY997129–30 Mangalarga Marchador MM 4 — AY997156–59 Pantaneiro PN 6 — AY997160–64, AY997199 Paso Fino PF 6 — AF516491–93, AY997197–99 Peruvian Paso Fino PVP 5 1 AF465993, AY997169–73 Puerto Rican Paso Fino RP 4 — AY997174–77 Venezuelan Spanish VS 5 — AY997182–86 The accession numbers in bold are new ones generated by this study. Journal of Heredity 2006:97(2) 108 b y g u e st o n O cto b e r 1 0 , 2 0 1 0 jh e re d .o xfo rd jo u rn a ls.o rg D o w n lo a d e d fro m http://jhered.oxfordjournals.org/ tRNA pro and hyper variable region I of the mtDNA control region. The polymerase chain reaction (PCR) cycle sequencing reactions were performed on both strands, twice for each sample, using the CycleReader� Auto DNA Sequencing Kit (MBI Fermentas GmbH, St. Leon-Rot, Germany), with infra- red dye 800–labeled PCR primers used as sequencing primers and with the ABI� Prism BigDye� Terminator Cycle Sequencing Ready Reaction Kit (Perkin Elmer Inc., Boston, MA). Sequences were determined with a Li-Cor� 4200S Sequencer and an ABI 377 DNA Sequencer and were ana- lyzed, respectively, with Li-Cor Image Analysis� software and Sequencing Analysis Software� v3.4.1 with free Factura�. The sequences obtained in this study were deposited in GenBank database, and their accession numbers are shown in Table 1. We also included in this study mtDNA control region sequences available from GenBank for 14 other Iberian and New World horse breeds (see Table 1). The Barb horse sequences were included as part of the Iberian group due to the historical link between this breed and the Iberian breeds. Sequences were aligned using the CLUSTALW software (Thompson et al. 1994) and truncated to 288 bp, between positions 15483 and 15770, according to the horse reference sample X75947 (Xu and Árnason 1994), allowing the com- parison with published sequences. Data Analysis Nucleotide diversity and haplotype (gene) diversity were ob- tained with the DNASP 4.00.5 software (Rozas et al. 2003), while the mean number of pairwise differences (MNPD) was obtained using the ARLEQUIN 2000 software (Schneider et al. 2000). Median-joining network (Bandelt et al. 1999) was gener- ated using NETWORK 4.1.0.8 software (available at http:// www.fluxus-engineering.com). Results mtDNA Lineages in Iberian and New World Horse Breeds We sequenced 90 individuals and identified 26 haplotypes of which 10 were new, namely, Hap_36, Hap_37, Hap_39, Hap_42, Hap_43, Hap_44, Hap_45, Hap_47, Hap_49, and Hap_50 (accession numbers AY997128, AF516507, AY997138, AY997131, AF516503, AY997158, AY997159, AF516492, AY997176, and AY997177, respectively). These haplotypes belonged to one Iberian and seven South American breeds (Table 1, Figure 1). Our analysis was based on a sample set composed of 90 sequences from this study and 63 available from Gen- Bank. The 153 mtDNA control region sequences yielded 54 different haplotypes defined by 44 polymorphic sites: 43 transitions and 1 transversion. For each breed, we iden- tified from two to six haplotypes, differing from the reference sequence (GenBank X79547) by 1–11 sites within the 288 bp analyzed (the table with all this information is available from the authors on request). Fifteen haplotypes (27.8%) were detected more than once, and 39 (72.2%) were singletons: 21 (53.8%) from Iberia (corresponding to 10 breeds), 2 (5.1%) from North America (one breed), and 16 (41%) from South America (eight breeds). Potoka is the breed with the highest percentage of singletons (100%) followed by Puerto Rican Paso Fino and Argentine Criollo, with 75% and 67%, respectively. The 54 haplotypes (26 from the present study) could be assigned to five (D1, D2, D3, C2, and A4) out of the 17 major mtDNA lineages defined by Jansen et al. (2002). Cluster D1 is considered, by these authors, as representative of Iberian and North African breeds. We further analyzed our sequences, and according to the presence of specific point mutations, we defined a total of seven major haplogroups. Their names indicate the mu- tation position and nucleotide used as diagnostic of the hap- logroups. As these point mutations were also present in clusters defined by Jansen et al. (2002), we decided to incor- porate the corresponding letters of these clusters into the haplogroup names. The sequences were assigned to the haplo- groups, and results are presented in Table 2. Figure 1 shows a median-joining network relating the mtDNA sequences of the analyzed breeds and the hap- logroups defined here. Haplogroup D494C,496G,534T,603C,649G is composed of indi- viduals from all breeds (Iberia, 44%; North America, 60%; South America, 48%) except from Menorquina and Sorraia. Included in this haplogroup is the modal sequence Hap_1 (D1 from Jansen et al. 2002) seen in high frequency in the Iberian and New World horse breeds analyzed here and hav- ing the highest overall frequency in all the geographic regions (Iberia, 26%; North America, 44%; South America, 29%). Haplogroup A542C,666A was the second most common with higher frequency of sequences in our sample set (12.4%) being found in all geographic regions (Iberia, 10.6%; North America, 24%; South America, 9.7%). Haplogroup A542T,666A almost exclusively comprised Iberian breeds, the exception was the North American Sul- phur Mustang breed. Haplogroup C617C comprised only South American breeds, and C601C was predominantly rep- resented by breeds from that region. Diversity of Iberian and New World Breeds Results from MNPD, nucleotide diversity, and haplotype diversity showed a similar pattern in all breeds (Table 3). The Sulphur Mustang presented the lowest values and Mallorquina the highest for all diversity indices, with the ex- ception of haplotype diversity where several breeds had the maximum value. For all diversity indices, Iberian breeds showed higher diversity values followed by South American and North American breeds (Table 4). Discussion From the 12 Iberian breeds studied, we provide new infor- mation for three: Garrano, Lusitano, and Pura Raza Española. Among the Iberian breeds, Menorquina and Sorraia showed Luı́s et al. � Iberian Origins of New World Horse Breeds 109 b y g u e st o n O cto b e r 1 0 , 2 0 1 0 jh e re d .o xfo rd jo u rn a ls.o rg D o w n lo a d e d fro m http://www.fluxus-engineering.com http://www.fluxus-engineering.com http://jhered.oxfordjournals.org/ the lowest diversity values. Menorquina (from an island of Spain with the same name) was established as a breed in the early 1980s (Gallardo PP and Andres Cara DF, unpub- lished). Approximately 70 horses were selected based on phenotypic characteristics and, since 1994, have been bred in a closed system. At the time of this breed’s establishment, a bottleneck effect surely occurred; however, we cannot exclude the sample size as a cause for this low diversity value. For the Sorraia horse, the lower diversity found was in ac- cordance with previous studies using different genetic mark- ers, namely, blood groups and biochemical polymorphisms (Oom and Cothran 1994), mtDNA (Luı́s et al. 2002a), micro- satellites (Luı́s et al. 2002b), and major histocompatibility complex genes (Luı́s et al. 2005). This Portuguese horse breed was recovered in 1937 from 12 founders (five males and seven females), and only two maternal lineages are pres- ently represented in the living population (Luı́s et al. 2002a). Of the five North American breeds analyzed, the Florida Cracker, Spanish Mustang, and Sulphur Mustang were tested for the first time. The North American samples showed lower numbers of haplotypes and haplotype diversity com- pared to the Iberian and South American breeds. All the North American populations in this analysis represent horses derived from feral populations. The Kiger, Florida Cracker, Figure 1. Median-joining network relating the mitochondrial DNA D-loop sequences observed in Iberian and New World horse breeds. Black represents Iberian Peninsula individuals, dark gray represents North American individuals, and light gray represents South America individuals. Circle size is proportional to sequence frequency. Free-form shapes represent haplogroups defined by certain point mutations. D1, D2, D3, C2, and A4 are clusters previously defined by Jansen et al. (2002). See Table 2 for haplogroup characteristics. 110 Journal of Heredity 2006:97(2) b y g u e st o n O cto b e r 1 0 , 2 0 1 0 jh e re d .o xfo rd jo u rn a ls.o rg D o w n lo a d e d fro m http://jhered.oxfordjournals.org/ Sulphur Mustang, and Spanish Mustang groups have recently become represented by breed registries. The first three are from single, isolated populations in Oregon, Florida, and Utah, respectively. The Spanish Mustang breed was formed with horses that originated from feral or Native American stock from all over North America. All were selected based on a phenotype that was believed to represent Spanish an- cestry. The Mustang group also is a collection of horses with feral origins and presumed Spanish physical character- istics. It is likely that the Kiger, Florida Cracker, and Sulphur Mustang breeds experienced bottlenecks or a limited num- ber of founders, resulting in lower diversity. The Sulphur Mustang has the lowest diversity with only two haplotypes found among six individuals. The Spanish Mustang and Mustang groups have the highest diversity of the North American breeds, comparable to the higher values for the other groups, which reflects their more diverse origins. From the 12 South American breeds considered in our study, 10—Brazilian Criollo, Campolina, Chilean Criollo, Chilote, Mangalarga, Mangalarga Marchador, Pantaneiro, Paso Fino, Puerto Rican Paso Fino, and Venezuelan Spanish—are analyzed for the first time. The higher variability of the South American breeds compared with the North American ones may be explained by the founding of North American breeds with horses coming from Mexico and the Caribbean. The South American breeds also have been selected for a greater diversity of forms and uses when compared to the North American horses, and some have been crossed to other non-Iberian type horses (Hendricks 1995). In comparison with the New World breeds, the Iberian samples showed the highest values for the diversity param- eters analyzed (including the frequency of singletons). This finding supports the historical documentation that Iberia was the source of much of the original stock that was used to populate the New World with horses. Also Iberia experi- enced an active interchange of horses with other breeding countries, such as the Pontic-Caspian steppes, Gaul, Italy, Macedonia, and Greece (Gonzaga 2004), that might have in- creased the variability of the Iberian horses. Therefore, the diversity in this region would be expectedly higher. The low variation in the New World breeds may be an indication of founder effect or a bottleneck during their establishment, an hypothesis previously suggested by Mirol et al. (2002) in their work with Argentinean Criollo. The high diversity of the mtDNA control region within the studied horse breeds confirms a differentiated ancestry, previously indicated by several authors (e.g., Hill et al. 2002; Jansen et al. 2002; Keyser-Tracqui et al. 2005; Kim et al. 1999; Lister et al. 1998; Lopes et al. 2005; Mirol et al. 2002; Vilà et al. 2001). However, some haplotypes have been identified as corresponding to specific breeds/geographic areas, namely, D1, first identified by Jansen et al. (2002), and further em- phasized by Lopes et al. (2005), as being well represented in Iberian breeds. Haplotype Hap_1, from our work, corre- sponds to D1 and was found in high frequency not only in the Iberian breeds but also in the New World ones. Besides Hap_1, the high frequency of Iberian and New World sam- ples belonging to haplogroup D494C,496G,534T,603C,649G (48%) is striking. This haplogroup has been considered represen- tative of the ancestral Iberian horse population (Royo et al. 2005). These two findings support the documented role of the Iberian breeds in the origin of New World horse populations. The second haplogroup with more representatives of Iberian and New World horse breeds is A542C,666A. This hap- logroup includes Marismeño horses (stripped horses from Table 2. Characterization of the haplogroups defined in this study with indication of mutation points, diagnostic nucleotide, and percentage of total samples from each geographic region assigned to each haplogroup Percentage of total samples in each haplogroup (%) Jansen et al. (2002) lineagesHaplogroup name Mutation points Diagnostic nucleotide Iberia South America North America A542T,666A 15542 T 12 — 8 A1 and A2 15666 A A542C,666A 15542 C 11 10 24 A3 15666 A B538G,709T 15538 G 12 3 — B1 and B2 15709 T C601C 15601 C 1.5 15 — C2 C617C 15617 C — 5 — C1 D494C,496G,534T,603C,649G 15494 C 44 48 60 D1, D2, and D3 15496 G 15534 T 15603 C 15649 G F740G 15740 G 1.5 3 — F2 Others a — — 18 16 8 A4 We also indicate lineages defined by Jansen et al. (2002) that were screened (bold) and lineages that despite not being found in this sample set would belong to our defined haplogroups because they have the diagnostic point mutations. a Haplotypes that are not assigned to the defined major haplogroups. 111 Luı́s et al. � Iberian Origins of New World Horse Breeds b y g u e st o n O cto b e r 1 0 , 2 0 1 0 jh e re d .o xfo rd jo u rn a ls.o rg D o w n lo a d e d fro m http://jhered.oxfordjournals.org/ the Guadalquivir salt marshes) that, like the Sorraia, are con- sidered a primitive Iberian equine type (Andrade 1954; Bort 2004) and therefore might have been extensively used for breeding in Iberia. The high frequency of New World horses in this haplogroup may be explained by historical records stat- ing that mares taken to the American continent by Christopher Columbus and during the subsequent Spanish colonization period were bought mainly from the stock bred in the islands and salt marshes of the Guadalquivir River (Bort 2004). Of the three geographic regions studied, South America is the only one having sequences that belong to haplogroup C617C, and it is also the region having almost the exclusive representation in haplogroup C601C. Indeed, the only non– South American samples that belong to this latter haplogroup are two individuals from the Caballo de Corro breed, a Celtic origin pony from Asturias. These two haplogroups named ‘‘C’’ share some mutation points with cluster C1 from Jansen et al. (2002), who consider this as distinctive for northern European ponies, known to have Celtic origin. These findings may indicate common matrilineal ancestors between Celtic ponies and South American breeds, a result that is in accor- dance with historical records because in 1508 the Spanish crown authorized the transport of 40 Celtic type horses (small and resistant) in the expedition organized by Alonso Ojeda and Diego Nicuesa to Panama (Mirol et al. 2002). The sharing of haplotypes between Iberia and New World, and especially of those belonging to the haplogroup considered as representative of the ancestral Iberian horse Table 3. Diversity indices in the analyzed breeds Geographic location Breed n nh MNPD SE Nucl. diver. SE Hd SE Iberia Asturcon 6 4 6.67 3.67 0.023 0.015 0.800 0.172 Caballo de Corro 6 3 3.80 2.22 0.013 0.009 0.733 0.155 Cartujano 6 4 7.73 4.20 0.027 0.017 0.800 0.172 Garrano 6 4 6.27 3.47 0.022 0.014 0.867 0.129 Lusitano 6 6 7.80 4.24 0.027 0.017 1.000 0.096 Losino 6 4 3.93 2.29 0.014 0.009 0.800 0.172 Mallorquina 2 2 9.00 6.71 0.031 0.033 1.000 0.500 Marismeño 6 4 6.20 3.43 0.021 0.014 0.867 0.129 Menorquina 2 2 3.00 2.45 0.010 0.012 1.000 0.500 Potoka 6 6 7.00 3.83 0.024 0.015 1.000 0.096 Pura Raza Española 6 5 5.67 3.16 0.020 0.013 0.933 0.122 Sorraia 2 2 3.00 2.45 0.104 0.012 1.000 0.500 Barb 6 5 6.53 3.60 0.023 0.014 0.933 0.122 South America Argentine Criollo 6 6 7.33 4.00 0.026 0.016 1.000 0.096 Brazilian Criollo 6 4 3.20 1.92 0.011 0.008 0.867 0.129 Campolina 6 4 4.33 2.49 0.015 0.010 0.867 0.129 Chilean Criollo 4 4 5.50 3.34 0.019 0.014 1.000 0.177 Chilote 4 3 5.50 3.34 0.019 0.014 0.833 0.222 Mangalarga 5 5 6.60 3.76 0.023 0.015 1.000 0.126 Mangalarga Marchador 4 4 5.50 3.34 0.019 0.014 1.000 0.177 Pantaneiro 6 5 5.40 3.03 0.019 0.012 0.933 0.122 Paso Fino 6 3 5.33 3.00 0.019 0.012 0.600 0.215 Peruvian Paso Fino 6 3 4.40 2.53 0.015 0.010 0.600 0.215 Puerto Rican Paso Fino 4 4 5.83 3.53 0.020 0.015 1.000 0.177 Venezuelan Spanish 5 3 5.20 3.03 0.018 0.012 0.700 0.218 North America Florida Cracker 3 2 5.33 3.53 0.019 0.015 0.667 0.314 Kiger Mustang 6 3 3.27 1.95 0.011 0.008 0.733 0.155 Spanish Mustang 4 3 7.00 4.17 0.024 0.017 0.833 0.222 Sulphur Mustang 6 2 0.33 0.38 0.001 0.002 0.333 0.215 Mustang 6 5 6.47 3.57 0.023 0.015 0.933 0.122 n, number of individuals; nh, number of haplotypes found; MNPD, mean number of pairwise differences; Nucl. diver., nucleotide diversity; Hd, haplotype (gene) diversity. Table 4. Diversity indices in the analyzed geographic regions Geographic location Total nh MNPD SE Nucl. diver. SE Hd SE Iberia 66 34 6.67 3.19 0.023 0.012 0.924 0.025 South America 62 27 5.52 2.69 0.019 0.010 0.898 0.030 North America 25 10 5.00 2.52 0.018 0.010 0.793 0.075 Total, number of individuals; nh, number of haplotypes found; MNPD, mean number of pairwise differences; Nucl. diver., nucleotide diversity; Hd, haplotype (gene) diversity. 112 Journal of Heredity 2006:97(2) b y g u e st o n O cto b e r 1 0 , 2 0 1 0 jh e re d .o xfo rd jo u rn a ls.o rg D o w n lo a d e d fro m http://jhered.oxfordjournals.org/ population (D494C,496G,534T,603C,649G), supports the widely accepted view of Iberian ancestry in American livestock (e.g., Miretti et al. 2004; Primo 2004). Although extensive migrations in the past make it difficult to find clear connections between mtDNA haplotypes and geographic groups, we present a set of genetic data revealing that New World breeds have a high frequency of haplotypes of Iberian origin and represent a subset of the diversity found in Iberia. Therefore, this study supports the historically docu- mented Iberian origins of New World horses. Acknowledgments To Lyn Ennis, Pam Henney, Dr. Rytis Juras, and Dr. Kathryn Graves, at the Equine Parentage Verification Laboratory, for laboratory help and sug- gestions. C.L. was supported by a PhD grant (SFRH/BD/3318/2000) from the Portuguese Foundation for Science and Technology (FCT/MCT), and C.B.-S. was supported by a postdoctoral grant (SFRH/BPD/116/2002) from the Portuguese Foundation for Science and Technology (FCT/MCT). The authors thank an anonymous referee for very constructive comments. References Andrade R, 1954. Alredor del Caballo Español. Lisboa: Colección de Estudios. 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Walsh PS, Metzger DA, and Higuchi R, 1991. Chelex 100 as a medium for simple extraction of DNA for PCR-based typing from forensic material. Biotechniques 10:506–513. Xu X and Árnason U, 1994. The complete mitochondrial DNA sequence of the horse, Equus caballus: extensive heteroplasmy of the control region. Gene 148:357–362. Received June 23, 2005 Accepted December 21, 2005 Corresponding Editor: Ernest Bailey 113 Luı́s et al. � Iberian Origins of New World Horse Breeds b y g u e st o n O cto b e r 1 0 , 2 0 1 0 jh e re d .o xfo rd jo u rn a ls.o rg D o w n lo a d e d fro m http://jhered.oxfordjournals.org/ 
work_cx5geaanurh47gt6gqz64fkqba	----	AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Faculty of Agriculture, Merdeka University Surabaya Email: purwantialea@gmail.com ABSTRACT The lettuce is a leafy vegetable that comes from the (state) temperate. Historically, this plant has been cultivated since 2500 years ago. Lettuce plants came from the Americas. This is evidenced by Christopher Columbus in 1493 that found the plant lettuce in the western Hemisphere and the Bahamas (Rukmana, 1994). This study aims to determine the effect of growing media on growth factors, the influence of the concentration of liquid organic fertilizer (POC), the interaction effect of these two factors and yield of lettuce. The results showed There is a very real effect of growing media composition in all parameters studied were long observation of plants, number of leaves and fresh weight per plant. The best results were achieved by treatment K2 is 2 kg of manure per plant. There is a very real effect of concentrated liquid fertilizer (POC) "Supermer" on all parameters studied were long observation of plants, number of leaves and fresh weight per plant. The best results are achieved by P4 treatment The concentration POC 2 ml / liter of water. There is no real interaction due to a combination treatment of the media composition and concentration of liquid organic fertilizer (POC) "Supermes". Keywords: Growing Media, Concentration Liquid Organic Fertilizer and GrowthCrop 1. INTRODUCTION Lettuce is the leaf vegetables from the region (country) temperate. Historically, this plant has been cultivated since 2500 years ago. Lettuce plants came from the Americas. This is evidenced by Christopher Columbus in 1493 that found the plant lettuce in the western Hemisphere and the Bahamas (Rukmana, 1994). Lettuce is a vegetable species favored by the people of Indonesia. Customers ranging from lower-class society to the upper-class society. Lettuce is often eaten raw as a salad side dish delicious meal accompanied by sambal. Foreign cuisine such assaladusing lettuce to the mix, as well ashamburgers,hotdogs,and several other types of cuisine. This shows that the social aspect of Indonesian people easily accept the presence of lettuce for daily consumption (Haryantoetal.,1995). AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) In 2000, the Singapore government wants to develop vegetable crops in Riau, one of which is the lettuce. Vegetable production in Riau Province is still relatively low. The low production of leafy vegetables particularly apparent width of production in 2005, reaching 2,516 tons with an area of 365 ha of arable land are scattered throughout the district (Central Statistics Agency of Riau Province, 2006). The low productivity of lettuce plants is affected by many factors. One important factor that can affect the growth and production of a plant is the availability of nutrients. Can be improved nutrient availability in the soil to improve soil conditions through fertilization. In the ground is already available in natural foods, but not all of the land provide enough food for the plant. Land that does not provide the food needs to be assisted to increase the levels of the food in the ground, by giving fertilizer. One type of fertilizer given is an organic fertilizer that serves to provide organic nutrients for plants, improve soil structure and water retention in the soil. Organic fertilizers have an important function to loosen the surface soil layer, increasing the population of microorganisms, enhance absorption and store water, all of which can increase soil fertility as well (Sunardjono, 2005). Manure as well as organic fertilizer derived from domesticated animals include cow manure, dung water buffalo, goat manure, chicken manure and others. Cow dung is the type most dominant manure is used, because in addition to high haranya content is also readily available, it is caused by a number of cattle keepers so that the chairs can be used as fertilizer. Manure has many advantages over synthetic fertilizers. Besides Nitrogen (N), phosphorus (P) and Potassium (K) is quite high, manure contains enough nutrients complete. Given the importance of organic fertilizers mentioned above, it is necessary to do research on the growing media composition and the use of other organic fertilizers on growth and yield of lettuce plants. 2. METHODS This study used a randomized block design (RAK), where treatment using two factors: the first factor and the second factor media composition concentration of liquid organic fertilizer (POC) "Supermes". Each treatment was repeated 3 with two plant samples. AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) Analysis of the data used to determine the effect of treatment on the experimental analysis of variance F table is 5%. As for knowing which treatment is different then used to test the Least Significant Difference (LSD) with a level of 5% (Yitnosumarto, 1991). 3. RESULTS AND DISCUSSION 3.1. Plant Long Long Statistical analysis showed that the plant no significant interactions between the planting medium with a concentration factor of liquid organic fertilizer to the variable length of lettuce plants. Separately treatment plant media provides highly significant effect (F count> F1%> F5%) to the length of the plant at the age of observations 14, 21, 28 and 35 days after transplanting, whereas treatment concentration of liquid organic fertilizer significant effect (F1%> Fhitung > F5%) of the variable length crop at age 14, a significant influence (Fhitung> F1%> F5%) in the observation aged 21, 28 and 35 days after transplanting. Average length of lettuce plants at the media's treatment plant and the concentration of liquid organic fertilizer at various ages observations can be seen in Table 1 below. Table 1. Average length of Lettuce Plants In Treatment Media Concentration Plant and Fertilizer in Different AgeObservation Treatment Age Observation(HST) 14 21 28 35 K1 K2 6.13 a 6.75 b 9.08 a 11.08 b 15 , 42 a 16.25 b 21.79 a 24.67 b BNT 5% 0,37 0,79 0,54 0,94 P1 P2 P3 P4 6,00a 6.25 ab 6.58 b 6.92 b 9.00 a 9.50 ab 10.25 b 11.58 c 14.58 a 15.25 a 16.17 b 17.33 c 20.25 a 22.67 b 24.25 c 25.75 d BNT 5 % 0.52 1.12 0.77 1.33 Remarks: the figures are accompanied by the same letter are not significantly different shows on LSD 5% In table 1 above shows that in some of the observations seen growing media factor K2 treatment gives better value than K1. At the end of the observation value 24.67 cm K2 and K1 are significantly different with 21.79 cm. While liquid organic fertilizer concentration factor at the end of the treatment observation P4 provide better value is 25.75 cm and significantly different from the P3 (24.25 cm), P2 (22.67 cm) and P1 (20.25 cm). AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) Sri opinion Setyadi accordance Harjadi (2002), extension of the cells occurs due to the enlargement of new cells. This is supported by the presence of certain hormones that existed at the plant itself and the water content in the soil is also the sugar. This enables the cell walls stretch. Cell enlargement area directly behind the growing point. If the cells in this area is enlarged vacuole-vacuoles absorb relatively large amounts of water. As a result of the absorption of water and the presence of cell extenders hormone, it will be elongated cells, the cell walls grow thicker and stacked cellulose made from sugar so that it causes the cells to multiply and length. Manure contains macro and micro nutrients. Solid manure (macro) a lot of phosphorus, nitrogen and potassium (Mahrus, Bambang Wicaksono, Nurlina, Cholil, & Sri Wiwoho, 2017). Micro-nutrients contained in the manure such as calcium, magnesium, sulfur, sodium, iron, copper, and molybdenum. The above nutrients very useful to improve plant growth and development. Manure and other organic fertilizers may serve to increase soil organic matter content, providing micro-nutrients and improve soil structure. The use of these materials can also enhance microbial growth and turnover of nutrients in the soil. Other organic matter that can cause the nutrients they contain and increase the availability of other nutrients in the soil. Organic matter can save N fertilizer, but can also reduce the use of fertilizer P and K as well as increase crop production (Anonymous, 2010). 3.2. Number of leaves Statistical analysis showed that the number of leaves was no significant interaction between the factors of planting medium with a concentration of liquid organic fertilizer to variable number of leaves of lettuce plants. Separately treatment plant media give real effect (F1%> of F> F5%) of the number of leaves of the plant at the age of observation of 14 and 21 days after transplanting, the effect is highly significant (F count> F1%> F5%) to variable number of leaves of the plant on age 28 and 35 days after transplanting, whereas treatment concentration liquid organic fertilizers do not provide significant effect (F count <F5% <F1%) at the age of observation of 14 days after transplanting, the real influence (F1%> of F> F5%) at the age of observation of 21 days after transplanting and highly significant effect (F count> F1%> F5%) in the observation age 28, 35 days after transplanting. AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) The average number of leaf lettuce plants on the media's treatment plant and the concentration of organic liquid fertilizer at various ages observations can be seen in table 2 below. Table 2. Average Number of Plants Leaf Lettuce On Media Treatment Plant and Fertilizer Concentration in Various AgeObservation Treatment Age Observation(HST) 14 21 28 35 K1 K2 3.83 a 4.13 b 5.83 a 6.25 b 7.92 a 8.29 b 10.67 a 11.96 b BNT 5% 0,28 0,31 0,26 0,49 P1 P2 P3 P4 3,75a ab3.92 4.08b 4.17b 5.58 a ab5.92 6.17 b 6.50 b 7.75 a 8.00 ab 8.17 b 8.50 b 10.50 a 11.08 ab 11.58 b 12.08 b BNT 5% 0.40 0.44 0.36 0.69 Remarks: the figures are accompanied by the same letter are not significantly different shows on LSD 5% in table 2 above shows that in some of the observations seen growing media factor K2 treatment provide better value than K1. At the end of the observation K2 provides significantly different value of 11.96 and with K1 is 10.67. While liquid organic fertilizer concentration factor at the end of the treatment observation P4 provide better value is 12.08 and not significantly different from P3 (11.58) and P2 (11,08) but significantly different from the P1, which is 10.50. Vegetative growth phase include the growth of roots, stems and leaves. In this phase of photosynthesis plants require a form of carbohydrates which will then be converted into energy for plant growth and development (Ali, 2015). At first, the carbohydrate derived from the endosperm storage network, when growth begins from the next carbohydrate germination will be formed from the process of photosynthesis after the plants have leaves. The process of photosynthesis allows the rapid increase in size as the number of leaves (Ashari, 1995). According Kusumo (1984) in Darliah et. al. (1994) that plant growth is the result of the growth and development of cells that depend on the supply of food, whether provided through the leaves and is absorbed by the roots out of the ground for the process of metabolism and protein synthesis. Meanwhile, according Sitompul and Guritno (1995) stated that an increase of the cells causing the cell walls grow thicker. In such a situation we AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) need a sufficient amount of carbohydrates, because with enough carbohydrates will produce enough energy to accelerate plant cell enlargement, which in this case is expressed in the form of long plant. Liquid organic fertilizer is a fertilizer that has a high effectiveness which can speed up or improve the growth, flowering and fruiting. Many contain liquid organic fertilizer NPK which is the main nutrient for plant growth and development are indispensable for the growth of vegetative parts of plants such as leaves, stems and roots (Sutejo, 1992). 3.3. Wet Weight Per Plant Statistical analysis of wet weight per plant showed that no significant interaction between the factors of planting medium with a concentration of liquid organic fertilizer to variable number of leaves of lettuce plants. Separately treatment plant media provides highly significant effect (F count> F1%> F5%) of the fresh weight per plant at the end of treatment, while treatment concentration of liquid organic fertilizer did not give a significant influence (Fhitung <F5% <F1%) at the end observation. The average wet weight per plant lettuce in the treatment of planting medium and the concentration of liquid organic fertilizer at various ages observations can be seen in Table 3 below. Table 3. Average weight per plant Wet Lettuce On Media Treatment Plant and Fertilizer Concentration on Final Observations (35 Days After Transplanting. Treatment of Wet weight per plant (g) K1 K2 183.33 a 191.58 b BNT 5% 5 , 31 P1 P2 P3 P4 172.67 a 182.67 b 189.17 b c205.33 BNT 5% 7.50 Description: the figures are accompanied by the same letter are not significantly different shows on LSD 5% In table 3 above shows that at the end of the observation K2 provides better value than the 191.58 gr 183.33 gr K1 and K2 which provide significantly different values K1. While liquid organic fertilizer concentration factor at the end of the treatment observation P4 AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) provide better value ie 205.33 g and significantly different from the P3 (189.17 grams), P2 (182.67 grams) and P1 (172.67 grams). Plant lettuce has shallow roots and require that unstructured loose soil to support plant growth and development optimal. According Harjati and Indrawati (2004) that the pad a generally shallow rooted plants will have the sensitivity to drought and will show a faster response to variations of fertilization when compared to plants rooted in. Crop yields depend on all the events that occurred during the previous period. Furthermore, plant growth is a measure that can not be behind where the indicator can be seen from the increase of the size and number of parameters of vegetative growth and generative plant (Harjadi, S, 1979). According Sinamungkalit (2006) that organic fertilizer is very useful for the improvement of agricultural production both in quality and quantity, reduce environmental pollution and improve the quality of land in a sustainable manner. Organic fertilizer is a major source of soil nitrogen and contribute to improve the physical, chemical and biological soil. There are several advantages of organic fertilizers include: organic fertilizer contains micro elements are more complete than inorganic fertilizers; organic fertilizer will give life soil microorganisms which have become better friends with the farmers; organic fertilizer helps maintain soil moisture and reduce the pressure or tension structure of soil on the roots of the plants; use of organic fertilizer also plays an important role in treating / maintaining soil fertility levels are already in a state of excessive fertilization with inorganic fertilizers / chemicals in the soil; quality plants that use organic fertilizers would be great if compared with chemical fertilizers that plants are not susceptible to disease and healthier plants (Anonymous, 2012) 4. CONCLUSION There is a significant influence on the composition of the growing media in all parameters of observation under study is long crop, the number of leaves and fresh weight per plant. The best results were achieved by treatment K2 is 2 kg of manure per plant. There is a very real effect of concentrated liquid fertilizer (POC) "Supermer" on all parameters studied were long observation of plants, number of leaves and fresh weight per plant. The best results are achieved by P4 treatment The concentration POC 2 ml / liter of water and AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) There is no significant interaction due to a combination treatment of the media composition and concentration of liquid organic fertilizer (POC) "Supermes". REFERENCES Anonymous, 2013a.(Http://distan.riau.go.id/index.php/component/content/article / 53- fertilizer /144-fertilizer-cage). Ashari, S., 1995. Horticultural Aspects of Aquaculture. University of Indonesia (UI Press). Jakarta Ali, M. (2015). PENGARUH DOSIS PEMUPUKAN NPK TERHADAP PRODUKSI DAN KANDUNGAN CAPSAICIN PADA BUAH TANAMAN CABE RAWIT (Capsicum frutescens L.). JURNAL AGROSAINS: KARYA KREATIF DAN INOVATIF, 2(2), 171– 178. Mahrus, A., Bambang Wicaksono, H., Nurlina, Cholil, H., & Sri Wiwoho, M. (2017). Mapping of Biomass Production of Land Damage Assessment to Reduce Environmental Changes In East Java Probolinggo. In MATEC Web of Conferences (Vol. 138, p. 9004). EDP Sciences. https://doi.org/10.1051/matecconf/201713809004 Central Statistics Agency. (2006). Riau inFigures.The Central Statistics Agency of Riau. Pekanbaru. Cahyono, 2005. Cultivation and Analysis Technique Lettuce Farm. Arts, Science. Semarang Chotimatul A. (2007). Planting the kale and spinach. Dynamics of Media, Jakarta. Darliah, Tohar D, S and I Sumarjatin Kurnia. (1994). Effect of Soaking duration and concentration of IBA on vegetative growth rose cuttings. Ornamental Crops Research Bulletin. Bogor. Haryadi, S. (1991). Introduction to Agronomy. Gramedia. Jakarta. Haryanto, E. Tina, S, and Estu, R. 1995.mustard andlettuce.Governmental spreader. Jakarta. 117 p. Indra Kusuma, (2000). Proposal of Liquid Organic Fertilizer Supra A. 1 am Lestari. Surya Pratama Nature. Jakarta. Nazaruddin, (2003). Cultivation and Vegetable Harvest Datadran Low settings. Governmental spreader. Jakarta. Prihantoro, H, (1996). Cultivating Vegetable Crops. Governmental spreader. Jakarta. AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Media Influence of Planting And Concentration of Organic Liquid Fertilizer on The Growth And Results Lettuce (Lactucasatival.) Sri Purwanti, Bambang Gunawan, Ari Yulianto Page | r) Rubatzky, VE and M. Yamaguchi. (1998). World Vegetables: Principles, Production and Nutrition. Ed. Translation. C. Herison. ITB. Bandung. Rubatzky, VE and M. Yamaguchi. (1998). World Vegetables: Principles, Production and Nutrition. Ed. Translation. C. Herison. ITB. Bandung. Rukmana, 1994. Planting lettuce and endive. Doubleday. Yogyakarta. Simonangkalit RDM, (2006). Organic Fertilizer and Biological Fertilizer. Research Center for Agricultural Land Resources Research and Development Agency Pertanian Bogor. Sitompul, SN and Guritno B. (1995). Analysis of Plant Growth. Gajah Mada University Press. Yogyakarta. Sri, consisted H. 2002. Introduction to Agronomy. Gramedia Pustaka Utama, Jakarta. Sunardjono, H. 2005.Planting 30Vegetables.Governmental spreader. Jakarta. 184 p. Sunaryono, 1990. Key to Grow Vegetables Important Plant in Indonesia. Sinar Baru. Bandung. Suprayitna, I. 1996. Vegetable and Fruit Quality. Miscellaneous. Solo. Sutejo, 1992. Fertilizer and Fertilization Method. Rineka Reserved. Jakarta. 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work_czcrgmjtcrgfxmrdjwot4yxnj4	----	Archaeometallurgy in Colombia: Recent Developments Martinón-Torres, M et al 2017 Archaeometallurgy in Colombia: Recent Developments. Archaeology International, No. 20: pp. 80–84, DOI: https:// doi.org/10.5334/ai-354 RESEARCH UPDATE Archaeometallurgy in Colombia: Recent Developments Marcos Martinón-Torres*, María Alicia Uribe-Villegas†, Juanita Sáenz-Samper† and Jimena Lobo-Guerrero‡ Introduction The technical quality and aesthetic beauty of the pre-Columbian metalwork of Central and South America have long fascinated scholars and the public alike. However, the existing picture of pre-Columbian metallurgy remains rather generalised and, as such, archaeologi- cally simplistic. With some notable excep- tions, much previous work has downplayed the role of humbler metallurgical traditions, the importance of archaeological contexts, and the changes deriving from cultural interaction among indigenous communi- ties, and between these and early European colonists. The UCL Archaeometallurgy in the Americas Research Network aims to enhance and diversify our understanding of the pro- duction, use and value of metals in America before and after Christopher Columbus, as a proxy for the underlying diversity of cul- tural and historical contingencies. One of our main strategies is the use of a bottom-up approach to develop a coherent set of high- resolution, science-assisted contextual stud- ies that may allow for temporal and cultural comparisons, from which we can approach the development of ideas, their transmission and adaptation, as materialised in goldwork. Much of our work in recent years has zoomed into Colombia. This country alone encompasses a great deal of diversity in eco- logical environments, resources, ethnicities and cultural traditions, materialised in tens of thousands of metal objects recovered in a relatively small region, with chronologies spanning over two thousand years to the pre- sent day. As such, it is an excellent ground for the characterisation of different technical styles at the subregional level, as opposed to the traditional broader comparisons between larger regions. Building primarily on a col- laboration agreement signed between the UCL Institute of Archaeology and the Gold Museum in Bogotá, we are trying to com- bine UCL’s expertise in archaeometallurgy with the Museum staff’s intimate knowledge of the tens of thousands of artefacts in their stores and the myriad of cultures who cre- ated, used and deposited them. This report outlines three lines of recent and current work and publication. Muisca Goldwork, Wax and Connoisseurship A significant strand of our research so far has focused on the study of Muisca votive offerings. The Muisca were a Chibcha- speaking community organised in chiefdoms that inhabited the Eastern Highlands of Colombia (ca. AD 800-1600). One of their vis- ible archaeological traces is the hundreds of * UCL Institute of Archaeology, London WC1H 0PY, UK † Museo del Oro, Banco de la República, Bogotá DC, CO ‡ University of Bristol, UK Corresponding author: Marcos Martinón-Torres (m.martinon-torres@ucl.ac.uk) https://doi.org/10.5334/ai-354 https://doi.org/10.5334/ai-354 mailto:m.martinon-torres@ucl.ac.uk Martinón-Torres et al: Archaeometallurgy in Colombia 81 tunjos or figurines they left behind, typically in the form of votive offerings deposited in special locations of the landscape (Lleras Pérez 1999). Through stylistic, microscopic and chemical analyses of many of these, we have characterised the Muisca votive gold- smithing tradition as one that peculiarly devoted more attention to the modelling of wax models for lost-wax casting than to the actual casting and finishing of the metal items themselves (Uribe-Villegas 2012; Uribe- Villegas and Martinón-Torres 2012). Objects often appear unfinished, with remnants of casting feeders and dirt from the moulds on their surfaces (Fig. 1). As such, Muisca votive metalwork seems to defy the gener- alised conception of goldwork as refined and ostentatious, and instead it points to the ritual importance of wax, corroborated ethnographically (Falchetti 2003, Martinón- Torres and Uribe-Villegas 2015a). These ideas have led us to reconsider the famous Muisca raft of El Dorado (gold votive model of a raft) from a perspective that explicitly tries to avoid Eurocentric biases (Uribe-Villegas, Martinón-Torres and Quintero in press). In the course of this project it also became apparent to us that, like art connoisseurs but using science rather than subjective judgement, we could potentially identify the work of individual artisans based on their idiosyncratic technical gestures and use of materials. This has given us not just a way of recognising the agency of anonymous prehistoric individuals, but also an entry point to address issues such as the organisa- tion of workshops, knowledge transmission, skill, and the tension between individual and social agency. We plan to continue work in this direction, and have encouraged others to explore the potential of ‘science-based archaeological connoisseurship’ (Martinón- Torres and Uribe-Villegas 2015b). Even before it had been published in academic journals, this research formed the basis of a very successful exhibition at the Gold Museum (Uribe-Villegas et al. 2013); our findings have also led to a redesign of some of the permanent displays at the Museum, including that of the popular Muisca raft. Nahuange Goldwork, Changing Colours and Object Biographies The region of Sierra de Nevada de Santa Marta is well known for its steep slopes descending into the Caribbean sea, as well as for the thou- sands of gold objects left behind by the Tairona (Bray 2003; Giraldo 2010). These are among the most technically accomplished exam- ples of metal casting and surface treatment Figure 1: Muisca votive object cast in a gold- copper alloy (O15117). The object would have been cast upside down. The very prominent cast sprue cup and feeders have not been removed from the finished object. Casting flashes, and traces of clay and charcoal from the mould, are still visible in some corners and crevices. Overall height is 12.8 cm (Photo Clark M. Rodríguez, Museo del Oro, Banco de la República). Martinón-Torres et al: Archaeometallurgy in Colombia82 in South America, and as such they have attracted considerable scholarly and public attention. Fewer people, however, have con- sidered the earlier roots of this technical tradi- tion. Building on a long-term interest of Juanita Sáenz Samper (2015), we are developing a detailed characterisation of Nahuange or Early Period material culture (ca. AD 100–1000), with particular attention to metalwork. A salient feature emerging from our analyt- ical work is the way in which the Nahuange treated the surface of the metal (Sáenz- Samper and Martinón-Torres 2017; in press). Like many other artefacts of Andean metal- work, Nahuange objects underwent a process known as depletion gilding, whereby a copper-rich gold alloy was oxidised and pickled to remove copper from the surface and hence create a more golden appearance. However, examination of many of these objects shows that, at some point in their lives, their outer surfaces were painstakingly polished off to remove the golden layer and show the pink colour of the underlying cop- per alloy (Fig. 2). This realisation highlights the often overlooked significance of copper in so-called goldwork, and the fact that the value of metalwork cannot be judged by its gold content or sheen. Ethnographic accounts report the connection between red hues and the female and, interestingly, Nahuange human representations and iconography are dominated by female motifs. Whatever the explanation for this phenomenon, the gild- ing and ungilding of Nahuange metalwork reminds us of the need to consider the life- histories of these objects, and of the probabil- ity that their materiality and value may well have changed over time. We are currently developing this exploration into a broader set of artefacts, casting the net more widely both diachronically and geographically. We are hoping to explore how changes in the political history of the region are reflected in changing technologies and uses of goldwork. Colonial Encounters and Metalwork in Mompox Considering the very large number of metal artefacts recovered in Colombia, it is quite remarkable that very few production remains have been reported. Recent excavations and Figure 2: Front (left) and back of a Nahuange pectoral (O17587). The front has been polished intensively to remove the golden layer and expose the colour of the orange copper beneath. The back is unpolished and remains golden by depletion. Diameter is 10 cm (Photo Clark M. Rodríguez, Museo del Oro, Banco de la República). Martinón-Torres et al: Archaeometallurgy in Colombia 83 related research led by Jimena Lobo Guerrero (2016) in Mompox have provided an oppor- tunity not only to study such material, but also to begin to explore continuities and changes in goldsmithing traditions after the European arrival. Located in a region known for its rich- ness in alluvial gold and a long-lived pre- Columbian goldsmithing tradition, Santa Cruz de Mompox also became a key enclave for Europeans from the early decades of the colonial period: it was an obligatory stopping port for all the gold that was extracted from south of the territory of New Granada, as it had to be taxed or quintado in Mompox. In this town, indigenous groups and Spaniards experienced encounters of individuals, met- allurgical technologies and knowledge – and all of these appear represented in the small sample of crucibles we analysed (Martinón- Torres et al. in press). In our study we found evidence for the local manufacture of cruci- bles as well as for the melting of unrefined gold dust, tumbaga (gold-copper-silver alloys) and silver. These metallurgical prac- tices illustrate some likely illegal activities, continuities with pre-Columbian traditions in the use of tumbagas, and the Spanish-led introduction of silver in northern Colombia. Given the importance of metals and met- alworking for all the communities involved, metallurgical remains can be informative of the wider social and economic negotiations that engaged indigenous peoples, mestizos and Spaniards in the configuration of the colonial reality, and we are hoping to see more work in this direction. Acknowledgements We are very grateful to the many colleagues and friends at the Museo del Oro in Bogotá for sharing their time, materials and knowl- edge. The various strands of this research have been supported by grants from the British Academy (SG-54242), a UCL Research Catalyst Award, and funds from the Banco de La República of Colombia. We would also like to thank the Colombian Institute of Anthropology and History (ICANH) for grant- ing all the permits needed to ship archaeo- logical material from Colombia to the UK for their analysis. Competing Interests The authors have no competing interests to declare. References Bray, W 2003 Gold, Stone and Ideology: Symbols of Power in the Tairona Tradi- tion. In: Quilter, J and Hoopes, J W (Eds.) Gold and Power in Ancient Costa Rica, Panama and Colombia. Washington DC: Dumbarton Oaks, pp. 301–344. Falchetti, A M 2003 The seed of life: the symbolic power of gold-copper alloys and metallurgical transformations. In: Quilter, J and Hoopes, J W (Eds.) Gold and Power in Ancient Costa Rica, Panama and Colombia. Washington DC: Dumbarton Oaks, pp. 345–381. Giraldo, S 2010 Lords of the snowy ranges: politics, place and landscape transforma- tion in two Tairona towns in the Sierra Nevada de Santa Marta, Colombia. Unpublished thesis (PhD), University of Chicago. Lleras Pérez, R 1999 Prehispanic Metallurgy and Votive Offerings in the Eastern Cordil- lera Colombia. BAR International Series, 778. Oxford: Archaeopress. Lobo Guerrero Arenas, J 2016 The Gold- smith’s Workshop: A Study of Metallurgy during the Sixteenth and Seventeenth centuries in Colombia. Unpublished thesis (PhD), University of Bristol. Martinón-Torres, M, Lobo-Guerrero, J, Veronesi, U and White, H in press Gold- smithing traditions and innovations in colonial Colombia: an analytical study of crucibles from Santa Cruz de Mompox. Post-Medieval Archaeology. Martinón-Torres, M and Uribe-Villegas, M A 2015a Technology and culture in the invention of lost-wax casting in South America: an archaeometric and ethno- Martinón-Torres et al: Archaeometallurgy in Colombia84 archaeological perspective. Cambridge Archaeological Review, 25: 377–390. DOI: https://doi.org/10.1017/S095977431 4001164 Martinón-Torres, M and Uribe-Villegas, M A 2015b The prehistoric individual, connois- seurship and archaeological science: The Muisca goldwork of Colombia. Journal of Archaeological Science, 63: 136–155. DOI: https://doi.org/10.1016/j.jas.2015. 08.014 Sáenz Samper, J 2015 Inciso en metal. Tec- nología metalúrgica en la Sierra Nevada de Santa Marta, Colombia. Boletín de Arqueología, 25. Bogota: Fundación de Investigaciones Arqueológicas and Banco de La República. Sáenz-Samper, J and Martinón-Torres, M 2017 Depletion gilding, innovation and life-histories: the changing colours of Nahuange metalwork. Antiquity, 91 (359): 1253–1267. DOI: https://doi.org/ 10.15184/aqy.2017.97 Sáenz-Samper, J and Martinón-Torres, M in press Pink versus yellow. Surface treat- ments in Nahuange and Tairona metal ornaments (Sierra Nevada de Santa Marta, Colombia). In: Sillar, B, et al. (Eds.) Tech- nology and the Making of Andean Socie- ties. London: UCL Press. Uribe-Villegas, M A, 2012 Contexto, signifi- cado y color en la selección de materiales en la orfebrería muisca. Un estudio analítico e interpretativo de la composición química de artefactos. Boletín de Arqueología, 23. Bogota: Fundación de Investiga- ciones Arqueológicas and Banco de La República. Uribe-Villegas, M A, Londoño, E, Quintero, J P, Martinón-Torres, M and Morales, J 2013 Historias de ofrendas muiscas. Catálogo vir- tual de la exposición temporal en el Museo del Oro, Bogotá DC. Bogota: Banco de la República. Available at: http://www.ban- repcultural.org/museo-del-oro/exposi- ciones-temporales/historias-de-ofrendas- muiscas (Last accessed 18 September 2017). Uribe-Villegas, M A and Martinón-Torres, M 2012 Composition, colour and context in Muisca votive metalwork (Colombia, AD 600-1800). Antiquity, 86 (333): 772–791. DOI: https://doi.org/10.1017/ S0003598X00047918 Uribe-Villegas, M A, Martinón-Torres, M and Quintero, J P in press The Muisca raft: Context, materiality and technology. In: McEwan, C, et al. (Eds.) The Art of Central America and Colombia. Washington DC: Dumbarton Oaks. How to cite this article: Martinón-Torres, M, Uribe-Villegas, M A, Sáenz-Samper, J, and Lobo-Guerrero, J 2017 Archaeometallurgy in Colombia: Recent Developments. Archaeology International, No. 20: pp. 80–84, DOI: https://doi.org/10.5334/ai-354 Published: 14 December 2017 Copyright: © 2017 The Author(s). This is an open-access article distributed under the terms of the Creative Commons Attribution 4.0 International License (CC-BY 4.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. See http://creativecommons.org/licenses/by/4.0/. OPEN ACCESS Archaeology International is a peer-reviewed open access journal published by Ubiquity Press. https://doi.org/10.1017/S0959774314001164 https://doi.org/10.1017/S0959774314001164 https://doi.org/10.1016/j.jas.2015.08.014 https://doi.org/10.1016/j.jas.2015.08.014 https://doi.org/10.15184/aqy.2017.97 https://doi.org/10.15184/aqy.2017.97 http://www.banrepcultural.org/museo-del-oro/exposiciones-temporales/historias-de-ofrendas-muiscas http://www.banrepcultural.org/museo-del-oro/exposiciones-temporales/historias-de-ofrendas-muiscas http://www.banrepcultural.org/museo-del-oro/exposiciones-temporales/historias-de-ofrendas-muiscas http://www.banrepcultural.org/museo-del-oro/exposiciones-temporales/historias-de-ofrendas-muiscas https://doi.org/10.1017/S0003598X00047918 https://doi.org/10.1017/S0003598X00047918 https://doi.org/10.5334/ai-354 http://creativecommons.org/licenses/by/4.0/ Introduction Muisca Goldwork, Wax and Connoisseurship Nahuange Goldwork, Changing Colours and Object Biographies Colonial Encounters and Metalwork in Mompox Acknowledgements Competing Interests References Figures Figure 1 
work_cs4pqyw4ibgolc5vq7x33qg2mu	----	Can the Fetus Speak?: Revolutionary Wombs, Body Politics, and Feminist Philosophy humanities Article Can the Fetus Speak?: Revolutionary Wombs, Body Politics, and Feminist Philosophy Nicole Sparling Barco Department of English Language & Literature, Central Michigan University, Mount Pleasant, MI 48859, USA; nicole.sparling.barco@cmich.edu Received: 1 December 2017; Accepted: 6 February 2018; Published: 9 March 2018 Abstract: Ariel Dorfman’s La última canción de Manuel Sendero (The Last Song of Manuel Sendero) and Carlos Fuentes’s Cristóbal Nonato (Christopher Unborn) explore conception, gestation, and birth as points of origin for humanity and citizenship alike by giving voice to life/lives that cannot speak for itself/themselves. Dorfman and Fuentes employ metafictional techniques and postmodern aesthetics, interrogate history in order to express their political commitments to rights, resistance, and revolution, and link textual production and human reproduction in order to posit national futures. Reading these works through a feminist lens, I weigh the poetic and philosophical implications of telling a story from the point of view of gametic, embryonic, or fetal, but decidedly male, narrators against the symbolic exclusion and silencing of mothers that bear them. When rendered a biopolitical frontier in symbolic or actual terms, the pregnant body poses particular philosophical quandaries that require further investigation. As such, this essay weaves together discourses on poetics, philosophy, and politics in order to uncover the perplexity that the pregnant mother, as figure for the nation, induces. Keywords: feminist phenomenology; feminist philosophy; maternal body; pregnant body; pregnant subject; fetus; fetal subject; fetal person; personhood; metaphor; Ariel Dorfman; Carlos Fuentes; Chile; Mexico; postmodern aesthetics; biopolitics; metaphysics; metaphysical metaphor Ariel Dorfman’s La última canción de Manuel Sendero and Carlos Fuentes’s Cristóbal Nonato1 explore conception, gestation, and birth as points of origin for humanity and citizenship alike by giving voice to life/lives that cannot speak for itself/themselves (Dorfman 1982; Fuentes 1994). Dorfman and Fuentes employ metafictional techniques and postmodern aesthetics, interrogate history in order to express their political commitments to rights, resistance, and revolution, and link textual production and human reproduction in order to posit national futures.2 Reading these works through a feminist 1 I have chosen to use the official translations of these novels, since both Dorfman and Fuentes have authorized and collaborated in their production. See Ariel Dorfman, The Last Song of Manuel Sendero (Dorfman 1987) and Carlos Fuentes, Christopher Unborn (Fuentes 1989). When referring to the characters in these novels, I use the original character names. Please note that there are moments when both authors take the liberty to change the structure and content of their prose in the English translation. I have tried to remark on any substantial changes made in the footnotes. 2 For an analysis of pre-modern, modern, and postmodern elements in Dorfman’s novel, see McClennen, The Dialectics of Exile: Nation, Time, Language, and Space in Hispanic Literatures (McClennen 2004). See also Lois Baer Barr ’s Isaac Unbound: Patriarchal Traditions in the Latin American Jewish Novel. Barr categorizes Dorfman’s novel as postmodern, given its “self-reflectiveness, allusiveness, and intertextuality” (Barr 1995, p. 136). For a discussion of Fuentes’s postmodern tendencies in Cristóbal Nonato, see Raymond L. Williams, “Fuentes the Modern; Fuentes the Postmodern” (Williams 2002). In an interview with Claudia Fermán, Fuentes describes his relation to postmodernism: “Frente a Derrida, yo coloco siempre a [Mijail] Bajtin (1895–1975) y la posibilidad de la heteroglosia, de la multiplicidad de sentidos, metas y orientaciones del lenguaje, y a los reformadores tipo [Jürgen] Habermas (1929). Estas últimas son las posiciones a las que acerco más, y que se basan en la pregunta y la reflexión de si es posible tener un proyecto de liberación renovado [...], un proyecto de liberación que incluya la gran diversidad de las culturas del mundo que empiezan a aparecer, entre las que nos incluiríamos nosotros” ((Fuentes 1996, p. 99); “Opposite Derrida, I always place Bakhtin (1895–1975) and the possibility of heteroglossia, of the multiplicity of the senses, goals and orientations of language, and reformers like Habermas (1929). The latter are the Humanities 2018, 7, 24; doi:10.3390/h7010024 www.mdpi.com/journal/humanities http://www.mdpi.com/journal/humanities http://www.mdpi.com http://dx.doi.org/10.3390/h7010024 http://www.mdpi.com/journal/humanities Humanities 2018, 7, 24 2 of 26 lens, I weigh the poetic and philosophical implications of telling a story from the point of view of what Djelal Kadir characterizes as “testicular, phallopaean, or intrauterine,” but decidedly male, narrators against the symbolic exclusion and silencing of mothers that bear them (Kadir 1993, p. 107). When rendered a biopolitical frontier in symbolic or actual terms, the pregnant body poses particular philosophical quandaries that require further investigation. As such, this essay weaves together discourses on poetics, philosophy, and politics in order to uncover the perplexity that the pregnant mother3, as figure for the nation, induces. 1. Conceptions of Fetal Personhood The “gestational structure,” to borrow Lois Baer Barr’s term, of the novels of Dorfman and Fuentes privileges the development of their unborn male narrators, with the maternal body as the gestating screen onto which they project their visions for their nations (Barr 1995, p. 142).4 According to Barr, Ariel Dorfman’s novel is structured so that “[t]he total number of chapters titled Adentro and Afuera is nine—the nine months of gestation. The five parts of the novel refer to conception, the three trimesters of pregnancy, and birth.” (ibid, p. 142). The five parts listed above are subsequently divided into “Adentro” (“Inside”) and “Afuera” (“Outside”), signaling two different perspectives on the Pinochet dictatorship and the national imaginary: the point-of-view from inside the confines of the womb and within the physical boundaries of the country and the point-of-view of exiles and others that live outside of the Chilean border. For the purpose of this paper, I will focus primarily on the first major plot of La última canción de Manuel Sendero, which occupies all of the sections titled “Adentro” and recounts the legend of the Manuel Sendero’s last son(g), in which his future and hypothetical children dream a different ending for their dear progenitor, an alternative future in which he survives and is able to save his wife and son from the evil ploys of el caballero (the Gentleman). Kimberly Nance aptly describes the narrative that occupies the space of the “Inside”: “The novel’s primary narrative alternates between the voice of the fetal grandfather and a first-person plural that turns out to represent an alliance of the unborn, unconceived, exiled, and dead” (Nance 2006, p. 52). These fetal versions of the story of Manuel Sendero’s last son(g) are communicated in utero and later ex utero by Manuel Sendero’s unborn son, who is nameless, except for the first-person plural narrator’s reference to him as el abuelo (Grandfather) and by the other allied residents of Doralisa’s body and members of the fetal “intelligence” network. The audience is comprised of “hijos míos, nietos de mis amígdalas, biznietos que se quedan boquiabiertos y umbilicales a mis rodillas” (Dorfman 1982, p. 18); positions I relate to, and are based on the question and reflection of whether it is possible to have a project of renewed liberation [...]. a project of liberation that would include the great diversity of the cultures of the world that are beginning to appear, among which we would include ourselves”). 3 Throughout this article, I use various terms to refer to the metaphysical metaphors present in these texts. I use “maternal body” when the context privileges the biological processes of conception, gestation, and pregancy; “maternal-fetal relationship”, when my analysis relies on the ways in which the mother and fetus can be linked existentially, phenomenologically, empathically, and physiologically as what Sara Heinämaa would refer to as a “the communicative couple of the fetus and the pregnant mother” (Heinämaa 2014, p. 42); “pregnant subject” when I want to emphasize the agency, experience, and subjectivity of the referent; and “pregnant mother” to invoke the attendant socio-cultural, political, historical, religious and philosophical discourses that project meaning and significance onto this figure. According to Florentien Verhage, “in our philosophical, medical, and everyday imaginings and discourse we are often forgetful of the subjectivity of the pregnant and birthing woman”, and I am trying to be cognizant of this in my self-conscious use of these different terms, which are undoubtedly interrelated discourses about a particular embodied subject and her experiences (Verhage 2013, p. 301). 4 McClennen remarks on this structure in Ariel Dorfman: An Aesthetics of Hope: “Given that The Last Song narrates frustrated reproduction, the use of a birth metaphor to structure the novel serves to further complicate an interpretation of the text. At one level the structure suggests the process of writing the novel as similar to that of the act of giving birth. In addition, the novel likens the development of social struggle to that of childbirth. The birth of a just society, Dorfman suggests, requires similar acts of love, patience, strength, and courage to that of giving birth” (McClennen 2009, pp. 197–98). For a reading of Fuentes’s novel as “an allegorical representation of national consciousness in the process of gestation” and its use of metafictional techniques, see Santiago Juan-Navarro, “The Dialogic Imagination of Salman Rushdie and Carlos Fuentes” (Juan-Navarro 1993, p. 307). For a discussion of the many literary forebears of Cristóbal Nonato and a more extensive explanation of the role of the metaphor of reproduction and its connection to textual creation, see Kadir, “Fuentes and the Profane Sublime” (Kadir 1993). Humanities 2018, 7, 24 3 of 26 “you kids, children, grandchildren, and great-grandchildren, you kids sitting here openmouthed and umbilically at my feet” (Dorfman 1987, p. 10), which situates the reader as a typical child listening to the story of how they were (not yet) born. We soon learn that, in order to cope with the disappearance of her husband (Manuel Sendero) and with his internment in a concentration camp, Doralisa (el abuelo’s mother), as a participant in a drug test being conducted by el caballero’s company, agrees to take a pill that will induce a perpetual state of sleep. As “the military leader who represents absolute power” (McClennen 2009, p. 202) and, more specifically, Chilean dictator General Augusto Pinochet, el caballero assures Manuel Sendero that: Su mujer se iba a despertar cuando, a juicio de la empresa, se hubiera alcanzado un resultado satisfactorio. Mientras tanto, la futura madre y el presente feto, aunque no se lo nombra explícitamente por disposición del Ministerio de Salud, quedando comprendido en la frase: “y otros residentes en el cuerpo de la madre”, gozan de un estatuto de garantías. (Dorfman 1982, p. 33) [His wife was going to wake up when, in the judgment of the company, a satisfactory result had been achieved. Meanwhile the future mother and present fetus, which, although it is not explicitly mentioned in the proposal from the Ministry of Health, is also covered under the contract by the phrase and other residents of the mother’s body, enjoy the benefits of a Statute of Guarantees. (Dorfman 1987, p. 30)] Referring to these women as bellas durmientes (“sleeping beauties”), el caballero explains that, in a sense, they are “working” by remaining passive and sedated, but we are never privy to their perspectives firsthand, so it is difficult to verify his statement with any certainty (Dorfman 1982, p. 42; Dorfman 1987, p. 42). As he is being gestated, el abuelo stages the first fetal rebellion, which fails once Pamela, his love interest, is unable to resist birth any longer; therefore, el abuelo becomes the spokesperson and liaison for a future fetal rebellion since “[e]ra el único no nato de la historia que había conseguido dominar el misterioso arte del espacio exterior. [...E]ra el único nacido del universo que todavía recordaba y vivía hacia atrás, [s]e había quedado atrapado en esa realidad intrauterina” ((Dorfman 1982, p. 137); “[h]e was the only unborn person in history to have mastered the mysterious art of external space. [...H]e was the only born person in the universe who still remembered and lived looking backward to the womb; [he] had remained psychologically trapped in that intrauterine reality” (Dorfman 1987, p. 170)). In this narrative thread, Dorfman constantly replays a scene of a man on a bicycle being chased by the police; whether Manuel Sendero is on the bicycle or not, whether he is singing or not, whether he is shot or escapes, whether his wife Doralisa and his son survive or not all become issues of grave importance to those who retell it. Since the story is told primarily from the point of view of el abuelo and the other fetuses, the reader, in order to take the fetal perspective seriously, must (even if temporarily) believe in the survival of Manuel Sendero’s son(g).5 Like Dorfman, who structures his novel from conception to birth, Fuentes’s novel spans nine months of his principal character ’s gestation (1991–1992).6 Cristóbal is conceived by his parents, Ángel and Ángeles Palomar, on the shores of Acapulco (on the day of the Christian Epiphany) in order to win a national contest by giving birth to a son whom they must name after Christopher Columbus (Cristóbal Colón), in honor of the quincentennial of Columbus’s arrival in the New World.7 The winner 5 McClennen reflects on this instability and accompanying uncertainty that Dorfman’s novel causes for the reader: “The classic literary metaphor of linking storytelling and human reproduction, though, is frustrated by Dorfman since, even though the writer has been able to produce a novel, the novel itself implies that what has been produced has only a very tentative chance of survival” (McClennen 2009, pp. 199–200). 6 It should be noted that although the novel is divided this way, as Debra A. Castillo observes, “one third of the way through the novel, Cristóbal has advanced no further on his nine-month journey than he had at the first prologue, in the first paragraph of the novel” (Castillo 1991, p. 11). 7 The contest stipulates that the winner’s last name should be a derivative of or share semantics with Columbus’s name, which means “dove,” and this is replicated in Cristóbal’s future last name Palomar, which means “dovecote” Humanities 2018, 7, 24 4 of 26 “será proclamado HIJO PRÓDIGO DE LA PATRIA” ((Fuentes 1994, p. 13); “shall be proclaimed PRODIGAL SON OF THE NATION” (Fuentes 1989, p. 6)) and become a symbol of Mexican power.8 This contest is part of a larger series of diversions that are supposed to distract the Mexican citizens from already extant political corruption, the government’s disappearance of “problem” citizens, and the worsening economic crisis; moreover, in the contest’s rhetoric, reproduction and desire are co-opted in the name of national duty: “¡A procrear, pues señoras y señores! ¡Su placer es su deber y su deber es su libertad! ¡En México todos somos libres y el que no quiera ser libre será castigado!” ((Fuentes 1994, p. 14); “So, ladies and gentlemen, let’s get procreating! Your pleasure is your duty and your duty is your freedom! In Mexico we are all free and anyone who does not want to be free should be punished!” (Fuentes 1989, pp. 6–7)). Although we receive this narrative through Cristóbal’s perspective, the plot is a pseudo-bildungsroman of his father’s individual development as a “rebelde conservador” ((Fuentes 1994, p. 424); “conservative rebel” (Fuentes 1989, p. 397)). In addition to the political and sexual revolution that Ángel experiences, there is also great socio-political turmoil that has severely altered the geography of Mexico—indigenous peoples are even further displaced for the sake of tourism, another earthquake strikes Mexico City, excess governs the Mexican nation in the forms of garbage, greed, wealth, poverty, and violence, and the situation at the borderland has become so dire that the border itself secedes from both the United States and Mexico. Ángel manages a group of misfits, who create a band called “Los Four Jodiditos,” or The Four Fuckups, (including Huevo (Egg), Huérfano Huerta (Orphan Huerta), Jipi Toltec, and Niña Ba) in order to mete out “justice” to the corrupt. Los Four Jodiditos try desperately to con, swindle, humiliate, and even murder those politicians who live extravagantly while the rest of the population suffers in abject poverty. Their operations, however, are often misconstrued debacles, covered up by official government rhetoric, or situated in alignment with an already-established government agenda. Those with political power and military force reveal their intentions to push eugenicist policies on the Mexican people. For instance, Don Homero supports mass sterilization as a solution for “controlling” what he considers to be the growing population of undesirables: “a los escorpiones se los mata, como dijese Horacio el poeta, ab ovo, o sea en el huevo, antes de que puedan dañar, y a los cuervos en sus nido, antes de que nos saquen los ojos” ((Fuentes 1994, p. 189); “we have to kill these scorpions, as the poet Horace says, ab ovo, that is, in the egg, before they can do any damage, and destroy the crows in their nest before they peck our eyes out” (Fuentes 1989, p. 172)). Likewise, Reverend Royall Payne, who patrols the border for President Reagan, invokes the rhetoric of population control: “no hacemos niños mientras todos estos morenos crecen y crecen y cruzan y cruzan y acabarán por juntarse con nuestras propias hijas y madres y esposas” ((Fuentes 1994, p. 524); “we aren’t having kids but all these greasers grow and grow and cross over and cross over and they’ll end up coupling with our own daughters and mothers and wives” (Fuentes 1989, p. 493)). Payne proposes a sterilization of and a genocide against Mexican men, to “matarlos en la semilla de su padre antes de que entren en el vientre de sus madres” ((Fuentes 1994, p. 524); “kill them in their father ’s seed before they enter their mother’s belly” (Fuentes 1989, p. 493)) because “no es lo mismo matar a un niño en el vientre de su madre que matar a un mexicano adulto y bigotudo de estos para impedirle que procree” ((Fuentes 1994, p. 524); “[k]illing an unborn child is not the same as killing a grownup Mexican with a mustache to keep him from procreating” (Fuentes 1989, pp. 493–94)), as if the latter act were “less offensive” than the former. in Spanish. It is no coincidence that Cristóbal Palomar is conceived on the Epiphany, which, in Christian tradition, is “[t]he festival commemorating the manifestation of Christ to the Gentiles in the persons of the Magi” (Epiphany 2017, n.p.). See Michael Hardin for a reading of Cristóbal as “heir apparent to the conquerors and colonizers, Colón [Columbus] and Cortés before him” (Hardin 1996, p. 30) and Alicia Rivero-Potter’s essay, “Columbus’ Legacy in Cristóbal Nonato by Carlos Fuentes,” for a reading of Cristóbal in terms of the historical figure of Christopher Columbus (Rivero-Potter 1996). 8 Like the wayward son who squanders his inheritance but returns to a forgiving father, Kadir characterizes Cristóbal Nonato as “a genealogy whose congenital identifying mark has to be the circuitous waywardness, the dilatory wandering whose circumlocution and digressive restlessness seeks after the name” (Kadir 1993, p. 103). Humanities 2018, 7, 24 5 of 26 As a literary scholar, I am interested in the metaphysical metaphor9 as one of many precise locations where literary analysis and philosophy can meaningfully interact and bear intellectual fruit. In this article, I analyze Fuentes and Dorfman’s maternal-fetal metaphors for their metaphysical properties. In other words, I ask what does each maternal-fetal metaphor reveal about the presumed nature of the maternal body (and, by extension, the pregnant subject), what are the resultant philosophical and political implications of such a figuration, and how these metaphysical metaphors can reveal each author’s position on intersubjective ethics. In both novels, the state-sponsored existential threats against the unborn and the systematic violence against their pregnant mothers persist as another form of colonization. I would argue that both Dorfman and Fuentes co-opt the experiences of conception, gestation, and birth from their silent/silenced female characters (as pregnant subjects) in order to privilege the perspective of their gametic, embryonic, and fetal narrators (as authorial subjects) for their own political ends, which are not, in and of themselves, without merit.10 Indeed, the fetal narrators11—who are also situated as innocent victims—reclaim the womb as their rightful territory, condemn the state for its threats against the unborn and their mothers, and reconfigure the womb as a sanctuary and revolutionary space for the nation’s hopes for the future. By rendering the womb as a national space and the fetus as emblematic of the future citizen, the maternal body becomes the necessary precondition for their very existence, the fetal narrators/narratives are only imaginatively “possible” within the context of a maternal medium. According to Kimberly A. Nance, “The publication of La última canción de Manuel Sendero and Cristóbal Nonato (and Diamela Eltit’s El cuarto mundo) within a few years of each other may reflect each writer’s sensitivity to what amounted to a fetal Zeitgeist” (Nance 2006, p. 53).12 This “fetal Zeitgeist” to which Nance refers, is occupied with questions of fetal personhood, a concept that is useful for understanding the prevalence of fetal narrators in literature of the 1980s. “As a result of reproductive imaging technologies, the commodification of babies, and other social changes,” Lynn Morgan argues in “Fetal Relationality in Feminist Philosophy: An Anthropological Critique,” that “the attribution of personhood (what I call ‘social birth’) can now precede biological birth. The result is a new, unprecedented category of fetal persons [...]” (Morgan 1996, p. 59). With the aim of protecting life itself, religious, political, and medical pro-life discourses have transformed the unborn child into a symbol of humanity, the future citizen, a fetal person with legal rights for whom they can advocate.13 9 In the introduction to their essay collection, Coming to Life: Philosophies of Pregnancy, Childbirth, and Mothering, Sarah LaChance Adams and Caroline R. Lundquist observe that “philosophers have often treated [women’s experiences] dismissively or used them opportunistically as metaphors for metaphysical concepts” (LaChance Adams and Lundquist 2013, p. 3). Here, Adams and Lundquist critique an uncritical and unreflective use of the experiences of pregnancy, childbirth, and mothering as illustrative of other processes, such as artistic creation, knowledge production, and philosophical thought, itself. Their volume posits feminist phenomenology, which “emphasizes the importance of the experience of the situated, embodied subject” (ibid., p. 13) as a means to critique the problematic and often fallacious premises on which metaphysical metaphors of the maternal body rely. Indeed, Adams and Lundquist argue that “such ‘feminine experiences as pregnancy, childbirth, and mothering have the power to radically challenge and in many cases undermine conventional, often fundamental beliefs about the nature of human subjectivity and intersubjectivity, humanity’s relationship to the natural world, and the nature and purpose of ethics, to name just a few” (ibid., p. 15). 10 In “The Language of the Fathers: The Conquering and Colonizing Tongue of Cristóbal Nonato,” Michael Hardin gestures toward this paradox in Fuentes’s project: “[t]he question which ultimately must be asked is whether Fuentes is critiquing the phallogocentrism of the masternarrative, or unwittingly participating in it” (Hardin 1996, p. 42). Amy Novak takes a stronger stance on Dorfman in “Gendering Trauma: Ariel Dorfman’s Narratives of Crisis and Reconciliation,” where she claims that “As [Dorfman’s post-coup literary texts] oscillate between a critique of the sadistic positioning of women in masculinist narratives and a continued reduction of them to desired objects, the silent female figures of the domestic space rupture both the authoritarian discourse of the public sphere and the anti-authoritarian narrative practices of the novels themselves” (Novak 2007, p. 297). 11 Please note that for the sake of readability, I have, for the most part, used the word “fetal” to refer to these intrauterine characters, as it is difficult to determine with exact certainty the stage of development that corresponds with each moment in the text. 12 For my analysis of fetal narrators in Diamela Eltit’s El cuarto mundo, see “Deauthorizing Anthropologies and ‘Authenticating’ Landscapes in Margaret Atwood’s The Handmaid’s Tale and Diamela Eltit’s El cuarto mundo” (Sparling 2011). 13 In “Making Fetal Persons: Fetal Homicide, Ultrasound, and the Normative Significance of Birth,” Catherine Mills “examine[s] the social and political implications of a machinery that produces the fetus as a person,” which she characterizes as “ha[ving] something of this performative force”, namely that “in being called a person, the fetus is made into a person, such that Humanities 2018, 7, 24 6 of 26 In the same year, in “Embryologies of Modernism,” Susan Merrill Squier articulates an important literary trend in beginning in 1980: [A] parallel explosion of global interest in embryology embodied in a number of fictions exploring fetal life [emerged], from Salman Rushdie’s Midnight’s Children, Ariel Dorfman’s The Last Song of Manuel Sendero, and Carlos Fuentes’s Christopher Unborn to Kenzaburo Oe‘s A Personal Matter and Pascal Bruckner’s The Divine Child, each of which can be understood as drawing on embryological models to articulate a new, national fetal subject. (Squier 1996, p. 151) However, the emergence of this “new, national fetal subject” also relies on visual technologies that make its representation possible; as Alice E. Adams warns in Reproducing the Womb: Images of Childbirth in Science, Feminist Theory, and Literature, “the history of the intelligible fetus begins with the mother’s retrospective erasure” (Adams 1994, p. 154). In this seminal work, Adams locates the residue of the maternal body in technologically produced fetal images and reincorporates it into the practice of medical imagining: The physician reveals the “intelligible” fetus by first making the womb “sensible”, or available to sensory apprehension. No matter how intently the eye focuses on the figure of the fetus, it is comprehensible only in relation to its background; even when it is represented as pitch-black space, some trace or recollection of the womb remains to interact with the image of the fetus. (ibid., p. 155) Certainly, there is a violence in “the mother’s retrospective erasure”, a fact that is obscured in medical discourse and in the popular use of the products of medical imaging as a rhetorical device that “speaks for itself” (ibid., p. 249). Whereas representations of the fetus in the visual field have often resulted in a conclusion of a maternal-fetal relationship characterized by opposition, the history of medicine, as Adams observes, likewise has offered few cooperative metaphors to explain the maternal-fetal relationship.14 Some physicians describe the fetus as a parasite who takes over the mother’s body; others describe it as a prisoner of the mother’s psychological and physical pathology. Prisoner, parasite, philosopher, astronaut, hermit, patient—all the identities ascribed to the silent fetus have this in common: they are based not on a model of cooperation or union between mother and fetus but on a model of maternal-fetal opposition. They all ascribe to the fetus a degree of intention, a modicum of mature consciousness, and an awareness of self and other. Whether subordinate or superior, invader or captive, the fetus is always alienated from its immediate (maternal) environment. (ibid., pp. 143–44) Popular film has also participated in reproducing and reinforcing such alien and alienating bodily configurations. Kelly Oliver, in charting the genealogy of filmic representation of pregnancy in the United States, maintains that: “[w]hether the fetus is imagined as an alien, a monster, as devil, as spaceman, it has become an icon that represents our fears of an abject other within that threatens our identity as human and at the same time has become definitive of human life, the most innocent and pure the name person ‘retroactively constitutes its reference’ (Žižek 1989, 95)” (Mills 2014, pp. 90, 96). In “The Myth of Fetal Personhood: Reconciling Roe and Fetal Homicide Laws,” Juliana Vines Crist explains how legal definitions of personhood operate in the U.S. “The fetus, like the corporation, is not entitled to protections because of what it is innately. Instead, the law recognizes that there is a natural person, the mother, who has fundamental interests at stake. Her rights are invested in another entity, the fetus. The law gives that entity juridical personhood to ensure that the rights of the mother may be secured, just as the law gives the corporation juridical personhood to protect the rights of the shareholders” (Crist 2010, p. 865). 14 In fact, as Adams reminds us, the fetoscopy that results in photographic images of the fetus usually occurs when women are having an abortion or the fetus is being examined for some kind of defect. While these images are often used to represent a kind of universal humanity, “there is a crisis going on with this fetus that is not inscribed in the photograph” (Adams 1994, p. 141), namely a crisis in health or imminent death. Humanities 2018, 7, 24 7 of 26 citizen in need of legal protection” (Oliver 2013, p. 248). Indeed, these oppositional representations of the maternal-fetal relationship often situate the fetal person as antagonistic to and alienated by their mother or as an exemplary, innocent minority and subject to their mother’s will. This, in turn, limits the fetal person’s possibilities, and by implication, those of the pregnant subject, for a livable future. In “Fetal Voices: Speaking for the Margins Within,” Susan Merrill Squier responds to what she describes as the recurring trope of “fetal images and voices, split off from the gestating woman and womb” (Squier 1991, p. 17) in the late twentieth century: [N]o longer are the fetus’s interests conceived of as linked to those of the mother; now it is argued that fetal rights must be defended against the mother’s—by outside, even state, intervention if necessary. This new focus on the fetus apart from the mother is fueled both by such technological advances in obstetrics and gynecology as ultrasound fetal monitoring and fiber optics and by the resurgence of the Right to Life movement and its base of support in the New Right. (ibid., pp. 17–18)15 Ultimately, Squier, interrogating the impulse and trend of speaking for the fetus in political and/or fictional terms, cautions “[w]e must be aware of the difference between articulating their positions and speaking—as we seem increasingly willing to do—for the fetus”; “rather”, Squier implores, “we must explore liminality and ambiguity, must both doubt and permit the possibility of fetal speech” (Squier 1991, p. 28). Squier’s point is especially salient in the case of The Last Song of Manuel Sendero and Cristóbal Nonato, for to “doubt and permit the possibility of fetal speech”, is to suspend our disbelief in the fetal narrative, to entertain it as a real possibility, but also to hold that in tension with the awareness of how the fetal voice can be co-opted for certain political ends. What is more, any imaginative articulation of the fetal voice must also be considered alongside that of the pregnant subject. As Adams reminds us, “the mother, as the speaking and acting ‘member’ in the mother-fetus relationship, must for all practical purposes be considered a fully autonomous individual” (Adams 1994, p. 249). 2. The Birth of the Author: Words Becoming Flesh Although Dorfman and Fuentes participate in the (re)production of “new, national fetal subjects,” reading the maternal-fetal relationship as a metaphysical metaphor can help us to better understand their aesthetic and political projects.16 A striking commonality in both Dorfman’s and Fuentes’s novels is that they situate the origin of life in their father’s bodies, namely those of Manuel Sendero and Ángel Palomar, by narrating ab spermatozoon.17 While references to the eggs of their mothers play a 15 For a further discussion of the role of technology in changing definitions of life, see Susan Merrill Squier, Liminal Lives: Imagining the Human at the Frontiers of Biomedicine (Squier 2004). Melinda Cooper, commenting on the U.S.-American cultural context post-9/11 observes that George W. Bush, who takes up this pro-life discourse by “extending universal health coverage to the unborn,” effectively “acknowledged the unborn fetus as the abstract and universal subject of human rights” (Cooper 2008, p. 153). 16 According to Kimberly M. Nance, “In the mid-twentieth century one of the hallmarks of the Latin American nueva novela was a kaleidoscopic multiplication of new narrators. Not only did novelists of that period experiment with fragmented and multiplied storytellers and those whose perspective was shaped by paranoia, schizophrenia or hallucinogens; they explored the boundaries of narrative possibility in extremis as Artemio Cruz lay dying and Bombal’s amortajada commented on her own wake. [...I]t was not until the nineteen-eighties that Ariel Dorfman and Carlos Fuentes situated narrators in utero with La última canción de Manuel Sendero (1982) and Cristóbal Nonato (1987)” (Nance 2006, p. 51). Indeed, Nance also situates both Dorfman and Fuentes within the larger literary context of the postmodernism and the neobaroque: “The fetal narrators were far from the sole technical innovation in either novel. Influenced by the hypertrophic tendencies of postmodernism and the Latin American neobaroque, these formidably complex texts were chock-full of embedded narrations and stylistic and typographical innovations” (ibid., p. 52). 17 Nance argues, rather convincingly, that “[w]hile Dorfman’s novelistic fetuses sometimes do speak pre-conception, their consciousness is expressly neither sperm nor egg; rather they speak from sheer potentiality striving to be born, as unborn and even unconceived grandchildren send messages to their grandfather (281). Despite all of the egg imagery in Fuentes’ novel, his fetus first speaks not ab ovo but ab spermatozoon, as illustrated in his self-portrait on page 117, and by his statement that ‘El huevo de mi madre me espera’ (16). His narrative actually begins preconception, with a description of his own ultra-primal scene” (Nance 2006, p. 56). Although I agree with Nance that we do not get the perspective specifically ab spermatozoon from each of Dorfman’s fetal narrators, el abuelo actually does narrate his own conception as a split self, with the sperm and egg as equal components, but nonetheless from the perspective of the sperm. Humanities 2018, 7, 24 8 of 26 role, and have the possibility of compromising their accounts, we do not hear “their” perspectives. This idea that the sperm somehow makes a more authorial and authoritative contribution than the egg is reinforced by the fact that these narrators turn primarily to their paternal genealogy as evidence that they are genetically predisposed to be pioneers; they imbue their own conceptions and births with larger significance, claiming to be descendants of national “heroes” (Manuel Sendero and Christopher Columbus), whose names signify that they are chosen ones in the Christian tradition.18 According to Emily Martin, author of “The Egg and the Sperm: How Science Has Constructed a Romance Based on Stereotypical Male-Female Roles,” “[e]ndowing egg and sperm with intentional action, a key aspect of personhood in our culture, lays the foundation for the point of viability being pushed back to the moment of fertilization” (Martin 1991, p. 500). Martin, who writes on the use of gender metaphors and stereotypes to explain cellular functioning, observes a similar phenomenon in scientific accounts of the egg and the sperm, which also preserve an oppositional and hierarchical structuring of masculinity and femininity. The problem, she claims, lies in the act of attributing “personhood” to molecules: Even if we succeed in substituting more egalitarian, interactive metaphors to describe the activities of egg and sperm, and manage to avoid the pitfalls of cybernetic models, we would still be guilty of endowing cellular entities with personhood. More crucial, then, than what kinds of personalities we bestow on cells is the very fact that we are doing it at all. (ibid., p. 501) Indeed, the ways in which Cristóbal and el abuelo narrate their own conceptions might suggest that Dorfman and Fuentes are preformationists, that is, they imagine gametes as if they were already miniature, and, in this case, gendered, subjects.19 What is more, in these novels little time or attention is given to how the union of egg and sperm alters the “subjectivity” of the sperm. Not only have these spermatozoa appropriated a male identity, but they also perform traditionally masculine traits in their cellular encounters. Often, these sperm, when referencing their membership of a collectivity, refer to themselves in the masculine. Regardless of the X or Y chromosome that they carry, Fuentes imbues the sperm with a masculine gender and a masculine sex. Although Cristóbal does entertain the possibility that he could actually be a Cristina, this musing is cut short. Cristóbal claims that his individual will combined with the natural destiny of his unique spermhood enable “him” to overcome the others to reach “his” mother’s egg; whereas, el abuelo’s conception seems somewhat ordinary and rather anticlimactic—“una fracción microscópica de mí mismo subía al encuentro de mi otra mitad redonda y jugosa” ((Fuentes 1994, p. 30); “a microscopic fraction of me climbed up to meet my other round and juicy half” (Fuentes 1989, p. 26)). Nonetheless, in these portrayals, the egg effortlessly descends or opens “her” arms to the newcomer, while the sperm actively struggles and physically exerts “himself,” thus reproducing what Emily Martin has called “[a] scientific fairytale” (Martin 1991, p. 486). Dorfman’s representation of the unborn is abstract in nature and more focused on genealogical memory than on biological processes.20 For instance, the fact that the sperm el abuelo is conscious of and is later able to recall the night of his own conception, when “he” and “his” father “había[n] 18 Manuel comes from Hebrew, as a derivative of Emmanuel, meaning “God is with us,” and Sendero means “path.” Cristóbal means “Christ-bearer” and Colón has been translated as “dove.” 19 Londa Schiebinger explains, “By the seventeenth century, the Aristotelian view that the woman (through her menses) contributed only formless matter to generation, while the male (through his semen) contributed form or sentient soul, was called into question by one important school of thought among the ‘preformationists.’ Preformationists believed that a fully formed organism exists in miniature in the egg [ovists] or sperm [animalculist], in contrast with the epigenesists, who believed that a fetus gradually develops from a simple to a complex organism” (Schiebinger 1991, pp. 178–79). Indeed, Nance refers to Cristóbal as “Fuentes’ homuncular fetus” (Nance 2006, p. 56). 20 Because the maternal-fetal relationship is featured primarily in the narrative thread of Manuel Sendero’s last son(g), I focus on this storyline in my analysis. However, commenting on the diverse representations of reproduction throughout La última canción de Manuel Sendero, McClennen remarks: “On the one hand, it [the way that Dorfman represents reproduction] mirrors that of a society that is on the verge of extinction: David’s girlfriend Gringa gets an abortion, David gets a vasectomy, his son Humanities 2018, 7, 24 9 of 26 establecido lo que se podría llamar conexiones privilegiadas” ((Dorfman 1982, p. 30); “had started to establish what you might call privileged connections” (Dorfman 1987, p. 26)), suggests that el abuelo has a sense of “self,” which humanizes “him” to some extent. However, el abuelo’s development of a connection with his father suggests that el abuelo is, as his father was, a pioneer, and ignores the collectivity of the sperm of which he is a part, a collectivity that he later recuperates with his fetal network. In response to the reader’s doubts regarding the reliability of el abuelo’s account, the narrator assures the audience that “[m]ejor testigo que él, improbable” ((Dorfman 1982, p. 14); “[a] better witness is unlikely” (Dorfman 1987, p. 7)) and that “[n]o había nacido todavía, es cierto, pero no cabe duda de que más cerca que él de los acontecimientos, ninguno, y mayor atención y esmero” ((Dorfman 1982, p. 13); “[i]t’s true that he hadn’t been born yet, but undoubtedly nobody was closer to the events than he was, there was no one who was more involved and paid more attention” (Dorfman 1987, p. 7)).21 Certainly, el abuelo, “who stands to be obliterated by the versions that disallow his own birth” (McClennen 2009, p. 203), has a stake in this story; in his version, Manuel Sendero comes to the rescue of Doralisa and his son. According to McClennen, “[i]ndicating Dorfman’s concern for the future of such tales, Manuel’s legendary history is mixed with that of his son, who may or may not be alive, and who never receives a name. When the son returns to help with a second fetal rebellion he finds various competing versions of his father’s story” (ibid., p. 198). Barr even suggests that “the reader is left in doubt as to the veracity of everything in the text” (Barr 1995, p. 144). El abuelo, however, finds solace in the fact that his story can be corroborated by an entire generation of fetuses, “who” have formed a fetal “intelligence” network (Dorfman 1982, p. 7; Dorfman 1987, p. 11). As the narrator reveals, Es evidente que su perspectiva, ya que ustedes interrumpen puntillosos y exigentes, estaba algo bloqueada por la incomodidad de su postura y que el feto percibía con un dejo torcido y lejanía frágil las cosas, pero tampoco puede ignorarse que la histeria del encierro agudizó sus facultades y sobredesarrolló otras, amén de que logró armar en su defensa una red informativa vasta y rumorosa, un servicio secreto tan secreto, y eficaz que nadie se dio cuenta de que existía [...]. (Dorfman 1982, p. 14) [It’s evident that his perspective—since you insist on interrupting me so punctiliously, so exactingly—was somewhat blocked by the discomfort of his position and that the fetus perceived things with a certain twisted abandon and fragile distance, but neither can it be ignored that the hysteria of his confinement sharpened some of his faculties and exaggerated others, and that, in addition, he succeeded in setting up a vast and buzzing information network in his own defense, a secret service that was so secret and so efficient that no one ever knew it existed. (Dorfman 1987, p. 7)] However, the information gathered by the fetal “intelligence” network is not only compromised by the possibility that “fetal intelligence,” let alone inter-uterine communication, may not exist, but also probably commits suicide, Sarah Barks is infertile, it is suggested that the son of Sendero was aborted, and the fetuses refuse to be born in two massive rebellions. Yet, on the other hand, the female body and the womb, in particular, are depicted as utopian places of sanctuary and refuge and the children born from it are a source of hope” (McClennen 2009, p. 199). In Cristóbal Nonato, the bodily invasion that threatens Cristóbal (and his twin sister) takes the form of Ángeles’s rape by Matamoros Moreno. 21 The fact that el abuelo (as an unborn fetus) is the best witness to the torture, disappearance, and murder of his parents, and perhaps himself, is both ridiculous and incredibly sad; in my view, Dorfman’s work, which he describes as “testimonial art,” reminds us of all of the voices whose stories we will never have access to (McClennen 2004, p. 65). In Testimonio: On the Politics of Truth, John Beverley defines testimonio as “the voice of the subaltern,” a voice that “speaks to us as an ‘I’ that nevertheless stands for a multitude. It affirms not only a singular experience of truth in the face of grand designs of power, but truth itself as singularity” (Beverley 2004, p. 27). For Beverley, testimonio “has to involve an urgency to communicate, a problem of repression, poverty, subalternity, imprisonment, struggle for survival, implicated in the act of narration itself” (ibid., p. 32) and most importantly, “[w]e [as readers] are meant to experience both the speaker and the situations and events recounted as real” (ibid., p. 33), which creates a sense of solidarity between reader and speaker (ibid., p. 37). Humanities 2018, 7, 24 10 of 26 by the fairytale that the other fetuses want to believe.22 For obvious reasons, Pamela (el abuelo’s love in utero and ex utero) also prefers “[u]n final feliz” ((Dorfman 1982, p. 268); “[a] happy ending” (Dorfman 1987, p. 336)), or the version of the story in which the son of Manuel Sendero lives (Dorfman 1982, p. 344; Dorfman 1987, p. 436). We are left with the possibility that el abuelo’s story is “una inevitable reconstrucción parcial que dependía de las transmisiones de los otros fetos que deseaban que Manuel Sendero ubicara su fontana, matara el dragón y los rescatara” ((Dorfman 1982, p. 46); “inevitably a partial reconstruction, depending on the accounts of the other fetuses, who wanted Manuel Sendero to locate his fountain, to kill the dragon and to rescue them” (Dorfman 1987, p. 49)). By “rechaz[ando] el primero y principal de los privilegios, que es nacer” ((Dorfman 1982, p. 136); “reject[ing] the first and principal privilege, birth” (Dorfman 1987, p. 168)), the fetuses strategically resist victimization by being incorporated into a system that is antagonist toward those who refuse conformity. In a strange invocation of right-to-life rhetoric (especially as it was promoted by the Catholic Church), in which the fetus is framed as the innocent victim whose point of view is disregarded by contraceptive or abortive practices, el abuelo feels forced into a life he does not want. In protest he grumbles, “nadie me había consultado si quería existir” ((Dorfman 1982, p. 35); “no one asked me if I wanted to exist” (Dorfman 1987, p. 33)), declaring this offense regarding his conception to be “el primero de tantos actos anti-democráticos que me iban a imponer” ((Dorfman 1982, p. 35); “the first of many antidemocratic acts they were going to impose on me” (Dorfman 1987, p. 33)). Rebelling against a world that he did not want to be born into, el abuelo proclaims: “Bueno, nosotros declaramos el poder de los fetos, la democracia de los que no hemos nacido, la verdadera mayoría. El futuro al poder, ese es nuestro lema” ((Dorfman 1982, p. 35); “Well, now we’re calling for Fetus Power, the democracy of the unborn, the true majority. Power to the future, that’s our slogan” (Dorfman 1987, p. 33)). While the future becomes a source of inspiration for unborn citizens, who are essential to national preservation, this “democracy of the unborn” overlooks and excludes the rights of the already born minority. Pamela also raises this point in her discussion with el abuelo: Claro que la vida es sagrada. Pero alguna vida es más sagrada que otra. Me cansan esas personas que se preocupan por los que todavía no nacen y les importa tan poco los que ya nacieron. [...] Una vez que los bebés salieron, los mismos defensores de la vida en abstracto dejan a los pequeños que se arreglen como puedan, les da lo mismo si pasan hambre y violencia. Senderito. A mí me importan más los vivos. (Dorfman 1982, p. 158) [Of course life is sacred. But some life is more sacred than other life. I’m sick and tired of the people who are so concerned about the ones who haven’t been born yet and who couldn’t care less about the ones who are already here. [...] Once the babies get here, those same defenders of life in the abstract leave the little ones to fend for themselves. They don’t care if they’re hungry or abused. Senderito, I’m more concerned about the living. (Dorfman 1987, pp. 197–98)] To a certain extent, the fetuses seem to agree with Pamela when they contend that sex should be performed responsibly precisely because “no es cosa dejar que el semen fluya y que los óvulos 22 Dorfman often employs tropes typical of fairytales when he is appealing to the hope of his audience: “Érase una vez, niños, en el borde de un cuento de hadas, érase un cantante de nombre Manuel, habíase nosotros en ese país que no era de nunca jamás. Érase un país mientras tanto, una época de entre paréntesis, un país de puerta de atrás, un país en que adormecen a las mujeres y toman presos a los niños. Érase que Manuel Sendero había soñado que con su voz intacta él podría rescatar a su amor de los infiernos y resurreccionar a su hijo y mover a piedad a las fieras. Érase que Manuel Sendero, en una palabra, se creía inmortal” ((Dorfman 1982, p. 321); “Once upon a time, kids, on the frontier of a fairy tale, there was a singer whose name was Manuel. Once upon a time there was we ourselves in that country that never was. Once upon a time there was a land of meanwhile, a time of between parentheses, a land of the back door, a land where they put women to sleep and take children prisoner. Once upon a time Manuel Sendero had dreamed that with his voice intact he could rescue his beloved from Hell and resurrect his son and move the beasts to pity. Once upon a time, in a word, Manuel Sendero believed he was immortal” (Dorfman 1987, p. 407)). Humanities 2018, 7, 24 11 of 26 broten y que el universo vuelva a recrearse en cada lecho” ((Dorfman 1982, p. 35); “these aren’t the times to just let the semen flow and the ova blossom and the universe recreate itself in every bed” (Dorfman 1987, p. 32)). For example, el abuelo, who in the future performs coitus interruptus so as not to be “un inseminador falaz” ((Dorfman 1982, p. 36); “a false inseminator” (Dorfman 1987, p. 34)), is described as “inundando el valle de sábanas y no el valle de hijos que clamaban por armar camas y petacas en la caliente corola de Pamela” ((Dorfman 1982, p. 36); “flooding a valley in the sheets and not a valley of children clamoring for cradles and beds in Pamela‘s warm corolla” (Dorfman 1987, p. 34)). Here, in the fairytale, spermatozoa become children while the egg is converted into a cradle and the womb opens like the petals of a flower to receive them, a fairytale which co-exists with the stark reality that the el abuelo does not want to be held responsible for children he did not intend to create or who did not ask to be born. Although they value life, the fetuses seem only to do so when the conditions are right, that is, when they will be guaranteed that the current government will be dissolved, that all weapons will be destroyed, that a free market will be replaced with free food, and that everyone will go naked (Dorfman 1982, pp. 287–88; Dorfman 1987, p. 362). In the meantime, “[h]an declarado su independencia unilateral del género humano” ((Dorfman 1982, p. 287); “[t]hey’ve declared their unilateral independence from the human race” (Dorfman 1987, p. 361)), and appropriate the right to choose (in terms of whether or not they will be born) from their mothers. In this novel, birth, rather than being liberating, becomes a form of self-annihilation. The narrator even likens birth to suicide, claiming that just as a universal genealogical connection is broken in the process, so too does the newborn lose a part of himself/herself when s/he makes that choice: [T]odo recién nacido se mata a sí mismo, destruye sus vínculos consigo mismo, con los meses de embarazo, con los muertos que han acompañado y le han calentado la oscuridad, con los hermanos por venir que ocuparán ese hueco, con los padres que antes de ellos eran idénticos y espejos y pequeños en la concavidad de la abuela, y con la abuela que también llenó un oscuro hoyo tibio que no era de cementerio y así hacia atrás, la mentira de que el útero es uno en particular en vez de ser una constelación donde todos se encuentran y se sucesivan y se transponen. (Dorfman 1982, p. 141) [[E]very newborn kills himself, destroys the bonds that link him to himself, to the months of pregnancy, to the dead who kept him company and warmed the darkness there, to the future brothers and sisters who will occupy that space, to the parents who before them were identical and mirror images and tiny in Grandmother‘s concavity, and to Grandmother, who also once filled a dark, warm hole that wasn‘t in a cemetery and so on, back through time, the lie that there is a particular uterus not a constellation of uteruses where all meet and succeed each other and change places. (Dorfman 1987, p. 174)] Owing to this mass resistance against birth, the future descendants of Manuel Sendero (accompanied by a few roaming dead relatives) seem to accumulate in Doralisa’s body, which connects them to the other unborn through a vast, perhaps global, inter-uterine network. The fetal versions of the story of Manuel Sendero’s son(g) are, indeed, a form of self- preservation and preferable to the alternate endings provided by el Flaquísimo (Skinny) and el caballero (the Gentleman). In el Flaquísimo’s bleak account, he corrects el abuelo, claiming “la muerte era la muerte, joven. Era un hecho frío y sistemático y las únicas voces eran las de los generales” ((Dorfman 1982, p. 25); “death was death, young man. It was cold-blooded and systematic and the only voices were the generals’” (Dorfman 1987, p. 21)). As el caballero tells it, he forces Manuel to witness the abortion of his son and the murder of his wife because he refused to sing in order to save his family’s life (Dorfman 1982, pp. 316–20; Dorfman 1987, pp. 401–5).23 However, the reader, 23 “Making someone sing” can be read in a variety of ways here, as a metaphor for forcing them to speak, confess, or testify under conditions of torture, but also as a horrible violation of the individual’s right to free expression, artistic or otherwise, by compelling it. Humanities 2018, 7, 24 12 of 26 who learns the story of the last song of Manuel Sendero from a fetal perspective, often finds themself identifying with the ending that would enable the story, and the future generations, to live on, namely, the account of a successful fetal rebellion, which hinges on the survival of the one man that would make it possible. More than a fairytale, this narrative assumes further rhetorical weight as a collective dream, a song that is later shattered by the violent truth: Ese día común y corriente lo habíamos soñado y construido simultáneamente entre todos. Despertamos a lo que se llama la verdad y en ese mundo lo que verdaderamente estaba ocurriendo no era nuestra rebeldía o nuestro deseo de comunicarla, lo que nos había obligado a interrumpir el sueño era que en esa intersección de la eternidad una bala había alcanzado la canción de Manuel Sendero, habría traspasado el vientre cantante de Doralisa en su carretela de los despertares, había paralizado las ruedas de la bicicleta en alguna vereda de la ciudad deshabitada donde todos los habitantes soñaban el mismo, idéntico sueño cotidiano, donde abrimos los ojos y no había nada que pudiéramos hacer para salvar a esa pareja de enamorados. (Dorfman 1982, p. 351) [Among us all we had dreamed and simultaneously created that ordinary day. We woke up to what is called truth and in that world what was really happening wasn’t our rebellion or our desire to communicate it. What had obliged us to interrupt our dream was that at that particular juncture of history a bullet had reached Manuel Sendero’s song. It must have pierced Doralisa’s singing womb in the cart where she was to awaken. It had paralyzed the wheels of the bicycle in some alleyway of the uninhabited city where all the inhabitants were dreaming the same identical everyday dream, where we opened our eyes and there was nothing we could do to save that pair of lovers. (Dorfman 1987, p. 446)] When this hope for an imagined future of the nation is cut short, the reader is left to face the human toll of the dictatorship and its legacy. Yet the hope of collaboration emerges at this devastating moment: “dependía de ellos y de cada uno de nosotros preparar un mundo en que los padres jamás tuvieran que escoger entre su dignidad y la vida de sus hijos, entre esas dos formas del futuro” ((Dorfman 1982, p. 352); “it depended on them and on each one of us to prepare a world where parents would never have to choose between their own dignity and the lives of their children, between those two forms of the future” (Dorfman 1987, pp. 446–47)). Here Dorfman counters this feeling of utter helplessness by forging a connection between these “two forms of the future,” one that emerges in relation to its socio-historical context and one that envisions something completely different—neither of which he is willing to give up. Indeed, this moment in the novel is demonstrative of what McClennen calls Dorfman’s “aesthetics of hope,” which “seeks collective responses to social dilemmas and rejects the aesthetic of individualism where superheroes fix the world” (McClennen 2009, p. 90).24 In contrast with Dorfman, who is very much concerned with the unborn as a collectivity and presents multiple perspectives on the same story, Fuentes spends more time detailing the psychology and physicality of Cristóbal’s experience of the womb because he focuses primarily on the point of view and the intrauterine development of his narrator. The narrative begins with the story of Cristóbal’s experience, which Cristóbal himself narrates from his father’s body, “en cuyo saco prostático yo yazco aún, inocente y filadélfico con mis dormidos hermanitos (y hermanitas) cromosómicos y espermatoides” ((Fuentes 1994, p. 12); “in whose prostatic sack I still lie in waiting, 24 According to McClennen, “Dorfman explains that he ‘tentatively’ calls literature with an aesthetics of hope that which is ‘based on the proposition that the dead do not choose for us, but that we choose for them, that we change the past as we forge into the future” (McClennen 2009, p. 87). McClennen outlines the elements of an aesthetics of hope in her book: “In addition to the three elements of hope that are fundamental to the aesthetics of hope—the bridging of the past, present, and future, the mutual interdependence of reason and emotion, and the association of the individual with the community—there are three further features that are essential to such an aesthetic theory. An aesthetics of hope is dialectical, provocative, and revolutionary” (Ariel Dorfman 107). Humanities 2018, 7, 24 13 of 26 innocent and philadelphic, with my sleepy chromosomatic and spermatic little brothers (and sisters)” (Fuentes 1989, p. 4)). Perhaps inspired by Christopher Columbus, who was also confident in his prophetic abilities, Cristóbal claims, “yo estoy a punto de ser creado” ((Fuentes 1994, p. 14); “I am about to be created” (Fuentes 1989, p. 8)).25 With this pronouncement, Fuentes symbolically places the origin of subjectivity, authorship, and creative genius in the male body. In an even more hyperbolic statement, Cristóbal expands on this conceptualization of male creativity by crediting the “family jewels” of his father for the origin of America: “por allí fue deseada, allí fue necesitada, y no en otra parte: América está en los cojones de mi padre!” ((Fuentes 1994, p. 535); “that’s where we begin: that’s where America was invented, that’s where it was desired, that’s where it was needed and nowhere else: America is in my father’s balls!” (Fuentes 1989, p. 504)). What is more, Cristóbal presents his father ’s creative capacities as an awe-inspiring, efficient, and productive worlding: “los dobles hemisferios de tu talega huevera, progenitor mío, productor parejo de millones de espermas, ininterrumpidamente de la pubertad a la vejez” ((Fuentes 1994, p. 552); “the double hemispheres in your egg sack, my dear progenitor, steady producer of millions of sperm, constant from puberty to old age” (Fuentes 1989, p. 521)). The climax, thus, is transcendental—“todo lo que semos desde el origen, todo viene inscrito en él, ay mi DNA del alma, va a encontrar tu huevo Ángeles, tu esperma Ángel, portando por Dios, Nombre de Dios, Española, la Reina por Dios, portándolo, Cristo, Cristo, CRISTÓBAL” ((Fuentes 1994, p. 17); “Angel, Angeles, bearing all that we are from our very origins, everything is inscribed in him, ay, my dearest DNA, he’s going to find your egg, Angeles, your sperm, Angel, bearing, my God, name of God, nombre de Dios, Hispaniola, my Queen, by God, bearing, Christ, Christ, Christ... CHRISTOPHER” (Fuentes 1989, p. 9))—as it invokes various sources of genealogical history, from the Creator to DNA to Columbus’s founding of the New World.26 I would like to concentrate first on this image of Cristóbal as a Christ-figure. In response to this image, Hardin reasons: Consequently though, if Cristóbal is the son of la Virgen, then, in a sense, he is a son without a biological mother; if there has been no sexual intercourse, then is not Cristóbal created purely from the divine insemination of sperm? Christ is considered to be God, not a demi-god; this relegates Mary to the position of vessel, in a sense an incubator for the Christ child. Mary is denied voice and presence despite her body being the receptacle of the Son of God. [ . . . ] Thus, Cristóbal—Cristóforo—is the Christ child and the Christ bearer. (Hardin 1996, p. 34) This reference to Ángeles as a Virgin Mary figure is evident in Cristóbal Nonato, but Hardin’s reading of the Virgin Mary as not “a biological mother” is problematic at best. Indeed, he tends toward a critical misreading of both the Biblical figure and reproductive processes. First, as Frances Gray argues, “Mary’s consent is crucial to the event that will follow”, namely, so that the word/God can be made flesh; she is certainly a biological mother who has an agency in gestating the son of God, in bearing Christ. Because we cannot know precisely the nature of Mary’s biological contribution does not mean that there is none or that we can or should articulate its limits; what is equally unclear is the existence of a biological father, a fact which Hardin takes for granted. It should be made clear also that even Fuentes acknowledges, albeit marginally, the role of Ángeles creative agency regardless of his unreliable narrator’s statements testifying otherwise. That Cristóbal takes credit for being the “Christ-bearer and Christ-child,” does not mean that “he” is; indeed, the reference to “Christ-bearer” could equally be read as an etymological code for Columbus, who had his own Messianic complex. Although Hardin recognizes Cristóbal’s later concession to give “his” mother some credit in the 25 For an in-depth analysis of Christopher Columbus and Messianism, see Kadir’s Columbus and the Ends of the Earth (Kadir 1992). 26 This reference to Columbus is reinforced as Cristóbal, as he is being ejaculated from his father, imagines being expelled from the peninsula, namely Spain (Fuentes 1994, p. 17; Fuentes 1989, p. 9). Humanities 2018, 7, 24 14 of 26 biological processes of gestation, he contends that Cristóbal “creates himself linguisitically, and he gives her life within his narrative” (ibid., p. 36). Columbus is also figured here literally as a “founding father,” when Cristóbal parses the name that he shares with his forebear: “Portador de Cristo y Paloma o sea las does personas que faltan de la Trinidad, el Hijo y el Espíritu Santo, nuestro Descubridor, el santo que se mojó las patiux para cruzar los mares y la paloma que llegó con una ramita en el pico a anunciar la proximidad de la Tierra Nueva y el que se estrelló un huevo para inventarnos [...]” ((Fuentes 1994, p. 85); “Christ-bearer and Dove, which is to say, the two persons missing from the Trinity, the Son and the Holy Spirit, our Discoverer, the saint who got his footsies wet crossing the seas and the dove that arrived with a little branch in his beak to announce the nearness of the New Land and the one who broke an egg to invent us [...]” (Fuentes 1989, p. 76)). Cristóbal, involved in sperm worship, valiantly presents the act of “breaking”27 the egg as a necessary violence, and in this scenario the sperm also takes all of the credit for creativity as it “invents” the nation. As the creative force, this Columbus-sperm holds not only the privilege of discovery and invention, but also is attributed with the power to narrate these events. Later on, Cristóbal, who claims that he is, at a most basic level, a spermatozoon, also places himself as the victor: “lo que yo soy: un esperma que dejó a sus antepasados y derrotó a sus hermanitos en las carreras charros of ire y ahora ha encontrado el huevo caliente y distribuye sus equis y sus zetas” ((Fuentes 1994, p. 196); “what I am: a sperm that left its ancestors behind and defeated his little brothers in the race for the charros of ire and who now has found the hot egg and is distributing his X’s and Z’s” (Fuentes 1989, p. 178)). Although Cristóbal recognizes the genetic contribution of his mother on some level, he still maintains his personhood intact: “Con todo lo cual me obligan a admitir desde el huevo que Yo soy Yo Cristóbal Más mi Circunstancia” ((Fuentes 1994, p. 31); “I’m obliged to admit, from the egg on, that I am Christopher plus my Circumstance” (Fuentes 1989, p. 23)).28 By adding “plus my Circumstance,” he suggests that, once he joins with the egg, his mother merely serves as a context, not an integral part of his identity as Cristóbal. This statement, held in contrast with Cristóbal’s later preoccupation with “no ser lo que mi plan genético ha determinado para mí, sino lo que las fuerzas de afuera, todos esos fenómenos que mi inteligencia (privada, interior) ha venido observando” ((Fuentes 1994, p. 489); “not being what my genetic plan has determined for me and instead being determined by outside forces, all those phenomena that my intelligence (private, interior) has been observing” (Fuentes 1989, p. 460)), might suggest that his mother also forms part of this environment and continues to construct his “Circumstance.” It would follow, then, that the character of Cristóbal is, in effect, an atomized version of himself or a personified cell; either option would most likely be problematic given that subjectivity and what Martin calls “intentional action” would be difficult to prove or justify (Martin 1991, p. 500). Nonetheless, Fuentes perpetuates, albeit parodically, this notion of the intentionality of the gametes through his imaginative endeavor, which leaves stereotypical gender roles intact. Fertilization, thus, comes down to the art of seduction and is transformed into a testament to Cristóbal’s masculinity. The spermatozoa, “[t]odos como loquitos, tratando de penetrar, romper la barrera, perforar la coraza y vencer la fidelidad de esta Penélope que no admite a cualquier pene lópez de su vecino, qué va!, sólo a uno, al campión, el Ulisex sin hulisex de regreso de las guerras, the greatest, el Muhammed Alí de los cromosomas, el meromero, el maromero, el estupendo” ((Fuentes 1994, p. 113); “[a]ll madly trying to penetrate, break the barrier, perforate the shell, and overcome the fidelity of this Penelope 27 Although the official translation renders “se estrelló” as “broke,” it can also be translated as “crashed into.” Moreover, the syntax of the sentence emphasizes the “the one who broke” or “the one who crashed into,” as if this action were to form an integral part of Christopher Columbus’s and Cristóbal Palomar’s identities. 28 This turn of phrase also recalls José Ortega y Gasset’s contemplative statement: “Yo soy yo y mi circunstancia, y si no la salvo a ella no me salvo yo” ((Ortega y Gasset 1921, p. 35); “I am myself and my circumstance, and if I don’t overcome it [my circumstance] then I won’t survive”). Nance reads Cristóbal’s predicament as follows: “Eventually and painfully Cristóbal comes to the realization that he is a product of genetics plus circumstance; the former inherited from his parents, the latter at the option and mercy of the reader” (Nance 2006, p. 58). Humanities 2018, 7, 24 15 of 26 who will not invite just any old dick to dinner, only one, the champ, the Ulyssex returned from the wars, the greatest, the Muhammed Ali of the chromosomes, número uno” (Fuentes 1989, p. 96)).29 Of course, Cristóbal is the winner of the coveted prize, and therefore receives a proper homecoming: “El huevo de mi madre me espera en su escondite ... En su trono de sangre: ......... la reina Isabel de los Ángeles, mi hermanita piadosa, mi madre cruel, me abren los brazos a mí, el campión, victorioso sobre los millones de soldados y soldaderas muertos en la carrera inútil por llegar hasta aquí, donde yo estoy calientito, ávido, triste, pidiendo posada” ((Fuentes 1994, p. 18); [M]y mother’s egg awaits me in its hiding place. She on her throne of blood, Queen of the Angels—Isabella, Angeles, opens her arms to me, the Champ, victorious over the millions of soldier boys and girls dead in the useless race to get to where I am, warm and cozy, avid and sad, asking for a room of my own” (Fuentes 1989, pp. 10–11)).30 Although more recent studies of fertilization suggest that what might have formally been interpreted as “penetration,” is actually a mutual process, Fuentes uses the traditional narrative readily available to him, in which exceptional strength and physical superiority wins over the selective egg.31 Cristóbal’s bravado and self-confidence quickly waver as he asks himself, “cuándo empiezo a contar mi vida? en los testículos de mi padre? en el huevo de mi madre?” ((Fuentes 1994, p. 23); “when do I begin to count the days of my life? inside my father’s testicles? inside my mother’s egg?” (Fuentes 1989, p. 16)). Implicit in this question are existential concerns with being (is he a human life worthy of value and protection?), origin (“when do I begin to count”), and ownership (“my life”). Later, Cristóbal contemplates the relative value of life and wonders when he will be recognized as human: “[Y]o digno de respeto y consideración a partir de qué momento? desde cuándo más importante que ella, con tanto derecho a la vida como ella, desde qué instante, digo yo?” ((Fuentes 1994, p. 29); “At what moment am I worthy of respect and consideration? At what moment am I more important than she is, with as much right to life as she has, at what point?”; (Fuentes 1989, p. 21)) Not only does Cristóbal, who is obsessed with origins, want to know when his right to life will equal that of his mother’s, but also when the value of his life will surpass her own, that is, when will their positions be reversed. Without a doubt Cristóbal’s disquiet is justified, since the relative value of life determines all sorts of legal, medical, and ethical decisions. Nonetheless, perhaps the primary issue here is not when one life in the maternal-fetal relationship will take precedence over the other, but rather why these lives must be opposed in the first place. 3. Brave New Worlds: Pregnant Flesh and a Mother’s Creativity The metaphysical metaphors presented in these novels have some revolutionary potential, but they are ultimately fall short as models for intersubjective ethics. Dorfman provides us with the metaphysical metaphor of Doralisa’s womb as the “world’s womb,” as a veritable homeland and ideal sanctuary, but the reality is that it is overcrowded by the weight of the unborn (and their futures) and those who have already died (and the historical past). Furthermore, the “world’s womb” is hollowed out and rendered a static, dead object through its violent treatment.32 At first, Fuentes represents 29 This excerpt is from a section titled “Una Vida Padre,” which is translated as “It’s a Wonderful Life,” a translation which disregards the pun that Fuentes employs here. For “Padre” literally means “Father,” but is also used in Mexican slang to refer to something “great” or “cool.” 30 Please note that Fuentes does not translate “mi hermanita piadosa, mi madre cruel,” which means “my devout little sister, my cruel mother.” 31 According to Martin, these new findings suggest that “[t]he researchers at Johns Hopkins concluded that the sperm and egg stick together because of adhesive molecules on the surfaces of each. The egg traps the sperm and adheres to it so tightly that the sperm's head is forced to lie flat against the surface of the zona, a little bit, they told me, ‘like Br’er Rabbit getting more and more stuck to tar baby the more he wriggles.’ The trapped sperm continues to wiggle ineffectually side to side. The mechanical force of its tail is so weak that a sperm cannot break even one chemical bond. This is where the digestive enzymes released by the sperm come in. If they start to soften the zona just at the tip of the sperm and the sides remain stuck, then the weak, flailing sperm can get oriented in the right direction and make it through the zona—provided that its bonds to the zona dissolve as it moves in” (Martin 1991, p. 493). 32 Here, I agree with Novak: “In this tale of historical trauma, Doralisa remains an object—a cathedral, a hearth, a cave—providing instinctual sustenance to the (male) fighters for liberation. The idea of the universal womb that Humanities 2018, 7, 24 16 of 26 Ángeles’s womb as an unpredictable, violent, and hostile “océano-matriz”33 [“ocean-matrix/womb”], her reproductive system as inefficient, monarchical, and alienating, and Cristóbal as parasitic and antagonistic. However, later her womb is also a powerful site of intersubjective (and sometimes silent) communication and artistic creativity. In Dorfman’s novel, Doralisa, the only pregnant woman featured, is often depicted as the Andes mountain range, which demarcates most of Chile’s eastern border and is extremely important for Chileans as a point of reference in their conceptual geography. What el abuelo describes as his entrance into Chile, or “atravesar la cordillera-hembra” ((Dorfman 1982, p. 138); “crossing the female divide” (Dorfman 1987, p. 171)), after being exiled can easily be read as story of his birth.34 In this expedition, he traverses mountains that resemble a pregnant woman: “[P]ero le resultó un tránsito amenazante y estrecho, la cordillera alta como hembra, larga como muslos de hembra en calor, apretada y sofocante a diferencia de cómo la había imaginado en las acuarelas” ((Dorfman 1982, p. 14); “[B]ut the crossing turned out to be narrow and threatening, the mountains, as high as a woman, as long as the extended thighs of a woman in heat, but narrow and suffocating, totally different from what he had imagined based on the watercolor landscapes” (Dorfman 1987, p. 8)). After equating the Chilean landscape to a maternal body, he compares the interior of his mother with the Andes. He writes, “mamá con tu cordillera interior vacía si no fuera por el bebé, un cráter sin cometa si no fuera por el bebé que se agazapa y conspira y sonríe” ((Dorfman 1982, p. 19); “Mama, with the mountain range inside you completely empty except, of course, for the baby, crater without a comet, empty if it hadn’t been for the baby crouching there and conspiring and smiling” (Dorfman 1987, p. 12)). At this moment, the mountain range is mapped onto Doralisa’s interior, but this mountain range is hollowed out (perhaps the work of el caballero?). According to el abuelo, Doralisa, as earth-mother, and later as “la derrumbada montaña de mujer” ((Dorfman 1982, p. 29); “the crumbling mountain of a woman” (Dorfman 1987, p. 24)), safeguards her child from mining as if he were a precious metal. El abuelo also uses other metaphors to describe Doralisa’s body, such as “la carabela dulce” ((Dorfman 1982, p. 132); “sweet caravel” (Dorfman 1987, p. 162)) and “esa fortaleza en el desierto” ((Dorfman 1982, p. 132); “that fortress in the desert” (Dorfman 1987, p. 162)), both of which indicate the security that she provides for the “residents” of her body, such that el abuelo and other political dissidents seek refuge in her womb. Not only is Doralisa a safe haven and “una mujer cósmicamente generosa” ((Dorfman 1982, p. 52); “a cosmically generous woman” (Dorfman 1987, p. 57)), but she is also the source of the future population of Chile, for when el abuelo sends la ciega (the blind woman) to tell Eduardo “que le cuides a sus hijos como si fueran tuyos” ((Dorfman 1982, p. 357); “to care for his children as if they were your own” (Dorfman 1987, p. 453)), he “p[iensa] que los países tardan más de nueve meses en nacer” ((Dorfman 1982, p. 357, my emphasis); “think[s] that it takes more than nine months for countries to be born” (Dorfman 1987, p. 453, my emphasis)). Manuel Sendero, however, “no le gustaba mucho esto de que una mesnada de parientes y hasta de apátridas desconocidos recorrieran lo [sic] barrios prehistóricos interiores de su mujer” ((Dorfman 1982, p. 53); “was not at all pleased with the idea that a bunch of relatives and even unknown expatriates were wandering around his wife’s prehistoric interior” (Dorfman 1987, p. 57)). Converted into a universal and symbolic space outside time, what McClintock has called “anachronistic space,” the womb also becomes a “parachronistic space,” the nurtures and comforts the nation reappears in the unborn son’s description of the welcoming home of her uterus.” (Novak 2007, pp. 309–10). 33 I borrow this term from Linda Egan’s “De la caída de Tenochtitlán al decaimiento del Make Sicko Seedy de Carlos Fuentes: Ciudades en crises, mundos por nacer.” (Egan 2010, p. 124). See also Astrida Neimanis’s introduction to Bodies of Water: Posthuman Feminist Phenomenology, where she claims, “from watery womb to watery world: we are bodies of water” and describes what she calls a “posthuman gestationality” (Neimanis 2017, p. 1; p. 4). 34 “Cordillera-hembra” can also be translated as a female mountain range, which would suggest a persistence of the metaphor of the female body as part of national geography in this novel. Humanities 2018, 7, 24 17 of 26 vessel for the hopes of an alternative future nation (McClintock 1995, p. 42).35 Indeed, as Amy Novak remarks, “This ending trope of woman as the world’s womb elucidates these characters’ positions not as agents of history but merely as vessels of history” (Novak 2007, p. 307). The symbolic womb is no longer linked to female agency or understood as a reproductive organ, but rather becomes static and sterile, a “crater without a comet.” Regardless of how dependent the male characters might be on the womb for their own survival, they still perceive it as a dead object rather than as integral to a living subject. In another instance, el abuelo remarks that, without a doubt, “la certidumbre y santuario del vientre de Pamela era algo a resguardar a toda costa” ((Dorfman 1982, p. 158); “the certainty and the sanctuary of Pamela’s womb was something to be protected at all costs” (Dorfman 1987, p. 197)). In both scenarios, it is the womb that protects and is to be protected, not the woman. What further complicates the positioning of Doralisa as a national mother is her dormant state. The fact that Doralisa is unconscious throughout almost the entire narrative strips her of any subject agency in its construction beyond the biological processes that keep her and her offspring alive. Physically uncomfortable because her son refuses to be born and mentally exhausted with her husband’s disappearance, Doralisa takes the drugs that el caballero offers her, which leave her incapacitated. For Novak, “Doralisa remains a symbol and an abstraction, manipulated by competing discourses—those of the fascist regime and those of the infant rebellion—and unable to invoke her own voice in the narrative of national trauma” (Novak 2007, p. 310). Although it is unknown whether she is manipulated or a willing participant in her own subjection, Barr suggests that with the character of Doralisa, Dorfman’s novel “brings out the horrors of gynecological experiments and violence perpetrated by the military on the bodies of women” (Barr 1995, p. 146). Under the guise of a capitalist enterprise to test a new drug, el caballero basically hires women in order to sedate them. Claiming that “[e]ste trabajo requiere cierta femineidad” ((Dorfman 1982, p. 42); “[t]his work requires a certain feminine quality” (Dorfman 1987, p. 43)), el caballero justifies his experimentation on pregnant women by implying that they are particularly qualified to be passive and to live in the world of dreams, as “nuestra bellas durmientes” ((Dorfman 1982, p. 42); “our sleeping beauties” (Dorfman 1987, p. 42)). Whereas this might be the only choice for these women, preferable to coping with the reality of Chile under Pinochet, it might also be the case that this was not a choice at all, but a violent coercion. Nonetheless, Barr finds that “[a]lthough the junta seems able to control everything, even whether Doralisa will be able to give birth, there is great strength and resistance in the female bodies” (Barr 1995, p. 145). I agree with Barr, in the sense that Dorfman seems to believe in the “great strength and resistance in the female bodies,” but he does not go the extra step to develop them as female subjects. And yet, Dorfman does provide a limited critique of his portrayal of women through the voice of Eduardo, a historian who is skeptical of literary devices: “Metáforas, se quejó Eduardo década más tarde cuando revisaba la bibliografía existente sobre el período: en vez de narrar la historia concreta y testimonial, se dedicaron a hincharnos de ficciones y símbolos vagos” ((Dorfman 1982, p. 60); “Metaphors, Eduardo complained decades later when he was revising the existing bibliography about that period: instead of narrating concrete, testimonial history, they dedicated themselves to swelling us up with fictions and vague symbols” (Dorfman 1987, p. 68)).36 Eduardo states that “[e]l cuento es machista” ((Dorfman 1982, p. 66); “[i]t’s a macho story” (Dorfman 1987, p. 76)) and that “sólo se fija en lo atrasado, lo pasivo, lo manipulable de la mujer” ((Dorfman 1982, p. 66); “it focuses 35 In The Dialectics of Exile, McClennen argues that “Dorfman chooses to narrate two separate alternatives to Pinochet’s Chile. The first refers specifically to Allende’s Chile, but the second version of the nation has no temporal or spatial markers” (McClennen 2004, p. 94). The latter, as McClennen observes, is “a mythical, manichean nation where the good are able to defeat the forces of evil” (ibid., p. 93). Kadir also reflects on the structure of time in Fuentes’s novel: “the fluid and heterodox reality in this novel’s scripture figures as an unremitting oscillation between a past perfect of nostalgia (called romantic conservatism in the novel) and a future perfect of utopia and messianic delivery (referred to as Ayatollaism or Westering the Pacífica) that belie any possible perfectability” (Kadir 1993, pp. 87–88). 36 Barr also considers Eduardo to be the voice of Dorfman’s “anti-patriarchal self-criticism” (Barr 1995, p. 145). Humanities 2018, 7, 24 18 of 26 on the woman only as backward, passive, and manipulated” (Dorfman 1987, p. 76)). Juxtaposing the role of Esmeralda, a sterile woman who dedicates her life to feeding the nation’s poor, with Doralisa, he contends: “una madre que se dormía sin estimarse capaz de parir, y frente a esa extrema apatía, por fértil que fuera, la mujer de inmensos manantiales cuya actividad se pagaba sacrificándose en los altares de la esterilidad” ((Dorfman 1982, p. 148); “that immense fountain of a woman paid for the nourishment she gave to others and her participation in history by being sacrificed on the altars of sterility, and, in contrast, the only mother in the story had to go to sleep, an example of extreme apathy, in order to be sanctified as a nest of fertility” (Dorfman 1987, p. 183)). Eduardo’s analysis, however, is marginal compared to the story of fetal rebellion that dominates the sections titled “Adentro.” In other moments, the novel engages in a feminist critique, but these are also marginal in comparison to the larger narrative strands. Barr also recognizes the patriarchal elements of Dorfman’s novel in which “[w]omen are identified with their bodies” and “[a]ll of the defiant and assertive women are barren,” commenting that “[i]n terms of the plot, the women are marginal to the story,” and “[w]omen’s discourse is practically outside the scope of the text” (Barr 1995, pp. 145–46). Barr concludes that “Dorfman struggles mightily to make this novel antipatriarchal. He succeeds on many levels. The novel is antihistorical and antiauthoritarian. Matriarchal roles are extremely important. Yet upon close examination we see that the plot, albeit non-linear, still revolves around the all-important questions of male lineage” (ibid., pp. 139–40). Novak takes this argument a step further, arguing that “this figuring of women’s bodies registers a textual trauma that qualifies the political force of Dorfman’s writing and revises our understanding of historical trauma and trauma theory by drawing attention to a dissociated feminine voice” (Novak 2007, p. 297). Yet, this tale of survival (if it really is one) is converted into a utopic dream in the Third Epilogue; as the narrator tells us, it “nos había metido, como hermanos, en el vientre de Doralisa para que confluyeran todos los ríos del dormir mientras ella despertaba, niños por nacer, niños sin secretos, fetos prenupciales e insurrectos” ((Dorfman 1982, p. 351); “had placed us like brothers and sisters inside Doralisa’s womb, so that all the rivers of sleep would flow together while she was awakening—unborn children, children without secrets, prenuptial and rebellious fetuses” (Dorfman 1987, p. 446)). Her revolutionary womb, then, is transformed into an ideal collective unconscious, or, one could argue, a brand of national imaginary. A country only united through Manuel Sendero’s music is thus reunited by this shared dream and communal awakening: “acababan de soñar y compartir el vientre del mundo. Les entró la sospecha [...] de que dependía de ellos y de cada uno de nosotros preparar un mundo en que los padres jamás tuvieran que escoger entre su dignidad y la vida de sus hijos, entre esas dos formas del futuro, [...e] inventaron la primera marcha contra la muerte” ((Dorfman 1982, p. 352); “they had dreamed about and shared the world’s womb. They suddenly suspected [...] that it depended on them and on each one of us to prepare a world where parents would never have to choose between their own dignity and the lives of their children, between those two forms of the future, [...and] they invented the first march against death” (Dorfman 1987, pp. 446–47)). In this way, Dorfman calls attention to the ways that dreams and the imagination, by visualizing a homeland that is livable, have the potential to forge an alternative national history alongside the official one. In contrast, Cristóbal’s description of his mother’s reproductive system pales in comparison to the glorified portrayal of his father’s creativity, “[el] huevo racionado de mi madre, a su cerviz tacaña, protegida del mundo con un duro tapón de moco y sólo una vez al mes, un día glorioso, se destapa, se convierte en río de vidrio, en resbaladilla del esperma; el huevo encontró a la víbora, la serpiente encontró su nido fecundo y ME VOILA!” ((Fuentes 1994, pp. 552–53); “my mother’s rationed-out egg, her stingy cervix, protected from the world by a hard mucous stopper, and only once a month, one glorious day, is it unstopped, and then it becomes a river of glass, a sliding board for the sperm; the egg found the snake, the serpent found its fecund nest, and ME VOILÀ!” (Fuentes 1989, p. 521)). Here, the “rationed-out egg” juxtaposes the limited egg supply with the “constant” hyper-production of the sperm. Moreover, his mother’s “stingy cervix” and “hard mucous stopper” seem to evidence a hostile Humanities 2018, 7, 24 19 of 26 environment, reluctant to authorize entrance. Thus, the female body is read in terms of the point of view of the sperm and with the assumption that the sperm is the “ideal” gamete, and performs as a valient knight that fights to win the heart of the queen.37 Cristóbal describes himself as “[u]n cuerpo extraño dentro del cuerpo de mi madre” ((Fuentes 1994, p. 241); “a foreign body within my mother’s body” (Fuentes 1989, p. 220)), depicts his mother’s body as hostile to his own, thus perpetuating this notion of maternal/fetal opposition. Feeling anxious and vulnerable, Cristóbal imagines his instinct of “self”-preservation as a strategic covert military operation: [M]e defendí como pude, me trepé a mi nave espacial y me lancé a la guerra de las galaxias intrauterinas: me comí la membrana de la mucosa de mi madre, penetré por los vasos sanguíneos de mi madre devorando su oxígeno y su alimento como una rata del desierto, excavé, Elector, un hoyo dentro del hoyo de mi madre, hasta que mi paupérrima, fragilísima y frugaloide existencia se hiciera, a fuerza de mi voluntad de vivir, parte del cuerpo y de la vida de ella: Me enterré en mi madre, Elector, me hice tragar por la matriz de mi madre en contra de la voluntad rechazante de mi madre (una voluntad inconsciente, pero voluntad al cabo) [...]. (Fuentes 1994, p. 241) [I defended myself as best I could, I scrambled up into my spaceship and launched myself into intrauterine star wars: I ate my mother’s mucous membrane, I penetrated my mother’s circulatory system, devouring her oxygen and food like a desert rat, I excavated, Reader, a hole within my mother‘s hole, until my oh so poor, fragile, and frugal existence became, through my will to survive, part of her body and life: I buried myself in my mother, Reader, I caused myself to be swallowed by my mother herself (an unconscious will, but a will nevertheless) [...]. (Fuentes 1989, p. 221)] Perpetuating the antagonistic relationship between Cristóbal and his mother, Fuentes invokes the metaphor of the fetus as a parasite, implying that the growth of the fetus is necessarily detrimental to the mother; in a preemptive strike, Cristóbal takes credit for natural processes that are only made possible by the conditions of the womb. “[E]n contra de los dos” ((Fuentes 1994, p. 246); “[A]gainst both of them [Angel and Angeles]” (Fuentes 1989, p. 225)), he declares, “me he instalado en la matriz y yo mismo creo la placenta naciente” ((Fuentes 1994, p. 246); “I’ve set myself up in the womb and I myself am creating the placenta” (Fuentes 1989, p. 225)). According to LaChance Adams and Lundquist, in Luce Irigaray’s concept of the placental economy, “the placenta is a vital mediating space that already preserves differentiation within the relationship. There is neither fusion or conflict, but a negotiation between mother and fetus. The placenta regulates exchanges between the two, ensuring that the fetus is not treated as a foreign or alien other” (LaChance Adams and Lundquist 2013, p. 16).38 However, in this representation, Cristóbal imagines the placenta as a fortress in which he will hide to defend himself from attack. Once his mother Ángeles knows that she is pregnant, however, Cristóbal overcomes his feelings of insecurity and admits to a collaborative effort, “Ella no habla. Yo sólo escucho. No es lo mismo. Pero algo nos une. Ella me crea pero yo me creo también” ((Fuentes 1994, p. 280); “She does not speak. I only listen. It isn’t the same. But something links us. She creates me, but I create myself as well” (Fuentes 1989, p. 256)). And yet, Cristóbal continues to view the maternal-fetal relationship through the lens of difference. With this description, Cristóbal intimates that he and his mother will speak that which is unspeakable for each other, but, as a matter of fact, he is the one who has more control over what is actually said out loud, since his mother’s form of communication is a silent one to which only he is privy. 37 Debra A. Castillo remarks that “in Fuentes’s text reminders of impotence (the enwombed child, parasite, or proto-‘imbunche’) are always paired with images of sexual potency—the millions of rushing sperm” (Castillo 1991, p. 10). 38 For an elaboration of the concept of the “placental body,” see also JaneMaree Maher ’s “Visibly Pregnant: Toward a Placental Body” (Maher 2002). Humanities 2018, 7, 24 20 of 26 [S]eremos siempre la diferencia: madre e hijo celebraremos no nuestra unión, sino nuestra alteridad! Somos el espejo de nuestros lenguajes. Yo estaré dentro del suyo para decir lo que ella no puede decir. Ella dirá lo que yo no puedo decir. Señores electores: rueguen por mí, rueguen que la lección del lenguaje aprendido en el seno de mi madre no la olvide, como tantas otras cosas, apenas tenga lugar el parto. (Fuentes 1994, p. 280) [[W]e shall always be a difference: mother and child, we shall celebrate not our union but our alterity! We are the mirror of our languages. I shall be within hers to say what she cannot say. She shall say what I cannot say. Gentle Readers: pray for me, pray that I do not forget (as I shall forget so many other things the instant I am born) the lesson of language I’ve learned in my mother’s womb. (Fuentes 1989, p. 256)]39 In a similar gesture of projecting difference onto an “other,” Ángeles becomes a screen for Ángel’s projections of his suave patria (“sweet fatherland”). For instance, Ángel maps out continental American geography onto her body: Reina Mía: dame América, dale Ameriquita a tu Angelito; dejáme acercarme a tu Guanahaní, acariciarte el golfo de México, rascarte rico la delta del Mississippi, alborotarte la Fernandina, destaparte el tapón de Darien” ((Fuentes 1994, p. 16); My Queen: give me America, give a little America to your little Angel. Let me come near your Guanahaní, Angeles, caress your Gulf of Mexico, tickle the delta of your Mississippi, excite your Cuba, get engulfed in your Gulf of Darien” (Fuentes 1989, p. 8)). Yet Ángeles, who spends most of her time reading Plato’s Cratylus, is frustrated with Ángel’s mad search for la suave patria that would match his and López Velarde’s vision with a localizable reality, and represents herself as an ideal homeland: “Soy un receptáculo bueno, Ángel, un muro blanco sin recuerdos ni pasado propios [...]” ((Fuentes 1994, pp. 61–62); “I am a good receptacle, Angel, a white wall without memories or my own past [...]” (Fuentes 1989, p. 52)). What do we make of the fact that Ángeles willingly accepts and even touts this configuration of her body? Also, how do we reconcile the two different accounts, one in which she credits Ángel for her nature—“Ángel me dio la felicidad de crearme. No me encontró: me inventó, me hizo suya inventándome” ((Fuentes 1994, p. 424); “Angel made me happy by creating me. He didn’t find me: he invented me, he made me his by inventing me” (Fuentes 1989, pp. 396–97))—and the other, in which she reveals the artifice of her own construction? Lo vi joven y rebelde. Entonces rápido me aproprié de todo lo que creí que le gustaría a él, feminismo, izquierdismo, ecología, Freud y Marx, exámenes a título, la ópera completa [...]. Imagínate mi sorpresa cuando me resultó con que era rebelde conservador! Ni modo; yo ya no podía cambiar mis símbolos sólo para darle gusto [...]. (Fuentes 1994, p. 424) [I saw him as young and rebellious. So I instantly appropriated everything I thought he liked—feminism, left-wing politics, ecology, Freud and Marx, university exams, every opera ever written [...] Imagine how surprised I was when he turned out to be a conservative rebel! No way. There was no way I was going to change my symbols just for him [...]. (Fuentes 1989, p. 397)] Ángeles resolves to remain silent, “Decidí que mejor era que nos complementáramos y callarme la boca para gozar los actos del amor sin comprender demasiado bien los actos de la ideología” 39 Fuentes’s use of “womb” as a translation for “seno” is an interesting choice, since it is translated literally as breast. However, it seems that given the context of this statement, that he means to signal a metaphorical interpretation of the word, which could be translated as “at the heart” or “in the center.” Regarding the fetal narrators’ “complete amnesia as regards to their fetal experience” at birth in these novels, Nance clarifies: “Once the fetus has been equipped with a vocabulary it becomes necessary to explain why the neonate lacks one. Thus, while the near simultaneous creation of fetal narrators by Fuentes and Dorfman may be something of a coincidence, the expectation in both novels that the fetus will forget his knowledge at birth appears to be a logical resolution of a common technical problem” (Nance 2006, p. 56; p. 55). According to Squier, “Even more than postcoloniality, fetal experience has the paradoxical nature of being annihilated in its transformation: once the unborn becomes the born, whatever experience existed on the other side of the boundary is irretrievable” (Squier 1991, p. 28). Humanities 2018, 7, 24 21 of 26 ((Fuentes 1994, p. 424); “I decided it was better for us to complement each other, so I kept my mouth shut, the better to enjoy making love without understanding too well about making ideology” (Fuentes 1989, p. 397)). Ultimately, the important lesson that Ángeles wants Ángel to learn is that it takes time for human creation, whether it is language, art, or a child, to become a reality.40 El arte es un evento contínuo, o una continuidad que acontece: hubiera querido comunicarle esto a Ángel para salvarlo de su either/or, sabes, locura o razón, estancamiento o progreso, su mundo de opciones dramáticas que tanto le gustaa y tanto daño le hace. Acepté su hijo para darle realidad a esta idea, la idea de una continuidad del acontecimiento entre el relajo y la desesperación que van a devorar a mi pobre Ángel si no me entiende. Aunque sea a solas, sin mí, pero que me entienda. (Fuentes 1994, p. 425) [Art is a continuous event or a continuity that takes place. I would have wanted to communicate that to Angel in order to save him from his either/or, you know, his madness or reason, stagnation or progress, his world of dramatic possibilities which he likes so much and which does him such damage. I agreed to have this child in order to bring this idea to reality, the idea of continuity of happening between the nonsense and the despair that will devour my poor Angel if he doesn’t understand me. Even if he ends up doing it alone, without me, just as long as he understands me. (Fuentes 1989, pp. 397–98)] Indeed, this lesson about truth as multiple, relative, and analogical is not only for Ángel’s benefit, but also for Cristóbal, who listens attentively and who also thinks in terms of absolutes. Cristóbal’s thinking does shift towards the end of the novel, when he becomes very confident in his ability to make comparisons, as denoted by his frequent use of the colon throughout his narrative: “Ocurre que yo Cristóbal soy capaz de encontrar relaciones y analogías (no adivino: relaciono, asemejo!) que los demás no ven porque las han olvidado” ((Fuentes 1994, p. 505); “It turns out that I, Christopher, am capable of finding relations and analogies (I don’t divine things: I relate things, make things similar!) others don’t see because they have forgotten them” (Fuentes 1989, p. 475)).41 One could also interpret the fact that Cristóbal must expend an “enorme sobrehumano te lo juro esfuerzo por escuchar al OTRO a fin de saberme ÚNICO” ((Fuentes 1994, p. 518); “enormous superhuman effort (I swear it) to listen to the OTHER in order to know myself to be UNIQUE” (Fuentes 1989, p. 487)), suggests a shift in emphasis from speaking about the other to listening to the other; indeed, since he is incapable of “detached” observation, this seems promising. In Fuentes’s novel, “the lesson of language” materializes in the female body in a way that is unintelligible to the outside world.42 Regardless of the way that the female body absorbs the discourses that try to identify her role in creation, Ángeles’s way of communicating in silence seems to be, as per Fuentes, a particularly female form that cannot be put into language. Once again, the female body is figured as “empty,” although this emptiness is framed somewhat positively: 40 As Kadir remarks, “those who must carry the geste, gesture, or gestation to term—terms of time and terms of language—are not wont to take the process for granted” (Kadir 1993, p. 97). 41 The function of a colon is “to separate clauses which are grammatically independent and discontinuous, but between which there is an apposition or similar relation of sense” (Colon 2017, n.p.). 42 Fuentes, himself, has commented on his novel as a linguistic experiment: “Si estamos de acuerdo con Lyotard o con Derrida en que todo se ha vuelto juego del lenguaje, pues yo les voy a tomar la palabra, y voy a hacer un supremo juego del lenguaje para demostrar que hay algo más que el lenguaje, que hay algo fuera del lenguaje. En mi libro yo quise plantear esto de una manera muy radical: Cristóbal, por estar dentro del vientre de su madre, en contacto con su formación genética, oyendo cosas, lo único que tiene es lenguaje, lenguaje y una piscina donde nadar, no tiene otra cosa. Entonces el lenguaje se vuelve su realidad; Cristóbal no puede entender nada, porque no está moviendose en el mundo [...], no está viendo las cosas realmente, las está viendo a través de un velo transparente” ((Fuentes 1996, p. 101); If we are in agreement with Lyotard or Derrida in that everything has turned into linguistic play, well I’m going to take them at their word, and I am going to play a supreme language game to show that there is something more than language, that there is something outside of language. In my book, I wanted to propose this in a radical way: Christopher, by being inside the womb of his mother, in contact with his genetic development, hearing things, the only thing that he has is language, language and a pool in which to swim, he doesn’t have anything else. So language becomes his reality; Christopher can’t understand anything, because he is not moving about in the world [...], he’s not really seeing things, he’s seeing them through a transparent veil). Humanities 2018, 7, 24 22 of 26 Ella está exhausta de lenguaje. Vacía de palabras (me comunica en silencio o lo comunica en silencio [...]: la escucho, oigo su maravilloso silencio: su silencio le habla al otro, al ausente; recibe lo que el mundo imprime en su lengua, pero una maravillosa compensación la lleva a encontrar siempre la palabra contraria la que le fue dada: su discurso comparte el de mi padre pero también lo completa). (Fuentes 1994, p. 280) [She’s simply devoid of language. She’s empty of words (she communicates me in silence or communicates it in silence [...]: I listen to her, I hear her marvelous silence: her silence speaks to the other, the one who is absent; she receives what the world prints on her language, but a marvelous compensation leads her always to find the antonym of the word given her: her discourse shares my father’s discourse, but it completes it as well). (Fuentes 1989, pp. 255–56)] Perhaps Cristóbal is his mother’s “other” form of linguistic creation? If so, why must she be otherwise silent? And what does it mean that Cristóbal speaks in her stead? Cristóbal, in fact, asserts that he is coterminous with language itself: “yo que me gesto con el lenguaje porque de otra manera no podría decir nada de lo que estoy diciendo: el lenguaje se gesta conmigo, ni un minuto, ni un centímetro antes o después o menos o más que yo mismo: [...A] mis palabras les salen ojos y párpados, uñas y cejas, igual que a mi cuerpo” ((Fuentes 1994, p. 279); “I who am gestating right along with language because if I weren’t I wouldn‘t be able to say any of the things I’m saying: language gestates and grows with me, not one minute, not one centimeter before or after or less or more than I myself. [...M]y words grow eyes and eyelids, fingernails and eyebrows, just as my body does” (Fuentes 1989, p. 254)). What is more, Cristóbal also has it on good “authority” that his affiliation with language is ontological, “esto me dicen, en primer lugar, mis genes: eres lenguaje. Mas, qué clase de lenguaje soy?” ((Fuentes 1994, p. 279); “what my genes tell me is that you are language. But what kind of language am I?” (Fuentes 1989, p. 255)). Cristóbal, “como todo autor minoritario y silenciado, la voz rebelde, censurada y silente ante los lenguajes reinantes” ((Fuentes 1994, p. 281); “like all minority, silenced authors, the rebellious voice, censured and silent in the face of the reigning languages” (Fuentes 1989, pp. 256–57)), is the voice representing the mother-child relationship while his mother remains silent. Kadir reflects on the originary moment of the text, in which Cristóbal utters the first words of the novel, which would, in theory, mark the beginning of his life: “His enunciation, subsuming as it does the intercourse and interlocution of his conception, becomes the germinal word transmuted into flesh/text incarnate as bio/graphy” (Kadir 1993, p. 94). Cristóbal, then, becomes the idea realized, the word made flesh, a living symbol. However, we are faced with the possibility that the entire novel is not a communication from an unborn Cristóbal, a result of Ángeles gestation, or a product of Ángel’s desire. The idea for the story begins ab ovo, so to speak, as the creation of the character Huevo (formerly known as gordito), who had been trapped in a metallic egg, where he conceived of an entire novel in his mind. Huevo, whose name means “egg,” and in popular uses refers to both male (testicle) and female (egg) reproductivity, “vio un latigazo negro en su mente y pensó que en la realidad era el espectro oscuro de un espermatozoide perfecto como el que algún día podía conferirle vida a un hijo suyo, o de su amigo Ángel Palomar, o de sus cuates el Huérfano Huerta, el Jipi Toltec y la Niña Ba” ((Fuentes 1994, p. 149); “saw in his mind a black whiplash and thought that in reality it was the dark ghost of a perfect spermatozoon like the one that might give life to his own son or that of his friend Ángel Palomar, or those of his buddies, the Orphan Huerta, Hipi Toltec, and the Baby Ba” (Fuentes 1989, p. 131)).43 Many critics claim that Huevo, as the author of the novel we are reading, is also by extension, Cristóbal and Fuentes; and, I would add, Ángeles’s idea literalized. 43 For an extensive reading of this “whiplash,” see Castillo and also Kadir, “Fuentes and the Profane Sublime” (Castillo 1991; Kadir 1993). Many critics have concentrated on the meaning of the figure of la Niña Ba, who we learn, alongside Cristóbal at the moment of his birth, is his twin sister. See, for example, Castillo (1991); Egan (2010); Hardin (1996). Humanities 2018, 7, 24 23 of 26 Although it is probably clear, at this point, that Dorfman’s and Fuentes’s representations of their textual pregnant mothers are problematic in feminist terms, I would argue that, as metaphysical metaphors, they are pregnant with possibility. For instance, Dorfman’s Doralisa, figured as the cosmically generous world’s womb, could be read in terms of what feminist philosopher, Frances Gray, calls “absolute hospitality.” In her essay, “Original Habitation: Pregnant Flesh as Absolute Hospitality,” she argues that “[w]hat distinguishes the pregnant flesh as absolute hospitality is its unique coming to being that is coterminous with the making of the fetus: It is the primary expression of abandonment to an unknown Other, who is yet to be” (Gray 2013, p. 86). In constructing the idea of “pregnant flesh,” she builds primarily on the work of phenomenologist Maurice Merleau-Ponty on “flesh” and “Edmund Husserl’s claim that the conscious body, as personal individual, presupposes ‘a plurality of subjects in mutual intersubjective understanding’” (ibid., p. 71). As such, Gray describes the experience of “pregnant flesh” as follows: “her subject/object singularity is temporarily suspended in two ways: her singular flesh now becomes two fleshes in one place; and her singular flesh is now symbolically the flesh of all humans, in its plurality and multiplicity, symbolically, that is, the being of all flesh” (ibid., p. 79). Indeed, Gray, reflecting both upon the individual lived experience of the pregnant subject and her symbolic link to the universal human experience of being born, figures “pregnant flesh as original home, framed, ideally by consent and acceptance, welcoming and anticipation” (ibid., p. 77). For Gray, this concept of “original home” is predicated on the notion of “absolute hospitality [a]s an expression of the body’s life-will or intentionality” as a “biometaphor” that does not preclude the agency of the pregnant subject to act otherwise. In the metaphor of Doralisa, imagined as pregnant flesh, questions arise as to the nature of Doralisa’s consent. For example, does she accept the symbolic rendering of her pregnant flesh as the world’s womb, or is the accompanying weight of being occupied by the future unborn and the already dead too difficult to bear? Even if she accepts el abuelo with “consent and acceptance, welcoming and anticipation,” will circumstances even permit her to bring el abuelo to term? While the idea of an “absolute hospitality” is one of beautiful self-sacrifice and unconditional love, we have to be wary of representations where consent is not possible or when such conditions are violently coerced, especially if we are to invoke it as a model for intersubjective ethics. Lisa Guenther reminds that in order to understand the maternal-fetal relationship, we need to examine it not only from the side of the embryo-becoming-child, but also from the side of the woman-becoming-mother” (Guenther 2013, p. 102). A redeeming aspect of Fuentes’s representation of the maternal-fetal relationship is that, as Cristóbal evolves, he comes to more nuanced understanding of his mother ’s modes of communication and the possibility of her creative agency. In her essay, “The Vision of the Artist/Mother: The Strange Creativity of Painting and Pregnancy,” Florentian Verhage resituates creativity in the pregnant subject: “From the very first preparation of life a fetus is in relationship with a lived body that is the ‘moving, tactile and sonorous body’ of a creative subject. Pregnancy is the most fundamental moment of being in-one-another that founds intersubjectivity in intercorporeality” (Verhage 2013, p. 313). Verhage bases her argument on an engagement with Maurice Merleau-Ponty’s notion of creativity, which is dependent on an interaction between the painter and the world: “because creativity is this passive-active exchange between the subject and his world, one can no longer claim that the artist is the center of creativity. Instead the interplay between the artist and the world is creative; the artist has been submerged and decentered from his world” (ibid., p. 309). As such, Verhage reads creativity into the maternal-fetal relationship, where the pregnant subject has a “generative, world-constituting, discursive, and intersubjective power”: “when the mother as a discursive agent engages with the child through perception and discourse, she also creatively embeds her in a particular world. Thus, having been born from a maternal subject means, among other things, having a relation with a generative past through the creative narratives of maternal others (the ‘tongues’ of mothers) who share with us the very specific practices and traditions of the world we live in” (ibid., p. 312). As Iris Marion Young established in her seminal essay in feminist phenomenology, “Pregnant Embodiment: Subjectivity and Alienation”, the pregnant subject “experiences herself as a source Humanities 2018, 7, 24 24 of 26 and participant in a creative process” and “is not simply a splitting in which the two halves lie open and still, but a dialectic” (Young 2014, p. 54). It does not make sense, therefore, that we should metaphorically render her pregnant flesh as the site of absolute hospitality without her consent or metaphorically extricate her pregnant subjectivity from the creative process to which she is integral. What we must come to recognize is that both pregnant flesh and the pregnant subject are resilient and revolutionary, but there are certainly poetic, philosophical, and political implications to figuring the maternal-fetal relationship as a metaphysical metaphor for intersubjective ethics. Acknowledgments: First and foremost, I would like to express my gratitude to Krzysztof Ziarek for the opportunity to contribute to this special volume, to the peer reviewers who provided thoughtful feedback and constructive criticism, and to the editorial staff of Humanities for their dilligent work. This essay began as a chapter of my dissertation, “Womb Genealogies: Conceiving the New World,” which I completed at the Pennsylvania State University in 2009. Accordingly, I would like to acknowledge the support of the Department of Comparative Literature, the expert advice of my dissertation committee (Lorraine Dowler, Djelal Kadir, Sophia A. McClennen, Lawrence Prescott, and Susan Merrill Squier), and the generosity of the Crawford Family, whose Crawford Family Fellowship for Ethical Inquiry made this work possible. Conflicts of Interest: The author declares no conflicts of interest. References Adams, Alice Elaine. 1994. Reproducing the Womb: Images of Childbirth in Science, Feminist Theory, and Literature. Ithaca: Cornell University Press. Barr, Lois Baer. 1995. Isaac Unbound: Patriarchal Traditions in the Latin American Jewish Novel. Tempe: ASU Center for Latin American Studies. Beverley, John. 2004. Testimonio: On the Politics of Truth. Minneapolis: University of Minnesota Press. Castillo, Debra A. 1991. Fantastic Arabesques in Fuentes’s Cristóbal Nonato. Revista de Estudios Hispánicos 25: 1–14. Colon, n.2. 2017. OED Online. Oxford Uiversity Press, June. Available online: www.oed.com/view/Entry/36513 (accessed on 13 November 2017). Cooper, Melinda. 2008. 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work_d3d7d4g5lfcpvhi4m3powkurfu	----	Native American foods: History, culture, and influence on modern diets lists available at ScienceDirect J Ethn Foods 3 (2016) 171e177 Contents Journal of Ethnic Foods journal homepage: http://journalofethnicfoods.net Original article Native American foods: History, culture, and influence on modern diets Sunmin Park a, Nobuko Hongu b, James W. Daily III c, * a Department of Food and Nutrition, Hoseo Universtiy, Asan, South Korea b Department Nutritional Sciences, University of Arizona, Tucson, AZ, USA c Department of Research and Development, Daily Manufacturing Inc., Rockwell, NC, USA a r t i c l e i n f o Article history: Received 24 July 2016 Received in revised form 29 July 2016 Accepted 30 July 2016 Available online 12 August 2016 Keywords: American Indian beans corn Native American squash * Corresponding author. Department of Researc Manufacturing Inc., 4820 Pless Rd., Rockwell, NC, USA E-mail address: jdaily3@yahoo.com (J.W. Daily). http://dx.doi.org/10.1016/j.jef.2016.08.001 2352-6181/© 2016 Korea Food Research Institute. Pu licenses/by-nc-nd/4.0/). a b s t r a c t Approximately 12,000e15,000 years ago people from northeast Asia crossed the Bering Land Bridge to enter and inhabit North America beginning in Alaska but rapidly spreading throughout North and South American and the Caribbean islands. These people rapidly adapted to the available food sources and soon developed new foods. It is estimated that about 60% of the current world food supply originated in North America. When Europeans arrived, the Native Americans had already developed new varieties of corn, beans, and squashes and had an abundant supply of nutritious food. The foods of the Native Americans are widely consumed and their culinary skills still enrich the diets of nearly all people of the world today. This article provides only a small sampling of the rich and highly varied Native American food culture that has been passed down to modern civilization. © 2016 Korea Food Research Institute. Published by Elsevier B.V. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/). 1. Introduction When Christopher Columbus first sailed into the Bahama ar- chipelago he believed that he had reached Asiadthus the name Indian for the Native Americans. However, it soon became clear that he had entered a New World previously unknown to Europeans with unfamiliar new people, flora, and fauna. Probably the greatest impact on Old World culture was the rapid introduction of New World ornamental and food plants. Soon orchids from the tropical rainforests of Central and South America were highly sought after additions to the greenhouse collections of wealthy Europeans. Christopher Columbus had sailed to the Caribbean region in search of a route for obtaining spices [1]. However, what he found was not the cinnamon and cloves he sought, but Jamaican allspice [2,3], the dried unripe berries of Pimenta dolce, and chili and other peppers of the genus Capsicum. It was not long until the new foods from the Americas were introduced around the world and corn, potatoes, new varieties of beans and squashes, peppers and tomatoes, and many other foods were rapidly accepted into the cuisines of the entire world (Table 1) [2e16]. Now, approximately 60% of the food h and Development, Daily . blished by Elsevier B.V. This is an consumed worldwide originated from the New World [17]. How- ever, the introduction of food from Europe and Asia also changed the diets of the Native American people. Today, few if any of the descendants of the early Native American tribes eat diets that closely resemble those of their ancestors, although many indige- nous foods are still eaten and Native American foods have been incorporated into the cuisines of almost the entire world. Here we describe the diets and dietary culture of the indigenous North American inhabitants, and discuss the nutritional quality of those diets and the contributions they make to the diets of all people. 2. The origins of Native Americans and their food It is commonly believed that the first Native Americans crossed from the Old World into the New World across the Bering Land Bridge that joined Siberia to Alaska at least 15,000 years ago [18], but disappeared shortly thereafter. Although the passage of time renders it impossible to know for certain how, when, or why the Asian ancestors of the Native Americans first appeared in North America, it seems apparent that they either brought no animal or plant foods with them, or that none survived. By the time Chris- topher Columbus first entered the New World, the Native Ameri- cans were relying on foods that were indigenous to the region, although many had been improved by hybridization or selection. open access article under the CC BY-NC-ND license (http://creativecommons.org/ http://creativecommons.org/licenses/by-nc-nd/4.0/ mailto:jdaily3@yahoo.com http://crossmark.crossref.org/dialog/?doi=10.1016/j.jef.2016.08.001&domain=pdf www.sciencedirect.com/science/journal/23526181 http://journalofethnicfoods.net http://dx.doi.org/10.1016/j.jef.2016.08.001 http://creativecommons.org/licenses/by-nc-nd/4.0/ http://creativecommons.org/licenses/by-nc-nd/4.0/ http://dx.doi.org/10.1016/j.jef.2016.08.001 http://dx.doi.org/10.1016/j.jef.2016.08.001 Table 1 Common foods that Originated in the Americas.* Name of food [Ref.] Region of origin How prepared Major nutrients provided Vegetables Casava [1] Brazil Cooked vegetable or bread Carbohydrate Chili & bell peppers Central America Cooked, raw, or seasoning Vitamin C, flavonoids Jerusalem Artichoke North America Raw or cooked Probiotic fiber, minerals, B vitamins Lima Beans South America Cooked Protein, B vitamins, minerals Pole Beans: black turtle, pinto, navy, kidney, & cranberry beans Probably originated in South America but possibly North & South America Cooked & used in breads Protein, minerals, B vitamins, fiber Potatoes [6] Peru Cooked & baked Carbohydrate, potassium Pumpkin North America Cooked Vitamins A & C Squash varieties North America Cooked Variable Sweet Potatoes [7] South & Central America Cooked Vitamin A, folate, minerals Tomatoes South & Central America Raw & cooked Vitamins A, C, K, potassium, lycopene Fruits Avocado [8] Mexico Raw & sauces Essential fats, B vitamins & A, E, K, & potassium Black raspberry North America Raw, cooked, juice Vitamin C, anthocyanins, ellagic acid, manganese Blueberry North America Raw, cooked Vitamins C & K, manganese, anthocyanins Cacao, chocolate Central America & Mexico Prepared as chocolate B vitamins, minerals, polyphenols Cranberry Northern North America Cooked, medicinal herb Vitamins A, E, & K Guava Mexico to Northern South America Raw, cooked, juice Very high in Vitamin C, & lycopene Papaya Mexico to South America Raw, cooked Vitamins A, E, & K, potassium, lycopene Pineapple South America Raw, cooked Vitamin C, folate Strawberry [9] Eastern North America Raw Vitamin C, fiber, minerals Grains Amaranth [10] Mexico Baked breads & cooked B vitamins, protein, minerals Corn [11] Mexico, Central America Cooked as vegetable & grain, baked & fried grain breads Protein, B vitamins, fiber, magnesium, potassium Quinoa South America, Andes Cooked cereal Protein, B vitamins, fiber, minerals Wild Rice [12] North America Cooked cereal Protein, B vitamins, minerals Nuts & seeds Black Walnut Eastern North America Raw, cooked, medicinal extracts Protein, B vitamins, fiber, minerals, essential fatty acids [13] Cashew Brazil Eaten semi-raw or cooked Protein, minerals, B vitamins, Peanut Argentina Raw, cooked, roasted Protein, B vitamins, fatty acids, vitamin E, minerals Pecan [14] Southern USA, Mexico Raw, cooked, baked Protein, fatty acids, B & E vitamins, minerals Sunflower North (most species) & South America Raw, cooked, roasted Fatty acids, protein, B & E vitamins, minerals Meats Bison (Buffalo) North America Cooked Protein, B vitamins, iron Turkey North America Cooked Protein, B vitamins, minerals Sugar & spices Allspice Caribbean, Mexico, Central America Seasoning Maple Syrup Northeastern USA Sweetener Sugar, minerals Vanilla Mexico, Central America Flavoring * Data in the table were obtained from numerous references [2e16]. This is not a comprehensive list of foods consumed by Native Americans, but a list the major foods that originated in the Americas and are still commonly consumed by people throughout the world. J Ethn Foods 2016; 3: 171e177172 Those foods became important to the entire world, as Samuel Beck said: “The American Indian's greatest contribution to our civiliza- tion is, in the eyes of many experts, the patient cultivation from their original wild state of the food plants which are now more than half of our agricultural wealth” [19]. There were numerous regional tribes with distinct diets, cus- toms, and languages throughout the Americas (Fig. 1), but many of the foods spread among the regions due to well-organized trade routes that were facilitated in part by a common hand sign lan- guage used by many tribes [20]. Of the staple foods in North America known as the three sisters [21] only squash was of North American origin. Corn and beans probably originated in South America, but their use spread throughout North and South America. As is obvious from Table 1, the wealth of foods in North America made possible a balanced and highly palatable diet. Many of the berries that are popular today for their functional properties were also valuable additions to the Native American diet; they would include phytochemical-rich blueberries, elderberries, chokeberries, black raspberries, blackberries, serviceberries, buffalo berries, and cranberries [22,23]. Animal foods were also a major part of the Native American diet. When humans first arrived in North America they appear to have been predominantly hunter-gatherers and megafauna including mastodons and giant ground sloths were an important part of the diet [15,24]. However, their extinction an estimated 10,000e12,000 years ago is believed to have resulted in major changes to the flora and fauna of North America. This may have resulted in the transition of many Native American tribes to at least a partial reliance on agriculture as a means of obtaining a stable food supply. Whether the disappearance of the approxi- mately 60 species of megafauna at that time was the result of hu- man activity or rapid climate change that occurred during that period is still unknown [17,24,25]. Although the early food sources are difficult to identify with certainty, it is almost certain that virtually all possible plants and animals were used as foods. One of the best early records of Native American customs and culture was published by James Adair, who spent much time from 1735 until around 1770 working and living with the natives of the area that is now the southeastern USA [26]. In his book, James Adair describes the hunting of deer and bear, and the methods of fishing. The main staple food he mentioned was corn, which was often mixed with beans and chestnuts and baked to make a corn bread (Fig. 2). We know from other sources that small game, turtles, turkeys, and grouse were also commonly eaten by the Eastern Native Americans [27]. Of course, the exact makeup of the Native American diet Fig. 1. Map of USA depicting the location of major Native American tribes. Asians first entered North America by crossing from Siberia into Alaska using the Bering land bridge, but soon spread throughout the Americas. This map shows some of the larger and better known tribes of the USA. Fig. 2. Varieties of Native American corn and beans. The Native Americans developed a wide variety of foods by selective breeding and probably hybridization. Corn was available as white, yellow, red, and blue varieties. Corn, beans, and squash provided a stable food supply that was augmented by hunting, fishing, and gathering of wild foods. Note. Photo by Zachary Young, photo rights purchased from dreamstime.com (Fig. 2 © Zachary Young 2007). S. Park et al / Native American foods 173 depended to a large extent on the indigenous plants and animals in the area where they lived. For instance, saw palmetto berries were a unique common food of the Florida tribes, desert tribes used the fruit and leaves of the prickly pear cactus, and bison was an important food of the Native American tribes of the western Great Plains, and is one of the few large mammals used for food by the early Clovis people that avoided extinction [28]. 3. Food collection: hunting, gathering, agriculture The early Native Americans were all hunter/gatherers, living off the abundance of plants and animals they found nearby. Because they remained a largely stone age culture until Europeans arrived with metal tools, very little remains of most of the early cultures other than stone tools, pottery shards, and occasional bone frag- ments from butchered animals. Most of their tools and dwellings were made of perishable materials such as reeds for baskets, wood, animal skins, and vines. Almost all had decomposed before becoming available to archeologists. Much of what we know about the Native Americans we have learned from the Europeans who first arrived and passed down records of their encounters with various tribes. Of course, at that time the culture was already thousands of years old, and had undoubtedly undergone many changes. What we do know is that they had adapted very well to their environment and were thriving as was described byan eyewitness, James Adair: “They (the native Americans) are acquainted with a great many herbs and roots, of which the general part of the English has not the least knowledge. If an Indian were driven out into the extensive woods, with only a knife and a tomahawk, or small hatchet, it is not to be doubted but he would fatten, even if a wolf would starve. He could http://dreamstime.com J Ethn Foods 2016; 3: 171e177174 soon start a fire, by rubbing two dry pieces of wood together, make a bark hut, make earthen vessels, and a bow and arrow; then kill wild game,fish, fresh water turtles, gathera plentifulvarietyof vegetables and live in affluence” [26]. 3.1. Agriculture The three sisters (corn, beans, and squash) were the major sta- ples of Native American agriculture, and were always grown together. Corn was the most important staple food grown by Native Americans, but corn stalks also provided a pole for beans to climb and the shade from the corn benefited squash that grew under the leaves. The beans, as with all legumes, provided nitrogen for the corn and squash. Finally, the shade from large squash and pumpkin leaves held moisture in the ground for all three plants. Although other plants such as potatoes, tomatoes, and peppers were culti- vated, the three sisters gardens were the backbone of North Amer- ican Indian agriculture and provided the primary dietary staples of many tribes, and horticulture remains an important part of modern Native American life (Fig. 3). Early Native Americans did not divide Fig. 3. Native American gardens. Farming and gardening remains an important part of many descendants of early Native Americans. These pictures depict Native American farmers still Mariano's field of beans and corn. (B) Dora Mariano picking green pinto beans. (C) Lola Lope November 1977. Note. Photo by Helga Teiwes (Arizona State Museum, University of Arizon Museum, University of Arizona. (Fig. 3 © Helga Teiwes 1977). their gardens into sections of just one plant as is typical on today's farms, but used companion planting in rows of mounds about 30 cm high in which they would plant the corn, beans, and squash or other garden plants together [29,30]. Between the mounds were troughs that were made by digging the soil to make the mounds, these troughs served as reservoirs to collect water for the garden. The system of agriculture developed by the Native Americans would not be practical for use with modern tractors and harvesting equipment, but was highly efficient for use in gardens prepared and harvested by hand. 3.2. Hunting Most people think of American Indians as relying on the bow and arrow for hunting and warfare. Indeed, that was the weapon of choice when the Europeans first arrived. However, the bow and arrow had only been in use for about 1,000 years at that time [31]. Spears were the first tools we are aware of, and their exact methods of construction are not known since the stone points are all that remain since the shafts and other organic parts of them Native American cultures, and corn and beans are still important foods to the modern cultivating the same foods as grown for thousands of years by their ancestors. (A) Dora z picking corn. All were taken at Meneger's Dam Village, Tohono O'odham Reservation, a, Tucson, AZ, USA). Pictures are published with the kind permission of Arizona State Table 2 Recipes of Native American foods. Components Substitutes Recipe 1. Succotash 2 cups fresh corn 2 cans of corn 2 cups fresh beans 2 cans of lima beans 1 tablespoon Fat 1 tablespoon of butter Optional Chopped wild or green onions, tomatoes, garlic cloves, peppers, juniper berries, fish, or meat. Mix all ingredients in a pot & bring to a boil over a campfire or on a stove. Recipe 2. Bean bread 2 cups yellow corn meal White or blue corn 1 cup cooked pinto beans Any beans or peas 1 teaspoon baking powder 1 teaspoon of salt 6 beaten quail eggs 2 chicken eggs Mix all dry ingredients in a bowl. Add beans with broth & beaten eggs & stir until well mixed. If more liquid is needed to make a soft dough, a little clean spring water can be added if needed. Heat a flat rock by the campfire or skillet on a stove at home & cover with bear grease or a vegetable oil at home & press down the dough to make a flat bread. Allow to cook well without burning. It should be able to stick a knife into the bread & remove it & not see any uncooked batter on the knife. Recipe 3. Fry bread 3 cups white flour 2 teaspoons of baking powder 1 teaspoon of salt 1 tablespoon of animal fat or shortening 1½ cups of warm water Mix dry ingredients then add fat & cut in & finally add water gradually & mix to form a soft dough. Divide into balls of dough & allow to rise for about 20 min. Deep fry in bear fat or other oil. Carefully remove the fry bread when it is a golden brown color. Recipe 4. Acorn squash 1 acorn squash 2 tablespoon maple syrup Honey 2 tablespoons walnuts Pecans Raspberries & blueberries Dried fruit Cut acorn squash in half, bake face down or covered in a hot oven until soft (about 1 h). Divide the maple syrup, nuts, & berries between the 2 halves & serve. Recipe 5. Fish & corn mush 2 mediums sized fish cooked on a stick 1 cup corn meal Pinch of lye or soda Pinch of salt Place finely chopped fish in a pot, cover with water, & boil until a thick soup is formed. In another pot place corn meal with 3 times as much water, add lye & salt & cook until a thick liquid. Serve together as a meal. Recipe 6. Baked beans 2 cups dried beans 2 cans of beans ¼ cup maple syrup honey, sugar 1 chopped onion 1 cup cubed venison Bacon, ham, beef 1 teaspoon salt Optional ingredients: peppers, root vegetables, & fish. Cook beans until well done, add other ingredients & place in a covered dish to bake by a campfire or in a stove at medium heat for at least 1 h. S. Park et al / Native American foods 175 decomposed over time. The atlatl was also developed early in Native American history, or may have been brought with them when they first arrived from Asia. The atlatl is a sling-like device to assist in throwing a spear to give it more power and distance [32]. Finally, the bow and arrow were developed in the Americas, apparently independent of outside influence, although the bow and arrow were first developed in Alaska, suggesting some possibility that there was contact with Asians at that time, and the knowledge of crafting bows and arrows may have been learned from others cultures. By the time Europeans arrived bows and arrows were the weapons of choice, although spears and atlatls were still in use. The atlatl was a more powerful weapon, but less accurate, and may have been more effective for hunting the early megafauna such as mastodons. The bow and arrow were well suited for hunting deer, antelope, turkey, and most of the other animals used for food. 3.3. Fishing Fishing appears to have been a major source of food for the majority of Native Americans. Most Indian villages were located close to rivers or large streams where there was a dependable water supply, fish, and water fowl. James Adair described the importance of water to most of the tribes: “Except the Choctaw, all of our In- dians, both male and female, above the late infancy, are in the watery element nearly equal to amphibious animals, by practice…” [26]. He also described some of the fishing methods that impressed him the most, such as wrapping one's hand with a cloth and putting it into underwater holes where catfish waited and would swallow their hand, allowing the Indian fisherman to pull the catfish onto the bank of the river or stream. Probably the most common fishing method employed by most native Americans was using a spear to gig the fish, but also nets fashioned from vines, traps, and fish hooks made from bone were used. A novel fishing method was using ground black walnut hull to spread into pools, which would temporarily stun the fish and cause them to float to the surface where they could easily be captured [33]. Although it is not a part of the popular lore of Indian culture as is hunting, fish appear to have been an important part of the early Native American diet. 4. Food preparation It is important to keep in mind that many Native Americans were largely hunter/gatherers until the Europeans arrived. Although many Native American tribes had well-developed agri- culture, they did not have domesticated animals, and they still depended heavily on the wild plants and animals for food. Also, James Adair mentioned that the Indians did not use any kind of milk, he also stated that “None of the Indians however eat any kind of raw salads, they reckon such food is only fit for brutes” [26]. Berries and fruits were eaten raw, but most other foods were cooked. James Adair was impressed with the culinary skills of the Native American women and said: “It is surprising to see the great variety of dishes they can make out of wild flesh, corn beans, peas potatoes, pumpkins, dried fruits, herbs and roots. They can diversify their courses, as much as the English, or perhaps French cooks: and either of the ways they dress their food, it is grateful to a whole- some stomach” [26]. Cooking methods included baking, frying, deep frying, boiling, and roasting over an open fire. Corn was used in a variety of ways; succotash was a simple corn and beans dish with almost unlimited variations [21]. A simple recipe is shown in Recipe 1 in Table 2 (Fig. 4A) with a picture of the dish. This was a wonderful food that could provide a balanced meal alone, with the corn and beans providing a complete protein. Corn was also cooked as a porridge [34] known as sofkee by the Seminole tribes in Florida. It was usually just corn flour boiled in water. It could be eaten as a soup or drunk as a hot beverage. Cornbread was also a very common food among all Native Americans [35] and could be thin flat breads such as tortillas or thick breads more like modern cornbread or pancakes made from corn. Interestingly, all major varieties of corn (red, blue, white, yellow) that are available today were already available to the Native Americans when the Europeans first arrived in the New World. Another way corn and beans were frequently combined was to make bean bread [36] which is a corn bread with beans (Recipe 2 in Table 2, Fig. 4B). Bean bread is easy to make and, like most Native American recipes, the ingredients and cooking methods can be varied according to what is available as long as the basic cornmeal and some kinds of beans are available. Cooking methods could also Fig. 4. Native American Foods prepared according to the recipes included in this article. (A) Succotash is based on boiled sweet corn and beans, and is still a popular food in the Southern USA. (B) Bean bread is corn bread with beans and can be quickly prepared to make a highly nutritious meal or side dish. (C) Fry bread is a signature food of many contemporary Native Americans. It was developed out of hardship when tribes were forcibly relocated and provided little food other than flour and lard. (D) Baked acorn squash. Squashes could be prepared many ways, and baking was one of the more popular. Other local foods could be combined to make highly palatable and nutritious main dish as show here. (E) The Cherokee tradition of eating fish and corn mush, especially when sick, was a simple yet nourishing way to have a simple and easily digested meal. (F) Baked beans, are a commonly eaten food by many people today, and can include many other ingredients, just as was common among the early Native Americans. J Ethn Foods 2016; 3: 171e177176 be varied, it could be baked, pan fried, or even deep fried. Fry bread is a very popular food of most modern North American Indians, partly because it is a symbol of their ability to survive under adverse conditions of being forcibly removed from their homes to live in new areas where they were unfamiliar with the local foods. The fry bread was what they survived on by using rations provided by their white oppressors who forced them to relocate to new areas and live on reservations. Fry bread is easily prepared from simple, but not very nutritious, ingredients [37]. A recipe for fry bread is shown in recipe 3 in Table 2 (Fig. 4C). Squash is the third of the three sisters and was also a major food, although not as ubiquitous in the diet as corn. Many varieties of squash and pumpkins were available to Native Americans including summer squashes such as the yellow crookneck squash and hard squashes such as pumpkins, acorn, and butternut squashes. The hard, fall squashes could be stored and used as fresh vegetables in the winter. Squashes could be prepared by cutting into chunks and baking, adding to soups and stews, or baked whole as in the recipe for baked acorn squash (Recipe 4 in Table 2, Fig. 4D). There were also many ways to prepare meat and fish. The most common and simple method was to cook them skewered over a fire. A simple way to cook fish was to clean fish, salt fillets, and let them stand overnight. The next day they would be strung on a stick and roasted over a fire with frequent turning until evenly cooked. Fish could also be fried in a pan, but would not taste as good without the smoke flavor from the fire [19]. Fish, birds, and meats could be cooked as soups, stews, and stir-fry with vegetables. The stir fry would be much like fajitas, a popular Mexican food, which consists of vegetables such as peppers and onions, cooked with strips of meat and served on a flat corn bread. Fish was popularly prepared as a soup and served with corn mush (Recipe 5 in Table 2, Fig 4E) and was especially fed to sick people as a nutritious and easily digestible meal [19]. A simple menu for Cherokee fish and corn mush is shown in Recipe 5. Baked beans are a Native American food that has withstood the test of time to be a popular food in many parts of the world [38]. Baked beans like most Indian recipes have many variations, but a basic recipe using in- gredients that would have been available to Native Americans is shown in Recipe 6 in Table 2 (Fig 4F). Of course, what we have provided here is a small sampling of foods that would have been eaten by Native Americans. Acorns were also used to make bread and dumplings. For some Native Americans, acorns were an important part of the diet [39] although they required extensive washing with hot water to remove the tannins. There is no single Native American diet. The diets of different tribes varied consid- erably, according to the foods available in their region. There are currently 567 officially recognized Indian tribes in the USA. Each had their own language and food preferences, making it impossible provide details about every tribe. However, each tribe appears to have adapted well to the region in which they lived and were able to obtain a wide variety of nutritious foods. 5. Native American dishes that are still eaten today Holiday foods in the USA (Thanksgiving and Christmas espe- cially) traditionally include turkey, cranberry sauce, pumpkin pie, baked beans, and mashed potatoes, all of which originate from Native Americans. The original Thanksgiving feast in the year 1621 was a gathering of English colonists and local Indians. The records reveal that the feast which lasted several days included deer, water fowl, turkeys, shellfish, eels, squash, corn, and beans [40]. Other foods were probably eaten as well; chestnuts would have been available as would some berries. However, what is known for sure is that most of the traditional Thanksgiving foods of today were available at that time even if they were not a part of that first Thanksgiving meal almost 400 years ago. Foods of the American South are greatly influenced by Native Americans: grits, cornmeal mush, cornbread, succotash, and fried green tomatoes are all uniquely southern but with Native American origins. Some people in the South still hunt raccoons, opossums, and squirrels, as did the Native Americans. Of course venison, deer meat, was and still is eaten throughout North America [28]. It is hard to imagine American breakfast foods without pancakes and maple syrup. James Adair [26] described the local Indians tapping maple trees to obtain the sap, which would be concentrated by S. Park et al / Native American foods 177 boiling to make a syrup. Southwestern and Mexican foods are also heavily influenced by Native Americans. Nopal (prickly pear cactus) leaves are frequently included in Mexican cooked vegetables, but were first consumed by the Indians. Corn tortillas are a thin fried corn bread used to make tacos and enchiladas, which are commonly filled with beans and meat. In what is widely known as the Columbia Exchange [41], the foods of the Native Americans spread throughout the world, and the foods of the rest of the World were introduced to the Native Americans. This account of North American aboriginal foods is limited in its ability to convey the full scope of foods and food cultures that were developed by Native Americans. There are well over 500 recognized Indian tribes in the USA and some of the original tribes no longer exist. Each tribe had its own language and foods. Fig.1 depicts just a few of those tribes. 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Introduction 2. The origins of Native Americans and their food 3. Food collection: hunting, gathering, agriculture 3.1. Agriculture 3.2. Hunting 3.3. Fishing 4. Food preparation 5. Native American dishes that are still eaten today Conflicts of interest References 
work_d5uenf2pljegba57zs72av34sy	----	492 MDCAJORA LETTRS, NOTES, ETS. [FEB. 24, 1900. At other times I may think I am a little "run down," as the Americans say. It remains an uncertain time, sometimes for many days, sometimes only for hours, and goes away as suddenly and unex- pectedly as it came. The misery and irritation it causes while it lasts no one who has not suffered from it can imagine. My left ear is much better than my right i it is the one I prefer for stethoscopic work. When fthe tinnitus is on, it is almost useless. Although over 5, and "retired," I have not met any one who can hear the ticking of a watch at a greater distance than I can with my left ear when it is in good working order. The tinnitus began some years ago, and, except when actually present, has not so far affected the hearing. MOVTES- 1T:U'UTR_ Etv:. ynRATUM.-In the BRITISH MEDICAL JOURNAL of Fetruary 17th, p. 371, Dr. Fletcher Beach was described as "President-elect of the Branch," instead of President of the Thames Valley Branch and President-elect of the Medico-Psychological Association of Great Britain and Ireland. VOLUNTEER MEDICAL STAFF CORPs RELIEF FUND. BMGEON-MAJOR VALENTINE MATTHEWS, V.M.S.C., Honorary Secretary, Headquarters, London Company, V.MS.C., 5s, Calthorpe Street, W.C., writes: This fund is established to assist the families on or off the 1krength of non-commissioned officers and men of Royal Army Medical Corps on active service in South Afrioa All moneys received will be liknded over to the Royal Army Medlcwi Corps Dep6t Mobilisation ROeief Fund, Aldershot. .L s. d. £Ls.d. Amount already acknow- V.M.S.C., No. 5 Company ledged. ... 267 2,Uj, (additional)... ... ... 2 6 o Collecting card (Mrs. Medical Officers, Plymouth Scanlan), per Captain L. V.I. Brigade ... ... i i 6 Way ... ... ... ... 5 0 0 TREATMENT OF COLITIS. lst. 3. NUMA RAT, M.R.C.S.Eng., Magistrate of Anguilla (St. Kittse. West Indies), writees: I have noticed in the BRITISH MEDICAL JOURNAL, October zith, I899, a request for advice regarding the treatment of a ease of catart;haI colitis, and, as I have lately cured a patient who had been sufferi;ng from this disease for seven years, I beg to communicate to your correspondent the treatment which proved successful: Two enemata of a quart ot warm water were administered in close succes- sion, night and morning, by means of an Alpha bag placed at a con- siderable height above the patient. These, having cleared the colon, were immediately followed during the first month by an enema night aid morning of a quart of warm watercontaining 20 grs. of potassium per- manganate, and during the second month by a similar one of unheated water in which the permanganate was replaced by niixl of formalin. During the third month, and from the end of that time to the present- which is a period of two months-the patient has used two enemata of a quart of unheated plain water every morning, and by this means has hitherto prevented any return of the complaint. The patient was not restricted to any particular diet, inasmuch as a previous course of a strictly milk diet during nine months, the last three of which were spent in bed. had been prescribed by me and followed very carefully without any benefit. OCUEAN VOYAGES IN PULMONARY PHTHISIS. DR. G. F. INGLOTT (Malta) writes: Dr. H. J. Jones writes in the BRITISH MEDICAL JOURNAL of January 6th, xgoo, that " he is sorry to see the old Idea of sea voyages for phthisis aavocated again." He calls it an "old idea," but to be called old it must have stood the criticism of all times and ages, and must have consequently been formed upon a strong t foundation-that is to say, minute observation and long experience. If eminent practitioners have again had recourse to sea voyages in treating phthisical patients, it clearly shows that these have proved beneflcial to other paitients. We never meant to send to sea patients in an advanced stage of the disease; but Dr. Jones will admit that there is hreal benefit in the first stage when patients are still able to enjoy exer- cise on deck. Let Dr. Jones send his patients at the- outset of the dis- ease and in the summer months, when they can get fine.weather, and -d- In,n vinter time, as 'did the cases he mentioned, and; he will realise the good effects derived therefrom. I can bring forward many instances to prove my assertions, such as -the case of a priest who was advised by an 'emlnent Maltese practi- t'ftdfer (Dr. Adami) to take several voyages to check the disease from which he had been already suffering for some time. This gentleman, after having travelled for two years, returned to Malta in perfect health, so much so that he lived up to the age of 74 years. Another interesting case is that of an Englishwoman who had to leave Malta tofollow her husband, leaving a danghter behind. The mother profited a great deal from the sea voyages she underwent for several years, for she returned to Malta only a few months ago in very go9d health, while the daughter who was left behind is under my treat- nent for consumption. Even in the time of Christopher Columbus the good effects of sea voyages were recognised; in fact, I remember reading in an old Span- ish book that one of the crew who accompanied the discoverer of America suffered from phthisis, and on his return to Lisbon after the long voyage he was perfectly cured. PARTURITION AMONG THE EsKIPMos. IT has been said by many writers that the higher the development of the nervous system the more sensitive it is to pain, and the more severely does it respond to shock. In a recent article in the Pacific Medical Journal, Dr. Gleaves has had the opportunity of putting on record his experience on the above subject, having had the mre opportunity of being in attendance during the confinement of an Eskimo woman. He states that it is seldom that a " cablona" (white man) physician is per- sitted to witness this function among the Eskimo races. It is the custom not to allow a childbirth to take place in the " igloo," or house. The woman must go out into the woods or scrub alone, no one being allowed to be present, and she must remain there with no food except a piece of dried fish for "five sleeps," when she is allowed to return to the igloo. Then she and her husband proceed to take a bath and to change their undergarments for fresh ones. Gleaves describes. the birth of the child witnessed by him as taking place in, Alaska at a time when the temperature was about 300 below' zero. The mother was found by him hidden in the scrub in a snowpit which was oval in shape, and about 2 feet broad by 6 feet long.. She lay on a reindeer skin with no covering of any kind, and the only warmth obtained was that given off by a smoky filre made with twig . "On my arrival at the parturient field," says Gleaves, "I found the, woman in labour on her knees, with buttocks resting on her heels, and having severe bearing-down pains which came faster and faster and more severe until almostcontinuous when the ' bag of waters -ruptured."' The child was speedily born and " h.morrhage occurred, but she soon rallied again and expelled the placenta, whereupen she took a piece of sinew (which had been prepared from the hock of a caribou) and liga- tured the cord as close to the umbilicus as possible and then severed the cord close to the ligature with a piece of serrated flint. She washed' the babe in the snow, although it rebelled by kicking and squalling at such a cold reception. The woman wore a belt or a piece of thong to. confine her 'parka' around the waist, and to it was fastened by short; deerskin thongs bits of ivory, buttons, leather bags, in which she kept- tobacco, matches, and other small articles of value. After the snow' .bath she placed her babe underneath the folds of her ' parka,' which is the usual place of the young Eskimo, and proceeded in a bent-over- position, with a staff in hand, stepping slowly and laboriously, leaving a trail of blood, to another snew pit about sofeet away, which had been prepared. She would not remain any length of time where the baby was born, for it is considered unclean." It is said that the mortality of' both mothers and babes compares favourably with that which prevail& in the United States. LETTERS, COMMUNICATIONS, ETC., have bsen reodived from A Messrs. Adlard and Son, London.. B H. R. Bramwell, M.B., Tynemouth; Mr. C.. Bennetts, Falmouth; Dr.J. B. Brierley, Manchester; B.A., M.D.; Messrs. Burgoyne, Burbidges and Co., London; Dr. F. Beach, Kingston Hill; Mrs. Brodhurst, London; Mr. W. F. Brook. Swansea; H. G. Barling, M.B., Birminghamn; Dr. J. G. Blackman, Portsmouth; Mrs. k:. J. Battersby, Baqshot;. Mr. J. P. Bush, Clifton. C Dr. C. Camp,: bell, Uppermill; Dr. M. Coates, London; Dr. R. H. Cunningham, New York; Club' Doctor; Dr. E. 1. Callender, London: J..F. Crombie, M.B., North Berwick; Mr. A. H.- Cheatle, London; Mr. W. R. E. Coles, London. D Mr. W. H. Dolamore, London; Dr. -R. du Bois.-Reymond, Charlottenburg; W. Duigan, M.B., Oxford. E Dr. G. Hi. Edging- ton, Glasgow ; Dr. F. Edge, Wolverhamyton; Mr. J. Edmunds, London. F Mr. W. T. Freeman, Reading; Dr. W. E. Fothergill, Manchester. G Mr. G. M. Giles, P1ymptsth, 'C. H. Golding-Bird, M.B., London; Dr. F. Gourlay, Elgin; Mr. W. J Greer,' N6*#po, Mon.; E. W. Xt. Groves. M.B., Bristol; Mr. R. B. Graham, Leven; Dr. H. Gervis, Lot-- don; H. B. Grimsdale, MB., London; Mr. P.J. Grime, Blackpool. H Hibernidus; Mr. F. R. Humphreys, London; Mr. C. F. Haslam, Birmingham; Mr. A. W. Harris, Southampton; Dr. J. P. Henry,London Lienitenant-Colonel S. Harrison,V.D.,London; Mr. C. Heynesbergh, Kalutara; Dr. S. L. Haynes, Malvern. J Dr. N. B. Jenkins, Chicago; Dr. J. Johnston, Bolton; Dr. A. James, London; Mr. A. Johnson, London.' K Kilburn; Mir. E. Knight, Gravesend; Dr. R. Kennedy, Glasgow; Dr. G. H. Kenyon, Beckley: Dr. J. Kerr, Bradford. L Lieutenant-Colonel R.A.M.C.; Likajoka; Livertool Medical Institution, Secretary of, Liverpool; Mr. R. M. Littler, Southport. iMit1.O S9. Dr. H. P. Maior, Hungerford; Dr. C. W. M. Moullin, London; Miles; Dr. J. D. Mac- donald, Hassocks; A. Macphail, M.B., Glasgow; Dr. E. A. Martin, London; A. B. SMitchell, M.B., Belfast; M.S.A.; Mr. J. Murray, London; Mr. V. Matthews, London; M.D.; 3r. H. May, Birmingham; Dr.W. Mitchell, Bradford; A. M. Martin, M.B., New- castle-cii-Tyne; M. G. B.; Dr. A. A. Matheson, Edinburgh; Monday; Mr. E. Matthews, Redditch; Mr. Fitz J. Molony, Porlock; Dr. R. L.1)eade-King, Taunton; C. Martin,. M.B., Birmingham. N'Northern'Member; Mr. A. Neve, Srinagar ; Mr. T. W. Nor- bury, London. 0 Dr. J. Oliver, London; Optics. P Mr. E. H. Physick, Manchester; Mr. J. Poland, London; A. S. Percival, M.B., Newcastle-on-Tyne; Mr. H. J. Prangley, London; Dr. R. J. Probyn-Williams, London. R Dr. G. J. Robertson, Oldham; Dr, A.. Roberts, Harrogate; Dr. G. E. Rennie, Sydney; Dr. R.. It.Rentoul, Liverpool; Dr. G. D. Robinson, London; Mr. W. H. Rowthorn, Rotherham; Dr. J. S. Revely, Tettenhall ; 3Mr. A. Roche, Dublin. S R. E. Scholefield, X.B., London; Mr. S. N. Scott, Plymstock; C. R. J. A. S-an, M.B., London; E. H. E. Stack, M.B., Bristol. T Mr. W. T. Thomap,, Liverpool. W Mr. T. C. White, London; Wigan Medical Society, Secretary of, Wigasi E. B. Wagget, M.B., London; W.V.M.; Miss J. Wilson, London. X X. Y. Z. BOOKS, ETC., RECEIVED. The Illustrated Annual of Microscopy. Kirkes's Handbook of Pbysiology. ByW.D- London: P. Lund, Humphries and Co. Halliburton, M.D FRS. Sixteenthi 1900. Edition. London: Fohn Murray. 1900. La Peste et son Microbe. PasDr. Netter. Cyclopedia of Classified Dates. By C. E. Paris: G. Carre et C. Naud. 1900. Little. 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work_daxyziyyizglbewkgsf5kg7pni	----	S0018246X20000576jra 1..25 MALINTZIN AS A CONQUISTADORA AND WARRIOR WOMAN IN THE LIENZO DE TLAXCALA (c. )* C L A U D I A J. R O G E R S The University of Sheffield A B S T R A C T . This article foregrounds a new interpretation of the Lienzo de Tlaxcala, an indigenous-authored source depicting the Tlaxcalteca’s role in the conquest of Mexico, from  to . It analyses this document’s unique visual portrayal of Malintzin, an indigenous woman who acted as Hernando Cortés’s translator during the conquest, amid the battle for the Aztec capital of Tenochtitlan. Challenging the traditional perception of Malintzin as a peaceful medi- ator, the Lienzo demonstrates that its Tlaxcalan authors saw her as a powerful warrior or conquis- tadora, who was intricately connected with violent acts of conquest. By contextualizing depictions of Malintzin as a warrior within the wider entanglement of female figures with violence and warfare, this article underscores indigenous perceptions of the conquest and contributes to the wider, critical deconstruction of triumphalist, Eurocentric narratives. With a particular focus on indigenous asso- ciations of Malintzin with the Virgin Mary, this article explores the significance ascribed to these two figures by the Lienzo’s authors and their city. Malintzin, Malinche, Marina: indigenous woman, cultural intermediary, con- tested national symbol. With her story told through many voices except her * This article’s findings were first presented as part of my doctoral thesis, ‘“The people from heaven?”: indigenous responses to Europeans during moments of early encounter in the Caribbean and Mesoamerica,  – c. ’ (University of Leeds, , funded by the White Rose College of the Arts & Humanities). I thank my Ph.D. supervisors Anya Anim- Addo and Manuel Barcia, and examiners David Abulafia and Stephen Alford, for their valuable insights and guidance in the development of this research. Thank you, too, to the journal’s reviewers for their valuable suggestions, and to my mentors for their ongoing support and encouragement.  Francis Karttunen, ‘Rethinking Malinche’, in Susan Schroeder, Stephanie Wood, and Robert Haskett, eds., Indian women of early Mexico (Norman, OK, ), pp. –; Clara S. Kidwell, ‘Indian women as cultural mediators’, Ethnohistory,  (), pp. –; Camilla Townsend, Malintzin’s choices: an Indian woman in the conquest of Mexico (Albuquerque, NM, ). Department of History, Jessop West,  Upper Hanover Street, Sheffield, S RA, UK c.j.rogers@sheffield. ac.uk The Historical Journal, page  of  © The Author(s), . Published by Cambridge University Press. doi:./SX  terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://orcid.org/0000-0002-0494-0847 mailto:c.j.rogers@sheffield.ac.uk mailto:c.j.rogers@sheffield.ac.uk https://crossmark.crossref.org/dialog?doi=10.1017/S0018246X20000576&domain=pdf https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core own, both imaginations and scholarly investigations have been captured by the question of who, exactly, Malintzin was (and continues to be). Like many Nahua pre-/early teen girls, Malintzin was drawn into the indigenous slave trade during the Mexica’s expansion into her home region of Coatzacoalcos, from which she was taken to the trading port of Xicallanco and sold to some Maya. Years later, Malintzin was one of twenty indigenous women Maya rulers of Potonchan pre- sented to Hernando Cortés in  – along with other gifts of food, gold, and apparel – as part of an indigenous ‘diplomatic strategy’ aimed at ensuring an amicable working relationship with the European strangers. Malintzin was quickly baptized as ‘Doña Marina’, and – like the other nineteen women – given as a concubine to a Castilian captain, Alonso Hernández Puertocarrero. Upon Puertocarrero’s return to Spain, Malintzin became tied to Cortés, later carrying his child. The Castilians recognized her intelligence and linguistic aptitude, and for the remainder of the conquest of Mexico Malintzin served as one of the Castilian expeditions’ principal interpreters, infor- mants, and cultural advisers. The profoundness of Cortés and Malintzin’s con- nection becomes increasingly evident when we consider that some indigenous people often called them both by the same name – ‘Malintzin’. Though often neglected or ignored in European accounts – Cortés merely acknowledges Malintzin as ‘my interpreter, who is an Indian woman’ – this closeness is portrayed throughout sixteenth-century, indigenous-authored pic- torial depictions of the first encounters in Mesoamerica. Fitting with this broader trend, the indigenous tlacuiloque, or painter-scribes, of the Lienzo de Tlaxcala (c. ) chose recurrently to place Malintzin in the company of Cortés, as she mediates the unfolding cultural encounters. This source’s value for tracing mid-century, indigenous perspectives is significant, especially as the Lienzo presents a second, particularly unique portrayal of Malintzin – one  Camilla Townsend, Fifth sun: a new history of the Aztecs (New York, NY, ), pp. –; Matthew Restall, When Montezuma met Cortés: the true story of the meeting that changed history (New York, NY, ), p. ; Karttunen, ‘Rethinking Malinche’.  Rebecca K. Jager, Malinche, Pocahontas, & Sacagawea: Indian women as cultural intermediaries and national symbols (Norman, OK, ), p. ; Kidwell, ‘Indian women’, .  Townsend, Fifth sun, p. ; Jager, Malinche, p. . ‘Castilian(s)’ has been used as the pre- ferred designation for Spaniards as ‘Castilian’ was more often how the Spaniards in question referred to themselves. Similarly, in Nahuatl alphabetic sources, Spaniards are often referred to as caxtilteca (Castilians) and caxtillan haca (Castilian people). See James Lockhart, We people here: Nahuatl accounts of the conquest of Mexico, I (Berkeley, CA, ), p. ; Restall, When Montezuma met Cortés, p. .  Stephanie Wood, Transcending conquest: Nahua views of Spanish colonial Mexico (Norman, OK, ), p. ; Jager, Malinche, p. .  Federico Navarrete, ‘La Malinche, la Virgen y la montaña: el juego de la identidad en los codices tlaxcaltecas’, História,  (), pp. –, at p. ; Wood, Transcending conquest, p. ; Gordon Brotherston, Painted books from Mexico: codices in UK collections and the world they represent (London, ), p. .  Hernando Cortés, ‘The second letter’, in Anthony Pagden, ed., Letters from Mexico (cartas de relación) (New Haven, CT, ), pp. –, at p. .  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core not found in other pictorial records. Here, we find Malintzin not only negotiat- ing between European and indigenous leaders, but amidst battles in the Aztec capital of Tenochtitlan, sometimes even wielding a European-style shield and sword. For the Tlaxcalan authors of this Lienzo, Malintzin’s identity was intricately connected to conflict and violence: she was not only a peaceful intermediary operating in non-violent spaces, as we see in so many other pictorials, but a warrior. Unique to the Lienzo, Malintzin-as-warrior offers a window into a more nuanced, complex understanding of Malintzin’s perceived identity, as well as the Tlaxcalteca’s vision of the events of conquest more broadly. In the effort to foreground ‘lost’ indigenous accounts and stories, the growing movement of New Conquest History is successfully returning agency to Native Americans, and reflecting the intricacy of the multiple and diverse narratives that constitute the history of the conquest. Understanding why the Tlaxcalan tlacuiloque may have chosen to present Malintzin as a warrior contributes to this wider scholarly pursuit: as a warrior, what does this version of Malintzin symbolize or embody? What did Malintzin mean to the city of Tlaxcala and the indigenous individuals – the real people – who authored the Lienzo? In this article, I argue that combative representations of Malintzin demon- strate that her role as a mediator was not always a peaceful role separated from scenes of warfare, and one not mutually exclusive with violence – at least for the indigenous authors of the Lienzo. Depicted holding shields and/or swords, portrayals of Malintzin as a warrior woman strongly challenge the reduc- tive dichotomy of ‘peacefulness, mediation, female: violence, warfare, male’ as a framework of analysis, and give fresh insights into mid-century perceptions of her role and identity. Importantly, this article contextualizes the authors of the Lienzo’s depictions of Malintzin as a warrior within the wider entanglement of female figures with violence and warfare, who reflect the possibility that one could be both a woman and a warrior. To understand these representations of her persons in the Lienzo, I explore their connections to the Hispanic and Mesoamerican pasts, considering what precedents may have influenced such portrayals of Malintzin as a warrior. In this way, I examine the tlacuiloque’s  Gordon Brotherston, ‘How long did it take the Aztecs to realise that Cortés was not a god?’, Mexicolore (), www.mexicolore.co.uk/aztecs/ask-experts/how-long-did-it-take-the-aztecs- to-realise-that-cortes-was-not-a-god; Jeanne Gillespie, Saints and warriors: the Lienzo de Tlaxcala and the conquest of Tenochtitlan (Ph.D. dissertation, Arizona State University, ), pp. –.  Matthew Restall, ‘The New Conquest History’, History Compass,  (), pp. –. See also Inga Clendinnen, Ambivalent conquests: Maya and Spaniard in Yucatan, – (Cambridge, ); Louise M. Burkhart, The slippery earth: Nahua-Christian moral dialogue in sixteenth-century Mexico (Tucson, AZ, ); Miguel León-Portilla, The broken spears: the Aztec account of the conquest of Mexico (Boston, MA, ); James Lockhart, The Nahuas after the conquest: a social and cultural history of the Indians of Central Mexico, sixteenth through eighteenth centuries (Stanford, CA, ); Lockhart, We people here.  Townsend, Fifth sun, p. . M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core http://www.mexicolore.co.uk/aztecs/ask-experts/how-long-did-it-take-the-aztecs-to-realise-that-cortes-was-not-a-god http://www.mexicolore.co.uk/aztecs/ask-experts/how-long-did-it-take-the-aztecs-to-realise-that-cortes-was-not-a-god https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core possible conceptualizations of Malintzin in both Christian and indigenous terms. Before exploring Malintzin’s connection to warrior women found in Mesoamerican mythohistory, we will turn first to the parallels drawn between Malintzin and the Virgin Mary. Whilst Malintzin’s connection to the Virgin Mary has been well established in scholarship in terms of their dominant, shared identities as powerful female intercessors, I argue that their connection can be strengthened by recognizing how Malintzin may have also shared in Mary’s role as a conquistadora or conqueror in the minds of the Lienzo’s tlacuiloque. The article will therefore reflect on the Tlaxcalan portrayal of Malintzin-as- warrior as a significant chapter of Malintzin’s story, which – like for so many indigenous women – we can only learn about through voices other than her own. Although we will never know if Malintzin really held a sword and shield amidst the battle fray, or if, indeed, this is one of many mid-century inven- tions of the Tlaxcalan tlacuiloque, the existence of this unusual representation of her person should not be ignored. There are multiple stories intricately inter- twined when it comes to Malintzin’s identity, which is perceived so differently between tlacuilo to tlacuilo, and from region to region. Through a deconstruc- tion of the Lienzo’s Malintzin-as-warrior imagery, this article critically assesses why the Tlaxcalan tlacuiloque may have created such a unique vision of this woman in-between, and highlights the complexity of mid-century perceptions and representations of her role(s) in the conquest. Further, this tale of the con- quest presents key insights into indigenous perceptions of the events that unfolded: foregrounding the Tlaxcalan tlacuiloque’s narrative, this article contri- butes to the wider, critical deconstruction of triumphalist, Eurocentric narra- tives of conquest, as sought by the revisionist New Conquest History, with the Tlaxcalan’s Malintzin occupying such a central, formidable position as conquistadora. I Like many indigenous-authored records of the conquest, the Lienzo de Tlaxcala was produced decades after the conquest itself; it provides vital insights into mid-century perspectives of the arrival of the European newcomers, and how the events from  to  were perceived by their indigenous authors. Painted in the form of writing and record-keeping used by indigenous groups  Cecelia Klein, ‘Wild woman in colonial Mexico’, in Claire Farago, ed., Reframing the Renaissance: visual culture in Europe and Latin America, – (New Haven, CT, ), pp. –, at p. .  Susan Kellogg, Weaving the past: a history of Latin America’s indigenous women from the pre- Hispanic period to the present (Oxford, ), ch. ; Caroline Pennock, Bonds of blood: gender, life- cycle and sacrifice in Aztec culture (Basingstoke, ); Caroline Pennock, ‘Women of discord: female power in Aztec thought’, Historical Journal,  (), pp. –; Inga Clendinnen, Aztecs: an interpretation (Cambridge, ), pp. –.  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core of Central Mexico before the conquest, post-conquest pictorials are largely seen as the most ‘authentic’ or ‘purest’ sources in terms of indigenous perspectives, though must still be read critically and carefully. The Lienzo de Tlaxcala details the history of the Tlaxcalteca’s encounter with the Castilians, as remembered – or as desired to be remembered – in c. . Measuring  metres across by  metres tall, this event-oriented painted cloth is composed of eighty-seven scenes of the conquest, chronologically arranged in a grid-like pattern, begin- ning with the formation of the Tlaxcalan rulers’ relationship with Cortés, and highlighting the significance of their role in the conquest of Mexico. Perhaps the most famous group of the indios amigos or Indian conquistadors, the Tlaxcalteca produced the Lienzo de Tlaxcala – as well as its much smaller antecedent, the Texas Fragment or Tizatlan Codex (c. ) – as evidence of their amity with the Castilians during the conquest. It is generally understood that the document acted as a pictorial ‘petition’ designed to support their request for rights during the new colonial era, and, accordingly, the indigenous tlacuiloque ‘edited’ the events of the Lienzo at various points in order to strengthen their case. This is evident from the very beginning of the Lienzo: the tlacuiloque chose to omit completely the Tlaxcalteca’s immediate, hostile  Pennock, Bonds of blood, p. ; Clendinnen, Aztecs, p. ; Wood, Transcending conquest, pp. –, ch. ; Elizabeth Hill Boone and Walter D. Mignolo, eds., Writing without words: alter- native literacies in Mesoamerica and the Andes (Durham, NC, ); Elizabeth Hill Boone and Tom Cummins, eds., Native traditions in the postconquest world: a symposium at Dumbarton Oaks, nd through th October  (Washington, DC, ); Elizabeth Hill Boone, ‘Writing and recording knowledge’, in Hill Boone and Mignolo, eds., Writing without words, pp. –; Elizabeth Hill Boone, Stories in red & black: pictorial histories of the Aztecs and Mixtecs (Austin, TX, ); Donald Robertson, Mexican manuscript painting of the early colonial period: the metropolitan schools (New Haven, CT, ); Mary Elizabeth Smith, Picture writing from ancient Southern Mexico (Norman, OK, ); Joyce Marcus, Mesoamerican writing systems: propaganda, myth, and history in four ancient civilizations (Princeton, NJ, ); Lockhart, The Nahuas after the conquest, p. .  Travis Barton Kranz, ‘Sixteenth-century Tlaxcalan pictorial documents on the conquest of Mexico’, in James Lockhart, Lisa Sousa, and Stephanie Wood, eds., Sources and methods for the study of postconquest Mesoamerican ethnohistory (Eugene, OR, ), http://whp.uoregon. edu/Lockhart/index.html; Travis Barton Kranz, ‘Visual persuasion: sixteenth-century Tlaxcalan pictorials in response to the conquest of Mexico’, in Susan Schroeder, ed., The con- quest all over again: Nahuas and Zapotecs thinking, writing, and painting Spanish colonialism (Eastbourne, ), pp. –.  Laura E. Matthew and Michel R. Oudijk, eds., Indian conquistadors: indigenous allies in the conquest of Mesoamerica (Norman, OK, ); Matthew Restall, Maya conquistador (Boston, MA, ); Florine G. L. Asselbergs, Conquered conquistadors: the Lienzo de Quauhquechollan: a Nahua vision of the conquest of Guatemala (Boulder, CO, ). Texas Fragment (digital facsimile), available via Mapas Project (University of Oregon, ), https://mapas.uoregon.edu/ltlax. The original is held in the Ex-Stendahl Collection, Benson Latin American Collections, University of Texas Libraries.  Kranz, ‘Visual persuasion’, p. . See also Hill Boone, ‘Pictorial documents and visual thinking in postconquest Mexico’, in Hill Boone and Cummins, eds., Native traditions in the post- conquest world, pp. –, at pp. –; Florine G. L. Asselbergs, ‘The conquest in images: stories of Tlaxcalteca and Quauhquecholteca conquistadors’, in Matthew and Oudijk, eds., Indian conquistadors, pp. –; Charles Gibson, Tlaxcala in the sixteenth century (Stanford, CA, ), pp. –, passim. M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core http://whp.uoregon.edu/Lockhart/index.html http://whp.uoregon.edu/Lockhart/index.html http://whp.uoregon.edu/Lockhart/index.html https://mapas.uoregon.edu/ltlax https://mapas.uoregon.edu/ltlax https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core reception of the Castilians, as this would not support their intended narrative of amity. We learn of the bloody clashes on Tlaxcala’s eastern frontier in September  from other indigenous-authored pictorials, such as the Huamantla Roll. Whilst the earlier Texas Fragment is extant, the Lienzo only survives through tra- cings and a carefully coloured copy taken from the original cloth(s). These tra- cings were developed into a facsimile of the Lienzo in  by Alfred Chavero; unfortunately, since the facsimile’s publication, the tracings have also been lost. The Chavero edition is usually taken as the ‘best’ source of information on, or representation of, the sixteenth-century Lienzo, in combination with other com- mentaries; following the careful work of other scholars, it is the Chavero edition I have used in the following analysis. There have been excellent scholarly efforts to regain distance to the original Lienzo, though, most recently in the ever-growing field of digital humanities: notably, the Mesolore project – created by Liza Bakewell and Byron Hamann – digitally recreates the Lienzo, based on the tracings preserved in the  facsimile. Travis Barton Kranz is a leading authority on the development of the Tlaxcalan pictorials, and, in line with his efforts to trace how the various Tlaxcalan tlacuiloque present the con- quest events in and from the Texas Fragment, to the Lienzo, and to the later Descripción de la ciudad y provincial de Tlaxcala de la Nueva España by Tlaxcalan his- torian Diego Muñuz Camargo in c. –, the following analysis identifies points of change between the  and  manuscripts. Departing from the Texas Fragment, the authors of the Lienzo de Tlaxcala inter- preted Malintzin as both a mediator and a warrior, reflecting the fluidity of her representations within a given text and, more widely, across different manu- scripts. There are, though, certain visual strategies many different tlacuiloque utilized to reflect Malintzin’s significance in their telling of events: indigenous authors usually position her between the two parties, speaking on behalf of Cortés/the Castilians and indigenous nobles, or, alternatively, to the side of or slightly behind Cortés, sometimes mirroring him directly. Numerous tlaquiloque emphasize the centrality of Malintzin’s role further by depicting her as equal to or larger than Cortés and the indigenous nobles, and by constantly presenting  Huamantla Roll or Códice de Huamantla, fragment , available via Codíces de México digital exhibition (Instituto Nacional de Anthropología e Historia, ), www.codices.inah.gob. mx. See also European accounts, for example Cortés, ‘The second letter’, p. .  Gillespie, Saints and warriors, pp. –; Elizabeth Aguilera, ‘Malintzin as a visual metaphor in the Lienzo de Tlaxcala’, Hemisphere: Visual Cultures of the Americas,  (), pp. –.  Lienzo de Tlaxcala (digital recreation), Mesolore (Brown University), www.mesolore.org/ viewer/view//Lienzo-de-Tlaxcala; Lisa Bakewell and Byron E. Hamann, ‘Introduction to the Lienzo de Tlaxcala’, Mesolore, www.mesolore.org/tutorials/learn//Introduction-to-the-Lienzo- de-Tlaxcala-//History-and-Publications.  Diego Muñuz Camargo, Descripción de la ciudad y provincial de Tlaxcala de la Nueva España (c. –), Glasgow Hunter MS , University of Glasgow Special Collections; Barton Kranz, ‘Visual persuasion’ and ‘Sixteenth-century Tlaxcalan pictorial documents’, passim.  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core http://www.codices.inah.gob.mx http://www.codices.inah.gob.mx http://www.mesolore.org/viewer/view/2/Lienzo-de-Tlaxcala http://www.mesolore.org/viewer/view/2/Lienzo-de-Tlaxcala http://www.mesolore.org/tutorials/learn/19/Introduction-to-the-Lienzo-de-Tlaxcala-/54/History-and-Publications http://www.mesolore.org/tutorials/learn/19/Introduction-to-the-Lienzo-de-Tlaxcala-/54/History-and-Publications https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core her in scenes of dialogue and negotiation, often gesturing or pointing. Moreover, the painter-scribes often adorn Malintzin in both indigenous and Castilian attire, with her outward appearance strongly reflecting her ‘in- between’, intercessory identity. Accordingly, in scenes of the Lienzo de Tlaxcala, as in the Texas Fragment, Malintzin can be quickly identified by her pink huipilli (long blouse or shift), European-style shoes, her proximity to Cortés, and her varying hand gestures (all indicative of an act of conversation/translation). In addition to the dominant presentation of Malintzin as a cultural intermedi- ary, the tlacuiloque of the Lienzo de Tlaxcala depict her amid battle scenes in Tenochtitlan, even bearing arms. These militant portrayals are the focus of the following analysis, which demonstrates the deeply complex nature of indi- genous representations of her role and identity. The tlacuiloque’s recording of the Cholula massacre (October ) is the first violent scene in which Malintzin is present (Figure ). According to Castilian accounts – principally that of Cortés – Malintzin supposedly uncovered a plot to kill Cortés and his men, and it was her information that led to this bloody episode, where thou- sands of Cholulteca were slaughtered by Tlaxcalan and Castilian forces. In the years following the massacre, Malintzin has consequently been accused as a traitor and informant – a negative and damaging characterization that gained particular currency around/following the time of Mexican independ- ence in , to which we will later return. In their portrayal of the massacre, the Tlaxcalan tlacuiloque position Malintzin to the right of the scene, larger than the mounted Castilian conquistador below her, who tramples over dismem- bered bodies of Cholulan citizens at the foot of the temple of Quetzalcoatl. With her hand outstretched in a pointed gesture, this pictorial scene likewise suggests that the Tlaxcalan authors saw her involvement in the attack as significant. Moving to the fourteenth scene, the tlacuiloque make Malintzin clearly iden- tifiable in the battle fray by way of her brightly coloured huipilli, and again by her large size, which dwarfs that of the Castilians. Positioned to the far left within the palace walls, Malintzin’s right hand is held at the centre of her chest in a pointed gesture – perhaps a subtler suggestion of her commanding position than an outstretched arm. Amidst the shooting of arrows, hurling of  See Tepetlan Codex, in Robert Wauchope, ed., Handbook of Middle American Indians, XIV (Austin, TX, ), pp. –; Bernardino de Sahagún, Florentine Codex, ‘Book XII: the con- quest of Mexico’ (), fo. r, scene ; fo. v, scene ; and fo. r, scene , contributed to the World Digital Library by the Medicea Laurenziana Library, Florence, www.wdl.org/en/ item//view///.  Stephanie Wood, ‘Contextualizing Malinche’, A Contracorriente: A Journal on Social History and Literature in Latin America,  (), p. ; Restall, When Montezuma met Cortés, pp. –; Townsend, Malintzin’s choices, pp. –; Jeanne Gillespie, ‘Malinche: fleshing out the founda- tional fictions of the conquest of Mexico’, in Elizabeth Moore Willingham, ed., Laura Esquivel’s Mexican fictions (Eastbourne, ), pp. –, at pp. –; Pilar Godayol, ‘Malintzin/La Malinche/Dona Marina: re-reading the myth of the treacherous translator’, Journal of Iberian and Latin American Studies,  (), pp. –. M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core http://www.wdl.org/en/item/10623/view/1/1/ http://www.wdl.org/en/item/10623/view/1/1/ https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core stones and canon fire, Mexica bodies lie dismembered and gushing blood on the floor. Her presence amongst the allied forces continues in the following scene and scene , where the Tlaxcalan authors paint her as the tallest of the figures; in the latter, they again depict Malintzin with her hand raised in an instructive, pointed gesture. It is in scene  of the Lienzo where Malintzin’s more militant portrayal becomes particularly remarkable. Like the preceding scenes, Malintzin – in another ornate huipilli – is taller than the allied forces she is accompanying; the tlacuiloque stand her to the far left, behind the forces to the left of and below her. Rather than pointing, however, Malintzin protects herself with and wields a European sword. Her static stance leaves ambiguity with regards to whether she is acting in the physical defence of her person or in an attacking capacity; however, through the possession of weapons, the tlacuiloque’s percep- tion of Malintzin’s role in battle has recognizably progressed from one limited to guidance and instruction to that of a more active participant. In scene , Malintzin is again found amongst the allied forces, and is most likely the carrier of a European shield positioned to her left; in scene , Malintzin also carries a European shield (Figure ). This latter scene records the beginning of the allies’ assault on Tenochtitlan, and it is here where Malintzin’s roles as both mediator and warrior collide for the tlacuiloque: whilst placing a shield in Fig. . Scene , Lienzo de Tlaxcala. Homenaje á Cristóbal Colón, Lienza . Fray Angelico Chavez History Library/New Mexico History Museum, Bourne Collection  MexH. Reproduced with permission.  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core her left hand, they present Malintzin’s right arm outstretched, her hand in a pointed gesture. Significantly, Malintzin occupies a central position on the causeway, situated between the leading Tlaxcalan warriors (in front of her) and the Castilian forces (behind her). Just as the causeway on which she is stood connects the two places, this militant representation of Malintzin concur- rently reflects the tlacuiloque’s perception of her as a mediator, as a bridge between cultures. I I A powerful intercessor; highly skilled in dialogue and mediation; and a conduit connecting different peoples, the associated qualities of Malintzin as a woman in-between mirror those of the Virgin Mary. When exploring the wider Fig. . Scene , Lienzo de Tlaxcala. Homenaje á Cristóbal Colón, Lienza . Fray Angelico Chavez History Library/New Mexico History Museum, Bourne Collection  MexH. Reproduced with permission.  Townsend, Malintzin’s choices, p. . M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core context for the assimilation of the two female figures of Mary and Malintzin in indigenous worldviews, the presence of the Virgin in moments of early encoun- ter quickly becomes apparent, in both pictorial sources and European accounts. The Huexotzinco Codex contains one of the earliest surviving images of Mary authored by indigenous peoples: appearing on a highly ornate war banner created by the city state or altepetl of Huexotzinco for the conquistador Nuño Beltrán de Guzmán, this image of Mary appears in the record of the excessive tribute demanded from the Huexotzinca by Guzmán in . Indigenous relationships with Mary were complex, to say the least. Though Cortés records how the indigenous ‘idols’ from the Templo Mayor were ‘taken from their places [by Europeans] and thrown down the steps…[and Cortés] had images of Our Lady and of other saints put there’, the indigenous authors of the Nahuatl text and the pictorial scenes recording the conquest in the Florentine Codex do not mention or include Mary at all. As Amy Remensnyder, among others, suggests, it is understandable that Bernardino de Sahagún’s Nahua informants would not have wanted to associate ‘Our Precious Mother’ with memories of the ruin of their home, Tenochtitlan. Elsewhere, indigenous communities often utilized images of Mary to build rela- tionships with the Castilians, even in less amicable circumstances, further dem- onstrating the complexity of indigenous responses to this female figure. As scholars exploring Marian religious syncretism have highlighted, it is no coinci- dence that Nahua devotions to different Marian cults were often established on the sites of native deities, like that of the Virgin of Guadalupe and the autoch- thonous goddess Tonantzin, reflecting how indigenous communities integrated Mary into their worldviews. Perhaps her figure even offered them an anchor in ‘the swirling madness’, to borrow from Rolena Adorno, of indigenous gods and the Christian new. With both Mary and Malintzin perceived to occupy an in-between space, to act as facilitators of cross-cultural dialogue, indigenous representations of these women follow strikingly similar pathways, and the two intercessors’ iden- tities may have even merged in indigenous understandings. As Townsend high- lights, at each place the Castilians paused, a priest would give an introduction to Mary, accompanied by the ceremonious presentation of her image to the  Amy G. Remensnyder, La conquistadora: the Virgin Mary at war and peace in the Old and New Worlds (Oxford, ), p. .  Cortés, ‘The second letter’, p. ; Sahagún, Florentine Codex, ‘Book XII’.  Remensnyder, La conquistadora, pp. –. See also Louise M. Burkhart, Before Guadalupe: the Virgin Mary in early colonial Nahuatl literature (Albany, NY, ), p. ; Linda B. Hall, Mary, mother and warrior: the Virgin in Spain and the Americas (Austin, TX, ), p. .  Burkhart, Before Guadalupe, p. ; Fernando Cervantes, The devil in the New World: the impact of diabolism in New Spain (New Haven, CT, ), p. ; Catherine DiCesare, Sweeping the way: divine transformation in the Aztec festival of Ochpaniztli (Boulder, CO, ); Hall, Mary, mother and warrior, passim.  Rolena Adorno, qu. in Hall, Mary, mother and warrior, p. .  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core community, but it was Malintzin who translated the priest’s words. Indeed, it would be unsurprising if the blurriness of the early contact situation produced confusion between Malintzin, who spoke about Mary, and Mary herself, the subject of Malintzin’s addresses. Furthermore, Townsend suggests that indi- genous peoples may have understood the corporeal Malintzin to be a cere- monial god impersonator for the Virgin – clearly a very powerful deity of the Castilians – or perceived her to act as Mary’s representative, especially consider- ing the likeness of their reverential names. In studying the wider context for the assimilation of Mary and Malintzin, then, their similarities as intercessors have been relatively well established. Returning specially to the Lienzo de Tlaxcala, Federico Navarrete proposes that Malintzin’s identity becomes intertwined with that of the Virgin Mary through the ways in which the tlacuiloque connect her with Christian symbols: in the only two scenes in which she features but does not occupy a central position, the Tlaxcalan authors replace Malintzin with a cross, in the first instance, and with an image of the Virgin Mary in the second. Indeed, in scene , a large crucifix is the central focus, with Malintzin – only her face, partially hidden by a banner – found to the left. In front of the crucifix, Cortés holds the wrist of one of the Tlaxcalan nobles, who gestures to him in speech. In scene , the tla- cuiloque record the conversion of the four Tlaxcalan lords to Christianity (Figure ). Here, as the lords kneel before a priest, the tlacuiloque give Malintzin’s hand a pointed gesture, but displace her to the right of the cere- mony, which is instead overseen by a centrally placed image of the Virgin. For the Lienzo’s tlacuiloque, the inclusion of these Christian symbols was part of a wider strategy to reflect their allegiance to the European newcomers, similar to their incorporation of European symbols of political power, such as the coat of arms and royal regalia in the main scene of the Lienzo (where the tlacuiloque also place an image of Mary). Indeed, Kranz examines how the Tlaxcalan pic- torials ‘changed over time to emphasize the claim that they had converted to Christianity soon after the first encounter with the Spaniards’: whilst the authors of the Lienzo include the crucifix in scene  of the Lienzo, it does not appear in the equivalent scene of the older Texas Fragment, and, significantly, there is no evidence of an early baptism of the four Tlaxcalan lords in pre- mid-century sources. However, the Christian symbols have an important func- tion in this document, despite their likely mid-century invention. As Navarrete  Townsend, Malintzin’s choices, p. : ‘The reverential form of the name “María” before the r sound was familiar would have been “Malitzin” – which, in a world where an n was often silent at the end of a syllable, could easily have been heard in the same way as “Malintzin”.’  Ibid., p. .  Ibid., p. .  Navarrete, ‘La Malinche’, pp. –. See also Barton Kranz, ‘Visual persuasion’, pp. –.  Navarrete, ‘La Malinche’, p. ; Remensnyder, La conquistadora, p. .  Barton Kranz, ‘Visual persuasion’, p. ; Gillespie, Saints and warriors, pp. , . M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core proposes, Malintzin is displaced only by the crucifix and image of Mary because, for the tlacuiloque, these symbols have the capacity to fulfil an intermediary role, too; the devotion to Christianity that is embodied in these images allows for mutual understanding and alliance between the Tlaxcalteca and the Castilians. For the Tlaxcalan authors, Malintzin – Doña Marina – may have similarly represented an embodiment of their shared faith. Indigenous associations of Malintzin with symbols of Christianity can be iden- tified in other pictorials produced by indigenous communities more widely, too, perhaps for similar reasons. The authors of the Mapa de San Antonio Tepetlan, for example, position Malintzin next to Christian churches, whilst in the Codex Coyoacán (or Manuscrito del aperreamiento, c. ) the tlacuiloque depict her grasping rosary beads, signifying conversion, and – like the Lienzo – adorn her in an indigenous huipilli and European shoes. In these examples, however, Fig. . Scene , Lienzo de Tlaxcala. Homenaje á Cristóbal Colón, Lienza . Fray Angelico Chavez History Library/New Mexico History Museum, Bourne Collection  MexH. Reproduced with permission.  Navarrete, ‘La Malinche’, pp. , .  The original Mapa de San Antonio Tepetlan is held in the American Museum of Natural History. Townsend, Malintzin’s choices, pp. –; Brotherston, Painted books, pp. –; Wood, Transcending conquest, pp. –. Codex Coyoacán (c. ), Mexicain , Département des Manuscrits, Bibliothéque nationale de France, http://gallica.bnf.fr/ark:// btvbm/f.image. See also Lori Boornazian Diel, ‘The spectacle of death in early colonial New Spain in the Manuscrito del aperreamiento’, Hispanic Issues on Line,  (), pp. –.  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core http://gallica.bnf.fr/ark:/12148/btv1b10508374m/f4.image http://gallica.bnf.fr/ark:/12148/btv1b10508374m/f4.image http://gallica.bnf.fr/ark:/12148/btv1b10508374m/f4.image https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core Malintzin still occupies a central position; the authors do not displace her with symbols as they do in the Lienzo. The reason behind this nuance is not clearly identifiable, but her total displacement by the Lienzo’s tlacuiloque is perhaps linked to the Tlaxcalteca’s particularly vehement devotion to the Virgin: Mary was later made the patron of the province, assuming the intercessory role once occupied by Malintzin. Speaking on behalf of the Castilian and indigen- ous groups, Malintzin’s role as cultural intermediary is certainly analogous to that of the Virgin as an abogada, a lawyer negotiating with God for her worship- pers. Notably, then, Malintzin’s connection to Mary formed an essential aspect of the Tlaxcalteca’s negotiations with the Castilians in the post-conquest world. As will now be examined, I argue that this connection is further under- stood – and strengthened – by the Tlaxcalan tlacuiloque’s portrayal of Malintzin as a warrior. I I I In contrast to the trope of Mary as a mediator, there was a different image of Mary in Mesoamerica’s religious spaces, too: Mary as a warrior or conquista- dora. This martial Mary was born in medieval Iberia, where, from the eleventh century onwards, she was as much a patron of the Reconquista or Reconquest as St James (Santiago), Isidore of Seville, and other male military saints were. Mary appeared prominently on battle standards, she was invoked during bat- tlefield prayers, and her presence on the frontier was so strongly felt by those fighting she almost became a military conqueror herself. Indeed, in  Alonso X even founded a Marian military order, Santa María de España (St Mary of Spain), which fought in Mary’s name ‘against the nefarious Saracens…and for the faith’. Moreover, Mary as military leader was sum- moned across Europe in efforts to wage war against non-Christians: even in the small English village of Denby, there are stories that crusaders visited the small church of St Mary on their way to the Holy Land, to pray for her aid and protection. In Iberia, the Virgin’s presence on Christian borderlands did not stop at the battlefield; once a region was reconquered, Mary played an important role in the conversion of religious space. As Remensnyder has  Navarrete, ‘La Malinche’, pp. , .  Byron E. Hamann, ‘Object, image, cleverness: the Lienzo de Tlaxcala’, Art History,  (), pp. –, at p. .  Remensnyder, La conquistadora, passim.  Amy G. Remensnyder, ‘The colonization of sacred architecture: the Virgin Mary, mosques, and temples in medieval Spain and early sixteenth-century Mexico’, in Sharon Farmer and Barbara H. Rosenwein, eds., Monks and nuns, saints and outcasts: religious expression and social meaning in the Middle Ages (Ithaca, NY, ), pp. –.  Ibid., pp. –; Remensnyder, La conquistadora, pp. –.  Manuscript from the Order of Santa María de España (), qu. in Remensnyder, La conquistadora, p. .  Mark Fryar, Some chapters in the history of Denby (Denby, ), p. . M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core shown, from the Christian victory at Toledo () to the Fall of Granada (), twenty-six mosques were rededicated to the Virgin Mary, reflecting how non-Christian sacred architecture could be usurped by the presence of Mary’s image. Indeed, there was ‘no other holy figure to whom so many mosques were dedicated’ than Mary, the most famous perhaps being the conversion of the main mosque at the Alhambra Palace. In agreement with Angus MacKay, ‘the late medieval frontier was a Mariological one’. By the Fall of Granada, Mary’s image as la Conquistadora or the Lady Conqueror was secure. As late fifteenth-century art reflects, the Virgin was often depicted as protector of Ferdinand and Isabella, the Catholic monarchs who led the final part of the Reconquista, using her cloak to shield them from onslaught of demonic forces and other evils. The artistic trope of Mary’s cloak of protection was developed over the course of the sixteenth century to shelter the leaders of the imperial enterprise in the Americas, too: as the paint- ing The Virgin of the Navigators by Alejo Fernández (c. ) shows, Mary’s mantle was perceived to protect conquistadors such as Christopher Columbus and Amerigo Vespucci, as well as Spanish ships of discovery. Accordingly, Linda Hall identifies how ‘in a real sense, [Columbus’s] mission was a continu- ation, both spiritually and spatially, of the Spanish Reconquest of the Peninsula’ – a notion now well established in Marian scholarship. Columbus named the second island he reached on his first voyage ‘Santa María de la Concepción’, whilst the ship he later lost on the reef was also named Santa María. Both Hall and Remensnyder have examined how Cortés continued the Reconquista tradition from Spain by rededicating indigenous temples to Mary on his way to Tenochtitlan – and in those of Tenochtitlan itself – reflecting how the Virgin continued to play an important role in the appropriation of non-Christian religious space. Certainly, Mary continued to appear on the  Remensnyder, ‘Sacred architecture’, p. ; Remensnyder, La conquistadora, pp. –. William Christian suggests that the location of Marian shrines reflects the wider context of the Reconquest: William Christian, Local religion in sixteenth-century Spain (Princeton, NJ, ), pp. –.  Remensnyder, ‘Sacred architecture’, p. .  Angus MacKay, ‘Religion, culture, and ideology on the late medieval Castilian–Granadan frontier’, in Robert Bartlett and Angus MacKay, eds., Medieval frontier societies (Oxford, ), pp. –, at p. .  Remensnyder, La conquistadora, p. .  Mary Rubin, Mother of God: a history of the Virgin Mary (London, ), p. .  Hall, Mary, mother and warrior, p. .  Christopher Columbus, The diario of Christopher Columbus’s first voyage to America, – , abstracted by Fray Bartolomé de Las Casas, transcribed and translated into English with notes and a concordance of the Spanish by Oliver Dunn and James E. Kelley, Jr (Norman, OK, ), ‘Monday  October ’, p. , and ‘Tuesday  December ’, p. .  Hall, Mary, mother and warrior, p. ; Remensnyder, ‘Sacred architecture’, p. ; Remensnyder, La conquistadora, pp. –. For conquistadors’ personal devotion to Mary, see Hall, Mary, mother and warrior, pp. –; Remensnyder, La conquistadora, pp. –.  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core conquistadors’ battle standards in the Americas, as the indigenous-authored Huexotzinco Codex demonstrates. Importantly, this idea that a mother could also embody a warrior would not have been an unusual idea for Nahua groups, for, in Mesoamerican thought, mothers in childbirth were transformed into warriors. The battle of delivering a child highlights how notions of motherhood and warriorhood were certainly not mutually exclusive in indigen- ous worldviews. Since Marian scholars have scrutinized Mary’s complex role as a mother and mediator and simultaneously established her as a warrior, it is essential to draw this idea of Mary’s warriorhood into scholarly considerations of the intertwine- ment of Mary and Malintzin’s figures. Not only does this provide a more nuanced understanding of Malintzin – especially Malintzin as portrayed by the Tlaxcalan tlacuiloque – but of Mary, too. The Lienzo de Tlaxcala’s unique images of Malintzin as a warrior only strengthen Malintzin’s connection to Mary, in Mary’s roles as both abogada and la Conquistadora. Considering the tla- cuiloque’s portrayal of Malintzin as a warrior in scenes of cross-cultural conflict alongside the understanding of Mary as la Conquistadora allows for a fresh inter- pretation of the Tlaxcalan’s pictorial representations of Malintzin. Returning to scene  of the Lienzo, the tlacuiloque’s depiction of Malintzin in the Cholula massacre accordingly takes on additional meaning (Figure ). By keeping Malintzin’s connection to Mary as la Conquistadora in the foreground, this scene can arguably be read as one where Malintzin is overseeing the violent conquest of the religious space of the temple of Quetzalcoatl – just as Mary oversaw the conquest and conversion of non-Christian religious spaces. Arguably, then, this portrayal of Malintzin by the Tlaxcalan tlacuiloque is not necessarily simply fulfilling the Castilian narrative of Malintzin-as-informant, and instead speaks to her identity as a conquistadora. Developing Jeanne Gillespie’s argument that the mounted conquistador below Malintzin repre- sents Santiago Matamoros – an embodiment of the Tlaxcalan’s ‘true’ Christianity – Malintzin-as-Mary was a further means by which the tlacuiloque could justify the conquest in Christian terms. The connection the tlacuiloque make between Malintzin, Mary, and the Christian religion here is strengthened by the contrasting nature of this scene to the one preceding it (scene ): the conversion of the Tlaxcalan lords to Christianity (Figure ). Significantly, this reading contributes to the wider deconstruction of Malintzin’s supposed role in the massacre. Notably, historians theorize that  Rubin, Mother of God, p. ; Amy G. Remensnyder, ‘Christian captives, Muslim maidens, and Mary’, Speculum,  (), pp. –, at p. . The image of the Virgin appeared on Cortés’s own standard, too: see Hall, Mary, mother and warrior, p. ; Remensnyder, La conquis- tadora, p. .  Pennock, Bonds of blood, pp. –, –; Clendinnen, Aztecs, ch. , pp. –; Louise M. Burkhart, ‘Mexica women on the home front: housework and religion in Aztec Mexico’, in Schroeder, Wood, and Haskett, eds., Indian women in early Mexico, pp. –, at p. .  Gillespie, Saints and warriors, pp. –, . M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core the massacre was ‘engineered’ by the Tlaxcalteca, both to test their new alliance with the Castilians and to punish the Cholulteca, who had recently abandoned their alliance with Tlaxcala for loyalty to Tenochtitlan. This theory interlinks with the substantial effort to deconstruct and critique the post- scapegoat- ing of Malintzin as a traitor and whore, as a symbol of domination by outsiders, which sprung from her role in the massacre, and the conquest more broadly. From the s onwards, revisionists have re-envisaged her as a victim, as a sur- vivor, and as a woman with agency. ‘Blame’ for the events has been examined from different angles (if anyone were to ‘blame’, surely it would be the Tlaxcalan forces?), especially in terms of misogyny, and the term ‘traitor’ inter- rogated (how could Malintzin be a traitor to the Mexican nation before it even existed?). Alongside the Tlaxcalan’s generally ‘favourable’ portrayal of Malintzin as a converted noblewoman, this reading of Malintzin as a conquista- dora complicates the story of the massacre further, highlighting the interplay of multiple narratives. Though the massacre was likely a result of complex indigenous political affairs, the Lienzo’s mid-century telling also reveals religious tensions, or, perhaps more accurately, how the Tlaxcalan tlacuiloque may have used religious tensions to represent a much broader truth. The tlacuiloque’s strategy to emphasize the Tlaxcalan alliance with the Castilians through the differentiation of themselves and their non-Christian neighbours through religion is clear: placing the conversion scene immediately before that of the massacre, which took place on the steps of a non-Christian temple, is a powerful juxtaposition. Similarly, we can look to the contrast the authors draw between the conversion scene and that directly below it. In this scene (), the tlacuiloque position Malintzin in the battle fray, alongside a second image of the Virgin and child, and a third of a crucifix, in the top right of the scene (Figure ). Here, the Christian images burn within the walls of Tenochtitlan, representing the Mexica’s refusal to welcome Christianity. Considering Malintzin’s large size – dwarfing the figures around her – and pointed hand gesture, her figure seems formidable in contrast to the small, damaged image of the Virgin. In development of Navarrete’s work, whilst the Lienzo’s authors displace Malintzin in favour of Christian symbols in earlier scenes, I argue that scene  offers a displacement of Mary’s image by Malintzin. Her ongoing presence in scenes of violence after this arguably strengthens the notion that for the Tlaxcalan authors Malintzin came to embody the Virgin, as she watches over the military efforts of the allied forces, offering guidance and instruction. Combined with later scenes in which she bears weapons, her role in combat in scene  convincingly  Townsend, Malintzin’s choices, pp. –, at p. ; Restall, When Montezuma met Cortés, pp. –.  Wood, ‘Contextualizing Malinche’, p. .  Ibid., p. ; Kellogg, Weaving the past, p. .  Brotherston, Painted books, p. ; Gillespie, ‘Malinche’, p. .  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core reflects her appropriation of the Virgin’s identity of la Conquistadora, with Mary herself burnt away. Whilst this understanding of Malintzin as a conquistadora strengthens previous scholarly interpretations of Malintzin’s and Mary’s connections, it also chal- lenges structural analyses of the Lienzo, which have largely overlooked Malintzin’s presence in violent scenes. Byron Hamann has suggested that the Lienzo de Tlaxcala can be divided into two distinct parts, and, significantly, con- structs this argument using Malintzin’s appearances. According to Hamann, the first half of the Lienzo (up to and including scene ) reflects a focus on dia- logue and intercession, whilst the second half (after scene ) is dominated by warfare. All but two of Malinztin’s appearances are on or before scene , and, accordingly, Hamann argues her (dominant) position as cultural inter- mediary reflects this corresponding change from peace to violence. These two halves are reflective of the developing contact situation: the first is characterized by images of Malintzin – who personified Mary – and the second by that of a Fig. . Scene , Lienzo de Tlaxcala. Homenaje á Cristóbal Colón, Lienza . Fray Angelico Chavez History Library/New Mexico History Museum, Bourne Collection  MexH. Reproduced with permission.  Hamann, ‘Object, image, cleverness’, p. .  Scene  is the first of two ‘centres’ of the Lienzo (the ‘Tlaxcalan centre’), the other being scene  (the ‘Tenochtitlan centre’). For Hamann, scene  divides the Lienzo in terms of gender (feminine/masculine), and scene  does so by colouration (whiter/greener and yel- lower): Hamann, ‘Object, image, cleverness’, pp. –, at pp. –. M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core mounted conquistador leading his fellow Castilians and Tlaxcalteca into battle – an incarnation of Santiago Matamoros. Taking this spatial analysis of the Lienzo further, Hamann proposes that the structure is thus heavily gendered: the first half of the Lienzo is peaceful, filled with dialogue and negotiation, under the patronage of the Virgin – seemingly presented as the ‘feminine’ half – whilst the second half, under the patronage of Santiago, is dominated by warfare – accordingly, the ‘masculine’ half. This gendered analysis is unarguably fitting on a visual level; the tlacuiloque do paint Malintzin in twenty of the first twenty-nine scenes and only twice more after scene . Despite her continued participation in the following events, scenes – are contrastingly dominated by the male figure of the mounted conquistador. However, the complexity of the gendered roles of female inter- preter and male warrior that such structural analyses present needs to be inter- rogated, as a closer examination of the Tlaxcalan authors’ representations of Malintzin reveal. Although the tlacuiloque present Malintzin in her main capacity as negotiator in twelve of the twenty-three scenes in which she appears, this article has established that her position as principle interpreter was not always a peaceful role separated from scenes of warfare for the authors of the Lienzo. The tlacuiloque paint her in violent battles in six of the remaining ten scenes in which she appears, where she can be identified among the allied forces – significantly, on some occasions, holding a European sword and/or shield – and feature her in other scenes containing violent acts, like that of the massacre (see Figure ). Hamann offers a deep and insightful deconstruction of the Lienzo’s spatial layout – much of which I am in agreement with – but the neglect of these more militant representations of Malintzin provides an incomplete story of Malintzin’s identity, as perceived by the creators of the Lienzo. Further, the dichotomy of peace and mediation/violence and warfare subsequently assigned to the Lienzo does not reveal the full depth and complexity of this pictorial more widely, even setting aside the accompanying gendered connotations. Though the second part of the Lienzo is essentially dominated by scenes of warfare, depictions of violence (including battles, attacks, killings, and depictions of dead bodies – some in pieces and/or bloodied) are present in thirteen scenes before scene , and, moreover, in twenty-seven scenes before scene  (Malintzin’s last appearance), albeit formatted less schematically (see Figure ). The tlacuiloque’s portrayal of Malintzin as a conquistadora compli- cates the overall structure of the Lienzo, then, in a way that strengthens readings foregrounding her connection to the Virgin Mary; challenges the reductive  Ibid., p. . See also Gillespie, Saints and warriors, p. .  Hamann, ‘Object, image, cleverness’, p. .  Lienzo de Tlaxcala, scenes –, , –, and .  Ibid., scenes , , , , , and .  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core Fig. . Malintzin in the Lienzo de Tlaxcala. M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core dichotomy of ‘peacefulness, mediation, female: violence, warfare, male’ as a framework of analysis; and supports broader deconstructions of the Tlaxcalan tlacuiloque’s use of Christian figures and symbols to reflect their amity with the Castilians. Fig. . Scenes containing violence in Lienzo de Tlaxcala.  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core Of course, influences closer to home, not from across the Atlantic, should also be drawn into this new understanding of the Tlaxcalan tlacuiloque’s Malintzin. Significantly, whilst portrayals of Malintzin as a warrior are unique to the Lienzo de Tlaxcala, women as warriors are found in the Mesoamerican past and power structures more widely. Examining the duality of Malintzin and Cortés in the Lienzo, Jeanne Gillespie argues that the authors may have con- ceived of Cortés as the tecuhtli or lord, and Malintzin as cihuacoatl or woman- snake – the ‘prime minister’ who negotiated and advised, but was also a warrior. Usually a position occupied by men, the cihuacoatl would dress as/ impersonate a woman; Malintzin, in this interpretation, would wield significant political power, and would also represent the first instance of the cihuacoatl as a woman (rather than a female impersonator). In agreement with Gillespie, this is one way in which the Tlaxcalan tlacuiloque may have justified the success of the conquest in indigenous terms. There have been cases of women fighting in battles in the Mesoamerican past, too. Toltec and Tepanec women were said to have fought alongside male warriors in the  civil war and the  battle against the Tenochca army, respectively, for example. Later, when Tlatelolco was attacked by forces from Tenochtitlan in , the (losing) king of Tlatelolco sent women and young boys into battle. Diego Durán records the incident: A large number of women were gathered, stripped of their clothing and formed into a squadron. They were made to attack the Aztecs who were fighting furiously. The women, naked, with their private parts revealed and their breasts uncovered, came upon slapping their bellies, showing their breasts and squirting milk at the Aztecs. There is some ambiguity between accounts recording this curious incident of Aztec mythohistory, even within Durán’s work: the accompanying pictorial differs notably from the textual narrative, depicting the women throwing brooms, spindle whorls, and other domestic utensils from a rooftop. Though such missiles may seem improvised, in Mesoamerican worldview these items – ‘supremely feminine symbols’ – carry notable significance as  Gillespie, Saints and warriors, pp. , . This is part of Gillespie’s broader argument that Malinztin and Cortés may be considered as a representation of Ometeotl: pp. –.  Ibid., p. .  Kellogg, Weaving the past, p. ; Aguilera, ‘Malintzin as a visual metaphor’, pp. –.  Diego Durán, The Aztecs: the history of the Indies of New Spain, trans. with notes by Fernando Horcasitas and Doris Heyden (New York, NY, ), ch. XXXIV, p. . For a pictorial depiction of the events, see Juan de Tovar, Tovar Codex (), fo. , held at the John Carter Brown Library (Providence, RI), and available digitally via the World Digital Library, www.wdl.org/ en/item//#q=tovar&qla=en. The Tovar Codex is based upon Durán’s work, as well as on correspondence Tovar had with José de Acosta.  Cecelia Klein, ‘Fighting with femininity: gender and war in Aztec Mexico’, in Richard Trexler, ed., Gender rhetorics: postures of dominance and submission in history (Binghamton, NY, ), pp. –, at p. . M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core http://www.wdl.org/en/item/6759/&num;q=tovar&qla=en http://www.wdl.org/en/item/6759/&num;q=tovar&qla=en https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core tools of feminine power. Importantly, women balanced both creative and disruptive forces: it was women’s responsibility to turn unfinished materials (e.g. fibres, foodstuffs, sexual secretions) into finished products in everyday life, yet, as well as this creative capacity, women were ‘imbued…with the inher- ent potential for disruption’ due to their ‘connection to chaotic energy of the earth’. Taking up their brooms, women would defend their households against ‘invading’ dirt or other manifestations of disorder, and in doing so maintain the necessary balance of order and disorder – an action especially important at times of war. With the broom in her hand, a Nahua woman ‘stood at the intersection of chaos and order’, with the broom itself both a trans- porter of filth or tlazolli and a means for purification, as Louise Burkhart convin- cingly demonstrates. That the broom was perceived as a weapon is reflected clearly in the festival of Ochpaniztli, or ‘Sweeping the Roads’, where warriors used brooms in lieu of swords in mock battles performed in the streets. The festival celebrated Toçi or ‘Our Grandmother’, a benevolent mother goddess, who, with spindle whorls and cotton in her hair, carried both a shield and a broom. Symbolizing their feminine power, the imagery of the Tlatelolcan warrior- esses hurling brooms from the rooftop is demonstrative of women’s chaotic potential. Notably, the Tlaxcalan tlacuiloque’s portrayal of Malintzin-as-warrior departs from this allegorical representation; rather than wielding the broom or spindle whorl, Malintzin carries a sword and shield. Whilst other descriptions of the events of  record the Tlatelolcan warrioresses as ferociously bearing shields and obsidian-bladed clubs, Malintzin’s European-style sword markedly contrasts with indigenous weaponry – symbolic or otherwise. A woman in- between, Malintzin’s adoption of European weaponry strengthens her already liminal, intercessory identity: adorned in beautiful indigenous huipilli and cueitl (wraparound skirt) – often containing designs that mirror the Tlaxcalan nobles’ red and white twisted headbands – as well as European- style shoes, Malintzin’s outward appearance is a visual representation of her  Klein, ‘Fighting with femininity’, p. .  Pennock, ‘Women of discord’, p. ; Burkhart, ‘Mexica women on the home front’, p. .  Burkhart, ‘Mexica women on the home front’, pp. –.  Ibid., pp. –.  Klein, ‘Fighting with femininity’, p. ; Burkhart, ‘Mexica women on the home front’, p. .  Diego Durán, Book of the gods and rites and the ancient calendar, ed. and trans. by Fernando Horcasitas and Doris Heyden (Mexico City, ), p. . For a pictorial depiction of Toçi, see The book of the life of the ancient Mexicans, an anonymous Hispano-Mexican manuscript preserved at the Biblioteca nazionale centrale, Florence, Italy, reproduced in facsimile, with introduction, translation, and commentary by Zelia Nuttall (Berkeley, CA, ), scene , fo. . See also DiCesare, Sweeping the way, ch. .  Don Hernando Alvarado Tezozómoc, ‘Crónica mexicana’, as discussed in Klein, ‘Fighting with femininity’, p. .  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core perceived in-betweenness. In agreement with Elizabeth Aguilera, Malintzin’s dress acts as a ‘visual link’ between the Tlaxcalans and Spaniards; the tlacuiloque offer her as a ‘visual metaphor’ for the alliance, as a symbol of the part they played in the conquest. At least in the Mexica context, the importance of items to identity has been well established, with Burkhart in particular highlighting how Mexica construc- tion of identity was ‘based not so much on intrinsic qualities as on attributes and accoutrements’. Indeed, Nahua girls were given spindle whorls at birth whilst boys were given darts, as it was these items that guided the children’s growth into their appropriate gender roles. Wearing European-style shoes and bearing European weapons, these (masculine) accoutrements surely signal a conflict over Malintzin’s perceived identity and sense of belonging (and perhaps, even, her gender). Does ‘Europeanizing’ her aid the tlacuiloque’s aim to demonstrate their amity with the Castilians? Does it reflect an even stron- ger connection to the Virgin as both an abogada and a conquistadora? The Tlaxcalan Malintzin forges a unique representation of a woman warrior in other ways, too. As Klein demonstrates, the mythohistorical tradition typically painted combative women as unsuccessful, as inevitably defeated in battle. The Lienzo departs from this, however, as Malintzin-as-warrior is on the side of the victors, fighting alongside the Tlaxcalan and Castilian forces. Whilst the Tlatelolcan warrioresses’ aggressiveness was perceived as ‘brazen and unfemin- ine’, Malintzin’s portrayal fits within the alternative – yet concomitant – dis- course that reflected ‘ideal femininity itself…characterized as brave, and as manly’. At the same time, the Lienzo records a period of transition and instabil- ity in the conquest of Tenochtitlan: in this sense, Malintzin’s femininity subtly reflects that of female figures in the Mesoamerican past – ‘Women of Discord’ – who are often portrayed as ambiguous or transitional, associated with disorder. Though women’s transitional capacity is mirrored in their cre- ative potential, threats to the state were nearly always personified as women. There is a beautiful parallel to Malintzin’s portrayal in the Lienzo, here, in which she represents a threat to Tenochtitlan yet concurrently forges the Tlaxcalan–Castilian relationship. As in the Texas Fragment, Malintzin-as- mediator’s most common placement in the Lienzo is a central one, between Cortés and the indigenous nobles; in other scenes, the authors depict her to the side of Cortés, but also behind him, and – on some occasions – alone,  Townsend, Malintzin’s choices, p. .  Aguilera, ‘Malintzin as a visual metaphor’, p. .  Burkhart, ‘Mexica women on the home front’, p. .  Pennock, Bonds of blood, pp. –.  Klein, ‘Fighting with femininity’, p. .  Ibid., p. .  Ibid., p. ; Pennock, ‘Women of discord’, p. .  Burkhart, ‘Mexica women on the home front’, p. ; Pennock, ‘Women of discord’, p. . M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core without Cortés. In all her mediatory positions in relation to Cortés/the nobles, Malintzin’s performance of the act of interpretation is demonstrated through the positioning of her hands. In the Lienzo, the tlacuiloque position Malintzin’s hands across her body as well as outwards in one direction, with her right hand pointing upwards towards her left shoulder, and her left hand lying hori- zontally across her abdomen – a two-way gesture indicative of Malintzin’s inter- mediary role. Her portrayal as intercessor and warrior collide in scene , the recounting of the Noche Triste or Night of Sorrows, where the tlacuiloque place Malintzin twice: in one of the brigantines, and also traversing the causeway in her European shoes, carrying her European shield on her left arm and reach- ing her right hand out, pointed in an act of interpretation or instruction (Figure ). Walking on a causeway between different groups, Malintzin herself comes to embody a bridge between cultures. Perhaps it is meaningful, too, that, on that causeway, Malintzin is approaching Toçiquauhtitlan, or the temple of the goddess Toçi – a goddess with whom Mary became intricately tied. Considering her role as mediator and ‘indigenous “collaborator”’, Caroline Pennock argues that Malintzin ‘epitomizes the complexity of women’s power: disruptive but also productive’. In agreement with Pennock, this concept of Malintzin as an exemplar of women’s chaotic potential in Mesoamerican thought can be strengthened by drawing upon her portrayal as a warrior in the Lienzo: her intercessory role constructs connections, whilst her brandishing of weapons in the battles of Tenochtitlan speaks to her potential for destruction. With the power to create relationships and simultaneously wield weapons, the Tlaxcalan tlacuiloque’s vision of Malintzin can – and should – be recognized as a formidable force. V Positioned as a woman warrior and a conquistadora, the Malintzin of the Lienzo de Tlaxcala undoubtedly complicates perceptions of this incredible woman in the early colonial era, and contributes to the wider deconstruction of triumphalist, Eurocentric narratives of conquest. Malintzin remains an ambiguous and con- tested icon in Mexican consciousness to the present day, taking a place in nationalist history post- as a symbol of domination by outsiders, but also as one of the ‘mothers of mestizaje’; a bridge between cultures, a figure of multi- culturalism. As Clara Kidwell highlights, stereotypes continue to dominate contemporary understandings of Indian women as cultural mediators, such as  Gillespie, Saints and warriors, p. .  Pennock, ‘Women of discord’, p. .  Wood, Transcending conquest, p. ; Brotherston, Painted books, p. ; Townsend, Malintzin’s choices, pp. –; Karttunen, ‘Rethinking Malinche’, pp. –; Jager, Malinche, ch. , pp. –.  C L A U D I A J . R O G E R S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core that of the ‘hot-blooded Indian princess, a la Pocahontas’ or the Squaw. Following Kidwell, Indian women like Malintzin ‘are not real people’ without the deconstruction of the spectrum of stereotypes that accompany them; moving beyond the pervasive, mythologized Indian woman, the complexity of the intercultural contacts they so importantly mediated can be recognized. Recognizing Malintzin as a conquistadora is a valuable contribution to this wider deconstruction, especially considering the challenge it poses to damaging identifications of Malintzin as a ‘traitor’. For the Tlaxcalan tlacuiloque, Malintzin was essential to their history of the conquest: utilized as a means of conveying their position and relationship with the Castilians, the Tlaxcalteca’s Malintzin was indispensable as a woman in-between. Most visibly, this in-betweenness is discernible in her outward appearance in scenes of the Lienzo: her huipilli and cueitl mirror the colours and designs of the Tlaxcalan nobles’ headbands, whilst her European-style foot- wear and weaponry represent both Malintzin’s association with the European newcomers and her departure from the allegorical symbols of feminine power of previous warrioresses. Malintzin’s in-betweenness is reflected in her intricate fusing with the Virgin Mary, a connection likely drawn as part of the Tlaxcalan tlacuiloque’s pictorial strategy to increase their powerholding position in the Tlaxcalan–Castilian relationship – especially considering the importance of Mary to their altepetl after the conquest. Whilst Malintzin’s connection to Mary has already been established in terms of their dominant identities as female intercessors, I argue their connection can be irrevocably strengthened by exploring the Tlaxcalan tlacuiloque’s vision of Malintzin, in which she shared and appropriated Mary’s role as a conquistadora. Though we will never know if Malintzin really carried a sword and shield into sites of conflict and vio- lence, it is only through considering multiple, varying narratives of Malintzin’s story that we can reach a more nuanced understanding of indigenous tlacuilo- que’s perceptions of her identity. Els Maeckelberghe writes that ‘it is a complete illusion to think that you have a clearly defined figure if you just pronounce the name “Mary”’: I would say it is also a complete illusion to think that you have a clearly defined figure if you just pronounce the name ‘Malintzin’ (or Malinche, or Marina).  Kidwell, ‘Indian women’, p. .  Ibid., p. .  Els Maeckelberghe, qu. in Hall, Mary, mother and warrior, p. . M A L I N T Z I N I N T H E L I E N Z O D E T L A X C A L A terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X20000576 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X20000576 https://www.cambridge.org/core MALINTZIN AS A CONQUISTADORA AND WARRIOR WOMAN IN THE LIENZO DE TLAXCALA (c. 1552)* I II III V 
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work_dcakwnqm3rghxpcqvjriwog7uu	----	Race and Rule in the Colonial Andes BOOK REVIEW ESSAY Race and Rule in the Colonial Andes Emily Berquist Soule California State University, Long Beach, US emily.berquist@csulb.edu This essay reviews the following works: Rivers of Gold, Lives of Bondage: Governing through Slavery in Colonial Quito. By Sherwin K. Bryant. Chapel Hill: University of North Carolina Press, 2014. Pp. xiii + 240. $35.00 hardcover. ISBN: 9781469607726. Fractional Freedoms: Slavery, Intimacy, and Legal Mobilization in Colonial Lima. By Michelle A. McKinley. New York: Cambridge University Press, 2016. Pp. x + 282. $99.99 hardcover. ISBN: 9781107168985. The Disappearing Mestizo: Configuring Difference in the Colonial New Kingdom of Granada. By Joanne Rappaport. Durham, NC: Duke University Press, 2014. Pp. ix + 352. $25.95 paperback. ISBN: 9780822356363. Purchasing Whiteness: Pardos, Mulattos, and the Quest for Social Mobility in the Spanish Indies. By Ann Twinam. Stanford: Stanford University Press, 2015. Pp. ix + 534. $32.71 paperback. ISBN: 9780804750936. Global Indios: The Indigenous Struggle for Justice in Sixteenth-Century Spain. By Nancy E. van Deusen. Durham, NC: Duke University Press, 2015. Pp. xi + 336. $25.60 paperback. ISBN: 9780822358589. Applying the contemporary biological notion of race to the early modern Hispanic world is a fraught exercise. Nevertheless, imagining how colonial Spanish Americans saw, understood, and used physical difference to order the world around them is highly revealing of how the Spanish erected their global empire. Like most Westerners, the early modern Spanish differentiated among social groups by distinguishing ancestry and phenotype. The Spanish ruled their American territories with an early modern version of “separate but equal” governance, most notably through the division of the New World into the república de Españoles and the república de indios. Each republic had its own rules, local bureaucracy, and system of courts. The built environment mirrored this divide; walls separated Spanish settlements from unwelcome outsiders. Within cities themselves, separate ethnic quarters—like Mexico City’s Spanish-only traza, made famous in Douglas Cope’s classic, The Limits of Racial Domination—were meant to keep racial and ethnic groups physically separate.1 Colonial Spanish society was also organized, and divided, by the concept of limpieza de sangre, or purity of blood. However, by the late seventeenth and eighteenth centuries, Spanish Americans increasingly identified themselves and others by the more nebulous term of calidad, or quality, whereby one’s cultural position, dress, occupation, and status might not match with one’s actual identity. These were comprehensive social boundaries that formed a logic of domination. Yet surprisingly, the divisive concepts of the two republics, purity of blood, and calidad sought almost without exception to divide the Spanish from the Indian. They largely failed to account for the two million African slaves who 1 R. Douglas Cope, The Limits of Racial Domination: Plebeian Society in Colonial Mexico City, 1660–1720 (Madison: University of Wisconsin Press, 1994). Cope shows how in fact, these built divisions could not actually keep population groups separate. Berquist Soule, Emily. 2018. Race and Rule in the Colonial Andes. Latin American Research Review 53(3), pp. 632–638. DOI: https://doi.org/10.25222/larr.264 mailto:emily.berquist@csulb.edu https://doi.org/10.25222/larr.264 Berquist Soule: Race and Rule in the Colonial Andes 633 arrived in the Spanish American territories from 1520 to 1810.2 Despite their importance as laborers, slaves were, as Orlando Patterson wrote many years ago, “socially dead.”3 Lifetime chattel status alleviated the need to discuss slaves’ rights or opportunities as inhabitants of the Spanish Empire. Their dark skin, African origins, and ancestral ties to African religions or to Islam meant they had no hope of achieving purity of blood. Although pardos, quinterones, and other individuals with mixed African-Spanish or African- Indigenous ancestry could generate greater opportunity and wealth for their families through assuming a public identity that might not match their genealogical one, this option was not officially accessible to black slaves. Like all legitimate inhabitants of the Spanish Empire, black African captives brought to Spanish America were subjects of the Spanish crown. But once captured, branded, transported, sold, and bought, they were subjugated by their masters, who then exercised the king’s power over them. Sumptuary laws prohibited them from carrying guns, riding horses, or wearing fine clothing. But the day-to-day decisions—where they lived, how they worked, where they worshiped, the way their families were constituted, whether they learned to speak Spanish—were the province of their masters. Only the Holy Office of the Inquisition and the judicial system, both imbued with power from the king himself, had the power to compromise a master’s right to rule his slaves. In deciding how to govern racially distinct foreigners, the Spanish utilized a long-standing polyglot legal tradition based on Roman, Islamic, biblical, and medieval European law. Although slavery had been a feature of Iberian societies at least since Roman times, it was not until the fourteenth and fifteenth centuries that the Spanish began to pair overseas conquest with enslaving “others,” first in the Canary Islands, then in northern and sub-Saharan Africa. Once Columbus and his expeditions arrived in the Caribbean, these rehearsals became the framework for conquest, slavery, and colonization in the so-called New World. Inspired by the vast wealth the Portuguese had accumulated by infiltrating the trade in gold and slaves from sub-Saharan Africa, Columbus and the Catholic kings hoped that in America they would also be lucky enough to find slaves, whoever they turned out to be. In this case, they were the natives of the Caribbean: the Tainos and the Caribs. In February 1493, Columbus confirmed this when he reported to the Spanish kings that on Hispaniola, they could easily locate “slaves, as many as they shall order to be shipped.”4 Recently, scholars of slavery in Spanish America have begun to assume broader perspectives that extend the story of slavery and the slave trade beyond the dominant narrative of the transatlantic trade in African captives. In 2014, Tatiana Seijas’s groundbreaking study Asian Slaves in Colonial Mexico told the story of slaves from Southeast Asia and the Indian subcontinent who traveled to New Spain on the Manila galleons and became a large portion of domestic servants there until they gradually assumed indigenous political identities and thereby, their freedom from slavery. This was followed by Andrés Reséndez’s 2016 The Other Slavery: The Uncovered Story of Indian Enslavement, nominated for a National Book Award for its take on indigenous slavery in North America.5 But the story of the native Americans taken captive in the Caribbean and sent back to Spain in the late fifteenth and early sixteenth centuries was largely neglected by scholars until the 2015 publication of Nancy E. van Deusen’s Global Indios: The Indigenous Struggle for Justice in Sixteenth-Century Spain. In this invaluable work, van Deusen tells the story of how 650,000 Caribbean natives were integrated into and subsequently freed from the culture of domestic slavery in sixteenth-century Spain. By examining the 127 lawsuits that 184 indigenous slaves brought to the Casa de Contratación (House of Trade) and the Council of the Indies from 1530 to 1585, van Deusen situates these women, children, and men as motivated advocates for their own freedom. Her masterful retelling not only paints a vivid portrait of their turbulent lives but also makes an essential contribution to the scholarship on race, slavery, and the law in the early Spanish Empire. Van Deusen illustrates how even though Queen Isabella first decreed against Indian slavery in 1501, native Americans continued to be brought to Spain as slaves throughout the first half of the sixteenth century. 2 Alex Borucki, David Eltis, and David Wheat, “Atlantic History and the Slave Trade to Spanish America,” American Historical Review 120, no. 2 (2015): 434. 3 Orlando Patterson, Slavery and Social Death: A Comparative Study (Cambridge, MA: Harvard University Press, 1985). 4 Christopher Columbus, “Letter to Luis de Santangel,” Canary Islands, February 15, 1493, Wisconsin Historical Society Digital Libraries and Archives, American Journeys Collection, Document No. AJ-063. On the linked origins of slavery and the Spanish Empire, see Emily Berquist Soule, “From Africa to the Ocean Sea: Atlantic Slavery in the Origins of the Spanish Empire,” Atlantic Studies: Global Currents 15, no. 1 (2018): 16–39. These topics will also be treated in my book in progress, The Atlantic Slave Trade and the Rise and Fall of the Spanish Empire. 5 Tatiana Seijas, Asian Slaves in Colonial Mexico: From Chinos to Indians (New York: Cambridge University Press, 2014); Andrés Reséndez, The Other Slavery: The Uncovered Story of Indian Enslavement in America (Boston: Houghton Mifflin, 2016). Berquist Soule: Race and Rule in the Colonial Andes634 Most were seized under the ever-proliferating list of exceptions to the prohibitions of Indian enslavement. In cases of cannibalism, just war (resisting Christianity), originating from a portion of America where Indians were deemed to be “bellicose and barbarous” (4), or being “rescued” from serving another Indian as a slave, known as rescate, Spanish and Spanish Americans were legally able to enslave American Indian vassals. Still other native Americans were categorized as naborías, a paradoxical label which meant they could not be sold like chattel slaves but that they nevertheless owed a lifetime of service to their Spanish guardians. Van Deusen’s work with the New Laws focuses on their effects on the other side of the Atlantic, revealing how their passage was key in early attempts to dismantle the institution of Indian slavery. In Spanish America, the encomenderos’ epic reaction to the Laws’ threat to their hereditary rights over people and land is notorious. Chastened by the utter fury of the encomenderos, Charles V began a more limited test case implementing the laws across the Atlantic in Spain, beginning to set certain Indian slaves free. In so doing, he also created the first distinctions among the diverse slave population in fifteenth-century Spain. No more native Americans would be legally enslaved. Existing indio slaves had the opportunity to petition for, and in some cases win, their freedom. This was an unprecedented right in the Spanish Empire’s history of slavery, and one afforded only to the American natives. But as Global Indios makes clear, the difference between design and implementation of the law was vast. Rather than simply clarifying that Indians were Spanish vassals who could not be enslaved, the New Laws created an even more complex idea of who these indios were and what could be done with (or to) them. They were not “natural slaves” who could be perpetually held in bondage. The Spanish could no longer use the rubric of “just war” to claim legal enslavement. The 1542 laws also banned forcing Indians into slavery under the pretense of rescate and in cases of rebellion against the Spanish crown and its representatives. But those Indians who already found themselves enslaved in Spain were not automatically freed; they had to manage the complex legal system and prove their freedom. This was no easy task, particularly because of the case-based tradition of Spanish law, which meant that each case was reviewed and decided on an individual basis according to royal law and statute, and outcomes were therefore unpredictable. A 1543 inspection of Indian slaves in Seville subsequently freed one hundred individuals, but the abuses continued nevertheless: some Indians who had been freed were recaptured and jailed, Spaniards continued to sell and buy free Indians as slaves, and other natives were left languishing in the liminal status of being “neither slaves nor free” (5). Not until a second inspection was called in 1549 did the crown erect a systematic legal process through which indio slaves could petition for their freedom. Concurrently, they received their own legal representative, the first procurador de indios, who represented Indian cases for freedom in the Spanish courts. In van Deusen’s telling, these legal processes were an essential part of how royal administrators began to differentiate between free laborers and slaves. The 650,000 indigenous slaves brought to Spain and Europe during the fifteenth century were, of course, a tiny minority when compared to the millions of American natives who died of epidemic disease in the first decades of Spanish settlement in the New World. The standard narrative of Spanish conquest has long sustained that the loss of an estimated 90 percent of America’s native population drove the Spanish to import African slaves to America. Sherwin Bryant’s Rivers of Gold, Lives of Bondage: Governing Through Slavery in Colonial Quito turns that argument on its head, along with others embedded in the scholarship on slavery and blackness in colonial Spanish America. Through looking at the processes and politics of enslavement and slavery, Bryant demonstrates that Africans were not just a much-needed labor force. Instead, he argues, “enslaved Africans were fundamental to claiming New World territories and the development of colonial sovereignty.” Through this process, African slavery became “one of the chief claims that constituted Castile’s colonial relation to the New World,” and “one of the chief European technologies used to exercise dominion over the Indies” (1–2).6 Bryant’s work is an essential contribution to the scholarship on race and slavery in Latin America for how it both situates slavery as a method of imperial governance and offers the first comprehensive portrait of slave lives and experiences in the Real Audiencia of Quito (modern-day Ecuador, along with parts of northern Peru, southern Colombia, and northern Brazil). Like van Deusen’s work with the legal status of the indios in Seville, Bryant analyzes how the colonial Spanish judicial system both circumscribed the lives of slaves and, on some occasions, afforded them opportunities for agency. The fact that the slaves of Quito had far fewer opportunities for freedom than the indios studied by van Deusen reminds us that in the hierarchy of subaltern subjugation, native peoples typically fared remarkably better than black Africans. 6 David Wheat makes a similar argument about black African slaves acting as “de-facto colonists” in the early Spanish Caribbean. David Wheat, Atlantic Africa and the Spanish Caribbean, 1570–1640 (Chapel Hill: University of North Carolina Press, 2016), 8. Berquist Soule: Race and Rule in the Colonial Andes 635 Rivers of Gold takes slaves’ court cases and petitions as useful strategies for challenging oppression, thereby reaching beyond individual outcomes to make a broader argument about how slaves fought their subjugation from within the system. Bryant shows how slaves’ lawsuits against their masters were closely linked to “more radical forms of resistance” like rebellion and running away. When faced with those more drastic modes of slave resistance, royal authorities found motivation “to consider seriously the concerns of the peaceful” who brought their grievances within the colonial system, instead of rejecting it altogether (120). For their part, slaves learned to frame their complaints within the proper parameters, thereby demonstrating facility with and acceptance of the colonial order. Bryant also offers an insightful and original take on the royal slave codes, arguing they should be understood as applying to both slaves and their owners. By prescribing how masters could treat slaves and limiting their control of their human property, the slave codes “signaled that slavery was an elemental feature of governance” for all Spanish Americans, master and slave alike (117). While Bryant’s analysis of slavery as an economic driver in colonial Quito fills an important gap in the historical literature, River of Gold’s most important contributions lie in its broader argument that slavery itself “was one of the chief claims that constituted Castile’s colonial relation to the New World” (3). Bryant’s groundbreaking discussion of the “constitutive practices” of slavery considers the “ceremonies of possession” by which Spaniards transformed newly arrived African captives into slaves. First, they were “blackened”—a process that included inspection, appraisal, and recording in imperial ledgers—all with the understanding that their blackness marked their essential difference and inferiority. Next, slaves were scarred with the king’s brand, an act confirming that “the monarch was the ultimate ruler of all slaves” (81). Finally, they were baptized, an act which marked their incorporation into the Catholic community. In his analysis of slaves’ participation in Catholic ritual and community, Bryant challenges the dominant cultural paradigm that paints religious life as an essential opportunity for slave agency. He differs from scholars such as Herman Bennett, who sustains that slaves built community and family networks through participation in Catholic worship and rituals, and Nicole von Germeten, whose research demonstrates how black cofradías served similar associative functions.7 While Bryant does not discount their findings, he counters that slave baptism and slaves’ subsequent participation in Catholic religious life should not be overemphasized as a positive opportunity for community building and self-expression. Instead, he casts Catholicism as a central concept through which the Spanish crown “turned the juridical institution of slavery into a royal system of surveillance and power that radiated throughout the realm” (81). In Fractional Freedoms: Slavery, Intimacy, and Legal Mobilization in Colonial Lima, 1600–1700, historian and legal scholar Michele McKinley also digs into the complex relationship between slaves and the law, demonstrating the remarkable facility that slaves in seventeenth-century Lima had with both the secular and ecclesiastic court systems. McKinley’s extensive work with church documents complicates the existing scholarship on slaves as legal actors by scholars such as Marcela Echeverri, Alejandro de la Fuente, and Lyman Johnson, which tends to favor state archives.8 McKinley shows that in fact, while state-run Audiencia courts tended to hear the cases masters brought against slaves, slaves themselves were more likely to have their cases heard in the ecclesiastical legal system. Under ecclesiastical jurisdiction, a slave could hope to elicit better treatment through a church-issued censura general, a decree detailing the masters’ offenses against the slave. Another of the book’s many strengths lies in the compelling life stories McKinley structures from the archives. Through telling their diverse narratives, she concludes that when slaves brought suits against their masters—for broken promises of manumission, denial of conjugal rights, and even general mistreatment— they were actually demonstrating the sort of litigiousness that the early modern Hispanic world was known for. In her telling, the legal system became more than just a “weapon of the weak” for the slaves of seventeenth-century Lima. It represented their “creolization and unfolding Catholicisation” (247)—their incorporation into the Spanish imperial machine, even from such a disadvantaged position. McKinley also offers a primer on the most prominent types of legal disputes involving slaves. Slaves often filed complaints against their masters for spousal separation, because the letter of the law stated that slaves 7 Herman L. Bennett, Colonial Blackness: A History of Afro-Mexico (Bloomington: Indiana University Press, 2010); Nicole von Germeten, Black Blood Brothers: Confraternities and Social Mobility for Afro-Mexicans (Gainesville: University Press of Florida, 2006). 8 See, for example, Marcela Echeverri, “‘Enraged to the Limit of Despair’: Infanticide and Slave Judicial Strategies in Barbacoas, 1789– 1798,” Slavery and Abolition 30, no. 3 (2009): 403–426; Alejandro de la Fuente, “Slaves and the Creation of Legal Rights in Cuba: Coartación and Papel,” Hispanic American Historical Review 87, no. 4 (2007): 659–692; and Lyman L. Johnson, “A Lack of Legitimate Obedience and Respect: Slaves and Their Masters in the Courts of Late Colonial Buenos Aires,” Hispanic American Historical Review 87, no. 4 (2007): 631–651. Berquist Soule: Race and Rule in the Colonial Andes636 who had contracted marriage in the Catholic Church had the right to remain within reasonable proximity to one another. These suits were typically brought to ecclesiastical courts, because the Church deemed endangering a Catholic marriage to be a serious crime. Unsurprisingly, slaves also brought suits against masters who reneged on promises of manumission. Babies born to slave parents were among the most likely to experience manumission at baptism but be re-enslaved later. McKinley shows that while baptismal manumission looked magnanimous on paper, freeing an infant was ultimately meaningless: babies and children needed full-time care and therefore remained with their enslaved parents. But from the owners’ perspective, this gesture had the benefit of keeping slave parents “more dependent and tethered to their owners by powerful bonds of loyalty and compliance” (167). Taken together, van Deusen’s, Bryant’s, and McKinley’s interpretations of race in the colonial Andes and the broader Spanish Empire confirm that perceived racial distinction was a central organizing factor of Spanish colonial governance. But the concept of race was also essential in creating the social and cultural structures of life in colonial Spanish America. In The Disappearing Mestizo: Configuring Difference in the Kingdom of New Granada, anthropologist Joanne Rappaport details how, for individuals of mixed indigenous and Spanish descent, social identity and legal capacity were much more fluid. The people of sixteenth- and seventeenth-century New Granada, Rappaport argues, understood the visible distinction between races through the “notion that external characteristics were mutable” (37). This was particularly true in the case of mestizos, who cultivated flexible social identities that allowed them to move between Spanish and indigenous identifications. Rappaport argues that these individuals were so successful at navigating between “Spanish” and “Indian” that the very notion of mestizo came to be “a disappearing category” (10). Rappaport also undertakes original analysis about the intersections of race and gender in colonial New Granada. Elites, she argues, were more willing to overlook the “stain” of mixed race background in the case of females. Male mestizos, in contrast “found it almost impossible to scale socioracial barriers” (2). This difference derived from the paternal concept of descent and heritage that shaped colonial society: with lineage determined by paternal bloodlines, male mestizos could never escape their dubious identity. However, mestizas who managed to contract a good marriage with a Spanish man could hope to have their own perceived deficiencies overlooked, if not officially on paper, then at least in daily interactions with friends, family, and the community. But Rappaport cautions her readers not to underestimate the coercive elements inherent in this “privilege” extended to some mestiza women. “Social climbing,” she points out, “was best accomplished by harnessing the reproductive power of women” (104). Rappaport builds on the mutability of the concept of the mestizo to reach broader conclusions about race in the Spanish Empire and the colonial Andes. How one became a mestizo, or, for that matter, a mulatto or a pardo, was not predetermined by birth and heritage alone. Instead, in legal testimony and in day-to-day existence, people defined each other through a complex of signifiers, including age, size, build, skin color, hair, and any individual markers like scars or brands. Such a flexible approach to racial identity allowed some mixed-race individuals to navigate among different social groups. But at the same time, it strengthened the coercive hegemony of Spanish power brokers, as it allowed them to decide whom they wanted to push up or down the social hierarchy. Rappaport also addresses one of the key questions in the scholarship on race in colonial Spanish America: did racial restrictions harden as the colonial period went on? Scholars have often studied the so-called casta system and casta paintings as proof that racial divisions constricted over the centuries, especially in eighteenth-century New Spain. Rappaport shows how in colonial New Granada—a peripheral area of colonial rule throughout the early modern period—this paradigm does not hold up. Instead, by the mid- eighteenth century, people of mixed race, particularly mestizos, were actually a majority in New Granada. The proliferation of mestizos made it much more challenging to distinguish an actor’s social standing by simply examining physical appearance. If mestizos were everywhere, how could they be singled out as different? Rappaport pushes this analysis to bigger conclusions. If the term mestizo was so “volatile,” Rappaport concludes, “we may also be in error when we speak of the categories of Spaniard, African, and Indian as entirely stable” (230). In Purchasing Whiteness: Pardos, Mulattos, and the Quest for Social Mobility in the Spanish Indies, Ann Twinam poses similar questions about the place of pardos, mulattos, and other people of mixed-African descent in the colonial Andes and the Spanish Empire. Her extensive archival research shows how racial and social identity was so mutable that it could actually be bought and sold. Here she builds upon one of the most-discussed portions of her second work, Public Lives, Private Secrets: the gracias al sacar decrees, by which Spanish American mulattos and pardos petitioned and paid for having racial stains, illegitimate Berquist Soule: Race and Rule in the Colonial Andes 637 status, or other less than desirable traits expunged from their official identities.9 In Purchasing Whiteness, she argues that this tradition arose not “as part of any considered policy to better the status of pardos and mulattos” (29), or even as a fresh revenue stream for the increasingly cash-strapped Bourbon crown. Instead, the gracias al sacar developed somewhat organically, as a practical response to demands made by prominent mulattos in America. Many of these demands—as excellent scholarship by Ben Vinson, Peter Blanchard, and most recently Alex Borucki has shown—were based on their exceptional service in local militias.10 Twinam’s followers will be gratified to learn more about Pedro Antonio de Ayarza, who in 1795 sent a letter from Portobelo to the Cámara of the requesting that his son Joseph, also a mulatto, be given a whiteness exemption so that he could officially earn the degree he had studied for. Along with his petition, Pedro Antonio included letters of support from the community that confirmed his extensive service as a militia captain, his social standing, and his business acumen as a merchant. He also asked that his two younger sons be similarly allowed to graduate from the university. After much back and forth, the Cámara decided that the eldest son, Joseph, should be allowed to officially graduate. Later they also permitted him to practice law as an attorney. But the Cámara extended no such privilege two the two younger Ayarza sons, deciding instead that “occupations in agriculture and commerce were ‘more analogous to their condition and of the greater private and public utility’” (303). The fascinating case of the Ayarza family not only illuminates the bureaucratic process of the gracias decrees but also considers how these petitions were received by neighbors and acquaintances. In Twinam’s telling, elites were happy to officially welcome the Ayarzas into the white society in which they had been participating for years. In the book’s final section, Twinam ties this inclusive attitude of prominent colonial Spanish Americans to the lengthy discussions about the fate of pardos and mulattos that took place during the Spanish Cortes of 1810–1812. By bridging the all too often uncrossed divide between the colonial and Independence periods, she shows that during these negotiations “a number of American delegates revealed that they were not only intimately aware of, but that they were supportive of casta mobility” (371). Purchasing Whiteness also makes an outstanding contribution to our understanding of the process of imperial governance in the Bourbon period. Instead of presenting the reader with a tedious portrait of colonial administration from on high, Twinam uses the gracias decrees to demonstrate how even in the era of Bourbon streamlining, colonial governance remained haphazard, largely based on precedent, tradition, and timing. Administrators responded differently to the dispensations: the Council of the Indies was cautious, but the officials in accounting—who raised the price schedule for the various gracias al sacar dispensations by an average of 37 percent in 1801—favored granting as many decrees as possible. But nothing was more disruptive than the decision that the Council of the Indies should be staffed with officials who had real time experience serving in the Spanish American bureaucracy, which would make them better prepared to understand the complexities of ruling Spanish America. The same administrative reforms also attempted to streamline the bureaucratic process by limiting the number of American fiscales (crown attorneys) on the Council to two: one for New Spain, and one for Peru. Twinam shows how these decrees meant to improve administrative rule actually caused increased workloads and delayed response times. The resulting gaps in governance, Twinam argues, “disrupted the competence and efficiency of government, failing to provide for continuity in personnel and prompt dispatch of the business of empire” (299). Together, these works demonstrate how subjugating “the other” for profit was at the basis of Spain’s vast empire in the New World, particularly in the Andean region. Through looking beyond New Spain— which for so long has dominated scholarly research and writing about colonial Spanish America—these innovative studies demonstrate that in the daily experiences and the mental worlds of colonial Spanish Americans, race was far from fixed. Instead, lived racial identities were largely based on performance, perception, and projection, all of which were mutable. Indigenous slaves won their freedom in the courts, mulattos graduated from elite universities, and mestizos made their way in both Spanish and indigenous communities. But in spite of some meaningful exceptions—most famously the gracias al sacar whitening decrees—this same flexibility was not apparent in imperial laws and codes. The blurred racial boundaries that marked the daily lives of many colonial Spanish Americans were not replicated in official laws. This is because in the Spanish colonial world, systems of governance and systems of slavery emerged from one 9 Ann Twinam, Public Lives, Private Secrets: Gender, Honor, Sexuality and Illegitimacy in Colonial Spanish America (Stanford: Stanford University Press, 1999). 10 See Peter Blanchard, Under the Flags of Freedom: Slave Soldiers and the Wars of Independence in Spanish South America (Pittsburgh: University of Pittsburgh Press, 2008); Alex Borucki, From Shipmates to Soldiers: Emerging Black Identities in the Río de la Plata (Albuquerque: University of New Mexico Press, 2015); and Ben Vinson III, Bearing Arms for His Majesty: The Free-Colored Militia in Colonial Mexico (Stanford: Stanford University Press, 2003). Berquist Soule: Race and Rule in the Colonial Andes638 another. Without a codified method of oppressing “the other,” the Spanish Empire would crumble. Even as Spain’s years of dominance in continental Spanish America came to a close, the ties between governance, race, and slavery were unbreakable. Systemic change, on paper anyway, would come only once the Spanish Americans broke away from the metropolis and formed their own independent nations. Author Information Emily Berquist Soule is Associate Professor of History at California State University, Long Beach. She is at work on her second book, The Atlantic Slave Trade and the Rise and Fall of the Spanish Empire. She lives in Los Angeles. How to cite this article: Berquist Soule, Emily. 2018. Race and Rule in the Colonial Andes. Latin American Research Review 53(3), pp. 632–638. DOI: https://doi.org/10.25222/larr.264 Submitted: 10 July 2017 Accepted: 15 August 2017 Published: 28 September 2018 Copyright: © 2018 The Author(s). This is an open-access article distributed under the terms of the Creative Commons Attribution 4.0 International License (CC-BY 4.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. See http://creativecommons.org/ licenses/by/4.0/. OPEN ACCESS Latin American Research Review is a peer-reviewed open access journal published by the Latin American Studies Association. https://doi.org/10.25222/larr.264 http://creativecommons.org/licenses/by/4.0/ http://creativecommons.org/licenses/by/4.0/ Author Information 
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work_dhgrwslifvgxli6vg3hmp37rji	----	ARQ 67_1_9_Intro.indd Palabras clave: Concursos de arquitectura, Faro de Colón, arquitectura panamericana, Joseph Lea Gleave, las Américas. Key words: Architectural competitions, Columbus lighthouse competition, Pan-American architecture, Joseph Lea Gleave, the Americas. Se esperaba que el concurso del Faro Conmemorativo de Colón, que tuvo lugar entre 1928 y 1930, le aportaría a Santo Domingo –entre otros– una cripta para guardar los restos de Colón, una pista aérea operativa y un palacio presiden- cial dominicano. En Madrid y Sao Paulo se evaluaron aproximadamente 455 propuestas en dos etapas. Los arquitectos Raymond Hood, Eliel Saarinen, Hora- cio Acosta y Lara, y posteriormente Frank Lloyd Wright actuaron de jurado; Hood y Saarinen habían ganado el primer y segundo lugar en el concurso del Chicago Tribune. Joseph Lea Gleave, un estudiante británico de arquitectura, fue premiado con el primer lugar en 1930. Sin embargo, el monumento no se construyó hasta 1992 debido, principalmente, a que no se recaudaron los fondos prometidos por todas las repúblicas americanas para su construcción1. Aquellos que han escrito acerca del concurso se enfocan generalmente en tres elementos: las tecnologías innovadoras de navegación que prometía para los viajes por aire y mar; la estética neomaya y los trabajos en arcilla de la propuesta de Gleave; y las representaciones icónicas realizadas por algunas de las postu- laciones, como la particular propuesta perteneciente a Konstantin Melnikov (Roorda, 1998; Waldheim y Santos–Munné, 1998; Irigoyen, 2000). La iniciativa en sí resultó ser mucho más que un homenaje a Cristóbal Colón. De hecho, el faro fue un componente más de un esfuerzo mayor por construir una identi- dad americana, una exploración que abarcó varias generaciones a lo largo de casi un siglo. El concurso es por ende, mejor comprendido en el contexto de la historia panamericana de la arquitectura; una historia que incluye otros concursos y proyectos clave directamente asociados a América Latina. Vemos que el concepto de panamericanismo se explora en el paisaje construido desde fi nales del s. XIX. Si bien en teoría, se podrían asociar una multitud de monumentos, edifi cios y nombres de lugares a la visión de Bolívar de una Amé- rica unifi cada, la identifi cación de los proyectos diseñados para representar de manera específi ca a la totalidad de las repúblicas americanas, requiere de una selección cuidadosa. Diseñados para capturar una identidad regional geopo- lítica, estos proyectos se han concebido para representar a todas las repúblicas americanas2. Asimismo, no deben confundirse con aquellos construidos en nombre del americanismo panlatino o del panhispanicismo. En su totalidad, el estudio de la arquitectura panamericana representa un capítulo descuidado en la historia de la arquitectura americana. Incluso antes que la expresión panamericanismo se volviera más popular, eviden- ciamos el primer ejemplo de la aparición de la arquitectura panamericana en la maqueta y diseño de los terrenos de la Exposición del Norte, Centro y Sudamé- rica de 1885–86 en Nueva Orleans, Luisiana. Otras ferias similares tuvieron lugar posteriormente, incluyendo dos vinculadas a las celebraciones para conmemorar el Cuarto Centenario del descubrimiento del Nuevo Mundo: la Exposición Histó- rico–Americana en Madrid de 1892 y la Exposición Mundial de Colón en Chicago de 1893. Esta fase temprana concluyó con una cuarta feria: la Exposición Pana- mericana de Búfalo en 1901. Si bien estas ferias hemisféricas fueron iniciativas impulsadas por promotores independientes, funcionarios citadinos, mercaderes La ilusión del panamericanismo como expresión de la unidad de los pueblos de América dio vida a uno de los concursos más singulares en la historia hemisférica: el Faro de Colón. El autor nos muestra como esta propuesta de dimensiones inéditas logró convocar a grandes fi guras de la arquitectura moderna, recorriendo un complicado trayecto hasta convertirse en realidad. The vision of Pan-Americanism as an expression of the unity of America’s peoples inspired one of the most singular competitions in the history of the hemisphere, the Columbus Lighthouse competition. The author shows us how this project of unprecedented scope evoked the participation of great fi gures in modern architecture, and took a complicated course on its way to becoming reality. The Columbus Memorial Lighthouse Competition, which took place from 1928-30, was expected to provide Santo Domingo with, among other things, a crypt for the bodily remains of Columbus, a functioning airfi eld, and a Dominican presidential palace. Approximately 455 design entries were juried in two stages, in Madrid and Sao Paulo. Architects Raymond Hood, Eliel Saarinen, Horacio Acosta y Lara, and later Frank Lloyd Wright, served as jurors; Hood and Saarinen had won fi rst and second place in the Chicago Tribune Competition. Joseph Lea Gleave, a British architecture student, was awarded fi rst prize in 1930. However, the monument was not built until 1992 due primarily to the failure to collect construction funds promised by all the American Republics1. Those who have written about the competition usually focus on three elements: the innovative navigational technologies it promised in air and sea travel; Gleave’s neo-Mayan and earthworks design aesthetic; and the iconic impressions made by some of its entries a particular stand- out belonging to Konstantin Melnikov (Roorda, 1998; Waldheim y Santos– Munné, 1998; Irigoyen, 2000). The entire effort, as it turns out, was much more than an homage to Christopher Columbus. In fact, the lighthouse was one component in a larger effort to construct an American identity, an exploration that spanned several generations over nearly a century. The competition is thus best understood in the context of the history of Pan-American architecture, a history that includes other key competi- tions and projects directly involving Latin America. We see the concept of Pan-Americanism being explored in the built environment beginning in the late nineteenth century. While a mul- titude of monuments, buildings and place names could theoretically be linked to Bolivar’s vision of a unifi ed America, the identifi cation of projects designed to specifi cally represent the entirety of the American Republics requires careful selection. Designed to capture a geopolitical regional identity, these projects have been envisioned to represent all the American Republics2. These projects should not be confused with those built in the name of Pan-Latin Americanism or Pan-Hispanicism. In its totality, the study of Pan-American architecture represents an overlooked chapter in the history of American architecture. Even before the term Pan-Americanism came into popular use, we see the fi rst example of Pan-American architecture appear in the layout and design of the grounds of the North, Central and South American Exposi- tion of 1885-6 in New Orleans, Louisiana. Other similar fairs followed, including two linked to quadricentennial celebrations to commemorate the discovery of the New World: the Exposición Histórico-Americana in Madrid in 1892 and Chicago’s World’s Columbian Exposition of 1893. This early phase came to an end with a fourth fair, the Pan-American Exposi- tion of Buffalo in 1901. While these hemispheric fairs were the endeavors of independent boosters, city offi cials, merchants, and state and federal 80 Lecturas Readings67 The Columbus Lighthouse Competition Revisiting Pan–American architecture’s forgotten memorial Robert González Professor, School of Architecture, Tulane University Palabras clave: Concursos de arquitectura, Faro de Colón, arquitectura panamericana, Joseph Lea Gleave, las Américas. Key words: Architectural competitions, Columbus lighthouse competition, Pan-American architecture, Joseph Lea Gleave, the Americas. Se esperaba que el concurso del Faro Conmemorativo de Colón, que tuvo lugar entre 1928 y 1930, le aportaría a Santo Domingo –entre otros– una cripta para guardar los restos de Colón, una pista aérea operativa y un palacio presiden- cial dominicano. En Madrid y Sao Paulo se evaluaron aproximadamente 455 propuestas en dos etapas. Los arquitectos Raymond Hood, Eliel Saarinen, Hora- cio Acosta y Lara, y posteriormente Frank Lloyd Wright actuaron de jurado; Hood y Saarinen habían ganado el primer y segundo lugar en el concurso del Chicago Tribune. Joseph Lea Gleave, un estudiante británico de arquitectura, fue premiado con el primer lugar en 1930. Sin embargo, el monumento no se construyó hasta 1992 debido, principalmente, a que no se recaudaron los fondos prometidos por todas las repúblicas americanas para su construcción1. Aquellos que han escrito acerca del concurso se enfocan generalmente en tres elementos: las tecnologías innovadoras de navegación que prometía para los viajes por aire y mar; la estética neomaya y los trabajos en arcilla de la propuesta neomaya y los trabajos en arcilla de la propuesta neomaya de Gleave; y las representaciones icónicas realizadas por algunas de las postu- laciones, como la particular propuesta perteneciente a Konstantin Melnikov (Roorda, 1998; Waldheim y Santos–Munné, 1998; Irigoyen, 2000). La iniciativa en sí resultó ser mucho más que un homenaje a Cristóbal Colón. De hecho, el faro fue un componente más de un esfuerzo mayor por construir una identi- dad americana, una exploración que abarcó varias generaciones a lo largo de casi un siglo. El concurso es por ende, mejor comprendido en el contexto de la historia panamericana de la arquitectura; una historia que incluye otros concursos y proyectos clave directamente asociados a América Latina. Vemos que el concepto de panamericanismo se explora en el paisaje construido desde fi nales del s. XIX. Si bien en teoría, se podrían asociar una multitud de monumentos, edifi cios y nombres de lugares a la visión de Bolívar de una Amé- rica unifi cada, la identifi cación de los proyectos diseñados para representar de manera específi ca a la totalidad de las repúblicas americanas, requiere de una selección cuidadosa. Diseñados para capturar una identidad regional geopo- lítica, estos proyectos se han concebido para representar a todas las repúblicas americanas2. Asimismo, no deben confundirse con aquellos construidos en nombre del americanismo panlatino o del panhispanicismo. En su totalidad, el estudio de la arquitectura panamericana representa un capítulo descuidado en la historia de la arquitectura americana. Incluso antes que la expresión panamericanismo se volviera más popular, eviden-panamericanismo se volviera más popular, eviden-panamericanismo ciamos el primer ejemplo de la aparición de la arquitectura panamericana en la maqueta y diseño de los terrenos de la Exposición del Norte, Centro y Sudamé- rica de 1885–86 en Nueva Orleans, Luisiana. Otras ferias similares tuvieron lugar posteriormente, incluyendo dos vinculadas a las celebraciones para conmemorar el Cuarto Centenario del descubrimiento del Nuevo Mundo: la Exposición Histó- rico–Americana en Madrid de 1892 y la Exposición Mundial de Colón en Chicago de 1893. Esta fase temprana concluyó con una cuarta feria: la Exposición Pana- mericana de Búfalo en 1901. Si bien estas ferias hemisféricas fueron iniciativas impulsadas por promotores independientes, funcionarios citadinos, mercaderes La ilusión del panamericanismo como expresión de la unidad de los pueblos de América dio vida a uno de los concursos más singulares en la historia hemisférica: el Faro de Colón. El autor nos muestra como esta propuesta de dimensiones inéditas logró convocar a grandes fi guras de la arquitectura moderna, recorriendo un complicado trayecto hasta convertirse en realidad. The vision of Pan-Americanism as an expression of the unity of America’s peoples inspired one of the most singular competitions in the history of the hemisphere, the Columbus Lighthouse competition. The author shows us how this project of unprecedented scope evoked the participation of great fi gures in modern architecture, and took a complicated course on its way to becoming reality. The Columbus Memorial Lighthouse Competition, which took place from 1928-30, was expected to provide Santo Domingo with, among other things, a crypt for the bodily remains of Columbus, a functioning airfi eld, and a Dominican presidential palace. Approximately 455 design entries were juried in two stages, in Madrid and Sao Paulo. Architects Raymond Hood, Eliel Saarinen, Horacio Acosta y Lara, and later Frank Lloyd Wright, served as jurors; Hood and Saarinen had won fi rst and second place in the Chicago Tribune Competition. Joseph Lea Gleave, a British architecture student, was awarded fi rst prize in 1930. However, the monument was not built until 1992 due primarily to the failure to collect construction funds promised by all the American Republics1. Those who have written about the competition usually focus on three elements: the innovative navigational technologies it promised in air and sea travel; Gleave’s neo-Mayan and earthworks design aesthetic; and the iconic impressions made by some of its entries a particular stand- out belonging to Konstantin Melnikov (Roorda, 1998; Waldheim y Santos– Munné, 1998; Irigoyen, 2000). The entire effort, as it turns out, was much more than an homage to Christopher Columbus. In fact, the lighthouse was one component in a larger effort to construct an American identity, an exploration that spanned several generations over nearly a century. The competition is thus best understood in the context of the history of Pan-American architecture, a history that includes other key competi- tions and projects directly involving Latin America. We see the concept of Pan-Americanism being explored in the built environment beginning in the late nineteenth century. While a mul- titude of monuments, buildings and place names could theoretically be linked to Bolivar’s vision of a unifi ed America, the identifi cation of projects designed to specifi cally represent the entirety of the American Republics requires careful selection. Designed to capture a geopolitical regional identity, these projects have been envisioned to represent all the American Republics2. These projects should not be confused with those built in the name of Pan-Latin Americanism or Pan-Hispanicism. In its totality, the study of Pan-American architecture represents an overlooked chapter in the history of American architecture. Even before the term Pan-Americanism came into popular use, we see the fi rst example of Pan-American architecture appear in the layout and design of the grounds of the North, Central and South American Exposi- tion of 1885-6 in New Orleans, Louisiana. Other similar fairs followed, including two linked to quadricentennial celebrations to commemorate the discovery of the New World: the Exposición Histórico-Americana in discovery of the New World: the Exposición Histórico-Americana in discovery Madrid in 1892 and Chicago’s World’s Columbian Exposition of 1893. This early phase came to an end with a fourth fair, the Pan-American Exposi- tion of Buffalo in 1901. While these hemispheric fairs were the endeavors of independent boosters, city offi cials, merchants, and state and federal 80 Lecturas Readings67 The Columbus Lighthouse Competition Revisiting Pan–American architecture’s forgotten memorial Robert González Professor, School of Architecture, Tulane University El concurso del Faro de Colón Un reencuentro con el monumento olvidado de la arquitectura panamericana Robert González Profesor, Escuela de Arquitectura, Tulane University 67Lecturas Readings 81 1 Hacia 1992, la iniciativa era fi nanciada en su totalidad por República Dominicana ya que la mayoría de las naciones americanas habían rechazado su apoyo a la construcción. En 1949, la Unión Panamericana había enviado un cheque por US$26,122.56 a la República Dominicana, el cual representaba una pequeña contribución. El cheque incluía las cuotas pagadas desde la República Dominicana (US$2,098.13); Honduras (US$13,290.16); Nicaragua (US$2,803.75); y Panamá (US$2,940.08); algunas contribuciones misceláneas e ingresos, y un pequeño balance del remanente del fondo del Concurso de Arquitectura. Memorándum para el Dr. Manger del Sr. Curtiss, 14 de marzo de 1955, Biblioteca Conmemorativa de Colón, OEA, Casilla 5, minutas de las reuniones del Comité, 1927–1932. La UPA concluyó con sus responsabilidades el 18 de noviembre de 1949. 1 By 1992, the enterprise was a fully funded Dominican project because the majority of American nations refused to support the construction. Back in 1949, the Pan–American Union had sent a check for $26,122.56 to the Dominican Republic representing a few contributions. The check included the paid quotas from the Dominican Republic ($2,098.13); Honduras ($13,290.16); Nicaragua ($2,803.75); and Panama ($2,940.08); and miscellaneous contributions and income, and a small balance remaining in the Architectural Competition Fund. Memorandum for Dr. Manger from Mr. Curtiss, March 14, 1955, Colum- bus Memorial Library, OAS, Box 5, Minutes of Committee Meetings, 1927–1932. The PAU terminated its responsibilities on November 18, 1949. 3 Early on, the standard number was 21, with Canada and Cuba excluded from the group, even though they (and other possessions) were included graphically with depictions of the Western Hemisphere com- monly used. Today, we see the OAS and Free Trade Area of the Americas Institution list 34 member countries. Continental representation usually references two components (North and South) or three (North, Central and South). 01 Vista frontal de la maqueta de Joseph Lea Gleave que muestra la fuerte carga del decorado exterior en base a motivos precolombinos. 01 Front view of Joseph Lea Gleave’s model, illustrating the heavily decorated exterior with pre–Columbian motifs. 01 02 02 Anteproyecto de Flavio de Rezende Carvalho, Sao Paulo, Brasil. 02 Non–winning entry by Flavio de Rezende Carvalho, Sao Paulo, Brazil. 2 En un inicio, el número promedio fue 21, con Canadá y Cuba exclui- dos del grupo pese a que ellos (y otras posesiones) fueron incluidas gráfi camente con imagénes del hemisferio occidental comúnmente usadas. Actualmente, vemos que la OEA y el Área de Libre Comercio de las Americas tiene 34 países miem- bros. La representación continental normalmente hace referencia a dos componentes (Norte y Sur) o tres (Norte, Centro y Sur). 67Lecturas Readings 81 1 Hacia 1992, la iniciativa era fi nanciada en su totalidad por República Dominicana ya que la mayoría de las naciones americanas habían rechazado su apoyo a la construcción. En 1949, la Unión Panamericana había enviado un cheque por US$26,122.56 a la República Dominicana, el cual representaba una pequeña contribución. El cheque incluía las cuotas pagadas desde la República Dominicana (US$2,098.13); Honduras (US$13,290.16); Nicaragua (US$2,803.75); y Panamá (US$2,940.08); algunas contribuciones misceláneas e ingresos, y un pequeño balance del remanente del fondo del Concurso de Arquitectura. Memorándum para el Dr. Manger del Sr. Curtiss, 14 de marzo de 1955, Biblioteca Conmemorativa de Colón, OEA, Casilla 5, minutas de las reuniones del Comité, 1927–1932. La UPA concluyó con sus responsabilidades el 18 de noviembre de 1949. 1 By 1992, the enterprise was a fully funded Dominican project because the majority of American nations refused to support the construction. Back in 1949, the Pan–American Union had sent a check for $26,122.56 to the Dominican Republic representing a few contributions. The check included the paid quotas from the Dominican Republic ($2,098.13); Honduras ($13,290.16); Nicaragua ($2,803.75); and Panama ($2,940.08); and miscellaneous contributions and income, and a small balance remaining in the Architectural Competition Fund. Memorandum for Dr. Manger from Mr. Curtiss, March 14, 1955, Colum- bus Memorial Library, OAS, Box 5, Minutes of Committee Meetings, 1927–1932. The PAU terminated its responsibilities on November 18, 1949. 3 Early on, the standard number was 21, with Canada and Cuba excluded from the group, even though they (and other possessions) were included graphically with depictions of the Western Hemisphere com- monly used. Today, we see the OAS and Free Trade Area of the Americas Institution list 34 member countries. Continental representation usually references two components (North and South) or three (North, Central and South). 01 Vista frontal de la maqueta de Joseph Lea Gleave que muestra la fuerte carga del decorado exterior en base a motivos precolombinos. 01 Front view of Joseph Lea Gleave’s model, illustrating the heavily decorated exterior with pre–Columbian motifs. 01 02 02 Anteproyecto de Flavio de Rezende Carvalho, Sao Paulo, Brasil. 02 Non–winning entry by Flavio de Rezende Carvalho, Sao Paulo, Brazil. 2 En un inicio, el número promedio fue 21, con Canadá y Cuba exclui- dos del grupo pese a que ellos (y otras posesiones) fueron incluidas gráfi camente con imagénes del hemisferio occidental comúnmente usadas. Actualmente, vemos que la OEA y el Área de Libre Comercio de las Americas tiene 34 países miem- bros. La representación continental normalmente hace referencia a dos componentes (Norte y Sur) o tres (Norte, Centro y Sur). 3 Un total de 59 proyectos fueron recibidos para el concurso (más de 400 propuestas fueron recibidas originalmente). El segundo premio se otorgó al arquitecto mexicano José Luis Benlliure y el tercer lugar al arquitecto uruguayo Adolfo F. Pozzi Guelfi . Las proyectos recibidos provenían del hemisferio occidental y representaban a los siguientes países: Estados Unidos (34), México (7), Uruguay (5), Bolivia (2), Argentina (1), Brasil (1), Canadá (1), Colombia (1), Perú (1) y El Salvador (1). Hubo cuatro proyectos no identifi cados. 4 Hubo aproximadamente 1.970 registrados de 65 países que expresaron su interés en un principio, incluyendo a los arquitectos Marcel Breuer, Paul Cret, Le Corbusier, Robert Mallet–Stevens y, A. y G. Perret. Otros arquitectos que también se registraron fueron Federico Maris- cal, Enrique del Moral, José Villagrán García, Carlos Raúl Villanueva (quien 82 Lecturas Readings67 3 A total of 59 entries were received for the competition (more than 400 applications were originally received). Second prize was awarded to Mexican architect José Luis Benl- liure and third prize was awarded to Uruguayan architect Adolfo F. Pozzi Guelfi . The entries came from the Western Hemisphere and represented the following countries: the United States (34), Mexico (7), Uruguay (5), Bolivia (2), Argentina (1), Brazil (1), Canada (1), Colombia (1), Peru (1) and El Salvador (1). There were four unidentifi ed entries. 4 An estimated 1,970 registrants from 65 countries expressed an interest originally, including archi- tects: Marcel Breuer, Paul Cret, Le Corbusier, Robert Mallet-Stevens and A. and G. Perret. Other architects who also registered included Federico Mariscal, Enrique del Moral, José Villagrán García, Carlos Raúl Villanueva (who registered from Paris), and the German architect Max Cetto (who later emigrated to Mexico). se registró desde París), y el arqui- tecto alemán Max Cetto (quien más tarde emigraría a México). 5 Originalmente se recibieron 196 propuestas latinoamericanas, representando a Argentina (32), Brasil (17), Chile (26), Cuba (35), México (37), Perú (17), Uruguay (28) y otros trece países. No se recibieron postulaciones de El Salvador. 5 Originally, 196 Latin American applications had been received, representing Argentina (32), Brazil (17), Chile (26), Cuba (35), Mexico (37), Peru (17), Uruguay (28) and thirteen other countries. No applica- tions or entries were ever received from El Salvador. 03 04 03 Anteproyecto de Ricardo Jaxa Malachowski, Lima, Perú. Esta es una de las pocas propuestas publicadas en color en la guía de Kelsey. 04 Los tres jurados y el consejero del concurso en Madrid después de la primera etapa del concurso. De izquierda a derecha: Saarinen, Hood, Kelsey y Acosta y Lara. 03 Non–winning entry by Ricardo Jaxa Malachowski, Lima, Peru. This is one of the few entries published in color in Kelseys’competition guide. 04 The three jurors and the competition advisor in Madrid after Phase I of the competition. Left to right: Saarinen, Hood, Kelsey and Acosta y Lara. 3 Un total de 59 proyectos fueron recibidos para el concurso (más de 400 propuestas fueron recibidas originalmente). El segundo premio se otorgó al arquitecto mexicano José Luis Benlliure y el tercer lugar al arquitecto uruguayo Adolfo F. Pozzi Guelfi . Las proyectos recibidos provenían del hemisferio occidental y representaban a los siguientes países: Estados Unidos (34), México (7), Uruguay (5), Bolivia (2), Argentina (1), Brasil (1), Canadá (1), Colombia (1), Perú (1) y El Salvador (1). Hubo cuatro proyectos no identifi cados. 4 Hubo aproximadamente 1.970 registrados de 65 países que expresaron su interés en un principio, incluyendo a los arquitectos Marcel Breuer, Paul Cret, Le Corbusier, Robert Mallet–Stevens y, A. y G. Perret. Otros arquitectos que también se registraron fueron Federico Maris- cal, Enrique del Moral, José Villagrán García, Carlos Raúl Villanueva (quien 82 Lecturas Readings67 3 A total of 59 entries were received for the competition (more than 400 applications were originally received). Second prize was awarded to Mexican architect José Luis Benl- liure and third prize was awarded to Uruguayan architect Adolfo F. Pozzi Guelfi . The entries came from the Western Hemisphere and represented the following countries: the United States (34), Mexico (7), Uruguay (5), Bolivia (2), Argentina (1), Brazil (1), Canada (1), Colombia (1), Peru (1) and El Salvador (1). There were four unidentifi ed entries. 4 An estimated 1,970 registrants from 65 countries expressed an interest originally, including archi- tects: Marcel Breuer, Paul Cret, Le Corbusier, Robert Mallet-Stevens and A. and G. Perret. Other architects who also registered included Federico Mariscal, Enrique del Moral, José Villagrán García, Carlos Raúl Villanueva (who registered from Paris), and the German architect Max Cetto (who later emigrated to Mexico). se registró desde París), y el arqui- tecto alemán Max Cetto (quien más tarde emigraría a México). 5 Originalmente se recibieron 196 propuestas latinoamericanas, representando a Argentina (32), Brasil (17), Chile (26), Cuba (35), México (37), Perú (17), Uruguay (28) y otros trece países. No se recibieron postulaciones de El Salvador. 5 Originally, 196 Latin American applications had been received, representing Argentina (32), Brazil (17), Chile (26), Cuba (35), Mexico (37), Peru (17), Uruguay (28) and thirteen other countries. No applica- tions or entries were ever received from El Salvador. 03 04 03 Anteproyecto de Ricardo Jaxa Malachowski, Lima, Perú. Esta es una de las pocas propuestas publicadas en color en la guía de Kelsey. 04 Los tres jurados y el consejero del concurso en Madrid después de la primera etapa del concurso. De izquierda a derecha: Saarinen, Hood, Kelsey y Acosta y Lara. 03 Non–winning entry by Ricardo Jaxa Malachowski, Lima, Peru. This is one of the few entries published in color in Kelseys’competition guide. 04 The three jurors and the competition advisor in Madrid after Phase I of the competition. Left to right: Saarinen, Hood, Kelsey and Acosta y Lara. 67Lecturas Readings 83 y gobiernos estatales y federales, ellas pueden ser leídas como manifestaciones físicas de las relaciones entre las repúblicas del hemisferio occidental. Dos grandes proyectos fueron desarrollados posteriormente bajo el liderazgo de la Unión Panamericana (UPA) en Washington, D.C., la cual se estableció como organización en 1890 y fue conocida como el Bureau Internacional de las Repú- blicas Americanas (hoy la Organización de Estados Americanos). El primer con- curso tuvo lugar en 1907 y buscó un nuevo edifi cio para las ofi cinas centrales de la propia UPA. A pesar de que este edifi cio serviría de hogar para las repúblicas americanas, a los latinoamericanos no se les permitió participar en el concurso a no ser de que residieran de manera permanente en Estados Unidos. Los arqui- tectos Paul Phillipe Crét y Albert Kelsey de Filadelfi a ganaron el primer premio. El edifi cio, que se encuentra en una destacada ubicación en Washington D.C., ha sido ampliado a través de las décadas desde esa fecha, incluyendo la construcción de edifi cios adicionales y estructuras afi liadas, incluyendo el Banco Interamericano de Desarrollo y la Organización Panamericana de la Salud, que a su vez fue el resultado de un concurso que ganó el arquitecto uruguayo Román F. Siri en 19613. Este paisaje institucional único fue dedi- cado a las Américas a una escala aún inigualable, y se vincula con una serie de plazas y estatuas dedicadas a los héroes de América Latina. Mientras que las primeras ferias representaban los intereses de los abanderados paname- ricanos que buscaban ganancias económicas, las ofi cinas centrales de la UPA llegaron a representar un modelo para la unión de las naciones. Algunos incluso llegaron a considerar al edifi cio simbólicamente, como un capitolio de las Américas o el nexo con un continente–nación imaginado. En concor- dancia a este escenario, el lenguaje empleado para describir el edifi cio como un símbolo de un hemisferio unido asumió un tono nacionalista. Siguiendo el deseo histórico por honrar a Colón y su desembarco caribeño, en 1914 William E. Pulliam, un ofi cial de aduanas norteamericano instalado en Santo Domingo, comenzó a promover el interés por un monumento faro, imaginándoselo como lo había descrito alguna vez el historiador domini- cano Antonio del Monte y Tejada en el s. XIX. La UPA terminó por coordinar este ambicioso proyecto y contratar a Kelsey para preparar el concurso en dos etapas. Él viajó a América Latina, promovió el interés por el proyecto del faro conmemorativo y elaboró las bases del concurso, enfatizando la innovación tecnológica y la unidad hemisférica. Las bases de Kelsey eran en sí proble- máticas, dado que el rol que asumió fue condescendiente y de mayor enver- gadura a su experiencia. Presumía educar a los arquitectos participantes en arquitectura tropical, en el paisaje cultural dominicano y en América Latina en general. Los programas con imágenes repetidas de faros, estatuas de Colón y cruces infl uenciaron muchas propuestas predecibles, que el jurado eliminó rápidamente. Desde muy temprano en la primera vuelta, Kelsey había mani- festado su descontento con la calidad de los proyectos y Wright fue despiada- damente crítico con las propuestas de la segunda etapa. Por ende, el concurso se recuerda hoy en día no sólo por el número sin prece- dentes de países representados y por la cantidad impresionante de concursantes –más del doble que las del concurso del Chicago Tribune de 1922, que llegó a un total de 189– si no también por las postulaciones presentadas por muchos arqui- tectos notables que fueron eliminados; incluyendo a Alvar Aalto, Eric Bryggman, Tony Garnier, Helmle, Corbett & Harrison, Konstantin Melnikov y, de América Latina; Flavio de Rezende Carvalho, Luis MacGregor, Mira & Rosich, Smith Solar & Smith Miller y Carlos Obregón Santacilia4. También es impresionante ver que fueron recibidas en el concurso 39 propuestas de América Latina, com- parado con las tres presentadas en el concurso de Chicago (de Cuba y México)5. El nombre poco familiar de Gleave provocó una tibia recepción por parte de la prensa y las revistas de arquitectura, los relatos más comprensivos sobre los concursos de arquitectura lo excluyeron totalmente. Cuando fue considerado, el Faro de Colón fue descrito como un gran monumento al Padre Fundador del hemisferio occidental, adoptando nuevamente un tono nacionalista. Con su governments, these fairgrounds can be read as physical manifestations of the relationships between the republics of the Western Hemisphere. Two major projects that followed were developed under the director- ship of the Pan-American Union (PAU) in Washington, D.C., the orga- nization established in 1890 as the International Bureau of American Republics (today the Organization of American States). The fi rst competi- tion, taking place in 1907, was the design of the PAU’s own headquarters. Although this building would serve as the home of the American Repub- lics, Latin Americans were not allowed to enter the competition unless they resided permanently in the United States. Architects Paul Phillipe Crét and Albert Kelsey of Philadelphia were awarded fi rst prize. The building’s prominent location in Washington, D.C. has been expanded upon over the decades since then to include additional buildings and affi liated structures, including the Inter-American Development Bank and the Pan-American Health Organization, which was itself the result of a competition won by Uruguayan architect Román F. Siri in 19613. This unique institutional landscape, a dedication to the Americas at a scale that remains unmatched, is linked together with a series of plazas and statues dedicated to the heroes of Latin America. While the early fairs represented the interests of Pan-American fl ag wavers seeking economic gains, the PAU headquarters came to represent a model union of nations. Some even came to consider the building as the symbolic capitol of the Americas, the nexus of an imagined nation-continent. And appropri- ately, the language used to describe the building as a symbol of a unifi ed hemisphere took on a nationalistic tone. Building upon an age-old desire to honor Columbus and his historic Caribbean landing, in 1914, William E. Pulliam, the U.S. Customs Receiv- ership stationed in Santo Domingo, began to raise interest in a lighthouse monument, imagining it as Dominican historian Antonio del Monte y Tejada had once described such a monument in the nineteenth century. The PAU eventually coordinated this ambitious project and hired Kelsey to prepare a two-stage competition. He traveled to Latin America, raised interest in the lighthouse memorial, and created a competition pro- gram that emphasized technological innovation and hemispheric unity. Kelsey’s competition program was itself problematic; the role he assumed was patronizing and beyond his expertise. He presumed to educate the registering architect on tropical architecture, the Dominican cultural landscape, and Latin America in general. The program’s repeated imag- ery of lighthouses, Columbus statuary and crosses infl uenced many pre- dictable design submissions, which the jurors quickly eliminated. Early on, Kelsey had communicated his disappointment with the quality of the entries in the fi rst round; and Wright was ruthlessly critical of the second-round entries. The competition is thus not only remembered today for the unprece- dented number of countries represented and the impressive number of entries more than twice as many as the Chicago Tribune Competition of 1922, which totaled 189, but also for the entries submitted by the many noted architects that were eliminated, including Alvar Aalto, Erik Bryg- gman, Tony Garnier, Helmle, Corbett and Harrison, Konstantin Melnikov, and from Latin America, Flavio de Rezende Carvalho, Luis MacGregor, Mira & Rosich, Smith Solar & Smith Miller, and Carlos Obregón Santa- cilia4. It is also impressive to see that 39 Latin American design entries were submitted to the competition, compared to the mere three submit- ted to the Chicago competition (from Cuba and Mexico)5. Unfamiliarity with Gleave led to a lukewarm reception by the press and the architec- ture journals; the most comprehensive histories of architectural com- petitions consequently left it out completely. When it was noted, the Columbus Lighthouse was described as a grand monument to the West- 67Lecturas Readings 83 y gobiernos estatales y federales, ellas pueden ser leídas como manifestaciones físicas de las relaciones entre las repúblicas del hemisferio occidental. Dos grandes proyectos fueron desarrollados posteriormente bajo el liderazgo de la Unión Panamericana (UPA) en Washington, D.C., la cual se estableció como organización en 1890 y fue conocida como el Bureau Internacional de las Repú- blicas Americanas (hoy la Organización de Estados Americanos). El primer con- curso tuvo lugar en 1907 y buscó un nuevo edifi cio para las ofi cinas centrales de la propia UPA. A pesar de que este edifi cio serviría de hogar para las repúblicas americanas, a los latinoamericanos no se les permitió participar en el concurso a no ser de que residieran de manera permanente en Estados Unidos. Los arqui- tectos Paul Phillipe Crét y Albert Kelsey de Filadelfi a ganaron el primer premio. El edifi cio, que se encuentra en una destacada ubicación en Washington D.C., ha sido ampliado a través de las décadas desde esa fecha, incluyendo la construcción de edifi cios adicionales y estructuras afi liadas, incluyendo el Banco Interamericano de Desarrollo y la Organización Panamericana de la Salud, que a su vez fue el resultado de un concurso que ganó el arquitecto uruguayo Román F. Siri en 19613. Este paisaje institucional único fue dedi- cado a las Américas a una escala aún inigualable, y se vincula con una serie de plazas y estatuas dedicadas a los héroes de América Latina. Mientras que las primeras ferias representaban los intereses de los abanderados paname- ricanos que buscaban ganancias económicas, las ofi cinas centrales de la UPA llegaron a representar un modelo para la unión de las naciones. Algunos incluso llegaron a considerar al edifi cio simbólicamente, como un capitolio de las Américas o el nexo con un continente–nación imaginado. En concor- dancia a este escenario, el lenguaje empleado para describir el edifi cio como un símbolo de un hemisferio unido asumió un tono nacionalista. Siguiendo el deseo histórico por honrar a Colón y su desembarco caribeño, en 1914 William E. Pulliam, un ofi cial de aduanas norteamericano instalado en Santo Domingo, comenzó a promover el interés por un monumento faro, imaginándoselo como lo había descrito alguna vez el historiador domini- cano Antonio del Monte y Tejada en el s. XIX. La UPA terminó por coordinar este ambicioso proyecto y contratar a Kelsey para preparar el concurso en dos etapas. Él viajó a América Latina, promovió el interés por el proyecto del faro conmemorativo y elaboró las bases del concurso, enfatizando la innovación tecnológica y la unidad hemisférica. Las bases de Kelsey eran en sí proble- máticas, dado que el rol que asumió fue condescendiente y de mayor enver- gadura a su experiencia. Presumía educar a los arquitectos participantes en arquitectura tropical, en el paisaje cultural dominicano y en América Latina en general. Los programas con imágenes repetidas de faros, estatuas de Colón y cruces infl uenciaron muchas propuestas predecibles, que el jurado eliminó rápidamente. Desde muy temprano en la primera vuelta, Kelsey había mani- festado su descontento con la calidad de los proyectos y Wright fue despiada- damente crítico con las propuestas de la segunda etapa. Por ende, el concurso se recuerda hoy en día no sólo por el número sin prece- dentes de países representados y por la cantidad impresionante de concursantes –más del doble que las del concurso del Chicago Tribune de 1922, que llegó a un total de 189– si no también por las postulaciones presentadas por muchos arqui- tectos notables que fueron eliminados; incluyendo a Alvar Aalto, Eric Bryggman, Tony Garnier, Helmle, Corbett & Harrison, Konstantin Melnikov y, de América Latina; Flavio de Rezende Carvalho, Luis MacGregor, Mira & Rosich, Smith Solar & Smith Miller y Carlos Obregón Santacilia4Solar & Smith Miller y Carlos Obregón Santacilia4Solar & Smith Miller y Carlos Obregón Santacilia . También es impresionante ver que fueron recibidas en el concurso 39 propuestas de América Latina, com- parado con las tres presentadas en el concurso de Chicago (de Cuba y México)5. El nombre poco familiar de Gleave provocó una tibia recepción por parte de la prensa y las revistas de arquitectura, los relatos más comprensivos sobre los concursos de arquitectura lo excluyeron totalmente. Cuando fue considerado, el Faro de Colón fue descrito como un gran monumento al Padre Fundador del Padre Fundador del Padre Fundador hemisferio occidental, adoptando nuevamente un tono nacionalista. Con su governments, these fairgrounds can be read as physical manifestations of the relationships between the republics of the Western Hemisphere. Two major projects that followed were developed under the director- ship of the Pan-American Union (PAU) in Washington, D.C., the orga- nization established in 1890 as the International Bureau of American Republics (today the Organization of American States). The fi rst competi- tion, taking place in 1907, was the design of the PAU’s own headquarters. Although this building would serve as the home of the American Repub- lics, Latin Americans were not allowed to enter the competition unless they resided permanently in the United States. Architects Paul Phillipe Crét and Albert Kelsey of Philadelphia were awarded fi rst prize. The building’s prominent location in Washington, D.C. has been expanded upon over the decades since then to include additional buildings and affi liated structures, including the Inter-American Development Bank and the Pan-American Health Organization, which was itself the result of a competition won by Uruguayan architect Román F. Siri in 19613. This unique institutional landscape, a dedication to the Americas at a scale that remains unmatched, is linked together with a series of plazas and statues dedicated to the heroes of Latin America. While the early fairs represented the interests of Pan-American fl ag wavers seeking economic gains, the PAU headquarters came to represent a model union of nations. Some even came to consider the building as the symbolic capitol of the Americas, the nexus of an imagined nation-continent. And appropri- ately, the language used to describe the building as a symbol of a unifi ed hemisphere took on a nationalistic tone. Building upon an age-old desire to honor Columbus and his historic Caribbean landing, in 1914, William E. Pulliam, the U.S. Customs Receiv- ership stationed in Santo Domingo, began to raise interest in a lighthouse monument, imagining it as Dominican historian Antonio del Monte y Tejada had once described such a monument in the nineteenth century. The PAU eventually coordinated this ambitious project and hired Kelsey to prepare a two-stage competition. He traveled to Latin America, raised interest in the lighthouse memorial, and created a competition pro- gram that emphasized technological innovation and hemispheric unity. Kelsey’s competition program was itself problematic; the role he assumed was patronizing and beyond his expertise. He presumed to educate the registering architect on tropical architecture, the Dominican cultural landscape, and Latin America in general. The program’s repeated imag- ery of lighthouses, Columbus statuary and crosses infl uenced many pre- dictable design submissions, which the jurors quickly eliminated. Early on, Kelsey had communicated his disappointment with the quality of the entries in the fi rst round; and Wright was ruthlessly critical of the second-round entries. The competition is thus not only remembered today for the unprece- dented number of countries represented and the impressive number of entries more than twice as many as the Chicago Tribune Competition of 1922, which totaled 189, but also for the entries submitted by the many noted architects that were eliminated, including Alvar Aalto, Erik Bryg- gman, Tony Garnier, Helmle, Corbett and Harrison, Konstantin Melnikov, and from Latin America, Flavio de Rezende Carvalho, Luis MacGregor, Mira & Rosich, Smith Solar & Smith Miller, and Carlos Obregón Santa- cilia4. It is also impressive to see that 39 Latin American design entries were submitted to the competition, compared to the mere three submit- ted to the Chicago competition (from Cuba and Mexico)5. Unfamiliarity with Gleave led to a lukewarm reception by the press and the architec- ture journals; the most comprehensive histories of architectural com- petitions consequently left it out completely. When it was noted, the Columbus Lighthouse was described as a grand monument to the West- 84 Lecturas Readings67 establecimiento, el faro unió el capitolio del hemisferio occidental en el Potomac para completar la construcción imaginaria de las Américas, de acuerdo a la visión de la UPA. A ello siguieron otros esfuerzos. A principios de 1940 la asociación de la Sexta Avenida de la ciudad de Nueva York propuso renombrarse Avenida de las Américas y desarrollar un centro comercial de las Américas. El plan consistía en levantar 23 edifi cios a lo largo de la avenida, donde cada edifi cio representaría una república americana. El arquitecto Harvey Wiley Corbett organizó el Comité y contrató a Hugh Ferriss para desarrollar los bosquejos del concepto. Edward Durrell Stone hizo que sus estudiantes de arquitectura de la NYU, prepararan maquetas y dibujos para una presentación pública6 Este gran plan nunca fue completamente realizado, sin embargo el alcalde La Guardia fi rmó una ley para cambiar el nombre de la avenida. Hoy, el legado de los tres proyectos –el edifi cio del capitolio, el monumento al Padre Fundador y la gran avenida– consiste en las cientos de plazas y parques de las Américas, los monumentos a Colón y los clubes e instituciones panamericanas que se encuentran a lo largo de las Américas. Los años cincuenta y sesenta evidenciaron los últimos grandes proyectos hemis- féricos del siglo, una fue la propuesta de una feria mundial permanente llamada Interama (Feria Cultural y de Comercio Interamericana) planeada para Miami, Florida. Fue proyectada en sus etapas iniciales por Hugh Ferriss y luego por Marcel Breuer, Louis Kahn, Paul Rudolph, Josep Lluis Sert, Edward Durrell Stone, Harry Weese y Minoru Yamasaki. Esta feria nunca tuvo lugar, pero en 1968 una feria similar, llamada con acierto HemisFair, tuvo lugar en San Antonio, Texas. Las Américas podrían ver pronto un precedente en esta línea de edifi cios con el futuro establecimiento del Secretariado Permanente de las Áreas de Libre Comer- cio de las Américas. Existen diez ciudades que ahora compiten por el título de Centro para el Hemisferio Occidental y que se encuentran posicionadas para albergar a este nuevo edifi cio panamericano7. La posición del Faro Conmemorativo de Colón entre esta familia de proyectos es clave para poder comprender la naturaleza de las propuestas recibidas. Las contribuciones más interesantes del concurso a la arquitectura panamericana son los 300 proyectos entregados por africanos, asiáticos y europeos entre otros, que presentan diversas visiones del hemisferio occidental8. Como se mencionó anteriormente, muchos de los proyectos de los participantes cayeron presa de imágenes predecibles de un Colón heroico, pero otros presentaban perspectivas globales asociadas a continentes que se concentraban en la modernidad tecno- lógica. Los proyectos refl ejan una amplia y diversa gama de la arquitectura de fi nales de los años veinte, con evidencias del Beaux–Arts, Art Deco e infl uencias modernas. Las más interesantes son las propuestas rusas. Los temas tratados en los proyectos recibidos tendieron a caer en tres catego- rías: la exploración náutica (con barcos y estatuas gigantes mostrando a Colón, el navegante); globos iluminados (representando el faro iluminado o el mundo); y a Colón en su misión evangelizadora del cristianismo (con crucifi jos y capillas añadidas). Dos enfoques adicionales, que ofrecen una mayor comprensión del tema, se enfocan en la innovación náutica y en el pasado indígena de las Amé- ricas. La unión entre la tipología del faro con la pista de aviación y la torre eran probablemente lo más interesante del programa. Bryggman presentó uno de los esquemas más elegantes: combinó de manera abstracta los componentes de ilu- minación y las vistas de ambos programas en la cima de una torre angosta. Su colega, el arquitecto fi nlandés Aalto propuso una torre en espiral en hormigón armado, donde el hemisferio occidental fue abstraído a un pilar de progreso, futurismo y solidaridad. En este proyecto, los elementos funcionales se ocultaron. El arquitecto chileno Rodulfo Oyarzún presentó una torre que se volvía angosta y que gradualmente tomaba la forma de un espiral, pero su propuesta hacia refe- rencia a las ruinas precolombinas de El Caracol en México. La torre en espiral de Garnier se refería a la Torre Eiffel y funcionaba como un esqueleto que protegía la cripta de Colón. El jurado describió esta iniciativa como un esquema mareador. Los proyectos rusos elaborados por Vladimir Krinsky, Ivan Leonidov, Konstantin Melnikov y otros, utilizaron partes mecánicas para simbolizar el progreso y la ern Hemisphere’s founding father, again, with a nationalist tone. With its erection, the lighthouse joined the capitol of the Western Hemisphere on the Potomac to complete the imaginary construction of the Americas, accord- ing to the PAU’s vision. Other attempts followed. In the early 1940s, the Sixth Avenue Association in New York City proposed to rename itself as the Avenue of the Americas, and develop a commercial center of the Ameri- cas. The plan was to erect 23 high-rises along the avenue, each building representing an American Republic. Architect Harvey Wiley Corbett orga- nized the committee and hired Hugh Ferriss to prepare concept sketches. Edward Durrell Stone had his NYU architecture students prepare models and drawings for a public presentation6. This grand plan was never fully realized, but Mayor La Guardia did sign the bill to change the avenue’s name. Today, the legacy of the three projects -the capitol building, the monument to the founding father, and the grand avenue- are the hundreds of plazas and parks of the Americas, the monuments to Columbus, and the Pan-American clubs and institutions found throughout the Americas. The 50s and 60s witnessed the last grand hemispheric projects of the century, one being the proposed permanent world’s fair called Interama (Inter-American Cultural and Trade Fair) planned for Miami, Florida. It was designed in the early stages by Hugh Ferriss, and later by Marcel Breuer, Louis Kahn, Paul Rudolph, Josep Lluis Sert, Edward Durrell Stone, Harry Weese and Minoru Yamasaki. This fair never took place, but in 1968, a similar fair, cleverly named HemisFair, took place in San Antonio, Texas. The Americas may soon see a predecessor to this line of building with the future permanent secretariat of the Free Trade Areas of the Americas institution. Ten cities are now vying for the title center of the Western Hemi- sphere and are poised to house this new Pan-American building7. Locating the Columbus Memorial Lighthouse amidst this family of projects is key in understanding the nature of the entries. The compe- tition’s most interesting contributions to Pan-American architecture are the over 300 entries, authored by Africans, Asians, Europeans, etc., that present diverse visions of the Western Hemisphere8. As already stated, many contestant’s designs fell prey to predictable imagery of an heroic Columbus, but others presented global perspectives of linked continents that concentrated on technological modernity. The design entries refl ect a broad cross-section of the architecture of the late 1920s, with evidence of Beaux-Arts, Art Deco and Modern infl u- ences. The most interesting are the Russian proposals. The themes explored in the design entries tended to fall into three cat- egories: nautical exploration (with giant ships and statuary depicting Columbus, the Navigator); illuminated globes (representing the illumi- nated lighthouse or the world); and Columbus’ Christianizing mission (with cruciforms and chapels added to the designs). Two additional design approaches that offer insight focus on navigational innovation and the Americas’ indigenous past. The meshing of the lighthouse typol- ogy with the aviation airfi eld and tower was arguably the most interest- ing part of the program. Bryggman presented one of the most elegant schemes; it abstractly combined the lighting and viewing components of both programs at the top of a slender tower. Fellow Finnish architect Aalto proposed a spiraling reinforced concrete tower where the Western Hemisphere was abstracted into a pillar of progress, futurism and soli- darity; in this scheme, the functional elements were hidden. Chilean architect Rodulfo Oyarzún presented a gradually tapering and spiral- ing tower, but his submission referenced the pre-Columbian El Caracol ruins of Mexico. Garnier’s spiraling tower harkened to the Eiffel Tower and served as an exoskeleton that protected the Columbian crypt; the jurors called this a dizzying scheme. The Russian schemes, produced by Vladimir Krinsky, Ivan Leonidov and Konstantin Melnikov and others, 6 Esta historia apareció en el New York Times, el 12 de junio de 1941. 7 Entre las ciudades que postulan están en México (Cancún y Puebla), Panamá (Ciudad de Panamá), Puerto Rico (San Juan), Trinidad y Tobago (Puerto España), y Estados Unidos (Atlanta, Chicago, Galveston, Houston y Miami). 8 Además de las 39 postulaciones pro- venientes de América Latina, Estados Unidos presentó 113 y Canadá 1. 6 This story appeared in the New York Times in June 12, 1941. 7 The competing cities are in Mexico (Cancún and Puebla), Panama (Panama City), Puerto Rico (San Juan), Trinidad & Tobago (Port of Spain), and the United States (Atlanta, Chicago, Galveston, Houston and Miami). 8 In addition to Latin America’s 39 entries, the United States submitted 113 and Canada 1. 84 Lecturas Readings67 establecimiento, el faro unió el capitolio del hemisferio occidental en el Potomac para completar la construcción imaginaria de las Américas, de acuerdo a la visión de la UPA. A ello siguieron otros esfuerzos. A principios de 1940 la asociación de la Sexta Avenida de la ciudad de Nueva York propuso renombrarse Avenida de las Américas y desarrollar un centro comercial de las Américas. El plan consistía en levantar 23 edifi cios a lo largo de la avenida, donde cada edifi cio representaría una república americana. El arquitecto Harvey Wiley Corbett organizó el Comité y contrató a Hugh Ferriss para desarrollar los bosquejos del concepto. Edward Durrell Stone hizo que sus estudiantes de arquitectura de la NYU, prepararan maquetas y dibujos para una presentación pública6maquetas y dibujos para una presentación pública6maquetas y dibujos para una presentación pública Este gran plan nunca fue 6 Este gran plan nunca fue 6 completamente realizado, sin embargo el alcalde La Guardia fi rmó una ley para cambiar el nombre de la avenida. Hoy, el legado de los tres proyectos –el edifi cio del capitolio, el monumento al Padre Fundador y la Padre Fundador y la Padre Fundador gran avenida– consiste en las cientos de plazas y parques de las Américas, los monumentos a Colón y los clubes e instituciones panamericanas que se encuentran a lo largo de las Américas. Los años cincuenta y sesenta evidenciaron los últimos grandes proyectos hemis- féricos del siglo, una fue la propuesta de una feria mundial permanente llamada Interama (Feria Cultural y de Comercio Interamericana) planeada para Miami, Interama (Feria Cultural y de Comercio Interamericana) planeada para Miami, Interama Florida. Fue proyectada en sus etapas iniciales por Hugh Ferriss y luego por Marcel Breuer, Louis Kahn, Paul Rudolph, Josep Lluis Sert, Edward Durrell Stone, Harry Weese y Minoru Yamasaki. Esta feria nunca tuvo lugar, pero en 1968 una feria similar, llamada con acierto HemisFair, tuvo lugar en San Antonio, Texas. HemisFair, tuvo lugar en San Antonio, Texas. HemisFair Las Américas podrían ver pronto un precedente en esta línea de edifi cios con el futuro establecimiento del Secretariado Permanente de las Áreas de Libre Comer- cio de las Américas. Existen diez ciudades que ahora compiten por el título de Centro para el Hemisferio Occidental y que se encuentran posicionadas para albergar Centro para el Hemisferio Occidental y que se encuentran posicionadas para albergar Centro para el Hemisferio Occidental a este nuevo edifi cio panamericano7. La posición del Faro Conmemorativo de Colón entre esta familia de proyectos es clave para poder comprender la naturaleza de las propuestas recibidas. Las contribuciones más interesantes del concurso a la arquitectura panamericana son los 300 proyectos entregados por africanos, asiáticos y europeos entre otros, que presentan diversas visiones del hemisferio occidental8. Como se mencionó anteriormente, muchos de los proyectos de los participantes cayeron presa de imágenes predecibles de un Colón heroico, pero otros presentaban perspectivas globales asociadas a continentes que se concentraban en la modernidad tecno- lógica. Los proyectos refl ejan una amplia y diversa gama de la arquitectura de fi nales de los años veinte, con evidencias del Beaux–Arts, Art Deco e infl uencias modernas. Las más interesantes son las propuestas rusas. Los temas tratados en los proyectos recibidos tendieron a caer en tres catego- rías: la exploración náutica (con barcos y estatuas gigantes mostrando a Colón, el navegante); globos iluminados (representando el faro iluminado o el mundo); y a Colón en su misión evangelizadora del cristianismo (con crucifi jos y capillas añadidas). Dos enfoques adicionales, que ofrecen una mayor comprensión del tema, se enfocan en la innovación náutica y en el pasado indígena de las Amé- ricas. La unión entre la tipología del faro con la pista de aviación y la torre eran probablemente lo más interesante del programa. Bryggman presentó uno de los esquemas más elegantes: combinó de manera abstracta los componentes de ilu- minación y las vistas de ambos programas en la cima de una torre angosta. Su colega, el arquitecto fi nlandés Aalto propuso una torre en espiral en hormigón armado, donde el hemisferio occidental fue abstraído a un pilar de progreso, futurismo y solidaridad. En este proyecto, los elementos funcionales se ocultaron. El arquitecto chileno Rodulfo Oyarzún presentó una torre que se volvía angosta y que gradualmente tomaba la forma de un espiral, pero su propuesta hacia refe- rencia a las ruinas precolombinas de El Caracol en México. La torre en espiral de Garnier se refería a la Torre Eiffel y funcionaba como un esqueleto que protegía la cripta de Colón. El jurado describió esta iniciativa como un esquema mareador. mareador. mareador Los proyectos rusos elaborados por Vladimir Krinsky, Ivan Leonidov, Konstantin Melnikov y otros, utilizaron partes mecánicas para simbolizar el progreso y la ern Hemisphere’s founding father, again, with a nationalist tone. With its erection, the lighthouse joined the capitol of the Western Hemisphere on the Potomac to complete the imaginary construction of Potomac to complete the imaginary construction of Potomac the Americas, accord- ing to the PAU’s vision. Other attempts followed. In the early 1940s, the Sixth Avenue Association in New York City proposed to rename itself as the Avenue of the Americas, and develop a commercial center of the Ameri- cas. The plan was to erect 23 high-rises along the avenue, each building representing an American Republic. Architect Harvey Wiley Corbett orga- nized the committee and hired Hugh Ferriss to prepare concept sketches. Edward Durrell Stone had his NYU architecture students prepare models and drawings for a public presentation6. This grand plan was never fully realized, but Mayor La Guardia did sign the bill to change the avenue’s name. Today, the legacy of the three projects -the capitol building, the monument to the founding father, and the grand avenue- are the hundreds of plazas and parks of the Americas, the monuments to Columbus, and the Pan-American clubs and institutions found throughout the Americas. The 50s and 60s witnessed the last grand hemispheric projects of the century, one being the proposed permanent world’s fair called Interama (Inter-American Cultural and Trade Fair) planned for Miami, Florida. It was designed in the early stages by Hugh Ferriss, and later by Marcel Breuer, Louis Kahn, Paul Rudolph, Josep Lluis Sert, Edward Durrell Stone, Harry Weese and Minoru Yamasaki. This fair never took place, but in 1968, a similar fair, cleverly named HemisFair, took place in San Antonio, Texas. The Americas may soon see a predecessor to this line of building with the future permanent secretariat of the Free Trade Areas of the Americas institution. Ten cities are now vying for the title center of the Western Hemi- sphere and are poised to house this new Pan-American building7. Locating the Columbus Memorial Lighthouse amidst this family of projects is key in understanding the nature of the entries. The compe- tition’s most interesting contributions to Pan-American architecture are the over 300 entries, authored by Africans, Asians, Europeans, etc., that present diverse visions of the Western Hemisphere8. As already stated, many contestant’s designs fell prey to predictable imagery of an heroic Columbus, but others presented global perspectives of linked continents that concentrated on technological modernity. The design entries refl ect a broad cross-section of the architecture of the late 1920s, with evidence of Beaux-Arts, Art Deco and Modern infl u- ences. The most interesting are the Russian proposals. The themes explored in the design entries tended to fall into three cat- egories: nautical exploration (with giant ships and statuary depicting Columbus, the Navigator); illuminated globes (representing the illumi- nated lighthouse or the world); and Columbus’ Christianizing mission (with cruciforms and chapels added to the designs). Two additional design approaches that offer insight focus on navigational innovation and the Americas’ indigenous past. The meshing of the lighthouse typol- ogy with the aviation airfi eld and tower was arguably the most interest- ing part of the program. Bryggman presented one of the most elegant schemes; it abstractly combined the lighting and viewing components of both programs at the top of a slender tower. Fellow Finnish architect Aalto proposed a spiraling reinforced concrete tower where the Western Hemisphere was abstracted into a pillar of progress, futurism and soli- darity; in this scheme, the functional elements were hidden. Chilean architect Rodulfo Oyarzún presented a gradually tapering and spiral- ing tower, but his submission referenced the pre-Columbian El Caracol ruins of Mexico. Garnier’s spiraling tower harkened to the Eiffel Tower and served as an exoskeleton that protected the Columbian crypt; the jurors called this a dizzying scheme. The Russian schemes, produced by dizzying scheme. The Russian schemes, produced by dizzying Vladimir Krinsky, Ivan Leonidov and Konstantin Melnikov and others, 6 Esta historia apareció en el New York Times, el 12 de junio de 1941. 7 Entre las ciudades que postulan están en México (Cancún y Puebla), Panamá (Ciudad de Panamá), Puerto Rico (San Juan), Trinidad y Tobago (Puerto España), y Estados Unidos (Atlanta, Chicago, Galveston, Houston y Miami). 8 Además de las 39 postulaciones pro- venientes de América Latina, Estados Unidos presentó 113 y Canadá 1. 6 This story appeared in the New York Times in June 12, 1941. 7 The competing cities are in Mexico (Cancún and Puebla), Panama (Panama City), Puerto Rico (San Juan), Trinidad & Tobago (Port of Spain), and the United States (Atlanta, Chicago, Galveston, Houston and Miami). 8 In addition to Latin America’s 39 entries, the United States submitted 113 and Canada 1. 67Lecturas Readings 85 06-07 Anteproyecto de Constantine Stepanovitch Melnikoff, Moscú, Rusia. 08 Maqueta del anteproyecto de Alvar Aalto, que no fue publicado en la guía de Kelsey. 06-07 Non–winning entry by Constantine Stepanovitch Melnikoff, Moscow, Russia. 08 Model of Alvar Aalto´s entry, which was not published in Kelsey´s book. 06 08 07 67Lecturas Readings 85 06-07 Anteproyecto de Constantine Stepanovitch Melnikoff, Moscú, Rusia. 08 Maqueta del anteproyecto de Alvar Aalto, que no fue publicado en la guía de Kelsey. 06-07 Non–winning entry by Constantine Stepanovitch Melnikoff, Moscow, Russia. 08 Model of Alvar Aalto´s entry, which was not published in Kelsey´s book. 06 08 07 10 09 09 Anteproyecto de Tony Garnier, Lyon, Francia. 10 Anteproyecto de Rodulfo A. Oyarzún Philippi, Santiago, Chile. 09 Non–winning entry by Tony Garnier, Lyon, France. 10 Non–winning entry by Rodulfo A. Oyarzún Philippi, Santiago, Chile. 86 Lecturas Readings67 10 09 09 Anteproyecto de Tony Garnier, Lyon, Francia. 10 Anteproyecto de Rodulfo A. Oyarzún Philippi, Santiago, Chile. 09 Non–winning entry by Tony Garnier, Lyon, France. 10 Non–winning entry by Rodulfo A. Oyarzún Philippi, Santiago, Chile. 86 Lecturas Readings67 libertad de expresión, dando como resultado los faros más dinámicos. El movi- miento rotacional integrado del proyecto de Melnikov por ejemplo, ocurría en ciclos de tiempo diferentes a través de la dimensión vertical. Con esto, dependía del tiempo y del lugar para ilustrar el progreso sin fi n que el hemisferio occi- dental representaba para el ruso provocador. Las aletas giratorias rojas y azules simbolizaban el baile perpetuo entre Norte y Sudamérica, mientras que dos estructuras cónicas y balanceadas simbolizaban al Nuevo y Viejo Mundo. Si bien, muchas de las propuestas recibidas de fuera de América Latina y Estados Unidos fueron exitosas en abstraer el futuro y el pasado del hemisferio occidental, las postulaciones latinoamericanas fueron más exitosas en introducir de manera inteligente las referencias precolombinas. En el proyecto de Carvalho, los moti- vos precolombinos fueron utilizados para aportar especifi cidad histórica a los componentes centrales de su proyecto. De igual manera, la narrativa histórica indígena propuesta por Obregón Santacilia fue extensa y bien informada. Se puede contrastar esto con la aproximación de Gleave, la cual refl eja una gran ingenuidad. De hecho, cuando el monumento fue fi nalmente cons- truido en 1992, el arquitecto consultor Teófi lo Carbonell eliminó por com- pleto los motivos murales precolombinos de Gleave. El esquema de Gleave se asemejaba a un escenario de Hollywood, con fi guras a escala y con som- brero que fueron agregadas a su maqueta fi nal. Es ampliamente reconocido que ganó el primer lugar porque su iniciativa se asimilaba con los propios sueños panamericanos californianos de Wright. En 1992, se esperaba que este faro de proporciones monumentales llamara la atención del público internacional y que fi nalmente atrajera el tan anhelado turismo a Santo Domingo. Uno de los espectáculos principales del faro fue su enorme crucifi jo iluminado, el cual se proyectaba al cielo. Este factor causaba frecuentes cortes de luz en una ciudad que ya se caracterizaba por una econo- mía tensa. Esa y otras controversias fueron las que más llamaron la atención. También surgieron críticas a raíz de la construcción de un muro que buscaba ocultar los barrios pobres aledaños. Dicho muro se bautizó como El muro de la ver- güenza por la prensa. Asimismo, Estados Unidos no envió a ningún representante a la inauguración y surgieron protestas por parte de las comunidades nativas americanas, que contribuyeron con otro elemento nuevo a la controversia de la celebración del descubrimiento del Nuevo Mundo. Puede resultar curioso que la actividad arquitectónica panamericana haya sido enfocada en Estados Unidos, de todos modos la participación latinoamericana ha existido siempre, paralela- mente a la historia de la Organización de Estados Americanos. También debe tomarse en cuenta el hecho que un gran número de los proyectos mencionados aquí fueron vinculados a diversos esfuerzos por parte de ciudades de Estados Unidos que clamaban el título de Puerta de Entrada de las Américas; un título que hasta hace poco escasas ciudades latinoamericanas jamás habían buscado recla- mar. Esto enfatiza el hecho que la arquitectura panamericana ha sido principal- mente una empresa unidireccional. El Faro de Colón permanece entonces como un ícono importante de su época, cuando Estados Unidos intentó de manera asertiva moldear el movimiento panamericano. Puede sin duda alguna conside- rarse como uno de los íconos más ambiciosos, aunque casi siempre ignorado, de la historia americana. Bibliografía Irigoyen, Adriana. “Frank Lloyd Wright in Brazil”. The Journal of Architecture Vol. 5 N˚2, Royal Institute of British Architects, Londres, verano 2000. / Pan–American Union, Program and rules of the second competition for the selection of an architect for the monumental lighthouse, which the nations of the world will erect in the Dominican Republic to the memory of Christopher Columbus; together with the report of the International jury... Prepared by Albert Kelsey. Pan–American Union, 1930. / Roorda, Eric Paul. “The cult of the airplane among U.S. military men and dominicans during the U.S. occu- pation and the Trujillo regime”. En Gilbert, M. Joseph, et al. (eds.). Close encounters of empire: writing the cultural history of U.S.–Latin American relations. Duke University Press, Durham, 1998. / Waldheim, Charles y Santos–Munné, Marilí. “Landscape as a monument: J.L. Gleave and the Columbus Lighthouse Competition”. Archi- vos de Arquitectura Antillana Vol. 3 N˚7, Caribbean Architectural Records, Santo Domingo, mayo 1998. used mechanical parts to symbolize progress and freedom of expres- sion, resulting in the most dynamic lighthouse forms. The rotational motion integrated into Melnikov’s scheme, for example, occurred in dif- ferent time cycles along the vertical dimension. With this, he relied on time and place to illustrate the never-ending progress that the Western Hemisphere represented for the Russian provocateur. The red and blue rotating fi ns captured the perpetual dance between North and South America, while two balanced conical structures symbolized the New World and the Old World. While many of the non-Latin American and U.S. entries were successful in abstracting the Western Hemisphere’s future and past, the Latin American entries were most successful in intel- ligently introducing pre-Columbian references. In Carvalho’s scheme, pre-Columbian motifs were used to bring historical specifi city to central components of his design. Likewise, Obregón Santacilia’s proposed indig- enous historical narrative was extensive and informed. One can contrast this with Gleave’s approach, which refl ected great naiveté. In fact, when the monument was fi nally built in 1992, the consulting architect, Teófi lo Carbonell, completely eliminated Gleave’s pre-Columbian wall motifs. Gleave’s scheme resembled a Hollywood set design, with sombrero tout- ing scale fi gurines added to his fi nal model. It is widely felt that he won fi rst prize because his scheme resonated with Wright’s own Pan-Ameri- can-Californian dreams. In 1992, it was hoped that the monumental lighthouse would catch the eye of an international audience and fi nally bring Santo Domingo the tourism for which it so yearned. One of the main spectacles of the lighthouse was the enormous illuminated cruciform projected onto the sky, a feature that caused regular power outages in a city with an already stressed economy. In the end, this and other controversies drew most of the attention. More criticism arose with the erection of a wall meant to hide nearby poverty-stricken neighborhoods christened the Wall of Shame by the press. Furthermore, the United States did not send a representative to the inauguration; protests from Native-American communities had brought another layer of controversy to the celebra- tion of the New World’s discovery. It may be seen as a curious observa- tion that though Pan-American architectural activity has been centered in the United States, Latin American participation has always occurred, a case clearly made with the history of the Organization of American States. One should note, as well, how many of the projects mentioned here were linked to the efforts of numerous U.S. cities claiming the title of Gateway of the Americas, a title that until recently few Latin American cities ever attempted to claim. This attests to the fact that Pan-American architecture has largely been a uni-directional enterprise. The Columbus Lighthouse thus remains an important icon from this period, when the U.S. assertively tried to shape the Pan-American movement, and it can certainly be called one of the most ambitious, though nearly always over- looked, icons of American history. Bibliography Irigoyen, Adriana. “Frank Lloyd Wright in Brazil”. The Journal of Architecture Vol. 5 N˚2, Royal Institute of British Architects, London, summer 2000. / Pan–American Union, Program and rules of the second competition for the selection of an architect for the monumental lighthouse, which the nations of the world will erect in the Dominican Republic to the memory of Christopher Columbus; together with the report of the International jury... Prepared by Albert Kelsey. Pan–American Union, 1930. / Roorda, Eric Paul. “The cult of the airplane among U.S. military men and dominicans during the U.S. occu- pation and the Trujillo regime”. In Gilbert, M. Joseph, et al. (eds.). Close encounters of empire: writing the cultural history of U.S.–Latin American relations. Duke University Press, Durham, 1998. / Waldheim, Charles and Santos–Munné, Marilí. “Land- scape as a monument: J.L. Gleave and the Columbus Lighthouse Competition”. Archivos de Arquitectura Antillana Vol. 3 N˚7, Caribbean Architectural Records, Santo Domingo, May 1998. 67Lecturas Readings 87 libertad de expresión, dando como resultado los faros más dinámicos. El movi- miento rotacional integrado del proyecto de Melnikov por ejemplo, ocurría en ciclos de tiempo diferentes a través de la dimensión vertical. Con esto, dependía del tiempo y del lugar para ilustrar el progreso sin fi n que el hemisferio occi- dental representaba para el ruso provocador. Las aletas giratorias rojas y azules simbolizaban el baile perpetuo entre Norte y Sudamérica, mientras que dos estructuras cónicas y balanceadas simbolizaban al Nuevo y Viejo Mundo. Si bien, muchas de las propuestas recibidas de fuera de América Latina y Estados Unidos fueron exitosas en abstraer el futuro y el pasado del hemisferio occidental, las postulaciones latinoamericanas fueron más exitosas en introducir de manera inteligente las referencias precolombinas. En el proyecto de Carvalho, los moti- vos precolombinos fueron utilizados para aportar especifi cidad histórica a los componentes centrales de su proyecto. De igual manera, la narrativa histórica indígena propuesta por Obregón Santacilia fue extensa y bien informada. Se puede contrastar esto con la aproximación de Gleave, la cual refl eja una gran ingenuidad. De hecho, cuando el monumento fue fi nalmente cons- truido en 1992, el arquitecto consultor Teófi lo Carbonell eliminó por com- pleto los motivos murales precolombinos de Gleave. El esquema de Gleave se asemejaba a un escenario de Hollywood, con fi guras a escala y con som- brero que fueron agregadas a su maqueta fi nal. Es ampliamente reconocido que ganó el primer lugar porque su iniciativa se asimilaba con los propios sueños panamericanos californianos de Wright. En 1992, se esperaba que este faro de proporciones monumentales llamara la atención del público internacional y que fi nalmente atrajera el tan anhelado turismo a Santo Domingo. Uno de los espectáculos principales del faro fue su enorme crucifi jo iluminado, el cual se proyectaba al cielo. Este factor causaba frecuentes cortes de luz en una ciudad que ya se caracterizaba por una econo- mía tensa. Esa y otras controversias fueron las que más llamaron la atención. También surgieron críticas a raíz de la construcción de un muro que buscaba ocultar los barrios pobres aledaños. Dicho muro se bautizó como El muro de la ver- güenza por la prensa. Asimismo, Estados Unidos no envió a ningún representante güenza por la prensa. Asimismo, Estados Unidos no envió a ningún representante güenza a la inauguración y surgieron protestas por parte de las comunidades nativas americanas, que contribuyeron con otro elemento nuevo a la controversia de la celebración del descubrimiento del Nuevo Mundo. Puede resultar curioso que la descubrimiento del Nuevo Mundo. Puede resultar curioso que la descubrimiento actividad arquitectónica panamericana haya sido enfocada en Estados Unidos, de todos modos la participación latinoamericana ha existido siempre, paralela- mente a la historia de la Organización de Estados Americanos. También debe tomarse en cuenta el hecho que un gran número de los proyectos mencionados aquí fueron vinculados a diversos esfuerzos por parte de ciudades de Estados Unidos que clamaban el título de Puerta de Entrada de las Américas; un título que hasta hace poco escasas ciudades latinoamericanas jamás habían buscado recla- mar. Esto enfatiza el hecho que la arquitectura panamericana ha sido principal- mente una empresa unidireccional. El Faro de Colón permanece entonces como un ícono importante de su época, cuando Estados Unidos intentó de manera asertiva moldear el movimiento panamericano. Puede sin duda alguna conside- rarse como uno de los íconos más ambiciosos, aunque casi siempre ignorado, de la historia americana. Bibliografía Irigoyen, Adriana. “Frank Lloyd Wright in Brazil”. The Journal of Architecture Vol. 5 The Journal of Architecture Vol. 5 The Journal of Architecture N˚2, Royal Institute of British Architects, Londres, verano 2000. / Pan–American Union, Program and rules of the second competition for the selection of an architect for the monumental lighthouse, which the nations of the world will erect in the Dominican Republic to the memory of Christopher Columbus; together with the report of the International jury... Prepared by Albert Kelsey. Pan–American Union, 1930. / Roorda, Eric Paul. “The cult of the airplane among U.S. military men and dominicans during the U.S. occu- pation and the Trujillo regime”. En Gilbert, M. Joseph, et al. (eds.). Close encounters of empire: writing the cultural history of U.S.–Latin American relations. Duke University Press, Durham, 1998. / Waldheim, Charles y Santos–Munné, Marilí. “Landscape as a monument: J.L. Gleave and the Columbus Lighthouse Competition”. Archi- vos de Arquitectura Antillana Vol. 3 N˚7, Caribbean Architectural Records, Santo vos de Arquitectura Antillana Vol. 3 N˚7, Caribbean Architectural Records, Santo vos de Arquitectura Antillana Domingo, mayo 1998. used mechanical parts to symbolize progress and freedom of expres- sion, resulting in the most dynamic lighthouse forms. The rotational motion integrated into Melnikov’s scheme, for example, occurred in dif- ferent time cycles along the vertical dimension. With this, he relied on time and place to illustrate the never-ending progress that the Western Hemisphere represented for the Russian provocateur. The red and blue rotating fi ns captured the perpetual dance between North and South America, while two balanced conical structures symbolized the New World and the Old World. While many of the non-Latin American and U.S. entries were successful in abstracting the Western Hemisphere’s future and past, the Latin American entries were most successful in intel- ligently introducing pre-Columbian references. In Carvalho’s scheme, pre-Columbian motifs were used to bring historical specifi city to central components of his design. Likewise, Obregón Santacilia’s proposed indig- enous historical narrative was extensive and informed. One can contrast this with Gleave’s approach, which refl ected great naiveté. In fact, when the monument was fi nally built in 1992, the consulting architect, Teófi lo Carbonell, completely eliminated Gleave’s pre-Columbian wall motifs. Gleave’s scheme resembled a Hollywood set design, with sombrero tout- ing scale fi gurines added to his fi nal model. It is widely felt that he won fi rst prize because his scheme resonated with Wright’s own Pan-Ameri- can-Californian dreams. In 1992, it was hoped that the monumental lighthouse would catch the eye of an international audience and fi nally bring Santo Domingo the tourism for which it so yearned. One of the main spectacles of the lighthouse was the enormous illuminated cruciform projected onto the sky, a feature that caused regular power outages in a city with an already stressed economy. In the end, this and other controversies drew most of the attention. More criticism arose with the erection of a wall meant to hide nearby poverty-stricken neighborhoods christened the Wall of Shame by the press. Furthermore, the United States did not send a representative to the inauguration; protests from Native-American communities had brought another layer of controversy to the celebra- tion of the New World’s discovery. It may be seen as a curious observa- tion that though Pan-American architectural activity has been centered in the United States, Latin American participation has always occurred, a case clearly made with the history of the Organization of American States. One should note, as well, how many of the projects mentioned here were linked to the efforts of numerous U.S. cities claiming the title of Gateway of the Americas, a title that until recently few Latin American cities ever attempted to claim. This attests to the fact that Pan-American architecture has largely been a uni-directional enterprise. The Columbus Lighthouse thus remains an important icon from this period, when the U.S. assertively tried to shape the Pan-American movement, and it can certainly be called one of the most ambitious, though nearly always over- looked, icons of American history. Bibliography Irigoyen, Adriana. “Frank Lloyd Wright in Brazil”. The Journal of Architecture Vol. 5 The Journal of Architecture Vol. 5 The Journal of Architecture N˚2, Royal Institute of British Architects, London, summer 2000. / Pan–American Union, Program and rules of the second competition for the selection of an architect for the monumental lighthouse, which the nations of the world will erect in the Dominican Republic to the memory of Christopher Columbus; together with the report of the International jury... Prepared by Albert Kelsey. Pan–American Union, 1930. / Roorda, Eric Paul. “The cult of the airplane among U.S. military men and dominicans during the U.S. occu- pation and the Trujillo regime”. In Gilbert, M. Joseph, et al. (eds.). Close encounters of empire: writing the cultural history of U.S.–Latin American relations. Duke University Press, Durham, 1998. / Waldheim, Charles and Santos–Munné, Marilí. “Land- scape as a monument: J.L. Gleave and the Columbus Lighthouse Competition”. Archivos de Arquitectura Antillana Vol. 3 N˚7, Caribbean Architectural Records, Santo Archivos de Arquitectura Antillana Vol. 3 N˚7, Caribbean Architectural Records, Santo Archivos de Arquitectura Antillana Domingo, May 1998. 67Lecturas Readings 87 
work_dfmbuusxdfakbf5ummfl42rwiq	----	58n3.pdf Visualizing Imperium: The Virgin of the Seafarers and Spain’s Self-Image in the Early Sixteenth Century* by C A R L A R A H N P H I L L I P S The Virgin of the Seafarers (1531–36) by Alejo Fernández was designed as the central panel of an altarpiece for the chapel in the House of Trade’s Hall of Audiences in Seville. Little attention has been paid to the central panel and almost none to the four side panels, yet they are crucial to our understanding of how the Spanish monarchy defined its mission overseas. The iconography of the altarpiece as a whole made visible Spain’s self-image as the creator and guarantor of a militant, evangelical Christian empire, dedicated to spreading the Gospel as well as fomenting trade and colonization. The year 2003 marked the five-hundredth anniversary of the foundingof the Casa de Contratación, or House of Trade, in Seville. Barely a decade after Christopher Columbus (ca. 1451–1506) returned from his first voyage across the Ocean Sea, and long before any European knew the full extent of the lands that he and others were exploring for the Spanish crown, Queen Isabel (1451–1504) and King Ferdinand (1452–1516) moved to assert royal control over whatever those expeditions might find. They gave the House of Trade jurisdiction over commerce, as the name implied, and also over shipbuilding, navigation, map- and instrument- making, and migration. In effect, the royal bureaucracy would govern the new lands in the name of the crown, while the House of Trade would oversee virtually every official contact between Europe and the embryonic Spanish Empire.1 To commemorate the quincentenary, the Spanish government spon- sored an exhibition in Seville from December 2003 to February 2004. *I explored some of the ideas in this essay in a paper presented at the Sixteenth Century Studies Conference held in San Francisco in October 1995, and in an informal lecture series in the Department of Art History at the University of Minnesota in May 1996. Patricia J. Kulishek, then a graduate student at the University of Minnesota, provided valuable assis- tance in the early stages of my research. I am also grateful to the Minnesota Humanities Commission for a “Work in Progress” grant that funded a research trip to Mad rid and Seville in the summer of 2003, and to the John Carter Brown Library, where I was Andrew W. Mellon Senior Fellow in the fall of 2003. The perceptive and expert comments of Judith Berg Sobréand the anonymous RQ reader helped me greatly in the final revisions of the text. 1For an overview of the activities of the House of Trade in its first decade of existence, see Mena-García. Renaissance Quarterly 58 (2005): 815–856 [ 815 ] Installed in the handsome Casa de la Provincia, the exhibition included maps and portraits, artifacts and ship models, samples of medicinal plants, and the like — all evoking the exchanges overseen by the House of Trade. For the cover of the exhibition’s catalogue, the organizers chose the paint- ing now known as The Virgin of the Seafarers, although it did not appear with the rest of the exhibition. Instead, it remained nearby in the Sala de Audiencias (Hall of Audiences) for the House of Trade’s original quarters, inside the Reales Alcázares (Royal Fortresses). Sometime before 1536, of- ficials at the House of Trade commissioned the painting as the central panel of an altarpiece that they installed in the Hall of Audiences, so that the room could also serve as a chapel. Scholars date the painting to 1531– 36 and now attribute it to Alejo Fernández (ca.1470/75–1546). Flanking the Virgin are panels depicting St. Sebastian, St. James the Great (called Santiago in Spain), St. Elmo, and St. John the Evangelist. These panels are thought to be the work of someone other than Alejo, perhaps a member of his workshop or another known artist.2 When Josephe de Veitia Linaje wrote his famous analysis of Spain’s Atlantic Fleet system in 1672, the chapel of the House of Trade still “formed in effect a single body with the place destined as the Hall of Audiences,” presumably with its altarpiece still intact (fig. 1).3 Many functions of Spain’s Atlantic trade moved to Cádiz in 1717, along with its merchants, leaving the sixteenth-century Casa Lonja de Mercaderes (Merchants’ Exchange) near the Alcázares largely unused. From 1785 onward the Casa Lonja became the General Archive of the Indies, housing the millions of documents produced by Spain’s imperial bureau- cracy and the House of Trade.4 The altarpiece in the House of Trade’s sixteenth-century chapel and Hall of Audiences did not make the move to the Casa Lonja, and at some point it was disassembled. When Narciso Sentenach y Cabañas wrote about the art and architecture of Seville in 1885, he mentioned only “some panels representing St. Sebastian and other saints in the chapel of the Alcázar,” but he did not associate them with an altarpiece, nor with the painting now known as The Virgin of the Seafarers.5 2For the various attributions, see Martín Cubero, 51, and the items referred to in the bibliography, 59–66. This sixty-six-page pamphlet provides a useful listing of scholarship about Alejo as of 1988, along with document transcriptions, a bibliography, and a catalogue of his work. Since then, the authors of general surveys have adopted the standard consensus, but nothing new has appeared. 3Veitia Linaje, 284. All translations, unless otherwise noted, are mine. 4For an overview of the history and holdings of the Archive of the Indies, see the illustrated Archivo General de Indias. 5Sentenach, 33. R E N A I S S A N C E Q U A R T E R L Y816 Seven years after Sentenach wrote, Spain celebrated the four-hundredth anniversary of Columbus’s first voyage across the Atlantic and the begin- ning of the Spanish Empire, which by 1892 existed only as a few scattered pieces of territory and a widespread cultural presence in its former domin- ions. After a brief war with the United States of America in 1898, Spain lost the last remnants of its empire in America and Asia, prompting Spanish intellectuals to make an anguished reexamination of Spain’s national iden- tity and goals. Some analyses questioned the value of empire altogether and blamed Spain’s imperial career for many of the national failings they per- ceived in their own times. Other writers countered that criticism with a defense of Spain’s imperial legacy, among them Manuel de la Puente y Olea, who in 1900 published a lengthy study of the geographical works of the House of Trade.6 Three years later Manuel Ruiz del Solar y Ozuriaga wrote a brief but very important pamphlet for the four-hundredth anniversary 6Puente y Olea. FIGURE 1. Alejo Fernández et al. Altarpiece of The Virgin of the Seafarers, 1531– 36. Seville, Reales Alcázares, Hall of Audiences. Copyright Patrimonio Nacional. V I S U A L I Z I N G I M P E R I U M 817 of the House of Trade.7 In the pamphlet Ruiz del Solar relates how he had come across mention of an altarpiece of the Virgin and four saints — St. John, St. James the Great, St. Sebastian, and St. Elmo — in a 1536 inventory of the House of Trade’s headquarters in the Alcázar.8 Recognizing that four paintings still hanging in the Hall of Audiences depicted the four saints named in the inventory, Ruiz del Solar located the central panel with The Virgin of the Seafarers hanging elsewhere. When the director of the Archive of the Indies, José Gestoso y Pérez, examined the panel, he wrote Ruiz del Solar that it resembled images of the Virgin by several artists who worked in Seville, but especially those by Alejo Fernández and Pedro Fernández de Guadalupe.9 The art historian Jiménez Fernández attributed it to Alejo in 1922, and later scholars have confirmed that judgment.10 Although modern scholars rarely mention Ruiz del Solar, thanks to his discovery the scattered elements of the altarpiece were eventually reunited and restored to their original place in the Hall of Audiences. In that setting they are well placed for the visual enjoyment of the millions of tourists who visit Seville every year, but they remain isolated from their full context and from scholars trying to understand the evolution of Spain’s empire in the Americas.11 To aid in that understanding, this essay will discuss the historical context and meaning of the altarpiece commissioned by the House of Trade in the early 1530s, when Spain was assimilating lessons from the first generation of its overseas experience and situating that experience within its self-image as the head of a global empire. The context of the altarpiece includes several elements: the milieu of the artists who created it; the audience to whom it was addressed; and the meaning and significance of the composition and its iconography. In examining that context, the dis- cussion that follows will rely upon several assumptions: 1) that each part of 7Ruiz del Solar y Ozuriaga. 8Ibid., provides the citation AGI, 40–6-1/2. The modern citation is AGI, Contratacion, 4879. 9Ibid., 6–8. 10Martín Cubero, 63, cites Jiménez Fernández, but the article could not be located for this study. 11Generations of modern scholars working on colonial Spanish America, transatlantic trade, and the competition for empire have relied heavily on the records at the Archive of the Indies, climbing the magnificent rose-colored marble staircase to the archive’s reading rooms. In 2003, as Spain celebrated the five-hundredth anniversary of the foundation of the House of Trade, the Casa Lonja was undergoing another transformation to better serve public needs. The reading rooms and many of the documents from the archive have been moved across the street to another remodeled historic building (the Casa de la Cilla) that provides better facilities for scholars. R E N A I S S A N C E Q U A R T E R L Y818 the altarpiece was meant to communicate ideas and aspirations that drew from Spanish history and religious beliefs at both the local and national levels; 2) that together, the five parts of the altarpiece defined in visual terms what officials at the House of Trade understood and wished to convey about the meaning and purpose of the empire; and 3) that they commissioned the work with the expectation that those who viewed the altarpiece would understand its meaning in the most direct and unambigu- ous terms. The discussion will first examine the role that visual imagery played in communicating substance and feelings in early sixteenth-century Spain. Then it will examine the background and career of Alejo Fernández in Seville, one of the most dynamic cities in Europe, the gateway to the Spanish Empire. Finally, it will examine the five parts of the altarpiece: the central panel of the Virgin, and the four saints who surround her. As to the importance of visual communication, the gradual triumph of literacy and of the written and printed word has become so intertwined with the history of modernity that historians have often tended to disparage verbal and visual communication in early modern times as the inferior tools of uneducated and unsophisticated people. Recent historians are discover- ing the error of that approach. Fernando Bouza, for example, has brilliantly evoked the mental outlook of early modern Spain, reminding us that a person’s voice and speech were considered true indications of their char- acter, and that rhetorical skills, particularly those that seemed natural rather than tutored, were highly valued among the social and political elite. In the opinion of many Spaniards and Portuguese at the time, the primary value of writing lay in its ability to recall the human voice or an absent loved one, and as an aid to memory in general.12 Visual images also served as an aid to memory, useful for preparing the mind for meditation and prayer. Michael Baxandall’s analysis of the reli- gious function of visual images in fifteenth-century Italy is still one of the best discussions of its kind, and is equally applicable to Spain.13 Even as print culture spread in early modern Spain, visual imagery remained strong, reinforced by the focus on interior prayer advocated by sixteenth-century Spanish religious figures such as Teresa of Ávila (1515–82) and Ignatius Loyola (1491–1556). Some Iberian writers, disparaging their own written art, considered visual imagery the most authentic form of communication, because it reached the viewer directly and was therefore a truer expression of meaning than spoken or written words. Moreover, visual imagery could 12Bouza Alvarez, 2000, 24–31, 42–47; Bouza Alvarez, 2004, is the English translation. 13Baxandall, 1972, 40–71. For the power that images were believed to hold for good or for evil, see also Scribner. V I S U A L I Z I N G I M P E R I U M 819 reach anyone with eyes to see, whether or not they were literate or even spoke the same language as the artist. This characteristic helps to explain the importance of visual imagery for Catholic religious education in Europe and in missionary efforts abroad.14 Evangelization held a prominent place among the goals of the mon- archy from the earliest days of Spain’s overseas exploration, but the House of Trade’s first quarters did not include space for a chapel. To remedy that lack, the young Emperor Charles V (1500–58) issued an order in November of 1526 that the officials create one. Although he issued the order in Granada, he may have discussed the idea with officials in Seville earlier in the year, during the several months he resided in the city for his wedding.15 Typically, patrons set the theme for a commissioned work of art, and the artist decided how best to portray it. How did officials at the House of Trade decide on the images to be included in the altarpiece they commissioned? What meaning did they want those images to convey? Although there is no extant record of what they had in mind, we can be sure that they gave the matter serious thought. Everything we know about the relations between patrons and artists in the sixteenth century points in this direction. There may have been disagreement among the body of officials, so that the final commission represented a set of compromises rather than a singular vision. Individuals may have been replaced or changed their minds, so that the tenor of the discussion shifted. Presum- ably Alejo and other artists would have been part of the discussions at some point, and the officials at the House of Trade would have had to approve the design before Alejo and his colleagues set about creating it. Presumably also, the officials would have checked on the artists’ progress from time to time, perhaps suggesting additions or changes as the altarpiece took shape. The ability to maintain a constructive relationship with patrons was one mark of a successful artist, and Alejo Fernández was one of the most famous and successful artists of his generation. Beyond that, very little was known about his life until recently. In the late nineteenth century, art historians such as Narciso Sentenach y Cabañas usually assumed that he was Spanish, judging from his name, his long career in Spain, and his use of characteristic Spanish faces in his paintings. Far from being interested only in things Spanish, however, Sentenach was the first to argue that Northern European models had a great influence on Spanish Renaissance 14For example, see Buser, based upon the famous set of iconographic prescriptions by Gerónimo Nadal (1507–80) known as the Evangelicae historiae imagines (Antwerp, 1595); a modern Spanish edition is Imágenes de la historia evangélica. 15Ruiz del Solar, 15. R E N A I S S A N C E Q U A R T E R L Y820 composition.16 He also credited Alejo with introducing elements from the Italian Renaissance into the dominant Hispano-Flemish style of his time, notably by the use of Italianate architectural forms and a greater naturalism in face and gesture.17 Ironically, the triumph of Italian Renaissance style in southern Spain would make The Virgin of the Seafarers appear somewhat old-fashioned compared to the dominant style of the early 1530s, when it was painted. By the mid-twentieth century scholars had found documentary evi- dence that altered many older views about Alejo.18 Diego Angulo Iñí guez devoted his career to studying the Spanish Renaissance, particularly its debt to Northern European artists and artistic styles.19 Angulo Iñí guez came to agree with those who argued that Alejo Fernández, despite his name, was of Northern European ancestry, a man who described himself in one document as “Master Alexos, German painter.” It is not clear if Alejo’s immigrant father Leonisio/Dionisio arrived in Spain as a widower with Alejo in tow, or if the boy was born in Spain to Leonisio and his Spanish wife, Juana Garrido. In any case, there is general agreement that he was born ca. 1470–75. Alejo first appears in the records in Córdoba in 1496, when he married María Fernández, the daughter of Pedro Fernández, a prominent Cordoban painter. José Camón Aznar speculated that Pedro Fernández was Alejo’s teacher as well as his father-in-law.20 That Alejo’s brother, Jorge, also used the surname Fernández suggests that they were both trained in Pedro Fernández’s workshop in Córdoba. Angulo and others agree that Alejo adopted his wife’s surname, as his own father had done when he married Juana Garrido.21 Such relationships and naming practices would not have been unusual in late fifteenth-century Spain. Whether or not Alejo ever visited Italy as part of his professional training remains unclear. He could have adopted Italianate architectural elements and other features of Renaissance style during a visit to Italy, or he could have modeled his own work on engravings and paintings that he saw in Spain or that were described to him. There is no doubt, however, 16Silva Maroto. 17Sentenach, 29–31. 18Martín Cubero, 15–33, includes the full texts of many of the documents. 19Angulo Iñí guez, 1925, is an important early work on this theme. 20Camón Aznar, 363. 21Angulo Iñí guez, 1954, 128–29; Angulo Iñí guez, 1946, 7, raises the possibility that Alejo was German, though the author does not appear to be persuaded. Confusion about Alejo’s ancestry remains, even in recent surveys of Spanish art history such as Avila et al., 204, which has Alejo arriving with his widowed immigrant father, who first married María Fernández and, later, Juana Garrido. V I S U A L I Z I N G I M P E R I U M 821 that he fully understood the new style, and adopted its elements as he and his patrons saw fit. Nor is there any doubt that by the first decade of the sixteenth century Alejo had reached maturity as an artist, already well known in Córdoba and elsewhere in Andalusia. Alejo’s brother Jorge was a sculptor who worked on the Cathedral of Seville as early as 1504–05. In 1508 both Jorge and Alejo moved to Seville to add their talents to the massive retable for the main altar, which would become one of the largest in Christendom. According to Jesús Miguel Palomero Páramo, Alejo had responsibility for planning the layout for the second major phase of work, which lasted from 1508 to 1512.22 The German Pieter Dancart had designed the first phase, which commenced in 1480, and Alejo and Jorge may have been chosen for the work because their Northern European background would help maintain stylistic continuity in the design.23 Based on stylistic and documentary evidence about the retable, modern scholars attribute most of the forty-four scenes in the completed structure to Jorge and Alejo, the former sculpting and the latter painting and gilding the figures and their framework.24 Near the beginning of his residence in Seville, Alejo also produced a large Epiphany, one of the four paintings that remain of the seven he completed for the cathedral (fig. 2). The composition of the scene owed much to earlier models, including the engravings of Martin Schongauer (which were well known and admired in Spain), but Alejo’s magnificent portraits of the king kneel- ing in the foreground and St. Joseph in the background give the painting its distinctive character.25 One of the most intense phases of the construction and decoration of the Cathedral occurred in 1525–26, as a large group of artists and craftsmen worked to complete an expansion of the area around the main altar in time for the wedding of King Charles I (Charles V of the Holy Roman Empire) and Isabel of Portugal (1503–39).26 Although the expansion was not quite finished in time for the wedding, the city of Seville exerted every effort to create a lavish setting for their young emperor-king. Alejo, as well as other prominent artists and craftsmen, worked on the seven triumphal arches for the emperor’s official entry on 11 March 1526. As the royal 22Palomero Páramo, 94. 23Morón de Castro, 134. 24Palomero Páramo, 94–96. 25Angulo Iñí guez, 1946, 13–14. Alejo’s Epiphany currently hangs in the Sacristía Alta attached to the Cathedral. 26Hernández Díaz, 49–50. R E N A I S S A N C E Q U A R T E R L Y822 FIGURE 2. Alejo Fernández. Tabla de la Epiphanía, 1508–09. Seville, Cathedral. Copyright Cabildo Catedral de Sevilla. V I S U A L I Z I N G I M P E R I U M 823 chronicler Prudencio de Sandoval later described the scene, the arches were located at intervals along the route from the Macarena Gate at the northern end of the city to the Cathedral in the center and celebrated the qualities that defined the perfect Christian prince. The first five arches — devoted to Prudence, Fortitude, Clemency, Peace, and Justice — showed the em- peror demonstrating the celebrated virtues, together with other sculptures, allegorical emblems, and Latin verses. The three Christian virtues of Faith, Hope, and Charity occupied the sixth arch by themselves, without a rep- resentation of the emperor.27 The seventh arch, in front of the cathedral, represented Glory — the presumed reward for exercising the qualities extolled in the first six. The seventh arch was commissioned jointly by Pedro Pinelo, on behalf of the Cathedral chapter, and the notary Pedro Coronado, on behalf of the Ayuntamiento (city council), presumably indicating a vision shared by Seville’s religious and secular leadership.28 In one part of the arch, Fame heralded the arrival of Charles and Isabel, while Glory crowned each of them. In another scene, Charles sat atop Fortune’s wheel, thrusting his sword into the axle to hold it in place. Representatives of his various domains — Spaniards, Italians, Germans, Flemings, and American Indians (representing, by extension, all the peoples of the world) — also appeared on the arch, urging him in a Latin caption to “Conquer, reign, and exercise imperium” over them. In case spectators might miss the point, at the top of the arch all the Virtues crowned Charles, who stood with a globe beneath his feet, and the Latin inscription, “Here reigns Charles over all the globe / And with reason he has subjected the world.”29 The image of Charles and his consort holding dominion over all the world could not have been clearer. The triumphal arches projected an ideal vision rather than reality. Charles was only twenty-six years old in 1526, largely untested, and his power and the religious unity of his empire were both in doubt at the time. Charles had presided over the Diet of Wörms in 1521 as the defender of a unified Christian community against a challenge from Martin Luther (1483–1546), and he would struggle through the 1520s and 1530s to hold that community together. In the truism of the time, Charles and his advisers held a vision of “peace among Christians and war against the infidel,” the latter meaning the Ottoman Turks and their Muslim client states along the North African littoral. The Islamic powers challenged the 27Sandoval, 81:163–65. 28Buendía and Sureda, 155. 29Sandoval, 81:166. R E N A I S S A N C E Q U A R T E R L Y824 Habsburgs by land in Central Europe and by sea in the Mediterranean and the Ocean Sea (Atlantic Ocean). Corsairs from North Africa regularly launched raids on the Iberian coasts in both the Mediterranean and the Atlantic, pillaging and kidnapping people to hold for ransom. The coasts of Andalusia on both sides of the Strait of Gibraltar were particularly vulnerable to raids from North Africa, which is one of the reasons that the inland city of Seville remained the official gateway to trade with Spain’s American empire in the sixteenth century. Charles’s European rivals included Roman Catholic powers as well as Protestant ones, which added to the pressures that the young emperor faced. War with France and the Ottomans dominated his concerns through the 1520s and 1530s, along with a series of religious conclaves designed to heal the breach opened up by Martin Luther’s challenge in 1517. Although Charles and his ministers were able to bring most of the Christian states together to defend against Ottoman expansion in Eastern Europe, “peace among Christians” remained an elusive ideal. Even worse, the “war against the infidel” would suffer a major blow in 1535, when France signed an alliance with the Ottomans that greatly enhanced their striking power in the Western Mediterranean. This alliance — the scandal of Christendom at the time — did not last long, but it undoubtedly added to the sense in Spain that Catholic Christianity was under siege from all sides. This was the Old World context in which Alejo Fernández would paint his altarpiece for the House of Trade in the early 1530s. The New World context provided a much more hopeful scenario, both for the political power of the Iberian lands under Charles Habsburg, and for the potential addition of untold numbers of souls to the Catholic Christian fold. The first generation of Spanish expeditions across the Atlantic — those led by Christopher Columbus and the dozen or so other explorers authorized by the crown — often transported friars and priests as well as soldiers, adventurers, and colonists. The next generation of expe- ditions brought vast lands and their peoples under the aegis of Charles Habsburg as the King of Castile. Hernán Cortés (ca. 1485–1547) con- quered the Aztec Empire of Mexico in the early 1520s, and, although he is remembered primarily as a military figure, he also took quite seriously his responsibility for evangelizing New World peoples. Impressed by the piety and dedication of the first twelve Franciscans to arrive in Mexico in 1524, Cortés wrote the emperor asking for his help in getting papal approval for Franciscans and Dominicans to set up missions and “administer the sac- raments of ordination and confirmation.”30 In his judgment, the monastic 30Ricard, 21. V I S U A L I Z I N G I M P E R I U M 825 orders would be far better spiritual guides for the Indians than secular bishops and priests. Expeditions launched southward from New Spain into Central and South America, and westward into the Pacific Ocean, also included mis- sionaries among their number. In fact, missionaries were the first Europeans to explore a number of areas in the Americas during the 1520s and 1530s. Although the conquest of the Inca Empire of Peru by the Francisco Pizarro (ca. 1471–1541) and his followers can hardly be char- acterized as a missionary effort, they were adept at portraying their actions as part of the expansion of a militant Christianity. The inhabitants of Seville were often the first to hear news about the various conquests in the Americas, and officials at the House of Trade commissioned the altarpiece for their chapel as they worked to establish control over the often confused, unstable, and unpredictable process of empire building. Although the situation in both Europe and the Americas in 1526 demonstrated that Charles Habsburg had not yet reached the peak of his powers, Alejo Fernández clearly had. Scholars agree that he had formed his own workshop by then and was carrying out commissions for works of art all over Spain. Alejo dominated artistic production in Seville, despite the presence of notable artists such as Cristóbal de Morales and Cristóbal de Cárdenas, whose sister-in-law the recently widowed Alejo married in 1525. At that point he had a considerable fortune in property, cash on hand as earnest money for artistic commissions, and several black and “Indian” slaves to help in his workshop — the latter presumably from Spain’s American empire.31 One of the “Indian” slaves, Juan de Güejar or Guejar, identified in the documents as a legal resident (vecino) of Seville, was evidently a trusted assistant of Alejo’s. In August of 1523 Alejo gave him full power of attorney to collect debts on his behalf all over Andalucía.32 When officials at the House of Trade commissioned an altarpiece for their headquarters a few years later, Alejo Fernández was undoubtedly their city’s best-known artist. They had every right to expect that he would fulfill their collective vision, though it is arguable that an artist of his stature would not expect to be supervised too closely. We cannot know what passed through Alejo’s mind as he settled on a set of themes and laid out his composition, but he would not have taken his responsibility lightly. Art at the time — especially religious art — was supposed to communicate a clear and unambiguous message to the viewer. Its value as a medium of spirituality depended upon the skill of the artist 31Angulo Iñí guez, 1946, 8–9. 32Martín Cubero, 25. R E N A I S S A N C E Q U A R T E R L Y826 in conveying that message. The modern notion that meaning is a personal transaction between a work of art and each individual viewer would have been an alien concept — even a dangerous one — in sixteenth-century Seville, though Spain was not unique in demanding that art follow religious orthodoxy. Ambiguity and personal definitions of the meaning of a work of art could lead to misinterpretation and heresy of one confessional stripe or another, endangering the soul of the viewer. We can assume that Alejo and his potential audience shared a spiritual and temporal milieu, even if the circumstances and reactions to that milieu would differ from one individual to the next. We can also assume that Alejo’s composition was based not only on the personal and profes- sional experience that came from several decades of living and working in Seville, but also on the prevailing norms for the presentation of religious subjects. In trying to see The Virgin of the Seafarers through sixteenth- century eyes, we can hope to recapture a sense of how Spanish officials defined Spain’s colonial mission and how the premier artist in Seville presented that vision to the men and women who visited the House of Trade. The only documentary notice we have about the altarpiece is a brief item in the inventory first noted by Ruiz del Solar. On Sunday, 12 November 1536, an unnamed official made note of the “chambers, build- ings, and objects that each chamber contains in the House of Trade of the Indies of Their Majesties, which resides in this city of Seville.” His inven- tory reads like a verbal tour, beginning with a description of his progress through the principal gateway on the street, then past a massive iron chain defining the space and into the large main patio of the building. Next on the route was “the chapel of the House [of Trade] which is inside in the salon where audiences are held, which is all painted, and in it an altarpiece of Our Lady, and the sides of the altarpiece are painted with the images of St. John and St. James, and St. Sebastian, and St. Elmo; and a grill of painted wood in front of the chapel; and a large font of holy water made of glazed clay; and a large cross and on it a painted [image of the] Crucifixion.”33 33Archivo General de Indias (hereafter AGI), Contratación 4879 B, fols. 4–4v, first noted by Ruiz del Solar, 2. The original text reads: “- yten la capilla de la casa questa dentro en la sala donde se haze abdiencia, questa toda [p]intada, y en ella un retablo de Nra Señora; a los lados estan pintados en el dho retablo [SanJua]n y Santiago y San Sebastian y San Telmo, y una rrexa de palo delante de la capilla pintada; y una pila de agua bendicha de barro vedriada; y una cruz grande y en ella un crucifixo pintado.” The material in brackets represents text transcribed by Ruiz del Solar in 1900, but which is now deteriorated or obscured by the binding. V I S U A L I Z I N G I M P E R I U M 827 The official taking the inventory mentions the center of the altarpiece first — the painting now called The Virgin of the Seafarers — and then her flanking saints, in what was arguably their order of importance. In other words, unconsciously and instinctively, his eyes followed the track that modern cognitive science would predict for viewers of a work of art: from the center to the periphery, and from the most important elements to the least.34 It is not certain that the altarpiece was arranged in 1536 as it is today. Nonetheless, using the current arrangement as a guide, the order in which the official lists the various elements suggests that his eye moved from the Virgin at the center to St. John the Evangelist at the lower right, and then clockwise to St. James the Great at the lower left, St. Sebastian at the upper left, and St. Elmo at the upper right. The discussion of the altarpiece that follows will trace that same trajectory. A very large figure of the Virgin, standing in heaven on a layer of clouds, dominates the central panel (fig. 3). She wears an elegant gown of cream and gold brocade, tightly fitted at the bodice and cinched by a red belt with gold tassels. The gown’s broad funnel sleeves are lined in red and drape over tight wrappings around her wrists and lower arms. Her cloak billows out behind her like a black mainsail, providing a background for the scene and bringing it all under her protection. She stands with her arms open in benediction, the palm of her right hand upturned as if to receive mercy from heaven, and the palm of her left hand upturned but extending downward, as if to convey that mercy to the people gathered around her. Her head inclines gently to her right, and her lowered gaze takes in both the figures beneath her outstretched cloak and the maritime scene beneath them all. Her face is broad and nearly flat, with very little definition to the features and a sweet, bland expression. The image has sometimes been called Our Lady, the Seafarers’ Refuge, to indicate her patronage of all who sail the seas, but more commonly it is known as The Virgin of the Navigators (Virgen de los Navegantes) or The Virgin of the Seafarers (Virgen de los Mareantes), the title preferred here.35 Her pose resembles images of the Virgin of Mercy (Virgen de la Misericordia in Spanish), a beloved medieval symbol of protection that could be shown with or without the Christ child.36 Without the child, she is often depicted as slim and young, not yet as the mother of Christ. In 34Solso, 133–50. I am grateful to Dr. James McIlwain for introducing me to the literature on cognitive science. For a discussion of visual perception by an art historian, see Baxandall, 1972, 29–40; Baxandall, 1985, 1–40. 35Ruiz del Solar, 4, uses the title Nuestra Señora, amparo de los navegantes. 36See the discussion in Shearman, 99–107. R E N A I S S A N C E Q U A R T E R L Y828 FIGURE 3. Alejo Fernández. The Virgin of the Seafarers, 1531–36. Seville: Reales Alcázares, Hall of Audiences. Copyright Patrimonio Nacional. V I S U A L I Z I N G I M P E R I U M 829 German such an image is called a Schutzmantelmadonna (literally, a “protective-cloak-Madonna”), signifying the iconographical importance of the Virgin’s extended, protective cloak. Perhaps the best-known Spanish antecedent to the Virgin in Alejo’s composition is a 1485 painting by Diego de la Cruz, created for the influential monastery of Las Huelgas near Burgos. Called The Virgin of Mercy with the Catholic Kings, the composition shows the Virgin, three times the size of the other figures in the painting, standing in the same plane alongside them. Her cloak shelters the abbess and some nuns from Las Huelgas on the right side of the composition and on the left the royal family — Queen Isabel of Castile, King Ferdinand of Aragon, and three children — plus a cardinal. Whether or not Alejo knew Diego de la Cruz’s painting, they both used the traditional iconography of an extended cloak to depict the Virgin’s protective powers, which explains why modern scholars generally interpret The Virgin of the Seafarers as a manifestation of the Virgin of Mercy. Yet Alejo’s rendition also suggests another image with particular reso- nance in Seville: the sculpted image of the Virgin of the Kings, patroness of the city. Legend has it that in 1248 King Ferdinand III (1198–1252) carried an image of this Virgin into the battle against the Muslims that regained Seville for the Christian side. In the words of Susan Verdi Webster, the image served the citizens of Seville “as a visual symbol of their liberation from the Moors and their devotion to Christianity and the Virgin.”37 The Virgin of the Kings occupies the place of honor in the Royal Chapel of the Cathedral of Seville, which contains the body of Ferdinand III. As with many other late medieval sculptures, her face was “very flatly modeled, and the features . . . primarily defined by polychromy.”38 Today, seated with the Christ child on her lap and usually dressed in a cone-shaped gown and standard head-covering, there is little to differentiate her from many other images of the Virgin, despite her historical importance. In the sixteenth century, by contrast, her distinctive appearance in procession inspired a sense of wonder among the faithful, above all because she moved. The Virgin of the Kings was one of the first religious images in Spain designed as an articulated framework, with only the head, hands, and feet sculpted and painted. The image of the Christ child, added later, was similarly constructed. Beneath her gown, an array of joints, cables, and pulleys made the image moveable. In the words of an early seventeenth- century abbot, “from the chair she can be made to stand upright, because the whole body is devised with an artifice such that [it seems] a human 37Webster, 77–78. 38Ibid., 79. R E N A I S S A N C E Q U A R T E R L Y830 body stands before you, with all the parts controlled by clothing that is tightly fitted to the body, so that they [the parts of the body] never come out of adjustment.”39 Fully erect, she stood nearly six feet tall and could be made to move her head, arms, and torso in ritual bows when the occasion demanded — actions that struck her devotees with awe. Her image was carried in procession on many important occasions, for example in August of 1532, when virtually the whole municipal and religious establishment of Seville took to the streets with the Virgin of the Kings to pray for a victory of the forces of Charles V against the Ottoman Turks. In November of that same year they repeated the ritual in thanks that the emperor’s forces had broken the Turkish siege of Vienna.40 The tightly fitted bodice and inner sleeves of the Virgin’s costume in Alejo’s painting, together with the character of her face and the attitude of her head and hands, is consistent with the sixteenth-century appearance of the standing Virgin of the Kings. Another similar detail is the hair. The Virgin in Alejo’s painting has bright golden ringlets that stand out against her black cloak. The hair for the Virgin of the Kings was originally made of “fine cords formed from strands of twisted silk covered with golden shafts and attached to the skull with very thin nails.”41 Although most of the golden shafts have long since worn away, enough of the silken tresses remain to suggest how they would once have appeared. A fitted bodice and golden hair are not attributes unique to the Virgin of the Kings, but they are unusual compared to most images of the Virgin associated with Seville. Given Alejo’s long residence in the city and his close association with its Cathedral, there is no question that he was familiar with the Virgin of the Kings, her attributes, and her significance for the citizenry as a symbol of victory against the infidel. This does not prove that Alejo consciously borrowed attributes of this image for his Virgin of the Seafarers, but the similarities are nonetheless striking and would have reinforced the relation- ship between the city of Seville and the success of new crusades across the ocean. Most of the attention to Alejo’s painting has concentrated on the figures gathered in two groups in the foreground beside the Virgin. Schol- ars have assumed that the distinctive portraits represented famous persons from the early decades of Spain’s overseas exploration, and there is no reason to question that assumption. Alejo gained fame for his naturalistic portraits, and he could have seen virtually everyone of importance in 39Ibid., 80, quoting Alonso Sánchez Gordillo (1561–1644). 40Carrero Rodríguez, 83–84. 41Ibid., 31. V I S U A L I Z I N G I M P E R I U M 831 Spanish exploration — from royalty to explorers and bureaucrats — either as they passed through Córdoba, where the painter lived until 1508, or in Seville, where he lived from 1508 until his death early in 1546.42 Presum- ably, many of the people who visited the chapel of the House of Trade in the Hall of Audiences would also have recognized those faces, at least in the early sixteenth century. With time, collective memory faded, and modern scholars have had to speculate about the identity of each of the portraits, mostly inferring from their resemblance to other known portraits or to verbal descriptions. One of the three men in the group at the right of the composition kneels among the clouds wearing a short, light-colored costume with a pleated skirt and a military air, reminiscent of a Roman soldier. With pale skin and fair hair, he is generally thought to represent one of the Spanish conquistadores in the Americas, but no one has made a persuasive case for his identity. The most prominent figure, down on one knee, wears a black costume and hat with light-colored leggings and a crimson cape. He has been variously identified, but he seems to best resemble Hernán Cortés, the conqueror of Mexico. Cortés returned to Spain for several years in the late 1520s and spent time at the emperor’s court. The German artist Christoph Weiditz depicted him at court in 1529 wearing a short black costume very like that in Alejo’s composition.43 The third portrait, visible only from the chest up, is of a man presumably in his thirties, with a long straight nose, bright red hair, and a short red beard; he wears a soft black cap or beret. Scholars have often identified this figure as the Emperor-King Charles I, because he bears a strong resemblance to the many known portraits of Charles as a young man. Alejo had ample opportunity to observe Charles in 1525–26, during the young emperor’s sojourn in Seville for his wedding. The group in the left foreground among the clouds includes seven men and two young women, each with distinctive features. Few have com- mented on the possible identities of the young women, though they may represent members of the royal family; the one on the left resembles por- traits of Isabel of Portugal, Charles’s bride. The figure with the cane and long white beard is sometimes thought to be Amerigo Vespucci (1451– 1512), though Ruiz del Solar argued that it was Doctor Sancho de Matienzo, who served as the first head of the House of Trade from 1503 until his death in 1521.44 Matienzo commissioned countless works of art, 42Angulo Iñí guez, 1954, 128–33. 43Weiditz, pl. iv. 44Ruiz del Solar, 12. R E N A I S S A N C E Q U A R T E R L Y832 including a painting of the Virgin by Alejo for an altarpiece in Villasana de Mena, Matienzo’s hometown near Burgos.45 Nonetheless, Diego Angulo Iñí guez pointed out that the figure does not resemble a known likeness of Matienzo.46 The much younger man in the red hat is usually thought to be one of the Pinzón brothers (probably Martín Alonso), who made the first transatlantic voyage with Columbus in 1492. The most distinctive and controversial figure on the left is the white- haired man outfitted in a sumptuous fur-trimmed robe of gold brocade, kneeling in profile before the Virgin. His garb contrasts sharply with the simple robes of all of his companions; not even the Virgin is as richly attired as he. Who might the figure represent? The pose and the garb immediately suggest the depiction of a royal personage in the role of a donor. Follow- ing that logic, some have argued that the gold-robed figure must represent a king, most logically King Ferdinand of Aragon, the co-sponsor (with his wife Isabel of Castile) of Columbus’s first voyage.47 However, the figure bears no resemblance whatsoever to the known portraits of Ferdinand of Aragon, and the artist could easily have seen Ferdinand in Seville during the king’s five-month sojourn there in 1511.48 Even more telling, his wife, Queen Isabel of Castile, is nowhere to be seen. It would be difficult to argue that she is one of the two demure ladies at the back of the group, given that the conquests in the Indies pertained not to Aragon but to Castile. Many who reject King Ferdinand as the model for the regal portrait in the gold robe argue that the figure represents Christopher Columbus.49 Those doubting this designation usually argue that the rich costume would have been inappropriate for a mariner, however distinguished, especially if we assume that the modestly-dressed red-haired figure on the right side of the composition is the Emperor-King Charles. We shall return to the figure in the gold robe later. For now, let us simply assume that — despite his regal attire — the figure is neither King Ferdinand nor his grandson the Emperor-King Charles. In the background beneath the Virgin’s sheltering cloak stands a mul- titude of dark-skinned men (on the left) and women (on the right), who are generally taken to represent all the peoples to be brought under the pro- tection of the Virgin as a result of Spanish exploration. Yet they are not 45Buendía and Sureda, 50. 46Angulo Iñí guez, 1946, 25. 47Ruiz del Solar, 6–8. 48Rumeu de Armas, 370–72. 49For example, Angulo Iñí guez, 1946, 25. V I S U A L I Z I N G I M P E R I U M 833 dressed in costumes that would distinguish them as Caribbean islanders, Aztecs (Mexica), Tlascaltecans, Incans, Pacific islanders, or Asians. Instead, all of the men and women seem to be wearing simple white wraps or loincloths. Why? The reason does not seem to have been a lack of knowledge on the part of the artist about how non-Europeans looked and dressed. Alejo Fernández could have seen representatives of at least some of the various societies incorporated into the Spanish Empire on the streets of Seville. Guanches from the Canary Islands and African slaves had been brought to Spain in the late fifteenth century, and Columbus brought back a group of Tainos from the Caribbean islands in 1493. After the founding of the House of Trade in 1503, the non-European population of Seville grew, both from Africa and from the Americas. Hernán Cortés brought a group of Mexica to Spain in the late 1520s, and they captured the public’s imagination as they passed through Seville on their way to the court of Charles V.50 Like Cortés, they were painted by Christoph Weiditz at Charles’s court, wearing characteristic clothing. Moreover, Alejo reportedly owned Indian as well as African slaves.51 As he presumably could have painted the world’s peoples more distinctively, why did he depict them as he did? Some have assumed that he painted them as a generic multitude be- cause he accorded them little importance in the drama of exploration, evangelization, and empire.52 It makes better sense to argue that the figures in the background were central to that drama, representing the untold multitudes who would be evangelized and baptized once Spanish mission- aries had spread the knowledge of Christ. Writing in 1900, Manuel Ruiz del Solar observed that the painting was “evidently allegorical of the ac- tivities of the House of Trade,” combining the Virgin with prominent individuals from the early sixteenth century and with the figures of male and female Indians, but that was the extent of his analysis.53 Had he thought about the matter further, he might have recalled that simple cloth wraps were the traditional garb for adult baptisms. Ruiz del Solar noted that the 1536 inventory of the chapel included a large glazed-pottery baptismal font of the type commonly sent to the Indies. There were many fountains on the grounds and in the patios of the Alcázar, but most of them were made of stone or marble. By contrast, the 50Weiditz, pls. xi-xxiii. 51Angulo Iñí guez, 1946, 8. 52For example, Honour, 26, argues that Indians were, “reduced to the role of ‘extras’ in the great drama of European expansion. . . .” 53Ruiz del Solar, 4. R E N A I S S A N C E Q U A R T E R L Y834 font sharing the space defined as both a chapel and the Hall of Audiences was the type sent to the Indies to baptize new converts, and it was present along with the altarpiece in 1536. In other words, Alejo’s painting can be seen as symbolically bringing converts to the baptismal font. Seen together, Alejo’s central panel and the baptismal font sacralized the secular space of the Hall of Audiences, emphasizing evangelization as a central element in Spain’s colonizing mission. At the base of the composition, seen through parted clouds, Alejo included an assortment of vessels associated with the early decades of overseas exploration: a large carrack, or nao, in the center beneath the Virgin, two one-masted lateen caravels, one three-masted or full-rigged caravel, and a galley and various other oared vessels and small boats. Alejo could have seen all of these vessels in Seville simply by strolling down to the banks of the Guadalquivir River a few hundred yards from the Cathedral. In his painting, the ships anchor the base of the pyramid-shaped compo- sition and bring the whole of the maritime world under the protective gaze of the Virgin. Given that the House of Trade commissioned the painting, the presence of so many representative ships seems natural and appropriate. Nonetheless, the prominence and specificity of the ships are somewhat unusual, almost distracting the eye from the central figure of the Virgin. Alejo would not have found a model for such a composition in German engravings or in Spanish depictions of the protective Virgin. What inspired him? One possible model resided in Italy: the final fresco in Bernardino Pinturicchio’s cycle of the life of Pope Pius II (r. 1458–64), painted for the Piccolomini Library in the Cathedral of Siena ca. 1500 (fig. 4). The late fifteenth-century humanist and diplomat Aeneas Silvius Piccolomini (1405–64), later elected Pope Pius II, devoted his pontificate to military crusades against the growing power of the Ottoman Turks. Pinturicchio’s final fresco shows the ailing Pius II in Ancona, where he had traveled to bless ships leaving for the last crusade of his pontificate. The left back- ground includes a number of ships in the harbor, representing the long-awaited Venetian contingent that would carry the crusaders to the Holy Land. In the center of the fresco Pinturicchio shows the pope seated on his throne in full regalia, elevated above the figures gathered around him. The most prominent figure kneels in profile in the left foreground, wearing a rich gold-brocade robe trimmed with fur. Scholars generally agree that his robe, white hair, and distinctive features identify him as the Doge of Venice, Cristoforo Moro (r. 1462–76), who accompanied the crusade. There is less agreement about the identity of the two turbaned V I S U A L I Z I N G I M P E R I U M 835 figures near the doge, though by extension they represent the Islamic world that the crusade hoped to conquer and perhaps convert. Did Alejo Fernández find inspiration for the composition of The Virgin of the Seafarers in Pinturicchio’s fresco of Pius II at Ancona? There is no FIGURE 4. Bernardino Pinturicchio. Fresco of Pope Pius II at Ancona, ca. 1500. Siena Cathedral, Piccolomini Library. Photo courtesy of Scala/Art Resource. R E N A I S S A N C E Q U A R T E R L Y836 doubt he could have known about the work, as Pinturicchio had completed the cycle of twelve frescoes by 1505–07.54 Moreover, Pinturicchio and the Umbrian school that flourished in the late fifteenth century have long been named as possible influences on Alejo, whether or not he ever visited Italy.55 Besides including a maritime scene, both Pinturicchio’s fresco and Alejo’s painting feature a pyramid-shaped composition dominated by a large figure in the center. Alejo has long been credited with introducing Italian compositional styles into Spanish painting, and Pinturicchio would have been an apt model for him to follow. The figures in gold-brocade robes kneeling in the left foreground are also strikingly similar in both compositions. Did Alejo model the figure in his painting on Pinturicchio’s doge? And if so, why? He can hardly have expected ordinary Spaniards to recognize such a figure as a Venetian doge. Nonetheless, the theme of a crusade against Islam in Pinturicchio’s fresco may have inspired Alejo to evoke a similar theme in his altarpiece. Christian crusading had special resonance in Spain, after centuries of warfare against Muslim powers in Iberia and around the Mediterranean. Moreover, at the time that Alejo was painting his altarpiece, Charles V and his allies forced the Ottomans to end a siege of Vienna and launched a successful attack on Tunis.56 In other words, a crusade against infidels and the defense and extension of Christianity would have been appropriate notions to include in the iconographical program of The Virgin of the Seafarers. But how could Alejo evoke these complicated issues efficiently? The kneeling figure in gold brocade in The Virgin of the Seafarers may provide an answer to that question. As indicated above, the gold-robed figure has sometimes been identi- fied as Columbus, who — despite his fame — was probably not painted in his lifetime.57 Nonetheless, several of his contemporaries left written de- scriptions of the explorer’s physical appearance. The earliest is attributed to Angelo Trivigiano (or Trevisan), secretary to the Venetian ambassador to the court of Ferdinand and Isabel. When the court resided in Granada in 1501, Trevisan met Columbus and became well acquainted with him. He described Columbus as “Genoese, a man of tall and imposing stature, 54Misciattelli, 32–36. The best-known fresco in the cycle shows the young Aeneas Silvius Piccolomini on a diplomatic mission, wearing a bright blue cape and riding a white horse. 55Angulo Iñí guez, 1954, 10–11. 56Lane, 246. 57For an extended discussion of the various Columbus portraits, see Phillips, 1992b; see also Phillips, 1992a, a briefer version of 1992b. V I S U A L I Z I N G I M P E R I U M 837 ruddy-complexioned, of great intelligence, and with a long face. . . .”58 Bartolomé de Las Casas (ca. 1474–1566), who was a teenager when Columbus returned from his first voyage in 1493, saw him in Seville, accompanied by a group of seven Indians and the exotic trappings that caused a sensation among the citizenry. In the Historia de las Indias he wrote decades later, Las Casas describes Columbus as “tall-bodied rather than of middling height; the face long and authoritative; the nose aquiline; the eyes gray-green; the complexion pale, with a tendency to turn burning red; the beard and hair fair when he was a youth, but which soon turned gray with his troubles.”59 In describing Columbus’s triumphal procession to meet the king and queen in Barcelona, Las Casas said that the explorer “had such a great and authoritative presence that he looked like a Roman senator, his venerable face covered with a gray beard, and his modest smile showing well the joy and honor with which he came.”60 Many other writers followed the same lines as these early descriptions, including the bureaucrat and historian Gonzalo Fernández de Oviedo, who published his multi- volume general history of the Indies in 1535.61 At the same time, Alejo was finishing The Virgin of the Seafarers. He may or may not have been aware of the written texts describing Columbus, but he did not need them to know what the famed explorer looked like. Columbus spent considerable time in Córdoba in the 1490s, when he was in his late forties: Alejo might have seen him there. Columbus also stayed in Seville from the fall of 1504 to the spring of 1505, the time in which Alejo’s brother Jorge was working on the Cathedral of Seville. Jorge, at least, might have seen Columbus then, and it is possible that Alejo spent some time in the city as well. If by the 1530s Alejo needed reminding about Columbus’s physical appearance, he could have consulted senior officials at 58Trivigiano, 3: “Christophoro Colombo Zenovese homo de alta & procera statura rosso de grande ingegno & faza longa. Sequito molto tempo li serenissimi Re de Spagna in q lung parte andauano. . . .” See also Hilton, 107–08. 59Las Casas, 1:29: “Lo que pertenecía a su exterior persona y corporal disposición, fué de alto cuerpo, mas que mediano; el rostro luengo y autorizado; la nariz aguileña; los ojos garzos; la color blanca, que tiraba a rojo encendido; la barba y cabellos, cuando era mozo, rubios, puesto que muy presto con los trabajos se le tornaron canos. . . .” In 1493 Columbus was in his early forties, so Las Casas’s description of the young Columbus must have come from hearsay evidence. 60Ibid., 333: “tenía grande y autorizada persona, que parecía un senador del pueblo romano, señalaba su cara veneranda, llena de canas y de modesta risa, mostrando bien el gozo y gloria con que venía.” 61Fernández de Oviedo: the description of Columbus appears in bk. 2, chap. 2 (117:16 in the 1959 edition). R E N A I S S A N C E Q U A R T E R L Y838 the House of Trade or Columbus’s son Ferdinand, who lived in Seville from the late 1520s until his death in 1539.62 In short, although Alejo presumably had no portraits to follow in depicting Columbus, he could rely on his own experience or that of others in Seville who had known the explorer well. Over time, however, the knowledge of Columbus’s physical appearance faded, and few of the later so-called portraits of the explorer agree with contemporary written descriptions. How then do we link the written descriptions of Columbus with the face of the kneeling figure in gold brocade? A portrait of Columbus by Lorenzo Lotto provides the key (fig. 5).63 Signed and dated 1512, it shows a man, in the words of Bernard Berenson, “Bare-headed, smooth-faced with long grey hair parted in middle; wears ceremonial furs over a tunic that leaves the throat bare; in his right hand a chart of the ‘Indies’ partly unrolled, while the left touches an hour glass which rests on a volume of Aristotle lying on a desk. . . . Said to have been painted for Domenico Malipiero, Venetian senator and historian, at the instance of his correspon- dent, Angelo Trevisan, secretary to the Venetian envoy at Granada. An intellectual, rather supercilious face, showing great determination. There is no reason for doubting that it was meant to be Columbus.”64 The Lotto 62Christopher Columbus Encyclopedia, 1:135–37. 63Reproduced from Bianconi, vol. 1, inserted between pls. 34–35. 64Berenson, 30. The current whereabouts of the portrait could not be ascertained. Berenson authenticated it in 1956 on the basis of a photograph supplied to him by The Knoedler Gallery in New York. The gallery could supply no information about the painting as of 1991. FIGURE 5. Lorenzo Lotto. Portrait of Christopher Columbus, 1512. Formerly Chicago, J. W. Ellsworth Collection. Reproduced from Bianconi, vol. 1, between pls. 34–35. V I S U A L I Z I N G I M P E R I U M 839 portrait is one of the few that adhere closely to written descriptions of the explorer. Moreover, its connection to Angelo Trevisan — the author of the first published description of Columbus — adds support to the likely accuracy of the depiction. Lotto’s Columbus can easily be seen as a younger version of the gold-robed figure in Alejo’s Virgin of the Seafarers, and the later history of the Lotto portrait reinforces that link. It was discovered and authenticated a year before the fourth centenary of Columbus’s 1492 voy- age and was officially recognized in Spain as the most authentic likeness of the explorer. Despite the doubts of some scholars, it served as the model for many medals, stamps, and other memorabilia during the quatracentenary. The Spanish artist Joaquín Sorolla undoubtedly knew about the Lotto portrait and its official recognition in 1892. He also assumed that the gold-robed figure in The Virgin of the Seafarers depicted Columbus, using it as one of the models for his own dramatic full-length portrait of the explorer in 1910.65 Sorolla painted nine large oil studies for the por- trait, as well as several dozen small sketches, all of which he donated to The Hispanic Society of America in New York. One of the small sketches — the only one in color — is a detailed copy of the head of the gold-robed figure from The Virgin of the Seafarers. Sorolla labeled his pencil sketch of the same head “Colón” — that is to say, Columbus.66 Assuming that the gold-robed figure was meant to be Columbus, a man known for wearing a simple Franciscan robe in his later years, why would Alejo Fernández depict him in a manner incongruous with Columbus’s sartorial habits and unique among the prominent figures arrayed at the Virgin’s feet? The contention here is that the artist presented Columbus in a way that viewers would associate with the European magus-king in countless versions of the Adoration of the Magi (also known as the Epiphany), a central event in Christianity, and one that Alejo himself painted several times in his career.67 The only biblical reference to the Epiphany occurs in a few brief passages in the Gospel of Matthew, describing how “wise men from the east” followed a brilliant star to pay homage to “he that is born King of the 65Departure of Columbus From the Port of Palos, Mariner’s Museum: Newport News, Virginia. See Muller, 65. 66The author examined all of Sorolla’s studies for the Columbus portrait in the storage collection at The Hispanic Society of America. 67Works of art depicting that event may be titled The Epiphany, The Adoration of the Magi, or The Adoration of the Kings. For the purposes of this essay, the titles will be treated as equivalents. R E N A I S S A N C E Q U A R T E R L Y840 Jews.”68 The Gospel mentions three items that the wise men brought with them as gifts: gold, frankincense, and myrrh. Gold honored Christ as king, frankincense recognized him as God, and myrrh evoked his humanity and death.69 In theological terms, the Epiphany marked the manifestation of Christ to the gentiles in the persons of the magi, who represented by extension all the peoples of the world. Some Christian texts suggested that 68Matthew 2:1–12: “Now when Jesus was born in Bethlehem of Judaea in the days of Herod the king, behold, there came wise men from the east to Jerusalem, Saying, ‘Where is he that is born king of the Jews? for we have seen his star in the east, and are come to worship him. . . .’ When they saw the star, they rejoiced with exceeding great joy. And when they were come into the house, they saw the young child with Mary his mother, and fell down, and worshipped him: and when they had opened their treasures, they presented unto him gifts; gold, and frankincense, and myrrh.” See the discussion of the Epiphany in Schiller, 95–114. 69Isaiah 60:6 also mentions gentiles coming to the Lord, bringing gifts of gold and incense. FIGURE 6. Luca di Tomme. Adoration of the Kings, 1360–65. Madrid, Thyssen- Bornemisza Museum. V I S U A L I Z I N G I M P E R I U M 841 the magi were kings as well as wise men; Spanish avoids the argument by calling them Reyes Magos (magi-kings). As one of the transforming events in the life of Christ, the Epiphany was frequently depicted in religious art, as in the painting by Luca di Tomme from 1360–65 (fig. 6). Whether or not the Christian faithful understood its full theological significance, they would have had no difficulty associating depictions of the magi with the religious feast of the Epiphany celebrated on 6 January. In recent years, several excellent and exhaustive studies of the magi in history and art have appeared.70 Judging from these and older studies, there is little doubt that a standard composition for depicting the Epiphany characterized Western European art by the early sixteenth century. The key elements of that tradition for the argument presented here had emerged much earlier: the magi-kings represented the three ages of man as well as all the peoples of the earth; the eldest king represented Europe; and Europe took precedence over the middle-aged king (who usually represented Asia) and the youngest king (who usually represented Africa). Hans Memling painted one of the most influential examples of the emerging artistic consensus in a triptych traditionally dated 1464 (fig. 7) that paid homage to The Adoration of the Kings by his teacher Rogier van der Weyden, who had died that year.71 In the central panel of his triptych, Memling placed the old European king in the first position, kneeling on both knees before the Virgin and Child, with his crowned hat on the ground before them and his gift on a side table. The middle-aged king occupies second position in the order of precedence: beginning to kneel, holding his crowned hat in his left hand, and proffering his gift with his extended right hand. The striking figure of a young black king occupies the third position, just arriving at the right, holding his gift in his right hand, and sweeping his crowned hat from his head with his left hand. Together, the Adorations by van der Weyden and Memling are thought to have influenced many subsequent depictions of the Epiphany, either di- rectly or through the widespread dissemination of an engraving by Martin Schongauer that borrowed several details from their works.72 As noted above, Diego Angulo Iñí guez long ago established the influence of 70Kaplan; Merras; Trexler. The classic study of the Epiphany in literature and art before 1500 is Kehrer: Kehrer’s evidence is strong for Central Europe, less complete for other parts of Europe, but all later studies rely on his work to some degree. 71Van der Weyden’s Adoration is in the Alte Pinakothek of the Bayerische Staatsgemäldesammlungen in Munich; Memling’s 1464 Adoration is in the Prado Museum in Madrid. 72Devisse, vol. 2, pt. 2, 131–33. R E N A I S S A N C E Q U A R T E R L Y842 Schongauer’s engravings on artists working in Spain, including Alejo Fernández.73 The late fifteenth and early sixteenth centuries witnessed the high point of artistic interest in the Epiphany. The stunning overseas discoveries initiated by Columbus held the promise of fulfilling prophesies concerning one of the most important mandates in Christianity: the need to bring the Christian message to all peoples in preparation for the Second Coming of Christ, the Last Judgment, and the Apocalypse. Columbus and subsequent explorers encountered peoples previously unknown to Europeans, peoples who did not know Christ or (in some interpretations) who had once known Christ but had lost that knowledge. The figure of the aged European magus-king of the Epiphany neatly summarized a thousand years of Christian theology regarding the mandate to carry the Christian message to the peoples living in darkness without it. In nearly all depictions of the Epiphany in the early sixteenth century, the magus-king representing Europe continued to be depicted as the first among equals, the leader of the gentile nations, his advanced age connoting Europe’s preeminence in accepting the Christian message and carrying it to others. The Adoration of the Magi-Kings that Alejo Fernández painted for the cathedral of Seville shortly after his arrival in 1508 included all the 73Angulo Iñí guez, 1925. FIGURE 7. Hans Memling. Adoration of the Magi, 1464. Madrid, Prado Museum. V I S U A L I Z I N G I M P E R I U M 843 typical elements (fig. 2). The old European king kneels in distinguished profile wearing sumptuous robes of gold brocade, with his crown deposited at the Virgin’s feet, while the Asian and African kings wait their turns to approach the Holy Mother and Child. Alejo would also paint at least three other Epiphanies in the course of his career in Spain; there is no indication that he deviated from the standard iconography.74 Elsewhere in Europe, many other artists also turned their hands to depictions of the Epiphany. Despite minor variations in composition, they followed the established conventions very closely, particularly the placement of the old king repre- senting Europe kneeling as the first to honor the Virgin and Child. In more than two hundred depictions of the Epiphany surveyed for this essay, the spatial arrangement of the magi-kings nearly always accorded the preemi- nent place to the old king and nearly always depicted him in a similar fashion. Because of such consistent iconographical conventions, viewers would have recognized the gold-robed figure in Alejo’s Virgin of the Seafarers as the European magus-king, merely by his pose and his costume, and most of them would have associated the figure with evangelization. The Catholic monarchs Isabel and Ferdinand emphasized evangeliza- tion as a goal for the lands claimed in their names. Columbus shared the same vision, believing that he was destined to be a bearer of Christ, like his namesake, St. Christopher.75 Many later explorers and conquerors spon- sored by the Spanish crown, including Magellan and Cortés, also identified evangelization as one of their primary duties. Under Charles V, a steady flow of royal and ecclesiastical bureaucrats sailed across the ocean to ad- minister the Spanish colonies and spread Christian beliefs and practices among the local inhabitants. Officials at the House of Trade in Seville not only handled the paperwork for their travels but also arranged for the creation and delivery of religious art, baptismal fonts, and other supplies to aid in communicating the Christian message. Among others, they com- missioned Alejo Fernández to paint various sculpted images that were sent to the West Indies in 1513.76 Missionary orders and priests adapted a range of European images and texts to make Christianity comprehensible and appealing to peoples elsewhere in the world: the Epiphany became one of the most useful and 74Cubero, 43–45, 53, lists but does not discuss their compositions; Angulo Iñí guez, 1946, 14, discusses only the Epiphany in the cathedral. 75See The “Libro de las Profecías of Christopher Columbus.” Columbus compiled this collection of Holy Scriptures over a period of decades, in the belief that they provided a guide to his destiny as a “visionary evangelist” (92). 76Ruiz del Solar, 15. R E N A I S S A N C E Q U A R T E R L Y844 popular of those images.77 Fray Toribio de Benavente, the early Franciscan missionary known as Motolinía, noted that the Epiphany was “celebrated by [the Indians of Mexico] with great rejoicing, for it seems to them that it is their own feast, and on [Epiphany] they often reenact the play in which the magi-kings offer their gifts to the child Jesus.”78 Although Motolinía’s history was not published until 1546, it was based on his experiences in the 1520s and 1530s, and testifies to the early importance of the Epiphany in Spanish missionary efforts. When officials at the House of Trade commissioned an altarpiece for their Hall of Audiences, an allusion to the Epiphany would have been an appropriate element in the composition. It has been argued here that Alejo Fernández chose to present Columbus in the pose and in the garb of the European magus-king of the Epiphany because of the rich symbolism that such an identification would convey. Columbus was the first to discover the populous lands across the Ocean Sea as a representative of Europe to the peoples awaiting the Christian message. In a lucky coincidence, Columbus’s physical features agreed well with countless depictions of the European magus-king, including Alejo’s own Epiphany from 1508, which may well have inspired the painter to make the connection between Columbus and the European magus-king. The main problem with the connection suggested here is the absence of the Christ-child from Alejo’s composition. The Epiphany is, of course, centered on the child and his tripartite identity as king, God, and man. The European magus-king traditionally presents him with gold in honor of his sovereignty, and by the time Alejo painted the altarpiece the New World had rendered impressive amounts of golden booty from the Aztec conquest and the early days of the Inca conquest. It is arguable, however, that the evangelical role of the magi-kings had less to do with bringing gifts to the Christ-child than with bringing the gift of Christ to those who did not yet know him. In other words, in the evangelical context Christ was the gift, and the European magus-king was the Christ-bearer. The magi-kings also connoted Christian crusading against the infidel, as a prelude to evan- gelization and conversion. With that in mind, Pinturicchio’s fresco of Pius II initiating the Fourth Crusade (fig. 4) merits another look. Might 77Ricard, 194–206, discusses the Epiphany theme among the “edifying plays” em- ployed in evangelization, calling it the “most characteristic play” of the ones we know were performed (201). 78Motolinía, 119. The English Dominican and later apostate Thomas Gage testified to the continued importance of Epiphany celebrations in New Spain in the mid-seventeenth century. V I S U A L I Z I N G I M P E R I U M 845 this famous evocation of Christian crusading also contain a visual allusion to the Epiphany, with the gold-robed Doge Cristoforo Moro as the pre- eminent European magus-king and the two figures in Muslim garb as the other two kings? At the current state of research, this can be no more than an intriguing possibility. In the altarpiece commissioned by the House of Trade in Seville, the link between Christian crusading and evangelization strengthens as we pass from The Virgin of the Seafarers to the side panels flanking the Virgin and her entourage. Scholars have paid almost no attention to the four figures that serve as the Virgin’s guard of honor. Even Diego Angulo Iñí guez, who seems to have assumed that Alejo painted them, mentions only St. Elmo, arguably the least important member of the quartet. Angulo sees all four as a “simple frame for the image of the Virgin,” but they represent much more than that.79 Together, they complete the visual analogy of the emerging Spanish Empire as inspired by faith, established through conquest, and extended through evangelization. Whether or not Alejo painted the four saints flanking the Virgin, he would have planned the altarpiece as a whole to reflect his patrons’ com- mission, working with assistants or other artists to complete the work. One model for the overall design may have been the altarpiece Alejo painted ca. 1520 for the founder’s chapel of the University of Seville. The lower half of the chapel’s large altarpiece, generally called the Retablo de Maese Rodrigo, features the Virgen de la Antigua from the Cathedral flanked by the four fathers of the Western Church.80 As symbols of Christian learning, they served as ideal companions for the Virgin in an academic setting. By analogy, the four saints chosen to accompany The Virgin of the Seafarers were appropriate to the religious mission of Spain overseas, which extended the crusades against the infidel across the ocean in order to disseminate and defend the Catholic faith. Each of the four figures had devoted followers somewhere in the Kingdom of Castile, and each represented aspects of Spain’s overseas enterprise. St. John the Evangelist, the youngest of the apostles, was by tradition one of the four gospel writers of the early Christian church. In his various manifestations, St. John the Evangelist had a strong following all over Castile, and artists depicted him in the several guises and stages of his long life. In the lower right panel flanking The Virgin of the Seafarers he is shown on the island of Patmos, where he was exiled for his faith (fig. 8). Although 79Angulo Iñí guez, 1946, 24. 80Angulo Iñí guez, 1954, 134. See the University of Seville’s Website for a long view of the nave and altarpiece: http://www.personal.us.es/alporu/sedes/sede_1.htm. R E N A I S S A N C E Q U A R T E R L Y846 the artist depicts him as a young man, perhaps modeled on Albrecht Dürer’s painting of the evangelist, St. John would have been quite old by the time of his exile on Patmos.81 Accompanied by his emblematic eagle, writing in a book on his lap, and with various ships in the background, he gazes upward toward a vision of the Virgin and Child in heaven and, in the same line of sight, beyond them toward the face of the Virgin in the central panel of the altarpiece.82 By tradition, on Patmos John wrote the Book of Revelation, also known as the Book of the Apocalypse, which was famous in the Middle Ages as a guide to the future. In medieval Spain, St. John’s apocalyptic connotations remained vivid in the minds of faithful Christians, and the commentary on the Apocalypse by the ninth-century author known as Beatus of Liébana was copied many times, illustrated by stunning 81The classic Renaissance Spanish treatise about how to depict religious figures is Pacheco. As a citizen of Seville, father-in-law of Diego Velázquez, and noted painter in his own right, Pacheco’s treatise distilled prior traditions of Spanish iconography and had great influence on future traditions. He discusses the life and proper iconography for St. John the Evangelist in fols. 560–561. 82Ferrando Roig, 156. FIGURE 8. Anon., School of Alejo Fernández. St John the Evangelist, 1531–36. Altarpiece of The Virgin of the Seafarers. Seville, Reales Alcázares, Hall of Audi- ences. Copyright Patrimonio Nacional. V I S U A L I Z I N G I M P E R I U M 847 and terrifying manuscript paintings.83 Both Queen Isabel of Castile and Christopher Columbus believed that St. John had prophesied Castile’s discovery of new lands beyond the seas; the island of Puerto Rico and its first town were named in his honor.84 Many Christians at the time also believed that the discovery of new lands and peoples (and their subsequent evangelization), would lead in due time to the fulfillment of prophecies in the Book of Revelation, including the Apocalypse.85 St. James the Great, the apostle and patron saint of Spain known as Santiago, had a close association with Galicia in the northwest, where tradition held that his body had miraculously arrived after martyrdom by King Herod. The town of Santiago de Compostela became the most im- portant pilgrimage site for Christians in medieval times after Jerusalem and Rome. Because of this association Santiago was often depicted in the guise of a pilgrim, walking with his emblematic staff and water gourd, and wearing a broad-brimmed hat adorned — and often pinned up in front — with a scallop shell. During the medieval reconquest of Iberia from the Muslims, Santiago was believed to appear on the field of battle to aid Christian forces. In that guise he became known as Santiago the Warrior or Santiago the Moor-Slayer. It is one of these representations of Santiago that appears in the lower left panel flanking The Virgin of the Seafarers (fig. 9). He rides a white horse with distinctive leather straps across its rump and brandishes a sword in his upraised right hand, while with his left hand he holds a battle flag. He wears body armor and a broad-brimmed hat with a scallop shell affixed to its upturned brim. At his feet lie the weapons and severed heads and body parts of his enemies. The panel as a whole strongly resembles another depiction of Santiago from the same epoch by an un- named painter of the “Castilian School.”86 In both versions, as in many others, the iconography leaves no doubt of his identity as Santiago the Moor-Slayer: militant defender of the Christian faith, implacable enemy of heresy, quintessential Christian soldier. Spanish soldiers invoked the aid of Santiago in their earliest battles of 83Wixom and Lawson: the issue in which this article appears is devoted to the “Cardeña Beatus” manuscript at The Metropolitan Museum of Art in New York. 84The pertinent passage from St. John appears in Revelation 21:1: “And I saw a new heaven and a new earth: for the first heaven and the first earth were passed away; and there was no more sea.” 85Liss, 34–36, 119–24, 136–37, 154–58. For a broader examination of Christian European beliefs and assumptions about the universe in the late fifteenth century, see Flint. 86Santiago en la Batalla de Clavijo (844), Anon. “Castilian School,” very early sixteenth century. Madrid: Museo de Lázaro Galdiano. R E N A I S S A N C E Q U A R T E R L Y848 conquest in the Americas and attributed their victories to his interven- tion.87 Over time, hundreds of towns in the Americas were named for Santiago, and countless devotions and reenactments of crucial battles oc- curred, and still occur, in his honor. When portrayed as Santiago the Indian Killer he symbolized the extirpation of idolatry and heresy as a necessary adjunct to evangelization. His attributes also lent themselves to amalgamation with powerful, violent, and capricious local gods, particu- larly the storm-god Illapa in Peru, so that Santiago would come to exemplify the complicated reception of Christianity in the Americas.88 For Spain’s vision of its overseas mission, however, Santiago remained the perfect Christian warrior. St. Sebastian occupies the upper left panel flanking the Virgin and represents the Christian as martyr as well as militant warrior (fig. 10). Tradition holds that Sebastian was a member of the palace guard of the Emperor Diocletian (ca. 243–316). Discovered to be a Christian, he was 87Heliodoro Valle, 8–13, lists places named for Santiago in Spanish America; ibid., 19–37, chronicles the most important stories of his miraculous interventions. The book as a whole discusses and illustrates the saint’s importance in local beliefs and rituals. 88Gisbert, 28–29, 195–200. FIGURE 9. Anon., School of Alejo Fernández. Santiago the Moor-Slayer, 1531–36. Altarpiece of The Virgin of the Seafarers. Seville, Reales Alcázares, Hall of Audi- ences. Copyright Patrimonio Nacional. V I S U A L I Z I N G I M P E R I U M 849 sentenced to be shot with arrows by his own comrades in arms. After surviving that attack, he protested about the treatment of Christians to the emperor himself and was then beaten to death and thrown into a Roman sewer.89 Often venerated as one of the Fourteen Holy Helpers because of his defense of other Christians, St. Sebastian served as an ideal intercessor for victims of the plague in the late Middle Ages. By the early sixteenth century most depictions emphasized his role as a victim of Roman perse- cution during the first martyrdom. Typically, he is shown clad in no more than a loincloth, tied to an architectural column or a tree, pierced by arrows in various parts of his anatomy, and wearing a resigned expression. One example is a painting by Perugino, a contemporary of Alejo, currently in the Louvre, but there are countless others.90 Many representations of St. Sebastian in Spanish art followed the standard iconography, but there was another tradition that recalled his full history and his role as the patron saint of soldiers and sailors. St. Sebastian was particularly venerated in the northern Basque country in Spain, where the city of San Sebastián was named in his honor. Many of Spain’s finest mariners came from the Basque country, including countless thousands of men who sailed in fleets to the Indies, so it is no wonder that St. Sebastian had a strong following in Seville, the gateway to the empire. The St. 89Ferrando Roig, 246. 90Saint Sebastian, Perugino, ca. 1490–1500. Paris: Louvre Museum. FIGURE 10. Anon., School of Alejo Fernández. St. Sebastian, 1531–36. Altar- piece of The Virgin of the Seafarers. Seville, Reales Alcázares, Hall of Audiences. Copyright Patrimonio Nacional. R E N A I S S A N C E Q U A R T E R L Y850 Sebastian flanking The Virgin of the Seafarers wears a military costume that evokes his role as a soldier. The costume is very similar to that worn by gentlemen soldiers in the early sixteenth century, including hose and a short, apron-like tunic with a fitted waist over a long, full-sleeved shirt. He stands holding a long cross and one end of his unflexed bow with his right hand, and the guard of his sword with his left hand. The tips of both weapons rest on the ground; in other words, they are displayed to indicate that he is a soldier, but they are not brandished for combat. He wears a hat and gazes downward, tilting his head at the same angle as the Virgin’s head in the central panel. Only the short shaft of an arrow protruding from his right breast reminds the viewer of his martyrdom. A very similar depiction of St. Sebastian was painted around 1480 for the church of San Benito de Calatrava in Seville, and would have been a likely model for whomever painted St. Sebastian for The Virgin of the Seafarers’ altarpiece.91 Another representation of St. Sebastian as a Roman soldier was painted around 1486 in northern Castile or Aragón, with the saint wearing a very similar costume but sitting rather than standing.92 Two similar images exist in Barcelona, both wearing a more elaborate costume than the examples from Seville and northern Spain.93 Unlike the represen- tations showing St. Sebastian as a defenseless victim, the military accoutrement in these depictions identifies him as a heroic convert, willing to do battle and face martyrdom rather than renounce his new faith or his coreligionists. Taken together as part of the honor guard of The Virgin of the Seafarers, St. Sebastian and Santiago represent a militant, expansionist Christianity, courting death through martyrdom or meting it out, all for the sake of the true faith. The final member of the quartet flanking the Virgin was St. Elmo — San Telmo in Spain — a figure beloved among seafaring populations in Spain, Portugal, and elsewhere in Europe, and enjoying particular devotion in Seville (fig. 11). Sailors prayed to St. Elmo as their protector during storms at sea, when they believed he made his presence known by strange lights in the rigging called St. Elmo’s fire.94 He is usually identified in Iberia 91San Sebastián, Anon. artist in the circle of Juan Sánchez de Castro, ca. 1480. Seville: Museo de Bellas Artes. 92San Sebastián, Juan de la Abadía the Elder, ca. 1480. Madrid: Museo Lázaro Galdiano. 93Panel by P. Alemany, fifteenth century. Barcelona: Cathedral; Anon., fifteenth cen- tury. Barcelona: Museo Diocesano. 94“St. Elmo’s fire” is the name given to electrical arcing generated by certain conditions during storms: see Pérez-Mallaína, 243–44. V I S U A L I Z I N G I M P E R I U M 851 as a thirteenth-century priest born in Fromista, Palencia, who died in 1246 as Bishop of Tuy on the border between Galicia and northern Portugal; but other traditions differ from this story in nearly every respect.95 The various legends associated with him agree only that he was a bishop and that his attributes linked him with seafaring. In the Iberian tradition, local believers in Spain and Portugal attributed many miracles to the pious Bishop of Tuy and began to revere him as a saint shortly after his death, although he was not officially canonized until 1741.96 In the altarpiece commissioned by the House of Trade, St. Elmo is shown standing near the shore, his white robe and black cloak blown by a storm. Despite the legend identifying him as a secular priest and bishop, he appears to be wearing the tonsure and habit of the Dominicans, a medieval monastic order founded by a Spaniard and long associated with missionary efforts. That tradition continued in the New World, where Dominicans arrived in the 1530s. In the altarpiece St. Elmo holds a very large model of a ship in his right hand and gazes downward past that model toward a nearly identical ship in the maritime scene below the Virgin in the central 95For example, Farmer, 159–60, identifies him either as a bishop in the Italian Campagna, martyred ca. 300, or a Syrian bishop named Erasmus of Antioch. 96Alonso Romero, 66–67, notes that St. Elmo’s fire could have a rather more ominous aura in Brittany, signifying the death of someone in a crewmember’s family. FIGURE 11. Anon., School of Alejo Fernández. St. Elmo, 1531–36. Altarpiece of The Virgin of the Seafarers. Seville, Reales Alcázares, Hall of Audiences. Copyright Patrimonio Nacional. R E N A I S S A N C E Q U A R T E R L Y852 panel of the altarpiece. He holds a large candle, evocative of St. Elmo’s fire, in his raised left hand. Because of the popularity of St. Elmo in Seville, local residents in the early sixteenth century would easily have identified the ship and candle as his attributes. In contrast to the visions of warfare, martyr- dom, and apocalypse symbolized by his companions, St. Elmo presents a softer image, joining with the Virgin — whose cloak is very similar to his own — to offer protection and solace to all who sailed the dangerous seas linking Spain with its empire to spread the Christian message. Overall, the altarpiece commissioned by the House of Trade and painted in the early 1530s was designed to portray the official vision of Spain’s creation of a Christian empire across the ocean. The central panel portrays the Virgin providing divine protection to the enterprise as a whole. Her entourage of kings, mariners, soldiers, ships, and peoples brought to Christianity, together with the flanking saints, evokes diverse aspects of that enterprise: courage and conquest, faith and fortitude, peril and protection, and the promise of biblical prophesies fulfilled. Most people visiting the House of Trade’s chapel in the early sixteenth century would have recognized much of the imagery and understood at least its more obvious aspects. An intelligent and educated observer would have recognized and understood virtually all of it. The gold-robed figure kneeling in the left foreground before the Virgin would have presented the only mystery. His pose and rich garments would have suggested a royal donor, but the head of Columbus on this figure would have seemed in- congruous, particularly if the observer knew anything about Columbus apart from his physical appearance. Upon further reflection, the intelligent observer would have understood that the figure represented the first king of the Epiphany and the thousand years of Christian tradition that the Epiphany implied for the conversion of the world. In the guise of the European magus-king, Columbus reinforced the notion that the Spanish Empire represented the fulfillment of biblical prophecy to bring the Christian message to all the peoples of the world. With The Virgin of the Seafarers and the quartet of saints providing her guard of honor, the altar- piece conveyed how the House of Trade — and the monarchy it represented — defined the meaning and aims of Spain’s emerging empire. Viewers who saw Alejo’s altarpiece as they entered the House of Trade were presented with that collective vision and implicitly invited to share it. U N I V E R S I T Y O F M I N N E S O T A , T W I N C I T I E S V I S U A L I Z I N G I M P E R I U M 853 B i b l i o g r a p h y Alonso Romero, Fernando. 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work_dnut7ksdu5erdoj6o7d46fxfsu	----	A marine snail has a shell that is remarkably well adapted for diffusing the light that it emits to ward off predators. Stimulating Hinea brasiliana snails (pictured left), by tapping them or placing them in contact with potential predators, causes them to emit a blue-green light from defined areas of their body, report Dimitri Deheyn and Nerida Wilson of the Scripps Institution of Oceanography in San Diego, California. The shell directly transmits most wavelengths of light, with the exception of blue-green ones. These are instead spread by the shell from the limited production regions of the snail’s body over a much larger area (right). The shell produced brighter and larger areas of diffused light than a commercial diffuser. Such shells allow snails to produce visible and extensive bioluminescent signals from their protected position inside the shell. Proc. R. Soc. B doi:10.1098/rspb.2010.2203 (2010) Z o o l o g y Snail shells spread light around E C o l o g y Hotter climate, altered breeding As Earth warms, amphibians are shifting their breeding times at unprecedented rates. Four out of ten amphibian species studied at a South Carolina wetland either delayed or advanced their breeding — depending on their breeding season — by 15.3–76.4 days over a 30-year period. For two of the species, Ambystoma opacum and Eurycea quadridigitata, this coincided with a 1.2 °C increase in overnight air temperature during their pre- breeding and breeding periods. Brian Todd at the University of California, Davis, and his team say that the altered breeding times, which range from 5.9 to 37.2 days per decade, are among the greatest rates of change seen in ecological life-cycle events. The changes could affect the dynamics of the larger amphibian larval community, including resource availability and predation rates. Proc. R. Soc. B doi:10.1098/ rspb.2010.1768 (2010) A N T H R o P o l o g y DNA from across the ocean A handful of Icelanders may be descendents of a Native American woman ferried to the island hundreds of years M A T E R I A l S S C I E N C E Magnetic gel delivers drugs Drugs and cells can be delivered on demand by a porous material engineered to compress in response to an applied magnetic field. David Mooney at Harvard University in Cambridge, Massachusetts, and his team prepared an alginate-based gel with micrometre-sized pores, and paramagnetic iron nanoparticles embedded throughout. On exposure to a magnetic field, the nanoparticles put the squeeze on the ferrogel. The authors used this to release a drug payload in in vitro experiments and, by implanting the gel into mice, for localized release of dye-stained stem cells. With a reversible volume reduction of more than 70% (pictured), such ferrogels may also find applications as actuators and sensors in biomedical applications. Proc. Natl Acad. Sci. USA doi:10.1073/pnas.1007862108 (2010) before Christopher Columbus reached the New World. In a tiny proportion of the country’s residents, DNA sequences from cell organelles called mitochondria (mtDNA) resemble those of some Native Americans. Unlike nuclear DNA, mtDNA is inherited only from the mother. Sigríður Sunna Ebenesersdóttir at deCODE Genetics in Reykjavík and her colleagues traced the sequence variants back to four Icelanders born in the early 1700s. However, genetic differences between them suggest that the mtDNA derived from a woman who arrived in Iceland much earlier — possibly around R . S o c . N a t l a c a d . S c i. 1 0 0 4 | N A T U R E | V O L 4 6 8 | 2 3 / 3 0 D E C E m b E R 2 0 1 0 ReseaRch highlights Selections from the scientific literature © 20 Macmillan Publishers Limited. All rights reserved10 Nature.com For the latest research published by Nature visit: www.nature.com/latestresearch N E U R o S C I E N C E Better memory with less microRNA Learning and memory in mice seem to be enhanced by the loss of small RNA molecules called microRNAs (miRNAs) in the brain. Witold Konopka at the German Cancer Research Center in Heidelberg and his colleagues deactivated the gene for Dicer, a key enzyme in miRNA synthesis, in forebrain neurons of adult mice. Twelve weeks later, the mice showed improved learning and memory in a behavioural test. This was mirrored by increased numbers of a type of dendritic spine in mutant neurons that is associated with learning. After 20 weeks, however, some of the neurons had degenerated, confirming the importance of microRNAs for neuronal survival. J. Neurosci. 30, 14835–14842 (2010) ✪ HigHly read on jneurosci.org in November commuNity choice The most viewed papers in science C A N C E R Tumours aided by immune cells Zebrafish cells with the propensity to give rise to tumours behave similarly to wounded tissue, and call for assistance from the immune system. So say Paul Martin at the University of Bristol, UK, and his colleagues, who imaged the interactions g l A C I o l o g y Imaging grooves from glaciers Developments in radar technology have allowed geoscientists to ‘see through’ a Greenland glacier and construct three-dimensional topographic maps of its bed. Kenneth Jezek of Ohio State University in Columbus and his team used high- resolution radar tomography and synthetic-aperture radar data to measure ice thickness in a region of the Jakobshavn Glacier. They found that as the glacier slides over its bed, it cuts large-scale ridge–groove features into the bedrock that are similar to landforms found on deglaciated terrain. The orientation and dimensions of the grooves suggest that the glacier has been flowing persistently in the same direction. Understanding past glacier movement and bedrock geomorphology helps researchers to forecast climate- driven changes in the seaward flux of ice sheets. Geophys. Res. Lett. doi:10.1029/ 2010GL045519 (2010) P A l A E o A N T H R o P o l o g y Neanderthal family tree Neanderthals living 49,000 years ago may have abided in small clans banded together by their male kin. Carles Lalueza-Fox at Pompeu Fabra University in Barcelona, Spain, Antonio Rosas at the National Museum of Natural Sciences in Madrid and their colleagues analysed the remains of 12 Neanderthals. They sequenced certain regions of the mitochondrial DNA extracted from fragments of bones and teeth. The results showed that the group’s three adult males were close relatives, but the three adult females were not. The authors further inferred that an infant and two juveniles were offspring of two of the adult females. The team suggests that the individuals represent a social unit based on patrilocality, in which individuals live with the adult male’s family. Proc. Natl Acad. Sci. USA doi:10.1073/pnas.1011553108 (2010) D E V E l o P M E N T A l B I o l o g y Immune system emerges in layers The human immune system develops in waves, the first of which begins even before birth. Fetal and adult T cells originate from different stem- cell populations, allowing the fetal immune system to better tolerate foreign antigens — namely the mother’s. Joseph McCune at the University of California, San Francisco, and his colleagues compared human fetal blood stem cells and T cells with those of adults. After implantation in mice that permit human blood- cell maturation, fetal stem cells were more likely than adult ones to develop into regulatory T cells. These suppress immune activity, enhancing tolerance to antigens. Fetal stem cells and T cells also had different gene- expression profiles from the adult versions of these cells. Statistical analysis revealed that developmental stage accounted for most of these differences. Science 330, 1695–1699 (2010) V I S I o N S C I E N C E Man or woman? Depends on view Whether a face looks like that of a man or a woman depends on the part of the retina on which the image lands. the time the Vikings started exploring the Americas in about ad 1000. Because Native American populations were decimated after the arrival of the Europeans, the lineage may be missing from contemporary populations. DNA analysis of the remains of ancient Native Americans could provide a more definitive link. Am. J. Phys. Anthropol. 144, 92–99 (2011) between the cells in real time. The authors expressed a cancer-associated mutant form of the Ras protein in zebrafish (Danio rerio). Because zebrafish larvae are translucent, the team was able to visualize fluorescently labelled immune cells as they responded to the transformed cells. Cells expressing mutant Ras, and their healthy neighbours, released hydrogen peroxide, attracting immune cells called neutrophils and macrophages, which tethered themselves to the transformed cells. Blocking hydrogen peroxide synthesis — and so the recruitment of the immune cells — slowed the proliferation of transformed cells, suggesting that early immune responses may support tumour development. PLoS Biol. 18, e1000562 (2010) may have varying responses; these are averaged out by a larger image, which stimulates a greater number of cells. Curr. Biol. 20, 2112–2116 (2010) Eleven volunteers were asked to identify the gender of a series of faces (pictured) presented in one of eight possible visual- field locations relative to a central point. Arash Afraz at the Massachusetts Institute of Technology in Cambridge and his co-workers found that two identical faces were perceived to be of different gender if they were presented simultaneously in specific, different locations. Volunteers’ responses became more consistent across the visual field as the images grew in size. The researchers think that the perceptual variation may result from the small size of the stimuli relative to that of the receptive field. The small number of brain cells analysing the images at any given location E lS E v iE R 2 3 / 3 0 D E C E m b E R 2 0 1 0 | V O L 4 6 8 | N A T U R E | 1 0 0 5 ReseaRch highlights this week © 20 Macmillan Publishers Limited. All rights reserved10 Anthropology: DNA from across the ocean 
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work_dsog6u6n3zdd7ammsv6ududbqy	----	^AMERICAS A Quarterly Review of Inter-American Cultural History V o T u ^ III J A N U A R Y , 1 9 4 7 Number 3 CONTENTS A V E N E Z U E L A N EDUCATOR: D O N F E L I C I A N O M O N T E N E G R O C O L O N Mary Waiters 277 FRANCISCANS O N T H E SILVER F R O N T I E R O F O L D M E X I C O Philip Wayne Powell 295 A N A U T O G R A P H L E T T E R O F J O H N M A U R I C E O F N A S S A U , GOVERNOR O F T H E D U T C H C O L O N Y I N BRAZIL (1636- 1644) James Van der Veldt 311 C H R I S T O P H E R C O L U M B U S A N D T H E FRANCISCANS Francis Borgia Steck 319 T H E F O U R T H G E N E R A L ASSEMBLY O F T H E P A N A M E R I C A N I N S T I T U T E O F G E O G R A P H Y A N D H I S T O R Y Roscoe R. Hill 342 H I S P A N I C P H I L O L O G Y I N L A T I N A M E R I C A Helmut A. Hatzfeld 347 3n mpmortam D R . L E O S. R O W E Sumner Welles 363 D O C U M E N T S A N U N P U B L I S H E D D I A R Y O F FRAY J U A N C R E S P I , O.F.M. (1770) (concluded) (Ed.) Charles J. G. Maximin Piette 368 I N T E R - A M E R I C A N N O T E S 382 BOOK REVIEWS 389 Copyright, 1947 ACADEMY OF AMERICAN FRANCISCAN HISTORY The contents of T H E AMERICAS are fully indexed in the Catholic Periodical Index. Editorial Staff FRANCIS B. STBCK, O.F.M., Ph£>., Catholic University of America. MAYNARD GEIOEB, O.F.M., P h D . , Mission Archivist, Santa Barbara, California. FIDEL CHAUVET, O.F.M., PhJD., Mexico City, D. F. RODERICK A. MOLINA, O.F.M., M.A., Washington, D. C Managing Editor RODERICK WHEELER, O.F.M., Ph.D., Director, Academy of American Franciscan History. Advisory HERBERT E. BOLTON, Ph.D., University of California. MSGR. JOHN M. COOPER, Ph.D., Catholic University of America. CARLOS E. CASTANEDA, Ph.D., University of Texas. JOHN TATE LANNING, Ph.D., Duke University. J. MANUEL ESPINOSA, Ph.D., Loyola University of Chicago. FRANCE V. SCHOLES, PhJD., Carnegie Institution of Washington. DAVID RUBIO, O.S.A., Ph.D., Catholic University of America. ENRIQUE CARLOS DE LA CASA, Ph.D., Secretary of the Inter-American Institute. MANOEL CARDOZO, Ph.D., Oliveira Lima Library, Catholic University of America. RICHARD F . PATTEE National Catholic Welfare Conference. Editors LEWIS HANKE, Ph.D., Hispanic Foundation, Library of Congress. IRENE A. WRIGHT, F.R.H.S., Cultural Relations Division, State Department. LEO FRANCIS STOCK, Ph.D., Carnegie Institution of Washington. R U T H LAPHAM BUTLER, Ph.D., Newberry Library, Chicago. MARIE R. MADDEN, Ph.D., Teachers' Institute of Brooklyn. ROSCOE R. HILL, Ph.D., National Archives. JOSEPH F. THORNING, Ph.D., Carrollton Manor, Md. WILLIAM F. MONTAVON, LL.D., Director, Legal Department, National Catholic Welfare Conference. HENRY GRATTAN DOYLE, Ph.D'., Dean, George Washington University. W. EUGENE SHIBLS, SJ., Ph.D., Xavier University, Cincinnati, O. Address all communications to THE MANAGING EDITOR 29 Cedar Lane, N. W. Washington 14, D. C Entered as second class matter at the Postoffice at Washington, D. C , under the Act of March 3, 1879. Additional entry at the Post Office at Lancaster, Pa. Published quarterly (July, October, January and April). Annual subscrip- tion $4.00 for four issues. 
work_dtkkuqg3lrc5nhmjhdtrm3ljlm	----	Making Meaning in Life Psychological Inquiry, 23: 381–385, 2012 Copyright C© Taylor & Francis Group, LLC ISSN: 1047-840X print / 1532-7965 online DOI: 10.1080/1047840X.2012.720832 Making Meaning in Life Michael F. Steger Department of Psychology, Colorado State University and North-West University, Vanderbijlpark, South Africa The annals of global exploration are peppered with amusing stories about seafaring captains who were convinced they had discovered some new world, or a new route to a well-known world. A flotilla of ships would drop anchor and the explorer would row ashore and declare to the perplexed local inhabitants that they had been discovered. As in the case of Christopher Columbus and North America, it seems that the narra- tive and purpose of the voyage neatly and resiliently framed his experience. The comedian Louis CK jokes about the first meeting between Columbus—who in- tended to reach India—and the Caribbean inhabitants who greeted him: We came here, and they’re like, “Hi.” And we’re like, “Hey, you’re Indians, right?” And they’re like, “No.” “No, this is India, right?” “No, it’s not, it’s a totally other place.” “You’re not Indians?” “No.” “Naahhh, you’re Indians.” Part of Louis CK’s joke is that, of course, we still call indigenous Americans “Indians.” These explorers seem to exemplify a tendency an- cient fabulists and religious scribes had warned of for centuries: People adeptly discover or even manufacture evidence for their beliefs. From the elephant and the blind men, who describe a different beast for the body part each happens to feel, to the mythological Greek and Old Testament people who are ever accidentally procreating with swans, sisters, and other people’s dis- guised spouses, the human tendency to assert the inner world of beliefs, ideas, and meanings onto the external world has fascinated us. Many of us social scientists imagine that we are re- searching unique, noble constructs, each representing a singular slice of the human experience. That cannot be true for all of us, so the task and challenge of learning more about the phenomena that fascinate us is always accompanied by the task and challenge of learning how to unite our research with other research in the field. As such, our field always needs new frameworks—dare I say meaning frameworks?—for integrating our work. It is very worth considering the meaning maintenance model (MMM) proposed in the target article by Travis Proulx and Michael Inzlicht (this issue) as one such framework. Almost as if they were subjects in their own exper- iments, Proulx and Inzlicht assemble disparate threads from many different psychological disciplines into a new, but familiar, fabric. Their central argument, that many psychological phenomena can be explained by a basic tendency for people to engage in compensatory psychological actions to remedy violations of their un- derstandings of the world, resonates with much re- search in my own field. Those who study meaning in life often have argued that people seek to build mean- ing in their lives, defend it from threats, and repair it from damage (e.g., Battista & Almond, 1973; Janoff- Bulman, 1992; Reker & Wong, 1988; Steger, 2009, 2012; Steger & Frazier, 2005; Steger, Frazier, Oishi, & Kaler, 2006). Scholars have sought to articulate the kinds of meaning people experience at varying lev- els of abstraction—from the meaning of words to the meaning of “life, the universe, and everything” (Park, 2010). My commentary considers the contribution of Proulx and Inzlicht from the perspective of meaning in life research. In particular, I wish to consider (a) how the MMM might be used to help identify and test the building blocks of meaning in life and (b) ways in which the MMM might be developed to move be- yond a reactive perspective of meaning maintenance to a proactive perspective of meaning creation.. Meaning in Life Viktor Frankl (1963) is commonly cited in meaning in life research as a founding inspiration. Frankl argued that people function best when they perceive a sense of meaning and possess a life purpose, a unique mis- sion to strive for throughout their lives. Frankl’s early example has stimulated hundreds of research studies (for reviews, see Steger, 2009, 2012; Steger & Shin, 2012), and meaning in life is widely considered to be a critical ingredient in human well-being and flourishing (Kobau, Sniezek, Zack, Lucas, & Burns, 2010; Ryff & Singer, 1998; Samman, 2007; Seligman, 2011; Steger, Kashdan, & Oishi, 2008). There are several different models and theories of what meaning in life is. Scholars have argued that meaning is making sense of life (Battista & Almond, 1973), and also that there is an affective quality to 381 D ow nl oa de d by [ C ol or ad o S ta te U ni ve rs it y] a t 08 :2 6 04 D ec em be r 20 12 COMMENTARIES meaning (Reker & Wong, 1988); that meaning in pri- marily nurtured by goal-directed behavior (Klinger, 1977; Ryff & Singer, 1998); that meaning is linked to transcendent or spiritual concerns (Emmons, 2003; Mascarro, Rosen, & Morey, 2004; Reker, 2000); or that meaning comes from a sense of self-worth, efficacy, self-justification, and purpose (Baumeister, 1991). Fur- ther confusing things is a tendency in the field to use the terms “meaning” and “purpose” interchangeably. However, despite this array of ideas and a lack of preci- sion in terminology, scholars do not consider meaning and purpose to be equivalent. Rather, meaning is seen as a superordinate term that encompasses two main dimensions (Steger, 2009; Steger et al., 2006). The first dimension is comprehension, which is the ability to make sense of and understand one’s life, including one’s self, the external world, and how one fits with and operates within the world. In essence, comprehension refers to an interconnected network of schemas crafted into a meaning framework for life. The second dimen- sion is purpose, which is one or more overarching, long-term life aspirations that are self-concordant and motivate relevant activity (Steger, Sheline, Merriman, & Kashdan, in press). The Building Blocks of Meaning in Life If we accept that the principle dimensions of mean- ing in life are comprehension and purpose—and per- haps future research will establish other dimensions as well—the MMM organizes a wealth of information and insight that can be brought to bear on identifying how people achieve and maintain their comprehension of their lives. Some of these ideas have been proposed before. For example, following a traumatic event, peo- ple are thought to engage in a struggle to reconcile the immediate, situational meaning of the event with the more enduring, global meaning that corresponds with meaning in life (Janoff-Bulman, 1992; Park, 2010; Ste- ger & Park, 2012). When people reframe their situa- tional meaning to fit with their global meaning, it is called assimilation; when people are forced to revise their global meaning in the face of trauma, it is called accommodation (Park, 2010). These are versions of the first two “A”s of the MMM. In innumerable small ways, we might antic- ipate that people are interpreting their circumstances in light of their life’s meaning framework. Through iterations of assimilation and accommodation, com- prehension of life ought to be honed, improved, tested, and optimized to fit with actual experience. One ben- efit to meaning in life research of the MMM is that it points to the need to do a better job of tracing the contents of people’s meaning frameworks and assess their development over time. Even when the contents of meaning frameworks are assessed, as in sources of meaning research (e.g., Schnell, 2009), it is com- mon to treat assessments as providing stable infor- mation about what aspects of life help create mean- ing. Very little is known, however, about whether peo- ple’s sources of meaning reflect their behavior, change over time and in response to which kinds of experi- ences, or whether successes and failures relevant to sources of meaning impact perceptions of meaning in life. There is more research supporting the role of the third “A” of the MMM, affirmation, in people’s experi- ence of meaning in life. As Proulx and Inzlicht review, research driven by several fluid compensation theories show that people will affirm values and other aspects of meaning, such as self-worth or cultural worldview, when they encounter violations of their meaning frame- works. The work of Hicks and colleagues (e.g., Hicks & King, 2007; Hicks, Schlegel, & King, 2010) shows that this affirmation appears to happen when it comes to meaning in life judgments, as well. There does not seem to be any published research that can link the postulated processes of abstraction and assembly to meaning in life research. Part of the disconnect between MMM and meaning in life may come from the emphasis of the MMM on existing meaning frameworks, as well as on fairly concrete and discrete units of meaning. Major questions in mean- ing in life research focus on how people develop their sense of meaning over time and how people access and utilize their sense of meaning in life. There is an assumption in this field that the meanings people find in their own lives are legitimate and substantive, not illusory cognitions that arise to prevent the disorien- tation of meaning violations. Where learning artificial grammars and enhanced creativity in response to lab- induced meaning violations suggest that the brain is working to resolve a momentary blip, meaning in life researchers presume they are studying a fundamental orientation of the person to the world, embracing all that is important and vital to someone’s past, present, and future. What is most interesting to me is that we, as meaning in life researchers, have not yet fully es- tablished that this is true. Yes, meaning in life is linked concurrently and prospectively with a huge range of desirable psychological and physical outcomes (in- cluding living longer; Boyle, Barnes, Buchman, & Bennett, 2009). However, there have been no tests of whether the way the brain strives to restore meaning in low-stakes lab experiments is sufficient to account for the kind of meaning and purpose in life that Frankl argued inspired his survival of Nazi concentration camps. The MMM should help direct meaning in life re- search to focus on the contents of meaning frame- works, how and when people acquire and maintain them, and whether the contents or sources of mean- ing in life bear on overall well-being. Some research 382 D ow nl oa de d by [ C ol or ad o S ta te U ni ve rs it y] a t 08 :2 6 04 D ec em be r 20 12 COMMENTARIES has used daily experience sampling methods to bet- ter understand the day-to-day dynamics of meaning in life judgments (e.g., Steger & Frazier, 2005; Steger, Kashdan, & Oishi, 2008). No research has used similar methods to peer into how people’s sources of meaning manifest in daily life, however. One can also infer from the MMM that we should be open to the possibility that the judgment of meaning in life that we are researching is nothing more or less than an “all-clear” signal from the brain’s meaning violation detector. Essentially, this would suggest that if the brain is not being challenged to make sense of a simple, discrete stimulus or experience, then it emits the signal that it has made sense of life, the universe, and everything. Proactive Versus Reactive Meaning Making Meaning in life research initially seemed most at- tracted to outlining the perils of meaninglessness. The heritage of existentialism pushed to the fore questions of death, isolation, uselessness, experiential relativism, the pointlessness of violence and suffering, and the im- possibility to ever really know what was true in life or death. The focus was on how people would respond to violations of centuries-old assurances about what was true and dependable. There seemed to be an as- sumption that people would be perpetually searching for meaning in their lives in response to these vex- ing problems (Frankl, 1963; Maddi, 1970). The MMM also focuses on how people respond to meaning viola- tions. Proulx and Inzlicht argue that meaning violations create physiological arousal. The observed effects re- viewed in the target article appear fairly nonspecific and consistent with mild stress or perhaps even men- tal effort. Nonetheless, if meaning violations do cre- ate mild stress, and the accompanying physiological arousal is aversive, then people who frequently en- counter violations may be carrying a greater stress load (cf. “allostatic load”; McEwen, 1998). Several studies have linked stress to worse physical and psychologi- cal health (e.g., Justera, McEwen, & Lupien, 2010). The consequences of chronic stress may be one way in which to link the discrete meaning violation compen- sation efforts targeted by the MMM and the prepon- derance of research linking meaning in life with better well-being and health. Early theoretical work on people’s search for mean- ing in life was divided on whether it was natural and healthy to search for meaning or whether searching for meaning was an indicator of psychological dys- function (for review, see Steger, Kashdan, Sullivan, & Lorentz, 2008b). One inference that can be drawn from the MMM is that people who frequently encounter meaning violations, or struggle to ameliorate the aver- sive psychological and physiological arousal that ap- pear to accompany such violations may be those who are most likely to be searching for meaning. This idea would help explain why research often finds positive correlations between searching for meaning and psy- chological distress and negative correlations between searching for meaning and well-being indicators such as life satisfaction (e.g., Park, 2010; Steger, Kashdan, Sullivan, et al., 2008). At the same time, similar re- search also suggests that the search for meaning is not related to distress and a lack of well-being among people who also feel life is highly meaningful (e.g., Cohen & Cairns, 2012; Park et al., 2010; Steger, Kash- dan, Sullivan, et al., 2008; Steger, Oishi, & Kesebir, 2011), or people from some non-Western cultures (i.e., Japan; Steger, Kawabata, Shimai, & Otake, 2008). Per- haps these are people who feel confident about, or even excited by, the prospect of resolving meaning violations. In the past few decades, however, meaning in life research has shifted focus to identifying the presumed benefits of operating of finding one’s life to be mean- ingful. As such, recent theory has striven more to de- scribe how positive meaning in life develops than to describe how meaning fails to develop or how it is lost (e.g., Wong, 2012). Is there a way in which the MMM could generate hypotheses about the development of positive meaning in life? Can the MMM be adapted to help predict how people proactively develop mean- ing rather than reactively defend and restore meaning? The research cited in defense of the MMM suggests that meaning systems liberally borrow from cultural beliefs and worldviews, as well as personal attitudes, a sense of self-worth, perceived control over one’s fate, and reliance on our sensations and perceptions. These constructs are not so different than the foundations for meaning in life that have been implicated (e.g., Baumeister, 1991; Steger, 2009; Steger et al., in press). Yet, one impression of the MMM is that it proposes that making meaning is fairly passive, that meaning violation detection is subconscious, and that compen- sation and restoration are similarly automatic. It would be very informative to see what the effects of instruc- tion would be. Would informing research participants of the research on efforts to compensate for meaning violations reduce their reactivity to perplexing stimuli? Would helping them practice the five “A”s of meaning maintenance help them effectively redress meaning vi- olations? Framing the MMM in this way clarifies a strong resemblance to the way in which cognitive therapy views human vulnerability to psychological disorders. Cognitive therapy perceives psychological disorders as arising from maladaptive and self-defeating thoughts that both consciously and automatically magnify prob- lems and diminish one’s perceived capacity to solve them (Beck & Weishaar, 2008). Cognitive therapy works with clients to solve problems by identifying 383 D ow nl oa de d by [ C ol or ad o S ta te U ni ve rs it y] a t 08 :2 6 04 D ec em be r 20 12 COMMENTARIES maladaptive and self-defeating thoughts and helping them create and practice more adaptive and effective thoughts and self-talk. This is an oversimplification of a rich therapeutic modality, yet it adds another point of convergence with the MMM. The psychotherapeutic literature often has danced around the idea that peo- ple’s habitual, ingrained meaning systems set them on a path to distress and that avoiding such distress means rehabilitating the underlying meaning systems that are endangering them (Steger et al., in press; Wong, 1998). The MMM is consistent with this idea, and the notion that people who have developed maladaptive mean- ing in life frameworks have an increased likelihood to struggle, as their comprehension of existence or their purpose in life crashes headlong again and again into the immovable reality of their own capacity and the nature of the world (Steger & Park, 2012; Steger et al., in press). Toward the end of their article, Proulx and Inzlicht muse on the relationship between the content of the meaning framework that is violated and the nature and effectiveness of compensation efforts that follow. It seems likely that helping people to understand the con- tents of their meaning frameworks would provide them with a basis for experimenting in their own lives. Using methods developed in cognitive therapy and other psy- chotherapies, this new understanding of the mechanics of meaning maintenance could generate new and im- proved interventions for proactively building meaning in life. Conclusion The MMM elaborated upon by Proulx and Inzlicht is highly appealing to meaning in life researchers. After all, many of us have been drawn to this area of research and application because meaning in life seems to hold so much potential for integrating the most vital and generative aspects of the human condition. Meaning in life research gazes up the hierarchical ladder of abstrac- tion to notions of cosmic meaning, self-transcendence, spirituality, and universality. By helping the field of meaning in life research climb down the ladder a little bit and focus on questions of how the brain makes, detects, defends, and repairs meaning, the MMM pro- vides a promising perspective on revitalizing our sci- entific quest to understand how people gather myriad streams of experience into the catch basin of conscious- ness. Note Address correspondence to Michael F. Steger, De- partment of Psychology, Colorado State University, 1876 Campus Delivery, Fort Collins, CO 80523. 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Kobau, R., Sniezek, J., Zack, M. M., Lucas, R. E., & Burns, A. (2010). Wellbeing assessment: An evaluation of wellbeing scales for public health and population estimated of wellbeing among US adults. Applied Psychology: Health and Wellbeing, 2, 272–297. Maddi, S. R. (1970). The search for meaning. In M. Page (Ed.), Nebraska symposium on motivation (pp. 137–186). Lincoln, NE: University of Nebraska Press. Mascaro, N., Rosen, D. H., & Morey, L. C. (2004). The development, construct validity, and clinical utility of the spiritual meaning scale. Personality and Individual Differences, 37, 845–860. McEwen, B. S. (1998), Stress, adaptation, and disease: Allostasis and allostatic load. Annals of the New York Academy of Sciences, 840, 33–44. Park, C. L. (2010). Making sense of the meaning literature: An inte- grative review of meaning making and its effects on adjustment to stressful life events. Psychological Bulletin, 136, 257–301. Reker, G. T. (2000). Theoretical perspective, dimensions, and mea- surement of existential meaning. In G. T. Reker & K. Chamber- lain (Eds.), Exploring existential meaning: Optimizing human development across the life span (pp. 39–58). Thousand Oak, CA: Sage. Reker, G. T., & Wong, P. T. P. (1988). Aging as an individual process: Toward a theory of personal meaning. In J. E. Birren & V. L. Bengston (Eds.), Emergent theories of aging (pp. 214–246). New York, NY: Springer. Ryff, C. D., & Singer, B. H. (1998). The contours of positive human health. Psychological Inquiry, 9, 1–28. Samman, E. (2007), Psychological and subjective wellbeing: A pro- posal for internationally comparable indicators. Oxford Devel- opment Studies, 35, 459–486. 384 D ow nl oa de d by [ C ol or ad o S ta te U ni ve rs it y] a t 08 :2 6 04 D ec em be r 20 12 COMMENTARIES Schnell, T. (2009). The Sources of Meaning and Meaning in Life Questionnaire (SoMe): Relations to demographics and well-being. The Journal of Positive Psychology, 4, 483– 499. Seligman, M. E. P. (2011). Flourish. New York, NY: Free Press. Steger, M. F. (2009). Meaning in life. In S. J. Lopez (Ed.), Ox- ford handbook of positive psychology (2nd ed., pp. 679–687). Oxford, UK: Oxford University Press. Steger, M. F. (2012). Experiencing meaning in life: Optimal func- tioning at the nexus of spirituality, psychopathology, and well- being. In P. T. P. Wong (Ed.), The human quest for meaning (2nd ed., pp. 165–184). New York, NY: Routledge. Steger, M. F., & Frazier, P. (2005). Meaning in life: One link in the chain from religion to wellbeing. Journal of Counseling Psychology, 52, 574–582. Steger, M. F., Frazier, P., Oishi, S., & Kaler, M. (2006). The Meaning in Life Questionnaire: Assessing the presence of and search for meaning in life. Journal of Counseling Psychology, 53, 80–93. Steger, M. F., Kashdan, T. B., & Oishi, S. (2008). Being good by doing good: Daily eudaimonic activity and well-being. 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Fogler (Eds.), To- ward an integrated approach to trauma focused therapy: Plac- ing evidence-based interventions in an expanded psychological context (pp. 171–191). Washington, DC: APA. Steger, M. F., Sheline, K., Merriman, L., & Kashdan, T. B. (in press). Acceptance, commitment, and meaning: Using the synergy be- tween ACT and meaning in life research to help. In T. B. Kash- dan & J. Ciarrochi (Eds.), Cultivating well-being: Treatment innovations in positive psychology, acceptance and commit- ment therapy, and beyond. Oakland, CA: New Harbinger. Steger, M. F., & Shin, J. Y. (2012). Happiness and meaning in a technological world. In P. Brey, A. Briggle, & E. Spence (Eds.), The good life in a technological age (pp. 92–108). New York, NY: Routledge. Wong, P. T. P. (1998). Meaning-centered counselling. In P. T. P. Wong & P. Fry (Eds.), The human quest for meaning: A handbook of psychological research and clinical applications (pp. 395–435). Mahwah, NJ: Erlbaum. Wong, P. T. P. (2012). 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work_dvo2lh2wz5hhfgdqeikfnfldby	----	Science Magazine renewal of some nuclear pore components leads to the gradual deterioration of nuclear pore function. As a consequence, the nuclei of older cells become leaky, and proteins that would nor- mally be excluded from the nucleus can be found within it. — SMH Cell 136, 284 (2009). C H E M I S T R Y Product Protection Chemical transformations often pose the dilemma that a desirable product may prove unstable under the reaction conditions. In certain cases, such intermediate products may be sufficiently volatile to be removed evaporatively from the reaction mixture as they are generated, but many compounds are not amenable to this mode of sep- aration. A particularly insidious challenge arises in the partial alkylation of amines. Adding an alkyl group renders an amine more nucleophilic than before, and so more likely to attract yet another alkyl group; therefore, simply mixing equivalent amounts of amines and alkyl electrophiles tends to afford a mixture of unreacted and polyalkylated products. Yebeutchou and Dalcanale skirt the 20 FEBRUARY 2009 VOL 323 SCIENCE www.sciencemag.org984 C R E D IT S ( T O P T O B O T T O M ): O L IV IE R W E IK E N /E P A /C O R B IS ; D ’A N G E L O E T A L ., C E L L 1 3 6 , 2 8 4 ( 2 0 0 9 ) EDITORS’CHOICE C E L L B I O L O G Y Aging Disgracefully As we age, all too many aspects of our physique deteriorate—not just at the macroscopic scale of our limbs and organs, but also at the single- cell level. Nuclear pores allow for the transport of proteins and nucleic acids across the nuclear envelope, both from the cytoplasm to the nucleus and in the reverse direction, and are essential in normal trafficking processes involved in gene expression, cellular homeostasis, and growth. Nuclear pores are complexes of many individual protein components, some of which are extraordi- narily long-lived. D’Angelo et al. have examined the characteris- tics of these complexes in aging postmitotic cells from Caenorhabditis elegans and from rodents, and find that as cells grow old, the lack of problem by adding molecular sequestering agents that selectively capture amines after their preliminary reaction step, thereby protecting them from further interaction with a methylating agent (iodomethane). The optimized protectors were tetra(arylphosphonate)-based cavitands that attracted monomethylated alkyl ammonium cations through ion-dipole forces, hydrogen bonding at the rim, and C-H–pi interactions deep in the cavity. In their presence, a range of alkyl and aryl primary amines could be selectively methylated in good yield. The authors verified preferential encapsulation of the secondary ammonium ions in solution using nuclear mag- netic resonance spectroscopy. — JSY J. Am. Chem. Soc. 131, 10.1021/ja809614y (2009). N E U R O S C I E N C E Opioids and Drink Substance abusers score higher on measures of cognitive and motor impulsivity. Cognitive impul- sivity refers to the inability to delay gratification, whereas motor impulsivity, or disinhibition, describes the inability to withhold a pre-potent response. Animal studies confirm that impulsivity EDITED BY GILBERT CHIN AND JAKE YESTON P S Y C H O L O G Y Cycling Between Worlds During the run-up to the first round of the 2007 presidential election in France, boundaries blurred as the usual mix of campaign rhetoric and dirty tricks spilled over into the virtual world of Second Life. Whether these skirmishes influenced the real-world electorate is unclear, and McCabe et al. have begun to investigate whether associa- tions learned within the confines of a computer- based contest might affect participants’ behavior in real-world situations. They conditioned partici- pants to chase or avoid cyclists who overtook them by linking one type of jersey logo to fruit juice and the other to salty tea, respectively. Several days later and in a different building, approximately two-thirds of the participants, while waiting for their turn in the brain scanner, elected to sit in a chair on which was draped a towel embroidered with the positively associated logo. Furthermore, neural activity of the insula region of the brain (a measure of motivational salience) reflected the previous conditioning of appetitive and aversive stimuli, hinting at a carryover from the virtual reality cycling competition. — GJC J. Neurosci. 29, 1046 (2009). Normally cyto- solic protein tubulin (green) inside an old nucleus. Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ www.sciencemag.org SCIENCE VOL 323 20 FEBRUARY 2009 C R E D IT : J U P IT E R I M A G E S correlates with drug intake, although nearly all of these studies have examined impulsivity in rela- tionship to psychostimulant drugs. Olmstead et al. have investigated whether deletion of the �- or �-opioid receptor genes alters motor impulsivity in mice. They tested the behavior of these mutant animals in an operant- based behavioral task that assesses the ability of mice to withhold a well-learned pre-potent response (a nose poke used to gain a sucrose reward); the reward can be obtained only when nose-poke responses are made during a brief light stimulus. Mice lacking �-opioid receptors exhib- ited decreased motor impulsivity, whereas those lacking �-opioid receptors showed increased motor impulsivity. Additionally, mice lacking �-opioid receptors were insensitive to the effects of alco- hol, which increases impulsivity and decreases conditioned responding in wild- type mice, and the behavior of mice lack- ing �-opioid receptors was completely disrupted by alcohol. Taken all together, these results indicate a link between opiate receptors in the brain, impulsive behavior, and behavior directed toward ingesting alcohol. — PRS PLoS ONE 4, e4410 (2009). M O L E C U L A R B I O L O G Y Finely Balanced Registers Many genes are interrupted by noncoding introns that must be precisely excised from the RNA molecules transcribed from the gene. In the first step of the splicing reaction, a large RNA- protein splicing machine recognizes the 5’ end of most introns via the complementarity of this region to one of the spliceosome components, the U1 RNA. Yet other 5’ splice sites show little complementarity to the canonical U1 sequence and are nonetheless efficiently and accurately spliced by the very same machine. In puzzling over this conundrum, Roca and Krainer noticed that a subset of these atypical 5’ splice sites did have a sequence that could form a base-paired region with the U1 sequence, but only if shifted one base downstream of the nor- mal 5’ splice site (the +1 register). Mutating one of these atypical 5’ splice sites to improve its complementarity to the U1 RNA in the canonical register resulted in aberrant, rather than improved, splicing. Furthermore, mutations in the +1, but not canonical, register of the U1 RNA that restored base pairing with the mutated atypical 5’ splice sites could rescue the splicing defects. Understanding that the U1 RNA can rec- ognize two subsets of 5’ splice sites in two regis- ters accounts for the splicing of atypical 5’ splice sites and also explains the deleterious effect of a mutation in the intron of the gene RARS2, which is associated with pontocerebellar hypoplasia. EDITORS’CHOICE 17050 Montebello Road Cupertino, California 95014 Email:AAASInfo@betchartexpeditions.com For a detailed brochure, please call (800) 252-4910 PERU June7-17,2009 Explore extraordinary cultural and archaeological wonders of Peru. Tour Lima and visit Huaca Pucclana archaeological site. See the heart of the Inca Empire at Cuzco and spec- tacular landscapes in the Andes. Visit Machu Picchu, Ollantaitambo, and Sacsayhuaman. $3,695 + air. Spitsbergen July14-26, 2009 Explore the Arctic and better understand global warming. Travel on board the M/V Antarctic Dream and see glaciers, wild- flowers, polar bears, walrus, Arctic fox, great whales, and much more! From $4,995 + air. Azores &Atlantic Crossing June 1-14, 2009 Cruise to the Azores on board the CleliaIIwith lectures at sea en route to Santa Maria where Christopher Columbus made landfall on his return from America. On the island of Sao Miguel, explore Ponta Delgada and breathtaking Sete Cidades, where two lakes fill a volcanic crater. Visit the islands of Terceira, Pico, and Faial. From $5,995 + air. China’s 2009 Eclipse July13-24, 2009 Visit three of China’s important cultural sites—Beijing, Xi’an, and Hangzhou—before seeing the Total Solar Eclipse, July 22, 2009 at the mouth of the Qiantang River near Hangzhou. $3,695 + air. Travel with AAAS Although the 5’ splice site mutation improves complementarity with the canonical U1 register, it weakens base pairing in the +1 register, and it is this imbalance that probably causes the exon skipping seen in the disease. — GR Nat. Struct. Molec. Biol. 16, 176 (2009). E N G I N E E R I N G Keeping Chips Cool The heat that is generated by silicon chips in the integrated circuits at the heart of modern elec- tronic devices must be efficiently removed, because the performance of field-effect transistors degrades at higher temperatures. One approach for providing active cooling next to a chip is to use thermo- electric materials, which effectively transport heat via current flow. Chowd- hury et al. fabricated a material with a high coeffi- cient of thermoelectric perform- ance and sandwiched it between the chip and a thermal sink layer. Specifically, the thermoelectric mate- rial comprised superlattices of p-type Bi 2 Te 3 /Sb 2 Te 3 and n-type Bi 2 Te 3 /Bi 2 Te 2.83 Se 0.17 grown on GaAs substrates by metal-organic chemical vapor depo- sition. The assembled devices could cool a targeted region on a silicon chip with a high heat flux (1300 W/cm2) by 15°C. — PDS Nat. Nanotechnol. 4, 10.1038/ NNANO.2008.417 (2009). A P P L I E D P H Y S I C S Sensing the Vibes Remotely Vibrations in machinery can lead to excessive wear, and, in the worst case, to catastrophic failure. Mon- itoring unwanted vibration is therefore an impor- tant safety issue. Probing the response of materials to vibrations at ultrasonic frequencies can provide a diagnostic test for defects and cracks in materials that may appear before the device breaks down. It is not always possible, or feasible, to use mechani- cally attached sensors, and so optical sensors may allow for nonintrusive monitoring. Bouncing laser light off a textured surface (such as a wall, a can, or paper) produces a speckle pattern. Bessette et al. introduce a photoconductive sensor that probes the movement of the speckle pattern as the sam- ple, in this case a metal surface cut from a can, is vibrated at high frequency. Using a simple silicon- based photoconductive element, which can be shrunk to micrometer size, they can look at the movement of a single speckle, thereby giving them the ability to monitor vibrations at ultrasonic fre- quencies remotely. — ISO Appl. Phys. Lett. 94, 41121 (2009). Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ Keeping Chips Cool Phil Szuromi DOI: 10.1126/science.323.5917.985b (5917), 985.323Science ARTICLE TOOLS http://science.sciencemag.org/content/323/5917/985.2 CONTENT RELATED file:/content/sci/323/5917/twil.full PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American Association for the Advancement ofScience © 2009 American Association for the Advancement of Science o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/323/5917/985.2 http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_dxdt6cr5rzevtcvowvmmq5qbpq	----	40378$BRK1 (CALM) network has collected data on long-term changes in ac- tive-layer thickness. Now, increasing attention is being given to the decay of organic matter held within the upper layers of perma- frost and the associated release of carbon and methane. For exam- ple, the Northern Circumpolar Soil Carbon Database estimates that 1672 billion metric tons of carbon exists in the upper layers of permafrost. This could produce 6000 billion metric tons of CO2, or twice the amount of CO2 currently in the atmosphere. In northern Alaska, the expansion of thaw lakes between 1974 and 2000 in- creased methane emissions, an even more potent greenhouse gas, by 58%. The obvious lesson is that the thaw of near-surface perma- frost will be an important accelerator of global warming in the high latitudes. Chapter seven, A Hazy Shade of Winter, discusses the soot, transported into the Arctic, that results from fire in the boreal forests and from industrial pollution in northern Eurasia. Some argue that soot may be the next most important contributor to global warming after CO2 because it darkens snow and enhances melt. Twelve papers are discussed by Bjørnœs and Prestrud but the results are inconclusive; it appears that arctic soot concentrations in the atmo- sphere and on the snow peaked in the 1960s. They conclude that the contribution of soot to arctic warming is limited. One wonders why this topic warranted a separate chapter. The final two chapters are For Better or for Worse and South- ern Invasion. They refer, respectively, to human life in the Arctic (chapter eight) and changes in terrestrial ecosystems (chapter nine). As such, climate lessons are not really applicable. The chapters discuss reindeer herding, fish stocks, transportation issues, the greening of the tundra as seen from space, the northward movement of the tree line, and the life cycles of lemmings and arctic fox. The text is not without criticism. For example, the criteria for paper selection are unclear and the broader literature that gives appropriate background is sometimes lacking. Some chapters, such as those on sea ice and thawing permafrost, are far more important than others. Some chapters exaggerate the ‘lessons’ that can be learnt and are overly dramatic as regards possible impacts. The ‘Nordic’ component of the Arctic is overemphasized at the expense of the North American Arctic. Insufficient attention is paid to Ant- arctica as regards the global climate system. Almost certainly, this monograph will have a short shelf life; this is because the text will be quickly overshadowed by newer research. Nevertheless, it throws light on some major climate- related concerns of high latitudes. Those interested in polar regions and global climate change will find this monograph an easy read that is well illustrated with simple and effective diagrams and pho- tographs. HUGH FRENCH Professor Emeritus, University of Ottawa 10945 Marti Lane North Saanich, British Columbia V8L 6B3 Canada CIRCUMPOLAR HEALTH ATLAS. By Senior Editor T. Kue Young and Associate Editors Rajiv Rawat, Winfried Dall- DOI: http://dx.doi.org/10.1657/1938-4246-45.1.154 154 / ARCTIC, ANTARCTIC, AND ALPINE RESEARCH mann, Susan Chatwood, and Peter Bjerregaard. Toronto, Buffalo, London: University of Toronto Press, 2012. vii, ix � 190 pp., maps, color and black-and-white illustrations, bibliography, credits. $75.00 (hardcover). ISBN 978-1- 4426-4456-4. The Circumpolar Health Atlas is a highly accessible and at- tractive work. The size and design of the book adds to both its visual appeal and easy access of information. It is approximately 20 cm high by 25 cm wide and is thus easily handled. At only 190 pages, it is not heavy when it comes to weight, but in terms of information it is very solid. Upon opening it, one sees two pages at once, with a useful and eye-catching combination of illustrations and text. The editors claim to have tried to appeal particularly to the non-academic reader. By eliminating footnotes and avoiding jargon it will undoubtedly succeed in this. However, it still manages to be both scholarly and erudite. It is rare that a work can be of use to both the academic and general reader. An example of such a work, complementary to this one, is the ARCTIC HUMAN DEVELOP- MENT REPORT (Einarsson et al., 2004), and the ATLAS also falls squarely into this category. In their preface, the editors note that working on the ATLAS has been a ‘‘labour of love.’’ This is un- doubtedly the key to the fact that they have succeeded in producing a book that, in their words, is (they hope) ‘‘not just a scientific book, but also a work of art!’’ Although the book is called a ‘‘Health Atlas,’’ it is also a mine of general information concerning the arctic and polar regions. It is divided into five sections plus a useful bibliography and credits. The first section is entitled ‘‘The Circumpolar World’’ with four subsections: (1) Introduction; (2) Lands and Seas; (3) Changing Climate; and (4) Plants and Animals. This provides a general over- view of the geography of the Arctic. The second section concerns ‘‘Circumpolar Peoples’’ with chapters on: (1) Cultures and Lan- guage; (2) Origins and Prehistory; (3) History and Politics; (4) Population and Settlements; and (5) Society and Economy. This focuses on the human dimension—the cultures and languages of the people who inhabit the circumpolar Arctic, as well as their social and economic conditions. The third through fifth sections address the main focus of the book. Section three is on ‘‘Health Status’’ and has chapters on specific diseases and their context. These are: (1) General Health; (2) Children and Youth; (3) Repro- ductive Health; (4) Infectious Diseases; (5) Cancer; (6) Cardiovas- cular Diseases; (7) Diabetes and Obesity; (8) Injuries and Violence; and (9) Mental Health and Suicide. Section four is on ‘‘Health Determinants’’ and considers: (1) General Susceptibility; (2) Cold and Dark; (3) Living Conditions; (4) Environmental Quality; (5) Nutrition and Physical Activity; and (6) Smoking, Alcohol, and Substance Use. The fifth and final section, ‘‘Health Systems,’’ considers: (1) Governance and Organization; (2) Financing and Expenditure; (3) Programs and Services; and (4) Education and Research. The aim and focus of the book is stated clearly and concisely on the first page of the introduction: ‘‘This is an atlas about the health of the diverse populations who inhabit the circumpolar re- gions in the northern hemisphere. As an atlas, it uses maps, charts, tables, and images to describe and explain visually the major health patterns and related issues’’ (p. 2). On this page also, a number of basic facts concerning the ‘‘north’’ are given. Thus, for example, there is an inset table with a glossary of ‘‘northern terms.’’ In particular, four key terms are explained. These are: Arctic, Polar, Boreal, and Nordic. These are terms that are in constant use by those undertaking research in the Arctic. However, the definitions given here are clear and concise and it is always nice to be reminded that the word ‘‘Arctic’’ comes from the Greek arktos, for bear, referring to the constellation Ursa Major. The North Star, or Polaris, in Ursa Major, is directly above the North Pole. As well as very clearly laid-out text which gives a number of basic explanations and definitions of key concepts, these first two pages of the book also contain a map of the circumpolar world, a picture of the Aurora Borealis in the night sky, and a picture which illustrates ‘‘finding north in the night sky.’’ This pattern is followed in the rest of the book and each page is pleasing to the eye. The numerous maps are excellent, and range from a fine reproduction of the Gerardus Mercator map of the Arctic from 1595 (p. 55) to many maps of specific and general arctic and northerly regions. Mercator’s map is the first printed map of the northern hemisphere and, for its time, appears astonishingly accurate. Other illustrations throughout the book are lavish and of high quality, and cover an extremely wide range of subjects. They all provide further amplification of the text. Thus, for example, the section on ‘‘History and Politics’’ describes the Russian conquest of Siberia in the late 1500s by Yermak Timofeevich who has been called the ‘‘Christopher Columbus of Russia’’ for his conquest and annexation of Siberia. As well as providing Russia with Siberia’s natural resources, this opened the Pacific coast to Russia and led to the ‘‘discovery’’ of the Bering Strait separating Asia from North America. The text describing this event is illustrated by an oil painting by Vasily Ivanovich from 1895 depicting Yermak’s con- quest of Siberia. Here we are also reminded that in 1867, Czar Alexander II sold Alaska to the United States for $7.2 million (p. 59), an example of one of many facts presented in an apposite manner. Although focusing on current issues of health, the ATLAS in- cludes much historical information that provides an excellent per- spective to present-day concerns. Covering so much ground, how- ever, it is perhaps inevitable that there will be points that ‘‘experts’’ in a particular field might feel are given only superficial coverage. Thus, at the beginning of the section on ‘‘History and Politics’’ on page 51, there is some text and a heading entitled ‘‘The Vikings Cometh.’’ There is also a table (continued on the following pages) entitled: ‘‘Major historical events in circumpolar countries and their northern regions’’ with a timeline of events in Greenland, Iceland, the Faroes, Fennoscandia, and Russia from just before the 10th century through to the present. Here this reviewer found what might be termed a tiny item of what may uncharitably be called dross amongst the general gold of the book. The Norse settlements in Greenland are here said to have died out in the 14th to 15th centuries ‘‘with the onset of the Little Ice Age.’’ This unfortunately sounds a lot like the standard chestnut regarding the Norse in Greenland: ‘‘It got cold and they died.’’ Continuing on this topic, the text also states, ‘‘The onset of the Little Ice Age around 1450–1500 likely put tremendous stress on what was still a medieval European farming-based society.’’ In BOOK REVIEWS / 155 actual fact the situation was, of course, far more complex (e.g. Ogilvie et al., 2009). In contrast to this generality, in the table the oddly precise fact is given that in AD 1001 Leif Ericsson (sic) made a landfall on Baffin, albeit with a question mark. Nevertheless, this is a useful table for a very general overview of a history of arctic exploration. Accompanying the first page of this table there is a series of excellent photographs showing, for example, what this reviewer would take to be petroglyphs from Finnmark in Norway, which have been dated between 4200 BC and AD 200. The caption says ‘‘pteroglyphs’’ but presumably that is a typographical error (doubtless the only one in the book). Other photographs show tools and house remains from a variety of northern cultures, from Early Dorset to Old Bering Sea. A sixth photograph on this page shows a view from the reconstructed Norse house at the settlement at L’Anse aux Meadows on the northernmost tip of Newfoundland. Although an excellent introduction to the Arctic in general, the main part of the ATLAS is, of course, concerned with health. It takes an extremely broad view of the topic and considers not just obvious aspects such as infectious diseases and mental health but also the effects of injuries and violence; nutrition and physical activity; health in the home with regard to the effects of smoking, drinking and substance abuse; and the quality of the general envi- ronment, in particular the effects of contaminants in the Arctic. Residents of arctic regions share many common situations, such as light summer nights and long, dark, cold winters. In particular, a cold climatic regime may pose significant health risks for those who live under it. Cold in itself may aggravate the symptoms of chronic diseases, and excess winter mortality is a well-reported phenomenon throughout the world (p. 128). Cold injuries can arise from the cooling of body tissues, causing frostbite or hypothermia. A further effect of the cold is the increased prevalence of depressive symptoms and negative mood states in winter that affect some people. This is referred to as SAD, or ‘‘Seasonal Affective Dis- order.’’ Across the circumpolar Arctic, other aspects such as living conditions and governance vary widely between the nations, and indeed between different regions. Thus the northern regions in Fen- noscandia generally score more positively in a variety of health indicators than the northern regions of North America and Russia. Also, within each country in Fennoscandia, the ‘‘north-south’’ dis- parity is less marked. Thus the general health of the Sámi is far better than indigenous peoples in Alaska, northern Canada, Green- land, and Arctic Russia (p. 133). The association between socio- economic status and health has been observed for a long time, but historical factors also cause great differences between the well- being of different arctic nations. Exactly what constitutes good health is complex, but a commonly used indicator in international comparisons is life expectancy at birth. Also used is the United Nations Human Development Programme index (HDI). This com- bines statistical measures of health, education, and the general stan- dard of living. In 2010, Norway, the United States, Canada, and Sweden ranked within the top 10, and Iceland, Finland, and Den- mark within the top 20, while Russia ranked 65th (p. 88). The CIRCUMPOLAR HEALTH ATLAS is unusual in that it could sit on one’s coffee table to be dipped into when one felt the need to gaze at a pleasing arctic image or map, or to be surprised by a fact that one did not know before. However, it would be equally at home in a middle or high school, on a college curriculum, and, not least, on a scholarly bookshelf as a useful reference work. It is to be recommended for all these possibilities and more. References Cited Einarsson, N., Nymand Larsen, J., Nilsson, A., and Young, O. R. (eds.), 2004: Arctic Human Development Report (AHDR). Akureyri: Ste- fansson Arctic Institute. Ogilvie, A. E. J., Woollett, J. M., Smiarowski, K., Arneborg, J., Troels- tra, S., Pálsdóttir, A., and McGovern, T. H., 2009: Seals and sea ice in medieval Greenland. Journal of the North Atlantic, 2: 60–80. ASTRID E. J. OGILVIE Institute of Arctic and Alpine Research University of Colorado CB 450 Boulder, Colorado 80309-0450 U.S.A. 156 / ARCTIC, ANTARCTIC, AND ALPINE RESEARCH 
work_dym64lfayfhxnphm7gasilfara	----	JAMAICAN TAÍNO SETTLEMENT CONFIGURATION AT THE TIME OF CHRISTOPHER COLUMBUS David V. Burley, Robyn P. Woodward, Shea Henry, and Ivor C. Conolley Stranded in Jamaica for a year in AD 1503, Christopher Columbus and crew became reliant on the Taíno village of Maima for provisions. Recent archaeological survey and excavations at this site document a sizeable hillside settlement established early in the White Marl period of Jamaican culture history with continued occupation up to Spanish contact. Beginning by 13th to 14th century AD, the people at Maima expanded their settlement capacity across the hillslope through construction of house terraces and platforms employing large volumes of limestone rock and gravel fill. Archaeological excavation on these features has exposed at least one circular, center-pole Taíno house with a surprisingly limited floor space. A review of Jamaican archaeology suggests both hillside terracing and small house form is characteristic of Jamaican Taíno village configuration more broadly. This pattern stands in contrast to other areas of Taíno settlement in the Caribbean, and to the small number of Spanish chronicles in which Taíno villages and houses are described. Atrapados en Jamaica por alrededor de un año en 1503 d. C., Cristóbal Colón y su tripulación se vieron obligados a depender del aprovisionamiento de la aldea taína de Maima. Recientemente, en este sitio se han efectuado prospecciones y excavaciones arqueológicas que evidencian un importante asentamiento en las laderas, establecido tempranamente en el período White Marl de la historia cultural jamaiquina y con una ocupación continua hasta la etapa de contacto español. La población de Maima, establecida entre los siglos trece y catorce, expandió la capacidad de su asentamiento sobre las laderas a través de la construcción de terrazas habitacionales y plataformas empleando grandes cantidades de roca marga y relleno de grava. La excavación arqueológica en estos rasgos ha expuesto al menos una estructura circular que corresponde a una casa taíno de poste central con una superficie sorprendentemente limitada. Una revisión de la arqueología jamaiquina sugiere, en términos generales, que tanto el aterrazamiento de laderas como el tipo de casa pequeña son característicos de la configuración del pueblo taíno jamaiquino. Este patrón contrasta con otras zonas de asentamiento taíno en el Caribe y con las escasas crónicas españolas en las que se describen aldeas y casas taínas. O n May 5, 1494, during his second voyage to the New World, Christopher Colum- bus first encountered Jamaica and its indigenous peoples, naming the north coast har- bor Santa Gloria (today St. Ann’s Bay). Colum- bus returned to Santa Gloria on June 25, 1503, this time in desperation. His caravels La Cap- itana and Santiago were no longer seaworthy. Pulled together and beached, they became his bastion until he was rescued on June 29, 1504. David V. Burley Department of Archaeology, Simon Fraser University, Burnaby, BC, Canada, V5A 1S6 (burley@sfu.ca, corresponding author) Robyn P. Woodward Department of Archaeology, Simon Fraser University, Burnaby, BC, Canada, V5A 1S6 (woodward1459@gmail.com) Shea Henry Department of Archaeology, Simon Fraser University, Burnaby, BC, Canada, V5A 1S6 (shenry@sfu.ca) Ivor C. Conolley Windsor, The Genesis Project, Sherwood Content P.O., Trelawny, Jamaica (ivorcconolley@gmail.com) For that year the Spanish were reliant upon the Taíno for essential provisions. Central to this effort was Maima, a well-populated Taíno village a “quarter league” (1.4 km) distant from the ships (Morison 1963:367). When Diego Columbus, Governor of the Indies and son of Christopher, gave the command in 1509 to estab- lish a Jamaican colony, Sevilla la Nueva, his knowledge of Maima and St. Ann’s Bay were instrumental in its placement (Padron 2003). Latin American Antiquity 28(3), 2017, pp. 337–352 Copyright © 2017 by the Society for American Archaeology doi:10.1017/laq.2017.14 337 https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at mailto:burley@sfu.ca mailto:woodward1459@gmail.com mailto:shenry@sfu.ca mailto:ivorcconolley@gmail.com https://doi.org/10.1017/laq.2017.14 http://crossmark.crossref.org/dialog/?doi=10.1017/laq.2017.14&domain=pdf https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core 338 [Vol. 28, No. 3, 2017LATIN AMERICAN ANTIQUITY The fate of the Jamaican Taíno encountered by Columbus and that of other Taíno peoples throughout the Greater Antilles is a tragic one: within a century these groups had been con- quered and virtually disappeared (on Jamaica, see Wesler 2013:252–253). Despite the inten- sity of the Spanish-Taíno engagement over that period, only a handful of chronicles describe Taíno society in more than passing references. These chronicles, as Keegan (2013:70–72) notes, are not without problems either in their documen- tation or subsequent use. Of particular concern is their facilitation of a homogeneous ethnographic present for the Taíno of the Greater Antilles, one that denies potentially diverse histories, cul- tural and linguistic variation, and island-specific adaptations (Keegan 2007; Oliver 2009; Wilson 2007).1 A growing archaeological dataset and close inspection of the ethnohistorical sources suggest a complex reality (Curet 2003:22). The role of the archaeologist is to document the diversity of cultural expressions for the Taíno with emphasis, as Keegan (2013:81) states, on “the processes responsible for a multivalent Caribbean.” We contribute to this exercise for Jamaica through examination of Taíno settlement configuration as it existed in the village of Maima at the time of Spanish contact. Maima is strategically positioned on a hillside above the coastal plain, a topographic setting broadly characteristic of Taíno settlement patterns across the island. Archaeological research at Maima in 2014 and 2015 provides new insight into how this settlement type was accomplished through the use of artificial terraces and leveled platforms for Taíno house construction. Excavations on two of these terraces provide further documentation of the Jamaican Taíno house. In both settlement form and household features the Jamaican Taíno are distinctive within the scope of Caribbean archaeology. An Archaeological Context for Maima The historical record for Maima and the ini- tial Taíno engagement with the Spanish is lim- ited to a small number of references in the accounts of Columbus (Morison 1963), his son Ferdinand Columbus (Keen 1959), and Diego Mendez, chief clerk of the fleet (Major 1961). Being the closest village to Columbus’s ships in 1503, Maima was pivotal in the trade for provisions between the Spanish and the Taíno (Collard 1971:133; Padron 2003:8). Beyond this, Ferdinand Columbus describes Maima as the locale where his father’s supporters defeated Captain Porras and his band of mutineers in 1504 (Keen 1959:280–281). It is unclear where or how Maima fits into the political landscape of the Taíno in Jamaica. The number of archaeological sites along the Jamaican north coast (Allsworth- Jones 2008:79) suggests a dense population in later prehistory, with village locations regu- lated by upland terrain features and freshwater drainage. In a review of the limited descrip- tions provided by the Spanish chronicles, Wesler (2013:253) suggests a multiplicity of caciques with at least one, Huareo, holding considerable authority. Nevertheless, the accounts allow no more than the assumption of a nested political hierarchy in which regional polities, cacicazgos, may have existed. That neither Columbus nor his son identified the name or authority of the Maima cacique could suggest a subordinate rank. The archaeological site of Maima was first documented in the 1940s by the avocational archaeologist Charles Cotter, who found “a num- ber of Arawak middens scattered over a large area” along “the bank of the dry riverbed known as Parson’s Gulley” (Aarons 1984:28). Tynsdale- Biscoe (1954) conducted additional excavations here in the early 1950s. In 1971 the govern- ment of Jamaica purchased the 300-acre Seville plantation, including Maima, to preserve and interpret the earliest history of the country within a heritage park. Leading up to the quincentennial celebration of Columbus’s first voyage, Spain provided funding and archaeological expertise for research on the first Spanish colony of Sevilla la Nueva; director Lorenzo E. Lopez y Sebastian expanded this to incorporate test excavations at Maima in 1982 (Lopez 1986). The results of the Lopez project were never written up in more than cursory notation. The excavation units at Maima were not backfilled, however, and were easily located in more recent investigations. In 2009 the Jamaican government submitted a nomination to UNESCO to have the “Seville Heritage Park” added to the World Heritage https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core Burley et al.] 339JAMAICAN TAÍNO SETTLEMENT CONFIGURATION Figure 1. Jamaican Taíno Village of Maima, St. Ann’s Bay, Jamaica. List (it is presently on a Tentative List). Incor- porating Maima, the Sevilla la Nueva colony, and the post-1655 British sugar plantation of New Seville, the nomination recognizes the “encounter, co-existence and merging of Taíno, Europeans and Africans at this site,” giving “credence to the National Motto, Out of Many, One People” (UNESCO 2009). Our research provides support for the nomination but also planning and interpretive data for the Seville Heritage Park. Initial objectives thus focused on documentation of site size, complexity, internal configuration, and chronology and the potential impacts of contemporary land use. Initial survey was undertaken in 2014, with more concen- trated study, including site mapping and con- trolled excavations, in the following year. The results are far more informative than we had expected. An Anthropogenic Hillscape of Terraces and Platforms Upland areas in the vicinity of St. Ann’s Bay are formed by North Coast Belt bedded limestone of the Clarendon Block, Jamaican White Limestone Group (Robinson and Mitchell 1999). Contained within this are nodular or tabular layers of chert, a tool stone abundantly present in archaeological sites of the region. Initial archaeological survey on the hillslope identified as Maima quickly doc- umented surface scatters of ceramics, lithics, and shellfish remains over an area of approximately 1.2–1.5 ha (Figure 1). The distribution of this material is dissected by a steep-sided gulley, leading us to reference the Maima site in east and west sections. Maima East occurs on farmland and bush adjacent to the Seville Estate proper; Maima West is densely populated as a squatters’ settlement on untitled lands. In both segments, there is a north-to-south grade rising over a slope height of 10 to 15 m with notable terraces on the hillside. Controlled test excavations on select terraces in both east and west segments in 2014 illustrated that a number of these were constructed through intentional infilling, at least in part. This created leveled platform surfaces on which houses could be built. The 2014 project was able to identify four such features in Maima West; it is likely that others exist in inaccessible https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core 340 [Vol. 28, No. 3, 2017LATIN AMERICAN ANTIQUITY areas of the reclaimed village. The Maima East investigations also recorded several terraces and platforms. In 2015, these were cleared of vege- tation and mapped in plan view (Figure 2) and with contours (Figure 3). As we are now able to document at Maima East, there is a minimum of 12 notable features distributed over several terrace levels. Three of these features had been excavated during the Lopez 1982 project. Terraces and platforms are constructed of locally available limestone aggregate, marl, or clay occasionally intermixed with degraded ceramic sherds and other archaeological materials. Construction materials can be readily acquired from adjacent slopes and in the gully bottoms, where colluvial deposits are concentrated. The presence of cultural materials in the fills indicates the excavation and use of archaeological site matrices as additional constituents. Individual features are built outward from the upslope side to create a leveled surface. The thickness of the deposit consequently increases as it is added to on the down slope, with some of these fills being substantial. In the House 10 terrace, for example, a 2014 test excavation illustrates fill thickness of between 60 and 65 cm on the northern terrace edge (Figure 4). Another, from Maima West, documented a 45–50 cm deposit, and excavation of the most northern of the 1982 units into Platform 6 (Figure 2) would have removed 3.7 m3 of limestone aggregate or clay fill, given the unit size (4.5 x 2 m) and stratigraphy. In some cases where we have excavated through terrace fills, the original soil surface is encountered. This is shallow dark brown clay that typically overlies a variable subsoil of mixed clay with limestone aggregate or limestone bedrock (Figure 4). It is a rendzina soil closely match- ing descriptions of Killancholly clay as occurs elsewhere on the Jamaican north coast (Gov- ernment of Jamaica 1964:10). Cultural materials occur within the subterrace soil, suggesting that terrace construction took place after initial site occupation. Subterrace diagnostic ceramics do not appear to be substantially different from those occurring on terrace surfaces (Figure 5); however, all correspond to a Meillacan ceramic variant defining the White Marl period (AD 950–1545) (Allsworth-Jones 2008:102; Wesler 2013:257). A 1-x-1-m excavation unit in House 8 (Figure 2) provides additional insight. The stratigraphy of this unit (Figure 6) incorporates a terrace fill of approximately 20 cm overlying stratified shell midden deposits up to 50 cm in thickness. The shell midden was positioned directly on top of limestone bedrock. Charcoal- based AMS radiocarbon dates from the lower and upper strata in the midden respectively are 938 ± 20 BP (Wk 43115, cal AD 1032–1151, 2σ ) and 627 ± 20 BP (Wk 43114, cal AD 1298–1390, 2σ ) (Table 1). The upper date provides a terminus post quem for House 8 terrace construction, if not for terrace construction at Maima more generally. As we examined the terraces of Maima East, it was possible to predict locations of house struc- tures based on our inference of slightly elevated features (Figure 2). Five of these had some type of excavation verifying initial impressions, with occupation materials atop an artificial platform. That other houses exist on these terraces seems highly probable. We also note that projected house locations occur on terrace edges above shallow basin-like depressions (Figure 2). Rain- water running downslope accumulates in these depressions, providing favorable areas for the potential planting of house gardens. The Taíno residents of Maima East may have enhanced these features by controlling the direction of drainage flow. In fact, the fill used to elevate terrace levels and construct house platforms may in part have been removed from these lower areas, serving a dual purpose of cut and fill in terrace construction. Early Sixteenth-Century Jamaican Taíno Houses at Maima East The excavation of architectural features in Jamaican archaeology has been virtually nonex- istent. The discovery of terraces and platforms at Maima in 2014, therefore, was exciting for more than its engineering implications. If these were leveled surfaces upon which houses were constructed, they potentially represent a canvas onto which architectural features were imprinted. We have already noted the platform construction of House 10 and the substantial layer of fill on its northern perimeter. In 2015 https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core Burley et al.] 341JAMAICAN TAÍNO SETTLEMENT CONFIGURATION Figure 2. Plan view map of features and terrace breaks at Maima East. Platforms 1 and 6 and the House 10 terrace had open excavation units from the 1982 Spanish archaeological project. The depressions are 15 to 20 cm basin-like features. Darkened excavations were conducted in 2015. https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core 342 [Vol. 28, No. 3, 2017LATIN AMERICAN ANTIQUITY Figure 3. Contour elevation map (20 cm) for Maima East plotted with Surfer 3-D imaging software. Images are given in slope perspective and an oblique view illustrating terracing. Figure 4. Stratigraphic profile from the northeast corner of the House 10 platform, Maima East, 2014. This section is an extension of a 1982 excavation unit that terminated at the Strata IIa–IIb transition. Stratum I is gray-brown loam. Stratum II includes sequential deposition of terrace fill layers, including mixed clay, limestone aggregate, and marl, with very limited cultural materials. Stratum III is the original clay soil on which the terrace was constructed. https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core Burley et al.] 343JAMAICAN TAÍNO SETTLEMENT CONFIGURATION Figure 5. Typical White Marl period ceramic forms: (a) bowl recovered from occupation deposits above a limestone aggregate–filled terrace, 2014 test excavation at Maima West; (b) bowl recovered from below House 10 terrace fill (Stratum III), 2014 test excavation. we removed surface loam from the terrace in search of the architectural imprint. House 7, first identified by an exposed bedrock feature on the perimeter of an intermediate terrace in the central part of Maima East, also was selected for excavation. The House 10 excavation was successful in documenting a series of postholes defining a center-pole circular structure approximately 4 m in diameter (Figure 7). The perimeter postholes typically are 15 cm in diameter, running to a depth of 20 to 25 cm. They have been excavated into the terrace surface and, in several cases, were supported by limestone rock packing. The central posthole is between 30 and 35 cm in diameter and extended from the surface to a depth of 45 cm. This also was stabilized by packed limestone rock. Postholes were not found on the western side of the house, a circumstance that appears anomalous. Given trade wind directions from the east-southeast, this part of the house likely was the door location. It is possible, therefore, that its construction form was different from other walls. A substantial rock feature exposed on the outside perimeter of the house in this area may have provided a firm subfloor for the house entrance and the activities undertaken there. Rather than a leveled and even house floor surface, excavation of the platform exposed abundant limestone rock and an undulating occu- pation stratum. A naturally occurring, postoccu- pation drainage channel cut through the eastern side of the platform. We believe water flow across the platform removed finer marl sediments that previously composed the house floor and covered the platform surface. Thus, the dense concentrations of projecting rock fragments are washed-out and exposed fill constituents. House 7 excavations were to examine a lime- stone bedrock exposure thought initially to be a retaining wall for a platform. Once excavated, the exposure was found to slope downward to the south, creating a pocket or basin-like depression that had been leveled with limestone aggregate mixed with clay and cultural materials. Eight postholes ranging in size from 9 to 17 cm in diameter were recorded but without definitive pattern. Notably, two sets of adjacent postholes had been cut into the bedrock (Figure 8), in a fashion similar to the “holster-formed postholes” documented by Samson (2010:142) at the El Cabo site in the Dominican Republic, but also present at several other sites in the Greater and Lesser Antilles (Samson et al. 2015:331). The nature of the platform and the materials recov- ered suggest a house floor occupation. If this were in fact the case, House 7 would be similar to House 10 in size based on the configuration of the bedrock basin. While built within a natural feature as opposed to an excavated depression, House 7 seems somewhat comparable to resi- dential structures at site MC 6 in the Turks and Caicos (Keegan 2007:144). https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core 344 [Vol. 28, No. 3, 2017LATIN AMERICAN ANTIQUITY Table 1. AMS Radiocarbon Dates for Subterrace Cultural Occupations at Maima East, Jamaica. Sample Context Material AMS Date Cal 68.2% Cal 95.4% Wk 43114 House 8 Strata IVb Unidentified Charcoal 627 ± 20 BP 1298–1390 AD 1291–1395 AD Wk 43115 House 8 Strata V Unidentified Charcoal 938 ± 20 BP 1038–1151 AD 1032–1154 AD Note: The Waikato Radiocarbon Dating Laboratory, New Zealand, measured the dates. Calibrations were done with Calib 7.1 using IntCal 13 radiocarbon calibration curve (Reimer et al. 2013). These dates are based on the Libby half-life of 5568 yr with correction for isotopic fractionation applied. Figure 6. House 8 stratigraphic profile with AMS radiocarbon sample locations (see Table 1). Stratum I, surface loam; Stratum II, mottled occupation layer of blocky clay, shell, ceramics, and other cultural materials; Stratum III, light gray crushed and compact limestone aggregate and marl fill with limited cultural material (this stratum represents a terrace or house platform feature); Stratum IV, gray-brown mixed clay with organics, abundant cultural material, and shell; Stratum V (deposited directly onto limestone bedrock), very dark gray midden with packed shell, cultural materials, and limited clay. Cultural materials recovered from the House 7 and 10 excavations are diverse in function and support our interpretation of residential occupation as opposed to storage structures. This includes petaloid adzes, a range of pestle- like handstones and manos, flat-surface cobbles for use with the handstones or as metates, net weights, abraders, flaked stone expedient tools, debitage, and branch coral sprigs. The ceramic assemblage for each is abundant; 7,215 sherds were excavated from House 7 and 11,568 pieces from House 10. A wide variety of vessel forms and sizes are present, including boat- shaped forms with notched ends, and vessels with filleted rims, punctation on the rims, and coarsely applied geometric incision. Four anthro- pomorphic or zoomorphic adorno pieces may represent cemi (Taíno gods, spirits) imagery as applied to household ceramics. As we have noted, in its style and decorative application this assemblage conforms closely to ceramic types of the White Marl period as documented elsewhere in Jamaica. Each of the house excavations recovered small assemblages of Spanish-derived artifacts, providing a post-Columbus end date for their individual occupations. From House 10 are six hand-forged nails, two fragments of glass, one with retouch, a piece of Spanish roof tile, a corroded piece of flat iron, and a sheep or goat https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core Burley et al.] 345JAMAICAN TAÍNO SETTLEMENT CONFIGURATION Figure 7. House 10 feature plan and posthole pattern. Exposed rocks are white limestone chunks incorporated into terrace fill. The drainage channel in upper right has cut through the terrace and is post-occupation in age. metatarsal and phalange. Excavations in House 7 recovered a cow molar as well as a silver piece that may be the handle of a fork or spoon. A ceramic handle fragment from House 7 may have been part of a colonoware vessel, a Taíno replication of a European ceramic cup or handled bowl (Woodward 2006). The historic component is consistent with the AD 1509 to 1534 presence of Sevilla la Nueva; the Spanish colony was only 700 to 800 m east-northeast of Houses 7 and 10 (Padron 2003; Woodward 2009). Sevilla la Nueva was planned as an agricultural and ranching colony for local and regional mar- kets. The allocation of Jamaican Taíno peoples to the colonists through encomienda, a forced system of labor, was immediate and central to the colony’s role (Padron 2003:149–151). The impact of encomienda on Maima is unknown. The limited assemblage of historic materials in the households of Maima East, however, suggests the site was abandoned or its population forcibly removed shortly after the colony was established. Configuring the Jamaican Taíno Settlement Variant The Jamaican Taíno cultural variant, catego- rized by Rouse (1948, 1992) as “sub-Taíno” or https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core 346 [Vol. 28, No. 3, 2017LATIN AMERICAN ANTIQUITY Figure 8. Dual posthole pattern excavated into limestone bedrock at House 7. The bedrock dips to the southeast (upper left corner of photo) to form a basin-like depression with limestone aggregate and abundant occupation materials. Left posthole is 17 x 15 cm, depth 22 cm; right posthole is 10 x 12 cm, depth 17 cm. “western Taíno,” has long been recognized as distinct from the “Classic Taíno” of Hispaniola, Puerto Rico, and eastern Cuba. This distinction served to emphasize the elevated sociopolitical complexity of the Classic Taíno chiefdoms as well as a corresponding overlay of cultural traits. A large part of that overlay is reproduced in settlement layout, in which chiefly position and social relations are clearly defined on the landscape through village patterning, by large chiefly houses strategically positioned on central plazas, and by the construction and use of stone- lined ball courts (Alegría 1983; Deagan 2004; Keegan 2007). The settlement configuration we have described for Maima seems to be in stark contrast with this pattern. This, then, leads us to ask whether Maima is representative of Jamaican Taíno settlement at the time of Christopher Columbus, and if it is, what the implications are for Jamaican Taíno society in comparison to Classic Taíno culture as documented elsewhere. It may seem overly simplistic, but Atkin- son (2006:6) fittingly describes the nature of Taíno settlement pattern in Jamaica by stat- ing that “it is the general consensus among Jamaican archaeologists that Taíno sites have the best views [because] their sites are gener- ally panoramic—located overlooking the land- scape.” Howard (1965:251) recognized this pat- tern early in the 1960s, observing that “most vil- lages [occur] on hilltops overlooking the coastal plain and within reasonably easy access to the sea.” In his documentation of site locations mapped by James Lee between 1959 and 1986, https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core Burley et al.] 347JAMAICAN TAÍNO SETTLEMENT CONFIGURATION Allsworth-Jones (2008:CD-ROM) identifies 214 “middens” as having an association with the White Marl period. Only 17 of these occur at elevations below 15 m above sea level. His (2008:80–81) analysis of site geog- raphy additionally illustrates that a num- ber of these sites are located well inland (x = 4.57 km) and many are at substantial elevations (x = 160.85 m). The location of Maima on sloped and terraced terrain above the coastal plain, therefore, is not atypical. Rather it is the norm for the White Marl period, and for the Jamaican Taíno settlement by extension. The ubiquity of the hilltop settlement type throughout the White Marl period suggests its origins lay in an earlier ancestral pattern rather than a specific adaptation to the Jamaican landscape. White Marl and other late ceramic variants (Montego Bay, Port Morant) represent subseries of Meillacan Ostionoid ceramics as found elsewhere in Haiti, central Cuba, and the Dominican Republic (Rouse 1992:96–97). In form, decorative application, and other aspects of their production they are distinctively different from Redware ceramics (Ostionan Ostionoid subseries) of the preceding Little River period in Jamaica. This break is sufficiently abrupt to suggest a new wave of migration into Jamaica beginning around AD 950–1000 (Keegan and Atkinson 2006:26; Sinelli 2013:225). We believe that the people associated with this migration carried with them not only a Meillacan ceramic complex, but also a settlement pattern in which hillside or hilltop villages were central. In con- trast, Little River period archaeological sites for the most part are positioned on the coast (Wesler 2013:256). The difference in settlement patterns between Meillacan and Ostionan com- plexes more generally has been noted by Rouse (1992:99) for other areas in the Greater Antilles. Upland village locales would seem to be an adaptation of ancestral Meillacan peoples that Sinelli (2013:224) positions ultimately in the Cibao Valley region of the northern Dominican Republic based on radiocarbon dates. The uniqueness of the Maima village pat- tern relative to Meillacan sites elsewhere in the Greater Antilles lies in its use of constructed terraces and platforms. We cannot estimate how much fill may have been employed, but feel safe in describing the construction process as a serious investment of labor. We have noted that Meillacan ceramics in subterrace deposits are of the same White Marl types as those occurring on the terrace surface. There is no evidence to suggest that discontinuity in site occupation accounts for the appearance of terrace platforms. We conclude, therefore, that terrace fabrication at Maima is a late prehistoric Jamaican Taíno development. The upper 2σ date range of cal AD 1291–1395 (Wk 43114; Table 1) for House 8 provides an approximate terminus post quem age for this activity. Why these features suddenly appeared at Maima is a subject of speculation. Their construction facilitates a greater ability to house an expanding population on the hillslope in keeping with a proliferation of Jamaican Taíno peoples in later prehistory (Rouse 1992:7). Their construction further enhances side-slope settle- ment in advantageously positioning the Taíno household for prevailing breezes as well as an elevated viewscape. That it alternatively may relate to unknown changes in other aspects of Taíno society cannot be ruled out. During the 2014 survey and test excavation project at Maima, it was only near the end of the field program that we recognized the limestone aggregate, clay, and marl mix as arti- ficial fills for terrace or platform construction. There was no precedent for the identification of terraces in the archaeological record of Jamaica, nor for that matter in most other areas of the Greater Antilles (Keegan 2007:145 provides an exception). Had it not been for the occasional degraded ceramic sherd or other items in these fills, the excavations might have been termi- nated on the assumption that we had reached an underlying basal stratum. We wonder, there- fore, how many other archaeological projects at Jamaican Taíno sites had similar constructions that went unidentified. The 1982 test excavations at Maima East, for example, had cut through a terrace, presumably unrecognized (Platform 6, Figure 2); an additional effort by the same crew to excavate a test in House 10 was also abandoned when the compact graveled surface was encountered (Figure 4). Scrutinizing past excavations in Jamaica in search of stratigraphic descriptions or drawings is not a simple task because most of this work remains unpublished https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core 348 [Vol. 28, No. 3, 2017LATIN AMERICAN ANTIQUITY or has been reported in only a cursory fashion. It is fortunate that Allsworth-Jones (2008:135– 184) has brought together the bits and pieces of data and individual excavation histories for a number of sites, with these projects spanning over a century of Jamaican archaeology. The intentional deposition of marl layers on a Taíno site was first reported for the White Marl site, the type-site for the White Marl period. Early (1952–1954) excavations here by Tynsdal-Biscoe documented three cultural strata interleaved with “6 in” deposits of marl (as reported in Allsworth-Jones 2008:163). Reexcavation by Howard (1965:251) in the 1960s not only substantiated this claim but led him to conclude that “this marling is clearly artificial and not the result of wind action.” That these layers could represent surface leveling for household floors or other activities was seemingly ruled out for lack of evidence (Silverberg 1972 as cited in Allsworth-Jones 2008:164). Howard suggested instead that the marl was used to “sweeten the site periodically” or represented a “pattern of ceremonial renewal.” Neither was verified in subsequent studies. The Allsworth-Jones account of archaeolog- ical excavation projects includes 28 sites identi- fied as White Marl–Montego Bay period. Many of the descriptions are no more than a brief paragraph identifying earlier researchers who had undertaken the excavations; some include more in-depth discussion of the finds but say little about site stratigraphy. Nevertheless, a reading of these accounts makes it possible to isolate stratigraphic records for five White Marl sites and one Montego Bay site in which distinct cultural layers are separated by variously described marl or gravel strata (Table 2). Of particular note is the Fairfield site, a large hilltop village associated with the Montego Bay Meillacan ceramic variant (Allsworth-Jones 2008:149). Layer 4 (Trench 5) is described as a “marl layer, almost sterile” with radiocarbon dates on wood charcoal of cal AD 1310–1370 and cal AD 1270–1340 on cul- tural occupations above and below, respectively. (Conolley 2011:102, 112). These dates are all but identical to the terminus post quem suggested for the House 8 terrace at Maima East. Interpreting the intervening gravel-like layers as colluvium in their excavations at Green Castle and Newry, Allsworth-Jones and Wesler (2012:30) under- score the complexity of site stratigraphy. They state that “site formation processes of Jamaican Taíno sites are a subject needing intensive further investigation in a geoarchaeological perspec- tive.” New data also exist relating to residential con- struction and Jamaican Taíno settlement configu- ration. The House 10 posthole pattern documents a small center-post structure of no more than 4 m diameter with a floor area of approximately 12.57 m2 (Figure 3). If the infilled natural basin of House 7 is inferred to be a house floor occu- pation as well, it is of comparable size. Clearly these are not the large extended family household structures described for the Classic Taíno of Hispaniola and Puerto Rico (Deagan 2004:607; Samson 2010:57–60). They would not accom- modate more than a small nuclear family, perhaps in the range of four to five individuals. With only one clearly defined structure, any attempt to gen- eralize about the Jamaican Taíno house remains tentative if not speculative, especially given the stratified nature of Taíno sociopolitical organi- zation. Yet the small amount of comparative information on household size from elsewhere in Jamaica is tantalizingly consistent. House 10, in fact, may provide a household template for the great majority of individuals who were resident at Maima at the time of Spanish contact. Allsworth-Jones’s assemblage of notes, re- ports, and difficult-to-acquire publications for individual site excavations is summarized in his text; supplementary maps, drawings, and other materials are incorporated in appendixes on a CD-ROM. A prominent site is Bellevue- Manning’s Hill, which was excavated in two areas between 1974 and 1977. As Allsworth- Jones (2008:156) relates, these excavations revealed “a circular arrangement of postholes convincingly interpreted as a house foundation.” The plan-view map (Allsworth-Jones 2008:CD- ROM, Appendix 9) illustrates a circular to ovoid structure, between 3.8 and 4.3 m in diameter, that is defined by a series of 13 posthole clusters; most are adjacent pairs, but there are two larger post- holes on the southwest and northeast perimeter. There is no central post or any indication of door location for the structure. Two aspects of this house are relevant to the present discussion. First, https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core Burley et al.] 349JAMAICAN TAÍNO SETTLEMENT CONFIGURATION Table 2. Late Period Jamaican Taíno Village Sites. Site Chronology Stratum Description Reference Bellevue-WR White Marl horizon of limestone rock Allsworth-Jones 2008:146 Fairfield Montego Bay layer of sterile marl Allsworth-Jones 2008:149; Conolley 2011:102 White Marl White Marl pure soft marl marling is clearly deliberate Allsworth-Jones 2008:162–165; Howard 1965:251 Stewart Castle White Marl light colored marly material Allsworth-Jones 2008:173 Rio Nuevo White Marl two layers of marl deposition Allsworth-Jones 2008:176 Green Castle White Marl reddish gravelly large loose rubble Allsworth-Jones 2008:180 Newry White Marl limestone rubble Allworth-Jones and Wessler 2012:28 Note: Includes sites for which stratigraphic descriptions indicate a marled layer intervening between cultural occupations. All sites are located on a hillslope or hilltop. the postholes were visible “in a layer of hardened earth,” suggesting an intentionally packed floor. Second, the floor area of 11.3–14.5 m2 comfort- ably overlaps with House 10 and House 7 at Maima East. It may be a coincidence, but the paired postholes of the Bellevue-Manning’s Hill structure appear comparable to the posthole pairs excavated into the bedrock for House 7 at Maima East. Allsworth-Jones (2008:161–168) provides a lengthy description of the excavation history for the White Marl type-site. Located in southeastern Jamaica, the site is a hilltop settlement 6.5 km from the ocean, with its original extent estimated to be as much as 33 acres (13.4 ha). Excavations by four different individuals were undertaken between 1952 and 1969 involving 11 excavation projects. In 1963, Howard (1965:252) excavated a block area in the central part of the site to search for residential features, but was not successful. Subsequent excavations by Clifford in 1969–1970, however, exposed “nine postholes indicating a circular structure of 14’ [4.27 m]” (Allsworth-Jones 2008:167). The house entrance is described as being to the east, with a cooking area located to the west. This structure was similar to Bellevue-Manning’s Hill in not having a central post; rather there was a centrally located “burned area” 12 in (30.5 cm) in diameter. A floor area of 14.3 m2 underscores once more the smallness of the Jamaican Taíno house, or at least one version of it in later prehistory. A wide-ranging review of Caribbean house- hold archaeology incorporating settlement lay- outs, house form data, and residential sizes can be found in Samson (2010). Tabulation of these data in a later paper (Samson et al. 2015:327) iden- tifies 15 sites where excavations have exposed a total of 98 residential features. Most of these are post-built with round to oval floor plans varying in size from 10 m2 to 576 m2. Yet, excluding Bellevue-Manning’s Hill, there are only six exca- vated houses with interior areas under 20 m2 (Samson et al. 2015:330), and these tend to be isolated occurrences on sites with much larger structures (e.g., Righter 2002:312). An intriguing exception to this occurs in south-central Cuba in the late prehistoric to contact period (Horizon III) hilltop site of Loma del Convento (Knight 2010:36–37). Here, a single center-post house was excavated with an estimated interior area of 13 m2. This house had been built on an uneven slope that was leveled to grade through the chipping-away of limestone bedrock, with postholes dug directly into bedrock. Much debate and discussion has centered on the nature of Taíno (writ large) kinship and post- marital residence patterns (Keegan and Maclach- lan 1989; Curet and Oliver 1998; Curet 2002; Keegan 2006). Within this debate it has been a given that settlement configuration and house form reproduce these relationships closely. They also represent, as Ensor (2013:85–87) suggests, material correlates for kinship without influence of the Spanish chronicles. We do not want to overplay the data from Maima East, yet we can say that the small size of Jamaican Taíno houses documented to date must be reflective of a nuclear rather than an extended family residential pattern. This, then, seems in contrast to the labor requirements of house terrace construction. In Puerto Rico, Curet and Oliver (1998:222– https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core 350 [Vol. 28, No. 3, 2017LATIN AMERICAN ANTIQUITY 223) identify a dramatic transition from large communal households to smaller types char- acteristic of nuclear families between AD 900 and AD 1200. Correlated with changes in burial practices, the presence of ceremonial centers, and other cultural traits, they theorize an emergence and consolidation of power by chiefly elites, the demise of lineal descent groups, and increasing complexity in social and political spheres. The domestic unit of production may have been transferred to the individual household level (Keegan 2007:175), but caciques increasingly gained control over aspects of production and the organization of labor, land, and other resources (Curet and Oliver 1998:234). The transformation of the Maima East landscape into a hillslope of terraces may not have been conceived and undertaken at the individual family level. The cacique’s increasing ability to mobilize labor for village expansion or improvements may well have been key to the Jamaican Taíno settlement configuration at the time of their first encounter with Christopher Columbus. Conclusion Spanish accounts of the Taíno peoples in the Greater Antilles pose dilemmas since these sources foster the impression of an undifferen- tiated ethnographic present. When these sources are applied indiscriminately in modern studies, it results in an “ethno-tyranny,” to borrow a phrase from Maclachlan and Keegan (1990:1011), one that denies sociopolitical diversity, alternative historical trajectories, and linguistic variation. Archaeologists thus have a critical role to play: we are the frontline ethnographers for documen- tation of Taíno peoples as they lived their lives on various islands in the late fifteenth-century Caribbean. The present attempt to document and interpret Jamaican Taíno settlement configura- tion is therefore not framed against the usual backdrop of ethnohistorical sources. We believe the archaeological record of Maima provides a template for comparison or testing against the broader dataset derived from Jamaican archae- ology. This has been done to the extent that the existing data allow. In its settlement form Maima was a siz- able hillslope village looking north across the coastal plain to the Caribbean Sea. We cannot be certain when it was first occupied, but a 2σ calibrated radiocarbon date range of AD 1032–1154 (Table 1) suggests it was early in the White Marl period (AD 950–1545) of Jamaican antiquity. The proclivity for hillside or hilltop settlement, in fact, is characteristic of the White Marl period as a whole, suggesting it is part of an ancestral Meillacan settlement pattern brought to Jamaica in the tenth century AD Perhaps in response to increasing Taíno pop- ulation growth, by the thirteenth to fourteenth centuries AD the people at Maima had expanded their settlement capacity through construction of house terraces or platforms. Some of these appear to have been major undertakings requiring the transport of volumes of broken limestone, marl, and other fills. The few archaeological reports on Jamaica that describe stratigraphy in detail suggest this adaptation is a widespread phenomenon. Recorded details of the Jamaican Taíno house form include circular structures with or without central poles, illustrating a degree of diversity in their construction. A surpris- ingly limited floor space is a constant, however, a characteristic that contrasts with the exten- sive construction efforts devoted to the terrace itself. The work at Maima is ultimately but a small contribution to the documentation of Jamaican Taíno society at first Spanish contact. Even so, much more detail about the site will be required before we can generalize about it in a categorical way. It does provide a starting point for future examination of Jamaican Taíno peoples within the Greater Antilles region. We hope that further studies will expand upon this base, clarify the pattern, and provide greater insight than current data permit. Acknowledgments. Archaeological fieldwork at Maima was carried out under permit from the Jamaican National Historic Trust. We acknowledge and thank Trust staff, particularly Dorrick Gray and Michelle Topping, for their support. Staff at the Seville Heritage Park were also accommodating in providing a logistical base for the project. Our Jamaican field crews in 2014 and 2015 were exceptional and are deserving of our gratitude. Fieldwork was supported in part by a Social Sciences and Humanities Research Council of Canada small projects grant in 2014 and SFU Faculty of Environment Chairs research grants to Burley in 2014 and 2015. We thank Vienna ChiChi Lam for skillfully drafting the maps and https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core Burley et al.] 351JAMAICAN TAÍNO SETTLEMENT CONFIGURATION stratigraphic drawings and Edgar Abreu-Lanza for preparing the 3-D ceramic images in Figure 5. Data Availability Statement. Excavated archaeological col- lections are retained by the Jamaican National Historic Trust and maintained in storage at the Great House, Seville Heritage Park, St. Ann’s Bay, Jamaica. Original excavation documents are currently retained by D. Burley in the Department of Archaeology, Simon Fraser University. References Cited Aarons, Anthony 1984 Sevilla la Nueva: Microcosm of Spain in Jamaica, Part 2. Jamaica Journal 17(1):28–37. Alegría, Ricardo E. 1983 Ball Courts and Ceremonial Plazas in the West Indies. Yale University Publications in Anthropology No. 79, Yale University, New Haven. Allsworth-Jones, Philip 2008 Pre-Columbian Jamaica. University of Alabama Press, Tuscaloosa. With CD-ROM. Allsworth-Jones, Philip, and Kit W. Wesler 2012 The Taíno Settlement at Guayguata, Excavations in St Mary Parish, Jamaica. BAR International Series 2407, Archaeopress, Oxford. Atkinson, Lesley-Gail 2006 Introduction. In The Earliest Inhabitants: The Dynamics of the Jamaican Taíno, edited by Lesley- Gail Atkinson, pp.1–10. University of the West Indies Press, Mona, Jamaica. Collard, Andrée 1971 Bartolomé de las Casas, History of the Indies. Harper and Row, New York. Conolley, Ivor C. 2011 Montego Bay Pottery and Culture in Western Jamaica: Significance and Implications for Jamaican Taíno Prehistory. Unpublished Ph.D. dissertation, Department of History and Archaeology, University of the West Indies, Mona, Jamaica. Curet, L. Antonio 2002 The Chief is Dead, Long Live... Who? Descent and Succession in the Protohistoric Chiefdoms of the Greater Antilles. Ethnohistory 49:259–280. 2003 Issues on the Diversity and Emergence of Middle-Range Societies of the Ancient Caribbean: A Critique. Journal of Archaeological Research 11: 1–42. Curet, L. Antonio, and Jose R. Oliver 1998 Mortuary Practices, Social Development, and Ide- ology in Precolumbian Puerto Rico. Latin American Antiquity 9:217–239. Deagan, Kathleen 2004 Reconsidering Taíno Social Dynamics after Spanish Conquest: Gender and Class in Culture Contact Studies. American Antiquity 69:597–626. Ensor, Bradley E. 2013 Kinship and Social Organization in the Pre-Hispanic Caribbean. In The Oxford Handbook of Caribbean Archaeology, edited by William F. Keegan, Corinne L. Hofman, and Reniel Rodriguez Ramos, pp. 84–96. University of Oxford Press, Oxford. Government of Jamaica 1964 Major Soil Types of Jamaica, Revised July 1964. Electronic document, http://www.moa.gov. jm/International%20Year%20of%20Soils/MAJOR% 20SOIL%20TYPES.pdf. Accessed June 19, 2017. Howard, Robert R. 1965 New Perspectives on Jamaican Archaeology. Amer- ican Antiquity 31(2):250–255. Keegan, William F. 2006 All in the Family: Descent and Succession in the Protohistoric Chiefdoms of the Greater Antilles—A Comment on Curet. Ethnohistory 53:383–392. 2007 Taíno Indian Myth and Practice: The Arrival of the Stranger King. 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Hofman 2015 Resilience in Pre-Columbian Caribbean House- Building: Dialogue between Archaeology and Humanitarian Shelter. Human Ecology 43:323– 337. Sinelli, Peter T. 2013 Meillacoid and the Origins of Classic Taíno Society. In The Oxford Handbook of Caribbean Archaeology, edited by William F. Keegan, Corinne L. Hofman, and Reniel Rodriguez Ramos, pp. 221–231. University of Oxford Press, Oxford. Tynsdale-Biscoe, J. S. 1954 Arawak Specimens from Some Middens of Jamaica. Jamaican Historical Society Bulletin 1(10): 123–126. UNESCO (United Nations Educational, Scientific and Cul- tural Organization) 2009 World Heritage Center, Tentative Lists, Seville Heritage Park. Electronic document, whc.unesco.org/ en/tentativelists/5431. Accessed June 19, 2017. Wesler, Kit 2013 Jamaica. In The Oxford Handbook of Caribbean Archaeology, edited by William F. Keegan, Corinne L. Hofman, and Reniel Rodriguez Ramos, pp. 250–263. University of Oxford Press, Oxford. Wilson, Samuel M. 2007 The Archaeology of the Caribbean. Cambridge University Press, Cambridge. Woodward, Robyn P. 2006 Taíno Ceramics from Post Contact Jamaica. In The Earliest Inhabitants: The Dynamics of the Jamaican Taíno, edited by Gail-Lesley Atkinson, pp. 161–176, University of the West Indies Press, Mona, Jamaica. 2009 Sevilla la Nueva: A Review of 72 Years of Archae- ological Investigations. In Xaymaca: Life in Spanish Jamaica; 1494–1655, compiled by Institute of Jamaica, Jamaica National Heritage Trust and Ministry of Cul- ture, Spain, pp. 32–44, Institute of Jamaica, Kingston. Note 1. A reviewer for this paper has observed that despite our agreement with epistemological concerns over the use of “Taíno” in reference to indigenous peoples of the Greater Antilles, we continue to use the concept in much the same way that it has been used in the past. Within the paper we do use “Taíno” as a gloss in reference to indigenous peoples in the Greater Antilles who share linguistic and ancestral relationships, as do most Caribbean archaeologists. We expect, however, that there will be regional variation in culture, adaptation, and other traits. Indeed, the objective of the paper is to document a part of this variation as it relates specifically to the Jamaican Taíno. Submitted July 11, 2016; Revised October 14, 2016; Accepted March 30, 2017 https://www.cambridge.org/core/terms. https://doi.org/10.1017/laq.2017.14 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:18, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/laq.2017.14 https://www.cambridge.org/core An Archaeological Context for Maima An Anthropogenic Hillscape of Terraces and Platforms Early Sixteenth-Century Jamaican Taíno Houses at Maima East Configuring the Jamaican Taíno Settlement Variant Conclusion Acknowledgments Data Availability Statement References Cited Note 
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JournalThe Botulinum JournalWorld Review of Entrepreneurship, Management and Sustainable DevelopmentWorld Review of Intermodal Transportation ResearchWorld Review of Science, Technology and Sustainable Development Browse journals by subject Computing and Mathematics Economics and Finance Education, Knowledge and Learning Energy and Environment Healthcare and Biosciences Management and Business Public Policy and Administration Risk, Safety and Emergency Management Science, Engineering and Technology Society and Leisure All Subjects Research picks Securing telemedicineTelemedicine is slowly maturing allowing greater connectivity between patient and healthcare providers using information and communications technology (ICT). One issue that is yet to be addressed fully, however, is security and thence privacy. Researchers writing in the International Journal of Ad Hoc and Ubiquitous Computing, have turned to cloud computing to help them develop a new and strong authentication protocol for electronic healthcare systems. Prerna Mohit of the Indian Institute of Information Technology Senapati in Manipur, Ruhul Amin of the Dr Shyama Prasad Mukherjee International Institute of Information Technology, in Naya Raipur, and G.P. Biswas of the Indian Institute of Technology (ISM) Dhanbad, in Jharkhand, India, point out how medical information is personal and sensitive and so it is important that it remains private and confidential. The team's approach uses the flexibility of a mobile device to authenticate so that a user can securely retrieve pertinent information without a third party having the opportunity to access that information at any point. In a proof of principle, the team has carried out a security analysis and demonstrated that the system can resist attacks where a malicious third party attempts to breach the security protocol. They add that the costs in terms of additional computation and communication resources are lower than those offered by other security systems reported in the existing research literature. Mohit, P., Amin, R. and Biswas, G.P. (2021) 'An e-healthcare authentication protocol employing cloud computing', Int. J. Ad Hoc and Ubiquitous Computing, Vol. 36, No. 3, pp.155–168. DOI: 10.1504/IJAHUC.2021.113873 Anticancer drugs from the monsoonA small-branched shrub found in India known locally as Moddu Soppu (Justicia wynaadensis) is used to make a sweet dish during the monsoon season by the inhabitants of Kodagu district in Karanataka exclusively during the monsoons. Research published in the International Journal of Computational Biology and Drug Design has looked at phytochemicals present in extracts from the plant that may have putative anticancer agent properties. C.D. Vandana and K.N. Shanti of PES University in Bangalore, Karnataka and Vivek Chandramohan of the Siddaganga Institute of Technology also in Tumkur, Karnataka, investigated several phytochemicals that had been reported in the scientific literature as having anticancer activity. They used a computer model to look at how well twelve different compounds "docked" with the relevant enzyme thymidylate synthase and compared this activity with a reference drug, capecitabine, which targets this enzyme. Thymidylate synthase is involved in making DNA for cell replication. In cancer, uncontrolled cell replication is the underlying problem. If this enzyme can be blocked it will lead to DNA damage in the cancer cells and potentially halt the cancer growth. Two compounds had comparable activity and greater binding to the enzyme than capecitabine. The first, campesterol, is a well-known plant chemical with a structure similar to cholesterol, the second stigmasterol is another well-known phytochemical involved in the structural integrity of plant cells. The former proved itself to be more stable than the latter and represents a possible lead for further investigation and testing as an anticancer drug, the team reports. Vandana, C.D., Shanti, K.N., Karunakar, P. and Chandramohan, V. (2020) 'In silico studies of bioactive phytocompounds with anticancer activity from in vivo and in vitro extracts of Justicia wynaadensis (Nees) T. Anderson', Int. J. Computational Biology and Drug Design, Vol. 13, Nos. 5/6, pp.582–601. DOI: 10.1504/IJCBDD.2020.113836 Native reforestation benefits biodiversityTimber harvest and agriculture have had an enormous impact on biodiversity in many parts of the world over the last two hundred years of the industrial era. One such region is 20 to 50 kilometre belt of tropical dry evergreen forest that lies inland from the southeastern coast of India. Efforts to regenerate the biodiversity has been more successful when native tropical dry evergreen forest has been reinstated rather than where non-native Acacia planting has been carried out in regeneration efforts, according to research published in the Interdisciplinary Environmental Review. Christopher Frignoca and John McCarthy of the Department of Atmospheric Science and Chemistry at Plymouth State University in New Hampshire, USA, Aviram Rozin of Sadhana Forest in Auroville, Tamil Nadu, India, and Leonard Reitsma of the Department of Biological Sciences at Plymouth explain how reforestation can be used to rebuild the ecosystem and increases population sizes and diversity of flora and fauna. The team has looked at efforts to rebuild the ecosystem of Sadhana Forest. An area of 28 hectares had its water table replenished through intensive soil moisture conservation. The team has observed rapid growth of planted native species and germination of two species of dormant Acacia seeds. The team's standard biological inventory of this area revealed 75 bird, 8 mammal, 12 reptile, 5 amphibian, 55 invertebrate species, and 22 invertebrate orders present in the area. When they looked closely at the data obtained from bird abundance at point count stations, invertebrate sweep net captures and leaf count detections, as well as Odonate and Lepidopteran visual observations along fixed-paced transects they saw far greater diversity in those areas where native plants thrived rather than the non-native Acacia. "Sadhana Forest's reforestation demonstrates the potential to restore ecosystems and replenish water tables, vital components to reversing ecosystem degradation, and corroborates reforestation efforts in other regions of the world," the team writes. "Sadhana Forest serves as a model for effective reforestation and ecosystem restoration," the researchers conclude. Frignoca, C., McCarthy, J., Rozin, A. and Reitsma, L. (2021) 'Greater biodiversity in regenerated native tropical dry evergreen forest compared to non-native Acacia regeneration in Southeastern India', Interdisciplinary Environmental Review, Vol. 21, No. 1, pp.1–18. DOI: 10.1504/IER.2021.113781 Protection from coronavirus and zero-day pathogensResearchers in India are developing a disinfection chamber that integrates a system that can deactivate coronavirus particles. The team reports details in the International Journal of Design Engineering. As we enter the second year of the COVID-19 pandemic, there are signs that the causative virus SARS-CoV-2 and its variants may be with us for many years to come despite the unprecedented speed with vaccines against the disease have been developed, tested, and for some parts of the world rolled out. Sangam Sahu, Shivam Krishna Pandey, and Atul Mishra of the BML Munjal University suggest that we could adapt screening technology commonly used in security for checking whether a person is entering an area, such as airports, hospitals, or government buildings, for instance, carrying a weapon, explosives, or contraband goods. Such a system might be augmented with a body temperature check for spotting a person with a fever that might be a symptom of COVID-19 or another contagious viral infection. They add that the screening system might also incorporate technology that can kill viruses on surfaces with a quick flash of ultraviolet light or a spray of chemical disinfectant. Airborne microbial diseases represent a significant ongoing challenge to public health around the world. While COVID-19 is top of the agenda at the moment, seasonal and pandemic influenza are of perennial concern as is the emergence of drug-resistant strains of tuberculosis. Moreover, we are likely to see other emergent pathogens as we have many times in the past any one of which could lead to an even greater pandemic catastrophe than COVID-19. Screening and disinfecting systems as described by Sahu could become commonplace and perhaps act as an obligatory frontline defense against the spread of such emergent pathogens even before they are identified. Such an approach to unknown viruses is well known in the computer industry where novel malware emerges, so-called 0-day viruses, before the antivirus software is updated to recognize it and so blanket screening and disinfection software is often used. Sahu, S., Pandey, S.K. and Mishra, A. (2021) 'Disinfectant chamber for killing body germs with integrated FAR-UVC chamber (for COVID-19)', Int. J. Design Engineering, Vol. 10, No. 1, pp.1–9. DOI: 10.1504/IJDE.2021.113247 Wetware data retrievalA computer hard drive can be a rich source of evidence in a forensic investigation... but only if the device is intact and undamaged otherwise many additional steps to retrieve incriminating data from within are needed and not always successful even in the most expert hands. Research published in the International Journal of Electronic Security and Digital Forensics considers the data retrieval problems for investigators faced with a hard drive that has been submerged in water. Alicia Francois and Alastair Nisbet of the Cybersecurity Research Laboratory at Auckland University of Technology in New Zealand, point out that under pressure suspects in an investigation may attempt to destroy digital evidence prior to a seizure by the authorities. A common approach is simply to put a hard drive in water in the hope that damage to the circuitry and the storage media within will render the data inaccessible. The team has looked at the impact of water ingress on solid-state and conventional spinning magnetic disc hard drives and the timescale over which irreparable damage occurs and how this relates to the likelihood of significant data loss from the device. Circuitry and other components begin to corrode rather quickly following water ingress. However, if a device can be retrieved and dried within seven days, there is a reasonable chance of it still working and the data being accessible. "Ultimately, water submersion can damage a drive quickly but with the necessary haste and skills, data may still be recoverable from a water-damaged hard drive," the team writes. However, if the device has been submerged in saltwater, then irreparable damage can occur within 30 minutes. The situation is worse for a solid-state drive which will essentially be destroyed within a minute of saltwater ingress. The research provides a useful guide for forensic investigators retrieving hard drives that have been submerged in water. Francois, A. and Nisbet, A. (2021) 'Forensic analysis and data recovery from water-submerged hard drives', Int. J. Electronic Security and Digital Forensics, Vol. 13, No. 2, pp.219–231. DOI: 10.1504/IJESDF.2021.113374 Of alcohol and bootlacesThere is no consensus across medical science as to whether or not there is a safe lower limit on alcohol consumption nor whether a small amount of alcohol is beneficial. The picture is complicated by the various congeners, such as polyphenols and other substances that are present in different concentrations in different types of alcoholic beverage, such as red and white wine, beers and ales, ciders, and spirits. Moreover, while, there has been a decisive classification of alcohol consumption as a cause of cancer, there is strong evidence that small quantities have a protective effect on the cardiovascular system. Now, writing in the International Journal of Web and Grid Services, a team from China, Japan, Taiwan, and the USA, has looked at how a feature of our genetic material, DNA, relates to ageing and cancer and investigated a possible connection with alcohol consumption. The ends of our linear chromosomes are capped by repeated sequences of DNA base units that act as protective ends almost analogous to the stiff aglets on each end of a bootlace. These protective sections are known as telomeres. Which each cell replication the length of the telomeres on the ends of our chromosomes get shorter. This limits the number of times a cell can replicate before there is insufficient protection for the DNA between the ends that encodes the proteins that make up the cell. Once the telomeres are damaged beyond repair or gone the cell will die. This degradative process has been linked to the limited lifespan of the cells in our bodies and the aging process itself. Yan Pei of The University of Aizu in Aizuwakamatsu, Japan, and colleagues Jianqiang Li, Yu Guan, and Xi Xu of Beijing University of Technology, China, Jason Hung of the National Taichung University of Science and Technology, Taichung, Taiwan, and Weiliang Qiu of Brigham and Women's Hospital in Boston, USA, have carried out a meta-analysis of the scientific literature. Their analysis suggests that telomere length is associated with alcohol consumption. Given that shorter telomeres, before they reach the critical length, can nevertheless lead to genomic instability, this alcohol-associated shortening could offer insight into how cancerous tumour growth might be triggered. Telomere shortening is a natural part of the ageing process. However, it is influenced by various factors that are beyond our control such as paternal age at birth, ethnicity, gender, age, telomere maintenance genes, genetic mutations of the telomeres. However, telomere length is also affected by inflammation and oxidative stress, environmental, psychosocial, behavioural exposures, and for some of those factors we may have limited control. For others, such as chronic exposure to large quantities of alcohol we have greater control. Li, J., Guan, Y., Xu, X., Pei, Y., Hung, J.C. and Qiu, W. (2021) 'Association between alcohol consumption and telomere length', Int. J. Web and Grid Services, Vol. 17, No. 1, pp.36–59. DOI: 10.1504/IJWGS.2021.113686 Quality after the pandemicAdedeji Badiru of the Air Force Institute of Technology in Dayton, Ohio, USA, discusses the notion of quality insight in the International Journal of Quality Engineering and Technology and how this relates to motivating researchers and developers working on quality certification programs after the COVID-19 pandemic. In the realm of product quality, we depend on certification based on generally accepted standards to ensure high quality. Badiru writes that the ongoing COVID-19 pandemic has led to serious disruption to production facilities and led to the upending of normal quality engineering and technology programs. In the aftermath of the pandemic, there will be a pressing need to redress this problem and its impact on quality management processes may, as with many other areas of normal life, continue to be felt for a long time. Badiru suggests that now is the time to develop new approaches to ensure that we retrieve the pre-COVID quality levels. He suggests that in the area of quality certification, we must look at other methods in this field, perhaps borrowing from other areas of quality oversight. One mature area from which the new-normal of certification might borrow is academic accreditation. The work environment has changed beyond recognition through the pandemic and we are unlikely to revert to old approaches entirely. Indeed, the pandemic has already necessitated the urgent application of existing quantitative and qualitative tools and techniques to other areas, such as work design, workforce development, and the form of the curriculum in education. Action now, from the systems perspective in engineering and technology, "will get a company properly prepared for the quality certification of the future, post-COVID-19 pandemic," he writes. This will allow research and development of new products to satisfy the triage of cost, time, and quality requirements as we ultimately emerge from the pandemic. Badiru, A. (2021) 'Quality insight: product quality certification post COVID-19 using systems framework from academic program accreditation', Int. J. Quality Engineering and Technology, Vol. 8, No. 2, pp.218–227. DOI: 10.1504/IJQET.2021.113728 Spotting and stopping online abuseSocial media has brought huge benefits to many of those around the world with the resources to access its apps and websites. Indeed, there are billions of people using the popular platforms every month in almost, if not, every country of the world. Researchers writing in the International Journal of High Performance Systems Architecture, point out that as with much in life there are downsides that counter the positives of social media. One might refer to one such negative facet of social media as "cyber violence". Randa Zarnoufi of the FSR Mohammed V University in Rabat, Morocco, and colleagues suggest that the number of victims of this new form of hostility is growing day by day and is having a strongly detrimental effect on the psychological wellbeing of too many people. A perspective that has been little investigated in this area with regard to reducing the level of cyber violence in the world is to consider the psychological status and the emotional dimension of the perpetrators themselves. New understanding of what drives those people to commit heinous acts against others in the online world may improve our response to it and open up new ways to address the problem at its source rather than attempting to simply filter, censor, or protect victims directly. The team has analysed social media updates using Ensemble Machine Learning and the Plutchik wheel of basic emotions to extract the character of those updates in the context of cyber violence, bullying and trolling behaviour. The analysis draws the perhaps obvious, but nevertheless highly meaningful, conclusion that there is a significant association between an individual's emotional state and the personal propensity to harmful intent in the realm of social media. Importantly, the work shows how this emotional state can be detected and perhaps the perpetrator of cyber violence be approached with a view to improving their emotional state and reducing the negative impact their emotions would otherwise have on the people with whom they engage online. This is very much the first step in this approach to addressing the serious and growing problem of cyber violence. The team adds that they will train their system to detect specific issues in socoal media updates that are associated with harassment with respect to sexuality, appearance, intellectual capacity, and political persuasion. Zarnoufi, R., Boutbi, M. and Abik, M. (2020) 'AI to prevent cyber-violence: harmful behaviour detection in social media', Int. J. High Performance Systems Architecture, Vol. 9, No. 4, pp.182–191 DOI: 10.1504/IJHPSA.2020.113679 Me too #metooSexual harassment in the workplace is a serious problem. To address it, we need a systematic, multistage preventive approach, according to researchers writing in the International Journal of Work Organisation and Emotion. One international response to sexual harassment problems across a range of industries but initially emerging from the entertainment industry was the "#metoo" movement. Within this movement victims of harassment and abuse told their stories through social media and other outlets to raise awareness of this widespread problem and to advocate for new legal protections and societal change. Anna Michalkiewicz and Marzena Syper-Jedrzejak of the University of Lodz, Poland, describe how they have explored perception of the #metoo movement with regards to in reducing the incidence of sexual harassment. "Our findings show that #metoo may have had such preventive potential but it got 'diluted' due to various factors, for example, cultural determinants and lack of systemic solutions," the team writes. They suggest that because of these limitations the #metoo movement is yet to reach its full potential. The team's study considered 122 students finishing their master's degrees in management studies and readying themselves to enter the job market. They were surveyed about the categorisation of psychosocial hazards – such as sexual harassment – in the workplace that cause stress and other personal problems as opposed to the more familiar physical hazards. "Effective prevention of [sexual harassment] requires awareness but also motivation and competence to choose and implement in the organisations adequate measures that would effectively change the organisational culture and work conditions," the team writes. The #metoo movement brought prominence to the issues, but the team suggests that it did not lead to the requisite knowledge and practical competence that would facilitate prevention. They point out that the much-needed social changes cannot come about within a timescale of a few months of campaigning. Cultural changes need more time and a willing media to keep attention focused on the problem and how it might be addressed. There is also a pressing need for changes in the law to be considered to help eradicate sexual harassment in the workplace. Michałkiewicz, A. and Syper-Jędrzejak, M. (2020) 'Significance of the #metoo movement for the prevention of sexual harassment as perceived by people entering the job market', Int. J. Work Organisation and Emotion, Vol. 11, No. 4, pp.343–361. DOI: 10.1504/IJWOE.2020.113699 Data mining big data newsWhile the term "big data" has become something of a buzz phrase in recent years it has a solid foundation in computer science in many contexts and as such has emerged into the public consciousness via the media and even government initiatives in many parts of the world. A North American team has looked at the media and undertaken a mining operation to unearth nuggets of news regarding this term. Murtaza Haider of the Ted Rogers School of Management at Ryerson University in Toronto, Canada and Amir Gandomi of the Frank G. Zarb School of Business at Hofstra University in Hempstead, New York, USA, explain how big data-driven analytics emerged as one of the most sought-after business strategies of the decade. They have now used natural language processing and text mining algorithms to find the focus and tenor of news coverage surrounding big data. They mined a five million-word body of news coverage for references to the novelty of big data, showcasing the usual suspects in big data geographies and industries. "The insights gained from the text analysis show that big data news coverage indeed evolved where the initial focus on the promise of big data moderated over time," the team found. There work also demonstrates how text mining and NLP algorithms are potent tools for news content analysis. The team points out that academic journals have been the main source of trusted and unbiased advice regarding computing technologies, large databases, and scalable analytics, it is the popular and trade press that are the information source for over-stretched executives. It was the popular media that became what the team describes as "the primary channel for spreading awareness about 'big data' as a marketing concept". They add that the news media certainly helped popularise innovative ideas being discussed in the academic literature. Moreover, the latter has had to play catchup during the last decade on sharing the news. That said, much of the news coverage during this time has been about the novelty and the promise of big data rather than the proof of principles that are needed for it to proceed and mature as a discipline. Indeed, there are many big data clichés propagated in an often uncritical popular media suggesting that big data analytics is some kind of information panacea. In contrast, the more reserved nature of academic publication knows only too well that big data does not represent a cure-all for socio-economic ills nor does it have unlimited potential. Haider, M. and Gandomi, A. (2021) 'When big data made the headlines: mining the text of big data coverage in the news media', Int. J. Services Technology and Management, Vol. 27, Nos. 1/2, pp.23–50. DOI: 10.1504/IJSTM.2021.113574 More about Research Picks News New Editor for International Journal of Applied Nonlinear Science 23 March, 2021 Prof. Wen-Feng Wang from the Interscience Institute of Management and Technology in India and Shanghai Institute of Technology in China has been appointed to take over editorship of the International Journal of Applied Nonlinear Science. 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work_e5muvy53tnh2lgskjs6t5jniu4	----	Hereditary cancer syndromes in Latino populations: genetic characterization and surveillance guidelines REVIEW Open Access Hereditary cancer syndromes in Latino populations: genetic characterization and surveillance guidelines Marcia Cruz-Correa1,2,8*, Julyann Pérez-Mayoral1,2, Julie Dutil3, Miguel Echenique4, Rafael Mosquera5, Keila Rivera-Román6, Sharee Umpierre1, Segundo Rodriguez-Quilichini1, Maria Gonzalez-Pons1,2, Myrta I. Olivera1,2, Sherly Pardo7 and on behalf of the Puerto Rico Clinical Cancer Genetics Consortia Abstract Hereditary cancer predisposition syndromes comprise approximately 10% of diagnosed cancers; however, familial forms are believed to account for up to 30% of some cancers. In Hispanics, the most commonly diagnosed hereditary cancers include colorectal cancer syndromes such as, Lynch Syndrome, Familial Adenomatous Polyposis, and hereditary breast and ovarian cancer syndromes. Although the incidence of hereditary cancers is low, patients diagnosed with hereditary cancer syndromes are at high-risk for developing secondary cancers. Furthermore, the productivity loss that occurs after cancer diagnosis in these high-risk patients has a negative socio-economic impact. This review summarizes the genetic basis, phenotype characteristics, and the National Comprehensive Cancer Network’s screening, testing, and surveillance guidelines for the leading hereditary cancer syndromes. The aim of this review is to promote a better understanding of cancer genetics and genetic testing in Hispanic patients. Keywords: Genetic testing, Genetic counseling, Germline mutations, Hereditary cancer, Hispanics Background Hereditary cancer overview According to the 2010 census, Hispanics comprise 16.3% of the population in the United States (US) [1]. By 2050, the Hispanic population is estimated to become 25% of the US population. Hispanics are a mixed group of individuals from across Latin America and the Carib- bean and are defined as individuals that share a culture and language that is linked to the historic migrations that started from Spain that led to the discovery of the Americas. In the year 1492, Christopher Columbus crossed the Atlantic Ocean and reached the Americas. The arrival of Columbus to the Americas led to the start of the “Colonization of Americas”, where language, cul- ture and religion was instituted by the Spaniards, but also other European countries such as Portugal. Spaniards introduced new diseases to the Americas leading to the death of most of the Indigenous population of the Americas. Due to the high mortality of Indigenous population, Africans (mostly from West Africa) were intro- duced in the Americas. Through these historic migrations, the Hispanic population was created. These populations had great levels of genetic and cultural admixture from the three major racial ancestral populations: Europeans, Africans, and Indigenous. However, the variability ob- served in Hispanic admixture, is concordant with the local history of the country of origin [2]. For instance, Hispanics from the Caribbean (including Puerto Ricans) have a higher proportions of West African compared to Hispanics from South America, which have higher European and Amerindian ancestry [2]. Cancer is a major public health problem and the lead- ing cause of death among Hispanics worldwide [3]. Ma- lignancies, such as breast and colorectal cancers, when diagnosed in individuals younger than 50 years, are likely caused by inherited mutations and often are aggressive leading to a worse prognosis [4]. With the availability of efficient screening methods for both breast and * Correspondence: marcia.cruz1@upr.edu 1Department of Cancer Biology, University of Puerto Rico Comprehensive Cancer Center, San Juan, PR, USA 2University of Puerto Rico Medical Sciences Campus, School of Medicine, San Juan, PR, USA Full list of author information is available at the end of the article © The Author(s). 2017 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 DOI 10.1186/s13053-017-0063-z http://crossmark.crossref.org/dialog/?doi=10.1186/s13053-017-0063-z&domain=pdf mailto:marcia.cruz1@upr.edu http://creativecommons.org/licenses/by/4.0/ http://creativecommons.org/publicdomain/zero/1.0/ colorectal cancer, these cancers may be prevented or di- agnosed at early, more treatable stages in Hispanics, minimizing the burden of these diseases in this popula- tion [5]. By identifying individuals at high-risk and estab- lishing tailored early detection and preventive strategies, the economic productivity loss, morbidity, and mortality may be significantly reduced. In this article, we provide a summary of the genetic basis for three of the leading cancers in Hispanics (breast, ovarian, and colorectal cancer), which have known hereditary contributions. We will discuss the clinical presentation of these cancers in Hispanics and how it differs from other populations. Furthermore, we will discuss the role of multigene testing in advancing genetic testing services in Latino populations. Hereditary breast cancer and ovarian cancer (HBOC) Breast cancer (BC) represents approximately 29% of all cancer cases in US Hispanic women [3]. Ovarian cancer (OC) is the 8th cancer with the highest incidence and the 5th leading cause of cancer death among US Hispanic women [3]. Approximately, 5–10% of all BC are caused by mutations in highly penetrant susceptibil- ity genes [6]. Mutations in the BRCA1 and BRCA2 genes account for approximately 25% of hereditary BC and 15% of all OC [7]. Women with mutations in these genes have up to an 87% lifetime risk of developing BC by age 70 and up to a 44% risk of OC [4, 8]. Mutation spectrum In Hispanics, deleterious BRCA mutations have been found in approximately 25% of women with BC [9]. The majority of the studies reporting the prevalence of BRCA mutations in Hispanics have been performed on hetero- geneous groups of Hispanic women from different coun- tries, including: Mexico [9–11], Brazil [12–14], Costa Rica [15], Chile [16, 17], Argentina [18], Peru [19], Colombia [20, 21], Venezuela [22], Bahamas [23], Cuba [24], and Puerto Rico [25] (Table 1). Recently, BRCA mutations in Latin American countries was published, which detailed the mutations found and how the preva- lence changed from country to country [26]. All of these studies have shown that the BRCA mutation spectrum varies according to the country of origin. For example, women from Argentina, Mexico, and Brazil have a higher prevalence of BRCA1 mutations [13, 18, 27], whereas in women from the Caribbean (Cuba and Puerto Rico), BRCA2 is more frequently mutated [24, 25]. Studies of women with BC from Spain showed a lar- ger number of rearrangements in both BRCA genes when compared to Hispanic women [28–30]. Addition- ally, several mutations for both BRCA genes were found in Hispanic subpopulations, especially in Argentina where there is a higher proportion European admixture. Furthermore, a mutation (BRCA2 c.156_157insAlu) from Portugal was identified in the Northern/Central region and accounted for one-fourth of the BRCA1/2 mutations [31]. This same mutation was identified in several fam- ilies of Brazil [31, 32]. Several populations have shown the presence of founder mutations, which include some Ashkenazi Jew mutations (BRCA1 185delGA; BRCA1 5382insC) ob- served in Mexico [33], Peru [19], and Brazil [13]. These founder mutations have also been reported in Spain [28–30]. Therefore, these Ashkenazi Jew mutations are thought to come from areas of Spain where Jews com- munities settled during the early Common Era. The BRCA1 ex9-12 deletion found in Mexican women is also a founder mutation. This mutation has not observed in Spain or South American populations, and was found to pre-date Spanish colonization since it is estimated to have arisen approximately 1,480 years ago [10, 34, 35] (Table 1). Furthermore, two additional founder muta- tions of Galician and Spanish origin were found in Spain [28]. Of these, the BRCA1 c.211A > G Galician founder mutation was found in the groups of a US Hispanic and the Argentinian cohort [11, 18]. Three additional founder mutations: 2 in BRCA1 (BRCA1 c.3331_3334delCAAG and BRCA1 c.5123C > A) and 1 in BRCA2 (BRCA2 c.2806_2809delACAA) where described in Hispanics from Colombia [21]. These Colombian founder mutations were found in individuals that share the same haplotype, and therefore share a common ancestor [21]. The BRCA2 c.3922G > T mutation has only been identified in the Puerto Rican cohort, and in US Hispanic studies that in- clude Puerto Ricans and not in other Latin American countries [26]. In Portugal, the BRCA2 c.156_157insAlu mutation seen in families of Portuguese descent was also identified as a founder mutation that occurred around 558 years ago [31, 32, 36]. Moreover, the BRCA1 c.5266dup mutation was identified as a founder Brazilian mutation of Eastern European origin [37]. The presence of these founder mutations in Latin America is tightly linked to migration patterns that shaped the genetic background of each Hispanic sub- population up to present-day. Several studies suggest that the prevalence of BRCA mutations in Hispanic women is higher than the preva- lence of BRCA mutations among Ashkenazi Jews and non-Hispanic Whites [9, 11]. However, these observa- tions are based on the predictability of BRCA genetic risk models that use non-Hispanic White women as ref- erence to determine risk, thus the prevalence of BRCA mutations might differ from what has been reported [9]. Differences observed in the BRCA mutation spectrum of Hispanic populations could be due to variations in the contribution of each ancestral population to the genetic background of the Hispanic subgroups. In addition, Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 2 of 15 T a b le 1 BR C A 1 an d BR C A 2 m u ta ti o n sp ec tr u m in H is p an ic p o p u la ti o n s BR C A 1a BR C A 2a St u d y Po p u la ti o n n Ex o n H G VS cD N A Pr o te in C h an g e Ex o n H G VS cD N A Pr o te in C h an g e G u it ie rr ez -E sp el et a et al . 20 12 [1 4] C o st a Ri ca 11 1 11 c. 34 03 C > T p .G ln 11 35 * 11 c. 52 79 C > G p .S er 17 60 * 11 c. 53 03 _5 30 4d el TT p .L eu 17 68 A rg fs *5 W ei tz el JN et al .2 00 7 [9 ] U S H is p an ic s 11 0 9– 12 * c. 54 8- ?_ 41 85 + ?d el (e xo n d el et io n ) p .G ly 18 3A la fs *1 8 W ei tz el JN et al .2 00 5 [2 6] U S H is p an ic s 11 0 2 c. 66 _6 7d el A G (M ex ic o /S p ai n ) p .G lu 23 Va lfs *1 7 11 c. 22 24 C > T (M ex ic o ) p .G ln 74 2* 11 c. 19 60 A > T (M ex ic o ) p .L ys 65 4* 9 c. 72 9_ 73 2d el TG A T (M ex ic o ) p .A sn 24 3L ys fs *7 11 c. 94 3i n s1 0 (M ex ic o ) 16 c. 77 57 G > A (M ex ic o ) p .T rp 25 86 * 11 c. 28 64 C > A (M ex ic o /S p ai n ) p .S er 95 5_ Se r9 56 ?f s 11 c. 31 89 _3 19 2d el G TC A (C o lo m b ia ) p .S er 10 64 Le u fs *1 2 11 c. 10 16 d u p (C u b a) p .V al 34 0G ly fs *6 11 c. 32 64 _3 26 5i n sT (M ex ic o ) p .G ln 10 89 Se rf s* 10 11 c. 35 98 C > T (M ex ic o ) p .G ln 12 00 * 11 c. 49 36 _4 93 9d el G A A A (G u at em al a) p .G lu 16 46 G ln fs *2 3 11 c. 10 86 _1 14 1d el (M ex ic o ) p .A sn 36 3S er fs *2 18 c. 83 22 _8 32 3i n sT (E lS al va d o r) p .M et 27 75 ?T yr fs *7 13 c. 43 27 C > T (M ex ic o /P er u ) p .A rg 14 43 * 23 c. 90 26 _9 03 0d el A TC A T (E l Sa lv ad o r) p .T yr 30 09 Se rf s* 7 11 c. 22 96 _2 29 7d el A G (M ex ic o ) p .S er 76 6* fs W ei tz el JN et al .2 01 3 [9 ] U S H is p an ic s 74 6 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 11 c. 32 64 d u p T p .G ln 10 89 Se rf s* 10 9– 12 * c. 54 8- ?_ 41 85 + ?d el (e xo n d el et io n ) p .G ly 18 3A la fs *1 8 3 c. 14 5G > T p .G lu 49 * 5 c. 21 1A > G (G al ic ia n fo u n d er ) (m is se n se ) p .A rg 71 G ly 13 c. 43 27 C > T p .A rg 14 43 * 11 c. 35 98 C > T p .G ln 12 00 * 11 c. 28 64 C > A p .S er 95 5* Jo h n EM et al .2 00 7 [1 0] U S H is p an ic s 39 3 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 11 c. 30 29 _3 03 0d el C T p .P ro 10 10 A rg fs *7 11 c. 37 59 _3 76 0d el TA p .L ys 12 54 G lu fs *1 2 11 c. 40 65 _4 06 8d el TC A A p .A sn 13 55 Ly sf s* 10 17 c. 50 35 _5 03 9d el C TA A T p .L eu 16 79 Ty rf s* 2 5 c. 21 1A > G (G al ic ia n fo u n d er ) (m is se n se ) p .A rg 71 G ly G o n za le z- H o rm az ab al et al . 20 10 [1 6] C h ile an 36 2 2 c. 68 _6 9d el A G p .G lu 23 Va lfs *1 7 11 c. 47 42 _4 74 3i n sT G p .G lu 15 81 A sp fs *3 7 11 c. 33 31 _3 33 4d el C A A G p .G ln 11 11 A sn fs *5 11 c. 51 45 _5 14 8d el G TA T p .T yr 17 16 ?L ys fs *8 11 c. 38 58 _3 86 1d el TG A G p .S er 12 86 A rg fs *2 0 11 c. 62 75 _6 27 6d el TT p .L eu 20 92 Pr o fs *7 11 c. 40 66 _4 06 9d el C A A G p .G ln 13 56 Ly sf s* 9 18 c. 80 68 _8 06 9d el G T p .V al 26 90 Ph ef s* 2 D o n en b er g T et al .2 01 0 [2 2] Ba h am as 21 4 15 c. 46 11 _4 61 2i n sG p .G ln 15 38 A la fs *3 6 N o n e st u d ie d 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 3 of 15 T a b le 1 BR C A 1 an d BR C A 2 m u ta ti o n sp ec tr u m in H is p an ic p o p u la ti o n s (C on tin u ed ) D el g ad o L et al .2 01 1 [7 6] U ru g u ay 11 1 11 c. 25 68 T > G p .T yr 85 6* 11 c. 53 51 _5 35 2i n sA p .A sn 17 84 Ly sf s* 3 Ro d rig u ez A O et al .2 01 2 [1 9] C o lo m b ia 10 0 11 c. 33 31 _3 33 4d el C A A G p .G ln 11 11 A sn fs *5 11 c. 60 24 _6 02 5i n sG p .G ln 20 09 A la fs *9 11 c. 48 89 C > G p .S er 16 30 * To rr es -M ej ia et al .2 01 4 [7 7] M ex ic an 81 0 9– 12 c. 54 8- ?_ 41 85 + ?d el (e xo n d el et io n ) p .G ly 18 3A la fs *8 10 c. 17 96 _1 80 0d el TT TA T p .S er 59 9* 11 c. 10 16 d u p p .V al 34 0G ly fs *6 11 c. 28 08 _2 81 1d el A C A A p .A la 93 8P ro fs *2 1 11 c. 22 96 _2 29 7d el A G p .S er 76 6* fs 11 c. 32 64 _3 26 5i n sT p .S G ln 10 89 Se rf s* 10 11 c. 20 71 d el A p .A rg 69 1A sp fs *1 0 11 c. 64 86 _6 48 9d el A C A A p .L ys 21 62 A sn fs *5 11 c. 35 98 C > T p .G ln 12 00 * 11 c. 41 11 C > T p .G ln 13 71 * 13 c. 43 27 C > T p .A rg 14 43 * Vi lla re al -G ar za et al .2 01 5 [4 0] M ex ic o 18 8 9– 12 * c. 54 8- ?_ 41 85 + ?d el (e xo n d el et io n ) p .G ly 18 3A la fs *8 11 c. 64 86 _6 48 9d el A C A A p .L ys 21 62 A sn fs *5 11 c. 38 58 _3 86 1d el TG A G p .S er 12 86 A rg fs *2 0 11 c. 60 24 _6 02 5i n sG p .G ln 20 09 A la fs *9 11 c. 40 65 _4 06 8d el TC A A p .A sn 13 55 Ly sf s* 10 5 c. 21 1A > G (G al ic ia n fo u n d er ) (m is se n se ) p .A rg 71 G ly 11 c. 28 06 _2 80 9d el G A TA p .A sp 93 6S er fs *6 3 11 c. 37 59 _3 76 0d el TA p .L ys 12 54 G lu fs *1 2 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 13 c. 43 27 C > T p .A rg 14 43 * Ew al d IP et al .2 01 6 [3 2] Po rt u g al 14 5 16 – 17 c. (4 98 6 + 1_ 49 87 -1 )_ (5 07 4 + 1_ 50 75 -1 )d el (e xo n d el et io n ) 3 c. 15 6_ 15 7i n sA lu (F o u n d er ) 19 c. 51 77 _5 18 0d el G A A A p .A rg 17 26 Ly sf s* 3 Pe ix o to A et al .2 00 9 [3 1] Po rt u g al 20 8 3 c. 15 6_ 15 7i n sA lu (f o u n d er ) Ro d rig u ez RC et al .2 00 8 [2 3] C u b a 30 7 11 c. 31 66 C > T p .G ln 10 56 * 11 c. 23 76 C > A p .T yr 79 2* 11 c. 25 64 _2 56 5d el C A p .T h r8 55 Ly sf s* 25 A b u g at ta s J et al .2 01 4 [1 8] Pe ru 26 6 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 11 c. 28 08 _2 81 1d el A C A A p .A la 93 8P ro fs *2 1 11 c. 19 61 d el A p .L ys 65 4S er fs *4 7 11 c. 37 59 _3 76 0d el TA p .L ys 12 54 G lu fs *1 2 D u ti l J et al .2 01 2 [2 4] Pu er to Ri co 23 1- 2 c. (? _- 48 )_ (8 0 + 1_ 81 -1 )d el (e xo n d el et io n ) 11 C c. 39 22 G > T (o n ly o b se rv ed in PR ) p .G lu 13 08 * 11 E c. 57 99 _5 80 2d el C C A A p .A sn 19 33 Ly sf s* 29 c. 63 93 d el p .L ys 21 31 A sn fs *6 11 F c. 64 86 _6 48 9d el A C A A p .L ys 21 62 A sn fs *5 15 c. 74 80 C > T p .A rg 24 94 * Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 4 of 15 T a b le 1 BR C A 1 an d BR C A 2 m u ta ti o n sp ec tr u m in H is p an ic p o p u la ti o n s (C on tin u ed ) C al d er o n -G u ar ci d u eñ as et al . 20 05 [2 5] M ex ic an 22 19 c. 83 77 G > A (m is se n se ) p .G ly 27 93 A rg To rr es D et al .2 00 7 [2 0] C o lo m b ia 57 11 D c. 33 31 _3 33 4d el C A A G (f o u n d er ) p .G ln 11 11 A sn fs *5 11 B c. 28 08 _2 81 1d el A C A A (f o u n d er ) p .A la 93 8P ro fs *2 1 18 c. 51 23 C > A (f o u n d er ) (m is se n se ) p .A la 17 08 G lu 11 B c. 58 51 _5 85 4d el G TT A p .S er 19 51 Tr p fs *1 1 11 F c. 62 75 _6 27 6d el TT p .L eu 20 92 Pr o fs *7 La ra K et al .2 01 2 [2 1] Ve n ez u el a 58 11 c. 10 16 d u p p .V al 34 0G ly fs *6 11 c. 28 08 _2 81 1d el A C C A p .A la 93 8P ro fs *2 1 14 c. 46 03 G > T p .G lu 15 35 * 11 c. 36 80 _3 68 1d el TG p .L eu 12 27 G ln fs *5 G o m es M et al .2 00 7 [1 2] Br az il 40 2 11 C c. 32 28 _3 22 9d el A G p .G ly 10 77 A la fs *8 11 F c. 64 05 _6 40 9d el C TT A A p .A sn 21 35 Ly sf s* 3 20 c. 52 63 d u p C (f o u n d er ) p .G lu 17 56 Pr o fs *4 d a C o st a EC B et al .2 00 8 [4 1] Br az il 7 20 c. 52 63 d u p C (f o u n d er ) p .G lu 17 56 Pr o fs *4 Ew al d IP et al .2 01 1 [3 7] Br az il 13 7 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 11 c. 57 22 _5 72 3d el p .L eu 19 08 A rg fs *2 D u flo th RM et al .2 00 5 [3 8] Br az il 31 20 c. 52 63 d u p C (f o u n d er ) p .G lu 17 56 Pr o fs *4 11 c. 66 56 C > G p .S er 22 19 * G al la rd o M et al .2 00 6[ 15 ] C h ile 77 11 D c. 38 17 C > T p .G ln 12 73 * 11 c. 59 46 d el T p .S er 19 82 A rg fs *2 2 5 c. 18 9d u p p .C ys 64 M et fs *2 11 c. 66 29 _6 63 0d el A A p .G lu 22 10 G ly fs *1 4 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 11 c. 14 5G > T p .G lu 49 * Lo u re n co J et al .2 00 4 [1 3] Br az il 47 20 c. 52 63 d u p C (f o u n d er ) p .G ln 17 56 Pr o fs *4 11 D c. 34 03 C > T p .G ln 11 35 * 11 D c. 33 31 _3 33 4d el C A A G p .G ln 11 11 A sn fs *5 So la n o A R et al .2 01 2 [1 7] A rg en ti n a 13 4 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 11 c. 28 08 _2 81 1d el A C A A p .A la 93 8P ro fs *2 1 5 c. 21 1A > G (G al ic ia n fo u n d er ) (m is se n se ) p .A rg 71 G ly 11 c. 60 37 A > T p .L ys 20 13 * 7 c. 42 7G > T p .G lu 14 3* 11 c. 79 7_ 79 8d el TT p .S er 26 7L ys fs *1 9 11 c. 15 04 _1 50 7d el p .L eu 50 2S er fs *2 9 11 c. 15 19 d el C p .A rg 50 7A sp fs *2 5 11 c. 50 7_ 50 8d el A A p .A rg 17 0A sp fs *1 1 11 c. 26 86 d el A p .S er 89 6V al fs *1 04 11 c. 27 28 C > T p .G ln 91 0* 11 c. 36 07 C > T p .A rg 12 03 * 11 c. 36 27 in sA p .G lu 12 10 A rg fs *8 11 c. 37 58 _3 75 9d el C T p .S er 12 53 * 17 c. 50 30 _5 03 3d el C TA A p .T h r1 67 7I le fs *2 Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 5 of 15 T a b le 1 BR C A 1 an d BR C A 2 m u ta ti o n sp ec tr u m in H is p an ic p o p u la ti o n s (C on tin u ed ) BI C D at ab as e Po rt u g al 5 c. 21 1A > G (G al ic ia n fo u n d er ) (f o u n d er ) p .A rg 71 G ly 3 c. 15 6_ 15 7i n sA lu 11 c. 36 89 T > G p .L eu 12 30 * Bl ay P et al .2 01 3 [2 8] Sp ai n (A st u ria s) 25 6 2 c. 66 _6 7d el A G p .G lu 23 Va lfs *1 7 3 c. 26 2_ 26 3d el C T p .L eu 88 A la fs *1 2 5 c. 21 1A > G (G al ic ia n fo u n d er ) (m is se n se ) p .A rg 71 G ly 11 c. 28 30 A > T p .L ys 94 4* 8 c. 47 0_ 47 1d el C T p .S er 15 7* 11 c. 51 16 _5 11 9d el A A TA p .A sn 17 06 Le u fs *5 11 c. 16 87 C > T (S p ai n fo u n d er ) p .G ln 56 3* 11 c. 55 76 _5 57 9d el TT A A p .Il e1 85 9L ys fs *3 11 c. 29 00 _2 90 1d u p C T p .P ro 96 8L eu fs *3 3 18 c. 80 42 _8 04 3d el C A p .T h r2 68 1S er fs *1 1 11 c. 33 31 _3 33 4d el C A A G p .G ln 11 11 A sn fs *5 23 c. 90 26 _9 03 0d el A TC A T p .T yr 30 09 Se rf s* 7 11 c. 36 89 T > G p .L eu 12 30 * 25 c. 93 10 _9 31 1d el A A p .L ys 31 04 Va lfs *6 11 c. 37 70 _3 77 1d el A G p .G lu 12 57 G ly fs *9 11 c. 40 65 _4 06 8d el TC A A p .A sn 13 55 Ly sf s* 10 1– 24 c. (− 20 + 1_ -1 9- 1) _( *1 38 3_ ?) d el (e xo n d el et io n ) 1– 13 c. (? _- 48 )_ (4 35 7 + 1_ 43 58 -1 )d el (e xo n d el et io n ) 20 c. 52 13 _5 27 7 + 31 82 d el in sT (e xo n d el et io n ) Fa ch al L et al .2 01 4 [2 9] Sp ai n (G al ic ia ) 65 1 1- 2 c. (? _- 48 )_ (8 0 + 1_ 81 -1 )d el (e xo n d el et io n ) 1– 24 c. (− 20 + 1_ -1 9- 1) _( *1 38 3_ ?) d el (e xo n d el et io n ) 1– 13 c. (? _- 48 )_ (4 35 7 + 1_ 43 58 -1 )d el (e xo n d el et io n ) d e Ju an Ji m en ez I et al . 20 13 [3 0] Sp ai n 17 63 1- 2 c. (? _- 48 )_ (8 0 + 1_ 81 -1 )d el (e xo n d el et io n ) 3 c. 14 5G > T p .G lu 49 * 1- 24 c. (− 20 + 1_ -1 9- 1) _( *1 38 3_ ?) d el (e xo n d el et io n ) 3 c. 26 2_ 26 3d el C T p .L eu 88 A la fs *1 2 20 c. 52 13 _5 27 7 + 31 82 d el in sT (e xo n d el et io n ) 4 c. 37 0d el A p .M et 12 4T rp fs *1 2 2 c. 68 _6 9d el A G p .G lu 23 Va lfs *1 7 10 c. 13 10 _1 31 3d el A A G A p .L ys 43 7I le fs *2 2 5 c. 21 1A > G (G al ic ia n fo u n d er ) (m is se n se ) p .A rg 71 G ly 11 c. 28 08 _2 81 1d el A C A A p .A la 93 8P ro fs *2 1 11 c. 98 1_ 98 2d el A T p .C ys 32 8* 11 c. 31 70 _3 17 4d el A G A A A p .L ys 10 57 Th rf s* 8 11 c. 15 04 _1 50 8d el TT A A A p .L eu 50 2A la fs *2 11 c. 32 64 _3 26 5i n sT p .G ln 10 89 Se rf s* 10 11 c. 16 87 C > T p .G ln 56 3* 11 c. 38 47 _3 84 8d el G T p .V al 12 83 Ly sf s* 2 11 c. 19 53 _1 95 6d el G A A A p .L ys 65 3S er fs *4 7 11 c. 39 22 G > T p .G lu 13 08 * 11 c. 26 94 d u p p .V al 89 9S er fs *4 11 c. 49 36 _4 93 9d el G A A A p .G lu 16 46 G ln fs *2 3 11 c. 32 57 T > G p .L eu 10 86 * 11 c. 51 30 _5 13 3d el A TG T p .T yr 17 10 * 11 c. 33 31 _3 33 4d el C A A G p .G ln 11 11 A sn fs *5 11 c. 55 76 _5 57 9d el TT A A p .Il e1 85 9L ys fs *3 11 c. 33 59 _3 36 0d el TT p .V al 11 20 G lu fs *1 2 11 c. 62 75 _6 27 6d el TT p .L eu 20 92 Pr o fs *7 11 c. 35 83 d el C p .H is 11 95 Ile fs *1 5 11 c. 64 86 _6 48 9d el A C A A p .L ys 21 62 A sn fs *5 11 c. 36 27 d u p p .G lu 12 10 A rg fs *9 11 c. 66 29 _6 63 0d el A A p .G lu 22 10 G ly fs *1 4 Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 6 of 15 T a b le 1 BR C A 1 an d BR C A 2 m u ta ti o n sp ec tr u m in H is p an ic p o p u la ti o n s (C on tin u ed ) 11 c. 37 00 _3 70 4d el p .V al 12 34 G ln fs *8 18 c. 80 42 _8 04 3d el C A p .T h r2 68 1S er fs *1 1 11 c. 37 59 d u p p .L ys 12 54 * 23 c. 90 18 C > A p .T yr 30 06 * 11 c. 37 70 _3 77 1d el A G p .G lu 12 57 G ly fs X 9 23 c. 90 26 _9 03 0d el A TC A T p .T yr 30 09 Se rf s* 7 11 c. 37 85 C > A p .S er 12 62 * 25 c. 92 86 G > T p .G lu 30 96 * 11 c. 40 65 _4 06 8d el TC A A p .A sn 13 55 Ly sf s* 10 12 c. 41 61 _4 16 2d el TC p .G ln 13 88 G lu fs *2 13 c. 43 07 _4 30 8d el C T p .S er 14 36 Ph ef s* 4 13 c. 43 57 d el G p .A la 14 53 G ln fs *3 14 c. 43 75 A > T p .L ys 14 59 * 15 c. 45 52 C > T p .G ln 15 18 * 16 c. 48 10 C > T p .G ln 16 04 * 17 c. 50 30 _5 03 3d el C TA A p .T h r1 67 7I le fs *2 20 c. 53 63 _5 36 4i n sC p .A la 17 89 Ly sf s* 41 21 c. 53 11 _5 33 3d el p .P ro 17 71 Se rf s* 51 * A cc o rd in g to C lin V ar Su m m ar y Ev id en ce fo r th is B R C A 1 c. 5 4 8 -? _4 1 8 5 + ?d el m u ta ti o n is al so re fe re n ce d to as a d el et io n in ex o n s 8 – 1 1 .H o w ev er , in th e lit er at u re re vi se d w as re fe re n ce d as ex o n d el et io n 9 – 1 2 .B o th n am es ar e sy n o n ym o u s fo r th e sa m e m u ta ti o n .P le as e se e h tt p s: // w w w .n cb i.n lm .n ih .g o v/ cl in va r/ va ri at io n /2 1 9 7 7 2 /# su m m ar y- ev id e n ce fo r m o re in fo rm at io n . a M is se n se m u ta ti o n s p at h o g en ic it y st at u s w as ve ri fi ed as p at h o g en ic o r lik el y p at h o g en ic b y th e fo llo w in g d at ab as es : C lin V ar (h tt p s: // w w w .n cb i.n lm .n ih .g o v/ cl in va r/ ) an d In vi ta e (h tt p :/ /c lin vi ta e. in vi ta e. co m /) . Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 7 of 15 https://www.ncbi.nlm.nih.gov/clinvar/variation/219772/#summary-evidence https://www.ncbi.nlm.nih.gov/clinvar/ http://clinvitae.invitae.com/ there is very limited information on the mutation spectrum in some countries, such as Costa Rica, Bahama, and Cuba, among others. Therefore, the muta- tion spectrum of BRCA among Hispanic women is still understudied, which may our knowledge on the true percentage of BC in Hispanic populations that may be attributable to hereditary changes. Clinical phenotype The clinical presentation of HBOC among Hispanic sub- populations is very similar to non-Hispanic cohorts [12, 17, 19, 21, 25, 36–40]. Most studies reported that the ma- jority of women that met inclusion criteria had BC diag- nosed before age 50 (67.5%; range: 50.4–81.4%). Additionally, family history of BC was found on an aver- age of 16.1% (range: 5.2–27%) of Hispanic women recruited in the studies described in this review. Compari- sons of the age at BC diagnosis among the Hispanic sub- populations described above showed that Caribbean Hispanics (Bahamas, Puerto Rico and Cuba) were diag- nosed at later ages (mean: 45.9 years; range: 40–51.8 years) than their South American (mean: 44 years), Central American (mean: 41.6 years) and US Hispanic (mean: 38.5 years) counterparts [17, 19, 21, 25, 28–30, 32, 36–41]. Clinical guidelines The National Comprehensive Cancer Network (NCCN) established guidelines for physicians to evaluate potential candidates for genetic counseling and testing [42]. The evaluation criteria for HBOC genetic testing include: per- sonal history of BC before 50 years of age, one or more 1st degree relatives with BC, family history of a BRCA1/2 mutation, and personal history of OC, among others. The information obtained from the genetic tests is used by physicians to guide the patient’s medical/surgical manage- ment. This management may include chemoprevention therapy, prophylactic surgery (double mastectomy, oo- phorectomy, and/or hysterectomy), and increased surveil- lance by mammography and breast MRI. Even though these guidelines have been established, underutilization of these guidelines for Hispanic patients that meet the cri- teria has been reported [43]. The reason for the low ad- herence to these guidelines is yet to be addressed, but it is believed that a combination of factors such as, socioeco- nomic, belief systems, and access to care contribute to this health disparity. Furthermore, the benefits of utilizing these guidelines in other countries, where prevalence of BRCA mutations is high, is still to be determined. For ex- ample, the high prevalence of BRCA mutations in the Bahamas supports the implementation of universal test- ing. However, countries such as Puerto Rico, that have a small number of mutations, could benefit even more from implementing these guidelines. Additionally, it is import- ant to note that these guidelines where developed using studies mainly performed in non-Hispanic White women. Further studies are needed to elucidate whether NCCN guidelines are useful in Hispanic women or if the differ- ences observed in the prevalence of BRCA mutations and clinical presentation, warrants changes to accommodate these differences. Colorectal cancer syndromes Colorectal cancer (CRC) accounts for 11 and 8% of can- cers in US Hispanic males and females, respectively [3]. Hereditary CRC accounts for approximately 5–10% of all CRC cases. There are two major types of inherited CRC syndromes: 1) Familial Adenomatous Polyposis (FAP) and 2) Lynch Syndrome (LS). In this section, we will discuss the clinical presentation, genetic basis, and guidelines for testing for these two forms of inherited CRC syndromes. Familial adenomatous polyposis FAP is characterized by the presence of hundreds to thousands of adenomatous polyps in the colon and rec- tum. These polyps appear during adolescence and, if left untreated, can develop into CRC by age 40. Affected in- dividuals without a colectomy have close to 100% life- time risk of developing CRC [44]. By age 20, most patients have at least 1 adenomatous polyp; by age 50, most have developed adenocarcinoma [44]. Thus, the recommended treatment for FAP is prophylactic colec- tomy in young adulthood [45]. Classic FAP has an incidence ranging from 1 in 8300 people to 1 in 22,000 people, depending on the country of origin [46]. FAP is caused by mutations in the APC gene [47]. Most cases have a family history of FAP, but close to 25% of cases are diagnosed as de novo mutations [48]. Identifying the specific APC mutation in a family can be used for targeted sequencing testing for pre- symptomatic, at-risk family members. Mutation spectrum The FAP mutation spectrum has been studied in a limited number of Hispanic countries, including Brazil [49], Argentina [50], Peru [51], Mexico [44], Puerto Rico [52], Portugal, and Spain [53] (Table 2). Most mutations identified in Hispanic patients from both Latin America, Portugal, and Spain have been in exon 15 of the APC gene (Table 2). This exon comprises more than 75% of the coding sequence and is the most commonly mutated region of the APC gene [54]. Clinical phenotype The data available on the clinical manifestation of FAP in Hispanic is limited. Of the stud- ies discussed, only studies from Puerto Rico [52], US Hispanics (from Mexico, Guatemala and Honduras) [51] and Brazil [49] had phenotype information for Hispanic FAP patients. Puerto Rican individuals with FAP had a mean age of diagnosis of 27.6 years (range: 9–71 years), Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 8 of 15 Table 2 APC mutation spectrum in Hispanic patients APCa Study Population n Exons Mutation Protein Change Cruz-Correa et al. 2013 [43] Puerto Rico 31 15 c.3183_3187delACAAA p.Gln1062* 15 c.4612_4613delGA p.Glu1538Ilefs*5 15 c.3149delC p.Ala1050Glufs*6 15 c.3927_3931delAAAGA p.Glu1309Aspfs*4 14 c.1873C > T p.Gln625* 15 c.4012C > T p.Gln1338* Tardin-Torrezan G et al. 2013 [40] Brazil 23 del 5q21.3-q22.3 8 c.856_859dupCATG p.Glu287Alafs*2 4 c.447dupC p.Lys150Glnfs*18 15 c.4097dupC p.Gln1367Serfs*8 8 c.904C > T p.Arg302* 15 c.4348C > T p.Arg1450* 15 c.3880-3881delCA p.Gln1294Glyfs*6 8 c.847C > T p.Arg283* 15 c.4099C > T p.Gln1367* 15 c.3050-3053delATGA p.Asn1017Metfs*4 15 c.3927-3931delAAAGA p.Glu1309Aspfs*4 15 c.4393-4394delAG p.Ser1465Trpfs*3 Zeichner S et al. 2012 [41] Hispanic 1 15 c.3927_3931delAAAGA p.Glu1309Aspfs*4 Ricker C et al. 2010 [42] Mexico, Guatemala, Honduras 9 15 c.3184C > T p.Gln1062* 15 c.3709delCA (MX) p.Gln1237Glufs*2 g.89926-?_141606 + ?del (GU) 15 c.3927_3931delAAAGA (MX) p.Glu1309Aspfs*4 15 c.3803_3815del1 (HO) p.Pro1268Glufs*16 15 c.3183_3187delACAAA (MX) p.Gln1062* InSIGHT [53] Argentina 15 c.3920 T > A (missense) p.Ile1307Lys Portugal 15 c.4687dup p.Leu1563Profs*4 15 c.5826_5829delCAGA p.Asp1942Glufs*27 Spain 5 c.637C > T p.Arg213* 6 c.707delA p.Gln236Argfs*57 7 c.730_731delAG p.Arg244Valfs*7 7 c.802G > T p.Glu268* 8 c.858delT p.His286Glnfs*7 8 c.904C > T p.Arg302* 11 c.1412delG p.Gly471Aspfs*27 13 c.1682dupA p.Thr562Aspfs*19 13 c.1690C > T p.Arg564* 14 c.1787C > G p.Ser596* 14 c.1946_1947insG p.Asn649Lysfs*2 15A c.1993_1994delTT p.Leu665Ilefs*9 15 c.2310delA p.Glu771Lysfs*6 15B c.2413C > T p.Arg805* 15C c.2496delC p.Ser833Alafs*9 Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 9 of 15 the majority were male (51.6%), and had ≥ 100 polyps in their colon (67.7%) [52]. In addition, upper gastrointes- tinal polyps and desmoid tumors were observed in 41.9 and 9.7% of the study subjects, respectively. Ricker et al. described 9 Hispanic women from different regions with FAP with a mean age of diagnosis of 37.2 years. Among these women the most common extracolonic manifest- ation as upper gastric polyps [51]. The study describing Brazilian FAP patients reported that subjects had a mean age of 32.6 years (7–67 years), 79% had upper gastro- intestinal polyps, and 54% had desmoid tumors [49]. The prevalence of extracolonic manifestations in the FAP patients of the Brazilian cohort was higher than in other Hispanic subpopulations. In summary, the clinical manifestations of FAP in Hispanics are similar to the one presented by non-Hispanic US Whites. Clinical guidelines To guide genetic testing for FAP in individuals at high-risk, both the NCCN and the Ameri- can Gastroenterology Association (AGA) have developed guidelines for physicians. The NCCN guidelines recom- mend genetic counseling for individuals with a personal history of ≥20 colorectal adenomas, known APC dele- terious mutation in the family, and personal manifest- ation of a desmoid tumor, cribriformular variant of papillary thyroid cancer, or hepatoblastoma [55]. Guide- lines from the AGA for genetic counseling and testing include, personal history of >10 cumulative colorectal adenomas, family history of FAP, and family history of FAP-type extracolonic manifestations [56]. Lynch Syndrome (LS) LS accounts for 2–4% of all CRC cases [44]. This syn- drome is characterized by CRC at an early age and a high risk for a number of additional primary cancers, including endometrial and gastric cancer [57]. Ap- proximately 1 in 35 individuals diagnosed with CRC has LS [58]. During their lifetime, individuals with LS will have up to a 70% risk of developing CRC [58]; women will have up to a 45% risk of developing endo- metrial cancer [59]. Mutation spectrum Germline mutations in the DNA mismatch repair (MMR) genes, MLH1, MSH2, MSH6, PMS2 and EPCAM, causing the absence of MMR pro- tein expression result in LS [60]. The most common genes mutated in LS are MLH1 and MSH2; close to 50% of LS individuals have a mutation in MLH1 [61]. In a re- view published by Dominguez-Valentín et al., the LS mutation spectrum in South American countries was de- scribed [62]. Pathogenic mutations in the MMR genes were identified in patients from Brazil [53], Argentina [63], Uruguay [64], and Colombia [65] (Table 3). Fur- thermore, the InSIGHT database contains additional in- formation on MMR mutations in additional Hispanic subpopulations, Portugal, and Spain [53]. As seen in non Hispanic Whites, mutations in the MLH1 gene are more common in Hispanic, Portuguese and Spanish popula- tions, with the exception of Uruguay [64] and Caribbean Hispanics (Puerto Rico) [66] (Table 3). Data from Carib- bean Hispanic patients showed that the mutation spectrum consisted mostly of MSH2 mutations (66.7%), followed by MLH1 mutations (25.0%) [66]. Mutations in the MSH6 gene have only been identified in the Carib- bean Hispanics [66], Brazilians [53], Chileans [67], and Cubans [53]. There are no published mutations in the EPCAM gene among Hispanics cohorts. The mutation spectrum of MMR genes in Hispanic subgroups could be more varied, thus, additional studies in Hispanic sub- populations are needed. Clinical presentation For MLH1 mutation carriers, the CRC lifetime risk has been shown to be as high as 68% [68]. The prevalence of MSH2 mutations in families with LS has been reported to range from 38 to 54%, with a CRC lifetime risk of up to 68% [69]. The clinical presentation of LS in the Hispanic sub- groups, is similar to what has been observed in NHW with a mean age of diagnosis of 30–44 years of age, endometrial cancer being the 2nd most common LS- associated cancer, and colorectal tumor predominantly in the right colon [62]. Table 2 APC mutation spectrum in Hispanic patients (Continued) 15D c.2838_2839delAT p.Cys947Phefs*15 15D c.2977A > T p.Lys993* 15D c.2980_2990del11 p.Phe994Trpfs*10 15E c.3224dupA p.Tyr1075* 15E c.3251_3252dupAT p.Lys1085Ilefs*42 15G c.3921_3924delAAAA p.Ile1307Metfs*13 15G c.3927_3931delAAAGA p.Glu1309Aspfs*4 15 c.4260_4261delCA p.Ser1421* aMissense mutations pathogenicity status was verified as pathogenic or likely pathogenic by the following databases: ClinVar (https://www.ncbi.nlm.nih.gov/ clinvar/) and Invitae (http://clinvitae.invitae.com/) Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 10 of 15 https://www.ncbi.nlm.nih.gov/clinvar/ https://www.ncbi.nlm.nih.gov/clinvar/ http://clinvitae.invitae.com/ T a b le 3 M M R g en es m u ta ti o n sp ec tr u m in H is p an ic p at ie n ts M LH 1a M SH 2a St u d y Po p u la ti o n n Ex o n M u ta ti o n Pr o te in C h an g e Ex o n M u ta ti o n Pr o te in C h an g e C ru z- C o rr ea et al .2 01 5 [5 7] Pu er to Ri co 89 11 c. 10 24 d el 16 p .M et 34 2C ys fs *2 5 5 c. 90 5 T > A p .L eu 30 2* 18 c. 20 44 _2 04 5d el A T p .M et 68 2V al fs *1 1 11 c. 17 05 d el G A p .G lu 56 9I le fs *2 16 c. 18 55 d el G p .A la 61 9L eu fs *1 8 9 c. 14 57 d el 4 p .A sn 48 6T h rf s* 10 1– 3 c. (? _- 68 )_ 64 5 + ?d el (e xo n d el et io n ) G ira ld o et al .2 00 5 [5 6] C o lo m b ia 11 16 c. 18 55 d el G p .A la 61 9L eu fs *1 8 3 c. 59 6d el G p .C ys 19 9L eu fs *1 5 W ie la n d t et al .2 01 2 [5 8] C h ile 35 fa m 14 to 15 c. 15 59 -? _1 73 1 + ?d el p .V al 52 0_ Se r5 77 > G fs *7 5 c. 89 7 T > G p .T yr 29 9* 19 c. 21 04 -? _2 27 1 + ?d el p .S er 70 2_ X 75 7d el Sa rr o ca et al .2 00 3 [5 5] U ru g u ay 46 1 1 c. 18 1C > T p .G ln 61 * 3 c. 53 0_ 53 1d el A A p .G lu 17 7V al fs *3 Va cc ar o et al .2 00 7 [5 4] A rg en ti n a 30 6 16 c. 18 52 _1 85 4d el p .L eu 61 8d el 12 c. 19 11 d el p .A rg 63 8G ly fs *4 7 3 c. 38 8_ 38 9d el p .A sn 13 0V al fs *2 In SI G H T [5 3] A rg en ti n a 8 c. 67 7G > A (m is se n se ) p .A rg 22 6G ln 1 c. 16 6G > T p .G lu 56 * 16 c. 18 90 d u p p .A sp 63 1* 3 c. 38 8_ 38 9d el p .G ln 13 0V al fs *2 7 c. 12 24 T > A p .T yr 40 8* 13 c. 20 46 _2 04 7d el p .V al 68 4A sp fs *1 4 Br az il 2 c. 17 5d u p p .Il e5 9A sn fs *2 0 1 c. 18 7d el p .V al 63 * 8 c. 67 7G > A (m is se n se ) p .A rg 22 6G ln 5 to 6 c. 79 3- ?_ 10 76 + ?d el p .V al 26 5I le fs *2 9 9 c. 77 9 T > G (m is se n se ) p .L eu 20 6A rg 7 c. 12 49 d el p .V al 41 7L eu fs *2 1 12 c. 12 76 C > T p .G ln 42 6* 9 c. 14 44 A > T p .A rg 48 2* 13 c. 14 59 C > T p .A rg 48 7* 9 c. 14 47 G > T p .G lu 48 3* 14 c. 16 39 _1 64 3d u p p .L eu 54 9T yr fs *4 4 11 c. 16 67 d el p .L eu 55 6* 16 c. 18 53 d el in sT TC TT p .L ys 61 8I le fs *4 11 c. 17 38 _1 74 1d el G A A A A p .G lu 58 0L eu fs *9 17 c. 19 75 C > T p .A rg 65 9* 12 c. 19 67 _1 97 0d u p p .A sp 66 0G lu fs *3 18 c. 20 41 G > A (m is se n se ) p .A la 68 1T h r 13 c. 21 31 C > T p .A rg 71 1* 19 c. 22 24 C > T p .G ln 74 2* 13 c. 21 52 C > T p .G ln 71 8* 15 c. 25 25 _2 52 6d el p .G lu 84 2V al fs *3 16 c. 27 85 C > T p .A rg 92 9* Pu er to Ri co 10 c. 86 6_ 86 7d u p p .P ro 29 0T h rf s* 8 U ru g u ay 8 c. 66 5d el p .A sn 22 2M et fs *7 1 c. 18 1C > T p .G ln 61 * 3 c. 53 0_ 53 1 p .G lu 17 7V al fs *3 Po rt u g al 10 c. 79 3C > T (m is se n se ) p .A rg 26 5C ys Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 11 of 15 T a b le 3 M M R g en es m u ta ti o n sp ec tr u m in H is p an ic p at ie n ts (C o n tin u ed ) Sp ai n 2 c. 15 5_ 15 8d el p .L ys 52 A rg fs X 4 3– 6 c. 22 4- ?_ 10 03 + ?d el p .A la 12 3I le fs *2 2 c. 19 9G > A (m is se n se ) p .G ly 67 A rg 4 c. 76 1d el p .A sn 25 4I le fs *2 0 4 c. 33 2C > T (m is se n se ) p .A la 11 1V al 4 c. 69 1d el G p .A sp 23 1T h rf s* 15 4 c. 35 0C > T (m is se n se ) p .T h r1 17 M et 6 c. 10 35 G > A p .T rp 34 5* 5 c. 38 2d el p .A la 12 8G ln fs *8 7 c. 12 49 _1 25 3d el p .V al 41 7T h rf s* 7 8 c. 66 5d el p .A sn 22 2M et fs *7 7 c. 12 55 C > T p .G ln 41 9* 8 c. 67 7G > A (m is se n se ) p .A rg 22 6G ln 9 c. 13 99 G > T p .G lu 46 7* 9 c. 70 1d el A p .G lu 23 4G ly fs X 4 9 c. 73 1G > A (m is se n se ) p .G ly 24 4A sp 13 c. 14 20 d el p .A rg 74 7G ly fs *1 7 13 c. 14 59 C > T p .A rg 48 7* 16 c. 18 65 T > A (m is se n se ) p .L eu 62 2H is 16 c. 18 93 d el p .A sp 63 1G lu fs *6 a M is se n se m u ta ti o n s p at h o g en ic it y st at u s w as ve ri fi ed as p at h o g en ic o r lik el y p at h o g en ic b y th e fo llo w in g d at ab as es : C lin V ar (h tt p s: // w w w .n cb i.n lm .n ih .g o v/ cl in va r/ ) an d In vi ta e (h tt p :/ /c lin vi ta e. in vi ta e. co m /) Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 12 of 15 https://www.ncbi.nlm.nih.gov/clinvar/ http://clinvitae.invitae.com/ Clinical guidelines The identification of at-risk individ- uals for LS includes the clinical profile of the patient and molecular testing. The NCCN has published clinical guidelines to determine a patient’s risk of having LS [55]. The Amsterdam and Bethesda criteria were established to help identify individuals that may harbor germline mutations in the MMR genes based on personal and family history of CRC [70]. The American Gastroenter- ology Association (AGA) also provides guidelines for the identifying at risk individuals and additionally guidelines for the screening of CRC among these LS individuals [71]. The AGA guidelines for LS testing are: to test MMR deficiency in newly diagnosed CRC cases, and to test individuals with CRC diagnosed at age ≤70 or individ- uals older than 70 years of age who have a family history of LS [71]. Moreover, the AGA guidelines for screening for LS in these high-risk individuals or those affected by LS suggest colonoscopies every 1 to 2 years starting at age 20–25 or starting 2 years younger than the youngest age at CRC diagnosis in the family [71]. Additional studies are needed to determine the utilization of established guide- lines for Lynch Syndrome in Hispanics. In addition, assessment of molecular markers in tu- mors, such as microsatellite instability (MSI) or loss of MMR protein expression, are used as molecular screen- ing tools for identifying LS patients. Loss of MMR pro- tein expression correlates with the presence of MSI and is indicative of a possible germline MMR gene mutation [72]. Genetic testing for LS is considered the “gold standard” for diagnosis. However, lack of detection of MMR protein expression by immunohistochemistry (IHC) can be a surrogate marker to diagnose LS when genetic testing is not available, due to limited accessibil- ity to this type of test (lack of insurance coverage, eco- nomic hardships, limited infrastructure). Current NCCN and AGA guidelines recommend that genetic testing be offered to at-risk patients if the test influences the med- ical management of their condition or that of their at- risk relatives. However, an important concern is that these criteria may miss LS patients who do not meet cri- teria. LS screening of all CRC tumors has been shown to be cost-effective and is currently recommended by mul- tiple professional societies [55, 71]. As many as 1/3 of women with LS may initially present with endometrial cancer without a history of CRC, thus universal screening for LS in endometrial cancer has also been proposed [73]. Currently, there are no reports in the literature on univer- sal testing of Lynch Syndrome in Hispanic subgroups using IHC detection of MMR proteins, in contrast with non-Hispanic whites for which data is abundant. Multi-gene panel testing The Supreme Court of the US invalidated the patents made by Myriad Genetics© that gave them the right to exclusively offer BRCA genetic testing. This ruling per- mitted additional methods to sequence the BRCA gene, as well as other genes, thus significantly reducing costs for genetic testing. Furthermore, major breakthroughs in next-generation sequencing (NGS) and a more compre- hensive understanding of the genetic basis underlying hereditary cancers are shifting genetic testing for heredi- tary cancer from single gene testing to multiple gene panels. Several of the commercial companies offering cancer genetic screening are offering panels comprised of dozens of genes, including BRCA1/2 and the MMR genes, among others. Multi-gene testing would be espe- cially beneficial to families who present a spectrum of different cancer types. Furthermore, the current reduced cost of NGS technology will allow laboratories across Latin America to perform studies on patients with the cancer syndromes discussed above to continue under- standing the mutation spectrum and prevalence of mu- tations of Hispanic populations. Although the future of hereditary cancer testing will undoubtedly reside in multi-gene panel testing, it pre- sents some important challenges. Multi-gene panels in- clude moderate penetrance genes with limited clinical utility. Furthermore, for many of the known hereditary cancer genes, is not clear whether the identification of a deleterious mutation warrants clinical measures beyond increased surveillance, particularly among understudied ethnic groups such as Hispanics [74]. In addition, multi- gene panel testing is likely to result in the identification of a higher number of variants of uncertain significance (VUS) and mutations with an undetermined clinical value. Currently, a lack of standardization across genetic laboratories regarding the analysis of the data as well as the clinical interpretation of results may lead to errone- ous medical advice [75]. As research, education, and health policy development advances, these issues are likely to be resolved. Conclusion Over the last 10 years, the scientific community has con- ducted research to determine the prevalence and muta- tion spectrum of the genes associated with hereditary cancer syndromes in Hispanic populations. Genetic test- ing is an integral part of the treatment for cancer pa- tients. As the standard of care in hereditary cancer testing shifts from single gene testing to multi-gene panel testing, it will be essential that ongoing research efforts focus on determining mutation penetrance and associated genetic risks. This information will ensure that the standard-of-care genetic testing is provided to all patients in need and that patients will have access to the latest advances in prevention and treatment of her- editary cancers. Examination of barriers to genetic testing and implementation of culturally sensitive Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 13 of 15 educational programs will be essential to increase adher- ence. Moreover, integration of clinical genetic guidelines to health policy will enable implementation and sustain- ability of genetic medicine across Hispanic populations. Acknowledgments Furthermore, we want to thank the support of the Puerto Rico Clinical and Translational Research Consortium (8U54MD007587-03). Funding This work was supported by grant number U54CA096297 and grant number 1U54CA163071-01A1. Availability of data and materials The data analyzed during this study is available from each study analyzed in this review, the BIC database and the INSight database. Authors’ contributions MCC and JPM conceived study, participated in design and wrote the manuscript. JD participated in design, provided articles to review and edited the manuscript. ME, RM, KR, SU, MG, MIO drafted and edited the manuscript. SP participated in study design, drafted and edited the manuscript. All authors read and approved the final manuscript. Competing interests The authors declare that they have no competing interests. Consent for publication Not Applicable. Ethics approval and consent to participate Not Applicable. Author details 1Department of Cancer Biology, University of Puerto Rico Comprehensive Cancer Center, San Juan, PR, USA. 2University of Puerto Rico Medical Sciences Campus, School of Medicine, San Juan, PR, USA. 3Ponce Health Sciences University, Ponce Research Institute, Ponce, PR, USA. 4Cancer Center, Auxilio Mutuo Hospital, San Juan, PR, USA. 5Puerto Rico Gastroenterology Association, San Juan, PR, USA. 6Department of Pediatrics, University of Puerto Rico School of Medicine, San Juan, PR, USA. 7Department of Pathology, University of Puerto Rico School of Medicine, San Juan, PR, USA. 8University of Puerto Rico Comprehensive Cancer Center, PMB711 Ave. De Diego 89 Ste. 105, San Juan, PR 00927-6346, USA. Received: 2 April 2016 Accepted: 5 January 2017 References 1. U.S. Census Bureau (2009). Hispanics in the United States, Puerto Rico, and the U.S. Virgin Islands: 2000 Retrieved from: http://www.census.gov/content/ dam/Census/library/working-papers/2009/demo/POPtwps0084.pdf. 2. 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Recurrent BRCA1 and BRCA2 mutations in Mexican women with breast cancer. Cancer Epidemiol Biomarkers Prev. 2015;24(3): 498–505. • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: Cruz-Correa et al. Hereditary Cancer in Clinical Practice (2017) 15:3 Page 15 of 15 Abstract Background Hereditary cancer overview Hereditary breast cancer and ovarian cancer (HBOC) Mutation spectrum Clinical phenotype Clinical guidelines Colorectal cancer syndromes Familial adenomatous polyposis Lynch Syndrome (LS) Multi-gene panel testing Conclusion Acknowledgments Funding Availability of data and materials Authors’ contributions Competing interests Consent for publication Ethics approval and consent to participate Author details References 
work_e677chvbybgilind7f34a5ct6m	----	Globalization—In the Name of Which Freedom? KEY NOTE SPEECH Globalization—In the Name of Which Freedom? Jeffrey D. Sachs1 Published online: 31 March 2017 # Springer International Publishing 2017 Abstract I consider four waves of globalization. The first is Commercial Capitalism (1500- 1800), following the voyages of Columbus and Da Gama. The second is Industrial Capitalism (1800-1950), following the industrial revolution led by the steam engine and mechanization. The third is the Era of Convergence (1950-Present), following the end of the European empires after World War II. The fourth is the New Globalization (Present-2100) marked by three decisive trends: the relative rise of Asia, the Information Revolution, and the stark crises of Planetary Boundaries. I argue that modern globalization must urgently establish a new moral basis and the cultivation of virtues in order to achieve Sustainable Development. Keywords Globalization . Convergence . Sustainable development . Planetary boundaries Introduction Thank you very much for the high honor of the Lifetime Achievement Award of the Humanistic Management Network. I am deeply grateful for the beautiful plaque engraved with Leonardo da Vinci’s Vitruvian Man. We are about 500 years from Da Vinci’s time, a good starting point for my comments today. Da Vinci produced the Vitruvian Man in 1490. Two years later Christopher Columbus sailed to the new world. And 6 years after that, in 1498, Vasco da Gama sailed from Europe to Asia and back. Globalization had begun, and the world would never be the same. Early Capitalism and Globalization I have been studying Thomas More’s Utopia on the 500th anniversary of the publication of that great work in 1516. It is no accident that Utopia followed quickly upon the momentous Humanist Manag J (2017) 1:237–252 DOI 10.1007/s41463-017-0019-5 * Jeffrey D. Sachs sachs@ei.columbia.edu 1 Center for Sustainable Development, Columbia University, New York, USA http://crossmark.crossref.org/dialog/?doi=10.1007/s41463-017-0019-5&domain=pdf discoveries of da Vinci, Columbus, and da Gama. Man’s intellectual horizons were fundamentally altered, and expanded by the discovery of the vastness of the world, and the changes wrought by early globalization. And the new printing press meant that the new speculations could reach thousands of readers across Europe and thereby promote further breakthroughs in understanding. Indeed, I might hazard the judgement that the 1510’s was the single greatest decade of intellectual speculation in all of modern history. In 1513, Copernicus produced the first draft of the Heliocentric Universe. In 1514, Machiavelli wrote The Prince. In 1516, More published Utopia. And in 1517, Luther published his 95 Theses, launching the Reformation. That’s not at all bad for 4 years of book publication! And one could add in the outpourings of Bramante, Michelangelo, Rafael, Titian, and other masters producing their eternal masterpieces in these years. Adam Smith, writing in the Wealth of Nations in 1776, had this to say about the years just before 1500. BThe discovery of America, and that of a passage to the East Indies by the Cape of Good Hope, are the two greatest and most important events recorded in the history of mankind.^ That is a very strong statement, and also quite a remarkable statement. Most importantly, it stands the test of time. Smith continues his reasoning about the two momentous discoveries as follows: Their consequences have already been very great; but, in the short period of between two and three centuries which have elapsed since these discoveries were made, it is impos- sible that the whole extent of their consequences can have been seen. What benefits, or what misfortunes to mankind may hereafter result from those great events, no human wisdom can foresee. By uniting, in some measure, the most distant parts of the world, by enabling them to relieve one another’s wants, to increase one another’s enjoyments, and to encourage one another’s industry, their general tendency would seem to be beneficial. Yet Smith goes on as follows: To the natives, however, both of the East and West Indies, all the commercial benefits which can have resulted from those events have been sunk and lost in the dreadful misfortunes which they have occasioned. These misfortunes, however, seem to have arisen rather from accident than from anything in the nature of those events themselves. At the particular time when these discoveries were made, the superiority of force happened to be so great on the side of the Europeans that they were enabled to commit with impunity every sort of injustice in those remote countries. Hereafter, perhaps, the natives of those countries may grow stronger, or those of Europe may grow weaker, and the inhabitants of all the different quarters of the world may arrive at that equality of courage and force which, by inspiring mutual fear, can alone overawe the injustice of independent nations into some sort of respect for the rights of one another. But nothing seems more likely to establish this equality of force than that mutual communication of knowledge and of all sorts of improvements which an extensive commerce from all countries to all countries naturally, or rather necessarily, carries along with it.^ (Smith, Wealth of Nations, Book IV) If I had to choose one scrap of wisdom about human history, I would choose this one from The Wealth of Nations. Everything about Smith’s statement is wonderful. First, Smith recog- nized the fundamentally transformative nature of the globalization that began with the voyages of 1492 and 1498. Second, Smith recognized that globalization would have potentially hugely beneficial implications, by enabling each part of the world Bto relieve one another’s wants.^ This is of course is Smith’s basic theory of the gains from trade. Yet third, Smith recognized that the gains were in fact not shared equally, and that in fact while Europe gained massively, 238 Humanist Manag J (2017) 1:237–252 the native inhabitants of the East and West Indies actually suffered horrendously from the impunity and abuses of the more powerful Europeans. (Smith was unaware that the native inhabitants also suffered from the pathogens brought by the Europeans, as it was only one century after Smith that Pasteur and Koch developed the germ theory of disease.) It is a mark of Smith’s greatness, as well as the greatness of the Scottish Enlightenment overall, that Smith bemoaned the inequality of the exchange. Smith was Scottish, but his outlook was global. That’s why Smith looked forward to the day when the native inhabitants would acquire sufficient power to rebalance the books, and achieve an Bequality of courage and force^ with the Europeans. How would this happen, according to Smith? Through trade itself, which would lead to Bthe mutual communication of knowledge and of all sorts of improvements^ that trade brings about. My theme today is that we are living in the BSmith moment^ in our own generation. We are living at the moment, after several waves of globalization that I will soon discuss, in which an equality of courage and force across the world is finally taking hold. This is seen most vividly in the recent economic rise of the great powers of Asia, including China and India. These Asian giants are no longer under the domineering sway of European or American power. We must ask ourselves about the kind of world that will emerge in a world of more disbursed power. Smith, interestingly, asserts a balance-of-power view, one that modern International Relations (IR) specialists would label Brealism.^ Smith believed that an equality of force would inspire Bmutual fear,^ which Bcan alone overawe the injustice of independent nations.^ Smith’s is the logic of realism, of achieving global peace through the balance of power among independent nations. We should also look to another great thinker who wrote on the same subject just 17 years after Smith. Immanuel Kant had different hopes for geopolitics, which he called Bperpetual peace.^ Kant believed that when the nations of the world assumed a Brepublican^ form of government, meaning in Kant’s sense a state bound by the rule of law, then the nations would forswear violence in the interests of commerce. Kant’s theory of perpetual peace would be called a form of Idealism or Institutionalism by today’s IR specialists. Before returning to the questions of how to achieve global peace in our generation, I will take us on a very brief tour through the phases of globalization that have brought us to today’s new equality of courage and force. Commercial Capitalism, 1500–1800 Columbus and da Gama set off a three-century process that was marked by Europe’s growing dominance of global sea-based commerce. Europeans colonized the Americas (and later Australia) at horrific costs to the native inhabitants. They incorporated these new lands and parts of coastal Asia and North Africa into a global production system based on slave production in the colonies and global-scale sea-borne trade. As their economic and military power rose, the European states became not only colonizers but imperial powers across the Americas, North Africa and Asia. Interestingly, they did not succeed in colonizing sub- Saharan Africa until the second half of the 19th century, largely because malaria was a barrier to European colonization and imperial rule until the Europeans discovered and mass produced the anti-malarial quinine (extracted from the bark of the South American cinchona tree). By 1800, there was a capitalist global economy run by the Europeans, illustrated by the map of empires in Fig. 1. This was a world already defined by intense global commerce in which several new global industries had developed: cotton for textiles; sugar and tobacco grown by slaves in the Humanist Manag J (2017) 1:237–252 239 Americas; coffee grown in Asia and Africa. And of course there was the insatiable quest for gold and silver from the mines of the Americas and later southeast Asia. The major commodity trade flows are shown in Fig. 2. I would highlight a few of the key characteristics of this first phase of global capitalism, dating roughly from 1500 to 1800. First, it produced a truly global economy. Second, it was incredibly dynamic—the very hallmark of capitalism. It is remarkably dynamic. It was driven by the lust for profits, visions of glory, and yearnings for great wealth. It produced outcomes that are unimaginable in scale and scope. We should reflect that before the phone, the radio, the telegraph, indeed any form of rapid communications, multinational companies and European imperial governments were straddling the world in remarkable feats of scale, scope, and sheer logistics. Third, of course, this world of commercial capitalism was indescribably brutal. The Europeans were not just colonizers; they were mass murderers and mass enslavers. We have Fig. 1 World empires as of 1800 Fig. 2 Trade flows by empire and commodities (Cotton, sugar, coffee, gold and slave economy) 240 Humanist Manag J (2017) 1:237–252 smoothed over this brutality in our books and teachings, but it is plain to see. Murder, genocide, ethnic cleansing, and slavery, were all foundational parts of early capitalism, and typically carried out in the name of bringing Bcivilization^ to the natives. There is a fourth point as well. Commercial capitalism was mercantilist, meaning that it emerged as an alliance of companies (like the East India Company) and government. There was little that was Bfree market^ about commercial capitalism during 1500–1800. The European navies protected their merchant fleets. Business and government colluded at every turn. That pattern is still with us today, despite the introductory economics textbooks written to the contrary. Industrial Capitalism, 1800–1950 The second wave of globalization began around the very same moment that Adam Smith published the Wealth of Nations. The year 1776 was not only the year of Smith’s magnum opus, and of the American Declaration of Independence, but also of another world-changing event, the patenting of James Watt’s steam engine. Figure 3. We know the consequences of the steam engine, but are still waiting to see how America’s Declaration of Independence ultimately plays out. Watt’s engine was perhaps the single most important technological breakthrough since agricul- ture, or at least a rival of the horse-drawn plow, the sailboat and windmill, and the printing press. The steam engine allowed humanity to break free of what economic historians now call the Borganic economy.^ The organic economy means an economy in which the primary energy sources are limited to human brawn, animal traction, wind power for sails, and some water wheels and windmills to power industry in a few choice locations. Economic historians like E. H. Wrigley have cogently explained that an organic economy can hardly rise above subsistence. The steam engine allowed the breakthrough beyond subsistence, by harnessing the vast energy stored in fossil fuels. Figure 4 offers a graphical depiction of what this breakthrough meant for the world economy. It shows the estimate of world output produced by the late economic historian Angus Maddison. We see the momentous change around 1800. We enter what the inventor of modern development economics, Simon Kuznets, called BModern Economic Growth.^ Before the steam engine, there was stasis; afterwards, economic growth. Population followed the same trend. The Industrial Revolution made possible an agricul- tural revolution as well. In the 19th century, for example, guano from the west coast of South America could be brought by steamship to Europe to serve as a large-scale chemical fertilizer. Food production soared. And with rising food production and farm production, the world Fig. 3 James Watt’s engine Humanist Manag J (2017) 1:237–252 241 population also soared, as seen in Fig. 5. The world population had fluctuated between 200 million to 500 million until around 1700; the ups and downs were due to epidemic diseases and localized climate changes. Then, food production exploded as a result of industrialization and the science that came along with it. The Industrial Age transformed the world and created a world industrial economy. The industrial economy was characterized by what is now called Bendogenous growth,^ meaning that one revolution of technology led to the next through a kind of chain reaction. So, what started with the steam engine becomes the railway era; then Faraday’s discoveries of electro- magnetism lead to the electric dynamo and the start of electrification in the second half of the 19th century. The inventions of Daimler and Benz give the world the internal combustion engine and the automobile age. On and on it has gone, until today we are the beneficiaries of the information revolution, in which every day a new breakthrough—in my view is as consequential as any of the breakthroughs of the past—pours forth. Our capacity to manage, manipulate, store, and transmit data will completely transform the world economy once again. We see this happening before our eyes. Just yesterday, DeepMind of Google announced a new breakthrough in artificial intelligence with a neural network now separated from the computer memory, which allows for a massive expansion in artificial intelligence, computational power, and machine learning. Discoveries like these are coming every day. Of course, what endogenous growth meant beginning around 1800 was persistent economic growth. But another notable fact from 1800 until today has been differential economic growth across the world map. At the beginning of the new economic era, one country and one country 0 1000 2000 3000 4000 5000 6000 7000 8000 10 0 20 0 30 0 40 0 50 0 60 0 70 0 80 0 90 0 10 00 11 00 12 00 13 00 14 00 15 00 16 00 17 00 18 00 19 00 20 00 World Output Per Person (1990 Interna�onal Dollars) Fig. 4 World output per person Fig. 5 12,000 years of population growth 242 Humanist Manag J (2017) 1:237–252 alone had an Industrial Revolution—and that was Britain. Then, the Industrial Revolution started to spread. It spread next to next-door, to France, and then in the 1840s, to Germany and to the United States, and from then to more and more parts of the world. But, one part of the world, Western Europe and the United States (also known as the North Atlantic) achieved early economic growth that was sustained for two centuries. What had been established as the Western World between 1500 and 1800, became a dominant Western World in the 19th and 20th centuries. The economic dominance of the Western World (more accurately, the North Atlantic regions of Europe and North America, plus Australia, New Zealand, and Japan) peaked around 1950, at which time the Western predominance very slowly began to subside as Asia countries began to achieve rapid economic growth. Some parts of the world experienced almost no modern economic growth for a century and a half after the start of industrialization. Africa is the main region that remained in this category until recently (the red curve on the bottom in Fig. 6). Explaining the differential growth paths of GDP per capita shown in Fig. 6 (based on Maddison’s data) is, in essence, the job of economic development theory and history—to understand why different regions of the world experience vastly differential growth. One interesting relationship that I have been pursuing with my colleague Gordon McCord is geography’s effect on the diffusion of growth. Figure 7 relates two variables. On the horizontal access is the distance from London of the capital cities of Europe. On the vertical access is the calendar year in which each European country first surpassed the threshold of $2000 per capita income (measured in 1990 prices by Maddison). We see an upward-sloping scatter plot. The farther is the country from the U.K. (measured as the distance to London), the later did the country pass the threshold of $2000 per capita. In other words, industrialization started in England. Then it spread nearby to Belgium, Netherlands, and France. And then later still to Switzerland, Germany, Scandinavia, etc. Economic growth moved like a spreading wave over Europe, from West to East, North to South. If we look at global diffusion of modern economic growth, we find the picture in Fig. 8. Economic growth came first to Western Europe, the US and Australia. Then it spread to Fig. 6 Differential growth by region Humanist Manag J (2017) 1:237–252 243 Central and Eastern Europe, and the Southern Cone of Latin America. It spread next to Russia and other parts of the former Soviet Union. After World War II, many parts of Asia finally reached $2000 per capita. Africa is the laggard region. Until today, much of tropical sub- Saharan Africa remains under the $2000 per capita standard (measured, as per Maddison, in 1990 dollars). Fig. 7 Distance from London and the year of reaching $2000 in GDP per capita Fig. 8 Year (or projected year) passing $2000 income 244 Humanist Manag J (2017) 1:237–252 Europe’s disproportionate industrial might also led to Europe’s disproportionate military might on the geopolitical scale. As the world’s only industrial powers, Western European powers in the 19th century began to conquer overseas societies in Asia and Africa, and to build empires in these regions. By 1900, much of the world, including almost all of Africa and much of Asia, was ruled by European empires. The world’s empires as of the year 1914 are shown in Fig. 9. One of the predominant behavioral principles of European imperialism was: BDo not educate the natives. That could be dangerous for your political control.^ Yet without even a modicum of education in the imperial possessions, there could be no long-term economic development. The lack of education during the colonial era is one of the key reasons why Africa was held back for more than a century. When Mozambique finally gained independence from Portugal in 1975, the country had just a handful of African high-school graduates. Britain’s Imperial rule left a lot of violence and deranged societies, but it also left a little bit of infrastructure and some institutions of lasting value, such as the courts. I wouldn’t exaggerate this impact though, because I think a country needs colonial rule to have improved institutions. Reform can occur without imperial rule from the outside (as happened in Japan, for example). For example, a poor, institutionally laggard country could say: BThank you. Why don’t you perhaps send us an academic to give us a lecture, rather than sending your troops to conquer us?^, and I think that the institutional reform could emerge just fine. After World War II, Britain’s imperial powers passed to the United States. The U.S. did not rule directly as empire, but rather indirectly by imposing friendly governments where it could. CIA-led regime change, for example, became a fixture of U.S. foreign policy, with U.S. leaders believing that they had the Bright^ and practical power to topple regimes they did not like. This habit of U.S.-led regime change has typically ended very badly for both the U.S. and the target country, as in Vietnam or more recently in Afghanistan, Iraq, Libya, and Syria. Figure 10 is a map of America’s current military presence overseas. The United States has overseas bases in about seventy countries in the world, a classic case of imperial overstretch. The Era of Convergence, 1950—Present Let’s move on to brighter news, shown in Fig. 11, which depicts one aspect of the current information revolution. Moore’s Law describes the remarkable increase in computing power, Fig. 9 Map of world empires in 1914 Humanist Manag J (2017) 1:237–252 245 expressed roughly as the doubling of transistors per micro-processer every 1–2 years. Intel went from 2300 transistors on its first microprocessor in 1971 to 5 billion as of 2012. This remarkable progress in the capacity to store, process, and transmit data made the information revolution possible. It made possible a world with 7 billion mobile phone subscribers (Fig. 12). It will lead to near-universal broadband connectivity within the next decade everywhere, even including in poor rural villages of Africa possible. For the first 150 years of the Industrial Revolution the world had essentially two core centers of innovation: Western Europe, especially Germany and the United Kingdom; and the United States, especially the East Coast of the United States. After World War II, the information age gave birth to Silicon Valley, with Berkeley, Stanford, the semiconductor Fig. 10 US military presence overseas 0 500,000,000 1,000,000,000 1,500,000,000 2,000,000,000 2,500,000,000 3,000,000,000 3,500,000,000 4,000,000,000 4,500,000,000 5,000,000,000 19 71 19 72 19 74 19 76 19 78 19 79 19 82 19 85 19 89 19 93 19 97 19 98 19 99 20 00 20 01 20 02 20 03 20 04 20 08 20 10 20 11 20 12 Fig. 11 The information age: transistor count on Intel microprocessors 246 Humanist Manag J (2017) 1:237–252 revolution and the military complexes of California, giving rise to another zone of innovation. This made three major zones of innovation. Now there is a fourth major zone of innovation: Northeast Asia, including China, Japan, and Korea, shown in Fig. 13. Of course, if I had more than an hour, I’d be a little more nuanced on this point. Japan’s industrialization began in 1868 and it was the only industrializing country of Asia for a century. Korea and Taiwan began to industrialize in the 1960s. China, with its outward orientation, after 1978 began the most rapid catching-up process in economic Fig. 12 Mobile subscribers worldwide, 1990–2013 Fig. 13 Patent hotspots worldwide, OECD data, 2009 Humanist Manag J (2017) 1:237–252 247 history. Thus, Japan has been at the cutting-edge of technology for decades, while China has only recently arrived, but has arrived with enormous and exciting capacity for the future. Remarkably, Korea, Japan, and China taken together are producing more patents in total than Europe or the United States. Of course, the three East Asian powerhouses don’t view themselves yet as one integrated entity; in fact, there is currently a geopolitical divide, between the U.S. allies Japan and Korea on one side and China on the other side. Yet my guess is that this divide will prove to be a transitory phenomenon and that a fairly unified Northeast Asian economic community will be core a feature of the 21st century. It may indeed become the center of gravity of the world economy in 30 or 40 years. The catch-up of Northeast Asia is really something new because the North Atlantic has dominated the world economy for at least two centuries, and the West has been in the ascendancy for 500 years. I think that the North-Atlantic-led world economy is gradually being replaced by a multipolar world in which East Asia, and potentially Southern Asia, because major global centers of power, innovation, and dynamism. Now, one very important fact to note is that in the course of this convergent growth after 1950, global poverty has fallen sharply, even decisively one can say. China had an estimated 60% rate of extreme poverty in 1978 when Deng Xiaoping came to power. China’s poverty rate today, by the standard of Bextreme poverty^ as calculated by the World Bank, is probably down to about 5%. Never before has such a large nation escaped from poverty so fast. It took Europe two centuries. It took China basically thirty-five years. This is a result of rapid catch-up growth, made possible by the information revolution and the deepening of globalization. It is a huge plus for human well-being. The decline of extreme poverty in our time, from around 37% of all households in 1990 to around 10% as of 2015, has been a major contributor to improved human well-being (Fig. 14). The rapid decline of global poverty has indeed produced so much hope that the 193 member states of the UN adopted the Sustainable Development Goals (SDGs) in September 2015. SDG 1 calls on the world to end extreme poverty—end it completely—by 2030. The UN member states are not radicals. They are sober-headed. The fact that these governments could envision the end of extreme poverty by 2030 means that it is feasible, though it is by no means guaranteed. Fig. 14 Global poverty rate vs. number of poor 1990–2015 (Cruz et al. 2015) 248 Humanist Manag J (2017) 1:237–252 The age of convergence since 1950, and especially the rise of northeast Asia, has produced a fundamental new phase of geopolitics based on a fundamental new phase of geo-economics. As we see in Fig. 15, the shares of the world output produced by Europe and the U.S. are in gradual decline, while the share of world output produced by Northeast Asia is rising. Indeed, the composite area of China-Japan-Korea is now far larger economically than either the European Union or the United States. We should of course remember that in per capita terms, China remains far behind the leaders, roughly one fourth of the US GDP per capita. What then are the main lessons of this era of convergence? First, the rise of Northeast Asia is ending several centuries in which the North Atlantic countries have been ascendant (1500– 1800) and dominant (1800–2000). Second, the end of extreme poverty in northeast Asia presages the end of extreme poverty globally. East Asia provides an important example and role model for the countries of South Asia and sub-Saharan Africa on how to eliminate extreme poverty. Third, global-scale technological systems have played a central role, perhaps the central role, in global convergence. We live in a world of global-scale tehno-economic systems. In a few hours, when I fly home from Germany, I will get on a plane made by one of two producers, Airbus or Boeing. The pilots will fly the jet home using globally agreed and supervised protocols and technologies. As soon as I land, my mobile phone will immediately restore connectivity to the Internet, as it does all over the world. We do not speak about Blocal knowledge^ in civil aviation, air traffic control, IP protocols, or 4G telecoms. These are all global systems, built for global- scale high performance, and we should be grateful for that. The once-laggard coun- tries now leapfrogging economic development are achieving success by tapping into these global systems. I emphasize this point because it is sometimes overlooked or hidden from view. Many of today’s romantic thinkers, who are unhappy with the downsides of modern technologies, pine away for a simpler world. Yet there is no way that today’s crowded planet of 7.5 billion people could feed itself, stay safe from epidemic diseases, obtain fresh water daily, and escape from extreme poverty, other than by plugging into sophisticated global systems of energy, water, communications, transport, and information. Fig. 15 Shifting geo-economics: shares of World GDP Humanist Manag J (2017) 1:237–252 249 So, we need a sophisticated globalization and a technology-based globalization, but we also need a decency-based and environmentally sustainable globalization. That brings us to our generation’s grand challenge: sustainable development. The New Globalization (Present–2100) The world needs a new globalization that is not only dynamic in terms of economic growth, but also fair in terms of the sharing of prosperity, and sustainable in terms of environmental impacts. This triumvirate of economic, social, and environmental objectives has an official name adopted by the 193 UN member states: sustainable development. We are currently far off course to achieving sustainable development. Consider my own country, the United States. Since 1981, US public policy has been reckless, greedy, and corrupted, from the moment that the newly elected president Ronald Reagan declared, BThe solution to our problems is not government; government is the problem.^ This idea unleashed an era of greed and irresponsibility that has dramatically exacerbated income inequality and dramatically intensified the damage to the natural environment, especially through human- induced global warming. Our generation’s challenge is to mobilize our knowledge, expertise, goodwill, and moral vision into a transformation of the global economy so that it is not only productive, but also fair and sustainable. The so-called planetary boundaries (shown in Fig. 16) are the right starting point for incorporating the environment into our economic planning. We need to recognize that humanity must operate within safe ecological limits regarding climate change, water use, land use, pollution, and other threats to the planet. My suggestion for all of us is the following. We had a little miracle last year. On September 25, 2015, the 193 Member States of the United Nations adopted a shared framework of Sustainable Development, described by the 17 Sustainable Development Goals for the year 2030 (Fig. 17). A few weeks after that, on December 12, the UN member states unanimously adopted the Paris Climate Agreement. For the first time, we have a globally agreed framework for globalization. This framework can serve as the basis for actions to ensure that globalization is productive, fair, and sustain- able. It can serve as a basis for engagement of the business sector, the universities, the politicians, civil society, the religious leaders, and other key groups in our society. I believe there is a phenomenal value to having a globally agreed framework. In dozens of countries around the world there is already an active effort to put the SDGs into practice. I urge the wonderful Humanistic Management Network to embrace the Sustainable Devel- opment Goals as a framework for teaching, training, and business management, one that can help to infuse ethical practices into individual businesses and the global economy. What I am hoping is that we can turn the SDGs into real life, in politics, the platforms of political parties, the agendas of universities, and the behaviors and missions of businesses. I can tell you, based on my 16 years advising the Secretary General of the United Nations, that implementing globally agreed goals is not an easy thing. But, it is our challenge now, and it is urgent that we succeed. What are the right modes for success? The SDGs are the right starting point, because they give us a direction, a telos (end goal). Aristotle, yes, had it right 2500 years ago. He invented political science to solve the problem of achieving the end-goal of human happiness (eudaimonia) through the right kinds of politics. We need to cultivate the virtues and ethics that will promote sustainable development. 250 Humanist Manag J (2017) 1:237–252 We need to pay special attention to empowering the disempowered. The message of the Beatitudes, that Bthe poor shall come first^ is at the core of social justice. And, of course, we need expertise mobilized through active deliberation and fearless, unbiased analysis that universities are best at mobilizing. Source: Rockström et al 2009 Fig. 16 Planetary boundaries. Source: Rockström et al. 2009 Fig. 17 The 17 Sustainable Development Goals Humanist Manag J (2017) 1:237–252 251 All of this is to say we have a very, very large agenda to ensure that the next era of globalization truly serves the human good. Yet we have vast knowledge, both technical and ethical, many tools at our disposal, and all the reasons in the world to work together to succeed. References Cruz, M., J. Foster, B. Quillin, and P. Schellekens. 2015. Ending extreme poverty and sharing prosperity: progress and policies? The World Bank Group: Development Economics. Policy Research Note 2. Rockstrom, J., W. Steffen, K. Noone, A. Persson, F. S. Chapin, III, E. Lambin, T. M. Lenton, M. Scheffer, C. Folke, H. Schellnhuber, B. Nykvist, C. A. De Wit, T. Hughes, S. van der Leeuw, H. Rodhe, S. Sorlin, P. K. Snyder, R. Costanza, U. Svedin, M. Falkenmark, L. Karlberg, R. W. Corell, V. J. Fabry, J. Hansen, B. Walker, D. Liverman, K. Richardson, P. Crutzen, and J. Foley. 2009. Planetary boundaries: exploring the safe operating space for humanity. Ecology and Society 14(2):32. [online] URL: http://www.ecologyandsociety.org/vol14/iss2/art32/. 252 Humanist Manag J (2017) 1:237–252 http://www.ecologyandsociety.org/vol14/iss2/art32/ Globalization—In the Name of Which Freedom? Abstract Introduction Early Capitalism and Globalization Commercial Capitalism, 1500–1800 Industrial Capitalism, 1800–1950 The Era of Convergence, 1950—Present The New Globalization (Present–2100) References 
work_e7oar7hsnbauraj52ib5i2rckm	----	Microsoft Word - EOS.Borovoye.rtf The Borovoye Geophysical Observatory, Kazakhstan Paul G. Richards1, Won-Young Kim2, and Göran Ekström3 This is a story of surprises — of a geophysical observatory and a community of scientists that until about a year ago were unknown to scientists in the West, who now have new opportunities for collaboration with expert seismologists in Russia and Kazakhstan. The story began for us in the Spring of 1990, at the annual workshop of the Incorporated Research Institutions for Seismology (IRIS). Seismologists from the U.S.S.R. attended, and told us that permission had been given to describe a geophysical observatory at Borovoye, near Kokchetav in Northern Kazakhstan, which had operated digital seismometers since 1966. They said there was a large tape archive. Much of the data was of excellent quality and would probably be made available on request, even the data for nuclear explosions. From a western view of modern seismology, this was a surprise for several reasons. Until recently, seismic data from the former U.S.S.R. have been hard if not impossible to acquire (Given, 1991), and have been analog rather than digital (and thus not amenable to many modern methods of quantitative analysis). For decades, since underground nuclear weapons testing began in the late 1950s and it was recognized that such activity could best be monitored seismicly, the U.S.S.R. did not participate in most global seismology programs. In the nuclear age up to the late 1980s, it was a crime in the U.S.S.R. to allow seismograms of Soviet nuclear explosions to leave the country. However, perhaps the news of a vigorous data-based program in seismology should not have been a surprise. The Soviet Union had a long and strong tradition of seismometer development, and presumably a need to monitor underground nuclear explosions by the best available methods. We subsequently learned that Borovoye had been established as an Observatory in 1965, partly to monitor U.S. underground nuclear explosions at the Nevada Test Site, at a distance of about 10,000 km. The station had been operated from Moscow by the Academy of Sciences through the Institute for Geosphere Dynamics, headed by Prof. Vitaly Adushkin, an expert on the physics of all types of explosions. In late 1990 we made a request for digital data from Borovoye, and received a nine-track tape in March 1991 with 43 examples of three-component signals. Two of us visited Borovoye in the summer of 1991, and here we describe the main characteristics of digital seismic systems operated at the station and give some examples of the data from nuclear explosions and earthquakes in Kazakhstan. We also comment on possibilities for future work, both with the data archive, and with the experts on earthquakes and explosion monitoring whom we met in Russia and Kazakhstan. Station Characteristics The Borovoye seismic station BRV, with coordinates 53°03' 29" North, 70°16' 58" East (see Figure 1), is located on a pluton about 200 km across with an ill-defined but deep Moho and monolithic granites. Seismic recordings were first made in the area in 1951 by I.P. Pasechnik. While deploying portable seismic equipment in the 1950s and 1960s for analog recording of nuclear explosions at the U.S.S.R.'s test site in eastern Kazakhstan (about 700 km away), it was found fortuitously that U.S. nuclear testing in Nevada had 1 Paul G. Richards, Lamont-Doherty Earth Observatory, Palisades, NY 10964 and Earth Institute, Columbia University, New York, NY 1 0 0 2 7 . 2 Won-Young Kim, Lamont-Doherty Earth Observatory, Palisades, NY 1 0 9 6 4. 3 Göran Ekström, Department of Earth and Planetary Sciences, Harvard University, Cambridge, MA 0 2 1 3 8 . also been recorded, with signals two or three times greater at BRV than would be expected on the basis of globally averaged magnitudes for Nevada explosions. The status of "Observatory", with continuous analog recording, was accorded in 1965. The early deployment of seismic instruments was in a tunnel driven horizontally into granites rising to the south of a lake about four km across (Lake Borovoye), but now all seismometers are in a 15 m deep vault with three chambers. BOROVOYE, N. KAZAKHSTAN 20 E̊ 40̊ 60̊ 80̊ 100̊ 120 E̊ 80 N̊ 60̊ 40̊ BRVARU GAR KIV OBN AAK TLY BJI WMQ HIA LZH KEV Lop Nor Shagan River Novaya Zemlya 76 MAR 20 69 MAY 1 Earthquake Nuclear Test Site Seismic Station Fig. 1. Location map showing the Borovoye Geophysical Observatory (BRV), operated since 1965, epicenters of two Kazakhstan earthquakes, sites of nuclear testing, and digital seismic stations of the IRIS/USGS and Chinese networks installed in recent years. An IRIS global network station is now planned for BRV, plus installation of a small aperture array by U.S. seismologists. The first BRV digital seismic system, known as KOD, began recording in 1966 with continuous operation from 1967 to 1973. It is based on three component short-period seismometers, and is important as one of the few digital systems in the late 1960s – early 1970s. The second BRV digital system, known as STR, has operated from February, 1973 to the present. It consists of two separate parts: STR-SS (intended mainly for low-gain recording); and STR-TSG, which includes six long-period and seven short-period Kirnos seismometers, most recorded at two gain levels for a total of twenty data channels. The highest sensitivity is 100,000 counts/micron (based on a short-period Kirnos with a special magnet, and a low-noise amplifier). We were told that BRV has a detection capability with this instrument down to magnitude 4.2 for all parts of the world. At some distances (e.g. in the core shadow) the detection is based on a phase other than P. The third BRV digital system, known as ASST, installed in April 1990, uses broadband force- balance seismometers and is still under test. All of these main systems are approximately flat to ground displacement over a range of frequencies. With the different instruments and gain levels, about 50 digital channels are available, with a dynamic range around 135 dB for the station as a whole. Figure 2 shows several examples of instrument responses, for channels from which we now have data examples. KSM KSDSM DS KSVM 0.01 0.1 1 10 Frequency (Hz) 1 10 100 1000 10000 100000 A m p lit u d e ( co u n t/ m ic ro n ) Fig. 2. Instrument responses for the STR-TSG digital system at BRV. Each curve is marked to show the type of Kimos seismometer use. Station Operation BRV combines the work of research seismologists with the very different responsibility of rigorous reporting every day on all observed earthquakes and explosions. Soon after the station became openly known in about 1989, it became by far the most active node (in terms of data reporting) of the U.S.S.R. Unified Seismic Observing Network (headquarters in Obninsk, about 100 km southwest of Moscow). There are three types of routine reporting of seismic signals at BRV: urgent, daily, and weekly. Thus, a computer estimate of hypocentral coordinates (seismic source location) is available two minutes after a P- wave arrival with good signal-to-noise ratio, and urgent reporting to Obninsk is done within one hour for large events. A daily message is sent to Obninsk listing arrival times, amplitudes, and dominant periods of seismic signals. BRV detects about 1000 seismic events per month, of which about 100 are routinely processed (including a magnitude, and an estimate of source location) using only the data from BRV itself. This information is summarized in a weekly bulletin, published at Borovoye only a few days in arrears. Thus, on July 30, 1991, we were given a copy of the bulletin for July 18-24 describing several hundred detections, and location estimates and magnitudes for 17 events. Subsequently, we found that eleven of these events were included in the "Quick Determination of Epicenters" (QED) bulletin put out by the U.S. Geological Survey. The staff at BRV includes about 80 people (25 of them scientists and senior technicians based in Moscow). More and more of the routine analysis is being transferred to computers, using algorithms described by Kedrov and Ovtchinnikov (1990). Their paper describes the automatic signal processing at "an experimental station in Eastern Kazakhstan … near Kokchetav" — it is obviously Borovoye, though this is not stated. Adushkin and An (1990) is another recently-available source of information in English on Borovoye. A limiting factor in station operation since the 1960s has been the cost and quality of magnetic recording tape. There is therefore no continuous archive, but rather an archive built from about 100 files of signals per day. For most of the more than 25 years of station operation, the archive has been written on a wide (35 mm) tape. Up to 24 channels of digital data are written with many different sample rates and time stamps, using a special 17-track format. We understand the archive consists principally of about 7000 17-track wide tapes, each tape containing about 10 megabytes of data. Most of the signals are from earthquakes, but also in the archive are seismic data for virtually all nuclear explosions carried out since the mid-1960s by the Soviet Union, the United States, France, China, and the United Kingdom, on average about one nuclear explosion per week for thirty years. The standard way to work from the archive is to mount a wide tape on a unique Russian-made reader, and to select from the 24 available channels just three which are then written to standard 9-track tape in what is known as ADM format. We have read BRV data on three Kazakhstan earthquakes, plus explosion data for twelve events at Shagan River, two at Degelen Mountain, five at Novaya Zemlya, and six at the Lop Nor test site of the Peoples Republic of China. All the useful data we have so far received are in ADM format, and we have made it available in a modern format (AH) both through the DARPA-funded Center for Seismic Studies (in Arlington, Virginia), and the NSF-funded IRIS Data Management Center (at the University of Washington, Seattle). Note that in the last two years, the Center for Seismic Studies has also received several hundred seismograms from Soviet analog stations, for nuclear explosions at Soviet test sites. In addition to its main work with digital seismic data, Borovoye Geophysical Observatory has long been the site of measurements of the Earth's gravity and geomagnetic fields (absolute and relative), and there is an active research group probing the ionosphere with long wavelength electromagnetic signals. Examples of Borovoye Seismic Data Figure 3a shows seven seismograms at BRV for nuclear explosions at the Shagan River test site in Eastern Kazakhstan, a distance of about 700 km. The regional waves Pn, Lg, and Rg are clearly seen. Even though these explosions are less than 20 km apart there is noticeable variability in the waveforms, especially for phases marked as Pg and PmP. Note the appearance of the first trace in Figure 3a, which has a precursor that turns out to have been another nuclear explosion, conducted at the Degelen Mountain test site about ten seconds prior to the Shagan River shot. Figure 3b shows two BRV seismograms for nuclear explosions at Novaya Zemlya: the Lg signal is quite weak for this 2380 km path. Figure 3c shows BRV data (KOD system) for a Kazakhstan earthquake of 1969 May 1 that was cited by Landers (1972) as an event that appeared in some respects to have the seismological characteristics of an explosion (e.g. a high body-wave to surface-wave magnitude ratio). Other teleseismic studies, however, indicated a source depth greater than 20 km, and hence that this is indeed the record of an earthquake. There is a concurrent much larger earthquake in Tonga, making the Kazakhstan surface waves very hard to measure outside the U.S.S.R. Another interesting Kazakhstan earthquake occurred on 1976 March 20 near the Shagan River test site, and in Figure 3d is shown BRV data for this event and for the large nuclear explosion carried out on 1988 September 14 as part of the U.S./U.S.S.R. project known as the Joint Verification Experiment. Both signals are from short-period vertical instruments, and we show the earthquake signal with reversed polarity to facilitate the comparison in the Figure. It is clear that the earthquake P-wave arrival was a dilatation at BRV. Since this earthquake had the radiation pattern of a thrust fault, all teleseismic signals showed compression. Only with data such as that from BRV, could the event be discriminated as an earthquake on the basis of its pattern of seismic "first motions." a 60 120 180 240 300 time (sec) 2:38: 6.28 692.7 km AZ= 302.8 3: 6: 5.88 691.4 km 1:34: 5.78 695.8 km 0:58: 6.79 684.6 km 2:28: 6.40 691.6 km 4: 0:57.39 692.8 km 4:19: 6.79 699.8 km Pn Sn Lg Rg Pg PmP(?)Pn Seismograms from Shagan River test site (TSG-KSVM) mb(Lg)=6.010 mb(Lg)=6.042 mb(Lg)=6.063 mb(Lg)=6.046 mb(P)=4.80 mb(Lg)=5.969 mb(Lg)=5.801 78 AUG 29 88 FEB 13 88 APR 3 88 MAY 4 88 JUN 14 88 SEP 14 88 DEC 17 double b 240 300 360 420 480 540 600 660 720 780 840 900 960 time (sec) 88 MAY 7 DS Z 22:54:0.11 2385 km AZ= 153 88 Dec 4 KSM T 05:24:0.01 2379 km AZ= 154 P S S Lg (?) R NOVAYA ZEMLYA EXPLOSIONS (TSG-SYSTEM) mb= 5.6 mb= 5.9 c d 0 2 4 6 8 10 time (sec) Z TSG-KSVM 692.8km AZ = 305 -Z SS-SKM 596.8km AZ = 307 JVE2 (88 SEP 14) & EARTHQUAKE (76 MAR 20) at BRV Fig. 3 (a) Seven examples of short-period vertical digital recordings at BRV, of nuclear explosions at the Shagan River test site (TSG-KSVM). Regional phases are indicated, as are Lg-wave magnitudes determined by NORSAR. (b) Examples of BRV data for two nuclear explosions at Novaya Zemlya (TSG-System). Upper: long-period vertical. Lower: short-period horizontal, rotated to show the transverse component. (c) Three-component BRV data (KOD system) for the Kazakhstan earthquake of May 1, 1969, at 4:00:08.7, m = 4.9, 43.98°N, 77.86°E, h = 25km. Though slightly clipped, this data is of remarkable quality. (d) A comparison of the first arrivals at BRV of an explosion signal from a Shagan River explosion (JVE2, September 14, 1988), and an earthquake signal on March 20, 1976 (polarity reversed). Possibilities for Future Joint Research Problems of data availability and quality have almost always been the factors limiting progress in seismology. Thus the "discovery" (in the sense of Christopher Columbus) of a major new database is an important event for western seismologists. Also important, is the opportunity to work with expert seismologists from Russia and Kazakhstan who are knowledgeable in monitoring of nuclear explosions carried out in various types of hard rock quite unlike the Nevada Test Site environment. In future joint projects based on BRV data, we and other seismologists from the West hope to study: • regional structure and tectonics associated with earthquakes in Kazakhstan (a vast country with areas of high seismic hazard to the south and east); • tectonic release associated with large nuclear explosions at Shagan River (in particular a reconciliation of BRV data with teleseismic surface waves, for those explosions having an additional "earthquake-like" moment tensor); • nuclear explosions conducted in salt domes in the Azgir region of Western Kazakhstan (important in evaluating the decoupling scenario, in which seismic monitoring capability is reduced for nuclear explosions set off within a cavity); • the seismic signals from large chemical explosions in Kazakhstan and nearby states (to develop methods of identifying such sources, thus discriminating them from small nuclear explosions); and • the improvement in monitoring seismic activity worldwide, by addition of BRV data and data from the new digital seismic stations installed since 1988 by IRIS and the USGS within Eurasia. Borovoye data may be of particular interest in monitoring South Asia. Comments and Conclusions We have sketched an interesting future for uses of data from Borovoye Geophysical Observatory, but there are large problems. First, there is the state of the archive, consisting of thousands of wide tapes in deteriorating condition. They are written in a 17-track format that is a barrier to modern systems. Only if the archive is copied to a more stable recording medium, and is then re-formatted incorporating reliable information on instrument responses, can its potential be realized. Second, there are problems of re- organizing the Observatory to operate in a wholly changed political environment. Under the Soviet system, Borovoye was a major project of the All-Union Academy of Sciences, doing work of interest (for example) to the Soviet Ministry of Atomic Energy and Power. But in 1992 there is no central system of Soviet support, and instead a relationship between Kazakhstan and Russia that is not always hospitable to a field station formerly operated from Moscow. Yet there are important roles for Borovoye still to play. The archive is an irreplaceable database on the seismicity of Central Asia, and any serious attempt to work on seismic hazard of Kazakhstan and neighboring states must recognize the importance of preserving both the archive and the community that can use it at Borovoye. At the international level, the United States has a common interest with Russia and Kazakhstan in preserving and strengthening the Non-Proliferation Treaty. The technical challenge in monitoring treaty compliance into the future includes the need to monitor for nuclear explosions in all possible types of geological environment. The country with the greatest experience in executing nuclear explosions under different shot-point conditions is the former U.S.S.R., with its several nuclear weapons test sites and a program of "peaceful nuclear explosions" carried out for various purposes at about one hundred different locations across a wide range of geological conditions [Scheimer and Borg, 1984; Sykes and Ruggi, 1989]. Here too, Borovoye represents an important database and expertise that could assist in international plans for continuing the non-proliferation regime. Acknowledgements We thank Prof. Adushkin and his colleagues for much assistance in giving us data from Borovoye, and for hospitality during our visit. Our work was funded by the Phillips Laboratory, U.S. Air Force, and by DARPA/NMRO. Lamont-Doherty Geological Observatory Contribution # 4905. References Adushkin, V.V., and V.A. An, Seismic observations and monitoring of underground nuclear explosions at Borovoye Geophysical Observatory, Izv. Acad. Sci. USSR, Phys. Solid Earth, 1023-31, #12, 1990. Given, Holly, U.S./U.S.S.R. seismological network developing, EOS, Trans. AGU, 112, March 5, 1991. Kedrov, O.K., and V.M. Ovtchinnikov, An on-line analysis system for three-component seismic data: method and preliminary results, Bull. Seism. Soc. Amer., 80B, 2053-71, 1990. Landers, T., Some interesting central Asian events on the Ms: mb diagram, Geoph. J.R.A.S., 31, 329-339,1972. Scheimer, J.F., and I.Y. Borg, Deep seismic sounding with nuclear explosives in the Soviet Union, SCIENCE, 226, 787-792, 1984. Sykes, L.R., and S. Ruggi, Soviet nuclear testing, in Nuclear Weapons Databook, vol. 4, Soviet Nuclear Weapons, ed. T.B. Cochran, W.A. Arkin, R.S. Norris, J. Sands, pp 332-82, Ballinger: Cambridge, Mass.,1989. 
work_eajy6pqqarbqpkkurg3e4n4bz4	----	Silvermintz_final Copyright © 2011 by Daniel Silvermintz and Cultural Logic, ISSN 1097-3087 Enlightenment in the Shopping Mall Daniel Silvermintz “Gold is a wonderful thing. Its owner is master of everything he desires. Gold can even enable souls to enter paradise.” – Christopher Columbus in a letter from Jamaica Imagine a world where people were held captive in a shopping mall for the entirety of their lives. Shackled to a patio chair in the food court, they would enjoy a nonstop diet of cheesy pizza slices and sticky cinnabuns. As they indulge their insatiable appetite, their hungry eyes would remain transfixed on the latest fashions displayed in the shop windows. Never being able to see their actual appearance, they would believe that they are seeing a reflection of themselves when they look upon the faceless manikins. In spite of their enslavement, the captives love their life in the mall, knowing that they are clothed in the latest fashion trends. Imagine now that one of these enslaved consumers liberates herself from the restrictions of what to wear and what not to wear. For the first time in her life, she awakes from the dream world of glossy magazine ads and slick TV commercials. She hears her heart beat without the syncopation of the techno music that orchestrates life in the mall and smells the air without the overpowering fragrance emanating around the perfume counters. Thinking about her old mallrat friends, she feels a deep sense of pity – for how could they not love their Banana Republic fetters when this is the only life they have ever known? The liberated prisoner also loved her life in the mall. How could it possibly be that everything she learned from sitcoms and reality shows was a lie? If our emancipated prisoner were now to enter one of the stores she used to frequent and shielded her eyes and ears long enough to make it to the backroom, she would discover a world never before seen on TV. Beyond the storerooms of the naked manikins and clearance items headed to the outlet stores, the emancipated shopper finds her way to the manager’s office. With only the faint base beat of the music still detectable as a reminder of the world she has left behind, she enters a room piled high with stacks of books inscribed with nothing other than sets of numbers. At Daniel Silvermintz Copyright © 2011 by Daniel Silvermintz and Cultural Logic, ISSN 1097-3087 2 first, she is bewildered as she tries to work through all of the calculations; however, the more she analyzes the accounting ledgers, the more she understands their logic. Her confusion about her previous life is dispelled as the ephemeral world of constantly changing fashion trends translate into a rational order of mathematical certainty. All of a sudden, she is gripped with the supreme truth that all reality is unified in the economic system. While goods in the shop windows assume a manifold of appearances, they magically all dissolve into their primary substance with the swipe of the prisoner’s credit card. Renounce all other gods; money alone is the supreme arbiter of one’s substance and value! How can this emancipated shopper return to her fellow mallrats when they continue to believe that money is only something they need to purchase their dreams rather than the Almighty Good? What foolish and deceived consumers they are who max out their credit cards as their appetites lead them! Their desires for goods will never be satiated: for the more they desire, the greater will be their credit debt. Shall she try to enlighten the other captives by showing them the true substance behind the world of appearances? Certainly not when she knows that she would be risking life and limb trying to cure the mallrats of their impulsive need to buy more and more. Our enlightened prisoner, conscious of the real power of the purse strings, must reacquaint herself with her fashion-conscious friends in the mall; she does not, however, return to enlighten and liberate her former friends but to give them a makeover. How excited they will be to see their old friend when she greets them on the other side of the store window and promises them that their fantasies can come true with a mere swipe of their credit card. Our newly formed entrepreneur is not only welcomed back with open pocketbooks – she is treated by the mallrats as their savior. While ministers implore us to place our faith in a God that we can neither see nor touch, the merchants in the mall can rationally demonstrate how the hand of the market makes the world go round. It is said that “You cannot serve two masters.” If the prisoner who has escaped the bonds of Madison Avenue and the Galleria is now to place her faith in anything, then she will testify to the captive and liberated alike: “In Mammon I trust.” 
work_ecjmwavfqbf4nabfee72v6jcja	----	Clinicopathological Studies on the Effect of Carica Papaya on Experimentally Induced Short Term Hyperglycemia in Rats 45 Zagazig Veterinary Journal, ©Faculty of Veterinary Medicine, Zagazig University, 44511, Egypt. Volume 47, Number 1, p. 45-56, March 2019 DOI: 10.21608/zvjz.2019.6088.1011 Clinicopathological Studies on the Effect of Carica Papaya on Experimentally Induced Short Term Hyperglycemia in Rats Mohamed A. Hashem, Shimaa A.A. Ismail and Basma M.A. Al Lithey* Clinical Pathology Department, Faculty of Veterinary Medicine, Zagazig University, Zagazig, Egypt, 44511 Article History: Received: 8/11/2018 Received in revised form: 7/12/2018 Accepted: 16/1/2019 Abstract The study was designed to evaluate the Carica papaya (C. papaya) effect on diabetes mellitus (DM) and its complications. Ninety, clinically healthy white male rats of two months old (100 g average body weight) were divided into equal six groups of 15 rats each. Induction of DM was done by administration of rats by 65 mg/kg body weight (BW) of streptozotocin (STZ). However, C. papaya leaves aqueous extract (0.11 g/mL and 0.22 g/2mL) were administered to rats for 30 days. Our results revealed that after 15 and 30 days post-STZ injection, aqueous leaves extract of C. papaya improved the health status of treated diabetic rats, as serum glucose (276 mg/dL to 186.33 mg/dL), fractosamine (297.44 µmol/L to 272.44 µmol/L), total cholesterol (TC) (139.00 mg/dL to 121.46 mg/dL), triglycerides (TG) (197.69 mg/dL to 179.34 mg/dL), low density lipoprotein-cholesterol (LDL-c) (47.36 mg/dL to 20.90 mg/dL), and L-malondialdehyde (MDA) activity (2.01 nmol/g tissue to 1.81 nmol/g tissue) were decreased, while insulin (1.80 µIU/mL to 2.33 µIU/mL) and high density lipoprotein-cholesterol (HDL-c) levels (52.10 mg/dL to 64.69 mg/dL) and catalase (CAT) activity (66.31 U/g tissue to 71.38 U/g tissue) were increased when compared with untreated diabetic rats. STZ in the recommended dose induced DM and there were changes in previous parameters through reactive oxygen species ROS generation and oxidative stress in β cell of islet Langerhans in pancreas. It could be concluded that C. papaya leaves aqueous extract in doses of 0.11 g/mL and 0.22 g/2mL has antidiabetic, antihyperlipidaemic and antioxidant effect with protective effect on pancreas and other organs. Key words: Clinical pathology, Diabetes Mellitus, Carica papaya. Introduction Diabetes mellitus (DM) is the most common disorder extend around the world. It is a more complex pathophysiology that is defined as the biochemical abnormalities associated with deviation in glucose metabolism [1]. The biochemical abnormalities caused by diabetes could be observed as hyperglycemia and protein catabolism as energy sources for the body and subsequent dyslipidemia [2]. Chronic hyperglycemia in diabetic cases is accompanied by dysfunction of various body organs especially eyes, kidneys and heart beside, the damage to nerves and blood vessels [3]. Medicinal plants are the spirit of modern drugs, which used all over the world in the daily life to treat various diseases [4]. There are many plants used in the treatment of diabetes, out of them, Carica papaya (C. papaya) which is named as FRUIT OF ANGELS as documented by Christopher Columbus. Various studies revealed that C. papaya leaf extract has a role in the treatment of DM due to enhancement of insulin sensitivity as in case of type II diabetes that is characterized by decreasing insulin sensitivity, resulting in insufficient glucose uptake by the cells. Several researches on animals and humans have stated that C. papaya leaf extracts could lower the glucose level, and reduce the diabetes complications. Various antioxidants in C. papaya leaf extracts are helpful in limiting of other complications of DM such as oxidative stress, kidney damage and fatty liver [5,6]. Herein, the aim of the present study was to evaluate the effects of aqueous extract of C. papaya leaves on experimentally induced DM in rats via *Corresponding author e-mail: (freefly_aya@yahoo.com), Clinical Pathology Department, Faculty of Veterinary Medicine, Zagazig University, 44511, Egypt. Zag Vet J, Volume 47, Number 1, p. 45-56, March 2019 Hashem et al. (2019) 46 hematological, biochemical, histopathological and antioxidant parameter. Materials and Methods Plant Carica papaya leaves were collected from a native farm in Damietta city, Damietta Governorate, Egypt. Plant leaves were green in color and branched. Carica papaya leaves processing C. papaya leaves were washed in 1% iodine aqueous solution then distilled water. Then they were dried, cut into pieces then ground using mortar and pestle. Fifty grams of resulting leaves powder were soaked into 450 mL of distilled water in conical flask with stirring carefully for 8 min, then corked and left for 14 h. The solution was filtered using a Whatman No.1 filter paper and the extract was stored in refrigerator at 4°C. Each extract containing 0.11 g/mL of C. papaya leaves [7]. Distilled water and 1% iodine were purchased from El-Gomhoria Company in Zagazig city, El-Sharkia Governorate, Egypt. Diabetogenic agent Streptozotocin (STZ) (2-deoxy-2-[3- methyl-3-nitrosourea] 1-D-glucopyranose), was obtained from El-Gomhoria Company in Zagazig city, El-Sharkia Governorate, Egypt. Experimental design Ninety, clinically healthy white male rats were purchased from Laboratory Animal Housing, Faculty of Veterinary Medicine, Zagazig University. The animals were kept in metal cages and divided into 6 main groups. All animals were kept under hygienic conditions, given balanced ration with water ad-libitum and observed for 10 days before experimentation. Group I (n=15): comprising rats without treatment as a negative control. Group II (n=15): including rats with DM which induced in overnight fasted rats by a single intra peritoneal (IP) injection of STZ by a dose of 65 mg/kg BW freshly dissolved in 0.1M citrate buffer (pH 4.5) [8]. Group III (n=15): rats were received orally a daily dose of C. papaya leaves aqueous extract (0.11 g/mL) by stomach cannula for 30 days [7]. Group IV (n=15): rats were administrated orally a daily dose of C. papaya leaves aqueous extract as in group III for 40 days. After 10 days post C. papaya treatment, the rats were injected by STZ as in group II, followed by completion of C. papaya administration. Group V (n=15): rats with induced DM as previously described in group II were administered C. papaya leaves aqueous extract (0.11 g/mL) daily by stomach cannula for 30 days. Group VI (n=15): rats with induced DM as mentioned previously were administered C. papaya leaves aqueous extract (0.22 g/2mL) daily by stomach cannula for 30 days. The experimental animals were managed according to the management standards. The experimental study was approved by the Committee of Animal Welfare and Research Ethics, Faculty of Veterinary Medicine, Zagazig University, Egypt. Sampling Blood samples: The blood samples were obtained from the retro-orbital venous plexus of rats at 15 and 30 days post treatment without anticoagulant in sterile test tubes and left till clotting. Serum was separated by centrifugation at 3000 rpm for 15 min. The clear supernatant serum was aspirated gently by Pasteur pipettes. The serum was transferred to dry and labelled eppendorfs for biochemical analysis [9]. Tissue samples: Pancreas samples were collected at each necropsy after 15 and 30 days post treatment. After sacrifice, samples were immediately fixed in 10% neutral buffered formalin for 48 h for histopathological investigation. Five-microns thick paraffin sections were prepared, stained by hematoxylin and eosin (H&E) and then examined microscopically [10]. Also, parts of livers were collected and kept at -20°C till using for antioxidant enzymes determination. Tissue homogenate: The homogenized liver tissue samples (100 mg of tissue) were added to 1mL of homogenization buffer (0.1 M phosphate buffer, pH 7.4 containing 1mM EDTA and 0.005% butylated hydroxytoluene (BHT) (Sigma-Aldrich), then the samples were centrifuged at 8000 rpm for 10 minutes and the supernatants were collected in a clean tube for antioxidant evaluation [11]. Biochemical and antioxidant studies Zag Vet J, Volume 47, Number 1, p. 45-56, March 2019 Hashem et al. (2019) 47 Levels of glucose [12], insulin [13], fructosamine [14], total cholesterol (TC) [12], triglycerides (TG) [15] and high density lipoprotein (HDL-c) [12] were estimated in the serum. Serum low density lipoprotein cholesterol LDL-c was obtained mathematically [16]. Furthermore, catalase (CAT) activity [17] and malondialdehyde (MDA) level were detected in tissue [18]. Statistical analysis The obtained data was statistically analyzed using one way ANOVA according to Tamhans and Dunlop [19] using MSTAT-C computer program. The differences among the groups were calculated by Duncan's multiple range test. Values were considered statistically significant when p < 0.05. Results and Discussion All studies now are looking for natural substances used in the effective treatment of diabetes and its complication. There are several natural compounds that can reduce the activity of some enzymes shared in glucose metabolism, and other enzymes decrease the insulin action [20]. Other researches have stated that some compounds found in plants can modulate β-cell apoptosis and stimulate the action of insulin [21]. Table 1: Diabetic markers of rats in different groups at 15 and 30 days post treatment (n = 5, mean ± SE). Time of sampling 15 days 30 days Parameters Groups Glucose (mg/dL) Insulin (µIU/mL) Fructosamine (µmol/L) Glucose (mg/dL) Insulin (µIU/mL) Fructosamine (µmol/L) Gp (I) 111.67±3.28 c 2.67±0.41 a 250.42±48.74 b 103.00±1.52 c 2.95±0.40 ab 240.00±15.59 b Gp (II) 510.00±40.4 a 0.95±0.02 c 390.87±4.88 a 650.00±0.01 a 0.86±0.02 d 445.33±41.88 a Gp (III) 104.00±2.08 c 2.83±0.21 a 244.00±12.39 b 100.00±0.57 c 3.26±0.15 a 241.55±11.65 b Gp (IV) . 201.67±38.5 b 1.94±0.22 b 296.38±5.19 b 181.00±24.63 b 2.36±0.29 bc 270.70±15.49 b Gp (V) (0.11g) 283.67±12.2 b 1.79±0.09 b 305.77±11.54 b 206.67±14.24 b 2.05±0.08 c 283.00±37.35 b Gp (VI) (0.22g) 276.00±25.5 b 1.80±0.15 b 297.44±14.66 b 186.33±16.69 b 2.33±0.26 bc 272.44±35.04 b - Means in the same column characterized by different letters were statistically significant at P< 0.05 and the highest values were marked with the letter (a). Gp (I): control, Gp (II): diabetic group, Gp (III): C. papaya group, Gp (IV): prophylactic group, Gp (V): treatment group (0.11g), Gp (VI): treatment group (0.22g) Concerning to diabetic markers evaluation in our study, administration of STZ to rats showed a significant increase in serum glucose and fructosamine levels while serum insulin showed hypo-insulinemia in diabetic rats of group II when compared with the control as shown in Table 1. These results may be attributed to that STZ destroys pancreatic β cells leading to DM. Streptozotocin induces DM by free radical generation which causes a massive reduction in insulin secretion from beta cells of islets of Langerhans, which result in decrease in endogenous release of insulin and the destruction of beta cells may occur via oxidative stress, that increased the level of reactive oxygen species (ROS) in beta cells resulting in oxidative damage to DNA leading to DNA strand breaks [22]. Fructosamine is considered a reflection to glycemic control. It is a stable compound produced by glucose reacts non-enzymatically with amino groups on proteins, so it increased in DM. Also, it can undergo oxidative cleavage resulting in Advanced Glycation End products formation (AGEs), which contributed in long term DM complication [23]. Also, another experiment induction of diabetes in male albino rats by IP injection of STZ (solution prepared in 100Mm citrate buffer (pH 4.5) at a dose of 60 mg/kg BW) showed a significant increase in fasting blood sugar (FBS) and fructosamine and significant reduction in insulin [24]. While our results were partial agree with Amat-alrazaq [25] who stated that feeding of rats on high fat feed diet (HFFD) followed by injection with freshly prepared STZ in citrate buffer (35 mg/kg, IP, single dose), resulted in persistent blood glucose levels between 200-350 mg/dL, hyperinsulinemia, and hyperlipidemia one week after STZ administration. The animals Zag Vet J, Volume 47, Number 1, p. 45-56, March 2019 Hashem et al. (2019) 48 were considered diabetic/ insulin-resistant, after 4 weeks. Diabetic rats showed an increase in fasting blood glucose (FBG) and fructosamine level, due to difference in dose and duration of treatment. Our results disagree with Henderson [26] who reported a non- significant change in fructosamine in diabetic patients who received 150 mg of anthocyanins for 3 months when compared with the control and this may be due to difference in duration of experiment and doses of flavonoid used. Histopathological results confirmed the findings in diabetic animals as pancreatic tissue in group II showed degenerative and necrotic changes with vacuolar degeneration of the cells of islets of Langerhans particularly β cells and marked atrophy in the pancreatic islets of Langerhans with complete necrosis and disappearance to large numbers of islets of Langerhans (Figure 1A). Figure 1: A: Pancreas of rats in diabetic group II, showing vacuolar degeneration of the cells of islets of Langerhans after 15 days post STZ injection, (H&E) X400. B: Pancreas of rats in C. papaya group (III), showing normal histological structures and architectures, (H&E) X100. C: Pancreas of rats in treatment group (V), showing atrophy to large percentage of the islets of Langerhans after 15 days post STZ injection, (H&E) X400. D: Pancreas of rats in prophylactic group (IV), showing vascular congestion after 30 days post STZ injection, (H&E) X100. In the current study, C. papaya has a role in improvement the picture of DM when administrated as a prophylactic (group IV) or as treatments (groups V and VI). A significant reduction in glucose and fructosamine levels, with a significant increase in insulin level were observed when compared with diabetic group II after 30 days post STZ injection as shown in Table 1. The hypoglycemic effect of C. papaya leaves extract may be caused by inhibition of fatty acid synthesis and decreased of cholesterogenesis [27]. The treatment of diabetic animals by the extract of C. papaya Zag Vet J, Volume 47, Number 1, p. 45-56, March 2019 Hashem et al. (2019) 49 leaves, lead to significant improvement in blood glucose level due to increase the numbers of functional β cell in islets of pancreas [5], and the reduction in rate of intestinal glucose utilization or an increase in peripheral glucose utilization [28,29]. Hii and Howell [30] explained the anti-hyperglycemia effect of flavonoids (present in C. papaya leaves extract) as they enhance the insulin secretion from pancreatic islet cells due to its action through changing in Ca 2+ fluxes and cyclic nucleotide metabolism. Moreover, there is a prophylactic effect of flavonoids on pancreatic cell as keep on the integrity of cells [31]. According to the results of another experiment, administration of 50, 150 and 300 mg/kg BW of ethanol leaves extracts orally to diabetic mice for 10 days, lead to a significant reduce in serum glucose level and a significant increase in serum insulin level [6]. Also, the hypoglycemic effect of C. papaya seeds extract may be either caused by stimulation of insulin secretion from the β cells of pancreas or may be due to increase of tissue uptake of glucose [22]. The aqueous C. papaya leaves extract stimulate the survived β cells with enhancement of more insulin secretion, instead of pointing to the regeneration of β cells of the islets as responsible for the insulin secretion and that was agree with our discussion [32]. While other studies [33-35] suggested that the administration of plant extracts contained flavonoids to diabetic rats helped in cell regeneration and restoration of islet size by producing cell hyperplasia. The histopathological results confirmed the biochemical results; Pancreas of rats in C. papaya group (III), showing normal histological structures and architectures (Figure 1B), Pancreas of rats in treatment group (V), showing atrophy to large percentage of the islets of Langerhans after 15 days post STZ injection (Figure 1C), while prophylactic group (group IV) showed very mild to moderate degenerative and necrotic changes in the form of slight vacuolation of the cells of some islets of Langerhans, and mild atrophy of other islets of Langerhans (Figure1D). Diabetes Mellitus is a metabolic disease accompanied by hyperlipidemia which may be due to impaired lipolytic hormones action on fat depots [36] which may lead to atherogenesis and cardiac vascular disease (CVD) [37]. The present study showed a significant increase in serum TC, TGs and LDL-c levels and a significant decrease in HDL-c in diabetic rats (group II) when compared with the control after 15 and 30 days post STZ injection as shown in Tables 2&3. The hyperlipidemia may be due to increase of free fatty acid (FFA) mobility from peripheral depots [38], and decrease removal or increase production or both of one or more lipoproteins [39]. Also, reduction in serum HDL-c level which is the carrier of cholesterol to liver for metabolization, is a predisposing factor to dyslipidemia and atherosclerosis. Insulin deficiency or resistance may be the reason of dyslipidemia, as insulin inhibits the action of HMG-COA (3-hydroxy-3-methyl glutaryl coenzyme A reductase) which is responsible for LDL-c metabolism [40]. Table 2: Lipid profile of rats in different groups at 15 days post treatment (n = 5 mean ± SE). Parameters Groups Total cholesterol (mg/dL) Triglycerides (mg/dL) LDL-C (mg/dL) HDL-C (mg/dL) Gp (I) 118.4±2.38 c 140.74±11.52 c 15.23±2.16 b 75.04±2.01 a Gp(II) 146.65±3.20 a 243.45±12.02 a 49.08±4.20 a 48.87±0.63 c Gp(III) 112.10±2.76 c 135.00±13.72 c 13.57±1.88 b 71.52±0.63 a Gp(IV) 135.07±1.89 b 188.32±9.90 b 41.16±5.37 a 56.24±1.98 b Gp (V) (0.11g) . 140.77±3.20 ab 199.80±3.51 b 48.80±3.78 a 52.00±2.54 bc Gp (VI) (0.22g) . 139.00±2.20 ab 197.69±6.32 b 47.36±2.42 a 52.10±1.19bc - Means in the same column characterized by different letters were statistically significant at P< 0.05. Gp (I): control, Gp (II): diabetic group, Gp (III): C. papaya group, Gp (IV): prophylactic group, Gp (V): t reatment group (0.11g), Gp (VI): treatment group (0.22g) Zag Vet J, Volume 47, Number 1, p. 45-56, March 2019 Hashem et al. (2019) 50 Table 3: Lipid profile of rats in different groups at 30 days post treatment (n = 5, mean ± SE). Parameters Groups Total cholesterol (mg/dL) Triglycerides (mg/dL) LDL-C (mg/dL) HDL-C (mg/dL) Gp (I) 116.59±1.95 bc 145.58±12.49 bc 15.60±1.77 b 71.85±2.10 a Gp(II) 167.72±7.90 a 243.68±11.79 a 69.82±6.05 a 49.16±0.26 c Gp(III) 107.94 c ±0.53 122.00±1.62 c 10.42±1.04 b 73.11±1.23 a Gp(IV) 124.64±3.51 b 179.27±9.75 b 22.49±1.42 b 66.29±0.96 b Gp (V) (0.11g) 124.58±6.28 b 187.05±11.26 b 22.64±4.79 b 64.52±2.34 b Gp (VI) (0.22g) 121.46±2.93 bc 179.34±23.71 b 20.90±5.70 b 64.69±1.90 b - Means in the same column characterized by different letters were statistically significant at P< 0.05. Gp (I): control, Gp (II): diabetic group, Gp (III): C. papaya group, Gp (IV): prophylactic group, Gp (V): treatment group (0.11g), Gp (VI): treatment group (0.22g) Administration of C. papaya aqueous leaves extract in groups IV, V and VI showed significant decrease in serum TC, TGs and LDL-c levels and a significant increase in serum HDL-c level when compared with diabetic group II after 30 days post STZ injection as shown in Table 3. ie. There was an improvement in lipid profile after administration of C. papaya. The hypolipidemic effect of C. papaya may be due to flavonoid action which was one of the components of C. papaya. The improvement of serum LDL-c level may be due to decrease of VLDL and enhance hepatic depuration of LDL-c precursors [41]. Also, flavonoids improved TG and TC, as it inhibits HMG-CO reductase [42,43]. Oxidative stress has a serious role in pathogenesis of DM and its complication [44]. It is formed during normal metabolism in the body and is stimulated by the environmental factors and chemicals, that effects on antioxidant status [45]. Scavengers of oxidative stress as CAT may have an effect on decreasing the hyperglycemia in DM, which considered supportive defense against ROS, as hyperglycemia aides in auto-oxidation of glucose and produces free radicals as superoxide that in turn caused lipid peroxidation. The CAT is localized in peroxisomes or micro-peroxisomes, which catalysis decomposition of H2O2 to water and oxygen, thus protects cell from oxidative damage [46]. With reference to the antioxidant and the lipid peroxidation assessment in the present study, administration of STZ to rats in diabetic group (group. II) showed a significant decrease in hepatic CAT activity when compared with all groups after 15 and 30 days as shown in Table 4, which may be due to depletion of endogenous antioxidants and generation of free radicals which caused by STZ injection [47]. Our results agree with other studies [48-50], in which, induction of DM in Wister rats by a single IP injection of STZ resulted in significant decrease of hepatic CAT activity after 2 months post STZ injection. Meanwhile, the present results disagree with Durdi and Timur [51] as catalase activity in the diabetic rats was increased in compare with the control group after IP injection of rats by STZ (50 mg/kg), due to enhanced ROS production, so intracellular enzymatic antioxidant tried to fight those free radicals by increasing CAT production. Zag Vet J, Volume 47, Number 1, p. 45-56, March 2019 Hashem et al. (2019) 51 Table 4: Antioxidant activities and lipid peroxidation in rats in different groups at 15 and 30 days post treatment (n = 5, mean ± SE). Time of sampling 15 days 30 days Parameters Groups MDA (nmol/g tissue) CAT (U/g tissue) MDA (nmol/g tissue) CAT (U/g tissue) Gp (I) 1.90±0.26 b 65.69± 2.59 b 1.26±0.21 c 69.90±1.37 b Gp(II) 3.00±0.45 a 48.6±3.17 c 3.50±0.25 a 50.89±3.91 c Gp(III) 1.70±0.26 b 77.69±1.47 a 1.30±0.15 c 78.08±1.07 a Gp(IV) 1.96±0.14 b 70.66±0.33 b 1.83±0.20 bc 73.30±1.74 ab Gp (V) (0.11g) . 2.50±0.20 ab 66.31±1.22 b 2.36±0.17 b 71.38±0.78 ab Gp (VI) (0.22g) 2.01±0.05 b 72.09±1.48 ab 1.81±0.25 bc 72.17±1.65 ab - Means in the same column characterized by different letters were statistically significant at P< 0.05. Gp (I): control, Gp (II): diabetic group, Gp (III): C. papaya group, Gp (IV): prophylactic group, Gp (V): treatment group (0.11g), Gp (VI): treatment group (0.22g) Carica papaya contains a lot of phytochemicals which act as antioxidant, like vitamins C and E, lycopene, and beta-carotene. They reduce the depletion of antioxidant enzymes, so they fight oxidative stress [52- 55]. Administration of C. papaya in groups IV, V and VI showed a significant increase in hepatic CAT activity when compared with diabetic group (group II) after 30 days post STZ injection that may be due to quench of free radicals by active hydroxyl group, sulfadryl group and thiol group of several amino acids which found in C. papaya [56]. Sadek [57] observed a significant reduction in lipid peroxidation, and enhanced activity of catalase in albino rats administrated C. papaya in a dose of 250 mg/kg BW for 40 days. Lipid peroxidation (auto oxidation) is a chain reaction producing a continuous source of free radicals that initiates further peroxidation in the lipid rich membrane of lipoproteins by ROS like OH¯ (Hydroxyl radical), NO¯. [Nitric oxide radical], O2¯ [superoxide radical] and ROO¯ [Peroxyl radical] resulting in generation of lipid peroxidation products like MDA [58]. In our study, diabetic group (group II) showed a significant increase in hepatic MDA level after 15 and 30 days post STZ injection when compared with other groups as shown in Table 4. The increase in MDA may be due to that free radicals which caused lipid peroxidation and changing phospholipids structure lead to accumulation of MDA [59] with diminishing antioxidant activities in tissues [60]. Administration of C. papaya in groups IV and VI showed a significant decrease in MDA when compared with diabetic group II post- STZ injection as shown in Table 4. The improvement in MDA levels may be attributed to flavonoids content of C. papaya causing a decrease in lipid peroxidation. The reduction in MDA level by action of Inula britannica flower flavonoids (IBFFs) may be due to enhance antioxidant activities and decrease lipid peroxidation [61], also elevation in MDA may be due to vitamin E which appears to be the most vital free radical-scavenging antioxidants that works through membranes and lipoproteins, which acts as chain-breaking antioxidant that works as prophylactic against Poly Unsaturated Fatty Acids (PUFA) peroxidation by scavenging peroxyl radicals, vitamin E gives a hydrogen atom to the free radical, gets oxidized itself to a radical [62]. Conclusion Streptozotocin (STZ) in a dose of 65 mg/kg BW induced DM through ROS generation and oxidative stress in β cell of islet Langerhans in pancreas. C. papaya leaves aqueous extract in doses of 0.11 g/mL and 0.22 g/2mL has antidiabetic, antihyperlipidaemic and antioxidant effect with protective effect on pancreas and other organs. 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(2013): Hepatoprotective effect of the flavonoid fraction isolated from the flower of Inula britannica against D-galactosamine- induced hepatic injury. Mol Med Rep, 7(6): 1919-1923. [62] Halliwell, B. (1997): Antioxidants and human disease: A general introduction. Nutrition Reviews, 55(1):S44-S49. Zag Vet J, Volume 47, Number 1, p. 45-56, March 2019 Hashem et al. (2019) 56 الملخص العربي الفئران سكر الذم المستحث تجريبيبً فى على دراسبت ببثولوجيه إكلينيكية على تأثير نببت الببببز اٌٍُثٍ ثطّخ دمحم ػىض و ّذ ػجذ اٌفزبح إضّبػًُشُّبء اح، دمحم ػجذ اٌؼظُُ هبشُ ِصر-جبِؼخ اٌسلبزَك -وٍُخ اٌطت اٌجُطري -لطُ اٌجبثىٌىجُب اإلوٍُُٕىُخ ِٓ روىر 09ػًٍ ولذ اجري اٌجحث وِضبػفبره. ٌزمُُُ رأثُرٔجبد اٌجبثبز ػًٍ ِرض اٌذاء اٌطىري صّّذ اٌذراضخ ِزطبوَخ وً ِجّىػبد 6ػًٍ اٌفئراْ لذ رُ رمطُُوجُ 099ثّزىضظ وزْ اٌطٍُّخ ظبهرَبً ػّر شهرَٓ و اٌفئراْ اٌجُضبء ػًٍ اٌذاء َىَ 09ٌّذح ًِ 0 /جُ 9.00- جُ/9.00ًِ ولذ رُ دراضخ رأثُر ٔجبد اٌجبثبز ثجرػبد فأر. 01ِٕهب رحزىي ػًٍ . (ى جراَ ِٓ وزْ اٌجطٌُىً وٍُ ِج 61اٌطىرٌ اٌّطزحث ثبٌحمٓ فٍ اٌغشبء اٌجرورىٍٔ ٌالضزرثزىزوربضُٓ ثجرػخ واحذح ) لذ رحطٕذ اٌحبٌخ اٌصحُخ ٌٍفئراْ و وِطزخٍص ٔجبد اٌجبثبز اٌطزرثزىزوربضُٓ حمِٓٓ َىَ 09و01ولذ أثجزذ إٌزبئج أٔه ثؼذ 186.33) اٌٍ (mg/dL 276فً اٌطُرَاٌجٍىوىز ظهرد فً ٔمص ِؼذالدواٌزٍ واٌّؼبٌجخ اٌّصبثخ ثبٌذاء اٌطىري mg/dL، 297.44أُِٓ-اٌفراوزىز µmol/L) ٌٍ272.44) ا µmol/L ، ٌ139.00روي اٌىٍٍُطزُاٌىى mg/dL) ٌٍا (121.46 mg/dL ،197.69 اٌذهىْ اٌثالثُخ mg/dL) ٌٍ179.34) ا mg/dL، اٌىىٌُطزُروي اٌٍُجىثرورُٓ ِٕخفط اٌىثبفخ ، (LDL-c) 47.36 mg/dL) ٌٍ20.90)ا mg/dL و L- malondialdehyde (MDA) 2.01 nmol/g tissue) ٌٍا (1.81 nmol/g tissue 1.80االٔطىٌُٓ . ثُّٕب ٌىحع زَبدح فً ِؼذالد µIU/mL) ٌٍ2.33) ا µIU/mL ، ُٓاٌٍُجىثرور ِمبرٔخ U/g tissue 71.38) اٌٍ (U/g tissue 66.31ؤشبط اٌىزبٌُسmg/dL 64.69) اٌٍ (mg/dL 52.10 ػبٌٍ اٌىثبفخ حفسد اٌذاء اٌطىري وّب أْ وبْ اٌطزرثزىزوربضُٓاْ اٌجرػخ اٌّمزرحخ ِٓ ٌجخ.واٌغُر ِؼب ثبٌذاء اٌطىري اٌّصبثخ ٌفئراْثب هٕبن رغُُراد فً اٌمُبضبد اٌطبثمخ ِٓ خالي أٔىاع االوطجُٓ اٌزفبػٍُخ واإلجهبد اٌزأوطذي فً خٍُخ ثُزب فً جسَرح الٔجرهبٔص /ًِ ٌه رأثُر جُ 9.00- جُ/9.00ًِ ثجرػبدفً اٌجٕىرَبش. ؤطزخٍص ِٓ رٌه اْ اٌّطزخٍص اٌّبئً ألوراق ٔجبد اٌجبثبز ِضبد ٌإلٌزهبة، ِضبد ٌٍهُىٍُخ وِضبد ٌالوطذح ِغ رأثُر ولبئً ٌٍجٕىرَبش واالػضبء األخري. 
work_edfwd3jaqbe23phigbuktremta	----	BOLLETTINO DEI MUSEI Bulletin of Environmental and Life Sciences, 2, 2020 –——————————————————————————————————————————————— Di Bartolo – Humboldt reception by Italian Catholic Circles (XIX century) 9 THE RECEPTION OF HUMBOLDT’S WORK IN ITALIAN CATHOLIC CIRCLES OF THE 19TH CENTURY ALEXANDER DI BARTOLO* 1 Seminario vescovile di San Miniato (Pisa). *Correspondence: alexanderdibartolo@yahoo.it ABSTRACT Through the analysis of some Italian Catholic reviews of the nineteenth century the reception of Humboldt's work will be highlighted in a specific environment - the Catholic one - where the opinion on the importance of his work has changed over time. Especially the case of the magazine «Civiltà Cattolica» will be analyzed. Indeed, the magazine changed its opinion on the German scientist after the publication of the Columbus biography by Count Roselly de Lourges, contrasting the authority of Humboldt’s Examen critique de l’histoire de la géographie du Nouveau Continent. At the end, a short list of “priest-scientists” who referred directly to Humboldt and were inspired by his work will be presented. KEYWORDS: Humboldt, Italy, Catholic circles, Catholic reviews, 19 th century INTRODUCTION The subject of this contribution is a small part of a wider ongoing research about the reception of Humboldt's work in Italy which will see its publication online in the coming months through a dedicated website. 1 The reception of Humboldt's works in the Italian Catholic circles of the nineteenth century is a specific aspect, a particular point of view, to deal in an original way with the general subject of Humboldt’s fortune in the Italian peninsula. We have not chosen casually the Catholic circles environments, where the critical ferment, at different times, has taken on different opinions towards Humboldt. Catholic circles reviewed Humboldt's work fairly early, through some media, such as specialist magazines; moreover, Catholic scientists and naturalists, often coming from religious orders, or professional ecclesiastics, have read and absorbed German research, “using” Humboldt and producing, during the nineteenth century, studies that explicitly call back to the discoveries of the Berlin scientist; still others had close friendships and collaborative relationships on specific issues with him. We must say that Italian critical literature on Humboldt does not include complete studies on the reception of the scientist's work in the peninsula. Consequently, a study of Catholic circles can be considered an original aspect of the many still to be studied about Humboldt reception. 2 Talking about Italian “Catholic circles” of the nineteenth century, I refer to those places where the clergy and religious education was available: then primarily the episcopal seminaries for secular priests, then male institutes of consecrated life, such as monasteries and convents, 1 The project is called “Humboldt Italian Center” and It consists in a website where all the Italian authors cited by Humboldt and all the Italian scientists and naturalists who have read, studied and analyzed the work of the German scientist will be collected. The project arises from a long-term collaboration with Professor Agnese Visconti. 2 About the relationships between Humboldt and Italian scientists has been published only one specific study on phytogeography: Rodolico, 1969. Recently It has been published a study by Di Bartolo & Visconti, 2019. mailto:alexanderdibartolo@yahoo.it Bulletin of Environmental and Life Sciences, 2, 2020 –——————————————————————————————————————————————— Di Bartolo – Humboldt reception by Italian Catholic Circles (XIX century) 10 often assisted by prestigious libraries. Among the latter we must remember some particular congregations which were receptive to the instances coming from the world of science: the Società di Gesù or Jesuits - historically one of the most attentive - together with other societies of apostolic life such as the Barnabits (regular clerics of San Paolo) or the Scolopi of Scuole Pie (regular clerics poor of the Mother of God) or the Theatins (regular Theatine clerics). Some of these Congregations or societies of apostolic life - the Società di Gesù precisely - published important magazines, such as the periodical «Civiltà Cattolica», which assumed during the nineteenth century the role of an accredited media in the Catholic field, especially to review authors of contemporary literature and science (Dante, 1990). It is not surprising, for those who have gained some experience in scientific history research or in the individual sectors to which they belong, to find throughout the eighteenth and nineteenth centuries names of scientists from ecclesiastical backgrounds: priests, canons, bishops or cardinals belonging to the clergy diocesan (that is, who had studied in diocesan seminaries) or religious from institutes of consecrated life like monks, abbots, simple friars (Pizzamiglio, 2015). It is possible to make a simple list of names to show how in certain mature Catholic circles there has never been a starting prejudice for “frontier” research or towards reading new authors who presented cutting-edge scientific hypotheses and that they were sometimes close to excommunication for positions discordant with accepted Catholic dogmas or for theological interpretations outside the recognized tradition. On the contrary, in certain cultural environments where the action of ecclesiastical courts (such as the Sant’Uffizio) was more difficult, the works of those scientists whose books had been placed on the Index circulated and were read easily (Fasanella, 2002). The aim of the study is therefore to illustrate how and why the opinion on Humboldt has changed over time within a certain environment, and even to offer a brief overview of those “scientist priests” who followed in the footsteps of the German. Humboldt in Italian Catholic Journals Starting from the 1830s, the cultural production of Catholic-liberal inspiration was strengthened. Especially in the urban areas of Po and Tuscan Italy, a generation of churchmen, who no longer had much in common with the eighteenth-century clergy, emerged. Aware of what was happening in various areas of knowledge, Catholics also began to make investment in communication. After this assumption I would like to quickly review those nineteenth-century magazines of great prestige and diffusion of the Italian Catholic sphere, in which the various contributors or editors responsible for editorial articles demonstrate that they have known or read the scientific work by Humboldt. The magazines involved in this quick review are: «Memorie di religione, di morale e di letteratura» (founded in Modena in 1822), «Guida dell’educatore» (founded in 1836), «L’Araldo Cattolico» (founded in Lucca in 1844), «Civiltà Cattolica» (founded in 1850 during the exile of pope Pio IX to Gaeta). 3 I will focus mainly on the case of the most prestigious nineteenth-century magazine, «Civiltà Cattolica», highlighting the ambivalent attitude held by this religious newspaper to explain the reason for a sudden “change of views”, caused by 3 I used the indexes of these periodicals to find out when and where Humboldt is referred to and how. Bulletin of Environmental and Life Sciences, 2, 2020 –——————————————————————————————————————————————— Di Bartolo – Humboldt reception by Italian Catholic Circles (XIX century) 11 the Humboldt’s publication that was considered opposite to the biography of Cristoforo Colombo published by Count Roselly de Lorgues. In the first magazine taken into consideration, the «Guida dell’educatore» magazine, born in 1836 and edited by another illustrious Genoese citizen, Raffaello Lambruschini, 4 we find the first reference (year IV, 1839). The presence of Humboldt name should not surprise because Lambruschini is the same intellectual who collaborated with Gian Pietro Vieusseux 5 in the foundation of the «Giornale agrario toscano» together with Cosimo Ridolfi 6 , and Lambruschini is the same who planned to deal with the review of Humboldt's works together with Carlo Cattaneo, as proved by Cattaneo's correspondence preserved in the rich archival fund “Copialettere Viesseux” of the National Library of Florence (Carteggio Lambruschini-Vieusseux, 1998-2000). In the issue of the pedagogical magazine, some anthropological notes, deriving from the amount of data collected by the German in Central and South American exploration, are borrowed: Lambruschini also shows that he had read Humboldt's work, (obviously what he was interested in), and he had understood the importance of what can be called “life pictures”, in parallel to “natural pictures” emerging from his description of nature. Inside them we can also find descriptions of some diseases typical of the Equinox Regions, which Humboldt found studying South American peoples. Lambruschini delves into the particular matter of “cretinism” (that, for a certain period, was called by scientists “endemic cretinism”, on which a large literature flourished in the mid-nineteenth century) as observed by Humboldt among the peoples he visited. The German scientist is for Lambruschini the authority in this field of research, alongside other authorities (Popig, Ramond de Carboinieres, Iphofen, Wenzel, Wood and others), whose theses are now considered accepted by the scientific community, and therefore primary sources that do not even require an explanatory note. Reading various texts on this subject we note the singular application of the phytogeographic method – the presence and survival of plant and animal species based on altimetric and climatic factors – to detect presence or absence of people affected by cretinism pathology or degeneration, as it is called by most doctors in the mid-nineteenth century. According to the observations made by Humboldt there would be a maximum limit, as exists for plants, also for the presence of this pathology which is not exceed 14,000 feet (4,267 meters) in the Cordillera and in the Andes. The second circumstance in which the name of Humboldt is found is inside the magazine «Memorie di religione, morale e letteratura», printed in Modena with different periodicity, starting from 1822. This is a catholic magazine open to articles and essays by authors not coming from the ecclesiastical world. Inside of sixth volume (year 1843), there is a reference to a medical topic that would emerge from reading the numerous data collected by Humboldt. The doctor and surgeon Carlo Speranza, died in Pavia in 1867 and author of a study titled Odierno aumento del numero dei pazzi e dei suicidi, an article - which we know from the introduction - was to be presented at Congresso degli scienziati italiani di Torino (1840), analyzes the topic of mental illness. Humboldt is regarded as a source of reliable data and records for seeing “a few fools among the savages of America”. Indeed, the description of people suffering from menthal pathology or madness in Humboldt's travel diaries is really limited. Humboldt talks about it in the 4 See “Lambruschini Raffaello”, in DBI, ad vocem, on-line edition. 5 See “Viesseux Giampietro”, in Enciclopedia italiana, ad vocem, on-line edition. 6 See “Ridolfi Cosimo”, in DBI, ad vocem, on-line edition. Bulletin of Environmental and Life Sciences, 2, 2020 –——————————————————————————————————————————————— Di Bartolo – Humboldt reception by Italian Catholic Circles (XIX century) 12 fourth and fifth volumes of Voyage referring to all the madness caused by the use of particular herbs or to crazy attitudes, such as those of anthropophagy, that Humboldt was able to detect from the stories of the missionary fathers. The thesis, according to which the data found by Humboldt is provided, is that in places where there is greater culture and excesses of civilization abound, there would be statistically a greater number of people with mental illnesses. Consequently, “in the countryside, the number of alienated persons is lower than in the cities”. The whole thread of the discourse leads to the thesis that only religion, both the natural one of the ancient peoples, and the secular one (for the author only the Catholic religion), “can be a salutary remedy for the onset of madness, and mental instability in general, since the balm of religion does not torment the spirit but rather raises it in search of higher truths, reinvigorating the soul with feelings of peace, consolation and tranquillity”. Following the order of occurrences in catholic magazines, the next one is «L’Araldo della Pragmalogia cattolica», born in January 1844, and modified in the title in 1852 with the addition of subtitle “Scientific and literary scientific journal”. It is part of those Catholic magazines that had the pedagogical goals of educating the clergy and keeping them updated on editorial news, but also on the main news deriving from other Catholic countries in the world, publishing obituaries, and short reviews. For a long time, it was the official organ of the Diocese of Lucca. 7 In 1858 it was published a historical-scientific lesson on earthquakes signed by anonymous “T.M.”, probably after the earthquake that stroke the Neapolitan provinces (Basilicata, 1857). Inside the article, published in two parts, Humboldt is mentioned in several places for his research, in particular for the ascent to the Chimborazo on June 23, 1802 and for some discoveries on the fauna of the Orinoco. Humboldt had observed, for example, the behavior of the crocodiles who, although silent, warn the earthquake in advance and realizing it, flee the water, heading into the clearing and howling. The “famous Humboldt” 8 , as the author defines him, would have hypothesized, with reference to telluric movements, a greater concentration of the latter on the equinoctial zone. Therefore, the author demonstrates to know the complete edition of Voyage and the ascension’s description to Chimborazo that had a great echo in all the major magazines of the world. Humboldt and Civiltà Cattolica The comparison with the most prestigious catholic review of that time, «Civiltà Cattolica», 9 provides us elements for understanding the sudden change of views occurred in Roman circles in the 60s of nineteenth century. Until that moment the German scientist had only gained esteem and admiration, especially in Roman circles. After returning from his South- 7 The priest Pietro Dal Poggetto, educated inside the Archbishop’s Seminary of Lucca, then Pietro Bartoli, another priest from Lucca clergy, were directors of the magazines; “L’araldo Cattolico” is counted among the liberal Catholic newspapers. 8 In the text, in Italian language “il chiarissimo Humboldt”. 9 It has a great diffusion in a short time (after four years of life it already boasts 13,0000 subscriptions). The inspirer and first editor of the magazine was Father Carlo Maria Curci, but it was above all Pope Pius IX who wanted it. The idea that led to the foundation of the magazine was to defend "Catholic civilization", as it was then conceived, threatened by the enemies of the Church, in particular by liberals and Freemasons, who were inspiring many leading lines of Risorgimento Italy. Bulletin of Environmental and Life Sciences, 2, 2020 –——————————————————————————————————————————————— Di Bartolo – Humboldt reception by Italian Catholic Circles (XIX century) 13 American voyage, Humboldt visited his brother Ambassador Wilhelm (1805) guest in the diplomatic palaces of the Holy See. We know from the travel notebooks, that Marie- Noëlle Bourguet happily analyzed in the original version (BOURGUET, 2017) that Humboldt reached Rome where received all the honors, easily obtaining access to the Vatican Apostolic Library, being able to view the archaeological collections of Cardinal Borgia, and receiving all kinds of merits (in Rome the Pontifical Academy of Archeology included him among the correspondents in 1822 and the Accademia dei Nuovi Lincei appointed Humboldt honorary members in 1853). The first reference in Jesuit magazine «Civiltà Cattolica» is in 1857 (VIII year, III series). Inside the article “Della moderna necromanzia”, where are described several episodes that took place in Geneva, Bavaria and also in France, Humboldt is defined the “venerable Nestor” of modern physics. Translating - considering that Nestor is known in mythology as the wisest of the Atrei kings who fought against the Trojans - Humboldt would be the wisest of the elderly living scientists. The episodes described were relative to imaginative ideas circulated: spiritate oracles on dining tables where appeared letters suggested by divine revelations, people who heard and translated spirits, animated wooden tables. The name of the German scientist is referred to in a letter in which Humboldt replies to Mr. Jobard, who had bothered him after having requested scientific findings also to Faradey. Inside the megazine the authors of «Civiltà Cattolica» published the entire letter, that we quote: Avendo alcuni creduto che Alessandro di Humboldt, il quale s’era mostrato favorevole alle esperienze del sig. de Bois-Raymond intorno all’elettricità muscolare ed avea fatto egli stesso in America parecchi sperimenti intorno all’elettricità dei gimnoti e delle tremole, non fosse alieno dall’ammettere non so quale spiritualizzazione elettrica della materia per ispiegare il fenomeno delle tavole parlanti; il sig. Jobard lo richiese per lettera del suo parere intorno a ciò, e ne ebbe la seguente risposta. “Berlino. 2 aprile 1856. Ella mi scrive, caro signore, una lettera al suo solito ingegnosa e graziosissima; ma io sono ben lungi dal poterle rispondere intorno alla semplice possibilità di diversi generi d’elettricità, minerale, vegetale, animale, celebrale, dotata o no di libero arbitrio. Io per me ho sempre la debolezza di aver un santo orrore della spiritualizzazione del legno d’abete e del misticismo degli psicografi. Ella accresce il mio spavento col fantasma di cotesto ente di ragione effimero, dotato d’intelligenza per opera del concentramento dei pensieri raggianti dal cervello di coloro che circondano lo strumento. Ella sa che Geoffroy Saint-Hilaire diceva d’aver trasudato in Egitto dall’ossido di pensieri. Ella dirà che mia incredulità non è effetto che di pigrizia; mi sottometto di buon animo a questo biasimo, ma persuaso che il rincrescimento che io proverei di crederla tuttavia impigliata in questa via tenebrosa non toglierà nulla all’amicizia che da sì gran tempo ella mi professa, confido nella sua indulgenza.” Humboldt is still an authority. He is considered in a positive way, as a venerable wise scientist, and his words are proof that even science denies these paranormal manifestations. As we can declare the official religion - the Jesuits represented an official voice of the Catholic Church - uses Humboldt to consolidate his thesis against the paranormal. Bulletin of Environmental and Life Sciences, 2, 2020 –——————————————————————————————————————————————— Di Bartolo – Humboldt reception by Italian Catholic Circles (XIX century) 14 Still in the 1860s - when the first three books of Kosmos were already published 10 - Humboldt is presented as one of the greatest scientists of all time. 11 In two articles titled “Cosmogony”, appeared respectively in 1860 and 1861, the opinion on the scientist is more than positive. Indeed, in the reviews section of the vintage 1861, the praise of the very catholic Filippo Parlatore, published after Humboldt's death, is also highlighted (Parlatore, 1860). Opinion changed suddenly in 1875 because of a Genoese, indeed we would say because of the release of the work of a Frenchman, Count Roselly de Lorgues, 12 who has published his monograph on Christopher Columbus some years before 13 . From that moment the Jesuits opinion on Humboldt turns sharply. Humboldt becomes the scientist who has questioned Colombo's role in the peaceful evangelization of South America and also the role and prestige of Humboldt work Examen critique is now questioned. Even within Humboldt’s Kosmos there are several mentions of Columbus and his travels but all these occurrences have a laudatory tone. 14 In a long article published on «Civiltà Cattolica» (year 1875) and titled “Istanza per la canonizzazione di Cristoforo Colombo”, Humboldt is described inexplicably as a tamper of the Colombo’s biography. Durante la gran voga in che era la storia dell’Irving, sopravvenne l’altra del celebre Alessandro de Humboldt, denominato dai Prussiani suoi concittadini l’Aristotile moderno, ad aggravare con più madornali errori la memoria di Cristoforo. Dove il primo si contentò di quattro volumi, questo secondo ne spese cinque a deturparlo dal lato morale e scientifico, a proposito della geografia del nuovo Continente. (…) Il novello Aristotile dei Prussiani trasformò Colombo in un mostro di vizii, dissimulatore, ignorante, truffatore, doppio, ipocrita, fanatico, invidioso, adultero, ingrato. Ond’é che i tre storici, I quali fino a sessant’anni indietro hanno procacciato più che altri di trattare dall’ombra questo glorioso cattolico, sono stati eretici e nemici della sua fede. La scuola storica dei protestanti si arrogò quindi come il patrimionio privilegiato la memoria del grande navigatore; e parve che non fosse più possibile ad altri strappargliela; giacché chi avrebbe avuta la temerarietà di contraddire un Humboldt, che dettava legge alle accademie d’Europa (…) ?. 15 From this article, appeared in 1875, the Prussian scientist becomes the enemy of Columbus. 10 Humboldt’s Kosmos was published by Cotta from 1845 to 1862 (the last volume was published posthumous). There is also a French edition (translated by Charles Galusky and Hervé Faye, 1847-1859) and an Italian edition (translated by Giulio Vallini and Vincenzo Lazari, 4 voll., 1860). 11 See «Civiltà Cattolica» 1860 (eleventh year, volume 5, series IV) and 1861 (twelfth year, volume 9, series IV, pp. 165 and ff.) 12 French Americanist born in 1805 and died in 1897. 13 The most important Roselly de Lourges book was Christophe Colomb, histoire de sa vie et de ses voyages (2 voll. 1856). It contains not only the biography and a large amount of archival documents but also presents reasons of postulator’s cause of Christopher Columbus beatification. 14 We have counted 47 citations on Colombo in the volumes of Kosmos. 15 See serie IX, volume VII, fasc. 605, 24 agosto 1875. Bulletin of Environmental and Life Sciences, 2, 2020 –——————————————————————————————————————————————— Di Bartolo – Humboldt reception by Italian Catholic Circles (XIX century) 15 Although Humboldt had made some mistakes on biographical aspects of Columbus life, it is enough to read his Examen critique and Kosmos to understand how great the appreciation for Columbus life and discoveries by the Prussian scientist was. Consequently, the opinion of «Civiltà Cattolica» writers changed radically, certainly influencing many Catholic readers in Italy and abroad. The inexplicable paradigm shift of the Roman magazine did not actually bring serious consequences for the “priests-scientists”. It is enough to propose a list of names of these priests to demonstrate how the educated Italian clergy continued to read and appreciate Humboldt. Humboldt and “priests-scientists” In conclusion we present therefore a simple list of “priests-scientists” who have read and studied Humboldt, on which we are carrying out further research. Among these priests there are geologists, geographers, volcanologists, all from ecclesiastical backgrounds. Following a merely chronological order, the first we present is the religious Teodoro Monticelli (1759-1845), prior of the Celestine fathers, who worked on volcanology and mineralogy with particular regard to the Kingdom of Naples and Vesuvius territories. Humboldt's estimator Teodoro Monticelli was also in correspondence with the German scientist (Monticelli, 1841). The second religious in this list is Placido Zurla (1769-1834), Camaldolese monk, created Cardinal in 1823. Zurla considers Humboldt “the creator of modern geography” and Humboldt appreciated Zurla making several times refers to Zurla's works, particularly the book Il Mappamondo di fra Mauro Camaldolese (Zurla, 1806) inserted in the private library of the Prussian scientist (Stevens, 1863). Finally, the last scientist we want to talk about is the famous Lombard geologist Antonio Stoppani (1824-1891). A leading figure in Italian nineteenth-century geology. Author of numerous works on Lombard geological formation and glaciers, He was a great popularizer and became famous for his best-seller Il Bel Paese (Stoppani, 1876). We can consider Stoppani a true pupil of Humboldt, as well as a careful reader of his work. Indeed, his famous book Il Bel Paese was directly inspired by Humboldt’s Tableau de la nature, as we can read in the introductory pages of his book. Stoppani's aim, drawing inspiration directly from Humboldt, was to make known the naturalistic beauties of Italy through some “literary paintings”. Stoppani can therefore be considered a priest-scientist clearly inspired by Humboldt. He had read Kosmos, quoting him several times, especially in the book on Divina Commedia (Stoppani, 1865) where he explores, giving a purely Christian interpretation, the subject of “the sense of nature”, starting from the reflections contained in the first volume of Cosmos. This list of scientists from Catholic circles who confronted Humboldt, regardless of the fears expressed by «Civiltà Cattolica», can certainly be increased following further archival research, making contributions interested in the topic of Humboldt reception in Italy. Bulletin of Environmental and Life Sciences, 2, 2020 –——————————————————————————————————————————————— Di Bartolo – Humboldt reception by Italian Catholic Circles (XIX century) 16 REFERENCES List of journals: «L’Araldo Cattolico: giornale religioso, scientifico, letterario», 1844-1860 «Civiltà Cattolica», 1850-1870 «Guida dell’educatore», 1836-1845 «Memorie di religione, di morale e di letteratura», 1822-1855 Biographical dictionaries on web: DIZIONARIO BIOGRAFICO DEGLI ITALIANI (DBI), on-line edition ENCICLOPEDIA ITALIANA, on-line edition Other printed sources: Dante F., 1990. Storia della “Civiltà Cattolica” (1850-1890): il laboratorio del Papa. Ed. Studium, Roma. Di Bartolo A. & Visconti A., 2019. Before and after Humboldt: Italian travellers, geographers and botanists between the eighteenth and nineteenth centuries, in F. D’Angelo (edit. by), Viaggiatori. Circolazioni scambi ed esilio, <<Viaggiatorijournal>>: 229–249. Fasanella D., 2002. I libri proibiti nei monasteri benedettini di fine Cinquecento, in «Archivio italiano per la storia della pietà», n. 14: 306–315. Gabrielli V., Paoletti Lange A., Pignotti M. (eds.), 1998-2000. Carteggio Lambruschini-Vieusseux : Le Monnier, Firenze. 6 voll. Humboldt A. von, 1813-1814. Examen critique de l’historie de la géographie du Nouveau Continent, et des progrés de l’astronomie nautique au XVe et XVIe siècles. Gide, Paris. Humboldt A. von, Bonpland A., 1814-1825. Relation historique du Voyage aux régions èquinoxiales du Nouveau Continent, fait en 1799, 1800, 1801, 1802, 1803 et 1804. F. Schoell-Maze-Smith & Gilds fils, Paris, 3 voll. Humboldt A. von., 1845-1862. Kosmos: Entwurf einer physishen Weltbeschreibung. Cotta, Stuttgart und Tübingen, 4 voll. Monticelli T., 1841. Opere dell’Abate Teodoro Monticelli. Stabilimento tipografico dell’Aquila, Napoli, 2: 126–157. Parlatore F., 1861. Elogio di Alessandro Humboldt scritto da Filippo Parlatore. Le Monnier, Firenze. Pizzamiglio P., 2015. Ecclesiastici cattolici scienziati. EDUCatt, Milano. Rodolico F., 1969. Per la storia della fitogeografia: lettere di Alessandro von Humboldt a Filippo Parlatore, in «Physis», anno X, 2: 113-118. Roselly De Lourges A.-F., 1856. Christophe Colomb, histoire de sa vie et de ses voyages. Didier & Comp., Paris, 2 voll. Stevens H., 1863. The Humboldt library. A Catalogue of the Library of Alexander von Humboldt, with a Bibliographical and Biographical Memoir. Sotheby’s, London. Stoppani A., 1865. Il Sentimento della natura e la Divina Commedia. Bernardoni, Milano. Stoppani A., 1876. Il Bel paese. Conversazioni sulle bellezze naturali la geologia e la geografia fisica d’Italia. Agnelli, Milano. Zurla P., 1806. Il mappamondo di Fra Mauro Camaldose descritto e illustrato da D. Placido Zurla dello stess’Ordine. s.e., Venezia. ____________________________________________________ DOI: 10.15167/2612-2960/BELS2020.2.1.1208 https://doi.org/10.15167/2612-2960/BELS2020.2.1.1208 
work_ee5n3holgvbzvoey433hlltuw4	----	Holmes, Langdell and Formalism Holmes, Langdell and Formalism PATRICK J. KELLEY Abstract. Both Holmes and Langdell believed that science was the model for all human inquiry and the source of all human progress. Langdell was influenced by an unsophisticated scientism, which led him to attempt to identify the true meaning of legal doctrines. Holmes was influenced by the sophisticated positivism of John Stuart Mill, which led him to attempt to reduce legal rules and doctrines to scientific laws of antecedence and consequence, justified only by their social consequences. Both Holmes and Langdell concluded that judges ought to decide a case by applying the rules established by precedent, without appeal to any special claims of justice and without appeal to any higher-order normative principle. 1. “Formalism” in Late Nineteenth Century Judicial Opinions Karl Llewellyn’s The Common Law Tradition: Deciding Appeals is the locus classicus for the thesis that the common-law courts in the United States changed their opinion-writing style from an early nineteenth-century “grand style,” involving broadly stated policy rationales, to a formal style, involving an established rule or doctrine to be applied in mechanical fashion to the facts (Llewellyn 1960, 62–75). Llewellyn supported this thesis by reporting his reactions to opinions from different decades in the New York, Massachusetts, Pennsylvania and Ohio reports (Llewellyn 1960, 64–157). Llewellyn’s examples and his impressionist methodology seem persua- sive but not conclusive in support of his thesis of a general historical trend in opinion-writing styles over the course of the nineteenth century. Two questions arise. First, was there such a change and, if so, what kind of a change was it? Second, what was it that influenced the judges on these common law courts to change their style of opinion-writing? One ought to approach these questions with a certain degree of scepticism, for “formalist” is a derogatory term employed by early legal realists like Llewellyn to characterize methods of legal reasoning they rejected. We do not find any self-described legal formalists in the nineteenth century. © Blackwell Publishers Ltd 2002, 108 Cowley Road, Oxford OX4 1JF, UK and 350 Main Street, Malden, MA 02148, USA. Ratio Juris. Vol. 15 No. 1 March 2002 (26–51) Nevertheless, my own studies in the history of torts and in the doctrine of proximate cause have convinced me that there was indeed a change in the nature of appellate court opinions in the United States during the nineteenth century (Kelley 1990, 357–61; 1991, 57–82). Broadly described, the change may be said to be this: Earlier in the nineteenth century, courts were more likely to justify their decisions by reference to specific prior cases and to general principles; later in the nineteenth century, courts were more likely to justify their decisions by reference to settled rules or settled doctrines. What can account for this change? At least four developments internal to the law pushed judicial opinions in the same direction: (1) the breakdown of the forms of action and the rise of substantive law, (2) the maturation of each state’s common law as it moved beyond an early foundational period, (3) the attempt to retain a unified common law in the face of the splintering of the common law into many different common laws in the different states, and (4) the influence of nineteenth-century scientism on legal thought. Each development had separate and substantively distinguishable influences on legal scholars, lawyers, and judges. The influences may have overlapped in some, but not necessarily all, cases. I will discuss these developments in an order that roughly reflects both their relative importance and their chronology. The Breakdown of the Forms of Action The traditional way of categorizing and thinking about the common law— the forms of action—broke down. This proceeded rapidly throughout the first half of the nineteenth century in both England and the United States, culminating in the procedural reforms abolishing the forms of action around the middle of the nineteenth century in the New York Field Code and the English Procedural Reform Acts. The common law under the forms of action was basically a law of pleading: procedural law based on formulaic pleadings. The pleading reforms abolished the formulaic pleadings and adopted fact-based pleading. This moved the common law at its core from a law of procedure and pleading formulas toward a substantive law, which led to the flowering of the substantive law treatises, using substantive categories like contract and tort, in the latter half of the nineteenth century. This whole process is well-explained by Milson (1981) and his successor J. H. Baker (1979, 74–82). A. W. B. Simpson (1981, 651–68) has written thoughtfully on the rise of the treatises. In moving from a formulaic law of pleading to a substantive law, legal doctrine obviously becomes more and more important. The change in the nature of judicial opinions toward more reliance on settled doctrines may reflect, in part at least, this sea-change in the very nature of the common law. Holmes, Langdell and Formalism 27 © Blackwell Publishers Ltd 2002. The Maturation of Each State’s Common Law Although we often seem to ignore the fact when we talk about “American Legal History,” what we have is a collection of separate histories of the com- mon law in each of the states. The common law in each state can be said to have started with a foundational period, in which the common law courts of that state did two things. First, under the reception statutes, the courts sorted out which parts of the English law they would adopt and which they would reject. Second, they recognized basic general principles to guide courts in subsequent cases. During this period, the common law in that state could be said to be more open-textured and less certain than it would be later on, when the legal system in that state became more settled. It would make sense that judges in the foundational period would write opinions that were primarily based on general principles, with the explicit or implicit under- standing that they were making basic choices for a relatively open-textured legal system. The Splintering of the Common Law Toward the middle of the nineteenth century, it became obvious that each state was developing its own peculiar common law, and that the unity and coherence of “the common law” was thereby threatened. In practical terms, this became a problem for lawyers who might want to practice in more than one state and for law teachers and law schools who professed to be able to prepare law students from many different states for law practice in the states from which they had come. More importantly, this was a problem for those supporting the nationalist ideal of a united people, sharing common political commitments, a common language, and a common law. These problems led to a drive to identify and retain a core common law applicable for the most part in all the states. One way to promote consistency in the common law over a number of states is to focus primarily on doctrine and avoid arguably peripheral arguments about broader normative justifica- tions. The drive toward a single common law gave a special twist and a special urgency to the treatise movement in the United States. This drive was also expressed in the collections of “Leading Cases,” later replaced by American Law Reports (ALR), and the various “Restatements” of the law. The Rise of Scientism From the middle to the end of the nineteenth century, most educated, sophisticated people were enamored with one form or another of scientism —the belief that science was the model for all human inquiry and the source of all human progress (Sorell 1991). This general trend affected late nineteenth- century writers on the common law. 28 Patrick J. Kelley © Blackwell Publishers Ltd 2002. The effects of scientism on legal thought can be explored most fruitfully in the work of Christopher Columbus Langdell and Oliver Wendell Holmes. In the rest of this paper, I will argue that both were greatly influenced by the prevailing scientism: Langdell by a crude popular understanding of science and Holmes by the highly sophisticated positivism of Auguste Comte. I will further argue that the effect of scientism on both Holmes and Langdell was to emphasize doctrine and to exclude the broader normative principles that common law courts had traditionally invoked to invent, develop, and limit doctrine. 2. The Old Story about Holmes and Langdell You have probably heard the old story about the relationship between Oliver Wendell Holmes, Jr. and Christopher Columbus Langdell. In the story, Langdell was the prime example and most enthusiastic cheerleader for the legal formalism that infected American judges and lawyers in the latter half of the nineteenth century. The formalists banished policy and principle from the law and decided cases by applying technical legal doctrine with syllogistic logic to the facts. In the story, Holmes was the arch-foe of legal formalism, emphasizing the necessary role of public policy in judicial decisionmaking and insisting in his celebrated quote that “the life of the law has not been logic; it has been experience” (Holmes 1963, 5). The most compelling evidence for the truth of the old story is the history of that very quote. The line became famous as part of Holmes’s general critique of legal formalism in the first paragraph of The Common Law but it began life earlier as part of Holmes’s critical review (Holmes 1880, 234) of Langdell’s methodology in the second edition of Langdell’s Cases on the Law of Contracts (Langdell 1879). The conclusion seems obvious: Holmes developed his devastating critique of legal formalism by generalizing his criticism of Langdell’s methodology. That conclusion in turn seems to confirm the story, which pits Holmes the chief anti-formalist against Langdell the archetypal legal formalist. The story is simple and powerful. It has a hero in Holmes and a villain in Langdell. To be sure, since it’s a modern story, the villain is not so much evil as benighted. It has a happy ending: Legal formalism is vanquished and clear-eyed realism prevails. Finally, it has a moral: We should all avoid the sterile formalism of Langdell and his ilk. But is the story true? 3. Holmes on Langdell If we look at other things Holmes wrote about Langdell, the story grows more complicated. Holmes, Langdell and Formalism 29 © Blackwell Publishers Ltd 2002. As an editor of the American Law Review, Holmes published highly favor- able reviews (1871, 1872) for each of the two volumes of the first edition of Langdell’s pathbreaking casebook on contracts, as they came out. Comment- ing on the first volume, Holmes (1871, 540) advised “every student of the law to buy and study the book,” and praised the organization of the case- book, which arranged the cases first according to significant legal doctrines and second, for each doctrine, presenting the leading cases developing that doctrine chronologically and without comment. Holmes (1871, 540) noted that “[t]racing the growth of a doctrine in this way not only fixes it in the mind, but shows its meaning, extent, and limits as nothing else can.” Comment- ing on the second volume, Holmes (1872, 353) again praised the organization of the casebook, focusing this time on the index, which referred to the cases under “the general principles of the law of contracts” instead of the subject matter of the contract (e.g., coal), or the popular name of the particular kind of contract (e.g., charter-party or insurance). The way Langdell organized his casebook was about the only thing to react to, for Langdell provided no commentary on the cases or the principles they stood for. But the analytical organization of the law was a peculiarly important issue in the 1870s, when the law was stuck in the immediate aftermath of the collapse of the forms of action as organizing categories. And Holmes in the early 1870s was primarily concerned with that issue. In his first major article, Holmes (1870) had set himself the task of providing a thorough philosophical arrangement of the whole body of law. Holmes evidently saw as complementary to his project both Langdell’s overall arrange- ment of the law of contracts in terms of legal doctrines and legal principles as subcategories, and Langdell’s chronological organization of leading cases within each subcategory. Holmes and Langdell evidently stood united against the mindless attempts in the currently popular practitioner treatises to organize the law around the different kinds of situations to which the law could be applied or, rather less mindlessly, around the different kinds of contracts as popularly understood. In the second edition of his casebook on contracts, Langdell (1879) expanded his index to include short essays setting forth his analysis of the relevant legal doctrines. There were thus separate essays on Offer, Acceptance, and Consideration, among other doctrines. This essay-index, later published sep- arately as A Summary of the Law of Contracts (Langdell 1880), revealed for the first time Langdell’s substantive theories. In his review of the essay-index, Holmes (1880, 234) criticized Langdell’s purely logical approach to the deter- mination and application of legal doctrine. In the concluding sentence of that criticism, Holmes suggested that Langdell’s purely logical methodology was unscientific: As a branch of anthropology, law is an object of science; the theory of legislation is a scientific study; but the effort to reduce the concrete details of an existing system to 30 Patrick J. Kelley © Blackwell Publishers Ltd 2002. the merely logical consequences of simple postulates is always in danger of becom- ing unscientific, and of leading to a misapprehension of the nature of the problem and the data. (Holmes 1880, 234) Holmes’s review of Landgell’s second edition was not, however, uniformly negative. Holmes’s vigorous critique of Langdell’s methodology was sand- wiched between almost equally vigorous praise both for Langdell’s power- ful doctrinal analysis and for Langdell’s pedagogically helpful organization of contract doctrines. Thus, at the start, Holmes said: No man competent to judge can read a page of [Langdell’s Appendix] without at once recognizing the hand of a great master. Every line is compact of ingenious and original thought … It may be said without exaggeration that there cannot be found in the legal literature of this country, such a tour de force of patient and profound intel- lect working out original theory through a mass of detail, and evolving consistency out of what seemed a chaos of conflicting atoms. (Holmes 1880, 233–4) And, in closing his discussion, Holmes said: [T]he book is published for use at a law school, and … for that purpose dogmatic teaching is a necessity … A professor must start with a system as an arbitrary fact, and the most which can be hoped for is to make the student see how it hangs together, and thus to send him into practice with something more than a rag-bag of details. For this purpose it is believed that Mr. Langdell’s teachings, published and unpublished, have been of unequaled value. (Holmes 1880, 234) The picture of Holmes’s relationship to Langdell that we get from this book review is more subtle than the old story would have it. True, Holmes attacked Langdell’s purely logical methodology as unscientific, but Holmes also praised the originality and power of Langdell’s doctrinal analysis, com- paring Langdell favorably to the more conventional, less original treatise on contracts just published by Sir William Anson (Holmes 1880, 233). Holmes (1880, 234) also praised Langdell for providing his students with a useful guide to the doctrinal structure of the law of contracts. In light of his earlier enthusiastic reviews of Langdell’s work, this review reads like an attempt to correct Langdell’s methodological errors and thereby possibly reclaim a former ally. The same curious mixture of admiration and rejection is evident in Holmes’s comments (1946) on Langdell in a letter to Frederick Pollock dated April 10, 1881. Holmes had mailed a copy of The Common Law to Pollock a little over a month before and had, in the interim, received a letter, now missing, from Pollock. Evidently Pollock had not commented on The Common Law in his letter, probably because he had not yet received it. So in the second paragraph of his letter Holmes went on and on about his book, an effusion evidently triggered by Pollock’s discussion of certain points of contract doctrine either in Pollock’s missing letter or the advance sheets Holmes, Langdell and Formalism 31 © Blackwell Publishers Ltd 2002. Pollock had sent earlier. Holmes (1946, 17) said he had discussed the question of bilateral contract accepted by letter in his Eighth Lecture in The Common Law, as well as “one or two other things of which you speak.” After briefly summarizing his position on acceptance by letter, Holmes went on, without breaking for a new paragraph, to urge Pollock to read Langdell. Here is Holmes (1946, 17) on Langdell to Pollock: “I should like you to see the Appendix to the 2nd ed. of Langdell’s Cases, also published separately in a small book called (I think) Elements of Contract. A more misspent piece of marvelous ingenuity I never read, yet it is most suggestive and instructive.” Holmes (1946, 17) went on in the letter to criticize Langdell’s excessive devo- tion to logic and to note that Langdell’s explanations and reconciliations of the cases “would have astonished the judges who decided them.” But what is truly astonishing is that, in the middle of a discussion of Holmes’s and Pollock’s writing on contracts, Holmes urged Pollock to read Langdell’s essay-index, which he condemns as a “misspent piece of marvellous ingen- uity,” yet praises as “most suggestive and instructive.” 4. Holmes’s Lectures on Contract in The Common Law Holmes’s letter to Pollock and his curious recommendation that Pollock read Langdell points us back to Holmes’s three lectures on contract (Holmes 1963, 195–264) in The Common Law. A careful analysis of those lectures supports another conclusion we might not have expected: The primary target of Holmes’s contract lectures was not Langdell’s doctrinalism but Frederick Pollock’s attempt (1876) to explain the common law in terms of Savigny’s will theory of contract (1848) and Henry Sumner Maine’s (1970, 295–328) theory that the law of contract has evolved from recognizing only formal or objective contracts to recognizing consensual or subjective contracts. Each of Holmes’s three lectures on contract attacked one of Pollock’s central theoretical claims and each lecture developed an alternative theory radically at odds with Pollock’s. Thus, Holmes’s first lecture (1963, 194–226), on the history of the common law of contracts, was a careful, brilliantly argued brief against Pollock’s ap- plication of Maine’s evolutionary thesis to the common law of contract. The primary focus of the lecture was a detailed history of the earliest appearance and subsequent development of consideration in the common law, tending to show that the requirement of consideration had developed internally and was not borrowed from the Roman law causa. This was all a direct attack on Pollock’s speculation (1876, 147–53), based on Maine’s evolutionary theory, that the common-law doctrine of consideration ultimately derived from the Roman law causa, which entered English law first in the equity courts, which were the first to start enforcing informal, consensual contracts. Pollock had carefully labeled his theory as speculation based on what you would expect if Maine’s theory were true (Pollock 1876, 152). Pollock’s theory was, 32 Patrick J. Kelley © Blackwell Publishers Ltd 2002. therefore, on its own terms, a test case to determine whether Maine’s evolution- ary theory applied to the common law. Holmes’s second lecture (1963, 227–40) developed a descriptive theory of the elements of contract in deliberate opposition to Pollock’s theoretical explanation of the formation of a contract based on Savigny’s mutual common- intention version of the will theory of contracts. Pollock’s sophisticated discussion of the requisites for a valid contract (1876, 1–8) began with the generally accepted doctrine that a legal agreement formed by a proposal and an acceptance was necessary for a valid contract and went on to make explicit the seemingly undeniable connection between offer and acceptance and the mutual common-intention will theory expounded by Savigny. In the teeth of case law adopting offer and acceptance as requisites for a valid contract and in the teeth of Pollock’s persuasive argument that offer and acceptance embodied the mutual common-intention form of the will theory, Holmes, in his analysis of the elements of contract, dispensed with offer and acceptance altogether. Instead of offer, acceptance, and consideration as the elements, Holmes has promise and consideration. Although Holmes (1963, 235) defines promise as an “accepted assurance that [an] event … shall come to pass,” it turns out that the assurance is accepted not by the expression of consent but simply by the act of providing the consideration called for by the promisor. Moreover, the test of consideration is also purely external. Con- sideration is what by the terms of the agreement is given and accepted as the motive or inducement of the promise (Holmes 1963, 230). Holmes’s third lecture (1963, 241–64), on void and voidable contracts, was a subtle, somewhat roundabout response to the entire last half of Pollock’s treatise (1876, 356), in which Pollock discussed the doctrines of mutual mis- take, fraud, misrepresentation, coercion, and undue influence as “subjective conditions” for a valid contract (Pollock 1876, 355). Pollock (1876, 356) had again invoked the will theory of contract: If a party’s consent to an agree- ment is not true, full, and free, the contract is not binding on that party. Coercion or undue influence means the consent was not free; mistake, misrepresentation, or fraud means that consent given in ignorance of a material fact was not true or full. Pollock’s thorough, sophisticated analysis seemed to make of these topics a stronghold for the mutual common intention theory. Holmes’s third lecture on contract can be seen as an ingenious response to the challenge posed by Pollock’s analysis of these “subjective condition” doctrines. Holmes shifted the initial focus away from the individual doc- trines. He focused instead on the judicial remedies and categorized Pollock’s “subjective condition” cases as void contracts or voidable contracts. He attempted to show that a contract was void only when one of the objective elements of a contract was missing (Holmes 1963, 241). He attempted to show that a contract was voidable only for failure of an express or an objectively implied condition in the contract (Holmes 1963, 246). Holmes, Langdell and Formalism 33 © Blackwell Publishers Ltd 2002. Throughout his discussion of contract, Holmes persistently attacked Pollock’s three major theoretical positions and turned those attacks into critically important structural elements in each of his three lectures. By contrast, when Holmes attacked Langdell’s positions on acceptance by mail (Holmes 1963, 239–40), conditions precedent and subsequent (Holmes 1963, 247–8), and dependent promises (Holmes 1963, 260–64), those attacks were not central to Holmes’s theoretical arguments. In each instance, Holmes used Langdell’s analysis simply as a starting point against which he developed his own analysis of these subsidiary issues. Moreover, there are notable similarities between some of Langdell’s other discussions and Holmes’s treatments of the same topics. These similarities suggest that Holmes borrowed without attribution the doctrinal insights of Langdell that were consistent with Holmes’s positivism. There are at least four of these similarities. First, Langdell (1880, 129–30) questioned the ap- plicability of Maine’s category of consensual contract to common-law con- tracts whose breach is redressible in assumpsit, for in each case there must be consideration for the contract to be enforceable and consideration is a formal requirement. Holmes (1963, 215) said that “consideration was a form as much as the seal.” Second, Langdell (1880, 2) pointed out that acceptance as an independent element of an enforceable contract is not really important in either unilateral or bilateral contracts, for those contracts are not enforce- able until the consideration called for by the offer is provided, and providing the consideration in and of itself supplies sufficient evidence of acceptance. Holmes (1963, 238) left out acceptance as an essential element of contract because giving consideration counted as evidence of acceptance, and accept- ance without consideration did not make a contract. Third, Langdell (1880, 234–44) relegated the will theory of contract formation to a legal fiction and insisted that the contract was made not by the subjective wills of the parties but by their physical acts. Holmes (1963, 240) insisted that contracts were made by the overt acts of the parties, not their subjective intent. Fourth, in his discussion of consideration, Langdell (1880, 82) argued that detriment to the promisee was sufficient, even without a benefit to the promisor; he argued (1880, 82) that the consideration must be the inducement for the promise only “in contemplation of law,” and need not be the inducement in fact; and he argued (1880, 83) that the initial offer conclusively designates the consideration that was called for. Holmes (1963, 230) defined consideration as what is designated by the parties as the conventional inducement for the promise. Altogether, these similarities suggest that Holmes may have borrowed heavily from Langdell on these four issues. Holmes evidently spoke from his own experience when he wrote to Pollock that Langdell’s summary was “most suggestive and instructive.” 34 Patrick J. Kelley © Blackwell Publishers Ltd 2002. 5. Holmes, Langdell and Legal Science: A Thesis When we take into account Holmes’s other writings relevant to Langdell, then Holmes’s relationship to Langdell seems very complicated indeed. How are we to understand that relationship? My thesis is this. The key to understanding the relationship between Holmes and Langdell lies in their different understandings of legal science, which nevertheless lead them to similar prescriptions for judicial decisionmaking. Although Langdell was fifteen years older than Holmes, they both began publishing for a legal readership around 1870. That was a time when one form or another of scientism was all the rage. Darwin’s Origin of Species was published in 1859 and almost immediately exerted a significant influence. Modern developments, such as railroads, textile mills, and steamships, all attributable to scientific advances, seemed to be transforming everyday life. The study of man and his institutions, long thought to be the province of philosophers, moralists, and political theorists, was invaded by those march- ing under the banner of science: anthropologists, sociologists, and economists. Not surprisingly, serious writers about the law claimed the mantle of science as well. For example, Frederick Pollock, in his treatise on contract (1876, vii), and Christopher Columbus Langdell, in his pioneering Casebook on Contracts (1871, vi–vii), both characterized their work as scientific. Given the popularity of science in general, one might expect that authors with widely differing aims and methodologies would all claim to be doing legal science. 6. Langdell and Unsophisticated Scientism Christopher C. Langdell invented the case study method of teaching law and applied it to his teaching of contracts. The case method was based on Langdell’s belief that “law is a science, and … all the available materials of that science are contained in printed books” (Langdell 1887, 124). Students could learn the law of contracts scientifically, by studying original sources: decided cases that Langdell had selected for his pioneering casebook in contracts. What did Langdell mean when he said that “law is a science”? The answer is not completely clear. Over the last twenty-five years, we have seen vigorous and sophisticated academic debate over Langdell’s legal science.1 Holmes, Langdell and Formalism 35 © Blackwell Publishers Ltd 2002. 1 See: Gilmore 1974, 12–14; 1977, 42–8 (Langdell’s science a simple-minded formalism); Speziale 1980 (contra Gilmore: Langdell’s science empirical, dedicated to formulating working hypo- theses from analysis of original sources); Grey 1983 (contra Gilmore and Speziale: Langdell’s science a curious combination of induction from the cases of principles then used to deduce subsequent conclusions, analogous to John Stuart Mill’s inductive explanation of geometry); Reimann 1992 (Langdell’s science similar to but in important ways different from Kantian formalism of the German pandectists, so Langdell halfway between Kantian formalism and a rigorously empirical, inductive, historicist legal science); LaPiana 1994, 55–78 (Langdell’s science an amalgam of technical legal analysis of cases, a coherent classification of the law based on fundamental but technical substantive doctrines, and a loosely understood Austinian positivism separating law and morality). To answer the question, we must look carefully both at what he said and at what he did. Langdell said precious little about what he meant when he said “law is a science.” He wrote about it first in the Introduction to the first edition of his Casebook on Contracts (Langdell 1870, vi–vii). He talked about it again in his speech celebrating the 250th anniversary of the founding of Harvard University (Langdell 1887, 123–4). From these two sources, we can identify the essential ideas that Langdell thought were entailed by his notion that law was a science. First, law must be studied scientifically, by studying the original sources—the decided cases. Second, law as a science consists of certain fundamental doctrines, which are relatively few in number. Third, those fundamental doctrines grew to their current form slowly, and that growth can be traced through a series of cases. Fourth, an appropriate classi- fication and arrangement of those fundamental legal doctrines would facilitate the scientific study of the law. A private letter from Langdell to Theodore Dwight Woolsey of Yale, recently discovered by William LaPiana in Yale’s manuscript collection (LaPiana 1994, 77), adds an additional element to Langdell’s notion of law as science. Writing about the study of jurisprudence, Langdell expressed his understanding of a distinct line between the study of law as it is and the study of law as it ought to be. He concluded that lawyers and law professors ought only to study the law as it is. Based on the views expressed in this letter, Langdell’s notion of law as a science probably included John Austin’s rigid distinction between law and morality. Since Langdell said so little about what he meant by law as a science, we are forced to look at the details of what Langdell actually did in his Summary of the Law of Contracts (1880) in order to understand what he meant. In the Summary, we can see Langdell at work as a legal scientist. This work followed a consistent pattern. By examining decided cases, Langdell isolated the funda- mental doctrines applied by the courts in contract cases, including the basic requirements of offer, acceptance, and consideration. By careful, critical analysis, Langdell then penetrated to the true meaning of each doctrine. For example, that method led him to the following statement of the true meaning of “offer”: An offer, as an element of a contract, is a proposal to make a promise. It must be made by the person who is to make the promise, and it must be made to the person to whom the promise is to be made. It may be made either by words or by signs, either orally or in writing, and either personally or by a messenger; but in whatever way it is made, it is not in law an offer until it comes to the knowledge of the person to whom it is made. (Langdell 1880, 12) He then used those meanings to elaborate a coherent, logically consistent blueprint for the law—here, the law of contract. Langdell thus seemed to work with the dispassionate objectivity of a scientist: Isolating the true meaning of the doctrinal terms was a matter of 36 Patrick J. Kelley © Blackwell Publishers Ltd 2002. critical analysis; coherently applying those meanings over a broad range of questions called for analytical discrimination and logical consistency; the resulting doctrinal conclusions were reached without injecting any nor- mative views into the analysis. In fact, because the fundamental doctrines themselves were stated conceptually, without reference to any moral or policy base, and the application of those doctrines was determined by criteria of logical coherence, the resulting purified doctrinal structure seemed purely conceptual. It thus offered a self-proclaimed scientist like Langdell the oppor- tunity to be completely objective. And the process of deciding legal issues under Langdell’s theory could then be purely analytical. For example, Langdell recognized that in bilateral contracts the consider- ation for the first promise is a counter-promise by the offeree. From this, Langdell argued purely analytically that notice of acceptance must actually be communicated to the original offerer for a valid bilateral contract: When the contract is to be bilateral, … the offer [still] requires an acceptance and the giving of the consideration to convert it into a binding promise; but as the consider- ation consists of a counter-promise, so the giving of the consideration consists in making this counter-promise. (Langdell 1880, 12) [T]he acceptance of the original offer, in the case of a bilateral contract, must be expressed, i.e., must be made by words or signs; … the reason for this is, that the acceptance contains a counter-offer. Moreover, the reason why the counter-offer makes it necessary that the acceptance should be expressed is, that communication to the offeree is of the essence of every offer. The acceptance, therefore, must be com- municated to the original offerer, and until such communication the contract is not made. (Langdell 1880, 15) Langdell’s legal science, based on the objective meaning of legal doctrines, was radically different from traditional legal reasoning, which focused on the normative rationale for prior decisions. Appeals to higher-order normative principles seemed to be banished from Langdell’s legal science altogether. For example, in defending his position that the effective date of a bilateral con- tract by mail was the date the letter of acceptance comes to the knowledge of the offerer, not the date it was mailed, Langdell recognized that some have argued that “the purposes of substantial justice, and the interests of the con- tracting parties as understood by themselves,” (Langdell 1880, 20) would be served by the date-of-mailing rule. Langdell responded: “The true answer to this argument is, that it is irrelevant”2 (Langdell 1880, 21). Holmes, Langdell and Formalism 37 © Blackwell Publishers Ltd 2002. 2 “Assuming it to be relevant,” Langdell went on to make three arguments for his position, based on the understanding of the parties, substantial justice, and the need for certainty about legal obligations. Langdell’s argument is a model of brevity: “The only cases of real hardship are where there is a miscarriage of the letter of acceptance, and in those cases a hardship to one of the parties is inevitable. Adopting one view, the hardship consists in making one liable on a contract which he is ignorant of having made; adopting the other view, it consists in depriving one of the benefit of a contract which he supposes he has made. Between these two evils the choice would seem to be clear: the former is positive, the latter merely negative; the former Langdell didn’t pause to explain why arguments from substantial justice and the self-understood interests of the parties are irrelevant, but the structure of his analysis here and elsewhere in the Summary suggests the following two reasons. The first reason is this. Langdell had previously established, by critical, scientific analysis of the legal meaning of acceptance in a bilateral contract, that acceptance necessarily contains a counter-offer. He had further estab- lished, by his critical, scientific analysis of the legal meaning of offer, that an offer must actually be communicated, as “communication to the offeree is the essence of every offer” (Langdell 1880, 15). It follows necessarily, then, that the acceptance must actually be communicated to make a bilateral contract. Indeed, according to Langdell, this is so fundamental that the original offeror could not change it by the terms of his offer. If he said the offer would be accepted at the time of posting the acceptance, that “declaration would be wholly inoperative” (Langdell 1880, 20). The second reason is this. Judicial decision based on the objectively dis- coverable meaning of legal doctrines is, for Langdell, the only appropriate way to decide these questions. As Langdell showed, equally persuasive arguments based on “substantial justice and the self-understood interests of the parties” can be made for the opposite position, so there is no objective, disinterested way of using these kinds of arguments to choose between the opposing positions. A judge who accepted one argument over another, then, would simply either be mistaken that one argument is stronger than the other or would be choosing arbitrarily or for some undisclosed reason between two positions equally supportable by “substantial justice” argu- ments. Langdell’s concern for scientific objectivity, therefore, seemed to support a legal analysis that stopped at the level of legal doctrine. We can now better understand Langdell’s notion that law is a science. The legal scientist focuses on the decided cases. The scientist extracts, by the ordinary techniques of legal analysis, the current fundamental legal doc- trines in any particular field of law. The scientist makes no judgments about what the law ought to be, so he separates the fundamental legal doctrines from the normative justifications given by judges and others, and “purifies” those doctrines by technical, objective analysis of their true meaning. This purification is simply a rational determination of what the law is. The sci- entist may then recommend that future cases be decided by logical applica- tion of the purified doctrines because that will simply be an application of the law as it is. 38 Patrick J. Kelley © Blackwell Publishers Ltd 2002. imposes a liability to which no limit can be placed, the latter leaves everything in statu quo. [See Vassar v. Camp, 1 Kern. 441, Cas. on Contr. 110, and compare par. 14.] As to making provision for the contingency of the miscarriage of a letter, this is easy for the person who sends it, while it is practically impossible for the person to whom it is sent. [See Br. & Am. Tel. Co. v. Colson, L.R. 6 Exch. 108, 118, Cas. on Contr. 45, 51, per Bramwell, B.]” (Langdell 1880, 21). It is tempting to criticize Langdell’s legal science as unscientific or inco- herent or both. A number of commentators (Phelps 1892; Tiedeman 1892; Gilmore 1974, 1977; Grey 1983), in addition to Holmes, have succumbed to the temptation. Langdell’s legal science seems incoherent because it is in- ternally inconsistent. The historical contingency of current rules and doctrines recognized by Langdell’s choice of cases illustrating the development of current case law would be erased by courts deciding cases the way Langdell proposed they do, because continued logical application of the true meaning of current doctrine would freeze the law at that stage in its development. Langdell’s methodology seems unscientific for several reasons. Langdell did not include in his base for induction all the decided cases on a particular topic. The subsequent induction of the true rule or the true meaning of a legal doctrine was not a scientific induction at all. It just reflected Langdell’s preconceived notions, which led him to include some cases in the base and to exclude others. Moreover, Langdell on some questions, such as the effect- ive date of acceptance by mail, included cases reaching diametrically differ- ent results. One cannot scientifically derive by induction a single rule from diametrically opposed cases. Even within the set of cases arbitrarily chosen, what Langdell purported to determine scientifically from the cases was not a scientific law, or a generalized description of common characteristics of the set, but a concept—the true meaning of a legal doctrine. Because the purportedly scientifically-determined concept is not itself normative, Langdell did not purport to derive an “ought” from an “is.” But if it was not normative, there was then no apparent reason to apply the concept to decide subsequent cases. Langdell included in the domain of cases for his scientific analysis only those illustrating or developing a particular legal doctrine; he excluded cases that recognize that the doctrine is defeasible when an overriding normative principle applicable to the facts suggests that the ordinary application of the legal concept would be unjust. Langdell thus set up a non-normative conceptual system of law radically at odds with the underlying phenomena. This points to the most fundamental problem with Langdell’s methodology. It was inconsistent with the way common law judges decided cases, then and now. Judges do not seek to discover the true meaning of the legal terms prior judges used in explaining their decisions in prior cases; judges do not, then, try to decide cases before them by applying those legal meanings to achieve a purified doctrinal consistency over a range of cases, regardless of the specific claims of justice by the parties in an individual case. Instead, legal doctrines are created, controlled, and limited by judicial recognition of a set of broader normative principles, each of which may have different weight in different factual situations. None but the most narrowly legalistic judge, insensitive to concerns to do justice in the case before him, would even consider deciding a case simply by applying the legal doctrine without con- sidering whether, in light of broader normative principles, that application would lead to a just result on those facts. Holmes, Langdell and Formalism 39 © Blackwell Publishers Ltd 2002. At first glance, this last critique seems to be what Holmes, Langdell’s first critic, wrote in his review (Holmes 1880) of Langdell’s essay-index. Holmes addressed his criticism “to the ideal of the final methods of legal reasoning which [Langdell’s] Summary seems to disclose.” Holmes characterized Langdell’s ideal in the law as the logical integrity of the legal system. In pur- suing this ideal, Holmes noted (1880, 234), Langdell seemed “less concerned with his postulates than that the conclusions from them hang together.” To support this criticism, Holmes quoted Langdell’s dismissing as irrelevant an argument from substantial justice and the self-understood interests of the contracting parties, discussed above. Holmes went on to argue (1880, 234) that logical consistency in the law is less important in shaping the substance of the law than other influences: “experience,” “human feelings,” “the justice and reasonableness of a decision,” and “history and the nature of human needs.” On its face, then, Holmes’s critique of Langdell’s methodology seems to endorse traditional methods of legal reasoning from higher-order normative principles. That conclusion might be premature, as the following discussion of Holmes’s scientific positivism and his theory of judicial decisionmaking suggests. 7. Holmes and Sophisticated, Scientific Positivism Although Holmes rarely labeled his work “scientific,” a critical analysis of his theories, read against the background of the works he had read, suggests strongly that Holmes’s aim and ultimate accomplishment was to apply the scientific positivism of August Comte and John Stuart Mill to the common law. Neither in The Common Law nor in any of his other articles or speeches does Holmes admit an allegiance to any particular school or tradition. He scrupu- lously followed the advice (Holmes 1953, 20–21) he gave to others not to attach a “fighting tag” to one’s work. We do, however, have one invaluable aid in placing Holmes in the appropriate philosophical context. From 1865 until his death in 1935, Holmes kept a list of books he had read, by year and some- times by month. These book lists survived, and the list for the period from 1865 through 1880 has been published (Little 1954). We have the opportunity, then, to read Holmes’s work against the background of the books he himself had read. By comparing Holmes’s writing with Holmes’s reading, we may be able to trace more precisely the specific influences on Holmes’s thought. Holmes was a prodigious reader; the search for specific influences in the mass of books on his reading list seems a daunting task. Fortunately, three separate indicators suggest that the works of John Stuart Mill appearing on Holmes’s reading list were particularly important to his intellectual development. First, Holmes’s sympathetic and knowledgeable biographer, Mark DeWolfe Howe (1957, 210, 212–17), singled out the period from 1865 to 1867 as critically important for Holmes’s intellectual development, and emphasized the strong influence of John Stuart Mill’s work on Holmes in 40 Patrick J. Kelley © Blackwell Publishers Ltd 2002. that period. Second, significant events in Holmes’s life point in this direction as well. In the summer of 1866 Holmes traveled to England, where he met John Stuart Mill himself (Howe 1957, 223–44). Howe (1957, 208) characterizes this trip as “the pilgrimage of a maturing mind which had already found its tendencies.” Third, the number and weight of Mill’s books appearing on Holmes’s reading list suggest their importance: From 1865 to 1867 Holmes read seven works by John Stuart Mill,3 including his two formidable tech- nical works in philosophy, A System of Logic and An Examination of William Hamilton’s Philosophy. The works of Mill that Holmes read all reflect Mill’s commitment to cer- tain basic tenets of Auguste Comte’s positivism (Simon 1963, 172–201). Mill made clear the extent of his agreement with Comte in his 1865 essay Auguste Comte and Positivism (Mill 1969), which Holmes read in 1865 or 1866 (Little 1954, 171). Mill explicitly approved Comte’s evolutionary theory of the three stages of human thought and Comte’s views on the limitations on human knowledge. A brief review of those basic Comtean positions, as explained by Mill, may thus be helpful. Comte claimed to have discovered an invariable law of three successive stages in the evolution of human thought about phenomena. In the theo- logical mode of thought, phenomena are attributed to the will(s) of living beings, either natural or supernatural. In the metaphysical mode of thought, phenomena are explained by abstract metaphysical entities, such as the “nature” or “efficient cause” of a thing. In the final, positive mode of thought, the futile search for the essential nature and ultimate cause of an event is given up, and phenomena are explained by their relationships to other phenomena. As Mill explained: We know not the essence, nor the real mode of production, of any fact, but only its relation to other facts in the way of succession or of similitude. These relations are constant; that is, always the same in the same circumstances. The constant resem- blances which link phænomena together, and the constant sequences which unite them as antecedent and consequent, are termed their laws. The laws of phænomena are all we know respecting them. (Mill 1969, 265) These laws of phenomena are all men have ever wanted or needed to know, however, since “the knowledge which mankind, even in the earliest ages, chiefly Holmes, Langdell and Formalism 41 © Blackwell Publishers Ltd 2002. 3 The seven works are Considerations on Representative Government; Examination of Sir William Hamilton’s Philosophy; Utilitarianism; Auguste Comte and Positivism; A System of Logic; Principles of Political Economy; and Dissertations and Discussions: Political Philosophical and Historical: See Little 1954, 169, 171, 173–4. In addition, Holmes read extensively in the then current critical commentary on Mill, including David Masson, Recent British Philosophy; John Henry Bridges, The Unity of Comte’s Life and Doctrine: A Reply to Strictures on Comte’s Later Writings Addressed to J.S. Mill; James McCosh, An Examination of Mr. J.S. Mill’s Philosophy; Herbert Spencer, The Test of Truth [1865, Fortnightly Review 1: 531ff.] (discussion of the debate between Hamilton and Mill) (Little 1954, 171–4). Holmes’s reading of Mill was accompanied by extensive reading of other English and American positivists, including George Henry Lewes’s Biographical History of Philosophy and Aristotle, and Chauncey Wright’s devastating review of Herbert Spencer’s work: “The Philosophy of Herbert Spencer” [1865, North American Review 100: 423ff.] (Little, 1954, 170). pursued, being that which they most needed, was foreknowledge … When they sought for the [metaphysical] cause, it was mainly in order to control the effect, or if it was uncontrollable, to foreknow and adapt their conduct to it. Now, all foresight of phænomena, and power over them, depends on knowledge of their sequences ….” (Mill 1969, 292–4) The heavy emphasis on positivism in Holmes’s reading during his formative years yields the following hypothesis: In his own later work in legal theory, Holmes attempted to apply the positivism of Mill and Comte to the law. Reading Holmes’s work in light of Holmes’s early reading seems to confirm that hypothesis. A number of elements in Holmes’s famous theory in The Common Law (Holmes 1963, 34–129) that tort and criminal law liability standards evolved from subjective to objective standards suggest that it was strongly influ- enced by the positivist philosophy of Comte and Mill. Holmes adhered to two commitments in this evolutionary theory that seem to be derived from the positivist insistence on the significance of foreknowledge, based on know- ledge of the scientific laws of antecedence and consequence. These commit- ments were to the external purpose of the law, which operates by the threat of sanctions, giving men incentives to avoid certain acts (Holmes 1963, 42, 88); and to the consequent need for the law to be knowable if it is to be effective in achieving its external purpose (Holmes 1963, 88–90). In addition, Holmes seemed to subscribe to and apply the positivist theory that human thought always progresses through three stages. In his second “Primitive Notions” article (Holmes 1877, 654) preceding The Common Law, Holmes had explicitly characterized the evolution from early liability rules, based on revenge against the causing agent, to later liability rules, based on the attenuated fault of the owner of the causing agent, as a progression from Theological to Metaphysical thinking. Holmes did not explicitly charac- terize the three-stage evolution in liability standards sketched in The Common Law as a progression from Theological to Metaphysical to Positive, but the structure of the theory tracks with these three stages. In the first stage, liability standards reflect a primitive desire for revenge against the causing agent, based on its ascribed evil will (Holmes 1963, 34–5). In the second stage, liability standards are based on an imaginary thing—the moral blameworthiness of the average member of the community (Holmes 1963, 86–8). In the final stage, that general standard becomes specified into fixed, definite and certain rules (Holmes 1963, 88–92, 98–103). Those liability rules are in the form of scientific laws of antecedence and consequence identifying particular behavior which, under particular circumstances, will be followed by particular legal sanctions. Moreover, those liability rules are based on scientific laws about the danger of particular behaviors under particular circumstances, discovered by experience (Holmes 1963, 89, 98–9, 126–9). Consistent with positivist reductive epistemology, Holmes continually reduced morally-freighted terms in the law, such as intent, malice, and 42 Patrick J. Kelley © Blackwell Publishers Ltd 2002. negligence, to descriptions of voluntary action with knowledge of circum- stances enabling a reasonable man to foresee danger (Holmes 1963, 43–7, 104–14). These reductions purge the law of metaphysical notions and relate liability standards to scientific laws of antecedence and consequence. Finally, Holmes’s theory of common law development in Lecture I of The Common Law (Holmes 1963, 5–33) can be seen as thoroughly positivist. If the only things we can know are our experiences of phenomena and the scientific laws of similitude and of antecedence and consequence which we derive from those experiences, it follows that the only basis for a judicial decision we can know must be the consequences of that decision—its legislative policy (Holmes 1963, 31–2). Thus, it follows from the positivist epistemology that, whatever judges think the reason for their decision may be, the only knowable basis for the decision is its legislative policy—its consequences (Holmes 1963, 31–2). Holmes’s last major statement of his legal theory, “The Path of the Law” (Holmes 1897), exhibits in stark form his positivist methodology and com- mitments. The law is reduced to predictions of what courts will do in fact (Holmes 1897, 457); legal duty is reduced to a prediction of certain conse- quences from certain conduct under certain conditions (Holmes 1897, 458). The true ground of any legal decision lies in the consequences of that decision (Holmes 1897, 466–7). The law is progressing toward an ideal, in which the content of the law will be based on rational choices, informed by scientific knowledge of the social consequences of different choices (Holmes 1897, 468–9). The study of legal history shows us the origins of current laws, and in so doing frees us to reconsider the law from the standpoint of its social consequences (Holmes 1897, 469–74). 8. The Problem with Holmes’s Judging After writing The Common Law as a young man, Holmes spent fifty years of his professional life as an appellate court judge. From 1882 to 1902 he served as a justice of the Massachusetts Supreme Judicial Court; from 1902 to 1932 he served as a Justice on the United States Supreme Court. Recently, scholars studying Holmes’s judicial career have been puzzled by the seeming dis- crepancy between Holmes’s apparent theories and his performance as a judge (Grey 1989; Tushnet 1977). Given Holmes’s seemingly radical critique of traditional legal reasoning, his seemingly radical call for explicitly policy- based judicial decision making, and his championing of experience over logic as the basis for judicial decisionmaking, they expected to find that his judicial opinions would be marked by independent, critical, policy-based rejection of precedent, and that his decisions would be based on a sensitive exploration of the human experiences to which the law applied. Instead, they found that Holmes as a common-law judge hardly ever dissented, de- ferred obsequiously to precedent, and was almost obsessively concerned Holmes, Langdell and Formalism 43 © Blackwell Publishers Ltd 2002. with drawing distinct lines between competing strands of precedent. They were disturbed to find in Holmes’s opinions not a sensitive exploration of the full range of human experience but a harsh disregard for human weak- ness and natural human emotion. And they were puzzled that in cases in which the court had to resolve policy questions, Holmes ordinarily refused to make an independent policy choice, deferring instead to the legislature or to public opinion or to precedent. Thus, these two respected scholars concluded that Holmes as a judge simply abandoned his enlightened theory of judicial decisionmaking (Grey 1989; Tushnet 1977). 9. Holmes’s Scientific Theory of Judicial Decision-making A closer look at Holmes’s scientific theory of judicial decision-making elab- orated in The Common Law and “The Path of the Law” may help us decide whether his performance as a judge was consistent with that theory. For Holmes, the theological and metaphysical entities assumed by normative justifications for legal rules are unreal, or at least unknowable. The only scientific justification for a common law decision, therefore, is social policy— the socially beneficial consequences of that decision. Every decision pro- motes some social policy, Holmes thought, whether or not that policy was the conscious reason for the decision (Holmes 1963, 31–2). Paradoxically, then, judges who share the theological or metaphysical confusions of their society may decide wisely for that society precisely because they share its errors. Take, for example, judges in a primitive society who share its belief that inanimate objects have life and will. They may punish an offending tree that fell on the plaintiff only because they believe the tree willed the harm (Holmes 1963, 10–6), but in doing so they unconsciously promote beneficial social policy (Holmes 1963, 34–6). By satisfying the plaintiff’s passion for vengeance, the judges forestall private acts of vengeance that might lead to feuds or violence. By deciding the way the people think they ought to, the judges preserve the effectiveness of the law. Holmes recognized that people were unlikely to follow a rule contrary to the society’s fundamental beliefs. Thus, social policy itself imposes a limit on the progressive development of the law. Judges cannot get too far ahead of their society or the law will lose its effectiveness (Holmes 1963, 36–42). In most cases, this is not a problem, because judges will share the community’s prevailing beliefs and therefore unconsciously adopt rules that preserve the effectiveness of the law. Positivist judges, who have escaped from their society’s metaphysical or theological modes of thought, however, must recognize the social policy of preserving the effectiveness of the law as a limit on their ability to implement other social policies. Holmes thought that the common law may nevertheless improve in a number of ways. First, it may become more effective in achieving the socially 44 Patrick J. Kelley © Blackwell Publishers Ltd 2002. desirable consequences that justify it, whatever those consequences may be. The law must be knowable to be effective, because it operates by threatening actors with legal consequences if they take certain action (Holmes 1963, 42–3). Judges can make the law more effective, then, by making it more clear, definite, and certain. Those subject to the law will know better what legal consequences follow certain actions, and they are then in a better position to bring their conduct into line with the law. Second, the law may improve as the community discards outmoded theo- logical and metaphysical beliefs. When the community no longer believes that trees have life and will, for instance, its judges need no longer punish harm-causing trees. The old rule will either pass away or be fitted out with new policies more congenial to the community’s current beliefs (Holmes 1963, 8–33). Third, judges who realize that all common law rules are based on social policy may consciously improve the law by adopting rules that more effect- ively implement current policies or that implement a new policy preferable to the one underlying the old rules (Holmes 1897, 466–8). These decisions can be made scientifically, however, only after scientific studies showing the consequences of particular rules and comparing the social advantages of different consequences (Holmes 1897, 468–9). 10. Holmes’s Reflections on Judging Holmes’s progressive historicism not only informed his theory of judging, it also defined his predicament as a judge: What should a positivist judge do when his society is still mired in theological and metaphysical modes of thought, and the scientific studies needed to make scientific choices among legal rules are not available? Holmes’s response to this predicament can be seen in his personal reflections on judging, embodied in an article (Holmes 1899) and a speech (Holmes 1962) toward the end of his twenty years on the Massachusetts Supreme Judicial Court. We can determine his personal approach to judging from these reflections, read against the background of his scientific theories embodied in The Common Law and “The Path of Law.” First of all, Holmes thought, the positivist judge ought to adhere strenu- ously to the doctrine of stare decisis,4 as that makes the law more reliable, Holmes, Langdell and Formalism 45 © Blackwell Publishers Ltd 2002. 4 Holmes 1962, 156: “It has seemed to me that certainty is an illusion, that we have few scientific data on which to affirm that one rule rather than another has the sanction of the universe, that we rarely could be sure that one tends more distinctly than its opposite to the survival and welfare of the society where it is practiced, and that the wisest are but blind guides. But we have a great body of law which has at least this sanction that it exists. If one does not affirm that it is intrinsically better than a different body of principles which one could imagine, one can see an advantage which, if not the greatest, at least, is very great—that we know what it is. For this reason I am slow to assent to overruling a decision. Precisely my skepticism, my doubt as to the absolute worth of a large part of the system we administer, or of any other system, makes me very unwilling to increase the doubt as to what the court will do.” certain, and knowable, and hence more effective in achieving its socially bene- ficial consequences, whatever they may be. In interpreting and applying precedent, however, the positivist judge should isolate the social policy behind the prior decision and reason from that to determine its scope; the judge should not reason from the metaphysical or theological justifications given by prior courts.5 Finally, judges can and should make technical decisions establishing a clear line between competing lines of precedent. Line-drawing decisions seem peculiarly apt for making the law more fixed, definite, and certain because a line-drawing decision can determine just how far each of two competing strands of cases extends. Since it clarifies the precise limit of both strands, it seems doubly beneficial (Holmes 1899, 232–3). A judge may sometimes have the opportunity to make a pure policy choice: for example, when an old precedent based on outmoded policy needs to be given a new policy base. But there will rarely be scientific studies that settle the policy question. Holmes (1962, 156) said: “We have few scientific data on which to affirm that one rule rather than another has the sanction of the universe, … we rarely could be sure that one tends more distinctly than its opposite to the survival and welfare of the society where it is practiced ….” The judge ought not express his personal wish, then, but recognize that different portions of society want different things, and adopt “the resultant, as nearly as [he can] guess, of the pressure of the past and the conflicting wills of the present” (Holmes 1962, 156). Holmes recognized that there was no scientific way to choose among different beneficial consequences once and for all, so Holmes never articulated substantive criteria for preferring one set of consequences over another. For Holmes, the “worth” of competing social ends depended only on the intensity of the competing desires for those ends, which varies over time (Holmes 1899, 231). The only scientific way to choose between ends would be to measure the intensity of those competing desires scientifically. Holmes (1899, 242) held out hope that someday this could be done, while recognizing that it was still a distant, hoped-for ideal. The scientific studies of social consequences Holmes recommended in “The Path of the Law” were more immediately feasible, but they would not provide criteria for choosing between two competing social policies. 46 Patrick J. Kelley © Blackwell Publishers Ltd 2002. 5 See Holmes’s criticism of a particular piece of judicial reasoning: “Now here the reasoning starts from the vague generalization Right, and one asks himself at once whether it is definite enough to stand the strain. If the scope of the right is already determined as absolute and irrespective of motive, cadit quaestio, there is nothing to argue about. So if all rights have that scope. But if different rights are of different extent, if they stand on different grounds of policy and have different histories, it does not follow that because one right is absolute, another is— and if you simply say all rights shall be so, that is only a pontifical or imperial way of forbidding discussion” (Holmes 1899, 241). 11. Holmes’s Performance as a Judge Holmes’s performance as a judge seems perfectly consistent with Holmes’s theories. Holmes’s obsession with line drawing and his adherence to pre- cedent are consistent with the positivist injunction to make the law more fixed, definite, and certain, and hence more effective in achieving its social policy. Every legal precedent promotes some social policy, according to Holmes, so even technical legal decisions without reference to specific social policies are perfectly consistent with Holmes’s theory that social policy underlies every common law rule. Holmes’s apparent reluctance to make explicit policy choices and his deference to the policy choices of the legislature and to public opinion also reflect both his positivist commitments and his conclusion that there is no scientific way to establish that one policy is better than another. Holmes as a judge was innovative, however, in three recurring kinds of cases. First, whenever possible, Holmes gave policy-based reasons for accepted rules or doctrines, without changing the rules or doctrines themselves.6 In this, he was evidently attempting to substitute the real, policy based reasons for the theological or metaphysical reasons previously given by judges. Second, even without scientific studies of consequences, Holmes could adopt new common law rules when they were clearly called for by his positivist analysis alone. His analysis in The Common Law, for example, called for the adoption of wholly external standards of liability in tort and criminal law (Holmes 1963, 42–3, 61–2, 86–90, 115–29). Holmes derived this conclusion from the purpose of the law—“to induce external conformity to rule” (Holmes 1963, 42)—and the observation that external or objective standards, in which the personal motives or intentions of the actor are irrelevant, are more effective than subjective standards in inducing external conformity (Holmes 1963, 86–9). Holmes as a theorist needed no scientific studies to establish that conclusion, so Holmes as a judge never hesitated to adopt external or objective liability standards in tort and criminal law.7 Careful study bears this out. My review of all Holmes’s tort and criminal law opinions in the Massachusetts Supreme Judicial Court concluded that Holmes did everything he could to move tort and criminal law in Massachusetts towards completely external liability standards (Kelley 1992, 283–352). Finally, Justice Holmes could apply theorist Holmes’s theory of spe- cification, too, without any additional scientific policy studies.8 That theory was simple. As experience with the danger of certain conduct under certain circumstances accumulates, judges should substitute specific rules of lia- bility for the general negligence standard of danger foreseeable by the Holmes, Langdell and Formalism 47 © Blackwell Publishers Ltd 2002. 6 See, e.g., Rideout v. Knox, 148 Mass. 368 (1889); White v. Duggan, 140 Mass. 18 (1885); Commonwealth v. Peaslee, 177 Mass. 267, 59 N.E. 55 (1901). 7 See, e.g., Commonwealth v. Pierce, 138 Mass. 165 (1884); Davis v. Rich, 180 Mass. 235 (1902); Cotter v. Boston Railroad Co., 180 Mass. 145 (1901). 8 See, e.g., B. & O. Railroad v. Goodman, 275 U.S. 66 (1927); McCarvell v. Sawyer, 173 Mass. 540 (1899); Pinney v. Hall, 156 Mass. 225 (1892); Lorenzo v. Worth, 170 Mass. 596 (1898). ordinary reasonable man (Holmes 1963, 89–98). This process of specification makes the law more definite, fixed, and certain and therefore more effective as a deterrent to dangerous conduct. When the judge is not sure what experi- ence teaches about the danger of this conduct under these circumstances, he should leave the question to the jury, which is likely to have a clearer view of what experience teaches. But after a series of similar jury cases, the judge should embody the consistent jury decisions in a specific rule laid down by the court to resolve similar cases in the future. Even without a series of jury cases, however, the court can announce a specific rule if it understands fully what experience teaches about the danger of certain conduct under certain circumstances. “[W]hen standards of conduct are left fo the jury,” Holmes said (1963, 100–1), “it is a temporary surrender of a judicial function which may be resumed at any moment in any case when the court feels competent to do so.” Even in these last two kinds of innovation, where Holmes as a judge seems to adopt a new rule, Holmes did not believe he was implementing his own view of public policy. Instead, in each kind of case, Holmes no doubt believed he was just taking the next step in the necessary evolution of the law from the metaphysical to the positivist stage. The change in each kind of case was simply in the form of the law, moving to a form that made the law more fixed, definite, and certain and hence more effective at achieving the consequences—the social policy—that already justified the prior law. 12. The Common Core of Legalism in Holmes and Langdell We can see, then, that in their prescriptions for judicial decisionmaking, the theories of Holmes and Langdell converge. The point of convergence is at what we might call extreme legalism: the position that judges ought to decide a current case based on the rules established by past precedent, without ap- peals to special claims of justice in an individual case, and without appeals to any higher-order normative principles beyond or in back of the prior precedent. Holmes arrived at this extreme legalism by the following route. All laws are scientifically reducible to laws of antecedence and consequence: If you do X and Y happens, judges will order that Z be done. Moreover, laws are only justified by their consequences. Law has only practical ends: its social consequences for the community or policy. But there is no scientific basis for choosing among policies, even with scientific studies of the social conse- quences of alternative laws. The judge’s role is not, therefore, to choose among different policies but to root out misguided metaphysical or theological reasoning, relate each law to the social consequences that alone justify it, and make the law more effective in achieving that policy by making the law more clear, definite, and certain, and therefore more effective in influencing human behavior. 48 Patrick J. Kelley © Blackwell Publishers Ltd 2002. Langdell arrived at this extreme legalism by a different route. If law is separate and distinct from morality, any scientific understanding of law must clearly separate the law from normative justifications for the law. The best way to do that is to isolate the true or correct legal meaning of legal doctrines. A scientific judge, then, should decide cases objectively, by logical application of these purified legal doctrines to the facts of the case. This would keep the judge’s own personal moral judgments, which may differ from judge to judge, out of the law. The law will then be more even-handed, predictable, and knowable. For both Holmes and Langdell, then, appeals to justice in the individual case and to higher-order normative principles related to justice were not persuasive. For Holmes, this was because justice was a metaphysical fiction, and an individual case is simply an occasion to set out a rule that will influ- ence human behavior in a certain way in the future. For Langdell, this was because there are always equally plausible arguments about what justice requires in an individual case, there is no scientific way to determine the uniquely just result, and objective, predictable results are achievable if we focus simply on the logical application of purified legal doctrine. For Langdell, then, and to a large extent for Holmes, judicial decision- making in a common-law system is appropriately legalistic. Courts should simply apply pre-existing rules and doctrines—purified by Langdell or reduced by Holmes—to make the legal system predictable, consistent, and knowable. When Holmes lifted his critique of Langdell’s methodology out of his review of Langdell’s second edition and dropped it, without reference to Langdell, into the first lecture of The Common Law, he changed its context so radically that he changed its apparent meaning. In the context of his first lecture, Holmes’s opening lines are an attack on all syllogistic judicial reason- ing from general normative principles and a harbinger of his conclusion in that lecture that what always justifies judicial decisions are the social consequences of those decisions. Those who took this meaning and read it back into Holmes’s critique of Langdell subsequently saw Langdell as a representative of the mythical “formalist” school of legal reasoning they thought was accepted by most late nineteenth-century judges. They did not see Langdell as he was: A philosophically naive, trendy, scientism wannabe9 whose legalistic, “purified doctrine” methodology would have been scorned by all the great judges of the nineteenth century precisely because it failed to account for the ordinary method of judicial reasoning from the ultimate normative principles that shape legal doctrines and limit their application. There is an irony here. The historical success of Holmes’s broadly under- stood transplanted critique of Langdell has swamped Holmes’s apparent narrow critique of Langdell’s methodology. Holmes’s narrow critique seemed Holmes, Langdell and Formalism 49 © Blackwell Publishers Ltd 2002. 9 American colloquialism for one who imitates and thus seems to “want to be” another. to be this: A methodology of purified doctrinal terms collapses into a pur- poseless legalism that ignores judges’ traditional concern for justice in the individual case, based on broader normative postulates. But Holmes’s pro- posed judicial methodology, in which judges would look beyond the individual case only to the social consequences of their decision, was also antithetical to ordinary judicial reasoning from general normative principles. Furthermore, since Holmes’s positivism left him an agnostic as to the relative worth of different consequences, his practical advice to judges, as well as his practice as a judge himself, was to decide cases so as to make the law more fixed, def- inite, and certain, and thus more effective at achieving whatever consequences in fact justified it. So Holmes’s philosophically sophisticated scientism led him, like Langdell, to clarify and purify legal doctrine so that it could be applied objectively, consistently, and predictably. Holmes and Langdell were legal soul mates, differing only in the sophistication with which they understood the trendy scientism of their age. Southern Illinois University School of Law Carbondale, Il 62901-6804 USA email: pkelley@siu.edu References Baker, John Hamilton. 1979. An Introduction to English Legal History. London: Butterworths. Gilmore, Grant. 1974. The Death of Contract. Columbus: Ohio State University Press. ——— . 1977. The Ages of American Law. 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Boston: Supreme Judicial Court Historical Society. Langdell, Christopher C. 1870. A Selection of Cases on the Law of Contracts, Part 1. Boston: Little, Brown & Company. ——— . 1871. A Selection of Cases on the Law of Contracts. Boston: Little, Brown & Company. ——— . 1879. A Selection of Cases on the Law of Contracts, with a Summary of the Topics Covered by the Cases. Boston: Little, Brown & Company. ——— . 1880. A Summary of the Law of Contracts. Boston: Little, Brown and Company. (1st ed. in Langdell 1879.) ——— . 1887. Harvard Celebration Speech. Law Quarterly Review 3: 123–25. LaPiana, William. 1994. Logic and Experience: The Origin of Modern American Legal Education. New York: Oxford University Press. Little, Eleanor, N. 1954. The Early Readings of Justice Oliver Wendell Holmes. Cambridge: Harvard Library Bulletin. Llewellyn, Karl N. 1960. The Common Law Tradition: Deciding Appeals. Boston: Little, Brown & Co. Maine, Henry Sumner. 1970. 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B. 1981. The Rise and Fall of the Legal Treatise. University of Chicago Law Review 48: 632–79. Sorell, Tom. 1991. Scientism: Philosophy and the Infatuation with Science. London: Routledge. Speziale, Marcia. 1980. Langdell’s Concept of Law as Science: The Beginning of Anti- Formalism in American Legal Theory. Vermont Law Review 5: 1–37. Tiedeman, Christopher G. 1892. Methods of Legal Education III. Yale Law Journal 1: 150–8. Tushnet, Mark. 1977. The Logic of Experience: Oliver Wendell Holmes on the Supreme Judicial Court. Virginia Law Review 63: 975–1052. Holmes, Langdell and Formalism 51 © Blackwell Publishers Ltd 2002. 
work_eh2bsqjolvdhrfcjxiwttk7ire	----	Making narrative connections? Exploring how late teens relate their own lives to the historically significant past London Review of Education� DOI:�https://doi.org/10.18546/LRE.15.2.04� Volume�15,�Number�2,�July�2017 Making narrative connections? Exploring how late teens relate their own lives to the historically significant past Elizabeth�Dawes�Duraisingh* Harvard Graduate School of Education Abstract This�paper�reports�on�a�study�that�invited�187�16–18-year-old�students�in�the�United�States� to�draw�diagrams�showing�connections�between�their�own�lives�and�the�past.�Interviews�were� subsequently�held�with�26�study�participants.�The�degree�to�which�students�made�connections� between�their�own�lives�and�the�past,�and�the�various�ways�in�which�they�integrated�personal� and�historical�narratives,�are�discussed,�with�three�examples�explored�in�detail.�The�ways�in� which�interviewed�students�talked�about�their�diagrams�point�to�the�significance�of�individuals’� understandings�of�the�nature�of�historical�knowledge�for�how�they�use�the�past�to�orient�their� own�lives.� Keywords:�historical�consciousness;�historical�understanding;�history�education;�identity History�educators�are�increasingly�interested�in�what�young�people�know�or�think�about�the� past�–�rather�than�what�they�don’t�–�with�the�assumption�that�taking�students’�existing�thinking� into�account�could�enhance�history�education�practices.�Similarly�motivated,�this�research�took� an�open-ended�approach�towards�exploring�young�people’s�historical�consciousness�or�how� they�use�the�past�to�help�orient�their�lives.�Other�papers�in�this�issue�examine�the�ways�in�which� young�people�understand�or�construct�narratives�about�a�collective�or�historically�significant� past.�This�paper�takes�a�somewhat�different�tack:�given�that�individuals�in�their�late�teens�are� developmentally�primed�to�consider�issues�of�identity,�what�kinds�of�strategies�do�they�use�to� connect�their�own�life�stories�or�personal�narratives�to�the�historically�significant�past,�including� but�not�limited�to�national�narratives?�Further,�how�do�they�talk�about�these�narrative�strategies� and�how�might�the�ways�in�which�they�talk�about�them�relate�to�their�understandings�of�the� nature�of�historical�knowledge? This� exploratory� study� involved� 187� 16–18-year-olds� in� four� different� state� schools� in� the�Greater�Boston�area�in�the�United�States;�further�contextual�details�are�provided�below.� Students�drew�diagrams�to�explain�how�the�past�‘helps�explain�who�you�are�and�the�life�you� are� living�or�hope�to�live’,�and�provided�accompanying�written�explanations�(in�an�exercise� adapted�from�Seixas,�1997).�Interviews�were�conducted�with�26�students�about�their�responses.� The�187�diagrams�varied�greatly�in�terms�of�both�form�and�content,�with�approximately�one- fifth�of�diagrams�reflecting�only�students’�personal�experiences.�However,�most�students�did� make�connections�between�their�own�lives�and�the�historically�significant�past,�nearly�always�in� highly�personalized�ways�that�bore�little�resemblance�to�‘official’�history�textbook�narratives.� *� Email:�elizabeth_duraisingh@gse.harvard.edu � ©Copyright�2017�Duraisingh.�This�is�an�Open�Access�article�distributed�under�the�terms�of�the�Creative� Commons�Attribution�Licence,�which�permits�unrestricted�use,�distribution,�and�reproduction�in�any� medium,�provided�the�original�author�and�source�are�credited. London Review of Education� � 175 They�used�various�narrative�strategies:�situating�their�own�life�story�within�a�broader�historical� context;�exploring�the�relationship�between�individuals�and�bigger�historical�processes;�tethering� their�own�life�story�to�the�story�of�a�group�or�community�to�whom�they�felt�they�belonged�(e.g.� a�nation,�a�racial/ethnic�group,�a�religion,�humankind�writ�large);�presenting�their�own�life�as� being�at�the�confluence�of�various�unfolding�historical�narratives;�and/or�exploring�how�the�past� is�helping�to�shape�the�ongoing�story�of�their�own�personal�development. Mapping�out�some�of�the�ways�in�which�individuals�narratively�connect�their�own�stories� to� a� broader� human� past� contributes� to� existing� theory� about� historical� consciousness.� Moreover,�differences�in�the�ways�in�which�young�people�spoke�about�their�diagrams�suggest� that�their�assumptions�about�the�nature�of�historical�knowledge�–�that�is,�their�epistemological� understandings�of�history�–�relate�to� important�differences� in�terms�of�how�they�conceive� of�their�identities�and�lives,�hinting�at�the�potentially�profound�impact�of�the�kind�of�history� education�that�promotes�rigorous�historical�thinking. Below,� relevant� literatures� on� historical� consciousness,� narratives,� identity� and� history� education�are�discussed.�The�study�methods�are�then�outlined.�An�overview�of�the�study�findings� is�provided�before�more�in-depth�discussion�of�three�student�diagrams�and�how�those�students� talked�about�their�diagrams�is�presented.�The�paper�concludes�by�reflecting�on�the�implications� of�the�study’s�findings�and�possible�avenues�for�future�research. Conceptual framework Individual historical consciousness Historical�consciousness is�a�concept�of�growing�interest�to�experts�who�have�pioneered�and� pressed�for�disciplinary�approaches�to�teaching�history�(Ahonen,�2005;�Lee,�2004a;�Seixas,�2004).� Applicable�to�both�individuals�and�communities,�historical�consciousness�is�fundamentally�about� how�as�humans�we�orient�ourselves�in�time�and�relate�our�own�lives�to�the�past�and�future:� what�theorist�Jörn�Rüsen�calls�‘historical�identity’�(1993).�Importantly,�orientation�involves�both� situating�oneself�(where�am�I/we�now?)�and�directing oneself�(where�am�I/we�going?)�within�a� historical�continuum�that�expands�beyond�one’s�personal� life�experience.�For�communities,� historical�consciousness�is�intimately�bound�up�with�collective�memory,�including�the�selection�of� which�public�events�get�commemorated�or�even�remembered,�and�how�the�community’s�origins� are�explained�(Lowenthal,�1996;�Nora,�1996;�Rüsen,�1993).�While�recognizing�that�individuals� are�inseparable�from�the�larger�enterprise�of�collective�memory,�this�study�relates�to�aspects�of� individual�historical�consciousness�–�that�is,�how�young�people�orient�or�make�sense�of�their�own� lives�within�a�historical�continuum.�Rüsen�emphasizes�that�historical�consciousness�is�not�limited� to�‘how�much’�history�individuals�know,�even�though�a�certain�level�of�knowledge�or�‘experience’� is�a�prerequisite:�‘what�is�important�to�discover�in�regard�to�historical�consciousness�is�not�the� extent�of�knowledge�involved,�but�rather�the�framework�and�effective�principles�operative�in� making�sense�of�the�past’�(Rüsen,�1993:�80).�This�study�helps�address�the�need�for�initial,�small- scale,�qualitative�investigations�into�individual�historical�consciousness�(Billman-Machecha�and� Hausen,�2005;�Lee,�2004b;�Seixas,�2005). The role of narratives This� study� assumes� that� we� construct� and� enact� meaning� and� identity� through� discourse,� particularly� through� narratives,� which� lie� at� the� heart� of� how� we� make� sense� of� who� we� are�and�our�relationship�to�the�world�(Bruner,�1990;�Hammack�and�Pilecki,�2012).�Bruner� 176� � Elizabeth Dawes Duraisingh defines�narratives�as�‘acts�of�meaning’�or�cultural�products�through�which�we�construct�our� understanding�of�the�world�–�constructions�that,�according�to�Danto�(1965),�are�necessarily� infused�with�references�to�the�past.�Bruner�contrasts�narratives�with�‘paradigmatic’�or�‘logico- scientific’�thinking,�which�involves�trying�to�identify�events�as�instances�of�an�established�law� (Polkinghorne,�1988).�Bruner�believes�that�there�are�universals�to�be�found�across�narratives,� such�as�a�‘structure�of�committed�time’�with�a�beginning,�middle�and�end�organized�according�to� their�human�relevance�(Bruner,�2005:�26).�Though�bounded�by�human�actions,�stories�typically� generate�‘gists�or�morals’�that�transcend�the�particularities�of�the�narrative�told�and�invite�the� audience�to�judge�the�reasons�behind�individual�actions.�Narratives�can�be�represented�through� a�variety�of�forms,�including�the�diagrams�that�are�analysed�in�this�paper.�Importantly,�Bruner� finds�it�impossible�to�separate�the�thought�that�gave�rise�to�a�narrative�and�the�narrative�itself:� such�a�distinction�is�not�made�in�this�paper. Research�shows�that�narratives�play�a�key�role�in�the�formation�of�national�identity�(Billig,� 1995;� Reicher� and� Hopkins,� 2001)� and� theories� about� political� processes� and� one’s� role� and�agency�within�them�(Andrews,�2007).�Similarly,�theoreticians,�including�Rüsen,�consider� narratives�integral�to�historical�consciousness�(Polkinghorne,�2005;�Rüsen,�1993;�Wertsch,� 2004).�Referring�to�‘the�narrative�competence�of�historical�consciousness’,�Rüsen�posits�that� telling�stories�is�how�individuals�synthesize�different�dimensions�of�time�and�impose�moral� meaning�on�the�past. In�everyday�discourse,�we�rarely�tell�complete�and�coherent�narratives.�Rather,�it�is�through� ‘small�stories’�or�‘narrative�fragments’�that�we�shift�in�and�out�of�different�ways�of�narrative� telling�(Baynham,�2010),�as�reflected�in�the�data�collected�for�this�study.�Hammack�and�Pilecki� (2012)�suggest�that�the�ways�in�which�we�select�or�construct�narratives�are�often�‘saturated�with� emotion’�and�not�always�rational�or�consistent.�As�individuals,�we�necessarily�create�narratives� according�to�the�‘cultural�tools’�available�to�us�(Wertsch,�2002),�including�national�narratives.� The�prevailing�Québécois�narrative,�for�instance,�is�that�of�melancholic�tragedy�(Létourneau� and� Moisan,� 2004),� while� a� progressive� ‘narrative� template’� of� American� exceptionalism� predominates�in�the�United�States�(VanSledright,�2008;�Wertsch,�2004).�Schools�traditionally� play�an�important�role�in�propagating�official�history�narratives;�however,�young�people�also� interact� with� many� other� kinds� of� sources� that� relay� information� about� the� past,� including� popular�films,�news�media,�national�ceremonies�and�rituals,�books,�television�documentaries,� families,� religious� communities,� museums� and� historic� sites� (Barton,� 2001;� Rosenzweig� and� Thelen,�1998;�Wineburg�et al.,�2007).�In�this�study,�the�students�interviewed�referred�to�movies,� historic�sites�and�family�history,�for�instance,�as�well�as�what�they�had�learned�in�school�or�read� about�elsewhere.�That�is,�they�engaged�with�narratives�that�were�culturally�available�to�them,� albeit�in�unique�and�personally�meaningful�ways. Identity For�the�purposes�of�this�study,�‘identity’�is�defined�as�‘the�attempt�to�differentiate�and�integrate�a� sense�of�self�along�different�social�and�personal�dimensions’�(Bamberg,�2011:�6).�A�complex�and� multidimensional�endeavour,�it�invokes�overlapping�sociocultural�categories�including�gender,� race,�ethnicity,�occupation,�class,�nation�state,�religion�and�sexual�orientation.�The�current�study� assumed�that�identity�is�actively�constructed by�the�individual�rather�than�passively�‘owned’�or� ‘received’;� situational� insofar�as� it�develops� in�context�and� is�subject�to�change;�and� shaped by narratives,�as�indicated�above.�Importantly,�the�students’�perception�of�the�researcher�–�an� English-accented,�white�female�of�approximately�forty�years�old,�affiliated�with�a�university�–�as� London Review of Education� � 177 well�as�the�particular�school�contexts�in�which�they�interacted�with�her,�would�have�influenced� the�narratives�they�chose�to�tell,�particularly�during�the�interviews. Developmental�psychologists,�meanwhile,�view�late�adolescence�as�the�pre-eminent�time� in�the�life�cycle�for�explicitly�addressing�issues�of�identity�(Erikson,�1968;�Nakkula�and�Toshalis,� 2006),�as�it�is�a�period�when�young�people�typically�develop�an�integrated�sense�of�self�and�the� capacity�or�cognitive�tools�to�consider�their�lives�in�an�abstract�sense�or�as�an�overall�‘story’� (Damon�and�Hart,�1988;�Harter,�1999;�McAdams,�1993).�Indeed,�emerging�research�suggests� that�developing�the�ability�to�create�autobiographical�and�intergenerational�narratives�is�crucial� for�the�emotional�and�psychological�stability�of�young�people�(Fivush�et al.,�2011;�McLean�et al.,�2010).�Moreover,�at�least�in�contemporary�western�contexts,�questions�concerning�one’s� identity�and�life�purpose�understandably�come�to�the�fore�as�young�people�prepare�to�leave�their� families�and�attain�increased�autonomy.�This�study�chose�to�focus�on�16-�to�18-year-olds�on� the�grounds�that�they�would�be�likely�to�be�both�willing�and�able�to�reflect�on�the�relationship� between�themselves�and�history. Historical knowledge and understanding A� few� quantitative� studies� have� tried� to� measure� young� people’s� attitudes� towards� the� past,�most�notably�that�of�Angvik�and�Von�Borries�(1997).�Meanwhile,�studies�incorporating� qualitative�approaches�have�shown�how�young�people’s�family�or�national�affiliations�affect� the�kinds�of�narratives�they�tell�about�the�past�(Welzer,�2008)�or�their�historical�reasoning� (Goldberg� et al.,� 2008).� Other� studies� have� shown� that� students’� social� and� cultural� environments�impact�how�they�make�meaning�of�their�history�education,�and�that�they�are� far�from�passive�recipients�of�textbook�narratives�(Barton�and�Levstik,�2004;�Goldberg� et al.,�2006;�Rantala,�2011).�Still�others�have�shown�how�students’�interpretations�of�national� history�differ�according�to�their�racial/ethnic�identity�(Almarza,�2001;�Epstein,�1998;�Hawkey� and�Prior,�2011;�Peck,�2010;�Traille,�2007)�and�immigration�status�and�experience�(An,�2009;� Grever et al.,�2008).�While�this�body�of�research�is�informative,�the�focus�in�this�study�was� on�the�ways� in�which�young�people�explicitly�make�connections�between�themselves�and� history.�Other�studies�have�explored�how�young�people�think�about�themselves�as�members� of�a�specific�generation�(Lenz,�2011),�personally�relate�to�school�history�topics�(Barton�and� McCully,�2005),�or�feel�a�sense�of�connectedness�to�the�overall�study�of�history�(Audigier� and�Fink,�2010;�Haeberli,�2005).�However,�these�studies�have�not�focused�on�the�narrative� processes�by�which�individuals�relate�their�own�lives�to�the�past.� Finally,� this� study� draws� on� literature� concerning� young� people’s� historical� thinking,� particularly�with�regard�to�their�thinking�about�the�nature�of�historical�knowledge.�For�example,� a�common�misconception�among�children�is�that�historical�knowledge�is�just�‘there’�and�does� not�need�to�be�constructed�from�historical�sources�(Ashby,�2005;�Lee,�2005;�Wineburg,�2001),� although�they�may�eventually�develop�the�insight�that�historical�accounts�are�contingent�and�must� answer�questions�and�fit�criteria�(Lee�and�Shemilt,�2004).�Borrowing�from�that�work,�this�study� broadly�considered�whether�young�people�talked�about�their�diagrams�(and�other�historical� accounts,�including�narrative�accounts)�as�tentative�interpretations�of�their�relationship�to�the� past�or�as�straightforward,�unambiguous�accounts.�It�is�worth�nothing�that�to�date�there�has�been� a�lack�of�clarity�regarding�the�theoretical�relationship�between�epistemological�understandings�of� history�and�historical�consciousness�(Lee,�2004b),�although�a�recent�paper�points�to�an�integral� relationship�between�the�two,�with�a�sophisticated�(or�‘genetic’)�level�of�historical�consciousness� necessitating�the�development�of�a�‘historiographical�gaze’�(Thorp,�2014). 178� � Elizabeth Dawes Duraisingh This� study� drew,� then,� from� diverse� bodies� of� literature,� some� theoretical� and� some� empirically�grounded.�The�overarching�impetus�was�to�understand�ways�in�which�young�people� relate�their�own�lives�to�the�historically�significant�past.�While�this�study�emphasizes�the�highly� individual�and�context-specific�ways�in�which�young�people�create�or�weave�together�narratives� about�themselves�and�the�past,�it�also�integrates�insights�from�cognitive�research�that�point�to� the�predictable�development�of�more�enduring�epistemological�or�disciplinary�understandings� among�young�people.�These�two�approaches,�while�potentially�incompatible,�can�be�reconciled�if� students�are�seen�as�developing�capacities�for�meaning-making�rather�than�holding�particular�ideas� (Hofer�and�Pintrich,�2002;�Kegan,�1982).�How�students�deploy�their�fundamental�epistemological� understandings�may�vary�from�one�discursive�context�to�another,�but�students�who�have�not� grasped�the�constructed�and�contingent�nature�of�historical�interpretations,�for�instance,�are� never�going�to�construct�narratives�in�ways�that�reflect�that�understanding.� Methods Sample Of�the�four�research�sites,�two�schools�were�situated�in�affluent�suburban�communities,�one�was� in�a�mixed-income�semi-urban�community,�and�one�was�in�a�mixed-income�urban�community.� Table�1�presents�demographic�features�of�the�overall�sample,�as�self-reported�by�students.�The� sample�was�balanced�by�gender�and�was�somewhat�racially/ethnically�diverse;�however,�the� study�was�not�intended�to�be�generalizable�to�some�broader�population,�especially�as�potentially� important� information� was� not� collected� regarding� students’� social/economic� or� religious� backgrounds.�Moreover,�the�study�was�focused�on�the�general�processes�by�which�students�used� the�past�to�make�sense�of�their�lives,�identities�and�values�rather�than�on�the�actual�substantive� connections�that�they�made.�Understandable�differences� in� what�students�talked�about�(e.g.� slavery�and�the�civil�rights�movement�vs�the�Islamic�Revolution�in�Iran)�were�less�important�for� this�study�than�how�they�talked�about�the�past,�or�what�kind�of�epistemological stance they�took� towards�it�(which�were�not�expected�to�be�influenced�by�gender�or�racial/ethnic�background).� By�dint�of�being�enrolled�in�college�preparation�classes�(Honors�or�AP),�these�students� were�relatively�successful�academically�and�likely�to�be�able�to�articulate�their�relationship� to�the�past,�although�information�about�their�grades�or�history�education�was�not�available.� Students�participated�during�class�time�towards�the�end�of�the�school�year�in�a�variety�of� subject�area�contexts�(accounting,�English�literature,�government,�history�and�psychology).� The�subsample�of�the�26�interviewed�students�was�intentionally�diverse,� in�terms�both�of� demographic�characteristics�and�of�their�diagrams�and�written�responses.�With�respect�to� student�work,�variation�was�sought�regarding�(1)�the�number�of�connections�students�made� between�themselves�and�the�past,�(2)�the�relative�sophistication�of�their�reasoning�about�the� nature�of�historical�knowledge�as�indicated�by�a�follow-up�activity�(see�below)�and�(3)�the� uniqueness�or�typicality�of�their�diagrams�relative�to�the�rest�of�the�sample.�However,�it�is� important�to�note�that�for�reasons�of�timing,�the�interview�sample�was�selected�based�on�an� initial�reading�of�the�diagrams�and�other�written�responses�rather�than�on�the�more�thorough� analysis�described�below.�All�interviews�were�fully�transcribed. London Review of Education� � 179 Table 1:�Breakdown�of�sample�(n=187) Number of students in overall sample % of overall sample Number of students interviewed % of students interviewed Gender (n=187) Male 105 56% 14 50% Female 82 44% 14 50% Race/ ethnicity (n=175)* African-American 9 5% 4 14% Asian 24 14% 2 7% Hispanic 3 2% 0 0% Native�American 0 0% 0 0% White� 124 67% 18 64% Mixed/other 14 8% 4 14% Family mobility and language (n=175) At�least�one�foreign�born� parent 74 39% 11 40% Student�has�always�lived� in�current�neighbourhood 111 59% 15 54% Student�has�lived�outside� New�England� 50 27% 5 29% Language�other�than� English�spoken�at�home 56 30% 9 32% *�Demographic�details�were�missing�for�some�of�the�sample. Data collection As�mentioned,�students�were�asked�to�draw�a�diagram�on�a�blank�piece�of�paper�to�show�how� the�past�‘helps�explain�who�you�are�and�the�life�you�are�living�or�hope�to�live’�and�to�then�explain� the�form�and�content�of�their�diagram.�The�idea�was�that�a�concise�diagram�format�would�allow� students�to�construct�an�overview�of�the�ways�in�which�they�thought�about�themselves�in�relation� to�the�past,�although�it�was�usually�unclear�if�this�relationship�was�something�they�had�reflected� on�previously.�The�open-ended�nature�of�the�task�allowed�students�to�approach�it�in�ways�that� were�personally�meaningful�to�them.�Students�typically�spent�approximately�45�minutes�on�the� task.�While�this�paper�focuses�on�the�diagrams,�students�went�on�to�complete�other�activities,� including�one�designed�to�surface�their�epistemological�reasoning�about�the�nature�of�historical� accounts�(adapted�from�Boix�Mansilla,�2001),�which�they�also�discussed�in�their�interviews. Initial coding rounds Students’�diagrams�proved�highly�varied,�posing�a�challenge�for�analysis.�Initial�coding�focused�on� the�content�of�students’�diagrams.�Across�all�the�diagrams,�almost�half�of�the�items�(46�per�cent)� related�to�students’�direct�personal�experiences,�such�as�starting�a�new�school�or�moving�house,� or�features�of�their�everyday�lives,�including�personality�traits,�hobbies�or�tastes.�Only�a�quarter�of� the�items�referred�to�what�might�be�called�the�historical�past:�events�likely�to�feature�in�students’� history�textbooks�and�which�preceded�their�births.�A�further�9�per�cent�of�items�referred�to� ‘historical’�events�occurring�within�the�students’�own�lifetimes�or�contemporaneously,�such�as� the�election�of�Bush�or�Obama�and�the�War�on�Terror;�20�per�cent�of�items�comprised�themes� or�topics�not�tied�to�a�particular�time�or�period,�such�as�immigration,�racism�or�literature. 180� � Elizabeth Dawes Duraisingh The�vague�wording�of�the�task�instructions�–�‘show�how�the�past�helps�explain�who�you�are� and�the�life�you�are�living’�–�meant�that�many�students�legitimately�chose�to�focus�on�their�own� past�as�well�as�or�instead�of�the�historically�significant�past.�Close�to�a�fifth�of�students�(17�per� cent)�included�only events�that�either�they�or�immediate�members�of�their�family�had�personally� experienced,�and/or�aspects�of�their�present-day�lives.�Over�a�third�of�students�(34�per�cent)� included�mostly�or�only�such�items�(‘mostly’�was�defined�as�two-thirds�or�more�of�items).�Over� a�tenth�of�students�(13�per�cent)�included�mostly�or�only�historically�significant�items�in�their� diagrams,�while�close�to�half�(47�per�cent)�combined�different�types�of�items�so�that�no�one�type� dominated.�While�such�statistics�arguably�hint�at�the�relative�sensitivity�of�individual�students�to� the�past,�the�sheer�amount�of�history�that�individuals�chose�to�include�in�their�diagrams�was�not� useful�for�indicating�the�degree�to�which�or�process�by�which�they�were�making�connections� between�their�own�lives�and�the�past.� The�next�round�of�analysis�attempted�to�differentiate�between�students�who�told�stories� to� explain� their� personal� connection� to� the� past� and� those� who� approached� the� question� more� ‘analytically’,� as�per�Bruner’s�distinction�between�narrative�and�paradigmatic� thinking.� However,�given�the�centrality�of�narratives�to�how�we�make�meaning�of�our�lives,�it�proved� more�productive�to�focus�on�the�ways�in�which�students�integrated�personal�and�historical� narratives�in�their�diagrams.�Bruner,�commenting�on�written�texts,�has�stated�that�‘it�is�not�that� narrative�and�paradigmatic�modes�of�discourse�fuse,�for�they�do�not.�It�is,�rather,�that�the�logical� or�paradigmatic�mode�is�brought�to�bear�on�the�task�of�explicating�the�breach�in�the�narrative’� (Bruner,�2005:�94).�This�distinction�played�out�in�this�study�as�follows:�students�typically�drew�a� diagram�containing�narrative�threads�(or�a�single�coherent�narrative)�and�then�wrote�explanatory� or�logical�comments�either�within�or�alongside�the�diagram.�Interviewed�students�retold�or� elaborated�on�these�narratives,�while�also�breaking�out�into�analytic�commentary�on�them. Findings overview: Students’ incorporation of personal and historical narratives into their diagrams Table�2�summarizes�the�ways�in�which�students�combined�personal�and�historically�significant� items�in�their�diagrams,�if�they�did�at�all,�and�the�overall�narrative�effect,�if�any.�The�labels�in� bold�indicate�the�presence�of�what�appeared�to�be�coherent�overarching�narratives�within�the� diagrams�–�be�that�personal�narratives,�historical�narratives,�or�ones�that�brought�these�two� kinds�of�narrative�together.�Personal�narratives�refer�to�stories�about�students’�own�lives�or� those�of�their�immediate�family.�Historical�narratives�involve�the�historically�significant�past,�as� recognized�by�a�relatively�large�group�of�people,�including�historians.�They�could�be�narratives� about�particular�events�or�historical�developments,�such�as�the�struggle�for�women’s�rights�or� the�United�States�gaining�independence�from�Britain,�more�interpretative�sweeps�of�periods�of� history�such�as�the�twentieth�century,�or�even�address�how�history�itself�unfolds. It�is�important�to�note�that�students�were�not�asked�to�produce�coherent�narratives�of�their� relationship�to�the�past�in�their�diagrams:�an�absence�of�a�coherent�narrative�does�not�mean�that� individual�students�were�incapable�of�and/or�resistant�to�producing�them,�just�that�they�did�not� do�so�in�this�context.�Moreover,�since�students�were�given�the�challenging�task�of�simultaneously� thinking�of� items�to�include� and�arranging�those�items�diagrammatically,�some�diagrams�can� be�interpreted�as�an�initial�jotting�down�of�ideas�–�although,�as�Table�2�indicates,�some�of�the� diagrams�that�appeared�to�be�lists�or�brainstorms�effectively�operated�as�narratives�if�there� were�sufficient�thematic�coherence�and�adequate�context�for�the�choice�of�items.�However,� in�the�case�of�students�who�were�not�interviewed,�it�is�impossible�to�know�if�they�intentionally� selected�or�developed�particular�narrative�strategies.�The�most�compelling�diagrams�(a)�included� London Review of Education� � 181 less�than�two-thirds�of�items�related�to�personal�or�family�experiences,�tastes,�interests,�etc.�and� at�least�some�historically�significant�items�and�(b)�integrated�personal�and�historical�narratives.� However,�Table�2�should�be�read�as�a�summary�of�findings�rather�than�as�an�evaluative�schema. Table 2:�A�summary�of�content�type�and�narrative�strategy�in�the�overall�sample�of�diagrams�(n=�168) A.� Diagrams only�include�personal�or�family�experiences,�tastes,�interests,�etc.�(n=31) LIST/BRAINSTORM:�Current�interests,�friends,�family,�values,�influences 20* CHRONOLOGICAL�APPROACH:�Tells�story�of�own�life�and/or�immediate�family Personal narrative 11 B.� Two-thirds�or�more�of�included�items�are�personal�or�family�experiences,�tastes,�interests,�etc.� but�other�kinds�of�items�are�included�(n=29) LIST/BRAINSTORM:�Current�interests,�friends,�family,�etc.�with�history�cited�as�an�interest�or events�or�influences,�including�items�of�broad�historic�or�contemporary�significance 17 CHRONOLOGICAL�APPROACH:�Tells�story�of�own�life:�some�preceding�history�is�included� as�background�and/or broader�contextual�detail�is�included�–�e.g.�contemporary�events�or� developments� Personal narrative with links to the historically significant past 12 C.� Two-thirds�or�more�of�included�items�are�historically�significant�events�(n=24) LIST/BRAINSTORM:�Seemingly�random�connections�or�very�general�rationale�for�including� items;�e.g.�things�that�have�affected�me;�things�I�believe�are�important 13 LIST/BRAINSTORM:�Coherent�theme:�items�collectively�serve�to�link�own�life�story�to�bigger� historical�narrative(s) Personal narrative linked to historical narrative 7 CHRONOLOGICAL�APPROACH:�Chronological�overview�of�history�with�self�at�end�or�as�a� point�on�a�timeline Historical narrative with self inserted 4 D.� Integrated�diagram:�Mixture�of�different�kinds�of�items�(n�=�84) LIST/BRAINSTORM:�Seemingly�random�connections�or�very�general�rationale�for�including� items;�e.g.�things�that�have�affected�me;�things�I�believe�are�important�or�have�learned�from 23 LIST/BRAINSTORM:�Coherent�theme:�items�collectively�serve�to�link�own�life�story�to�bigger� historical�narrative(s)� Personal narrative linked to historical narrative 13 VARIED�FORMS:�Subsumes�personal�narrative�within�that�of�a�group�to�which�he�or�she� belongs�(e.g.�Algerian�Muslims,�Ashkenazi�Jews,�Americans,�human�race) Personal and historical narrative tethered (STUART) 9 BROAD�CHRONOLOGICAL�APPROACH:�Contextualizes�own�or�family�story�within� broader�historical�context;�shows�how�own�story�or�family’s�story�has�been�intertwined�with� historical�events�or�trends Personal narrative contextualized within broader historical narrative (MELVIN) 23 VARIED�FORMS:�Presents�self�as�a�product�and/or�part�of�a�confluence�of�narratives;�may� involve�complex�causal�connections Personal narrative seen as product of historical narrative(s) and/or at confluence of different narratives (JESS) 16 *�Number�of�diagrams�in�sample�fitting�this�category.�Diagrams�that�only�included�general�themes�were� excluded�from�this�analysis. 182� � Elizabeth Dawes Duraisingh Students’ narrative strategies: Melvin, Stuart and Jess While�giving�a�sense�of�the�distribution�of�approaches�within�the�overall�sample,�Table�2�is� necessarily�reductionist�and�fails�to�capture�what�it�looked�like�in�practice�for�particular�students� to�make�narrative�connections�between�their�own�lives�and�the�past.�This�paper�turns�now�to� three�specific�cases�to�provide�more�nuanced�discussion�and�to�show�that�students�connected� themselves�to�the�past�in�highly�individualized�ways.�Melvin,�Stuart�and�Jess�(all�pseudonyms)� were�selected�because�they�created�diagrams�with�mixed�content�but�used�different�narrative� strategies�to�bring�personal�and�historical�narratives�together,�as� indicated� in�Section�D�of� Table�2.�Furthermore,�there�were�interesting�differences�in�the�ways�in�which�they�talked�about� their�diagrams.� In�what�follows,�a�few�impressionistic�details�are�given�about�each�student�to�emphasize�their� individuality�as�well�as�to�convey�the�researcher’s�perspective:�the�details�are�not�necessarily� significant.�Then,�evidence�from�the�students’�diagrams,�their�written�explanations�and�interviews� are�woven�together. Melvin: Historically contextualizing his own life story; exploring the relationship between individuals and bigger historical processes Melvin�was�a�soft-spoken,�affable�student�who�wore�a�baseball�cap�during�his�interview.�He� referred�to�his�Caribbean�heritage�and�large�family�(he�is�the�youngest�of�eight�children),�as�well� as�his�religious�faith.�He�has�travelled�extensively�to�visit�family�in�the�Caribbean�and�Europe�and� has�lived�in�various�Greater�Boston�neighbourhoods.� Melvin’s�diagram,�at�first�glance,�is�structured�in�the�form�of�a�swirling�timeline.�He�starts� with�the�Emancipation�Proclamation�–�the�abolition�of�slavery�at� the�end�of� the�American� Civil�War�–�which�is�presented�as�a�necessary�condition�or�background�enabling�his�personal� story:�‘my�education�level,�my�quality�of�life,�probably�where�I�live,�would�have�been�completely� different’.�However,�his�diagram�does�not�follow�a�strict�chronology�despite�the�arrows�that� connect�the�different�items.�The�end�of�the�timeline�is�only�loosely�structured,�featuring�aspects� of�Melvin’s�life�circumstances,�such�as�where�he�lives,�the�education�he�has�received,�the�travel� he�has�completed,�and�how�these�life�circumstances�have�had�an�impact�on�who�he�is�today.� While�Melvin�incorporates�the�historically�significant�past�into�his�diagram,�his�focus�is�somewhat� tilted�towards�his�personal�life�story. Nonetheless,�Melvin�does�more�than�merely�describe�his�own�life:�he�situates�it�within�a� broader�historical�context.�His�explanatory�notes�centre�on�how�he�came�to�have�excellent�life� prospects�despite�the�challenges�he�perceives�of�being�a�young�black�man�living�in�the�United� States.�Beginning�his�personal�timeline�with�the�Emancipation�Proclamation�and�the�ending�of� the�Jim�Crow�laws�serves�to�acknowledge�his�relative�good�fortune�compared�with�previous� generations;�he�also�connects�his�own�story�to�a�wider�collective�narrative�of�social�progress�and� technological�change,�which�affect�‘pretty�much�everyone�in�my�generation’.�By�only�selecting� ‘things�beyond�his�control’�for�his�diagram,�Melvin�uses�the�diagram�narrative�to�explore�the� relationship�between�individual�lives�or�free�will�and�larger�societal�or�historical�forces.�In�his� interview,�he�also�referred�to�his�siblings,�his�parents’�political�and�religious�views,�and�the� liberal�context�of�Massachusetts�as�influences�beyond�his�control�that�have�helped�to�shape�him,� blurring�the�distinction�between�past�and�present�in�his�bid�to�explore�the�degree�to�which�we� shape�our�own�destinies. London Review of Education� � 183 F ig u re 1 :� M el vi n’ s� di ag ra m 184� � Elizabeth Dawes Duraisingh F ig u re 2 :� St ua rt ’s �d ia gr am London Review of Education� � 185 Stuart: Situating his own life at the confluence of various historical narratives; tethering his own story to the history of humanity Stuart�was�a�boy�of�Italian�American�extraction,�with�spiked�hair,�whose�family�has�lived�in�the� same�semi-urban�neighbourhood�of�Greater�Boston�for�several�generations.�He�joked�around� with�his�peers�in�class�but�became�strikingly�serious�in�the�context�of�the�interview,�speaking�in� a�heartfelt�way�about�his�family�and�his�pride�in�being�American.�He�also�stated�that�history�was� his�favourite�subject. Stuart’s�diagram�was�wide-ranging�in�terms�of�both�theme�and�time�span.�He�picked�the� following�themes:�‘wars�and�battles’,�which�led�up�to�or�at�least�preceded�‘modern�terrorism’;� ‘famous�people’,�with�Jesus�Christ�the�only�named�person;�‘construction�and�factorization’�[sic],� which�traces�broad�technological�developments�in�human�history;�and�‘land�and�the�founders’,� which�broadly�relates�to�the�discovery�and/or�establishment�of�different�empires�or�nation� states.�The�general�chronological�element�to�the�threads�suggests�narratives�unfolding�over� time,�an�impression�reinforced�by�a�comment�made�by�Stuart�in�his�interview: Interviewer:�Obviously�I’ve�asked�you�to�do�this,�but�have�you�thought�about�this�big�picture� before?�Or�was�it�just— Stuart:�I�actually�have.�I�was�just�like�sitting�at�home�and�just�like�thinking�like�why�did�everything� start�and�like�how�it�actually�pushed�itself�into�each�other�and�it�developed�into�everything�and� then�I�came�along�and�I�felt�like�I�was�a�part�of�it,�even�though�I�wasn’t�like�physically�a�part�of�it.� Like�I�thought�I�was�involved�because�of�all�this�happening.� His�metaphoric�language,�which�conveys�a�sense�of�historical�events�sliding�or�piling�into�one� another,�draws�attention�to�his�being�immersed�in�some�bigger�story�concerning�the�whole�of� human�history.� In�his�diagram�Stuart�situates�his�life�at�the�confluence�of�different�narrative�strands�unfolding� in�history;�he�also�tethers�his�personal�story�to�that�of�humankind�writ�large.�That�is,�in�being� asked�to�show�how�his�own�life�connects�to�the�past,�he�elects�to�tell�a�broader�story�of� humanity.�If�we�compare�Stuart’s�diagram�to�that�of�Melvin,�it�is�less�of�an�exploration�of�his� individual�story�and�more�an�expression�about�belonging�to�a�collective�story. Jess: Exploring how the past is helping shape the ongoing story of her own personal development; situating her own life at the confluence of various historical narratives Jess�was�a�girl�with�long�brown�hair,�an�accomplished�gymnast�and�dancer.�She�spoke�of�her� Jewish�ancestry�and�her� family’s� involvement� in�the�LGBT�movement,�as�well�as�her�close� attachment�to�her�local�urban�community,�where�she�has�lived�her�whole�life.�She�articulated� her�words�carefully,�often�pausing�as�if�to�reflect�before�responding�to�questions.� At�first�glance,�Jess’s�diagram�does�not�exhibit�the�kind�of�flow�visible�in�the�previous�two� diagrams.�However,�there�is�a�swirling�dynamic�at�play,�made�evident�by�her�verbal�explanation� of�her�diagram:� So,�at�the�very�centre�of�my�diagram�I�have�just�a�little�kind�of�bubble�that�says�‘me’.�And�I�made�it� a�bubble�because�I�think�I’m�not�all�that�sort�of�well�defined�but�it’s�all�sort�of�just�mush�and�things� just�kind�of�flow�in�and�influence�me.�So�I�have�sort�of�a�circle�around�myself�and�I�have�a�bunch�of� different�sorts�of�movements�and�events�in�history�that�I�think�have�most�influenced�me�such�as� the�environmental�movements�and�environmental�degradation.�The�civil�rights�movements,�the� GLBT�movements,�women’s�rights�movements,�Jewish�history,�Jewish�movements�and�wars�are� sort�of�the�main�events�that�influenced�me�and�then�in�more�of�an�inner�circle�I�have�more�broad� 186� � Elizabeth Dawes Duraisingh topics�such�as�education,�technology,�dancing�and�music�that�have�–�they�all�have�their�own�sort� of�history�and�they�all�have�a�past�that�I�don’t�necessarily�know�as�much�about�in�a�concrete�way� but�um�–�all�of�those�things�influence�me�so�they’re�all�flowing�into�the�centre.�That’s�where�I�am. Figure 3:�Jess’s�diagram In�this�case�her�ongoing�personal�development�arguably�provides�the�narrative�centrepiece�or� unifying�factor.�The�diagram�also�serves�as�an�assertion�of�her�emerging�identity�–�in�terms�of� events�that�have�influenced�her�values�and�sense�of�who�she�is,�as�well�as�her�personal�talents� and�interests.�As�became�evident�in�her�interview,�however,�she�also�situates�herself�as�being�at� the�confluence�of�different�historical�narratives.�For�example,�she�talks�about�being�at�a�certain� moment�in�the�history�of�the�environment,�which�has�been�shaped�by�previous�generations’� actions:�‘my�generation,�we’re�going�to�be�really,�really�dealing�with�that’.�She�talks�about�being� shaped�by�and�inheriting�the�legacy�of�the�women’s�rights�movement,�civil�rights�movement�and� Jewish�history.�With�regard�to�the�gay�rights�movement,�in�which�her�family�has�been�immersed,� she�has�a�sense�of�being�part�of�history�in�the�making:�‘the�movement�is�now. You�know�there’s� been�movements�in�the�past�certainly�but�it’s�like�a�huge�thing�now.’ How students talked about their diagrams: The importance of epistemology The�ways�in�which�students�in�the�study�talked�about�their�diagrams�were�revealing�of�the� potential�relationship�between�their�understanding�of�the�nature�of�historical�knowledge�and� their�individual�historical�consciousness.�In�particular,�there�was�a�contrast�between�students� London Review of Education� � 187 who� presented� their� diagrams� as� contingent,� subjective� interpretations� of� the� relationship� between�their�own�lives�and�the�past,�and�those�who�appeared�to�present�their�diagrams�as� self-evident,�straightforward�representations.� Jess,�for�instance,�talked�from�the�start�about�not�being�‘all�that�well�defined’�as�reflected� by�the�blob�at�the�centre�of�her�diagram.�There�is�a�sense�of�fluidity�or�movement� in�her� diagram�–�as�much�in�terms�of�her�own�interpretation�of�her�own�place�in�history�as�in�events� or�developments�themselves.�Showing�an�awareness�of�the�limitations�of�her�own�knowledge,� she�states�that�she�did�not�want�to�exclude�items�from�her�diagram�simply�because�of�her�own� ignorance. Moreover,�in�talking�about�the�different�elements�of�her�diagram�she�spoke�in�metacognitive� terms�about�the�differences�between�learning�about�Jewish�history�at�the�temple,�where�it�was� framed�as�‘our�history’,�and�at�school,�where�it�was�treated�as�someone�else’s�history.�With� regard�to�the�women’s�rights�movement�she�said: So�women’s�rights’�movements�–�umm�–�my�mom�was�a�pretty�hardcore� feminist�and�I’ve� definitely�inherited�some�of�that�and�I’ve�really�enjoyed,�mostly�this�year�actually�–�I�learned�about� women’s�rights�in�US�History�and�that’s�been�really�interesting,�sort�of�how�that’s�played�out.� And�probably�because�of�my�mother�and�other�adults�and�other�women�that�I’ve�grown�up�with� I’m�like�–�very�conscious�of�that,�that�I�am�a�woman�and�that�other�women�have�done�a�lot�to� get�to�where�I�am�today.�And�there’s�definitely�a�sense�of�pride�for�me.�I�have�always�been�very� sort�of�conscious�of�that�heritage.� Here,�Jess�presents�the�impact�of�the�movement�as�somewhat�inevitable�given�her�mother’s� values.�However,�she�also�refers�explicitly�to�her�enjoyment�and�interest�in�learning�about�this� topic�at�school.�She�expresses�her�sense�of�connection�to�women’s�history�and�her�active�pride� in�it�while�also�providing�an�explanation�for�why�she�feels�connected�to�it,�showing�a�capacity�for� self-reflection�or�metacognition.�It�is�worth�noting,�however,�that�she�did�not�comment�on�the� progressive�template�that�seemed�to�undergird�her�narrative. Stuart,�in�contrast,�presented�his�diagram�in�more�fixed�terms.�When�invited�to�talk�about� it,�he�proceeded�to�list�everything�contained�within�it:� Well,�first�of�all�I�put�the�land�and�the�founders�because�these�are�the�basic�groups�and�people� that�started�everything.�The�people�who�started�Mesopotamia,�Ancient�Thebes,�you�know�like� that.�People�who�were�in�the�Roman�Empire,�all�those�Vikings,�the�famous�explorers,�Christopher� Columbus,�Magellan,�et�cetera�…� In�this�extract�he�is�citing�undisputed�‘facts’:�he�does�not�use�modifying�language�but�instead� states�straightforwardly�what�happened.�When�asked�how�he�knew�about�these�aspects�of� the�past,�he�responded,�‘Most�of�the�stuff�came�from�school.�I�was�just�trying�to�think�what� happened.’�Stuart�expressed�a�great�deal�of�connection�to�the�past,�including,�as�mentioned� earlier,�that�he�felt�part�of�an�ongoing�historical�process.�While�Jess�spoke�with�pride�yet�analytic� detachment�of�her�connection�to�the�women’s�movement,�Stuart�did�not�exhibit�the�capacity�to� talk�in�a�metacognitive�way�about�the�content�or�form�of�his�diagram�–�although�this�does�not� mean�that�he�was�incapable�of�doing�so. In�his�interview,�Stuart�also�talked�about�learning�from�his�grandmother�about�the�past,� including�life�lessons�she�gleaned�from�weathering�the�Great�Depression.�He�referred�to�her� corroborating�what�he�learned�at�school:� And�it’s�cool�because�[my�teacher]�can�teach�me�about�it�at�the�same�time�and�then�she�can� just�tell�me�about�the�stuff.�It’s�really�cool�…�I�like�ask�her�‘Do�you�remember�this?’�…�‘Do�you� remember�bootlegging,�and�stuff�like�that?’�And�she�was�like�‘yea,�I�remember�that’�which�is�cool� because�you�actually�know�what�happened.�You�can�just�talk�to�her�about�it.� 188� � Elizabeth Dawes Duraisingh It� is�notable�that�he�does�not�talk�about�hearing�his�grandmother’s� perspective�about�what� happened;�rather,�he�views�her�as�an�authority�on�history,�presumably�because�he�thinks�she� directly�experienced�what�is�in�his�textbook.� Melvin’s�stance�toward�his�diagram�was�more�tentative,�in�no�small�part�because�he�actually� produced�two�diagrams:�the�first�version�was�a�brainstorm�of�influences�on�his�life,�which�he� thought�conveyed�an�even�spread�of� influences�on�his� life.�However,� in�the�second�version� (featured�in�this�paper)�‘I�tried�to�make�it�in�chronological�order�so�to�speak.�Like,�what�was� inherited,�then�things�that�affected�me�later�on.’�Further,�he�spoke�repeatedly�about�his�particular� life�experiences�affecting�his�perspective�on�the�world�and�on�the�past: You�know�I�wasn’t�brought�up�in�the�same�type�of�environment�that�[my�parents]�were.�I�was� brought�up�in�America,�in�Massachusetts�at�that.�And�I�thought�that�was�something�that�really� affects�you�and�it�affects�how�you�look�at�like�the�international�political�system�and�whatnot�…�I� think�because�my�parents�are�from�overseas�it�definitely�helps�me�look�at�things�on�a�larger�scale.� But,�I�do�definitely�think�in�comparison�to�them�I�look�at�things�from�an�American�perspective.� At�the�same�time,�he�assumes�some�commonality�with�other�people,�such�as�people� from� his�generation�who�are�growing�up�in�a�digital�environment.�In�Melvin’s�case�his�overarching� narrative�is�about the�way�in�which�his�outlook�and�life�prospects�have�been�affected�by�the�past� and�external�forces;�however,�he�is�also�able�to�‘step�outside’�that�narrative�to�reflect�on�the� ways�in�which�his�approach�to�the�task�has�been�influenced�by�those�very�life�experiences�and� family�influences.�Like�Stuart,�he�is�close�to�his�grandmother.�However,�when�he�refers�to�talking� with�her�about�the�past�and�her�life�in�Trinidad,�his�comment�is�about�her�perspective:�‘the� obstacles�of�your�past�definitely�affect�your�point�of�view’.�In�turn,�he�talks�about�her�influence� on�him:�‘I�think�the�stories�that�you’re�told�definitely�affect�the�way�you�think.’ Other�students�made�comments�that�indicated�a�relationship�between�their�awareness�of� the�constructed�nature�of�historical�knowledge�and�the�ways�in�which�they�viewed�their�own� relationship�to�the�past.�They�(1)�acknowledged�their�own�subjectivity�and/or�the�limitations�of� their�perspective�on�their�relationship�to�the�past,�(2)�presented�their�diagrams�and�explanations� as� tentative� and�subject� to�alteration,� and/or� (3)� stepped�outside� themselves� to�reflect� on� their�reactions�to�learning�about�history.�In�fact,�while�Jess�was�the�only�student�who�made� comments�that�covered�all�three�of�these�categories,�few�students�appeared�to�take�the�more� straightforward�view�of�historical�knowledge�apparently�evinced�by�Stuart.�The�fact�that�students� in�the�sample�were�academically�successful,�aged�16–18�and�living�in�a�city�with�a�highly�educated� workforce�and�major�academic�institutions�probably�needs�to�be�taken�into�account�with�regard� to�this�finding. It�is�also�worth�reiterating�that�the�researcher�was�not�a�proverbial�fly�on�the�wall�while� collecting�this�data.�For�example,�Stuart�presented�himself�as�a�good�student�who�liked�history� and�respected�his�elders;�just�prior�to�the�interview�there�was�a�drugs�bust�at�the�school�by� police�and�it�is�possible�he�wanted�to�convey�that�he�was�a�‘decent�kid’.�Melvin�discussed�his� relative�good�fortune�compared�with�other�young�black�men�(including,�implicitly,�others�at� his�school);�in�so�doing�he�was�able�to�communicate�that�he�was�from�a�highly�educated�family� living�in�a�desirable�part�of�town.�Jess,�meanwhile,�positioned�herself�as�a�thoughtful,�politically� informed�student.�While�these�impressions�are�purely�speculative,�they�suggest�that�the�school� context�and�the�perceived�identity�of�the�researcher�–�as�well�as�the�framing�of�the�activity�–� helped�to�shape�what�students�chose�to�share.�However,�recognizing�that�there�is�likely�to�be� some�fluidity�in�terms�of�how�individuals�relate�their�own�lives�to�the�past�does�not�diminish� the�finding�that�the�young�people�in�this�study�used�a�variety�of�narrative�strategies�to�do�so�or� that�the�ways�in�which�they�talked�about�those�strategies�appeared�to�differ�according�to�their� epistemological�understandings. London Review of Education� � 189 Implications In�conjunction�with�the�overall�summary�shown�in�Table�2,�these�three�cases�provide�snapshots� of�different�ways�in�which�young�people�used�narrative�strategies�to�connect�their�own�lives� to�the�past,�as�well�as�differences� in�the�ways� in�which�they�talked�about�those�strategies.� While�this�study�is�highly�exploratory,�these�cases�point�to�the�apparent�diversity�of�ways�in� which�young�people�think�about�themselves�in�relation�to�the�past,�as�well�as�the�significance� of� epistemological� understanding� in� the� construction� of� individual� historical� consciousness.� Of�course,�many�questions�remain.�For�example,�was�the�ability�of� Jess�and�Melvin�to�talk� reflectively�about�their�diagrams�and�their�relationship�to�the�past�an�indication�of�rigorous� historical�understanding�in�a�disciplinary�sense,�or�of�more�generic�critical�or�abstract�thinking� skills?�Further,�how�do�teens’�broad�developmental�trajectories�–�such�as�those�outlined�by� Erikson�(1968)�–�intersect�with�their�historical�understanding?�It�would�be�interesting�to�ask� children�of�different�ages�to�complete�the�diagram�task.�Younger�students�would�presumably� find�it�challenging�to�create�a�narrative�about�their�own�lives� in toto,�as�indeed�some�of�the� students�in�this�study�may�have�done.�Examining�the�potential�links�between�the�development� of�autobiographical�story-telling�skills�and�how�young�people�relate�their�own�lives�to�the�past� could�be�another�productive�line�of�research. Methodologically,�the�study�opens�up�some�interesting�possibilities,�especially�as�the�diagram� activity� invited� students� to� synthesize� their� thinking� about� their� personal� connections� to� the� past�in�a�relatively�open-ended�manner.�The�task�instructions�and/or�analysis�could�be�altered�to� investigate�related�phenomena.�For�example,�how,�if�at�all,�do�students�deal�with�the�idea�that�as� people�they�are�evolving�and�may�have�a�shifting�relationship�to�or�perspective�on�the�past?�To� what�extent�do�they�portray�themselves�as�active�agents�in�their�own�right�rather�than�individuals� subject�to�forces�beyond�their�control?�How�do�differences�among�their�various�‘meta-historical’� understandings,�such�as�their�working�ideas�about�historical�causality,�relate�to�how�they�talk�about� themselves�in�relation�to�the�past?�How�would�they�position�themselves�relative�to�perceived� national�narratives?�While�it�is�impossible�to�prove�a�direct�relationship�from�this�single�study� –�or�the�reasons�behind�such�a�relationship�–�students�who�displayed�an�understanding�of�the� constructed�nature�of�historical�knowledge�also�gave�the�impression�of�being�more�empowered�in� terms�of�talking�about�their�future�and�navigating�their�own�emerging�identities. With�regard�to�practice,�the�range�of�personal�diagrams�produced�by�students�confirms� that�if�teachers�are�looking�to�build�on�their�students’�existing�ideas�and�understandings,�a�‘one� size�fits�all’�approach�is�likely�to�be�misguided�and�non-inclusive,�and�that�national�narratives� are�only�one�kind�of�narrative�to�which�young�people�feel�connected.�This�paper�does�not� advocate�that�young�people�be�invited�to�relate�everything�they�learn�in�history�to�themselves.� However,�offering�open-ended�and�potentially�creative�opportunities�for�them�to�reflect�on�the� connections�they�perceive�between�themselves�and�the�past�is�likely�to�be�engaging,�particularly� for�older�teens�given�their�broader�developmental�need�to�establish�independent�identities.� Furthermore,�such�opportunities�can�actively�build�historical�understanding.�Given�the�sheer� variety�of�diagrams�that�will�almost�certainly�be�produced�within�a�single�classroom,�students� can�learn�a�great�deal�by�looking�at�and�discussing�the�diagrams�of�their�peers�in�ways�that� develop�their�understanding�that�people�have�different�perspectives�on�the�past,�and�that�these� perspectives�are�shaped�at�least�in�part�by�biographical�or�other�contextual�factors.�Looking� at�others’�diagrams�can�open�up�different�possibilities�for�young�people�in�terms�of�how�they� think�about�their�own�relationship�to�the�past�and�give�them�a�new�perspective�on�their�own� identity�and�outlook.�Indeed,�the�power�of�this�approach�can�be�further�enhanced�if�classrooms� are�digitally�connected�to�classrooms�in�other�countries�engaging�in�the�same�activity,�in�part� because�it�allows�prevailing�and�assumed�national�narratives�to�become�visible.� 190� � Elizabeth Dawes Duraisingh While�some�people�would�certainly�resist�the�notion�of�letting�young�people�use�school� history�as�a�venue�for�exploring�or�interpreting�their�own�lives,�identities�and�values,�this�research� sheds�light�on�some�of�the�varied�ways�in�which�young�people�relate�their�own�lives�to�the�past� or�use�it�for�orienting�purposes.�As�Jess�in�particular�demonstrated,�a�sophisticated�understanding� of�the�nature�of�historical�knowledge�can�go�hand�in�hand�with�a�self-awareness�and�even�pride� in�one’s�relationship�to�the�past.�We�arguably�owe�it�to�our�students�to�help�them�think�about� who�they�are�and�the�lives�they�are�living�or�want�to�live�in�our�rapidly�changing�and�ever�more� complex�world.�We�need�to�support�them�to�interpret�the�past�and�to�develop�robust�historical� understandings;�we�also�need�to�support�them�to�interpret�their�own�narratives. Acknowledgements The�author�wishes�to�thank�the�Germanacos�Foundation�for�supporting�the�research�discussed� in�this�paper,�as�well�as�Howard�Gardner,�Helen�Haste,�and�Meira�Levinson�for�providing�guidance� with�the�research.�My�colleagues�Edward�Clapp�and�Shari�Tishman�gave�helpful�feedback�on�early� drafts. Notes on the contributor Elizabeth�Dawes�Duraisingh�is�a�research�associate�and�principal�investigator�at�Project�Zero,� a�research�centre�at�the�Harvard�Graduate�School�of�Education,�where�she�also�serves�as�a� lecturer�on�education.�She�was�previously�a�high�school�history�teacher�for�eight�years,�working� in�both�England�and�Australia. References Ahonen,�S.�(2005)�‘Historical�consciousness:�A�viable�paradigm�for�history�education?’. Journal of Curriculum Studies,�37�(6),�697–707. Almarza,� D.J.� (2001)� ‘Contexts� shaping� minority� language� students’� perceptions� of� American� history’. Journal of Social Studies Research,�25�(2),�4–22. 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Wineburg,�S.,�Mosborg,�S.,�Porat,�D.�and�Duncan,�A.�(2007)�‘Common�belief�and�the�cultural�curriculum:� An�intergenerational�study�of�historical�consciousness’. American Educational Research Journal,�44�(1),� 40–76. London Review of Education� � 193 � Related articles published in the London Review of Education This�paper�was�published� in�a�special� feature�called� ‘Negotiating�the�nation:�Young�people,� national�narratives�and�history�education’. The�articles�in�the�feature�are�as�follows: Angier,� K.� (2017)� ‘In� search� of� historical� consciousness:� An� investigation� into� young� South� Africans’� knowledge�and�understanding�of�“their”�national�histories’.�London Review of Education,�15�(2). Dawes�Duraisingh,�E.�(2017)�‘Making�narrative�connections?�Exploring�how�late�teens�relate�their�own� narratives�to�the�historically�significant�past’.�London Review of Education,�15�(2). Goldberg,�T.�(2017)�‘The�useful�past�in�negotiation:�Adolescents’�use�of�history�in�negotiation�of�inter- group�conflict’.�London Review of Education,�15�(2). Grever,�M.�and�Van�der�Vlies,�T.�(2017)�‘Why�national�narratives�are�perpetuated:�A�literature�review�on� new�insights�from�history�textbook�research’.�London Review of Education,�15�(2). Holmberg,�U.�(2017)�‘“I�was�born�in�the�reign�…”:�Historical�orientation�in�Ugandan�students’�national� narratives’.�London Review of Education,�15�(2). Létourneau,�J.�and�Chapman,�A.�(2017)�‘Editorial�–�Negotiating�the�nation:�Young�people,�national�narratives� and�history�education’. London Review of Education,�15�(2). Lévesque,�S.�(2017)�‘History�as�a�“GPS”:�On�the�uses�of�historical�narrative�for�French�Canadian�students’� life�orientation�and�identity’.�London Review of Education,�15�(2). Olofsson,�H.,�Samuelsson,�J.,�Stolare,�M.�and�Wendell,�J.�(2017)�‘The�Swedes�and�their�history’.�London Review of Education,�15�(2). Sheehan,�M.�and�Davison,�M.�(2017)�‘“We�need�to�remember�they�died�for�us”:�How�young�people�in�New� Zealand�make�meaning�of�war�remembrance�and�commemoration�of�the�First�World�War’.�London Review of Education,�15�(2). Van�Havere,�T.,�Wils,�K.,�Depaepe,�F.,�Verschaffel,�L.�and�Van�Nieuwenhuyse,�K.�(2017)�‘Flemish�students’� historical�reference�knowledge�and�narratives�of�the�Belgian�national�past�at�the�end�of�secondary� education’.�London Review of Education,�15�(2). Wertsch,�J.V.�(2017)�‘Foreword – Negotiating�the�nation:�Young�people,�national�narratives�and�history� education’. London Review of Education,�15�(2). 
work_ejjyeh76mfbszh3xl2rmkerg3m	----	S0022463420000120jed 469..475 Editorial Foreword The Singapore Bicentennial as public history Sir Thomas Stamford Bingley Raffles looms large in the historical consciousness of Singapore. To him is assigned the perspicacity to recognise the island’s strategic loca- tion as a British station and the prescience to make it a free port. The ‘European And Native Merchants of Singapore’ declared inasmuch in their farewell address to Raffles on the occasion of his final departure from Singapore on 5 June 1823: To your unwearied zeal, your vigilance, your comprehensive views, we owe at once the foundation and maintenance of a settlement unparalleled for the liberality of the prin- ciples on which it has been established; principle, the operation of which has converted, in a period short beyond all example, a haunt of pirates into the abode of entereprize (sic), security, and opulence.1 Sir Frank Swettenham echoed much the same sentiments in his British Malaya, first published in 1906: to him [Raffles] we owe the possession of Singapore, the Gate of the Farther East, a naval base of the highest importance, a great commercial centre, and the most prosperous of British Crown Colonies. Indirectly, the foresight which secured Singapore for the British Empire led to the extension of British influence throughout the States of the Malay Peninsula.2 In between these two eulogies was a public discussion among the mercantile commu- nity and the colonial government on how to memorialise Raffles. That public history, as it would be termed today,3 of commemorating Raffles, culminated in celebrations 1 Quoted in Lady Sophia Raffles, Memoir of the life and public services of Sir Thomas Stamford Raffles, repr. (Singapore: Oxford University Press, 1991 [1835]), p. 545. A copy of the address was sent to John Crawfurd to convey to Raffles. Sophia Raffles includes Raffles’ fulsome acknowledgement of the speech (ibid., p. 546). 2 Swettenham repeated his praise of Raffles and his establishment of a British presence on Singapore as the precursor to the expansion of British influence in Malaya (in which Swettenham himself played a significant role) in the reprints and revised edition of British Malaya: An account of the origin and pro- gress of British influence in Malaya (London: George Allen and Unwin, 1948 [1907]), p. 72. 3 The distinction is between what Carl L. Becker termed Mr Everyman as a historian believes about his past as it is relevant to his present, and the academic historian working towards a Rankean wie es eigen- tlich gewesen reconstruction of the past (Becker, Annual Address, American Historical Association, 1931). Oversimplified, the genealogies of these two categories of thinking about the past run, for one, from Ranke to H. Butterfield and G.R. Elton (both Regius Professors of History at Cambridge); and for the other, from Nietzsche to Becker and Hayden White. Journal of Southeast Asian Studies, 50(4), pp 469–475 December 2019. 469 © The National University of Singapore, 2020 doi:10.1017/S0022463420000120 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022463420000120 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022463420000120 https://www.cambridge.org/core of the Centenary of Singapore. A Committee appointed by the colonial government to consider how best to commemorate the centenary recommended that ‘there should be some permanent institution erected by public subscription, supplemented by Government aid, as a memorial of the Centenary’. The Committee reviewed eleven proposals for such an institution, ranging from an art gallery to a university, and recommended ‘that the most memorial is a scheme which will provide for the advancement of the education of the Colony with a view to laying securely the foun- dations upon which a university may in course of time be established’. In making this recommendation, the Committee recalled Raffles’ promotion of education for the locals.4 The outcome of this recommendation was the establishment of Raffles College in 1928, which today has become part of the genealogy of the National University of Singapore. The Centenary of Singapore was otherwise celebrated with a series of events starting with a parade in the morning and ending with fireworks in the evening. Part of the celebrations involved moving the statue of Raffles from the Padang to the forecourt of the Victoria Memorial Hall. The ghost of Raffles was not exorcised with Singapore’s decolonisation. He con- tinued to permeate Singaporean social memories and historical consciousness, linking Singapore’s colonial past to its decolonising present and post-colonial future. Then prime minister Lee Kuan Yew recalled United Nations economic adviser Albert Winsemius recommending in 1962 that he maintain the statue of Raffles, and not dis- pose of it as a colonial relic, because it symbolised all that Singapore stood for and survived on.5 Former deputy prime minister S. Rajaratnam went further. In his trademark pur- ple prose, he declared in a 1984 speech that: After attaining independence in 1965 there was debate as to who should be declared the founding fathers of Singapore. The debate was brought to an abrupt end when the gov- ernment fixed responsibility for this on Sir Stamford Raffles and officially declared him the founder of Singapore. Many of our Third World friends are completely mystified that contrary to usual practice a dyed-in-the-wool British imperialist should have been named the founder of modern Singapore. In fact there were some well-meaning patriots in Singapore who were all for casting the Raffles statue situated in front of Victoria Memorial Hall into what was then the revolting filthy and smelly Singapore River. It was touch and go then whether Raffles ended in our improbable river. To cut a long story short there was a reprieve and Raffles was saved. [ … ] Our decision to name Raffles the founder of Singapore is an example of the proper use of history; the proper approach to the preservation of monuments. [ … ] in 4 Gilbert E. Brooke, ‘The Centenary Day and its celebrations’, in One hundred years of Singapore, Being some account of the capital of the Straits Settlements from its foundation by Sir Stamford Raffles on the 6th February 1818 to the 6th February 1919, ed. William Makpeace, Gilbert E. Brooke and Roland St J. Braddell, repr. (Singapore: Oxford University Press, 1991 [1919]), pp. 570–85. 5 Lee Kuan Yew, From Third World to First: The Singapore Story: 1965–2000 (Singapore: Times Editions, 2000), p. 67. 470 K WA C H O N G G U A N https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022463420000120 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022463420000120 https://www.cambridge.org/core nominating Raffles as the founder of modern Singapore we are accepting a fact of his- tory. To pretend otherwise is to falsify history.6 Raffles has had a more illustrious after-life in the 200 hundred years following his arrival at Singapore than in his short 46-year existence. He has today become a sym- bol of what Singapore is about. How then should the bicentennial of his arrival in Singapore be commemorated? That the colonial public history of how to memorialise Raffles continued into Singapore’s post-colonial public history about why Raffles should continue to be memorialised meant that the bicentennial of Raffles’ arrival could not be blanked out and conveniently forgotten. But Raffles and his arrival in Singapore could not be celebrated as an imperialist icon as he had been in 1919. The public history of how the centenary of Raffles’ arrival in Singapore was cele- brated, however, was forgotten in 2017 (except among readers of the two-volume One hundred years of Singapore) when planning for the bicentennial started. There were more social memories of the sesquicentenary of Raffles’ arrival among the ‘Pioneer’ generation of Singaporeans born after 1945. Some thought it mystifying and odd that a member of the British royalty was invited to be the guest of honour at the fourth National Day celebrations in 1965. But these memories do not form a coherent public history of why Princess Alexandra, a cousin of Queen Elizabeth II, was invited to represent the latter at Singapore’s 1965 National Day celebrations. There is no pub- lic history of why Princess Alexandra was accorded the honour of ceremonially arriv- ing at the City Hall site of the parade after the prime minister and before the president. It was also mystifying why the British anthem was played before the Singapore National Anthem.7 The Singapore Bicentennial Office, specifically set up to plan and implement the bicentennial, had therefore a fragmentary and contradictory public history of how to engage with, and build upon, the centenary and sesquicentenary of Raffles’ arrival in Singapore.8 If the centenary celebrations were an exemplification of then public his- tory perceptions of Raffles as a hero and great man of history, and the sesquicentenary of his arrival commemorated in conjunction with Singapore’s National Day signified an intent to link emerging national identify with some form of remembrance of British rule, then how should the bicentennial be commemorated? Singapore’s approach to the bicentennial was outlined by Prime Minister Lee Hsien Loong at the launch of the Singapore Bicentennial on 28 January 2019 when he declared: Today, we mark a significant anniversary in Singapore’s history. Stamford Raffles did not ‘discover’ Singapore, any more than Christopher Columbus ‘discovered’ America. By the 6 Reprinted in Kwa Chong Guan, ed., S. Rajaratnam on Singapore: From ideas to reality (Singapore: World Scientific; Institute of Defence and Strategic Studies, 2006), p. 252. 7 Ng Paul Seen has delved into the British archives for a reconstruction of the circumstances leading Lee Kuan Yew to invite Princess Alexandra to grace Singapore’s fourth National Day in his ‘Celebrating Singapore’s 150th anniversary on its 4th National Day (9 August 1965)’, Journal of the Malaysian Branch of the Royal Asiatic Society 92, 11 (2019): 57–78. 8 Minister Josephine Teo, co-chair of the Singapore Bicentennial Ministerial Steering Committee, admitted that trying to uncover what happened in 1969 and 1919 ‘turned out to be very difficult’ because the material was sparse, incomplete and in ‘bits and pieces here and there’ (address at Singapore Bicentennial Appreciation Dinner, 22 Jan. 2020). E D I T O R I A L F O R E W O R D 471 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022463420000120 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022463420000120 https://www.cambridge.org/core time Raffles arrived in 1819, Singapore had already had hundreds of years of history. In the 14th century, this area, at the mouth of the Singapore River, was a thriving seaport called Temasek. Around this period, according to the Sejarah Melayu, Sang Nila Utama founded a kingdom here and named it Singapura. When the Europeans came to Southeast Asia in the 16th and 17th centuries, they knew about the island of Singapore. Jacques de Coutre was a Flemish gem trader who knew the region well. Around 1630, two centuries before Stamford Raffles, de Coutre proposed to the King of Spain to build a fortress in Singapore, because of its strategic location. Had the King accepted de Coutre’s proposal, Singapore might have become a Spanish colony, instead of a British one. And it took another 200 years before Raffles landed at a spot near here, and per- suaded the Sultan of Johor to allow the British East India Company to establish a trading post in Singapore. That was a crucial turning point in our history. It set this island on a trajectory leading to where we are today.9 Lee then outlined this historical trajectory which ‘drove us to join Malaysia in 1963 … but … also made us quite different from our neighbours and friends’. Lee emphasised that the Bicentennial is not just remembering Stamford Raffles or William Farquhar, though we should. We are tracing and reflecting upon our longer history, one that stretches back way before 1965. We are acknowledging and appreciating the broader context which shaped and created today’s Singapore. This was our journey, from Singapore to Singaporean. Raffles was in 1919 celebrated as an icon of an empire which had just emerged vic- torious from a Great War, and Singapore, as a jewel of that empire, could look for- ward to a bright future. In 2019 the focus, however, was on Raffles in the longer and broader context of our history ‘which shaped and created today’s Singapore’. This reframing of Raffles in the long cycles and broader regional context of Singapore’s history was possible because archaeological excavations and archival research into early modern European records in the past 30 years has enabled a recon- struction of a history of Singapore before Raffles. Some of this evidence in maps, texts and artefacts for Early Singapore were collated in a 2004 National Museum publica- tion.10 A 2009 text Singapore; A 700-Year History; From Early Emporium to World City by Tan Tai Yong, Derek Heng and the present writer provided the Singapore Bicentennial Office with a convenient summary of the emerging longer history of Singapore which could frame the Bicentennial, including the major immersive multi- media ‘Bicentennial Experience’ exhibition on Fort Canning, which drew some 760,000 visitors during its seven-month run from June to December 2019.11 9 Prime Minister’s Office Singapore, https://www.pmo.gov.sg/Newsroom/PM-Lee-Hsien-Loong-at- the-launch-of-the-Singapore-Bicentennial-Jan-2019 (accessed 10 Feb. 2020). 10 John N. Miksic and Cheryl-Ann Low Mei Gek, eds., Early Singapore, 1300s–1819: Evidence in maps, text and artefacts (Singapore: Singapore History Museum, 2004). 11 Kwa Chong Guan, Derek Heng and Tan Tai Yong’s Singapore: A 700-year history: From early empor- ium to world city was commissioned and published by the National Archives of Singapore in 2009. It was based on the National University of Singapore History Department’s module ‘Evolution of a global city- state’, taught by its three co-authors. The Bicentennial Office supported the three authors, with Peter Borschberg as a fourth co-author, to draft a new (rewritten) edition of their ten-year old text with the 472 K WA C H O N G G U A N https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022463420000120 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use, available at https://www.pmo.gov.sg/Newsroom/PM-Lee-Hsien-Loong-at-the-launch-of-the-Singapore-Bicentennial-Jan-2019 https://www.pmo.gov.sg/Newsroom/PM-Lee-Hsien-Loong-at-the-launch-of-the-Singapore-Bicentennial-Jan-2019 https://www.pmo.gov.sg/Newsroom/PM-Lee-Hsien-Loong-at-the-launch-of-the-Singapore-Bicentennial-Jan-2019 https://www.pmo.gov.sg/Newsroom/PM-Lee-Hsien-Loong-at-the-launch-of-the-Singapore-Bicentennial-Jan-2019 https://www.pmo.gov.sg/Newsroom/PM-Lee-Hsien-Loong-at-the-launch-of-the-Singapore-Bicentennial-Jan-2019 https://www.pmo.gov.sg/Newsroom/PM-Lee-Hsien-Loong-at-the-launch-of-the-Singapore-Bicentennial-Jan-2019 https://www.pmo.gov.sg/Newsroom/PM-Lee-Hsien-Loong-at-the-launch-of-the-Singapore-Bicentennial-Jan-2019 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022463420000120 https://www.cambridge.org/core Singapore’s main museums curated major exhibitions and conferences on the Bicentennial. The Asian Civilisations Museum, in collaboration with the British Museum, presented an exhibition on ‘Raffles in Southeast Asia: Revisiting the Scholar and Statesman’, which attempted a rather nuanced presentation of Raffles as more than a ‘most obedient & faithful humble servant’ of the Hon. Company (as he signed off his official letters and reports), but also a scholar and statesman in his own right.12 The National Museum’s contribution to the Bicentennial was ‘An Old New World: From the East Indies to the Founding of Singapore, 1600– 1819’, an exhibition which reflected on the broader forces at play in the 200 years which preceded and culminated in the establishment of the entrepôt in 1819.13 The National Library showcased its collection of historically significant paper records tra- cing the island’s early development to its establishment as a Crown Colony in 1867.14 All of these exhibitions were in effect exercises in public history, attempting to shift the conventional and dominant public understanding that Singapore history began only with the arrival of Raffles. As an exercise in public history, the Bicentennial Office also had an extensive outreach programme to involve community centres, social clubs and creative arts groups, among others, to organise ground-up events to uncover stories of Singapore’s past. These activities included two theatre productions by Ng Yi-sheng and by Alfian Sa’at and Neo Han Bin, respectively, inves- tigating the marginalised voices of Singapore history. The Journal of Southeast Asian Studies (JSEAS) and the NUS Department of History convened a workshop on ‘Reassessing 1819 in Singapore History’ on 1–2 March 2018 as its contribution to commemorating the Bicentennial. The essays in this special issue of JSEAS are the academic contribution to the public history discus- sion of Raffles and the bicentennial. Nine of the papers presented at the workshop are included in this volume. As expected, Raffles’ ghost haunted the workshop. Was Raffles a Thomas Carlye hero and sincere Great Man whose statue deserves to continue standing on its pedes- tal in front of the Victoria Memorial Hall, or a schemer for colonialism and a villain who should be brushed out of Singapore history?15 Timothy Barnard’s essay recon- structs the process in which Raffles’ name was progressively exalted to become a core element in the Victorian worldview of creating heroes to glorify the empire. ‘Raffles Restitution’ by Ng Yi-Sheng explores how he and his fellow playwrights, poets and other writers have ambivalently responded to 1819, arguing that he and title Seven hundred years: A history of Singapore (Singapore: National Library Board; Marshall Cavendish, 2019). The Bicentennial Experience, https://www.bicentennial.sg/the-bicentennial-experience/ (accessed 10 Feb. 2020). 12 See the exhibition catalogue: Stephen A. Murphy, Naomi Wang and Alexander Green, eds., Raffles in Southeast Asia: Revisiting the scholar and statesman (Singapore: Asian Civilisations Museum; British Museum, 2019). 13 See the exhibition catalogue, Stephanie Yeo, ed., An Old New World: From the East Indies to the founding of Singapore, 1600s–1819 (Singapore: National Museum 2019). 14 The catalogue of the exhibition, National Library Board (NLB), On Paper: Singapore before 1867 (Singapore: NLB, 2019) showcases 28 of the most significant items in the exhibition. 15 The polymarble replica of the statue of Raffles on the bank of the Singapore River was in January 2019 painted over by artist Teng Kai Wei such that it appeared to have merged into the OUB Building in its background. The Bicentennial Office stated that it commissioned this work ‘to arouse curi- osity, maybe some reflection and ultimately, to spark conversations about our history’. E D I T O R I A L F O R E W O R D 473 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022463420000120 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use, available at https://www.bicentennial.sg/the-bicentennial-experience/ https://www.bicentennial.sg/the-bicentennial-experience/ https://www.bicentennial.sg/the-bicentennial-experience/ https://www.bicentennial.sg/the-bicentennial-experience/ https://www.bicentennial.sg/the-bicentennial-experience/ https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022463420000120 https://www.cambridge.org/core his fellow artists have chosen to retell 1819 not as a year of conquest, but as a poly- morphous moment of transformative contact between East and West in which Singaporeans may view themselves not as victims of change, but its agents.16 Another ghost lurking in the corners of the workshop was that of colonialism and its legacy. Was colonialism all about exploitation, and if so, why are we commemor- ating 200 years of colonial exploitation of Singapore? Or, did British imperial rule for Singapore, as Rajaratnam ambiguously declared, have ‘both positive and negative aspects. It was both oppressive and liberationist’? Philip Holden’s essay examines how writers have incorporated these contradictory images of colonialism in their lit- erary works to create new narratives which challenges academic historiography for a new narrative of Singaporean peoplehood. Kelvin Lawrence attempts in his essay a new reading of Munshi Abdullah’s experience of empire, arguing that Abdullah was more a cultural intermediary in a cosmopolitan port-city than a critic of traditional Malay society, as he has usually been read. Singapore’s image as not only a commercial port-city, but an imperial hub as reflected in two ‘tours of the empire’ is examined by Donna Brunero in her contribution to the Workshop. As a group these three essays review and revise public history images of Singapore’s colonial past. Three essays in this issue of JSEAS are substantial contributions to pushing public history awareness of Singapore’s pre-Raffles history, while a further essay by Jayati Bhattacharya increases awareness of the Indian business communities’ part in the growth of the port-city’s colonial trade. Derek Heng analyses what can be inferred about patterns of economic production, material consumption and cultural adoption and assimilation of international products brought into the port from the archaeo- logical record. Peter Borschberg delves into the drafting of Article 12 of the 1824 Anglo-Dutch Treaty in which the Dutch withdrew their objections to Raffles’ estab- lishment of a British Station on Singapore and what they gained from this concession. The late Shah Alam Zaini’s contribution is his long-overdue analysis of what can be inferred from the archaeological record about metal production on issues of power and social control over resources and labour in fourteenth-century Temasek.17 Although not labelled as such, the Singapore Bicentennial was in effect a massive exercise in public history which reached out to engage Singaporeans to review and rethink a foundational event in their national history.18 The workshop convened by JSEAS and the NUS Department of History, which this volume is a product of, brought together academic historians, archivists, archaeologists, museum curators, 16 Ng was one of the three creators of ‘Ayer Hitam: A black history of Singapore’, a lecture-performance exploring the history and influence of the African diaspora in Singapore, staged in January 2018 as a Bicentennial event. 17 Shah Alam Zaini was a pioneer volunteer in the archaeological excavations at Fort Canning in the 1980s before being recruited to join the curatorial staff of the former Singapore History Museum. He went on to do graduate work in archaeology at the University of Michigan and doctoral studies at the University of Hawai‘i on Pyu archaeology. With his sudden and unexpected passing in 2019, Shah Alam will be missed, as much more was expected of him. 18 As it is being practised globally: see for example, Paul Ashton and Alex Trapeznik, eds., What is pub- lic history globally? Working with the past in the present (London: Bloomsbury Academic, 2019), or James B. Gardner and Paul Hamilton, eds., Oxford handbook of public history (Oxford: Oxford University Press, 2017). 474 K WA C H O N G G U A N https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022463420000120 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022463420000120 https://www.cambridge.org/core librarians, cultural theorists and playwrights to discuss the emerging contested public history narratives about Raffles and his role. The legacy of that exercise, as Minister Josephine Teo, as co-chair of the Singapore Bicentennial Ministerial Steering Committee, summed up in her address to the Bicentennial’s Appreciation Dinner on 22 January 2020 was first, the new materials and stories uncovered about Singapore’s past; and second, the immersive and interactive techniques developed to tell these stories. Third, and most important, was an enhanced awareness of Singapore having a much longer seven-hundred-year history; an appreciation of the spirit and values that define the nation-state and its peoples today; and renewed aspir- ation for its future. Kwa Chong Guan Guest Editor E D I T O R I A L F O R E W O R D 475 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022463420000120 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022463420000120 https://www.cambridge.org/core The Singapore Bicentennial as public history 
work_evdbex7w75dvtaevgeyglhrs4a	----	Tobacco and CVD: A Historical Perspective gO G L O B A L H E A R T ª 2 0 1 2 W o r l d H e a r t F e d e r a t i o n ( G e n e v a ) . P u b l i s h e d b y E l s e v i e r L t d . V O L . 7 , N O . 2 , 2 0 1 2 I S S N 2 2 1 1 - 8 1 6 0 D O I : 1 0 . 1 0 1 6 / j . g h e a r t . 2 0 1 2 . 0 3 . 0 0 1 Open access under CC BY-NC-ND license. PINIONE D I T O R I A L V I E W P O I N T Tobacco and CVD: A Historical Perspective Manu Raj Mathur �, Dorairaj Prabhakaran �,§ New Delhi, India Tobacco consumption, in the past few decades has arguably been established as one of the most significant preventable causes of mortality and mor- bidity globally [1]. Recent projections estimate that tobacco kills at least 6 million people globally every year, which is much higher than the combined mortality caused by diseases such as acquired immunodeficiency syndrome, tuberculosis, and ma- laria [2]. The low- and middle-income countries (LMICs) are the worst affected by the tobacco epi- demic [2]. It is estimated that by 2030, more than 80% of the tobacco-related deaths will occur in LMICs [3]. Tobacco use is a leading preventable risk factor of cardiovascular diseases (CVDs) [4]. About 1.62 billion deaths in the year 2000 (1 in every 10 car- diovascular deaths) worldwide were due to smoking tobacco in any form [5]. Approximately one-third of deaths due to tobacco are likely to be attributed to CVDs by the year 2015 [6]. Understanding the historical evolution of tobac- co use and its association with CVDs may stimulate as well as provide important inputs for future tobac- co control and CVD prevention programs and policies. T O B A C C O ’ S J O U R N E Y A C R O S S T H E W O R L D The story of the origin and spread of tobacco goes back thousands of years. The tobacco plant is mostly indigenous to the Americas, where its culti- vation was started by the native Indians in the year 6000 BCE [1]. Tobacco was introduced in Europe in 1492 when Christopher Columbus and his crew returned from their first voyage of the Americas and From the � Public Health Foundation of India, New Delhi, India; �Cen Foundation of India, New Delhi, India; §Centre for Chronic Disease Contro M.R. Mathur (manu.mathur@phfi.org). brought with them tobacco leaves and seeds [7]. From Europe, tobacco spread to other parts of the world in the 16th century. In the early 16th century, tobacco was introduced in the Middle East by Egyptians [8]. Tobacco was introduced in China and Japan between 1530 and 1600, and the Japa- nese army introduced tobacco in Korea in the last decade of the 16th century [7]. During the same period, Portuguese and Spanish traders took tobac- co to Africa during their voyages [7]. The Portu- guese brought tobacco to India in early parts of the 17th century where they used tobacco leaves as barter for spices and textiles [1]. The origin of the word tobacco is contested. Some people believe that it is derived from the Ara- bic word tabaq, which means ‘‘euphoria producing herb.’’ Some experts believe that tobacco comes from the Caribbean word tabaco, which is the name of the pipe from which tobacco was smoked. Some sources refer the origin of this word from the Tabasco state in Mexico [9]. The tobacco plant was botanically named by Swedish botanist Carolus Linnaeus in 1753. He described 2 species of the to- bacco plant: nicotiana rustica and nicotiana tabacum. He named the tobacco plant after French Diplomat Jean Nicot who introduced and popularized tobacco in France as a cure for migraine headaches [1]. Historically, tobacco has been used for several purposes. These varied from time to time and re- gion to region. Tobacco was mainly used by Native Americans for ceremonial purposes. They used to- bacco for smoking, ingesting orally as syrup and chewing [8]. They even consumed tobacco through rectal enemas in a spiritual ritual [8]. In Haiti, to- bacco was used as a medicine for cleaning nasal pas- sages and as an analgesic [1]. In the 16th century, European doctors used to recommend tobacco as tre for Cardiometabolic Risk Reduction in South Asia, Public Health l, Public Health Foundation of India, New Delhi, India. Correspondence: mailto:manu.mathur@phfi.org http://dx.doi.org/10.1016/j.gheart.2012.03.001 http://dx.doi.org/10.1016/j.gheart.2012.03.001 http://creativecommons.org/licenses/by-nc-nd/4.0/ 108 Mathur and Prabhakaran Tobacco and CVD G L O B A L H E A R T , V O L . 7 , N O . 2 , 2 0 1 2 J u l y 2 0 1 2 : 1 0 7 – 1 1 1 a cure for headache, toothache, falling fingernails, lockjaw, halitosis, worms, and cancer [10]. The rec- reational use of tobacco started in the latter half of the 16th century when pipe smoking was popular- ized by Thomas Harriot (on his return from Vir- ginia, where he was sent to explore opportunities in the newly acquired colony) and his friend Sir Walter Raleigh (an English aristocrat, who devel- oped the art of curing tobacco leaves in a way that popularized smoking among the British aristoc- racy) [10]. In the beginning of the 17th century, pipe smoking became popular in the Netherlands and later in the 18th and 19th centuries, it spread across Europe and to the East Asian countries [10]. In India and the Middle East, hookah or water pipe smoking (where tobacco smoke was fil- tered through water to overcome its purported ill effects) was popular among noble and elite classes [11]. Oral and nasal forms of tobacco use became popular in the 18th century [12]. In India, chewing of different flavors of tobacco flakes along with be- tel quid gained popularity especially among wo- men. Women, in those times used to color their lips and mouth red by chewing tobacco with betel quid for makeup. Sniffing tobacco was also widely accepted, which led to an increase in import of to- bacco in India during the Medieval Ages [11]. During the Crimean War, the use of cigarettes started becoming popular [10]. Consumption of cigarettes increased exponentially during World War I and by the end of World War II, cigarette smoking was the most common form of tobacco consumption in developed countries of the world [10]. Cigarette smoking became deeply ingrained in Western society after World War II. Cigarette smoking remains the most popular means of tobac- co consumption worldwide. T O B A C C O C O N S U M P T I O N A N D C V D S : T H E H I S T O R I C A L E V I D E N C E Huchard [13], in his article on diseases of the heart and blood vessels in the year 1893, provided some of the first evidence in scientific literature of a rela- tionship between tobacco consumption and heart diseases. He wrote: ‘‘The (unfavorable) influences of nicotinism on the development of arteriosclero- sis appear to have been demonstrated. And this is not surprising since nicotine produces most often arterial hypertension by vasoconstriction’’ [13]. Since the early 20th century, several physicians and researchers have implicated tobacco in increas- ing the risk of several CVDs. Erb [14], in 1904, found that almost 60% of patients with intermit- tent claudication were heavy smokers. Buerger [15], in 1908, reported a rare form of peripheral vascular disease that leads to progressive inflamma- tion and thrombosis of arteries and veins of hand and feet and occurs mostly in smokers. This disease was later named after him as Buerger’s disease (thromboangiitis obliterans). His findings were sup- ported by Weber [16], Brown and Allen [17], and Allen et al. [18]. Hoffman was among the first to show a statistical association between smoking and coronary thrombosis [19]. English et al. [20] compared 1,000 smokers matched with 1,000 non- smokers in 1940 to show possible association be- tween smoking and CVDs and concluded that there is ‘‘a more profound effect on younger indi- viduals owing to the existence of relatively normal cardiovascular systems, influencing perhaps the ear- lier development of coronary disease.’’ The first U.S. Surgeon General’s Report on Smoking and Health [21] provided evidence of higher death rates among male smokers from coronary artery disease in comparison to male nonsmokers. This evidence was further strengthened in the U.S. Sur- geon General’s Report of 1971, which stated that smoking not only is an independent risk factor, but also combines with other risk factors to affect cardiovascular health [22]. Hammond [23], in his study on approximately 1 million people, showed an increased mortality from coronary heart disease among cigarette smokers. The seminal British physicians cohort study by Doll and Hill [24] showed that male cigarette- smoking doctors had a higher risk of death from coronary thrombosis (ratio of death rate for male smokers in comparison to lifelong nonsmokers un- der 70 years of age was 2:1 and for men over 70 years was 5:1). The Framingham Heart Study, which is one of the most important cohort studies for CVD epidemiology, in the year 1960, provided evidence that cigarette smoking increased the risk of heart disease. The same cohort, in 1988, provided conclu- sive evidence for cigarette smoking being among the most important factors to cause stroke [25]. A N T I T O B A C C O M O V E M E N T S A N D S E N T I M E N T S : A H I S T O R I C A L S N A P S H O T During the time when tobacco consumption was gaining popularity worldwide the health, societal, and economic harms of tobacco were also being highlighted by various scientists, thinkers, and philosophers. G L O B A L H E A R T , V O L . 7 , N O . 2 , 2 0 1 2 J u l y 2 0 1 2 : 1 0 7 – 1 1 1 Mathur and Prabhakaran Tobacco and CVD 109 In the year 1604, King James I of England wrote ‘‘A Counterblaste to Tobacco’’ in which he said: ‘‘Smoking is a custom loathsome to the eye, hateful to the nose, harmful to the brain, dangerous to the lungs, and in the black, stinking fume there- of nearest resembling the horrible Stygian smoke of the pit that is bottomless’’ [10]. The first recorded legislation against tobacco use dates back to 1575, when the Roman Catholic Church passed a law prohibiting smoking in any place of worship throughout the Spanish colonies [26]. In the year 1624, Pope Urban VIII issued a worldwide ban on using or carrying tobacco prod- ucts in any place of worship. He also issued a warn- ing to excommunicate those who violated this law. However, the law was abolished by Pope Benedict XIII in the late 17th century who was a tobacco user himself [10]. From the 17th century onward, different rulers and religious leaders worldwide have imposed some form of tobacco ban in their regimes or among their followers. Sultan Murad IV of the Ottoman Empire and Czar Michael of Russia issued smok- ing bans with violators being treated as criminals and issued a death penalty [7]. In 1891, Iranians, led by the Grand Ayatollah Haji Mirza Hasan Shirazi, banned the trading of any tobacco prod- ucts [7]. Cigarette trading was also banned for about 26 years in North Dakota [8]. In the latter half of the 20th century, the tobacco industry be- came so powerful financially that it started provid- ing financial assistance to the governments and so all the existing smoking bans either were made very weak or were abolished. One of the most successful antitobacco cam- paigns took place in Germany and was led by the Association against Tobacco for the protection of Non Smokers (Deutscher Tabakgegnerverein zum Schutze fur Nichtraucher), which was formed in 1904 and rose to strength with the National Socia- list Party of Germany coming to power in the 1930s [27]. Hitler was strongly against the use of tobacco and made education about the harmful ef- fects of tobacco compulsory in junior schools [27]. The government printed pamphlets warning peo- ple against the harms of tobacco and doctors orga- nized mass meetings to raise public awareness. Smoking by uniformed police officers, persons un- der 18 years of age, and in buses and trains was banned [27]. However, this campaign against to- bacco was short-lived and had very little impact on the per capita consumption of cigarettes, which rose year after year. E V O L U T I O N O F A N T I T O B A C C O P O L I C I E S I N T H E M O D E R N E R A Countries worldwide are now cognizant of the harmful effects of tobacco, and the ever-powerful tobacco industry, and are trying to put in place comprehensive legislations to reduce tobacco consumption as well as to prevent people who are nonsmokers from secondhand smoke. California was the first U.S. state to pass legislation against smoking in public places, including bars and res- taurants, in the year 1998 [28]. This was followed by South Africa, where a law was passed making public places smoke-free but this law exempted bars and restaurants from being smoke-free [28]. Ireland was the first country to adopt a comprehen- sive smoking ban in indoor workplaces, including bars, pubs, and restaurants. This ban was strength- ened by overwhelming public support and was seen as a societal revolution in a country known for its smoke-filled pubs and restaurants [29]. New Zealand followed the Irish model of a smoking ban and became smoke-free in 2005 [28]. Soon after, a number of European countries such as Scotland, England, France, and Italy adopted the legislation of smoke-free indoor areas [8]. The smoking bans were not confined to European na- tions and recently Canada and Australia have also put into effect legislations banning smoking in in- door areas [8]. India has also been a world leader in tobacco control. On October 2, 2008, the Indian government implemented Section 4 of the Ciga- rette and Other Tobacco Products Act (COTPA), which banned smoking any form of tobacco in public places [30]. Although COTPA-2003 is comprehensive tobacco control legislation, its implementation has been weak. This has been mainly due to lack of human resources at the state level, lack of infrastructure and training to imple- ment the law, and absence of a strategic media and communication plan to effectively disseminate the law. Given the importance of tobacco control in reducing CVD burden, the World Health Organi- zation (WHO) proposed one of the most rapidly embraced treaties of all time known as the Frame- work Convention of Tobacco Control (FCTC). This was the world’s first global public health treaty, and it came into effect on February 27, 2005 (Table 1). To date, 170 of the 192 members of WHO have signed and ratified this treaty [8]. The treaty has been immensely successful in mobilizing resources; it has rallied hundreds of Table 1. Main provisions of WHO Framework Convention of Tobacco Control Regulation of: Contents, packaging, and labeling of tobacco products Sales to and by minors Illicit trade in tobacco products Smoking at work and public places Reduction in consumer demand by: Price and tax measures Comprehensive ban on tobacco advertising, promotion, and sponsorship Education, training, raising public awareness, and assistance with quitting Protection of environment and health of tobacco workers: Support for economically viable alternative activities Research, surveillance, and exchange of information Support for legislative action to deal with liability Adapted, with permission, from Shafey et al. [8]. WHO, World Health Organization. 110 Mathur and Prabhakaran Tobacco and CVD G L O B A L H E A R T , V O L . 7 , N O . 2 , 2 0 1 2 J u l y 2 0 1 2 : 1 0 7 – 1 1 1 nongovernmental organizations, encouraged gov- ernment action, and raised tobacco control aware- ness. In a further addition to its tobacco-control efforts, WHO published the MPOWER report on the global tobacco epidemic in 2008. The MPOWER report elaborates 6 strategies, recom- mended by WHO as an entry point to implemen- tation of the WHO FCTC (Table 2) [31]. The report is evidence-based and is shown to reduce the burden of noncommunicable diseases in coun- tries that have successfully implemented them. The MPOWER report serves as a guiding docu- ment especially for LMICs to help them plan effective tobacco-control strategies. The historical evidence stated herein clearly points to the fact that leaders across the globe be- lieved that by formulating and effectively imple- menting antismoking policies, health can be promoted and premature losses of lives and disabil- ity can be prevented. Table 2. WHO MPOWER strategy Monitor tobacco use and prevention policies Protect people from tobacco smoke Offer help to quit tobacco use Warn about the dangers of tobacco Enforce bans on tobacco advertising, promotion, and sponsorship Raise taxes on tobacco Adapted, with permission, from WHO [31]. WHO, World Health Organization. C O N C L U S I O N S The use of tobacco became omnipresent worldwide within 150 years of Columbus being introduced to it in the Americas. Tobacco was successfully able to percolate through the social and cultural texture of communities in many continents. This assimilation was facilitated by the perceived medicinal attributes of tobacco and its ability to suppress hunger and provide mild intoxication. Myriad varieties of to- bacco products and methods in which they can be used made it popular across the globe. Although there were many controversies against tobacco use and concerns about health effects of its use, the demand for tobacco kept expanding across the world and provided the thrust to tobacco compa- nies for increased production of tobacco. The ready revenues that strengthened the economy along with ease of export and employment opportunities pro- vided a rationale for bringing tobacco to center stage both as a crop and as an industry. It is this amalgamation of international linkages, strong eco- nomic forces, and distinctive sociocultural influ- ences that make the history of tobacco a very fascinating study. Learning from history, a concerted action is needed at the international, the national, and the community levels to curb the tobacco epidemic, which in turn will help in reducing the burden of CVDs. The tobacco industry, over the years, has worked to assimilate tobacco use in culture, political structures, local and national economies, and personal behaviors. Therefore, sustainable tobac- co-control efforts require not only government G L O B A L H E A R T , V O L . 7 , N O . 2 , 2 0 1 2 J u l y 2 0 1 2 : 1 0 7 – 1 1 1 Mathur and Prabhakaran Tobacco and CVD 111 support, financing, and community empowerment, but also effective global health governance to control the multinational marketing, trade agreements, and information asymmetry that supports tobacco use. The history of tobacco helps us to observe mul- tiple factors and events that have contributed to the rise and fall of tobacco consumption worldwide. The history of tobacco provides a tool for discus- sion and a move forward for effective tobacco-con- trol policies to realize the dream of a tobacco-free world. R E F E R E N C E S 1. Reddy KS, Gupta PC. Tobacco con- trol in India. New Delhi, India: Government of India, Ministry of Health and Family Welfare; 2004. 2. World Health Organization. WHO report on the global tobacco epidemic: warnings about the dangers of tobacco; 2011. Available at: http:// www.who.int/tobacco/global_report/ 2011/qanda/en/index.html. Accessed September 13, 2011. 3. Mathers CD, Loncar D. Projections of global mortality and burden of disease from 2002 to 2030. PLoS Med 2006;3:e442. 4. Jha P, Chaloupka FJ, Moore J, et al. Tobacco addiction. In: Jamison DT, Bregman JG, Measham A, eds. Dis- ease control priorities in developing countries. New York, NY: Oxford University Press, World Bank; 2006. p. 869–85. 5. Ezzati M, Lopez AD. Regional, dis- ease specific patterns of smoking- attributable mortality in 2000. Tob Control 2004;13:388–95. 6. Yusuf S, Hawken S, Ounpuu S, et al. Effect of potentially modifiable risk factors associated with myocardial infarction in 52 countries (the INTERHEART study): case–control study. Lancet 2004;364:937–52. 7. Borio G. Tobacco timeline; 2011. Available at: http://www.tobacco. org/History/Tobacco_History.html. Accessed August 5, 2010. 8. Shafey O, Eriksen M, Ross H, Mackay J. The tobacco atlas. 3rd ed. Atlanta, GA: American Cancer Soci- ety; 2009. 9. La Cava Del Cigarro. Habanos: the underlying history. Available at: http:// www.la-cava-del-cigarro.ch/english/ history.html. Accessed December 14, 2011. 10. Corti E. A history of smoking [England P, trans.] London, UK: George Harrap; 1931. 11. Sanghvi LD. Challenges in tobacco control in India: a historical perspec- tive. In: Gupta PC, Hamner JE, Murti PR, eds. Control of tobacco- related cancers and other diseases. International symposium 1990. Mumbai, India: Oxford University Press; 1992. p. 47–55. 12. Bhonsle RB, Murti PR, Gupta PC. Tobacco habits in India. In: Gupta PC, Hamner JE, Murti PR, eds. Control of tobacco-related cancers and other diseases. International sym- posium 1990. Mumbai, India: Oxford University Press; 1992 p. 25–45. 13. Huchard H. Traitd Clinique des Maladies du Coeur et des Vaisseaux. 2nd ed. Paris, France: Doin; 1893, p. 125–6. 14. Erb W. Ueber dysbasia angioscleroti- ca (‘‘intermittierendes Hinken’’). Munchener Med Wochenschr 1904;51:905–8. 15. Buerger L. Thrombo-angiitis obliter- ans: a study of the vascular lesions leading to presenile spontaneous gan- grene. Am J Med Sci 1908;136: 567–80. 16. Weber JB. Thrombo-angiitis obliter- ans. Q J Med 1916;5:289–300. 17. Brown GE, Allen EV. Thrombo- angiitis Obliterans. Philadelphia, PA: WB Saunders; 1928, p. 141. 18. Allen EV, Barker NW, Hines Jr EA. Peripheral vascular disease. Philadelphia, PA: WB Saunders; 1946, p. 390. 19. Hoffman FL. Recent statistics of heart disease with special reference to its increasing incidence. JAMA 1926;74:1364–71. 20. English JP, Willius FA, Berkson J. Tobacco and coronary disease. JAMA 1940;115:1327–9. 21. Advisory Committee to the Surgeon General of the US Public Health Service. Smoking and health. Public health service publication 1103. Washington, DC: U.S. Government Printing Office; 1964. 22. Advisory Committee to the Surgeon General of the Public Health Service. Smoking and health: report of the advisory committee to the surgeon general of the public health service. Washington, DC: U.S. Department of Health, Education and Welfare; 1971. 23. Hammond EC. Smoking in relation to the death rates of 1 million men and women. In: Haenssel W, ed. Epidemiological approaches to the study of cancer and other diseases. National Cancer Institute Monograph 19. Bethesda, MD: U.S. Public Health Service; 1938, p. 127–204. 24. Doll R, Hill AB. Mortality in relation to smoking: ten years’ observations of British doctors. Br Med J 1964;1: 1399–410. 25. Dawber TR, Kannel WB, Revotskie N, et al. Some factors associated with the development of coronary heart disease: six years’ follow-up experience in the Framingham Study. Am J Public Health Nations Health 1959;49:1349–56. 26. First Voyage of Columbus: Meeting the Islanders (1492) [online article]. Athena Review 1997;1. Available at: http://www.athenapub.com/coluvoy1. htm. Accessed August 5, 2011. 27. Proctor RN. The Nazi war on tobacco: ideology, evidence, and pos- sible cancer consequences. Bull Hist Med 1997;71:435–88. 28. Koh HK, Joossens LX, Connolly GN. Making smoking history worldwide. N Engl J Med 2007;356:1496–8. 29. Fong GT, Hyland A, Borland R, et al. Reductions in tobacco smoke pollution and increases in support for smoke-free public places following the implementation of comprehensive smoke-free workplace legislation in the Republic of Ireland: findings from the ITC Ireland/UK Survey. Tob Control 2006;15(Suppl. 3):iii51–8. 30. WHO India Office. FCTC vs. COT- PA: main provisions of the FCTC compared with the Cigarettes and Other Tobacco Products Act, 2003 [pdf]. Available at: http://www.who india.org/LinkFiles/Tobacco_Free_ Initiative_FCTC_Vs_COTPA.pdf. Accessed August 6, 2011. 31. World Health Organization. Report on the global tobacco epidemic, 2008: the MPOWER package. Geneva, Switzerland: World Health Organi- zation; 2008. http://www.who.int/tobacco/global_report/2011/qanda/en/index.html http://www.who.int/tobacco/global_report/2011/qanda/en/index.html http://www.who.int/tobacco/global_report/2011/qanda/en/index.html http://www.tobacco.org/History/Tobacco_History.html http://www.tobacco.org/History/Tobacco_History.html http://www.la-cava-del-cigarro.ch/english/history.html http://www.la-cava-del-cigarro.ch/english/history.html http://www.la-cava-del-cigarro.ch/english/history.html http://www.athenapub.com/coluvoy1.htm http://www.athenapub.com/coluvoy1.htm http://www.whoindia.org/LinkFiles/Tobacco_Free_Initiative_FCTC_Vs_COTPA.pdf http://www.whoindia.org/LinkFiles/Tobacco_Free_Initiative_FCTC_Vs_COTPA.pdf http://www.whoindia.org/LinkFiles/Tobacco_Free_Initiative_FCTC_Vs_COTPA.pdf Tobacco and CVD: A Historical Perspective Tobacco and CVD: A Historical Perspective Tobacco and CVD: A Historical Perspective Tobacco and CVD: A Historical Perspective Tobacco and CVD: A Historical Perspective Tobacco and CVD: A Historical Perspective Tobacco and CVD: A Historical Perspective 
work_ewblty3tvbbh3igymjmoloyvpi	----	The Second International Conference �������� �� �� ���� ����� �� � ���� ������� �� ��� �������� � �������� ������������������������������������ ��������� !"!�# $� ���%�&�'� 2 NUCLEAR FUSION ENERGY- MANKIND’S GIANT STEP FORWARD Sing Lee 1,2,3∗,and Sor Heoh Saw 1,2 1Institute for Plasma Focus Studies, 32 Oakpark Drive, Chadstone, VIC 3148, Australia 2INTI University College, 71800 Nilai, Malaysia 3Nanyang Technology University, National Institute of Education, Singapore 637616 Abstract Estimates of energy supply versus consumption indicate the middle of this century as the critical point when world energy supply will no longer keep pace with the demand. The demand grows inexorably because of both the world population growth as well as the growth of average per capita energy consumption. Technological and economic progress are closely correlated with per capita energy consumption. Hence the inadequacy of energy supplies will limit the progress of human civilization, stifling its soaring spirit. Conservationism, making incremental improvements in this situation, is completely inadequate. What is needed is a giant step - the development of a new, limitless, clean source of energy - nuclear fusion energy. Nuclear fusion technology, when perfected to fusion-burn only deuterium, will have a fuel supply lasting millions of year, even with continuing energy consumption growth as in the past. Intensive efforts in five decades of Tokamak research has advanced the fusion product up by 107 times, to the point when breakeven is only a step away. The next step necessarily involves international collaboration on an unprecedented scale in ITER- the International Thermonuclear Experimental Reactor, on which work has started in Cadarache France. ITER and later Demo are envisioned to bring online the first commercial nuclear fusion energy reactor by 2050. Using this as the starting point and the history of the uptake of nuclear fission reactors as a guide, a scenario is described here which depicts a not unreasonable rapid take up of nuclear fusion energy starting after the middle of this century. Just into the next century fusion energy should be able to take up the slack and allow Mankind to continue its progress and growth. Because the development of fusion energy is such a complex technological task it is probable that there will be several decades when the constraints of energy shortage will be severely felt as shown by the flattening of the energy consumption from around 2040 to 2100. Such a period of stagnation seems unavoidable even with the envisaged development and rapid adoption of fusion energy. On the other hand without nuclear fusion energy the scenario depicts a severe downturn unavoidably in the fortunes of Mankind with world population shrinking below 5 billion and eventually even lower. Keywords: Nuclear Fusion Energy, World Energy Consumption, World Energy Supplies, World Population 1. Introduction When Christopher Columbus sailed into the Americas in 1492, world population was 450 million (7% of today’s population) and world energy consumption was less than 1% of present day consumption. The world was sparsely populated. There were ample energy resources waiting to be developed to support a larger and more progressive human civilization. The invention of the first reliable steam engine in 1775 started the Industrial Revolution, replacing manual labour with a variety of machines. Then the scientific discoveries of the early 1900’s, led by Einstein, enabled Man to control the processes within the atom leading to electronics, lasers, computers, global communications, aerospace transportation, new materials, nanotechnology, biotechnology and nuclear energy. Thus continues the era of human prosperity on a greater scale than ever before with corresponding increase in energy consumption and population increase. World population grew from the 450 million in Columbus’ time to 1.6 billion [1] at the start of Einstein’s career around 1900 to 6.8 billion towards end 2009. In the past 100 years world population grew 4 times, whilst energy consumption grew 10 times. Thus energy consumption grew faster than population growth; in other words energy consumption per head also grew more than 2 times. This trend of per capita energy consumption growth is bound to continue as the rest of the world marches relentlessly in an attempt to catch up with the best standard of living in the world. As is well known, per capita consumption of energy is closely correlated with standard of living [2]. ∗ E-mail: leesing@optusnet.com.au; saw_sorheoh@intimal.edu.my �������� �� �� ���� ����� �� � ���� ������� �� ��� �������� � �������� ������������������������������������ ��������� !"!�# $� ���%�&�'� 3 In the past 100 years the doubling time of world population was about 50 years whilst the doubling time of energy consumption was 30 years. If this trend were to continue, world population would reach 27 billion in another hundred years whilst energy consumption would increase another 10 times. This is of course unsustainable as the world is already near the critical point when supply of energy barely meets the demand. Energy resources are limited and supply trends are estimated to peak in a few short decades from now. This is the reason underlying the demographers’ projections that world population growth must slow down in the near future. The current debate on the unsustainability of population growth, energy consumption trends and the degradation of the environment, whilst important in raising public awareness, does not address the fundamental problem. What is needed to safeguard Mankind’s unimpeded progress is not incremental moves; but one giant bold step - the development of a new limitless source of energy, clean non-polluting energy which will not further aggravate the environment. This is not a pipe-dream. The technology is already nearly proven. Fifty two years of scientific and technological work have already shown that the technology is feasible. Moreover the last final push is set to begin with an international consortium comprising the major economic and scientific communities of the world. The project is ITER- the International Thermonuclear Experimental Reactor which is currently being built in France at Cadarache. The process involves nuclear fusion which is the same process occurring in the stars causing their glow and powering all the energetics of the universe, including all life on earth. In the stanza below the dream (any dream), the river, the glamour and the night of the first two lines are all dependant on the process mentioned in the last two lines: And a dream lies on the river And a glamour veils the night Whilst above the white stars quiver With nuclear fusion - bright. Nature is thus showing the way, powering the whole universe with nuclear fusion. Man is in the process of emulating nature. In 50-100 years time, with human control of this limitless clean non-polluting energy, Man’s scientific and technological progress can continue to accelerate, human population can continue to grow. With limitless energy, materials can be created or mined in extra-terrestrial territories like our Moon or further afield from the planets. Living space can be extended by extra-terrestrial colonization which will also serve as energy production bases to avoid overheating the earth. Man’s will to explore, up the mountains, down to the sea floors, to the heart of the atom, to the very fabric of space-time; to colonize, like the Americas, Australia in days gone by, and to grow, should not be stifled by a limit to energy or a limit to population. Man’s spirit must, will remain indomitable. As Columbus reached for the Americas in the not too distant past 500 years ago, in the not too distant future, Man will reach for the stars. Einstein’s E=mc2 enabled Man to understand the energy source of the universe. Man’s control of E=mc2 is demonstrated in the awesome power of his Hydrogen bomb. Man will liberate his destiny with E=mc2 in nuclear fusion reactors - the Dawning of the Fusion Age. Figure 1. Showing the close correlation between economic wealth and energy consumption [expressed as equivalent power] per capita-2006 [2] �������� �� �� ���� ����� �� � ���� ������� �� ��� �������� � �������� ������������������������������������ ��������� !"!�# $� ���%�&�'� 4 This subject of nuclear fusion is a key subject which will grow in world-wide importance as the ITER project progresses towards maturity. An international conference such as this is the ideal platform to present the basic science and issues of nuclear fusion in such a way as to interest and educate the world-wide community. 2. World Population, Energy Consumption and Supplies 2.1. Correlation of standard of living to energy consumption There is a close fundamental correlation between the stage of development of a country and its energy consumption. Developed countries have the highest per capita consumption of energy. Poorest, least developed countries have the lowest per capita consumption. This can be seen from Figure 1 which plots GDP per capita against energy consumption per capita. There is generally good correlation between GDP per capita and energy consumption per capita. Thus as less developed countries move up in their development, energy consumption per capita rises. The world energy consumption per capita will continue to rise in the foreseeable future, driven by the rapid development of China, India, Latin America [2]. 2.2. Energy supplies Energy used by today's industrial societies is derived from utilization of finite earth resources. These resources are an inheritance and their consumption involves the expenditure of materials accumulated by the earth over aeons of time [3]. The quantity of fossil fuels available to man has been the subject of intense interest and numerous estimates. A good review has been made recently [4]. In the context of this paper we are not attempting to present the most precise figures or the most reliable projections into the future. Since all projection scenarios point to the need for Mankind to take a giant step to solve its energy needs, a projection scenario not in wild variance with the consensus would be adequate for our purposes. Hence we present Figure 2 [3] which shows world energy production from 1850 with projection into the next century. Included in this figure are the fossil fuels coal, petroleum and natural gas. Also included are renewables such as hydro, wind, photovoltaic and biomass and nuclear fission energy production. In the same figure is included the world population and its projection into the next century (top line). The close correlation between the world population scenario with the total energy production scenario in all such estimates is no mere coincidence. We venture to say that it reflects the acceptance of the demographers to the fate that humanity is expected to endure - the limitation of growth and progress due to the shortage of energy resources. Pushing the projection further, one probable scenario would be the severe retardation of human civilization, even to the point of extinction. Figure 2. Estimates of world energy production projected into the future in a scenario [3] 2.3. World population growth World population is growing; food, water, housing, education, medical care must grow correspondingly, in fact faster as less developed countries becomes more developed. Rate of population growth is about 1.5% per year and population is projected to grow to 10 billion by 2030 (see top line in the Figure 3) and can be expected to continue �������� �� �� ���� ����� �� � ���� ������� �� ��� �������� � �������� ������������������������������������ ��������� !"!�# $� ���%�&�'� 5 growing beyond that time given no drastic limitations. If the needs of the growing population cannot be met, there will be economic, political and environmental upheavals. The key is the availability of energy. If energy supplies prove inadequate, then world population will stagnate and even drop as shown in the middle and bottom lines depicting scenarios of lower growth. The most popular demographic projections nowadays appear to follow the middle line or a line somewhere between the top and middle line, projecting the world population to stabilize in the region of 10 billion. It is likely that these popular projections are all based on the underlying assumptions of the inability of resources, principally the underlying resource, that is energy resources, to keep up with the growing demand. Thus as already mentioned in the previous section, the growth of the human race is assumed by the demographers to have reached a critical point at which the population will be limited, even start to seriously decline, dictated by the limitations of energy resources. Figure 3. World population and projection [5] 3. Energy Consumption Scenario Even if world population growth slows down to zero: world energy consumption will continue to rise due to the continuing development of the less developed nations and the corresponding need for a higher energy per capita consumption. Consider the following popular scenario: The world population growth slows down to zero and world population stabilizes at 10 billion at around 2030. However due to continued improvement in the standard of living of the world on average, the demand of energy continues to rise, until world consumption exceeds the supply of conventional energy sources. Then for energy consumption per head to rise on average to ¾ of US 1985 per head consumption (which was equivalent to 10kW per head power consumption, a comfortable level by any reckoning), alternative sources of energy have to make up the shortfall. This is depicted in Figure 4. If the shortfall is not made up then obviously the less developed country will unfortunately continue to remain less developed and the average per head consumption will not rise to ¾ US 1985 consumption 4. The Dawning of the Fusion Age �������� �� �� ���� ����� �� � ���� ������� �� ��� �������� � �������� ������������������������������������ ��������� !"!�# $� ���%�&�'� 6 Nuclear fusion technology, when perfected to fusion-burn only deuterium, will have a fuel supply lasting millions of year, even with continuing energy consumption growth as in the past. In nature, nuclear fusion energy powers all the stars and consequently all life in the Universe. Fusion energy has been demonstrated on earth in the hydrogen bomb. Intensive efforts have been made to harness fusion as an energy source. Fifty two years of Tokamak research has Figure 4. Energy consumption based on a stabilized population of 10 billion with average energy consumption per head taken as ¾ of 1985 US per capita consumption identified a fusion product (density-confinement time-temperature n�T) of 1022 m-3-sec-keV as a minimum requirement for breakeven. In these 52 years, the research has pushed the fusion product up by 107 times, to the point when breakeven is only a step away [6,7]. Immense efforts in science and technology have already been expended. A glimpse of the scientific basis and technological achievements is provided by the Joint European Torus JET, the biggest fusion experiment yet, which reached Q=0.6 in 2000 [8] (In this context Q=1 is breakeven and Q=10 is a good target). The next step necessarily involves international collaboration on an unprecedented scale, to solve the greatest technological challenge we have yet faced. This takes the form of the International Thermonuclear Experimental Reactor, on which work has started in Cadarache France [9]. ITER aims to reach Q=10 by the 2020’s, to demonstrate feasibility of nuclear fusion as an energy source. Beyond that lies DEMO which will deliver power into the grid by 2040 [6,7,9,10]. The scientific and engineering plans are well laid and with the support of the best scientific, engineering and political will of all the major world powers and the stakes being the very survival of human civilization, success must be guaranteed. If energy supplies were to become unlimited then there is no need to restrict the growth of energy consumption, a better standard of living or the growth of population. This is depicted in the Figure 5 of energy consumption well into the 22nd century. Such unlimited growth (curve 4 of Figure 5) need not imply unbridled wasteful consumption. The best practice of environmental conservatism could, should be incorporated into growth, so that efficient and ‘green’ habits become part of the sustained culture of the human race. From Figure 5, it is seen that the development of nuclear fusion energy is coming not a moment too soon. The critical point when total available energy starts to decline is seen to be reached just before the middle of this century; thereafter the consumption curve has to drop (light blue curve 1, available energy, without fusion energy) and Man will have to cope with a decreasing supply unless the increasing shortfall is made up by nuclear fusion energy (brown dot-dash curve 2, available energy, with fusion energy). How fast can we expect the take-up of nuclear fusion energy? To set a reasonable scenario we look at the history of the uptake of nuclear fission energy. The first commercial nuclear fission power station was installed at Calder Hall in the UK in 1956 with 50 MW. By 1960 1 GW was installed. By the late 70’s the installed nuclear fission power world- wide had reached 100 GW. Then in the 70’s and 80’s rising costs of fission reactors due to regulatory changes and pressure-group litigation [11] together with falling fossil fuel prices made fission plants less attractive and the industry slowed down so that by the late 80’s installed fission power had only grown to 300 GW and by 2005 only to 370 GW, supplying some 15% of the world’s electricity consumption and 2.1% of total power consumption. From looking at the history of the development of nuclear fusion power plants we learn that given the perceived necessity, in less than 20 years the installed capacity could grow 100 fold from a base of 1 GW (10-fold every 9 years for 18 years). The scenario of Figure 5 assumes an installed 1 GW of commercial nuclear fusion power plant in 2050 growing 1000-fold to 1000 GW by 2077 (10-fold every 9 years for 27 years) and then with a slower growth to 10000 GW by 2100 (10- fold in 23 years) ; thereafter tripling every 50 years. The initial rate of 1 GW to 1000 GW from 2050 to 2077 starts at the same base and is about the same rate as achieved by the nuclear fission industry from 1960 to the late 70’s. This is not unreasonable as by 2050 the world would know with a certainty the desperation of its energy position. �������� �� �� ���� ����� �� � ���� ������� �� ��� �������� � �������� ������������������������������������ ��������� !"!�# $� ���%�&�'� 7 Figure 5. Energy consumption based on continuing population growth; provided no limit to energy supply The scenario of Figure 5 thus depicts a not unreasonable rapid take up of nuclear fusion energy starting just after the middle of this century. Just into the next century fusion energy should be able to take up the slack and allow Mankind to continue its progress and growth (brown dot-dash curve 2, available energy, with fusion energy). Because the development of fusion energy is such a complex technological task it is probable that there will be several decades when the constraints of energy shortage will be severely felt as shown by the flattening of the energy consumption from around 2040 to 2100 as depicted in the scenario of Figure 5 (brown dot-dash curve 2, available energy, with fusion energy) . Such a period of stagnation in energy and corresponding stagnation in world population (dark blue dot-dash curve 4 showing world population scenario, with fusion energy) seems unavoidable even with the development and rapid adoption of fusion energy. Without nuclear fusion energy the scenario is as shown by the light blue curve 1, depicting a severe downturn in the fortunes of Mankind with world population dropping below 5 billion (green curve 3, world population scenario, without fusion energy). 5. Conclusion The human spirit, its will to explore, to always seek new frontiers, the next Everest, deeper ocean floors, the inner secrets of the atom: these are iconised into human consciousness by the deeds of Christopher Columbus, Edmund Hillary, Jacques Costeau, and Albert Einstein. In the background of the ever-expanding universe, this boundless spirit will be curbed by a requirement to limit growth. That was never meant to be. That should never be so. Man should have an unlimited destiny. To reach for the moon, as he already has; then to colonize it for its resources. Likewise to reach for the planets. Ultimately-the stars. Man’s spirit must and will remain indomitable. Conservationism is essential but probably not enough for the survival of the human race within the stunted limits which are popularly accepted in the present as depicted by the light blue line 1 of Figure 5. Conservationism is important but certainly not enough to secure the continued soaring of the human spirit. That requires a new limitless clean supply of energy - one giant step for Mankind - the Dawning of the Fusion Age. REFERENCES [1] http://geography.about.com/od/obtainpopulationdata/a/worldpopulation.htm [2] http://en.wikipedia.org/wiki/World_energy_resources_and_consumption [3] http://www.quaker.org/clq/2007/TQE155-EN-WorldEnergy-1.html [4] Ken Tomabechi. Energy Resources in the Future. Review paper. Energies 2010, 3, 686-695; doi:10.3390/en3040686. Online 8 April 2010 [5] http://en.wikipedia.org/wiki/World_population [6] Meade, Dale. “50 Years of Fusion Research”, PPPL Colloquium, April 1, 2009, Princeton, NJ 08543 �������� �� �� ���� ����� �� � ���� ������� �� ��� �������� � �������� ������������������������������������ ��������� !"!�# $� ���%�&�'� 8 http://fire.pppl.gov/meade_PPPL_colloq_040109.pdf [7] Lee S. Nuclear fusion and the Plasma Focus. Invited paper Tubav Conferences: Nuclear & Renewable Energy Sources Ankara, Turkey, 28 & 29 September 2009. Procs:pg 9-18 [8] http://www.jet.efda.org [9] http://www.iter.org [10] http://fusion.gat.com [11] http://en.wikipedia.org/wiki/Nuclear_power 
work_ewrztj6glzeopgf7swqr43twhe	----	In This Issue This issue of the Law and History Review presents an abundance of fresh empirical research that ranges across a wide front of pre-twentieth-centu- ry legal and professional history. We begin with Elisa Becker's investigation of the development of foren- sic medicine in late imperial Russia. Becker, a doctoral candidate at the Uni- versity of Pennsylvania, examines how, in the years following the judicial reforms of 1864, medical and legal professionals cooperated in attempts to enhance the legal role of medical experts. Through an analysis of the extent of legislative and procedural continuity between pre- and post-Re- form eras, Becker is able to show that the reforms served as a springboard for professionals' efforts to expand physicians' rights and authority within the new judicial system, transforming an otherwise arbitrary judicial pro- cess along the lines of technical expertise. Through an examination of medico-legal debates over the status and significance of medical expertise, Becker seeks to demonstrate the ways in which the professional evolution of forensic medicine in Russia took a different turn from the Western model and how the process of professionalization in late Imperial Russia became associated with the idea of legality and led to demands for liberal legal reform. (Note that in our last issue, Law and History Review 16.3, Stephan Landsman addressed the use of medical experts as witnesses in English criminal cases, 1717-1817.) Our third article comprises the lead essay in this issue's "forum" sec- tion. It revisits debates over a famous, even notorious, figure in the history of professional legal education—Christopher Columbus Langdell, Dean of Harvard Law School from 1870 to 1895—but in a profoundly original fash- ion. In a labor of archival recovery of major proportions, Bruce Kimball has identified and examined a substantial body of writings by Langdell and his students dating from the 1870s and 1880s. He has used this research to reconstruct Langdell's bibliography and teaching schedule and to offer a tripartite periodization of Langdell's intellectual development that dis- tinguishes "Early" (1870-1883), "Middle" (1887-1892), and "Late" (1897- 1906) Langdells. On this foundation Kimball then explores Langdell's "Early" period. Particularly noteworthy is his use of casebook annotations as a means to imaginative reconstruction of three lengthy discussions from Langdell's classroom. Kimball's reconstructions lead him to propose that, contrary to the traditional view of Langdell as a closeminded teacher who Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000006817 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:24, subject to the https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000006817 https://www.cambridge.org/core dogmatically transmitted a formalized orthodoxy to his students, the early Langdell changed his mind, confessed ignorance or uncertainty, and invit- ed students to challenge his views, to criticize the judges and counsel in the case reports they studied together, and to venture their own conclusions. Kimball also uses previously unresearched correspondence to spark an investigation of how and why Langdell's views and methods shifted so dramatically between the early and later periods of his career. The forum continues with commentaries by William LaPiana, Howard Schweber, and John Henry Schlegel, each offering his assessment of the significance of Kimball's achievements. It concludes with a response from the author. Between the first and third articles we encounter Elizabeth Dale's nar- rative dissection of the trial and execution of Zephyr Davis. Situated thus, Dale's article interrupts the flow of an issue that situates law, and legality, in the forum of expertise and professional training, and for a while shoves us out into the more elemental world of the city street, where law's claim to do justice meets others. In Chicago, in 1888, seventeen-year-old Zeph- yr Davis was tried, convicted, and executed for the murder of fourteen-year- old Maggie Gaughan. The case aroused considerable public interest: mobs threatened to kill Zephyr before the law could act and a variety of groups used different stages in the case as opportunities to protest the workings of law. Dale employs the case to examine the relationship between formal law and popular, or extralegal, expressions of justice in the specific time and place of late nineteenth-century Chicago. In addition, she raises more general questions about the rule of law and its relation to justice. The final essay in this issue is a research note on a matter of no little importance in the history of marriage law. By going back to the original Edinburgh Commissary Court records, Leah Leneman has unearthed the details of the Scottish case that allegedly precipitated passage of Lord Hardwicke's Marriage Act, ending irregular marriage in eighteenth-century England (but not in Scotland). For some twenty years, Jean Campbell had lived as the wife of Captain John Campbell of Carrick, but after his death in 1746, another woman, Magdalen Cochran, claimed that a prior irregu- lar marriage to the Captain made her his lawful widow. Campbell against Cochran et contra continued for seven years, with numerous appeals, finally ending in the House of Lords. Its ramifications led Parliament to legislate for an end to all forms of irregular marriage in England. In Scotland, how- ever, free consent continued to be the criterion of a marriage. Thus the laws of the two lands diverged. As usual, this issue presents numerous book reviews and the next in our continuing series of electronic resource pages, this one designed to draw readers' attention to the presence that the Law and History Review has established on the Internet. As always, we encourage readers of the Law Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000006817 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:24, subject to the https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000006817 https://www.cambridge.org/core and History Review to explore and contribute to the American Society for Legal History's electronic discussion list, H-Law, which offers a convenient forum for, among other matters, discussion of the scholarship on display in the Review. Christopher Tomlins American Bar Foundation Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0738248000006817 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:24, subject to the https://www.cambridge.org/core/terms https://doi.org/10.1017/S0738248000006817 https://www.cambridge.org/core 
work_ehavl3xojzevvi5t6u36yuyrvy	----	AIT_Bericht FIT4FOOD2030 Towards FOOD 2030 – future-proofing the European food systems through Research & Innovation fit4food2030.eu - #FOOD2030EU This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 774088 Deliverable 4.1 Report on inventory of R&I breakthroughs Work package number and title: WP 4 Exploration of roadmaps for R&I breakthroughs Lead-beneficiary: F4L - ETP ‘Food for Life’/ FoodDrinkEurope Work package Leader: Rebeca Fernández and Jonás Lázaro-Mojica Relevant Task: T 4.1 Dissemination Level: Public Due Date (month): M12 (Delayed to M14) Authors: Jonas Lazaro-Mojica, Rebeca Fernandez, Jochen Weiss, contributions from Beatrix Wepner, Petra Wagner, Doris Schartinger, Gemma Tacken, Carmen Fenollosa, Cristina Paca, Barbaros Corekoglu, Matthieu Flourakis, Kathelyn Meharg, Anastasiya Terzeiva, Hugo de Vries, Rosina Malagrida, Marina Pino, Mara Longhini, Chiara Pontillo, Barbara Regeer, Tomris Cesuroglu, Alanya den Boer, Kris Kok, Jolien Wenink, Chrissie Brierley, and Sanne van Geel. http://www.fit4food2030.eu/ Document History and Information VERSION DATE DESCRIPTION AND COMMENTS AUTHOR 1.1 07 September 2018 First Draft Rebeca Fernandez and Jonas Lazaro- Mojica in behalf of the project management team 1.2 21 September 2018 Feedback from WP4 Rebeca Fernandez and Jonas Lazaro- Mojica in behalf of the project management team 1.3 04 December 2018 Reviewed version Rebeca Fernandez and Jonas Lazaro- Mojica in behalf of the project management team 2.0 10 December 2018 Feedback from Mads Dahl Gjefsen (Oslomet) Rebeca Fernandez and Jonas Lazaro- Mojica in behalf of the project management team 2.1 12 December 2018 Reviewed version Rebeca Fernandez and Jonas Lazaro- Mojica in behalf of the project management team 2.2 16 December 2018 Feedback from Jacqueline Broerse (VU) Rebeca Fernandez and Jonas Lazaro- Mojica in behalf of the project management team Final 20 December 2018 Reviewed version Rebeca Fernandez and Jonas Lazaro- Mojica in behalf of the project management team Content 1 Summary .................................................................................................................................................... 1 2 Introduction ............................................................................................................................................... 1 3 Concept definition and theoretical frameworks ........................................................................................ 1 4 Taking stock from the past – what does a breakthrough look like? .......................................................... 5 4.1 Examples of past breakthroughs ....................................................................................................... 5 4.2 Common factors .............................................................................................................................. 13 5 Identification of potential R&I breakthroughs ......................................................................................... 19 5.1 Results of the survey ....................................................................................................................... 19 5.2 Potential R&I breakthroughs ........................................................................................................... 22 Appendix .......................................................................................................................................................... 33 A.1 Overview of past breakthroughs ........................................................................................................... 33 A.2 Online questionnaire on breakthroughs ............................................................................................... 48 A.3 References for potential R&I breakthrough topics ............................................................................... 48 References ....................................................................................................................................................... 52 1 1 Summary N.B.: This deliverable builds on the results provided by WP1, WP2, WP3. To avoid duplication not all the concepts already explored within these work packages are included in this deliverable. The first task of WP4 aimed at identifying potential R&I breakthroughs that could move Food Systems towards Food and Nutrition Security (FNS). In order to do this, we suggest an iterative way, starting by looking at specific examples of past breakthroughs. By analysing those, we were able to identify common factors in them that can be used to validate additional past examples and identify new potential ones for the future. 2 Introduction WP4 is positioned, together with WP3, at the start of the second phase of the FIT4FOOD 2030 project. During this phase transformation agendas will be developed by identifying showcases in food systems R&I and exploring potential R&I breakthroughs. These activities take place successively within the FIT4FOOD2030 platform. This deliverable covers the first objective of WP4, which is the identification of potential R&I breakthroughs. Based on the intelligence generated from project partners, a survey among experts in the field (100 participants), literature study, and feedback from external stakeholders, deliverable 4.1 describes: o the definition of potential R&I breakthroughs, and their link with trends and showcases o inventory and analysis of past examples of R&I breakthroughs o discussion on the common factors characterising R&I breakthroughs o inventory of potential R&I breakthroughs in food systems This document is therefore intended to serve as the basis for a common understanding within the FIT4FOOD2030 consortium when it comes to potential R&I breakthroughs, but also to stimulate the discussion taking place at the three interconnected structures of the FIT4FOOD2030 platform (City Labs, Policy Labs and the EU Think Tank) and support their roadmap definition. The process to develop this report started with initial desk research and discussion within the project consortium to define key terms, in close cooperation with WP2 and WP3 to clearly distinguish trends, breakthroughs and showcases. The compilation of an inventory for past R&I breakthroughs was based on desk research and an internal meeting with WP4 partners. Findings from WP2 and WP3 were also used in the identification of potential R&I breakthroughs. Furthermore, the survey conducted in WP3 was used to direct questions on potential R&I breakthroughs to the participants. A preliminary discussion on R&I breakthroughs was also included in the second workshop (12 April 2018). 3 Concept definition and theoretical frameworks FIT4FOOD2030 has defined R&I breakthroughs as potential, significant achievements that may lead to an increased impact of the current initiatives in the field of FNS and a step towards/radical change of the food system, making it more sustainable and resilient. R&I breakthroughs are closely interlinked with the trends and showcases explored in WP2 and WP3. Trends are a general tendency or direction of a development or change over time affecting macro-scale social or natural processes1. Some examples are climate change, scarcity of natural resources, big data analysis. Trends are therefore the landscape where showcases and breakthroughs emerge. 1 For more details on the trends identified by the FIT4FOOD2030 project, see Deliverable 2.1 2 The differentiation between these showcases and breakthroughs is based on their magnitude, scale and interactions in the system. Showcases are initiatives, key findings, social movements, good practices, networks, (nationally- or internationally-funded) projects, case studies, demonstrations, technological inventions, process procedure improvements (e.g. in logistics/distributions), innovative educational approaches, new business models, etc. which offer opportunities for learning and inspiration (even if they might have ultimately failed to deliver on initial expectations) and have contributed to or affected the food system in some way. Cases of interest can be found in all research fields but also in different areas other than research and innovation2. While showcases have already been implemented in the past or currently ongoing, with an impact limited to their area of influence, breakthroughs imply more deep and structural long-term changes, with potential for a big positive impact on FNS. Showcases are backward-looking inspiring examples, with a learning capacity in them. Breakthroughs are potential pathways for system transformation that might imply a dramatic change in the future. The linkages between trends, showcases and R&I breakthroughs are visualised in the context of the multi- level perspective. This is an analytical framework for understanding complex systems and finds its origin in transition studies, an interdisciplinary field developed by - among others - Geels and Schot (2007), Loorbach and Rotmans (2010) and Grin (2010). The multi-level perspective is a framework for analysing socio-technical transitions and distinguishes three analytical levels: regime, landscape and niche. An overview is presented in Figures 1 and 2. Fig. 1. An overview of the multi-level perspective. Taken from Geels (2002: 1261) 2 For more details on the showcases identified by the FIT4FOOD2030 project, see Deliverable 3.1 3 Fig. 2. Taken from Geels (2007) In this scheme, the regime represents the incumbent/existing system with its norms and rules. It refers to the dominant infrastructures, technologies, actors, (financial) institutions and social practices in the system. Change does occur at the regime level, but it is normally slow and incremental. Niches, however, are protected spaces characterized by novelty, room for experimentation and radical innovations. Some innovations will eventually gain dominance and change the existing regime while others fail. The last level is the landscape, representing a broad range of external factors at the social or natural macro- scales; such as global political trends, economic markets, wars or environmental pollution. These trends interact with the regimes and niches. On landscape level, change generally occurs at an even slower rate than at the regime level. There is therefore a parallelism between the concepts covered by the multi-level framework and the three concepts that are subject to analysis within WP2, WP3 and WP4: trends, showcases and breakthroughs (Fig. 2). Showcases are small, individual innovations that significantly affect processes or behaviours (through mindset changes) which are directly relevant to the food system and as such have a small impact on at least one food system sector. As such, showcases act within niches (i.e. they are not mainstream). When several showcases towards a common vision are successfully executed, or the same innovation becomes institutionalised in many local geographical and governance contexts, etc. the potential of a breakthrough (process) increases, which may lead to impact on several systems and institutionalized 4 processes at once (be it in policy, in business or education approaches, etc.). Breakthroughs in a specific field can lead to breakthroughs in a different area of activity. In the multi-level perspective potential breakthroughs act on an existing regime (i.e. the dominant actors, technologies and social structures, as well as mainstream way of doing things and the mainstream mind-set). Finally, trends provide the landscape in which breakthroughs and showcases happen and can have a positive or negative or neutral influence on a showcase to be successful or a potential breakthrough to happen. They differ over and their influence changes with time. Trends can be difficult to influence. Fig. 3. The multi-level perspective applied to the FIT4FOOD2030 project. Different areas of activity are represented by different colours. For the purpose of relating all these concepts in a tangible example, Table 1 describes for each concept an example in the case of the development of (semi) closed greenhouses, a particular R&I innovation in the field of agriculture considered to be a sustainable (energy-reducing) alternative to existing greenhouses with combined heat and power installations. Table 1: Examples of the concepts for the implementation of the (semi) closed greenhouse in the Netherlands. Analysis is based on Elzen B (2008). Concept Example Niche- experiment • The development of a (semi) closed greenhouse 5 Showcase • “The Glasshouse of the Future’, a closed greenhouse exhibited at the 2002 Floriade • The research programme: “Glasshouse as an Energy source” • TransForum project: “Synergy” Regime • Glasshouses had natural gas fuelled heating installations • It was not allowed for growers to supply energy to the electricity grid. Landscape trend • Sustainability trend: The need to reduce CO2 emissions and energy consumption • Climate change Breakthrough • On a large scale implementation of the semi-closed greenhouse as replacement of the Greenhouses with natural gas fuelled heating installations • Glasshouse horticulture transformed from a major energy consumer into an energy supplying sector Barriers • It was not allowed for small producers to supply energy to the energy grid • High investment costs • Limited knowledge exchange between science (researchers) and practice (horticulturalists) Drivers • The 1989 electricity law allowed producers to supply electricity to the grid • Governmental subsidies that lowered the investment costs for horticulturalists • Large national research programmes on the development of an ‘Energy producing Greenhouse’ 4 Taking stock from the past – what does a breakthrough look like? 4.1 Examples of past breakthroughs Past breakthroughs have been searched, looking at them from a timeline perspective, from the prehistory up to the present times, considering which factors where relevant and transversal in each case. The final objective of this exercise was to find common points among the different breakthroughs, so there could be outlined a framework in which we could define whether or not, a research, discovery, incremental innovation or casual finding was considered a breakthrough. It could be argued that there are more breakthroughs than the ones mentioned here, however, the aim of this exercise was not to find a compendium of all the breakthroughs of history related to food systems, but to collect clear examples with similar variables that could be extrapolated to possible present and future breakthroughs. The history behind each breakthrough has been added to Appendix 6.1 with the aim of avoiding an overload of information of this section. Nevertheless, the discussion below assumes much of that information and develops to discuss the insights on the factors that affected each particular breakthrough with the aim of extracting common factors. Past breakthroughs are listed below, in a chronological order: • Discovery of fire and cooking • Domestication of animals and plants • Fermentation • Discovery of America: New raw materials 6 • Canning • The supermarket • Flash-freezing • Vitamins • Extrusion • Microwave heating • Freeze-drying • Third agricultural revolution • Microcredits • Food e-commerce The rationale behind the election of the cases is based on having different scenarios with diverse causalities to become a breakthrough. Always from the perspective of observing breakthroughs within the food system we tried to cover cases with these diverse variables: Different timelines: The concept of time from a historical perspective but also considering the time to achieve a breakthrough, e.g. the discovery of fire with uncertain timelines of discovery ranging thousands of years vs. food e-commerce of just recent implantation in less than 10 years. Perceived impact: Although impact is part of the definition of a breakthrough, not all the recognised breakthroughs have the same scale, e.g. neolithic revolution is considered to set the grounds of civilisation vs. freeze-drying which has a specific technological impact. Stage at the value chain: From the agriculture to the consumer, e.g. third agricultural revolution which is at the starting point of food chain vs. supermarket at the contact point with consumers, all along through primary processing (fermentation), secondary processing (extrusion), logistics (e-commerce) to home use (microwave appliances). Aspects from sociotechnical perspective: The process and impact of a breakthrough related to social changes or to scientific technical aspects, e.g. the discovery of America, which introduced many social, demographical and political scenarios vs. extrusion, which was a pure technical innovation. Different causalities: The process leading to a breakthrough followed different triggers e.g. canning involved applied research on a specific posed problem, fire cooking was an evolution, microwave heating could be considered as a casual discovery, the supermarket had competitive grounds, extrusion acquired a knowledge transfer, and vitamins were discovered through fundamental research. Resources: The roots to nurture a breakthrough had different resources e.g. the third agricultural revolution was pushed forward by governmental will, microwaves required private investment from a single company, flash-freezing was the result of the effort of an initial inventor, freeze-drying required multiple companies to develop, vitamins were researched mostly by universities, microcredits required investment from banks, e- commerce was promoted by start-ups. 4.1.1 Discovery of fire and cooking The discovery of fire can be placed in the period of 1.5 to 0.3 million years ago, and there is no doubt that it changed the history of humanity, even from an evolutionary perspective. The hypothesis that the first human might have evolved in parallel to the discovery of cooking foods to adapt to a cooked diet has greater implications on our understanding of our species. Humans are the only ones adapted to eat cooked food, and could not go back to a raw diet without consequences on health (Wrangham R, 2003). Therefore the discovery of fire and cooking foods provided a larger amount of nutrients available, reduction of toxins and higher food safety. It changed the evolution of humans, had impact on social behaviour, and was transversal to all food products. Considering the uncertainties on finding evidences on how and when humans started to master fire, it is reasonable to conclude that most likely it was an innovation with clear 7 milestones in its evolution. The initial control of fire first, with many different techniques that required years of evolution, and secondly, the different evidences of the use of fire to cook foods (direct fire, heating stones, heated stones under earth, boiling of water…), clearly shows a path of smaller technological breakthroughs of unknown genuine inventors, until the complete mastery of cooking evidenced before the evolution of the agriculture. 4.1.2 Domestication of animals and plants There is scholarly agreement in many disciplines that the Neolithic revolution is one of the events of greater impact on human history. A clear breakthrough that settled the grounds of civilization in a permanent and profound manner. It happened in different parts of the globe at different times and resources but with similar outcomes. Archaeological records also state it as an innovation through many cycles of developments and evolution where changes occur in a generational scale. To develop the domestication of animals and plants to the species we know today, thousands of years were needed. This a breakthrough still valid today where the new biotechnological instruments allow to accelerate process of genetic selection and opens the possibilities of genetic improvements in much shorter periods of time. 4.1.3 Fermentation Fermentation is one of the ancient food processes. The use of fermentation has changed the way we perceive and use food today and it enriches endlessly the offer that we can have in many products such as bread, beer, wine, cider, cured meat, yoghurt, cheese, fermented pickles, cocoa, coffee… Modern biotechnology keeps researching different fermentation processes that make novel products and new processes available even today. There is no doubt that the use of fermentation by humankind has changed the way we perceive food and food products. It is a transversal technology, applied to multiple foodstuffs that had impact in the industrialisation of food as well as in society. The point here, is that there is no single link to a discovery but many. Fermentation is a natural process that existed before even the humankind exploited it, and it has been the accumulation of discoveries and applications that lead to the final breakthrough. Therefore, it could be considered an innovation towards time that still continues to develop. However, and with many exceptions, there seem to be points in history, milestones where fermentation processes can be outlined. Little discoveries or advances that could be considered little breakthroughs that sum up to the overall knowledge and create an opportunity and a punctual jump on the scientific path. As it was argued previously, the first considered civilizations in Mesopotamia and Egypt advanced fermentation to the point of creating unit work operations similar to an industrial process. Although fermentation is a natural process, this level of specialisation on processing was new to humankind, and therefore it could be considered a breakthrough. Also, because of the discovery by Louis Pasteur on the link between fermentation and microbial growth, the first steps into biotechnology, and the development of the science of fermentation to the heavy industry that we know today, it could be considered a step forward in humankind history as well. 4.1.4 Discovery of America: New raw materials The example of America’s discovery had a clear social, cultural, demographical, political, and economic impact on the world, and particularly in the food sector. It has a clear transversal and global impact. But it was not a scientific discovery or finding, neither needed research at first. So, should it be considered a breakthrough? The transfer of food crops and livestock from one place of the world to another is recurrent in history. The Greeks first and then the Romans extended much of the use of olive oil and vineyards all around the world known at the time, the Arab expansion also brought citrus fruits, eggplant, watermelon, or rice into the 8 European lands, also the trips of Marco Polo to China in the middle ages allowed great exchange of foods and spices in a transcontinental fashion. The discovery of America had the greatest impact because there had not been any kind of contact between both worlds, therefore the exchange of foods was completely new for the Old and the New Word as they were named afterwards, producing a complete clash of cultures. It is necessary to consider, that the discovery of America was casual in the terms that Christopher Columbus was searching a different route to the known Indian and Chinese markets, and America was a finding in the middle way. If the breakthrough is measured in terms of impact, and we consider the discovery of America as a casual discovery, enhanced by the need of new commercial routes (economically driven), then it should be stated as a breakthrough. The introduction of new ingredients and foods to our food processes is still a trend, as the recent “superfoods” trend is proving, but the impact should be considered before defining it as a breakthrough. We should be taking into consideration not only the discovery of America itself, but all the following innovations that followed on the introduction of new raw materials into different environments, from an agricultural perspective, but also from a cultural perspective, to adapt the innovative materials into new recipes that changed the New and Old World’s way of eating. Measuring the scale of the impact, is perhaps one of the difficult tasks on the agreement of what is a breakthrough, the permanent nature of the changes introduced should then have to be taken into consideration. 4.1.5 Canning Certainly, there are evidences in this case to classify canning as a clear past breakthrough in history. We can locate a specific event and person who initiated applied research in a specific topic and time: Nicolas Appert with his publication of ‘The Art of Preserving Animal and Vegetable Substances’ in 1810. It is a transversal technology that covers many different foods categories but also one that changed society in the way that food was transformed into a long-standing commodity that could be stored for years, keeping its nutritional values and with reasonably good palatability. It changed the rules of warfare as armies could stand longer without starvation, it changed the availability of non-perishable food to the overall civilian society, it made a huge range of new products available that could be bought in the market and be stored at home to be consumed at any time. Although it is true that the consumers aim for an increase on the consumption of fresh vegetables and fruits as a trend for health, the changing of the market towards new packaging materials, reduction of additives, and even the introduction of organic products in canned foods, all at affordable prices, and combined with the increasing need of ready-to-go products to adapt to a more and more convenient environment, makes canned and bottled foods one of the most preferred references for consumption by consumers nowadays. 4.1.6 The supermarket There is no doubt that the introduction of the supermarket model has changed society greatly in the way that we buy, transport and consume groceries. The breakthrough was economically driven, with the accompaniment of social, technological and even behavioural changes. All innovations in the supermarket model had a common aim, get products to consumers in the cheapest and most efficient manner to gain market share. Therefore, it is no surprise to discover that the leaders of this breakthrough have been large companies searching for competitiveness and large profits. The drivers for the creation of supermarkets are interdependent of many incentives. The increase of urbanisation, the entry of women to the labour market, the increased demand for processed / convenient food, the ownership of refrigerators and freezers, the change from daily shopping to weekly or monthly shopping, the ownership of cars, the technology that allowed the improvements on logistics and inventory management, the globalised distribution of foods, the availability of foods at any time… these were all factors that favoured and still keep driving the tendency for an increasing number of supermarkets. Therefore, it is a breakthrough that depended on many different factors and responded to the evolution of society on technological advances, societal changes, demographical variations and even behavioural responses. 9 Some of the stages on the evolution of supermarkets could be considered breakthroughs on its own: For example, the supermarkets that Michael Cullen developed, were a new concept in logistics, consumer approach and marketing. Another example is the technological invention of scanners, UPC codes, and computerised control of stocks and delivery during the 1980s that led to a new era of supermarkets. Considering that a new age of technologies such as the internet of things and the massive use of data is coming, that there is a need for more efficient globalised logistics, that there are changes on the consumer demands, we could be arguing that we are heading to new possible potential breakthrough in the area of retail. 4.1.7 Flash-freezing Clearly there are some common points with the other cases stated before. Flash-freezing appears to be a casual discovery initiated by the insight of Clarence Birdseye3 on the Inuit fishing practices, but that is just the initial status of the breakthrough. Later on he had to invest an enormous amount of money and time to perform the actual development of the idea into machinery that could prove his hypothesis. He had to convince investors, he had to create a market to sell his higher quality products and compete in an environment where frozen products where not implemented yet. Nevertheless, there were many who saw the potential of his idea and finally the niche market became a complete trend. Following the initial argumentation, there was a breakthrough with a clear person, date and time of the creation of the idea, but needed further applied research to finally see the light. There is no doubt that the results of that research are a technology that has changed society and the market as we know it today. There are all kinds of frozen products available, so it is a transversal technology that favours the storage of products at home with high quality standards. All homes in the first world have a freezer where frozen food can be stored and prepared at any time with a relatively high-quality standard. In terms of quality and food safety it stands as a growing market, where convenient food has a high asset. The webpage Research and Markets4 points out that Europe and United States are the regions where major consumption of frozen products take place, but remarks how this market is increasing in developing countries. The major companies that lead the market are Nestlé and Heinz (with 19% marketshare), with other key companies such as General Mills, Maple Leaf Foods or ConAgra Foods in the leading market, according to this reference. The newer technique of cryogenic freezing using liquid nitrogen could be considered a further development that has changed the freezing industry, bringing even higher quality products and optimising the efficiency of the process. This could be considered a newer breakthrough in itself. 4.1.8 Vitamins The discovery of vitamins had a clear root on fundamental research, as many other discoveries in the area of nutrition. The process at which the breakthrough was accomplished required an enormous effort from different disciplines at a variety of research groups to define the knowledge required to actually produce the innovation. Vitamins can be isolated or synthesised and therefore be supplemented or added to foods to provide the nutritional requirements that humans need. An era in which the related diseases seem to be part of history, is something new to human kind. Pellagra, scurvy, rickets, blindness and many other symptoms of malnutrition, well known in the 19th Century, can be declared eradicated in developed countries, and well diagnosed and understood in the worst of cases in developing countries. 3 Birdseye: https://www.birdseye.co.uk/ 4 Research and Markets on frozen foods: https://www.researchandmarkets.com/reports/4332753/global-freeze-dried-foods- market-2017-2021#pos-0 https://www.birdseye.co.uk/ https://www.researchandmarkets.com/reports/4332753/global-freeze-dried-foods-market-2017-2021#pos-0 https://www.researchandmarkets.com/reports/4332753/global-freeze-dried-foods-market-2017-2021#pos-0 10 There is impact to the area of human health and nutrition, contributing to wellness, but also in the way policy on fortified foods has been developed in the recent years. Also the knowledge provided, has open doors to other areas of discovery, some examples could be the bioavailability of nutrients on digestion, animals as human models, food analysis, synthesis, nutrient functionality, food interactions, etc. 4.1.9 Extrusion The extrusion process of food is born from the transfer of knowledge of other sectors in material science (metal casting but mainly plastic extrusion) where it was widely used. It required knowledge from the engineering part of the use of industrial extruders and knowledge from food materials, so highly specialised technicians were required for the research and development of food extrusion. Companies such as Bühler or Baker Perkins were not initially food companies, but were experts on industrial engineering equipment (Bühler history, Baker Perkins history5). There is no doubt that the extrusion has brought new food items to our shelves that we could not have otherwise: Industrial pasta, breakfast cereals, snacks, pet foods, extruded meat or fish, texturised proteins, and ingredients that have further uses. Therefore extrusion is global and transversal in the food sector. Many of the advances in food extrusion could be considered as smaller innovation breakthroughs of the applications and engineering done in the area, many times coming from plastic extrusion research. Perhaps, the debate in this breakthrough could be related to impact. It is clear that there is an impact on the food industry as a technology, but the real question in reference to other examples studied is whether there is or there is not a social impact. It is likely that most consumers might not know the answer to “what is the extrusion of foods” and “for which food items it is used”, but it is true, that there is a clear indirect impact. Without extrusion there would not be dry pasta in the market at the low prices that it is offered, we would not have breakfast cereals or snacks as we know them, there would not be pet food available as we know it today. Therefore, we could conclude from this point, that although a breakthrough might not be recognised by the public, the indirect impact on the overall society (knowledgeable or not), should be considered as a breakthrough. 4.1.10 Microwave heating The discovery of microwaves has many different ingredients in the path of becoming a breakthrough. Firstly, the technology transfer of radar technology to use in food applications through a casual discovery or bright inspiration of Percy Spencer at Raytheon in the 40s. This initial discovery needed a large investment on applied research which was possible by a vision of business of the company Raytheon, whose leaders clearly believed in the use of microwaves as a substitution of other heating methodologies, creating specific research divisions on the technology despite there were many doubting criteria on the success and applications of the technology during the 50s and 60s. Afterwards, even before the prices were affordable for common consumers, there was a technological competition by different companies such as Litton, Amana or Sharp to achieve the best home appliance at affordable prices for consumers, this effect speeded up the process of research and development in the 70s and 80s. The final decades have seen an even further development of microwave ovens at much more affordable prices up to the point that most households in the developed world own one and the spread in the developing world is exponential. The spread of microwave ovens into the homes of citizens and the development of new applications at the industrial processes, makes microwave heating a transversal and global breakthrough with a high social impact in the way it reduces our cooking time and facilitates the use of convenient food, or even frozen food at home. This breakthrough is not at the end and new trends report new uses on foods (Orsat V, 2017) and 5 Baker Perkins history: http://www.bphs.net/historyofkeybusinesses/snack/index.htm http://www.bphs.net/historyofkeybusinesses/snack/index.htm 11 even in not food materials (Horikoshi S, 2018), expecting that microwave and other radiofrequency heating processes still will be developed for new industrial applications, having a new era of process innovation. 4.1.11 Freeze-drying Freeze-drying or lyophilisation is a technology developed through different inventors and researchers and somewhat an application taken from the advances in medical, pharmaceutical and biological studies. There is a transfer of knowledge from these fields to foods with a clear application focused on maintaining the most volatile and degradable components of the foods, such as colours and flavours, but also vitamins, flavonoids, carotenoids, fatty acids or Maillard reaction products. The use of freeze-drying resembles a short history of innovation that needed developments from different areas (such as vacuum equipment for example) to find its best use. The high cost for its application has limited its use when compared with other widely extended technologies such as in container sterilisation, pasteurisation, or freezing. Therefore, although it is a clear advance in the food technology, there is the question of impact as a breakthrough. There is a clear advantage and penetration of the technology on the products that are launched in the market, lyophilised fruits can be found in breakfast cereals, mueslis, cereal bars, and baby foods or sold in their own, instant coffee of very high quality is produced using freeze-drying, other drinks and soups are also products produced using this technology as well as astronaut foods. It could be argued to which point freeze-drying has changed the way that we behave as consumers, but there is no doubt that like freezing or canning, it is a transversal technology that can be used almost in any food category. There is no doubt that freeze-drying has been one of the major advances in food technology of the late 20th Century and therefore it should be considered as a breakthrough. 4.1.12 Third agricultural revolution The struggle on increasing the yields and the output of agriculture is not new for humankind. Since the beginning of the agricultural activities, there has been a continuous effort to find the best way to increase plant production and have enough food supplies for survival. Nevertheless, there have been specific periods of history where this improvement was significant enough to be considered a revolution. The name “revolution” itself indicates a change that affects society in a global and transversal manner, in a way that there is no return. There were some agricultural revolutions in human history. The first revolution happened in the Neolithic with the discovery of agriculture (previously discussed in this document). The Arab agricultural revolution also introduced many reforms on land management and irrigation. The mechanization of agriculture that followed the industrial revolution in the 18th and 19th centuries is classified as the second agricultural revolution. The third agricultural revolution (also called the Green Revolution), had a clear impact on the land management, the plant breeding systems, the implantation of mechanization, the improvements on irrigation, the changes on fertilizer use, etc. It brought a clear social impact reducing the poverty in the areas it was implanted and allowing for further increase of the global population in developing and developed countries. Based on the way that the Third agricultural revolution took place, we could consider it a case of applied research, where different stakeholders joined efforts with a common vision of innovation, development and implementation of the research conducted. The investment in money, time and workforce is remarkable. Norman Barloug6 is considered as the first promoter of the research conducted, but he is not the inventor or the person to credit the innovation to. There is a search and common interest on the results of a win-win situation that benefitted the economics of countries under development enormously, so research was paid to pursue and implement the measures needed to have a clear impact. The innovations facilitated by the 6 Nobel prize Norman Borlaug biography: https://www.nobelprize.org/prizes/peace/1970/borlaug/biographical/ https://www.nobelprize.org/prizes/peace/1970/borlaug/biographical/ 12 Third agricultural revolution needed also a great effort for implementation and development, a case that is not common with all the breakthroughs that we have discussed. Different stakeholders from the agricultural area are currently discussing the need of a renewal of the Third agricultural revolution or as some may speak of it, a fourth agricultural revolution. Climate change, pollution increase, deforestation, excessive use of fertilisers, extension of arid zones, and increase in population are major drivers that ask for new advances on agricultural techniques. This will be discussed in section 5.2 on the potential breakthroughs upcoming, with some indicators of new potential breakthroughs regarding agriculture: the search of efficient urban farming, the improvements applied to highly controlled hydroponics, short market chains, the search for a less impact on environment, the increase on digital technologies such as the use of satellite data, global connectivity or intelligent use of irrigation, seeding and fertilization on a very focused use of resources, or the search for new uses of waste (circular economy). 4.1.13 Microcredits Despite Microcredits are considered one of the major breakthroughs in economics of the latest years, it is a difficult example to analyse in terms of impacts. The aim of the microcredit was to empower the poor, to raise women from the obscurity of some developing countries, to make it possible that anyone could be an entrepreneur. It is also relevant in the food system because it is present in the whole value chain of food production, from the agricultural input to the final purchase in small businesses, it affects business models and pursues sustainability within the system. It clearly affected society, in the evolvement and improvement of the financial situation of the most deprived parts of the society. Surely, there was an impact, but perhaps not the highly expected positive result that many expected. Some of the countries where microcredits have been implanted remain some of the poorest of the world, some authors even account for even worse that before microcredits existed (Cons J, 2008). Results are not clear on whether the impacts of microcredits were positive or negative, although many advocate for understanding microfinance as a tool, which remains positive when best used. Great arguments go to the best practices of microcredits, such as the existence of a business model beforehand (with clear goals), third parties controlling and assessing the beneficiaries, or a system that has the capacity to ensure that the money does not go into non-business associated expenses (e.g. a dowry for marriage). These arguments sustain the idea that not every person is a natural entrepreneur, and that the forces of liberal market still push loan beneficiaries into a competitive market (Washington Post: Microcredit isn’t dead, 2016)7. The causal actors of the microcredit breakthrough are credited to Prof. Yunus and the Grameen bank, although much of the impact and success could be correlated to NGOs and government efforts alike to push forwards the original initiative. 4.1.14 Food e-commerce In this case, we are analysing a breakthrough that is happening today. Therefore, it is a relevant analysis compared with other possible breakthroughs that have been classified still as trends or possible breakthroughs. There is no doubt that the e-commerce is already a breakthrough because we can measure the impact. The numbers of Amazon and other profitable enterprises that have made their fortune using e- commerce is enough evidence of the impact that it has had on the retailing world. There is a social change in the way that changes the shopping behaviour, linked to an internet era where there is no need to leave one’s home, not even to have a time frame space to make a purchase: it can be done anywhere, anytime, even from a smartphone or tablet with internet connection. It is a global change, transversal to many areas of human life, with a change on the behaviour and expectations of individuals. 7 Washington Post: Microcredit isn’t dead (2016). https://www.washingtonpost.com/news/in-theory/wp/2016/12/12/microcredit- isnt-dead/?utm_term=.9e7a69cb7abe https://www.washingtonpost.com/news/in-theory/wp/2016/12/12/microcredit-isnt-dead/?utm_term=.9e7a69cb7abe https://www.washingtonpost.com/news/in-theory/wp/2016/12/12/microcredit-isnt-dead/?utm_term=.9e7a69cb7abe 13 There are evidences that the food sector is summing up to this change. Convenient food and fast delivery shopping are already implanted (Just Eat is an example)8, non-perishable foods are already in the on-line market in many channels, perishable food are offered by retailers in more and more easy-to-use appliances even for smartphones, Amazon started offering groceries in 2017, all an indication that the breakthrough already happened. The improvements on delivery systems, speed of service, reduction of margins per service, and the easy-to-use applications for mobile phones, will keep this market growing. Some of the changes that the online commerce of food will bring are tangible and in parallel with the e-commerce already implanted. The free nature of e-commerce of foods brings also changes on the legislation that applies, the European Commission has launched a report analysing how to counteract against entries of non-permitted foods in the EU area using purchases online. Another report from PwC (PriceWaterhouseCoopers)9 studies the new legislation applied in China towards Food Safety. Yet another EU report10 states the challenges that the e- commerce will bring on consumer choice and management of consumer data. Therefore, we can state that food e-commerce is already a breakthrough. 4.2 Common factors The model of Geels et al. (2007) discussed the differences in trends affecting the landscape, showcases as niche opportunities, and breakthroughs having an impact at regime level. This starting point on the argumentation was relevant as it was required to differentiate the concepts of trends, showcases and breakthroughs, always in the context of the process of research and innovation in the food system but also as guidance for the development of a strategy to ascertain the best arguments for the possible breakthroughs of the future. It is necessary to keep in mind that the major drivers for this exercise were the challenges launched by the UN development goals and the implementation of the Food2030 strategy, which were in turn our guidance addressing the challenges that future breakthroughs should undertake. Trying to ascertain the odds for future breakthroughs is not an easy task. The objective of this section was to analyse the outcome from past breakthroughs and review if the factors for success were of appliance to a present environment. In this context we understand the environment as the conditions, whether they are social, technological or historical, in which a breakthrough acquires the impact that we have got to know. Table 2 summarises the discussions taken into consideration regarding past breakthroughs. 8 Just Eat: https://www.just-eat.com/ 9 PWC Report: China’s New E-commerce Food Safety Measures: https://www.pwccn.com/en/food-supply/publications/china-new- e-commerce-food-safety-measures/cfda-measures-for-e-commerce-food-safety.pdf 10 EU report: The first EU coordinated control plan on online offered food products. Analysis of the main outcome of the implementation of the Commission Recommendation on a coordinated control plan on the official control of certain foods marketed through the Internet. https://ec.europa.eu/food/sites/food/files/oc_oof_analysis_main_outcome_en.pdf https://www.just-eat.com/ https://www.pwccn.com/en/food-supply/publications/china-new-e-commerce-food-safety-measures/cfda-measures-for-e-commerce-food-safety.pdf https://www.pwccn.com/en/food-supply/publications/china-new-e-commerce-food-safety-measures/cfda-measures-for-e-commerce-food-safety.pdf https://ec.europa.eu/food/sites/food/files/oc_oof_analysis_main_outcome_en.pdf 14 Table 2: Analysis of factors of past breakthroughs Breakthrough Timeline Impact Value chain Sociotechnical Causality Resources Context Discovery of fire / Cooking foods Palaeolithic Changed human evolution adapting physiognomy and physiology to cooked foods. Changed human social behaviour. Food processing. Society. Food safety. Health. Milestones on the evolution of human species. Unknown. Insightful tribe personalities. Trial and error. Survival driver. Competitiveness against other species. Plant/animal breeding 12.000 - 5.000 B.C. Grounds of settlement of human kind and civilisation. Agriculture. Society. Technical. Trade. Health. Economy. Milestones on the domestication of different animal and plant species. Unknown. Insightful tribe personalities. Trial and error. Survival driver. Competitiveness against other tribes. Fermentation 10.000 B.C. - Today Changed food availability. Produced new foods and ingredients. Agriculture and Food processing. Society. Technical. Trade. Economy. Milestones on the discoveries of new processes and products. Unknown. Insightful personalities. Trial and error. Survival driver. Search for new food sources. Search for shelf- life. Discovery of America: New raw materials 1492 - Today Changed food availability. New raw materials, new crops, new livestock. New recipes. Agriculture and Food processing. Society. Trade. Economy. Challenge to discover sea routes. Milestones on successfully introducing new raw materials in different countries. Driven by the need of new routes to Asia (competitiveness). Christopher Columbus as discoverer of America. Revolution on new ship technology and sea orientation. Investment on the search of new trade routes. Exchange of plant and animal species during centuries. Further research on adaptation of crops and livestock. Canning 1810 - Today Preservation of foods never seen before. Availability of foods. Food processing. Society. Technical. Applied research. Competitiveness for an economic challenge. Nicolas Appert as inventor. Further public and private investment. Interest on shelf life of foods from military perspective but also from a humanitarian perspective. The supermarket 1912 - Today Availability of foods. Changed lifestyle. Logistics. Retail. Consumers. Society. Trade. Economy. Competitiveness for market share. Several actors. Private retail sector. Michael Cullen as reference. Key changes in society: Women empowerment, automobile as affordable transport, change of cities demographical structure, chain production, longer shelf lives of foods, changes on social behaviour towards convenient shopping… Flash-freezing 1915 - Today Availability of foods. Changed lifestyle and convenient food concept. Food processing. Consumers. Society. Technical. Applied research. Insightful idea from Clarence Birdseye. Large investment from industry. New technologies available to freeze foods. Need for further methods for food preservation. 15 Breakthrough Timeline Impact Value chain Sociotechnical Causality Resources Context Vitamins 19-20th Centuries Grounds of knowledge for nutrition. Eradication of diseases such as pellagra, scurvy, rickets and xerophtalmia. Pharmaceutical industry and fortification of foods. Policy towards fortified foods Transversal from agriculture to consumer. Health. Consumers. Education. Fundamental knowledge. Policy Fundamental research Several actors. Universities at first, industry later on. Interdisciplinary. Against the established knowledge. Concern about diseases not correctly diagnosed. Extrusion 1930s - Today New product availability in the market with very long shelf lives. Food processing. Consumers. Technical. Knowledge transfer from extrusion technologies used for metal casting, plastics… Investment from industries on the application. The advances on the extrusion technology allowed the transfer into the food application. Microwave heating 1945 (First patent) - Today Adaptation at home habits. Lifestyle of consumers. Convenient Foods. Transfer to industrial applications. Refectories. Restaurants. Consumers. Society. Consumers. Technical. Transfer of knowledge from radar technology. Percy Spencer and Raytheon as trigger. Inversion from a company that believed on the idea's success. Industrial competitiveness. Revolution on key technologies such as the magnetron. Vision of a company on an application. Interest from U.S. Government on uses for hospitals and military canteens. Freeze drying 1949 - Today Availability to new food categories. New method of food preservation with high quality of nutrients and aromas. Food processing. Technical. Transfer of knowledge from medicine. Earl W. Flosdorf as first to publish on the freeze-drying of foods. Public and private investment. Key technologies that allowed the advance on the technology: Vacuum, freezing, fast heating. Third agricultural revolution 1960 - 2000 Selection of new varieties of staple food. Improvement on implementation of crops. Fighting against poverty and hunger in developing countries. Agriculture Society. Technical. Policy. Public investment to solve a global challenge. Fundamental research. Public Investment on implementation. Investment on Research Centres dedicated to the challenge. Investment on implementation, from local to national. Education. Interdisciplinary and international collaboration. Norman Barlough as reference. Key challenges to be solved. Microcredits 1980 - Today New business model that aimed to end poverty and hunger in third world countries. Transversal from agriculture to consumer. Society. Trade. Fundamental research on business models. Private investment from banks. Private investment from beneficiaries. Public investment from governments and mainly NGOs. Key challenges to be solved running business models in third world countries. Food e-commerce 1995 - Today Changed trade and logistics. Lifestyle of consumers. Impact on business model channels. Retailers. Consumers. Society. Trade. Start-ups first inversion. Competitiveness for market share. Private investment from companies. New technologies available (World Web Wide). Investment on a business model. Policy not established. 16 The clearest point on breakthrough definition is to have an impact at the regime level of knowledge. Regime, as introduced in point 3, is the state of the art established in a system and represents the status-quo achieved in a sociotechnical environment with a shared area of knowledge. Examples of this are: the policies and regulations applied, equipment and infrastructures, technical knowledge, the common ground science, the lifestyles of individuals, standardised methodologies, etc. Therefore, a breakthrough changes the regime status into something new that creates a new state of the art, a new paradigm, a new framework of interaction. This is one of the clear statements in a breakthrough (Geels et al, 2007). All the examples presented fit this premise: Fire cooking changed evolution of human kind, Neolithic revolution changed civilization, flash-freezing or extrusion changed the product availability in the market, vitamins changed our perception of nutrition and health, supermarket and e-commerce derived in new lifestyle models. Moreover, the difficulty here is to establish rules to measure the relevant impact. As discussed with extrusion or freeze- drying, relevant impact was detected, but the scale compared with the impact of, for example, the third agricultural revolution, was not equal. Therefore, there is the need to measure the amplitude, the scope, the type of change in the landscape to clarify whether the relevant event becomes a niche showcase with a clear end or the roots of development of a larger breakthrough. This discussion refers also to the point of evolution of the breakthrough. Taking a question such as: Is the e-commerce a breakthrough? Then, evidences of impact are searched. How many users has it? Is it a sustainable change? Will it stay at the regime level? Will it have a further evolution? Will it have impact in other areas of knowledge? Will it change society or lifestyles? Words like transversal, global, already implemented, are key to understand the impact of a breakthrough at the regime level. The statement of a breakthrough measured in terms of impact is a matter of study. In terms of a project that aims to have a product having an impact in the market, Wheelwrith and Clark, 1993, defined three levels of projects. Breakthrough projects were stated as the ones that required major changes to existing processes and products and often required major invention. The other two levels were the platform projects, in which a family of new products is created, and the derivative projects, in which there is an incremental change resulting in cost reduction or the addition of an extra feature to a previous invention. The latest level is the one that we could identify with the concept of incremental innovation, very often used as an antagonist of a breakthrough. However, we have observed that certain amount of lesser innovations, perhaps considered niche accomplishments, become milestones of an overall breakthrough when observed with time. One of the main common points of R&I breakthroughs is that they are all recognised through time. There was no way back, they were not forgotten, they stayed in our regime level, they became mainstream. Moreover, evolution might trigger new changes on the same breakthrough, but the change itself remains. That is common to all examples: The “frites” and chocolate of Belgium come from the exchange with America, they were foods that will remain in our culture. Cooking, domestication of plants and animals, fermentation, etc. are part of our past, and a world without these breakthroughs is unthinkable of. Changes such as microwaves, freeze-drying, freezing and extruding keep evolving in new processes and products into the market. Microcredits changed the way we see business models, the supermarket is part of our history of retail, and e-commerce is making a new history on consumer interaction. Breakthroughs are sustainable over time. Another common feature of breakthroughs is that the impact would not stay in a single niche area of knowledge, a breakthrough would have a transversal impact on different areas. They usually affect more than one single aspect of the regime, creating a cascade of changes that overall amplify the impact. One example is the invention of microwaves and the number of applications it has in foods, covering almost all the spectra of food materials that can be warmed up using this heating method. Nonetheless, there could be controversy on how transversal is considered. Is a change applied in a specific food sector a breakthrough? How is it measured? An example could be the invention of industrial continuous processes for the formation of pastries such as croissants or “pain ou chocolat”, this technology, which allows the production of many of the products that we can find on the market at affordable prices, is very exclusive of this type of products. The impact of the innovation, although advanced in the industrial processes of bakery, would not be qualified as a breakthrough. The quantification of how transversal a breakthrough might be is a difficult task, but it 17 could be reasoned that the higher the impact at different sectors of knowledge, the greater the impact of a breakthrough. A parameter that also arises from the analysis of past cases is the continuity of the innovation even after we consider the breakthrough has happened. There is a continuous evolution in the history of breakthroughs, where further research and innovation is applied, in some cases even bringing new breakthroughs. One example is the concept of agricultural revolutions. As it was discussed, there are key points of history where the agriculture faces a relevant development: First, the domestication of some plant varieties in the Neolithic revolution, second, the advances of the Industrial revolution, third, the innovation into plant breeding and agricultural techniques of the Third agricultural revolution. The advances in smart farming and biotechnology could be the fourth agricultural revolution if implemented appropriately worldwide. This is a powerful idea when reviewing the trends in which different areas of knowledge might have the continuous potential to launch new breakthroughs from existing ones. Breakthroughs, as discussed on the Geels model, require niche innovations and trends that provide the appropriate context for the step forward. No R&I breakthrough, is accomplished without having the right ingredients to start with, most of the new ideas are born from other ideas. The funnel tunnel model on innovation (He X, 2008), also states the need of many creative ideas that follow a funnel flux towards a final concept: Not all the ideas reach a final concept, many ideas die in the process. The grounds in which all these ideas are nurtured, many times require creativity and capacity of doing, in both cases the knowledge available to the person/s working in the innovation gives the capacity of the insight. Reviewing the past examples: the invention of the microwaves required the radar, the breakthrough on freeze-drying needed the vacuum pump and freezing technology to move forwards, the discovery of America needed cartography and new available ships and advanced sea orientation to achieve success, vitamins required advances on chemistry for its isolation and synthesis, microcredits required all the theories developed for business models, e- commerce would not be a reality without the World Wide Web, and so on. Therefore, for an R&I breakthrough to take place, there should be a process in which the context provides the appropriate resources. Another way of looking at the context of a breakthrough could be taken from the point of the observer. The question here is: Is the society, consumer, policy or research context ready for the research or innovation proposed? In many cases, the breakthrough might have happened, the greatest of the ideas have been developed, the ground for a new generation of sound science has been laid, but the receivers, the users, the buyers of the invention, are not ready to accept it. An example of this point, could be the launch in the 80s of the Videotex system by Michael Aldrich, who proposed the first commercial system using a TV device, he did not achieve the breakthrough that the e-commerce would become, and it was just too early for having a massive mainstream use from consumers to use the technology with that purpose. One of the variable factors found reviewing former breakthroughs has been the time dedicated to achieve a breakthrough. Whilst the domestication of plant and animal varieties took an evolutionary stage ranging from 1,000 to 5,000 years, the breeding technology applied on the Third agricultural revolution just took some years of research. Another example, the development of traditional ways of cooking foods (roasting, charring, boiling, stone-cooking…) took thousands of years to develop, the invention of in-container sterilisation settled in decades, the invention of freezing, extrusion, microwaves and freeze-drying took some years for a suitable development. However, as it can be perceived by the examples provided, although an R&I breakthrough seems to arise when there is a specific pressure for an evolution on the established knowledge, the rate at which humanity requires to overcome new challenges is increasing. Therefore, the actual need of our society is to rise R&I breakthroughs faster than ever. At the actual time, if we take the UN Development Goals (SDG) as challenges, acceleration of research and innovation is required to adapt to these existential frame, and therefore science, technology, and education have to align into new R&I breakthroughs that can generate value for all stakeholders, including consumers, society and environment. The factors related on how to speed up R&I breakthrough processes has been under study in the recent decades, with increasing interest from companies. Firms and private investors are the stakeholders that usually have the challenge to contextualise the innovation. Dreyer et al. (2017) make a distinction between 18 research and innovation, they argue that research, that often is conducted by universities and research centres, puts an investment in place to obtain knowledge; whilst innovation, usually conducted by companies and enterprises, uses that knowledge to create value. The process for a breakthrough in the actual framework requires of both processes to achieve success, and both requires investment. The investment could be monetary, but could also be time, resources, or enabling technologies. Taking into consideration the cases from the past; the quantity of investment was not directly linked to breakthroughs. Some ideas such as the technical R&I breakthroughs flash-freezing or microwaves required huge investments to achieve impact, but others such as the Third agricultural revolution or microcredits required higher governance or political will. Moreover, when implementing a research and innovation process, usually the resources required for development of a product or an idea (e.g. Implementation) to a relevant scale, required about ten times more than the generation of a prototype or pilot trial (Dreyer 2017). The investment, taken from a ‘learning from the past’ perspective, has been linked to the risk management related to a research and innovation process, therefore there is a continuous search for minimising these risks whilst optimising the investment. Unfortunately, often the results of the investment are not seen until the end of the process, so there is no guarantee of a breakthrough despite the quantities invested in the R&I process. The reviewed cases have shown different outcomes and paths to achieve an R&I breakthrough. In some cases we observed a casual discovery, in others an applied research, in some there was a transfer of knowledge, in others a brilliant insight, some had a great competitiveness, and in other cases there were a certain amount of milestones through an innovation necessary to achieve an overall impact. For example, the R&I breakthrough of fermentation required several steps to achieve an overall knowledge and impact, the application of sterilisation conducted by Nicholas Appert used an applied research, the invention of extrusion or freeze-drying was a knowledge transfer from other areas of research, the supermarket was a fierce competitive approach to market share, freezing and microwave cooking were brilliant insights followed by a faithful investment. Therefore, it could be argued that although some processes favour innovations that will lead to a breakthrough, there is no unique pathway. But historical pathways could be misleading on the actual frame and challenges that we face and the tools that are at the disposal for an R&I breakthrough. Colombo et al (2017) suggested insights referring to the organisation of R&I breakthroughs into companies taking into account factors such as workforce diversity, human resource practices, professional practices, resource management, open innovation strategies, organisational identity and alliance networks. Recent studies highlight some practices that produce potential for an R&I breakthrough. For example Kamuriwo et al, 2017, studied the relevance of having external collaborative partners in an open innovation model to have a better outcome (compared with internal knowledge from a single company or institution). Also Dong et al, 2017, stressed the relevance of alliance networks to create consistent breakthrough innovation. Li et al., 2017, showed evidence on the management of uncertainty taking into account resource structuring and strategic flexibility within a company to optimise the output on breakthrough innovation. In this sense, Dreyer et al., 2017, linked the success of breakthrough innovations to concepts such as Creating Shared Value (CSV) and Corporate Social Responsibility (CSR) as relevant enablers for an innovative community of collaboration, including them in the concept of Responsible Innovation. Much attention is also oriented towards the concept of Open Innovation as a way to outsource creative thinking out of a company, joining forces with entrepreneurs and start-ups to overcome challenges in an oriented way from a flexible thinking environment (Stanko MA, 2017). Single individuals are possibly one of the main keys for an R&I breakthrough, we have cases in history of key personalities such as Nicholas Appert (canning), Michael Cullen (Supermarket), Clarence Birdseye (flash- freezing), Percy Spencer (Microwaves), Earl W. Flosdorf (Freeze-drying), Norman Barloug (Third agricultural revolution), or Jeff Bezos (e-commerce). However, many of these breakthroughs required many other ingredients such as competitiveness, technological advances, investment from stakeholders, and knowledge, to allow this inventor’s ideas to achieve success. Most of the times, R&I breakthroughs required the efforts of many individuals and other factors to realize impact. R&I breakthroughs such as the evolution of fire cooking, fermentation, or extrusion were the result of a number of advances and events that sum up to final impact. Therefore, we cannot conclude that individuals themselves are common grounds for a breakthrough, but capacities and competences of certain individuals can help to prepare and inspire a 19 generation of genuine innovators. Muhammadi et al, 2017, in a study on ethnic and educational backgrounds showed evidence that individuals with diverse backgrounds and different disciplinary education facilitate working team abilities to make better use of the information and complement a team towards radical innovation. Aagaard A et al, 2017, also showed in a study cantered in Front End Innovation how specific human resources practices, such as training innovation teams, measuring innovation performance of individuals or creating ad-hoc innovation talents can speed up disruptive thinking. Also Radaelli et al, 2017, provide insight on how the structure of institutions (e.g. hospitals) can provide radical innovation thinking by having the right measures in terms of management of executives, medium managers and professionals, optimising the output towards practices that favours innovative thinking. Perra et al., 2017, takes a step further and discusses the relevance of introducing the concept of innovation identity within companies and corporations to create the different mind-set for the development of innovation. The individual factor on human resources would be critical towards a breakthrough innovation and education and institutions clearly have a greater impact in this point. Following the discussion, we could come with the following relevant factors: - Impact on regime - Sustainable in time - Transversal - Continuous potential - Appropriate context - Timeline - Path of innovation - Investment - Human resources 5 Identification of potential R&I breakthroughs 5.1 Results of the survey The survey was conducted on 100 respondents coming from the areas of education and research (47%), business (21%), policy making of governmental organisations (17%), non-governmental organizations or civil society organisations (10%), funding agencies (2%), and others that would not fit in these categories (3%). Overall, 83% of the participants answered the question related to examples of future R&I breakthroughs, but they were given the opportunity to give at least 3 suggestions, therefore a total of 106 different proposals were obtained. The answers were of varying size, scope and opinion, therefore, not all of the 106 inputs have been included, but a list of the main ideas was summarized and is provided below: Breeding - New techniques Several entries in the survey related to new techniques of animal and plant breeding, although most of the inputs referred specifically to plant breeding. Either by generating new varieties of plants by crosslinking species (e.g. Tritordeum), or by introducing new genetic methodologies. Many of the ideas behind the introduction of new varieties of plants were oriented to: increase of drought resistance, “less water” resistance, more resilient varieties, pest resistant or less fertilisers’ dependency. Some applications went further, suggesting varieties with increased photosynthesis, or plant seeds or leaves with a modified coating to provide higher resistance to drier climates. Smart farming The concept of smart farming includes many agricultural developments, from the increase in productivity and efficiency using precise farming on seeding, irrigation, fertilising and harvesting, to have a better use of land and growth data for the design and planning of the cropping. Many of the inputs referred to a more 20 efficient use of data to have a better forecast, increase field output, better use of resources, use of easy-to- use Apps with a precise application, free access to a web-net database, the use of mechatronics into the agricultural field, or the use artificial intelligence in decision making. The application of new ICT technologies into the agricultural environment could provide higher quality, ensured food safety, better traceability, improved productivity, higher efficiency, less fraud, lower costs and more benefits to a new era of higher sustainability of the agricultural ecosystem. New agriculture Some entries in the survey referred to new ways of tackling agriculture. Here there were a miscellanea of ideas which have been included in this group, which did not mention breeding or smart farming for a better agricultural model, most of them tackled the implementation of new models of agricultural management. Some of these were: the use of hydroponics as the total control of plant growth and development in green houses under controlled environment (concept of vertical farming or hydroponic towers), the higher intelligence on crop rotation to enrich soil nutrients (e.g. use of legumes on cereal intercropping), the use of agroecology principles to local farming, permaculture principles further applied, or the reduction of synthetic pesticides and fertilisers using a new family of compounds, e.g. use of bioactive compounds for soil regeneration or the use of microorganisms with a natural pesticide action (BCA) for an Integrated Pest Management (IPM). In terms of agricultural policies some advocated to continue with the Partnership for Research and Innovation in the Mediterranean Area (PRIMA) or to include Africa in policies such as mobile grain storage for unsecure farming output (Paepard project). Trade – New systems Still in line with primary production, some inputs in the survey suggested new policies and management of the agricultural system towards a new food revolution on the supply chain and use of resources for a more sustainable trade from the first producer to the final consumer. Thus, taking into account the margins gained on the process by middle-men and a more balanced equity on the costs of production. Empowered consumers The use of living labs, social sciences, but also the advances on technologies of communication allows for a new framework of consumer empowerment into the food value chain. Consumers, from the point of view of society, can be part of the Research and Innovation inputs into the food system. There is a space for innovative ways to empower consumers in a supply driven food chain. Blockchain The proposal with the highest number of suggestions from individual opinions was the application of blockchain (6 out of 106), thus it has been included as a concept of its own. Blockchain could allow a quick tracing of food products to their source for enhanced food authenticity, therefore increasing transparency and trust in the food value chain. Change on dietary habits From the area of health and nutrition several inputs were entered as possible future R&I breakthroughs: An increased research and implementation of nutraceuticals, the advent of multi-omics in a combination of metabolomics and metagenomics, plant-based substitution for animal products, improvements on the reduction of nutritional “unhealthy” ingredients such as sugar and salt, or sustainable resource of omega-3 as feed for fish. Biotechnology Several entries were related to the advent of a new biotechnological era. The further exploitation of microbiota/microbiome knowledge can impact the way that food is produced and the nutrients that it provides. The development of biotechnological tools on the knowledge of genome and its sequencing, opens the possibility of new applications and implementations. Some examples were the conversion of biomass and 21 residues into a new range of new sub-products and ingredients, the use of actual biorefineries to separate protein and energy into protein usable for humans, or the use of microalgae to produce nutraceutical components without impacting food agriculture. The future ICT The use of Information and Communications Technology is implicit in other entries of the survey such as the Smart Farming or the use of consumer data. Nevertheless, it has been included as a separate entry because the examples given provide a wide range of implementation that also should be taken into consideration. Some other insights referred in general to the use of Big Data in industrial applications (e.g. traceability or processing) but also in consumer data gathering, the increase of sensors and data gathering appliances in the food sector and industry, the digitalisation of industrial processes but also of control, supply chain and delivery systems using digitalisation and the Internet of Things (IoT), or the wider use of robotics for an agro- food mechatronic era. New industrial processes New potential breakthroughs should also arise in food processing and the way food is manufactured. Some examples were given on the use of high pressure and osmosis preservation, the use of low-oxygen mild processing techniques, low input technologies, new heating technologies, new sterilising processes with no heat, novel, greener and more efficient food processing technologies, or the application of robotics, including also the overall application of new ICT technologies such as Big Data, Internet of Things or Integrated use of data between sensors and production input and output. Several entries suggested nanotechnology as a potential breakthrough in itself. The use of nano-material is arising in many cases and implementations and the future for food is promising, as soon as policy might allow further applications on or in food. Packaging – New perspectives The incoming challenges are claiming for new packaging solutions, the survey provided some insights on possible future evolutions from the materials and packaging technologies. Some of the proposals were the use of plastic substitutes from almond shelves or other waste streams, the introduction of sensors on packaging that can detect the real self-life of a product, new packaging materials that can be biodegradable at cost effective prices, improving the waste streams for plastic recycling, or the reduction of packaging materials from food packages. New ingredients The exploration of new food sources appeared also in the survey. Some of the ideas were the exploitation of algae or insects in a wider range of applications, the use of new sources of proteins, the increased use of legumes in new implementations, the use of “cultured meat” (i.e. meat produced not using animals), substitution ingredients for animal products, or the use of microbiota (biotechnology) to obtain new sources of nutrients. New aquaculture There is space for improvement from the aquaculture farms, to find new sustainable feeds and to improve growth while investigating food safety aspect. The H2020 project from FP6, Aquamax, was mentioned to remind this area of research and innovation. Developments in Food Analysis The area of food analysis is under continuous improvement. Some possible breakthroughs were taken from the genome-based technologies for detecting and monitoring quality/safety/authenticity of foods, or the policy regulation and analysis of allergen thresholds to improve efficiency and common understanding between industry, research and consumers. 22 Circular economy The use of residue or waste is recurrent on circular economy and still a global breakthrough is waiting to take place. Some of the inputs into the survey was the reminder of the H2020 project REFRESH EU; a “funded project on food waste halving per capita food waste at the retail and consumer level and reducing food losses along production and supply chains, reducing waste management costs, and maximizing the value from un- avoidable food waste and packaging materials”. A more specific idea was suggested on the use of edible insects based on the consumption of non-used by products from the food industry. Bioeconomy The survey also had some entries on the area of bioeconomy. A higher controlled-environment production systems for the efficient use of water, nutrients and land. Also, a robust production eco-system based on biodiversity and resilience. To achieve these R&I breakthroughs, some examples were given, such as the use of algae biomass to produce renewable energy, or the H2020 project ReProtect: “Development of a Novel Approach in Hazard and Risk Assessment for Reproductive Toxicity by a Combination and Application of In Vitro, Tissue and Sensor Technologies”. New Policies and Management Some possible R&I breakthroughs were stated in terms of new policies or management proposals. Some inputs on management suggested an increased efficiency on translating project results to factual implementation, a higher cooperation between funded projects and the private sector for technical transfer, a higher involvement of public-private initiatives, and higher networking between the ongoing European funding schemes such as EIT-Food, JPIs and H2020 projects. In terms of policy, some argue for a higher policy implementation on measuring the impact of scientific output to innovation. From a different policy perspective, some had foreseen a better regional labelling implementation, sectorial responsibilities on decision making for implementation on regional food systems, and a multi-scalar, multi- level policy approach to enable higher innovation output. New inputs in education Some inputs of the survey focused potential R&I breakthroughs on education. Addressing the way that the society is educated in food systems and a global awareness of the SDGs and its relation to the research and innovation output, education should also be considered and used to boost the future framework of new ways of thinking. 5.2 Potential R&I breakthroughs The aim of the overall task was to obtain a coherent inventory of potential R&I breakthroughs. To achieve this goal the following inputs have been taken into account: - Food2030 agenda. - Considerations from past cases and drivers of breakthroughs in WP4. - Survey FIT4Food2030 on future possible breakthroughs. - Trends from WP2. - Show cases from WP3. - Literature review of key documents. - Other suggestions by experts from industry, research institutions, organisations… The inventory has been constructed in a dynamic table (table 3). This table is divided in four major domains with areas of R&I breakthroughs and a list of specific topics that could be related to the breakthrough, then a text explaining briefly the area of impact of the breakthrough, and information referring to which areas of the Food2030 agenda are best represented, which trends identified in WP2 the breakthrough could have impact, and which cases identified in WP3 could be evidences of the niche activities taking place. For the last two references in WP2 and WP3, we refer to deliverables 2.1 and 3.1 of the Fit4Food2030 for detailed https://ecvam-dbalm.jrc.ec.europa.eu/projects-and-studies/eu-integrated-projects/eu-integrated-project/eu-integrated-project-reprotect-development-of-a-novel-approach-in-hazard-and-risk-assessment-for-reproductive-toxicity-by-a-combination-and-application-of-in-vitro,-tissue-and-sensor-technologies./key/eup_102 https://ecvam-dbalm.jrc.ec.europa.eu/projects-and-studies/eu-integrated-projects/eu-integrated-project/eu-integrated-project-reprotect-development-of-a-novel-approach-in-hazard-and-risk-assessment-for-reproductive-toxicity-by-a-combination-and-application-of-in-vitro,-tissue-and-sensor-technologies./key/eup_102 https://ecvam-dbalm.jrc.ec.europa.eu/projects-and-studies/eu-integrated-projects/eu-integrated-project/eu-integrated-project-reprotect-development-of-a-novel-approach-in-hazard-and-risk-assessment-for-reproductive-toxicity-by-a-combination-and-application-of-in-vitro,-tissue-and-sensor-technologies./key/eup_102 23 explanation. Due to the confidentiality of the names of the companies, projects and organisations involved in the study of the cases, only the number of the case related to the breakthrough topics has been included, the Deliverable 3.1 of the Fit4Food2030 project contains the full list of the cases under study and the link to the numbers of reference. Also, at the time of submission, only 75 references have been included, further versions are expected to have at least 150 cases aligned. It is not the intention of this document to explain all the topics proposed. References have been added to better understand the content of the list of topics after the table summary. The main domains and breakthroughs have been summarised in the following information below to facilitate the search: The new approach of primary food production and distribution • Breeding - New Techniques and applications • Smart farming • Non-conventional production systems • Reduction of impact of production • New value systems • New aquaculture An engaged and healthy consumer • Empowered consumer • Change of dietary habits • New tools to improve nutrition and health • New methods in education The tools of a future proof food system • Logistics - New systems • Smart traceability in the food supply chain • A novel approach to biotechnology • Information and Communication Technologies (ICT) applied to Food System • Food Industry 4.0 - Novel and efficient food processing • Sustainable packaging • Diversity on the diet • The global food analysis A sustainable and dynamic value-based food system • Circularity in food systems • Efficient use of resources • Food for society • Policy and management within the food system The following Table 3 shows the inventory of possible R&I breakthroughs: 24 Table 3: Inventory of possible R&I breakthroughs Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) The new approach of primary food production and distribution Breeding - New Techniques and applications - New varieties of animal and plants. - New genetic methodologies and new applications. Plants: Increase of drought resistance, “less water” resistance, more resilient varieties, pest resistant or less fertilisers’ dependency. Some further suggestions: Varieties with increased photosynthesis, plant seeds or leaves with a modified coating to provide them higher resistance to drier climates. CLIMATE, NUTRITION - Climate change. - Malnutrition. - Scarcity of natural resources. - Agricultural pollution. - Biodiversity loss. - Transboundary pests and diseases. - Genome engineering. - Bio-fortification. - 010 - 036 - 061 - 072 - 073 Smart farming - Precision farming: Use of local data (e.g. Apps, terrain data, irrigation data, foliar growth). - Use of global data (e.g. Web platforms, forecasts). - Applied mechatronics. - Artificial intelligence applied. Higher quality, ensured food safety, better traceability, improved productivity, higher efficiency, less fraud, lower costs and more benefits to a new era of higher sustainability of the agricultural ecosystem CLIMATE, CIRCULARITY - Climate change. - Malnutrition. - Demographic change. - Scarcity of natural resources. - New and Game-Changing Digital Technologies in Agriculture. - Changes in farm structures. - Agricultural pollution. - 021 - 022 - 027 - 026 - 033 - 060 - 064 - 066 - 069 - 071 Non-conventional production systems - Hydroponics. - Vertical agriculture. - Intelligent cropping. - Agroecology. - Permaculture. - Organic awareness - Urban farming. - Biodiversity Higher quality of crops, better use of resources and land, less "intensive" agriculture, use of waste streams, higher sustainability of the agricultural ecosystem. CLIMATE, NUTRITION, CIRCULARITY - Climate change. - Malnutrition. - Demographic change. - Scarcity of natural resources. - New and Game-Changing Digital Technologies in Agriculture. - Changes in farm structures. - Agricultural pollution. - Organic farming. - Indoor cultivation systems. - Urban agriculture / Urban farming. - Permaculture. - 003 - 006 - 008 - 009 - 011 - 015 - 018 - 025 - 027 - 030 - 034 - 039 - 047 - 051 - 055 - 056 - 057 - 064 - 067 - 076 25 Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) Reduction of impact of production enhances - New approaches to fertilizers. - New approaches to pesticides. - New approaches to animal antibiotics. Better footprint of production, better use of natural resources, less environmental impact. INNOVATION, CLIMATE - Climate change. - Malnutrition. - Scarcity of natural resources. - Agricultural pollution. - Biodiversity loss. - Transboundary pests and diseases. - Alternatives to conventional pesticides. - Changes in farm structures. - 027 - 030 - 034 New value systems - Business model for the primary sector. - Short value chains. - New models on developing countries (Microcredits, Crowd funding). - Social innovation relating to food production and distribution, Food coops, social markets etc. New policies and management of the agricultural system towards a new food revolution on the supply chain and use of resources for a more sustainable trade from the first producer to the final consumer. Thus taking into account the margins gained on the process by middle- men and a more balanced equity on the costs of production. CLIMATE, CIRCULARITY, INNOVATION - Demographic change. - Migration. - Economic globalisation. - Changes in farm structures. - Responsible consumers. - Concentration in Food Retail Markets. - Short food supply chains. - Chain clustering along the food supply chain. - 003 - 005 - 011 - 023 - 048 - 049 New aquaculture - Advanced fish farms. - New feeds. - New on sea production with lower impact on nature. There is potential for a better exploitation of our seafood resources, from the feeding system to food safety and authenticity. CLIMATE, CIRCULARITY - Climate change. - Scarcity of natural resources. - Food from the sea. - Closing the loop in aquaculture. - Food waste recovery up-cycling / waste cooking. - 015 - 017 - 027 - 028 - 047 - 055 - 061 26 Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) An engaged and healthy consumer Empowered consumer - Innovation in social sciences. - Living labs. - Optimised use of big databases. - Informed consumer. - Active and engaged consumer - Cocreation - Due diligence - Value based food system - Domotics (technologies at home for preparation, storing, menu selection, etc.) Consumers from the point of view of society, can be part of the Research and Innovation inputs into the food system. There is a space for innovative ways to empower consumers in a supply driven food chain. INNOVATION, NUTRITION - Big data analysis. - Economic globalisation. - Health and food consciousness. - Responsible consumers. - Destabilised consumer trust. - Fast and convenient food. - Changing households and food. - Consumer engagement. - Social media and food. - New shopping behaviour. - Physical internet. - Responsible research and innovation. - 023 - 059 - 065 Change of dietary habits - Awareness of healthy habits - Reduction of targeted ingredients (salt, sugar, trans saturated fats) - Reduction of targeted additives (clean label) A healthier population with all the consequences this enables: Less communicable diseases, healthier growth and ageing of individuals, a sustainable lifestyle… NUTRITION - Rise of non-communicable diseases. - Demographic changes. - Biofortification. - High/Ultra processed foods. - Clean eating / transparent labels. - Novel foods. - Natural preservatives and milder processing methods. - Alternative protein sources. - Functional foods including pro&prebiotics. - Health and food consciousness. - Responsible consumers. - Special diets like vegetarian, vegan or low carb. - Destabilised consumer trust. - Fast and convenient food. - Low prices, high calories. - "Free-from" products. - Smart personalised foods. - Globalisation of diets. - Consumer engagement. - Traditions and Do It Yourself. - Social media and food. - Food regulation. - 024 - 040 - 043 - 044 - 045 - 050 - 052 - 062 - 063 - 075 - 077 - 078 27 Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) New tools to improve nutrition and health - Personalised nutrition. - Multi-Omics. - Nutraceuticals - Functional foods. - Human genome knowledge and application. Further knowledge on human health and the tools available to measure and to influence an adequate nutrition and healthy habits. NUTRITION - Rise of non-communicable diseases. - Demographic changes. - Biofortification. - High/Ultra processed foods. - Clean eating / transparent labels. - Novel foods. - Functional foods including pro&prebiotics. - Health and food consciousness. - Responsible consumers. - Special diets like vegetarian, vegan or low carb. - Fast and convenient food. - Smart personalised foods. - Globalisation of diets. - Consumer engagement. - Traditions and Do It Yourself. - Social media and food. - Food regulation. - 036 - 044 - 046 - 062 - 073 New methods in education - New models for education (e.g. Learner cantered / personalised education, New approach to MOOCs - Massive Online Open Courses, Do It Yourself Education, Problem solving learning – Participatory research) - Awareness of Food-system. - Innovation and entrepreneurial behaviour (e.g. Innovation through Hackathons, MakerSpaces, FabLabs, Science Shops). - Guidance to Start Ups and SMEs, new models of collaboration and impact. - Open researh and open innovation concepts. Society and new generations need to think differently to achieve new solutions to the actual and future incoming challenges. INNOVATION - Malnutrition. - Rise on non-communicable diseases. - Demographic change. - Migration. - Scarcity of natural resources. - Rise in energy consumption. - Economic globalisation. - Agricultural pollution. - Biodiversity loss. - Health and food consciousness. - Responsible consumers. - Destabilised consumer trust. - Changing households and food. - Globalisation of diets. - Consumer engagement. - Social media and food. - New shopping behaviour. - Food waste recovery up-cycling / waste cooking. - Women's empowerment. - Responsible research and innovation. - 009 - 032 28 Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) The tools of a future proof food system Logistics - New systems - Physical internet - Service "at the door at any time" A new way of transferring materials from one place to another globally would change the way we understand trade and acquisition of goods in a rapid market. INNOVATION, CIRCULARITY - Urbanisation. - Demographic change. - Economic globalisation. - Changing households and food. - Consumer engagement. - New shopping behaviour. - Physical Internet. - 022 - 023 Smart traceability in the food supply chain - Transparency and trust through the value chain. Blockchain could allow a quick tracing of food products to their source for enhanced food authenticity, therefore increasing transparency and trust in the food value chain CIRCULARITY - Economic globalisation. - Blockchain Technology for secure food supply chain. - Destabilised consumer trust. - Concentration in food retail markets. - Food regulation. A novel approach to biotechnology - New biotechnological tools. - New applications. The further exploitation of microbiota/microbiome knowledge can impact the way that foods are produced and the nutrients that they provide. The development of biotechnological tools on the knowledge of genome and its sequencing, opens the possibility of new applications and implementations. Some examples were the conversion of biomass and residues into a new range of new sub-products and ingredients, the use of actual biorefineries to separate protein and energy into protein usable for humans, or the use of microalgae to produce nutraceutic components without impacting food agriculture. INNOVATION, NUTRITION, CIRCULARITY - Malnutrition. - Scarcity of natural resources. - Genome engineering. - Novel food. - Natural preservatives and milder processing methods. - Alternative protein sources. - Functional foods including pro&prebiotics. - "Free from" products. - Food waste recovery up-cycling / waste cooking. - 012 - 014 - 041 - 050 - 052 - 053 - 054 - 058 - 062 - 063 - 074 - 077 29 Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) Information and Communication Technologies (ICT) applied to Food System - Full exploitation of big data. - Internet of Things. - New sensors applied to multiple applications. - Digitalisation of industry. - Robotics. - Augmented reality. - Artificial intelligence. Transversal to many sectors in the food system, from the efficiency of industrial processes to new business models on the interaction with consumers. INNOVATION - Industry 4.0 - Digitisation in food industry. - Big data analysis. - New and game-changing digital technologies in agriculture. - Blockchain technology for secure food supply chain. - Consumer engagement. - Social media and food. - New shopping behaviour. - Physical internet. - 016 - 022 - 026 - 031 - 033 - 042 - 066 - 069 - 071 Food Industry 4.0 - Novel and efficient food processing - Mild processing - Low input technologies. - New robotic applications. - Nanotechnology (New applications, novel packaging, novel foods, policies applied). - Integrated input-output responses. - 3D Printing (Personalisation, Mass production, DIY). - Emulgation (membrane, microfluidisation, ultrasound). - Cutting tech (water-beam, laser, ultrasound). - Separation (membrane, adsorption technologies). - Extraction (Hypercritical CO2). - Heating (super-heated steam, microwaves, induction, sous- vide, radio-frequency). - Preservation (IR, UV, radiowaves, pulsed electric fields, high pressure treatment, osmosis, cold plasma). - Filling (Aseptic filling, clean room tech, super cooling). - Packaging (see packaging breakthrough). More efficient processes in productivity and energy consumption, more environmentally sustainable processes, less production of waste, products of higher nutritional quality. INNOVATION, CIRCULARITY, NUTRITION - Rise in energy consumption. - Industry 4.0 - Digitalisation in food production. - Big data analysis. - New technologies in food production. - High/Ultra processed food. - Novel food. - Natural preservatives and milder processing methods. - "Free from" products. - Packaging 4.0. - Food waste recovery up-cycling / waste cooking. - Food regulation. - 020 - 045 - 052 - 053 - 054 - 070 30 Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) Sustainable packaging - New materials. - Biodegradable materials. - New recycling methods. - Reduction of package. - New models in the food system. Higher sustainability of the food system, less environmental impact, better use of resources and waste streams. CIRCULARITY, CLIMATE - Scarcity of natural resources. - New shopping behaviour. - Responsible consumers. - Bio-based packaging. - Packaging 4.0. - Reduction of plastic packaging. - Packaging and health. - Food waste recovery up-cycling / waste cooking. - Food regulation. - 065 - 068 - 070 Diversity on the diet - New sources not fully exploited. - New protein sources (biotechnology). - Full exploitation of algae. - Full exploitation of insects. - Cultured meat. Exploring new ingredients allows a higher diversity on use of resources, technological applications and health impact on consumers. Always from a sustainable perspective and environmental impact perspective. CLIMATE, CIRCULARITY, NUTRITION - Malnutrition. - Scarcity of natural resources. - Cultured / in vitro meat. - Novel food. - Alternative protein sources. - Health and food consciousness. - Special diets like vegetarian, vegan or low carb. - Globalisation of diets. - Food regulation. - 012 - 013 - 014 - 017 - 019 - 029 - 050 - 058 - 074 - 075 - 077 - 078 The global food analysis - Higher efficiency, better detection, global standardisation, world food regulatory standards. Food analysis is basic for the correct use and interpretation of data. The importance of the information output requires evolvement for higher capacity and impact. INNOVATION - Agricultural pollution. - Transboundary pests and diseases. - Destabilised consumer trust. - Social media and food. - Packaging and health. - Responsible research and innovation. - Food regulation. - 046 - 059 - 065 - 067 31 Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) A sustainable and dynamic value based food system Circularity in food systems - Reduction of waste (Zero waste). - New uses of waste. - New recycling business models. - New structure in food system. Transversal to all value chain, the use of waste streams has a greater impact on efficiency and sustainability of the food system. CIRCULARITY - Climate change. - Urbanisation. - Demographic change. - Scarcity of natural resources. - Economic globalisation. - Health and food consciousness. - Responsible consumers. - Bio-based packaging. - Packaging 4.0. - Reduction of plastic packaging. - Food waste recovery up-cycling / waste cooking. - 004 - 007 - 015 - 016 - 029 - 031 - 032 - 037 - 038 - 040 - 041 - 053 - 055 - 068 Efficient use of resources - Efficient use of water. - Efficient use of land. - Efficient use of nutrients. - Efficient use of energy. Optimisation of our processes from agricultural input up to consumer behaviour is relevant for the overall sustainability of the food system. CIRCULARITY - Urbanisation. - Scarcity of natural resources. - Rise in energy consumption. - Economic globalisation. - New and game-changing digital technologies in agriculture. - Changes in farm structures. - Agricultural pollution. - Biodiversity loss. - Urban agriculture / urban farming. - Consumer engagement. - 003 - 006 - 021 - 027 - 035 - 038 - 039 - 054 - 056 - 057 - 072 - 076 32 Domain R&I Breakthrough Specific R&I breakthrough topics Impact Food2030 Trends aligned (from WP2) Cases aligned (from WP3) Food for society - Community driven social innovations (City labs, Community based participatory research, Citizen science, urban cropping, urban beekeeping, rent a tree). - Innovative public procurement (meals in nurseries, schools, residences, senior people's homes). - Social entrepreneurship. - Awareness of waste in social context (homes, schools, restaurants, take waste food at home). - Trade norms (Dismissed fruits by shape or form). - Do It Yourself. - Collaborative production. - The European cultural food heritage (maintaining the local characteristics considering new options of geographic diversity). How the society interacts with the food system and how there is an overall awareness on the impact of the power of small individual actions and public policies is relevant for a social innovation breakthrough. INNOVATION, CIRCULARITY - Urbanisation. - Demographic change. - Migration. - Scarcity of natural resources. - Rise in energy consumption. - Economic globalisation. - Urban agriculture / urban farming. - Health and food consciousness. - Responsible consumers. - Destabilised consumer trust. - Consumer engagement. - Traditions and Do It Yourself. - Social media and food. - Food waste recovery up-cycling / waste cooking. - Women's empowerment. - 004 - 007 - 008 - 025 - 037 - 043 - 048 - 049 Policy and management within the food system - Applying Responsible Research and Innovation. - Improving the R&I Network. - Public-Private transfer. - Impact of Research and Innovation. - Higher implementation of knowledge. - Regional aspects of food system. - Food marketing and labelling (New approaches). Optimisation of our processes for knowledge transfer, for implementation of knowledge, for a full public-private collaboration, for a better measurements of impact. INNOVATION - Industry 4.0 - Digitisation in food production. - Big data analysis. - Novel food. - Destabilised consumer trust. - Consumer engagement. - Social media and food. - Responsible research and innovation. - Food regulation. - 024 - 026 - 030 - 035 - 042 - 060 33 Appendix A.1 Overview of past breakthroughs The following section includes the history behind the selected past breakthroughs for further understanding of the selected topics. A.1.1 Discovery of fire and cooking The controlled use of fire by humans is still a theme of controversy in the world of anthropology. There is not an agreement on the exact period of time where humans mastered fire, neither on the effects it had on the evolution of humans, but as Darwin stated in relation to the discovery of fire: “probably the greatest ever [discovery] made by man, excepting language“ (Darwin R, 1889, Wrangham R, 2010). There is some certain data: Archaeological evidences prove a clear mastery of fire by humans as late as 250.000 years ago. There are earlier archaeological sites in which evidences of use of fire exist, but there is controversy of whether it was due to fire controlled by humans or just use of wildfire. Anthropologists use other theoretical approaches based on physiognomy and dietary habits to try to understand the discovery of fire. Wrangham and Gowlett (Wrangham RW, 2010, Gowlett, 2013) shows evidence that there are dietary and social hypothesis that supports the theory that Homo erectus already knew how to make fire at least 1.5 million years ago at the early Pleistocene. Other researchers do not share the same vision and state that there is not sufficient evidence to locate knowledgeable use of fire earlier than 400.000 B.C. (Roebroeks W, 2011). In any case, it is interesting to review the theory of Wrangham related to cooking. Firstly, there is evidence that the actual humans would have adverse health consequences such as decreased energy or less fertility on women if cooked foods are not consumed. This is relevant, as it is a distinctive feature that separates humankind to any other animal species on Earth. The Homo sapiens is not prepared to eat raw food, our molar pieces are not adapted nor to break cellulosic material neither to chew raw meat. Our small intestine and colon is not prepared to digest an herbivorous diet neither a carnivorous. The dietary theory states that the physiognomy of Homo erectus was already evolved to eat cooked food, therefore many of the features that were characteristic of this hominid such as bipedalism or the life at the African savanna (in contrast with life on the trees), were characteristic of a certain control of fire. The interesting part of this hypothesis is that the hominids have evolved after the discovery of fire and the use of cooked food to the Homo sapiens as we know it today. Therefore, cooked food is key on the evolution of humankind to a distinct species, the only one that has a physiological aptitude to eat cooked food. Further on, Wrangham defends that the availability of nutrients such as sugars and proteins, the reduction of pathogens and toxins, has prepared our body to adapt to the ingestion of Maillard reaction compounds (produced by cooking) and other heat generated toxicants, a feature that no other animal would have evolved. A.1.2 Domestication of animals and plants The first agricultural revolution, also called the Neolithic revolution, is the transition of hunting and gathering behaviour to the lifestyle based on agriculture. This innovation is considered one of the most important events on human history after de discovery of fire and tool management. Agriculture is considered responsible of creating the basic grounds for densely populated settlements, the creation of non-food specialisation of the population, trade of goods, hierarchy among citizens, property ownership, the evolution of writing, war… in other words, civilization (Weisdorf JL, 2005). Agriculture is considered to have been evolved in different cultures between 12.000 and 5.000 years ago, considering the Levant (actual Iraq, Syria, Lebanon and Israel area) the first civilization to implement it, although different civilizations followed in an autonomous manner (Former China, Pre-Inca culture, Central Africa). 34 The main technological improvement of the Neolithic era is based on the domestication of animals and plants. Zeder suggests three pathways for animal domestication: The commensal pathway, the prey pathway and the directed pathway. The commensal pathway suggests a coevolution of an animal to humans in a symbiotic pathway, driven by a genetic predisposition to get close to humans, which would be the case of the transition from wolf to current dogs. The prey pathway suggests a predisposition of an animal that is a natural prey to be herded and gathered in groups, examples could be the cattle, pigs, sheep and goats, some of the first animals to be domesticated by humans in the Levant. The directed pathway implies a desire from human to domesticate a species; this would be the case of the domestication of horses and donkeys. It is relevant that some other animals have never been domesticated, e.g. gazelles and zebras, therefore there is a genetic predisposition followed by an adaptation to the domestication process. Although there are arguments supporting the domestication theories, usually a period of 1.000 to 5.000 is considered as a minimum need for that adaptation (Zeder MA, 2015, Larson G, 2014). The domestication of plants had even a greater impact on environment and the settlement of civilizations, and it needed the selection and the continuous research and development of the plants that offered the best yields, outputs, survival rates, and stability. It is argued that the first domesticated crops were some tubers like the turnips, but the truly revolutionary crops were cereals such as wheat, barley (Levant), rice (China), millet (Africa) and maize (America). The selection of the best varieties changed the genetic output of plants, which led to the desired phenotypes. Also the selection and mixing of breeds of the same species led to the development of new varieties. For example, there are 25.000 different known varieties of wheat and only a few of them are used today, being the latest developed during the Third agricultural revolution (Fuller DQ, 2014, Roucou A, 2017). Although the impact of the Neolithic revolution is clear, there are still uncertainties on why humans changed their model of lifestyle from hunter-gatherer to agriculture (Weisdorf JL, 2005) and recent studies explore the process of domestication with the aim of helping the new plant and animal breeders can use it for actual implementation using the newest techniques of breeding. Domestication of animals in years before present. From Today in history blog, adapted from Zeder (2015). A.1.3 Fermentation The fermentation process existed much earlier than humanity. All the chemical and enzyme processes needed for a food to be fermented were present in plant materials as part of the recycling reactions of microorganisms to break down its components as part of their life cycle. For example, the fermentation of fruits and fruit juices into wine and vinegar, germinating of grains as previous process to brewing, or the souring of milk. 35 Foods provide, through microorganism alteration, new aromas, flavours, and textures that in some cases were pleasant and in others not. This trial and error are the basis for the development of fermented foods, drove our primitive ancestors to choose the processes that gave the most desirable sensorial attributes to the food, discovering also other beneficial attributes such as extended preservation, improved digestibility, nutritional enrichment or other specific attributes that were part of a novel food product. There is a vast application of fermentation in food products that through history has been developing and improving the food products we have today. Hui et al (2004) suggested the following classification: Vegetables (sauerkraut, cocoa beans, coffee grains, vinegar), cereal processed foods (bread, pastries), semisolid dairy products (sour cream, yoghurt), solid dairy products (cheese), meat products (sausages, salami), soy products (soy sauce) and beverages (beer, wine, cider, mead, distilled beverages). The primitive humans likely encountered fermentation processes accidentally and there is no record on when exactly the first discoveries might have happened. It is likely that the dilution of natural honey and further fermentation derived into the first mead drinks, or that the storage of fruits and cereal grains could have produced the first wines and beers, or that the deterioration of milk under heat conditions could have transformed it into the first sour cream or primitive cheeses. Some cultures even might have used mastication as a way of releasing sugars from the foods through the amylase of saliva to facilitate food products, that is the case for example of the production of African Kafir (Steinkraus KH, 1996) or the production of chicha on cultures from the Andes region of South America (Escobar A. 1977). Rice wine or Sake in Japan is another example of fermentation induced by chewing the rice grains to reduce starch to free sugars prone of fermentation (Yoshizawa K, 1979). Nevertheless, there is a consensus that the conscious production of fermented products happened when humanity did settled down in villages and cities due to the discovery of the agriculture. The need of food storage likely accelerated the discovery of useful fermentation processes that could be replicated and transformed into a certain type of manufacturing process. Therefore, there is an agreement that the first fermentation processes can be dated between 10.000 – 8.000 at the late Neolithic era in the Near East cultures of Mesopotamia and Egypt. There are archaeological evidences that bread and beer were produced in Egypt by 6.000 B.C. (Hornsey IS, 2003), showing that manufacturing processes were in place for this production, but also that it had a social and hierarchical impact on the way these cultures ruled themselves. As an example, beer and bread were used as payment in the wages of Egyptian labour (Kemp, 1994). It seems, however, that different cultures have developed different foodstuffs through their own discoveries and traditions on fermentation, resulting on the variety and richness that we have today. One example is the development of cocoa fermentation in Aztec cultures, probably produced in Mesoamerica 2.000 years earlier than Hernan Cortes brought cocoa beans to Europe in 1528 A.C. (Schwan RF et al, 2004), this process is critical to the quality and flavours that the cocoa will have afterwards. Another example could be the development of cheese and yoghurt in Europe (Fisberg M et al, 2015) or beer (Hornsey IS, 2003) where there are local processes identified with specific regions that provides the actual richness on food variety. It is important to note that before Louis Pasteur, there was not a specific link between the fermentation and the growth of bacteria and yeast in the process (he called it, “life with no air”). He is considered the father of modern biotechnology, and so, fermentation is one of the key processes that has been developed in the latest century, increasing the offer on fermented products that consumers can enjoy today. 36 The making of bread and beer from the tomb of Ti in ancient Egypt (Reproduced from Geller JR, 1992) A.1.4 Discovery of America: New raw materials Most of historians dedicated to research the history of foods mark the discovery of America as a clear and undisputable milestone on the timeline. When Christopher Columbus put his first step on the island of actual Bahamas in 1492, he was not aware of the huge transformation that the Old World and the New World would have (Tannahill R, 1988, Montanari M, 1994, Flandrin JL, 1999, Toussaint-Samat M, 2009). The discovery of America brought foods to the Old World such as potato, maize, cassava, sunflower, tomato, avocado, cacao, peppers, pineapple, peanuts, or vanilla to put some examples. The transfer of foods to the New World also changed America’s landscape, bringing wheat, barley, sugar-cane, or coffee crops as well as many new livestock such as pigs, poultry and cattle (Suarez, T, 1994, Nunn N, 2010). Many of the main recipes of European countries would be unthinkable without the acquisition and adaptation of many of these crops to the new lands; to put an example, the cuisine of Belgium is known for inventing the “frites” (fried potatoes) and is recognised for having some of the best chocolates worldwide, two clear American imports. Another example to state the impact of the discovery of America was the introduction of potatoes to the Old World. Potato was adopted with great success, it complemented the crops because it needed different soil nutrients, but also allowed to create cultivars in colder regions adapting a new staple to the food supply, Ireland could be a very good example of this adaptation (Nunn N, 2010). Also the adaptation of wheat to the New World has made the United States of America the major wheat supplier of the world, adaptation that clearly has produced a global benefit. Still nowadays, there is an exchange of non-exploited foodstuffs from the New World to the Old and vice versa: The trends in food consumption and the advances in logistics have allowed to bring foods that were non-sufficiently known, with new researched properties, that were not able to be cropped in the new lands. That is the case of foods like quinoa, chia, or amaranth, which are having a new wave of success on European markets thought as superfoods (or very high nutrient foods), another example is stevia, brought as a natural sweetener in a market with a higher demand for sugar-less products. 37 Some foods brought to the Old World from the Americas. Picture taken from Christopher Columbus anniversary (webpage Aceites Betis, Torres & Ribelles). A.1.5 Canning The history of canning or in-container sterilisation has a clear beginning that dates to the Napoleonic Wars: Napoleon Bonaparte had the problem of supplying food to his armies during the military campaigns. At the beginning of the French imperial expansion (1800), he offered an award of 12.000 francs to anyone who could provide a system to preserve foods for long periods of time. In 1809, Nicolas Appert, an experienced French chef, developed a method of food preservation in glass jars using thermal treatment. Still at that time a canning process could take long times and was expensive to produce, so the war finished before his invention could be fully developed to an affordable industrial scale. Nevertheless he published in 1810 the book “The Art of Preserving Animal and Vegetable Substances”, one of the first books ever published on preservation of foods. Two years later, an English man called Peter Durand developed the method to seal the food in tin containers (patent also attributed to Philippe de Girard). The patent was sold to Bryan Dorkin and John Hall, who settled the first canning factory in United Kingdom in 1813, selling their products to the Royal Navy with great initial success. During the initial stages of the 19th century, cans were considered an expensive novelty, even a symbol of status within the English middle classes who could afford it. But the need of canned foods on the different wars of the century (Crimean war, American Civil War, Franco-Prussian war) accelerated mechanisation and industrialisation of the process in Europe and the United States. By the end of the century, civilian working classes were able to afford canned foods thanks to companies such as Underwood11, Nestlé, Heinz, Borden or Crosse and Blackwell12 (owned nowadays by Princes Food and Drink). The Great War brought further developments on the industrialisation of the canning process but also on the variety of canned foods. Many of the specialties such as prepared pasta dishes, stews, and fruit preserves were developed already at the beginning of the 20th Century. With little exceptions almost any kind of food can be canned or better said, sterilised, with a good result on the nutrients preservation. The extension of the variety of foods that can be canned comprises: Meat (Sausages, beef, ham, spam…), legumes (beans, lentils, chickpeas), vegetables (carrots, peas, potatoes, asparagus, maize, spinach, tomatoes…), fish (sardines, oysters, tuna, salmon…), fruits (pineapple, peaches, pears, coco…), dairy (baby foods, pasteurised milk), mushrooms, pet foods and all type of prepared dishes (stews, soups, prepared pasta dishes, sauces, spreads…). 11 Underwood: https://underwoodspreads.com 12 Crosse & Blackwell: www.crosseandblackwell.co.uk https://underwoodspreads.com/ http://www.crosseandblackwell.co.uk/ 38 Canning processing at J.S. Frarrand Packing Co, Baltimore, Md (1909). Image from the prints and photographs online catalog of the Library of Congress Prints and Photographs Division Washington D.C. USA. A.1.6 The supermarket The food retailing as we know today has a history of very recent phases that certainly has changed completely the way we buy and consume our groceries. With no doubt, it is an invention from the United States of America, which has been the leader on introducing innovations and different formats all along the 20th Century, a concept that continues spreading all along the globe into the developing countries yet. Four major eras are considered in the evolution of the supermarket (Ellikson PB, 2016): 1912-1930: The introduction of the chain store 1930-1970: The birth and evolution of the supermarket. 1970-1995: Computerisation of the systems. 1995-Present: The hypermarket. The new era of food retailing is considered to start in 1912 with the introduction of the “economy” grocery store format by the Great Atlantic and Pacific Tea Company (A&P). Before 1900, the standard shopping model in U.S.A was an activity taken on foot, near to the consumer’s home, with a wide array of specialty shops and general stores. A&P changed that model introducing a cash and carry model in the shops (which reduced shop vendor’s activities and costs) and started reducing logistics costs by its own network of warehouses and trucks (that avoided the middle man on supplies), even having production of their own goods. This model had a clear drive, reducing costs in logistics and in product management at the store, the final product value could be decreased. The model was so successful that A&P went from 650 to 4224 outlets in the period 1914 to 1919. Other supermarket brands briefly followed such as Kroger, American Stores, and Safeway, having a total increase of market share from 4.2 % in 1919 to 28,8 % in 1932 (Tedlow RS, 1990). There is a person considered a visionary of the supermarket as we know it today. Michael Cullen was an employee of Kroger when in 1930 he announced a new breed of super-store. He is credited with the introduction of the concept of the supermarket out of town, using warehouses with lower rents (forcing the use of automobiles) and with the increase on surface area (not known at the time). He introduced the concept of low margins / high volume principle that permitted to be more competitive on price, he also introduced concepts such as self-service, cash only, no delivery, and very high loaded marketing campaigns. These first supermarkets were crude, pallets stocked in a warehouse, but were cheap. The existing chains were initially reluctant to this model, in fact, Mr. Cullen developed his own chain, King Cullen Supermarkets, as Kroger did not commune with his revolutionary ideas, not before long many others followed. The success of this model 39 was confirmed, the number of supermarkets increased from 386 to 26.640 from 1935 to 1982, confronted with the reduction of traditional stores from 400.000 to 162.000 in the same period of time, calling the attention of politicians and anti-trust authorities (Tedlow RS, 1990, Charvat, 1961, Ellickson PB, 2016). The 80s and 90s saw the development and introduction of technology in supermarkets. The invention of the UPC code and scanning register allowed the engagement of market research and data-based marketing. The first code scanner was installed in a Marsh supermarket in Troy, Ohio in 1974; by 1990 the adoption was almost universal in the U.S. and Europe (Ellickson PB, 2016). Also the computerised logistics allowed higher traceability and better control of stocks. We could consider also the 80s and 90s the real boom of the supermarket concept in Europe, following a model very similar to the U.S.A and with a high increase on market share. Dobson and Waterson (1999) and Dobson (2005) already reported a market share of 65% in 1999 leaded by the top five U.K groceries retailer. In other countries, the same trend followed: France, 56%, Spain, 52%, Germany, 36%, Italy, 26%. But the most recent reports (EU report, 2014) 13 shows an enormous increase of these numbers during the crisis (2007-2015), reaching values of 80 to 90 % market share overall. The developing countries are catching up even more steadily, with Latin America, Asia and African countries adopting market shares higher than a 50% (Reardon, 2003). The 21st Century has known the hypermarkets, a store for all the possible needs of the consumer. Walmart is still the top seller by income and volume, but the competence is high and there are major Supermarket brands that follows closely such as Costco, Kroger, Aldi, Carrefour, Tesco or Lidl (Deloitte’s retailer report, 2018)14. The overall retailers income in U.S.A. has been 4.4$ trillion with a Compound Annual Growth Rate (CAGR) of 4.8%. Consumer trends keep changing in the developed world and new challenges appear such as the health consciousness in food trends, environmental awareness, ethnic food in more globalised environment, and more convenience foods (EU report, 2014). Nevertheless, the real challenge for supermarkets, are the shopping online, the concept of no-store, with an increase on CAGR of an almost 20% in the recent years and a revenue of 96 M$ in 2016 (Deloitte’s retailer report, 2018). Therefore, this phenomenon will be considered a different breakthrough. A.1.7 Flash-freezing Although the first works in freezing are attributed to the English businessman Thomas Sutcliffe Mort and the research of Eugene Dominic Nicolle, whom presented the first ice-making patent in 1861 at Sidney, Australia (Barnard, 1974), it is Clarence Birdseye who is considered the father of modern flash-freezing technology. Mr. Birdseye was an adventurer from Brooklyn and he was at that time (1912-1915) working in a hospital ship at Labrador, Canada. He observed the fish catching technique of the Inuit Canadian tribes and it called his attention the speed at which fresh caught fish froze at -40 ᵒC (Kurlansky M, 2012, Karwatka D, 2016). He observed that when thawing, the fish kept its flavour and textural properties almost intact. This was due to the freezing rate of ice crystals; conventional freezing created large ice crystals that damaged the structure of frozen products, creating excessive dehydration and loss of flavour and texture when thawed. The flash- freezing technique, created smaller crystals that did not break the structure of the frozen material and therefore allowed a product of much higher quality. Back in America in 1920, Clarence Birdseye worked for a small fish company (Clothel Refrigerating Company) and observed the problems that the frozen products presented at that time: Low quality, losses previous delivery, low sales… and he saw the opportunity to use the idea that he grasped in Labrador. He created his own company (Birdseye Seafood Inc.) and started research and development on the freezing techniques at - 13 EU Report: The economic impact of modern retail on choice and innovation in the EU Food sector. http://ec.europa.eu/competition/publications/KD0214955ENN.pdf 14 Deloitte: Global Powers of Retailing 2018: Transformative change, reinvigorated commerce. https://www2.deloitte.com/content/dam/Deloitte/at/Documents/about-deloitte/global-powers-of-retailing-2018.pdf http://ec.europa.eu/competition/publications/KD0214955ENN.pdf https://www2.deloitte.com/content/dam/Deloitte/at/Documents/about-deloitte/global-powers-of-retailing-2018.pdf 40 45ᵒC. His first company went bankrupt but he continued his research founding a new one in Massachusetts (centre of the fish industry) and kept developing new patents for production (Birdseye, 1945). He faced many difficulties apart from the development of the freezing equipment such as the lack of frozen logistics at the time and few display cases at the shops. In 1929 he sold his company and patents to the cereal company Postum, later on renamed General Foods (merged with Kraft Foods in 1990), where he kept conducting experiments and research on the development of flash-freezing technologies. During the World War II, there was a scarcity of tin in the U.S.A and frozen foods acquired higher relevance, as the wives of the fighting husbands searched for convenient food for cooking at home (Kurlansky, 2012). A further step on the history of freezing is the development of cryogenic freezing applied to foods using liquid nitrogen or other gases such as carbon dioxide or ammonia. Cryogenics allows a much quicker freezing time in temperatures of -59ᵒC or much lower (American Cryogenic Society15). Cryogenic freezing tunnels were evolved since the early 60s and its implementation in frozen processes has been increased more and more in the recent decades due to the high quality of the final products and the efficiency of the process (Bald WB, 1991). Freezing applies to almost all foodstuffs such as meat, fish and seafood, vegetables, fruits and particularly to processed foods such as bakery, frozen desserts, pizzas, ice-creams, and ready to eat dishes. Clarence Birdseye at Labrador, Canada (1912-1915). Image taken from Birdseye history roots. A.1.8 Vitamins The discovery of vitamins was not the making of just one single pioneer, but a history of contributions from many researchers from different discipline areas which included epidemiologists, physicians, physiologists and chemists. Perhaps we can set up the discovery of vitamins to 1912 when the scientist Casimir Funk suggested that diseases such as pellagra, scurvy and rickets were caused by deficiencies on the lack of common factors of similar character with the characteristic of vital amines, therefore vitamines, later on called vitamins (Carpenter KJ, 2003). Funk had the honour to have set the name of vitamins, but others would argue that the history started 100 hundred years earlier with the studies of François Magendie in 1816, who is reported to use dog studies to research if gelatine was a complete food that could nourish a person. He researched this issue during 10 years, he was a pioneer on using animals as a model for human research, and he suggested that chemists should investigate what essential material it was that was leached out of meat and was essential for nutrition apart of nitrogen intake (Carpenter KJ, 2003). 15 Cryogenic Society of America: https://www.cryogenicsociety.org/resources/cryo_central/food_processing/ https://www.cryogenicsociety.org/resources/cryo_central/food_processing/ 41 During the 19th Century, research carried by different scientists created the bases of two established dogmas (Semba RD, 2012): 1) That as Louis Pasteur and Robert Koch had discovered, most of diseases were linked to infections from microorganisms, and 2) that four essential elements were essential for nutrition; proteins, carbohydrates, fats and minerals (Justus von Liegig, Carl von Voit, Max Rubner). These statements overlooked some discoveries that were taking place by some scientists like Christiaan Eijkman and Gerrit Grijns that showed how polished rice was the culprit of beri beri in some prisons of the Dutch Indies, they already had suggested a nutritional deficiency. Similar reports were taken from diseases like scurvy, which was persistent on long distance trips to the artic, rickets, a well-established disease during the century, pellagra or xerophtalmia, from physiologist working around the globe (Carpenter RD, 2003). Already in 1906, Frederick Gowland Hopkins articulated in a speech given in London that: “no animal can live upon a mixture of pure protein, fat, and carbohydrate, and even when the necessary inorganic material is carefully supplied the animal still cannot flourish (…) Scurvy and rickets are conditions so severe that they force themselves upon our attention, but many other nutritive errors affect the health of individuals to a degree most important to themselves, and some of them depend upon unsuspected dietetic factors” (Semba RD, 2012). Against the dogma of the time, much credit on the discovery of vitamins is given to the research of Elver V. McCullom and his volunteer assistant Marguerite Davis (Underwood BA, 1998). McCollum is recognised as a pioneer working with rats as a human model and to him we owe the terminology of a “fat-soluble factor A” and “water-soluble factor B”, later renamed as vitamin A and vitamin B families. They were some of the first to reconcile the deficiency of factor A substance to the apparition of severe ophthalmia (Carpenter KJ, 2003). Nevertheless, it would be unfair to set all the credit of vitamin research to a few number of scientists, because there were an overall effort on research from different academia, medical schools, and industry later on, working on the matter on animal studies. Not to mention also the chemists that were able to synthesise all these compounds, surprisingly early since its discovery (Carpenter KJ, 2003). Accordingly to Combs GF, 1992, thiamine was proposed in 1901, isolated in 1926 and synthesised artificially in 1936, vitamin C proposed in 1907, isolated in 1926 and synthesised in 1933, vitamin A proposed in 1915 and isolated in 1939, vitamin D proposed in 1919, isolated in 1931 and synthesised in 1932, and so on. Certainly the 20th Century has seen thousands of publications on vitamins, but also in nutrition, gathering an information than just a hundred years ago, was a mystery to human kind. Laboratory of vitamins and fish oils capsules (1982). Taken from Seven Seas historical record. A.1.9 Extrusion The design of a screw within a barrel chamber, which is the principle of extrusion, is credited to Archimedes of Syracuse, a Greek mathematician and inventor in the years 287-212 BC. He invented it to move water from a lower level to an upper level, a very clever invention at the time. But it is not until 1779 that Joseph Bramah 42 patented the first invention in what we call extrusion, its use, the metal casting. So the invention of extrusion comes from the heavy industry of material science, used to mould and form metal pieces, ceramics, plastics, polymers, and also foodstuffs. In fact, many of the developments on extrusion technology used the knowledge acquired on plastic extrusion and forming (Maskan M & Altan A, 2012). The beginning of the application of extruders to food processing came in the 1930s within the pasta business. First food extruders were used for the mix of semolina flour and water to shape a variety of pasta products. Companies like Bühler, long-time known for building industrial equipment, were some of the first to launch in 1934 one of the first pasta extruders (Bühler history16). Some years later, the first breakfast cereal was produced using an oat flour, formed in the shape of a doughnut, incorporating precooking stages. During the 40s, collet extrusion was developed for the production of highly expanded cereal collets, which were enrobed with oil and flavours to produce a variety of snacks (Guy RCE, 2003). In the 50s, larger extruders were developed to cook pet foods and animal feeds (Harper JM & Clark JP, 1979). During the 80s further developments were introduced to high moisture or conventionally called “wet” extrusion, a novel technology that allowed the use of enzymes, producing high maltose syrups into the process. Wet extrusion also allowed the texturisation of new products such as meat and fish, which were not able to be extruded otherwise (Akdogan H, 1999). The following years the development of extruders allowed the production of several products that could not be able to be produced: precooked and modified starches, ready-to-eat cereals, snacks, bread substitutes, pet foods, confectionery, baby foods, and texturised soy flour. Nowadays new applications continue to be researched and the development of extrusion technology continues into the texturisation of different ingredients or the extrusion of flours to eliminate e.g. anti-nutrients and off-flavours (Harper JM & Clark JP, 1979). Extrusion allows food items that we would not know without this technology and it is a widely used technology in the food industry. It is versatile (more than one product can be produced in the same industrial line), efficient, highly productive, low cost, keeps many nutrients intact and allows new shapes and forms. Extrusion also transforms foods into new subproducts that can be used with new purposes; as an example of this latest point, extrusion of flour from pulses allows creating new flour with better hydration properties, less undesirable flavours and with better digestibility properties (Alonso R, 2000). A twin extruder for industrial snack production at the final 70s. Extracted from Baker Perkins historical society archives. 16 Buhler history: https://www.buhlergroup.com/global/en/about-buehler/corporate-profile/history/history-html5.htm https://www.buhlergroup.com/global/en/about-buehler/corporate-profile/history/history-html5.htm 43 A.1.10 Microwave heating The anecdote referring microwave heating and the invention of the microwave oven refers to Percy Spencer. During the World War II, he was a technician and inventor at the enterprise Raytheon working with magnetrons for radar appliances. While managing one of those radars, he noticed that the candy bar that he had in his pocket had melted. Later on, he tried heating maize kernels to make pop-corn, and even heated an egg that exploded in the face of one of his co-workers (William JB, 2017). Percy Spencer is credited on the discovery of microwave ovens as he placed a patent in 1945 which described the use of microwave for foods and he claimed drastic reductions on energy requirements for cooking, calculating that an egg could be boiled using 2 kW/s compared with the 36 kW/s needed in conventional heating. This patent is considered the precursor of the microwave ovens as the kitchen appliance we know today. Despite the fortuitous discovery that is credited to Mr. Spencer, there are many persons, and mainly companies that led the pathway to the modern microwave oven. Raytheon was the first company to create a Food Laboratory division under the research team of the company with the aim of launching a microwave appliance, they did it under the name of Radarange. This early equipment was much heavier and voluminous than the ones we know today and the first market was found in restaurants and restoration services during the 50s. The Raytheon company dominated the market this years, launching more than 250 patents, but during the 60s many competitors appeared in the US market such as General Electrics, DuPont, Litton or Allis- Chalmers. These companies invested in research for microwave heating and tested different models of magnetron and tube technologies which were the key for the reduction of margins to bring the microwave oven to consumers. The interest for the microwave technology increased to the point that in 1966 the International Microwave Power Institute was founded in Canada, where academic research was conducted on microwave heating and its appliances (Osepchuck JM, 1984). The 70s saw a booming application of microwaves for consumers at home. U.S had had the leadership on microwave technology, but Japan with companies like Sharp, Toshiba or Hitachi soon were competitive enough to enter the American market. In fact, Sharp was one of the major competitors during the 70s and 80s, placing into the market affordable microwave ovens to consumers. At the late 80s the Korean company Samsung also took the leadership on microwave appliances for consumers. A report of 1997 about the expense of living in America, revealed that in 1956, 0% of the population had a microwave, in 1996, 85% of the population owned one (Liegey PR, 1997). Although it is indisputable the penetration at homes of microwave ovens in developed countries, in developing countries is still ongoing, a report on Indian market stated that 5.3% of households owned a microwave against a 31% ownership of a fridge in 2013 (Statista)17. The use of microwaves as heating source has also been introduced in other industrial applications apart of food, such as environmental/pharmaceutical industry, medical uses, films and paper, wood or ink and paint applications, mainly with the aim of degradation, sterilisation, dehydration or sealing purposes (Horikoshi S, 2018). In food processes, microwave heating is used for thawing, blanching, baking, pasteurisation, drying, precooking, tempering and microwave-assisted extraction of bioactive compounds (Orsat V, 2017). 17 Statista: https://www.statista.com/statistics/370635/household-penetration-home-appliances-india/ https://www.statista.com/statistics/370635/household-penetration-home-appliances-india/ 44 One of the first microwave ovens for home use, launched in 1967. Promotional image for the Amana Radarange, 1967. A.1.11 Freeze-drying Different sources coincide in the opinion that the first freeze-dried food was developed by the Peruvian Inca culture freezing tubers and potatoes atop the Andes Mountains. They left the frozen staples under the sun to evaporate, so the ice evaporated directly from the solid state to the vapour state. The product obtained is called “chuño”, a staple in their diet that they obtained after grinding the tubers into a fine powder that they could use in soups and stews (Ratti C, 2008). There are also other reports on the use of freeze-drying in the manufacturing of “koyadofu” in Japan or the fish being preserved by Vikings freezing the foods in the snow at high altitudes (Mercer Foods)18. However, the main discoveries related to freeze-drying come from the medicine and pharmaceutical industry researchers. It is not until Richard Altmann in 1890 that a tissue was dried and rehydrated for the first time in a laboratory. And not until 1927 that the first patent for freeze-drying was presented by Henri Tival, a French inventor. The next step forward was in the World War II when the US Red Cross used freeze-drying to lyophilise plasma serum as medium to transport it to hospitals. Soon enough, vaccines were also freeze-dried. In 1949, the Earl W. Flosdorf, who already had contributed to the freeze-drying of serum blood and plasma, presented a work reviewing the lyophilisation of foods: “Freeze-Drying: Drying by sublimation”. Already in his work he presented the freeze-drying of fruit juices, milk, meat, fish, sea-food, coffee and tea (Flosdorf EW, 1949). During the 50s and 60s many developments were conducted from different researching groups to develop further the technology to obtain higher quality products and to have more efficient equipment. The incorporation of vacuum for example, or the continuous system for freeze-drying evolved greatly the technology that continues improving nowadays. In 1965 Nestlé launched the Nescafé Gold Blend, a high- quality instant coffee, first of its kind to be produced using lyophilisation. Also, the development of freeze- dried products for astronauts (freeze-dried ice-cream) and military, contributed greatly to the advances on the technology. The use of freeze-drying on foods has many applications but its costs reduce the commercial products that finally are seen in the market. The main purpose is to maintain the qualities of sensible products, almost untouched when hydrated again. Examples of food that are lyophilised with commercial purposes are mostly fruits such as strawberry, blueberry, raspberry, blackberry, apple, banana, peach, pineapple…, vegetables such as corn, peas, cauliflower, broccoli… coffee and tea extracts, baby foods and ready meals ready for rehydration (Mercer, Nestlé). Fruits like berries retain most of its vitamins and flavonoids as well as the volatile flavours and colours (Prosapio et al, 2017), as well as high quality coffee, where aromas and key fatty 18 Mercer Foods: http://www.mercerfoods.com/2017/11/01/history-of-freeze-drying/ http://www.mercerfoods.com/2017/11/01/history-of-freeze-drying/ 45 acids are preserved (Dong et al, 2017). Some of the companies that mostly commercialise freeze-dried products are Nestlé, OFD Foods, Unilever, Wise Company, Mondelez, Mercer Foods, Chaucer, Asahi Group Holdings, Harmony House Foods or Honeyville (Research and Markets). Freeze-dried ice-cream. A.1.12 Third agricultural revolution The Reverend Thomas Robert Malthus had developed a theory in his “An Essay on the Principle of Population”, first published in 1798. It stated that the growth of human kind followed an exponential behaviour, whilst the growth of food production followed a linear progression. Therefore, great poverty and hunger would arise on the world in the 20th Century to compensate for the food shortage, somewhat a Darwinian approach to the population growth (Seidl I & Tisdell C, 1998). The green revolution changed that prediction drastically in the late 1960s and although population had doubled, the production of staple crops tripled during this period, with only a 30% increase in land area cultivated in the period from 1966 to 2000 (Pingali PL, 2012). The Third agricultural revolution, also known as Green Revolution, is considered to have a father: Norman Barloug. He was an American geneticist and plant pathologist that got appointed director of the Cooperative Wheat Research and Production Program in Mexico (Nobel Prize Norman Barloug biography). This program was a joint undertaking of the Rockefeller Foundation with the Mexican Government with the aim to increase crop yields by researching new varieties of wheat and improving agricultural technologies. They focused on producing high-yielding varieties (HYVs) for wheat, but also on improvements on time to maturation of grains, use of fertilisers, improvement on irrigation techniques, improved mechanisation, and to certain extents, rational use of pesticides. These studies brought a great success in Mexico, more than doubling the output of wheat and maize yields and providing the grounds for prove of concept. The Mexican Green revolution was possible thanks to investment, mostly public, to develop research mainly in the area of plant breeding. The International Maize and Wheat Improvement Centre (CIMMYT) had demonstrated the success of the changes applied, and the model was copied in Philippines with rice, where the Rice Research Institute (IRRI) shown also a great development of the yield capacity at the rural areas. Those successes lead in the 1970s to the Consultative Group on International Agricultural Research (CGIAR), which was established to generate technological advances to countries that were not capable to invest on agricultural research. Thus, countries like India and Brazil benefited largely on those activities, putting in place new seeds and technologies that allowed greater yield output (Evenson RE & Gollin D, 2003). The Third agricultural revolution focused mainly on staple foods, having a great impact in some of the countries where it was implemented. In the period between 1960 and 2000, yields increased 208% for wheat, 109% for rice, 157% for maize, 78% for potatoes, and 36% for cassava (Pingali PL, 2017). The Third agricultural 46 revolution is considered to have happened in the period 1966-1985, but its consequences lasted to 2000, being considered one of the major factors for impact against starvation and poverty on those countries where it was successfully implemented. Norman Barloug was awarded the Nobel Peace Prize in 1970 and he stated: “a temporary success in man’s war against hunger and deprivation”. While the Third agricultural revolution was eminent in fertile lands, there are many researchers nowadays calling for a fourth agricultural revolution oriented to infertile soils or arid areas of the world such as sub- Saharan Africa and the Levant (Kush GS, 2001, Lynch JP, 2007). Norman Barloug in a wheat field, photograph issued in the magazine LIFE, 1970. A.1.13 Microcredits Although there are many claims that microcredits have existed from the 18th or 19th Centuries, the concept of modern microcredits is attributed to Professor Muhammad Yunus and the creation of the Grameen Bank of Bangladesh. The story is said to start in the 70s of the 20th Century, when a young Mr. Yunus returned to Bangladesh after finishing a PhD in economics in the United States of America and started to lecture at the Chittagong University. He observed a devastated country by the war in need of food aid and with high rates of poverty, it is said he wanted to put into practice some of the theories he had learned and apply the postulate that “if people got access to credit, they could increase their profitability, or diversify their economic activities, in ways that would allow them to raise their incomes” (Hulme D, 2008). Therefore, a microcredit is a small amount of money lent to poor people, which allows them to grow and prosper, improving their lives and being able to pay the loan back. Prof. Yunus biography says that he started by using his own money in sums of 10 to 20 $ to poor, rural women and creating small cooperatives to control their output and weekly payment of loans. In 1983 the Grameen Bank was created, achieving great success and enthusiasm all over the world in the following years (Yunus M, 1999). In 1997 there was a Microcredit summit hosted by the UN, clearly stating the microcredits as one of the best innovative ways of applying banking to overcome poorness. Prof. Yunus received the Nobel Prize in 2006. The Grameen bank model was replicated in other countries, mainly in Asia and America, with great enthusiasm in the developed and developing countries by NGOs and Governments alike. The premise of the loans stating some clear initial rules: The loans were directed to poor, women, and small amounts in a high rate interest and short time payback (Seibel, 2003). Today microcredits still have a great drive. In 2010 the European Union launched the EU Microfinance Support19, the concept has been implemented in more than 75 countries, but there is a lot of criticism on 19 EU microfinance support: http://ec.europa.eu/social/main.jsp?langId=en&catId=836 http://ec.europa.eu/social/main.jsp?langId=en&catId=836 47 results and impact. Some claim it as the most innovative banking solution of the 20th Century, others claim is a clear debt trap and that many users of the loans are poorer than when they started. The need for clear and non-biased results is still controversial in ongoing publications, which keep debating if the microcredit is one of the key tools to overcome poverty in poor and rural areas of the world (Banerjee AV, 2013). A.1.14 Food e-commerce The year 1995 could be considered the birth of e-commerce (also named online shopping). That year Amazon and eBay opened online purchase services just four years after the publication of the World Wide Web by Tim Berners-Lee in 1991. Jeff Bezos, CEO of Amazon and now one of the wealthiest men on Earth, sold his first book online in 1995 with a very small company of 300 employees in a two-bedroom house in Seattle. In two months his earnings reached 20.000 $ a week, selling books in more than 45 countries (Hansen et al, 2013). In 1995 Amazon had yearly sales of 510.000 $, in 2011 reached 17 $ billion, 136 $ billion in 2016, with a Compound Annual Growth Rate (CAGR) of 17%, being the 6th top retailer on the world (Deloitte report 2018). It is worth mentioning here Michael Aldrich, an English entrepreneur that already had the vision to create a shopping system online using the TV, the Videotex system (as it was called) was already born in 1979, but the society was not ready yet for the online shopping at that time. The first food to be sold online is claimed by Pizza-Hut, which stated in a commercial campaign that they sold their first pizza online in 1994, even before Amazon had sold their first book. Apparently this could be true (not trustful reference could be found), but the point here is that convenient foods were the first to offer services of online purchase and delivery. Big retailers in UK were also some of the first pioneers to launch internet sales, Tesco has the credit, although Sainsbury’s and Morrisons rapidly followed in the years 1996 and 1997. There is no doubt that the e-Commerce is changing the way that society behaves and it is a revolution for the retail world. However, groceries and foods are one of the last markets to be fully conquered, because many foods are perishable and consumers still want to see what they buy, have a first experience with the product at the shop. But all of these is changing and the online shopping of food has already started and the previsions are an enormous market share for the first ones to master the e-market (Belavina E et al, 2016, Bernon et al. 2016, Mortimer et al. 2016). The latest report launched by the FMI and Nielsen 20 foresees a growing market for online purchase of groceries in the U.S.A. The report claims that 2017 has seen a boost in the expectations of online shopping of foods, 49% of the American population does the shopping of groceries online, and they expect a growth up to 70% in the following 5-7 years. They observe that there is a turning point on the population segments and that up to 61% of millennials, 55% of Generation X, 41% of Boomers and 39% of Greatest Generation buy online. They claim that by 2022, there will be a 100 $ billion market for the retailers and manufacturers prepared for it, although not all the retailers are ready for the e-commerce change, concludes the report. 20 FMI/Nielsen report: https://www.fmi.org/digital-shopper https://www.fmi.org/digital-shopper 48 A.2 Online questionnaire on breakthroughs The following questions regarding breakthroughs in FNS were added to the online survey in WP3: Give a brief description of your first potential breakthrough. In which area of activity (research, policy, social movement, education, etc.) do you see them happening? Does this potential breakthrough contribute to meeting any of the four challenges? [i.e. FOOD2030 pillars] Do you have another example of a potential breakthrough in R&I? [system allowed for up to 3 breakthroughs] In your opinion, what are the barriers and the incentives that will determine the successful implementation and application of these breakthroughs? A.3 References for potential R&I breakthrough topics Inventory of topics and some general references per topic: Breeding - New Techniques and applications - New varieties of animal and plants: Aquaah G (2015). - New genetic methodologies and new applications: Araki M (2015), Singh V (2017), Borlaug N (2000). Smart farming - Precision farming: Use of local data: Stepan I (2015). - Precision farming: Use of global data: Wolfert S (2017). - Applied mechatronics: Negrete JC (2015). - Artificial intelligence applied. Non-conventional production systems - Hydroponics: Kledal PR (2018), Benton Jones J (2004). - Vertical agriculture: Despommier D (2011). - Intelligent cropping. - Agroecology: Ferguson RS (2014). - Permaculture: Krebs J (2018), Ferguson RS (2014). - Organic awareness: Reganold JP (2016), Rahmann G (2016). - Urban farming: Thomaier S (2014) Reduction of impact of production enhances - Biodiversity: Duru M (2015). - New approaches to fertilizers: Timilsena YP (2014). - New approaches to pesticides: Nicolopoulou-Stamati P (2016). - New approaches to animal antibiotics: Franklin AM (2016). Hoelzer K (2018). New value systems - Business model for the primary sector: Bocken NMP (2015). - Short value chains: Stevenson GW (2011). - New models on developing countries (Microcredits, Crowd funding): Bruton G (2014), Short JC (2017). - Social innovation relating to food production and distribution: Gibson-Graham JK (2008). 49 New aquaculture - Advanced fish farms: Joffre OM (2017). - New feeds: Tacon AGJ (2015). - New on sea production with lower impact on nature. Empowered consumer - Innovation in social sciences: Phillips W (2014). - Living labs: Gasco M (2017), Leminen S (2015). - Optimised use of big databases: Hofacker CF (2016). - Informed consumer: Chen CH (2018). - Active and engaged consumer: Jimenez-Zarco AI (2015). - Cocreation: Jaakkola E (2014), Frow P (2015). - Due diligence: Howson P (2017). - Value based food system: Galt R (2016). - Domotics: Garroppo R (2016). Change of dietary habits - Awareness of healthy habits - Reduction of targeted ingredients: Romagny S (2017). - Reduction of targeted additives (clean label): Asioli D (2017). New tools to improve nutrition and health - Personalised nutrition: Ordovas JM (2018). - Multi-Omics: Hasin Y (2017). - Nutraceuticals: Mahabir S (2016). - Functional foods: Mellentin J (2001). - Human genome knowledge and application: Camp KM (2014). New methods in education - New models for education: Littleljohn A (2018), Domingo-Coscollola M (2016). - Awareness of Food-system. - Innovation and entrepreneurial behaviour: Briscoe G (2014), Van der Sar (2013). - Guidance to Start Ups and SMEs. - Open Science and Open Innovation concepts: West J (2014), Chesbrough H (2014). Logistics - New systems - Physical internet: Montreuil B (2011). - Service "at the door at any time": Flint D (2005). Smart traceability in the food supply chain - Transparency and trust through the value chain: Yiannas F (2018). A novel approach to biotechnology - New biotechnological tools. - New applications. Information and Communication Technologies (ICT) applied to Food System - Full exploitation of big data. - Internet of Things. - New sensors applied to multiple applications. - Digitalisation of industry. 50 - Robotics: Iqbal J (2017). - Augmented reality. - Artificial intelligence. Food Industry 4.0 - Novel and efficient food processing - Mild processing: Barba FJ (2017). - Low input technologies. - New robotic applications: Iqbal J (2017). - Nanotechnology: Gupta N (2012), Handford CE (2014), Huang S (2015). - Integrated input-output responses. - 3D Printing: Godoi FC (2016), Sun J (2015), Sun J (2015). - Emulgation (membrane, microfluidisation, ultrasound): Fryer PJ (2008). - Cutting tech (water-beam, laser, ultrasound): Fryer PJ (2008). - Separation (membrane, adsorption technologies). - Extraction (Hypercritical CO2). - Heating (super-heated steam, microwaves, induction, sous-vide, radio-frequency). - Preservation (IR, UV, radiowaves, pulsed electric fields, high pressure treatment, osmosis, cold plasma). - Filling (Aseptic filling, clean room tech, super cooling). - Packaging (see packaging breakthrough). Sustainable packaging - New materials: Han JH (2014). - Biodegradable materials. - New recycling methods. - Reduction of package. Diversity on the diet - New models in the food system. - New sources not fully exploited. - New protein sources (biotechnology). - Full exploitation of algae. - Full exploitation of insects: Van Huis A (2013). - Cultured meat: Alexander P (2017), Bhat ZF (2016), Post MJ (2017). The global food analysis - Higher efficiency, better detection, global standardisation, world food regulatory standards. Circularity in food systems - Reduction of waste (Zero waste). - New uses of waste. - New recycling business models. - New structure in food system. Efficient use of resources - Efficient use of water. - Efficient use of land. - Efficient use of nutrients. - Efficient use of energy. Food for society - Community driven social innovations: Capdevilla I (2015). - Innovative public procurement. 51 - Social entrepreneurship (Atlas of Social Innovation21). - Awareness of waste in social context. - Trade norms (Dismissed fruits by shape or form). - Do It Yourself: Domingo-Coscollola M (2016) - Collaborative production. - The European cultural food heritage: Brulotte RL (2016). Policy and management within the food system - Applying Responsible Research and Innovation: Dreyer M (2017). - Improving the R&I Network. - Public-Private transfer. - Impact of Research and Innovation. - Higher implementation of knowledge. - Regional aspects of food system (Future Global Food Systems)22. - Food marketing and labelling – New approaches. Other relevant non-specific information: Innovation with a purpose23, FAO How to feed the World in 205024, Top 20 of the Royal Society25 21 Atlas of Social Innovation: https://www.socialinnovationatlas.net/ 22 Future Global Food Systems: http://www3.weforum.org/docs/IP/2016/NVA/WEF_FSA_FutureofGlobalFoodSystems.pdf 23 Innovation with a purpose: http://www3.weforum.org/docs/WEF_Innovation_with_a_Purpose_VF-reduced.pdf 24 Food and Agricultural Organization of the United Nations (FAO) (2009). How to feed the world in 2050. 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Proceeding of the National Academy of Sciences, 112 (11), 3191-3198. 1 Summary 2 Introduction 3 Concept definition and theoretical frameworks 4 Taking stock from the past – what does a breakthrough look like? 4.1 Examples of past breakthroughs 4.1.1 Discovery of fire and cooking 4.1.2 Domestication of animals and plants 4.1.3 Fermentation 4.1.4 Discovery of America: New raw materials 4.1.5 Canning 4.1.6 The supermarket 4.1.7 Flash-freezing 4.1.8 Vitamins 4.1.9 Extrusion 4.1.10 Microwave heating 4.1.11 Freeze-drying 4.1.12 Third agricultural revolution 4.1.13 Microcredits 4.1.14 Food e-commerce 4.2 Common factors 5 Identification of potential R&I breakthroughs 5.1 Results of the survey 5.2 Potential R&I breakthroughs Appendix A.1 Overview of past breakthroughs A.1.1 Discovery of fire and cooking A.1.2 Domestication of animals and plants A.1.3 Fermentation A.1.4 Discovery of America: New raw materials A.1.5 Canning A.1.6 The supermarket A.1.7 Flash-freezing A.1.8 Vitamins A.1.9 Extrusion A.1.10 Microwave heating A.1.11 Freeze-drying A.1.12 Third agricultural revolution A.1.13 Microcredits A.1.14 Food e-commerce A.2 Online questionnaire on breakthroughs A.3 References for potential R&I breakthrough topics References 
work_ezannhvygnhrlkdq6vuhetbbwa	----	Is the Mortality Benefit With Empagliflozin in Type 2 Diabetes Mellitus Too Good To Be True? July 12, 2016 Circulation. 2016;134:94–96. DOI: 10.1161/CIRCULATIONAHA.116.02253794 Sanjay Kaul, MD Is the Mortality Benefit With Empagliflozin in Type 2 Diabetes Mellitus Too Good To Be True? S ignaling a likely end to a long and elusive quest for cardiovascular outcome benefit associated with treatment intervention in type 2 diabetes mellitus, the results of the EMPA-REG OUTCOME trial [BI 10773 (Empagliflozin) Cardiovascular Outcome Event Trial in Type 2 Diabetes Mellitus Patients] were received with a standing ovation at the European Association for the Study of Diabetes scientific meeting in Stockholm, Sweden, on September 17, 2015.1 Witnessing the spontaneous applause, I had mixed emotions. Was it time to bring the trumpets out and rejoice that the “holy grail” had finally been achieved? Or, was it more appropriate to curb the enthusiasm and question the “historic milestone,” given that the mortality benefit was unexpected and unprecedented? Examples abound of instances where we have been led astray by implausibly large treatment effects that were not confirmed by subsequent trials. Perhaps the most compelling is the case of perioperative β-blockade with bisoprolol in high-risk vascular surgery.2 The DECREASE 1 trial (Dutch Echocardiographic Cardiac Risk Evaluation Applying Stress Echo) yielded a 91% risk reduction in cardiovascular death or myocardial infarction (P<0.001) in 112 patients. These results were widely disseminated and adopted by several practice guidelines, ultimately rising to the status of a performance measure. The positive results of this trial were never rep- licated. On the contrary, a large, randomized trial (POISE [Perioperative Ischemic Evaluation]) and a meta-analysis pointed to harm, necessitating a downgrading of recommendations a decade after the publication of the original trial results.3 One systematic review concluded that most large treatment effect estimates should be considered with caution. The vast majority are either spurious findings or represent substantial overestimations, and large mortality benefits are almost entirely nonex- istent.4 Thus, the key question that lingered in my mind despite the resounding applause was, “Should we simply dismiss these unexpected results to be ‘too good to be true’ and attribute them to a play of chance?” In answering this question, I wrestled with the following arguments. First, both all-cause mortality and cardiovascular mortality were prespecified as secondary end points, although they were not included in the statistical hier- archical testing strategy, which included a stepwise evaluation of noninferiority followed by superiority of 3 and 4-point major adverse cardiovascular events (MACE). A purist might argue that because superiority of 4-point MACE was not met (P=0.079), the α error had already been spent, and therefore all subsequent analyses, including mortality, must be deemed exploratory, requiring confirma- tion in subsequent trials. Taken to a logical extreme, this is akin to saying that because Christopher Columbus had prespecified discovering a route to India, America must not exist. There is regulatory precedence of a successful claim of carvedilol reducing the combined incidence of morbidity and mortality in heart failure despite the fact that mortality was not prespecified as a primary or a sec- ondary end point in the pivotal trials.5 © 2016 American Heart Association, Inc. Key Words: clinical trial ◼ diabetes mellitus ◼ mortality PErSPEcTIvE The opinions expressed in this article are not necessarily those of the editors or of the American Heart Association. Correspondence to: Sanjay Kaul, MD, Division of Cardiology, Cedars-Sinai Medical Center, 8635 W Third St, Ste 790W, Los Angeles, CA 90048. E-mail kaul@cshs.org D ow nloaded from http://ahajournals.org by on A pril 5, 2021 FRAM E OF REFERENCE Mortality Benefit With Empagliflozin Circulation. 2016;134:94–96. DOI: 10.1161/CIRCULATIONAHA.116.022537 July 12, 2016 95 Second, the mortality benefit is large and clinically important: 2.6% absolute or 32% relative risk reduction in all-cause mortality and 2.2% absolute or 38% rela- tive risk reduction in cardiovascular mortality; and sta- tistically robust (P<0.001 for both). These results are consistent with the quantity of evidence necessary to support the US Food and Drug Administration’s substan- tial evidence criterion of effectiveness based on a single trial that requires a highly persuasive statistical finding (ie, P<0.001). Third, the mortality benefit is based on large number of events: 463 all-cause and 309 cardiovascular mor- tality events. Remarkably, <1% of patients had missing information on vital status. Fourth, a consistent mortality benefit is seen with both doses: 30% and 33% relative risk reduction in all-cause mor- tality and 35% and 41% relative risk reduction in cardiovas- cular mortality with the 10- and 25-mg dose, respectively. Finally, the P values for both all-cause and cardiovas- cular mortality are robust enough to preserve type 1 or false-positive error after adjustment for >100 compari- sons. It is important to emphasize that both all-cause and cardiovascular mortality, but not 3-point MACE (the primary end point), results satisfy the key attributes of regulatory decision making: prespecification, replica- tion, and preservation of type 1 error. The shortcomings of using P values as a measure of evidence are well documented and continue to stir much controversy.6 Some have argued that P values overesti- mate the strength of the evidence and offered the use of Bayes factor, which is a measure of how well the null and the alternative hypotheses predict the data.6 The mini- mum Bayes factor and the corresponding strength of evidence for 3-point MACE and mortality results in EMPA- REG OUTCOME are shown in Table 1. The P value of 0.038 for 3-point MACE translates into a minimum Bayes factor of 0.131, which means that the evidence supports the null hypothesis approximately one eighth as strongly as it does the alternative. This reduces the null probabil- ity from 50% before the trial to 10% after the trial. This does not represent strong evidence against the null, thus requiring independent confirmation in a subsequent trial. For all-cause and cardiovascular mortality, the nominal P value of 0.0001 translates into Bayes factors of 0.0006 (1/1815) and 0.0004 (1/2358), which reduces the ex- tremely skeptical prior null probability of 95% to <0.5% after the trial, indicating very strong evidence against the null. A formal Bayesian analysis7 of EMPA-REG OUTCOME shown in Table 2 provides useful insights. For all-cause mortality, the posterior hazard ratio (HR) shifts from 0.68 using the noninformative prior to 0.76 (95% confidence interval excluding an HR of 1), which is still a clinically important treatment effect. Similarly, for cardiovascular mortality and hospitalization for heart failure, the poste- rior HR shifts from 0.62 to 0.74 and from 0.65 to 0.80, respectively (95% confidence interval excludes an HR of 1). For the 3-point MACE, the HR shifts from 0.86 to 0.88 (95% confidence interval no longer excludes an HR of 1). One can also estimate the probability of a range of treat- ment effects. Thus, if one deems 15% mortality reduction as the minimum clinically important difference, then the probability of achieving this is 99% using the noninforma- tive prior and 92% using the skeptical prior. Thus, by for- Table 1. Evaluating Strength of Evidence of cardiovascular Outcomes in EMPA-rEG OUTcOME Using Bayes Factor End Point P value (z Score) Minimum Bayes Factor Decrease in Probability of Null Hypothesis, % Strength of Evidence Effect Size, HrFrom To No Less Than 3-Point MACE 0.038 (2.02) 0.131 95 54 Moderate 0.86 75 28 50 12 All-cause mortality 0.0001 (3.94) 0.0006 95 0.49 Very strong 0.68 75 0.16 50 0.06 Cardiovascular mortality 0.0001 (3.87) 0.0004 95 0.38 Very Strong 0.62 75 0.13 50 0.04 Hospitalization for heart failure 0.0017 (2.93) 0.0137 95 11 Strong 0.65 75 4 50 1 Bayes’ theorem: posterior odds=prior odds x evidence (Bayes factor). Bayes factor=prob (data/H0)/prob (data/H1) (likelihood ratio); H0=null hypothesis; H1=alternative hypothesis. Minimum Bayes factor=exp(−0.5z2). Odds=probability/(1−probability). Probability=Odds/(1+Odds). EMPA-REG Outcome indicates BI 10773 (Empagliflozin) Cardiovascular Outcome Event Trial in Type 2 Diabetes Mellitus Patients; HR, hazard ratio; and MACE, major adverse cardiovascular event. D ow nloaded from http://ahajournals.org by on A pril 5, 2021 Kaul July 12, 2016 Circulation. 2016;134:94–96. DOI: 10.1161/CIRCULATIONAHA.116.02253796 mally incorporating skepticism, the Bayesian approach helps moderate results that are “too good to be true.” Critics have argued that lack of a clear and biologically plausible mechanism underlying mortality benefit is a major limitation. This is a rather uncharitable criticism because outcome trials are not designed to unravel the potential mechanisms of benefit. What we can say with reasonable confidence from the trial results so far is that mortality ben- efit is unlikely to be mediated by favorable but very modest effects on cardiometabolic factors such as blood pressure, body weight, or glycemic control, given the rapid onset of treatment effect (curves separate as early as 2–3 months), and it is unlikely to be mediated by an atherothrombotic ef- fect, given the lack of effect on myocardial infarction and stroke. The observations that hospitalization for heart fail- ure was reduced by 35% and that half of the cardiovascular mortality advantage was driven by reduction in worsening heart failure and sudden cardiac death1 support a possible hemodynamic or antiarrhythmic effect. Future studies aimed at these targets should help yield mechanistic insights. Thus, the totality of data suggests that the observed magnitude of mortality benefit in EMPA-REG OUTCOME is not likely to be spurious. Nonetheless, because the findings were unexpected and unprecedented and not linked to obvious mechanistic pathway, the results need to be replicated in future investigations. Only then can we be sure beyond any reasonable doubt that the mortal- ity results are highly reliable and that it is time to take the trumpets out to herald the historic milestone. DIScLOSUrES Dr Kaul has a consultant or advisory relationship with Boehring- er-Ingelheim, sponsor of empagliflozin, and Eli Lilly, collabora- tor with Boehringer-Ingelheim for empagliflozin. AFFILIATION From Division of Cardiology, Cedars-Sinai Medical Center, Los Angeles, CA. FOOTNOTES Circulation is available at http://circ.ahajournals.org. rEFErENcES 1. Zinman B, Wanner C, Lachin JM, Fitchett D, Bluhmki E, Hantel S, Mattheus M, Devins T, Johansen OE, Woerle HJ, Broedl UC, Inzucchi SE; EMPA-REG OUTCOME Investigators. Empagliflozin, cardiovascular outcomes, and mortality in type 2 diabetes. N Engl J Med. 2015;373:2117–2128. doi: 10.1056/NEJMoa1504720. 2. Poldermans D, Boersma E, Bax JJ, Thomson IR, van de Ven LL, Blan- kensteijn JD, Baars HF, Yo TI, Trocino G, Vigna C, Roelandt JR, van Urk H. The effect of bisoprolol on perioperative mortality and myocar- dial infarction in high-risk patients undergoing vascular surgery. Dutch Echocardiographic Cardiac Risk Evaluation Applying Stress Echocar- diography Study Group. N Engl J Med. 1999;341:1789-1794. 3. POISE Study Group, Devereaux PJ, Yang H, Yusuf S, Guyatt G, Leslie K, Villar JC, Xavier D, Chrolavicius S, Greenspan L, Pogue J, Pais P, Liu L, Xu S, Málaga G, Avezum A, Chan M, Montori VM, Jacka M, Choi P. Effects of extended-release metoprolol succi- nate in patients undergoing non-cardiac surgery (POISE trial): a randomised controlled trial. Lancet. 2008;371:1839-1847. doi: 10.1016/S0140-6736(08)60601-7. 4. Pereira TV, Horwitz RI, Ioannidis JP. Empirical evaluation of very large treatment effects of medical interventions. JAMA. 2012;308:1676–1684. doi: 10.1001/jama.2012.13444. 5. Fisher LD, Moyé LA. Carvedilol and the Food and Drug Admin- istration approval process: an introduction. Control Clin Trials. 1999;20:1–15. 6. Goodman SN. Toward evidence-based medical statistics, 2: the Bayes factor. Ann Intern Med. 1999;130:1005–1013. 7. Kaul S. Are concerns about reliability in the trial to assess che- lation therapy fair grounds for a hasty dismissal? An alternative perspective. Circ Cardiovasc Qual Outcomes. 2014;7:5–7. doi: 10.1161/CIRCOUTCOMES.113.000714. Table 2. Bayesian Analysis of cardiovascular Outcomes in EMPA-rEG OUTcOME End Point Prior Evidence Posterior Probability of Benefit P b≥0 P b≥10% P b≥15% 3-Point MACE Noninformative 0.86 (0.74–0.99) 0.86 (0.74–0.99) 0.980 0.767 0.506 1.00 (0.75–1.33) (skeptical) 0.86 (0.74–0.99) 0.88 (0.70–1.01) 0.966 0.619 0.304 All-cause mortality Noninformative 0.68 (0.57–0.82) 0.68 (0.57–0.82) 0.999 0.998 0.992 1.00 (0.75–1.33) (skeptical) 0.68 (0.57–0.82) 0.76 (0.65–0.89) 0.999 0.982 0.916 Cardiovascular mortality Noninformative 0.62 (0.49–0.77) 0.62 (0.49–0.77) 0.999 0.999 0.997 1.00 (0.75–1.33) (skeptical) 0.62 (0.49–0.77) 0.74 (0.62–0.89) 0.999 0.982 0.925 Hospitalization for heart failure Noninformative 0.65 (0.50–0.85) 0.65 (0.50–0.85) 0.999 0.989 0.971 1.00 (0.75–1.33) (skeptical) 0.65 (0.50–0.85) 0.80 (0.65–0.97) 0.988 0.884 0.728 Bayesian analysis allows information from earlier trials, if available, (the prior) to be integrated with the current evidence (likelihood) to generate a posterior.7 Two types of prior are used: (1) Noninformative or vague prior: all effect sizes are equally plausible (log OR=0, log SD=10). The choice of noninformative prior can be reasonably justified, reflecting the uncertainty associated with the possible benefit of empagliflozin therapy. In this case, the posterior is driven entirely by the evidence (as in the frequentist approach); (2) Skeptical prior: mean OR=1; 95% CI, 0.75–1.33 (probability of OR<0.75 is 2.5% and OR>1.33 is 2.5%; log OR=-0.001, log SD=0.146). Probability of at least 0, 10% and 15% reduction in outcome is shown. MACE indicates major adverse cardiovascular event. D ow nloaded from http://ahajournals.org by on A pril 5, 2021 
work_f2vnr4iplva3zihzjrrgavei4a	----	반건호·배재호·문수진·민정원 - 61 - 시 뇌염에서 살아남은 아이들 중 산만하고 행동이 과다해지 고 충동 조절 및 인지기능 장애가 발생한다는 보고가 1920 년대 초에 다수 발표되었다. 24) 그들은 우울증을 포함한 기분 증상, 틱 증상, 인지 기능 손상으로 인한 학습 장애 등의 다 양한 증상뿐 아니라 반 사회적, 파괴적 행동을 포함한 행동 문제, 주의력 결핍 문제 등의 ADHD에 해당하는 증상들을 보였다. 이는 처음으로 ADHD 유사 증상의 원인으로 신체 적 결함을 고려하게 된 사건이며, 단순한 도덕적 조절 능력 결핍이 아닌 ‘뇌염 후 행동장애(postencephalitic behav- ior disorder)’라는 진단을 내리게 되었다. 25) 그로 인해 출생 당시 선천적 결손이나 주산기 무산소증, 주산기 질병 등이 뇌 의 이른 기질적 손상을 가져오고, 그로 인해 행동상의 문제 나 학습 장애, 주의력 결핍 등을 유발할 수 있다는 인식이 확 산되었다. 26) 이러한 환자들을 단일 질환으로 분류하고 이에 대해 수많은 치료법이 개발되었으나 효과가 없었다. ADHD가 이러한 뇌염 등의 질병에 의해 유발되는 것은 아니지만, 단 순한 도덕적 결함으로 인한 개인적 문제 차원에서 뇌의 기 질적 변화로 인한 질병으로 인식되기 시작했다는 점에서 의 의를 찾을 수 있다. 9. Kramer-Pollnow 증후군 Franz Kramer(1878~1967)와 Hans Pollnow(1902~ 1943)는 1932년 “On a hyperkinetic disease of infan- cy”에서 행동문제가 있는 17명의 아이들(세 명의 소녀 포함) 에 대해 보고하였다. 27) “아이들한테 나타나는 가장 분명한 증상은 엄청난 운동 량이다. 그것도 무척 급하게 행동한다. 잠시도 차분하게 기다 리지 못하고 방 안을 이리저리 뛰어 다닌다. 특히 높은 가구 에 기어올라가는 것을 선호한다. 누군가 말리려 하면 성을 낸 다.” 17) 이러한 내용은 오늘날 ADHD의 주 증상 중 하나인 과잉행동 특성과 상당부분 일치한다. “특별한 목표 없이 하던 행동들은 다른 자극을 받으면 쉽 게 다른 행동으로 넘어가는 산만함을 보인다. 아이들은 과제 를 완수하기가 어렵고 간단한 질문에도 대답을 못한다. 어려 운 과제에 집중하는 것은 대단히 곤란하다. 그러다 보면 학 습에 문제가 생긴다. 지적 능력 평가도 곤란하다.” 17) 이 부분 은 역시 ADHD의 주 증상 중 하나인 주의력결핍에 해당한다. “지속력이 떨어지고 특정 과제에 집중하기도 어렵다. 기분 도 불안정하다. 쉽게 흥분하고 자주 분노를 터뜨리며 별 것 아닌 일에 눈물을 터뜨리거나 공격적으로 변한다.” 17) 이는 ADHD의 충동성향과 부합되는 내용이다. 하지만 “일초도 가만히 있지 못하는 아이의 행동 문제에도 불구하고 자신 들이 좋아하는 과제에는 오랜 시간 집중할 수 있다. 나이가 들면서 과활동성이 소실되거나 감소한다.”는 기술은 충동성 향에 대한 의심을 불러오기도 하는 대목이다. DSM-IV 6) 의 진단 기준 중 “사회적, 학업적, 또는 직업적 기능의 현저한 손상” 대목에 해당하는 내용도 기술한 바 있 다. “과잉행동 아이들은 종종 불복종하는 행동특성이 있으 며, 학습 문제도 심각하다. 학교에서는 학급 수업 진행을 방 해하고 혼란에 빠뜨리며 친구들과 어울려 노는 것이 어렵고 친구 사이에서 왕따 되기 일쑤다.” 17) DSM-IV 6) 의 연령 기준에 대한 부분도 이미 Kramer- Pollnow 증후군 기록에 언급하고 있다. 이들이 보고한 사례 들은 3내지 4세에 과잉행동이 시작되고 6세 경에 절정을 이 룬다고 하였다. 상당수 아이들은 열성 질병이나 간질성 경련 후에 행동 문제가 나타난다는 내용도 기술하였다. 17) Kramer와 Pollnow는 이러한 아이들의 장애를 “아동기 의 과활동성(hyperkinesis of childhood)”라고 지칭하였 다. 이처럼 공격적 행동, 충동성, 혼란스러울 정도의 안절부 절못함, 학습장애 등을 보였으나, 당시 유행하던 뇌염 후 행 동장애와는 차이가 있었다. 뇌염 후 행동장애에서 보이는 수 면장애, 야간에 나타나는 초조감, 이상한 몸동작 등이 없었 고 주간에만 증상을 보였다. 17) 원인적 접근에서 뇌의 장애를 더 고려했다는 점에서 역사 적 가치가 있으나 연구를 진행하던 중, 그들이 모두 유태인이 었기 때문에 나치의 강제 이주가 이루어지면서 후속 연구자 료를 찾기는 어렵다. 27) 하지만 이는 WHO의 질병분류에 영 향을 미쳤고, ‘hyperkinetic’이라는 용어는 ICD-8의 ‘hy- perkinetic disorder’로 이어졌다. 28) 10. ADHD의 치료에 대한 최초 기록, Charles Bradley ADHD 치료와 연구에 가장 획기적인 내용은 1937년 Char- les Bradley라는 정신과의사가 쓴 ‘The behavior of child- ren receiving benzedrine’이라는 논문에서 찾을 수 있 다. 29) 그는 미국 로드아일랜드 주에 위치한 Emma Pend- leton Bradley Home(현재는 Bradley Hospital)의 의료 부장으로 재직하면서 기뇌조영술(pneumoencephalogra- phy) 후에 두통이 있는 아이들을 치료하기 위해 벤제드린(ben- zedrine, 주 : benzedrine은 amphetamine 제제로 1928년 부터 기관지확장제로 시판되었고 흡입형 제제였으며, 현재는 propylhexedrine으로 대체되어 사용되고 있음 30) 을 투여하 였다. 그는 두통이 뇌척수액의 손실로 인해 발생하는 것이라 생각했으며, 따라서 두통을 치료하기 위해서는 맥락총에서 뇌척수액 생산을 촉진시키면 될 것이라고 생각했다. 뇌척수 액 생산을 촉진시키기 위해 당시 사용되고 있던 가장 강력 한 정신 자극제인 벤제드린을 투여하였다. 벤제드린 투여 후 주의력결핍 과잉행동장애의 역사적 고찰 - 62 - 에도 두통은 그다지 호전되지 않았으나, 일부 환아에서 학교 생활에 큰 변화가 있었고 학습효과도 눈에 띄게 좋아졌다. 아이들은 이 약을 “arithmetic pills”로 불렀다. 그러한 아 이들의 행동 변화를 감지한 Bradley는 그의 병원에서 행동 문제를 보이는 30명의 환자들을 대상으로 벤제드린을 투여 하였다. “벤제드린을 투여한 반수의 환자들에서 학교 생활 의 두드러진 호전이 나타났고, 일과 수행에 있어 훨씬 빠르고 정확하게 집중할 수 있게 되었다.”라고 기술하였다. 29) 하지만 당시에는 행동문제 치료에 심리요법이 주류를 이루고 있었 고, 안타깝게도 이러한 약물 효과에 대한 재검증이 이루어지 지 않았다. ADHD 치료약물의 본격적 사용은 그의 논문 발표 후 25 년여가 지나서야 시작되었다. 31) 11. ADHD의 기질적 원인 분석 시도, Minimal brain dysfunction(MBD) ADHD의 원인에 대한 인식이 Still경의 도덕적 결함으로 인한 행동 문제에서 Tredgold의 뇌의 기질적 문제로 인한 행동 문제 32) 로 변화된 이후, Kahn과 Cohen 33) 은 ‘organic drivenness’라는 표현을 사용하기도 하였다. Lewin 34) 은 지 적 기능이 떨어지는 아동과 성인 환자에서 뇌손상과 안절부 절못하는 증상과의 관련성을 제시하였으며, 전두엽을 제거 한 동물실험 결과와 결부시켜 설명하였다. 그 밖에도 뇌염과 감염, 납중독, 경련성 질환 등 뇌에 영향을 미칠 수 있는 다양 한 원인들과 그에 따른 환자들의 행동 문제에 대한 보고가 다 수 발표되었다. 24) 이러한 연구 결과들을 바탕으로 뇌손상과 행동문제의 관련성에 대한 인식이 정착되기 시작하였고, Str- auss와 Lehtinen 35) 은 뇌손상 아동에서 여러 가지 정신증상 이 나타날 수 있으며, 특히 과잉행동과 뇌손상과의 관련성을 지적하고 이러한 증상을 보이는 아동들을 하나의 증후군, minimal brain damage syndrome으로 분류하였다. 오 늘날 주의력결핍증상 중 많은 부분이 이미 그의 논문에서 기술한 증후군과 일치한다. 1950~1960대에 들어서는 ‘두뇌 손상아동 brain-damage children’ 36) , ’미세 뇌손상 mini- mal brain damage’ 37) , ‘미세두뇌기능장애 minimal cereb- ral dysfunction’ 38) , ‘미세뇌기능장애 minimal brain dy- sfunction(MBD)’ 39) 등으로 명명되었고, 그 중 MBD가 가장 흔히 통용되었다. 이렇듯 다양한 명칭과 보고에도 불구하고 여전히 통일된 질병개념은 등장하지 않았다. 24) 12. 주의력저하와 과활동성 치료제의 승인, 리탈린(Ritalin) Bradley가 과활동성, 주의 집중에 장애를 보이는 환자를 대상으로 벤제드린을 투여하여 효과가 있었다는 보고 29) 가 있었으나, 당시 그 결과는 주목 받지 못했다. 하지만 점차 정신 질환 치료에 있어 심리치료 이외에 생물학적 치료의 필요성이 강조되기 시작하였고, 과활동성을 보이는 아동들 의 치료에 있어서도 점차 중추신경자극제의 효과에 대한 관 심이 커지고 있었다. 40) Bradley가 ADHD환자들에 있어 벤제드린의 효과를 발표 한지 25년이 지난 1957년, ADHD 역사에서 가장 획기적 사 건 중 하나가 일어났다. 메틸페니데이트(methylphenidate) 성분의 리탈린이 처음으로 의약품으로 승인된 것이다. 41) 이 약 품은 1944년 Ciba사의 화학자인 Leandro Panizzon이 합 성하였고, 1954년부터 리탈린이라는 이름으로 판매되기 시작 하였다. 리탈린이라는 이름은 Panizzon의 아내의 애칭인 Rita 에서 온 것이라고 한다. 평소 저혈압을 앓고 있던 아내가 테니 스 시합 도중 저혈압으로 쓰러질 것을 우려하여 시합 전 자극 제로 이 약을 사용하였다. 그로 인해 리탈린은 시판 당시 만 성 피로, 기면증, 우울증, 그와 관련된 정신 증상 등에 효과 가 있는 것으로 알려졌다. 그러나 점차 과잉행동이나 주의 산만 증상에 효과가 있음이 알려지면서 이러한 증상을 보이 는 환자들에게 사용되기 시작하였고, 42) 훗날 ADHD치료에서 가장 중요한 역할을 담당하는 약물이 되었다. 하지만 치료가 진행되고 있었음에도 불구하고 질병으로서ADHD의 통일된 개념은 확립되지 않았다. 13. 질병으로서의 ADHD 이렇듯 이미 20세기 초부터 ADHD 개념이 언급되기 시작 하였고 치료 또한 시도되었으나, 현재 사용되는 ADHD 개념 에 접근하기 시작한 것은 1960년대 들어서였다. 과다한 행동 의 의학적 원인에 대한 논의가 지속되고 MBD 개념이 확산 되면서 뇌의 손상이 행동 장애로 이어진다는 가설은 탄력을 받게 되었다. 24) 하지만 행동 문제를 보이는 모든 아동들이 뇌 손상을 가지고 있어야 한다는 이 이론은 많은 비판을 받 게 되었고 뇌 손상의 평가 방법에 대한 논란도 커졌다. 43-45) 또한 뇌 손상이 없는 아동들에서도 행동 문제가 보고되었다. 40) 이러한 논란에도 불구하고 그간 축적된 자료를 바탕으로 미국 정신의학계의 진단체계인 DSM-II(The Diagnostic and Statistical Manual of Mental disorders-II) 46) 에서 ‘아동기 과잉행동 반응 hyperkinetic reaction of child- hood’이라는 명칭으로 공식 진단으로 인정하고 다음과 같 은 두 문장으로 정의하였다. “과활동성이고, 안절부절못하고, 산만하고 집중 시간이 짧은 소아들. 행동은 대개 청소년기에 감소함.” 하지만 진단명에서 알 수 있듯이 아직도 뇌의 기질 적 원인보다는 주변 자극에 대한 과도한 ‘반응’ 개념으로 이 해하고 있으며, 안타깝지만 그때까지도 ADHD는 청소년기 가 되면 사라지는 문제로 여겼다. DSM-III 47) 에서는 Douglas 48) 가 주장한 것처럼 과잉행동 반건호·배재호·문수진·민정원 - 63 - 보다는 충동조절, 주의력, 각성 영역의 결함에 좀 더 초점을 맞추게 되었고, 그간 MBD 아동에서 문제가 되었던 특수 학습 장애 영역을 ADHD에서 분리시켰다. 진단명도 DSM- II의 ‘반응 reaction’에서 ‘장애 disorder’로 바뀌었다. 하지 만 과잉행동증상에 대한 중요성이 인식되지 않았고, ADD with hyperactivity(ADDH)와 ADD without hyperac- tivity(ADD)로 명명하였다. 두 아형 사이의 임상적 차이가 미미하다는 논란이 지속되었고 과잉행동이 중요한 증상군임 이 받아들여져서, 26) 1987년 DSM-III-R 에서는 두 아형에 대한 개념을 삭제하고, 오늘날 사용되고 있는 주의력결핍 과 잉행동장애(ADHD)로 진단명이 변경되었다. 1) ADD with- out hyperactivity 진단은 미분류 ADD(undifferentiated ADD)로 남았다. 1994년, 개정된 DSM-IV에서도 ADHD라는 명칭은 그대 로 쓰이고 있지만 주의력-결핍 우세형(predominantly inat- tentive type), 과잉행동-충동 우세형(predominantly hy- peractive-impulsive type), 복합형(combined type)의 3 가지 아형으로 분류되었다. 6) 2000년 개정된 DSM-IV-TR 49) 에서도 진단체계는 크게 바뀌지 않았으나, DSM-V에서는 일부 진단 기준 변화와 함께 현재 아형을 없애고 하나의 진단 으로 가는 방안과 기존의 주의력 결핍형 대신 attention de- ficit disorder(ADD) 진단을 채택하는 것을 고려하고 있다. 50) 14. ICD-10과 DSM-IV의 차이 1969년에 ICD-8에서는 주의가 산만하고 과다행동을 보 이는 아동들을 hyperkinetic reaction of childhood로 분류 하였다. 28) 이후 ICD-9에서는 hyperkinetic syndrome으 로, 51) ICD-10에서는 hyperkinetic disorder(HKD)로 분 류하였다. 52) DSM-IV와 ICD-10은 다음과 같은 차이가 있다. 53) 첫째, ICD-10은 DSM-IV보다 진단 기준의 적용을 광범위하고 강력하게 요구한다는 점이다. 둘째, ICD-10은 부주의함, 충 동성, 과활동성의 세 가지 영역을 모두 포함해야 진단할 수 있는 단일질환 개념이지만, DSM-IV에서는 주의력-결핍 우 세형(predominantly inattentive type), 과잉행동-충동 우세형(predominantly hyperactive-impulsive type), 복합형(combined type)으로 그 아형을 분류하고 있어서 위의 세 가지 영역이 모두 충족하지 않는 경우에도 진단을 붙일 수 있다. 셋째, ICD-10은 한 가지 진단만을 붙이도록 되어 있으나, DSM-IV에서는 일부 공존질환을 동시에 진단 하는 것을 허용하고 있다. 두 진단 체계간 차이로 인해 나타나는 결과는 명백한 유 병률의 차이이다. 54-56) Lee 등 53) 은 같은 환자군에서 DSM- IV와 ICD-10 기준을 적용하여 진단할 경우 HDK가 11%, A- DHD 복합형은 47.7%로 더 많이 진단된다고 하였다. HKD 는 ADHD보다 신경발달학적 손상, 학업의 문제, 인지적 장 해가 더 심한 것으로 보고되었고, 55,57) 중추신경자극제 치료 에 더 잘 반응하는 것으로 알려졌다. 58) 15. 성인 ADHD 1960년대 이후 다음과 같은 세 가지 유형의 연구보고가 늘어나면서, 아동은 물론 성인 ADHD에 대한 관심도 늘기 시작하였다. 먼저, MBD 아이들의 장기 추적 관찰에서 이 들 문제가 성인기에도 계속 된다고 보고 하였다. 59) 둘째, 과잉 행동을 보이는 아이들의 부모에 대한 연구가 진행되면서 그 들의 부모 역시 비슷한 문제가 있음을 알게 되었다. 60) 세 번 째 유형은 충동성, 공격성, 정서불안정, 우울성향 등을 보이 는 성인들에 대한 보고이다. 61) 1972년 캐나다 McGill 대학의 Virginia Douglas 교수 는 이들 아동에서 과잉행동뿐 아니라 주의력저하 문제를 제 기하였으며, 그녀의 동료인 Gabrielle Weiss는 장기 추적 연구를 통해 과잉행동증상은 나이를 먹으면서 줄어들지만 주의력문제와 충동조절 문제는 지속되며 이 증상들이 중추 신경자극제에 특히 반응이 좋다고 주장하였다. 48) 앞서 말한 것처럼 이전에는 청소년기가 되면서 점차 증세가 사라지고 성 인기에는 확실히 사라진다고 믿었던 이론에 의심을 갖게 되었 고, 점차 성인 ADHD 연구가 시작되었다. 초창기 성인기 ADHD 추적 연구는 주로 몬트리올 팀 62) 와 뉴욕 연구진 63,64) 에 의해 이루어졌다. ADHD 증세의 지속 여부에 대한 결과, 몬트리올 연구에서는 과거 ADHD 아동의 반 정도가 25세 시점에서 아동기의 증세가 지속된다고 하였 다. 62) 뉴욕 연구진의 추적 연구에서도 아동기 ADHD 진단군 이 성인기에 ADHD로 진단되는 비율이 48%였다. 63) 즉, 아동 기의 ADHD 증상이 성인기가 되어도 반 정도에서는 남아 있 었으며, 뉴욕 연구진의 또 다른 장기 추적 연구에서는 아동기 에 ADHD로 진단된 경우 성인기에 약물남용, 반사회적 성격 장애로 진단되는 경우가 대조군에 비해 유의하게 많았다. 64) ADHD가 아동기에 발병한 후 거의 반수가 청소년기를 거 쳐 성인기까지 증세가 지속된다는 보고가 늘면서 성인 ADHD 의 진단기준과 치료에 대한 관심도 늘고 있다. 2002년 미국 FDA에서 아토목세틴(atomoxetine)을 소아청소년은 물론 성인 ADHD 치료제로 승인하면서 성인 ADHD에 대한 약 물치료 폭이 넓어졌고, 65) 2003년에는 성인 ADHD의 진단과 치료 기준 마련을 위해 18개 나라의 40여명의 전문가가 참 여한 European Network Adult ADHD가 만들어지기도 하였다. 66) 주의력결핍 과잉행동장애의 역사적 고찰 - 64 - 2013년경 발표될 것으로 예상되는 DSM-V에서는 이제까 지 성인 ADHD 연구와 진료과정에서 논란이 되어 온 ‘7세 이하 발병’이라는 진단 기준을 ’12세 이하 발병’으로 바꾸고, 성인의 경우 일부 아형 진단 시 ‘진단 기준 9개 항목 중 6개 이상 만족’을 ‘3개 이상’으로 낮추는 작업이 진행되고 있다. 50) 이와 같이 아동기에 발병하는 ADHD가 성인기로 이행되는 것을 반영하는 진단 기준의 변화가 예상된다. 16. 역사 속 유명인사 중에 ADHD가 있었을까? 역사 속의 유명인 들을 분석함으로써 과거 인물에게서 ADHD의 실존 가능성을 알아볼 수도 있다. 이는 ADHD 진단과 약물치료에 반대하는 집단은 물론 ADHD 치료를 옹 호하는 쪽에서도 내세운다. 67,68) 흔히 인용되는 대표 인물 중 건축가로는 시카고를 대표하는 Frank Lloyd Wright, 예술가 중에는 Salvador Dali, Pablo Picasso, Vincent Van Gogh, 문학작품을 남긴 작가로는 Charlotte Bronte 와 Emily Bronte, Samuel Clemens, Emily Dickenson, Scott Fitzgerald, Edgar Allan Poe, Ralph Waldo Emerson, Robert Frost, George Bernard Shaw, Hen- ry David Thoreau, Leo Tolstoy, Tennessee Williams, Virginia Woolf, William Butler Yeats, 천재 작곡가인 Wolfgang Amadeus Mozart, 위대한 사업가로는 Andrew Carnegie, Malcolm Forbes, Henry Ford, Bill Gates, David Neeleman, Paul Orfalea, Ted Turner, 탐험가 중 에는 Christopher Columbus, 발명가 중에는 Wright Bro- thers, Alexander Graham Bell, Thomas Edison, Benjamin Franklin, 등이 있으며, 위대한 학자인 Albert Einstein이 있다. 저명한 정치가로는 James Carville이나 John F. Kennedy를 든다. 미국의 유명한 사진작가인 Ansel Adams도 포함된다. 과거 인물은 아니지만 최근 활 동했거나 활동 중인 운동선수 중에는 Terry Bradshaw, Michael Phelps, Pete Rose, Nolan Ryan, Michael Jordan, Jason Kidd, 연예인 중에는 Ann Bancroft, Jim Carrey, Steve McQueen, Jack Nicholson, Elvis Presley, Sylvester Stallone, Robin Williams 등이 있다. 이러한 분류는 자서전과 역사적 자료를 바탕으로 개연성 을 추정하는 것이며, 학문적 근거를 바탕으로 하는 것은 아 니므로 보다 많은 체계적 평가와 분석이 필요할 것이다. 하 지만 이러한 움직임이 정신의학적 입장에서 역사 속의 유명 인물을 평가하려는 시도로 이어지기도 한다. 예를 들어 자서 전을 토대로 본 체 게바라(Che Guevara)의 어린 시절은 전 형적인 ADHD 기준에 부합하며, 그의 어머니 역시 성인 ADHD 에 해당한다. 69) 그의 성인기 기록 역시 성인 ADHD로서의 기 준에 합당하다. Fidel Castro와 같은 동료 혁명가들의 충고 에도 불구하고 아프리카와 남아메리카에서 벌인 게릴라 활 동 역시 부적절한 충동성향 때문이라는 분석이다. 17. ADHD 연구의 최신 경향 최근 ADHD의 ‘회복’에 관한 개념도 새로이 제시되고 있다. 단순히 약에 의한 증상의 소실을 치료의 목표로 보는 것이 아니라 그에 따르는 사회적, 총체적 기능의 개선이 이루어져 야 이를 관해라고 볼 수 있다는 것이다. 70) 즉, 주의력 결핍이 나 과다행동과 같은 단순한 증상으로서의 개념이 아니라, 전반적 뇌기능 장해와 그로 인한 다양한 기능의 소실로 규 정되는 개념으로 나아가고 있는 것이다. ADHD에 관한 기질적, 생물학적 연구도 진행되고 있다. ADHD 환자군의 가족력 증거에 대한 연구도 계속 늘고 있 으며, 71) 도파민 D4, D5 수용체 변이와 관련이 있다는 보고 가 있으며, 72) DBH, HTR1B, SNAP-25 등의 유전자 관련 연구도 진행되고 있다. 73) 최근 국내 연구진에 의한 연구도 활 발히 진행되고 있다. 74,75) 유전적 원인 뿐 아니라 환경 원인에 대한 연구도 보고되었는데, 소아기 시절의 납이나 PCBs의 중독과 관련이 있다는 보고 73) 이후, 출생 전 알코올 노출과 DAT1 유전자와의 연관성 77) 과 같은 환경 원인과 유전자와의 연관성에 대한 연구도 진행되고 있다. 최근 뇌영상 기술의 발달로 fMRI가 등장하면서 ADHD 환자군의 뇌 부분 활성도와 관련된 많은 연구가 진행되었다. 전전두엽, 선조체에서의 활성도 저하가 보고되었고 78,79) 선조 체에서 도파민이 피질선조체 시냅스의 시냅스 후 신경세포를 활성화시킨다는 보고도 있었다. 80) 보상관련 기전과 관련해서 는 배쪽 선조체의 활성도가 저하된다는 연구 결과가 있었다. 81) Shaw 등 82) 은 ADHD 아동과 정상아동과의 뇌 피질 성숙 도 변화를 비교한 결과를 발표하면서 질병의 중추신경계 병 리를 규명하는데 크게 일조하였다. 이와 같이 ADHD의 발병 기전과 질병 특성을 설명할 수 있는 생물학적 근거가 제시되 고 있다. 결 론 이처럼 ADHD는 오래 전부터 존재하였으나 20세기에 들 면서 임상적으로 관심을 갖게 되었고, 최근 백 여 년 동안 ‘뇌염 후 행동장애’, ‘뇌 손상 아동’, ‘MBD’, ‘아동기 과잉행동 반응’, ‘ADD’, 등 여러 가지 이름으로 불려왔다. 앞으로도 새 로운 뇌 병변 발견이나 새로운 기전의 발견 등으로 인해 진 단명이 바뀔 수도 있겠으나, 질병 개념에 차이는 변하지 않을 것이다. 향후 ADHD의 더 정확한 원인 및 치료방법에 대한 반건호·배재호·문수진·민정원 - 65 - 연구가 필요하다. 중심 단어：주의력결핍 과잉행동장애 ·역사 ·고 찰 ·메틸페니 데이트. 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J Atten Disord 2011;15:3-10. 주의력결핍 과잉행동장애의 역사적 고찰 - 66 - 51) World Health Organization. Manual of the International Classifi- cation of Diseases, Injuries, and Causes of Death, 9th revision. Ge- neva: World Heath Organization;1978. 52) World Health Organization. Manual of the International Classifi- cation of Diseases, Injuries, and Causes of Death, 10th revision. Ge- neva: World Heath Organization;1992. 53) Lee SI, Schachar RJ, Chen SX, Ornstein TJ, Charach A, Barr C, et al. Predictive validity of DSM-IV and ICD-10 criteria for ADHD and hyperkinetic disorder. J Child Psychol Psychiatry 2008;49: 70-78. 54) Karloviæ D, Zori?iæ Z, Buljan D. Correspondence between DSM IV ADHD and ICD 10 Hyperkinetic disorder in Croatian sample. Acta clin Croat 2002;41:323-326. In: Lange KW, Reichl S, Lange KM, Tucha L, Tucha O. The history of attention deficit hyperac- tivity disorder. Attent Defic Hyperact Disord 2010;2:241-255. 55) Schachar, R. Childhood hyperactivity. 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The syndrome of minimal brain dysfunction in young adult patients. Bull Menninger Clin 1968;32:102-114. 62) Weiss G, Hechtman L, Milroy T. Psychiatric status of hyperac- tives as adualts: A controlled prospective 15-year follow-up of 63 hyperactive children. J Am Acad Child Psychiatry 1985;23:211- 220. 63) Mannuzza S, Klein RG, Bonagura N, Malloy P, Giampino TL, Ad- dalli KA. Hyperactive boys almost grown up: V. Replication of psychiatric status. Arch Gen Psychiatry 1991;48:77-83. 64) Mannuzza S, Klein RG, Bessler A, Malloy P, LaPadula M. Adult psychiatric status of hyperactive boys grown up. Am J Psychiatry 1998;155:493-498. 65) Faraone SV, Biederman J, Spencer T, Michelson D, Adler L, Reim- herr F, et al. Atomoxetine and stroop task performance in adult attention-deficit/hyperactivity disorder. J Child Adolesc Psycho- pharmacol 2005;15:664-670. 66) Kooij SJ, Bejerot S, Blackwell A, Caci H, Casas-Brugué M, Car- pentier PJ, et al. European consensus statement on diagnosis and treatment of adult ADHD: The European Network Adult ADHD. BMC Psychiatry 2010;67;1-24. 67) ADD/ADHD Treatments. Famous people with ADHD and ADD. [accessed on 10 Jan 2011]. Available from: http://www.add-adhd- treatments.com/Famous-People.html. 68) ADHDrelief. Attention deficit famous people. [accessed on 10 Jan 2011]. Avilable from: http://www.adhdrelief.com/famous.html. 69) Teive HA, Zavala JA, Munhoz RP, Lara DR, Lima P, Palmini A. Attention deficit hyperactivity disorder and the behavior of “Che” Guevara. J Clin Neurosci 2009;16:1136-1138. 70) Steele M, Jensen PS, Quinn DM. Remission versus response as the goal of therapy in ADHD: a new standard for the field? Clin Ther 2006;28:1892-908. 71) Faraone SV, Doyle AE. The nature and heritability of attention- deficit/hyperactivity disorder. Child Adolesc Psychiatr Clin N Am 2001;10:299-316. 72) Bobb AJ, Castellanos FX, Addington AM, Rapoport JL. Molecu- lar genetic studies of ADHD: 1991 to 2004. Am J Med Genet B Neu- ropsychiatr Genet 2005;132:109?125. 73) Faraone SV, Perlis RH, Doyle AE, Smoller JW, Goralnick JJ, Hol- mgren MA, et al. Molecular genetics of attention-deficit/hyperac- tivity disorder. Biol Psychiatry 2005;57:1313-1323. 74) Song DH, Jhung K, Song J, Cheon KA. The 1287 G/A polymor- phism of the Norepinephrine Transporter gene (NET) is involved in Commission Errors in Korean children with Attention Deficit Hyperactivity Disorder. Behav Brain Funct 2011;13:7-12. 75) Won H, Mah W, Kim E, Kim JW, Hahm EK, Kim MH, et al. GIT1 is associated with ADHD in humans and ADHD-like behaviors in mice. Nat Med 2011;17:566-572. 76) Williams JH, Ross L. Consequences of prenatal toxin exposure for mental health in children and adolescents: a systematic review. Eur Child Adolesc Psychiatry 2007;16:243-253. 77) Brookes KJ, Mill J, Guindalini C, Curran S, Xu X, Knight J, et al. A common haplotype of the dopamine transporter gene associat- ed with attention-deficit/hyperactivity disorder and interacting with maternal use of alcohol during pregnancy. Arch Gen Psychi- atry 2006;63:74-81. 78) Bush G, Valera EM, Seidman LJ. Functional neuroimaging of at- tentiondeficit/hyperactivity disorder: a review and suggested fu- ture directions. Biol Psychiatry 2005;57:1273-1284. 79) Casey BJ, Nigg JT, Durston S. New potential leads in the biology and treatment of attention deficit-hyperactivity disorder. Curr Opin Neurol 2007;20:119-124. 80) Knutson B, Gibbs SE. Linking nucleus accumbens dopamine and blood oxygenation. Psychopharmacology (Berl) 2007;191:813-822. 81) Scheres A, Milham MP, Knutson B, Castellanos FX. Ventral stria- tal hyporesponsiveness during reward anticipation in attention- deficit/hyperactivity disorder. Biol Psychiatry 2007;61:720-724. 82) Shaw P, Eckstrand K, Sharp W, Blumenthal J, Lerch JP, Green- stein D, et al. Attention-deficit/hyperactivity disorder is character- ized by a delay in cortical maturation. Proc Natl Acad Sci USA 2007;104:19649-19654. 
work_f4ncjunwinf5tcbel4saslnrse	----	Americas A QUARTERLY REVIEW OP INTER.AMERICAN CULTURAL HISTORY APRIL, 1956 Volume XII Niimbtr 4 published by the ACADEMY OF AMERICAN FRANCISCAN HISTORY WASHINGTON, D. C. BOOK REVIEWS Donald R. Shea: The Calvo Clause: A problem of inter-American and international law and diplomacy.. CHARLES G. FBNWICK Francisco Aguilera and Phyllis G. Carter (eds.): Handbook of Latin American Studies: 1952 MATHIAS C. KIEMEN Agustin Millares Carlo (ed.): Joaquin Garcia Icazbalceta, Bibliografia mexicana del siglo XVI JAVIER MALAGON William S. Greever: Arid Domain: The Santa Fe Railway and its Western Land Grant. HAROLD H. DUNHAM J. Lee Stambaugh and Lillian J. Stambaugh: The Lower Rio Grande Valley of Texas CARLOS E. CASTANEDA Fray Angelico Chavez: Origins of New Mexico Families in the Spanish Colonial Period J. MANUEL ESPINOSA Ralph L. Roys: The Maya Katun Prophecies of the Books of Chilam Balam, Series I JOHN M. LONGYEAR, III Henrik F. Infield and Koka Freier: People in Ejidos: A visit to the Cooperative Farms of Mexico. HOWARD F. CLINE Angel Valtierra: El Santo que liberto una raza: San Pedro Clover, S.J., esclavo de los esclavos negros. Su vida y su epoca, 1580-1654. ORLANDO FALS-BORDA Luis Duque Gomez: Colombia; Monumentos historicos y arqueol&gicos ELIZABETH WILDER WEISMANN Lilo Linke: Ecuador, Country of Contrasts BENJAMIN GENTO SANZ Agustin Millares Carlo and Juliin Calvo (eds.): Testimonios autenticos acerca de los Protomirtires del Japon LINO G. CANEDO David Vela: Marti en Guatemala ROSCOE R. HILL Sister Maria del Rey: In and Out the Andes SISTER MARY FREDERICK LOCHEMES Howard R. Smith: Economic History of the United States ELIZABETH MORRISSY Benjamin Keen (ed.): Readings in Latin-American Civilization, 1492 to the present FREDERICK B. PIKE Carlos E. Castaneda (ed.): Independent Mexico in Documents; Alberto Maria Carreno (ed.): Archho del General Porfirio Diaz. Memorias y Documentos; Ruben Vargas Ugane: La Carta a los Espanoles Americanos de Don Juan Pablo Vizcardo y Guzman; Lewis Hanke and Manuel Gimenez Fernandez (eds.): Bartolome de Las Casas, 1414-1566. Bibliografia critica; Tom B. Jones et. al. (eds.): A Bibliography of South American Economic Affairs; Hubert Herring: A History of Latin America; Augusto Salazar Bondy, La Filosofia en el Peru; Margaret Evans Price: Mirage; Arthur and Elizabeth Sheehan: Pierre Toussaint; Natt N. Dodge and Herbert S. Zim: The American Southwest. Americas A QUARTERLY REVIEW OF INTER-AMERICAN CULTURAL HISTORY Volume X I I APRIL, 1956 Number 4 T H E ORDENANZA DEL PATRONAZGO, 1574: A N INTERPRETATIVE 'ESSAY Robert Charles Padden 333 LAS CASAS, HISTORIAN OF CHRISTOPHER COLUMBUS Emiliano Jos 355 T H E LAND, PEOPLE, AND PROBLEMS OF AMERICA IN EIGHTEENTH- CENTURY SPANISH LITERATURE Anthony Tudisco 363 T H E MEXICAN AGRICULTURAL SOCIETY, 1879-1914 William H. Dusenberry 385 D O C U M E N T S FRAY PEDRO DE AGUADO, O.F.M.—DATE OF BAPTISM Guillermo Moron 399 INTER-AMERICAN N O T E S 407 BOOK R E V I E W S 415 (Listed on inside front cover) Copyright, 1956 ACADEMY OF AMERICAN FRANCISCAN H I S T O R Y The contents of T H E AMERICAS are indexed in the Catholic Periodical Index and the International Index to Periodicals, and abstracted in Historical Abstracts. EDITORIAL STAFF A N T O N I N E TIBESAR, O.F.M., P h . D . Editor-in-Chief MATHIAS C. K I E M E N , O.F.M., P h . D . BEDE A . D A U P H I N E E , O.F.M., M.A. Managing Editor Assistant Managing Editor JANE HERRICK, P h . D . Editorial Assistant FRANCIS B. STECK, O.F.M., P h . D . Q u i n c y College MAYNARD GEIGER, O.F.M., P h . D . Santa Barbara, California LAZARO LAMADRID, O.F.M., Lie. Hist. W a s h i n g t o n , D . C. FIDEL CHAUVET, O.F.M., P h . D . Mexico City, D . F . L I N O G . CANEDO, O.F.M., P h . D . W a s h i n g t o n , D . C. MICHAEL B. MCCLOSKEY, O.F.M., P h . D . Siena College ADVISORY EDITORS GEORGE P . H A M M O N D , P h . D . University of California ROBERT S. CHAMBERLAIN, P h . D . Carnegie Institution of W a s h i n g t o n CARLOS E. CASTANEDA, P h . D . University of Texas J O H N T A T E LANNING, P h . D . D u k e University J. M A N U E L ESPINOSA, P h . D . D e p a r t m e n t of State, W a s h i n g t o n , D . C FRANCE V . SCHOLES, P h . D . University of N e w Mexico DAVID R U B I O , O.S.A., P h . D . Madrid, Spain M A N O E L CARDOZO, P h . D . Catholic University of America RICHARD F . PATTEE National Catholic W e l f a r e Conference L E W I S H A N K E , P h . D . University of Texas IRENE A . W R I G H T , F.R.H.S. D e p a r t m e n t of State, W a s h i n g t o n , D . C. R U T H L A P H A M BUTLER, P h . D . N e w b e r r y Library, Chicago M A R I E R. MADDEN, P h . D . T e a c h e r s Institute, Brooklyn ROSCOE R. H I L L , P h . D . National Archives (retired) JOSEPH F. THORNING, P h . D . Carrollton Manor, M d . W I L L I A M F . MONTAVON, L L . D . National Catholic W e l f a r e Conference H E N R Y GRATTAN D O Y L E , Litt.D. G e o r g e W a s h i n g t o n University W . E U G E N E SHIELS, S.J., P h . D . Xavier University, Cincinnati, O . T H E A M E R I C A S is published in July, O c t o b e r , January, and April; annual subscription $4.00 Address all communications t o the Managing Editor, 5401 W . Cedar Lane, W a s h i n g t o n 14, D . C. Opinions expressed are t h e responsibility of contributors. Second-class mail privileges authorized at Washington, D. C, and Richmond, Va. 
work_fbkkadhjc5dzhc3ketv4qjcezi	----	An Inquiry Model for Literacy Across the Curriculum An Inquiry Model for Literacy Across the Curriculum Bertram C. Bruce and Judith Davidson University of Illinois at Urbana-Champaign Champaign, IL 61820 [Published (1996), in the Journal of Curriculum Studies, 28(3), 281-300.] Abstract After two decades of intense research on reading, a number of teachers and researchers are beginning to ask whether a narrow focus on reading distorts our view of learning and whether a curriculum centered on reading constrains what can be done in the classroom. Because of these concerns, many have turned to literacy across the curriculum approaches. This report explores three models for the relation of literacy to larger curricular concerns: a Skills Model, an Instrumental Model, and an Inquiry Model. It explores in some depth the Inquiry Model's conception of the role of reading and writing within learning. A possible realization of this model is suggested through a detailed look at one college class session. Reading, it would be fair to say, is the driving force in U. S. schools today. Indications of the centrality of reading in current curricular thought can be seen in numerous public documents. For example, the Reading Framework for the 1992 National Assessment of Educational Progress (NAEP Reading Consensus Project, 1992) opens with this passage: Reading is the most important, fundamental ability taught in the nation's schools. It is vital to society and to the people within it. It is the door to knowledge and a capability that can liberate people both intellectually and personally. (p. 1) Similar passages may be found in introductory chapters of textbooks, openings to journal articles, proposals for funding, teacher guides for basal readers, and conference announcements. We are now inured to the hyperbole of passages such as this, and fail to question the claims or to consider how this view of reading is placed within more encompassing accounts of learning, schooling, societal change, and political power. Does the claim that "reading is the most important, fundamental ability taught in the nation's schools" need no justification? Some might argue that learning how to get along with others, scientific thinking, general reasoning, critical thinking, or the ability to learn is more important. Or, perhaps a distinction should be made between what is taught and what ought to be taught. Is reading "the door to knowledge"? What about writing, or is writing subsumed by reading? Where do we place dialogue, observation, experimentation, contemplation, mathematical exploration, or artistic expression? And is reading truly liberating? While the inability to read is certainly associated with various forms of oppression, the claim that reading is the key to intellectual and personal liberation is at best controversial. The point here is not whether the quoted passage is correct in every way, but rather that the questions one might formulate about it are rarely asked because the underlying assumptions CORE Metadata, citation and similar papers at core.ac.uk Provided by Illinois Digital Environment for Access to Learning and Scholarship Repository https://core.ac.uk/display/4822524?utm_source=pdf&utm_medium=banner&utm_campaign=pdf-decoration-v1 are so widely shared within the field of reading. Indeed, this particular passage is from a document intended to represent the consensus of reading professionals. But after two decades of intense research on reading[1], a number of teachers and researchers are beginning to ask about the limitations of a focus on reading per se. Despite the emphasis in recent reading research on comprehension strategies, applications, and interpretations, a focus on reading often leads to highlighting reading as a set of skills rather than as a tool for inquiry in all disciplines. Because of this, many reading teachers and researchers are asking how to move from a skills model to a literacy across the curriculum model. In this report we explore that question, first by looking briefly at some approaches to literacy across the curriculum and the resistance to these approaches that is often encountered. We consider three underlying theoretical models for literacy across the curriculum: the Skills Model, the Instrumental Model, and the Inquiry Model. In the process of this examination we take a detailed look at one classroom's approach to literacy across the curriculum to illustrate the Inquiry Model. Literacy Across the Curriculum Few people would object to the notion of literacy across the curriculum. Everyone would like to see literacy as something that empowers students across a wide variety of disciplines, subject areas, or work practices (see Figure 1). Figure 1. Literacy across the curriculum From this perspective, literacy is central to the curriculum, and prior to other aspects. It is developed, and then later expanded into areas such as history, literature, mathematics, social studies, government, physics, and biology. This view is manifested in schools as they are currently set up, with their focus on reading and associated language arts, such as spelling, vocabulary, and writing. The assumption is that once students have acquired adequate reading and writing skills they can move those skills into the discipline areas, particularly in middle school and high school and, later on, in college. The division of the K-12 curriculum into a learning to read phase predominant in primary school and a reading to learn phase predominant in the upper grades exemplifies this view. The use of basal readers is further evidence of its widespread acceptance, but it underlies the practices of many classrooms that do not use basals. As we shall see in the discussion to follow, two major models for the role of reading and writing within learning accord well with the picture presented in Figure 1. Approaches to Literacy Across the Curriculum Before we consider underlying theoretical models let us look at some of the approaches currently in use to promote literacy across the curriculum in the US. The first of these we might describe as natural extension. These approaches are similar to the dominant school practices described above, that is, students first learn the skills of reading and writing and then are expected to apply those skills in other subject areas. For example, this is the approach taken in some developmental reading classes[2], which operate under the assumption that students first need to hone their reading skills and then transfer those skills to their reading in various subject areas (Anderson et al., 1985). A contrasting approach is the collection of efforts to make explicit extensions of reading and writing across the curriculum. This is particularly noticeable at the college level, where the writing across the curriculum (WAC) movement has become widespread from community colleges to research universities (Fulwiler & Young, 1982; Parker, 1985; Young & Fulwiler, 1986). This approach assumesthat writing is an important part of every form of disciplinary learning andimplementing it typically involves additional writing requirements for students and training for faculty members to learn how to incorporate writing into their own courses (Fulwiler & Biddle, 1992)[3]. A third example of literacy across the curriculum approaches is literature-based curricula, exemplified by some recent basal reading series, which have attempted to move away from the artificially constructed, carefully edited collections of the past to greater use of authentic literature. The notion here is that if we place students in a literature-rich environment, they will not only develop reading skills but also develop a love of literature that will allow them to use reading for learning across the curriculum (Atwell, 1989; Butzow & Butzow, 1989.). A fourth approach is called thematic units (Atwell, 1990; Fredericks, Meinbach, & Rothlein, 1993; Gamberg, Kwak, Hutchings, Altheim, & Edwards, 1988). In a thematic unit, the teacher identifies a subject area (e.g., transportation, environment, health, Columbus) and organizes a multi-week curriculum around it. The unit may involve reading all sorts of literature--poetry, fiction, or nonfiction--as well as engaging in activities related to that theme. It is assumed that literacy skills develop in the context of meaningful activities, journal writing, and discussions related to the theme. Reading-writing workshops constitute yet another approach to literacy across the curriculum (Atwell, 1987; Hansen, Newkirk, & Graves, 1985; Hansen, 1987; Reif, 1992). In reading- writing workshops students write, read, and share their learning from their reading and their writing with other students. Again, because students bring their own interests and experiences to this activity, and because they have a rich variety of reading available, the idea is that they will be developing an attitude toward reading that will allow its extension across other curricular areas. This is by no means a complete list of literacy across the curriculum approaches, but it serves to represent some of the more widely known approaches today. Resistance to Literacy Across the Curriculum Just as widely known as the approaches to literacy across the curriculum is the resistance to these approaches. This resistance is found among people playing many different roles within the process. For example, a physics student may question the role of reading and writing activities in physics class and see them as detracting from the central purpose of the course, which she sees as the learning of physics content. Resistance may also come both from reading teachers who see their primary role in literacy development, but who feel uncomfortable with disciplinary bodies of knowledge, or from teachers in the content areas who feel that developing reading and writing skills is not part of their job. Despite a belief that literacy across the curriculum is a laudable goal for education, parents often feel uncomfortable with some of the approaches designed to help achieve that goal. Finally, the need for new materials, revised scheduling, coordination of classes, training of staff, and simply finding staff willing to engage in such approaches all pose significant obstacles and difficulties from an administrative point of view and may generate resistance from principals, curriculum coordinators, or superintendents. Further resistance to adopting a literacy across the curriculum model develops when implemented practices fall short of the ideal. What we've just described might be called surface resistance, that is, ways in which people or institutions seem to resist well-meaning attempts to expand literacy across the curriculum. But beneath the surface resistance, there are deeper issues related to how and what it means to integrate literacy into disciplinary areas. If we think of moving literacy into a discipline, one of the great dangers is that the literacy activities created may be artificial, particularly with respect to the discipline itself. For example, having students write traditional story problems in mathematics class, may be an effective way to promote critical thinking for the students, but it may also leave the students writing a type of problem that mathematics educators are beginning to question. In such a case, the movement of literacy into mathematics may result in the replication of rather artificial activities, rather than foster qualitatively better mathematics learning (Siegel, Borasi, & Smith, 1989). Related to this artificiality is a concern about lack of integration. Ironically, many teachers involved in literacy across the curriculum movements find their days becoming more fragmented than ever before. Now, in addition to reading time and mathematics time, they must include activities addressing cross-curriculum concerns; the end result is an even more fragmented curriculum. Moreover, the simple movement of literacy into a disciplinary area may make it difficult to see particular features of the discipline that relate in a more fundamental way to notions of literacy. For example, standards developed by the National Council of Teachers of Mathematics (NCTM) call for increased attention to mathematics as communication. They argue that mathematics curricula should help students understand that mathematics is a tool for communication as well as a tool for solving problems and dealing with numerical data (National Council of Teachers of Mathematics, 1989). But in many cases the NCTM standards have been understood in a limited way, and while they have served to justify the introduction of reading and writing into mathematics classrooms, they have not always led to greater understanding of mathematics as a symbolic system of communication. Perhaps most telling as a form of resistance is the lack of a unified vision of literacy across the curriculum. The notion that we can simply move literacy into different disciplinary areas does not in any way lead to a unified conception of learning across the curriculum. As a result, we see major standoffs among professionals in different disciplines in regard to the question of literacy instruction. For example, some science educators have developed a very strong anti-text bias coupled with a rejection of textbook-based science learning and a call for more hands-on activities. They see at most a minor role for literacy conceived as reading and writing skills. At the same time, many reading and writing educators have little understanding of the underlying reasons for that bias and have yet to devise a good response to it. Examining the Underlying Models In order to understand these issues better, we need to look more deeply at the underlying models that people employ when talking about literacy across the curriculum. Skills Model The first of these we will call a Skills Model. Figure 2 shows a fairly widely-held belief in the field of reading; the view that reading is a complex skill built out of a wide variety of other specific skills, such as identifying sequences, finding the main idea, processing the grammar of sentences and decoding vocabulary. Figure 2. Skills model for literacy across the curriculum. According to this model, reading is a complex skill that needs a long time to be developed. Students need help with the specific skills and direct instruction in the various areas. Once these ideas are acquired (i.e., once one has learned to read), the reading can be used as a process to develop knowledge. At that point, one can begin reading to learn. The Skills Model tends to be associated with a transmission model of learning or communication. The author has some meaning that he or she wishes to convey, and that meaning is placed in a text, the reader's job is to extract the meaning from that text. Instrumental Model A second approach is what we might call an Instrumental Model. The research and practice of many people in the field of reading today falls within the boundaries of this model. A diagram for this approach is shown in Figure 3. Figure 3. Instrumental model for literacy across the curriculum. What we see here is that the text and the process of reading a text are embedded in larger practices. Oversimplifying somewhat, these can be grouped into prereading and postreading practices. Prereading might include discussion, field trips, asking questions, making predictions, and activities intended to activate prior knowledge or to generate interest on the part of the reader. Postreading activities might include writing, drawing, further reading, or further discussion. These activities take the learning that has come from the text and apply it, demonstrating to students how it can be extended across the curriculum. A key point to make about the Instrumental Model is that while it identifies a wide range of prior knowledge as being appropriate for and needed in order to understand the text, it privileges certain aspects of that prior knowledge. For example, certain chunks of prior knowledge provide the relevant schemas that allow one to understand the text. Thus, a large body of research has been devoted to discovering what schemas are needed for comprehending particular types of texts, and for students who do not have those schemas, how applicable schemas can be developed to allow students to read texts successfully (Anderson, 1977; Anderson, Spiro, & Anderson, 1978; Pearson & Anderson, 1984). Similarly on the postreading side, certain kinds of applications seem to fit more naturally with one text rather than another. Again, large amounts of research have been devoted to developing the appropriate kinds of activities to help students solidify the knowledge they have gained from a particular text (Garner, 1987; Pressley et al., 1992). The connection between the Instrumental model and its underlying theories of knowledge is less clear than in the case of the Skills Model. Many people who adopt an Instrumental model also profess a more constructivist view of learning, whereas others operate from a transmission view. For example, the Instrumental model accords nicely with the view that while an author puts meaning into a text, what the reader derives from the text or learns from the text is highly shaped by the reader's prior knowledge or the reader's interests. The process overall is still one of transmitting knowledge, albeit imperfectly. Several points need to be made about the Instrumental Model as presented here. One point we have made already is it tends to privilege certain kinds of prior knowledge. The second is that it privileges certain implications and therefore certain problems that can be approached through a particular text. In general, while this model is more integrated in its conception of the role of reading in learning, it maintains a duality between knowledge and application, with the text as a possible mediator. Reading and Social Life A feature that unites the two models of learning discussed above--the Skills Model and the Instrumental Model--is their positioning of reading within social life. In particular, they both set reading at the center of the curriculum. The rationale for this runs as follows: Argument for reading-centered models. In the course of schooling, students need to acquire vast amounts of knowledge in many content areas, such as history, government, geography, health, environment, biology, chemistry, and physics. Helping students with this acquisition of knowledge task can be viewed as one major goal of schooling. At the same time students should be equipped to learn new things after they leave school. Equipping students for lifelong learning is thus a second major goal of schooling. Furthermore, according to this argument, most of the knowledge to be acquired is encoded in books, which means that reading is the process whereby new knowledge is acquired. A focus on reading thus addresses both of these major goals of schooling, because it is the tool for learning both during and after school. Moreover, reading needs to be learned before the acquisition process can begin in earnest. Since most learning comes through reading, students cannot be expected to learn much content until they become good readers. And learning to read provides the basis for lifelong learning as well. Thus, the initial goal of schooling should be to teach students how to read; later they can use reading to learn the content. There are several key correlates of this view of schooling. Correlates of reading-centered models. First, learning to read is separated from reading to learn. Learning the skills and strategies for effective reading thus becomes critical. "Reading" becomes a subject to study. The separation of reading from its use creates a new problem: how to make the transition from learning to read to reading to learn. Thus, we see the emergence of reading-across-the-curriculum and writing-across-the-curriculum as distinct movements in educational practice and theory. An implication of this view of schooling is that learning through other means, such as dialogue, experimentation, construction, art, music, and writing, is marginalized. Writing, for example, is useful more as a way to assess whether students have learned the material they have read than as a way to learn in the first place. This perspective also encourages a curriculum-centered or teacher-centered view of learning. It is assumed that there is a body of knowledge organized into a hierarchy from which one can create scope and sequence charts, which represent how knowledge is best acquired and how it should be taught. Because teachers are in control of these charts, they know how to get students to acquire the skills of reading and the order in which these skills should be learned. An ironic consequence of this view is that topics within the verbal realm have a tenuous status. Understanding and appreciation of literature in the early grades is often subordinated to the goal of teaching reading as a skill. Not worthy enough to be a content area (that comes in secondary school, after students have learned to read), it serves only as sugar to make the reading skills go down. The study of language (the evolution of languages, language structures, semantics, phonology, and so on) appears only insofar as it can be embodied in specific teachable skills. Another Way to View Literacy Across the Curriculum The considerations described above may cause us to question our focus on literacy. By emphasizing reading, have we marginalized other processes of coming to know? How else might we think about literacy across the curriculum? For some, questions such as these point toward an anti-literacy position. In a recent paper, Newkirk (1992) examines the views of literacy expressed by such writers as Rousseau and Dewey, both of whom could be considered anti-literacy: In general anti-literacy shocks us because we are immured in an ideology that valorizes reading and writing. Literacy is our business. We have, historically, been drawn to theories that equate literacy with the capacity to reason abstractly... Because we can become locked in the prison-house of our own ideology, anti-literacy arguments are especially important because they force examination of tacit beliefs (pp. 2-3) Anti-literacy is not anti-learning but rather implies an alternate model for literacy across the curriculum, what we call the Inquiry Model. In this model, reading still has an important role, but it is no longer the center of learning. Inquiry Model The Inquiry Model (see Figure 4) assumes that knowledge is constructed through meaningful activity which may include, but is not limited to, conventional literacy activities. As a result there is no separation of literacy from curriculum and thus no need for a literacy across the curriculum movement. It tends to be student-centered because if knowledge is constructed on the basis of what one already knows, then one must start from where the student is and not with some independently established curriculum. From this perspective, all means of learning are valuable, not just those located in text. There is no a priori reason to see reading as more useful than other forms of learning such as dialogue, discussion, or observation in any particular learning activity. Figure 4. Inquiry model for learning. In the Inquiry Model, text plays a less significant role than it does in the Skills or Instrumental models. Instead, the learner starts with knowledge or questions and branches out through observation, dialogue, reflection, mathematical construction, and reading to construct new knowledge and new questions. This growing network of knowledge develops in ways that no one teacher or student can easily predict in advance. The Inquiry Model follows from a different set of assumptions and has a correspondingly different set of consequences for teaching and learning. An argument for it goes something like this: Argument for the Inquiry Model. Children are able to learn enormously complex things--to use language, to participate in social interaction, to manipulate small objects, to engage in sophisticated games, to explore scientific questions, and so on--through immersion in the world, through their participation in meaningful activity. When they see a reason to participate, which depends in part upon an understanding of the activity as a whole, their learning proceeds at an amazing pace. When they do not, major contortions in schooling practices are required to produce even minimal behavioral changes. Moreover, there is little evidence that the piecemeal learning that results from those contortions can be reintegrated into the whole activity later on. The Inquiry Model has several consequences for schooling practices: Correlates of the Inquiry Model. Acquisition of knowledge occurs, but it is a by-product of engagement in rich, meaningful activities. More important by-products may be the development of a love for the activity or an understanding of its meaning in the whole of life's activities. Skills and facts may be addressed in isolation, but it is crucial that in doing so one supports, rather than detracts from, the immediate experience. Thus, one should not separate "learning to read" from "reading to learn." There is no need for "writing across the curriculum," because writing should not be taught as a skill to apply later, but as an intrinsic aspect of whole living/learning experiences. The curriculum must be student-centered in an Inquiry Model, since the meaningfulness of experiences depends on the student's own knowledge, values, and goals. Teachers still have vital roles to play as supporters of inquiry. Moreover, they are companion inquirers who model the processes of investigation, including always knowing the answers to questions. The key question would be "Do the teacher's actions support the inquiry and open up possibilities, or do they establish constraints and limits?" The Inquiry Model also implies that any activity or topic can be the springboard for rich and valuable learning. Reading is still important, but not to the exclusion of other modes of acquiring knowledge, especially those in which students express themselves and build from their own funds of knowledge. The same activities may have different meanings under each of the models. For example, literature-based instruction has become popular with people who hold each of the three models of learning. From the perspective of the Skills Model, good literature is seen as intrinsically engaging for students. Moreover, it manifests the wide range of text features-- vocabulary, syntax, genres, rhetorical structures, etc.--that students need to learn to master. Within the Instrumental Model, a selection of good literature is viewed as an effective part of a program for teaching children to read, since literature supports rich and varied prereading and postreading activities. Proponents of the Inquiry Model might be interested in literature-based instruction for similar reasons. But they would be less likely to justify the reading of good literature to promote skill development or even to provide an engaging context for bounded classroom activities. Instead, they would see literature as a vast set of worlds to explore. Children come to literature with their own rich views of family, friends, work, and play. They also bring their concerns, hopes, and fears. Literature provides opportunities for children to grow, to be challenged, to stretch their minds. Its justification is that experiencing literature, just as experiencing other aspects of living, can be central to what it means to be human. Learning occurs within these experiences, not as preparation for them. Literacy and Learning within the Inquiry Model The distinctions across the three models may appear subtle. There are numerous descriptions of literacy learning in the Skills or Instrumental Models , but less from an Inquiry Model.[4] This section attempts to make the Inquiry Model more concrete. We base our discussion on activities within an undergraduate program designed to prepare students for elementary school teaching. In this program, students take university courses concurrently with their work in elementary classrooms throughout an entire year. We focus on one part of the program called "the Inquiry Block,"[5] which was to provide integrate the mathematics, science, social studies, and technology methods courses. The Inquiry Block's instructional team built its approach on a constructivist theory of learning (Fosnot, 1989; Glaserfeld, 1989; Tibbetts, 1990) using a variety of texts supporting this perspective (Doris, 1990; Gamberg et al., 1988; Hansen, Newkirk, & Graves, 1985; National Science Foundation, 1988; Paley, 1981; Rogers, Roberts, & Weinland, 1988; Whitaker, 1986). In the following section we describe and analyze the interactions of one classroom session from that program. It is not presented as the ideal, or as the only way to foster inquiry learning, but rather as an actual event that demonstrate some aspects of inquiry learning and suggests intriguing differences regarding how literacy might develop in such a context.[6] In the session, there was a guest speaker, James Anderson, who has studied the portrayal of African-Americans in textbooks (Anderson, 1988). He led the class in a presentation and workshop on inquiry in history, and specifically, on how people from different groups are represented in history. This topic fit well with that week's class focus on the Columbus myth. The reading assignment included a special issue of the magazine Rethinking Schools, entitled Rethinking Columbus (Bigelow, Miner, & Peterson, 1991). This was a timely discussion. It was in early October, just before the quincentennial celebrations of Columbus's voyage. The students spent were working in elementary school classrooms where these celebrations were planned. The group Anderson spoke to was relatively homogeneous. There were 28 women and 2 men participating in the program. All were residents of one state, nearly all were white, and almost all were in their early 20s, having proceeded to college immediately after high school and continued through college without any major breaks in their education. The class was taught in a public school classroom. The instructional team brought in a number of social studies books from the school library and distributed these among the tables in the classroom. The books included social studies textbooks and trade books about Columbus, settling the West, pioneers, Native Americans, and so on. Anderson began the session by talking about what he had found when he had analyzed social studies books. He realized that there are two worlds in American history--the world of the historian and the world of the textbook. The historical world of the textbook reflected ideas that had been popular among historians around 1920 or 1930. What was not present in the textbooks were the ideas that most historians subscribe to today. To illustrate this, he gave a number of examples of who or what is left out of textbooks or misleadingly described. Despite these shortcomings, textbooks are considered the fountain of knowledge by many people. Anderson acknowledged that he had believed this at one time. He described how he felt when in a college history class he heard, for the first time, that there had been African Americans elected to the United States Senate during Reconstruction. He didn't believe it because it hadn't been in any of his previous textbooks. It was several years before he began to take this idea seriously. Anderson posed a number of questions to the students about the ways they might look at the texts on their tables. He suggested they look for information on people who are often ignored by texts, such as women, African Americans, and Native Americans. Students then spent 15 minutes examining the books in their small groups, before he called them together for a large group discussion of their findings. The preservice teachers participating in the program were not unfamiliar with these textbooks. By their own testimony, their previous 16 years of schooling consisted of reading textbooks, answering questions, and taking tests on facts from the textbooks. Like the young Anderson, they had assumed that textbooks spoke the truth, and had never examined them critically nor questioned their content. The following comments taken from that discussion demonstrate the students' surprise at their findings. The book the student was referring to is identified following each comment: Two women are listed in the table of contents -- out of 17 total. There are no Native Americans and most of the people described are presidents. [Great Americans, a book of profiles] This covers the beginning of American history to reconstruction. It starts with Native Americans, but only spends 15 pages out of 600 pages of text on this group. [One Flag: One Land] It describes how he is fearless. In presenting this to first graders you might want to discuss what "to discover" means. [Great Lives: Christopher Columbus] (One of the students gave an example of a cartoon she had seen with Indians pointing toward Columbus and his boats and saying "Look What I discovered!") It says he brought six island people to Spain. It doesn't say he kidnapped them. [Christopher Columbus: Great Explorer] The sailors said that the Indians thought the sailors came from heaven. "Did not all good things come from heaven. They ran from house to house yelling -- come see what has come from heaven." The author is doing the thinking for the Indians. [Christopher Columbus] This is a text from the 1950s. It refers to the Indians as devils. It never questions whites' actions. It assumes that the Indians just wanted to fight. [Daniel Boone] This was published in 1986. In the discussion of the American movement West, the Indians get one sentence. Everything else is on the pioneers. Slavery gets two pages. [America's Regions] From this discussion came a rich dialogue among the students and Anderson that ranged across information gleaned from the textbooks as well as other sources. Students' personal feelings and beliefs intertwined with new information and ideas, as seen in their comments[7]. Some of the comments pertained to current events in their lives: Student: When was this controversy [about Columbus] brought up? I didn't know about it until this year. Student: My teacher is trying to do a unit on Indians. I'm so angry to know that I didn't know they were treated this way. We killed them. We murdered them. This is how we treated Blacks. Student: None of us did it to them. But how would we line up on the Chief Illini [university mascot] controversy? We have to worry about the history we're making now. Other comments related to the work situations they had entered and expected to encounter as teachers: Student: The teachers who were teaching us didn't have an historical background. You can't blame the teachers. Student: Some districts require you to use certain texts. We may not have the option. Student: But on the other hand my co-op [co-operating] teacher got lots of negative comments when she took a more critical approach to Columbus. Fellow teachers give you flak. They say, "Let's all float and be happy." Student: How much of history is correct? It's all someone's point of view. For two years I had a Chinese roommate who lived in Taiwan. The history she learned in Taiwan was totally different than the history they learned on the mainland. Student: What do you believe? What do you teach? After a while, students began to make comments that reflected their own learning and, in many cases, deeply-held beliefs that they were beginning to question. Student: Why hadn't the American Indians progressed like the Europeans? Jim: The Europeans imposed the definition of civilization. Student: Why didn't they (the Indians) have big ships? Student: Technological advances. Jim: If we make technology the critical component we're making it a scale of judgment. Student: Like now, like now when some of the Third World countries today--why aren't they as developed today? Jim: If you make technology the key to civilization, you make the U.S. the most civilized. Student: I took a women's history class. American Indians believed that women had power through food and the control of birth. European concepts changed that. Who is to say who is advanced? Student: Is technology really advancement? We're doing ourselves in with technology. Sometimes it advances and sometimes it doesn't. Sometimes the Indians are seen as savage, but is the bomb less savage? Throughout this discussion, Anderson also introduced a number of points about the concept of inquiry, particularly historical inquiry. The following comment relates to his own ideas about historical inquiry. Jim: It's a process of inquiry. We use evidence. We use documents. Much of history we have to infer. It's important to know what the base of evidence is. This led students to discuss their own conceptions of inquiry and how it relates to knowledge construction: Jim: You need to make students aware of what the evidence is. It helps if students know this is a process of inquiry and that there is a degree of speculation in investigations. Student: We've grown up thinking wrong about Columbus -- how do we know we haven't grown up thinking wrong about everything else? Jim: Thinking that way will continue the inquiry. Student: How do you pick your texts? Jim: It's not easy. I have to read a lot of texts to select. Student: How should we choose for our classes? Jim: Look at all the texts. Figure out how to supplement. The problem will continue if you rely too hard on texts. Raise questions and let them know these things are in dispute. Sometimes we think it matters more than it does. The world won't unravel if you do things differently. How do you teach critical inquiry? Concept is a two-way street, but stereotypes are a one-way street. Near the end of the class, one student asked a question that posed a challenge to her seventeen years of formal schooling: "How do we know that any of the stuff in any of our textbooks is true?" Such a question could be viewed as evidence of a massive disillusionment or as a major advance in a lifelong process of inquiry. This was a powerful discussion for the students. Three months later, in response to a question about significant learning incidents, one student wrote: Yes, there was such an incident. It was the class during which Jim Anderson came to speak to our class about the weakness and bias in social studies textbooks. He took something that seems so set, so definite -- history -- and showed how we are not getting the whole truth about it from textbooks. But how is history usually taught to children? Through the use of textbooks, of course. Jim Anderson, someone who seemed very intelligent and educated and who was not involved as an inquiry instructor, presented to our class that day how to inquire about history, basically. He got me thinking about what history really is and how I can find out. He modeled exactly what I want to do as an inquiry teacher. That really validated for me the whole concept of inquiry. This 'stranger' was repeating the same ideas I'd already heard in class, but for some reason, this time they were striking me, this time they were sticking. I was really involved and my mind was going a thousand directions. I want to do this kind of inquiry with my own students. This one class session provides a model for understanding the ways that literacy learning develops within an inquiry model of curriculum. In reviewing the kinds of literacy learning that occurred in this class, one finds that: Literacy skills unfold in relationship to their use as part of a meaningful inquiry; Students read more, and more deeply, by not focusing on reading; and Reading is critical, questioning, analytical, and highly intertextual. Unlike the Skills Model or the Instrumental Model discussed earlier, which start from the study of a text, in an Inquiry Model, such as the one depicted here, learners start from a meaningful question, in this case--how do textbooks represent the disenfranchised? An analysis of the November 7 session revealed that the discussion on this question fell into four broad areas: questions or ideas about historical inquiry, discourse and texts, personal experience, and the social implications of one's learning. Students' learning crisscrossed these divisions as illustrated in Figure 5. Figure 5. Dimensions of student questions about inquiry Within each of these domains numerous questions and new starting points for learning arose: Inquiry What are the facts about Columbus? How do we characterize discovery, progress, etc.? What are alternate readings of history? How do we find these alternate viewpoints? What is historical inquiry? How is historical inquiry like other forms of inquiry? How does historical truth change and why? What were the factors driving Columbus and other explorers? What was their real impact on history and our lives today? Discourse What markers tell me what the textbook author thinks? Does quantity signify? placement? language? graphics? how? What information did they elect to include? why? How do we make meaning from the textbook? How can we compare different parts of one text? How can we compare across texts? Are they all the same? Are they different? Why? What does it mean? What theories were the authors/illustrators working from? How do the different parts of the text amplify this message? Experience What has been my experience with these issues? As a child, student, teacher? What have my peers here experienced? Is it the same or different from what I know? What are my beliefs, concepts about Columbus, about discovery, about Native Americans, about African Americans, about women? Where did my beliefs come from? What were the experiences of my family? What have I seen and done that I can tie into this discussion--travel to Spain, museum visits, etc.? Social Implications What are the implications of relying solely on textbooks? What are the implications of perpetuating the Columbus myth? How is education affected by these discourses? What responsibility do we have as teachers? How do these discussions about Columbus and textbooks relate to things on campus, national, and international issues? How can we help our students to learn to inquire? What are the barriers to our doing so? At the heart of the inquiry model lies a meaningful question. As the learner investigates an issue she or he is simultaneously engaged, not only in the discovery of information related to the particular topic area suggested by the question, but, equally important, the inquiry involves examination of various modes and forms of discourse, broad questioning of one's own experience, and reflection on the social implications of the new knowledge. Although similar in appearance to the Instrumental Model of literacy, the Inquiry Model is significantly different in that its starting point is an inquiry, not a text. The Inquiry Model, as a consequence, employs a broader and more encompassing definition of experience than that found in the Instrumental Model, which focus on narrower conceptualization s of prior knowledge. It also places far more emphasis on consideration of the social implications of learning, where those working from integrative models might see such concerns as potential extensions of text-based experiences rather than vital elements of inquiry. Conclusion Our investigation into models of literacy across the curriculum and inquiry approaches to literacy leads us to suggest that researchers and teachers need to address these issues in a more "troubled" way (Smith, 1989). One way to understand what this implies is to compare Figure 1 (literacy across the curriculum) and Figure 4 (the inquiry approach to literacy.) In Figure 1, the arrows point away from literacy, the heart of learning, to the various disciplines. Figure 4, in a sense, reverses the direction of the arrows, putting an initial question at the heart of learning and then engaging learners in various modes of investigation (which may include extensive interaction with texts). The difficulty of considering a reversal of the arrows, however, is that an examination of these issues will, necessarily, bring into question the purpose of education and the role that literacy should play in it. Those who work from a transmission model will state that becoming an efficient reader or writer is the goal. Those who work from a literacy across the curriculum model may state that the goal of education is to develop critical, analytical readers and writers. Both of these camps might do well to consider the words of John Dewey on the purpose of education: "The business of education is the emancipation and enlargement of experience" (Dewey, 1900/1956, p. 209). Those who work from a literacy perspective--either the Skills Model or the Instrumental Model--may believe that the emancipation and enlargement of experience is embedded in their goals of achieving literacy. Those who work from an inquiry perspective would argue the reverse, that Dewey's purposed description should provide an overarching understanding of the purpose of learning, within which we would locate literacy achievement. In thinking about these issues in a more troubled way, we would ask readers to consider the following: Does our concentration on reading distort our thinking about the purposes of education? Why has the history of modern education followed this course, making reading or literacy the goal that subsumes all other goals? Does this course really serve our needs and the needs of children? Who will be displeased, if we question literacy as the driving force of education? What would schools and curriculum look like if we did not privilege reading or writing, but instead emphasized inquiry? What supports do teachers need if they are to learn how to differentiate between these two paradigms and to use their knowledge of both to provide better literacy instruction? Some important steps have already been taken in this direction (see Drake, 1993; Fogarty, 1991; Harste, Woodward, & Burke, 1984; Lefevre, 1987; Siegel, Borasi, & Smith, 1989), but the discourse needs to be broadened and deepened on many fronts . This is not a time to abandon literacy instruction. But it may be a time to question the privileging of literacy--reading and writing instruction--over all other instructional goals. References Anderson, J. (1988). The education of Blacks in the South, 1860-1935. Chapel Hill: University of North Carolina Press. Anderson, R. C. (1977). The notion of schemata and the educational enterprise. In R. C. Anderson & W. E. Montague (Eds.), Schooling and the acquisition of knowledge (pp. 415-431). Hillsdale, NJ: Erlbaum. Anderson, R. C., Hiebert, E. H., Scott, J. A., & Wilkinson, I. A. G. (1985). Becoming a nation of readers: The report of the commission on reading. Champaign: University of Illinois at Urbana-Champaign, Center for the Study of Reading. Anderson, R. C., Spiro, R. J. & Anderson, M. C. (1978). Schemata as scaffolding for the representation of information in connected discourse. 15. 433-440. Atwell, N. (1987). In the middle: Writing, reading, and learning with adolescents. Portsmouth, NH: Boynton/Cook. Atwell, N. (1989). Workshop 1: By and for teachers (writing and literature). Portsmouth, NH: Heinemann. Atwell, N. (1990). Coming to know: Writing to learn in the intermediate grades. Portsmouth, NH: Heinemann. Beyer, B. K. (1971). Inquiry in the social studies classroom: A strategy for teaching. Columbus, OH: Charles E. Merrill. Bigelow, B., Miner, B., & Peterson, B. (Eds.). (1991). 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[1] This is exemplified by such events as the 1974 National Institute of Education Conference on Reading, the growth of the National Reading Conference from 200 members to over 1,000, and the wide distribution (over 300,000 copies) of Becoming a Nation of Readers (Anderson, Hiebert, Scott, & Wilkinson, 1985) [2] Developmental reading classes assume that students at any age should be viewed as capable of extending their reading abilities, and not be labeled as "poor readers" or "slow learners". [3] There is now a national network of WAC programs; an electronic network devoted to this topic boasts over 100 members, primarily college project directors and their staffs (Hawisher, 1992; Thaiss, 1992). [4]There are many descriptions of inquiry teaching and learning within specific subject areas (e.g., Beyer, 1971). [5]Although our example is of learning at the College level, the general form of the discussion and the students' involvement could be enacted in any classroom. [6]For privacy reasons, we have omitted individual student names from this account. [7]The quoted material to follow is based on detailed field notes, but not taped records. As a result, the comments should be viewed as paraphrases made as accurate as possible, but not as verbatim utterances. Utterances labeled "Student" were made by various students in the class. 
work_fcbprf3flnfirj7uznv6de5fku	----	Asian Pacific Journal of Cancer Prevention, Vol 16, 2015 6831 DOI:http://dx.doi.org/10.7314/APJCP.2015.16.16.6831 Enhancing Anticancer Drug Activity in Multidrug Resistant Tumors by Modulating P-Glycoprotein with Dietary Nutraceuticals Asian Pac J Cancer Prev, 16 (16), 6831-6839 Introduction Cancer is one of the most virulent, devastating and deadliest disease in the world and it represents the second leading cause of death worldwide (Jemal et al., 2008; Siegel et al., 2012), with approximately 14 million new cases and 8.2 million cancer related deaths in 2012 (Ferlay et al., 2015). Chemotherapy is one of the most effective treatments for metastatic cancers (Chang, 2010). Multidrug resistance (MDR) is one of the major obstacles in the successful chemotherapy of various cancers (Baguley, 2010; Eid et al., 2012; Xu et al., 2012; Kibria et al., 2014; Liu et al., 2014). It is widely accepted now that MDR exists against every effective drug (Callaghan et al., 2014). Therefore, the modulation of cellular molecules involved in MDR and circumvent drug resistance is likely to improve chemotherapy (Gottesman et al., 2002; Gillet et al., 2010). P - g l y c o p r o t e i n , a 1 7 0 k D a t r a n s m e m b r a n e phosphorylated glycoprotein encoded by MDR1 (ABCB1), belongs to ATP-binding cassette (ABC) superfamily of membrane transporters (Eichhorn and Efferth, 2012; Eid et al., 2012). It is composed of 1280 amino acids and consists of two similar halves each containing six transmembrane domains and one ATP binding domain (Nabekura, 2010a; Zeino et al., 2015). P-gp was first discovered in 1976 in Chinese hamster ovary (CHO) cells, where it was found to display resistance to anticancer drugs (Callaghan et al., 2014). By the 1980s antibodies had been developed to p-gp to detect the distribution and expression of this 1College of Basic Medical Sciences, Dalian Medical University, Dalian, Liaoning, P.R. China *For correspondence: khan2014@ dlmedu.edu.cn Abstract Multidrug resistance is a principal mechanism by which tumors become resistant to structurally and functionally unrelated anticancer drugs. Resistance to chemotherapy has been correlated with overexpression of p-glycoprotein (p-gp), a member of the ATP-binding cassette (ABC) superfamily of membrane transporters. P-gp mediates resistance to a broad-spectrum of anticancer drugs including doxorubicin, taxol, and vinca alkaloids by actively expelling the drugs from cells. Use of specific inhibitors/blocker of p-gp in combination with clinically important anticancer drugs has emerged as a new paradigm for overcoming multidrug resistance. The aim of this paper is to review p-gp regulation by dietary nutraceuticals and to correlate this dietary nutraceutical induced-modulation of p-gp with activity of anticancer drugs. Keywords: Multidrug resistance - p-glycoprotein - dietary nutraceuticals - anticancer drugs MINI-REVIEW Enhancing Activity of Anticancer Drugs in Multidrug Resistant Tumors by Modulating P-Glycoprotein through Dietary Nutraceuticals Muhammad Khan*, Amara Maryam, Tahir Mehmood, Yaofang Zhang, Tonghui Ma protein in various cells. Soon, it became evident that p-gp expressed in various cancer as well as numerous normal cells (Callaghan et al., 2014). In 1987, it was first detected in human KB carcinoma cells where its overexpression was found to be associated with cellular resistance to a wide range of anticancer drugs including colchincine, vinblastine, and doxorubicin (Ueda et al., 1987). Since then, researchers have compiled a myriad of research reports on the key role of p-gp in MDR (Bhardwaj et al., 2002; Eid et al., 2013; Molnar et al., 2010; Nabekura et al., 2008a; Nabekura et al., 2008b; Perestelo et al., 2011;Yang et al., 2014). It has become an established fact now that p-gp mediates MDR by actively transporting a wide range of anticancer drugs including paclitaxel, doxorubicin, daunorubicin, vinca alkaloids and eteposide (Zhang et al., 2003; Yoshida et al., 2005; Ferreira et al., 2006; Nabekura, 2010a; Yang et al., 2014). P-gp can interact and bind with a large number of structurally and functionally unrelated agents which suggests its multiple binding sites (Zhang et al., 2009; Chen et al., 2012). According to the interactions, these agents can be classified into three main groups: substrate, inhibitors, and modulators. Agents that are actively transported by p-gp are categorized as substrates whereas those that inhibit the transporting activity of p-gp are termed as inhibitors. Modulators interact and bind with allosteric site of p-gp thereby reducing the substrate binding through conformational changes. Thus, inhibitors and modulators exert the same biological effect (Chen et al., 2012). Therefore, identification and characterization of p-gp inhibitors and modulators may provide a useful Muhammad Khan et al Asian Pacific Journal of Cancer Prevention, Vol 16, 20156832 strategy for circumventing multidrug resistance. Owing the importance of p-gp on MDR, extensive studies have been conducted to identify p-gp inhibitors (Polli et al., 2001; Chen et al., 2012; Chang et al., 2006). A large number of p-gp inhibitors including verapamil and cyclosporine were identified. However, due to severe side effects or ineffectiveness, these inhibitors fail to achieve successful outcomes at clinical trials (Szakacs et al., 2006; Nabekura, 2010a). Generally speaking, dietary components are considered safe or less toxic to body than pharmaceutical drugs (Nabekura, 2010a; Mukkavilli et al., 2014). Fruits and vegetables are not only an excellent source of fiber, vitamins and minerals but also contain various components that may offer substantial health benefits beyond basic nutrition (Aggarwal et al., 2009; Nabekura, 2010a). Recent research has shown that more consumption of vegetables and fruits can prevent 20% incident of cancer and about 200,000 cancer related deaths annually (Pratheeshkumar et al., 2012). Other studies have shown that phytochemicals derived from fruits, vegetables, and spices have a great potential to enhance sensitivity of cancer cells to anticancer drugs (Borska et al., 2012; Ye et al., 2012; Kim et al., 2014). A food or a part of food that provide medical and health benefits including the prevention and/or treatment of a disease is called as Nutraceutical (Aggarwal et al., 2009). The acceptance and growing interest of dietary nutraceuticals as complementary medicines has further fuel opportunities for discovering interactions between p-gp and dietary nutraceuticals. In last three decades, a plethora of studies have been carried out to identify p-gp inhibitors from dietary sources. The quest for p-gp inhibitors from dietary sources has uncovered a long list of compounds (Zhou et al., 2004; Mahringer et al., 2010; Abdallah et al., 2015). In this review, we have selected only those nutraceuticals which have been shown to enhance the activity of known anticancer drugs through p-gp regulation. The chemical structures and dietary sources of these nutraceuticals have been presented in Figure 1-2. P-gp inhibitors and chemosensitizers of dietary origin Due to severe side effects and limited therapeutic success of synthetic drugs/chemotherapy against p-gp- mediated MDR, some researchers have started to think over natural compounds of dietary origin as better alternatives. Over the past few decades, a substantial research has been dedicated to investigate the therapeutic benefit of the dietary components against p-gp-mediated MDR. A plethora of compounds and food extracts have been identified with varying effects on p-gp regulation and reversal of MDR. However, our review will focus only on those promising nutraceuticals isolated from four major food groups; spices, fruits, vegetables and tea that not only inhibit p-gp but also enhance the sensitivity of tumor cells to anticancer drugs. Spices Spices have been amongst the most precious commodities since the time immemorial. The search of spices led to the great age of exploration and discovery of the new world, for example they led such legendary explorers as Christopher Columbus and Vasco de Gama to search the world for pepper and other spices (Aggarwal et al., 2009) Spices have been used for thousands of years in a wide variety of cultures as flavor agents, as colorants to add special taste to dishes, and also as a preservative to prevent Figure 2. Chemical Structure and Source of Nutraceuticals Derived from Fruits, Vegetables and Tea Figure 1. Chemical Structure and Source of Nutraceuticals Derived from Spices Asian Pacific Journal of Cancer Prevention, Vol 16, 2015 6833 DOI:http://dx.doi.org/10.7314/APJCP.2015.16.16.6831 Enhancing Anticancer Drug Activity in Multidrug Resistant Tumors by Modulating P-Glycoprotein with Dietary Nutraceuticals the growth of bacteria. With the advancement of science, spices have been explored for their medicinal values. It is well established now that spice-derived photochemicals play a key role in the prevention and treatment of cancer by interfering with multiple mechanisms which are central to cancer progression (Aggarwal et al., 2008). Curcumin Curcumin is a major component of turmeric (Curcuma longa Linn). The content of curcumin in turmeric is about 1-5%. Curcumin has been shown to exhibit a wide range of biological and pharmacological activities including anti- oxidant, anti-inflammatory, anti-infection and anticancer properties (Anuchapreeda et al., 2002). Recently, it has been investigated for its effects on p-gp regulation in MDR tumor cells. Increaing lines of evidence suggested that curcumin reverse MDR through p-gp inhibition. Choi et al., (2008) investigated that curcumin inhibits the p-gp efflux activity through the inhibition of the PI3K/Akt/ NF-kB signaling pathway in multidrug resistant mouse leukemia L1210 cells. To address whether this p-gp inhibition by curcumin could sensitize multidrug resistant L1210 cells to chemotherapy, cells were treated with adriamycin and curcumin either alone or in combination of both and cleavage of PARP was observed by Western blot. The data demonstrated that both adriamycin and curcumin did not induce PARP cleavage however, co- administration of adriamycin with varying concentrations of curcumin resulted in significant cleavage of PARP in a dose-dependent manner (Choi et al., 2008). Curcumin has also inhibited p-gp in drug sensitive SKOV3 and drug resistant SKOV3TR human ovarian adenocarcinoma cells. SKOV3TR cells overexpress p-gp, the classic marker of MDR phenomenon. The IC50 value of paclitaxel against SKOV3TR cells (2.9 μM) was found to be 300 fold higher than SKOV3 (9.5 nM) which indicates that paclitaxel is a substrate of p-gp. Co-administration of 5 μM curcumin reduced the IC50 of paclitaxel from 2.9 μM to 1.6 μM in SKOV3TR cells (Ganta and Amiji., 2009). In A549 lung adenocarcinoma cells, curcumin has been shown to reverse cisplatin resistance through HIF- 1α-mediated p-gp down-regulation (Ye et al., 2012). In multidrug resistant human cervical carcinoma KB-V1 cells, curcumin decreased the mRNA expression of MDR1 and protein expression of p-gp in a dose- and time- dependent manner. The maximum inhibitory effect was detected when cells were exposed to curcumin for 72 h. At 72 h time exposure, curcumin inhibited the MDR1 mRNA and p-gp protein expressions even at very low concentration (1-10μM) in a dose-dependent manner. However, curcumin inhibited P-gp-mediated efflux of rhodamine 123 and enhanced cytotoxicity of vinblastine at short time exposure (1-2 h), indicating that curcumin exerts its effects by inhibiting ATPase activity and function of p-gp in KB-V1 cells by directly interacting with p-gp (Anuchapreeda et al., 2002). Piperine Piperine is the major plant alkaloids present in black pepper (Piper nigrum Linn) (Han et al., 2008; Do et al., 2013; Singh et al., 2013) and long pepper (Piper longum Linn) (Bezerra et al., 2008). Black pepper is one of the most common spice consumed by a large number of populations worldwide. Piperine has been reported to enhance the activity of anticancer drug in various drug resistant cancer cells (Bezerra et al., 2008). Other studies have shown that piperine inhibits the efflux activity of p-gp and alters the clinical pharmacokinetic profile of several drugs which are p-gp substrate (Zhang et al., 2009). However, only one recent study by Li et al. (2011) has provided evidence that piperine sensitizes multidrug resistant tumors cells to chemotherapy through ABC transporter inhibition. It effectively sensitized drug resistant MCF-7 and A549 cancer cells to doxorubicin. It reduced the IC50 values of doxorubicin against MCF-7 and A549 cells from 40.5 and 4.43μM to 1.26 and 0.31μM respectively when co-administered with doxorubicin at 50 μM concentration. It is noteworthy that piperine itself at this concentration was not toxic to these cell lines. In addition to doxorubicin, piperine also sensitized the drug resistant MCF-7 cells to mitoxantrone. The IC50 value of mitoxantrone against drug resistant MCF-7 cells was 37.72 μM which reduced to 5.41μM in the presence of 50 μM piperine. Moreover, piperine has inhibited the mRNA expression of MDR1, ABCC1 and ABCG2 which encode P-gp, MRP1 and BCRP1 respectively. Of note, piperine was found more effective than MK-571 (multidrug resistant protein 1, MRP1 inhibitor) in drug resistant A549 cells at equivalent concentration of inhibitor. Capsaicin Capsaicin is the principal pungent component of red chilli (Capsicum frutescens). Capsaicin has been shown to exhibit anticancer properties in various cancer cell lines in culture and animal models (Aggarwal et al., 2008). In Figure 3. An illustration of How p-gp Modulators Can Inhibit the p-gp in MDR Tumor Cells and Enhance Sensitivity of Resistant Tumor Cells To Chemotherapy. Drug-induced or constitutive overexpression of p-gp actively transport anticancer drugs out of cells. P-gp modulators can inhibit the expression and function of p-gp, resulting in intracellular accumulation of anticancer drugs which then kill the cells by inducing apoptosis MDR-1 Gene Transcription MDR-1 mRNA Translation ATP binding site P-glycoproteinTaxVAL Induction Dox Apoptosis Gp Gp Gp R R R E E I-3 K Cu Cu Cu P D Cn Ca Ca Carnosic Acid Cn Cnidiadin Cu Curcumin Cs Cs Capsaicin Gn Gn [6]-gingerol F C F C Q Q Q Gp GSP I-3 Indol-3-Carbinol R Resveratrol E K Q D EGCG Kugacin J Quercetin DAS, DATS P Piperine F Fucoxanthin C β -Carotene L L Limonin Extracellular Intracellular Anticancer Drugs Nutraceuticals Muhammad Khan et al Asian Pacific Journal of Cancer Prevention, Vol 16, 20156834 addition to anticancer activity, it has been reported to increase intracellular accumulation of daunorubicin and rhodamine 123 by inhibiting the p-gp efflux activity in multidrug-resistant human carcinoma KB-C2 cells. It also increased the cellular accumulation of vinblastine and potentiated its anticancer activity in KB-C2 cells (Nabekura et al., 2005). These findings indicate that capsaicin potentially inhibits p-gp and potentiates vinblastine anticancer activity through p-gp modulation. [6]-Gingerol [6]-gingerol is the major phenolic bioactive component extracted from rhizome of ginger (Zingiber officinale) which is responsible for spicy taste of ginger. It has been shown to exhibit antiproliferative activity against a wide range of cancer cells by inhibiting various survival pathways including NF-КB and β-catenine (Nabekura, 2010a). Like capsaicin, it has also increased intracellular accumulation of daunorubicin and rhodamine 123 by inhibiting the p-gp efflux activity in multidrug-resistant human carcinoma KB-C2 cells. It enhanced the toxicity of vinblastine in KB-C2 cells through p-gp inhibition (Nabekura et al., 2005). However, the available published data is not sufficient to explain the exact mechanism of p-gp inhibition by [6]-gingerol. DAS (Diallyl sulfide) and DATS (Diallyl trisulfide) DAS and DATS are the volatile organosulfur compounds present in garlic (Allium sativum), which is one of the most widely used spice in the world (Zhang et al., 2009). Various studies have been conducted to observe the effect of organosulfur compounds of garlic on p-gp expression. A controversial data has been presented regarding p-gp regulation by these components. For example, in colo 205 human colon cancer cells, DATS has been shown to induce MDR1 gene expression while DAS did not induce any effect on MDR1 gene expression (Lai et al., 2012). However, both DAS and DATS have been reported to reverse MDR of K562 leukemia cell lines (Arora et al., 2004; Xia et al., 2012). DAS increased the intracellular accumulation of doxorubicin in drug resistant K562/R10 cells at a concentration of 8.75 mM. DAS itself did not show any toxic effect on cell viability at this very high concentration. DAS, at this concentration not only potentiated the cytotoxicity of vinca alkaloids (Vinblastine and Vincristine) in drug resistant K562/R10 cells but also decreased the expression of p-gp significantly in time- dependent manner. DAS also inhibited the vinblastine- induced expression of p-gp in normal mouse liver (Arora et al., 2004). Similar results have been presented for DATS by Xia et al. (2012) in drug resistant K562/A02 leukemia cells. In K562/A02 cells, DATS increased the cytotoxicity of daunorubicin by increasing its intracellular accumulation and decreasing p-gp expression at 2 μM concentration for 48 h (Xia et al., 2012). This incongruent data of DAS and DATS might be due to different experimental models or different cancer types. Carnosic Acid Carnosic acid, a phenolic diterpene is a major component of leaves of rosemary (Rosmarinus officinalis). Rosemary leaves are commonly used as spice in cooking. A typical commercial rosemary extract contains about 20% (w/w) carnosic acid. Recently, the effect of carnosic acid on p-gp regulation has been investigated in KB-C2 cells. Carnosic acid inhibited the efflux of p-gp substrates (daunorubicin and rhodamine 123) in KB-C2 cells in a dose-dependent manner. Carnosic acid at 10 μM reversed the p-gp-mediated MDR by sensitizing KB-C2 cells to vinblastine. Like other known p-gp substrates such as verapamil, carnosic acid stimulated the ATPase activity of p-gp which indicates that carnosic acid might be a substrate for p-gp and competitively binds at substrate binding site of p-gp (Nabekura et al., 2010b). Cnidiadin Cnidiadin, a furanocoumarin compound is present in Tordylium apulum, a plant commonly used as spice in Greek cooking with the name Kafkalithra and one of the most aromatic greens for savory pie fillings. Cnidiadin at a concentration of 10 μM has potentiated the cytotoxic effects of vinblastine and vincristine against multiresistant MDCK-MDR1 and epidermoid carcinoma KB cell lines respectively. Cumulative experimental data indicate that cnidiadin is a specific inhibitor of p-gp and it sensitizes multidrug resistant tumor cells to chemotherapy by competitively binding and inhibiting the efflux of drug by p-gp (Barthomeuf et al., 2005). Fruits and Vegetables Increased consumption of fruits and vegetables can prevent various diseases and disorders. A large body of evidence from various case-control studies has shown that intake of fruits and vegetables have a strong protective effect against a wide variety of human cancers (Nile and Park, 2014; Temple and Gladwin, 2003). Recent research has shown that more consumption of vegetables and fruits can prevent 20% incident of cancer and about 200,000 cancer related deaths annually (Pratheeshkumar et al., 2012). Recently, a growing interest has been found to investigate the role of fruits and vegetables in reversing multidrug resistance. Several potent p-gp inhibitors have been identified and their role in reversing multidrug resistance has been studies in tumor cell culture studies. The chemical structure and source of nutraceuticals derived from fruits and vegetables have been shown in Figure 2. Resveratrol Resveratrol is a polyphenolic phytoalexin produced in many plants in response to environmental stresses such as exposure to ozone, sunlight, heavy metals and infection by pathogens. It is abundantly present in red grapes, berries (raspberries, blueberries, and mulberries), Scots pine, Eastern white pine, and knotweed. The anticancer Asian Pacific Journal of Cancer Prevention, Vol 16, 2015 6835 DOI:http://dx.doi.org/10.7314/APJCP.2015.16.16.6831 Enhancing Anticancer Drug Activity in Multidrug Resistant Tumors by Modulating P-Glycoprotein with Dietary Nutraceuticals and chemopreventive effects of resveratrol have been well documented in many in vitro and in vivo studies (Jasinski et al., 2013). In last few years, researchers have found that in addition to anticancer activity, resveratrol has a great potential to reverse MDR of breast cancer and myeloid leukemia cells. It has been shown to increase the intracellular accumulation and anticancer activity of doxorubicin in doxorubicin resistant MCF-7 breast carcinoma cells at 12 μM concentration. This reversal effect of resveratrol on MDR appeared to result from down-regulation of MDR1 mRNA expression and p-gp protein expression (Huang et al., 2014). The reversal effect of resveratrol on multidrug resistant MCF-7 breast cancer cells have recently been published by another group who showed for the first time that resveratrol not only overcome multidrug resistance in vitro cell studies but also exhibit similar effects in vivo xenograft model. These effects appear to come from down-regulated expressions of MDR1 and MRP1 at mRNA as well as at protein level and reduced p-gp ATPase activity (Kim et al., 2014). Resveratrol has also been shown to reverse drug resistance phenotype of doxorubicin resistant AML-2 myeloid leukemia cells via down-regulation of the expression level and activity of MRP1 transporter molecule (Kweon et al., 2010). GSP (Grape seed procyanidin) GSP,a class of polyphenolic compounds, is found in high concentration in grape seeds as well as in many other fruits, vegetables and tea leaves (Chen et al., 2013). GSP is a nutritional supplement with known disease prevention characteristics. It has both chemopreventive and antiproliferative effects on a wide range of cancer cell lines, indicating a potential for application in cancer management (Hsu et al., 2009). Recently, it has been found that catechin-3-O-2- leucocyanidin a GSP, could reverse cancer cells MDR by modulating the expression and activity of p-gp. GSP has been shown to sensitize paclitaxel resistant A2780 human ovarian cancer cells to paclitaxel and adrimycin. This effect was found to be associated with p-gp inhibition. Further mechanistic study revealed that GSP reversed MDR by inhibiting the function and expression of p-gp via inhibition of NF-КB and YB-1 translocation into nucleus through dephosphorylation of AKT and ERK1/2 respectively (Zhao et al., 2013). Limonin Limonin, a limonoid, is a white crystalline substance abundantly found in citrus fruits and contributes to the bitter taste of some citrus food products. Limonoid are considered as one of the most important components of medical food (Mahmoud et al., 2014). Recently, limonin has been studied for its effects on p-gp. It has been shown to inhibit p-gp in human melanoma, colon and leukemia cell lines. In WM-266-4 melanoma cells, it inhibited p-gp (Han et al., 2011) while in Caco-2 colon and CEM/ ADR5000 leukemia cells, it increased the intracellular accumulation of Rhodamine 123 and doxorubicin. Moreover, limonin effectively enhanced the anticancer activity of doxorubicin in drug resistant Caco-2 colon and CEM/ADR5000 leukemia cells at a concentration of 20 μM. Quercetin Quercetin is one of the most important flavonoid with well recognized multiple biological and pharmacological properties. It is present in many fruits and vegetables (Borska et al., 2012). It is most abundantly found in onion and apple. Apple skin, white onion bulb and onion leaves contain 250, 50, and 841mg/kg quercetin respectively (Wach et al., 2007). Quercetin has been found to inhibit p-gp activity and expression in different experimental models (Zhou and Lim, 2004; Chieli et al., 2010). Recently, Quercetin has been reported as a good chemosensitizer. It has been shown to sensitize EPG85-257 drug resistant human gastric cancer cells to daunorubicin through inhibiting MDR1 and P-gp expression and its transport activity (Borska et al., 2012). Li et al., (2013) found that quercetin could enhance the anticancer activity of doxorubicin against multidrug resistant MCF-7 breast carcinoma by inhibiting the expression and activity of p-gp at a very low concentration of 0.7μM. β-Carotene β-Carotene, a precursor of vitamin A, belongs to the group of naturally occurring carotenoids and is found in many fruits and vegetables including carrot, pumpkin, and sweet potato (Vrolijk et al., 2015). The pronounced and versatile biological and pharmacological effects have centered the attention of β-Carotene in cancer therapy. The MDR reversal effect of β-Carotene has recently been described. β-Carotene has accumulated Rhodamine 123, calcein AM, and doxorubicin in Caco-2 cell dose-dependently. It also stimulated the efficacy of 5-Fluorouracil, doxorubicin, and eteposide in Caco-2 cells. Its impact on resistance mechanism involved down- regulation of MDR1 gene expression and inhibition of p-gp transport activity in Caco-2 cells (Eid et al., 2012). Indol-3-Carbinol (I-3-C) I-3-C is present in cruciferous vegetables such as broccoli, cauliflower, cabbage, Chinese cabbage, radishes, daikon, and turnip (Aggarwal and Ichikawa, 2005). It is active against a wide variety of tumors (Aggarwal and Ichikawa, 2005; Zhang et al., 2009). The capacity of I-3-C and its acid condensation derivatives to reverse MDR has been investigated in doxorubicin and vinblastine resistant B16/hMDR1 cells (melanoma cells transfected with human MDR1 gene) (Christensen and LeBlanc, 1996). In cell culture model, I-3-C acid condensation derivatives but not I-3-C enhanced the response of B16/hMDR1 cells to doxorubicin and vinblastine. The acid condensation derivatives competed with azidopine for binding with p-gp, indicating the direct interaction of these derivatives with p-gp. Co-administration of 333 or 500 mg/kg mouse/ day of I-3-C with doxorubicin or vinblastine significantly Muhammad Khan et al Asian Pacific Journal of Cancer Prevention, Vol 16, 20156836 0 25.0 50.0 75.0 100.0 N ew ly d ia gn os ed w it ho ut t re at m en t N ew ly d ia gn os ed w it h tr ea tm en t Pe rs is te nc e or r ec ur re nc e R em is si on N on e C he m ot he ra py R ad io th er ap y C on cu rr en t ch em or ad ia tio n 10.3 0 12.8 30.025.0 20.310.16.3 51.7 75.0 51.1 30.031.3 54.2 46.856.3 27.625.0 33.130.031.3 23.7 38.0 31.3 0 25.0 50.0 75.0 100.0 N ew ly d ia gn os ed w it ho ut t re at m en t N ew ly d ia gn os ed w it h tr ea tm en t Pe rs is te nc e or r ec ur re nc e R em is si on N on e C he m ot he ra py R ad io th er ap y C on cu rr en t ch em or ad ia tio n 10.3 0 12.8 30.025.0 20.310.16.3 51.7 75.0 51.1 30.031.3 54.2 46.856.3 27.625.0 33.130.031.3 23.7 38.0 31.3 reduced the tumor size compared to either drug or I-3-C alone. This effect seems to come from conversion of I-3-C into its acid condensation derivatives in vivo which sensitize the tumor to doxorubicin or vinblastine. In vinblastine resistant K562 human leukemia cells, I-3-C enhanced the response of cells to vinblastine at a non-toxic concentration of 10 mM through down- regulating the expression of p-gp in a time-dependent fashion (Arora et al., 2005). Reversal of vinca alkaloid- induced overexpression of p-gp in mice at a dose of 5mg/ kg has also been reported by the same research group (Arora and Shukla, 2003). However, it remains to be determined whether dietary intake of such vegetables contains that high amount of I-3-C to inhibit p-gp expression and activity in human body. Kuguacin J Kuguacin J, a triterpenoid is a component of bitter mellon (Momordica charantia) which is a culinary bitter vegetable widely used in traditional dishes and in folk medicine in Asian countries (Sagor et al., 2015). Extracts of bitter melon have been reported to possess anticancer activity. The MDR reversing property of Kuguacin J has recently been investigated in human cervical carcinoma KB-V1 cells (Pitchakarn et al., 2012). It increases the intracellular accumulation of rhodamine 123 and calcein by inhibiting the efflux activity of p-gp in KB-V1 cells. Co-administration of 5 and 10 μM of kuguacin J enhanced the response of KB-V1 cells to vinblastine and paclitaxel, 1.9- and 4.3-fold respectively, for vinblastine, and 1.9- and 3.2-fold respectively, for paclitaxel. The experimental data demonstrated that kuguacin J inhibits the transport activity of p-gp by directly interacting with substrate- binding site of p-gp. Fucoxanthin Fucoxanthin, a carotenoid with widespread biological and pharmacological activities, is abundantly found in edible brown seaweeds (Brown algae) such as wakame (Undaria pinnatifida), kombu (Laminaria japonica), and hijiki (Sargassum fusiforme) which are staples in East Asians diet, especially in Japan and Korea (Zorofchian et al., 2014). The MDR reversal effect of fucoxanthin has recently been reported. Fucoxanthin has stimulated intracellular accumulation of Rhodamine 123, calcein AM, and doxorubicin in Caco-2 cell in a dose-dependent manner. It significantly improved the efficacy of 5-Fluorouracil, vinblastine and eteposide in Caco-2 cells. Its impact on resistance mechanism involved down-regulation of MDR1 gene expression and inhibition of p-gp transport activity in Caco-2 cells (Eid et al., 2012). Tea Tea is one of the most popular and widely consumed flavored and functional drinks worldwide. Green and black tea are the most popular which account for about 20% and 78% of world consumption respectively. A large body of scientific reports has provided convincing health promoting evidence of tea consumption (Li, et al., 2013). Green tea extracts have been reported to possess chemopreventive and anticancer effects in a variety of human cancer cells through multiple mechanisms (Li, et al., 2013). Various components of green tea have been reported to inhibit transporter activity of p-gp in various cancer cells (Zhang et al., 2009) however; our focus in this review is EGCG which possesses MDR reversal effects through p-gp regulation. Epigallocatechin gallate (EGCG) EGCG is a major water extractable component of green (Nabekura, 2010a; Li, et al., 2013) and black tea (Li, et al., 2013). A cup of green tea (2.5 g dried leaves) may contain about 90 mg of EGCG (Li, et al., 2013). EGCG potentiated the cytotoxicity of vinblastine and doxorubicin against the Chinese hamster ovary resistant Cells CHRC5 (Jodoin et al., 2002) and the human oral epidermoid MDR KB-A-1 cells (Mei et al., 2004; Qian et al., 2005), respectively. Co-administration of EGCG (40 mg/kg) and doxorubicin (2 mg/kg) significantly inhibited the growth of tumor in KB-A-1 cells bearing nude mice xenograft. The MDR reversal activity of EGCG appeared to result from modulation of p-gp function as MDR1 mRNA expression remained unchanged during this study (Qian et al., 2005). Contrasting results have been presented by Mei et al. (2004) who showed down- regulation of MDR1 mRNA expression in KB-A-1 cells after 72 treatment of EGCG. However, EGCG increased intracellular accumulation of doxorubicin within 3 h in the same experimental model. This indicates that EGCG exerts reversal effect on MDR through modulation of p-gp transport activity. The study of Jodoin et al. (2002) also supports the notion that EGCG exerts MDR reversal effects through modulating the function of p-gp rather than inhibition of p-gp expression. Conclusion and Future Perspectives In this review, we have summarized the recent progress on dietary nutraceuticals in reversing MDR through p-gp regulation in various in vitro and in vivo cancer models. Collective data from multitudinous studies have provided persuasive evidence that dietary nutraceuticals play an important role in overcoming MDR by modulating the expression and function of p-gp through multiple mechanisms. They have been shown to modulate p-gp by down-regulating MDR1 and p-gp expression or by directly binding with ATP-binding site, substrate binding site or allosteric site. However, inhibition of p-gp function to sensitize MDR phenotype of various cancers to chemotherapy was found to be major mechanism of dietary nutraceuticals mentioned in this review. It is important to note that majority of these nutraceuticals have only been evaluated for their MDR reversal potential in vitro or in vivo animal models. What are the effective doses of these nutraceuticals in human and whether these effective doses could be obtained by consuming fruits, vegetable, spices, and tea, are the questions that need to Asian Pacific Journal of Cancer Prevention, Vol 16, 2015 6837 DOI:http://dx.doi.org/10.7314/APJCP.2015.16.16.6831 Enhancing Anticancer Drug Activity in Multidrug Resistant Tumors by Modulating P-Glycoprotein with Dietary Nutraceuticals be addressed. In light of aforementioned findings, it can be speculated that given nutraceuticals may become potential lead compounds to overcome MDR in future. However, preclinical and clinical trials are yet required to elucidate the full spectrum of MDR reversal effects of these nutraceuticals in combination with other standard drugs to validate the further usefulness as potent MDR reversal agents. 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work_ffihkbvr5fgz3n3it3xpq5cv4m	----	Foreword FOREWORD FIVE HUNDRED YEARS SINCE THE REDISCOVERY OF THE AMERICAS If time is the envelope of human consciousness, and history an intellectual tissue of selected single events, there can be little doubt that time and history together must influence law as another product of thought In history as conceived, man remembers great events, events that over the centuries seem to have shaped our lives, decisive as they were for what in French is called la condition humaine. In law, man imagines the rules for humans and human constructs alike to comply with, in order to escape chaos, to promote order and, in its wake, well- being for all. Law, and international law in particular, is always an attempt to dominate events, to direct their course. It has its triumphs, but also its defeats at the hands of extraneous developments. For history is not limited to our 'story' of destiny, it is also destiny itself, fate as it unfolds, slowly but incessantly, over our heads, outside our reach, outside law. In this sense, history, instead of being a result of reflection, is its object both for historians and for lawyers. To what extent, indeed, do extraneous events affect their views? For lawyers, especially, the question of their appreciation arises, either positively, as a contribution to a better world, or negatively, as an onslaught the reiteration of which should by all means be prevented. In order to come to grips with himself as an organizer of the present and the future — his first and foremost calling — the lawyer above all has to find his bearings within time and vis-a-vis the extraneous forces constantly in operation. As a means to that end, his own view of the past is essential — and saying so, I wish to emphasize that a lawyer's view of past events and circumstances should not necessarily coincide with a historian's conception of the same. Out of the continuous stream of factual elements, the lawyer as an organizer will make his own choice, selecting what is important from an organizational perspective. And in order to structure his findings, he may apply a particular technique of recording: periodization according to events that in his estimation heralded a new phase in a certain development—development, a notion repugnant to historians rejecting any idea of growth in legal institutions as if they were organic in character. It is my profound belief that lawyers as organizers are entitled to their own view of, and compartments in, history, including the concept of growth. Netherlands International Law Review.XXXJX: 1-3,1992. C 1992, TJU.C. Asser Instiluut and contributors. terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0165070X00006070 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0165070X00006070 https://www.cambridge.org/core 2 EDITOR-IN-CHIEF NILR 1992 But should lawyers agree amongst themselves about one specific view of history? In fact, many different pictures are to be found in the books, and many different criteria appear to be applied. One author, indeed, may vary from another as to the organizational hinges in history, as much as one author may admit more elements of a different nature than his colleague. Concentrating on international law, it is the rediscovery of the Americas by Christopher Columbus in 1492 that is recognized by many as an important watershed in the history of international law. Why is this so? What was its significance in this respect? It considerably widened the horizon of the world then in existence, with regard to its spatial aspect as well as with regard to the human side. The idea of a Christian unity under Emperor and Pope prevailing in the Middle Ages was gradually replaced by that of the unity of the human race under a common law. It is at this point that the chief merit of Vitoria and Suarez resides. In the ensuing period until 1648, the independent State came into being, and the foundation was laid for a truly 'international' law through all the conflicts arising in the context of the voyages of discovery to the Far East (Telders). Is there any other historical event to be found as momentous as the rediscovery of the Americas, or comparable at least in its effects? None before the estab- lishment in 1919 of the League of Nations, Max Huber wrote, and I feel compelled to agree with him. In the League, a completely novel tendency towards organiz- ational union was revealed, at a later stage to give rise to the United Nations and a number of European organizations, a reversal (Umbruch), Huber thought, not as profound as the transition from medieval to modern international law, yet more than a simple development, more even than a mutation. Better than Huber did, one cannot gauge the impact the rediscovery had in terms of international law, the impact of destiny on the legal life of all mankind. With a view to marking the 5OOth anniversary of the event, the Board of Editors of the Netherlands International Law Review decided to set apart one or more special issues devoted to the Americas and their achievements both in public and in private international law. The underlying assumption was that readers might be interested in what so many American States and American scholars in fact contributed to the development of the two disciplines. The Board, therefore, sent invitations to a number of distinguished jurists in the Western Hemisphere, leaving them free in the choice of their subject. Some of those who responded favourably, in a move of characteristic courtesy also commemorated what their countries owed to the Old Continent. The results of our contributors' endeavours are now to be published in two separate issues of the Review, the first one consisting of studies in public international law, the second one comprising private international law papers. On behalf of the Editorial Board of the Netherlands International Law Review, it is my pleasant duty to thank all those who lent their efforts to make a success of the Board's initiative. First of all, there is Professor G. Parra-Aranguren, our terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0165070X00006070 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0165070X00006070 https://www.cambridge.org/core NILR 1992 FOREWORD 3 Correspondent in Venezuela, w h o w a s extremely helpful in contacting a good number of Latin-American legal experts and in securing their co-operation. T h e Board owes h i m a great debt of gratitude, as well as to Professor M a r k Janis of the United States, also a Correspondent, w h o p u t us in touch with s o m e of his friends. Second, our sincere gratitude is due to those w h o actually contributed their share in the enterprise. T h e y enabled the Board to realize what w a s m e a n t as a h o m a g e to their own countries. On a more technical level, we wish to gratefully acknowledge the permission given by the Museo Civico, C o m o , Italy to include in these pages a reproduction of an early portrait of Columbus. Last, because h e is o n e of u s , but far from least, I recognize Mr. Peter M o r r i s ' unfailing devotion to the project. It is h e w h o saw it through its completion, shouldering all the extra work involved. H e m a y claim the t w o issues as partly h i s , and should b e congratulated o n them. 19 February 1992 T h e Editor-in-Chief terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0165070X00006070 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0165070X00006070 https://www.cambridge.org/core CHRISTOPHER COLUMBUS 1451-1506, taken from a portrait by an unknown artist, currently housed at the Museo Civico, Como, Italy. The photograph was kindly provided by the Museo Civico. terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0165070X00006070 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0165070X00006070 https://www.cambridge.org/core 
work_flpcjse5w5ckxih2anytcep464	----	New horizons at L’Anse aux Meadows New horizons at L’Anse aux Meadows Paul M. Ledgera,b,1, Linus Girdland-Flinkc, and Véronique Forbesa aDepartment of Archaeology, Queens College, Memorial University of Newfoundland, St. John’s, NL, Canada A1C 5S7; bDepartment of Geography, Memorial University of Newfoundland, St. John’s, NL, Canada A1B 3X9; and cSchool of Natural Sciences and Psychology, Liverpool John Moores University, L3 3AF Liverpool, United Kingdom Edited by Dolores R. Piperno, Smithsonian Institution, Washington, DC, and approved June 17, 2019 (received for review May 9, 2019) The UNESCO World Heritage site of L’Anse aux Meadows (LAM) in northern Newfoundland is the only undisputed site of pre-1492 pres- ence of Europeans in the Americas. In August 2018, we undertook fieldwork at LAM to sample the peat bog 30 m east of the Norse ruins for a multiproxy paleoenvironmental assessment of Norse settle- ment. Instead, we encountered a new cultural horizon. Here we re- port our fieldwork at this iconic site and a Bayesian analysis of legacy radiocarbon data, which nuance previous conclusions and suggest Norse activity at LAM may have endured for a century. In light of these findings, we reflect on how the cultural horizon, containing nonnative ecofacts, may relate to indigenous or Norse activities. Norse | indigenous | Bayesian modeling | insects | pollen The Norse colonization of the North Atlantic, a defining fea-ture of the Viking Age, reached its ultimate extent on the shores of Newfoundland some 4 centuries before Christopher Columbus (1). Pre-Columbian presence of Europeans in the New World had often been suspected on the basis of oral histories inscribed by mid-13th century Icelandic scholars in Grænlendinga Saga and Eiríks Saga Rauða. These sagas recounted how Norse explorers from Greenland discovered and established a settlement in Vínland, a land west of Greenland (2). Nevertheless, it was not until the 1960s that definitive evidence was discovered near the Newfoundland outport of L’Anse aux Meadows (LAM) (1). Throughout the 1960s, 8 Icelandic-style turf structures were ex- cavated at LAM (Fig. 1), identifying Norse material culture such as a bronze cloak pin, a steatite spindle whorl, and evidence of rudi- mentary iron working (2). The remainder of the European material culture was nondiagnostic, comprising fragmentary iron, primarily nails and rivets, a bone needle fragment, and a whetstone (1). Numerous stone tools pertaining to indigenous peoples were also recovered (2), perhaps suggesting LAM was the theater of the earliest contact between Europeans and North Americans. In the 1970s, further excavations by Parks Canada revealed iron-worked wooden objects and jasper fire starters matching rocks that outcrop in western Greenland and Iceland (2). A wealth of wooden debit- age was also uncovered, which was attributed to both indigenous and Norse occupations (2). Compared with Norse sites in Green- land, the limited suite of material culture from LAM is notable for the near absence of steatite and osseous material commonly used for all manner of implements in Greenland (Fig. 1). Botanical analyses identified wood and nuts from the White Walnut (Juglans cinerea), an exotic species in Newfoundland that suggests wider- ranging Norse voyages to the south (2). Over 100 ecofacts associated with the archaeological heritage (wood and charcoal) were submitted for radiocarbon dating (2). Dates ranged from 5,080 ± 110 14C y B.P. (Qu-365; charcoal) to 260 ± 110 14C y B.P. (S-1167; worked wood), encompassing the suite of occupations at the site. Assays from Norse contexts (56 assays) ranged from 1,630 ± 70 14C y B.P. (WAT-420; charred wood) to 865 ± 65 14C y B.P. (S-1091; wood). Icelandic saga literature, and references to Vínland in an ecclesiastical treatise from ca. AD 1075, suggested LAM should date to ca. AD 1000, something the radiocarbon data seemed to challenge (2). It was not until the “in-built” ages of materials such as wood and charcoal became widely recognized that these conflicting narra- tives could be reconciled. Assays on short-lived macrofossils (twigs) from Norse contexts dated to between 1,050 ± 65 14C y B.P. (S-1340; Abies sp. twig; Cal AD 895–1030) and 955 ± 100 14C y B.P. (S-1355; Larix sp. twig; Cal AD 995–1185), suggesting an occupa- tion centered on AD 1000 (2). A weighted mean of twig dates— notwithstanding issues associated with combination of 14C ages from multiple individuals—provided a result of AD 986–1022 (3). Despite being the earliest known European outpost in North America, LAM remains enigmatic. None of the structures are identifiable as animal shelters, nor is there faunal evidence for animal husbandry—the foundation of Norse subsistence in Greenland and Iceland (2). LAM is therefore an outlier within the Norse settlements of the North Atlantic. The paucity of material culture and shallow deposits indicate a transitory place functioning as a base for exploration of North America (2). Al- though the Norse colonization of the North Atlantic is often viewed as a search for farmland, it was also an endeavor to secure luxury resources for European markets (4). From this perspective, perhaps a Norse outpost makes perfect sense. LAM is located on the shores of a rich cod fishery—which, 6 centuries later, was home to hundreds of seasonal French fishers (5)—and in a dense nesting region for eiders (6). Both stockfish (dried cod) and eiderdown were highly prized commodities in the Viking Age (4, 7). Fieldwork Our trench, measuring 0.65 × 1.50 m, was located 30 m east of Ruin D (Fig. 1). The new cultural horizon (4A800B7) was encoun- tered between 35 and 45 cm (Fig. 2) and comprised finely laminated (0.5 to 1.0 cm thick) apparently trampled surfaces containing char- coal, wood debitage, and charred plant remains. Abundant well- preserved plant (leaves and twigs) and insect remains were evident to the naked eye. A 2-L bulk sample of the layer and a monolith spanning the cultural horizon and natural peat were collected (Fig. 2). Environmental Archaeological Analyses The peat monolith was cut into contiguous 1 cm3 subsamples, and the pollen content was analyzed (e.g., ref. 8). A 450-mL subsample of the 2-L bulk was disaggregated in <2% NaOH, then washed through a series of sieves. Residues were hand- sorted under a binocular microscope to isolate charcoal, seeds, in- sects, and wood debitage. Short-lived plant macrofossils selected from 3 levels (as illustrated in Fig. 2) were submitted for C14 dating at the André E. Lalonde Accelerator Mass Spectrometry Laboratory. The pollen content is notable for tree, shrub, and heath percent- ages (in particular, Myrica), which are high in respect to the aspect of the site and previous studies at LAM (1, 9). Apophytes (e.g., Rumex sp. Achillea millefolium type) are elevated at ca. 10% total land pollen (TLP), while exotics such as Juglans (Walnut) and Humulus type (hops or cannabis) are also present. Sporormiella-type fungi, exclusively associated with the dung of grazing herbivores (caribou in the case of Newfoundland), were also found in 7 of 12 samples. Author contributions: P.M.L. and V.F. designed research; P.M.L., L.G.-F., and V.F. per- formed research; P.M.L. and V.F. analyzed data; and P.M.L. and V.F. wrote the paper. The authors declare no conflict of interest. This open access article is distributed under Creative Commons Attribution License 4.0 (CC BY). 1To whom correspondence may be addressed. Email: pledger@mun.ca. Published online July 15, 2019. www.pnas.org/cgi/doi/10.1073/pnas.1907986116 PNAS | July 30, 2019 | vol. 116 | no. 31 | 15341–15343 A N TH R O P O LO G Y B R IE F R EP O R T D o w n lo a d e d a t U n iv e rs ity o f A b e rd e e n o n J a n u a ry 1 5 , 2 0 2 0 http://crossmark.crossref.org/dialog/?doi=10.1073/pnas.1907986116&domain=pdf http://creativecommons.org/licenses/by/4.0/ mailto:pledger@mun.ca https://www.pnas.org/cgi/doi/10.1073/pnas.1907986116 The concentration of insect remains in 4A800B7 (0.24 beetles per mL−3) is very high compared with natural peatlands. Most abundant are rove beetles such as Pycnoglypta sp., typically domi- nant on archaeological sites. Other examples include Acidota quadrata (Zetterstedt), a Holarctic species previously unrecorded in Newfoundland, and Simplocaria metallica (Sturm), a pill beetle considered adventive (nonnative) in Canada (10). Of further note is a dock/sorrel seed that compares favorably to Rumex aquaticus L., a species of uncertain status in Newfoundland (11). Bayesian Modeling of Radiocarbon Data Legacy 14C data pertaining to the Norse and indigenous (often re- ferred to as Recent Indian, a cultural group ancestral to the Beothuk) occupations at LAM were collated from the Canadian Archaeologi- cal Radiocarbon Database and placed within a relative chronological framework (Fig. 2) using published data (1, 2). A series of Bayesian models were constructed in OxCal (Fig. 2F) to estimate start and end dates for the Norse and indigenous occupations, individual structures, and 4A800B7 under varying prior information. Modeling results were remarkably consistent (Fig. 2F), and model A suggests Norse occu- pation began Cal AD 910–1030 (2σ; boundary: Start Norse), ended Cal AD 1030–1145 (2σ; boundary: End Norse), and endured for 0 to 195 y (2σ; span: Sequence Norse). Greater uncertainty surrounds indigenous occupations, where a start of Cal AD 710–1130 (2σ; boundary: Start pre-Beothuk) and end of Cal AD 1540–1815 (2σ; boundary: End pre-Beothuk) is indicated. Assays from 4A800B7 date it to the mid-12th to the late 13th centuries (Fig. 2). Discussion Bayesian modeling has confirmed previous conclusions (2, 3) regarding Norse arrival, but suggests a potentially longer than as- sumed period of use (up to 195 y). This does not imply a continuous occupation, which, given the shallow cultural deposits, seems un- likely. Rather, it indicates the possibility of sporadic Norse activity beyond the early 11th century. Data from indigenous contexts is less precise, and activity is modeled to have begun between the 8th and 12th centuries. LAM therefore could have been a shared zone of interaction. Radiocarbon data place 4A800B7 in the 12th and 13th centuries, implying an association with indigenous activities. Assuming an indigenous association poses the question: What process formed 4A800B7? The deposit is thick (≥10 cm), with excellent preservation and fine laminations, which indicate rapid accumulation and burial of trampled material. The concentrations of insects, wood debitage, charcoal, and weed pollen are suggestive of abundant organic waste. Sporormiella-type fungi also point to the incorporation of dung into the matrix of the deposit, or the nearby presence of grazing animals. Similar deposits are well documented from Greenlandic Norse sites (8), but contrast with shallow cultural layers from contemporary indigenous settings in Newfoundland. The ecofactual content of 4A800B7 poses interesting bio- geographical questions, but offers few clues to its cultural affinity. The dock seed (cf. Rumex aquaticus) may derive from an introduced plant native to Eurasia, but the tendency of Rumex species to hybridize complicates secure identification. Cereal-type pollen could derive from wild grasses, while Humulus lupulus-type and Juglans may have arrived through wind dispersal. However, their sole presence in the cultural horizon and the past identification of Juglans macrofossils at LAM is intriguing. Of the beetles, S. metallica is considered native to Greenland, where it has been found in Norse and Pre-Inuit contexts, while A. quadrata, never previously identified from Newfoundland, is common in the circumpolar north. If any of these species truly are introductions to Newfoundland, their arrival by the 13th century may have been via either Norse or indigenous trade or migration routes. Conclusions The results presented here pose more questions than answers. The cultural deposit that we have discovered at LAM exhibits affinities with cultural layers from across the Norse North Atlantic, but our analyses demonstrate it postdates even the most generous estimates for Norse activity in Newfoundland. Ecofacts from cultural waste sandwiched between layers of peat may not be as evocative as artifacts such as a ringed bronze pin, or a finely crafted lithic projectile point. Yet, they Eastern Settlement ICEL AND NEWFOUNDLAND Western Settlement L’Anse aux Meadows GR EEN LAN D LABRADOR 1960s 1973 1974 1975 1976 2018 trench location Excavations Bone (undiff) Wood Wool Leather Iron Stone Whale bone Walrus ivory Copper alloy Caribou antler Steatite Iron slag 0 10 1 100 0.1 Fig. 1. The North Atlantic region. (Left Inset) Summary of material culture from church farms (blue), farms (red), and shielings (green) in Green- land in terms of raw materials. The material culture assemblage from LAM is represented in yellow (Right Inset). The location of Norse ruins and exca- vations at LAM. 15342 | www.pnas.org/cgi/doi/10.1073/pnas.1907986116 Ledger et al. D o w n lo a d e d a t U n iv e rs ity o f A b e rd e e n o n J a n u a ry 1 5 , 2 0 2 0 https://www.pnas.org/cgi/doi/10.1073/pnas.1907986116 present new horizons for examining the environmental legacies of inter- and intracontinental movement of people within North America prior to 1492. Whatever their affinity, the cultural deposits within the LAM peatlands preserve unique archaeological and bio- geographical stories waiting to be told. ACKNOWLEDGMENTS. We thank Birgitta Wallace for stimulating discussions and support and the Parks Canada staff at LAM and Dartmouth. We also wish to thank Meghan Burchell and Bryn Tapper for help with imagery and Dawn Mooney and Yannick Miras for advice on botanical IDs. We acknowledge support from Memorial University Faculty Start-Up Funds. 1. A. S. Ingstad, Excavations of a Norse Settlement at L’Anse Aux Meadows, New- foundland 1961-1968 (The Norse Discovery of North America, Norwegian University Press, Oslo, Norway, 1985), Vol. 1. 2. B. L. Wallace, The Norse in Newfoundland: L’Anse aux Meadows and Vinland. Nfld. Stud. 19, 5–43 (2003). 3. R. Nydal, A critical review of radiocarbon dating of a Norse settlement at L’Anse aux Meadows, Newfoundland, Canada. Radiocarbon 31, 976–985 (1989). 4. C. K. Keller, Furs, fish and ivory: Medieval Norseman at the Arctic fringe. J. North Atlantic 3, 1–23 (2010). 5. B. Tapper, “An archaeological analysis of the distribution of French fishing rooms on the Petit Nord, Newfoundland,” Masters thesis, Memorial University of Newfound- land, St. John’s, NL, Canada (2014). 6. T. J. Kristensen, J. E. Curtis, Late Holocene hunter-gatherers at L’Anse aux Meadows and the dynamics of bird and mammal hunting in Newfoundland. Arctic Anthropol. 49, 68–67 (2012). 7. V. Forbes, Duck fleas as evidence for eiderdown production on archaeological sites. J. Archaeol. Sci. 61, 105–111 (2015). 8. P. M. Ledger, K. J. Edwards, J. E. Schofield, Taphonomy or signal sensitivity in palaeoecological investigations of Norse landnám in Vatnahverfi, southern Greenland? Boreas 44, 197–215 (2015). 9. A. M. Davis, J. H. McAndrews, B. L. Wallace, Paleoenvironment and the archaeo- logical record at the L’Anse aux Meadows site, Newfoundland. Geoarch 3, 53–64 (1988). 10. Y. Bousquet, P. Bouchard, A. E. Davies, D. Sykes, Checklist of Beetles (Coleoptera) of Canada and Alaska (Pensoft, Sofia, Bulgaria, 2013). 11. S. J. Meades, L. Brouillet, “Annotated checklist of the vascular plants of Newfoundland and Labrador.” Flora of Newfoundland and Labrador (2019). https://newfoundland- labradorflora.ca/index.cfm. Accessed 9 May 2019. 25 μm 10 mm South West North East 4A800B7-1 Smithy Activity T-393; S-1101; T-366; S-1127 House A occupation T-310 Firepit S-1124 Start of Norse occupation House D occupation WAT-420; T-364 Construction House F occupation T-325; T-326; S-1351; S-1108; S-1350; St-2665? Start House D End House D T-817 End House AEnd Smithy Construction T-531; S-1104; S-1102 End House F Other Norse activity T-327; T-324; T-306; T-309; T-367 End of Norse occupation Bog/Middens TO-116; S1092; S-1119; S-1358;S-1339; S-1346;S-1109; S-1343; S-1348; S-1090; S-1118; S-1115; S-1342; S-1347; S-1106; S-1352; S-1357; S-1114; S-1112; S-1120; S-1110; S-1093; ; ; ; S-1113 TO-119 S-1111 S-1091; ; ; ; ; S-1340 TO-117 S-1355TO-118 Qu-350; WAT-436 800B Activity UOC-7390 UOC-7389 End of 800B Start of 800B UOC-7388 Start House FStart House AStart Smithy Construction T-530; T-818 Dark brown to black poorly humified ericaceous PEAT with patches of Polytrichum Surface vegetation and root mat. Dark brown to black poorly humified PEAT rich in Polytrichum and monocot remains Orange brown to golden brown poorly humified Sphagnum PEAT. Red brown (becoming black brown) laminated PEAT rich in poorly humified woody remains, monocots, Sphagnum, charcoal and insects. Orange brown to golden brown poorly to moderately humified Sphagnum PEAT. 33 De pth 20 Be tul a 90 My ric a g ale 50 Pi ce a Pi nu s 50 Er ica ce ae Al nu s 20 Ru bu s c ha ma em or us 20 Po ac ea e Cy pe ra ce ae Sa ng uis or ba Ap iac ea e 20 Ch en op od iac ea e Ru me x a ce tos a- typ e Ru me x a ce tos ell a Ra nu nc ulu s a cri s-t yp e La ctu ce ae Ac hil lea -ty pe Br as sic ac ea e Mo nti a f on tan a As ter ac ea e So rd ar ia- typ e ( 55 A) Sp or or mi ell a- typ e ( T- 11 3) Po do sp or a- typ e ( T- 36 8) Ge lan isp or a ( T- 1a ) Hu mu lus lu pu lus -ty pe Ce re al- typ e Ju gla ns 0 100 Tr ee s, Sh ru bs an d H ea ths He rb s Ap op hy tes Ex oti cs Trees, shrubs and heaths Herbs Apophytes Fungi Exotics 45 S-1167; Qu-348; T-410; S-1361; Qu-352; S-1166; S-1354; S-1129; Qu-349; Beta-252633; Beta-252632; T-411; S-1123; S-1098; S-1099; T-365; S-1095; T-368; S-1121; S-1126 Pre-Beothuk activity Start pre-Beothuk End Pre-Beothuk 1 mm 1 mm 500 600 700 800 900 1000 1100 1200 1300 1400 1500 1600 1700 1800 1900 UOC-7388 (633 ± 23; Sphagnum moss; 36-35 cm) UOC-7389 (733 ± 22; Larix sp. twig; 38-37 cm) UOC-7390 (847 ± 22; Indet. twig; 45-44 cm) Boundary: End Norse Boundary: Start Norse Boundary: End pre-Beothuk Boundary: Start pre-Beothuk Modelled date (cal. AD) 0 100 200 300 400 500 600 Model A Model B Model C Model D Model E Model F A B C D E H Duration (years) F G Span Duration of pre-Beothuk 630-895 [1σ]; 475-1045 [2σ] 700 800 900 1000 1100 1200 Span Duration of Norse 0-100 [1σ]; 0-195 [2σ] Fig. 2. Results of analyses. (A) Trench stratigraphy and monolith sampling location. (B) Percentage pollen diagram displaying selected taxa (sum = ≥500 TLP), “+” indicates <1% TLP. (C) Insects and seeds from 4A800B7 (left to right): Eanus macullipennis, S. metallica, A. quadrata, Pycnoglypta sp., and dock seed (cf. R. aquaticus). (D) Pollen (left to right): H. lupulus-type, Juglans, and cereal-type. (E) Wood debitage from 4A800B7. (F) Probability distributions for start and end of Norse and indigenous occupations and calibrated C14 assays from 4A800B7. (H) Modeled durations for Norse (red) and indigenous (blue) activity. (G) Prior information incorporated into all Bayesian models (A–F). Dates in italics were treated as outliers using the OxCal charcoal outlier model. Assays in bold red are short-lived elements also treated as outliers in models B, D, and F. Terminus post quem of 890 ± 60 in models C and D and 985 ± 1 in models E and F was included to indicate that Norse settlement at LAM occurred after the settlement of Iceland and Greenland, respectively. Ledger et al. PNAS | July 30, 2019 | vol. 116 | no. 31 | 15343 A N TH R O P O LO G Y B R IE F R EP O R T D o w n lo a d e d a t U n iv e rs ity o f A b e rd e e n o n J a n u a ry 1 5 , 2 0 2 0 https://newfoundland-labradorflora.ca/index.cfm https://newfoundland-labradorflora.ca/index.cfm 
work_fncy4nj5lbcbhmrftvjxzpx7j4	----	HISTORICAL NOTE Rubber Stretches Over Two Anniversaries Life got much easier for children at play a Century ago this year. In 1888 in Belfast John Boyd Dunlop, a successful Scottish veterinarian, invented the pneumatic tire to provide a more comfortable ride for his son's tricycle. Dunlop tested his tire in Great Britain in 1888 and in the United States in 1890. The smoother ride of air- filled tires instead of the previous solid rubber ones helped bring about the cy- cling craze of the 1890s. After Dunlop's patent was issued, it was discovered that the principle of the pneumatic tire had already been patented in 1846, but Dunlop held enough acces- sory patents to keep his Company going successfully, though he never did make a fortune from his invention. He sold the Company along with his patent in 1896. Rubber will be celebrating another im- portant anniversary next year—150 years ago, in 1839, Charles Goodyear discov- ered the vulcanization process by spilling a mixture of rubber latex and sulfur on a hot stove. Vulcanization made rubber into the useful, durable material familiär to ev- eryone today. Rubber had been used centuries earlier in the New Wforld. When Christopher Co- lumbus returned from Haiti, he suppos- edly broughtback rubber balls that he had seen the Indians bouncing against a tree. (This account was written more than 100 years after Columbus returned, so some historians doubt its authenticity.) Other Spanish explorers later learned how the South American Indians made water- proof shoes by smearing the milky white latex from rubber trees on their feet and allowing it to dry. They also made rubber bottles in much the same way.. .spreading the latex over a clay form and, when the latex had hardened, washing away the clay from the inside. In 1735, the explorer Charles Marie de La Condamine—who had been commis- sioned by the Academy of Science of Paris to measure a degree of the meridian in South America—sent back to France hardened latex samples from Peru. The English chemist Joseph Priestley (better known as the discoverer of oxygen) no- ticed in 1770 that balls of the hardened la- tex could be used to rub out pencil marks...from this we get the name "rub- ber." Liquid latex couldn't be shipped back across the ocean since it would dry out on the voyage. Instead, crude masses of hardened raw rubber were shipped in cakes or balls. Once the shipments reached Europe, the problem was how to manipulate the rubber into a more desir- able form. Two Frenchmen, surgeon L.A.P. Herissant and chemist Pierre Jo- seph Macquet, introduced the use of tur- pentine and pure ether as solvents for the hardened latex. Using their technique, they were able to make some of the first rubber surgical instruments. Others soon discovered that this Solu- tion of latex and turpentine—rubber cement—could make a waterproof cloth. In 1823 Scottish chemist Charles Macintosh began producing his famous raincoats, misspelled as "mackintoshes," that con- sisted of two layers of cloth coated with the rubber cement Solution and then sandwiched together. Macintosh intro- duced coal-tar naphtha as a more effective solvent than turpentine or ether. Macintosh's partner, English inventor Thomas Hancock, continued to work with raw rubber, sure that "something must eventually be done with so Singular a substance." Hancock patented the idea of applying strips of rubber directly to cloth (in 1820) since his first attempts to coat fabrics with the turpentine/latex So- lution did not result in a satisfactory texture—and they smelled bad. Hancock also invented a machine called a "mastica- tor" that allowed the reprocessing of scrap rubber. In 1839 Charles Goodyear discovered the vulcanization process by spilling a mixture of rubber latex and sulfuron a hot stove. Illustration courtesy of Goodyear Tire & Rubber Co. MRS BULLETIN/JULY1988 47 . https://doi.org/10.1557/S0883769400065301 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:29, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1557/S0883769400065301 https://www.cambridge.org/core https://www.cambridge.org/core/terms HISTORICAL NOTE The Quality Plasma Source • Unique Symmetrie plasma microwave coupler • UHV compatible double-walled stainless plasma Chamber • Includes ASTEX S-1000 microwave power supply with exceptional output quality (with regulation to 0.1% and ripple less than 1 %) for reli- able processing • Ideal high current replacement in ion beam applications, provides low energy ion stream, com- patible with any reactive gas for diamond-like coatings, sputter and ion assisted deposition, and etching An extensive line of quality microwave plasma Systems is available. Call for details. 617-876-5545 Applied Science and Technology, Inc. 40 AI|ston Street Cambridge, MA 02139 But natural rubber had a severe problem—it softened and flowed when it got too hot, and it hardened and cracked when it grew too cold. Eollowing Macin- tosh's success and improving on Han- cock's masticator machine, new manufacturing techniques abounded— but they reached the material limits of nat- ural rubber until the substance itself could somehow be improved. Natural rubber could not be used in many industrial ap- plications, or even in the cold and heat of everyday seasonal fluctuations in the United States and Great Britain. The rub- ber became tacky, it had an unpleasant smell, and it degraded easily. Then in 1839 the American Charles Goodyear discovered the vulcanization process. Goodyear was the son of an in- ventor of farm implements. He and his fa- ther went into the hardware business together but went bankrupt in 1830, and Charles Goodyear was thrown in debtor's prison in 1834. While in prison, he began to think about how valuable a material rubber could be if it didn't get hard in cold weather and sticky in warm weather. Though he wasn't a chemist, nor did he have any clear idea of what might work, he condueted his first experiments while still in prison, trying anything and every- thing until he found a technique that worked. He continued experimenting un- til his death in 1860. In 1836 he found a process of treating the rubber with nitric aeid. The idea looked promising and he secured a con- tract with the U.S. government to manu- facture mailbags. The venture did not prove successful. A year later he joined forces with Na- thaniel Hayward, who had worked with a rubber Company and had proposed a process of using sulfur to "dry" rubber. The process didn't work particularly well, but Goodyear bought the right to use it from Hayward anyway. Goodyear was working with a mixture of rubber, sulfur, lead, and other chemicals when he spilled it on a hot stove. The addition of heat did the trick— "vulcanizing" the rubber, al- lowing the sulfur to act as a crosslinking agent for the polymer Strands. The result- ing rubber didn't melt as he expected.. .in fact, it proved far more durable than any rubber he had ever seen. The rubber industry had been centered primarily on waterproofing clothes (in Great Britain) and on making rubber over- shoes (in the United States), but with Goodyear's new durable rubber, the in- dustry could find mechanical applica- tions, such as bicycle tires and machinery. Trying to raise interest in his process (and to generate capital for further re- search), Goodyear sent samples of his vulcanized rubber to England. Thomas Hancock, Macintosh's business partner, obtained some of the samples and be- came obsessed with learning the process that had so remarkably improved the ma- terial's Utility. For nearly four years Han- cock worked on his own to discover what Goodyear had done. [NJatural rubber had a severe problem—it softened and flowed when it got too hot, and it hardened and cracked when it grew too cold. Meanwhile, Goodyear, in poor health and dogged by creditors, finally got around to filing for his British patent in 1844—one year after Hancock had discov- ered a similar (and less effective) process that didn't require lead. Thus began the first of many patent-ihfringement battles—60 in all. Charles Goodyear was to fight for the rest of his life. Once the vulcanization process became widely known, it became nearly impos- sible to enforce patent restrictions be- cause the technique itself was so simple. Goodyear spent most of his time fighting legal battles, but he did not win his case until 1852, with Daniel Webster acting as his lawyer. Goodyear traveled widely to promote his vulcanization process, trying to gener- ate capital. French Emperor Napoleon III awarded him the Legion of Honor, but that didn't get him any money. He feil deeper into debt, spent more time in a debtor's prison (this time in France) and finally died in 1860, owing more money than he ever had in his life—somewhere between $200,000 and $600,000. Unfortunately for Goodyear, the great- est use of his vulcanized rubber—in auto- mobile tires—did not come about until 50 years after his death. Most of today's needs are filled by synthetic rubbers, other elastomers with similar (and some- times superior) material properties. But like John Boyd Dunlop, Goodyear's leg- aey lives on with his name on our automo- bile tires and his seminal work embodied in the Corporation bearing his name. KEVIN J.ANDERSON MRS BULLETIN/JULY1988 . https://doi.org/10.1557/S0883769400065301 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:29, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1557/S0883769400065301 https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_focjbnprifdrpjyen6fndl47be	----	The Relevance of the Case Method to Archival Education and Training FRANCIS X. BLOUIN, JR. IN RECENT YEARS THERE HAS BEEN CONSIDERABLE DEBATE over whether archivists, collectively, approach the care of records, papers, and manuscripts as an art, craft, or science. It is a difficult question and generally is resolved only on an individual basis, as each person understands and articulates his or her own approach to archival problems. In considering the status of archival education in the United States, I would prefer to sidestep the search for a precise label and assume that there is general agreement that archivists are professionals and as a group constitute an emerging profession with its own identity. If we agree that archivists do indeed constitute a profession, then I believe that discussions re- garding the education and/or training of new professionals should not center on the problem of who or what we are, but rather on how we can best prepare men and women to make reasoned and correct judgments when confronting prob- lems in the administration of modern archives and manuscript libraries. The question of what constitutes an appropriate curriculum and method for the education of prospective archivists has gone on for more than sixty years. Because the establishment of archives in the United States was fostered by histo- rians in the early part of the century, prime movers in the field, such as Waldo Leland and J. Franklin Jameson, generally preferred a historical orientation for the "training" of archivists, though they recognized the relevance of other discip- lines such as the law and the then-emerging field of library science.1 This trend was underscored in 1936 when Samuel Flagg.Bemis, speaking for the Committee on the Training of Archivists of the newly established Society of American Ar- chivists, reached a similar conclusion.2 Despite this early general agreement on what should constitute the training of archivists, the archival training programs which have emerged in recent decades can only be characterized as an incredible variety. Some concentrate on the history of the field, some draw on European practices, and some teach the history of administration. Other programs are based on the experience of a single institution. As textbooks emerge, some con- centrate on a rules approach, while others identify more closely with library science and reject historical training.3 In short, there is general agreement that some sort of training is necessary to prepare an aspiring archivist, but there is no The author is associate archivist of the Bentley Historical Library and lecturer in library science and history, at the University of Michigan. 1 Frank B. Evans, "Archival Training in the United States: An Unresolved Problem," Archives Et Bibliotheques De Belgiaue, vol. 46, no. 3-4, 1975, p. 524. 2 Evans, "Archival Training," p. 525. 3 Robert M. Warner, "Archival Training in the United States and Canada," American Archivist 35 (July/October 1972): 347-50. The American Archivist Vol. 41, No. 1 January 1978 37 D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.41.1.766351070x1432pu by C arnegie M ellon U niversity user on 06 A pril 2021 38 THE AMERICAN ARCHIVIST—January 1978 general consensus at all as to what constitutes the best method to this end.4 The Committee on Education and Training has recently provided some guidelines as to course contents, but to date there has been little emphasis on methods best suited to acquaint new students with the increasingly complex problems in mod- ern archives administration and records management. Since no consensus has emerged regarding the method of educating archivists, it seems appropriate to look at the more established professions and examine how they have coped with the problems of proper preparation for those seeking to enter the field. For this purpose the debates regarding education for the legal profession seem particu- larly relevant. The legal profession is among the oldest organized professions in America. Founded in 1878, the American Bar Association was, among other reasons, established to maintain and insure standards among those practicing law. The ABA was the first of many associations founded in the latter part of the nineteenth century in reaction to the haphazard training and the lax standards of persons who called themselves lawyers, historians, doctors, etc. The American Medical Association, the American Historical Association, the American Sociological Association, the American Economic Association, and the American Library Association were all founded to this end. In the process of setting standards of professional behavior, all of these associations were much con- cerned with the proper method of education and training of new members. Thus the intense debates over what constituted proper education in preparation for a career in law and in other professions began many years ago.5 Why select the law as a model solution for problems facing the archival profes- sion today? This can be answered by first considering what archives is not, and then looking at what it is. Archives is not an academic discipline which seeks to explain events or behavior. Though the materials with which archivists deal are useful to that end, the archivist, in the course of normal activity, seeks to docu- ment properly rather than to interpret. It is in the nature of the process of documentation that the relevancy lies. Archives is not a precise science governed by rules. As T. R. Schellenberg noted, "Archival techniques can be defined more precisely than those of the historical profession, but not as precisely as those of the library profession."6 Archives is a profession which requires the ability to define order and make available the significant records of the individuals and institutions which compose society. Equipped with a few important principles, the archivist must learn to interpret these principles in the light of changing circumstance. As our society and its institutions become more complex, so do the records which document its evolution. They constantly demand new interpreta- tions of standard practice, and they require educated decisions on the applicabil- ity of established principles to evolving circumstance. So too, it is argued, does the law rest on certain cherished rights and principles which must be interpreted and applied to changing circumstances. The law of property is based on the fundamental notion that private property must be protected and respected. This is a fundamental precept upon which a whole body of law depends. As society has grown more complex, industrialized, and 4 Philip P. Mason, "The Society of American Archivists in the Seventies: Report of the Committee for the 1970's," ibid., pp. 207-10. 5 Thomas C. Cochran, Business in American Life (New York, 1972), pp. 192-95; and Robert Wiebe, The Search for Order (New York, 1969). 6 T . R. Schellenberg, The Management of Archives (New York, 1965), p . 71.. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.41.1.766351070x1432pu by C arnegie M ellon U niversity user on 06 A pril 2021 CASE METHOD 39 urbanized, interpretations of the law of property have evolved to meet new situations and new definitions regarding what property is and to whom it be- longs. While the fundamental principles of property remain unaltered, new laws are written and interpreted to define these principles.7 Thus the challenge of legal education has been to prepare those intending to enter the profession with a background adequate to the task of analyzing, inter- preting, and applying a constantly evolving body of laws. Very early there was a realization among educators in the field that the law could not be taught, since laws encountered in training were certain to change during the course of the career of the prospective lawyer. As a result, two methods for teaching developed in the pre-professional period (i.e., pre-ABA, 1870s). The first and oldest method was apprenticeship through which a promising young man was invited to assist a practicing lawyer and read into the law. At a certain point, always difficult to define, the man was released, pronounced a lawyer, and permitted to practice. As schools of law were estab- lished, the emphasis shifted from experience to text learning. Since certain prin- ciples were considered the law's foundation, educators felt obliged to teach the nature of those principles through Blackstone's Commentaries and other standard treatises.8 In 1871 these traditions were strongly challenged by Christopher Co- lumbus Langdell of the Harvard Law School. In that year he published his text, A Selection of Cases on the Law of Contracts: with References and Citations, prepared for Use as a Textbook in the Harvard Law School, which was to revolutionize legal educa- tion in America. Prefacing his selection of specific reported cases he noted: Law . . . consists of certain principles or doctrines. To have such a mastery of these as to be able to apply them with constant facility and certainty to the ever-tangled skein of human affairs, is what constitutes a true lawyer; and hence to acquire that mastery should be the business of every earnest student of law. Each of these doctrines has arrived at its present state by slow degrees; in other words, it is a growth extending in many cases through centuries. This growth is to be traced in the main through a series of cases; and much the shortest and best, if not the only way of mastering the doctrine effectually is by studying the cases in which it is embodied.9 He goes on to note the importance of locating cases for this purpose, which appear in many guises. Thus, for Langdell the object of teaching by case method was to have students search out inductively these fundamental principles from various cases in which the principles were applied. Langdell's volume, Cases on the Law of Contracts, and his new approach were received rather skeptically at first. On the philosophical level, many critics felt that this new approach demeaned the study of the law, which in essence ought to be a philosophy. The law was a set of abstract principles upon which rested the order of civilization. Simply to isolate specific cases was to emphasize specifics and lose for students any sense of general principles. Individual cases, it was argued, illustrated the law only at one moment in time, giving no sense of what the law in essence is. The debates on the casebook method very quickly became embroiled in the larger questions important in turn-of-the-century intellectual life. The case method was considered a pragmatic approach, and as a result 7 Charles Donahue, Cases and Materials on Property (St. Paul, 1974). 8 Josef Redlich, The Common Law and the Case Method (New York, 1914), p p . 7-8. 9 Christopher C. Langdell, A Selection of Cases on the Law of Contracts: with References and Citations Prepared for Use as a Textbook in the Harvard Law School (Boston, 1871), Preface. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.41.1.766351070x1432pu by C arnegie M ellon U niversity user on 06 A pril 2021 40 THE AMERICAN ARCHIVIST—January 1978 irritated those who were opposed to more varied and "realistic" course offerings in higher education. Langdell argued that he was making the study of law more "scientific" in the broader nineteenth-century definition of the term. The histor- ical profession also began to consider the application of the scientific method to the study of history, and the resulting need for raw material led to the surveys of historical records by the American Historical Association. Many scholars found repulsive this universal application of scientific principles and methods and at- tacked Langdell on this ground. On the practical level, critics felt that the case method was too slow. It simply took too much time to have students read through a variety of cases to realize a principle which could be explained abstractly in a few paragraphs. Langdell countered that the goal should not be time but adequate preparation, and he defended his method as a superior prep- aration.10 Despite criticism, the case method caught on rather quickly and inspired sig- nificant new casebooks. More important, in the ensuing decades a shift of em- phasis occurred. Educators began to see the case method not only as one through which students inductively came to an understanding of the fundamentals of law but, more significantly, as an excellent way to train the legal mind. Advocates began to argue that the method sharpened analytical ability and powers of reason. One wrote that: The student is required to analyze each case, discriminating between the relevant and the irrelevant, between the actual and possible ground of decision. And having thus discussed a case he is prepared and required to deal with it in its relation to other cases. In other words, the student is practically doing as a student what he will be doing as a lawyer. By this method the student's reasoning powers are constantly developed, and while he is gaining the power of legal analysis and synthesis he is also gaining the other object of legal education, namely, knowledge of what the law actually is.11 This shift of emphasis was noted in a study of the case method by Joseph Redlich in a 1914 report to the Carnegie Foundation for the Advancement of Teaching. He noted that the case method had altered the whole concept of legal education from acquainting students with the fundamental principles of the law to training students in characteristically legal thinking—that is, to train students to think legally. As archivists and archival educators develop standards for education and training within our increasingly better defined profession, we should look both at course content and at method. In considering method, the case method as adopted in law schools seems particularly relevant. First, there is some similarity in the nature of the two subjects; second, there is some similarity in the practical application of the two disciplines; and third, professional training in the two fields is conducted for similar purposes. Similarities in the nature of the two subjects, law and archives, seem worth considering. Both fields rest on a small group of important principles. All of us have been taught the importance of provenance, original order, access, preserva- tion, privacy, use, and security. These are the principles upon which the daily 10 Redlich, The Common Law, pp. 15-53. See also Samuel Haber, Efficiency and Uplift (Cambridge, 1964); Samuel P. Hays, Conservation and the Gospel of Efficiency (New York, 1959); Frederick W. Taylor, Principles of Scientific Management (New York, 1914); and Jacob H. Landman, "Anent the Case Method of Studying Law," New York University Law Review, April 1927, pp. 139-60. 11 Redlich, The Common Law, p . 24. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.41.1.766351070x1432pu by C arnegie M ellon U niversity user on 06 A pril 2021 CASE METHOD 41 activities of the professional archivist rest. They are not rules easily learned, but rather principles applied day in and day out. Often the essence of some princi- ples contradicts the essence of others, forcing the archivist to render judgments and decisions which strike an appropriate balance. The balance is based on specific institutional requirements and needs. For example, consider decisions which must balance the need for preservation yet satisfy requests for use of materials, or which must balance donor restrictions with researcher access. To what are these principles applied? They are applied to the records and papers of society. As the principles of law are applied to society as it evolves in all its complexity, so the principles of archives are applied to that same society, as its records evolve, and in all the complexity of those records. As the constant ebb and flow of social relationships prevents the principles of law from becoming a list of rigid rules, so too the changing recordkeeping practices reflecting the ebb and flow of social change prevent basic archival principles from becoming easily applied rules. As a result, the practical application of legal principles and the practical appli- cation of archival principles reveal some similarities. In a court of law, legal principles are applied as necessary on a case basis. The facts of each legal ques- tion raise specific legal issues which then must be settled on the basis of the facts, a familiarity with the relevant principle, and a sense of relevant precedents. A decision might mirror the precedent, or the facts might be such as to overturn the precedent. Similarly, the archivist is called upon to render judgments on specific collections or in specific administrative situations. Often the facts of each situation are similar to facts of situations previously encountered, necessitating only an application of principles based on precedent. Often too, however, the facts of a specific situation, whether it be a sorting question, an appraisal prob- lem, or a question of access, really bear no likeness to those previously encoun- tered. And I would argue that the bulk and complexity of contemporary records and papers provide countless new situations for the archivist. In cases where no reliable precedent can be found relevant, the archivist must then render a new and precedent-setting judgment for a course of action. If we regard ourselves as a corps of professionals, then such judgments should be well-reasoned and based on a familiarity with the nature of archival principles as they have been applied through time. In other words, the archivist in the conduct of professional mat- ters both routine and unusual must have the training and capacity to think archivally. If the nature of the fields of law and archives bear similarity, and if the practical application of the subjects are similar, then it seems logical to suggest that preparation for the two fields might be similar as well. In law, the object of training by the case method is to equip young lawyers with the ability to reason the applicability of legal principles in specific cases or situations. The case method provides a practice forum in which the student can encounter specific problems and applications and thus see firsthand how legal reasoning is applied in specific instances. Education and training should not therefore be abstract and removed from the day to day activities of the law, but should be conducted through the "original sources of the law." As Langdell said on one occasion, "Education is not stuffing or cramming, but drawing out the mind."12 In order 12 Ninth Report of the Harvard Law School Association (Cambridge, 1895), p. 79. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.41.1.766351070x1432pu by C arnegie M ellon U niversity user on 06 A pril 2021 42 THE AMERICAN ARCHIVIST—January 1978 to prepare archivists to face the world of contemporary records and modern archival repositories, I would suggest that the methods of education and training should provide students with case material not from one specific institution but from many institutions. So equipped, a student can more readily see the diversity of practice among our institutions, and can reason, through the variety of appli- cations extant among archival institutions, to a relatively few fundamental prin- ciples. Most important, such an approach, by de-emphasizing texts or the "how we do it here" approach, will assist in developing analytical abilities necessary in dealing with practical archival decisions. Moreover, such an approach will set firmly in young minds the basic fact that the administration of archives is an activity governed not by easily stated rules or dogma, but by decisions based on reasoned interpretation of principles. In recalling the memory of C. C. Langdell, Sir Frederic Pollock capsulized the essence of the case method: "Decisions are made, principles live and grow. One hundred others can give us rules, he gives us the method and the power that can test the reason of Rules."13 The logistics of adopting the case method as standard training in the law was a comparatively easy matter. For centuries, reported cases had been accumulated from which significant decisions could be drawn. In archives we have no similar literature upon which to draw, but that should not be a deterrent. In the 1920s, as schools of business administration discussed appropriate curricula for pro- fessional training of businessmen, the case method was debated. One of the chief arguments against its adoption was the lack of good case materials. Also, it was argued that it was "impossible that business discussions of business problems should possess an authority comparable to the opinion of the court or that the decision arrived at with reference to a business problem should have weight comparable to the decisions of a court."14 Yet the case method impressed many business educators, and in the 1930s and 1940s it was adopted in the course offerings of a number of business schools. It was developed further at the Har- vard Business School where a systematic effort was made to accumulate case materials. At first the thrust of the case method in business schools was historical. Norman S. B. Gras and Henrietta Larsen compiled their Casebook in American Business History in which they sought to provide students with a laboratory of business experience drawn from centuries of business practice.15 With this mate- rial students could analyze decisions and discuss situations. This historical ap- proach, though popular in the 1930s and 1940s, was abandoned for a situations approach which stressed "real life" situations.16 Rather than a reasoned decision, the business approach emphasized the facts of a case as posing a problem waiting for a solution in response. The case was to be a pedagogical tool to prepare business students to make decisions. Unlike the case approach to training in the law, which stressed the need for legal reasoning based on fundamental principle, the business case stressed the need for quick decision, decision under pressure, and decision based on the fact of the matter. The case approach has become, in some schools, a very popular method of training business students. However, it has not been universally adopted. I cite it at this time to point out that the 13 Ibid., p. 17. 14 Wallace B. Donham, "Business Teaching by the Case System," American Economic Review, vol. 12, 1922, pp. 53-65. 15 Norman S. B. Gras and Henrietta Larsen, Casebook in American Business History (New York, 1939). 16 Paul R. Lawrence, "The Preparation of Case Material," in Kenneth R. Andrews, ed., The Case Method of Teaching Human Relations and Administration, (Cambridge, 1953), p . 216. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.41.1.766351070x1432pu by C arnegie M ellon U niversity user on 06 A pril 2021 CASE METHOD 43 method can be developed even when no substantial amount of published case material exists. Case material was gathered specifically for use in the classrooms of business schools, with much of it in loose-leaf form at First. However, publica- tions such as R. M. Hower and J. D. Glover's in 1949, The Administrator: Cases on Human Relations in Business, have established models for casebooks in business which emphasize the realities of the business environment. Many business casebooks have appeared on business problems since that time.17 The concept also has been tried in the field of library science, another discipline with no tradi- tion of case reporting. In the light of developments in legal and business professional education and training it seems to me that serious consideration of the case method could serve the archival profession in two significant ways. First, based on the experience of other professions, the method has proved an excellent pedagogical tool for training. The method encourages systematic reasoning and analysis by students in working through specific case situations or in evaluating specific decisions reported. If series of cases representative of key archival problems could be accumulated, then students could witness not only what the archivist does, but, more important, how the archivist thinks about what he or she does and for what reasons the archivist makes the decisions he or she does. In effect, the method can develop the ability to think through archival problems in a systematic and intelligent manner. This kind of background will serve well those who must make decisions in the increasingly complex task of administering modern manu- script collections and archives. Secondly, development of the case method can, I believe, be of service to the profession as a whole. Systematic reporting of unusual or innovative decisions made in specific cases in archival practice would form the raw material from which cases for study could be drawn. These cases could be briefly stated, de- scribing the facts of a situation or the details of a specific collection, decisions made and the reasons why a specific decision was made. This kind of reporting would be most useful, I think, in the areas of access, appraisal, arrangement, description, and conservation. There are no simple rules in these areas, only principles to be applied in specific situations. The application of these principles requires ingenuity and creativity. Collected reported cases in these areas would provide both students and professionals with creative insights into the decision- making process at archival institutions other than their own. A year ago we at the Bentley Library reported a sampling decision which arose from work with a very large collection of lumber records.18 The decision was by no means to be considered the solution for large business collections, but rather a solution based on one particular line of reasoning. The case raised many more issues than our sampling solution was able to solve easily. Case reporting along these lines is a brief, simple, and efficient way for institutions to communicate with one another just exactly how they are coping with modern archival problems; not just what is being done, but for what reasons decisions are reached. The structure of a casebook as a teaching tool should be limited in scope and centered on three or four particularly gray areas of archival practice, such as ap- 17 J. D. Glover and R. M. Hower, The Administrator: Cases on Human Relations in Business (Chicago, 1949). 18 Larry Steck and Francis Blouin, "Hannah Lay & Co.: Sampling the Records of a Century of Lumbering in Michigan," American Archivist 39 (January 1976): 15-20. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.41.1.766351070x1432pu by C arnegie M ellon U niversity user on 06 A pril 2021 44 THE AMERICAN ARCHIVIST—January 1978 praisal, access, and processing. The complex area of conservation might warrant a separate volume. Case format should be uniform, emphasizing four areas: (1) a brief description of the institution involved, with care taken to preserve confi- dentiality when the nature of the case requires it (e.g., a state archival facility, total holdings 5000 feet, staff 7 F.T.E.); (2) a statement of the facts relevant to the specific problem or issue of the case (e.g., a description of a collection as re- ceived); (3) a statement of the solution arrived at; and, most important, (4) the argument behind the decision. The most challenging task of casebook preparation is that of selection. The ideal selections would be representative of the variety of issues and of institu- tional practice relating to a specific theme. A casebook can never suggest all possible issues or situations, but it can, through judicious selection, present sig- nificant issues, problems, and ideas with which a student can interact. A casebook is not a text but rather a teaching tool providing raw material for the student to use in sharpening analytical abilities and learning to think in a systematic way about evolving principles. Since issues are constantly debated and practice varies widely, the case mate- rials should be updated and supplemented frequently. If practicing archivists could occasionally submit case studies and analyses to archival journals, then courses of instruction based on the method would be continually nourished with new and updated perspectives on archival problems. Moreover, a continuous generation of case material would prevent the casebook from becoming a rigid or standard set of cases or a set model for archival practice. As the profession moves toward standardization of curricula for professional education and training, serious consideration should be given to method as well as to content. Many professions, in the course of development, have debated these issues. The debate should not be in vain, for the purpose is to be certain that in the process of educating aspiring archivists we equip them to confront intelligently the complexities of modern archives administration. This means, I think, that we as archival educators should not only train people to do what we do, but, more important, to educate students to think and reason archi- vally. PAPER RESTORING W e a r e now accepting damaged maps, prints, books, and all types of paper for restoration in our modern laboratory. Archival techniques, modern equipment, experienced technicians. Send items for quotation to: B. Gimelson Paper Restoration Lab 96 S. Limekiln Pike, Chalfont, PA 18914 D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.41.1.766351070x1432pu by C arnegie M ellon U niversity user on 06 A pril 2021 
work_fq2a3cktdfcprfdssk3v3j4kgy	----	19: Interdisciplinary Studies in the Long Nineteenth Century Login | Register Home About 19 Live Articles Issues Contact Start Submission Account Login Register Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 This issue of 19 explores the contribution of women as collectors from the mid-nineteenth century to the aftermath of the First World War, paying particular attention to the cosmopolitan transfer of artworks, ideas, and expertise between Britain, France, and the United States. The authors reflect on women’s role in acquiring, displaying, and donating works of art, often in ways that crossed national borders or that subvert gendered assumptions about taste. Beyond its value as a form of personal expression, the articles reflect on how far collecting provided women with a public platform in the late nineteenth century, enabling them to shape the contents of cultural institutions and promote new types of inquiry. But the articles also cast light on the archival and methodological reasons why women’s crucial contributions in this domain have so often been obscured. The idea for this issue originated with the study days organized in 2019 to celebrate the philanthropy of Lady Wallace, who gifted the collections of the Hertford family to the nation. Cover image: Detail of William Rothenstein, The Browning Readers, 1900, oil on canvas, 76 × 96.5 cm, Cartwright Hall Art Gallery, Bradford. Editors: Tom Stammers (Guest Editor) Introduction Women Collectors and Cultural Philanthropy, c. 1850–1920 Tom Stammers 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 Article ‘Life was a spectacle for her’: Lady Dorothy Nevill as Art Collector, Political Hostess, and Cultural Philanthropist Caroline McCaffrey-Howarth 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 Beyond the Bowes Museum: The Social and Material Worlds of Alphonsine Bowes de Saint-Amand Lindsay Macnaughton 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 French Taste in Victorian England: The Collection of Yolande Lyne-Stephens Laure-Aline Griffith-Jones 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 Unmasking an Enigma: Who Was Lady Wallace and What Did She Achieve? Suzanne Higgott 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 More than Mere Ornaments: Female Visitors to Sir Richard Wallace’s Art Collection Helen C. Jones 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 New Collections for New Women: Collecting and Commissioning Portraits at the Early Women’s University Colleges Imogen Tedbury 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 Ellen Tanner’s Persia: A Museum Legacy Rediscovered Catrin Jones 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 The Artistic Patronage and Transatlantic Connections of Florence Blumenthal Rebecca Tilles 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 A Woman of No Importance?: Elizabeth Workman’s Collection of Impressionist and Post-Impressionist Art in Context Frances Fowle 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 Afterword Afterword Kate Hill 2021-01-05 Issue 31 • 2021 • Women Collectors: Taste, Legacy, and Cultural Philanthropy c. 1850–1920 Created by potrace 1.14, written by Peter Selinger 2001-2017 | 1755-1560 | Published by Open Library of Humanities | Privacy Policy Sitemap Contact Login 
work_fsapntup3fbq3dn3prqdnzrryi	----	Terra Incognita: Mapping the Antipodes before 1600 (review) Terra Incognita: Mapping the Antipodes before 1600 (review) Judith Collard Parergon, Volume 26, Number 1, 2009, pp. 237-239 (Review) Published by Australian and New Zealand Association of Medieval and Early Modern Studies (Inc.) DOI: For additional information about this article [ This content has been declared free to read by the pubisher during the COVID-19 pandemic. ] https://doi.org/10.1353/pgn.0.0149 https://muse.jhu.edu/article/362881 https://doi.org/10.1353/pgn.0.0149 https://muse.jhu.edu/article/362881 Reviews 237 Parergon 26.1 (2009) to the fore little-studied material and bringing new insights to more familiar texts. It thus makes both a valuable introduction to work on Old Norse mythology for the relative newcomer, and a stimulating addition to the field for the more experienced. Hannah Burrows Department of English University of Sydney Hiatt, Alfred, Terra Incognita: Mapping the Antipodes before 1600, London, British Library Publishing, 2008; cloth, pp. xii, 298; 47 b/w illustrations, 8 colour plates; ISBN 9780712349314. In recent years there has been a burgeoning of publications focussed on medieval map-making. Books by Evelyn Edson, Catherine Delano-Smith and Roger J. P. Kain and Naomi Reed Klein, amongst others, have done much to open up this material to a broader range of readership, beyond those interested in the history of cartography. Art historians, literary scholars and those involved in the history of science have begun exploring this material in a more nuanced way. The British Library has published some of the most interesting of these texts, including both this work and Hiatt’s previous book, The Making of Medieval Forgeries, that included a discussion of John Hardyng’s maps of Scotland. Medieval diagrammatic representations of the world, the mappae mundi, have been one important strand in recent research. Such maps are less a geographically precise measure of the world and more a symbolic one. In this book, Hiatt focuses less on these visual representations, although these continue to constitute a significant element in his discussion. Instead he examines these works within the wider context of scientific, philosophical and theological thought from the Classical to the Early Modern periods. Having first encountered the weirdly speculative maps of terra australis in primary school, it is fascinating to read Hiatt’s tracing of the idea of the antipodes from the classical period. As he points out, the concept of the ‘antipodes’ is a product of classical Greek geometry. The term means literally ‘with feet against’, referring to the people who live opposite to the known world. It was not originally limited to a north-south dichotomy, encompassing east-west as well. Given that maps were often ‘orientated’, with the east at the top, this is not so surprising. 238 Reviews Parergon 26.1 (2009) The appearance of a southern land is first depicted visually in zonal maps. The division of the planet into five distinct zones, apparently invented by Parmenides in the fifth century BCE, can be found in works from both antiquity and the Middle Ages. These zones consisted of two frigid, uninhabitable zones at either end of the earth, around the poles, a central zone of intolerable heat and two temperate zones in either hemisphere. It is a conceptionalization anchored in both symmetry and logic. The fifth-century Martianus Capella proved through geometry that the world was a sphere with two hemispheres. Christian responses to these scientific theories were mixed. Augustine was troubled by the idea that there might be people beyond the reach of Christianity, separated by an impenetrable zone of heat at the equator. While this was theologically challenging, he was prepared to conceive of these lands as being inhabitable. Tertullian and Origen were more accepting; the latter regarded the antipodes as a sign of both divine knowledge and human ignorance. Lactantius was at his most extreme in his rejection of classical science in general. He explains as he ridicules the Stoic process of ‘hypothesising false positions from false suppositions’. In Chapters 5 and 6, Hiatt outlines the shifting attitudes to both the idea of the antipodes and of the physical makeup of the world. Although Christopher Columbus’ epic journey is included, his achievement is grounded within this wider context of discovery and debate. After all, in a world that knew the writings of Marco Polo and John Mandeville, the idea of searching for a world beyond the known seems less suicidal, even while being an act of remarkable boldness. Hiatt brings into his discussion such significant proto-scientists and theologians as William of Conches and Roger Bacon. Bacon argued for the importance of geography in theological terms, referencing both exegesis and conversion and the Antichrist. His scientific reasoning, in which he explores the physicality of the world, draws on Aristotle, the Old Testament and Church Fathers. Another strong element in Hiatt’s discussion is the political interests of both royal and ecclesiastical power. Throughout the very different periods covered, the role of the antipodes as a site for critique of European values is also referenced, including the satirical writings of Lucian and Seneca as well as Thomas More’s Utopia. In the final section, however, we also enter the more familiar territory with the impact of exploration and cartographical science, of Mercator and the continuously changing shapes found on globes and splendid printed Dutch Reviews 239 Parergon 26.1 (2009) maps. Yet, despite the growing knowledge gained through increasing contact with other lands, both in the New World and South-east Asia, speculative representation of the antipodes persisted. This is a very useful compendium of ideas and information about historical geography and science. The scholarship is exemplary and the range of sources drawn on is masterful. This is a beautiful looking book, well illustrated with clear manuscript and printed images of early maps and diagrams. I know that this is one work I will be continually consulting. It is also one that I will be recommending to colleagues working on Australian and New Zealand history. Judith Collard Department of History and Art History University of Otago Howe, Elizabeth Teresa, Education and Women in the Early Modern Hispanic World (Women and Gender in the Early Modern World), Aldershot, Ashgate, 2008; hardback; pp. xvi, 240; 12 b/w illustrations; R.R.P. £55.00; ISBN: 9780754660330. In her preface to this well-researched study, Elizabeth Howe suggests that, though under-represented in the early modern Hispanic literary world, some women did ‘take up the pen’ and this fact raises questions about their education and their roles as advocates for the education of other women (pp. x-xi). The first chapter traces classical ideas which ‘came to fruition in the Renaissance’ (p. 1), along with biblical exempla, which Patristic writers like Saint Jerome appropriated, passing over female heroism and other so-called ‘masculine’ or ‘Amazonian’ traits while praising the female ‘embrace of chastity’ (p. 7). Howe also addresses the Renaissance ‘querelle des femmes’, discussing Boccaccio and Jean de Meun, and their respondent, Christine de Pizan, who argued, in the Book of the City of Ladies (1404), that women’s ‘natural curiosity’ equips them for intellectual pursuits (p. 15). Indeed, Howe shows that intellectual women routinely hijacked patriarchal arguments about gender difference. Thus, Sor Juana de Cartagena argued that, just as it is ‘easier to accept eloquence in a woman than physical strength … it is easier for a woman to wield a pen than the sword’ (p. 27). Likewise, when female dramatist Maria de Zayas (1590-1661/9) revisited ‘the question of educating women’, she maintained ‘women’s aptitude for letters’ (p. 145). HistoryItem_V1 DefineBleed Range: all pages Request: bleed all round 26.36 points Bleed area is outside visible: no 38.5512 1 26.3622 26.3622 0 0 26.3622 Fixed Both AllDoc CurrentAVDoc 26.3622 QITE_QuiteImposingPlus2 Quite Imposing Plus 2 2.0 Quite Imposing Plus 2 1 0 318 317 318 1 HistoryList_V1 qi2base 
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work_fvcolwf3zfgl5deva4ebgs7nwq	----	PII: S0925-4439(97)00005-7 Ž .Biochimica et Biophysica Acta 1360 1997 241–246 Association of malaria with inactivation of a 1,3-galactosyl transferase in catarrhines Ranjan Ramasamy ), Rupika Rajakaruna Molecular Biology and Immunology Laboratories, DiÕision of Life Sciences, Institute of Fundamental Studies, Hantana Road, Kandy, Sri Lanka Received 5 December 1996; accepted 10 January 1997 Abstract Ž . ŽPresent-day catarrhines old world monkeys and hominoids lack Gal a 1-3 Gal b 1-4 GlcNAc-R structures a-galactosyl . Ž . Ž .epitopes and produce the corresponding anti-galactosyl antibodies anti-gal , while platyrrhines new world monkeys and non-primate mammals possess a-galactosyl epitopes and lack anti-gal. Anti-gal is shown to inhibit Plasmodium falciparum growth in culture in a concentration dependent manner, probably by binding to a-galactosyl epitopes on merozoite surface molecules and causing complement mediated damage. A P. falciparum-like malaria parasite may therefore have selected for the inactivation of an a 1-3 galactosyl transferase in catarrhines. The implications of the results for the development of clinical immunity to falciparum malaria are briefly discussed. Ž .Keywords: Anti-galactosyl antibody; a-Galactosyl epitope; Galactosyl transferase; Malaria; Primate evolution; Plasmodium falciparum 1. Introduction Malaria due to Plasmodium falciparum has ex- erted selective pressure on human populations at the w xlevel of globin 1 , major histocompatibility complex Ž . w xMHC 2,3 and glucose 6-phosphate dehydrogenase w x4 genes. The MHC class I antigen HLA-Bw53, which is common among west and central Africans but rare in caucasians and orientals, affords 40% Abbreviations: anti-gal, anti-galactosyl antibodies; a-galacto- syl epitope, Gal a 1-3 Gal b 1-4 GlcNAC-R; a 1,3 GT, a 1,3 galactosyl transferase; MHC, major histocompatibility complex; mya, million years ago; rbc, red blood cells. ) Corresponding author. Fax: q94 8 232131; E-mail: ranjan@ifs.ac.lk protection against cerebral malaria or severe malaria- w xinduced anaemia 2 . The molecular basis for this protection has been ascribed to HLA-Bw53 restricted recognition of an epitope on a P. falciparum liver- w xstage specific antigen by cytotoxic T cells 3 . Gal Ža 1-3 Gal b 1-4 GlcNAc-R structures termed a- .galactosyl epitopes are absent in old world primates Ž .including man the catarrhines but common in gly- colipids and glycoproteins of new world monkeys Ž . w xthe platyrrhines and non-primate mammals 5,6 . Correspondingly, natural antibodies to the a- Ž .galactosyl epitopes termed anti-gal are present in catarrhines and absent in platyrrhines and non-primate ww xmammals 6 , Ramasamy, R. and Rajakaruna, R., xunpublished data . Inactivation of an a 1-3 galactosyl Ž .transferase a 1,3 GT in the Golgi of catarrhines is 0925-4439r97r$17.00 Copyright q 1997 Elsevier Science B.V. All rights reserved. Ž .PII S 0 9 2 5 - 4 4 3 9 9 7 0 0 0 0 5 - 7 ( )R. Ramasamy, R. Rajakaruna r Biochimica et Biophysica Acta 1360 1997 241–246242 w xresponsible for the difference 7 and it has been w xspeculated that a pathogen 7 , possibly a malaria w xparasite 8,9 , may have been the cause. We provide evidence that a P. falciparum-like parasite could have exerted the necessary selective pressure to inac- tivate a 1,3 GT. A preliminary report of this work was presented at the Biochemical SocietyrBritish Society for Immunology joint congress in Harrogate, UK in December 1996. 2. Materials and methods 2.1. Preparation of anti-gal antibodies and anti-gal deficient serum Thirty ml AB serum from donors with no known Žmalaria exposure and 7 ml pools of sera of unknown .blood groups from malaria-endemic Weheragala vil- lage with antibodies to P. falciparum merozoite sur- w xface proteins 10 were sequentially passed through a 2 ml control silica column and a 2 ml Gal a 1-3 ŽGal b 1-4 GlcNAc-R Synsorb column Chembiomed, .Edmonton, Canada for affinity purifying anti-gal antibodies. The columns were washed extensively in Ž .0.01 M phosphate buffered saline, pH 7.2 PBS . Proteins bound to the control silica and Gal a 1-3 Gal b 1-4 GlcNAc-R columns were then eluted with 3 ml 0.1 M glycine-HCl buffer, pH 3.0 to yield the control w xand anti-gal eluates respectively 11,12 . The two parallel eluates were neutralised with 0.1 M NaOH, dialysed extensively against the same batch of RPMI 1640 and sterilised by filtration through 0.22 mm filters. Anti-gal activity in the two eluates were deter- mined by direct haemagglutination of 5% haematocrit w xrabbit red blood cells 11 . Different preparations of anti-gal and control eluates had haemagglutination titres of 32–2000 and 2–64 respectively, with the anti-gal titre being always greater than that of the corresponding control. Analysis of anti-gal by SDS- PAGE revealed mainly IgG in anti-gal with traces of IgM and other serum proteins and a total protein concentration of 32–172 mg mly1 in different prepa- rations. Control eluates contained mainly IgM with traces of IgG and other serum proteins. AB serum that had been sequentially passed through the silica and oligosaccharide columns was used as anti-gal deficient serum for parasite cultures. [ 3 ]2.2. H hypoxanthine incorporation assay for deter- mining parasite growth inhibition Ž .P. falciparum 3D7 isolate was routinely main- Ž .tained in culture in 0 q red cells rbc and RPMI 1640 supplemented with 10% AB q human serum, 22 mM Hepes, 24 mM sodium bicarbonate and 10 mg mly1 gentamicin in an atmosphere of 5% 0 , 5%2 w xCO , 90% N at 378C 13,14 . P. falciparum was2 2 adapted to grow in anti-gal deficient AB serum for parasite growth-inhibition experiments. Late stage parasites were obtained from cultures by gelatine w xsedimentation 15 . For a given experiment, different eluates in RPMI 1640 were used to prepare complete medium containing 10% of the same anti-gal defi- cient serum to which the parasites were culture- adapted. Parasites at 0.5%–1.0% parasitaemia in dif- ferent experiments were then added to the medium to yield 5% haematocrit, and 100 ml aliquots dispensed into sterile 96 well culture plates in 4–8 replicates and incubated in an atmosphere of 5% CO , 95% air2 w 3 xat 378C. Twenty four hours later, 5 mCi H hypo- Ž .xanthine Amersham in 100 ml RPMI 1640 was w xadded to each well as described 14 . At 48 h, the cells were harvested onto Millipore glass fibre filters, the DNA precipitated with ice-cold 5% trichloro- acetic acid and washed in 70% ethanol, and radioac- tivity in the DNA determined by liquid scintillation counting. 2.3. Microscopic determination of parasite growth inhibition Late stage 3D7 parasites were cultured as de- scribed above in the presence of anti-gal and control column eluates isolated from immune serum from w xanother malaria endemic village, Nikawehera 16 . Smears of cultures were obtained at 24h and 48h after initiation of culture, stained with Giemsa and the proportions of different parasite stages deter- mined by microscopy. The anti-gal used in this exper- Ž .iment produced 41% inhibition P - 0.001 when compared to the corresponding control antibodies, in w 3 xa parallel H hypoxanthine incorporation assay. 2.4. Requirement for complement An aliquot of the anti-gal deficient AB serum used to grow parasites was heated to 568C for 30 min to heat inactivate complement. Parallel cultures were ( )R. Ramasamy, R. Rajakaruna r Biochimica et Biophysica Acta 1360 1997 241–246 243 then set up as described using the complement inacti- vated and normal anti-gal deficient sera to each of which were added the same preparation of anti-gal and control antibodies. 3. Results Anti-gal isolated from immune and non-immune human sera inhibited the re-invasion and growth of P. falciparum in cultures grown in AB serum de- pleted of anti-gal. The results of two experiments with seven different preparations of anti-gal are given in Table 1. Pooling results from several experiments, w 3 xit was observed that anti-gal inhibited H hypo- xanthine incorporation in 19 out of 22 tests when compared to the corresponding controls. In 11 out of 19 tests the inhibitions were statistically significant at P F 0.05 by the t test. Microscopic determination of the numbers of rings and trophozoitesrschizonts present at 24 and 48 h Žafter adding antibodies to cultures i.e. upto one .complete cycle of rbc invasion and growth indicated that inhibition of merozoite invasion was primarily Ž .responsible for this effect Fig. 1 . The binding of anti-gal but not the control antibodies to P. falci- parum merozoites was demonstrable by immunofluo- rescence on acetone fixed late stage parasites ŽRamasamy, R. and Rajakaruna, R., unpublished .data . Varying the concentration of anti-gal by serial dilution of added antibodies in RPMI 1640 showed that the anti-gal eluate inhibited parasite growth at lower protein concentrations than the control eluate Ž .Table 2 . In a related experiment, the addition of a Ž .human IgG1rkappa myeloma protein Sigma, USA at a concentration of 100 mg mly1 in RPMI 1640 did w 3 xnot significantly inhibit H hypoxanthine incorpora- tion into parasites in comparison to the addition of control eluate from immune serum at a protein con- y1 Žcentration of 88 mg ml 19 486 " 1490 vs 19 820 ." 2075 cpm " S.D. respectively . Table 1 Inhibition of P. falciparum growth by anti-galactosyl antibodies 3Ž . w xAddition protein concn H hypoxanthine Inhibition P incorporation Ž .mean cpm " S.D. Experiment 1 Ž .A i Control medium 9 450 " 316 – – Ž .B i Control eluate from immune serum – pool A 9 991 " 395 – – Ž .ii Anti-gal eluate from pool A 7 644 " 395 23% 0.002 Ž .C i Anti-gal eluate from immune serum –pool B 6 117 " 399 35% 0.0001 Ž .ii Anti-gal eluate from immune serum –pool C 6 894 " 1 403 27% 0.01 Experiment 2 y1Ž . Ž .A i Control eluate from immune serum –pool D 88 mg ml 35 961 " 2 800 – – y1Ž . Ž .ii Anti-gal eluate from pool D 144 mg ml 26 696 " 2 275 17% 0.001 y1Ž . Ž .B i Control eluate from non-immune AB serum –pool E 64 mg ml 34 580 " 3 741 – – y1Ž . Ž .ii Anti-gal eluate from pool E 160 mg ml 31 284 " 2 261 10% 0.05 y1Ž . Ž .C i Control eluate from immune serum –pool F 104 mg ml 39 813 " 2 127 – – y1Ž . Ž .ii Anti-gal eluate from pool F 160 mg ml 34 613 " 596 13% 0.001 y1Ž . Ž .D i Control eluate from non-immune AB serum – pool G 72 mg ml 32 106 " 2 251 – – Ž . Ž y1.ii Anti-gal eluate from pool G 120 mg ml 32 266 " 1 758 0% n.s. w 3 xThe effects of anti-gal and control eluates on P. falciparum growth determined by H hypoxanthine incorporation. Different pools of w 3 xsera used to prepare eluates are labelled A–G. Th immune sera were obtained from Weheragala village. The H hypoxanthine was used at a specific activity of 6 GBq mmoly1 in Exp. 1 and at 200 GBq mmoly1 in Exp. 2 and subsequent experiments. Protein concentrations Ž . w 3 xof eluates are given where available. Significance P of the differences between H hypoxanthine incorporated in the presence of anti-gal and the corresponding control eluates were determined by Student’s t test, except in 1C where anti-gal treatment was compared Ž .to parasites cultured in RPMI 1640 medium containing anti-gal deficient serum without added antibodies control medium 1A . Data represent mean " standard deviation for four or more determinations. n.s. s not significant, P ) 0.05. ( )R. Ramasamy, R. Rajakaruna r Biochimica et Biophysica Acta 1360 1997 241–246244 Table 2 Effect of anti-gal concentration on inhibition of P. falciparum growth 3Ž . w xAntibody protein concn H hypoxanthine Inhibition P incorporation Ž .mean cpm " S.D. y1Ž .1. Anti-gal from immune serum – pool H 108 mg ml 49 821 " 2200 9.5% 0.001 y1Ž .2. Anti-gal from immune serum – pool H 10.8 mg ml 52 052 " 3169 5.5% 0.05 y1Ž .3. Anti-gal from immune serum – pool H 1.1 mg ml 54 256 " 2416 1.5% n.s. y1Ž .4. Control eluate from immune serum – pool H 88 mg ml 55 059 " 998 – Ž .The effect of 10-fold dilutions of anti-gal immune Weheragala sera pool H on P. falciparum growth. The anti-gal was diluted in fresh RPMI 1640 and 100 ml aliquots of the antibodies were added to cultures. Data represent mean " standard deviation of eight replicate cultures. Statistical analyses were done as described in Table 1. Table 3 Role of complement in anti-gal mediated inhibition of parasite growth 3Ž . w xAddition protein concn Serum H hypoxanthine Inhibition P incorporation Ž .mean cpm " S.D. y1Ž .1. Anti-gal from immune serum – pool H 108 mg ml Normal 51 639 " 4 191 17% 0.001 y1Ž .2. Control eluate from immune serum – pool H 88 mg ml Normal 62 158 " 3 776 – y1Ž .3. Anti-gal from immune serum – pool H 108 mg ml Heat inactivated 65 563 " 3 756 0% n.s. y1Ž .4. Control eluate from immune serum – pool H 88 mg ml Heat inactivated 65 280 " 1 756 – The effect of heat inactivating complement on anti-gal mediated inhibition of parasite growth. The anti-gal was prepared from immune Weheragala serum. Data represent mean " S.D. of eight replicate cultures. Statistical analyses were done as described in Table 1 for differences between samples 1 vs. 2 and 3 vs. 4. Ž . Ž .Fig. 1. Effect of control A and anti-gal B eluates from immune Nikawehera serum on growth of P. falciparum deter- mined from Giemsa stained films. Inactivating complement components by heating the anti-gal deficient serum used for culturing the parasites, abolished growth inhibition mediated by Ž .added anti-gal Table 3 . 4. Discussion Terminal a-galactose residues are present on the w x w x185 kDa 17 and 45 kDa 18 P. falciparum mero- zoite surface proteins in O-linked oligosaccharides w x19 or glycophosphatidyl inositol membrane anchors w x18 . The binding of Bandeiraea simplicifolia IB4 lectin to parasite membranes shows that the terminal w xgalactose residues are present in a 1-3 linkages 17 . w x w xAntibodies in non-immune 8 and immune 17,20 human sera have been previously shown to recognise a-galactosyl epitopes in P. falciparum by ELISA or immunofluorescence. Indeed, the binding of natural antibodies in non-immune human sera to P. falci- parum can be inhibited by 0.5 M a-methyl galacto- w xside 8 . The data presented here show that the bind- ( )R. Ramasamy, R. Rajakaruna r Biochimica et Biophysica Acta 1360 1997 241–246 245 ing of anti-gal to merozoite surface proteins inhibits parasite growth through complement mediated lysis of merozoites. It is probable that the in vitro growth inhibition assay underestimates the capacity of anti- bodies to inhibit parasite growth in vivo. Merozoites probably traverse greater distances between rbc in vivo than in the settled layer of rbc in 96 well plates and can therefore be exposed to antibodies for a longer time. Complement mediated lysis is likely to be more efficient in plasma in vivo than in culture medium containing 10% serum in vitro. There is also evidence that monocytes, macrophages and neu- trophils, that were not present in the cultures, can promote antibody-dependent, cell-mediated immunity w xin vivo 21 . The degree of growth inhibition varied between different anti-gal preparations of similar protein con- centration. Differential loss of antibody activity dur- ing preparation and storage and differences in IgG isotype composition and consequently complement fixing ability, may be some of the factors responsible for this variability. The maximum growth inhibition observed with anti-gal is less than the 96% inhibition reported with 121 mg mly1 of an IgG monoclonal antibody directed against a peptide epitope on the w x45kDa merozoite surface antigen 22 . The difference may partly reflect higher affinity and faster binding of anti-peptide antibodies to merozoites. Since mero- zoites invade rbc rapidly, the rate of antibody binding is likely to a critical factor in invasion inhibition. It is possible that a proportion of merozoites that express fewer a-galactosyl epitopes avoid complement medi- ated lysis and that this process can give rise to P. falciparum mutants lacking a-galactosyl epitopes. However the presence of a-galactosyl epitopes in w x w x w xFVO 17 , Honduras 1 8,17 , FC27 8 and 3D7 isolates P. falciparum suggests that the correspond- ing oligosaccharide structures may be conserved be- cause they have a vital function in parasite biology. Analysis of gene sequences indicates that inactiva- tion of a 1,3 GT occurred as two independent events in the two groups of catarrhines viz. old world mon- keys and hominoids, no more than 17–25 million Ž . w xyears ago mya 7 . Plasmodium genus is about 150 w xmillion years old 23 . Analysis of the sequences of small subunit ribosomal RNA and circumsporozoite protein genes show that P. falciparum is closely related to a chimpanzee parasite P. reichenowi w x24,25 . These two malaria parasites form a clade that is more closely related to avian and reptilian malaria Žparasites P. gallinaceum, P. lophurae and P. mexi- . Žcanum than to other primate and human e.g. P. .knowlesi, P. ÕiÕax, P. malariae and P. oÕale or Ž . w xmurine e.g. P. berghei parasites 23–25 . Catar- w xrhines diverged from platyrrhines 30–35 mya 26 . We postulate that during the Oligocene or early ŽMiocene, a P. falciparum-like, non-primate prob- .ably avian or reptilian parasite adapted itself to infect primates in the old world which later led to the inactivation of a 1,3 GT in the hosts. The driving force for inactivation of a 1,3 GT may have been the ability to produce antibodies reactive with a- galactosyl epitopes of the parasite which then con- ferred significant protection against falciparum-like malaria without inducing autoimmunity. It is not possible to extrapolate easily from human anti-gal inhibition of P. falciparum growth in cultures to the selective advantage afforded by anti-gal in early catarrhines, which may have been considerably greater. Since P. falciparum was probably introduced w xinto the Americas after Christopher Columbus 27 , there would have been no similar selective pressure to inactivate a 1,3 GT in platyrrhines. A prediction of this hypothesis viz. that P. falciparum infects platyrrhines more readily than old world monkeys, is w xalready established 28 . Natural anti-gal in non-im- mune humans, like antibodies to blood group A and B antigens, are probably produced as a result of stimulation of the immune system by cross-reactive epitopes on the cell walls of common intestinal bacte- w xria 29 . There is no evidence at present to support an alternative possibility that selection due to a common bacterial pathogen prevalent in the old world, but not in the new world, could have caused the inactivation of a 1,3 GT in catarrhines. The natural anti-gal clearly provides only partial protection against human falciparum malaria. How- ever partial protection against malaria afforded by MHC molecules have produced significant genetic w xchanges in human populations 2,3 . The relevance of anti-gal to strain transcending clinical immunity to falciparum malaria observed in adults living in highly malaria-endemic areas, and the detailed structure of parasite a-galactosyl epitopes and its relationship to the specificity of human anti-gal need to be deter- mined. In this context it is relevant to note that higher ( )R. Ramasamy, R. Rajakaruna r Biochimica et Biophysica Acta 1360 1997 241–246246 levels of anti-gal have been reported in persons living in malaria-endemic areas and in patients with acute w xfalciparum malaria 30 . The human blood group B Ž .epitope has the structure Gal a 1-3 Fuc a 1-2 Gal b 1-4 GlcNAc-R and a subset of anti-B antibodies are w xreported to have anti-gal activity 31 . Hence the possibility that A and O blood groups afford some degree of protection against falciparum malaria re- quires investigation. P. falciparum proteins are presently being investi- gated as the basis of a vaccine against falciparum malaria. Our results suggest that oligosaccharide moi- eties of the parasite may also be useful for this purpose. Acknowledgements We are grateful to Dr. U. Galili for the Synsorb columns and V. Udawatte for secretarial assistance. References w x Ž .1 Allison, A.C. 1954 Trans. R. Soc. Trop. Med. Hyg. 48, 312–318. w x2 Hill, A.V.S., Allsopp, C.E.M., Kwiatkowski, D., Anstey, N.M., Twumasi, P., Rowe, P.A., Bennett, S., Brewster, D., Ž .McMichael, A.J. and Greenwood, B.M. 1991 Nature 352, 595–600. w x3 Hill, A.V.S., Elvin, J., Willis, A.C., Aidoo, M., Allsopp, C.E.M., Goth., F.M., Gao, X.M., Takiguchi, M., Green- wood, B.M., Townsend, A.R.M., McMichael, A.J. and Ž .Whittle, H.C. 1992 Nature 360, 434–439. w x4 Ruwende, C., Khoo, S.C., Snow, R.W., Yates, S.N.R., Kwiatkowski, D., Gupta, S., Warn, P., Allsopp, C.E.M., Gilbert, S.C., Peschu, N., Newbold, C.I., Greenwood, B.M., Ž .Marsh, K. and Hill, A.V.S. 1995 Nature 376, 246–249. w x Ž .5 Spiro, R.G. and Bhoyroo, V.D. 1984 J. Biol. Chem. 259, 9858–9866. w x6 Galili, U., Shohet, S.B., Kobrin, E., Stults, C.L.M. and Ž .Macher, B.A. 1988 J. Biol. Chem. 263, 17755–17762. w x Ž .7 Galili, U. and Swanson, K. 1991 Proc. Natl. Acad. Sci. USA 88, 7401–7404. w x Ž .8 Ramasamy, R. 1988 Indian J. Med. Res. 87, 584–593. w x Ž .9 Ramasamy, R. 1994 Immunol. Today 15, 140. w x Ž .10 Ramasamy, R., Nagendran, K. and Ramasamy, M.S. 1994 Am. J. Trop. Med. Hyg. 50, 537–547. w x11 Galili, U., Rachmilewitz, E.A. Peleg, A. and Fechner, I Ž .1984 J. Exp. Med. 160, 1519–1531. w x12 Galili, U., Clark, M.R., Shohet, S.B., Buehler, J. and Macher, Ž .B.A. 1987 Proc. Natl. Acad. Sci. USA 84, 1369–1373. w x Ž .13 Trager, W. and Jensen, J.B. 1976 Science 193, 673–675. w x14 Ramasamy, R., Kanagaratnam, R., Misiura, K., Rebowski, Ž .G., Amerakoon, R. and Stec, W. 1996 . Biochem. Biophys. Res. Commun. 218, 930–933. w x Ž .15 Jensen, J.B. 1994 Am. J. Trop. Med. Hyg. 27, 1274–1276. w x Ž .16 Ramasamy, R., Nagendran, K. and Ramasamy, M.S. 1995 . Indian J. Med. Res. 101, 66–74. w x Ž .17 Ramasamy, R. and Reese, R.T. 1986 Mol. Biochem. Para- sitol. 19, 91–101. w x Ž .18 Ramasamy, R. 1987 Immunol. Cell. Biol. 65, 419–424. w x19 Nasir-ud-Din, Drager-Dayal, R., Decrind, C., Hu, B.H., Del Ž .Giudice, G. and Hoessli, D. 1992 Biochem. Int. 27, 58–64. w x Ž .20 Ramasamy, R. and Reese, R.T. 1985 J. Immunol. 134, 1952–1955. w x Ž .21 Druilhe, P. and Perignon, J.L. 1994 Immunol. Lett. 41, 115–120. w x22 Epping, R., Jelacic, S., Ingram, L., Upcroft, J., Ramasamy, Ž .R., Bushell, G. and Geysen, H.M. 1988 Mol. Biochem. Parasitol. 28, 1–10. w x Ž .23 Escalante, A.A., Barrio, E. and Ayala, F.J. 1995 Mol. Biol. Evol. 12, 616–626. w x Ž .24 Escalante, A.A. and Ayala, F.J. 1994 Proc. Natl. Acad. Sci. USA 91, 11373–11377. w x Ž .25 Waters, A.P., Higgins, D.G. and McCutchan, T.F. 1991 Proc. Natl. Acad. Sci. USA 88, 3140–3144. w x Ž .26 Fleagle, J.G. 1988 Primate Adaptation and Evolution. Academic Press, London. w x Ž .27 Bruce-Chwatt, L.J. 1965 Bull. WHO 32, 363–387. w x Ž .28 Collins, W.E. 1992 Mem. Inst. Oswaldo. Cruz. 87, 401– 406. w x29 Galili, U., Mandrell, R.E., Hamadeh, R.M., Shohet, S.B. Ž .and Griffiss, J.M. 1988 Infect. Immun. 56, 1730–1737. w x Ž .30 Ravindran, B., Satapathy, A.K. and Das, M.K. 1988 . Immunol. Lett. 19, 137–142. w x Ž .31 Galili, U. 1988 . Transfus. Med. Rev. 2, 112–121. 
work_fwagouynprbrlooy4cqeg3lxnm	----	807-JIH32-3.vp Sickness, Starvation, and Death in Early Hispaniola Cook, Noble David. Journal of Interdisciplinary History, Volume 32, Number 3, Winter 2002, pp. 349-386 (Article) Published by The MIT Press For additional information about this article Access Provided by University of Puerto Rico at 12/13/11 12:03AM GMT http://muse.jhu.edu/journals/jih/summary/v032/32.3cook.html http://muse.jhu.edu/journals/jih/summary/v032/32.3cook.html EARLY HISPANIOLA Noble David Cook Sickness, Starvation, and Death in Early Hispaniola The island of Hispaniola, site of the ªrst European settlement in the New World, has always intrigued historians of the Americas. The Spaniards on Columbus’ ªrst voyage, inauspi- ciously grounded there by the shipwreck of the Santa María, hast- ily constructed the fortress of Navidad, where many of them were to remain when Columbus sailed back to Spain to report his “dis- covery.” Months later, on Columbus’ return with a second ºeet, about 1,500 Europeans ventured to the island, lured by the prom- ise of wealth. The fate of those settlers, as well as that of the is- land’s thousands of Taino inhabitants, provides a case study for encounters between peoples previously isolated from each other. In the 1960s, two interrelated themes based on new historiographical trends stirred fresh scholarly inquiry—the eco- logical impact of the confrontation between the Old and New Worlds and the rapid, almost complete disappearance of the is- land’s aboriginal inhabitants. Historical quantiªcation and demog- raphy suddenly came to the fore. Woodrow W. Borah and Sherburne F. Cook, Essays in Population History (Berkeley, 1979– 1982), 3v., offered data about central Mexico that stimulated new interest in Hispaniola’s population, with hotly contested results. The 1992 quincentenary commemoration of Columbus’ ªrst ex- pedition prompted further investigation. Scholars derived widely different positions about disease and population from the available research, and their discussions were frequently acrimonious. Res- olution of the argument seemed impossible without new evi- dence. In the mid-1980s, nine letters written by Columbus to the monarchs from 1492 to 1503 turned up in the hands of a book- Journal of Interdisciplinary History, xxxii:3 (Winter, 2002), 349–386. Noble David Cook is Professor of History, Florida International University. He is the author of Born to Die: Disease and New World Conquest, 1492–1650 (New York, 1998); Demographic Collapse: Indian Peru, 1520–1620 (New York, 1981). The author thanks William M. Denevan, Juan Gil, Massimo Livi-Bacci, W. George Lovell, Consuelo Varela, and Alexandra Parma Cook for critical comments on various drafts of this article, as well as an anonymous reader for help in ªne-tuning the argument. © 2001 by the Massachusetts Institute of Technology and the editors of The Journal of Interdisciplinary History. Ana González Highlight seller in Tarragona, Spain; six of them held information previously unknown. These manuscripts, referred to as the “libro copiador,” are now housed in the General Archive of the Indies in Seville. Although the new documents do not change our fundamental un- derstanding of early Spanish exploration and settlement of the Ca- ribbean, they do clarify some of the details. The new information presents a sharper picture of both European and Taino health con- ditions relating to the second expedition to Hispaniola, speciªcally mentioning the diseases of syphilis, modorra, malaria, and small- pox. The value of this documentary cache has been ignored until recently, largely because of its publication history. The ªrst edition of the letters, by Antonio Rumeu de Armas, El libro copiador de Cristóbal Colón (Madrid, 1988–1989), 2v., was ºawed by incom- plete pages and incorrect transcription. The letters were later in- cluded in a modiªed version of the standard set of Columbus documents—Consuelo Varela and Juan Gil (eds.), Cristóbal Colón. Textos y documentos completos (Madrid, 1992)—but many libraries did not purchase this new volume, believing it to contain only mi- nor changes from its predecessors. Varela and Gil’s ªrst compila- tion under that title had appeared in 1984; a revised second edition came out two years later, with a few additions and deletions. The copyright page of the critical 1992 edition, with the new Colum- bus letters, refers to the work as an “expanded second edition.” Just pages later, however, a section entitled “Prologue to the Third Edition” follows (11). No wonder the confusion about whether the book had anything substantially new to offer. None- theless, a careful comparison of this source with other published materials coming from the Columbus voyages, if not decisive in the matter of disease and population, undoubtedly provides much food for thought. setting the stage: the jeronymite inquiry In April 1517, an inquiry into the condition and preservation of the remaining aboriginal inhabitants of the island of Hispaniola began in the city of Santo Domingo. The inquiry was conducted under the direc- tion of a small group of Jeronymite friars, who had been named to take over the administration of the island. They were ordered to conduct a count of the number of native chiefs (caciques) and In- dians that still remained and to determine the most effective way 350 | NOBLE DAVID COOK Ana González Highlight Ana González Highlight to control them. Numerous people testiªed, including secular priests, clerics of other orders, administrative ofªcials, and settlers. The Crown wanted to know whether the caciques and the natives could govern themselves and maintain the viability of the colony for the European settlers. Would the Taino, the island’s free peo- ple, work as Spanish peasants and laborers did? Could, or should, they be congregated into European style villages nearer the colo- nists, the better to indoctrinate them in the faith and “civilize” them, according to Old World standards? The upshot was that en- slavement or some form of directed labor and coercion might be necessary for the colony to survive.1 The inquiry took place just a few months before the devastat- ing and well-documented epidemic of smallpox that swept away much of the remaining native population. Some of the witnesses had come with the second Columbus expedition twenty-four years earlier. Others were more recent arrivals to the island. The majority argued that the natives were lazy and undependable— even dangerous—and that they could never live as “civilized” Eu- ropeans, though a few suggested that, with freedom and Chris- tianity, they could become equal citizens. All those assembled for the inquiry were worried about the island’s fate. In spite of a generation of settlement, the European population in 1517 was not large, well under 4,000. The gold pro- duction that showed much promise in the ªrst years never lived up to expectations, and no other quick and easy alternatives for acquiring wealth had presented themselves. The planting, harvest- ing, and reªning of sugar was still developing as a viable economic base, but sugar plantations required a large and secure labor force. The local labor force, however, was hard to direct, and, worse, it was declining rapidly. Slaves from other islands, and even the more distant mainland—not to mention a small number from Af- rica—had already been imported to replace those who were dy- ing.2 Three years earlier, the Crown had directed town ofªcials to prepare a list of the natives that each resident had under his con- EARLY HISPANIOLA | 351 1 Friars Bernardino de Manzanedo, Luis de Figueroa, and Alonso de Santo Domingo— who conducted the inquiry—landed on Hispaniola on December 20, 1516, after a voyage of only a month. Frank Moya Pons, La Española en el siglo XVI: 1493–1520. Trabajo, sociedad y política en la economía del oro (Santo Domingo, 1978), 196–207. 2 Moya Pons, Española en el siglo XVI, 152–172. trol. Registration was mandatory, and the penalties for non-com- pliance were severe. Furthermore, two people in each town were to be named to conduct an inspection of the estancias, mines, and Indian villages, and to prepare a “census” of the Indians, by occu- pation, age, sex, and capacity to work. The speciªc categories were: “caciques, naborías, indios de servicio, niños and viejos.” By the end of the census two months later, 733 people had received grants of natives, who ofªcially numbered 25,303. That only 1,592 of the total count were listed as “niños,” or young children, reºects the demographic crisis affecting the native population of the island.3 No one is certain of the number of Taino living on the island when Columbus ªrst arrived in December 1492. Bartolomé de las Casas, who did not reach the island until 1502, reported numbers that range from 1 to 3.5 million. Since he was a master of hyper- bole, whose principal concern was the protection of the Amerindians, his high numbers cannot be trusted. One witness at the inquiry of 1517, Inspector Juan Mosquera, who came to the is- land with Governor Nicolás de Ovando in 1502, testiªed that the three distributions of natives among the Spanish settlers that he experienced had resulted in “much harm done to the land and many Indians.” Another, Licentiate Christobal Serrano, who also came to the island in 1502, reported that some lords had as many as “thirty and forty and ªfty thousand naborías under their charge.” Whatever the number of Amerindians at ªrst contact— ªgures given since the last half of the twentieth century range from 60,000 to over 8 million—scholars agree that the Taino did not survive well under the inºuence of the Old World. Sickness, starvation, murder, and exploitation seem to have been their lot. All accounts by the Europeans that come from the ªrst years of re- connaissance and settlement report the substantial loss of Taino and Spanish lives.4 “paradise” gained and lost There is increasing evidence that the impact of the encounter between previously isolated eco- 352 | NOBLE DAVID COOK 3 Ibid., 156–160. 4 Emilio Rodríguez Demorizi (ed.), Los Dominicos y las encomiendas de indios de la isla Española (Santo Domingo, 1971), 282, 299. William M. Denevan (ed.), The Native Population of the Americas in 1492 (Madison, 1976; 2d ed., 1992), xxiii–xxiv, and Cook, “Disease and the Depopulation of Hispaniola, 1492–1518,” Colonial Latin American Review, II (1993), 214–220, summarize the debate over “numbers.” systems of the Americas and the Old World was massive. But be- cause of the relatively small number of Europeans who were with Columbus on the ªrst venture, as well as their limited contact with coastal peoples of the islands during the three months from October 1492 to January 1493, it was not felt immediately. The exception was the likely transfer of New World syphilis, which hit Europe in epidemic proportions with the return of the men of the Pinta and Niña. Not until the second expedition, consisting of 17 ships and approximately 1,500 adventurers, did the ecological bar- rier of the Atlantic Ocean break and the explosive transformations begin. Thanks to new information on the second Columbus ex- pedition, especially the admiral’s Relación del segundo viaje, a more complete view of the nature of that process is available. The pur- pose of this article is to probe the rapidly changing health condi- tions on the island between 1493 and 1496. Although the health and nutrition of the Taino will be explored, the primary focus is on the European settlers, because the documentary record is skewed much more toward them than toward the Amerindians.5 The early Caribbean has been the focus of numerous studies, because what happened there in the quarter century following ªrst contact provides a case study for the changes that occurred else- where in the Americas. Sauer’s Early Spanish Main, a detailed anal- ysis of the ecological changes taking place, provided a baseline for future investigations. Unfortunately his lead was not well served by his intellectual heirs. Floyd’s book on the Columbus dynasty provided an administrative survey of the early European Carib- EARLY HISPANIOLA | 353 5 Alfred W. Crosby, “Conquistador y Pestilencia: The First New World Pandemic and the Fall of the Great Indian Empires,” Hispanic American Historical Review, XLVII (1967), 321–337; idem, The Columbian Exchange: Biological and Cultural Consequences of 1492 (Westport, 1972); idem, “Virgin Soil Epidemics as a Factor in the Aboriginal Depopulation in America,” William and Mary Quarterly, XXX (1976), 289–299; Carl O. Sauer, The Early Spanish Main (Berkeley, 1966); Varela and Gil (eds.), Cristóbal Colón. The second revised edition of 1992, or subse- quent editions, of this work are preferred; note that those prior to 1992 do not include the newly discovered Columbus letters. Miles H. Davidson, Columbus Then and Now: A Life Re- examined (Norman, 1997), xxii, evaluated the “libro copiador”: “Spanish scholars accept these sixteenth-century documents as scribal copies of letters written by Columbus.” The argu- ments presented herein are similar to those proposed in Cook, Born to Die: Disease and New World Conquest, 1492–1650 (New York, 1998), 26–39, but with important differences: (1) A richer eyewitness narrative is provided, with a more critical evaluation of accounts; (2) evi- dence not available to the author when the book was published raises the possibility of small- pox among the Indian interpreters from Hispaniola, as they embarked on their return to the island in 1493; (3) Francisco Guerra, Epidemiologia americana y ªlipina, 1492–1898 (Madrid, 1999), comes under close scrutiny; and (4) the issues of nutrition, starvation, and death among both natives and Europeans are examined in the context of the initial three years. bean, but only the various studies by Moya Pons most closely ap- proximate Sauer’s model.6 In the quincentenary period, a number of new studies treated the environmental impact of the discovery on the other lesser is- lands of the region. Crosby’s work, for one, discusses the question of disease impact and levels and patterns of morbidity and mortal- ity, in relation to Amerindian population size. In the late 1960s, Dobyns was simultaneously revising localized population estimates to provide a new hemispheric estimate that was substantially higher than previous ones. Dobyns closely linked Amerindian de- mise to epidemic disease, providing a still-useful chronology for epidemic outbreaks in the Andean region. Higher population esti- mates were fueled by the revisionist work of Borah and Sherburne F. Cook, which concentrated primarily on Mexico. Only one chapter of their seminal three volume work focused on Hispan- iola, and their population projection for the island’s contact size was about 8 million. Zambardino criticized their estimate on sta- tistical grounds and Rosenblat on the basis of sources.7 guerra’s thesis Although Denevan, who also was interested in population densities and environmental carrying capacities, ed- ited a series of chapters on The Native Population of the Americas in 1492 in 1976, close attention to the spread of European pathogens via the expedition of Columbus had to await the short studies of Guerra in the mid-1980s. Guerra was the ªrst scholar to attempt to identify the “illnesses” and deaths on Hispaniola, beginning with the arrival of Columbus’ second expedition in late 1493. He sug- gested that the primary cause of mortality was inºuenza, or swine ºu. Guerra postulated that Columbus and Diego Alvarez Chanca—a university-trained court physician who sailed with the ºeet—delineated this ªrst New World epidemic “in authentic, truthful and incontrovertible documents.” That article has re- 354 | NOBLE DAVID COOK 6 T. S. Floyd, The Columbus Dynasty in the Caribbean, 1492 to 1526 (Albuquerque, 1973); Moya Pons, Española en el siglo XVI, 1493–1520 (Santiago, 1971); idem, Después de Colón. Trabajo, sociedad y política en la economia del oro (Madrid, 1987). 7 Henry F. Dobyns, “Disease Transfer at Contact,” Annual Review of Anthropology, XX (1993), 273–291; idem, “Estimating Aboriginal Populations: An Appraisal of Techniques with a New Hemispheric Estimate,” Current Anthropology, VII (1966), 395–449; idem, “An Outline of Andean Epidemic History to 1720,” Bulletin of the History of Medicine, XXXVII (1963), 493–515; idem, Their Number Became Thinned: Native American Population Dynamics in Eastern North America (Knoxville, 1983). Ana González Highlight ceived much attention and some acceptance. In 1999, however, Guerra shifted his focus, emphasizing the potential effect of ty- phus. This article presents “new evidence” on other diseases not available when Guerra published in the mid-1980s, and which he omitted in his ºawed compilation of 1999.8 All arguments are based on the extent and quality of the doc- umentary evidence. The primary sources for the second expedi- tion, although more numerous than the records of the ªrst, are incomplete and less than satisfactory. Guerra combed Columbus’ published letters, his “diary” of the ªrst voyage, Chanca’s lengthy letter, and the Décadas of Pedro Mártir de Anglería, which had been collected chronologically near the actual events that they re- lated. Guerra also used subsequent texts of las Casas and those of Oviedo, an administrator and chronicler, as well as Ferdinand Co- lumbus’ biography of his father and Herrera’s chronicle.9 Almost at the same time when Guerra was searching for evi- dence of disease in the early published sources, other scholars were revisiting the same accounts for verisimilitude. The evolving con- sensus in the 1980s and early 1990s, based on the work of Adorno, Zamora, Mignolo, González Echevarría, and other scholars who EARLY HISPANIOLA | 355 8 Borah and Cook, Essays in Population History; Angel Rosenblat, La población de América en 1492: Viejos y nuevos cálculos (Mexico, 1967); idem, “The Population of Hispaniola at the Time of Columbus,” in Denevan (ed.), Native Population, 43–66; David Henige, “On the Contact Population of Histpaniola: History as Higher Mathematics,” Hispanic American Historical Re- view, LVIII (1978), 217–237; Rudolph A. Zambardino, “Critique of David Henige’s ‘On the Contact Population of Hispaniola: History as Higher Mathematics,’” ibid., 700–708; idem, “Mexico’s Population in the Sixteenth Century: Demographic Anomaly or Mathematical Il- lusion,” Journal of Interdisciplinary History, XI (1980), 1–27. See Guerra, “La epidemia americana de inºuenza en 1493,” Revista de Indias, XLV (1985), 325–347 (quotation, 326); idem, “El efecto demográªco de las epidemias tras el descubrimiento de América,” ibid., XLVI (1986), 41–58; idem, “The Cause of Death of the American Indians,” Nature, 326 (1987), 449– 450; idem, “The Earliest American Epidemic: The Inºuenza of 1493,” Social Science History, XII (1988), 305–325; idem, “The Dispute over Syphilis: Europe versus America,” Clio Medica, XIII (1978), 39–62. The origin and nature of syphilis have received substantial coverage. Brenda J. Baker and George J. Armelagos, “The Origin and Antiquity of Syphilis,” Current Anthropology, XXIX (1988), 703–737, provide a good starting point. Guerra, Epidemiología americana, 114–125, reiterates his earlier arguments for the introduction of inºuenza. Most of his “sources” for the 1493 sequence are not actual eyewitnesses, but were prepared years later. 9 Bartolomé de las Casas (ed. Agustin Millares Carlo and Lewis Hanke), Historia de las Indias (Mexico, 1952); Gonzalo Fernández de Oviedo (ed. Juan Pérez de Tudela Bueso), Historia general y natural de las Indias (Madrid, 1959), 6v.; Fernando Colón (ed. and trans. Benjamin Keen), The Life of the Admiral Christopher Columbus by His Son Ferdinand (Brunswick, 1992); Antonio de Herrera y Tordesillas, Historia general de los hechos de los castellanos en los islas y tierra ªrme del mar océano (Madrid, 1935–1957), 17v. Ana González Highlight probed the creation and hermeneutics of early sources, was that the accounts followed well-established rhetorical patterns that were part of Spanish humanist historiography, that the line be- tween “fact” and ªction was blurred, and signiªcant exaggeration and self-promotion corrupted the narratives. Further, the attempt to portray native peoples was ºawed, especially at ªrst, since few Europeans were ºuent in both Amerindian languages and Spanish. At the extreme, the accounts provide little of the “true” past at a speciªc historical moment. Guerra stood largely out- side this growing epistemological debate, accepting at, or near, face value the information found in the chronicles, letters, and diaries.10 Guerra’s reconstruction of the health of the second expedi- tion’s members is relatively straightforward. There is little incon- sistency in the chronology of the voyage found in the published sources. On September 25, 1493, seventeen ships with about 1,500 mostly males on board departed Cádiz. They reached the Canary Islands on October 2, and the island of La Gomera around the 5th. Guerra found evidence that eight sows were loaded aboard ship on the island of Gomera in the Canaries between 5–7 October. Hence, his argument for swine ºu. Guerra seems to have specu- lated without evidence that both men and animals onboard quickly sickened. The voyage from the Canaries to the Caribbean was rapid; the ºeet reached the Caribbean island of Dominica on November 3. According to Guerra, the vessels reached Hispaniola on the 28th or so, touching land near Navidad where the ªrst ex- pedition had departed a little less than a year earlier. They found none of the men they had left behind; all had succumbed to star- 356 | NOBLE DAVID COOK 10 See, for example, Walter Mignolo, “El metatexto historiográªco y la historiograªa indi- ana,” Modern Language Notes, XCVI (1981), 358–402; Roberto González Echevarría, “Humanismo, retórica y las crónicas de la conquista,” in idem (ed.), Isla a su vuelo fugitiva: ensayos críticos sobre literatura hispanoamericana (Madrid, 1983), 9–25; Rolena Adorno, “Nuevas perspectivas en los estudios literarios coloniales hispanoamericanos,” Revista de Crítica Literaria Latinoamericana, XIV (1988), 11–28; Margarita Zamora, “Historicity and Literariness: Prob- lems in the Literary Criticism of Spanish American Colonial Texts,” Modern Language Notes, XII (1987), 334–346; idem, “‘If Cahonaboa learns to speak . . .’: Amerindian Voice in the Dis- course of Discovery,” Colonial Latin American Review, VIII (1999), 191–205. Henige decons- tructs the sources for the ªrst Columbus voyage in In Search of Columbus: The Sources for the First Voyage (Tucson, 1991). James C. Murray provides an overview in Spanish Chronicles of the Indies: Sixteenth Century (New York, 1994), 6–13. The arguments are placed in perspective by Santiago Juan-Navarro, Archival Reºections: Postmodern Fiction of the Americas (Self-Reºexivity, Historical Revisionism, Utopia) (London, 2000). Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight vation, sickness, or, in most cases, the hand of the not completely “peaceful” Taino. Guerra postulated that almost immediately an illness that had been carried along with the ºeet spread outward: “Suddenly, on the following day 9 December 1493, all the people began to sicken with high temperatures and great prostration, so that very few es- caped, and even those who had left to explore had to return upon feeling ill.” When livestock and passengers disembarked on His- paniola, most were already infected. Guerra argued that illness de- bilitated the Spaniards, and then spread rapidly among native peoples. “The Indians then died in inªnite numbers.” Columbus was so weakened by sickness that he was unable to write for sev- eral weeks. In his review of the relevant published sources, Guerra found that Ferdinand Columbus’ biography of his father showed a three-month gap in the latter’s diary [December 11, 1493, to March 12, 1494]. Ferdinand’s text tells of the reconnoitering of the northern coast of Hispaniola and the discovery of what seemed an appropriate site for settlement, which Columbus named Isabela, in honor of the Spanish queen. According to Ferdinand, his father “so drove himself to lay the foundation of that town that not only did he lack time to enter in his journal each day’s hap- penings, as had been his custom, but he even fell ill and was unable to keep a journal at all from December 11, 1493, till March 12, 1494.” Ferdinand also wrote of growing discontent among a num- ber of the settlers of the second expedition, who tired of the hard unrewarding labor and of being “made ill by the climate and diet of that country.”11 Guerra was convinced in 1985 that his evidence was valid: Contemporary descriptions of the ªrst epidemic that took place in America, their concordance in terms of the basic clinical manifesta- tions, conªrmation of some complementary details and later epide- miological facts that are here presented permit one to afªrm that the epidemic that appeared on the island of Santo Domingo in 1493, the principal cause for the disappearance of the American na- tives in the quarter century after discovery, was the swine ºu. All the sources are in agreement that the epidemic that broke out in Isabela on 9 December 1493 was an acute infectious sickness, ex- tremely contagious and with a short period of incubation, that af- EARLY HISPANIOLA | 357 11 Guerra, “La epidemia americana,” 338. Colón, Life of the Admiral, 121–122. Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight fected simultaneously wide groups of the population, and was characterized by an elevated fever, great prostration, and an appre- ciable mortality.12 The symptoms described by Guerra, however, could cover various illnesses, not just inºuenza. Catarrh (catarro), clearly associ- ated with inºuenza, is not even mentioned. Guerra qualiªes his argument that “although in these ªrst descriptions the respiratory symptoms do not yet appear, at the time that the sickness passed to Tierra Firme, the narratives begin to incorporate additional symptomatologies: secretion of mucus (romadizos), catarrh (catarros), pleurisy (dolor de costado), and in Mexico for the ªrst time nosebleeds are mentioned.” Hence, not until the third decade af- ter 1493 did more speciªc inºuenza-like symptoms appear in the texts cited by Guerra. Although Guerra’s 1999 compilation reiter- ated that the ªrst Old World epidemic to hit America was inºuenza, his evidence for swine ºu striking early Hispaniola is in- adequate to sustain his argument.13 In a 1999 article, Guerra introduced another element into the disease environment of the second expedition—typhus. He stated that Columbus became ill again several months after his malady in Isabela. In the mid-1980s, Guerra had written that the second time the admiral fell sick, he suffered a separate illness, “una modorra pestilencial.” But in 1999, Guerra ignored his diagnosis of swine ºu: “The frequent parasitical infestation of the head and the body of sailors during these years, that Las Casas and other chroniclers of America spoke about, explains that typhus was frequent among the crews of the ships of the Indies ºeet, and they called it “modorra,” owing to the characteristic drowsiness which the sick display. . . . One might accept that the ªrst case of typhus exanthematicus in America was the Admiral Christopher Columbus himself.”14 358 | NOBLE DAVID COOK 12 Guerra, “La epidemia americana,” 325–326, 338. Almost a decade later, Guerra, “Early Epidemics at La Hispaniola and Demographic Collapse 1492–1518,” Latin American Population History Bulletin, 23 (1993), 19, maintained his position: “It can now be stated that every quota- tion by Guerra was correct, the facts stand as they were ªrst presented, and even the Spanish dead from the inºuenza epidemic at La Hispaniola in 1493 have been found and can be counted.” Henige, “Is Virtual Reality Enough or Should We Settle for Less?” ibid., 23, coun- tered, “the disagreeable fact is that, when treated integrally and contextually, Guerra’s own sources undermine almost every aspect of his case.” 13 Guerra, “La epidemia americana,” 339. 14 Ibid., 327; idem, “Origen y efectos demográªcos del tifu en el México colonial,” Colonial Latin American History Review, VIII (1999), 283. Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Guerra used the texts of las Casas, and the Ferdinand Colum- bus biography. Ferdinand wrote that his father, while returning from the reconnaissance of Jamaica and Cuba, stopped including entries in his journal in late September 1494: “Because of the great past hardships, his weakness and the scarcity of food, he was hit by a very serious illness between pestilential and modorra, which al- most immediately deprived him of sight, of the other senses, and consciousness.” His crew continued sailing as quickly as possible to Isabela, where they landed on September 29, 1494. Las Casas provided a similar account: “All of a sudden he was afºicted by a pestilencial modorra that totally removed from him use of the senses and all his strength, and he became as if dead, and they did not think he would last a day.”15 It took ªve months for Columbus to recover his health. For those attempting to diagnose the sickness using English-language sources, further confusion is added by Keen’s translation of Ferdinand’s biography of his father. Keen uses the word “drowsi- ness” instead of modorra, a speciªc disease. According to Keen, on September 24, 1494, as he sailed along the eastern end of Hispan- iola, Columbus stopped entries in his daily journal. “Because of his great exertions, weakness, and scanty diet he fell gravely ill in crossing from Amona to San Juan; he had a high fever and a drowsiness, so that he lost his sight, memory, and all his other senses.”16 an early introduction of typhus? In this new case, Co- lumbus’ documents provide fresh insight. Las Casas and Ferdinand Columbus probably had access to a Columbus letter of February 26, 1495, that was sent back to Europe with Antonio de Torres’ ºeet. The relevant text reads, “And having arrived at the island of San Juan Baptista [Puerto Rico] all of a sudden I was knocked down by a sickness that deprived me of all sense and understand- ing, as if it were pestilence or modorra [italics added]. The shipmasters and pilots and all the people then agreed to quickly go to the city for my cure, and thus ended my enterprise of discovering the other EARLY HISPANIOLA | 359 15 Ibid., 284. Guerra quotes from Girolamo Bordoni’s edition of Historie del Sig. Don Fernando Colombo: Nelle quali s’ha particolare, & vera relatione della vita, & de’ fatti dell’ ammiraglio Don Christoforo sub padre . . . (Milan, 1614). Las Casas, Historia de las Indias, I, 396. 16 Colón, Life of the Admiral, 145. Keen suggests that Columbus may have suffered a nerv- ous breakdown (fn. 4, 299), taking a cue on this point from Samuel Eliot Morison, Admiral of the Ocean Sea: A Life of Christopher Columbus (Boston, 1942), 479. Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight [islands].” He blamed his condition on “the extreme hardships and dangers of this voyage. . . . I was ªlled with much anxiety day and night, so that I could not sleep, and in these last thirty days I have not slept except for three hour-glasses of half an hour each, so that I became half blind, and during some hours, entirely so.”17 Early introduction of European typhus to the Americas is not impossible, even as soon as the second Columbus expedi- tion. But the above symptoms do not ªt well with sixteenth- century Spanish descriptions of typhus, which usually include an appropriate label of tabardillo, describing the small spots that cover the trunk of the body several days after the onslaught of the dis- ease. Unfortunately, the question of early modern disease identi- ªcation is clouded by incomplete evidence, sketchy diagnosis, and distance. Today many “fevers” can be identiªed only after detailed and lengthy laboratory analysis, and even now some illnesses escape correct label. Hence, modern historians must use caution when they attempt to identify past illnesses, even of major epi- demic proportions. The appearance of a “common” disease in a population that has not experienced the malady can result in un- usual symptoms and levels of mortality for “virgin populations.” “Educated speculation” is the only method in most cases, particu- larly regarding initial European exploration and settlement in the Americas. Columbus’ lethargy, his delirium, and his sensory weakening might be epidemic meningitis or encephalitis lethargica. The latter often comes on the heels of inºuenza, with those falling ill showing symptoms of fever, lethargy, disturbed eye move- ments, headache, general weakness, tremors, delirium, convul- sions, depression, faulty sensory perception, and lack of coordina- tion. About 30 percent of victims without treatment succumb to the disease. Columbus’ own description of his symptoms, and his use of terminology, provides a much clearer approximation of the illness’ true nature than do the subsequent texts that have served as the sources of choice until now.18 The case made by Guerra, as well as Cook in 1998, for the early introduction of typhus, is worth closer evaluation. If Colum- bus indeed came down with European typhus exanthematicus, it would have been carried aboard the ºeet that had come from Spain. As Guerra points out, “Two years before the discovery of 360 | NOBLE DAVID COOK 17 Varela and Gil (eds.), Cristóbal Colón, 313. 18 R. T. Ravenholt, “Encephalitis Lethargica,” in Kenneth F. Kiple (ed.), Cambridge World History of Human Disease (New York, 1993), 708–710. See also Cook, Born to Die, 54–56. Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight America there appeared in Andalusia the ªrst epidemic of typhus exanthematicus of which there is certain notice.” The appearance of the disease is associated with the troops and conditions of warfare during the conquest of Granada. A full medical description was provided by Luis de Toro, in De febris epidemicae et novae, quae Latine puncticularis, vulgo tavardillo, et pintas dicitur, . . . (Burgis, 1574). Numerous men onboard the second Columbus ºeet had been engaged in the conquest of Granada. In fact, the Crown or- dered twenty mounted cavalry, or lancers, from the Hermandad, or militia, of Granada to accompany the expedition to the Carib- bean. They were to take full equipment for themselves and their horses, and to transport an additional ªve mares. A number of the men who had participated in the taking of Granada must have suf- fered through typhus, survived, and seemed immune. Conversely, others on board the second ºeet had probably never contracted the disease. Zinsser pointed out that certain individuals, although immune from an earlier experience with the disease, can, under certain conditions, act as carriers. In a time of crisis with weakened body resistance, a subsequent full-blown case can recur, and the individual will once again transmit the disease.19 Conditions on board ship during the second crossing, as well as those on the island of Hispaniola after the passengers disem- barked, were debilitating for the settlers. Nutritional deªciency, change of climate, and lack of sleep could have been enough to shift the balance and trigger a recurrence of typhus in severely weakened individuals. It is probable that live Rickettsia prowazeki came on board along with lice (Pediculus humanus) and that the in- fection could have been passed to humans, given the close packing and poor hygiene. Infected lice quickly die and the epizootic will falter, but, as Guerra points out, the Rickettsia can survive in the lice feces for two months before they enter the human body via a skin lesion or the lungs. For Guerra, the mortality rate for Span- iards infected with the European variety of typhus was about 60 percent among weakened individuals. Mortality for young people was much lower.20 EARLY HISPANIOLA | 361 19 Guerra, “Origen y efectos demográªcos del tifu,” 281; Cook, Born to Die, 37; Hans Zinsser, Rats, Lice and History: Being a Study in Biography, which after Twelve Preliminary Chapters Indespensable for the Preparation of the Lay Reader, Deals with the Life History of Typhus Fever (Boston, 1963; orig. pub. 1935), 234. 20 Davidson, Columbus Then and Now, 316, 319–320; Gil and Varela (eds.), Temas colombinos (Seville, 1986), 19–20; Guerra, “Origen y efectos demográªcos del tifu,” 275. Ana González Highlight Ana González Highlight Ana González Highlight Ana González Highlight Ana González Underline Ana González Underline Ana González Underline Ana González Underline Archaeological evidence suggests that murine typhus existed in America before the arrival of the Europeans. It differs in its mode of transmission and in its level of mortality. It is carried by a rodent reservoir—rats, mice, guinea pigs, or other mammals in- fested with ºeas carrying live Rickettsia. Humans contract the dis- ease when bitten by infected ºeas. Survival of infection by one of the two forms of typhus (European or American murine) seems to provide immunity against both forms. It is unclear whether any murine typhus appeared in the Caribbean before Columbus. The cooler temperate climate of the high-civilization zones of Mesoamerica and Andean South America, with denser popula- tions and heavier cotton or wool clothing, would seem to be more conducive to the spread of endemic murine typhus. Mammal vec- tors, with the possible exception of the hutia (a large, edible ro- dent), were noticeably absent in the islands of the Caribbean. Moreover, the frequent bathing of the Taino, their absence of clothing, and their closely cropped hair mitigate against infections by either ºeas or body lice. Body painting may or may not have had a prophylactic value against anthropod infestations, depending on the chemical composition of the pigment. Chanca was speciªc regarding customs of the Taino when he ªrst saw them in 1493: “All these people, as I have said, go about as they were born, ex- cept the women of this island who keep their shameful parts cov- ered, with cotton cloth. . . , the heads shaved in parts with such a variety of tufts, that they cannot be described.” Europeans were much better hosts for the body-lice vectors of typhus than the Taino.21 Given these factors, it is unlikely that murine typhus was en- demic in the area when Columbus arrived. Cleanliness and lack of clothing would work against quick outbreaks of epidemic typhus among native peoples, either murine, or the European strain spread by body lice. Therefore, if some of the Spaniards, including Columbus, were infected and brought typhus to Hispaniola in 1493, as was at least technically possible, the disease probably sput- tered in the native American population, infecting and killing some but not the high numbers that seem to have perished in the 362 | NOBLE DAVID COOK 21 Gil and Varela (eds.), Cartas particulares a Colón y relaciones coetáneas (Madrid, 1984), 173. See Michael Craton and Gail Saunders, Islanders in the Stream: A History of the Bahamian People (Athens, 1992); Mary C. Karasch, “Disease Ecologies of South America,” in Kiple (ed.), Cam- bridge World History of Human Disease,538. Ana González Underline Ana González Underline Ana González Underline Ana González Underline Ana González Underline Ana González Underline Ana González Underline Ana González Underline Ana González Underline Ana González Underline Ana González Note Aunque habían ciertods factores que pudieron provocar Ricketsia y eventualmente tifus, en las oblaciones indigenas antesw de la conquista, es más probable que fuerqa más apta para desarrollarse en las condiciones de los conqioistadores antes de desembarcar. Incluso hay algunos factores que pudieron mitigar los brotes en las poblacicones indigenas ( ba!nos frecuents, opinturas en el cuerpo, corte de pelo, no llevar las pesdas ropas de europeos etc Ana González Highlight Ana González Highlight Ana González Highlight years immediately following 1493. The Spaniards could have in- creased the possibility of later outbreaks of typhus as they gradually introduced and required the use of clothing among the Taino. Li- centiate Lucas Vásquez de Ayllón, later an important ªgure in the attempt to settle Florida, ªrst came to the island c. 1504. He testiªed in the 1517 Jeronymite inquiry that the Indians had been given “thin linen clothing which does not last long because they do not take care of it or wash it and it rots on their body, and for this reason they are nude most of the time.”22 smallpox on the second voyage? A new source for the sec- ond voyage, not available to Guerra in the mid-1980s, is the Relación del segundo viaje, which documents the possible existence of smallpox in Cádiz at the time of the ºeet’s embarkation for His- paniola. Columbus writes, “I put ashore [in Samaná] one of the four Indians that I had taken from there last year, who had not died as the others from smallpox on the departure from Cádiz.” The original manuscript text is easily readable; it leaves no doubt about the word smallpox (viruela) (see Figure 1). If the document is authentic, then the three or four Amerindians embarking for His- paniola in Cádiz on September 25, 1493, were potential carriers of smallpox. Translation is an inexact science, and the translation of the Spanish term “a la partida” is imprecise. It refers to an action in progress, rather than a speciªc beginning, middle, or end. The rough English equivalent, “departing” or “on the departure,” cap- tures the spirit reasonably well, and suggests that the deaths oc- curred as preparations were being made for leaving, or as they embarked to leave, or, in the time shortly after sailing from the port, but certainly before reaching the waters of the next stop in the Canary Islands.23 The original text leaves it possible that one or more of the captured natives trained as interpreters could have died while still in Cádiz, or that one or more could have died while aboard ship. If they had died while in the port of Cádiz, the Spanish text would read differently—something like “en Cádiz, antes de la partida.” Given our modern medical understanding of the etiology of EARLY HISPANIOLA | 363 22 Rodríguez Demorizi, Los Dominicos, 322. 23 Varela and Gil, Cristóbal Colón, 242: “que pusiese allí en tierra uno de los cuatro indios que allí avía tomado el año pasado, el cual no se avía muerto como los otros de viruelas [my italics] a la partida de Cáliz.” Fig. 1. Excerpt from Christopher Columbus, Relación del segundo viaje, with Mention of Amllpox (Viruela) Highlighted smallpox, they could scarcely not have left residues of the live vi- rus on board. The text permits an alternative rendering, however. For example, Henige, who in 1998 still seemed unaware of the 1992 critical edition of Gil and Varela, states that “Columbus wrote that some Indians (number unspeciªed) died of smallpox in Cádiz as the ºeet was set to embark.” Davidson came closer to the correct understanding when he translated the passage as, “[He was] one of the four Indians that I had taken there the past year, who had not died from smallpox as the others had done on leaving Cáliz [sic], as well as others from Guanafani [sic] or Sant Salva- dor.” Davidson concluded, “It is important to note that the small- pox affected these particular Indians after they left Cádiz, a strong indication that smallpox was brought to the island with the second voyage.” The critical caveat concerns “strong indication.” Cau- tion would require a much more tenuous qualiªer.24 The history of the ten or so young natives that Columbus took from the islands of the Bahamas and Hispaniola to train as translators for the return to the Caribbean can be reconstructed from previously known and new texts. Oviedo, born in Madrid in 1478, named a page at the age of thirteen in the court of the Cath- olic monarchs, and assigned to the service of Prince Juan, was an eyewitness. He wrote in his ªfteenth year, “I was in Barcelona when the King was wounded as I have said; and I saw the arrival of the admiral there, Don Christopher Columbus, with the ªrst Indians who went from those parts on the ªrst voyage and discov- ery. Thus I do not speak from hearsay in any of these four things, but as an eyewitness.” He reported that Columbus had returned from Hispaniola with “nine or ten” natives not only to display them as proof of his venture but also to show them “the land of the Christians and learn the language, so that when they return there, they and the Christians who remained in the care of Guacanagarí and in the fort said to be Puerto Real, they would be translators and interpreters for the conquest and paciªcation and conversion of these people.” Oviedo wrote that one of the Indians had died aboard ship on the way to Spain. After disembarking in Palos, Columbus had left two or three who were sick (dolientes) and took “the six who were well” with him to the court in Barce- lona.25 EARLY HISPANIOLA | 365 24 Henige, Numbers from Nowhere: The American Indian Contact Population Debate (Norman, 1998), 369, fn. 36; Davidson, Columbus Then and Now, 335. 25 Oviedo, Historia general, I, 30, 28, 29; Murray, Spanish Chronicles, 100–101. Las Casas, at the time about nineteen years old, witnessed the arrival of the natives of the New World, too. Las Casas wrote that Columbus departed for Barcelona with seven, not six, Indi- ans, “who had remained from the past tribulations, because the others had died; I saw them at the time in Seville, and they resided next to the arch that is called “of the Images (Imágenes)” at [the parish of] San Nicolás.” Another chronicler, probably also an eye- witness, saw the Indians and described their arrival in Spain. Andrés Bernal (known as Bernáldez), a cleric of the Villa de los Palacios from about 1488 to 1513, wrote a chronicle of Spain un- der the Catholic monarchs. As chaplain of the archbishop of Se- ville, he had access to Columbus’ reports, as well as to a letter by Diego Alvarez Chanca. In his words, “Once the aforesaid land was discovered by the said Christopher Columbus, he came to Castile, and arrived in Palos on 23 March of the year 1493, and entered Seville with much honor on 31 March, Palm Sunday, well proven his intention, where he was well received. He brought ten Indi- ans, of those he left four in Seville, and took six to Barcelona to show to the queen and the king, where he was very well re- ceived.”26 The second ºeet carried one surgeon and one physician— Chanca (c. 1460–1515), who penned an extensive report in the form of a letter describing the island and its resources. Chanca must have known as well as anyone the number of Amerindians who boarded in Cádiz; he probably traveled on the same ship with one or more of them toward the Caribbean. His extensive letter to the municipal council of Seville was transported with the ºeet of Antonio de Torres, which left Hispaniola for Spain in late January 1494. Chanca wrote about the remaining Indians in the context of Columbus’ attempt to interview the cacique Guacanagarí, about the fate of the Spaniards that he had left on the island. Chanca, who was present at that interview, wrote that the Spaniards were able to understand the words of the chieftain because of the inter- preters: “All this took place with the two Indians acting as inter- preters, who had gone on the other voyage to Castile, who had remained alive of the seven that we put aboard in the port, be- 366 | NOBLE DAVID COOK 26 Las Casas, Historia de las Indias, I, 332; Andrés Bernáldez, Historia de los reyes católicos D. Fernando y Doña Isabel (Seville, 1870), I, 368–369. Gil, “Noticia de Andrés Bernal, cura de los Palacios,” in idem and Varela (eds.), Temas colombinas (Seville, 1986), 1–5, points out the correct name of the chronicler. For Bernal’s sources, see Gil and Varela, Cartas particulares a Colón, 20–23. cause the ªve died en route, [and] those [two] escaped only by the skin of their teeth.”27 The Spaniards looked after the health and well-being of the trained translators because they were critical to the success of the second expedition. Chanca did not describe the cause of death of the ªve Indians. It is important to note that the original group of captured islanders survived the ocean trip from the Caribbean to Andalusia and then the overland northward trek to Barcelona and back to Cádiz, the port of departure. Since ample food, drink, and clothing would have been set aside for the interpreters on the re- turn voyage to the Caribbean, they must have been infected with some ailment(s) while in Spain. They may have been displaying symptoms already, or they may have been infected onboard. Pos- sibly, they became ill from contaminated food or drink. Thanks to the “Relación del segundo viaje,” we now know that three died from smallpox. Though he was a physician, Chanca, unlike Columbus, failed to detail the symptoms of the interpreters. Chanca’s primary duty was to see to the health of the Europeans on the venture, as clearly stipulated in the Crown’s letter of appointment. That he did so as well as he could under difªcult conditions Columbus veriªed in his report. But Chanca’s other reason for making the journey was personal proªt. Not unlike other doctors of the sixteenth century, he was as much a businessman as a medical practitioner. The inter- view with Guacanagarí gives at least a hint of his mentalité. Chanca reported that the chief presented Columbus with “eight and a half marks of gold and ªve or six belts worked in stones of various colors, and a cap of the same stonework, which tells me they must hold them in high esteem. In the cap was a small jewel which he gave much veneration. It seems to me they have more copper in them than gold.” Chanca was knowledgeable in the art of precious metals. His initial interest in the venture to the island may well have been the prospect of mineral wealth. Chanca’s let- ter to the city council of Seville provides a detailed description of the people and the ºora and fauna of the newly discovered islands for the purpose of possible proªt. His mention of health is thin, even regarding the Europeans. One of his few telling remarks on the subject comes at the end of his missive, in connection with the productivity of the gold in Niti and nearby Cibao: “A third of the EARLY HISPANIOLA | 367 27 Gil and Varela, Cartas particulares a Colón, 171. men have become sick in four or ªve days. I believe that the major cause of it has been the work and difªculty of the journey, in addi- tion to the diversity of the land, but I have faith in Our Lord that all will rise healthy.”28 But what of the mortality of the Taino? Did one or more of the survivors of the return to their homeland, or an infected mem- ber of the European contingent, inadvertently introduce smallpox to the island people? According to Columbus, when one of the Amerindians disembarked, “this one went on land very happy, saying that he was now very strong because he was Christian, and that he had God within, and praying the Ave María and Salve Re- gina, he said that, after spending three days in his house, he would come to Cibao where I would be.” Columbus then sent the trans- lator to visit the family he had left the year before. “I gave him ex- cellent clothing, and other things to give to his relatives.” Similarly, Chanca wrote that as they were sailing along the prov- ince called Samaná, they put ashore “one of the Indians that they had taken on the other trip, dressed and with some middling things that the admiral had ordered given to him.” This clothing, especially if it had been worn by the other sick young natives of Samaná, could have been the cause of further infection.29 The clinical symptoms of “classical” smallpox were well known to the sixteenth-century Spaniards. In part, they based their medical descriptions on those of the Persian doctor Rhazes (c. 865–923 or 932), who wrote a treatise identifying both small- pox and measles—De variolis et morbillis. Sixteenth-century Span- ish physicians could generally identify well-developed cases of measles and smallpox. Sebastián de Covarrubias Orozco—a lexi- cographer born in Toledo in 1539—included deªnitions of both maladies in his dictionary, indicating that they were largely child- hood diseases. Smallpox could be deadly for European adults, but mortality varied signiªcantly, dependent on the response to infec- tion as well as on the speciªc form of the virus. In 1996, the Cen- ters for Disease Control stored about 450 distinct strains of the smallpox virus, ranging from the milder forms (Variola minor) to the more deadly (Variola major).30 368 | NOBLE DAVID COOK 28 Ibid., Cartas particulares a Colón, 170, 173. 29 Idem, Cristóbal Colón, 242; idem, Cartas particulares a Colón, 165. 30 Borah, “Introduction,” in Cook and W. George Lovell (eds.), “Secret Judgments of God”: Old World Diseases in Colonial Spanish America (Norman, 1992), 6–7; Sebastián de Covarrubias Smallpox is normally transmitted by contact of the uninfected with the live virus via the upper respiratory tracts. The virus is passed in secretions or droplets from the nasal passages and throat, or in secretions from the pustules. A sneeze or cough can spread the virus over a considerable distance; anyone in the same closed room, or onboard the same ship, could be infected. Incubation takes about eight to twelve days, at most ten to sixteen. Onslaught consists of malaise and fever, followed by a small generalized skin eruption on the third day. The pimple-like blisters grow into pus- tules, which ultimately dry, forming scabs between days eight and ten. At times, the eruptions can cover the entire trunk, and if dense enough, sections of the skin may appear to peel off the vic- tim. If the pustules are internal, as in the lungs, death is normally the result. Those who survive the attack will usually have disªguring pock marks, and blindness is common. The time from infection to a full cure of survivors who are no longer communi- cable can be so long as a month. But the virus can survive pro- tected in scabs after falling off the body, and perhaps even longer in dried sputum. Secretions on clothing or bed linens, when packed in the right conditions, can survive for some time. Small- pox is exclusively a human disease, with no animal reservoir of in- fection, as in cowpox.31 Epidemics of smallpox were common in early modern Eu- rope. In large cities, such as Barcelona or Seville, the disease had become endemic. As such, it was a childhood sickness, experi- enced regularly. One bout brought the survivor long-term immu- nity. There are variations in mortality, depending on the type of smallpox. As Barquet and Domingo point out, “Persons with ful- minating smallpox (purpura variolosa) had mucocutaneous hemor- rhages that preceded the appearance of the characteristic skin EARLY HISPANIOLA | 369 Orozco, Tesoro de la lengua castellana o española (1611) (Madrid, 1994); Sheldon Watts, Epidemics and History: Disease, Power and Imperialism (New Haven, 1997), 86. 31 Roderick E. McGrew, Encyclopedia of Medical History (London, 1985), 313; C. W. Dixon, Smallpox (London, 1962). Guerra, Epidemiología americana, 52, argues, without citing his source of information, that the smallpox virus can survive up to three years in clothing. Spe- cialists disagree regarding the length of time that the virus can survive. Some suggest that it does not survive long; others argue for substantial periods under ideal conditions of tempera- ture and humidity. Given the fact that smallpox has been virtually eliminated, we probably will never know for certain. The case of the ill Taino translators needs no argument for trans- fer by clothing or goods. A simple chain of infection from individual to individual is sufªcient to explain what might have taken place. lesions. In malignant smallpox, the rash had a slow evolution char- acterized by pseudocropping, subconjunctival hemorrhages, and death when lesions on the face and limbs were conºuent. In be- nign smallpox, the evolution of the rash differed from that of the malignant variety; this form was also less extensive.” Case fatalities normally ranged from 20 to 60 percent. The potential variation in mortality levels can range from 1 percent to almost 100 in the most deadly fulminating smallpox. Pregnant women are particularly susceptible. So far as children are concerned, 80 percent of those under ªve years of age who were infected in eighteenth-century London died; in Berlin, the mortality for the same period ap- proached 98 percent. Vogel and Chakravartti demonstrated that both rates of infection and overall mortality can vary by blood groups. In a study of one of the last smallpox epidemics in India from 1964 to 1966, they documented an overall mortality rate of about 50 percent.32 When or where the natives from Samaná were infected in Spain is unclear, but they must have been carrying the virus by the time they reached Seville, and experiencing symptoms by the time they were in Cádiz. En route from Barcelona to Andalusia, they had obviously been exposed to smallpox—either localized or more widespread—indicating that large enough pockets of young adults who had not yet experienced the disease were scattered throughout Spain. If there were three live carriers of the virus pre- paring to set sail from the port of Cádiz, it would have been virtu- ally impossible for other people not to have come into close contact with the virus there. It is statistically unlikely that all of the 1,500 people onboard the seventeen or so ships in the ºeet had contracted smallpox as children and thus acquired immunity. At least a handful of the participants in Columbus’ second voyage must have carried live smallpox. But how many susceptible young men were onboard, other than the full contingent of Tainos, all of whom could carry the disease and would be most likely not to survive the experience? In 370 | NOBLE DAVID COOK 32 Nicolau Barquet and Pere Domingo, “Smallpox: The Triumph over the Most Terrible of the Ministers of Death,” Annals of Internal Medicine, CXXVII (1997), 635–642; Donald Joralemon, “New World Depopulation and the Case of Disease,” Journal of Anthropological Re- search, XXXVIII (1982), 108–127; F. Fogel and M. R. Chakravartti, “ABO Blood Groups and Smallpox in a Rural Population of West Bengal and Bihar (India),” Humangenetik, III (1966), 166–180; Dixon, Smallpox, 5–66. the eighteenth century, the incidence rate varied, although it was highest during epidemics. In Boston, it was 37.5 percent during the epidemic of 1752, in 1730/31 Hastings, England, 43.1 percent, and in 1775 Chester 92.7 percent. According to Barquet and Domingo, “The incidence rate was so high that the disease was regarded as universal or almost universal, and many authorities be- lieved that everyone would eventually develop it.” Seventy-ªve of those onboard, or 5 percent, were arguably under eighteen years of age. Of these, forty-ªve individuals, or about 60 percent, would have been most likely to come down with the disease. If they did indeed come down with it, none of the observers would necessarily have reported it. Smallpox, measles, and the other acute communicable childhood diseases were so prevalent that they were not normally noted as unusual, or worthy of mention in the record.33 The ships that had set sail from Cadiz on September 25, 1493, stopped in the Canary Islands, but not for long; they left the island of Hierro on October 13. According to Columbus, and Chanca, the Atlantic crossing took only twenty-one days. On November 3, they discovered Dominica, and the next day, the island of Guadalupe. They continued in a northerly direction, discovering other islands, including the Virgin Islands and Puerto Rico. Brieºy, sometime between November 23 and 25—after two months at sea—they touched Hispaniola, landing the young In- dian translator near his home.34 To date, no direct mention of smallpox among the Taino on the island in 1493 and 1494 has been found in the documentary record. But we now possess documentary evidence that at least three Amerindians died of smallpox on the departure from the port of Cádiz in late September 1493. More Amerindians were ill and died en route. Was smallpox the cause? At this point, we can do little more than engage in cautious speculation. Simula- EARLY HISPANIOLA | 371 33 Donald R. Hopkins, Princes and Peasants: Smallpox in History (Chicago, 1983), 1–3, 38– 39, 258; Barquet and Domingo, “Smallpox.” Thomas A. Whitmore, Disease and Death in Early Colonial Mexico: Simulating Amerindian Depopulation (Boulder, 1992), 55–57, examines the key variables. The point about acute communicable childhood diseases not being docu- mented derives from the author’s several years of research in parish registers of the sixteenth through eighteenth centuries. The entries often indicate periods of exceptional mortality for children, but, frustratingly for the investigator, they make no mention of cause or symp- toms. 34 Gil and Varela, Temas colombinos, 17–23. tions of smallpox epidemics, although they cannot provide proof, at least present the probabilities inherent in a given situation. Thornton, Warren, and Miller have worked out a model for smallpox epidemics in the southeastern United States, based on the Hamer-Soper model as presented in Bailey’s standard Mathe- matical Theory of Infectious Diseases and Its Application. It is based on the idea that epidemics respond to population size and den- sity (number of contacts weekly per person), to the period of infectivity, to the removal rate of susceptibles due to infection, and to the removal rate due to recovery or death. The ªndings in- dicate that epidemics burn out more quickly in large and dense populations. Snow ran a computer simulation focusing on the smallpox epidemic that hit a Mohawk population in 1633. He faced the same questions and worked with similar sources. His model is based on a norm of a twelve-day incubation period for smallpox, during which individuals are not ill or communicable. For the next fourteen days, individuals are fully contagious. He also made allowance for approximately ten percent who were not in the community at the time and hence not exposed to the original epi- demic. In a relatively closed, yet highly susceptible, population of 2,000, he concluded that an epidemic would run its course from ªrst to last cases in about 125 days.35 Snow’s ªndings can be applied to the seven highly susceptible Taino on Columbus’ second voyage, all of whom fell ill. Three died at the approximate time of setting sail from Cadiz; two died en route; and two survived, barely escaping death. Assuming a chain of infection, only three Taino ill with smallpox are necessary to account for a contagious young man to set foot on Hispaniola in November. This scenario discounts completely the stipulation that one or more young Europeans had to have come down with smallpox on the voyage, notwithstanding the number of young pajes (pages), or cabin boys, who were undoubtedly aboard each of the vessels. But if all the Taino were infected the same week, their contagious period could conceivably have been over within two or three weeks after leaving the port of Cadiz. If so, the chain of 372 | NOBLE DAVID COOK 35 Russell Thornton, Jonathan Warren, and Tim Miller, “Depopulation in the Southeast after 1492,” in John W. Verano and Douglas H. Ubelaker (eds.), Disease and Demography in the Americas (Washington, 1992), 187–195; Dean R. Snow, “Disease and Population Decline in the Northeast,” in Verano and Ubelaker (eds.), Disease and Demography, 177–186. infection would have to include susceptible Europeans onboard, or the virus would have had to remain alive in scabs or dried spu- tum to infect unsuspecting people later. Whatever the exact links of the chain happened to be, there is more concrete evidence that a large number of island Taino died within three years of contact. Las Casas, in his later Historia de las Indias, lamented, “There came over them [the Indians] so much illness, death and misery, from which inªnite numbers of fathers and mothers and children sadly died. So that with the killings of the wars and the starvation and sicknesses that came because of them, and the hardships and oppressions that afterward took place, and miseries, and above all the great inherent pain, anguish and sadness, that according to what was believed there did not remain a third part of the multitudes of people that were on this island from the year of 1494 until that of 1496.”36 health conditions on the island, 1493 to 1496 Columbus frequently referred to a large native population on the island. In April through May 1494, he had informed the monarchs that al- though the people were not great ªghters, “they were innumera- ble, that I believe there to be billions of them.” Columbus’ hyperbole was meant to stress that the natives seemed too many to count. In a subsequent letter to the monarchs dated October 14, 1495, written in the Vega de la Maguana, Hispaniola, Columbus seemed depressed by the difªculties facing his attempts to settle, to turn the natives into miners, and to ªnd enough food for his men. He also complained of sickness and death. After returning from a reconnaissance of Jamaica and Cuba, he complained of “a sickness that deprived [him] of all sense and understanding, as if it were pestilence or modorra.” In October, he provided a report about the deteriorating situation, which had seen several Spaniards killed in skirmishes with the natives. He found the “entire land depleted of foodstuffs, and so much, that innumerable Indians had died of hunger.” He “could not go to Cibao, because this province was more needy than any other and the one in which the most people were dead.” The Indians there died quickly, and “they themselves destroyed all the corn, believing that with starvation [Columbus] would leave the land.” Realizing that the Spaniards planned to re- EARLY HISPANIOLA | 373 36 Las Casas, Historia de las Indias, I, 419–420. main, however, they planted, but when the rains did not come, “they became so lost and they died, and are dying so that it is as- tonishing; they did not eat nor do they eat anything except ªsh and some wild roots of the island.”37 Columbus observed that the food shortage was not uniform throughout Hispaniola. He would later note that he believed that Cibao had 50,000 naborías, or serfs. He intended them to pay a tribute in gold, to be delivered each four moons (lunar months), but, unfortunately, nothing had been given. “But need and hun- ger have been the cause of death of more than two-thirds of them, and it has not ended nor [is known] when one can hope for the end.” They also destroyed the crops in Cibao, and the rain failed when they ªnally planted.38 In the period from 1493 to 1496, large numbers of Taino and a signiªcant percentage of the initial European settlers on Hispan- iola died as a result of hunger, disease, exploitation, and military engagement. The accounts of Columbus, Chanca, and others are replete with health complaints. Since the ªrst settlement of Navidad was quickly deemed inappropriate, Columbus set out to begin construction of a new headquarters to the east, at a place that he named Isabela, in spite of conditions of ill health and hun- ger. The site seemed excellent at ªrst, but conditions were difªcult and food scarce. Las Casas came to Hispaniola in 1502 with his father, who had taken part in the second expedition along with two brothers. All three men had reached the island in December of 1493. Not only did las Casas have many of Columbus’ texts when he later wrote; he must also have conversed at length with active partici- pants in the venture. Las Casas described the tribulations at Isabela vividly: “People suddenly began to fall ill, and because of the little sustenance that was available for the sick, many of them began to die also, so that there did not remain a man among the hidalgos and plebeians no matter how robust he might have been, who did not fall ill from these terrible fevers.” Columbus and later las Casas initially blamed the ill health of the settlers on the alien climate and food.39 374 | NOBLE DAVID COOK 37 Varela and Gil, Cristóbal Colón, 284, 313. 38 Ibid., 318, 321, 328–329. Varela and Gil note that “one third” of the population died, ac- cording to Las Casas, who used Columbus’ text. 39 Guerra, “La epidemia Americana,” 330; Las Casas, Historia de las Indias, I, 363. an early introduction of malaria? The origin of las Casas’ account, like Colón’s biography of his father, was probably the original, or a copy, of the recently discovered Relación del Segundo viaje, in which Columbus described the situation surrounding the founding of Isabela. Columbus’ document provides important new insight: Shortly after I arrived there, all the people came ashore for the so- journ, and it began to rain heavily. Afterwards many came down with intermittent fevers [çiçiones], [as] if the change of environment, given that they are the best in the world [and] they had been tested, and the shipboard foods had affected their blood, with the expecta- tion of the long winter, which their bodies were accustomed to. However, I gave the greatest blame to the time spent with the women, that here are abundant; and if they are licentious and dis- orderly, it is not a surprise that there is afºiction. But with all, praised be Our Lord, they heal afterward; four or ªve days is its strength; I leave some who are most affected. It was very useful here what Your Highness sent with a full pharmacy.40 Columbus identiªed two illnesses—the “pox” or syphilis and intermittent fever, or çiçiones, which the Spanish also translate as tercianas. Although most scholars trace the ªrst instance of malaria in the Americas to Diego Méndez on the fourth expedition of Columbus, it could have occurred earlier, via infected Spaniards on any of the larger ºeets. The Relación del segundo viaje raises the possibility that malaria arrived as early as 1493.41 Columbus was well enough to author a report for the mon- archs, dated January 30, 1494, that was dispatched with a return ºeet of twelve ships under Torres. In it, he stated that he would have sent more gold had “the majority of men that are here, not fallen suddenly ill.” Wherever on the island the men went to ex- plore, “most fell ill after returning.” He also added, however, “The men will convalesce quickly, as already they do.” He be- EARLY HISPANIOLA | 375 40 Varela and Gil, Cristóbal Colón, 250–251. 41 The term çiçiones in Columbus’ text can be translated as intermittent fevers—the clear deªnition provided in the 1611 dictionary of Covarrubias Orozco. But it is also deªned in Spanish, as noted in the diccionario de autoridades, Diccionario de la lengua castellana (Madrid, 1963; orig. pub. 1726–1737), 3 v., as terciana sencilla (tertian fevers, ergo malaria). Many, in- cluding Guerra, Epidemiología Americana, 132–133, agree that malaria ªrst arrived in the Amer- icas on Columbus’ fourth voyage, but Cook, Born to Die, 46–50, suggests that it could have been introduced earlier. lieved that fresh meat would help, and he instructed Torres to bring back products that he deemed would have therapeutic ef- fects on what he perceived as an illness caused by water, food, and climate: “raisins, sugar, almonds, honey and rice . . . and . . . medi- cines.”42 The Torres ºeet departed in mid-February 1494. Not until the end of the year did three or four caravels sent by Torres to re- inforce the group return to Isabela with new supplies. In the meantime, three caravels under Bartolomé Columbus left Spain from the port of Cádiz, and then returned to Spain, within the same year. Later, on February 25, 1495, the ships of Torres began their return to Spain with a full cargo, including Amerindian slaves. In October 1495, four ships from Juan Aguado’s ºeet reached Hispaniola. Columbus returned to Spain in March 1495. Clearly, once the Hispaniola settlement began, continuous move- ment back and forth across the Atlantic Ocean ensued. The num- ber of people on a single sailing may not have been large, but the cumulative effect would have been substantial.43 Chanca made strenuous efforts to heal the European sick. Columbus instructed Torres to “inform their Highnesses of the la- bor that Doctor Chanca has facing so many sick and even the scar- city of food, and that in spite of all this he exhibits great diligence and charity in all that pertains to his craft.” Chanca’s own report to Spain onboard the Torres ºeet mentioned the impact of the illness on the ªrst European settlers: “There are so many things to do that we are not enough to do it all, because a third of the people have become ill in four or ªve days. I believe that the principal cause of it has been the hardship and the difªculty of the journey, in addi- tion to the diversity of the land, but I hope in Our Lord that all will rise healthy.” So great was the general fatigue, Chanca noted, that Columbus decided to end the search for mineral wealth until he had ªrst dispatched the vessels for Castile, “because of much sickness that there has been among the people.”44 the issue of nutrition Historians have speculated on the causes for the excessive mortality of the Europeans in the Carib- 376 | NOBLE DAVID COOK 42 Varela and Gil, Cristóbal Colón, 255, 256, 257, 259. 43 Gil and Varela, Temas colombinos, 18–19; Davidson, Columbus Then and Now, 314. 44 Gil and Varela, Temas colombinos, 1–48; Aurelio Tió, Dr. Diego Alvarez Chanca (Estudio Biográªco) (Barcelona, 1966), 19–29; Guerra, “La epidemia americana,” 328; Varela and Gil, Cristóbal Colón, 263; Gil and Varela, Cartas particulares a Colón, 173, 175. bean during the ªrst months after the arrival of the second expedi- tion. Based on symptoms provided by Chanca, and the description of Las Casas, Sauer argued that “the long voyage in close quarters must have been favorable to the spread of intestinal infection, fur- ther aided by their close congregation in building the town.” In 1992, Philips and Phillips wrote that “recent research suggests that the settlers may have developed Reiter’s syndrome, characterized initially by dysentery and later by arthritic conditions, especially of the lower joints; inºammation of the eyes, and even blindness; and a penile discharge. Its cause is a tropical bacillus named Shigella ºexneri, and it is spread by unsanitary food handling.”45 Indeed, both the Taino and the Europeans may have suffered from a form of bacillary dysentery. The description provided in a modern medical text resembles symptoms in the accounts of Co- lumbus and Chanca: “fever, drowsiness or irritability, anorexia, nausea, abdominal pain, tenesmus, and diarrhea. Blood, pus, and mucus appear in the diarrheal stools within 3 days.” Incubation is quick, one to four days. Severe diarrhea can cause dehydration. Death can occur within twelve days of infection; recovery can take as long as six weeks.46 Guerra described the symptoms for Spaniards and Amerindians on Hispaniola as “high fever, ague, prostration and great mortality, though those who recovered did not relapse.” As the disease spread, however, natives also “started to die in inªnite numbers.” In the mid-1980s, Guerra diagnosed inºuenza, and, more recently, typhus.47 The early impact of famine and malnutrition on the Europe- ans and the Taino is not well understood. The fast marches with inadequate supplies of food and tainted water led to dehydration, malnutrition, and, at times, outright starvation. The European diet was inadequate in the ªrst place; the adjustment to native- American food products compounded the problem. Spain’s drink of choice was wine, in substantial quantities. Al- though the long-term consequence could be liver damage, wine EARLY HISPANIOLA | 377 45 Sauer, Early Spanish Main, 76; William D. Phillips, Jr., and Carla Rahn Phillips, Worlds of Christopher Columbus (New York, 1992), 200; Gerald Weissman, “They All Laughed at Chris- topher Columbus,” Hospital Practice, XXI (1986), 30–41, points out the similarities to Colum- bus’ symptoms, as later described. 46 K. David Patterson, “Bacillary Dysentery,” in Kiple (ed.), Cambridge World History of Hu- man Disease, 605. 47 Guerra, “Earliest American Epidemic,” 323; idem, “Origen y efectos demográªcos del tifu,” 281. was relatively free of intestinal pathogens. The water that was con- sumed generally came from sources known to be relatively un- contaminated, but its intake per capita was limited. Other Old World liquids, such as milk and citrus juices, were not available during the initial period of settlement in the Caribbean. European consumption of native corn or manioc beer was slow to develop, and was largely conªned to mainland America. Nor is it likely, given the relatively low alcoholic content of American beer, for all dangerous intestinal pathogens to have been neutralized. Nor was coconut milk an adequate substitute. The only readily available liquid for the explorers to drink, and thereby avoid the heat pros- tration and stroke of dehydration, was water. But the water in Hispaniola was contaminated by pathogens unlike those in Spain. It could cause severe cramps, diarrhea, dehydration, and lethargy. By the descriptions of conditions and symptoms given in various accounts, many Europeans fell to dehydration and starvation, or weakened by them, fell prey to opportunistic diseases that led to death. The information on the plight of the European settlers is re- markably good. After the departure of the Torres ºeet for Spain, Columbus, recuperating from his illness, undertook a reconnais- sance of the island. He found conditions at Isabela critical, with “all the people weary, because few escaped death or illness, and those who still remained healthy were at least thin from little food.” He blamed the situation on his enemies, complaining that the supplies that had been loaded on the ships in Seville were of poor quality and were not properly stored. High humidity and heat sped up the process of spoilage in transit and on the island. Precious supplies of medicine and food ran out, to the point that they were forced to “purge ªve with one egg and with a kettle of cooked chick-peas.” The medicines that some of the men carried with them were insufªcient and at times unsuitable, and not enough healthy people were left to help those who had fallen ill.48 Henige recently examined how Juan Ginés de Sepúlveda, the royal chronicler, treated the difªculties faced by the Europeans on Hispaniola. According to Henige, Sepúlveda made no mention at all of death by disease “through the conquest of Mexico,” writing only “that the Indians adopted a scorched earth policy on Colum- 378 | NOBLE DAVID COOK 48 Las Casas, Historia de las Indias, I, 376–378. bus’s return in 1493, resulting in many of them dying from ‘hun- ger.’ The scarcity eventually spread to the Spaniards, many of whom in turn also died of ‘hunger.’” Henige could ªnd no other information in Sepúlveda’s chronicle “about the health of either the Indians or the Spaniards in these early days.” Henige categori- cally stated that Sepúlveda “added details about Indian and Spanish activities and attributed the mortality on the island to hunger, not to disease. . . . Indeed, he was very precise in this: ‘a great part of the Indians died from hunger. . . . Ignoring the testimony in Ginés de Sepúlveda’s brief account of Hispaniola in 1493–94 represents another lost opportunity to notice that some chroniclers did not [Henige’s italics] mention disease and to take their testimony into account.”49 Henige’s contention that hunger led to death on the island is sustained in other accounts, but his argument that disease was not a factor is specious. In fact, Henige lends more “authority” to the voice of Sepúlveda than seems warranted. Sepúlveda’s text has to be understood in the context of his long and heated de- bates with las Casas about the nature of Amerindians. Sepúlveda relied heavily on Oviedo for his information. He was never in America. He was an advocate of Spanish imperialism, as well as of the superiority of Europeans on theological grounds. He painted the native Americans in the worst possible light, to justify their control via the encomienda system. He omitted “evidence” that did not ªt his rhetorical scheme, just as las Casas did in the Brevissimia relación when he ignored disease in order to emphasize the cruelty of the Spaniards. Sepulvéda’s intention was to high- light the Amerindians’ “scorched earth policy” as the cause of Spanish, as well as ultimately their own, deaths. That Sepúlveda would make no mention of disease is no surprise. Eyewitness ac- counts of this “scorched earth policy” do not hesitate to mention illness.50 A case can be made that as many Spanish settlers lay ill and dying, the native peoples of Hispaniola were also ill and unable to plant and harvest. They, too, died of hunger and sickness. In six- teenth-century Europe, the periods of starvation and epidemic disease coincided with almost mechanical regularity. The pur- EARLY HISPANIOLA | 379 49 Henige, Numbers from Nowhere, 173. 50 Cook, Born to Die, 1–5; personal communication with Stafford Poole, March 16, 2000, and Adorno, May 19, 2000. ported “scorched earth policy,” a well-known Old World ªghting technique, employed in the recent siege of Granada, does not seem to ªt the case of Hispaniola. What Columbus and others may have been describing was the slash and burn agriculture on part of the island, where the overgrowth was ªred each agricultural cycle in the dry period from January to March, assigning to it a meaning with which they were familiar. Furthermore, the principal Amer- indian staple on the island was manioc, which produces for several seasons after being planted. In its unprocessed form, bitter manioc, which contains cyanic acid, can be deadly; it may well account for some of the early European mortality. Famine is a regular conse- quence of epidemic disaster. On the other side of the coin, epi- demics often follow on the heels of major crop failures. As often happens, starvation coincided with disease during the early period of settlement, and it affected both Europeans and native Ameri- cans.51 Mortality for the Amerindians on Hispaniola was high, but those sent to Spain perhaps faced a quicker and more certain death than those left behind on the island. An informative letter, written by Morelletto Ponzone in Ferrara, Italy, in June 1494, to the Marquesa of Mantua referred to the natives that had been sent to Europe with Torres as “people of our stature, . . . and all go about nude, men and women, . . . And they are so weak by nature, that two fell ill in Seville, in such a way that the physicians could not deal with their illness, and could not ªnd their pulse, and they are dead.”52 Many of the ªrst European explorers in the Caribbean died from a combination of hunger, malnutrition, and starvation, as well as heat stroke and intestinal pathogens associated with con- taminated water—especially under conditions of extreme stress. Some may have come down with Reiter’s syndrome, as noted by Phillips and Phillips, or encephalitis lethargica, which displays similar symptoms; others may have suffered from recurrent malaria. Ty- phus and inºuenza might have been introduced, but, as noted, the survival and propagation of the two diseases in the warm Carib- 380 | NOBLE DAVID COOK 51 John Walter and Roger Schoªeld (eds.), Famine, Disease and the Social Order in Early Modern Society (Cambridge, 1989); Watts, West Indies, 57. 52 Raccolta di documenti e studi pubblicati dalla R. Commissione Colombina nel quarto centenario della scoperta dell’America (Rome, 1892), III, no. 1, 169. Part of Ponzone’s letter is provided by Gil and Varela, Cartas particulares a Colón, 258. See also Phillips and Phillips, Worlds of Colum- bus, 201–202. bean basin, particularly among natives with fastidious hygienic practices, would have been problematic. If typhus had been the principal culprit, tabardillo or tabardete would have been mentioned by one of the contemporary observers. Likewise, if inºuenza had been a major factor, the descriptive catarro label would have been employed in the texts. Both words are fairly popular labels of the symptoms in the Iberian nomenclature of the period. The descrip- tion of the symptoms of Europeans who landed with the second expedition would certainly warrant their use, had the observers been so inclined. Many of the Spanish men undoubtedly came down with syphilis. Subsequent European settlers faced a similar lack of food, contamination, and sickness, resulting in considerable mortality. The historical record for these later expeditions is more complete. Las Casas, who ªrst came to Hispaniola with Ovando’s ºeet in 1502, along with over 2,000 colonists, described the health prob- lems facing his cohort. Even a decade after Columbus’ initial ex- pedition, Ovando’s ºeet carried insufªcient foodstuffs, and the settlers were unable to cope with the conditions on land. As was the case in the second expedition of Columbus, many men at once set out in search of precious metals. But again, food ran out after a week of hard work, and the starving miners returned to Santo Domingo. “With this the land tested them, giving them fevers,” las Casas recalled. Without adequate foodstuffs, medicines, and supplies, “they began to die to such an extent that the clerics could not even bury them. More than 1,000 of the 2,500 died, and 500 of them with great anguish, hunger and need, remained sick.” Although the death rate for the Europeans during the initial years of acclimatization was high, many more Amerindians per- ished. Las Casas later wrote that rapid native depopulation of the island continued during Ovando’s administration. “Thus, the multitude of vecinos and peoples who were on this island were being consumed, who according to what the admiral wrote to the monarchs had been innumerable . . . and in the said eight years of that administration more than nine-tenths perished. From here this drag-net passed to the island of San Juan (Puerto Rico) and to Jamaica, and afterwards to Cuba, and after that to Tierra Firme, and thus it spread and infected and devastated all this sphere.”53 EARLY HISPANIOLA | 381 53 Las Casas, Historia de las Indias, II, 266, 257. return to the jeronymite inquiry Many of the witnesses at the Jeronymite inquiry of 1517 suggested that the Indians should live in closer proximity to the settlers so that they “could be better cured of their sicknesses.” Vázquez de Ayllón, an important ªgure in the attempt to settle Florida who ªrst came to Hispaniola around 1504, provided especially informative testimony, much of it dealing with health, hunger, and the impact of maltreatment. He did not believe that the natives should be congregated into towns. He argued that even mention of a new repartimiento, or settlement effort, would cause unrest and that concentrating the natives would create many difªculties. They faced enough prob- lems already; the villages of caciques that were located next to Eu- ropean settlements were already deserted. His solution was an encomienda system that would include adequate salaries, clothing, and bedding. He believed that “they should not sleep on the ground as is commonly the case, because this is a thing that is a principal cause for the said Indians to sicken and not live long.” He urged that all natives be provided with their traditional ham- mocks.54 Like other witnesses, Vázquez de Ayllón pointed out that sickness could be alleviated in the city of Santo Domingo with more physicians. Elsewhere on the island, however, the care of ill Taino was more problematic. He recommended that a doctor and a surgeon be funded and appointed in the mining town of Villa de Buenaventura, the city of Concepción, and the Villa de Santiago to help cure the natives. The surgeons should specialize “in wounds, which is the most common malady among the Indians, and in their ills they would be useful also, although they do not is- sue prescriptions in the pharmacies.” He recommended the stan- dard European treatment for disease. The physicians should bleed the natives as necessary, provide the proper diet, or purge them. If the illness were serious enough, the Indians should be permitted to return to their homes, with proper medicines. The ill should be given time for complete recuperation to avoid relapse. Also, simi- lar to several other witnesses, he attributed the death of so many Tainos to travel between the mines and lands under Spanish con- trol. The change in their diet was partly to blame. But Vásquez de Ayllón was loathe to consider a separation of the Indians from the 382 | NOBLE DAVID COOK 54 Rodríguez Demorizi, Los Dominicos, 303, 290, 299, 322. Spaniards, and their Christian inºuence, whereby the natives “would perpetually be beasts condemned to hell.” Yet, if the na- tives were settled in communities next to the Europeans, they would continue to perish. His solution, not a good one, was to make the encomiendas perpetual, requiring that the enco- menderos with their wives reside in the land. Nonetheless, regard- less of his recommendations, he predicted that the Taino popula- tion would diminish, “because they are people who die just from living in order, even though they might be idle.”55 Many explanations were given for the demise of the Taino, from forced service in the mines to dislocation. But no matter what the conditions were, the natives continued to die. The per- fect cases in point were the native women married to Spaniards. According to Vázquez de Ayllón, they were “being treated as is reasonable that men would treat their own wives, without being involved in any work, going about always clothed and sleeping in Castilian beds, and eating good foods, the greater part of them, and more, are dead. . . . The rest of them that are still alive are consumptive and sick, and the same thing has happened with the women who are brought up with Spanish women who put them to embroidery and have them well treated and taken care of in their homes without making them work.” Vázquez de Ayllón ex- plained that the “same [thing happens to] the Indians who are scattered in villages that do not have mines in which the said Indi- ans work, nor do they work except in guarding livestock and planting cotton and tilling, and the women in spinning cotton and making shirts of it, and of these Indians as many are missing and die as those who work in the mines.”56 Pedro Mexia, the Provincial Commissioner of the Franciscan Order, for their newly created Province of Santa Cruz, who had come to the island in 1506, was convinced that the Taino wanted nothing more than to live freely. He observed that the best candi- dates for conversion were the children and grandchildren, rather than the elders, who seemed more ªxed in their ways, though it should be voluntary in any event. He further recommended that the Taino not be assigned to encomiendas but that they should be expected to provide some tribute to the Crown. If left free, “from EARLY HISPANIOLA | 383 55 Ibid., 323, 324, 328. 56 Ibid. today in twenty years, if at present there are 20,000 souls, there will be on the island 100,000, but if they leave them in encomienda as they are presently are, there will not be here in the same period 2,000 people of the 20,000.” The friar’s words were prophetic.57 Diverse testimony provided the Jeronymites little guidance for the ªnal decision that they reached in late 1518. They con- cluded that the Indians should be freed from absentee Spanish encomenderos and concentrated into 25 or 26 villages of 400 to 500, under their caciques, the better to protect those remaining and indoctrinate them in the faith. Encomenderos and other set- tlers, who wanted control of these workers, voiced strong opposi- tion, as did some parties at the court. In spite of any good intentions, however, all came to naught. In January 1519, the Jeronymites wrote to the king that they had settled natives in some thirty villages, but just as the men were ready to go to the mines in December 1518, “It has pleased Our Lord to give the said people a pestilence of smallpox that does not cease, and almost a third of the said Indians have died in it and continue to die at present,” despite their best efforts. They swore that if the “pestilence” continued for two more months, no gold could be produced that year. They requested the king to authorize importation of male and female African slaves, without imposition of taxes. They also noted that “from the said pestilence of smallpox some very few of our Span- iards have sickened but have not died; although we are all fearful, either of the said smallpox or of another pestilence.”58 The smallpox epidemic that began in the Caribbean in De- cember 1518 and spread to the mainland of America is solidly doc- umented. The consequences were catastrophic for Amerindian peoples. Historians have provided tentative explanations for why it took smallpox so long to reach American shores, such as the length of time that voyages took and the small number of young Europeans who were susceptible to provide the mechanism for transfer. Others suggest that smallpox had to await a large enough number of young susceptible slaves from the coast of Africa. The possibility that an epidemic may have occurred in 1493 provides another explanation of why an epidemic did not break out in the 384 | NOBLE DAVID COOK 57 Ibid., 330. 58 Moya Pons, Española, 241, from the Colección de documentos inéditos para la historia de las Indias, I, 366–368. Caribbean until 1518. Explosive smallpox epidemics occur only among large numbers of susceptible individuals. For this reason, major epidemics recur at approximate generational intervals.59 By 1519, the disaster for the Taino was almost complete. But the process had begun much earlier, at the inception of settlement. Unprepared and starving Europeans died rapidly in the years be- tween 1493 and 1496, as did the aboriginal population. The out- siders forced the locals to give them food, or they pillaged it from the ªelds. As Oviedo pointed out, the Spanish settlers hunted down and eliminated much of the edible wildlife, including dogs—theirs and the natives’. Oviedo concluded that during the ªrst three years, “more than two parts, or half of the Spaniards died, and of the Indians themselves so many died that they could not be counted.” As in Europe, famine and sickness coincided, and the Spaniards introduced modorra, as well as “intermittent fe- vers,” on the second expedition. Columbus wrote that some Taino died from smallpox as the ºeet was beginning the return voyage to the Caribbean. Chanca and other contemporaries men- tioned sickness, but without the more precise terms indicating the exact, or apparent, nature of the maladies.60 The lack of speciªcity with regard to disease has two plausible explanations: First, the Europeans were sick and dying, and, sec- ond, because of their own suffering, they were not inclined to re- cord the sickness among the native population. Numerous factors EARLY HISPANIOLA | 385 59 Francis J. Brooks, “Revising the Conquest of Mexico: Smallpox, Sources, and Popula- tions,” Journal of Interdisciplinary History, XXIV (1993), 29, posited that the epidemic that swept Mexico in 1518 may have been a mild form of smallpox, but few died. According to Brooks, those who argued that one-third to one-half of those affected died were wrong: “No such catastrophe actually occurred.” But Robert McCaa, “Spanish and Nahuatl Views on Smallpox and Demographic Catastrophy in Mexico,” Journal of Interdisciplinary History, XXV (1995), 397–431, clearly proved otherwise. McCaa also deals effectively with the extent to which smallpox was considered a childhood afºiction in sixteenth-century Spain, discussing the matter of immunity versus genetic diversity to explain differential mortality. See Francis L. Black, “Why Did They Die?” Science, CCLVIII (1992), 1739. The interval between smallpox epidemics is short when the disease becomes endemic. See S. R. Duncan, Susan Scott, and C. J. Duncan, “Smallpox Epidemics in Cities in Britain,” Journal of Interdisciplinary History, XXV (1994), 255–271. Crosby, Columbian Exchange, 46; Hanns J. Prem, “Disease in Six- teenth-Century Mexico,” in Cook and Lovell, Secret Judgments of God, 21–48. 60 Oviedo, Historia general, I, 48. Lynn A. Guitar, “Cultural Genesis: Relationships among Indians, Africans and Spaniards in Rural Hispaniola, First Half of the Sixteenth Century,” unpub. Ph.D. diss. (Vanderbilt University, 1998), argues for Taino survival, especially cul- tural. worked in conjunction—overwork, malnutrition, contaminated food and water, disease, and armed conºict—to cause the demise of the Taino and many of the Europeans trying to acclimate to the new environment. A decade later, licentiates Zuazo and Espinosa sent another long report to Spain, placing the blame for the disas- trous loss of the native population on overwork, but also noting that the majority had died of diseases, “smallpox, and many other illnesses,” that did not seem to afºict the Spaniards. It seemed al- most inexplicable to the two men that, for some reason known only to God, such was the case. Like English settlers of the north- eastern part of the American continent just a century later, they found the divine hand in the process. The Crown of Spain and the Christians were receiving control of this land as had happened “in the Promised Land at the time it was given to the people of Israel.”61 386 | NOBLE DAVID COOK 61 Roberto Marte (ed.), Santo Domingo en los Manuscritos de Juan Bautista Muñoz (Santo Domingo, 1981), 281, from the Muñoz Collection in Madrid, Tomo A/105, folios 78–89. 
work_fwmddiadcbhm3gbdhhcfn5x4ta	----	making Banks’s splendid correspondence more readily accessible. Despite their limitations, these six volumes offer entertaining reading as well as a rich resource for future scholarship. Patricia Fara, Clare College, Cambridge Katharine Park and Lorraine Daston (eds), The Cambridge history of science: vol. 3, Early modern science, Cambridge University Press, 2006, pp. xxvii, 865, illus., £90.00, $160.00 (hardback 978-0-521-57244-6). What are Cambridge Histories for? They go back to The Cambridge modern history planned and initially edited by Lord Acton (1834–1902) though he did not live to see the first volume published in 1902. It appeared at a time when most Anglophone historians believed that all the major facts of history could be encompassed within the boards of thirteen volumes and that they demonstrated the progressive triumph of liberalism. Times have changed; many multi-volume Cambridge Histories have since been published ranging from Christianity and Literary Criticism to Russia, Turkey, Libraries and now the History of Science in eight volumes. Placed neatly on the open access shelves of national and university libraries, such histories convey a sense of authority which means that they are consulted by scholars in other disciplines seeking apparently easy access to the subject. In reality, in our post-modern world, these volumes of collective effort, like any other text, provide a selection that reflects the interests, knowledge, prejudices, etc. of the editors and individual contributors. And this volume, of course, cannot by any means represent the sum totality, pace Acton, of what is known about science in the early modern period defined as “from roughly 1490 to 1730” (p. 1), that is from the voyages of Christopher Columbus to the death of Isaac Newton. Although some of the contributors, such as Steven Shapin, seek to rise above the Whig origins of the genre of the Cambridge Histories, there is nevertheless a sense in the volume of looking forward to what comes after, perhaps best encapsulated in the heading ‘The artist as scientist’ (p. 786) for the discussion of Leonardo da Vinci (1452–1519) by the art historians Carmen Niekrasz and Claudia Swan—this is surely something that the editors should have picked up following Shapin’s critique earlier in the volume of such anachronistic usage. The volume is divided into four parts, the first dealing with the ‘New nature’ followed by discussion of personalities and sites of natural knowledge. This part includes some of the most interesting chapters such as William Eamon on ‘Markets, piazzas, and villages’, Bruce Moran on ‘Courts and academies’, and an especially excellent piece by Adrian Johns on ‘Coffeehouses and print shops’. The third part is entitled ‘Dividing the study of nature’. Despite having some good pieces, the title immediately raises the (unanswered) question of whether it is historically appropriate to divide natural philosophy, astronomy and astrology into three separate chapters, or natural philosophy from mechanics. Such divisions do not lend themselves to the understanding of the place of natural knowledge in contemporary society and culture and may obscure links. What happens, and William Donahue’s chapter on astronomy is a particularly good (i.e. bad) example, is that history becomes the study of the relations between texts across time, rather than the study of the relationships between practitioners across geographical, social and cultural space. The tendency of this volume to split knowledge apart becomes most marked in the fourth and final section ‘Cultural meanings of natural knowledge’. I do have to wonder whether having a set of chapters at the end of the book entitled simply ‘Religion’, ‘Literature’, ‘Art’ (music is treated as part of acoustics), and ‘Gender’, ending up with a piece on European expansion is the best way of discussing the place of natural knowledge Book Reviews 544 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0025727300003057 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:19, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0025727300003057 https://www.cambridge.org/core in the sixteenth and seventeenth centuries. Much scholarly work has been done over the past few decades showing how knowledge of nature, including mathematics (closely related to both art and music, not to mention accountancy), fitted in as part of overall culture. The approach adopted in this volume appears to be veering away from that fruitful path. The neglect in this volume of such significant recent historical work, mostly undertaken in Europe, may well be a consequence of its being published by the New York office of Cambridge University Press and because both the editors and twenty-five out of the thirty-four contributors are American (other volumes in the series are more representative of the geography of scholars). This is not merely a nationalistic point, but one that is crucial to the development of the history of science in America which was, and still is, heavily influenced by the positivistic legacy of George Sarton (1884–1956), widely taken to be the founder of the discipline in America. Referred to approvingly in the General Preface, Sarton also planned an eight-volume history of science inspired by the Cambridge Histories. At one level the Whig notion of progressive improvement over time, embodied in The Cambridge modern history, and the positivist idea of the development of society through its three stages have much in common. Such commonalities may account for the way in which they are both combined in the structure of this volume and also in some of the contributions. Yet, as I have indicated, there are other ways of doing history of science, some of which are illustrated here. But, as a whole, the volume does not, in my view, provide a proper representation of where we are in the history of science in the early modern period and a non-specialist would be well advised also to consult other texts. Frank A J L James, Royal Institution Eilidh Garrett, Chris Galley, Nicola Shelton and Robert Woods (eds), Infant mortality: a continuing social problem. A volume to mark the centenary of the 1906 publication of Infant mortality: a social problem by George Newman, Aldershot, Ashgate, 2006, pp. xvii, 293, £55.00 (hardback 978-0-7546- 4593-1). As its sub-title states, this collection of essays is a cumulative reflection on the themes of George Newman, the first Chief Medical Officer to the Ministry of Health’s 1906 seminal investigation into infant mortality. As the first part of the title suggests, however, it also aims to draw attention to how far his concerns as to the geographic and socio- economic differentials in infant mortality continue to be upheld with more detailed analysis. The contributions are uniformly high in quality, and form an admirably cohesive whole. Taken together, they provide a commentary on different aspects of Newman’s work, contextualized by two chapters on Newman himself. Significant nuances are provided to his general conclusions, especially on the rural/urban division in infant mortality rates (IMRs). The book ends with several chapters with a modern and forward-looking stance, which highlight the need for ongoing concerns as to inequalities in infant health in modern Britain. Newman’s 1906 Infant mortality: a social problem was not a path-breaking analysis. Rather, as the first chapter by the editors and the second and third by Chris Galley and Robert Woods respectively point out, its strength came from its drawing together of writings and current thought on IMR. It was published at a time when infant mortality was becoming a high profile area of investigation, and it was immediately influential. Its main thrust was to identify ways in which infant mortality might be lowered; a pertinent concern given the persistently high death rate of the young compared with other age groups (although Newman’s work actually appeared as it was beginning to enter its period of dramatic decline). He identified several Book Reviews 545 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0025727300003057 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:19, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0025727300003057 https://www.cambridge.org/core 
work_fxp7sabfobd2vin5z5m7vzirhq	----	03_Romero Environment and History 8 (2002): 255–74 © 2002 The White Horse Press, Cambridge, UK. Environmental History of Marine Mammal Exploitation in Trinidad and Tobago, W.I., and its Ecological Impact ALDEMARO ROMERO1 RUTH BAKER JOEL E. CRESWELL Environmental Studies Program and Biology Department Macalester College 1600 Grand Ave., St. Paul, MN 55105-1899, USA ANURADHA SINGH Department of Life Sciences University of West Indies St. Augustine Trinidad & Tobago, W.I. ANNABELLE MCKIE MICHAEL MANNA Department of Biology Florida Atlantic University Boca Raton, FL, USA ABSTRACT Marine mammal exploitation has been documented for the Caribbean in recent times for only a handful of countries. Based on those studies a complex image of how that exploitation has taken place has begun to emerge. In order to fully understand whaling, dolphin fisheries, and manatee hunting, we still need to ascertain patterns of exploitation for many of the island-nations in that part of the world. We present a comprehensive analysis of marine mammal utilisation for Trinidad and Tobago. Trinidad and Tobago has been characterised by land- based whaling, organised during most of the nineteenth century by local elites. Dolphin fisheries have been rare and restricted to by-catches. Trinidad has the last remaining population of manatees among the eastern Caribbean islands, which is composed of a small number of individuals confined to a small swamp. ALDEMARO ROMERO ET AL. 256 We compared the history, patterns, and results of this exploitation in Trinidad and Tobago with other neighbouring nations (Venezuela, Grenada, and St. Vincent and the Grenadines). As in other countries in the area that practised intense whaling, local populations of humpback whales have become virtually extinct in their waters. Culture, more than anything else, seems to be the force shaping the nature of marine mammal exploitation in the Caribbean, which has resulted in different histories and methods of exploitation for each one of the countries studied. KEY WORDS Historical ecology, marine mammal exploitation, whaling, dolphin fisheries, conservation, Caribbean, Trinidad and Tobago INTRODUCTION In order to better understand ecological modifications at large temporal scales we need to apply a historical perspective.2 That means that increasingly we have to use palaeoecological, archaeological, and historical data in order to extend ecological records back long enough to understand changes on natural resources through time.3 This approach has already been successfully employed for reconstructing the pre-Columbian conditions of coastal ecosystems for the northern Caribbean4 and for specific resources such as pearl-oyster beds along the northern coasts of South America.5 Also, the incorporation of environmental background when interpreting history is becoming more commonplace.6 The arrival of Europeans on the American continent offers a good opportu- nity to analyse neoextinctions. Post-Columbian extinctions are not only more recent in time but also much better documented from a historical perspective, providing us with the opportunity to understand the interplay of social and ecological factors. For example, the history of marine mammal (cetaceans, seals, and manatees) exploitation for many parts of the Caribbean is poorly known. West Indian manatee (Trichecus manatus manatus) exploitation has taken place since pre-Columbian times and most populations have been extirpated by now.7 Organised commercial whaling and dolphin fisheries have existed in the south- ern and eastern Caribbean for at least two centuries.8 From a recent review of published literature on marine mammals for the Caribbean,9 it can be concluded that the islands of Trinidad and Tobago are probably among the least known for their marine mammal diversity and utilisation in that part of the world. Despite the fact that a number of whaling operations took place during the nineteenth century, the information is scant, especially when dealing with the exploitation of small species of marine mammals. Further, in recent years, an increasing MARINE MAMMAL EXPLOITATION 257 number of Caribbean countries have joined the International Whaling Commis- sion and have stated their intention to resume whaling and/or support the return to commercial whaling by other nations.10 Thus, more comprehensive and up- to-date information is needed regarding the marine mammals utilisation for this area. The aim of this article is to document the past and present of both the exploitation practices and the conservation status of marine mammals in Trini- dad and Tobago. This is part of a long-term study on the distribution and conservation status of cetaceans in the Caribbean. Studies for Venezuela and Grenada have been completed and published.11 Here we provide all available historical records of marine mammal utilisation for Trinidad and Tobago and then analyse this information within its own historical context. FIGURE 1. Map of Trinidad, including the localities mentioned in the text. ALDEMARO ROMERO ET AL. 258 METHODS This paper is largely based on field and archival studies carried out between the 8 and 20 January 2000 and 12 and 24 March 2001. We explored all known land- based whaling sites, all of them located in the north-western area (‘Bocas’) of Trinidad (Figure 1), where we examined all possible remains of whaling operations. Any indication of whaling activity in the area was photographed and/ or videotaped. We also visited the National Library, National Archives, the National Museum at Port-of-Spain, the West Indiana Library Collection at the University of the West Indies in St. Augustine, the Biology Seminar Library of the same university, the Library of the Institute of Marine Affairs, and the archives of the Wildlife Division and the Fisheries Division. There, we examined every available publication, record or remain related to marine mammals. All pertinent documentation was photocopied, scanned and electronically stored, photographed, and/or video taped. We also visited the following fishing towns: Maracas Bay, La Filette, and Blanchisseuse (in Trinidad) and Castara Bay, Speyside, and Charlottesville (in Tobago) (Figures 1 and 2). We interviewed the fishers from those localities about FIGURE 2. Map of Tobago, including the localities mentioned in the text. MARINE MAMMAL EXPLOITATION 259 past and present marine mammal utilisation.12 We visited the Nariva Swamp where has been reported the last remaining population of manatees for Trini- dad.13 Toponyms were used based on official Trinidadian maps: Directorate of Overseas Surveys for the Government of Trinidad and Tobago Sheets 4, 11, 12, 36, 46, at a scale 1:25,000. RESULTS AND DISCUSSION Historical Account Pre-Columbian Era There is only one piece of evidence of possible utilisation of cetaceans by pre- Columbian inhabitants of Trinidad: remains of an unidentified cetacean from St. Joseph (the first Spanish capital of Trinidad) on a branch of the Caroni river on the south side of the North Range.14 There is no indication on the type of capture. Land-Based Commercial Whaling European knowledge about cetaceans in the waters of Trinidad and Tobago is presumed to have begun with Christopher Columbus naming the Gulf of Paria as ‘Golfo de la Ballena’ (Whale’s Gulf), although from reading his diary it is not clear whether or not he saw whales in those waters.15 Equally unclear is when commercial whaling began in the area. According to a display at the National Museum at Port-of-Spain, ‘Whaling was one of the earliest industries of Trinidad. A whaling station existed at Bulmera Bay, Chaguaramas in 1775. The whales were sighted at Bob Rocks, which was named after the female slave, Bolo, a whale watcher who gave the signal of a sighting by blowing a conch shell.’ This reference does not seem reliable for a number of reasons. First, in 1775 Trinidad was still under Spanish rule and there is no historical record of the Spaniards ever been involved in whaling in the American continent other than through Basque whaling along the eastern coasts of North America. Second, we examined a map of Chaguaramas dated 179216 deposited at the U.S. Library of Congress and could not find any indication of a whaling station in that locality. Third, we could not find the author or the source of this display. Finally, none of the sources consulted for this paper mentioned in any way such an operation.17 Commercial whaling most likely began around 1826. In that year, C.A. White, a retired sea Captain from Bermuda, bought 17 quarrees (55 acres) of land on the flat westernmost tip of Gasparee (Gaspar Grande), from a Trinidadian, Mr. de Percin. This land later came to be known as Pointe Baleine (Whale Point) and in May 1827, White petitioned the Cabildo (Port-of-Spain Council) for permission to open a subscription list to establish a whaling industry.18 The ALDEMARO ROMERO ET AL. 260 Cabildo granted his request, since they felt it would not interfere with their sale of coconut oil from Manzanilla on eastern Trinidad; the 2,400 gallons they produced each year could not satisfy local demand for lamp oil. White appointed Charles Hugon as his sales agent.19 A 15 March 1826 article describes the first whaling operation as follows: Sometime ago we noticed the introduction of the Whale Fishery in this Gulph;20 and we have much pleasure in stating that the commencement of the undertaking affords every prospect of success and profit to the enterprising speculators. In the beginning of last week the arrangements were completed, boiling houses & c. having been erected of the west end of the Island of Gasparee: and the sloop Mary & Lucy Ann and two whale boats commenced the fishing on Thursday last, and in a short time two large whales were struck but owing to delay on the part of the boats, both made their escape. On the same day, however, a small one was struck and taken; and on Monday morning the boats took two large whales to the works. On Saturday and Sunday a number of residents of Port-of-Spain visited the works, which with the rest of the apparatus, we are informed are very complete.21 Shortly after this notice, local newspapers published a series of advertise- ments for ‘Whale oil the produce of the Trinidad Whale Fishery’ for sale as well as ‘Spermaceti candles’.22 To accommodate these activities, a ferry service was introduced in the late 1820s, with the S.S. Woodford facilitating movement of produce and people between the islands and the mainland.23 In 1830 between 14 and 15 whales were killed using one boat and Trinidadian whale oil was priced at half the international market price24 while importation of whale oil dropped sharply by that year. Most oil was used for burning in lamps and (mixed with honey) as flu remedy. Although most oil was locally consumed, some was exported (mostly to British colonies) and whalebone was also sent to London.25 All land-based whaling took place in the island of Trinidad and there is no indication that such operations ever took place in Tobago. These operations must have required extensive local investment, given that from the beginning we find the names of upper-class Trinidadian families involved in this business. By the 1830s, the whole whaling industry had expanded into four stations: two on the north coast of Gasparee Island or Gaspar Grande (10°40'00" N, 61°39'55" W), one being at Point Baleine, mentioned earlier, owned and managed by White and the other presumably at the present Belle Vue Bay owned by the Tardieu family.26 The third was located at Copperhole (or Jenny Point) at Monos Islands (10°40'30" N, 61°41'00" W) owned and managed by the Gerold family,27 and a fourth was established at Chacachacare Island (probably in what is today Sanders Bay at 10°40'15" N, 61°45'00" W), operated by members of the Gerold family and Friederich Urich who had formed a partnership in 1834,28 but originally established by the Carige family.29 All of these were merchant and planter families. The Urichs had been MARINE MAMMAL EXPLOITATION 261 involved in the coconut oil production and sales; therefore, they saw in the whale oil a way to expand their business.30 The development of commercial whale fisheries in Trinidad coincided with bad economic times for the island and with a decline in the local population between 1827 and 1833.31 The whale hunting method, as well as the whaling stations,32 were very primitive. They used ‘pirougues’ (wooden skiffs made of a hard, heavy wood, locally known as balata or poui, Tabebuia spp.) led by a captain at the stern, six stalwart oarsmen, and a harpooner in the bow. These boats were at the Bay, and when a whale was sighted a horn would be blown, signalling the crew, who all lived at the Bay, to run down the hill to man the boats, and push them off. When a cow was spotted with its calf, the whaler aimed at wounding the calf with the least possible injury in order to ensure that the mother could be easily approached and harpooned. A flag was stuck in the whale, the mouth was sewn up so it would not take in water and sink, and it was towed into the station. Local personnel worked for up to 24 hours at a time flensing the animal, as near to the shore as possible, and the slices of blubber were carried to the sugar coppers, for boiling to extract the oil. During this period, numerous sharks showed up to take bites out of the remains of the whales. Apparently they were so numerous that the whaling company had to employ men to kill them with harpoons and hatchets. The whaling season was between January and May. Between 1830 and 1862, the number of whales caught annually was between 20 and 35, the oil (about 20,000 gallons on average) was taken to Port of Spain, for export or local use as lamp oil or medicine-whale oil, and the meat was locally consumed.33 These whaling techniques may have been introduced by ‘Old Abraham’ a Bermudan whaler.34 In 1834, the Gerolds brought a professional harpooner from Germany and that same year asked the Governor Sir George Hill to refuse authorisation for the American Schooner Harmony, out of Nantucket, to whale in the Gulf.35 Kenny and Bacon (1981) say that the species exploited was ‘pilot whales, Globicephala, although occasional sperm whales were taken’, yet, the descrip- tion of the whales in the contemporary records as well as the name used to identify them at that time36 lead us to believe that they were humpback whales, Megaptera novaeangliae. This is consistent with the fact that the whaling season coincided with the migration season of humpback whales into those waters. Further, pilot whales are not as productive in terms of blubber as humpbacks are. Whaling operations continued until at least 1865 although there is some mention of operations as late as the 1870s.37 We and others38 have checked contemporary documents but have failed to find any evidence of commercial whaling after 1865. From the 1870s, on, there was an overproduction of whale oil which, together with kerosene being used for lamps fuel, brought prices down.39 Even if the local whale population had survived, its hunting would probably not have been commercially feasible. ALDEMARO ROMERO ET AL. 262 Today there is little left of these whaling operations. We found and videotaped three coppers and one container submerged just a few metres from the former Copperhole station, which had been thrown there when the station was converted into a Sea Scouts facility.40 Yankee Whaling Activities by Yankee whaling ships for Trinidad and Tobago have been summa- rised elsewhere.41 All indications are that there was never much interaction between Yankee and land-based whalers. Yankee whaling in the area did not start until the 1830s, when their Trinidadian counterparts were already fully engaged in whale hunting. If anything, Yankee whaling may have furthered the whale population decline. Current Utilisation Whaling is no longer practised in the waters of Trinidad and Tobago. Baleen whales no longer frequent Trinidadian waters and are only seen in very few numbers around Tobago. We hypothesise that humpback whales have become extinct in the waters of Trinidad, particularly in the Gulf of Paria. This conclusion is supported by a number of facts: 1) With the exception of a possible, but unconfirmed, 1922 record42 of what appears to be a humpback whale (M. novaeangliae) which, according to the caption, was washed up on the beach, there are no records of humpbacks or any large whale for the Gulf of Paria in the twentieth century; 2) our extensive interviews with local fishers revealed that none of them have ever seen or heard of any large whale being seen in the Gulf of Paria; 3) a visual and acoustic survey in March 2000 in the Gulf of Paria failed to produce any record of any large whale in that area.43 Based on the evidence presented in this paper and elsewhere,44 there is little question that humpbacks were very common in the Gulf of Paria during the nineteenth century. We also know that until 1926 they were common in the neighbouring island of Grenada.45 Therefore, it is worthwhile to speculate on the possible causes for their local extinction. A common hypothesis we have heard and read is that their local extinction was prompted by pollution.46 However, such disturbances are relatively new (post Second World War) and do not explain why they have not been seen since late last century. The data presented in this paper is consistent with our hypothesis that these whales were driven into local extinction by the whaling operations described in this paper. Similar exploitation patterns were also responsible for the extinction of local populations of the same species in Grenada.47 Figure 3 shows the levels of whale captures. Despite the lack of information for some years, confirmed reports point to at least 500 whales being killed between 1826 and 1865. To that we need to add catches by Yankee whalers. In the neighbouring island of MARINE MAMMAL EXPLOITATION 263 Grenada in 1925 and 1926, 102 and 72 humpbacks were taken respectively and that drove the local population to almost complete extinction, to the point that they are now very rare in those waters.48 Therefore, the number of 500+ catches over a 40-year period is not an unreasonable foundation supporting our premises. Because of this lack of whales, whale-watching in the waters of Trinidad and Tobago is not a very likely activity. Although official documents that we had the opportunity to review at the Wildlife Section casually mention that ‘all cetaceans (are to be considered) endangered’, the fact of the matter is that they lack legal protection under either the Fisheries Act (1980) or Conservation Wildlife Act (1980). Japan has requested the government of Trinidad and Tobago to join the IWC and to oppose the ban on commercial whaling.49 To date, the Trinidadian government has done neither. Dolphin Fisheries Dolphin fisheries have always been rare in Trinidad and Tobago waters. Reports of these activities are scant and most are related to accidental nettings. Earlier reports are from the beginning of this century50 and they relate to some occasional harpooning of ‘porpoises’. There are also some more recent reports of ‘porpoises’ being occasionally harpooned in Tobago.51 Our interviews with 1830 1840 1850 1860 40 35 30 25 20 15 10 5 0 Number of Whales FIGURE 3. Confirmed whale catches for Trinidad based on Reeves et al. 2001. The solid line represents variations among consecutive years. ALDEMARO ROMERO ET AL. 264 the local fishers have convinced us that active dolphin fisheries do not and have not taken place for many decades in Trinidad and Tobago in any significant way. The only place in which fishers were not totally forthcoming to us was in Charlottesville, Tobago, probably due to bad publicity regarding an incidental netting in the past.52 In general, dolphin fisheries in Trinidad and Tobago consist of incidental takings. Most animals that are captured are caught in Italian seines and some- times in gill nets, at various locations. They are usually Stenella spp. and Tursiops truncatus. When captured, they are usually sold in the wholesale market, and may be seen occasionally offered on the roadsides on the north coast.53 They are sometimes labelled as ‘shark’ and sold as such but they are easy to distinguish from the latter because of their dark red, fatty and chewy meat. The dolphins are already dead when the nets are retrieved, but if still alive, they are killed.54 The largest animal ever taken in this way was an orca, Orcinus orca. That took place on 10 July 1987. It was a 4.5 m female landed at the small boats jetty at Chaguaramas. The fisher reported that the whale had become entangled in his drift gill net as it was being hauled in. At the time he was out in the Gulf of Paria between Cronstadt and Gaspar Grande islands, in six-seven metres of water. The animal was a member of a pod numbering about 15.55 On 16 October 1989, a local inhabitant of Mayaro, on the east coast of Trinidad, reported to the authorities that nine days earlier a ‘15 foot long dark brown whale came up in semi-drowned condition with harpoon hole about 4 feet from head. It came up at Plaisance Beach and was helpless. The villagers cut it up and utilised the meat and oil. It was apparently harpooned offshore’.56 Another noted incident of opportunistic use of cetaceans took place on 1 May 1987, when a pod of 15 adults and two calves of short-finned pilot whales (Globicephala macrorhynchus) stranded at La Filette on the North Coast. All were returned to the sea except the two calves and one adult. The dead animals were taken to a fish market for sale. On 23 January 1987, an unidentified ‘whale’ (probably a pilot) was slaughtered by fishers and towed inland to Chaguaramas and its meat was placed on sale in the area. These reports exemplify the paucity and utilisation of marine mammals off the coasts of Trinidad. Finally, we learned of a ‘Dolphin Watch’ operation at Charlottesville, Tobago. The owner of the boat told us that he had been doing it for three years taking people out to see what he identifies as bottlenose dolphins (T. truncatus). We could not ascertain the success of this operation which seems to be based on occasional presence of these animals in those waters. Manatee Exploitation Archaeological remains indicate that the West Indian manatee, Trichechus manatus manatus, was distributed along the Lesser Antilles and that they were used by the indigenous people inhabiting those islands.57 Historical accounts MARINE MAMMAL EXPLOITATION 265 also support the contention that manatees were hunted, using harpoons, by the local inhabitants of that and neighbouring islands up to Colonial times.58 There are numerous reports of manatees being harpooned for their meat, oil, and hide from Colonial times until relatively recently59 (Figures 4 and 5). Today the only remaining area with manatees in Trinidad is the Nariva Swamp; a 1997 survey revealed the presence of at least 18 individuals.60 This number is down from an estimation of 25–30 made in 1991.61 Records have also been made of unconfirmed reports by other fishermen from other east coast rivers, the Ortoire, south of the Nariva Swamp, and through the north, the North Oropouche River.62 In 1990 a manatee sighted at the L’Embaranche River was accidentally caught in a fishing net and butchered.63 FIGURE 4. Picture of a manatee after being hunted around the turn of the century. Exact place and time of the picture are unknown. Picture found at the Library of the University of the West Indies in St. Augustine, Trinidad. ALDEMARO ROMERO ET AL. 266 The manatee in Trinidad and Tobago is offered protection directly under the Conservation of Wildlife Act, Chapter 61:01. Under the provisions of this act, the manatee is considered a ‘protected animal’ and thus cannot be hunted at any time. Protection of the habitat and indirectly the manatee is also provided under the Forest Act Chapter 66: 01, with the Nariva Swamp dedicated as a Prohibited Area in April 1993. Although the manatee is offered protection under these two pieces of legislation, it is still threatened with extinction. The enforcement arm of the wildlife section cannot provide the required manpower to enforce laws. Therefore, poaching, squatting, incompatible agriculture practices, indiscrimi- nate harvesting of mangroves and mining continue at an alarming rate. Acces- sion to international treaties/conventions has been another management tool used to afford manatee protection. The Nariva swamp was named as a Ramsar site in 1993.64 FIGURE 5. Picture of manatee hides hanging on a boat. This picture, taken around the turn of the century, shows that manatee hunting was more than and artisanal practice. Exact place and time of the picture are unknown. Picture found at the Library of the University of the West Indies in St. Augustine, Trinidad. MARINE MAMMAL EXPLOITATION 267 CONCLUSIONS Marine mammal exploitation in Trinidad and Tobago is different from in neighbouring countries such as Venezuela, Grenada, and St. Vincent and the Grenadines. Table 1 compares the nature of such activities in those countries. Marine mammal exploitation in Venezuela has been largely restricted to dolphin fisheries. This activity was carried out for centuries and became a large scale operation beginning in the 1960s when vessels from Japan, South Korea, and Taiwan were given docking rights and subsidised fuel. Fishers from those countries extended this practice and the locals increased their dolphin capturing practices. They mostly used harpoons for capturing the animals and the most important product was meat for human consumption. Whaling in Venezuelan waters was practised only by Yankee whalers and only in occasional fashion.65 Marine mammal exploitation in Grenada was almost exclusively confined to whaling operations between 1925 and 1927 and was carried out by Norwegians who employed locals only in the processing of whaling products. Thus that country never developed a local culture of utilisation of these animals.66 Marine mammal exploitation for St. Vincent and the Grenadines commenced even before it did in Trinidad and continues to this day, although it was always very moderate in intensity. It has a wider range of species though since it has included both large whales and dolphin fisheries. They have mostly used harpoons regardless of the target species. While being heavily influenced by Yankee whalers in terms of the way boats were crewed and the type of harpoon used, it has almost always been carried out by local shore-based fishers.67 Trinidad and Tobago is particularly unique by the fact that whaling was developed essentially by local elites that employed slaves first and then labourers later to do the manual part of the job. Those elites were essentially planters, some of whom were already involved in the production of vegetable oil. By all accounts it was extremely rudimentary from a technological viewpoint, making it wasteful and uncoordinated. They also lacked the support of foreign invest- ments. As in Grenada, exploitation ended when the local populations of hump- back whales became either extinct or almost completely depleted. All that took place even before the prices for whale oil sank in the 1880s. Unlike Venezuela, dolphin fisheries in Trinidad and Tobago have always been marginal and largely confined to opportunistic utilisation as a result of by-catches. The only common pattern we have found among Venezuelan, Trinidarian, and Grenadian marine mammal exploitation, has been the hunting of manatees. Manatee exploitation was practised in these three areas before the arrival of Columbus and the increase in human population accelerated their decline. Manatee hunting was carried out easily in all these countries using mostly harpoons and the meat, oil, and hide were almost always used. In a small island like Grenada, the local manatee population became extinct by the eighteenth century while the populations of this species became extremely depleted in both ALDEMARO ROMERO ET AL. 268 Venezuela Trinidad and Grenada St. Vincent and Tobago the Grenadines Whaling Nature Locally absent Intense shore- Intense shore- Moderate shore- based based based Period n/a 1826–1865 1925–1927 1860s–present Induced by n/a Local planters Norwegians Local fishers (elites) Yankee whaling? Very marginal Moderate Moderate Moderate 1850s–1870s 1820s–1870s 1860s–1880s 1830s–1880s Species Humpbacks Almost all Almost all Mostly humpbacks, humpbacks humpbacks some sperm Usage Oil Oil, meat, Oil, meat, Oil, meat whalebone manure Intensity Minor Significant Significant Significant Ecological effects Very little (?) Total depletion Total depletion Partial depletion Dolphin fisheries Nature Intense Marginal Absent Significant Period Mostly 1960s– n/a n/a 1920s–present present Induced by Local and Local fishers n/a Local fishers Far-east fishers Species Common, Pilot, killer, Risso’s, Bottlenose Stenella spp. Capture method Harpooning, Harpooning Harpooning, nets nets, guns nets Usage Meat, oil, Meat Meat, oil artisanal Ecological effects Population No noticeable n/a ? delpetion effects Manatee exploitation Nature Opportunistic Opportunistic Opportunistic Absent Period Pre-Columbian Pre-Columbian Pre-Columbian –present –present –18th century Practised by Locals Locals Locals n/a Capture method Harpooning Harpooning Harpooning n/a Usage Meat, oil Meat, oil Meat and oil (?) n/a Ecological effects Largely depleted Largely depleted Extinction n/a TABLE 1. Modes of exploitation of marine mammals in the southeastern Caribbean. Information for Venezuela is based on Romero et al. 1997 and Romero et al. 2001; for Trinidad and Tobago this paper; for Grenada based on Romero and Hayford 2001; for St. Vincent and the Grenadines on Rack 1952, Adams 1971, Adams 1973 and Beck 1986. MARINE MAMMAL EXPLOITATION 269 Venezuela and Trinidad. Manatees in Trinidad, although still present, seem to be in a very critical situation, confined to a small population in a very small area threatened by habitat destruction. It is interesting to see how four neighbouring countries that share essentially the same marine mammal species68 developed different exploitation practices at different periods of time (Table 1). This strongly suggests that local culture shaped by history, more than anything else, was the main factor in the develop- ment of the type of marine mammal exploitation for each one of these countries. NOTES 1 Corresponding author. 2 Meine 1999. 3 Jackson, 2001. 4 Jackson, 1997. 5 Romero et al. 1999. 6 See, for example, Ponting 1991, Sale 1991, Pastor Bodmer 1992, Simon 1997. 7 McKillop 1985, Marsh and Lefebvre1994. 8 Caldwell and Caldwell 1971, Mitchell 1975, Gaskin and Smith 1977, Perrin 1985, Price 1985, Reeves 1988, Romero and Hayford 2000, Romero et al. 1997. 9 Romero et al. 2001. 10 IWC 1997. 11 Romero et al. 1997, Romero and Hayford 2000, Romero et al. 2001. 12 We used an abbreviated form of a questionnaire similar to the one described in Dolar et al. 1994. 13 We want to thank the following people for their field assistance and information provided during our work in Trinidad and Tobago: Gary Aboud, Anthony de Verteuil, Kyla T. Hayford, Barry Higman, Mary Alkins Koo, Floyd Lucas, Joseph Mitchell, Gupti Lutchmedial, Kathleen Helense Paul, Mike Rogers, David Rooks, and Donna Spencer. Steven L. Swartz provided us with the galley proofs of the Reeves et al. (2001) article. Anna Payden drew the maps of Fig. 1 and 2. Field work for this research was supported by a Wallace Research Grant to A. Romero. We thank the personnel at the Department of Life Sciences of the University of the West Indies (St. Augustine) for logistical support. The Wildlife Section of the Forestry Division of the Government of Trinidad and Tobago granted the research permit. Hanne Eastwood and two anonymous reviewers read the MS and made valuable suggestions. 14 Wing 1962. 15 Columbus 1498/1986. He also gave the name of El Delfín (the dolphin) to the twin islands today known today as Huevos (Eggs), but not because of any dolphin or porpoise but because when seen from the westward it is very like a dolphin fish (Coryphaena spp.). See Sauer 1966. 16 Anonymous 1792. 17 For example, Borde (1876) who wrote the most comprehensive history of Trinidad under the Spanish government (until 1797), says nothing about that operation despite the fact that on page 3, he mentions the Golfo de la Ballena where ‘it abounds with fish, and every year whales come to feed on the sea plants which grow there in abundance’. But then ALDEMARO ROMERO ET AL. 270 he adds ‘ These whales furnish a thick oil which is greatly priced’. Whether it is a general comments about whales or a tangential reference to whaling in Trinidad is unclear. According to Joseph (1838), the first whale fishery established in Trinidad was ‘by a Mr. R. [Richard] Joell’, but no date is cited. Joell is mentioned in some sources (Trinidad Guardian 20 June 1828) as selling whale oil. He would have been involved in hiring whale catchers for the operation at Gasparee Island (Point Baleine) (Port-of-Spain Gazette 24 Dec. 1833). All this may have led Joseph to believe that Joell was the initiator of commercial whaling in Trinidad. 18 City Council Records 1827. 19 Port-of-Spain Gazette 3 and 14 Mar. 1827. 20 Port-of-Spain Gazette 3 and 14 Mar. 1827. 21 Port-of-Spain Gazette, No. 51, Vol. 1, p. 2. 22 E.g., The Port-of-Spain Gazette for Saturday, 18 Mar. 1826 No. 52, Vol. 1, p. 2. 23 Costelloe 1998. 24 Port-of-Spain Gazette. 5 May 1830. Whole # 481. Vol 5, number 36. 25 Reeves et al. 2001. 26 Mostly Charles and Jean Baptiste, A. de Verteuil 1993. 27 Jenny Point-Chaguaramas Assessment Roll 1884, Besson 1985, p. 122, includes picture. 28 Carmichael 1961, de Verteuil 1994. 29 A. de Verteuil 1986. 30 A. de Verteuil 1994. 31 A. de Verteuil 1975. 32 See Trollope 1859 for the only contemporary account of the stations themselves. 33 L.A.A. de Verteuil 1858, Ottley 1974, L. Fraser unpublished MS cited in de Verteuil 2000. 34 de Verteuil 1986, de Verteuil 2000. 35 Request to Governor-Trinidad Duplicated Despatches 1834. 36 ‘razor backs’, Joseph 1838. 37 A. de Verteuil 1993, de Verteuil 2000. 38 Swartz et al. 2001. 39 Archer 1881. 40 Pers. comm. provided by local fishers. 41 Reeves et al. 2001. 42 A picture of four ribs and three vertebrae at Constance in the southwestern tip of Trinidad, ca. 10°03' N, 61°55' W, de Verteuil 2000. 43 Swartz et al. 2001. 44 Romero et al. 2001. 45 Romero and Hayford 2000. 46 Swartz et al. (2001) hypothesised that the abandonment of the Gulf of Paria by humpbacks ‘could be attributable to disturbance from extensive oil and gas development and production that occurs off the southeastern end of Trinidad and in the southern Gulf of Paria, along with shipping traffic into and out of the Port of Spain harbor.’ 47 Romero and Hayford 2000. 48 Romero and Hayford 2000. 49 Araujo 1986. 50 For example, Vincent (1910) mentions that ‘Sharks, sword-fish, saw-fish, and two kinds of porpoise locally called “marsouen blanc” (the small one) and “marsouen canal,” MARINE MAMMAL EXPLOITATION 271 weighing about three quarters of a ton, are plentiful, so the harpooner with a stout pirogue and four good oars can get plenty of fun’. This activity took place at the Bocas. 51 Mendes 1932, Mendes 1937, Turpin 1978, Lee 1980. 52 Turpin 1978. 53 Kenny and Bacon 1981, pers. comm. by local fishers at La Blanchisseuse. 54 Lee 1980, Gary Aboud, pers. comm. 55 Ottley et al. 1994. 56 Typewritten report at the Wildlife Section office, headed ‘Harpooned whale. Date: 89- 10-16. Report received from Winsie Ali of Mayaro.’ 57 Ray 1960, Wing et al. 1968, Watters et al. 1984, Levebvre et al. 1989, Wing and Wing 1995. 58 Du Tertre 1667, Dapper 1673, Labat 1742, Bullen 1964; Wing and Wing 1995; for additional citations on pre- and post-Columbus use of manatees in the Caribbean see McKillop 1985. 59 M’Callum (1805) mentions the presence of this species on the coastal rivers in which they were captured by Indians and blacks using harpoons for meat consumption. L.A.A. de Verteuil (1884) cites this species as ‘scarce’ but being hunted for its meat. Kingsley (1871) and Collens (1892), both recorded the manatee in the Mitan (Nariva river). Collens (1892) mentions its capture not only for meat consumption but also for its oil which ‘is very abundant in quantity, and in quality is not unlike cod liver oil’. Mole (1925) also indicated that the manatee was hunted as a source of food by the local population. Vincent (1910) mentions the use of manatee skin. An article published in the Port-of-Spain Gazette (6 Sept. 1925) cites the use of manatee skin to tie rafters in the early nineteenth century. As late as 1980 Trinidadian officials reported illegal hunting of these animals in the Nariva swamp (Lee 1980). 60 Gupti Latchmedial, pers. comm. 61 Boyle and Khan 1993. 62 Amour 1993. 63 Armour 1993. 64 The Ramsar Convention on Wetlands of International Importance Especially in Waterfowl Habitat. Armour 1993. 65 Romero et al. 1997. 66 Romero and Hayford 2000. 67 See Rack 1952, Adams 1971, Adams 1973, and Beck 1986. 68 See Romero et al. 2001 for a comparison of cetacean species distribution among Caribbean countries. REFERENCES Adams, J. E. 1971. Historical geography of whaling in Bequia Island, West Indies. Caribbean Studies, 11: 55–74. Adams, J. E. 1973. Shore whaling in St, Vincent island, West Indies. Caribbean Quarterly, 19: 42–50. Anonymous. 1792. Plano geométrico de la Boca de Monos y puertos de Charguaramas y Carenero en la Ya. de Trinidad (unpublished map, at the Library of Congress, G5149.C53 1792). ALDEMARO ROMERO ET AL. 272 Amour, K.1993. Status of the West Indian Manatee (Trichechus manatus) in Trinidad and Tobago. Trinidad and Tobago: Forester I Wildlife Section, Forestry Division. Ministry of Agriculture, Land and Marine Resources. 14 September 1993. Araujo, A. 1986. 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work_g57nm5cqxvarlcff2e67zto5te	----	1 Rough riders in the cradle of civilization: Buffalo Bill’s Wild West show in Italy and the challenge of American cultural scarcity at the fin-de-siècle Alessandra Magrin, University of Strathclyde Abstract Comparisons with European culture have often generated feelings of discomfort and anxiety in the United States. Since the age of the Enlightenment, American culture has been associated with a desert or wasteland. This conceptual inclination persisted well into the 19th century  when several American writers picked up on the perceived dearth of culture that the American intellectual landscape offered  until the Gilded Age, when the United States powerfully asserted itself as an economic and industrial power. Cultural affirmation remained, therefore, the last frontier for America to conquer. In this context, the soft power operated by Buffalo Bill Cody’s Wild West show in Europe proved to be a tremendous tool for the assertion of American cultural vitality on a worldwide scale. America’s ultimate validation, I argue, was established when Cody’s show landed in Italy, ‘the cradle of western civilization’, a stage which exuded a powerful significance in the sphere of culture, and which Cody orchestrated as a symbolic translatio imperii, by picturing himself as a Novel Columbus and America as the vessel of human progress. The resonance of Cody’s Italian tours had a regenerating effect on America; witnessing Italian culture in a moment of profound decadence fostered America’s collective confidence in its cultural superiority and confirmed its newfangled ‘exceptionalism’. Keywords 2 Buffalo Bill’s Italian tours transfer of rule cultural inferiority early global advertisement transnational westerns American cultural imperialism The ambiguous association between American culture and a tabula rasa  an empty space devoid of the intellectual sophistication of Europe  is long-standing.1As the Abbé Raynal (171396) wrote in 1770, America was seemingly incapable of producing ‘one good poet, not a skilled mathematician, not a single genius in any art or science’ (quoted in Kroes 1996: 11). For decades to come, European reviewers of America intensified the lesson of the French philosophe, by stating that Americans ‘have done absolutely nothing for the Sciences, for the Arts, for Literature’ (Smith 1820, quoted in Woodward 1992: 4748) or that ‘in no department of art, has any work, drama, novel, poem, painting or musical composition been produced which could justly be placed in the first class’ (Lepel Griffin, 1884, quoted in Woodward 1992: 50). This tendency persisted well into the nineteenth century, eventually inducing some American writers, such as James Fenimore Cooper (17981851) and Nathaniel Hawthorne (180464), to buy into this cultural trope, regretting the ‘poverty of materials’ that the American intellectual landscape offered (Goodheart 1987: 25). Even when the nation was clearly asserting itself as an economic and industrial power, between the Gilded Age and the beginning of the Progressive Era, America’s cultural deficit and its alleged inability to be 3 independent of Europe continued to be source of collective apprehension. Public opinion, on both sides of the Atlantic, amplified these beliefs in books and newspaper articles addressing the topic of ‘Culture  or lack of it  in America’. ‘Is America totally lacking in culture?’ asked a New York Times journalist in response to a polemical book by G. Lowes Dickinson (18621932), ‘Have we no gift of conversation? Are we so busy chasing the elusive dollar that we have no time to cultivate the intellectual side? [...]’ (Anon. 1909: 1). For writers, artists, and performers, travelling to Europe remained a mandatory rite of passage towards social validation (Warren 2005: 292). One only needs to recall the examples of Henry James, Thomas Cole, Elihu Vedder and Adelaide Phillipps to understand the impact that their European apprenticeships, and particularly their ‘Italian Hours’, have had on their careers back home. For the American elites, as well, European culture continued to set the standards on which to model one’s own, which inherently reinforced the idea of America as the cultural poor relative of Europe (Warren 2005: 292; also quoted in Stetler 2012: 144). So, as Frederick Jackson Turner proclaimed the closing of the Frontier  the leading cultural agent in the history of the United States, according to Theodore Roosevelt  it became clear that cultural affirmation remained the ultimate frontier for America to conquer. In line with Turner’s and Roosevelt’s influential ideas, the West was soon elevated to represent the epitome of America (White 1994: 5051). Reminiscent of Emerson’s lesson in The American Scholar on nature as the most significant incentive of the mind, the West was therefore envisioned as the quintessential breeding ground for ‘true’ and ‘authentic’ American culture; an ‘exceptional realm’, detached from Europe’s sphere of influence (Slotkin 1981: 609). The West and the Frontier also added an element of ‘raw masculinity’ to the notion of culture, which was lacking in previous understandings of the term, especially in America. Until the Gilded Age, culture was connected with the idea of femininity, designating leisurely, non-utilitarian activities aimed at personal refinement, which entailed a ‘passive’ or ‘receptive’ conduct, as 4 ‘genteel’ (Trachtenberg 1982: 14346). Cultivation was therefore associated with the domestic sphere, the eastern elites and, inexorably, with the Old World. From the 1850’s onwards, the onset of cultural narratives exalting the role of the West and the Wilderness altered this assumption, so that Europe’s untarnished aura of sophistication gradually began to be perceived as weak and effeminate, not to mention obsolete (Stetler 2012: 146). Let us consider the way in which Theodore Roosevelt urged the ‘men of the greatest city of the West’ (i.e., Chicago) to adopt the ‘doctrine of the strenuous life’ against that of ‘ignoble ease’ (1900: 1), or how he asserted in The Winning of the West, that: ‘To succeed in the wilderness, it was necessary to possess not only daring, but also patience and capacity to endure grinding toil’ (Roosevelt 1897: 174). Another powerful ‘influencer’ in this direction was Buffalo Bill Cody, who presented audiences with high-impact allegories of hardy plainsmen engaged in ‘civilizing’ actions over ‘savagery’ (Turner 1953: 11). His 1886 show brochure insisted that ‘without the rifle ball we of America would not be to-day in possession of a free and united country, and mighty in our strength’ (show programme 1886, cited in Lewis 2010: 263). These narratives introduced the notion of a civilization attained by action, exertion and labour, and designated the ‘Wild’ West as the ideal realm of virility and youth, which opposed the industrialized East, and by extension, therefore, Europe was envisioned as passive, emasculating and decrepit. In this emerging dialectic between ‘youthful America’ and ‘antiquated Europe’, it can be argued  borrowing from Edward Said’s critical concept of Orientalism  that ‘antiquated Europe’ served the same purpose of an Orient within American minds.2 The rise of an industrial and economic empire fostered America’s ‘Manifest Destiny’ as a progressive nation ready to be projected into the future. This enabled American commentators on Europe to adopt attitudes of patronizing superiority towards those nations (such as Italy) where, for a variety of reasons, industrialization was not as advanced. Yet mechanization, far from reassuring the collective preoccupations of fledgling America, only 5 concealed cultural anxieties behind a mask of modernity. This attitude revealed Gilded Age America’s true ambitions of a cultural revanche over the Old World; it was only by disparaging the national character of the European ‘Other’ that Americans could elevate and promote their own (Cosco 2003: 8). Indeed, in what would seem a stark contrast to the ideology of the United States as a forward-looking nation, American society continued to surround itself with images of the Old World, and in particular of ‘crumbling’ ancient Rome. Beginning with the early republic, and up until the end of the nineteenth century, the use of ancient Roman iconography continued to be flaunted in many spheres of American public life. From emblems on monuments, seals and coins, up to Latin mottoes, quotations and names of public buildings  such as the ‘capitol’, the ‘Senate’ chamber, or Universities’ ‘campus’  the metaphors of ancient Rome enveloped the country, by and large, and quickly started to be incorporated into ‘modern’ American identity. At the same time, comparisons between the new ‘American Empire’ and ‘Imperial Rome’ began to appear in a variety of publications, which often designated Americans as ‘the New Romans of the West’ (Woodward 1992: 6377). Yet, despite the West’s perfect embodiment of the spirit of American Exceptionalism, Old World references and symbols continued to adorn American society. America was not yet fully at ease with the cultural complex of ‘lagging behind’ Europe  that  which was at times disparaged for its backwardness, but was still generally regarded as the true ‘anvil’, where real culture was moulded. Half a century later Henry Nash Smith rightfully situated this as an inherent paradox within Turner’s thesis (Smith 1973: 260 and Warren 2005: 297). In this context, Buffalo Bill Cody was capable of responding to the collective longing for an ‘all-American culture’ with a spectacle which represented ‘something at once cultural and natural’  both manly and educational (Warren 2005: 293). Branded as ‘America’s National Entertainment’, Buffalo Bill’s Wild West show blended elements of circus, rodeo, and historical re-enactment in an ‘action-packed patriotic pageant’ 6 (Lewis 2003: 239). Cody launched his show at a very particular moment in the history of America, when the anxieties over the perceived loss of the Frontier had already triggered a widespread romancing of a lost Edenic past (Wrobel 1991: 61). Therefore, as well as striking sensitive chords for Americans, Cody’s ‘exhibition’ ultimately contributed to the construction of a national cultural narrative. Yet, due to the ambivalent nature of the show  often associated with popular entertainments such as vaudeville and burlesque  its perceived shortage of cultural value puzzled Americans for years, affecting their sense of cultural self- worth (Kasson 2001: 73 and Warren 2005: 297).3 The European version of Cody’s Wild West was a great improvement on his earlier frontier melodramas and was crafted to fulfil the much lamented necessity of a ‘unique’ American performance (Warren 2005: 294). Cody’s chief effort, therefore, was to present Europeans with a show about America’s recent past which could compete with, and hopefully outdo, their own cultural performances, so as to confirm America’s cultural position on a worldwide scale. Italy, of all European countries, I argue, represented the most crucial stage of his overseas tours, in which the fate of the show and of America’s cultural authority would be incontrovertibly decided. This study will illustrate the extent to which Cody’s Italian expedition marked an important chapter in the history of American cultural imperialism, considering that previous scholarship on Buffalo Bill’s shows (Reddin, Warren, Rydell and Kroes) has tended to downplay its prominence. Buffalo Bill’s Wild West show in Italy: Mass entertainment as culture While America strived to assert its newfangled culture, Italy, on the other hand, appeared to rest on its laurels. Being often represented as a receptacle for most of the Old World’s culture, Italy was still perceived, more than any other place in Europe, as the veritable cradle of western civilization. Yet, even if its contemporary reputation was slowly deteriorating in the United States  due to the simultaneous advent of mass Italian immigration and Social 7 Darwinism which consolidated negative images of Italy  its past constantly occupied a picturesque and idealized place in the American collective imagination (Fiorentino 2013: 307 and Bertellini 2010: 47). Indeed, Italy’s epic civilization and its continuing status of ‘agent of culture’ ensured that it would remain a prestigious and coveted destination within the realm of arts. Italian architects and artists had work commissioned in the United States from the beginning of the republic, and singers and performers imported to America the Belcanto, and other Italian theatrical traditions from the second half of the nineteenth century onwards.4 Particularly in the area of opera and theatre, Italy was still considered the leading authority and exponent (Wilson 2007: 18). While Cody was drawing crowds in the West with his frontier melodrama and early Wild West shows, other crowds were gathering in the East for performances of the so called grande attore theatre, featuring the Milanese actor, Tommaso Salvini (Wilmeth in Wilmeth and Bigsby 1998: 30).5 By virtue of its ancient tradition and the symbolic significance it exuded, Italy represented a dramatic testing ground for Cody’s show and, culturally speaking, also for the whole of America. Approval from the elites of such a venerable tradition  which included the Pope, the Italian royal family, and aristocrats such as the Primolis and the house of Caetani-Colonna  would mean Cody’s acceptance in the pantheon of all-time greats and indicate that ‘America herself had finally arrived at the World stage’ (Warren 2005: 29399). In fact, the pressure to take the show to Italy, and specifically to Rome, was coming from multiple directions, though mostly from within the English- speaking world. After 1887, the American press pushed Cody to realize ‘the design attributed to him of running the Wild West show within the classic precincts of the Colosseum [sic.] at Rome’ (Russell 1960: 337). At the same time, a British newspaper published a comical ode to ‘Buffalo Bill in Rome’ which exhorted Cody to conquer the eternal city, as he had just done with Britain; pointing out that on that matter he had ‘done more than Julius C./ He could not down the Britons!’, and that taking his ‘stalwart Indians braves/ Down to the Coliseum/ The 8 old Romans from their graves/ Will arise to see’em’ (Cody-Wetmore 1965: 260). Thus, classical culture was still held in high esteem by Anglo-Saxon societies, even as they harboured the hope that Anglo-Saxon power would now surpass the magnitude of the ancient civilizations (Flint 2009: 229). American public opinion saw no better chance to dwell on the rhetoric of Ancient Rome vs. New Romans, than the occasion of the Wild West show’s actual performance in Italy. The Wild West show visited the country for the first time in 1890, stopping at Naples, Rome, Florence, Bologna, Milan and Verona. The show returned to Italy for a second tour in 1906  which was re-branded as ‘Buffalo Bill’s Wild West’s and the Congress of Rough Riders of the World’  and performed in 34 towns, from Lombardy down to Latium (Buffalo Bill’s Wild West Company: 1906). Cody’s first arrival in the Italian peninsula was riddled with insecurities and conflicting expectations, yet, at the same time, it was filled with awe and trepidation: ‘This has been the trip of my life’, Cody wrote from Naples to an American acquaintance. Taking ‘such a big outfit into strange countries’ was considered, in fact, an audacious move on Cody’s part, even by his own extravagant standards (Cody 1890). For this reason, few international showmen attracted a similar level of public attention. Even the seasoned entertainer, P. T. Barnum, was paid less notice during his extended London tour that same year.6 Cody had all eyes on him and this motivated his crew of publicists to work particularly hard to impress Italian crowds accustomed to grandiose feats of showmanship. Yet, not long into the show’s first Italian stay, the spectre of America’s dearth of culture returned to trouble Cody and his entourage. According to the Wichita Daily Eagle: ‘report comes from Rome that Buffalo Bill was extremely mortified when he discovered the ridicule with which the ignorance of American tourists is regarded at that ancient city’ (Anon. 1890a: 7). This realization certainly moved Cody to craft a remarkably heightened image of himself  as a man of culture as well as of courage  and to consistently liaise with the highest personalities of fin de siècle Italy. The 9 aura of Buffalo Bill as a ‘fine man’ preceded him in every Italian city he visited, relentlessly projected in the media thanks to Nate Salisbury, the show’s master of ceremonies, and general manager ‘Major’ John M. Burke, and backed by the letters of endorsement that Cody requested from personalities such as Generals Philip Sheridan and William T. Sherman, which he incorporated into the show brochure. As a result, Cody’s artfully fashioned image impressed the Italians from the start: a Neapolitan newspaper defined him as ‘the most elegant of all cowboys who brings to the jaded Europeans [...] the spectacle of civilization against barbarity, of the white race subduing and destroying the copper-skinned one’ (Kean 1890: 2). A Roman journalist praised him as a man ‘full of energy, of vigour [...] his ways are far from being rough, as his life would make one suppose he had, he is instead courteous and possesses much wit in conversation’ (Serrao 1890), similarly in Milan he struck the audiences as ‘a strong man, of a manly and proud handsomeness, accustomed to privations and hardships, who mastered the language and customs of the Red Skins, an intrepid hunter, despising the danger and at the same time, true gentleman’ (Anon. 1890b). The construction of a gentlemanly profile ensured that his merits, authority, and reputation were rarely questioned in Italy. Indeed, the cultural value of Cody’s show was perceived as a genuine and instructive counterpart to the other famous spectacle of that era, Barnum’s Circus: If Colonel Cody is very much appreciated, Barnum, who emulates his advertisement profusely and with profit, has instead nothing in common with him: between Buffalo Bill and Barnum there is the same difference between an authentic Indian and an Indian from Liverpool, between a stuffed buffalo and a wild one. Barnum is a notorious charlatan, Buffalo Bill is an old-school pioneer, he has been a valiant soldier and has actually risked his life hundreds of times, before pretending to risk it in mock fights. (Magolli 1890) 10 Cody’s mediatic ascendancy propelled him within Italian high society, particularly in Rome. It was precisely by attending prestigious Capitoline salons that he was able to open a lot of the doors which guaranteed the popularity of his show for years to come. At a gala night which had him as the special guest, Cody reassured the hosts that ‘we do not intend to present to you tomorrow anything in the nature of a circus performance’ (Anon. 1890c). Cody was desperate to impress the upper classes, and he did so by distancing himself and his show from the ill- repute which circus enjoyed at the time. The Roman stop of the 1890 tour was undoubtedly the most loaded with drama. Competitions were carefully staged so as to monopolize public attention on Cody’s feats and to have the spotlight constantly on the Wild West show. One of these was the match Cody organized between American Cowboys and Italian herdsmen, the so-called butteri, which was conceived to silence rumours that the Wild West’s bucking broncos had been ‘trained’ to act ‘wild’ (Nasi 2006: 76). Already, in Naples, the local press had publicized that ‘Buffalo Bill invites anyone owning an indomitable horse to leave it with him for five minutes, promising to return it... as a lamb’ (Anon. 1890d: 2). No one came forward there, but the right opportunity for Cody materialized in Rome. By visiting the salon of Count Giuseppe Primoli  an Italian pioneer of photography and cousin of Prince Jerome Bonaparte  Cody met a great lover of horses, Onorato Caetani, Duke of Sermoneta, and his British wife, Lady Constance Adela Bootle-Wilbraham, who, after attending the first performance of the show in Rome, accepted the challenge. The Caetans were convinced that their Italian horses would have been much harder to conquer than the American broncos, so they invited Cody over for breakfast to discuss the contest’s arrangements (Colonna Di Sermoneta 1937: 221). It was agreed that Cody’s cowboys would try to tame two of Caetani’s horses, which, after a number of failed attempts, they succeeded in doing. The victory of Buffalo Bill’s men was promptly echoed in the American press with overtly sensationalistic 11 tones: ‘Buffalo Bill’s cowboys made Rome howl with delight last Tuesday by conquering in five minutes two of the wildest horses to be found in all Europe[...]’ (Anon. 1890e: 2). The New York Herald also explained, ‘The animals came from the Duke’s farmhouse [...] he declared that no cowboy on earth could ride one. The cowboys laughed at the boast [...] Every man, woman, and child expected that two or three men would be killed in the experiment’ (Anon. 1890f). Cody made sure to reprint the full version of the latter article in the Wild West show’s brochure for the 1893 Chicago Columbian Exposition, along with a letter from the US vice-consul in Rome about the illustrious lineage of the ‘great lordly family of the Caetans’, and on the ‘wildest and most unmanageable’ nature of their Cajetan breed of horses (Buffalo Bill’s Wild West Company 1893: 29). Cody was intent on exorcizing lingering fears of cultural inferiority by reminding Americans of the esteem with which his show’s triumph in the ‘Cradle of Civilization’ was received. The international press continued to monitor Cody’s Roman movements and feats: from sightseeing at the Coliseum, to the tribute to the tomb of King Victor Emmanuel II in the Pantheon, until the closing in full regalia, with a papal audience in the Sistine chapel.7 In the mind of Americans, eager to become ‘the new Romans of the West’, this equated to a virtual conquest of the landmarks of the of the Old Word’s civilization. The meeting with Pope Leo XIII magnified Buffalo Bill’s epic venture in the Eternal City and, more than anything else, validated his prestige as a showman and cultural ambassador for America. The request for a hearing was aided by Monsignor O’Connell of the American College in Rome and Archbishop Corrigan of New York (Anon. 1890g, also quoted in Moses 1996: 87). The possibility of a private audience was discarded, due to the high number of the members of Cody’s crew. The company settled for a public meeting in the Sistine Chapel on the 3rd of March 1890, for the anniversary of the Pope’s coronation (Anon. 1890h, cited in D’Arcangeli in D’Arcangeli et al. 2013: 16). L’Unione Liberale, a newspaper from central Italy, provided a detailed chronicle of the event: 12 You can imagine the strange and fantastic spectacle that the papal parade offered. In the midst of the colourful costumes of the Indians  who at the sight of the Pope being held up on that golden chair [...] knelt on the ground and raised their arms, shouting from the top of their lungs, as if they were in ecstasy—Leo XIII, stood still for a few moments in the middle of the room to accept gifts, then passed among them blessing them with his fingers [...] revealing a sense of intense curiosity in his eyes. At one point it seemed that the Pope made an effort not to laugh. As the papal procession went along, the Indians stood up again and, always shouting, followed him with their eyes, as if they could not break away from the heavenly vision that was being offered to them. They were all gifted holy medals, rosaries and other relics [...]. (Anon 1890i, cited in D’Arcangeli et al. 2013: 21) Interestingly, the Italian press has focused primarily on the mutual reactions of the encounter between Leo XIII and the Native American performers, omitting to talk about the conversation between Cody and the Pope, while the press coverage in the English language emphasized that fact instead: The Pope […] appeared delighted to see the much-talked-of Buffalo Bill. In an answer to a question on the subject of the vast expenses incurred by the enterprise, col. Cody said:  ‘Holy Father, we went to Spain because from that country Christopher Columbus started to discover America. We come 13 to Rome to make history, and because it is the most ancient and glorious city in Christendom’ (Anon. 1890j) As these words point out, the meeting between Buffalo Bill, Native performers, and the Pope, evoked parallels with the exploit of Christopher Columbus. This analogy is promptly reaffirmed by Burke in an interview with a correspondent of the New York Herald: ‘You see’ he said ‘the Wild West is fulfilling its mission of civilizing the Red man. From Barcelona, the country whence Columbus embarked to discover America, to Italy, his native land, our warriors and cowboys have been most kindly received by the public’ (Anon. 1890k). As will be seen, this powerful trope resurfaced periodically in the turn-of-the-century American press, in appraisals of Cody’s show, and in other commentaries about America’s rising cultural influence. Cody’s publicists spread the false information that Cody was a devout Catholic (Anon. 1890l), so as to give him an aura of integrity in the public eye, but the great media coverage about the papal audience led to some scepticism even among the Italian press  usually unsuspecting and well disposed towards Buffalo Bill  and to the suggestion that the event had little to do with faith. In an irreverent statement, which would prove to be nothing short of prophetic in the coming century, a reporter from the satirical newspaper Don Chisciotte della Mancia remarked that: ‘[…] Colonel Cody, the tamer of Indians, proudly entered the Vatican, among the stiffest nobility, and fiercely took his place as a representative of a new and modern power: the advertisement’ (De Miranda 1890). The overall appreciation of Cody’s show by the Italians was good. Notwithstanding some criticism, related mainly to a misunderstanding in the challenge between the Duke of Sermoneta and Cody, and to the show’s intense advertising apparatus which Italians had never before been accustomed to (Anon. 1890m), Italy welcomed the Wild West show as a ‘highly interesting’ (Salgari 1890 in Salgari and Gallo 1993: 44) and ‘worthy to be seen’ spectacle (Anon. 1890n). At the same 14 time, Cody often heaped praise about Italy in his public speeches and interviews. An article from the Galignani Messenger showed Buffalo Bill as positively impressed: without exceptions we had a better class of people at Rome than in any other city we have ever visited. The Roman aristocracy, great lovers of horses and sport, especially the ladies, were not deterred even by the heaviest rains from coming day after day and remaining through the whole performance. (Anon. 1890r, also in Reddin 1999: 106) Cody appeared to be so charmed by Rome that he expressed the will to bring the ‘Roman mud’ attached to the equipment back to America, as a memento ‘of the Eternal City that led the civilization of the world’ (Anon. 1890o, also in Reddin 1999: 106). This might be seen as demonstrating that America’s fascination for classical culture had affected even Cody, who seemed almost morbidly attached to the antiquity of this country. In actual fact, the dramatic affectation of Cody’s words reveal how this was yet another a ruse of the showman Buffalo Bill, always determined to flatter the elites and gain the favour of crowds in order to promote his persona. Carrying ‘Roman mud’ back to America would have been scant consolation for failing to secure the Coliseum as a venue for his Roman show – possibly the greatest blow to Cody’s pride, especially after the gargantuan anticipation that the international media had put on him.8 For Cody, this would have meant the crowning achievement in the epic myth- making of his show: the conqueror of wild Indians crossing the arena where the gladiators tamed wild beasts. For the American public conquering this ancient milestone might have been a major leap forward in the affirmation of their own culture, as customs of the New World reached the hallowed ground of the Old. The American press reported dramatic justifications for this disappointment such as that the amphitheatre was ‘too small for this 15 modern exhibition’ (Anon. 1890p, also quoted in Warren 2005: 300) and that ‘his request for it has aroused an indignant protest from the clericals who claim that it is sacrilege to give an exhibition on ground saturated with the blood of Christian martyrs’ (Anon. 1890q: 1). The real reason was far less glamorous, and concerned health and safety. The Flavian amphitheatre was in a poor state of preservation and would have been too risky to allow inside its premises large gatherings of people at one time, let alone bulky animals such as horses and buffalos. Cody was forced to settle for the much smaller, but better preserved, Diocletian arena of Verona, without having affixed the star-spangled-banner on a shrine of Western civilization such as the Coliseum. As scholar Ann Fabian has written, Buffalo Bill and his Wild West show ‘catered to popular tastes, creating a mass audience for the very materials Turner and his fellow professional historians […] would have reserved to the literate and educated’ (1993: 225). In his major ‘mediatic ride’ (Pons 2002: 1) through Italy, Cody managed to successfully import the concept, until then virtually unknown to Italians, of mass entertainment as a form of culture in its own right. He laid the basis for the development of the so-called ‘popular culture’ genre in the bel paese. The proliferation started only a few months after Cody’s passage, with the release of the first Italian Dime Novel about Buffalo Bill: Buffalo Bill, il domatore delle pelli rosse/Buffalo Bill, Tamer of the Red-Skins (P. Philippoteaux, 1890, also quoted in Lottini 2012: 196); and carried on with the publication of Emilio Salgari’s novels (18621911): Il re della Prateria/The King of the Prairie (1896) and La sovrana del Campo d’ oro/The Queen of the Golden Field (1905) in which the character of Buffalo Bill plays a crucial role. This proliferation, as Lottini has aptly put it, went on to involve theatre and cinema (Lottini 2012: 19899), as well as the graphic arts (Gallo and Bonomi 1996: 75). It is no coincidence that the ‘western’ has been twentieth century Italy’s most striking example of popular cultural export.9 Regeneration through decadence: The Wild West show and Italian cultural decline 16 While American newspapers sang the praise of Colonel W. F. Cody and his Wild West show’s success in ‘the cradle of civilization’, they also found it the right occasion to highlight the discrepancy between Italy’s olden days and the current state of affairs of the country. In the perception of many Americans, turn of the twentieth century Italy was considered ‘a backward nation that was lying in the ruins of its ancient greatness’ (Fiorentino 2010: 35). A convergence of causes underpinned this belief. First, the publication of American-authored novels set in Italy played a significant part in the early construction of a controversial collective imagery of the Italian peninsula. Books like The Bravo by James Fenimore Cooper, The Marble Faun by Nathaniel Hawthorne, William Dean Howells’ Venetian Life and Mark Twain’s The Innocents Abroad all portrayed Italian cities as decaying and wretched places, and its inhabitants as inherently treacherous and dishonest (Buonomo 1996: 18). Second, American newspapers reported increasingly on the miserable condition of the Italian peasantry (Anon. 1902: 8), while eminent politicians  the cowboy president Theodore Roosevelt to name but one  incorporated elements of pseudo-social sciences in their speeches, in an attempt to put forward the idea that the class of immigrants arriving on American shores was irredeemably unfit for assimilation (Luconi 2011: 5). Such rhetoric of cultural supremacy was aimed at enhancing the confidence of Americans. Still insecure about the position of their culture in the western world, Americans feared that the ‘cross-fertilisation of cultures’ that mass-migration was bringing about  especially contamination by certain groups of migrants, considered ‘inferior’  would endanger their national character (Wilson 2007: 17 and Fiorentino 2013: 311). As part of the context in which the Wild West show was played out, these cultural tropes definitely had the effect of creating bias, especially among the press coverage that followed the Wild West show in Italy, but also in Cody, himself, and in the members of his crew, including the Native performers. Cody, who had publicly flattered the aristocracy, the clergy, and the Italian public opinion on many occasions, 17 displayed a very different attitude in his private correspondence and conversations with the English-speaking press on the subject of Italy. In a letter from Rome to James Bailey, a new show associate who had worked with Barnum for decades, Cody wrote in confidence ‘these people (the Italians) are so d(amn) crazy wild to see something for nothing, they run all over us. I am going to kiss the first New York policeman I see’ (Cody 1906). In an interview with the New York Times, Cody also commented on the nature of the Italians, admitting, ‘We like the Italians of the upper classes, who are very polite, but the lower classes are mean and not to be trusted’(Anon. 1890r).Cody then goes on to stress the poverty and ignorance of Italians in the late nineteenth century, eventually comparing their customs with those of the Native Americans: ‘the method of building the tombs is the same, the custom of decorating the outside of the habitations with paintings is the same, the cloaks the Italians wear wrapped about closely resemble the blankets of the Indians’ (Anon. 1890r). In this bizarre theory, Cody casually created a parallel between the believed ‘primitivism’ of the Native Americans, with that of the ‘decaying’ and ‘regressive’ Italians, orphaned by the demise of their great civilization.10 Ironically enough, it appears that even the Native American performers lamented the poverty and dilapidation of Italy, which they deemed ‘no place for an Indian’: The old chief (Rocky Bear) was explaining what a dusty old time folks used to have when the Caesars were alive. ‘The more I see of other countries the more I like America. The cab drivers here are very bad men. When you give them one piece of money they hold out their hand for more. Everyone holds out their hand for more here. That makes my heart heavy. It is not so in the land where the sun goes to sleep […] My people, I want you to remember that these men who ask money from us, and the small boys who follow us through the streets and laughs at us will all die like the 18 people who used to live here, and their houses will fall down like these you see around you’. (Anon. 1890s) According to other commentators of the Italian tour, it was not just the poor people who were devious and corrupted in decadent Italy but also the rich. A British newspaper recounted the forgery in Naples of ‘four-thousand five francs banknotes’, which: Were passed at the door of his (Cody’s) show by well-dressed Neapolitans, indeed the elite of Neapolitan society [...] this implies that some hundreds of the highest class [...] lent themselves to a fraud to cheat Buffalo Bill. There must have been a combination to swindle, and that among the members of the aristocracy at Naples. The Italian papers did not mention this in a tone of disgust, but rather in one of surprise that Italians should have been able to over-reach a Yankee. (Anon. 1892: 1, original emphasis) These comments, as Paul Reddin has rightly noted, were often used to contrast ‘W.A.S.P’ traditions and values of the American West with Italy’s ‘hoary antiquity’ and thus served to glorify America’s righteous and progressive national character (Reddin 1999: 10607). The testimony of Cody and his cast members was fuelled by the master narratives of cultural supremacy which the press fostered, helping Americans to revise the role of Europe as the unique producer of culture and to affirm instead the vitality of their own country through the Wild West show, which now stood out for the first time as an international agent of Americanism. By the time the Wild West show returned to Italy in 1906, the United States 19 had begun to fulfil the destiny boisterously foretold by the Louisville Courier-Journal in 1896: We are no longer a squalid Democracy, secure chiefly by reason of our isolation, a Pariah among the governments of men. We are a Nation  with the biggest kind of N  a great imperial Republic destined to exercise a controlling influence upon the actions of mankind and to affect the future of the world as the world was never affected, even by the Roman Empire… The struggle of the future will be the survival of the fittest. Why should we not begin to look about how things are going and to cast about for our particular interest and glory? (Healy 1970: 46) To reflect this change, Cody transformed the format of his Wild West show into an ethnographic exhibition of peoples and armies, meeting the collective longing for exposure to the ‘exotic’ at world’s fairs and tapping onto Italy’s inferiority complex concerning its lack of foreign colonies. By 1906, the United States had become a de facto colonial power, while Italy’s colonial efforts had had embarrassingly disastrous results. Italy was left with the ‘hyena’s share’ of Europe’s ‘scramble for Africa’, and to make matters worse suffered a series of defeats in the regions the government was trying to secure, of which the most crushing occurred in Dogali (1887) and Adwa (1896) (Choate 2008: 31). Considering that several members of Sonnino’s and Giolitti’s governments had been diligently attending Cody’s 1906 show in Rome, it is likely to think that witnessing America’s colonial ‘splendour’ parading before their eyes in the ‘Congress of the Rough Riders of the World’, revived the frustrated colonial ambitions of the Italians, which a few years on would culminate in the conquest of Libia (1911) (Anon. 1906: 3).11 The switch in the Wild West show’s format represented a 20 form of celebration of the rhetoric of the ‘westward course of empire’ on a global scale. In the public opinion, Buffalo Bill was elevated to a symbol of American progress, as this article from the Wichita Daily Eagle perfectly articulates: What has Buffalo Bill done? He has opened a great school of anthropology, and not only wisdom but royalty had been forced to applaud. Surely his entertainment is the greatest that the world has ever seen, and could it have been possible in the vigorous days of Rome, had this mammoth play been enacted in the neighbourhood of the eternal city, the school boy of all nations would today translate its wonders into his mother tongue. Morse had made the two worlds touch the tips of their finger together. Cody has made the warriors of all nations join hands. [...] Buffalo Bill has taught the knowing world a lesson. It was a bold thing to undertake, but this man from the west did it. There often arises a man who makes the world think, but how few have made the world stare? In the years to come, when Cody had passed away, hundreds of imitators wil larise [sic.] to scramble and to strive for a semblance of his marvelous force, but he cannot be approached, for history has marked him as one of her children. Columbus discovered America. The centuries rolled one upon another and a man from the western plains completed the discoverer’s work  brought a band of Indians to Rome. (Anon. 1898: 7) The grandeur of ancient Rome is employed, once again, as a metaphorical comparison for Cody’s accomplishments, and another emblematic figure of Italy’s past is invoked: Christopher Columbus. Just as the Genoese navigator had contributed to bring modernity in 21 the Old World through the discovery of the New, Cody is represented as a ‘novel Columbus’, a new bearer of progress coming from America to regenerate the decadent Old World. From these words it seems clear, therefore, that the transfer of rule that America had advocated for itself, with Buffalo Bill as its cultural ambassador, was now considered completed. This sense of momentous change can only have fortified the confidence of the American people, helping them to tame their long-standing sense of cultural inadequacy in comparison with Europe as they strode enthusiastically into the ‘American Century’. References Anon. (1890a), ‘Time Turns Back’, Wichita Daily Eagle, 21 February, p. 7. ____ (1890b), Il secolo, 2–3 April, Cody Italian Scrapbook, McCracken Research Library, Buffalo Bill Center of the West, MS 006. ____ (1890c), ‘Buffalo Bill in Italy’, Galignani Messenger, 14 March, Italian Scrapbook. ____ (1890d), ‘Buffalo ecc. ecc.’, Il Piccolo, 3031 January, p. 2. ____ (1890e), ‘Buffalo Bill’s Cowboys’, The Meridional, 29 March, p. 2. ____ (1890f), ‘Roman Wild Horses Tamed by Cowboys’, New York Herald, 5 March, Italian Scrapbook. ____ (1890g), ‘Wild West in Rome’, Galignani Messenger, 4 March, Italian Scrapbook. 22 ____ (1890h), ‘Notizie dal Vaticano’, La Nazione, 28 February, p. 2. ____ (1890i), ‘Buffalo Bill in Vaticano’, L’Unione Liberale, 5 March, p. 2. _____ (1890j), ‘Wild West in Rome’, Galignani Messenger, 4 March, Italian Scrapbook. ____ (1890k), ‘Wild West at the Vatican’, New York Herald, 4 March, Italian Scrapbook. ____ (1890l), ‘Italy’, The American Register in Paris, 15 March, Italian Scrapbook. ____ (1890m), ‘Buffalo Bill’, Il Corriere Italiano, 18 March, Italian Scrapbook. ____ (1890n), ‘Buffalo Bill’, Il Sole, 4 April, Italian Scrapbook. ____ (1890o), ‘Buffalo Bill in Italy’, Galignani Messenger, 14 March, Italian Scrapbook. ____ (1890p), ‘Wild West at the Vatican’, New York Herald, 4 March, Italian Scrapbook. ____ (1890q), ‘Buffalo Bill’s Latest’, Pittsburgh Dispatch, 29 January, p. 1. ____ (1890r), ‘Cowboys in Old Verona’, New York Times, 18 May, p. 17. ____ (1890s), ‘Roman Society’, New York Herald, 16 March, Italian Scrapbook. 23 ____ (1890t), ‘A Twenty Years’ View’, Johnstown Weekly Democrat, 18 April, p. 4. ____ (1892), Troubadour Land, 13 February, p. 1. ____ (1898), ‘Time turns back: Buffalo Bill’s Mirror of the Old Wild West’, Wichita Daily Eagle, 11 September, p. 7. ____ (1902), ‘Misery in South Italy’, New York Times, 11 November, p. 8. ____ (1906), ‘La prima rappresentazione di Buffalo Bill’, La Capitale, 23 March, p. 3. ____ (1909), ‘Concerning culture – or lack of it – in America’, New York Times, 26 December, p. 1. Bertellini, G. (2010), Italy in Early American Cinema: Race, Landscape, and the Picturesque, Bloomington: Indiana University Press. Buffalo Bill’s Wild West Company (1893), Buffalo Bill’s Wild West’s and Congress of Rough Riders of the World, McCracken Research Library, Buffalo Bill Center of the West, MS.327. ____ (1906), Wild West’s Show Tour Route, McCracken Research Library, Buffalo Bill Center of the West, McCracken Library, MS6.2021. Buonaccorsi, E. (2011), Tommaso Salvini: Un attore patriota nel teatro italiano dell’Ottocento, Bari: Edizioni di Pagina. 24 Buonomo, L. (1996), Backward Glances: Exploring Italy, Reinterpreting America (1831– 1866), Madison: Fairleigh Dickinson University Press. Choate, M. I. (2008), Emigrant Nation: The Making of Italy Abroad, Cambridge: Harvard University Press. Cody, W. F. (1890), ‘Letter from William Cody to Doctor’, Naples, 15 February, McCracken Research Library, Buffalo Bill Center of the West, MS6.0068. ____ (1906), ‘Letter from William Cody to James Bailey’, Rome, 25 March, McCracken Research Library, Buffalo Bill Center of the West, MS6.1B222. Cody-Wetmore, H. (1965), Last of the Great Scouts, Lincoln: University of Nebraska Press. Colonna Di Sermoneta, V. (1937), Memorie, Milano: Treves. Cosco, J. P. (2003), Imagining Italians: The Clash of Romance and Race in American Perceptions, 1880–1910, New York: SUNY Press. D’Arcangeli, M., Volpe, P. and Gelsomini, S.(2013), Papa Leone XIII & Buffalo Bill, Carpineto Romano: istituto comprensivo Leone XIII. Miranda, D. (1890), ‘Barnum in Vaticano’, Don Chisciotte della Mancia, 4 March, Cody Italian Scrapbooks. 25 Fabian, A. (1993), ‘History for the masses’, in W. Cronon and G. A. Miles (eds), Under an Open Sky: Rethinking America’s Western Past, New York: W.W. Norton, pp. 223–38. Farrell, J. and Puppa, P. (2006), A History of Italian Theatre, Cambridge: Cambridge University Press. Fiorentino, D. (2010), Gli Stati Uniti e l’Italia alla fine del XIX secolo, Roma: Gangemi Editore. ____ (2013), Gli Stati Uniti e il Risorgimento d’Italia: 1848–1901, Roma: Gangemi Editore. Fisher, A. (2014), Radical Frontiers in the Spaghetti Western: Politics, Violence and Popular Italian Cinema, London: I. B.Tauris. Flint, K. (2009), The Transatlantic Indian, 1776–1930, Princeton: Princeton University Press. Francaviglia, R. (2011), Go East, Young Man: Imagining the American West as the Orient, Salt Lake City: Utah State University Press. Gallo, C. and Bonomi, G. (eds) (1996), Buffalo Bill and Tex Willer: Storie e miti dall’Ovest americano, Verona: Colpo di Fulmine Edizioni. Goodheart, E. (1987), Pieces of Resistance, Cambridge: Cambridge University Press. 26 Healy, D. (1970), US Expansionism: The Imperialist Urge in the 1890s, Madison: University of Wisconsin Press. Jaffe, I. B. (1989), The Italian Presence in American Art, 1760–1860, New York: Fordham University Press. Kasson, J. S. (2001), Buffalo Bill’s Wild West: Celebrity, Memory, and Popular History, New York: Hill and Wang. Kean (1890), ‘Buffalo Bill’s Wild West’, Il Paese, 28–29 January, p. 2. Kollin, S. (2015), Captivating Westerns: The Middle East in the American West, Lincoln: University of Nebraska Press. Körner, A. (2008), Politics of Culture in Liberal Italy: From Unification to Fascism, London: Routledge. Kroes, R. (1996), If You’ve Seen One, You’ve Seen the Mall: Europeans and American Mass Culture, Champaign: University of Illinois Press. Levine, L. W. (2009), Highbrow/Lowbrow, Harvard: Harvard University Press. Lewis, R. M. (2003), From Traveling Show to Vaudeville: Theatrical Spectacle in America, 1830–1910, Baltimore: Johns Hopkins University Press. 27 Lottini, I. (2012), ‘When Buffalo Bill crossed the ocean: Native American scenes in early twentieth century European culture’, European Journal of American Culture, 31:3, pp. 187– 203. Luconi, S. (2011), ‘ La rappresentazione degli italiani nell’immaginario statunitense’, Diacronie, 5:1, http://www.studistorici.com/2011/01/29/luconi_numero_5/. Accessed 1 October 2016. Magolli (1890), La Riforma, 20 February, Italian Scrapbook. Moses, L. G. (1996), Wild West Shows and the Images of American Indians, 1883–1933, Albuquerque: University of New Mexico Press. Nasi, M. (2006), I Butteri di Cisterna e dell’Agro Pontino, Roma:Palombi. Philippoteaux, P. (1890), Buffalo Bill: Il domatore delle pelli rosse : Terribili avventure fra i selvaggi indiani, Roma : E. Perino. Pons, C. M. (2002), ‘La chevauchée médiatique de Buffalo Bill’, Belphégor: Littérature Populaire et Culture Médiatique, 1:2, http://hdl.handle.net/10222/47657. Accessed 3 October 2016. Reddin, P. (1999), Wild West Shows, Champaign: University of Illinois Press. http://www.studistorici.com/2011/01/29/luconi_numero_5/ http://hdl.handle.net/10222/47657 28 Roosevelt, T. (1897), The Winning of the West: Volume 1, New York: G.P. Putnam’s Sons. ____ (1900), The Strenuous Life: Essays and Addresses, New York: Century. Russell, D. (1960), The Lives and Legends of Buffalo Bill, Norman: University of Oklahoma Press. Rydell, R. W. and Kroes, R. (2005), Buffalo Bill in Bologna: The Americanization of the World, 1869–1922, Chicago: University of Chicago Press. Said, E. W. (1977), Orientalism, London: Penguin. Salgari, E. and Gallo, C. (ed.) (1993), Arriva Buffalo Bill!, Verona: Edizioni Perosini. Serrao (1890), ‘Intervista con Buffalo Bill’, Il Carro Di Tespi ,1516 February, Italian Scrapbook. Slotkin, R. (1981), ‘Nostalgia and progress: Theodore Roosevelt’s myth of the frontier’, American Quarterly, 33:5, pp. 608–37. Smith, H. N. (1973), Virgin Land: The American West as Symbol and Myth, Harvard: Harvard University Press. Trachtenberg, A. (1982), The Incorporation of America: Culture and Society in the Gilded Age, New York: Hill and Wang. 29 Turner, F. J. (1953), The Frontier in American History, New York: Henry Holt and Company. Stetler, J. S. (2012), ‘Buffalo Bill’s Wild West in Germany. A transnational history’, Ph.D. theses, Las Vegas: University of Nevada, http://digitalscholarship.unlv.edu/cgi/viewcontent.cgi?article=2635&context=thesesdissertatio ns. Accessed 7 October 2016. Woodward, C. Vann (1992), The Old World’s New World, Oxford: Oxford University Press. Warren, L. S. (2005), Buffalo Bill’s America, New York: Random House. White, R. (1994), ‘Frederick Jackson Turner and Buffalo Bill’, in R. White and P. N. Limerick (eds), The Frontier in American Culture, Berkeley: University of California Press, pp. 665. Wilmeth, D. B. and Bigsby, C. (1998), The Cambridge History of American Theatre, Cambridge: Cambridge University Press. Wilson, A. (2007), The Puccini Problem, Cambridge: Cambridge University Press. Wrobel, D. M. (1991), ‘The closing gates of democracy: Frontier anxiety before the official end of the frontier’, American Studies, 32:1, pp. 4966. Contributor details http://digitalscholarship.unlv.edu/cgi/viewcontent.cgi?article=2635&context=thesesdissertations http://digitalscholarship.unlv.edu/cgi/viewcontent.cgi?article=2635&context=thesesdissertations 30 Alessandra Magrin is a Ph.D. Candidate at the University of Strathclyde, Glasgow, and an associate editor of ‘The Papers of William F. Cody’, a research project led by the Buffalo Bill Center of the West, Cody (WI). She has published chapters in edited collections and presented papers on travel writing, transnational receptions of Buffalo Bill’s Wild West’s, and Italian adaptations of the western genre. Contact: University of Strathclyde, School of Humanities and Social Sciences, 141 St James Road, Glasgow, G4 0LT, UK. E-mail: alessandra.magrin@strath.ac.uk Notes 1 I wish to thank the Eccles Centre for American Studies for their support at the British Library, where part of this research was carried out, Dr Mark Ellis for his mentorship during the drafting of this work, and the Buffalo Bill Center of the West for their invaluable assistance. 2 See Said (1977). For adaptations of this concept to the American context see Francaviglia (2011) and Kollin (2015). 3 About the cultural value of live shows and cultural hierarchy in America, see Levine (1988). 4 Luigi Persico (17911860) realized sculptures for the Capitol, in particular the Discovery of America, representing Christopher Columbus holding a globe with a Native American woman at his side, while Constantino Brumidi (180580) painted the celebrated fresco The Apotheosis of Washington in the Capitol’s rotunda. For more information on Italian Neoclassical art in America, see Jaffe (1989). mailto:alessandra.magrin@strath.ac.uk 31 5 The term grande attore theatre designates the Italian theatrical production of the second half of the nineteenth century . The plays focused primarily on the performance of the actors, and less on costumes and scenic design, therefore the talent of the performers was essential. Tommaso Salvini (18291915), gained enormous success in the United States beginning from 1873 and throughout the 1880’s. His popularity grew such that, in 1890, the Johnstown Weekly Democrat designated him as one of the ‘five men who have been prominent through two decades’, just ahead of William F. Cody (Anon. 1890t: 4). For more information on Salvini’s American career, see Buonaccorsi (2011); for a deeper understanding of the grande attore theatre, see Farrell and Puppa (2006). 6 Barnum’s 188990 winter season in London was indeed rather unsuccessful. In the aforementioned letter, Cody shows undisguised mockery: ‘I guess Barnum is sorry he followed the Wild West across the Atlantic, I see he closes in London today. I guess he wishes he had closed two months ago-I open in London in May’ (Cody 1890). 7 Major international newspapers talked about Buffalo Bill’s Roman stay and in particular about his papal audience: from the French Le Figaro, to the Dutch Het Nieuws van den Dag, and from the Canadian Daily Colonist, to the Australian Brisbane Courier (D’Arcangeli 2013: 66). 8 His attempt to secure the Coliseum was discussed even in New Zealand’s The Press (25 March 1890) and Evening Post (5 April 1890) (D’Arcangeli 2013: 3435). 9 For an extended discussion of Italian filmic appropriations of the western, see Fisher (2014). 10 This rhetoric drew cues from the racial theories of criminal anthropologist Cesare Lombroso, which were starting to gain a reception in America (Bertellini 2010: 72). 32 11 Sydney Sonnino (18481922) and Giovanni Giolitti (18421928) were two prime ministers of turn of the twentieth century Italy, heavily involved in the ‘Scramble for Africa’. For a deeper insight into their politics see Kӧrner (2008). 
work_gcp3bzu3tvfczhw64r6uzlz5cm	----	B O O K R E V I E W Lucio Russo: L’America dimenticata. I rapporti tra le civiltà e un errore di Tolomeo Mondadori Università, Milan, 2013 Liliana Curcio Published online: 18 July 2014 � Centro P.RI.ST.EM, Università Commerciale Luigi Bocconi 2014 Why did the celebrated Ptolemy (ca. 100–170 AD) commit a macroscopic error in measuring the dimensions of the earth, while Eratosthenes of Cyrene (ca. 275–195 BC), several centuries earlier, had calculated the same measurement with an almost exact result (with a deviation of less than 1 % from the actual known dimension)? This question, apparently of interest only to mathema- ticians, cartographers and geographers, becomes the point of departure for a fascinating investigation that gives rise to unexpected suppositions. In fact, Lucio Russo maintains the surprising hypothesis that the reason for Ptolemy’s error lies in the collapse of knowledge that followed the Roman conquests. According to this theory, the broadening of territories conquered by Rome went hand-in-hand with a systematic destruction of the culture of all peoples con- quered. One example is sufficient: the destruction of the Library of Alexandria and its inestimable patrimony of codices and volumes containing the entirety of human knowledge. In Russo’s words: This was not only the largest collection of books in existence in the world, but also the most important centre of editorial production, closely connected to the Musaeum of Alexandria, that is, to the principal public research institution of the ancient world, where scholars were lived at the expense of the state, devoting themselves to their own work without material worries (p. 90, our trans.). The loss of knowledge was not limited to the scientific methodologies of mathematical geography and cartogra- phy, but also regarded the information about places and peoples, which often dated back to much earlier epochs. The recollections of past journeys also gradually disap- peared, leaving in their wake tales that were legendary and unbelievable. All of this is addressed in the book, starting with a mathematical key, a problem tied to mathematical geog- raphy: Ptolemy’s error. With refined accuracy, Lucio Russo L. Curcio (&) Largo Vulci 9, 20159 Milan, Italy e-mail: liliana.curcio@unibocconi.it 123 Lett Mat Int (2014) 2:111–112 DOI 10.1007/s40329-014-0053-1 examines the routes taken and the inconsistencies of the results achieved by different scholars from Eratosthenes to Hipparchus all the way to Ptolemy. The measurements of the scientists were made on the basis of tables previously compiled. Eratosthenes, who was director of the Library of Alexandria, used a procedure based on calculations within the framework of a mathe- matical model. Ptolemy’s error is due to a dilatation of the length in longitude, the consequence of which is a decrease in the size of the earth: 180,000 stadia for the length of the cir- cumference instead of the 252,000 stadia obtained by Eratosthenes, which was much closer to the actual mea- surement. What is astonishing is that the dilatation of longitudes and the contraction of the dimensions of the earth are both aspects of the same error. While the latitudes of many localities are taken from direct sources and thus do not lead to the introduction of errors, the information available at the time regarding longitude required complex elaboration, and hence the error: the ‘Fortunate Islands’ that Ptolemy identified with the Canary Islands actually correspond to the Lesser Antilles (more precisely, the so- called Leeward Islands: the Americas!). The identification of the Fortunate Islands with the Canaries resulted in a chain of errors, leading Ptolemy to miscalculate the scale of longitudes and consequentially, to reduce the dimen- sions of the earth. From all of this it can be deduced that in the second century BC (and perhaps even earlier) the ships of the Mediterranean, and probably first of all those of the Carthaginians, not only reached the Caribbean but opened a route that was then used continuously. This would explain various of what appear to be historical inconsistencies, such as the representations of fruits that appear undoubt- edly to be pineapples (a fruit native to the Antilles) in the works of artists and painters, and, in the opposite direction, the presence in the Americas of chickens, fowls of Eurasian origin, found by Christopher Columbus when he landed there. Lucio Russo’s hypothesis is fascinating, one that leads to deeper reflection and perhaps even to a revision of his- tory books. It also leads us to consider the possibility that human societies arrive at the same results at the same time in very distant contexts, not by a kind of ‘convergent evolution’, but because they are mutually connected in a network of cultural exchanges and knowledge. Translated from the Italian by Kim Williams. Liliana Curcio teaches mathe- matical analysis at the Politec- nico di Milano. Formerly she taught mathematics and physics at the Istituto Statale d’Arte sperimentale (ISA) in Monza. She is a collaborator with the Centro Pristem, coordinating the courses of ‘mathematical orien- tation’ (Orientamatica) dedi- cated to high school students. She is a member of the Editorial Board of the Lettera Matemati- ca, to which she has contributed various articles, with particular regard to the connections between mathematics, art and architecture. 112 Lett Mat Int (2014) 2:111–112 123 Lucio Russo: L’America dimenticata. I rapporti tra le civiltà e un errore di Tolomeo Mondadori Università, Milan, 2013 
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work_gjvzzdxk3fe2jbufbcgnfv5iba	----	European journal of American studies , Reviews 2011-1 European journal of American studies Reviews 2011-1 Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions on the Page, on the Stage, Onscreen and Online Dr Nancy Mykoff Electronic version URL: http://journals.openedition.org/ejas/8863 ISSN: 1991-9336 Publisher European Association for American Studies Electronic reference Dr Nancy Mykoff, « Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions on the Page, on the Stage, Onscreen and Online », European journal of American studies [Online], Reviews 2011-1, document 6, Online since 09 February 2011, connection on 03 May 2019. URL : http:// journals.openedition.org/ejas/8863 This text was automatically generated on 3 May 2019. Creative Commons License http://journals.openedition.org http://journals.openedition.org http://journals.openedition.org/ejas/8863 Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions on the Page, on the Stage, Onscreen and Online Dr Nancy Mykoff REFERENCES Madison. Wisconsin: University of Wisconsin Press, 2009. Pp. 400. ISBN 13: 978-0299231842 (pbk). 1 In this thesis-driven monograph, Jeff Smith argues that the American president embodies the nation and personifies its citizens. As a result, the president’s changing profile, in fact and fiction, sheds light on the histories of the nation and its people. Claiming that works of fiction anticipate actual people and events, Jeff Smith focuses on presidential fictions, which he defines as “works in various media along with other acts of imagination, in which American presidents and the presidency figure importantly as characters, motifs, literary devices, or ways of making meaning” (11). 2 This focus addresses a gap in cultural studies scholarship. According to Smith, histories of character types and cultural icons, tend to study characters like ‘the’ Indian and icons like Jesus Christ.1 These works overlook both the presidency itself and the character type ‘president.’ Jeff Smith’s history of presidential fictions, from the Saintly George Washington to the virtual President Barbie, addresses the oversight. 3 Smith also refutes the claim that inspired his research. On Election Day 2000, a CNN report echoed a Presidential Historian’s statement that, “outside of a handful of thrillers, presidents – even fictional presidents – seldom appear as characters in novels,” because the role of the president does not lend itself to “imaginative embellishment (3).” The Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions ... European journal of American studies , Reviews 2011-1 | 2011 1 author counters the contention by uncovering a plethora of biographies, satirical works, novels, plays, music, television series, Hollywood film and other cultural forms that feature ‘presidential fictions.’ 4 The book begins with an eloquent and witty introduction that raises interest and expectations. In it, Smith claims that art and imagination are central to the ‘real’ world of politics and commerce. He illustrates the point by focusing on popular culture (or propaganda) and persuasion, within the context of war. Human beings fight wars in defence of causes and ideals like “freedom,” “the future,” and “our way of life.” Artistic expressions provide citizens and soldiers with the meaning of these ideas which they, in turn, defend with their lives. 5 Challenging Oscar Wilde’s notion that “life imitates art far more than art imitates life,” Jeff Smith claims that the study of presidential fictions reveals that, “fiction proceeds and helps to create reality” (9). Whereas Benedict Anderson argued that nations are first Imagined Communities, forged through cultural forms that unite diverse people, Smith argues that national leaders are first figments of the citizens’ collective imagination, and then real human beings that fit the preconceived mold. 6 Organized chronologically, chapter one, “Imagining a President: George Washington and His Fictional Predecessors,” locates the office of the President and the two-party system in English culture and institutions. Fictive notions of the “Patriot King,” embraced by Tory politicians and lampooned by Whig satirists, informed the political system imagined by the framers of the U.S. Constitution. While fiction helped to frame American politics, the actual First President was fictionalized to make him more accessible to the common citizen. 7 Chapter two “Seeing Double: Clowns, Carnival and Satire in the Antebellum Years,” suggests that literary fiction claiming the Union had failed, precluded Secession and Civil War. Satirical works that mockingly praised Andrew Jackson as the “leader of a motley crowd of clowns”(63), reveal the contemporary questioning of a leader who was both “king” of the people and a (very) ordinary man. 8 Chapter three “Deep Yet Transparent,” focuses on Abraham Lincoln’s “common man” character, and how the new notion of the American President as “one of us” regular citizens, “marks the point at which the presidency became a matter of psychohistory and psychobiography”(95). Because leaders ‘we’ imagine are not real people but reflections of ‘our’ imaginations with whom real people can identify, the nobility of Washington was (re)presented as common, and the humbleness of Lincoln was (re)visioned as grand. 9 Chapter four “A Simple, Honest Man,” follows the presidency into the turbulent 1930’s and 40’s, and spotlights the development of the ‘personal presidency,’ a term Smith defines as, “a president to whom citizens feel connected and who can promise to solve problems in their every day live” (159). This profile was projected on past and future presidents in productions like D.W. Griffith’s Abraham Lincoln, and with characters like Betty Boop, whom Smith credits with animating the presidency of Franklyn D. Roosevelt. 10 Chapter five, “The Human Element: Presidential Strength, Weakness and Difference in the 1960’s and 1970’s,” argues that the new “leader of the free world” burden, was too heavy for an average human being. This heaviness was seen in fictive and real presidential strength and weakness. In his fiction before fact vein, Smith argues that Superhero presidents, like the D.C. comic strip figure Prez, countered the actual fragile president. This fragility, in turn, was prefigured by cultural creations. Disneyland’s life- Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions ... European journal of American studies , Reviews 2011-1 | 2011 2 size Abraham Lincoln robot, for instance, suffered the back spasms that would plague future American president John F. Kennedy. 11 Chapter six, “Who Am I? Presidents and their Issues in Fictions of the 1990’s,” follows the ‘me’ generation into the White House, with fictional scandals lifted from real-life dramas. Projected in films like Primary Colors and television series like The West Wing, American presidents were men, “to whom things happened or were done, not who made things happen” (210). Narratives featuring presidents that made things happen, like Air Force One or Independence Day, support the author’s argument that presidential fictions of the 1990’s centered the personal while slighting the political (216). 12 Chapter seven, “Fictitious Times: Imagining Presidents at the Turn of the Millennium,” examines the central role of fiction in the presidency of George W. Bush, “the first president to be accused not merely of relying on fictions, but of being one himself” (247). It also focuses on the World Wide Web, a medium for conspiracy theories, “political mockery,” and a (cyber)space where anyone can publish his or her presidential fiction. 13 The final chapter, “The Conclusion: Your Name Here for President,” looks at transmedia story telling, by describing the evolutions of the President Barbie doll. Campaigning with the slogan “You can be President,” President Barbie expresses the modern day belief that ‘we’ can imagine ourselves into the Oval Office. Although Barbie’s candidacy lends itself to a gender analysis, Smith plays scant attention to the topic, simply noting that her outfit changed with the role. To his credit, he does address the manliness of The Man in a section that studies cinematic representations of American presidents (181-188). Unfortunately, this marginal treatment does not examine presidential performances of masculinity, in fact as well as fiction, and over time. Questioning the gendered displays enriches understanding of contemporary notions of manhood that, in turn, were (and are) essential to American leadership. Why, for instance, did Theodore Roosevelt (T.R.), mentioned briefly in Smith’s text, recast his intellectual North Eastern identity into a “rough riding” masculine form? Why does the image continue to capture the American imagination? In the box office hit Night at the Museum (2006), not mentioned in Smith’s text, the ‘visionary’ president’s masculinity (and heterosexuality), evident in his love for a beautiful Indian woman, guides the hero through the night, and the audience through the film, with maxims like, “nothing is impossible if it can be imagined,” that resonate with both the films protagonist and its viewers, and support the author’s thesis that imagination presages reality. 14 That women seem to lack imagination also speaks to the author’s limited gender analysis. Although he mentions female intellects in the text and artists in the endnotes, women primarily appear in the imaginations of the male artists and storytellers that (re)present the president. Their characters, in turn, are stereotypes. Amongst them are the jealous socialite, lost lover, bickering and betraying socialite and lover, kissing admirers of Presidential alter egos like Black Hawk (Andrew Jackson’s sexier self), the village crank, the young widow; and the (much) younger wife. Perhaps the oversight of women as creative agents in presidential fictions, stems from the ‘we’ imagining the president. Rather than trouble the concept, first uttered by John Winthrop’s 1630 prophecy that “wee shall be as a citty upon a Hill,” and hotly debated since, Jeff Smith’s ‘we’ and the fictions crafted by ‘us,’ are drawn from white, male, adult, fantasies. Groups with less power imagined the American President too. How did their imaginings contest or confirm the fictional president of the dominant culture? A vast array of sources, including the ethnic press like the Jewish Daily Forward; posters and plays written and produced by Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions ... European journal of American studies , Reviews 2011-1 | 2011 3 organizations like the Young Women’s Christian Association (YWCA); and literary and visual works crafted by critics of the government, tell different stories about American Presidents. Although all are on line, none are in the book. This is surprising because, in general, Jeff Smith’s research is very (very) impressive. Of course, no work can be all inclusive. The problem, however, is that he treats obscure works alongside the popularly acclaimed. The critical reader wonders if materials were included in the text to support the preconceived thesis that fiction proceeds reality. The less critical enjoys the stories. 15 Throughout his work, Smith underscores the significance of stories and storytelling in presidential histories and American life. Like historian Ronald Takaki before him, Jeff Smith argues that ‘facts’ about the New World were drawn from works of fiction. Both use William Shakespeare’s The Tempest, first performed in London in 1611, to support the point. They differ, however, in their analysis of the imaginary and the real. Takaki convincingly argues that literary fiction was drawn from life experiences. According to him, the imagery and language of the play suggest that, “Shakespeare had lifted the material from contemporary documents about the New World” widely circulated throughout Europe and within England.2 Jeff Smith reverses the relationship. In order to prove that fact follows fiction, he dismisses the cultural and historical significance of early exploration and representations of the New World to the Old, with the statement that, “America began appearing in European literature before more than a handful of Europeans had ever been there” (14). This dismissal renders the Viking expeditions in ca 1000AD, the explorations led by Christopher Columbus in the 1490s, and settlements like the one lead by Captain John Smith in 1607, insignificant. 16 Finally, overwhelming detail tends to overwhelm. This includes the network of relationships between authors, directors, and actors, as well as summaries of theatrical productions, movies and acting careers. In addition to confounding the reader, details disrupt the flow of the narrative. 17 Limitations in approach and style, however, do not render Jeff Smith’s work less significant. On the contrary, his survey, summaries, and central premise, provide excellent starting points for future research. Raising questions that merit attention like, can the Obama presidency be traced back to and through the staging of African-American presidents? Does popular culture provide a means to contest the presidency? Do marginal groups join and shape the cultural conversation? Do audiences (re)interpret presidential fictions? Does fiction create fact? The convinced and the curious will glimpse the president that ‘we’ will elect by examining The Presidents We Imagine. NOTES 1. John E. O’Connor’s, The Hollywood Indian (New Jersey; New Jersey State Museum, 1980); and Michael Kimmel’s Manhood in America: A Cultural History (New York; Oxford University Press, 2006) reflect the trend. 2. Ronald Takaki, “The Tempest in the Wilderness: The Racialization of Savagery,” A Different Mirror: A History of Multicultural America (Boston; Little, Brown and Company, 1993). Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions ... European journal of American studies , Reviews 2011-1 | 2011 4 AUTHOR DR NANCY MYKOFF Roosevelt Academy, Middelburg, The Netherlands Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions ... European journal of American studies , Reviews 2011-1 | 2011 5 Jeff Smith, The Presidents We Imagine: Two Centuries of White House Fictions on the Page, on the Stage, Onscreen and Online 
work_gjxadreqbvhhvbxiof2llkhrle	----	Tuberculosis Genetic Epidemiology: A Latin American Perspective genes G C A T T A C G G C A T Review Tuberculosis Genetic Epidemiology: A Latin American Perspective Marc Woodman 1, Ilsa L. Haeusler 1 and Louis Grandjean 1,2,3,4,* 1 Institute of Child Health, University College London, London WC1N 3JH, UK; marcjwoodman@gmail.com (M.W.); i.haeusler@ucl.ac.uk (I.L.H.) 2 Department of Medicine, Imperial College London, London W2 1NY, UK 3 Great Ormond Street Hospital, Institute of Child Health, University College London, London WC1N 3JH, UK 4 Laboratorio de Investigacion y Desarollo, Universidad Peruana Cayetano Heredia, Av. Honorio Delgado 430, San Martin de Porres 15102, Lima, Peru * Correspondence: l.grandjean@imperial.ac.uk; Tel.: +44-207-594-2523 Received: 6 December 2018; Accepted: 11 January 2019; Published: 16 January 2019 ���������� ������� Abstract: There are an estimated 10 million new cases of tuberculosis worldwide annually, with 282,000 new or relapsed cases each year reported from the Americas. With improvements in genome sequencing technology, it is now possible to study the genetic diversity of tuberculosis with much greater resolution. Although tuberculosis bacteria do not engage in horizontal gene transfer, the genome is far more variable than previously thought. The study of genome-wide variation in tuberculosis has improved our understanding of the evolutionary origins of tuberculosis, the arrival of tuberculosis in Latin America, the genetic determinants of drug resistance, and lineage-specific associations with important clinical phenotypes. This article reviews what is known about the arrival of tuberculosis in Latin America, the genetic diversity of tuberculosis in Latin America, and the genotypic determinants of clinical phenotypes. Keywords: Mycobacterium tuberculosis; tuberculosis; multidrug-resistant tuberculosis; Mycobacterium tuberculosis complex; genetics; whole-genome sequencing; South America; Latin America; pathology; transmission 1. Introduction Mycobacterium tuberculosis (MTB), the bacterial pathogen which causes tuberculosis disease (TB), is the leading cause of death from a single infectious agent worldwide, as well as being one of the overall top ten causes of death [1]. In 2017, it was estimated that 10 million people developed TB, leading to 1.3 million deaths [1]. Worldwide, the incidence rate of tuberculosis fell by 2% annually between 2000 and 2017; however, an estimated reduction of 4–5% per year is necessary to reach the first milestone of the END TB strategy by 2020 [1]. It is estimated that 1.7 billion people, about 23% of the world’s population, have latent TB infection and are therefore at risk of developing active TB disease throughout their lifetime [1]. Furthermore, the crisis of drug-resistant tuberculosis poses a growing threat to global TB control, with over half a million new drug-resistant cases reported in 2017. Novel treatments and control strategies are therefore urgently required in order to make greater and more rapid reductions in tuberculosis incidence. New treatments such as bedaquiline [2], delamanid [3], and pretomanid [4] offer therapeutic potential in multidrug-resistant tuberculosis (MDR-TB). Injectable-free regimes for MDR-TB will hopefully improve tolerance, compliance, and cure rate. Improvements in whole-genome sequencing technology have allowed human and pathogen genomes to be studied with unprecedented definition at ever-increasing speed and lower cost. Genes 2019, 10, 53; doi:10.3390/genes10010053 www.mdpi.com/journal/genes http://www.mdpi.com/journal/genes http://www.mdpi.com https://orcid.org/0000-0002-2890-447X http://www.mdpi.com/2073-4425/10/1/53?type=check_update&version=1 http://dx.doi.org/10.3390/genes10010053 http://www.mdpi.com/journal/genes Genes 2019, 10, 53 2 of 17 Sequencing studies in tuberculosis have already elucidated evolutionary pathways [5], improved diagnosis [6], and tuberculosis transmission epidemiology [7]. This article will review trends in Latin American tuberculosis and will focus on how the study of MTB genetic epidemiology has improved the understanding of the evolution, epidemiology, and pathogenesis of tuberculosis disease in the region. 2. Discussion 2.1. The Epidemiology of Tuberculosis in Latin America Overall, 3% of global tuberculosis cases are reported from the Americas with an associated mortality rate of 7.3% [8]. In 2017, the incidence rate of tuberculosis in South America was 46.2 per 100,000 people, with corresponding values from the Caribbean and Central America (including Mexico) of 61.2 and 25.9 per 100,000 respectively. The epidemiology of tuberculosis varies considerably between countries within Latin America. Three countries—Brazil, Peru, and Mexico—account for slightly more than half of all cases in the Americas [8]. Peru has an incidence rate of 116 per 100,000 population, Brazil 44 per 100,000, and Mexico 22 per 100,000 [1]. Costa Rica, Cuba, Jamaica, Puerto Rico, and Trinidad and Tobago have incidence rates between <10 and 20 cases per 100,000 people, values closer to the threshold for elimination (defined as <1 case per million) [8–10]. Throughout the Americas, drug resistance presents a particular crisis. In Peru, drug-resistant tuberculosis accounts for 9% of its cases, compared with 3% in each Brazil and Mexico [8]. In 2017, only 33% of patients received drug-susceptibility testing, resulting in an estimated 7000 patients with drug-resistant tuberculosis remaining undiagnosed or untreated [8]. Furthermore, the proportion of successful treatment outcomes for MDR-TB in the Americas in 2015 was 56%, with 26% lost to follow-up [8]. Comorbid infections are a challenge in Mexico where 30–40% of tuberculosis cases have diabetes [9,11,12], while large cities and incarcerated populations significantly contribute to new cases of disease in several Latin American countries, including Brazil and Peru [13]. 2.2. The Genomic Sequencing of Mycobacterium tuberculosis The application of genomic sequencing to the field of microbiology has improved our understanding of the evolution, diagnosis, and pathogen determinants of human disease. Since the MTB whole genome was sequenced in 1998 [14], new genomic techniques and technologies have led to remarkable improvements in accuracy, speed of processing, and analysis of samples alongside significant reductions in cost. Consequently, phylogenetic studies have revealed that the diversity of MTB, which forms part of the M. tuberculosis complex, is much greater than originally understood [15,16]. This genetic diversity has been exploited through a variety of methods to classify MTB into robust phylogenetic strains, leading to an emerging consensus which categorizes MTB into six main strain lineages [17]. Initially, researchers relied on standard epidemiological typing techniques such as insertion sequence 6110 restriction fragment length polymorphism (IS6110 RFLP), spoligotyping, and mycobacterial interspersed repetitive unit-variable number tandem repeats (MIRU-VNTR) for classifying MTB strains. IS6110 RFLP uses mobile DNA elements which are unique to the MTB complex to sub-speciate isolates [18,19]. Spoligotyping (or spacer oligonucleotide typing) is a rapid, polymerase chain reaction (PCR)-based method for genotyping members of the MTB complex. The technique employs primers to 43 spacer regions within the direct repeating (DR) region of the tuberculosis genome. The presence or absence of spacer hybridization provides a 43-digit binary output which can be converted into an octal code (or spoligotype) that is used to define the strain of MTB. MIRU-VNTR typing relies on counting the number of DR units by quantifying the size of PCR amplicons at 12, 15, or 24 loci in the MTB genome. More recently, unique genetic markers have been identified and characterised in the form of large sequence polymorphisms (LSPs) and single nucleotide polymorphisms (SNPs) [17]. SNPs are Genes 2019, 10, 53 3 of 17 phylogenetically useful mutations because the low genetic variability of the MTB complex makes independent recurrent mutation very unlikely, while the lack of horizontal gene transfer further reduces the likelihood of observing independent recurrent SNPs [17]. In their 2007 paper, Gagneux and Small reviewed the literature that had applied these phylogenetically informative mutations to a globally sampled collection of MTB isolates to define the phylogeny of M. tuberculosis and M. africanum (both species of the M. tuberculosis complex) into six main strain lineages, which are associated with particular geographical regions [17]. Within these lineages, several spoligotypes or strains exist. 2.3. The Arrival of Tuberculosis in Latin America Tuberculosis has co-evolved with humans [20]. As MTB is an obligate human pathogen with long epidemic cycles over many years [21], much of the contemporary population diversity of MTB is defined by the origins of the first colonizing humans. It is hypothesized that the population density of indigenous pre-Columbian societies was sufficient to allow the spread of tuberculosis [22]. There is considerable evidence from pre-Columbian ceramic records that suggests mycobacterial disease was the cause of the characteristic thoracic gibbus deformity caused by Pott’s disease of the spine [23]. The ceramic record may however represent Mycobacterium bovis, Mycobacterium pinipedii, Mycobacterium caprae, or other members of the M. tuberculosis complex capable of causing Pott’s disease. The pre-Columbian indigenous communities of Latin America were ancestors of those that migrated across the Bering Strait and southward through North America [24]. Despite this, the population diversity of MTB in Peru, which had one of the largest pre-Columbian populations, is almost exclusively comprised of Euro-American lineage 4 genotypes, not northern Siberian genotypes that one might expect if MTB arrived in the country via the Bering Strait [25]. This is consistent with MTB being brought to Latin America by the conquistadores and not beforehand. In 2014, Bos et al. sampled the diseased vertebral columns of pre-Columbian mummies from three distinct geographical sites in Peru. Using whole-genome sequencing, they demonstrated that M. pinipedii was the causative organism in these cases, further supporting the hypothesis that MTB arrived in the Americas after Christopher Columbus [26]. More recently, a phylogenetic study of a global collection of lineage 4 Euro-American strains dated the arrival of the Euro-American lineage to Latin America after the year 1500 [27]. Until evidence is found of MTB sensu strictu in Pre-Columbian mummified remains, the evidence currently points towards the arrival of MTB with the conquistadores. 2.4. The Phylogenetics of Latin American Tuberculosis Unlike many bacterial pathogens, horizontal gene transfer does not occur in MTB. Most mutation events involve deletion, duplication, insertion, and SNPs. MTB therefore has a clonal pattern of evolution, such that strains and lineages emerge from a common ancestor. Despite this, whole-genome sequencing has revealed substantial genetic diversity between strains, leading to an improved phylogenetic SNP-based strain classification [28]. Studies in Peru [25,29,30], Argentina [31], Mexico [32,33], and Brazil [34–37] have all examined the genetic diversity of MTB in Latin America and have established that the predominant strains have evolved from the Euro-American lineage 4. This domination of lineage 4 in South America, alongside its worldwide distribution, supports the hypothesis that it was introduced and dispersed by European colonialists in the mid-sixteenth to nineteenth centuries, as discussed above [38–41]. There are differences in genotype distributions between and within countries in Latin America (Figure 1, Tables 1 and 2) that likely reflect further patterns of human migration. A 2018 systematic review by Wiens et al. looked at the global variation in MTB strains and found that Central America and northern South America had different genotype distributions from central and southern South America [38]. Due to historical Chinese immigration for work on guano factories and railways, Peru has a relatively higher number of Beijing strains than neighbouring countries, comprising 9% of the MTB population [25]. Furthermore, a study in Acapulco, Mexico found that the largest cluster identified, comprising 33.6% of isolates, was the Manila family, a member of the East African Indian Genes 2019, 10, 53 4 of 17 group (EAI2). This is likely to reflect Mexico’s historic ties with Asia, as the Manila genotype is found throughout South East Asia, particularly the Philippines, Myanmar, Malaysia, Vietnam, and Thailand [42]. Genes 2019, 10, x FOR PEER REVIEW 4 of 20 Figure 1. Distribution of phylogenetic groups in Latin America. References for data are included in Tables 1 and 2. The differences in MTB genotypes throughout Latin America are likely to be the result of different periods of human migration and colonisation over time—for example in Brazil, with initial Portuguese colonisers and the forced migration of large numbers of African slaves in the 16th–18th centuries, followed by significant European immigration throughout the 19th and 20th centuries [43]. This may be the reason behind the development of the RD-Rio strain found disproportionately in Rio de Janeiro [44]. This contrasts with patterns of migration in other countries such as Argentina which experienced proportionately larger numbers of migrants from Europe and the Middle East Figure 1. Distribution of phylogenetic groups in Latin America. References for data are included in Tables 1 and 2. The differences in MTB genotypes throughout Latin America are likely to be the result of different periods of human migration and colonisation over time—for example in Brazil, with initial Portuguese colonisers and the forced migration of large numbers of African slaves in the 16th–18th centuries, followed by significant European immigration throughout the 19th and 20th centuries [43]. This may be the reason behind the development of the RD-Rio strain found disproportionately in Rio de Janeiro [44]. This contrasts with patterns of migration in other countries such as Argentina which experienced proportionately larger numbers of migrants from Europe and the Middle East [45,46]. These differences are likely to have contributed to the diverse phylogeography of MTB in Latin America that we see today. There has also been migratory flux between countries within Latin America; in Chile, cases of Beijing clade MTB have been linked to recent immigration from countries such as Peru [47]. Ongoing migration, including the exodus of large numbers of people from Venezuela over recent years, is likely to have implications for the pattern of tuberculosis transmission in the future [48]. Genes 2019, 10, 53 5 of 17 Table 1. The population diversity of Latin American MTB spoligotypes. The proportion of different spoligotypes in each country/region is expressed in percentages. Most studies did not report all spoligotypes found; their percentages therefore do not add up to 100%. Country/Region LAM (%) S (%) Haarlem (%) Cameroon (%) Beijing (%) Uganda (%) EAI (%) Ghana (%) T Group (%) X Clade (%) Undefined/ Orphan/Other (%) Acapulco, Mexico [42] - 1.9 3 - - - 44.6 - 11.2 1.1 4.9 Baja California, Mexico [49] 19.3 13.6 14.3 5.7 4.3 5.0 2.1 0.7 - - 35.0 Bogota, Colombia [50] 49.3 3.3 25.0 - 0.7 - - - 13.8 1.3 6.6 Rio Grande, Brazil [35] 54.0 16.0 - - - - - 22.0 - - Rio Grande, Brazil [34] 34.0 4.2 12.8 2.1 - 10.6 - - - 14.9 2.1 Rio de Janeiro, Brazil [37] 43.6 18.3 - 0.5 - 2.3 - 34.9 0.5 - Rio de Janeiro, Porte Alegre, and Belem, Brazil [51] 66.2 2.5 9.7 - 0.5 - 3.0 - 2.0 5.2 10.1 Parana, Brazil [52] 26.9 - 17.2 - - - - - 11.8 - - Minas Gerais state, Brazil [53] 66.3 1.9 5.8 - - - - - 14.4 1.9 8.7 Sao Paulo, Brazil [54] 2.8 - 5.7 - - - - - 35.4 2.8 7.1 Southeast Brazil (prison population) [55] 50.0 - 11.5 - - - - - 8.7 5.7 9.2 Metropolitan region, Chile [56] 39.5 - 7.0 - 4.7 - - - 32.5 2.3 - Peru [57] 23.8 - 23.8 - 9.3 - - - 22.3 - Peru [58] 16.2 - 43.7 - 9.1 - - - 27.5 1.4 - Santiago, Chile [47] 23.9 - 22.1 - - - 7.1 - 29.9 6.7 - Medellin, Colombia [59] 39.6 - 48.7 - - - - - - - 6.4 Cali, Colombia [59] 39.1 - 39.0 - - - - - - - 11 Cauca State, Colombia [59] 24.0 - - - - - - - - - 40 French Guiana [60] 23.3 - 22.6 - - - - - 32.6 - - Bolivia [61] 26.3 2.0 39.4 - - - - - 22.2 1.0 9.1 Paraguay [62] 52.3 9.5 18.2 - 0.5 - - - 8.6 0.9 - Venezuela [63] 53.0 1.9 5.0 - 0.4 - 0.2 - 10.0 1.2 - Table 2. The population density of South American MTB spoligotypes by country. Country LAM (%) S (%) Haarlem (%) Cameroon (%) Beijing (%) Uganda I (%) EAI (%) Ghana (%) T Group (%) X Clade (%) Undefined/Orphan/Other (%) Mexico [42,49] 9.65 7.75 8.65 2.85 2.15 2.5 23.35 0.35 5.6 0.55 19.95 Brazil [34,35,37,51–55] 42.99 1.09 12.12 0.27 0.12 1.33 0.66 - 16.15 3.87 4.64 Peru [57,58] 20 - 33.73 - 9.22 - - - 24.88 0.71 - Chile [47,56] 31.7 - 14.55 - 2.35 - 3.55 - 31.2 4.5 - Colombia [50,59] 38.01 0.82 28.18 - 0.16 - - - 3.46 0.33 1.64 French Guiana [60] 23.3 - 22.6 - - - - - 32.6 - - Bolivia [61] 26.3 2 39.4 - - - - - 22.2 1 9.1 Paraguay [62] 52.3 9.5 18.2 - 0.5 - - - 8.6 0.9 - Venezuela [63] 53 1.9 5 - 0.4 - 0.2 - 10 1.2 - Genes 2019, 10, 53 6 of 17 2.5. Genetics of Mycobacterium tuberculosis Disease The clinical spectrum of tuberculosis is a consequence of the interaction between host factors, such as the host’s ability to clear or control infection, environmental factors such as the bacillary load and duration of exposure to infectious droplets, and pathogen factors, which are becoming increasingly understood. Identifying pathogen genetic biomarkers of virulence has potential implications for worldwide tuberculosis control, as they may provide targets for new treatments, vaccines, and diagnostic tools [64]. The complex interaction between host, environment, and bacterial factors results in difficulty independently attributing genotypic differences between strains to their phenotypic manifestations, thus, understanding the virulence of MTB has proved challenging [15]. Although there are multiple definitions used to define a virulence gene, a necessary characteristic is that inactivation of a candidate gene in the mycobacterial genome leads to a measurable loss of virulence in an in vivo model. From a clinical and epidemiological perspective, frequently used measures of virulence are morbidity and mortality, that is, the proportion of infected patients (or animals) that die, and the time taken to do so following infection. In 2001, Manca et al. compared the virulence of two MTB clinical isolates following aerosol-mediated infection of immunocompetent mice. The increased virulence of the HN878 strain compared to the NHN5 strain was demonstrated through an accelerated time to death of mice infected with the HN878 strain [65]. Similar methods have been used to demonstrate the increased virulence of two “modern” Beijing strains isolated in Mozambique and Brazil compared with “ancient” strains [66]. This has been correlated clinically with findings that most modern strains come from environments where they have caused large numbers of clustered secondary cases in immunocompetent individuals, suggesting high transmissibility [66]. Additionally, in Japan, where ancient Beijing strains are prevalent, recently transmitted cases are more frequently caused by modern Beijing strains, whereas ancient strains are associated with reactivation in older patients [66]. The function of virulence genes can be classified broadly by molecular and biological roles, such as cell secretion and envelope functions, enzymes involved in cellular metabolism, and transcription regulators. Clinically and epidemiologically, these molecular and biological processes each contribute to the following aspects of mycobacterial virulence, as outlined by Coscolla and Gagneux: “(i) the ability of the bacteria to survive in the face of host immune responses, (ii) their capacity to cause lung damage, (iii) to survive the aerosolisation process outside of the host, and (iv) successfully transmit to and infect a new host” [67]. MTB has no other animal or environmental reservoir, and as such must cause pulmonary disease in order to be transmitted. In this way, tuberculosis virulence is directly linked to transmission [67–69]. It is currently estimated that over one hundred genes are associated with virulence in MTB. An exhaustive summary of these genes is outside the scope of this review; however, there are comprehensive reviews published on this topic [70,71]. 2.6. Genetic Determinants of Disease Phenotype Evidence increasingly suggests that MTB pathogen genotype is associated with distinct phenotypic features that may account for disease presentation and outcome. This idea emerged in the 1960s after studies in guinea pigs showed that MTB strains isolated in India and Thailand were less virulent than those isolated in the UK [16,72,73]. Epidemiological observations have demonstrated that there are a small proportion of strain genotypes which give rise to a disproportionately large number of cases, particularly in the case of a number of American outbreaks [74,75], and that some strains are associated with prolonged outbreaks [74,76,77]. More recently, in vitro immunogenicity and animal studies have shown that there are strain-specific differences in gene expression which are likely to result in phenotypic variation [16,78,79], and a few studies have revealed strain-specific differences in virulence and immunogenicity [16,80–82]. Genes 2019, 10, 53 7 of 17 Until genomic techniques became more widely available in the 1990s, the dogma was that the genetic diversity of MTB was too narrow to account for differences in virulence, and could be accounted for by differences in host and environmental factors [16]. However, approximately two-thirds of coding SNPs in MTB are non-synonymous, meaning they result in a change in the encoded amino acid [16,83,84]. A large proportion of these (58%) are predicted to affect gene function, which suggests that the genetic differences observed among MTB strains have phenotypic consequences [16,40]. 2.7. Ability to Cause Active and Cavitating Disease One of the key mechanisms of MTB virulence is its ability to subvert the host immune response. This has been investigated using whole-genome sequencing of clinical MTB strains to understand the genetic diversity of human T cell epitopes [16,84]. While in most pathogens immune pressure drives evolution and antigenic diversity [85], it has been shown that human T cell epitopes among MTB strains are hyper-conserved. This suggests that the bacteria may benefit from recognition by the immune system and the immune responses that follow, possibly through the promotion of tissue damage and therefore enhanced transmission from patient to patient [16,84]. This is supported by the finding that cavitating disease is more likely to give rise to secondary cases [67,69]. Several studies have found that increased MTB virulence is associated with reduced or delayed inflammatory responses. The underlying mechanism could be that the initial reduced immune response allows bacterial proliferation earlier in the infective process, thereby leading to increased virulence at a later stage [67]. The NH878 strain, a member of lineage 2/Beijing, is consistently associated with a reduced inflammatory response and increased virulence [65,67,86–92]. Similarly, modern lineages 2 and 4 have been found to promote a reduced early inflammatory response compared to ancient lineages 1 and 6 [91]. These modern strains are far more widely distributed, and it has been postulated that their particular interaction with the human immune system may have resulted in their successful spread [93]. In fact, modern strains have been shown to replicate faster in vitro in both human monocyte-derived macrophages, and in aerosol-infected mice, perhaps indicating the survival advantage of a reduced early immune response [94]. However, studies comparing the anti-inflammatory phenotypes of different strains are conflicting. This may be due to differences in experimental conditions, or possibly because sub-lineages within the main lineages may vary significantly in this regard [67,95]. Another important virulence mechanism is the ability to cause active disease as opposed to latent infection or being cleared entirely by the immune system. A study in The Gambia has demonstrated that individuals infected with modern lineages 2 and 4 are more likely to progress to active disease compared to lineage 6 (though not at transmission level) [16,96]. However, a study in Ghana did not find the same association [97]. Additionally, various studies have shown that strains from lineages 2 and 4 cause more severe disease [16,98]. There may be variation within MTB lineages as well as between them. Mechanisms other than subversion of the host immune response may account for lineage-specific differences in virulence. Variable virulence may arise by altering bacterial uptake by host cells, differences in cytokine induction, and intracellular growth [67,94]. In 2007, the RD-Rio clade was first described as being the predominant MTB clade in Rio de Janeiro, Brazil and is the clade most frequently associated with recent transmission [44]. The presence of these strains in a high incidence area could indicate a selective advantage in terms of virulence and transmission, an idea supported by evidence of a disproportionate number of clustered cases, a higher secondary case rate, and more cases in children, suggesting the effective spread of disease [44,55,99,100]. Furthermore, RD-Rio may cause a more severe form of illness, as evidenced by its tendency to cause increased weight loss, haemoptysis, and a higher bacterial load in sputum samples [44]. It has also been suggested that it could be associated with a cavitary disease phenotype and with drug resistance [36,101]. However, other studies have not supported this, suggesting that RD-Rio strains do not cause distinctive or more severe disease than non-RD-Rio strains [102]. Genes 2019, 10, 53 8 of 17 In Argentina, a four-decade long outbreak of MDR-TB has been reported, caused by the M-strain. It has been estimated that it acquired resistance to isoniazid, rifampicin, and streptomycin by 1973, and additional resistance to six drugs in total by 1979. This strain demonstrated a remarkable ability to acquire drug-resistant mutations, despite a relatively slow mutation rate of 0.29 mutations per genome per year over the entire period of the outbreak. It was suggested that the ability of MTB to respond to the selective pressure of antibiotic therapy is the result of large within-host populations of bacteria. This allows the selection, and thus transmission, of resistant variants [31]. 2.8. Ability to Transmit Transmission of MTB largely depends on the ability of the pathogen to cause lung damage, and it therefore follows that genotypes predisposed to causing pulmonary or cavitary disease, as opposed to extra-pulmonary disease, will more efficiently transmit. Animal experiments in the marmoset model have demonstrated that lineage 6 more frequently spreads to lymph nodes, liver, and spleen compared to lineage 4 [98]. However, in humans, findings have been inconsistent, variably finding that lineage 2 is associated with extra-pulmonary TB [103–105], or that lineages 1 and 3 have this association when compared to lineage 2 [106], or that lineage 4 is associated with pulmonary TB as opposed to meningeal TB [107], or that there is no association at all between lineage and presentation [108–112]. There have been efforts to compare the transmissibility of MTB strains, through methods such as measuring changes in the proportion of certain genotypes in patient populations over time, comparing genotypic clustering in a particular setting, or studying genotypes associated with younger patient age (as TB in young people is more likely to represent ongoing transmission instead of reactivation) [113,114]. Through these methods, a view has developed that modern MTB lineages are more transmissible than others [67]. Lineage 2 has been reported to show higher genotypic clustering in Vietnam and Shanghai, and lineage 2/Beijing has been reported to be increasing in frequency over time in several different settings, although there have also been contradictory findings [115–128]. Furthermore, Wiens et al. found that strains thought to be more recently evolved (lineages 2, 3, and 4) were more widely distributed around the world [38]. This could be because older strains such as lineages 5 and 6, which are largely concentrated in West Africa, are better adapted to their local populations and do not spread as effectively beyond them [38]. In their 2014 review on the subject, Coscolla and Gagneux argued that there is evidence to support the view that on average, modern MTB lineages are more transmissible than others, although general patterns may be obscured by differences between sub-lineages [67]. In Peru, Grandjean et al. [25] demonstrated that Haarlem strains were associated with the occurrence of secondary cases of disease in a household context. This contrasts with evidence from Asia which suggests that Beijing strains are associated with an increased tendency to give rise to secondary cases of disease [129]. This could be explained by the predisposition of certain MTB sub-lineages to growth in specific host populations. 2.9. Phylogenetic Associations with Acquired Drug Resistance Following exposure of selected strains of lineages 2 and 4 to drug pressure and performing before and after whole-genome sequencing, Ford et al. measured lineage-specific mutation rates [130]. They found that the mutation rate of lineage 2 strains was greater than that of lineage 4. It was concluded that this may explain the high prevalence of drug resistance observed in Eastern Europe. However, the strains chosen for comparison were not necessarily representative of the true population diversity of these lineages. The prevalence of drug resistance in Eastern Europe is also dependent on the pre-existing population diversity in the region (the founder effect). Prior to the collapse of the TB programs across the region in the 1980s, the pre-existing strains were predominantly lineage 2. Therefore, the prevalence and likelihood of transmission of drug-resistant Beijing strains may well have been higher, confounding this hypothesis. In Peru and across Latin America, in contrast to Eastern Europe, the prevalence of drug resistance is disproportionately found among the Latin American Genes 2019, 10, 53 9 of 17 Mediterranean sub-lineage of Euro-American lineage 4 [25]. This too may be the result of the founder effect, or due to within-lineage differences in drug resistance acquisition. 3. Conclusions Latin America has a varied tuberculosis landscape with hotspots of TB incidence in large cities and prisons, and with half of all disease accounted for by Peru, Brazil, and Mexico. New strategies must be sought to combat the spread of the disease. Understanding how pathogen genetic factors influence the transmission and virulence of MTB may help limit disease spread by enabling treatments and transmission-blocking interventions to be tailored to the bacterial genome. Early identification of patients who harbour highly transmissible strains could improve isolation practices, and transmission-blocking interventions, including latent TB therapy, could be cost-effectively applied to appropriate sub-groups of patients. Identifying pathogens most likely to become drug-resistant (or vice versa) would help to inform individualised management regimens, in terms of the choice of treatment and its duration. Many studies examining the lineage-specific effects on clinical phenotypes have been substantially underpowered, have suffered from the potential misclassification of low-definition genotyping techniques, or have not used strains that represent the true population diversity of MTB. This has led to wide-ranging and varying conclusions about genotype–phenotype associations. Whole-genome sequencing is now inexpensive and rapidly implementable, making it possible to study phenotype–genotype correlations with much greater power and reproducibility. Combining population level epidemiology, clinical variables, host genetics, and bacterial genetics will ultimately be required to determine pathogen genetic determinants of transmission in the field. The advent of gene editing techniques such as CRISPR (clustered regularly interspaced short palindromic repeats) in bacteria will enable the rapid generation and comparison of isogenic (otherwise identical) strains of MTB. This could then be used to study the virulence of candidate mutations against isogenic strains in animal models. Consequently, these strains could then be studied in the field, for example, by observing whether they are transmitted more frequently in close contacts compared to other strains. Many countries in Latin America have implemented whole-genome sequencing as a diagnostic tool for drug resistance. The use of whole-genome sequencing to diagnose first and second line drug resistance has the potential to completely replace drug resistance testing by the laborious and time-consuming culture-based proportions method. Sequencing pipelines are now entirely automated enabling scarce human resources to be employed elsewhere in TB control. If used in real time, whole-genome sequencing also has the potential to rapidly detect new outbreaks with greater sensitivity and, in so doing, identify new sites of transmission. An estimated 81% of tuberculosis transmission occurs outside the home [131]. Rapidly identifying and then intervening at newly identified sites of community tuberculosis transmission would be a valuable method of diminishing global incidence in line with targets set by the END TB Strategy. Even greater impact on TB control will be achieved if the pathogen genomic determinants of tuberculosis transmission and disease can be elucidated. This will further individualise interventions and treatments to those most likely to transmit and cause widespread disease. Author Contributions: Conceptualisation, L.G., I.L.H. and M.W.; Methodology, L.G., I.L.H. and M.W.; Investigation, L.G., I.L.H. and M.W.; Resources, L.G., I.L.H. and M.W.; Data Curation, L.G., I.L.H. and M.W.; Writing—Original Draft Preparation, M.W. and I.L.H.; Writing—Review and Editing, M.W., I.L.H. and L.G.; Visualization, L.G. and M.W.; Supervision, L.G.; Project Administration, L.G.; Funding Acquisition, L.G. Funding: This research was funded by The Wellcome Trust (https://wellcome.ac.uk), Grant Number 201470/Z/16/Z. Acknowledgments: The authors wish to thank Lucy Caviedes for her dedication to science and friendship. Conflicts of Interest: The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript; and in the decision to publish the results. https://wellcome.ac.uk Genes 2019, 10, 53 10 of 17 References 1. World Health Organization. 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Albanna, A.S.; Reed, M.B.; Kotar, K.V.; Fallow, A.; McIntosh, F.A.; Behr, M.A.; Menzies, D. Reduced transmissibility of East African Indian strains of Mycobacterium tuberculosis. PLoS ONE 2011, 6, e25075. [CrossRef] [PubMed] 127. Marais, B.J.; Hesseling, A.C.; Schaaf, H.S.; Gie, R.P.; van Helden, P.D.; Warren, R.M. Mycobacterium tuberculosis transmission is not related to household genotype in a setting of high endemicity. J. Clin. Microbiol. 2009, 47, 1338–1343. [CrossRef] [PubMed] 128. Langlois-Klassen, D.; Senthilselvan, A.; Chui, L.; Kunimoto, D.; Saunders, L.D.; Menzies, D.; Long, R. Transmission of Mycobacterium tuberculosis Beijing Strains, Alberta, Canada, 1991–2007. Emerg. Infect. Dis. 2013, 19, 701–711. [CrossRef] [PubMed] 129. Thwaites, G.; Caws, M.; Chau, T.T.H.; D’Sa, A.; Lan, N.T.N.; Huyen, M.N.T.; Gagneux, S.; Anh, P.T.H.; Tho, D.Q.; Torok, E.; et al. 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This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (http://creativecommons.org/licenses/by/4.0/). http://dx.doi.org/10.1086/592575 http://dx.doi.org/10.1016/j.tube.2008.09.003 http://www.ncbi.nlm.nih.gov/pubmed/19054717 http://dx.doi.org/10.5588/ijtld.13.0145 http://www.ncbi.nlm.nih.gov/pubmed/24025385 http://dx.doi.org/10.3201/eid0912.030276 http://www.ncbi.nlm.nih.gov/pubmed/14720395 http://dx.doi.org/10.1371/journal.pone.0025075 http://www.ncbi.nlm.nih.gov/pubmed/21949856 http://dx.doi.org/10.1128/JCM.02490-08 http://www.ncbi.nlm.nih.gov/pubmed/19261801 http://dx.doi.org/10.3201/eid1905.121578 http://www.ncbi.nlm.nih.gov/pubmed/23648234 http://dx.doi.org/10.1128/JCM.02180-07 http://www.ncbi.nlm.nih.gov/pubmed/18287322 http://dx.doi.org/10.1038/ng.2656 http://www.ncbi.nlm.nih.gov/pubmed/23749189 http://dx.doi.org/10.1016/S0140-6736(03)15332-9 http://creativecommons.org/ http://creativecommons.org/licenses/by/4.0/. Introduction Discussion The Epidemiology of Tuberculosis in Latin America The Genomic Sequencing of Mycobacterium tuberculosis The Arrival of Tuberculosis in Latin America The Phylogenetics of Latin American Tuberculosis Genetics of Mycobacterium tuberculosis Disease Genetic Determinants of Disease Phenotype Ability to Cause Active and Cavitating Disease Ability to Transmit Phylogenetic Associations with Acquired Drug Resistance Conclusions References 
work_gltz2fp7ezf2rdagut5gnfq6zu	----	CONCILIUM OPHTHALMOLOGICUM ULTIMUS ROMANORUM THE passing of Professor Priestley Smith in his 88th year is truly the breaking of a link with the past. For more than 50 years his voice has been a dominant factor in all that concerns British Ophthalmology; and we, of the Brit. Jl. of Ofhthal., in particular owe him a deep debt of gratitude. Mr. Priestley Smith began life as an engineer, and it was a happy day for medicine when he decided to take up eye work. After having been house surgeon to the Birmingham Eye Hospital for two years, he became, in 1874, a clinical assistant to Sir William Bowman at Moorfields, and then returned to Birmingham. His work. on glaucoma in the late seventies of last century has stood the test of time and is recognised the wvorld over as one of the few positive facts in a realm of speculation as to the causation of this disease. An original member of the Ophthalmological Society of the United Kingdom, he was at the time of his death the senior past- president. Innumerable honours have been awarded to him, cul- minating last year in the Gullstrand Gold Medal of the Swedish Medical Society; buit what he probably valued most of all was the affectionate regard in which he was held, not only in Birmingham but throughout the British Empire, wherever ophthalmology is taught. And now that his race has heen run, we may, in this tribute, echo the words of Marc Antony of Brutus. "This was the noblest Roman of them all." XIV CONCILIUM OPHTHALMOLOGICUM THE Fourteenth International Congress of Ophthalmology opened in Madrid on Sunday, April 16. A meeting of the International Council had taken place the evening before, and at 10 a.m. in the amphitheatre of the University the Inaugural Session opened under the patronage of His Excellency Don Niceto Alcala6 Zamora, President of the Spanish Republic, in the presence of the Ministers of Public Instruction and of Mlarine, the Director of Hygiene, the Rector of the University, the Dean of the Faculty of Medicine and over six hundred members of the Congress. Professor Van der Hoeve, as President of the International Council, opened the proceedings with his usual enviable polyglot eloquence. He spoke in turn in French, English, German, Italian and Spanish with that grace and charm of manner which thqse of 361 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://b jo .b m j.co m / B r J O p h th a lm o l: first p u b lish e d a s 1 0 .1 1 3 6 /b jo .1 7 .6 .3 6 1 -a o n 1 Ju n e 1 9 3 3 . D o w n lo a d e d fro m http://bjo.bmj.com/ THE BRITISH JOURNAL OF OPHTHALMOLOGY us who were present at Amsterdam remember so well. He greeted the Spanish authorities in the name of the Congress, but before proceeding to the business of the meeting he spoke with emotion of the losses sustained by ophthalmology since the last Congress in the deaths of Professor Lundsgaard, Professor Fuchs, Professor Roselli, Professor Axenfeld and Mr. Treacher Collins. The Congress rose and stood in silence to their memory. " But," continued Professor Van der Hoeve, "life goes on and we must look ahead. The thanks of the Congress are due to the Authorities of the Spanish Republic for their invitation and they are to be congratulated as much on the great future which is before their magnificent country as on its glorious and historic past." The President of the Congress, Professor Mairquez, then rose. He thanked President Zamora for his patronage of the Congress and then proceeded to welcome the various nations taking part. " I will begin," he said, " with two nations, reckoned small by the extent of their territory but great in the position they occupy in the history of ophthalmology-Holland and Belgium. In Belgium was founded in 1838 the first journal of our specialty, Annales d'Oculistique, while the First International Congress was held there in 1857. Holland needs no further plea for fame than that it is the country of Donders and Snelleii." He then passed on to speak of the great ophthalmologists of the other countries represented, and ended with a hope for the fruition, practical and theoretical, of the work of the present Congress. An interesting and inspiring moment followed when the message of the great Spanish doyen of Science, Ramon y Cajal was read to the Congress. He wrote " May I be permitted, from this retreat of my declining years, to send my cordial and enthusiastic greetings to those illustrious foreign scientists who have come to honour the humble science of Spain by bringing forward the fruit of their ophthalmological experience and theoretical investigations. I regret that my infirmities prevent me to-day from participating with my learned colleagues in the fertile work of the Congress. I hope that perhaps, if I am well enough, I may be able to send, if not for one of the meetings, at any rate for publication in the Proceedings a short histologico-physiological analysis of those points still doubtful in the structure of the retina. Sirs, I cannot end my greeting without a cordial hand shake to all of you, and in particular to the foreign members. May they take back with them at the conclusion of the Congress an impression of well-wishing and respect for the Renaissance of Spanish Science." This message from the greatest authority on the structure of the retina was received with acclaniation and will remain the more firmly in our memories siiice we have as mementos the beautiful plaques of the head of the savant presented to us by Professor Marquez. 362 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://b jo .b m j.co m / B r J O p h th a lm o l: first p u b lish e d a s 1 0 .1 1 3 6 /b jo .1 7 .6 .3 6 1 -a o n 1 Ju n e 1 9 3 3 . D o w n lo a d e d fro m http://bjo.bmj.com/ CONCILIUM OPHTHALMOLOGICUM The President of the Spanish Republic then rose and in a most eloquent and impressive speech welcomed the members of the Congress to Spain. He spoke of the happy coincidence of the Congress with the celebration of the Second Anniversary of the Spanish Republic. The work of the Congress for the benefit of humanity was a fitting accompaniment to the efforts of a country attempting to fulfil its destiny in the history of modern civilisation. " Some of you," he said, " have come here attracted by a legend, since for the men of the North, Spain is ever the land of sunshine. Others may have been discouraged by another legend the falsehood of which we want you to judge. Nations are like blind men. You have come to visit a nation which has had its period of blindness, but now the scales have fallen from our eyes and to-day we feel only the lively consciousness of the solidarity of the human race. In the name of a people striving only for the common good of humanity I salute you." The Foreign Representatives then spoke briefly in turn, thanking the Spanish National Committee for its invitation and expressing their pleasure in it. The representatives of the various countries were as follows:- France ... ... Professor Terrien. Great Britain ... Sir John Parsons. United States ... Dr. Walter Parker. Italy ... ... Professor G. Ovio. Germany ... ... Professor Emil Kruickmann. Belgium ... ... Professor van Duyse. Spanish America ... Professor Demaria. Scandinavia ... ... Professor Nordenisen. Japan ... ... Professor Oguchi. Portugal ... ... Professor Sousa. Poland ... ... Professor Szymanski. Other countries ... Professor Emil de Grosz. Don Fernando de los Rios, Minister of Public Instruction, then opened the Congress in the following words " Welcome to Spain! In the name of the Spanish Government I declare this Congress open. My most ardent desire is that success will attend and reward your labours." The members then returned to the Palace Hotel where the Scientific and Industrial Museums were opened. The afternoon was occupied by a series of demonstrations in the Lecture Theatre of the Congress in the Hotel. Many of these were of great interest and although it is not possible to describe them all, certain of them must be mentioned as of outstanding merit both ophthalmologically and technically. In the first place the three films of the afternoon were of great interest. Dr. Lopez 363 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://b jo .b m j.co m / B r J O p h th a lm o l: first p u b lish e d a s 1 0 .1 1 3 6 /b jo .1 7 .6 .3 6 1 -a o n 1 Ju n e 1 9 3 3 . D o w n lo a d e d fro m http://bjo.bmj.com/ THE BRITISH JOURNAL OF OPHTHALMOLOGY Lacarrere (Madrid) showed his new method of cataract extraction by electro-coagulation of the lens (Electro-diaphakia). Part of the film was an explanation of the stages of the operation by animated drawings and was a revelation of the possibilities of instruction and demonstration by this method. The operation itself was then seen, together with many experiments on the rigidity and adhesiveness of the lens after electric coagulation. A second film shown by Dr. Castroviego (New York) dealt with experimental transplantation of the cornea in rabbits. Points of interest in the technique were that scarring of the cornea is first produced with CaO, that the graft is cut with a double-bladed knife, finished with scissors and is quadrilateral, and finally that no sutures are inserted in the cornea, the graft being kept in place by a large conjunctival flap. The results appeared to be good. The third film (Dr. Lijo Pavia, Buenos Ayres) was indeed a triumph of technical patience and skill. It was a direct cinemato- graph picture of the pulsations of the retinal vessels seen during the use of Bailliart's tonometer and the ingenuity and inventiveness required to produce it must have been remarkable. Pulse records and blood pressure estimations on the same patients, were also seen and the uses of the method in the diagnosis of raised intra- cranial tension explained. Other items during the afternoon included a series of colour photographs of the fundus (Sabbadini-Rome) with detachments, before and after operation, and an even more interesting series showing a green colouration of certain fundus lesions which becomes accentuated by means of colour photography (Lijo Pavia). In the evening a Gala Ball took place in the Palace Hotel, accompanied by an exhibition of Spanish dancing by Sefiorita Morales, and affording opportunity for the friendly and social inter- course which is so valuable an aspect of an International Congress. The second day (April 17) was dedicated to the reading of communications of scientific importance and to the Meeting of the International Association for the Prevention of Blindness. A Congress which includes in its programme nearly 200 original papers cannot obviously be reported in full, but at the risk of seeming invidious one must attempt to mention at least a few of the outstanding items of interest. Of Monday's papers probably the most interesting were Dr. Troncoso's (New York) paper on gonio- scopy and Dr. Comberg's (Berlin) demonstration of the validity of Helmholtz's theory of accommodation. Dr. Arjoria (Madrid) des- cribed a new operation for chronic dacryocystitis. Drs. Cohen, New and Killian discussed experiments on the vitreous gel. On the morning of April 18, the first of the two main subjects for discussion (Tuberculosis of the Iris and Corpus ciliare) was opened by Dr. E. V. L. Brown (Chicago) who read a paper on modern 368 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://b jo .b m j.co m / B r J O p h th a lm o l: first p u b lish e d a s 1 0 .1 1 3 6 /b jo .1 7 .6 .3 6 1 -a o n 1 Ju n e 1 9 3 3 . D o w n lo a d e d fro m http://bjo.bmj.com/ CONCILIUM OPHTHALMOLOGICUM methods of treatment, urging the importance of the fact, still too frequently overlooked, that the general treatment of the patient is of equal importance with the purely ophthalmological. The second opener was Professor Igersheimer (Frankfort) who gave a brilliant exposition of the pathological anatomy of the disease. His classification of the various types, and the illustration of these by means of microscopic preparations of great beauty was a most interesting item. He was followed by Dr. H. Lagrange (Paris) who spoke most ably on " Diagnosis and Differential Diagnosis." A lively discussion followed, in which many members took part. The afternoon was devoted to original papers bearing on the subject of tuberculosis and later to papers on other subjects. At 7 p.m. was held a reception at the National Palace. Here the members from the various countries were presented in turn to President Zamora, and then passed into a large and imposing hall where light refreshments were offered. For the first few days some slight surprise was felt by the more Northern members with regard to the hours kept in Madrid, as was perhaps only natural in a land where afternoon tea is served at 7 p.m., and dinner at 10 p.m. After dinner, a Gala Concert of the Orquestra Sinfonica of Madrid was held in the Teatro Espafiol; this included selections from Beethoven, Dubussy, Wagner, and also a representative selection from purely Spanish composers, including Granodas, Alb6niz- Arbos and Gimenez. The following day -(April 19) opened with a short session for discussion of the possibility of the internationalisation of visual standards. Various propositions were put forward with regard to the regulations governing the visual acuity required in aviation, in railway employees, sailors and drivers of motor vehicles. This was followed by an administrative session, after which an excursion was organised to the Escorial for lunch. This remarkable pile, part monastery, part mausoleum, is one of the most famous buildings of Spain. It stands on the South Eastern slopes of the foothills of the Sierra di Guadarama, about 25 miles from Mladrid, and the visit to it proved of extraordinary interest from many points of view. The evening was graced bv a reception at the Town Hall of Madrid. The fifth day of the Congress was dedicated to the second great subject for discussion, namely, " Detachment of the Retina." Professor Arruga (Barcelona) opened with an admirable paper on aetiology, which was followed by two opening papers on treatment, medical and operative, by Professor Ovio and Professor Vogt respectively. A lively discussion followed, in which at least two dozen members took part. Further original papers on detachment were read, and the meeting adjourned for the day. The afternoon, unfortunately, showery and rather cold, was given up to a bull fight, attended by a large number of foreign members anxious to see this 365 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://b jo .b m j.co m / B r J O p h th a lm o l: first p u b lish e d a s 1 0 .1 1 3 6 /b jo .1 7 .6 .3 6 1 -a o n 1 Ju n e 1 9 3 3 . D o w n lo a d e d fro m http://bjo.bmj.com/ THE BRITISH JOURNAL OF OPHTHALMOLOGY historic national sport of Spain. The members of the Spanish National Committee did a great deal to add to the interest of the spectacle by explaining the various evolutions of the toreros and the meaning of the ritual. It was interesting to hear that the second bull was dedicated to a member of the Congress, Dr. Lijo Pavia. At 10 p.m. the official Banquet was held in the Palace Hotel. The Minister for Public Instruction presided and the whole pro- ceedings afforded a fresh manifestation, if any were needed, of the international spirit of science. Professor van de Hoeve opened the speeches. He spoke in the name of Holland and said that although the Congress was not yet ended it was obvious that it was extremely successful. All those who had had the organisation of such things knew the tremendous amount of work entailed. He added his thanks also to the Spanish authorities and said that all those returning to their own lands would thereafter give the lie to the saying of Pio Baroja that " Madrid es una ciudad de buenas entradas y de mejores salidas." The President had said that there were certain legends concerning Spain. One that would certainly be dissipated was that Spanish invitations were purely formal. In this case, however, the reality had surpassed all the promises. Dr. Bailliart next spoke in the name of the ophthalmologists of France. He thanked Professor and Madame Marquez and praised the rich feast of work and of lighter amusements offered us so freely by our Spanish colleagues. He recalled the intimate relations of France and Spain, both racial and historic, and ended "Apres avoir mele le sang de nos rois, melons aujourd 'hui le clair rayon de nos libert6s. Je leve mon verre pour l'Espagne d'hier et demain, chevaleresque jusque dans ses revolutions," a piece of eloquence loudly applauded. Mr. Paton here rose in the name of Great Britain and speaking in Spanish expressed the great pleasure he felt in being able thus to thank his colleagues who had elected him member of the Soci6te Hispano - Americaine d'ophthalmologie. Every Englishman, he said, had his castle in Spain, and to-day one of his own dreams was realised. He had visited the land of El Greco and Velasquez, had seen the beautiful city of Madrid famous throughout the world for its incomparable treasures of art and had even at Altamira, been able to admire the work of that palaeolithic artist who can be looked on as the forerunner of so many centuries of creative power in Spain. Professor Bardelli next rose in the name of Italy to thank the National Council. He recalled the last Congress at Amsterdam and spoke of the many instances of the progress of our science since then. Professor Krtickmann wishing to avoid omissionis preferred to speak in general terms. He had noticed that no country reached grandeur without discipline and the same applied to science and to 366 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://b jo .b m j.co m / B r J O p h th a lm o l: first p u b lish e d a s 1 0 .1 1 3 6 /b jo .1 7 .6 .3 6 1 -a o n 1 Ju n e 1 9 3 3 . D o w n lo a d e d fro m http://bjo.bmj.com/ CONCILIUM OPHTHALMOLOGICUM scientific societies. Our success was a guarantee of mutual under- standing and general peace. The meetings of the present week went to show the changed spirit. Fatalism had disappeared, each new problem was only a motive for renewed effort in the pursuit of new solutions. Dr. van Duyse brought the thanks of Belgian ophthalmologists for their cordial reception. He described the extreme modesty of Professor M'arquez and Dr. Poyales and spoke of the gesture of hospitality of the latter in travelling to Irun to welcome the foreign members at their entry into Spain. Professor Szymanski then spoke for Poland and Dr. Manes for the Argentine. The latter spoke with enthusiasm of those who had set an example of travelling long distances to the Congress. Professor Nordensen spoke of the friendship- of Gustav Retzius and Ramon y Cajal and of the awarding of the Nobel Prize by the Facuilty of Medicine of Stockholm to the latter. Professor Sobhy Bey brought the greetings of the Egyptian University and spoke of the long medical tradition of Egypt. The discovery of the use of copper sulphate and the original experinments on the circulation of the blood had both been made in Egypt. Dr. Parker spoke for the United States. He said that the Arnericans-have an old debt of gratitude towards Spain-for did not Spain send Christopher Columbus to discover their continent ? Dr. Fialho then spoke for Brazil and Dr. Arruga for Spain, and after Professor de Grosz had proposed the health of the ladies present, Professor Marquez rose. He, with characteristic modesty, gave the credit of the success of the Congress to his secretaries, Drs. Poyales and Lacarrere. He spoke of the need for unity in scientific matters at this time of world crisis and saluted the guests as colleagues in a good cause which knew no boundaries of nationality. The Minister of Public Instruction, Don Fernando de los Rios, then terminated the proceedings by an eloquent speech in French. He said that not only were such gatherings of the utmost importance as affording opportunities for discussion of scientific problems but also from the point of view of promoting intercourse between nations and as affording chances for the discussion of many problems other than scientific. He drank to the progress of science and to the unity of humanity. The following day (April 21) was devoted to further papers on Detachment of the Retina, among which may be mentioned Mr. Shapland's interesting analysis of the Moorfields' results. The discussion of the International League of the Fight Against Trachoma also took place on this day. Many of the member's were also present at a most enjoyable cocktail party given by Drs. Poyales and Criado at the hospital of San Jose and Santa Adela. 367 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://b jo .b m j.co m / B r J O p h th a lm o l: first p u b lish e d a s 1 0 .1 1 3 6 /b jo .1 7 .6 .3 6 1 -a o n 1 Ju n e 1 9 3 3 . D o w n lo a d e d fro m http://bjo.bmj.com/ THE BRITISH JOURNAL OF OPHTHALMOLOGY The Congress was finally brought to a close on Saturday, when it adjourned to Toledo for lunch. This reunion will stand out for many of us as one of the most enjoyable times of the whole week. The setting of the farewell lunch in the beautiful and historic city of Toledo was in itself a happy idea, but it was sheer inspiration to have set the tables in the cloisters of the old Monastery of San Juah de los Reyes, and to have given us the Spanish costumes of our dreams on those who waited on us. The whole d6cor was indeed the most picturesque and charming imaginable, and the Congress broke up with a feeling not only of intense pleasure and satisfaction, but also of sincere gratitude to our Spanish colleagues for the immense amount of work they had done to make the Congress so great a success. IDA C. MANN. ABSTRACTS I.-GENERAL MEDICINE (i) Ramsay, A. Maitland (St Andrew's).-An analogy between eyestrain and cardiac pain. Lancet, November 14, 1931. (1) Ramsay's article, dealing with heart muscle and ciliary muscle, occupies some ten columns of the Lancet, and, although the author has, we think, written on the same subject before, he always presents it in an interesting light and often in a novel manner. Miany of the facts are already familiar to ophthalmologists on the one hand and physicians on the other. Prognosis, however, is more a matter of wisdom than of knowledge of facts and it is to the subject of prognosis as discussed by Ramsay that the reviewer would draw attention. Dealing with the evil results of a morbid psychology on the symptoms of eyestrain the author says :-"The patient is so obsessed by her visual discomforts that she wears dark glasses constantly, and makes no effort to use her eyes, notwithstanding the fact that they are structurally sound and that any error of refraction has been corrected. No matter how often it has been contradicted, she constantly reminds herself of the unfavourable prognosis she got from a doctor many years previously, and no one can persuade her to modify the restrictions imposed upon the use of her sight at that time." The following wise dictum of the late Sir James Mackenzie, here quoted, is well worth bearing in mind:-"The injudicious prognosis of a doctor may have calamitous results, .... he should not only consider his words, but also his method of expression" and "should weigh carefully the effect of his prognosis upon his patient." (These 368 o n A p ril 5 , 2 0 2 1 b y g u e st. 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work_gmabdkdhcnefndsxzihxtjonpq	----	Clark, Peter, ed. The Cambridge Urban History of Britain, vol. II: 1540–1840. Cambridge: Cambridge University Press, 2000, Pp. xxvii, 906. Illustrations, maps, tables, bibliography, index. US$140 (cloth) All Rights Reserved © Urban History Review / Revue d'histoire urbaine, 2003 Ce document est protégé par la loi sur le droit d’auteur. L’utilisation des services d’Érudit (y compris la reproduction) est assujettie à sa politique d’utilisation que vous pouvez consulter en ligne. https://apropos.erudit.org/fr/usagers/politique-dutilisation/ Cet article est diffusé et préservé par Érudit. Érudit est un consortium interuniversitaire sans but lucratif composé de l’Université de Montréal, l’Université Laval et l’Université du Québec à Montréal. Il a pour mission la promotion et la valorisation de la recherche. https://www.erudit.org/fr/ Document généré le 5 avr. 2021 21:09 Urban History Review Revue d'histoire urbaine Clark, Peter, ed. The Cambridge Urban History of Britain, vol. II: 1540–1840. Cambridge: Cambridge University Press, 2000, Pp. xxvii, 906. Illustrations, maps, tables, bibliography, index. US$140 (cloth) David Dean Volume 31, numéro 2, spring 2003 URI : https://id.erudit.org/iderudit/1015771ar DOI : https://doi.org/10.7202/1015771ar Aller au sommaire du numéro Éditeur(s) Urban History Review / Revue d'histoire urbaine ISSN 0703-0428 (imprimé) 1918-5138 (numérique) Découvrir la revue Citer ce compte rendu Dean, D. (2003). Compte rendu de [Clark, Peter, ed. The Cambridge Urban History of Britain, vol. II: 1540–1840. Cambridge: Cambridge University Press, 2000, Pp. xxvii, 906. Illustrations, maps, tables, bibliography, index. US$140 (cloth)]. Urban History Review / Revue d'histoire urbaine, 31(2), 49–50. https://doi.org/10.7202/1015771ar https://apropos.erudit.org/fr/usagers/politique-dutilisation/ https://www.erudit.org/fr/ https://www.erudit.org/fr/ https://www.erudit.org/fr/revues/uhr/ https://id.erudit.org/iderudit/1015771ar https://doi.org/10.7202/1015771ar https://www.erudit.org/fr/revues/uhr/2003-v31-n2-uhr0588/ https://www.erudit.org/fr/revues/uhr/ Book Reviews la médecine, ils n'arrivent cependant pas à montrer ses effets dans les transformations structurelles du Bureau de santé. Par ailleurs, cette périodisation, qui met l'accent sur les individus, les amène à de curieux flash back. Ainsi, le débat sur la pasteuri- sation du lait dans les années 1920 est traité dans le chapitre 5 portant sur Adélard Groulx et les années 1937-1964, car ce cha- pitre évoque la carrière du docteur Hood, chef de la division des aliments de 1912 aux années 1940. Certaines imprécisions ou omissions se sont glissées. Elles n'entachent nullement l'ou- vrage dans son ensemble. Il aurait fallu, par exemple, spécifier que le maire Hingston, élu en 1875, était un médecin. Les au- teurs le savent puisque, quelques pages plus loin, une note en bas de page laisse échapper l'information. Dans la section sur l'œuvre des gouttes de lait, il aurait été utile de donner un aper- çu de sa mission. La création du Conseil provincial d'hygiène se fait en 1888 à la page 212 et en 1887 à la page 226. Les épi- démies de poliomyélite, remarquent les auteurs, respectent un cycle épidémique de quinze ans. Il y a tout d'abord celle de 1931 et «une nouvelle épidémie va survenir en 1959, quinze ans après celle de 1946». Une erreur de calcul s'est manifestement glissée ou l'épidémie a eu lieu en 1961 ! Finalement, on regrette que l'IQRC, éditeur d'ouvrage savant, n'ait pas inclus un index à la fin de l'ouvrage, outil indispensable pour tous les chercheurs. L'ouvrage de Gaumer, Desrosiers et Keel n'est pas sans faute. Il constitue néanmoins une contribution importante à l'histoire des institutions liées aux questions de santé publique. Robert Gagnon Département d'histoire Université de Québec à Montréal Clark, Peter, éd. The Cambridge Urban History of Britain, vol. II: 1540-1840. Cambridge: Cambridge University Press, 2000, Pp. xxvii, 906. Illustrations, maps, tables, bibliography, index. US$140 (cloth) Peter Clark's collection of essays is a work conceived on a mo- numental scale. It offers twenty-seven contributions divided into three parts. The first, consisting of seven essays, surveys five re- gions of England (East Anglia, the South-East, the South-West, the Midlands, and the North) and the urban history of Wales and Scotland, over the three hundred years between the Reforma- tion and the restructuring of urban life in the 1830s. The second offers nine essays that explore "themes and types" between 1540 and 1700, the third presents another eleven thematic es- says for the period 1700 to 1840. With a judicious selection of pictures, twenty-five maps, and an array of graphs, charts and tables, this book is clearly intended to be comprehensive and authoritative, and for the most part it succeeds. As Peter Clark outlines in his introduction, British society beca- me highly urbanised between 1540 and 1840. In England, around 5% of the population lived in urban communities at the time when the dissolution of the monasteries transformed the so- cial and spatial fabric of towns across the island, and a smaller percentage in Wales and Scotland. By 1841 around 51% of the British population lived in towns and cities. This urban revolution was uneven, erratic and perhaps never inevitable, but it certainly allows for the claim that in Britain the world witnessed the emer- gence of the first modern urban nation. London, of course, became a metropolis, its population rising from some 75,000 inhabitants in 1550 to 400,000 by 1650, reaching over a million by 1811. What characterised the larger English urban scene was stability, at least until the eighteenth century. League tables of the major towns show that while there was some jockeying for positions at the middle of the table, Nor- wich, Bristol, York, Newcastle, and Exeter were the leading towns in 1700 as they had been in 1524-25. There were some dramatic falls due to economic change: Lincoln and Winchester fell into the lower divisions because of the shift away from new draperies, Southampton because it lost its foreign trade. Conver- sely, Birmingham and Manchester rose through industrial deve- lopment, Liverpool and Plymouth did so because of new patterns in overseas trade. The shift to the Atlantic ports and the new industrialised towns intensified in the long eighteenth centu- ry. Economic fluctuations and temporary setbacks (such as pla- gue) ensured that decline was gradual, improvement and growth uncertain. Regional variations, as the first set of essays demonstrates clear- ly, were considerable and argue against over-generalisation. Certainly there was a general shift in economic power and de- mographic base from the south and east to the industrialising re- gions of the north and west, but East Anglia retained its urban identity, the towns of the South-East remained prosperous, and if South-Western towns lost ground in terms of their national im- portance, their local and regional importance intensified. Wales, by contrast, experienced a dramatic restructuring from the late eighteenth century, with the expansion of ports and industrial centres such as Swansea, Merthyr Tydfil and Newport. Sco- tland, less urbanised than England but which, like England, boasted a capital that could hold its own among European ci- ties, also experienced significant urban growth from the middle of the eighteenth century, notably due to the reorientation of trade, commerce, and industry to the west where Glasgow grew from 31,700 inhabitants to 147,000 between c.1750 and 1821. There are problems, inevitably, with the regions adopted here, and most authors are sensitive to the complexities involved. Es- sex, for example, is detached from East Anglia, a development that would have surprised most of its inhabitants between the sixteenth and eighteenth centuries even had they considered the intensification of the county's commercial links to London. The towns of Cheshire and Lancashire lie somewhat uncomforta- bly with "the north", their links with Wales underplayed though certainly acknowledged. Alongside and along with regional boundaries, on occasion one wishes that differences within re- gions might have received stronger treatment. Turning to parts two and three, one is immediately struck by the range of themes and topics covered. During the past thirty years there has been an enormous amount of research into the urban life of early modern Britain. As a synthesis, this book is a consid- erable achievement. Clark has gathered together an impressive group of scholars, many of them leading authorities on the sub- 49 Urban History Review /Revue d'histoire urbaine Vol. XXXI, No. 2 (Spring 2003 printemps) Book Reviews jects they are writing about, and all in their own ways offer consi- dered and thoughtfully crafted essays which will become a first point of reference for students and scholars alike. Some, such as those on London and on culture, offer succinct and carefully balanced introductions to topics much discussed and some- what controversially so (as, for example, the debate over stabili- ty in London). Others introduce subjects newly studied or recently invigorated by new work, such as politics and govern- ment, population, industrialisation, the formation of regional and county centres, disease, and belonging. A further pleasure comes in reading parallel essays across the 1700 divide. Thus one learns a good deal about ports between 1540 and 1800, or small towns, or the role of towns in the predo- minantly agrarian economy before 1700 and in the rapidly chan- ging economy thereafter, or the changing nature of urban space. However, as with the regional divisions, there are problems with choosing 1700 as a decisive dividing date. To take one ob- vious example, the division of the two chapters on culture implies that religion was the essential feature of urban culture before 1700, but not thereafter, which sits awkwardly with several recent studies of religion and urban society in the nineteenth century. The decision to avoid separate chapters on women, children, and the poor, in preference to integrate their experience, was an understandable one, but several essays could have gone further in insisting upon the importance of gendered experience. To- pics such as childhood, youth, and aging get short shrift here, which is unfortunate given our rapidly expanding knowledge of children, youth, and the old in urban societies. Overall, aside from the chapter considering urban identities - 'belonging and estrangement' - the impression given is that this is a worthy, but somewhat traditional, selection of topics and themes. There isn't as much as one might have hoped on such topics as food, con- sumption, health and medicine, theatre, and the professions. Readers would have also benefited from a much stronger at- tempt to integrate the picture section with the text. These reservations aside, this is most certainly a very rich collec- tion, and readers will want to return to its essays several times. One of its great successes is that Wales and Scotland are not abandoned after the two early chapters devoted to those coun- tries; many authors worked especially hard to ensure their contri- butions were truly British. Overall, then, this volume of The Cambridge Urban History of Britain goes a long way to providing an authoritative introduction to the state of the field. Clark's vo- lume of essays is timely in another sense, for as the British ur- ban landscape and structure changes with developments such as the construction of suburban shopping malls and mayoral e- lections, never was there a more pressing need to understand the nature of the dramatic changes that took place in Britain's ur- ban communities between the Reformation and the railway age. David Dean Carleton University Musset, Alain. Villes Nomades du Nouveau Monde. Paris: Editions de l'Ecole des Hautes Etudes en Sciences Sociales, 2002. Pp. 398. Tables, maps, illustrations, bibliography, glossary, geographic index, thematic index. (Civilisations et sociétés 109). ISBN 0069-4290. Commentary on and analysis of the city as a tool of Spanish conquest and colonization in the Americas have existed since settlers on Hispaniola overthrew Christopher Columbus in part for failing to understand that, for Spaniards, to "discover and set- tle" meant founding a proper town and establishing a local go- vernment. Yet substantial scholarship on colonial urbanization has traditionally concentrated on broad theory or local practice, shying away from systematic analysis of geographically sepa- rate but culturally or politically related phenomena. French geo- grapher and historian Alain Musset breaks this trend in a study of the practice of relocation of colonial Spanish cities and towns, finding colonial administration and society open to, and actively supportive of, "nomadic" urban practices. As is often the case with paradigm-breaking historical research, coincidence piqued Musset's initial interest in the topic. Present in Mexico City during discussions of relocation after a devasta- ting 1985 earthquake, he learned that similar proposals had been made in the sixteenth and seventeenth centuries. While that metropolis never moved, seven years in European and Ame- rican archives, combined with gumshoe work on location in rui- ned cities of Mexico, the Caribbean, Central and South America showed Musset 161 instances of successful traslados, or reloca- tions, of colonial capitals and strategic cities over a period of three hundred years. From these disparate cases, he developed a theory of causes and consequences of "nomad cities" in colo- nial Spanish America. The lengthy study is divided into four sections (3 chapters apie- ce), each accompanied by useful black and white maps, tables, drawings, and photographs that illustrate an often-spatial argu- ment. The first, and more compelling, sections - "Towns of pa- per" and "Times of Error and Wandering" - address the theory and practice of Spanish settlement that created conditions favo- ring municipal relocation as a tool of empire. Musset's principal task is to explain close to 300 relocations experienced by 161 Spanish towns he believes comprise about 15% of those foun- ded during the colonial period (p. 120). To do so, he demonstra- tes how ideas from Roman to Renaissance influenced the choice of the city, an idealized community, as Spanish Ameri- ca's principal political institution and shaped settlers' expecta- tions as well as royal ordinances for city layouts and location that addressed issues of health, geography, and order. Musset then shows that when, despite careful planning, the ideals failed to produce viable results, the same demands for health, physi- cal security, and order justified relocation. Limits of early mo- dern scientific knowledge about climate, earthquakes, volcanic eruptions, and hurricanes (80 moves) and failure to plan ade- quately for Indian and pirate attacks (112 moves) accounted for the majority of relocations. Regional maps refine this information to demonstrate how natural disasters and health concerns oc- curred in all areas of the Americas, whereas human challenges 50 Urban History Review /Revue d'histoire urbaine Vol. XXXI, No. 2 (Spring 2003 printemps) 
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work_grj4eumocvcjnm2nasu5uc3ydy	----	Chemoprevention of Lung Cancer: Prospects and Disappointments in Human Clinical Trials Cancers 2013, 5, 131-148; doi:10.3390/cancers5010131 cancers ISSN 2072-6694 www.mdpi.com/journal/cancers Review Chemoprevention of Lung Cancer: Prospects and Disappointments in Human Clinical Trials Alissa K. Greenberg *, Jun-Chieh Tsay, Kam-Meng Tchou-Wong, Anna Jorgensen and William N. Rom Division of Pulmonary, Critical Care, and Sleep Medicine, Departments of Medicine and Environmental Medicine, New York University School of Medicine, New York, NY 10016, USA * Author to whom correspondence should be addressed; E-Mail: alissa.greenberg@nyumc.org; Tel.: +1-212-263-6479; Fax: +1-212-263-8442. Received: 6 December 2012; in revised form: 15 January 2013 / Accepted: 17 January 2013 / Published: 24 January 2013 Abstract: Decreasing the risk of lung cancer, or preventing its development in high-risk individuals, would have a huge impact on public health. The most effective means to decrease lung cancer incidence is to eliminate exposure to carcinogens. However, with recent advances in the understanding of pulmonary carcinogenesis and the identification of intermediate biomarkers, the prospects for the field of chemoprevention research have improved dramatically. Here we review the most recent research in lung cancer chemoprevention—focusing on those agents that have been investigated in human clinical trials. These agents fall into three major categories. First, oxidative stress plays an important role in pulmonary carcinogenesis; and therefore, antioxidants (including vitamins, selenium, green tea extracts, and isothiocyanates) may be particularly effective in preventing the development of lung cancer. Second, inflammation is increasingly accepted as a crucial factor in carcinogenesis, and many investigators have focused on anti-inflammatory agents, such as glucocorticoids, NSAIDs, statins, and PPARγ agonists. Finally, the PI3K/AKT/mTOR pathway is recognized to play a central role in tobacco-induced carcinogenesis, and inhibitors of this pathway, including myoinositol and metformin, are promising agents for lung cancer prevention. Successful chemoprevention will likely require targeting of multiple pathways to carcinogenesis—both to minimize toxicity and maximize efficacy. Keywords: lung cancer; chemoprevention; antioxidants; anti-inflammatories; carcinogenesis; biomarkers OPEN ACCESS Cancers 2013, 5 132 1. Introduction Lung cancer is the most common cause of cancer death world-wide. This remains true, despite advances in the understanding of the molecular carcinogenesis and the development of new targeted therapies. In an attempt to decrease this high mortality rate, much attention has been devoted to developing methods for early detection of the disease, when it is at a more treatable stage. The National Lung Screening Trial (NLST) recently demonstrated that CT screening can decrease lung cancer mortality in high-risk smokers by 20% [1]. Many ongoing studies are looking at non-invasive biomarkers for early detection that could be combined with CT screening to decrease mortality even further. These methods may result in improved lung cancer survival; however, no screening program can succeed at detecting early stage cancer with 100% sensitivity and specificity. In addition, the five-year mortality rate for early stage (I and II) lung cancer is still over 50% [2], and the treatment for early stage lung cancer is surgical resection—resulting in significant morbidity. Decreasing the risk of lung cancer—or preventing its development in high-risk individuals—would be an even loftier goal. 2. Risk Reduction The most obvious method to prevent lung cancer development is to eliminate the contributing risk factors for lung cancer. Smoking plays a role in over 90% of lung cancers. While exposures to other carcinogens (e.g., asbestos, radon, industrial chemicals, etc.), genetic predisposition, presence of COPD or emphysema, and some pulmonary infections also increase risk, lung cancer was exceedingly rare before the advent of cigarettes. Archeological evidence indicates that the tobacco plant was first cultivated by the Maya in South America, perhaps as early as 5,000 BCE [3]. Christopher Columbus’ crew learned to smoke tobacco from the Arawak Indians and carried the habit back to Europe. Tobacco use then gradually spread throughout the world. However, until the manufacturing of cigarettes became widespread in the early 20th century, tobacco smoking was uncommon. In fact, smoking was illegal in many US states until the 1920s. The first report of lung cancer in medical literature appeared in the 18th century; and by 1898, only 140 cases had been reported [4]. In 1912, physicians were beginning to notice an increase in incidence, but it was still considered ―among the rarest forms‖ of malignancy, and only 374 cases had been reported [5]. James Alexander Miller, the first Director of the Bellevue Chest Service in New York City, reviewed primary carcinoma of the lung in 1930 [6]. He presented 32 cases from Bellevue Hospital, and was among the first to link the disease to urban dust and bronchial irritation. Through the remainder of the 20th century the incidence of lung cancer skyrocketed—following the trend in smoking habits, with a latency of 25 years. Smoking cessation is the only intervention that has yet been shown to prevent lung cancer. In the Lung Health Study smokers were randomly assigned to smoking cessation programs or no intervention [7]. The successful quitters had a 55% reduction in lung cancer incidence compared to the control group. However, despite progress in tobacco control, and smoking cessation campaigns, almost 20% of the adult population in the US continues to smoke. In some areas of the world the rates are much higher, and many more people are former smokers, or have had exposure to second-hand smoke [8]. The incidence of lung cancer in never-smokers has also increased, and is now up to 20 per 100,000 Cancers 2013, 5 133 person-years [9]. This trend is less easily explained, but likely reflects both second-hand smoke exposure and an increase in other environmental carcinogens. 3. Chemoprevention Chemoprevention is the use of dietary or pharmaceutical agents to prevent the development or progression of a disease. Only individuals at high risk for a condition should be treated, and treatment should commence before the disease develops, or when it is in its earliest stages. Since the risk-factors for lung cancer are well established, lung carcinogenesis may take 20–30 years, and many of the molecular events in lung carcinogenesis and some precursor lesions have been identified, this is an ideal disease for chemoprevention. There are several types of chemoprevention for lung cancer. Primary chemoprevention is used to try to prevent the development of the disease in a high-risk population. Secondary chemoprevention aims to prevent the progression of precursor lesions to malignancy. Tertiary chemoprevention is directed at preventing recurrences or second cancers in individuals with prior aero-digestive cancers. Over 11% of smokers eventually develop lung cancer, and this would be the population to target for primary chemoprevention [10]. Identifying a population with pulmonary preneoplasia for secondary chemoprevention is more difficult. CT scans can identify small nodules, particularly sub-solid nodules that may represent preneoplasia. Sputum, buccal scrapings, nasal swabs or bronchoscopy can be used to identify genetic, epigenetic or other changes associated with the presence of preneoplasia or the development of malignancy; though these techniques are not yet validated. Patients with prior aero-digestive malignancies, the target group for tertiary chemoprevention, have a risk of developing a second primary lung cancer after resection of as high as 2–3% per year [11]. Depending on whether an agent is to be used for primary, secondary, or tertiary prevention, the acceptable level of toxicity may differ. Since invasive cancer takes many years to develop, the identification of surrogate intermediate biomarkers to indicate success or failure of a potential agent are necessary for chemoprevention studies. Currently there is no gold-standard biomarker. The most commonly used markers are histologic changes consistent with preneoplasia based on a multi-step progression from hyperplasia, to metaplasia, to dysplasia, to carcinoma in situ, to squamous-cell lung cancer; and from atypical adenomatous hyperplasia to adenocarcinoma [12]. An accumulation of various genetic abnormalities correlates with the increasing morphologic changes, in both the squamous-cell carcinoma and the adenocarcinoma sequence. These genetic abnormalities associated with preneoplasia progression represent another class of biomarkers that can be used in chemoprevention studies. The sequence of events in the development of small-cell lung cancer is much less clearly defined, and chemoprevention studies for small cell lung cancer are more difficult to design. The development of validated markers of early pulmonary carcinogenesis is essential for successful clinical trials of chemopreventive agents. 4. Agents for Lung Cancer Chemoprevention No chemopreventive agent has been validated for lung cancer, though there are several promising areas of investigation. Some of the agents that have been studied in human clinical trials, especially those that have been investigated most recently, are reviewed here. Cancers 2013, 5 134 4.1. Antioxidants Oxidative stress plays an important role in pulmonary carcinogenesis [13]. Oxidants or reactive oxygen species (ROS) are agents that form reactive oxygen metabolites, including hydroxyl radicals, superoxide anions, singlet oxygen and hydrogen peroxide. Antioxidants are substances that act to detoxify these species. Oxidative stress occurs if the balance of oxidants and antioxidants is disrupted. The major endogenous sources of oxidants are aerobic metabolism and inflammation. Exogenous sources include radiation, UVB light, atmospheric oxidants, tobacco smoke, manufactured fibers and various metals. Oxidants can induce carcinogenesis through several mechanisms, including direct DNA damage leading to structural damage or genetic mutation, altered gene expression due to a variety of epigenetic factors, activation or inhibition of signal transduction pathways, and inhibition of the apoptotic pathway. The respiratory tract is unique in the variety and extent of both endogenous and exogenous oxidants to which it is exposed. Therefore oxidative stress may play a particularly significant role in pulmonary carcinogenesis. As a result, it has been thought that antioxidants may be particularly effective in preventing the development of lung cancer. Some of the antioxidants investigated as chemopreventive agents include vitamins A and E, selenium, N-acetylcysteine, and inducers of glutathione-S-transferase. Vitamin A was one of the first agents to be formally studied as a cancer chemopreventive agent. In 1925, Wolbach reported that rats developed epithelial neoplasia after vitamin A deprivation, and that this was reversed with supplementation [14]. Epidemiological data has suggested that diets high in vitamin A (retinols and carotenoids), vitamin E (tocopherols) and vitamin C reduce the risk of lung cancer [15–17]. When analogues of vitamin A (retinoids) that had lower toxicity were developed, studies with high dose supplementation could be pursued. However, multiple trials in primary and secondary prevention—looking at combinations of β-carotene, retinol, alpha tocopherol, retinyl palmitate, and 13-cis-retinoic acid—did not show any protective effect [18–23]. Two studies in particular published in the New England Journal of Medicine in 1996 debunked the idea that β-carotene supplementation could be used to prevent lung cancer. In the Physicians' Health Study, more than 22,000 U.S. male doctors were treated with 50 mg of β-carotene or placebo every other day, for an average of 12 years [24]. There was no difference in the incidence of lung cancer mortality related to beta carotene supplementation. In the Beta-Carotene and Retinol Efficacy Trial (CARET), more than 18,000 persons at elevated risk for lung cancer because of exposure to asbestos or cigarette smoking were treated daily with beta carotene (30 mg) and retinyl palmitate (25,000 IU), or with placebo, for an average of four years [25]. The trial was ended early when the researchers identified an increased risk of death from lung cancer in the group receiving the supplements. A meta-analysis of the large beta carotene trials confirmed an increased risk of cancer in current smokers who received high-dose supplementation [26]. Phase III chemoprevention trials that looked at combinations of isotretinoin, vitamin A, N-acetylcysteine and/or selenium in patients with prior cancer showed no reduction in cancer recurrence [19,27,28]. A Cochrane Review of nine randomized controlled trials of vitamin and mineral supplementation for the prevention of lung cancer found no benefit for any of the combinations of high-dose supplements [29]. Most recently, investigators on the Physicians’ Health Study reported a slight decrease in total cancer diagnoses among physicians randomized to a multivitamin supplement, but there was no significant difference in Cancers 2013, 5 135 lung cancer incidence [30]. Studies of several other antioxidants have also been negative. For example: anethole dithiolethione—an organosulfur compound that increases glutathione-S-transferase and additional phase II enzymes—did not reverse bronchial dysplasia in smokers [31]. Studies of other antioxidants, however, have been somewhat more promising. Selenium is a component of the antioxidant enzymes glutathione peroxidase and thioredoxin reductase, and therefore is thought to improve cellular defense against oxidative stress. In vitro studies indicated that selenium may cause regression of malignancy, and epidemiologic studies have suggested that increased selenium intake in populations with low average selenium levels may decrease the risk of lung cancer [32]. Conversely high levels of selenium may actually increase lung cancer risk [33]. When selenium was investigated for the prevention of skin cancer in a randomized, double-blind, placebo-controlled trial that included over 1,300 patients, the investigators found that the subjects who received 200 mcg selenium supplementation for 4.5 years had a 44% decrease in lung cancer incidence [34]. It seemed that the people with the lowest baseline selenium levels had the most significant decreased incidence. However, the SELECT (selenium and vitamin E cancer prevention trial) study, a randomized double-blind placebo-controlled, multi-center study of selenium for prostate cancer prevention in over 35,000 men, that included lung cancer incidence as a secondary endpoint, found that selenomethionine alone, or in combination with vitamin E, had no significant effect on lung cancer development [35–37]. Similarly, a chemoprevention trial in Linxian (China) of beta-carotene, alpha-tocopherol and selenium found no benefit to selenium supplementation [38], and a study of tertiary prevention with selenium in patients with previous lung-cancer resection showed no decrease in lung-cancer recurrence [28]. The variable results of these trials suggest that selenium may only be of benefit in those with low baseline levels, and that very high levels of selenium may even increase the risk of malignancy. Cruciferous vegetables are natural sources antioxidants, and epidemiologic evidence has suggested that diets high in cruciferous vegetables (e.g., broccoli, cabbage, cauliflower, mustard greens, brussel sprouts, kale) may be associated with lower cancer incidence. A 2010 meta-analysis of the 30 studies looking at the association between cruciferous-vegetable consumption and lung-cancer risk found a weak inverse association [39]. In subsequent studies, researchers conducted two case-control analyses of the effects of cruciferous-vegetable intake on lung cancer risk. These later studies confirmed a decreased risk of lung cancer in those with the highest cruciferous vegetable intake, especially in current smokers [40,41]. Cruciferous vegetables are a major source of glucosinolates, which are precursors for isothiocyanates and indole-3-carbinol. These compounds exhibit several anti-carcinogenic properties. Indole-3-carbinol (I3C) modulates the PI3K/AKT/mTOR pathway (see below) and has been found to inhibit the development of carcinogen-induced adenocarcinoma in murine models [42]. Isothiocyanates may inhibit the bio-activation of tobacco carcinogens, such as polycyclic aromatic hydrocarbons and 4-(methylnitrosamino)-1-(3-pyridyl)-1-butanone [43]. They may also enhance excretion of carcinogenic metabolites before these metabolites can damage DNA [44,45]. Sulforaphane, a major isothiocyanate found in broccoli, has been found to induce cell-cycle arrest and apoptosis. Evidence suggests that individuals with variants in the glutathione-S-transferase gene, which plays an important role in xenobiotic metabolism and oxidative metabolism, may be particularly susceptible to the beneficial effects of increased isothiocyanate consumption. Murine studies showed http://en.wikipedia.org/wiki/Thioredoxin_reductase Cancers 2013, 5 136 that sulforaphane supplementation decreased benzo-(a)-pyrene induced lung damage and increased antioxidant levels and nuclear factor erythroid 2-related factor 2 (Nrf2) transcription [46,47]. These modulations by sulforaphane result in decreased carcinogen-induced stress. The results suggest an anti-initiating role of sulforaphane in experimentally induced lung cancer. Dithiolethiones are organosulfur compounds that have antioxidant properties, and may be effective in cancer chemoprevention. In animal models, these compounds have been shown to have chemoprotective activity against the development of lung and other cancers [48–51]. Two of these compounds have been studied in human trials: Anethole dithiolethione (ADT; 5-[p-methoxyphenyl]- 1,2-dithiole-3-thione) and oltipraz (5-[2-pyrazinyl]-4-methyl-1,2-dithiol-3-thione). Oltipraz was found to have too much toxicity for chemoprevention [52]. ADT is well tolerated, and in a randomized, double-blind, placebo-controlled, phase IIb trial was found to decrease both the development and progression of bronchial dysplasia in former smokers with known dysplasia [31]. ADT has multiple possible mechanisms of action, but the most prominent for chemoprevention appears to be its effects on glutathione. ADT stimulates glutathione synthesis via glutamyl cysteine synthetase, and increases glutathione-dependent enzyme activity, thus protecting against oxidative damage. ADT also displays free-radical scavenger properties that may protect cell membranes by inhibiting lipid peroxidation. It also modulates nuclear factor-kappa β, a redox-sensitive cytolytic transcription factor. Green tea, made from the leaves of Camellia sinensis, or green tea extracts (GTE), are often proposed as cancer chemopreventives, primarily due to potent antioxidant properties. Observational evidence suggests an association between green-tea consumption and reduced lung cancer risk, although the data is conflicting [53]. Human trials have shown that high levels of green-tea consumption reduced oxidative damage in heavy smokers [54]. The active ingredients are thought to be green-tea polyphenols (GTPs) which, in vitro, can protect against DNA damage, promote apoptosis of tumor cells, and inhibit angiogenesis [55]. Recent studies suggest that GTE may also induce annexin-1 and inhibit COX-2 expression, suggesting that green tea may also have anti-inflammatory effects [56]. Mesna (2-mercaptoethane sulfonic acid) is an organosulfur compound used in combination with chemotherapy agents to decrease the toxicity of the agents’ metabolites. Mesna works as an anti-oxidant and detoxifies acrolein and other toxins by reaction of its sulfhydryl group with vinyl groups. It also increases urinary excretion of cysteine. Acrolein is one of the carcinogenic agents in cigarette smoke, suggesting that mesna may be useful as a chemopreventive agent in smokers, by acting as an antioxidant and detoxifying acrolein [57]. 4.2. Anti-Inflammatories: Steroids, Cyclo-Oxygenase Inhibitors, Prostacyclin Analogs and PPARγ (Peroxisome Proliferator-Activated Receptor Gamma) Agonists, and HMG-CoA (Hydroxy-3-methyl- glutaryl Coenzyme A) Reductase Inhibitors (Statins) Inflammation, especially prolonged inflammation, plays an important role in carcinogenesis. As mentioned, the respiratory tract is constantly exposed to a variety of environmental pathogens and toxins and has a potent immune response. This response includes the recruitment and activation of phagocytic and inflammatory immune cells, which produce oxidant mechanisms to fight infections or to promote the injury-repair process. However, the proliferative response to injury can also predispose Cancers 2013, 5 137 to malignant transformation or progression. Multiple anti-inflammatory agents have been investigated for the chemoprevention of lung cancer. Glucocorticoids have potent anti-inflammatory effects. They also alter genes involved in multiple signaling-pathways, particularly those involved in cell-cycle progression and MAP-kinase activation [58]. To investigate whether the use of inhaled steroids might decrease the risk of lung cancer, Parimon et al. looked at the records of over 10,000 veterans with COPD and found that those who had been treated with inhaled corticosteroids had a dose-dependent decreased risk of lung cancer [59]. Studies in murine carcinogenesis models have shown that glucocorticoids inhibit progression from hyperplasia to cancer, and can decrease tumor multiplicity and tumor load [60,61]. Prospective trials of inhaled glucocorticoids in high-risk smokers have been less convincing. In a randomized, placebo-controlled study of inhaled budesonide in smokers with persistent CT scan-detected lung nodules, there was a non-significant trend toward regression of non-solid and partially solid lesions after budesonide treatment [62]. Similarly, a randomized trial of inhaled budesonide in smokers with dysplasia of the bronchial epithelium did not induce regression [63]. Non-steroidal anti-inflammatory drugs (NSAIDs) act as inhibitors of the cyclooxygenase (COX) enzymes which convert arachidonic acid to prostaglandin E2. The COX enzymes play an important role in inflammation, and a large number of COX-2 dependent genes are involved in tumorigenesis [64,65]. COX-2 is often up-regulated in carcinoma-in-situ and non-small cell lung cancer [66]. In animal models, inhibition of cyclooxygenase activity decreases eicosanoid production and prevents the development of lung cancer [67]. As a result, many studies over the years have looked at NSAIDs as potential chemopreventive agents. Aspirin is a nonselective inhibitor of both COX-1, a constitutive enzyme, and COX-2, an inducible enzyme, and may also cause cell-cycle arrest and apoptosis through alternate pathways. Since aspirin is widely used, several investigators have attempted to determine whether regular aspirin consumption decreases lung-cancer risk. In several different murine models, aspirin has been shown to prevent lung cancer, and this was associated with inhibition of COX-2, and induction of apoptosis [68–72]. The results of individual human studies have been variable [73–75]. However, a recent meta-analysis of 19 studies of NSAIDs and lung-cancer risk did suggest an overall benefit of taking aspirin (but not other NSAIDs) regularly for those at high risk of lung cancer [65]. Long-term follow up of trials of aspirin for prevention of cardiovascular disease also suggest a benefit for cancer prevention. Recent pooled analyses of a long-term post-trial follow up of cardiovascular disease and colorectal adenoma prevention studies demonstrated significant reductions in colorectal cancer incidence and mortality [76–78]. The 20-year risk of death due to all cancers, including lung, is consistently lower in the aspirin groups than in the control groups, and benefit increases with duration of treatment. The latent period before an effect on deaths was about five years for lung cancer, and was confined to adenocarcinoma. In fact, a recent report suggests that aspirin use may be associated with an increased risk of small-cell lung cancer [79]. In a prospective cohort study, NSAID use was associated with a small reduced risk of lung cancer, strongest for adenocarcinoma in men, and in long-term former smokers [80]. The only randomized, placebo-controlled trial of aspirin, the Women’s Health Study, found that women assigned low-dose aspirin (100 mg), taken every other day, had a borderline statistically-significant reduction in lung cancer risk [81]. Cancers 2013, 5 138 Selective inhibitors of COX-2 have also been studied for cancer chemoprevention. Some of the agents investigated include celecoxib, etorcoxib and indomethacin. Recently, celecoxib given to current and former smokers was found to decrease Ki-67, a biomarker of proliferation, in bronchial epithelium and BAL cells after treatment [63,82]. Celecoxib has also been found to inhibit the production of PGE2 and reduce cancer incidence in high-risk patients. A recent study of another selective COX-2 inhibitor, etoricoxib, focused on the anti-angiogenic effect as another mechanism of chemoprevention [83]. However, an exhaustive review of the published literature on NSAIDs and cancer did not find any evidence for benefit or for risk of lung cancer with NSAID use [84]. Other NSAIDs that have recently been studied in relation to lung cancer risk include glucosamine/chondroitin [85] and tetramethylpyrazine, a COX2 inhibitor and component of traditional Chinese medicine [86]. Downstream in the cyclooxygenase pathway, the prostacyclin analogs also have anti-inflammatory effects, and have been investigated as chemopreventive agents. Prostacyclin analogs selectively increase peroxisome proliferator-activated receptor gamma (PPARγ) activity in epithelial cells and in non-small cell lung cancer (NSCLC) [87]. In NSCLC cell lines, activation of PPARγ inhibits cell growth [88]. In murine models, PPARγ over-expression prevents lung cancer. Iloprost, a long-lasting oral prostacyclin analog that inhibits lung tumorigenesis in carcinogen-exposed wild-type mice, was studied in a national trial and was found to decrease endobronchial dysplasia in former smokers [89]. Thiazolidinediones are oral PPARγ agonists used in diabetes management. They also induce 15-hydroxyprostaglandin dehydrogenase (15-PGDH), the enzyme that inactivates the anti-apoptotic and immunosuppressive PGE2 by conversion to 15 keto prostaglandins. Pioglitazone, a synthetic PPARγ ligand used in diabetes, induces tumor-cell apoptosis and has been found to prevent lung cancer in mouse models [90,91]. In one study of over 87,000 veterans treated for diabetes at ten Veterans Affairs medical centers, patients on thiazolidinediones had 33% lower incidence of lung cancer than those on other medications for diabetes management [92]. A meta-analysis completed this past year confirms a small, but significant decreased risk of lung (and other) cancers in diabetics treated with thiazolidinediones [93]. A review of patients with diabetes at the Cleveland Clinic found that those who had not been treated with metformin (see mTOR inhibitors section below) and/or thiazolidinediones were more likely to develop lung cancer [94]. An ongoing trial at the Denver VA is evaluating the effect of pioglitazone on lung cancer incidence in smokers [95]. The HMG-CoA reductase inhibitors are drugs that are widely prescribed for lipid disorders because of their ability to inhibit cholesterol synthesis. However, these drugs also affect multiple other pathways, including those involved in carcinogenesis, angiogenesis and immunomodulation [96,97]. Studies indicate that these drugs inhibit RhoA, suppress AKT activation and up-regulate TIMP-1, and therefore are potent anti-inflammatory agents and may also modulate DNA repair. Because of the possibility that these agents may inhibit carcinogenesis through their effects on multiple pathways, there is much interest in investigating their utility as chemopreventive agents. Epidemiologic studies looking at incidence of lung cancer in relation to statin use have had mixed results, although some studies—particularly in patients with COPD—seem to show a decreased risk of lung cancer [98,99]. Most recently, however, Jacobs et al. found no change in the risk of lung cancer after long-term statin use [100]. Murine studies did find that statins combined with green-tea polyphenols or glucocorticoids inhibited lung tumorigenesis as well as tumor-cell migration and metastasis [96]. Cancers 2013, 5 139 4.3. PI3K/AKT/mTOR Pathway Inhibitors Phosphatidylinositol 3-kinases (PI 3-kinases or PI3Ks) are a family of intracellular signal transducer enzymes that phosphorylate the hydroxyl group at the 3 position of the inositol ring of phosphatidylinositol and are involved in multiple cellular functions, including cell growth, proliferation, differentiation, motility, survival and intracellular trafficking. Many of these functions relate to the ability of class I PI 3-kinases to activate protein kinase B (PKB or AKT) in the PI3K/AKT/mTOR pathway. Tobacco smoke activates this pathway, and the pathway has been demonstrated to be activated in bronchial airways of smokers with airway dysplasia or lung cancer, and may precede the development of lung cancer [101]. The PI3K pathway can also be constitutively activated in tumors as a result of EGFR mutations, suppression of the tumor suppressor PTEN, PI3K gene mutations or increased PI3K gene copy. Mammalian target of rapamycin (mTOR) is a serine/threonine kinase that mediates the AKT signaling pathway. Agents that affect the PI3K/AKT/mTOR pathway have potential as chemotherapeutic agents. Inhibitors of mTOR (rapamycin, sirolimus and metformin) induce cell-cycle arrest, and phase I studies of these agents for chemoprevention are planned [102–104]. However, the harmful side effects of some of these drugs will likely limit their utility as chemopreventive agents. One well-tolerated agent that inhibits mTOR is metformin, widely used for diabetes management. Metformin’s primary action is to inhibit hepatic glucose production and improve peripheral insulin-sensitivity. Evidence shows that metformin also inhibits PI3K/AKT/mTOR signaling. As mentioned above, observational studies have found a decreased incidence of lung cancer in diabetics treated with metformin compared with other agents [105,106], although not all studies confirm this observation [107,108]. Myo-inositol (cis-1,2,3,5-trans-4,6-cyclohexanehexol) is another well-tolerated inhibitor of the PI3K pathway. Inositol is an essential human cell nutrient and a component of cell membranes. The primary natural source of myo-inositol is inositol hexaphosphate, which is hydrolyzed by phytase in the gastrointestinal tract to free myo-inositol. Inositol hexaphospate is present in many foods, particularly whole grains and fruits. Myo-inositol, a glucose isomer, is a precursor in the phosphatidyl- inositol cycle, and the source of second messengers that regulate members of the protein kinase C family, intracellular calcium levels, and signal transduction. Derivatives of myo-inositol act as inhibitors of the PI3K pathway. In vitro studies have confirmed that myo-inositol specifically inhibits this pathway in lung-cancer cell lines. In addition, the activity of AKT [109] and PI3K [110] has been evaluated in the patients who had received myo-inositol, and regression of dysplasia correlates with decreased PI3K activity. In several studies, oral inositol inhibited lung tumorigensis in mice exposed to carcinogens [111]. It has been effective when given before, during and even immediately after exposure. Combining inositol with budesonide, dexamethasone, N-acetylcysteine and/or indole-3 carbinol increased efficacy even further [112]. In a phase I study of inositol in 26 smokers with bronchial dysplasia on autofluorescence bronchoscopy, Lam and colleagues found a significant increase in regression of dysplasia in patients treated with myo-inositol [113]. Ongoing studies continue to evaluate this agent for chemoprevention. Cancers 2013, 5 140 5. Conclusions Many other strategies and agents have been investigated for lung cancer chemoprevention, though most have not progressed to the human clinical trial stage. Some of these strategies include STAT3 pathway inhibition (e.g., curcumin), cell-cycle arrest (e.g., gambogenic acid), hTERT silencing, miRNA modulation, iNOS suppression, chitin inhibition, angiotensin receptor blockade, TGF-β antagonism, VEGFR-2/EGFR inhibition (e.g., vandetanib), and Nrf2 activation. No agent has yet been proven sufficiently effective in human trials, but despite the disappointments in the field of lung cancer chemoprevention, there is reason to be optimistic. Many agents can inhibit lung carcinogenesis in animal models, and the development of intermediate markers will make the pursuit of human trials more feasible. As we learn more about altered pathways in pre-malignant lesions, more targeted or even personalized chemoprevention regimens may be devised. Improved lung cancer risk profiles will further define who should be selected for chemoprevention. Current models are based on general criteria of age, sex, tobacco smoke and asbestos exposure history [114], pulmonary function, family history, and presence of emphysema on CT [115,116]. Genetic testing will soon add additional criteria to define high-risk groups. It is likely that successful chemoprevention will require a combination of agents to target multiple pathways to carcinogenesis—both to minimize toxicity and maximize efficacy. Although avoidance of the major carcinogens is the surest way to decrease lung cancer incidence, chemoprevention for those at highest risk may eventually be possible. Acknowledgments Supported by NIH UO1 CA086137, T32 ES007267, RO1 HL 090316, and Stony-Wold Herbert Fund. References 1. Aberle, D.R.; Adams, A.M.; Berg, C.D.; Black, W.C.; Clapp, J.D.; Fagerstrom, R.M.; Gareen, I.F.; Gatsonis, C.; Marcus, P.M.; Sicks, J.D. Reduced lung-cancer mortality with low-dose computed tomographic screening. N. Eng. J. Med. 2011, 365, 395–409. 2. 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work_gtkldlhfijdlzo3eebgewbbbim	----	Remembering Estelle Irizarry (1937–2017) Remembering Estelle Irizarry (1937–2017) Barbara Mujica Hispania, Volume 101, Number 1, March 2018, pp. 2-4 (Article) Published by Johns Hopkins University Press DOI: For additional information about this article [ Access provided at 6 Apr 2021 02:09 GMT from Carnegie Mellon University ] https://doi.org/10.1353/hpn.2018.0079 https://muse.jhu.edu/article/691840 https://doi.org/10.1353/hpn.2018.0079 https://muse.jhu.edu/article/691840 Hispania 101.1 (2018): pp. 2–4AATSP Copyright © 2018 In Memoriam Remembering Estelle Irizarry (1937–2017) Barbara Mujica Georgetown University At Georgetown University, where Estelle Irizarry was my colleague for over thirty years, she is remembered as a tough cookie—but one with a sense of humor. Students of mine who took courses with her used to tell me that she was the most demanding professor they’d ever had. Long reading lists. Difficult writing assignments. Pages and pages of historical background. While our colleagues were beating the drums of postmodernism, Estelle was teach- ing her students to read critically. While others were lost in the theories of Foucault, Derrida, and Said, she was focusing on text, guiding her students through the complexities of works by Carmen Laforet, Ana María Matute, and Francisco Ayala. Yes, she knew about critical theory, but she believed that the notion that young scholars should spend all their time reading jargon-filled articles instead of twentieth-century masterpieces was nonsense. Even now, seventeen years after her retirement, I occasionally run into her former students—now professionals in their fifties—and they tell me how grateful they are for her guidance, inspiration, encouragement, and toughness. As editor of Hispania from 1993 to 2000, Estelle was no less demanding. She rejected one article after another. “They’re not good enough,” she’d growl. “They don’t meet my standards.” When, in 1999, she asked me to edit a special volume of the journal to be called “The Comedia at the Turn of the Century,” she badgered me incessantly until I got it done just the way she wanted. She expected articles to be written clearly (no jargon!), prepared professionally, and completed on time. As a friend, she was warm and generous. When she invited guest speakers to come to campus, she would often host dinners and invite colleagues. She graciously shared her ideas and her research. However, she had a wicked sense of humor, and she was quick to turn it against pompous professors and know-it-all students. She also had a keen sense of justice. When the department bully publicly humiliated one of our colleagues, Estelle stood up for the victim. The first tenured female professor in our department, she welcomed young professors. She came to my kids’ birthday parties and shared the small triumphs and big worries of childrearing with me. Years later, one of her sons took a course with me. Estelle Irizarry was no less exacting with herself than with others. She was a tireless researcher and published a new book nearly every year. Her academic interests were highly diverse. In addition to twentieth-century Spanish literature, she taught courses in Hispanic literature in the United States, painting and literature, literary humor, and Galician literature. During her long career, she authored nearly forty books and over 150 articles, for which she was recognized and lauded by many organizations. For example, she received the Cruz de la Orden Civil de Alonso X el Sabio from the Spanish Ministry of Education and was an honorary member of the Hispanic Society of America. Her productivity did not diminish after her retirement from Georgetown in 2000. In 2009, Estelle published El ADN de los escritos de Cristóbal Colón, which became a bestseller. She herself translated the text into English as Christopher Columbus: The DNA of his Writings while the second edition of the original was going to press. Based on a meticulous analysis of Columbus’ writings, Estelle came to the conclusion that Columbus was a Catalonian converso—a Jew who converted to Catholicism under pressure from the crown—and that he spoke Catalan before he learned Spanish. Soon after the book was published, Estelle came to Washington to do a presentation and signing at the Organization of American States. She had been living in Puerto Rico, and her Georgetown friends welcomed the opportunity to see her and celebrate her accomplishment. The next day, she and I went out to lunch. Estelle was completely surprised by the book’s success, she told me. She was sitting in front of her computer on October 12, right after Columbus Day, when the accolades started pouring in. “I thought my computer had a virus!” she said. That kind of self-effacement was typical of Estelle. The press agency Europa had sent out publication notices just at the time when European scientists were attempting to use genetic material to determine Columbus’ ancestry, and “then, here comes this book with DNA in the title!” she told me. It was the first time anyone had alleged that Columbus was Catalonian based on scientific data and stylistic analysis rather than mere supposition. Estelle had noticed that Columbus’ use of commas, for example, was very particular and typical of Catalan-speaking Jewish scribes. Like DNA, these stylistic peculiarities are constant and inalterable, explained Estelle, and by studying them, she was able to form an idea of the origin and culture of the Navigator. Estelle had written about many subjects—Francisco Ayala, E. F. Granell, Enrique Laguerre— and I wondered if the critical praise El ADN de los escritos de Colón was receiving made her view it as her masterpiece. Once again, she responded with humility. “I never thought of it in terms of ‘masterpieces,’ ” she told me. For her, the book was an intellectual project. She was astounded that after five centuries, Columbus’ admirers had never noticed the ironic humor he used when complaining to the Catholic Monarchs about their unwillingness to pay him or his Ladino-tinged Spanish. I asked her about the translation. I know from experience how difficult it is to translate one’s own work. “Oh,” she told me in her modest way, “I didn’t do it alone. I had the help of a dragon.” “A dragon?” I asked. She explained that she’d used Dragon Dictation, a computer program that recognizes and transcribes verbal speech. By dictating the translation and then going back and retouching it, she was able to work much faster than if she had typed it out on the computer. Nowadays, many speech recognition programs are available to consumers, but in those days, few people had heard of such a thing. However, Estelle was a leader in the use of technology both for the classroom and for the scholar, and she was abreast of all the new technology. Estelle Irizarry was one of the first to put computers to the service of literary analysis. Her book Informática y literatura was at the time of publication the only book in Spanish on the many uses of technology for literary scholarship. Her computer-assisted comparison between mascu- line and feminine literary styles—for example those of Octavio Paz and Rosario Castellanos—is still considered groundbreaking. Estelle told me that when she published Informática, American professors were still not using technology for literary analysis the way academics were in other countries—for example, Canada. Although Estelle was reluctant to talk about “masterpieces,” she did have her favorites among her own creations. She told me that she always had special place in her heart for Teoría e invención literaria en Francisco de Ayala because it was her first book—the one with which she had launched her career. She was also fond of it because it proved that literary theory was practiced in Spain long before it was commonly believed. In addition, she was especially fond of La broma literaria because she saw literature as an opportunity for play and experimentation, and she found humor even in books most scholars considered “serious.” However, Estelle believed that her greatest contribution to Hispanism was her work on Hispania. She told me the journal gave her infinite satisfactions, although it left her with little free time. She was the tenth editor of Hispania and the first woman. She was especially proud of the journal’s place as a leader in publishing technology. Hispania used new technology for production and dissemination, and also published articles promoting the use of technology for textual analysis. Estelle said she edited every article as though it were her own no matter what the subject—literature, linguistics, or pedagogy. Editing Hispania forced her to grow intellectu- ally, she said, because she had to learn about topics that were unfamiliar to her—Portuguese literature, for example. Estelle and I often talked about our favorite books and our deep love of Don Quijote. How- ever, she had other favorites as well. One was Martín Fierro, which she said she read over and over again. She quipped that she became especially fond of this book after she had discovered an error in chronology that José Hernández had included, perhaps deliberately. She was also fond of humorous books, such as Pantaleón and the visitadoras, by Mario Vargas Llosa. However, her favorite humorous writing was surely that of Christopher Columbus, who slyly integrated irony into his diaries and letters without most of his readers realizing it. Estelle was focusing on women authors long before it was stylish to do so. Among her favorites were the Mexican Rosario Catellanos and the Cuban Lydia Cabrera. Although at Georgetown, Estelle was often considered conservative or even old-fashioned in her approach to teaching literature, in reality, she was ahead of her time in many areas: technology, theory, and women’s writing. By the time Estelle and I met for lunch to chat and reminisce, she had been retired for many years. I asked her if she missed teaching. Of course she did, she told me. She had always wanted to teach. Like so many of her generation, she studied literature with the goal of becoming a professor. She never saw herself primarily as a researcher or a theorist, but rather as a teacher who could bring great works to future generations of students. She told me she missed not only the classroom and the interaction with students, but the structure of the academic year. She missed the excitement of returning to the classroom every fall and of meeting a new group of eager young people whom she hoped to inspire. She missed the thrill of introducing her favorite authors to young minds. Estelle was engaged in her work until the end. Early this year, I visited her at the nursing home where she was living. We chatted about Georgetown and new developments in our department. She asked about her former students and about my work. She still cared. We had been close friends for decades, and I was sad to see her in poor health. But Estelle Irizarry hadn’t forgotten her calling. She was busy organizing her oeuvre, making lists of all her publications. By then, she knew she had little time left. She wanted to leave her mark on Hispanism. She would be happy to know that she succeeded. Barbara Mujica is a Professor of Spanish Emerita at Georgetown University. She specializes in early modern Spanish literature. She is also a novelist, short story writer, and essayist. Her novels Frida, Sister Teresa, and I Am Venus have all garnered critical praise. Mujica was Faculty Adviser to the Georgetown University Student Veterans Association and Co-director of the GU Veterans Support Team. In 2015, she received the President’s Medal from the University for her work on behalf of veterans. 
work_gurdzmv5nrg6teur3kjupuc3ge	----	BioMed CentralBMC Public Health ss Open AcceDebate Permissive nicotine regulation as a complement to traditional tobacco control Walton Sumner II* Address: Department of Medicine, Washington University School of Medicine, St. Louis, Missouri, USA Email: Walton Sumner* - wsumner@im.wustl.edu * Corresponding author Abstract Background: Cigarette smoking takes a staggering toll on human health and attracts considerable public health attention, yet real solutions seem distant. The 2004 Family Smoking Prevention and Tobacco Control Act (US Senate bill S2461) would have given the US Food and Drug Administration limited authority to regulate cigarettes to "protect the public health." However, such legislation is unlikely to substantially reduce smoking or related deaths. Discussion: The past 500 years of tobacco control efforts demonstrate that nicotine prohibition is a practical impossibility for numerous reasons, state revenue being one of the most ominous. The FDA already has regulatory authority over pharmaceutical grade nicotine products, and requires pharmacists to dispense the most addictive of these only with prescriptions. Meanwhile, every corner store can sell far more addictive and dangerous cigarettes to any adult. The FDA could immediately increase competition between cigarettes and clean nicotine products by approving available nicotine products for over-the-counter sales to adults. Similarly permissive regulation of cigarettes and addictive nicotine products will reduce tobacco use and improve smokers' health, but increase nicotine use in the population. Fortunately, restricted youth access and accurate labeling of nicotine's absolute risks will dissuade many non-smokers from experimenting with it, while accurate depiction of its risks relative to cigarette smoking will encourage many smokers to switch. The FDA could take a series of small steps that might ultimately replace a large proportion of cigarette smoking with equally addictive nicotine products, without risking serious public health setbacks. Vaccine, methadone, and injury prevention policies establish relevant public health precedents. Summary: Cigarettes, or an equally addictive alternative, will be a permanent and common product in most societies. Regulations restricting only the safest addictive nicotine products are hard to justify. Addictive nicotine compliments other tobacco control strategies. Modern tobacco control policies are applicable to addictive nicotine. Controlled trials and test market studies are urgently needed to evaluate addictive nicotine as an alternative to smoking. Meanwhile, legislators should preserve the Food and Drug Administration's option to permit non-prescription sales of addictive nicotine. Published: 24 February 2005 BMC Public Health 2005, 5:18 doi:10.1186/1471-2458-5-18 Received: 24 August 2004 Accepted: 24 February 2005 This article is available from: http://www.biomedcentral.com/1471-2458/5/18 © 2005 Sumner; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Page 1 of 9 (page number not for citation purposes) http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=15730554 http://www.biomedcentral.com/1471-2458/5/18 http://creativecommons.org/licenses/by/2.0 http://www.biomedcentral.com/ http://www.biomedcentral.com/info/about/charter/ BMC Public Health 2005, 5:18 http://www.biomedcentral.com/1471-2458/5/18 Background Cigarette smoking is a source of worldwide misery [1,2] and revenue for corporations and governments. Land- mark tobacco regulatory efforts in the United States include the 1992 Synar Amendment, requiring States to establish and enforce prohibitions on the sale and distri- bution of tobacco products to persons under 18 years of age [3]. The 1998 Master Settlement Agreement (MSA) prohibited numerous marketing practices, especially those likely to entice youth [4]. The six corporate signato- ries also promised an endless series of payments to the set- tling States, currently $8 billion annually. The United States has endorsed the World Health Organizations' 2003 Framework Convention on Tobacco Control (FCTC) [5]. The FCTC enumerates well-studied, politi- cally safe measures such as taxation; limiting youth access; regulating the content, packaging, advertising, and sales of tobacco products; and educating the public about risks. Fire-safe cigarettes [6] are now required in New York. Sev- eral states and many municipalities now require smoke- free workplaces. The recently defeated [7] 2004 Family Smoking Preven- tion and Tobacco Control Act, S2461 [8], would have established Food and Drug Administration (FDA) regula- tion of cigarettes for the first time. Although average citi- zens could easily have taken "FDA regulation" to suggest the extensive power that the FDA holds over pharmaceu- tical products[9], tobacco regulations would have been weaker. The defeated Act sought publication of brand-spe- cific ingredient information; forbade adding children's favorite flavorings to cigarettes, further restricted teen sales and advertising; and allowed the FDA to regulate cig- arettes' nicotine delivery. The FDA would not have been able to ban or eliminate nicotine from cigarettes, nor could the FDA ban a class of tobacco products. Although modestly effective at preventing and ending tobacco use, such measures will not achieve the Healthy People 2010 (HP2010) goal of 12% adult smoking prevalence [10] on schedule [11], if ever. While cigarettes should never again afflict more than a quarter of the United States popula- tion, tobacco regulation will abate the current level of car- nage only very slowly. A complimentary strategy called "harm reduction" pro- poses that smokers could improve their health by fre- quently substituting less hazardous tobacco products, such as 'smokeless cigarettes,' chewing tobacco, and newer smokeless tobacco products for cigarettes [12-14]. 'Smokeless cigarettes' are neither smokeless nor cigarettes, but complicated devices that release a mixture of chemi- cals from a heated tobacco substrate and can emit more carbon monoxide than a cigarette [15-18]. For individuals who are determined to inhale nicotine, these devices are probably no worse than cigarettes. However, for individu- als who would have quit instead of switching to a smoke- less cigarette, the health cost may be large. The Institute of Medicine has called for extensive research to quantify harms and patterns of use of these "potential reduced exposure products" (PREP) [19]. In contrast, chewing tobacco is clearly safer than smoking cigarettes [20,21], exposing users to as little as 2% of the risks of smoking [22]. The newest smokeless tobacco products are discrete enough to use in almost any social setting. Smokeless tobacco products are much less popular than smoking in the United States for a variety of reasons, including restric- tions on advertising. However, the most important limita- tion of smokeless tobacco may be absorption through the nicotine through systemic veins rather than the pulmo- nary vasculature. All current pharmaceutical nicotine products share this limitation. Some tobacco control advocates suggest a third strategy: national policies encouraging competition between safer nicotine products and cigarettes [20,23-34]. Typically, this involves a "level playing field" with similar regulations for pharmaceutical grade nicotine delivery systems and ciga- rettes. Advocates cite evidence that health risk correlates with exposure to tobacco's combustion and curing by- products [35-38], with nicotine replacement products posing the least risk [39,40]. There are different ways to level this playing field. At one extreme, the FDA could increase regulation of cigarettes to match that of nicotine products. This is politically chal- lenging, as the FDA discovered in the 1990's [41], The Family Smoking Prevention and Tobacco Control Act divided both the tobacco industry and the public health community. Altria, corporate parent of Philip Morris, was the only tobacco company to endorse this legislation. Calling a similar bill the "Marlboro monopoly act" [42], critics suspect that Altria hoped to discourage competi- tion, for instance by encumbering smaller producers with regulations, by prohibiting relative safety claims sought by chewing tobacco manufacturers [43], or by discourag- ing new products with stringent new standards [44,45]. Other critics believe that the Act safeguarded certain ciga- rette marketing and legal defense strategies [9], or paved the way for the company's unproven 'smokeless ciga- rettes,' potentially ushering in another generation of suffering. At another extreme, the FDA could regulate other nicotine products more permissively, as cigarettes have been regu- lated. The FDA has that authority, but would face criticism for facilitating a common addiction. For instance, the FDA could approve non-prescription nicotine nasal sprays and slow acting inhalers for indefinite use by adults. These nic- otine replacement therapies have excellent safety records and low potential for addicting non-smokers, although a Page 2 of 9 (page number not for citation purposes) BMC Public Health 2005, 5:18 http://www.biomedcentral.com/1471-2458/5/18 few ex-smokers become addicted. The widespread mis- conception that nicotine prohibition is practical and desirable makes it politically difficult for the FDA to pur- sue this path. Discussion Problems with nicotine prohibition A recent Lancet editorial called for the criminalization of tobacco products [46]. However, a litany of centuries-old problems with prohibition provides a strong argument for permissive nicotine regulation as an alternative or essen- tial prerequisite to prohibition. Many people will pay high prices to a coalition of suppliers and governments to obtain tobacco cigarettes that efficiently deliver nicotine, a drug perceived to provide some benefits, in spite of sub- stantial immediate and long-term risks of smoking. While comprehensive public smoking restrictions are possible, and some companies may exit the tobacco trade, tradi- tional tobacco control and litigation may not provide additional large public health gains in the United States, and prohibition is a practical impossibility. The first problem is that historically, smokers accept per- sonal and public hazards that make the dangers we asso- ciate with tobacco look quaint. After Christopher Columbus failed to control his crew's tobacco use, mon- archs from England to China tried to contain the weed by execution, disfigurement, exile, and onerous taxation [47]. Tobacco trade drained monarchs' wealth, compro- mising national security, and smoking accidents inciner- ated whole cities. Tobacco use spread anyway. The second problem is that risk-tolerant smokers are no small group. Smoking persists where Mormon and Islamic prohibitions discourage it [48,49]. If 70% of smokers in the USA want to quit [50]. then 30% of smok- ers, more than 6% of the adult population, do not want to quit. The third problem is a common genetic predisposition to nicotine addiction [51]. The modifiable risk factors we associate with smoking initiation and persistence – parent behavior, peer pressure, role models, advertising, accessi- bility, repeated exposure, and perceived norms – were irrelevant to Christopher Columbus' crew and the first tobacco users across Eurasia. Risk factor modification will not alter genetically predisposed users' fascination with their first tobacco products. The fourth problem is that so much money is involved. When state and local taxes raised New York City cigarette prices to US$7 per pack, tax revenues and black marketing both increased [52]. During the invasion of Iraq, stressed US soldiers reportedly paid up to US$50 per pack [53]. The black market for tobacco in Colorado prisons may achieve a 45,000% markup [54]. This industry makes large profits selling a simple product. If liability claims bankrupt corrupt companies, new suppliers will fill the void and try to avoid predecessor's mistakes. Black mar- kets will undermine the benefits of high taxation or prohibition. The fifth problem is that government taxation compro- mises tobacco control efforts. Historically, States willingly trade citizens' health for wealth. Seventeenth century monarchs who opposed smoking relented as tobacco tax revenue accumulated. The States demonstrated the same perverse values with petitions to protect their MSA pay- ments when an Illinois court threatened Altria with a US$12 billion bond [55]. The States will predictably pro- tect the MSA corporate signatories from new competitors, for instance with taxes targeting generic brands. Tax reve- nues diminish prospects for even slowing the growth of tobacco sales in Africa, Eurasia, and South America, and prohibition in those areas is currently impossible. The sixth problem is the lack of a popular mandate for prohibition. Tobacco control advocates in the United States are rightfully pleased with smoking's declining prevalence, reduced teen smoking, rising cigarette prices, spreading restrictions on public smoking, and fire-safe cigarette initiatives. However, none of this demonstrates popular support for prohibition. Citizens will balk at lim- iting the supposedly personal choice to smoke in private. Midwesterners have already rejected modest cigarette tax hikes [56]. Furthermore, most taxes and MSA payments subsidize programs that benefit non-smokers [57]. Prohi- bition would eliminate that subsidy and require non- smokers to pay for enforcement, a very unlikely prospect. The seventh problem is that nicotine use could have a favorable risk-benefit profile for some informed users. Nicotine causes a mild euphoria without intoxication, in contrast to more tightly regulated drugs: it does not destroy relationships as intoxicating drugs routinely do. Many smokers may use nicotine to treat various problems [58-60] including depression [61], attention deficits [62], other mental illness [63], symptomatic systemic diseases [64], or to control weight [65]. Nicotine users may per- form some tasks better, especially those involving vigi- lance and rapid visual cue processing [66,67]. There is uncertainty regarding many of these benefits [68]. Never- theless, expected benefits are politically hard to withhold. If some of these benefits are real, nicotine prohibition may not even be desirable. Nicotine accounts for very few of the long-term hazards of smoking. A smokeless tobacco proponent has likened nic- otine's risks to the risks of consuming caffeine [54]. Fetal exposure causes placental constriction and reduced birth Page 3 of 9 (page number not for citation purposes) BMC Public Health 2005, 5:18 http://www.biomedcentral.com/1471-2458/5/18 size, alters brain development in disturbing ways, and may increase susceptibility to later nicotine addiction [69- 76]. Nicotine might contribute to sudden infant death syndrome [69,77-79], destruction of connective tissue [80], modulation of immune function [81], prevention of apoptosis [82,83], and alcohol or other substance abuse [84-86]. Fatal nicotine poisoning is quite unlikely [87- 89]. Given that smokeless tobacco users experience only about 2% of the risks of smoking [22], and that inhaled nicotine is similarly benign in animal models [90-92], it is very unlikely that inhaled nicotine could account for even one-tenth of the harms of smoking. In summary, however desirable tobacco prohibition may be, it is hopelessly impractical – unless smokers, govern- ments, and producers have an equally satisfying alternative. Stifling innovation Legal and regulatory pressures have prevented the devel- opment of meaningful alternatives to cigarettes. Directed to approve drugs as "safe and effective" for specific indica- tions, and to ignore tobacco, the FDA has had little reason to approve chronic, addictive nicotine. Although the FDA approves more dangerous drugs for specified indications, without an indication there is no benefit to weigh against any nicotine risk. Consequently the FDA requires pre- scriptions for slow acting inhalers and nasal spray because of a small risk of inconsequential addiction in ex-smokers. Unfortunately, seemingly risk averse regulation of nico- tine forces public health policies to rely on difficult smok- ing prevention, cessation, use restrictions, and treatment. The net effect is a risky public health policy, and very slow development of new nicotine delivery systems [32]. Another unfortunate side effect has been that companies put tobacco into any device that they do not want regu- lated, particularly, 'smokeless cigarettes,' even if the device would be safer without tobacco. In permissive nicotine regulation, the FDA's missing indication is to improve nic- otine addicts' safety. As prescription methadone substi- tutes for illegal, immediately incapacitating heroin, non- prescription nicotine could substitute for legal, slowly injurious cigarettes. Tort threats have also delayed product improvement efforts within the industry. In 1963 an industry lawyer, anticipating condemnation in the 1964 Surgeon General's report, suggested competing on safe nicotine delivery, but was overruled [93]. Product liability and regulatory issues pushed tobacco companies into pointless projects includ- ing filters, light cigarettes, "smokeless cigarettes", nico- tine-free cigarettes, and fabricating a controversy over the health risks of smoking. Haddon matrix In the mid 1960's, motor vehicle accidents were also tak- ing a terrific health toll in the United States. While alter- natives to driving existed, no one expected private automobiles to disappear. Instead, systematic efforts transformed traffic safety. Haddon's matrix illustrated how complimentary strategies could work together to reduce the morbidity and mortality of driving [94]. Table 1 shows a matrix with two axes representing time and objects. Most injury control efforts fall into one of the nine cells, although some cells are empty. Before an acci- dent, typical preventive efforts remove or modify unsafe drivers, vehicles, and road conditions. During an accident a vehicle's design and environmental safeguards may pre- vent or limit injuries. After an accident, prompt medical attention limits the morbidity and mortality of the inju- ries that still occur. Table 1: Haddon's Matrix for Reducing Traffic Accident Injuries Driver/Passenger Vehicle Environment Before Accident Licensing Stops, tickets, arrests Drug, alcohol screening Physician advice Running lights Antilock brakes High traction tires Vehicle inspections Impact avoidance Road design Road maintenance Road lighting, marking Traffic law Police patrols During Accident ---- Bumpers Seat belts Airbags Crumple zones Fuel containment Deformable barriers Fences After Accident ---- Fuel containment Telecommunications Emergency stabilization Emergency transport Trauma centers Page 4 of 9 (page number not for citation purposes) BMC Public Health 2005, 5:18 http://www.biomedcentral.com/1471-2458/5/18 For tobacco control, smoking replaces accidents as the focal event (Table 2 – anticipated strategies are italicized) [95]. As with accidents, cells contain only partially effec- tive interventions. Many people experiment with tobacco in spite of efforts to prevent tobacco use. During smoking, smokers quit infrequently in spite of warnings and medi- cations. More effective smoking cessation products may appear [96,97]. but some nicotine use will persist. In the center cell, hazardous cigarettes easily dominate all avail- able nicotine replacement products [98]. Available and anticipated harm reduction products may be safer, but addictive nicotine would be safer still. After injury, detec- tion of disease may be slow, and treatments for tobacco- related diseases are seldom curative. The matrix highlights the problems of incomplete prevention, unsafe nicotine sources, and poor treatment options, and demonstrates why permissive nicotine regulation could benefit public health: when prevention fails, results are bad. Making nic- otine addiction as safe as possible would make prevention failures less disastrous. Proposal For the reasons outlined above, the health benefits of addictive pharmaceutical grade nicotine products would likely outweigh the harms. If so, the FDA could improve public health by regulating nicotine much as the govern- ment has regulated cigarettes. A permissive nicotine regulatory policy would allow sales of pharmaceutical grade nicotine delivery systems to adults without a prescription. The FDA could suggest warnings appropriate for classes of products and delivery system constituents. Manufacturers would accurately label contents, and would be legally liable for undisclosed harms caused by the delivery system and constituents other than nicotine, as with any pharmaceutical product. The FDA could prohibit inherently risky delivery systems, and would undertake a full, traditional review of nicotine systems that give users a faster or higher peak arterial level of nicotine than cigarettes. The FDA would also review additives intended to provide antidepressant or other effects familiar to smokers [99,100]. Youth marketing and access would be illegal, as with cigarettes. The Drug Enforcement Agency would have no jurisdiction over non-intoxicating nicotine products, just as it has no inter- est in tobacco. Most public and workplace restrictions on cigarette smoking would be irrelevant to other nicotine delivery systems. States could tax cigarettes and nicotine at different rates, in theory recovering expenses related to each product. This tax policy would discourage cigarette use, encourage switching to nicotine, and maintain some State revenue as cigarette sales decline. A satisfying, safe, legal, and afford- able alternative to cigarettes would discourage black mar- kets. The FDA and Federal Trade Commission could permit advertising of nicotine as an alternative to smok- ing, and monitor relative harm claims. Nicotine manufac- turers would pay for monitoring of adverse health effects from their products until remaining health questions are answered. The FDA could implement a permissive policy in a series of simple, informative steps. First, the FDA could immedi- ately approve non-prescription sales of the existing nico- tine spray and inhaler, and similar competitors, with restraints consistent with the Synar amendment, the MSA, and the FCTC. In particular, it should require disclosure of known nicotine risks, such as addiction, invite compari- sons to smoking risks, and forbid marketing to minors. Table 2: Haddon's matrix adapted to tobacco control Potential user Nicotine delivery device Environment Before Addiction Addiction education Disease education Counter-advertising Warning labels Labeling regulations Youth sales restrictions Taxation Black market policing Prohibition During Use Disease education Cessation advertising Bupropion Nortiptylline Varenicline [105], Rimonabant [97] Filters Low tar cigarettes Smokeless tobacco Smokeless cigarettes Content regulation Nicotine replacement Addictive inhalers Taxation Prohibition After Injury Disease awareness Cessation advice Nicotine replacement Addictive inhalers Disease screening Disease treatment Cures Page 5 of 9 (page number not for citation purposes) BMC Public Health 2005, 5:18 http://www.biomedcentral.com/1471-2458/5/18 Data collected during this first step will inform subse- quent steps. Economists have shown that the price of nic- otine gum and patches affects demand for cigarettes [101]. This means that some smokers will substitute less expensive but very slow acting nicotine replacement prod- ucts for cigarettes. Non-prescription access to more addic- tive and competitively priced nicotine should increase this substitution, especially if addicts can purchase a one day supply of about 20 mg. Clinical trials and post-marketing studies of non-prescription use of the spray and inhaler would begin to answer questions about nicotine and preg- nancy, substance abuse, and heart disease. Surveillance studies would determine whether clean nicotine options lead more people to smoke, to smoke longer, or to use nicotine during pregnancy. While the Institute of Medi- cine recommends years or decades of study to quantify the risks of "smokeless cigarettes", the most important remaining uncertainties about nicotine might be answered in a few years. Data collected during this first step should document the relative safety of addiction to pharmaceutical nicotine versus cigarettes, the market share of each product, and the increase in total nicotine use. Analyses using these data will predict the conse- quences of more permissive regulation [102]. If experience with the current nicotine spray and inhaler is reassuring, the FDA can take a second step, to approve clearly addictive nicotine inhalers for non-prescription use. These fast acting inhalers will deliver nicotine in a powder [103] or aerosol to the alveoli, as pulmonary inhalers deliver steroids and beta agonists. Fast acting nic- otine inhalers would be subject to the same marketing requirements and surveillance described above. Several trends could develop that encourage smokers to switch to addictive nicotine inhalers, while limiting recruitment of non-smokers. Smokers will appreciate the healthier alternative to cigarettes, especially as they develop smoking related illnesses, while warning labels will discourage casual experimentation by non-smokers. Smoke-free workplace regulations would spread with less controversy, as fast acting inhalers give smokers a reason- able alternative. Employers might voluntarily forbid smoking to reduce health care and workman's compensa- tion costs; reduce workplace fires; and increase productiv- ity by eliminating both smoking breaks and withdrawal symptoms. Physicians might strongly encourage smokers to switch for their own health, primarily, but also for the health of family members. The government might permit more aggressive advertising of nicotine inhalers to further undermine cigarette smoking. Governments will probably find nicotine taxation irresistible, especially if their tobacco revenue declines. Nicotine taxation will raise the cost of experimenting with inhalers beyond some teen- ager's means. Communities might press smokers to switch so that fire departments, health care providers, and research funding agencies could shift resources to many other pressing problems. Ultimately, palatable inhaled nicotine products could finally allow governments to ban tobacco cigarettes. The public health benefits of these policy shifts could be substantial. We can estimate the long term relative public health burdens of different policies as the product of the risks posed by a delivery system, relative to cigarettes, and the fraction of the adult population using it. Using this formula, the current burden is more than 20% use × 100% risk = 0.2. Healthy People 2010 calls for 12% use × 100% risk = 0.12, about half of the current burden. If nicotine accounted for a surprising 10% of smoking risks, elimi- nating smoking by quintupling the prevalence of inhaled nicotine use – universal addiction – would cause 100% use × 10% risk = 0.1, a slight improvement over HP2010. A slightly less pessimistic scenario would be that all past and present smokers become inhaled nicotine addicts, but their risk is only twice that of smokeless tobacco users. This scenario is no more than 70% use × 4% risk = 0.028, about a quarter of the HP2010 burden. The most likely scenario is that nicotine risks are about 2% of smoking risks, and that policy changes will slowly shift the proba- bilities that smokers will attempt and succeed in quitting, that smokers will switch to nicotine indefinitely or use both nicotine and cigarettes, that ex-smokers relapse to nicotine use, and that non-smokers begin using nicotine. If the risks of inhaled nicotine are this low and if at least one smoker can switch to addictive inhaled nicotine for every 50 ex-smokers and non-smokers who start using nic- otine, then public health will benefit from permissive nic- otine regulation. One public health risk is that more people might begin or continue smoking cigarettes in the belief that inhaled nicotine will provide an easy escape path, but suffer irreparable harm before switching. We should quantify these probabilities through surveillance of the public's behavior and health consequences follow- ing each step toward more permissive nicotine regulation. Although S2461 was defeated, the continuing carnage will motivate similar legislative proposals. Tobacco policies must preserve the possibility of permissive nicotine regu- lation. Bad legislation could solidify the position of ciga- rettes, delay safer products, prohibit disclosure of relative harms, or otherwise interfere with market forces that ought to benefit nicotine addicts [104]. The FDA must retain the option to unleash real competition against a disastrous status quo in the tobacco industry. Summary Nicotine use will remain common indefinitely. Pharma- ceutical grade nicotine is the safest known substance that could replace cigarettes, but inherently addictive products Page 6 of 9 (page number not for citation purposes) BMC Public Health 2005, 5:18 http://www.biomedcentral.com/1471-2458/5/18 are required to compliment traditional tobacco control policies effectively. The FDA could apply restrictions, sim- ilar to those on cigarettes, to an increasingly addictive portfolio of nicotine products, requiring honest portrayals of absolute and relative risks, and expect a significant reduction in cigarette smoking and related illness with modest recruitment of new nicotine addicts at each step. A brief and focused research effort could solidify the already substantial justification for such permissive nico- tine regulation. Meanwhile, federal legislation must not obstruct free market ideals of competitive innovation and informed consumption. Competing interests The author(s) declares that he has no competing interests. 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http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=12745497 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=12773720 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=12773720 BMC Public Health 2005, 5:18 http://www.biomedcentral.com/1471-2458/5/18 Publish with BioMed Central and every scientist can read your work free of charge "BioMed Central will be the most significant development for disseminating the results of biomedical researc h in our lifetime." Sir Paul Nurse, Cancer Research UK Your research papers will be: available free of charge to the entire biomedical community peer reviewed and published immediately upon acceptance cited in PubMed and archived on PubMed Central yours — you keep the copyright Submit your manuscript here: http://www.biomedcentral.com/info/publishing_adv.asp BioMedcentral 102. Rose JE, Behm F, Turner J: Dry powder delivery system. USA, Duke University (Durham, NC); Advanced Therapeutic Products (San Antonio, TX); 1995. 103. Kozlowski LT, O'Connor RJ, Quinio Edwards B: Some practical points on harm reduction: what to tell your lawmaker and what to tell your brother about Swedish snus. Tob Control 2003, 12:372-373. 104. Foulds J, Burke M, Steinberg M, Williams JM, Ziedonis DM: Advances in pharmacotherapy for tobacco dependence. Expert Opin Emerg Drugs 2004, 9:39-53. Pre-publication history The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1471-2458/5/18/prepub Page 9 of 9 (page number not for citation purposes) http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=14660770 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=14660770 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=14660770 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=15155135 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=15155135 http://www.biomedcentral.com/1471-2458/5/18/prepub http://www.biomedcentral.com/ http://www.biomedcentral.com/info/publishing_adv.asp http://www.biomedcentral.com/ Abstract Background Discussion Summary Background Discussion Problems with nicotine prohibition Stifling innovation Haddon matrix Table 2 Proposal Summary Competing interests References Pre-publication history 
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work_gx7krwawfja4xeoljni4bj5uxu	----	Cambridge Archaeological Journal http://journals.cambridge.org/CAJ Additional services for Cambridge Archaeological Journal: Email alerts: Click here Subscriptions: Click here Commercial reprints: Click here Terms of use : Click here Taíno Indian Myth and Practice: the Arrival of the Stranger King, by William F.  Keegan, 2007. Gainesville (FL): University Press of Florida; ISBN  978­0­8130­3038­8 hardback £36 & US$39.95; xxvi+230 pp., 25 figs., 11 tables José R. Oliver Cambridge Archaeological Journal / Volume 19 / Issue 02 / June 2009, pp 274 ­ 275 DOI: 10.1017/S0959774309000407, Published online: 13 May 2009 Link to this article: http://journals.cambridge.org/abstract_S0959774309000407 How to cite this article: José R. Oliver (2009). Cambridge Archaeological Journal,19, pp 274­275 doi:10.1017/S0959774309000407 Request Permissions : Click here Downloaded from http://journals.cambridge.org/CAJ, IP address: 144.82.107.38 on 22 Aug 2012 274 Reviews Gamboa Carrera. The chapters which follow focus on the theoretical impact of terminology and political borders (Francisco Mendiola Galván); a sweeping account of Toltec Chichimeca and Perépecha migrations into and out of the borderlands region (Patricia Carot and Marie-Areti Hers); a consideration of Mesoamerican motifs in cave rock art in northern Mexico (Arturo Guevara Sánchez); a summary of a long-term project on the role of turquoise in Meso- american-Southwestern history (Phil Weigand); a study of cliff houses in the Sierra Madre Occidental of western Chihuahua (Eduardo Gamboa Carrera and Federico Mancera-Valencia); a review of rock art in Nuevo León (Moisés Valadez Moreno); an evaluation of the 1930–40s work of Walter Taylor in Coahuila (Leticia González Arratia); an essay on the role of physical anthropology in the study of ancient warfare in Mesoamerica and the Southwest (Nicolás Caretta); and a useful ethno-historical summary of the colonial ‘pacification’ of the Chichimeca region of northern Mexico (Martha Monzón Flores). The volume is well edited, with relatively few typo- graphic errors. The design is solid and functional. Illustra- tions are clear, if not outstandingly well printed. Charts are happily free of computer-generated ‘chartjunk’ — no three-dimensional bar graphs, no eye-dazzling hachures! In recent years, INAH invested in site development, research, and a handful of excellent researchers in the north. Casas Grandes in Chihuahua and Las Trincheras in Sonora have been developed for tourism, along with several remote cliff-dwellings in the Sierra Madre Occidental. Contrast that to the almost embarrassing outlay for Southwestern ruins: dozens of national parks; major academic and museum regional programs; and a place in the USA national heritage far out-of-proportion to what actually happened, prehis- torically, in New Mexico, Arizona, Colorado, and Utah. The Native history of the region is interesting, to be sure, but one can only wonder how New World archaeology might benefit by re-investment of the Southwest’s mammoth resources in the lower Mississippi Valley or the Isthmus of Tehuantepec or the north coast of Peru. With Teotihuacan and Tikal, it is little wonder that Mexican archaeological attention came late to northern Mexico. One of the truly encouraging aspects of Archaeology Without Borders is Part III, the collection of chapters by Mexican archaeologists. Less encouraging is the near absence of collaborative authorship in Parts I and II: only one chapter was co-authored by USA and INAH archaeologists. The differing professional structures, intel- lectual traditions, and languages between INAH and USA archaeologies suggest that the border continues to affect our understanding of this region. Efforts such as the joint Southwest Symposium-Conference on the Archaeology of the Northern Borderlands and Archaeology Without Borders bode well for the future. In summary, Archaeology Without Borders is a solid, use- ful volume and an excellent survey of current archaeology in the American Southwest and northern Mexico. The border- lands are, in my opinion, the most exciting archaeological district within the larger region, and the growing number of research programs is cause for real optimism. Stephen H. Lekson Department of Anthropology University of Colorado at Boulder UCB 233 Boulder, CO 80309-0233 USA Email: Lekson@colorado.edu Taíno Indian Myth and Practice: the Arrival of the Stranger King, by William F. Keegan, 2007. Gainesville (FL): University Press of Florida; ISBN 978-0-8130-3038-8 hardback £36 & US$39.95; xxvi+230 pp., 25 figs., 11 tables José R. Oliver The book, authored by Bill Keegan, takes as its central theme the arrival in Hispaniola (Haiti-Dominican Republic) of one of the most colourful yet enigmatic historical figures: Caonabó. He was a powerful cacique (chief) who was not a native of Hispaniola but instead came from the Bahamian Archipelago. He was a Lucayo and, hence, a ‘stranger king’. Ever since Christopher Columbus arrived in 1492, Caonabó led armed rebellions against the Spaniards. In 1495, the Spaniards finally captured Caonabó, who was then taken to La Isabela and imprisoned in a ship. A devastating hurricane sank the ship where he and other prisoners drowned. The heroic deeds attributed to Caonabó, even in life, became the stuff of legend. Being a Lucayan, the story of Caonabó provides Keegan with a powerful argument for Caribbean scholars to reconsider the Bahamas not as marginal but cen- tral to the ancient political history of the Greater Antilles. In this book, Keegan frames the ‘facts’ of Caonabó ― The Stranger King ― within the general Taíno culture, religion (mythology) and archaeology. The principal aim is to explain how come a stranger came to be a paramount chief in Hispaniola. The author approaches these diverse sources of information through chaos theory (pp. 3–16), where ‘initial conditions’ are critical in the unravelling of the events that led to the rulership of Caonabó in a ‘foreign’ island and its aftermath as a heroic figure of mythological proportions. What is very distinct in this book, if not unique for Car- ibbean archaeological/academic texts, is that Keegan explicitly chose to write in the post-modernist literary genre. The main cast of characters is Caonabó and Shaun D. Sullivan, the heroic and legendary protagonists (p. 16), and the author himself. Casting Sullivan is a fitting tribute to a colourful archaeologist who contributed so much to Bahamian archaeology. In evalu- ating this book I am struck by ambivalence: should I read it as a post-modernist ‘historical novel’, as a robust display of anthropological-archaeological scholarship (p. 8) or both? There are elements of both but at least from my perspective this formula is not entirely successful. This is neither to say that the book is not well written nor that scholarship is absent. CAJ 19:2, 274–5 © 2009 McDonald Institute for Archaeological Research doi:10.1017/S0959774309000407 275 Reviews Hints of intertextuality, typical of the post-modernist litera- ture, make this book a very entertaining read indeed. The plot has its elements of suspense to keep readers interested. From what island did Caonabó come from? How could a stranger become ‘king’ in Hispaniola? What were the roles of those, from the past and present day, who contributed to create both the historical person and legend that was Caonabó? Does the archaeological evidence support Caonabó’s Lucayan origin? As a post-modern literary piece, Keegan has succeeded, but in terms of academic rigour there are numerous weaknesses that undermine his efforts. Given his avocation for a theory of chaos, it is of paramount importance that his arguments for the ‘initial conditions’ leading to Caonabó’s rulership are water-tight. They are not. His contention that the Taíno elite were de facto matrilineal and practised viri-avunculocality is the crucial initial condition, as it would explain how this Lucayan stranger would come to be raised in his maternal uncle’s household (who would be a cacique) in Hispaniola and eventually succeed his purported ‘rival’ brothers to the position of cacique. In earlier writings Keegan had postulated matrilineality as a hypothesis, but in this book he presented it as an incontrovertible fact. There is no evidence that Caonabó had a maternal uncle in Hispaniola. The chronicler Las Casas explicitly noted that Caonabó accessed power through his personal achievements as a brave warrior and wise politician, not through birthright. Furthermore, vari- ous chroniclers presented several other customary routes to inherit the office of cacique that were not matrilineal. Keegan ignored previous critiques made by Antonio Curet in Ethno- history (49(2), 259–80) and the ensuing arguments between both authors (Ethnohistory 53(2), 393–8). In this book Keegan did not provide new ethnohistoric evidence that would sup- port his thesis. If the initial conditions of matrilineality and viri-avunculocality are purely hypothetical, then so is the subsequent unravelling of the ‘story’ of Caonabó. Keegan used a rather weak excuse for dispensing with detailed reference citations of the sixteenth-century chroniclers to support his arguments; moreover, there is an overreliance on secondary sources, such as Sauer, Rouse, Loven or Fewkes. His justifications are that interpretations of ethnohistoric texts have a life divorced from the authors that lead to multiple interpretations and that inserting reference citations at every turn would interfere with the flow of the narrative. I remain unimpressed. Keegan still has recourse to chapter endnotes to keep the narrative flow unimpeded. Nothing can substitute the process of analysis and verification of the primary historic texts against secondary sources. Just because there can be multiple interpretations does not mean that all are equally justifiable or valid. As a result, there are quite a number of inaccurate ‘facts’ as well as unfounded assumptions, some reached by an uncritical acceptance of the secondary sources. A few examples will suffice. Keegan states (p. 23) that Caonabó was the principal cacique for the region where the Spanish La Navidad fortress was located and that the local chief, Guacanagarí, was his subordinate. In fact, Caonabó’s polity was in the Maguana region, much further south of Gacanagarí’s Marién region. Keegan (p. 28) states that there was little gold in the chief- dom of Canoabó, when there is abundant evidence to the contrary. There are also inaccuracies in describing the myth of Deminán Caracacol and his three brothers (the Taíno culture heroes) and the Yayael myth (pp. 45–8). Deminán did not go to Yaya’s house to steal cassava bread and was not tardy in entering Yaya’s house. The Cacaracol brothers did not capture eels, but instead wooden, slippery beings. It was not Deminán who freed the first Taíno beings from the mythical cave of origin, but Guahayona, the mythical cacique. Keegan argues that these myths confirm the Taíno practice for a matrilineal conical clan where the ‘brothers of the same mother are the progenitors of new colonies’, but where Caonabó seems to ‘break the rules’ because he was a foreigner. However, various chroniclers, including Las Casas, noted that Caonabó’s brothers, in fact, lived in the chiefdom of Maguana. Contrary to Keegan’s statements (pp. 96–7), there are no ethnohistoric references indicating ‘female inheritance’ of cemí objects, nor stating that women controlled the production and distribution of high-status objects. On the positive side, Keegan’s discussion of the archaeological data of the Bahamian Archipelago in relation to Hispaniola (Chs. 5–6), provides an excellent, updated synthesis of important work that is not well known even among Caribbeanists, particularly Shaun Sullivan’s PhD dissertation work. Through a process of elimination, Keegan proposes that site MC-6 in Middle Caicos is the only one that would meet the requirements for Caonabó’s home, if not birthplace. It is based on various lines of evidence (pp. 183–4) but most particularly the site’s unique spatial layout. However, whether MC-6 is ‘more typical of chiefly villages in the Greater Antilles’ remains debatable, since a ‘typical’ layout has yet to be defined, much less what is or is not a ‘chiefly’ village in archaeological terms. This already assumes that Caonabó belonged to a chiefly lineage, which as noted above, is not proven. Finally, while Canoabó was a Lucayo, there are no reasons to assume, as Keegan does, that he had to come from a site that archaeologically belongs to the Chican subtradition, instead of one characterized by the Palmetto ‘culture’ or by Meillac tradition. If part of Keegan’s argument is that Caonabó was a stranger king, then belong- ing to another cultural tradition would make him even more strange; if, instead, he belonged to the same cultural tradi- tion and was a relative of the chief (his ‘maternal uncle’), and possibly lived there since puberty, as claimed in this book, then Caonabó was not a stranger at all. José R. Oliver Institute of Archaeology University College London 31–34 Gordon Square London WC1H 0PY UK Email: j.oliver@ucl.ac.uk 
work_h2fjxp2xwbcqjlcqw7sfygmkyq	----	Universal Journal of Plant Science 4(1): 4-10, 2016 http://www.hrpub.org DOI: 10.13189/ujps.2016.040102 Evaluation of the Vegetation and Proposal of Species for Rehabilitation of the Area Patrimonial “Necropolis Cristóbal Colón” in Havana, Cuba Marta Marina Jiménez Águila*, Digna Velázquez Viera, Lourdes Sordo Olivera Agroforestry Research Institute (INAF), Cuba Copyright©2016 by authors, all rights reserved. Authors agree that this article remains permanently open access under the terms of the Creative Commons Attribution License 4.0 International License Abstract In 1987 the "Necropolis Christopher Columbus" National Monument was declared assisting to the exceptional character of its historical and artistic values. Located in roadway of Zapata and street 12 in the municipality Plaza, Havana, occupies 56 ha with 222 square, 24, 5 Km of streets and avenues and 35000m² of green areas. From 1990, authorities, historians, restorers and forest investigators take charge of veil, to study and to disclose their patrimonial values to maintain and to conserve the architectural beauty of monuments, gardeners and the tree-lined of the cemetery, harmonizing the specific functions of the place. The objective of the work is to evaluate the existent vegetation and to propose species to rehabilitate the patrimonial area for the duty of preserving the memory cultural citizen. The inventory, diagnosis and evaluation of the arboreal vegetation and shrubs of studied area allowed recommending species to rehabilitate the green spaces in the main artery and the sections NE, NW, SE, SW, without affecting the monuments, streets, and sidewalks. The results show up in charts, pictures, designs, outlines and arboreal cover of 2142 physical (trees and bushes) individuals was observed; prevailing the species Ficus sp.; Calophyllum antillanum Britt; Roystonea regia H.B.K. OF. Cook; Juniperus lucayana Britt. It was indicated as managing of theses spaces, particularly and generally way concluded with suggestions will contribute to elevate the cultural level and actors' management and technicians in the integral classification of the place and to enlarge the interrelation among historical institutions - cultural and environmentalists for the rehabilitation and conservation of the urban specialized landscape. Keywords Diagnostic, Evaluation, Arboreal Vegetation, Patrimonial Values Area, City 1. Introduction Two implacable thins, the time and the death, it closed in the giant cemetery “Christopher Columbus", in the city of Havana. From 130 years the polemic and the paradox between the life and the death make of Christopher Columbus Necropolis the place where maybe more daily in the entire world is mentioned to the enigmatic admiral. During the XIX century the Havana population was affected by systematic disease that caused numerous killing, and it made insufficient capacities of burials in the General Cemetery of Havana been founded in 1806 and known by cemetery of Espada, in honor to his founder the Bishop Juan José Diaz Espada Fernández y Landa . Office of Tourism [1] In 1868 an epidemic of cholera morbus forced to celebrate the works of the new cemetery. The bishopric chose an extended area rectangle on near several properties located in Roadway Zapata and street 12 in the municipality Plaza , Havana .It occupies 56 ha split in 222 blocks, 24,5 Km of streets and avenues and 35 000 m² of green areas. In 1870 the authorities of the Island summon to a competition with a view to the project of new cemetery, in this expert architects and engineers of the Havana society participate, being winning the Spanish architect Calixto de Loira y Cardoso. October 30th of 1871 was placed the first stone, in official ceremony, as symbol of beginning of the constructions of cemetery of “Christopher Columbus", in the place that today occupies the North entrance. The project is described like a true city with two central avenues that intersect in cross form with a Central Chapel that divides the rectangle in four areas denominated "barracks", quadrants or sections, designated by the cardinal points: Northeast (NE) Barracks; Northwest (NW) Barracks; Southeast (SE) Barracks; Southwest (SW) barracks, surrounded by a wall perimetral; Vial and tree-lined; entrance North and South, buildings North, South and General Old Osario and Central Chapel. In 1922, a project was designed to widen the necropolis at the East. After the triumph of the Revolution in January 1 st, 1959 the existing lucrative interest were forbidden; however, the private ownership of vaults, pantheons, family chapels, as well as from the Regional Societies were respected. Universal Journal of Plant Science 4(1): 4-10, 2016 5 The cemetery "Christopher Columbus" is one of the impressive funeral cities of the world and considered as artistic universal values. It presents historical values among those that exponents of the architecture, the sculpture, the ornamental arts and notable’s values documentaries stored in their files, at the time that testifies the Cuban identity, reasons for which it was declared in 1987 National Monument. This enclosure constitutes a place of interest for the Conservation and Patrimonial Rehabilitation of the city. Bauta [2] Starting from 1990 a multidisciplinary team takes charge to study and promotional its values and from then on historians, restoring, investigators and forest, determine to maintain and to conserve the architectural beauty of the different monuments, the tree-lined one and the landscape in general, considering that the different types of marbles used in the works are under tropical burning sun, where a very burning atmosphere is not believed alone for the monuments but for the plants and ornamental existent trees in the place, it demands us to provide the care and appropriate maintenance to this vegetation from the anesthetic point of view, sanitarium, environmental and landscape. This interest obeys to necessity of preserving the cultural memory of the city and to the respect for the patrimony. It has allowed little by little taking conscience about the valuable character and irreversible of the works of the past. In Cuba it is very well-known the intense program that it is carried out by the Office of Historian of the City, to reconstruct and to conserve all the places of patrimonial value in the country and in this zeal the tree-lined one is included as essential component of the urban landscape, Bauta [2]. The cemetery as open sky museum require to the conservation architectural beauty and landscape. The main problem that faces is the gradual deterioration of the tree-lined one with the rising affectation of the monumental area (Figure 1), the ignorance of the characteristics and demand of the trees used in the area and the lack of a methodology that facilitates the restoration of the landscape in the patrimonial places. Starting from this problem, the work has as objective to carry out the inventory, diagnosis and evaluation of the arboreal vegetation and existent shrub in Columbus's cemetery, Lugones et.al. [3] and propose species that contribute to the restoration of the green spaces without affectation of the monumental area that facilitate to maintain the beauty and characteristic freshness of this monument. An appropriate selection of species and use of other where their roots don't affect to the pavement and where can be carried out the prunings in the opportune moment, would help to the vegetable local atmosphere without interference in the visual of the architectural works, it is hence that the objective of this work is to evaluate the existent vegetation through a diagnosis and to propose the arboreal species and suitable shrub for the rehabilitation. Figure 1. Satellite Image of Necropolis Christopher Columbus, Havana, Cuba 6 Evaluation of the Vegetation and Proposal of Species for Rehabilitation of the Area Patrimonial "Necropolis Cristóbal Colón" in Havana, Cuba 2. Materials and Methods The work shows detailed summarized content of two reports carried out to Columbus's cemetery in the period 2009 at the 2011 corresponding to the Phase 1 and Phase 2 Reports. Phase 1. Main Artery of Necropolis is determined by its importance in the areas of greatest interests are: Ave Christopher Columbus from Northern Entrance (main) to the Central Chapel, Avenue Obispo Espada (from the Central Chapel to South Gate) and Avenue Fray Jacinto (from East to West Gate). These areas are identified on the map as: Monuments Zone 1st, 2nd and 3rd and middle seats. Phase 2. Includes regard to the quadrants or "barracks" NW, NE, SW and SE, which includes streets, squares, flowerbeds and perimeter wall. These areas are identified as: Common Field, Cross of 2nd order and Expansion area. This emblematic funeral place is located inside the city, adjacent at free traffic walker streets, housings, buildings, commercial and cultural centers, hence it requires and is indispensable the maintenance and conservation of the tree-lined one with suitable species that don't affect their social object and that contribute to the reparation and purification of the air in the urban environment. As guide methodological that allows the arboreal classification in this area were applied Miller [4] and Carter [5] methodology adapted to the requirements and current functions of the field sacred and the following steps were considered: Office Work  Documentary investigation of great importance to optimize the availability of the execution time of the tasks; for this was considered the premises of each location, a base maps were consulted, as well the historical and current legal ordinances for the site.  Study previous documentary to the field journey. Field Work  Traveled to study area for general characterization of each work sector, antecedents of the ordination and handling of the tree-lined one don't exist since in the place. Sketches are made and take pictures of trees.  Inventory and Identification: existing species identification, architectural barriers, development stage and health status of the tree species, natural or mechanical deformations, and other damage with the support of the Necropolis plans; symbology of designs and colors to represent the species, status and possible solution was developed.  Quantification of species at location: was made singular and totally, its functions, cultural attentions, and replacement or permanence. Direct observation was used as method through the journeys carried out by the 222 blocks, 24, 5 Km. of streets and avenues and 35 000 m² of green areas. Cartographic maps and photographic camera were used. (Figures 2 and 3). Figure 2. Columbus Necropolises, Photo: Velázquez, 2011 Figure 3. Inspection for inventory and diagnosis of area. Photo: Velázquez, 2011. Diagnosis, Vegetation and Evaluation, Date Processing For the establishment of information tables, sketches and diagrams of the different areas were made and catalogs and databases were revised for the identification taxonomic of the species (Alain [6], and [7]; Bisse [8]; Betancourt [9]). The information was processed in computer equipment and other aids. They were carried out opened periodic exchanges with the directive to know the importance of work and to coordinate the information, approaches and new proposals in function of benefit object, as well as opinion was exchanged with workers of green and communal areas and other actors involved in the scenario study. Finally, the validation of the proposals of changes with the technical management Patrimony Project and Local Government was conducted so that way that the results of the work were in line with the objectives and harmonious with the environment tree system is allowed according to the location of the inner city area. 3. Results and Discussion Analyzing the results about the work in the Columbus's Necropolis was considered the premises of each location, the Universal Journal of Plant Science 4(1): 4-10, 2016 7 characterization of the sites surveyed, views of local specialists, current legal ordinances, field trips, information and documentary data use optimal and appropriate time for the inventory and diagnosis of the area. This whole process of analyzes allowed two Technical Reports: For Phase 1 "Main Artery" contains 29 pages, 11 designs, 7 tables, 24 pictures and a list of 28 species recommended. Another one is the report of Phase 2 "Proposals for use in the four sections NW, NE, SW, and SE of Colon Cemetery" contains 42 pages, 14 designs, 6 tables with the description of 35 species. Jiménez et al. [10] and Jiménez et al. [11]. The behavior of the vegetation can be appreciated in figure 1 and figure 2, but, due to the necrological functions of the area, from the period 2001 to 2011, this vegetation was getting lost, as well as the care of the tree-lined, alone stayed in an individual way, which caused the trees grew and it aged without control and emitted roots that have gone affecting some monuments, besides provoking invasion to niches, breaks and stains of the marbles, as showed in figures 4 and 5. Figures 4. Problems detected in squares and monuments of the Main Artery of Columbus's Necropolis. Photo: Velázquez, 2009. Figures 5. Problems detected in squares and monuments of the Main Artery of Columbus's Necropolis. Photo: Velázquez, 2009. When carrying out the inventories in the journeys one could verify that little knowledge of the characteristics of trees even exists and the species used in the cemetery landscape design and with this study one could identify problems and to recommend solution and proposals. The importance of qualification was demonstrated, Jiménez [12 ]; nevertheless for this place, was not possessed a methodology or technical guide that offered orientation in order to assist and manage of different vegetation types used , without affecting the popular beliefs for the election of the species. Columbus Cemetery, its complex function and location was important to lift the current tree, which is shown in Table 1 and Table 2; the total of existing dominant trees as well as the number of individuals proposed for rehabilitation or disposal. Summary of distribution by species in each phase studied in the period 2009- 2011, were a total of 2 142 individuals of different genus and families are visualized in Columbus Cemetery, nearly at the 3 000 individuals species proposed in total for this site. Table 1. Summary of Inventory of the Tree-lined one in the Main Artery of Columbus's Cemetery, (Phase 1.) 2009 -2010. PLACE Nr. Trees in sidewall Left Nr. Trees in sidewall right Nr. Trees to be eliminated Nr. Trees to be planted. Nr. species Ave Cristóbal Colon 47 39 13 12 7 Capilla Central (Church) 23 20 7 14 8 Ave. Espada 42 35 5 6 4 Ave. Fray Jacinto East 44 40 3 8 4 Ave. Fray Jacinto Western 93 80 23 15 4 Subtotal 249 214 51 55 11 TOTAL 463 8 Evaluation of the Vegetation and Proposal of Species for Rehabilitation of the Area Patrimonial "Necropolis Cristóbal Colón" in Havana, Cuba Table 2. Summary of the Inventory of plants for Quadrants and areas of Columbus's Necropolis, (Phase 2). 2011. Quadrants Nr. of trees Nr. Stump, dry plant or trees to be eliminated Nr. of trees to be planted Nr of species NW 217 40 121 33 SW 306 28 55 32 SE 431 52 103 56 NE 725 30 53 35 TOTAL 1679 150 332 31 Table 2 shows that there is no proportion in the number of trees for quadrant. The WEST zone is relatively uninhabited (523 plants in total) 217 NW located in the quadrant and 306 in SW, while two quadrants of EAST zone present bigger population (1156 plants) with 431 in SE and 725 in NE. In this last one quadrant in spite of having the largest number of plants, the species diversity is not abundant. CITMA [13]. The arboreal abundance is compound one for 11 botanical families and 12 genus. Of them , the species more representative are Ficus and Oaks with 39% and 24% respectively, likewise the genus Ficus represents 59% of all plants in Columbus's Necropolis, this percentage most be considered to limit the increase of the same one (see table 3). Table 3. Arboreal abundant species in Columbus's Necropolis, 2011 Species Total of individuals by species. Famíly Name scientific Name vulgar Moraceae Ficus benjamina L Ficus 484 Clusaceae Calophyllum antillanum Britt Ocuje 362 Bignoniaceae Tabebuia rosea (L) Hemsl Roble 192 Palmaceae Roystonea regia O. F. Cook Palma 61 Cupresaceae Junisperus lucayana Britton Sabina 43 Fabaceae Erytrina glauca Willd Erytrina 51 Boraginaceae Cordia sebestena L. Vomitel 37 Clusaceae Clusea rosea Jacq Copey 21 Mimosaceae Albizia lebbeck (L) Benth Albizia 15 Burseraceae Bursera simaruba (L) Sargent Almácigo 14 Moraceae Cecropia peltata L. Yagruma 14 Boraginacea Gerascanthus gerascanthoides (HBK) Borh Baria 11 Moraceae Ficus religiosa L Álamo 11 Source: Roig et. al [14]. Botanical Dictionary of Cubans Vulgar Names The application of recommendations emitted in each study requesting by entities of the services could diminish the expenses to short, medium and large term for concept of:  Decrease of the frequency of plantation of trees by appropriate selection of the species.  Successive replacement of dry plants and deteriorated by appropriate and systematic treatment.  Decrease of the repair of sidewalks, walls and properties damaged by superficial roots by use of suitable species and of appropriate prunings. For this reason should be considered as measures the following ones: 1. The trees located in the parterres and streets should conserve a height of clean trunk at 2 to 3 meters from the base to the first branch so that allow the visualization of the monuments and pedestrian traffics underneath its branches. (Example see Figure 6). 2. The plants in hedges and stonemasons will have a maximum height from 0,5 to 0,75 meters and should be planted at a distance among plants from 0.25 to 0,30 cm, which will offer beauty and colorings. (E.g. Calophyllum antillanum Britt ocuje, Ixora bendhuca Roxb ixora, Codeaeum variegatu, Blume. var croton, so that will require systematic prunings. 3. In the narrowest streets, it is recommended to plant species (small trees or bushes) of little development of the trunk, crown and roots to avoid the affectations to the monuments. 4. The hedges that form the species shrubs in the central and lateral rounds will stay pruned with defined borders and will follow the routes walks perimetrals ; It should be standardized in relation to place the species and its functions (as ornamental and spectrum coloring) . Universal Journal of Plant Science 4(1): 4-10, 2016 9 5. All died stumps should be eliminated, sick adults and deformed trees and with mechanical damages. Also, the species of fruit-bearing (oranges, bananas, guava, etc.) can not exist, the same as the species of medicinal use to avoid their utilization for the people. 6. The trees recently fields, hedges and the gardening in general should be spring systematically , to avoid economic losses , reposition of dry plants in repeated occasions. 7. The rehabilitation and restoration of the tree-lined one should be carried out step by step and at the opportune moment. 8. The increase in the diversity of species is being carried out in Columbus's Cemetery and have to be controlled handling and take care for introducing non appropriate species for propose of this please. 9. Trainings of the personnel in charge about different technical functions. Figure 6. See of Height of the trees and visuality of Monuments Figure 7. See rehabilitation of Columbus's Necropolis. Photo: Jimenez Á. 2015. 10 Evaluation of the Vegetation and Proposal of Species for Rehabilitation of the Area Patrimonial "Necropolis Cristóbal Colón" in Havana, Cuba The results of the study contributed to increase the cultural and organizational level of the actors and manager involved in the overall planning of the site, expand the interrelationship between environmental and historical cultural institutions involved in the project of conservation and rehabilitation of the city, support the handling and management of areas with heritage values, and the actions described could enrich the existing ordinances for the rehabilitation and conservation of that urban landscape ( figure 7). 4. Conclusions  The obtained results of the diagnosis indicated the existence of 11 botanical families with 12 genuses that maintained Christopher Columbus and the social functions, environmental after other species to reach the architectural beauty of the Necropolis and their relationship should require of care and systematic maintenance of the area.  It is obtained of the study a methodological proposal that was clarified and adapted to the condition of this patrimonial place, it includes the steps to continue with the classification and the managing of the trees and this way to maintain the cultural and historical value of the place.  The social and environmental effects is valued as positive if one keeps in mind that an urban appropriate design of the tree-lined one, impact in the beauty of the landscape and in the restitution of the energy balance serving from focus to the social activity and at the same time to the quality of the users' life and of the environmental health. REFERENCES [1] Office of Tourism, 2009, Necropolis “Christopher Columbus”, Havana, Cuba.20 Pages. [2] Bauta, C. 2009. The cemetery is work of the life. Interviews of Margarita Barrios. Newspaper Rebel Youth, on November, 12. 2009. [3] Lugones Cárdenas Silva; Alexis Almaral Gaona; Juan Carlos Cabré Buggé. (S/a). Reforestation Project “Project of Landscape, Re-establishment and Forest Repopulation for Columbus’s “Cemetery. Havana, Cuba. [4] Miller R W “Urban Forestry Planning and Managing Urban Green spaces” Dpto .De Montes .FAO. Roma .Santiago de Chile. Oficina Regional para América Latina y del Caribe, 1998. [5] Carter, E Jane. El Potencial de la Silvicultura Urbana en los Países en Desarrollo . Concepto. Dpto. de Montes. FAO. Roma. Santiago de Chile. Oficina Regional para la América Latina y del Caribe. 1996. [6] Alain, H. 1963. Flora de Cuba. Book I V. University Editorial, University of Puerto Rico, River Stones. 13-146. [7] Alain, H.1974. Flora de Cuba. Supplement Institute Cuban of Book. Havana. 150 pp. [8] Bisse, J. 1988. Trees of Cuba. Scientific -Technician Edition. Havana City 384 p. [9] Betancourt A. 2000. Exotic maderable trees in Cuba. Havana. Cuba. 352 pages. [10] Jiménez Águila Marta M., Velázquez Viera Digna and Sordo Olivera Lourdes 2009 -2010. Phase 1. Inventory and diagnosis of the existent vegetation in the Main Artery (cross) of Columbus's Necropolis. INAF. Havana, Cuba. Technical Report. 30 pages. 2009. 2010. Scientific- Technician Service. Codec 212146. [11] Jiménez Águila Marta M., Velázquez Viera Digna and Sordo Olivera Lourdes. 2010. 2011 Phase 2. Inventory and diagnosis of the tree-lined one and existent vegetation In Quadrants NW, SW, SE and NE of Columbus's Necropolis. , INAF. Havana, Cuba. Technical Report, 43 pages. Scientific- technician Service. Codec. 212146 [12] Jiménez Águila Marta M., 2009. "Develop of the Urban Forestry in Cuba. Perspectives. "Organic Magazine Agriculture. “The forests grow”. Year 15. No. 3. 2009. ISSN 1028 - 2130. P. 22 - 23. [13] CITMA, 2009. IV National Report to the Agreement about the Biological Diversity of Cuba / CITMA. Global Project GEF /PNUD-197p. [14] Roig and Mesa J.T, 1965. Botanical Dictionary of Cubans Vulgar Names. Havana Cuba. Tomo I and II. Publisher of the National Council of University. 
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work_hc2tilsxsffcbagicud4lbwney	----	in retrospect The celestial message John Heilbron reflects on the first telescopic survey of the sky, published 400 years ago. The inventory of the heavens swelled in March 1610 with the publication of Galileo Galilei’s Sidereus nuncius (The Celestial Message, or Messenger). The first survey of the sky using a telescope increased the number of visible stars by more than a factor of ten and resolved the Milky Way into starlets. The tally of known satellites rose five-fold with the discovery of the four moons of Jupiter, and the count of Earth-like bodies doubled with the detection of mountains on our Moon. Galileo’s little book — which occupies just 60 pages in the 1989 English translation by Albert van Helden — caused a sensation among the learned of Europe. Galileo ini- tially aimed his manuscript at a local audi- ence and began his record of observations in Italian. When he found the starlets around Jupiter, however, he recognized it as a dis- covery of world and historical importance, and switched to Latin. His plan to reissue the book in the vernacular later on, filled with commissioned accolades, foundered under the pressure of his ongoing discoveries — the phases of Venus, bumps on the edges of Sat- urn (prefiguring its rings), splotches on the Sun — and because of career moves abetted by his new-found fame. Galileo’s matter-of-fact account carried conviction of his wonders well before other astronomers had telescopes to confirm them. That took time because he gave the first instruments he made to princes and prelates, from whom he anticipated admiration and gifts, rather than to his peers, from whom he expected the usual academic scepticism. Among the first of Galileo’s contemporaries to celebrate his marvels were poets. Seizing on the analogy closest to hand, they extolled Galileo as a greater Christopher Columbus — as superior to the original as the heavens are to Earth. The new Columbus was a professor of mathematics at the University of Padua, a man admired for his wit and literary tal- ent, fond of wine and women, yet inclined to melancholy and hypochondria. He was sometimes cutting and querulous, but usually cautious and circumspect, as was fitting for an expatriate professor from Flor- ence without tenure. He was further constrained by debt, an age- ing mistress and three illegitimate children. Yet Galileo had many friends and patrons, particularly among priests, artists, astrolo- gers and philosophers. In 1609 one of these friends, the notori- ous anti-Jesuit monk Paolo Sarpi, had drawn Galileo’s attention to the military and com- mercial potential of a gadget invented in the Netherlands that brought distant objects closer. Galileo maintained a workshop for making mathematical instruments and assembling eyeglasses for sale. With supplies from the shop, some inspired tinkering and the expert advice of Sarpi, Galileo turned the Dutch gadget, which magnified three-fold, into a telescope that magnified by 20 times. Galileo was perfectly, perhaps uniquely, equipped to be the first to explore the heavens by telescope. In addition to his experience with instruments, his industry and his open- mindedness about astronomical systems, he had excellent vision, a good imagination and an ability to draw in perspective (see Nature 452, 289; 2008). Galileo’s painterly portrait of the mountains and valleys of the Moon contrasts with the flatter sketch by Thomas Harriot (see Nature 460, 957; 2009), a math- ematician and surveyor who had mapped the New World for Walter Raleigh. Harriot’s Moon, as viewed through a telescope he had invented independently of Galileo, depicts the boundary between the bright and dark sides of the Moon as a coastline and the rest without relief. Galileo’s cratered land- scape mirrored the romantic description of the Moon in his favourite poem, Ludovico Ariosto’s Orlando furioso (1532). Galileo’s discoveries and the praises heaped on them transformed him from an undistinguished mathematician into a courtier and then into a missionary. The telescope enabled him to realize the profes- sorial dream of a position free from teach- ing. In the autumn of 1610, he moved to Florence as mathematician and philosopher to the Grand Duke of Tuscany, Cosimo II de Medici, keeping a post as chief profes- sor of mathematics at the University of Pisa without the obligation to lecture or reside there. He could devote his time to railing against Aristotelian philosophers and pros- elytizing for the Copernican cause. Others were exploring the night sky opened up by Sidereus nuncius. A major improvement in instrumentation soon replaced Galileo’s telescope design with Johannes Kepler’s, which allows a wider field of view and the use of a micrometer to meas- ure angles on the sky. Using this instrument, the Jesuit mathematician Christoph Scheiner produced a thorough and still useful study of sunspots, published in 1630. In the genera- tion after Galileo’s death in 1642, Christiaan Huygens showed that the bumps of Saturn Sidereus nuncius (The Celestial Messenger) galileo galilei First published 1610 r ig H T: M . a l e X a N d e r /l o r d e g r e M o N T /S P l 3 9 8 | N A T U R E | V O L 4 6 7 | 2 3 S E p T E m B E R 2 0 1 0 BOOKS & ARTSCOMMENT Galileo’s sketches (left and centre) conveyed the mountainous lunar landscape; Thomas Harriot’s Moon map (right) lacked relief. © 20 Macmillan Publishers Limited. All rights reserved10 were incompletely resolved rings and, with his discovery of Saturn’s Titan, added another moon to the cosmos. The number of known satellites grew to eight in the late seventeenth century with the observations of Giovanni Domenico Cassini, another professor of mathemat- ics and seasoned courtier. Together with the six planets then known, Cassini said, the eight satellites made a total of 14 — honouring his royal patron, the Sun King, Louis XIV of France. By associating planets and moons with flattery of his patron, Cassini continued a game begun by Galileo, who named the four companions of Jupiter the Medici stars. Galileo’s discovery and identifica- tion of these satellites, and his deduction of accurate values for their periods, were great technical achievements. He recog- nized that a table of the satellites’ eclipses could support a method for finding longi- tude at sea. He offered to sell the method to the King of Spain and the Estates of Holland, but the technique proved impractical and the terms too dear. Although technical difficulties under- cut the exploitation of the Medici stars for navigation, their application to cos- mology was easy. Of all the discoveries that Galileo announced 400 years ago, they provided the strongest argument yet against the geocentric world view. The Jovian system obviously was not centred on the Earth, and Jupiter’s abil- ity to retain its satellites during its orbit showed that Earth might move without losing its Moon. Sidereus nuncius can mean either celes- tial message or celestial messenger. Gali- leo intended it to mean ‘message’ when he applied to the Venetian censors in 1610 for permission to publish his book. Most translators, however, follow Kepler in ren- dering the meaning of nuncius as ‘mes- senger’. In this they have captured the way in which Galileo came to regard himself. His quixotic self-identification as a mes- senger from heaven or agent of the stars gave him the psychological strength to make Sidereus nuncius more than a report of marvels. Whereas Columbus added a new hemisphere to an existing one, Gali- leo announced his celestial message to his contemporaries as a demand for the replacement of the cosy Christian cosmos by an uncomfortable new world. ■ John L. Heilbron is professor of history emeritus at the University of California, Berkeley, USA, and an honorary fellow of Worcester College, University of Oxford, UK. His biography of Galileo will be published in October (UK) and December (US). e-mail: johnheilbron@berkeley.edu E a r T h S C i E N C E Fire from the depths powerful volcanoes remind us of the fragile boundary between Earth’s crust and mantle, finds Laura Spinney. The eruption of the Icelandic volcano Eyjafjallajökull this April, and the month-long havoc it caused in the skies over Europe, was a salutary lesson in how susceptible our global, interconnected society is to natural perturbations. This saga and other spectacular eruptions are explored in the exhibition Supervolcano at the Natural History Museum in Geneva, Switzerland. The highlight is the display of photographs by Geneva’s volcanology society. These self- confessed volcano addicts travel the world to record the beauty and devastating impacts of the latest eruptions. The images attest to the many ways that volcanoes can kill you — through flying debris, burns, asphyxiation or being struck by the lightning generated within the columns of charged particles they eject. Interactive installations convey the volcanic experience. Visitors can feel seismic tremors, listen to a mud volcano and walk through a reconstructed lava tunnel. The destructive power of volcanic ash is revealed in a mock- up of a crushed office: it is the weight of settled ash that causes buildings to cave in. Other displays explore the wider societal risks of massive eruptions and their histori- cal influence. Eyjafjallajökull was a relatively modest geological event, but volcanologists fear that it might trigger a far more danger- ous neighbouring volcano, Katla, now under high surveillance. If Katla blows, the fallout could put April’s upset in the shade. The 1783–84 eruption of Laki, another Icelandic volcano, might have contributed to the French Revolution a few years later. Laki’s toxic cloud polluted the atmosphere, lowered temperatures and caused famines across the Northern Hemisphere. Even more destructive are supervol- canoes — eruptions with the maximum score of eight on the Volcanic Explosivity Index, measured according to the volume of material ejected, among other factors. Eyjafjallajökull qualified as a four. The eighteenth-century Laki eruption and the 1 9 9 1 e r u p t i o n o f Mount Pinatubo in the Philippines — which spewed out 10 cubic kilometres of debris — both scored a six. No known supervolcanoes are currently active, although the imploded remains of one lie in Yellowstone National Park in Wyoming. From the size of its caldera, researchers think that it dumped ash across much of the continent about 640,000 years ago. Toba in Sumatra was one of the last super volcanoes to erupt, 75,000 years ago. Forty kilometres away is Mount Sinabung, which erupted last month after a long period of inactivity. It too is being monitored closely. This timely exhibition reminds us of our vulnerability to volcanoes; we inhabit Earth’s cool, thin crust, but more than 99% of the planet smoulders at temperatures above 1,000 °C. ■ Laura Spinney is a writer based in Lausanne, Switzerland. e-mail: lfspinney@googlemail.com Supervolcano Natural History Museum, Geneva, Switzerland Until 4 September 2011 M . f U l l e /S T r o M b o l i o N l iN e 2 3 S E p T E m B E R 2 0 1 0 | V O L 4 6 7 | N A T U R E | 3 9 9 BOOKS & ARTS COMMENT Eyjafjallajökull’s billowing ash triggered lightning when particles were charged by friction. © 20 Macmillan Publishers Limited. All rights reserved10 In retrospect: The celestial message 
work_hfehcni645ffbacwpwqeygcubq	----	ica-template-v2 Chinese Mapped America Before 1430 Siu-Leung Leea a Zheng He Society of the Americas, Washington DC, USA, sllee19@gmail.com Abstract: Qualitative and quantitative comparison of Kunyu Wanguo Quantu (the 1602 Chinese world map) and contemporaneous world maps by Mercator (1569), Ortelius (1570) , Mercator’s Arctic map (1595), and Plancius (1594) in particular, reveals that the Chinese map is not an adapted copy from European maps. The Chinese world map includes geography of a pre-Renaissance Europe and American geography unknown to Europeans until more than 200 years after Ricci’s death. Approximately 50% of the place names, including those of America, have no equivalents on European maps. Chinese names descriptive of the geographic feature of California peninsula, Mount Ranier, the fjords of Alaska, Mount Denali, tidal bore near Anchorage are all accurate by latitudes. Chile and Peru are correct by relative longitude. Contrarily, the maps by Plancius and Mercator are erroneous and ambiguous on the geography of North and South America. The geography and text of the Chinese world map are consistent with a completion date of 1430, some sixty years before Christopher Columbus’ first voyage. Martino Martini’s Novus At- las Sinensis (1655) is not a survey of his own but translated from Chinese sources, revealing that Ming China was capable of determining longitude/latitude on land and ocean, as well as spherical projection. In conclusion, information about American geography was transferred from China to Europe, not the reverse. The Chinese world map Kunyu Wanguo Quantu is the result of Chinese circumnavigation and survey, pioneering the Age of Exploration, overturning 600 years of misinterpreted history. Keywords: Kunyu Wanguo Quantu, Matteo Ricci, Zheng He, Age of Exploration. 1. Introduction In 1602, the Italian Jesuit priest Matteo Ricci presented to the Chinese Emperor Wanli a world map 坤輿萬國全 圖 (坤輿万国全图 Kunyu Wanguo Quantu) labeled entirely in Chinese. For the past 400 years, the Chinese world map has been thought to be a map translated from European sources. At 1.52 m high and 3.66 m wide, with 1114 place names, the Chinese world map is the most detailed and accurate world map of its time. In 2010, University of Minnesota purchased a copy of the map (Ricci, Li and Zhang 1602). A high resolution copy is also available from the websites of Library of Congress (Ricci 1602a) and a color version from Tohoku University (Ricci 1602b) (Figure 1). Nicknamed “Impossible Black Tulip”, the Chinese world map has puzzled cartographers for decades be- cause of its surprisingly accurate information of regions not yet known to European explorers of the time. For easier discussion, the map is referred to as the 1602 Chinese world map, but it is not drawn by Matteo Ricci and the survey was mostly completed prior to 1430 as the evidence unfolds. 2. The 1602 World map is not adapted from European maps There are many clues showing that the 1602 Chinese world map is not derived from European maps of Ricci’s time (S.-L. Lee 2012a, 2012b, 2015, 2016). Some of the key points are: (1) The Papal States, Tuscany, and Florence are absent, and the names of Hibernia, Lutetia are outdated Roman names for Ireland and Paris, respectively; (2) Fifty percent of the place names including those of the Americas have no equivalent on European drawn maps (Huang and Gong 2004, 183-209); (3) Pasquale M. d’Elia (1890-1963) translated many place names into Italian, rather than obtaining them directly from European sources (d'Elia 1938); and (4) The 1602 Chinese world map accurately labels the oceans by the cardinal direction centred on China while the nomenclature in European maps at that time is confusing. On a globe constructed by Ulpius (Siebold 2015), the ocean west of Mexico is named “Oceanus Orientalis et Occidentalis”. On Ortelius’ Maris Pacifici (1590), Mar del Nort appears at southern tip of South Amer- ica. On Aleni’s world map (Aleni 1623), Atlantic Ocean is both Great West Ocean and Great East ocean. Buache’s Carte des Nouvelles Découvertes (Buache 1753) refers to the ocean north of the equator as South Sea (Au Nord de la Mer de Sud). In this paper, more qualitative and quantitative analyses of selected regions of America and China are presented to substantiate the following: 1) The 1602 world map is the result of China’s own survey, rather than a copy of European maps. 2) China had the necessary cartographical technology to plot longitude and latitude of large areas in spherical projection. Proceedings of the International Cartographic Association, 1, 2017. This contribution underwent single-blind peer review based on submitted abstracts | https://doi.org/10.5194/ica-proc-1-67-2017 | © Authors 2017. CC BY 4.0 License. 2 of 7 Figure 1. Kunyu Wanguo Quantu, Tohoku University Library, Japan. 3. The prime meridian and longitude Mercator, Ortelius, and Plancius, as well as other maps in the 16th century set the prime meridian at either Canary Islands (13-18° W) or Cape Verde Islands (22-25° W), with a variation of anywhere from 100 km to 900 km off- shore of continental Africa. For the 1570 world map of Ortelius, the prime meridian is set at about 23° W of Green- wich. It is not logical to set up the prime meridian at some small islands in the middle of the Atlantic, introducing difficulties and inaccuracy to measurements on an open ocean. Setting the prime meridian on some islands off in the big ocean began with Ptolemy’s map which shows only 180 degrees in longitude, i.e. half of the globe. It is ques- tionable how Ptolemy, who stayed in Alexandria for most if not all his life created this prime meridian standard. The next question is whether Christopher Columbus understood that he had to travel half of the globe to reach China. These fundamental questions should be puzzling for all cartographers. The 1602 Chinese world map aligns the prime meridian with multiple points of West Africa about 16-17° W, e.g. Dakar, Senegal (17°33'22"W). The westernmost region of Africa is a much more logical prime meridian as the be- ginning of the Asia-Europe-Africa land mass. West of the continental mass is the Atlantic Ocean, or Great West Ocean by Chinese. This significant difference in the prime meridian shows that the 1602 Chinese map is not derived from maps by Ortelius, Mercator and Plancius. 4. Western North America, Chinese world map vs Plancius’ 1594 map Many names on the west coast of North America are not available on Ortelius’ Theatrum Orbis Terrarum (1570) and Mercator’s Nova et aucta orbis terrae descriptio ad usum navigantium em (1569), both thought to be the blue- prints of the Chinese world map. Plancius’ Orbis Terrarum (1594) is the first world map with the western North America labeled comparably to the Chinese world map, yet there is no available record of European exploration of the state of Washington, western Canada and Alaska prior to 1594. The official exploration of the western frontier starts with Lewis and Clark’s journey (1804-1806), reaching Oregon. The following is a critical comparison of northwestern America of the 1602 Chinese world map and Plancius’ map (Table 1. Western North America. Chinese world map vs 1594 Plancius map.). The contemporary latitude and longitude data are from satellite data of Google Earth. All longitude values are adjusted to degrees west of Greenwich for easy comparison. The labeling on ancient maps does not allow precision better than within two degrees. Thus, all coordinates are rounded to the closest units. Specifically, three names are chosen, viz. 水潮峰 (Shui Chao Feng, Tidal Bore Mountain), 美灣 (Mei Wan, Beautiful Bay), and 雪山 (Xue Shan, Snow Mountain), corresponding to C. de Corrientes, B. Hermosa, and C. Blanco on the Plancius 1594 map respectively. The deviation of specific locations on the Plancius map compared to the geography today is consistently 3 to 5 fold higher than the 1602 Chinese map. For comparison, the distance across the US is about 4200 km. Table 1. Western North America. Chinese world map vs 1594 Plancius map. In good weather conditions, Denali is visible at Anchorage from the inlet of Turnagain Arm. At over 6000 m, the highest mountain of North America is normally hidden behind clouds, only visible 30% of the time even to Anchor- age residents. Turnagain Arm, the only tidal bore on the entire American west coast, is a natural wonder only prominent during certain phases of the moon. To observe both the Denali and the tidal bore and name it Tidal Bore Mountain, one would need to be stationed there for some time. Denali was first sighted by Vancouver in 1794 and Turnagain Arm named by William Bligh in 1778 under Captain Cook’s command. The 1602 Chinese world map includes both geographic features almost 200 years before Vancouver and Cook. The inaccurate interpretation of tidal bore (macareo) as current (corrientes) shows that the original naming was not Spanish. Today, Cabo Corrientes in Jalisco, Mexico has no geographical feature of a tidal bore or a high mountain. Mount Ranier (46.85° N, 121.76° W), the highest mountain (4392 m) and the icon of the state of Washington, is visible from hundreds of kilometers from the ocean. It easily qualifies as Snow Mountain (雪山) for its year-round snow cap. Another possible location on the Plancius map is Sierra Nevada marked at 41° N, 175° W in the middle of Pacific Ocean, rather than 38° N, 119° W. The name Sierra Nevada (Snow Mountain in Spanish) was given to an interior mountain by Juan Rodríguez Proceedings of the International Cartographic Association, 1, 2017. This contribution underwent single-blind peer review based on submitted abstracts | https://doi.org/10.5194/ica-proc-1-67-2017 | © Authors 2017. CC BY 4.0 License. 3 of 7 Cabrillo in 1542 to describe a Pacific Coast Range. Sailing as far north as 40° N, the Cabrillo crew could not have seen Mount Ranier which was first sighted by George Vancouver in 1792. Jedediah Smith is the first European to reach Sierra Nevada in 1827, more than 220 years after the 1602 Chinese world map. Beautiful Bay (美灣) could be any one of the beautiful fjords from Ketchikan (55° N, 129° W) to Glacier Island (60° N, 147° W). If Tidal Bore Mountain (Anchorage) and Snow Mountain (Mount Ranier) fit perfectly by their latitude on the 1602 Chinese world map, there is reason to believe that Beautiful Bay is near Ketchikan, the first fjord seen by from north bound ships for its picturesque scenery and the deep, calm and sheltering bay for navigation. The multiple locations by the same name on Plancius map are off substantially by latitude and longitude. There are three labels of B. Hermosa (R. Hermosa is likely a transcriptional error of B. Hermosa), two locations labeled C. de Corrientes (Tidal Bore Mountain), four C. Blanco (White Mountain for Snow-top Mountain) and one Sierra Nevada (Snow Mountain in Spanish). This is the result of uncertainty of the cartographer receiving ambiguous information from multiple sources. A true explorer would not confuse the reader by assigning the same name to different neighboring locations. 5. Erroneous maps of California California is one of the last states explored. The error of Mercator’s Arctic map (1595) placing California in the Arctic Circle contradicts his earlier map of 1569. The 1602 Chinese map shows California at the correct location in both the main map and the Arctic inset. The head of Gulf of California on 1602 Chinese world map at 5° north of current latitude could be explained partly by the continued deposit of silt from Colorado River over 600 years (See Table 2). Table 2. Head of Gulf of California compared Gulf of California was named Mar de Cortés by Ulloa in honour of his patron Hernando Cortés (1540). However, the map by Girolamo Ruscelli (1561) and Ortelius’ Mar Pacifici (1590) label it as Mar Bermejo (Mar Vermejo, Red Sea) just as the 1602 Chinese world map calls it East Red Sea 东红海 (to distinguish it from West Red Sea 西 红海 next to Sinai Peninsula, using China as the reference). The Glen McLaughlin Map Collection at Stanford University keeps more than 700 maps from 1622 until mid 1800s portraying California as an island (Stanford University 2016). A map by Herman Moll (1741) still shows California as an island extending to 46° N. A small Pacific Ocean and a narrow Strait of Anian (before Bering Strait was named) separate Asia from America. Alaska is labeled as “Parts Unknown” and Pacific Ocean north of the equator is erroneously labeled as the Great South Sea. That California is not an island was only confirmed by Jesuit Eusebio Francisco Kino in 1699, more than one hundred years after Ortelius and Mercator who seem to get it right without exploration. Scientifically speaking, there is no such thing as “mental discovery”. The only possibility is Ortelius and Mercator obtained the information else- where. 6. Arctic Canada, Chinese world map vs Plancius On the 1570 map of Ortelius, forty years before Henry Hudson’s voyage, an unnamed bay (supposedly the un- known Hudson Bay) appears with a wide opening to the Arctic Circle. Before Hudson Bay was discovered and named after Henry Hudson in 1610, it already had a name 哥泥白斯湖（Lake Conibas or Conibaz）, a large bay with a narrow inlet which should be how it appears to the explorer entering from the north. Lago de Conibaz appears on Plancius 1594 map and Conrad Löw’s “Book of Sea Heroes” (1598). The absence of any European explo- ration effort before the appearance of geography has been pointed out by Bancroft as “imaginary”, “accidental”, “fictional”, and “stronger than holy writ” (Bancroft 1886, 85-87). More unreasonable is the Mercator’s map of the Arctic Circle (1595), where Lago Conibaz (Conibas) drains into the Gulf of California situated in the Arctic Circle while another unnamed bay opens to the Arctic Circle. These discrepancies and lack of exploration records are clearly resulting from hearsay rather than actual survey. On the Chinese world map, 何皮六河 (Obilo River) is a large river meandering into Arctic Ocean. This is equivalent to Mackenzie River (1789) named after the discover Alexander Mackenzie, 190 years later. On Mercator’s 1595 map, Obilo River is misspelled as Obila flu, draining into Gulf of California in the Arctic Circle. The Plancius map shows two rivers flowing into the Arctic, but there is only one Obilo River (Mackenzie River). Thus, it is only incidental that one of them appears to be more accurate by longitude and latitude (Table 3). Besides, Henry Hudson could only reach Hudson Bay in 1610 when Mackenzie River was not even known. A bridge over Mackenzie River completed in 2013 bears the native name “Deh Cho” (the Big River), which is phonologically the same as Chinese 大漕 (Dai Cho in Southern dialect commonly used in Ming dynasty) implying Chinese influence in the native name. Obilo River could be navigable during the warmer period of Zheng He’s voyages (1405-1433), after which a minor ice age prevented the “Northwest Passage”. European explorers could not reach Mackenzie River until the nineteen century when more advanced technology was available. Proceedings of the International Cartographic Association, 1, 2017. This contribution underwent single-blind peer review based on submitted abstracts | https://doi.org/10.5194/ica-proc-1-67-2017 | © Authors 2017. CC BY 4.0 License. 4 of 7 Table 3. Coordinates of Mouth of Mackenzie River compared The geography of the 1602 Chinese world map is far more accurate than the maps by Ortelius, Mercator and Plancius. Matteo Ricci in China from 1582 to 1610 could not have made any improvement on their maps, even with the help of Plancius. 7. 1602 Chinese world map results from Chinese Survey The latitudes of place names on the Plancius map and the 1602 Chinese map are presented in Table 4. Xuntien (顺 天府 Shuntianfu) on the Plancius map is off to the north by 8 degrees latitude. Xuntienfu is named by Zhu Di (Emperor Yongle) as the administration in Beijing in 1403. The absence of Shuntienfu in Ortelius 1570 and appearance in Plancius 1594 shows that information of Yongle’s China was acquired by European cartographers between 1570 and 1594. Table 4. Cities of China, 1602 Chinese map and Plancius 1594 compared. 8. Westernmost point of South America In Figure 2, maps of South America are compared. Visually, the 1602 Chinese map is clearly closer to the satellite survey photo than maps by Ortelius and Plancius. Figure 2. The shape of South America compared, left to right: Ortelius (1570)，Plancius (1594), Ricci (1602b) and Satellite photo by NASA/Jet Propulsion Lab (2003). The quantitative comparison is shown in Table 5. The Ortelius 1570 map erroneously assigns the westernmost point to Chile rather than Peru while the Chinese world map clearly shows the correct assignment. The significant improvement of Plancius 1594 over Ortelius 1570 still falls short of the Chinese world map. This improvement is unaccounted for by Spanish exploration in this period. The Spanish were stopped at Valparaiso by Rio Bio Bio and fierce resistance of the native Mapuche until the 19th century. When Magellan passed the strait of South America in 1520, he did not hug the coastline as an explorer would do to ensure provision. He headed directly towards northwest as if he knew the direction to reach Asia. He could have done that only if he had information from people who had actually crossed the Pacific. If Magellan did survey the coast of Chile, the results would have been reflected on the maps of Mercator and Ortelius. Table 5. Westernmost point of South America 9. Surveying technology of China, Martino Martini’s Novus Atlas Sinensis That China could map the open ocean prior to European contact is supported by Novus Atlas Sinensis by Martino Martini. Martino Martini visited China at the worst time (1643-1651) during the transition of Ming to Qing dynasty. Upon returning to Europe, Martino Martini published Novus Atlas Sinensis (Blaeu and Blaeu 1655) including 17 maps and more than 1500 indexed names with longitude and latitude down to degrees and minutes. The map of Chi- na, Korea and Japan with defined latitude, longitude and spherical projection is shown in Figure 3. Map of China and Japan from Novus Atlas Sinensis by Martino Martini. Figure 3. Map of China and Japan from Novus Atlas Sinensis by Martino Martini (Blaeu and Blaeu 1655). For comparison, it took five years (1763-1767) and more than 100 people to survey the Mason-Dixon Line, a straight line of less than 400 km. It is technically impossible for anybody to survey 6,000,000 sq km of territory in less than 10 years, especially during the most turbulent period of Ming-Qing transition. As long as one place name was not surveyed by Martini, it must be based on Chinese survey technology. The accurate longitude, latitude, and spherical projection have to be the work of thousands of Chinese surveys over hundreds of years. Error! Reference source not found. shows that the longitude and latitude for 19 selected cities in Novus Atlas Sinensis are within 1 degree deviation of satellite Proceedings of the International Cartographic Association, 1, 2017. This contribution underwent single-blind peer review based on submitted abstracts | https://doi.org/10.5194/ica-proc-1-67-2017 | © Authors 2017. CC BY 4.0 License. 5 of 7 surveys in most cases. Even Seoul and Pyongyang in Korea deviate by only 0.5 degree in latitude. The longitudes of these foreign cities deviate more, understandably. Martino Martini is known to have brought Chinese atlases back to Europe (Reed and Demattè 2011, 188). Among them is Luo Hongxian's Guangyutu (罗洪先广舆 图 Extensive Terrestrial Atlas), a Ming-dynasty atlas with 113 maps with description by Luo Hongxian in 1541, first printed in 1555 and updated in 1579. Xuntien Fu 顺 天府 (39.9° N) was established and named by Emperor Yongle, implying the atlas was constructed during or after Yongle’s reign. Table 6. Cities in Novus Atlas Sinensis (NAS) compared to current survey. 10. The survey of 1602 Chinese world map was completed before 1430 On the 1602 Chinese world map, a text above Spain indicates that the map is drawn “some 70 years after the first communication with Europe”. “Communication” here refers to diplomatic relationship which was first established when Giovanni de’ Marignolli led a Papal legation to China and stayed from 1342 to1347. Seventy some years later (1415-1426) is within the time period of Zheng He’s major voyages, when the statement was made and the map drawn. On the contrary, if the map was drawn by Ricci adapting Ortelius-Mercator maps, seventy some years before that would fall in a period of China’s maritime ban (1433-1567) when communication was impossible, contradicting the statement on the map (S.-L. Lee 2012a). This unedited statement offers the most definitely dating of the map. The China section of the world map includes places only relevant to Emperor Yongle (1403-1424), such as places along his route of campaigns against Mongolians and the spot he died which has no political or economic value in Wanli’s era. The name 交趾 (Jiao Zhi) was changed to 安 南 (Annan) as a result of withdrawal of Ming’s administration from Vietnam in 1428. Thus, the information of Chinese geography on the Chinese world map is consistent with a time period shortly after 1428 and before 1430 when Zheng He launched the last voyage. 11. Conclusion By the time this paper is published, three more papers would have appeared in “Science of Surveying and Map- ping”, the official journal of Chinese Academy of Surveying and Mapping, lending the following evidence: 1) A Chinese world map labeling Canada and Apalchen (etymological origin of Appalachian) existed in Nan- jing before construction of the 1602 map. This shows Chinese knew about Canada and Apalchen before the new continent was known to Europe as “America”. 2) By Ricci’s own account about the map in his journal, he had very limited involvement in making the Chi- nese world map. Versions of the map were kept from Ricci’s sight and he did not even own a copy. 3) Li Zhizao, the co-author who translated some European place names on the map, did not update Chinese geography which is much earlier than his time period. Kunyu Wanguo Quantu, the 1602 Chinese world map, is labeled entirely in Chinese. It is either translated from European maps or based on original Chinese surveys and records. Nicknamed “Impossible Black Tulip”, Kunyu Wanguo Quantu is much more accurate and detailed than maps by Ortelius, Mercator and Plancius. Ricci could not have updated American geography known only 200 years before their “discovery”. Ricci can be further excluded as an author because the pre-Renaissance geography and absence of Papal States in Europe are incompatible with Ricci’s status as a Jesuit of Renaissance Italy. Since Ricci’s collabora- tor Li Zhizao did not update the geography of China, the survey must be completed by Chinese well before Ricci and Li’s time. The geography of China on Kunyu Wanguo Quantu is pre-1430. The original Kunyu Wanguo Quantu should be a summary of surveys during Admiral Zheng He’s first six voyages (1405-1424) to prepare for the last voyage. After Zheng He’s death in 1433, China did not have the incentive and support for world exploration or construction of world maps. Misunderstanding in the past 400 years stems from the fact that Matteo Ricci and Li Zhizao added colophons and place names to an original 1430 Chinese world map likely by the same name Kunyu Wanguo Quantu. The contribution of Ricci and Li is not on geographical survey but preservation of this precious map under a very delicate political situation of Ming China. During the dynastic transition and wars with foreign powers, the original Chinese archive of Zheng He’s voyages was lost. The missing information is now recovered from maps. Knowing that the Chinese world map was completed in 1430 rather than 1602, it is comprehensible that the improvement of Plancius 1594 map over Ortelius 1570 map is really due to the flow of information from China to Europe, not the reverse. It is Proceedings of the International Cartographic Association, 1, 2017. This contribution underwent single-blind peer review based on submitted abstracts | https://doi.org/10.5194/ica-proc-1-67-2017 | © Authors 2017. CC BY 4.0 License. 6 of 7 likely that fragmentary in- formation of the early Chinese voyages leaked by seamen along the routes triggered world explorations by Colum- bus and others. 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Ricci, M., Li, Z., Zhang W. (1602). World Map of 1602. James Bell Ford Library, University of Minnesota. https://www.lib.umn.edu/bell/riccimap. Accessed Aug 13, 2015. Ruscelli, G.(1561). Nueva Hispania Tabul Barry Lawrence Ruderman Antique Maps Inc. https://www.raremaps.com/gallery/detail/32734/Nueva_ Hispania_Tabula_Nova/Ruscelli.html. Accessed Oct 2, 2015. Siebold, J. (2015). Ulpius Globe. Cartographic Images. Proceedings of the International Cartographic Association, 1, 2017. This contribution underwent single-blind peer review based on submitted abstracts | https://doi.org/10.5194/ica-proc-1-67-2017 | © Authors 2017. CC BY 4.0 License. http://martayanlan.com/images/Worldlarge.jpg 7 of 7 http://www.myoldmaps.com/renaissance-maps-1490- 1800/367-the-ulpius-globe/. Accessed Feb 21, 2017. Stanford University (2016). California as Island in Maps. Maps from the Glen McLaughlin Collection of California as an island. https://exhibits.stanford.edu/california-as-an- island/catalog/yc810rj3545. Accessed Sep 14, 2016. Proceedings of the International Cartographic Association, 1, 2017. This contribution underwent single-blind peer review based on submitted abstracts | https://doi.org/10.5194/ica-proc-1-67-2017 | © Authors 2017. CC BY 4.0 License. Chinese Mapped America Before 1430 1. Introduction 2. The 1602 World map is not adapted from European maps 3. The prime meridian and longitude 4. Western North America, Chinese world map vs Plancius’ 1594 map 5. Erroneous maps of California 6. Arctic Canada, Chinese world map vs Plancius 7. 1602 Chinese world map results from Chinese Survey 8. Westernmost point of South America 9. Surveying technology of China, Martino Martini’s Novus Atlas Sinensis 10. The survey of 1602 Chinese world map was completed before 1430 11. Conclusion 12. Acknowledgements 13. References 
work_hgiyfpkbdzchthkjydya5vxpuq	----	EEN NEDERLANDSCH GETUIGE OMTRENT DE PLAATS, WAAR COLUMBUS BEGRAVEN LIGT DOOR PROF. J. C. VAN EERDE. Eenigen tijd geleden werden mij ter hand gesteld enkele stukjes hout, die afkomstig zouden zijn van het kruis, dat bij het graf van Columbus te Santo Domingo moet hebben gestaan. De schenker, de Heer J. U. Harken, deelde daarbij om- trent de herkomst van deze donkere stukjes hout zulke belangrijke bijzonderheden mede, dat het gewenscht voorkwam van deze bijzonderheden aanteekening te hou- den en deze voor publicatie te bestemmen, omdat daar- uit van de avonturen van een Nederlandschen zeeman blijkt en vooral, wijl zij betrekking hebben op een vraag- stuk, dat nog immer velen bezig houdt, nl. de vraag om- trent de juiste plaats, waar Columbus begraven ligt. Een overzicht van dat vraagstuk is te vinden in het Vijfde jaarlijksch verslag van het Geschied-, taal-, land- en volkenkundig genootschap te Willemstad, Amsterdam 1901 blz. 16 e. v. in een opstel van rector Victor Zwijsen, die van meening is, dat Santo Domingo het gebeente van Columbus nog altijd bezit. Daar tegenover staat de over- tuiging van D. Antonio Lopez Prieto, verdedigd in zijn boek Los restos de Colon, Madrid 1879, volgens wien de overblijfselen van Columbus in 1795 naar Cuba zijn over- gebracht en dus thans in Spaansche aarde zouden rusten. Het getuigenis van een Nederlander, die in 1877 te Santo Domingo verbleef, toen men daar de ware overblijfselen van Columbus meende te ontdekken, moge dus worden geboekstaafd. 35 Downloaded from Brill.com04/06/2021 01:09:27AM via free access 5 4 6 EEN NEDERL. GETUIGE OMTRENT DE PLAATS De Heer Johan Ulrich Harken is thans directeur van de Surinaamsche Bosch-exploitatie maatschappij en was vroeger gezagvoerder van de aan zijne familie toebehoo- rende brik Havana Packet, een schip van 192 ton, in 1859 te Medemblik gebouwd en toen ter tijd genaamd de Drie Vrienden. Op 22-jarigen leeftijd kwam Harken met zijn schip te St. Thomas, vanwaar hij voor de firma Fedderson Willink en Co. in ballast zou varen naar Monte Christi en Manzanillo (op de Noordkust van Santo Domingo) om daar hout aan boord te nemen voor een haven in Europa, omtrent welke hij Falmouth moest aanloopen voor orders. Op 15 Augustus 1877 vertrok hij van St. Thomas om drie dagen later te Monte Christi aan te komen, en op 19 Augustus te Manzanillo, zooals zijn „coast permit" hem vergunde. Te Manzanillo werd mahonie- en ander hout geladen en de Havana Packet vertrok van daar op 12 September 1877 om op den loden daaropvolgende te Monte Christi terug te keeren, waar de lading zou worden aangevuld en de reis naar Europa zou worden ondernomen. Gedurende de kustreis van 12—16 September bevond zich,7—volgens de mededeelingen van den Heer Harken — a.an boord van de Havana Packet een passagieres, die met een door den commandant van het Dominicaansche oorlogsscheepje Carlota afgegeven pas reisde. Te Monte Christi verliet die vrouw het schip en toen de matrozen, die haar later van wal zouden halen om haar in de ge- legenheid te stellen haar bagage in ontvangst te nemen, landden, werden zij gevangen genomen evenals de gezag- voerder zelf, toen hij naar zijne mannen ging omzien. Zij werden beschuldigd van het vervoer van ammunitie ten behoeve van opstandelingen tegen de Dominicaan- sche regeering; op het schip werd beslag gelegd, de gezag- voerder en zijn stuurman H. K. Mulder werden gevangen gezet, eerst te Porto Plata, later op 6 October 1877 te Santo Domingo. Zoo was de bekende zaak van de Havana Packet ge- boren, die in herinnering moge v/orden gebracht door de Downloaded from Brill.com04/06/2021 01:09:27AM via free access WAAR COLUMBUS BEGRAVEN LIGT. 5 4 7 overneming van een bericht uit de Curacaosche Courant van 1878 no. 25, dat het volgende overzicht geeft. DE „HAVANA-PACKET" „Sedert October van verleden jaar werd door de autoriteiten van de Republic S. Domingo, het in Nederland tehuis behoorende Brikschip „Havana-Packet", kapitein J. U. Harken in beslag genomen. De aanleiding tot deze daad bestond daarin, dat naar beweerd werd de kapitein zijn onderhebbend vaartuig zou hebben verleend tot het vervoeren van oorlogsmateriaal, aan de (toen) opstande lingen toebehoorende, van de eene haven der Republic naar de andere. In eerste aanleg werd het vaartuig door de regtbank verbeurd verklaard en de kapitein in de kosten van het geding veroordeeld, en wel bij vonnis van den 19den Februari dezes jaars. Van dat vonnis kwam de kapitein in appel bij het „Hooge Geregtshof" der Republiek, dat op den 15den Mei jl. het in het eersten aanleg gewezen vonnis bevestigde met de enkele wijziging, dat de kapi- tein ontheven werd van de veroordeeling in de kosten welke kos- ten door den Viscus voldaan zullen worden uit den opbrengst van het vaartuig. De „Gacete de Santo Domingo", het officieel blad van het dominicaansch Gouvernement bevat in het nummer van den 21 sten Mei, het arrest door het hooge gerechtshof den 15den gewezen. Moeijelijk, zoo niet onmogelijk is het uit een enkele lezing van dat stuk, zonder op de hoogte te zijn van wat door de getuige verklaard is (hetgeen het arrest niet vermeld) zich een denkbeeld te kunnen vormen of het arrest, al dan niet in strijd met de regtvaardigheid is, maar wel mag het opmerkelijk heeten dat een vaartuig hetwelk door de vorige regering vervolgd werd omdat het ten gerieve van de opstandelingen wapenen enz. ver- voerde, onder de Regering van die vroegere opstandelingen ver- oordeeld en verbeurd verklaard wordt. De Heer José M. Leyba, Ned. consul te S. Domingo heeft zich denzelfden dag van de uitspraak van het arrest tot den minister van Bu'tenlandsche zaken der dominicaansche Republiek ge- wend, protesteerende tegen de verbeurtverklaring en verdere on- wettige handelingen. Met kracht en nadruk handhaaft de Heer Consul in dat stuk de belangen die hem zijn toevertrouwd, met waardigheid wordt de Nederlandsche Regering door hem ten deze vertegenwoordigd. Wij kunnen niet nalaten onze lezers eene ver- Downloaded from Brill.com04/06/2021 01:09:27AM via free access 5 4 8 EEN NEDERL. GETUIGE OMTRENT DE PLAATS, taling van dat protest mede te deelen, dat almede in gezegd num- mer van de Gaceta van S*°.-Domingo voorkomt: Consulaat der Nederlanden te S*°.-Domingo. No. 139 S*°. Domingo, 15 Mei 1878. „Mijnheer de Minister. De Ondergeteekende Consul van Z. M. den Koning der Nederlanden, heeft de eer zich tot Uwe Excell. te wenden, te kennen gevende: dat hij ter voldoening, sedert de maand October van het afgeloopen jaar de loop volgt, die aan den zaak van den Nederlandschen brik „Havana-Packet" gege- ven werd, welke zaak aan het oordeel der Regtbanken onder- worpen werd ingevolge de wet van den 19den Mei 1876, en zulks wegens het beweerde feit, dat het schip oorlogscontrabande in de wateren van Manzanilla zou bedreven hebben, toen het op een wettige wijze van Monte Christy naar die plaats uitgeklaard was, nadat het de twee visitatiën ondergaan en zijn lading voor Europa ingenomen had, blijkende het, dat bij beide visitatiën het vaartuig op ballast was. Gedurende al dien tijd heb ik er mij toe bepaald om er bij dit en het vorig Gouvernement op aan te dringen, dat deze zaak tot een spoedige beëindiging gebracht zou worden, mij beroepende op de groote nadeelen, die het vaartuig.de kapitein en schepelingen, de inladers en overige belanghebbenden ondervonden; ik voedde de hoop, dat niettegenstaande veroor- deeling in eersten aanleg het hooge Geregtshof der Republiek, beter ingeligt omtrent de verschillende punten waarop de aan- klacht steunde, en vrij van alle pressie, een arrest zou wijzen gelijk de billijkheid en de groote belangen aan zijn regtvaardig oordeel onderworpen, medebrachten, waardoor de regeling eener zaak vergemakkelijkt ware, die wellicht onaangenaam voor de Repu- bliek zal zijn, misschien nog onaangenamer voor mij, die niet met onverschilligheid kan aanzien, dat de dwaling van enkelen aan het geheele land verwikkelingen berokkenen, die ik zoo gaarne had willen voorkomen. Maar ongelukkig ben ik in mijn verwach- tingen teleurgesteld en heb ik vernomen, dat het Hooge Geregts- hof, verwerpende hetgeen door den kapitein van den Nederl. brik ter zijner verdediging is aangewend tegen het vonnis van den eersten regter, een veroordeelend arrest heeft gewezen waarbij dat vonnis bevestigd, en het vaartuig verbeurd verklaard wordt, doch bevolen dat de lading worde afgegeven. Ofschoon het arrest van het Hooge Geregtshof tot nu toe niet beteekend is, om welke rede het niet als bijlage bij deze gevoegd is maar daar de open- bare uitspraak van het zelve, het onder bereik van het public Downloaded from Brill.com04/06/2021 01:09:27AM via free access WAAR COLUMBUS BEGRAVEN LIGT. 5 4 9 brengt, zoo acht ik het mijn plicht als vertegenwoordiger van de Nederlandsche belangen mij tot UE. te wenden in naam van Z. M. den koning der Nederlanden en uit kracht der door mij van mijn Gouvernement ontvangen bevelen te protesteeren, gelijk ik hierbij een en meermalen op de meest plechtige wijze protesteer: 1 °. Tegen de bepalingen van de wet van den 19den Mei 1876, die, gelijk het door Engeland op den 29en Augustus van het zelfde jaar is uiteengezet en waartegen het geprotesteerd heeft, inbreuk maken op het volkenregt, waaraan alle natiën onderworpen zijn. maar vooral die welke tractaten gesloten hebben, welker behoor- lijke nakoming op de goede trouw der Natiën steunt; 2°. Tegen het Gouvernement der dominicaansche Repu- bliek, dat de buitensporigheden en gewelddadigheden toegestaan heeft waarvan Kapitein Harken en zijne schepelingen van de zijde der autoriteiten van Monte Christy de slachtoffers waren, en voor de beleedigingen, de vlag, die hen dekte aangedaan. 3°. Tegen het Hooge Geregtshof wegens de verantwoordelijk- heid die het moge hebben ter zake van de bevestiging van een vonnis, dat klaarblijkelijk in strijd met het volkenregt is en nog meer met de meest gewone practijken. 4°. Tegen alle autoriteiten die in de zaak zijn tusschenbeide getreden, tegen alle dewelken ter behoorlijke tijde voldoening geëischt worden zal. Om al deze redenen en niettegenstaande het grootste leedwezen van mijne zijde verklaar ik aan UE. dat ik namens den kapitein formeel abandonnement van het schip doe, allen wien het moge aangaan verantwoordelijk stellende voor de schade, verliezen en nadeelen die ik mij voorbehoud ter behoorlijker tijd en plaatse te vragen, zonder te prejudiceeren op die welke mede verzocht kunnen worden voor de schaden, verliezen en nadeelen, die de lading mocht blijken geleden te hebben en zoomede alle andere voorwerpen, die zich aan boord van gemeld vaartuig bevonden en uit hetzelve genomen mogten zijn of beschadiging ondervon- den hebben. Met gevoelens van hoogachting enz. JOSÉ M. LEYBA, consul." Het is onnoodig de zaak van de Havana Packet hier nog eens in den breede in herinnering te brengen; genoeg zij het mede te deelen, dat deze zaak het onderwerp van arbitrage heeft uitgemaakt en dat op 26 Maart 1881 door de Nederlandsche en de Dominicaansche regeeringen tot Downloaded from Brill.com04/06/2021 01:09:27AM via free access 5 3 0 EEN NEDERL. GETUIGE OMTRENT DE PLAATS, arbiter werd benoemd de president van Frankrijk Jules Grévy, die voorgelicht door eene commissie van onder- zoek, op grond van de stukken uitspraak deed bij senten- tie van 16 Maart 1883, waaraan het volgende is ontleend. „Attendu que des termes expres du compromis il résulte que l'arbitre a d'abord a rechercher, si les faits imputes au capitaine Harken qui ont donné lieu a diverses sentences des tribunaux do- minicains sont établis par les pieces de la procédure; attendu qu'aucune constatation matérielle n'a été relevée a la charge du capitaine Harken, que Ie fait qui a motive son arresta- tion et la confiscation du navire Havana-Packet ne résulte que des depositions de trois ou quatre témoins; attendu que ces depositions qui sont contredites par d'autres, qui contiennent des détails invraisemblables n'ont pas été faites en presence du capitaine Harken qui n'a jamais été confronté avec leurs auteurs, alors que rien n'était plus facile que d'opérer cette confrontation; qu'il y a la un vice essentiel de procédure qui öte toute valeur probante a l'enquête; attendu, en consequence que Ie fait reproché au capitaine Harken n'est nullement prouvé et que les mesures rigoureuses prises par les autorités dominicaines contre lui, contre son second et contre Ie navire ne sont pas justifiées; qu'il n'y a pas lieu, dès lors d'examiner si Ie fait allégué tom- bait sous Ie coup de la loi dominicaine du 19 Mai 1876 ni si cette loi est ou non conforme aux principes du droit international; attendu que Ie compromis charge l'arbitre dans Ie cas ou Ie Gouvernement dominicain serait declare responsable de fixer l'in- demnité qui doit être payée; attendu qu'en tenant compte de la valeur du navire confisqué, des dépenses diverses nécessitées par Ie proces de l'emprisonne- ment et des mauvaises traitements subis par Ie capitaine et son second, du séjour prolongé que lc capitaine a du faire a S*.- Domingue et du temps qui s'est écoulé depuis que Ie dommage a été cause jusqu'a ce jour, il convient de fixer a cent-quarante mille francs Ie chiffre de l'indemnité due par Ie Gouvernement de S*.-Domingue au Gouvernement des Pays-Bas; Par ces motifs, jugeant que Ie Gouvernement Dominicain doit reparation au Gouvernement des Pays-Bas pour les mesures prises contre Ie ca- pitaine Harken et Ie navire Havana Packet. Downloaded from Brill.com04/06/2021 01:09:27AM via free access WAAR COLUMBUS BEGRAVEN LIGT. 551 Fixons & cent quarante mille francs l'indemnité duê de ce chef par Ie Gouvernement Dommicain, indemniié qui devra être payé a Paris en monnaie ayant cours en France." Door de betaling van eene schadevergoeding wegens den aanslag op het leven van den kapitein en de mishan- deling hem en den stuurman aangedaan, zoomede wegens de onwettige en willekeurige gevangenhouding van bei- den, kwam aan deze zaak een einde. Al kostte het nog heel wat moeite om de uitbetaling van het vastgestelde bedrag te verkrijgen, het avontuur van kapitein Harken eindigde hiermede en wij zullen nu verder hooren, hoe het hem gedurende zijn verblijf te Santo Domingo verging. Bijna een jaar lang bleef kapitein Harken te Santo Domingo en al spoedig na zijne gevangenneming werd hem toegestaan zich in de stad te bewegen. Zoo had hij de gelegenheid een persoonlijk aandeel te hebben in de vondst van de laatste overblijfselen van Columbus, die men daar toen meende ontdekt te hebben. Omtrent een en ander heeft hij een verhaal opgesteld, dat hier in zijn geheel volgt. VERHAAL VAN KAPITEIN HARKEN. „In September 1877 werd ik als staatsgevangene van de Dominicaansche Regeering met het Amerikaansche Stoomschip „Tybee" overgebracht van Monto-Christo via Porte Plate Samana naar de hoofdstad Santo Domingo, alwaar ik ongeveer 10 October van dat jaar arriveerde. Gedurende een tiental dagen werd ik daar gevangen gehouden in het Fort Torreon del Homenasa dat aan den ingang staat van de rivier Ozama. Naar men mij mededeelde, was het vertrek (beter ge- zegd „hol" zonder uitzicht, waarvan wanden en vloeren slechts uit steen bestonden) waarin ik werd opgesloten, hetzelfde waarin Columbus vóór zijn inscheping naar Spanje gevangen werd gehouden. Dit vertrek — herinner ik mij goed, —heet „Casa de panuela". Misschien'gaf het feit, dat men kort te voren de ware overblijfselen van Columbus in de groote kathedraal had ontdekt, wel aan- leiding tot die vriendelijke mededeeling. Downloaded from Brill.com04/06/2021 01:09:27AM via free access 552 EEN NEDERL. GETUIGE OMTRENT DE PLAATS, Na genoemde 10 dagen werd ik in vrijheid gesteld z.g. onder garantie van het Ned. Consulaat en ik mocht mij vrij in de stad bewegen. De tijd waarop ik mij toen te S*°. Domingo bevond— ik wees er hierboven reeds op — viel juist samen met de restauratie van de groote kathedraal, waarmede onge- veer in Augustus begonnen was. Ongeveer een maand later werden daarin de ware overblijfselen van Christo- pher Columbus gevonden. Mijn verblijf te S*°. Domingo heeft ongeveer negen maanden geduurd. De procesvoering tegen het Domini- caansche Gouvernement vorderde dit. Intusschen heb ik bijna alles meegemaakt wat op deze ontdekking betrekking had, zooals een nader onderzoek van bedoelde overblijfselen, en de daarmede in verband staande processie etc. Mijn doel is dan ook, in 't kort mede te deelen wat ik mij omtrent die vondst der laatste overblijfselen van Christoph Columbus herinner gezien te hebben. In September 1877, toen men aan den binnenkant van de kathedraal een steiger langs de muren van het hoofd- koor had geplaatst, zag men dat een der palen wegzakte en toen bleek bij onderzoek, dat zich daaronder een graf- ruimte bevond. In die grafruimte stond een looden kistje, dat als op- schrift droeg „El Armirante Don Luis Colon". Deze vondst wekte bij den architect Kanunnik Billini de gedachte op, dat er misschien onder het hoofdkoor nog andere graven van beteekenis lagen. Hij stelde dan ook een verder onderzoek in en ontdekte, nadat de ledige grafruimte waaruit de Spanjaarden naar hunne meening de ware overblijfselen van Christoph Columbus genomen hadden, was gevonden aan de linkerzijde van het hoofd- koor een graf, waarin zich ook een looden kistje bevond. Bij nader onderzoek in het bijzijn van den Bisschop de Orope en andere autoriteiten werd het kistje voor den dag gehaald en bleek dit het volgende opschrift te dragen: D. de la A. Pr. Al. (ontdekker van Amerika Ie Admiraal). Tot zoover hetgeen men mij vertelde. Downloaded from Brill.com04/06/2021 01:09:27AM via free access WAAR COLUMBUS BEGRAVEN LIGT. 5 5 3 Het moet ongeveer half December 1877 geweest zijn, dat er uit Havana een of meer geschiedkundigen te S*°. Domingo aankwamen om te onderzoeken in hoeverre het verhaal omtrent deze vondst waarheid bevatte, daar toch in 1795, toen de Spanjaarden dit gedeelte van het eiland S*°. Domingo aan ,Fnm&n/& moesten afstaan, de laatste overblijfselen van Christoph Columbus naar Ha- vana, de hoofdstad van Cuba, waren overgebracht. Bij deze gelegenheid werd het kistje, dat sedert de restauratie van de kathedraal naar een andere kerk „Regine Angelorum" was overgebracht en onder toezicht der geestelijkheid bijgezet, weer voor den dag gehaald. Alle autoriteiten, hooge burgers en consuls waren tegenwoordig en daar ik onder de geestelijken mijne kennissen had en onze consul de heer J. M. Leyba ook geen bezwaar maakte, was ik zoo vrij mij bij de genoo- digden aan te sluiten. Ik stond wel niet vooraan maar toch dichtbij genoeg om de letters op de buitenkant en binnenkant van het deksel te onderscheiden. Het kistje, dat kort na de ontdekking voorzien werd met de zegels van de autoriteiten en consuls werd ont- zegeld, geopend en van binnen en buiten nauwkeurig bezichtigd. Behalve eenige beenderen, bevonden zich ook nog een kogeltje en een zilveren plaatje met inscriptie in het kistje. Na de bezichtiging werd het opnieuw verzegeld, in een houten kist geplaatst, en in de kerk opgeborgen. Kort daarop vond er in verband met deze vondst der ware overblijfselen, naar ik meen reeds de 2e Processie plaats. Zooals reeds boven gezegd, had ik kennis gemaakt met enkele der geestelijken waardoor ik tijdens de restauratie nogal eens in de kathedraal kwam. Alles lag daar over- hoop, de geheele vloer was opgebroken met het doel een nieuwe marmeren vloer te leggen. Onder meer stond er ook een vrij groot houten kruis tegen den muur, dat er, niettegenstaande het nu en dan wel eens met groene verf scheen aangestreken te zijn, Downloaded from Brill.com04/06/2021 01:09:27AM via free access 5 5 4 EEN NEDERL. GETUIGE OMTRENT DE PLAATS, toch zeer oud en-lomp uitzag. Op mijn vraag deelde een der geestelijken mij mede, dat dit kruis op het graf van Columbus had gestaan. Onder gewone omstandigheden zou ik zonder meer verder zijn gegaan, maar bij hetjvele gebeuren tijdens deze belangrijke vondst, voelde ik er meer interesse voor en verzocht aan den mij vergezellenden geestelijke dan ook, of ik niet een klein stukje als herin- nering aan de groote gebeurtenis er mocht afsnijden. Dit werd mij bereidwillig toegestaan en ik was dan ook tot heden nog in 't bezit van dat stukje hout, 't welk ik thans aan prof. van Eerde heb afgestaan. Professor van Eerde, aan wien ik dezer dagen eenige voorvallen uit mijn wedervaren gedurende mijn verblijf te S*°. Domingo 1877—1878 mededeelde, gaf mij een werkje ter inzage „Los restos de Colon", Informe de la Real Academia de la Historia" handelende over de zoo- genaamde vondst van de ware overblijfselen van Chr. Columbus in de kathedraal van S*°. Domingo, in 1879 uitgegeven te Madrid. Dit boekje blijkt het resultaat te zijn van het hier- boven bedoelde 2e onderzoek door D. Antonio Lopez Prieto, die evenals alle Spanjaarden vurig bestrijdt, dat deze vondst de ware overblijfselen van Columbus zou bevatten. Volgens hem wijzen de bestaande documenten duidelijk uit, dat die in 1795 naar Cuba werden over- gebracht. Op alle mogelijke manieren wordt daarin getracht te bewijzen, dat de vondst in 1877 m<̂ de ware overblijf- selen van Columbus zijn. Onder veel meer wordt daarin aangehaald, dat de in- scripties op den buitenkant van de kist en den binnen- kant van het deksel 3 verschillende soort letters toonen, waarvan één soort de vorm draagt van een veel lateren tijd. Maar ook het opschrift op de kist D. de la A. Pr. Al. (Descrubidor de la America primar Almirande) moet van lateren tijd zijn. Het woord America *) was toen nog zoo i) Terra America het land van Americus Vespuccius, die later voor den ontdekker is gehouden. Downloaded from Brill.com04/06/2021 01:09:27AM via free access WAAR COLUMBUS BEGRAVEN LIGT. 5 5 5 goed als onbekend en kwam eerst een eeuw later ook in Spanje in gebruik. In geen geschrift werd het eiland ooit anders dan Isla Espaniola en het vaste land Las Indias genoemd. Ook omtrent de ligplaats van het graf is men het niet eens en moet de gevonden urn volgens de Spanjaarden dan ook zijn van D. Christoph Columbus, zoon van den Admiraal D. Diego, broer van den Admiraal D. Luis, en neef van den ontdekker. Aan dezen, militair geweest zijnde, is het vinden van een kogel bij het gebeente ook minder vreemd. Hoe het ook zij, voor de beweringen der Dominicanen valt veel te zeggen tenminste de Spanjaarden kunnen die m.i. niet voldoende weerleggen. Ook is mij niet bekend wat dan wel op de kist vermeld stond die de Spanjaarden als inhoudende de ware over- blijfselen van Christoph Columbus naar Havana hebben overgebracht. Er is over de quaestie reeds veel geschreven, doch het resultaat is niet anders dan dat de Spanjaarden zoowel als de Dominicanen volhouden, dat zij in het bezit zijn der ware overblijfselen van Chr. Columbus. De Domini- canen hebben die dan ook in een prachtig Mausoleum in de kathedraal te S*°. Domingo bijgezet. Wat nu betreft het stukje hout, dat afkomstig moet zijn van het kruis, dat op het graf van Columbus heeft gestaan, valt, zooals men uit verschillende schrijvers, over den bouw van de kathedraal en het tijdstip, waarop de overblijfselen van Columbus uit Spanje naar S*°. Do- mingo werden overgebracht, ook niet met zekerheid te zeggen of bedoeld kruis op het graf van Columbus ge- staan heeft of wel, zooals ook beweerd wordt, geplant werd bij de eerste steenlegging van de kathedraal. De bouw der kathedraal werd in 1514 begonnen en kwam gereed in 1540. Volgens de Kon. Academie van Wetenschappen te Madrid werd door Keizer Karel V in 1537 het besluit bekrachtigd, waarbij het graf van Colum- bus zou worden overgebracht naar S*°. Domingo ombij ge- zet te worden in het hoofdkoor. Dit werd in 1539 nog- Downloaded from Brill.com04/06/2021 01:09:27AM via free access 5 5 6 EEN NEDERL. GETUIGE OMTRENT DE PLAATS, maals bevestigd en uit geschriften van den toenmaligen bisschop van de kathedraal te S*°. Domingo moet ge- bleken zijn, dat daaraan in 1540 uitvoering is gegeven. Deze bisschop meende echter, dat een graf in het hoofd- koor alleen aan heiligverklaarden mocht worden toege- staan, waarom hij het daarbuiten een plaats aanwees. Eerst later op bevel van D. Luis. Colon, werd het naar het hoofdkoor overgebracht. Uit het bovenstaande zou men moeten opmaken, dat bedoeld kruis niet op het graf van Columbus heeft ge- staan maar wel bij de eerste steenlegging der kathedraal kan geplant zijn. Is echter de andere bewering juist, dat de laatste over- blijfselen van Columbus reeds in 1530 werden overge- bracht, toen de kathedraal nog lang niet gereed was, dan kan de mij gedane mededeeling door een der geestelijken te S*°. Domingo juist zijn." Wie de geschiedenis van Columbus leest, stuit aan het einde immer weder op de mededeeling, dat hier op aarde voor hem slechts onrust was beschoren en dat na zijn verscheiden voor zijn stoffelijk overschot evenmin rust was weggelegd. Die mededeeling wordt steeds weer nageschreven of in min of meer ge wijzigden vorm overgenomen uit Colum- bus' levensbeschrijving van Washington Irving (Ned. vertaling van 1829, IV blz. 59), die nog niet vermoeden kon hoe het nageslacht de plaats van dat stoffelijk over- schot wijzigen zou en er ten slotte een twistpunt van zou maken. Volgens Washington Irving stierf Columbus op Hemel- vaartsdag 1506 en werd zijn lijk in het klooster van San Francisco te Valladolid ter aarde besteld, waarna het in 1513 werd overgebracht naar het Carthuizer klooster van Los Cuevas te Sevilla. In 1530, volgens anderen in 1536 of 1540 werd zijn gebeente met dat van zijn zoon Diego vervoerd naar Santo Domingo (zijn geliefde Hispaniola, waar hij bij testament had begeerd te rusten) en na den afstand van Downloaded from Brill.com04/06/2021 01:09:27AM via free access WAAR COLUMBUS BEGRAVEN LIGT. 5 5 7 de Spaansche bezittingen aan Frankrijk in 1795, groef men de overblijfselen, welke men voor die van Columbus hield weder op en bracht deze op 13 Januari 1796 met groote statie naar de hoofdkerk van Cuba. Doch toen ook de „parel der Antillen" aan Spanje werd ontnomen (in 1898) is het stoffelijk overschot van Columbus weder naar Europa gebracht. Is dit inderdaad zoo? Met andere woorden: heeft men in 1795 werkelijk de overblijfselen van Columbus van Santo Domingo naar Havana ge- bracht of die van een zijner verwanten? Hierover bestaat tusschen Spanjaarden en Domini- canen verschil van gevoelen en de mededeelingen van den Heer Harken hebben dus het belang van een getuige- nis omtrent de opvattingen, die daaromtrent in 1877 te Santo Domingo bestonden. Downloaded from Brill.com04/06/2021 01:09:27AM via free access 
work_hn2h6soglzgmdps6glzrz7ds2i	----	What the public thinks it knows about science: Popular culture and its role in shaping the public's perception of science and scientists: EMBO reports: Vol 4, No 12 Skip to Article Content Skip to Article Information 
work_hnlw7k53szb7zmcdfuvoswshje	----	Participant behavior and content of the online foreign languages learning and teaching platform Computers in Human Behavior 50 (2015) 476–488 Contents lists available at ScienceDirect Computers in Human Behavior journal homepage: www.elsevier.com/locate/comphumbeh Participant behavior and content of the online foreign languages learning and teaching platform http://dx.doi.org/10.1016/j.chb.2015.04.028 0747-5632/� 2015 Elsevier Ltd. All rights reserved. ⇑ Corresponding authors. Tel.: +1 (813) 974 5658; fax: +1 (813) 974 3539 (A.A. Volinsky). E-mail addresses: ilya@i2istudy.com (I.V. Osipov), volinsky@usf.edu (A.A. Volinsky). Ilya V. Osipov a,⇑, Anna Y. Prasikova a, Alex A. Volinsky b,⇑ a i2istudy.com, 2829 Baker St., San Francisco, CA 94123, USA b Department of Mechanical Engineering, University of South Florida, 4202 E. Fowler Ave., ENB118, Tampa, FL 33620, USA a r t i c l e i n f o Article history: Keywords: Foreign language Predefined content Learning tools Social network Open educational resources Distance learning a b s t r a c t The paper describes the results of an experiment in building an online platform for learning foreign lan- guages that allows people to teach their native tongue without being professional instructors. This plat- form allows audio and video connections between the participants and includes an interface with pre- defined interactive lessons. The content is presented in the form of bilateral scenario cards. Each of the participants (the student and the teacher) follows their own version of the cards in the video chat. For each card presented to the student there is a corresponding card for the teacher containing step-by-step instructions for reading the text out loud or asking the student a question and showing the correct answer. The student can use prompts and translations if s/he does not understand the teacher. The tea- cher does not have to prepare for the lessons, because the system contains all the necessary teaching materials. This system allows separating the lesson material from the teacher. Thus, the teacher can be any native speaker. The main constituents of content development are: dual language prompts, repeti- tion, comprehension, and a dictionary. Four levels are implemented: preschool, beginner, intermediate, and advanced. Four languages are currently supported: English, Spanish, German, and Russian. � 2015 Elsevier Ltd. All rights reserved. 1. Introduction The paper describes a newly developed open educational resource for learning foreign languages from native speakers, called i2istudy. The learning is achieved by using pre-defined edu- cational materials through live online interaction between the tea- cher and the student. This is why the system is called i2istudy, ‘‘eye to eye”, based on the peer2peer principle (Benta, Bologa, & Dzitac, 2014; Hsu, Jub, Yen, & Chang, 2007; Osipov, Nikulchev, Volinsky, & Prasikova, in press; Osipov, Volinsky, & Grishin, 2015). This tech- nology was constructed on a step-by-step methodology of learning a foreign language, patented in the US (Osipov & Prasikova, 2013). Based on the Ambient Insight study, the worldwide demand for English online education has reached $1.31 billion in 2011, and has been growing by 22% annually, reaching $2.58 billion in 2016 (Adkins, 2014). The English language will account for 61.7% of the market in 2016. Thus, the overall foreign language online mar- ket will be $4.18 billion. According to the same study results, which were presented on the website of the International Consultants for Education and Fairs (2012), the main trends lead- ing to such substantial growth are: 1. Consumer demand for online foreign language education products. 2. Recent explosive growth of mobile subscription value-added services in the foreign languages area. 3. Digitization efforts speared by the leading academic institutions. 4. Digital migration of the international publishing houses. 5. Lack of offline language teachers (World wide web, 2012). This study also shows that there is a growing demand for lan- guage courses from the middle class of the growing economies in the Southeast Asia, India and Eastern Europe due to the unprece- dented growth of the smart phone and tablet markets. Global trends affected by the popularity of online foreign languages learn- ing have been taken into account during the development of the technical system (Duman, Orhon, & Gedik, 2014). The shortage of professional native speaker teachers has been reflected in the sys- tem content development. As a result, bilateral cards have been developed for the student and the teacher, allowing any native speaker to teach his or her mother tongue to another person with- out special teaching skills or knowing the foreign language. This is http://crossmark.crossref.org/dialog/?doi=10.1016/j.chb.2015.04.028&domain=pdf http://dx.doi.org/10.1016/j.chb.2015.04.028 mailto:ilya@i2istudy.com mailto:volinsky@usf.edu http://dx.doi.org/10.1016/j.chb.2015.04.028 http://www.sciencedirect.com/science/journal/07475632 http://www.elsevier.com/locate/comphumbeh Table 1 The list of the leading countries from which the users have registered with the corresponding number of the registered users. Abbreviation Country Number of users UA Ukraine 7754 RU Russian Federation 6204 PK Pakistan 5715 KZ Kazakhstan 3255 VE Venezuela, Bolivarian Republic of 3124 PH Philippines 2075 BY Belarus 2035 EG Egypt 1526 MX Mexico 581 MD Moldova, Republic of 479 US United States 466 TR Turkey 398 MA Morocco 395 DE Germany 338 CZ Czech Republic 255 FR France 231 GB United Kingdom 215 CO Colombia 192 AM Armenia 175 KG Kyrgyzstan 161 ES Spain 158 IN India 150 GE Georgia 149 IT Italy 148 SA Saudi Arabia 143 DZ Algeria 138 AZ Azerbaijan 134 AE United Arab Emirates 130 BO Bolivia, Plurinational State of 122 RO Romania 118 EE Estonia 104 IL Israel 88 UZ Uzbekistan 88 PL Poland 88 LV Latvia 81 TJ Tajikistan 79 SK Slovakia 57 BE Belgium 56 CN China 55 HU Hungary 52 GR Greece 52 Other 1286 I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 477 the main competitive advantage of the developed system. The state-of-the-art in social networking language education, along with the available commercial systems with a short description are presented in Appendix A. However, there is no other system, allowing two people to have a meaningful conversation in a foreign language without knowing a common language, except for the i2istudy. In other words, i2istudy allows all native speakers, not neces- sarily professional teachers, to teach their native language in a net- work setting (Buga, Căpeneat�ă, Chirasnel, & Popa, 2014; Vick, Crosby, & Ashworth, 2000; Zolfaghar & Aghaie, 2012). Every user is the teacher and the student in this system at the same time. As a student, the person learns foreign languages, and as a teacher s/he teaches others their native language (Howatt, 2006). The sys- tem is based on the latest available web technology (Girgin, 2011; Table 2 Newly registered users’ distribution by the native language. Month 01.12–31.12 01.01–31.01 01.02–28.02 01.03–31.0 New users by languages Russian language, users 1069 3671 191 94 English language, users 178 746 68 25 German language, users 15 22 3 3 Spanish language, users 17 43 12 3 Lee & Markey, 2014). Table 1 shows the list of the leading countries from which the users have registered in the i2istudy system, con- firming the interest in online foreign language education in coun- tries with developing economies. Users have registered from a total of 145 different countries, and the system has over 55,000 users as of April, 2015. 1.1. Research objectives The primary research objective is to determine if two people unfamiliar with each other, one acting as a teacher, and the other acting as a student could jointly follow the pre-defined lesson sce- nario using the step-by-step peer-to-peer system (Koa, 2012; Renié & Chanier, 2006). During the experiment, over 40,000 users regis- tered in the i2istudy system. People registered as a result of adver- tising placed in the Facebook social network. The advertisement suggested registering in the i2istudy system and learning foreign language for free in exchange for teaching one’s native language. This advertising was displayed in English and Spanish-speaking countries, Germany and Russia. As a result, 39,729 users registered in the system over the course of five months, and 28,180 users wanted to learn English, 8711 users wanted to learn Spanish, 1028 Russian, and 1791 German. Herewith, 14,943 users said that their native language is English, 20,673 Russian, 204 German and 3843 Spanish (Table 2). After registration the users were asked to select the role of stu- dent or the role of teacher and select a potential partner to start a dialogue, based on the step-by-step instructions. In the system, each phrase is displayed for the student and for the teacher with additional comments. The teacher and the student can see and hear each other in real time. They also see synchronized teaching materials. In addition, there is a chat window, which allows both parties to type instant messages to each other (Farr & Riordan, 2014; Kim, 2014; Kötter, 2001). About 20% of the registered users fully participated in the project (Table 3). The rest were intimi- dated by the other party, or rejected invitations of the other users to conduct the lessons. Moreover, some of the registered users could not properly configure the hardware (the camera and the microphone) for the live video and audio feed. The system currently includes four levels: (1) Preschool; (2) Beginner; (3) Intermediate and (4) Advanced. Each user was given an option to select the foreign language level and the specific les- son theme. The most popular lessons for August 2014 are listed in Table 4. Thus, it is clear that the most popular level is the Beginner (8 lessons), followed by the Preschool (5 lessons), Intermediate (5 lessons), and Advanced (2 lessons). 1.2. Learning and teaching principles The main learning and teaching principles of the i2istudy are: (1) Adults can learn like children (Estes, 2014). This means that the language learning materials were created as a game. Adults, similar to children, learn faster when information is logically presented in small portions, with increasing level of complexity, and most importantly, with pictures or video 3 01.04–30.04 01.05–31.05 01.06–30.06 01.07–31.07 01.08–31.08 746 2186 3220 4329 1762 295 978 4005 5582 2539 6 22 29 38 14 79 760 903 1644 372 Table 4 The most popular lessons for August 2014. Students count Sessions count Lesson title Level 555 1881 i2istudy: Teach your native language! 2 407 1328 Nice to meet you! 2 299 1243 i2istudy: Find Friends All over the World 3 244 904 Hello! 1 208 670 If you get a job 3 195 358 The best day of the year 2 194 502 What time is it? 2 158 485 My family 1 136 402 Describing your city 3 103 185 At the airport 2 88 223 Steak: How to Cook it Yourself 3 88 341 i2istudy: Find Friends All over the World 4 79 205 At the airport 1 63 182 Have you ever. . . 4 60 86 At a party 2 59 113 Michael Jackson 3 46 114 On the airplane 1 35 69 Clothing store 1 35 72 Computers 2 31 52 At the Supermarket 2 Table 3 Newly registered users’ involvement in the learning/teaching process. Month 01.12–31.12 01.01–31.01 01.02–28.02 01.03–31.03 01.04–30.04 01.05–31.05 01.06–30.06 01.07–31.07 01.08–31.08 Involvement Number of just registered users who made a call in period 93 734 61 15 251 1026 2037 2072 722 Percent of just reg. users who made a call in period 7 16 22 12 22 26 25 18 15 478 I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 (Codreanu & Combe Celik, 2013; Korkmaz, 2013). The aim is to attract people to spend 20–30 min at a time playing a computer game using i2istudy (Domínguez, Saenz-de- Navarrete, De-Marcos, & Fernández-Sanz, 2013). At the same time they are reaching their ultimate goal of learning a for- eign language. (2) No homework. Predefined learning materials are designed for the student to learn during the lesson, without home- work, based on multiple repetitions (Erena & Henderson, 2011). The system allows better memorizing of new words, including their pronunciation. The student reads and hears the new word from the live native speaker, learning all of its possible uses. The student can ask the teacher any ques- tion during the lesson to better memorize the word and its use in oral speech (Gurkan & Yuksel, 2012). (3) No emphasis on grammar. The main task is to learn the spo- ken language. The lesson is structured to allow the student to learn grammar while communicating with the teacher, like children learn their native language (Estes, 2014). (4) All types of cognition. Three types of cognition are engaged: visual memory (pictures and video), auditory memory (direct live communication with the teacher) and motor memory (written tasks using the keyboard to type words in the chat). Typically, individuals are stronger in one type of cognition. Utilizing all types of cognition allows for learn- ing the material more rapidly (Rinaldi, 2014). To facilitate this process (1) a special methodological system was designed, including (2) a unique interface, which allows users to understand each other without speaking a common language. The system was developed based on (3) initial testing using com- mon people as students and teachers, along with professional for- eign language teachers. Based on the numerous tests, (4) four levels of language learning were identified, which the user is cap- able to determine individually without additional testing. Each of these four elements of the process is described further in detail. 2. Methodological system description Despite the wide variety of different online learning systems, none of them combine live audio and video communication with unique teaching materials. The list of the currently available com- mercial systems is presented in Appendix A. The i2istudy platform was designed to facilitate the teaching process by native speakers who are not experts in teaching. In other words, while people can speak their native language, they don’t know how to teach other people. Professional foreign language tutors developed two-way cards for the student and the teacher. While communicating using video and audio live feed (Caws, 2013), the student and the teacher fol- low their own version of the cards. Online interaction between the teacher and the student is facilitated by the interactive materi- als and prompts, presented in the language that the person under- stands (Monteiroa, Carrillo, & Aguaded, 2010). Cards follow a certain sequence, based on the lesson topic. Imagine a live dialogue between the teacher and the student. What would the teacher ask, and what would be the student’s response? The lesson is logically structured this way. It also contains a pre-defined set of instruc- tions for the teacher (Monteiroa et al., 2010). The teacher should follow these instructions, but not strictly, making the lesson more interesting for the student. However, the lesson should follow the main theme. There is no homework in the system, so the student learns the material during the course of a lesson. This positive learning experience makes them want to come back and learn more (Tal & Yelenevskaya, 2012). 2.1. Sequence of cards Teaching materials are presented as a sequence of information cards with text and pictures or video. The sequence of cards reflects the whole educational process: 1. Introduction and getting to know each other 2. Introductory questions 3. New material 4. Repetition 5. Oral and written tasks 6. Games, dialogues and quizzes 7. Summarizing the lesson and saying good bye to the student After the lesson the student takes a multiple choice test based on the newly learned material without the teacher. An example where the teacher speaks English, and the student speaks Spanish is found in Fig. 1 that shows an English lesson called ‘‘If you get a job” at the intermediate level, the reading task, card 22 out of 30. Cards represent a logical sequence of the whole lesson, dividing it into small steps, i.e. word, sentence and small text. Based on this step-by-step process, a non-professional teacher is I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 479 able to conduct a lesson by reading the instructions written on each card in the black font (Fig. 1(a)). 2.2. Card description Each lesson consists of 25–30 cards and lasts about 20–30 min. Cards are logically connected, reflecting the theme of the lesson. Each card presents 1–5 sentences, accompanied by an image or video related to the text for its visualization. Both the teacher and the student see the lesson for the first time. The teacher is expected to grasp the card in a matter of seconds and read the task out loud. This is why the text should be short, accurately reflecting the task. In a sense, this is a task for both the teacher and the stu- dent, since both see the same card; however, they see their own version (Fig. 1). 3. Interface description 3.1. Synchronized teaching materials The i2istudy technological platform is based on the two ways of presenting information: Fig. 1. English lesson called ‘‘If you get a job”: (a) Teacher interfa 1. Live audio and video connection between the teacher and the student. 2. Synchronized teaching materials displayed to the teacher and the student. The learning process consists of establishing audio and video connection between the teacher and the student (the process of finding the teacher and the student is outside the scope of this paper). The teacher and the student are presented with the same card, but it contains customized information. The teacher sees the materials as an aid to the teaching process. The student sees the materials needed for the learning process. The teacher con- ducts the lesson by switching the cards (gray arrows on the card in Fig. 1(a)), which are also switched on the student’s screen (Fig. 1(b)). 3.2. Interface hints for the student The teacher communicates with the student based on the pre- defined teaching materials, adding his or her own comments as necessary (Yousefi, 2014). These predefined teaching materials allow the teacher to stay on the topic of discussion. If the student ce in native English; (b) Student interface in native Spanish. Fig. 2. Writing practice card displayed for: (a) the teacher and (b) the student. Fig. 3. Words learning card displayed for: (a) the teacher and (b) the student. 480 I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 doesn’t understand the teacher, the hints can be turned on by pressing the ‘‘Show task” button (Fig. 2(a)), which displays the phrase pronounced by the teacher in the foreign language to the student. If the student still does not understand, the teacher can display the translation of the phrase by pressing the ‘‘Translate task” button (Fig. 2(b)). 4. Initial system testing 4.1. Template phrases creation All template phrases for the student and the teacher, like description of a game, manners, hints, the need to encourage the student, and so on, have been tested many times to make sure that both the teacher and the student understand exactly what to do (Laborda, 2009). Tests showed that if a person sees a card for the first time, he or she is capable of reading one or two short sen- tences. Let’s consider the template example shown in Fig. 3(a). GRASSHOPPER Please repeat it 3 times! GRASSHOPPER... Now write it in the chat. This template is the result of numerous tests that demonstrate that it works. After reading the template, the teacher understands that he or she is supposed to teach the word ‘‘grasshopper” to the student, which the student is supposed to repeat three times and then write it in the chat window. The initial version was: ‘‘Grasshopper – please repeat it 3 times and write it in the chat”. While it looks shorter, the teacher simply read this text, but the student did not repeat the word and did not write anything in the chat. As a result, the percentage of the material learned by the student was quite low. Writing the word to be learned using caps, adding the second word ‘‘GRASSHOPPER. . .” followed by the ellipsis produced the desired result of the teacher learning the word with the student. Tests showed that the student strictly Fig. 4. Hello card displayed for: (a) the teacher and (b) the student. Fig. 5. Memory game displayed for: (a) the teacher and (b) the student. I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 481 follows the teacher’s instructions. Even if the task is displayed in front of the student, he or she will conduct the task only when asked by the teacher. Although the task of repeating the word three times is written in the student’s native language (Fig. 3(b)), the stu- dent repeated the word only one time. After changing the text for the teacher, the student started to repeat the word three times and write it in the chat. It took about 20 test lessons to tweak all template phrases and captions. These tests were conducted with people who saw the i2istudy system for the first time. Both the student and the teacher were sitting in separate rooms, watched by the developers. Only after the tasks were understood by both the teacher and the stu- dent, this testing was finished. The tests involved professional for- eign language teachers and students from the Linguistics University of Nizhny Novgorod, Russia. 4.2. Lesson duration There has to be a clear distinction between the on-line and the off-line lessons. Tests showed that it is hard for both the teacher and the student to study for more than 30 min at a time. The ideal online lesson duration is 15–20 min. Initial lessons contained 100 cards and 20 new words to be learned. The lesson lasted for 1.5– 2 h, depending on the paste of the teacher and the student profi- ciency in the foreign language. As a result, both participants got tired, losing the desire to repeat this experience. The lessons were then shortened to 45 cards, however, further tests showed that even 45 min is too long for on-line live human interaction. This is why 20–30 cards are optimal. If the teacher is following the cards, without adding any comments and tasks, at the beginner’s level the lesson takes 20 min (since the tasks are simple), and 30 min at the advanced level. 5. Four levels of language learning Based on the predefined materials, it is possible to teach foreign language from the zero preschool level. Students can continue at the beginner’s level, improve to the intermediate level, and then progress to the advanced level. The user determines the level indi- vidually by reading the level descriptions: Fig. 6. In one word game displayed for: (a) the teacher and (b) the student. Fig. 7. Memorize the picture game displayed for: (a and c) the teacher and (b and d) the student. 482 I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 Preschool – I have never learnt this language, can’t read, don’t know a word. Beginner – I can read, know the basic words and expressions. Intermediate – I have a reasonable vocabulary and understand written text, but I am not very good at understanding oral speech. Fig. 8. Last summary card displayed for: (a) the teacher and (b) the student. Table 5 Level-based questions and answers. Beginner level Intermediate level Advanced level Who discovered America: Michael Jackson was really fond of this cartoon series. He even wrote two singles for it. What is it? Benjamin Franklin became a vegetarian in order to spend the extra money he saved... – Vasco da Gama, – The Simpsons – on books, – Marco Polo, – Futurama – on milk, – Christopher Columbus? – The Flintstones – in his old age? Answer: Answer: Answer: Christopher Columbus The Simpsons on books I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 483 Advanced – I have a large vocabulary and experience in com- municating with native speakers, but lack speech practice. Multiple tests showed that people can determine their level of foreign language proficiency without additional testing. 5.1. Examples of the tasks at different levels As mentioned earlier, the lessons were created by imagining the live dialogue with the student. Based on this idea, the sequence of cards was designed, reflecting the whole educational process, using all the steps outlined in Section 2.1. Following the lesson flow, specific examples of the tasks are given that get more complex, depending on the level. Preschool level description is outside the scope of this paper. Tasks development for the students that can’t read is fundamentally different and is the subject of another publication. 5.1.1. Introduction (1 card) Introduction (1 card) is the same for all levels, where the partic- ipants introduce themselves and get to know each other. Initial testing showed that the teacher tried to continue the lessons them- selves by coming up with their own questions, not having a clue what to do next, until the following sentence was added: ‘‘After the answer click the next slide” (Fig. 4(a)). Before this change, the student continued to see the same card (Fig. 4(b)). A simple comment provided for the teacher solved this problem. The teach- ers were quite surprised to see that all the teaching aids have already been created for the whole lesson. 5.1.2. Memory game (2 cards) The student is supposed to remember the learned words based on the pictures shown. The teacher shows five pictures, corresponding to the learned words (Grasshopper in Fig. 3, for example) in sequence without displaying the words. It is desirable to choose words that are easy to remember when looking at the corresponding picture. The objective is to repeat the newly learned vocabulary. Memory game from the beginner level lesson ‘‘At the airport” is shown in Fig. 5 as an example. The teacher sees the cor- rect answers, shown in Fig. 5(a), so that the teacher does not have to remember them. The student only sees the picture shown by the teacher in Fig. 5(b) with the understandable instructions in the native language. 5.1.3. Word search game for the beginner level (1 card) The student is supposed to find the learned words hidden in the sequence of letters. The main objective at the beginner level is to learn and repeat the new words. The main task at the intermediate level is to learn the new words and repeat the old ones. For exam- ple, in the lesson ‘‘Making pancakes” the teacher’s card contains the following text: 1. wEGGwo 2. fGLASSt 3. froBOWL 4. CRACKeq 5. FRYiekk Student’s card: 1. WEGGWO 2. FGLASST 3. FROBOWL 4. CRACKEQ 5. FRYIEKK Table 6 Example of the multiple choice student test at the end of the lesson ‘‘At the supermarket”, beginner level. 1 What is the title of our lesson today? 1) At the supermarket 2) At the cash-desk 3) Buying food Answer: 1 2 Choose the correct answer! BASKET. It is: 1) Precio 2) Pan 3) Cesta Answer: 3 3 Choose the correct answer! MINERAL WATER. It is: 1) Agua mineral 2) Jugo 3) Leche Answer: 1 4 Choose the correct answer! TO PAY. It is: 1) Pagar 2) Comprar 3) Agarrar Answer: 1 5 Choose things that you can buy at the supermarket: 1) cheese 2) meat 3) dog 4) juice 5) table 6) basket 7) apple 8) computer 9) fish Answers: 1, 2, 4, 7, 9 6 What is wrong? PORK. This is: 1) meat 2) beef 3) food Answer: 2 7 Complete this sentence: At a cash desk you can pay by cash or ______. 1) money 2) by credit cart 3) not pay Answer: 2 8 Complete this sentence: ________ is made of milk. 1) fruit 2) bread 3) cheese Answer: 3 9 Complete this sentence: Fish has more calories than _____ 1) oranges 2) pork 3) beef Answer: 1 10 Test result is displayed. 484 I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 In one word game for the intermediate level (1–2 cards) The task is to describe three pictures using only one word. The answer should be from the practiced vocabulary. This simple task is often used at the intermediate and advanced levels. Ironically, Table 7 Successful connections, based on the duration and quantity for each month. Month 01.12–31.12 01.01–31.01 01.02–28.02 01.03 Real connects Successful connects duration, min 151 10,835 5021 3645 Number of successful connects 19 1228 492 131 educated people with high language proficiency perfectly know advanced vocabulary and complex expressions, but don’t know simple words of the everyday life, such as ‘‘electric outlet”, or ‘‘a plumber”. Therefore, such words are often used in the advanced level lessons. For example, Fig. 6 shows the lesson ‘‘Who are vege- tarians?” at the advanced level, where millet, wheat and buck- wheat are described with one word, ‘‘grains”. 5.1.4. Memorize the picture game for the advanced level (2 cards) At the advanced level the tasks should be interesting, since the student already understands the teacher and can ask questions if they don’t understand something. The objective here is more com- plex than just learning the new words. This game develops atten- tion, and is also entertaining for the people who are already fluent in a foreign language. The task is to remember all the picture details and then read the description without seeing the picture, and detect any discrepancies in the description. For example, the lesson ‘‘Who are vegetarians?” shows the picture and the descrip- tion in Fig. 7. As already noted, people fluent in a foreign language can easily speak the language, but are struggling to repeat the text from memory or cannot hold their attention for too long, since other mental processes are involved (Ilgaza, Altunb, & As�karc, 2014). It is important to use simple words for the distorted descrip- tion, like describing color, size and specific objects, so that the answer would immediately come to mind. 5.1.5. The quiz (1–2 cards) The quiz contains intelligent questions, based on the lesson theme. The student should always have three options for the answer, so that the student does not get intimidated by not know- ing the answer. Typically, a person is capable of selecting the cor- rect answer out of three options. The question can be quite complex and interesting, but the actual language implementation depends on the level (Wang, 2008). Example of the level-based questions and answers are given in Table 5. Pictures in the quiz should reflect the question rather than the answer. For example, the question about Benjamin Franklin should show his picture, and not the picture of the books (Table 5). This exercise should encourage the student to think, and the picture should not provide an obvious clue. 5.1.6. Summary and good bye (1 card) The last card is the same at all levels. The teacher is finishing the lesson and informing the students to take the test at the end of the lesson on their own (Fig. 8). After the lesson the student takes a multiple choice test consisting of 9 questions without the teacher to repeat what was learned and to assess how the material was learned. The student gets a grade. Passing the test is an important psychological step, since the student realizes what s/he actually learned (Laborda, 2009). A sample test at the beginner level is shown in Table 6. These are examples of the specific tasks, while the system con- tains many more tasks and examples. However, the lesson specific steps have been clearly outlined using the discussed examples: introduction and getting to know each other; introductory ques- tions; new material repetition; oral and written tasks; games, dia- logues and quizzes; summarizing the lesson and saying good bye –31.03 01.04–30.04 01.05–31.05 01.06–30.06 01.07–31.07 01.08–31.08 6202 37,037 47,140 54,974 38,202 587 3093 3868 3763 2661 Table 8 System leaders, based on the teaching time spent in the system. Successful tutor’s connects duration, min Duration, min User ID Name Email 352 19,131 L. M. l. . .@mail.ru 298 18,418 j. b. d. . .@outlook.fr 277 15,433 K. L. h. . .@mail.ru 276 18,573 H. A. 260 28,516 j. s. m. . .@gmail.com 254 391 A. p. . .@yandex.ru 216 22,144 S. R. s. . .@gmail.com 213 20,378 R. K. m. . .@gmail.com 200 1552 ب.ح p. . .@yahoo.com 145 29,776 A. S. a. . .@yahoo.com 137 25,718 Z. R. z. . .@hotmail.com 130 17,253 R. M. m. . .@hotmail.com 126 26,034 L. s. . .@yahoo.com 122 41,271 A. a. . .@mail.ru 122 20,179 D. V. v. . .@mail.ru 105 40,693 E. r. . .@mail.ru 98 25,965 A. M. a. . .@yahoo.com 98 40,252 f. s. f. . .@yahoo.com 95 457 A. V. b. . .@yahoo.com 94 17,364 A. H a. . .@gmail.com I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 485 to the student. All lesson materials have been specifically designed for the i2istudy project and are unique. 5.2. Research results As a result of the experiments conducted, two strangers that met in the i2istudy system for the first time can have a dialogue in a foreign language, effectively helping each other learn (Miladinovic and Markovic, 2013). Now imagine that you are meet- ing this person for the first time. What would you talk about? The main achievement of the i2istudy system is allowing two strangers to carry on a conversation for 15 min in a foreign language. Most users had no problems talking to a stranger online (Kim, 2003). This conclusion is based on the average lesson duration registered by the system. The end of the lesson is based on all different regis- tered scenarios, from completing the task to closing the browser. Table 7 lists successful connections in minutes for each month. The average lesson duration was 11.94 min (189,207 min, or 3153 student-hours divided by the 15,842 number of successful connections). At a first glance, this is not an outstanding result. However, it shows that with the help of the i2istudy system two strangers can carry on a conversation in a foreign language for 12 min. Besides, the average lesson duration increased to 14.35 min in August 2014. Also, very active loyal users, who spent many hours teaching the same lessons, appeared. Table 8 lists the most active users, based on their teaching duration for August 2014. 6. Conclusions In the i2istudy system the teaching methodology is indepen- dent of the individual’s knowledge. Thus, any person without pro- fessional teaching skills can be a teacher in the i2istudy system. The only requirement is the ability to read and communicate in the native language. Based on the hints, even a student at the pre- school level can communicate with a native speaker. The system interface allows adding any number of languages by simply trans- lating the existing lessons. There is no need to recreate new les- sons. The system currently supports English, Russian, German and Spanish languages. All the user needs to do is select the native language and the language to be learned, and learn from native speakers. Recalling the study mentioned in the beginning, the following foreign language resources are currently available online: 1. Interactive language resources for self learning 2. Digital textbooks 3. Individual lessons using Skype 4. Mobile educational applications 5. Mobile value-added services All these models have both advantages and serious drawbacks, such as lack of the live interaction and the guarantee of the quality of teaching materials. The described platform allows combining high quality lessons, since these lessons have been custom devel- oped specifically for the platform by the professional teachers and live human interaction with the native speaker. The system also facilitates individual tutoring, the most expensive service in the World, without involving real exchange of money, based on the language training barter between the teacher and the student. It is clear that the system sparks an interest in a large number of the users, allowing them to carry on a conversation in a foreign language. This experience enhances communication and spoken foreign language skills. The authors concluded that the system should be developed further to better facilitate spoken language learning. Acknowledgements The authors would like to thank the i2istudy.com team for their dedicated efforts: Mihail Denisov, Evgeniy Vishnevskiy, Irina Malisheva, Lyudmila Balabanova, Franziska Rinke and others. Special thanks go to the professional foreign languages teachers, who participated in the system tests: James Black, Jeremy Burrier, Margarita Wishnewskaya, Ekaterina Vinichenko, Lidiya Titkova, Margarita Smirnova, and also the students of the Linguistics University of Nizhny Novgorod: Tatiana Lipina, Darya Yurina, Maria Makushova, Nikolas Neiro, Jose Rodriges, Anastasiya Sidorova, Maria Fokina and Daria Makarova. The authors thank Victor Peppard from the University of South Florida for the critical review of the manuscript. Appendix A. Online language educational systems and mobile applications The following projects, listed in the alphabetical order, compete with the i2istudy system, offering different and similar functions. The main difference of the i2istudy is the live spoken language practice using audio and video feed with the synchronized cards to aid the conversation. The system is based on the volunteer teachers, who don’t charge for the lessons, but still participate in the spoken language exchange. Besides, i2istudy is an integrated solution, which does not use external resources, programs and software. The projects most closely related to the i2istudy are: Italki.com, Fluentify, Myngle, Colingo, Verbling and Lingueo. Other projects either don’t allow users to see and hear each other, or use it as a secondary function and an additional service to other teaching methods. For example, the market leader Busuu, which has about 50 million users, allows establishing video connection between the users in the chat, but does not define the roles of the participants as the teacher and the student, does not offer teaching materials, and does not contain any assessment tools at the end of the conversation session. Italki only acts as the market- place for the teacher and the student to find each other, and then employs Skype or other voice over IP software. Fluentify, Myngle, Colingo, Verbling and Lingueo offer only individual tutoring, but only for money, based on the pre-defined schedule. In all fairness, 486 I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 it should be mentioned that Verbling allows free lessons, but cur- rently targets small groups and individual tutoring with profes- sional teachers. The authors were not able to find another project targeting non-professional teachers and allowing them to conduct lessons based on the synchronized bilingual cards for free, com- bined with the video chat. Besides, no other project uses the time banking principle. A.1. Current online projects Babbel (http://www.babbel.com/) offers self-study lessons, based on reading and writing exercises, listening and pronuncia- tion. Proper pronunciation is the key Babbel’s concept, which uses real time speech recognition, thus the users get instantaneous feedback of their success. Babbel also allows connecting with other users from foreign countries. There is user’s profile, bulletin board and internal messages (https://en.wikipedia.org/wiki/Babbel). The system is premium with the full access cost between $6.65 and $11.95 per month (http://techcrunch.com/2009/11/10/bab- bel-dumps-freemium-for-language-learning-it-just-doesnt-work/, http://techcrunch.com/2010/06/23/babbel-introduces-speech- recognition-to-aid-language-learning/ and http://techcrunch.com/ 2009/11/10/babbel-dumps-freemium-for-language-learning-it- just-doesnt-work/). The system has about 20 million users. Busuu is one of the largest social networks for learning lan- guages. Through online apps, the system offers free and premium audio-visual courses in 12 languages. The users can enroll to study one or more languages. The study materials for a language are typ- ically broken down into around 150 units. Units consist of multi- ple-choice questions, speaking and writing assignments. Users act as both students and tutors, correcting each other’s work. They can converse via a chat window, an audio or a webcam con- nection. Grammar units and some of the multimedia functions, such as video units, voice recordings, and podcasts, are available only to premium members (https://en.wikipedia.org/wiki/Busuu). The system has more than 50 million users globally (https:// www.crunchbase.com/organization/busuu). This is a freemium product. Colingo (http://colingo.com/) offers small groups (3–5 stu- dents) learning through video calls, and is based on Google Hangouts. This is a premium service with a free 7 days trial period. After the 7 days free trial, there is a $50 per month subscription, which offers students unlimited access to the platform. Those look- ing for more personalized, one-on-one instruction can opt into the ‘‘Personal Teacher” plan, which costs $150 per month (http://tech- crunch.com/2013/11/20/with-2-4m-from-atlas-500-startups-more- colingos-live-online-school-aspires-to-teach-the-world-english/). The number of users is unknown. Duolingo (https://en.wikipedia.org/wiki/Duolingo) provides extensive written lessons and dictation with speaking practice for advanced users. It has a gamification tree, where users can progress, and a vocabulary section, where learned words can be practiced. It is claimed that the project is absolutely free to users, since it charges companies for translating texts by the community members (https://www.crunchbase.com/organiza- tion/duolingo#sthash). The system has over 10 million users. English, baby! (http://www.englishbaby.com/) contains several thousand English lessons with content from celebrities. The lessons use TV series and reality shows. Most lessons include grammar instruction, quizzes and vocabulary words. Paying users can get support from live teachers and ask them questions. There is a sys- tem to search for international friends. The system is freemium, where most of materials are available for $5 per month fee. The number of users is unknown (http://en.wikipedia.org/wiki/ English,_baby!) EnglishCentral is a language tutorial site, which uses popular videos from movies and news clips to help people around the world learn English. Students watch a captioned video, and then try to repeat the phrases by speaking into a microphone and recording their attempts. Speech-to-text software tries to make sense of their pronunciation (http://techcrunch.com/2009/12/21/ englishcentral-raises-3-5-million-google-ventures/). The system is based on the freemium model. Free users can watch as many videos as they want, but learn and practice their speech with 2 videos every month. The number of users is unknown. Fluentify (https://www.fluentify.com/) is the platform and the marketplace to find teachers and to study. The system uses 30 min paid lessons. Every native speaker can become a teacher after their skills test. Users don’t need to use any third party soft- ware and platforms, such as Skype or Google Handouts. The entire user experience from selecting the tutor to online conversations takes place on the same site. The system has over 700 registered teachers with the unknown number of users. The price varies from $16 to $60 per hour. Fluentify collects 30% commission (http:// techcrunch.com/2014/03/31/fluentify-angel/). Immerse Learning (Languagelab, https://immerselearn- ing.com/) uses virtual reality to create real life situations, like at the airport, at the grocery store and so on. Users are assigned speci- fic roles and communicate by conversations. The system, which is currently being tested, requires installing special software. One can apply for beta testing. Immerse Learning is a provider of live online training in immersive 3D environments for organizations (https:// www.crunchbase.com/organization/immerse-learning). Italki.com is a marketplace where students and teachers meet. It has teachers’ rating system by the students. It also has profes- sional teachers verified by the system, along with volunteers. Teachers post their own rates and use their own teaching materi- als. Skype is used for the video chat. The system collects 15% commission (http://venturebeat.com/2009/03/25/italki-launches- marketplace-for-language-tutors/). It allows users to post their own teaching materials in the wiki-type format (http://mash- able.com/2008/05/06/italki-language-textbooks/). The system has about half a million users. It requires adding money to the account to study with professional teachers (the premium model: https:// angel.co/italki). Languagelab.com is based on the internal research and devel- opment programs, led by Dr. Rajendran, involving testing a range of teaching models with students from more than 50 countries. The system is based on the immersive learning. The idea is that all lessons should be taught contextually and virtual environments are used to recreate the scenarios where interactions would take place in the real world. Experts believe that virtual worlds and immersive learning are more effective for studying higher order cognitive lessons, compared with the traditional classroom-based systems, which are using abstraction (https://en.wikipedia.org/ wiki/Immerse_Learning). Lingueo.com is a social network with the aim to help users practice and learn foreign languages. The site connects people who wish to learn and practice foreign languages with suitable tutors all over the world. The courses are held directly on the web- site through videoconferences. Only premium service is available at $20 per hour (https://en.wikipedia.org/wiki/Lingueo). LinguaLeo offers users language learning in the form of a game with over 200 thousand materials, including news, business arti- cles, papers, video clips, stories and jokes. The main social effect is in the results comparison with friends and mutual assistance. Gamification and retention mechanics are actively utilized for attracting and retaining new users (http://en.wikipedia.org/wiki/ LinguaLeo). The system has about 10 million users. Freemium model is utilized with some free materials, but the rest require payment. http://www.babbel.com/ https://en.wikipedia.org/wiki/Babbel http://techcrunch.com/2009/11/10/babbel-dumps-freemium-for-language-learning-it-just-doesnt-work/ http://techcrunch.com/2009/11/10/babbel-dumps-freemium-for-language-learning-it-just-doesnt-work/ http://techcrunch.com/2010/06/23/babbel-introduces-speech-recognition-to-aid-language-learning/ http://techcrunch.com/2010/06/23/babbel-introduces-speech-recognition-to-aid-language-learning/ http://techcrunch.com/2009/11/10/babbel-dumps-freemium-for-language-learning-it-just-doesnt-work/ http://techcrunch.com/2009/11/10/babbel-dumps-freemium-for-language-learning-it-just-doesnt-work/ http://techcrunch.com/2009/11/10/babbel-dumps-freemium-for-language-learning-it-just-doesnt-work/ https://en.wikipedia.org/wiki/Busuu https://www.crunchbase.com/organization/busuu https://www.crunchbase.com/organization/busuu http://colingo.com/ http://techcrunch.com/2013/11/20/with-2-4m-from-atlas-500-startups-more-colingos-live-online-school-aspires-to-teach-the-world-english/ http://techcrunch.com/2013/11/20/with-2-4m-from-atlas-500-startups-more-colingos-live-online-school-aspires-to-teach-the-world-english/ http://techcrunch.com/2013/11/20/with-2-4m-from-atlas-500-startups-more-colingos-live-online-school-aspires-to-teach-the-world-english/ https://en.wikipedia.org/wiki/Duolingo https://www.crunchbase.com/organization/duolingo#sthash https://www.crunchbase.com/organization/duolingo#sthash http://www.englishbaby.com/ http://en.wikipedia.org/wiki/English,_baby! http://en.wikipedia.org/wiki/English,_baby! http://techcrunch.com/2009/12/21/englishcentral-raises-3-5-million-google-ventures/ http://techcrunch.com/2009/12/21/englishcentral-raises-3-5-million-google-ventures/ https://www.fluentify.com/ http://techcrunch.com/2014/03/31/fluentify-angel/ http://techcrunch.com/2014/03/31/fluentify-angel/ https://immerselearning.com/ https://immerselearning.com/ https://www.crunchbase.com/organization/immerse-learning https://www.crunchbase.com/organization/immerse-learning http://venturebeat.com/2009/03/25/italki-launches-marketplace-for-language-tutors/ http://venturebeat.com/2009/03/25/italki-launches-marketplace-for-language-tutors/ http://mashable.com/2008/05/06/italki-language-textbooks/ http://mashable.com/2008/05/06/italki-language-textbooks/ https://angel.co/italki https://angel.co/italki https://en.wikipedia.org/wiki/Immerse_Learning https://en.wikipedia.org/wiki/Immerse_Learning https://en.wikipedia.org/wiki/Lingueo http://en.wikipedia.org/wiki/LinguaLeo http://en.wikipedia.org/wiki/LinguaLeo I.V. Osipov et al. / Computers in Human Behavior 50 (2015) 476–488 487 Livemocha (https://en.wikipedia.org/wiki/Livemocha) is a site with many lessons and a large community of over 16 million users. Users can support each other’s learning by grading, providing tips and answering questions. The system is not specialized on video chat, but contains such an option. Livemocha was purchased by Rosetta Stone in 2013 (http://www.forbes.com/sites/karsten- strauss/2013/04/02/rosetta-stone-acquires-livemocha-and-expands- its-reach-in-the-cloud/). The system is based on the freemium model with mostly premium features. MindSnacks games deliver ‘‘bite-sized” learning experiences and use social elements and game mechanics to engage users. Current apps (over 10) focus on language learning, and each mini-game addresses a specific need, such as vocabulary, spelling, grammar, and sentence construction (http://techcrunch.com/ 2011/03/09/mindsnacks-raises-1-2-million-for-mobile-educa- tional-games/). This is a freemium system with premium majority of the apps. The number of users is unknown. MyLanguageExchange (http://www.mylanguageexchange. com/) is a large bulleting board with users, who can find learning partners. Teaching plans are provided, along with individual or group chat. There is an option for live voice communication using external programs. This is one of the oldest projects in the field, which exists since 2000. This is a free project with over a million users. Myngle (http://www.myngle.com/) is positioned as the pre- mium and quality competitor of Livemocha and iTalki. All teachers are carefully checked. The system has social network elements, uses Skype for video connection with the teacher, and also special- izes on the corporate services (http://techcrunch.com/2009/03/ 12/plugg-wraps-with-two-very-capable-winnners/). Myngle offers an ideal solution by providing students and teachers in different locations with a complete online language instruction platform, containing all the tools needed for synchronous e-learning. (https://www.crunchbase.com/organization/). It is completely pre- mium service with high prepay for the students and unknown number of users. OpenEnglish (http://www.openenglish.com/) is one of the lar- gest projects in Latin America. Open English is using live online classes with native English-speaking teachers. The key is that stu- dents can access classes at any time from anywhere, or take as many live classes as they want over the duration of the 12 month program (http://techcrunch.com/2012/07/26/open-english-43m/). It is estimated that the project attracted the record $120 million in venture capital (http://www.wsj.com/articles/online-school- has-100-000-students-one-subject-1403050947). The service is about $80 per month and offers live online instruction around the clock in small group classes. The number of users is unknown. SheredTalk (http://www.sharedtalk.com/) is the project launched by the Rosetta Stone company, which has group text and voice chat, user catalogue and a messaging system. The service is free with unknown number of users (https://en.wikipedia.org/ wiki/Category:Social_networking_language_education_websites). Verbling (www.verbling.com) Teaching is conducted in groups, or individually using Google Hangouts. Teachers undergo the certi- fication process. The prices are fixed at $3 for one class, 10 classes for $19/month and unlimited classes for $45 per month. The Verbling’s tutoring platform allows teachers to set their own price. The system supports four languages (http://techcrunch.com/2013/ 11/20/new-funding-in-tow-verbling-adds-live-study-groups-and- one-on-one-tutoring-as-its-spin-on-language-learning-begins-to- catch-on/). The system is freemium with mostly premium features. Free lessons are available for inviting friends. Voxy (https://voxy.com/) has two studying versions: self- study and live classes. Voxy is built on the principles of task- based language learning, and tailors every single course based on learners’ daily performance, proficiency levels, personal goals and interests. The system contains news articles, English songs, videos of people accomplishing daily tasks, and audio record- ings of real-life situations. The platform includes live instruction through one-on-one tutoring sessions and group classes with certified teachers who provide real-time feedback. Voxy has pioneered numerous innovations in contextual learning, includ- ing the use of natural language processing tools and geo-loca- tion (https://en.wikipedia.org/wiki/Voxy). The system has over 3 million users. This is a premium service with the 7 days trial period. References Adkins, S. S. (2014). 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Computer Assisted Language Learning, 27(1), 26–43. Koa, C.-J. (2012). Can synchronous computer-mediated communication (CMC) help beginning-level foreign language learners speak? Computer Assisted Language Learning, 25(3), 217–236. Korkmaz, S�. Ç. (2013). Language games as a part of edutainment. Procedia Social and Behavioral Sciences, 93(21), 1249–1253. Kötter, M. (2001). MOOrituri te salutant? Language learning through MOO-based synchronous exchanges between learner tandems. Computer Assisted Language Learning, 14(3–4), 289–304. Laborda, J. G. (2009). Interface architecture for testing in foreign language education. Procedia Social and Behavioral Sciences, 1(1), 2754–2757. Lee, L., & Markey, A. (2014). A study of learners’ perceptions of online intercultural exchange through Web 2.0 technologies. ReCALL, 26(3), 281–297. Miladinovic, I. C., & Markovic, S. (2013). Training students for the process of self- evaluation during their teaching the mother tongue and English as a foreign language in form of the practice classes. Procedia Social and Behavioral Sciences, 93, 40–48. Monteiroa, R., Carrillo, J., & Aguaded, S. (2010). Teacher scripts in science teaching. Teaching and Teacher Education, 26(6), 1269–1279. Osipov, I. V., & Prasikova, A. Y (2013). US patent pending ‘‘Improved system and method for providing educational services”. 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work_hnmt4rfbw5bdxepp3lhrfuevqe	----	Introduction: Francophone Theatre Today Theatre Research International Vol. 21 No. 3 pp. 191-195 Introduction: Francophone Theatre Today KEVIN ELSTOB In the wake of French colonization, exploration and trade throughout the world, the French language permeated cultures on five continents. Depending on the source of the statistics, today's world-wide French-speaking population numbers anywhere from 67 to 450 million people.1 It is estimated that in the year 2000 there will be 500 million French speakers. French is the world's twelfth language, but next to English, the only language to be spoken on all five major con- tinents. From such statistics we might project a community, but do these figures represent a genuinely united people? And, why, if the franco- phone community is growing should French governmental and cultural organizations be so concerned about the preservation of French? Before examining these questions, let us briefly outline the evolution of 'la francophonie'. The city of Quebec, founded in 1608, was the first francophone outpost. In the aftermath of mid-eighteenth-century military defeats at the hands of the British, Louis XV surrendered the city in 1759 and the surrounding province to the British in 1760. Though Voltaire expressed the common French opinion of the time that 'but a few acres of snow' had been lost, it would not be long before the French re-embarked on colonizing projects. Napoleon I led the first wave of nine- teenth-century expansionist missions, and the two ensuing Republics, the restored monarchy and the Second Empire continued his work in the Caribbean, South-East Asia, and North and sub- Saharan Africa. In all of its colonies, the French government endeavoured to set up primary schools for native children. According to official French policy, the education of the indigenous populations was part of a 'civilizing mission' which would show the indigenous populations the benefits of coloniza- tion. Ironically, this assimilationist tactic was de facto elitist, since only an urban upper class could attend the schools. Despite this drawback, the French language became the keystone of the colonial education system. French administrators viewed all other regional or ethnic languages as spoken dialects with limited local influence. French was therefore the official and generally exclusive language used in teaching since in- digenous languages, including Arabic, were thought to be 'incapables d'exprimer les idees de la civilisation'.2 Put simply, through its lingu- istic and educational policies, France promoted the French language and civilization to the detri- ment of indigenous languages and socio-cultural values. As for French-speaking Canadians, the Treaty of Paris (1763) made them subject to British authority.3 Descendants of trappers, merchants, explorers, and pioneers, they clung to their lingu- istic and cultural heritage. Their religion and their heritage set them apart from the British since their Catholicism put them in opposition to the Protestant leaders from Great Britain. After the French Revolution, French-speaking Canadians felt that France had turned its back on their religious beliefs. Although Canada was a cauldron of opposition between France and Great Britain, hostilities also embroiled the native populations of the Americas—the Iroquois, the Huron—as allies or enemies of the European military powers. The tribal councils of the Iroquois and Huron were not mere pawns in a European chess game, they too were trying to retain their lands and traditions, to forge their destiny in the face of potent overseas invasion. The history of French-speaking culture in Canada is inextricably entwined with the am- biguous historical situation of the French descen- dants: French speakers in provinces where they are in the majority—such as Quebec—or in those https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0307883300015303 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0307883300015303 https://www.cambridge.org/core 192 Theatre Research International where they are in the minority, find themselves wedged between a national government whose seat is in the strongly anglophone province of Ontario, a powerful English-speaking neighbour in the USA, a 'classical' French heritage from France, and a greater nation emerging from the clash between Amerindian and European cultures. Given the domineering French policy in Africa and Asia and the French government's apparent rejection of French-speaking Canadian com- munities, it is perhaps surprising to note that francophone populations from outside of France founded the notion of 'francophonie'. Leopold Sedar Senghor, poet, member of the Academie francaise and first President of post-colonial Senegal, persistently promoted the francophone ideal. He played a leading role in organizing the annual post-independence Franco-African sum- mits, originally held between France and the leaders of its former colonies but increasingly open to all of Africa. In 1986, francophone heads of state met at a summit conference in Paris presided by Francois Mitterrand. This summit was followed by others in Quebec City (1987), Dakar (1989), Kinshasa (1991), Saint-Louis in the Mauritius isles (1993), and Hanoi (1995). The summits have been attended by leaders of the former French colonies in Africa and various state representatives of Switzerland, Belgium, Monaco, Louisiana, New England, Vietnam, Laos, Egypt, Lebanon, Morocco, Tunisia and Canada. The Canadian government in Ottawa sends its representatives, and the provinces of Quebec and New Brunswick send separate delegations. Despite the success of the francophone sum- mits, all is not harmonious in the 'francophone community' The French government, which has a Ministre de la Francophonie, tends to see the francophone summits as an extension of the metropolis. At the 1993 summit, Alain Decaux, the Francophonie Minister, called on France's African partners to fight against the Anglo-Saxon commercial and cultural invasion of francophone space. African critics wonder why Africans should wage cultural war against the English-speaking world when both the French and English-speaking economies flood the African market with diverse forms of imperialism.4 Furthermore, despite the Ministry of Francophonie, the perceived need to defend the French-speaking world, and prizes given to authors from former colonies, most works in French written by authors from outside of France are unknown to the French. Paradox- ically the vast majority of books from French- speaking Africa are published in Paris, as were the leading Africanist journals L'Etudiant noil and Presence africaine (the latter became the major publishing house for scholarly and fictional writing of francophone Africa). Though France acts at times as a neo-colonialist power, impor- tant francophone leaders are convinced that 'la francophonie' plays an important role in world affairs since it offsets the dominant role of English as the only diplomatic language. Boutros Boutros- Ghali, the Egyptian Secretary-General of the United Nations, said that he liked to think of French as a non-aligned language.5 Similarly, President Senghor supported an assembly of the former French colonies in Africa around the French language in order to avoid what he feared would be a 'Balkanization' of African countries according to African language ties. At the same time, he made it clear that France should with- draw culturally as well as politically from Africa. These supportive and critical sentiments are an integral part of the francophone situation. The idea of a francophone culture is fraught with contradiction as El Tayeb El Madhi, a Sudanese francophone playwright, intimates in his res- ponse to a question about how Sudanese writers, scholars and journalists react to the fact that he writes in French.6 He responds that some people encourage him whilst for others the use of another colonial language is problematic.7 Within the simplicity of his response lie many questions about national and individual identity. What durable, perhaps subtle, but nonetheless significant factors can we find behind the figures, the brief history and the declarations we have mentioned above? One of the most revealing ways to approach 'la francophonie' is to investigate francophone culture. As Vaclav Havel points out, culture plays an important role in discovering a society: The main route by which society is inwardly enlarged, enriched and cultivated is that of coming to know itself in ever greater depth, range and subtlety. The main instrument of society's self-know- ledge is its culture: culture as a specific field https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0307883300015303 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0307883300015303 https://www.cambridge.org/core Introduction: Francophone Theatre Today 193 of human activity, influencing the general state of mind—albeit often very indirectly—and at the same time continually subject to its influence.8 'La francophonie' is a cultural product that was moulded by the linguistic, political, economic, artistic, and indeed academic exigencies of French colonization and trade. On the other hand, from the dynamic and contrasting mix of old, some- times ancient cultures in the cauldron of relations with modern France springs a vibrant and diverse francophone culture. In the realm of theatre, fran- cophone theatrical traditions emerge from the clash, conflict, or meeting of an indigenous culture and the foreign or imported language of French: joual theatre and the theatre des cuisines in Quebec, epic griotic dramas of the Cote d'lvoire, Senegalese theatre rooted in traditional participatory rites, Caribbean voodoo dramas. There is French-speaking theatre from all over Africa, the Caribbean, Louisiana, Quebec, Acadia, South-East Asia, Switzerland, Belgium, and more. The goal of this special issue is to introduce francophone theatre today by focusing on the work of some of the leading contemporary play- wrights from these countries. The sections are divided along geographic lines: francophone theatre of North America, Africa, and the Carib- bean. Within each section, articles investigate contrasting types of theatre from that area. North America In the North American section, Jane Moss and Ingrid Joubert treat divergent aspects of French theatre in Canada. Moss's article analyses the theatre of Michel Tremblay and Marie Laberge, two of Quebec's outstanding dramatists of the past three decades. In the late 1960s and early 1970s, Quebec underwent a period of severe self- questioning. In order to thwart the anglophone cultural threat of Great Britain, the USA and Western Canada, the Quebecois clung to their French heritage. However, their collective pa- trimony was born of a colonial and religious past. France had originally colonized Quebec, and though the province had been given up to the British in the 1700s, the French heritage was nonetheless from France. Given that the mainland French generally treated Quebec culture with a condescending sneer, it was dif- ficult to find strength in an allegiance with the former motherland. On the other hand, in Quebec the conservative Catholic Church remained the strongest established francophone rallying point. Finding little solace in either the modem contem- porary scene dominated by English, nor in the politically and culturally conservative religious establishment, playwrights endeavoured to create an agenda independent of their religious and French past and their Anglo-American affilia- tions to the South and West. In their new plays, popular dialect and local slang girded drama which reflected on Quebec's modern reality. Ac- customed to plays from France, or Quebec plays written in classical French, some "critics and audiences were shocked to hear Michel Tremblay's use of vulgar Montreal dialect in a serious dramatic production. Others, however, championed Tremblay's break with the artifici- ality of 'foreign' standard French, and his creation through joual of a poignant lyricism. His work gave the nationalist movement in Quebec a very important cultural wing, and has laid the cor- nerstone for a proud and innovative new theatrical tradition. This new tradition would see men and women playwrights endeavouring to come to grips with issues of social and sexual exploitation, and repressive stereotypes. In her article, Jane Moss analyses how Tremblay's and Marie Laberge's dramatizations of gender roles, family and sexuality reflect upon the social transformation of Quebec society over the past thirty years. Moving westward to an area where French speakers are a distinct minority, Ingrid Joubert focuses on recent plays of Manitoba which adapt and adopt legendary events of the Indian and French collective past. As we mentioned earlier, the history of French-speaking Canada—and the Americas in general we might add—is inextric- ably entwined with the plight of indigenous civil- ization. Initially, the conquering Anglo-Saxon culture played down the importance of Amerin- dian or Native American cultures, whereas the French spoke of a 'politique de douceur' toward the Amerindians without ever officially accept- ing that they were anything other than 'sans roy, sans loy, sans foy'.9 Contemporary franco- phone theatre in the Canadian mid-west has https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0307883300015303 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0307883300015303 https://www.cambridge.org/core 194 Theatre Research International re-examined the lives of some historical and legendary figures of Amerindian descent. In her article, Joubert traces the significant evolution of the Louis Riel myth. Riel is a 'metisse' of French and Amerindian descent whose exemplary op- position to the British made him into a folk hero for the francophone minority of anglophone Canada. Africa Taking on issues of cultural revision in a different geographical and political context, Emmanuel Yewah investigates some of the Congo's most innovative and politically daring theatre. High- lighting the growth in theatrical groups and productions, Yewah introduces us to a number of Congolese playwrights who have used the theatre to dramatize socio-economic and political prob- lems facing the Congo today. Although the article investigates the work of quite a few playwrights, it pays particular attention to Sylvain Bemba's work. The plays of all of the dramatists in Yewah's article stage the chronic aftermath of colonization and African dictators who have replaced the colonial powers with their own brand of oppression and hegemonic collusion with neo-colonial industrialists. Although, they show rampant oppression in Africa, the playwrights conceive of new dramatic heroes who wish to break the cycle of the past in order to found a new order disavowing the manichaean European world view for a more inclusive communitarian African perspective. By contrast, Werewere Liking, a Cameroonian playwright living in the Ivory Coast, refuses to attack leadership issues head on. In her article on Liking's work, Judith Miller shows how Liking assails the patriarchy and delves into the complex questions of maternity in Africa today. Giving a thorough exposition of Liking's dramatic tech- niques and training, Miller shows how Liking's pan-African aesthetic developed. Through her intercultural approach, Liking denounces breakdowns in African society while celebrating 'a strength of spirit and vital set of artistic tradi- tions which potentially unite her audience'. Liking's KiYi M'bock theatre company works within the KiYi village arts complex in Abidjan to bring together traditional and contemporary African music, dance and drama conveying 'a sense of dignity and wonder possible in a life in which deep cultural connections are still viable'. In her investigation of Oyono-Mbia's Ttois pretendants: un maii, Helene Sanko offers an- other part of this complex cultural mix. Focus- ing on the influence of Moliere's classical French comedy on Oyono-Mbia's play, Sanko suggests that the incorporation of French theatrical models into African drama does not represent a subor- dination of African culture to that of France. African playwrights borrow from the French and create a hybrid form of theatre which is not an imitation but a probing of the relationship be- tween French and African dramatic forms. Caribbean Unlike the dramatists we have considered so far, Jean Metellus, Haitian poet, novelist and drama- tist, wrote most of his important theatre in exile. Though a man without a country, he would nonetheless try to build bridges between his native land and his adopted home in France. In her article, Ginette Adamson analyses Metellus's desire to use the past to examine the present and to ask questions about Haiti's future. Not only do his plays Anacoana and Colomb reflect upon the relationship between the New World before and after Columbus's arrival, they also may call to our minds contemporary international politics in such places as Rwanda and Bosnia. The title of each play refers to an important figure of the past: Colomb to Christopher Columbus, Anacoana to Anacoana, a celebrated Queen of Haiti who courageously confronted the cruelty of Ovando, the Spanish governor. By focusing on historical characters Metellus challenges us to learn from the debacles of the past. However, his drama's classical poetic structure, likened by some commentators to Racinian tragedy, raises for some questions about Metellus's commitment to Haitian politics and culture. Whereas Metellus has a classical and tragic leaning, Franck Fouche, the author featured in Carrol Coates's article, blends Haitian riddle, song and dance, traditional Haitian rites, such as Voodoo, and elements of Western drama and Christian ceremonies and images. Raucous laughter is ever present in Fouche's comedies which stand in brave opposition to civil and religious hierarchies. Like all of the playwrights https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0307883300015303 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0307883300015303 https://www.cambridge.org/core Introduction: Francophone Theatre Today 195 discussed above, Fouche's drama confronts the historical movement from colonization to libera- tion. He makes ample creative use of traditions imported by the colonizers and the religious and civil culture of his own people in his endeavours to create a veritable Haitian theatre. The articles in this collection explore divergent forms of theatre by focusing on the work of one or two playwrights from a spectrum of franco- phone countries. By assembling a group of articles under the heading francophone theatre, we hope to raise questions and girder the debate about fran- cophone culture in particular, and cross-cultural dramatic influences in general: what do these dif- fering theatres have in common, what makes them distinct, and more importantly what is each theatre in its own right? Notes 1. J.P. Lauby and D. Maureaux. La France contempoiaine (Paris: Bordas, 1991). See also '100 questions-reponses sur la francophonie et la langue francaise', edited by the Ministere de la culture, Les Incollables (Paris: Bac-Hatier, 1994). 2. Omar Ka. 'Une nouvelle place pour le francais au Senegal', in French Review (Vol. 67, No. 2, December 1993), p. 277. In his succinct and probing article, Omar Ka traces the evolution of French in Senegal with some illuminating obser- vations. For instance, by insisting on the purely oral usage of African languages such as Oulof and Pulaar—widely spoken in Senegal—the French authorities chose to ignore the ex- istence of a wealth of Pullar and Oulof literature written in Arabic characters. See also, A. Davesnes. La Langue francaise, langue de civilisation en Afrique Occidentale Francaise (Saint-Louis: Imprimerie du gouvernement du Senegal, 1933), p. 4. 3. The Treaty of Paris of 1763 was signed in Paris on 10 February 1763. It brought to a close the Seven-Year War bet- ween Great Britain on one side and France, Spain and Portugal on the other. Under the provisions of the Treaty Great Britain received from France: Canada and Cape Breton; Grenada and Tobago in the Caribbean; Mobile and all the French territory east of the Mississippi except the island of Orleans (New Orleans); and French possessions on the Senegal River in Africa. Britain restored to France the islands of Guadeloupe, Martinique, St. Lucia, St. Pierre and Miquelon,- also Pondichery and Chandernagor in Asia. In return for Florida, Britain restored Cuba to Spain. France had already ceded Louisiana to Spain the year before during the preliminary negotiations. 4. Ambroise Kom. 'Francophonie et enseignement des litteratures africaines: quels enjeux?' Revue Francophone (Vol. 8, No. 1, Spring 1993), p. 107. 5. ' "Des pans entiers de 1'activitS nationale deviennent bilingues", regrette Philippe Seguin.' Le Monde (20 July 1993), p. 4. 6. As a Sudanese playwright one would have expected him to write in Arabic, his native language. 7. Bernard Magnier. 'El Tayeb El Mahadi, dramaturge soudanais et francophone', in Theatre, Theatres (No. 102, July- August 1990), p. 64. 8. Vaclav Havel, Living in Truth. Translated by Jan Valdislav. (London: Faber and Faber, 1986), p. 16. 9. Olive Patricia Dickason, The Myth of the Savage (Edmonton: University of Alberta Press, 1984), p. 273. About the contributors Ginette Adamson is Professor of French at Wichita State University, Kansas, where she organizes an annual colloquium of 'Continental, Latin-American and Francophone Women Writers'. She has been President of the Conseil International d'Etudes francophones. Her research and publications cover African, Caribbean, French and Quebec literature, and span painting, poetry, novel, and theatre. Carrol Coates teaches French grammar and stylistics, fran- cophone literature, and translation at the State University of New York in Binghamton. He has been associate editor of Callaloo (a prominent journal of African-American and African Arts and Letters). The University of Virginia published his translation of Rene Depestre's first novel, Le Mat de cocagne [The Festival of the Greasy Pole] in 1990. Kevin Elstob teaches French at Cleveland State University. He is the author of two articles and a book on Michel Vinaver. In addition, he studies contemporary French and francophone politics and economics. He is presently finishing a project on theatrical representations of French capitalism, and starting a study of Islam, rap, and youth in France. Ingrid Joubert is professor of French at the College Univer- sitaire de Saint-Boniface of Manitoba, Canada. She writes and researches on many aspects of minority French culture in Canada outside of Quebec. Judith G. Miller is Professor of French at the University of Wisconsin-Madison. She writes on contemporary French and francophone theatre, directs plays in French with her students, and has recently translated texts by Ina Cesaire and Werewere Liking. She co-edited and translated Plays by French and Fran- cophone Women (University of Michigan Press, 1994). Jane Moss is Professor of French at Colby College in Watersville, Maine. She has published numerous articles on French and particularly Quebec theatre. As a leading scholar of Canadian literature, she has contributed as author and ad- visor to many journals of Canadian Studies. In 1992, she was elected President of the American Council of Quebec Studies. Helene Sanko is Professor at John Carroll University where she teaches French and francophone culture and civilization. Having focused her research on French-speaking Africa for a number of years, she now studies literature of Martinique where she recently inaugurated an overseas study programme. Emmanuel Yewah is an associate professor in the Department of Foreign Languages at Albion College, Michigan. His research interests are in anti-colonialist and anti-dictatorial discourses and the cross-examination of Law and African Literature in French. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0307883300015303 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0307883300015303 https://www.cambridge.org/core 
work_hojuqoog4ffdnpenq5nymdxfpy	----	Microsoft Word - 114-1224-1-PB-1-DCarlson2.docx Transmotion Vol 1, No 2 (2015) 26   The Columbian Moment: Overturning Globalization in Vizenor’s The Heirs of Columbus DAVID J. CARLSON I. The Columbian Moment and the Meanings of Globalization At the end of Gerald Vizenor’s 1991 novel The Heirs of Columbus, one of the aforementioned heirs, Admire, punctuates a deadly game of chance (a moccasin game) played against a cannibal Wiindigo by whistling a tune from Antonin Dvořák’s New World Symphony (Heirs 183). Not surprisingly, for readers familiar with Vizenor’s work, this is not the only reference to that particular piece of music in the novel. Admire whistles the same tune earlier in the narrative to commemorate the founding of the sovereign tribal nation of Point Assinika (located in the Strait of Georgia between Vancouver Island and the mainland of British Columbia), which forms the primary setting for the novel’s second volume (123-4). Former international model and repatriation expert (the book designates her a “trickster poacher”) Felipa Flowers also whistles Dvořák as she enters a churchyard at Gravesend on a mission to recover the remains of Pocahontas (115). This takes place just before she is murdered by a vengeful mixedblood artifact collector, Doric Michel. And the symphony is also played over casino loudspeakers at the end of a successful hearing concerning the repatriation of remains (90), a hypothetical example of what Vizenor has termed elsewhere a “Bone Court.” In these ways, then, Dvořák’s masterwork provides a leitmotif to Vizenor’s subversive meditation on the Columbian quincentenary. As one might expect from Vizenor, however, the repeated invocation of Dvořák in Heirs goes well beyond some form of playful narrative ornamentation. I would suggest that we view the New World Symphony as a keynote figure that introduces us to a central tension in the novel, one that will be the focus of my discussion here. The Heirs of Columbus is a meditation on the ambiguous nature of modern globalization for American Indian people. In making this distinction between “modern” globalization and a more general definition of the concept, I am influenced by both economist Amartya Sen’s and political philosopher Giacomo Marramao’s writings on this topic. In his 2006 book David J. Carlson “The Columbian Moment” 27   Identity and Violence, Sen has argued that today’s globalization is, in fact, part of a larger historical movement or pattern that can take different forms. Much contemporary scholarship on globalization, of course, holds that the phenomenon is essentially a product of Western capitalism and modernity and thus should be viewed either (1) positively, as a marvelous contribution of the West to the rest of the world or (2) negatively, as an extension and continuation of Western imperialism. In contrast, Sen maintains, globalization is neither particularly new nor necessarily Western. This qualification makes considerable sense, if one understands globalization to refer to the emergence of networks of exchange where goods, ideas, and symbolic systems circulate in ways that bring about an intensified consciousness of the interpenetration of the local and global. When seen in that broader perspective, as Marramao’s work suggests, globalization can be reimagined as a force structuring human experience in a manner not necessarily overdetermined by the exploitative mechanisms and systems of capitalism and imperialism. (This is not, of course, an authorization to blithely ignore the ways that such systems have in fact functioned in such a manner.) Globalism, for Marramao, can involve a “passage to the Occident of all cultures,” by which he means, not an experience of universal colonial absorption into a hegemonic west, but rather the radically transformative experience of a mutual penetration of “alterity” that affects all cultures in more positive ways (14). A similar utopian sensibility regarding the political and artistic possibilities of a retheorized globalization appears in much of Vizenor’s work, particularly in The Heirs of Columbus. At two specific points in Heirs, Vizenor deploys Dvořák’s New World Symphony in a manner that suggest his awareness of the kind of tensions surrounding the concept of globalization that we can track through the work of thinkers like Sen and Marramao. At the start of the book, he incorporates the piece into the fabric of the novel and the collective history of the Anishinaabeg trickster-heirs by reimagining its very composition. Vizenor places the genesis of the work “at the headwaters” of the Minnesota River (a sacred place for his own Anishinaabeg people) and notes further that the Czech composer “heard tribal music in the stones” as he brought his great work into being (10). In this way, he reinscribes the symphony as a highly positive (albeit fictionalized) image of transcultural inspiration and artistic Transmotion Vol 1, No 2 (2015) 28   production, one reflecting a dynamic of mutual recognition between Europeans and indigenous people coming into contact in a “global” setting.1 In the epilogue to Heirs, however, Vizenor also offers us a rather different take on Dvořák’s masterpiece, one that is grounded in the actual historical experience of colonial modernity rather than in imaginative fancy. There, he reminds us both that Dvořák was the director of the Conservatory of Music in New York City when he composed the New World Symphony and that the work was written expressly for the 1893 Columbian Exposition in Chicago. That event, of course, stands as one of the more retrograde examples of the history of cross-cultural mediation and representation of American Indian people in the United States (187).2 In pointing out the historical link between Dvořák’s piece and an exhibition that trumpeted the cultural and technological superiority of American modernity while offering sad tableaus and patronizing recognition of the “vanishing” Indian tribes in the United States, Vizenor highlights the fact that there is no guarantee that the moments of mutual discovery and reinvention characteristic of globalization (Vizenor sometimes calls these “imagic moments”) will lead to reciprocal altruism.3 The history of western dominated modernity often suggests, quite to the contrary, that such moments lead to colonial domination, cultural appropriation, and genocide. The Heirs of Columbus is not about Antonin Dvořák, of course; it is about Columbus. But much of the same dynamic and tension that I have been discussing thus far also pervades the novel’s treatment of the “Admiral of the Ocean Sea” and his Indian heirs. In that treatment, I would argue, Vizenor tries to open up an imaginative space between (1) the historical reality of a form of globalization overdetermined by colonization and conquest, and (2) a fantastic reimagining of the encounter with the other that offers alternative, utopian possibilities for what globalization could mean. In the end, then, I would refine my earlier statement and suggest that it is the “Columbian moment” of mutual discovery between Europeans and indigenous peoples that is Vizenor’s primary subject matter. Columbus, in this respect, becomes the central signifying figure in the novel (as opposed to merely a historical personage) standing in some sense for the divergent meanings and functions of globalization. Vizenor makes his intention in this regard fairly explicit at several key points in the text. In the epilogue, he indicates that Heirs is not to be read as a direct study or David J. Carlson “The Columbian Moment” 29   literal critique of the historical Columbus: “Columbus arises in tribal stories that heal with humor the world he wounded; he is loathed, but he is not a separation in tribal consciousness. The Admiral of the Ocean Sea is a trickster overturned in his own stories five centuries later” (185). “Overturning” here represents something different from parody, and in my reading Vizenor is engaged in something much more complex than merely mocking the explorer. Having been remade as a trickster in this particular “tribal story,” Columbus the man is available to be allegorized or transformed in other ways. Lappet Tupis Brown, a private investigator hired by the tribal government within the novel, speaks for Vizenor in this regard when she testifies at the “Bone Court” hearing that tricksters are not real people, but “figures in stories” or “language games” (80). Remade by Vizenor into an element in a fictional language game, then, Columbus becomes a tool for the analysis of the ideology of discovery, which initiates the modern phase of globalization that turns away from the more positive possibilities of global encounter. Quoting Steve Woolgar’s book Science: The Very Idea in the epilogue to Heirs, Vizenor notes that “the sense of discovery is mediated by social conditions, [persisting] as a ‘process rather than a point occurrence in time.’” Significantly, too, “the discovery process extends in time both before and after the initial announcement or claim’” (188). Following this line of thinking, “the Columbian moment” of discovery is not represented in Heirs as a discrete one, something limited to a specific set of events taking place in 1492. 1492 is one particular instantiation of a much larger force moving through human history and imagination, in other words. Vizenor’s contribution to the quincentenary, then, is not to create another monument to conventional western history and its linear sense of time, nor is it to offer a simple critique and deconstruction of that history. Instead, he engages his readers in a mediation regarding the ongoing structural and imaginative effects that not only did, but hypothetically could, both emerge from the experience of mutual discovery and from the interpenetration of the global and the local.4 The Columbian moment represents an archetypal experience of encounter and “glocalization” (the interpenetration of local and global self-awareness described by Roland Robertson in his 1992 book Globalization) rippling through time. And Vizenor’s narrative techniques of reiteration, irony, and inventive signification provide a mechanism both to critique its instantiations and to explore its effects. When read in this Transmotion Vol 1, No 2 (2015) 30   manner, we can better make sense of what might otherwise seem a puzzling decision made by a major American Indian writer—the decision to observe the Columbian quincentenary, in part, by reimagining a figure largely reviled throughout the indigenous new world as somehow, himself, being “Indian.” II. The Globalizing Mirror: The Columbian Indian/The Indian Columbus The Heirs of Columbus abounds with narrative threads that establish a pattern of resemblance linking Christopher Columbus, his Anishinaabeg trickster-heirs, and other indigenous figures. The first of these appears right away, in the opening chapter’s initial introduction of the contemporary Anishinaabeg trickster, radio host, and political leader Stone Columbus.5 Christopher Columbus, we are told, began his life as an “obscure crossblood,” whose fame was based on his efforts to found and extend an empire (3). One might note, here, that the narrative takes seriously the hypothesis advanced by some scholars that Columbus might have had Jewish ancestry, while also presenting his nomadic career as a kind of archetypal diasporic experience. In this, he and his modern namesake Stone resemble each other, for the latter is a typical Vizenorian “crossblood” trickster with a similar career path. Stone achieves his own renown through the founding of, not one, but two “nations,” which stand, at least for a time, as extensions of Anishinaabeg sovereignty. These are the “Santa Maria Casino” of the first half of the novel and “Point Assinika” (part casino and part genomic research facility) of the second. We might also take note of other coincidental details, such as Stone’s wearing of a golden-eyed, blue mask of Columbus and Columbus’s own record of his delight at receiving a golden mask from a local Taino leader when he founded his first settlement in what is now Haiti on Christmas day in 1492, La Villa de la Navidad. Through these, and other examples, Vizenor makes clear that he is interested in exploring a connection between these two figures that goes well beyond a mere nominal echo. The strong parallels between the modern trickster and the early modern explorer make it difficult, then, to read Stone simply as a parody of his ancestor, and to read the novel simply as a piece of satire. Put in typical Vizenorian parlance, Heirs represents not mockery, but rather a tease of Columbus. And teasing, for Vizenor, always emerges from, and expresses, a deeper sense of relationship. David J. Carlson “The Columbian Moment” 31   It is worth remembering, in this context, that Vizenor has frequently written of his sense of the existence of a pan-Indian or indigenous inclination toward exploration, discovery, and reinvention through encounter. Vizenor opens his essay “Ontic Images” with the following claim: “Native American personal and cultural identities have always been strategic maneuvers, and in that sense, modernist, names and singularities that arise from and are created by both communal nominations, collective memories, and by distinctive visionary experience” (159). This modernist “maneuver” of identity formation is effected through the processes of “analogical thinking,” a term Vizenor adapts from Barbara Maria Stafford’s book Visual Analogy. Analogical thought may be characterized by both its “uncanny visual capacity to bring divided things into unison or span the gap between contingent and absolute” and its “move to tentative harmony” in that process (159). This “tentative,” transformative, gap-spanning process is “modernist” in so far as modernity signifies any moment in which our reality is altered as a result of an encounter that induces a shift in our paradigms for organizing/thinking about it. In this respect, the “Columbian moment” represents an archetypical example of modernity, provided we understand that the latter term has been transformed from a chronological marker into a signifier of a transhistorical structure of human experience. Vizenor sees the modernist impulse of globalization as deeply embedded in native traditional cultural practices, noting that Indian stories “have always been the imagic moments of cultural conversion and native modernity” (“Ontic” 161). He makes this point explicitly through the example of Crazy Horse. In the spirit of Crazy Horse, Vizenor notes, Native storiers have always evinced an openness to encounter the new and to move towards a “tentative harmony” with it in a way that allows for a perpetually modernizing sense of self. Most suggestively, Vizenor grounds this claim in a general ethnographic assertion regarding the customary globalization of tribal peoples: “natives have always been on the move, by necessity of sustenance, and over extensive trade routes. Motion is a natural right, and the stories of visionary transformation are a continuous, distinctive sense of sovereignty” (162). Significantly, here, we begin to see how Vizenor indexes sovereignty to the ability to create one’s stories/identity through a process of analogical encounter with others. The phrase “Native identities are stories that arise from the common tease of cultures” becomes a Vizenorian creed (163). Transmotion Vol 1, No 2 (2015) 32   With this critical context in mind, it is less surprising to find that the numerous connecting threads between Christopher and Stone Columbus in Heirs, including actual bloodlines linking them, consistently interfere with the reader’s ability to maintain an entirely comfortable sense of imaginative distance between them. Indeed, Heirs offers a number of details that emphasize Christopher’s “Indianness” and his Indians descendants’ “Columbian” natures. One of the most striking of these is the depiction of Columbus’s relationship to the Mayan people. “The Maya created Columbus,” Stone declares matter-of-factly, though this assertion can be construed in a number of ways (20). Stone could be suggesting that the Maya foretold Columbus’s coming through their own prophetic traditions. Taken further, he might even be suggesting that those stories made Columbus happen, in a ritually performative manner. This would not be surprising in a text that clearly takes seriously and represents the power of story and storytelling, tellingly represented in the novel through the figure of “stones.” But in another sense, the novel also suggests that the Maya begat Columbus, in both figurative and literal senses, through their own prior migrations to Europe. Vizenor imagines that in the ancient past Mayan shamans and “hand talkers” actually voyaged to the Old World, providing evidence of a pattern or structure of global migration and encounter (of indigenous modernism) dating far back into ancient history. The novel imagines a long historical trajectory of globalization and “Columbian moments,” in other words. Readers of Heirs are also told that the Mayans produced a “Bear Codex” describing themselves and their journeys. This book came into the possession of the Emperor Ptolemy, who ordered it to be translated and included in the collection of the Great Library of Alexandria. From there, before it was lost in the great fire that destroyed that ancient wonder, we are led to suppose that it exerted an imaginative influence on the thought of the ancient western world. Perhaps the Bear Codex was co-influential, along with the ancient Greek authorities referenced by explorers of Columbus’s era, in reshaping the western understanding of the spherical world and their place in it? In this way the novel implies that the self-awareness and self- understanding of Old and New World peoples were entwined from the earliest periods of history.6 And even if those connections became muted or forgotten over time, a potent enough trace of them remained to reappear in future manifestations of globalized David J. Carlson “The Columbian Moment” 33   consciousness. In this way, Vizenor recontextualizes and reimagines the significance of the way that Columbus writes in his own journals of the inspiration of ancient authorities (like Ptolemy) who reinforced his own intuition that a passage to the east could be found by traveling west. The fact that the Mayan “radiant presence” is also linked in the novel to the global spiritual cause of Christ (as an aspiring world religion) and, later, to the diasporic movement of the Sephardic Jews serves to reframe the seemingly discrete moment of Columbian exploration as a manifestation of a larger force and pattern in human history (28). As the preceding discussion suggests, then, like all of the other major elements in Heirs, the Maya function in the novel as a figure, offering evidence of an earlier phase of globalization that is intended to liberate our thinking to allow us to reconceive its nature and possibilities. Vizenor’s Maya represent one indigenous instantiation of the “Columbian moment” that is meant both to structurally resemble and also literally plant the seeds for future imaginative manifestations of the impulse for discovery. The novel’s assertion of a Maya-Sephardic genealogical line that includes Columbus himself is suggestive in this respect. The book presents Columbus as being maternally Mayan, with his mother, Susanna di Fontanarossa, as the bearer of a “signature” of survivance—a “blue radiance” passed down to her through her Mayan ancestors. There is a clear intimation, here, that the echoes of the globalizing impulse of his Mayan past represented a key driving force behind Columbus’s own aspirations and journeys, influencing him through this line of blood memory. Columbus recalled the New World before he had even seen it, through dreams. In this respect, he appears to have inherited the Maya gift for prophetic storytelling and imagination. And this trace of a Maya past within him literally guided Columbus toward the fulfillment of his ancestor’s prophetic anticipation of him. The novel opens by quoting from, and then reinterpreting, a passage from the Journal of the First Voyage as evidence of these traces of Maya cultural memory. Columbus remembers seeing a blue light in the west, though “‘it was such an uncertain thing,’ as he wrote in his journal to the crown, ‘that I did not feel it was adequate proof of land’” (Heirs 1). Vizenor characterizes Columbus’s perception in that moment as a half-formed insight that he is, in fact, part of a larger world historical process whose meaning and trajectory he only vaguely understands. “That light was a torch raised by the silent hand Transmotion Vol 1, No 2 (2015) 34   talkers, a summons to the New World” (3). The historical tragedy that subsequently unfolded, though, was tied directly to Columbus’s only partial recognition of the significance of the experience in front of him. It is at this point, then, that we need to step back from a discussion of how Heirs works systematically to depict strong lines of connection between the indigenous world and the western world, in order to also acknowledge that Vizenor does not collapse all sense of difference between them. Indeed, if I am correct in seeing part of the novel’s subject matter to be an exploration of the manifestations of a globalizing impulse that can be mutually and positively constitutive, it is nevertheless clear that Vizenor also wants readers to be aware that not all forms of globalization are equal. The different forms that the Columbian moment takes in historical time must be considered critically, in other words. We can turn back to the connections between Stone Columbus and Christopher Columbus to begin to illustrate this point, for these two central figures in the novel are presented as imperfect replicas of one another, as opposed to being pure dopplegangers. Frequently the patterns of repetition and coincidence in Heirs are slightly off. This sometimes creates a sense of dissonance, and at other times a literal form of mirroring built on reversal. Take, for example, Columbus’s founding of La Villa de la Navidad, mentioned earlier. Columbus was forced into that act—the first moment that fully transformed his voyage of trade and exploration into a voyage of colonization and conquest—when his flagship, the Santa Maria, was wrecked on a reef, due to the inattentiveness of a crewman. With much of the foundering ship’s goods and material saved, largely through the assistance of a local Taino leader, however, Columbus interpreted this apparent disaster as an act of providence. He chose to cannibalize his vessel in order to build a permanent settlement, in which many of its crew would reside until he was able to make a return voyage. La Villa de la Navidad failed to survive the period between the first and second voyages, however, owing in large part to the acts of violence and predation on the part of its Spanish occupants toward the local Indian population. They elected to manifest the globalizing impulse in an early form of colonialism, imperialism and incipient genocide, rather than experiencing imagic moments of analogical recreation. Looking forward, we find that Stone Columbus has his own “Santa Maria,” too, David J. Carlson “The Columbian Moment” 35   and that this also experiences a wreck. His floating casino, a replica of the Spanish carrack that Columbus sailed, lies anchored at the international border between Minnesota and Ontario, near Big Island in Lake of the Woods. Stone presides over the Santa Maria Casino from its sterncastle and cabin, like the “Admiral of the Ocean Sea,” and he watches the decks for signs of exuberance that mark the discovery of sudden wealth (another echo of Columbus’ long wait for signs of the rich lands of Cathay). Stone’s “flagship,” too, is wrecked, in this case by a violent storm that causes it to crash on a reef and sink near the Big Island. But unlike the earlier disaster off the coast of Haiti, Stone’s shipwreck marks only the temporary collapse of a legitimate space of sovereignty, as opposed to the founding or extension of an imperial one. The loss of the Santa Maria casino brings to an end four summers of casino operation (echoing the four voyages, perhaps?) carried out “in the name of the great explorer” (11). Significantly, though, where Columbus’s accident represented the inauguration of a global system of violence and depredation, the modern wreck of the trickster’s casino-state leads to a peaceful reiteration and extension of the Anishinaabeg nation, this time into the Pacific Northwest (with the founding of Point Assinika). The trajectory of Stone’s career (and of that of his fellow heirs) suggests that it is possible to experience a de-territorialization, extension, or relocation of tribal sovereignty that somehow avoids Columbus’s path towards empire. The vector of the Columbian moment is fundamentally different in each case. As readers, though, we are encouraged to ask why this is the case. III. Global Survivance versus Global Empire As I have suggested, Columbus bears the mark of an indigenous (Maya) past that represents one form that the globalizing impulse might take, but in his historical enactment of that impulse he clearly turns towards another form, with dire consequences for the indigenous peoples of the new world. Vizenor’s novel seeks to analyze these two forms of globalization with an eye toward developing a critical sensibility that allows the positive to overcome the negative. To fully illuminate this point, we need to look a bit more closely at the novel’s depiction of these two instances of the “Columbian moment,” beginning with the Maya-indigenous one. Heirs represents the spirit of Mayan globalization through a series of repeated symbolic figures—among them “blue radiance” Transmotion Vol 1, No 2 (2015) 36   and the moccasin game mentioned above. Throughout the novel, the color blue stands in general as a sign of the power of “survivance.” Many people bear its “signature,” including the Maya, the Sephardic Jews, the Moors (“once a nomadic people”), as well as the modern Heirs/tricksters (34). But what does it mean to be marked by “survivance” in the context of a narrative focused on voyages of discovery and global encounter? Despite being one of Vizenor’s most familiar neologisms, “survivance” is a word that defies straightforward definition. As I have argued elsewhere, though, one of the central meanings embedded in the concept is the ability to be “recognized” (see Carlson, “Trickster”). In this respect, we might understand those who carry with them the “blue radiance” of survivance as those who are able to endure over time and whose endurance is tied both to their assertion of autonomy and their ability to have that autonomy acknowledged by others—a process that involves mutual or reciprocal recognition which allows for change and growth.7 Survivance, in this respect, is an integral component of sovereignty. And for Vizenor, interestingly enough, the moments that seem to provide both the clearest indices of survivance, as well as their most vigorous tests, are journeys of exploration and mutual encounter (along with the stories that commemorate and disseminate them). We might remember how, in the opening lines of his essay “Postindian Warriors,” Vizenor describes the journals of the Lewis and Clark expedition of 1804-6 as “the most notable literature of tribal survivance” (1). Developing an awareness of these kinds of associative links surrounding the “blue radiance” of survivance allows us to perceive another interesting pattern underlying the novel’s symbolic use of the mocassin game. Felipa Flowers’s signature blue moccasins set up a basic link between that symbol and the concept of survivance through mutual recognition. Felipa’s work as a negotiator who effects the repatriation of tribal remains is an expression of this sense of survivance, for that work is built on negotiations that only succeed when they take place in legal, cultural, and personal frameworks that allow for mutual recognition and respect that also acknowledges cultural difference. The theft of Felipa’s moccasins from her own body when she is murdered by agents working for Doric Michel (the artifact poacher and member of a colonialist “Brotherhood of American Explorers” that meets regularly in a “Conquistadores Club” in New York City) is deeply suggestive in this regard. For that criminal act represents quite clearly a David J. Carlson “The Columbian Moment” 37   distinction between two models of how the global human encounter might take shape. For one heir of Columbus, Felipa, the experience of globalization is built on the reciprocity of survivance. For the other, Doric Michel, it is built on exploitation, dehumanization, and colonialism. The novel’s use of the moccasin game as a recurrent plot motif goes even further in elaborating this idea of contrasting forms of the Columbian moment. Here, again, we see Vizenor using a recurrent symbol to explore two different sides to the global encounter with the other. On the negative, imperialist side, interestingly enough, we have a figure from inside the tribal world, the Wiindigo, whose ongoing predatory game against the Anishinaabe forms the centerpiece of one of Vizenor’s most frequently invoked traditional cultural narratives. (Vizenor relates the story of the contest between the Wiindigo and tribal tricksters in many of his books, both fictional and nonfictional.) The Wiindigo, of course, might be thought of as a person who has become a monster through the failure to recognize his commonality with other people; this is one of the symbolic meanings of his cannibalism. Consequently, his encounters with tribal peoples, in relation to whom he has become an alien other, take the form of predatory games— attempts to dupe, defraud, and destroy the people in whom he should see “relation.”8 If the Wiindigo’s moccasin game metaphorizes the dark side of the Columbian moment (its negative instantiation), Heirs also includes a suggestive counter-example in the ‘Bone Court’ hearing in the novel. The Bone Court is presided over by Judge Beatrice Lord, a character whose sympathetic responses to tribal claims of sovereignty and autonomy and whose ability to fully imagine the Indian other suggests a great deal about the utopian potential of the experience of mutual recognition. During the hearing, which focuses on the ongoing contest between Doric Michel and the heirs over the right to possess the remains of Columbus (a trope for Vizenor’s own engagement with the legacy and meaning of the Columbian moment, perhaps), the trickster and technologist Almost Browne offers Lord the chance to experience a “Virtual Moccasin Game.” Putting on a pair of electronic moccasins and other equipment enables Lord to “enter the shadow realities of tribal consciousness” (84). Figuratively, then, this section of the novel offers an illustration of the way that an openness to the direct realization and experience of the power of stories of the other creates the possibility for the mutual recognition of Transmotion Vol 1, No 2 (2015) 38   commonality and difference that would characterize a positive encounter between differing localities within the framework of global space. In the virtual global environment of Almost’s technological system, Lord is able to bring a range of narratives, localities, and perspectives together in a manner that enhances her respect for tribal sovereignty without leading her to totally abandon or repudiate her own traditions. As she plays the game, she comes into contact with an intense experience of Anishinaabeg locality (visiting the sacred headwaters), feels the power of intersubjective identification (observing shamanic bear-to-human transformations), and gains insight into the larger political and colonial contexts surrounding the criminal issues involved in the specific repatriation case before her (witnessing a reenactment of the disappearance of Columbus’s bones from Doric Michel’s vault). Through this process, she discovers that “the legal issues of standing in federal court could be resolved through simulations,” and she thus learns deeper lessons about the importance of the interpenetration of imagination and of mutual recognition in ensuring that the Columbian moment becomes one of survivance (87). The experience of a moment of global encounter becomes, for Lord, an opportunity for ethical breakthrough and a chance for self-reinvention. My reading here of the figural presentation of the elements involved in overcoming the imperial form of the Columbian moment is also reinforced, I believe, when we consider Vizenor’s reimagining of Columbus’ initial moment of encounter with the New World. Building upon those elements discussed earlier regarding the traces of blue radiance within him, Vizenor tellingly depicts Columbus as having been presented with an opportunity to choose between different paths in the first phases of his career as an agent of globalization. And by allowing us to re-read that moment against the matrix of symbols and figures that run throughout the text, Vizenor encourages his readers to view that choice as a paradigmatic one that speaks to the broader history and potentiality of global encounter. Traces of the potential for Columbus’s New World encounter to mimic and recreate the positive legacy of his indigenous ancestors are thematized in the form of a series of references to blue puppets. Early in his life, Columbus witnesses and is moved by a group of Sephardic Jewish women puppeteers he sees on the Island of Corsica. He is haunted by this memory, which the novel ties to his early experiences of the call of the ocean. That relationship is further explained as an older Columbus David J. Carlson “The Columbian Moment” 39   encounters the blue puppeteers again, this time at the Convento dos Santos in Lisbon. This is the place where, historically, Columbus first saw a well-born nineteen-year-old, Felipa Moñiz, whom he would later marry, but Vizenor transforms that fairly mercenary encounter with an other into something more prophetic and potentially transcendent. It is at this stage, too, that Columbus discovers that the blue puppets have been carved out of the wood of trees carried from the New World before wild storms, washing up on the Azores. Echoes of blood memory and the pull of a voyage promising self-recognition through an encounter with the other thus lay the foundation for what might have been in those fateful months and years after Columbus boarded his Santa Maria. The moment of truth in the novel is marked by the third appearance of the puppets, which by this point in the narrative clearly represent the trace of something hidden underneath the bloody actuality of the history of conquest, something that might be recovered through an act of imagination. Columbus hears the voices of the puppeteers at the moment of his encounter with “Samana” (37). Here is another complex and interesting example of linguistic and imaginative play on Vizenor’s part. At this point in the novel, the literal event he (through Stone) is reimagining is Columbus’s landing on October 28, 1492, at Bahia de Bariay in what is now Cuba, the first moment he set foot on New World soil (10). Vizenor changes this history in a variety of suggestive ways. He plays with the historical controversy regarding whether Columbus first landed in Cuba (which he called San Salvador) or at Samana Cay (an island sixty five miles south of there). For the novel both names his landing place Samana Cay and posits an erotic meeting between Columbus and an Indian woman of the same name (whose descendant, not surprisingly, is one of the moderns heirs). This represents both a witty joke evoking the notion of Columbus’s fundamental lack of understanding of his location as a global subject and an imaginative means of opening up a space to reconstruct an alternate history. Vizenor multiplies that effect by having Stone immediately change the date of the event he has just described, because “Columbus is ever on the move in our stories” (10). In the end, we have a series of potential Columbian moments, some historical, some imagined, that took place somewhere between October 28, 1492, at Bahia Bay or Samana Cay, and October 29, 1492, at Rio de la Luna (11). Wherever and whenever Columbus landed, Heirs does maintain that his encounter Transmotion Vol 1, No 2 (2015) 40   with the Indian woman Samana represented a historical crossroads and a choice between two types of globalizing moments. Samana, who is also described as a tribal hand talker (both an imaginative link to the earlier blue puppeteers and a clever evocation of the likely dynamics of communication that persisted between Columbus and los indios in this period of first contact when they spoke “through signs”) swims out to the Santa Maria and makes love to him. Part of Vizenor’s intent here, of course, may be satirical, playing with standard iconographic depiction of the New World as exotic Indian woman in European travel literature and the later colonial trope of Virgin land. In this case, though, both a figure of the Indian subject and the land (she pulls together both the human and cartographic elements of global encounter), Samana has considerable agency and a capacity for survivance (5). The novel explicitly suggests how Columbus’s brief encounter with her represented a missed opportunity for an experience of mutual self- discovery that might have been justly celebrated by both worlds. It is worth recalling that, generally in Vizenor’s fiction, sexual and erotic pleasure also signifies the imagination, imaginative pleasure, and liberation. Clearly, then, Columbus’s night with Samana can be read allegorically. Columbus’s family curse of a “twisted penis” makes perfect sense in this context (30). The novel suggests that it is a curse laid on (old world) men as revenge by women who were burned along with the bear codex in Alexandria. That burning, within the narrative framework of the novel, would represent a blindness to the existence and equal subjectivity of the other, a denial of key parts of the universality of human experience (for example, the fact that the globalizing impulse can manifest itself in others besides western man), and a foolish castration of imaginative capacity. Columbus’s twisted penis, then signifies more than persistently painful erections. It represents the move by western man to define himself through the subordination and then the erasure of the indigenous world. This fundamental act, which underlies the colonialist form of globalization, represents a colossal failure of imagination, one that in the case of our novel costs Christopher Columbus dearly as well. His night with Samana represented a moment of breakthrough where the mental structure of colonialism gave way to an alternative form of global encounter. Columbus experienced release with Samana, whom the novel (recalling the Codex) describes explicitly as a bear shaman possessing a healing touch and as characterized by that familiar symbolic blue radiance David J. Carlson “The Columbian Moment” 41   (12). The text repeatedly references the idea that she healed Columbus. Regrettably, though, the healing did not last (19). Despite the emotional and existential pull he feels towards her (Vizenor invokes the Journals’ most positive and enraptured descriptions of both the people and land of the new world at these points in the novel), Columbus turns away from this type of modernizing encounter of self-recreation. Instead, he soon founds his first colonial settlement (Navidad), initiating a system of slavery and murder while continuing to chase gold throughout the Caribbean. In a touch of wonderful lyricism, though, Vizenor notes that Columbus hears the voice of the blue puppeteers one last time on the deck of his ship during the stormy winter return to Europe at end of the first voyage (44). He will remember them many times after that, up to his death, by which time most of his honors and wealth had been stripped from him by his own people. So what might have happened if the Columbian moment of 1492 had taken another shape, the shape it takes, imaginatively, in the indigenous world of this novel? We get a hint of an answer to this in Stone Columbus’ reenactment of his ancestor’s career. It is significant that Heirs presents Stone’s nation-building activity, both at the Santa Maria Casino and at Point Assinika, as expressions of tribal sovereignty built on reciprocal altruism and expansive networks of cross-cultural relations. Initially, it would seem, Stone opens his casino as a kind of provocation and a parody of the European law of discovery. He asserts his “right to operate a casino as a new reservation moored to an anchor as long as the waters flow in the New World,” in a manner that clearly plays off of the language used by Ferdinand and Isabella in granting title to his ancestor Christopher at the time of the first voyage (7). This is an absurd claim, of course, but its very absurdity raises the obvious point that the basis for non-Indian title claims under the law of discovery is equally strange. In the end, though, I think the key point to realize is that Stone’s act of global legal consciousness here leads to the kind of liberating reinvention characteristic of Vizenorian survivance. It is no surprise that Stone’s initial formulation of, and claim to, sovereignty would be challenged, but the end result of that challenge is to trigger some important reformulations of the concept, with positive implications for both tribal and non-tribal peoples. On July 4th, three years after the first launching of casino, Stone is arrested for violation of state tax and gambling laws. Subsequently, the question of the nature of the Transmotion Vol 1, No 2 (2015) 42   sovereignty of the Santa Maria Casino ends up in federal court, in a case presided over by Beatrice Lord. In the end, Lord sanctions the “reservation on an anchor,” in no small part because she admires the imagination involved in its creation. Even more suggestively, though, in announcing her decision from the casino’s sterncastle (on Columbus Day), she redefines tribal sovereignty in a way that detaches it from formulation of title rooted in discovery law. “The notion of tribal sovereignty is not confiscable, or earth bound,” Lord writes. “Sovereignty is neither fence nor feathers. The essence of sovereignty is imaginative, an original tribal trope, communal and spiritual, an idea that is more than metes and bounds in treaties” (7). Following this logic, “The court...ruled that an anchor and caravel is as much a tribal connection to sovereignty as a homestead, mineral rights, the sacred cedar, and the nest of a bald eagle” (7).9 In this way, Lord signals that, despite its western legacy and baggage, the concept of sovereignty remains valuable because it can be stretched and adapted, imaginatively, in a way that takes it out of the realm of possessive property law (the reference to “metes and bounds”) and into a larger sense of relation and intersubjectivity.10 Lord’s experience of legal globalization (her opportunity to preside over a Columbian moment of contact between the U.S. legal system and Stone Columbus’s innovative assertions of tribal autonomy) allows her to continue forward with the process of deterritorializing and reframing the concept of sovereignty. She recognizes, of course, that Stone’s sovereignty claims exist in a political framework that, at present, limit them. In a nod to U.S. Indian law and the Marshall Court’s use of the law of discovery in defining Indian communities as “domestic dependent nations,” she comments that “The Santa Maria and the other caravels are limited sovereign states at sea, the first maritime reservations in international waters...” (8-9). And yet, the fact that Stone has created a “sovereign casino” that does, in fact, function surely highlights the idea that a tribal nation need not be synonymous with a sovereign state in the post-Westphalian sense of the term. The “new casino tribe” is more like what political scientist Nina Caspersen calls an “unrecognized state,” a kind of sovereign entity that relies on support from outside of itself and is characterized by its economic and cultural permeability (8). A “casino nation,” in other words, cannot exist without a constant dynamic of exchange between itself and those outside of it. It cannot stand alone or imagine itself in a way that cuts it David J. Carlson “The Columbian Moment” 43   off from the broader totality that surrounds it. It must embrace the dynamic of global encounter in a way that sends its people down a very different historical and political path from that of the Europe of Christopher Columbus. And in doing so, Vizenor suggests, with his characteristic hopefulness, indigenous people might offer guidance on how the modern world can redeem the Columbian moment and overcome the bloody legacy of its instantiation five centuries ago. Judge Lord’s observation regarding the wisdom and imagination that led Stone to placing his sovereign casino on an international border is wonderfully suggestive, for it urges the reader to consider how currently emerging international legal norms and a redefinition of the relations of power between local and global bodies are becoming increasingly important tools in the work of decolonization. Through Lord, Vizenor teases us into a recognition that the imaginative relocation of the “nation” and its claims to sovereignty into a globalized space might, in fact, be liberating. Reimagining the nation as something constituted in the exchange between global and local, then, can create the political conditions that allow for new definitions of legal status, new claims of sovereignty, and new ways in which those claims might be recognized. Indeed, Vizenor’s work on the recently ratified revised Constitution of the White Earth Nation highlights the “real world” applicability of that idea (see Carlson, “Trickster”). If such change can be broadly achieved, the Columbian moment might indeed be worthy of global commemoration. Notes 1 This idea, incidentally, forms a central theme in Vizenor’s more recent novel Shrouds of White Earth, in its depiction of a narrative triptych composed of Marc Chagall, the fictional Anishinaabeg painter Dogroy Beaulieu, and Vizenor himself. 2 For a general overview of the Columbian Exhibition, see Bolotin and Laing. 3 See Vizenor, “Ontic Images.” Examples of other critics who have begun to take up Vizenor’s terminology would include Martinez and Schweninger. 4 This idea can be usefully connected to Jodi Byrd’s concept of “transit.” Byrd explicitly links her work with Vizenor in The Transit of Empire. 5 There are many other versions of this pattern of imperfect reiteration and echoing throughout the novel. The part of the plot focused on Felipa Flowers, for example, makes a great deal out of the similarities between her experiences and those of Pocahontas, down to the fact that both meet their end at Gravesend. Stone is also compared to the Métis leader Louis Riel, who is likewise recalled in the form of another character, a retired military intelligence officer, now turned private-investigator and double-agent named Chaine Riel Doumet. American Indians are compared to the Sephardic Jews, who Transmotion Vol 1, No 2 (2015) 44   are, in turn, linked to the Mayans. However, in order to contain the complexity of the narrative a bit, for the purpose of the present argument, I want to maintain a narrow focus on Stone Columbus as the primary heir and to consider, through him, what the significance of this representational patterning in the novel might be. 6 In this respect, Vizenor gives readers an imaginative extension of historical realities explored recently by Jace Weaver in his book The Red Atlantic. 7 Vizenor offers another formulation of this idea in the second half of the novel, in his discussion of the (metaphorical) work being done at the Genome Pavilion at Point Assinika. There he writes that “...the chemical of genes can be touched in meditation and memories, that blue radiance is a wondrous instance in human creation, and those who can imagine their antimonies and mutations are able to heal with humor” [my emphasis] (Heirs 134). 8 It is no wonder that many contemporary indigenous writers invoke the Wiindigo-figure as a trope for colonialism and empire. Louise Erdrich does so in her novel Tracks in her characterization of Pauline Puyat, who turns on herself and her own people in a fury of misrecognition and assimilationist-driven self-hatred. Joseph Boyden explores wiindigo sickness in his WWI novel Three Day Road. Jack Forbes has also suggestively linked the Wiindigo with the origins and spread of imperialism and colonialism in Columbus and other Cannibals. 9 Vizenor clearly signals the importance of this definition by reiterating it later in the book. When Almost Brown is celebrating the repatriation of Columbus’s remains with a laser show, the loudspeakers on the casino mask boom out the following words: “The notion of sovereignty is not tied to the earth, sovereignty is neither fence nor feathers...The very essence of sovereignty is a communal laser. The Santa Maria and the two caravels are luminous sovereign states in the night sky, the first maritime reservation on a laser anchor” (Heirs 62). 10 On this type of dialectical transformation of sovereignty, see my forthcoming book Imagining Sovereignty (2016). Works Cited Bergreen, Laurence. Columbus: The Four Voyages, 1492-1504. New York: Penguin, 2011. Print. Bolotin, Norman and Christine Laing. The World’s Columbian Exhibition: The Chicago World’s Fair of 1893. Urbana: University of Illinois Press, 2002. Print. Boyden, Joseph. Three Day Road. New York: Penguin, 2006. Print. Byrd, Jodi. The Transit of Empire: Indigenous Critiques of Colonialism. Minneapolis: University of Minnesota Press, 2011. Print. Carlson, David. Sovereign Reading: Discourses of Self-Determination in American Indian Law and Literature. Norman: University of Oklahoma Press, 2016. David J. Carlson “The Columbian Moment” 45   (Forthcoming). Print. ----. “Trickster Hermeneutics and the Postindian Reader: Gerald Vizenor’s Constitutional Praxis.” Studies in American Indian Literatures. 23. 4 (Winter 2011): 13-47. Print. Caspersen, Nina. Unrecognized States: The Struggle for Sovereignty in the Modern International System. Malden (MA): Polity Press, 2012. Print. Columbus, Christopher. The Four Voyages: Being His Own Log Book, Letters, and Dispatches with Connecting Narratives. Trans. J.M. Cohen. New York: Penguin. 1992. Print. Erdrich, Louise. Tracks. New York: Harper Perennial, 2004. Print. Forbes, Jack. Columbus and Other Cannibals: The Wetiko Disease of Exploitation, Imperialism, and Terrorism. New York: Seven Stories Press, 2011. Print. Marramao, Giacomo. The Passage West: Philosophy After the Age of the Nation State. New York: Verso, 2012. Print. Martinez, David. “This is (Not) Indian Painting: George Morrison, Minnesota, and His Return to a Land He Never Left.” American Indian Quarterly. 39. 1 (Winter 2015): 25-51. Print. Polo. Marco. The Travels of Marco Polo. Trans. Ronald Latham. New York: Penguin, 1958. Print. Robertson, Roland. Globalization: Social Theory and Global Culture. London: Sage Publications, 1992. Print. Sen, Amartya. “Does Globalization Equal Westernization?” The Globalist. March 25, 2002. Web. 15 Aug. 2015. <http://www.theglobalist.com/does-globalization- equal-westernization/> ----. Identity and Violence. New York: W.W. Norton, 2006. Print. Schweninger, Lee. Imagic Moments: Indigenous North American Film. Athens: University of Georgia Press, 2013. Print. Vizenor, Gerald. "Aesthetics of Survivance." Native Liberty: Natural Reason and Cultural Survivance. Lincoln: University of Nebraska Press, 2009. 85-103. Print. ----. The Heirs of Columbus. Middletown: Wesleyan University Press, 1991. Print. Transmotion Vol 1, No 2 (2015) 46   ----. "Ontic Images." Native Liberty: Natural Reason and Cultural Survivance. Lincoln: University of Nebraska Press, 2009. 159-78. Print. ----. “Postindian Warriors.” Manifest Manners: Narratives on Postindian Survivance. Lincoln: University of Nebraska Press, 1999. 1-44. Print. ----. Shrouds of White Earth. Albany: State University of New York, 2010. Print. Weaver, Jace. The Red Atlantic: American Indigenes and the Making of the Modern World: 1000—927. Chapel Hill: University of North Carolina Press, 2014. Print. 
work_htvfr23zsfgg3cx5mzcebrro7e	----	-3- Medieval Islamic Navigation in the Atlantic David C. Nicolle Nottingham University, UK Medieval Islamic navigation in the Atlantic Ocean extended over greater distances than is generally realized. Most was in a region bordered by the Iberian peninsula, the north-western coast of Africa, the Canaries Islands, the Azores and Madiera, some of these islands being well known while others were little more than sailors’ legends. This region of the ocean has sometimes been the so-called “Mediterranean Atlantic” as it was closely linked in technological, economic and historical terms with the Mediterranean side of the Straits of Gibraltar. Most voyages by Muslim sailors in this “Mediterranean Atlantic” were undertaken for commercial, diplomatic or military reasons though some were a result of that intellectual curiosity, which characterized the golden age of medieval Islamic civilization. Roman vessels plied the coastal waters from the Straits of Gibraltar and the Iberian peninsula to the English Channel and British Isles. After the collapse of the western half of the Roman Empire a maritime link appears to have survived between the Iberian peninsula and the Celtic western fringes of Brittany, the British Isles and Ireland during the Visigothic period, before the Arab-Islamic conquest of al- Andalus but most particularly in the 7th century AD.’ This may have survived into Arab-Islamic period since it is clear that Britain remained the main source of tin for al-Andalus well into the 9th century AD.2 Furthermore, it is worth noting that the famous terror stories about the Atlantic, or Sea of Darkness as it was widely known in the Islamic world, all seem to stem from the Middle East.3 None seem to have originated amongst the Arabized people of Morocco or al-Andalus. The most famous seafarers of the early medieval Atlantic were, of course, at first the Celtic Irish and after then the Scandinavian Vikings. However, in reality two peoples habitually sailed the eastern Atlantic during the early medieval centuries - the Vikings and the Muslim Andalusians. While the latter never ventured as far as the Scandinavians, they remained the Vikings’ only real rivals. Furthermore, it was Viking raids, which prompted the Umayyad rulers of Cordoba (Qurtuba) to sent at least one official embassy to the far north, almost certainly to discover the source of -4- this sudden outburst of naval aggression from those little-known northern parts of the world.4 The Viking threat soon became serious enough for an Umayyad naval squadron to be created specifically to patrol the Atlantic coast of al-Andalus. These patrols remained in existance from the mid-9th to 10th centuries AD. The first Umayyad Andalusian naval bases had, of course, been on the Mediterreanean coast but in the mid-l0th century additional facilities, including shipbuilding arsenals, were constructed at Ageciras (al-Jazyra al-Khaḍra), Silves (Shilb) and Alcacer do Sol (Qaṣr Abī Danis) on the Atlantic coast. The resulting Atlantic fleets then proved themselves fully capable of defeating a major Viking raid in 966 AD and another in 971 AD.5 These successes were followed by the Vizir al-Mansur’s ambition combined operations assault upon the north-western Spanish city of Santiago in 997 AD. One of the commanders of a naval patrol, which fought Viking raiders in 8S9 AD, was named Khashkhāsh Ibn Sa’id Ibn Aswad of Pechina (Bajjana). One of the so-called “Adventurers of Lisbon” was also named Khashkhāsh and he made several expeditions far into the Atlantic before he disappeared along with his companions.6 Their voyage north proved dangerous and won little reward. Nevertheless, it probably reached Scandinavian settlements in Ireland where the “Adventurers” were said to have been told that exploration of the Atlantic had already been done by a previous generation, probably meaning by those Vikings who had reached Iceland and would soon sail to Greenland and even North America. The “Adventurers”’ subsequent voyages headed southward and achieved greater reward in Bilād al-Sudam, beyond the Canary Islands. It is even possible that they reached as far as the Cape Verde Islands.7 The flourishing fishing fleets of Lisbon (al-Ushbuna) and what is now the Algarve (al-Gharb) in southern Portugal also ranged far into the Atlantic as well as venturing down the western coast of Africa in search of good fishing grounds.8 Meanwhile, the Atlantic coast of Morocco saw considerable economic expansion in the 12th century AD and the Muwaḥḥid ruler ‘Alī Ibn Yūsuf even reportedly planned an abortive naval expedition to conquer the Canary Islands.9 In the early 13th century AD, a mariner named Ibn Fāṭima and his crew were wrecked off Ras Nu’adhibuin, much further south in what is now Mauretania.10 When taken together, these reports give a -5- distinct impression that such voyages were quite normal and perhaps even commonplace. During the reign of the Marinid sultan Ya‛qūb al- Manṣur (12 58-86 AD), an engineer from Seville (Ishbiliya), named Muḥammad Ibn al-’Alī, established a dār al-ṣinā‛a or naval arsenal at Sala on the Atlantic coast of Morocco.11 Many years later the so- called “Sallee Rovers”- meaning pirates from Sala in Morocco - who raided southern England in the 16th century AD12 included amongst their crews men of Andalusian origin. The military capabilities of western Islamic fleets had clearly not disappeared with the collapse of the Umayyad Caliphate of Cordova, and in 1340 AD a Moroccan fleet had destroyed a Castilian-Spanish fleet near Algeciras.13 This happened at a time when European observers regarded the Castilian fleet as the most powerful in Atlantic Europe. The concept of a spherical world was widely accepted by educated people in the 13th century Islamic world and the Algarve region remained a centre of geographical science, including the manufacture of spherical celestial globes, even after it was conquered by the Portuguese in the 13th century. Here, the idea that Africa could be circumnavigated and that inhabited “islands” existed far out into the Atlantic similarly survived. The role of this Algarve region during the first phase of Portuguese overseas exploration in the 15th century is well known.14 What is less well known is the fact that the Algarve seems to have played a major role in the evolution of the Arab- Andalusian form of widely used Islamic trading vessels called a qarib and a gurab15 into the famous caravel. The latter was, of course, used by Portuguese and Spanish explorers such as Vasco da Gama, Christopher Columbus, and many others during the 15th and 16th centuries AD. Given the speed with which new technology, including maritime technology, is known to have spread across the medieval Islamic world, it seems inconceivable that new naval ideas from the Indian Ocean should not have reached the Atlantic coast. The question of when knowledge of the hinged rudder, invented by the Chinese, reached the Islamic Middle East, and to what degree it may or may not have been adopted in the Arabian Gulf and Red Sea regions, has already been considered,16 but many other problems remain unsolved. For example, the sophistication of a pre-existing Celtic naval tradition in the Atlantic is indicated by the remains of a substantial ship found off Guernsey in the Channel Islands.17 The massive way in -6- which this vessel was constructed was very different from the somewhat flimsey Mediterranean naval architecture brought north by the Romans. Potentially very interesting in the context of Iberian- Andalusian navigation in the medieval Atlantic are certain design features which the Guernsey wreck seems to have in common with the few existing pictorial representations of western Islamic “Atlantic” ships. The most obvious is an angled keel and stempost construction. This is in clear contrast with the rounded hull form of both Roman and medieval Mediterranean vessels. The second might be a sort of cutwater where the keel and stempost join, a feature also seen in the medieval Red Sea.’8 It might also be worth noting that the written sources suggest, without specifically stating, that the Andalusian Atlantic squadron was able to defeat Viking raiders in the 10th century because they carried larger crews - perhaps because the shini Arab-Islamic galley was larger.19 Perhaps they were also more strongly built. Hulls with angled rather than rounded outlines returned to northern waters in the 13th and 14th centuries in the form of the famous cog, following the decline of the sleek but much smaller rounded hulls of Viking and post-Viking vessels, The reappearance of such angled hulls in the western Mediterranean during the 14th century is usually attributed to the influence of northern cogs arriving via the Straits of Gibraltar. Yet, the possibility of such a hull-form having survived in the Islamic Maghrib and al-Andalus should not be entirely ignored. Unfortunately, little research has yet been done on the ships used by Muslim Andalusian and Moroccan sailors in the Atlantic. This may prove to be a fruitfull field of study and is certainly worth consideration. -7- Captions -8- -9- A Galley in an illustration of “The Second Trumpet,” Beaus Commentaries on the Apoccalypse, Iberia 922-952 AD (Pierpont Morgan Lib., Ms. 644, f. 137r, New York). Three points need to be noted in this tiny and highly stylized drawing from a 10th century Mozarab (Iberian Christian within the Andalusian Islamic cultural context) manuscript. These are the possible existance of a raised beak instead of a waterline ram, the straight stempost attached at an angle to the keel, and the curved stern which continues to form a high decorative poop. Similar hull forms may be shown in various other pictorial sources of Islamic origin. B A petraglyph or rock-drawing of a sailing ship at Azru Aklan, near the western end of the Wadi Draa in southern Morocco not far from the Atlantic coast. Although it cannot be dated, the shape of the hull and the sail suggests that it was scratched on a rock in the medieval rather than ancient or early modern eras. The sail is basically triangular, the prow angled and near vertical, the stern apparently curved, while the vessel is controlled by a steering oar instead of a hinged rudder. The simple style of drawing also recalls other medieval Arab “sailor’s drawings” from Egypt, the Middle East and East Africa. C “Argo” in the Suwar al-Kawaklb (Book of Fixed Stars) by al- Sufi; copy made in Sabta (Ceuta), northern Morocco 1224 AD (Vatical Lib., Ms. Ross 1033, Rome). This manuscript contains a perhaps unique though obviously highly stylized illustration of a vessel of the type in which medieval Muslim sailors may have plied the western Atlantic. Its iconography is, of course, based on earlier Islamic “Books of Stars” from further east, yet this illustration of Argo also includes interesting features. Assuming that the sail is blowing forward as one would expect, the hull has the same curved stern but angled stempost as shown in the previous two illustrations. In addition there is an unusual deck-house in front of the mast if we have identified the prow and stern correctly, plus a lateen -10- sail. The oars are a convention based upon the star- constellation of Argo and, with the exception of one almost unique feature, one might regard this as a stylized drawing of an ordinary early 13th century merchant ship. The exception lies at the ends of the keel where two apparent cutwaters are shown. These could be dismissed as artistic conventions were it not for the fact that exactly the same feature is found on a crude medieval drawing from the Egyptian Red Sea port of Qusayr (figure D). Perhaps it was a feature of Islamic ships operating in tidal seas such as the Atlantic and Indian Oceans which had to be beached rather than docked, as in the tideless Mediterranean. D Part of a simple sketch or drawing on a fragment of paper found by archaeologists in the rubbish dumps of medieval Qusayr (Old Qusayr) on the Red Sea coast of Egypt, l3th-l4th centuries AD (Museum of Islamic Art, inv. 1097, Cairo). It is impossible to state with certainty whether this little drawing from the early Mamluk period shows the prow or stern of the ship. The vessel was probably single-masted, perhaps with a yard-arm to hold a lateen sail, and it seems to have a substantial midships deckhouse which extends both ahead of and behind the mast. The stem or sternpost is essentially straight with a series of ropes or perhaps two steering oars extending from it. Most interesting, in the context of this study, is a small extension or cutwater at the end of the keel. Perhaps it was to protect the keel when beaching the ship. E This simple but better-known stratched graffito comes from Malaga on the southern coast of Spain and is generally thought to date from the 14th or 15th centuries (Museo Naval, Madrid). It illustrates a typical single-masted Mediterranean galley with a lateen sail, a raised boarding beak rather than a ram, probably a single bank of oars, slightly raised fore and aft castles, and steering oars rather than a hinged rudder. This latter feature would, in fact, point to a date earlier than the 14th century - perhaps considerably so. One may, however, assume that such galleys were responsible for maintaining Islamic communications between al-Andalus and Morocco. -11- F Polychrome ceramic bowl from Rabat, 15th century AD (Archaeological Museum, Rabat). The ceramics of later medieval North Africa are crude in comparison to those of Andalusia and of the Islamic Middle East. The ship on this piece is highly stylized but certain features can be identified. The vessel has three masts, two of which carry lateen sails, plus what appears to be a bank of oars though these are not connected to a possible row of oar-ports. Even the cross- hatched triangular projection on the right or presumed stern recalls features seen in earlier Middle Eastern Islamic representations of ships. Perhaps such forms of ceramic were traditional and they might have no connection with contemporary shipping. On the other hand Rabat is very close to S ala, the home-port of the famous “Sallee Rovers.” These North African corsairs used three-masted xebecs and ranged across much of the north Atlantic during the 16th and 17th centuries. G The best preserved of two tin-glaze ceramic bowls from the church of S. Piero a Grado in Pisa, 11th century AD (Museo Nazionale di S. Matteo, Pisa). The two bowls were used as -12- bacini, inserted as a form of architectural decoration into the structure of the Church. They were almost certainly made in the Balearic Islands of Spain which were then under Islamic rule and formed part of the flourishing Andalusian kingdom of Denia. The ships themselves are fully within a medieval Mediterranean tradition of lateen sailed “round ships” with high stern-castles, as illustrated in many sources from Iberia and Italy. However, these bowls are particularly important because of their date and provenance. They are considerably earlier than previously known pictures of three-masted ships and might support the idea that multi-masted vessels did not disappear from the early medieval Mediterranean following the collapse of the Roman Empire. Or perhaps they might at least have survived in those regions which became the western Islamic world. Current research into the history of Islamic technology is also strengthening the view that the Islamic world was, for many centuries, the major inovator in technological terms.20 This may also have applied to ship design and methods of construction, in which case those specifically medieval features which distinguish the medieval Mediterranean “roundship” from its two-masted Roman predecessor the corbita may have been a shared Byzantine and Islamic development or indeed a largely Islamic one. Footnotes: 1- J. N. Hillgarth, Visigothic Spain, Byzantium and the Irish (London 1985) passim. 2- M. Lombard, Les Mélaux dans l’ancient monde du Ve au XIe siècle (Paris 1974) Map A, & passim; J.W. Allan, Persian Metal Technology 700- 1300 AD (Oxford 1979) 2 7-28; Ibn Sa’id, cited in E, Ashtor, Les métaux précieux et la balance des payements du proche-orient à la basse époque (Paris 1971) 53-56. 3- D. M. Dunlop, “The British Isles according to Medieval Arabic Authors,” Islamic Quarterly IV (1957) 11. 4- Dunlop, “The British Isles”, 12-14; ibid., “Al-Bahr al-Muhit,” in Encyclopedia of Islam, 2nd edit., vol. I (Leiden 1960) 934. 5- Dunlop, “The British Isles”, 12, 15 & 19; ibid., “Al-Bahr al- Muhit,” 934; E. Lévi-Provençal, Histoire de l’Espagne Musulmane -13- (Paris & Leiden 1950-1967) vol I, 218-225, 310-312 & passim, vol II,156, 170-171 & 180, vol. III, 93, 106-107, 111, 321, 336 & 342; D. C. Nicolle, “Moors against Majus: The Defence of Spain and Morocco against the Vikings 844-972 AD,” Osprey Military Journal II/3 (2000) 23-32. 6- Dunlop, “The British Isles,” 15,18 & 2 3-24; Lévi-Provençal, Histoire de l’Espagne Musulmane, vol. I, 354 & vol. III, 342. 7- Dunlop, “Al-Bahr al-Muhit,”934; ibid., “The British Isles,” 15-18 & 22-24. 8- Lévi-Provençal, Histoire de l’Espagne Musulmane, vol. III, 297- 298; Dunlop, “The British Isles,” 17-18; ibid., “Al-Bahr al-Muhit,” 934. 9- D. M. Dunlop, “Al-Djaza’ir al-Khalida,” in Encyclopedia of Islam, 2nd edit., vol. II (Leiden 1965) 522. 10- H. T. Norris, Saharan Myth and Saga (Oxford 1972) 4-5. 11- J. L. Yarrison, Force as an Instrument of Policy: European Military Incursions and Trade in the Maghrib, 1000-1355 (Ph D thesis, Princeton Univ. 1982) 118, 135 & 227-228. 12- E. Lucie-Smith, Outcasts of the Sea: Pirates and Piracy (London & New York 1978) 64-65. 13- J. D. Latham, “The Strategic Position and Defence of Ceuta in the Later Muslim Period,” Islamic Quarterly XV (1971) 204. 14- B. Landström, The Quest for India (London 1964) 162 & 187; G. Ferrand, Instructions Nautiques et Routiers Arabes et Portugais des 15e et 16e siècles, 3 vols. (Paris 1921-1928) passim. 15- S. D. Goiten, A Mediterranean Society: The Jewish Communities of the Ara World as Portrayed in the Documents of the Cairo Geniza, vol. I, Economic Foundations (Berkeley 1967) 305-306; D. A. Agius, “Maqrizi’s Evidence for the Gurab: The Galley of the Mamluks,” in U. Vermeuben & J. M. F. Van Reeth (edits.), Law, Christianity and Modernism in Islamic Society (Leuven 1998) 195- 196; D. A. Agius, “Historical-Linguistic Reliability of Muqaddasi’s Information on Types of Ships,” in D. A. Agius & I. R. Netton (eds.), International Medieval Research. Across Mediterranean Frontiers: Trade, Politics and Religion, 650-1450: -14- Selected Proceedings of the International Medieval Congress, University of Leeds, 10-13 July 1995, 8-11 July 1996 (Turnhout 1997) 303-329; J.H. Pryor, Geography, technology and war: Studies in the maritime history of the Mediterranean 649-1571 (Cambridge 1988) 28 & 32. 16- V. Christides, “The Transmission of Chinese Maritime Technology to the Arabs: The Single Stern Rudder, Greek Fire, Animal Transport Ships” (pre-publication draft of article); D.C. Nicolle, “Shipping in Islamic Art; Seventh through Sixteenth Century AD,” American Neptune XLIX (1989) 168-197. 17- M. Rule & J. Monaghan, A Gallo-Roman Trading Vessel from Guernsey: The Excavation and Recovery of a Third Century Shipwreck (Guernsey 1993) 125-131. 18- Nicolle, “Shipping in Islamic Art,” 175-181. 19- V. Christides, “Naval Warfare in the Eastern Mediterranean (6th- 14th centuries): An Arabic Translation of Leo VI’s ‘Naumachica’,” Graeco Arabica III (1984) 140-141; ibid., “Milaha: in the pre- Islamic and Medieval Arab Worlds,” in Encyclopedia of Islam, 2nd edit., vol. VIII (Leiden 1991) 44-45; ibid., “Navies: Islamic,” in J. R. Strayer (ed.), Dictionary of the Middle Ages, vol. IX (New York 1992) 76; S. D. Goiten, “Glimpses from the Cairo Geniza on Naval Warfare in the Mediterranean and on the Mongol Invasion,” in Studi Orientalistici in Onore di Giorgio Levi della Vida (Rome 1956) 395, 397 & note 1. 20- Al-Hassan, A.Y., & D. R. Hill, Islamic Technology, an illustrated History (Cambridge 1986) 3 1-34 & passim. 
work_hwptdgsggza6jeaek3gujntsoy	----	CDP409007 197..200 Two Mechanisms for Simulating Other Minds: Dissociations Between Mirroring and Self-Projection Adam Waytz and Jason P. Mitchell Harvard University Abstract People often attempt to understand other minds by using their own thoughts and experiences as a proxy for those of others, a process known broadly as simulation. Recent research in cognitive neuroscience has identified the neural bases of two forms of simulation: mirroring and self-projection. Mirroring involves a vicarious response in which a perceiver experiences the same current mental state as that of another person, and has been linked recently to brain regions that ‘‘mirror’’ the experiential states of others. In contrast, self-projection involves imagining oneself in the same situation as another person, predicting one’s thoughts and feelings in that hypothetical scenario and assuming that the other would think and feel the same way. This form of simulation has been linked to a set of regions known collectively as the default network and includes the medial prefrontal cortex, precuneus and posterior cingulate, and lateral parietal cortex. Although most discussions of simulation have conflated these two processes, here we describe the conceptual and empirical reasons to distinguish between self-projection and mirroring and sug- gest the unique role each plays in understanding others. Keywords mentalizing, theory of mind, simulation, self-projection, mirror system Despite never directly perceiving others’ thoughts and feelings, humans can use an important source of understanding the inter- nal experience of others: their own minds. This ability—called simulation—involves using one’s own thoughts, feelings, and intentions as a guide to what others are thinking, feeling, or intending. Although considerable research has demonstrated that people use themselves to understand others’ mental states, theo- retical discussions have tended to conflate two distinct types of simulation: mirroring and self-projection. Perceivers can under- stand others by mirroring their experience, vicariously experien- cing another person’s mental states. At the same time, perceivers can also project themselves into another person’s situation, con- sider the thoughts and feelings engendered by that situation, and then infer that the other would think and feel similarly. Here we distinguish between these two forms of simulation by reviewing their different functions and dissociable neural bases. The notion that humans can adopt the mental states of others as their own dates at least as far back as David Hume (1739/1958, xi), who described emotional resonance with others as the basis for sympathy, noting, ‘‘A cheerful countenance infuses a sensible complacency and serenity into my mind; as an angry or sorrowful one throws a damp upon me . . . we never remark any passion or principle in others, of which . . . we may not find a parallel in ourselves.’’ In the later part of the 20th century, philosophers of mind attempted to define simulation more formally. For exam- ple, Gordon (1986) described simulation essentially an identical process to predicting and generating one’s own actions— ‘‘deciding what to do, but extended to people of ‘minds’ different from one’s own’’ (p. 162, italics in original). These definitions vary in terms of the immediacy with which perceivers interact with other minds. Hume described the ability to vicariously experience another person’s state—feeling as that person feels—at the very same moment as the other. In contrast, Gordon described a process involving at least two steps—ima- gining one’s own experience and then projecting it onto another person. These two extremes capture the primary distinction between mirroring and self-projection. Whereas the former involves a near-simultaneous resonance with the other person’s experience, the latter involves first imagining ‘‘off-line’’ what one’s own thoughts and feelings would be in the other person’s Corresponding Author: Jason Mitchell or Adam Waytz, Harvard University, Northwest Science Building, 52 Oxford Street, Cambridge, MA 02138 E-mail: jason_mitchell@harvard.edu or waytz@wjh.harvard.edu Current Directions in Psychological Science 20(3) 197-200 ª The Author(s) 2011 Reprints and permission: sagepub.com/journalsPermissions.nav DOI: 10.1177/0963721411409007 http://cdps.sagepub.com at Harvard Libraries on May 24, 2011cdp.sagepub.comDownloaded from http://cdp.sagepub.com/ situation and then projecting them onto that person. Recent research in cognitive neuroscience has supported this conceptual distinction by identifying dissociable neural mechanisms under- lying both forms of simulation. Neural Bases of Mirroring Considerable interest in the ability to mirror others’ experience followed the discovery that some neurons in the macaque pre- motor cortex respond when a monkey either observes or exe- cutes an action (di Pellegrino, Fadiga, Fogassi, Gallese, & Rizzolatti, 1992). Since these initial observations, researchers have reported dozens of experiments in both macaques and humans that consistently identify a set of regions in the inferior frontal cortex and superior parietal lobe (i.e., the parieto-frontal circuit) that are involved both in the production of goal-directed motor action and observation of others’ goal-directed actions (for a recent review, see Rizzolatti & Sinigaglia, 2010; see Hickok, 2009, for an alternative view). Moreover, researchers have repeatedly observed similar mirroring processes across a variety of mental states other than goals and intentions. Observing another person in pain acti- vates many of the same regions involved in the subjective experience of pain, including the rostral anterior cingulate cortex and cerebellum (Singer et al., 2004). Observing others receiving monetary gains activates regions involved in the sub- jective experience of reward, such as the ventral striatum (Mobbs et al., 2009). Observing others experience disgust acti- vates regions involved in the subjective feeling of disgust, such as the insula (Wicker et al., 2003). And observing others expe- rience fear activates regions such as the amygdala (Whalen et al., 2001), a region also involved in the subjective experience of fear and anxiety. Humans appear to have a general tendency to adopt the pattern of brain activity associated with experien- cing a particular kind of mental state when merely watching another person having that same type of experience—that is, to mirror others’ mental states in themselves. Neural Bases of Self-Projection Over the past few years, researchers have demonstrated that a network of brain regions subserves the ability to imagine experiences unrelated to one’s current perceptual environment. This set of regions—known collectively as the default net- work—comprises the medial prefrontal cortex, precuneus and posterior cingulate, and lateral parietal cortex (Raichle et al., 2001) and has been linked repeatedly to tasks in which people consider their own mental states and traits, imagine themselves experiencing fictitious events, consider experiencing possible events in the future, or recall their experiences from the past (Buckner & Carroll, 2007). Interestingly, involvement of these same regions has consistently been reported in studies in which participants explicitly consider the mental states of other peo- ple (Frith & Frith, 2003). That is, the same neural regions that subserve the human capacity to contemplate oneself experien- cing events outside of the here-and-now also subserve the capacity to imagine the mental states of other people. This overlap suggests that the cognitive mechanisms underlying people’s ability to mentally conjure up fictitious experiences are also those that allow people to mentalize about the internal states of others, consistent with the notion that perceivers engage in similar types of self-projection regardless of whether the counterfactual experience they are considering involves thoughts about a hypothetical time and place or the possible goings-on of another mind (Tamir & Mitchell, 2011). Dissociable Functions of Mirroring and Self-Projection Existing data suggest that mirroring and self-projection operate in distinct contexts, depending on the kind of information avail- able to perceivers about another person’s mental states. Mirror- ing typically occurs when perceivers can make use of observable cues about what other persons are experiencing. Perceivers mirror when they see or hear another person’s phys- ical actions, when they witness a clearly painful situation such as a needle penetrating a person’s hand, or when they observe another person’s emotional expression. In other words, percep- tible cues to another person’s experience seem to evoke a similar experience in oneself, as reflected in vicarious neural responses to others’ actions that reflect their mental states (de Lange, Spronk, Willems, Toni, & Bekkering, 2008). However, many instances in which people consider the mental states of another person occur when that person is not immediately present. People anticipate their boss’s mood before asking for a raise, wonder how their relatives in distant geographical locations are feeling, consider their opponent’s intentions before entering a business negotiation, and ruminate on the effect of their words on others long after speaking them. In other words, perceivers can readily contemplate minds that exist at a significant distance from the here-and-now in the absence of external cues such as facial expression, vocal tone, or bodily movement that could provide observable information about others’ internal states. Consistent with their putative role in self-projection of this kind, activation in regions of the default network has typically been observed when perceivers consider the minds of individ- uals that they cannot physically perceive. For example, in some of the earliest studies to suggest the role of these regions in mentalizing, participants were asked about the potential mental states of Christopher Columbus (Goel, Grafman, Sadato, & Hallett, 1995) or about fictitious characters in cartoons and stories (Gallagher et al., 2000). Likewise, activation in this net- work of regions is routinely observed when participants read narrative stories that are, by definition, devoid of observable cues to others’ mental states (Saxe & Kanwisher, 2003). Even when perceivers can see the person whose mind they are to consider, regions of the default network contribute to mentaliz- ing when physical cues are irrelevant to the specific inferences to be made—for example, when judging another person’s stable personality characteristics or dispositions (Mitchell, Macrae, & Banaji, 2004). 198 Waytz, Mitchell at Harvard Libraries on May 24, 2011cdp.sagepub.comDownloaded from http://cdp.sagepub.com/ One of the few studies to simultaneously examine the neural bases of self-projection and mirroring demonstrated the distinct role of each process during mentalizing (Zaki, Hennigan, Weber, & Ochsner, 2010; see also Brass, Schmitt, Spengler, & Gergely, 2007; Spunt, Falk, & Lieberman, 2010). In this study, participants inferred a target’s emotional state under three conditions. During perceptually cued trials, participants watched a silent video of the target describing an emotionally evocative autobiographical event (unaccompanied by any con- textual description of the event). During context-only trials, participants made their inferences on the basis of a sentence describing the event that the person had experienced (unaccom- panied by video). And during combined trials, participants received both perceptual and contextual information about the emotions of the other person. Consistent with the proposed division of labor between two systems for mentalizing, perceptual cues to the target’s mental states elicited stronger activation in brain regions involved in mirroring (i.e., the fronto-parietal circuit), whereas contextual cues engaged the default network. The presence of both sources of information was accompanied by activation in both sets of regions, suggest- ing that a complete understanding of others’ inner experiences relies on brain regions that integrate both perceptible external cues to and imagined simulations of others’ mental states. The Heterogeneity of Social Cognition In suggesting that the human mind uses at least two forms of simulation, these findings support a view of social cognition as a collection of mental processes, each specialized for making sense of others under specific circumstances. Just as humans make use of several different perceptual senses (sight, smell, taste, touch, hearing) to represent the physical world around them, humans use several different social-cognitive processes to construct a useful representation of the social world around them. These distinct processes provide different information about other minds, handle different content, and are more or less useful depending on the goals of the perceiver and the spe- cifics of the social environment. Here, we suggest that two of these processes rely on using one’s own mental states as a proxy for those of others, a strategy broadly known as simula- tion. Recent findings from cognitive neuroscience suggest that these distinct forms of simulation—mirroring and self-projec- tion—may operate under different situational constraints, such as whether relevant perceptual cues to another person’s mental states are available. These distinctions serve to remind us that, rather than a single capacity, human social cognition comprises a rich set of mechanisms for understanding other minds. In addition to relying on different forms of simulation, perceivers make inferences about others by using categorical information (i.e., stereotypes), unique information about specific individuals, and theories about what other people are generally like. Although initial attempts to reduce social inference to a single cognitive process produced spirited debates over whether humans mentalize only in one or another manner, research has now demonstrated that social cognition relies on a suite of cognitive processes that, far from being mutually exclusive, interact in important ways. Armed with new methods for understanding the neural basis of social cognition, researchers continue to make considerable progress in understanding the contexts in which perceivers avail themselves of these various strategies for making sense of others. Recommended Reading Brass, M., Schmitt, R.M., Spengler, S., & Gergeley. (2007). (See References). A study that dissociates the role of brain regions involved in mirroring and brain regions involved in more inferen- tial mentalizing. Keysers, C., & Gazzola, V. (2007). Integrating simulation and theory of mind. Trends in Cognitive Sciences, 11, 194–196. An additional framework for integrating the mechanisms of mirroring and more reflective forms of mentalizing such as self–projection. Rizzolatti, G., & Craighero, L. (2004). The mirror-neuron system. Annual Review of Neuroscience, 27, 169–192. A comprehensive review of the initial evidence in support of the existence of the mirror-neuron system and its function. Zaki, J., Hennigan, K., Weber, J., Ochsner, K. (2010). (See Refer- ences). A clear empirical demonstration of the dissociation between self-projection and mirroring. Acknowledgments We thank Jamil Zaki for comments on a previous draft of this manuscript. 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work_hwzdo7echbf4nl3yt6pkl4kbkq	----	Histopathological Study of a Mummified Eye and Optic Nerve from a Strangled Peruvian Mummy | Semantic Scholar Skip to search formSkip to main content> Semantic Scholar's Logo Search Sign InCreate Free Account You are currently offline. Some features of the site may not work correctly. DOI:10.1159/000431099 Corpus ID: 974884Histopathological Study of a Mummified Eye and Optic Nerve from a Strangled Peruvian Mummy @article{Esteban2015HistopathologicalSO, title={Histopathological Study of a Mummified Eye and Optic Nerve from a Strangled Peruvian Mummy}, author={J. Esteban and Sandra Cases-M{\'e}rida and M. Tortosa and B. Marzal and A. Fern{\'a}ndez and C. G{\'a}lvez and Regulo Franco and P. L. Fern{\'a}ndez}, journal={Pathobiology}, year={2015}, volume={82}, pages={90 - 93} } J. Esteban, Sandra Cases-Mérida, +5 authors P. L. Fernández Published 2015 Medicine, Biology Pathobiology We present the histopathological findings of a naturally mummified eye from the Peruvian Lambayeque culture (900-1,200 AD), in which rehydration, light microscopy, and scanning electron microscopy allowed a detailed analysis of several eye tissues including the eyelids, sclera, and optic nerve, the latter showing evidence of hemorrhage likely related to the documented strangulation as the cause of death. We conclude that histopathological analysis of rehydrated mummified tissues can provide… Expand View on PubMed karger.com Save to Library Create Alert Cite Launch Research Feed Share This Paper 1 Citations View All Figures and Topics from this paper figure 1 figure 2 Optic Nerve Mummies Hemorrhage Abducens Nerve Diseases Cessation of life Light Microscopy Scanning Electron Microscopy Sclera Eye Death by strangulation One Citation Citation Type Citation Type All Types Cites Results Cites Methods Cites Background Has PDF Publication Type Author More Filters More Filters Filters Sort by Relevance Sort by Most Influenced Papers Sort by Citation Count Sort by Recency Mummy studies and the bioarchaeology of care. K. Nystrom, L. Tilley Medicine International journal of paleopathology 2019 5 Save Alert Research Feed References SHOWING 1-10 OF 21 REFERENCES SORT BYRelevance Most Influenced Papers Recency Histopathologic findings in naturally preserved mummified human eyes. Huck A. Holz, W. Lloyd, M. Mannis, A. Aufderheide Medicine Archives of ophthalmology 2007 8 PDF Save Alert Research Feed A Paleoneurohistological Study of 3,000-Year-Old Mummified Brain Tissue from the Mediterranean Bronze Age Gemma Prats-Muñoz, A. Malgosa, +12 authors P. L. Fernández Medicine, Biology Pathobiology 2012 12 PDF Save Alert Research Feed The eye and its diseases in Ancient Egypt. S. R. Andersen Medicine Acta ophthalmologica Scandinavica 1997 15 Save Alert Research Feed The eye in the Egyptian mummy. A. Sandison Art, Medicine Medical history 1957 9 PDF Save Alert Research Feed Intraocular and optic nerve sheath hemorrhage in cases of sudden intracranial hypertension. P. Muller, J. Deck Medicine Journal of neurosurgery 1974 124 PDF Save Alert Research Feed Advances in the paleopathology of Andean South America J. Verano History 1997 45 PDF Save Alert Research Feed Identification of Mycobacterium tuberculosis DNA in a pre-Columbian Peruvian mummy. W. Salo, A. Aufderheide, J. Buikstra, T. A. Holcomb Biology, Medicine Proceedings of the National Academy of Sciences of the United States of America 1994 376 PDF Save Alert Research Feed A 9,000-year record of Chagas' disease A. Aufderheide, W. Salo, +8 authors M. Allison Biology, Medicine Proceedings of the National Academy of Sciences of the United States of America 2004 326 PDF Save Alert Research Feed Childhood Lost: Abductions, Sacrifice, and Trophy Heads of Children in the Wari Empire of the Ancient Andes Tiffiny A Tung, K. Knudson History Latin American Antiquity 2010 29 Save Alert Research Feed Reconstitution of dried-up tissue specimens for histological examination. A. Sandison Medicine Journal of clinical pathology 1966 7 PDF Save Alert Research Feed ... 1 2 3 ... Related Papers Abstract Figures and Topics 1 Citations 21 References Related Papers Stay Connected With Semantic Scholar Sign Up About Semantic Scholar Semantic Scholar is a free, AI-powered research tool for scientific literature, based at the Allen Institute for AI. Learn More → Resources DatasetsSupp.aiAPIOpen Corpus Organization About UsResearchPublishing PartnersData Partners   FAQContact Proudly built by AI2 with the help of our Collaborators Terms of Service•Privacy Policy The Allen Institute for AI By clicking accept or continuing to use the site, you agree to the terms outlined in our Privacy Policy, Terms of Service, and Dataset License ACCEPT & CONTINUE 
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work_i4wquq65q5d27azp6wekuobc5i	----	deb_pone.0069584 1..6 Ancient mtDNA Analysis of Early 16th Century Caribbean Cattle Provides Insight into Founding Populations of New World Creole Cattle Breeds Camilla F. Speller1,2*, David V. Burley2*, Robyn P. Woodward2, Dongya Y. Yang2 1 Department of Archaeology, University of York, York, United Kingdom, 2 Department of Archaeology, Simon Fraser University, Burnaby, British Columbia, Canada Abstract The Columbian Exchange resulted in a widespread movement of humans, plants and animals between the Old and New Worlds. The late 15th to early 16th century transfer of cattle from the Iberian Peninsula and Canary Islands to the Caribbean laid the foundation for the development of American creole cattle (Bos taurus) breeds. Genetic analyses of modern cattle from the Americas reveal a mixed ancestry of European, African and Indian origins. Recent debate in the genetic literature centers on the ‘African’ haplogroup T1 and its subhaplogroups, alternatively tying their origins to the initial Spanish herds, and/or from subsequent movements of taurine cattle through the African slave trade. We examine this problem through ancient DNA analysis of early 16 th century cattle bone from Sevilla la Nueva, the first Spanish colony in Jamaica. In spite of poor DNA preservation, both T3 and T1 haplogroups were identified in the cattle remains, confirming the presence of T1 in the earliest Spanish herds. The absence, however, of ‘‘African-derived American’’ haplotypes (AA/T1c1a1) in the Sevilla la Nueva sample, leaves open the origins of this sub-haplogroup in contemporary Caribbean cattle. Citation: Speller CF, Burley DV, Woodward RP, Yang DY (2013) Ancient mtDNA Analysis of Early 16 th Century Caribbean Cattle Provides Insight into Founding Populations of New World Creole Cattle Breeds. PLoS ONE 8(7): e69584. doi:10.1371/journal.pone.0069584 Editor: M. Thomas P Gilbert, Natural History Museum of Denmark, Denmark Received May 5, 2013; Accepted June 12, 2013; Published July 24, 2013 Copyright: � 2013 Speller et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This research was supported in part by 2004 and 2009 SFU/Social Sciences and Humanities Research Council grants to DVB with additional funding in 2009 to DVB/RPW from National Geographic Society (#8522-08). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. * E-mail: camilla.speller@york.ac.uk (CS); burley@sfu.ca (DB) Introduction Initiated in 1492 by the voyage of Christopher Columbus, the Columbian Exchange involved a dramatic and widespread transfer of people, animals, plants, diseases, and ideas between the New and Old Worlds [1,2]. Iberian animal domesticates, including cattle, were introduced successfully to the Caribbean throughout the late 15 th and early 16 th centuries. The ability of these animals to survive and potentially prosper within this tropical landscape was essential for long-term success in Spanish settlement and expansion into the Americas [2,3]. In Iberia, cattle production for meat and hides was a substantive component of economy, especially focused in the southern territory of Andalusia from which New World colonization efforts were staged [4]. New World cattle imports also came from the Canary Islands, a Spanish colony since 1479, and a mid-way stopping point for Spanish ships destined for the Caribbean [5]. Rouse [5] estimates Spanish cattle imports to the Caribbean between 1494 and 1512 were less than 1,000 head and probably no more a few hundred. Historical accounts indicate these herds were relatively adaptable, and they proliferated across the Caribbean landscape [6]. On Hispaniola (Haiti/Dominican Republic) alone, free ranging cattle herds numbered in the thousands of animals in the early to mid 16 th century, and the export of hides was a principal economic activity [7]. These historic observations are consistent with archaeological deposits dominated by cattle remains in early Spanish colonizing sites [8]. It was this core ancestral stock that was subsequently imported to both North and South America during the Spanish conquest era beginning in 1512, laying the foundation for the American creole breeds [5]. A second wave of cattle introductions began a century later, predominantly associated with the trans-Atlantic slave trade [9–11]. Between 1595 and 1880, over 26,000 voyages brought slaves, live animals and food crops from Africa to the Americas, including the Caribbean [9,11–13]. Among these imports were cattle from northern and continental Europe, Africa, the Atlantic islands and India, thereby adding to the genetic diversity of New World creole populations [5,9,10,14–17]. One cannot question the ancestral role of Iberian cattle for New World creole populations. There is, however, considerable debate as to the genetic composition of the original stock, particularly as it relates to African contributions [15,18–22]. Analyses of Bos taurus mtDNA control-region sequences previously defined three pre- dominant and geographically structured taurine haplogroups [23]: T1 dominantly occurs in Africa; T2 originates in the Near East and Western Asia; and T3 is found throughout Europe [20,23,24]. Although whole genome analyses reveal a far more complex view of cattle domestication [25,26], the geographic patterns associating T3 predominantly with Europe, and T1 and its subhaplogroups with Africa, still conforms to the original pattern [18,25,27,28]. Contemporary American creole breeds are of both European (T3) and African (T1) haplogroups, implying dual geographic origins [15,19–21,29–31]. Haplogroup T3, the one most prevalent in European taurine cattle, is the most common in American creole breeds, ranging from 47–72% [20,29,31]. Many of the T3 PLOS ONE | www.plosone.org 1 July 2013 | Volume 8 | Issue 7 | e69584 haplotypes found in creole cattle are similar to those identified in cattle from the Iberian Peninsula and Canary Islands, a finding consistent with known migration routes for cattle into the New World [15,20]. Haplogroup T1, which is characteristic of almost all sub-Saharan and West African cattle, is found in modern Iberian cattle and American creole breeds at lower frequencies [20,29,31]. In particular, the origins of the T1 sub-haplogroup AA (‘‘African-derived American’’) [32], more recently designated T1c1a1 [18], has been contentious [20,21,29,31,32], explained either by founder effect from the earliest Iberian cattle [33] and/or as an introduction through later crossbreeding of African cattle, perhaps in association with the African slave trade [21]. Genetic research into American cattle and the preceding debate focus solely on DNA composition within contemporary popula- tions, leaving the origin and timing of T1 and its subhaplogroups in New World creole cattle as unresolved issues. Here we present an ancient DNA analysis of early 16 th century cattle remains from a butchery site at Sevilla la Nueva, the first Spanish colony in Jamaica (Figure 1). The colony was founded in 1509 on St Ann’s Bay under the orders of Diego Colon, Governor of the Indies and son of Christopher Columbus. Ultimately abandoned in 1534, its initial purpose was as a centre for agricultural and livestock production in support of other colonizing ventures into Central and South America [34,35]. Sevilla la Nueva cattle were brought originally from herds on Hispaniola, and they provided breeding stock to the America’s through transfer in Panama [5]; as such, this site presents an ideal context for testing hypotheses into the founding populations of creole cattle. Meat processing at the butchery site, however, was focused dominantly on sheep with only small numbers of identifiable cattle bone present within the excavated assemblage (Text S1). The sample for ancient DNA analysis accordingly is limited, including 24 archaeological specimens. Sample Context Because the sample size is small, the integrity of sample context and its clear association with the 1509–1534 period of Spanish occupation at Sevilla la Nueva is essential. The butchery site was positioned along the shore of a now in-filled stream branching off from the Church River (Text S1). Concentrated refuse from the Spanish operation, including butchered bone, Spanish ceramic wares, indigenous Taino ceramic wares and a limited assemblage of other artifacts was variably deposited across the site. After the butchery ceased to operate, periodic flooding of the river resulted in deposition of silts and gravels. The flood events cumulatively capped the Spanish occupation with a compact and almost impenetrable layer of alluvial material up to 40 cm thick (Figure 2). That this layer sealed the Spanish archaeological remains from later disturbance is illustrated by the exclusive nature of Spanish ceramic types occurring in deposits below it; all have date ranges consistent with the 1509–1534 AD period of settlement for Sevilla la Nueva (Table S1). Each of the cattle bone samples selected for DNA analysis was excavated from deposits beneath this gravel (Stratum III), in stratigraphic association with the ceramics (Table 1). Therefore, the samples selected for ancient DNA analysis represent ancestral Caribbean stock and they potentially provide insight into the origins of the T1 haplogroup for creole cattle of the Americas. Results and Discussion Mitochondrial DNA was successfully amplified from but seven of the 24 specimens in spite of the samples being only 475–500 Figure 1. Location of the 1509–1534 Spanish Colony of Sevilla la Nueva, Jamaica. The darkened square is the butchery site from which ancient DNA bone samples were excavated. doi:10.1371/journal.pone.0069584.g001 Ancient DNA Analysis of 16th Cen. Caribbean Cattle PLOS ONE | www.plosone.org 2 July 2013 | Volume 8 | Issue 7 | e69584 years old (GenBank Accessions KF152925-KF152931). This low amplification rate is consistent with high rates of DNA degradation in warm, humid, equatorial climates such as Jamaica [36,37]. The estimated thermal age for the bones is 12,750 years before present with a l of 0.0273 [37]; this age predicts high DNA fragmentation and ,10% of DNA fragments longer than 100bp. Successfully amplified samples display mitochondrial sequences consistent with taurine cattle (Bos taurus) rather than Zebu (Bos indicus). Previously, taurine haplogroups were defined by relatively few control-region transitions compared to the bovine reference sequence (BRS) [38]: T defined by a transition at 16255; T1 by transitions at 16050 and 16113; T2 by 16185 and a G to C transversion at 16057; and T3 was identical to the BRS [23]. Bayesian analyses of ancient aurochsen, and modern and ancient cattle complete mtDNA genomes indicate that classic haplogroups definitions are simplistic with at least some of the T3 haplotypes grouping in polyphyletic clades [26]. Additional full genome sequencing redefines the predominant macro-haplogoup T, and identifies additional rare haplogroups P, Q and R [25]. Haplogroup T is now separated into sister clades of T19293 and T5, the former encompassing the previously defined haplogroups of T1, T2, and T3 (as well as T4, which clusters within T3). While the majority of the newly defined sub-haplogroups under T1, T2 and T3 are defined by mtDNA coding regions polymorphisms [18,25], one exception is the ‘‘African-derived American’’ haplogroup AA/T1c1a1 which can still be distinguished by four control-region polymorphism (16053–16122–16139–16196) [18]. In this study, six samples displayed Bos taurus sequences matching the BRS (T3); the seventh sample displayed the classic T1 motif of 16050 and 16113 (Table 1). Ancient DNA analyses of Sevilla la Nueva samples provide a limited data set for interpretation, and it would be inappropriate to overstate the results with such low numbers. Nevertheless, the secure nature of sequenced specimens in early 16 th century archaeological deposits associates these samples with ancestral cattle herds in the Caribbean. The Sevilla la Nueva data without doubt document nodal T3 and T1 haplotypes in New World cattle herds prior to the widespread African slave trade in the Americas. While only one T1 haplotype was identified at Sevilla la Nueva, it still implies that the African genetic contribution to Iberian cattle came about early, presumably relating to earlier cattle imports into the Iberian Peninsula from North Africa by the Moors [22,33,39,40]. Additional T1 contributions to New World cattle from the African slave trade or from more recent introductions cannot be ruled out, but neither can serve as the sole explanation for the presence of the T1 haplogroup in contemporary American cattle. The absence of sub-haplogroup AA/T1c1a1 in the Sevilla la Nueva cattle remains is notable, despite the small sample size. Analyses of contemporary cattle from Antigua, St. Lucia, and Guadeloupe have relatively high frequencies of both T3 and AA/ T1c1a1 (the latter ranging as high as 39%), and with low frequencies of the nodal T1 type [21,31]. Previously, the detection of AA/T1c1a1 in Caribbean, Spanish Retinta [31] and Lidia cattle [41], and its apparent absence in African cattle, suggested an origin in 16 th century Spanish herds. Based on the patchy distribution of AA/T1c1a1 in the Americas, and supported by the recent detection of AA/T1c1a1 in Egyptian cattle [18], others have proposed a direct introduction from Africa at a later date [20,29]. In this latter scenario, recent backcrossing of Brazilian Retinta cattle with Iberian breeds in the 1960s and 1970s could account for its distribution in contemporary Iberian cattle [39,40]. The absence of AA/T1c1a1 both in Bronze age Iberian cattle [33] as well as at Sevilla la Nueva, leaves open the question of AA/ T1c1a1 origins. The presence of AA/T1c1a1 in the Caribbean may have occurred early via Spanish imports procured from the Canary Islands [14]. However, a later introduction is more probable. Frequencies of AA/T1c1a1 are particularly high on Antigua, Guadeloupe, and St. Lucia. These islands, however, were not settled until the 17 th century, when English, French and Dutch colonist replaced indigenous Carib peoples. Thus, T1 sub- haplogroup may have been introduced by European settlers during this later colonization of the Windward and Leeward islands. Further ancient DNA analysis of ancient Iberian, Caribbean and American continental cattle dating pre- and post-1600AD will be required to clarify the timing and origins of the so-called ‘‘African-derived American’’ haplotype in the New World. Over the last decade, nuclear and mtDNA analyses of cattle have provided an abundance of data on contemporary creole cattle breeds, raising a number of hypothesis that can only be tested with historic data. Other studies in both the Old and New Worlds have illustrated how ancient DNA analysis can uncover historic patterns of domestic animal movements that have been masked by subsequent translocations and modern breeding programs [42,43]. This study provides the foundation for a time-series analysis of archaeological samples from other Carib- bean and mainland archaeological sites to more clearly reveal the historical and relative contributions of African and Iberian cattle to creole stocks, and clarify insight into the development of both New and Old World cattle breeds. Figure 2. Stratigraphic profile of south face Unit 3, 2004 excavation. Stratum I is compacted alluvial gravel that required the use of a pick-axe for removal. The dotted line separating substrata Ia from Ib is the break between gravels without cultural material (Ib) and the upper agricultural zone with scattered artifacts from the British and modern eras (Ia). Stratum II is a fine alluvial silt that is deposited over the Spanish occupation floor in other areas of the site. Stratum III is the Spanish occupation and refuse midden from which bone samples were acquired. The bricks (darkened) and rocks (open) are not associated with architectural features but are part of the last deposit of refuse fill by the Spanish. The identified T1 haplogroup sample was recovered from Unit 3-E, Stratum III immediately to the north of this profile. doi:10.1371/journal.pone.0069584.g002 Ancient DNA Analysis of 16th Cen. Caribbean Cattle PLOS ONE | www.plosone.org 3 July 2013 | Volume 8 | Issue 7 | e69584 Materials and Methods Ethics Statement Archaeological research at Sevilla la Nueva is conducted under Jamaica National Heritage Research Permits and Agreements to RPW dated 3 October 2004 and 15 January 2009. All necessary permits were obtained for the described study, which complied with all relevant regulations. Samples and Context The 24 ancient cattle bone samples were excavated from the archaeological site of Sevilla la Nueva, the first Spanish colony on Jamaica (Table 1). The bone samples for ancient DNA analysis were identified as cow or more generally as large bovid in the Simon Fraser University zooarchaeological laboratory using comparative morphological traits. Following analysis, the repos- itory for the bones samples will be the Jamaica National Heritage Trust, Kingston, Jamaica. Archaeological research at Sevilla la Nueva has occurred intermittently over the past 75 years [44]. Burley and Woodward recovered the 24 ancient DNA samples from excavations of a Spanish butchery and meat-processing site undertaken in 2004 and 2009. The samples come from refuse midden in which abundant butchered bone and other materials are present. Compact alluvial gravel originating from a tributary of the nearby Church River stratigraphically caps architectural features of the butchery as also the refuse deposits (Figure 2). Thus, the 24 bone samples are sealed within the Spanish occupation floor, having a maximum date of 1534. Additional details for the Sevilla la Nueva site and the excavation project are provided as supplemental information (Text S1). DNA Extraction and mtDNA Analysis Bone samples were prepared and extracted in the ancient DNA laboratory in the Department of Archaeology, Simon Fraser University (SFU) as well as in the ancient DNA laboratory in the Department of Archaeology, University of Calgary (UC). DNA was extracted following a modified silica spin column protocol [45,46]. Standardized preparation and extraction protocols were maintained between laboratories as outlined in supplemental information (Text S1). PCR amplifications targeted the mtDNA control-region distinctive of taurine haplogroups [46] (Text S1). Sequences were edited visually with primer sequences removed and base pair ambiguities examined using ChromasPro software (www.technelysium.com.au). All returned sequences were entered into GenBank through the BLAST application (http://www.ncbi. nlm.nih.gov/BLAST/) to ensure they did not match unexpected species or sequences. Multiple alignments of the obtained sequences and previously published mtDNA reference sequences were conducted using Clustal W [47] through BioEdit [48]. B. taurus haplogroups were assigned based on the mutations defined in Troy et al. [23] and Bonfiglio et al. [18]. Criteria used to Table 1. Provenience information and results of mtDNA D-loop amplifications of Sevilla la Nueva cattle samples. Specimen number (Lab Code) Element Provenience Lab Sequence Read GenBank Accession (Haplogroup) SN-Sta32-5:F1 (JC1) Innominate Stratum III, Unit 3-E SFU, UC 16029–16147 KF152925 (T1) SN-Sta32-5:F2 (JC2) Patella Stratum III, Feature Layer 2 SFU Fail – SN-Sta32-5:F3 (JC3) Astragalus Stratum III, Unit 3-A SFU, UC 16029–16135 KF152926 (T3) SN-Sta32-5:F4 (JC4) Radius (immature) Stratum III, Unit 10-NW SFU, UC 16029–16135 KF152927 (T3) SN-Sta32-5:F5 (JC5) Long bone shaft (immature) Stratum III, Feature Layer 2 SFU Fail – SN-Sta32-5:F6 (JC6) Tooth Stratum III, Unit 3-H SFU 16029–16147 KF152928 (T3) SN-Sta32-5:F7 (JC7) Femur Stratum III, Unit 3-G SFU Fail – SN-Sta32-5:F8 (JC8) Vertebra Stratum III, Unit 15 UC Fail – SN-Sta32-5:F9 (JC9) Astragalus Stratum III, Unit 3-I SFU Fail – SN-Sta32-5:F10 (JC10) Long bone shaft Stratum III, Unit 10-NW SFU Fail – SN-Sta32-5:F11 (JC11) Long bone shaft Stratum III, Unit 14 UC 16029–16147 KF152929 (T3) SN-Sta32-5:F12 (JC12) Tooth Stratum III, Unit 13 UC Fail – SN-Sta32-5:F13 (JC13) Astragalus Stratum III, Unit 3-D SFU 16029–16147 KF152930 (T3) SN-Sta32-5:F14 (JC14) Tooth Stratum IIISB, Unit 3-H UC Fail – SN-Sta32-5:F15 (JU1) Rib Stratum III, Unit 14 UC Fail – SN-Sta32-5:F16 (JU2) Long bone shaft Stratum III, Unit 6-NE UC 16029–16147 KF152931 (T3) SN-Sta32-5:F17 (JU3) Long bone shaft Stratum III, Unit 3 UC Fail – SN-Sta32-5:F18 (JU4) Rib-vertebra Stratum IIISB, Unit 3 UC Fail – SN-Sta32-5:F19 (JU5) Long bone shaft Stratum III, Unit 3-G UC Fail – SN-Sta32-5:F20 (JU6) Long bone shaft Stratum III, Unit 10-SE UC Fail – SN-Sta32-5:F21 (JU7) Rib-vertebra Stratum IIISB, Unit 3-G UC Fail – SN-Sta32-5:F22 (JU8) Radius (immature) Stratum III, Unit 3-G UC Fail – SN-Sta32-5:F23 (JU9) Rib-vertebra Stratum III, Unit 3-E UC Fail – SN-Sta32-5:F24 (JU10) Vertebral epiphysis Stratum III, Feature Layer 2 UC Fail – Note: Sequence reads indicate fragments lengths obtained after primer sequences had been removed; coordinates based on BRS [38]. doi:10.1371/journal.pone.0069584.t001 Ancient DNA Analysis of 16th Cen. Caribbean Cattle PLOS ONE | www.plosone.org 4 July 2013 | Volume 8 | Issue 7 | e69584 ascertain the authenticity of the sequences are presented in Text S1. Supporting Information Table S1 Spanish ceramic wares recovered from Stra- tum III context in association with analysed cow bone samples at Sevilla la Nueva. Manufacturing date ranges are taken from the on-line digital type collection at the Florida Museum of Natural History ,www.flmnh.ufl.edu/histarch/ gallery_types/type_list.asp.. (DOCX) Text S1 Additional Information on historical and archaeological context and ancient DNA analysis. (DOCX) Acknowledgments We are grateful for ongoing support of the Jamaica National Historic Trust and Dorrick Gray, its Chief Archaeologist. Nova Pierson and Carmen Tarçon undertook morphological identifications of the faunal remains and need to be acknowledged. Our thanks to ChiChi Vienna Lam (SFU) for aid in figure preparation. 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Speller CF, Kemp BM, Wyatt SD, Monroe C, Lipe WD, et al. (2010) Ancient mitochondrial DNA analysis reveals complexity of indigenous North American turkey domestication. Proceedings of the National Academy of Sciences 107: 2807–2812. 44. Woodward RP (2009) Sevilla la Nueva: A review of 72 years of archaeological investigations. In: Tortello R, Greenland J, editors. Xaymaca Life in Spanish Jamaica 1494–1655. Kingston: The Institute of Jamaica. 32–44. Ancient DNA Analysis of 16th Cen. Caribbean Cattle PLOS ONE | www.plosone.org 5 July 2013 | Volume 8 | Issue 7 | e69584 45. Yang DY, Eng B, Waye JS, Dudar JC, Saunders SR (1998) Improved DNA extraction from ancient bones using silica-based spin columns. American Journal of Physical Anthropology 105: 539–543. 46. Yang DY, Liu L, Chen X, Speller CF (2008) Wild or domesticated: DNA analysis of ancient water buffalo remains from north China. Journal of Archaeological Science 35: 2778–2785. 47. 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work_ibcfv3yrt5f35huvadyyb7bl6u	----	Geocorpographies of Commemoration, Repression and Resistance GUEST EDITORS’ INTRODUCTION Geocorpographies of Commemoration, Repression and Resistance Mahdis Azarmandi, Elaine Laforteza and Maud Ceuterick The contributions in this special issue expose the connections between somatechnics and geocorpographies: the ongoing permutations of geopolitical and geographical influences on conceptions of personhood and bodies, whether on the level of the individual, the community, the nation-state and/or the transnational. This issue aims to link the geocorpographies of violence and resistance to the somatechnics processes through which bodies become calibrated as social subjects. In his essay ‘Geocorpographies of Torture’, Joseph Pugliese coined the term geocorpographies to express ‘that the body, in any of its manifestations, is always geopolitically situated and graphically inscribed by signs, discourses, regimes of visuality and so on. Its geopolitical markings can only be abstracted to the process of symbolic and political violence’ (2007: 12). Through his rigorous approach in examining the intimate borders of the body within racialised zones of war and terror, Pugliese demonstrates that within particular spaces ‘bodies become coextensive with space as such: they are the ground upon which military operations of occupation are performed through which control of the colonized country is secured’ (2007: 12). Drawing on examples of the acts of torture by American soldiers inflicted upon inmates of the Abu Ghraib prison complex in Iraq, Pugliese stages a critical examination of how ‘conquered Arab men’ (2007: 5) become coextensive with the spaces of the prison complex, as well as the Somatechnics 6.1 (2016): 1–8 DOI: 10.3366/soma.2016.0170 # Edinburgh University Press www.euppublishing.com/journal/soma broader spaces etched out by the ‘war on terror’. Here, Pugliese uses the example of a palimpsest to dissect the ways in which the layering effect of colonial history ensures that traces of former colonial violences continue to remain palpable in the present moment. This notion of the palimpsest girds how geocorpographies builds a network of power that dissolves the border between the colonial past and the supposed ‘post-colonial’ present. As Sten Pultz Moslund states, coloniality ‘involves a biopolitical transformation of the human body into an object of subjugation, control’ (2015: 27). Once the hierarchisation of human bodies is established, problematic and unproblematic bodies can be identified and classified into different categories: either as intrusive bodies that need to be disciplined and controlled, or as bodies that assimilate to dominant social orders, and therefore can be validated as ‘safe’ citizens of particular nation-states. The former not only face restrictions upon entering national territory, but are not permitted to occupying any space in the production of and management of how a nation remembers and celebrates its history, enacts its laws and protects its citizens. The papers in this special issue track the tensions that derive from the hierarchisation and categorisation of human bodies through a variety of contexts. In part, this was a main concern of the 8th Annual Somatechnics Conference Space, Race, Bodies: Geocorpographies of City, Nation and Empire held at the University of Otago, New Zealand on 8–10 December, 2014. The conference brought together scholars such as Joseph Pugliese, Susan Stryker, Jacinta Ruru, Jasbir Puar and Rebecca Stringer in order to share and discuss ideas about space, race and bodies under the rubric of somatechnics, linking embodiment and technology as per Nikki Sullivan and Samantha Murray’s use of the term (2009). Such an approach does not view the body simply as a vehicle that can be altered by the values and discourses of its surrounding culture or potentially modified by biotechnology. Rather, the body is always-already marked by culture and the historical and political processes through which one comes to embody sets of knowledge about gender, sexuality, race and ability that constrain or enable the body’s actions in certain ways. The papers in this special issue of Somatechnics are derived from this conference. Drawing on Pugliese’s notion of geocorpographies, the conference hosted a range of theoretical, political and cultural perspectives that derived inspiration from Pugliese’s work. In the same vein, this special issue recalls on Pugliese’s investment in exposing the underbelly to conspicuous acts of benevolence, protection and Somatechnics 2 peace-keeping, in order to locate the technologies of media, governance, culture and law within the geocorpographies of space, memory, religion and race. Taking as their case study such diverse material as literary works, post-colonial critiques, governmental agendas, commemoration sites, Indigenous sovereignty or drone technologies, the papers of this issue address the localised production of various spaces, such as the nation-state, the space of public discourse, and transnational relations of power. In doing so, each paper highlights the racialised and nationalist practices ascribed to bodies. Thor Kerr and Shaphan Cox’s paper, for example, examines the Western Australian context and the production of Aboriginal ‘protection’. By analysing the production of localised spaces within Western Australia, as envisioned and instantiated by governmental and media imperatives, Kerr and Cox focus on the capillaries of racialised power that circumscribe Aboriginal and non-Aboriginal bodies. In this manner, Kerr and Cox track the hierarchisation of bodies founded on denuding Indigenous sovereignty. Verita Sriratana and Mahdis Azarmandi also look at how the hierarchisation of bodies forms understandings and experiences of and in the nation-state. They do this by focusing on how the processes of memorialisation of war and violence engender the dissection and re-assemblage of certain bodies, to the point that they can be overlooked, silenced and/or erased. Caitlin Overington and Thao Phan explore the strategy of the Singapore Kindness Movement (SKM) to bring visibility to the invisible ‘guest workers’ population of the city, without recognising them as full citizen. Rather than institutional or governmental reforms, the SKM initiative opted for a highly visible Coke campaign advertising the presence of migrant workers, yet maintaining them voiceless and outside the everyday urban space. Elaine Laforteza’s paper in this issue examines how two different nation-states (the Philippines and Australia) connect through their shared investment in maintaining a ‘secular’ mode of governmentality within their borders as well as through their cultivation of bilateral relationships. Here, Laforteza examines how the maintenance of national spaces are imbricated through relationships with other nation-states. With this, Laforteza names the racialised and geopolitical measures through which secular governmentality operates in the name of bilateral interests focused on peace-keeping in the post-9/11 context. Khalid Alhathlool’s paper, focus on the conception of hybridised identities in post-colonial scholarship, thus exploring the identity politics that emerge through reinscriptions of dominant modes of being and becoming. Geocorpographies of Commemoration, Repression and Resistance 3 These various productions of racialised spaces are informed by different colonising, imperial and political operations. However, simultaneously, there are also racialised, ideological and socio-cultural commonalities that form a web of transnational geocorpographies. By attending to the local specificities of racialised and ethnic identities, as well as theoretical concerns, in connection with their broader geopolitical ramifications, this special issue seeks to draw attention to the ongoing mutations, contestations and reaffirmations of space, race and bodies. Verita Sriratana’s paper, ‘From “God Builders” to “Devil Workers”: The Somatechnics of Embalming and the Geocorpographies of Central and Eastern Europe’s Holocaust Tourism in Jáchym Topol’s The Devil’s Workshop’ introduces the term ‘hypercorposurreality’ as an interrogative tool for examining Jáchym Topol’s The Devil’s Workshop (2013). Sritatana specifies that ‘hypercorposurreality’ refers to the ‘body which transcends the body, the sign of which signified transcends its authentic signification and evokes in readers what Merleau-Ponty calls “hyper-reflection”, the kind of reflection which criticises the kind of reflection which overlooks the limitations of idealisation’. With this, Sriratana contributes to the literature around the crisis of identity and memory in post-WWII Eastern & Central Europe, and demonstrates how this memory and identity is geographically located. Her rigorous and elegiac analysis of Topol’s novel signals the horrors of WWII and how this impacted on the constitution of space, place and bodies within Eastern Europe. She also draws out Topol’s writing on the haunting memories of war, as well as the commodification of war and death for touristic and capitalist purposes. Also with a focus on literary textual analysis, Khalid Alhathlool’s paper, ‘Hybridity: A Privilege of a few or the Necessity for All in Amin Maalouf’s In the Name of Identity’ stages an in-depth analysis of Malouf’s book, In the Name of Identity: Violence and the Need to Belong (2008). Alhathlool situates his exploration hybridised identities in the context of other post-colonial scholarship, such as that of Homi K. Bhabha, Stuart Hall and Ulf Hannerz on hybridity. With this, Alhathlool exposes the tensions between conceptualisations and critiques of identity premised on notions of ‘purity’ and pre-fixed notions of ‘migrancy’. Here, Alhathlool provides a critique of In the Name of Identity whilst assessing diverse perspectives on post-colonial identity. In particular, Alhathlool interrogates claims of neutrality in In the Name of Identity. This is a key strategy for highlighting the ways in which identities are calibrated as ‘universal, and therefore denuded Somatechnics 4 from any particular political, religious and cultural allegiance. However, this supposed absence of allegiance speaks of a connection to a particularised social order. Alhathlool states: ‘Again, the assumption on which this notion relies is that the public sphere is intrinsically secular and neutral. What follows is the need to ‘neutralise’ individuals; to create individuals who are void of any allegiance to a particular culture [. . .]’. Elaine Laforteza’s paper, ‘Separation of Church from State? Secular Somatechnologies of Governmentality and Pedagogy’ names what is invisibilised in creating spaces of ‘neutrality’, that is, the power of secular governmentality to act in accordance to Christianity, so much so that secularism becomes imbued with the ethos of Christianity. Drawing on Gil Anidjar’s work on secularism, Laforteza argues for the reconsideration of secular governmentality as divorced from Christian agendas. Laforteza draws on the Philippines-Australia nexus, namely in the production of bilateral and pedagogical techniques, as a means through which secularism becomes operational as Christianity in the post 9/11 context. In focus are two ‘developmental’ programs: (1) the Basic Education Assistance for Mindanao project, which Australia and the Philippines have established as a pedagogical tool for including Muslim-Filipinos within ‘secular’ society and (2) Gawad Kalinga, a not-for-profit organisation that strives to create solidarity between Christian and Muslim Filipinos. Laforteza uses the term ‘secular somatechnologies’ to investigate how somatechnologies of the state collude to create secular frameworks that shape bilateral and national identities. In addition she highlights the Castilian Spanish colonial context as the means through which secular somatechnologies operate through Christianity. Mahdis Azarmandi also considers the context of Spanish colonialism and the ways it forms particular ideas of a nation-state. In ‘Commemorating No-Bodies: Christopher Columbus and the Violence of Social-Forgetting’, Azarmandi focuses on white ignorance and memorialisation in Spain. She questions and problematises the imagination of the Spanish national body as an inherently white body and how the commemoration of conquest as discovery renders invisible the indigenous and bodies of color that were exploited, tortured and killed as part of the Spanish colonial expansion. Turning her attention to the Columbus monument in Barcelona in particular, Azarmandi reframes the public narratives of discovery, adventure and voyage that accompany the memorialisation of the Spanish colonial past as master narrative of colonialism, a narrative that actively silences Geocorpographies of Commemoration, Repression and Resistance 5 counter narratives. Azarmandi draws links here with the racism described by Fanon, and on which Pugliese bases his notion of geocorpographies, as a global hierarchy of superiority and inferiority that is organised along this very line of the human and non-human. This is a line that has politically, economically and culturally produced what Peruvian sociologist Quijano describes as the coloniality of power that has remained in place long after formal colonialism has ended. According to Azarmandi, this is an ongoing coloniality that hides the violence that enables colonial celebrations. Consequently, she argues, colonial monuments are one manifestation of the on-going coloniality and violence against racialised damné (Fanon 1963) and must be re- presented as memorials ‘to war and genocide’. In ‘Happiness from the Skies or a New Death from above? †cokedrones in the City’, Overington and Phan point out that the basis of interaction enabled through the use of drone technologies is never simply between drones and humans. Instead, interactions between drones and humans appear as a complex web integrating the technologies themselves, those who control them, and persons who are already deemed subhuman. Through the use of drone technologies, the hierarchisation of human bodies occurs, not only in its traditional military usage but also and more tacitly in their renewal as commercial and civilian material. Overington and Phan perform a critical examination of the burgeoning use of drone technologies within Singaporean city environments through the †CokeDrone advertisement. The drone itself appears in a ‘friendlier’ body asking for redemption from its military weaponry counterparts, allowing them to be presented as detached from their military origin and negating thus their relation to violence. By reshaping its military body, negating their relation to violence, and portraying them as eyes that ‘see’ rather than ‘watch’, drones are resignified as ‘innocent’ and ‘banal’ objects of the everyday. Stressing their capability of producing content from above, the authors focus on drones as vehicles of ideologies which processes and data are neither innocent nor banal but, on the contrary, render invisible the intense history of drone violence and its victims, and ‘desubjectify’ certain socio-spheres of the Singaporean population. In dialogue with Azarmandi’s aligning of privileged zones of white spectatorship/sight with the invisibilisation of ‘non-white’ experiences of history, Thor Kerr and Shaphan Cox’s paper, ‘Media, Machines and Might: Reproducing Western Australia’s Violent State of Aboriginal Protection’, considers state violence against Aboriginal bodies as explored through the reports in the Western Australian media. In accord with Overington and Phan’s analysis of how drone Somatechnics 6 technologies re-imagine human bodies, Kerr and Cox address a different technology-media communications in order to investigate how media discourse and financial interest mutually-reinforce state violence against Indigenous communities. Further, they examine how such violence is tied to the perpetuation of settler colonialism in contemporary contexts. As in to Overington and Phan’s paper, Kerr and Cox emphasise the inextricable link between sôma and techné, wherein ‘hard’ technologies (such as drones and newspaper reports) are enmeshed with ‘soft’ technologies (such as norms and values) to cultivate different ways of bodily being and becoming. Kerr and Cox’ paper also makes visible the link between media outlets, which are part of a conglomerate that makes most of its profit from extraction machines, and the reproduction of public discourse of ‘Aboriginal protection’. By highlighting the links between media, machines and might, the article reveals how private capital accumulation functions ‘within the reproduction of state violence against sovereign Aboriginal people’. Disguised as protective measures, the extraction of Aboriginal lands and exploitation, as well as the criminalisation of Aboriginal activists continues within the Australian settler colonial logic. In these various contexts, this merging of the corporeal body with geographical space is deemed a necessary critical intervention – on institutional, cultural and legal levels – to influence the transnational movement of people, capital and technology. Recent debates over government surveillance and security, the partial recognition of the United Nations Declaration on the Rights of Indigenous Peoples in (post)colonial states, and the ongoing plight of refugees illuminate the fractures and connections between identity and the geographical placement of bodies across cities, nations and the globe. The papers in this issue traverse the complexities of ongoing local, national and transnational (dis)connections. They represent a timely contribution to the growing body of scholarship on somatechnics, given that each paper proposes nuanced understandings of the corpographies of state-sanctioned violence, ongoing resistance, literary critique and representation, and/or reconceptualisations of how bodies become calibrated as certain social subjects. This special issue further contributes to scholarship that explore how various technologies of power emerge through formations of personhood. Khalid Alhathlool’s paper, for instance, maps out post-colonial scholarship onto experiences and negotiations of hybridity and identity. Overington and Phan, in particular, stresses that the integration of drones in the city transforms practices Geocorpographies of Commemoration, Repression and Resistance 7 of the everyday space by bringing new technologies of control and surveillance from above. Other scholars, such as Azarmandi and Laforteza, trace the cultivation of colonial empires, such as the one staged by Castilian Spaniards: Azarmandi investigates the memorialisation of the Spanish nation-state as informed by dominant colonial history, Laforteza names the 400 years of Spanish colonial governance as the template through which the Philippines-Australia nexus and its focus on ‘secular’ governmentality becomes normalised. With each paper, the supposed borders between the colonial ‘past’ and the contemporary present are fused through ongoing geocorpographies of commemoration, repression and resistance. The contributions gesture towards the Spivakian concerns: in whose interest is this for? For whose body? For whose nation-state? For what purpose? This special issue seeks to explore these questions, and in doing so, expose the limits to justice that inscribe the mechanisms and somatechnics of governmentality, power and solidarity. References Fanon, Frantz (1963), The Wretched of the Earth, New York: Grove. Moslund, Sten Pultz (2015), Literature’s Sensuous Geographies: Postcolonial Matters of Place, Palgrave Macmillan: New York. Murray, Samantha and Nikki Sullivan (2009), ‘Introduction’, Somatechnics: Queering the Technologisation of Bodies, Farnham: Ashgate, pp. 1–10. Pugliese, Joseph (2007), Geocorpographies of Torture. Critical Race and Whiteness Studies, 3:1, 1–18. Quijano, Anı́bal (2000), ‘Coloniality of Power and Eurocentrism in Latin America’, International Sociology, 15:2, pp. 215–232. Topol, Jáchym (2013), The Devil’s Workshop, Trans. Alex Zucker, London: Portobello Books. Somatechnics 8 http://www.euppublishing.com/action/showLinks?crossref=10.1177%2F0268580900015002005&isi=000087665100005 
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work_ipruskj35naejl4eh7a6wrz6bu	----	Transmotion Vol 6, No 2 (2020) 65 The Physical Presence of Survivance in The Heirs of Columbus HOGAN SCHAAK According to A. Robert Lee, Anishinaabe writer Gerald Vizenor is a “Native American renaissance virtually in his own right” (qtd. in Liang 128). The author of over forty books and a plethora of essays, Gerald Vizenor is a self-proclaimed “word warrior” who fights with words, theory, and storytelling, as opposed to fists and weapons. He also claims to be a “postindian.” That is, one who uses storytelling to fight the dominant perception of Indian identity, which he dubs a form of “manifest manners” (Manifest Manners viii). His novel The Heirs of Columbus (1991) follows the lovers Stone Columbus and Felipa Flowers as they repatriate bones and DNA to tell stories that heal and fight the demon “wiindigoo.” They establish a sovereign tribal nation on international waters called Point Assinika, a place which embodies the importance of physical possession and the healing power of touch based in survivance. Vizenor’s trickster figures are routinely the vehicle by which he manifests his theories in story form. Bearheart in Bearheart: The Heirship Chronicles, Griever in Griever: An American Monkey King in China, and Stone in The Heirs of Columbus are all tricksters and healers who tell liberating stories to achieve their goals. As Timothy Fox explains of Vizenor’s specific brand of trickster; “one of its basic tenets is the belief that freedom is an intellectual achievement rather than a simple shedding of physical restraints” (71). For Bearheart and Griever, the intellectual liberation of individuals that they physically liberate is where the buck stops. They offer this kind of liberation, but never establish anything more—no community nor route to physical healing. And, Hogan Schaak “The Physical Presence of Survivance” 66 Vizenor takes flak for this from some quarters. Arnold Krupat calls into question the political relevance of Vizenor’s work in The Turn To The Native. Vizenor seems to respond in Heirs, dedicating a few pages to a discussion in which two characters note that Krupat is “arrogant” and performs “dialogic domination” in his assessments of Native American literature (111). The inclusion of a dialogue about Krupat in this novel indicates that Heirs is Vizenor’s response to the challenge of his political relevance. I argue that survivance becomes communal and physical in Heirs partly because this is Vizenor’s response to Krupat’s charge. The “liberated” in Vizenor’s novels are generally cut loose into a cruel world. In Griever, for instance, Griever liberates a truck full of political prisoners who are recaptured or killed shortly after. Stone, however, becomes capable of offering liberation through a physical space in Heirs. Stone adds a new function to the Vizenorean trickster as he creates an opportunity for the physical healing of wounds caused by imprisonment via a community of actively resistant survivors. Stone creates a new tribal community in stories, ultimately creating the physical origin for an ongoing ideology. In this way, he furthers the theoretical definition of Vizenor’s pre-eminent theory of survivance by not only achieving individual, intellectual liberation, but also by establishing what I call a “tribal” ideology based in physical healing and possession. Here, it must be noted that Vizenor employs the word “tribal” both intentionally and controversially in Heirs. He enters the discussion about what it means to be tribal and posits that anyone can be. This is a hotly debated topic, but for Vizenor “tribal” takes on a theoretical meaning somewhat separate from what it means to be “Indian.” Vizenor attempts to make a statement about the difference between terminal and non- terminal cultures, not about what qualifies someone as an “Indian.” “Tribal” is used by Vizenor to denote cultures based in survivance, while any non-tribal culture is terminal because it supports terminal creeds. For Vizenor, “tribal” stands as an intellectual Transmotion Vol 6, No 2 (2020) 67 position in Heirs; while one must be born a Native American, anyone can become tribal. This distinction is a sub-point of Vizenor’s survivance theory. Scholars from many fields have been using the term survivance for decades. However, defining the term, like defining most of Vizenor’s theories, is tricky because he describes it ambiguously. Survivance is “trickster liberation, the uncertain humor...that denies the obscure maneuvers of manifest manners, tragic transvaluations, and the incoherence of cultural representations,” according to one of Vizenor’s many definitions (“The Ruins of Representation” 1). Sheela Menon recently defined the term as “stories that mediate and undermine the literature of dominance” (163). She borrows this definition straight from another of Vizenor’s definitions in Manifest Manners. Most critics simply quote various descriptions of survivance they find in Vizenor’s theory. These always pertain to oppositional storytelling—some kind of survival and resistance through words—but tend to be vague. While some critics, like David Carlson, have attempted to appropriate the term for political reasons, defining it as “the act of being recognized,” most have stuck with defining it in its vague theoretical terms, quoting Vizenor or attempting to pin it down in more direct language (17). John D. Miles summarizes survivance as “a practice that emerges out of individual rhetorical acts... creat[ing] a presence that upsets and unravels discursive control over Native people” (41). Miles draws from specific examples given in Vizenor’s theory where individuals speak and survivance manifests. Indeed, this represents most critics’ understanding of the term. Miles notes that, In Manifest Manners, Vizenor himself claims that theories of survivance are “imprecise by definition” but must include “a sense of Native presence over absence” in people’s minds (40). However, Heirs provides an example of survivance as potentially more concrete than Native presence in stories and words. There is a difference between the traditional Anishinaabe trickster, the tricksters in Vizenor’s past novels, and those present in Heirs. Namely, tricksters in Heirs are not Hogan Schaak “The Physical Presence of Survivance” 68 solitary but meet and exchange stories, forming a community and playing communal roles. In order to help Stone offer liberation and healing to the world, his lover Felipa sacrifices her life repatriating Pocahontas’s bones in England. Felipa wants to steal them and take them to the headwaters of the Mississippi River where the “heirs”—a group of storytelling tricksters—meet but is killed by a vengeful man named Doric Miched whom she had previously stolen from. The cave at the headwaters—where Pocahontas’s bones do eventually end up—is located next to “The House of Life,” a graveyard for tricksters. As tricksters are buried in The House of Life their stories are integrated into the stones in the cave and “the vault turn[s] blue” in the cavern, which coincides with new healing stories being added to the heirs’ repertoire (Heirs 176). Michael Hardin claims that the headwaters are symbolic because the stories there “feed into the entire North American continent” through the Mississippi, distributing their healing (40). But this act is, first and foremost physical, grounded in bones. Pocahontas’s bones would provide healing to the nation as her story, one commandeered by the English, could be retold and freed from the “terminal creed” that she, as an Indian, became “civilized” as she merged with Western culture. This is a story which is terminal because it implies that Indians are categorically savages. Essentially, a “terminal creed” is a story—often represented by an icon such as an image or piece of writing—which does or cannot change. Stories that liberate are “oral” in nature and do change, just like oral tellings of stories do, according to Vizenor. And this allows a concept to adapt and be applicable to any context. But, “terminal creeds” don’t change, and so people suffer as a concept is forced on them. They are written in stone, as it were, but not the living kind that Vizenor often envisions. Vizenor argues that the concept of the “Indian” is a terminal creed which needs to be constantly liberated and reimagined. He utilizes the lower-case “indian” or the term “postindian” to expose the absence of a real person in the upper case term “Indian.” “indian” or “postindian” Transmotion Vol 6, No 2 (2020) 69 is a deferment of the meaning of “Indian.” Billy Stratton provides an insightful discussion of the politics of which term to use (Indian, indian, native, Native) in a footnote from “Come For The Icing, Stay For The Cake,” a chapter of his book The Fictions of Stephen Graham Jones. Stratton contemplates a discussion he once had with Vizenor in which they discussed his use of “indian.” Stratton claims that the lowercase use of “indian” or “native” “overcome[s] the absence in the empty signifier” in the upper case “Indian” (3). Within his own book, Stratton regrets caving in to the demands of editors and the rules of publication by using “Indian,” but recognizes the current (regrettable) need to do so, claiming that “we are not yet at a moment where we can write native, and so mark within the word a return of substance and the power of representation carried in and through story, rather than an emptiness of the past, a mockery, a teasing of a presence that is nothing that was not there and nothing that is” (3). Vizenor, however, attempts to write just such an impossible narrative. Heirs is far ahead of its time, and the trickers and trickster bones point to this. Trickster bones, like Pocahontas’s, are of the utmost importance to the heirs because they represent and literally contain the stories which shape the terminal creeds of Indian identity. Kenneth Lincoln notes that “[t]rickster’s bones preserve a framework inside the culture” by being “artifacts of an ongoing tradition” (128). Bones signify the stories of a person, and so possession of them means possession of storytelling rights. The heirs hold neither the bones of Columbus nor Pocahontas at the beginning of the novel, but they seek to. Bones represent the concrete possession of an abstract idea in Heirs. The concrete, the tangible, is always a trace of something—a reference pointing to a story.1 If Pocahontas’s bones are held on display in a museum, then they are representations of terminal creeds. They represent the Indian “other” and are seen as evidence of the truth of that terminal creed. Whatever description is written on the museum’s plaque to refer to the bones will become the story those bones represent, held in a glass box as the “other.” Hogan Schaak “The Physical Presence of Survivance” 70 In one interview, Vizenor claims that “[o]ral to written is sound to icon, sound to silence in an icon” (Harmsen-Peraino 2). In Heirs, Stone refuses to appear on tv or in writing, speaking only on the radio. He claims that “[r]adio is real, television is not,” because the radio broadcasts “hurried his sense of adventure, imagination, and the stories in his blood” in a way only oral storytelling could (8). Imagination is active when listening to the radio in a way that it is not when the pictures—the icons—of the television screen purport to represent what an Indian, or something like an Indian, looks like. What is recorded as fact in writing and icons is unreal, because it cannot be reimagined to accommodate the natural change of the world or individual perception like an oral story can. The picture, unless placed alongside pictures which contradict it, establishes a fixed way of seeing something. So, Stone intentionally mixes up dates and facts in his image- driven retellings of stories to emphasize the importance of change, contradiction, and reimagination over “Truth.” In one example, Stone changes a date from one telling to the next and then claims that “Columbus is ever on the move in our stories” (11). It doesn’t matter which facts are used in a story, but rather what the point of the telling is, and this is an instance of intellectual survivance based in imagination, shaped through stories. However, the heirs cannot possess the right to tell the stories of Pocahontas until they obtain her bones and manipulate her image as well as her story. These tasks go hand in hand. The heirs at the Headwaters also want Columbus’s stories. Fantastically and literally they rebuild his lost bones over the course of centuries by telling stories about him. Stone and the other postindians believe that retelling Columbus’s story would cut the very root of the Indian terminal creed. When the heirs speak of Columbus, they refer to him as a “bad shadow” cast over their identity (19). They know they need to tell Columbus’s “shadow history,” but they do not own Columbus’s bones because his bones are lost, “denied the honor and solace of the grave” (29). And so, the harmful Transmotion Vol 6, No 2 (2020) 71 shadow history of Columbus suspends them in the limbo of Indian identity until physical possession of his bones is possible. The concept of “shadows” and “shadow histories” is another of Vizenor’s theories, one that is integral to destabilizing and reimagining terminal creeds. Shadow “words are intuitive, a concise meditation of sound, motion, memories” which are ever- changing because they are continually intuited (Manifest Manners 65). And this is the point: “‘Meaning’ can never be grasped completely; it is in the play, in the trace, in the difference,” says Kerstin Schmidt (70). All that is important is that the trace of something else destabilizes the absolute “Truth” which was previously assumed in the terminal creed. Shadows point to a movement away from static “Truth.” Katalin Nagy proves that shadows are potential zones for creation as they often emanate blue light (248). The silent blue shadows are a space in which the imagination can fill a dead icon of terminal creeds with the life of an ongoing, oppositional story which points out what the terminal story lacks. Vizenor writes: Postindian consciousness is a rush of shadows in the distance, and the trace of natural reason to a bench of stones; the human silence of shadows, the animate shadows over presence. The shadow is that sense of intransitive motion to the referent; the silence in memories. Shadows are neither the absence of entities or the burden of conceptual references. The shadows are the prenarrative silence that inherits the words; shadows are the motions that mean the silence, but not the presence or absence of entities. (Manifest Manners 64) Vizenor theorizes “shadow history” to refer to the initial sense—literally the intuition— that one has an identity that existed before stories and cannot be contained in them once and for all. These senses, the “shadows” and the “silenced experience,” are not stories to be discovered but are the motivation to keep telling oppositional stories so that one’s identity will never become a terminal creed. So, Hardin claims that as the heirs Hogan Schaak “The Physical Presence of Survivance” 72 pinpoint Columbus’s narrative as the origin story of Native Americans as “victims and exotic,” they realize that the only way out of that false “Indian” identity is to tell stories from Columbus's shadows histories (26). But, again, the heirs are unable to retell the Columbus story without his bones. And they must retell his story. The problem the heirs face is that the Columbus story is thought of simply as “history” by the oppressor. This makes liberation difficult. As Homi Bhabha argues, the oppressing force of colonialism “takes power in the name of history, [and] it repeatedly exercises its authority through figures of farce” (126). History, then, is a terminal creed, and the farcical figure in Heirs is Christopher Columbus. What people understand to be canonical history is difficult to destabilize. Nevertheless, Vizenor must retell the story, according to Hardin, because his retelling “alters the myth of Christopher Columbus and makes him of Mayan descent.” And this is important because “one cannot be a pitiable victim if one is also partially responsible for the atrocity” of colonization and death that Columbus brought with him (26). This is not to say that Vizenor is victim blaming, but that he recognizes the importance of physically possessing and retelling the Columbus story so that Columbus can become a minor character and not the point of origin for the “Indian” story. In this way, Columbus becomes part of Stone’s tribal history because he is a blood relation. The idea that the “Indian” is different—an idea founded by Columbus—cannot stand if Columbus himself is an indian. This move cleverly undercuts the difference between Indians and whites which Columbus establishes. Moreover, it allows his story to be retold so that “Indians” can be reimagined as indians. According to Birgit Däwes, Vizenor “creates the potential for the individual to free him- / herself from a binary past”—which has not allowed white and Indian individuals in America to see themselves as anything except “conqueror or conquered”—so that a new relationship can be imagined in which the priority is to prevent such a dichotomy (27). This fits into classical and essential definitions of survivance as a state of mind. However, Transmotion Vol 6, No 2 (2020) 73 in Heirs this state of mind is impossible without a physical tie. The heirs must have Columbus’s bones so that they can establish the blood connection and thus contradict his fixed and powerful image as a heroic European colonizer. Then they can establish their tribal stories, a fluid tribal history, instead. As noted before, “tribal” applies to all people who do not own, are not born into, or do not choose to use the dominating stories of terminal creeds which take on life as manifest manners when acted out. A. LaVonne Brown Ruoff claims that “tribal” is a “celebration of communal values” which opens up the possibilities for what anyone can be, unlike the titles “Indian,” “Native,” or even “American,” which are artificial terms created by oppressors (“Gerald Vizenor: Compassionate Trickster” 42). So, tribal ideology links directly with physical reality by way of a physical community no longer separated by ideological barriers. The postindian heirs tell a story of Columbus, on his first night in the New World, in order to share their tribal ideology. In their story, Columbus is attracted to the shore by the bear and trickster Samana during his first visit. Samana lures Columbus in and makes love to him, liberating the tribal signature he brings with him in his Mayan blood. For that night only, Columbus becomes a bear and his “signature,” or “spirit,” “returned to the headwaters” where the heirs have met ever since (Heirs 41). At the headwaters “the old shamans heated up some stones and put him (Columbus) back together again,” building his body around his spirit. As the old stories which Columbus is made up of are terminal,—cancerous to Indians—many shamans over the centuries fight back and “dreamed a new belly for the explorer... called a new leg... got an eye... so you might say that [the heirs] created this great explorer from their own stones” (20). As the novel begins, the heirs tell the stories of Columbus whom they possess “in a silver box.” Felipa has repatriated a box with the last bit of Columbus’s DNA in it, and that DNA is the final piece needed to complete Columbus’s new body. With it, they can bring the bones to Hogan Schaak “The Physical Presence of Survivance” 74 life so that possession of them can be used to create a new Columbus story and the healing nation of Point Assinika. The bones of Columbus and Pocahontas become the physical foundation and scaffolding of survivance in the floating city of Point Assinika. All of the tribal, postindian heirs—including Columbus on that one fateful night with Samana—have found liberation in animal form, emphasizing the physicality and instinctiveness of survivance. They believe humans have natural, animal identities which are more real than their human ones. They also believe that terminal creeds cover up this reality. Memphis, an heir and a panther, exposes this reality. Perceived as a human by all seeing her, she states that “we are animals disguised as humans,” and then proceeds to show her panther self to a courtroom full of non-heirs (70). Memphis purrs and evinces the attributes of a panther, and the postindian heirs see her as such. The non-tribal people in the courtroom, however, cannot imagine that Memphis, speaking as a witness in a court case, may be a panther and so become “worried and strained” in their resistance to seeing her as she is (72). Sean Corbin notes that this is another instance of Vizenor undermining the stranglehold that manifest manners have over identity. He states that “in including stories in the blood and shadow realities as evidence, the illocutionary act is performed, calling the reader to accept this inclusion, which, in doing so, generates the question, ‘What is evidence?’” (72). According to Corbin, Vizenor stages a scene in a courtroom so that shadow realities can unveil the weaknesses in Western, legalistic logic which relies on the ontological premises that one divine God has established a natural and knowable—and most importantly, universal—moral hierarchy. So, Vizenor fights that understanding of human nature with his own version that carries the lone goal of destabilizing knowable human nature. The courtroom, a place of ideas and debates, stands in marked contrast to the immediate, instinctual, and physical reality of the human as animal. All of the heirs have recognized their animal selves. Caliban is a mongrel, Truman croaks like a frog, and even the child Miigis dreams Transmotion Vol 6, No 2 (2020) 75 she is a crane. When Columbus and Samana sleep together they both turn into bears and Samana becomes pregnant, later giving birth to the first daughter in a line of heirs with the stories of bears in their blood. A physical line of bear-people carries survivance. Physicality is essential to survivance in Heirs as it arises from physical experience, not thought as it primarily had in previous Vizenor novels. Stone discovers that he is a physical representation of survivance as a bear when he is resurrected after his first death. In this first death and resurrection, Stone returns to life to discover himself as a postindian bear at the headwaters of the Mississippi. Stone is burned to death in a furnace “in the reservation school” during a wind and lightning storm (14). Wind and lightning are both signs of evil spirits, those who antagonize tribal people as “wild demons” of unfortunate chance (15). Stone dies because he “mocked the sounds of the storm for no good reason but fear.” When Stone awakes from death as a bear at the headwaters, he listens to the wind and “laughed at the blue light in the basement” where he had died (15). In discovering his stories of truly being a bear and finding the location of the headwaters, Stone overcomes his fear of the wind (tribal demons) as he laughs at them instead of mocking them. On that day, Stone dies to the oppressive, demonic education responsible for the terminal creed of the “Indian” embodied by the colonial reservation school. He dies to the fear of demons who would threaten tribal ways, and then begins his reality as a fearless postindian bear who instinctively enacts survivance. Stone is free to live the tension of being thoughtful and instinctual as a bear and a man. When the tribal people silenced the wiindigoo—their ultimate enemy—by freezing his body, they created an imbalance in tribal nature, which relies upon oppositions. Stone claims that the trickster heirs “heal with opposition, we are held together by opposition, not separation, or silence, and the best humor in the world is pinched from opposition” (176). Anthropologist Paul Radin noted that “the concrete Hogan Schaak “The Physical Presence of Survivance” 76 image of the trickster is suppressed” whenever evil becomes the “other” and is no longer recognized to be a part of the self (xiii). The evil that is “other” manifests in the concrete form of other people as the compassionate Vizenorian trickster disappears. In this way, the natural tribal balance is thrown off and the trickster—its physical and intellectual presence—is replaced with bodiless stories falsely claiming to be the truth which are then overlaid on all Indians and become terminal creeds (Postindian Conversations 19). Stone tells oppositional stories grounded in physical humor to combat this fixed identity based in fear and separation of the physical and mental self. Stone and the other heirs of Columbus believe that reality itself is “created in stories” and images and that these stories must ever be actively reimagined as new pictures of people and events being painted in words (Heirs 8). People “imagine each other” and even “imagine who we (the heirs) would be” (16). Stone imagines Columbus with a comically “twisted penis” causing him to act in a humorously unpredictable fashion as pleasure and pain war against each other in his body. More fun is poked at Columbus as he is drawn to “blue puppets” in the heir’s stories, recognizing something of himself in them because he is essentially a puppet fulfilling Mayan dreams (30). Stone’s Columbus is a comical dummy, led around like a puppet enacting bodily humor, which strips away his dignity and god- like status as a figure of colonization. Columbus’s dignity falters when the reader pictures him as clumsy. Likewise, what Columbus represents as the cornerstone of serious terminal creeds begins to crumble as his image is manipulated by the heirs. Stone’s name also carries both comic and serious meaning. Stones carry special significance in Heirs, being the physical containers of stories. A stone is the second being in the tribal creation story that Stone recounts while speaking on Carp Radio. Stone says that “[t]he stone is my totem, my stories are stones, there are tribal stones, and the brother of the first trickster who created the earth was a stone, stone, stone” (9). Vizenor expands on this stone story in Postindian Conversations, revealing that in his version of Transmotion Vol 6, No 2 (2020) 77 an Anishinaabe origin story a being named Nanabozho and his brother, a stone, were the first living creatures on earth. Nanabozho would go off and have adventures, but then always came back to where his brother was to recount his travels. Eventually, the stone realized that it was taxing on his brother to always come back and tell him stories, so the stone had his brother heat him up with fire and then pour cold water on him, causing him to explode into many, many pieces which scattered across the earth. This way, stone brother could hear stories from everywhere. As the story goes, pieces of stone brother still exist, holding all of the stories he has heard to this day (Postindian Conversations 131). In Stone’s story about stone brother he says that the “first” to create the earth was a trickster. This “first” implies that the physical creation of the earth is an ongoing process; not one that is dead in terminal, unchanging creeds, but one that lives in stories and actions. As the wounded in Heirs are literally touched by Stone, they hear his “creation stories” through that touch and are made well as they find that their terminal creeds are not true. They have the opportunity to actively participate in identity creation through resistance by way of a subjective physical connection made with the intent to know the “other” (Heirs 142). Stone’s name embodies this, but it is also a metaphor—a slang word for testicles. Testicles, like Stone, contain seeds of life. Stone embodies the kind of serious play his name implies. He often wears masks, like a humorous one of Christopher Columbus with a giant nose, in order to tease the seriousness of terminal creeds and bring his humorous imaginings of Columbus to life. But the truth of Stone’s humorous stories is a liberating truth which brings life, not a dead “Truth,” a terminal creed which must be literal and unchanging. That would defeat his very purpose. Vizenor writes that “[w]hether the heirs believe their story is not the point, because no culture would last long under the believer test; the point is that humor has political significance and as a scenario” (Heirs 166). The Hogan Schaak “The Physical Presence of Survivance” 78 humor of the stories liberates the mind from monologic, humorless terminal creeds, but one must also fight the physical manifestations of those creeds once one is freed. So, Stone provides us with a comical Columbus we will never forget, taking pains to describe his looks. In this way, Columbus’s physical presence in places like text books and paintings no longer has a monopoly on shaping our imagination of him as a heroic figure. The heirs of Christopher Columbus are capable of hearing the stories that the stones located in the cave above the headwaters of the Mississippi River hold. They meet annually here, listening to the stones that glow blue as they reveal stories (14). These are the stories that “heal and remember the blue radiance of creation and resurrections” (13). For the heirs, the color blue is the color of creation, and because creation must be imagined constantly it is also the color of resurrection, the pinch of life from death. Each of Stone’s resurrections is accompanied by glowing blue objects and/or Stone glowing blue. As the heirs heat up the stones in the cavern by sitting on them (just as Nanabozho warmed brother stone long ago) and then tell the stories they remember (spreading the stones across the world with their voices like Nanabozho did when he exploded stone brother with water), the stones begin to glow blue. That they turn blue is no coincidence. Blue is the color of water and water is essential to the spread of stone brother’s stories. Point Assinika, the healing nation established by Stone, is set on international waters, and these international waters physically connect the world. The cave where the heir’s stories come from is located at the headwaters of the Mississippi. This river divides America in two, making it the perfect place to bind America back together and heal its oppressor/oppressed divide. The heirs are so positioned in order to make themselves a physical obstruction which must be nationally and internationally dealt with, since they engage in activities on international waters with national implications and no clear-cut legal frameworks to prevent them from doing so. The physical spaces they inhabit trigger national and international court cases in which the heirs are seen and heard by the world. Transmotion Vol 6, No 2 (2020) 79 As Christopher Columbus was called “the admiral of the ocean sea,” transcending the barrier of the Atlantic to connect Europe and the Americas, so Stone mimics and becomes an “admiral” navigating the divide in identities between peoples across the world through water (Heirs 3). When the ice woman resurrects Stone after his second death, it is out of the clutches of water—which is always associated with the wiindigoo and “water demons” (179). As Stone’s grandmother resurrects him and he sees his family’s place with the heirs and his true identity Stone is shown the history of the ice woman’s interactions with tribal people through ice woman’s touch and her freezing of the wiindigoo. He is also shown the inevitability of a thaw. Stone subsequently meditates on the seasons to “hold back the boreal demons,” and sees that “the ice woman bears a seductive hand of winter.” However, to be “cold and lonesome” (or, to be permanently in the winter) is to be “woundable” (93). A long-lasting winter under the ice woman represents the state of tribal people for hundreds of years. Because of their plea for her help with the wiindigoo, and the resulting winter, they are woundable—physically wounded and historically massacred because of the lack of an ongoing wiindigoo story. And so Stone begins work to build a floating casino to make money in order to fund his project of telling oppositional stories about Columbus on the radio, with the hope of liberating others with a tribal ideology. But Stone’s floating reservation is destroyed by lightning one fateful night shortly after its opening and Stone dies. This time, after his third death, Stone is resurrected from the by Samana, the bear shaman, an heir of the Samana who slept with Columbus (12). The original Samana leaves a line of daughters who all have the same name and carry the same stories generation to generation. It is said that “[h]er touch would heal the heirs with stories in the blood” (Heirs 12). This Samana, a “hand-talker,” touches Stone and he “hears the wild dance of the blue puppets” that silent tribal hand-talkers Hogan Schaak “The Physical Presence of Survivance” 80 use to tell stories. In this resurrection, Stone learns the importance of physical touch and community in survivance. Right before this, Stone makes love to Felipa, his first interest outside of himself in the novel. As they make love they turn into bears and Stone finds that love is a state in which he does not simply liberate minds, but cares for others in physical terms as well. In this instance of resurrection “[Stone] was a hand talker,” gaining the ability to communicate as a trickster through touch. Stories alone are not enough; although the healing process began in the intellectual liberation of minds from and through stories, it must evolve and integrate physical healing and relationships. Stone needs the help of a tribe in which different members fulfill different roles in order to accomplish this. He is the intellectual, spiritual guide, but he needs a fitting “body” to act with. The manicurists and scientists who become the bodies through which Stone acts at Point Assinika are the proof that he learns to integrate physical healing into his liberations. Stone creates Point Assinika by bringing together reappropriated stories, gene therapy, and tribal manicures. The oppositional story of Columbus and the gene therapy, which in this context is kept vague but presumably is the delivery of something into a patient’s cells that gives them “tribal” blood, counters the racist notion of blood quantum and is an important factor at Point Assinika. The reappropriation of stories by stealing bones as well as the compassionate work of manicurists manifests these factors. Tribal manicurists are central to success at Point Assinika as they collect the stories and genetic samples which contribute to the healing genome project. Teets Melanos is the head manicurist, “the trusted listener” who takes battered women and children and tenderly cares for their hands—massaging them and clipping their nails—when they arrive at Point Assinika. In this way, she coaxes out stories, which are mostly about abusive, controlling men, and these stories “alter and attune the tribal world” (141). The stories of the traditionally silenced are added to the stories which are already recorded Transmotion Vol 6, No 2 (2020) 81 to create a narrative where everyone can be included. In some ways, Vizenor is responding to Gayatri Spivak’s claim that the “subaltern” (“marginalized,” possibly, in Vizenor’s terms) cannot speak by positing a possible oral ideology in which even writing is an action and not a record of “facts” which constitute an oppressive “Truth.” Writing in Heirs (as a literally written novel) records things, but it is nearly impossible to pin down meaning, no matter how hard we might try in critical articles. To paraphrase Vizenor, there can only be “more creative misreadings” of his work. In Heirs, “facts” change over time in the heirs’ tellings of stories, always indicating the primary importance of action over a Western notion of truth. The nail clippings collected by Teets Melanos are taken and stored, becoming “the source of genetic intromission and retral transformations” at the tribal genome pavilion (141). All of the genetic material collected from the fingernail clippings serves the project of collecting all peoples’ genetic material for distribution. Then everyone can be tribal, as the “bits of skin and fingernail... and stories would be the source of genetic intromission and retral transformation” capable of crossing all human genes together (141). In this way, racial divides fall because everyone shares the same blood, as the scientists at Point Assinika craft gene intromission from the manicurists’ clippings. Importantly, this process never ends; as each new person in Point Assinika brings with them new stories to be shared and integrated alongside a new set of genes. So, scientists and manicurists become the active body of Stone’s liberation, now possible because the heirs own the storytelling rights of Columbus and Pocahontas and therefore the rights to their own identity. “Stone resists the notion of blood quantums, racial identification, and tribal enrollment” (Heirs 162). Instead, he creates a process of gene intromission by which all people can share the same blood and become tribal. Yvette Koepke and Christopher Nelson argue that “[g]enes are metaphors for stories” in Heirs, and that the genetic crossing “should not be taken literally” (2). Vizenor is both evoking and opposing the Hogan Schaak “The Physical Presence of Survivance” 82 notion of blood quantum by providing a humorous solution to its inherent discrimination through free tribal gene distribution. This subversion makes everyone who undergoes the process a tribal heir, which is an identity that transgresses the boundaries of race. However, I argue that Vizenor is suggesting that survivance must be thought of as a physical reality in which the segregation caused by blood quantum must be resisted. The physicality is vital because the stories alone are not enough to heal. He acknowledges the limitations of imagining intellectual liberation as the end of survivance. While intellectual liberation may be the beginning of survivance, it also may not be. It may come after the physical care and mixing of bodies and blood which creates trust at Point Assinika. Members of Point Assinika only find healing when physically caring for each other, solidifying a sense of bodily safety in the fluid nation. This is a tribal identity of “survivance” being lived out. In this context, “tribal” evades definition by signifying the action of resisting terminal creeds and manifest manners. Vine Deloria Jr. notes that “tribal” usually stands “not as a commitment but as a status symbol of ‘Indianness’” (28). However, Vizenor employs “tribal” here as an action which must be carried out, not as a set of attributes—the markers of manifest manners. He fights the “tribal” which was born of manifest manners with the “tribal” of survivance. Pinning down exactly what survivance is remains tricky, if not impossible. Nevertheless, the term has incredible sticking power precisely because it is vague. By centering the term around concepts instead of giving it a precise definition, Vizenor creates a living and adaptable word. But, in Heirs we are reminded that survivance must be physical to become real, be pinned down at times in order to actually be effective. Heirs reveals the shortcomings of survivance as a solely intellectual exercise. According to Betty Louise Bell, Point Assinika represents a “native subjectivity [that] becomes comparable to Derrida’s endless chain of signifiers, with no truth signified, each signified Transmotion Vol 6, No 2 (2020) 83 becoming in turn a signifier, each subject becoming a metasubject, each narrative becoming a metanarrative,” until every person in the community is validated in the stories they share (183). Prescriptive identity disappears as all members of Point Assinika immerse into the sea of stories they create collectively, eternally, as a living “tribal” people. Yet they still hold their individual physical bodies, and they recognize that each body validates experiences and needs to be cared for if better stories are to be made and told to sustain tribal reality. There is a celebration to mark Stone’s victory over the wiindigoo, thanks to the people at Point Assinika. Almost Browne, a trickster of simulations, creates a laser show in the night sky to celebrate the tribal victory. “Jesus Christ and Christopher Columbus arose in the south… Crazy Horse, Black Elk, and Louis Riel were eminent laser figures in the north,” and “Felipa Flowers and Pocahontas arose in the east” (Heirs 182). The old simulations of manifest manners Jesus and Columbus, the old simulations of survivance Crazy Horse, Black Elk, and Louis Riel, and the new simulations of survivance Felipa and Pocahontas, all come together in a new simulation of unity against fear of the wiindigoo. This new ideology of tribal opposition is realizable only as an intellectual and individual achievement that integrates physicality and community. And Stone makes this possible. Stone is both stone, a physical repository for stories, and trickster, one who acts in the world through stories. Stone’s “stories are stones,” represented by the people of Point Assinika being brought together as if he was a reverse of stone brother (9). Intellectual modes of resistance to terminal creeds and the physical resistance of reclaiming Indian artifacts, establishing a physical nation, combating blood quantum, repainting colonial images, and validating physical existence through loving touch are all realized through Stone. Survivance without these physical factors—such as the survivance deployed in Griever—results in the death of those “liberated.” Hogan Schaak “The Physical Presence of Survivance” 84 Nevertheless, the ongoing project of survivance does not end with Stone and the addition of physical considerations. Jace Weaver claims that “Vizenor has always been the literary equivalent of a drive-by shooting” (57). He fights evasively, always liberating, with his theory always on the move. In Heirs, Vizenor’s theory of survivance adapts as it always has and always should—from theory to reality. Vizenor himself began this exploration of the physical side of survivance in the 90s, and he carries it on today in his most recent work, Native Provenance (2019). This book is largely concerned with the political ramification of peace treaties, sovereignty, and the representation of “moral imagination” shaped by the “blue shadows” of “sacred objects, stories, art, and literature (35). These are all continuations of other notions in Heirs, and in Native Provenance Vizenor correspondingly continues to address the physical reality of survivance. In the chapter “Visionary Sovereignty,” Vizenor compares the military occupation of Japan with the military occupation of Native American lands. Vizenor claims the United States treated Japan—a defeated enemy of WWII—more fairly than Native Americans over the same period of time. In ironic fashion, “constitutional provisions of land reform and labor unions were observed for the first time in Japan, yet native communal land was reduced to allotments on treaty exclaves and reservations” (93). The military of the United States was able—or possibly pressured—to make and carry through more fair decisions concerning the governance of far-away Japan than it was with closer-to-home Native American communities. With the international eye on Japan and the United States after WWII, the military did the right thing if they could. But, the United States’ relationship with Native Americans has always been, more or less, internal and hidden to the outside world. Recognizing this, Vizenor chooses to highlight the physical presence of the journalist and political activist William Lawrence in the final chapter of Native Provenance. Lawrence persisted in publishing reports of the injustices done to Transmotion Vol 6, No 2 (2020) 85 Native Americans by the United States’ government and placed hard-copies of that news in people’s hands. In Heirs, Vizenor moves the physical contact between Native Americans and the United States’ government to the international stage; he places real contacts in plain view at Point Assinika. This is a tactic Vizenor employs in much of his fiction, placing Griever in China and crafting relationships between Native Americans and the Japanese in Hiroshima Bugi: Atomu 57 (2010). Scholars have a way to go in mapping Vizenor’s exploration of physical survivance. But, luckily, Vizenor’s fiction welcomes this exploration. Although the intellectual side of survivance has always been Vizenor’s primary concern, Heirs paves the way for scholars and creative writers to explore the necessary role of physicality in the enactment of survivance so that survivance can transcend the intellectual realm and manifest in real, physical relationships. Notes 1 Scholars including Kerstin Schmidt have noted that Vizenor draws from Derrida’s theory of “trace.” A direct correspondence is not applicable, however, because Vizenor appropriates the word for his own uses. Works Cited Bell, Louise. “Almost The Whole Truth: Gerald Vizenor's Shadow-Working And Native American Autobiography.” A/B: Auto/Biography Studies, vol. 7, no. 2, 1992, pp. 180-195. Bhabha, Homi. “Of Mimicry and Man: The Ambivalence of Colonial Discourse.” October, Hogan Schaak “The Physical Presence of Survivance” 86 vol. 28, 1984, pp. 125–133. Carlson, David. “Trickster Hermeneutics and the Postindian Reader: Gerald Vizenor's Constitutional Praxis.” Studies in American Indian Literatures, vol. 23, no. 4, 2011, pp. 13-47. Corbin, Sean. “In Defense of Trickster Fantasies: Comparing the Storytelling of Innocent IV and Gerald Vizenor.” The Intersection of Fantasy and Native America: from H.P. Lovecraft to Leslie Marmon Silko, edited by Amy H. Sturgis and David D. Oberhelman, Mythopoeic Press, 2009, pp. 63–77. Däwes, Birgit, et al. Twenty-First Century Perspectives on Indigenous Studies : Native North America in (Trans)Motion. Routledge, 2015. Deloria, Vine, Jr. “Intellectual Self-Determination and Sovereignty: Looking at the Windmills in Our Minds.” Wicazo Sa Review, vol. 13, no. 1, 1998, pp. 25-31. Fox, Timothy R. “Realizing Fantastic Trickster Liberations in Gerald Vizenor’s Griever: An American Monkey King in China.” Journal of the Fantastic in the Arts, vol. 20, no. 1, 2009, pp. 70–90. Hardin, Michael. “The Trickster Of History: The Heirs Of Columbus And The Dehistoricization Of Narrative.” MELUS, vol. 23, no. 4, 1998, pp. 25-45. Harmsen-Peraino, Suzanne. “Writing From A Postindian Visionary Center: An Interview With Gerald Vizenor.” European Review Of Native American Studies, vol. 16, no. 1, 2002, pp. 1-8. Transmotion Vol 6, No 2 (2020) 87 Koepke, Yvette, and Christopher, Nelson. “Genetic Crossing: Imagining Tribal Identity And Nation In Gerald Vizenor's The Heirs Of Columbus.” Studies In American Indian Literatures, vol. 23, no. 3, 2011, pp. 1-33. Krupat, Arnold. The Turn to the Native: Studies in Criticism and Culture. U of Nebraska P. 1996. Lee, A. Robert. Loosening the Seams: Interpretations of Gerald Vizenor. Popular Press. 2000. Liang, Iping. “Opposition Play: Trans-Atlantic Trickstering In Gerald Vizenor's The Heirs Of Columbus.” Concentric: Literary And Cultural Studies, vol. 29, no. 1, 2003, pp. 121-141. Lincoln, Kenneth. Native American Renaissance. U of California P. 1983. Menon, Sheela Jane. “Highland Tales in the Heart of Borneo: Postcolonial Capitalism, Multiculturalism, and Survivance.” ARIEL, vol. 49, no. 4, 2018, pp. 163-188. Miles John D. “The Postindian Rhetoric of Gerald Vizenor.” College Composition and Communication, vol. 63, no. 1, 2011, pp. 35-53. Nagy, Katalin. “The Reconceptualization of the Columbian Heritage into a Trickster Discourse: Gerald Vizenor's The Heirs of Columbus.” Hungarian Journal of English and American Studies, vol. 14, no. 2, 2008, pp. 245-263. Radin, Paul, et al. The Trickster: a Study in American Indian Mythology, edited by Stanley Diamond, Schocken Books, 1988. Hogan Schaak “The Physical Presence of Survivance” 88 Ruoff, A. LaVonne Brown. “Gerald Vizenor: Compassionate Trickster.” American Indian Quarterly, vol. 9, no. 1, 1998, pp. 67-73. ---. “Woodland Word Warrior: An Introduction to the Works of Gerald Vizenor.” MELUS, vol. 13, 1986, pp. 13-43. Schmidt, Kerstin. “Subverting The Dominant Paradigm: Gerald Vizenor's Trickster Discourse.” Studies In American Indian Literatures, vol. 7, no. 1, 1995, pp. 65-76. Spivak, Gayatri Chakravorty. “‘Can the Subaltern Speak?’” Critique of Postcolonial Reason, edited by Rosalind C. Morris, Columbia UP, 2010, pp. 21–78. Stratton, Billy J. The Fictions of Stephen Graham Jones a Critical Companion. U of New Mexico P, 2016. Vizenor, Gerald. Fugitive Poses: Native American Indian Scenes of Absence and Presence. Bison Books, 2000. ---. Griever: An American Monkey King in China. U of Minnesota P, 1990. ---. Hiroshima Bugi: Atomu 57. U of Nebraska P, 2010. ---. Landfill Meditation: Crossblood Stories. Wesleyan UP, 1991. ---. Manifest Manners: Postindian Warriors of Survivance. Wesleyan UP, 1994. ---. Narrative Chance: Postmodern Discourse on Native American Indian Literatures. U of Oklahoma P, 1993. ---. Native Provenance: The Betrayal of Cultural Creativity. U of Nebraska P, 2019. ---. “The Ruins of Representation: Shadow Survivance and the Literature of Dominance.” Transmotion Vol 6, No 2 (2020) 89 American Indian Quarterly, vol. 17, no. 1, 1993, pp. 7-26. ---. The Heirs of Columbus. Wesleyan UP, 1991. Weaver, Jace. Other Words: American Indian Literature, Law, and Culture. U of Oklahoma P, 2001. 
work_iq4wcvekdrd2nazhgu2yay3k6u	----	Mirroring, Mentalizing, and the Social Neuroscience of Listening This article was downloaded by: [California Institute of Technology], [Robert Spunt] On: 08 May 2013, At: 14:47 Publisher: Routledge Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK International Journal of Listening Publication details, including instructions for authors and subscription information: http://www.tandfonline.com/loi/hijl20 Mirroring, Mentalizing, and the Social Neuroscience of Listening Robert P. Spunt a a Department of Psychology , University of California , Los Angeles To cite this article: Robert P. Spunt (2013): Mirroring, Mentalizing, and the Social Neuroscience of Listening, International Journal of Listening, 27:2, 61-72 To link to this article: http://dx.doi.org/10.1080/10904018.2012.756331 PLEASE SCROLL DOWN FOR ARTICLE Full terms and conditions of use: http://www.tandfonline.com/page/terms-and-conditions This article may be used for research, teaching, and private study purposes. Any substantial or systematic reproduction, redistribution, reselling, loan, sub-licensing, systematic supply, or distribution in any form to anyone is expressly forbidden. The publisher does not give any warranty express or implied or make any representation that the contents will be complete or accurate or up to date. The accuracy of any instructions, formulae, and drug doses should be independently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings, demand, or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with or arising out of the use of this material. http://www.tandfonline.com/loi/hijl20 http://dx.doi.org/10.1080/10904018.2012.756331 http://www.tandfonline.com/page/terms-and-conditions The Intl. Journal of Listening, 27: 61–72, 2013 Copyright © International Listening Association ISSN: 1090-4018 print / 1932-586X online DOI: 10.1080/10904018.2012.756331 SPOTLIGHT SCHOLAR Mirroring, Mentalizing, and the Social Neuroscience of Listening Robert P. Spunt Department of Psychology University of California, Los Angeles Listening to another speak is a basic process in social cognition. In the social neurosciences, there are relatively few studies that directly bear on listening; however, numerous studies have investigated the neural bases of some of the likely constituents of successful listening. In this article, I review some of this work as it relates to listening, with a focus on two auxiliary processes in the comprehension of speech: perceiving the nonverbal behaviors, such as facial expression, that accompany an utterance (i.e., how it is being said); and interpreting an utterance and the nonverbal behaviors that accompany it in terms of the speaker’s state of mind (i.e., why it is being said). The review indicates the presence of two large-scale systems in the human brain that play a major role in successful listening: the putative mirror neuron system, which likely facilitates the relatively automatic perception of the how of speech; and the so-called mentalizing system, which likely underlies our ability to actively reach Correspondence concerning this article should be addressed to Robert P. Spunt, Department of Psychology, UCLA, 1285 Franz Hall, Los Angeles, CA 90095-1563. E-mail: bobspunt@gmail.com D ow nl oa de d by [ C al if or ni a In st it ut e of T ec hn ol og y] , [ R ob er t S pu nt ] at 1 4: 47 0 8 M ay 2 01 3 62 SPUNT conclusions about the why of speech behavior. I conclude by considering the possibility that the dynamic interaction of mirroring and mentalizing processes may be pivotal for successful listening and social interaction more generally. INTRODUCTION Insofar as the human brain may have evolved its present form and function to meet the demands of the social world (Adolphs, 2009; Dunbar, 1993), it may not be a stretch to say that the brain is built for listening to others. In the past two decades or so, the rapid development of brain imaging techniques such as functional magnetic resonance imaging (fMRI) has made it possible to study the working brain as people perceive, think about, and interact with other people. In this article, my aim is to provide the reader with a brief overview of this work as it pertains to psychological theories of listening. In particular, I will focus on the studies investigating the neural bases of two social cognitive processes that, along with speech comprehension, likely play a major role in suc- cessful listening: perceiving the nonverbal behaviors, such as facial expression, that accompany an utterance (i.e., how it is being said) and interpreting an utterance and the nonverbal behaviors that accompany it in terms of the speaker’s state of mind (i.e., why it is being said). This focus parallels the push in the development of listening theory to consider aspects of lis- tening other than the mere comprehension and retention of what is being said (Bodie, 2012). For the sake of concreteness, I will begin with an example illustrating the difference among the what, how, and why of speech acts. Imagine you have just delivered a talk at a conference that advances theory X. A colleague of yours whom you know is critical of theory X approaches you and says, “I very much enjoyed your talk.” Here, what was said regards the denotative meaning of the utter- ance. To process the denotation of a statement, one simply recruits basic processes in language comprehension and perhaps also more general cognitive processes required for remembering the statement later. However, how it was said regards the perception of the nonverbal aspects of the voice in which it was said (e.g., intonation) and the nonoral motor behaviors that accompany it (e.g., facial expression, gesturing). It is easy to see that the meaning of the utterance can vary dramatically as a function of variability in how it was said: this can be as simple as the difference between a smile and a scowl. Finally, why it was said involves an inference about the speaker’s underlying state of mind (e.g., intent in saying that, attitude toward me and the talk). This distinc- tion between how and why mirrors the distinction between bottom-up and top-down processing described by Edwards (2011), where how it was said involves encoding incoming stimulus infor- mation (e.g., intonation, facial expression) in bottom-up fashion, while why it was said requires the use of prior knowledge (e.g., this colleague doesn’t like theory X) and inferential rules (e.g., if a person says they like something and you believe they do not, they are probably being deceptive) to reach conclusions about stimuli in a top-down fashion (see Palomares, 2008). In the first section of the article, I will briefly discuss the limitations of fMRI for studying complex psychological processes such as listening. In the next section, I will review research germane to characterizing the neural bases of comprehending how it is being said, with an emphasis on studies of perceiving and mirroring nonoral motor behaviors, such as actions and emotional expressions. Next, I will review research germane to characterizing the neural bases of comprehending why it is being said, with an emphasis on studies of mental state inference D ow nl oa de d by [ C al if or ni a In st it ut e of T ec hn ol og y] , [ R ob er t S pu nt ] at 1 4: 47 0 8 M ay 2 01 3 SOCIAL NEUROSCIENCE OF LISTENING 63 (mentalizing). Following this, I will consider the extent to which the interaction among brain systems for understanding how and why may be particularly important for successful listening. RELEVANCE OF NEUROIMAGING RESEARCH FOR LISTENING THEORY It is important at the outset to evaluate the relevance of neuroimaging research for listening the- ory. Here, I consider two basic questions that are central to such an evaluation: (1) To what extent has listening been the subject of investigation in existing neuroimaging studies of social cogni- tion? (2) Even if listening (or listening-related phenomena) have been the subject of investigation, what could neuroimaging evidence contribute to psychological theories of listening? Given the known presence of a general neglect of the topic of listening in the social sciences (Bodie, 2011), it probably comes as no surprise that in the social neurosciences listening proper has not been an explicit topic of investigation. There are at least two reasons for this. The first is that, in prin- ciple, establishing a correlation between a mental process and brain function requires that the process of interest be well defined and capable of being validly and selectively manipulated in a brain imaging study. Whereas a process such as face perception fits this bill, a process as highly complex and currently lacking in theoretical specification as listening to another fits it much less so (see Bodie, Worthington, Imhof, & Cooper, 2008). The second reason is much more practical and regards the general difficulties, discussed at length by Zaki and Ochsner (2009), of studying high-level, naturalistic social cognition in neuroimaging experiments. To illustrate this, it will serve the reader to know what is required of participants in studies using fMRI, which is cur- rently the most commonly employed neuroimaging technique. Participants in these studies are required to lie on a bed inside the narrow bore of a large piece of medical equipment (an MRI scanner), often for more than an hour. During this time, participants are asked to avoid moving their head at all costs, as head motion can corrupt the images produced by the scanner. During operation, the scanner is extremely noisy; hence, participants are required to wear earplugs, a fact that poses problems for researchers interested in presenting auditory stimuli to participants. To view the experiment, participants wear either video goggles or look at a mirror reflecting a rear projection. Given that speech produces head motion, behavioral measurements are typically lim- ited to manual responses, a fact that poses problems for researchers interested in studying social interaction. Suffice to say, the methodological constraints of fMRI research presents a situation that is extremely low on what is traditionally termed mundane realism, or the extent to which the environment in which a psychological process is studied is similar to (or identical with) the envi- ronment in which that process typically occurs. Fortunately, fMRI studies fare somewhat better on psychological realism, or the extent to which the psychological experience induced during a study is similar to (or identical with) the psychological experience as it occurs in everyday life. However, when considering the complexities of the process of listening, which involves not only the perception and interpretation of an utterance but also the production of responses, it is unlikely that any fMRI study will fare well even in its level of psychological realism. Fortunately, the eco- logical validity of fMRI studies continues to improve as researchers move from studying simple social processes (e.g., face perception) to more complex social processes (e.g., the interpretation of facial expressions). Simultaneously, there is an upper limit on ecological validity simply due to the constraints of the method, and this should be kept in mind when evaluating the relevance of neuroimaging evidence for theories of highly complex psychological processes such as listening. D ow nl oa de d by [ C al if or ni a In st it ut e of T ec hn ol og y] , [ R ob er t S pu nt ] at 1 4: 47 0 8 M ay 2 01 3 64 SPUNT Hence, the review presented below is focused on characterizing the neural bases not of listening proper but of several listening-related phenomena. The second question regards the theoretical contributions that brain imaging evidence is capa- ble of making to listening theory. There are roughly two types of insights that neuroscience might offer (Henson, 2006). The first type, associations, occurs when two ostensibly unrelated pro- cesses are found to rely on a common neural substrate. This provides strong evidence that the two processes rely on a common mechanism. For example, Berger (2011) has recently discussed the implications for listening theory of a collection of brain regions in the human brain called the mirror neuron system (discussed further below). This system activates during both the production of a behavior, such as overt speech, as well as during the mere perception of the same behavior, such as watching another speak. Finding such an association lends support to the proposition that speaking and listening are not wholly separate but rely on an overlapping set of mental processes. The second type of evidence, dissociations, occurs when two ostensibly related processes are found to rely on dissociable neural substrates. As discussed below, work from our group has used this logic to establish that different modes of attending to the behavior of other people rely on starkly contrasting brain systems (e.g., Spunt & Lieberman, 2012a, 2012b). Such evidence can provide insight into theories attempting to divide and conquer a complex psychological process such as listening. HOW IS IT BEING SAID? MIRRORING THE SPEAKER The production of speech is an oral motor behavior accompanied by a variety of nonoral motor behaviors (i.e., facial expression, gesturing) that can augment, qualify, and, in some cases, com- pletely contradict the meaning of what is being spoken. Put another way, the same statement can be made in different ways. Hence, in addition to the process of comprehending what others are literally saying (i.e., speech comprehension), any theory of listening must grapple with the complex process of comprehending how others are saying it (see Burleson, 2011). Over the past two decades, neuroscientists have amassed a large amount of evidence demon- strating the brain is designed to rapidly process how others are behaving. Perhaps most specific to listening are investigations of voice perception, which have demonstrated highly selective neu- ral responses to the sound of voices that are independent of linguistic content (Latinus & Belin, 2011). To give just one example, the temporal cortex, typically associated with language com- prehension, houses regions which respond to human speech regardless of whether it is played forward or backward (Binder et al., 2000). These selective responses may be critical for extract- ing social and emotional information about the person speaking, that is, who is speaking and how they feel about what they are saying (Belin, Bestelmeyer, Latinus, & Watson, 2011). Perhaps more surprising are studies demonstrating that the perception of nonverbal behavior, such as actions, symbolic gestures, and emotional facial expressions, activate the same regions of the brain involved in producing the same or similar behaviors. Collectively, these regions have come to be known as the mirror neuron system (MNS). Given the degree of influence the MNS idea has had in the social sciences, it seems useful to briefly review its history here. In the early 1990s, cellular recordings from the motor system of the macaque brain revealed neurons with the following property: they discharged not only if the monkey performed a grasping action (e.g., grasping a peanut) but also discharged when the monkey merely observed another monkey or D ow nl oa de d by [ C al if or ni a In st it ut e of T ec hn ol og y] , [ R ob er t S pu nt ] at 1 4: 47 0 8 M ay 2 01 3 SOCIAL NEUROSCIENCE OF LISTENING 65 the experimenter performing the same action (di Pelligrino et al., 1992). It was as if the neuron mirrored the visual appearance of a grasping action. Subsequent studies helped constrain inter- pretation of the response of these mirror neurons. Gallese and colleagues (1996) showed that these neurons do not simply respond to the visual appearance of the goal-object (i.e., the sight of a peanut), nor do they respond to mimed actions (i.e., grasping a peanut in the absence of peanut). Umiltà and colleagues (2001) showed that a subset of these neurons respond to grasping actions even when the actual hand-object interaction is hidden from the monkey’s view, and this response only occurs when the monkey is led to believe the object is present. Even more remarkably, some mirror neurons appear to constrain their visual response based on the physical context of a motor action. Fogassi and colleagues (2005) mapped mirror cells that responded to grasping-to-eat but not grasping-to-place, as well as cells responding to grasping-to-place but not grasping-to-eat. As a final example, Kohler and colleagues (2002) identified so-called auditory mirror neurons that respond both to action production and to the mere sound of another performing the same action (e.g., the sound of tearing paper). These studies strongly suggest that these neurons repre- sent an action in terms of the actor’s goal (e.g., pick up the peanut) and the intended outcome of that goal (e.g., eat the peanut). Mirror neurons are believed to provide support for a theory of social cognition termed embod- ied simulation (Bastiaansen, Thioux, & Keysers, 2009; Gallese, 2007; Niedenthal, Mermillod, Maringer, & Hess, 2010). This theory begins with the observation that covert mental states (e.g., goals, emotions) are associated with overt motor behaviors. Given this, any mechanism that enables embodying the observable motor state of another (e.g., smile) can give us insight into their unobservable mental state (e.g., happiness). Mirror neurons offer a neurophysiological basis for this mechanism. Moreover, embodied simulation is consistent with a large body of behavioral work demonstrating that people spontaneously and rapidly mimic other people’s motor behaviors (Chartrand & Bargh, 1999; Dimberg, Thunberg, & Elmehed, 2000), and such mimicry, sometimes called the chameleon effect or motor contagion, has been shown to be causally associated with interpersonal rapport (Lakin & Chartrand, 2003) and with emotion recognition abilities (Neal & Chartrand, 2011). It is important to note that the evidence for a human MNS is almost exclusively based on studies using techniques whose measures of brain activity reflect the activity of many millions of neurons rather than single neurons (but see Mukamel et al., 2010). Hence, the notion of mirror cells in the human brain has largely been replaced with that of a mirror neuron system, which has been demonstrated by showing that observed actions influence electrical activity in the motor system of the observer (e.g., Fadiga, Fogassi, Pavesi, & Rizzolatti, 1995) and that the patterns of brain activity that correspond to producing actions overlaps considerably with the patterns associated with merely observing actions (e.g., Buccino et al., 2001; Schippers et al., 2010). As recently discussed by Berger (2011), the MNS may play a key role in successful listening by providing a streamline from perception to action. Speech is itself a motor behavior, and in line with this there is evidence that the MNS participates in the production and perception of speech (Meister et al., 2007; D’Ausilio et al., 2009). Hence, the MNS may facilitate both the perception of speech acts by mirroring its motor correlates and in so doing facilitate the smooth performance of speech acts in response. In addition, the MNS is probably important for rapidly and auto- matically mirroring the how of speech acts. In two recent studies, we have shown that when an observer is explicitly directed to attend to how others are performing an action or expressing an emotion, the MNS is strongly and selectively active (Spunt & Lieberman, 2012a, 2012b). In one D ow nl oa de d by [ C al if or ni a In st it ut e of T ec hn ol og y] , [ R ob er t S pu nt ] at 1 4: 47 0 8 M ay 2 01 3 66 SPUNT of these studies (Spunt & Lieberman, 2012a), participants under fMRI viewed silent video clips in which professional actors made an emotional facial expression in response to something another person had said or done. Although the task of observing the clips tended to activate the MNS regardless of the observer’s goal, this activation was strongest when the observer was directed to attend to how the actor was showing their feelings. In this way, attending to and comprehending how likely involves mirroring processes in the MNS and may be a critical part of empathic under- standing (Preston & De Waal, 2002; Zaki, Weber, Bolger, & Ochsner, 2009). Insofar as empathy is important part of being a good listener (Gearhart & Bodie, 2011) and being perceived as a good listener (Bodie, Cyr, Pence, Rold, & Honeycutt, 2012), this further underscores the likely importance of the mirroring processes for theories of listening. WHY WAS IT SAID, AND WHY IN THAT WAY? MENTALIZING THE SPEAKER Speech comprehension and the perception of para-linguistic cues such as the speaker’s vocal intonation and facial expression may both be important for successful listening, but they are often insufficient. This is because listening requires not simply a comprehension of what others are say- ing and how they are saying it, but also why they are saying it: what caused them to say that and to say it in that way? Utterances are typically designed to achieve a specific end, the speaker’s intent or goal, and can be used to infer the speaker’s underlying motives, beliefs, and dispo- sitions (Palomares, 2008). Inferring these kinds of entities—mental states and dispositions—is often referred to as an act of mentalizing (Frith & Frith, 2006). In the social neurosciences, the discovery of mirror neurons is rivaled in importance by the discovery of a collection of regions in the human brain that reliably activate when individuals are prompted to think about the mental states of others (Frith & Frith, 2006; Saxe, 2006). For example, one of the first studies to identify this mentalizing system (MZS) found that it strongly responded when individuals were asked to judge whether someone with the knowledge of the historical figure Christopher Columbus would be able to infer the function of an object (e.g., a motor vehicle) by having access only to a photograph of it (Goel, Grafman, Sadata, & Hallett, 1995). This complex task requires suspend- ing one’s own perspective (i.e., knowing what a motor vehicle is for) in order to represent the (potentially counterfactual) perspective of another (Leslie, 1987). This process of mentalizing is believed to rely on the presence of a theory of mind, evidenced by the ability to represent oth- ers as independent agents who act on the basis of their own mental representations of the world (Premack & Woodruff, 1978; Wimmer & Perner, 1983). Mentalizing is likely a key component of the listening process, so much so that it may be nec- essary for participating in a conversation with another (de Gelder, 1987). When listening to others, verbal utterances and their nonverbal concomitants demand a great deal of active interpretation, a process which serves to provide the listener with an understanding of what the speaker intends to communicate, what they might be hiding, and generally, the beliefs, motives, and disposi- tions of the speaker which are implied by the message (Edwards, 1998; Happe, 1993; Palomares, 2008). Although the majority of neuroimaging of the MZS have not explicitly examined its role in the interpretation of verbal utterances, studies have suggested a critical role for this system in decoding the connotative aspects of messages, such as metaphor and sarcasm (Uchiyama et al., 2011) and indirect replies (Shibata et al., 2011). To give just one example, Shibata and colleagues (2011) had participants read vignettes in which one character asks another character a question D ow nl oa de d by [ C al if or ni a In st it ut e of T ec hn ol og y] , [ R ob er t S pu nt ] at 1 4: 47 0 8 M ay 2 01 3 SOCIAL NEUROSCIENCE OF LISTENING 67 (e.g., “What did you think of my talk?”) and compared the brain’s response to indirect replies (e.g., “It’s hard to give a good talk.”) to its response to direct replies (e.g., “I disliked your talk.”). Because indirect replies such as the one above are more ambiguous than direct replies, they require more active interpretation to reach a conclusion about the speaker’s intent. Compared to direct replies, indirect replies evoked significantly greater activity in the dorsomedial prefrontal cortex, a core region of the MZS. This demonstrates that the areas of the brain used to explicitly represent the mind of another are recruited in order to interpret the implied meaning of verbal utterances. There is also evidence that the MZS is important for interpreting the meaning of nonver- bal behavior. Areas of the MZS have been shown to respond during the observation of actions performed with deceptive intent (Grezes, Frith, & Passingham, 2004), during the observation of unusual actions (Brass, Schmitt, Spengler, & Gergely, 2007), and during the perception of the faces of known others (Gobbini & Haxby, 2007). In work from our lab, we have explicitly investigated the neural bases of the interpretation of nonverbal behavior by showing participants naturalistic videos of everyday actions and emotional facial expressions and asking them to explain why the behavior is occurring (Spunt & Lieberman, 2012a, 2012b; Spunt, Satpute, & Lieberman, 2011). Across several studies, we have shown that when comparing conditions where participants are merely asked to identify how the same behavior is occurring, inferring why selec- tively and strongly recruits the MZS. Although the majority of our studies have used silent videos lacking in verbal behavior, we have also shown the same effect when participants are asked to explain why for verbal descriptions of behavior. Taken together, these studies demonstrate that the MZS is involved in relatively stimulus-independent, top-down control of processes involved in the interpretation of both verbal and nonverbal behavior. Hence, in addition to the MNS, the MZS should be considered an important part of the listening brain. THE COMPLEX RELATIONSHIP BETWEEN MIRRORING AND MENTALIZING Given the complex nature of listening which likely involves processes subserved by both the MNS and MZS, it may come as a surprise that in addition to these two systems being anatomically independent, there is evidence that they are either functionally independent or even competitive. A recent meta-analysis of more than 220 neuroimaging studies of social cognition found that the two systems are rarely concurrently active and concluded that neither system aids or subserves the other (Van Overwalle & Baetens, 2009). This meta-analysis is generally consistent with studies demonstrating that during the perception of other peoples’ behavior, the two systems appear to process mutually exclusive types of social stimuli, with the MNS engaged by nonverbal, motor features and the MZS engaged by contextualizing verbal information (Waytz & Mitchell, 2011; Zaki, Hennigan, Weber, & Ochsner, 2010). Finally, there is evidence suggesting that under some conditions the two systems may actually interfere with one another. The two systems demonstrate anticorrelated activity when individuals are at rest (Fox et al., 2005), and other work suggests that areas of the MZS may operate to inhibit the tendency to imitate another’s action, a function putatively based in the MNS (Spengler, Cramon, & Brass, 2009). This work suggests that under many conditions these two systems operate in a seesaw fash- ion: when one is strongly engaged the other is strongly disengaged. While it is still unclear what this seesaw relationship between the MNS and MZS means for human psychology, it has some D ow nl oa de d by [ C al if or ni a In st it ut e of T ec hn ol og y] , [ R ob er t S pu nt ] at 1 4: 47 0 8 M ay 2 01 3 68 SPUNT intriguing implications for theories of listening. For example, it suggests that when mentalizing a speaker we may necessarily have to temporarily disengage our attention from the dynamic inflow of sensory information (i.e., the perception of nonverbal behaviors and the comprehen- sion of speech) that is critical for maintaining the social interaction. Such disengagement might have at least two negative results. One, such disengagement would likely interrupt auditory atten- tion to speech, thus resulting in compromised comprehension of what the speaker is saying and ultimately in a breakdown of the social interaction. Insofar as such disengagement would likely produce a corollary disengagement of the MNS, a second negative result would be the reduction of processes putatively based in mirroring, such as motor mimicry. Given that mimicry is known to facilitate interpersonal rapport (Lakin & Chartrand, 2003), this would additionally compromise the interaction. Contrary to evidence that the two systems are either independent or antithetical, a handful of studies suggest that under some conditions they may cooperate during social cognition (Zaki & Ochsner, 2012). Several studies have shown that the two systems exhibit concurrent activation during the observation of complex social stimuli (Brass et al., 2007; Iacoboni et al., 2004), espe- cially when observers are explicitly induced to make judgments regarding the target’s internal state (Spunt et al., 201l). Another study demonstrated that activity in both systems positively pre- dict the accuracy of observers’ ratings of another person’s emotional state (Zaki et al., 2009). Finally, several studies have now shown that the two systems may sometimes be functionally co-operative (e.g., Lombardo et al., 2010). Work from our lab has shown that in the specific case of mentalizing an observed emotional expression (Spunt & Lieberman, 2012a) or goal-directed action (Spunt & Lieberman, 2012b), the two systems may be part of a integrated functional sequence: the MNS may facilitate the identification of attribution-relevant motor events (e.g., picking up an object, smiling) while the MZS is primarily involved in attributing identified motor events to inferred social causes (e.g., the actor’s mental intent). Moreover, in a recent study we have provided evidence that as long as observers are actively attending to actions, the MNS is active even when the observer is performing a difficult, secondary mental task (holding in mind a phone number). On the other hand, the MZS is disrupted by the secondary mental task (Spunt & Lieberman, 2012c). This provides evidence for a dual-process model of the MNS and MZS, where the MNS efficiently encodes the how (and possibly also the what) of behavior while the MZS comes online only occasionally to figure out why. Generally, this underscores the validity of dual-process models of listening which identify which component processes may be more or less automatic and hence more or less influenced by extraneous interaction demands (Burleson, 2011; Edwards, 2011). CONCLUSION I have presented evidence for two large-scale systems in the brain that likely play a major role in successful listening. I have presented these systems as supporting two fundamentally differ- ent types of information-processing that likely make up successful listening. The first involves attention to the sensory and motor aspects of the other person’s verbal behavior, or to use col- loquial language: how the other is saying it. This includes the perception of nonverbal aspects of the voice, such as emotional intonation, as well as the nonoral motor behaviors that typically accompany speech, namely, gestures and facial expressions. The second involves inferring the D ow nl oa de d by [ C al if or ni a In st it ut e of T ec hn ol og y] , [ R ob er t S pu nt ] at 1 4: 47 0 8 M ay 2 01 3 SOCIAL NEUROSCIENCE OF LISTENING 69 implications of what was said and how it was said, a process that typically aims toward some representation of the speaker’s state of mind. As highlighted earlier, it is without a doubt that neuroimaging evidence is limited in its import for theories of listening. Indeed, it would not be an exaggeration to state that listening proper has not yet been examined using fMRI. 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work_j34ufech3ve6ngdr6e4wt3zx4i	----	Taking advantage of unexpected WebCONSORT results COMMENTARY Open Access Taking advantage of unexpected WebCONSORT results Erik Cobo* and José Antonio González Abstract To estimate treatment effects, trials are initiated by randomising patients to the interventions under study and finish by comparing patient evolution. In order to improve the trial report, the CONSORT statement provides authors and peer reviewers with a guide of the essential items that would allow research replication. Additionally, WebCONSORT aims to facilitate author reporting by providing the items from the different CONSORT extensions that are relevant to the trial being reported. WebCONSORT has been estimated to improve the proportion of reported items by 0.04 (95% CI, –0.02 to 0.10), interpreted as “no important difference”, in accordance with the scheduled desired scenario of a 0.15 effect size improvement. However, in a non-scheduled analysis, it was found that, despite clear instructions, around a third of manuscripts selected for trials by the editorial staff were not actually randomised trials. We argue that surprises benefit science, and that further research should be conducted in order to improve the performance of editorial staff. Please see related research: http://bmcmedicine.biomedcentral.com/articles/10.1186/s12916-016-0736-x Keywords: Clinical trials, CONSORT, Peer review, Research, Reporting guidelines, EQUATOR Background Research should welcome and capitalise on surprises. A classic example of this occurred when Barry Marshall and Robin Warren found Helicobacter pylori in a person with chronic gastritis and gastric ulcers, conditions that were previously attributed to stress or spicy food [1]. When ser- endipity helped Alexander Fleming discover penicillin, his achievement was not in staining a lab plate, but in repro- ducing the results and advancing the possibilities. There is a continuous research path from the discov- ery to the implementation of new interventions. At the beginning, researchers such as Fleming have ‘an idea’. At the end, they measure the intervention effect. In other words, they ask themselves: What would the evolution be for some patients if, instead of the standard interven- tion, we provide them the updated one. Since re- searchers are unable to observe both evolutions in the same patient, a fairly simple (at least, conceptually) process is chosen: randomly allocate both treatments to patients and compare their evolution. This, and nothing else, is a randomised clinical trial. Unfortunately, things can go wrong – protocol devia- tions, unmasked evaluation and sample attrition have been proven to bias the results [2], and poor methodo- logical background [3] and conflict of interests [4] may further misguide authors. Therefore, in order to facilitate reproducibility, the CONSORT statement [5] has been developed to guide them in the reporting of essential items. However, as trials with different objectives, meth- odologies or types of interventions may need different essential items, new extensions have been added and gathered into the EQUATOR website [6]. To facilitate manuscript preparation, WebCONSORT provides all the items that apply to the reported trial. In order to esti- mate the effect of WebCONSORT on manuscript com- pleteness, Hopewell et al. [7] conducted a randomised trial in which experimental units were themselves manu- scripts of randomised clinical trials, and reported that WebCONSORT improves the proportion of reported items by 0.04, although random allocation makes this re- sult compatible (95% CI) with any true value between a decrease of 0.02 and an improvement of 0.10. The * Correspondence: erik.cobo@upc.edu Statistics and Operations Research Department, Barcelona-Tech, UPC, c/ Jordi Girona 1, C5-213, 08034 Barcelona, Spain © The Author(s). 2016 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Cobo and González BMC Medicine (2016) 14:204 DOI 10.1186/s12916-016-0758-4 http://crossmark.crossref.org/dialog/?doi=10.1186/s12916-016-0758-4&domain=pdf http://bmcmedicine.biomedcentral.com/articles/10.1186/s12916-016-0736-x mailto:erik.cobo@upc.edu http://creativecommons.org/licenses/by/4.0/ http://creativecommons.org/publicdomain/zero/1.0/ authors interpret those values as “no important differ- ence” [7], in accordance with the scheduled scenario of a 0.15 effect size improvement. Unexpected findings – editors under the magnifying glass Looking at additional results, Hopewell et al. [7] showed no surprise when they found “that in a quarter (23%) of manuscripts, authors either selected an inappropriate CONSORT extension or failed to select the right exten- sion applicable to their trial”. As this agreed with their prior thoughts, it reinforced their aim to enhance au- thors’ reporting of randomised trials. However, if there is no surprise, one may feel that this is a boring result. Nevertheless, Hopewell et al. [7] “did not anticipate that journals would enroll manuscripts that were not in fact reports of randomised trials”. In the Discussion, they state that: “More than one third (39%) of registered man- uscripts were excluded from the analysis as they were not reports of randomised trials. This was despite clear in- structions provided to journal editorial staff, and in- cluded in the revision letter to authors, that only manuscripts reporting the results of randomised trials were eligible for inclusion. Clearly, the editorial staff at some journals were unable to correctly identify a rando- mised trial based on what was reported in the submitted manuscript”. Further, in their Results section, they de- scribe the recruitment process: “Between 25 March 2013 and 22 September 2015, 357 manuscripts were registered on the WebCONSORT study site from 46 general medical and specialty journals with an impact factor ranging from 11.34 to 0.65 as of 2014. […] The percentage of eli- gible manuscripts varied considerably across journals (median 73%; IQR 27% to 100%).” Thus, randomised tri- als constitute the methodological gold standard for assessing treatment effects, but the editorial staff of medical journals were unable to correctly classify their own manuscripts as randomised trials. Aha! In their Discussion, Hopewell et al. [7] state: “Better education is needed […] for both authors and journal editorial staff”. This is of no surprise with regards to the authors; however, in terms of the editorial staff, it ini- tially seems surprising, yet further consideration reveals that it may not be so. In order to assess what goes wrong along the research pipeline, the clinical scientific com- munity, led by JAMA and BMJ, organises the quadren- nial Congress on Peer Review in Biomedical Publication, which is devoted to improving the quality of biomedical literature [8, 9]. In its inception, the congress initially concentrated mainly on the peer review process – hence its name. However, the meeting now includes “featured research describing poor practices on the parts of au- thors, reviewers, editors, and journals” [8]. Thus, as edi- tors and journals are already under the magnifying glass of investigation, this is of no surprise at all. Unfortunately, this unanticipated, poor selection made it impossible to perform the designed intervention on misclassified manuscripts. Therefore, the WebCON- SORT authors had to leave out a substantial proportion of papers, thereby losing the scheduled study power and thus making interpretation difficult. Nevertheless, the non-significance of their results should at least be inter- preted carefully [10]. Surprising unexpected results: what can we learn? When anyone agrees to participate in clinical research – whether they be patients, recruiters, interventionists or raters – they are generously volunteering their time, ef- forts and data. At every stage of the pipeline, transpar- ency implies that the scientific community has to be able to assess what went wrong. Inevitably, researchers must be unpleasant to these volunteers by asking im- portant questions, including, Have patients followed the recommendations? Have recruiters adequately explained to them how important it is to adhere to the agreed protocol? Have interventionists applied it carefully? Have monitors made any effort to complete patient follow-up? Indeed, clinical science may never have progressed with- out the noble-mindedness of volunteers. Along similar lines, while keeping in mind the gener- osity of everyone involved in peer review research, we should ponder the questions that the unexpected results of WebCONSORT have provided: Is there any charac- teristic among editors or journals that predicts the pro- portion of correctly classified manuscripts? For example, is impact factor involved? What is the manuscript process flow? What are the responsibilities shared by dif- ferent staff members? What was their selection process? Are they professional or academic editors? What scientific and methodological background do they have? Are differ- ent scientific communities represented in their editorial staff? The answers will, ideally, lead to more ambitious re- search questions about the assumed causal factors: Would the modification of any of them result in the desired im- provement. Obviously, this process would imply further generosity from researchers, editors and journals. Conclusions The WebCONSORT randomised trial was designed to test an intervention for improving the transparent reporting of methods and results by authors. The main analysis of this objective was performed by following the most exigent experimental conditions, with the excep- tion of the already mentioned unexpected loss of power. However, they also observed that the journal gatekeepers classified too many manuscripts as randomised trials when they were not, in fact, so. Shocking? Perhaps. Nevertheless, this post-hoc data is certainly informative Cobo and González BMC Medicine (2016) 14:204 Page 2 of 3 and deserves further study by either the authors of the WebCONSORT study or the very same editors. Christopher Columbus was looking for a new path to Asia. However, to the world’s surprise, he came upon America. Then, to complete the path from discovery to innovation, Columbus travelled several other times. Now, the scientific community must unravel how to im- prove editors’ performance. Authors’ contributions EC drafted a first version, but the final report has benefited from the nearly equal contributions of both authors. Both authors read and approved the final manuscript. Authors’ information Both authors are Associate Professors at the Department of Statistics and Operations Research of Barcelona-Tech. Both belong to MiRoR (Methods in Research on Research), which has received funding from the European Union’s Horizon 2020 research and innovation programme under the Marie Skłodowska-Curie grant agreement No. 676207. EC is partially funded by the Research Group in Biostatistics and Bioinformatics GRBIO (2014 SGR 464), and JAG by Project MTM2015-65362-R, Spanish Ministry of Economy and Competitiveness. Competing interests The authors declare that, although they have no direct financial competing interests, their academic prestige is related to the research success of reporting guidelines initiatives. Furthermore, as researchers on this topic, they share some funded initiatives with some of the authors of the referenced WebCONSORT trial. Received: 21 November 2016 Accepted: 29 November 2016 References 1. Pincock S. Nobel Prize winners Robin Warren and Barry Marshall. Lancet. 2005;366(9495):1429. 2. Liberati A, Altman DG, Tetzlaff J, Mulrow C, Gøtzsche PC, et al. The PRISMA statement for reporting systematic reviews and meta-analyses of studies that evaluate health care interventions: explanation and elaboration. PLoS Med. 2009;6(7):e1000100. doi:10.1371/journal.pmed.1000100. 3. Collins FS, Tabak LA. Policy: NIH plans to enhance reproducibility. Nature. 2014;505:612–3. 4. Mandrioli D, Kearns CE, Bero LA. Relationship between research outcomes and risk of bias, study sponsorship, and author financial conflicts of interest in reviews of the effects of artificially sweetened beverages on weight outcomes: a systematic review of reviews. PLoS One. 2016;11(9):e0162198. 5. Schulz KF, Altman DG, Moher D, for the CONSORT Group. CONSORT 2010 Statement: updated guidelines for reporting parallel group randomised trials. BMC Med. 2010;8:18. 6. EQUATOR site. 2016. http://www.equator-network.org/. Accessed 18 Nov 2016. 7. Hopewell S, Boutron I, Altman DG, Ravaud P, on behalf of the WebCONSORT Study Group. Impact of a web-based tool (WebCONSORT) to improve the reporting of randomised trials: results of a randomised controlled trial. BMC Med. 2016;14:199. 8. Rennie D, Flanagin A, Godlee F, Bloom T. Eighth international congress on peer review in biomedical publication. BMJ. 2015;350:h2411. 9. Rennie D. Let’s make peer review scientific. Nature. 2016;535:31–3. 10. Pocock S, Stone G. The primary outcome fails. What next? N Engl J Med. 2016;375:861–70. • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: Cobo and González BMC Medicine (2016) 14:204 Page 3 of 3 http://dx.doi.org/10.1371/journal.pmed.1000100 http://www.equator-network.org/ Abstract Background Unexpected findings – editors under the magnifying glass Surprising unexpected results: what can we learn? Conclusions Authors’ contributions Authors’ information Competing interests References 
work_j3q6nxsyw5brjdm2bza4ksnwj4	----	2464 Biotechnol. & Biotechnol. eq. 25/2011/3 Article DOi: 10.5504/bbeq.2011.0081 A&eb Biotechnol. & Biotechnol. eq. 2011, 25(3), 2464-2467 Keywords: pineapple, protoplast, isolation, enzyme Introduction Pineapple (Ananas Comosus (l). Merr.) is one of the most famous tropical fruits. Since the beginning of the twentieth century, pineapple breeding has undergone significant efforts in research and development although results have seemed disappointing as the main varieties are still the same as those selected by native Americans before christopher columbus’ voyages (3). hybrid breeding and clonal selection are the main conventional breeding methods. however, its self- incompatibility hampered hybrid breeding and clonal selection is tedious work and not a creative method (1). new techniques must be developed to improve pineapple’s traits. Recently protoplast culture and fusion have been successfully used to create new germplasms in many species such as grapevine (2), Petunia and calibrachoa (4) and Lupinus angustifolius and L. subcarnosus (6). Zhang (7) have preliminarily studied the protoplast isolation of pineapple by pretreating in vitro leaves with 0.7 M mannitol for 2.5 h and digested by 0.5% pectinase, 1.0% cellulase and 2.5% Kcl and MgSo47h2o as osmotic pressure stabilizing agent, ph 5.6~6.0. Pinho Guedes et al. (5) have also isolated protoplast of pineapple by enzymolysis using 2.0% meicelase, 2.0% rhozyme and 0.3% macerozyme R-10 supplemented with 400 mg/l ampicilin, 10 mg/l gentamycin and 10 mg/l tetracycline. however, the above isolation methods are ralatively complicated. in present study Ananas Comosus (l). Merr. cv. ‘Josapine’, the world’s first commercial pineapple hybrid, was used as experimental materials and enzymolysis was applied in order to develop a simple and high-yield method for protoplast isolation of pineapple and then could be used to protoplast fusion for improving pineapple. Materials and Methods Materials the lateral buds of ripening fruit of cv. ‘Josapine’ were used to establish proliferating shoot cultures in institute of South Subtropical crops, chinese Academy of tropical Agricultural Science. In vitro seedlings were subcultured every 6 weeks on Murashige and Skoog (MS) medium containing 1.0 mg/l 6-BA, and ph adjusted to 5.6-5.7. Growing conditions for development of seedlings were 25oc and a 16 h photoperiod. the leaves of shoots, approximately 3.0 cm long, were used for isolating the protoplasts. Selection of osmotic pressure stabilizing agent According to previous studies (5, 7), mannitol and sucrose were used as osmotic pressure stabilizing agent. Mannitol concentration gradients were as follows: 5%, 9% and 13%. Sucrose concentration gradients were as follows: 15%, 21%, 27%, 33% and 39%. leaves were cut into small strips (about 1 mm) and incubated in a 6 cm-width petri dish for 1 h with 10 ml of the above different concentration of mannitol and sucrose. cell plasmolysis was observed under a microscope. All incubations were carried out at 28oc in the dark on a shaker (40 r/min). Enzymolysis Approximately 3 g of leaves were cut into small strips (about 1 mm). Small strips were pre-plasmolysed for 1 h in 10 ml 5% mannitol solution, which was selected as the most suitable osmotic pressure stabilizing agent, and adjusted to ph 5.5. After removing mannitol solution, strips were digested in a 6 cm-width petri dish with 10 mL filter-sterilized (0.2 μm membrane) enzyme mixture of different concentration of macerozyme R-10, cellulase R-10 and 5% mannitol solution. the condition of enzymolysis was same as that of pre- plasmolyse: 28oc in the dark on a shaker (40 r/min). isolated A SIMPLE AND EFFICIENT METHOD FOR ISOLATION OF PINEAPPLE PROTOPLASTS Weifeng Zhao1,2, Wenxiu Yang1, changbin Wei2, Guangming Sun2 1Yunnan Vocational college of tropical Plant, Department of landscape Architecture and horticulture, Pu’er, P. R. china 2institute of South Subtropical crops, cAtAS, Zhanjiang, P. R. china correspondence to: Guangming Sun e-mail: gm-sun@163.com ABSTRACT Protoplasts have showed great value for new germplasms generation. A method was described for the isolation of large numbers of pineapple protoplasts. The procedure utilized 5% mannitol solution as the primary osmoticum and an enzyme mixture of 1.5% macerozyme R-10, 1.5% cellulase R-10 and 5% mannitol solution, pH 5.5, followed by differential and gradient centrifugations. Overall, the method was found to be a simplified and effective alternative to those previously described for pineapple protoplast isolation, obtaining the highest protoplast yield (3.6 × 106/g FW) and the highest protoplast viability (88.9%). 2465Biotechnol. & Biotechnol. eq. 25/2011/3 protoplasts were observed with a one-hour interval until the number of protoplasts remained unchanged. the enzyme combinations were shown in Table 1. TABLE 1 Six enzyme combinations I II III IV V VI Cellulase R-10 (%) 1.0 1.0 1.0 1.5 1.5 1.5 Macerozyme R-10 (%) 0.5 1.0 1.5 1.5 2.0 3.0 Purification of protoplasts Protoplasts were released by squeezing the digested tissues and filtering the resulting enzyme-protoplast mixture through a 425 μm mesh. The filtrates were centrifuged at 500 rpm for 10 min. Floating solution was discarded and the pellet of protoplasts was resuspended in 5 ml cPW 27S solution (cell-protoplast washing solution, containing 27% sucrose). the protoplasts were recovered through repeated centrifugation at 500 rpm for 3 min. Protoplasts were accumulated at the interface of cPW 27S, forming a ring, and were then collected using a pipette. Protoplasts at this stage were allowed to equilibrate in cPW 27S in dark for about 30 min. Estimation of protoplast yield and viability Protoplast yield was estimated using a hemocytometer and the data were expressed as yield per gram fresh weight of leaf tissue. the use of the hemocytometer was as follows: a cover was covered in the chamber of the hemocytometer. A drop of protoplast suspension was dropped on the side of the cover. The chamber was slowly filled with protoplast suspension. Under the microscope the number of protoplasts in the visual field was counted. Fig. 1. Plasmolysis under different concentration gradients of mannitol A: 5%; B: 9%; C: 13% Fig. 2. Plasmolysis under different concentration gradients of sucrose A: 15%; B: 21%; C: 27%; D: 33%; E: 39% 2466 Biotechnol. & Biotechnol. eq. 25/2011/3 Protoplast viability was determined after fluorescein diacetate (FDA) staining. FDA was added to protoplast suspension at a final concentration at 25 μL FDA per mL protoplast suspension. Protoplasts showing bright fluorescence after 5 min incubation with FDA were counted as viable under fluorescence microscope. Ten visual fields were analyzed and in each visual field the number of protoplasts showing bright fluorescence was counted. Results and Discussion Plant cell wall can stabilize intracellular environment and maintain cell survival. When cell wall is removed, the balance of osmotic pressure is changed between inside and outside of cell and then the plasmalemma is dilated or contracted. So osmotic pressure of enzyme mixture, cPW washing solution and culture medium should be same as that of inside of protoplast. Usually it is helpful that osmotic pressure of the above medium is higher than that of inside of protoplast. Mannitol and sucrose were usually used as osmotic pressure stabilizing agents. Fig. 1 and Fig. 2 showed plasmolysis under different concentration gradients of mannitol and sucrose. When mannitol concentration and sucrose concentration were 5% and 27%, respectively, they led to plasmolysis. Before enzymolysis, plasmolysis pretreatment could change the cell physiological status, improve the intensity of cell membrane and then decrease the protoplast damage when enzymes are used. So we pretreated leave strips (about 1 mm) for 1 h using 10 ml 5% mannitol solution for pre-plasmolysed. Fig. 3. effects of different enzyme combinations and treatment time on protoplast yield Fig. 4. effects of different enzyme combinations and treatment time on protoplast viability Previous studies showed that it was important to choose proper amount and treatment time of enzymes. in our study there were six enzyme mixtures with different concentration. We have also used the concentration of enzyme combination in Zhang’ s study (7), meaning enzyme combination i. the result showed that their differences in protoplast yield are not significant in Zhang’s and our study. From Fig. 3, with increasing concentration of enzymes (macerozyme R-10 and cellulase R-10), protoplast yield was on the rise until it was at the highest peak. later protoplast yield deceased. When concentration of enzymes was relatively low such as enzyme combination i and ii, high protoplast yield required long treatment time. however, long treatment time also led to low protoplast viability using high concentration of enzyme (Fig. 4). this could be explained by the toxity of enzymes. the highest protoplast yield (3.6×106/g FW) was obtained when using enzyme combination iV for 6 h while the highest protoplast viability (88.9%) was obtained when using enzyme combination iii for 7 h. enzyme combination iV for 6 h also produced higher relatively protoplast viability for 87.5%. Fig. 5 showed viable protoplasts by FDA staining. compared with Pinho Guedes et al.’s (5) and Zhang’ s study (7), higher protoplast yield and viability would be obtained when using enzyme combination iV for 6 h. More macerozyme R-10 was used in present study because pineapple leaves are rich in pectin. Fig. 5. Viable protoplasts show bright fluorescence after FDA staining After filtering and centrifuging enzyme-protoplast mixture, cPW washing solution containing 27% sucrose was used for purifying the protoplasts. The purified protoplasts were suspended at the interface of cPW washing solution. in Pinho Guedes et al.’ study (5) effective enzymatic mixtures needed six kinds of composition containing meicelase ceSB, macerozyme Ri, rhozyme hP 150, ampicillin, gentamycin and tetracyline and the protoplasts were purified through centrifuge three times and three kinds of cPW washing medium. in our study only two enzymes, two centrifugations and one kind of cPW washing solution were used. 2467Biotechnol. & Biotechnol. eq. 25/2011/3 Conclusions Papers dealing with isolating pineapple protoplasts are very scarce. the major merit of our study was not only to obtain higher in respect to yield and viability but also to develop an easy protocol. The easy and high efficient protocol could provide a theoretical basis for protoplast culture and fusion and then a new germplasms may be created. Acknowledgements this work was supported by the 948 Project [2006-G34 (A)] and Ministry of Agriculture Special Funds for Scientific Research on Public cause [no.nyhyzx07-030]. REFERENCES 1. Coppens d’Eeckenbrugge G. (1996) Pineapple news, 2, 13-15. 2. Fontes N., Delrot S., Geros H. (2010) Recent Patents on Biotech., 4, 125-129. 3. Leal F. and Coppens G. (1996) in: Fruit breeding, Volume i: tree and tropical fruits (J. Janick, J.n. Moore, eds.), John Wiley, new York, 515-556. 4. Meyer L., Serek M., Winkelmann T. (2009) Plant cell tiss. organ cult., 99, 27-34. 5. Pinho Guedes N.M., Maria J., Zambolim L., Ventura J.A. (1995) Acta hort., 425, 259-266. 6. Sonntag K., Ruge-Wehling B., Wehling P. (2009) Plant cell tiss. organ cult., 96, 297-305. 7. Zhang H.F. (1989) Ph. D. Dissertation, South china Agricultural University. 
work_jgl44e6sqncb7bz2nrjmupau2a	----	Marine energy sources: The role of thermal conversion 414 GeoJournal 26.3 4 1 4 - 4 2 6 �9 1992 (March) by Kluwer Academic Publishers Marine Energy Sources: The Role o f Thermal Conversion At the present time six marine renewable resources benefit from technological research and plants, mostly experimental: thermal conversion, wave power, tidal power, salinity gradients, bioconversion and currents. On a world-wide scale, thermal conversion potential is estimated at 10 million megawatts, 20 times wave and 200 times current potentials. Tourists visiting Big Island in the Hawaii can look at the 52-kW, 328 acres Ocean Thermal Energy Conversion (OTEC) plant built in 1979 and regarded as capable o f meeting the local energy d e m a n d in the near future to the point of being a significant e l e m e n t in the Hawaii Ocean Resources M a n a g e m e n t Plan. According to the United Nations Department o f International Economic and Social Affairs, the exploitation o f the thermal ocean gradient could develop especially in the intertropical areas since these plants convert the temperature differences between the warmer surface waters and the colder waters at depths up to 500-1000 metres and are feasible only where this difference is more than 20 ~ These conditions being frequent in tropical and subtropical waters, the locations where the OTEC plants can be installed coincide with ocean regions o f many developing countries. Hence their leading role in ocean m a n a g e m e n t plans aimed at supporting national policies and international actions in less, u n d e r and least developed countries. Four configurations o f commercial-scale OTEC plants have been achieved by research and experimentation: land-based, shelf-mounted, m o o r e d and free-floating. The selection between t h e m depends on the local physical conditions, such as the surface and deep marine current layout and speed and climate features. First research achieved commercial-scale configurations of land-based and shelf-mounted plants. More recently moored and floating plants have benefitted from advancements and they are expected to be available during the nineties. The OTEC plant must be wide e n o u g h to be economic: its optimum size is from 100 to 400 MW. Since energy from OTEC plants can be converted into electrical, chemical or protein forms, developing coastal, inland and archipelagic countries can exploit the thermal gradient o f ocean waters where national jurisdiction is extended not only to produce electric energy but also for aquaculture, fertilizer, biomass, methanol, alumina, a m m o n i a production, as well as desalination and other purposes. The range of by- products depends both on the configuration of plants and local economic and social conditions. Although OTEC technology for the production o f electricity is regarded as relatively clean, a range o f important environmental implications must be tackled. At the present time attention from ecologists is drawn to three major environmental concerns: i) the implications in the ecosystem due to the water mass displacement and mixing; ii) chemical pollution; iii) the physical impacts due to the size o f plants. As can be seen, like other technologies set up to convert renewable energy sources into electric power, the exploitation of the thermal gradient o f water mass is far from avoiding environmental impacts. Because o f this circumstance, OTEC prospects can be regarded as a significant case of how difficult its to apply environmental enhancement and use development principle in sea management. In this respect, general principles and guide-lines which will be formulated in the United Nations Conference on Environment and Development (Rio de Janeiro, June, 1-12, 1992) are expected to play a leading role in influencing international co-operation, national policies a n d technological orientations in the nineties and afterwards. The International Conference on Ocean Management in Global Change, which will be held in G e n o a soon afterwards (June, 22-26, 1992) will specifically refer the U N C E D statements to coastal and ocean management. Adalberto Vallega The University of Genoa, Italy MAY 15- AUGUST 15 1992. THE INTERNATIONAL SPECIALIZED EXHIBnTION "CHRISTOPHER COLUMBUS: SHIPS AND THE SEA" 
work_josp3r6gu5hlbbwsgyy2t4y25u	----	The Peloponnesian War, the Spanish Requirement and the Clash of Civilizations: An Application of Plato's Theaetetus March 2006 Volume 1, number 1 http://nome.unak.is http://hdl.handle.net/1946/5965 31 Conference Proceedings: ,Italo Balbo, Iceland and a Short Story by Halldór Laxness - Notes on the Conference "La trasvolata Italia-Islanda del 1933" (Reykjavík, 7 June 2003) by Maurizio Tani ―Naturally the citizens of Reykjavík will celebrate this important and unique event, the visit of the Italians, as it deserves. The event of their arrival, however, is not only unique in the history of the nation, but it is also of absolute importance, since it could favour the choice of Iceland as part of the transatlantic route, one of the main aerial routes in the world.‖ This passage appeared on the 2nd July 1933 in Morgunblaðið, the leading Icelandic newspaper, on the eve of the arrival of Italo Balbo‘s flight. For some time, on the island, they had been preparing the welcoming party for twenty- four Italian seaplanes, headed by Italo Balbo, Minister for Aeronautics, transporting about a hundred Italian citizens on their way to America. The atmosphere was exciting. Many thought that a new age in the history of Iceland was about to begin. The arrival of such a large number of planes from a country, Italy, then considered ―far away,‖ was to their eyes something exceptional. This widespread feeling of excitement, in hindsight was proven wise, since the Italian visit of 1933 did launch the international aerial routes of Iceland. The importance of Iceland for transatlantic flights was to become paramount from the Second World War through the entire Cold War. During that period, Iceland would turn into one of the crucial hubs for civilian and military airborne transportation between Europe and the US. This fact would allow the young nation of Iceland, politically independent since 1944, to become economically independent as well, thanks to the bargaining power granted by its strategic location. On this point, the famous ―cod wars‖ were most significant. They saw Iceland challenging the United Kingdom itself and gave the country unprecedented visibility within the anti- communist bloc. Nothing of this sort would have been possible, had it not been for the tactical significance of the NATO bases hosted on Icelandic soil. (Iceland even threatened to quit NATO in the days of the social-communist government.) The same period would prove epochal for Icelandic history, as highlighted by the social and demographic changes following the militarization of the country. It is after the Second World War that Iceland witnessed a ―biblical‖ exodus away from the March 2006 Volume 1, number 1 http://nome.unak.is http://hdl.handle.net/1946/5965 32 countryside and into the Reykjavík urban area, transformed by the war into a vast military camp. Indeed, until the 1970s, Reykjavík preserved this peculiar outlook, due to the Anglo-American military presence. Also, until the 1970s, there existed in Reykjavík a bay called ―Balbo sund‖ (―Balbo beach‖ in the Anglo-American maps), located by the seaplane station where the ―Balbo Camp‖ had been established (a sign of esteem toward Balbo by the Anglo- American aviators of the early 1940s, despite the fact that both US and UK were at war with Italy). The bay was then converted into the Sundhof harbour. Inspired by these events in Icelandic history, the University of Iceland (where Italian language has been taught periodically since 1940 and, thanks to a ministerial lectureship, regularly since 1994) thought of celebrating the flight that, on the 5th July 1933, took more than a hundred Italian aviators to invade—peacefully—the city of Reykjavík. In collaboration with the association ―Il Gazzettino d‘Islanda‖ and the Italian Institute of Culture of Oslo, an organising committee was set up that offered to Icelandic citizens and foreign visitors various high-profile activities: a conference, an exhibition realised and kindly lent by the Philatelic Association of Orbetello, and an official website of the celebrations (http://here.is/trasvolata). The goal of these activities was to commemorate the arrival and sojourn in Iceland (until 12th July 1933) of Italo Balbo and of his hundred fellow Italians, directed to North America on their twenty-four seaplanes, along the route Orbetello-Amsterdam- Londonderry-Montreal-Chicago-New York. Hence, their goal was to commemorate not only an event of international significance, but also and above all an important episode in Icelandic history. The Icelandic aspects of the Italian airborne expedition have been reconstructed accurately by Hildur Jónsdóttir (who holds a degree in Italian history of the University of Iceland, where she defended in the year 2002 a B.A. thesis on Balbo‘s 1933 flight). It appears that the flight to Iceland had been prepared by Italo Balbo with great precision. In 1932, commander Cagna flew to Iceland, having alredy visited the previous year. Cagna stayed in Iceland from the 16th through the 26th of June 1932. He was followed to Iceland by Italian technicians, engineers, meteorologists and telegraph operators, whose task was to arrange Balbo‘s expedition. Icelandic records mention in particular captain Altomare and consul Tomassi. During the preparatory works, the Italians rented thirty motorboats, in order to carry to the seaplane station of Vatnagarðar at Viðeyarsund (Reykjavík) the machineries needed for the seaplanes, more than eighty-three tons of ―Stanavo‖ fuel and four tons of motor oil. The squadron of twenty-four Savoia-Marchetti seaplanes, having left from Londonderry at 11.07, reached Reykjavík at 17.05 on the 5th July 1933, flying at an average speed of 245 km/hr. When all the seaplanes had landed, Balbo was helped out of his plane by captain Altomare and consul Tomassi. He was welcomed by the Icelandic Prime Minister Ásgeir Ásgeirsson, together with Dóra Þórhallsdóttir (Ásgeir‘s wife), Anna Guðrún Tryggvadóttir (a young child who presented Balbo with a bunch of flowers), and Jón Þorláksson (the mayor of Rekjavík). Journalists, March 2006 Volume 1, number 1 http://nome.unak.is http://hdl.handle.net/1946/5965 33 photographers, and a large crowd attended the event. The Italians, surrounded by the cheering crowd, were driven to Hotel Borg. Around 19.00, a press conference was held. The following day, Balbo and the two commanders Pellegrini and Largo were taken by the secretary Stefán Þorvarðarson, the writer Kristján Albertsson, and some journalists to the area surrounding Hveragerði (where they visited the Grýta thermal spring), Selfoss and Stokkseyri. At 21.00 they were already back in the capital, to dine with the Prime Minister. The resident diplomatic body, several journalists and the highest Icelandic State officers also attended the dinner. The Prime Minister gave a brief speech of welcome, recalling the twofold discovery of America by the Vikings and Christopher Columbus, the cultural and commercial relations between Italy and Iceland, and invited the guests to toast to ―His Excellency the Minister Balbo, who has already conquered the heart of the Icelandic nation‖ (Morgunblaðið, 7 July 1933). On the occasion, Balbo thanked his host and recalled how ―the art of aviation helps the mutual knowledge of nations, strengthens their friendly ties, and may avoid terrible conflicts […] I pay homage to the King of Iceland and Denmark, the Icelandic government and the Icelandic nation‖ (Vísir, 7 July 1933). On the 7th of July the Italians were taken to Þingvellir, where Balbo explained to his crew the importance of the place and where booklets in Italians were distributed, containing historical information on the ancient Parliament (Alþingi) and Iceland. On the 10th, a farewell party was held, where the Italians sung ―Giovinezza‖ (a popular fascist song) and other songs. Their departure was planned for the following day. However, it had to be postponed, because of a problem with the fuel filter of Balbo‘s seaplane. Eventually, their departure took place on the morning of the 12th and the last seaplane took off from Reykjavík at 8.24. On both the 11th and 12th, a large crowd, including the city mayor, went to bid farewell to the Italians. The local population showed warm appreciation and hospitality. Only the organisations linked with the communist party expressed open dissent. Despite the preventive seizure of most of their propaganda material by the police, the Federation of Young Communists succeeded in distributing some antifascist leaflets, written also in Italian, inviting the Icelanders to welcome Balbo and his men with slogans such as ―Down with Fascism!‖, ―Down with Mussolini! Down with Balbo!‖, ―Long live Terracini and Gramsci!‖, ―Long live Communism!‖ (samples of the leaflets are kept at the National Icelandic Library and, photocopied, in the archive of ―Il Gazzettino d‘Islanda‖). It seems, however, that few, if any, followed such polemical invitation. Only the satirical periodical Spegill (―Mirror‖) dealt critically with Balbo‘s flight, in two articles published in the 15th July 1933 issue. They targeted not only Balbo, nicknamed ―minister Bóbó‖ and accused of having fished bare-handed a salmon in the Ellidá river (―we do not know who will have to pay the fine‖), but also the Icelandic women, accused of being overly ―hospitable… even towards you, brave ones [Italian aviators], who have witnessed all sorts of things.‖[2] In the year 1937, Halldór Laxness, Nobel-prize winner for literature in 1955, and March 2006 Volume 1, number 1 http://nome.unak.is http://hdl.handle.net/1946/5965 34 pillar of the cultural and political life of Iceland for most of the 20th century, wrote about Balbo‘s flight. He published a short ironic story in the avant-garde literary magazine Rauðir pennar (―Red Pens‖), not yet translated into Italian, entitled ―The Defeat of Italian Aviation in 1933 Reykjavík‖ (―Ósigur Italska loftflotans í Reykjavík 1933‖). In it, Balbo, named ―Pittigrilli‖ [pen-name of Dino Segre (Turin, 1893—1975), Italian writer known in Iceland for his satirical and erotic works], and his men have to face a series of humorous mishaps due also to the fact that the employees of Hotel Borg believed their uniforms to be identical to those of the Italian aviators. One of these humorous mishaps sees Pittigrilli-Balbo furious at the waiters and ―speaking the most beautiful Italian that may exist—up to four hundred words a minute, throwing around both arms and legs.‖[3] Memory of that event is still alive today, amongst those who, in 1933, were children. The conference ―La trasvolata Italia-Islanda del 1933‖ (―The Italy-Iceland Flight of 1933‖), held on the 7th June 2003, was very successful, also thanks to the extensive press coverage received. Coordinated by Maria Rosaria Coda, lecturer in Italian at the University of Iceland, and opened by Anna Agnarsdóttir of the Philosophy Department of the University of Iceland, and by Lidia Ramogida, director of the Institute of Italian Culture of Oslo, the conference comprised the contributions of: Hildur Jónsdóttir; Gregory Alegi, lecturer of history of aeronautics at the Italian Academy of Aeronautics and fellow of LUISS University of Rome; Ragnar Borg, vice- president of the Dante Alighieri Society of Iceland and former General Italian Consul in Iceland; Maurizio Tani, lecturer of Italian history at the University of Iceland; and Sigurður H. Þorsteinsson, member of the European Philatelic Academy. The contributions were very well received by the audience (the programme included also the projection of two documentaries), who enjoyed the opportunity to appreciate more deeply the history of aviation, hoping that it may lead to the improved understanding of the relationship between Italy and Iceland. Icelandic References JÓHANNESSON 1933 Alexander Jóhannesson, Í lofti, Reykjavík, 1933. JÓNSDÓTTIR 2002 Hildur Jónsdóttir, L'arrivo di Balbo in Islanda nel 1933, degree thesis, University of Iceland, 2002 (supervision by Már Jónsson and Maurizio Tani). LAXNESS 1937 H. K. Laxness, "Ósigur Italska loftflotans í Reykjavík 1933", in Halla Kjartansdóttir (ed.), Stjörnurnar í Konstantínópel - Sýnisbók íslenskra smásagna 1847-1997, Reykjavík, 1998. ROBERTSSON S.D. Róbert Róbertsson, a cura di, Hótel Borg - the story, Reykjavík, s.d. March 2006 Volume 1, number 1 http://nome.unak.is http://hdl.handle.net/1946/5965 35 SIGURÐSSON 1973 Arngrímur Sigurðsson, Annálar íslensk flugmála 1931-1936, Reykjavík, 1973. WHITEHEAD 1980 Þór Whitehead, Ísland í síðari heimsstyrjöld: Ófriður í aðsigi, Reykjavík, 1980. [1] English translation by Giorgio Baruchello. [2] JÓNSDÓTTIR 2002, pp. 29—30. [3] JÓNSDÓTTIR 2002, p. 31 
work_jutf2tfdo5gfjddhlgko5wjsoq	----	00-Revista Iberoamericana 73_preliminares.indd Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 Of Horses and Men, Mules and Labourers. Human-Animal Semantics, Practices and Cultures in the Early Modern Caribbean De caballos y hombres, mulas y trabajadores. Semántica humano-animal, prácticas y culturas en el Caribe colonial Isabelle schuerch University of Bern, Switzerland https: 0000-0002-0629-6119 isabelle.schuerch@hist.unibe.ch | Abstract: The aim of this essay is to discuss two human-animal relationships that proved par- ticularly salient in the early stages of the so-called Spanish Conquest and became dominant in the early modern Caribbean and colonial Mexican world. On the one hand, the conquis- tadors’ narratives stressed the importance of their horses, and the figure of the conquistador riding on his horse became an iconic depiction of centauric superiority. The conquistadorial mounted couple contrasts starkly with an equally iconic human-animal relationship: the mu- leteer and the mule. Depicting labour as a collective of human and animal workforce chal- lenged the social boundaries between what was considered human and animal in yet another historically relevant way. This article, therefore, stresses an approach that takes modes of interaction as a starting point to discuss body history in early modern Amerindian contexts beyond strict human/animal boundaries. Keywords: Human/animal studies; Body history; Modes of interaction; Early modern horse- manship; Labour history. | Resumen: Este ensayo tiene como objetivo discutir dos interacciones entre lo humano y lo animal particularmente relevantes en las primeras fases de la conquista hispana de los espa- cios americanos que se convirtieron en dominantes tanto en el Caribe como en el México 02-Revista Iberoamericana 73_D-1_Schuerch.indd 13 17/3/20 14:11 D O I : 1 0 . 1 8 4 4 1 / i b a m . 2 0 . 2 0 2 0 . 7 3 . 1 3 - 3 5 https://creativecommons.org/licenses/by-nc-nd/4.0/ Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 1 4 colonial. Por un lado, las narraciones de los conquistadores enfatizaron la importancia de los caballos y la figura del conquistador a lomos de su montura devino en una representa- ción icónica de la superioridad centáurica. La “pareja montada” conquistadora contrasta fuertemente con otra relación entre lo humano y lo animal igualmente icónica: el muletero y la mula. La representación del trabajo como un colectivo combinado de fuerza de trabajo humana y animal desafiaba las fronteras sociales entre lo que se podía considerar humano y lo que se podía considerar animal en una forma histórica relevante. Esta discusión por ello, pone el acento en una aproximación al tema que toma las formas de interacción como punto de partida a partir del cual discutir la historia del cuerpo en contextos amerindios coloniales más allá de las estrictas fronteras humano/animal. Palabras clave: Relación humano/animal; Historia del cuerpo; Formas de interacción, Equi- tación colonial; Historia del trabajo. “The donkey for the indian, the mule for the mulatto and the horse for the gentleman” “El burro para el indio, la mula para el mulato y el caballo para el caballero” Old Mexican proverb (19th c.)1 INTRODUCTION Donkeys, mules and horses have been part of the cultural and social landscape of the Caribbean for only a little more than 500 years, and yet, they have played important roles in the social fabric that constitutes Mesoamerican history. This article takes up a challenge put forward by Martha Few and Zeb Tortorici as they called for “centering animals” in Latin American history (Few/Tortorici 2013). By centring animals, the aim is not to de-centre the human actors very much constitutive of historiographical work, but to focus on their common workings and dealings together and to detect historical settings where this common interaction became more significant than a daily routine. In what follows, I will present two human-animal configurations that proved par- ticularly salient in the early stages of the so-called Spanish Conquests and became dominant in the early modern Caribbean world: The conquistador and his horse on the one hand, and the labourer and the mule on the other. By looking at the modes of interaction of these two social figures, we can avoid the rather traditional question of agency, but we might also detect more than mere symbolic arrangements. Although 1 As cited in Pérez Martínez (2004, 105). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 14 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 1 5agency has been a major concept in the history of slavery and in the vast field of animal studies, it might not be the ideal approach to analyse the role the two specific kinds of animals (i.e. horse and mule) played in the world of labour and war. The point of this paper is not to raise horses and mules to the morally charged grounds of agents of forced labour and conquest. What might prove an illuminating approach, however, is the question of when and how specific animals added physically, relationally and symbolically to social orders. Therefore, instead of postulating agencies as such, it is the intention of this paper to take up recent suggestions from social studies to analyse “modes of interaction”.2 By choosing modes of interaction that can be considered socially and culturally relevant, the focus is no longer on more or less defined groups, but on the social regimes which establish this particular order. Social border regimes regulate who (or what) is included and excluded. As has been pointed out by recent sociological and social historical research, angels and demons can be considered as actual social actors in most European premodern societies3 because their effects were treated as socially relevant doings (Lindemann 2014). In the same sense, it might prove fruitful not to start with a presupposed dualism which divides humans from animals or westerners from indigenous. Today the basic understanding is that the great divide between nature and culture that has been dominant for at least the last 200 years of intellectual, but also political thinking is now challenged by acknowledging alternative categorizations of the world. As Philippe Descola has rightly pointed out, this divide is not easy to bridge, but the least historians studying early modern actors’ doings and sayings can do is to critically reflect and not to presuppose oppositions and analytical categories relevant in their field of work (Descola 2010; 2011, 77-84). At the same time, Laura Derby published an article, in which she argued for the inclusion of quadrupeds within the environmental history of Latin America and the Caribbean: “[B]ringing animals into the analysis might move us closer to local understandings of the natural world and syncretism on the ground between European, indigenous, and creole views and practices, enabling new ways of thinking about environmental change” (Derby 2011, 603). Therefore, instead of opposing humans and animals in the early modern Caribbean and in what would be called New Spain, I propose an approach via socially relevant configurations. I have chosen two configurations which were relevant in two different social spheres, namely the world of the elite and of labour. Marcy Norton, a leading ex- pert on the early modern Atlantic World, has recently suggested that there were two predominant (premodern) European inter-species relationships: hunting and 2 The most influential proposal for analyzing the social as relational structures has been made by Bruno Latour and other proponents of ANT (Latour 2007). Yet, for animal studies it is Donna Haraway’s ap- proach on relationship duos which has proven most fruitful (Haraway 2003). Similar suggestions have been made, for example, by Vinciane Despret who calls for “agencement” instead of individual agencies (Despret 2013) or Marcy Norton whose analyses focus on “modes of interaction” (Norton 2015). 3 Gesa Lindemann systematizes the analytical framework for social border regimes and she suggests analyzing social orders by starting at their borders (Lindemann 2009; 2014). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 15 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 1 6 husbandry (Norton 2015, 29; Norton 2017, 17-19). Because of their relevance for premodern societies, these two main forms of relationship between human and non-human actors should be regarded as organizing principles for social and cultural order. However, these two binary principles should not be implicitly assumed for non-European societies (Descola 1994). Taking the Carib term “iegue” as a case in point, Norton elaborates on the different binaries in use when humans are interact- ing with animals. Whereas the conquering Spanish had rather clear-cut concepts of “vassal animals” used for hunting and war (e.g. horses and dogs) and “livestock” for thoroughly domesticated animals such as cattle, sheep or pigs, the boundary of interspecies interaction in several Caribbean and Mesoamerican cultures ran along the gradual difference between wild and tame (Norton 2015, 29-30). Interestingly enough, the wild/tame binary could become such a governing principle of social or- der that it crossed the human/non-human binary. “Iegue”, therefore, does not only refer to a tamed animal, but also to an adopted and socially integrated human being (Norton 2014, 30). By focusing on elite and labour positions, I deviate from Marcy Norton’s hunt- ing/husbandry binary, but for a specific reason. Labour and its constitutive ingrained power structures, on the one hand, and fighting and its likewise constitutive logic of victory/defeat are highly physical. If we consider fighting and labouring as power- ful cultural practices, the body and its functions, possibilities and limitations play a central role. The physical body as site of practices offers one of the most promising approaches to human-animal relationships. Unlike complex language, narrative and visual representation or cultural symbolism, the body and its physical properties are shared qualities of both human and non-human animals. Yet, it is important to stress that I do not argue for an essentialization of the body per se. The focus on the body as locus of practices and the bodies’ role to fulfil social tasks includes a sensibility for the semantics and discourses creating the body. Problematising the question of how (historically) produced is the central concern here. If we understand, from a historical point of view, how bodies were used and described, we might learn more about the cultural and social differentiation within different societies or –more generally– col- lectives. Taking up this line of argumentation, Daniel Eitler has recently put forward several suggestions as to how animal history could be written as body history (Eitler 2014). One of his suggestions is to include only animals that actually form relation- ships –however brief or sporadic– with humans and “whose modes of existence have been traceably influenced by humans” (Eitler 2014, 261). This suggestion is worth taking up for post-Columbian Caribbean and Mesoamerican contexts, especially be- cause here “cross-cultural encounters” are even more prevalent as research focus (Hal- lam/Street 2000; Smith/Tagirova/Engman 2010). By changing the focus from intra- and interspecific encounters to the modes of existence of their relationships, we also have to take into account that “to critically historicize the actor- or subject-status of humans and animals is a necessary aspect of research into the ways in which they were produced, and not just the ways in which they were represented” (Eitler 2014, 265). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 16 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 1 7I would like to take up the “production” part by focusing on two bodily ac- tivities which blurred the human/animal boundaries in specific ways. At the same time, they both relate to forms of concrete bodily activity with ingrained power structures: Fighting and labouring. Whereas the almost iconic conquistador on his horse stood for the superiority of the Spanish conquerors, the equally emblematic human-animal analogy of the labouring human and mule workforce entails social inferiority. Whereas conquistadorial fighting is characterised by rider-horse-ensem- bles, labouring is mainly set into hierarchical structures of dependency where the boundaries between labouring humans and animals are blurred. It is necessary to stress at this point that the conceptual questioning of human/animal boundaries is quintessential to re-evaluate the differences, analogies and relationships early mod- ern contemporaries used and created. And very often they did so out of different motives and representational needs. Therefore, it needs a very sensitive approach to not simply reproduce demeaning contemporary antagonisms between, for example, “the indigenous” and “the Spanish”, or analogies, as, for example, between “slaves” and “animals”. This article is divided into two parts followed by conclusive remarks on human-an- imal history as body history. In the first part, I will focus on the early conquest setting in the Caribbean and the Spanish Mexican campaign led by Hernán Cortés, in which the conquistadorial riding unit became the centre of attention, especially for Spanish commentators. In the following chapter, I will shift from early conquest contexts to the colonial development leading up to the 18th century casta society in early modern Mexico. In contrast to the iconic rider/riding horse unit, I will introduce a different mode of interaction between equine and human co-workers in the colonial labour setting. In order to highlight labour as a plausible approach to animal history as body history, I will combine textual and visual sources ranging from the 15th to the 18th century. THE CENTAURIC CONQUISTADORIAL COUPLE Historical accounts of how indigenous Caribbean spectators reacted to their first en- counters with European horses are aboundant. The descriptions of the horror and fascination of people who had never before laid eyes on a quadruped animal of that size seem not only to take up a major part of Spanish contemporary accounts, but also to fulfil a specific function of thinking about appearances, of interpreting success and of discussing domination and superiority. It has been pointed out repeatedly, though, that we should take Spanish anecdotes of how indigenous audiences thought of horses with more than just a grain of salt. In these anecdotes, the indigenous spectators are said to think of horses as supernatural deer or monstrous carnivores. The indigenous reactions are therefore not rendered as descriptions of their actual interpretations, but as Spanish self-fashioning of their heroic or even god-like appearance (Restall 2003; 02-Revista Iberoamericana 73_D-1_Schuerch.indd 17 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 1 8 Townsend 2002).4 This self-stylization is closely connected to the kind of documents used as sources (Folger 2011).5 The early phase of the Spanish Conquista in the Car- ibbean and Mesoamerican territories is mainly related through probanzas (proofs of merit), relaciónes de méritos y servicios (reports on services rendered and merits), cartas (letters) and historias. The historical chronicles in particular were usually written down at a later stage and the authors of these historical accounts can seldom be character- ized as eye-witnesses. As for Caribbean and Mesoamerican accounts of interpretations during the early phase of the Spanish conquests, the textual and visual sources are even more scarce. Interestingly enough, though, research into the role of the horse in the “New World” had a peculiar peak in the first half of the 20th century. The works of Robert B. Cunninghame Graham (1852-1936) and Robert M. Denhardt (1912-1989) are still cited as main references for the horse in the early modern Americas.6 At a closer look, though, both approaches reveal distinct problems for today’s approach to the role of animals in history. Cunninghame Graham, for instance, was a passionate horse lover, colourful character and adventurer and he set out his book Los caballos de la conquista (1930) as an equestrian tale of heroic adventure. In particular, the 1946 edition with watercolour drawings and vignettes by Enrique Castell Capurro highlights the iconic superiority of the mounted Spanish conquistador over the trampled down indigenous adversaries. Although the book is still referenced in the context of historical animal studies today, it must be read in its own historical terms.7 It is not a book on the role of horses in the conquest, but rather a male adventure story of the 1930s with cowboys’ and gauchos’ ultimate companion animal, the horse, in a lead role. Robert D. Denhardt’s work on horses in the Americas from the 1950s, on the other hand, represents rather the opposite: not a tale of heroic horseback fight, but a meticulous reference collection of already edited sources. Denhardt’s achievement, therefore, was to collect references to the earliest horses on the Caribbean islands in order to document the arrival and subsequent distribution of horses in the Americas. Whereas Cunninghame Graham’s and Denhardt’s interest was rooted in their back- ground and their awareness of the diminishing importance of the horse in 20th centu- ry society8, research in the 1970s started to focus on cultural and ecological impacts of the Spanish conquest. In the wake of Alfred W. Crosby’s Columbian Exchange (1972) horses were not discussed as such, but as an important “factor” in the conquest. This factoralism put horses in the same category as firearms, steel and germs (Diamond 1997; Restall/Lane 2011). 4 For the general subject and analysis of conquest myths cf. Restall (2003). 5 Robert Folger was one of the first who dealt with probanzas and relaciones not just as sources, but as means of self-fashioning cf. Folger (2011). 6 Quite tellingly, Daniel Vidart’s study on the effect of horses in indigenous societies has hardly been cited (Vidart 1958). 7 See, for example, the reference in Few/Tortorici (2013, 5-6). 8 For the gradual separation of human society and the horse see Raulff (2015). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 18 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 1 9Not least because of Denhardt’s meticulous research, we do know that horses were first shipped to the Caribbean islands in 1493, on Christopher Columbus’ second voy- age. The transatlantic shipping of horses was mainly initiated by Columbus himself. In the late spring of 1493, a royal cedula instructed the secretarius to recruit 20 horsemen (escuderos de caballo) from Granada together with their horses. Since it was quite com- mon for escuderos to ride stallions,9 the order also included the demand for five mares.10 Aware of the considerable difficulties concerning the transatlantic shipment of horses, the idea to found a stud and to initiate equine reproduction on the newly discovered islands was already developed in the first months of preparation. What becomes obvious from Columbus’ voyages to the Indies following the “discovery” journey is that he was concerned with settlement and the establishment of Spanish rule in las Indias. Horses were not part of the more common livestock, but were essential to a military class who defined themselves as riders and horse-owners and used the status of possessing a horse as a clear distinction from common footmen. Included in his many letters to the Crown, there is one in which Columbus requested the king to authorize the taking of additional ships to be used in transporting the horses. In answer to this request the king wrote that finances would not permit the sending of more vessels, but he suggested that, if nec- essary, some other supplies might be left behind in order to make room for the horses. In the classic narratives of the early conquest following Columbus’ voyages to the Indies, horses are generally referred to as wondrous beings. The Spaniards made ready use of the fact that the islands’ inhabitants and especially the local rulers had never seen horses before. Guillermo Coma, for example, took part in the second voyage and the Aragonese nobleman’s letter from the Indies was the first published pamphlet relating the news from the isles across the Atlantic to a larger public. The letter was sent to Coma’s correspondents in Pavia, where the printer and editor Nicolò Syllacio had it published in a revised Latin version in 1494.11 The so-called Syllacio-Coma Letter was modified as a textual hybrid to be sold to the broader public and gives a lot of details about the voyage, the newly discovered islands, their population, climate, flora and fauna. In one of its most famous passages, the letter elaborates on the Spaniards’ meet- ing with the cacique Goathanari, the local authority. As the presence of an estimated 600 armed indi was not a very comforting situation for the Spaniards, they were keen on showing off their fleet and their horses: When this alarm subsided and confidence was restored, Goathanari came down to the shore to see the ships. When there, he admired the lofty bulwarks, examined the tackle of the ships, observed attentively the instruments of iron, but fixed his eyes most upon the horses, of which the Indians are destitute. A great number of fine horses –fleet for the 9 Unlike today’s English or German language use, which mainly differentiates between stallions, geld- ings and mares, the Spanish languages in the 15th and 16th century only use caballo for male horses and yegua for females. 10 Cf. De Cárdenas y Espejo et al. (1864, vol. 1. XIX, 449, and XXI, 310). Hereafter cited as DII. 11 The letter is edited in its printed version and with an English translation in Thacher (1967, 223-262). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 19 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 2 0 course and strong to bear armour– had been brought out by the Spaniards. These horses had plated bits, housings of gay colours, and straps highly polished. The formidable appear- ance of these animals was not without terror to the Indians; for they suspected that they fed on human flesh. (Thacher 1967, 256) The Spaniards’ approach to introducing the horse to this new horse-free world was from the beginning a multi-layered endeavour. What the Goathanari passage reveals is that the Spanish leaders very quickly understood that horses (and other impressive weapons such as firearms) could make an effective first impression. We can only phan- tasize about how it must have been for Goathanari and his entourage to see animals the size of several men prancing and neighing right in front of them. The horses were not just brought out of the ships’ holds to get fresh air and solid ground under their hooves after several weeks of transport, but they were dressed up to cause a spectacle. The reference to horses as carnivores and –more specifically– as devourers of human flesh was taken up by several Spanish commentators and it became a standard myth. In order to spread terror among indigenous adversaries, some resourceful Spaniards told stories of how horses could chase and catch human beings (Díaz del Castillo [Barbón Rodríguez] 2005, 160). Using shams including horses was also an effective tactical move in Hernán Cortés’ conquest of today’s Mexico in 1519. Bernal Díaz del Castillo’s Historia ver- dadera de la conquista de la nueva España offers one of the most detailed observations of the Spanish conquest of “Mexico”.12 In Díaz’ writing the conquistadors’ military, logistic and tactical awareness of their dependency on the horses’ well-being becomes most evident.13 Written four decades after the Mexican conquest campaign led by Hernán Cortés, Bernal Díaz’ first-hand account was aimed at revising the circulating dominant narrative, but nonetheless gives us valuable insight into how the military campaign was organised. In 1518, the Governor of Cuba, Diego Velazquez, ordered 10 ships to be prepared for the voyage to the Mesoamerican mainland. This fleet was therefore bigger than previous exploring expeditions with usually only about 4 light vessels. Since the expedition was officially planned for permanent settlement of the mainland, a large crew, major supply of salted pork and cassava14 bread and as many horses as could be bought had to be organised. Finally, 508 soldiers, 100 seamen and 16 horses were shipped off to the Mexican shore. For Bernal Díaz, the horses were of special importance. He does not just mention that horses were still rare in West Indies, especially Cuba, but he goes even further in actually listing the 12 Written as a first-hand account of the events, Díaz’ text was conceived as a corrective version in answer to Francisco López de Gómara’s tendentious biography of Hernán Cortés (historia verdadera). Bernal Díaz started to work on the historia in the 1550s, probably after Gomara’s biography was published in 1552. He revised the text several times and finally, long after Díaz’ death in 1584, a revised copy of the Guatemala manuscript was sent to be published in Spain in 1632 (Barbón Rodríguez 2005, I-IX). 13 For the most recent critical edition cf. Barbón Rodríguez (2005). 14 Cassava bread is made from yuca or manioc and rich in carbohydrates. Judging from its nutritional value it was also used to feed the horses (Karasch 2000). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 20 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 2 116 horses including their characteristics, qualities, owners and –in some cases– even their names.15 In light of this, it is not altogether astonishing that Bernal Díaz relates a lot more about the individual horses than about the individual human participants. Details are given about noblemen and their horses, not about the footmen. Although Díaz was not one of the 16 horsemen, he was very perceptive of the problems involving horses. He describes how Cortés inspected the horses before their departure and how he ordered “los cavallos estubiensen a punto” (Díaz del Castillo [Barbón Rodríguez] 2005, 64). When the fleet finally landed at Punta de los Palmares on 12 March 1519, there were instant skirmishes with the local indigenous troops.16 Cortés had to order the horses to be brought ashore, but “estavan muy torpes y temerosos en el corer, como avía muchos días qu’estavan en los navíos; y otro día estubieron sueltos” (Díaz del Castillo [Barbón Rodriguez] 2005, 80). What these narrative accounts show is that horses were not only valued as military factors, but that for contemporaries, the organisation, preparation, transportation and adaptation of horses was described as a major challenge on the one hand, but also as an irreducible condition of Iberian conquest practices, on the other. What becomes ob- vious in accounts such as Bernal Díaz’ is that horses were not just prestigious markers of status, but that social and economic status could not be separated from owning and riding a horse. In a hierarchical society such as the Iberian, visibility and appearance was an integral part of social life (Ruiz 2012; Cañeque 2004). Royal courtiers, but also local noblemen and urban elites relied on riding. We should not forget that appear- ing mounted on a horse, usually surrounded or followed by other riders, was not just symbolically, but also very physically perceivable as an impressive statement of supe- riority. In the Late Middle Ages, an essential part of Iberian culture and tradition had integrated horses and equestrian skills: from Reconquista celebrations to royal entries, from urban city council presentations to tournaments (Ruiz 2012; Ruiz 2017; Fuchs 2009). And more generally, the ideal of knighthood itself is centred around the idea of the mounted warrior (Fallows 2010). The Spanish nobleman, el caballero, defines him- self not just semantically through his companionship with the horse, the caballo.17 As the ideals of nobility and equestrian skills permeated Iberian culture, the military value of the knights and their valiant steeds diminished (Fallows 2010, 305-309). To cut this complex story short, the conquistadorial attitude in the Caribbean and American world was in many ways not part of a new, ground-breaking conquest movement, but a revival and re-evaluation of old, sometimes even nostalgic knighthood ideals and close- ly connected to social and hierarchical order (Flores Hernández 1997; Renton 2017). 15 Díaz goes on in his account to report that Juan Sedeño’s chestnut mare actually foaled on board (esta yegua parío en el navío), (Barbón Rodríguez 2005, 60). 16 There had been at least two expeditions along the Mexican coastline in which Bernal Díaz –unlike Hernán Cortés himself– had participated and they had caused several armed conflicts. 17 For early modern practice and theory of nobility cf. Lee (2016). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 21 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 2 2 In many ways, there was also a revival of a classic figure: the centaure. The an- tique wise creature with an upper body of a human and the lower body and legs of a horse had been present in mythological, but also hippological texts (Atwood Lawrence 1994). Although medieval map drawings and descriptions featured wondrous beasts like the unicorn or hybrid monsters like cynocephali and manticores to populate and mark the end of the rims of the known world (Mancall 2018, 1-41), the centaur was usually considered a more sophisticated figure. Mentioned not only in the Iliad but also in many popular tales, the most famous example is Chiron. In various different versions, the wisest of all centaurs taught Greek heroes such as Achilles, Perseus, Her- acles or Asclepius. References to these heroes and to medical science (Asclepius) are scattered throughout medieval and early modern hippological and hippiatric texts. The centaur myth in the Caribbean and Latin American conquest context, howev- er, was actively re-vitalized. Spanish commentators wrote about how horsemen were taken for centaurs by the indigenous audience, even to the point of ignoring the fact that said spectators would not have heard about Chiron or centaurs in the first place.18 Bernal Díaz put the centauric trope into more physical terms: “E aquí creyeron los indios que cavallo y el cavallero era todo uno, como jamás avian visto cavallos.” (Díaz del Castillo [Barbón Rodríguez] 2005, 83). The phrasing “todo uno” is not only a ref- erence to the antique centaur myth, but transcends the hybrid human-animal figure by a unified body as central unit of appearance. From the point of view of historiography, the myth of equine impression was also transported in later times’ works on the history of conquest. William H. Prescott’s influ- ential History of the Conquest of Mexico (1844), for example, entrenched the centaur myth even further, when he took up the interpretation that the Mexicans thought the Spanish cavalry was a group of centaurs (Prescott 1844, 181). Only in the last twenty years has historical research stressed more prominently that the idea of the god-like Spaniards and their supposedly overwhelming appearance on god-like creatures has been predominant- ly shaped by Spanish self-fashioning and by the subsequent more or less direct translation into historiography (Townsend 2003). Whereas centauric and religious elements clearly influenced the Spaniards’ perception, the actual physical co-movement of horse and rider cannot be ignored as it was the principle underlying the very idea of riding. THE OTHER CENTAURIC PACT: SLAVING LIKE A MULE In his seminal argument in The Columbian Exchange (1972), Alfred W. Crosby put the horses’ status in a succinct phrase: “The horse the caballero rode was as much an 18 A prominent case is Fray Toribio de Benavente Motolinía’s account of the Spanish campaign in Mexico in the 1520s. He recounts how locals thought the riders and their riding horses were single beings (cen- taurs). And only after a few days, so he writes, did they find out that man and horse were two separate beings. Lacking the specific words, they called the horses mazatl (deer), (Motolinía 1988, 193-194). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 22 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 2 3aristocrat in the equestrian flesh as his master was in equestrian skill” (Crosby 2003 [1972], 80). The mule, on the other hand, has got a different and hardly visible story. By taking up Virginia DeJohn Anderson’s central thesis, the essential impact of do- mestic animals in the early modern American sphere of living has to be extended from the ecological landscape to the level of social interaction (Anderson 2004). Although we can assume that the mule was almost literally the backbone of Spanish economy much throughout the late Middle Ages and the early modern age, there is hardly any research on mules and they are not easy to spot in source material. Whereas Christo- pher Columbus reportedly made arrangements for horses to be brought to las Indias and conquistadorial campaigners such as Bernal Díaz paid close attention to the few horses in their surroundings, mules and donkeys were seldom commented upon in the first years of the Spanish conquest. But there is no doubt that they must have been bred and raised on the Caribbean islands right from the beginning. It is only in the context of the painstaking transport of extra burdens during the conquest campaign in Mexico, when Bernal Díaz mentions the problem that only a few conquistadors had brought carriers with them and that the troop’s majority were worse off than pack animals: “For when a beast had finished its day’s work, its saddle was taken off and it was given food and rest, but we carried our arms and wore our sandals both night and day” (Díaz del Castillo [Cohen] 1963, 158). Unlike the horse, the mule was never considered a noble animal. As sterile off- spring of a male donkey and a female horse, the hybrid mule is a “cultural invention” (Leighton 1967) and had been one of the main issues of farming and husbandry treatises since the widely circulated texts by Cato (234-149 BCE), Varro (116-27 BCE) or Pliny the Elder (23-79 CE) (Epstein 2012, 42; Leighton 1967). Yet, mules were considered sturdier and usually more comfortable riding animals than horses. In addition, they could be used both as riding and transport animals. When the shortage of equids in the early years of the Spanish settlement project on Hispan- iola demanded for labour force, Christopher Columbus resorted to a novel way of treating equine possession. Traditionally, there was a strong possessory tie between caballeros and their own caballos. In military as well as in “private” contexts, the possession, use and care of equids was part of one’s own household right. When Co- lumbus had to arrange for the large and complex settlement project on Hispaniola, he had to deal with the fact that if a horse owner was absent or sick, it also meant that this person’s horse was out of action. In addition, some of the horses brought to las Indias were not bred for military or laborious use, but for sport and show, a problem also mentioned in Bernal Díaz’ list of horses. Therefore, Christopher Co- lumbus sought to dissolve the strong traditional possessory tie between caballeros and caballos and he demanded a royal “right of disposal” for the use of horses in the Indies.19 Furthermore, he also tried to establish a constant horse shipping routine and to reserve ships for equine transport use only, but he only succeeded partially. 19 See e.g. DII (XXI: 377). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 23 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 2 4 Although the mules are almost totally absent in these sources, two points might be hidden in the overly-documented equine cases. First of all, Columbus initiated the breeding of horses on Hispaniola and so the second voyage included the shipment of mares. In order to breed mules, you need male donkeys, but also female horses. The mares could not only be used to establish horse breeding, but also mule breed- ing.20 Second, it becomes clear that the need for transport animals on the isles was so prevalent that horses, mules and donkeys had to be incorporated in the new labour regimes. In what follows, I would like to focus on two main areas of research, where mules played culturally and socially an important role, but where they also gained visibility. First, there is the hybrid status and the close semantic relationship be- tween mulo and mulato. The breeding of mules, the importance of blood lines and physical characteristics were closely connected to the Spanish discourses on blood purity and impurity. Second, the mule and the muleteer developed a special relationship in the Caribbean and Mesoamerican socio-economic landscape. As a workforce relationship between pack animal and labourer, the mule-muleteer configuration enabled –throughout the early modern period– the long-distance connections and trade needed to establish the economic integration of these terri- tories (Hassig 1985). As already pointed out, the mule is a hybrid species. Authors of natural philos- ophy have commented extensively upon this special cross-breed of horse and don- key. Famously sterile, the mule was eponymous for mixture and thus, per natural law, an bigenerus contra naturam, as Isidor of Seville famously put it (Epstein 2012, 46-47). This was in accordance with the biblical argument against hybridization as stated prominently in Leviticus 19:19: “Thou shalt not let thy cattle gender with a diverse kind”. Ancient and medieval authors used the mule to reflect on the ques- tion of what is in harmony with nature and what is not, and the mule provided a context in which questions of purity, inheritability and blood could be discussed and reflected upon. For Thomas Aquinas (1225-1274), for example, the mule was a “convenient tool for the logical analysis of species and creation” (Epstein 2012, 52). Ancient and medieval texts see the etymological origin of the word mulus in the Greek word for pulling or “traction” and it is therefore not surprising that the mule’s capability for laborious work and transportation were highlighted (Epstein 2012, 50-53). In his study on racial difference in early colonial Mexico, Robert C. Schwaller points out that the most often cited etymological reference for the word mulato was derived from mula (Schwaller 2016, 45-46). This discursive proximity also trans- ported the negative connotation of the mule as “peculiar” and “odd” mixture contra naturam. The mixture of blood and bodily fluids of two different species was not only regarded as an act of impurity, but it also meant that the offspring of such a 20 See DII (XIX: 449; XXI: 310). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 24 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 2 5union was inferior, ugly and impure. In a cultural context where the association between genealogy and the physical body was so strong, “blood purity modelled a kind of body-based power relationship” in the colonial territories and innate ances- tral inheritance of superiority was “registered physically in one’s blood” (Burk 2017, 173, 174). Schwaller has shown that, over the course of the sixteenth century, the Spanish started to restrict the exploitation of native transporters, the so-called tamemes. Due to rising criticism, the transport networks were forced to exchange human transport- ers for equine pack animals, which in turn led to the rise of the muleteering business (Schwaller 2016, 199). It is therefore not at all surprising that the single most common professional field for mestizos and mulatos became that of muleteer (Schwaller 2016, 198). Apart from mining, the rural economy demanded for labour in the farming and transport sector. Muleteering, therefore, could be regarded as rather attractive work as it offered a direct connection between rural areas and urban trade networks. Muleteer- ing was a rather well-paid occupation and the wages varied according to the labourer’s género (Schwaller 2016, 199). In the 1720s, Felipe Díez de Palacio introduced a regime of forced distribution of animals to establish and maintain vast ranches for cattle and horses in Tlalmanalco in the Valley of Mexico. The corresponding labour was assigned to unrecompensed service of three indigenous labourers per week (Gibson 1964, 95). The co-labour of indigenous and African (forced) labourers and “livestock” has to be considered a major shift in the Amerindian socio-cultural “modes of interaction”. Although, legal possession of mules or donkeys by indigenous parties before the 18th century is scarcely documented, it was (again) Bernal Díaz del Castillo (ca. 1490s- 1581) who spoke of the establishment of a genuine class of “Indian muleteers” (arri- eros) (Gibson 1964, 345). It is one of the standard tropes in colonial narratives that the hierarchy between Spanish elites, mulato labourers and indigenous workforce was not only mirrored, but very often rendered as analogy, in the hierarchy between horse, mule and donkey. As horses were highly capital-intensive investments, mules were less so, but still expensive in acquisition and upkeep. Mules, therefore, were not usually owned by their muleteers. Unlike the conquistadorial rider/riding horse configuration which was based on social status, skill and possessory ties, the muleteering business fol- lowed a different kind of human-animal relationship. The pack trains consisted of several dozen mules and usually also several muleteers. Not the individual pairing was the dominant form, but the muleteering group (Hassig 1985, 193; Calderón 1995, 450). Apart from economic sources, it is not an easy task to find explicit referenc- es to the labour relationship between mules and human workforce. Interestingly enough, though, cultural research on the visual culture of race, social differenti- ation and mestizaje has since the 1990s focused on slave portraiture and so-called casta paintings (Katzew 1996a; 1996b; 2004; Carrera 2003; 2009; Dean/Leibsohn 02-Revista Iberoamericana 73_D-1_Schuerch.indd 25 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 2 6 2003; Deans-Smith 2005; Lugo-Ortiz/Rosenthal 2013; Cline 2015; Earle 2016). A total of more than 100 full or partial series of casta paintings from the early modern period have been counted (Deans-Smith 2005, 169). Casta paintings are part of a visual culture that classified and characterized human beings according to casta, their presumed shared blood lineage. Culminating in 18th century New Spain, the reigning idea of social composition was based on the belief in different castas and the racial mixing of New Spain’s inhabitants (Amerindians, Spaniards, Africans) (Katzew 2004). It was stated that the hierarchically structured society was comprised of different “races” and different “mixtures” between them. The different castas, in turn, were attributed with specific socio-economic positions and functions defined almost exclusively by “race” (Katzew 1996a, 8; Vinson 2017, 1-2). Research on casta paintings has mainly focused on their role in creating identities and in representing societal order. So far, the role of animals in casta paintings and the meaning of animals set alongside different castas, such as mestizos, castizas, lobos or sambaigos, has not yet been taken into account. Yet, if –as the major part of casta painting research stresses– casta paintings were a visually potent and effective in- strument to project societal order, the role of animals should not be underestimated as simple adornment (Carrera 2009). The famous casta series by Miguel Cabrera (1695-1768), one of the most acclaimed New Spain painters, portrays casta families in their contexts of living (Martí Cotarelo 1999). The series originally consisted of 16 oil-on-canvas paintings, although only 15 are currently known.21 In painting no. 15, Miguel Cabrera depicts coyote, the casta assigned to the children of a mestizo and an india (see fig. 1). Like the casta mulato is etymologically derived from an animal (i.e. the hybrid mule), coyote is also a direct reference to an animal. Interestingly enough, the Spanish quickly adopted the Nahuatl word coyōtl for the canis latrans. In Nahuatl, coyōtl is not only used to name the animal as such, but also bears the meaning of trickster and, more generally, “mixture” (Weigle 1996, 364-366). The casta order therefore not only adopts names of animal species for human social categories, but also transports their negative connotation of impurity. As Illona Katzew has pointed out, the mixture of Spanish and African blood which resulted in mulato was considered “uglier and stranger” than other castas and the con- notation reinforced the belief that mulatos had “the nature of the mule” (Katzew 2004, 43). In Cabrera’s casta painting, one of the coyote children rides on a donkey led by the mestizo father. The animal most closely associated with one of the lowest ranking castas (no. 15 of 16) was not even the mule, but the hierarchically even lower positioned, less valuable donkey. Another Mexican casta oil painting series by an unknown painter (late 18th c.) goes even further and positions mules and donkeys more prominently to highlight the 21 Eight canvases are in the Museo de América (Madrid), five are in a private collection in Monter- rey (Mexico) and the one introduced here is in the Multicultural Music and Art Foundation of Northridge (California), cf. Katzew (2015). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 26 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 2 7 castas’ characteristics (see fig. 2 and 3). Here, the racial differentiation is quite exclu- sively reflected in the presence of animals. In the lobo painting (fig. 2), muleteering and mule labour in a mill are depicted as natural context. Although we should not take the scene as a realistic depiction, it is characteristic of casta paintings to evoke not just the categorization of race mixture, but to offer a social order where a society Fig. 1: De Mestizo y d India, Coyote, oil on canvas painting by Miguel Cabrera (Mexico, 1763). (Elisabeth Waldo-Dentzel Collection, Multicultural Music and Art Foundation of Northridge, California). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 27 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 2 8 comprised of different castas can be put in socio-economic frameworks. And here, the animals as co-labourers come into view. It might be quite significant that muleteering and grinding work are depicted as workloads for a human-mule ensemble. An interes- ting shift, though, can be detected if we add the sambaiga painting to the series and Fig. 2: De negro e india sale lobo, casta painting, painter unknown (Mexico, ca. 1780). (Malú and Alejandro Escandón Collection). Fig. 3: De lobo y india sale sambaiga, casta painting, painter unknown (Mexico, ca. 1780). (Malú and Alejandro Escandón Collection). 02-Revista Iberoamericana 73_D-1_Schuerch.indd 28 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 2 9the inclusion of equine animals (fig. 3). Here the fathering lobo of the sambaiga is no longer depicted in a labour context, but as a rider who is welcomed by the india wife. Although owning a horse and firearms was then no longer as restricted as it had been in the 16th and 17th century, the fact that the lobo riding ensemble is put in the central position of the painting is still rather powerful. In addition, the riding horse is quite respectably equipped and shows off a brand mark. If we put the two casta paintings of the series in connection, it seems that the details and significance of this rider/riding horse depiction and the well-attired appearance they represent can be interpreted as an extension of the socioeconomic framework offered by the casta paintings. In the 18th century, the casta is strongly rooted in rules and logics of blood and lineage, but the strict boundaries set for casta socioeconomic opportunities seem to be getting more and more porous. Yet, to explain this shift from the rather exclusive and precarious rider-horse ensemble in the early phase of the Car- ibbean and Mexican conquest to a more commonly accepted characteristic of colonial Mexican life in the 18th century, a lot of research is still left to do. But let me offer two approaches. In his 2013 article on labour in Baroque Spanish America, Kris E. Lane summariz- es that by the 1550s, Indian slavery was (officially) only tolerated in border regions of the Spanish territories. Other forms of Indian labour included the so-called encomien- da system or adapted forms of repartimiento, serfdom, corvée alottments or tributary work (Lane 2013, 183-184). The whole concept of labour and society was changed for both the Spanish and indigenous communities, as Caribbean and Mexican men and women were put –by different means– to work as “farmers, herders, stonecut- ters, miners, loggers, porters, paddlers, sailors, soldiers, guides, and even phleboto- mists” in the case of men, and “cooks, laundresses, vegetable gardeners, wet nurses, and babysitters” in the case of women (Lane 2013, 183). Whereas the main labour load was stemmed by Indian workers, the American Spaniards –unlike their European relatives– no longer had to include basic craftsmanship and farming tasks within their own societal context. Lane emphasizes that these labour systems have so dominated scholarly research of colonial Spanish work forms that “they obscure the steady rise of indigenous wage work” (Lane 2013, 184). Yet, the rise of wage work correlates with the rise in muleteering. This rather silent development might prove a fruitful starting point to think about modes of interaction between humans and mules in their com- monly shared world of labour. As Kris E. Lane summarized Spanish American labour sententiously: Baroque Spanish America’s labor force was sharply graded by color, legal status, and gen- der, yet it was also marked by considerable flux and regional variation. Indigenous peoples did most of the work despite their drop in numbers. They were followed by Africans and their descendants, most enslaved but increasingly free. People of mixed background came third, but their proportion grew over time. Whatever their status or caste, all workers in the colonies tended to be dependent on some “Spanish” patron. To be Spanish did not always mean to be white, but it increasingly meant to be engaged solely in the work 02-Revista Iberoamericana 73_D-1_Schuerch.indd 29 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 IS A B E L L E S C H U E R C H 3 0 of government, education, household management, religious devotion, or defense (Lane 2013, 184). If we talk about labour in the Caribbean and Colonial Mexican contexts, the actual work we have in mind like mining, transportation, heavy lifting or grinding very often in- cluded a mode of interaction between labourers of human and equine kind. In addition, the significance of racial lineages and their supposed purity or impurity was constitutive for this developing hierarchical society. Bodily features and lineage were thought to be re- lated just as animals were ranked according to their nobility in bloodline and appearance. This brings us to the second approach. In 2004, Jean-Pierre Digard coined the phrase “la centaurisation du Nouveau Monde” (Digard 2004, 101, 115-120). He in- troduced it to describe the quasi-global diffusion of the horse and of the “genre de vie cavalier” (estilo de vida caballero) (Digard 2004, 101). What started in 1493 as an introduction of a few dozen specimen of a new type of animal had unexpected conse- quences. The horse was neither native to the Caribbean nor the American mainland, and the fertility and reproduction rates of the horses (as well as cows, sheep and goats) were commented upon in paradisiac terms by the Spaniards and –as we will see short- ly– more apocalyptical terms by Mexican contemporaries. What could not have been predicted was the rapid and, in many ways, devastat- ing diffusion of European animals both in the Caribbean and on the Mesoamerican mainland (Trigg 2004). Dietary adaptation (e.g. cassava bread and maize) and mainly favourable climatic conditions led to two effects. First, horses, but also cows, pigs or sheep went feral and they experienced forms of de-domestication (Sluyter 1996; Trigg 2004, 234-238; Anderson 2004, 121; deFrance 2009; Tortorici 2013, 42). And sec- ondly, not only the quantity of horses, but also the quality of the horses, especially on Cuba and in Mexica, improved radically. Soon, the Mexican horses were so famous for their natural strength and beauty that their praise found its way even into Miguel de Cervantes’ Don Quixote (Cervantes 1963, 90). Whereas Spanish accounts documented the wondrous fertility of their animals, in- digenous accounts drew on a different interpretative mode of this radical environmen- tal, but also socio-cultural transformation. In his lucid study of how European animal herds were perceived by Nahuatl-speaking commentators, Zeb Tortorici shows that, in at least one line of interpretation, the quite literal replacement of (native) people by (non-native) animal herds was incorporated into eschatological narratives and so the year 1558 could be read as the end of the world because it was “the year the people turned into cattle” (Tortorici 2013). CONCLUSIVE REMARKS In an essay on animal labour in modern Cuban history, Reinaldo Funes Monzote highlights the surprising development that, in the post-1990 era, animal labour rose 02-Revista Iberoamericana 73_D-1_Schuerch.indd 30 17/3/20 14:11 Ib e ro am e ric an a, X X , 7 3 (2 0 2 0 ), 13 -3 5 O F H O R S E S A N D M E N , M U L E S A N D L A B O U R E R S . H U M A N -A N IM A L S E M A N T IC S 3 1to new heights. Because of the economic crisis following the collapse of the Eastern European socialist bloc, agriculture and transportation had to switch back to animals as workforce. Especially in the ensuing rise of the sugar cane business, oxen, horses and mules returned to plantation labour and proved an essential modern economic back-up (Funes Monzote 2013, 209-210). Despite this uncharacteristic development in Cuban history, labour and conquest as modes of interaction between human and non-human beings had a more essential and day-to-day significance in early modern Caribbean and Latin American times. The article supports recent research claims that human and non-human modes of interaction are valid objects of investigation to learn about socio-cultural workings. In addition to hunting and husbandry, I suggested establishing labour in its own an- alytical categories. In the post-Columbian Caribbean and Amerindian context, these modes of interaction not just shaped everyday experiences and long-term ecological shifts, but were intricately woven into the very fabric that constituted the social world. The conquistadorial rider/riding horse configuration dominated the Spaniards self- and external perception and it was the core of the Spanish self-narrative of superiority and hierarchical dominance. The close and very often personal relationship between individual riders and their equine riding companions was at the same time seen as a socially relevant relationship, but also a constant source of conflict. In the late 15th and early 16th century, the centauric pact was a precarious bond that was partly dissolved in the following decades as horses were no longer only the conquest companion animals, but also a de-domesticated herd. These perceptions are closely linked to the physical body as site of practices. The social, cultural, military and economic practices enabling the conquest cannot be separated from the bodily presence of animals. Just as the conquistadorial centaur (imaginatively or not) blurred the strict boundaries of human and equine beings, so did the use of mules, indigenous and African labourers as work force. A body-cen- tred approach enables us to think beyond the animal/human dichotomy, whereas a body-historical approach can focus on historical specifics. From this perspective, the rise of the indigenous muleteering class, the development of 18th century casta society in Colonial Mexico and its societal mode dominated by discourses and practices of lineage, purity and physical appearance bespeak of a more general attitude towards hu- man and non-human bodies. The constant oscillation between blurring and clarifying the boundaries should be seen as concrete and continuous work on social borders. 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work_jryy5mjolzautgfjvwxfanxzrq	----	Columbus's Ultimate Goal: Jerusalem Columbus’s Ultimate Goal: Jerusalem C A R O L D E L A N E Y Department of Cultural and Social Anthropology, Stanford University I N T R O D U C T I O N The Quincentennial of Columbus’s Discovery of the Americas has come and gone. Some people celebrated, others protested. The Discovery has been called either “The greatest event since the creation of the world, save the incar- nation and death of Him who created it” (Francisco Lopez de Gomera writing in 1552), 1 or the greatest disaster in world history. Columbus is either a saint (who was actually proposed for canonization), or he is a sinner responsible for genocide. Can one even say that Christopher Columbus discovered America when there were already millions of people living in these lands? Did he dis- cover America when he thought he had found a new route to Asia? 2 The debates are interminable and the issues have become so politicized that an informed and informative discussion has been all but impossible; one steps warily into the fray. Yet, despite the voluminous literature by and about Columbus, Americans outside the rarefied circle of Columbus scholars still know little about the man and his mission. In this paper I discuss some of the little known religious beliefs that underpinned the “Enterprise of the Indies,” for I think they have the potential to change fundamentally our assessment of Columbus and relocate some of the responsibility for the consequences of the encounter. Many people are unaware that Columbus made not just one voyage but four; others are surprised to learn that he was brought back in chains after the third Acknowledgments: I am deeply indebted to the John Carter Brown Library at Brown University not only for providing me with a National Endowment for the Humanities fellowship to conduct this research, but also for its unparalleled resources and helpful staff, and for creating one of the most stimulating research environments that I have encountered. As I struggled to keep afloat in the tumultuous sea of Columbus scholarship, it was with great relief to find scholars who had been there before and who threw a lifeline by generously sharing their knowledge and perspectives. Thank you Pauline Moffitt Watts, Carla and William Phillips, and Nicolas Wey-Gomez. 1 In the text of this paper I will give the original dates, where possible, and then the date and page of the modern translation/edition I am using. Thus, when I quote from Columbus, I will put the original date, then the date of the modern edition and page. The reference information can be found under Columbus. This quotation, from Gomera’s Historia General de las Indias, is fre- quently cited. See Jane 1988[1930 – 1933]: xv; also Keen’s translation of Ferdinand Columbus’s biography of his father 1992[1959]: xxiii. 2 For discussions about the notion of “discovery” see Bataillon 1972; Keen 1992; O’Gorman 1961; Sale 1990; Todorov 1985[1984]; Washburn 1962; and Zamora 1993, among others. 260 0010-4175/06/260 – 292 $9.50 # 2006 Society for Comparative Study of Society and History voyage. Even fewer know that his ultimate goal, the purpose behind the enter- prise, was Jerusalem! The 26 December 1492 entry in his journal of the first voyage, hereafter referred to as the Diario, 3 written in the Caribbean, leaves little doubt. He says he wanted to find enough gold and the almost equally valuable spices “in such quantity that the sovereigns. . . will undertake and prepare to go conquer the Holy Sepulchre; for thus I urged Your Highnesses to spend all the profits of this my enterprise on the conquest of Jerusalem” (Diario 1492[1988: 291, my emphasis]). 4 This statement implies that it was not the first time Columbus had mentioned the motivation for his undertaking, nor was it to be the last. 5 Columbus wanted to launch a new Crusade to take back the Holy Land from the infidels (the Muslims). This desire was not merely to reclaim the land of the Bible and the place where Jesus had walked; it was part of the much larger and widespread, apocalyptic scenario in which Columbus and many of his contemporaries believed. That scenario, derived from the biblical book of Revelation, claims that the conversion of all peoples to Christianity and the re-conquest of Jerusalem are necessary precon- ditions for the “Second Coming” when Christ will return before the “End of Days.” Columbus felt strongly the imminence of this event; he also came to feel that he had a providential role to play in the drama. There is considerable evidence from his contemporaries and his own writings, especially in the little known Libro de las profecı́as, or Book of Prophecies, that these were long- standing beliefs of Columbus. A discussion of Columbus’s piety and religious beliefs occupies the first part of this paper; the second part asks why these beliefs are so little known 3 Columbus’s day-to-day log of the first voyage has come to be known simply as the Diario, and my quotations are taken Dunn and Kelley’s 1989 edition, The Diario of Christopher Columbus’s First Voyage to America 1492–1493 (Dunn and Kelley 1989). They followed the Diario de Colón, a line-by-line translation by Dr. Carlos Sanz (Madrid 1962) and may not have known of Robert Fuson’s The Log of Christopher Columbus, published just before theirs. There are too many translations and editions to cite here; consult those above for more information. The original diary was lost, but Bartolomé de las Casas, who knew Columbus and had a scribe’s copy called Diario de a bordo (Diary from on board), made an abstract, including extensive verbatim passages. Las Casas titled his abstract El libro de la primera navegación, and included it in his Historia de las Indı́as written between 1527 and 1562, but not published until 1875! Except for short excerpts, no English translation has been published of this most important source of the early period of the encounter. Columbus’s son Ferdinand also had a copy of the Diario and included much of it in his biography of his father written sometime in the early part of the sixteenth century. Mary Campbell rightly argues that this is no mere ship’s log but perhaps the first of its kind—a diary that included impressions, reactions, and anthropolo- gical descriptions and possibly also drawings and charts (1988: 188). 4 Ironically, then, the purpose of “the New World was to redeem the Old City” (Cummins 1976, quoted in West 1987: 52). 5 Phelan claims, “Columbus’s idea of delivering the Holy Sepulchre with the gold of the Indies was a hope that he first expressed to Ferdinand and Isabela on the eve of his departure from Palos on August 3, 1492” (1970: 22). But he may have mentioned it even earlier, during the siege of Granada in 1489 when an embassy from the Sultan of Egypt arrived demanding that the Spanish stop fighting Muslims or he would destroy the Holy Sepulchre (see Morison 1942, vol. I: 131). C O L U M B U S ’ S U L T I M A T E G O A L 261 among the general public. My analysis suggests that part of the problem lies in the assumptions of conventional historiography and the (mis)understanding of religion among academics. Then I show how his religious worldview, particu- larly its notions of space and time, affected both his conception of the enter- prise and its unfolding. Telling this story about Columbus in his cultural context not only changes our assessment of him and the framing of American history, but also provides a perspective from which to interpret the resurgence of apocalyptic thought among certain groups of Christians today. Ultimately, I suggest, this demands a critical examination of the apocalyptic scenario itself, before it becomes a self-fulfilling prophecy. T H E E V I D E N C E That Columbus was a religious man is attested by his son and others who knew him, including Bartolomé de las Casas, the great historian of the Indies and defender of the Indians. Here is what he says of Columbus: “He observed the fasts of the church most faithfully, confessed and made communion often, read the canonical offices like a churchman or member of a religious order, hated blasphemy and profane swearing, was most devoted to Our Lady and to the seraphic father St. Francis; seemed very grateful to God for benefits received from the divine hand. . . . And he was especially affected and devoted to the idea that God should deem him worthy of aiding somewhat in recovering the Holy Sepulchre” (c.1527 [Morison 1942, I: 63]). 6 The Diario is full of evidence that during the voyages, Columbus prayed often and kept canonical hours on board, especially those of Prime, Terce, Vespers, and Compline. At “Vespers all hands were called, a brief service read, the Salve Regina sung, and the watch changed” (Morison 1963: 44). He prepared diligently for Sunday mass and believed in the saving grace of pilgrimage (see Flint 1992; Milhou 1983). On several occasions noted in the diary he and the crew made vows to conduct pilgrimages to holy sites if they survived some of the treacherous seas and storms they encountered. His devotion is also illustrated by the names he bestowed, like Adam, on the islands he “discovered,” for example, San Salvador (for their salvation), Trinidad (for the Trinity), Santa Maria (for the Virgin Mary), Isla de la Ascunción (for the Assumption). He counted as friends a number of priests and men in religious orders and often stayed at monasteries for weeks and months at a time. Furthermore, an eyewitness to his return from the second voyage, Andrés Bernáldez (chronicler, priest, and friend of Columbus), notes that when he “arrived in Castile in the month of June 1496, (he was) dressed as an Obser- vatine Friar of the Order of St. Francis and resembling one in appearance, little 6 This passage is cited and translated by Morison, 1942, I: 63, from a 1927 edition of Las Casas’s Historia de las Indias, edited by Gonzalo de Reparaz. 262 C A R O L D E L A N E Y less than in his dress, with the cord of the Order, which he wore for devotion” (quoted in West and Kling 1991: 58). Some scholars believe that he may have joined the Third Order of St. Francis, meaning that he became a Tertiary—a lay monk of the Observant Franciscans. 7 He was buried in these robes. His religiousness is also evident from the way he began to sign his reports and letters during and ever after the first voyage, when he created a mysterious new symbolic signature that ended with: “Xpo-ferens,” or Christ bearer. 8 By this time, he had come to believe he was carrying Christianity across the sea as his namesake, St. Christopher, carried Christ across the waters. 9 We also find ample evidence of Columbus’s religious convictions and ideas in his own writings. More than ninety documents written by Columbus have survived. These include not just the abstract of the Diario, but also accounts of the third and fourth voyages, legal depositions, a will and testament, numerous letters (to the sovereigns, to one of his sons, and to his relatives and friends including several monks), and over 3,000 marginal notes in his books (West 1992a: 267). New finds still emerge from time to time. But perhaps most important is his little known Libro de las profecı́as (Book of Prophecies), a collection of classical and biblical passages that Columbus believed prophesied both the discovery and its relevance to the approaching apocalypse. Before turning to that document, let me briefly mention some of the other evidence. Pauline Moffitt Watts, who has written persistently and eloquently about Columbus’s religious ideas, has determined that two interconnected themes 7 Milhou (1983: 42 – 51) and others believe this may be the reason he did not marry Beatriz de Arana, the mother of his second son, Ferdinand. It is possible that by then he had taken a vow of celibacy for, unlike the crew, there is no indication that Columbus ever had sexual relations with Indian women. 8 The first instance is a letter written in Hispaniola, dated 4 January 1493 (Varela 2003: 218), a fragment dated 20 February 1493 (Varela 2003: 226), and a letter before departure on the second voyage dated 9 April 1493 (Morison 1963: 199; and Thacher, III: 111). There are many more examples. See Thacher (1903 – 1904) for photographs of the letters and signature. The full signa- ture was composed of 4 lines: .S. S.A.S. X M J Xpo-ferens Numerous scholars have tried to decipher it, and the effort will no doubt continue (e.g., Thacher 1903 – 1904; Milhou 1983). 9 A map by Juan de las Cosa (c. 1500) has a drawing of St. Christopher bearing Christ across the waters, which some believe may actually be a portrait of Columbus. If so, it may be the only known portrait drawn during his lifetime, but see Phillips (1992). She suggests that a painting of Columbus, allegedly by Pedro Berruguete, if proved authentic may be the earliest since it had to have been painted before his death on 6 January 1504. The absence of a portrait, however, has not kept artists from filling the gap with imaginary ones. Too often, they show him as corpulent and with a round face. Yet all accounts describe him as handsome and of digni- fied bearing, tall with a long face, aquiline nose, and reddish hair turning gray. C O L U M B U S ’ S U L T I M A T E G O A L 263 reverberate throughout his writings: (1) conversion of all peoples to the Christian faith, and (2) the re-conquest of Jerusalem (Watts 1985: 92). The first is conventional knowledge, the second is little known beyond Columbus scholars. Columbus mentioned the first of these themes in the prologue 10 that prefaced the Diario, which he intended, at journey’s end, to present to the “Most Christian and Very Noble and Very Excellent and Very Powerful Princes, King and Queen of Spain.” He goes on to mention the events of 1492 leading up to his departure, namely the end of the war with the Moors in Granada and the expulsion of the Jews, events that put his own venture in a religious context. 11 He reminds the King and Queen of how many times the Great Khan (of China) had, . . .sent to Rome to ask for men learned in our Holy Faith in order that they might instruct him in it and how the Holy Father had never provided them; and thus so many peoples were lost, falling into idolatry and accepting false and harmful sectas [incorrectly translated as religion, see below]; and Your Highnesses, as Catholic Christians and Princes, lovers and promoters of the Holy Christian Faith, and enemies of the false doctrine of Mahomet and of all idolatries and heresies, you thought of sending me, Christóbal Colón to the said regions of India to see the said princes and the peoples and the lands, and the characteristics of the lands and of every- thing, and to see how their conversion to our Holy Faith might be undertaken. And you commanded that I should not go to the East by land, by which way it is customary to go, but by the route to the West, by which route we do not know for certain that anyone previously has passed (Diario 1492[1989: 19, my emphasis]). 12 In case he should encounter the Great Khan or other emperors, kings, or princes, it was deemed appropriate for Columbus to carry letters of greeting from the sovereigns (with space left blank for the addressee) 13 and to take 10 Like everything else about Columbus, there is debate about the “prologue.” Zamora, for example, calls it a letter, and believes it was written sometime after the departure and addressed to the Crown as a way to legitimize the voyage (1993: 21 – 38). The timing seems irrelevant since many authors write a “preface” after a work is completed. To me the prologue seems to confirm, in writing, what had been discussed previously. 11 His linking of these events can be seen as part of the larger spiritual context in which his voyage is included (see Milhou 1983; Sweet 1986: 373; Zamora 1993: 32). See Menocal (1994: 3 – 14) for a critical view of the lack of attention paid to the synchronicity of these events by historians. 12 Columbus had read Marco Polo’s book of travels and knew that the Great Khan had requested emissaries from the Pope but had not received them. Kublai Khan also asked Marco’s father and uncle that “upon their return they should bring with them, from Jerusalem, some of the Holy Oil from the lamp which is kept burning over the Sepulchre of our Lord Jesus Christ, who he professed to hold in veneration and to consider as the true God” (Komroff, trans. 1930: 8). The “customary” route to China had become perilous for Christians due to its control by Muslims, and especially so after the conquest of Constantinople by the Ottomans in 1453. If Europeans were to reach China and its fabled riches, they would have to find another way. Portuguese explorers began to search for a sea-route around the tip of Africa, but because of the 1479 treaty of Alcáçovas, Spanish explorers could not enter “their” waters. Columbus had already presented his plan to the King of Portugal who rejected it, which is why, in 1485, Columbus left for Spain. 13 Copies of these letters exist, dated 30 April 1492. See Morison 1942, I: 141; 1963: 30. 264 C A R O L D E L A N E Y along as an interpreter Luis de Torres, a converso who knew Hebrew, Chaldean, and some Arabic. It was highly unlikely that anyone in Spain knew Mongolian or Chinese, but since “it was supposed that Arabic was the mother of all languages” (Morison 1942, vol. I: 187), it was assumed that Arabic would suffice. 14 When they arrived in Cuba, Columbus sent Luis de Torres and Rodrigo de Xerez inland with two Indians, “with instructions as to how they were to inquire about the king of that land and what they should say to him on behalf of the sovereigns of Castile . . . [and to] give him their letters and a present, and in order to learn of his circumstances and to obtain his friendship” (Diario 2 Nov. 1492[1989: 129]). Throughout the pages of the Diario Columbus speaks of the gentle nature of the natives and how easily they would become Christian if only the sovereigns would send religious persons who would learn their language and instruct them. 15 He writes that at their very first encounter he wants them to be friendly and that he “recognized that they were a people who would be better freed [from error] and converted to our Holy Faith by love than by force” (Diario 11 Oct. 1492[1989: 65]). He also marvels at the beauty of the place, yet despite having endured a voyage across the ocean that all believed no one had ever crossed, neither its beauty nor the kindness of the natives induced him to tarry. He pushes onward; he wants to find the mainland and needs to find valuable commodities—spices, aloe, mastic, and, of course, gold. 16 In my first reading of the diary I could not understand why he seemed so driven to find gold; no wonder people have assumed his motives were purely mercenary. But this understanding changes when one realizes that finding the gold was necessary not only to repay the people who had invested in the voyage (and to induce them to finance another), but also, as seen from the diary entry cited above, essential if he was ever to finance another Crusade. Today, we might disapprove of that motive, but at the time it was felt to be a worthwhile and Christian duty. In a letter dated 4 March 1493, purportedly written at sea to King Ferdinand and Queen Isabela just before he arrived back from the first voyage, Columbus claimed “that in seven years from today I will be able to pay Your Highnesses 14 Hamdani (1979, n. 39) suggests, instead, that Columbus brought an Arabic speaker to con- verse with Arab merchants, navigators, or envoys he might encounter in the area of the Indian Ocean and who, thus, might be able to direct him to the Khan. This makes sense given Columbus’s reading of Marco Polo, though I can find no mention of such a motive in the Columbus documents. There is tremendous irony, however, in speaking Arabic in the New World when it was being out- lawed in the Old (Menocal 1994: 12). 15 This implies that it was the sovereigns, not Columbus, who decided not to send priests or missionaries on the first voyage. 16 Spices provided another reason for the Spanish monarchs to back Columbus’s voyage. Not only had the overland route been cut off by the Ottoman conquest of Constantinople but, according to Dugard, the Venetians had a stranglehold on what spices came via Egypt, “[T]hanks to an exclu- sive arrangement between the Arabs and the merchants of Venice who were the sole European outlet for India’s pepper and spices” (Dugard 2005: 23). C O L U M B U S ’ S U L T I M A T E G O A L 265 for five thousand cavalry and fifty thousand foot soldiers for the war and con- quest of Jerusalem, for which purpose this enterprise was undertaken” (Letter, 1493 [Zamora 1993: 190 – 97]). 17 Almost ten years later, he is still dwelling on the theme. A letter written in February 1502, but perhaps never sent, to Pope Alexander VI stated, “This enterprise was undertaken with the purpose of expending what was invested in aiding the holy temple and the holy Church,” (Letter 1502 [Rusconi 1997: 17]), 18 and he specifies the same number of horsemen and soldiers he hopes to finance. In still another letter, referred to as Lettera Rarissima, written on 7 July 1503 in Hispaniola and addressed to the Sovereigns, Columbus describes the events of the fourth voyage. Toward the end of the letter the theme of the re-conquest of Jerusalem recurs: “Jerusalem and Mount Sion are to be rebuilt by the hand of a Christian; who this is to be God declares by the mouth of His prophet in the fourteenth psalm. Abbot Joachin said that he was to come from Spain.” 19 Finally, on 19 May 1506, the day before he died, Columbus ratified his Majorat or will, originally drawn up on 22 February 1498 and appended on 25 August 1505, stipulating that a fund be set up for the purpose of liberating Jerusalem. 20 Such evidence should be more than enough to quell the doubters of the sincerity of his motivations, but there is more. T H E L I B R O D E L A S P R O F E C Í A S It is in the Libro de las profecı́as where his ideas are most manifest. The Libro is not really a book in the conventional sense, but rather a collection of passages culled from the Bible (Genesis to Revelation); numerous ancient authors such as Aristotle, Ptolemy, Seneca; church fathers such as Augustine, Jerome, Chrysostom; and medieval authors including Aquinas, d’Ailly, Joachim of Fiore, and Roger Bacon. It also includes extracts from the Qur’an and the writings of a number of Muslims such as Alfraganus and Aver- roes. 21 This collection was meant to be used in the composition of a long poem to be presented to the King and Queen. The poem was never completed, but 17 This letter, which surfaced in 1989, is published in Libro Copiador de Cristóbal Colón, (Antonio Rumeau de Armas, ed., [Madrid 1989], vol. 2: 435 – 43). An English translation is pub- lished in Zamora 1993: 190 – 97). Its provenance was highly unusual and its authenticity is still being debated. It is included, however, in the latest edition of Varela’s Textos y documentos com- pletos. If authentic, it is an extremely important find and resolves the question of why the first letter announcing the discovery was apparently sent to Luis de Santangel rather than to the Sovereigns. If not from Columbus’s pen, whoever wrote the letter must have believed his motivation. 18 For the Spanish text see Varela 2003: 479 – 81; also Kadir 1992: 202 – 3. 19 See Jane 1988, bk. II: 104. Joachin is more often written “Joachim”; see also Morison 1963: 383. The standard study of Joachim de Fiore is by Marjorie Reeves (1969). For his influence on Columbus, see Watts 1985, Phelan 1970, and Milhou 1983. 20 An English translation can be found in Thacher (1904, vol. 3, 646 – 60); see also Sweet (1986: 381), for discussion. 21 For a list of all the works cited, see West and Kling (1991: 23 – 26). 266 C A R O L D E L A N E Y the original manuscript has, amazingly, survived, and today it is housed at the Biblioteca Columbina attached to the Cathedral in Seville. It is believed the Libro de las profecı́as was compiled during the period between Columbus’s return from the third voyage in late October 1500 and the beginning of the fourth voyage in May 1502. However a passage referring to being in Jamaica in 1504 may indicate that he took a draft along on the final voyage in order to make additions or corrections suggested by his friend Fray Gaspar Gorricio, a Carthusian monk. Columbus stayed with Gorricio at the monastery of Nuestra Senora Santa Maria de las Cuevas in Seville when not involved in the litigations related to his activities and claims. 22 This was a very difficult juncture in Columbus’s life: the crown had been receiving reports that the colony in Española/Hispaniola was in disarray and, at Columbus’s request, sent, someone to investigate. The investigator, Francisco de Bobadilla, was shocked by what he found, and when Columbus returned from the countryside he had him arrested and sent him back to Spain in chains. 23 Although Queen Isabela and King Ferdinand absolved him, he saw little chance of recovering his post as Viceroy and Governor of the islands that he had been granted in the Capitulations of Santa Fe on 17 April 1492. It may well be that the monarchs wanted to reduce the privi- leges they had granted to this foreigner at a time when they had no idea what, if anything, would be found in the colony. Some scholars believe that, given these difficulties, the primary motivation for the Libro was to restore himself in the eyes of the monarchs; 24 others, like myself, while not 22 See The Book of Privileges (Nader 1996). It should be noted that not all of the Libro de las profecı́as is written in Columbus’s hand. Indeed, four hands have been discerned: his own, his son Ferdinand’s, Father Gorricio’s, and one other. Nevertheless, it is believed that they are following Columbus’s plan; not only was he very busy at the time but it was painful for him to write because his hands were arthritic. Some of Columbus and Gorricio’s correspondence about the project survives. 23 Columbus was, after all, a mariner and not trained to be a colonial administrator. Bad things began to happen as early as 1493 when men were left behind after the Santa Maria went aground. They had gone against his explicit orders to do no harm to the Indians, to respect the cacique to whom they owed so much, not to scatter themselves but stay together, and to avoid doing violence against the women; in short to set a good example (see Thacher, I: 632). Instead, their behavior was outrageous: they raped the women and tried to force the natives to work for them. All of them were murdered before Columbus returned on the second voyage. The colonists he brought with him on the second voyage also assumed they could live a life of ease using the natives as servants. In Columbus’s words, ‘they were a greedy lot.’ Las Casas always spoke with respect and admiration of Columbus even as he criticized some of his expedient policies. We should not forget that Las Casas was himself a slaveholder before being converted to their defense several years after hearing a 1511 sermon by Antonio de Montesinos. Columbus never had the opportunity to hear that sermon since by then he had been dead for five years. Yet even as a defen- der of the Indians, Las Casas cannot be exonerated since he proposed importing slaves from Africa and is, in large part, responsible for that tragedy. 24 Among those who believe it was self-aggrandizing or a product of senility and paranoia include: Harrisse, Vignaud, Granzotto, Flint, Sale, and Fernández-Armesto. C O L U M B U S ’ S U L T I M A T E G O A L 267 denying the ingratiating tone of the cover letter, view the project more as the outcome of a long process of religious conviction and messianic zeal, as well as an attempt to claim his rightful place in history. 25 I suggest that the Libro cannot be understood simply as a response to his immediate troubles, but rather had a long gestation. There is evidence from highlighted passages in his books, some of them dating from before the first voyage, of his interest in apocalyptic and prophetic themes. Over the years Columbus had been marking passages in his books; 26 sometimes drawing a hand with a finger pointing at an important passage, and he often made notes, called postilles (early “post-its”), in the margins. Some of the high- lighted passages had to do with geographical and nautical information that helped him make his case for the first voyage before committees of court experts, while others had to do with his eschatological beliefs. As I will show, these cannot be separated. The first sentence of the Libro proclaims its purpose: “Here begins the book, or handbook, of sources, statements, opinions and prophecies on the subject of the recovery of God’s Holy City and Mount Zion, and on the discovery and evangelization of the islands of the Indies and of all other peoples and nations. To Ferdinand and Elizabeth [Isabela], etcetera, our hispanic rulers” (Libro 1500 – 1502 [West and Kling 1991: 101; cf. Rusconi 1997].) Although it was highly unusual for a layperson to read, let alone interpret and comment on the Bible, Christopher Columbus knew what he was doing (see Avalos 1994 and 1996 for Columbus as biblical exegete). To demonstrate this, and perhaps to forestall criticism, he goes on to describe his methods of biblical interpretation. The first is the four-fold method taken from Aquinas, Gerson, and others in which the commentator must attend to historical, alle- gorical, tropological, and anagogical interpretation. The second method, known as “prefigurement,” Columbus attributes to St. Augustine, Isidore of Seville, and Nicolas of Lyra. In this method a prophecy in the Old Testament is shown to be fulfilled in the New Testament. For example, the story of Abraham and the near sacrifice of Isaac is thought to prefigure God’s sacrifice 25 This must have seemed all the more urgent as the news of Vasco de Gama’s voyage to India and Cabot’s to the North American continent began to circulate. Cabot, like Columbus, assumed he had reached Asia, but it was Newfoundland. An Englishman by the name of John Day sent Columbus a letter in 1497 informing him of this discovery. 26 Books extant that Columbus owned are: Pierre d’Ailly’s Imago Mundi printed between 1480 and 1483, which contains 898 postilles; Aeneas Sylvius Piccolomini (Pope Pius II)’s Historia rerum ubique gestarum (1477, 861 postilles); Marco Polo’s De consuetudanibus et conditionibus orientalium regionum (1485, 366 postilles); the Italian translation of Pliny’s Historia naturalis (1489, 24 postilles); Plutarch’s Las vias de los ilustres Varones (1491, 437 postilles); Concordan- tiae Bibliae Cardinalis (fifteenth century, n.d., no postilles but many highlightings of important passages); St. Antoninus of Florence’s Sumula confessionis (1476); a fifteenth-century palimpsest containing Seneca’s Tragedies; and Abraham Azcuto’s Almanach perpetuum, cuius radix est annum (1473). 268 C A R O L D E L A N E Y of his only begotten son. Both of these methods are still being used today, the latter especially by Christian fundamentalists. 27 The cover letter that Columbus inserted in the notebook begins: “Most Christian and very exalted princes, the reason which I have for the restitu- tion of the Holy Sepulchre to the Holy Church militant is the following” (Libro 1500 – 1502 [Thacher 1904, vol. III: 660]). 28 It is an urgent letter that warns them the end of the world will take place in 155 years. This date was arrived at by the common practice of using biblical genealogies to calculate the number of years from Creation, to Christ, to the current year. In this instance Columbus cites Elucidario astronomice concordie cum theological & hystorica veritate by his most crucial source—Pierre d’Ailly: “From Adam to our Lord Jesus Christ there are 5343 years and 318 days, according to the account of the King Don Alonso [sic; should be Alfonso] . . . adding to this 1501 incomplete years [i.e., the year he is writing], makes in all 6845” (Libro 1500 – 1502 [Thacher 1904, vol. III: 662]). The end point is fixed—the duration of the world is only seven mil- lennia based on the notion that the seven days of Creation compute to seven thousand earth years. Columbus cites “St. Augustine who says that the end of this world is to come in the seventh millenary of years from its creation. . . [so] according to this account, there are only lacking 155 years to complete the 7000, in which year . . . the world must end” (op. cit). His calculations about the end of the world seem to date long before this, possibly predating the first voyage by ten years if we can take as evi- dence one of the 861 postilles, written in 1481, in his copy of Historia rerum ubique gestarum, by Aeneas Sylvius Piccolomini (Pope Pius II): “desde el comienc del mundo fasta estra era de 1481, son 5241 años,” (from the beginning of the world to our year 1481, there are 5241 years) (Libro [West and Kling 1991: 22, my emphasis]). 29 In any case, for Columbus little time remains to fulfill all the prophecies that must be fulfilled before Christ returns, before the end of the world. The rest of the manuscript is a collection of passages Columbus considered prophetic. A fair number of them focus on islands, for example, “Give ear, ye islands, and hearken, ye people from afar” (Isaiah 51: 5b). The “Discovery of new islands took on enhanced significance as signs that the Second Coming 27 See Delaney 1998: 137 – 51; Auerbach 1953; Frei 1974; Harding 2000; Kolve 1996, among others. 28 Here the quotations are from the English translation by Thacher (1904, vol. 3: 660), because in this case I feel he more closely followed the Spanish. In addition, he correctly translated Columbus’s statement that the world would come to an end in 155 rather than 150 years, as in West and Kling (1991: 105). 29 The Historia, published in 1477, was one of Columbus’s favorite sources. West and Kling, Watts (1985: 85 – 86), Flint (1992: 46 – 48), and others take this entry as evidence of his pre-voyage interest in eschatology. Taviani disputes this and believes Columbus did not read the book until later (1985: 451). Regardless, it was still before the first voyage. C O L U M B U S ’ S U L T I M A T E G O A L 269 was close at hand” (Gillis 2004: 43), 30 and thus indicated to Columbus the need to convert all the peoples he has found. He may have thought himself or the discovery to be the sign referenced in the following: “And I will set a sign among them . . . to the islands afar off, to them that have not heard of me and have not seen my glory” (Isaiah 66: 19). Other passages in the Libro and in the enclosed letter point to the coming of the Antichrist, the annihilation of the sect of Mohammed, and finally the restoration of Jerusalem. G O L D Still other passages are about Solomon’s mines and the gold of Ophir that was thought by some to abound in the Indies. That this was the gold Columbus was looking for is made clear by his references to Josephus, Nicolas of Lyra, and by his notes in the books by d’Ailly and Pope Pius II, and especially the Bible. For example, “Solomon’s ships went to Tarshish with the servants of Hiram; once every three years the ships of Tarshish used to come bringing gold, silver, ivory, peacocks, and apes” (2 Chronicles 9: 21). Since he assumed “three years” was the time it took for the round trip, Columbus “concluded that the Asian land mass must be so vast as to require more than a year’s travel between Jerusalem and its eastern edge” (Romm 2001: 29 – 30). 31 This con- firmed his beliefs that Asia extended much farther than hitherto suspected and that the ocean, therefore, was not as wide as was believed. Columbus had clearly been thinking about Solomon’s gold mines prior to the Libro. Five years before, his friend Peter Martyr wrote to Cardinal Bernar- dinus to inform him that Columbus had found mines that “he thinks may be the gold-producing Ophir of Solomon.” At that time, Columbus thought they were in Española/Hispaniola (Martyr, 9 Aug. 1495 [Thacher 1904, vol. I: 75]). Later, during the fourth voyage, he thought he had found them near Veragua, along the coast of South America. One can feel the mounting excite- ment in a letter known as Lettera Rarissima, that Columbus wrote to the sover- eigns from Jamaica: “Gold is a metal most excellent above all others and of gold treasures are formed, and he who has it makes and accomplishes what- ever he wishes in the world and finally uses it to send souls into Paradise” (Lettera 3 July 1503 [Thacher 1904, vol. II: 695]). 32 The search for gold, then, was, at least for Columbus, less a commercial venture than “a spiritual quest,” a medium not so much of exchange as 30 John Gillis, a social/cultural historian and sometime lecturer at Stanford, has written a fas- cinating study of the history of the meaning of “islands” in western imagination (2004). The western sea, in medieval thought, was presumed to be dotted with islands, and it is probably not coincidental that in “the lower dexter corner” of Columbus’s coat of arms are a number of gilded islands. See Thacher (1903, vol. II: 536 – 40) for illustrations. 31 Romm (2001) and West (1992b) are crucial reading for this story. See also West and Kling (1991: 223, 247). 32 See also Jane 1988, vol. II: 104; Morison 1963: 383. 270 C A R O L D E L A N E Y “a medium of redemption” (Sweet 1986: 383). He goes on to say that just as Solomon used the gold of Ophir to build the temple, “Jerusalem and Mt. Zion, as it is written, must be rebuilt by Christian hands” (op. cit.). 33 The gold and other precious metals filled the coffers of Spain. Paolo Emilio Taviani, the great Italian biographer of Columbus, noted that the crown “in the century following the discovery, received in precious metals alone exactly one million seven hundred and thirty-three thousand maravedis for every maravedi invested in financing Columbus’s voyage” (1985: 500)! Yet gold had much more than monetary meaning; it was no mere metal. According to popular alchemical theories circulating at the time, gold grows or matures (Milhou 1983: 125 – 28; Phillips and Phillips 1992: 219). Metal begins as one substance then, depending on the environment in which it occurs and the forces acting upon it, reaches different stages of perfection and purity, with gold being the purest form. 34 This is not unlike Aristotle’s theory of reproductive fluid; that fluid begins as blood and goes through a series of concoctions whereby breast milk and menstrual blood are of impure form while semen is the most fully concocted, active agent capable of being the vehicle for the transmission of the eternal soul. 35 Since gold was thought to “increase and multiply” the wealth of those who had it, perhaps it is behind the custom, in some societies, of throwing gold at weddings to wish the new couple (re)productive success. 36 In any case, the Torrid Zone or belt of the Tropics, formerly thought to be uninhabitable, was the place believed to be the most conducive to maturing and purifying metal into gold—the heat of the sun being the major agent in this process, along with the spin of the earth which caused it to collect. 37 Gold had already been found in Africa and so it was assumed it would be found at the same latitude in “India,” where d’Ailly said there were mountains of gold. T H E P R O P H E T I C R O L E O F T H E D I S C O V E R Y The selections in the Libro were meant as evidence pointing to the discovery’s essential role in the unfolding of biblical prophecy. That is, it was no mere accident, but an integral part of providential history. Not surprisingly, Columbus began to see his own role as prophesied and divinely inspired, most tellingly in the way he saw himself as the intended of prophecies in Revelation (21: 1) and Isaiah (65: 17; 66: 22): “Of the new heaven and earth which our Lord made, as St. John wrote in the Apocalypse, after he 33 See Thacher 1904, vol. II: 696. 34 I am indebted to Nicolas Wey-Gomez for pointing me in this direction. 35 See Aristotle’s Generation of Animals for his theory of reproduction. 36 That, at least, was the case in the Turkish village where I lived for two years conducting anthropological research (Delaney 1991: 140). 37 Jaime Ferrer, an advisor to the Queen, told Columbus, “gold was found most abundantly near the equator where people had dark skins and where the spin of the earth caused it to collect” (West 1992a: 275, n.79). See also Nicolas Wey-Gomez (n.d.). C O L U M B U S ’ S U L T I M A T E G O A L 271 had spoken it by the mouth of Isaiah, He made me the messenger thereof, and showed me where to go” (Letter October 1500 [Morison 1942, I: 69]). 38 He had also long been captivated by the prophecy in Seneca’s Medea, and had highlighted it in his own copy: “An age will come when the Ocean will break his chains, a huge land will lie revealed, Tiphys will discover new worlds, and Thule no longer be ultimate.” He cites the original in the Libro and then repeats it, emending it by adding a phrase that a new sailor, like Tiphys, will discover a new world and the island of Thule will no longer be ultimate. 39 The odd metaphor of an ocean locked by chains provides a glimpse into the symbolic repertoire of Columbus and his contemporaries who thought that he had been given the key. He tells the sovereigns that God had given him the ability to acquire the skills necessary for maritime exploration—astronomy and astrology, geogra- phy, and arithmetic, and map reading 40 —and had also “opened my mind to the fact that it would be possible to sail from here to the Indies, and he opened my will to desire to accomplish the project. This was the fire 41 that burned within me when I came to visit Your Highnesses.” Immediately thereafter, however, he claims, “All the sciences which I mentioned above were of no use to me. Quotations from learned opinions were no help.” Instead, it was “the Holy Spirit who encouraged me with a radiance of marvelous illumination from his sacred Holy Scriptures” (Libro 1500 – 1502 [West and Kling 1991: 105]). He judiciously added that the faith the Sovereigns had placed in him also encouraged him and made the journey both possible and successful. The Libro de las profecı́as, then, can be seen as his effort to encourage and hasten them in the further project of Jerusalem. In late fifteenth- and early sixteenth-century Spain there was a widely cir- culated notion of “a last world emperor” who would fulfill what was known as the unum ovile et unun pastor prophecy of John, 10: 16: “And other sheep I have, which are not of this fold: them also I must bring, and they shall hear my voice; and there shall be one fold, and one shepherd” (my emphasis). This emperor would fight the Antichrist and reestablish Christian sovereignty over Jerusalem and the Holy Land. As noted, Columbus believed 38 The letter was written to Dona Juana de Torres, sister of Luis. The full text can be found in a number of places. I have cited from Morison (1963: 289 – 98), and Thacher (1903, Vol. 2: 423 – 38). The latter includes the Spanish text. 39 I have cited Morison’s translation (1942: 79) because it is more familiar to Americans than that in either Rusconi (1997: 291) or West and Kling (1991: 227). Columbus said he had been to Thule (Iceland), but the truth of this is debated. Next to Columbus’s highlighted passage in Medea, Ferdinand added a postille saying: “This prophecy was fulfilled by my father . . . the Admiral in the year 1492” (Morison 1942, I: 69). There is a copy in Harvard library. 40 For the skills necessary and the instruments available at the time, see Morison (1942, vol. I: 240 – 53). 41 The word “fire” means more than simply “passion.” According to West, it is a “typical med- ieval symbol for the Holy Spirit as derived from the fire which came down at Pentacost” (1987: 54, n. 6) 272 C A R O L D E L A N E Y this ruler was to come from Spain; in the Libro he included a letter from Genoese Ambassadors to the Spanish Court in 1492: “we did read that Joachim the Abbot of Southern Italy has foretold that he is to come from Spain who is to recover again the fortunes of Zion” (Libro 1500 – 1502; West and Kling 1991: 239]). 42 Sometime between 1569 and 1576, ten pages of the Libro, directly following this prophecy, were deliberately cut out, for the historian Ambrosio de Morales who saw the manuscript during that time admonished, “Whoever removed these pages acted badly, for this was the best prophecy in the book.” 43 R E A C T I O N S A N D T H E I R D I S C O N T E N T S The Libro de las profecı́as is clearly a work that took a great deal of energy, time, and devotion, and Columbus clearly thought long and cared deeply about it. But if these religious ideas were an intimate part of Columbus’s understand- ing of “the Enterprise of the Indies,” why are they not better known among the general public? 44 Why has the Libro “remained unstudied and untranslated for nearly 500 years” (West 1992a: 272)? Indeed, when Delno West found a copy at Firestone Library at Princeton in 1984, the pages were still uncut! The lack of attention can be attributed, in part, to the delay in its publication, but, as I shall argue, only in part. After the death of Columbus’s sons in the sixteenth century, the manuscript seems to have moved a number of times, and ultimately it was housed with other Columbus documents in the library of the cathedral in Seville, where it remains (see Rusconi 1997: 10 – 12 for a brief history of its movements). In the following centuries, the manuscript was known—certainly by those who oversaw the collection—but little was done to publicize it. Finally, early in the nineteenth century, Martin Fernández de Navarrete published a short description of it in his edition of Columbus documents. 45 Washington Irving, author of The Legend of Sleepy Hollow and Rip Van Winkle, was fas- cinated by Columbus, and Navarrete granted him access to this material. The result was Irving’s 1827 multi-volume The Life and Voyages of Christopher 42 It is immaterial whether the foregoing prophecy actually came from Joachim or from Arnold of Villanova’s rendition of him, as Phelan suggests (1970: 136, n. 27; see also Flint 1992: 192); the important point is that many at the time believed it. 43 See Rusconi (1997: 9). Regarding these prophecies, he says, “It makes no sense to enumerate the many hypotheses that have been advanced without documentary support” (n. 49). 44 No one I have told about this remarkable book, including some scholars of Hispanic and related studies, had ever heard of it and all were very surprised to learn of it. The work of scholars who have written about the Libro de las profecı́as and Columbus’s religious, even apocalyptic ideas seems to have reached only a very specialized audience. 45 See de Navarette’s Colección (1825). A decade later, Alexander von Humboldt published a five-volume study of Columbus’s voyages wherein he “recognized the ‘persuasive force’ of a ‘mystical theology’ . . . yet was basically puzzled by this ‘strange combination of ideas and senti- ments in a superior man” who was not only courageous, of high intelligence but also practical in business (Watts 1985: 79). C O L U M B U S ’ S U L T I M A T E G O A L 273 Columbus. By the 1866 edition Irving had perused the manuscript of the Libro, and although that was not his focus, he noted: “It is essential to a full compre- hension of the character and motives of Columbus, that this visionary project should be borne in recollection. It will be found to have entwined itself in his mind with his enterprise of discovery, and that a holy crusade was to be the consummation of those divine purposes, for which he considered himself selected by Heaven as an agent” (Irving 1866, I: 286). But that same year a very different reaction to the document began to make its appearance. Henry Harrisse, a French-American scholar, wrote in his Notes on Columbus the following: It must also be stated that the great navigator, after having made for many years a display of his cosmographical erudition, when old and somewhat insane, if we may judge from his Libro de las profecı́as which forcibly reminds every one of Newton’s similar condition when he wrote his Observations upon the Prophecies and Apoca- lypse, denied that he ever borrowed any notions from the old authors (1866: 84). It is in this deplorable lucubration, which I sincerely hope will never be published in full, that Columbus continually invokes the Bible and the Prophets, claiming to owe all he knew and all he had accomplished to inspiration from on high,—having been chosen by the Almighty to discover the New World before the whole earth came to an end, which momentous event was certainly to take place within the next fifty years (ibid.: 156). Harrisse must not have read the manuscript carefully, given that Columbus calculates the date for the end to be 155 (not 50) years away. In any case, Harrisse’s assessment must have impeded its publication and had a chilling effect on anyone wishing to undertake a study of it. It was not translated from its original mix of Latin and Spanish into any modern language, or published, until 1894. The first English translation was published in 1991, just in time for the Quincentennial! 46 Despite Harrisse’s negative assessment, the Quadricentennial (1892 – 1893) was primarily a celebratory event that focused on the great “Discovery” and Columbus’s skill as a mariner rather than his religious beliefs and motivations. It fostered renewed interest and a spate of books appeared that helped to dispel some of the romantic legends about Columbus. Here I will focus on a few representative examples (see Keen 1992[1959] and West 1987 for fuller dis- cussion). Two general reactions to the Libro, not specific to any particular nationality, emerged in the late nineteenth century and endured into the twen- tieth. One, like Harrisse, sees the Libro as the product of a weakened mind or 46 Columbus knew and wrote in Latin and Spanish, rarely in Portuguese or Italian. The first publication (1894) of the Libro, however, was an Italian translation included in the Raccolta di documenti e studi pubblicati della R. Commissione Colombiana, a collection of Columbus’s writ- ings edited by Cesare de Lollis. The English versions are: Brigham (1991), West and Kling (1991), and Rusconi (1997). Most of my citations are taken from West and Kling, except where noted. West’s introductory articles provide excellent background to the religious meanings and significance. 274 C A R O L D E L A N E Y evidence of senility; the other acknowledges the document and Columbus’s motives, but then lays them to one side. Henry Vignaud, like Harrisse a French American, was one of the most important detractors of Columbus during the early twentieth century. He viewed Columbus’s belief in divine inspiration as “an order of ideas that permits no critical discussion and one into which we will not enter here; it suf- fices to have mentioned it” (Watts 1985: 83, n. 20). These types of reactions remind me very much of the way scholars reacted to the publication of Freud’s Moses and Monotheism, namely that it was an embarrassment (to them), evi- dence of Freud’s advancing age, a veiled statement about his religiousness or his Jewish identity, or about his own Oedipal relationship with his father. I, on the other hand, feel the book is key to understanding Freud’s entire corpus (Delaney 1998: 190ff). Similarly with the Libro de las profecı́as—I believe it opens up a dimension of Columbus that clarifies rather than obscures his vision. A more positive reading at mid-century is that by Harvard historian Samuel Eliot Morison in his superb, classic study, Admiral of the Ocean Sea (1942). While he barely mentions the Libro, he does comment on Columbus’s ulti- mate goal to liberate Jerusalem. Regarding Columbus’s diary entry for 26 December 1492, the day the Santa Maria grounded, Morison says: “There can be no doubt of Columbus’s sincerity in this matter. Even in such a crisis of the voyage his thoughts ran to Jerusalem regained” (1942, I: 392). Despite this, and that almost every chapter is headed by a biblical quotation, Morison’s interest was in Columbus’s skill as mariner not as prophet. Morison was part of the Harvard Columbus Expedition 1939 – 1940 that used the Diario to follow as closely as possible the itinerary of the first voyage. More recently, Italian scholar Granzotto acknowledges the Libro and Columbus’s goal of recapturing Jerusalem, but he feels that he was “lost in dreams and drifted farther and farther away from reality . . . because of his advancing age, his infirmity, and his continual disappointments—Columbus’s imagination turned more and more into a vehicle for mad ravings. In his mild delirium he came to believe that he had been chosen by God for his exploits” (1985: 246). Another Italian, Taviani, has no problem with Columbus’s reli- giosity or with the idea of the Crusade to retake Jerusalem. He says it was part of the spirit of the age and nothing unusual (1985[1974]: 79, 113). On the other hand, Spanish historian Fernández-Armesto gives short shrift to the religious side of Columbus and envisions him as a “socially ambitious, socially awkward parvenu; the autodidact, intellectually aggressive but easily cowed; the embittered escapee from distressing realities; the adventurer inhibited by fear of failure” (1991: viii) whose overriding goal was to acquire wealth and establish a noble lineage. A more extreme view “branded him as cruel and greedy, and linked him to the process whereby ‘the West has ravaged the world for five hundred years, under the flag of a master-slave C O L U M B U S ’ S U L T I M A T E G O A L 275 theory which in our finest hour of hypocrisy was called the white man’s burden’” (Keen 1992: lii, citing Konig). While Columbus’s contemporaries acknowledged his sincere religiosity and “noticed immediately the eschatological significance Columbus attached to his discoveries” (West 1987: 49), scholars since the Enlightenment seem to have had a hard time dealing with, or accepting, the vision or version of Columbus as a millennialist because it conflicts with both the romantic, heroic image promoted by Washington Irving and that of Morison’s scientific mariner. “None of these scholars took seriously the possibility that Columbus’s per- sonal spirituality or the spirituality of his age might also have inspired him to undertake his voyages of discovery” (Watts 1985: 83), and even less that the conquest of Jerusalem was his true goal. But if we are ever to understand the man and his mission from his own point of view, we need to attend to this. Beginning at mid-century and increasing with the approach of the Quincenten- nial and the millennium, a few scholars became interested in Columbus’s mil- lennial, apocalyptic views. It began, perhaps, with Phelan’s The Millennial Kingdom of the Franciscans in the New World (1956, revised in 1970), and continued with Alain Milhou’s Colon y su mentalidad mesianica en el ambiente franciscanista español (1983), still unavailable in English, and several publications by Pauline Moffitt Watts (1985; 1992; 1993). Others have made significant contributions to this scholarship and I have benefited greatly from their work, 47 but their publications have typically appeared in specialized journals (e.g., Medievalia et Humanistica, The Catholic Historical Review) and series like Repetorium Columbianum that are rarely consulted by the general population. C R I T I C A L I S S U E S I now wish to critically address three problems in the various readings and interpretations, including sympathetic ones, of the Libro de profecı́as. The first is the inability of many academics to see religion, especially its apocalyp- tic forms, as a constitutive element in worldviews that have real impact on people’s lives and historical events. The second problem I call “the humanist convention,” which assumes that human beings are always and everywhere the same, that culture is epiphenomenal. This view, I suggest, has allowed critics to blame Columbus for the consequences of the “encounter” rather than examining crucial beliefs and assumptions common to his culture— many of which still persist in our own. The third problem follows directly from the second; that is, even those historians most sympathetic to Columbus 47 For example, Hector Avalos, Kay Brigham, Valerie Flint, Abbas Hamdani, Carla and William Phillips, Roberto Rusconi, Leonard Sweet, and Delno West and August Kling. I have had to leave to one side here a number of scholars writing about Columbus whose interest and focus are not his religiosity or the Libro. 276 C A R O L D E L A N E Y have failed to make palpable his worldview and cultural milieu, that is, to “restore the radical presentness of the medieval past” (Menocal 1994: 18) so we might gain a vivid, even visceral understanding of how it affected his actions. In the following sections I address each of these problems in turn. (1) Religion Academics trained when a modernist, progressivist worldview prevailed assumed that reason and science would supercede myth, magic, and religion and make them irrelevant. Indeed, many of them believed that religion would be dead by the end of the twentieth century. They tended to dismiss reli- gion or, in a Marxist or capitalist mode, interpreted it as a cover for more ‘real,’ practical, economic, and political interests, or, in a psychoanalytic mode, as a mass delusion assuaging the thought of death. Not surprisingly, they have been mystified by the phenomenal growth in religious affiliations and conflicts, in particular by the rise of fundamentalism in the United States and elsewhere. Problems also arise when religion is treated as a separate and circumscribed domain of life analogous to the supposedly separate domains of economics, politics, and kinship (family), rather than as an encompassing worldview that affects all aspects of social life. As a separate domain it can easily be set to one side. Furthermore, studies of religion have tended to focus on beliefs, practices, sacred texts, rituals, and religious personnel relating to people’s private spiritual concerns, rather than analyzing the cosmological orientation and the way it affects the interpretation of historical events. Although Clifford Geertz noted more than a quarter-century ago, “religion tunes human action to an envisaged cosmic order and projects images of cosmic order onto the plane of human experience” (1973: 90), he said that this dynamic relationship was hardly ever investigated, especially, I would add, in the West. There seems to be (or have been) a taboo against critically analyzing the master narrative of Christianity and its entanglements with secular life and institutions. Another aspect of the modernist view of religion is the widespread accep- tance of the idea that there are many religions, and that one can even choose which to believe in. For example, Valerie Flint’s observation that Columbus chose the thought-world he moved in (1992: 195) represents a fundamental misunderstanding of the core of the “imaginative landscape” she tries to estab- lish. Religion is held to be a domain that one can step into or out of at will, that it does not envelope one’s life. This was hardly the understanding of religion during the time of Columbus, and it is still not a useful way to understand a wide variety of religious beliefs, practices, and cultures today. Such a view would have kept me from comprehending the lives of the Turkish villagers with whom I lived for several years conducting my anthropological research (Delaney 1991). But I think it also distorts the reality of our contemporary C O L U M B U S ’ S U L T I M A T E G O A L 277 society, for despite the “separation of church and state,” Christian concepts and institutions continue to exert tremendous power in ostensibly secular domains. The modern understanding of religion did not fully emerge until the late nineteenth century when scholars began to attach “-ism” to make substantives out of adjectives—Buddhism rather than Buddhist, Hinduism rather than Hindu—thus making a ‘religion’ by separating out the spiritual elements from a whole way of life or culture that included ethnicity, language, food, dress, and other practices (see Smith 1962; Rawlings 2002). In reality, however, science, technology, and religion can be and are easily and seamlessly combined. For example, I found Turkish villagers, while mostly illiterate and uneducated, could discuss, understand, make, use, and fix a variety of modern machines and equipment including automobiles, tele- phones, and television sets; they could talk about international and national politics with more sophistication than most Americans, and they understood the economic networks with which their lives were entangled. They would appear to have a thoroughly modern consciousness. But staying long, getting to know them, and “pushing the envelope,” revealed to me how, at a much deeper level, they lived within a completely Islamic cosmology or worldview. That worldview encompassed their lives, it was the context within which they lived, and it provided answers to the perennial questions: who are we, why are we here, where are we going? It also affected the way they dressed, the food they ate, their practices of personal hygiene, the way they moved, and their spatial and temporal orientations (see Delaney 1991). It was inseparable from the rest of their lives, not something they practiced only on Fridays, the Muslim holy day, or by keeping the fast of Ramadan. Though they evinced varying degrees of devoutness, secularism was not an option. They believed their views were self-evident to any thinking person and they could not under- stand why I could not accept Islam and, in their terms, submit and become Muslim. Islam, to them, is not one religion among others; it is “Religion.” It is the one true religion given in the beginning to Abraham, and Muhammad was merely a prophet recalling people to that original faith. They had heard of Christianity, of course, and questioned me about it. But to them it was not a separate, equally valid religion, 48 but rather a distortion of the one true word, the one true faith. Just so did Columbus and his contemporaries view the sectas of the Jews and Muslims. His statement about freeing the Indians from error shows that religion was not a matter of choice but of right or wrong—there was only one right way. Indeed, they really had no conception of alternatives. The Reformation had not yet begun, and Judaism and Islam 48 The idea of separate plural religions that are equally valid is a very modern, Western, liberal view that is not shared by much of the world, including devout persons of the monotheistic religions. 278 C A R O L D E L A N E Y were seen not as different religions but as erroneous, heretical sects. Of course, there were people skeptical of specific aspects of this worldview, and some were less devout and fastidious in their practices and customs (cf. Edwards 1988), but secularism, and with it the confinement of religion to its own domain, was not an alternative, and atheism even less so. When one understands that there was only one “religion,” one true way to achieve salvation, one cosmological picture within which one’s life and aspirations were made meaningful, it becomes understandable why, if one was compassionate, the conversion of others was an urgent responsibility. This is not to deny that Christianity was also a means for Queen Isabela and King Ferdinand to unify their kingdoms of Castile, Aragon, and Leon into a more centralized state—one motive does not cancel the other. While the conversion or expulsion of Jews and Muslims was seen as necess- ary to establish one Christian nation, the methods used in pursuing this goal varied. In some areas there were mass baptisms but without any theological instruction—a situation in which the community could continue sub rosa to follow their own practices such as daily prayer and abstaining from pork. Eventually, however, there were demands for conformity in the practices of everyday life—“in your dress and your shoes and your adornment, in eating and at your tables and in cooking meat as they [the Christians] cook it; in your manner of walking, in giving and receiving, and, more than anything, in your speech, forgetting in so far as you can the Arabic tongue” (Rawlings 2002: 17, citing Elliott 1989: 53). This is very close to the way I have described the impact of Islam on Turkish village life (Delaney 1991). “Religion” in both cases meant not simply a set of beliefs, but modes of living. Precisely because such habits are very difficult to change, some in fifteenth-century Spain preferred exile to conversion. (2) The Humanist Convention The anthropological critique of this position has been insistent: “[T]he image of a constant human nature independent of time, place, and circumstance, of studies and professions, transient fashions and temporary opinions, may be an illusion, that what man is may be so entangled with where he is, who he is, and what he believes that it is inseparable from them” (Geertz 1973: 35). In other words, there is no backstage where we can go to find the generic human; humans are formed within specific cultures. This does not mean that cultures are totally closed or that there is no overlap; one can learn another culture— that is, indeed, what anthropologists do during fieldwork. But if we are to understand Columbus (or anyone else), we must attempt insofar as is possible to reconstruct the world in which he lived. While some historians writing about Columbus appear to do this, they still, in my reading, project a modern consciousness onto him, leaving the impression that the time and place are merely “transient fashions.” They acknowledge that his world was C O L U M B U S ’ S U L T I M A T E G O A L 279 different, but the differences are presented primarily as differences of fact rather than feeling and perception and, thus, they fail to give a sense of the way in which the worldview affected both what he was seeing and his interpretation of it. Boas, a founder of American anthropology, is said to be the originator of a view that has become commonplace among anthropolo- gists: “The seeing eye is the organ of tradition,” that is, we see what our culture has trained us to see. What, therefore, did Columbus ‘see’? How did he perceive the world and how did that image affect his enterprise and its interpretation? (3) The Geoeschatology of Columbus’s World Columbus lived in a Christian, Catholic world; it enveloped his life and situ- ated it in the widest cosmological sense. Christianity provided both spiritual guidance and orientation in time and space, what Delno West in relation to Columbus termed “geoeschatology.” 49 Not only did this worldview provide the terms for the conceptualization of the enterprise, but also for interpreting what he saw, what he found, and its significance. At the same time, he was an experienced sailor and had traveled a great deal. His more scientific knowl- edge about the physical earth and navigation did not conflict with the religious worldview, but rather was easily contained within it. The science-religion con- flict is a modern one, born of a conception that they are mutually exclusive. Contrary to the popular Gershwin song (“They all laughed at Christopher Columbus when he said the world was round”), Columbus and many of his contemporaries knew that the earth was round, not flat (see Russell 1991). 50 The primary issue in the disputes between Columbus and the scientists and theologians who formed the committees to study his plan was not about whether the earth was flat or round, but about its circumference and the width of the Ocean Sea and, thus, whether it was passable (see Figure 1). The committees repeatedly rejected Columbus’s plan not because it chal- lenged Christian cosmology (it did not) but because they thought his calcu- lations were wrong. According to his calculations Columbus believed that the ocean was much narrower than did the learned scientists and theologians. 49 Others, in trying to articulate the conjuncture of time and space within a particular religious or philosophically constructed worldview, have coined “chronogeography” (e.g., Bertrand Russell in Woodward 1985: 519); and “geosophy” (Wright 1966: 83). The latter term is picked up and expanded by Gillis (2004). 50 The erroneous notion that it was Columbus who proved the earth was round is still current in popular culture, and indeed I heard it in 2004 at an academic conference! Russell claims that the “flat earth” theory was a nineteenth-century invention by scholars trying to distance themselves from the “irrationality” of the medieval world. Most of Columbus’s contemporaries knew it was a sphere, though, to be sure, some of the mappaemundi (world maps), while round, could imply circularity and not necessarily sphericity (see also Andrews 1926). Ironically, during the third voyage Columbus decided it was pear-shaped with Paradise at the tip like a woman’s nipple (Columbus, 18 Oct. 1498; see Morison 1963: 286; Jane 1988, vol. II: 30ff; West 1992a: 275). 280 C A R O L D E L A N E Y Informing Columbus’s views were the theories and methods of Pierre d’Ailly (1350 – 1420), an influential astronomer/astrologer 51 and important cardinal who, as emissary to the Council of Constance in 1414, helped to heal the Great Schism between rival popes—an internal division often seen as presaging the “end of times.” Columbus avidly read d’Ailly’s Imago mundi, which cited the authoritative opinions of Bacon, Aristotle, Seneca, FIGURE 1 What Columbus thought he would find versus what is there. From Columbus, by Felipe Fernandez-Armesto (1991). Used with permission of David Higham Associates. 51 D’Ailly believed in a universe in which the celestial influence of the planets and stars affected all phenomena—not just an individual’s life but human history. D’Ailly even drew up Christ’s horoscope (Smoller 1994: 7)! C O L U M B U S ’ S U L T I M A T E G O A L 281 and Pliny that the ocean did not cover as much of the earth’s surface as many believed. Rather than a conflict between science and religion, d’Ailly’s work shows that, at least for a time, the two were intertwined. Columbus also drew on the Bible (i.e., to calculate the time ships took to reach the gold mines of Ophir and return to Jerusalem) and the Apocrypha, “where it is written that six-sevenths of the world is dry (therefore inhabitable) and only one-seventh covered by water (2 Esdras 6: 42)” (Watts 1985: 82). All of these implied that Asia was more extensive and the Ocean not so wide as had been thought. From his sailing experience and his study of these and other references, “Columbus estimated that he had only to sail approximately twenty-five hundred miles westward from the Canary Islands in order to reach the Orient” (ibid.). Rather than an insurmountable barrier, Columbus seemed to think of the Ocean Sea as a different kind of highway that would link Europe and Asia (West 1992a: 260). Although Columbus believed the earth was round, he still lived in a Ptole- maic, geocentric universe; Copernicus’s views had not yet been published and Galileo was not yet born. In Columbus’s universe, the sun, moon, planets, and stars revolved around the earth, suspended in transparent crystalline spheres, the outermost controlled by the prime mover, a view that made it acceptable to the Church. These words do not, however, convey much of a sense of how people felt. Andrés Bernáldez, a contemporary and friend of Columbus, does it better. It is worth quoting at length a passage from his early sixteenth-century Historia de los Reyes Católicos: In the name of God almighty. There was a man of Genoa, a dealer in printed books, trading in this land of Andalusia, whom they called Christoval de Colón, a man of very high intellect without much book-learning, very skilful in the art of Cosmography and of the divisions of the world; who perceived, by what he read in Ptolemy, and in other books, and by his own discernment, how and in what wise is formed the world into which we are born and in which we move. This he placed within the sphere of the heavens, so that it touches them upon no side, nor has aught of firmness to rest upon, but is only earth and water globed by heat within the hollow vault of the sky. 52 This was, clearly, a much smaller and cozier universe than the one we are familiar with. There was no notion of an expanding universe, “light years,” or the infinity of space and time, let alone “black holes,” instead the earth floats in a hollow but enclosed vault, surrounded by heat (presumably from the sun), and the spheres that held the planets and stars. A geocentric worldview did not impede Columbus’s nautical calculations since the heavens had been plotted and the movements of the stars were known, yet, according to Morison, “(C)elestial navigation formed no part of the professional pilot’s or master’s training in Columbus’s day, or for long 52 The Historia was not printed until the mid-nineteenth century, but manuscript copies existed. The English translation of the passage is from Young (1893, my emphasis, n.p.). 282 C A R O L D E L A N E Y after his death” (1942, vol. I: 243). Instead, Columbus depended on what is called “dead reckoning” which involved little more than a compass, compass card, and some way of calculating the speed of the vessel and distance, none of which were very accurate at the time. 53 However, in plotting how to get from one known place to another he also used portolan charts, which were fairly accurate maps depicting landmasses and coastal outlines, currents and winds, but were hardly useful in uncharted waters. These were his practical maps, used for the craft of navigation. But other maps, known as mappaemundi (world maps), furnished the religious significance of geography—they “were meant to illustrate biblical geosophy rather than provide precise locations or directions . . . they lack a single point of temporal or spatial perspective that would allow the viewer to differ- entiate between near and far, or between then and now” (Gillis 2004: 39). They were never intended to be used as practical maps or even to portray an accurate picture of the physical world; instead they were “the cartographic equivalent of narrative medieval pictures” and were even referred to as histories (Woodward 1985: 514). They portrayed significant events in the history of Christianity from Creation to the Last Judgment, along with sche- matic geographic locations. Woodward, an eminent historian of cartography, had earlier moved away from the modernist progressivist narrative and, perhaps unwittingly, taken a (cultural) anthropological turn—studying these maps not as precursors of modern maps—“repositories of then current geographical knowledge”—but in their own terms “as illustrated histories or moralized, didactic displays in a geographical setting” (ibid.: 515), where time and space were represented simultaneously. The best known of the medieval mappaemundi are the T-O maps (Figure 2), 54 which show a world consisting of three continents often symbo- lized by the three sons of Noah: Japheth ¼ Europe, Shem ¼ Asia, and Ham ¼ Africa). These continents formed the ecumene (the inhabited world) and were surrounded by the world ocean (see Andrews 1926: 69; also Campbell 1987; Westrem 2002; Woodward 1987). The T-O maps with the three-part world may be one reason that Columbus was unable to “see” what he had found; 53 See Laura Ackerman Smoller (1994: 12ff) for ways medieval astrologers understood and plotted the movement of the stars. See Morison (1942, vol. I: 243 – 53) for the method of “dead reckoning” and other mariner’s skills available to and used by Columbus. 54 “In the seventh century Isidore Bishop of Seville drew a world map that shaped European geographical concepts for nine hundred years. It is simply a “T” inside and “O.” The upper half of the circle represented Asia, the lower two quarters Europe and Africa. The crossing of the “T”—the center of the earth—as Jerusalem, the spiritual and historical center of Christian culture. The expansion of geographical knowledge broke down this world concept. How difficult the new concepts were to accept is shown in this Florentine book, published slightly more than three years after Columbus had returned. The Isidorian world map is still present in abstract form, and Bishop Lilio is skeptical about news of discoveries, ‘unless anyone believes very extra- ordinary news that the King of Spain, so they say, is sending ships these days to explore new shores’” (Hough 1980: 33; the embedded quote is of Lilio). C O L U M B U S ’ S U L T I M A T E G O A L 283 since there was no place for a four-part world in his imagination, he struggled valiantly to fit the islands of the Caribbean and the north coast of South America into his cultural model. It took quite some time before people in Europe were able to assimilate the notion that there were four parts to the world, not just three. Jerusalem was not always in the center of the mappaemundi, but became so from the thirteenth century on, the period relevant for Columbus’s worldview (Woodward 1985: 515). Nevertheless, Jerusalem had long been imagined as the (spiritual) center of the world, the axis mundi—the world’s navel (cf. Flint 1992: 3 – 41). This was important both because it is the place where so many biblical events took place and because for Columbus and his contemporaries it was the place where prophesied events will take place (as it is for today’s fundamentalists). But first, it had (has) to be back into Christian hands. If the medieval maps gave a sense of the spatial configuration of the world, the temporal element was provided by the Christian apocalyptic worldview taken from Revelation. In this view, preceding the end of the world will be plagues and pestilences, earthquakes, and other unusual and horrific natural disasters. The Antichrist, associated with the “Whore of Babylon,” will try to dissuade believers from their faith. The faithful must expend efforts to convert the Jews and other unbelievers to Christianity, recapture Jerusalem, and rebuild the Temple before Christ can come again. FIGURE 2 Example of a T-O Map. From, De Origine & laudibus scientiarum, by Bishop Zachaias Lilio (Florence 1496). Used with permission of The John Carter Brown Library at Brown University. 284 C A R O L D E L A N E Y Apocalypticism has always been a strong strand of monotheistic religious traditions. In Christianity, German theologian Kasemann proclaims that the “apocalyptic was the mother of all Christian theology” (quoted in McGinn 1979: 1), though more prominent at some times than at others. In the medieval period it was quite widespread, especially among certain groups such as the Franciscans. This was the group Columbus was most associated with, begin- ning, perhaps, from the time when he lived with his wife Felipa Perestrella y Moniz on Porto Santo, where his son Diego was born. It is known that a Franciscan friary was nearby (West and Kling 1991: 56). His association with the Franciscans becomes better known from the time he arrived as a widower in Spain in 1485, when it is believed he called at the monastery of La Rabida with young Diego in tow. It seems highly likely that he stayed there for some time and discussed his plans for the voyage, because a resident monk, Fray Antonio de Marchena, arranged for Columbus’s first meeting with Queen Isabela. Another monk at La Rabida, Fray Juan Perez, became Columbus’s closest friend and personal counselor. In 1491 when Columbus’s plan had been rejected, seemingly for the last time, and he planned to try his luck with the King of France, Perez arranged another audience with the Queen who, in turn, asked for one more assessment from the committee. When they rejected it again and Columbus had left the Spanish court determined to present it to the Kings of England or France, Luis de Santangel stepped in and persuaded Ferdinand and Isabela to reconsider. They did so, and quickly dispatched a courier to command that Columbus return to them. Perez also performed the mass on 2 August 1492 just before the departure from Palos. Upon his return from the first voyage Columbus stayed at La Rabida for several weeks, told Perez about the marvelous things he had seen, and tried to convince him join the second voyage to see to the conversion of the Indians (West and Kling 1991: 56 – 57). The Franciscans, influenced by the views of the medieval abbot Joachim of Fiore, elaborated the apocalyptic schema by outlining three stages or ages: “The age from Adam to Christ corresponded to God the Father. This was the layman’s church. The age from Christ to 1260 corresponded to God the Son. This was the priest’s church. Joachim prophesied that a third age of the Holy Ghost would begin in 1260. This was to be the friars’ Church” (Phelan 1970: 14). The friars’ church would be a period of peace and apostolic poverty in which all people would lead a contemplative life. Some Joachites believed the third age, also known as the Age of the Spirit or, significantly, the Age of Gold, had begun in 1254/5. In any case, Columbus believed he was living in the third age and “the eschatological clock was ticking.” C R I T I C A L I S S U E S R E V I S I T E D We can never know for sure what Columbus was like, what he was thinking, or what motivated him; we cannot get into his mind. But meaning is not C O L U M B U S ’ S U L T I M A T E G O A L 285 something hidden inside the mind or brain; it is constructed from the symbolic repertoire available in a culture, and “culture is public because meaning is” (Geertz 1973: 12). Thus, it can be investigated. “[F]rom the fourth century until the middle of the nineteenth the Christian religion was the principal force molding the European and American mind. . . . [that] the Church proved herself, when not the mater, at least the matrix of Western thought” (White 1942: 45). 55 Christianity provided the dominant symbolic repertoire and the narrative pattern within which the symbols derived their meaning. Acknowledging the contributions of cultural anthropologists on this issue, the well-known historian, William McNeill, wrote a book called Mythistory to show the kinship between myth and history. For the past to become history, he says, “facts have to be put together into a pattern that is under- standable. . . [and furthermore] the arrangement of facts to make history involve(d) subjective judgments and intellectual choices” (1986: 4 – 5); it is the mythical substrate that most often provides the pattern that determines the arrangement. Myth, in this sense, is not about false things, but is the widest cosmological context in which people situate and interpret their lives. As anthropologist Bronislaw Malinowski said long ago, “myth is not merely a story told, but a reality lived” (1954: 100). While Malinowski was speaking of the Trobriand Islanders among whom he was living, it is just as applicable to Columbus, and to our own society. Religious myth has social implications; conversely social events are made to speak to religious themes. 56 The Christian myth is not about just the past, but the future. In his brilliant article “Christian Myth, Christian History,” Lynn White who, prior to McNeill coined the term “myth-history,” claimed that “Christianity above all other religions has rashly insisted that its myth really happened in time. It was not merely a dramatization of the common denomi- nator of all religious experience; it was likewise a sequence of historic events” (1942: 155). One of the characteristics of living within a Christian worldview, White says, is its bifocal nature—every event has double significance. A Christian lives both in time and eternity and tends to interpret things from this dual perspective of both history and myth. “Myth is defined as the drama- tization in temporal terms of things seen from the non-temporal standpoint of eternity” (White 1942: 148). Thus could Columbus imagine his discovery both as an historical feat accomplished in the year 1492 under the auspices of the Catholic monarchs and, more importantly, as an eschatological event that had been foretold. Once the event was situated in that context, it was reasonable to assume that certain other prophesied events would surely follow. In short, 55 With great prescience, he goes on to say that even when not ostensibly religious the secular- ized versions of Christianity became the “liberal creed of the Enlightenment” (1942: 145). 56 Western history is rarely taught this way and therefore an important door to understanding remains shut. I remember how suddenly western history began to make much more sense when, as a student at Harvard Divinity School, I took courses in Christian history. 286 C A R O L D E L A N E Y biblical myth informed what he saw, what he found, and what it meant. If this is the way Columbus was thinking, then what he accomplished was not so much a “discovery” but a revelation—an important step in uncovering God’s plan. Perhaps it is not coincidental that Apocalypse means Revelation. C O N C L U D I N G P O I N T S Why should we care about the thoughts and actions of a man who lived over 500 years ago? What, if anything, might it contribute to contemporary society? Situating Columbus and the encounter within a Christian apocalyptic scenario helps to relocate some of the responsibility for the consequences of the encounter. Many of us may find the scenario disturbing, even reprehensible, but we can hardly blame Columbus personally for holding it. Not only were there no viable alternatives available to him, as there are for today’s funda- mentalists, but he had been dead for more than six years by the time his friend Las Casas changed his views about the Indians. 57 In no way is this meant to excuse the devastation that occurred, but it broadens the terrain of the debate. To criticize and excoriate Columbus as so many have done and continue to do, ignores the cultural context in which he moved and the religious ideas that informed it. To criticize historians for their lack of attention to this context only goes so far. Even the sympathetic commentators who have presented the religious context have failed to undertake a critical investigation of the religious ideas themselves and their destructive implications. A critical assessment of religion seems to be taboo even among secular historians. Such a critique is beyond the scope of an already long paper, but it is part of my broader project; here I will briefly indicate what I think must be done. The millennial, apocalyptic scenario that stirred Columbus did not die with him but made the transatlantic crossing with the Puritans who founded the “New Jerusalem” in New England. Through the Puritans these ideas entered into the American mainstream where they have had a powerful grip on American imagination, helping to shape a particular vision of the place of the United States in history and the way Americans understand themselves and their destiny. For many people, the Christian myth still forms the basis for the construction of meaning and for understanding world events. More- over, the apocalyptic strain in Christianity has been growing stronger. One need only enter a Christian bookstore to become aware of this. At the time of the first Gulf War there was an efflorescence of apocalyptic books portending the end of the world. For example, The Rise of Babylon: Sign of 57 Spanish views about enslaving Indians were changing. Queen Isabela made it clear that her subjects could not be enslaved, a command that Columbus ignored with the excuse that those enslaved had resisted and been captured in war. Nevertheless, the debate between Las Casas and Sepulveda in 1550 – 1551, long after Columbus’s death, showed that many prominent Spaniards condoned slavery. C O L U M B U S ’ S U L T I M A T E G O A L 287 the End Times (Dyer 1991) asked on the front cover whether “ours could be the last generation?” Saddam Hussein was portrayed as the Antichrist and his rebuilding of Babylon was taken as a sign that Armageddon was nigh. More recently he was labeled the Evil One and Babylon was literally bombed. 58 The extraordinarily popular Left Behind series of Christian apocalyptic novels is clear indication that this way of thinking is alive and well in the United States. 59 Ever since the turn of the millennium, it is becoming clearer that the Chris- tian apocalyptic scenario is a very popular one not just for interpreting current events, but also for bringing them about. Many see the war in Iraq in this light, yet Jerusalem remains at center stage, the focus of apocalyptic desire. A small but dedicated group of Christian fundamentalists have joined with a similar group of Zionists to blow up the Dome of the Rock in Jerusalem, currently the site of a Muslim mosque, on which Abraham is thought to have placed his faith, so that the third temple may be built. 60 If such should come to pass, Armageddon will surely follow. We need to be asking: What is the attraction of the apocalyptic scenario? Why do some people want to be part of this cosmological but devastating drama? Do they really want to be present at the “end of days,” and if so, why? Or do they assume they will be among the elect, the saved, the “raptured”? What are the social conse- quences of such exclusionary beliefs? Why is the next world, or heaven, seen as a better goal than making this world a haven for all? With biological, chemical, and nuclear weapons at our disposal we need to explore ways to diffuse the power of the apocalyptic myth before its destructive, self-fulfilling prophecy becomes a reality. R E F E R E N C E S Andrews, Michael C. 1926. The Study and Classification of Medieval Mappae Mundi. Archaelogia 75: 61 – 76. Auerbach, Erich. 1953. Mimesis. Willard R. Trask, trans. Princeton: Princeton University Press. Avalos, Hector Ignacio. 1994. The Biblical Sources of Columbus’s “Libro de las profecı́as.” Traditio 49: 331 – 35. 58 Biblical language, especially apocalyptic references, have been part of the Bush presidency and his 2004 reelection campaign. For example, Vice President Dick Cheney conjured fears of Armaggedon if President Kerry should be elected (New York Times, 19 Oct. 1904). 59 The series of ten novels, written by Tim LaHaye and Jerry Jenkins, have together sold over 60 million copies and have often topped best seller lists. 60 See The End of Days: Fundamentalism and the Struggle for the Temple Mount, by noted Israeli journalist Gershom Gorenberg (2000). 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work_jvj5azc7xfd63fniaimbufkmpy	----	78610 462..467 Case study New product development at Eastern Spice & Flavorings Frank Franzak Virginia Commonwealth University, Richmond, Virginia, USA, and Dennis Pitta University of Baltimore, Baltimore, Maryland, USA Abstract Purpose – The purpose of this article is to provide an insight into the spice industry. Design/methodology/approach – Uses Eastern Spice & Flavorings as a case study and focuses on its international product development group. Findings – Despite the company’s origins as a family-owned small business, it competes in the global marketplace. To compete successfully, it must localize its blends. Until the company can establish new product development (NPD) centers in its major overseas markets, regional teams from Richmond that could travel to foreign markets to aid product development would be a solution to increasing sales. Originality/value – Discusses Eastern Spice & Flavorings and its new product development. Keywords Food industry, Product development Paper type Case study Introduction The spice industry is a low technology business with very low barriers to entry. In fact, almost any small business can enter and compete. The primary requirements to get product to market are raw materials, containers and a means to fill and label them. The raw materials are agricultural products, produced by numerous small farmers around the world. As a result, raw materials prices tend to be low, usually close to the price of production. The low entry barriers have led to a multinational quality control problem. Tony Andriotti, Director of Global Product Development at Eastern Spice & Flavorings stated: . . . all a new competitor needs to enter the spice business is a few barrels of product, a scale and a bunch of bags. Competitors doing business in that manner are called the “weigh and fill guys.’ Their products can be found in outdoor bazaars and markets throughout the world. The situation is far different than it was in the seventeenth century. History of the spice industry Today it is hard to imagine that the spice trade reshaped the modern world. Demand for spices created empires and started wars and was the pressure that helped Europe discover the new world. Its history is long and revealing. Archeological evidence suggests that spices were popular in ancient Egypt. Around the same time, cloves were popular in Syria, despite the fact that, like nutmeg and mace, they came only from the spice islands of what is now Indonesia. Somewhat later, in the sixth century BC, Confucius advocated the use of ginger and fed the appetite for its use in Chinese cooking. Europe’s taste for spices existed even before the birth of Rome. In the twenty-first century spices are flavorings for food, but a hundred other uses have contributed to the demand through history. In ancient Egypt cassia, cinnamon, anise, marjoram and cumin were sought after because they were essential for embalming. In the west, spices were used for food from the beginning. Before the days of refrigeration, canning, salting, or other preservation methods, fresh food was the best way to sustain human life. It may be hard to visualize what modern life would be like without the global food and produce trade we now enjoy. Sophisticated transportation systems erase the limitations of the seasons and bring choices unimaginable in Medieval Europe. Then, commoner and noble both faced the grim prospect of poorly preserved food and the appetite killing smell of spoilage. Spices, then and now, preserve and they also make the poorly preserved palatable. It was said that in case of a bad harvest or in cold winters that heavily salted The Emerald Research Register for this journal is available at www.emeraldinsight.com/researchregister The current issue and full text archive of this journal is available at www.emeraldinsight.com/1061-0421.htm Journal of Product & Brand Management 14/7 (2005) 462–467 q Emerald Group Publishing Limited [ISSN 1061-0421] [DOI 10.1108/10610420510633422] 462 meat laced with spices made life possible. Pepper was especially prized and became highly valuable. In the Middle Ages plague added to the demand for medicinal spices; and boosted their value dramatically. Spices, like peppercorns, became a medium of exchange. Modern proof of the medieval value of peppercorns was found in the 1980s. The English ship, the Mary Rose, sank in 1545 and was the subject of folklore and sadness. After an extensive salvage project raised her from the ocean floor in the 1980s, marine archeologists examined her contents and the remains of her crew. Notably, nearly every sailor was found with peppercorns on his person – the most portable store of value available. The immense demand for spices worldwide fueled a large distribution channel that allowed Arabia to monopolize the industry. The Arab traders used a combination of disinformation and strategic alliances to hide the sources of the spices they handled and they reaped monopoly profits for years. Their stranglehold on the trade finally was broken when Europe discovered that Indonesia and the Moluccas, the Spice Islands, were the source of cloves, black pepper, cinnamon and most of the other spices in high demand. Since overland routes to the sources of spices were blocked, European rulers underwrote expeditions to find any sea routes that would enable direct contact with the spice producers. Explorers like Christopher Columbus received significant support not to discover new worlds but to find a sea route to spices! Spice historians note that Columbus’ voyage was really a failure. He is alleged to have called the inhabitants of the Americas, Indians to mollify his backers. He also renamed the pungent chilies of the Americas “Red Pepper” to show some measure of success. Since 1492, the Dutch, through their Dutch East India Company, the Portuguese, Spaniards, the English and other countries took turns trying to control the trade using guile and muscle. The spice industry today When defining the boundaries of a commodity industry, it is important to clarify what products are involved. Industry terminology describes spices as seasonings for food that come from the bark, buds, fruit or flower parts, roots, seeds or stems of various aromatic plants and trees. An industry trade association, the American Spice Trade Association (ASTA), specifies that spices are “any dried plant product used primarily for seasoning purposes.” This definition covers a wide range of plant and plant parts: tropical aromatics, leafy herbs, spice seeds, roots, dehydrated vegetables, and spice blends. Just a few years ago, only tropical aromatics like pepper, cinnamon, and cloves were considered spices. In contrast, the leaves and seeds of temperate-zone plants like basil and oregano were known as herbs. Today this classification has blurred, even though it is still used in some circles. The term spice now generally includes a whole range of elements: spices, herbs, blends and dehydrated vegetables. Today, the spice industry comprises a $1.7 billion market. There are many small players spread around the globe and this in part has lead to its erratic economic performance over the past five years. Usually numerous small sellers signify a lack of widespread market information and a distribution in the prices that individual farmers accept. The middleman, the spice trader, assumed great importance. The trader would visit the markets and buy spices for resale to corporate customers. The situation allowed some traders to reap high profits. Information control is a key to success. Although no one company could control the overall flow of spice, information could be controlled. Traders could release it early enough – or late enough – to make a killing. Now, though, the information flows so freely that it is almost transparent. Spice traders lament that: There just aren’t so many secrets any more. The farmers in Malaysia use their mobile phones to get New York market price as soon as the traders do. The result is that large corporate customers like Eastern Spice & Flavorings have trained their staff to visit the markets and serve as internal spice traders. Their large purchase quantities have allowed them to bypass the traders entirely. Tony Andriotti created the company’s new integrated distribution strategy. In doing so he reversed the practice of procurement managers at food-processing firms purchasing spices through brokers. Most never left the comfort of their offices. In contrast, Andriotti is called a road warrior. He and his staff of six men and two women have traveled to most spice growing countries repeatedly. Eastern has set up joint ventures or wholly owned subsidiaries in numerous key spice-producing and consuming countries in recent years. Once the reason for cutting out the middleman, the trader, was price. Now, quality is what matters. The trend was fueled by consumer recognition of the level of quality control in the industry. The prestigious Wall Street Journal published an article listing the allowable level of impurities, like insect parts, that the US Food and Drug Administration authorized. The article cited the problems of distinguishing between the appearance of insects and the spice they contaminated. As a result, Eastern found it had a strategic advantage: great quality control. Governments have boosted the company’s advantage. Both European Community and American regulators have taken steps to reduce impurities. The impurities can range from stones, rusty nails, insects, plastic toys and even articles of clothing. It is amazing what can find its way into a burlap bag that should contain only spice. The implications of missing just one contaminant are dire. The prospect of an insect being packed in a jar of ground pepper could result in a lawsuit and too much adverse publicity to bear. Eastern recognized that its quality control was world class but not perfect. It tried several times to raise the quality of products it purchased without much success. When it used spice traders, the company evaluated each purchased spice batch and tracked the quality that individual traders supplied. Eastern started a program to reward higher quality. It tried avoiding some traders and shifting purchases to others but it lacked sufficient control to make a difference. The technique was not successful since none of the traders evaluated quality well enough. This is the reason Andriotti and his staff travel. Andriotti decided to have company specialists examine every batch before purchase and only purchase lots of acceptable quality. Andriotti’s strategy has impressed the industry and government alike. In fact, the Indian Spices Board is helping its members improve standards and obtain seals of approval such as ISO certification. The board recognizes the margins New product development Frank Franzak and Dennis Pitta Journal of Product & Brand Management Volume 14 · Number 7 · 2005 · 462–467 463 that come with the “value-added” processing now done in rich countries. One lesson learned is that Eastern has the power to dictate product quality among its vendors and the intelligence to make the right choices. It has seen its purchasing and quality strategy reduce its liability, improve its retail product quality and influence governments. That lesson led to a “take charge” company philosophy and internal focus and also had unintended results. Current industry trends Overall, the spice industry has seen lackluster growth. New products fuel growth and recently sales have risen just 2.1 percent, driven mainly by spice blends. The overall spice industry contains four main categories: spices and seasonings; salt and salt substitutes (including seasoned salt and salt alternatives); extracts, flavorings, and colorings; as well as pepper. Worldwide, the major players include Reckitt and Coleman, McCormick & Company, Durkee-French (Specialty Brands), Morton, Eastern Spice & Flavorings, and Diamond Crystal. The industry has developed several marketing strategies, which heavily rely on careful market segmentation, product differentiation, and cross merchandising. New product development Within the industry, the larger players have learned the value of tested recipes in designing and selling their products. Some of that knowledge came from related industries like the alcoholic beverage industry. Makers of specialty liqueurs learned to expand their markets by using their products as ingredients in mixed drinks. One example involves Galliano, also known as Liquore Galliano. Galliano is a sweet, yellow Italian herbal liqueur. It is flavored with various herbs, flowers and spices, including anise, licorice and vanilla, giving it a unique taste. That unique taste led to a small niche market and lackluster sales. Since it is a complex mixture of ingredients, an alternative beverage cannot readily substitute it in a recipe. Galliano expanded its market by creating the Harvey Wallbanger, a popular drink that combines 1 oz Vodka, with 1/2 oz of Galliano and 4 oz of Orange juice. The drink was masterfully merchandised with t-shirts and in- tavern promotions. The result was a significant increase in Galliano sales, even though the amount used per drink was small. Galliano, or other liqueurs like Amaretto, Kahlua, or Bailey’s Irish Cream, are unique blends of ingredients and have used the recipe strategy well. In each case, the prime ingredient was a complex blend of elements that made substitution difficult. The spice industry also observed other instances of the recipe strategy. There were attempts by conglomerates to reinforce brand preference with recipes specifying their own brands as ingredients. For example, the Baker’s Semi-Sweet Chocolate brand specified Calumet Baking Soda in its cookie recipes. However, most consumers used whatever they had on hand and ignore the specification. That approach was flawed since the ingredients had direct substitutes available. To Eastern, the solution seemed to be to create a unique blend of herbs and spices that would garner consumer loyalty. That taught Eastern a lesson: creating a branded mix of ingredients could be helpful. One early product possibility was linked to the great increase in backyard grilling in North America. Propane and charcoal backyard grills were often called barbecues even though they might not be used for the traditional barbecue involving a tomato based spiced sauce. In 1980, Eastern recognized too many competitors to enter the barbecue sauce business. However, it did identify meats that were consistently grilled outdoors. The four most frequently grilled products were beef, in the form of steak or hamburgers, pork or beef ribs, chicken, and sausages or hot dogs. Eastern’s first major spice blend was aimed at those who enjoy grilled steak. It was marketed almost by accident. Often the chef is a male with limited culinary skills who first sears the meat then cooks it more slowly. Spices may be limited to black pepper and salt, or omitted altogether. The steak is often under or overcooked and lacks flavor. Andriotti, a skilled backyard chef, devised a favored spice recipe he used at home. It was a mixture of salt, black pepper, red pepper, dill seed, coriander seed, garlic and dried onion. In a flash of insight, he invited some staffers to his home for a summer barbecue and treated his steaks with the mixture. It was a taste sensation that spawned much interest within the company. Without bothering to perform consumer preference testing, Andriotti arranged to test market the product under the name, Kansas City Spicy Steak Seasoning. The product was priced well above the cost of ingredients and the promotional campaign showed beaming males receiving compliments for the wonderful tasting steaks grilled on their charcoal grill. In the ads, the males all looked like serious “professional grillers.” KC Spicy Steak Seasoning was their secret ingredient – and the secret was out. Sales results were impressive. Eastern had tapped into a need that its target audience did not know it had. Management at Eastern felt that spice blends were the wave of the future, but feared that Kansas City Spicy Steak Seasoning might have been a fluke. The company decided to reorganize its product development center to systematize the new product development (NPD) process. Their stated goal was to “find successful products” and left the organizational details to the committee. In this way, Eastern slowly moved into the consumer product development arena. A marketing committee met to design new product development facilities and development processes. While the firm’s sales were impressive, its corporate facilities were not. The ordinary business functions were well supported and its quality control laboratories were excellent. Eastern did spend considerable time with its large corporate customers developing custom spice mixes. Thus, Burger King, Pizza Hut, Hardee’s and traditional restaurant chains like Outback Steakhouse helped specify their own signature spice mixes. However, consumer and consumer product research were in their infancy and the company had little infrastructure to support them. The infrastructure of product development The committee recommended that the company build new test kitchens and hire chefs to test spices for the consumer market to build on its success with corporate customers. The New product development Frank Franzak and Dennis Pitta Journal of Product & Brand Management Volume 14 · Number 7 · 2005 · 462–467 464 investment would be significant and Eastern planned to use the facility for domestic and global development. Eastern hired its first PhD food technologist for its product development laboratory. The researcher, Gina Labusa, was a graduate of Massachusetts Institute of Technology with a PhD in food technology. She had worked for General Mills developing formulations for Totino’s frozen pizza. One of her stellar achievements was a crust formulation that could be frozen and baked in an oven to yield a crust very similar to pizzeria pizzas. Totino’s increased General Mills’ sales and profit. Labusa was also instrumental in formulating the tomato topping and chose its spices. Her credentials fit the company’s needs well. Next, Eastern organized behavioral researchers to constitute consumer taste panels to evaluate potential spice mixes and recipes that contained them. In fact, all consumer panels were served food, not just mixes of spices. The objective was to tap into customer’s preferences in a normal setting. Intelligently, the company decided to constitute specific consumer panels matched to a product’s target audience. Thus there were panels aimed at audiences like the mostly male blue-collar steak fans, the mostly male white- collar seafood chefs, the heavily female chicken and vegetable grilling segments. The next logical step was to set up retailer advisory panels. Channel of distribution members are invaluable information sources and excellent judges of what types and styles of products consumers prefer. Eastern arranged several select advisory panels based on a retailer’s experience and customer base. Using the new facilities, Eastern developed a mixture of garlic, salt, onion, black pepper, parsley, orange peel, paprika, and green bell peppers as a spice for chicken. That product, Dixie Hand Rubbed Chicken Seasoning was an immediate hit. Other products followed. They included Chef Louis’ Cajun Seasoning Mix, and Big Daddy’s All Purpose Seasoned Salt. The success of these blends reinforced Eastern’s management’s beliefs that mixtures and manufactured products held the highest potential for sales growth. They also saw the high rate of product success that the new product development facilities generated. Soon, new successful spice mixtures developed in Richmond were sold around the world. While Eastern was justifiably proud of its homegrown product development center, it welcomed new product ideas from its overseas subsidiaries and partners. The Thai joint venture supplied useful information requesting spice mixtures for Gang Gai (Chicken Curry), which is chicken with Thai spices and coconut milk as well as Goong Tod Gratiem Prikthai (Fried Shrimp with Garlic) in which shrimp are marinated in Thai sauce, garlic, pepper, and fried. Both mixtures were formulated according to local directions and sent back to Thailand for further refinement. Eastern’s limited experience with Thai cuisine caused the company to rely heavily on the joint venture’s input. The process was scientific and the market results were quite positive. After a significant history of success, Eastern management discovered an emerging home grown market. When the Wall Street Journal reported that the largest selling condiment in the US was not mustard or ketchup but salsa, management requested a study of potential products for the Hispanic spice market. One obvious product was fajita mix. Fajitas are tortillas, flat corn pancakes, filled with a selection of meat, spices and other ingredients such as chopped vegetables. Eastern had a number of Hispanic employees and they were a natural taste panel. They relished the chance to help the company create a mixture for a food item most had grown up eating. The development time was shortened a bit due to the intense interest of Eastern personnel. Happily, Alejandro’s Authentic Fajita Flavoring was an instant market success that helped create substantial custom food industry business when one of the fast food chains decided to add some Hispanic food to its menu. Eastern’s spices helped them formulate the items and Alejandro’s Authentic Fajita Flavoring was the starting point for the corporate product. As the Hispanic market grew, Eastern developed new offerings to complement its product line. Andriotti recognized the invaluable contribution of Eastern’s Hispanic employees and directed that they be part of the specific consumer panel. In addition, he instituted a company policy to increase employee input into the NPD process. The results were on the whole, very favorable. A request from Germany In the fall of 2003, Gunther Mölders, the chief of Eastern’s joint venture in Germany, Deutsche Pfeffernüsse, GmbH, was concerned about slow sales for Alejandro’s Authentic Fajita Flavoring. After polling his managers and the retail channel he learned that a rival product, Tapultipec Fajita Mix, had just been introduced and its product launch seemed to be gaining momentum. The rival product introduction was at the early stages. Mölders did some informal in house consumer research and feared that he might need a fajita mix formulation that seemed to be better suited to consumer tastes in Germany. The German joint venture did not have a new product development facility. Thus, Mölders made a formal request in writing to Richmond that Alejandro’s Authentic Fajita Flavoring be reformulated for the German market. His managers supplied samples of Tapultipec Fajita Mix bought off the shelf in Frankfurt. That request went directly to corporate headquarters in Richmond and was forwarded to the NPD Center to Gina Labusa. Labusa was told that: Germany may need a fajita mix reformulation but the market data is not in yet. Still, let’s honor that request and see what we can do. The competitive sample was analyzed thoroughly. Under standard policy, the NPD Center created the requested fajita mix formulation and four other test recipes, one of which was the competitive Tapultipec Fajita Mix. Since analysis could be performed with great precision, food technologists were able to vary the spice recipes to create a scale of formulations ranging from the company’s product to the competitors’ with intermediate mixes that could be tested. Since the two reference mixes contained similar ingredients, it was possible to create formulations that were all in the range of acceptability without any being unpalatable. New product development Frank Franzak and Dennis Pitta Journal of Product & Brand Management Volume 14 · Number 7 · 2005 · 462–467 465 Center chefs used each spice formulation as the only ingredient to vary in a standard fajita recipe. Each of the five formulations was submitted to consumer testing in a well- designed experiment. Eastern used its Hispanic taste panel to evaluate each recipe. The five sample names, their approximate compositions and preference scores are shown in Table I. After testing, the results were somewhat unclear but one statistically significant sample emerged. The panel seemed to prefer the original Eastern formulation (sample 1). Comments clustered around the “authentic” or “traditional” taste of the fajita. However, samples 2 and 5 also garnered positive preference scores. Labusa reported the results to Eastern management and recommended, given the results, that sample 1, the company’s product, tested the highest. She also reported potential limitations of the test, namely that it was by no means certain whether a German taste panel would have yielded the same results. She advised great caution in applying the results and strongly advised duplicating the panel tests in Frankfurt. Given the tentative nature of the German situation, with few concrete market share facts, US management only used Labusa’s preference results on which to base their decision. The marketing director and his staff met to consider Deutsche Pfeffernüsse’s situation. Without definitive proof that new competitor had stolen market share from Alejandro’s, Eastern decided not to reformulate the mixture “at the current time.” They deemed it prudent to wait for additional competitive data out of Germany. The decision was to stick with the current formulation. After all, the managers reasoned, it is the more authentic tasting blend. Instead, marketing launched a study to try to learn if there were other reasons for the slow start. Eastern dispatched two experienced market specialists to Germany to work with Deutsche Pfeffernüsse and to assess local conditions. After a month had elapsed, the team learned the latest market share figures and had organized a local taste panel. Tapultipec Fajita Mix had achieved a 58 percent market share compared with Alejandro’s 38 percent. While Tapultipec’s product launch was done professionally and with sufficient marketing support, the share results indicated factors other than product launch effects were operating. The team brought sample fajita formulations and applied them in a less rigorous taste test than that used in Richmond. The key difference was that it used the proper market segment: Germans. The local taste panel revealed that Mölders’ concerns were valid. German taste preference results showed differences from the US results. While the preference ratings between samples 3, 4 and 5 were close, Eastern learned that it could field a reformulated product with superior preference ratings (Table II). Post mortem The company’s management met to review the situation in Germany and immediately reformulated the product and cooperated with Deutsche Pfeffernüsse to launch the “new, improved, fajita flavoring for German tastes.” The re-launch was done with sufficient support and results were on the whole encouraging. However, it would be several years before the reformulated product would regain the market share lead. Overall the situation was not too damaging to Eastern. The market potential of fajita mix in Germany was much lower than in the US. However, the mistake signified problems with the company’s global product development efforts. It was clear that Eastern did not have sufficient resources to duplicate its new product development facilities worldwide. It would have to analyze the cause of the problem and find ways to avoid them. Ralph Schweiker, a marketing professor from the University of Richmond, held the Eastern Spice & Flavorings Chair of Marketing Management. The company asked him to review its global new product development activities and suggest ways to improve practices. Schweiker agreed to help and investigated the company’s management, processes, history and the personalities involved. After several months, he came to the following conclusions. The company had a history of success that was based on internal management taking control of a situation in order to succeed. From the first demonstration Andriotti held highlighting the value and appeal of his own spice blend, management realized that the company had good ideas internally and that it did not need to “over depend” on outside resources. The basic idea is that the spice business is simple and management could navigate the industry well. Schweiker also cited the efforts to centralization purchasing as leading to unanticipated marketing myopia. Centralization of purchasing and avoiding spice traders led to higher raw material quality but helped institutionalize an internal focus of decision-making. Even the NPD Center’s operation had unintended consequences. The center was focused on finding new products and in some respects management was not concerned about the integrity of the NPD process. For example, Gina Labusa’s cautions about the US panel results applicability were not considered seriously enough. Despite her experience and her credentials, she was viewed as a technician, not a business decision maker. Table II Taste preference results: Frankfurt panel Test sample Composition Preference Sample 3 Equally Alejandro’s – Tapultipec 4.24 Sample 4 Mostly Tapultipec – slightly Alejandro’s 4.02 Sample 5 Tapultipec Fajita Mix 3.96 Sample 2 Mostly Alejandro’s – slightly Tapultipec 3.45 Sample 1 Alejandro’s Authentic Fajita Flavoring 3.09 Notes: 5 ¼ highest; 1 ¼ lowest Table I Taste preference results: Richmond Panel Test sample Composition Preference Sample 1 Alejandro’s Authentic Fajita Flavoring 4.39 Sample 2 Mostly Alejandro’s – slightly Tapultipec 4.05 Sample 3 Equally Alejandro’s – Tapultipec 3.04 Sample 4 Mostly Tapultipec – slightly Alejandro’s 3.12 Sample 5 Tapultipec Fajita Mix 3.87 Notes: 5 ¼ highest; 1 ¼ lowest New product development Frank Franzak and Dennis Pitta Journal of Product & Brand Management Volume 14 · Number 7 · 2005 · 462–467 466 It might be fair to say that parochialism crept into the NPD process with managers over ruling “science.” Despite Labusa’s scientific concerns, Eastern marketing’s “we know better” attitudes formed their decision. Schweiker offered the following lessons that management might consider changing. Lessons learned Organization and process are both important. Eastern had a successful history of management decision-making. However, its focus was on pure spices. Spices are commodities and consumer preference is limited to acceptance or rejection. For example, one might like cinnamon or not; the choice is based on a rather simple decision. However, accepting spice blends requires more complex consumer consideration and formulating them requires more thought. When the company embarked on the sale of blends, its marketing problem became much more complex than selling something as simple as garlic. Its management processes should have been more sophisticated. The situation shows that it is never appropriate to ignore the voice of the customer, even if that voice mumbled. Schweiker suggested that the company extend the NDP team to include specialists for each active region within the global market. Those experts might be based in Richmond, but could liaise with joint venture partners to increase success. Another lesson was that minority opinions must be heard and the input evaluated. Labusa knew what she was talking about and should have been heeded. Her concerns were an example of the dictum, “Think globally; act locally!!” It was surprising that management did not listen more carefully. One issue seems to revolve around the company’s different foci between production and marketing. Production is by its nature global. Spices do not grow in Montana or Virginia. Production and purchase demand global involvement. However, Eastern’s traditional market was the US. It honed its skills and built its business satisfying US consumers. Since most of the managers were North Americans, their views, preferences and frame of reference was North America. Schweiker recommended a rather obvious step: hiring more global managers from outside the US. For some global companies like Coca-Cola, a non-US CEO, caused the company problems when Coke was reformulated. The “New Coke” disaster in the US cost the company money and embarrassment. That is a good example of how a non-local manager can make mistakes. The final suggestion was to extend the NPD effort globally in a physical way. Despite the company’s origins as a family owned small business, it competes in the global marketplace. To compete successfully, it must localize its blends. Until the company can establish NPD centers in its major overseas markets, regional teams from Richmond that could travel to foreign markets to aid product development would be a solution to increasing sales. They must also involve the local channel of distribution that Eastern failed to do in the earliest stages in Frankfurt. New product development Frank Franzak and Dennis Pitta Journal of Product & Brand Management Volume 14 · Number 7 · 2005 · 462–467 467 
work_jxcdc7e6snailj3fujm2e2v33a	----	Proof as a practice of mathematical pursuit in a cultural, socio-political and intellectual context Man-Keung Siu Department of Mathematics The University of Hong Kong Abstract Through examples we explore the practice of mathematical pursuit, in particular on the notion of proof, in a cultural, socio-political and intellectual context. One objective of the discussion is to show how mathematics constitutes a part of human endeavour rather than stands on its own as a technical subject, as it is commonly taught in the classroom. As a ‘bonus’, we also look at the pedagogical aspect on ways to enhance understanding of specific topics in the classroom. 1. Prologue: Question 6 of the 29th IMO Proof is, to some extent, as much an individualized activity as a social activity. It is an individualized activity in that a breakthrough or an igniting spark arises from the mental exertion of oneself, though sometimes aided or stimulated through the discussion with fellow mathematicians. It is a social activity in that a proof has to pass the scrutiny of other mathematicians in order to gain approval and acceptance by the mathematical community. Hence, we will begin with an example this author experienced in person. This example highlights the main function of a proof, which is to elucidate rather than just to verify. After that, we will explore, through four examples (in Sections 3,4,5,6), the practice of mathematical pursuit, in particular on the notion of proof, in a cultural, socio-political and intellectual context. Question 6 of the 29th International Mathematical Olympiad, held in Canberra in 1988, reads: “Let a and b be positive integers such that ab + 1 divides a2 + b2. Show that a2 + b2 ab + 1 is the square of an integer.” A slick solution to this problem, offered by a Bulgarian youngster who received a special award for it, starts by supposing that k = a2 + b2 ab + 1 is not a square and rewriting the expression as an equation. a2 − kab + b2 = k, where k is a given positive integer (∗). 1 Note that any integral solution (a, b) of (∗) must satisfy ab ≥ 0, or else ab ≤ −1, and a2 + b2 = k(ab + 1) ≤ 0, implying that a = b = 0 so that k = 0! Furthermore, since k is not a square, we have ab > 0, that is, none of a or b is 0. Let (a, b) be an integral solution of (∗) with a > 0 (and hence b > 0) and a + b smallest. We may assume a ≥ b by symmetry. Regard (∗) as a quadratic equation with roots a and a′. Then a + a′ = kb and aa′ = b2 − k. Hence a′ is also an integer and (a′, b) is an integral solution of (∗). Since b > 0, we have a′ > 0. But a′ = b2 − k a ≤ b 2 − 1 a ≤ a 2 − 1 a < a, so that a′ + b < a + b, contradicting the choice of (a, b)!. This proves that a2 + b2 ab + 1 must be the square of an integer. Slick as the proof is, it also invites a couple of queries. (1) What makes one suspect that a2 + b2 ab + 1 is a square? (2) The argument by reductio ad absurdum should hinge crucially upon the condition that k is not a square. In the proof this condition seems to have slipped in casually so that one does not see what really goes wrong if k is not a square. More pertinently, this proof by contradiction has not explained why a2 + b2 ab + 1 must be a square, even though it confirms that it is so. (For a discussion on the cognitive and didatic aspects of students’ difficulty with proof by contradiction, see (Antonini, Mariotti, 2008).) In contrast let us look at a less elegant solution, which is my own attempt. When I first heard of the problem, I had a ‘false insight’ by putting a = N 3 and b = N so that a2 + b2 = N 2(N 4 + 1) = N 2(ab + 1). Under the impression that any integral solution (a, b, k) of k = a2 + b2 ab + 1 is of the form (N 3, N, N 2) I formulated a strategy of trying to deduce from a2 + b2 = k(ab + 1) the equality [a − (3b2 − 3b + 1)]2 + [b − 1]2 = {k − [2b − 1]}{[a − (3b2 − 3b + 1)][b − 1] + 1}. Were I able to achieve that, then I could have reduced b in steps of one until I got down to the equation k = a2 + 1 a + 1 for which a = k = 1. By reversing steps I would have solved the problem. I tried to carry out this strategy while I was travelling on a train, but to no avail. Upon returning home I could resort to systematic brute-force checking and look for some actual solutions, resulting in a (partial) list shown below. a 1 8 27 30 64 112 125 216 240 343 418 512 · · · b 1 2 3 8 4 30 5 6 27 7 112 8 · · · k 1 4 9 4 16 4 25 36 9 49 4 64 · · · 2 Then I saw that my ill-fated strategy was doomed to failure, because there are solutions other than those of the form (N 3, N, N 2). However, not all was lost. When I stared at the pattern, I noticed that for a fixed k, the solutions could be obtained recursively as (ai, bi, ki) with ai+1 = aiki − bi, bi+1 = ai, ki+1 = ki = k. It remained to carry out the verification. Once that was done, all became clear. There is a set of ‘basic solutions’ of the form (N 3, N, N 2) where N ∈ {1, 2, 3, · · ·}. All other solutions are obtained from a ‘basic solution’ recursively as described above. In particular, k = a2 + b2 ab + 1 is a square. I feel that I understand the phenomenon much more than if I just learn from reading the slick proof. 2. Relevance to learning and teaching of mathematics in the classroom The explanatory power of a proof, as exemplified in the example in Section 1, has long been recognized and discussed at length by many authors. Instead of giving a list of ref- erences, which is bound to be incomplete in view of the vast size of the relevant body of literature (and many more that will be written), I would only mention one survey paper (Hanna, 2000), two websites (see the two items at the end of the references) and three books (Davis, Hersh, 1980; Hanna, 1983; Siu, 1990/2007/2008), with their numerous bibliographi- cal references thereof. Why then do I write this paper, realizing that it would be like adding one drop of water to a huge ocean of existing works? What specific point of view do I try to offer in this paper? As the title suggests, I like to explore the practice of mathematical pursuit known as a proof in a cultural, socio-political and intellectual context. A broader message I like to convey is that mathematics constitutes a part of human endeavour rather than stands on its own as a technical subject, as it is commonly taught in the classroom. In (Siu, 2006) one of the reasons given to account for a general hesitation of teachers to integrate history of mathematics with the learning and teaching of mathematics in the classroom is the concern that students lack enough knowledge on culture in general to ap- preciate history of mathematics in particular. This is probably quite true, but we can look at it from the reversed side. We can regard the integration of history of mathematics with day-to-day learning and teaching as an opportunity to let students know more about culture in general. In particular, proof is so much an important ingredient in a proper education in mathematics that we can ill afford to miss such an opportunity in this regard. Although the evolution of the standard of rigour or the epistemological aspect of mathematical proofs 3 (Lakatos, 1976; Rav, 1999)) are not our main focal points in this paper as far as learning and teaching of mathematics in the classroom are concerned, they will invariably come into the picture. I will discuss four examples: (1) the influence of the exploratory and venturesome spirit during the ‘era of exploration’ in the 15th and 16th centuries C.E. on the development of mathematical practice in Europe, (2) the influence of the intellectual milieu in the period of the Three Kingdoms and the Wei-Jin Dynasties from the 3rd to the 6th centuries C.E. in China on the mathematical pursuit as exemplified in the work of Liu Hui (flourished in the mid 3rd century C.E.), (3) the influence of Daoism on mathematical pursuit in ancient China with examples on astronomical measurement and surveying from a distance. (4) the influence of Euclid’s Elements in Western culture compared to that in China after its transmission through the first Chinese translation by Matteo Ricci (1552-1610) and Xu Guang-Qi (1562- 1633) in 1607. Example (1) touches on a broad change of mentality in mathematical pursuit, not just affecting its presentation but more importantly bringing in an exploratory spirit. Example (2) is about a similar happening, for a different reason, in the oriental part of the world, with more emphasis on the aspect of argumentation. Example (3) concerns the possible role religious, philosophical (or even mystical) teachings may play in mathematical pursuit. Example (4) points to such kind of influence but in the reversed direction, namely, how the thinking in mathematical pursuit may breed thinking in other areas of human endeavour. As a ‘bonus’, these examples sometimes suggest ways to enhance understanding of specific topics in the classroom. 3. ‘Era of exploration’ ¿From the mid 15th century C.E. into the 16th century C.E. the European world saw the emergence of a group of ‘ocean explorers’ (some would see them as ‘crusaders’ or ‘colonialists’ or even ‘pirates’, depending on one’s stand and view on history) who travelled to far-off shores hitherto unheard of. Those who left their marks in history by such ventures include names like Christopher Columbus (1451-1506), Vasco da Gama (1460-1524), Ferdinand Magellan (1480-1521), Francis Drake (1540-1596), Walter Raleigh (1554-1618). Regardless of their motive, one has to admire their exploratory and venturesome spirit. This exploratory and venturesome spirit became a model and an inspiration for promoters of modern science (Alexander, 2002). In his book Novum Organum (1620/2000) Francis 4 Bacon wrote: “We should also take into account that many things in nature have come to light and been discovered as a result of long voyages and travels (which have been more frequent in our time), and they are capable of shedding new light in philosophy. Indeed it would be a disgrace to mankind if wide areas of the physical globe, of land, sea and stars, have been opened up and explored in our time while the boundaries of the intellectual globe were confined to the discoveries and narrow limits of the ancients.” (Bacon, 1620/2000, Book I, Section LXXXIV) He also wrote in the same book: “And therefore we should reveal and publish our conjectures, which make it reasonable to have hope: just as Columbus did, before his wonderful voyage across the Atlantic Sea, when he gave reasons why he was con- fident that new lands and continents, beyond those previously known, could be found; reasons which were at first rejected but were afterwards proven by experience, and have been the causes and beginnings of great things.” (Bacon, 1620/2000, Section XCII) It may seem that mathematics, as a pure and abstract subject, would not fit in well with this trend. Metaphorically speaking, mathematics rests on the sure stable ground of Euclidean geometry while explorers should go out to the rough ocean to explore and to discover the unknown world. However, even in mathematics change occurred in the 17th century C.E., supplanted by philosophical consideration expressed in the words of Galileo Galilei: “Logic, it appears to me, teaches us to test the conclusiveness of an argument already discovered and completed, but I do not believe that it teaches us to discover correct arguments and demonstrations.” [The translation is adopted from (Kline, 1977, p.118).] and of René Descartes: “I saw that, regarding logic, its syllogisms and most of its other precepts serve more to explain to others what one already knows, or even, like the art of Lully, to speak without judgement of those things one does not know, than to learn anything new.” [The translation is adopted from (Descartes, 1637/1968, p.40).] 5 One outcome is the bold venture to explain and to discover results in the unknown realm of the infinite by the method of infinitesimals, for instance by Johannes Kepler (1571-1630) in his Nova Stereometria Doliorum Vinariorum (1615), and the method of indivisibles, for instance by Bonaventura Cavalieri (1598-1647) in his Geometria Indivisibilus Continuorum Nova Quadam Ratione Promota (1635). In the former a geometric object is considered to be made up of ‘very small’ objects of the same dimension, while in the latter a geometric object is considered to be made up of objects of dimension one lower (Calinger, 1982/1995; Mancosu, 1996). In fact, similar ideas already appeared in earlier works of mathematicians in both the West (for instance, Archimedes in the 3rd century B.C.E.) and the East (for instance, Liu Hui in the 3rd century C.E., Zu Chong-Zhi and his son Zu Geng in the late 5th century C.E.). These examples provide stimulating and instructive didatical material for the classroom (Calinger, 1982/1995; Shen, 1997; Siu, 1993; Wagner, 1978; Wagner, 1979). The story on the computation of the volume of a sphere is particularly noteworthy, not only because of the ingenious use of the method of indivisibles to compute the volume of the closely related object ‘Mou-he-fang-gai’ (literally, it means “box with a closely fitted square lid”), which is the common portion of two cylinders of equal diameter placed with axes orthogonal to each other, but also because of the kind of intellectual integrity and humbleness Liu Hui displayed. After sketching his brilliant idea on how to proceed, he said: “I wish to give my humble reflections, But fear that I will miss the correct principle; I dare to let the doubtful points stand, Waiting For one who can expound them.” [The translation is adopted from (Wagner, 1978)] It reminds one of a saying from the late Russian mathematics educator, Igor Fedorovich Sharygin (1937-2004): “The life of mathematical society is based on the idea of proof, one of the most highly moral ideas in the world.” The learning of proof does have its value in ‘moral education’ ! It is interesting to note that, after two centuries of exciting discoveries in calculus, the subsequent development in the 19th century C.E. gradually reverted to a more conservative 6 style dominated by the ‘notorious’ (among generations of undergraduates!) “epsilon-delta” analysis. The pendulum may be swinging again. Since the latter part of the 20th century C.E. the increasing power of computers and the increasing versatility of numerous software en- able mathematicians to enter into another ‘era of exploration’. Some even start to question whether the role of a proof should be reconsidered, leading to debates which are both philo- sophical and controversial (Davis, 2006). 4. Intellectual milieu in China in the period from the 3rd to 6th centuries The eminent British mathematician Godfrey Harold Hardy (1877-1947) once made the comment (Hardy, 1940), “The Greeks first spoke a language which modern mathematicians can understand; as Littlewood said to me once, they are not clever schoolboys or ‘scholar- ship candidates’, but ‘Fellows of another college’.” He was speaking from a viewpoint that holds the time-honoured axiomatic-deductive tradition inherited from the ancient Greeks, exemplified in Euclid’s Elements, to be the only proper mode of a proof. Some authors offer examples from other mathematical cultures to counterbalance this view (Chemla, 1996; Chemla, 1997; Joseph, 1991/1994/2000; Siu, 1990/2007; Wilder, 1968/1978). In (Siu, 1993) I described in details several specific examples from the commentaries of Liu Hui on Jiuzhang Suanshu (The Nine Chapters on the Mathematical Art). Many of these can be rendered, with the help of visual aids, into useful didactical material for the classroom. One notable example is Problem 16 in Chapter 9 of the book, which says: “A right triangle has sides of 8 steps and of 15 steps. What is the diameter of its inscribed circle?” The method in the book gives the correct formula for the diameter, namely, d = 2ab/(a + b + c) where c is the hypotenuse and a, b are the other two sides. In his commentary, Liu Hui offered three different proofs. The first proof is by a colourful (literally, as the text indicates pieces of different colours) method of dissection. (See (Siu, 1993, Figure 3) for a “proof without words”.) The second proof uses knowledge about proportional quantities. The third proof is most interesting from the viewpoint of the role of a proof, because Liu Hui was probably looking for “consistency [of the theorem] with the body of accepted mathematical results” (Hanna, 1983, p.70). (See (Siu, 1993, Section 3) for a detailed discussion on the mathematics.) 7 At the beginning of his commentary Liu Hui wrote: “I studied Jiuzhang [The Nine Chapters on the Mathematical Art] at an early age and perused it when I got older. I see the separation of the Yin and the Yang and arrive at the root of the mathematical art. In this process of probing I comprehend its meaning. [......] Things are related to each other through logical reasons so that like the branches of a tree, diversified as they are, they nevertheless come out of a single trunk. If we elucidate by prose and illustrate by pictures, then we may be able to attain conciseness as well as comprehensiveness, clarity as well as rigour. Looking at a part we will understand the rest.” [The translation is adopted from (Siu, 1993).] This passage not only indicates a different style in mathematical practice but also exhibits a different mentality from that of the traditional school of Confucianism, which by the latter part of the 1st century B.C.E. was made the orthodoxy belief of the Han Dynasty at the expense of other schools of thought. To put this trend in its historical perspective we should note that the 3rd century C.E., in which Liu Hui flourished, fell into an exceptionally interesting period of Chinese history. The four centuries, beginning with the collapse of the Han Dynasty in 220 and ending with the establishment of the Sui Dynasty in 581, were a “prolonged period of disunity and confusion, [...] marked by frequent warfare and political cleavage between a series of dynasties that ruled in Central and South China, and another series that had control in the North” (Feng, 1948). Although this prolonged period of disarray and strife was politically and socially a ‘dark age’, it was also “an age in which, in several respects, we reach one of the peaks of Chinese culture” (Feng, 1948). Ironically, the collapse in political and social order brought with it a weakening of the orthodoxy belief, giving way to free and uninhibited thinking. The period was known for a predilection for rhetoric and dialectic, characterized by a refined intellectual activity referred to as qing-tan, which literally means “pure conversation”. According to the historian Yu Ying-Shih, the intellectual milieu of this period was a result of a kind of “self- awareness”, both as an individual and as a community, that was formed since the latter part of the Late Han Dynasty (25-220) among the class of Shi1 (Yu, 1987, Chapter 6, Chapter 7). It is natural to propose that, in the area of science and mathematics, the predilection 1Shi is a rather peculiar but extremely important social class throughout the whole cultural history of China. It is sometimes rendered in translation as ‘literati’, ‘scholar’, ‘scholar-official’, ‘intellectual’, but none of these terms individually can capture a holistic meaning of the word. 8 for rhetoric and dialectic engaged under an atmosphere of free and uninhibited thinking was conducive to the promotion of a notion of proof. (See also (Horng, 1982) for a lengthy discussion on this thesis.) 5. Daoism and mathematical development in China Daoism is a school of Chinese philosophy that came into being by the 4th century B.C.E.. Towards the end of the Late Han Dynasty (25-220) there was a related development as a religion, usually referred to as daojiao. But in this section we refer mainly to the philosophical aspect of Daoism. A central theme is the Dao (the Way) or the flow of forces of Nature by which things come together and transform, which reflects a deep-seated Chinese belief that change is a basic characteristic of things. The relationship between Daoism and Chinese science and mathematics in the ancient and medieval times is a topic of scholarly investigation by several authors. (See (Volkov, 1996a) for a survey as well as a new interpretation from the author.) In particular, the treatise Huainanzi (The Book of the Prince of Huai Nan) was a Daoist book commissioned by Prince Liu An (179 B.C.E. - 122 B.C.E.), a grandson of the founding emperor of the Han Dynasty (206 B.C.E. - 220 C.E.), in the 2nd century B.C.E.. It is a compendium on different areas, one of which is astronomy. In Chapter 3 titled Tianwenxun (Treatise on the Patterns of Heaven) we find the following problem on measuring the height of heaven: “To find the height of heaven (i.e. of the sun) we must set up two 10- che gnomons and measure their shadows on the same day at two places situated exactly 1000 li apart on a north-south line. If the northern one casts a shadow of 2 che in length, the southern one will cast a shadow 1 and 9/10 che long. And for every thousand li southwards the shadow diminishes by one cun. [In the Chinese system, 10 cun amount to 1 che]. At 20,000 li to the south there will be no shadow at all and that place must be directly beneath the sun. (Thus beginning with) a shadow of 2 che and a gnomon of 10 che (we find that Southwards) for 1 che of shadow lost we gain 5 che in height (of gnomon). Multiplying therefore the number of li to the south by 5, we get 100,000 li, which is the height of heaven (i.e. of the sun).” [The translation is adopted from (Needham, 1959).] 9 Phrased in modern notations, the calculation can be explained in the figure shown below. Figure 1 y (decrease in length of shadow) is a function of x (distance moved by the gnomon), say y = f (x). What is x that makes f (x) = 2? That x should be L. If we know what f (x) is, then we can calcu- late L, hence H. Let us try to find out what f (x) is. We know that a b − y = H L − (x − b + y) (1), a b = H b + L (2). ¿From (1) and (2) we obtain y = ( a H − a ) x = αx, where α is a constant. When x = 1000, y = 0.1. Hence α = 0.0001, i.e. y = 0.0001x. [Note that x is measured in li and y is measured in che.] When x = 20, 000(li), y = 2 (che), so there is no shadow. Hence, L = 20, 000 (li). H = (b + L) a b = ( 2 180 + 20000 ) ( 10 2 ) = 100, 000 + 1 18 (in li.)2 The calculation is based on an over-simplified model of ‘heaven and earth’, so it does not measure the ‘height of heaven’. However, the same calculation can be used to measure the height and distance of an inaccessible object. This method of using two gnomons for measurement was explained in detail in Liu Hui’s Haidao Suanjing (Sea Island Mathematical Manual) of the 3rd century C.E.. The same method was also explained by the Indian mathematician Aryabhata in the early 6th century C.E.. In the West the instrument in surveying known as cross-staff, believed to be invented in the beginning of the 14th century C.E., relies on this same method. The way the answer was presented by Liu Hui, which was explained by Yang Hui (flourished in the mid 13th century C.E.) in his Xugu Zhaiqi Suanfa (Continuation of Ancient Mathematical Methods for Elucidating the Strange Properties of Numbers) of 1275, is based on an elegant use of area computation as shown in the figure below (Figure 1). 2A conversion from che to li accounts for the factor 1 180 . 10 Figure 2 EGF D = QGF B − QEDB = N JP G − CKM E, hence ad = b2(h − a) − b1(h − a) = (b2 − b1)(h − a), h = ad b2 − b1 + a. QEDB = CKM E, hence a` = b1(h − a) = b1 ( ad b2 − b1 ) , ` = b1d b2 − b1 . (It is an easy exercise to compare h, ` with H, L to see that the answers agree.) When a schoolboy of today faces this problem, very likely he will make use of similar triangles to set up simultaneous equations in ` and h. The answers would come out to be the same, but Yang Hui’s solution seems to be much more elegant. The solution in Huainanzi, arrived at through yet another approach, is elegant in its own way, for it is a dynamic version using a functional dependence, which is perhaps more akin to the thinking of change or transformation in Daoism. It seems that both Liu Hui and Yang Hui were unaware of the method explained in Huainanzi, but the same problem and method appeared earlier in Zhoubi Suanjing (The Arithmetical Classic of the Gnomon and the Circular Paths) of 100 B.C.E. and later in another treatise written by a Daoist in 1230, namely Gexiang Xinshu (New Writing On the Image of Alteration) of Zhao You-Qin (Volkov 1996b). This may be explained by the historical happening in the early Han Dynasty. Prince Liu An, who commissioned the writing of Huainanzi by convening a group of Daoist scholars around himself, was later forced to commit suicide for treason. As a result, the book was banned; probably the proof using functional dependence was also lost to the public except possibly within the Daoist circle. 6. Influence of Elements in Western culture and in Chinese culture It is well-known that Euclid’s Elements exerts significant influence on western culture, both as an exemplar of axiomatic approach and as an exemplar in logical proof (Grabiner, 1988). This mathematical classic of all times was transmitted into China through a col- laboration in translation by the Italian Jesuit Matteo Ricci and the Chinese scholar, later appointed to high-ranking officials in charge of various important duties in the imperial court, Xu Guang-Qi of the Ming Dynasty (1368-1644), published in 1607 as Jihe Yuanben 11 (Siu, 1995/1996). In an essay Jihe Yuanben Zayi (Discourse on the Jihe Yuanben) Xu Guang-Qi commented: “The benefit derived from studying this book is many. It can dispel shallowness of those who learn the theory and make them think deep. It can supply facility for those who learn the method and make them think elegantly. Hence everyone in this world should study the book.... Five categories of personality will not learn from this book: those who are impetuous, those who are thoughtless, those who are complacent, those who are envious, those who are arrogant. Thus to learn from this book one not only strengthens one’s intellectual capacity but also builds a moral base.” [The translation is by this author.] Xu Guang-Qi felt rather disappointed when he saw that few people paid attention to the translated text, but surmised that everybody would study it a hundred years later. However, in 1681 Li Zi-Jin of the Qing Dynasty (1644-1911), said in the preface to Shuxue Yao (Key to Mathematics) written by Du Zhi-Geng: “Even those gentlemen in the capital who regard themselves to be erudite scholars keep away from the book [Jihe Yuanben], or close it and do not discuss its content at all, or discuss it with incomprehension and perplexity.” [The translation is by this author.] Even though Elements had little influence on mathematics in China, surprisingly it bore fruit in another arena, exerting influence on Chinese liberals like Kang You-Wei (1858-1927) and Tan Si-Tong (1865-1898), who were main figures in the futile attempt of the “Hundred- Day Reformation Movement” of 1898 that ended in tragedy for many concerned. Little would Xu Guang-Qi imagine that his somewhat over-optimistic prediction of the influence of Euclid’s Elements came true in the political arena! A more detailed account of the influence of Elements in China can be found in (Siu, 2007), written on the occasion of the 400th anniversary of the translation of Elements in China. 7. Conclusion How would the message conveyed in this paper contribute to the learning and teaching of proof? It would not yield specific tactics nor a comprehensive theory. But it serves to remind us that, to make the subject more ‘humanistic’ so that students feel that it makes good sense to spend time on it, mathematics is best studied along with its influence to and 12 from other human endeavour. Proof, as a characteristic component of the subject, shares the same fate. As a ‘bonus’, in viewing proof in this light we may be able to pick up good suggestions to enhance understanding of specific topics to make the learning of mathematics a more interesting activity. References Alexander, A.R. (2002). Geometrical Landscapes: The Voyages of Discovery and the Trans- formation of Mathematical Practice. Stanford: Stanford University Press. Antonini, S., Mariotti, M.A. (2008). Indirect proof: what is specific of this mode of proving? this issue of Zentralblatt für Didaktik der Mathematik. Bacon, F. (1620/2000). The New Organon (edited by L. Jardine, M. Silverthorne). Cam- bridge: Cambridge University Press. Calinger, R. (Ed.) (1982/1995). Classics of Mathematics. Oak Park: Moore Publ.; reprinted, Englewood: Prentice Hall. Chemla, K. (1996). Relations between procedure and demonstration. In H.N. Jahnke et al (Eds.), History of Mathematics and Education: Ideas and Experiences (pp. 69-112). Göttingen: Vandenhoeck & Ruprecht. Chemla, K. (1997). What is at stake in mathematical proofs from third century China? Science in Context, 10(2), 227-251. Davis, P.J. (2006). Mathematics and Common Sense: A Case of Creative Tension. Wellesley: A.K. Peters. Davis, P.J., Hersh, R. (1980). The Mathematical Experience. Boston-Basel-Stuttgart: Birkhäuser. Descartes, R. (1637/1968). Discourse on Method and the Meditations (translated by F.E. Sutcliffe). Harmondsworth: Penguin. Feng [Fung], Y.L. (1948). A Short History of Chinese Philosophy (edited by D. Bodde). New York: Macmillan. Grabiner, J.V. (1988). The centrality of mathematics in the history of western thought, Math. Magazine, 61, 220-230. Hanna, G. (1983). Rigorous Proof in Mathematics Education. Toronto: OISE Press. 13 Hanna, G. (2000). Proof and its classroom role: A survey. In M.J. Saraiva et al (Eds.), Proceedings of Conference en el IX Encontro de Investigaçao en Educaçao Matematica (pp. 75-104). Funado. Hardy, G.H. (1940). A Mathematician’s Apology. Cambridge: Cambridge University Press. Horng, W.S. (1982). A period that paid attention to proof: Science and technology in the Wei-Jin and Southern-Northern Dynasties [in Chinese]. In W.S. Horng (Ed.), Zhongguo Wenhua Xinlun (New Essays on Chinese Culture), vol. 12 (Science and Technology) (pp. 105-163). Taipei: Lian Jing Publ.. Joseph, G.G. (1991/1994/2000). The Crest of the Peacock: The Non-European Roots of Mathematics. London: Tauris; reprinted, London: Penguin; reprinted, Princeton: Princeton University Press. Kline, M. (1977). Why the Professor Can’t Teach? New York: St. Martin Press. Lakatos, I. (1976). Proofs and Refutations. Cambridge: Cambridge University Press. Mancosu, P. (1996). Philosophy of Mathematics and Mathematical Practice in the Seven- teenth Century. Oxford: Oxford University Press. Needham, J. (1959). Science and Civilization in China, Volume 3. Cambridge: Cambridge University Press. Rav, Y. (1999). Why do we prove theorems? Philosophia Mathematica, (3)7, 5-41. Shen, K.S. (1997). The Nine Chapters on the Mathematical Art: Companion & Commentary [in Chinese]. Wuhan: Hubei Educational Press (English translation by K.S. Shen, J.N. Crossley, A.W.C. Lun, Oxford University Press, 1999). Siu, M.K. (1990/2007/2008). Mathematical Proofs [in Chinese]. Nanjing: Jiangsu Educa- tional Press; corrected edition, Taipei: Chiu Chang Publishing; Dalian: Dalian University of Technology Press. Siu, M.K. (1993). Proof and pedagogy in ancient China: Examples from Liu Hui’s Com- mentary on Jiu Zhang Suan Shu, Educational Studies in Mathematics, 24, 345-357. Siu, M.K. (1995/1996). Success and failure of Xu Guang-qi: Response to the first dissemina- tion of European science in Ming China, Studies in History of Medicine & Science, 15(1-2), New Series, 137-179. Siu, M.K. (2006). “No, I don’t use history of mathematics in my class. Why?. In F. Fur- inghetti et al (Eds.). Proceedings of HPM2004 & ESU4, July 2004 (pp. 268-277). Uppsala: Uppsala Universitet. 14 Siu, M.K. (2007). Mr. Ou [Euclid] in China for four hundred years [in Chinese], Science & Culture Review, 4(6), 12-30. Volkov, A. (1996a). Science and Daoism: An introduction, Taiwanese Journal for Philosophy and History of Science, 5(1), 1-58. Volkov, A. (1996b). The mathematical work of Zhao You-qin: Remote surveying and the computation of π, Taiwanese Journal for Philosophy and History of Science, 5(1), 129-189. Wagner, D.B. (1978). Liu Hui and Tsu Keng-Chih on the volume of a sphere, Chinese Science, 3, 59-79. Wagner, D.B. (1979). An early Chinese derivation of the volume of a pyramid: Liu Hui, third century AD, Historia Mathematica, 6, 164-188. Wilder, R. (1968/1978). Evolution of Mathematical Concepts. New York: Wiley; reprinted, Milton Keynes: Open University Press. Yu, Y.S. (1987). Shi (Intellectual Class) and Chinese Culture [in Chinese]. Shanghai: Shang- hai People’s Press. http://fcis.oise.utoronto.ca/∼ghanna/ (website on proof maintained by G. Hanna) http://www.lettredelapreuve.it (website on proof maintained by M.A. Mariotti) 15 
work_jyyz6qqvxrbpzpa6rimdhf4tcu	----	www.jsser.org Journal of Social Studies Education Research Sosyal Bilgiler Eğitimi Araştırmaları Dergisi 2019:10 (4), 26-57 26 Preservice teachers’ perceptions and preparedness to teach for global mindedness and social justice using collaboration, critical thinking, creativity and communication (4cs) Lydiah Nganga1 Abstract The present study examined preservice teachers’ (N=47) perceptions and preparedness to teach for global mindedness and social justice. A phenomenological approach helped the researcher to gain deeper understanding of participants’ perceptions of the effectiveness of instructional practices used in a social studies methods course. Of particular interest were instructional practices that preservice teachers perceived as promoting 4Cs. Data collected from discussions, in-class written reflections and feedback from open-ended questions showed that although learners were initially uncomfortable exploring global and social justice issues, they eventually gained essential multiple perspectives. Consequently, this study affirms the importance of using 4Cs in teacher education programs to teach essential knowledge and skills in global mindedness and social justice. Key Words: Global mindedness, preservice teachers, teacher education, social studies, social justice, 4Cs. Introduction Globalization or the world interconnectedness in economic, political, cultural and social systems is an old phenomenon. What is unique in contemporary globalization, however, is the use of modern technologies that have transformed the world into a "village" (Nganga & Kambutu, 2015). Because advances in technology have virtually eliminated the physical and cultural barriers that previously hindered global interactions, people of different cultural backgrounds are now interacting physically and virtually at rates and speeds never imagined, thus turning the world into a place of increased interactions, interdependence and interconnection (Wiarda, 2007). Faced with this reality, people need to master skills in intercultural communications. Regrettably, colleges in the U.S. are typically ill prepared to teach for cultural pluralism and complexities such as racial, ethnic, and linguistic differences (Bittman & Russell, 2016; Landorf, Rocco & Nevin, 2007). As a result, it is necessary to explore not only the knowledge and skills 1 Prof Dr. University of Wyoming, Laramie Wyoming, USA, email: Lnganga@uwyo.edu mailto:Lnganga@uwyo.edu Journal of Social Studies Education Research 2019: 10 (4), 26-57 needed to effectively navigate global issues, but to also examine best ways to teach for global mindedness and social justice. Teaching for global mindedness and social justice has multiple dimensions. For example, while learning about global competencies such as information, skills, and cultural attitudes (McCabe,1997) is essential, an education for social justice is necessary because it examines, disrupts and replaces existing unjust and oppressive societal structures (Sleeter & Grant, 2009). Essentially, an education for social justice is learning that supports and promotes basic human rights and dignity (Banks, 2001). Thus, it embraces multiple perspectives. Bleicher and Kirkwood-Tucker (2004) were especially in favor of an education for social justice because it helps learners to understand and appreciate multiple perspectives especially in the context of diversity appreciation. Combined, education for global mindedness and social justice promotes intellectual curiosity that transcends national and cultural borders (Merryfield, 1997; Nganga, 2016). Such an education can be implemented while using a variety of instructional practices. An array of instructional practices, both teacher and learner-centered can promote the acquisition of knowledge and skills essential to global mindedness and social justice. Learner- centered instruction focuses on “learner's needs” as well as “conditions for learner development” (Kolman, Roegman, & Goodwin, 2017, p. 94). In a learner-centered environment, the teacher draws on students’ experiences in order to develop curricula that foster individual growth (Dewey, 1938; 1956; Schiro, 2013; Vygotsky, 1978). Notwithstanding the benefits inherent in curricula for growth, teacher education programs in the U.S. rarely implement learning for multiple perspectives in areas of global mindedness and social justice (Yeung, 2015). Equally problematic is the current lack of data that examine pre-service teachers’ perceptions about the need to acquire knowledge and skills essential to global mindedness and social justice in social studies classrooms. Therefore, I (researcher) designed this study to address this problem. Specifically, I was interested in examining preservice teachers’ level of preparedness to teach for global mindedness and social justice using collaboration, critical thinking, creativity and communication (4Cs) skills as recommended by the National Council Social Studies framework (NCSS, 2013). Literature Review and Theoretical Framework Modern globalization is affecting human interactions in multiple ways. As a result, institutions of learning have a responsibility to teach knowledge and skills essential to global mindedness and Nganga social justice. And while there is a whole breadth of such knowledge and skills, I argue in support of an education that helps learners to understand and appreciate current global cultural interconnectedness and interdependence because what happens in one community is affecting distant groups. Therefore, an education for global mindedness and social justice should focus on helping learners to develop understandings of the existing interdependence among nations (Banks, 2001). As a result, I argue that such an education could be implemented through the use of critical thinking, creativity, communication and collaboration (4Cs). Using the 4Cs as a framework in social studies The National Council for Social Studies (NCSS) framework for 21st century learning describes the 4Cs as “essential skills for success in today’s world,” (Partnership for 21st Century Skills, 2009, np.). Consequently, the National Education Association (NEA, n.d) recommended that educators complement all content areas with “the “Four Cs” in order to prepare young people for citizenship and the global workforce.” NCSS framework is especially supportive of teaching and learning based on the 4Cs because it helps students to develop deeper understanding and appreciation of pertinent knowledge and skills. A brief description of each of the 4Cs is provided below. Creativity is an essential skill to develop because it eases the process of managing the complexities of globalization and social justice. While there are different views about creativity, Beghetto (2006) described it as “the ability to offer new perspectives, generate novel and meaningful ideas, raise new questions, and come up with solutions to ill-defined problems” (p. 1). When using creativity as an instructional practice, an educator could encourage discourse that permits students to speculate, say for example, about “a connection made between a historical event and a theme of a highly popular futuristic video game” (Beghetto, 2006, p. 1). To Beghetto, creativity is not necessarily about accuracy and relevancy. Rather, it entails allowing learners the freedom to make mistakes while thinking freely and divergently. In essence, then, creativity is a preferred teaching and learning approach because it supports learning that permits students to make their own meaning, and in doing so, new knowledge is constructed (Urbani,et al., 2017). Notwithstanding the importance of creativity, it is seldom implemented because of the current emphasis on standardized and test-based education (Kampylis, Berki & Saariluoma, 2009). Journal of Social Studies Education Research 2019: 10 (4), 26-57 Similar to creativity, critical thinking is understood in multiple ways. For example, Paul (1988) viewed it as the ability to reach sound conclusions based on observed information. But to other scholars, critical thinking is simply the ability to assess the authenticity, accuracy and worth of knowledge claims in order to make informed decisions (Beyer, 1983; Iskandar, 2009; Lafer, 2014; Walters, 1989). Ennis (1987) and Norris (1985a) pointed to the need for reflective thought as a way to foster deeper observation, examination and judgment of situations. In doing so, learners are able to develop informed alternatives. Hager and Kaye (1992) favored critical thinking because it equips learners with essential problem-solving skills; an essential disposition relative to addressing global and social justice issues. Therefore, an education that promotes critical thinking helps learners to achieve deeper understanding. Consequently, Hager and Kaye (1992) recommended critical thinking education to be used in every classroom, along with communicative and collaborative learning activities. Having effective collaborative and communication skills is essential in the current reality of cultural interconnection and interdependence. Mastery of effective communication and collaborative skills enables people to explain their thinking, beliefs, and expectations clearly. To that end, Lawley, Moore and Smajic (2014) highlighted the important roles that communication and collaboration plays in the process of building an ideal work place. So, in the current age of globalization that is characterized by constant mixing and interactions of people of different cultures, all educators should help their students develop essential communication and collaborative skills by creating space and opportunities for their students to practice interpersonal communication and collaboration skills (Liliane & Colette, 2009). Generally, student-centered instructional practices such as discussions, problem/project-based learning and a myriad of cooperative teaching strategies such as think-pair share, jigsaw, student team’s achievement divisions, mix-pair-share and all-write-consensus (Arends, 2015) are known to enhance communication and collaboration skills. Because acquiring these essential skills is important for global mindedness and social justice, pertinent learning outcomes should be incorporated in social studies courses in teacher education programs. Further, instruction based on 4Cs would be most beneficial especially when it creates space to model for preservice teachers how to teach pertinent knowledge and skills. Nganga Context of study Using purposive sampling (Bernard & Ryan, 2010), the researcher invited three cohorts (n= 47) of preservice teachers to participate in this study that was situated in a rural university in the Rocky Mountain region of the U.S. The researcher was professor-on-record for all three cohorts taught during three different semesters. All participants except one learner were female, and were all enrolled in a social studies methods course that ranged in class sizes from 12 to 20 students. Among other goals, the course examined instructional methods and materials used to teach social studies education. Also, it focused on developing social studies units that were original, meaningful, and engaging to both teachers and their students. To teach to these instructional goals, the researcher used inquiry process (Dewey, 1933; Zarrillo, 2004), classroom discussions (Duplass, 2008), role-play and mock trials (Bloom, 1997), and threaded discussions. The following is a brief analysis of the value of each of these instructional strategies: Inquiry process- In considering the benefits of inquiry process, Zarrillo (2004) identified its focus on a problem/s that is/are identified either by students or teachers as critical to informative learning. To develop solutions, Zarrillo recommended formulation of hypotheses, followed by gathering and analyzing data. Dewey (1933) had a similar approach in his recommendation for reflective thought. Adhering to Zarillo’s (2004) recommendations, the researcher developed and used during instruction a graphic organizer (see figure 1) that focused on the intersection between Columbus and Native people in the U.S. Hypothesis: ___________________________ Problem/s Causes Effect/s Solution A. B. C. ____________________________________________________________ Overall solution____________________________ Figure 1: Christopher Columbus versus Indigenous People Classroom discussions- I structured small and large group classroom discussions around cooperative learning activities. First, I randomly divided preservice teachers into groups of four. But to allow the participants an opportunity to collaborate with different students during the Journal of Social Studies Education Research 2019: 10 (4), 26-57 semester, I regularly changed group membership. Additionally, I ensured positive interdependence through assigned roles, and promoted individual accountability (Duplass, 2008). In terms of social skills, I expected effective communication during all group learning activities (NCSS, 2016). Then, I circulated among different groups during discussions to assess learning, take notes and ask questions that clarified learners’ thinking and assertions (Duplass, 2008). Among many learning activities, one of the assigned small group project required preservice teachers to develop a collaborative unit on a randomly selected foreign nation. The first step in this unit required a research study of a randomly selected foreign nation before writing a comparative paper that addressed the similarities and differences between the studied nation and the U.S. in areas of culture, education and global resources (see appendix 1). The study of a foreign nation unit was grounded on NCSS (2010, p, 68) standards that required the integration of topics that “focus on specific cultures or nations … as a means of introducing students to the geography, history, economic relationships, and cultures of other countries”. Instructional topics with a global focus are especially relevant to social studies curriculum because they help learners to gain knowledge of world cultures, and understand the historical, geographic, economic, political, cultural, and environment relationships among world regions and peoples (NCSS, 2010, p. 58-59). To culminate this learning activity, preservice teachers prepared informative presentations, and selected and evaluated children’s books related to their unit of study for different types of bias (see appendix 3). Role-plays and mock trials- Role-play is a popular instructional approach in elementary education social studies courses because it utilizes both cognitive and affective domains (Duplass, 2008). Duplass postulated that learners are likely to develop objective solutions to a problem when they possess deeper cognitive understanding of it (problem), while also identifying with the problem and solution on personal levels (affective process). In addition, role-plays and mock trials give learners opportunities to dialogue in order to develop objective solutions to identified problems (Bloom, 1997; Schwartz, 2010). Given the aforementioned benefits, I developed and used two role-plays and mock trial units that included a trial of Christopher Columbus by indigenous peoples (appropriate for 4th and 5th grades) and a role-play that enacted the Montgomery Bus Boycott promoted by Rosa Parks’ refusal to give up her seat in a bus during segregated times in the U.S. (appropriate for 1st through 5th grade). To prepare students for role-plays, I used Duplass (2008, p. 339) recommendations as follows: a) Start with Nganga an introduction explaining the task and goals of the lesson, b) Prepare role-plays by explaining roles and responsibilities, c) Keep all students focused while role-playing is taking place, and d) Allow students to share ideas and relate the reenactment to their own lives. As a result, I required preservice teachers to prepare for mock trials and role-plays by conducting comprehensive reviews of pertinent literature using primary sources. For Columbus trial, I divided the participants into two sides- one side supported Columbus’ actions while the other defended the plights of Indigenous People (during trial, learners served either as judges, prosecutors, defense lawyers, witnesses for prosecution, witnesses for defendant, bailiffs and/or jury (Bloom, 1997). As a result of this learning activity, participants expressed shock after learning for the first time the atrocities committed against Native people by Columbus and his men. The second role-play involved an enactment of the Montgomery Bus Boycott that was sparked by Rosa Parks’ refusal to give up a seat in a bus for a white person at a time in history when buses were segregated in the U.S. This role-play is appropriate for 1st through 5rd grades (but content and children’s books should be assessed for appropriateness). Before commencing the role-play, preservice teachers read the book; “Walking for freedom: The Montgomery Bus boycott” by Richard Kelso (2001). Additionally, they watched the following two videos: a) Rosa Parks and the Montgomery bus boycott by (n.d), and b.) The Montgomery Bus Boycott by (n.d). Then, using Shapiro and Leopold (2012) recommendations, I designed the following rubric that helped participants organize their ideas: a) Topic of the role-play should be intellectually rigorous and relevant to participants, b) Role-play activity should invoke higher order thinking skills such as analysis, synthesis and evaluation, and c) Role-play should invite divergent perspectives. After accessing essential background information, participants organized a town-hall meeting as part of role-play. While some students acted as supporters of the bus boycott, others played opposition roles. During role-play, I expected all my preservice teachers to use essential critical thinking skills, collaboration, communication and creativity (4Cs). In addition, I invited observers from the African American community because of their lived experiences with unequal and unjust treatment in U.S. based on race. As a result of this role-play, participants developed strategies to fight for justice for all people. Additionally, this learning activity enabled participants to understand the events leading to the bus boycott, thus allowing them to see that Journal of Social Studies Education Research 2019: 10 (4), 26-57 Rosa Parks did not act alone. Rather, other unrecognized heroes of the Civil Rights Movement in the U.S. participated. Finally, this role-play provided ideal learning space for learners to explore multiple perspectives, and in doing so, they developed informed autonomous choices and solutions to a potentially controversial social justice issue. Threaded Discussions-Weekly online threaded discussions extended classroom discussions on various selected key topics. After posting discussion questions/prompts/topics (see appendix 2), I expected all preservice teachers to respond to my prompts within a week, and to also respond to a minimum of two responses from their peers. Threaded discussions created a “safe” place for learners to share thoughts that they could not contribute freely during face-to-face classroom discussions. Therefore, as I read my students’ responses, I clarified misconceptions, assumptions, questions and viewpoints. Additionally, I intentionally scrutinized learner acquisition of knowledge and skills essential to global mindedness and social justice from a 4Cs framework. Methods Data collection This study used a phenomenological-interpretative framework to explore the perceptions of preservice teachers relative to teaching for global mindedness and social justice in social studies. Phenomenological studies require total researcher participation in the studied phenomenon. Therefore, the researcher served as a participant and observer (Moustakas, 1994). Also, because phenomenological studies are interested in how people perceive and talk about objects and events (Moustakas,1994; Taylor,1985), the researcher used open-ended questions/prompts to encourage participants to share details regarding their learning experiences and perceptions of applied instructional approaches (Giorgi, 2012). Specifically, the researcher explored the effectiveness of the instructional practices used in a social studies method course that the participants were enrolled in. In particular, the researcher examined the effectiveness of using collaboration, critical thinking, creativity and communication (4Cs) in helping preservice teachers develop knowledge and skills critical to understanding and appreciating global mindedness and social justice (NCSS, 2016). Finally, the researcher applied Ryan, Heineke & Steindam’s (2014) recommendation for teacher educators to document their instructional approaches in order to support other teacher educators. As a result, the researcher designed this Nganga study to enrich the existing literature by illuminating the perspectives of preservice teachers relative to teaching for global social justice using the 4Cs framework. The researcher collected data from small and large group classroom discussions, written reflections, online discussions and role-play activities. A pre and post assessment for a unit on the study of a foreign nation (see appendix 2) provided additional essential data regarding participants’ misconceptions (see appendix 1). The following two research questions guided the study: a) What instructional practices do preservice teachers perceive as important while developing global mindedness and social justice perspectives? and b) What instructional practices promote the use of 4Cs in teacher education? To help document the effectiveness of the instructional strategies used, participants responded to the following prompts at the end of the semester. 1. At the beginning of semester, how comfortable were you teaching issues of global mindedness and social justice? 2. As the semester progressed, what changes did you experience in your level of comfort? 3. At the end of semester:  Describe your experiences with instructional strategies used in this course in relation to teaching for global mindedness and social justice issues  What instructional strategies were most helpful to you and why?  What were your experiences with collaboration, critical thinking, creativity and communication (4Cs) in relation to teaching global and social justice issues?  Explain which of the 4Cs you might use in your future classroom to teach global mindedness and social justice issues. Analysis Data were analyzed qualitatively (Bogdan & Bilken, 1982). Also, I applied interpretative phenomenological approach to identify patterns and themes within data (Moustakas, 1994). To Braun and Clarke (2006) a thematic analysis is critical because it helps to organize and describe data in a detailed manner. After coding and studying data carefully, several minor themes immerged that I then juxtaposed and melded into the following five themes: a) Importance of teaching about other cultures, b) Studying a foreign nation, c) Exploring multiple perspectives, d) Instructional strategies that promote 4Cs, and e) Teaching global citizenship from a social justice perspective. A detailed analysis of each of these themes is discussed in the results section. Journal of Social Studies Education Research 2019: 10 (4), 26-57 Validity and reliability To decrease the chance of participants responding in ways that they thought were desirable to me, I informed them that I was interested in personal perspectives based on their experiences and understandings as preservice teachers. Using Patton’s (2002) guidance for studies involving purposeful sampling, I established clear study boundaries, explained the purpose and nature of the study, promised confidentiality, and assured the participants that their participation or lack thereof would not affect their academic grades in the course whatsoever. Additionally, I assured participants that they were fully entitled to their opinions. Thus, I encouraged them to be open-minded and receptive during classroom and online threaded discussions. To Barak and Levenberg (2016) an open-minded student learns from other students, is fully involved during teamwork, is receptive to multiple perspectives, and is able to handle conflict proactively. All participant conducted member check to ascertain valid representation of their perspectives. Results Importance of teaching about other cultures: Studying a foreign nation Data showed that the participants in this study developed an appreciation for comparative cultural studies. Specifically, they favored studying a foreign nation and comparing what they learned with what they already knew about the United States. Because of this learning activity, learners reported a deeper understanding of the commonalities between nations as well as differences. Additionally, after completing a unit on a foreign nation and presenting it to peers, participants reported that the new knowledge helped to clarify existing misconceptions about other nations as is evident in the following feedback from one participant: “During presentations, I was surprised to learn that even though the U.S is a developed nation, we are behind in education and healthcare when compared to other developed nations, let alone some developing nations.” Perhaps because of this new knowledge, the participants showed an interest in learning more about global and social justice matters. Data showed that at the start of semester, participants were generally uninterested in global and social justice issues. Instead, a majority of participants not only expressed limited knowledge of global education and social justice issues, but they also were less interested in engaging in pertinent topics, and when they did, they did so from limited and simplistic knowledge levels. Nganga For example, when discussing issues of nations from which immigrant came from, participants tended to blame the affected groups. The following quote shares this viewpoint: I think we should not let Syrian refugees into the USA because we have not seen positive things from them. When you do not see positive things it is kind of hard to trust them. Also, I think most of people who want to come from such places are moving away from poverty and therefore are poor and will depend on our (US) government if they come over here taking from taxpayers. Most governments where these immigrants come from are to blame for chaos and poor conditions. What was evident in the simplistic responses was a lack of critical understanding of the dynamics involved that lead to poverty and “chaos” such as the link between poverty and experiences with colonization/neocolonialism, natural calamities, and marginalization in political, economic, and military activities (Sleeter, 2003). What were equally baffling were participants’ ideas about possible solutions to issues of poverty. Equally evident is a leaning towards ethnocentrism (Bennett, 2004). By the end of the semester, however, summative data gathered from the unit on a foreign nation suggested that most of the participants had developed a better understanding and appreciation of global issues, especially in terms of the existing disparities in global resources as well as contributing factors (see appendix 1 and 2). Consequently, participants were able to see the existing global interconnections and interdependencies relative to problems of social justice. The following scripts from an online discussion demonstrate a change in thinking: Students need to understand that their actions and those of people in their community or country impact the lives of people on a global scale and vice versa. One way that students can gain a better understanding of the concept of interdependence is by learning about students can learn how our economy is affected by the global economy and how our economy affects the global economy. While learning about global economies, students would also need to learn about geography so that they could connect the information about various economies with their corresponding global locations. I liked the activity we did in class on global resources. It made me think about how some nations have so much, yet others have so little. Yet, we compare these nations as if they were the same. Journal of Social Studies Education Research 2019: 10 (4), 26-57 Well, I knew the US has many resources compared to other parts of the world, but I was not sure to what extent. I mean there is so much we need to learn as teachers. I like how you spoke about using the classroom as a base to teach about global citizenship. I think it is easy for students to overlook a connection to an individual from outside the US, but by using something they know and modeling good relationships with one another we are learning to become better global citizens. I liked the treaty writing simulation. My group took a current global issue, discussed it and then developed a treaty/solution to the issue. Other reflections showed that studying a nation that was culturally different than the United States helped participants to get a better understanding of other cultures as well as remove misconceptions that they previously held as is evident in the following quote. Doing my research and learning about China was intriguing. Although I knew they have a large population, I did not know by how much- 1.4 billion people compared to US 320 million is a big difference. I also learned how China is committed to education and has more university students than the US and Europe combined. China is also one of the largest world economies. A misconception I had was that being a communist nation, they do not practice a market economy. When we hear of Communist China in the news, we are not told the US has many companies in China. At least I did not know they did. I also learned that China has many ethnic minorities. That was an interesting fact. Shocking though was learning about social injustice for migrant workers. In one website they stated that “Migrant workers endure long working days, work seven days a week, many without an employment contract and face constant discrimination.” This made me think about migrant workers in the US and those labeled as illegal migrants and long hours that they work. I think we need to teach student some of the things we never see on text books as they are important for them to become well informed. In our state we get migrant workers in the farming communities. The above findings suggested that preservice teachers perceived the study of topics that infused learning about other nations as critical to developing better understanding of global issues, as well as helping leaners to see connections in global problems such as those related to immigrants and their treatment. To participants, then, teaching about such topics is helpful because they might not be included in textbooks. Consequently, data showed that after experiencing learning Nganga for global and social justice perspective, the preservice teachers in this study were ready to explore global topics, and develop and implement-teaching units that could help their students understand and appreciate other cultures. To capture this apparent transformation, a participant responded: I came into this course without any knowledge of what global education meant or any idea of how similar nations are. I have now learned how interconnected and interdependent all nations are. To help students understand that they are global citizens they first need to experience a caring environment. Students need to be cared about in order to show that care to others. They also need a chance to make decisions and be part of an active pro-social behavior that is they need to know what it means to be giving, helping and sharing for harmonious group relations. Students can become global citizens by becoming knowledgeable about other parts of the world. They can research problems to better understand other countries and they can also pen-pal other students from different walks of life. Students need to "see" others' ways of living and know what it means to have empathy so that they are globally connected to one another. In conclusion, the study of a foreign nation (see appendix 1) enabled preservice teachers to gain knowledge and skills that are critical to teaching for global and social justice issues. As a result, participants deemed topics that explored similarities and differences between nations as important in that endeavor. Exploring multiple perspectives Data showed that the use of role-play, as well as discussions and reflections around role-playing helped the participants to explore, analyze and evaluate evidence in different scenarios that were presented during the study of global and social justice issues. For example, in the study of Christopher Columbus, a role-play that considered both the explorers and Native Americans’ perspectives enabled participants to learn and think critically about how likely it is for information sources to shape purpose and meaning. When addressing role-play learning activities, all participants argued that these activities helped them link ideas as well as structure argument and counter-arguments; all skills that helped them to recognize incongruences in topics that they explored. The following selected reflections address this important finding: The most important information I gained from this discussion was the truth about Christopher Columbus. In elementary school, I learned about Columbus from a positive Journal of Social Studies Education Research 2019: 10 (4), 26-57 view. I didn’t learn about the malicious crimes he committed, but rather that he was an explorer who found “new land” for the Spanish. Truthfully, Columbus arrived at this “new land” and tortured the natives, or those he called “Indians”. He was ignorant towards the many people who lived here first, and claimed the land as his own, giving him wealth and power. The mock trial was very helpful. I think having the instructor assign random roles was good because we had to think of how to act like that role/character and come up with supportive ideas, arguments and counter arguments. Being one of Columbus men, I had to research his journals and those of his men and then put myself in that role. Supporting Columbus was difficult after hearing what the other side – Native Americans had to say about his atrocities against them. I was amazed to learn that Native Americans for the most part took care of people who then turned around and persecuted them. Evident in the above reflections is the potential benefit of using critical thinking education and collaborative discussions as teaching practices. As these participants responded to the online discussions, for example, they not only thought critically about the knowledge gained about Columbus, but they also benefited from the multiple perspectives that each student shared regarding different topics. In the presence of multiple perspectives, learners are able to develop a fuller and more comprehensive view of history. Learners are then likely to personalize the knowledge gained and apply it in the process of constructing new meanings (Brookfield, 1986; Okukawa, 2008). Addressing the significance of accessing multiple perspectives in order to make learning personal and meaningful, two participants in this study stated that: Everyone has a different background and different experiences, and even when presented with the same stimuli, will think about different things. People will come up with an idea you've never thought of, or help add on to an idea that you bring up. People with more or less experience can give advice and ask questions. Additionally, if the way you see something is confusing, someone else might be able to explain it to you in a better way for your understanding. I think students should be given the opportunity to learn different things and to share ideas freely. By giving us time to discuss our perspectives on different topics I learned ways in which I could implement similar topics in my future Nganga classes. I liked the roleplay activity a lot. It is something that students would really get to enjoy doing in such a constructive environment. Healthy argument is good for students and will provide them with practice on their critical thinking skills. It is important to have students know that global citizenship is not global allegiance as we need to have our own set of moral laws and values first, guiding us to follow the laws in place by government. Global citizenship is about being aware of local and global issues and how they are interconnected. For example, we could look at real world problems such as poverty and how that connects with the U.S. The U.S. has so much wealth and sometimes a lot goes to waste. Looking at how much wasted food we have and how we have millions going without food around the nation and the world can help students see why we need to be less wasteful as global citizens. In summary, the above findings point to the need of providing learning opportunities that support using multiple perspectives in teacher education programs. A majority of the preservice teachers in this study reported that instruction that promotes multiple perspectives nurtures healthy discussions, and promotes understanding of views that may contradict one’s own viewpoints. According to UNESCO (2012), “Multiple-perspective analysis helps students to understand the points of view of others who live in their community or across the world” (p. 6). This findings support these views. Instructional strategies that promote the 4Cs When asked to identify the instructional practices that helped the participants the most in practicing the 4Cs, they indicated that role-playing, writing reflections (online and in-classroom), small group collaborative activities, and in-classroom discussions were most helpful. On role playing, one student reported that it was a: Challenge because it required us to develop, implement and communicate our ideas to others. We also had to make sure each group member had a part in the roleplay. We needed to collaborate and be creative. Other findings showed that role-playing helped participants think about activities that they might do in their future classroom. This finding is evident in the following script. Journal of Social Studies Education Research 2019: 10 (4), 26-57 I think a good lesson for a fifth grade class could involve a mock debate, similar to what we did in class. A question for debate could relate to current events, global event, past events in the United States, or even issues occurring in the classroom. This lesson would require objectivity, open-mindedness, flexibility, intellectual honesty, and respect for other viewpoints. Students could investigate open ended questions or questions that have a valid answer that they are unaware of. This would be good for this grade level because students are old enough to discuss topics, as well as research what they are unknowledgeable about. The teacher can assign roles in the debate. Group learning activities were equally identified as helpful in promoting collaboration, communication, creativity, and critical thinking (4Cs). Data showed that role-play and discussions assisted participants in developing all 4Cs. Reflecting on the benefits of discussions, two pre-service teachers provided the following illustrations: In-class discussions in small groups were very helpful, in terms of understanding children’s literature. It was great to see so many perspectives – especially ones we may not have considered initially. It was also good to talk with peers about future classroom plans and ways of integrating diverse pieces as it really widens our own personal idea capacity and sparks even more ideas of things we can do with our future classes in terms of teaching diversity. As a white, female preservice teacher in the US, I am in the majority. Therefore, I don’t come from the same background(s) in which s some of my students might come from. However, I want to really reach out to each and every student and provide equal learning opportunity in the classroom. Knowing how to review books will help me select anti-biased materials in my class. That is why I found discussions with peers on this topic to be very helpful. Online discussions were great because they encouraged us to communicate in more details than we would in class discussions. We also responded to other people’s post. It was a great way to share our thoughts. Another thing was how these posts helped us to reflect on our individual ideas on topics that we worked in collaboration. It was interesting for example to see when we did the study of a foreign nation in small groups, but did individualized reflections on how we could use the information, people had different ideas. This greatly helped to learn about new ideas and thoughts. Nganga Equally helpful in the process of developing 4Cs were creative projects such as critical viewing of class videos and selection of class materials. Reflecting on the benefits of critical viewing of class videos and selection of class materials, participants reported lack of prior knowledge on how to critically view and select materials using a social justice lens (see appendix 3 for criteria used to assess children’s books). For example, when asked what considerations they would make when selecting children’s movies, the number one consideration was “the movie should be fun.” None of the participants indicated that one should look for bias. After taking part in discussions and activities on selecting anti-bias learning materials, participants reported noting bias in books and videos that previously looked appropriate to use. As a result, one participant responded thusly: The use of video/movies and providing a critical analysis as to why certain movies/video were helpful or not helpful to teaching about a certain issue was helpful. I never thought about evaluating a movie. When I watched Mulan, for example before this class, I did not think about gender issues. It was just a fun movie. But when we were taught how to look at information using a critical lens, I watched the movie. I started noticing little things that I had not seen before. Why was Mulan seen as not fit to go to fight to represent her family? Why was bringing a man home important? These were things that were showing that females might not be as good as men in war or their place was to get married. After acquiring essential evaluative skills, a different participant took the risk to evaluate “Freedom Writers,” a movie in which a teacher inspires her student in planning their future. Reflecting on her position relative to using this movie, this participant reported that: This is one of my favorite movies. Students would be able to see that not all students are treated the same or have the same opportunities as others. Students will learn about different environments in which there is shortage of supplies and resources in schools. Along with this, students can see that if you believe in something, you need to fight for what you think is right; like the teacher did in the movie. I would use this in a 4th or 5th grade classroom. Reflecting on the value of creative activities such as role-playing and reviewing teaching movies and videos, a participant reported that role-playing was “new to me. It was such fun and I learned a lot. It showed me how to be creative and how I can help my students learn though such a fun activity.” For other participants, the use of town hall meetings and mock trials were creative Journal of Social Studies Education Research 2019: 10 (4), 26-57 learning activities that they planned to use in their future classrooms to teach about global and social justice issues. Commenting on the value of mock trails, one participant responded thusly after experiencing a mock trial of Christopher Columbus: As a Native American, I am frustrated that there is a holiday to celebrate a man that was so cruel to my people. He came to my land and took it away from my ancestors. He kidnapped them and did horrible things to them. He committed horrendous crimes towards my people and it seems this holiday is a celebration of that. It is time to let people know who Columbus really was. Other findings from participants showed that activities that involved creating global education units during the social studies methods course (study of a foreign nation) promoted development of critical thinking. The following are scripts from pre-service teachers when asked how they would help their learners develop critical thinking for different grade levels: In order to teach intellectual curiosity, open-mindedness, flexibility and respect for other viewpoints I would allow my students to trade papers/presentations/ideas, etc. and have a partner assess them upon a checklist. I believe this could take students out of their comfort zones to take in others’ ideas critically by providing one another with feedback. I think this type of activity could be done in the intermediate grades. I think it is important for students to reflect upon one another and I cannot think of a better idea to take in new ideas by being flexible and open-minded than by reviewing others work and providing feedback to support their ideas. If I were to teach 5th graders a lesson on human rights, I could focus on South Africa and the United States. There are a lot of parallels in what happened to Blacks in South Africa and Blacks in the US. In South Africa, I would focus on apartheid. The considerations that I would have to make when teaching this is how to make it culturally relevant and relatable to my students. This could be done by comparing apartheid in South Africa to the segregation and the Civil Rights Movement within the United States. As students will already have a general understanding of the Civil Rights movement within the U.S., I could conduct a lesson comparing and contrasting the similar topic of apartheid within South Africa. After reading books about each issue from the two countries, each student can then write two journal entries from the point of view of a black person experiencing Nganga segregation in the U.S. during the 1950's-1960's and also of a black person experiencing apartheid in South Africa during the 1940's-1990's in South Africa. A children's book I could read on apartheid would be The Soccer Fence and a children's book we could read on segregation would be One Crazy Summer. These books are about young children and the hardships of growing up during apartheid and segregation. In summary, the above findings suggested that the participants in this study perceived instructional strategies that promoted communication, collaboration, critical thinking and creativity as relevant to teaching for global mindedness and social justice knowledge. Additionally, data showed that different learning activities modeled for participants’ ways to develop and enact learning activities that support 4Cs. As a result, participants are likely to implement similar instructional practices in their future classrooms. Teaching global citizenship from a social justice perspective In terms of teaching practices that helped participants develop essential global and social justice knowledge and skills, data showed that the participants found in-classroom small and large discussions were most helpful. Additionally, critically analysis children’s books and learning materials was very helpful. As a result, they were able to not only discover hidden messages in movies and children’s books that they discussed, but they also developed possible teaching and learning activities. The following selected written reflections address this important finding: Our small group discussion of the movie “Freedom Writers” was helpful. It is a great movie to use to teach global/moral concepts; I wonder if this would be better suited for middle or high school levels students with the emotionally heavy topics? After watching the video “Starting Small”, our group discussed how the video showed that it is never too early to discuss social justice and global issues with children. Watching how one teacher used a “peace corner” for children to go and resolve simple conflicts was amazing. I like how the teacher tied this with resolving national and international conflicts. We discussed some lesson ideas and came up with an activity that we could do with young children that would look at holidays from anti-bias perspective. This would be a good topic for December and January when there are many holidays around the world. We thought identifying common themes in the holidays and discussing why people celebrate or not celebrate holidays would be a good idea. This is something I have never thought about. Journal of Social Studies Education Research 2019: 10 (4), 26-57 During discussions, I liked how the instructor defined common humanness. It was very simple and to the point; students would have an easy time understanding how it was explained (Referring to cultural universals). I also really appreciate that the instructor explained that global citizenship is not global allegiance as having our own set of moral laws and values first, guiding us to follow the laws in place by government. From the above excerpts, it is evident that in-class discussions have value especially when teaching about global mindedness and social justice issues. Discussions and Conclusions The current study examined preservice teachers’ perceptions regarding teaching for global mindedness and social justice. Additionally, the researcher explored the instructional strategies that preservice teachers perceived as helpful in promoting the 4Cs (collaboration, communication, critical thinking and creativity). A theoretical framework of the 4Cs has not been previously used with preservice teachers, thus this study could be useful to other educators in teacher education programs while investigating instructional strategies that promote global mindedness and social justice. As noted elsewhere in his study, modern globalization and increased world interconnectedness and interdependence in economic, political, cultural and social systems present diverse opportunities and challenges. Therefore, educational institutions have a responsibility to help students’ master knowledge and skills critical to functioning effectively in contexts of modern globalization. Mastering knowledge and skills for global mindedness and social justice is especially important, but before educators are able to teach pertinent knowledge and skills, they should first be introduced to such knowledge and skills. Educators thus prepared are likely to teach using a global conscious lens, and to implement instruction for social justice in social studies (Merryfield, 1993; 1997; Merryfield & Subedi, 2001). To that end, findings from this study suggest that teacher educators should include multiple instructional strategies while preparing preservice to teach for global and social justice issues. In addition, data from this study revealed that preservice teachers found incorporation of social studies themes that exposed them to other nations critical to development of multiple perspectives. Equally helpful to participants were instructional strategies that aligned well with competencies and skills essential to development of skills collaboration, communication, critical thinking and creativity (4Cs). After Nganga developing skills in 4Cs, data showed that participants were generally receptive to teaching for multiple perspectives. The ability to accept other people’s views is consistent with Grant and Secada’s (1990) recommendations for an education that promotes understanding and appreciation of societal issues in order to build a more socially just world. This in itself reflects critical thinking skills which according to Kennedy (1991) help learners to be open-minded and considerate of other people. An education for social justice is especially important because it intentionally grapples with questions about causes of societal inequalities (local and global) and solutions to such problems (Cochran- Smith, 2010). An effective education for social justice is grounded on collaboration, communication, critical thinking and creativity (4Cs). Data in this study showed that before the participants experienced learning for social justice that was informed by 4Cs, they blamed the poor for their conditions. However, after experiencing social justice education, they developed a better understanding and appreciation of the problematic nature of systems of inequalities. Thus, they were willing to confront issues of poverty and other social justice problems using objective information. Similarly, other data showed that learning based on 4Cs challenged many misconceptions and preconceived notions about global and social justice issues that the participants held. Thus, they were willing to confront, using a social justice lens, similar issues that their future students could hold. The participants’ readiness to teach for social justice was consistent with Norris (1985b) views that once a learner experiences critical thinking, he/she is likely to “apply everything they already know and feel, to evaluate their own thinking, and especially to change their behavior” (p. 40). It should not be surprising, therefore, that the participants in this study showed evidence that after experiencing the 4Cs, they not only started to examine their thinking about their prior knowledge and positions on global mindedness and social justice issues, but they also were open to developing new perspectives on how to teach such content in their future classrooms. This was an important finding because as Misco and Shiveley (2016) argued, teaching for global mindedness and social justice calls for educators to be open minded, appreciate diversity, and commit fully to critical thinking and social justice. Role-play activities in which students were expected to think creatively and critically were also found to be very helpful during the implementations of the 4Cs. Role-play and problem solving teaching strategies indirectly promote critical thinking dispositions like open mindedness, fair- Journal of Social Studies Education Research 2019: 10 (4), 26-57 mindedness, perseverance and empathy among students” (Rashid & Qaisar, 2017, p. 198). The role-play activities used in this study were developed by participants. As a result, data showed that participants found them relevant and meaningful in helping them understand how to develop role-play activities that they could use in their future classrooms. As a result, data from this study confirm the importance of using instructional strategies and activities that model best instructional practices for pre-service teachers. In summary, data from this study indicate that effective teaching for global mindedness and social justice is likely when collaboration, critical thinking, creativity and communication (4Cs) skills are utilized. Further, data showed that discussions, mock trials, role-plays, and written reflections supported learners’ use of 4Cs. As a result, this study recommends the use of these important teaching strategies especially when instructing for global mindedness and social justice. Nevertheless, the researcher encourages further examination of instructional strategies that advance knowledge and skills for global mindedness and social justice in teacher education programs because after all, educators have the all-important responsibility of preparing learners for full and productive lives. An education that helps future educators to master knowledge and skills essential for global mindedness and social justice is a necessity because it situates them well to prepare their future students for dreams and possibilities in a globalized world. Limitation and Future Research This study was conducted in a teacher education program situated in a rural setting. Therefore, it is highly likely that findings could only apply to similar teacher education programs. As a result, the researcher recommends a more robust study that could be easily generalizable. A second limitation delves into the possibility of response bias. Although the researcher requested participants to provide unbiased responses, it is highly probable that student/teacher power dynamics motivated participants, perhaps unconsciously, to respond in ways that affirmed instructor’s research goals. To mitigate this limitation, a study involving neutral investigators, preferably in collaborative teaching settings is warranted. Finally, this study does not document whether participants implemented in their future classrooms the knowledge and skills they reportedly gained. Therefore, the researcher recommends a longitudinal study that follows pre- service teachers into their classroom in order to investigate and document transferability of the 4Cs skills learned in teacher education programs. Such documentation would be helpful in Nganga making curricular decisions that would positively impact teacher education, particularly in preparing teachers who are globally and social justice minded. Notwithstanding the identified limitations, however, data from this study have motivated the researcher to utilize content and instructional practices that promote collaboration, critical thinking, creativity and communication (4Cs) skills. Evidently, mastering skills in 4Cs is likely to empower future teachers to teach for global mindless and social justice in their future classrooms. References Arends, R. I. (2015). Learning to Teach, 10th edition. New York, NY: McGraw-Hill. Banks, J. (2001). 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The Curriculum Journal, 26 (4), 553-578, DOI: 10.1080/09585176.2015.1053818 Zarrillo, J.J. (2004). Teaching elementary social studies. New Jersey, Pearson. https://www.youtube.com/watch?v=lHFPH79Iaoo http://unesdoc.unesco.org/images/0021/002154/215431E.pdf Journal of Social Studies Education Research 2019: 10 (4), 26-57 Appendix 1 Unit: Study a foreign country Develop a unit about a foreign nation that is randomly selected. Pre-assessment 1. What do you know about your nation? 2. Would you visit that nation? Explain why or why not. 3. What is your understanding of global education and why is it relevant in social studies? Unit guidelines Part 1 a. You are expected to research your country outside of class time and develop a unit. b. Write a 6 pages (double spaced) paper that summarizes your country’s education system, geography, history, culture & economic activities. c. How your country does compares to U.S.A (similarities and differences)? d. Develop two abbreviated lessons/activities that could be taught to 3rd grade and up based on this unit. e. Develop a scoring guide that is appropriate evaluating your activities. Consider the National Council for the Social Studies (NCSS) themes; Culture, individuals, groups, an institutions and global connections (NCSS, 2010). f. Present your activities to your peers and share what similarities and differences you found in your nation of study and the U.S. g. During presentations bring two children’s books (about your country or another country) that you might use when teaching about foreign cultures in your future class for discussions & reflections. Threaded discussion questions: 1. In two paragraphs summarize most important learning from your study of a foreign nation. Explain why these learning were important to you? 2. What are the benefits of including of global cultures and histories in social studies? 3. Respond to two posts with reflective thoughts. Nganga Appendix 2: Post- assessment Threaded discussion 1. What misconceptions did you have at the beginning of the semester about the nation you studied? 2. What views changed after researching and developing a unit on your “nation”? Why? 3. Based on the study of a foreign nation, how did your views change regarding your understanding of global education and its relevance in the social studies? 4. What similarities and differences did you find between the nation you studied and the United States? Journal of Social Studies Education Research 2019: 10 (4), 26-57 Appendix 3 Assessing materials Analyze a children’s or young adults’ book of your choice that has a diversity or global theme. Title of book and author/s: Illustrators if any: Grade level for which your book is appropriate: A short summary of the themes covered in the book: If the book has pictures/illustrations do they- Include representation of diverse populations? Yes No Contain diversity represented within cultural groups? Yes No Include characters depicted realistically and genuinely? Yes No Avoid reinforcing societal stereotypes? Yes No Story, characters and theme Criteria Yes or No Explain Story accurately reflects the values inherent to the culture being depicted The book avoids offensive expressions, negative attitudes, or stereotypical representations Events, situations and objects depicted are historically accurate Book avoids any suggestion that there is a single cause or simple answer to the socio-historical dilemmas Nganga of the culture being represented Promote an understanding of all aspects of our diverse society Represent cultural settings realistically Story acknowledges the diversity of experiences within a particular cultural group Characters are depicted realistically and without stereotypes Include females as well as males in leadership and/or non-traditional roles Represent people from a variety of cultural groups, age ranges and sizes, including some with disabilities Does the book reflect a variety of settings realistically? Journal of Social Studies Education Research 2019: 10 (4), 26-57  urban, suburban and rural a. Would you use this book in your social studies teaching? Explain. b. How would you rate this book on a scale of 1 to 5? Where 1 implies that the book is not appropriate for teaching global and social justice themes, 3 = could use it but it is limited in scope of covering these themes, and 5 = book is very appropriate and addresses several global and social justice themes. Explain your rating: c. On a scale of 1 to 5- rate yourself in regard to how well you feel prepared to teach for global and social justices topics in your future classroom. Where 1 = not at all prepared, 3 = kind of prepared but requires additional preparation and 5= feels well prepared. Explain your rating: 
work_jzlcvflmqjcgzhrrisprkjezvi	----	gifted child today 31 C harles Lindbergh, also known as “Lucky Lindy,” won the Orteig Prize in 1919 for the first non- stop flight across the Atlantic. Canning evolved after Napoleon promised cash prizes to anyone who could work out how to preserve food for his military troops. In 1933, the parking meter was developed after a frustrated newspaper journalist promised a cash prize to anyone who could figure out how to track the length of time a car was in a parking space. The Gossamer Condor, a cyclist-powered plane with a 96-foot wingspan, was developed in 1977 for a winning prize of 50,000 English pounds. These and other stories of scien- tific and technological innovations, whose developers were lured by inducement prizes, are discussed in a 2003 issue of Fortune magazine in which its writers state, “The idea is to tempt geniuses to come up with break- through solutions to thorny problems” (O’Reilly, p. 54). This goal is similar to that of many problem-solving competitions that have been developed for young people by teachers, businesses, scientists, engineers, technolo- gists, and other interested community members. Competitions have long been a cornerstone of gifted and talented education (Riley & Karnes, 1998/99). They provide opportunities for students to compete or perform, while exhibiting, refining, and developing their special abilities and talents. Riley and Karnes state that, for gifted and talented students, competitions “put their talents to the test” (p. 22). Competitions allow students a chance to showcase their special abilities and receive recognition and acknowledgement (Davis & Rimm, 1998; Riley & Karnes). This article describes competitions across a range of curricular areas that develop students’ problem- solving skills by setting authentic, real-world tasks. As individuals or members of a team, students in these competitions are challenged with finding solutions to problems faced not only in today’s scientific and tech- nological world, but also in the worlds of business, education, law, religion, humanities, and society in general. The benefits for students, their teachers, and community, as well as potential drawbacks are dis- cussed. Steps for getting students involved in the selec- tion and participation of competitions are also provided. The Osborn-Parnes Creative Problem Solving model is used as the framework for this article, finding one solution to meeting the needs of gifted and talented students. Problem-Solving Competitions: Just the Solution! by Tracy L. Riley and Frances A. Karnes Problem-Solving Competitions: Just the Solution! 32 fall 2005 • vol 28, no 4 Objective Finding: Qualitative Differentiation One of the goals of gifted and tal- ented education is to provide students with a differentiated educational experience. Qualitatively differenti- ated programs are those that tailor the content, processes, and products of the curriculum to meet individual differences. What students learn, how they learn, and how they demonstrate their learning is reliant upon respon- sive learning environments facilitated by flexible, adaptable, passionate, and excited teachers (Riley, 2005). The content is modified for gifted and talented students, moving beyond the basics to the complex by added breadth and delving below the surface of facts and terms to uncover the underlying meaning or depth (Riley, 2005). Additionally, more intricate details and connections between ideas are emphasized, and this can be achieved by providing opportunities for multidisciplinary and conceptual study (Kaplan, 2001; Roberts & Roberts, 2005; Tomlinson et al., 2002). The content should also be rel- evant and meaningful, simulating the knowledge needed by those profes- sionals who study and work within the disciplines (Maker & Nielson, 1995; Renzulli, Gentry, & Reis, 2003; Tomlinson et al.). For example, Tomlinson et al. distinguish between scholars who complete “expert-like” work and practitioners who work at “expert-levels,” pointing out that gifted and talented students generally require the latter because of its “greater intellectual demand” (p. 31). It is important that process skills not be taught in isolation of a mean- ingful, relevant context (Kaplan, 2001; Karnes & Bean, 2004; Riley, 2005; Seney, 2001). In other words, the process skills of thinking, com- munication, research, and personal understanding must always be embedded in differentiated content and result in differentiated products (Karnes & Bean, 2004). For gifted and talented students, educators should consider the provision of inde- pendent and self-directed learning, yet balance that with recognition of the value of group dynamics, answer- ing the call for opportunities to spend time with like-minded people or intellectual soul mates. Allowances should be made for homogeneous ability grouping of students, particu- larly for academic outcomes that break the glass ceiling that heteroge- neous groups sometimes create (Rogers, 2002). Maker and Nielson (1995) highlight the importance of teaching students how to interact effectively with a group, stating “group process and group interaction activities should be an integral part of curricula for gifted students” (p. 126). Critical and creative thinking are probably the two most frequently cited process skills in the education of gifted and talented students. In both critical and creative thinking, a shift is made from acquiring information to using it. Thus, research, library and scientific skills, both basic and advanced, must be taught. Process skills should mirror methodologies in a real or professional sense, giving gifted students the “tools of the trade.” For success in meeting their personalized, differentiated learn- ing goals, students need the skills of organization, time management, plan- ning, decision-making, and goal set- ting. Gifted and talented students also need the chance to communicate their ideas to an appropriate audi- ence. Karnes and Bean (2004) outline these skills as speech, group discus- sion, interviews, debates, writing, active listening, and interpretation of nonverbal messages. Sharing informa- tion and ideas is the outcome of com- munication and the audience must be considered, aiming for one that will understand and appreciate the gifted student’s abilities. Maker and Nielson describe products (1995) as the tangible or intangible results of learning; they serve as the evidence of learning. The pinnacle of differentiation, student products, is the outcome of integrat- ing advanced level content with appropriate process skills. Stephens and Karnes (2001) believe that “prod- uct development is an essential com- ponent in the gifted education program that assists in meeting the complex and advanced needs of gifted students as they become tomorrow’s creative problem solvers and thinkers” (p. 207). Products demonstrate the gifted student’s “transformation of ideas” as they challenge what exists with what might be possible. Fact Finding: Matching Competitions to Differentiation There is a close match between the goals of differentiation and the pur- poses of problem-solving competitions. Karnes and Riley (2005) have outlined the general benefits of entering compe- titions. Likewise, the benefits of hands-on authentic problem-solving competitions are countless—for partic- ipants, their teachers, and the competi- tion sponsors. In many of these competitions, students are exposed to team approaches to practical problem solving that mirrors the “real world” of business, science, technology, and so on (Holt & Willard-Holt, 2000). Students are introduced to new ideas, many of which normally fall outside of the regular school curriculum. For Problem-Solving Competitions: Just the Solution! gifted child today 33 example, in the Let’s Get Real™ compe- titions, students are taught about busi- ness concepts, such as cost/benefit analyses, and polish their oral and visual presentation skills, research pro- ficiencies, and communication abili- ties. As students explore solutions to authentic problems, they are also given the opportunity to develop career awareness and to make favorable impressions upon potential future employers (Holt & Willard-Holt, 2000). Students who participate in these competitions often work in teams, enhancing their cooperative skills, as well as having an opportunity to work with others of like minds (Conrad et al., 2001). For gifted and talented students, competing as a member of a team also provides students with an appropriate yardstick to measure their abilities, a sense of appreciation for the strengths and skills of others, and the potential for friendships with intellectual soul mates. Furthermore, some competitions place high value upon students’ demonstrated cama- raderie and sportsmanship (BEST Robotics, 2005). As Nifong (1996) states, “The very act of being engaged with other competitors, the very syn- ergy of that . . . summons up the best of everybody” (p. 13). It is no wonder that competitions are reported to be motivating, exciting opportunities for young people (Campbell et al., 2001; Conrad et al.; Cropper, 1998; Riley & Karnes, 1999). For teachers, problem-solving competitions provide the perfect cata- lyst for interdisciplinary study, authen- tic assessment, higher level thinking, creativity, challenge, and real-world applications—the principles of a dif- ferentiated curriculum (Riley, 2005). Involvement in competitions also forges relationships between schools and businesses and organizations that sponsor, support, coach, or fund activ- ities (Riley & Karnes, 1999). “The links forged between schools, corpora- tions, and nonprofit organizations may open up future areas of commu- nication and cooperation, lead to greater mutual respect and under- standing, and ultimately create employees who are better prepared for the new millennium” (Holt & Willard-Holt, 2000, p. 247). The benefits for sponsors of com- petitions include opportunities for making a positive contribution to the betterment of society through educa- tion, valuable public relations, and interactions with motivated, enthusi- astic young people (Holt & Willard- Holt, 2000). In problem-solving competitions, sponsors may end up with feasible, innovative solutions to real problems they are facing. Competitions also provide opportu- nities for recruitment in the field and, when carefully designed, may enhance the numbers of minority and other underrepresented groups in the profession (BEST Robotics, 2005). Competitions of any nature, however, do create some concerns. For example, Rimm (1986) believes that competition can lead to under- achievement if too much emphasis is placed on winning. Karnes and Riley (2005) recommend that teachers pre- pare students by discussing winning and losing and placing emphasis on the process of competition rather than the outcome. In selecting prob- lem-solving competitions, it is also important to choose those designed with a focus on student improvement and enjoyment, rather than simply their solutions. Finally, some prob- lem-solving competitions may raise worldly issues and concerns that could be disturbing for some gifted and talented children. Students who are overly sensitive may worry over some topics presented as problems, and should be well coached and mon- itored. Problem Finding: Challenges and Issues of Competitions What are the challenges and issues faced by teachers wanting to use prob- lem-solving competitions with their students? And more importantly, how might these be overcome? With a busy timetable and overwhelming curricu- lum, teachers may find they simply do not have time to facilitate their stu- dents’ involvement in competitions. However, some competitions have aligned their goals directly to curricular standards and many are endorsed by teachers’ and administrators’ organiza- tions. For example, the Toshiba/NSTA Exploravision awards are designed so that teachers can incorporate the National Science Education Standards into their classroom through the com- petition. Many of the competition Web sites actually eliminate teacher planning time, with excellent Web- based resources, information, and sup- port regarding content, processes, and products related to the competition. Another hidden challenge can be the costs (financial and others) involved in some competitions. Finding support among families and friends can be one approach. Businesses and community groups could also be invited to be sponsors for a competition. For example, a group of students developing a park for their local community involved more than 30 organizations and indi- viduals, including Boy Scouts, local politicians, landscapers, architects, surveyors, contractors, and others, who volunteered labor, services, and supplies for the project (Christopher Columbus Awards, 2005). Karnes Problem-Solving Competitions: Just the Solution! 34 fall 2005 • vol 28, no 4 and Stephens (2003) offer many sug- gestions for fund raising events, which could underwrite the costs of participating in competitions. Idea Finding: Competition Possibilities There are many possible solu- tions to finding competitions that will challenge gifted and talented stu- dents through authentic problems (see Table 1). In this section some of those competitions are outlined. Their origin, purpose, deadlines, eli- gibility, judging criteria, prizes and contact information are provided, along with examples of previous and current problems. More information about competitions can be found in Karnes and Riley’s book Competitions for Talented Kids (2005). Let’s Get Real™ Let’s Get Real™ is a competitive problem-solving program that began in 1995 in response to concerns raised in the corporate sector regard- ing entry-level employees’ lack of preparation for solving authentic, everyday business problems (Holt & Willard-Holt, 2000). Students in grades 6–12 are given an opportunity to learn to work together on real busi- ness problems while also coming up with solutions. Teams of two to six students work with an adult coordi- nator to present a solution to prob- lems related to the environment, manufacturing, distribution, engi- neering, software creation, human resources, health and safety, facilities design, public relations, or other issues faced by the corporate spon- sors. Teams select from a range of problems on the competition Web site (http://www.lgreal.org/index.shtml) in October and present a written solu- tion by mid-January. Finalist teams are notified in mid-February with an invitation to present their oral solu- tions in mid-March. Solutions are judged on practicality, effectiveness of the solution, cost efficiency, cre- ativity, development of idea, and documentation, with the winning teams announced in May. The chal- lenges and prizes offered by the spon- sors vary. For example, PPL Corporation, a worldwide energy corporation, presented these chal- lenges in 2004–2005: • Present a business case that describes the degree to which Vehicle-to-Grid cars could increase the reliability of energy in the electric grid. Your case should state why PPL should or should not invest research monies related to the development of Vehicle-to-Grid technologies. • Develop a plan that will address the Hemlock Woolly Adelgid infestation that threatens the health of Eastern hemlock trees. (http://www.lgreal.org/index .shtml) The guidelines and applications can be retrieved online, as well as information about each challenge, links to Web sites to help students discover solutions, and previous win- ning solutions and teams. All entries must be by teams; no individual entries will be considered. Teams do not have to be affiliated with a school setting to participate, but must have an adult coordinator. For more details, visit the Web site or write to Let’s Get Real™, 624 Waltonville Rd., Hummelstown, PA 17036. BEST Robotics Another problem-solving compe- tition is BEST Robotics. Established in 1993, this program aims to pro- mote teamwork, problem solving, project management, and pride amongst middle school and high school students through boosting engineering, science, and technology. In its first year, this competition had 14 schools and 221 student partici- pants—today more than 8,000 stu- dents participate annually (BEST Robotics, 2005). This problem-solv- ing competition appeals to today’s generation of “fix-it kids” (Malone, Clendaniel, & Boland, 2002, p. 34) who work as teams to design, build, and test a radio-controlled robot to outperform all the others. Over a 6- week period, students have to create a radio-controlled robot along with a table display that includes a project notebook, oral presentation, and an interview with the judges, who are engineers and other technical profes- sionals. Student teams are judged based upon their creativity, use of technology, publicity, presentation, participation, enthusiasm, sports- manship, and robot performance. The guidelines can be obtained by contacting the local sponsor by e-mail or by visiting the competition Web site. BEST regional competitions are held in November, and the sponsor recommends checking for the nearest location and dates by visiting the Web site’s competition calendar. Winners are announced at the regional tourna- ments. First, second, and third place awards are given along with several other special awards, including the BEST Award, Competition Award, Founders Award for Creative Design, Most Robust, Most Elegant, Most Photogenic, T-shirt Award, and Web Page Award. BEST Robotics Inc. is a Problem-Solving Competitions: Just the Solution! gifted child today 35 Web-based organization located at http://www.bestinc.org. (The Web site has e-mail details for personal contact.) Christopher Columbus Awards The Christopher Columbus Awards program was established in 1996 and was designed for students in grades 6–8. The purpose of the competition is to encourage students’ curiosity and creativity in order to help them improve their community through scientific and technological innovation. The areas included are problem solving, science, technology, and service learning. Students com- pete in groups of three to four stu- dents with a teacher as the adult coach. The teams have to identify a problem in their community and design a solution. The guidelines are available through the competition’s Web site (http://www.christopher- columbusawards.com). The deadline for entry is mid- February and winners are notified by mid-April. Students are judged on their creativity, innovation, scientific accuracy, feasibility, and communica- tion. The judges are selected based on their prestige from the fields of sci- ence and technology. Every team that enters receives a certificate and the judges’ comments. Thirty semifinalist teams receive a T-shirt. Eight finalist teams receive an all-expense-paid trip to Walt Disney World and a $200 development grant. Two gold medal teams receive a $2,000 U.S. Savings Bond and a plaque for each team member and the sponsoring school. The winning team receives a $25,000 grant to pursue their project. Kids Philosophy Slam The areas of philosophy, critical thinking, and creativity are incorpo- rated into the Kids Philosophy Slam competition, which is designed for students in grades K–12. The purpose is to give students a voice and encour- age them to think using their creative potential through philosophical forms. Students are given a philo- sophical question, and then submit an original piece of work such as a poem, essay, song, or artwork based on their response to the question. Guidelines may be found on the competition’s Web site (http://www.philosophys- lam.org). Rules vary for different age and grade levels. All entries must be postmarked by early February, and finalists are announced in late March. Judges con- sist of a panel of philosophers, educa- tors, and parents. They judge on creativity, originality, and overall strength of the message the student is conveying. There is more than $5,000 in prizes, including certificates, T- shirts, and savings bonds. Teachers and students should visit the sponsor’s Web Problem-Solving Competitions: Just the Solution! Competition Area(s) Contact Details Web Site Let’s Get Real™ Business 624 Waltonville Rd. Hummelstown, PA 17036 http://www.lgreal.org/index.shtml BEST Robotics Engineering and technology This is a Web-based organization. http://www.bestinc.org Christopher Columbus Awards Service learning, science and technol- ogy 105 Terry Drive Ste 120 Newtown, PA 18940-3425 http://www.christophercolumbu- sawards.com Kids Philosophy Slam Philosophy P.O. Box 406 Lanesboro, MN 55949 http://www.philosophyslam.org Odyssey of the Mind Creative thinking and problem solving 1325 Rt. 130 South, Ste. F Gloucester City, NJ 08030 http://www.odysseyofthemind.com Future Problem Solving Program Creative and com- munity problem solving 2028 Regency Road Lexington, KY 40503-2309 http://www.fpsp.org Toshiba/NSTA ExploraVision Awards Program Science 1840 Wilson Blvd. Arlington, VA 22201-3000 http://www.exploravision.org Table 1 Problem-Solving Competitions 36 fall 2005 • vol 28, no 4 site for resources and ideas, including a Philosopher of the Week section with information and links. Odyssey of the Mind In 1978, Odyssey of the Mind (OM) was established to foster cre- ative thinking and provide creative problem-solving opportunities for all students in kindergarten through col- lege. Five problems are produced annually and cover a variety of areas from building mechanical devices such as spring-driven cars to present- ing a creative interpretation of a liter- ary classic. Each team performs its solution within a specified timeframe and within certain cost limits. OM charters affiliates that run local and state competitions and culminate with an International OM World Finals held in late May or early June. Guidelines are available in the summer of each year. Winners are notified at the awards ceremony fol- lowing each competition. Judges are adult volunteers trained before the competitions and represent educators, business people, and other interested adults. Teams are judged in three areas. The first is the “long-term” problem, that is, the solution that the team has created and showcases in the competi- tion. The second is the style. How one “markets” or elaborates the solution is considered. This may be achieved by the use of such elements as music, dance, costumes, script, and so on. Finally, spontaneity is judged as a third category. Each team receives a problem to solve the day of the competition. The team must solve it on the spot without any preparation and within a time limit. Awards vary, but generally include medals, trophies, and certificates. For detailed informa- tion visit the OM Website at http://www.odysseyofthemind.com. Future Problem Solving Program One of the longest-standing com- petitions is the Future Problem Solving Program, which began in 1974 for students in grades 4–12. The purpose of this program is to motivate and assist students to develop and use creative thinking skills, written and verbal communication skills, team- work skills, research skills, and critical and analytical thinking skills; learn about complex issues which will shape the future; develop an active interest in the future; and learn and utilize prob- lem-solving strategies. There are sev- eral different competitions: 1. The Regular Program—Group Problem Solving. The Regular Program consists of teams of four given a futuristic “fuzzy” situa- tion with which they must brain- storm problems, identify an underlying problem, brainstorm solutions to that problem, set cri- teria for judging the solutions, rank the top solutions, and pick the best solution. 2. The Individual Program— Individual Problem Solving. The Individual Program is a scaled down version of the Regular Program, consisting of just one participant. 3. The Scenario Writing Program. The Scenario Writing Program has participants write short sto- ries on designated topics taking place in the future. 4. The Community Problem Solving Program. The Community Problem Solving Program has a team of any size identify a real life problem, follow the Regular Program steps to a best solution, and finally implement their solu- tion. There is no deadline for entering the program. However, those stu- dents who have not gone through the practice problems before attempting the qualifying problem generally do not perform as well as those who have had the experience and practice. Each state has its own deadlines for when the problems are due. For the regular and individual programs, the students are given two practice problems, which they send in. These are cri- tiqued, returned, and followed by the problem that qualifies them for their state bowl, or for those residing in states without affiliates, for the International Conference in June. At the International Conference, the stu- dents are given a final problem to decide the winners in each division and category for the entire program. Top Community Problem Solving teams are invited to the International Conference to present their projects to the evaluators for final judging. The awards for winning the vari- ous competitions vary from state to state, but usually include trophies and/or plaques. Winners at the International Conference are also awarded trophies and/or plaques. For guidelines and information contact the Future Problem Solving Program, 2028 Regency Road, Lexington, KY 40503-2309 or visit the Web site at http://www.fpsp.org. Toshiba/NSTA ExploraVision Awards Toshiba/NSTA ExploraVision Awards program was established in 1992 and is now the world’s largest sci- ence contest in which students expand on or design technologies that could exist 20 years in the future. Students participate in teams of three or four with a teacher/adviser and an optional community adviser in one of four Problem-Solving Competitions: Just the Solution! gifted child today 37 grade levels: K–3, 4–6, 7–9, and 10–12. By February 1, the teams must submit a teacher signed entry form, a 10-page or fewer typed description of their technology, and story boards depicting scenes from a sample 5- minute video they would produce to convey their ideas. In mid-March the 48 regional semi-finalist teams are announced and their videos are due in mid-April. In the beginning of May, the 12 finalist teams are announced, and in early June the four first-place winners (one from each grade cate- gory) and the eight second-place teams (two from each grade category) are announced at a press conference that is the kick-off to an awards weekend. Winning teams are judged by leading science educators and based on creativity, scientific accuracy, com- munication, and feasibility of vision. Student members of the four first- place teams each receive a U.S. EE savings bond worth $10,000 at matu- rity. Second-place winners receive U.S. EE series bonds worth $5,000 at maturity. First- and second-place Canadian winners receive Canada savings bonds purchased for the equivalent issue price in Canadian dollars. National finalist team mem- bers and their parents/guardians travel to Washington, DC, in June for ExploraVision Awards Weekend where they are recognized for their outstanding achievement. Each stu- dent on the 24 regional winning teams and honorable mention teams is recognized for his or her creative vision with a special gift. Every stu- dent team member who enters the competition with a complete entry receives a certificate of participation and a small gift. There are also prizes and recognition for coaches and men- tors. Guidelines are available from Toshiba/NSTA ExploraVision Awards, 1840 Wilson Blvd., Arlington, VA 22201-3000. The Web site (http://www.exploravision.org/) answers many questions students may have and is filled with useful informa- tion. Solution Finding: Selecting and Supporting Competitions With so many possibilities, it is important that teachers and students work together to make the right choices for involvement. Karnes and Riley (2005) suggest the following steps in the selection of competitions: 1. Assess the student’s talent area(s). Remember to consider his or her strengths and abilities in content, process, and product domains. 2. Discuss the student’s interests. 3. Talk about the areas the student would like to learn more about or improve. 4. Write a compilation of the stu- dent’s abilities, interests, and areas for further development. Rank order these and select the top five areas. 5. Select several competitions that have similar goals and purposes to those the student would like to showcase and develop. 6. Read the guidelines of each com- petition carefully, making sure the student can meet expecta- tions, has time for involvement, has the resources for participa- tion, and so on. Once students have selected their competitions, they will require ongo- ing support from their teachers, spon- sors, and parents. Tallent-Runnels and Candler-Lotven (1996) discuss the importance of ensuring students have good time management skills, suggesting that a competition sched- ule be developed and constantly eval- uated to see if it is working. Karnes and Riley (2005) provide a competi- tions calendar for students as part of a competitions journal that also includes helpful self-management tips, form letters, and sample press releases. Teachers also can prepare stu- dents by facilitating trial presentation runs, co-evaluating their products, providing time for practice, helping secure resources, and preparing them to cope with the pressure of competi- tion day. Acceptance Finding: Competitions Are the Solution! The final stage of competition is after the judges’ decisions have been made and prizes awarded. Karnes and Riley (2005) encourage students to evaluate their own performance and competition experiences. Students can rate their competition experience on a Likert-type scale (from poor to excellent) and use the results for plan- ning and participation in future com- petitions. They recommend students evaluate their planning, organization, time management, participation, interaction with others, product, atti- tude, and appearance. Teachers should also evaluate their students’ experiences, considering the organiza- tion of the competition, fairness of judging and criteria, match with classroom learning objectives, costs and resources, time involved, and so on. At this stage, the purpose in eval- uation is to start planning for future competition involvement. Getting gifted and talented stu- dents involved in competitions is one way of developing and enhancing Problem-Solving Competitions: Just the Solution! continued on page 64 64 fall 2005 • vol 28, no 4 their problem-solving skills. With careful planning and facilitation, the rewards extend beyond the prizes given to first-place winners. Teachers, their students, and competition spon- sors can benefit. The greatest out- comes, however, might be for the world of tomorrow, as students grap- ple with authentic problems faced today. Their solutions can make a dif- ference! GGGG CCCC TTTT References BEST Robotics. (2005). What is BEST? Retrieved February 9, 2005, from http://www.bestinc.org Campbell, J. R., Wagner, H., & Walberg, H. J. (2001). Academic competitions and programs designed to challenge the excep- tionally able. In K. A. Heller, F. J. Mönks, R. Subotnik, & R. Sternberg (Eds.), International handbook of giftedness and talent (2nd ed., pp. 523–535). New York: Elsevier. Christopher Columbus Awards. (2005). Progress reports. Retrieved May 30, 2005, from http://www.christophercolumbu- sawards.com/samples/progressre- ports.htm Conrad, D., Gardner, J., Hanley, D., Robinson, M., Rogers, G., Straub, D., Lee Wadington, W., Wolfman, G., & Ponick, F. S. (2001). Competing for ratings: Is it a good idea? Teaching Music, 8(6), 20–26. Cropper, C. (1998). Is competition an effective classroom tool for the gifted student? Gifted Child Today, 21(3), 28–30. Davis, G. A., & Rimm, S. B. (1998). Education of the gifted and tal- ented (4th ed.). Needham Heights: Allyn & Bacon. Holt, D. G., & Willard-Holt, C. (2000). Let’s get real. Phi Delta Kappan, 82, 243–247. Kaplan, S. N. (2001). Layering differ- entiated curriculum for the gifted and talented. In F. A. Karnes, & S. M. Bean (Eds.), Methods and materials for teaching the gifted (pp. 133–158). Waco, TX: Prufrock Press. Karnes, F. A., & Bean, S. M. (2004). The Process Skills Rating Scales— Revised. Waco, TX: Prufrock Press. Karnes, F. A., & Riley, T. L. (2005). Competitions for Talented Kids. Waco, TX: Prufrock Press. Karnes, F. A., & Stephens, K. R. (2003). The ultimate guide to get- ting money for your classroom and school. Waco, TX: Prufrock Press. Maker, C. J., & Nielson, A. B. (1995). Teaching models in educa- tion of the gifted (2nd ed.). Austin, TX: Pro-Ed. Malone, M. S., Clendaniel, E., & Boland, M. (2002). The fix-it kids take over. Forbes, 169(7), 34–44. Nifong, C. (1996). Star search: Academic contests offer students a reason to shine. Christian Science Monitor, 88(73), 13. O’Reilly, B. (2003). And the winner is . . . . Fortune, 148(5), 54–55. Renzulli, J. S., Gentry, M., & Reis, S. M. (2003). Enrichment clusters: A practical plan for real-world, stu- dent-driven learning. Mansfield Center, CT: Creative Learning Press. Riley, T. L. (2005). Teaching gifted and talented students in regular classrooms. In F. A. Karnes, & S. M. Bean (Eds.), Methods and materials for teaching the gifted (2nd ed., pp. 577–614). Waco, TX: Prufrock Press. Riley, T. L., & Karnes, F. A. (1998/1999). Competitions: One solution for meeting the needs of New Zealand’s gifted students. APEX: The New Zealand Journal of Gifted Education, 11/12(1), 21–26. Riley, T. L., & Karnes, F. A. (1999). Forming partnerships with com- munities via competitions. Journal of Secondary Gifted Education, 10, 129–133. Rimm, S. B. (1986). Underachievement syndrome: Causes and cures. Watertown, WI: Apple Publishing Company. Roberts, J. L., & Roberts, R. A. (2005). Writing units that remove the learning ceiling. In F. A. Karnes, & S. M. Bean (Eds.), Methods and materials for teaching the gifted (2nd ed., pp. 179–210). Waco, TX: Prufrock Press. Rogers, K. B. (2002). Re-forming gifted education. Scottsdale, AZ: Great Potential Press. Seney, R. (2001). The process skills and the gifted learner. In F. A. Karnes, & S. M. Bean (Eds.), Methods and materials for teaching the gifted (pp. 159–180). Waco, TX: Prufrock Press. Stephens, K. R., & Karnes, F. A. (2001). Product development for gifted students. In F. A. Karnes & S. M. Bean (Eds.), Methods and materials for teaching the gifted (pp. 181–212). Waco, TX: Prufrock Press. Tallent-Runnels, M. K., & Candler- Lotven, A. C. (1996). Academic competitions for gifted students: A resource book for teachers and parents. Thousand Oaks, CA: Corwin Press. Tomlinson, C. A., Kaplan, S. N., Renzulli, J. S., Purcell, J., Leppien, J., & Burns, D. (2002). The parallel curriculum: A design to develop potential and challenge high-ability learners. Thousand Oaks, CA: Corwin Press. continued from page 37 Problem-Solving Competitions: Just the Solution! Problem-Solving Competitions 1.pdf Problem-Solving Competitions 2.pdf 
work_jw5zhn5jobc47jwl762lxkl544	----	UC Santa Barbara Journal of Transnational American Studies Title “American” Pictures and (Trans-)National Iconographies: Mapping Interpictorial Clusters in American Studies Permalink https://escholarship.org/uc/item/02x2r3zx Journal Journal of Transnational American Studies, 6(1) Author Hebel, Udo J. Publication Date 2015 eScholarship.org Powered by the California Digital Library University of California https://escholarship.org/uc/item/02x2r3zx https://escholarship.org http://www.cdlib.org/ W I N F R I E D F L U C K E R I K R E D L I N G S A B I N E S I E E K E H U B E R T Z A P F ( E d s . ) American Studies Today New Research Agendas Universitatsverlag W I N T E R H e i d e l b e r g U D O J. H E B E L ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s : M a p p i n g I n t e r p i c t o r i a l C l u s t e r s in A m e r i c a n S t u d i e s 1 T h e iconic turn propagated with c o n s i d e r a b l e fervor in the early 1990s and exerting w i d e s p r e a d i n f l u e n c e across the h u m a n i t i e s in the two d e c a d e s a f t e r w a r d s m a r k e d less o f a watershed for A m e r i c a n Studies. Visual representations o f ' A m e r i c a ' and visual c o n s t r u c t i o n s o f ' A m e r i - c a n ' identities and US A m e r i c a n ideologies had long been an integral part o f the interdisciplinary cultural studies a g e n d a and cultural history p r o j e c t of A m e r i c a n Studies w h e n Gottfried B o e h m and W. J. T. Mitchell p r o c l a i m e d their respective versions of what c a m e to be known as the iconic or pictorial turn on both sides of the Atlantic. Alan T r a c h t e n b e r g ' s magisterial study Reading American Photographs of 1989 with its still n o t e w o r t h y subtitle Images as History as well as G e r h a r d H o f f m a n n ' s exhibition and scholarly catalog Indianische Kunst im 20. Jahrhundert of 1985 and also T h o m a s W . G a e h t g e n s ' and Heinz I c k s t a d t ' s American Icons: Transatlantic Perspectives on Eighteenth- ami Nineteenth Century American Art of 1992 m a y serve as e x a m p l e s to illustrate that the discipline of A m e r i c a n Studies has indeed paid atten- tion to A m e r i c a n visual cultures since the m y t h - a n d - s y m b o l school of the 1950s and 1960s. In her a s s e s s m e n t of A m e r i c a n fine arts f r o m 1670 to 1980, Bettina Friedl c l a i m s that well into the 1980s A m e r i c a n Studies did more for the study o f A m e r i c a n painting than Art History itself did f o r this field of A m e r i c a n visual cultures. The 1993 and 1994 annual c o n f e r e n c e s of the G e r m a n Association for A m e r i c a n Studies, " D e m o c r a c y and the Arts in the United S t a t e s " and " M e d i e n k u l t u r " (both predating the 2 0 0 6 c o n f e r e n c e on " A m e r i c a n Studies as Media 4 0 2 U D O J. H E B I l S t u d i e s " b y m o r e t h a n a d e c a d e ) t e s t i f y in d i f f e r e n t w a y s t o the l o n g - e s t a b l i s h e d p r o d u c t i v i t y a n d d i v e r s i t y o f visual c u l t u r e s t u d i e s a p p r o a c h e s and p e r s p e c t i v e s in G e r m a n A m e r i c a n S t u d i e s . A m e r i c a n S t u d i e s w a s in n o dire need at t h e turn f r o m t h e 1980s to the 1990s o f c a l l s f o r a p r o g r a m m a t i c r e o r i e n t a t i o n o f its a g e n d a and p r a c t i c e s in o r d e r to r e c o g n i z e the s i g n i f i c a n c e a n d c o m p l e x i t i e s o f ( A m e r i c a n ) visual c u l t u r e s . N e v e r t h e l e s s , t h e e m e r g e n c e and p o p u l a r i t y o f v i s u a l c u l t u r e s t u d i e s a s a ( n e w ) t h e o r e t i c a l and c o n c e p t u a l p a r a d i g m has left its m a r k on A m e r i c a n S t u d i e s t h r o u g h o u t t h e past t w e n t y y e a r s . T h e pictorial turn a f f e c t e d A m e r i c a n S t u d i e s in the i n t e n s i t y and p r o m i n e n c e o f the e x p l o - ration o f ( A m e r i c a n ) visual c u l t u r e s w i t h o u t , h o w e v e r , f u n d a m e n t a l l y t r a n s f o r m i n g the d i s c i p l i n e ' s i n t e r d i s c i p l i n a r y o r i e n t a t i o n s , m a t e r i a l b a s e s , a n d t h e o r e t i c a l p e r s p e c t i v e s at large. T h e c o n c e r n o f visual c u l - t u r e s s t u d i e s w i t h , a m o n g o t h e r a s p e c t s ( a n d d i s r e g a r d i n g f o r t h e t i m e b e i n g i m p o r t a n t w o r k d o n e at the i n t e r s e c t i o n s w i t h t h e natural s c i e n c e s a n d m e d i c i n e ) , t h e c o n t e x t s and p o l i t i c s o f i m a g e s , the i m p l i c a t i o n s o f s c o p i c r e g i m e s , p h e n o m e n a o f h y p e r r e a l i t i e s a n d m e d i a c u l t u r e s , a n d t h e social a n d p o l i t i c a l d i m e n s i o n s o f p r a c t i c e s o f l o o k i n g a p p e a r s to h a v e f a l l e n on p a r t i c u l a r l y f e r t i l e and w e l l - p r e p a r e d g r o u n d in A m e r i c a n S t u d i e s . T h e s p e c i a l interests o f t h e N e w A m e r i c a n S t u d i e s s i n c e t h e late 1980s and early 1990s in identity p o l i t i c s , r e v i s i o n i s t h i s t o r y , the r h e t o - ric o f d i f f e r e n t m o d e s a n d m e d i a o f r e p r e s e n t a t i o n , a n d t h e p r o c e s s e s o f c u l t u r a l e x c h a n g e a n d c i r c u l a t i o n h a v e c o r r e s p o n d e d w i t h k e y i s s u e s and a p p r o a c h e s in v i s u a l c u l t u r e s t u d i e s . T h e m u c h - q u o t e d v i s u a l i t y o f 9/11 and t h e e n s u i n g c o n t r o v e r s i e s o v e r i s s u e s o f v i s i b i l i t y a n d t h e im- p l i c a t i o n s and l i m i t s o f visual r e p r e s e n t a t i o n h a v e f u r t h e r e n h a n c e d the c o n c e r n w i t h v i s u a l c u l t u r e s in A m e r i c a n S t u d i e s . " For p u b l i c a t i o n s o f the p r o c e e d i n g s o f the 1993 a n d 2 0 0 6 c o n f e r e n c e s , s e e H o r n u n g , H o f f m a n n , a n d D o e r r i e s ; K e l l e t e r a n d Stein. In m y r e p o r t on the d e v e l o p m e n t o f Amerikastudien/American Studies, the q u a r t e r l y j o u r n a l o f the G e r m a n A s s o c i a t i o n f o r A m e r i c a n S t u d i e s , f r o m v o l u m e 4 8 ( 2 0 0 3 ) t h r o u g h v o l u m e 55.1 ( 2 0 1 1 ) , 1 h a v e i d e n t i f i e d t h e in- c r e a s e d c o n c e r n w i t h issues a n d t o p i c s o f visual c u l t u r e s t u d i e s as o n e o f t h e m a j o r c h a n g e s o f t h e j o u r n a l ' s s c o p e and c o n t e n t s o v e r the y e a r s o f m y g e n e r a l e d i t o r s h i p . S e e H e h e l . "Amerikastudien/American Studies 2 0 0 2 - 2011." ' A m e r i c a n ' P i c t u r e s and ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 0 3 W h e r e t o , then, f r o m here with the study of ( A m e r i c a n ) visual cul- t u r e s in A m e r i c a n Studies? In his Picture Theory of 1994. W. .1. T. Mitchell formulated what still bears special quoting in A m e r i c a n Studies c o n t e x t s : " W h a t w e need is a critique of visual culture that is alert to the p o w e r of images for the good and evil and that is c a p a b l e o f discrimi- n a t i n g the variety and historical specificity of their u s e s " (Mitchell, Picture Theory 2-3). M i t c h e l l ' s agenda-setting e m p h a s i s on the power, f u n c t i o n a l i t y , and historical and cultural specificity of i m a g e s has s u p p o r t e d the e m e r g e n c e — i n view of d e v e l o p m e n t s in Art History t h r o u g h o u t the twentieth century, r e - e m e r g e n c e — o f notions, c o n c e p t s , a n d practices of i c o n o g r a p h y : Die b i l d t h e o r e t i s c h e D i s k u s s i o n d e r letzten f u n f D e k a d e n hat a l s o ver- starkt e i n e n k u l t u r e l l e n Blickvvinkel e i n g e n o m m e n und d a m i t d i e F o r - m e n d e s S a g e n s und d e s Z e i g e n s in g l e i c h e r W e i s e als k u l t u r s p e z i f i s c h e D a r s t e l l u n g s k o n v e n t i o n e n zu e r f a s s e n v e r s u c h t . [ . . . ] I n s o f e r n h a t d e r so- g e n a n n t e cultural turn v o l l i g zu R e c h t a u c h b i l d w i s s e n s c h a f t l i c h e F r a g e - s t e l l u n g e n erfaBt. [ . . . ] A l s H a b i t u s d e s B i l d w i s s e n s c h a f t l e r s w i r d d a m i t b e r e c h t i g t e r w e i s e n i c h t l a n g e r d a s V e r h a r r e n „ v o r e i n e m B i l d " , s o n d e r n die Z u w e n d u n g z u m g e s a m t e n Reich d e r B i l d e r o d e r g a r a l l e r v i s u e l l e r P h a n o m e n e g e f o r d e r t , w a s als A k t d e r D e m o k r a t i s i e r u n g und P l u r a l i s i e - r u n g des G e g e n s t a n d s e m p f u n d e n w e r d e n m a g . ( S a c h s - H o m b a c h a n d S c h i r r a 3 9 6 - 9 7 ) 3 Individual items of visual culture, including the so-called ' m a s t e r p i e c e s ' of allegedly singular artistry and standing, are considered as " a l w a y s e n g a g e d within a c o m p l e x system o f c o n f l i c t i n g or c o r r e s p o n d i n g i c o n o g r a p h i e s of e m p o w e r m e n t and d i s e m p o w e r m e n t " ( H a s e l s t e i n . O s t e n d o r f , and Schneck 7). Publications such as, e.g., National Imagi- naries, American Identities: The Cultural Work of American Iconogra- phy ( R e y n o l d s and H u t n e r ) and Iconographies of Power: The Politics and Poetics of Visual Representation (Haselstein, O s t e n d o r f , and Schneck) illustrate the potential and practice of f u s i n g long-established c o n c e r n s and materials of A m e r i c a n Studies with the agenda and per- spectives of i c o n o g r a p h i c studies. T h e focus of American S t u d i e s on context and f u n c t i o n m e r g e s well with the interest of i c o n o g r a p h i c T h e G e r m a n term Bildwissenschaft e v o k e s the w i d e r s c o p e o f r e c e n t ap- p r o a c h e s in Art H i s t o r y in t h e w a k e o f the iconic t u r n ; see S c h u l z . 4 0 4 U D O J. H E B I l a p p r o a c h e s in Art History in the position of the individual w o r k of vis- ual art in the n e t w o r k of r e p e r t o i r e s and c o n v e n t i o n s . Within the f r a m e - w o r k of A m e r i c a n S t u d i e s , i c o n o g r a p h i c r e a d i n g s p e r f o r m the re- situating interpretive act that W i n f r i e d Fluck, in his article on the visual r e p r e s e n t a t i o n of p o v e r t y in the 1930s, d e s c r i b e s as f o l l o w s : T h e m e a n i n g that w e a t t r i b u t e to the i m a g e is the result o f a n a r r a t i v e c o n t e x t that w e b r i n g to it and w e a v e a r o u n d it. [ . . . ] F o r t u n a t e l y , A m e r i - can S t u d i e s h a s a l w a y s insisted that it is not s u f f i c i e n t to look at s i n g l e texts o r o b j e c t s . W e h a v e to look at t h e n a r r a t i v e s a b o u t A m e r i c a that c o m e a l o n g w i t h t h e m . ( F l u c k , " P o o r L i k e U s " 9 1 ) It is f r o m these larger c o n t e x t s that the present c a s e for the m a p p i n g of interpictorial clusters in A m e r i c a n Studies e m e r g e s . T h e f o c u s of the f o l l o w i n g sections will be on the r e c o n s t r u c t i o n and e x p l o r a t i o n of the implicit or explicit interplay b e t w e e n pictures, with special e m p h a s i s given to political p h o t o g r a p h y . T h e a r g u m e n t will take its starting point in p r o m i n e n t p h o t o g r a p h s of US A m e r i c a n p r e s i d e n t s and p r o j e c t the m a p p i n g of interpictorial clusters with the p u r p o s e of tracing the histori- cal and cultural f l o w as well as m o b i l i t y of p o w e r f u l pictures, r e v e a l i n g the possible political impact and f u n c t i o n of particular i m a g e s and rep- ertoire c o n v e n t i o n s at large. 2 A m o n g the public relation failures of the Bush a d m i n i s t r a t i o n , the visualization of President G e o r g e W. B u s h ' s r e s p o n s e to the H u r r i c a n e Katrina disaster is g e n e r a l l y c o n s i d e r e d particularly c a t a s t r o p h i c . T h e p i c t u r e s of President Bush flying high o v e r N e w O r l e a n s on 31 A u g u s t 2 0 0 5 and v i e w i n g t h e flooded disaster area f r o m a b i r d ' s eye p e r s p e c t i v e and f r o m behind the n a r r o w p e e p h o l e s of the cabin w i n d o w s o f Air Force O n e w e r e taken as the public revelation of the p r e s i d e n t ' s limited vision and disinterested d e t a c h m e n t f r o m the n e e d s of the d i s a s t e r v i c t i m s and the A m e r i c a n people in all respects. W h e n President O b a m a w a s c o n f r o n t e d with the n e c e s s i t y to s h o w c o m p e t e n t d i s a s t e r 4 B e s i d e s the W h i t e H o u s e p h o t o g r a p h s by Paul M o r s e , s e e , e.g., t h e p h o t o - g r a p h s by S u s a n W a l s h ( A s s o c i a t e d Press) a n d M a n n i e G a r c i a ( R e u t e r s ) . ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 0 5 h a n d l i n g in t h e w a k e o f t h e D e e p w a t e r H o r i z o n B P oil spill in the G u l f of M e x i c o , d i f f e r e n t i m a g e s and i m p l i c a t i o n s w e r e c a l l e d for. P r e s i d e n t O b a m a ' s r e p e a t e d v i s i t s to the L o u i s i a n a c o a s t in late M a y a n d e a r l y J u n e 2 0 1 0 w e r e a c c o m p a n i e d by p i c t u r e s that s h o w e d h i m in a d i f f e r e n t p o s i t i o n and in d i f f e r e n t p o s e s . P r e s i d e n t O b a m a w a s d e p i c t e d on t h e g r o u n d , i.e., w h e r e t h e d i s a s t e r w a s a c t u a l l y h a p p e n i n g . He w a s p r e s e n - ted a s p e r s o n a l l y c o m m u n i c a t i n g w i t h both the v i c t i m s o f the d i s a s t e r a n d t h e m e m b e r s o f t h e r e l i e f u n i t s o f , e.g., t h e N a t i o n a l G u a r d , a n d h e w a s g e n e r a l l y v i s u a l i z e d as t a k i n g an a c t i v e i n t e r e s t in t h e p r o c e e d i n g s . 5 B u s h ' s r e m o t e , m a r g i n a l i z e d o b s e r v e r p o s i t i o n w a s t o be r e p l a c e d by a p o s i t i o n o f a g e n c y and c o m p a s s i o n , a l b e i t s y m b o l i c a l l y and r e c o g n i z a - ble as p a r t of a w e l l - s t a g e d , m e d i a - o r i e n t e d e v e n t . F i g u r e I: P r e s i d e n t O b a m a , Port F o u r c h o n B e a c h . L A , 28 M a y 2 0 1 0 . D a v i d G r u n f e l d (New Orleans Times-Picayune) D a v i d G r u n f e l d ' s p h o t o g r a p h of P r e s i d e n t O b a m a on Port F o u r c h o n B e a c h , L A , 2 8 M a y 2 0 1 0 is p r o b a b l y the m o s t - w i d e l y c i r c u l a t e d i m a g e o f the p r e s i d e n t i a l v i s i t s to the d i s a s t e r a r e a a l o n g t h e G u l f C o a s t . It s h o w s t h e p r e s i d e n t a l o n e with the ( a l m o s t i n v i s i b l e ) d i s a s t e r , p e r s o n a l l y c o n c e r n e d , a n d p h y s i c a l l y ' i n t o u c h ' w i t h the i m m e d i a t e c o n s e q u e n c e s B e s i d e s D a v i d G r u n f e l d ' s p h o t o g r a p h s ( N e w O r l e a n s T i m e s - P i c a y u n e ) , s e e , e.g.. p h o t o g r a p h s by E v a n V u c c i ( A s s o c i a t e d Press), W i n M c N a m e e ( G e t t y I m a g e s N o r t h A m e r i c a ) , a n d C h a r l e s D h a r a p a k ( A s s o c i a t e d Press). 4 0 6 U I ) ( ) J. H E B F L o f t h e e c o l o g i c a l c a t a s t r o p h e . T h e p r e s i d e n t is p r e s e n t e d a s p a r t i c i p a t i n g in t h e i n v e s t i g a t i o n , w i t h t h e p o l i c e c a u t i o n t a p e m a r k i n g t h e s c e n e of d a n g e r and a d e a d bird in t h e b a c k g r o u n d as t h e u n m i s t a k e n p r o o f o f the i m p a c t o f t h e oil spill. P r e s i d e n t G e o r g e B u s h ' s p o s i t i o n high up in the air a b o a r d .Air F o r c e O n e , b e h i n d t h e s m a l l w i n d o w s of t h e h e r m e t i c a l l y c l o s e d - o f f s p a c e o f t h e p r e s i d e n t i a l p l a n e , is c o u n t e r e d by p i c t u r e s of P r e s i d e n t O b a m a on t h e s a m e level w i t h t h e A m e r i c a n p e o p l e in the o p e n s p a c e s a l o n g t h e G u l f C o a s t s h o r e l i n e . W i t h his j a c k e t t a k e n o f f a n d his s h i r t s l e e v e s rolled up to t a k e a c t i o n , t h e p r e s i d e n t is p r e s e n t e d as part of the w o r k f o r c e on the b e a c h , b e n d i n g d o w n in a p o s t u r e of p a r t i c i p a t i o n , c o n c e r n , and e m p a t h y . F i g u r e 2: P r e s i d e n t L y n d o n B. J o h n s o n w i t h T o m F l e t c h c r ' s f a m i l y on t h e p o r c h o f t h e i r h o m e , M a r t i n C o u n t y , K Y , 2 4 A p r i l 1964. W a l t e r B e n n e t t (Time Magazine) In its c o m p o s i t i o n and p r e s i d e n t i a l i c o n o g r a p h y , D a v i d G r u n f e l d ' s p i c t u r e o f P r e s i d e n t O b a m a r e s e m b l e s W a l t e r B e n n e t t ' s p h o t o g r a p h of P r e s i d e n t L y n d o n B. J o h n s o n ' s visit to M a r t i n C o u n t y , KY a s part o f t h e p u b l i c r e l a t i o n s c a m p a i g n f o r his ' w a r on p o v e r t y ' in A p r i l 1964.'' T h e s i m i l a r i t i e s o f G r u n f e l d ' s p i c t u r e w i t h B e n n e t t ' s w e l l - k n o w n p h o t o g r a p h 6 It m a y b e a r m e n t i o n in r e g a r d to p r e s i d e n t i a l d i s a s t e r m a n a g e m e n t thai L y n d o n B. J o h n s o n p e r s o n a l l y visited New O r l e a n s on t h e g r o u n d a f t e r H u r r i c a n e B e t s y h a d hit t h e city in 1965. ' A m e r i c a n ' P i c t u r e s and ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 0 7 of the G r e a t S o c i e t y p r o g r a m of the 1960s p l a c e O b a m a in the tradition of D e m o c r a t i c p r e s i d e n t s and their w o r k f o r the social w e l l - b e i n g of the A m e r i c a n p e o p l e w h i c h dates back to the 1930s and Franklin D e l a n o R o o s e v e l t ' s N e w Deal in w h o s e larger c o n t e x t s the political career of Lyndon B. J o h n s o n b e g a n . D u r i n g the 2 0 0 8 presidential election c a m - paign and in t h e early d a y s of his p r e s i d e n c y in 2 0 0 9 . President Barack O b a m a w a s e a g e r to establish a special r e l a t i o n s h i p with J o h n s o n for o b v i o u s r e a s o n s of political lineage and a s s u m e d c o m p e t e n c e in national crisis m a n a g e m e n t . F i g u r e 3: Floyd B u r r o u g h ' s W o r k S h o e s , H a l e C o u n t y , A L , 1936. W a l k e r E v a n s . The salient detail w h i c h m a k e s G r u n l e l d ' s p h o t o g r a p h particularly noteworthy in the present c o n t e x t is the pair of s h o e s that O b a m a is w e a r n g , o b v i o u s l y w i t h o u t their laces fully tied. Art h i s t o r i a n s m a y point to V i n c e n t Van G o g h ' s f a m o u s 1886 p a i n t i n g o f a pair of s h o e s that i a s given rise to n u m e r o u s and c o m p e t i n g interpretations, a m o n g them those by Martin H e i d e g g e r , M e y e r S h a p i r o , and J a c q u e s Derrida, and lhat w a s given a special s i n g l e - p a i n t i n g e x h i b i t i o n by the W a l l r a f - R i c h i r t z - M u s e u m in C o l o g n e in 2 0 0 9 . F r o m the p e r s p e c t i v e of A m e r i - ' Cn the e x h i b i t i o n and t h e v a r i o u s i n t e r p r e t a t i o n s o f Van G o g h ' s p a i n t i n g , see B a t c h e n . 4 0 8 U D O J. H E B I l can Studies, the shoes in G r u n f e l d ' s p h o t o g r a p h can be considered as an " i c o n o g r a p h i c a l l u s i o n " (Fluck, " P o o r Like U s " 74) to Walker E v a n s ' p h o t o g r a p h of Floyd B u r r o u g h s ' work shoes as taken in Hale C o u n t y , AL in 1936 and later included in J a m e s A g e e ' s and W a l k e r E v a n s ' Let Us Now Praise Famous Men (1941). The prominent e l e m e n t of the work shoes a n c h o r s G r u n f e l d ' s picture o f President O b a m a on the beach of L o u i s i a n a in the visual archive of A m e r i c a n social p h o t o g r a p h y of the 1930s and its respective ideological implications and presuppositions. T h e visualization o f President O b a m a on the polluted Gulf Coast par- ticipates in the iconographic repertoire of W P A representations o f the plight, dignity, and p e r s e v e r a n c e of c o m m o n p e o p l e during the Great Depression which Walter B e n n e t t ' s 1964 p h o t o g r a p h of President J o h n s o n on the front porch of the Fletcher h o m e in Martin C o u n t y . KY had already e v o k e d in a similar m a n n e r . The a f f i n i t i e s between G r u n f e l d ' s 2 0 1 0 photograph and the visual archive of American social p h o t o g r a p h y m a k e Barack O b a m a look like a c o m m o n man president and underscore in a subtle, interpictorial w a y the parallels between O b a m a and his D e m o c r a t i c p r e d e c e s s o r s in the White House. 1 ' O n c e the visual rhetoric of the ( A m e r i c a n ) c o m m o n man has c o m e into view, the associative range is open to include, e.g., further p h o t o g r a p h s by W a l k e r Evans and his W P A colleagues and, reaching f u r t h e r back into the storehouse of A m e r i c a n visual cultures, n i n e t e e n t h - c e n t u r y depictions such as, e.g., John N e a g l e ' s painting Pa! Lyon at the Forge ( 1 8 2 5 / 2 6 ) and the f r o n t i s p i e c e portrait to the first edition of Walt W h i t m a n ' s Leaves of Grass ( 1 8 5 5 ) . T h a t t h e W h i t e H o u s e m a y p u r p o s e f u l l y w o r k w i t h i n t e r p i c t o r i a l s t r a t e g i e s in the c h o r e o g r a p h y o f P r e s i d e n t O b a m a ' s p u b l i c p e r c e p t i o n can be illus- trated by p h o t o g r a p h s s h o w i n g t h e O b a m a f a m i l y on a H a w a i i a n v a c a t i o n h o m e porch and B a r a c k O b a m a e m e r g i n g f r o m t h e w a v e s on the b e a c h o f O a h u , H a w a i i , w h i c h a r e r e m i n i s c e n t o f c o r r e s p o n d i n g p i c t u r e s o f , r e s p e c - t i v e l y , the J o h n F. K e n n e d y f a m i l y on a p o r c h o f t h e i r c o m p o u n d at H y a n n i s Port, M A , a n d the t h r e e K e n n e d y b r o t h e r s e m e r g i n g f r o m the w a v e s a f t e r a s w i m in the A t l a n t i c o f f the c o a s t o f C a p e C o d . ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 0 9 F i g u r e 4: P r e s i d e n t G e o r g e W . B u s h , B a g h d a d , 2 7 N o v e m b e r 2 0 0 3 . Anja Niedringhaus (Associated Press) T h e second set of e x a m p l e s to illustrate the political and ideological i m p l i c a t i o n s of d i a l o g s b e t w e e n pictures starts with a p h o t o g r a p h of President G e o r g e W. Bush presenting a T h a n k s g i v i n g t u r k e y to US A m e r i c a n troops in B a g h d a d on 27 N o v e m b e r 2003. A n j a N i e d r i n g h a u s ' p h o t o g r a p h depicts the C o m m a n d e r - i n - C h i e f in the midst of a g r o u p of soldiers, w e a r i n g an A r m y w i n d b r e a k e r in an o b v i o u s gesture of bond- ing and solidarity. 1 ' Bush carries a tray, which evidently bulges u n d e r the weight of the festive food and, by implication, under the g e n e r o s i t y of the n a t i o n ' s leader t o w a r d his soldiers in the field. President Bush is shown as the pater familias taking good care of the troops fighting the n a t i o n ' s w a r against terrorism in f a r - a w a y lands even on the very day of the celebration o f t i m e - h o n o r e d traditions o f A m e r i c a n history, culture, and family. T h e s p e c i a l m o m e n t w a s c a p t u r e d f r o m s l i g h t l y d i f f e r e n t a n g l e s by s e v e r a l o t h e r p h o t o g r a p h e r s , i n c l u d i n g , e.g., P a b l o M a r t i n e z M o n s i v a i s ( A s s o c i a t e d Press) a n d T i m S l o a n ( A F P and G e t t y I m a g e s ) . 4 1 0 U D O J. H E B I l fyS* F i g u r e 5: N o r m a n R o c k w e l l , " F r e e d o m f r o m W a n t " ( 1 9 4 3 ) W h i l e it w a s the salient e l e m e n t of the untied w o r k i n g shoes in David G r u n f e l d ' s picture of President O b a m a on the Louisiana G u l f Coast which triggered the evocation of the a r c h i v e of social d o c u m e n - tary p h o t o g r a p h y , it is the gesture of presenting the turkey in Niedring- h a u s ' picture which establishes a relation to the national narrative of T h a n k s g i v i n g and to one of its most f a m o u s v i s u a l i z a t i o n s , N o r m a n R o c k w e l l ' s " F r e e d o m from W a n t " of 1943. R o c k w e l l ' s p a i n t i n g is part of his Four Freedoms cycle w h i c h took its title f r o m President Roose- v e l t ' s a d d r e s s to C o n g r e s s in J a n u a r y 1941 and f r o m R o o s e v e l t ' s and Winston C h u r c h i l l ' s Atlantic Charter of A u g u s t 1941 (Hebel and M o r e t h - H e b e l ) . T h e publication of the series in The Saturday Evening Post in F e b r u a r y and March of 1943 and its s u c c e s s f u l tour of the coun- try as part of a US Department o f T r e a s u r y w a r b o n d s drive in the m o n t h s f o l l o w i n g m a d e R o c k w e l l ' s paintings w i d e l y p o p u l a r and inex- tricably linked it in collective A m e r i c a n m e m o r y with W o r l d War II. C o u n t l e s s r e p r o d u c t i o n s have kept the " F o u r F r e e d o m s " visible as one of the " i c o n s of A m e r i c a n visual c u l t u r e " ( H e n n e s s e y and K n u t s o n 9 5 ) as i n e x p e n s i v e prints and posters as well as s t a m p s well into the 1990s. ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 12 T h e p h o t o g r a p h o f President Bush celebrating T h a n k s g i v i n g with A m e r i c a n troops in B a g h d a d is thus interpictorially linked with two m a j o r national narratives: first, the national myth of T h a n k s g i v i n g and e a r l y N e w England f o u n d a t i o n a l history that had already inspired R o c k w e l l ' s painting; and s e c o n d , the narrative of the so-called ' g o o d w a r , ' w h i c h w a s p a r t i c u l a r l y p r o m i n e n t throughout the 1990s and semi- n a l l y s u p p o r t e d the c o n s t r u c t i o n of the National W o r l d W a r II M e m o r i a l at t h e center of the N a t i o n a l Mall in W a s h i n g t o n , DC in 2004, and w hich, a c c o r d i n g to the w e b site of the National Park Service, " c o m m e m o r a t e s the s a c r i f i c e and celebrates the victory of ' t h e greatest g e n e r a t i o n ' [ . . . a n d ] c o n n e c t s the legacy of the A m e r i c a n Revolution and the A m e r i c a n Civil W a r with a great crusade to rid the world of f a s c i s m " ( " F r o m the H o m e Front"). Similar to G r u n f e l d ' s p h o t o g r a p h of President O b a m a f i g h t i n g the D e e p w a t e r Horizon BP oil spill in the Gulf o f M e x i c o , the B a g h d a d T h a n k s g i v i n g p h o t o g r a p h positions President Bush in positively c o n n o t e d ideological contexts and in widely accepted collective narratives. C o m p a r a b l e to the interpictorial associations in regard to the visual a r c h i v e of the ( A m e r i c a n ) c o m m o n m a n , the B a g h d a d p h o t o g r a p h o f 2 0 0 3 reverberates with the visual repertoires of A m e r i c a n cultural h i s t o r y . Popular U S A m e r i c a n f a m i l y T V series of the 1950s and early 1960s such as, e.g., Father Knows Best, m a y serve to d e m o n s t r a t e how v i s u a l i z a t i o n s of President Bush as the national pro- v i d e r of f o o d and f a m i l y h a r m o n y m a y be taken to allude to the gen- dered repertoire of p o s t - W o r l d War II suburban m i d d l e class ideologies. 4 1 2 U D O J. H E B I l F i g u r e 6: S c r e e n s h o t f r o m T V - S e r i e s Father Knows Best ( 1 9 5 4 - 6 0 ) T h e series o f e x a m p l e s o f p o l i t i c a l p h o t o g r a p h s a n d their i n t e r p l a y w i t h t h e a r c h i v e s o f A m e r i c a n v i s u a l c u l t u r e s c a n be c o n c l u d e d by w h a t p r o b a b l y is t h e m o s t o b v i o u s a l b e i t n o n - p r e s i d e n t i a l e x a m p l e of inter- p i c t o r i a l i t y : T h o m a s F r a n k l i n ' s p h o t o g r a p h of t h e 9/11 N e w Y o r k fire- f i g h t e r s r a i s i n g the U S flag o v e r G r o u n d Z e r o in o b v i o u s a l l u s i o n t o J o e R o s e n t h a l ' s p h o t o g r a p h of the I w o J i m a f l a g - r a i s i n g in F e b r u a r y 1945 ( a n d its r e p r o d u c t i o n by t h e U S M a r i n e C o r p s W a r M e m o r i a l n e x t t o A r l i n g t o n N a t i o n a l C e m e t e r y in W a s h i n g t o n , D C ) . T h e visual a s s o c i - ation i n v e s t s t h e v i s u a l i z a t i o n o f t h e m o m e n t of a t t a c k a n d d e f e a t w i t h t h e p r o s p e c t o f v i c t o r y and n a t i o n a l g l o r y in a r h e t o r i c a l g e s t u r e r e m i n i s - c e n t o f the A m e r i c a n j e r e m i a d ( C h e r o u x 6 2 - 7 7 ) . ' " 1 1 1 O n the i c o n o g r a p h y o f A m e r i c a n firefighters s i n c e t h e early n i n e t e e n t h c e n t u r y , s e e H o c h b r u c k . ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 1 3 F i g u r e 7: N e w Y o r k F i r e f i g h t e r s R a i s i n g t h e Flag, G r o u n d Z e r o , 1 1 S e p t e m b e r 201 1, T h o m a s F r a n k l i n (Associated Press) F i g u r e 8: M a r i n e s R a i s i n g t h e Flag, I w o J i m a , 2 3 F e b r u a r y 1945. Joe Rosenthal (Associated Press) 3 W h a t m a y h a v e a p p e a r e d as a r a n d o m p l a y o f a s s o c i a t i o n and t h e a r b i - t r a r y e s t a b l i s h m e n t o f r e l a t i o n s and a f f i n i t i e s b e t w e e n o t h e r w i s e u n c o n n e c t e d p i c t u r e s w a s t o s e r v e a s an i l l u s t r a t i o n of t h e p r a c t i c e and 4 1 4 U D O J. H E B I l p o t e n t i a l of i n t e r p i c t o r i a l r e a d i n g s o f p o l i t i c a l l y and c u l t u r a l l y p o w e r f u l i m a g e s . T h e c o n c e p t o f i n t e r p i e t o r i a l i t y " f o r e g r o u n d s visual d i a l o g s , e x c h a n g e s , and n e g o t i a t i o n s w h o s e d i v e r s e m a n i f e s t a t i o n s h a v e long b e e n c o n s i d e r e d in Art H i s t o r y in t e r m s and c a t e g o r i e s such as, e.g.. i m i t a t i o n , p a r o d y , q u o t a t i o n , v a r i a t i o n . S i m i l a r t o c o n c e p t s of literary i n t e r t e x t u a l i t y , the c o n c e p t o f i n t e r p i e t o r i a l i t y g o e s b e y o n d the m e r e d o c u m e n t a t i o n a n d d e s c r i p t i o n o f r e l a t i o n s , i n f l u e n c e s , a n d s o u r c e s . It r a t h e r e m p h a s i z e s s e m a n t i c and s e m i o t i c i m p l i c a t i o n s of the f r a m e ( s ) of r e f e r e n c e and a c t ( s ) o f s i g n i f i c a t i o n a d d e d to t h e r e s p e c t i v e i m a g e by m e a n s o f its i n t e r p i c t o r i a l r h e t o r i c . T h e i n t e r p i c t o r i a l r e a d i n g of a spe- c i f i c visual r e p r e s e n t a t i o n u n d e r s c o r e s t h e f u n c t i o n a l i t y o f the s e m a n t i c s u r p l u s p r o d u c e d by t h e p a r t i c i p a t i o n in a n d . p a r t i c u l a r l y s i g n i f i c a n t , p o s s i b l e t r a n s f o r m a t i o n and r e s i g n i f i c a t i o n of c o n v e n t i o n s , r e p e r t o i r e s a n d t r a d i t i o n s . In t e r m s o f their s e m i o t i c s t r u c t u r e , i n t e r p i c t o r i a l l y c h a r g e d p i c t u r e s are h y b r i d s y s t e m s o f s i g n i f i c a t i o n w i t h both r e f e r e n t i a l and s y m b o l i c f u n c t i o n s ( N o t h 2 4 3 - 4 4 ) . T h e y are s e m a n t i c a l l y d e t e r - m i n e d and i n d e t e r m i n a t e at t h e s a m e t i m e a n d p r e s e n t m u l t i - l a y e r e d , p a l i m p s e s t - l i k e o p t i o n s f o r ' r e - c o g n i t i o n ' ( T h i i r l e m a n n 2 1 9 , 2 2 3 - 2 4 ) . I n t e r p i c t o r i a l l y c h a r g e d v i s u a l s can b e c o n s i d e r e d m e t a p i c t u r e s ( M i t c h e l l , Picture Theory 3 5 - 8 2 ) w h i c h , by t h e i r v e r y d e f i n i t i o n and c o m p o s i t i o n , c o m p l i c a t e a s s u m p t i o n s a b o u t the i m m e d i a t e a c c e s s i b i l i t y and c o m p r e h e n s i o n o f p i c t u r e s and e x p o s e t h e p o s s i b l y m a n i p u l a t i v e s t r u c t u r e s and s t r a t e g i e s of their o w n u s e . T h e c o n c e p t of i n t e r p i e t o r i a l i t y is t h u s p a r t i c u l a r l y w e l l - s u i t e d to m a k e the A m e r i c a n S t u d i e s a g e n d a s o f c o n t e x t , f u n c t i o n , and e x p l o r a t i o n o f national n a r r a - t i v e s and their p o l i t i c a l , s o c i a l , and c u l t u r a l i m p l i c a t i o n s interact with the c o n c e r n s o f Art H i s t o r y , Bildwissenschaft, and visual c u l t u r e s t u d i e s w i t h i c o n o g r a p h i c c o n v e n t i o n s , t r a d i t i o n s , and r e p e r t o i r e s . T h e p r a c t i c e of i n t e r p i c t o r i a l r e a d i n g s can b e seen as a v a r i a t i o n , if n o t r a d i c a l i z a t i o n , o f a p p r o a c h e s t o i c o n o g r a p h y and i c o n o l o g y a s pre- s e n t e d by E r w i n P a n o f s k y b e t w e e n 1932 and 1955. O n c e ( a g a i n ) they are d i s c u s s e d w i d e l y in r e c e n t Art H i s t o r y , Bildwissenschaft, and v i s u a l " T h e term itself is o f r a t h e r r e c e n t c o i n a g e a n d in G e r m a n at t i m e s u s e d inter- changeably with Interbildlichkeit, Intervisualitdt, Interikonizitat. See Von Rosen; Rose, Parodie, Intertextualitat, Interbildlichkeit; and Rose, Pictorial Irony, Parody. Pastiche. I s e k e n m e y e r ' s collection of essays, Interpiktorial- itat: Theorie und Geschichte der BUd-Bild-Beziige, was published a f t e r the c o m p l e t i o n o f the p r e s e n t article. ' A m e r i c a n ' P i c t u r e s and ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 1 5 c u l t u r e studies ( P o e s c h e l ; Buttner and G o t t d a n g ; S c h u l z ; Sachs- H o m b a c h ; K.opp-Schmidt'~). Without p r o v i d i n g a detailed m e t h o d o l o g y , P a n o f s k y outlines an interpretive trajectory that m o v e s in three stages f r o m the p r e - i c o n o g r a p h i c a l description o f r e c o g n i z a b l e empirical g i v e n s and e x p e r i e n c e s in the picture under consideration to the icono- graphical tracing o f representational c o n v e n t i o n s , m o t i v e clusters, and archival repertoires, a n d , finally, to the iconological interpretive synthe- sis e x p l o r i n g the possible m e a n i n g , s i g n i f i c a n c e , and cultural impact of the picture. In regard to the s a m p l e p h o t o g r a p h s of US A m e r i c a n presi- dents Barack O b a m a and G e o r g e W. Bush by David G r u n t e l d and A n j a N i e d r i n g h a u s presented a b o v e , the interpretive acts m o v e f r o m the work shoes and the T h a n k s g i v i n g turkey as empirically recognizable givens, to the tracing of c o n v e n t i o n s and traditions of social p h o t o g r a p h y , the c o m m o n m a n , and the national narratives of T h a n k s g i v i n g and World W a r II, and f r o m the interpretation of the s i g n i f i c a n c e of the functional t r a n s f e r of the iconographical clusters to the politically motivated repre- sentation of the two U S A m e r i c a n presidents in their respective histori- cal positions. Interpictorial relations are established and analyzed in Erwin P a n o f s k y ' s s e c o n d and third stages and located b e t w e e n what P a n o f s k y calls i c o n o g r a p h i c and iconological interpretation. Although his model has been criticized for the f u z z i n e s s of its distinction between these two levels and c o n c e p t s — e s p e c i a l l y by M a x I n i d a h l — P a n o f s k y ' s p r o c e d u r e as well as its very critique e n h a n c e our u n d e r s t a n d i n g of interpictorially charged pictures as s t o r e h o u s e s and g e n e r a t o r s of m e a n i n g : S o w o h l E r w i n P a n o f s k y w i e M a x I m d a h l h a b e n v o r a l l e m A n s a t z e zu e i n e r B i l d t h e o r i e im S i n n e e i n e r T h e o r i e d e r Bedeutungskonstitution der liilder g e l i e f e r t . D i e a u f e i n e n Blick s o u n t e r s c h i e d l i c h e n A u t o r e n h a b e n b e i d e ein e m p h a t i s c h e s V e r h a l t n i s z u r i n t e r p r e t a t i v e n D e t a i l a r b e i t . F u r b e i d e ist d a s e i g e n t l i c h e Ziel der K u n s t w i s s e n s c h a f t d a s V e r s t e h e n d e s It d e s e r v e s special m e n t i o n in the p r e s e n t c o n t e x t that t h e s p r i n g 2 0 1 2 i s s u e of Critical Inquiry p r i n t s an E n g l i s h t r a n s l a t i o n o f E r w i n P a n o f s k y ' s 1 9 3 1 / 1 9 3 2 lecture a n d e s s a y " Z u m P r o b l e m d e r B e s c h r e i b u n g u n d I n h a l t s - d e u t u n g v o n W e r k e n d e r b i l d e n d e n K u n s t " ( " O n t h e P r o b l e m o f D e s c r i b i n g and I n t e r p r e t i n g W o r k s o f t h e V i s u a l A r t s " ) , f o l l o w e d by an e x t e n d e d d i s c u s s i o n o f " t h e g e n e s i s o f i c o n o l o g y " by t h e t r a n s l a t o r s , J a s E i s n e r a n d K a t h a r i n a L o r e n z . 4 1 6 U D O J. H E B I l e i n z e l n e n K u n s t w e r k s als B e d e u t u n g s t r a g e r . D e s h a l b ird ihre j e w e i l s n o c h zu r e k o n s t r u i e r e n d e B i l d t h e o r i e a u c h e i n e r T h e o r i e d e r W e r k i n t c r - p r e t a t i o n g l e i c h k o m r a e n . [ . . . ] U m d i e D i f f e r e n z a u f e i n e F o r m e l zu b r i n g e n : Fur Erwin P a n o f s k y sind die B i l d e r Speicher und Transforma- toren von B e d e u t u n g , f u r M a x I m d a h l sind s i e Generaloren von B e d e u - t u n g . ( T h i i r l e m a n n 2 3 2 - 3 3 ; italics in t h e o r i g i n a l ) I n t e r p i c t o r i a l l y c h a r g e d p i c t u r e s p a r t a k e a c t i v e l y — i n a c u l t u r a l l y and p o l i t i c a l l y s i g n i f i c a n t w a y - in w hat s c h o l a r s o f i c o n o g r a p h y h a v e called " B i l d g e d a c h t n i s " ( P o e s c h e l 7) and " n a t i o n a l e [ r ] B i l d e r v o r r a t " ( B o g e r 106). T h e i n d i v i d u a l p i c t u r e w i t h its p o s s i b l e n e t w o r k o f i n t e r p i c t o r i a l r e f e r e n c e s is t h e t a n g i b l e site in t h e c u l t u r a l f l o w o f i m a g e s a n d t h e s t e p p i n g - s t o n e into t h e v i s u a l a r c h i v e o f a c u l t u r e . T h e indiv idual p i c t u r e o p e n s up v e n u e s f o r the a n a l y s i s o f ( e x p l i c i t or i m p l i c i t ) p r o c e s s e s o f g e n e r a t i n g and t r a n s f e r r i n g m e a n i n g and t h u s f o r t h e i n t e r p r e t a t i o n o f p o s s i b l e p r o c e s s e s o f c u l t u r a l and political r e s i g n i f i c a t i o n a n d r e e v a l u a - t i o n . I n t e r p i c t o r i a l r e a d i n g s p e r f o r m acts o f r e - s i t u a t i n g and a i m at r e v e a l i n g the c o n t e x t s a n d p r e s u p p o s i t i o n s g o v e r n i n g the v i s u a l r h e t o r i c o f s p e c i f i c p i c t u r e s . T h e y r a i s e i s s u e s o f v i s u a l l i t e r a c y and o f t h e pic- t u r e ' s i n v e s t m e n t in the visual a r c h i v e and c o l l e c t i v e m e m o r y of a c u l - t u r e a n d / o r n a t i o n . I n t e r p i c t o r i a l r e a d i n g s are p a r t i c u l a r l y s i g n i f i c a n t in r e g a r d t o s o - c a l l e d i c o n i c p h o t o g r a p h s ( H a r i m a n and L u c a i t e s ; G o l d b e r g 1 3 5 - 6 1 ; S t u r k e n a n d C a r t w r i g h t 3 6 ) or s o - c a l l e d Schlagbilder ( D i e r s ) . 1 In h e r s u m m a r y r e v i e w o f m a j o r p u b l i c a t i o n s in the Held, S a r a B l a i r s t r e s s e s t h e " a f t e r - l i v e s " o f p o p u l a r , p o s s i b l y c o n t r o v e r s i a l p i c t u r e s a n d t h e i r " a g e n c y in c o m p e t i n g n a r r a t i v e s " ( 6 9 2 ) . C a p t u r i n g w h a t p h o t o g r a p h y t h e o r i s t a n d p h o t o j o u r n a l i s t Henri C a r t i e r - B r e s s o n called " t h e d e c i s i v e m o m e n t . " and " b o u n d in a m a t r i x o f c u l t u r a l m e a n i n g " ( G o l d b e r g 17), i c o n i c p h o t o - g r a p h s f u l f i l l t h e " p r o v e n f o r m u l a f o r r e p r o d u c i n g a s o c i e t y ' s s o c i a l o r d e r " in t h e i r " c o m b i n a t i o n o f m a i n s t r e a m r e c o g n i t i o n , w i d e c i r c u l a - l j S e e a l s o the e x c h a n g e o f d i f f e r e n t v i e w s on a p h o t o g r a p h ' s i c o n i c i t y b y R o b K r o e s , M i l e s O r v e l l , a n d A l a n N a d e l in Journal of American Studies 45.1 ( 2 0 1 1): 1 - 2 0 . ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 1 7 tion, and e m o t i o n a l i m p a c t " ( H a r i m a n and L u c a i t e s 9). R o b K r o e s ' c h a r a c t e r i z a t i o n as " e p i c c o n c e n t r a t i o n " (68). Vicki G o l d b e r g ' s d e s c r i p - tion as a " p u b l i c m o n u m e n t " ( 1 3 5 ) , and Sara B l a i r ' s a s s e s s m e n t as "a m e a n i n g f u l site of c i v i c p e r f o r m a n c e " ( 6 8 2 ) e m p h a s i z e f r o m d i f f e r e n t t h e o r e t i c a l p e r s p e c t i v e s and a p p r o a c h e s the structural features, collective i m p e t u s , a n d p e r f o r m a t i v e g e s t u r e of iconic pictures. For the present c o n t e x t , it is e s p e c i a l l y n o t e w o r t h y that iconic pictures tend to be inter- p i c t o r i a l l y w o v e n into national political i c o n o g r a p h i e s ( W a r n k e et al.) and p r o v i d e "a h o r i z o n within w h i c h the public finds itself, constitutes itself, and d e l i b e r a t e s its o w n e x i s t e n c e " ( P h i l l i p s 4). F i g u r e 9: L y n d o n B. J o h n s o n T a k i n g t h e O a t h o f O f f i c e , 22 N o v e m b e r 1963. C e c i l W . S t o u g h t o n ( W h i t e H o u s e ) Cecil W . S t o u g h t o n ' s p h o t o g r a p h " L y n d o n B. J o h n s o n T a k i n g the Oath of O f f i c e " illustrates t h e interpictorial d i m e n s i o n s and i m p l i c a t i o n s of iconic p h o t o g r a p h s in the context of political i c o n o g r a p h i e s and c o l l e c t i v e m e m o r y . S t o u g h t o n ' s p h o t o g r a p h is part of the visual a r c h i v e and c o l l e c t i v e m e m o r y related to the t r a u m a t i c e v e n t s of the a s s a s s i n a - tion of P r e s i d e n t J o h n F. K e n n e d y in Dallas, T X on Friday, 22 N o v e m - ber 1 9 6 3 . 1 4 E y e w i t n e s s a c c o u n t s of the p r o c e e d i n g s inside Air Force ! 4 For a m o r e c o m p r e h e n s i v e a n a l y s i s o f S t o u g h t o n ' s p h o t o g r a p h a n d an e x t e n d e d d o c u m e n t a t i o n o f its visual c o n t e x t s , s e e H e b e l , " R e p l a c i n g t h e P r e s i d e n t . " 4 1 8 U D O J. H E B I l O n e d o c u m e n t that d e s p i t e t h e c h a o t i c situation and insecurities o f vari- o u s k i n d s , the s w e a r i n g - i n o f the n e w p r e s i d e n t w a s e n a c t e d as a c o n s c i o u s p e r f o r m a n c e of the c o n t i n u i t y , f u n c t i o n a l i t y , and constitu- t i o n a l i t y o f t h e US p r e s i d e n c y and f e d e r a l g o v e r n m e n t . S t o u g h t o n took t w e n t y - o n e p h o t o g r a p h s of the ritual c o n f i r m i n g t h e r i g h t f u l t r a n s f e r of p o w e r , eight o f t h e m d u r i n g the t w e n t y - e i g h t s e c o n d s o f L y n d o n B. J o h n s o n ' s t a k i n g the p r e s i d e n t i a l o a t h o f o f f i c e . T h e c o m p l e t e s e q u e n c e of p h o t o g r a p h s c o m p l i c a t e s t h e m o n u m e n t a l s i n g u l a r i t y o f S t o u g h t o n ' s m u c h - r e p r o d u c e d p h o t o g r a p h and d i s s o l v e s the historical f r e e z e of the o n e ' d e c i s i v e m o m e n t ' into an a d m i t t e d l y brief p e r i o d of w a i t i n g , inde- c i s i o n . and action o f s o m e length and c o m p l e x i t y . A c l o s e a n a l y s i s of the s e q u e n c e s h o w s that the one p h o t o g r a p h selected f o r i m m e d i a t e c i r c u l a t i o n o v e r t h e w i r e s e r v i c e s — m o r e t h a n a n y o t h e r in the s e q u e n c e o f p i c t u r e s S t o u g h t o n t o o k — i s an i n t e r p i c t o r i a l l y c h a r g e d c o n d e n s a t i o n of the i c o n o g r a p h y o f p r e s i d e n t i a l s w e a r i n g - i n c e r e m o n i e s as " t h e true c r o w n of A m e r i c a n c o n s t i t u t i o n a l i s m " ( P a u l e y 215). F i g u r e 10: P r e s i d e n t A n d r e w J o h n s o n T a k i n g t h e O a t h o f O f f i c e a f t e r t h e A s s a s s i n a t i o n o f A b r a h a m L i n c o l n . 15 A p r i l 1865. L i b r a r y o f C o n g r e s s Prints and P h o t o g r a p h s D i v i s i o n ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 1 9 F i g u r e 1 i : P r e s i d e n t H a r r y S. T r u m a n T a k i n g t h e O a t h o f O f f i c e , a f t e r the D e a t h of F r a n k l i n D. R o o s e v e l t , 12 A p r i l 1945. F i g u r e 12: P r e s i d e n t J o h n F. K e n n e d y T a k i n g t h e O a t h o f O f f i c e . 2 0 J a n u a r y 1961. S t o u g h t o n ' s p h o t o g r a p h — u n i q u e as its s c e n e m a y a p p e a r at first sight b e c a u s e of t h e u n u s u a l setting of an a i r p l a n e c a b i n — r e s e m b l e s p r e v i o u s e m e r g e n c y c e r e m o n i e s o f this k i n d , all o f w h i c h w e r e r e p r e - sented as indoor p e r f o r m a n c e s of limited s c o p e and a u d i e n c e . T h e picture p o s i t i o n s t h e u n e x p e c t e d C o n s t i t u t i o n a l A c t of 22 N o v e m b e r 1963 in a s e q u e n c e of historical p r e c e d e n t s f r o m t h e n i n e t e e n t h c e n t u r y 4 2 0 U D O J. H E B I l t h r o u g h the s w e a r i n g - i n of President T r u m a n only e i g h t e e n years earlier, and thus n o r m a l i z e s the event. At the s a m e t i m e , S t o u g h t o n ' s photo- graph c o r r e s p o n d s to the v i s u a l i z a t i o n of g r a n d presidential inaugura- tions o f , e.g., W o o d r o w W i l s o n , Franklin D. R o o s e v e l t , D w i g h t D. E i s e n h o w e r , and John F. K e n n e d y . S i m i l a r to p h o t o g r a p h s of the festiv e e n a c t m e n t of regular i n a u g u r a t i o n s , the c o m p o s i t i o n of S t o u g h t o n ' s p h o t o g r a p h is c e n t e r e d around the ritualistic e n c o u n t e r b e t w e e n the president to be s w o r n in and the r e p r e s e n t a t i v e of the j u d i c i a r y , in this case Federal J u d g e Sarah T. H u g h e s . L y n d o n B. J o h n s o n is the most salient participant in the tableau and the n u c l e u s of the p r o c e e d i n g s in t e r m s of c o m p o s i t i o n a l a n a l y s i s and vectorial s t r u c t u r e . J o h n s o n ' s physical p r e s e n c e and c o r p o r e a l centrality radiate stability and order as he p e r f o r m s the c o n s t i t u t i o n a l g e s t u r e of t a k i n g the oath of o f f i c e . T h e n e w president is f r a m e d by three w o m e n w h o in d i f f e r e n t w a y s represent c o n s t i t u t i v e f e a t u r e s of inaugural visuals: J u d g e H u g h e s a d m i n i s t e r i n g the oath of o f f i c e acts as the r e p r e s e n t a t i v e of the j u d i c i a r y ; J a c q u e l i n e K e n n e d y stands in as the s y m b o l i c r e m n a n t of the f o r m e r p r e s i d e n c y ; Lady Bird J o h n s o n a s s u m e s her n e w role as the first lady and m a j o r r e p r e s e n t a t i v e of the n e w first f a m i l y . E x t e n d i n g to the rear cabin d o o r , the new p r e s i d e n t is s u r r o u n d e d by W h i t e H o u s e a i d e s , c o n g r e s s m e n , security o f f i c e r s , and Air Force O n e c r e w m e m b e r s w h o m a k e f o r a s y m b o l i c a l l y r e p r e s e n t a t i v e a u d i e n c e of m e m b e r s of the legislative, e x e c u t i v e , and j u d i c i a r y b r a n c h e s as well as of the larger public. A l t h o u g h the s c e n e in the c r o w d e d n a r r o w n e s s of the Air Force O n e cabin s e e m s o d d l y d e c o n t e x t u a l i z e d , the seal of the President of the United S t a t e s — a salient repertoire c o m p o n e n t of presidential i n a u g u r a - tion p h o t o g r a p h s (and not visible in S t o u g h t o n ' s o t h e r p h o t o g r a p h s of the s c e n e ) — a n c h o r s the c e r e m o n y r e c o g n i z a b l y in an o f f i c i a l national c o n t e x t , albeit in a f r a g m e n t a r y f o r m at the rear wall of the c a b i n . All in all, the p h o t o g r a p h ' s r e d u c t i o n and f r a g m e n t a t i o n in c o m p a r i s o n to prototypical m a n i f e s t a t i o n s o f the i c o n o g r a p h y of i n a u g u r a l visuals is c o m p e n s a t e d for by its structural m i m e s i s and m e t o n y m i c c o m p l e t e n e s s . Its r e p e t i t i v e n e s s and interpietoriality e n a b l e s the p h o t o g r a p h to p e r f o r m the political and cultural f u n c t i o n of the i n a u g u r a t i o n ritual itself. S i m i - lar to the p h o t o g r a p h s of President O b a m a on the G u l f C o a s t beach and For a c o m p r e h e n s i v e a c c o u n t o f m e t h o d o l o g i c a l a p p r o a c h e s to t h e a n a l y s i s o f t h e g r a m m a r o f visual d o c u m e n t s , see K r e s s a n d V a n L e e u w e n . ' A m e r i c a n ' Pictures and ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 2 1 o f P r e s i d e n t B u s h in B a g h d a d , S t o u g h t o n ' s p h o t o g r a p h o f P r e s i d e n t J o h n s o n t a k i n g the oath of o f f i c e is a r e p r e s e n t a t i o n o f a p e r f o r m a n c e w i t h a p e r f o r m a t i v e f o r c e and f u n c t i o n of its o w n : " I n v i e l e n Fallen ist die E r z e u g u n g v o n B i l d e r n d e r performance f u r d e r e n ( g l o b a l e ) W i r k u n g w i c h t i g e r als ihre I n s z e n i e r u n g u n d A u f f u h r u n g selbst. P e r f o r - m a n c e u n d B i l d e r sind d e s h a l b in u n a u f l o s b a r e r W e i s e m i t e i n a n d e r v e r s c h r a n k t " ( W u l f a n d Z i r f a s 1()). 1 6 .•-.- SbtJs'ttojijorkeimt*. KENNEDY IS KILLED BY SNIPER AS HE RIDES IN CAR IN DALLAS; JOHNSON SWORN IN ON PLANE F i g u r e 13: Front p a g e of The New York Times, 23 N o v e m b e r 1963. T h e f u n c t i o n a l i t y a n d c r e d i b i l i t y o f C e c i l W . S t o u g h t o n ' s p h o t o g r a p h and its p e r f o r n i a t i v i t y e m e r g e t o a l a r g e e x t e n t f r o m its i n t e r p i c t o r i a l c o r r e s p o n d e n c e t o t h e c o n v e n t i o n s , c o d e s , and n o r m s g o v e r n i n g the c h o r e o g r a p h y of i n a u g u r a t i o n c e r e m o n i e s . T h e p i c t u r e ' s e v o c a t i o n o f the i c o n o g r a p h y of t h e s w e a r i n g - i n p r o c e s s f r a m e s t h e m o m e n t o f n a t i o n a l 1 6 See also Susan S o n t a g ' s d i c t u m that " [ t ] o p h o t o g r a p h is to c o n f e r i m p o r t a n c e " (28). It d e s e r v e s m e n t i o n that the Handbook of Rhetoric and Public Address includes a c h a p t e r on p i c t u r e s as " p u b l i c a d d r e s s " ( P a r r y - G i l e s , ch. 10) and thus p o i n t s to a field m o r e w o r k could be d o n e in. 4 2 2 U D O J. H E B I l shock and crisis and n o r m a l i z e s the extraordinary m o m e n t of historical rupture. Given the e n f o r c e d e x c l u s i v e n e s s and public invisibility of the c e r e m o n y inside Air Force One, the p h o t o g r a p h a s s u m e d the role of the inauguration ritual itself for the w ider public. T h e N B C telecast of the p h o t o g r a p h at 5:40 p.m. EST m a d e the continuity of the presidency and the functionality of the federal g o v e r n m e n t visible to the nation and to the world b e f o r e Air Force O n e landed at A n d r e w s Air Force Base at 6:05 p.m. E S T and b e f o r e the first live TV pictures s h o w e d the unload- ing of the dead p r e s i d e n t ' s c o f f i n and the first public statement of the new president at 6:14 p.m. EST. As visual proof of the w o r k i n g o f the constitutional system and of the new president taking over. S t o u g h t o n ' s p h o t o g r a p h filled the gap in presidential visibility and countered imme- diately circulated d o c u m e n t a t i o n s of the d i s a p p e a r a n c e o f the president such as, e.g., J a m e s A l t g e n s ' equally f a m o u s p h o t o g r a p h of the presi- dential limousine rushing a w a y f r o m the scene of assassination. The i c o n o g r a p h i c interplay on the front page of The New York Times of N o v e m b e r 23, 1963 between A l t g e n s ' photograph of the vanishing president and S t o u g h t o n ' s o f f i c i a l White House representation o f the e m e r g i n g new president taking the oath of o f f i c e illustrates the substitute function and p e r f o r m a n c e of S t o u g h t o n ' s interpictorially charged p h o t o - graph most poignantly. 5 T h e s a m p l e analysis of presidential p h o t o g r a p h s illustrates how inter- pictorial readings trace clusters of visual rhetorics and uncover their possible political p o w e r and f u n c t i o n . Positioned at the intersections of visual culture studies and Art History, on the one hand, and A m e r i c a n Studies, on the other, the practice of m a p p i n g interpictorial clusters c o n n e c t s P a n o f s k y ' s i c o n o g r a p h i c and iconological a p p r o a c h e s with the e m p h a s i s of A m e r i c a n Studies on trajectories o f impact, on p r o c e s s e s of a p p r o p r i a t i o n , and on acts of cultural and political s i g n i f i c a t i o n and resigniftcation. The interpretive practice stresses the political and cul- tural p e r f o r m a t i v i t y of interpictorially charged pictures which m a y be further e n h a n c e d in particular situations and contexts o f display in pub- ' A m e r i c a n ' P i c t u r e s and ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 2 3 lie or private s p a c e s . 1 C h r i s t o p h D e c k e r ' s call f o r the " s y s t e m a t i c d o c u - m e n t a t i o n and e x p l o r a t i o n " ( 1 0 ) of the visual c u l t u r e s of the U S c o r r e s p o n d s with the present c o n c e r n w i t h a m o r e c o m p r e h e n s i v e a s s e s s m e n t of the s p e c i f i c i t y , historicity, and f u n c t i o n a l i t y of individ- u a l — a n d i n d i v i d u a l l y p o w e r f u l - m a n i f e s t a t i o n s of A m e r i c a n visual cul- t u r e ( s ) o v e r the c o u r s e of A m e r i c a n history and in c h a n g i n g national and t r a n s n a t i o n a l c o n t e x t s . P r o j e c t s of m a p p i n g interpictorial c l u s t e r s should not be limited to r e c e n t t i m e s of i n c r e a s e d visuality and virtuality but s h o u l d e m b r a c e the p r o d u c t i v i t y of political i c o n o g r a p h i e s o v e r the entire c o u r s e of A m e r i - c a n cultural history. S p e c i f i c p r o j e c t s could f o c u s on visual r e p r e s e n t a - t i o n s of historical m o m e n t s such as, e.g., the arrival of C h r i s t o p h e r C o l u m b u s in the N e w W o r l d in 1492 and G e o r g e W a s h i n g t o n ' s c r o s s i n g o f the D e l a w a r e R i v e r with the C o n t i n e n t a l A r m y in 1776. T h e first c l u s t e r w o u l d take its starting point in T h e o d o r e de B r y ' s late s i x t e e n t h - c e n t u r y e n g r a v i n g o f C h r i s t o p h e r C o l u m b u s ' arrival and trace the f l o w o f visual r e p r e s e n t a t i o n s o f so-called ' l a n d i n g s c e n e s ' and of imperial a n d colonial acts of t a k i n g p o s s e s s i o n in an a r c h i v e of historical paint- ings and prints i n c l u d i n g , a m o n g m a n y o t h e r s and f o r the s a k e of issues of c o m m i s s i o n e d art, p u b l i c d i s p l a y , and c o m m e r c i a l s u c c e s s , e.g., H e n r y S a r g e n t ' s " L a n d i n g of the P i l g r i m s " ( 1 8 1 8 - 2 2 ) , John V a n d e r l y n ' s " T h e L a n d i n g o f C o l u m b u s " ( 1 8 3 7 - 4 7 ) , C u r r i e r & I v e s ' r e p r o d u c t i o n s of the arrival of both C o l u m b u s and the P l y m o u t h P i l g r i m s f r o m the s e c o n d half of t h e n i n e t e e n t h c e n t u r y , a n d , in a g e s t u r e of t r a n s n a t i o n a l e x t e n s i o n toward South A f r i c a , C h a r l e s D a v i d s o n B e l l s ' p a i n t i n g " T h e L a n d i n g of Jan van R i e b e e c k , 1652" ( 1 8 5 0 ) . T h e second cluster w o u l d take its starting point in E m a n u e l L e u t z e ' s " W a s h i n g t o n C r o s s i n g the D e l a w a r e " ( 1 8 5 1 ) and trace the p a i n t i n g ' s interpictorial a p p r o p r i a t i o n in prints by C u r r i e r & Ives, Larry R i v e r s ' " W a s h i n g t o n C r o s s i n g the D e l a w a r e " ( 1 9 5 3 ) , Robert H. C o l e s c o t t ' s " G e o r g e W a s h i n g t o n C a r v e r C r o s s i n g the D e l a w a r e : Page f r o m an A m e r i c a n History T e x t b o o k " ( 1 9 7 5 ) , Grant W o o d ' s " D a u g h t e r s of the A m e r i c a n R e v o l u t i o n " ( 1 9 3 2 ) , and a host of c o m m e r c i a l items such as, e.g., r e p l i c a s of the historic 1 T h i s a s p e c t c o u l d be f u r t h e r d i s c u s s e d in t h e c o n t e x t s o f spatial s t u d i e s in g e n e r a l and o f m u s e u m s t u d i e s a n d s t u d i e s o f d e c o r a t i o n a s a c u l t u r a l a n d political p h e n o m e n o n in p a r t i c u l a r . S e e , e.g., d i s c u s s i o n s o f c o n c e p t s s u c h a s " P r a s e n t a t i o n s z u s a m m e n h a n g " and " D e k o r a t i o n s k o m p l e x e " in S a c h s - H o m - bach and S c h i r r a 4 1 6 ; Biittner and G o t t d a n g 2 4 ; P e t e r f y 2 6 5 - 6 7 . 4 2 4 U D O J. HEBI l s c e n e with D i s n e y f i g u r e s . F u r t h e r m o r e , p r o j e c t s o f interpictorial m a p p i n g c o u l d t a k e their p o i n t s of d e p a r t u r e in n i n e t e e n t h - c e n t u r y p a i n t i n g s and p o r t r a i t p h o t o g r a p h s of N a t i v e A m e r i c a n w a r r i o r s and c h i e f s by Karl B o d m e r , G e o r g e C a t l i n , a n d E d w a r d S. C u r t i s and t r a c e their i n t e r p i c t o r i a l r e s i g n i f i c a t i o n in p h o t o g r a p h s and p a i n t i n g s such as. e.g., " W h i t e M a n ' s M o c c a s i n s " ( 1 9 5 4 ) and " A n A m e r i c a n P o r t r a i t " ( 1 9 7 9 ) by c o n t e m p o r a r y N a t i v e A m e r i c a n artists L e e M a r m o n and Fritz S c h o l d e r r e s p e c t i v e l y . N i n e t e e n t h - c e n t u r y p a i n t i n g s o f N a t i v e A m e r i - c a n s s u c h as, e.g.. T o m k i n s H. M a t t e s o n , " T h e Last o f t h e R a c e " ( 1 8 4 7 ) . J o h n M i x S t a n l e y ' s " T h e Last o f T h e i r R a c e " ( 1 8 5 7 ) , and Fredric R e m i n g t o n , " T h e Last o f H i s R a c e " ( 1 9 0 8 ) c o u l d a l s o b e taken into a c c o u n t as p o s s i b l e t a r g e t s o f i n t e r p i c t o r i a l s i g n i f i c a t i o n and r e s i g n i f i c a - tion in t h e v i s u a l art o f c o n t e m p o r a r y N a t i v e A m e r i c a n a r t i s t s . I x T h e s a m p l e c l u s t e r s g i v e n h e r e c a n o n l y i n d i c a t e the w i d e r a n g e o f t h e m e s , f o r m s , s t r a t e g i e s , and f u n c t i o n s o f visual c l u s t e r s in A m e r i c a n cultural h i s t o r y , p r o m i n e n t l y a m o n g t h e m p a r o d y and p o s s i b l y s u b v e r s i v e ap- p r o p r i a t i o n s o f h e g e m o n i c U S A m e r i c a n h i s t o r i c a l a n d c u l t u r a l n a r r a - t i v e s w i t h t h e p u r p o s e o f r e s i g n i f i c a t i o n . T h e s a m p l e s m a y a l s o s e r v e to s u g g e s t h o w s t r a t e g i e s o f i n t e r p i e t o r i a l i t y c o n t r i b u t e to, e.g.. p o p u l a r i z i n g n a t i o n a l n a r r a t i v e s and c l a i m i n g r e c o g n i t i o n f o r s p e c i f i c 19 g r o u p s . A b y W a r b u r g ' s m o n u m e n t a l p r o j e c t o f a " B i l d e r a t l a s M n e m o s - y n e " — d e s c r i b e d by M i c h a e l D i e r s as " O r g a n o n e i n e r t r a n s d i s z i p l i n a r e n B i l d ( g e s c h i c h t s ) w i s s e n s c h a f t " ( D i e r s , " A t l a s u n d M n e m o s y n e " 185) and 1 8 T h e m a p p i n g o f i n t e r p i c t o r i a l c l u s t e r s and the t r a c i n g o f p o s s i b l e t r a n s f e r s , c o m p l i c a t i o n s , a n d c h a l l e n g e s o f m e a n i n g b y m e a n s o f i n t e r p i e t o r i a l i t y d o e s not h a v e t o be l i m i t e d to t h e i n t e r p l a y b e t w e e n p h o t o g r a p h s a n d p a i n t i n g s . T h u s , e.g., v i e w e r s o f 1950s a n d 1960s T V s e r i e s a r e s h o w n m i d d l e class s u b u r b a n i d y l l s — e s p e c i a l l y in the o p e n i n g s c e n e s of s u b u r b a n f a m i l y T V s e r i e s — w h i c h c o n t a i n and c o n t i n u e p o p u l a r n i n e t e e n t h - c e n t u r y v i s u a l i z a - t i o n s o f g e n d e r roles a n d spatial i d e o l o g i e s as t r a c e a b l e in p o p u l a r p r i n t s by C u r r i e r & Ives s u c h as, e.g., Four Seasons of Life. A s t r i d B o g e r ( 1 2 9 - 3 0 ) has s h o w n h o w R o b e r t C a p a ' s ( e l e v e n s u r v i v i n g ) D - D a y p h o t o g r a p h s are used by S t e v e n S p i e l b e r g in Saving Private Ryan ( 1 9 9 8 ) t o r e p r e s e n t t h e Allied l a n d i n g in N o r m a n d y in J u n e 1944. 1 9 S e e F l u c k , " M e n in B o a t s , " a n d L e m k e f o r f u r t h e r d i s c u s s i o n s of the c o n s t r u c t i o n o f A m e r i c a n s e l f - i m a g e s a n d n a t i o n a l i c o n s in p r o c e s s e s o f t r a n s n a t i o n a l c u l t u r a l e x c h a n g e . ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 2 5 r e p e a t e d l y e v o k e d in d e f i n i t i o n s of i c o n o g r a p h y — m a y also r e m a i n a point of r e f e r e n c e in c o n c e p t u a l i z a t i o n s of interpictoriality: 1m Z e i t a l t e r d e r I n d i v i d u a h s i e r u n g und P l u r a l i s i e r u n g gibt es k e i n e ka- n o n i s i e r t e n B e z u g s s y s t e m e m e h r , dafiir h a b e n i n t e r t e x t u e l l e A n s p i e l u n - gen und V e r w e i s u n g e n u m s o groBere B e d e u t u n g . Ihr N a h r b o d e n ist d a s F o r t b e s t e h e n d e r T r a d i t i o n e n im s o z i a l e n G e d a c h t n i s , d a s A b y W a r b u r g m i t s e i n e m B i l d a t l a s d o k u m e n t i e r e n w o l l t e . [ . . . ] A u f g a b e d e r I k o n o g r a - p h i e ist es, d a s V e r s t a n d n i s f u r K u n s t und f u r d i e in ihr a u f g e h o b e n e n E r i n n e r u n g e n w a c h z u h a l t e n , B i l d i n h a l t e zu d e u t e n und d i e V i e l f a l t d e r darin e n t h a l t e n e n o f f e n e n und v e r d e c k t e n B e z i i g e a u f z u d e c k e n und zu e r k l a r e n . ( B i i t t n e r a n d G o t t d a n g 2 7 4 - 7 5 ) In the field of A m e r i c a n S t u d i e s , J a n i c e R a d w a y ' s m u c h - q u o t e d e m p h a - sis on " i n t r i c a t e i n t e r d e p e n d e n c e s " ( R a d w a y 10) and Shelley Fisher F i s h k i n ' s v i s i o n a r y call f o r the d e v e l o p m e n t o f " D E E P M A P S " ( D P M P / Digital P a l i m p s e s t M a p p i n g P r o j e c t s ) m a y be taken as c o n c e p t u a l f r a m e s of r e f e r e n c e f o r p r o j e c t s to m a p interpictorial clusters in A m e r i - can Studies and f o r the e x p l o r a t i o n o f the p a l i m p s e s t - l i k e structures of interpictorially c h a r g e d i m a g e s . F i g u r e 14: K e n t S t a t e U n i v e r s i t y S h o o t i n g , 4 M a y 1970. J o h n Paul F i l o David G r u n f e l d ' s picture of President O b a m a on the G u l f C o a s t beach and its allusion to V a n G o g h ' s p a i n t i n g d r a w s attention to the 4 2 6 U D O J. H E B I l possible transeultural i m p l i c a t i o n s of interpictorial r e a d i n g s . In a similar vein, S t o u g h t o n ' s p h o t o g r a p h can be c o n s i d e r e d in a t r a n s n a t i o n a l net- work of historical and political i c o n o g r a p h i e s w h i c h m a y include J a c q u e s - L o u i s D a v i d ' s p a i n t i n g " T h e O a t h of the H o r a t i i " ( 1 7 8 4 ) he- cause of the parallels o f the oath s c e n e , the e n s u i n g h a s t y d e p a r t u r e , and the g r i e v i n g w o m e n ( L u b i n 193-202). C h a r l e s D a v i d s o n B e l l ' s p a i n t i n g " T h e L a n d i n g of Jan van R i e b e e c k , 1652," finally, illustrates the trans- national p r o d u c t i v i t y of v i s u a l i z a t i o n s of c o l o n i a l arrivals and imperial acts of t a k i n g p o s s e s s i o n . All t h r e e e x a m p l e s f o r e g r o u n d the possible position and f u n c t i o n of interpictorially c h a r g e d i m a g e s at the c r o s s r o a d s of s p e c i f i c national i c o n o g r a p h i e s , on the o n e h a n d , and w i d e r t r a n s n a - tional traditions, a r c h i v e s , and r e p e r t o i r e s , on the other. G r u n f e l d ' s and S t o u g h t o n ' s pictures are ' A m e r i c a n ' p h o t o g r a p h s b e c a u s e of their " p u r - pose and f u n c t i o n within a given cultural m a t r i x " (Orvell 15); but they are also part of an " i n t e r n a t i o n a l e r B i l d e r k o s m o s " with virtually no limits ( W u l f and Z i r f a s 26; also Sturken and C a r t w r i g h t 36). In these t e r m s , John Paul F i l o ' s Pulitzer P r i z e - w i n n i n g p h o t o g r a p h of the Kent State U n i v e r s i t y s h o o t i n g of M a y 1970 is an ' A m e r i c a n ' p i c t u r e an- c h o r e d in the cultural m a t r i x of its o w n t i m e s , s p a c e s , and c o n f l i c t s , and e s p e c i a l l y so w h e n resituated in its o w n visual c o n t e x t s and the set of other pictures that Filo took on that day on the g r o u n d s of Kent State University."" H o w e v e r , w h e n p l a c e d b e s i d e e q u a l l y w e l l - k n o w n — a n d e q u a l l y situated and c o n t e x t u a l i z e d — p h o t o g r a p h s of the killing of B e n n o O h n e s o r g in Berlin in J u n e 1967 (Jiirgen H e n s c h e l ) , of t h e killing of H e c t o r Pieterson in S o w e t o / S o u t h A f r i c a in J u n e 1976 ( S a m N z i m a ) , and of the s u f f e r i n g of a s e v e r e l y w o u n d e d protester in S a n a ' a , Y e m e n , in O c t o b e r 201 1 ( S a m u e l A r a n d a ) , the interpictorial c l u s t e r t a k e s on a m u c h w i d e r s c o p e o f transeultural d i m e n s i o n s and t r a n s n a t i o n a l impli- cations. W h a t then are the i m p l i c a t i o n s , limits, and p u r p o s e s not only of tracing interpictorial a l l u s i o n s and a f f i n i t i e s in general but of t h e s p e c i f i c A m e r i c a n Studies c o n c e r n with m a p p i n g interpictorial c l u s t e r s ? T h e q u e s t i o n raises w e l l - k n o w n A m e r i c a n S t u d i e s issues r e g a r d i n g p o s s i b l e t e n s i o n s b e t w e e n d i s c i p l i n a r y f o c u s and t r a n s d i s c i p l i n a r y s p e c t r u m . Projects of m a p p i n g interpictorial clusters contain all the p o t e n t i a l of f r u i t f u l interdisciplinarity and all the p o s s i b l e pitfalls of d i s c i p l i n a r y 2 0 O n the w i d e r c o n t e x t s o f v i s u a l i z a t i o n s o f " A m e r i c a n P i e t a s , " s e e T a p i a . ' A m e r i c a n ' P i c t u r e s a n d ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 2 7 h y b r i d i z a t i o n . K e e p i n g their f o c u s on p o w e r f u l ' A m e r i c a n ' p i c t u r e s and on t h e p o l i t i c a l , s o c i a l , a n d c u l t u r a l i m p a c t o f U S A m e r i c a n n a t i o n a l i c o n o g r a p h i e s , p r o j e c t s o f m a p p i n g ' A m e r i c a n ' i n t e r p i c t o r i a l c l u s t e r s s h o u l d e n g a g e t h e f a r - r e a c h i n g t r a j e c t o r i e s o f t r a n s n a t i o n a l i c o n o g r a - p h i e s in o r d e r to t r a c e and i n t e r p r e t t h e f l o w a n d m o b i l i t y o f i m a g e s and " t h e i n t r i c a t e i n t e r w o v e n n e s s o f n a t i o n a l d i s c o u r s e s " (Paul 165)."' In this s e n s e , T r a n s n a t i o n a l A m e r i c a n Studies"" c a n p r o v i d e the c o n c e p t u a l f r a m e w o r k and t h e o r e t i c a l p e r s p e c t i v e s f o r m a p p i n g i n t e r p i c t o r i a l c l u s - ters in A m e r i c a n S t u d i e s . W o r k s C i t e d A g e e , J a m e s , and W a l k e r E v a n s . Let Us Now Praise Famous Men. B o s t o n : H o u g h t o n M i f f l i n , 1941. Batchen Geoffrey. What of Shoes: Van Gogh and Art History. Leipzig: See- m a n n , 2 0 0 9 . [ G e r m a n t r a n s . Van Goghs Sehuhe: Ein Streitgesprach. L e i p - z i g : S e e m a n n , 2 0 0 9 . ] Blair. S a r a . " T h e P h o t o g r a p h ' s Last W o r d : V i s u a l C u l t u r e S t u d i e s N o w . " Ame- rican Literary History 22.3 (2010): 673-97. Boger, A s t r i d . " D i e a m e r i k a n i s c h e F o t o g r a f i e . " Visuelle Kulturen der USA: Zur Geschichte von Malerei. Fotografie, Film, Fernsehen und Neuen Medien in Amerika. Ed. C h r i s t o p h D e c k e r . B i e l e f e l d : T r a n s c r i p t , 2 0 1 0 . 9 9 - 1 5 9 . B o e h m , G o t t f r i e d , e d . Was ist ein Bild? M i i n c h e n : F i n k , 1994 Bonfante-Warren, Alexandra. Currier & Ives: Portraits of a Nation. New York: M e t r o , 1998. Biittner, F r a n k , a n d A n d r e a G o t t d a n g . Einfuhrung in die Ikonographie: Wege zur Deutung von Bildinhalten. 2 n d e d . M i i n c h e n : B e c k , 2 0 0 9 . C h e r o u x , C l e m e n t . Diplopie: Bildpolitik des 11. September. K o n s t a n z : K o n s t a n / . U P , 2 0 1 1 . Decker, Christoph, ed. Visuelle Kulturen der USA: Zur Geschichte von Malerei. Fotografie, Film, Fernsehen und Neuen Medien in Amerika. Bielefeld: T r a n s c r i p t , 2 0 1 0 . For a d i s c u s s i o n o f " A m e r i c a n S t u d i e s as M o b i l i t y S t u d i e s , " s e e K u n o w . ~ For r e c e n t s u m m a r y a c c o u n t s o f t r a n s n a t i o n a l a p p r o a c h e s in A m e r i c a n S t u d i e s and b i b l i o g r a p h i c a l d o c u m e n t a t i o n o f s e m i n a l s t u d i e s in t h e f i e l d , see F l u c k , P e a s e , and R o w e ; H e b e l , " P r e f a c e " ; a n d e n t r i e s in Encyclopedia of American Studies by H o r n u n g , R o w e , a n d R o b i n s o n . 4 2 8 U D O J. H E B I l Diers, M i c h a e l . " A t l a s und M n e m o s y n e . " Bildtheorien: Anthropologische und kulturelle Grundlagen des Visualistic Turn. Ed. K l a u s S a c h s - H o m b a e h . F r a n k f u r t : S u h r k a m p , 2 0 0 9 . 1 8 1 - 2 1 3 . —. Schlagbilder: Zur politischen Ikonographie der Gegenwart. F r a n k f u r t : F i s c h e r , 1997. E i s n e r , Jas, a n d K a t h a r i n a L o r e n z . 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P r e s i d e n t i a l A d d r e s s to t h e A m e r i c a n S t u d i e s A s s o c i a t i o n , 2 0 N o v e m b e r 1 9 9 8 . " American Quarterly 51.1 ( 1 9 9 9 ) : 1-32. R e y n o l d s . L a r r y J., and G o r d o n H u t n e r . e d s . National Imaginaries. American Identities: The Cultural Work of American Iconography. P r i n c e t o n : P r i n c e t o n U P , 2 0 0 0 . ' A m e r i c a n ' P i c t u r e s and ( T r a n s - ) N a t i o n a l I c o n o g r a p h i e s 4 3 1 R o b i n s o n , G r e g . " T r a n s n a t i o n a l i s m a n d A m e r i c a n S t u d i e s . " Encyclopedia of American Studies Online. Web. 22 April 2012. <http://eas-ref.press.jhu. e d u / > . R o s e , M a r g a r e t A . Parodie, Intertextualitdt, Interbildlichkeit. B i e l e f e l d : A i e s t h e - sis, 2 0 0 6 . —. Pictorial Irony. Parody, Pastiche: Comic Interpietoriality in the Arts of the 19th and20th Centuries. Bielefeld: Aiesthesis, 201 1. R o w e , J o h n C a r l o s . " T r a n s n a t i o n a l i s m a n d A m e r i c a n S t u d i e s . " Encyclopedia of American Studies Online. W e b . 22 April 2012. <http://eas-ref.press. j h u . e d u / > . S a c h s - H o m b a c h , Klaus, ed. Bildtheorien: Anthropologische und kulturelle Grundlagen des Visualistic Turn. Frankfurt: S u h r k a m p , 2009. — , a n d J o r g R. J. S c h i r r a . " M e d i e n t h e o r i e , v i s u e l l e K u l t u r u n d B i l d a n t h r o - pologie." Bildtheorien: Anthropologische und kulturelle Grundlagen des Visualistic Turn. Ed. K l a u s S a c h s - H o m b a c h . F r a n k f u r t : S u h r k a m p , 2 0 0 9 . 3 9 3 - 4 2 6 . S c h n l z , Martin. Ordnungen der Bilder: Eine Einfuhrung in die Bildwissenschaft. 2 n d ed. M i i n c h e n : F i n k , 2 0 0 9 . S o n t a g , S u s a n . On Photography. N e w Y o r k : F a r r a r , 1973. S t u r k e n , M a r i t a , a n d Lisa C a r t w r i g h t . Practices of Looking: An Introduction to Visual Culture. 2 n d e d . N e w Y o r k : O x f o r d U P . 2 0 0 9 . T a p i a , Ruby C. American Pietas: Visions of Race, Death, and the Maternal. M i n n e a p o l i s : U o f M i n n e s o t a P, 2 0 1 1 . T h i i r l e m a n n , Felix. " I k o n o g r a p h i e , I k o n o l o g i e , I k o n i k : M a x I m d a h l liest E r w i n Panofsky." Bildtheorien: Anthropologische und kulturelle Grundlagen des Visualistic Turn. Ed. K l a u s S a c h s - H o m b a c h . F r a n k f u r t : S u h r k a m p , 2 0 0 9 . 2 1 4 - 3 4 . T r a c h t e n b e r g , Allan: Reading American Photographs: Images as Histoiy. N e w Y o r k : Hill, 1989. Von Rosen, Valeska. "Interpikturalitat." Metzler Lexikon Kunstwissenschaft. Ed. Ulrich P f i s t e r e r . S t u t t g a r t : M e t z l e r . 2 0 0 3 . 161-64. W a r b u r g , A b y . Der Bilderatlas Mnemosyne. Ed. M a r t i n W a r n k e . Berlin: A k a - d e m i e V e r l a g , 2 0 0 0 . Warnke. Martin et al., eds. Handbuch der politischen Ikonographie. Miinchen: B e c k , 2 0 1 1 . W u l f . C h r i s t o p h , a n d J o r g Z i r f a s , e d s . Ikonologie des Performativen. M i i n c h e n : Fink, 2 0 0 5 . 
work_k33d3e7xizgirohyah6x36jshm	----	untitled Simulated and reconstructed temperature in China since 1550AD Jian Liu1, Hans von Storch2, Eduardo Zorita2, Xing Chen3, Sumin Wang1 1. Nanjing Institute of Geography and Limnology, Chinese Academy of Sciences, Nanjing 210008, P.R.China 2. Institute for Coastal Research, GKSS Research Center, 21502 Geesthacht, Germany 3. Department of Atmospheric Sciences, Nanjing University, Nanjing 210093, P.R.China Research of climate change in Little Ice Age (LIA, 1550-1850AD) has received extensive concern in China. Wide-spread and severe famine and serious social turmoil have taken place in China during LIA. Also the warm conditions after the LIA had great impact on human life and national economy of China (Xu, 1998). Because of this broad interest, Climate (in particular temperature and precipitation) of China since LIA has been reconstructed by Chinese scientists with a variety of proxy data, such as historical documents, tree rings, ice cores, lake sediments, archaeological materials, etc. (Yang, 2002). Recently two long term climatic simulation experiments have been done by a consortium of scientists from Institute for Coastal Research, GKSS Research Center and other institutions. The first run, named “Christoph Columbus” (CC) was run over 535 years beginning in 1450, and is described in some detail by Zorita et al. (2003). The second run, named “Erik den Røde” (EdR), was begun in 900 and ran over 110o years (Zorita et al., 2005). Both simulations were done with the same global atmosphere-ocean coupled climate model ECHO-G with, however, different code versions adapted to different computer systems. Reconstructed time series of the radiative effect of the presence of volcanic aerosols, greenhouse gases in the atmosphere as well as solar radiation were used as forcing. The modeling results reveal global and regional pattern of natural and anthropogenic climate change, which have some similarities with the observational record. The purpose of the present study is to compare these simulated data with observational evidence for the territory of China, and to interpret the recent changes of Chinese temperatures in the context of the forced climate model. China can be divided into 10 districts, which are relatively homogeneous in terms of temperature, precipitation and growing season (Wang, 2001). These are northeast of China, north of China, east of China, middle of China, south of China, southeast of China, southwest of China, northwest of China, Xinjiang region and Tibet region. Based on proxies, such as temperature index, tree ring width and density, δ18O of ice core, reconstructions of temperature series have been made for all these regions via statistical techniques. The reconstructed temperature anomalies are relative to 1880-1979 (Wang, 1998). 2 The reconstructed decadal mean temperature anomaly series of 10 regions of China are compared to those generated in two multi-century simulations with the climate model ECHO-G, which was forced by time-dependent volcanic aerosols, solar radiation and atmospheric greenhouse gas concentrations. The two model simulations are rather similar but exhibit some differences. Both the reconstructed and simulated developments of the temperature exhibit a “hockey-stick” pattern, with a marked increase of temperatures since the beginning of the 20th century. The variations of time scales of a few decades are, however, mostly dissimilar in the proxy-based reconstructions and in the simulations. The reconstructions have been compared with the empirical evidence available from the past century. Unfortunately, this evidence is very uncertain. One analysis of decadal mean temperatures has been prepared by Wang et al. (2001), who used three kinds of data: from 1951-1996 CMA's monthly temperature series from 165 stations for whole China, from 1911-1950 CMA's temperature grade diagram series for 139 stations of China, and from 1880-1910 documentary data, ice core and tree-ring data. On the other hand, Jones et al. (1999) made an attempt to reconstruct Chinese temperatures from 1856 to 1998 AD. This reconstruction is rather uncertain, in particular before 1949. Both reconstructions deviate markedly from each other also in recent decades. In all cases, the warming trend since about 1900 is shared by the reconstructed temperatures and the simulated changes. In all 10 regions, both simulations warm with a rate of about 0.4-1.1 K/(100 a), whereas in Wang et al.’s reconstructions the warming is considerably weaker, -0.05 – 0.4 K/(100 a), which may be due to a significant cooling caused by the emissions of industrial aerosols, which is not accounted for in the GCM simulations. An exception is region 4, in SE China, where the reconstructions reveal a heating of 1.3 K/(100 a), and the GCM runs 0.5 and 0.8 K/(100 a). In the pre-industrial time (1590-1910), the GCM simulates temperatures lower than Wang’s estimates. In particular in the regions 1, 2, 5 and 6, the differences are larger than the Root Mean Square Error (RMSE). Only in the regions 4 (SE China) and 8 (Tibet) the simulated temperatures vary within one plus/minus RMSE. In case of Tibet the coincidence between the GCM and the proxy data is excellent. Also, the development in the Northwest, in region 7, is similar, even if the low-frequency variations are different. In the GCM simulations, temperatures vary around a level of -0.5 K and less, while the reconstructed temperatures vary around a level of -0.3 K or decline from a value close in 1550 to zero to a minimum in the late 19th century (regions 3 and 6 in Central and Southern China). In general, the decadal variations are dissimilar in the reconstructed data and in the simulated data, even though the data are already heavily smoothed with a 5 decades running mean filter. The correlation between the reconstructed data and the CC-simulation for the entire period, 1590-1980, is positive (0.47 – 0.84), but these high 3 values are essentially reflecting the presence of the hockey-stick pattern. If the two periods, pre-industrial 1590-1910 and industrial 1920-1980 are considered separately, the correlations become much smaller, namely -0.32 (region 6) to 0.72 (region 8) for the pre-industrial times, and -0.17 (region 1) to 0.32 (region 7) in modern times. Because of the heavy serial correlation in the data, the determination of significance levels is not meaningful. Interestingly, the simulated curves are among themselves rather similar, but the reconstructed series are quite different from region to region. An attempt is made to assess whether the warming during the 20th century is within the range of “normal’’ variations related to solar and internal dynamical influences. It is found that the reconstructed data are well above the pre-industrial noise level of temperature fluctuations during most of the 20th century. Within the adopted framework, only the increased greenhouse gas concentrations can account for these significantly elevated temperatures. The major part of the 20th century warming can be explained only with the help of the anthropogenic greenhouse gas effect, whereas the solar effect can account only for a smaller proportion. Differently from the development in the GCM simulations, which is a steady upward trend throughout the 20th century, there is in the reconstructions a decline in the 2nd half of the 20th century. We suggest that this is reflecting the steady increase of industrial aerosol emissions in China. References: Xu J-H, 1998: Sun, climate, famine and national migration. Science in China (series D) 41(5) 449-472 (in Chinese) Yang B et al., 2002: Research progress on climate change during the last 2000 years. Progress in Earth Science 17(1): 110-117 (in Chinese) Zorita E, Storch H V, González-Rouco J F, et al., 2003: Simulation of the climate of the last five centuries. GKSS Report 2003/12, 43 pp Zorita E, González-Rouco J F, Storch H V et al., 2005: Natural and anthropogenic modes of surface temperature variations in the last thousand years. Geophysical Research Letters, 32, L08707, doi:10.1029/2004GL021563 Wang Sh-W, Gong D-Y, Zhu J-H, 2001: Twentieth century climatic warming in China in the context of the Holocene. The Holocene, 11(3): 313-321 Wang Sh-W, Ye J-L, Gong D-Y, 1998: Climate of Little Ice Age in China. Quaternary Sciences, (1): 54-64 (in Chinese) Jones P D, New M, Parker D E et al., 1999: Surface air temperature and its changes over the past 150 years. Reviews of Geophysics, 37: 173-199 
work_k5nqivtmzjfvvjck3kotkcbq3i	----	Book Reviews 95 analysis of the industrial/political situations underlying the pre-FTA trade relations and those possible under the F T A . It is regrettable that some of these Canadian and American studies badly need updating from their 1983 or 1988 bases. I n them the recession seems hardly to have started. T o use this book to take a view on B.C.'s internal and trade-policy forest choices, the B.C. reader must somehow get up to date. Having done so, such a reader will find the topics taken up in the volume's other chapters unusually enlightening. Vancouver A N T H O N Y SCOTT Three's A Crew, by Kathrene Pinkerton. Ganges: Horsdal and Schubert, 1991. 320 pp. M a p , illus. $14.95 paper. (First published by Carrick & Evans, New York, 1940). Three's A Crew is Kathrene Pinkerton's account of her cruises on the British Columbia coast between 1924 and 1930 with her husband Robert and their daughter Bobs. Midwesterners and professional writers, in 1917 they had gone to California, but in 1924, tiring of what Pinkerton called "the usual routine of proper schools, dancing lessons, the inevitable ortho- dentia for a growing child, and a decent neighborhood in which to bring u p a daughter," they decided to "spend a summer cruising the intricate coastline of British Columbia." From their base at the Seattle Yacht Club, the Pinkertons took the Yakima, a thirty-six foot cruiser, north to British Columbia. This book, the final result of seven voyages, was first published in 1940, ten years after the most recent of the events described. T h e book is in two halves. T h e first sixteen chapters (of thirty) concern the Pinkertons' first two summers on the coast; they dwell on travel, work, description, and place; on the challenges of living together and bringing up a child on a boat. British Columbia disappears in the wandering and formless final ten chapters, which deal mainly with Kathrene and Robert's sporadic tours of southeastern Alaska. As British Columbia disappears, however, a powerful mother-daughter story emerges. T h e book is about national differences and their effect on Pinkerton and Bobs. Pinkerton insisted that the coast of British Columbia was differ- ent from the coasts to the north and south. Nowhere does she refer to Canada. This is "British Columbia," "the British Empire," and "Great Britain." Her first chapter is called "Going Foreign." When she finally reached Alaska, she wrote that it was "different"; she found a "warmth," "friendliness," "an instant sense of fellowship" there. "Nothing had led 96 BG S T U D I E S us to expect an international boundary to change the flavour of a country, yet we sensed the change soon after crossing the line." Her perception of unfriendliness may have been conditioned by her nationality and class. While Pinkerton thought she was heading north from Seattle into the "unknown," into a frontier, in fact she took a voyage to another culture. Institutionally and demographically, the province posses- sed a post-colonial Englishness, but English class distinctions, nurtured in provincial private schools, were under assault in the forest. " I n the old country," Billy Welsh of Purple Lagoon told her, "they grade men like we grade cedar and that chap thinks he's number one. Old country grading ain't done by the soundness of the timber. It's just the barkmark men carry." And on an unnamed Gulf Island the Yakima, flying the stars and stripes, dropped anchor at a "secluded cove." While bathing in a natural sandstone tub they heard voices above them; "We looked u p into the startled and indignant faces of an Englishman and his three sub-teen daughters. They stood in a line like steps. Baggey black bathing suits apparently bought for them to grow in, and white towels clasped to their bosoms, made them look like a row of enraged penguins." T h e Pinkertons retreated, leaving the unnamed family "staring after us, a frieze of British wrath and outrage." Pinkerton's frontier was somebody else's home. Her patterns of naming reflect her upbringing and allegiance. T h e allusions, symbols, and institutions are American : we hear of Miss America, Daniel Boone, Paul Bunyan (twice), Christopher Columbus, the Smith- sonian Institution, Uncle Sam, the Fourth of July, baseball, and fishing streams in New England. Non-Americans on the coast tend to be anony- mous. Apart from a few loggers (the Dunseiths of Simoon Sound, Dave Connel of Seymour Inlet, and Billy Welsh of Purple Lagoon), and two well-known families (the Hunts of Fort Rupert and the Hallidays of Kingcome I n l e t ) , Native people and Canadian and British settlers go nameless; they're part of the background, the "unknown." We hear of " a n Orkney Islander," "an Englishman," "two charming Englishmen," "a provincial policeman," "a game warden," " a postmistress," " T w o Finn Partners," " a missionary and two women assistants," "lady mis- sionaries," " a forestry superintendent," "a Cambridge m a n , " "the widow of a missionary," "the school matron," "an old fellow." Pinkerton's descriptions of the coast and its communities are, however, as Charles Lillard notes in the foreword, very good. T h e place over- whelmed her. Seymour Narrows and Yucletaw Rapids were "bottleneck openings through which flows the northern tidal water serving the Gulf of Georgia. Twice each lunar day tides raise the level of the gulf and all Book Reviews 97 its channels, straits, inlets, arms, bays, and coves from eight to twenty feet. Twice daily all that immense amount of water must flow back to the open ocean. This surge and ebb, this filling and emptying of a large and com- plicated region, must take place through these narraw channels." "Every time the tide goes out it sets a table." Her description of the floating logging camps of the "logging Eldorado" of Knight and Seymour inlets is superb if dated. These were masculine places. "Women and hens — they must put their feet on land. Kinship with the earth is femaleness and as insistent as the male instinct for boats." Some of the women climbed u p the mountains from the water to the "slashings" where, she wrote, they "watched their men at work and shared the excitement over a growing boom. They were the happy ones, for they were defeating a country which frustrated femaleness." She noted the transition from h a n d logging to logging with donkey engines. "Even Rocke- feller couldn't finance the ideas that come into a man's head when he sees these things," a lumberman told her. Pinkerton discovered "logical and original thinking" of a high order in the logging camps. She met one Steve, "a completely disillusioned capitalist," a hand-logger who had recently bought a donkey engine in the belief that "power logging would give him ease." He wished he had remained a hand-logger. "And look at m e ! " Steve said, "Instead of the donkey working for me, I'm working for the donkey. Investment, pay roll of seven, fire regulations, and I got to have a show big enough to pay to set u p the rig. I got to sell my boom no matter what the market is so I can meet expenses. I saved to buy that critter over there, and it's eating me u p . " These rich descriptions of gender, work, and natural grandeur and sus- tenance are, however, incidental to the plot of the book, which is Bobs Pinkerton's exposure and assimilation to British Columbia society. At first, when Pinkerton had Bobs with her on the boat, " T h e usual gap between adult and child was closed because we did everything to- gether." This changed in 1925 when she transferred Bobs from her school in San Francisco to an "English boarding school a few miles outside Victoria." This was Strathcona Girls' School at Shawnigan Lake. Pinker- ton thought the new school "a bit severe." " T h e English system of abrupt dismissal of parental anxieties is kind but disturbing. T h e manner of the mistresses implied that for generations English schools had taken charge of the very young and made a successful affair of their upbringing. But as I said good-by to an unfamiliar child, proudly wearing an odd blue tunic and school tie, whose main interest was that I carry on as calmly as the other well-trained parents, I felt as though I had casually handed in a 98 BG S T U D I E S package at the proper wicket." Her feelings of anxiety were well founded, and mixed perhaps with guilt. After a winter at the school Bobs had changed. "She still committed the depredations of a twelve-year old. . . . But now she murmured 'Sorry' like a grown-up. I found myself less a mother than a hostess." I n the end Bobs was assimilated by the host society. While Pinkerton celebrated the Fourth of July, Bobs insisted on celebrating the Queen's Birthday. "Bobs played tennis and went sailing. She and I went on day- long shopping expeditions into Victoria, where we selected school clothes and topped off at teas with other mothers and daughters who had spent similar days. When the excitement was over, Bobs went off to school, a dignified upper sixth-former." By 1929, Bobs had been assimilated into the interwar Anglo-British Columbian elite of private property, private schools, private yachts, and private balls; of tennis, badminton, blazers, tunics, fruit cake, ginger beer, dancing parties, holiday teas, luncheons, and evening dresses, all of which Pinkerton describes with curiosity and distance. Bobs' graduation in 1930 coincided with the onset of the Great Depression; both events close the narrative. " T h e mop of blond hair, once brushed only under compulsion, was now trained in waves. Her head . . . was almost level with mine. She had made that transition from child to woman." Bobs, then, adapted to the culture of the coastal élite, not to that of Billy Welsh, Wildcat Anderson, or Ben Marr. Her assimilation makes the book a British Columbian story, saves it from being simply a foreigner's look at the British Columbia coast, and justifies its reprint by a British Columbian publisher. Pinkerton, meanwhile, experienced a growing sense of cultural estrangement from her daughter. While Bobs adapted, her mother did not: she remained outside, a tourist, an observer, a foreigner on a coast of Native people and immigrants whose experience most em- phatically was not American. Her fixed point remained the Seattle Yacht Club. Her assimilation was limited to wintering in 1924-25 in a log cabin on the Gulf of Georgia while her boat was being rebuilt in Seattle; to her adoption of Chinook words like saltchuck and qualicum ("a strong local night wind which comes u p with little or no warning") ; and to a winter in Victoria. It is strange, then, that Lillard is blind both to Pinkerton's awareness of national differences and to the evolving and increasingly strained relation- ship with her daughter that unites the two halves of the book. He makes no mention of either. Instead, he obscures national differences (the key to the book) under the rhetoric of a Greater Northwest Coast, a place where Book Reviews 99 people, cultures, and institutions are undifferentiated, happily part of a grand historical and cultural continuum akin to the Northwest Coast Na- tive "culture areas" of anthropologists.1 T h e book is set, Lillard writes in the foreword, between Puget Sound and Alaska; "between Seattle and Haines." Lillard's generalizations about "our local history" and "our coast" beg the questions: Whose? Whose coast? W h a t coast? What and where is the "Northwest Coast"? W h o defined, or defines, the term? W h a t is the necessity, let alone the legitimacy, of the term after 150 years of separate and distinctive economic, political, legal, cultural, and social history? Lillard, who grew u p in Alaska, perhaps naturally views this region as an indivisible whole; but his is a view that does violence to Pinkerton's book, the contents of which, far from supporting notions of regional unity of cultures, refute them on every page. Lillard's Northwest Coast is not a place I know, and is not a place I can find in Three's a Crew. University of Victoria RICHARD M A G K I E 1 Lillard presents his thoughts on this theme in greater detail in his " C o m m e n t " in The Malahat Review 60 (October 1981) : 5-9. 
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work_k6u2qlz2xfdsbcbbhv5dytd3sa	----	This may be the author’s version of a work that was submitted/accepted for publication in the following source: Flew, Terry (2018) Post-globalisation. Javnost, 25(1-2), pp. 102-109. This file was downloaded from: https://eprints.qut.edu.au/115993/ c© Consult author(s) regarding copyright matters This work is covered by copyright. Unless the document is being made available under a Creative Commons Licence, you must assume that re-use is limited to personal use and that permission from the copyright owner must be obtained for all other uses. If the docu- ment is available under a Creative Commons License (or other specified license) then refer to the Licence for details of permitted re-use. It is a condition of access that users recog- nise and abide by the legal requirements associated with these rights. If you believe that this work infringes copyright please provide details by email to qut.copyright@qut.edu.au Notice: Please note that this document may not be the Version of Record (i.e. published version) of the work. Author manuscript versions (as Sub- mitted for peer review or as Accepted for publication after peer review) can be identified by an absence of publisher branding and/or typeset appear- ance. If there is any doubt, please refer to the published source. https://doi.org/10.1080/13183222.2018.1418958 https://eprints.qut.edu.au/view/person/Flew,_Terry.html https://eprints.qut.edu.au/115993/ https://doi.org/10.1080/13183222.2018.1418958 POST-GLOBALISATION Terry Flew This paper argues that the period from the mid 2000s to the present marks the end of “peak globalisation”, and that we need to move beyond globalisation paradigms and consider the implications for communication and media studies of being in a period of post-globalisation. This does not mean that globalising forces have necessarily declined, but that we need to be more alert to how nation-states and national cultures are shaping as well as being shaped by such forces. KEYWORDS globalisation; post-globalisation; nationalism; cosmopolitan identities; global media policy The Return of Populist Nationalism The 25th anniversary of Javnost comes at a time when the field of global communi- cation and media studies may be set for its most significant changes since the early 1990s. The time at which this journal was founded (1992) was a period in which scholars were beginning to seriously discuss the end of the nation-state, challenged by multinational cor- porations, global financial networks, multilateral trade agreements, the rise of supranational political entities such as the European Union, and the challenge to traditional nationally based political authority by global civil society movements. Communications media were central to all of these changes, and the rise of the global Internet was seen as a catalytic force promoting the shift from territorially bound “legacy media” to convergent media moving seamlessly around the world through the global infrastructure of digital networks. Twenty years on, the dominant themes of our time are the rise of political populism, the resurgence of nationalism in a variety of forms, crackdowns on civil society organis- ations in countries such as Hungary, Poland, Russia, Egypt and China, crises of refugee migration in Europe, the U.S., Australia and elsewhere, and moves away from multilateral- ism. Whether such developments are the consequence of the end of neoliberalism, the rise of racism, growing public doubt about the role of experts, a social media-fuelled decline in civic tolerance or a grassroots democratic resurgence against unaccountable elites is much debated. Two of its most significant manifestations in 2016 were the decision of the United Kingdom to leave the European Union on the basis of a narrow referendum result in June—the so-called “Brexit” referendum—and the election of Donald Trump as U.S. President in November on an “America First” nationalist platform. Significantly, Trump’s first major action on coming to office in January 2017 was to withdraw the United States from the Trans Pacific Partnership (TPP), a binding multilateral trade and investment agreement that his predecessor, Barack Obama, had been negotiating with 12 other nations in the Asia- Pacific region. While the long-term trends can be hard to discern, it is notable that the business media has been drawing attention to the limits of globalisation. The Economist observed in its 2 March 2017 edition that: RJAV1418958 Techset Composition India (P) Ltd., Bangalore and Chennai, India 12/29/2017 5 10 15 20 25 30 35 40 45 Javnost: The Public, 2017 Vol. 25, Nos. 1–2, 1–8, https://doi.org/10.1080/13183222.2018.1418958 © 2017 EURICOM Deleted Text Deleted Text - Deleted Text Deleted Text - Deleted Text Deleted Text , Changes Deleted Text – Changes Deleted Text – Changes Deleted Text ve Deleted Text Deleted Text 2, http://www.tandfonline.com http://crossmark.crossref.org/dialog/?doi=10.1080/13183222.2018.1418958&domain=pdf The new nationalists are on the march in Europe and America. They argue that globalisa- tion has benefited the elites and penalised the ordinary workers and that governments should put America/Britain/France first … The world may have entered a third phase of the post-1945 economy, after the Bretton Woods phase (fixed exchange rates and recov- ery) from 1945-early 1970s and the globalisation phase from 1982–2007. Each phase ended in a crisis (stagflation in the 1970s, a credit crunch after 2008). The next era could see globalisation in retreat for the first time since 1945. The Harvard Business Review similarly warned its readers that: Public sentiment about globalization has taken a sharp turn. The election of Donald Trump, Brexit, and the rise of ultra-right parties in Europe are all signs of growing popular displea- sure with the free movement of trade, capital, people, and information. Even among business leaders, doubts about the benefits of global interconnectedness surfaced during the 2008 financial meltdown and haven’t fully receded. (Ignatius 2017) Peak Globalisation in the 1990s and 2000s One of the features of debates about globalisation is the awareness that it may not necessary be new. The Roman Empire, the Silk Road, the voyages of Vasco da Gama, Chris- topher Columbus and James Cook, slavery, colonialism, the Age of Empires … all of these entailed both the expansion of global trade and commerce, and the extension of political and cultural connections across geographical and continental boundaries. Indeed, Marx and Engels have claimed to being the first theorists of globalisation when they observed, in The Communist Manifesto published in 1848, that “the need of a constantly expanding market for its products chases the bourgeoisie over the surface of the globe … [and] its exploitation of the world-market gives a cosmopolitan character to production and consumption in every country” (1983AQ1 ¶ , 22). In communication and media studies, Marshall McLuhan’s concept of a global village foresaw that broadcast media “has overthrown the regime of ‘time’ and ‘space’ and pours upon us instantly and continuously the concerns of all other [s]” (McLuhan & Fiore 1967AQ2 ¶ , 16). Contemporary globalisation theories typically associate the term with the post-1945 political and economic order. The creation of multinational institutions such as the Inter- national Monetary Fund, the World Bank, the institutions of the United Nations, and a binding network of multilateral treaties and agreements enabled sustained growth in inter- national trade, investment and the movement of people, at least until the “oil shocks” and economic crises of the 1970s. But there was not a crisis of the liberal ideas that underpinned globalisation during this period. On the contrary, the hegemony of liberal ideas was strength- ened during the 1970s and 1980s. The collapse of the Soviet Union and the transformation of the communist regimes of Eastern Europe led to the conclusion that we were indeed at what FrancisFukuyama (1992) termed the“End of History”, marked by thetriumphof liberal democ- racy andmarketcapitalism.Therapidopeningup oftheChina toglobal economic forcesinthe post-Mao period gave a turbo boost to global networks of production as well as global markets, although this did not mean that a turn to capitalist economics was synonymous with the demise of communist party-states and the global triumph of liberal democracy. The 1990s and early 2000s were in retrospect the period of “high globalisation”. In the academic world, authors such as Castells (1996), Beck (2000), Giddens (2002), Held (2004) 2 TERRY FLEW 50 55 60 65 70 75 80 85 90 Deleted Text Deleted Text (The Economist ) Changes Deleted Text s Deleted Text Deleted Text Marx & Engels Author Query Deleted Text The reference “Marx & Engels 1983” is cited in the text but is not listed in the references list. Please either delete the in- text citation or provide full reference details following journal style. Author Query Deleted Text The reference “McLuhan & Fiore 1967” is cited in the text but is not listed in the references list. Please either delete the in- text citation or provide full reference details following journal style. Deleted Text Deleted Text , and others identified technologies of the Internet and digital media, the growth in multilat- eral institutions and agreements, the creation of supranational entities such as the European Union, and the rise of global social movements and a global civil society as marking an era of strong globalisation. In this framework, globalisation marks a qualitative (not simply quan- titative) shift in the economic, political and cultural dynamics of contemporary societies, to the point where we were moving into a new era, marked by the declining significance of nation-states, the rise of a shared global culture, increasingly hybridised cultural identities and a fully integrated global capitalist economy. McGrew and Held (2002, 1) defined globalisation as “a shift or transformation in the scale of human organisation that links distant communities and expands the reach of power relations across the world’s regions and continents”, while Beck (2000, 15) described “globality [as] an unavoidable condition of human intercourse at the close of the twentieth century”. In his 2002 BBC Reith Lectures, Giddens (2002, 19) referred to globalisation as “a shift in our very life circumstances … [and] the way we now live”, while Friedman (2005, 9) identified globalisation as the consequence of the “inevi- table integration of markets, nation-states and technologies”. He referred to the “Golden Straitjacket” that now presented itself to national governments, where openness to economic globalisation as the inevitable price to be paid for economic prosperity, so that “your economy grows and your politics shrink” (Friedman 2001, 106). For “Third Way” political leaders such as former British Prime Minister Tony Blair, the need to “stop and debate globalisation” was as pointless as debating “whether autumn should follow summer … . the character of this changing world is indifferent to tradition” (quoted in Goodhart 2017, 7). As Goodhart has observed, a consensus had emerged in countries such as the United Kingdom that the politics of left versus right was being replaced by a politics of openness versus closure, modernity versus tradition and cosmo- politanism versus nationalism. There is a great deal of economic data that supports the claims around accelerated globalisation in the 1990s and 2000s. As noted inAQ3 ¶ Flew (forthcoming), foreign direct invest- ment grew by 678 per cent and sales by foreign affiliates by 358 per cent between 1990 and 2007, while global GDP grew by 236 per cent and exports by 349per cent over this period. The World Bank (2016) has observed that world trade as a percentage of global GDP doubled from 30 per cent in 1973 to a peak of 60per cent in 2005 (World Bank 2017), but it has since declined, albeit narrowly. The 1990s and early 2000s were a period in which the world economy became more globally integrated, and the international activities of the world’s largest corporations expanded more rapidly than their home country operations. But the globalisation argument incommunicationandmediastudieswasneversimply,orperhapsevenprimarily,aboutecon- omics. It focused particularly upon the ways in which global communications technologies, the circulation of media and information, and large-scale movements of people intersected to generate new forms of global connectivity, hybridised and increasingly non-territorially based forms of cultural identity, and the possibility of deterritorialised, post-national forms of political andcultural citizenship. Cultural globalisation was seenas “a complex,accelerating, integrating process of global connectivity” with multiple dimensions, with particularly impor- tant connections to global media and communications (Tomlinson 2007AQ4 ¶ , 352). With regard to news media, the “CNN Effect” was a term used to refer to the role being played by global satellite news services in mobilising international actors, and creating the possibility of a global public sphere (Bahador 2007). Similarly, the circulation of film, POST-GLOBALISATION 3 95 100 105 110 115 120 125 130 135 140 Deleted Text Deleted Text , Deleted Text Deleted Text , Deleted Text Deleted Text . Deleted Text Deleted Text , Deleted Text Deleted Text . Deleted Text Deleted Text , Author Query Deleted Text If “Flew, forthcoming” been published, please provide the year for this citation and also provide in the reference list. Deleted Text Deleted Text 2018, Changes Deleted Text % Changes Deleted Text % Changes Deleted Text % Changes Deleted Text % Changes Deleted Text % Changes Deleted Text % Deleted Text Deleted Text - Author Query Deleted Text The reference “Tomlinson 2007” is cited in the text but is not listed in the references list. Please either delete the in- text citation or provide full reference details following journal style. Deleted Text Deleted Text s television, music and other cultural and entertainment forms from India, Brazil, Hong Kong, South Korea, Mexico, Egypt and other “second-tier” media capitals was seen as complicating both the idea that media were primarily associated with a national “imagined community”, and the idea that national cultures and identities were under threat from Western cultural imperialism. The large-scale movement of people around the world was combined with what Scholte (2005, 240) termed “the pluralisation of identities under contemporary globa- lisation”, and the rise of non-territorial identities, or attachments and affiliations based on age, class, disability, gender, race, sexual orientation, religion or other forms of being and belonging that enabled “collective solidarity with fellow human beings anywhere on earth” (Scholte 2005, 242). The Internet and globalisation were seen as working in tandem to promote not only more global forms of consciousness, but also cosmopolitan and post-national forms of iden- tity. Activist movements related to socialism, feminism, LGBT rights, religious freedoms and environmental concerns are underpinned by what Scholte termed “partial cosmopolitan- ism” (2005, 220), as the registering of non-territorial identities as a political force requires a politics of recognition that crosses national boundaries. The development of the Internet was seen a force for cosmopolitanism, as it promotes the formation of networks and shared identities across territorial boundaries, as access to online content can itself be seen as a human rights issue. The Internet can also be seen as a global public good, as its effective operation requires the cooperation of national governments to observe rules, norms and protocols related to its effective operation. For authors such as sociologist Beck, the power of the nation-state was in decline and “those who play only the national card in the global meta-game will lose”; states could only make themselves relevant again by them- selves “becom[ing] transnationalised and cosmopolitanised” (2005, 9). The Retreat from Peak Globalisation In retrospect, 2007 can be seen as the year in which globalisation trends began to move back from a peak. This is generally attributed to the chain of events from the collapse of the U.S. secondary mortgage market in the second half of 2007 to the failure of Lehmann Brothers, the subsequent European debt crisis, and the global economic downturn in the second half of 2008. This is often described as the crisis, and possibly end of the era, of neoliberal capital- ism, but it is also worth noting other, non-economic factors driving a retreat from globalisa- tion. 2007 was also the year in which the Russian political leadership decisively distanced itself from the West, with Vladimir Putin denouncing a unipolar world at the European Security Conference in February, while newly elected President Andrei Medvedev used the Davos Forum a month earlier to proclaim as distinctly Russian form of “sovereign democracy”. In China, the global economic downturn forced the state to accelerate the long-anticipated economic transition from export-led growth to enhancing domestic con- sumption in order to avoid high unemployment. The lasting legacy of this period was the massive investment in the high-speed rail grid that now connects most of China’s urban centres, providing a catalyst for further large-scale infrastructure commitments such as the Belt and Road Initiative. Aspects of the globalisation discourse were always overstated. Dicken (2015, 116) observed that the percentage of assets held outside of home countries by the world’s 4 TERRY FLEW 145 150 155 160 165 170 175 180 185 Deleted Text Deleted Text , largest transnational corporations (TNCs) had increased from 51.6 per cent in 1993 to 67.8 per cent in 2012. While this indicates a considerable degree of international expansion, it also demonstrates that a large amount of the activities of the world’s largest companies remain within their home countries. The data itself needs closer scrutiny, as the companies with the largest share of assets held overseas are typically in the mining and extractive industries and/or from relatively small countries: companies headquartered in The Nether- lands and Switzerland have more assets held offshore than those from the United States or Japan, for instance. Insofar as there has been an “offshoring” of global manufacturing, its impact needs to be considered alongside the rise in service industries, which are typically less likely to be broken up into global production networks.1 The debate about whether TNCs are now more powerful than nation-state govern- ments has existed in some or other form since the early 1970s, and there is certainly some truth in the observation that TNC control over economic resources and flexibility around investment decisions gives them considerable leverage in their dealings with national gov- ernments. At the same time, the rise of state capitalism as an alternative to Western neo- liberal economics has been noted (Kurlantzick 2016), with China being the emblematic case of a state-led market economy which has significantly outperformed the Western nations in the 2000s and 2010s. The 2010s have also seen a growing assertiveness on the part of particular national governments towards Western TNCs, particularly with regard to media and the Internet. China’s banning of Google in 2010 has been the best-known case in the media and communications sectors, but there have also been actions such as Russia’s blocking of LinkedIn in 2016, and the blocking of Wikipedia in Turkey in 2017. Flaws in the Globalisation Paradigm Actions such as those above indicate that there are limits to the “borderless” nature of the internet that can be set by national governments, whatever we may think about such actions from the point of view of human rights such as the freedom to communicate. More generally, even where Internet users have access to content from around the globe, they are highly likely to gravitate to local sources of information and entertainment content, particu- larly where English is not the primary language (Taneja and Wu 2014AQ5 ¶ ). In this respect, pat- terns of Internet usage echo earlier studies of broadcast media and news, which find that rising economic prosperity is typically associated with local audiences developing a stron- ger preference for national content. This pattern arises in part because the quality local material improves as it finds itself in competition with “Global Hollywood” and the inter- national news agencies. We are not, therefore, heading towards a homogeneous global culture, whether in the form of a “Global Village” or the spectre of cultural imperialism. There are two other notable flaws in the globalisation argument. One relates to popu- lation movements and their cultural implications. For the most part, cultural globalisation theorists have been highly critical of the cultural imperialist arguments, observing that exposure to content from other parts of the world does not equate with adopting the ideas, values and beliefs of that culture. But it has also been argued that such assumptions about culture as also negated by the growing mobility of people around the world, and the increasingly multicultural nature of national societies. There is a degree of truth in this, but we need to be careful not to overstate the trends, or to see them as historically POST-GLOBALISATION 5 190 195 200 205 210 215 220 225 230 Changes Deleted Text transnational corporations Deleted Text Deleted Text s Author Query Deleted Text The year for "Taneja & Wu 2014" has been changed to year to match the entry in the references list. Please provide revisions if this is incorrect. unprecedented. Miller and Castles (2003)AQ6 ¶ have made the point that mass migration in the period from 1815 to 1914 was in fact proportionately greater than that of 1945–2000, and while it certainly changed national cultures, it did not negate the idea of there being national cultures. Data from the United Nations also indicates that international migrants account for about 3 per cent of the world’s population in 2010, and that this figure has stayed in a range of 2.5–3.5 per cent since it began to be calculated by the UN (Berg and Besharov 2016). Moreover, 10 countries received over 50 per cent of international migrants. The impacts of large-scale migration vary between those where the notion of post-national dia- sporas is most plausible (United States, Germany, Canada, France, United Kingdom, Austra- lia), those where they are guest workers largely isolated from the dominant national culture and polity (Saudi Arabia, the Gulf States, Singapore), and those where migration was driven by political changes in the broader region (India, Russia, Ukraine). Accounts of large-scale migration and its broader cultural implications run the risk of extrapolating inappropriately from the experience of a small number of developed nations. The second major flaw has been around understanding the relationship between nation-states and international institutions, treaties and agreements. In a lot of this work, there is evidence of a spatial fallacy, whereby laws and institutions are either national, and grounded in the authority and legitimacy of the nation-state, or international and over- seen by supranational agencies. In reality, international laws work most effectively when they are harmonised with those of nation-states, and where national governments consider themselves to be bound by the jurisdictional authority of such entities. This is not to deny that the rise of global digital platform giants such as Apple, Google, Facebook, Microsoft, Amazon, Netflix, etc. are challenging traditional norms and principles of media policy. Robert Picard and Victor Pickard have captured these tensions in their recent call for prin- ciples-based media policy that responds to the challenges of a global and digitally con- verged media environment, observing that domestic policies can address some issues, but global policy is progressively more germane to address communication challenges. Establishing policy principles to guide both domestic and international decisions is crucial if effective, coordinated, and socially beneficial policies are to be developed. (Picard and Pickard 2017, 1) Nation-states will inevitably remain core players in any form of new supranational “grand bargain” around media policy and regulation. If we take the example of Internet govern- ance, it has evolved around a complex mix of international laws and binding agreements, national regulations, legal judgements, industry self-regulation and self-governance within the large digital platform companies. Any application of international norms and agree- ments remains very much dependent upon local regulations, and there has not been a wholesale transfer of sovereign powers from nation-states to international institutions. Indeed, the question we now face is whether there is a turn away from the sort of multila- teralism implied in global media governance, and towards a global “Splinternet”. In this scenario, the Internet is experienced differently by users across national jurisdictions, and the big global Internet players face an ever more complex array of diverse, conflicting and possibly contradictory laws and regulations across territorial boundaries. The question of how to maintain the functionality of global networks, and the opportunities for freedom of expression that the global Internet has enabled, in the face of growing pressures for nation-state regulation, will be a key one for media policy-makers over the coming years. 6 TERRY FLEW 235 240 245 250 255 260 265 270 275 280 Author Query Deleted Text The year for “Miller and Castles (2003)” has been changed to year to match the entry in the references list. Please provide revisions if this is incorrect. Deleted Text Deleted Text – Changes Deleted Text ten Deleted Text Deleted Text “ Changes Deleted Text ” Deleted Text Deleted Text . Deleted Text Deleted Text , DISCLOSURE STATEMENT No potential conflict of interest was reported by the author. NOTE 1. One point to be made is that the distributional impacts of globalisation need to be con- sidered alongside aggregate economic outcomes. It has often been observed, for instance, that offshoring of manufacturing is particularly likely to affect male workers with lower levels of education in First World economies, who cannot easily move into service sector jobs. Insofar as manufacturing was often clustered in particular regional centres, whereas new jobs associated with globalization are most commonly in major cities, there is also an uneven regional impact. The significance of these trends has become particularly apparent with the rise of populism in the 2010s, as older males, people with lower levels of education and non-metropolitan populations have been par- ticularly inclined to support populist challenges to the political-economic status quo, such as the One Nation Party in Australia, the UK Independence Party (UKIP) in Britain and Donald Trump in the United States. REFERENCES Bahador, Babak. 2007. The CNN Effect in Action. New York: Palgrave Macmillan. Beck, Ulrich. 2000. What is Globalization? Cambridge: Polity. Beck, Ulrich. 2005. Power in the Global Age: A New Global Political Economy. Malden, MA: Polity. Berg, Ellen L., and Douglas J. Besharov. 2016. “Patterns of Global Migration.” In Adjusting to a World in Motion: Trends in Global Migration and Migration Policy, edited by D. Besharov and M. Lopez, 57–76. Oxford: Oxford University Press. Castells, Manuel. 1996. The Rise of the Network Society. The Information Age: Economy, Society and Culture. Malden, MA: Blackwell. Dicken, Peter. 2015. Global Shift. 7th ed. London: Sage. Friedman, Thomas L. 2001. The Lexus and the Olive Tree. New York: Anchor. Friedman, Thomas L. 2005. The World Is Flat. New York: Farrar, Straus and Giroux. Fukuyama, Francis. 1992. The End of History and the Last Man. New York: Free Press. Giddens, Anthony. 2002. Runaway World: How Globalization Is Reshaping Our Lives. London: Profile. Goodhart, David. 2017. The Road to Somewhere. London: Hurst Publishers. Held, David. 2004. Global Covenant: The Social Democratic Alternative to the Washington Consen- sus. Cambridge: Polity. Ignatius, Adi. 2017. The Truth About Globalization. Harvard Business Review. Accessed July 27, 2017. https://hbr.org/2017/07/the-truth-about-globalization Kurlantzick, Joshua. 2016. State Capitalism: How the Return of Statism Is Transforming the World. New York: Oxford University Press. McGrew, Anthony, and David Held. 2002. Globalization/Anti-globalization. Cambridge: Polity. Miller, Mark J., and Stephen Castles. 2003. The Age of Migration. 3rd ed. London: Macmillan. Picard, Robert G., and Victor Pickard. 2017. Essential Principles for Contemporary Media and Com- munications Policymaking. Reuters Institute for the Study of Journalism Report. Oxford: Uni- versity of Oxford. POST-GLOBALISATION 7 285 290 295 300 305 310 315 320 325 Deleted Text Deleted Text , Deleted Text Deleted Text , https://hbr.org/2017/07/the-truth-about-globalization Scholte, Jan Aart. 2005. Globalization: A Critical Introduction. 2nd ed. Basingstoke: Palgrave Macmillan. Taneja, Harsh, and Angela Xiao Wu. 2014. “Does the Great Firewall Really Isolate the Chinese? Integrating Access Blockage with Cultural Factors to Explain Web User Behavior.” The Infor- mation Society 30 (5): 297–309. The Economist. 2017. Who Will Lose When Globalisation Retreats?. Economist.com. Accessed July, 27, 2017. https://www.economist.com/blogs/buttonwood/2017/03/post-2016-world-order-0 World Bank. 2017. World Bank Data. Accessed September 11, 2017. https://data.worldbank.org/ indicator/NE.TRD.GNFS.ZS Terry Flew (corresponding author) is Professor of Media and Communication in the Creative Industries Faculty at the Queensland University of Technology, Brisbane, Australia. He is the author of Understanding Global Media (Palgrave 2018), Global Media and National Policies: The Return of the State (Palgrave 2016, with Petros Iosifidis and Jean- ette Steemers), Media Economics (Palgrave 2015, with Stuart Cunningham and Adam Swift), Global Creative Industries (Polity 2013) and The Creative Industries, Culture and Policy (Sage 2012). E-mail: t.flew@qut.edu.au 8 TERRY FLEW 330 335 340 345 350 355 360 365 370 375 https://www.economist.com/blogs/buttonwood/2017/03/post-2016-world-order-0 https://data.worldbank.org/indicator/NE.TRD.GNFS.ZS https://data.worldbank.org/indicator/NE.TRD.GNFS.ZS mailto:t.flew@qut.edu.au 
work_k7wzz7myqzf3vigznlezj6eh2m	----	PII: S0169-5347(99)01776-0 104 0169-5347/00/$ – see front matter © 2000 Elsevier Science Ltd. All rights reserved. PII: S0169-5347(99)01776-0 TREE vol. 15, no. 3 March 2000 T he Canary Islands are his- torically and biologically of particular interest. Pliny the Elder heard about ‘Canaria, so called from the multitude of dogs (canes) of great size’, through an expedition (c. 40 BC) to the islands by Juba II, King of Mauritania. The island of El Hierro was chosen by Ptolemy as the prime meridian of longi- tude because it was the most westerly place known in his time. The aboriginal inhabitants of the Canary Islands were the Guanches, probably of Berber origin1,2, who were conquered by the Spanish in the 15th century. Following this, the Canaries be- came an important base for sea journeys to the Americas and Christopher Columbus replen- ished all four of his westbound fleets at the islands. The Canary archipelago The Canary Islands are situated in the northeast Atlantic ocean be- tween 278379 and 298259N, and 138209 and 188109W (Box 1). The nearest island (Fuerteventura) to the continent lies approximately 110 km off the northwest African mainland (Cape Juby) and the most distant island (La Palma) lies 460 km off the mainland. The archipelago has seven islets, and seven main islands aligned from east to west: Lanzarote, Fuerteventura, Gran Canaria, Tenerife, La Gomera, La Palma and El Hierro. All the islands were formed in the past 20 million years (Ma) by volcanic eruptions. The central and western islands exceed 1400 m at the highest volcanoes, with Teide on Tenerife rising to 3718 m. The geological history of the islands is well documented3–6 (Box 1), providing a known temporal sequence for the origin of the islands and thus for their availability for colonization by diverse biota. The Pacific Hawaiian Islands and the Atlantic Canaries have similarities, but also have distinctive differences, with the Atlantic Canaries having longer life, more complex vol- canic evolution and close proximity to the continent. Island formation is controversial; the two main competing theories being a ‘hot spot’ origin and ‘propagating fracture’ from the Atlas mountains7,8 (Box 1). Biogeography and ecology The Canary Islands have a sub- tropical climate; temperatures are warm and show little seasonal variation. The climate is strongly influenced by the humid trade winds from the northeast, which, in combination with the altitude of the volcanoes and the drier north- west winds blowing at higher lev- els, produce an inversion zone and marked vegetational zones (Box 2). Some of the most pecu- liar and interesting habitats in the Canary Islands are those pro- duced by the volcanic terrains, which are inhabited by special- ized animals9 (Box 3). The Canarian fauna and flora, which is related to that of Madeira and, to some extent, to that of the Azores and the Cape Verde Is- lands, has affinities with the Medi- terranean region, although some elements are related to more re- mote regions [Ceropegia (Asclepi- adaceae) and Sideroxylon (Sapo- taceae) to East Africa; Apollonias (Lauraceae) to India; Bystropogon (Lamiaceae) to South America; Picconia (Oleaceae) to Australia; Vanessa indica (Nymphalidae) and Cyclyrius webbianus (Lycaenidae) to Asia; Danaus spp. (Nymphali- dae) to America and Ethiopian Africa, etc.]. Given the prevailing winds and the sea currents, two plausible sources of colonizers are neighbouring North Africa and the Iberian Peninsula. Endemism is high in the archipelago: about 27% of the approximately 1000 native vascular plant species and 50% of the terrestrial inverte- brate fauna (c. 6500 species) are endemic. Amphibians were absent from the original fauna; only one snake has been recorded (already extinct), and apart from bats only five mammals were present – two shrews and three rodents (although rodents are now extinct). Some notable invertebrate families that occur on the mainland are absent, for example, from the order Coleop- tera (Lucanidae, Geotrupidae and Lampyridae) and from the order Hemiptera (Cicadidae, Naucoridae and Nepidae). In some instances complete orders are absent, such as the Plecoptera and Phasmoptera. Other orders were originally absent but have been introduced, such as Scorpiones, Symphyla and Embioptera. REVIEWS Colonization and diversification: towards a phylogeographic synthesis for the Canary Islands Carlos Juan, Brent C. Emerson, Pedro Oromí and Godfrey M. Hewitt Recently, the Canary Islands have become a focus for studies of the colonization and the diversification of different organisms. Some authors have considered Canarian endemisms as relicts of Tertiary origin, but new molecular data suggest a general pattern of continental dispersion followed by in situ speciation. Recent phylogeographic studies are revealing variants of the simple stepping-stone colonization model that seems to hold for many Hawaiian groups. Many factors can generate deviations from such a pattern: the stochastic nature of colonization, competitive exclusion, phylogenetic constraints on adaptive evolution and extinction. An understanding of island colonization and diversification can best be developed from an ecosystem level synthesis as more data for the Canarian archipelago come to hand. Carlos Juan is at the Departamento de Biologia, Universitat de les Illes Balears, 07071 Palma de Mallorca, Spain (dbacjc8@clust.uib.es); Brent Emerson and Godfrey Hewitt are at the School of Biological Sciences, University of East Anglia, Norwich, UK NR4 7TJ (b.emerson@uea.ac.uk, g.hewitt@uea.ac.uk); and Pedro Oromí is at the Departamento de Biología Animal, Facultad de Biología, Universidad de La Laguna, 38205 La Laguna, Tenerife, Spain (poromi@ull.es). Jean Michel MAES (Lucanidae, TREE vol. 15, no. 3 March 2000 105 Examples of diversifi- cation within the archipelago can also be found among vertebrates, notably geckos (Tarentola), lizards (Gallotia) and skinks (Chalcides). Incipi- ent speciation processes (sub- species divergence) are oc- curring in some birds, such as finches (Fringilla coelebs) and blue tits (Parus caeruleus). But, by far the most striking cases of diversification are among invertebrates, because of either geographic isolation or adaptation to diverse niches. Some of the groups (number of endemic species in parenthesis) are: Gastro- poda10 – Napaeus (50) and Hemicycla (35); Araneae11 (M.A. Arnedo, PhD thesis, Universitat de Barcelona, 1998) – Spermophorides (22), Dysdera (44) and Oecobius (34); Isopoda – Porcellio (18); Diplopoda12 – Dolichoiulus (46); Collembola13 – Pholso- mides (16); Hemiptera14 – Cyphopterum (24) and Erythro- neura (23); Coleoptera15,16 – Calathus (24), Cardiophorus (31), Attalus (51), Tarphius (30), Hegeter (23), Nesotes (20), Laparocerus (66) and Acalles (18). Colonization pathways and the stepping-stone model DNA data are better suited for a phylogenetic tree than morphology when interpreted in terms of dispersal (i.e. colonization sequence)17. A morphological phylogenetic tree is constrained by the ecogenetic adaptation to current and to recent selective pressures, but these are unlikely to confound a DNA-based phylogeny. Recently, molecular phylogenies have been obtained for Canarian lizards17–22, skinks23, geckos24, beetles25–31, butterflies32, Drosophila33,34, cockroaches (I. Izquierdo, PhD thesis, Universidad de La Laguna, Tenerife, 1997), bees35–37, spiders (M.A. Arnedo, PhD thesis)38, mites39 and plants40–47. Most of these studies have made use of mitochondrial or chloroplast DNA sequences as a marker for inferring dispersal events between islands. In some of these taxa, the predominant pattern is similar to the one found for Hawaiian organisms; a stepwise coloniz- ation sequence from older to younger islands in the chain. However, this simple pattern can be complicated by several factors. Back colonization, recent colonization, within-island differentiation, adaptation and extinction are some of the historical events that confound a simple ‘island colonized as it emerges’ pattern. Thorpe et al.17 have proposed two ways of interpreting a tree in terms of colonization sequence, taking into account biogeographical and genetic data. One method uses tree topology and geography, based on the increased probability of an island being colonized by founders from a closer island than from a distant one. The other method of determining the polarity of dispersal uses tree topology plus branch length. This method relies on the proposal that there is an acceleration of divergence caused by a founder effect, thus allowing discrimination between colonist and ancestor. REVIEWS Box 1. Volcanism and the age of the islands The Canary archipelago originated from volcanic activity that began during the Oligocene [24.6–38 million years (Ma)]; the islands began to emerge during the past 21 Ma (Ref. 5). (Online: Fig. I) The ages of subaerial shields (shown in parentheses) decrease from east to west from 20 Ma for Fuerteventura to less than 1 Ma for El Hierro. Scale bar 5 100 km. It has been proposed that the archipelago is due to a mantle plume or hot spot with a slow plate motion, giving the longer life of Atlantic volcanoes compared with the Pacific ones8. An alternative explanation relates the island formation to a fracture propagating from the Atlas mountains with irregular velocity7. Another less supported theory is that of the uplifted blocks, based on the presence of mixed plutonic rocks and pillow lavas at as much as 1000 m above sea level6. Several periods of volcanic activ- ity and quiescence have occurred in the past 20 Ma on each island, with the exception of La Gomera4 – the only island in the archipelago without major activity for the past 4 Ma (although the last residual activity could be as recent as 2 Ma). Trends in Ecology & Evolution La Palma (2) El Hierro (1) La Gomera (10) Tenerife (11.6) Gran Canaria (14–16) Fuerteventura (20) Lanzarote (15.5) Box 2. Vegetational zones The central (Gran Canaria and Tenerife) and western (La Gomera, La Palma and El Hierro) islands have high volcanoes that for most of the year have cloud banks at around 1000 m on the windward slopes. These clouds are caused by the upper hot dry air and by the lower humid trade winds. As a result, five vegetation zones can be distinguished: (1) arid subtropical scrub up to 250 m; (2) humid and semi-arid subtropical scrub, and woods from 250 to 600 m altitude; (3) humid laurel forest in the cloud belt from 600–1000 m; (4) humid to dry temperate pine forest from 1000–2000 m; and (5) dry subalpine scrub over 2000 m. (Online: Fig. I) The eastern islands are influenced less by trade winds because of their lower altitude and because rainfall is also scarcer owing to their geographic situation. An arid scrub with many xerophilous African plants dominates almost everywhere. Only on the top of a few mountains (Jandia in Fuerteventura and Famara in Lanzarote) can local hygrophilous endemisms be found. These are most probably the remains of more humid woods occurring before the glaciations. Trends in Ecology & Evolution SW NE 3700 2200 2000 1200 600 300 1100 600 Subalpine scrub Pine forest Laurel forest Semiarid to humid woods Arid to semiarid scrub Trade winds Cloud layer 106 TREE vol. 15, no. 3 March 2000 The phylogeographic hypothesis for the lizard of the western Canary Islands, Gallotia galloti17–22, based upon recent studies using different DNA markers, is compatible with the time of emergence and the sequence of island for- mation. Gallotia galloti appears to have dispersed from Tenerife along two independent pathways: one from north Tenerife to La Palma, and the other from south Tenerife to La Gomera and to El Hierro. The sister group relation- ship of the western G. galloti lineage to either G. stehlini (Gran Canaria) or the eastern G. atlantica (Fuerteventura and Lanzarote) is less robust21,22. Also compatible with the stepping-stone model are the darkling beetles of the gen- era Pimelia and Hegeter26–30. Both show colonization pat- terns that are essentially compatible with a stepwise dis- persal from older islands in the east to younger islands in the west. A back colonization probably occurred from Tenerife to Gran Canaria for Pimelia. The phylogenetic relationships of brimstone butterflies32 (genus Gonepteryx) point to a North African ancestry for the Canarian taxa (three species) and subsequent within-archipelago disper- sals from Tenerife to La Gomera and Tenerife to La Palma. The colonization of the archipelago by Drosophila subob- scura is also consistent with a stepping-stone model of directional east–west migration33,34. The phylogeography of the endemic skinks of the genus Chalcides23 is only partially concordant with a stepping- stone colonization. A relatively recent dispersal from La Gomera to El Hierro is apparently the only colonization following the ages of emergence of the islands. More ancient colonizations between La Gomera and Tenerife, and between Gran Canaria and Tenerife or La Gomera can be deduced, but the relationship of those clades with the Fuerteventuran Chalcides simonyi lineage or with the North African outgroups is unclear. For the genus Tarentola24 (Gekkonidae), mitochondrial 12S and cytochrome b sequences indicate several inde- pendent colonization events from the continent. The phy- logeny shows higher genetic divergences compared with Gallotia and Chalcides. The greater age of the Tarentola group could have involved more extinction followed by replacement, generating a contemporary phylogenetic pat- tern that is not consistent with a simple stepping-stone model. Recent studies of Calathus31, a genus of ground beetles, have also revealed a phylogeographic pattern that conflicts with a stepping-stone colonization model. Calathus has colonized the Canary Islands at least twice and probably three times (mtDNA COI and COII sequence data). The most recent colonization from the mainland has occurred on the oldest islands of Fuerteventura and Lanzarote. Within-island phylogeography and volcanism Once an island has been colonized, within island differ- entiation is facilitated by vicariance events produced by lava flows and by local extinctions followed by recolo- nization. This has been documented in many Hawaiian biota48. Across the islands of Fuerteventura and Lanzarote, subaerial volcanic activity has been almost continuous in the past 20–22 Ma (Ref. 5). The current top layers of the islands are the result of two distinct cycles, one ranging from 21 to 12 Ma, and another ranging from 6 Ma to prehistoric and historic eruptions. This volcanic activ- ity has resulted in a SSW (oldest) to NNE (youngest) age gradient for the surface terrains of Fuerteventura and Lanzarote. This geological age gradient is consistent with the mitochondrial genealogy (mtDNA COI sequence data) found for the endemic Hegeter politus (Coleoptera, Tene- brionidae)30. This can be explained by an ancestral popu- lation in the south, which colonized in a northerly direction following the progressive northward cessation of volcanic activity. A repeated phylogeographic pattern is found in di- verse organisms on the island of Tenerife. Gallotia lizards, Chalcides skinks, Pimelia, Calathus and Eutrichopus beetles, Steganecarus mites, Dysdera spiders and Loboptera cock- roaches all possess vicariant sister taxa affiliated with the Anaga and Teno massifs. The level of divergence between these sister lineages varies considerably among the differ- ent taxa and molecular markers used, but, in all cases, this pattern can be related to the disjunct volcanic evolution of the island3. The relatively recent volcanic activity (less than 2 Ma) producing the Pico Viejo and Teide eruptions, generated massive lava flows that joined the previously separate massifs of Anaga in the northeast and Teno in the northwest. These geologically old massifs (.4.5 Ma) have not been covered by recent lava flows (Box 4). The present-day distributions and phylogeographies of many organisms in Tenerife can be related to the recent connec- tion of the massifs. For example, the beetle Pimelia shows two distinct mtDNA and ITS (internal transcribed spacer) lineages associated with the west and the east of Tenerife, which probably originated on Teno and Anaga, respectively, and spread over the central regions after the connective eruptions28. The Gran Canarian skink Chalcides sexlineatus shows considerable within-island morphological variation that is, in part, coincident with genetic differentiation23. Simi- lar morphological and genetic differentiation is present in Tarentola geckos from Gran Canaria24. These phylo- geographic patterns are probably related to vicariance caused by the last volcanic cycle on the island approxi- mately 2.8 Ma. There is a distinct possibility of mass extinctions about 3.4–4.5 Ma on Gran Canaria caused by the violent emission of volcanic agglomerates over a great part of the island. This could explain some of the back and relatively recent colonizations of Gran Canaria shown by the phylogeographies of Dysdera, Calathus, Tarphius (B. Emerson, unpublished), and possibly Chalcides and Tarentola species. REVIEWS Box 3. Lava flow and lava-tube habitat The recent, barren lava flows are inhabited by ‘lavicolous’ species, which are adapted to extreme conditions (drought, exposure to sun, temperature changes and no primary production)9. They feed on biological fall-out and are quickly replaced by competitors as soon as primary succession pro- vides the lava with soil and plants (a few hundred years). The underground environment is also peculiar in volcanic, oceanic islands, where basaltic flows prevail. The existing caves are lava tubes with the typical environ- mental conditions of caves (humidity, darkness and scarce food), but are highly different in other features49. Unlike karstic caves, lava tubes are shal- low, with roots inside, little running water and few ponds. The formation is quick and succession usually takes place upwards instead of downwards, with troglobites moving closer to the surface as the lava ages and shallow passages become more isolated from the surface climate. This contrasts with karstic caves where hypogean communities tend to extend deeper down as time goes by. Succession in lava flows and volcanic caves is closely related. The timespan during which a lava tube provides a suitable environment for particular adapted life forms is longer than in lavas, but much shorter than in karstic caves. Collapsing and silting limit the tube duration from 20 000 to 500 000 years. However, troglobites in the Canary Islands are not really fugitive species because the lava tubes are not their only habitat, they also occur in the cracks and voids of the bedrock and in the mesocavernous shallow stratum, in medium and old volcanic ter- rains. The variety of underground habitats, geological history and under- ground barriers has led to the evolution of a rich troglobitic fauna in most of the islands. TREE vol. 15, no. 3 March 2000 107 Radiations, habitat shifts and adaptations Oceanic islands show considerable habitat diversity, pro- duced by topology and humidity gradients, which, com- bined with their isolation, produces lower competition and empty ecological niches. This provides a template for the evolution of species radiations. For example, the plant genus Argyranthemum has radiated into virtually all habi- tats of the Atlantic islands42–47. In the Canarian archipelago, two major clades of this genus can be distinguished by DNA markers. One of the groupings is formed by the taxa occurring in arid–subarid zones (high altitude desert, pine forest, arid lowland scrub and coastal desert), but the other clade comprises species in zones influenced by the humid trade winds (laurel forest and humid lowland scrub). Inter-island colonization of taxa pre-adapted to particular microhabitats, rather than to radiation within each island, seems to have been a significant factor in the evolution of Argyranthemum and other Canarian plants. Recently, several plant genera have been studied using molecular markers, such as ITS and chloroplast sequences or RFLPs. The genera Sonchus40 (Asteraceae) and Echium41 (Boraginaceae) have experienced rapid radiations in the Canaries following single colonization events in Gran Canaria or Tenerife in the late Miocene or early Pliocene. Colonization patterns for Argyranthemum (Asteraceae) are less clear, but morphological, phytochemical and molecu- lar data suggest that some elements of the Canarian flora are relictual42. Also, there is evidence of extensive inter- island dispersal between similar ecological zones, of hy- bridization in the Macaronesian island flora and even of back-colonization to the continent by island taxa. ‘Insular woodiness’ has been identified in numerous angiosperm families. The problem of ascertaining the polarity of per- ennial woodiness of plants in the Macaronesian Islands has been examined in both Echium and Sonchus (ITS se- quences)40,41. Both studies conclude that the most plaus- ible explanation is a founding colonization of the Canary Islands from a continental herbaceous ancestor followed by intense speciation. Adaptation to hypogean life in the volcanic tubes is exemplified by the spider genus Dysdera and the cock- roach genus Loboptera. Morphological and molecular data suggest two independent Dysdera colonizations from the continent to the eastern islands, a third colonization re- sulting in a central–western islands lineage, and a possible fourth colonization for D. unguimmanis (to be confirmed when more data are available) (M.A. Arnedo, PhD thesis). Eight of the 43 species of Dysdera are found exclusively in lava tubes, most of them on the island of Tenerife38. These troglomorphic taxa are not relictual species (with the poss- ible exception of D. unguimmanis, by far the most adapted species), they share the same ancestor with the epigean species, and switches to life in the caves have occurred periodically throughout the evolutionary history of the genus. Only two of the troglomorphic species, D. hernandezi and D. esquiveli, are monophyletic. Different degrees of adaptation to life in caves are also present in the 11 known taxa of cockroaches of the genus Loboptera (I. Izquierdo, PhD thesis). These species occur in Tenerife, La Palma and El Hierro, and show colonization patterns strictly compatible with the sequential emer- gence of those islands. All but one of the Canarian species of the genus Loboptera show some degree of adaptation to the hypogean habitat and most of them are strict troglo- bites. It appears that the colonization and radiation on the Canaries by epigean ancestors of the present-day Loboptera was followed by local speciation underground49. In the Canarian Calathus ground beetles, there is no re- lationship between the age of colonization and speciation31. For example, seven species occur in the small island of La Gomera, but only three occur in the topologically simi- lar, but much larger, island of Gran Canaria. Habitat de- struction on Gran Canaria could account, in part, for these differences. However, genetic data point to recent diversi- fication rather than the presence of relict species in Gran Canaria. The ecological data available for this genus sup- port the idea that recent speciation on La Gomera has been promoted mainly by marginal isolation or niche specializ- ation into laurel forest microhabitats from a generalist ancestor. At the population level, morphological differenti- ation of the Tenerife and Gran Canarian skinks (Chalcides viridanus and C. sexlineatus) is not consistent with vicari- ance or isolation-by-distance models exclusively23. The two islands show similar mesic/xeric heterogeneity and the pat- tern of geographical variation in Chalcides is better ex- plained by differential selection along an aridity gradient. Conclusion As more and more DNA-based phylogeographic studies are undertaken on the Canary Islands, a picture is emerging of an ecosystem that is perhaps best seen as a mosaic. Although the archipelago can be viewed as a delineable entity with REVIEWS Box 4. Volcanic evolution of Tenerife (Online: Fig. I) Shaded areas are the oldest terrains, which are considered independent former islands, with a possible connection between Teno and Roque del Conde. After a period of quiescence, volcanic activity resumed approxi- mately 2.0 Ma with the development of the central part of Tenerife. Approximately 1.0 Ma, the formation of the Cordillera Dorsal began, joining the older massifs that were not covered by the new lavas. More recent investigations50 have demonstrated that huge landslides have occurred in Tenerife owing to instability of steep volcanic massifs. These landslides are shown (indicated by arrows) with the approximate ages (unknown for Güímar) deduced from the dating of the rocks lying on the sea floor in front of each volcanic massif. La Orotava Valley and Güímar Valley remained as they were just after the landslides, but the Las Cañadas landslide was partially refilled with lava from the Teide volcano. These recent landslides would have further promoted the isolation between Teno and Anaga for many species, helping to explain the absence of some Ana- gan species in Teno and vice versa. This is particularly true for the Las Cañadas and the La Orotava landslides, which disrupted the humid forest connection between Teno and Anaga along the northern slopes. Trends in Ecology & Evolution Anaga 5.8 Ma <2 Ma <2 Ma<2 Ma 7.4 Ma 11.6 Ma Güímar ? ka Roque del Conde Teno La Orotava Las Cañadas 370–650 ka 170 ka 108 TREE vol. 15, no. 3 March 2000 its own characteristic fauna, general patterns among islands are seldom apparent within individual genera. Stochastic- ity must be seen as a primary factor in determining species compositions on the islands – you cannot speciate if you are not there. Even if colonization occurs, subsequent evo- lution will be contingent upon the floral and faunal com- position of the colonized island. All groups on the archi- pelago have survived the turmoils of volcanism and have responded in different ways to the presence of diverse habitats. This response would typically have depended on the fundamental niche of a colonizing species (i.e. ecologi- cal requirements) and the competitive presence of other species within that niche. The potential for both rapid mor- phological change and convergent evolution further com- plicates the picture, particularly within some invertebrate groups (e.g. the genus Nesotes; D. Rees, unpublished). How- ever, the relative effects of these variables can be truly as- sessed only at the level of the ecosystem. Phylogenetic data from DNA studies now allow us to assess the process of diversification within genera. Continued efforts to obtain phylogenetic data across a diversity of taxa, from a diver- sity of habitats, in conjunction with geological and ecological data, would seem the best way to evaluate diversification on the Canary Islands and on other island systems. Acknowledgements We wish to thank Pablo Oromí for producing the figure of volcanic evolution on Tenerife. We are also grateful for comments on this article by three anonymous referees. This work has been supported by NERC and EU grants (G.M.H.) and by the Spanish DGICYT PB 96/0090 (P.O.). References 1 Pinto, F.M. et al. (1996) Genetic relationship between the Canary Islanders and their African and Spanish ancestors inferred from mitochondrial DNA sequences. Ann. Hum. Genet. 60, 321–330 2 Moral, P. et al. (1997) Genetic study of the population of Tenerife (Canary Islands, Spain): protein markers and review of classical polymorphisms. Am. J. Phys. Anthropol. 102, 337–349 3 Ancochea, E. et al. 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(1998) The phylogeography of the darkling beetle, Hegeter politus, in the eastern Canary Islands. Proc. R. Soc. London B Biol. Sci. 265, 135–140 31 Emerson, B.C. et al. (1999) MtDNA phylogeography and recent intra- island diversification among Canary Island Calathus beetles. Mol. Phylog. Evol. 13, 149–158 32 Brunton, C.F.A. and Hurst, G.D.D. (1998) Mitochondrial DNA phylogeny of brimstone butterflies (genus Gonepteryx) from the Canary Islands and Madeira. Biol. J. Linn. Soc. 63, 69–79 33 Pinto, F.M. et al. (1997) Population genetic structure and colonization sequence of Drosophila subobscura in the Canaries and Madeira Atlantic Islands as inferred by autosomal, sex-linked and mtDNA traits. J. Hered. 88, 108–114 34 Khadem, M. et al. (1998) Tracing the colonization of Madeira and the Canary Islands by Drosophila subobscura through the study of the rp49 gene region. J. Evol. Biol. 11, 439–452 35 Estoup, A. et al. (1996) Genetic differentiation of continental and island populations of Bombus terrestris (Hymenoptera: Apidae) in Europe. Mol. Ecol. 5, 19–31 REVIEWS TREE vol. 15, no. 3 March 2000 0169-5347/00/$ – see front matter © 2000 Elsevier Science Ltd. All rights reserved. PII: S0169-5347(99)01778-4 109 M olecular evolution leaves behind a trail of amino acid substitutions potentially rich in information about mol- ecular function. Tracing changes in protein structure along the branches of a phylogenetic tree can provide important insights into molecular function, and the role of selection in shaping the relationship between molecular structure and function. Recreation of inferred ancestral proteins using gene synthesis and protein expression methods, whose bio- chemical functions can then be directly measured in vitro, pro- vides a powerful approach to this problem. Phylogenies, molecular function and natural selection Phylogenies can be used in several ways to infer the effects of natural selection on molecular function. Because directional selection is known to elevate the ratio of nonsynonymous to synonymous nucleotide substitu- tions, this ratio can be used as a tool to detect lineages in a molecular phylogeny along which selection has occurred. Cows and langur monkeys convergently evolved foregut fermentation as a mechanism to digest the large amounts of plant material in their diets; a key component of this involved the recruitment of the lysozyme enzyme to digest foregut bacteria. Selection for this specialized function of lysozyme should be evident in a phylogeny of primate lysozyme sequences, on the lineage leading to colobine monkeys. By inferring and comparing ancestral lysozyme sequences, Messier and Stewart1 were able to demonstrate adap- tive change in this lineage. Specifi- cally, they estimated the numbers of nonsynonymous (dN) and syn- onymous (dS) substitutions along each branch using Li’s method2, and found a dN/dS ratio much greater than one in the lineage leading to the colobine monkeys (Fig. 1). This analysis also re- vealed a previously unsuspected episode of positive selection in the ancestral hominoid lineage. Subsequently, Yang3 devel- oped a more rigorous statistical approach to this problem, using a codon-based maximum likeli- hood model of evolution4 to de- tect elevated dN/dS ratios along lineages in a phylogeny. Yang’s method3 uses likelihood ratio tests to compare the performance of different likeli- hood models, and to determine if the dN/dS ratio for the lin- eage of interest is elevated compared with other lineages in the phylogeny. This approach avoids using reconstructed ancestral states as if these were actual observations in the calculations of nonsynonymous and synonymous substi- tution rates. When applied to the primate lysozyme data, this method showed strong evidence for positive selection REVIEWS Recreating ancestral proteins Belinda S.W. Chang and Michael J. Donoghue Tracing the history of molecular changes using phylogenetic methods can provide powerful insights into how and why molecules work the way they do. It is now possible to recreate inferred ancestral proteins in the laboratory and study the function of these molecules. This provides a unique opportunity to study the paths and the mechanisms of functional change during molecular evolution. What insights have already emerged from such phylogenetic studies of protein evolution and function, what are the impediments to progress and what are the prospects for the future? Belinda S.W. Chang and Michael J. Donoghue are at the Dept of Organismic and Evolutionary Biology, Harvard University Herbaria, 22 Divinity Avenue, Cambridge, MA 02138, USA (chang24@oeb.harvard.edu; mdonoghue@oeb.harvard.edu). 36 De la Rúa, P. et al. (1998) Mitochondrial DNA variability in the Canary Islands honeybees (Apis mellifera L.). Mol. Ecol. 7, 1543–1547 37 Widmer, A. et al. (1998) Population genetic structure and colonization history of Bombus terrestris s.l. (Hymenoptera: Apidae) from the Canary Islands and Madeira. Heredity 81, 563–572 38 Arnedo, M.A. et al. (1996) Radiation of the genus Dysdera (Araneae, Haplogynae, Dysderidae) in the Canary Islands: the western islands. Zool. Scripta 25, 241–274 39 Avanzati, A.M. et al. (1994) Molecular and morphological differentiation between steganacarid mites (Acari: Oribatida) from the Canary Islands. Biol. J. Linn. Soc. 52, 325–340 40 Kim, S.C. et al. (1996) A common origin for woody Sonchus and five related genera in the Macaronesian islands: molecular evidence for extensive radiation. Proc. Natl. Acad. Sci. U. S. A. 93, 7743–7748 41 Böhle, U.R. et al. (1996) Island colonization and evolution of the insular woody habit in Echium L. (Boraginaceae). Proc. Natl. Acad. Sci. U. S. A. 93, 11740–11745 42 Francisco-Ortega, J. et al. (1995) Chloroplast DNA evidence for intergeneric relationships of the Macaronesian endemic genus Argyranthemum (Asteraceae). Syst. Not. 20, 413–422 43 Francisco-Ortega, J. et al. (1995) Genetic divergence among Mediterranean and Macaronesian genera of the subtribe Crysanthemidae (Asteraceae). Am. J. Bot. 82, 1321–1328 44 Francisco-Ortega, J. et al. (1996) Chloroplast DNA evidence of colonization, adaptive radiation, and hybridization in the evolution of the Macaronesian flora. Proc. Natl. Acad. Sci. U. S. A. 93, 4085–4090 45 Francisco-Ortega, J. et al. (1996) Isozyme differentiation in the endemic genus Argyranthemum (Asteraceae: Anthemideae) in the Macaronesian Islands. Plant Syst. Evol. 202, 137–152 46 Francisco-Ortega, J. et al. (1997) Molecular evidence for a Mediterranean origin of the Macaronesian endemic genus Argyranthemum (Asteraceae). Am. J. Bot. 84, 1595–1613 47 Francisco-Ortega, J. et al. (1997) Origin and evolution of Argyranthemum (Asteraceae: Anthemideae) in Macaronesia. In Molecular Evolution and Adaptive Radiation (Givnish, T.J. and Sytsma, K.J., eds), pp. 407–431, Cambridge University Press 48 Roderick, G.K. and Gillespie, R.G. (1998) Speciation and phylogeography of Hawaiian terrestrial arthropods. Mol. Ecol. 7, 519–531 49 Oromí, P. et al. (1991) The evolution of the hypogean fauna in the Canary Islands. In The Unity of Evolutionary Biology (Dudley, E.C., ed.) pp. 380–395, Dioscorides Press 50 Carracedo, J.C. et al. (1998) Hotspot volcanism close to a passive continental margin: the Canary Islands. Geol. Mag. 135, 591–604 
work_kg4fuvxbtja7jdpd6cllst27ey	----	PII: S0364-0213(77)80005-0 Definite Descriptions and Semantic Memory* A N D R E W O R T O N Y A N D R I C H A R D C . A N D E R S O N University of Illinois at Urbana-Champaign Subjects were exposed to sentences containing "direct" and "indirect" uses of names and definite descriptions. On a subsequent recognition test incorrect rejections tended to be of sentences involving indirect uses, and false alarms to sentences involving direct uses. This finding is contrary to the predictions of models that suggest indiscriminate substitution of names for descriptions, as do those of Anderson and Bower, and Rumelhart and Norman. The implication is that models of semantic memory must incorporate distinct intensional and extensional representations to avoid semantic distortion. A d e f i n i t e d e s c r i p t i o n is a p h r a s e w h i c h p u r p o r t s to u n i q u e l y i d e n t i f y o r r e f e r to an e n t i t y , as d o e s , f o r e x a m p l e , The first president of the United States. A c o m p l e t e p s y c h o l o g i c a l t h e o r y o f s e m a n t i c m e m o r y m u s t f a c e the p r o b l e m o f how p r o p o s i t i o n s i n v o l v i n g d e f i n i t e d e s c r i p t i o n s are to be r e p r e s e n t e d . S u c h e x p r e s s i o n s h a v e b e e n d i s c u s s e d b y A n d e r s o n and B o w e r ( 1 9 7 3 ) , w h o stated: O n e o f the m o r e i n t e r e s t i n g f e a t u r e s o f our s i m u l a t i o n p r o g r a m is the w a y in w h i c h it treats d e f i n i t e d e s c r i p t i o n s . S u p p o s e that the p a r s e r e n c o u n t e r e d an input s e n t e n c e such as " T h e f'trst P r e s i d e n t o f the U n i t e d S t a t e s w a s a g o o d h u s b a n d . " I t w o u l d take the d e f i n i t e d e s c r i p t i o n " X w a s the first P r e s i d e n t o f the U n i t e d S t a t e s , " m a t c h that to m e m o r y , d e t e r m i n e that X is G e o r g e W a s h i n g t o n , and then e n c o d e in m e m o r y t h a t " G e o r g e W a s h i n g t o n was a g o o d h u s b a n d . " T h u s , no r e c o r d w o u l d b e l e f t in H A M ' s m e m o r y to the e f f e c t that the assertion h a d b e e n m a d e u s i n g a d e f i n i t e d e s c r i p t i o n rather than a p r o p e r n a m e . (p. 248) One o f the r e a s o n s w h y A n d e r s o n and B o w e r t h i n k the m a t t e r o f d e f i n i t e d e s c r i p t i o n s is i n t e r e s t i n g and i m p o r t a n t is that t h e y b e l i e v e this s a m e p r o c e d u r e o f substitutions u n d e r l i e s visual r e c o g n i t i o n as w e l l . R u m e l h a r t and N o r m a n (1973) d i s t i n g u i s h an o c c u r r e n c e o f a d e f i n i t e *This work was supported in part by the National Institute of Education, under contract HEW NIE-G-74-0007. Reprints may be obtained from Professor Andrew Ortony, University of Illinois at Urbana, 1005 W. Nevada, Urbana, I11. 61801. 74 DEFINITE DESCRIPTIONS AND SEMANTIC MEMORY 75 description in what they call a " n o m i n a l s e n s e " f r o m its use as an " o p e r a t o r . " When a definite description like The capital o f the United States is encountered there is, they say, no problem. This is the case o f an operator (in this instance, The capital oj') applying to an argument (in this case, the United States) and, like any other function, it delivers a value (Washington, D. C.). The other use they recognize would be the occurrence o f the capital in a sentence like Yesterday I visited the capital. This would be the nominal sense and instead o f again evaluating the description, its old value would be sought. A difficulty with this is that when the description is used as an operator one can only assume that the operator is distinguished from the argument on purely syntactic grounds. H o w e v e r , without a careful analysis o f the preceding context this could lead to problems, for the operator might not be The capital o f ( ), it might be The ( ) o f the United States, with a whole range o f possible arguments like capital, size, population, president, and so on. Usually contextual information is required to determine the operator. The way in which Rumelhart and N o r m a n handle the nominal sense differs from the " o p e r a t o r " method only insofar as the value is looked up rather than recomputed. The mistake that they m a k e , as do Anderson and Bower, is to imagine that it really is always necessary or appropriate to access the value. 1 The purpose o f this p a p e r is to develop and empirically test an account o f names and descriptions which is adequate for psychological theory. A satisfac- tory account will require semantic m e m o r y models to maintain separate intensional and extensional representations, and to invoke pragmatic rules for determining to which kind o f representation a predicate is to be attached in particular cases. The claim is that this decision ought to be based, in part, on a distinction between direct and indirect uses o f referring expressions, both at the logical level, as the arguments are intended to show, and at the psychological level, as the experiment is designed to show. Although there is a long philosophical tradition o f speculation and argument conceming definite descriptions, proper names, and their relationships both to one another and to the entities to which they refer or purport to refer (see, e . g . , Frege, 1891, 1892; Kripke, 1972; Linsky, 1971; Russell, 1905; Strawson, 1950), for the purposes o f this p a p e r we can start with the analysis offered by Donnellan (1966). Donnellan argues that there are two uses o f definite descriptions, those that he calls " r e f e r e n t i a l " and those that he calls " a t t r i b u - t i v e . " A referential use o f a definite description is one in which the description serves to pick out or identify the intended referent. Contrasted with this is the attributive use o f a definite description to characterize any individual w h o satisfies the description. In the first use, Donnellan notes, the definite description m a y succeed in picking out the individual even if (by chance) there is no one who ~It should be mentioned that Norman (personal communication) has indicated that they are changing the way in which the model handles definite descriptions to accommodate our objections. Bower (personal communication) has also accepted our objections. 76 A. ORTONY AND R. C. ANDERSON satisfies it, as when, for example, a man at a party is successfully identified using the description " t h e man drinking a martini" even though he actually has only water in his glass. This accidental success, however, would be impossible in an attributive use since the description, far from being merely a device to uniquely identify some individual, is all-important. So, if one asserts that the inventor o f dynamite had a profound influence on the nature o f warfare, it becomes very important that " t h e inventor of dynamite" is an attributive description, indeed, is the description which fits, for the meaning and the truth o f the assertion depend not on whether some individual who happens to be identifiable by means o f the description had a profound influence on the nature o f warfare, but rather on the fact that any individual who satisfies the description would have had such an influence. From a philosophical viewpoint, Donnellan's distinction can be criticized. One difficulty is that there probably is no sharp distinction between the two uses, but rather a continuum of uses with these two representing the extremes. From a psychological perspective, however, it is possible to determine empirically if there is a psychological correlate o f the distinction, and if there is, we can dismiss objections about lack of a sharp distinction as easily as we can dismiss the denial of a perceptual difference between adjacent colors on the visible spectrum (e.g., red and orange) based on the observation that there is no point at which the one ends and the other begins. We can still distinguish two colors most of the time. A general account of how models of semantic memory ought to treat names, definite descriptions, and propositions involving them can be developed on the basis of the following extension of Donnellan's analysis. If the principle that descriptions can be used both referentially and attributively is accepted, it is reasonable to suppose that names also can be employed to perform these two functions. 2 Consider first refemtial uses. A description used referentially serves the same function typically performed by a name. That is, it picks out or uniquely indentifies an individual. But if a name is available, using a description is an indirect way of identifying that individual. The direct way would be to use the name. Put in ordinary terms, people generally use names to talk about entities when they can, and when they cannot they refer to them in indirect or roundabout ways. Consider next the attributive use o f descriptions and names. The attributive use of a definite description is the direct use, and one reason for calling it " d i r e c t " is that its transformational history includes a direct derivation o f it from a predicate, without necessary reference to the name o f the individual associated with that predicate. So, if we wish to speak about the inventor o f dynamite, regardless of who he was, the definite description " T h e inventor o f d y n am i t e" can be directly produced from the predicate "invent ed d y n a m i t e " independently of, and without reference to, the name corresponding'to the entity o f which it is ~Kfipke (1972) suggests this possibility in a lengthy footnote. DEFINITE DESCRIPTIONS AND SEMANTIC MEMORY 77 predicated. Our claim is that sometimes names are used indirectly, particularly in cases where it can be assumed that the hearer k n o w s that a predicate is true o f the individual whose name it is. For e x a m p l e , m o s t o f the things one might want to say about the first President o f the United, States could be unahabiguously expressed using the name George Washington, because the description is in some sense a preferred or privileged one. T o summarize, referential uses o f names and attributive uses o f descriptions are direct. Attributive uses o f names and referential uses o f descriptions are indirect. These distinctions should have empirically testable consequences, since they imply that direct uses will require less knowledge and f e w e r inferences than indirect ones. For illustration, consider first a direct use o f a n a m e , as in Alfred Nobel wore a fine beard. A full understanding o f this sentence in no way requires that the hearer know that Nobel invented dynamite. At m o s t it requires the knowledge, implicit in the name, that Alfred Nobel was a man. Next, consider the indirect use o f the name in Alfred Nobel had a profound influence on the nature of warfare. Here a full understanding does require that the hearer use the knowledge that Nobel invented dynamite, as evidenced b y the fact that an answer to " h o w ? " would most appropriately be along the lines that he was the inventor o f dynamite. Contrast this with the direct use o f the definite description, as in The inventor of dynamite had a profound influence on the nature of warfare. Here a full understanding in no w a y requires knowledge o f who he/she was, but only that one k n o w the sense or meaning o f " T h e inventor o f d y n a m i t e " ; the name o f the individual is irrelevant. Finally, an indirect use o f the definite description, as in The inventor of dynamite wore a fine beard, requires that the definite description be analyzed for its r e f e r e n c e - - i n d i v i d u a l s wear beards in a more direct way than do inventors o f dynamite. T h e various conditions and knowledge requirements for direct and indirect uses in the general case are laid out in Table 1. TABLE I Knowledge Requirements for Direct and Indirect Uses Type of expression Type of use Direct Indirect Name Description Referential: Knowledge that the description fits the referent is irrelevant Attributive: Knowledge of name of referent is irrelevant Attributive: Knowledge that the description fits the referent is relevant Referential: Knowledge of name of referent is relevant "78 A. ORTONY AND R. C. ANDERSON A preliminary experiment tested whether people judge the relevance of information in the manner summarized in Table 1. Subjects were presented with items comprised of two noun phrases and a predicate, in the following arrangement: Christopher Columbus was He changed the course o f history. the man who discovered America. There were counterbalanced permutations o f each item such that for half the subjects the name was on the top and for half the description was on top; for half the name was directly related to the predicate, while for the remainder it was the description that bore the direct relationship; and finally, for one group the item was in the first o f two blocks of items presented, while for the other group it was in the second block. Subjects were asked to decide for each item whether the predicate was more relevant when considered as information about the named or the described individual. Overall subjects selected direct uses twice as often as indirect ones, t(35) = 2.50, p < .01. The bulk o f the difference was due to subjects' strong preference for direct uses of names. The results suggest that people do accept and apply criteria o f direct use like those we have outlined. It must be acknowledged that in some cases the distinctions between direct and indirect uses will be less obvious and possibly even inoperative. From the point of view of representation in m e m o r y , some cases should be left so that the predicate attaches to whatever expression was used. For instance, there are logical reasons why substitutions cannot be made into referentially opaque contexts, as has long been argued by phiosophers (see, for example, Quine, 1963). Such contexts are characterized by propositions embedded in clauses whose main verbs express attitudes toward these propositions, namely, verbs o f propositional attitude, such as hope, know, believe, say, claim, want, and so on. In other cases the predicate should perhaps be attached to both the extensional representation (Alfred Nobel) and the intensional one (the inventor o f dynamite). An example might be Alfred Nobel singed his beard. It is not obvious at first glance how relevant inventing dynamite could be to such a disaster. As indicated earlier, psychological models currently substitute names for descriptions. In contrast, what we are suggesting is that substitutions can occur in either direction, depending on the comprehender's interpretation o f the use being made of the expression. Substitutions will tend to eliminate indirect uses. Thus, indirect uses of names will tend to be replaced by direct uses o f descriptions, and indirect uses o f descriptions by direct uses o f names. Another way o f putting this is to say that if the use is taken to be attributive (direct description, or indirect name) then the predicate will be associated with an intensional representation; if t h e use is taken to be referential (direct name, or indirect description) then the predicate will be associated with an extensional representation. The experiment attempted to test this supposition and the distinctions on which it is based. DEFINITE DESCRIPTIONS AND SEMANTIC MEMORY 79 I f the distinction between direct and indirect uses o f names and definite descriptions has psychological reality, then one would expect a particular pattern o f confusions in a recognition task. Given the indirect use o f the definite description in The first president o f the United States sometimes annoyed his father. one would expect subjects to false alarm more frequently on seeing later the direct use o f the name with the same predicate George Washington sometimes annoyed his father. than if they had seen the direct use o f the definite description The first president o f the United States signed a treaty with France. and were subsequently exposed to the indirect use o f the name George Washington signed a treaty with France. Similarly, more incorrect rejections would be expected given old indirect than old direct uses. Subjects were exposed to c o m p l e m e n t a r y pairs o f sentences selected from sets of four. The sets contained a direct and indirect use o f a description and o f a name. One example o f a set was: The first man on the moon became a national hero. ( D D ) Neil Armstrong has several children. ( D N ) The first man on the m o o n has several children. (ID) Neil Armstrong became a national hero. (IN) The codes in parentheses refer to direct use o f a description ( D D ) , direct use o f a name ( D N ) , indirect use o f a description (ID), and indirect use o f a name (IN). Complementary pairs were ( D N ) with ( D D ) , and (IN) with (ID). Each subject saw the same n u m b e r o f (D) pairs as he did (I) pairs. The study task was to write a continuation for each sentence beginning with the word " b u t . " This encour- aged semantic processing o f the sentence. Later, a previously unannounced recognition test was given. Each subject was shown all the sentences, half he had already seen and half he had not. He was asked to judge if the sentences were old or new and he gave a confidence rating. METHOD Sixteen quadruples o f sentences were constructed. T w o different predicates appeared within each quadruple. Following the rule for directness explained earlier (see Table 1), the predicates were such that the description was used directly when coupled with one and used indirectly when paired with the other. The complementary pairings o f the two predicates with the name gave rise to the corresponding direct and indirect occurrences o f the name. Below is another example o f a sentence set. 80 A. ORTONY AND R. C. ANDERSON The most distant planet circles the sun once every 248 years. (DD) Pluto is 4,000 miles in diameter. ( D N ) The most distant planet is 4,000 miles in diameter. (ID) Pluto circles the sun once every 248 years. (IN) T w o lists of 32 sentences were formed. Each list contained the ( D D ) and (DN) sentences from eight sentence sets and the (ID) and (IN) sentences from the other eight sets. Consequently each list involved exactly one appearance o f each name, each description, and each predicate. The lists were further divided into two blocks on a random basis, subject to the constraints that just one sentence from each set appeared in a block and that each block contained the same number o f each sentence type ( D D , D N , I D , IN). Block order was counterbalanced and there were four distinct random orders o f items within blocks. The experiment was run on a group basis with 56 undergraduates enrolled in an introductory educational psychology course. T h e y received one exposure o f one o f the lists. The sentences were presented one per page in a mimeographed booklet. The assignment to lists, and block and item orders was accomplished simply by distributing the booklets from a randomly ordered stack. The instructions asked the subject to write continuations o f the sentences, starting with the word " b u t . " In this way we sought to guarantee that subjects would meaningfully encode the sentences (cf. Anderson & Kulhavy, 1972). As each subject completed the first task, the nature o f the second part o f the experiment was introduced for the first time. A recognition test involving all 64 sentences was given. On each page o f a booklet one o f the sentences was mimeographed. Below it were the words " o l d " and " n e w " and a four-point scale upon which to rate confidence. The instructions stressed that the subject was to determine whether he had seen exactly this sentence before, to indicate his judgment by encircling the appropriate word, and to rate his confidence. The subjects were told that they had seen half o f the sentences and that half were new. The test was also organized in blocks. Parallel blocks from the two lists were merged to form test blocks. The first block o f items seen during the first task was included within the first block o f items tested. Since blocks were counterbal- anced during list presentation, they were also counterbalanced in the same way during testing. There were four distinct random orders o f items within test blocks. The purpose o f the blocking procedure was twofold. One was to minimize recall from short-term, nonsemantic m e m o r y . The second was to space encounters with sentences from within sets so as to increase the likelihood that an independent judgment would be made in each case. The test was subject paced. RES U LTS Analyses o f variance were computed, in which the fixed factors were directness and type o f expression and the random factors were, respectively, subject and sentence set. Then minimum quasi F ratios were calculated (Clark, 1973). The DEFINITE DESCRIPTIONS AND SEMANTIC MEMORY 81 dependent variable was false alarms minus incorrect rejections. That is, the measure was the number of instances in which a new sentence was called " o l d " minus the number o f instances in which an old sentence was called " n e w . " The only significant effect was the predicted one for directness, min F ' (1,25) -- 13.70, p < .01. There was not a suggestion o f either a main effect o r interaction involving type of expression. Table 2 summarizes proportions o f errors. Of the 16 sentence quadruples, directness had the expected net effect in 12 cases, whereas the data ran marginally against the hypothesis in 3 cases and 1 case was equal. O f the 56 subjects, the directness hypothesis was confirmed by 46 and disconfirmed by 4. There was no difference for the remaining 7. TABLE 2 Proportions of Total Errors" Type of expression in test sentence False alarms Incorrect rejections Direct .339 .184 Indirect .202 .275 nNote: Of 3,584 observations there were 788 errors. DISCUSSION The present experiment shows that whether a name or a definite description is used directly strongly influences recognition memory. One conclusion follows immediately: Anderson and Bower, and Rumelhart and Norman are wrong to lean so heavily on the unidirectional substitution o f names fo r descriptions. For, if there were not a memorial distinction between the two kinds o f expression, it would be difficult to understand the systematic pattern o f errors observed in this experiment. It must be possible for names and descriptions, although intimately related, to be separately maintained in memory. The hypothesis is that people tend to encode expressions in the semantically most direct fashion. W e say " t e n d to e n c o d e " because unless semantic constraints are seriously violated, people m a y represent sentences, or parts o f them, in the form presented. So, for example, subjects might well encode George Washington signed a treaty with France as it stands, even though, by our analysis, the indirect use o f the name is semantically less appropriate than the direct use o f the definite description. Our view is that when the encoded proposition does vary from the input sentence, the change will be one o f increasing the semantic directness o f the memorial representation, rather than one o f eliminating descriptions. The~re is an alternate and less interesting version o f the directness hypothesis. It could be claimed that when subjects forgot a sentence they guessed, and that 82 A. ORTONY AND R. C. ANDERSON their guessing preferences were dictated by directness. In other words, when a subject had no record o f a sentence in m e m o r y he might have called the sentence " o l d " if it contained a direct use o f the expression but " n e w " if the one it contained was indirect. Those cases were examined in which a subject indicated low confidence in his judgment and, therefore, in which he was presumably guessing. The criterion o f low confidence was marking either a " 1 " or a " 2 " on the four-point confidence scale, a criterion met in 361 cases (i.e., in about 10% of the cases). Among these cases the proportion o f direct expressions called " o l d " and indirect expressions called " n e w " was .507, which does not differ significantly from the chance level o f .5, t(47) = .17. Eight subjects were confident o f all their judgments. So, while response bias is always difficult to discount, it would appear that the guessing hypothesis gives a p o o r explanation of the data. We know o f two other experiments that have investigated the encoding o f def'mite descriptions. Anderson and Bower (1973, pp. 248-251) found that subjects false alarmed about 20% o f the time when names were substituted for descriptions. But they also found the same false alarm rate when descriptions were substituted for names, which is hardly consistent with their theory (see p. 248) that descriptions will be encoded as names when the identity o f the individual named and the individual described is known. Anderson and Hastie (1974) drilled subjects on the equivalence o f a list o f " c o m m o n Anglo Saxon n a m e s " randomly paired with definite descriptions o f the form " t h e l a w y e r , " " t h e d o c t o r , " and so on. Various facts were predicated either o f the names or o f the definite descriptions. Finally, a sentence verification task was presented. Some of the sentences involved an inference; that is, it was necessary to affirm a fact in connection with a name which had originally been predicated o f a description, or vice versa. In other test sentences the referential expression and the predicate were paired as they had been originally, so no inference was required. As Anderson and Hastie had predicted, an important factor was whether the subjects were taught the referential identity o f the proper name and definite description before or after they learned the other facts. When the identity was established beforehand, there was no difference in verification time between inference and no inference test sentences, which Anderson and Hastie took to mean that all of the facts predicated o f either the name or description were linked to the same m e m o r y node. When the referential identity of the name and description was learned after the other facts, it then took longer to verify inferential sentences than noninferential sentences. Anderson and Hastie argued that this must mean that the facts predicated o f the name and the facts predicated o f the definite description were linked to distinct m e m o r y nodes. We dispute, however, that the only relevant variable could be the order in which information arrives. I f this were the case people would constantly be in epistomological quicksand, considering that any predicate can be made into a DEFINITE DESCRIPTIONS AND S E M A N T I C M E M O R Y 83 definite description. Much more likely is the view that logical, semantic, and pragmatic constraints are factors in determining whether predicates will be attached to an intensional or extensional representation o f a concept. A C K N O W L E D G M E N T S Thanks are due to Michael Riviere for help with the statistical analyses, to David Marshall for his help in preparing materials, and to Jana Mason for comments on the manuscript. R E F E R E N C E S ANDERSON, J. R., & BOWER, G . H . Human associative memory. Washington, D. C.: Winston, 1973. ANDERSON, J. R., & HASTIE, R. lndividuation and reference in memory: Proper names and definite descriptions. Cognitive Psychology, 1974, 6, 495-514. ANDERSON, R. C., ~. KULHAVY, R . W . Learning concepts from definitions, American Educa- tional Research Journal, 1972, 9, 385-390. CLARK, H . H . The language-as-fixed effect fallacy: A critique of language statistics in psychologi- cal research. Journal of Verbal Learning and Verbal Behavior, 1973, 12, 335-339. DONNELLAN, K. Reference and definite descriptions. The Philosophical Review, 1966, 75, 281-304. FREGE, G. Function and concept. (1891). In P. Geach & M. Black (Eds.), Translations from the writings o f Gottlob Frege. Oxford: B lackwell, 1966. FREGE, G. On sense and reference. (1892). In P. Geach & M. Black (Eds.), Translations from the writings of Gottlob Frege. Oxford: Blackwell, 1966. KrOPKE, S. Naming and necessity. In D. Davison & G. Harman (Eds.), Semantics of natural language. Boston, Mass.: Reidel, 1972. LINSKY, L. (Ed.) Reference and modality. London: Oxford University Press, 1971. QUINE, W. V . O . Reference and modality. In From a logical point of view. New York: Harper & Row, 1963. RUMELNART, D. E., & NORMAN, D . A . Active semantic networks as a m o d e / o f human memory. In Proceedings of the Third International Joint Conference on Artificial Intelligence, Stanford, 1973. RUSSELL, B. On denoting. (1905). In R. Marsh (Ed.). Logic and knowledge. London: Allen & Unwin, 1956. STRAWSON, P. On referring. Mind, 1950, 49 320--324. Reprinted in A. Flew (Ed.), Essays in conceptual analysis. London: Macmillan, 1963. 
work_kk3b6nc6jbcmvg2f3dqlnzsyrq	----	Interactive video maps: A year in the life of Earth's CO2 SCIENCE Interactive video maps: A year in the life of Earth’s CO2 Bernhard Jennya,b , Johannes Liemc,b, Bojan Šavričd,b and William M. Putmane aSchool of Science, RMIT University, Melbourne, Australia; bCollege of Earth, Ocean, and Atmospheric Sciences, Oregon State University, Corvallis, OR, USA; cDepartment of Computer Science, City University, London, UK; dEsri Inc., Redlands, CA, USA; eNASA Global Modeling and Assimilation Office, Goddard Space Flight Center, Greenbelt, MD, USA ABSTRACT This article introduces interactive video maps for the web. The main component of video maps is a video stream that is areally georeferenced to a spatial reference system in the same way rectified raster orthoimages are georeferenced. The areal georeference allows for interactivity that goes beyond the play, pause, and stop functionality of video player software. We highlight two types of functionality, allowing the user to (1) combine the video stream layer with other raster and vector map layers and (2) adjust the projection of the map in real time. We exemplify video maps by A Year in the Life of Earth’s CO2, an interactive video map that visualizes the results of a high-resolution NASA computer model of global atmospheric carbon dioxide distribution. The map shows how carbon dioxide travels around the globe over the course of one year. We use a combination of WebGL, a programming interface to the hardware-accelerated graphics pipeline, and HTML5 video for adding an areally georeferenced video layer to other map layers, and for the on the fly projection of the video stream in the web browser. ARTICLE HISTORY Received 23 October 2015 Revised 9 January 2016 Accepted 18 February 2016 KEYWORDS Video map; georeferenced video; video layer; film-map; map projection; raster projection; WebGL 1. Introduction: georeferenced video Cartographers have used motion film and video for a long time. For example, Thrower (1959, 1961) docu- ments early production techniques and describes carto- graphic film production in the United States starting in the 1930s. Early cartographic films were produced with analogue means and did not offer interactivity. As Har- rower (2004) notes, the techniques ‘remained margin- alized until the mid-1980s because few cartographers had either the skill or resources to create such maps manually.’ Tobler (1970) created the first computer map animation, but digital animation was only widely adopted for mapmaking by the end of the last century when personal computers capable of producing and playing digital video became available (Campbell & Egbert, 1990; Cartwright, 2007), and academic carto- graphers extended the visual variables by Bertin (1967, 1983) for animated maps (DiBiase, MacEachren, Krygier, & Reeves, 1992; MacEachren, 1995). Carto- graphic animation is now well established, and recent textbooks (e.g. Muehlenhaus, 2013; Slocum, McMaster, Kessler, & Howard, 2009) provide practical advice for creating animated maps. Harrower (2004) notes that video and animation are not the same. While both are commonly used to visu- alize temporal processes, a video consists of a stream of individual frames that are displayed in rapid sequence to create a movie, whereas an animation numerically defines the appearance of objects (size, direction, velocity, etc.) and is decoded and rendered by the com- puter that displays the animation. In the context of this article, it is important to con- sider the type of video georeference. We make a distinc- tion between video with a single-point georeference from video with an areal georeference. A single-point georefer- ence, as defined here, is a point localizing the video in a spatial reference system. The point is typically the cam- era location or a location that is visible in the video. This single position is tied to a spatial reference system, which allows for placing a point symbol, such as a play button, on an interactive map. However, the geotagged video imagery is not part of the map itself, and a video with single-point georeference is therefore only a comp- lementary medium to a map, similar to how other media such as photographs, illustrations, or text can be georeferenced to supplement a map (Luo, Joshi, Yu, & Gallagher, 2011). In an areally georeferenced video, as we define it here, each video frame is georectified. That is, each pixel is referenced to a spatial reference system. This is identical to how each pixel of a static orthoimage is rectified and georeferenced, and is required for making a video stream useful for metric geospatial analysis, visualization in combination with other georeferenced information, the conversion to other spatial reference systems, or other geospatial operations. Areally georeferenced video or video enriched with geographic information, such as the field of view and trajectory information (Han, Cui, Kong, Qin, & Fu, © 2016 Bernhard Jenny CONTACT Bernhard Jenny bernhard.jenny@rmit.edu.au JOURNAL OF MAPS, 2016 VOL. 12, NO. S1, 36–42 http://dx.doi.org/10.1080/17445647.2016.1157323 http://orcid.org/0000-0001-6101-6100 http://dx.doi.org/10.1080/17445647.2016.1157323 mailto:bernhard.jenny@rmit.edu.au http://www.tandfonline.com/loi/tjom20 http://www.tandfonline.com 2015), has surveillance and intelligence applications (Lewis, Fotheringham, & Winstanley, 2011), and is col- lected by aerial vehicles or terrestrial cameras. Various geographic information systems provide specialized tools for georeferencing, visualizing, and analyzing spatial video (Han et al., 2015; Lewis et al., 2011), but real-time video georectification is computational expensive and with limited accuracy. Because camera location and orientation constantly change over time, each frame must be georeferenced individually. Fur- thermore, video streams collected from airplanes, drones, or other aerial vehicles are not generally suit- able for cartographic visualization, because the area covered by the video stream is often limited and follow- ing a fixed camera path. A cartographic video visualization requires a video stream that covers a large, static area (i.e. the camera should not move). There are two typical video pro- duction scenarios used in cartography, involving either (1) the use of animation software or (2) video imagery from satellites or scientific simulation models. For the first production scenario, a cartographic animation is created using an animation software package and then rendered to video frames (e.g. a ship symbol is animated along a vector path to visualize the voyages of Christopher Columbus, and the result is stored in a series of movie frames). For the second production scenario, video imagery is collected by satellites or cre- ated by scientific simulation software. The images are then color adjusted and possibly otherwise enhanced, and finally converted to a video stream. An example output of a scientific simulation is shown in Figure 1. Areally georeferenced video can be made available in two forms. By far the most common form is a stand-alone map video, which, when combined with sound effects and voiced-over narration, Muehlenhaus (2014) calls film-maps. A film-map is displayed by standard video player software with customary play- back controls. However, film-maps are not interactive beyond the standard play/pause and temporal naviga- tion commands; users cannot zoom, style, query, or interact in any other way with film-maps (Figure 1). The second form of making areally georeferenced video available in cartography is through interactive video maps, which we introduce in this article. We illustrate interactive video maps by the example of A Year in the Life of Earth’s CO2 (Jenny et al., 2014), a video map with an areally georeferenced video layer created by an atmospheric carbon dioxide concen- tration model. The map is designed to inform the gen- eral public about spatial and temporal carbon dioxide emission patterns, and to increase awareness of this important process. The map includes a video layer at different resolutions, vector layers with a graticule and international borders, legends, and voiced-over narration. It allows the user to navigate temporally using a circular slider, adjust the layer composition, select a video resolution, adjust scale, and move the center of the map to adjust the oblique map projection. The next paragraph introduces interactive video maps and explains how they differ from film-maps. The following sections describe the NASA carbon diox- ide model software used for creating A Year in the Life of Earth’s CO2, the characteristics of video map layers, and how they can be projected in real time. The Con- clusion section outlines areas of possible future research, and the final Software section provides infor- mation about the workflow for creating the interactive video map. 2. Interactive video maps Interactive video maps are a recent alternative to film- maps. They have been made possible by the combi- nation of areally georeferenced video streams and modern computer technology. We define an interactive video map as a map that contains at least one areally georeferenced video stream and offers interactive fea- tures. (Note: In this article we use ‘video map’ and ‘interactive video map’ as synonyms.) Interactivity is an important characteristic of video maps. An interac- tive video map is not a film-map, because users can, for example, manipulate the content of the video map, query information, or change its projection. The integration of video layers with raster and vec- tor layers requires the computational power of a graphics processing unit (GPU) and recent web tech- nology. Two current technologies are key, namely WebGL, which is a programming interface to GPU functionality (Khronos Group, n.d.) and HTML5 video, which is a standard for streaming and displaying video data (WHATWG, 2015). However, web technol- ogy evolves at a rapid pace, and we therefore expect interactive video maps to be implemented using alternative technology in the future. Areally georeferenced video for interactive video maps is a recent development. An example of an early attempt of a somewhat related visualization type is documented by Eugster and Nebiker (2008). They coupled a live video stream captured by an UAV (unmanned areal vehicle) with the Google Earth digital globe. However, the video was not projected onto the globe surface, but was displayed in an overlaid window. The main reason for the sparse use of interactive video maps is probably due to the required technology (HTML5 video and WebGL), which has only recently become available in web browsers. We expect interac- tive video maps to become more common in the near future, as some web mapping frameworks have recently added support for areally georeferenced video (an example is Mapbox, see MacWright, 2015). One can envision a variety of analysis and visualiza- tion functionalities on the basis of interactive video layers. This article focuses on two essential types of JOURNAL OF MAPS 37 http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 functionality of interactive web maps: (1) the combi- nation of video stream layers with other raster and vec- tor map layers and (2) the projection of video layers in real time. The combination of a video stream layer with other vector and raster layers facilitates the analysis and exploration of spatial relations by adding spatial con- text to a video stream, and enables the user to adapt the map to specific needs and interests. The projection of a video layer in real time can be used to automatically adjust the map geometry to the visible map area, or to interactively adjust projection parameters, such as the center of the map (Figure 2). 3. The NASA carbon dioxide model A Year in the Life of Earth’s CO2 shows how carbon dioxide in the atmosphere travels around the globe. As Lynch (2014a) summarizes plumes of carbon dioxide in the simulation swirl and shift as winds disperse the greenhouse gas away from its sources. The simulation also illustrates differ- ences in carbon dioxide levels in the northern and southern hemispheres and distinct swings in global carbon dioxide concentrations as the growth cycle of plants and trees changes with the seasons. The carbon dioxide visualization used for A Year in the Life of Earth’s CO2 was produced by a computer model called GEOS-5, created by scientists at NASA Goddard Space Flight Center’s Global Modeling and Assimilation Office (Lynch, 2014b). The visualization is a product of a simulation called a ‘Nature Run.’ The Nature Run ingests real data on atmospheric con- ditions, the emission of greenhouse gases, and both natural and man-made particulates. The model is left to run on its own to simulate the behavior of the atmos- phere from May 2005 to June 2007 (NASA, 2013). The output of the model is limited to the year 2006, and the raw raster data are color coded and converted to a video file. The colors represent carbon dioxide concen- trations between 375 (dark blue) and 395 (light purple) parts per million. White plumes represent carbon monoxide emissions (Lynch, 2014b). The video is stored and streamed to clients in the Plate Carrée pro- jection, which has an aspect ratio of 2:1. 4. Video map layers with HTML5 video A video map can contain one or more video layers, as well as conventional raster and vector layers. Combin- ing a video, vector, and raster layers can add spatial context to a video. For example, in A Year in the Life of Earth’s CO2, vector layers with a graticule and country borders are displayed above the video layer. The user can show and hide some of the vector layers, which facilitates the analysis and exploration of spatial relations. For example, carbon dioxide plumes created by fires can be more accurately located by overlaying country borders and major hydrographic features (Figure 3). The show/hide feature could also be applied to video layers, although we do not use this feature, as it would not add useful functionality to this particular map. The user can adjust the resolution of the video, and other types of interactivity could be added to the video layer, as will be outlined in the Conclusion section. For A Year in the Life of Earth’s CO2, we use the HTML5 video specification to load video data and con- trol video playback. The video element in our HTML document element is not visible but serves as an Figure 1. A still frame of a film-map with voice-over narration. The video is areally georeferenced (WGS84 and Plate Carrée pro- jection), but is not an interactive video map, because only standard video player controls for play/pause and temporal navigation are provided. Source: http://svs.gsfc.nasa.gov/goto?11719. 38 B. JENNY ET AL. http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 http://svs.gsfc.nasa.gov/goto?11719 invisible container for streaming the data. The video stream data is uploaded to the GPU, projected with hardware-accelerated shader programs (see next sec- tion), and then displayed in an HTML5 canvas element (WHATWG, 2015). This setup differs from standard HTML pages with video, because shader programs manipulate the video stream, and a canvas element instead of a video element displays the video stream. The HTML5 video specification allows for a variety of video formats (such as MP4). In addition, video Figure 2. Screen capture of A Year in the Life of Earth’s CO2 video map. Figure 3. User elements for adjusting visibility of layers (e.g. coast and lake lines, country borders) and video resolution. JOURNAL OF MAPS 39 http://dx.doi.org/10.1080/17445647.2016.1157323 streams at different resolutions can be provided, depending on the available download speed. Various techniques exist for rendering vector data in web browsers (Gaffuri, 2012; Lienert, Jenny, Schnabel, & Hurni, 2012). We opted for HTML5 canvas for ren- dering vector features. The HTML5 canvas element, which displays the movie, is overlaid by a second can- vas element, which renders the other map layers using the HTML5 canvas JavaScript API (W3C, 2014). The layer geometry is loaded in vector format, projected with JavaScript, and then styled and rendered. 5. Real-time projection of georeferenced video The real-time projection of web maps is relevant at var- ious map scales, because it offers two main advantages: (1) the map can automatically adjust its projection to minimize distortion for the currently visible area and (2) the map center can be adjusted, either by the user or algorithmically (Jenny, 2012; Šavrič & Jenny, 2014). The projection of a video requires each movie frame to be transformed. Because a smoothly animated movie requires 25 or more frames per second, a con- siderable amount of raster imagery needs to be pro- cessed. The traditional CPU-based approach for projecting raster images with continuous tone colors, as described by Finn et al. (2012b), is too slow. Attempts at accelerating raster projections have been presented by various authors (Finn et al., 2012a; Tang & Feng, in press; Xie, Tang, Sun, & Chen, 2011; Zhao, Cheng, Dong, Fang, & Li, 2011), but the required technology is often not available in web browsers, geo- metrical accuracy is sacrificed for speed, or access to cloud computing may be needed (see Jenny, Šavrič, & Liem, 2015 for details). An alternative approach for the real-time projection of raster images was introduced by Jenny et al. (2015). Their method uses the GPU through the WebGL API. Dedicated shader programs run on the GPU to project raster images at very high speed. The original frame- work by Jenny et al. (2015) works with a static raster image in the Plate Carrée projection. This image is loaded as a texture onto the GPU using the WebGL API. When the map is projected and rendered, special- ized WebGL shader programs transform the texture to the current map projection and render it to an HTML5 canvas element. For A Year in the Life of Earth’s CO2, we extend the framework by Jenny et al. (2015) for the projection of video streams. Instead of loading individ- ual raster images, we use an HTML5 video element to load the video stream. The video stream is linked to the HTML5 canvas element, and the video frames are accessible by the shader programs as a texture. Techni- cal details about the combination of the HTML5 video element with WebGL are provided by Mozilla Develo- per Network (2015). The video stream is best streamed to the client using the Plate Carrée (or ‘geographic’) projection to simplify projection algorithms. (An initial reverse projection to spherical or elliptical coordinates is not required.) The described combination of WebGL and HTML5 video is fast enough for the real-time projection of georeferenced video streams. We achieve interactive frame rates with recent tablets and standard computers using video streams at full screen size and 25 or more frames per second. The result is a video map that can be smoothly zoomed and rotated while the video stream is playing. For example, in Figure 4, the user created an oblique projection by rotating the South Pole towards the center of the map to better visualize a georeferenced video showing the propagation of a tsunami wave through the Pacific Ocean and around Antarctica. This type of phenomenon would be diffi- cult to visualize using a projection with a static equa- torial aspect. Additional new types of user interactions with areally georeferenced video in web browsers are concei- vable that are based on transitioning projection par- ameters. For example, maps with panning and zooming animations could be created, projection par- ameters could be animated to produce maps with a rotating globular appearance, or smooth transitions between points of interest could be synchronized with the current focus of voice-over narration. 6. Conclusion This article makes a contribution to the interactive visualization of areally georeferenced video streams by introducing the concept of interactive video maps for the web. Single-point georeference and areal geore- ference for video streams are defined, and video map layers based on an areally georeferenced video stream are introduced. Video map layers can be combined with traditional raster and vector layers. We use stan- dard graphics hardware for the real-time projection of areally georeferenced video streams in web browsers. The web browser applies a cartographic projection to a video stream on the fly, allowing the user to adjust the center of a video map while the video stream is playing. The outputs of scientific computational simulations or satellite imagery are predestined for visualization in video maps. Simulation model algorithms use georefer- enced data, and the output data is therefore readily georeferenced. Video maps offer new possibilities for the exploration and visualization of temporal raster information. Scientific users as well as the general pub- lic can observe global temporal phenomena that are difficult to visualize on virtual globes or static maps with a fixed projection. A Year in the Life of Earth’s CO2, available at http:// co2.digitalcartography.org, is an interactive video map that visualizes the results of a high-resolution NASA computer model of global atmospheric carbon dioxide 40 B. JENNY ET AL. http://dx.doi.org/10.1080/17445647.2016.1157323 http://dx.doi.org/10.1080/17445647.2016.1157323 http://co2.digitalcartography.org http://co2.digitalcartography.org distribution. The map demonstrates that high-resol- ution interactive video maps are possible to create with current hardware and standard web browsers, and provides the user with new insights through its interactive capabilities. Additional interactive functionality could be added to video maps. Future research is needed to develop new types of interactive analysis and visualization fea- tures for areally georeferenced video streams in web browsers. For example, video maps could provide functionality for reclassifying or coloring video streams, or computing areal and temporal statistic from video streams. Furthermore, our A Year in the Life of Earth’s CO2 map uses one particular type of user interface that we assumed was appropriate for this particular map. We chose a cyclical control for indicating progress and navigating in time to empha- size the cyclical pattern of carbon dioxide emission. However, we have not ascertained this assumption; additional research is needed to better understand the suitability of alternative user interfaces for interac- tive video maps. Software The NASA GEOS-5 modeling software (NASA, 2013) simulated the behavior of the Earth’s atmosphere. The model output was then converted to a narrated video stream with a 2:1 aspect ratio in the Plate Carrée map projection. The client software uses a framework for the projection of raster images in the web browser by Jenny, Šavrič and Liem (2015) that was extended for the projection of video streams. The user interface, video element, canvas, and WebGL functionality are combined with JavaScript. Acknowledgements The authors would like to thank the reviewers for their valuable comments, and Abby Metzger, Oregon State University, for editing this article. 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Introduction: georeferenced video 2. Interactive video maps 3. The NASA carbon dioxide model 4. Video map layers with HTML5 video 5. Real-time projection of georeferenced video 6. Conclusion Software Acknowledgements Disclosure statement ORCID References 
work_knhobjmhffaqtfymsg2c2djjem	----	78 G il The idea that disasters become an opportunity is almost a cliché; what we never know is who or what will benefit from it. Based on the debates following the 1906 earthquake in Valparaíso, this text argues that when a city is ruined and decisions to rebuild must be taken, the difference between what is valued and what is not is clearly shown. The opportunity, then, becomes a discussion on values. A ccording to economics, things are worth their price in the market, following the laws of supply and demand. However, we also know that there are things that cannot be easily alienated or traded, which does not mean that they have no value. Marion Fourcade calls these goods “peculiar” – including among them wild animals, vital organs, and nature (Fourcade, 2011). The city could certainly be included in this list. While it is true that the urban land is usually traded and valued in monetary terms, the city is more than the soil on which it is located; it is a social construction, a shared experience. It is the product of a society as well as the space that makes that society possible and conditions it (Mumford, 1961). As a peculiar good, the value of a city is not openly defined, as neither The reconsTrucTion of Valparaíso’s urban Value afTer The 1906 earThquake magdaLena giL Profesora Asistente, Escuela de Sociología Pontificia Universidad Católica de Chile Santiago, Chile Keywords Plan City Land Place Disasters ARQ97_libro.indb 78 22-11-17 5:24 p.m. A R Q 9 7 — U C C H IL E 79 are the particular values associated with it. However, there are times when the value of a peculiar good must be discussed or contested. For example, we value a family heirloom when it is lost or a wetland once it has been contaminated. In these cases, it is the destruction of the object or place what makes the loss of value clear, and its restitution forces to define what, how, and how much that loss is valued. This is what has happened in many Chilean cities after the great socio-natural disasters that have affected them throughout history, especially earthquakes. As described by Torrent (2016), that is the case for Chillán after the 1939 earthquake left a virtually blank plan from which a new city could be thought from scratch. Within this context, different “value economies” can be considered (Boltanski & Thévenot, 2006), each highlighting a particular aspect of the territory. That is, one must discuss – in many cases for the first time – what is it that it is valued from a city, what must be recovered and what can be replaced. This is because the post-disaster recovery process is not only a task for the physical world, even if determined by the need to rebuild. Recovery is also a process driven by the desire to re-engage with the social and cultural life that the disaster has endangered, something Davis and Alexander (2005) have called genius loci or ‘sense of place.’ An example of this is the destruction of Valparaíso in 1906, since it raised a fervent and agitated discussion about the new city plan, bringing forward different visions regarding its value as imaginary and 1 El Almendral antes del terremoto de 1906. Calle y Plaza Victoria, Valparaíso. (Actual Av. Pedro Montt). / El Almendral before the 1906 earthquake. Victoria Street and Square, Valparaíso. (Current Pedro Montt Av.). Fuente / Source: Postal de Colección / Postcard Collection. 1 ARQ97_libro.indb 79 22-11-17 5:24 p.m. 80 G il commonplace. However, there was also a certain degree of consensus on the general values that should inspire the ‘ideal’ Valparaíso, specifically the search for a more modern, more hygienic and more monumental city. In this way, catastrophe becomes an opportunity to redesign the urban space, creating a ‘window’ through which the urban values of a society can more clearly be observed (Healey, 2011). Valparaíso’s destruction in 1906 On the night of August 16, 1906, an earthquake magnitude 8.2 Mw1 struck Valparaíso, destroying almost completely Chile’s first port and second most important city. Strong swells, destructive fires and many aftershocks, some almost as strong as the major earthquake, followed the event. After a night out in the open, the scene of the next morning was devastating: whatever the earthquake had left standing was then destroyed by fire. The official number of casualties in Valparaíso was estimated at 3,800 people, with more than 20,000 injured (Zegers, 1906; Rodríguez & Gajardo, 1906)2 and $ 100 million in property damage.3 It was indeed the greatest catastrophe in Chile’s history to the date. From La Serena to the north and to Talca to the south, the whole country experienced the earthquake. However, no city or town suffered as much as Valparaíso, and specifically, El Almendral neighborhood. With famous theaters, cafes and department stores, El Almendral ranged from Plaza de la Victoria up to the feet of the Barón Hill in the city’s flat area.4 It used to be the most splendid part of Valparaíso and the heart of the local elite. Even so, the mansions had to tolerate the port’s proximity, while sharing space with some cités and even small industry. Sadly, the land of El Almendral had been reclaimed from the sea through landfills and, consequently, almost every building collapsed with the earthquake (Rodríguez & Gajardo, 1906; Martland, 2006).5 Unfortunately, we do not know much about the damage that the earthquake inflicted in other parts of the city, considering a third of it were conventillos [slums] (Urbina, 2011). According to the Mayor, destruction encompassed “the whole city”; however, specific records refer exclusively to the oligarchic city: the center, the port, and El Almendral.6 Recent studies have pointed out that most of the hills were effectively destroyed, mainly due to fires, but some survived in fairly good conditions (Savala, 2012). Nevertheless, the 64 totally devastated blocks in El Almendral were the ones bearing the highest value for the elite, since they not only condensed most of the trade but also of their social life. Therefore, its reconstruction became an issue of first importance and, moreover, the destruction of Valparaíso was presented as an opportunity to design a dream city that later became an example for Chile and the rest of the world.7 Plans for Valparaíso’s reconstruction The day after the tragedy, a group of neighbors began to organize to help and to plan Valparaíso’s reconstruction. The group was known as the Comisión General de 2 El Almendral luego del terremoto de 1906. Calle y Plaza Victoria, Valparaíso (Actual Av. Pedro Montt). / El Almendral after the 1906 earthquake. Victoria Street and Square, Valparaíso. (Current Pedro Montt Av.). Fotografía / Photograph: Carlos Brandt. 2 ARQ97_libro.indb 80 22-11-17 5:24 p.m. A R Q 9 7 — U C C H IL E 81 3 Destrucción en El Almendral, Valparaíso. / Destruction in El Almendral, Valparaíso. Fotografía / Photograph: Carlos Brandt. 4 Plano de Valparaíso señalando las zonas más afectadas por el terremoto e incendios. / Valparaíso plan indicating the areas most affected by the earthquake and fires. Fuente / Source: Rodríguez & Gajardo, 1906. Vecinos [Neighbors General Commission] (cg v) which, formed by about thirty elite men, it included the Mayor and the city’s Intendant.8 To meet its goal of leading reconstruction, the cg v formed a technical sub-commission to design a new plan for Valparaíso. The cg v ’s proposal was radical: the government should expropriate all El Almendral (approximately 545,000 m2) while the commission would design a new city to build in its place.9 The plan was designed by Francisco Garnham and Jorge Lyon, both engineers and local citizens. According to Garnham’s analysis, “the flat part of the city’s layout contains all the conditions required by a modern city,” a concept on which he designed the new plan and defined the measurements for new avenues, streets, squares, and boulevards.10 Any trace of the previous city had to be eradicated: old conventillos and factories were to be relocated in other areas, starting with the new ‘camps’ that had emerged after the earthquake.11 The new rooms for these “souls” (sic) should be located in Playa Ancha, on the outskirts of the oligarchic city. The project was presented in the newspaper El Mercurio on August 25, drawing support from the local elite.12 The issue, however, was that the proposal was so expensive that it could end up being “more ruinous than the earthquake itself,” as recorded in the cg v minutes.13 On the other hand, landowners located in El Almendral were not convinced with the cg v ’s plan. Most did not want money for their houses, but to rebuild them in the same place. Millionaires – the owners argued – had properties elsewhere and saw the land 3 4 ARQ97_libro.indb 81 22-11-17 5:24 p.m. 82 G il in El Almendral only as an investment.14 However, for the owners, El Almendral was their home, and a “wholesale” expropriation would deprive them of living in their neighborhood ever again.15 Consequently, the owners presented their own plan for the area designed by the architect Carlos Claussen. The proposal sought to maintain as much as possible the old city plan, thus minimizing the impact of possible expropriations (set at only 102.975 m2). Nonetheless, it also sought to build a larger, more ordered city that was better than the previous one. In this sense, the plan considered streets to be opened and rectified, without adding any new avenues, squares or boulevards. The project was much cheaper than that of the cg v ’s, not only because expropriations were kept to a minimum but also because water and light services were left intact.16 Finally, a third proposal was presented by Abelardo Arriagada, director of Municipal Works at the local Municipality, supported by some of Valparaíso’s boards of residents. The project sought to respond to different concerns by the local elite, establishing large avenues, plazas, and boulevards while only considering land expropriation when needed for these developments. The problem was that some landowners would be left with minimal plots.17 To decide on the issue, President Montt sent a law for the reconstruction of Valparaíso to Congress (Law 1876). During the debate, the cg v plan was discussed at length, as well as those presented by Claussen and Arriagada.18 Finally, on December 6, the law was passed without any specific plan. Instead, it required the creation of a Reconstruction Board ( jr) with executive powers to decide on a new plan for El Almendral. Montt’s mandate to the jr was to completely redesign El Almendral, just as the cg v wanted, but maintaining the former plan “as much as possible,”19 following the landowners’ wishes. Law 1876 gave an unprecedented freedom to the jr , since every decision had to be followed literally in all areas: design, execution, zoning, and regulation. As Martland (2006) has already pointed out, this meant that the jr took almost complete control of the area and granted immense power to the State over the city, or at least part of it. In fact, the jr was controlled by executive representatives and was subject to direct control of the executive. However, the neighbors still maintained significant power. The five men appointed “Catastrophe becomes an opportunity to redesign the urban space, creating a ‘window’ through which the urban values of a society can more clearly be observed.” ARQ97_libro.indb 82 22-11-17 5:24 p.m. A R Q 9 7 — U C C H IL E 83 5 Propuesta de la c g v. Plano de F. Garnham y J. Lyon. / cg v proposal. Plan by F. Garnham and J. Lyon. Fuente / Source: La Unión, 11 de octubre de 1906. / October 11, 1906. 6 Propuesta del Comité de Propietarios. Plano de C. Claussen. Landowners’ proposal. Plan by A. Bertrand. Fuente / Source: La Unión, 6 de noviembre de 1906. / November 6, 1906. 5 6 ARQ97_libro.indb 83 22-11-17 5:25 p.m. 84 G il 7 A. Arriagada, plano / plan. Fuente / Source: La Unión, 7 de octubre de 1906. / October 7, 1906. by the President were: Francisco Valdés Vergara, head of the cg v and possibly the most powerful man in Valparaíso; Alejo Barrios Contreras, also member of the cg v, former Mayor and then Deputy for Valparaíso; Santiago Lyon Santa María, founder of the Chilean Vapor Company, who had not participated in the cg v ; Domingo V. Santa María, geographer and engineer, former director of State Railways and professor at the University of Chile; and finally, Alejandro Bertrand, a distinguished geographer who had previously designed a new plan for the city of Santiago. In brief, the President appointed a commission that balanced representatives of the local elite with two engineers on behalf of the State, which was reflected in the final plan.20 The final project While it is true that the plan sanctioned by the jr encompassed elements from the different proposals, it was mainly designed by Bertrand. The engineer took into consideration most of what the executive requested, keeping part of the previous layout, but setting new guidelines for reconstruction. First, it intended to set wide and straight streets, eliminating abrupt corners and shortening routes to improve security measures. Secondly, it opened new streets and roads, in addition to introducing new squares that served as public walkways. Third, it sought to level streets and to bury water channels coming down the hills.21 Although this meant significant expropriations, it did not imply that all 7 ARQ97_libro.indb 84 22-11-17 5:25 p.m. A R Q 9 7 — U C C H IL E 85 El Almendral was to be confiscated. The requirements of the National Treasury were also taken into account since the final plan was significantly cheaper than the one requested by the cg v. It was ratified by a decree on behalf of President Montt on January 18, 1907. Engineer Enrique Budge was appointed to materialize Valparaíso’s reconstruction. However, by the year 1910, the Centennial of the Republic, the reconstruction works were still in progress. A number of issues had delayed the implementation of the Government’s plan. Of major importance was the fact that many people had begun repairing their buildings without authorization from the jr , which complicated the expropriations. Likewise, the 1907 Chilean economic crisis made it harder to get funds from the State. Lastly, on 1906 a new plain roadway linked Valparaíso with Viña del Mar, turning the connection between both cities much more efficient not only by avoiding the detour among the hills, but also by including a tramway. In addition, the lack of dwelling spaces in Valparaíso after the earthquake forced people to other parts in the area. Seven years after the earthquake, the reconstruction of El Almendral was still moving at a slow pace, while in Viña del Mar there were about 500 new mansions, each with its own garden. Still, El Almendral was rebuilt, its streets enlarged and paved, and the waterways channeled and vaulted. In Brazil Avenue, the first to be renovated, important monuments such as the British Arch and statues of Lord Cochrane and Christopher Columbus were located. 8 Propuesta final de la j r . Plano de A. Bertrand. J R’s final proposal. Plan by A. Bertrand. Fuente / Source: El Mercurio (Valparaíso), 9 de enero de 1907. January 9, 1907. 8 ARQ97_libro.indb 85 22-11-17 5:25 p.m. 86 G il Pedro Montt and Columbus Avenues were also opened. Secondly, riverbeds were covered by paving the streets, which prevented the continuous rain flooding. Thirdly, El Almendral was leveled according to the rest of the city, using the rubble left by the earthquake as fill. Finally, a number of squares were transformed, especially Victoria Square, which was enlarged by a whole block and received bronze statues representing the seasons of the year. Here a new urban center was established, comprising a new theater and municipal offices. The lands formerly used for these purposes were converted, in turn, into the Simón Bolívar Square (Ugarte, 1910). Urban values expressed in the reconstruction of Valparaíso Despite their differences, it is clear that all proposals share a relatively common view on the ‘ideal’ Valparaíso. Within it, a “modern” city seems to be the main theme. For most of the local dwellers, and especially for those who participated in the cg v, any vestige of the former city had to be eliminated, giving way to a new one in accordance with its time. In practical terms, this meant a more ordered, safe and hygienic city, as reflected even in the most conservative proposals. Particularly, it was thought that the “tortuous, narrow streets”22 were to disappear, substituted by a new, “smarter” layout that encompassed avenues and boulevards in the style of great European cities.23 This was the dream of the local elite and “now,” as El Mercurio indicated, “supporters of the wide roads have enormously increased, following all those who felt the wobbly buildings above their heads.” The paper added: “This same argument, in fact, will serve to prevent the stupid opposition often made to open spaces, parks, gardens, and squares, considered by some a luxury and which are a need in every civilized city.”24 Within this context, the hygiene problem was fundamental. The issue had already been raised years ago,25 but conditions had become much more desperate after the disaster given the tents installed among the rubble.26 In fact, Law 1887 was officially named “Law to repair the damages caused by the earthquake of last August 16 in the city of Valparaíso, to prevent this city from flooding and to improve its hygienic conditions.”27 As described by Páez (2008), this meant a highly alarming situation for the elite once threatened by possible diseases. Given the above, all plans contemplated leveling the soil while defining a north-to-south gradient that improved rainwater circulation and prevented flooding. The local edition of El Mercurio summarized this vision as follows: With the completion of the works indicated in the different issues of the [presidential] message, it will be possible to put an end, once and for all, to those infected slums that formed most of the neighborhood mentioned, and we will have transformed that area of Valparaíso into a truly modern city, with spacious, clean, and well-paved streets, with the levels needed to give water a proper exit, with hygienic ARQ97_libro.indb 86 22-11-17 5:25 p.m. A R Q 9 7 — U C C H IL E 87 and well-conditioned buildings, in short, with all those elements that can make life within it pleasant and safe.28 This also meant, as mentioned earlier, to relocate poor segments of Valparaíso on the city’s outskirts. In brief, after the 1906 earthquake, Valparaíso was reborn from its ruins as a new city, showing a vision of the urban that valued certain aspects of the territory over others.29 However, this study reveals that the process of reviving the ‘sense of place’ that the earthquake destroyed does not always translate into an attempt to restore that which is lost: it can also be motivated by a desire to build something total or partially different. In other words, urban destruction presents itself as an opportunity to rethink the value not only of the city, but also of its experience and its meaning. ARQ 9 «De las Ruinas» “Fom Ruins.” Fuente / Source: Zig Zag N º 82, 9 de septiembre de 1906. September 9, 1906. 9 ARQ97_libro.indb 87 22-11-17 5:25 p.m. 88 G il Notas / Notes 1 National Seismological Center. Universidad de Chile. Important or Destructive Earthquakes (1570 to date). www.sismologia.cl 2 It is clear that the number of victims was larger, since there was no survey of those affected in rural areas or many other cities. In addition, casualties due to influenza or other diseases derived from the disaster should be considered. According to calculations, the final number of casualties is about 7,000. 3 Em-Dat 2017. The International Disaster Database. Center for Research on the Epidemiology of Disasters. www.emdat.be 4 The area is usually referred to as ‘the plan,’ due to its flatness; however, this term has been avoided so as not to make the debate on the different urban plans for reconstruction confusing. 5 This was, at least, the conclusion of experts at the time. See: Hormidas, 1907. 6 El Mercurio de Valparaíso. “Informe Oficial del Intendente de Valparaíso sobre la catástrofe,” August 20, 1906. El Mercurio (Santiago). “El Terremoto en Valparaíso: Llegada del primer correo oficial. Testo del parte del intendente Señor Larraín Alcalde,” August 20, 1906. 7 For further information on class struggles after the earthquake, see: Martland, 2009 and Savala, 2012. 8 El Mercurio de Valparaíso. “La Reunión de vecinos de ayer,” August 23, 1906 and August 26, 1906. 9 Proceedings from the Comisión General de Vecinos. In Actas de las sesiones de la Junta de Reconstrucción de El Almendral. Valparaíso: Imprenta de Julio Neuling. 127. See also: El Mercurio de Valparaíso. “La Nueva Planta de Valparaíso,” September 18, 1906. 10 El Mercurio de Valparaíso. “La nueva planta de Valparaíso,” September 18, 1906. 11 Proceedings from the Comisión General de Vecinos. In Actas de las sesiones de la Junta de Reconstrucción de El Almendral. Valparaíso: Imprenta de Julio Neuling. 119-139. 12 El Mercurio de Valparaíso. “Proyecto de lei para el resurjimiento de Valparaíso,” August 25, 1906; “La labor de la comisión de Vecinos,” September 1, 1906. 13 Proceedings from the Comisión General de Vecinos. In Actas de las sesiones de la Junta de Reconstrucción de El Almendral. Valparaíso: Imprenta de Julio Neuling. 14 In fact, many of the leaders of the c g v were not landowners at El Almendral. Francisco Valdés lived in Viña del Mar and Jorge Lyon Santa María in Concepción Hill. 15 El Mercurio de Valparaíso. “La expropiación de El Almendral,” September 11, 1906. 16 La Unión. “El comité de propietarios y el plano de transformación de El Almendral del Sr. Claussen,” November 6, 1906. 17 There is no room in this article to delve into the debate on the port’s reconstruction works, but it is worth mentioning that while the j r was discussing a new plan for Valparaíso, the Port Board discussed the future of this port considering for such purpose part of El Almendral. However, they did not reach any conclusion and the reconstruction of El Almendral continued its course without considering the port. For more information, see: Páez, 2008. 18 However, the debate was not about urban planning, but budget. For this reason, the c g v plan could not be rapidly accepted. 19 Congreso Nacional de Chile. Sesiones Extraordinarias de la Cámara de Diputados. Sesión 1° Extraordinaria de 12 de Octubre de 1906. 20 Additionally, the commission was balanced in political terms: Valdés Vergara was liberal; Alejo Barrios belonged to the National Party and Lyon Santa María came from a family strongly associated with the Conservative Party. 21 Actas de las sesiones de la Junta de Reconstrucción de El Almendral. Valparaíso: Imprenta de Julio Neuling. See also: El Mercurio de Valparaíso. “El nuevo plano de El Almendral,” January 6, 1907. 22 El Mercurio de Valparaíso. “El nuevo plano de Valparaíso,” September 28, 1906. 23 Specifically, note the influence of Georges-Eugène Haussmann’s Paris Plan. 24 El Mercurio de Valparaíso, September 11, 1906. 25 Moreover, Garnham had presented years earlier a plan to sanitize the city focusing on public health. 26 El Mercurio de Valparaíso. “El estado de la ciudad,” October 29, 1906. ARQ97_libro.indb 88 22-11-17 5:25 p.m. A R Q 9 7 — U C C H IL E 89 27 Law 1887, December 6, 1906. 28 El Mercurio de Valparaíso. “Los problemas de Valparaíso,” October 15, 1906. See also: “La Salubridad Pública y la reconstrucción de la ciudad,” January 10, 1906. 29 For instance, it is worth noting the scant presence of a discourse on building improvements in terms of seismic protection. Bibliografía / Bibliography B o lt a n s k i , Luc; t h é v e n o t, Laurent. On Justification. Economies of Worth. Princeton and Oxford: Princeton University Press. 2006. Dav i s , Ian; a l e x a n D e r , David. Recovery from Disaster. Routledge Studies in Hazards, Disaster Risk and Climate Change. London: Routledge. 2015. F o u r c a D e , Marion. «Cents and Sensibility: Economic Valuation and the Nature of ‘Nature’». American Journal of Sociology 116 (6, 2011): 1721-77. h e a l e y, Mark. The Ruins of the New Argentina. Peronism and the Remaking of San Juan After the 1944 Earthquake. Durham: Duke University Press, 2011. h e n r í q u e z , Hormidas. El Terremoto de Valparaíso bajo su aspecto constructivo. Valparaíso, 1907. m a r t l a n D, Samuel. «Reconstructing the City, Constructing the State: Government in Valparaíso after the Earthquake of 1906». Hispanic American Historical Review 87 (2, 2006): 221-254. m a r t l a n D, Samuel. «Social and Political Fault Lines. The Valparaíso Earthquake of 1906.» En Buchenau, J. & Johnson, L. (ed). Aftershocks. Earthquakes and Popular Politics in Latin America. Albuquerque: University of New Mexico Press: 2009. m u m F o r D, Lewis. La ciudad en la historia. Sus orígenes, transformaciones y perspectivas. Buenos Aires: Infinito, 1961 [1974]. Pá e z , Pablo. La oportunidad de la destrucción en la urbanística moderna. Santiago de Chile. Tesis para acceder al grado de Magíster en Desarrollo Urbano. Pontificia Universidad Católica de Chile, 2008. r o D r í g u e z , Alfredo; g a j a r D o, Carlos. La Catástrofe del 16 de Agosto de 1906 en la República de Chile. Santiago de Chile: Imprenta Barcelona, 1906. s ava l a , Joshua. Contesting Disasters: the 1906 Valparaíso Earthquake, State Violence and Working Class Solidarity. A thesis submitted in partial fulfillment of the requirements for the degree of Master of Arts in History. Tufts University, 2011. t o r r e n t, Horacio. «El suelo en la disputa por la reconstrucción urbana de Chillán, 1939» a r q 93 (agosto, 2016): 84-97. u g a r t e , Juan de Dios. Valparaíso 1536-1910: Recopilación Histórica, comercial y social. Valparaíso: Imprenta Minverva, 1910. u r B i n a , María Ximena. Los Conventillos de Valparaíso 1880-1920. Valparaíso: Ediciones Universidad de Valparaíso, 2011. z e g e r s , Luis. «El terremoto del 16 de agosto». Anales de la Universidad de Chile. Tomo c x i x , 1906. Magdalena Gil <mogil@uc.cl> Sociologist, Pontificia Universidad Católica de Chile, 2006. Master in Sociology, Columbia University, u s a , 2012. PhD in Sociology, Columbia University, u s a , 2016. Is currently assistant professor at the School of Sociology and the School of Engineering at the Pontificia Universidad Católica de Chile. She is also a researcher at the Centro de Investigación para la Gestión Integrada del Riesgos de Desastres [Research Center for the Integrated Management of Risk Disaster] (c i g i d e N) co N i c y t/f o N d a p/15110017. ARQ97_libro.indb 89 22-11-17 5:25 p.m. 
work_knymycue4vbirmwqdrgxcvca3m	----	Columbus the Seaman? FORUM 417 trigonometry I found the position of this Sumner line during a full morning's work. It fortunately cut at a very broad angle the course that we must anyhow be steering so as to come towards the south of Scotland, and I could therefore get quite a good position. Indeed some days later the Chief Officer told me he had been rather shocked because I had succeeded in telling him our longitude correct to fifty miles, and our latitude to a hundred or so. I would, however, not have ventured to estimate the probable error of my position. There was a sequel. During the interminable voyage the passengers arranged a sweepstake about the day and time of our arrival at Liverpool; I think this was on a Wednesday and most of the passengers guessed we should arrive some time between the following Tuesday and Thursday. Using my (as yet unverified) estimate of the position and taking the known speed of the convoy—and also having to estimate the position of Liverpool which could not be accurately read from my atlas—I could calculate that the great circle to Liverpool would bring us there much sooner, in fact on the earlier Saturday. However there would obviously be delays, and so since nobody else had put down nearly so optimistic a date, I gave the time as Sunday afternoon at 4 p.m. We actually touched the quay at 3.30 p.m., so my methods of navigation proved quite profitable. Columbus the Seaman? from Professor E. G. R. Taylor COMMANDER WATERS'S reviewi of Professor Morison's recent book on Columbus (Journal 10, 216) should be read in the light of the following facts, published in 1932 by the City of Genoa.2 They were supported by facsimiles of the docu- ments from which they derive. The Great Discoverer was born in 14J1, the son of a wool-weaver of Genoa. The family moved for a time to Savona, and were living there in 1472 when Christopher, in signing a deed, described himself as 'a wool-worker of Genoa'. He went to Lisbon not before 1476, and while there visited Madeira to buy sugar for two Genoese merchants. He made a brief business visit to Genoa in 1479, when he said he must soon return to Lisbon. In all this there is no hint of a person who has knocked about the sea from the age often. There is no evidence that on the voyage to Guinea Columbus travelled as a sailor, while as regards the voyage to Iceland, he said it was made in February 1477, that the south of the island lay in lat. 73°N., not 63°N., and that he sailed 100 leagues (400 miles) beyond it and found that the sea was not frozen. The authenticity of this voyage may be left to the judgment of the reader. The outstanding feats of Columbus were to plan the voyage, to secure equip- ment for the voyage, and above all to carry it through despite the fears and the unwillingness of the mariners. His stature is not lessened by his romancing about his younger days, nor by his failure to grasp the rules for taking Sun and star— not even, perhaps, by his readiness to falsify the log-book. For it was a general maxim of ancient sea-laws that before the captain or master took any action of serious consequence, like cutting the cables, or leaving port in a storm, he must consult the ship's company and abide by a majority decision. John Cabot had been forced by his crew to turn back on his first effort to cross the ocean. Columbus did not turn back. 22 of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300017124 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300017124 https://www.cambridge.org/core F O R U M VOL. X Professor Salvador de Madariaga (author of Christopher Columbus) comments: I have unfortunately not read Professor Morison's book but gather from Cdr. Waters's review of it that the eminent Admiral-Professor duly appreciates the merits of the Admiral-Discoverer as a navigator. These would seem to me evident from the achievements of Columbus; and I find it difficult to see how any concrete defects in technique or knowledge that Columbus may have had can detract from his skill as a seaman. Rather should I be inclined to consider that the less theory Columbus is found to possess, the greater will stand out his skill as a practical seaman. This in its turn tallies not merely with the views on the subject which I have expounded in my own Life, but, what is more to the point, with Columbus's own assertions. It seems to me too easy to dismiss as 'lies' and 'romancing' what a historical figure affirms unless there is no way whatever to reconcile his sayings with other unimpeachable evidence. I believe I have proved that Columbus's assertions on his long life at sea are in perfect accordance with the facts and documents of the Genoa series. Gallo, not only Columbus, says that the two elder sons of Domenico went out to sea at an early age. The documents prove that only the third son, Giacomo, became a wool weaver like his father; and that Christoforo had to rescue his father from financial difficulties, which shows that he was earning his living in a different way. In the circumstances, the logical conclusion is that he made his living as a sailor. A long life at sea and a but indifferent theoretical education is precisely the combination that we find in the Discoverer when considered as a seaman. When all tallies, why wander from the harmony of the facts? What inducement could lead Columbus to make up an imaginary sea career? In order to convince cosmo- graphers and pilots who would surely see the impostor in him far more easily than we do? And whence could come his outstanding seamanship if as it turns out he was awkward with the quadrant and did not know how to use astronomical tables? Whence could it come but from a long life at sea? There is in the life of Columbus something which does not tally. This Genoese never wrote any language other than Spanish, or Latin. He wrote in Spanish even to his brothers, to the Bank of Genoa, to the Genoese Ambassador. This has to be explained and it will not do airily to declare that there is no problem here. There is a problem, and no biography that does not attempt to solve it can be considered as any more than a jumble of facts. For the Life of Columbus to acquire a unity, this fact must be explained. I have connected it with another curious fact of his life, the variety of his names. He called himself successively Colombo, Colomo, Colom and Colon. This last form of the name happens to be that which Italian Jews of the name of Colombo regularly adopted when writing in Hebrew characters. All this has led me to the hypothesis that the Colombos were Spanish Jews settled in Genoa. I have so far read nothing of any value against such an explanation of the facts, which on the other hand everything seems to confirm. REFERENCES 1 Christopher Columbus, Seaman. 2 Christopher Columbus: Documents and Proofs of his Genoese origin, City of Genoa, 1932. (English-German edition.) of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0373463300017124 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms https://www.cambridge.org/core/terms https://doi.org/10.1017/S0373463300017124 https://www.cambridge.org/core 
work_koajhp6zjncnxf47tgxicaya6i	----	In the Red Cross and Red Crescent World EUROPEAN REGIONAL CONFERENCE "THE NEW EUROPE NEEDS THE NEW RED CROSS" (The Hague, 18-22 May 1992) The IVth Regional Conference of European National Red Cross and Red Crescent Societies was held in The Hague from 18 to 22 May 1992. Orga- nized by the Netherlands Red Cross, which this year celebrates its 125th anniversary, the Conference, meeting for the first time since 1981 (in Budapest), was attended by some 200 representatives from 48 National Red Cross and Red Crescent Societies. Participants included delegates from 12 National Societies of the former Soviet Union, who were attending their first international gathering as independent societies, as well as the representa- tives of the three Baltic Societies and the nascent Red Cross of Malta. The ICRC was present at the conference with observer status. The theme of the conference was "The new Europe needs the new Red Cross". Participants were invited to consider the impact on the structure and work of European National Societies of the radical political, economic and social changes which have taken place in many countries of Europe. The Conference was opened on 18 May by the Prime Minister of the Netherlands, Mr. Ruud F.M. Lubbers, who urged delegates to oppose violence and to build a society where every individual is equally valued. The Movement "can play an important role in fostering democracy and peaceful coexistence in the new Europe", he told his audience, which included HRH Princess Margriet , Vice-President of the Netherlands Red Cross, and HRH Princess Juliana, its Patron. At the beginning of the proceedings, on 20 May, came the news of the death of ICRC delegate Fre'de'ric Maurice. In response to the suggestion by the President of the Netherlands Red Cross and Chairman of the conference, Mr. J.J. van der Weel, the Assembly adopted a message of condolence from the members of the conference to the families of those who have been killed in recent months in the accomplishment of their humanitarian mission and expressing their "profound admiration for all the delegates and other persons 391 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0020860400070819 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:30, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0020860400070819 https://www.cambridge.org/core who have, under ever more dangerous conditions, become involved in human- itarian activities, serving the Movement's ideals". The President of the ICRC, after paying a tribute to ICRC delegates who are the victims of frequent security incidents, expressed the view that the new Europe needed a Red Cross stimulated by a new humanitarian impetus and motivated by true solidarity. Once again, he called for humanitarian mobiliza- tion, to be brought about by spreading knowledge of the fundamental princi- ples of the Movement and the basic rules of international humanitarian law. Commenting further that any politicization or loss of independence of National Red Cross and Red Crescent Societies inevitably undermined the international credibility of the emblem, Mr. Sommaruga placed special emphasis on the need to be more strict with regard to the use of the emblem and to apply the relevant regulations to the letter. The work of the Conference was assigned to three Commissions. Commis- sion I, chaired by Mr. Haakan Hellberg (Finnish Red Cross), dealt with health and social welfare, AIDS and blood transfusion. Commission II, under the chairmanship of Mrs. Carmen Mestre Vergara (Spanish Red Cross), considered matters relating to recruitment of members, voluntary work, youth, fund-raising and dissemination of the principles of the Movement and of humanitarian law. Lastly, questions relating to the environment, technological disasters, cross- border operations, refugees and displaced persons were discussed in Commis- sion III, with Mr. Rezso Sztuchlik (Hungarian Red Cross) as Chairman. A number of resolutions were adopted by the three Commissions and endorsed by the Conference. The need to develop the work of National Soci- eties in the areas of health, social work, blood transfusion, the fight against AIDS and programmes for refugees, asylum seekers, displaced persons or returnees was reaffirmed. National Societies were urged, inter alia, to give priority in their programmes to the most vulnerable groups of the population, to help the new National Societies in eastern Europe to develop strategies in the above areas, and to strengthen their cooperation with relevant international and national institutions. How can the work of the local youth groups be made relevant to the needs in their communities? How can other young people from different levels in society be informed of the role of the Movement and inspired to join in its work? What kind of training and support do young people need to ensure their effective involvement in decision-making at a local, regional and national level of their Societies? These are the questions that will be discussed at the Youth Summit, to be held in Austria from 12 to 26 July 1992. The National Societies and the Federation are called upon to act on the recommen- dations of the Summit. 392 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0020860400070819 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:30, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0020860400070819 https://www.cambridge.org/core With regard to voluntary work, National Societies were recommended, inter alia, to provide adequate training and continuous professional back-up and support to the volunteers providing services, or participating in other activities or in policy-making. The Conference, particularly dismayed by the many instances of disregard for humanitarian law and indignant at deliberate attacks on persons and prop- erty bearing the Red Cross or Red Crescent emblem, adopted a resolution calling upon "the responsible authorities of the armed forces to do their utmost to ensure respect for international humanitarian law, to teach its basic guidelines to the combatants and to severely repress these violations" and expressing "its support for and solidarity with the ICRC in this particularly sensitive time for its humanitarian work in armed conflicts". A resolution on the dissemination of humanitarian law and the funda- mental principles requests the ICRC and the Federation: "— to pursue their efforts, in cooperation with the National Societies, in the field of training of dissemination leaders, in particular through training courses, — to increase their cooperation with the National Societies for the prepara- tion of suitable teaching material for various publics with due considera- tion of already-existing material". All the components of the Movement, and in particular the National Soci- eties, were called upon to organize dissemination programmes geared to young people and to ensure wide dissemination of the "Guidelines for the 90s". Last but not least, by its resolution entitled "Strategy for Europe", the Conference decided to set up a working group, composed of representatives of six National Societies covering the different parts of the continent, to promote, inspire and monitor efforts towards implementation within individual National Societies and the region as a whole of the Federation's Strategic Work Plan, as updated by the Executive Council at its 29th session (Cordoba, May 1992). COLUMBUS '92 EXHIBITION THE ICRC AND THE ITALIAN RED CROSS IN GENOA A large-scale specialized international exhibition entitled "Christopher Columbus: Ships and the Sea" was held in Genoa from 15 May to 15 August. It had four major themes: 393 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0020860400070819 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:30, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0020860400070819 https://www.cambridge.org/core 
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work_korpdptkirc57enahwgky6ivd4	----	31 Latin Amerika Uygarlıklarının Mirası Kakaonun Tarihçesi ve Çikolataya Dönüşümü (The History of Cacao as the Heritage of Latin American Civilizations and Conversion to Chocolate) *Fügen DURLU ÖZKAYA a , Tolga ÖZKAPTAN b a Gazi University, Faculty of Tourism, Department of Gastronomy and Culinary Arts, 06830 Gölbaşı, Ankara / Turkey b Ankara University, MS of Latin American Studies, 06830 Gölbaşı, Ankara / Turkey Makale Geçmişi Gönderim Tarihi:10.12.2015 Kabul Tarihi:18.01.2016 Anahtar Kelimeler Çikolata Kakao Latin Amerika Öz Günümüzde lezzeti başta olmak üzere tarihsel süreçte, sosyo-kültürel, sosyo-politik ve sosyo-ekonomik çerçevede binlerce yıldır insan hayatı için önemli bir yere sahip olan kakao ve çikolata, Mezoamerika olarak isimlendirilen Eski Meksika ve Orta Amerika uygarlıklarının insanlığa mirası konumundadır. Çikolatanın ham maddesi olan kakao; bu mirasın baş aktörleri Latin Amerika uygarlıkları Olmek, Mokaya, Maya ve Aztekler tarafından keşfinin ardından tüketim anlamında büyük oranda değişim sonrası çikolataya dönüşmesiyle her yaştan ve her sınıftan insanı cezbetmeye devam etmektedir. Bu çalışmada, acı bir içecek olarak keşfedilmesiyle kökeni Latin Amerika’ya uzanan çikolatanın ana malzemesi kakao ağacı, yetişme şartları, türleri, efsane ve mitleri, törenlerdeki yeri, çikolataya dönüşümü ve Avrupa’ya uzanan tarihi süreci ile ele alınarak çikolatanın daha yakından tanınmasına katkıda bulunulması amaçlanmıştır. Keywords Abstract Chocolate Cacao Latin America Cacao and chocolate having significant roles for humans, primarily with the taste, in the frame of socio-cultural, socio-politics and socio-economics for thousands of years are the heritage to human kind from the civilizations of early Mexico and Central America called Mesoamerica. Cacao, the raw material of chocolate, was discovered by the leading primary actors of Latin American civilizations as Olmecs, Mokayas, Mayas and Aztecs, and has continued to enchant people for ages with the conversion to chocolate. In this study, cacao tree as the main ingredient of chocolate with its origin depending on Latin America after its discovery as a bitter drink is discussed from a historical point of view reaching from Latin America to Europe within growth conditions, types, findings, ways of consumption, myths, legends, its place in ceremonies and conversion to chocolate. * Sorumlu Yazar. fugen@gazi.edu.tr (F. Durlu-Özkaya) mailto:fugen@gazi.edu.tr Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 32 GİRİŞ Günümüzde lezzeti başta olmak üzere tarihsel süreçte, sosyo-kültürel, sosyo-politik ve sosyo-ekonomik çerçevede binlerce yıldır insan hayatı için önemli bir yere sahip olan kakao ve çikolata, Mezoamerika olarak isimlendirilen Eski Meksika ve Orta Amerika uygarlıklarının insanlığa mirası konumundadır. Çikolatanın ham maddesi olan kakao; bu mirasın baş aktörleri olan Latin Amerika uygarlıklarından Olmek, Mokaya, Maya ve Aztekler tarafından keşfinin ardından, Avrupa’ya ve oradan tüm dünyaya uzanan yolculuğu boyunca birçok efsane, mit ve ritüelle ilişkilendirilmiş ve hatta kralların hazinesine konu olarak çağlar boyu insanları büyülemeye devam etmiştir (Tokuşoğlu, 2015). Çikolata etimolojik olarak Aztek uygarlığı dilinde xococ “acı” ve atl “su kelimelerinin birleşimi xocoatl olarak ifade edilen ve sözü edilen uygarlıklarda kakao çekirdeklerinin içindeki acı özün suyla karıştırılmasından oluşan içeceğe verilen isimlendirmedir. Günümüzdeki katı ve tatlı formundan oldukça farklı olan bu içecek soylu asilzadelere hitap etmiş, kan ile ilişkilendirilerek tanrılara sunulmuş, evlilik törenlerinde bağlılık sembolü olarak bir geleneğin ilk adımlarını oluşturmuş, yeni doğan bebekler için vaftiz benzeri törenlerde kullanılmış ve ayrıca süslemeli şık fincanlarda sunumuyla da ince bir sanatın temellerini atmıştır. Bu uygarlıklardan süregelen nesiller günümüzde de benzer ritüeller ve törenleri devam ettirmektedirler (Cox, 2012). İlk keşfinden bu yana tüketim anlamında büyük oranda değişim geçiren çikolata her yaştan ve her sınıftan insanı cezbetmeye devam etmekte ve bu lezzetin ana unsuru kakao ağacının değerli çekirdekleri de günümüzde sosyal, ekonomik ve gastronomik açıdan büyük önem taşımaktadır (Tokuşoğlu, 2015). Bu çalışmada çikolatanın ana malzemesi olan kakaonun bitkisi, yetişme şartları, türleri ve Latin Amerika Uygarlıklarından Avrupa’ya uzanan tarihi süreci ele alınarak çikolatanın daha yakından tanınmasına katkıda bulunulması amaçlanmaktadır. KAKAO AĞACI Kakao Ağacı, dört ila on metre boyunda, tropik topraklarda yaygın olarak tarımı yapılan, çay ve kahve ağaçlarına benzer şekilde daima yeşil kalan bir ağaç türüdür (Resim 1) (Anonim, 2015). Dört-beş sene içerisinde meyveleri ağaç gövde ve dallarını kaplamaktadır. Bu meyvelerin içerisinde bademi andırır şekilde, kabuğu esmer 30-40 adet çekirdek bulunmaktadır (Anonim 1, 2015). Kakao Ağacının Criollo, Forestero ve Trinitario adı verilen üç türü vardır (Resim 2) (Anonim 2, 2015). Resim 1. Kakao Ağacı (Anonim, 2015) Resim 2. Kakao Ağacı Türleri (Anonim 2, 2015) Criollo türü, kakao ağaçları arasında prens olarak nitelendirilmekte ve meyvelerinin çok ince kabukları bulunmaktadır. Bu türün meyve rengi solgundur ve çekirdeklerinin eşsiz aroması bulunmaktadır. Bu tür az ürün vermekte olup aynı zamanda yetiştirilmesi de çok hassastır. Forestero türünün yetiştirilmesi daha kolaydır ve verimi oldukça yüksektir. Forestero çekirdekleri iri kakao olarak da isimlendirilmektedir. Çikolataya tipik temel aromasını veren bu tür yetiştirilen kakaonun %80 lik kısmını oluşturmaktadır. Trinitario ise her iki ağaç türünün melezidir ve diğer iki türün özelliklerini taşımakta olup aynı zamanda yetiştirilmesi kolaydır (Anonim 3, 2015). Çikolatanın en önemli hammaddesi olan kakao (Theobroma cacao) oldukça sıcak, nemli, gölgeli ortamlarda yetişmektedir ve özellikle bolca organik madde içeren ve verimli toprak gereksinimi olan nazik bir tropikal bitkidir. Kakao ağaçları iklimsel olarak en verimli şekilde Ekvatorun 10 derece kuzey ve güney bandında yetişmektedir ve kalite bakımından da en iyi kakao Afrika kıtasında Gana ve Fildişi Sahillerinde bulunmaktadır. Düzenli aralıklarla yağan yağmurlara, sulak topraklara gereksinim duymakla birlikte Ekvator etrafındaki bir kemer içinde küresel olarak da ekilmektedir. Afrika, Asya ve Latin Amerika’da bulunan yağmur ormanları özenle ekimi yapılan alanlardır. Kakao, Afrika kıtasında Kamerun ve Nijerya’da, Amerika kıtasında Brezilya, Kolombiya, Meksika ve Dominik’te, Asya kıtasını içine alan Uzakdoğu’da da Endonezya, Malezya, Yeni Gine’de yetiştirilmektedir (Anonim 4, 2015; International Trade Centre Product and market development Cocoa: A guide to trade practises, 2001; Tokuşoğlu, 2015). KAKAO İÇECEĞİNİN TARİHSEL GELİŞİM SÜRECİ Çikolatanın 4000 yılı aşkın uzun bir tarihi geçmişi bulunmaktadır (Resim 3). Yapılan araştırmalar, günümüzde Meksika’nın ortalarından Kosta Rika’nın kuzeyine kadar uzanan ve Kolomb öncesi toplumlar tarafından Mezoamerika olarak adlandırılan bölgede Olmek, Maya ve Aztek uygarlıklarının kakao tüketimi ve kakao çekirdeklerinin kullanımına ilişkin bilgileri ortaya koymaktadır (Seawright, 2012). Bu bağlamda öncelikle bu uygarlıklarla yakın coğrafyalarında yaşayan uygarlıkları tanımak ve dönemleri hakkında bilgi sahibi olmak önemlidir. Yerli uygarlıkların ortaya çıktığı, hüküm sürdüğü ve dağıldığı dönemler, Pre- Klasik, Klasik ve Post-Klasik olarak ayrılmakta olup bu dönemlerin tamamı M.Ö 1500-M.S 1500 yılları arasında bir çerçevede değerlendirilmektedir. İlk dönem olan Pre-Klasik dönem, M.Ö 1500 - M.S 300 yıllarını içine almaktadır. Mezoamerikan kültürünün ilk uygarlığı Olmekler M.Ö. Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 33 1800-1500 yıllarında Meksika’nın Oaxaca vadisinde, her biri tören meydanını çevreleyen on-oniki evden oluşan köy yerleşimlerinde yaşayan halkları temsil etmektedir. Olmekler tarım toplumuyken kurdukları pazar yerleriyle bölgeler arası ticaret de yapmışlardır. Olmek sonrası en önemli uygarlık Zapotekler, tarım sulama teknolojisini ileri götürmüşlerdir. Kökenleri M.Ö 1000 yıllarına dayanan Mayaların uygarlık oluşumu M.S 300-1500 yılları arasında gerçekleşmiştir. Tarım ve ticaret ile uğraşan Mayalar yaşadıkları dönemde gelişmiş bir kültürel varlık göstermişlerdir. Mezoamerika’da Toltek ve Mixtek uygarlıkları da Mayalar döneminde hüküm sürmekteydi. Aztek uygarlığı ise avcılık ve balıkçılıkla uğraşmakta ve başkentleri Tenochtitlan’ın iktisadi ve askeri gelişimine önem vermekteydiler. Tenochtitlan’da vatandaşlara arazi dağıtımı, vergi toplama, yaygın bir yol ve sulama sistemi gibi uygulamaları ile gelişmiş bir kent olgusundan bahsedilmektedir (Durlu Özkaya ve Sarıcan, 2014, s.36-45). Resim 3: Mezoamerika medeniyetlerinin yaşam çizelgesi (Seawright, 2012). Arkeolojik Bulgularda Kakao (Çikolata) İçeceği Mezoamerika halklarının kakao kullanımına ilişkin 4000 yılı aşan uzun bir tarihi süreç bulunmaktadır. Mezoamerika’da, 1500 lü yıllarda İspanyollar kıtaya ayak bastıklarında iki büyük medeniyet Aztek ve Mayalarda kakaonun önemini anlatan bir takım yazılı kaynakla karşılaşmışlardır. Bununla birlikte Mezoamerika’da kakaonun kökenine ait kimyasal ve diğer bulgulara çok az sayıda rastlanmaktadır. 2002 yılında yapılan araştırmalar çikolata içeceği tüketme geleneğinin ve kakao tarımının yapıldığı ilk bölgelerin Maya Uygarlığı ovaları olabileceğini göstermektedir. Powis ve ark. 2002 yılında Orta Amerika ülkesi Belize’nin Colha bölgesinde tarihi M.Ö 600 yıllarına dayanan seramik kavanozlara rastlamışlardır. Son zamanlarda Honduras’ın kuzeylerinde Puerto Escondido sahasında yapılan araştırma bulguları M.Ö 1200-1100 yıllarında yerleşimcilerin çikolata içeceğini tükettiklerini göstermektedir (Powis vd., 2007). Mezoamerika uygarlıklarından Olmekler ve Meksika’nın Pasifik kıyısında yer alan kavimlerden birisi olan Mokayalar’da kakao kullanımına ait örnekler az sayıdadır. Meksika’nın Veracruz Körfezi kıyısındaki Olmeklere ait yerleşim yerlerinden El Manati arkeoloji sahasında ve Meksika’nın Pasifik Körfezi kıyısındaki Paso De La Amada arkeolojik sahasında erken formatif dönemden kalan (M.Ö 1800-1000) ve kakao içeceği kalıntıları içeren birer seramik kase bulunmuştur (Powis vd., 2011). Bilim adamlarının arkeolojik incelemeler sonucu ortaya koyduğu analizler, kakao kullanımının kimyasal kanıtının Olmek öncesi dönemde M.Ö 1750’lere ve Mokayalar’da M.Ö 1900’lere uzandığını göstermektedir. Barra Seramik Dönemi olarak da adlandırılan erken formatif dönemde ilk seramik bulgulara ulaşılan yer Mezoamerika’da Olmekler’den önce yerleşik köylülerinden olan Mokayalara aittir (M.Ö 1900-1700). Bu seramikler, sosyal ortamlarda gösteri malzemesi olarak benimsenmiş ve belki de bayram ve festivallerde kullanılmıştır. Birçok Barra dönemi çömlekçiliği düztabanlı tekomatlardan (boğazı olmayan kavanoz) veya derin içe kavisli kaselerden oluşmaktadır. Her ikisi de ince duvarlı, iyi tasarlanmış ve şık bir şekilde dekore edilmiştir. Bu seramikler pişirme için tasarlanmamış olup büyük ihtimalle sosyal durumlarda tüketilen veya sunan kimseye prestij göstergesi olarak ithaf edilen chicha (mısır birası), çikolata veya atole (öğütülmüş mısır ve çikolatadan bir içecek) gibi sıvıları muhafaza etmek için kullanılmıştır. Powis ve ark. tarafından 2002 yılında yapılan çalışmaya kadar bu hipotezleri destekleyen direkt bilimsel bir kanıta rastlanmamıştır (Powis vd., 2007). Kakaoda bulunan bir alkaloid olan theobromine içeren taslar klasik öncesi dönemde (M.Ö 600-M.S 250 ) Maya uygarlığı bölgesi olan Guatemala’da Rio Azul mezarlarında da saptanmıştır (Resim 4) (Powis vd., 2011). Resim 4: Kakao kalıntıları bulunan Rio Azul’dan seramik taslar (Seawright, 2012). Klasik (M.S 250-900) ve Klasik sonrası (M.S 900-1500) dönemlerde Mayalarda kakaonun kültürel önemini gösteren ikonografik ve etnografik bulgulara rastlanmıştır. Nadir görülen kakao çekirdeği türleri (M.S 134-615) Belize’de erken klasik maya gömüsünde ortaya çıkarılmıştır. Arkeologlar Aztek nüfusunun bulunduğu bölgede ortaya çıkarılan thebromine içeren tasların (Resim 5) ikonografik ve etnografik tanımlamalarla uygunluk gösterdiğini ortaya koymaktadır. (Resim 6). (Seawright, 2012). Resim 5. Coatelco’da kakao içmek için kullanılan cilalı kırmızı kadeh (Seawright, 2012) Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 34 Resim 6. Bir Aztek kadının çikolatayı bir tastan diğerine aktararak köpüklendirmesi (Seawright, 2012) Araştırmacılar aynı zamanda Orta Amerika köy yerleşimcilerinden Miksteklere ait olan ve kakao içmek için kullanılan tasların, Azteklerin kullandığından farklı olduğunu belirtmektedirler. Aztek başkenti Tenochtitlan’ın tepe noktasında bugünkü Meksiko City’de, lokasyonundan dolayı Azteklere ait direkt kanıt bulmak oldukça zordur ve şehrin eski dini merkezinde kakao bulgusuna rastlanmamıştır (Meade-Kelly, 2006, s.14-17; Seawright, 2012). TARİHSEL SÜREÇTE KAKAONUN İŞLENMESİ Mezoamerika halklarının kakao ile ilgili binlerce yılı aşkın uzun bir tarihi bulunmaktadır. Olmekler M.Ö 1900’larda “kakaw” diye nitelendirdikleri ve severek tükettikleri bu içeceği tekomat denilen özel yuvarlak kavanozlardan içmekteydiler (Cartwright, 2014). Olmeklerin çikolata yapmak için kullandıkları kakao çekirdekleri birkaç gün fermente edilmiş ve sonrasında kurutulmuştur. Ardından kavrulan çekirdeklerin dış kabukları atılmış ve geriye kalan kahverengi öz çikolataya benzemekte olup öğütülüp yiyecek olarak kullanılmıştır. Olmekler kakawa dedikleri bu yeni yiyeceği Maya medeniyetine tanıştırmışlardır (Meade-Kelly, 2006, s.14-17). Kakaonun Maya uygarlığında kullanımı ise arkeolojik kazılarda Belize’de bulunan kalıntılardaki kimyasallara dayanarak M.Ö. 600 ile 400 yıllarına uzanmaktadır. Fakat Maya inançlarına göre kakaonun tarihi çok daha gerilere insanlığın yaratılmasından öncelere uzanmaktadır. Mayalar, Güney Meksika ve Orta Kuzey Amerika’da Olmeklerin güneyinde yerleşmişlerdir. Maya hiyeroglifleri çikolatanın özel törenlerde kullanılmasının yanı sıra günlük hayatta da kullanıldığını göstermektedir. Klasik Maya metinlerine göre Mayalar kakao ağacını arka bahçelerinde yetiştirmekteydi. Çekirdeklerinden acı ve sıcak içecek üretmekte, bir tastan diğerine aktararak köpüklendirmekte, isteğe göre vanilya ve çiçeklerle lezzetlendirmekteydiler. Çekirdekler ve çekirdek özü bir kasenin içine konmakta ve birkaç günlük fermantasyona bırakılmaktaydı. Böylece çekirdeklerdeki acı tat azaltılmaktaydı. Mezoamerikalılar özellikle Criollo türü kakao çekirdeklerini, fermente oluşumunun Forestero çekirdeklerine göre daha az zaman almasından dolayı tercih etmişlerdir. Buna göre Mayalar çekirdekleri erken fermantasyon sürecinde kabul edilebilir bir forma dönüşünce kullanmışlardır. Fermente edilen çekirdekler küf gelişimini önlemek için tamamen kurutulmakta, sonrasında kavrulmaktaydı (Seawright, 2012). Maya uygarlığında kakao yalnızca tüketimiyle değil soylulara özel festival törenlerinde sosyal ve politik toplulukları bir araya getiren yapısıyla da öne çıkmaktadır. Kakaonun festivallerde önde gelen araçlardan biri olması yanında saray hayatından kesitler sunan boyamalarla süslü şık fincanlarla birlikte ritüellere katılanlara tanrı tarafından bahşedilen bir içecek olarak nitelendirilmesi oldukça önemlidir. Maya kültürü üzerine çalışmalar Güney Maya düzlüklerinde kakao yetiştirilmesi ve Klasik Çağ belgelerinde resmedilmesine vurgu yapmaktadır (M.Ö.250- 900) (Grivetti ve Shapiro, 2008). Kuzey Maya bölgesinde ise günümüzde Yucatan yarımadası olarak bilinen alanda kakao bulgularına rastlanmıştır. Bu bölgede, kakao “Chocola” adında üzeri oymacılıkla yapılan çömlekler, Post Klasik Çağa ait arkeolojik kayıtlarda görünmektedir. Buna ek olarak son araştırmalar kakaonun Yucatan’da kapalı mağaralar ve kireçli arazide suların oyduğu ve su birikimiyle oluşan çukur bölgelerde neme ilişkin olarak yetiştirildiğini ileri sürmektedir. 16. yüzyılda İspanyollar tarafından Yucatan yarımadasının fethinin ardından kakao’nun yerel olarak ekiminin yapılmasının yanı sıra Tabasco ve Honduras’dan ihraç edildiği de Avrupa Kroniklerinde bulunmaktadır (Grivetti ve Shapiro, 2008; McNeil, 2006). İçeceği hazırlama tarzları ve kullanılan aroma setleri aynı olmasına rağmen Mayaların tersine Aztekler, tüm dünyanın tanıdığı çikolata terminolojisinin çıkış noktası olarak bu içeceği yerel dillerinde “xocoatl” veya acısu olarak isimlendirmiş ve içeceği soğuk tüketmişlerdir. Zenginler ve aristokratlar tarafından rağbet gören bu içecek, yerli halk tarafından mısırdan hazırlanan bir yemeği aromalandırmak için kullanılmıştır (Anonim 4, 2015). Sözü edilen çikolatayı içmek için çamurdan veya sukabağından yapılma kaseler deniz kaplumbağası kabuğundan yapılma kaşıklar kullanmışlardır (Meade-Kelly, 2006, s.14-17). Yüzyıllar boyunca çikolata sadece acı ve asillerin tükettiği bir içecek olarak sevilmiştir. Aztek Kralı Montezuma bu içeceği kıtayı keşfeden İspanyol misafirlerine sunmuştur (Resim 7) (Anonim 5, 2015). Kral Montezuma’nın kakao içeceğinden oldukça hoşnut olduğu ve her gün kendi kişisel tüketimi için 50 fincan, kraliyet çalışanları için ise 2000 fincan hazırlattığı bildirilmiştir. Montezuma çikolatayı güç ve servet gösterisi olarak ve yapacağı fetihlerde kendisini güçlendirmek için tüketmekte, yine askerde savaşacaklara ve yeni askere çağrılanlara çikolata verilmekteydi (Anonim 6, 2015). Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 35 Resim 7. Aztek İmparatoru Montezuma’ya çikolata sunumu (Anonim 5, 2015) Montezuma fethettiği kabilelerden istediği vergi karşılığında ödenen büyük miktarlarda kakao çekirdeklerini büyük depolarda saklamış ve sadece eski ve yıpranmış olan çekirdekleri çikolata yapımı için kullanılmıştır. İspanyol kaşif Hernan Cortes Aztek başkenti Tenochtitlan’a vardığında (bugünkü Meksika başkenti Mexico city) adamlarından biri Montezumanın depolarının birinde 1 milyon kilo kakao çekirdeğinin olduğunu ileri sürmüştür. Mayalardan farklı olarak kakao içmek birkaç Aztek vatandaşının satın alabildiği lüks bir tüketim olarak karşımıza çıkmaktadır. Aztekler bilgelik ve gücün kakao ağacı meyvesini yemekten geçtiğine inanmışlardır. Bu içeceğe öylesine değer vermişlerdir ki sunumunu altın kaseler içerisinde yapmışlardır (Anonim 4, 2015; Anonim 7, 2015). Efsane ve Mitlerle Kakao (Çikolata) İçeceği Çikolata Aztekler, Mayalar ve Toltekler için çok önemli olduğundan birçok sözlü edebiyat ve hikayenin özünü oluşturmaktadır. Bu hikayeler diğer tanrıların zengin lezzetinden dolayı sevdiği çikolata bitkisini cennetten çalıp dünyaya getiren ve Tolteklerin de sevmesini sağlayan tanrı “Quetzalcoatl” etrafında dolaşmaktadır. Bir hikayeye göre, tanrı Qetzalcoatl, diğer tanrıların acımasızca davrandığı ve her gün tapınak yaptırmak için çalıştırdığı Tolteklerle özel olarak ilgilenmektedir. Quetzalcoatl Tolteklere sevgisini göstermek için tanrıların yaşadığı yerden kakao çekirdeklerini çalar ve dünyada ekimini yapmaları için Tolteklere verir. Kakao bitkisi çiçek açtıktan ve kakao çekirdeklerini tutan meyveler büyüdükten sonra Quetzalcatl meyveleri ağaçlardan toplar. Tolteklere, tanrıların sevdiği içeceğin nasıl kurutulacağı ve nasıl köpüklü ve baharatlı bir içeceğe dönüştürüleceğini gösterir. Bununla birlikte diğer tanrılar bu özel bitkilerin çalındığını fark edince Quetzalcoatl ve Tolteklerin arkadaşlıklarını bozmak üzere sinsi bir plana girişirler. Bu sebeple Quetzalcoatl’a sarhoşluk verecek bir içecek içirilmesine karar verirler. Böylece onu sarhoş ederek Toltek halkı önünde küçük duruma düşüreceklerdir. Bu arada, Quetzcoatl tanrıların kendisine öfkelendiğini ve ondan öc almaya çalıştıklarını rüyasında görmüştür. Diğer tanrılar tüccar kılığındaki bir elçiyi kendisi için hazırlatılan içeceği vermek üzere gönderirler. Sözde tüccar Quetzcoatl’a, içeceğin kendisini mutlu edeceğini ve bütün felaketleri geri çevireceğini söylemiştir. Quetzcoatl içeceği alır ve alkolün etkisiyle insanların önünde dev cüssesiyle dans etmeye başlar. Tolteklerin kafası karışmış ve korkmuşlardır. Quetzcoatl ertesi gün ayıldığında sergilediği davranıştan dolayı utanmış ve diğer tanrıların kendisini kandırmasına çok üzülmüştür. Yaptıklarının sonucu olarak Tolteklerden ayrılmayı seçmiş ve geride kakao yetişmesini sağlayacak kakao çekirdeklerini bırakarak okyanusta gözden kaybolmuştur (Anonim 8, 2015). Aztekler de ayrıca Quetzcoatl için çikolata ile ilgili sözlü hikayeler anlatırlar. Onlara göre çikolata, kocasının düşmanlarına kraliyet hazinesinin yerini söylemeyen bir prensesten kendilerine verilen özel bir hediyedir. Düşmanlar prensesin sessiz kalmasına sinirlenerek onu öldürürler fakat Quetzalcoatl prenses adına ona bağlılığını gösteren bir kakao ağacı yapar ve insanların kullanımına sunar. Günümüzde çeşitli bayram, tören ve kutlamalarda sevgi ve bağlılık göstergesi olarak çikolatanın ticareti yapılsa da bu hikayeler çikolatanın tamamen farklı bir yönü ile insan hayatlarındaki önemini göstermektedir. Farklı anlamlar yüklense de kültür ve zaman içerisinde anlamların nasıl değiştiği hikayelerle gözlemlenmektedir (Anonim 8, 2015). Maya ve Aztek inancına göre kakao, yaratılış mitinin ve dolayısıyla hayatın başlangıcının da bir bölümüdür. İspanyolların kıtayı keşfi sonrası edebiyatta, Mayalarda Popol Vuh adındaki yaratılış hikayelerinde ve Aztek Chimalpopoca Kodeksinde (elyazması kitaplarında) tanrılar insanı mısır, kakao ve diğer güzel bitkilerden yaratmış ve aynı yiyecekleri insanoğluna efsanevi yiyecek dağından getirmiştir (Arsenault vd., 2008). Dini Ritüeller ve Özel Günlerde Kakao (Çikolata) İçeceği Mezoamerikada kakao dini ritüellerin vazgeçilmez unsurlarındandır. Kristof Kolomb öncesi dönemde kan ve kurban ikilisi ile ilişkilendirilmiştir. Mezoamerikalı insanlar için kan tanrıya sunulan önemli bir araçtır. Sadece hayvanlar kurban edilmez ve özellikle soylu ve iktidar sahibi insanlar da kendi kanlarını tanrılara sunmaktaydı. Kakao içecekleri bazen kırmızı ile boyanmış veya su dolu kaselerin içine kurban kesilen bıçaklardaki kan akıtılarak kırmızı hale getirilmiştir. Böylece dini ritüellerde önemli olan kan görünümlü içecek elde edilmiştir. Örneğin evlenme törenlerinde sık yapılan kakao değişimi, tarafların kanlarının karıştığının göstergesidir. Kakaonun yüksek değerli bir içecek olması yaygın olarak soylular tarafından içilmesine yol açmıştır. Kakao arazisi sahipleri Mezoamerikaya ait aylardan Mowan ayında (nisan ayı sonları ve mayıs başı) tüccarların tanrısı Ek’Chuwah’da dahil olmak üzere tanrılarına ritüel düzenlemişlerdir. Kakao aynı zamanda kutsal su ve çiçeklerle karıştırılarak başlangıç seremonisinde veya İspanyol papaz Landa’nın deyişiyle vaftiz törenine katılan çocukları ve büyükleri tanrının hizmetine sunmak için kullanılmıştır. Bunun yanı sıra seyyahlar ve tüccarlar Ek’Chuwah’a dua ederek bir gecelik kamp yapar, Tanrılar şerefine tütsüler yakarlardı (McNeil, 2006; Cox, 2015). Kolomb öncesi Mayalarda Post Klasik Dönemde Yucatan yarımadasında boyanarak resmedildiği düşünülen çeşitli sahnelerde kakaonun tanrılara sunum özelliğini de öğrenmekteyiz. Dresden el yazması kitabından bir sahnede; yiyecek tanrısı K’awil’in oturur pozisyonda elindeki çömlekten kaseyi yukarı kaldırdığı resmedilmiştir. Dresden kodeksinden diğer birkaç sahne ise yer altı tanrısı Kisin, ölüm tanrısı Kimil ve yağmur tanrısı Chaak gibi birçok Maya Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 36 tanrısı tarafından bitkinin veya çekirdeklerinin elde tutulduğunu resmetmektedir. Madrid Kodeksinde bir diğer sahne, kan akıtmak için dört tanrının iki taraflı bıçakla kulaklarını deldiğini resmetmektedir (Resim 8). Buna benzer kan akıtma ritüellerinde bu delme işleminin kulak, dil, dudak ve yanakta olduğu Landa (1562) tarafından tanımlanmakta ve bu ritüelleri tiksindirici bulduğunu ifade etmektedir. Maya dinine ait bu ritüel Tanrılar arasındaki törensel ilişkiyi yansıtmaktadır (Grivetti ve Shapiro 2008). Resim 8: Kulaklarını kesen ve kanlarını kakao meyvesinin dış kabuğu içerisine akıtan tanrılar (Grivetti ve Shapiro 2008). Kan ve çikolata arasındaki bağlantı “kalp ve kan” metaforu içinde Azteklere de konu olmuş ve kakao meyvesi insandan sökülen kalbe benzetilmiştir. Kakaonun dini ritüellerde kullanımı Maya ve Aztelerin dışında Mezoamerikanın diğer kültürlerini de içine almaktadır. Kakao insanoğlunu tanrılarıyla buluşturmuş ve lüks bir tüketim olarak sergilenmiştir. Geçen binlerce yıla ve kakaoyu bulan farklı kültürlere rağmen günümüzde ritüel içeriklerinde gözle görülür bir benzerlik bulunmaktadır. Maya el yazması kitaplarında Chaak (yağmur tanrısı) ve Ixık Kaab’a evlilik törenlerinde (dünya tanrıçası) kakao verildiği belirtilmektedir. Meksikanın yüksek kesimlerinde Mikstek bölgesinde resmedilen köpüklü kakao içeceğinin evlenen taraflarca değiş tokuş edildiği ritüeller bulunmaktadır. Guatemala’nın yüksek bölgelerinde çağdaş Mayalar halen bu geleneğe devam etmektedirler. Guatemala’nın Alta Verapaz bölgesinde bir halk hikayesinde evlilik sözünün “köpüklü çikolata” dolu bir kase ile mühürlendiği bildirilmektedir (Seawright, 2012). Resim 9. Tanrı Chaak ve Tanrıça Ixik Kaab’ın düğünü (Seawright, 2012). KAKAO VE TİCARET Aztekler kakao çekirdekleriyle ticaret yoluyla tanışmışlardır (Resim 10). 14. yüzyılda Aztekler Mayaların işlek iki limanı Putun ve Soconuscodan Aztek Başkenti Tenochtitlan’a kakao çekirdeklerini getirmişlerdir. Mezoamerika halkları arasında kakao çekirdekleri para olarak kullanılmıştır. Aztek şehir pazarlarında çekirdeklerin ağırlık, ölçü ve kalitesini belirleyen memurlar bulunmaktaydı. İspanyollar Mezoamerika’ya geldiklerinde bir kakao çekirdeği bir domatesi, on çekirdek bir tavşanı ve yüz çekirdek de bir köleyi satın alabilmekteydi. Aztek ve Maya toplumlarında kakao çekirdekleri ile işçilerin ödemesi yapılmaktaydı. Tüccarlar günde 100 çekirdek kazanmaktaydılar. Ayrıca kakao çekirdekleri Azteklerin sınırlarına dahil ettiği kakao zengini bölgelerden haraç ve vergi olarak alınmıştır. Aztek tüccarları kakao çekirdeklerini ticaret yolları üzerinde uzun yol boyunca sırt çantalarında taşımaktaydılar. (Resim 11). Azteklerde kralın çekirdek depoları bulunmaktaydı (Anonim 9, 2015). Resim 10. Fejérváry-Mayer kodeksinde resmedilen Aztek tüccar tanrısı Yacatecuhtli (Seawright, 2012). Resim 11. Aztek tüccarlarının (pochteca) çekirdekleri Mayalar ve diğer kavimler ile ticarette uzun yollar katederek sırt çantalarında taşıması (Anonim 10, 2015) Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 37 ÇİKOLATA AVRUPA’YA ULAŞIYOR İspanyol kaşif Kristof Kolombun “Yeni Dünya” ya dördüncü ziyaretinden sonra Avrupa’ya dönüşünde 1502 ile 1504 yılları arasında kakao çekirdeklerini ilk olarak getirdiği söylenmektedir. Bununla beraber gemideki büyük miktarda hazinelerin yanında kakao çekirdekleri pek rağbet görmemiştir. Kolomb’un arkadaşı kaşif Don Hernán Cortés kakao çekirdeklerinin ticari değerini ilk fark eden kişidir. Kakao çekirdeklerini 1528’de İspanyaya getirilmiş ve aşamalı olarak çikolata içme geleneği 1650’lerde İngiltere’ye uzanarak Avrupa’ya yayılmıştır (Anonim 11, 2015). 1519’da Aztek İmparatoru Montezuma yeni misafiri İspanyol kaşif Hernando Cortes’e bu içeceği ikram etmiştir. Cortes bu durumda hayal kırıklığına uğramıştır. Aslında, Cortes Avrupa’da sözü edilen Aztek altınlarını aramak için gelmiştir. Fakat çok kısa zamanda Cortes kakaonun ekonomik değerini ve Aztekler açısından kültürel önemini kavramıştır. Cortes, Azteklerin acı ve baharatlı içeceğini hiç sevmemesine rağmen, çekirdeklerin nakit para olarak değer görmesi çok ilgisini çekmiştir. Aztekler Cortes’in sürgün edilen Tanrı Kral’ın tekrar dünyaya gelmiş hali olduğunu düşünmüşlerdir fakat Cortes takip eden üç sene içerisinde Aztek İmparatorluğuna son vermiştir. Cortes İspanya adına bir kakao çiftliğini Orta Amerika’da kurmuştur. Bu, gelecekteki çok kârlı bir işin doğuşunu simgelemiştir. Çikolatanın, Avrupa kıtasına ilk gelişi, leziz bir gıda olarak değil, şifalı bir ilaç olarak olmuştur. Bu Aztek’lerin inançları doğrultusunda gerçekleşmiştir. Aztek’lere göre çikolata, vücudu kuvvetlendiren ve fiziki açıdan uyaran bir gıda maddesidir. 17. ve 18. yüzyıllarda çikolata, yaygın olarak her türlü rahatsızlık ve hastalık için reçete olarak yazılmakta ya da diğer ilaçlarla karıştırılmaktaydı (Tayar, 2015). Cortes’den 30 yıl öncesinde Kristof Kolomb, Kral Ferdinand ve Kraliçe Elizabeth’e kakaoyu sunmuş fakat hiç kimse daha ötesini düşünememiştir. Cortes görevini yerine getirmiş ve İspanyollar için kakao içeceğini Mezoamerikada tüketildiği halinin dışında bir lezzette bol miktarda şekerle tatlandırmıştır. Ülkesine dönmeden önce de Karayiplerde kakao ağaçları dikmiştir. Mezoamerikalılardan farklı olarak İspanyollar keşiflerini kimselere duyurmamıştır. Yaklaşık 100 yıl boyunca İspanyol aristokratlar gizlice bu lezzeti yudumlamışlardır. Fakat değişmeyen durum kakaonun lüks, zenginlik ve gücün bir sembolü olmasıydı. Çikolata sadece İspanyol burjuvalar tarafından satın alınmaktaydı. Tarçın, şeker ve vanilya ile sıcak olarak tüketilmekteydi. İçecek popülerlik kazandıkça İspanyollar Ekvator, Venezuela, Peru, Jamaika’daki kolonilerinde kakao ağaçları dikmişlerdir (Anonim 12, 2015). 1615 yılında İspanya Kralı 3. Philipe’nin kızı ile Kral 13. Louis’in arasındaki evlilik de gelinin damada düğün hediyesi olarak çikolata verdiği belirtilmektedir. İspanyol rahiplerin Avrupalı meslektaşları ile teması sayesinde kakao kullanımı Avrupa’ya yayılmıştır. Çikolata ile ilk tanışan ülkeler Fransa ve İtalya olmuştur. Sonrasında Amsterdam, kakao için önemli bir gemi limanı olarak yükselişe geçmiştir. Çikolata kraliyet salonlarında ve tüketimine izin verilen Katolik kiliselerinde ilgi görmüştür. Bugünün kahve dükkanlarına benzeyen çikolata dükkanları 1657’de Londra’da açılmıştır ve Floransa ve Venedik’te 1700’lerin başında önem kazanmıştır (Clein, 2014). Avrupalılar aynı zamanda kakaoyu tıbbi sebeplerle de kullanmışlardır. Karın ağrılarını iyileştirmede ve bugünde bazı kültürlerde uygulandığı üzere diğer tedavilerde kullanılmıştır. Çikolatada devrim niteliğinde gelişme, 1828 yılında Hollandalı kimyacı Coenraad Johannes Van Houten tarafından kakao presinin icat edilmesidir. Kakao presi kavrulmuş kakao çekirdeklerinden kakao yağını ayırmakta kullanılmıştır. Van Houten’ın bu buluşu kakaonun şekerleme malzemesi olarak kullanımını ve üretim maliyetlerinin indirgenmesini sağlayarak çikolatanın modern çağına öncülük etmiştir (Samancı, 2012, s.27-31). 1847’de İngiliz çikolata şirketi J.S. Fry&Sons kakao yağı, kakao tozu ve şekerden ilk katı yenilebilir çikolata kalıbını üretmiş, Rodolphe Lindt’te 1879’da çikolata yapma makinasını icat etmiştir. Yumuşak kıvamı ve üstün lezzeti ile çikolata herkesi kendine hayran bırakmış, fabrika bantlarında yumuşak ve kremalı sütlü çikolatanın kitlesel üretimi sağlanmıştır. Daha sonra piyasa hakimiyetleri azalsa da Avrupada Mars, Cadbury, Mars ve Hershey markaları altında 1800’ler ve 1900’ların başında çikolata patlaması yaşanmıştır. Günümüzde Afrika başlıca kakao üreticisidir ve dünyadaki kakao üretiminin %75'ini sağlamaktadır. Afrika'daki on binlerce köydeki küçük çiftlikler için kakao ekimi önemli bir gelir kaynağı oluşturmaktadır (Anonim 13, 2015). Günümüzde çikolata sektörünün küresel büyüklüğü 75 milyar doları aşarken, üretimde adeta dünya markası haline gelen İsviçre, tüketimde de lider durumdadır. Dünyada en fazla çikolata tüketimi kişi başına yıllık dokuz kg ile İsviçre’de gerçekleşmektedir. İsviçre’yi 7.9 kg tüketim ile Almanya izlerken, İrlanda ve İngiltere kişi başına yıllık 7.5 kg tüketim ile 3. ve 4. sırayı paylaşmaktadır (Anonim 14, 2015). Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 38 SONUÇ Latin Amerika Uygarlıklarından Olmek, Mokaya, Maya ve Aztekler’de soğuk ve sıcak tüketim tarzıyla acı bir içecek olarak sosyal hayatın içerisinde yer alan kakao, ticarette para olarak kullanımı, değerli bir meta olarak krallar tarafından hazinelerde saklanması, dini ve geleneksel törenlerde çekirdek formunda ve içecek olarak sunumu ve efsanelere konu olması sebebiyle tüketim bağlamında büyük bir öneme sahip olmuştur. Olmekler M.Ö. 1900’lerde “kakaw” diye nitelendirdikleri ve severek tükettikleri bu içeceği tekomat denilen özel yuvarlak kavanozlardan içmekteydiler (Cartwright, 2014). Mayalar kakao çekirdeklerinden acı ve sıcak içecek üretmekte, bir tastan diğerine aktararak köpüklendirmekte, isteğe göre vanilya ve çiçeklerle lezzetlendirmekteydiler. İçeceği hazırlama tarzları ve kullanılan aroma setleri aynı olmasına rağmen Mayaların tersine Aztekler, tüm dünyanın tanıdığı çikolata terminolojisinin çıkış noktası olarak bu içeceği yerel dillerinde “xocoatl” veya acısu olarak isimlendirmiş ve içeceği soğuk tüketmişlerdir. Yüzyıllar boyunca çikolata sadece asillerin tükettiği acı bir içecek olarak sevilmiştir. Günümüzdeki katı ve tatlı formundan oldukça farklı olan bu içecek dini ritüellerde kan ile ilişkilendirilerek tanrılara sunulmuş, evlilik törenlerinde bağlılık sembolü olarak bir geleneğin ilk adımlarını oluşturmuş, yeni doğan bebekler için vaftiz benzeri törenlerde kullanılmış ve ayrıca süslemeli şık fincanlarda sunumuyla da ince bir sanatın temellerini atmıştır. Çikolata içeceğinin Avrupa kıtasına ilk gelişi, leziz bir içecek olarak değil, ekonomik değeri ve şifalı bir ilaç özelliği nedeniyle olmuştur. Avrupalılar karın ağrılarını iyileştirmede ve bazı hastalıkların tedavisinde bu içecekten faydalanmışlardır. Çikolatanın acı ve şifalı bir içecek konumundan günümüzdeki katı ve tatlı formuna dönüşmesinde 1828 yılında Van Houten tarafından kakao presinin icat edilmesi, 1847’de İngiliz çikolata şirketi J.S. Fry&Sons’un kakao yağı, kakao tozu ve şekerden ilk katı yenilebilir çikolata kalıbını üretmesi, 1879’da Rodolphe Lindt tarafından çikolata yapma makinasının icat edilmesi devrim niteliğindeki gelişmelerdir. Günümüzde birçok insan için vazgeçilmez bir lezzet olan çikolatanın ham maddesi olan kakao üretiminin %75'i Afrika tarafından sağlanırken dünyada en fazla çikolata tüketimi kişi başına yıllık dokuz kg ile İsviçre’de gerçekleşmektedir. Olmek, Mokaya, Maya ve Aztekler gibi Latin Amerika Uygarlıklarında soğuk ya da sıcak olarak tüketilen ve acı bir içecek olan çikolata, Avrupa kıtasında tatlı bir yiyeceğe dönüşerek sosyal hayatın içerisinde yerini almış ve tüm dünyada sevilerek tüketilen bir ürün olmuştur. Geçmişte kralların, soyluların güç kaynağı, acı içeceği günümüzde hemen herkesin vazgeçemediği mutluluk kaynağı haline gelmiştir. Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 39 KAYNAKÇA Anonim, Cacao-Pods-On-Tree, http://embracetheamazon.org/?s=cacao (Erişim Tarihi: 17.10.2015) Anonim 1, The Cacao Tree, http://www.xocoatl.org/tree.htm (Erişim Tarihi: 12.10.2015) Anonim 2, Kakao Ağacı Türleri, http://marcdelage.a.m.f.unblog.fr/files/2014/03/varietes- cacaoyers-470x234.png (Erişim Tarihi: 21.10.2015) Anonim 3, From cocoa to chocolate, https://www.qzina.com/sites/default/files/Qcocoatochoc olate.pdf (Erişim Tarihi: 11.10.2015) Anonim 4, Chocolate History http://faitc.org/wp- content/uploads/2013/07/Chocolate-History1.pdf (Erişim Tarihi: 12.11.2015) Anonim 5, http://s3-eu-west- 1.amazonaws.com/lookandlearn- preview/A/A013/A013167.jpg (Erişim Tarihi: 12.11.2015) Anonim 6, History of Chocolate. http://www.callebaut.com/ocen/chocophilia/history-of- chocolate (Erişim Tarihi: 22.11.2015) Anonim 7, The History of Chocolate: The Mayans and Aztecs http://www.godivachocolates.co.uk/the-history- of-chocolate-mayans-aztecs.html (Erişim Tarihi: 23.11.2015) Anonim 8, Chocolate Myths and Legends http://www.lifessosweet.com/Chocolate-Myths-and- Legends_b_4.html (Erişim Tarihi: 17.11.2015) Anonim 9, Aztec Economy Trade and Currency http://www.legendsandchronicles.com/ancient- civilizations/the-ancient-aztecs/aztec-economy-trade- and-currency (Erişim Tarihi: 17.11.2015) Anonim 10, https://en.wikipedia.org/wiki/Pochteca (Erişim Tarihi: 18.12.2015) Anonim 11, Discovering Chocolate https://www.cadbury.com.au/about- chocolate/discovering-chocolate.aspx (Erişim Tarihi: 18.11.2015) Anonim 12, Chocolate History: Who Invented Chocolate? http://facts-about-chocolate.com/chocolate-history/ (Erişim Tarihi: 11.11.2015) Anonim 13, Kakaonun Yetiştirilmesi. http://www.callebaut.com/trtr/2124 (Erişim Tarihi: 11.12.2015) Anonim 14, Küresel Çikolata Tüketimi http://www.businessht.com.tr/haber/haber/1105993- kuresel-cikolatada-tuketimi (Erişim Tarihi: 21.11.2015) Arsenault, N., Rose, C., Azulay, A., Meyer, R. 2008. Explorers, Traders & Immigrants: Tracking the Cultural and Social Impacts of the Global Commodity Trade http://www.utexas.edu/cola/hemispheres/_files/pdf/eti/C hocolate.pdf (Erişim Tarihi: 27.11.2015) Cartwright, M. (2014). Chocolate. www.ancient.eu/Chocolate (Erişim Tarihi: 11.12.2015) Clein, C. (2014). The Sweet History of Chocolate http://www.history.com/news/hungry-history/the-sweet- history-of-chocolate (Erişim Tarihi: 11.12.2015) Cox, K. (2012). The History of the Food of the Gods. https://apps.carleton.edu/curricular/posc/assets/Cox_Cho colate_History.pdf (Erişim Tarihi: 27.11.2015) Durlu Özkaya, F., Sarıcan, B. (2014). Latin Amerika Mutfağının Kültürel Etkileşim Yolu. Journal of Tourism and Gastronomy Studies, 2(1):36-45. Grivetti, LE., Shapiro, HY. (2008) Chocolate: History, Culture, and Heritage, A John Wiley & Sons, Inc., Publication. International Trade Centre Product and market development Cocoa: A guide to trade practices (2001). http://www.intracen.org/uploadedFiles/intracenorg/Cont ent/Publications/Cocoa%20- %20A%20Guide%20to%20Trade%20Practices%20Engl ish.pdf (Erişim Tarihi: 21.12.2015) McNeil, C.L. (2006). Chocolate in Mesoamerica: A Cultural History of Cacao. Miami: University Press of Florida. Meade-Kelly, V.(2006). Chocolate. Learning Through History, 4(1): 14-17. Powis, T.G., Hurst, W.J., Carmen Rodríguez, M.D., ve ark. (2007). Oldest chocolate in the New World Antiquity, 81(314). Powis, T.G., Cyphers, A., Gaikwad, N.W., Grivetti, L., Cheong, K. (2011). Cacao use and the San Lorenzo Olmec. Proc Natl Acad Sci 108(21): 8595-8600. Samancı, Ö. (2012). Tanrıların Yiyeceği Çikolata, Standart Ekonomik ve Teknik Dergi, 51(604): 27-31. Seawright, C. (2012). Life, Death and Chocolate in Mesoamerica: The Aztecs and the Maya; Where did the Ritual Use of Cacao Originate? http://www.thekeep.org/~kunoichi/kunoichi/themestrea m/ARC2AZT%20- %20Life,%20Death%20and%20Chocolate%20in%20M esoamerica%20The%20Aztecs%20and%20the%20May a;%20Where%20did%20the%20Ritual%20Use%20of% 20Cacao%20Originate.pdf (Erişim Tarihi: 21.10.2015) Tayar, M. Kahverengi altın: Çikolata. dunyagida.com.tr/yazar.php?id=12&nid=2980 (Erişim Tarihi: 8.12.2015) Tokuşoğlu, Ö. (2015). Kakao, Çikolata ve Çikolatalı Ürünler Bilimi ve Teknolojisi. Sidaş Yayınları, 1. Baskı. Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 40 Extensive Summary Chocolate As the Heritage of Latin Amerıcan Civilizations Introduction Cacao and chocolate having significant roles for humans, primarily with the taste, sets the frame of socio-cultural, socio-politics and socio- economics for thousands of years and are the heritage to human kind from the civilizations of early Mexico and Central America called Mesoamerica. Cacao, the raw material of chocolate, was discovered by the leading primary actors of Latin American civilizations as Olmecs, Mokayas, Mayas and Aztecs, and was related with many legends, myths and rituals and even to the subject of king treasures throughout the journey to Europe then to the world and moreover has continued to enchant people for ages. Cacao tree which its agriculture is applied in tropical lands commonly, is a type of perpetual green trees similar to tea and coffee trees. The tree varies from four to ten meters height. Fruits of cacao tree cover the body and branches in four or five years. These fruits include 30-40 seeds similar to almond. Cacao tree has three types called Criollo, Forestero and Trinitario. Cacao has a long history of more than 4000 years. Studies pointed out the usage of cacao seeds in Olmec, Maya and Aztec civilizations in Mesoamerica. Chemical analysis results in the studies of scientists reveal that the usage of cacao reaches to 1750 B.C in pre-Olmecs and 1900 B.C in Mokayas. We have a limited knowledge on cacao by Olmecs from Mesoamerican civilizations and Mokayas from the Pasific coast of Mexico. Olmecs fermented cacao seeds for a few days then dried them. Afterwards, the seeds roasted were peeled and used as food after grinding. Olmecs introduced this new food called kakawa to Mayan civilization. Mayas dried cacao seeds completely to prevent mold reproduction, roasted the seeds and added other spices and it hot. Aztecs also grinded and roasted cacao seeds to prepare bitter and peppery drink without sugar. Contrary to Mayas, Aztecs drank cacao cold which they termed as chocolate. In addition, they consumed chocolate with chili peppers and vanilla. They also drank cacao with foam and named as “xocoatl” or “bitter water”. Aztecs believed that wisdom and power came from eating cacao tree fruits. Cacao was so worthy to Aztecs that they served it in gold cups. Cacao was bitter and preferred as the drink of elites for centuries and had a significant place in trade. Cacao seeds were accepted as money among Mesoamerican peoples. One of the states that cacao used as money was the payment of workers in Aztec and Maya societies. Cacao seeds are said to be brought to Europe after fourth visit of Cristopher Columbus to “New World”. However, besides great amounts of treasures in the ship,cacao seeds did not get sufficient attention. Don Hernan Cortes, friend of Christopher Columbus, was the first to recognize the value of cacao seeds. He brought cacao seeds to Spain in 1528 and gradually custom of cacao drink spread to England in 1650s and next to Europe. Cortes realized the economical value and cultural significance of cacao by Aztecs. Cortes revealed interest to usage of cacao seeds as money although he did not fancy bitter and spicy drink. The first cacao introduction to European Continent was not a tasty food but a healthy medicine. Cortes sweetened cacao drink with sugar that did not exist in Mesoamerica. Cacao usage spread throughout Europe due to the contact of Spanish priests with European colleagues. The first countries to meet cacao were France and Italy. Revolutionary conversion of cacao to chocolate was with the invention of cacao press machine by Dutch chemist Coenraad Johannes Van Houten in 1828. Cacao press was used to split cacao oil from roasted cacao seeds. This invention of Van Houten lead modern era of chocolate by providing cacao to be used as candy ingredient and caused decrease of production prices. English cacao company J.S Fry&Sons produced first comestible chocolate bars from cacao oil, cacao powder and sugar. Rodolphe Lindt produced chocolate machine in1879. Chocolate with its soft consistency and unique taste enchanted everyone and mass production of soft and creamy milk chocolate was achieved. Today, Africa is the leading cacao producer and Journal of Tourism and Gastronomy Studies 4/1 (2016) 31-41 41 provides 75% of total world production. Cacao plantation becomes an important income source for tens of thousands of small farms in African countries. After its first discovery till today, chocolate by changing in a great extent continues to enchant people from all ages and classes and valuable cacao seeds as the primary item of this taste have great significance in terms of sociology, economy and gastronomy. In this study, cacao tree as the main ingredient of chocolate with its origin depending on Latin America after its discovery as a bitter drink is discussed from a historical point of view reaching from Latin America to Europe within growth conditions, types, findings, ways of consumption, myths, legends, its place in ceremonies and conversion to chocolate. 
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work_kslf6jyl75exfp6lbyuiouhry4	----	A9R97AB.tmp Vojnosanit Pregl 2014; 71(3): 301–306. VOJNOSANITETSKI PREGLED Strana 301 Correspondence to: Uroš V. Šuvakovi , Department of Sociology, Faculty of Philosophy, University of Prishtina, Kosovska Mitrovica, Serbia. Phone.: +381 11 3015 614. E-mail: uros-s@eunet.rs G E N E R A L R E V I E W UDC: 61::616.912-036.22(091)DOI: 10.2298/VSP1403301S Smallpox and globalization or the first achieved plannetary goal Variola i globalizacija ili prvi ostvareni planetarni cilj Uroš V. Šuvakovi *, Stevan Z. Baljoševi †, Žarko V. Obradovi ‡ *Department of Sociology, Faculty of Philosophy, †Faculty of Medicine, University of Prishtina, Kosovska Mitrovica, Serbia; ‡Faculty for State Administration, Megatrend University, Belgrade, Serbia Key words: smallpox; disease outbreaks; yugoslavia Klju ne re i: velike boginje; epidemije; jugoslavija Introduction The subject of the review is the relation between the socio- historical process of globalization and spreading of smallpox in the world, including its epidemic in Yugoslavia in 1972, as well as the eradication of this disease by the Assembly of the World Health Organization in 1980. The idea of globalization conventionally comprises the phenomenon of social contemporaneity for which Giddens con- sider that it started as “the fall of Soviet communism” in 1989 1, which might be considered as its narrower comprehension in the sense that Pe ujli terminologically marked as “turboglobaliza- tion” 2. Other authors put the start of this process in the 19th 3 or even in the 15th century 4, making the connection with the dis- covery of America by Christopher Columbus, while those with greater understanding for sociological comprehension of history, like the Dutchman Jan-Aart Scholte, consider that “globalization has no historical beginning” 5. It is difficult to agree with the as- sumption about the “absence of the beginning”, since every so- cial phenomenon has it, but we point out that it is a long-lasting social process, which appears with establishing of the first social groups and then the traditional states-empires, developing dur- ing the history with discontinuity, but progressively, changing occasionally the form of manifestation. Therefore, those who claim that the globalization is a completely new phenomenon do not recall the warning of Marcel Mauss that “every social phe- nomenon, even when it looks like new and revolutionary, like for example an invention, always is fraught with the past in spite of it. It is the harvest of circumstances the most distant in time and multiple connections in history and geography” 6. We con- sider that globalization is the legitimate social process of “inter- connecting people (meaning: individuals, groups, organizations, companies, societies) at planetary level” 7 that is enabled and stimulated by the scientific, especially the technical- technological progress, overcoming political barriers and ten- dencies for creation of the world market. Our academician Luki in 1957 was writing about such the process of “humanity unifi- cation”, pointing out that it was very slow and contradictory, but also that it led towards numerous important changes that “for the first time in the history of mankind have led to something that looks like unified mankind” 8. Keeping all this in mind, it is absolutely unacceptable to evaluate socially this process: it is the legitimate process that is going on during the human history, it carries along both positive (e.g. getting to know the whole world by the people, making the unique world market, exchanging products between distant continents, e.g. teas and spices that have reached Europe and America from India due to this) and negative (e.g. spreading of variola to all continents, possibility to assimilate cultures and loose identities of small nations by the process of culturalization from big and powerful countries, and similar) characteristics. That is why confronting globalization is meaningless, but it is not meaningless to confront some of the consequences nor to the ideology of globalism, which is the product of the end of the 20th century. Giddens proclaimed almost a decade ago that we live in the “global period” 9, although it seems to us that it is more correct to say that the “globalizing society” 10 is in question. Whatever we call it, it is certain that the world society as en- tity has not been constituted, primarily due to differences in the development level of individual states and regions and interests based on it, but also due to the consciousness on certain needs that is not equally developed with individuals in different parts of the world; in some parts people are con- scious that they need to provide food for children to survive, in other parts the same food is being wasted. It is hard to dis- Strana 302 VOJNOSANITETSKI PREGLED Volumen 71, Broj 3 Šuvakovi VU, et al. Vojnosanit Pregl 2014; 71(3): 301–306. cuss about the global – in the sense of planetary – social goals on the contemporary level of social development, since the goal implies also a realistic perception of the accom- plishment, knowledge of the path and manner to accomplish it, awareness of its importance, determination for the activity on its accomplishment. Planetary ideas might rather be the themes – e.g. freedom, universal justice – since the values are in question that are generally accepted, but which suffer also from the possibility of different interpretation, and espe- cially from the lack of elements for their operationalization. However, in certain areas it is possible also to discuss about constituted (healthcare, ecology) 7, even about accomplished global (planetary) social goals. Our hypothesis is that the epidemic spreading of small- pox in the world scale, including its last epidemic in Europe that happened in Yugoslavia in 1972, which represented the greatest epidemic in our continent after World War II, is the consequence of the social process of globalization develop- ment, but simultaneously its eradication is the consequence of the same process, which resulted in accomplishment of the first specific global social goal on planetary scale. Regarding the methods for collecting data, content analysis is used of the literature that refers to this disease and its epidemiological, clinical, historical-medical and socio- logical-medical aspects, literature that refers to the process of globalization and its different comprehension, as well as ob- serving with participation (type complete participant) 11, since one of the authors of the paper was direct participant in suppressing the epidemic, in the focus, at Kosovo and Meto- hija in 1972. By combining these methods (so-called mix- method procedure) of collecting data and using analytic- synthetic methods, the authors will try to prove the correct- ness of their hypothesis. Smallpox and globalisation According to the literature, smallpox was known about one thousand years before Christ. Kosta Todorovi 12 men- tions that the first data about this disease originate from India and China, referring to the assumptions of historians that the origin of the disease was in the Central Africa, from where it was transferred to the Far East. It was transferred to the Ara- bian Peninsula in the 6th century, and soon into Europe. It was endemic in some regions of Africa and Asia, from where it was transferred to Europe, and then to other parts of the world 13. The Crusades helped the spreading in the European continent and outburst of great epidemics 14. Bishop Marius from Avenches (Switzerland) mentioned smallpox for the first time in Europe, naming it variola (in the year 570). He also described the epidemics during his period that raged throughout the continent. There were also crowned heads that became the victims of smallpox: Bourgogne queen Au- fregalde died from this disease in 580, and much later, in the 18th century, even five European rulers died: Joseph I of Habsburg (in 1711), Spanish King Luis (in 1724), Russian King Peter II (in 1730), Swedish Queen Urlike (in 1741) and French King Louis XV (in 1774) 15, who shared the faith of 30,000 Frenchmen of that period. Filip Višnji , our famous gusle-player and poet, outlived the disease, but he lost sight in his youth because of it. However, although raging throughout Europe for almost thousand years, smallpox was not treated as a specific disease, “but was considered as the ‘plague’ with all other hard diseases” 12. Yet, Thomas Syd- enham (1624–1689) in his book Dissertatio epistolaris clearly distinguished smallpox as the specific infective dis- ease. With Spanish conquest of the Latin America in the 15th and the 16th century, smallpox reached the territory of this continent, firstly in the Caribbeans, and then in Mexico and Brazil. This assisted the Spanish conquest, since native in- habitants knew nothing about this disease, so that the number of victims was enormous 16. With colonization of the North America by Dutchmen, Britons and Frenchmen, variola was transferred to this continent also, where the first epidemic outburst was in Massachusetts in 1617–1619. “The disease was usually coming by ship to the east coast, or with settlers from the Great Britain, or, later, with slaves from Africa. Boston suffered great losses from epidemics in 1636, 1659, 1666, 1677–1678, 1689–1690 and 1697–1698, and there were victims in New York City, Jamestown (Virginia), Charleston (South Carolina) and elsewhere… One of the consequences of the obvious connection of smallpox epi- demic with cases on ships was imposing the quarantine for the infected in ships”. Europeans imported variola to Austra- lia also, through the sea also, and the first case there was re- corded near Sydney in 1789 16. Such a treatment of ship passengers, actually creation of ship-quarantine, was familiar in the Europe also, as a pre- ventive measure against smallpox epidemic, which confirms the thesis that “legends about cursed vessels are not the fruit of people’s imagination, since there were examples that cer- tain ships by which pilgrims traveled slowly and long, if they had only one person infected on the pilgrimage, or brought with him only one infected thing, were condemned on inhos- pitality of all ports. During the journey that lasted for two or three months, several persons would get sick in the ship and the ship would be forced to stay anchored offshore until eve- ryone in it died, or until it was confirmed that survivors were not dangerous for the environment” 17. Ships that circled around the Near East and the Mediterranean Sea, both trad- ing and war vessels, represented a special danger. Develop- ment of maritime trade, transport of goods, their entering into various ports, resulted that they “by conjunction were playing the role of the carrier” of the disease. “On the other hand, the regions which ships and traders were not visiting, or where goods were not delivered, suffered less from infec- tions… Therefore, among other things, these regions were lagging behind in the economic development regarding the regions in which the people were dying due to illnesses and diseases, but where new groups of people were coming to replace the dead because of the turnover and prospects for profit” 18. The Dubrovnik Republic created the quarantine for all passengers that wanted to enter into this city even at the end of the 14th century. They had to spend a month in Cavtat or in Mrkan, Bobara and Supetar, without any contacts with local inhabitants, and both sides were punished most se- verely for this. For Serbia and other Yugoslav countries that Volumen 71, Broj 3 VOJNOSANITETSKI PREGLED Strana 303 Šuvakovi VU, et al. Vojnosanit Pregl 2014; 71(3): 301–306. were under the Ottoman occupation, especially in the period of the 14th to 19th century, the problem was that Turks had no strict regulations for curing quarantine diseases, unlike the Western Europe that created them even then. Therefore, “the majority of wars waged by the Turks were accompanied by epidemics” 17. As Kosanovi - etkovi 14 indicated four decades ago, in contemporary period “smallpox is often carried by air- plane passengers from endemic regions, since they can fly to Europe within 1–2 days. They usually arrive at the very end of incubation or at the beginning of variola… they have many meetings with relatives and business friends just within these first days”. Therefore, “due to the vivid airplane and other traffic”, smallpox was reaching Europe even 52 times from the end of World War II till the end of the epidemic in Yugoslavia in 1972. It is important to point out that the virus responsible for the spreading of this disease is ultrafiltrable; smallpox can be transferred not only by direct contact with a diseased or by air, but also indirectly – by contact with his things and again e.g. by aspiration of the dust from his things. “Germs pene- trate in the human body mostly through the nose mucous membrane and eye conjunctiva, probably even through the apparently uninjured skin. The diseased himself is conta- gious even before the appearance of clinical symptoms, dur- ing the incubation stadium, as well as all the time during the sickness and during recovery, while desiccated crusts from pustules are on his body, and undestroyed virus in his envi- ronment, before finished desinfection” 12. Easy transfer of the virus enables great epidemics, which was confirmed by the experience of our physicians in 1972 (Figure 1). Infected baby, in a ak, had no contact whatsoever with diseased from smallpox and “that infection might be explained only by the air flow from the upper floor to the ground floor” 19. Just the easiness of transfer was the reason for quarantine being the main measure in the history for preventing epi- demics, while the diseased were usually left to their own destiny. The idea was to protect the healthy citizens, i.e. to prevent spreading of the infection. On the other hand, incu- bation lasts “in average 10–11 days, sometimes longer, about 2 weeks, sometimes shorter, about 6–8 days”, in certain cases even shorter: 3–4 days 12. Edward Jenner (1749–1823) made the revolutionary improvement in protection of citizens and the crucial step towards elimination of this disease with his discovery and proving the efficiency of the antivariolic vaccine, Jenner’s vaccine, in 1797. Janner’s vaccine soon found the applica- tion, first in England, and then in Spain and their colonies in the South America, and later in the whole world. The inven- tor himself believed that his vaccine was giving a permanent protection, while later the finding was established that the protection was absolutely efficient for the first five years, then its efficiency was not the hundred percent and revaccination was introduced later. This was confirmed by the experience of our clinical physicians during the epidemic in 1972 in Yugoslavia (Figure 2). Death rate of persons without vaccinal scars was “three times greater than of per- sons with old scars” 20. Epidemic in Yugoslavia in 1972 Historically, the first regulations on vaccination against this disease in Serbia “Rules for Inoculation of Smallpox”, were brought in 1839 by Prince Miloš. Obligatory vaccina- tion for the Kingdom of Serbia was established only in 1881, and that law was valid both for territories liberated in the Balkans Wars 1912/13, and for territories incorporated after World War I. According to the data given by academician a) b) c) d) Fig. 1 – Smallpox, pustule stage: a) at infant; b) at child age; c) and d) at adults Fig. 2 – Smallpox at adults – pustule stage Strana 304 VOJNOSANITETSKI PREGLED Volumen 71, Broj 3 Šuvakovi VU, et al. Vojnosanit Pregl 2014; 71(3): 301–306. Todorovi , in the period 1895–1911 there were 13,603 per- sons diseased from variola in Serbia, and almost every fifth died – 2,292 of them 12. This number was significantly re- duced in Yugoslav state, and after the epidemic in 1972, which lasted from 16 February to 11 April, there were no more cases of variola (Table 1). The importance of the ap- plied vaccine is inevitable. Table 1 Smallpox in Yugoslavia in the 20th century 12, 21 Year Infected Died 1919 5278 1100 1920 4150 941 1921 2119 483 1922 728 165 1923 1042 198 1924 330 330 1925 14 3 1926 4 2 1927 3 0 1928 0 0 1929 0 0 1930 1 0 1972 175 35 After 1972 0 0 However, it should be pointed out that, although anti- variolic vaccine and revaccination were obligatory, these were not performed systematically and in time, which re- sulted in lost lives. The reason for inobservance of the lawful regulations should be found in the fact that the previous case of variola in our country was 42 years earlier, but it was surely no excuse. The datum that the percentage in that pe- riod of obligatory vaccinated persons in Yugoslavia was at the level of 80% is poor, as well as that “the control of suc- cessful vaccination in some regions was not adequate or even was not performed at all” 21. Although the majority of chil- dren 1–6 years of age should be well-protected with the first vaccine against variola, only 1 out of 15 diseased of this age was vaccinated. In the age 7–14 years, when both revaccina- tions should be performed, even 13 out 19 diseased children were not vaccinated, etc. With the growth of age, the number of previously vaccinated was also growing, which helped them to survive. Out of 175 cases (there are no data for 4 cases) of diseased from smallpox in Yugoslavia in 1972, even 66 were not vaccinated before, which makes 38.6%, while out of 35 dead (there are no data for 4 cases), even 23 were not vaccinated, (74.2)%. These data also show the fa- tality of non-applied vaccination: the death rate with previ- ously vaccinated diseased was 8%, and with those who were not vaccinated even 35% 21. “There were even babies and all other age groups among the diseased in Kosovo, since the citizens were not vaccinated systematically” 4. On the other hand, there were also political influences not to publish im- mediately the outburst of epidemic, and when it was finally published – to end it as soon as possible, in order not to jeop- ardize the tourism. All this show that, from the aspect of management, serious defaults were made that promoted the development of the epidemic. The problem was also that ac- tive Yugoslav physicians of that period had no opportunity to see smallpox in their practice. That was the reason that only one diseased from Novi Pazar, infected even 38 persons, which was the record described in the world literature 22, and the greatest number of them were infected in hospitals, since nobody suspected in smallpox. The exception regarding the physician’s expertise in confrontation with this disease were the two physicians from the Infective Clinic in Belgrade who had got familiar with it during their study visits of India (V. Šuvakovi , M. Kecmanovi , and the first had been trained in this variolic country for diagnostic and treatment of the dis- ease as the scholar of the WHO within the program “Small- pox contro”). Immediately after suspecting the existence of smallpox in Kosovo and Metohija, the two of them were sent to akovica and stayed there during the whole period of the epidemic. Then, among the first, several eminent physicians were also sent to Kosovo and Metohija, military officers of the Yugoslav Peoples Army medical corps, professors of the Military Medical Academy, who very actively participated in suppression of smallpox epidemic – General Vra ari and Colonels Arsi and Birtaševi among them. Military physi- cians participated also in curing diseased from smallpox in other parts of the country, e.g. Colonel Mijuškovi in a ak. It is considered that a man who returned from pilgrim- age in Mecca brought variola to Yugoslavia. With 24 another pilgrims, he visited also dervish sanctuaries near Basra and Baghdad, where variola was registered just in that period. He returned by bus to his place Danjani in Kosovo and Metohija on 15 February and already the next day he was sick due to clinically unknown condition. According to the records, he was vaccinated, but there were no traces to confirm that. However, even seven of those who visited him were infected by variola, while his serological results confirmed the diag- nosis. The epidemic was revealed only a month later when Dr. Durmiš Celina and Dr. Džemail Džibo recognized the clini- cal picture of variola discovered in a 14-year-old girl located in the Infectious Department of the hospital in Prizren and informed authorized institutions about it. Kosovo and Meto- hija was the seat of this Yugoslav epidemic, since out of the total number of diseased even 124 were from this region – 70.9%, and out of the total number of dead 26 or 74.3% were from Kosovo and Metohija (Figures 3 and 4). The social conditions of living there also contributed to the develop- ment of the epidemic. “Families in which variola was present were usually very poor and lived in hard residential condi- tions. There was the custom that everyone ate and drank from the same dish and slept together in a bed littered at the floor without boarding… an advantage was that Albanians, making the majority of these two settlements [Danjane and Ratkovac from where the first diseased originated, note of the authors], were not practicing kissing when meeting” 23. A diseased sickened on 20 March in Hanover (Germany) 24 was among those that were infected when visiting the village Danjane, which illustrates that the fast spreading of the dis- ease to other countries was the consequence of the develop- ment in transportation. “However, the case that was intro- duced from our country to Germany has not led to spreading of the infection due to the applied prophylactic measures” 25. Volumen 71, Broj 3 VOJNOSANITETSKI PREGLED Strana 305 Šuvakovi VU, et al. Vojnosanit Pregl 2014; 71(3): 301–306. Quarantine measures were applied for suppression of the epidemic, but the Federal Epidemiological Committee made a decision to perform vaccination of the complete population of Yugoslavia – 18 million people. These meas- ures gave results and the epidemic ended already in April. Yugoslav experts received commendations for the suc- cessful suppressing of the epidemic from the Director of the World Program for Eradication of Variola, and the highest Yugoslav medals decorated majority of those who directly participated in the action of curing and suppressing the epi- demic. Just due to the Program for Eradication of Variola of the World Health Organization, adopted in 1959 (Resolution WHA 11.54) on the basis of a year before express initiative of the Soviet Ministry of Health deputy Victor Mikhailovich Zhdanov ( a ), in cooperation of states, physicians, medical personnel and people in the whole world, the disease was eradicated in the whole planet, which was ceremoniously declared on the 8 May 1980 at the WHO convention. The first global (planetary) goal in the history of humankind was achieved by that, in the area of human health protection. The second one was achieved 31 years later, in the area of veterinary medicine, when the United Nations de- clared on 25 May 2011 that the cattle plague (rinderpest or steppe murrain) was eradicated. That is the first animal dis- ease that used to kill millions of cattle throughout Africa, Asia and the Europe, including Serbia during the 19th cen- tury, eradicated by man at the planetary level. Conclusion Causes of spreading smallpox throughout the world, in addition to medical and hygienic-epidemiological, were actu- ally a tracker of wider social nature process: the need for new conquests, either for spreading religion or for capturing new colonies with the aim of their exploitation, profit growth through the trading with distant countries, the need for tourism (including the religious) and fast growth of income connected with it and similar. On the basis of the applied research meth- ods, it may be concluded that globalization of smallpox through history was enabled by the progress of transportation means, either they served in war, trading or traveling purposes. It used to be a slow-sailing vessels cruising in the Mediterra- nean Sea connecting the three continents, later these were im- proved, which enabled them to reach also another, distant continents, which resulted in spreading smallpox to the South and the North America and Australia, which literally global- ized this disease on planetary level. In the 20th century, the improvement of transportation means (massive usage of traffic means with motor drive: buses, trains and airplanes), but also the mass tourism, including the religious, contributed to the spreading of the disease. The Yugoslav epidemic broke out in 1972 also in this way. It shows that the cause that enabled spreading of smallpox on planetary level is the same that has accelerated the process of globalization. Actually, spreading of smallpox represents one of the (negative) consequences of Fig. 3 – Smallpox – hemorrhagic form Fig. 4 – Smallpox – scab stage Strana 306 VOJNOSANITETSKI PREGLED Volumen 71, Broj 3 Šuvakovi VU, et al. Vojnosanit Pregl 2014; 71(3): 301–306. globalization. Simultaneously, the eradication of smallpox, of- ficially announced on 8 May 1980, is the consequence of the global action led by the United Nations, starting from 1959, with the goal to eliminate completely this disease from our planet. This confirms our hypothesis that smallpox was eradi- cated just due to the progress of globalization process, i.e. that the elimination of this disease in natural environment on earth represents also the consequence of the globalization process (positive), by which the first concrete global social goal was accomplished on the level of the planet in human history. The process of globalization, as a legitimate historical process, in- fluenced the planetary spreading of the disease, but also its planetary eradication. Acknowledgements The paper is also the result of the research within the research Project III 47023 “Kosovo and Metohija between national identity and Euro integrations” financed by the Ministry of Education, Science and Technological Develop- ment of the Republic of Serbia. All the photographs used in this paper are from the leg- acy of the late Prof. Dr. Vojislav Šuvakovi and were taken during the Yugoslav smallpox epidemic in Kosovo and Me- tohija in 1972. These are chosen for the first publishing ac- cording to the criteria of illustrating different smallpox stages, different age and gender of diseased. R E F E R E N C E S 1. Haton W, Giddens A. On the Edge: Living with Global Capi- talism. Belgrade: Plato; 2003. 2. Pe ujli M. Globalization: Two Images of the World. Belgrade: Gutenbergova galaksija; 2002. 3. Mandelbaum M. Ideas that Conquered the World Belgrade: Filip Višnji . 2004. 4. Robertson R. Globalization: Social Theory and Global Culture. London: Sage; 1992. 5. Scholte JA. Globalization: Critical Introduction. Podgorica: CID; 2009. 6. Mauss M. Sociology and Anthropology I. Belgrade: Prosveta; 1982. (French) 7. Šuvakovi U. Political parties and global social goals. Belgrade: Tre i milenijum; 2004. (Serbian) 8. Luki RD. Introduction to sociology. Belgrade: Savez udru- zenja pravnika Jugoslavije. 1957. (Serbian) 9. Giddens A. Europe in the global age. Belgrade: Clio; 2009. 10. Markovi DŽ. Globalism and crises of global economy: enclo- sures for studying contemporary globalizing society. Belgrade: Grafiprof; 2009. (Serbian) 11. Mili V. Sociological method. Belgrade: Zavod za udzbenike i nastavna sredstva; 1996. (Serbian) 12. Todorovi K. Acute infectious diseases. 3rd ed. Belgrade: Medi- cinska knjiga; 1969. (Serbian) 13. Kulji -Kapulica N. Smallpox – past or not past? Srp Arh Celok Lek 2004; 132(7 8): 272 6. (Serbian) 14. Kosanovi - etkovi D. Acute infectious diseases. Belgrade: De ija knjiga; 1995. (Serbian) 15. Hays JN. Epidemics and pandemics: their impact on human history. Santa Barbara, CA: ABC-CLIO, Inc; 2005. 16. Fener F, Henderson DA, Arita I, Ježek Z, Ladnyi ID. Smallpox and its eradication. Geneva: World Health Organization; 1988. 17. Kneževi S. Smallpox (variola vera). Resultant Relationship of Folk`s Custom Life and its Health Culture (variola vera). Acta Hist Med Pharm Vet (Beograd) 1989; 29(2): 55 82. (Croatian) 18. Živojinovi P. Ships as carriers of contagious diseases in the 18th century (1750-1800). Srp Arh Celok Lek 1967; 95(1): 99 105. (Serbian) 19. Mijuškovi P, Mi ovi D. Clinical Presentation of Smallpox Epi- demic in a ak (Klini ki prikaz epidemije velikih boginja u a ku). In: Stojkovi Lj, Birtaševi B, Borjanovi S, Litvinjenko S, Periši Ž, Šuvakovi V, editors. Outbreak of Smallpox in Bel- grade in 1972. Proceedings of the Yugoslavian Symposium on Smallpox; Primošten; 1972 Nov 21 14; Ljubljana: Delo; 1972: 130 5. (Serbian) 20. Šuvakovi V, Kecmanovi M, Pavlovi J, Mijuškovi P, Jankovi T. Clinical picture and experiences in the treatment of smallpox in Yugoslavia in 1972. In: Stojkovi Lj, Birtaševi B., Borjanovi S., Litvinjenko S., Periši Ž., Šuvakovi V, editors: Outbreak of Smallpox in Belgrade in 1972. Proceedings of the Yugoslavian Symposium on Smallpox; Primošten; 1972 Nov 21 14; Ljubl- jana: Delo; 1972. p. 95 101. (Serbian) 21. Litvinjenko S, Arsi B, Borjanovi S. Epidemiologic aspects of smallpox epidemic in Yugoslavia in 1972. In: Stojkovi Lj, Bir- taševi B., Borjanovi S., Litvinjenko S., Periši Ž., Šuvakovi V, edi- tors: Outbreak of Smallpox in Belgrade in 1972. Proceedings of the Yugoslavian Symposium on Smallpox; Primošten; 1972 Nov 21 14; Ljubljana: Delo; 1972. p. 19 31. (Serbian) 22. Stojkovi Lj. Preface. In: Stojkovi Lj, Birtaševi B., Borjanovi S., Litvinjenko S., Periši Ž., Šuvakovi V, editors: Outbreak of Smallpox in Belgrade in 1972. Proceedings of the Yugoslavian Symposium on Smallpox; Primošten; 1972 Nov 21 14; Ljubl- jana: Delo; 1972. p. 15 6. (Serbian) 23. Celina D. Smallpox Epidemic In The Families (Settlements Danjane and Ratkovac, 1972). In: Stojkovi Lj, Birtaševi B., Bor- janovi S., Litvinjenko S., Periši Ž., Šuvakovi V, editors: Out- break of Smallpox in Belgrade in 1972. Proceedings of the Yugoslavian Symposium on Smallpox; Primošten; 1972 Nov 21 14; Ljubljana: Delo; 1972. p. 84 8. (Serbian) 24. Baljoševi S. Smallpox - Variola Maior, Forty Years After The Epi- demic. In: Jovanovi B, Šuvakovi U, editors. Kosovo and Metohija 1912-2012. Kosovska Mitrovica: Faculty of Philosophy, Univer- sity of Prishtina; 2012. p. 103 11. (Serbian) 25. Arsi B, Birtaševi B. Military epidemiology. Belgrade: Vojno- izdava ki zavod; 1978. (Serbian) Received on June 6, 2013. Revised on July 23, 2013. Accepted on July 30, 2013. 
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work_l46lrpb2zna5zjxqplejregaxm	----	European journal of American studies, 10-3 | 2015 European journal of American studies 10-3 | 2015 Special Double Issue: The City “The cornerstone is laid”: Italian American Memorial Building in New York City and Immigrants’ Right to the City at the Turn of the Twentieth Century Bénédicte Deschamps Electronic version URL: http://journals.openedition.org/ejas/11299 DOI: 10.4000/ejas.11299 ISSN: 1991-9336 Publisher European Association for American Studies Electronic reference Bénédicte Deschamps, « “The cornerstone is laid”: Italian American Memorial Building in New York City and Immigrants’ Right to the City at the Turn of the Twentieth Century », European journal of American studies [Online], 10-3 | 2015, document 1.5, Online since 31 December 2015, connection on 05 May 2019. URL : http://journals.openedition.org/ejas/11299 ; DOI : 10.4000/ejas.11299 This text was automatically generated on 5 May 2019. Creative Commons License http://journals.openedition.org http://journals.openedition.org http://journals.openedition.org/ejas/11299 “The cornerstone is laid”: Italian American Memorial Building in New York City and Immigrants’ Right to the City at the Turn of the Twentieth Century Bénédicte Deschamps 1 At the end of the nineteenth century, the massive arrival of Eastern and Southern European immigrants in the United States was often depicted in the local press as an “invasion” of “undesirable” crowds. Permeated with eugenic ideology, the New York newspapersresented the “dark faced Italians” who were “swarming through the doors of Barge Office.”1 This “miserable lot of human beings” was deemed a potential nuisance in a society which needed cheap labor but had difficulties welcoming foreign workers on an equal footing.2 At a time when rapid industrialization was contributing to shaping the cities, the question of space became crucial. Indeed, immigrants were somehow seen as usurping an urban territory which was not theirs, and which they were allegedly altering for the worse. Thus, Italians, like other groups, were constantly criticized for clustering in specific neighborhoods that were “filthy beyond description” and “unfit for a human being to live in.” While some associations campaigned “to rid [the] city of the presence of swarthy sons and daughters of sunny Italy,” conflict, tensions or derision could be observed “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 1 whenever the latter tried – even temporarily – to trespass the limits of their wards and invest public areas, be they streets or parks.3 Yet the elite of what was then called the Italian “colony” was quite aware that “space is political” and that to gain recognition and acceptance, their fellow countrymen should claim a right to the city.4 This paper will analyze how Italian Americans used memorial building to get a greater exposure as an ethnic group and transcend the boundaries of the skimpy Little Italies. It will argue that, by disputing space with the city authorities for the erection of monuments, immigrants also questioned the place they had been assigned in American society and history, and tried to redefine their role as political actors of the city. 1. Carving Ethnicity in the City 2 In New York City, the man who led that struggle for appropriating public space in the name of Italian Americans was Carlo Barsotti (1850-1927), the directing manager of the leading Italian-language newspaper Il Progresso Italo- Americano. At the same time a banker and a boarding house landlord, he had left Tuscany when he was twenty- one and had rapidly shown great abilities as a businessman. 5 In the paper he founded with Vincenzo Polidori in 1880, he pressed readers to “rise and walk towards the highest hopes that might smile at the emigrant in America,” a goal he believed could be reached also very concretely by building memorials outside of the Little Italies.6 Increasing Italian Americans’ visibility was a process which did include “rising and walking” in the city, and memorials provided the immigrants with opportunities to do so. Thus Barsotti dedicated much of his time to raising funds and lobbying for the construction of various monuments to the glory of Italian heroes, among whom were Giuseppe Garibaldi at Washington Square Park (1888) and on Staten Island (1896), Christopher Columbus at Columbus Circle (1892), Giuseppe Verdi between Broadway and 73rd Street (1906), Giovanni da Verrazzano in Battery Park (1909), and Dante Alighieri between Broadway and Columbus Avenue, near Lincoln Square (1921). 3 Barsotti was certainly not the only editor to invest so much energy in memorial building, within or outside immigrant communities. In fact, the first monument to be “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 2 erected by Italian Americans in New York City was a bust of Risorgimento’s leading political thinker Giuseppe Mazzini. It had been inaugurated as early as 1878 in Central Park, under the initiative of sculptor Nestore Corradi (1811-1891) and the Unione e Fratellanza benevolent society, with the support of the Italian-language weekly L’Eco d’Italia, owned by Giovanni Francesco Secchi de Casali (1819-1885).7 More generally, ethnic newspapers made a point of marking urban space to promote ethnic pride and show the American public an expression of their collective identity that was redefined in their terms, and staged outside of their despised neighborhoods. Although the Washington Post claimed “the Italian’s devotion to commemorating” was “a national trait particularly strong in his race,”8 paying tribute to great historical figures by organizing celebrations, parades and pageants or by building monuments was a compulsion shared by most immigrants.9 As John Bodnar has shown, the latter expressed their patriotism with multiple forms of commemorations aiming at affirming their ethnic identity as “a positive force helping them create the nation,” thus contributing to forging a public memory of their own experience in the United States.10 It is not surprising, then, that the New York City Art Commission was overwhelmed with requests from all ethnic groups, each of them wanting to leave its imprint on the urban space, revisiting its immigrant past, and inscribing its presence in the vast panorama of urban activities.11 4 The initiatives led by Il Progresso Italo-Americano are therefore to be understood against this backdrop. To Barsotti, promoting Italianità (a sense of Italian pride) with memorials was essential because carving the name of Italians and his own in the Carrara marble of those monuments was a way of marking his environment. The building process seemed almost of a carnal nature as it allowed Italian Americans to actually dig into the flesh of the city. When referring to the construction of the Columbus statue, Il Progresso Italo-Americano underscored that Italian workers had excavated sixty thousand cubic feet of earth from 59th Street and 8 th Avenue to form the hole that was then filled with quicklime and cement as a foundation of a seventy-feet-high granite column supporting the Genoan sailor. For this project, the Italian laborers, whose contribution to the development of the local “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 3 infrastructures usually remained unacknowledged, had accepted to work for free because they knew they were leaving a trace for everyone to see.12 In the same line of thought, when the Garibaldi and the Columbus memorials were laid, Barsotti buried copies of his daily in the foundations, as if he conferred the press the power to fecundate the American soil with seeds that would grow into flags of Italianness.13 This feeling was imparted by his readers who congratulated him for showing that, from scratch, “a scrap of paper like Il Progresso Italo-Americano” could “make monuments of bronze and granite rise up” in America.14 Italian immigrants, therefore, wished to impress Americans with their art and the legendary mastery of Italy’s sculptors was meant to contrast with the squalor of their tenements. Planting statues obviously aimed at enhancing their image not only in New York City’s public sites but also in the press, a strategy which proved to be only partly successful. In 1909, even though the New York Tribune praised Italians for “doing their part toward the decoration of the city,” it had to admit “few New Yorkers realize[d] the extent to which they ha[d] contributed to the city’s beautification.”15 The path to recognition of Italian merits was long and tortuous. 2. Breaking Boundaries, Switching Roles 5 Yet modifying the cityscape did help Italian Americans map themselves into the future social space of the United States, if anything because it extended their walking geography. At a time when “new immigrants poured into” the “modern city,” thus making the urban population “increasingly fluid and unstable,” the creation of monuments gave them reasons to stroll outside the boundaries of their enclaves.16 Historian Bernard Lepetit explains that, “confronted with an existing space,” foreigners develop practices which allow them to make this new environment their own, not only by building their own places, but also through what he calls a “deambulatory usage” which ranges from religious processions to the daily commuting of workers between their homes and the factory.17 Barsotti himself understood that the city’s restlessness and constant movement could serve his purpose of putting the Italian-American community on display. For example, when the City of New York decided the Garibaldi statue was to be laid in Washington Square, many of his countrymen complained “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 4 that the spot was “unsuitable and unbecoming” because it was not as decorous a place as other landmark squares of the city. There was too much agitation around it. Barsotti, on the contrary, defended that choice on the ground that “the creation of a statue honoring a European hero in one of the rare places of passage of the city was quite unusual, yet not unheard of.”18 The location was deemed strategic: the monument was to be seen by an ongoing flow of American passersby, including the “ancient and aristocratic New York families” living in the “magnificent houses” surrounding Washington Square. At the same time, the site was at the crossroads of “main streets” like “Fifth Avenue, University Place, the outlets of Broadway and 6th avenue” where “all the Italian societies converged for the parade of the XXth of September,” 19 and where the Garibaldi statue would be “exposed to [their] sight, memory and admiration.”20 It therefore matched two of Barsotti’s implicit requirements: forcing Italian historical heritage on Americans and giving Italians an excuse to occupy new areas of the city. The inauguration of memorials was indeed a moment when the Italian population was breaking the barriers separating the Little Italies from bourgeois New York. In 1907, as the original Garibaldi statue was moved to Staten Island and replaced by a new more artistic piece by the same sculptor, the American press was struck by the unexpected and overwhelming fluidity of Italian Americans, noting that, in addition to Mulberry and Elizabeth Streets, “the uptown Little Italies” had “sent hundreds downtown.” The tide of men and women had “daubed the square with color” and “beneath the Washington Arch they made a picture that could hardly have been classed as American.”21 With their parades, immigrants were consciously seizing quarters from which they were estranged by their social condition. Such movement was often regarded with condescension or amused contempt, since most celebrations brought with them not only the orderly marches or processions planned by the Italian élite to earn Americans’ respect, but also boisterous crowds of ordinary people whose joyful customs contrasted with the local decorum. Quite revealing in that regard is the following description of the laying of the Columbus Statue, published by the New York Times in 1892: Fifth Avenue was treated to such a color display as it had not seen in many a long month. All Little Italy swarmed out of Mulberry Bend and the streets south of Washington Square to see the great procession of the Italian societies march up the avenue and to Fifty-third Street and Eighth Avenue, where the cornerstone of the “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 5 statue to Christopher Columbus was to be laid. It was something unusual for the avenue, and the regular promenaders were to be seen gazing at the spectacle from the chamber windows, while the Italian peripatetic vendors thronged the sidewalks, and Italian mothers in rainbow attire dandled their children in arms on the steps of millionaires’ palaces. The column of men in uniforms seldom seen above Bleecker Street marched up between the rows of brownstone houses to the lively music of the Italian national air. It was Italy’s Day, and the dwellers along the avenue could only look and smile, and perhaps wish for a fraction of the sense of enjoyment and the enthusiasm displayed by these same Italians. 6 Once the ceremony was over, concluded the newspaper, “all Little Italy disappeared from its unaccustomed surroundings.”22 Surprise and embarrassment seemed to prevail in this account of what was presented as an intrusion into areas normally reserved to a certain class of New Yorkers. The temporary displacement of population went with a change of roles. The immigrants who were marching under the banners of their fraternal organizations, displaying with pride the colors of their humble professions (tailors, barbers, etc.) became the center of American passersby’s attention. In this process, rich Americans were pushed up against the buildings, to the margins of sidewalks, a place where a number of immigrants were usually waiting to sell their goods and services. Such a reversal of positions was a source of discomfort that could generate mockery. Some lamented with cruel irony that “not a shine or a chestnut was to be had” down those colorful processions and that should anyone have “yelled ‘next’ the parade[s] would have been disrupted.”23 Nonetheless, the Italian-American leaders thought those pageants and the publicity they brought in the press enhanced the image of their countrymen in the United States, and created a favorable context for a more general reflection on the Italians’ contribution to American history. 3. Claiming a Space in the City, Finding a Place in the Nation’s History 7 The idea that monuments participated in the civic education of the people was not new and it found many supporters in the City Beautiful Movement of the 1890s. For example, art historian George Kriehn praised historical bronzes and sculptures for teaching patriotism to Americans. He also believed nothing could be a “more effective agent in making good citizens” of the “foreign population” who could not read English books but could “read monuments which “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 6 appeal to the eye.”24 Carlo Barsotti and other prominent figures of the Italian colony were using similar arguments, but they were targeting the American public. By granting Italians a space in the city, they meant to give them a place in the past of America, the latter justifying the former. In other words, they intended to rewrite history, correcting its omissions and errors, so as to show that Italians were not invading a foreign land but that, on the contrary, they were settling in a place that their ancestors had contributed to discovering, and that they could claim as their own too. 8 Two historical figures played a major part in that quest for legitimacy: Christopher Columbus and Giuseppe Da Verrazzano. Columbus supposedly embodied the fraternity bonds existing between Italy and America and allowed the Italian-American elite to develop a kind of rhetoric immigrants relished. As Barsotti liked to recall, the “man who had discovered the New World and had opened it to the conquests of civilization, labor, industry, wealth and glory was Italian.”25 Italy was, therefore, presented as “the mother of the great discoverer” and America as “the DAUGHTER of its genius,”26 a line of argumentation which was quite convenient as it reinvented an organic bond between the United States and Italy, while making eternal the debts the New World had contracted towards Italians. It was, obviously, to remind Americans of this debt that Italian Americans launched a campaign to make October 12 a national holiday known as Columbus Day, the celebration of which also led to a greater appropriation of public space.27 9 After Columbus, Barsotti looked for new heroes that could further justify the presence of Italians in the United States. Verrazzano, who was known for having sailed in the Bay of New York as early as 1524, stood out as a perfect choice. In 1909, the editor of IlProgresso Italo-Americano thus commissioned Italian artist Ettore Ximenes to sculpt a statue which he hoped would be planted in City Hall Park, a symbolically-charged place where the already existing monuments immortalized the proud Anglo-Dutch past of the city. The point was to fill in what he considered a historical gap: Henry Hudson was not the first explorer to have discovered the bay and the river that were unjustly bearing his name and this honor should be granted instead to Verrazzano. The New York Art Commission, which questioned the artistic quality of the bust and was reluctant “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 7 to challenge the predominance of the Anglo-Dutch heritage of the park, denied his request.28 Yet it took more than a rebuff to discourage Barsotti, who kept harassing the commission until the latter allowed Ximenes’s work to find refuge in Battery Park, south of Manhattan. He defended his project all the more fiercely as he wanted the memorial to be unveiled during the great festivities organized in the fall of 1909 for the tercentenary of the discovery of the bay by Hudson. Barsotti won that battle and succeeded not only in being assigned a space in what was to be the center stage of the Hudson-Fulton pageantry, but also in imposing the Italian name of Verrazzano on the program of a historical event dedicated to the memory of an English sailor. It was no small victory, considering that city planning was controlled by advocates of historic preservation, who, as historian Randall Mason recalls, favored the creation of specific places where immigrants could pay tribute to their heroes. In New York City, “tacit negotiations” were indeed taking place about “the geography of memory sites and their political symbolism,” resulting in the “zoning of particular narratives in particular places.”29 A touch of ethnic plurality was welcome, but only as long as it did not interfere with the official tale of the nation or irrupt into areas designed for American civic education. Getting Verrazzano to be admitted in the Hudson-Fulton celebration meant making room for the heritage of undesirable immigrants in a festival that was praising mainly the contribution of early northern European colonists. It was a tour de force which, as American newspapers remarked, “ought to have caused old Henry Hudson to turn in his grave,” but which Barsotti fully savored.30 His obstinacy led the whole national press to discuss Verrazzano and his compatriots’ claim.31 The Hudson-Fulton commission was thus forced to admit the Italian navigator was “the earliest European visitor to these waters,” although they insisted the stream had been “correctly named” because Hudson was “the first to give an authentic record of careful exploration of the river,” making it known to mankind, as the true definition of the term “discoverer” required.32 Even though the name of the celebration was maintained, the very fact that the commission had to justify itself could be interpreted as an achievement. 10 It was Barsotti’s granddaughter, an American girl of Italian ancestry, who unveiled the monument which she “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 8 hoped would show “all the children of New York” that “it was an Italian who discovered the island of Manhattan.”33 As for Barsotti, he took pride in the “boldness of IlProgresso Italo-Americano,” which had met the “noble challenge” of planting the statue in Battery Park.34 This was an act of “vindication”by which he wanted to right the wrong inflicted on Italians.35 Beyond what he called the “justice of history,” what was at stake was not so much the past as the present of Italians in America. The bronze was meant to become a symbol of the qualities nativist politicians and scientists denied his countrymen. The Italian ambassador’s address during the festivities reflected such preoccupations. While eugenic principles were gaining momentum, he chose to pay “tribute to the sublime Latin genius, the grand Latin genius which led its sons to conquests of science not less than of letters and art.” Implicitly replying to the racist theories of the time, the diplomat claimed that “the union of the two races – the Latin and the Anglo-Saxon – in what he called ‘this noble American land,’ formed a race more complete and more perfect, which promised to advance more and more in the high road of civilization.”36 Clearly, the Verrazzano and Columbus memorials also served as tribunes for voicing Italian immigrants’ grievances, and claiming a political space at the city and state levels. Indeed, Barsotti resorted to the same strategy each time he wanted to launch a new commemoration project, transforming all those heroes – including Dante Alighieri – into “symbols of italianness” who heralded the hopes of the “New immigrant Italy.”37 4. Conquering New Spaces for Unity or Division? 11 It is obvious that the United States’ collective memory was then rather selective and left little room for new immigrants. Yet, as mentioned above, building memorials had a wider scope than the mere celebration of old glories. To use historian Christine M. Boyer’s words, city monuments became for Italian-Americans “artifacts and traces that connect[ed] the past with the present in imaginative ways, and help[ed] to build a sense of community, culture and nation.”38 On the one hand, erecting bronzes and marble columns was supposed to get so-called “old stock” Americans to look at Italians as legitimate co- users of the city. On the other hand, it aimed at bringing together Sicilians, Neapolitans, Genoans, and others, “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 9 easing the process of national identity building within an ethnic group whose members hardly felt Italian yet, as the unification of Italy (1861) was still rather recent. Laying stones was, therefore, intended as an opportunity to foster unity within and without the community. Nevertheless, that goal was not easily reached. Both the American and the Italian authorities looked at the mushrooming of statues with a critical eye. While the Garibaldi monument in Washington Square was criticized for being “the least artistic statue in this unhappy city,” the unlucky fate of other Italian bronzes delighted the U.S. press, which did not necessarily support the message of national pride those memorials conveyed.39 Far from generating admiration, the Verdi statue was said to diversify “the not too attractive square at the junction of Broadway and Amsterdam with a touch of the grotesque” and to provide “a background of unconscious but lasting humor for the row of waiting taxicabs.”40 Dante’s bust, which found a place in the city only after years of hectic negotiations between Barsotti and the New York City Art Commission, became a source of particular strain and sarcasm.41 When Il Progresso Italo- Americano’s editor suggested that it be laid in Times Square, Commissioner Stover confessed he had “grave doubts as to the appropriateness of placing a man who wrote the divine comedy in such a bustling, happy crossroads,” for “if ever a monument [was] to grace the square it should be an American of the Americans.”42 As for the New York Tribune, it held that that just because the city was “so hospitable to peoples of the Old World,” it could not “afford to be equally hospitable to their enthusiasms when they take the form of statues,” as there was no “room in the parks for all the national poets and heroes, even of the foreign groups who cut a figure at the polls.”43 12 Other ethnic groups also contested the public space Italians had been granted, and the memorials became targets for potential dissenters. The Garibaldi statue, for instance, was deemed “a thorn in the eye” of the Irish who thought the monument was the “apotheosis of the most ferocious and implacable enemy of the papacy and of the church” and who therefore seized every opportunity to spit on it. On such occasions, Washington Square witnessed episodes of physical conflict, Italians giving a “good hiding and fist fighting lesson” to those who dared disrespect the statue.44 Mayor Abram Hewitt himself “received several “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 10 protests for consenting to review the Garibaldi Italian jubilation over the looting of the Pope’s temporal possessions” whereas he had refused to attend the Saint Patrick parade.45 As Michael Kammen has shown, commemorations were not just moments of consensus.46 They were also staging competing memories. 13 The Little Italies were not exempted from dissensions either. While the city authorities were suspected of wanting to sacrifice municipal space on the altar of political patronage, Barsotti was accused of wasting and even embezzling funds from his contributors. Italian-American radicals such as anarchist leader Luigi Galleani (1861-1931) systematically tried to undermine Barsotti’s efforts because not only did they see memorials as worthless and politically unacceptable,47 but they also claimed the money sent to Il Progresso was being misappropriated. Barsotti “will flood New York with great monuments of stone,” “pocketing huge money in addition to applauses” because he has “understood the spirit of the colony and knows how to exploit it,” explained Galleani’s newspaper Cronaca Sovversiva in 1910.48 Such an allegation was recurrent even among his competitors, who mocked his “mal della pietra,”49 a disease which led him to build memorials all over the city and made him rich.50 Dubbed the “Statue Man” by the U.S. press, Barsotti was certainly raising monuments so as to get the attention of both the Italian consulate and the city authorities and be seen as a leading figure of the “colony.”51 While many Italian benevolent societies contributed to collecting funds and organizing the commemorative parades, he was the first to benefit from the light he shed on Italian historical figures. So intense was his thirst for fame that he tried to get his own name carved on the pedestal of the statues whenever he got a chance to.52 What he did with the funds cannot be ascertained. Yet the numerous campaigns led against him by Italian-American businessmen like Vincenzo Polidori, the editing manager of Cristoforo Colombo53 show that the stakes were high. Barsotti’s detractors also questioned the very necessity of financing statues when the Little Italies needed hospitals, schools, and libraries. Memorial building was thus anything but consensual, even within the ethnic community. 14 The Italian-American newspapermen’s drive to lay statues in New York and other cities of the United States “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 11 was undoubtedly motivated by a quest for self-promotion. When Barsotti and his competitors dedicated time and money to mark the territory they lived in, they wanted to leave a personal imprint as much as they hoped it would help their countrymen force their way through new areas of the American public space. But there was more to it. Barsotti did see space as a reality that endured, to paraphrase Maurice Halbwachs.54 He cared about posterity and wanted to reshape the geography of memory sites in the city by impressing lasting landmarks of Italian heritage on New York maps. To sculptor Ettore Ximenes, who had designed two of the monuments sponsored by Il Progresso Italo-Americano, Barsotti had confessed that he paid little attention to criticisms because the future was his only preoccupation. “As long as Columbus looks at those small creatures who press around him today, and stays on his pedestal,” he explained, “as long as people bow to Verdi and now to Verrazzano, I feel happy,” because “monuments remain while petty talks, gossips and calumny die away with men.”55 NOTES 1. “Blue-Eyed Immigrants,” Sun, 6 April 1891, 5. 2. “Undesirable Immigrants,” New York Times, 6 November 1879, 3. On anti- Italian prejudice, see: Salvatore J. LaGumina, ed., Wop! A Documentary History of Anti-Italian Discrimination in the United States (San Francisco: Straight Arrow Books, 1973) and William J Connell, Fred Gardaphé, eds., Anti-Italianism: Essays on a Prejudice (New York: Palgrave, 2010). 3. “An Anti-Italian League,” Sun, 17 July 1887, 12. 4. Henri Lefebvre, “Reflections on the Politics of Space,” in State, Space, World: Selected Essays (Minneapolis: University of Minnesota Press, 2009), 170. See also: Grégory Busquet, “Political Space in the Work of Henri Lefebvre: Ideology and Utopia” [translation : Sharon Moren], Justice Spatiale | Spatial Justice 5 (Dec. 2012-Dec. 2013), http://www.jssj.org. 5. Howard Marraro, “Carlo Barsotti,” in Dizionario biografico degli italiani, vol.6, ed. Alberto GhisalbertiDizionario biografico degli italiani, vol.6, (Rome: Istituto della enciclopedia italiana, 1964), 541-542. 6. Il Progresso Italo-Americano,Per la mostra del Lavoro degl'Italiani all'estero, Esposizione Internazionale di Torino pel cinquantenario dell'Unità nazionale (New York, 1911), 43. “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 12 http://www.jssj.org/ http://www.jssj.org/ 7. “In Memory of Mazzini. Unveiling the Bust in Central Park,” New York Tribune, 30 May 1878, 8. The bust was sculpted by Giovanni Turini. 8. “Italians Love Monuments,” Washington Post, 22 October 1910, 6. 9. See for instance: Jürgen Heideking, Geneviève Fabre, eds., Celebrating Ethnicity and Nation, American Festive Culture from the Revolution to the Early 20th Century (New York: Berghahn Books, 2001); Terence Schoone-Jongen, The Dutch American Identity: Staging Memory and Ethnicity in Community Celebrations (New York: Cambria Press, 2008). 10. John Bodnar, Remaking America: Public Memory, Commemoration, and Patriotism in the Twentieth Century (Princeton, NJ: Princeton University, 1992), 69-70. 11. See Michele H. Bogart, The Politics of Urban Beauty. New York and its Art Commission (Chicago: University of Chicago Press, 2006), 22-24; 108-114. The author dedicates well documented pages to the building of the Verrazzano and Dante statues promoted by Barsotti. 12. “Il 4°. Centenario della Scoperta d’America,” in Guida Italiana e calendario universale del Progresso Italo-Americano per gli Stati Uniti, il Canada, il Messico etc (New York: Tipografia del Progresso Italo-americano, 1893), 9. 13. “Per Garibaldi: La collocazione della pietra del monumento,”Il Progresso Italo-Americano, 1 June 1888, 1; “The Columbus Memorial Arch,” The Architectural and Building Monthly, 1 October 1892, 10. 14. “Lettere,” IlProgresso Italo-Americano, 10 February 1888, 1. 15. “Columbus Day Joys,” New York Tribune, 10 October 1909, A5. 16. Kevin Mattson, Creating a Democratic Public : The Struggle for Urban Participatory Democracy During the Progressive Era (University Park: Pennsylvania State University Press, 1998), 15. 17. Bernard Lepetit, “Proposition et Avertissement,” in Les étrangers dans la ville, Minorités et espace urbain du bas Moyen-Age à l'époque moderne,eds. Jacques Bottin and Donatella Calabi (Paris: Editions de la Maison des Sciences de l'homme, 1999),14. 18. “Per Garibaldi: L'Inaugurazione del Monumento,” IlProgresso Italo- Americano, 7 June 1888, 1. 19. This parade celebrated the completion of Italian unity with the capture of Rome on September 20, 1870. 20. “Perché il Monumento a Garibaldi in New York sarà eretto in Washington Square,” Il Progresso Italo-Americano, 2 March 1888, 1. 21. “Italians Dedicate Garibaldi Memorial,” New York Times, 5 July 1907, 6. 22. “The Cornerstone is Laid,” New York Times, 17 September 1892, 8. 23. “Verrazzano Bust Unveiled,” Sun, 7 October 1909, 5. 24. George Kriehn, “The City Beautiful,” Municipal Affairs 3/ 4 (December 1899): 600. 25. “Per Cristoforo Colombo,” Il Progresso Italo-Americano, 22 July 1890, 1. 26. “To Stand Forever,” New York Tribune, 13 October 1892, 3. 27. This battle was finally won in 1968 at the federal level, but some states had already adopted Columbus Day as a legal holiday as soon as the 1910s. For more details see: Carol J. Bradley, “Towards a Celebration: The Columbus Monument in New York,” in Italian Americans Celebrate Life. The Arts and Popular Culture, eds. Paola A. Sensi-Isolani and Anthony Julian Tamburri (Staten Island, NY: American Italian Historical Association, 1990), 81-94; Bénédicte Deschamps, “Italian Americans and Columbus Day: A Quest for “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 13 Consensus Between National and Group Identities (1840-1910),” in Celebrating Ethnicity and Nation, eds. Jürgen Heideking and Geneviève Fabre,, 124-139; and “La scoperta dell’America narrata dai giornali italo-americani, 1880-2000,” in Comunicare il passato: Cinema, giornali e libri di testo nella narrazione storica, eds. Simone Cinotto and Marco Mariano Comunicare il passato: Cinema, giornali e libri di testo nella narrazione storica(Turin: L’Harmattan Italia, 2004), 409-438; Stefano Luconi, “Le celebrazioni del cinquantenario e i prominenti italo-americani negli Stati Uniti,” Archivio Storico dell’Emigrazione Italiana 7 (2011):41–50 and “Columbus and Vespucci as Italian Navigators: The Ethnic Legacy of Explorations and Italian Americans’ Search for Legitimacy in the United States,” in Florence in Italy and Abroad from Vespucci to Contemporary Innovators (Florence: Florence Campus Publishing House, 2012), 62-77; and Kathleen Loock, Kolumbus in den USA: Vom Nationalhelden zur ethnischen Identifikationsfigur (Bielefeld: Transcript Verlag, 2014). 28. Michele H. Bogart, The Politics of Urban Beauty, 109-110. 29. Randall Mason, The Once and Future New York: Historic Preservation and the Modern City (Minneapolis: University of Minnesota Press, 2009), 62. 30. “Henry Hudson's Peary Luck,” New York Tribune, 14 September 1909, 12. 31. See, for instance, “Verrazzano Saw the River First,” Evening Statesman, 6 October 1909, 8. 32. “Hudson River Correctly Named. Hudson-Fulton Commission Tell Briefly of Discovery of Stream,” Daily People, 1 March 1909, 2. 33. “Verrazzano Bust Unveiled,” Sun, 7 October 1909, 5. 34. Il Progresso Italo-Americano,Per la Mostra del Lavoro degl’Italiani all’Estero, 100. 35. “La gloria di Giovanni da Verrazzano scopritore del North River rivendicata agli italiani dal ‘Progresso,” IlProgresso Italo-Americano, 27 June 1909, 1; “Verrazzano Bust Unveiled,” op.cit. 36. Address by Marquis Paolo Montagliari as reported in Edward Hagaman Hall, dir., THE HUDSON-FULTON CELEBRATION 1909, The Fourth Annual Report of the Hudson-Fulton Celebration Commission to the Legislature of the State of New York (Albany: J. B. Lyon Company, State Printers, 1910), 481-482. 37. Agostino de Biasi, “Il monumento a Dante Alighieri in NuovaYork,” Il Progresso Italo-Americano, 27 mai 1910. 38. Christine M. Boyer, The City of Collective Memory: Its Historical Imagery and Architectural Entertainments (Cambridge: MIT Press, 1996), 309. 39. “The Fine Arts,” The Critic: A Weekly Review of Literature and the Arts, 16 May 1896, 358. ABSTRACTS This paper will analyze how, at the end of the nineteenth century, Italian Americans used memorial building to get a greater exposure as an ethnic group, transcend the boundaries of the “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 14 Little Italies, question the place they had been assigned in American society and history, and redefine their role as political actors of the city. INDEX Keywords: Carlo Barsotti, commemorative space, ethnicity, Italian Americans, Italian immigration, memorials, New York City, politics of memory., urban planning AUTHOR BÉNÉDICTE DESCHAMPS Department of Anglophone Studies, Paris-Diderot University “The cornerstone is laid”: Italian American Memorial Building in New York Cit... European journal of American studies, 10-3 | 2015 15 “The cornerstone is laid”: Italian American Memorial Building in New York City and Immigrants’ Right to the City at the Turn of the Twentieth Century 1. Carving Ethnicity in the City 2. Breaking  Boundaries, Switching Roles 3. Claiming a Space in the City, Finding a Place in the Nation’s History 4. Conquering New Spaces for Unity or Division? 
work_l6nfvd6g6jfsbh3vu52msh4cby	----	Sino–US Trade War: A Mini Review on Latin American Involvement HATASO, USA E-ISSN: 2469-4339 Management and Economics Research Journal, Vol. 5, Iss. S4, Pgs. 11, 2019 Mini Review Yildiz Special Issue S4: “Global Trade Wars - A Case of Sino-US Trade War” Guest Editor: Prof. Badar A. Iqbal Management and Economics Research Journal 1 Vol. 5, Iss. S4, Pgs. 11, 2019 https://doi.org/10.18639/MERJ.2019.874701 Sino–US Trade War: A Mini Review on Latin American Involvement Nilay Yıldız* Faculty of Political Science, Marmara University, Istanbul, Turkey. *Correspondence: nilayokten@hotmail.com Received: June 17, 2019; Accepted: Sep 27, 2019 Copyright: Nilay Yildiz. This is an open-access article published under the terms of Creative Commons Attribution License (CC BY). This permits anyone to copy, distribute, transmit and adapt the work provided the original work and source is appropriately cited. Citation: Yildiz N. 2019. Sino–US trade war: a mini review on Latin American involvement. Management and Economics Research Journal, Vol. 5, Article ID 874701, 11 pages. https://doi.org/10.18639/MERJ.2019.874701 Abstract This article is written to summarize what has been going on in trade war between the United States and China and to express how this war affects trade relations of Latin America with both of the actors being involved in the trade war. The reason why Latin America is chosen as a region to work on rests on the fact that both the United States and China have been conducting considerable trade relations with the region. This article is organized to analyze what kind of a position Latin America would be at during the upcoming moves from two giants and how the region should revise its ties with both economies considering the past relations it has had with before this trade war emerged. There have been many moves taken by the United States and China after the dispute started to show up; however, Latin America has been con- ducting considerable relations in terms of trade, politics, historical orientation, and geographical ties with both giants since long before the trade dispute began. Therefore, this article has an aim to recover the historical trade relations of Latin America and to have some clues to determine what can come next for the region’s economic position and trade relations. Colonial past of the region, the role it has played during the Cold War, the involvement of the Latin America in trade relations with China, and Chinese presence in the region are the factors that are included in the article to under- stand the critical position of Latin America in the Sino–US trade war. Keywords: Latin American trade relations; China; United States; Import and export; Trade deficit. 1. INTRODUCTION The international trade crisis, called the US–China trade wars, began in 2017 with the US Department of Commerce investigating the imports of steel and aluminum as a national security threat. Based on this report, the first move was made by the Ministry on February 16, when it recommended the addition of 24% for steel imports and 7.7% for aluminum imports. On March 1, 2018, President Trump officially started the trade war with declaration of the 25% additional customs duty on imported steel and 10% additional cus- toms duty on imported aluminum (Lewis, 2018: 3). The Latin American and Caribbean countries, which cover 8.55% of the world’s population and 13% of the world’s surface area as South America, Central America, and the Caribbean, cover 8% of the total GDP in the world economy. Latin America and the Caribbean region is a geography composed of “backward” countries considering the per capita income level. The long-term growth of the region tends to slow down. Historically, the most important reason for the income differences between the north and south geographies is the lasting effects of colonialism that shape today (Armendáriz and Larraín, 2017: 31-32). When the remaining heritage of colonialism is explored and the causes of the region’s backwardness are examined, it is understandable that the “development theories” come from the Third World. Marxist thought focuses on the relations of production in the colonial period. It examines the link between the pro- ductive forces and the relations of production and explains the location of Latin America and the Caribbean region in the world economy in terms of the peripheralization of capitalism. The production relationship between the central and peripheral countries has developed against the peripheral countries (Kay, 2011: 32). 2 Mini Review Special Issue S4: “Global Trade Wars - A Case of Sino-US Trade War” merj.scholasticahq.com Valuable trade goods such as sugar, silver, and gold discovered in the region are the main elements of the economic structure. Today, the region has the highest share in the worldwide production of valuable trade goods such as copper, oil, soybeans, coffee, and sugar (FAO, 2018). However, the changes in the prices of these goods cause fluctuations in the region’s export-based economy. Labor-intensive production with low technology determines the role of the region in the international division of labor. 1.1. Historical Trade Relations of the Region Pre-Columbian natives, African, and European populations interacted with each other to create a socioeco- nomic structure in Latin America and the Caribbean. The position of the colonial power in the world market, the content of valuable trade goods, the process of transition to wage labor order, structure of the national market are the factors that determine the economic structure of the region. However, the social structure and movements of the region should also be considered. After the colonial period, the region continued to face various external pressures, after Christopher Columbus reached the Bahamas in the name of the King- dom of Spain with three ships and 39 crew members (targeting actually to reach Indian islands) at the end of the fifteenth century. During the twentieth century, the Latin American states, which were under American pressure with the 1823 Monroe Doctrine, had undergone authoritarian rule, US occupation, populist lead- ers, CIA-backed coups, and major economic crises. In the history of the region, socialist and independence discourses as well as authoritarianism, military coups, and antidemocratic formations took place. In the first globalization period after 1870, Latin America and the Caribbean grew by making exports of primary products. After the economic crisis of 1929, there was a state-oriented industrialization in the region. The adoption of import substitution industrialization policies has integrated the region with the world econ- omy after World War II. The oil crisis in the early 1970s and the debt crisis in the 1980s were the years of economic losses in the region. The economy was based on the Washington Consensus principles adopted in the 1980s (except Cuba). High inflation rates and financial crises were the main problems of the 1990s for the region. In this period, economies were tried to adapt to market reforms. The recorded economic data were the result of these policies. The second half of the 2000s was different. The international increase in the prices of precious trade goods and the mobilization in international trade have created economic effects in Latin America and the Caribbean region. Although the 1950s and 1960s, known as the golden age of capitalism, caused different developments for the region, after 1980 there was a different situation. Source: World Bank. Figure 1. (World Bank, 2018a): GDP Growth (Annual%) Latin America & Caribbean. Management and Economics Research Journal 3 Vol. 5, Iss. S4, Pgs. 11, 2019 https://doi.org/10.18639/MERJ.2019.874701 In the period until the oil crisis, the economies of Latin America and the Caribbean followed the policies of import substitution industrialization. Because of these policies, it was an important period in terms of GDP growth. However, the increase in domestic demand could not be maintained. The need for external financing has increased and the import substitution model has been blocked. With the oil crisis of 1973, the increase in oil prices caused the need for external financing in the region. The external defi- cits of the Latin American and Caribbean countries have increased and the debt crisis in the region has Source: World Bank. Source: ECLAC (2013). Figure 2. (World Bank, 2018b): GDP Growth (Annual%) World. Figure 3. (ECLAC, 2013): Latin America and the Caribbean: GDP growth and terms of trade, 1970-2012 (Percentages). 4 Mini Review Special Issue S4: “Global Trade Wars - A Case of Sino-US Trade War” merj.scholasticahq.com reached a serious level when the Federal Reserve increased the interest rates. The share of the manu- facturing sector in value added decreased after the 1980s, which led to a decrease in the growth of the region. When we look at the growth rates between 1980 and 2010, we see that Latin America and the Caribbean regions are growing less than the United States and Asian countries (ECLAC, 2013: 73). Standstill industrial- ization, high inflation, inequality, and balance of payments deficits have been used to explain this situation. Economic structure based on valuable trade goods is also important in explaining the economic situation of the region. Such a structure is subject to fluctuations due to the increase and decrease in the value of the goods. As the export structure of the region is concentrated in the primary products, the determinants of export goods are important in its integration with the world economy. In the post-1980 period, trade liberalization policies were followed in the region. In the period 1985- 1995, tariffs were reduced from 29 to 11% (Tussie, 2011: 321). Trade liberalization policies in the region did not increase export volume. It has increased outward opening rate. Export-based growth policy did not con- tribute significantly to the growth rate. After 1870, the export structure of the region developed on the basis of raw materials and food products. It can be said that this structure still continues. In the 2000s, the importance given to intra-regional trade increased in Central America. The trade of traditional agricultural products was more decisive. Commodity products have gained importance in South America and tourism, and service sectors have gained importance in certain Latin American and Caribbean countries (ECLAC, 2017a, pp. 18-19). The market distribution of regional trade shifted to Asian countries after 1990. Trade relations between Latin America and Caribbean countries and Asia have increased. The US market continues to be important for Mexico and Central America, but China’s share in regional for- eign trade is increasing. It is clear that China has increased its importance in the export of South American countries. 2. CURRENT TRADE RELATIONS OF LATIN AMERICA WITH THE UNITED STATES AND CHINA “China was the second biggest provider of global FDI, after the United States, as its foreign investments increased steadily, particularly acquisitions in the European Union and the United States. China’s ‘Go Global’ strategy, launched more than a decade ago, has consolidated its role as a global player that is integrating into the workings of increasingly sophisticated sec- tors, by actively engaging with new technological trends of the fourth industrial revolution.” (ECLAC, 2017b, p. 11). First column shows the total export value in thousands of US dollars current value, while the second column is for the total import value in thousands of US dollars cur- rent value. Source: The World Integrated Trade Solution (WITS). Figure 4. (World Integrated Trade Solution, updated in 2019a): Latin America & Caribbean Product exports and imports By Country and Region 1990. Management and Economics Research Journal 5 Vol. 5, Iss. S4, Pgs. 11, 2019 https://doi.org/10.18639/MERJ.2019.874701 First column shows the total export value in thousands of US dollars current value, while the second column is for the total import value in thousands of US dollars current value. Source: The World Integrated Trade Solution (WITS). First column shows the total export value in thousands of US dollars current value, while the second column is for the total import value in thousands of US dollars current value. Source: The World Integrated Trade Solution (WITS). First column shows the total export value in thousands of US dollars current value, while the second column is for the total import value in thousands of US dollars current value. Source: The World Integrated Trade Solution (WITS). Figure 5. (World Integrated Trade Solution, updated in 2019b): Latin America & Caribbean Product exports and imports By Country and Region 2000. Figure 6. (World Integrated Trade Solution, updated in 2019c): Latin America & Caribbean Product exports and imports By Country and Region 2010. Figure 7. (World Integrated Trade Solution, updated in 2019d): Latin America & Caribbean Product exports and imports By Country and Region 2017. 6 Mini Review Special Issue S4: “Global Trade Wars - A Case of Sino-US Trade War” merj.scholasticahq.com According to 2017 data, Latin America has exported $116 billion surplus (ECLAC, 2018). The vast major- ity of these exports are Mexico’s exports to the United States. Mexico has $71 billion surplus in its trade with the United States (USTR, 2018). However, the importance of China for Latin America cannot be under- estimated. China is the largest commercial market for Brazil, Chile, and Peru, and the second largest export market for Argentina, Costa Rica, and Cuba (Koleski and Blivas, 2018: 3). Latin America is a very suitable region to provide the raw material used by China in its industry. China is a very important market for Latin America, considering China’s need for food such as soybean and the need for metals such as copper from Latin American countries. China’s raw material demand leads to an increase in trade volume. About 74% of the Latin American and Caribbean exports to the Chinese market are primary products. This shows the great level of China’s need for raw materials. According to the dependency theory, the increase in foreign direct investment (FDI)1 creates a depen- dent development because the investor’s profit is higher than the cost of the investment. Central countries profit from the peripheral countries. Financial liberalization, privatization, and deregulatory policies led to an increase in FDI in the 1990s. However, the region is still the region that attracts the least FDI after Africa (UNCTAD, 2018). America’s investments in Mexico and Central America increased after World War II. It is still the main investor in this region. “According to official statistics, China, which has ramped up its FDI outflows significantly, accounted for just 1.1% of inflows to the region. This figure underestimates the amount of Chi- nese capital in the countries of Latin America and the Caribbean; in fact, when the value of merg- ers and acquisitions in 2016 is taken into account, China was the fourth largest investor in the region, after the United States, the European Union and Canada. Given the major operations that China has undertaken in the first half of 2017, its share is expected to increase next year.” (ECLAC, 2017: 13) The US presence in the region can be read through dependency. Even Latin American countries with strong economies such as Brazil and Mexico are dependent on the US market. Political, economic, and social crises in the region brought instability. The region is rich in raw material resources. Venezuela has significant oil and gas reserves, whereas Brazil is at the forefront of soybean production and freshwater reserves. Mexico, Bolivia, Argentina, Peru, and Chile are important for the natural resources demanded by China, the United States, and the European Union. First column shows the total export value in thousands of US dollars current value, while the second column is for the total import value in thousands of US dollars cur- rent value. Source: The World Integrated Trade Solution (WITS). Figure 8. (World Integrated Trade Solution, updated in 2019e): Latin America & Caribbean Raw materials exports and imports By Country 2017. 1 FDIs, also known as overseas aid, can be understood by international development, globalization, and imperialism. For this reason, it is a fact that economic development and the overseas development assistance initiative depend on the implementation of reforms designed to serve the benefit of the so-called aiders rather than those receiving the aid. Management and Economics Research Journal 7 Vol. 5, Iss. S4, Pgs. 11, 2019 https://doi.org/10.18639/MERJ.2019.874701 China’s active global stance can also be observed by the increase in its presence in Latin America. This noticeable increase in the current relations of China and Latin America was not the case in the past. Latin America and the Caribbean region, which became a US addict with the 1823 Monroe Doctrine, prevented China from establishing its presence in the region. In the aftermath of the Cold War, China began to make the Chinese presence more important with its efficiency in areas such as technology transfer, investment, infra- structure assistance, and trade. Its soft power policies have been widely felt. Latin America and China devel- oped different ties in the history of bilateral relations in which the Cold War could be taken as a milestone. China was founded in 1949 under the name of People’s Republic of China and was isolated by the West. The pro-American anticommunist tendencies of most Latin American countries until the 1970s prevented China from establishing good relations in this region. Thanks to the Monroe Doctrine of 1823, the United States, which was critical in the region, wanted to destroy the communist tendencies in the region by taking steps such as the 1947 Truman Doctrine and 1950 Treaty of Rio and used the region as a backyard during the Cold War (Livingstone, 2009: 19-20). Political support came from China to Fidel Castro’s 1959 Cuban victory. Thereupon Cuba recognized the new Chinese State. Thus, China was able to establish diplomatic relations with one of the countries of the region for the first time. Zhou Enlai, the Chinese prime minister of the time, stated that they were ready to provide all kinds of assistance to Cuba in this struggle (Foran, 2009: 26). Looking at the other Latin American countries, it is seen that they prefer to know Taiwan in the Taiwan issue, which is the most sensitive point of China. The separation of China with the USSR, the Cultural Revo- lution, and the policies pursued by the United States formed the dynamics of bilateral relations. China expe- rienced rapid economic growth in the 1980s thanks to Deng Xiaoping’s policies to improve the economy and increase productivity. This period was recorded as a stable period for Latin America. The US and EU countries imposed sanctions on China on the claim that the way to combat Tiananmen Square incidents was against human rights. Taiwan pursued a policy of joining the UN. To counter the influ- ence of this incident, Chinese President Yang Shangkun visited Uruguay, Brazil, Chile, Mexico, and Argentina (Archive, 1990). Latin America is important for China in terms of natural resources and market. Source: Statista, Chinese FDI in Latin America 2003-2016. Figure 9. (Statista, 2019): Foreign direct investment (FDI) from China in Latin America from 2003 to 2016 (in billion U.S. dollars). 8 Mini Review Special Issue S4: “Global Trade Wars - A Case of Sino-US Trade War” merj.scholasticahq.com Source: Atlantic Council Publications. Figure 10. (Avendano, Melguizo, & Miner, 2017): Sectoral Distribution Of Foreign Direct Investment From China In Latin America. The post-Cold War relations between China and Latin America have shown a different development. The Chinese foreign policy, which adopted the Beijing Accord,2 has made China an attractive economic partner. China became a member of WTO in 2001. By adopting the policy of opening up to the outside, it prepared the ground for developing good relations with Latin America. The US foreign policy, focusing on the Middle East after the September 11 attacks, has enabled China to consolidate its position as an actor in Latin America. The war in Iraq during the Bush administration and the announcement of the US struggle against global terrorism made the US role in the region passive. During Obama’s Asian pivot strategy, China has also been active in Latin America. The fact that China does not try to change the way of life in the region, and that it does not impose social regulation with strict laws such as the United States and EU countries are the factors that support China’s activity in Latin America. China, which opened Confucius Institutes in the region to increase its cultural influence, thinks it will increase its influence by using soft power. Donald Trump’s rhetoric in the election campaign has been worrying for Latin America, which has made China’s position in the region more strategic. Brazil has a very high share in coffee sugar production; Argentina, Ecuador, Venezuela, and Brazil in oil reserves; Chile, Brazil, and Peru in the mining industry; Argentine in soybean and vegetable oil production; and Chile in copper mine reserve, which makes the region very attractive. At this point, the increasing trade deficit between China and Latin America poses a problem. Latin American exports, which operate on the basis of primary product exports, hinder the industrializa- tion activities of Latin America as China meets high-tech product exports to the region. China’s infrastructure investments in Latin America have increased the importance of China as a strategic partner in the region instead of the United States. The main reason why infrastructure investments are so important for China is the need to build roads, bridges, and ports to transport raw materials. According to ILO 2017 report, busi- ness opportunities were created for Latin Americans by Chinese infrastructure projects in Latin America (ILO, 2017). China cooperates with countries that traditionally oppose to intervene in national affairs and in sover- eignty. The United States, on the other hand, turned to stable and secure countries to deepen international liberalism and capitalism. China plans to create its own sphere of influence in the region and to increase 2 Privatization, deregulation, globalization, commercial liberalization, and noninterventionist principles are contained. Management and Economics Research Journal 9 Vol. 5, Iss. S4, Pgs. 11, 2019 https://doi.org/10.18639/MERJ.2019.874701 both its hard and soft power through soft power (Liu & Tsai, 2014, p. 30). This will weaken the US power in the region. Trump-led US policies such as building a barrier on the US–Mexico border, charging tariffs on Mexi- can goods, revising the NAFTA, and annulling the normalization process with Cuba have created concerns and tensions in the region. China, who wanted to fill this gap, had a positive impact on its perception in the region. The United States is still an important power and economic partner in the region, but China’s perception and trust have led China to increase its presence in the region. Projects such as One Belt One Road,3 CELAC, investments, and grants that do not involve the intervention of internal affairs have improved Chinese–Latin American relations. 3. CONCLUSION “Tesla plunged as much as 6.3% to $224.50, the lowest intraday since January 2017, after China defied U.S. President Donald Trump by announcing plans to raise duties on $60 billion worth of American imports starting June 1” (Dey, 2019) At this point, it may be possible to make an analysis of the Sino–US trade war over Latin America. As it is known, world giant brands such as Tesla use Chinese technical infrastructure and technological assistance. Even if the technological infrastructure and intellectual property rights are in the United States, Tesla uses its computer systems from China. It is also clear that these brands will suffer great damage because of new additional customs duties. Because of the ongoing trade war between China and the United States, Tesla is having crucial problems in terms of its production capacity. Indeed, Tesla has repeatedly submitted propos- als to the government for reconciliation and protection. However, the US government does not accept this. It is stated by the Trump government that the systems produced in China puts strategic importance on their Made in China 2025 project; therefore, it is perceived as a challenge to the national interest of the United States. As is known, Made in China 2025 is a project adapted by China to make its influence superior over 10 key industries that the United States is having the superior position on dominating. The US government would suggest Tesla to meet its needs on computer systems working with a firm conducting in the United States; however, it is not so easy to develop a similar technical ground on the computer systems that would affect the safety level of the cars. Therefore, Tesla decided to take Chinese expertise on full self-driving cars upcoming in near future. Here, the US government is experiencing a contradiction. During the election cam- paign, Trump often said that immigrants stole Americans’ jobs, and that US firms producing in China should hire American people in American soil from then on. At the same time, however, the US government is put- ting a commercial challenge on a world brand, such as Tesla, which provides jobs to the American people and most of its buyers are American or Canadian. Apple and Amazon achieved to have exemption position from the tariffs but they have still very strong tie with China on computer systems they use like Tesla does. The Trump administration has pushed for the withdrawal of Google and the Android system from Huawei, and Huawei’s market power, which surpasses Apple, has been tried to be stopped. President Trump’s pres- sure on Britain to prevent Huawei from building its technological infrastructure during his visit to the United Kingdom also shows the frontline of this war. “…According to Stiglitz, globalization has not lived up to its promises. It has not improved lives of the poor. Richer countries demand poor ones to open their market and this caused asymmet- ric weaves which led poorer countries to be worse off. Globalization did not provide benefit for everyone all over the world. International organizations dealing with fiscal and monetary issues such as IMF and World Bank believed that integration of economies could bring stabilization into world economy. However, they were wrong because economy has been experiencing enormous instability as consequence of economic integration. When it comes to China and India, the case occured just the opposite. China and India learned how to get advantage of globalization, they 3 In 2013, the discourse of the project has become widespread, and Latin America is very much requested by China. This project is expected to contribute positively to the regional economy. 10 Mini Review Special Issue S4: “Global Trade Wars - A Case of Sino-US Trade War” merj.scholasticahq.com were very careful and they could manage to benefit of globalization without paying cost of it. China opened itself to FDI but they were so picky. They knew the disadvantage of short term money flows and they did not open themselves to financial transactions and remained selective. Thus, they did not forget development and could manage growth. However, US represents the failure of globalization because poverty has remained at a high level and growth rate was disap- pointing. Minimalization of government role in economy and privatizations, they all led US to fail.” (Ökten, 2019: 116) What is the position of Latin America in this war? If we go step by step, it is necessary to discuss how the United States might obtain the opportunity from the negative consequences of not granting privileges to the multinational companies producing in China. The course of the trade war is increasingly directed at the United States trying to achieve unity within the continent rather than isolating itself.4 In fact, the renewed NAFTA Treaty and the decisions of the trade relations of Latin American countries to stretch in the commer- cial dimension confirm this. In this case, is it possible to say that these giant brands producing in China are encouraged to shift their production capacity to the Latin American region that is more advantageous in terms of logistics and trade? Do we witness that the US government’s preelection stance on Latin America has been transformed into a different rhetoric since the start of the trade war and that the “backyard” themed Latin American profile of the Cold War era has been rebuilt? I have mentioned that the trade relationship China has developed with Latin America has developed an uneven dependence on export products. Can this be read as a precaution China has taken in the face of this new production relationship that the United States is trying to create? It is difficult to predict what time will show, because every day different actors and new moves are on the stage, but it is quite possible that the United States and China will show power over Latin America in this trade war. However, Latin America should not choose a side between these two giants clashing with each other and follow the course of the game and overcome the situation with the least dam- age to its economy with appropriate and short-term moves and minimize unbalanced dependent relations. Acknowledgment No financial or material support. Conflict of Interest None. References Archive AN. 1990. China’s President to visit five Latin American countries. AP News. 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China’s soft power strategy in Southeast Asia and its challenges. Revista Brasileira de Política Internacional 57: 28-48. Livingstone G. 2009. America’s Backyard: The United States and Latin America from the Monroe Doctrine to the War on Terror. Latin America Bureau: London. Ökten N. 2019. Incorporation to modern world system case study: China. International Journal of Economics, Politics, Humanities & Social Sciences 2(2): 107-120. Statista. 2018. Foreign direct investment (FDI) from China in Latin America from 2003 to 2016 (in billion U.S. dollars). Available at: https://www.statista.com/statistics/733319/china-fdi-latin-america/ Tussie D. 2011. Latin America in the world trade system. In The Oxford Handbook of Latin American Economics, Ocampo JA, Ros J (eds). Oxford University Press: London. UNCTAD. 2018. FDI inflows 1990-2017. Available at: https://unctad.org/en/Pages/DIAE/World%20Investment%20Report/ Annex-Tables.aspx USTR. 2018. U.S.-Mexico trade facts. Office of the United States Trade Representative. Available at: https://ustr.gov/ countries-regions/americas/mexico W. B. 2018a. GDP growth annual Latin America & Caribbean. Available at: https://data.worldbank.org/indicator/NY.GDP. MKTP.KD.ZG?end52017&locations5ZJ&start51961&view5chart W. B. 2018b. GDP growth annual World. Available at: https://data.worldbank.org/indicator/NY.GDP.MKTP.KD.ZG World Integrated Trade Solution. 2019a. World trade summary 1990 data. Available at: https://wits.worldbank.org/ CountryProfile/en/Country/WLD/Year/1990/Summary World Integrated Trade Solution. 2019b. Latin America & Caribbean trade summary 2000 data. Available at: https://wits. worldbank.org/CountryProfile/en/Country/LCN/Year/2000/Summary World Integrated Trade Solution. 2019c. Latin America & Caribbean trade summary 2010 data. Available at: https://wits. worldbank.org/CountryProfile/en/Country/LCN/Year/2010/Summary World Integrated Trade Solution. 2019d. Latin America & Caribbean trade summary 2017 data. Available at: https://wits. worldbank.org/CountryProfile/en/Country/LCN/Year/2017/Summary World Integrated Trade Solution. 2019e. Latin America & Caribbean raw materials exports and imports by country and region 2017. Available at: https://wits.worldbank.org/CountryProfile/en/Country/LCN/Year/2017/TradeFlow/EXPIMP/ Partner/All/Product/UNCTAD-SoP1 Biographical Note Nilay Yildiz is an Academic working as a Research Assistant at Marmara University in Istanbul, who conducts studies on political economy, Latin America, Mexican history, Marxist theory, dependency, and world-systems theory. Academic studies and activities of the author in the field can be followed at the following addresses: https://www.researchgate.net/profile/Nilay_Yildiz https://dergipark.org.tr/en/pub/@nilayyildiz https://marmaraedu.academia.edu/Nilay%C3%96kten https://avesis.marmara.edu.tr/nilay.okten/dokumanlar 
work_la5qjrvud5b3hlhjxlfbezeswy	----	Longitudinal association between toenail zinc levels and the incidence of diabetes among American young adults: The CARDIA Trace Element Study 1Scientific RepoRts | 6:23155 | DOI: 10.1038/srep23155 www.nature.com/scientificreports Longitudinal association between toenail zinc levels and the incidence of diabetes among American young adults: The CARDIA Trace Element Study Jong Suk Park1,2, Pengcheng Xun1, Jing Li1, Steve J. Morris3, David R. Jacobs4, Kiang Liu5 & Ka He1 Data on primary prevention of zinc status and diabetes risk are sparse and inconsistent. Of note, the previous studies measured either dietary zinc intake with questionnaire or zinc status in serum or hair. Toenail zinc levels are reliable biomarkers of a relatively long-term exposure. A total of 3,960 American young adults, aged 20–32 years, free of diabetes at baseline in 1987 when toenail clippings were collected, were examined for incident diabetes through 2010. Toenail zinc levels were measured with an inductively-coupled-plasma mass spectroscopy method. Incident diabetes cases were identified by fasting or non-fasting plasma glucose levels, oral glucose tolerance tests, hemoglobin A1C levels, and/or antidiabetic medications. During the 23-year follow-up, 418 incident diabetes occurred. After adjusted for age, sex, ethnicity, study center, body mass index, education, smoking status, alcohol consumption, physical activity, family history of diabetes, homeostasis model assessment of insulin resistance, and other dietary and non-dietary potential confounders, the hazard ratio of incident diabetes comparing the highest to the lowest quartile of toenail zinc levels was 1.21 (95% CI: 0.90–1.63; Ptrend = 0.20). Findings from this study do not support the hypothesis that zinc status is inversely and longitudinally associated with the incidence of diabetes in American young adults. The prevalence of diabetes mellitus is increasing rapidly all over the world and has become a major public health concern. Many factors including diet have been recognized to be associated with the risk of diabetes. Zinc is an essential micronutrient, which is important for cellular growth and maintenance of biological processes. Zinc lev- els in pancreatic islet cells are tightly regulated, so that dysregulation of zinc metabolism could affect the synthesis and secretion of insulin as well as glycemic control1–3. Thus, it has been hypothesized that zinc status is inversely related to diabetes risk. Previous studies investigated zinc status in diabetic patients and findings were controversial. Some studies showed no difference in zinc levels between diabetic patients and apparently healthy controls4,5, while other stud- ies reported that diabetes was strongly associated with zinc deficiency3,6–8. Data on primary prevention of zinc sta- tus and diabetes risk are sparse and inconsistent. Two cohort studies reported that dietary zinc intake is associated with lower risk of type 2 diabetes9,10. Recently, another cohort study found that higher serum zinc was associated with higher risk of type 2 diabetes11. However, another cohort study conducted in a Chinese population found no association between dietary zinc intake and hyperglycemia12. To date, one Cochrane review based on three intervention studies found that zinc supplementation was not related to incidence of diabetes13. 1Department of Epidemiology and Biostatistics, School of Public Health–Bloomington, Indiana University, Bloomington, Indiana, USA. 2Department of Endocrinology and Metabolism, Yonsei University College of Medicine, Seoul, Republic of Korea. 3The Research Reactor Center, University of Missouri-Columbia and Harry S. Truman Memorial Veterans Hospital, Columbia, Missouri, USA. 4Division of Epidemiology and Community Health, School of Public Health, University of Minnesota, Minneapolis, Minnesota, USA. 5Department of Preventive Medicine, Feinberg School of Medicine, Northwestern University, Chicago, Illinois, USA. Correspondence and requests for materials should be addressed to K.H. (email: kahe@indiana.edu) Received: 06 December 2015 Accepted: 25 February 2016 Published: 16 March 2016 OPEN mailto:kahe@indiana.edu www.nature.com/scientificreports/ 2Scientific RepoRts | 6:23155 | DOI: 10.1038/srep23155 Of note, the previous studies either measured dietary zinc intake with questionnaire or zinc status in serum or hair. Because of the large variation, questionnaire may not be able to capture zinc intake. Also, the exposure time frame reflected by serum zinc is relatively short14. Human hair has been used as a biomarker of zinc status in the studies of diabetes15,16. However, hair analysis is prone to be affected by cosmetic procedures such as dye- ing, bleaching and permanent waving that alter trace element content in hair17. In fact, hair as a biomarker for assessing trace element status has been questioned18–20. By contrast, toenail zinc levels are reliable biomarkers of a relatively long-term exposure and have been used in other studies21–23. In addition, study has indicated a good reproducibility of toenail zinc level over a 6-year period24. Therefore, we prospectively investigated toenail zinc levels in relation to the incidence of diabetes in a large cohort of American young adults using data from the Coronary Artery Risk Development in Young Adults (CARDIA) Study. Methods The CARDIA study is a multi-center, prospective study to investigate risk factors for cardiovascular disease in American young adults. The detailed information on the study design and protocol has been published25. Briefly, 5,114 African American and Caucasian men and women, aged 18–30 years, were enrolled from 4 US cities (Birmingham, AL; Chicago, IL; Minneapolis, MN and Oakland, CA) from 1985 to 1986. Seven follow-up exam- inations have been conducted in 1987/88, 1990/91, 1992/93, 1995/96, 2000/01, 2005/06, and 2010/11. About 68.4% (3,499/5,114) of participants in the original cohort returned in 2010/11 examination, which resulted in an average follow-up rate of 94.6% between two adjacent visits. The study design, data collection, and analyses were approved by the institutional review boards at all the participating institutions: the University of Alabama at Birmingham, the University of Minnesota, Northwestern University, and Kaiser Permanente, and written informed consent was obtained from all participants. And all the methods were carried out in accordance with the approved guidelines. Study population. Study population is 4,362 CARDIA participants who provided toenail clippings in 1987/88. At baseline, we excluded participants who had diabetes (n = 11); participants with missing data on important covariates (n = 182) [including glucose (n = 66), alcohol consumption (n = 1), body mass index (BMI) (n = 2), magnesium and long chain n-3 polyunsaturated fatty acid (LCn-3PUFAs) intake (n = 98), and family history of diabetes (n = 15)]; those who had insufficient information for defining incident diabetes during the follow-up (n = 3); and women who were pregnant at any examination (n = 206). After these exclusions, a total of 3,960 participants remained in the analysis. Assessment of toenail zinc. Toenail clippings were collected with a stainless-steel clipper from all 10 toes by the participants themselves during the clinical examination in 1987 and stored. All toenail clippings were processed with a washing procedure in a sonicator with deionized water. Toenail zinc levels were measured by the Inductively-Coupled-Plasma Mass Spectroscopy method at the University of Missouri Research Reactor26. Toenail samples were analyzed in random order by the laboratory personnel blinded to other clinical measures. The coefficient of variation in duplicated subsamples for the toenail zinc measure was 6.5% in the present study. A study showed that Spearman correlation coefficient for the reproducibility of toenail zinc over 6 years was 0.5824. Assessment of glucose, insulin, HOMA-IR, OGTT, and HbA1c. Fasting plasma glucose and insulin levels were determined by the hexokinase ultraviolet method and radioimmunoassay, respectively, at exam years 0, 7, 10, 15, 20, and 25. To assure comparability of plasma glucose and insulin across examinations, they were recalibrated, which was described in detail previously27. Homeostasis model assessment of insulin resistance (HOMA-IR) was calculated as glucose (mmol/L) × insulin (mU/L)/22.5. Two-hour plasma glucose levels were measured from a standard 2-hour oral glucose tolerance test (OGTT) at years 10, 20 and 25. Glycated hemoglobin (HbA1c) was assessed using a Tosoh G7 high performance liquid chromatography instrument (Tosoh Bioscience) at years 20 and 25. The inter-assay CVs were 2.0–3.0%. Ascertainment of diabetes. At any follow-up examination, participants with one or more of the follow- ings were determined as having incident diabetes: 1) fasting plasma glucose ≥ 7.0 mmol/L; 2) non-fasting plasma glucose ≥ 11.1 mmol/L; 3) postprandial 2-hour plasma glucose ≥ 11.1 mmol/L from an OGTT; 4) HbA1c ≥ 6.5% (≥ 48 mmol/mol); or 5) reported use of antidiabetic medications, which were verified by medication names28. We could not clearly distinguish diabetes type, because some participants were young at diagnosis and used insulin as treatment. Therefore, we used the term “diabetes” rather than “type 2 diabetes”, but the great majority of cases were type 2 diabetes. Measurement of other covariates. Age, gender, ethnicity, education level, smoking status, and alco- hol consumption were self-reported, obtained by interview or self-administered questionnaire. Smoking sta- tus was classified into three groups: never, former, and current smokers. Alcohol consumption was classified into four groups according to total daily intake: never, 0.1–9.9, 10–19.9, and ≥ 20 g/day. Body weight and height were directly measured in light clothes without shoes, BMI was calculated as weight (kg) divided by height squared (m2). Physical activity was assessed using the CARDIA Physical Activity History Questionnaire, an interviewer-based self-report of frequency of participation in each of 13 categories of sports and exercise over the previous 12 months. A score of 100 exercise units (EU) is approximately equivalent to participation in vigor- ous activity for 2–3 hours/week during 6 months of the year29,30. Family history of diabetes was defined as either mother or father having diabetes. www.nature.com/scientificreports/ 3Scientific RepoRts | 6:23155 | DOI: 10.1038/srep23155 Assessment of zinc intake and other dietary factors. Briefly, we collected dietary data, including zinc intake and assessed three times at baseline, exam years 7 and 20, using a validated interviewer-administered CARDIA Diet History Questionnaire. Information on supplement use was also collected. Zinc intake represented the sum of dietary zinc intake and zinc supplementation. The details of dietary assessment and validation in CARDIA have been described previously31,32. Statistical analysis. Distributions of baseline characteristics categorized by quartiles of toenail zinc levels were described by mean (standard deviations), median (inter-quartile ranges), or percentage, whichever was proper. The difference across categories of toenail zinc concentration was compared using analysis of variance, Kruskal-Wallis test, or chi-squared test as appropriate. We calculated the incidence of diabetes according to the quartiles of toenail zinc levels. Participants contrib- uted to person-time from the baseline to the time when a case was identified, a participant was censored, or the end of the study, whichever came first. Cox proportional hazards models were used to estimate the hazard ratios (HRs) and 95% confidence intervals (CIs) of the incident diabetes. Owing to the limited literature on this research topic, potential confounders were identified mainly based on statistical tests and our previous knowledge in stud- ying zinc in relation to other health end points. We considered several sequential models in the main analysis: The initial analysis (model 1) was adjusted for age, sex, ethnicity, study center, BMI and baseline HOMA-IR. In model 2, we further adjusted for education, smoking status, alcohol consumption, physical activity, and family history of diabetes. In model 3, we additionally adjusted for intakes of LCn-3PUFAs and magnesium, and toenail levels of selenium, mercury and chromium. Continuous variables were created using the median values in each quartile for trend tests. In addition, we explored possible interactions between toenail zinc concentrations and pre-specified poten- tial effect modifiers by adding corresponding multiplicative interaction terms in the models, followed by the likelihood ratio test. If the interaction was statistically significant, we reported stratified results. Moreover, we did several sensitivity analyses to test the robustness of our results. First, we substituted waist circumference for BMI in the models. Second, because the cutoff point of fasting glucose for defining diabetes was changed from 140–126 mg/dL in 1997, we used a cutoff point of 140 mg/dL at exam years before 1997. Third, considering diabe- tes may also cause the change in zinc metabolism, we excluded the baseline HOMA-IR from the model. All analyses were carried out by using SAS 9.4 (SAS Institute, Inc., Cary, NC, USA). All tests were two sided and P ≤ 0.05 was considered statistically significant. Results A total of 3,960 participants were divided into four groups according to their toenail zinc concentrations. Baseline clinical and biochemical characteristics of the study population were presented in Table 1. The median values of Characteristics Quartiles of toenail zinc levels Total P value†Q1(lowest) Q2 Q3 Q4 (highest) n 991 994 986 989 3,960 – Toenail zinc (μg/g) 31.20 (22.40–37.70) 49.60 (46.60–52.40) 61.10 (58.50–64.40) 77.50 (71.40–87.10) 55.50 (42.80–67.50) – Toenail selenium (μg/g) 0.80 (0.72–0.90) 0.83 (0.75–0.92) 0.86 (0.77–0.95) 0.86 (0.78–0.96) 0.84 (0.75–0.94) < 0.01 Toenail mercury (μg/g) 0.19 (0.11–0.32) 0.20 (0.12–0.36) 0.23 (0.14–0.40) 0.24 (0.13–0.41) 0.21 (0.12–0.37) < 0.01 Toenail chromium (μg/g) 0.47 (0.21–1.01) 0.55 (0.25–1.22) 0.54 (0.28–1.15) 0.63 (0.34–1.43) 0.55 (0.26–1.21) < 0.01 Age (year) 26.60 ± 3.70 26.96 ± 3.57 27.28 ± 3.53 27.29 ± 3.61 27.03 ± 3.61 < 0.01 Female (%) 54.39 49.30 51.42 53.69 52.20 0.09 African American (%) 56.91 51.51 43.81 39.23 47.88 < 0.01 Current smoker (%) 19.48 21.83 21.10 21.54 20.98 0.58 Physical activity score (EU) 288 (140–510) 336 (179–541) 328 (179–532) 327 (190–556) 322 (168–535) < 0.01 Education (year) 14.06 ± 2.19 14.16 ± 2.32 14.29 ± 2.46 14.44 ± 3.63 14.24 ± 2.72 0.01 BMI (kg/m2) 25.07 ± 5.64 25.15 ± 5.29 25.10 ± 5.10 25.45 ± 5.52 25.19 ± 5.39 0.36 FH of diabetes (%) 29.57 27.57 26.27 27.91 27.83 0.44 Insulin (μU/mL) 10.88 ± 7.55 11.22 ± 9.13 10.30 ± 7.91 10.37 ± 7.06 10.69 ± 7.96 0.03 Glucose (mg/dL) 81.09 ± 8.60 81.89 ± 8.50 82.52 ± 8.12 81.78 ± 7.88 81.82 ± 8.30 < 0.01 HOMA-IR (μU/mL · mg/dL) 1.56 ± 1.15 1.62 ± 1.39 1.50 ± 1.25 1.50 ± 1.08 1.55 ± 1.22 0.07 Energy intake (kcal/day) 2798.51 ± 1349.55 2896.95 ± 1357.13 2861.47 ± 1337.46 2752.53 ± 1275.45 2827.41 ± 1330.99 0.07 Alcohol intake (ml/day) 3.39 (0.00–13.20) 5.07 (0.00–16.23) 6.09 (0.00–16.23) 5.41 (0.00–16.93) 5.07 (0.00–15.90) < 0.01 LCn-3PUFA intake (g/day) 0.12 ± 0.24 0.11 ± 0.14 0.12 ± 0.17 0.12 ± 0.15 0.12 ± 0.18 0.82 Magnesium intake (mg/day) 361.55 ± 179.65 395.19 ± 194.78 406.91 ± 214.33 402.61 ± 206.57 391.57 ± 199.95 < 0.01 Table 1. Baseline characteristics by quartiles of toenail zinc levels, the CARDIA Trace Element Study, 1987–2010 (n = 3,960)*. Abbreviations: BMI: body mass index; CARDIA: Coronary Artery Risk Development in Young Adults; EU: exercise unit; FH: family history; HOMA-IR: homeostatic model assessment–insulin resistance; LCn-3PUFA: long chain omega-3 polyunsaturated fatty acid. *Data are medians (inter-quartile ranges), means ± standard deviations or proportions. †P values are for any difference across the quartiles of toenail zinc levels by using analysis of variance, Kruskal-Wallis test, or chi-squared test as appropriate. www.nature.com/scientificreports/ 4Scientific RepoRts | 6:23155 | DOI: 10.1038/srep23155 toenail zinc across quartiles were 31.2, 49.6, 61.1, and 77.5 μg/g. Compared with participants in the lowest quartile of toenail zinc concentrations, those in the highest quartile were slightly older and more likely to be Caucasians, exercised more, drank more, had a higher education level, and higher levels of fasting glucose, toenail selenium, mercury and chromium, and lower levels of fasting insulin. In addition, participants with higher toenail zinc levels consumed more magnesium. During the 23 years of follow-up, 418 incident cases of diabetes were identified, including 265 cases deter- mined by fasting glucose criteria and 3, 48, 62 and 40 cases determined by non-fasting glucose, 2-hour glucose after OGTT, HbA1c and anti-diabetic medication use criteria, respectively. A non-significant association was found between toenail zinc levels and the incidence of diabetes after adjust- ment for demographic and major lifestyle variables, including BMI (Table 2). As compared with participants in the lowest quartile of toenail zinc, the fully adjusted hazard ratios of incident diabetes from the second to the fourth quartiles were 1.14 (95% CI: 0.85, 1.52), 1.17 (95% CI: 0.87, 1.59), and 1.21 (95% CI: 0.90, 1.63), respec- tively (P for linear trend = 0.20). We further explored the association between dietary zinc intake and diabetes risk. Similarly, no significant association was observed (Appendix Table). After multivariable adjustment, the hazard ratios of incident dia- betes across quartiles of dietary zinc intake were 1.00 (reference), 1.03 (95% CI: 0.76, 1.39), 0.97 (95% CI: 0.67, 1.42), and 1.27 (95% CI: 0.81, 2.01), respectively (P for linear trend = 0.23). Since two previous studies reported an inverse association between dietary zinc intake and incidence of diabetes9,10, we pooled the results from these two studies with our findings. The combined hazards ratio of diabetes was 0.85 (95% CI: 0.57, 1.26) compared the highest to the lowest zinc intake group. Our findings were not materially modified by race, sex and weight status (data not shown). In the sensitivity analyses, the results were not appreciably changed when we substituted waist circumference for BMI in the mod- els. In addition, the findings remained when we used different definitions of diabetes based on the time period of the examination. Moreover, excluding baseline HOMA-IR from the model did not change the results materially, either (data not shown). Conclusions In this large cohort study, we prospectively investigated toenail zinc concentration and dietary zinc intake in relation to the incidence of diabetes among American young adults. No significant associations were observed between toenail zinc or dietary zinc intake and diabetes incidence during 23 years of follow-up. Previous studies found that serum zinc levels in people with diabetes were lower than that in people without diabetes in the control group6–8. The possible explanations were that urinary excretion of zinc might increase and intestinal reabsorption of endogenous zinc might be impaired in people with diabetes33,34. A systematic review published in 2012 summarized data from 3 studies on type 1 diabetes and 22 studies on type 2 diabetes, and concluded that zinc supplementation has beneficial effects on glycemic control35. However, in apparently healthy individuals, no significant reduction in glucose concentration following zinc supplementation was observed36–38, which is generally consistent with our findings. In addition, clinical trials have failed to demonstrate that zinc supplementation will reduce the incidence of type 2 diabetes mellitus12. To date, two cohort studies examined the longitudinal association between dietary zinc intake and the inci- dence of type 2 diabetes9,10. Using data from the Nurses’ Health Study, Sun et al. reported that zinc intake was inversely associated with incidence of type 2 diabetes, though the generalizability may be limited by the fact that the great majority of participants are white nurses9. Findings from Sun et al. were supported by a study among 8,921 Australian women, aged 45–50 years, with 6 years of follow-up10. Nevertheless, when we pooled the results from these two studies with findings in our study, no significant association was found between dietary zinc Quartile of toenail zinc levels P for linear trend† Q1 (lowest) Q2 Q3 Q4 (highest) Toenail zinc (μg/g) < 42.9 42.9–55.4 55.5–67.5 > 67.6 No. of participants 991 994 986 989 No. of events 107 103 99 109 Model 1‡ 1.00 1.10 (0.83, 1.46) 1.13 (0.84, 1.52) 1.22 (0.91, 1.62) 0.18 Model 2§ 1.00 1.13 (0.85, 1.50) 1.15 (0.86, 1.56) 1.21 (0.90, 1.62) 0.20 Model 3|| 1.00 1.14 (0.85, 1.52) 1.17 (0.87, 1.59) 1.21 (0.90, 1.63) 0.20 Table 2. Multivariable-adjusted HRs and 95% CIs for incidence of diabetes by quartiles of toenail zinc levels, the CARDIA Trace Element Study, 1987–2010 (n = 3,960)*. Abbreviations: BMI: body mass index; CI: confidence interval; HOMA-IR: homeostatic model assessment – insulin resistance; HR: hazard ratio; LCn-3PUFA: long chain omega-3 polyunsaturated fatty acid. *All models were constructed by using Cox proportional hazards model. †Medians of zinc in each quartile were used for testing the linear trend. ‡Model 1: adjustment for age (continuous), gender, ethnicity (African American or Caucasian), study center, BMI (continuous) and baseline HOMA-IR (quartiles). §Model 2: model 1 with additional adjustment for education (continuous), smoking status (never smokers, former smokers, or current smokers), alcohol consumption (0, 0.1–9.9, 10.0–19.9 or ≥ 20 g/day), physical activity (quartiles) and family history of diabetes (yes or no). ||Model 3: model 2 with additional adjustment for intakes (quartiles) of LCn-3PUFAs and magnesium, and toenail elements (quartiles) including selenium, mercury and chromium. www.nature.com/scientificreports/ 5Scientific RepoRts | 6:23155 | DOI: 10.1038/srep23155 intake and diabetes risk. Of note, dietary zinc intake quantified by the food frequency questionnaire may not be able to capture the accurate zinc intake due to the relatively large variation of zinc content in food15. In the present study, we do not find any significant association between toenail zinc concentration or dietary zinc intake and the incidence of diabetes. There may be a few possible explanations for the null findings: 1) random measurement errors in both toenail zinc and zinc intake may attenuate any potential association39,40; 2) although the advantage of toenails as a long-term exposure biomarker of zinc status has been recognized15,24, one toenail zinc measurement at baseline may not reflect the changes in zinc status during the follow-up. Since the changes are likely to be non-differential, the possible association may be attenuated; 3) comparing to previous studies9–11, average zinc intake in the present study was substantially higher. For example, the average dietary zinc intake were 9.4 mg/day (median) in the Nurses’ Health Study9, and 10.66 mg/day (mean) in the Australian Longitudinal Study on Women’s Health10, while mean dietary zinc intake in our study was 16.7 mg/day. As a result, participants even in the lowest zinc group may have already obtained the maximal benefit, further increase in zinc status or intake may not provide additional benefit; and 4) a negative confounder, i.e. a factor with an opposite association with zinc status and incidence of diabetes, could bias any possible association towards the null. However, the likelihood should be small since we carefully considered a number of potential confounding factors in the analyses41. The strengths of our study include a long-term prospective study design, a large cohort of young adults, and well balanced for gender and ethnicity. The previous cohort studies were conducted in Caucasian women or Asian population. Our study adds additional information on men and African American. Also, both zinc intake and toenail zinc concentration were measured and the results were consistent. In addition, our diabetes cases were not self-reported, but defined mainly based on fasting and non-fasting glucose levels, postprandial glucose levels from an OGTT and HbA1c measurements besides antidiabetic medications. Our study also has limitations. First, the possibility of confounding from unknown or unmeasured factors cannot be completely excluded. Second, toenail zinc concentrations were only measured once at baseline. Thus, we were unable to study any change in zinc levels in relation to the incidence of diabetes. For example, if partici- pants with low zinc levels at baseline increased zinc intakes later on, any possible association would be attenuated. Finally, the young participants in the present study were recruited from urban areas, the generalizability may be limited. However, the CARDIA sampling frame insures desired population balance at baseline, and thus the population can be considered representative of the baseline city populations. In conclusion, in this cohort of American young adults, we did not find any significant longitudinal associa- tion between toenail zinc levels or dietary zinc intake and the incidence of diabetes. Our results do not support the hypothesis that zinc may contribute to the reduction of diabetes risk. References 1. Chausmer, A. B. Zinc, insulin and diabetes. J Am Coll Nutr 17, 109–115 (1998). 2. Kelleher, S. L., McCormick, N. H., Velasquez, V. & Lopez, V. Zinc in specialized secretory tissues: Roles in the pancreas, prostate, and mammary gland. Adv Nutr 2, 101–111 (2011). 3. Kinlaw, W. B., Levine, A. S., Morley, J. E., Silvis, S. E. & McClain, C. J. Abnormal zinc metabolism in type 2 diabetes mellitus. Am J Med 75, 273–277 (1983). 4. Ekmekcioglu, C. et al. 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M., Willett, W. C. & Hu, F. B. Prospective study of zinc intake and risk of type 2 diabetes in women. Diabetes Care 32, 629–634 (2009). 10. Vashum, K. P. et al. Is dietary zinc protective for type 2 diabetes? Results from the Australian longitudinal study on women’s health. BMC Endocr Disord 13, 40, doi: 10.1186/1472-6823-13-40 (2013). 11. Yary, T., Virtanen, J. K., Ruusunen, A., Tuomainen, T. P. & Voutilainen, S. Serum zinc and risk of type 2 diabetes incidence in men: The Kuopio Ischaemic Heart Disease Risk Factor Study. J Trace Elem Med Biol 33, 120–124 (2016). 12. Shi, Z. et al. Zinc intake and the risk of hyperglycemia among Chinese adults: the prospective Jiangsu Nutrition Study (JIN). J Nutr Health Aging 14, 332–335 (2010). 13. El Dib, R. et al. Zinc supplementation for the prevention of type 2 diabetes mellitus in adults with insulin resistance. Cochrane Database Syst Rev 5, CD005525, doi: 10.1002/14651858.CD005525.pub3 (2015). 14. He, K. Trace elements in nails as biomarkers in clinical research. Eur J Clin Invest 41, 98–102 (2011). 15. Singh, R. B. et al. Current zinc intake and risk of diabetes and coronary artery disease and factors associated with insulin resistance in rural and urban populations of North India. J Am Coll Nutr 17, 564–570 (1998). 16. Skalnaya, M. G. & Demidov, V. A. Hair trace element contents in women with obesity and type 2 diabetes. J Trace Elem in Med Biol 21, S59–S61 (2007). 17. Jurado, C., Kintz, P., Menendez, M. & Repetto, M. Influence of the cosmetic treatment of hair on drug testing. Int J Legal Med 110, 159–163 (1997). 18. Hambidge, K. M. Hair analyses: worthless for vitamins, limited for minerals. Am J Clin Nutr 36, 943–949 (1982). 19. Barrett, S. Commercial hair analysis. Science or scam? JAMA 254, 1041–1045 (1985). 20. Klevay, L. M., Bistrian, B. R., Fleming, C. R. & Neumann, C. G. Hair analysis in clinical and experimental medicine. Am. J. Clin. Nutr. 46, 233–236 (1987). 21. Gonzalez, A., Peters, U., Lampe, J. W., Satia, J. A. & White, E. Correlates of toenail zinc in a free-living US population. Ann Epidemiol 18, 74–77 (2008). www.nature.com/scientificreports/ 6Scientific RepoRts | 6:23155 | DOI: 10.1038/srep23155 22. Martin-Moreno, J. M. et al. Heavy Metals and Myocardial Infarction Study Group. Myocardial infarction risk in relation to zinc concentration in toenails. Br J Nutr 89, 673–678 (2003). 23. Garland, M. et al. Toenail trace element levels and breast cancer: a prospective study. Am J Epidemiol 144, 653–660 (1996). 24. Garland, M. et al. Toenail trace element levels as biomarkers: reproducibility over a 6-year period. Cancer Epidemiol Biomarkers Prev 2, 493–497 (1993). 25. Friedman, G. D. et al. CARDIA: study design, recruitment, and some characteristics of the examined subjects. J Clin Epidemiol 41, 1105–1116 (1988). 26. Batista, B. L. et al. Simultaneous determination of Cd, Cu, Mn, Ni, Pb and Zn in nail samples by inductively coupled plasma mass spectrometry (ICP-MS) after tetramethylammonium hydroxide solubilization at room temperature: comparison with ETAAS. Talanta 76, 575–579 (2008). 27. He, K. et al. Mercury exposure in young adulthood and incidence of diabetes later in life: the CARDIA Trace Element Study. Diabetes Care 36, 1584–1589 (2013). 28. American Diabetes Association. Diagnosis and classification of diabetes mellitus. Diabetes Care 37, S81–S90 (2014). 29. Pereira, M. A. et al. A collection of Physical Activity Questionnaires for health-related research. Med. Sci. Sports Exerc 29, S1–S205 (1997). 30. Schmitz, K. H., Jacobs D. R. Jr., Leon, A. S., Schreiner, P. J. & Sternfeld, B. Physical activity and body weight: associations over ten years in the CARDIA study. Coronary Artery Risk Development in Young Adults. Int J Obes Relat Metab Disord 24, 1475–1487 (2000). 31. Liu, K. et al. A study of the reliability and comparative validity of the CARDIA dietary history. Ethn Dis 4, 15–27 (1994). 32. McDonald, A. et al. The CARDIA dietary history: development, implementation, and evaluation. J Am Diet Assoc 91, 1104–1112 (1991). 33. Cunningham, J. J., Fu, A., Mearkle, P. L. & Brown, R. G. Hyperzincurea in individuals with insulin-dependent diabetes mellitus: concurrent zinc status and the effect of high dose zinc supplementation. Metabolism. 43, 1558–1562 (1994). 34. Salgueiro, M. J. et al. Zinc and diabetes. Biol Trace Elem Res 81, 215–228 (2001). 35. Jayawardena, R. et al. Effects of zinc supplementation on diabetes mellitus: a systematic review and meta-analysis. Diabetol Metab Syndr 4, 13, doi: 10.1186/1758-5996-4-13 (2012). 36. Czernichow, S. et al. Antioxidant supplementation does not affect fasting plasma glucose in the Supplementation with Antioxidant Vitamins and Minerals (SU.VI.MAX) study in France: association with dietary intake and plasma concentrations. Am J Clin Nutr 84, 395–399 (2006). 37. Oh, H. M. & Yoon, J. S. Glycemic control of type 2 diabetic patients after short-term zinc supplementation. Nutr Res Pract 2, 283–288 (2008). 38. Arsenault, J. E. et al. Longitudinal measures of circulating leptin and ghrelin concentrations are associated with the growth of young Peruvian children but are not affected by zinc supplementation. Am J Clin Nutr 86, 1111–1119 (2007). 39. Lonnerdal, B. Dietary factors influencing zinc absorption. J Nutr 130, S1378–S1383 (2000). 40. Hambidge, K., Miller, L., Tran, C. & Krebs, N. Measurements of zinc absorption: application and interpretation in research designed to improve human zinc nutriture. Int J Vitam Nutr Res 75, 385–393 (2005). 41. Xun, P., Liu, K., Morris, J.S., Daviglus, M.L. & He, K. Longitudinal association between toenail selenium levels and measures of subclinical atherosclerosis: the CARDIA Trace Element Study. Atherosclerosis 210, 662–667 (2010). Acknowledgements This study was partially supported by grants from the NIH (R01HL081572 and R01ES021735). The Coronary Artery Risk Development in Young Adults Study (CARDIA) is supported by contracts HHSN268201300025C, HHSN268201300026C, HHSN268201300027C, HSN268201300028C, HHSN268201300029C, and HHSN268200900041C from the National Heart, Lung, and Blood Institute (NHLBI), the Intramural Research Program of the National Institute on Aging (NIA) and an intra-agency agreement between NIA and NHLBI (AG0005). Dr. Jong Suk Park was supported by Yonsei University College of Medicine, South Korea. The authors thank Dr. Frederickson (NeuroBioTex, Inc., 101 Christopher Columbus Blvd., Galveston, TX 77550, USA) for helpful comments of toenail zinc. The authors also thank the other investigators and the staff of the CARDIA Study for valuable contributions. Author Contributions The authors’ responsibilities were as follows — K.H. study concept and design, drafting the manuscript and data interpretation; J.S.P. drafting the manuscript and data interpretation. P.X. data analysis supervision and interpretation, and drafting the manuscript. J.L. data analysis, and preparation of the tables. J.S.P., P.X., J.L., J.S.M., D.R.J., K.L. and K.H. contributed to the critical revision of the manuscript for important intellectual content. K.H. had the primary responsibility for the final manuscript. Additional Information Supplementary information accompanies this paper at http://www.nature.com/srep Competing financial interests: The authors declare no competing financial interests. How to cite this article: Park, J. S. et al. Longitudinal association between toenail zinc levels and the incidence of diabetes among American young adults: The CARDIA Trace Element Study. Sci. Rep. 6, 23155; doi: 10.1038/ srep23155 (2016). 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To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/ http://www.nature.com/srep http://creativecommons.org/licenses/by/4.0/ Longitudinal association between toenail zinc levels and the incidence of diabetes among American young adults: The CARDIA Trace Element Study Introduction Methods Study population Assessment of toenail zinc Assessment of glucose, insulin, HOMA-IR, OGTT, and HbA1c Ascertainment of diabetes Measurement of other covariates Assessment of zinc intake and other dietary factors Statistical analysis Results Conclusions Additional Information Acknowledgements References application/pdf Longitudinal association between toenail zinc levels and the incidence of diabetes among American young adults: The CARDIA Trace Element Study srep , (2016). doi:10.1038/srep23155 Jong Suk Park Pengcheng Xun Jing Li Steve J. Morris David R. Jacobs Kiang Liu Ka He doi:10.1038/srep23155 Nature Publishing Group © 2016 Nature Publishing Group © 2016 Macmillan Publishers Limited 10.1038/srep23155 2045-2322 Nature Publishing Group permissions@nature.com http://dx.doi.org/10.1038/srep23155 doi:10.1038/srep23155 srep , (2016). doi:10.1038/srep23155 True 
work_lbjljk4kmfbf3hfrdbcs4zslz4	----	60 1 1 July 1970 Leading Articles REDICAL JOURNAL pericarditis is active. Sometimes the pericarditis is present without any E.C.G. changes.5 About half the patients reported on by Kirk and Cosh also had rheumatoid lung or pleural lesions.5 Pleural effusion is common, but pericardial effusion is rare. In the few cases in which pericardial effusion occurs the fluid closely resembles the straw-coloured non-viscous fluid found in the pleural cavity; typically it is high in protein but low in sugar. L.E. cells are found in the blood in a minority of patients,6 but even then the diagnosis of rheumatoid arthritis as opposed to systemic lupus erythematosus is usually clear. To assess the incidence of rheumatoid pericarditis Kirk and Cosh made a prospective study of 100 inpatients with severe rheumatoid arthritis selected at random. They found it was 10%. But their patients had sufficiently severe disease to warrant admission to hospital, and so high an incidence would not be expected in patients outside hospital. The prognosis of rheumatoid pericarditis is generally good. The condition appears to run a benign course, usually with rapid spontaneous resolution. Specific therapy does not prevent its onset or shorten its course once established. If pericardial effusion occurs, early aspiration is advised to prevent tamponade and to reduce the risk of later pericardial constriction. B. P. Harrold7 reviewed 17 reported patients with rheumatoid pericarditis who had undergone pericardi- ectomy for constriction and noted that in only three did the interval between onset of arthritis and operation exceed five years. This suggests that if constriction is going to occur it is unlikely to do so in patients with arthritis of long duration. Rarely, heart failure may be the presenting symptom of rheumatoid pericarditis, and the onset of oedema in a patient with rheumatoid arthritis should prompt the doctor to consider this possibility. Children's Eyes Errors of refraction are almost universal, and few of us attain old age without recourse to spectacles. Yet, though the refractive state of the eye is simply the product of physical variations in the eye's anatomy which admit an exact measurement, our knowledge of these measurements in sub- stantial numbers of the population at different ages has been very incomplete. A recent comprehensive report by Arnold Sorsby and G. A. Leary' is welcome not only because of the information it provides on the patterns of refractive changes in growing children but also because it helps to clear away some of the myths that are still being reported about the prophylaxis and "treatment" of short-sightedness. The infant's eye is normally hypermetropic (long-sighted), and as the eyeball grows in length the hypermetropia decreases. The eye thus becomes more normal-sighted or even short- sighted until growth comes to an end by the age of 14. Between the ages of 3 and 14 the eye becomes about 1*2 mm. larger. But some 60% of the potential decrease in hyper- metropia (or increase in myopia) that this elongation could be expected to produce is eliminated by a simultaneous reduction in the converging power of the cornea and lens, so Sorsby, A., and Leary, G. A., Medical Research Council. Special Report Series, 1970, No. 309. 2 Sorsby, A., Sheridan, M., and Leary, G. A., Medical Research Council. Special Report Series, 1962, No. 303. 3 Morgan, O., British Medical_Journal, 1970, 1, 175. 4 Gilkes, M. J., British MedicalJournal, 1970, 1, 758. that the resultant change in refraction is little more than 1 dioptre. And, as most infants are more than 1 dioptre hyper- metropic, only exceptionally does this trend produce a frank myopia, and that of quite a low order. In about 28% of children a greater elongation of the eyeball during this growth period does cause a further shift towards myopia than can be compensated for by a slight additional decrease of the power of the cornea and lens. The change in cornea and lens is in part the direct sequel to this elongation and would itself tend to neutralize some of this adventitious myopia. The authors of the report found that bodily heights and weights were unrelated to the refraction at the beginning and end of the period ofobservation, and there were no obvious sex differences in these developments. As the authors had shown in an earlier report,2 the refraction and its components are genetically determined. And this, they state, must be assumed to apply also to the anomalous axial elongation and paradoxical changes in the cornea and lens. The provision of correct spectacles will thus have no influence on this predetermined refractive change3 4 any more than on other organic disorders of the eyeball. Caribbean Food and Nutrition Institute Christopher Columbus made his first landfall in the Caribbean in October 1492 at an island in the Bahamas which he piously named San Salvador. Believing he had reached Asia, he imposed on posterity the confusing practice of calling the people of the New World "Indians" and the Caribbean islands the "West Indies." The area was at that time inhabited by the gentle Arawaks and the fierce Caribs, who gave us the word "cannibal." The Arawaks were soon exterminated by the Europeans who followed Columbus; the Caribs held out somewhat longer, and a few thousand survive today. In the sixteenth and seventeenth centuries the islands were appropriated by European powers-the English, French, Dutch, and Spanish. They became sugar islands, devoted to sugar plantations worked by negro slaves captured in West Africa and carried across the Atlantic in the dreadful circum- stances of the middle passage. After emancipation in the nineteenth century the sugar industry declined because the ex-slaves hated the sight of the sugar cane, which was being grown in increasing quantities in other parts of the tropics, and the sugar beet, efficiently cultivated in the temperate zone, began to rival the cane as a source of sucrose. During a long period of economic depression the Caribbean territories faded out of history, becoming of little importance to their European owners. Partial economic recovery came only recently, with the development of new industries such as bauxite manufac- ture, and the discovery, by wealthy Canadians and Americans, that the Caribbean offers an escape from winter blizzards and has lovely scenery. The tourist industry has boomed. During the last decade many of the Caribbean territories have become independent members of the United Nations. This, roughly, is the setting of the Caribbean Food and Nutrition Institute, established in 1967. The institute has centres in Jamaica and Trinidad, each located in the campus of the University of the West Indies. At present its activities I'Journal of Tropical Pediatrics, 1968, 14, 52. 2 Waterlow, J. C., Cravioto, J., and Stephen, J. M. L., Advances in Protein Chemistry, 1969, 15, 131. o n 5 A p ril 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://w w w .b m j.co m / B r M e d J: first p u b lish e d a s 1 0 .1 1 3 6 /b m j.3 .5 7 1 4 .6 0 -a o n 1 1 Ju ly 1 9 7 0 . D o w n lo a d e d fro m http://www.bmj.com/ BRrrIS611I July 1970 Leading Articles MEDICAJ± JOURNAL 61 extend to 15 countries in the English-speaking Caribbean. Support in the form of finance or accommodation is provided by the World Health Organization (Pan American Health Organization), F.A.O., U.N.I.C.E.F., the Williams Waterman Program, the University of the West Indies, and the Govern- ments of Jamaica and Trinidad and Tobago. The director is Dr. D. B. Jelliffe, a leading authority on the nutritional aspects of paediatrics. The professional staff, international in character, is relatively small, consisting of about nine members with experience in nutrition and related fields. A budget of $419,500 for five years covers staff, consultants, field investigations, travel, equipment and supplies, and the cost of a "training course in community nutrition" held every second year for appropriate people from the area. The institute follows an interdisciplinary approach in all its activities, including research. An entire number ofthejournalof Tropical Pediatrics1 has been devoted to its programme and contributions from its staff. Protein-calorie malnutrition, reflected in high mortality in infants and young children, was until recently widely prevalent in the Caribbean. Pioneer research on the problem has been done by J. C. Waterlow and his colleagues in Jamaica.2 In many territories it is now coming under control, with the infant mortality rate down to 40 +- per 1,000 live births. The rate on the slave estates probably used to be over 500, and high rates persisted after emancipation. The conquest of protein-calorie malnutrition will be hastened by the institute's programme. A relic of slavery which affects maternal and child welfare is the matriarchal structure of society, with diminished paternal responsibility. Another major problem for the institute to study is the dependence of the Caribbean on food imports, which is increasing year by year. This, again, derives from the mono- culture of sugar in earlier days. The Caribbean Food and Nutrition Institute has much interesting and important work to do in an area where results are readily visible and easily recorded. Progress is reported in a lively bi-monthly journal called Cajanus, after a legume (the pigeon pea) which is a potential source of needed protein. Prostatic Syncope Though rectal examination has sometimes been thought to carry a risk for patients with heart disease, D. L. Earnest and G. F. Fletcher' 2 showed it to be safe for those with acute myocardial infarction, and their rectal findings justified the need for the examination. But since their report a number of adverse reactions to prostatic palpation have been described. R. H. Bilbro3 has recorded eight episodes of either frank syncope or faintness during 2,500 prostatic examinations. In one patient the syncope was accompanied by a brief generalized seizure. The patients turned pale and had a bradycardia of 48 beats per minute or less. As these patients showed a precipitous loss of consciousness if they were not placed supine it must be assumed they were not lying down when Earnest, D. L., and Fletcher, G. F., New England Journal of Medicine, 1969, 281, 238. 2 British Medical Journal, 1969, 4, 319. 3 Bilbro, R. H., New England Journal of Medicine, 1970, 282, 167. 4 Poleshuck, V. A., New England J7ournal of Medicine, 1970, 282, 632. rectal examination was carried out. V. A. Poleshuck4 describes the collapse of a 30-year-old man after examination of the prostate. After sustaining a head wound while falling, he had a mild seizure and subsequently became apnoeic and pulseless. A blow to the anterior chest produced a carotid pulse with a bradycardia of 46 beats per minute. The patient regained consciousness after three minutes and recovered uneventfully. His father and paternal uncle had suffered syncopal attacks after rectal examination. Again, it seems that this patient was not lying down during the examination. There is the occasional patient who is so dyspnoeic on lying down that rectal examination is more practical if he stands and leans forwards. For the vast majority, however, maximal information can be attained with the patient placed in the left lateral position with the buttocks at the edge of the bed and the knees well drawn up, though some doctors may prefer to have the patient in the dorsal position. The patient should be instructed to breathe freely through the mouth, as this will relax the abdominal muscles for bimanual palpation and avoid a Valsalva manoeuvre. The finger should be well lubricated and introduced slowly. Both transrectal needle biopsy of the prostate and prostatic massage to obtain pros- tatic secretions are perfectly feasible in this position. After either of these procedures, or if the rectal examination causes more discomfort than usual, the patient should be allowed to remain horizontal for a few minutes and then get up slowly. In this way syncope will be avoided and rectal examination will continue to enjoy its safe and valuable reputation. Protean Symptomatology of Myxoedema One of the many fascinations of clinical endocrinology is the variety of ways in which its clinical syndromes present. Despite all the achievements of diagnostic science there is still the need for some astute clinician to suspect the disease before the appropriate battery of confirmatory tests can be fired off. In future the choice of them may be eased by com- puter analysis -of symptoms and signs, but at present a high index of diagnostic suspicion is more economical and more exact. These considerations apply with special force to the recognition of disorders of parathyroid and thyroid function and in particular to the early diagnosis of hypothyroidism. Delays in the diagnosis of thyroid failure most often occur when the onset is gradual and protracted or when one organ or system of the body reacts out of proportion to the others. This illustrates the old principle that each patient is an individual with his own peculiar diathesis and not a predictable machine. Moreover, in this age of increasing specialization patients with undiagnosed hypothyroidism may reach the wrong specialist owing to their having presented with the symptoms appropriate to that particular specialty. They by- pass the general physician or endocrinologist, who might have been able to recognize more promptly the underlying disorder. The E.N.T. surgeon, when faced with a patient with a croaky voice, may diagnose hypothyroidism only after a laryngeal biopsy has disclosed myxoedematous tissue; or the Golding, D. N., Annals of the Rheumatic Diseases, 1970, 29, 10. Fessel, W. J., Annals of the Rheumatic Diseases, 1968, 27, 590. Fincham, R. W., and Cape, C. A., Archives of Neurology, 1968, 19, 464. o n 5 A p ril 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://w w w .b m j.co m / B r M e d J: first p u b lish e d a s 1 0 .1 1 3 6 /b m j.3 .5 7 1 4 .6 0 -a o n 1 1 Ju ly 1 9 7 0 . D o w n lo a d e d fro m http://www.bmj.com/ 
work_lc4bbuvctbdktlkdy35q5wzweu	----	PII: S0014-5793(99)00473-1 Neuronal nAChR stereoselectivity to non-natural epibatidine derivatives Sonia Bertranda, Jo« rg T. Pattb, Jo« rg E. Spangb, Gerrit Westerab, P. August Schubigerb, Daniel Bertranda;* aDëpartement de physiologie, Centre Mëdical Universitaire (Facultë de Mëdecine), 1 rue Michel Servet, CH-1211 Geneva 4, Switzerland bCenter for Radiopharmaceutical Science, Swiss Federal Institute of Technology Zu« rich, Paul Scherrer Institute Villigen and Department of Radiology, Clinic of Nuclear Medicine, University Hospital, Zu« rich, Switzerland Received 17 March 1999 Abstract The frog toxin epibatidine is one of the most powerful ligands of the neuronal nicotinic receptors and derivatives show promising possibilities for labeling in positron emission tomo- graphy studies. In an attempt to reduce epibatidine toxicity, new methyl derivatives were synthesized, tested in positron emission tomography imaging and in electrophysiology. labeling as well as physiological experiments highlighted the differences in sensitiv- ity of the neuronal nicotinic acetylcholine receptors between two methyl enantiomers and the reduction in sensitivity caused by introducing the methyl group. At present, epibatidine derivatives seem the most promising compounds for in vivo labeling of neuronal nicotinic acetylcholine receptors. z 1999 Federation of European Biochemical Societies. Key words : Nicotinic acetylcholine receptor ; Brain ; Epibatidine ; Pharmacophore ; Imaging 1. Introduction With the introduction of tobacco plants on the second voy- age of Christopher Columbus its use and smoking addiction quickly spread amongst a large fraction of the population. Although it was recognized earlier that the alkaloid nicotine is the active compound in tobacco leaves and that it is a potent agonist of the cholinergic system at the neuromuscular and ganglionic synapses, the mechanisms by which it causes addiction remained obscure [1,2]. The identi¢cation of an en- tire family of genes encoding the neuronal nicotinic acetylcho- line receptors (nAChRs) that are speci¢cally expressed at the neuromuscular junction or in nerve cells shone a new light on the mechanisms by which nicotine can exert its action in the central nervous system [3,4]. One of the critical ¢ndings was the observation that neuronal nAChRs display a wide pattern of physiological and pharmacological pro¢les and that a given set of subunits is expressed in a well-de¢ned brain area [5^7]. For instance, it was shown that the major brain neuronal nAChR results from the assembly of the K4 and L2 subunits. Moreover, a high level of expression of this class of receptor was observed on dopaminergic neurons that are known to participate in reward and addictive behaviors [8,9]. With the introduction of in situ hybridization using speci¢c mRNA probes it has become possible to map the pattern of expression of the identi¢ed neuronal nAChR subunits in rat, mouse or human brains [7,10]. Although allowing a high spa- tial resolution the use of this technique cannot be employed for in vivo measurements. The development of new tools is therefore required to establish the relationship between the in situ pattern of neuronal nAChR expression in a de¢ned brain area and physiological behavior. The availability of positron emission tomography (PET) ligands would constitute a ¢rst alternative to postmortem hybridization or biochemical stud- ies and make it possible to correlate nicotine labeling with cognitive or behavioral status. Initial studies performed with radioactive nicotine have re- vealed the inadequacy of this compound in PET studies and that more speci¢c ligands must be identi¢ed to obtain proper spatial and temporal resolutions [11,12]. The identi¢cation of a new frog toxin, epibatidine, which displays a very high af- ¢nity for the neuronal nAChRs, opened new possibilities to design synthetic compounds of potential interest for PET monitoring [13^17]. We produced N-methylated epibatidine for this purpose [13]. Recently this and other methylated epi- batidine analogs were synthesized, with very similar biological properties (e.g. receptor a¤nity and toxicity) [16]. The aim of this work is to examine the properties of the optical isomers of N-methylepibatidine on reconstituted neuronal nAChRs and to determine their potential application for PET investiga- tions. 2. Materials and methods 2.1. Chemistry All chemicals were purchased in analytical quality from Aldrich, Fluka, Merck or Sigma unless otherwise mentioned. The 1H NMR and 13C NMR spectra were recorded on Varian Gemini 200 and Gemini 300 spectrometers. Mass spectra were recorded on a Trio 2000 spectrometer (VG Organic, UK) using the positive ion mode with electrospray (ES+). The separation of the enantiomers was performed by HPLC on a semi-preparative ChirobioticT column (250U10 mm) from Astec and Merck LaChrom equipment (D-7000, L-7100, L-7250, L-7450). Meth- anol was used in preparative HPLC quality from Merck. Optical rotations were measured with a Perkin Elmer 241 polarimeter at 23³C using a sodium lamp (D-line) and are reported as speci¢c rota- tion [K] in degrees. The purity is reported in percent of enantiomeric excess (%ee). The 11C-labeled compounds were produced as described in detail elsewhere [18] by methylation of the desmethyl precursor with [11C]MeI. 2.2. PET studies in the rat Male Sprague-Dawley rats (300^400 g) were anesthetized with Do- mitor and Hypnorm (0.25 ml/kg body weight), according to the pro- cedure required by the veterinary department. Anesthesia was main- tained during the study by subcutaneous injection of Hypnorm/ Domitor (0.12 ml/kg body weight). A catheter was introduced into the tail vein. The rat was placed in the PET scanner (GE-Advance) with the whole body of the rat in the ¢eld of view. Prior to the PET 0014-5793 / 99 / $20.00 ß 1999 Federation of European Biochemical Societies. All rights reserved. PII : S 0 0 1 4 - 5 7 9 3 ( 9 9 ) 0 0 4 7 3 - 1 *Corresponding author. Fax : (41) (22) 702 54 02. E-mail : bertrand@cmu.unige.ch Abbreviations : ACh, acetylcholine ; nAChR, nicotinic receptor ; CNS central nervous system ; PNS, peripheral nervous system FEBS 21938 4-5-99 Cyaan Magenta Geel Zwart FEBS 21938 FEBS Letters 450 (1999) 273^279 scans a transmission scan was performed. An amount of 1^2 MBq of the 11C compound was injected. Data acquisition was started and 22 frames were collected 10U0.5 min, 5U1 min, 2U5 min, 4U10 min and 1U20 min. Regions of interest (ROI) were drawn directly on the `transaxial' PET scans, which are sagittal as a result of the positioning of the rat in the ¢eld of view. The activity in the ROIs was calculated from the absolute count rate by multiplication with area and slice thickness (0.425 cm). The result is displayed as percent injected dose. The amount of activity injected into the rat was calculated from a whole body ROI and the percentage of 11C tracer in the brain was deter- mined as a function of midframe time. The result of the whole body ROI was compared to the amount of activity injected into the rat determined by measuring the syringe before and after injection in a dose calibrator. The values determined by whole body ROI were in agreement with the 11C dose determined with the dose calibrator. 2.3. Electrophysiology Xenopus oocytes were prepared according to the standard proce- dure [19] and nuclear-injected with 10 nl of bu¡er containing equal concentrations (0.1 Wg/Wl) of K and L subunit cDNAs or 0.2 Wg/Wl of K7. Recordings were made using the two-electrode voltage clamp technique. During the experiments, oocytes were continuously super- fused with control solution containing : 82.5 mM NaCl, 2.5 mM KCl, 5 mM HEPES, 2.5 mM CaCl2, 1 mM MgCl2, pH 7.4 adjusted with NaOH. All chemicals were obtained from either Fluka or Sigma (Buchs, Switzerland). Dose-response relationships were adjusted to the empirical Hill equation y� 1 1� EC50 x � �nH �1� Fig. 1. Chemical structure of epibatidine and its methyl derivatives. The upper panel presents the two enantiomers of epibatidine or its methyl derivative. Chemical synthesis of the radiolabeled compound is schematized in the lower panel. Fig. 2. Currents evoked by epibatidine and its derivatives on the major brain K4L2 nAChR. A : Typical currents evoked in a responsive oocyte by short application (2 s) of ACh, (+)-epibatidine and methyl-(+)-epibatidine at saturating concentration. B : Dose-response relationships for (+)-epibatidine and methyl-(+)-epibatidine (mean of four cells). Lines through the data points correspond to the best ¢ts obtained with Eq. 1. C : Currents evoked, in another cell, as in A for ACh, (3)-epibatidine and methyl-(3)-epibatidine. D : Dose-response relationships for (3)-epi- batidine and methyl-(3)-epibatidine (mean of four cells, values in Table 1). Data in B and D were normalized with respect to currents evoked by a saturating ACh concentration. FEBS 21938 4-5-99 Cyaan Magenta Geel Zwart S. Bertrand et al./FEBS Letters 450 (1999) 273^279274 where y = the fraction of activated current, EC50 = concentration of agonist evoking a current of half maximal amplitude, nH = Hill coef- ¢cient, x = agonist concentration. Dose-response curves for (+)- and (3)-epibatidine and their analogs were normalized on an acetylcholine (ACh) saturating concentration. All values indicated throughout the text are given with their respective S.E.M. Cells were held throughout the experiments at 3100 mV. 2.4. Toxicology The acute intravenous toxicity of methylepibatidine was estimated in mice and rats by a specialized outside agency (RCC Research and Consulting Co. Ltd., Itingen, Switzerland). A racemic mixture of methylepibatidine was intravenously administered to groups of ¢ve male and ¢ve female animals. The doses were 0.04, 0.4, 8 and 80 Wg/kg for the HanIbm :WIST (SPF) rats and 0.05, 0.5, 10 and 100 Wg/kg for the HanIbm :NMRI (SPF) mice. Surviving animals were examined four to ¢ve times on day 1 and once daily on days 2^15 for clinical signs. Mortality/viability were recorded together with clin- ical signs at the same time intervals. All animals were necropsied and examined macroscopically. 3. Results and discussion Neuronal nAChRs are integral membrane proteins that are thought to result from the assembly of ¢ve subunits around an axis of pseudosymmetry [20]. Earlier physiological and pharmacological experiments have revealed that ganglionic receptors from the peripheral nervous system (PNS) display patterns of agonists and antagonists clearly distinguishable from those of the muscle receptor [2,20]. Reinforced by many recent studies, these di¡erences can be attributed to a particular expression of neuronal subtypes (reviewed in [20]). Furthermore, it was shown that ganglionic receptors contain at least the K3 and L4 subunits while central nervous system (CNS) receptors are thought to result from the assembly of K4 with L2 [7,21]. A less clear distinction can be made when considering receptors containing the K7 subunit which have been shown to be present in both the CNS and the PNS [6,22^ 24]. To examine the e¡ects of epibatidine and its N-methyl derivatives on the CNS and PNS nAChR types we determined the action of these compounds on neuronal receptors recon- stituted in Xenopus oocytes. In a recent contribution Horti et al. [16] studied N-alkylated epibatidine derivatives with various halogens, £uorine, bro- mine and iodine, at the position of the chlorine on the pyr- idine ring. They found a¤nities to rat brain homogenates, mouse brain distributions and toxicity towards mice which were all very similar. We concentrated on the di¡erences be- tween the enantiomeric N-methyl compounds in their dynamic behavior in the rat brain and in their activation of various nAChR subtypes. A schematic representation of the two enantiomers of epi- batidine and N-methylepibatidine employed throughout this work is given in Fig. 1. 3.1. Sensitivity of the rat K4L2 to epibatidine and methylepibatidine Oocytes were injected with rat cDNA combinations K4L2 and their physiological properties were examined using a dual- Fig. 3. Currents evoked by epibatidine and its derivatives on the ganglionic K3L4 nAChR. A and C : Typical currents evoked in a responsive oocyte by a short application (2 s) of ACh, epibatidine and its derivative at saturating concentration as in Fig. 2A,C. B : Dose-response rela- tionships for (+)-epibatidine and methyl-(+)-epibatidine (mean of four cells). Lines through the data points correspond to the best ¢ts obtained with Eq. 1. D : Dose-response relationships for (3)-epibatidine and methyl-(3)-epibatidine (mean of four cells, values are indicated in Table 1). All procedures were as described in Fig. 2. FEBS 21938 4-5-99 Cyaan Magenta Geel Zwart S. Bertrand et al./FEBS Letters 450 (1999) 273^279 275 electrode voltage clamp. Typical currents evoked, in a respon- sive oocyte, by acetylcholine (ACh), (+)-epibatidine and meth- yl-(+)-epibatidine are illustrated in Fig. 2A. The equal ampli- tude of currents evoked by these saturating test pulses indicates that these three compounds act as full agonists on the CNS receptor. Determination of dose-response curves (Fig. 2B) over a broad range of agonist concentrations re- vealed that the K4L2 receptor is about 15-fold more sensitive to epibatidine than its equivalent methyl derivative. When the same experiments were repeated with the (3) enantiomers a di¡erent picture was observed. Although no di¡erences in amplitude could be observed between the currents evoked by ACh and (3)-epibatidine a small reduction was observed with methyl-(3)-epibatidine (Fig. 2C). On average, however, no signi¢cant di¡erences could be detected between these three agonists. The small reduction observed on these currents can be partly attributed to the fastest desensitization of the receptor to methyl-(3)-epibatidine. Surprisingly, however, dose-response relationships (Fig. 2D) yielded no di¡erences in apparent a¤nity between (3)-epibatidine and methyl-(3)- epibatidine indicating that introduction of the methyl side chain does not alter the receptor sensitivity for the (3) enan- tiomer (data summarized in Table 1). 3.2. Sensitivity of the ganglionic K3L4 epibatidine and its derivatives Analysis of the currents evoked by the two enantiomers of epibatidine and methylepibatidine were carried out as de- scribed above for the CNS nAChR subtype. As shown in Fig. 3A, the (+) enantiomers of epibatidine and methylepiba- tidine both evoked robust currents of comparable amplitude to the natural agonist ACh. Moreover, as seen for the K4L2 nAChR, the K3L4 receptor displays a sensitivity roughly 30 times lower for the (+)-methyl compound than for the native toxin (Fig. 3B). Assessing the properties of the (3) enantiom- ers yielded results comparable to those observed with the K4L2 nAChR. Namely, while both epibatidine and methyl- epibatidine evoked currents of similar amplitude as those re- corded in response to ACh (Fig. 3C), exposure to (3)-epiba- tidine and methyl-(3)-epibatidine yielded approximately similar half activation values (Fig. 3D). Thus, whereas this class of receptor does not distinguish between the (+)- and (3)-epibatidine enantiomers it is about 31-fold more sensitive to the (3) form of the methyl derivative than to its (+) enan- tiomer (see Table 1). 3.3. Sensitivity of the homomeric K7 nAChR It is well documented that the homomeric K7 receptor is strikingly less sensitive to epibatidine than the heteromeric receptors [25]. For instance, whilst the major brain receptor displays a more than two orders of magnitude higher a¤nity for epibatidine than for ACh, the K7 sensitivity remains in the micromolar range. In addition, it is also known that this re- ceptor shows a higher desensitization rate when exposed to epibatidine than when challenged with ACh. Current traces recorded in response to a fast application pulse display the typical pro¢le reported earlier for the homomeric K7 receptor [23,26,27]. Unlike the heteromeric K4L2 or K3L4 receptors, Fig. 4. Sensitivity of the K7 nAChR to epibatidine and its methyl derivatives. Traces recorded in response to (+) enantiomers are shown in A while currents evoked by the (3) enantiomers are shown in C. Note the di¡erences in amplitude of the currents evoked by (+)- and (3)-epiba- tidine. B and D : Ddose-response relationships of the homomeric K7 nAChR (mean of four cells, see Table 1) to epibatidine. Data were ob- tained and processed as in Fig. 2. FEBS 21938 4-5-99 Cyaan Magenta Geel Zwart S. Bertrand et al./FEBS Letters 450 (1999) 273^279276 Fig. 5. PET images of [11C]N-methyl-(+)- and (3)-epibatidine in rats. The region of the liver, urinary bladder and brain showed a high uptake of the tracer. The (+) isomer (A) showed a higher uptake in the region of liver, stomach and spleen compared to the (3) isomer (B). Because of the limited resolution of the PET images, only the total the brain activity curve is shown as % injected dose versus time in Fig. 6. FEBS 21938 4-5-99 Cyaan Magenta Geel Zwart S. Bertrand et al./FEBS Letters 450 (1999) 273^279 277 however, both (+)-epibatidine and methyl-(+)-epibatidine evoked only a fraction of the currents caused by ACh expo- sure (Fig. 4A). Furthermore, as illustrated in Fig. 4B, adjunc- tion of the methyl residue further decreased the apparent af- ¢nity of the K7 receptor to epibatidine by more than one order of magnitude. Data obtained with the (3) enantiomers are roughly comparable to the observation made on the het- eromeric receptors (Fig. 4C). A marked di¡erence is, however, found in the partial agonist mode of action of the (3)-methyl compound (see Fig. 4D and Table 1), which is not observed with the other receptor subtypes. Taken together these data highlight the ¢nding that intro- duction of a methyl side chain causes a decrease in the e¤cacy of the (+) enantiomer and introduces a stereoselectivity that is not observed with the native epibatidine. It is of interest to recall that although the neuronal nAChRs display a poor selectivity in the separation of enantiomers a di¡erence be- tween (3)- and (+)-nicotine has been widely documented. However, another chemical modi¢cation of epibatidine, the removal of the chlorine atom, introduced no stereoselectivity in the molecular recognition by the receptors [28]. Thus, the stereoselectivity caused by the introduction of a methyl sub- stitute onto the nitrogen bridge of the bicyclocyclohexyl ring indicates that this segment of the molecule must be in closer interaction with the ACh binding site than the chlorine atom. 3.4. PET studies with N-[11C]methyl(+)- and (3)-epibatidine To characterize further the possibility of using these epiba- tidine derivatives in PET studies, a ¢rst set of experiments was conducted on rats. Pictures obtained after injection with N- [11C]methyl(+)-epibatidine reveal that the concentration of this compound transiently increased in the brain and then progressively diminished (Fig. 5A). In contrast, when the same experiment was repeated with the (3) enantiomer a di¡erent pattern was revealed. While the signal observed in the liver or kidneys progressively decreased the brain uptake continued to increase (Fig. 5B). Comparison of the PET im- ages and the brain uptake curves showed interesting di¡er- ences in receptor binding properties of the methylated epi- batidine stereoisomers. [11C]N-methyl-(3)-epibatidine binds predominantly to one region in the rat brain. In contrast, two binding sites were seen for [11C]N-methyl-(+)-epibatidine. The additional binding site seen very clearly for the (+) isomer was most likely the eyes of the rat, but because of limited resolution of the PET scan some other brain region such as olfactory bulb or frontal cortex may also show an enrichment of the tracer. Considerable di¡erences were seen when com- paring the time course of brain uptake for the enantiomers of [11C]N-methyl-epibatidine. While [11C]N-methyl-(3)-epibati- dine showed both a fast and slower uptake and an increasing brain activity with a time constant of about 40 s, the (+) enantiomer showed only a transient peak and a slow decay (Fig. 6). Washout of the ligand could not be determined on this fast time scale measurement. A typical washout time con- stant of 3.8 h was measured with single photon emission computed tomography for radioiodinated epibatidine cerebel- lum clearance in baboon [15]. The slowest clearance measured by these authors for this compound was in the thalamus with a clearance time of 11 h. In the toxicity measurements no deaths occurred in the animal population with the two lower doses (0.04, 0.4 Wg/kg for rats and 0.05, 0.5 Wg/kg for mice), while many animals died at the two higher doses (8, 80 Wg/kg for rats and 10, 100 Wg/kg for mice). The LD50 in rats was 20 Wg/kg (95% con¢dence limits 8^180 Wg/kg) and for mice 15 Wg/kg (95% con¢dence limits 3^120 Wg/kg). To break the data down for males and females makes no statistical sense. The clinical signs of toxicity observed in the two high dose groups in- cluded sedation, convulsions, ventral recumbency and dys- pnea indicating an e¡ect on the nerve system. No clinical signs were observed in the low dose groups. No organ abnormal- ities were observed on necroscopy. Thus, it seems that the toxicity of N-methylepibatidine is possibly somewhat less than that of the analogous N-methyl- norchloro£uoroepibatidine [29]. Although adjunction of a methyl side chain to epibatidine reduces the toxic e¡ects somewhat, this is still not su¤cient to ensure the complete Fig. 6. Time course of [11C]N-methyl-(+)- and (3)-epibatidine bind- ing. Quanti¢cation of PET measurements was done as described in Section 2. Squares indicate the values measured with [11C]N-methyl- (+)-epibatidine while data obtained with [11C]N-methyl-(3)-epibati- dine are represented by circles. Lines through data points were drawn to guide the eye. Table 1 Sensitivity of epibatidine and derivatives to rat K4L2, K3L4 and K7 nAChRs cDNA type (+)-Epibatidine Methyl-(+)-Epibatidine (3)-Epibatidine Methyl-(3)-Epibatidine EC50 (WM) nH EC50 (WM) nH EC50 (WM) nH EC50 (WM) nH Rat K7 2.5 þ 016 1.45 þ 0.1 30 þ 0.24 1.60 þ 0.2 2.03 þ 0.5 1.43 þ 0.2 2.5 þ 0.26 2.73 þ 0.2 Rat K4L2 0.021 þ 0.005 1.24 þ 0.1 0.36 þ 0.11 0.45 þ 0.1 0.023 þ 0.007 1.30 þ 0.1 0.024 þ 0.008 1.25 þ 0.1 Rat K3L4 0.036 þ 0.013 1.52 þ 0.4 1.1 þ 0.2 1.60 þ 0.1 0.019 þ 0.006 1.67 þ 0.2 0.035 þ 0.017 1.70 þ 0.1 Half activation values (EC50) and Hill coe¤cients for three receptor subtypes of the four chemical compounds tested are indicated. Values are the means of 3^7 cells with their respective S.E.M. FEBS 21938 4-5-99 Cyaan Magenta Geel Zwart S. Bertrand et al./FEBS Letters 450 (1999) 273^279278 safety required for human administration, which is in agree- ment with the conclusions by Horti et al. [16]. Thus, although indicating the feasibility of the method, new epibatidine de- rivatives await to be designed to accommodate the properties required both for PET and for human safety. These data illustrate, however, the importance of isolating the enantiomers and of physiological testing for their charac- terization. Acknowledgements : We are very grateful to J. Patrick for kindly pro- viding rat cDNAs. This work was supported by grants from the O¤ce Fëdëral de l'Education et des Sciences and the Swiss National Science Foundation, 3100-0371.91 to D.B. and 3200-046939.96 to G.W. References [1] Langley, J.N. (1905) J. Physiol. 33, 374^413. [2] Ascher, P., Large, W.A. and Rang, H.P. (1979) J. Physiol. 295, 139^170. [3] Benowitz, N.L. (1996) Annu. Rev. Pharmacol. Toxicol. 36, 597^ 613. [4] Corrigall, W.A., Coen, K.M. and Adamson, K.L. (1994) Brain Res. 653, 278^284. [5] Cimino, M., Marini, P., Colombo, S., Andena, M., Cattabeni, F., Fornasari, D. and Clementi, F. (1995) J. Neural Transm. 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work_ld27n7adzbfmjpq5fslnsr3oja	----	Science Magazine renewal of some nuclear pore components leads to the gradual deterioration of nuclear pore function. As a consequence, the nuclei of older cells become leaky, and proteins that would nor- mally be excluded from the nucleus can be found within it. — SMH Cell 136, 284 (2009). C H E M I S T R Y Product Protection Chemical transformations often pose the dilemma that a desirable product may prove unstable under the reaction conditions. In certain cases, such intermediate products may be sufficiently volatile to be removed evaporatively from the reaction mixture as they are generated, but many compounds are not amenable to this mode of sep- aration. A particularly insidious challenge arises in the partial alkylation of amines. Adding an alkyl group renders an amine more nucleophilic than before, and so more likely to attract yet another alkyl group; therefore, simply mixing equivalent amounts of amines and alkyl electrophiles tends to afford a mixture of unreacted and polyalkylated products. Yebeutchou and Dalcanale skirt the 20 FEBRUARY 2009 VOL 323 SCIENCE www.sciencemag.org984 C R E D IT S ( T O P T O B O T T O M ): O L IV IE R W E IK E N /E P A /C O R B IS ; D ’A N G E L O E T A L ., C E L L 1 3 6 , 2 8 4 ( 2 0 0 9 ) EDITORS’CHOICE C E L L B I O L O G Y Aging Disgracefully As we age, all too many aspects of our physique deteriorate—not just at the macroscopic scale of our limbs and organs, but also at the single- cell level. Nuclear pores allow for the transport of proteins and nucleic acids across the nuclear envelope, both from the cytoplasm to the nucleus and in the reverse direction, and are essential in normal trafficking processes involved in gene expression, cellular homeostasis, and growth. Nuclear pores are complexes of many individual protein components, some of which are extraordi- narily long-lived. D’Angelo et al. have examined the characteris- tics of these complexes in aging postmitotic cells from Caenorhabditis elegans and from rodents, and find that as cells grow old, the lack of problem by adding molecular sequestering agents that selectively capture amines after their preliminary reaction step, thereby protecting them from further interaction with a methylating agent (iodomethane). The optimized protectors were tetra(arylphosphonate)-based cavitands that attracted monomethylated alkyl ammonium cations through ion-dipole forces, hydrogen bonding at the rim, and C-H–pi interactions deep in the cavity. In their presence, a range of alkyl and aryl primary amines could be selectively methylated in good yield. The authors verified preferential encapsulation of the secondary ammonium ions in solution using nuclear mag- netic resonance spectroscopy. — JSY J. Am. Chem. Soc. 131, 10.1021/ja809614y (2009). N E U R O S C I E N C E Opioids and Drink Substance abusers score higher on measures of cognitive and motor impulsivity. Cognitive impul- sivity refers to the inability to delay gratification, whereas motor impulsivity, or disinhibition, describes the inability to withhold a pre-potent response. Animal studies confirm that impulsivity EDITED BY GILBERT CHIN AND JAKE YESTON P S Y C H O L O G Y Cycling Between Worlds During the run-up to the first round of the 2007 presidential election in France, boundaries blurred as the usual mix of campaign rhetoric and dirty tricks spilled over into the virtual world of Second Life. Whether these skirmishes influenced the real-world electorate is unclear, and McCabe et al. have begun to investigate whether associa- tions learned within the confines of a computer- based contest might affect participants’ behavior in real-world situations. They conditioned partici- pants to chase or avoid cyclists who overtook them by linking one type of jersey logo to fruit juice and the other to salty tea, respectively. Several days later and in a different building, approximately two-thirds of the participants, while waiting for their turn in the brain scanner, elected to sit in a chair on which was draped a towel embroidered with the positively associated logo. Furthermore, neural activity of the insula region of the brain (a measure of motivational salience) reflected the previous conditioning of appetitive and aversive stimuli, hinting at a carryover from the virtual reality cycling competition. — GJC J. Neurosci. 29, 1046 (2009). Normally cyto- solic protein tubulin (green) inside an old nucleus. Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ www.sciencemag.org SCIENCE VOL 323 20 FEBRUARY 2009 C R E D IT : J U P IT E R I M A G E S correlates with drug intake, although nearly all of these studies have examined impulsivity in rela- tionship to psychostimulant drugs. Olmstead et al. have investigated whether deletion of the �- or �-opioid receptor genes alters motor impulsivity in mice. They tested the behavior of these mutant animals in an operant- based behavioral task that assesses the ability of mice to withhold a well-learned pre-potent response (a nose poke used to gain a sucrose reward); the reward can be obtained only when nose-poke responses are made during a brief light stimulus. Mice lacking �-opioid receptors exhib- ited decreased motor impulsivity, whereas those lacking �-opioid receptors showed increased motor impulsivity. Additionally, mice lacking �-opioid receptors were insensitive to the effects of alco- hol, which increases impulsivity and decreases conditioned responding in wild- type mice, and the behavior of mice lack- ing �-opioid receptors was completely disrupted by alcohol. Taken all together, these results indicate a link between opiate receptors in the brain, impulsive behavior, and behavior directed toward ingesting alcohol. — PRS PLoS ONE 4, e4410 (2009). M O L E C U L A R B I O L O G Y Finely Balanced Registers Many genes are interrupted by noncoding introns that must be precisely excised from the RNA molecules transcribed from the gene. In the first step of the splicing reaction, a large RNA- protein splicing machine recognizes the 5’ end of most introns via the complementarity of this region to one of the spliceosome components, the U1 RNA. Yet other 5’ splice sites show little complementarity to the canonical U1 sequence and are nonetheless efficiently and accurately spliced by the very same machine. In puzzling over this conundrum, Roca and Krainer noticed that a subset of these atypical 5’ splice sites did have a sequence that could form a base-paired region with the U1 sequence, but only if shifted one base downstream of the nor- mal 5’ splice site (the +1 register). Mutating one of these atypical 5’ splice sites to improve its complementarity to the U1 RNA in the canonical register resulted in aberrant, rather than improved, splicing. Furthermore, mutations in the +1, but not canonical, register of the U1 RNA that restored base pairing with the mutated atypical 5’ splice sites could rescue the splicing defects. Understanding that the U1 RNA can rec- ognize two subsets of 5’ splice sites in two regis- ters accounts for the splicing of atypical 5’ splice sites and also explains the deleterious effect of a mutation in the intron of the gene RARS2, which is associated with pontocerebellar hypoplasia. EDITORS’CHOICE 17050 Montebello Road Cupertino, California 95014 Email:AAASInfo@betchartexpeditions.com For a detailed brochure, please call (800) 252-4910 PERU June7-17,2009 Explore extraordinary cultural and archaeological wonders of Peru. Tour Lima and visit Huaca Pucclana archaeological site. See the heart of the Inca Empire at Cuzco and spec- tacular landscapes in the Andes. Visit Machu Picchu, Ollantaitambo, and Sacsayhuaman. $3,695 + air. Spitsbergen July14-26, 2009 Explore the Arctic and better understand global warming. Travel on board the M/V Antarctic Dream and see glaciers, wild- flowers, polar bears, walrus, Arctic fox, great whales, and much more! From $4,995 + air. Azores &Atlantic Crossing June 1-14, 2009 Cruise to the Azores on board the CleliaIIwith lectures at sea en route to Santa Maria where Christopher Columbus made landfall on his return from America. On the island of Sao Miguel, explore Ponta Delgada and breathtaking Sete Cidades, where two lakes fill a volcanic crater. Visit the islands of Terceira, Pico, and Faial. From $5,995 + air. China’s 2009 Eclipse July13-24, 2009 Visit three of China’s important cultural sites—Beijing, Xi’an, and Hangzhou—before seeing the Total Solar Eclipse, July 22, 2009 at the mouth of the Qiantang River near Hangzhou. $3,695 + air. Travel with AAAS Although the 5’ splice site mutation improves complementarity with the canonical U1 register, it weakens base pairing in the +1 register, and it is this imbalance that probably causes the exon skipping seen in the disease. — GR Nat. Struct. Molec. Biol. 16, 176 (2009). E N G I N E E R I N G Keeping Chips Cool The heat that is generated by silicon chips in the integrated circuits at the heart of modern elec- tronic devices must be efficiently removed, because the performance of field-effect transistors degrades at higher temperatures. One approach for providing active cooling next to a chip is to use thermo- electric materials, which effectively transport heat via current flow. Chowd- hury et al. fabricated a material with a high coeffi- cient of thermoelectric perform- ance and sandwiched it between the chip and a thermal sink layer. Specifically, the thermoelectric mate- rial comprised superlattices of p-type Bi 2 Te 3 /Sb 2 Te 3 and n-type Bi 2 Te 3 /Bi 2 Te 2.83 Se 0.17 grown on GaAs substrates by metal-organic chemical vapor depo- sition. The assembled devices could cool a targeted region on a silicon chip with a high heat flux (1300 W/cm2) by 15°C. — PDS Nat. Nanotechnol. 4, 10.1038/ NNANO.2008.417 (2009). A P P L I E D P H Y S I C S Sensing the Vibes Remotely Vibrations in machinery can lead to excessive wear, and, in the worst case, to catastrophic failure. Mon- itoring unwanted vibration is therefore an impor- tant safety issue. Probing the response of materials to vibrations at ultrasonic frequencies can provide a diagnostic test for defects and cracks in materials that may appear before the device breaks down. It is not always possible, or feasible, to use mechani- cally attached sensors, and so optical sensors may allow for nonintrusive monitoring. Bouncing laser light off a textured surface (such as a wall, a can, or paper) produces a speckle pattern. Bessette et al. introduce a photoconductive sensor that probes the movement of the speckle pattern as the sam- ple, in this case a metal surface cut from a can, is vibrated at high frequency. Using a simple silicon- based photoconductive element, which can be shrunk to micrometer size, they can look at the movement of a single speckle, thereby giving them the ability to monitor vibrations at ultrasonic fre- quencies remotely. — ISO Appl. Phys. Lett. 94, 41121 (2009). Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ Product Protection Jake Yeston DOI: 10.1126/science.323.5917.984c (5917), 984.323Science ARTICLE TOOLS http://science.sciencemag.org/content/323/5917/984.3 CONTENT RELATED file:/content/sci/323/5917/twil.full PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. 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work_ldklznsb5nc4lnpmlqb7cwkws4	----	Microsoft Word - 187studyoflawandrelecclj0112.docx 187 LR Draft Published in Ecclesiastical Law Journal 14 (2012): 327-354 The Study of Law and Religion in the United States: An Interim Report John Witte, Jr. Director, Center for the Study of Law and Religion, Emory University Abstract The study of law and religion has exploded around the world. This article, prepared in celebration of the silver anniversary of the Ecclesiastical Law Society, traces the development of law and religion study in the United States. Despite its long tradition of strict separation of church and state and despite its long allegiance to legal positivism and intellectual secularization, the United States has emerged as a world leader of the new interdisciplinary field of law and religion. Hundreds of American scholars, from different confessions and professions, are now at work in this field, and two dozen major research centers and journals have been established at American law schools. After canvassing some of the main themes and trends in American law and religion scholarship today, this article concludes with a brief reflection on some of the main challenges before Christian scholars who work in the field of ecclesiastical law.1 Keywords: Law and Religion; Interdisciplinary Legal Study; Legal Positivism; Separation of Church and State; Natural Law Theory; Religious Freedom; Religion-State Relations; Freedom of Public Religion; Oliver Wendell Holmes, Jr.; United States Supreme Court; Protestantism; Catholicism; Orthodox Christianity 1 This Article is an expansion of my lecture at the 25th anniversary conference of the Ecclesiastical Law Society held at Emmanuel College, Cambridge University, March 2, 2012. I am grateful to Professor Dr. Mark Hill and the Rev. Dr. Will Adam for their editorial direction, and fellow lecturers Professors Silvio Ferrari and Julian Rivers for their exquisite lectures and the learned conversation amongst the three of us. The material from this Article is drawn in part from the following volumes, each of which provide more detailed footnotes: John Witte, Jr. and Frank S. Alexander, eds., Christianity and Law: An Introduction (Cambridge, 2008); John Witte, Jr. and Frank S. Alexander, eds., Modern Christian Teachings on Law, Politics, and Human Nature, 2 vols. (New York, 2006); John Witte, Jr. and Joel A. Nichols, Religion and the American Constitutional Experiment, 3d ed. (Boulder, CO, 2010); John Witte, Jr., God’s Joust, God’s Justice: Law and Religion in the Western Tradition (Grand Rapids, MI, 2006). 2 INTRODUCTION Over the past two generations, a new interdisciplinary movement has emerged in the United States dedicated to the study of the religious dimensions of law, the legal dimensions of religion, and the interaction of legal and religious ideas and institutions, norms and practices. This study is predicated on the assumptions that religion gives law its spirit and inspires its adherence to ritual and justice. Law gives religion its structure and encourages its devotion to order and organization. Law and religion share such ideas as fault, obligation, and covenant and such methods as ethics, rhetoric, and textual interpretation. Law and religion also balance each other by counterpoising justice and mercy, rule and equity, discipline and love. This dialectical interaction gives these two disciplines and dimensions of life their vitality and their strength. To be sure, most scholars acknowledge, the spheres and sciences of law and religion have, on occasion, both converged and contradicted each other. Every major religious tradition has known both theonomism and antinomianism -- the excessive legalization and the excessive spiritualization of religion. Every major legal tradition has known both theocracy and totalitarianism -- the excessive sacralization and the excessive secularization of law. But the dominant reality in most eras and most cultures, many scholars now argue, is that law and religion relate dialectically. Every major religious tradition strives to come to terms with law by striking a balance between the rational and the mystical, the prophetic and the priestly, the structural and the spiritual. Every major legal tradition struggles to link its formal structures and processes with the beliefs and ideals of its people. Law and religion are distinct spheres and sciences of human life, but they exist in dialectical interaction, constantly crossing-over and cross-fertilizing each other.2 It is these points of cross-over and cross-fertilization that are the special province of the scholarly field of law and religion. How do legal and religious ideas and institutions, methods and mechanisms, beliefs and believers influence each other -- for better and for worse, in the past, present, and future? These are the cardinal questions that the burgeoning field of law and religion study has set out to answer. Over the past two generations, scholars of various confessions and professions have addressed these questions with growing alacrity. In the United States, this is now a substantial scholarly guild. The Association of American Law Schools, the principal scholarly group to which most American law professors 2 See esp. the early anchor text in this field by Harold J. Berman, The Interaction of Law and Religion (Nashville, TN, 1974), updated in Harold J. Berman, Faith and Order: The Reconciliation of Law and Religion (Grand Rapids, MI, 1993); Harold J. Berman, et al., The Nature and Functions of Law, 5th ed. (Westbury, NY, 2006); and in Harold J. Berman, Law and Language: Effective Symbols of Community (Cambridge, 2013). See further Howard O. Hunter, ed., The Integrative Jurisprudence of Harold J. Berman (Boulder, CO, 1996). 3 belong, has a large section of members on law and religion, and growing sections on Jewish law and Christian law as well – collectively involving nearly 500 American law professors. Law and religion themes are also becoming more prominent in the Association’s other sections -- and in parallel legal societies -- on legal history, constitutional law, comparative law, international law, law and society, and jurisprudence. The American Political Science Association has some 450 members in its Religion and Politics Section, drawn principally from university departments of politics and government, with a few legal scholars involved as well. And the Society of Christian Ethics has an informal group of some 150 members, several of them with legal training, who have stated interests in the interaction of law, religion, and ethics. Some 110 American law schools now have at least one basic course on religious liberty or church-state relations as part of their basic legal curriculum, and a growing number of law schools also offer courses in Christian canon law, Jewish law, Islamic law, and natural law. Many scholars now include serious consideration of law and religion materials in their treatments of legal ethics, legal history, jurisprudence, law and literature, legal anthropology, comparative law, family law, human rights, and other basic law courses. Some two dozen American law schools now have interdisciplinary programs or concentrations in law, religion, and ethics, several with specialty journals, websites, and blogs on law and religion, or with heavy law and review content in their general law journals.3 Some 750 books and 5000 articles on law and religion themes were published in America from 1985 to 2010.4 Religion is no longer just the hobbyhorse of isolated and peculiar professors principally in their twilight years and suddenly concerned about their eternal destiny. It is no longer just the preoccupation of law schools that were explicitly founded on Catholic, Protestant, Evangelical, Mormon, or Jewish beliefs. Religion now stands alongside economics, philosophy, literature, politics, history, and other disciplines as a valid and valuable conversation partner with law. A half century ago, even the most optimistic forecaster could have not predicted such a precocious growth of law and religion study in America. In the 1960s and 1970s, American universities were still in the thrall of the secularist hypothesis that the spread of Enlightenment reason and science would slowly eclipse the sense of the sacred and restore the sensibilities 3 These American law schools have structured law and religion programs with joint degrees, cross-listed courses, research projects, public lectures and conferences, and/or print, digital, and social media offerings: Brigham Young, Campbell, Catholic, DePaul, Detroit, Duke, Emory, Faulkner, Fordham, George Washington, Hofstra, Notre Dame, Pepperdine, Regent, Rutgers, Seton Hall, St. John’s, St. Mary’s, St. Thomas, Touro, Valparaiso, Vanderbilt, Villanova, Wake Forest. 4 See, e.g., F.C. DeCoste and Lillian MacPhearson, Law, Religion, Theology: A Selective Annotated Bibliography (West Cornwall, CT, 1997); “Reviews on New Books in Law and Religion,” Journal of Law and Religion 16 (2001): 249-1035 and 17 (2002): 97-459, and ongoing scholarship reflected and reviewed in such specialty journals as the Ecclesiastical Law Journal, Studia Canonica, Bulletin of the Medieval Canon Law Society, Zeitschrift der Savigny-Stiftung (Kanonisches Abteilung), Ius Commune, Journal of Law and Religion, Journal of Church and State, Oxford Journal of Law and Religion, Rutgers Journal of Law and Religion, and others. 4 of the superstitious.5 Liberalism, Marxism, and various new critical philosophies were regnant on many American university campuses, and even divinity schools and seminaries were arguing that “God is dead” and that organized religion is dying. In this same period, American law schools sat comfortably in the embrace of a legal positivist philosophy that viewed law as an autonomous science which had no place for religion, morality, or any other non-legal perspective. And the United States Supreme Court was hard at work building up a “high and impregnable wall of separation” between church and state and striking down laws that did not have a “secular purpose” or primary secular effect. Nothing in the intellectual, professional, and constitutional climate of the mid-twentieth century seemed conducive to the growth of law and religion study. The aim of this article is to analyze a bit how we got from there to here – from a system of American law and legal education in the 1960s and 1970s that little place for religion to the current system that embraces religion as an important source and dimension of law, politics, and society. Part I traces the implosion of legal positivism and the rise of interdisciplinary legal study in American law schools, including the study of law and religion. Part II traces the erosion of the wall of separation between church and state in constitutional law and the new constitutional pattern of granting equal treatment to religion and non-religion alike. Part III surveys some of the main themes of law and religion scholarship in the United States today. Part IV lifts up a few of the main challenges that will face the principally Christian readership of this journal over the next twenty-five years, as we prepare for the golden anniversary of the Ecclesiastical Law Society. FROM LEGAL POSITIVISM TO INTERDISCIPLINARY LEGAL STUDY "The better the society, the less law there will be. In Heaven there will be no law, and the lion will lie down with the lamb.... In Hell there will be nothing but law, and due process will be meticulously observed."6 So wrote Yale law professor, Grant Gilmore, to conclude his Ages of American Law. The book was published in 1974, just at the end of the “age” of legal positivism. Gilmore crafted this catchy couplet to capture the pessimistic view of law, politics, and society made popular by the American jurist and Supreme Court Justice Oliver Wendell Holmes, Jr. (1841-1935). Contrary to the conventional portrait of Holmes as the sage and sartorial “Yankee from Olympus,”7 Gilmore portrayed Holmes as a “harsh and cruel” man, chastened and charred by the savagery of the American Civil War and by the gluttony of the Industrial Revolution. These experiences, Gilmore argued, had made Holmes “a bitter and lifelong pessimist who saw in the course of human life nothing but a continuing struggle in 5 For parallel secularization movements in Europe, see Silvio Ferrari, “Law and Religion in a Secular World: A European Perspective,” Ecclesiastical Law Journal _ (2012): __ [this issue]; Julian Rivers, The Law of Organized Religions: Between Establishment and Secularism (Oxford, 2010). 6 Grant Gilmore, The Ages of American Law (New Haven, CT, 1977), pp. 110-11. 7 Catherine Drinker Bowen, Yankee From Olympus: Justice Holmes and His Family (Boston, 1944). 5 which the rich and powerful impose their will on the poor and the weak.”8 The cruel excesses of the Bolshevik Revolution, World War I, and the Great Depression in the first third of the twentieth century only confirmed Holmes in his pessimism that human life was “without values.”9 This bleak view of human nature shaped Holmes’ bleak view of law, politics, and society. Holmes regarded law principally as a barrier against human depravity – a means to check the proverbial “bad man” against his worst instincts and to make him pay dearly if he yielded to temptation.10 Holmes also regarded law as a buffer against human suffering – a means to protect the vulnerable against the worst exploitation by corporations, churches, and Congress. For Holmes, there was no higher law in heaven to guide the law below. There was no path of legal virtue up which a man should go. For Holmes, the “path of the law” cut a horizontal line between heaven and hell, between human sanctity and depravity. Law served to keep society and its members from sliding into the abyss of hell. But it could do nothing to guide its members in their ascent to heaven. Holmes was the “high priest” of a new “age of faith” in American law, Gilmore wrote with intended irony, which replaced an earlier era dominated by the church and the clergy.11 The confession of this new age of faith was that America was a land “ruled by laws, not by men.” Its catechism was the new case law method of the law school classroom. Its canon was the new concordance of legal codes, amply augmented by New Deal legislation. Its church was the common law court where the rituals of judicial formalism and due process would yield legal truth. Its church council was the Supreme Court which now issued opinions with as much dogmatic confidence as the divines of Nicea, Augsburg, and Trent. This new age of faith in American law was in part the product of a new faith in the positivist theory of knowledge that swept over America in the later nineteenth and twentieth centuries, eclipsing earlier theories of knowledge that gave religion and the church a more prominent place. In law, the turn to positivism proceeded in two stages. The first stage was scientific. Inspired by the successes of the early modern scientific revolution—from Copernicus to Newton—nineteenth-century American jurists set out to create a method of law that was every bit as scientific and rigorous as that of the new mathematics and the new physics. This scientific movement in law was not merely an exercise in professional rivalry. It was an earnest attempt to show that law had an autonomous place in the cadre of positive sciences, that it could not and should not be subsumed by theology, philosophy, or political economy. In testimony to this claim, American jurists in this period poured forth a staggering 8 Gilmore, Ages of American Law, pp. 48-56, 110, 147 n.12. 9 Albert W. Alschuler, Life Without Values: The Life, Work and Legacy of Justice Holmes (Chicago, 2000). 10 Oliver Wendell Holmes, Jr., “The Path of the Law (1897),” in Oliver Wendell Holmes, Jr., Collected Legal Papers (New York, 1920), p. 170. 11 Gilmore, Ages of American Law, pp. 41-67 6 number of new legal codes, new constitutions, new legal encyclopedias, dictionaries, textbooks, and other legal syntheses that still grace, and bow, the shelves of our law libraries. The second stage of the positivist turn in law was philosophical. A new movement— known variously as legal positivism, legal formalism, and analytical jurisprudence—sought to reduce the subject matter of law to its most essential core. If physics could be reduced to "matter in motion" and biology to "survival of the fittest," then surely law and legal study could be reduced to a core subject as well. The formula was produced in the mid-nineteenth century—most famously by John Austin (1790-1859) in England and Christopher Columbus Langdell (1826-1906) in America: Law is simply the concrete rules and procedures posited by the sovereign, and enforced by the courts. Many other institutions and practices might be normative and important for social coherence and political concordance. But they are not law. They are the subjects of theology, ethics, economics, politics, psychology, sociology, anthropology, and other humane disciplines. They stand, in Austin’s apt phrase, beyond “the province of jurisprudence properly determined.”12 This positivist theory of law, which swept over American law schools from the 1890s onward, rendered legal study increasingly narrow and insular. Law was simply the sovereign's rules. Legal study was simply the analysis of the rules that were posited, and their application in particular cases. Why these rules were posited, whether their positing was for good or ill, how these rules affected society, politics, or morality were not relevant questions for legal study. By the early twentieth century, it was common to find American law schools separated from other parts of the university with their own faculties, facilities, and libraries. It was common to read in legal textbooks that law is an autonomous science, that its doctrines, language, and methods are self-sufficient, that its study is self-contained.13 It was common to think that law has the engines of change within itself; that, through its own design and dynamic, law marches teleologically through time "from trespass to case to negligence, from contract to quasi-contract to implied warranty."14 Holmes was an early champion of this positivist theory of law and legal development. He rebuked more traditional views with a series of famous aphorisms that are still often quoted today. Against those who insisted that the legal tradition was more than simply a product of 12 See esp. John Austin, The Province of Jurisprudence Determined, Being the First of a Series of Lectures on Jurisprudence, or, The Philosophy of Positive Law (London, 1861-63); Christopher Columbus Langdell, A Selection of Cases on the Law of Contracts (Boston, 1879), preface; Christopher Columbus Langdell, "Harvard Celebration Speeches," Law Quarterly Review 3 (1887): 123-125. 13 See, e.g., John Wigmore, "Nova Methodus Discendae Docendaeque Jurisprudentiae," Harvard Law Review 30 (1917): 812-29; Oliver Wendell Holmes, Jr., "Learning and Science," and "Law in Science, Science in Law," in Holmes, Collected Legal Papers, pp. 139, 231; Robert Stevens, Law School: Legal Education in America from the 1850s to 1980s (Chapel Hill, NC, 1983). 14 Barbara Shapiro, "Law and Science in Seventeenth-Century England," Stanford Law Review 21 (1969): 728. 7 pragmatic evolution, he wrote, “The life of the law is not logic but experience.”15 Against those who appealed to a higher natural law to guide the positive law of the state, Holmes cracked, “There is no such brooding omnipresence in the sky.”16 Against those who argued for a more principled jurisprudence, Holmes retorted, “General principles do not decide concrete cases.”17 Against those who insisted that law needed basic moral premises to be cogent, Holmes mused, “I should be glad if we could get rid of the whole moral phraseology which I think has tended to distort the law. In fact even in the domain of morals I think that it would be a gain, at least for the educated, to get rid of the word and notion [of] Sin.”18 Despite its new prominence in the early twentieth century, American legal positivism was never without its detractors. Already in the 1920s and 1930s, sociologists of law argued that the nature and purpose of law and politics cannot be understood without reference to the spirit of a people and their times—of a Volksgeist und Zeitgeist as their German counterparts put it.19 The legal realist movement of the 1930s and 1940s used the new insights of psychology and anthropology to cast doubt on the immutability and ineluctability of judicial reasoning.20 The revived natural law movement of the 1940s and 1950s saw in the horrors of Hitler’s Holocaust and Stalin’s gulags, the perils of constructing a legal system without transcendent checks and balances.21 The international human rights movement of the 1950s and 1960s pressed the law to address more directly the sources and sanctions of civil, political, social, cultural, and economic rights. Marxist, feminist, and neo-Kantian movements in the 1960s and 1970s used linguistic and structural critiques to expose the fallacies and false equalities of legal and political doctrines. By the early 1970s, the confluence of these and other movements had exposed the limitations of a positivist definition of law standing alone. Leading jurists of the day—Lon Fuller, Jerome Hall, Karl Llewellyn, Harold Berman, and others—were pressing for a broader understanding and definition of law.22 Of course, they said in concurrence with legal 15 Oliver Wendell Holmes, Jr., The Common Law (Boston, 1881), p. 1. 16 Southern Pacific Co. v. Jensen, 244 U.S. 205, 222 (1917) (Holmes, J. dissenting); see also Michael H. Hoffheimer, Justice Holmes and the Natural Law (New York, 1992). 17 Lochner v. New York, 198 U.S. 45, 76 (1905). 18 Oliver Wendell Holmes, Jr., “Letter to Sir Frederick Pollock (May 30, 1927),” in Mark DeWolfe Howe, ed., Holmes-Pollock Letters: The Correspondence of Mr. Justice Holmes and Sir Frederick Pollock, 1874–1932, 2 vols. (Cambridge, MA: Harvard University Press 1941), vol. 2, p. 200. 19 See, e.g., Julius Stone, The Province and Function of Law: Law as Logic, Justice, and Social Control (London, 1947); Gustav Radbruch, Der Geist des englischen Recht (Heidelberg, 1946). 20 William W. Fisher, Morton Horwitz, and Thomas Reed, eds., American Legal Realism (New York, 1993); Wilfred E. Rumble, American Legal Realism: Skepticism, Reform, and the Judicial Process (Ithaca, NY, 1968). 21 Charles Grove Haines, The Revival of Natural Law Concepts (New York, 1965); Roscoe Pound, The Revival of Natural Law (Notre Dame, IN, 1942). See further below note _ and accompanying text. 22 Karl Llewellyn, Jurisprudence (Chicago, 1962); Lon L. Fuller, The Morality of Law, (New Haven, CT, 1964); Jerome Hall, Studies in Jurisprudence and Criminal Theory (New York, 1958); Jerome Hall, Foundations of 8 positivists, law consists of rules—the black letter rules of contracts, torts, property, corporations, and sundry other familiar subjects. Of course, law draws to itself a distinctive legal science, an "artificial reason," as Sir Edward Coke (1552-1634) once put it.23 But law is much more than the rules of the state and how we apply and analyze them. Law is also the social activity by which certain norms are formulated by legitimate authorities and actualized by persons subject to those authorities. The process of legal formulation involves legislating, adjudicating, administering, and other conduct by legitimate officials. The process of legal actualization involves obeying, negotiating, litigating, and other conduct by legal subjects. Law is rules, plus the social and political processes of formulating, enforcing, and responding to those rules.24 Numerous other institutions, besides the state, are involved in this legal functionality. The rules, customs, and processes of churches, colleges, corporations, clubs, charities, and other non-state associations are just as much a part of a society's legal system as those of the state. Numerous other norms, besides legal rules, are involved in the legal process. Rule and obedience, authority and liberty are exercised out of a complex blend of concerns, conditions, and character traits—class, gender, persuasion, piety, charisma, clemency, courage, moderation, temperance, force, faith, and more. Legal positivism could not, by itself, come to terms with law understood in this broader sense. As Grant Gilmore predicted in his 1974 title, a new interdisciplinary “age” of American law was dawning. In the 1970s and thereafter, American jurists began to (re)turn with increasing alacrity to the methods and insights of other disciplines to enhance their formulations. This was the birthing process of the modern movement of interdisciplinary legal study. The movement was born to enhance the province and purview of legal study, to refigure the roots and routes of legal analysis, to render more holistic and realistic our appreciation of law in community, in context, in concert with the humane, social, and exact sciences.25 In the 1970s, a number of interdisciplinary approaches began to enter the mainstream of American legal education—combining legal study with the study of philosophy, economics, medicine, politics, and sociology. In the 1980s and 1990s, new interdisciplinary legal approaches were born in rapid succession—the study of law coupled with the study of anthropology, literature, environmental science, urban studies, women's studies, gay-lesbian studies, and African-American studies. And, importantly for our purposes, the study of law was also recombined with the study of religion. Jurisprudence (Indianapolis, 1973); Berman, The Interaction of Law and Religion; Harold J. Berman, Law and Revolution: The Formation of the Western Legal Tradition (Cambridge, MA, 1983). 23 Anthony Lewis, "Sir Edward Coke (1552-1633): His Theory of 'Artificial Reason' as a Context for Modern Basic Legal Theory," Law Quarterly Review 84 (1968): 330. 24 Berman, Law and Revolution, pp. 4ff; Jerome Hall, Comparative Law and Social Theory (Baton Rouge, LA, 1963), pp. 78ff. 25 See, e.g., Richard A. Posner, "The Present Situation in Legal Scholarship," Yale Law Journal 90 (1981): 1113-30; Robert C. Clark, "The Interdisciplinary Study of Legal Evolution," Yale Law Journal 90 (1981): 1238-74; Symposium, "American Legal Scholarship: Directions and Dilemmas," Journal of Legal Education 33 (1983): 403- 11. 9 FROM STRICT SEPARATION TO EQUAL TREATMENT OF RELIGION The rise of law and religion study in America coincided not only with the gradual implosion of legal positivism but also with the gradual erosion of the wall of separation between church and state. The American positivist ideal of strict separation of law and religion had been one of the foundations of the American constitutional ideal of strict separation of church and state. As legal positivism became stronger in the first two thirds of the twentieth century, the wall of separation between church and state rose higher in constitutional and cultural importance. As legal positivism declined after the 1970s, the wall of separation gradually crumbled, too. The wall of separation metaphor had many early champions in American history, but it was especially the writings of America’s founder, Thomas Jefferson (1743-1826), that would prove to be the most prescient and influential in the twentieth century.26 In a series of writings from the 1770s to 1820s, Jefferson argued that true religious liberty could be achieved only by privatizing religion and secularizing politics. Religion must be "a concern purely between our God and our consciences," he wrote in 1802. Politics must be conducted with "a wall of separation between church and state." "Public religion" is a threat to private religion, and must thus be discouraged. "Political ministry" is a menace to political integrity and must thus be outlawed. Religious privatization is the bargain we must strike to attain religious freedom for all. A wall of separation is the barrier we must build to contain religious bigotry for good.27 Jefferson read this understanding of religious liberty directly into the new 1791 constitutional guarantee of the First Amendment: “Congress shall make no law respecting an establishment of religion or prohibiting the free exercise thereof.” On the one hand, he argued, the state must protect the liberty of conscience and free exercise of all its peaceable subjects - - however impious or impish their religious beliefs and practices might appear. “The Jew and the Gentile, ... the Mahometan, the Hindu, and [the] Infidel of every denomination” is equally deserving of religious liberty, Jefferson wrote.28 "Almighty God hath created the mind free,” and thus “no man shall be compelled to frequent or support any religious worship, place, or ministry whatsoever, nor shall be enforced, restrained, molested, or burthened in his body or goods, nor shall otherwise suffer on account of his religious opinions or belief; but that all men 26 See Daniel L. Dreisbach, Thomas Jefferson and the Wall of Separation (New York, 2002); see also Philip A. Hamburger, Separation of Church and State (Cambridge, MA, 2002). 27 See various drafts of this famous document in Dreisbach, Thomas Jefferson, pp. 148ff.; Ralph Ketcham, “James Madison, Thomas Jefferson, and the Meaning of ‘Establishment of Religion’ in Eighteenth-Century Virginia, “ in No Establishment of Religion: America’s Original Contribution to Religious Liberty, ed. T. Jeremy Gunn and John Witte, Jr. (Oxford, 2012), pp. 154-179. 28 Saul K. Padover, ed., The Complete Jefferson (New York, 1943), p. 1147. 10 shall be free to profess, and by argument to maintain, their opinion in matters of religion, and that the same shall in no wise diminish, enlarge, or affect their civil capacities.”29 On the other hand, Jefferson argued, the state should disestablish all religion. The state should not give special aid, support, privilege, or protection to religious doctrines or groups -- through special tax appropriations and exemptions, special donations of goods and realty, or special laws of incorporation and criminal protection. The state should not direct its laws to religious purposes. The state should not draw on the services of religious associations, nor seek to interfere in their order, organization, or orthodoxy.30 Religion flourishes best if state officials leave it alone. The state, in turn, operates best if religious officials leave it alone, Jefferson continued. Church officials must respect the wall of separation as much as the state’s officials. Clerics need to stick to their specialty of soulcraft rather than interfere in the specialty of statecraft. Religion is merely “a separate department of knowledge,” Jefferson wrote, echoing the new positivist philosophy of Frenchman, Auguste Comte (1798-1857).31 Far from being queen of the sciences, as was traditionally thought, religion is just one specialized discipline alongside physics, biology, law, politics, medicine, and many other disciplines. Preachers are the specialists in religion, and are hired by their congregants to devote their time and energy to this religious specialty alone. “Whenever, therefore, preachers, instead of a lesson in religion, put them off with a discourse on the Copernican system, on chemical affinities, on the construction of government, or the characters of those administering it, it is a breach of contract, depriving their audience of the kind of service for which they were salaried.”32 In his own day, Jefferson’s call for a strict separation of church and state was considered to be too radical to effect much constitutional change. But these separationist ideals gradually found their way into a number of state constitutions in the later nineteenth and early twentieth centuries.33 And in the 1947 case of Everson v. Board of Education, the United States Court time read this Jeffersonian understanding of religious liberty directly into the First Amendment as well.34 Justice Hugo Black wrote famously for the Everson Court: Neither a state nor the Federal Government can set up a church. Neither can pass laws which aid one religion, aid all religions, or 29 Ibid., pp. 946-947. 30 Ibid., pp. 518-519, 673-676, 946-947, 957-958. See further Edwin S. Gaustad, Sworn on the Altar of God: A Religious Biography of Thomas Jefferson (Grand Rapids: Wm. B. Eerdmans, 1996). 31 See The Positive Philosophy of Auguste Comte, trans. Harriet Martineau (London, 1853). 32 Letter from Thomas Jefferson to P.H. Wendover (March 13, 1815), quoted and discussed in Hamburger, Separation of Church and State, pp. 152-154. 33 For different accounts, see Dreisbach, Thomas Jefferson; Hamburger, Separation of Church and State; Steven K. Green, The Second Disestablishment: Church and State in Nineteenth Century America (New York, 2010). 34 The Court first used this metaphor in Reynolds v. United States, 98 U.S. 146, 164 (1879). 11 prefer one religion over another. Neither can force nor influence a person to go or to remain away from church against his will or force him to profess a belief or disbelief in any religion. No person can be punished for entertaining or professing religious beliefs or disbeliefs, for church attendance or non-attendance. No tax in any amount, large or small, can be levied to support any religious activities or institutions, whatever they may be called, or whatever form they may adopt to teach or practice religion. Neither a state nor the Federal Government can, openly or secretly, participate in the affairs of any religious organizations or groups, or vice versa. In the words of Jefferson, the clause against establishment of religion by law was intended to erect "a wall of separation between church and state."35 In its early First Amendment free exercise cases (and free speech cases on religion), the Supreme Court used this Jeffersonian logic to protect the private exercises of religion, even those of unpopular religious groups. Religious proselytizers like Jehovah’s Witnesses, the Court held repeatedly, could not be denied licenses to preach, parade, or pamphleteer just because they were unpopular.36 Public school students could not be compelled to salute the flag or recite the pledge if they were conscientiously opposed.37 Other parties, with scruples of conscience, could not be forced to swear oaths before receiving citizenship status, property tax exemptions, state bureaucratic positions, social welfare benefits, or standing in courts.38 And religious organizations had constitutional protection to adjudicate their own internal disputes over property and polity without state interference.39 On the religion side of the wall of separation, the First Amendment provided religion with ample protection. On the political side of the wall, however, religion could not depend upon the state’s patronage. The Court drove this point home in a long series of establishment clause cases from 1948 to 1987 that banished religion from the nation’s public (government-run) schools. The court outlawed the use of religious teachers, prayers, Bibles, devotions, Decalogue displays, creationist teachings, and moments of silences in public schools on the argument that these traditional educational practices violated the wall of separation of church and 35 Everson v. Board of Education, 330 U.S. 1, 15-16 (1947). 36 The main cases are Cantwell v. Connecticut, 310 U.S. 296 (1940); Cox v. New Hampshire, 312 U.S. 569 (1941); Murdock v. Pennsylvania 319 U.S. 141 (1943); Follet v. McCormick, 321 U.S. 574 (1944); Fowler v. Rhode Island, 345 U.S. 67 (1953); Poulos v. New Hampshire, 345 U.S. 395 (1953); Sherbert v. Verner, 374 U.S. 398 (1963). 37 The main case is West Virginia State Board of Education v. Barnette, 319 U.S. 624 (1943). 38 The main cases are In re Summers, 325 U.S. 561 (1945); Girouard v. United States, 328 U.S. 61 (1946); First Unitarian Church v. County of Los Angeles, 357 U.S. 545 (1958). 39 The main case is Kedroff v. St. Nicholas Cathedral, 344 U.S. 94 (1952). 12 state.40 The Court also removed religious schools from much of their traditional state support. States could not provide salary and service supplements to religious schools, could not reimburse them for administering standardized tests, could not lend them state-prescribed textbooks, supplies, films, or counseling services, could not allow tax deductions or credits for religious school tuition.41 The wall of separation between church and state, the Court insisted, also required a wall of separation between public state schools and private religious schools. The free exercise clause protected religion in private schools, but the establishment clause barred religion in public schools or public patronage of religious schools. In Lemon v. Kurtzman (1971), the Court distilled the Jeffersonian logic of its early cases into a general test to be used in all First Amendment establishment clause cases. Henceforth every law challenged under the establishment clause would pass constitutional muster only if it could satisfy three criteria. The law must: (1) have a secular purpose; (2) have a primary effect that neither advances nor inhibits religion; and (3) foster no excessive entanglement between church and state. Incidental religious "effects" or modest "entanglements" of church and state could be tolerated, but defiance of any of these criteria would be constitutionally fatal.42 This constitutional reification of Jeffersonian logic rendered the establishment clause a formidable obstacle to many traditional forms of state patronage of and cooperation with religion. Particularly the lower federal courts used this test to outlaw all manner of government subsidies for religious charities, social services, and mission works, government use of religious services, facilities, and publications, government protections of Sundays and Holy Days, government enforcement of blasphemy and sacrilege laws, government participation in religious rituals and religious displays. It often did not take law suits to effectuate these reforms. Particularly local governments, sensitive to the political and fiscal costs of constitutional litigation, often voluntarily ended their prayers, removed their Decalogues, and closed their coffers to religion long before any case was filed against them. The Jeffersonian logic of the establishment clause seemed to demand this. While many officials and citizens – and the elite media with them -- have remained faithful to this Jeffersonian logic, the reality is that separation of church and state is no longer the law of the land in America. Over the past thirty years, the Supreme Court has been quietly defying its earlier separationist logic and has reversed some of its harshest separationist 40 The main cases are McCollum v. Board of Education, 333 U.S. 203 (1948); Engel v. Vitale, 320 U.S. 471 (1962); Abington School District v. Schempp, 374 U.S. 203 (1963); Stone v. Graham, 449 U.S. 39 (1980); Wallace v. Jaffree, 472 U.S. 38 (1985); Edwards v. Aguillard, 482 U.S. 578 (1987). 41 The main cases are Lemon v. Kurtzman, 403 U.S. 602 (1971); Sloan v. Lemon, 413 U.S. 825 (1973); Meek v. Pittinger, 421 U.S. 349 (1975); Wolman v. Walter, 433 U.S. 229 (1977); Grand Rapids School District v. Ball, 473 U.S. 373 (1985); Aguilar v. Felton, 473 U.S. 402 (1985). See infra note _ for cases overturning several of these precedents. 42 Lemon, 403 U.S. at 602. 13 precedents.43 The Court has several times upheld government policies that provide religious parties and non-religious parties with equal access to and equal treatment in public activities, forums, facilities, and funds. Under this new equality logic, Christian clergy were just as entitled to run for state political office as non-religious candidates.44 Church-affiliated pregnancy counseling centers could be funded as part of a broader federal family counseling program.45 Religious student groups could have equal access to state university and public high school classrooms that were open to non-religious student groups.46 Religious school students were just as entitled to avail themselves of general scholarships, remedial, and disability services available to public school students.47 Religious groups were given equal access to public facilities or civic education programs that were already opened to other civic groups.48 Religious parties were just as entitled as non-religious parties to display their symbols in public forums.49 Religious student newspapers were just as entitled to public university funding as those of non-religious student groups.50 Religious schools were just as entitled as other private schools to participate in a state-sponsored educational improvement or school voucher program.51 The Court has defended these more recent holdings on wide-ranging constitutional grounds -- as a proper accommodation of religion under the establishment clause, as a necessary protection of religion under the free speech or free exercise clauses, as a simple application of the equal protection clause, among other arguments. Collectively, these cases have shifted the center of gravity of the First Amendment religion clauses from separationism and secularization to equal treatment of public and private religious expression. One theme common to the Court’s recent First Amendment cases is that religion no longer needs to remain hidden on the private side of the wall of separation between church and state. Public expression of religion must be as free as private expression of religion. Not because the religious groups in these cases are really non-religious. Not because their public 43 Mitchell v. Helms, 530 U.S. 793, 808 (2001), overruling Meek v. Pittenger, 421 U.S. 329 (1975) and Wolman v. Walter, 433 U.S. 229 (1977); Agostini v. Felton, 521 U.S. 203, 235 (1997), overruling Aguilar v. Felton, 473 U.S. 402 (1985). 44 McDaniel v. Paty, 435 U.S. 618 (1978). 45 Bowen v. Kendrick, 487 U.S. 589 (1988). 46 Widmar v. Vincent, 454 U.S. 263 (1981); Board of Education of the Westside Community Schools v. Mergens, 496 U.S. 226 (1990). 47 Witters v. Washington Department of Services for the Blind, 474 U.S. 481 (1986); Zobrest v. Catalina Foothills School District, 509 U.S. 1 (1993). 48 Lamb’s Chapel v. Center Moriches Union Free School District, 508 U.S. 384 (1993); Good News Club v. Milford Central School District, 533 U.S. 98 (2001). 49 Capitol Square Review and Advisory Board, 515 U.S. 753 (1995). 50 Rosenberger v. University of Virginia, 515 U.S. 819 (1995). 51 Mitchell v. Helms, 530 U.S. 793 (2000); Zelman v. Simmons-Harris, 122 S.Ct. 24690 (2002). 14 activities are really non-sectarian. And not because their public expressions are really part of the cultural mainstream. To the contrary, these public groups and activities deserve to be free, just because they are religious, just because they engage in sectarian practices, just because they sometimes take their stands above, beyond, and against the mainstream. They provide leaven and leverage for the polity to improve. A second theme common to these cases is that the freedom of religion sometimes requires the support of the state. Today's state is not the distant, quiet sovereign of Jefferson's day from whom separation was both natural and easy. Today's modern welfare state, whether for good or ill, is an intensely active sovereign from whom complete separation is impossible. Few religious bodies can now avoid contact with the state's pervasive network of education, charity, welfare, child care, health care, family, construction, zoning, workplace, taxation, security and other regulations. Both confrontation and cooperation with the modern welfare state are almost inevitable for any religion. When a state's regulation imposes too heavy a burden on a particular religion, the free exercise clause should provide a pathway to relief. When a state's appropriation imparts too generous a benefit to religion alone, the establishment clause should provide a pathway to dissent. But when a general government scheme provides public religious groups and activities with the same benefits afforded to all other eligible recipients, establishment clause objections are rarely availing. And, even on rare occasions, when federal courts do target religion for special burdens or benefits, Congress and state legislatures provide statutory fixes. A third theme common to these cases is that freedom of public religion also requires freedom from public religion. Government must strike a balance between coercion and freedom. The state cannot coerce citizens to participate in religious ceremonies and subsidies that they find odious. But the state cannot prevent citizens from participation in public ceremonies and programs just because they are religious. It is one thing to outlaw Christian prayers and broadcasted Bible readings from the public school; after all, students are compelled to be there. It is quite another thing to ban moments of silence and private religious speech in these same public schools. It is one thing to bar direct tax support for religious education, quite another thing to bar tax deductions for parents who choose to educate their children in religious schools. It is one thing to prevent government officials from delegating their core police powers to religious bodies, quite another thing to prevent them from facilitating the charitable services of voluntary religious and non-religious associations alike. It is one thing to outlaw governmental prescriptions of prayers, ceremonies, and symbols in public forums, quite another thing to outlaw governmental accommodations of private prayers, ceremonies, and symbols in these same public forums. A final theme common to these cases is the freedom of public religion does not mean the establishment of a common religion. Today, the public religion of America is a collection of particular religions, not a combination of religious particulars. It is a process of open religious discourse, not a product of ecumenical distillation. All religious voices, visions, and values, in all their denominational particularity, have the right to be heard and deliberated in the public square. All public religious services and activities, unless criminal or tortious, have a chance to come forth and compete. 15 Some conservative Evangelical and Catholic groups in America have seen and seized on this insight better than most. Their rise to prominence in the public square in the last three decades should not be met with glib talk of censorship or habitual incantation of Jefferson's mythical wall of separation. The rise of the so-called Christian right should be met with the equally strong rise of the Christian left, of the Christian middle, and of many other Jewish, Muslim, and other religious groups who test and contest its premises, prescriptions, and policies. That is how a healthy democracy works. The real challenge of the new Christian right is not to the integrity of American politics but to the apathy of American religions. It is a challenge for peoples of all faith and of no faiths to take their seat in public debate. Unlike a generation ago, no one seated at this table of public deliberation today needs to hide their Bibles, Qur’ans, or prayer books. No one needs to remove their yarmulkes, headscarves, or crucifixes. No one needs to cover their deep convictions under a patina of purported neutrality. American judges and jurists have overcome their allergies to public expressions of religion. They have come to realize that every serious position on the fundamentals of public and private life – on warfare, marriage reform, bioethics, environmental protection, and more -- rests on a set of founding metaphors and starting beliefs that have comparable faith-like qualities.52 As federal judge, John T. Noonan, Jr., writes: it impossible for judges or other officials "to pretend that they are neutrals somehow free from all prejudice when they decide intrachurch disputes, determine who has a religious claim, or balance the State's interest in relation to the First Amendment."53 Today, easy claims of neutrality and objectivity in public and political argument face very strong epistemological and constitutional headwinds. THE MAIN THEMES OF AMERICAN LAW AND RELIGION SCHOLARSHIP The field of law and religion scholarship in America has profited from both trends described in the prior two sections: the gradual implosion of legal positivism and the gradual erosion of the wall of separation. Religion is now a legitimate voice in legal and political discourse and a legitimate subject of interdisciplinary legal study. In the vast new law and religion literature that has emerged in the American academy over the past three decades, ten themes stand out, some more prominent than others. First, by far the largest body of law and religion scholarship is devoted to the American law of religious freedom, which I summarized a bit in the last section. This is in part the law of the First Amendment, as interpreted and applied by the federal courts. The no-establishment 52 See, e.g., Robert M. Cover, "The Supreme Court 1982 Term -- Foreword: Nomos and Narrative," Harvard Law Review 97 (1983): 4-68; Stephen L. Winter, A Clearing in the Forest: Law, Life, and the Mind (Chicago, 2001). 53 John T. Noonan, Jr., "The Tensions and the Ideals," in Religious Human Rights in Global Perspective: Legal Perspectives, ed. Johan D. van der Vyver and John Witte, Jr. (The Hague, 1996), pp. 593-606, at 604. See further Scott C. Idleman, "The Role of Religious Values in Judicial Decision Making," Indiana Law Journal 68 (1993): 433. 16 case law has been heavily focused on the role of religion in public education, the place of government in religious education, and government use and support of religious symbols, ceremonies, and services. The free exercise case law has treated a wider swath of claims -- the claims of individuals to conscientious objections to military service, education, oath swearing, medical procedures, and more; their claims to special constitutional protections for religious dress, grooming, proselytism, holy day observance, and access to sacred sites; their calls for special accommodations within the military, prisons, hospitals, public schools, government agencies, public forums, and private workplaces and associations. The federal courts have used both the establishment and free exercise clauses to deal with the rights of religious groups to incorporate, to hold and use property, to govern their religious polity and clergy, to maintain internal laws and norms of discipline, to resolve internal disputes, and to provide education, charity, and other services. While many of these religious liberty questions in America remain subject to federal – and increasingly also state – constitutional laws, they now also arise under federal, state, and local statutes and regulations. Over the past three decades, hundreds of special protections, immunities, and exemptions for religion have quietly found their way into the laws governing evidence, civil procedure, taxation, bankruptcy, labor, employment, workplace, military, immigration, prisons, hospitals, land use, zoning, education, charity, child care, and more. Ironically, parties seeking religious freedom protections today get more protection under one of these statutes than by filing a First Amendment case in federal court. Hundreds of American legal scholars have been writing on these religious liberty themes, and this topic will continue to dominate American law and religion scholarship in the foreseeable future.54 Second, a growing number of American scholars of religious liberty have been drawn to the study of comparative and international laws of religious freedom, and of the religious sources and dimensions of human rights. This is a relative new field of study in American law schools; few American jurists engaged this topic seriously before 1990. This new scholarly emphasis is part and product of the rise of comparative legal studies altogether in American law schools, catalyzed further by the Supreme Court’s new use of international norms to help make constitutional judgments. It is driven, in part, by new interest in the constitutional transformations of post-colonial Africa, post-fascist Latin America, and post-Communist Russia, Eastern Europe, and central Asia. It is driven, in part, by new interest in the jurisprudence of religious freedom in the European Court of Human Rights and in various European national courts. It is driven, in part, by the new great awakening of religion around the world that has radically shifted the religious demographic landscape of the West. American legal scholars have been in the vanguard of a growing international guild of scholars 54 See, e.g., Kent Greenawalt, Religion and Fairness, 2 vols. (Princeton, 2006-2008); Michael W. McConnell, John H. Garvey, Thomas C. Berg, Religion and the Constitution, 2d ed. (New York, 2006); Douglas Laycock, Religious Liberty, 4 vols. (Grand Rapids, MI, 2010 - ); William W. Bassett, Religious Organizations and the Law, 2 vols. with updates (St. Paul, MN, 1999); James Serritella, Religious Organizations in the United States: A Study of Identity, Liberty, and the Law (Durham, NC, 2006). 17 dedicated to the study of the international and regional human rights instruments affecting religion, and of the contributions of various faith traditions to the cultivation -- and abridgement -- of human rights and democratic norms around the world.55 A small library of books has emerged from this international guild documenting the contributions of the main world religions, especially Western Christianity, to modern understandings of human rights. A central question animating this literature is whether human rights are a universal good of human nature or a distinctly Western (Christian) invention that has no easy resonance in other cultures with different founding beliefs and values. If human rights are truly universal, what other formulations besides those rooted in Western philosophy, theology, and culture need to be incorporated? If human rights are distinctly Western (Christian) inventions, what other normative structures and systems do non-Western traditions offer to protect human dignity and to promote peace, justice, and an orderly society? A related question is whether human rights norms must now be cast in secular or neutral language in order to be legitimate and universal. Are Christian, Jewish, Islamic, Hindu, Buddhist, Confucian, Indigenous and other such declarations of human rights now in vogue, by definition, parochial and exclusive?56 Another small library of books has emerged analyzing the wide range of human rights issues that confront religious persons and communities today. A central question at work in this literature is whether freedom of religion and belief is something distinctive or simply the sum of all the other rights that other parties can claim, too. If religious freedom is distinctive, what special rights and liberties attach uniquely to religious parties that are not given to other non-religious parties? If religious freedom is not distinctive, how do core claims of conscience or central commandments of faith get protected when they run contrary to the cultural mainstream or majoritarian rules?57 A third large body of scholarship in American law schools has gathered around the perennially contested issues of law, religion, and family life. Historically, in the West, and in many religious communities still today, the marital household was viewed as both a spiritual and temporal institution, and sexual activity had both moral and material dimensions. Western churches and states thus collaborated in governing sex, marriage, and family life. They both had rules and procedures for sexual etiquette, courtship, and betrothal; for marital formation, 55 See a good summary and sampling of the recent literature and instruments in W. Cole Durham, Jr. and Brett G. Scharffs, Law and Religion: International, National, and Comparative Perspectives (New York, 2010); Johannes A. van der Ven, Human Rights or Religious Rules? (Leiden, 2010); Natan Lerner, Religion, Secular Beliefs and Human Rights: 25 Years After the Human Rights Declaration (Leiden, 2006); Tad Stahnke and J. Paul Martin, eds., Religion and Human Rights: Basic Documents (New York, 1998); Tore Lindholm, W. Cole Durham, Jr., and Bahia G. Tahzib-Lie. Facilitating Freedom of Religion or Belief: A Deskbook (Leiden, 2004); Paul M. Taylor, Freedom of Religion: UN and European Human Rights Law and Practice (Cambridge: Cambridge University Press, 2005). 56 For a recent summary of this literature, with ample bibliography, see John Witte, Jr. and M. Christian Green, eds., Religion and Human Rights: An Introduction (Oxford, 2011). 57 See literature analyzed in Mary Ann Glendon, “Is Religious Freedom Becoming a Second Class Right?” Emory Law Journal __ (2012): __. 18 maintenance, and dissolution; for conjugal duties, debts, and desires; for parental roles, rights, and responsibilities. They collaborated in setting moral and criminal laws to police and punish illicit sex. For many centuries, these two powers kept overlapping rolls of sexual sin and crime: adultery and fornication, sodomy and buggery, incest and bestiality, bigamy and polygamy, prostitution and pornography, abortion and contraception. They also operated interlocking tribunals to enforce these rules on sex, marriage, and family life. The church guarded the inner life through its canons, confessionals, and consistory courts. The state guarded the outer life through its policing, prosecution, and punishment of sexual crimes. To be sure, church and state officials clashed frequently over whose laws governed. And their respective laws on these subjects did change a great deal -- dramatically in the fourth, twelfth, sixteenth, and nineteenth centuries. But for all this rivalry and change, Christianity -- and the Jewish, Greek, and Roman sources on which it drew -- had a formative influence on Western laws of sex, marriage, and family life.58 Most of these classic legal doctrines have now been eclipsed by the dramatic rise of new public laws and popular customs of sexual liberty and personal privacy in America and other Western lands. Courtship, cohabitation, betrothal, and marriage are now mostly private sexual contracts with few roles for church and state to play and few restrictions on freedoms of entrance, exercise, and exit. Classic crimes of contraception and abortion have been found to violate constitutional liberties. Classic prohibitions on adultery and fornication have become dead or discarded letters on most statute books. Free speech laws protect all manner of sexual expression, short of obscenity. Constitutional privacy laws protect all manner of voluntary sexual conduct, short of child abuse and statutory rape. The classic prohibitions on incest, polygamy, and homosexuality still remain on some law books, but they are now the subjects of bitter constitutional and cultural battles. All this has attracted a large body of scholarship among American lawyers and legal historians. A central question of this scholarship is how to rethink and reconstruct traditional family norms and practices in a manner that respects modern norms of privacy, freedom, and equality, yet protects women, children, and other dependents who have often suffered gravely in the modern sexual and divorce revolution.59 Three new questions at the intersection of law, religion, and family are now attracting a great deal of new scholarly attention. The first concerns the growing contests between religious liberty and sexual liberty. May a state require a minister to marry a gay or 58 See literature distilled in John Witte, Jr., From Sacrament to Contract: Marriage, Religion, and Law in the Western Tradition, 2d ed. (Louisville, KY, 2011). 59 See especially the work of the late Don S. Browning, director of the Religion, Culture, and Family at the University of Chicago, and author of numerous titles, including Marriage and Modernization (Grand Rapids, MI, 2003); Don S. Browning, et al., From Culture Wars to Common Ground: Religion and the American Family Debate, 2d ed. (Louisville, KY, 2000). See also among family law scholars Margaret Brining, From Contract to Covenant: Beyond the Law and Economics of the Family (Cambridge, MA, 2000); id., Family Law and Community: Supporting the Covenant (Chicago, 2010). 19 interreligious couple, a medical doctor to perform an elective abortion or assisted-reproductive procedure, or a pharmacist to fill a contraceptive prescription -- when those required actions run counter to those parties’ core claims of conscience or central commandments of their faith? May a religious organization dismiss or discipline an official or member because of their sexual orientation or practice, or because they had a divorce or abortion? These are becoming major points of contestation and litigation.60 A second question concerns religiously- based polygamy. A century and a half ago, the United States Supreme Court firmly rejected the religious freedom claims of Mormons to practice polygamy. These issues are back in the American courts and culture wars again, with Fundamentalist Mormons and various Muslim groups pressing their case on grounds of religious freedom, sexual autonomy, domestic privacy, and equal protection. This, too, has triggered a small avalanche of writing.61 A third question concerns the growing call by selected Muslims, and other religious minorities to opt out of the state’s family law system and into their own religious legal systems. This is raising a lot of hard legal and cultural questions: What forms of marriage should citizens be able to choose, and what forums of religious marriage law should state governments be required to respect? How should religious minorities with distinct family norms and cultural practices be accommodated in a society dedicated to religious liberty and self-determination, and to religious equality and non-discrimination? Is legal or normative pluralism necessary to protect Muslims and other religious believers who are conscientiously opposed to the values that inform modern state laws on sex, marriage, and family? Doesn’t state accommodation or implementation of a faith-based family law system run the risk of higher gender discrimination, child abuse, coerced marriage, unchecked patriarchy, or worse, and how can these social tragedies be avoided? Won’t the addition of a religious legal system encourage more forum shopping and legal manipulation by crafty litigants involved in domestic disputes, often pitting religious and state norms of family against each other? Does the very state recognition, accommodation, or implementation of a religious legal system erode the authority and compromise the integrity of those religious norms? Isn’t strict separation of religious norms and state laws the best way to deal with the intimate questions of sex, marriage and family life? These hard questions are generating a great deal of important new scholarship.62 60 See a fine recent treatment in Robert K. Vischer, Conscience and the Common Good: Reclaiming the Space Between the Individual and the State (Cambridge, 2010); Douglas Laycock, Anthony R. Picarello, and Robin Fretwell Wilson, eds., Same-Sex Marriage and Religious Liberty: Emerging Conflicts (Lanham, MD, 2008); Kent Greenawalt, Private Consciences and Public Reasons (New York, 1995). 61 See sources and analysis in John Witte, Jr., Why Two in One Flesh: The Western Case for Monogamy over Polygamy (Oxford, forthcoming). See also a recent case in the British Columbia Supreme Court which sets out the main arguments in detail: Reference Re: Section 293 of the Criminal Code of Canada, No. S097767, slip op. (BCSC, Nov. 23, 2011). 62 See, e.g., Joel A. Nichols, ed., Marriage and Divorce in a Multicultural Context: Multi-Tiered Marriage and the Boundaries of Civil Law and Religion (Cambridge, 2012); Symposium, “Sharia, Family, and Democracy: Religious Norms and Family Law in Pluralistic Democratic States,” Emory International Law Review 25 (2012): 779-1059; Rex Ahdar and Nicholas Aroney, eds., Sharia in the West (Oxford, 2010). 20 Fourth, this last question – about the place of faith-based family laws in Western democracies – points to a larger question about the place of religious legal systems altogether in Western democracies, and the forms and functions of law within organized religious bodies. The internal religious legal systems of Christians, Jews, and Native American Indians have long attracted small groups of scholarly specialists in American universities. These topics are now becoming more mainstream in American law schools as well; several law schools now have specialty programs or concentrations on these topics. Among Christian legal systems, Catholic canon law gets the closest scholarly attention – in part because of the promulgation of the Code of Canon Law in 1983, in part because recent scandals over clerical pedophilia have focused new attention on the internal government of the Catholic Church. American Episcopalians, Lutherans, Presbyterians, and other mainline Protestants as well as Evangelicals and Orthodox Christians have historically had less comprehensive internal bodies of ecclesiastical law and discipline. This is now leading to costly litigation in secular courts in disputes over church property, schools, charities, labor and employment, and more. Non- Catholic Christian groups in America have begun working assiduously to put their legal houses in order with the aid of law professors – though they have not yet developed a body of “American ecclesiastical law” on the scale of the English ecclesiastical law so ably developed by Mark Hill, Norman Doe, and others.63 Jewish law, especially in its historical and Orthodox forms, has long had a small foothold in American law schools. This topic has become more mainstream with the rise of organized Jewish law courts in America that now arbitrate a number of issues of marriage, divorce, property, inheritance, and commerce for the Jewish faithful who prefer to appear before them rather than before secular courts.64 American Jewish law courts are, in fact, now viewed as models of religious arbitration for Christian, Muslim, Hindu, and other religious groups in America who prefer to avoid litigation in secular courts. The study of Muslim law (Shari’a) is now a hot growth industry in American law schools and other university departments. Part of this new interest is the natural consequence of the rapid growth of different Muslim communities in America and other Western lands and the need to discern their distinct legal needs and accommodations. But more of it is driven by the increased tensions between Islam and the West born of 9/11, 7/7, Fort Hood, the rise of al- Quaeda, and the bloody wars against terrorism in Iraq, Afghanistan, and beyond. While some American legal scholars continue to perpetuate “a clash of civilizations”65 ethic, more of them 63 For a good recent example, see Ira C. Lupu and Robert W. Tuttle, The Keys to the Kingdom: Ecclesiastical Polity and Discipline in American Protestantism (Grand Rapids, MI, 2013). See the monumental studies of Mark Hill, Ecclesiastical Law, 3d ed. (Oxford, 2007); Norman Doe, The Law of the Church in Wales (Cardiff, 2002). 64 See, e.g., Michael J. Broyde, The Pursuit of Justice and Jewish Law: Halakhic Perspectives on the Legal Profession, rev. ed. (New York, 2007); Elliot N. Dorff, The Unfolding Tradition: Jewish Law After Sinai (New York, 2005); Elliot N. Dorff and Arthur Rosett, A Living Tree: The Roots and Growth of Jewish Law (Albany, NY, 1988). 65 This is the title of Samuel P. Huntington, The Clash of Civilizations and the Remaking of World Order, pbk. ed. (New York, 2011). 21 have seen clearly the need to deepen our legal, cultural, and religious understandings across Muslim, Christian, and Jewish lines, and to develop a pan-Abrahamic jurisprudence of public, private, penal, and procedural law.66 Fifth, the emerging new scholarship on religious legal systems has moved into a broader scholarly inquiry about the influence of world religions on the secular legal systems around them, both historically and currently. Part of this inquiry concerns the exportation, transplantation, or accommodation of discrete internal religious rules or procedures into secular legal systems. But more of this inquiry concerns the influence of religious ideas and practices of each of these world religions on the public, private, penal, and procedural law of the state. Cambridge University Press has inaugurated a series of fresh studies on law and Christianity, Judaism, Islam, Hinduism, Buddhism, Confucianism, and Indigenous Religions.67 Other books are beginning to emerge offering intra- and interreligious perspectives on discrete legal topics – human rights, family law, constitutionalism, private law, and more.68 Sixth, and as a specialized form of this last topic, American jurists have long studied the historical influence of Christianity on the Western legal tradition. Legal historians of Anglo- American law – since the days of James Kent and Joseph Story in the early nineteenth century – have documented the influence of early modern English ecclesiastical law and medieval canon law on the American legal system. More recent historians have also addressed the influence of discrete groups like the New England Puritans on colonial law, or of eighteenth- century Baptists on First Amendment religious liberty law. These early specialized pockets of study are becoming broader in their inquiry and more mainstream in their influence. American legal historians like Harold J. Berman, James A. Brundage, Charles Donahue, R.H. Helmholz, John T. Noonan, Jr., Brian Tierney, and others have shown the enduring influence of medieval and early modern Catholic canon law on American and broader Western laws of marriage and family, constitutionalism and human rights, criminal law and procedure, property and 66 See esp. the work of my colleague, Abdullahi An-Na’im, Muslims and Global Justice (Philadelphia, 2011); id., Islam and Human Rights (Burlington, VT, 2010); id., Islam and the Secular State: Negotiating the Future of Shari’a (Cambridge, MA, 2008); id., Towards an Islamic Reformation: Civil Liberties, Human Rights, and International Law (Syracuse, NY, 1990). See also, for example, Robert F. Cochran, ed., Faith and Law: How Religious Traditions from Calvinism to Islam View American Law (New York, 2008). 67 See Witte and Alexander, eds. Christianity and Law: An Introduction; id., Christianity and Human Rights: An Introduction (Cambridge, 2011); Timothy Lubin, Donald R. Davis, and Jayanth K. Krishnan, eds., Hinduism and Law: An Introduction (Cambridge, 2010); Christine Hayes, ed., Judaism and Law: An Introduction (Cambridge, forthcoming); Rebecca French et al., eds., Buddhism and Law: An Introduction (Cambridge, forthcoming). See also, e.g., Michael W. McConnell, Robert F. Cochran, and Angela Carmella, eds., Christian Perspectives on Legal Thought (New Haven, CT, 2001); Don S. Browning, et al., eds., Sex, Marriage, and Family in World Religions (New York, 2006); id., Children and Childhood in World Religions (New Brunswick, NJ, 2009). 68 For a good sampling, see Frank S. Ravitch, Law and Religion, A Reader: Cases, Concepts, and Theory, 2d ed. (St. Paul, MN, 2008). 22 inheritance law, and much more.69 Several American law professors, most notably Alan Watson, have exposed the classical Roman law foundations on which these medieval canon law developments built.70 And a few legal historians are following this story of Christian legal influence into the European and North American Protestant worlds of the sixteenth through nineteenth centuries.71 Seventh, natural law theory is becoming a topic of growing interest in American law schools -- despite Holmes’ deprecation of the natural law as a “brooding omnipresence in the sky.” The modern study of natural law theory began already in the mid-twentieth century. The horrible excesses of Nazi Germany and Stalinist Russia catalyzed the modern international human rights revolution, which defined and defended the natural rights protections of human dignity and the natural law limits on state power. The rise of Catholic social teachings and the monumental reforms of the Second Vatican Council in 1962-1965 together gave further powerful impetus to Catholic natural law theories. Today, American scholars like John Finnis, Robert George, Russ Hittinger, Stephen Pope, Jean Porter, and others illustrate the wide range of Catholic natural law and natural rights teachings on a whole range of fundamental legal, political, and social issues.72 A number of Jewish, Protestant, Eastern Orthodox, and Muslim scholars are now also resurrecting the rich natural law teachings of their own traditions, and developing new natural law theories to address fundamental legal questions today in and on terms that others with different faith traditions can appreciate.73 And all these groups have found interesting overlaps with the burgeoning religion and science scholarship that is 69 See, e.g., Berman, Law and Revolution, James A. Brundage, Law, Sex, and Christian Society in Medieval Europe (Chicago, 1987); id., Medieval Canon Law (London, 1995); Charles Donahue, Law, Marriage, and Society in the Later Middle Ages (Cambridge, 2008); R.H. Helmholz, The Spirit of the Classical Canon Law (Athens, GA, 1996); id., Roman Canon Law in Reformation England (Cambridge, 1990); John T. Noonan, Jr., Canons and Canonists in Context (Goldfach, 1997); id., Power to Dissolve: Lawyers and Marriages in the Courts of the Roman Curia (Cambridge, MA, 1972); Brian Tierney, Religion, Law, and the Growth of Constitutional Thought, 1150-1625 (Cambridge, 1982); id., Medieval Poor Law: A Sketch of Canonical Theory and its Application in England (Berkeley, CA, 1959).. 70 A good summary of his voluminous scholarship is included in Alan Watson, The Spirit of the Roman Law (Athens, GA, 2005); id., Legal Transplants: An Approach to Comparative Law (Edinburgh, 1974). See also, e.g., Bruce W. Frier and Thomas A.J. McGinn, eds., Casebook on Roman Family Law (Oxford, 2004); Herbert Hausmaniger and Richard Gumauf, eds., A Casebook on Roman Property Law, trans. George A. Sheets (Oxford, 2012). 71 See, e.g., Harold J. Berman, Law and Revolution II: The Impact of the Protestant Reformations on the Western Legal Tradition (Cambridge, MA, 2003); John Witte, Jr., Law and Protestantism: The Legal Teachings of the Lutheran Reformation Cambridge, 2002); id., The Reformation of Rights: Law, Religion, and Human Rights in Early Modern Calvinism (Cambridge, 2007). 72 See, e.g., John Finnis, Natural Law and Natural Rights, 2d ed. (Oxford, 2011); Robert P. George, In Defense of Natural Law (Oxford, 1999); Russell Hittinger, The First Grace: Rediscovering the Natural Law in a Post- Christian World (Wilmington, DL, 2003); Stephen J. Pope, Human Evolution and Christian Ethics (Cambridge, 2007); Jean Porter, Ministers of the Law: A Natural Law Theory of Legal Authority (Grand Rapids, MI, 2010). 73 See, e.g., David Novak, Natural Law in Judaism (Cambridge, 1998); David VanDrunen, Natural Law and the Two Kingdoms: A Study in the Development of Reformed Social Thought (Grand Rapids, MI, 2010); John A. McGuckin, The Ascent of Christian Law: Patristic and Byzantine Reformulations (New York, 2011). 23 exposing the natural foundations of human morality and sociability. Natural law theory, while still controversial, is becoming a promising new arena of interreligious and interdisciplinary dialogue. Eighth, natural law arguments often inform a related area of continued importance in law and religion study: the topic of legal ethics, both by itself and in comparison with theological ethics, business ethics, medical ethics, and more. Legal and theological ethicists have long recognized the overlaps in form and function of the legal and religious professions. Both professions require extensive doctrinal training and maintain stringent admissions policies. Both have developed codes of professional ethics and internal structures of authority to enforce them. Both seek to promote cooperation, collegiality, esprit de corps. There are close affinities between the mediation of the lawyer and the intercession of the cleric, between the adjudication of the court and the arbitration of the consistory, between the beneficence of the bar and the benevolence of the diaconate. Ideally, both professions serve and minister to society. Both professions seek to exemplify the ideals of calling and community. Nonetheless, there can be strong tensions between one’s legal professional duties and personal faith convictions as well. What does it mean to be a Christian, Jewish, Muslim, Hindu, or Buddhist lawyer at work in a secular legal system? These topics now have attracted a small cluster of important new scholarship.74 Ninth, this last question -– about the place of the religious believer in the legal profession – has raised the broader question of the place of overt religious arguments in legal discourse altogether. This is in part an epistemological question: whether legal and political argumentation can and should forgo religious and other comprehensive doctrines in the name of rationality and neutrality. In America, this is also in part a constitutional question: whether the First Amendment prohibition on establishment of religion requires that all laws be based on secular and neutral rationales in order to pass constitutional muster. In the heyday of secular liberalism and strict separationism in the 1960s and 1970s, it was common to insist that all political debates sound in terms of rationality and neutrality.75 Today, as we saw above, a 74 See, e.g., Symposium, “The Relevance of Religion to a Lawyer’s Work: An Interfaith Conference,” Fordham Law Review 56 (1998): 1075-1651; Symposium, “Rediscovering the Rule of Religion in the Lives of Lawyers and Those They Represent, Fordham Urban Law Journal 26 (1999): 821-1200; Thomas L. Shaffer and Robert F. Cochran, Lawyers, Clients, and Moral Responsibility, 2d ed. (St. Paul, MN, 2009); Thomas L, Shaffer, On Being a Christian and a Lawyer (Provo, UT, 1981); Joseph Allegretti, The Lawyer’s Calling: Christian Faith and Legal Practice (New York, 1996). 75 For a nice sifting of recent arguments, see John Perry, The Pretenses of Loyalty: Locke, Liberal Theory, and the American Political Theology (Oxford, 2010); Steven D. Smith, The Disenchantment of Secular Discourse (Cambridge, MA, 2010). 24 number of jurists have argued that religious and other comprehensive doctrines are essential parts of an enduring legal and political morality.76 But welcoming serious public deliberation by people of all faiths imposes its own strong demands. It demands that these faith communities develop a clear conceptual bilingualism: the development of a public language that casts deeply held convictions into terms that others, with different faith assumptions and experiences, can understand and accept, even for their own reasons. It demands deep and sincere empathy: learning to appreciate the deep convictions and cardinal practices of the other, even if only by distant analogy; that is the heart of the Golden Rule. It demands long and respectful patience: spending the time to listen and to deliberate to every serious position before rushing to cultural, constitutional, or political judgment. And it demands unswerving commitment of all parties to the first premises of American constitutional democracy: that there be religious freedom for all and religious establishment for none. Tenth, and finally, questions of law and religious language, have also raised broader questions about the overlaps between legal and theological interpretation, translation, and hermeneutics. Legal historians have long been intrigued by the overlaps between the scholarly methods used to interpret the Bible and the constitution, a code and a creed, a consistory judgment and a judicial opinion. The rise of modern literary theory and of form- critical methods of biblical interpretation has heightened this scholarly interest in how to discern the original meaning and understanding of authoritative texts. And with the rise of globalization and the study of global law and world religions, a number of American jurists have become keenly interested in the questions of translation, transplantation, and transmutation of legal and religious ideas across cultural, disciplinary, and denominational boundaries.77 THE DISTINCT CHALLENGES OF CHRISTIAN JURISPRUDENCE As the foregoing map makes clear, Catholic and Protestant scholars have been among the leaders of the law and religion movement in American legal education -- along with growing numbers of Jewish and Muslim scholars, and a growing number of specialists on Asian and Traditional religions. Legal scholars from these various religious traditions have already learned a great deal from each other and have cooperated in developing richer understanding of sundry legal and political subjects. This comparative and cooperative interreligious inquiry 76 See especially the work of my colleague, Michael J. Perry, Under God? Religious Faith and Liberal Democracy (Cambridge, 2003); id., The Political Morality of Liberal Democracy (Cambridge, 2010); id., Toward ad Theory of Human Rights: Religion, Law, and the Courts (Cambridge, 2007). 77 See, e.g., recent titles by Kent Greenawalt, Legal Interpretation: Perspectives from Other Disciplines and Private Texts (Oxford, 2010); Jaroslav Pelikan, Interpreting the Bible and the Constitution (New Haven, CT: 2004); Milner S. Ball, Called By Stories: Biblical Sagas and Their Challenge for Law (Durham, NC, 2000); id., The Word and the Law (Chicago, 1993). 25 into fundamental issues of law, politics, and society needs to continue -- especially in our day of increasing interreligious conflict and misunderstanding. Christian scholars of law and religion, however – those who tend to be the readers of this distinguished Ecclesiastical Law Journal, including this author -- face some distinct challenges and opportunities in this new century that are worth spelling out by way of conclusion. A first challenge is for us Western Catholics and Protestants to make room for our brother and sisters in the Eastern Orthodox Christian tradition. Many leading Orthodox lights dealt with fundamental questions of law, politics, and society with novel insight, often giving a distinct reading and rendering of the biblical, apostolic, and patristic sources that Christians have in common. Moreover, the Orthodox Church has immense spiritual resources and experiences whose implications are only now beginning to be seen. These spiritual resources lie, in part, in Orthodox worship—the passion of the liturgy, the pathos of the icons, the power of spiritual silence. They lie, in part, in Orthodox church life—the distinct balancing between hierarchy and congregationalism through autocephaly, between uniform worship and liturgical freedom through alternative vernacular rites, between community and individuality through a trinitarian communalism, centered on the parish, on the extended family, on the wizened grandmother (the "babushka" in Russia). And these spiritual resources lie, in part, in the massive martyrdom of millions of Orthodox faithful in the last century—whether suffered by Russian Orthodox under the Communist Party, by Greek and Armenian Orthodox under Turkish and Iranian radicals, by Middle Eastern Copts at the hands of religious extremists, or by North African Orthodox under all manner of fascist autocrats and tribal strongmen. These deep spiritual resources of the Orthodox Church have no exact parallels in modern Catholicism and Protestantism, and most of their implications for law, politics, and society have still to be drawn out. How the Orthodox Church can apply them to the nurture of law, constitutionalism, and human rights is one of the great challenges, and opportunities, of this new century. At minimum, it would be wise for us Westerners to lay aside our simple caricatures of the Orthodox Church as a politically corrupted body that is too prone to clerical indiscipline, mystical idolatry, and nominal piety to have much to offer to a human rights regime. A church with nearly 300 million members scattered throughout the world defies such a glib description. It would be wise to hear what an ancient church, newly charred and chastened by decades of oppression and martyrdom, considers essential to the regime of religious rights. It would be enlightening to watch how ancient Orthodox communities, still largely centered on the parish and the family, will reconstruct social and economic rights. It would be prudent to see whether a culture, more prone to beautifying than to analyzing, might transform our understanding of cultural rights. It would be instructive to listen to how a tradition that still celebrates spiritual silence as its highest virtue might recast the meaning of freedom of speech and expression. It would be illuminating to feel how a people that have long cherished and celebrated the role of the woman—the wizened babushka of the home, the faithful 26 remnant in the parish pews, the living icon of the Assumption of the Mother of God—might elaborate the meaning of women’s rights.78 A second challenge is to trace the roots of these modern Christian teachings into the earlier modern period of the seventeenth through nineteenth centuries. Scholars have written a great deal about patristic, scholastic, early Protestant, and post-Tridentine Catholic contributions to law, politics, and society. But many of the best accounts of the history of Christian legal, political, and social thought stop in 1625. That was the year that the father of international law, Hugo Grotius (1583-1645), uttered the impious hypothesis that law, politics, and society would continue even if “we should concede that which cannot be conceded without the utmost wickedness, that there is no God, or that the affairs of men are of no concern to him.”79 While many subsequent writers conceded Grotius’ hypothesis, and embarked on the great secular projects of the Enlightenment, many great Christian writers did not. They have been forgotten to all but specialists. Their thinking on law, politics, and society needs to be retrieved, restudied, and reconstructed for our day. A third challenge is to make these modern Christian teachings on law, politics, and society more concrete. In centuries past, the Catholic, Protestant, and Orthodox traditions alike produced massive codes of canon law and church discipline that covered many areas of private and public life. They instituted sophisticated tribunals for the equitable enforcement of these laws. They produced massive works of political theology and theological jurisprudence, with ample handholds in catechisms, creeds, and confessional books to guide the faithful. Some of that sophisticated legal and political work still goes in parts of the Christian church today. Modern Christian ethicists still take up some of the old questions. Some Christian jurists have contributed ably and amply to current discussion of human rights, family law, and religious liberty. But the legal structure and sophistication of the modern Christian church as a whole is a pale shadow of what went on before. It needs to be restored lest the church lose its capacity for Christian self-rule, and its members lose their capacity to serve as responsible Christian “prophets, priests, and kings.” The intensity and complexity of the modern culture wars over family, education, charity, religious liberty, constitutional order, and other cardinal issues demand this kind of fundamental inquiry. Too often of late, Christians have marched to the culture wars without ammunition—substituting nostalgia for engagement, acerbity for prophecy, platitudes for principled argument. Too often of late, Christians have been content to focus on small battles 78 See sources in John Witte, Jr. and Michael Bourdeaux, eds., Proselytism and Orthodoxy in Russia: The New War for Souls (Maryknoll, NY, 1999); John Witte, Jr. and Frank S. Alexander, eds., The Teachings of Modern Orthodox Christianity on Law, Politics, and Human Nature (New York, 2007). 79 Hugo Grotius, De Iure Belli ac Pacis (1625), Prolegomena, 11. See, e.g., Oliver O’Donovan and Joan Lockwood O’Donovan, From Irenaeus to Grotius: Christian Political Thought, 100-1625 (Grand Rapids, MI, 1999); Brian Tierney, The Idea of Natural Rights: Studies on Natural Rights, Natural Law, and Church Law, 1150-1625 (Grand Rapids, MI, 1997). 27 like prayers in schools and Decalogues on courthouses, without engaging the great domestic and international soul wars that currently beset us. The church needs to reengage responsibly the great legal, social, and political issues of our age, and to help individual Christians participate in the public square in a manner that is neither dogmatically shrill nor naively nostalgic but fully equipped with the revitalized resources of the Bible and the Christian tradition in all their complexity and diversity. A fourth challenge is for modern Catholic, Protestant, and Orthodox Christians to develop a rigorous ecumenical understanding of law, politics, and society. This is a daunting task. It is only in the past three decades, with the collapse of Communism and the rise of globalization, that these three ancient warring sects of Christianity have begun to come together and have begun to understand each other. It will take many generations more to work out the great theological disputes over the nature of the Trinity or the doctrine of justification by faith. But there is more confluence than conflict in Catholic, Protestant, and Orthodox understandings of law, politics, and society, especially if they are viewed in long and responsible historical perspective. Scholars from these three great Christian traditions need to come together to work out a comprehensive new ecumenical “concordance of discordant canons” that draws out the best of these traditions, that is earnest about its ecumenism, and that is honest about the greatest points of tension. Few studies would do more both to spur the great project of Christian ecumenism and to drive modern churches to get their legal houses in order. A final challenge, and perhaps the greatest of all will be to join the principally Western Christian story of law, politics, and society known in North America and Western Europe with comparable stories that are told in the rest of the Christian world. Over the past two centuries, Christianity has become very much a world religion—claiming some two billion souls. Strong new capitals and captains of Christianity now stand in the south and the east—in Africa, Korea, China, India, the Philippines, Malaysia, and well beyond. In some of these new zones of Christianity, the Western Christian classics are still being read and studied. But rich new indigenous forms and norms of law, politics, and society are also emerging, premised on very different Christian understandings of theology and anthropology. It would take a special form of cultural arrogance for Western and non-Western Christians to refuse to learn from each other. 
work_ldpl4i7tpfhaxpvsch5gehhvly	----	Tan_CMC-HT Current Medicinal Chemistry, 2004, 11, 1423-1430 1423 0929-8673/04 $45.00+.00 © 2004 Bentham Science Publishers Ltd. Immunomodulatory and Antimicrobial Effects of Some Traditional Chinese Medicinal Herbs: A Review Benny K.H. Tan* and J. Vanitha Department of Pharmacology, Faculty of Medicine, National University of Singapore, 18 Medical Drive, Singapore 117597 Abstract: The current practice of ingesting phytochemicals to support the immune system or to fight infections is based on centuries-old tradition. We review reports on seven Chinese herbs, (Aloe vera Mill. (Aloaceae), Angelica species (Umbelliferae), Astragalus membranaceus Bunge. (Leguminosae), Ganoderma lucidum (Fr.) Karst. (Ganodermataceae), Panax ginseng C.A Mey. (Araliaceae), Scutellaria species (Lamiaceae) and Zingiber officinale Rosc. (Zingiberaceae) with emphasis to their immunomodulatory and antimicrobial activities. While some of these herbaceous plants have a direct inhibitory effect on microbial organisms, we observe that each plant has at least one compound that selectively modulates cells of the immune system. The successful derivation of pure bioactive compounds from Ganoderma lucidum, ginseng and Zingiber officinale supports the traditional practice of using these plants to stimulate the immune system. As many modern drugs are often patterned after phytochemicals, studying the influence of each compound on immune cells as well as microbes can provide useful insights to the development of potentially useful new pharmacological agents. Keywords: Anti-bacterial, anti-fungal, anti-microbial, Chinese herbs, immune system, phytochemicals, TCM, herbal toxicology. INTRODUCTION The world we live in is one full of microbes. Our body temperature and wealth of nutrients provide an ideal home for these micro-organisms to thrive. The human immune system has the essential function of protecting the body against the damaging effects of microbial agents that are pathogenic. The system comprises innate (non-specific) and acquired (specific) immunity. Natural killer (NK) cells, complement system, macrophages, antigen presenting cells (APCs) and neutrophils make up the innate immune system, and mounts an immediate non-specific response to foreign microbial agents. If microbes by-pass this primary defence, the acquired immune response, comprising humoral and cell- mediated components, will then act to contain the invaders. The type of antigen (fungi, virus, bacteria, toxin) processed and presented by APCs to the CD4+ T cell determines the type of cytokines secreted, which in turn, determine the differentiation of helper T (TH) cells into TH1 or TH2 cells, and B-cells to give immunoglobulin subtypes. TH1 response involves the activation of macrophages, which contain and destroy mycobacteria and fungal pathogens. TH1 pathway also activates cell-mediated immunity. TH2 cells, on the other hand, effect immunoglobulin differentiation and antibody secretion, and therefore mediate humoral immunity. CD8+ cytotoxic T cells induce apoptosis in antigen-laden cells [1]. Apart from these natural mechanisms, there are additional factors that stimulate and suppress host immunity. Immunostimulants enhance the overall immunity of the *Address correspondence to this author at the Department of Pharmacology, Faculty of Medicine, National University of Singapore, 18 Medical Drive, Singapore 117597; E-mail: phctankh@nus.edu.sg host, and present a non-specific immune response against the microbial pathogens. They also work to heighten humoral and cellular immune responses, by either enhancing cytokine secretion, or by directly stimulating B- or T-lymphocytes. The use of plant products as immunostimulants has a traditional history. However, the isolation of the active principals involved did not gain momentum till the 19t h century [2]. A study in 1990 showed that 64% of the world’s population use botanic drugs to combat health problems [3]. Currently, it is estimated that almost 50% of the synthetic medicines are derived from, or patterned after, phytochemicals [4]. Plants synthesize chemicals as part of their defense against pathogens. Many such compounds occur in nature as anti-feedant and anti-infectant chemicals, and are found effective against microbes. Flavonoids and hydroxylated phenols, for example, are naturally synthesized by plants in response to infection [5]. Flavones and flavanones, being bitter, also have natural anti-feedant effects. Alkaloids are the most common plant metabolites [6]. An alkaloid derivative, nicotine, for example, has been shown to have insecticidal activities [7]. Quinine, another alkaloid isolated from the bark of the Cinchona tree, was the first effective anti-malarial drug [8]. TRADITIONAL CHINESE MEDICINE The concepts relating to Traditional Chinese Medicine (TCM) had already been well accepted by their practitioners, when scientific proof of medical concepts emerged. For instance, the theory that blood circulates in the body, and is not static originated more than 1000 years before William Harvey described it in 1628 [9]. TCM encompasses 4 disciplines of practice: Herbalism, food cures, acupuncture 1424 Current Medicinal Chemistry, 2004, Vol. 11, No. 11 Tan and Vanitha Table 1. Summary of Phytochemicals and their Effects on Immune Cells and Microbes No Species Plant part Chemical compound Chemical identity Biological activity 1 Aloe vera Leaves CARN750 polysaccharide Selectively stimulates cytokines, activates lymphocytes [18] 2 Angelica dahurica Roots 5,8-di (2,3-dihydroxy-3- methylbutoxy)-psoralen furocoumarins Toxic to Aspergillus candidus [24] (R)-heraclenol furocoumarins Toxic to Bacillus subtilis [24] Ferulic acid, Byakangelicin furocoumarins Toxic to Cladosporium herbarum [24] Angelica gigas Roots Angelan polysaccharide Selectively modulates cytokines [30] 3 Astragalus membranaceus Roots polysaccharide Increase macrophage count [33] soluble extracts Selectively stimulates cytokines [31] 4 Ganoderma lucidum Fruiting bodies water soluble extracts glycoproteins Selectively stimulate cytokine [35] GLIS proteoglycan Stimulate lymphocytes [39] water- and ethanol-soluble extracts polysaccharide Increase natural killer cell count [40] 5 Panax notoginseng Roots Pananotin peptide Toxic to Coprinus comatus, Physalospora piricola, Botrytis cinerea, Fusarium oxysporum [52] Panaxagin peptide Fungal ribosome inactivating protein [53] Panax ginseng Roots Panaxadiol, Panaxatriols saponins Stimulate lymphocytes and cytokines [46] Ginsan acidic polysaccharide Stimulate IL-1, IL-12, TNF-α and IFN-γ [48] Rhamnogalacturonan II saponins IL-6 stimulant [47] Panax ginseng Leaves Rhamnogalacturonan II saponins Enhance macrophage actions, stimulate IL-6 activity [74,75] 6 Scutellaria barbata Roots Apigenin flavonoid Toxic to MRSA [55] Scutellaria baicalensis Wogonin flavonoid Stimulates TNF-α, activates iNOS [61] Scutellaria albida Linalool flavonoid Toxic to S. aureus, B. subtilis, E. coli and P. aeruginosa [62] 7 Zingiber officinale Rhizome Citral Antimicrobial [65] Curcumin sesquiterpene Toxic to Rhizoctonia solani [65] Dehydrozingerone Antifungal [65] 1,7-bis(4-hydroxy-3- methoxyphenyl)hept-4-en- 3-one shogasulfonic acid Toxic to Pyricularia oryzae [70] ethanol soluble extracts IL-1, IL-6 stimulant [72] and manipulative therapy [10]. In this review, we focus on the herbal component of TCM. The use of Chinese herbs is believed to have originated during the Xia dynasty, more than 4000 years ago. The founder of Chinese medicine, Shen Nung, is regarded as the Father of medicine [11]. Unlike many breakthroughs in drug discovery that came through serendipity, such as the discovery of penicillin and digoxin, it is believed that the discovery of the medicinal value of Chinese medicinal herbs was not by chance. History records that Shen Nung sampled plants in the hundreds to examine their effects, both good and bad. With the accumulation of medical experiences, the theories and concepts of TCM emerged. The “Classic of Shen Nung’s Materia Medica” is said to be the first book that summarised the properties and functions of over 300 herbs [9]. As communication links improved, cultural exchanges between neighbouring nations, Korea, Japan and India, brought about more plants with nutritional value and more ways to treat diseases. The concepts of Q i , Y i n and Y a n g , and the Five Elements in Chinese medicine, subsequently evolved to comprise ideas that climates (Wind, Cold, Summer, Heat, Dampness, Dryness and Fire) and emotions (Joy, Anger, Grief, Anxiety, Melancholy, Terror and Fright) influence bodily disorientations. In later years, the concept that, “if there were no pathogens, there would be no diseases” Some Traditional Chinese Medicinal Herbs Current Medicinal Chemistry, 2004, Vol. 11, No. 11 1425 emerged. Such was the foundation for the established fact that disease enters through openings in the body and that treatment of diseases should be targeted at combating the pathogens [9]. A search of the literature revealed seven TCM herbs have been studied, in some detail, for their immunomodulatory and antimicrobial effects. These herbs are also commonly used by TCM practitioners here in Singapore. Table 1 presents an overview of the chemicals present in the plants and their respective biological activities. This review also examines in greater detail the studies done with specific phytochemicals and their effects on some biochemical parameters of the immune system. ALOE VERA (“LU HUI”) "Four vegetables are indispensable for the well being of man: Wheat, the Grape, the Olive and the Aloe. The first nourishes him, the second raises his spirit, the third brings him harmony and the fourth cures him." – Christopher Columbus The Aloe vera, originated from Africa, was introduced to China though the Silk Road. The plant became a treasured herb by the 7th century. Containing major constituents such as aloin, ρ-coumaric acid, aldopentose, calcium oxalate and polysaccharides [12], Aloe vera is a common element in cosmetic products. While raw leaf juice was traditionally used as laxatives, its mucilaginous gel is casually used to treat burns and cuts [13]. The antimicrobial activity of aloe extracts was postulated as early as 1939 [14]. Isolates from Aloe vera were shown to inhibit microbes like Staphylococcus spp [15] and Candida s p p [16]. Clinical studies have revealed several immunomodulatory properties. Stronger leukocyte infiltration was seen in injured areas where aloe extracts were used in treatment [17], and surface wound recovery was stimulated by polyuronic acids [13]. Acemannan, the major fraction of aloe polysaccharides, has been extensively studied for immunomodulatory effects. Reports showed that these β(1,4)-linked acetylated mannans are able to increase phagocytic activities [18,19,20]. CARN 750, an acemannan, stimulated leukocytes and lymphocytes in a dose-dependant manner, as well as triggered the release of IL-1, IL-6 and T N F -α . Administrations of CARN 750 also showed a positive influence on lymphocyte proliferation in the spleen and bone marrow [18], both of which are essential lymphoid organs that produce and differentiate lymphocytes. In fact, earlier reports mentioned the ability of acemannans to stimulate TH2 cells [21]. It has been postulated that the actions of acemannan may be attributed to the residual presence of aloerides [13]. In accord with this postulate, polysaccharides from crude extracts have been shown to enhance transcription of cytokines. High concentrations of aloeride also seemed to enhance macrophage activities [13], and may be a contributing factor for the increased phagocyte stimulation by acemannan. ANGELICA SPECIES Traditionally, Angelica sinensis, because of its high phytoestrogenic content, is reputed to have a stabilising effect on the female hormonal system, making it useful in treating menstrual problems. In China, it is often referred to as ‘female ginseng’. It is also one of the more commonly prescribed herbs, used to nourish blood. Its roots and leaves are commonly used for its medicinal purposes. Constituents of A. sinensis include ligustilide, butylidene phthalide and β-sitosterol [12]. Essential oil extracts from Angelica were shown to inhibit selected pathogens [22], and polysaccharides were shown to induce activation of both specific and non-specific immune components [23]. One study tested 8 constituents of Angelica dahurica root for antifungal and antibacterial activity. 5,8-di (2,3-dihydroxy-3-methylbutoxy)-psoralen was found to be highly toxic to Aspergillus candidus [24]. This aromatic compound intercalates between DNAs, cross- links bases when exposed to light [25], and produces a genotoxic effect. Apart from its effects on fungi, psoralen was later shown to cause cell cycle delays in Saccharomyces cerevisiae [26], and had bactericidal effects on S. aureus and E. coli as well [27]. Ferulic acid and byakangelicin from A. dahurica inhibited Cladosporium herbarum growth, while (R)-heraclenol showed potent antibacterial activity against Bacillus subtilis [24]. These furocoumarins induce toxicity, mainly by causing abnormal DNA-protein interactions, or DNA inter-strand interactions [28]. The resistance of some microbes to these furocoumarins may be due to the presence of feruloyl catabolising enzymes [29]. In a later study, a polysaccharide, angelan, isolated from roots of Angelica gigas, was shown to trigger the release of cytokines IL-2, -4, -6 and INF-γ from macrophages. Cytokine-release was found to occur in a sequential manner, with IL-6 presenting an almost immediate increase, followed by IL-4, with IL-2 having the slowest rate of increase [30]. The increase in IL-2 may be attributed to the preceding increase in IL-6. In accord with the type of cytokines released, it can be postulated that with the initial rapid rise in mediators that activate TH2 cells, the primary effect of angelan is the enhancement of T cell-dependent antibody production. ASTRAGALUS MEMBRANACEUS (“HUANG QI”) Native to Northern China, Shen Nung regarded Astragalus membranaceus as one of the most important herbs. Containing active constituents such as glucuronic acid, β-sitosterol, astragalosides, isoflavone and asparagines [12], it is usually taken to manage conditions of fatigue, loss of appetite and diarrhoea. Astragalus has also been traditionally used to strengthen the immune system, and as a treatment for respiratory infections. Song et al. [31] had reported an increase in activated B cells, together with a suppression of IFN-γ levels, in response to Astragali extracts. However, IL-6 mRNA expression was found to be suppressed. More recently, Young et al. [32] have shown that water-soluble extracts of Astragalus radix were able to stimulate the proliferation of splenic lymphocytes, as well as increase the mRNA expression of the cytokines (IL-1, IL-6 and TNF). The extracts also increased IL-1 and IL-2 as well as macrophage activity in the immunosuppressed mouse [31]. The latter finding is in accord with earlier studies of Wang et al. [33] that Astragali polysaccharides increased macrophage count, 1426 Current Medicinal Chemistry, 2004, Vol. 11, No. 11 Tan and Vanitha and promoted opsonization, via the C3 complement component. GANODERMA LUCIDUM (“LING ZHI”) The virtues of Ganoderma have resulted in the documentation of this herbal fungus as one of the superior grade herbs, and as having the most effective healing powers, in some instances, even exceeding the reputation of ginseng. The anti-ageing effects of this medicinal fungus have also been clearly demonstrated [34]. Its traditionally accepted benefits include removal of toxins, healing of stomach diseases and combating mushroom poisoning. Also known as the ‘King of Herbs’, Ganoderma was among those herbs that were used to strengthen the immune system. A glycoprotein from the water-soluble fractions of the crude extracts was found to activate IL-1, IL-2 and IFN-γ. Fucose residues on this glycoprotein were found to be indispensable for this activity [35]. Polysaccharides from fruiting bodies were also shown to increase levels of IL-1, IL-6, IFN-γ and TNF-α [36]. Specifically, 3 polysaccharide isolates were able to stimulate activation and proliferation of B and T cells [37]. All 3 glucans possess β - D - glucopyranosyl residues. Earlier studies performed on spores of G. lucidum had confirmed that glucans with glucopyranosyl residues had immunostimulating properties [38]. Another proteoglycan isolated from fruiting bodies, termed GLIS, specifically induces B cells to express activation and proliferation markers on the cell membrane. Consequently, increases in plasma B cell count and circulating antibodies were noted [39]. The finding parallels the reported increases in TH 2 and B cell-activating cytokines, IL-1 and IL-6 [35]. Both water-soluble and ethanol-soluble extracts from fruiting bodies were also shown to increase natural killer cell count [40], validating earlier reports of enhanced IFN-γ production by polysaccharide derivatives [35]. IFN-γ may also be responsible for the increase in differentiation and activation of dendritic cells (DC). Zi and Li [41] reported that APCs, particularly DCs, were found to be stimulated in the presence of polysaccharides. DC, which are major antigen processors, present the processed antigens to T cells, which in turn are activated. Hence, an indirect activation of T cells may be achieved through increased activation of DC. The increased activation of T cells reported by Sahar et al. [42] may, therefore, be attributed to stimulation of DC. GINSENG SPECIES Ginseng is one of the most popular herbs in the world. The medical benefits of ginseng have their roots in Chinese folklore. An anecdotal report of a farmer’s discovery that an injured snake could recover after eating this plant provided the impetus that led to the discovery of its manifold benefits [43]. The Materia Medica, by Shen Nung, records ginseng as one of the highest quality herbs. The term ‘panax’ means ‘all healing’ in Greek. Ginseng has been used for centuries to reduce stress and boost energy. Containing active ingredients, such as panax-type ginsenosides, mono- and polysaccharides [12], ginseng is believed to stimulate every aspect of the immune system in vertebrates. Indeed this is true. Ginsenosides are one of the major constituents of ginseng, with over 28 types identified so far [44]. These steroidal saponins were shown to enhance both B and T cell-mediated immune responses [45]. Many constituents of ginseng stimulate the immune system: protopanaxadiol and protopanaxatriol induce proliferation of lymphocytes and cytokines [46]; rhamnogalacturonan II ginsenosides [47] stimulate IL-6 activity; and, ginsan (an acidic polysaccharide) induces activities of IL-1, IL-12, TNF-α and IFN-γ [48]. Several of these constituents have been deemed responsible for the antimicrobial property of ginseng. Acidic polysaccharides isolated from P a n a x ginseng have been shown to inhibit Helicobacter pylori induced heamagglutination, possibly due to the presence of uronic acids, a major component of the acidic polysaccharide [49]. Another polysaccharide isolated from P. ginseng also decreased concentration of S. aureus in the plasma in a dose- dependant manner [50]. This effect may in part be due to the increased activation of macrophages [51], as well as intra- macrophage levels of nitric oxide [50], leading to significant bacterial cytotoxicity. Proteins have recently been found in ginseng. Pananotin, from the roots of Panax notoginseng was found to be toxic to Coprinus comatus, Physalospora piricola and the phytopathogens, Botrytis cinerea and Fusarium oxysporum [52]. Other proteins isolated from the Panax family (panaxagin and quinqueginsin) also exhibit antifungal activity [52]. Panaxagin seems to have some conserved residues in its N-terminal sequence, which have been deemed important for fungal ribosome inactivation. Hence, it has been postulated that panaxagin may exert its antifungal activity as a ribosome inactivating protein [53]. SCUTELLARIA SPECIES Scutellaria has been used in TCM for centuries to cleanse the body of toxins. In China, Scutellaria baicalensis is referred to as one of the ‘3 cold brothers’. Traditionally, it is prescribed for fever, cold, and vomiting of blood. Its roots are among those that contain high concentrations of flavonoids (≈35%) [54]. Its active compounds include baicalin, baicalein, wogonin derivatives and β-sitosterol [12]. Antibacterial properties have also been demonstrated in extracts of Scutellaria barbata, but they were specific to S. aureus. Two ethanol-soluble extracts with NMR peaks corresponding to luteolin and apigenin were examined [55]. Luteolin has been shown to have anti-allergic properties that are mediated through the inhibition of IgE [56]. The apigenin analogue had MICs for MRSA strains that were lower than those of the antibiotics, methicillin and oxacillin. Also, there seemed to be no significant activity against ten other bacterial strains tested [55], suggesting that the flavonoids in Scutellaria barbata extracts may be toxic only to Staphylococcus. Scutellaria baicalensis, however, was also active against a wide range of bacteria, including cholera, typhoid, Streptococcus, E. coli, Pneumococcus [57, 58], K l e b s i e l l a p n e u m o n i a e , P r o t e u s v u l g a r i s , Mycobacterium tuberculosis, Pseudomonas aeruginosa and Corynebacterium diphtheria [59]. S. baicalensis has also been shown to induce TNF-α [60], possibly due to the effects of the flavonoid, wogonin [61]. Since TNF-α acts to increase nitric oxide production, the effect of wogonin on Some Traditional Chinese Medicinal Herbs Current Medicinal Chemistry, 2004, Vol. 11, No. 11 1427 nitric oxide levels was examined. Results showed that wogonin increased nitric oxide production at lower concentrations and reduced its production at higher concentrations [61]. Hence, dose-dependant induction of microbial cytotoxicity may be a possibility. Linalool, a chemical isolated from Scutellaria albida, showed highly toxic effects against S. aureus, B. subtilis, E. coli and P . aeruginosa. Except for E. coli, the other 3 bacteria proved to be more sensitive to linalool than to streptomycin [62]. In addition to its antibacterial activity, diterpenoids from Scutellaria have also shown activity against pathogenic plant fungi [63]. ZINGIBER OFFICINALE (“SHENG JIANG”) Ginger is indigenous to Southeast Asia; a city with its Sanskrit name, Shunti, was already in existence in 200 B.C. In Ayruvedic medicine, ginger is called “The Great Medicament” and is generally used to treat a variety of ailments. This holds true in Chinese culture too. Shen Nung was one of the first to mention dried ginger as a medicament. Known to be a classic gastric tonic, this tropical rhizome is recommended for gastric pain, vomiting, diarrhoea, coughs and colds [9]. Little wonder then that Chinese sailors chewed ginger to prevent and treat sea- sickness. It contains more than 20 active compounds, including curcumene and gingerol derivatives [12]. Ginger is a domestic remedy also known for its anti- infectant effects. Essential oil constituents from rhizomes of Z. officinale were found to decrease growth rate of a variety of bacteria and fungi, including Staphylococcus and Candida [64]. The most effective antimicrobial constituent was found to be citral. Curcumene, a sesquiterpene, from ginger oil was found to inhibit Rhizoctonia solani [65]. In another advance, it was shown that ethanol extracts of Z. officinale were able to inhibit growth of both gram-negative and gram-positive bacteria [66], although the inhibitory effect was more pronounced for gram-positive bacteria [67]. Bactericidal activity against the highly resistant gram-negative bacteria Pseudomonas aeruginosa was notable [68]. One of the constituents described for its antifungal activity is dehydrozingerone [65]. Another structurally characterised compound, 1,7-bis(4-hydroxy-3-methoxyphenyl)hept-4-en-3- one also showed inhibitory effects on Pyricularia oryzae [69]. This structure seems to be the skeletal structure of a shogasulfonic acid isolated by Yumiko et al. [70]. Ethanol- soluble extracts from the rhizomes of Z. officinale were tested for their action on cytokines and found to promote the secretion of IL-1 and IL-6 in a time- and dose-dependant manner [71]. Early isolation experiments showed the presence of highly cytotoxic compounds (diacetylafzelin, diferuloylmethane, feruloyl-p-coumaroylmethane and di-p- coumaroylmethane) from the species of the family Zingiberaceae [73]. Pure Zingiberis isolates have been structurally characterised, but their anti-microbial effects were not studied [69, 70]. DISCUSSION The seven medicinal herbs reviewed here are commonly used in many prescriptions of local TCM practitioners. In addition to their easy availability, the many benefits of these herbs are also internationally recognised. In TCM practice, prescriptions are made for various combinations of the herbs, each in different amounts. For this reason, it is not possible to conclude whether a single herb from a prescription, or a single compound from a particular herb, is solely responsible for the effect(s) on the immune system. Nonetheless, it is useful to recognise the molecular and biochemical effects of constituents, isolated from individual herbs, as they may explain the basis for the purported immunomodulatory and anti-microbial effects of the herbs. This review shows that herbs exert immunostimulating effects in many ways. Immunostimulatory agents do not directly affect immune memory cells, as activation and differentiation of memory cells require precise cell-cell and MHC-antigen interactions. However, they are specific in that immunostimulants enhance particular immune responses to combat specific pathogens. Immunostimulating activities may be divided into those that (1) enhance phagocytic activities, and (2) effect cell-mediated and humoral immunity. Constituents that stimulate phagocytic activities include ginsan (polysaccharide from ginseng) and Astragali radix extracts. In this review, it was found that virtually all the herbs have stimulatory effects on humoral immunity. Herb constituents such as aloeride (polysaccharide from Aloe vera), angelan (polysaccharide from Angelica gigas) , glucopyranosyl-containing polysaccharides (from Ganoderma lucidum), ginsenosides (from Ginseng) and gingerols (from Zingiber officinale) induce the activity of IL-6, a potent B cell stimulant. As many specific immune responses require T helper cells, it is not unexpected to find many of these constituents being able to stimulate cell- mediated immunity as well. The extracts were also shown to selectively stimulate cytokine release, confirming that specific herbs are used to combat bacteria-, fungi- and viral-induced infections. In most cases, polysaccharides, proteoglycans, and flavonoids play a major role in preventing or controlling infectious microbes. Some of these constituents directly disable the pathogens, by disengaging their virulence factors, as well as inhibiting their growth rates. Furocoumarins from Angelica species present a hazard to microbes, possibly by inducing genotoxic effects. It has been hypothesized that panaxagin from ginseng works as a fungal ribosome inactivating protein, thus exerting its antifungal effects. Some ginsenosides may be able to interact with phospholipid derivatives on the cell membrane of microbes, causing toxicity by destabilising cell structure. This effect may also prevent microbial attachment to host cells. Such actions can limit the damage done to the host by pathogenic bacteria. Thus, in addition to enhancing the immune response, the antimicrobial effects of these herbs are beneficial to the host. MULTI-INGREDIENT HERBAL MIXTURES In many cases, the effects of a single herb result from the overall activities of its constituents. For example, as shown in the case of A. membranaceus, the general increase in B cells is due to the balanced effects between the decreases in IL-6 and IFN-γ. Various factors influence the concentration of bioactive compounds in the herb. The proportion of constituents may vary in different parts of the plant and the 1428 Current Medicinal Chemistry, 2004, Vol. 11, No. 11 Tan and Vanitha age of the plant; the timing of its harvest and soil conditions can all affect the efficacy of the constituents. For example, where ginseng is concerned, it is generally believed that the older the root, the greater the concentration of ginsenosides and the more potent its activity. The relative levels of each cytokine may finally be affected by the presence of other herbs as well. Although there have been relatively few reports validating the benefits of herb combinations, research into this area is increasing. Investigation into the effects of herbal formulas would prove to be rather useful since multi- ingredient prescriptions are a norm in Chinese medicine. The need to test the effects of prescribed formulas is prudent as the activity of a particular herb in a mixture might differ from its activity as a single entity. For example, the effects of four herbs (Scutellaria barbata, Oldenlandia diffusa, Ligustrum lucidum and Astragalus membranaceus) on aflatoxin-B mediated hepatotoxicity were examined. At the lowest dose tested (1.5mg/plate), S. barbata and O. diffusa exhibited moderate levels of protection. However, when used in combination at the same dose, the hepatoprotective effects were potentiated to optimal levels. The study also showed that L. lucidum was more effective when used singly than when used in combination with A. membranaceus [76]. “Xiao Chai Hu Tang” (XCHT) is a 7-herb mixture that includes Scutellaria baicalensis, P a n a x g i n s e n g and Zingiber officinale. Experiments have shown that XCHT is able to act as a free-radical scavenging herbal product and is especially useful in preventing CCl4-induced liver damage. Its anti-oxidant activity is largely attributed to a major constituent in the mixture, bupleurum [77], from S . b a i c a l e n s i s . However, reports have shown that S . baicalensis is also able to exert anti-oxidant activities primarily by increasing production of H2O2 [78]. In another example, the 10-ingredient mixture “Bu Zhong Yi Qi Tang” (which include Astragalus membranaceus, Panax ginseng, Angelica sinensis and Zingiber officinale) inhibited proliferation of hepatoma cells more significantly, compared to the inhibitory effects of individual herbs [79]. Hence the different mechanisms of action of the herbs in the combination appear to synergise to achieve optimal effects. HERBAL TOXICOLOGY In contrast to chemically synthesized medicinal drugs, herbs are generally thought to be harmless. However, herbal poisoning is not as uncommon as previously thought because of numerous herb-drug interactions, and high concentrations of metabolites that are toxic, when taken improperly. For example, selenium (Se) toxicity associated with high concentrations of Se is believed to be due to the continuous generation of free radicals, such as superoxide and their derivatives. Astragalus is an example of a plant that is able to grow in selenium rich areas, and is able to store large amounts of Se. At extremely high concentration, its metabolite, hydrogen selenide, is formed, which appears to be a major factor causing hepatotoxicity. Animal toxicity studies determined that while L-seleno derivatives were not toxic to animals at low doses, high concentrations of either isomer were noxious [80]. Pyrrolizidine alkaloids (PA) are highly toxic compounds found mostly in the leaves of plants such as Heliotropium spp. and Crotolaria spp.. Roder [81] provides explicit information on the presence of these alkaloids in Chinese medicinal plants, while Denham [82] evaluated their hepatotoxicity. More recently, Deng [83] has highlighted the hepatotoxicity of other herbs like Jin Bu Huan (Lycopocium serratum). The herbs reviewed here, however, have not been shown to be hepatotoxic when taken according to prescription. They are also not known to contain significant amounts of PAs. Adriane [84] and Ikegami [85] have written two informative reviews on the effects of herb-drug interactions. It should be noted that these interactions do occur, and are a major cause of health complications in herb consumers. In this regard, pharmaco-vigilance is of critical importance to minimise or avoid the occurrence of such deleterious effects. As a safeguard, it is also crucial that the consumer, especially if he is taking Western drugs, have access to information on potential herb-drug interactions from reliable sources before starting on herbs. In summary, a review of the existing literature has illuminated the existence of specific chemical entities in seven TCM herbs with immunomodulating and antimicrobial activities. It is, however, not possible to conclude with any great certainty that these compounds are solely responsible for a particular herb’s effects, as several of these herbs are given in combination in TCM formulae. It appears that they act in concert to produce the desired outcome. It also seems possible that as yet undiscovered compounds from such herbs may exert differing and possibly synergistic effects on host immunity as well as against microbes. The identification and evaluation of new bioactive compounds from herbs can help in the development of novel drugs, leading the way to discovering interesting, possibly less harmful, and also clinically useful combinations, to support the immune system as well as inhibit or kill microbes. ABBREVIATIONS APC = Antigen presenting cell DNA = Deoxyribonucleic acid IFN = Interferon (chemokine) IL = Interleukin (chemokine) iNOS = Inducible nitric oxide synthase MIC = Minimum inhibitory concentration MRSA = Methicillin-resistant Staphylococcus aureus NK = Natural killer cell NMR = Nuclear magnetic resonance TCM = Traditional Chinese medicine TNF = Tumour necrosis factor (chemokine) XCHT = Xiao Chai Hu Tang REFERENCES [1] Benjamini, E.; Coico, R.; Sunshine, G. Immunology; a short course (4th edition), Wiley-Liss: Canada, US, 2000. [2] J. David Phillipson. Phytochem. 2001, 56(3): 237-243. Some Traditional Chinese Medicinal Herbs Current Medicinal Chemistry, 2004, Vol. 11, No. 11 1429 [3] Farnsworth, N.R. 1990. The role of ethnopharmacology in drug development, p. 2-11. In: D.J. Chadwick and J. Marsh (eds.). Bioactive compounds from plants. Ciba Foundation Symposium 154. Wiley, Chichester, UK. [4] Canadian Pharmaceutical Association (CPA). 1 9 8 8 . 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work_ldtsrtvqsvedfem4gym7vnrawe	----	PineElm_SSRdb: a microsatellite marker database identified from genomic, chloroplast, mitochondrial and EST sequences of pineapple (Ananas comosus (L.) Merrill) Chaudhary et al. Hereditas (2016) 153:16 DOI 10.1186/s41065-016-0019-8 RESEARCH Open Access PineElm_SSRdb: a microsatellite marker database identified from genomic, chloroplast, mitochondrial and EST sequences of pineapple (Ananas comosus (L.) Merrill) Sakshi Chaudhary†, Bharat Kumar Mishra, Thiruvettai Vivek, Santoshkumar Magadum and Jeshima Khan Yasin*† Abstract Background: Simple Sequence Repeats or microsatellites are resourceful molecular genetic markers. There are only few reports of SSR identification and development in pineapple. Complete genome sequence of pineapple available in the public domain can be used to develop numerous novel SSRs. Therefore, an attempt was made to identify SSRs from genomic, chloroplast, mitochondrial and EST sequences of pineapple which will help in deciphering genetic makeup of its germplasm resources. Results: A total of 359511 SSRs were identified in pineapple (356385 from genome sequence, 45 from chloroplast sequence, 249 in mitochondrial sequence and 2832 from EST sequences). The list of EST-SSR markers and their details are available in the database. Conclusions: PineElm_SSRdb is an open source database available for non-commercial academic purpose at http://app.bioelm.com/ with a mapping tool which can develop circular maps of selected marker set. This database will be of immense use to breeders, researchers and graduates working on Ananas spp. and to others working on cross-species transferability of markers, investigating diversity, mapping and DNA fingerprinting. Keywords: Ananas, Genome wide marker analysis, Organelle, Pineapple, Simple sequence repeats Background The extremely surprising flavour and fragrance of pineapple (Ananas comosus L.) delighted mankind at that time of its discovery by Christopher Columbus and even today. Pineapple, a perennial monocot plant belongs to Bromeliales order, Bromelioideae subfamily and Bromeliaceae family. Pineapple is a tropical plant native to South America, domesticated more than 6000 years ago [1]. At the end of the sixteenth century, pineapple had become pantropical and is the third most economically important tropical fruit crop after banana and mango. Pineapple has become * Correspondence: Yasin.Jeshima@icar.gov.in; yasinlab.icar@gmail.com †Equal contributors Division of Genomic Resources, ICAR- National Bureau of Plant Genomic Resources, PUSA campus, 110012 New Delhi, India © The Author(s). 2016 Open Access This artic International License (http://creativecommons reproduction in any medium, provided you g the Creative Commons license, and indicate if (http://creativecommons.org/publicdomain/ze industrial crop during 20th century [2,3]. In addition to fresh fruit consumption, pineapple is used for canned slices, juice and juice concentrate, extraction of bromelain (a meat-tenderizing enzyme), high-quality fibre, animal feed and medicines [2]. At present, gross production value of pineapple is approaching $9 billion due to its cultiva- tion on 1.02 million hectares of land in over 80 countries and annual production of 24.8 million metric tonnes of fruit [4]. Wild varieties of pineapple are self-compatible, whereas cultivated pineapple, A. comosus (L.) Merr., is self-incompatible [5], which provides an opportunity to scrutinize the molecular basis of self-incompatibility in monocots. Over the last few decades, a wide range of molecular markers have been developed and used in crop improve- ment as molecular markers are helpful in assessing le is distributed under the terms of the Creative Commons Attribution 4.0 .org/licenses/by/4.0/), which permits unrestricted use, distribution, and ive appropriate credit to the original author(s) and the source, provide a link to changes were made. The Creative Commons Public Domain Dedication waiver ro/1.0/) applies to the data made available in this article, unless otherwise stated. http://crossmark.crossref.org/dialog/?doi=10.1186/s41065-016-0019-8&domain=pdf http://orcid.org/0000-0003-4932-3866 http://app.bioelm.com/ mailto:Yasin.Jeshima@icar.gov.in mailto:yasinlab.icar@gmail.com http://creativecommons.org/licenses/by/4.0/ http://creativecommons.org/publicdomain/zero/1.0/ Fig. 1 Homepage of the web app Chaudhary et al. Hereditas (2016) 153:16 Page 2 of 6 germplasm diversity, testing of hybridity, trait mapping, marker assisted selection etc. [6]. Among all the markers till date, Simple Sequence Repeats (SSRs) are the most ideal, powerful and reliable markers for molecular plant breeding applications because of their high abundance, co-dominant inheritance and multiple alleles [7]. In addition, BES-SSR markers serve a useful resource for integrating genetic and physical maps [8,9]. SSRs consists of 2–7 base pair tandem repeat motifs of mono-, di-, tri-, tetra and penta-nucleotides (A, T, AT, GA, AGG, AAAG etc.) with different lengths of repeat motifs. These repeats are extensively distributed throughout plants and animal genomes. A high level of genetic variation is observed between and within species due to differences in the number of tandem repeating units at a locus which produces a highly polymorphic banding pattern [10] and is detected by the Polymerase Chain Reaction (PCR) using locus specific flanking primers [11]. Molecular markers are widely recognized as a tool in generating linkage maps [12] as they define specific locations in the genome unambiguously [13,14]. There are few valuable software and tools available for SSRs identification and in-silico marker development. Important sources for SSR identification are with bene- fits from the advanced next generation sequencing tech- nology such as TROLL [15], MISA [16], SciRoko [17], SSR Locator [18] and GMATo [19]. MISA is the most common tool used for SSR identification. Generation of SSR markers have been exhaustive due to the time- Fig. 2 Main page of the database consumption, expensive process for generation of gen- omic libraries and sequencing of large number of clones later to find the SSR-containing DNA regions [20] and labour-intensive. To expedite this task, the traditional methods of SSR markers generation from genomic libraries [21] have been recouped briskly by in-silico mining of SSRs from DNA sequences available in bio- logical databases [22,23] and from expressed sequence tags (ESTs) that represent only the coding region of the genome [24–26]. Methods Retrieval of genome sequences The complete genome sequence of pineapple (Ananas comosus (L.) Merrill) was retrieved from the CoGe Genome (Genome ID- 25734) page (https://genomevolu tion.org/coge/GenomeInfo.pl?gid=25734) in FASTA for- mat. The chloroplast genome (Genome ID- 25280) and mitochondrial genome (Genome ID- 25281) of pineapple were also downloaded from CoGe Genome info respectively (https://genomevolution.org/coge/GenomeInfo.pl?gid=2528 0&81) in FASTA format. Total 5978 EST sequences of pine- apple were downloaded from NCBI http://www.ncbi.nlm. nih.gov/nucest/?term=ananas+comosus in FASTA format. SSRs identification MISA tool allows the identification and localization of perfect microsatellite as well as compound microsatellite https://genomevolution.org/coge/GenomeInfo.pl?gid=25734 https://genomevolution.org/coge/GenomeInfo.pl?gid=25734 https://genomevolution.org/coge/GenomeInfo.pl?gid=25280&81 https://genomevolution.org/coge/GenomeInfo.pl?gid=25280&81 http://www.ncbi.nlm.nih.gov/nucest/?term=ananas+comosus http://www.ncbi.nlm.nih.gov/nucest/?term=ananas+comosus Fig. 3 EST-SSRs list Chaudhary et al. Hereditas (2016) 153:16 Page 3 of 6 which are interrupted by a certain number of bases. MISA uses Perl script for SSRs analysis. It requires a set of sequences in FASTA format and a parameter file that defines unit size and minimum repeat num- ber of each SSR. MISA is available at http://pgrc.ipk- gatersleben.de/misa/. MISA tool provides two result files; misa file and statistical file. MISA file provides the information about SSR repeat types like simple, interrupted or compound, size of SSR and SSR pos- ition in genome sequence. Statistical file contains the statistical information like the frequency chart of SSR motif and distribution of SSR to differently repeat type classes. Classification of SSRs was done manually on the basis of their presence in coding region and non-coding region of the genome sequences. Database development An open, non-commercial database PineElm_SSRdb is designed for educational purpose. PineElm_SSRdb is available at http://app.bioelm.com/. Fig. 4 Genomic SSR marker list Results and discussion The home page of the database provides the complete access of the database (Figs. 1 and 2). Genomic sequence of Ananas comosus (L.) Merrill is available as 3133 scaf- folds of 381,905,120 bp length. Of these scaffolds only 2726 contain SSRs. From genomic sequence 356385 SSRs were identified. Two thousand four hundred eighty-six sequences contain more than one SSR and 19086 compound SSRs are also exists. From NCBI 5978 EST sequences of 4,294,909 bp were downloaded of which 1886 sequences yielded 2832 SSRs (Fig. 3). Of these 1886 sequences 638 were found to contain more than one SSR region and 83 with compound repeat regions. The access to the database can be obtained from http://app.bioelm.com/ by creating user account. This will allow the users to generate images and search results. Genomic markers can be viewed as listed in Fig. 4 and as a circular map of the selected markers using incorporated tools (Additional file 1). There is only one chloroplast genome sequence of 159,600 bp available for Ananas comosus (L.) Merrill in http://pgrc.ipk-gatersleben.de/misa/ http://pgrc.ipk-gatersleben.de/misa/ http://app.bioelm.com/ http://app.bioelm.com/ Chaudhary et al. Hereditas (2016) 153:16 Page 4 of 6 which there are 45 SSRs exists and only one complex repeat (Additional file 2). There are 13 sequences of 881,399 bp Ananas comosus (L.) Merrill mitochondrial genome yielded 249 SSRs of which 13 sequences contain more than one SSR and 8 SSRs were found in com- pound formation (Fig. 5 and Additional file 3). The EST- SSR statistics were represented in Additional file 4. SSRs identified from chloroplast and mitochondrial sequences are highly specific and unique to pineapple. These SSRs are not present in any other NCBI database and also not present in the nuclei genome of pineapple. Databases support instant availability of curated data for individual users in facilitating further effective use of the generated data. In that path, we have developed a database to support pineapple breeders to effectively use SSR markers in their breeding program. These SSR markers or microsatellites are of 1–6 nucleotide tandem repeated motifs present in all prokaryotic and eukaryotic genomes [27]. Amid different classes of available mo- lecular markers, SSR markers are effective for a variety of applications in plant genetics and breeding [28, 29]. Although being a commercially important plant, only few studies for SSR development were available for Pine- apple. Wohrmann and Weising [30], identified 696 EST- SSR markers in pineapple; Feng et al. [31] developed genomic and EST-SSR library to identify 94 and 1110 SSRs loci respectively. Complete Pineapple genome [4] opens new direction to focus our research towards pine- apple. In addition, bioinformatics tools also add-on pre- vailing methods by automating the assignment of SSR identification from existing DNA sequences. A recent study reported 320,207 SSRs in genomic and ESTs sequences of pineapple [32]. Whereas, we have identified 356385 SSRs from genomic sequences of pineapple which may play a major role in diversity analysis of gen- etic stocks. Diversity analyses of pineapple genetic stocks were reported earlier with few markers which were in- sufficient in to distinguish them. Developing fingerprints Fig. 5 Mitochondrial SSR marker list of cultivars may be required to protect the breeders right. Genome wide identification of markers can serve this purpose as SSR markers have been handy for inte- gration the physical, genetic and sequence-based phys- ical maps in plant species, and concurrently equipped breeders and geneticists with an effective tool to bridge phenotypic and genotypic variation. SSR markers have been handy for integration the physical, genetic and sequence-based physical maps in plant species, and con- currently equipped breeders and geneticists with an effect- ive tool to bridge phenotypic and genotypic variation [33]. SSR markers were classified based on number of repeats (Figs. 6, 7 and 8). The proportion of mono and di repeats are likely to be equal for genomic SSRs con- tributing to the total 60% of genomic SSR markers. Like- wise, hexa and complex repeats are approximately equal at 4% of genomic SSRs (Fig. 6). Recent studies of plant markers are more focused towards gene-specific markers rather than arbitrary DNA markers, and microsatellite markers are of great significance in identification of genes and QTLs [34]. EST-SSRs are highly efficient in differentiating genotypes differing for a specific trait. We have identified 2832 SSR markers from the validated EST sequences, where tri repeats followed by di repeats contributes more to the markers (Fig. 7). Tetra and mono repeats contribute maximum number of mito- chondrial – SSRs (Fig. 8). In all sets of data analysed, we could find least number of complex repeats and only one complex SSR exists in chloroplast genome of pineapple. Molecular basis of polymorphism and their distribu- tion across the genome is quite different for SNP and SSR markers. Both SSR and SNP are neutral, multi- allelic and co-dominant markers. SSR marker in genetic diversity analyses have been a powerful, handy, cost effective tool and can reveal the amplicon size poly- morphism as they vary in sequence, whereas SNP haplo- types vary within a sequence. SNP markers display Fig. 8 Distribution of mitochondrial SSR markersFig. 6 Distribution of Genomic SSR markers Chaudhary et al. Hereditas (2016) 153:16 Page 5 of 6 population structure better with bigger population whereas, for diversity analyses, SSR unveils better group- ing of accessions even at trait level. Further, it has been demonstrated that haplotypes at combinations of SSR loci may be very powerful in detecting association of QTLs (Quantitative Trait Loci) in their proximity [35]. Henceforth, the utility of SSR/SNP marker in crop im- provement will depend on the quality of information required with respect to parameters for genetic diversity and population structure. Overall, to assess genetic relatedness, SSR markers are more informative and highly effective [36]. Conclusion The main outcome of this study; identified SSRs markers in genomic, chloroplast, mitochondrial and EST sequences of Pineapple will be of immense use to breeders and molecular biologists to assess marker frequency and distribution in both coding and non- coding regions, to study transferability across genera Fig. 7 Distribution of EST- SSR markers and to carry out phylogenetic analysis based on SSRs. PineElm_SSRdb is an open source database developed for easy handling and availability for the scientific community. Additional files Additional file 1: Genomic SSR markers of Ananas comosus (L.) Merrill. (TXT 5249 kb) Additional file 2: Chloroplast SSR markers of Ananas comosus (L.) Merrill. (TXT 1 kb) Additional file 3: Mitochondrial SSR markers of Ananas comosus (L.) Merrill. (TXT 7 kb) Additional file 4: EST SSR markers of Ananas comosus (L.) Merrill. (TXT 42 kb) Acknowledgments We appreciate Mr. Sakubar Satik, founder of ArivElm for his help in database preparation and for providing open access to the data. Funding This work was supported through in-house grants of Indian Council of Agricultural Research-National Bureau of Plant Genetic Resources. Availability of data and materials PineElm_SSRdb is an open source database available for non-commercial academic purpose at http://app.bioelm.com/. Authors’ contributions SC and YJK - conceived and designed the research; SC and BKM- conducted identification; VT- contributed to functional annotation; YJK, SM, SC, VT and BKM wrote, read, reviewed and approved the manuscript. Authors’ information SC is a Ph. D scholar, BKM is a Junior Research Fellow, VT is a post graduate, Dr. SM is working as Research Associate and Dr. YJK is a scientist at Division of Genomic Resources, ICAR-National Bureau of Plant Genetic Resources, Pusa Campus, New Delhi, India. Competing interests The authors declare that they have no competing interests. Consent for publication Not applicable. dx.doi.org/10.1186/s41065-016-0019-8 dx.doi.org/10.1186/s41065-016-0019-8 dx.doi.org/10.1186/s41065-016-0019-8 dx.doi.org/10.1186/s41065-016-0019-8 http://app.bioelm.com/ Chaudhary et al. Hereditas (2016) 153:16 Page 6 of 6 Ethics approval and consent to participate Not applicable. Received: 11 August 2016 Accepted: 2 November 2016 References 1. Clement CR, de Cristo-Araújo M, Coppens D’Eeckenbrugge G, Alves Pereira A, Picanço Rodrigues D. Origin and domestication of native Amazonian crops. Diversity. 2010;2:72–106. 2. Bartholomew DP, Paull RE, Rohrbach KG. The Pineapple: Botany, Production and Uses. UK: CABI; 2002. 3. 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Breed Sci. 2007;57:263–70. • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: http://dx.doi.org/10.1155/2008/412696 http://dx.doi.org/10.1155/2013/317912 http://dx.doi.org/10.1007/s12042-016-9163-6 Abstract Background Results Conclusions Background Methods Retrieval of genome sequences SSRs identification Database development Results and discussion Conclusion Additional files Acknowledgments Funding Availability of data and materials Authors’ contributions Authors’ information Competing interests Consent for publication Ethics approval and consent to participate References 
work_ljer3p7m7ngspl6b53kkdgllbe	----	Microsoft Word - revista 2-2013.doc Annals of “Dunarea de Jos” University of Galati Fascicle I. Economics and Applied Informatics Years XIX – no2/2013 ISSN 1584-0409 www.ann.ugal.ro/eco www.eia.feaa.ugal.ro Economic Issues in the Wind Energy Development at World and European Level Dana Elena HOLBAN , Angela Eliza MICU , Costin SORICI A R T I C L E I N F O A B S T R A C T Article history: Accepted May 2013 Available online 30 August 2013 JEL Classification F18, P28, Q42 Keywords: Energy, Wind, Development Energy has become increasingly more a commodity we can not replace, a good without which modern life can not exist. Over time, sources of energy have experienced several stages of development. The quantitative involution of energy sources from fossil fuels, leading with climate change and a range of additional costs due to their scarcity, have led scientists to find them a replacement. Like any large-scale technological innovation, electricity obtained from wind power required huge cost of implementation, turning out to be a real industry. Nowadays, the investment costs are still high, but the need of this type of power to operate, made the results worth the financial efforts of those involved. Increasingly used both in developed countries and in contries with developing economies, wind energy turns out to be not only in line with sustainable development, but also profitable for investors. © 2013 EAI. All rights reserved. 1. Introduction Form of renewable energy, along with energy from biomass, solar energy, geothermal energy and water (hydro, tidal, osmotic), wind energy has been used for the first time in human history by the Egyptians as a means of propulsion on the Nile. Wind energy was also used by Christopher Columbus in the late fifteenth century, when he discovered America.[1] Nowadays, wind energy is increasingly used worldwide, being the energy source that recorded the fastest growth in the last twenty years. Its scale is based on a number of considerations. Among them, the most important is the idea of sustainable development, based on respecting the environment for future generations, but also taking into account the alarm signals drawn by holding powers of fossil resources about the sharp reduce of their quantity; this fact has determined a reshape in energy production for the purpose of obtaining it from inexhaustible sources. Along with the purpose of sustainable development, wind energy has created a real market with multiple implications and sides, being involved in the production and commercialization both private enterprises, state and last but not least, the final consumers. The need to implement green energy policy has made this market experience a drastically increase in record time. The industry created in the renewable energy sector implies a lot of financial support. For a long period of time, it seemed like everybody benefited from these investments – private investors and financial institutions had the profit, the state had to achieve some green energy goals, humanity had less poluttion. But these positive aspects were accompanied by one big negative one: the costs. If investors and financial institutions recover these costs in time, for the state, this industry mainly generates costs. This is why states are encouraged to support green energy through funds coming from bigger economical markes, such as the European Union for developing and emerging countries. 2. The current state of wind energy use At a worldwide level, the use of wind energy has been conditioned by the existence of primordial energy source, in this case, the wind. The second issue of major importance is the ability of investment required to capitalize commissioning and production of wind energy. These are the reasons why the states that have nowadays the most important role in this sector are China and United States of America, followed by the first representative state of the European Union in this field, Germany.[2] Germany has always been the pioneer state of the European Union in terms of energy drastic decisions. The decision to eliminate the use of nuclear energy until 2022, and the recent decision to readjust the few coal mines it has until 2018, in order to deter complete pollutive fossil energy production and replace Dunarea de Jos University of Galati, Romania, , Ovidius University of Constanta, Romania. E-mail addresses: dana_marcean@yahoo.com (D.E.Holban), angelaelizamicu@yahoo.com (A.E. Micu). 12 it with a more effective one, determined Germany to invest heavily in green energy production, this fact being also reflected in production of energy from wind sources.[3] Figure 1. Top 10 market share of global wind energy in 2012 0 5 10 15 20 25 30 Market share of global wind energy China USA Germany Spain India France Italy GB Canada Portugal *Source: Own processing of the information in Global Wing Energy Outlook 2012 Report, available at http://www.gwec.net/wp-content/ uploads/2012/11/GWEO_2012_lowRes.pdf. Along with leading members of the wind energy market, a range of other countries with potential wind energy development joins in order to accomplish the target of gradual elimating the energy produced by fossil fuels, which on the one hand, are of a limited quantity, and on the other hand, they pollute most. All the states that are involved in energy production with wind fuel, made that during 1995-2012 the installed capacity of wind turbines to grow up to 57 times, being a relatively constant trend in rising year by year. As the issue of replacing the classic fuels is more acute, the increased use of renewable fuels is higher. Consequenly, the use of wind turbines is expected to see further significant growth.[4] The European Union sustains this type of energy production with all possible means, assuring legislation and finance for different projects implying green energy. The need of replacing conventional fuel is so stringent that the European Commision established targets for the 27 states to accomplish and different terms regarding each one of them. The legislative matters were treated very carefully and in a close approach with the financial matters, because of the significantly economical development differences within the Union. Figure 2. Evolution of installed capacity of wind power turbines worldwide in 1995-2012 *Source: Own processing of the information available at http://www.thewindpower.net/ statistics_world_en.php. At continental level, the first place in producing electricity from wind power is occupied by Europe, closely followed by Asia. America has the next place and at a long distance, Oceania and Africa. From the 13 technological point of view, the biggest engineering results in elements necessary for these processes were obtained from India.[5] 3. Wind energy between economic considerations and sustainable development The starting point of using wind turbines for electricity production was the need of mankind to pay attention to becoming more considerate regarding sustainable development in the context of the sharp rise in the number of people in the world and the consequently growth of consumption and needs. These considerations, which were affecting the entire population of the globe, have required increased attention to all aspects that the initialization and development of this energy industry branch assumed and still assumes until reaching a maximum point of development. Deeply involved in the process, the economic terms have been a priority for private companies that have decided to invest in this sector, but also for the states that subsidize a part of this process and especially for individual users that participate in the development of renewable energy through the green certificates. At investitional level, the boom known in the development of wind farms demonstrate their profitability. At European level, one of the biggest investors in wind energy is the group British Petroleum. Looking strictly at the business part, British Petroleum has invested in wind energy since the beginning of the mass implementation of turbines. Wind energy’s extensive development, in states where wind energy really matters in the energetic system, led to the price of MW to fall a lot. Altogether with this reason, uncertainties in government subsidies, the discovery of new oil and gas fields and their increased profitability, prompted some investors to readjust. Consequently, British Petroleum has decided to give up all the stakes it holds in wind parks completed or almost completed in the U.S.A.. Along with multilateral developed companies, there are companies specialized in the development of wind farms and electricity production, companies constantly worrying about investing in areas of the world in which this business knows a high profitability.[6] Figure 3. Top 10 wind farms onshore worldwide (2011) 0 200 400 600 800 1000 1200 1400 1600 USA1 India USA2 USA3 USA4 Romania USA5 USA6 USA7 China *Source: Own processing of the information available at http://www.energydigital.com/ top_ten/top-10-business/the-top-ten-largest-wind- farms-in-the-world The wind farms are located in areas with maximum and relatively constant wind power. This is why, although China is the main producer in the world, U.S.A. has the largest wind farms, China having several smaller parks. The same issue can be observed for the EU member states – they have large wind farms, but there are many smaller regions of location. It is also noted a sharp increase in households resorting to energy independence, less by installing wind turbines, but through solar panels.[7] At the individual consumer level, amoung with increased quality of life through the introduction of environmentally friendly technologies, wind energy brings additional electricity costs. These costs are due to the introduction of green certificates, through which it is provided additional income for investors operating in an environment so risky, but absolutely necessary. It is estimated that half of the revenue from a wind farm is represented by subsidies provided by the state and the green certificates, and half by the price of electricity supplied. The state finds it more and more difficult to provide these subsidies, especially in developing countries, such as Romania. Although wind energy potential in Romania could support a lot of investments for the near future, the recent anouncement of reducing with 50% the number of green certificates for producers of renewable energy is expected to bring a decrease in this sector. 4. Conclusions The need to develop renewable energy is already a way too debated topic in the literature of 14 specialty. However, the economic funds involved in this process are highly complex and often difficult to quantify. Strategic branch of the national economies of each state, the energy industry suffers permanent changes in „greening” its existence. Since 1980, when there was installed the world's first wind farm in New Hampshire, U.S.A., wind turbines have seen a sharp increase in use, being until now a great opportunity for investors. Investments in wind power technology were based not only on commissioning as many turbines, but also to optimize them so that the resulting product - electricity - to be in high quantity. To the wind turbines located on land were added offshore turbines. States that have a real history behind in this field, have managed to get through sustained efforts the cost per MW of wind power similar to a MW of nuclear power. This has led some investors to readjust their investment in branches with greater profitability rate. However, for states where wind energy is emerging, the cost per MW is double compared to the one produced by nuclear fuel and 50% higher than the one produced by fossil fuel. This is why government subsidies are essential, especially if the European states have to achieve targets set by the European Union. 5. References [1] http://www1.eere.energy.gov [2] http://www.thewindpower.net/statistics [3]http://www.forbes.com/sites/kensilverstein/2012/11/28/a-nuke-free-germany-may-be-forced-into-dirty-embrace-with-coal/ [4] http://www.gwec.net/wp-content/uploads [5] http://ww2.windpowerindia.in [6] http://www.bp.com [7] http://www.energydigital.com 
work_lkltgt3f5jdbdngbenckzogana	----	Vitamin B3 mystery challenge Analytical and Bioanalytical Chemistry (2018) 410:3925–3926 https://doi.org/10.1007/s00216-018-1093-8 ANALYTICAL CHALLENGE Vitamin B3 mystery challenge Lucia D’Ulivo1 © Springer-Verlag GmbH Germany, part of Springer Nature 2018 We would like to invite you to participate in the Analytical Challenge, a series of puzzles to entertain and challenge our readers. This special feature of “Analytical and Bioanalytical Chemistry” has established itself as a truly unique quiz series, with a new scientific puzzle published every three months. Readers can access the complete collection of published problems with their solutions on the ABC homepage at http://www.springer.com/abc. Test your knowledge and tease your wits in diverse areas of analytical and bioanalytical chemistry by viewing this collection. In the present challenge, vitamin B3 is the topic. And please note that there is a prize to be won (a Springer book of your choice up to a value of e100). Please read on... Meet the challenge Niacin or nicotinic acid (Fig. 1), also known as part of vitamin B3 complex, is an essential nutrient, and the US Food and Drug Administration recommends a daily intake of 16 mg niacin equivalents. As a precursor of NAD and NADP coenzymes, it plays an important role in human metabolism, DNA repair, and normal functioning of the nervous system [1]. A severe deficiency of niacin causes pellagra, a disease characterized by symptoms such as diarrhea, dermatitis, and dementia [1]. Christopher Columbus brought the corn plant to Europe and it quickly became a staple food largely due its high yields per hectare compared to wheat. Unfortunately, the widespread use of corn was followed by a disease that we now call pellagra. The connection between corn and this disease was first established by a Catalan physician Gaspar Casal. Pellagra was already an epidemic in Europe in the 18th century, and in the first half of the 20th century it � Lucia D’Ulivo lucia.dulivo@gmail.com 1 Ottawa, Canada Fig. 1 Chemical structure of niacin also started its spread in the United States of America, particularly among the poorest social classes. The actual cause of pellagra was not clear, and Joseph Goldberger, a Hungarian–American medical doctor, made a career out of solving its origins. Goldberger noticed that persons who followed a varied diet, rich in meat, diary products, and fresh foodstuffs, were much less prone to develop pellagra. Goldberger made significant efforts to isolate the so-called pellagra-preventing factor for which he was nominated for the Nobel Prize in Physiology and Medicine. He died in 1929 and it was the American biochemist Conrad Elvehjem who discovered soon after that niacin was capable of preventing pellagra [2]. This discovery was of crucial importance in building up a pellagra-prevention campaign, along with a food-fortification programs. Thanks to the work of Goldberger and Elvehjem, pellagra was eradicated in the USA and Europe, although pellagra outbreaks still occur in emergency-affected populations in Africa. This story might suggest that maize does not contain any niacin. However, that is not the case, as niacin is present at significant concentrations in corn [3]. Interestingly, Mesoamerican populations, among which poverty was diffused and food variety limited, had used corn as a staple food for centuries, yet they never developed pellagra. Why did maize flour provoke pellagra in Europe and the USA while populations in Central and South America never developed this disease? Published online: 29 2018June http://www.springer.com/abc mailto: lucia.dulivo@gmail.com 3926 L. D’Ulivo References 1. Eitenmiller LY, Ronald R, Landen JWO. Vitamin analysis for the health and food science. Boca Raton: CRC Press; 2008. 2. Rajakumar K. Pellagra in the United States: a historical perspective. South Med J. 2000;93:272–7. 3. Carpenter. The relationship of pellagra to corn and the low availability of niacin in cereals. Experientia Suppl. 1983;44:197– 222. We invite our readers to participate in the Analytical Challenge by solving the puzzle above. Please send the correct solution to abc-challenge@springer.com by September 1, 2018. Make sure you enter “Vitamin B3 mystery challenge” in the subject line of your e-mail. The winner will be notified by e-mail and his/her name will be published on the “Analytical and Bioanalytical Chemistry” homepage at http://www.springer.com/abc and in the journal (volume 411/issue 1) where readers will find the solution and a short explanation. The next Analytical Challenge will be published in 410/25, October 2018. If you have enjoyed solving this Analytical Challenge you are invited to try the previous puzzles on the ABC homepage. http://www.springer.com/abc Vitamin B3 mystery challenge Meet the challenge References 
work_lksvj4l7wzgzxew6iznsubfrwq	----	doi:10.1086/520769 626 The American Journal of Human Genetics Volume 81 September 2007 www.ajhg.org REPORT Recent Genetic Selection in the Ancestral Admixture of Puerto Ricans Hua Tang, Shweta Choudhry, Rui Mei, Martin Morgan, William Rodriguez-Cintron, Esteban González Burchard, and Neil J. Risch Recent studies have used dense markers to examine the human genome in ancestrally homogeneous populations for hallmarks of selection. No genomewide studies have focused on recently admixed groups—populations that have ex- perienced admixing among continentally divided ancestral populations within the past 200–500 years. New World admixed populations are unique in that they represent the sudden confluence of geographically diverged genomes with novel environmental challenges. Here, we present a novel approach for studying selection by examining the genomewide distribution of ancestry in the genetically admixed Puerto Ricans. We find strong statistical evidence of recent selection in three chromosomal regions, including the human leukocyte antigen region on chromosome 6p, chromosome 8q, and chromosome 11q. Two of these regions harbor genes for olfactory receptors. Interestingly, all three regions exhibit deficiencies in the European-ancestry proportion. From the Department of Genetics, Stanford University School of Medicine, Stanford (H.T.); Departments of Biopharmaceutical Sciences and Medicine (S.C.; E.G.B.) and Epidemiology and Biostatistics (N.J.R.) and Institute for Human Genetics (S.C.; E.G.B.; N.J.R.), University of California–San Francisco, San Francisco; Affymetrix, Santa Clara, CA (R.M.); Fred Hutchinson Cancer Research Center, Seattle (M.M.); Veterans Caribbean Health Care System (W.R.-C.) and University of Puerto Rico School of Medicine (W.R.-C.), San Juan; and Division of Research, Kaiser Permanente, Oakland (N.J.R.) Received March 8, 2007; accepted for publication May 23, 2007; electronically published August 1, 2007. Address for correspondence and reprints: Dr. Neil J. Risch, Institute for Human Genetics, University of California, 513 Parnassus Avenue, S965, San Francisco, CA 94143. E-mail: RischN@humgen.ucsf.edu Am. J. Hum. Genet. 2007;81:626–633. � 2007 by The American Society of Human Genetics. All rights reserved. 0002-9297/2007/8103-0020$15.00 DOI: 10.1086/520769 Whereas the vast majority of DNA sequence–level varia- tion evolves neutrally and is maintained by a balance be- tween the mutation process and random drift,1 some parts of the human genome have been subjected to natural se- lection. With use of dense genotype data on human pop- ulations, recent studies have identified regions that appear to have undergone positive selection.2–5 These results pro- vide information about population history, as well as clues for the identification of genes with important biological functions. Admixed populations offer special opportunities for studying recent selection. Before admixing, the ancestral populations had typically been isolated by distance, and their genomes had evolved in distinct environments. In contrast, in admixed populations of the Americas, the en- vironmental changes have been sudden. For example, His- panic populations resulted from recent admixing between genomes from the Old World (Africans and Europeans) and those from the New World (Native Americans). In- tercontinental migration brought genomes of some an- cestral populations to an unfamiliar environment in the New World and, at the same time, disturbed the local environment, introducing life-style changes as well as pathogens, such as smallpox, from the Old World. Thus, genomes from each ancestral population were presented with new challenges. This kind of selection pressure may be quite different from that faced by stationary popula- tions, in which the local environmental changes may oc- cur gradually, allowing for rare advantageous alleles to in- crease in frequency. At the same time, it is possible that a region (or regions) of the genome has been dispropor- tionately included in the newly admixed population be- cause of selection. Therefore, in theory, it is possible, with use of dense genotype data, to detect a signature of selec- tion by looking in an admixed population for genomic regions that exhibit unusually large deviations in ancestry proportions compared with what is typically observed elsewhere in the genome. The idea of detecting signatures of selection in an ad- mixed population has a considerable history and has been explored in various studies, which compare admixture es- timates at a small number of loci.6–8 Workman et al.6 ex- amined 12 genetic markers in a sample of 1,287 African Americans from Claxton, Georgia. The average European admixture proportion at most markers was estimated to be ∼.10. A few markers, however, exhibited higher European ancestry; those included the loci for G6PD, he- moglobin, haptoglobin, and phenylthiocarbamide taste blindness. Those authors concluded that the markers had been subject to natural selection. However, evolutionary fluctuations due to both small population size (genetic drift) and sampling variability can also generate differ- ences in ancestry proportions among loci.9 Subsequent reanalysis of these and related data argued that the ob- served variation in European admixture among markers can be attributed largely to evolutionary and statistical noise.9,10 In a rigorous analysis, Long9 showed that genetic drift alone could generate an interlocus ancestry distri- bution with SD of .044 in the Claxton population. Fur- thermore, because these early studies estimated ancestry www.ajhg.org The American Journal of Human Genetics Volume 81 September 2007 627 Figure 1. Genomewide variation of ancestry in Puerto Ricans. The X-axis denotes the physical location of SNPs; the Y-axis indicates the excess/deficiency in ancestry at the corresponding SNP, averaged for 192 Puerto Ricans. The red, blue, and green curves represent African, European, and Native American ancestries, respectively. proportions on the basis of a single marker at each locus, the ancestry estimates were sensitive to bias because of erroneous estimates of allele frequencies in the ancestral populations. The recent development of high-density SNP markers now allows for accurate ancestry estimation on a global, genomewide scale.11 This allows us to revisit the question of ancestral selection in admixed populations. To do so, we employ a recently proposed statistical approach for locus-by-locus ancestry estimation on a genomewide scale.11 The Puerto Rican population arose as a result of admix- ing among Europeans, West Africans, and Native Ameri- cans. The indigenous people on the island were the Taı́no Indians, who came from South America. In November 1493, Christopher Columbus discovered the island on his second voyage to the New World. In 1513, Africans were introduced to the island as slaves.12 Today, most Puerto Rican individuals have genomes derived from all three ancestral populations. The average genomewide individ- ual ancestry proportions have been estimated as .66, .18, and .16, for European, West African, and Native American, respectively.13 Under neutral evolution, we expect each individual’s genome to represent an ensemble of ancestry blocks, randomly sampled, with a probability similar to that of the genomewide average. Therefore, at each ge- nomic location, the regional ancestry proportions are also expected to follow the same probability distribution. Here, we examine the distributions of these three ancestry pro- portions across the genome in a sample of 192 Puerto Rican individuals, in a search for outlier regions. The 192 Puerto Ricans were recruited from six primary- care clinics in Puerto Rico as part of the Genetics of Asthma in Latino Americans study.14 All study participants were aged 8–40 years. Individuals of European (from the United States), West African (from Nigeria), and Native American (Pima and Mayan) descent were included, to approximate the ancestral populations. With use of the Affymetrix Human Mapping 100K GeneChip set,15 192 Puerto Ricans, 42 Europeans, 37 Africans, and 30 Native Americans were genotyped. Details of data-quality assess- ment and statistical analysis are provided in appendix A. Under the assumption of a trihybrid population model and of 112,584 SNPs, marker-specific ancestries were es- timated, with the program SABER,11 for all autosomes for each individual. Averaged over 192 Puerto Ricans, the ge- nomewide mean estimated European ancestry was .67, Af- rican ancestry was .18, and Native American ancestry was .15.18 For each individual, we then computed D ancestry by subtracting the genomewide ancestry from locus-spe- cific ancestry for each of the three ancestry components. We then calculated average locus-specific D ancestry val- ues for the 192 subjects. Figure 1 shows the average excess ancestry at each SNP 628 The American Journal of Human Genetics Volume 81 September 2007 www.ajhg.org Figure 2. Comparison of observed (histogram) and simulated (line) variation in ancestry across the genome. A population model was assumed in which, for the first 5 generations, Europeans and Native Americans admix at a ratio of 0.82:0.18, with a total population size of 1,000. At generation 5, Africans enter the gene pool, bringing N to 1,250. This trihybrid population is then allowed to mate randomly for 10 generations at constant population size. The density curve for each population is based on 107 independent simulations. location for the 192 Puerto Rican individuals, with the genomewide ancestry as the baseline reference. At most locations, deviations are within the range of evolutionary drift and statistical fluctuation. However, a few regions exhibit extreme fluctuations that are unlikely to have oc- curred by chance. Most prominently, on chromosome 6p21-6p22, an excess of African ancestry reaches .14 around SNP rs169679; this level of excess was not observed in 20,000 permutations (see appendix A) and represents 6.4 SD from the mean of the distribution. Correspond- ingly, the European ancestry at this location is depressed by .14, whereas Native American ancestry remains un- changed. Additionally, chromosome 8 (peak at SNP rs896760) and chromosome 11 (peak at SNP rs637249) show an excess of .13 in Native American ancestry and a deficit of European ancestry ( for each by per-P ! .001 mutation test). This level of excess in Native American ancestry represents 4.6 SD from the mean of the distribution. Figure 2 compares the distribution of estimated locus- specific ancestry with that simulated under genetic drift (see appendix A for population parameters). The histo- grams indicate that, under the assumption of a reasonable population-history model, the distribution of the locus- specific ancestry matches well with the observed distri- bution except for the few outliers noted (chromosomes 6p, 8q, and 11q). There is modest skewness in these dis- tributions, but it is insufficient to account for the outliers observed in any of the three ancestry distributions. No- ticeably, in 107 simulations, the African ancestry deviation exceeded .14 (in either direction) once. The Native Amer- ican ancestry deviation exceeded .13 35 times in 107 sim- ulations. Because ancestry blocks extend, on average, sev- eral centimorgans,19 these results suggest that it is unlikely that the outliers we observed are due to genetic drift, even allowing for testing of multiple chromosomal regions. In previous studies, locus-specific ancestry was esti- mated using a single marker at each locus; however, the high-density genotyping platform we used allows for in- ference based on multiple neighboring SNPs. Since most SNPs in the genome are not completely informative, com- bining information at neighboring SNPs produces more- www.ajhg.org The American Journal of Human Genetics Volume 81 September 2007 629 Figure 3. Extreme variations of ancestry on chromosomes 6 (a), 8 (b), and 11 (c). SNPs were divided into two sets (even-numbered vs. odd-numbered markers), which were analyzed separately with use of SABER. The red and green points are the excess African and Native American ancestries, respectively, on the two marker subsets, whereas the black points are the results with use of all available markers on that chromosome. accurate estimates than does using single markers. Fur- thermore, an ancestry estimate based on a single marker is sensitive to mutation or misspecification of ancestral- allele frequencies. In contrast, under evolutionary neu- trality, it is unlikely that these factors affect several neigh- boring markers in a way that leads to biased ancestry estimates. Thus, the estimation approach we use provides some safeguards against inaccurate ancestral-allele fre- quencies.11,18 Similarly, our method of estimating locus- specific ancestry is more robust to systematic genotyp- 630 The American Journal of Human Genetics Volume 81 September 2007 www.ajhg.org Table 1. Maximum-Likelihood Estimates of Ancestry Proportions in Puerto Ricans Marker Region European African Native American HLA-A .51 .32 .17 HLA-B .59 .28 .13 HLA-DRB .55 .24 .21 HLA-DQB .43 .37 .20 Combined (HLA) .51 .30 .20 Genomewide .76 .17 .07 NOTE.—The top five rows are estimates for the MHC region on chromosome 6; the last row is the genomewide average ancestry estimated from 15 microsatellites.13 Figure 4. Display of estimated ancestry on chromosome 6. Each pair of horizontal strips represents an (unphased) individual, with the vertical height proportional to the marker-specific ancestry estimates of African (red), European (blue), and Native American (green) ancestries. Left, Ancestry estimates around the peak on 6p21-22. Right, Randomly selected region of chromosome 6. ing error or deviation from Hardy-Weinberg equilibrium (HWE) at a single marker. We investigated more closely the three chromosome regions that achieved statistical significance. To exclude the possibility that the excess in ancestry is related to the inclusion of individuals with asthma, we examined the asthmatic cases ( ) and controls ( ) separately,n p 96 n p 96 and we found that the excess of African (or Native Amer- ican) ancestry and the deficiency of European ancestry occurred identically in both groups. To eliminate the possibility that the peaks are an artifact due to a few outli- er markers, we repeated the analysis separately with the even-numbered and odd-numbered markers. The result- ing excess ancestry along chromosomes 6, 8, and 11 is shown in figure 3; both marker sets show comparable ex- cess ancestry in all three regions. Figure 4 illustrates that the estimated African ancestry (shown in red) is indeed higher around chromosome 6p21-6p22 by comparing the estimated ancestries in two regions on chromosome 6: on the left is the 10-Mb window around the peak of excess African ancestry on chromosome 6p21-6p22, whereas on www.ajhg.org The American Journal of Human Genetics Volume 81 September 2007 631 the right is a randomly selected region of the same phys- ical width. The areas that are colored blue, red, and green correspond to the estimated European, African and Native American ancestries, respectively. The region on chromosome 6p harbors numerous genes; some of the most studied are those of the major histocompatibility complex (MHC). Since the human leu- kocyte antigen (HLA) loci have been well studied in a variety of populations, we sought independent confir- matory evidence using existing published HLA data. We compiled allele frequencies for Puerto Ricans, West Eu- ropeans, sub-Saharan Africans, and Native Amerindians for four HLA loci (HLA-A, -B, -DRB, and -DQB) from lit- erature sources16 and the HLA Frequency database from the American Society for Histocompatibility and Immu- nogenetics (ASHI). The data were used to determine the maximum-likelihood estimates of Puerto Rican ancestries at the HLA loci (table 1). For all four HLA loci examined separately and combined, ancestry proportions are similar to our previous estimates for the corresponding region, with elevated African ancestral proportion and decreased European ancestral proportion, in particular, compared with genomewide ancestry estimates obtained in another study of Puerto Ricans that used 15 microsatellite markers randomly distributed across the genome.17 The region underneath our observed peak on chromo- some 6p22 includes, in addition to HLA, an olfactory gene cluster. Similarly, the peak on chromosome 11q11 also harbors an olfactory gene cluster, which has been iden- tified elsewhere as a target of ongoing positive selection.4,20 The peak on 8q23.3 harbors less obvious candidates. There is only one gene in the region, CSMD3 (CUB and sushi multiple domains 3), of which the highest expression is found in fetal brain and intermediate expression is found in adult pancreas, spleen, testis, spinal cord, and all spe- cific adult brain regions examined. Little to no expression was detected in the other tissues examined.21 Admixed populations offer unique opportunities for the detection of signatures of selection by examination of the genomewide distribution of ancestry. It is reasonable to assume that selection occurred in recent times, subsequent to the intercontinental migration. Because the peaks are quite broad, it is difficult to identify the precise gene(s) that has been the target of selection, nor can we state with confidence the nature of the selective agent. However, we can postulate two scenarios that led to apparent regional admixture bias. First, the Africans and Europeans were ex- posed to an unfamiliar environment, with various new pathogens that are native to the New World. Because they are genetically more diverse, some African-admixed alleles might have conferred an advantageous phenotype. The European-derived alleles are less diverse and thus may have been less advantageous. This would have led to an excess of either African admixture (in the case of chro- mosome 6) or Native American admixture (in the case of chromosomes 8 and 11) and a corresponding deficiency in European admixture. Alternatively, it is possible that the massive intercontinental migration altered environ- mental conditions in the New World sufficiently that all three ancestral populations were challenged. Again, spe- cific African- or Native American–derived alleles rose in frequency. A second possibility is that various genes contributed to specific phenotypes, which have been influenced either by natural selection or by mating preferences. In the latter case, the admixture bias may reflect some type of social selection. In terms of the target of selection, it is intriguing that two regions exhibiting the strongest selection signals both harbor olfactory genes. This is consistent with the findings of Voight et al.4—namely, that genes related to olfaction are overrepresented in the regions under recent positive selection. But olfactory genes may not be the sole target. The region on chromosome 6p harbors various other genes; noticeably, some HLA loci are !2 Mb away from the peak. Because of their known role in im- mune defense, the HLA loci are certainly also strong candidates.22 It is also important to consider that the genetic inter- mixing that has occurred in this population over the past 5 centuries has brought together new combinations of diverged genomes and therefore created a novel genetic background on which selection may have operated. In this regard, as opposed to nonadmixed groups, admixed pop- ulations offer novel and complementary information about complex interactions involving both genes and en- vironment. Further investigations are required to reveal the targets and agents of selection that have played im- portant roles in shaping the admixed gene pool. Acknowledgments We acknowledge the families and the patients for their partici- pation. We thank Dr. Mark Shriver for contributing samples of European, African, and Native American descent, and we thank Dr. Eduardo Santiago-Delpin for providing the HLA frequencies in Puerto Ricans. This work is supported by National Institute of General Medical Sciences grants GM073059 (to H.T.) and HL078885 (to E.G.B.), American Thoracic Society “Breakthrough Opportunities in Lung Disease” Award (to S.C.), the Sandler Cen- ter for Basic Research in Asthma, and the Sandler Family Sup- porting Foundation. Appendix A Genotyping and Assessing the Data Quality A total of 192 Puerto Ricans, 42 Europeans, 37 Africans, and 30 Native Americans were genotyped with the Affy- metrix Human Mapping 100K GeneChip set,15 which comprises two arrays, each capable of genotyping 150,000 SNPs (58,960 for XbaI array and 57,244 for HindIII array). Approximately 250 ng of genomic DNA was processed for each chip, in accordance with the Affymetrix protocol. In all analyses reported in this work, only autosomal SNPs were included. For quality control, SNPs with call 632 The American Journal of Human Genetics Volume 81 September 2007 www.ajhg.org rates !.85 were eliminated from the analysis. To further eliminate SNPs with possible genotyping errors, we ex- cluded SNPs with only heterozygous calls. We chose not to use HWE as a quality-control criterion, because SNPs with large allele-frequency differences between major ra- cial/ethnic groups would tend to deviate from HWE if there is nonrandom mating with respect to ancestry in this population.23 These exclusions left us with 112,984 autosomal SNPs for analysis. Among the ancestral sam- ples, two Africans have allele sharing comparable to a sib pair, as do two Native Americans. In the subsequent anal- yses, we excluded one of the individuals from each pair. Statistical Analysis Marker-specific ancestry estimates were produced using the program SABER.11 We assumed a trihybrid population model and used the genotypes of the European, African, and Native American subjects to estimate the ancestral- allele frequencies, as well as the two-marker haplotype frequencies within each ancestral population. In this anal- ysis, we excluded 400 SNPs, which were monomorphic in the entire sample. The ancestral-allele frequencies were further refined using the program FRAPPE, which esti- mates the ancestral-allele frequencies with use of both the ancestral and the admixed individuals.18 The starting val- ues of genomewide average individual admixture fractions (IA), which are required input parameters in SABER, were also estimated using FRAPPE. The SABER output was used to re-estimate IA. We then reran SABER with updated IA estimates. We observed that new IA estimates from SABER did not change much in subsequent iterations. Both FRAPPE and SABER are available at the Tang Lab Web site. Once the locus-specific ancestry was estimated, we com- puted the “D ancestry,” deficiency or excess at each locus, using the genomewide IA as a baseline. Specifically, the D ancestry for ancestral population k at marker m is defined as I 1 m i,m i m˜¯ ¯d p (q � q ) p q � q ,�k k k k kI ip1 where is the locus-specific ancestry of individual i ati,mqk marker m, estimated from SABER; is the IA of individualiq̄k i; is the mean ancestry at marker m averaged over allmq̃k individuals; and is the proportion from ancestral pop-q̄k ulation k, averaged over all individuals and the entire genome. As shown by Long,9 genetic drift can create intermarker variation in ancestry proportions. Therefore, we per- formed a simulation to evaluate its potential impact on our analyses. We assumed a simple population model: at time 0, Europeans and Native Americans admix at a ratio of 0.82:0.18. The population size is kept at forN p 1,000 generations. At , African individuals enter thet p 5 t p 5 gene pool, bringing N to 1,250, achieving ancestry pro- portions similar to those estimated in the Puerto Ricans (i.e., .18), and reducing the European and Native American proportions to .67 and .15, respectively. This trihybrid population is then allowed to mate randomly for 10 ad- ditional generations at the constant population size. Each simulation generates the evolutionary history of one locus independently, with no linkage. The parameters of the population model were chosen on the basis of our un- derstanding of the history of this population and to match the resulting locus-specific–ancestry distribution with the corresponding empirical distributions. Whereas 15 gen- erations of admixing time may seem short (when the fact that Europeans arrived on the island 1500 years ago is considered), we note that the effect of genetic drift di- minishes as the size of the population grows, as has been the case in Puerto Rico for the past several hundred years. We note that Kimura analytically studied the question of allele-frequency distributions over time under drift.24 He showed that the derived distribution is a complex func- tion of , where t is the number of generations and Nt/2N is the effective population size. Although his results would be directly relevant to the ancestry distribution in a dihy- drid population over time, they are not directly applicable to our more complex scenario of three populations ad- mixing at different time points, with the exception of Af- rican ancestry, which we assumed entered at a single time point 10 generations ago, when the population size was 1,250. Results with use of his analytic formulas closely mirror our simulation results. Since the evolutionary simulation does not account for statistical sampling error and error associated with esti- mating ancestry, we performed a permutation test. In each individual, we randomly concatenated the ancestry esti- mates of 22 autosomes. This linear, long piece of per- mutated genome was circularized and was cut at a location chosen uniformly. A permuted sample was formed by re- peating this process for each individual, with the order of concatenation and the location of linearization chosen independently in each individual. We then computed the excess/deficiency in ancestry in each permuted sample and recorded the extreme values (maximum and mini- mum) achieved with respect to European, African, and Native American components. When markers are evenly spaced and linkage disequilibrium between neighboring markers is similar, an advantage of this permutation pro- cedure is that it preserves the correlation structure be- tween markers. In our data, this assumption does not hold exactly. Further, the estimation in ancestry with use of the same set of ancestral individuals induces a correlation at each site, which is not preserved in the permutation pro- cedure. To cope with these complexities, we further added a quantile transformation step—specifically, in each per- mutation, we multiplied the permuted statistics by a scale factor, so that the SD of the distribution of the permuted statistics (trimming .05 on each end) matched that in the corresponding observed distribution. In total, 20,000 per- mutations were performed, and the maximum absolute deviations (excess or deficiency) from these permuted ge- www.ajhg.org The American Journal of Human Genetics Volume 81 September 2007 633 nomes were treated as the null distribution, with which we computed the significance levels of the observed an- cestry deviation. One region of potential interest was the HLA region on chromosome 6p. To estimate the ancestry proportion in Puerto Ricans at the HLA loci, we used published and pub- licly available data. For Puerto Ricans, the gene frequencies at HLA-A, -B, -DRB, and -DQB were taken from 461 in- dividuals who were genotyped during 1997 and 1998.16 The corresponding gene frequencies in non-Hispanic Eu- ropeans, sub-Saharan Americans, and Native Americans were compiled using the HLA Frequency database from ASHI. Population-level ancestry proportions were then es- timated using maximum likelihood. For the genomewide estimate of admixture in Puerto Ricans, we used the data of Zuniga et al.,17 who studied a random collection of 15 microsatellites. Web Resources The URLs for data presented herein are as follows: ASHI, http://www.ashi-hla.org/ (for the HLA Frequency database) Tang Lab Web site, http://www.fhcrc.org/labs/tang (for FRAPPE and SABER software) References 1. Kimura M (2003) The neutral theory of molecular evolution. Cambridge University Press, Cambridge, United Kingdom 2. Sabeti PC, Reich DE, Higgins JM, Levine HZ, Richter DJ, Schaffner SF, Gabriel SB, Platko JV, Patterson NJ, McDonald GJ, et al (2002) Detecting recent positive selection in the hu- man genome from haplotype structure. Nature 419:832–837 3. Carlson CS, Thomas DJ, Eberle MA, Swanson JE, Livingston RJ, Rieder MJ, Nickerson DA (2005) Genomic regions exhib- iting positive selection identified from dense genotype data. Genome Res 15:1553–1565 4. Voight BF, Kudaravalli S, Wen X, Pritchard JK (2006) A map of recent positive selection in the human genome. PLoS Biol 4:e72 5. Tishkoff SA, Reed FA, Ranciaro A, Voight BF, Babbitt CC, Sil- verman JS, Powell K, Mortensen HM, Hirbo JB, Osman M, et al (2007) Convergent adaptation of human lactase persistence in Africa and Europe. Nat Genet 39:31–40 6. Workman PL, Blumberg BS, Cooper AJ (1963) Selection, gene migration and polymorphic stability in a US white and negro population. Am J Hum Genet 15:429–437 7. Reed TE (1969) Caucasian genes in American negroes. Science 165:762–768 8. Cavalli-Sforza LL, Bodmer WF (1971) The genetics of human populations. Freeman, San Francisco 9. Long J (1991) The genetic structure of admixed populations. Genetics 127:417–428 10. Adams J, Ward RH (1973) Admixture studies and detection of section. Science 180:1137–1143 11. Tang H, Coram M, Wang P, Zhu X, Risch N (2006) Recon- structing genetic ancestry blocks in admixed individuals. Am J Hum Genet 79:1–12 12. Carrion AM (1984) Puerto Rico: a political and cultural his- tory. Norton, New York 13. Burchard EG, Borrell LN, Choudhry S, Naqvi M, Tsai HJ, Rod- riguez-Santana JR, Chapela R, Rogers SD, Mei R, Rodriguez- Cintron W, et al (2005) Latino populations: a unique oppor- tunity for the study of race, genetics, and social environment in epidemiological research. Am J Public Health 95:2161–2168 14. Burchard EG, Avila PC, Nazario S, Casal J, Torres A, Rodriguez- Santana JR, Sylvia JS, Fagan JK, Salas J, Lilly CM, et al (2004) Lower bronchodilator responsiveness in Puerto Rican than in Mexican asthmatic subjects. Am J Respir Crit Care Med 169:386–392 15. Kennedy GC, Matsuzaki H, Dong S, Liu WM, Huang J, Liu G, Su X, Cao M, Chen W, Zhang J, et al (2003) Large-scale genotyping of complex DNA. Nat Biotechnol 21:1233–1237 16. Santiago-Delpin EA, de Echegaray S, Rivera-Cruz F, Rodriguez- Trinidad A (2002) The histocompatibility profile of the Puerto Rican population. Transplant Proc 34:3075–3078 17. Zuniga J, Ilzarbe M, Acunha-Alonzo V, Rosetti F, Herbert Z, Romero V, Almeciga I, Clavijo O, Stern JN, Granados J, et al (2006) Allele frequencies for 15 autosomal STR loci and ad- mixture estimates in Puerto Rican Americans. Forensic Sci Int 164:266–270 18. Tang H, Peng J, Wang P, Risch NJ (2005) Estimation of in- dividual admixture: analytical and study design considerations. Genet Epidemiol 28:289–301 19. Lautenberger JA, Stephens JD, O’Brien SJ, Smith MW (2000) Significant admixture linkage disequilibrium across 30 cM around the FY locus in African Americans. Am J Hum Genet 66:969–978 20. Gilad Y, Bustamante CD, Lancet D, Pääbo S (2003) Natural selection on the olfactory receptor gene family in humans and chimpanzees. Am J Hum Genet 73:489–501 21. Shimizu A, Asakawa S, Sasaki T, Yamazaki S, Yamagata H, Kudoh J, Minoshima S, Kondo I, Shimizu N (2003) A novel giant gene CSMD3 encoding a protein with CUB and sushi multiple domains: a candidate gene for benign adult familial myoclonic epilepsy on human chromosome 8q23.3-q24.1. Biochem Biophys Res Commun 309:143–154 22. Meyer D, Single RM, Mack SJ, Erlich HA, Thomson G (2006) Signatures of demographic history and natural selection in the human major histocompatibility complex loci. Genetics 173:2121–2142 23. Choudhry S, Coyle NE, Tang H, Salari K, Lind D, Clark SL, Tsai HJ, Naqvi M, Phong A, Ung N, et al (2006) Population stratification confounds genetic association studies among Latinos. Hum Genet 118:652–664 24. Kimura M (1955) Solution of a process of random genetic drift with a continuous model. Proc Natl Acad Sci USA 41: 144–150 Recent Genetic Selection in the Ancestral Admixture of Puerto Ricans Acknowledgments References 
work_llxze7aszrgbzklmxtknbmseca	----	1 Epidemiology and Health Epidemiology and Health Volume: 38, Article ID: e2016060, 6 pages https://doi.org/10.4178/epih.e2016060 PERSPECTIVE Open Access The effect of smoking on lung cancer: ethnic differences and the smoking paradox Keum Ji Jung1, Christina Jeon1,2, Sun Ha Jee1 1Institute for Health Promotion, Department of Epidemiology and Health Promotion, Graduate School of Public Health, Yonsei University, Seoul; 2Department of Public Health, Graduate School, Yonsei University, Seoul, Korea The objectives of this review were to determine whether the smoking paradox still exists and to summarize possible explanations for the smoking paradox. Based on published data, we compared the risk of cigarette smoking for lung cancer in Western and Asian countries. We extracted data from the relevant studies about an- nual tobacco consumption, lung cancer mortality rates according to smoking status from each country, and possible explanations for the smoking paradox. A significantly greater risk of lung cancer death was found among current smokers in Asian countries than among nonsmokers, with relative risks (RRs) of 4.0 to 4.6 for Koreans, 3.7 to 5.1 for Japanese, and 2.4 to 6.5 for Chinese. Although a significantly greater risk of lung can- cer was present among current smokers in Asian countries, the RRs in Asian countries were much lower than those reported in Western countries (range, 9.4 to 23.2). Possible explanations for the smoking paradox includ- ed epidemiologic characteristics, such as the smoking amount, age at smoking initiation, and the use of filtered or mild tobacco. The smoking paradox definitely exists, but may be explained by major epidemiologic charac- teristics. Therefore, the smoking paradox should not be interpreted as indicating that tobacco is safer or less harmful for Asians. KEY WORDS: Smoking, Lung neoplasms, Risk, Ethnic groups INTRODUCTION Tobacco has a long history of use starting in the early Ameri- cas. Following the discovery of tobacco in the New World by Christopher Columbus in 1492 [1,2], it was introduced to Eu- ropean countries. Cigarettes became popular after the Industri- al Revolution. Tobacco was popularized in two especially signif- icant periods. The first wave of popularization occurred in West- ern countries at the time of World War I, which started in 1914. The second wave was in Asian countries around the 1940s, an epidemic that started 40 years after the European countries. Popularization continued until scientific studies in the mid-20th century demonstrated the negative health effects of tobacco smoking, including lung cancer. Despite the lack of data for these periods, the prevalence of smoking is thought to have increased during World Wars I and II. In 1935, corresponding to the development of a machine by a British company, the prevalence of smoking increased. The tobacco industry requires mass production of cigarettes. The first epidemiological paper on this topic published in the first half of the 20th century stated that “smoking is connected with the shortening of life span,” and smokers began to reflect on their health because they observed some negative health effects of smoking [3]. In 1950, cigarette companies initiated a shift in cigarette design from a non-filter design to a filter design. Pro- duction of filter cigarettes skyrocketed from 0.5% in 1950 to 87.7% in 1975 [4]. In 1950, Doll & Hill [5] conducted the British Doctors’ Study to determine the association between smoking and health con- sequences. In 1964, the first Surgeon General’s Report was pub- lished in the US, which allowed governmental enforcement of Correspondence: Sun Ha Jee Institute for Health Promotion, Department of Epidemiology and Health Promotion, Graduate School of Public Health, Yonsei University, 50-1 Yonsei-ro, Seodaemun-gu, Seoul 03722, Korea Tel: +82-2-2228-1523, Fax: +82-2-365-5118, E-mail: jsunha@yuhs.ac Received: Dec 12, 2016, Accepted: Dec 20, 2016, Published: Dec 20, 2016 This article is available from: http://e-epih.org/ 2016, Korean Society of Epidemiology This is an open-access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. http://crossmark.crossref.org/dialog/?doi=10.4178/epih.e2016060&domain=pdf 2 Epidemiology and Health 2016;38:e2016060 smoking bans in public places and strongly recommended smok- ing cessation [6]. Forty years later, another comprehensive re- port entitled Tobacco Free * Japan was published in 2004 in Japan [7]. At that time, findings on smoking and cancer risk ob- tained using data from the Korean Cancer Prevention Study (KCPS) were also published [8]. Interestingly, however, the mag- nitude of the effect of smoking on lung cancer was different be- tween Western and Asian countries, with a smaller effect size observed in Asian countries. Investigators named this phenom- enon “the smoking paradox,” and have tried to explain it [9,10]. The objectives of this review were to investigate whether the smoking paradox still exists and to summarize possible expla- nations for the smoking paradox (Figure 1). DOES THE SMOKING PARADOX EXIST? To determine whether the risk of smoking for lung cancer is lower in Asian countries, which have been referred to as the smoking paradox, we reviewed selected well-established epide- miologic studies from Western and Asian countries. The results are presented below. United Kingdom The British Doctors’ Study is the oldest epidemiologic study on this topic from the United Kingdom (UK) and has become very well known. This UK prospective study of smoking and death began in 1950, included 34,439 British male doctors, and has now continued for 50 years. The researchers published a 20-year follow-up study in 1976, a 40-year follow-up in 1994, and a 50-year follow-up in 2004 [11-13]. Recently, results from a 60-year follow-up study were presented at a meeting in hon- or of Richard Doll’s centenary at Oxford University on October 28, 2012. In the latest three reports (the 20-year, 40-year, and 50-year follow-up) the relative risk (RR) of smoking for lung cancer was found to have increased over the duration of follow-up. The RR was approximately eight at the time of the 20-year follow-up study, but increased to above 14 when the participants were followed up for more than 40 years (Figure 2). US In the US, the most well-known prospective cohort that we reviewed was the US veterans study [14]. The tobacco use of almost 250,000 US veterans was surveyed via questionnaire in the 1950s. Together with six other large studies and several case- control studies, the early results of this investigation provided the basis for the first series of reports by the Surgeon General on the health effects of smoking, which identified lung cancer and a number of other smoking-related diseases [6]. In a graph showing the results from the US veterans study cohort published in 1995, the RRs of smoking for laryngeal cancer and lung can- cer were 17.8 and 11.7, respectively [14]. Additionally, the Cancer Prevention Study (CPS), the largest prospective cohort, was reviewed. In 1959, 1,078,894 subjects were recruited by the American Cancer Society to participate Figure 1. Landmarks of the history of tobacco, from discovery to popularization. Landmark tobacco history Popularization in Western Popularization in Asian World War I, II 1492 1900 1940 1950 1964 2004, 2005 2016 Figure 2. Relative risk (RR) of smoking for lung cancer, UK. Adapted from Doll et al. [11-13]. 16 14 12 10 8 6 4 2 0 20 40 50 Duration of follow-up (yr) R R 3 Jung KJ et al.: Smoking effect on lung cancer: smoking paradox in the 12-year study, CPS-I. CPS-II, a prospective mortality study, was initiated by the American Cancer Society in 1982 [15]. The American Cancer Society recruited subjects in 1982 among the friends, neighbors, and acquaintances of volunteers. The tobac- co use of almost more than 1.2 million US inhabitants was sur- veyed by the questionnaire in 1982. The key findings were re- markable. On average, the mortality among non-smokers was 8.6, while the mortality among smokers was remarkably high (101.3 per 100,000 persons). The estimated RR was 11.9. Smok- ing accounted for over 95% of lung cancer deaths in men and 92% in women. China China is by far the largest producer of cigarettes in the world. Between 1915 and 1945, annual cigarette consumption rose from approximately 0 to 100 billion. China is also the largest consumer market in the world, with over 300 million smokers consuming 1.7 trillion cigarettes in 1997 (unpublished data). Three prospective studies of smoking and the RR for lung can- cer have been conducted: the Shanghai cohort, whose sample size was 18,244, and two prospective cohorts studied by Lam et al. [16] and Yuan et al. [17]. In the Shanghai cohort, male res- idents of Shanghai, China were enrolled from January 1, 1986, through September 30, 1989 and were actively follow ed via annual visits during the study period [17]. However, the cohort size was small and the duration of follow-up was relatively short. In China, Liu and Peto published a paper [18] presenting a ret- rospective proportional mortality study of one million deaths in 1998. The goal of that study was to examine the hazards at an early phase of the growing epidemic of death from tobacco in China. From 1989 to 1991, they interviewed the surviving family members of one million people who died from 1986 to 1998 in 98 areas of China. For both sexes, the lung cancer rates for individuals 35 to 69 of age were approximately 2.6 times higher in smokers than in nonsmokers among men and 2.0 times greater in smokers than in non-smokers in women. Of all deaths attributed to tobacco, 45% were due to chronic obstructive pul- monary disease and 15% were due to lung cancer. Japan In 2004, Tobacco Free * Japan, a comprehensive and detailed report on smoking and health similar to the US Surgeon Gen- eral’s report was published in Japan. Although the report covered numerous epidemiologic studies, we selected the Japan Collab- orative Cohort (JACC) study for this review [19]. The JACC study was sponsored by the Ministry of Education, Culture, Sports, Science, and Technology of Japan. The cohort was established from 1988 to 1990, with 46,465 men and 64,327 women aged 40 to 79 years recruited from 45 study areas throughout Japan. The RRs for lung cancer in smokers were 4.46 in men and 3.58 in women. In men, the population-attributable risk (PAR) was 52.2% for current smokers and 14.8% for ex-smokers. Korea In Korea, despite the introduction of tobacco 400 years ago, its widespread use in the form of manufactured cigarettes only emerged after 1945. The first national brand, produced by a gov- ernment monopoly, was named Seung Ri, meaning “indepen- dence from Japan.” Cigarette consumption rose sharply after the end of the Korean War in 1953. The rise has been particu- larly pronounced since 1960, as Korea became economically prosperous, with a peak around 2000 (Figure 3) [20]. Korean tobacco consumption trends have shown an increase since 1945. In Figure 3, the tobacco consumption amount unit is one mil- lion packs per year, and the red line shows the number of deaths from lung cancer. Since 1981, the year of the first mortality re- port, the number of lung cancer deaths in Korea continuously increased until 2015, when a slight drop was observed for the first time. The KCPS is a prospective cohort study with a follow- up period of 24 years that was designed to assess the risk factors for mortality, incidence, and hospital admission due to cancer and other chronic diseases. The KCPS cohort included 1,329,525 Koreans from 30 to 88 years of age who underwent biennial medical evaluations from 1992 to 1995. The first report based on the KCPS was published in 2004. The RRs of smoking for lung cancer were 4.6 in men and 2.5 in women [20]. Summary of selected publications Two major observations were made based on our analysis of the data. First, a significantly greater risk of lung cancer mortal- ity was found among current smokers than among non-smok- ers in Asian countries (RRs, 4.0 to 4.6 for Koreans; 3.7 to 5.1 for Japanese; and 2.4 to 6.5 for Chinese). Second, although a significantly increased risk of lung cancer was present among current smokers in Asian countries, the RRs in Asian countries were much lower than those reported in Western countries (range, 6,000 5,000 4,000 3,000 2,000 1,000 0 19 45 19 50 19 55 19 60 19 65 19 70 19 75 19 80 19 85 19 90 19 95 20 00 20 05 20 10 20 15 Year M ill io n pa ck Tobacco consumption No. of death from lung cancer Figure 3. Tobacco consumption and lung cancer deaths in Korea. 4 Epidemiology and Health 2016;38:e2016060 9.4 to 23.2). The results were very similar among men, with the RRs in Asian countries being much lower than those reported in Western countries. Asian countries had a lower PAR for smok- ing and lung cancer than Western countries. In summary, numer- ous epidemiological studies have consistently reported smoking to be a risk factor for lung cancer. However, the magnitude of the risk for lung cancer mortality associated with cigarette smok- ing has been reported to be lower in Asian countries than in West- ern countries. POSSIBLE EXPLANATIONS FOR THE SMOKING PARADOX Different epidemics Cigarette consumption in Japan and Korea has followed a pat- tern similar to that observed among adults in the US, although the major increase took place 40 years later [7]. One of the possi- ble explanations for this discrepancy may be the differences in the exposure amount of cigarettes smoked in different eras in Western countries and Asian countries. The per capita cigarette consumption in the US reached 3,000 cigarettes per year in the 1940s, while Korea and Japan reached the same level in the 1970s. Therefore, we may hypothesize that Asian countries have not yet experienced the full effect of cigarette smoking on lung cancer. Age at smoking initiation and amount of smoking Another explanation might be the age of smoking initiation. It has been found that current smokers in Asian countries began smoking at an older age. A strong trend has been found for an earlier smoking initiation age in later birth cohorts. While the age at smoking initiation for Korean men and women has grad- ually decreased in recent birth cohorts, they still began smoking much later than men and women in the US [20]. The average smoking amount among Asian smokers was relatively small in the past. In China, the average daily cigarette consumption for men was one in 1952, increasing to 16 in 1996 [18]. In Korea, the weighted mean of smoking quantity among current smok- ers was only a half-pack in 1980, which dramatically increased to almost one pack in 2000 (unpublished data). Toxicity and filter The contents of tobacco itself have not significantly changed over time. Basic physiology and genetic factors are likewise not changeable over time. However, tobacco products may have changed over time. Since consumer demand has increased for mild tobacco due to health concerns, tobacco industries have produced products such as Mild Seven or Right, which are known to have low tar and low nicotine. Recently, such brands have become very popular in Asian countries. Previous studies have found that the use of low-nicotine products did not lead smok- ers to change the quantity of nicotine consumption per day. This is because smokers who use low-nicotine products tend to in- crease the number of cigarettes they smoke to meet their needs for nicotine. Therefore, the effects of low-tar or low-nicotine prod- uct use on various diseases are known to be similar to those of standard cigarettes. However, Philip Morris, British American Tobacco, and other tobacco companies considered the possibility of reducing ciga- rette toxicity through the use of filters. Although filtered brands constitute over 90% of the entire cigarette market [4], epidemi- ologic data support the conclusion that cigarette filters have done little to protect smokers. In 2011, investigators from the US and Japan reported that the shift from non-filter to filter cigarettes appears to have merely altered the most frequent type of lung cancer, from squamous cell carcinoma to adenocarcinoma [21]. Lung cancer risk of never smokers The data previously discussed in this review indicate that lung cancer mortality among nonsmokers across countries varies, and is likely to be lower in Western countries than in Asian coun- tries. For men, lung cancer mortality per 100,000 persons among non-smokers in Western countries ranged from 14 to 17, while in Asians it ranged from 19.2 to 36.0. Death rates of non-smok- ers in all Asian cohorts were higher than those of non-smokers in Western countries. However, the death rates for current smo- kers in all Asian cohorts were lower than those in Western coun- tries. Comparing the death rates and exposure levels of current smokers indicates that one reason for the lower RR in Asians is the presence of higher death rates among non-smokers combined with lower death rates among smokers (Figure 4). Another com- Figure 4. Hypothetical graph of relative risk (RR) in relation to death rate and smoking status. 100 10 Smoker SmokerNever- smoker Never- smoker Western Asian D ea th ra te /1 00 ,0 00 RR > 10 RR = 5 5 Jung KJ et al.: Smoking effect on lung cancer: smoking paradox prehensive study reported that the death rate from lung cancer among never smokers was higher in men than in women, and higher in Asians residing in Asia than in individuals of Europe- an descent [22]. This study used participants from the CPS to identify mortality rates among those of European descent and participants from the KCPS as the Asian sample. The morality rates per 100,000 persons among Europeans and Asians were 12.0 and 26.0 in men and 9.5 and 16.1 in women, respectively. One of the possible reasons for the increased lung cancer risk among never smokers in Asian countries is poor ventilation com- bined with the use of coal, which Asian women have traditional- ly been exposed to [23]. Genetic risk scores involving telomere length are also a possible factor explaining differences in lung cancer risk among never smokers [24]. Genetic differences The association of DNA methylation with smoking has been reported to vary according among ethnic groups [25]. Current smokers in Europe have been found to smoke more per day, to have started smoking earlier, and, therefore, to have accumulat- ed more pack-years than South Asians. Differences were found in DNA methylation between South Asians (57%) and Europe- ans (53%) among current smokers. However, the difference was not sufficiently large and may not explain the smoking paradox. Another issue is epidermal growth factor receptor (EGFR). The EGFR gene is a major oncogene in lung cancer adenocarcino- ma in Asians. The expression of EGFR in both never smokers and ever smokers was found to be much higher in Japan than in the US [26]. These differences may explain the smoking par- adox, at least for lung cancer adenocarcinoma in Asians. Others In summary, smoking is the most convincing causal risk fac- tor for lung cancer, with over 90% of attributable risk in West- ern countries. Alcohol consumption, cholesterol, total and satu- rated fat, and animal fat are other possible risk factors. Vegeta- bles and fruits are convincing protective factors, while physical activity, carotenoids, vitamin C, and selenium are potentially beneficial. In a report that compared the outcomes of tobacco smoking (e.g., lung cancer) between Japan and the US, no dif- ferences were shown regarding diet, degree of inhalation, or al- cohol consumption. However, more toxicity due to the carcino- gens in cigarettes and an earlier onset age of smoking were found in the population in the US [27]. CONCLUSION Based on previous epidemiological studies, the smoking para- dox definitely exists. However, while the smoking paradox may be explained by major epidemiologic differences between West- ern and Asian populations, such as smoking amount, age at smok- ing initiation, and the use of filtered or mild tobacco, we cannot conclude how much these factors may explain this phenome- non, as relevant genetic differences have not been sufficiently elucidated. The smoking paradox itself bears important implications for public health. Based on previous studies that examined differ- ences in epidemiological characteristics related to the smoking paradox, the Asian population may not yet have fully experi- enced the damage from smoking due to a comparably shorter tobacco epidemic history than Western countries. Second, the Asian population has been found to be characterized by a late age of smoking initiation, and since the smoking rate has incre- ased and the initiation age of adolescents has decreased recent- ly, the damage from smoking may increase in the future. In the public health field, practitioners should be especially cautious of misstating the smoking paradox by saying that tobacco is saf- er or less harmful for Asians. Although tobacco brands change over time, the contents of tobacco do not, meaning that no safe tobacco brand exists in the world. ACKNOWLEDGEMENTS This study was supported by a grant from the National R&D Program for Cancer Control, Ministry of Health and Welfare, Republic of Korea (1631020). CONFLICT OF INTEREST The authors have no conflicts of interest to declare for this study. ORCID Keum Ji Jung http://orcid.org/0000-0003-4993-0666 Christina Jeon http://orcid.org/0000-0001-7584-6228 Sun Ha Jee http://orcid.org/0000-0001-9519-3068 REFERENCES 1. Gately I. La diva nicotina: the story of how tobacco seduced the world. London: Scribner; 2002, p. 1-320. 2. Musk AW, de Klerk NH. History of tobacco and health. Respirology 2003;8:286-290. 3. Grzybowski A. The history of antitobacco actions in the last 500 years. part. 1. Non-medical actions. Przegl Lek 2006;63:1126-1130 (Polish). 6 Epidemiology and Health 2016;38:e2016060 4. Jarvik ME, Cullen JW, Gritz ER, Vogt TM, West LJ. Research on smoking behavior; 2007 [cited 2016 Dec 25]. Available from: https:// archives.drugabuse.gov/pdf/monographs/17.pdf. 5. Doll R, Hill AB. The mortality of doctors in relation to their smoking habits; a preliminary report. Br Med J 1954;1:1451-1455. 6. US Surgeon General’s Advisory Committee on Smoking and Health. Smoking and health; report of the advisory committee to the Surgeon General of the Public Health Service. Washington, DC: US Depart- ment of Health, Education, and Welfare; 1964, p. 23-40. 7. Mochizuki-Kobayashi Y, Samet JM, Yamaguchi N. Tobacco free * Japan: recommendations for tobacco control policy; 2004 [cited 2016 Dec 4]. Available from: http://escholarship.org/uc/item/9x27v23m. 8. Jee SH, Samet JM, Ohrr H, Kim JH, Kim IS. Smoking and cancer risk in Korean men and women. Cancer Causes Control 2004;15:341- 348. 9. Kawaguchi T, Matsumura A, Fukai S, Tamura A, Saito R, Zell JA, et al. Japanese ethnicity compared with Caucasian ethnicity and never- smoking status are independent favorable prognostic factors for over- all survival in non-small cell lung cancer: a collaborative epidemio- logic study of the National Hospital Organization Study Group for Lung Cancer (NHSGLC) in Japan and a Southern California Region- al Cancer Registry databases. J Thorac Oncol 2010;5:1001-1010. 10. Ahn MJ, Lee J, Park YH, Ahn JS, Ziogas A, Zell JA, et al. Korean ethnicity as compared with white ethnicity is an independent favor- able prognostic factor for overall survival in non-small cell lung can- cer before and after the oral epidermal growth factor receptor tyro- sine kinase inhibitor era. J Thorac Oncol 2010;5:1185-1196. 11. Doll R, Peto R. Mortality in relation to smoking: 20 years’ observa- tions on male British doctors. Br Med J 1976;2:1525-1536. 12. Doll R, Peto R, Wheatley K, Gray R, Sutherland I. Mortality in rela- tion to smoking: 40 years’ observations on male British doctors. BMJ 1994;309:901-911. 13. Doll R, Peto R, Boreham J, Sutherland I. Mortality in relation to smok- ing: 50 years’ observations on male British doctors. BMJ 2004;328: 1519. 14. McLaughlin JK, Hrubec Z, Blot WJ, Fraumeni JF Jr. Smoking and cancer mortality among U.S. veterans: a 26-year follow-up. Int J Can- cer 1995;60:190-193. 15. Thun MJ, Myers DG, Day-Lally C, Namboodiri MM, Calle EE, Flan- ders WD, et al. Age and the exposure-response relationships between cigarette smoking and premature death in cancer prevention study II [cited 2016 Dec 4]. Available from: https://cancercontrol.cancer.gov/ brp/tcrb/monographs/8/m8_5.pdf. 16. Lam TH, Xu L, Schooling CM, Chan WM, Lee SY, Leung GM. Smok- ing and mortality in a prospective cohort study of elderly Chinese in Hong Kong. Addiction 2015;110:502-510. 17. Yuan JM, Ross RK, Wang XL, Gao YT, Henderson BE, Yu MC. Mor- bidity and mortality in relation to cigarette smoking in Shanghai, Chi- na. A prospective male cohort study. JAMA 1996;275:1646-1650. 18. Liu BQ, Peto R, Chen ZM, Boreham J, Wu YP, Li JY, et al. Emerg- ing tobacco hazards in China: 1. Retrospective proportional mortality study of one million deaths. BMJ 1998;317:1411-1422. 19. Ando M, Wakai K, Seki N, Tamakoshi A, Suzuki K, Ito Y, et al. At- tributable and absolute risk of lung cancer death by smoking status: findings from the Japan Collaborative Cohort Study. Int J Cancer 2003; 105:249-254. 20. Jee SH, Ohrr H, Sull JW, Samet JM. Cigarette smoking, alcohol drink- ing, hepatitis B, and risk for hepatocellular carcinoma in Korea. J Natl Cancer Inst 2004;96:1851-1856. 21. Ito H, Matsuo K, Tanaka H, Koestler DC, Ombao H, Fulton J, et al. Nonfilter and filter cigarette consumption and the incidence of lung cancer by histological type in Japan and the United States: analysis of 30-year data from population-based cancer registries. Int J Cancer 2011;128:1918-1928. 22. Thun MJ, Hannan LM, Adams-Campbell LL, Boffetta P, Buring JE, Feskanich D, et al. Lung cancer occurrence in never-smokers: an anal- ysis of 13 cohorts and 22 cancer registry studies. PLoS Med 2008;5:e185. 23. Kim C, Gao YT, Xiang YB, Barone-Adesi F, Zhang Y, Hosgood HD, et al. Home kitchen ventilation, cooking fuels, and lung cancer risk in a prospective cohort of never smoking women in Shanghai, China. Int J Cancer 2015;136:632-638. 24. Machiela MJ, Hsiung CA, Shu XO, Seow WJ, Wang Z, Matsuo K, et al. Genetic variants associated with longer telomere length are as- sociated with increased lung cancer risk among never-smoking wom- en in Asia: a report from the female lung cancer consortium in Asia. Int J Cancer 2015;137:311-319. 25. Elliott HR, Tillin T, McArdle WL, Ho K, Duggirala A, Frayling TM, et al. Differences in smoking associated DNA methylation patterns in South Asians and Europeans. Clin Epigenetics 2014;6:4. 26. Saito M, Shiraishi K, Kunitoh H, Takenoshita S, Yokota J, Kohno T. Gene aberrations for precision medicine against lung adenocarcino- ma. Cancer Sci 2016;107:713-720. 27. Takahashi K, Bokura H, Kobayashi S, Iijima K, Nagai A, Yamaguchi S. Metabolic syndrome increases the risk of ischemic stroke in wom- en. Intern Med 2007;46:643-648. 
work_lnsdiiqc3vfablf7odilax34l4	----	Language as a Resource in Flowers Bay, Roatan, Honduras Iowa State University From the SelectedWorks of Carla A McNelly March, 2014 Language as a Resource in Flowers Bay, Roatan, Honduras Carla A McNelly, University of Oregon Available at: https://works.bepress.com/carla_mcnelly/3/ http://www.iastate.edu https://works.bepress.com/carla_mcnelly/ https://works.bepress.com/carla_mcnelly/3/ Anthropology News 55(3) March 2014 LANGUAGE COMMUNITY & EDUCATION Language as a Resource in Flowers Bay, Roatan, Honduras Carla A. McNelly The global perspective toward bilingual and multilingual education supports literacy in the student’s first, second, and the possibility of a third or more language to attain socio-political pluralism (Ochoa, 1995). The goal of this discussion is to highlight the importance of bilingual education in the local community of Flowers Bay, Honduras where the educational mission is a pluralistic society. According to the Honduran constitution bilingual education is a right. The Código de la Niñez y de la Adolescencia [Child and Adolescent Code] specifically states that students have the right to a public education that includes their native language and culture. In the early 1980s, while many people were preparing to celebrate the 500th anniversary of Christopher Columbus “discovering” America, families from multiple ethnic groups in Honduras, including the Garífuna and the Black English Speakers, worked tirelessly to gain racial and ethnic recognition from the Honduran government. Their efforts led to a 1994 presidential decree by Carlos Roberto Reina to form the Educación Intercultural Bilingüe (EIB) [Intercultural Bilingual Education]. One of the main principals of EIB is “preparing students to live and work in a pluralistic society”. The program’s fundamentals and principals incorporate the vision that intercultural education is relevant for everyone and that culture and language are critical to the construction of a democratic society, “unidad en la diversidad” [unity in diversity]. A pluralistic society emphasizes coexistence between multiple languages, cultures, interests, and convictions. A pluralistic also recognizes distributions of power and the individual This is a manuscript of an article from Anthropology News, March 2014, 55(3); e1-e20. Doi: 10.1111/j.1556-3502.2014.55301.x. Posted with permission. needs of its members. That said, language is an essential component of working toward reaching a pluralistic society (Darder, 2011). When language is viewed as a resource (Ruiz, 1984), pluralistic societies are prioritized over the assimilation of minority groups into the dominant cultures. Framing the discussion around “language-as-a resource” may be helpful in engaging majority and minority communities in conversations focused on the need for bilingual education. These conversations allow individuals from marginalized and/or minority groups to play a greater role in the local economy and in preserving their cultural identity (Ruíz, 1984; UN News Centre, 2013), while affirming and empowering cultural ideologies and beliefs (Darder, 2011). Flowers Bay is a community established in the late 1830s on the Southwest side of Roatan with a population of approximately 1000 residents who self-identify as Black English Speakers (Brooks Smith, 2013). According to latest census data available in 2001, the Instituto Nacional of Honduras [National Institute of Honduras], reports that Negro Ingles [Black English Speakers] comprise 60%, of people living in Flowers Bay. They are a minority community on the island of Roatan where the majority is Ladino (Spanish and Indigenous mix). The community is about two and one-half miles from a port of entry for cruise ships carrying Europeans and North Americans docking in Coxen Hole, the capital of el departamento [the state] of Roatan. The increase in tourist activity within the community causes a greater demand for a multilingual labor force to support the economy where service industry labor is a vital resource. The need for multilingual language learning is essential to the sustainability of the local community of Flowers Bay. Because of the history of British influences in the region, many older Black English Speakers on the Bay Islands are monolingual. The Curricula Básica, the national curriculum, published in Spanish only, is educating their children and grandchildren in local public schools. Mothers reported that after returning home from their Spanish-only public schools, they received English instruction by community members from the British Royal Readers published in 1877. Even with constitutional rights, the Presidential decree of 1994, and the formation of the national Educación Intercultural Bilingüe (EIB) [Intercultural Bilingual Education program, Black English Speakers have not been successful in gaining access for their children. Historically, on Roatan, public schools in Black English Speaker communities offer English as a foreign language when teachers are available. Nineteen years after the 1994 Presidential decree, the national government initiated nine pilot bilingual (Spanish/English) kindergarten program in Roatan public schools. The hope of bilingual education for Black English Speakers continues with the second school year that began February 2014. Access to bilingual education programs in the public schools is a priority for mothers in Flowers Bay, who overwhelmingly report the need for their children to speak English. Bilingual English and Spanish speakers find it easier to secure jobs. Employers favor hiring people who speak English in order to communicate with tourists arriving on Roatan. The mothers also express the desire for the children to learn how to read and write English as well as Spanish. The skills of reading and writing along with speaking two languages provide their children the ability to navigate working on the Bay Islands and on the mainland of Honduras. In addition, these are important skills if they choose to travel to another country like the United States to find employment. The Educación Intercultural Bilingüe (EIB) program is an international model with the goal of being a pluralistic society. The voices of mothers make the case that even though language is a right according to the Honduran constitution, it is also clearly a highly valued resource in Flowers Bay, Roatan, Honduras. Carla A. McNelly is a Doctoral Student in the inaugural cohort of Critical and Socio-cultural Studies in Education (CSSE) at the University of Oregon. Eric Johnson is the contributing editor for Language, Community & Education column. He is an Assistant Professor at Washington State University. His key areas of research interest include language policy and immersion programs. Iowa State University From the SelectedWorks of Carla A McNelly March, 2014 Language as a Resource in Flowers Bay, Roatan, Honduras tmpOC1hgQ.pdf 
work_louhgahrvrdwxnkg22im4gojdy	----	The Incredible Journey of Plants Stefano Mancuso (transl. Gregory Conti) Other Press (2020) About 400 metres from ground zero in Hiroshima, a weeping willow and other plants regrew from their roots. Revered, they are labelled hibakujumoku, “trees that suffered an atomic explosion”, an elderly Japanese diplomat translates in flawless Italian for visiting plant neurobiologist Stefano Mancuso. Later, he confesses he is a hibakusha: he survived the strike because his classroom was protected by a curtain of trees. Such anecdotes enliven Mancuso’s quirky little global history, which argues that plants “are more sensitive than animals”. The Story of More Hope Jahren Vintage (2020) In 2009, palaeobiologist Hope Jahren was required to teach climate change. Initially reluctant, she soon conceived a vocation. Her compelling book uses statistics brilliantly to provoke self-examination. In sections on ‘Life’, ‘Food’, ‘Energy’ and ‘Earth’, it illuminates subjects from population growth to melting glaciers. If the whole planet consumed resources on the US scale, carbon dioxide emissions would be more than four times higher, she observes: “Using less and sharing more is the biggest challenge our generation will ever face.” Footprints: In Search of Future Fossils David Farrier Farrar, Straus and Giroux (2020) Fossil footprints unmasked by a 2013 storm on the English coast revealed that hominins walked beside an estuary 850,000 years ago. Although quickly erased by the tide, they inspired David Farrier to consider modern civilization’s future footprints, including Neil Armstrong’s marks on the Moon and the nuclear footprint: a geological repository for Finland’s spent fuel. This is designed to be forgotten — unlike its US equivalent, which proposes to use warning signs modelled on Edvard Munch’s 1893 painting The Scream. The Future of Brain Repair Jack Price MIT Press (2020) In 1996, neurobiologist Jack Price, then at a major pharmaceutical company, was invited to fund academic research into stem-cell therapies. He declined. Now an academic himself, he is more hopeful. In 2006, Shinya Yamanaka discovered how to make ‘pluripotent’ stem cells, enabling brain-like tissue to be generated in a dish — “albeit small, misshapen and underdeveloped”, as Price notes in his clear, honest but intellectually challenging account. Today, several therapies have entered clinical trials. But how to make them affordable? Radical Uncertainty John Kay and Mervyn King Bridge Street (2020) When Christopher Columbus sought a westerly route to the Indies, “whatever counted as cost–benefit analysis in the Spanish court took no account of the possibility of a New World”, say economists John Kay and Mervyn King. They refreshingly criticize their discipline for not recognizing that its use of ‘risk’, ‘uncertainty’ and ‘rationality’ doesn’t match that of lay people. Odd, then, that their far-ranging book on “radical uncertainty” mentions Max Planck’s dalliance with economics but not Werner Heisenberg’s uncertainty principle. Andrew Robinson turmoil of Bohemia (now part of the Czech Republic) during most of the twentieth century, touching on physics, philosophy, nationhood, anti-Semitism and the rise of Prague as a centre of intellectual life. There are quirky observations, almost worthy of playwright Tom Stoppard. For example, Einstein and writer Franz Kafka prob- ably met at a 1911 cultural soirée in the house of Berta Fanta, a “philosophically ambitious” socialite who held a salon above her husband’s pharmacy in Prague’s Old Town Square. Social circle But what really grips are the people. Take Oskar Kraus, a philosopher at the German University. Originally trained in law, he took against Einstein, writing countless articles in philosophy journals unpicking what he saw as egregious internal inconsistencies in rel- ativity. His writing and stance foreshadowed the anti-relativity strand of the Deutsche Physik movement, an eviscerating force in German academia during the rise of the Third Reich. Kraus, who had been born into a Jewish family but converted to Protestantism, was arrested by the Gestapo and ultimately fled to Oxford, UK. Inevitably, Gordin takes in Ernst Mach, who had been in a post similar to Einstein’s at the German University’s forerunner from 1867 to 1895. Mach had been “the most successful physicist in the university’s history” and played an important role as rector for part of his ten- ure. But, like Einstein, he had been the second choice for the post. Mach’s ideas shaped the work of important relativists after Einstein, such as Dennis Sciama and Robert Dicke. Another pen portrait is of Einstein’s successor in the post, physicist and philoso- pher Philipp Frank. His journey through the turbulent Prague of the 1930s serves as spot- light on a place battered by historical forces. During the late 1920s and early 1930s, Frank was part of the Vienna Circle, a hugely influen- tial group of scientists and philosophers that also included philosopher Rudolf Carnap and mathematician Kurt Gödel. In Prague, Frank did much to carry the flame of both Einstein and Mach’s ideas through books and journal articles, publicly sparring with Kraus when- ever necessary. In 1938, he had to flee to the United States, where he ended up at Harvard University in Cambridge, Massachusetts, and wrote one of Einstein’s first and most notable biographies. This is a panoramic view of twentieth-century Bohemia, with a sprinkling of Einstein. But what really carries it through is the beauty and force of Gordin’s prose. Pedro Ferreira is professor of astrophysics at the University of Oxford, UK, and author of The Perfect Theory. e-mail: pedro.ferreira@physics.ox.ac.uk 24 | Nature | Vol 579 | 5 March 2020 Books & arts Books in brief © 2020 Springer Nature Limited. All rights reserved. 
work_lrzhpyygazeidmvr4l2bdtpxpy	----	ECO_41.pmd 202 International Journal of Ecodynamics. Vol. 2, No. 3 (2007) A LIFE FRESCO: ENZO FERRONI (1921–2007) Enzo Ferroni, chemist: born Florence 25 March 1921; Professor, Physical Chemistry, University of Florence 1965–96 (Emeritus), Rector 1976–79; President, Italian Centre for Colloids and Surfaces (CSGI) 1993–2006; President (twice), Italian Society of Physical Chemistry. Walther Hermann Nernst, the great German scientist, Nobel laureate in Chemistry, father of the third principle of thermodynamics, had a Florentine disciple, Giorgio Piccardi, later professor of Physical Chemistry at the University of Florence. Piccardi studied fluctuating phenomena before Ilya Prigogine and his best scholar and scientific successor was Enzo Ferroni who, when Piccardi retired, held the chair of Physical Chemistry at the University of Florence. Ferroni was also director of the Department of Chemistry and full professor of Physical Chemistry at the University of Cagliari (Sardinia). One of the authors of this article (E.T.) had the honor to be a student of Giorgio Piccardi, Enzo Ferroni and Ilya Prigogine. Enzo Ferroni died in a Florentine hospital on the 9 April 2007 at the age of eighty-six, after several years of failing health and much pain. Ferroni was born in Florence on 25 March 1921 and was educated at the Royal University of Florence where he took his ‘Dottore’ degree in Chemistry ‘Magna cum Laude’ (full marks and honours). There, soon after World War II, he reorganized the laboratories and served as teacher and instructor. Yet Ferroni was either an unsalaried or an unassuming man. He knew his subject well and knew how to pass on his knowledge to others; his practical classes were a model and his technique impeccable. When he was still a student at the University of Florence, he had his first meeting with the renewed chemist Richard Willstätter (1872–1942). The Jewish Nobel Prize winner (1915) had been forced to flee Germany in 1939 and was staying temporarily in Italy before settling in Switzerland. The elderly chemist – who was in an extremely poor financial condition, having lost all but a meagre part of his belongings – left a deep impression on the young Ferroni. He once remarked that he learned much more by speaking with him only few times than in a whole university course. Here, he also met Professor Giorgio Piccardi (1895–1972) and their friendship was kindled by the deep and warm interest in Florence and its artistic treasures. Soon after World War II, he visited Belgium and thereafter returned for a long stay. In Brussels, he met Ilya Prigogine (1917–2003) with whom he began to share a deep interest in the study of the thermodynamics of surface phenomena. For a great part of his professional life, Ferroni was physical-chemistry master at the University of Cagliari (1961–65) and later in Florence (1965–91). In 1967 he was elected ‘Preside’ (Head) of the Faculty of Science and in 1976 ‘Magnifico Rettore’ (Rector) of the University of Florence. Five years after his retirement he was made Emeritus professor. On Friday, 4 November 1966, Ferroni’s scientific interests changed drastically; after a month of heavy rain, the Arno River had overflowed its banks, flooding the city of Florence and causing incalculable damage to life, property and cultural patrimony. Now known as ‘l’Alluvione’, the Florence Flood revolutionized the field of art restoration as no other single event: a great part of this ‘revolution’ was carried on by Ferroni, who devoted his genius and strength to the restoration of paintings. Ferroni set up and tested innovative technologies in the field of cultural heritage conservation. International Journal of Ecodynamics. Vol. 2, No. 3 (2007) 203 On 10 November 2006, during the symposium ‘Conservation Legacies of l’Alluvione’ held in Florence at the Villa La Pietra, University of New York, to commemorate the 40th anniversary of the flood, his name echoed many times, e.g. his method for consolidation of wall paintings based on barium sulphate. On that occasion, it was said that without his indomitable work nearly half the frescos that we can now admire in museums (Cimabue’s, Beato Angelico’s and many others), which in 1966 were covered by mud, polluted water and oil, would have been lost forever. Ferroni’s enthusiastic interest in chemistry and arts, and his skill and resource as an experimenter were an inspiration to his pupils. His influence was more potent because he was not only a good chemist but also a man of broad culture and wide interests. For his merits in 1967, he received the golden medal from the Secretary of the ‘Pubblica Istruzione’ of the Italian Republic followed a year later by a similar acknowledgement from the Minister of the National Education of France, Alain Peyrefitte (1925–99), of the fourth ministry of Georges Pompidou (1911–74). He received the golden medal from both the Italian Society of Physical Chemistry and the Italian Society of Environmental Chemistry and Cultural Heritage. He was a member of numerous Italian and foreign academies and chemical societies, including the Societé Chimique Française, the Academy of the Georgofili and the New York Academy of Science. He also served as president of the Accademia delle Arti del Disegno, founded by Cosimo I de’ Medici – duke of Tuscany – on 13 January 1563. As Luigi Dei and John Meurig Thomas wrote in The Independent: the present intense activity in conserving the medieval paintings on the walls of Santa Croce Basilica in Florence (La Leggenda della Vera Croce by the 14th-century painter Agnolo Gaddi), and indeed the restoration work of murals in churches across Italy and throughout the world, relies heavily on the ingenious innovations of Enzo Ferroni and his colleagues in the Department of Chemistry at the University of Florence. Wall paintings degrade as a result of the slow transformation of the binder calcium carbonate, derived from the carbonatation of the calcium hydroxide (slaked lime) used by the artist, into the hydrated sulphate of calcium (known as selenite), by the action of polluting sulphur dioxide and oxygen. This process, known as sulphatisation, results, inter alia, in the loss of colours and of the cohesion of the paint layers to the underlying substratum with the consequential formation of ‘blisters’. From left to right: Paola Berchieri-Ferroni and Enzo Ferroni, mid-1990s. 204 International Journal of Ecodynamics. Vol. 2, No. 3 (2007) This is the damage that could be seen on the face of St Dominic in Fra Angelico’s St Dominic in Adoration of the Crucifix in the cloister of San Marco, Florence, before the convent’s 15th-century frescoes were restored in the late 1960s and 1970s using methods pioneered by Ferroni. Ferroni, a surface and colloid scientist, showed how such paintings could be restored by a carefully planned chemical protocol. This protocol entails the removal of the patina of selenite by administering, first, a poultice of ammonium carbonate and then a treatment with barium hydroxide to consolidate the painting. The process was explained in a classic paper in 1977, published in ‘Scritti di storia dell’arte in onore di Ugo Procacci’ (‘Writings in honour of Ugo Procacci’), and co-written with his colleague Dino Dini, one of the leading fresco conservators in the world. Ferroni knew that the burgeoning fields of materials science and technology would inevitably play a critical role in the conservation arena. His co-operation with the Nobel laureate Giulio Natta convinced him that this branch of science would be a fundamental reference point for future conservators. Ferroni was not only a leading colloid chemist and a pioneer of science applied to cultural heritage conservation, he was also a man with a unitary vision of culture. He gave lectures on colloids and surfaces, on chemistry applied to the conservation of frescoes, on Leonardo da Vinci’s drawings and on the technical story of the caravels in which Christopher Columbus set out to discover the New World. He continued to lecture in physical chemistry at Florence during his three years as Rector: for him the university’s primary function was teaching. ‘Students are my employers’, he would say. During most of his professional life, Ferroni was physical-chemist at the University of Florence. It was, in fact, in the temporary laboratory in the playground of the ‘Istituto di Chimica’ (Chemical Institute) at its original site in via Gino Capponi in Florence that Ferroni carried out his early work on the surface tension of flowing liquids with his mentor Professor Giorgio Piccardi. Subsequently, his interests turned to epitaxy, but within a few years he resumed research on colloidal solutions and critical micellar concentration. In 1961 he was given the title of full professor in Chemistry by the University of Cagliari, but long before – when he was still working in Florence – he had had a group of about a dozen research students under him for a number of years. He was responsible for many different research programs and he could easily turn his interests from one to another branch of chemistry. In the early 1960s with his pupil and later close friend – E.T., one of the authors of the present article – Ferroni studied the formation of complexes from manganese (II) and dithionite ions in aqueous solution, by improving the paramagnetic resonance technique. A less well-known aspect of Ferroni’s scientific activity concerns his work on the aqueous stable suspensions of powdered coal. These suspensions were manufactured in water by grinding coal to obtain a bimodal particle size distribution which was subsequently dispersed in water and polyelectrolytes such as Kelzan and Taxad. Ferroni successfully employed such suspensions in industry. In fact, he had previously noticed that they could be transferred by pipelines or used directly for firing by furnaces. To mention his scientific work alone would be to tell only half the story, for Ferroni was a man of letters as well as a man of science, a scholar and an historian. Among his scientific writings were many chapters of the monographs: ‘Enciclopedia della Chimica’ (Encyclopaedia of Chemistry) in 1972 and ‘Storia dell’Ateneo Fiorentino’ (History of the University of Florence) in 1986. He survived his beloved wife Paola – married in 1946 – by approximately one year; this sudden event made his health decline rapidly. The couple had neither children nor close relatives, but the commemoration ceremony and funeral were equally attended by a multitude of former students and colleagues. His passing is mourned here and abroad, and those of us who received from him our first introduction to chemistry may indeed count ourselves fortunate. Many of his students are now professors in Italian and foreign universities. International Journal of Ecodynamics. Vol. 2, No. 3 (2007) 205 From the human point of view, Enzo Ferroni was a great man: he served his pupils and the society. He loved to speak as a novelist: science in his mouth was a tale. Once he said to his pupils what Plutarch wrote about Archimedes in Parallel Lives: ‘Archimedes is known for useful discoveries: his famous principle based on the concept of density led to imprisonment of merchants doping gold with other metals; he used solar energy to burn the sails of Roman ships. When asked to write these useful things or to invent others, he replied that he only concerned himself with “fine and beautiful” things.’ Enzo Ferroni dedicated most of his life to fine and beautiful things. M. COSTA1, M. FONTANI2, N. MARCHETTINI3, E. TIEZZI3 1 Laboratorio di Ricerca Educativa in Didattica Chimica e Scienze Integrate; University of Florence, Italy 2 Department of Organic Chemistry ‘Ugo Schiff’; University of Florence, Italy 3 Department of Chemical and Biosystems Sciences, University of Siena, Italy << /ASCII85EncodePages false /AllowTransparency false /AutoPositionEPSFiles false /AutoRotatePages /None /Binding /Left /CalGrayProfile (Dot Gain 15%) /CalRGBProfile (Adobe RGB \0501998\051) /CalCMYKProfile (Euroscale Coated v2) /sRGBProfile (sRGB IEC61966-2.1) /CannotEmbedFontPolicy /Error /CompatibilityLevel 1.3 /CompressObjects /Tags /CompressPages true /ConvertImagesToIndexed true /PassThroughJPEGImages true /CreateJobTicket false /DefaultRenderingIntent /Default /DetectBlends true /DetectCurves 0.1000 /ColorConversionStrategy /LeaveColorUnchanged /DoThumbnails false /EmbedAllFonts true /EmbedOpenType false /ParseICCProfilesInComments true /EmbedJobOptions true /DSCReportingLevel 0 /EmitDSCWarnings false /EndPage -1 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work_ltvuln7t3bggvabgxtxdeaa2r4	----	Paradigms of Conquest: History, Historiography, and Politics | Journal of Latin American Studies | Cambridge Core Skip to main content Accessibility help We use cookies to distinguish you from other users and to provide you with a better experience on our websites. Close this message to accept cookies or find out how to manage your cookie settings. 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EnglishFrançais Journal of Latin American Studies Article contents Extract References Paradigms of Conquest: History, Historiography, and Politics Published online by Cambridge University Press:  05 February 2009 Steve J. Stern Article Metrics Article contents Extract References Get access Share Cite Rights & Permissions[Opens in a new window] Extract The Quandary of 1492 The year 1492 evokes a powerful symbolism.1 The symbolism is most charged, of course, among peoples whose historical memory connects them directly to the forces unleashed in 1492. For indigenous Americans, Latin Americans, minorities of Latino or Hispanic descent, and Spaniards and Portuguese, the sense of connection is strong. The year 1492 symbolises a momentous turn in historical destiny: for Amerindians, the ruinous switch from independent to colonised history; for Iberians, the launching of a formative historical chapter of imperial fame and controversy; for Latin Americans and the Latino diaspora, the painful birth of distinctive cultures out of power-laden encounters among Iberian Europeans, indigenous Americans, Africans, and the diverse offspring who both maintained and blurred the main racial categories. But the symbolism extends beyond the Americas, and beyond the descendants of those most directly affected. The arrival of Columbus in America symbolises a historical reconfiguration of world magnitude. The fusion of native American and European histories into one history marked the beginning of the end of isolated stagings of human drama. Continental and subcontinental parameters of human action and struggle, accomplishment and failure, would expand into a world stage of power and witness. The expansion of scale revolutionised cultural and ecological geography. After 1492, the ethnography of the humanoid other proved an even more central fact of life, and the migrations of microbes, plants and animals, and cultural inventions would transform the history of disease, food consumption, land use, and production techniques.2 In addition, the year 1492 symbolises the beginnings of the unique world ascendance of European civilisation. Type Research Article Information Journal of Latin American Studies , Volume 24 , Supplement S1 , March 1992 , pp. 1 - 34 DOI: https://doi.org/10.1017/S0022216X00023750[Opens in a new window] Copyright Copyright © Cambridge University Press 1992 Access options Get access to the full version of this content by using one of the access options below. If you should have access and can't see this content please contact technical support. References 1 1 This essay constitutes an outspoken reflection on the meaning of conquest in Latin American history and historiography, and is written for an audience familiar with the basic outlines of conquest history. This assumption about audience, and practical constraints of space, mean that my approach to bibliographical citation will be ruthlessly selective. The purpose is to provide example and illustration, and to guide interested readers to works that expand on the bibliographical coverage offered in footnotes to this essay. 2 2 For a good introduction to biological and ecological themes, see Crosby, Alfred W. Jr, The Columbian Exchange: Biological and Cultural Consequences of 1492 (Westport, Ct., 1972)Google Scholar; cf. Crosby, , Ecological Imperialism: The Biological Expansion of Europe, 900–1900 (New York, 1986).Google Scholar On the ethnography of the other and related intellectual issues, see Pagden, Anthony, The Fall of Natural Man: The American Indian and the Origins of Comparative Ethnology (New York, 1982)Google Scholar; Hodgen, Margaret T., Early Anthropology in the Sixteenth and Seventeenth Centuries (Philadelphia, 1964)CrossRefGoogle Scholar; the forthcoming book by Roger Bartra on European images of ‘others’ and ‘savages’ before 1492; and Representations, vol. 33 (Winter, 1991), special issue on ‘The New World’. For a wide-ranging intellectual history that focuses on the eventual emergence and evolution of ‘Creole patriotism’ in Spanish America, and is suggestive of the long-term impact of debates in the sixteenth-century Hispanic world, see Brading, David A., The First America: The Spanish Monarchy, Creole Patriots, and the Liberal State, 1492–1867 (New York, 1991).Google Scholar 3 3 Two clarifications are in order. First, whether one accepts or rejects contemporary scholarly currents that promote a more Africa-centred approach to human civilisation including Western civilisation, is not the main point under discussion here. One may accept or reject, for example, Martin Bernal's challenging and important interpretation of African cultural influence in the ancient Greek world, and the subsequent screening of that influence by European writers. See Bernal, Martin, Black Athena: The Afroasiatic Roots of Classical Civilisation (2 vols. to date, New Brunswick, 1987: 1991).Google Scholar But even less controversial accounts offer a vision of pre-1492 European empires and civilisations that acknowledges, at least in part, a context of Old World heterogeneity: crossroads, contact, influence, and contention involving the continents and cultures of Asia, Africa, the Middle East, and Europe. See, for example, McNeill, William H., A World History (3rd ed., New York, 1979), Part II.Google Scholar McNeill's overall interpretation stresses ‘equilibrium’, autonomy, and the limited (i.e., voluntary and/or superficial) external influences among several centres of Old World civilisation, during the 2,000 years prior to 1500. But the thesis is set within an interpretive context and a narrative that acknowledges substantial cultural contact, contention, and expansionary movements within an Old World arena of plural civilisations and empires. For a brilliant evocation of fifteenth-century Spain as a society whose main drama was not the coming voyage of Columbus, but the wrenching transformation of a culturally and religiously heterogeneous world into a society founded on exclusionary purification by and for the builders of a more powerful state, see Aridjis, Homero, 1492, The Life and Times of Juan Cabezón of Castile, Ferber, Betty, trans. (New York, 1991).Google Scholar Second, the long-term movement towards a North Atlantic axis, and towards influence centred in more western and northern parts of Europe, did not wipe out in one sudden moment the pull of the Mediterranean. The initial impact of 1492 was to shift influence west within a Mediterranean milieu, and to set the stage for the eventual rise of Atlantic powers. This is more than evident in Braudel's, Fernand masterpiece, The Mediterranean and the Mediterranean World in the Age of Philip II, Reynolds, Sian, trans. (2 vols., New York, 1972–1973).Google Scholar 4 4 Even if one sets aside the valid point that from an indigenous American point of view, it is silly and even pernicious to argue that America was ‘discovered’ in 1492, the ‘discovery’ concept turns out to be problematic even in a Europe-centred context. Edmundo O'Gorman long ago argued, within a framework of Europe-centred intellectual history, that America was more an ‘invention’ than a ‘discovery’. See O'gorman, , La idea del descubrimiento de America (Mexico city, 1951)Google Scholar; cf. The Invention of America (Bloomington, 1961).Google Scholar 5 5 A useful, if rather bland, guide to activities connected to the quincentennial is the newsletter published by the Organization of American States: Quinto Centenario del Descubrimiento…Quincentennial of the Discovery (1987-).Google Scholar Its strongest feature is institutional news and commemorations. The quincentennial's magnitude of consequence led the National Council for the Social Studies to issue a carefully crafted statement whose signatories include, among others, the American Anthropological Association and the American Historical Association. See American Historical Association, Perspectives, vol. 29, no. 8 (Nov. 1991), pp. 20–21.Google Scholar Anyone who reads US-based ‘popular’ magazines such as Newsweek or ‘high culture’ ones such as New York Review of Books will have noted a quickening of interest and debate, organisation of Native American responses, and an outpouring of books of varied quality. For examples of works and responses by Latin Americans and Native Americans, see Contreras, Jesus (ed.), La cam india, la cruz del 92: Identidad étnica y movimientos indios (Madrid, 1988)Google Scholar; Perales, Losu (ed.), 1492–1992, Quinientos anos después AMERICA VIVA (Madrid, 1989)Google Scholar; Churchill, Ward, Fantasies of the Master Race: Literature, Cinema and the Colonisation of American Indians, Jaimes, M. Annette (ed.), (Monroe, Me., 1992)Google Scholar; cf. North American Congress on Latin America, Report, vol. 24, no. 5 (Feb. 1991)Google Scholar, thematic issue on ‘Inventing America, 1492–1992’. 6 6 The most influential writers on comparatively inclusionary and flexible approaches to race in Latin America, especially Brazil, were Freyre, Gilberto, Casa-grande e senzala (4th ed., 2 vols., Rio de Janeiro, 1943)Google Scholar, and Tannenbaum, Frank, Slave and Citizen: The Negroin the Americas (New York, 1946).Google Scholar Cf. the contrast of Protestant and Catholic civilisations that emerges in Morse, Richard, ‘The Heritage of Latin America’, in Hartz, Louis et al. , The Founding of New Societies (New York, 1964), pp. 123–177.Google Scholar The vision of Iberian approaches to race encouraged by the interpretations of Freyre and Tannenbaum have been subjected to stinging criticism since the 1960s, especially by academics, but they are still important in popular culture. For an illuminating recent discussion of shifts in scholarship and popular culture, for the case of Brazil, see Fontaine, Pierre-Michel (ed.), Race, Class, and Power in Brazil (Los Angeles, 1985)Google Scholar; for historical perspective, see the essay by Skidmore in the Fontaine anthology, and Da Costa, Emilia Viotti, The Brazilian Empire: Myths and Histories (Chicago, 1985), chap. 9.Google Scholar For a brief example of the ways ethnic critique can cut in several directions, and spark a desire to ‘redress the record’, see the New York Times article on revisionary critiques of Columbus, (‘The Invasion of the Nina, The Pinta and the Santa María’, 2 June 1991)Google Scholar, and the letter it provoked by De Balmaseda Milam, Teresa, New York Times, 4 July 1991.Google Scholar Balmaseda Milam pointedly noted that even though (because?) she had read Sale's, KirkpatrickThe Conquest of Paradise: Christopher Columbus and the Columbian Legacy (New York, 1990)Google Scholar, she thought the revisionists had unfairly maligned Spain. 7 7 The connection to debates over political correctness is quite evident in journalistic treatments of the quincentenary theme. See, for example, the New York Times article cited in note 6 above, and the ‘Columbus Special Issue’ of Newsweek (Fall/Winter, 1991). For a rather sophisticated example of conservative Hispanophilia, laced with a tragic tone suggesting sympathy for Indians who have suffered greatly but whose pre-Hispanic cultures were encumbered by fatal flaws and whose contemporary survival requires that they modernise, see Mario Vargas Llosa, ‘Questions of Conquest: What Columbus wrought, and what he did not’, Harper's Magazine (Dec. 1990), pp. 45–51. The lament that political correctness and multiculturalism have degraded academic life, and the related discourse that an overpowering intellectual fragmentation has destroyed larger meaning, are in my view profoundly exaggerated and misleading. For an exploration of these questions in the context of the recent history of professional historical knowledge, and the significance of work on Africa and Latin America, see Stern, Steve J., ‘Africa, Latin America, and the Splintering of Historical Knowledge: From Fragmentation to Reverberation’, in Cooper, Frederick et al. , Confronting Historical Paradigms: Peasants, Labor, and the Capitalist World System in Africa and Latin America (Madison: University of Wisconsin Press, forthcoming).Google Scholar 8 8 The quotation is from Newsweek, 24 June 1991, p. 55Google Scholar; cf. Ibid., ‘Columbus Special Issue’, p. 13. 9 9 Del Castillo, Bernal Díaz, Historia verdadera de la conquista de la Nueva España, Leon-Portilla, Miguel, ed. (2 vols., ‘Crónicas de América’ ed., Madrid, 1984), chap. 87, vol. I, pp. 310–311.Google Scholar My translation differs slightly from that available in the 1963 Penguin edition translated by Cohen, J. M. (Díaz, The Conquest of New Spain, p. 214).Google Scholar 10 10 See Díaz, , Verdadera, Hisloria, passim; León-Portilla, Miguel (ed.), The Broken Spears: The Aztec Account of the Conquest of Mexico (Boston, 1962), pp.; 1–52Google Scholar; De Ayala, Felipe Guaman Poma, El primer nueva corónica y buen gobierno, Mutta, John V. and Adorno, Rolena, eds. (3 vols., Mexico City, 1980), pp. 342–343.Google Scholar On the rush to establish profit-making ensembles, the classic early essay is Miranda, Jose, ‘La función económica del encomendero en los orígenes del regimen colonial de Nueva Espana (1525–1531)’, Anales del Institute National de Antropologia t Historia, vol. 2 (1941–6), pp. 421–462Google Scholar; cf. Assadourian, Carlos Sempat, El sistema de la economía colonial: mercado interno, regiones yespacio económico (Lima, 1982), esp. pp. 109–134Google Scholar; Stern, Steve J., ‘Feudalism, Capitalism, and the World-System in the Perspective of Latin America and the Caribbean’, American Historical Review, vol. 93, no. 4 (Oct. 1988), esp. pp. 833, 839–840.Google Scholar 11 11 The best introductions to Christian Utopias and dissenters are Hanke, Lewis, The Spanish Struggle for Justice in the Conquest of America (Boston, 1949)Google Scholar; Phelan, John Leddy, The Millennial Kingdom of the Franciscans in the New World (2nd ed., Berkeley, 1970)Google Scholar; Clendinnen, Inga, ‘Disciplining the Indians: Franciscan Ideology and Missionary Violence in Sixteenth-Century Yucatán’, Past and Present, vol. 94 (Feb. 1982), pp. 27–48CrossRefGoogle Scholar; see also Bataillon, Marcel, Erasme et L'Espagne (Paris, 1937)Google Scholar; Clendinnen, , Ambivalent Conquests: Maya and Spaniard in Yucatan, 1517–1570 (New York, 1987)Google Scholar; Ricard, Robert, The SpiritualConquest of Mexico, Simpson, Lesley B., trans. (Berkeley, 1966).Google Scholar Our knowledge of these themes will be greatly enriched by the forthcoming dissertation of James Krippner Martínez on early colonial Michoacan, ‘Images of Conquest: Text and Context in Colonial Mexico’ (University of Wisconsin-Madison, forthcoming 1992); for a partial preview, see Krippner-Martínez, , ‘The Politics of Conquest: An Interpretation of the Relación de Michoacán’, The Americas, vol. 47, no. 2 (Oct. 1990).CrossRefGoogle Scholar 12 12 One of the most perceptive discussions of conquest Utopias, and the social precedence aspect in particular, remains that of Wolf, Eric R., Sons of the Shaking Earth (Chicago, 1959), pp. 152–175Google Scholar, to whose account I am indebted. (Wolf wrote his interpretation in an era that paid closer attention to interpreters of national culture such as Américo Castro and Eliseo Vivas, and I wish to acknowledge that my phrasing of Spanish demeanour resembles Wolfs quotation of Vivas.) The most original and illuminating recent scholarship on social precedence and colonial Iberian culture explores the theme from the vantage point of gender and honour codes. See especially Martínez-Alier, Verena [now Stolcke], Marriage, Class and Colour in Nineteenth-Century Cuba: A Study of Racial Attitudes and Sexual Values in a Slave Society (Cambridge, 1974)CrossRefGoogle Scholar; Gutierrez, Ramon A., ‘Honor Ideology, Marriage Negotiation, and Class-Gender Domination in New Mexico, 1690–1846’, Latin American Perspectives, vol. 44 (Winter, 1985), pp. 81–104CrossRefGoogle Scholar; cf. the more detailed and pluralised cultural analysis in Gutierrez, , When Jesus Came, the Corn Mothers Went Away: Marriage, Sexuality, and Power in New Mexico, 1500–1846 (Stanford, 1991).Google Scholar 13 13 On hierarchy, seniority, and political restlessness among conquistadors, see Diaz del Castillo, Historia verdadera, passim.; cf. Lockhart, James, The Men of Cajamarca: A Social and Biographical Study of the First Conquerors of Peru (Austin, 1971).Google Scholar On Spanish emigration in less than gloried contexts, see Lockhart, James, Spanish Peru. A Colonial Society, 1532–1560 (Madison, 1968)Google Scholar; Altman, Ida, Emigrants and Society: Extremadura and America in the Sixteenth Century (Berkeley, 1989).Google Scholar 14 14 Information on political intrigue and factionalism in the Caribbean, Mexico, and Spanish South America may be gleaned from Sauer, Carl Ortwin, The Early Spanish Main (Berkeley, 1966)Google Scholar; Sale, Conquest of Paradise; Martinez, Bernardo Garcia, El Marquesado del Valle: Tres siglos de regimen señorial en Nueva España (Mexico City, 1969)Google Scholar; Simpson, Lesley B., The Encomienda of New Spain: The Beginnings of Spanish Mexico (rev. ed., Berkeley, 1950)Google Scholar; Díaz del Castillo, Historia verdadera; Hemming, John, The Conquest of the Incas (New York, 1970)Google Scholar; Daitsman, Andrew L., ‘The Dynamic of Conquest: Spanish Motivations in the New World’ (M.A. thesis, University of Wisconsin-Madison, 1987).Google Scholar 15 15 The alignment of Church officials in America with encomendero visions of politics comes through strongly in Simpson, , The Encomienda, esp. pp. 133–139Google Scholar, and Hanke, , Spanish Struggle, pp. 18, 43–45, 98.Google Scholar A brilliant depiction of Franciscan Yucatan as an arena of political ambition and egotism is Clendinnen, Ambivalent Conquests; the theme of missionaries, church officials, and political warfare with high stakes will be further illuminated in Krippner-Martínez, ‘Images of Conquest’. 16 16 For critiques and role inversions, see esp. Clendinnen, , ‘Disciplining the Indians’Google Scholar; Clendinnen, , Ambivalent Conquests.Google Scholar Cf. Simpson, , The Encomienda, pp. 75–77, 237–238Google Scholar; Stern, Steve J., Peru's Indian Peoples and the Challenge of Spanish Conquest: Huamanga to 1640 (Madison, 1982), pp. 46, 49Google Scholar; and Krippner-Martínez, , ‘Images of Conquest’.Google Scholar 17 17 See the sources cited in note 14 above; and for visual representations, Lombardi, Cathryn L. et al. , Latin American History: A Teaching Atlas (Madison, 1983), pp. 22, 24, 25 (cf. pp. 26, 28, 29).Google Scholar 18 18 For the slaving and war zones mentioned, see Padden, Robert C., ‘Cultural Change and Military Resistance in Araucanian Chile, 1550–1730’, Southwestern Journal of Anthropology, vol. 13 (Spring, 1957), pp. 103–121CrossRefGoogle Scholar; Powell, Philip Wayne, Soldiers, Indians and Silver (Berkeley, 1952)Google Scholar; Macleod, Murdo J., Spanish Central America. A Socioeconomic History, 1520–1720 (Berkeley, 1973)Google Scholar; Hemming, John, Red Gold: The Conquest of the Brazilian Indians, 1500–1760 (Cambridge, Ma., 1978)Google Scholar; cf. Daitsman, , ‘Dynamic of Conquest’Google Scholar; Jara, Alvaro, Guerray sociedad en Chile (Santiago de Chile, 1971)Google Scholar; Powell, Philip Wayne, Mexico's Miguel Caldera: The Taming of America's First Frontier (1548–1597) (Tucson, 1977)Google Scholar; Morse, Richard (ed.), The Bandeirantes: The Historical Role of the Brazilian Pathfinders (New York, 1965).Google Scholar On Paraguay, the key introduction remains Service, Elman R., Spanish-Guarani Relations in Early Colonial Paraguay (Ann Arbor, 1954)Google Scholar; for a more long-term view encompassing a wider geographical area, see Garavaglia, Juan Carlos, Mercado interno y economia colonial (Tres siglos de historia de layerba mate) (Mexico City, 1983)Google Scholar; Melía, Bartomeu, ‘Las reducciones jesuíticas del paraguay: un espacio para una Utopia colonial’, Estudios Paraguayos, vol. 6 (1978), pp. 157–163.Google Scholar For an introduction to regions where missionary power eclipsed or at least rivalled that of more secular colonising interests, see (aside from the Hemming and Melía works already cited in this note) Clendinnen, Ambivalent Conquests; Hu-Dehart, Evelyn, Missionaries, Miners and Indians: Spanish Contact with the Yaqui Nation of Northwestern New Spain, 1533–1820 (Tucson, 1981)Google Scholar; Krippner-Martínez, ‘Images of Conquest’. 19 19 For an introduction to debates and early post-conquest intellectual history, see Hanke, , Spanish StruggleGoogle Scholar; Pagden, , Fall of Natural Man.Google Scholar 20 20 The quote is from the account given by De Las Casas, Bartolomé, Historia de las Indies (3 vols., Mexico City, 1951), vol. II; pp. 441–442Google Scholar, as cited and translated by Keen, Benjamin, ed., Latin American Civilization: History and Society, 1492 to the Present (4th ed., Boulder, 1986), p. 63.Google Scholar 21 21 See Stern, , ‘Feudalism, capitalism, and the World-System’, pp. 848–858Google Scholar, for a succinct discussion of Potosf, comparison with other colonial mining centres, and orientation to the vast scholarly bibliography. 22 22 Examples of Indian competition involving the commodities mentioned in this paragraph may be found in Stern, , Peru's Indian Peoples, pp. 38–39Google Scholar; Spalding, Karen, Deindio a campesino: cambios en la estructura social del Peru colonial (Lima, 1974), pp. 31–60Google Scholar; Santisteban, Fernando Silva, Los obrajes en el Virreinato del Peru (Lima, 1964)Google Scholar; De Los Angeles Romero Frizzi, María, ‘Economía y vida de los españoles en la Mixteca Alta: 1519–1720’ (Ph.D. diss., Universidad Iberoamericana [Mexico], 1985)Google Scholar; Borah, Woodrow, Silk Raising in Colonial Mexico (Berkeley, 1943)Google Scholar; Simpson, , The Encomienda, pp. 137–139.Google Scholar On the ways the early politics of alliance might affect early tribute and labour quotas, see Stern, , Peru's Indian Peoples, pp. 40–44.Google Scholar For a long-term view of indigenous participation in markets in the Andes, see Harris, Olivia et al. (eds.), La participation indigena en los mercados surandinos: Estrategias y reproduction social, siglos XVI a XX (La Paz, 1987).Google Scholar 23 23 See Franklin, Pease G. Y., Del Tawantinsuyu a la historia del Perú (Lima, 1978), pp. 198–199 (n. 8)Google Scholar; cf. Murra, John V., ‘Aymara lords and their European agents at Potosí’, Nova Americana, vol. I (Torino, 1978), pp. 231–233Google Scholar; Harris, et al. , La participation.Google Scholar 24 24 The policy questions that derived from indigenous competition in commodity markets may be gleaned from the sources cited in notes 21–22; on community cash boxes, see Stern, , Peru's Indian Peoples, pp. 98, 100Google Scholar; Lopez, Vilma Cevallo, ‘La caja de censos de indios y su aporte a la economía colonial, 1565–1615’, Revista del Archive National del Peru, vol. 26, entrega 2 (Lima, 1962), pp. 269–352.Google Scholar For a long-term view of the practical mechanisms developed by colonial hacendados to battle smallholder competition, see Larson, Brooke, ‘Rural Rhythms of Class Conflict in Eighteenth-Century Cochabamba’, Hispanic American Historical Review, vol. 60, no. 3 (Aug. 1980), pp. 407–430CrossRefGoogle Scholar; cf. Larson, , Colonialism and Agrarian Transformation in Bolivia: Cochabamba, 1550–1900 (Princeton, 1988)Google Scholar; Florescano, Enrique, Precios del maíz y crisis agricolas en Mexico (1708–1810) (Mexico City, 1969).Google Scholar 25 25 On the politics of alliance at the imperial level, see Diaz del Castillo, Historia verdadera; Hemming, Conquest of the Incas. For the sub-imperial level, see Stern, Steve J., ‘The Rise and Fall of Indian-White Alliances: A Regional View of “Conquest” History’, Hispanic American Historical Review, vol. 61 (Aug. 1981), pp. 461–491CrossRefGoogle Scholar; cf. Krippner-Martínez, ‘Politics of Conquest’, and the sources cited in note 26 below. 26 26 See Gibson, Charles, Tlaxcala in the Sixteenth Century (2nd ed., Stanford, 1967)Google Scholar; Soriano, Waldemar Espinoza, La destruction del imperio de los incas (Lima, 1975)Google Scholar; Stern, , Peru's Indian Peoples, pp. 48–49Google Scholar; Hemming, , Conquest of the Incas, pp. 385–390.Google Scholar 27 27 On indigenous receptivity to Christianity within a context of selective incorporation and redeployment, the following works offer illuminating analysis, and further bibliographical orientation: Clendinnen, Ambivalent Conquests; Maccormack, Sabine, ‘Pachacuti: Miracles, Punishments, and Last Judgment: Visionary Past and Prophetic Future in Early Colonial Peru’, American Historical Review, vol. 93, no. 4 (Oct. 1988), pp. 960–1006CrossRefGoogle Scholar; Burkhart, Louise M., The Slippery Earth: Nahua-Christian Moral Dialogue in Sixteenth-Century Mexico (Tucson, 1989).Google Scholar Cf. Ramirez, Susan E. (ed.), Indian—Religious Relations in Colonial Spanish America (Syracuse, 1989)Google Scholar; Farriss, Nancy M., Maya Society Under Colonial Rule: The Collective Enterprise of Survival (Princeton, 1984)Google Scholar; Gruzinski, Serge, La colonisation de l'imaginaire: Societes indigenes et occidentalisation dans le Mexique espagnol, XVIe-XVIIIe siècle (Paris, 1988).Google Scholar On indigenous intellectuals, a topic that includes but spills beyond that of Christianity, see Adorno, Rolena, Guaman Poma: Writing and Resistance in Colonial Peru (Austin, 1986)Google Scholar; Adorno, (ed.), From Oral to Written Expression: Native Andean Chronicles of the Early Colonial Period (Syracuse, 1982)Google Scholar, esp. the essay by Frank Salomon; see also Farriss, Nancy M., ‘Remembering the Future, Anticipating the Past: History, Time, and Cosmology among the Maya of Yucatan’, Comparative Studies in Society and History, vol. 29 (1987), pp. 566–593CrossRefGoogle Scholar; Schroeder, Susan, Chimalpahin and the Kingdoms of Chalco (Tucson, 1991).Google Scholar 28 28 See Clendinnen, , ‘Disciplining the Indians’Google Scholar; Clendinnen, , Ambivalent ConquestsGoogle Scholar; Stern, , Peru's Indian Peoples, pp. 51–70.Google Scholar 29 29 On disenchantment, and the continuing potential for extirpation of idolatry campaigns, see (aside from the sources cited in note 27) Maccormack, Sabine, ‘“The Heart Has Its Reasons”: Predicaments of Missionary Christianity in Early Colonial Peru’, Hispanic American Historical Review, vol. 67 (1985), pp. 443–466CrossRefGoogle Scholar; Duviols, Pierre, La lutte contre Us religions autochtones dans le Pérou colonial (L'extirpation de l'idolatrie entre 1532 et 1660) (Lima, 1971).Google Scholar For an important argument that continuing ‘paganisms’ might encourage not only resignation or outrage, but opportunism — a Church careerism founded on ‘discoveries’ of idolatry designed to win reward or to counter charges of abuse - see Acosta, Antonio, ‘Los doctrineros y la extirpacion de la religion indígena en el arzobispado de Lima, 1600–1620’, Jahrbucb für Geschicbte von Staat, Wirtschaft und Gesellschaft Lateinamerikas, vol. 19 (1982), pp. 69–109Google Scholar; Acosta, , ‘La extirpacion de las idolatrías en el Peru. Origen y desarrollo de las campanas: a propósito de Cultura Andina y represio'n de Pierre Duviols’, Revista Andina, vol. 5, no. I (July 1987), pp. 171–195Google Scholar; Urbano, Henrique, ‘Cristóbal de Molina, el Cusqueño. Negocios eclesiásticos, mesianismo y Taqui Onqoy’, Revista Andina, vol. 8, no. 1 (July 1990), pp. 265–283, esp. 268–269.Google Scholar 30 30 This syndrome helps to explain why early historical work by indigenistas focused on the documentation of open rebellion by Indian heroes and dissidents, including ‘precursors’ of independence. For historiographical orientation, see Stern, Steve J., ‘The Age of Andean Insurrection, 1742–1782: A Reappraisal’, in Stern, (ed.), Resistance, Rebellion, and Consciousness in the Andean Peasant World, 18th to 20th Centuries (Madison, 1987), pp. 36–38.Google Scholar One intellectual effect of the Black Legend was to restrict the range or variety of Indian responses to the problem of conquest: the ‘pro-Indian’ stance demonstrated the severe brutality of colonial exploitation, and the fact that Indians did not simply accept abuse but sometimes exploded in revolt. For a striking example, see the narrative structure and climactic closing sentence in a fine article by Rowe, John H.: ‘The Incas Under Spanish Colonial Institutions’, Hispanic American Historical Review, vol. 37, no. 2 (May 1957), pp. 155–199.CrossRefGoogle Scholar 31 31 The sense of cultural and intellectual struggle comes through quite strongly, on the indigenous side, in Adorno, Guaman Poma, and Frank Salomon, ‘Chronicles of the Impossible: Notes on Three Peruvian Indigenous Historians’, in Adorno, From Oral to Written Expression, pp. 9–39; cf. Burkhart, The Slippery Earth; Farriss, ‘Remembering the Future’. On the Spanish side, see the sources cited in note 19 above, and note the splendid evocation in Aridjis, 1492, of a fifteenth-century Spain that was itself passing through a period of interior fluidity and struggle, a crisis at once political and cultural, as it approached the epic events of 1492. 32 32 On Africans in America in early colonial contexts that put a premium on cultural fluidity and creativity, see the brilliantly suggestive theoretical essay by Mintz, Sidney W. and Price, Richard, An Anthropological Approach to the Afro-American Past:A Caribbean Perspective (Philadelphia, 1976)Google Scholar; cf. the specific incidents recounted in Schwartz, Stuart B., Sugar Plantations in the Formation of Brazilian Society: Babia, 1550–1835 (New York, 1985), pp. 48–49Google Scholar; Bowser, Frederick P., The African Slave inColonial Peru, 1524–1650 (Stanford, 1974), p. 188Google Scholar; and the general vision that emerges in Palmer, Colin, Slaves of the White God: Blacks in Mexico, 1570–1650 (Cambridge, Ma., 1976)CrossRefGoogle Scholar, and the works of Price, Richard, esp. First-Time: The Historical Vision of an Afro-American People (Baltimore, 1983)Google Scholar; Alabi's World (Baltimore, 1990).Google Scholar On mestizos and political conspiracy in Peru, see Hemming, , Conquest of the Incas, pp. 342–343.Google Scholar Unfortunately for our purposes, Robert Douglas Cope's splendid study of racially mixed plebeians focuses mainly on the mid-colonial period: ‘The Limits of Racial Domination: Plebeian Society in Colonial Mexico City, 1660–1720’ (Ph.D. diss., University of Wisconsin-Madison, 1987).Google Scholar 33 33 Even compelling and sophisticated treatments of conquest and culture contact themes sometimes slide towards a discourse of cultural determinism emphasising fundamental inabilities to comprehend the other, or to respond effectively to fluid developments, or to step outside cultural understandings that are homogeneous to the group rather than elements within a more plural range of possible understandings and responses within the group. See, for example, Todorov, Tzvetan, The Conquest of America (New York, 1984)Google Scholar, particularly his depiction of Aztec culture; Sahlins, Marshall, Islands of History (Chicago, 1985)Google Scholar; cf. Clendinnen, Ambivalent Conquests, from whom I have borrowed the house of mirrors metaphor (p. 127); Farriss, ‘Remembering the Future’. 34 34 For the examples cited, see Stern, , Peru's Indian Peoples, pp. 51–70, 46, 98Google Scholar; Stern, ‘Rise and Fall’; Villena, Guillermo Lohmann, ‘La restitution por conquistadores y encomenderos: un aspecto de la incidencia lascasiana en el Perú’, Anuario lie llstudios Americanos, vol. 23 (1966), pp. 21–89Google Scholar; De Oviedo Y Valdés, Gonzalo Fernandez, Historia general…, as cited in Keen, (ed.), Latin American Civilization, pp. 64–65Google Scholar; Clendinnen, , ‘Disciplining the Indians’Google Scholar; Lockhart, , Spanish Peru, pp. 49–60Google Scholar; cf. Acosta, ‘Los doctrineros’; Acosta, ‘La extirpation’; MacCormack, ‘The Heart Has Its Reasons’. 35 35 For a classic introduction to this theme, see Stanley, J. and Stein, Barbara H., The Colonial Heritage of Latin America (New York, 1970)Google Scholar; cf. Donghi, Tulio Halperin, Historia contentpordnea de America Latina (Madrid, 1969)Google Scholar; Stern, Steve J., ‘Latin America's Colonial History: Invitation to an Agenda’, Latin American Perspectives, vol. 12, no. 1 (Winter, 1985), pp. 3–16, esp. 3, 13–14.CrossRefGoogle Scholar 36 36 See Keen's, Benjamin superb ‘Main Currents in United States Writings on Colonial Spanish America, 1884–1984’, Hispanic American Historical Review, vol. 65, no. 4 (Nov. 1985), pp. 657–682CrossRefGoogle Scholar, which may be supplemented by Taylor, William B., ‘Between Global Process and Local Knowledge: An Inquiry into Early Latin American Social History, 1500–1900’, in Zunz, Olivier (ed.), Reliving the Past: The Worlds of Social History (Chapel Hill, 1985), pp. 115–190Google Scholar; Stern, , ‘Feudalism, Capitalism, and the World-System’, esp. pp. 832–845.Google Scholar 37 37 This development is associated especially with writings from the late 1920s through the 1950s, and is ably reviewed and critiqued in Keen, ‘Main Currents’, pp. 664–9. Aside from the works by Hanke, Lanning, Leonard, Simpson, and Tannenbaum discussed (among others) by Keen, one should also note the subtle essays by Morse, Richard: ‘Toward a Theory of Spanish American Government’, Journal of the History of Ideas, vol. 15, no. 1 (Jan. 1954), pp. 71–93CrossRefGoogle Scholar; and ‘The Heritage of Latin America’. 38 38 Sophisticated scrutiny of devastation and burden took off in the 1950s and 1960s, and remained influential writing well into the 1970s and 1980s. For major ‘early’ works on the specific topics mentioned, see esp. Borah, Woodrow and Cook, Sherburne F., The Aboriginal Population of Central Mexico on the Eve of Spanish Conquest (Berkeley, 1963)Google Scholar, in many ways the culminating statement of a cycle of ‘Berkeley School’ research that crystallised in the 1950s; Rowe, ‘The Incas'; Miranda, Jose, El tributo indígena en la Nueva España durante el siglo XVI (Mexico City, 1952)Google Scholar; Gibson, Charles, The Aztecs Under Spanish Rule: A History of the Indians of the Valley of Mexico, 1519–1810 (Stanford, 1964)Google Scholar; MacLeod, , Spanish Central AmericaGoogle Scholar; Simpson, Lesley B., Exploitation of Land in Central Mexico in the Sixteenth Century (Berkeley, 1952)Google Scholar; Sauer, , The Early Spanish MainGoogle Scholar; Wachtel, Nathan, The Vision of the Vanquished: The Spanish Conquest of Peru through Indian Eyes, 1530–1570 (orig. 1971; New York, 1977).Google Scholar Cf. the discussion in Keen, ‘Main Currents’, pp. 669–72. The arrival of the quincentennial has given a new lease of life to this perspective. See, e.g., Sale, Conquest of Paradise. 39 39 This is in part, of course, an autobiographical statement about the origins of the questions that inspired my own research for Peru's Indian Peoples. But my own path to a history that explored agency was part of a larger trend in historiography on Latin America and other world areas. Pioneering early work in this direction, for the topic of indigenous peoples and conquest, was contributed by Spalding, Karen in three important articles: ‘Social Climbers: Changing Patterns of Mobility among the Indians of Colonial Peru’, Hispanic American Historical Review, vol. 50, no. 4 (Nov. 1970), pp. 645–664CrossRefGoogle Scholar; Spalding, Karen ‘Kurakas and Commerce: A Chapter in the Evolution of Andean Society’Google Scholar, ibid., vol. 53, no. 4 (Nov. 1973), pp. 581–599; Spalding, Karen ‘The Colonial Indian: Past and Future Research Perspectives’, Latin American Research Review, vol. 7, no. 1 (Spring, 1972), pp. 47–76.Google Scholar Cf. Schwartz, Stuart B., ‘Indian Labor and New World Plantations: European Demands and Indian Responses in Northeastern Brazil’, American Historical Review, vol. 83, no. 1 (Feb. 1978), pp. 43–79.CrossRefGoogle Scholar 40 40 Obviously, the quotes are invented patodies that attempt to capture the flavour of crude versions of one or another paradigm. The discourse of ‘cultural exchange’ reaches as far back as the sixteenth century (see the discussion of de Matienzo, Juan in Stern, , Peru's Indian Peoples, pp. 72–73).Google Scholar The romanticised vision of the stooped Indian/peasant who had suffered a great Fall not only has a long history, it also became an important element in the construction of ‘national culture’ in twentieth-century societies such as Mexico and Peru. See, e.g., Bartra, Roger, La jaula de la melancolía: Identidad y metamorfosis del mexicano (Mexico City, 1987)Google Scholar; Portocarrero, Gonzalo and Oliart, Patricia, El Peru desde la escuela (Lima, 1989).Google Scholar On the celebration of failed rebellions, see note 30 above. For perceptive works sufficiently inclusive or eclectic to emphasise one or another paradigm while drawing selectively on the insights of others, see the following examples: Clendinnen, Ambivalent Conquests, for an overarching framework of cultural encounter between strangers that incorporates a sense of power politics and indigenous response to power; Gibson, Aztecs, for a formal framework that emphasises exploitation and destructive pressure, yet is tempered by a sense of Indian endurance, response, and survival; Spalding, Karen, Huarochiri: An Andean Society under Inca and Spanish Rule (Stanford, 1984)Google Scholar, for a framework that emphasises a long-term view of indigenous agency and responses to power, yet interprets the early post-conquest period as one of extreme plunder and exploitation leading to collapse. 41 41 The continuing strength of the cultural encounter and conquest trauma frameworks for interpretation of the early colonial period is evident in at least three ways in works of quality and sophistication. First, pioneering works that offer us a vision of Indian agency, response, and survival in the long run may nonetheless depict the early colonial period as one of traumatic plunder and devastation. See, for example, Spalding, Huarochiri; Taylor, William B., Drinking, Homicide and Rebellion in Colonial Mexican Villages (Stanford, 1979).Google Scholar Second, the turn towards a renewed emphasis on culture and language in social history has reinvigorated study of conquest and its early aftermath within a context of cultural encounter, misunderstanding, and ‘dialogical frontiers’. See, for several among many potential examples, Burkhart, The Slippery Earth (who invokes the ‘dialogical frontier’ as a key concept); Gruzinski, La colonisation; Seminario de Historia de las Mentalidades, Institute Nacional de Antropología e Historia (Mexico), El placer de pecary el afánde normar (Mexico City, 1987).Google Scholar On new approaches to culture in historical analysis, a useful introduction is Hunt, Lynn (ed.), The New Cultural History (Berkeley, 1989).CrossRefGoogle Scholar Third, works that observe effective Indian survival and response in the early colonial period sometimes emphasise regional peculiarity. That is, lesser pressure by colonisers in backwater regions, where conquest pressures did not reach the intensity associated with more mainstream regions of colonisation, help explain less than traumatic outcomes in the early colonial period, and set the stage for more intense ‘second conquests’ in the eighteenth and nineteenth centuries. See, e.g., Farriss, Maya Society. 42 42 A particularly noteworthy interpretation whose endogenous thrust reminds us not to reduce the totality of Indian aspiration to direct responses to colonial power is Carmagnani, Marcello, El regreso de los dioses. El proceso de nconstitución de la identidad étnica en Oaxaca: Siglos xvii y xviii (Mexico City, 1988); cf. the discussion of community bonding in Farriss, Maya Society.Google Scholar Full text views Full text views reflects PDF downloads, PDFs sent to Google Drive, Dropbox and Kindle and HTML full text views. Total number of HTML views: 0 Total number of PDF views: 419 * View data table for this chart * Views captured on Cambridge Core between September 2016 - 6th April 2021. This data will be updated every 24 hours. 38 Cited by Cited by Unfortunately you do not have access to this content, please use the Get access link below for information on how to access this content. × 38 Crossref Citations This article has been cited by the following publications. This list is generated based on data provided by CrossRef. McCorkle, Barbara B. 1994. Recent Literature in Discovery History. Terrae Incognitae, Vol. 26, Issue. 1, p. 61. CrossRef Get It @ CMU Google Scholar Peterson, Amy A. 1994. Satyrs of the new world: Clavijero's rebuttal to the old world‐new world polemic. Colonial Latin American Review, Vol. 3, Issue. 1-2, p. 139. CrossRef Get It @ CMU Google Scholar HARRIS, O 1995. ?The coming of the white people?. Reflections on the mythologisation of history in Latin America. Bulletin of Latin American Research, Vol. 14, Issue. 1, p. 9. CrossRef Get It @ CMU Google Scholar HARRIS, OLIVIA 1995. 'The Coming of the White People'. 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work_luchnmtkrbbrpi7mvyktitkelm	----	Insufficient difference HAL Id: hal-00571831 https://hal.archives-ouvertes.fr/hal-00571831 Submitted on 1 Mar 2011 HAL is a multi-disciplinary open access archive for the deposit and dissemination of sci- entific research documents, whether they are pub- lished or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L’archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d’enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. Insufficient difference Lisa Lowe To cite this version: Lisa Lowe. Insufficient difference. Ethnicities, SAGE Publications, 2005, 5 (3), pp.409-414. �10.1177/146879680500500308�. �hal-00571831� https://hal.archives-ouvertes.fr/hal-00571831 https://hal.archives-ouvertes.fr 4 0 9 as an unfolding diacritical process that determines us makes us realize that we cannot preexist our relation to what we come to ‘know’ (or ‘choose’ or ‘fight’) in any sense that gives comfort or security. Difference remains a critical resource insofar as it addresses this productive relation that cannot be known in advance. Difference is demonized in its troubling form as a determining power. Consider the repeated warning in the US after the 9/11 attacks: if Americans change as a result of the attack – if we stop shopping or visiting Orlando – the terrorists have won. Defeating terrorism was curi- ously presented as a matter of remaining as we were, going on with our ‘normal’ lives; terrorism, we were warned, must make no difference. This exhortation coexisted with the insistence that everything had changed, post-9/11; we must live with new ‘realities’. Difference is abjected; differ- ences – in our civil liberties law, in our conduct of war, in our public life – abound. References J. Derrida (1998) Monolingualism of the Other; or, The Prosthesis of Origin, trans. Patrick Mensah. Stanford, CA: University of California Press. Silva, H. (2005) ‘Reveal, Innocent, Ethnic’, The New York Times Style Magazine: Women’s Fashion 20 February: 125. E L L E N R O O N E Y is Professor of Modern Culture and Media, English and Gender Studies at Brown University. Address: Department of Modern Culture and Media, Box 1957, Brown University, Providence RI 02912, USA. [email: Ellen_Rooney@brown.edu] Insufficient difference LISA LOWE University of California, San Diego I understand the proposed ‘predicament of difference’ to be a provocation to think through the reasons that our projects directed toward social transformation currently confront a certain analytic exhaustion, or even banality, in the term ‘difference’. The complexity of societies – so layered with multiple cultures of historical encounter, colonialism, indigeneity, R E V I E W S Y M P O S I U M cross-border migrations, transnational, multilingual communities, and syncretic religious cultures – is evidently inadequately understood through the analytic resources of the concept of ‘difference’. There is, I think, some- thing to be learned both by observing the reasons for the continuing desire to ‘work’ the term to its limits, and moreover, by generating suggested alter- natives to this repetitive insistence. To this end, I make several observations. The first observation is that the current limitations of the model for conceiving modern race, culture, and ethnicity in terms of the concept of ‘difference’ – whether in university study, in social or state discourses of multiculturalism, or in some cultural representations themselves – derives from Weberian sociology and its comparative method. This is not to say that philosophers, poets, and geographers did not compare one thing to another in the ancient or early modern worlds, but rather to emphasize that it was with Weber that such comparisons became an institutionalized method for producing modern knowledge about social and cultural forms. Weber is well known for having observed that social behavior in modern western society of the early 20th-century had come to be dominated more and more by goal-oriented rationality and instrumental reason, and less and less by traditional values and forms of sociality. Rational action within modern western industrial society constituted the ideal type, a heuristic proposition that founded Weber’s Verstehen, or ‘interpretative’ sociology, against which the difference, variance, or convergence of specific social and historical instances were measured. ‘For the purposes of a typological scientific analysis’, he wrote, ‘it is convenient to treat all irrational, affectually deter- mined elements of behavior as factors of deviation from a conceptually pure type of rational action’ (Weber, 1968[1922]: 6). This ideal-typical construction of ‘pure rational action’ presumed the individual within the context of modern western industrial society, and measured the different degrees of rationalization as ‘deviations’, by comparing concrete social instances to this normative regulatory type. The second observation is that while the conditions of contemporary globalization have made evident the insufficiency of ‘difference’ as a critical analytic, perhaps the point is not only to evaluate ‘difference’ in terms of its adequacy, but more to situate it within the 20th-century duration of its insti- tutionalization, to understand the reasons for its role within modern tech- nologies of racial administration. Centering western industrial society as the normative ideal type against which ‘difference’ was conceived mediated a racial epistemology emerging out of an earlier conjunction of European colonialism and slavery in the ‘new world’. We might understand Weber’s comparative method as the institutionalization of ‘difference’ as a modern apparatus for apprehending and disciplining otherness, or what Michel Foucault (1991) would term a governmentality, according to which other groups, societies, and formations were studied either as analogues destined to assimilate to western classifications, or as ‘pathological’ deviants to be E T H N I C I T I E S 5(3)4 1 0 4 1 1 eliminated or suppressed (Calhoun, 1995). Modernization studies (Levy, 1966, 1972; Parsons, 1977) epitomized the western-centered developmental- ism that cast other societies as culturally different ‘latecomers’. Oftentimes, the Asiatic or ‘oriental’ has been cast as a homology to the West, in relation to the African or Muslim deviance. Sociologists of religion (Bellah, 1970) differentiated between the ‘this-worldly asceticism’ of Protestant Christi- anity in the industrial West, and the less modern, ‘world-rejecting’ belief systems of non-Christian societies, going so far as to argue that the social and economic development in China and Japan was due to a ‘Protestant ethic analogy in Asia’. Despite the many critiques of orientalist knowledge productions by Edward Said (1977), James Clifford (1988), Talal Asad (1993), and others, the contemporary ‘clash of civilizations’ thesis (Hunting- ton, 1996) demonizes Islam as an irrational ‘culture of violence’ antagonized by the pressures of modernization. Comparative sociologists of religion (Jurgensmeyer, 2000) recur to the cultural difference model, casting Islam as a resurgent religious fundamentalism in critical protest to the current materialism of globalization. The legacy of the comparative model was firmly established in the US sociological study of race and ethnicity, as well. As Henry Yu (2001) and Roderick Ferguson (2004) have observed, Chicago School sociologists in the early and mid 20th-century studied ‘orientals’ as ethnic groups who could become an assimilable ‘model minority’, in relation to negro racial difference constructed as irremediably, or ‘pathologically’, deviant. Insofar as increased international immigration in the late 20th- century has rendered the US national discussion of race and ethnicity more global and diversified, we might also say that a pluralistic discourse of ‘difference’ continues to work through a governmentality that assimilates immigrant newcomers who resemble the normative ideal type and ‘racial- izes’ those whose ‘cultural differences’ seem too ‘different’ – whether the alleged cultural difference inheres in a lack of literacy or education, or a perceived threat to national security. The third observation is that important work in the last three decades – from US ethnic studies, British cultural studies, French critical theory, transnational feminism, postcolonial theory – has strategically elaborated ‘difference’ as more than what was assimilated or excluded by the ideal type and its normative regulations and suppressions. Scholars in US ethnic studies (Omi and Winant, 1994) and in Black British politics (Hall, 1996) theorized ‘racial formation’ as an ongoing dialectical process of negotiation between the state and social groups, providing for the importance of oppo- sitional social movements and practices in actively transforming the state’s definitions of both the ‘whiteness’ of normative citizenship and the ‘differ- ence’ of racialized groups. French post-structuralism (Derrida, 1974) elab- orated ‘différance’ as a operation dynamically revealing the means through which every paradigm or organizing structure – whether epistemological, aesthetic, social, political – constituted itself through the exclusion of R E V I E W S Y M P O S I U M ‘difference’; the constitutive exclusion leaves a trace through which the difference returns and unsettles the apparent closure of the established model. Postcolonial and transnational feminist theories have evinced the manners in which the figure of third world women has been constituted as the ‘difference’ both marking and enacting the limits of a range of modern universalisms (Spivak, 1987; Mohanty and Alexander, 1991). However, alongside this critical work, it remains urgent to explore alter- natives to the concept of ‘difference’, which nonetheless reinscribes the sociological method of ‘comparison’ and its normative governmentality that disciplines race, religion, gender, sexuality, and nation. As an alternative, we might consider a genealogical study that would both situate ‘difference’ within the modern apparatus of comparison and attempt to retrieve the fragments of mixture and convergence that are ‘lost’ through modern comparative procedures. We might excavate what has been suppressed under the rubric of ‘difference’, by considering the varieties of ‘entangle- ments’, ‘imbrications’, ‘intimacies’, or ‘encounters’ out of which the norma- tive and the different have emerged as classes for modern racial understanding. In contrast to the comparative study of racial and ethnic groups as separate, comparable entities within singular histories, we might inquire instead into the historical purposes of such notions of discrete identity or necessary analogy, and would attempt to explain their emer- gence. A genealogical study would not only locate comparison as a paradigm coterminous with the purposes of colonialism and the modern division of labor, but it would also interpret the subjugated remainders of encounter, the foreclosed traces of mixture or creolization. Foucault referred to genealogy as an attempt ‘to desubjugate historical knowledges, to set them free, or in other words, to enable them to oppose and struggle against the coercion of a unitary, formal, and scientific theoretical discourse’ (Foucault, 2003: 11). To study both the history of the modern apparatus of unitary formal theoretical discourse, and the ‘entanglements’ or ‘imbrications’ that the discourse has classified and suppressed, would entail excavating cultural geographies of encounter and mixture, not as ‘origins’ of singular subjects, but as epistemes, as ways of inhabiting and knowing various divisions of the social at given times. The study of the black diaspora may, for example, as Robin D.G. Kelley provocatively suggests, provide an occasion to chart more than black identities and political movements, mapping what Kelley calls ‘other streams of internationalism not limited to the black world’ (Kelley, 2002: 124). A study that emphasized these ‘other streams’ would involve a genealogy of the hemispheric conjunction of ‘new world moder- nity’, linking the forcible and voluntary migrations of black Africans with, on the one hand, the extermination of native peoples and the colonial importation of Asian contract labor at the ‘end’ of the slave trade to supple- ment the ‘emancipation’ of slaves, and, on the other, the rise of modern E T H N I C I T I E S 5(3)4 1 2 4 1 3 capitalism and the emergence of European modernity. It is, as Fernando Ortiz (1995[1940]) observed, to understand that sugar was ‘mulatto’ from the start. Or as Stuart Hall comments, referring to several centuries of Asian presence in the Caribbean: ‘when you visit Guyana or Trinidad, you see symbolically inscribed in the faces of their peoples, the paradoxical ‘truth’ of Christopher Columbus’ mistake: you can find ‘Asia’ by sailing west, if you know where to look!’ (Hall, 1994: 395). References Asad, T. (1993) Genealogies of Religion: Discipline and Reasons of Power in Chris- tianity and Islam. Baltimore, MD: Johns Hopkins. Bellah, R. (1970) Beyond Belief: Essays on Religion in a Post-Traditional World. New York: Harper. Calhoun, C. (1995) Critical Social Theory: Culture, History and the Challenge of Difference. Oxford: Blackwell. Clifford, J. (1988) The Predicament of Culture. Cambridge, MA: Harvard University Press. Derrida, J. (1974) Of Grammatology, trans. G.C. Spivak. Baltimore, MD: Johns Hopkins University Press. Ferguson, R. (2004) Aberrations in Black: Toward a Queer of Color Critique. Minneapolis, MN: University of Minnesota Press. Foucault, M. (1991) ‘Governmentality’, in G. Burchell, C. Gordon and P. Miller (eds) Foucault Effect: Studies in Governmentality. London: Wheatsheaf. Foucault, M. (2003) ‘Society Must Be Defended’: Lectures at the Collège de France, 1975–1976, M. Bertani and A. Fontana (eds). New York: Picador. Hall, S. (1994) ‘Cultural Identity and Diaspora’, in P. Williams and L. Chrisman (eds) Colonial Discourse and Postcolonial Theory, pp. 392–402. New York: Columbia. Hall, S. (1996) ‘New Ethnicities’, in D. Morley, K.-H. Chen (eds) Stuart Hall: Critical Dialogues in Cultural Studies, pp. 441–49. London and New York: Routledge. Huntington, S. (1996) The Clash of Civilizations and the Remaking of World Order. New York: Simon and Schuster. Juergensmeyer, M. (2000) Terror in the Mind of God. Berkeley, CA: University of California Press. Kelley, R.D.G. (2002) ‘How the West was One: The African Diaspora and the Re- Mapping of US History’, in T. Bender (ed.) Rethinking American History in a Global Age, pp. 123–47. Berkeley, CA: University of California Press. Levy, M. (1966) Modernization and the Structure of Societies. Princeton, NJ: Princeton University Press. Levy, M. (1972) Modernization: Latecomers and Survivors. New York: Basic Books. Mohanty, C.T. and J.M. Alexander, eds (1991) Third World Women and the Politics of Feminism. Bloomington, IN: Indiana University Press. Omi, M. and H. Winant (1994) Racial Formation in the United States: From the 1960s to the 1990s. New York: Routledge. Ortiz, F. (1995[1940]) Cuban Counterpoint: Tobacco and Sugar. Durham, NC: Duke University Press. Parsons, T. (1977) The Evolution of Societies. Englewood Cliffs, NJ: Prentice-Hall. R E V I E W S Y M P O S I U M Said, E. (1977) Orientalism. New York: Random House. Spivak, G.C. (1987) In Other Worlds: Essays in Cultural Politics. New York: Methuen. Weber, M. (1968[1922]) Economy and Society: Volume I. New York: Bedminster. Yu, H. (2001) Thinking Orientals: Migration, Contact, and Exoticism in Modern America. Oxford: Oxford. L I S A LO W E is Professor of Comparative Literature in the Department of Literature at University of California, San Diego. Address: Department of Literature, 0410, University of California, San Diego, 9500 Gilman Drive, La Jolla CA 92093, USA. [email: lmlowe@ucsd.edu] The temporalizing of difference CHRISTINE HELLIWELL AND BARRY HINDESS The Australian National University, Canberra In his inaugural lecture as Professor of History at the University of Jena in 1789, Freidrich von Schiller observed that European voyages of discovery had provided his audience with a spectacle which is as instructive as it is entertaining. They show us societies arrayed around us at various levels of development, as an adult might be surrounded by children of different ages, reminded by their example of what he himself once was and whence he started. A wise hand seems to have preserved these savage tribes until such time as we have progressed sufficiently in our own civilization to make useful application of this discovery, and from this mirror to recover the lost beginning of our race. (1972[1789]: 325) The most striking features of this passage are, first, its suggestion that many of Schiller’s contemporaries, living in distant parts of the world, were really anachronisms, people who belonged to an earlier time, and, second, its refer- ence to children, as if to say that these people were less than fully mature, that their intellectual and moral capacities were relatively undeveloped. This developmental view of humanity was widely shared by educated Euro- peans of the Enlightenment era, and it has since remained remarkably influ- ential in western social and political thought. It fosters the apprehension of at least two kinds of difference: that between and within peoples who are seen as being at roughly the same level (between and within, say, the English, French and Germans) and that between peoples who are seen as E T H N I C I T I E S 5(3)4 1 4 
work_lwqv6kxeojapdknjniwblxmqya	----	Wind-Thermal Integrated Power System Scheduling Problem Using Cuckoo Search Algorithm | Semantic Scholar Skip to search formSkip to main content> Semantic Scholar's Logo Search Sign InCreate Free Account You are currently offline. Some features of the site may not work correctly. DOI:10.4018/ijoris.2014070104 Corpus ID: 10957167Wind-Thermal Integrated Power System Scheduling Problem Using Cuckoo Search Algorithm @article{Chandrasekaran2014WindThermalIP, title={Wind-Thermal Integrated Power System Scheduling Problem Using Cuckoo Search Algorithm}, author={K. Chandrasekaran and S. P. Simon}, journal={Int. J. Oper. Res. Inf. Syst.}, year={2014}, volume={5}, pages={81-109} } K. Chandrasekaran, S. P. Simon Published 2014 Engineering, Computer Science Int. J. Oper. Res. Inf. Syst. A new nature inspired metaheuristic algorithm known as the cuckoo search algorithm (CSA) is presented in this paper, to solve the unit commitment problem (UCP) for hybrid power system. The utilization of wind energy sources is increasing throughout the world. It is therefore important to develop the protocol for the integration of wind generation system with conventional thermal unit generation system. High wind penetration can lead to high-risk level in power system reliability. In order to… Expand View via Publisher igi-global.com Save to Library Create Alert Cite Launch Research Feed Share This Paper 4 Citations View All Topics from this paper Search algorithm Cuckoo search Scheduling (computing) Metaheuristic Dynamic dispatch Homeomorphism (graph theory) Smoothing 24-hour clock EMI (protocol) Electronic data processing 4 Citations Citation Type Citation Type All Types Cites Results Cites Methods Cites Background Has PDF Publication Type Author More Filters More Filters Filters Sort by Relevance Sort by Most Influenced Papers Sort by Citation Count Sort by Recency Coordinated dispatching strategy of multiple energy sources for wind power consumption Shuang Rong, X. Chen, W. Guan, Mingyu Xu Computer Science 2019 3 PDF Save Alert Research Feed Performances of Adaptive Cuckoo Search Algorithm in Engineering Optimization P. Ong, S. Kohshelan Computer Science 2016 4 Save Alert Research Feed The Roles of Information Technology and Knowledge Management in Project Management Metrics Kijpokin Kasemsap Business 2016 9 Save Alert Research Feed A Cognitive Analytics Management Framework (CAM-Part 1): SAMAS Components, Leadership, Frontier Performance Growth, and Sustainable Shared Value I. Osman, Abdel Latef Anouze Engineering 2014 6 Save Alert Research Feed References SHOWING 1-10 OF 54 REFERENCES SORT BYRelevance Most Influenced Papers Recency Scheduling electric power generators using particle swarm optimization combined with the Lagrangian relaxation method H. H. Balci, J. Valenzuela Mathematics 2004 173 PDF Save Alert Research Feed A genetic algorithm for solving the unit commitment problem of a hydro-thermal power system A. Rudolf, R. Bayrleithner Engineering 1999 99 View 1 excerpt Save Alert Research Feed A fuzzy optimization-based approach to large scale thermal unit commitment M. El-Saadawi, M. A. Tantawi, E. Tawfik Mathematics 2004 82 Save Alert Research Feed Nodal ant colony optimization for solving profit based unit commitment problem for GENCOs C. Columbus, K. Chandrasekaran, S. P. Simon Computer Science Appl. Soft Comput. 2012 73 View 2 excerpts, references methods Save Alert Research Feed Unit Commitment Problem Solution Using Shuffled Frog Leaping Algorithm J. Ebrahimi, S. H. Hosseinian, G. Gharehpetian Mathematics IEEE Transactions on Power Systems 2011 154 PDF Save Alert Research Feed A priority list-based evolutionary algorithm to solve large scale unit commitment problem D. Srinivasan, J. Chazelas Engineering 2004 International Conference on Power System Technology, 2004. PowerCon 2004. 2004 69 Save Alert Research Feed A novel approach for unit commitment problem via an effective hybrid particle swarm optimization T. Ting, M. Rao, C. Loo Engineering IEEE Transactions on Power Systems 2006 433 PDF View 1 excerpt Save Alert Research Feed Security-constrained optimal generation scheduling in large-scale power systems J. Martínez-Crespo, J. Usaola, J. Fernandez Economics IEEE Transactions on Power Systems 2006 78 Save Alert Research Feed An ant colony system approach for unit commitment problem S. P. Simon, N. P. Padhy, R. Anand Engineering 2006 82 View 3 excerpts, references background Save Alert Research Feed Thermal unit commitment using binary/real coded artificial bee colony algorithm K. Chandrasekaran, S. Hemamalini, S. P. Simon, N. P. Padhy Engineering 2012 117 View 3 excerpts, references methods Save Alert Research Feed ... 1 2 3 4 5 ... Related Papers Abstract Topics 4 Citations 54 References Related Papers Stay Connected With Semantic Scholar Sign Up About Semantic Scholar Semantic Scholar is a free, AI-powered research tool for scientific literature, based at the Allen Institute for AI. 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work_m4k6qafwwrfglb2xhth6e5tdbi	----	doi:10.1016/j.cub.2006.08.033 Current Biology Vol 16 No 17 R658 Feature Cod all mighty A new book explores the importance of marine resources and, in particular, cod for the history of Catholic Europe and the conventional views on the European settling of North America. Nigel Williams reports. The importance of fish in the history of Europe, particularly in Catholic countries, and the European colonisation of North America, have been underplayed, according to a new book by University of California anthropologist, Brian Fagan. Most Americans have been traditionally schooled to believe that the European discovery and settlement of the New World arose from two events: the first voyage of Christopher Columbus in 1492, and the landing of the pilgrims in Plymouth, Massachusetts in 1620. Fagan’s book tells a dramatically different story, one centred on the immense fish resources of the North Atlantic and North Sea, and upon the Catholic Christian prohibition of eating meat during Lent and on fast days. Virtually ignored in most history books are centuries of exploitation of these resources by often unrecorded fishermen who travelled across some of the world’s most dangerous seas to catch cod, herring, hake and other fish for the European market and, in the process, find previously unknown shores. As European populations expanded during the Middle Ages, the demand for fish to be eaten on fast days increased accordingly. Initially, this could be met by coastal fishing and by subsistence fishing in streams, rivers, ponds and lakes. The monastic establishments throughout Europe resorted to artificial fish ponds in which species such as carp could be raised, but this was never very productive and the demand for sea fish steadily grew. “By the tenth and eleventh centuries, fish had become not a catch but a commodity. The stage was set for the extraordinary journey to North America,” writes Fagan. The problem with fish from the sea was that they readily spoiled and could not be transported very far before they became inedible. This was particularly true of herring, an oily fish abundant in the shallow seas of northern Europe. The solution was to preserve them once the catch reached the coast, either by salting and/or drying or Fishy tales: ‘Fish market’ by Joachim Beucklaer, 1568. (Picture: Bridgeman Art Library.) Magazine R659 Q & A Trudy Mackay Trudy F. C. Mackay is William Neal Reynolds Distinguished Professor of Genetics at North Carolina State University. After growing up in Canada, where she completed her undergraduate and Master’s degrees at Dalhousie University, she did her doctoral work with Alan Robertson at the University of Edinburgh. She remained there as a lecturer until 1988, when she joined the faculty at North Carolina State University. Her work focuses on the genetics of mutation and variation in Drosophila melanogaster and the analysis of complex morphological, physiological and behavioral traits. She co-authored the fourth edition of Introduction to Quantitative Genetics with Douglas Falconer. She has served on numerous editorial and advisory boards, and in 2004 received the Genetics Society of America Medal. She is a Fellow of the American Academy of Arts and Sciences and of the UK’s Royal Society. How did you decide to become a quantitative geneticist? When I was at high school I discovered that I had a knack for mathematics and at the same time I developed a strong interest in understanding the basis of life and the evolution of biological form and function. Genetics appealed to me, because the mathematical and statistical analyses used to analyze complex traits were all logical and seemed to make things fall neatly in place. Genetics felt to me then, as it still does, to be the most exact and rigorous discipline in experimental biology. I was formally introduced to evolutionary and quantitative genetics in my undergraduate sophomore year by Roger Doyle at Dalhousie University, under whose mentorship I completed my Master’s dissertation on the quantitative genetics of the settling behavior of Spirorbis borealis, a marine polychaete. This work had several consequences. First, I learned the basics of quantitative genetic analysis by using Douglas Falconer’s 1960 version of Introduction to Quantitative Genetics and Robert Sokal and James Rohlf’s 1969 version of Biometry as ‘how to’ instruction manuals. Second, I developed a lasting fascination with animal behavior. And third, I realized that I needed to work with a better genetic model system and abandoned Spirorbis in favor of Drosophila. Thus, I was delighted to be able to continue my graduate studies at the University of Edinburgh, then and now a powerhouse for quantitative genetic studies. My mentor was Alan Robertson, one of the fathers of current day quantitative genetics, but I learned much from Douglas Falconer and William (Bill) Hill. What do you consider the single most important development in quantitative genetics since you were introduced into the field? In global terms, the most important transformation the field has undergone is the transition from ‘complex statistics’ to ‘complex genetics’; in the words of Alan Robertson, we have begun to “lift the statistical fog” clouding our understanding of the genetic basis of quantitative variation. That is not to say that statistical analyses are no longer critical; of course, they are. But we have moved beyond simply understanding complex traits in terms of probabilities and numbers arising from complicated equations to being able to actually understand genetic mechanisms in the context of the biology of the organism. I refer, of course, to the ability to identify genes underlying complex traits by linkage to marker loci exhibiting Mendelian inheritance patterns (albeit it with some difficulty). It may surprise people not familiar with the history of the field that quantitative trait locus (QTL) and linkage disequilibrium mapping did not spring into existence in the late 1980s/early 1990s with no precedence. As early as 1923, Sax recognized that one could map genes associated with a quantitative smoking, or by a combination of the three, and to pack them into barrels for transport. The cod and its relatives hake and haddock, were a different matter and more easily preserved than herring. The pursuit of cod took fishermen much further away. A huge industry developed, centred on Bergen, where ships exchanged dried fish for grain. Archaeological excavations in the Norwegian Lofoten Islands have pinpointed the moment around the eleventh century when cod became a lucrative trading commodity that supplanted herring in many European meals. The greatest riches in this commerce came to those whose ships managed to reach Newfoundland, writes Fagan. This huge island was discovered and temporarily settled by the Norse in about AD 1000 and rediscovered by John Cabot in 1497. Fagan admits that there is some speculation about the extent of early European fishing expeditions to North America ahead of the arrival of Cabot but “why would hard-nosed merchants keep sending their ships west if there was no profit in it? Cabot shipped out with at least two merchants on board, who may have known sailing directions to the Newfoundland fishing grounds.” It soon became clear that the world’s most productive fishery was the Grand Banks, teeming with cod. It was not long before other English, Basque and French fishermen were on site, and soon other similar banks were discovered further south off the coast of what became ‘New England’. As Fagan writes: “over the next four and a half centuries, the brutally tough Newfoundland cod fisheries would generate more wealth in Europe than all the gold of the Indies.” He concludes that the Mayflower pilgrims with few practical skills were for decades no more significant than the many English fishermen and fur traders. “It was not the sudden inspiration of famous names that brought Europeans to North America — not Columbus or Cabot or the settlers at Plymouth Rock — but the thousand- year journey in the pursuit of fish.” Fish on Friday by Brian Fagan. Basic Books. ISBN: 0-465-02284-7 
work_m7ugtdcl3vgzhcd2fp2wtjxnaq	----	RSu03/Features/154-182 164 Kappa Delta Pi Record • Summer 2003 A Guide to Curricular Integration by Robert C. Morris Robert C. Morris is Professor of Cur- riculum Studies, State University of West Georgia in Carrollton. He is Counselor for the Omicron Omega Chapter of Kappa Delta Pi. His cur- rent research interests relate to lead- ership activities for curricular and instructional change. school’s curriculum can ap- pear unrelated, fragmented, or somewhat disjointed if not done with an end in mind. This frag- mentation or disjointedness of- t e n a f f e c t s s t u d e n t s and their views of the experiences being given them in school (Beane 1991). Various curriculum-integration techniques, however, can be used to help make the big picture more understandable to students; and these have the added benefit of allowing teachers to focus better on teaching and student learning. learning as well as real life. Of course, sometimes integration is not the best approach to teach- ing. Integration just for the sake of integration even can interfere with learning if constructed ac- tivities are not meaningful. To integrate a curriculum is to combine subjects to meet objec- tives across the curriculum, not just objectives pertaining to one s u b j e c t . Fo r e x a m p l e, w h i l e studying Indians in social studies, reading could be integrated by in- cluding both fiction and nonfic- A Lessons can become more meaningful to students and save teachers valuable time when subjects are integrated properly, not superficially. What Does Integrating Curriculum Mean? Jacqueline Anglin’s (1999, 3) insight that “integrating curricu- lum correctly requires more than combining two subjects, or turn teaching” was right on track. The notion of integrating a curricu- l u m i s m o re t h a n c o n n e c t i n g pieces so that students can see the bigger design. In effective curriculum-integration models, knowledge is meaningfully re- lated and connects in such a way that it is relevant to other areas of A Guide to Curricular Integration by Robert C. Morris Kappa Delta Pi Record • Summer 2003 165 tion stories about Indians. View- i n g a n d re c re a t i n g In d i a n a r t could meet art objectives. Chart- ing the locations of various tribes and calculating mileage between different tribes or distances tribes traveled could meet geography and math objectives. An interdisciplinary or inte- grated curriculum allows students to make connections among vari- ous subjects, while also helping to solve the teacher’s dilemma of hav- ing so much to accomplish in a limited time. An integrated cur- riculum, by nature, ties an indi- vidual subject to the circle of edu- cational experiences and learning, thus reducing the need for teach- ers formally to make every lesson a connection to life. The saved time allows teachers more opportuni- ties to accomplish tasks on their ever-growing “required” lists. Models of Integration The current trend to imple- ment an integrated curriculum is not a new idea. Vars (1991) traced the evolving concept of the core curr iculum back to Herber t Spencer’s writings in the 1800s. By the late 1930s and early ’40s, the term “core curriculum” had be- come part of the literature in vari- ous state and national curriculum- reform efforts, most significantly the progressive education move- ment. In 1942, the concept of core and integrated curriculum was be- ing tested in the famous Eight-Year Study of the Progressive Education Association. By the late 1980s, more than 80 normative or com- parative studies had been con- ducted on the effectiveness of in- tegration (National Association for Core Curr iculum 1984). These studies found that programs using integration or an interdisciplinary curriculum almost always pro- duced equivalent or even better scores on standardized achieve- ment tests than those where stu- dents were taught through the traditional discipline-or iented format. Today, these are some of the more popular curricular models that have evolved and currently are being used: • The connected integration model does not integrate various subjects, but focuses on integrating skills or concepts within a subject. For example, a science teacher can relate a geology unit to an as- tronomy unit by emphasizing that each has an evolutionary nature (Fogarty 1991). • The nested integration model focuses on natural combi- nations. For instance, a lesson on the circulatory system can inte- grate the concept of systems as well as demonstrate “cause and effect” on specific understandings of the circulatory system (Fogarty 1991). • In the sequenced model, units are taught separately, but are designed to provide a broad frame- work for related concepts. For ex- ample, while reading A Taste of Blackberries (Smith 1992), a paral- lel lesson on bees could be taught in science. • The shared model looks for overlapping concepts and involves coordinated planning between two teachers of different subjects. A lit- erature teacher and a histor y teacher, for example, may team up to teach an historical perspective of the concepts of segregation and desegregation by reading Roll of Thunder, Hear My Cry (Taylor 2001). • The webbed model generally uses a theme to connect all subject areas. If the theme were Christmas, for instance, literature classes might read A Christmas Carol (Dickens 2001). In math, students could calculate the costs of their Chr istmas lists. Social studies classes might research Christmas in other countries. In language arts, students could write about their favorite Christmas. In science, les- sons could focus on weather or fly- ing machines. • The threaded model “threads” thinking, social, or study skills to connect learning across the curriculum. For example, sequenc- ing is a skill taught primarily in reading, but can be threaded into the other subjects. In social stud- ies, students could put in order the voyages of Christopher Columbus and the events leading up to them. In math, patter ns of numbers could be explored. In science, the steps of succession of a dying or dead forest could be explored. And in health, students could study the steps in digesting food. • The integrated model blends the four major disciplines by find- ing concepts or skills that overlap. The most popular example of this model is the whole-language ap- proach that is now being imple- mented in many elementar y schools. This method blends the skills of reading, writing, speaking, and listening using literature as a theme. • The immersed model advo- cates that integration take place within the learner with little or no outside help. For example, a stu- dent who has a love for horses reads about horses, writes about them, draws pictures of them, and longs to learn more about them and possibly become a horse trainer or veterinarian. • The networked model allows for exploration, experimentation, and participation. A student’s fas- 166 Kappa Delta Pi Record • Summer 2003 cination with the solar system and space travel, for instance, directs his or her reading choices or television viewing. Teachers or family mem- bers cognizant of this child’s interest encourage him or her by allowing the student to go to space camp. Robin Fogarty (1991, 61–64) made a wonderful analogy of these models by comparing them to vi- sual devices: The connected model of the integrated curriculum is the view through an opera glass, providing a close-up of the details, subtleties, and inter- connections within each sub- ject area. . . . The nested model views the curriculum through three-dimensional glasses, targeting multiple dimen- sions of a lesson. . . . The se- quenced model views the cur- riculum through eyeglasses: the lenses are separate but connected by a common frame. . . . The shared model views the curriculum through binoculars, bringing two dis- tinct disciplines together into a single focused image. . . . The webbed model views the cur- riculum through a telescope, capturing an entire constella- tion of disciplines at once. . . . The threaded model views the curriculum through a big magnifying glass: the ‘ big ideas’ are enlarged through- out all content with a metacurricular approach. . . . The integrated model views the curriculum through a ka- leidoscope: interdisciplinary topics are rearranged around overlapping concepts and emergent patterns and de- signs. . . . The immersed model views the curriculum through a microscope. It filters all con- tent through the lens of inter- est and expertise. . . . The net- worked model views the curriculum through a prism, creating multiple dimensions and directions of focus. Planning for Curriculum Integration Integrating the curriculum of a school takes planning. Jacobs (1991) developed a four-phase plan that can be accomplished in three years: • Phase I (six months to one y e a r ) i s re s e a rc h . In t e r n a l re - search is conducted to plot the u n i t s o f s t u d y t a u g h t o n a monthly basis—to find out when s t u d e n t s a re s t u d y i n g c e r t a i n subject matter, to reduce repeti- tion of material from year to year and to identify units of study that lend themselves to an interdisci- plinary approach. Staff members conduct external research by at- tending conferences, making on- site visits, or arranging in-service activities. • Phase II (two to four months) is development of a proposal. Po- tential areas for interdisciplinary units are assessed, and an existing unit of study is upgraded to include integration of various subjects. On completion of the proposal and its review at higher levels, classroom implementation of a pilot program may follow. • Phase III (two to six weeks) is implementation of the pilot program. This phase includes as- sessment by the teaching staff in- volved in the pilot. The program is monitored and evaluated, and feedback is given. • Phase IV (third year of plan) is adoption of the program based on the feedback and evaluation from the pilot phase. Adding the program to the existing curricu- lum is often constrained by time; replacing the curriculum with the new one is much more common. Fo r e x a m p l e, E n g l i s h , s o c i a l studies, and art are replaced by humanities. Planning for curriculum inte- gration on a daily basis for indi- vidual classrooms is equally impor- tant as planning integration at the system level. To assist teachers in curriculum integration, Palmer (1991, 58) suggested the use of a “planning wheel”—a device that “allows for teachers to focus on a specific subject area while identi- fying appropriate connections with other content.” Palmer’s steps for implementing the planning wheel follow: • Step 1: Identify common goals, objectives, themes, and skills among the different subjects. • Step 2: Develop a sample planning wheel to illustrate the kinds of connections to be made. The focus of the unit, such as nutrition (in a health class), is listed in the middle of the wheel. On the outside of the wheel are other sub- jects, and under each are listed ac- tivities related to the focus—for example, under math, calculating calories for dietary planning; under language arts, writing about foods from other cultures; under music, singing songs about food; under physical education, determining correct amounts of exercise to burn calories. • St e p 3 : P l a n n e r s o f c u r- riculum use the wheel as an aid to organizing and planning new curricula. • Step 4: In-service activities are held to train teachers on how to implement the proposed inte- grated curriculum. Kappa Delta Pi Record • Summer 2003 167 Will Integrating Make a Difference? Integration may not work, es- pecially when curriculum integra- tion is implemented merely for the sake of integration. In fact, integra- tion can be counterproductive when activities originally intended to combine subject matter and ob- jectives in a meaningful way lack educational value, or meet objec- tives in one subject while failing to satisfy objective requirements in the other subjects (Brophy and Alleman 1991). Activities such as alphabetizing state capitals or counting states in a geographical region are not valuable lessons in the area of social studies. These activities would be done just for the sake of integration and are more or less busywork (Alleman and Brophy 1993). Not only are some activities meaningless, but they also may be time-consuming or costly—for ex- ample, carving pumpkins to look like U.S. presidents. Too often, teachers integrate superficially with activities devoid of curricular value. One teacher attempted to integrate math and social studies by having students fill a matrix with the actual numbers of the consti- tutional amendments, thinking this represented a math objective because the students were “using” numbers (Alleman and Brophy 1993). A Design for Success To make integration mean- ingful and successful in a class- room, activities must be assessed by their educational value and meet curricular objectives in two o r m o re s u b j e c t a re a s . W h e n implemented properly, not su- perficially, integration can be a more meaningful approach to learning for students, as well as a time-saver for teachers. Brophy (Alleman and Brophy 1993) suggested testing each pro- posed activity with the following questions before integrating it across the curriculum: • Does the activity have a sig- nificant educational goal as its pri- mary focus? • Would this activity be desir- a b l e e ve n i f i t d i d n o t f e a t u re across-subjects integration? • Would an outsider clearly recognize the activity as relating to the subject? • Does the activity allow stu- dents to develop meaningfully or apply authentically important content? • Does it involve authentic application of the skill from other disciplines? • If the activity is structured properly, will students be able to understand and explain its educa- tional purposes? • If students engage in the ac- tivity with those purposes in mind, will they be likely to accomplish the purposes as a result? Some of the most famous and successful examples of curriculum integration come from Wigginton’s Foxfire Experience (1985). In at- tempting to reach a group of stu- dents who were basically failing in school, Wigginton searched for a way to teach that would motivate stu- dents and give them a meaningful educational experience. He coordi- nated students to develop the Foxfire publication, letting them write, edit, and even negotiate book contracts. He obviously achieved the motiva- tion he desired, but time constraints and particular curricular require- ments were constant hindrances. Wigginton (1991, 49) wrote: Keeping the curriculum re- quirements in mind, I initiated a unit in formal letter writing. If I could just figure out ways of this sort to make the curricu- lum work for the magazine in- stead of against it, I could kill two birds with one stone. I could fulfill the state require- ments and at the same time give those requirements an added dimension of reality for the students that would make their internalization and mas- tery far more likely. . . . Classes had come together as one. Teaching was beginning to make sense. If integrated teaching can help a school’s curriculum “make sense” to the teacher, then consider how much more sense it can make for the student if it lives up to the ideals that form a basis for meaningful educa- tional experiences. References Alleman, J., and J. Brophy. 1993. Is curriculum integration a boon or a threat to social studies? Elementary education. Social Education 57(6): 287–91. Anglin, J. M. 1999. Develop your own philosophy. New Teacher Advocate 7(1): 3. Beane, J. 1991. The middle school: The natural home of integrated curriculum. Educational Leadership 49(2): 9–13. Brophy, J., and J. Alleman. 1991. A caveat: Curriculum integration isn’t always a good idea. Educational Leadership 49(2): 66. Dickens, C. 2001. A Christmas carol. Foster City, Calif.: Hungry Minds. Fogarty, R. 1991. Ten ways to integrate curriculum. Educational Leadership 49(2): 61–65. Jacobs, H. H. 1991. Planning for curriculum integration. Educational Leadership 49(2): 27–28. National Association for Core Curriculum. 1984. Bibliography of research on the effectiveness of block—Time, core, and interdisciplinary team teaching programs. Kent, Ohio: NACC. Palmer, J. M. 1991. Planning wheels turn curriculum around. Educational Leadership 49(2): 57–60. Smith, D. B. 1992. A taste of blackberries. New York: HarperTrophy. Taylor, M. D. 2001. Roll of thunder, hear my cry. New York: Phyllis Fogelman Books. Vars, G. F. 1991. Integrated curriculum in historical perspective. Educational Leadership 49(2): 14–15. Wigginton, E. 1985. Sometimes a shining moment: The Foxfire experience. Garden City, N.Y.: Anchor Press/Doubleday. 
work_mbdr7y54kzaxznxjj3ahvluk34	----	PLME0203_171-213.indd PLoS Medicine | www.plosmedicine.org 0184 Preparing for Death How does one prepare for death? Those who have created a public persona must add to any spiritual ponderings about eternity the mundane chore of organizing their literary archives to protect any of life’s secrets that seem worth the effort. That task involves choosing what diaries, letters, drafts, and laundry lists to donate to a university or to leave in a closet for legions of biographical ragpickers to quote, misquote, or variously interpret in as yet unimaginable contexts— or to burn. Many well-known fi gures contemplating their posthumous selves have been foiled in exercising control over their literary remains. Purposefully confounding future biographers, Sigmund Freud burned his early papers and admonished his wife Martha to destroy their love letters. Instead, she bequeathed us this charming insight into the youthful exuberance of the patriarch of psychoanalysis, written in 1884: “Woe to you, my Princess, when I come. I will kiss you quite red and feed you till you are plump. And if you are forward, you shall see who is stronger, a gentle little girl who doesn’t eat enough or a big wild man who has cocaine in his body” [1]. Anaïs Nin, whose voluminous diaries recorded her daily life in exquisite, compulsively recorded detail, had better luck in choreographing her literary afterlife. While alive, she published volumes of carefully edited literary diaries. When someone at a seminar remarked to her that her life seemed more, well, racy than those diaries revealed, she smiled mysteriously and said that after the death of all concerned, “unexpurgated” editions would be published. Several decades later, companion volumes to the literary diaries revealed passionate incest with her father, Joachim Nin, an affair with her analyst, Otto Rank, and successfully bigamous marriages in New York and California. When André Gide revealed that Oscar Wilde had had sexual relations with a young Arab boy in Egypt, Wilde’s friend Robert Sherard lamented: “Heavens! The task of shooing hyenas away from the graves of the illustrious dead.” Sherard meant Wilde’s literary grave—but what about actual graves? What about history’s corpus delicti? The Line between Scientist and Grave Robber How many giants and tyrants unlucky enough to have left body parts or ashes behind when they shuffl ed off the mortal coil could have imagined what scientists and medical practitioners of the future would do with their physical remains? Here, the line between the scientist and the grave robber blurs, as corpses are exhumed and cremation urns raided to provide organic remnants for any number of curious purposes. Ethical debates about the appropriate care and maintenance of biological relics often begin at the autopsy table. Having removed Albert Einstein’s brain, pathologist Thomas Harvey chopped it into 240 pieces and stored it in a cookie jar in his basement, often shipping slabs (mailed in mayonnaise jars) to brain researchers eager to count glia and neurons. Forty years later, Harvey lugged what remained of the brain cross-country to deliver it to Evelyn Einstein, a woman rumored to be the physicist’s daughter from an affair with a New York dancer. Dr. Charles Boyd had tried to prove Essay Open access, freely available online March 2005 | Volume 2 | Issue 3 | e60 The Essay section contains opinion pieces on topics of broad interest to a general medical audience. Alas, Poor Yorick: Digging Up the Dead to Make Medical Diagnoses Exhuming famous dead people to test their tissues is mired in legal, ethical, and moral problems Deborah Hayden Citation: Hayden D (2005) Alas, poor Yorick: Digging up the dead to make medical diagnoses. PLoS Med 2(3): e60. Copyright: © 2005 Deborah Hayden. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Deborah Hayden is the author of POX: Genius, Madness, and the Mysteries of Syphilis (Basic Books 2004), a biographical study of the effects of syphilis on cultural icons. She has recently published articles in the New Statesman and the The Wildean: A Journal of Oscar Wilde Studies, and has been interviewed for “High Hitler,” a History Channel special pertaining to Adolf Hitler’s syphilis diagnosis. E-mail: debhayden@sbcglobal.net Competing Interests: The author declares that she has no competing interests. DOI: 10.1371/journal.pmed.0020060 DOI: 10.1371/journal.pmed.0020060.g001 Is it ethical to remove body parts to make a tissue diagnosis? (Illustration: Margaret Shear, Public Library of Science) PLoS Medicine | www.plosmedicine.org 0185 this paternity with his brain-chunk, but Einstein’s DNA proved “too denatured to decipher.” Harvey’s volunteer driver, Michael Paterniti, described getting his hands in the cookie jar: “I actually feel as if I might puke. The pieces are sealed in celloidin—the pinkish, liver-colored blobs of brain rimmed by gold wax. I pick some out of the plastic container and hand a few to Evelyn. They feel squishy, weigh about the same as very light beach stones. We hold them up like jewelers, marveling at how they seem less like a brain than—what?— some kind of snack food, some kind of energy chunk for genius triathletes” [2]. Pilferers cannot resist snipping body parts. While Einstein was being autopsied, his ophthalmologist, Dr. Henry Abrams, dropped by and fi lched Einstein’s brown eyes as a keepsake, storing them in a jar in a Philadelphia bank vault. There were rumors that singer Michael Jackson, a collector of body parts, offered Abrams several million dollars for the eyes. Beethoven’s ears were hacked out and soon went missing. René Descartes’s middle fi nger was stolen. (His head was also separated from his body for shipping—a philosopher’s in-joke, since Descartes introduced the mind/ body split into Western philosophy.) Napoleon’s reputed penis went on a picaresque odyssey of its own, being displayed at the Museum of French Art in New York, auctioned, and fi nally ending up in the possession of a urologist—or so the story goes. Josef Haydn’s head was stolen by phrenologists at his burial. In 2004, Dr. Anunciada Colon presided over the opening of a golden trunk from the 16th century, containing ashes and bone fragments presumed to belong to her ancestor Christopher Columbus, an event chronicled by a television crew. Offi cials at the Seville Cathedral allowed researchers at the University of Granada to borrow the bones for a DNA study. Being unsuccessful at extracting DNA from pulverized fragments, Professor José A. Lorente loaded the bones in a shoulder bag and fl ew them to Dallas, Texas, where more sophisticated DNA tests (developed for the victims of the terrorist attack of 9/11) provided a disappointingly short and impure sequence of mitochondrial DNA. Remaining ashes and shards were inelegantly deposited on a metal storage shelf in a lab, in a Styrofoam picnic basket labeled “Colon” in black marker, awaiting better tests [3]. Vladimir Ilyich Lenin remains the most visible deceased person. His body, or what remains of it since his brain and other organs were removed, has been viewed by the millions who have passed by his open casket in a mausoleum on Moscow’s Red Square. A waterproof suit under his uniform holds in the embalming fl uid. His hands and head are bathed frequently. His microtomed (31,000 sections) and dyed brain resides down the street from his body at the Moscow Brain Institute, joining the brains of his countrymen Stalin and Tchaikovsky. Many Russians who fi nd Lenin’s public resting place a macabre embarrassment think his soul will only rest (and theirs with it) once he goes underground. But who can decree his burial? When I was four, my mother found me exhuming a goldfi sh we had ceremoniously buried in the garden in a little fi sh coffi n a few days before. How different, I wonder now, was my childish curiosity and wonderment at the mysterious process happening to my no-longer-swimming fi sh below the earth from that of grown-up exhumers? Consider Gira Fornaciari, who unearthed 49 members of the Medici family to confi rm various causes of death, or the committee that had Beethoven and Schubert dug up to transfer them to more secure zinc coffi ns (borrowing both heads for a bit more measuring, and swiping Schubert’s luxuriant, larvae-laden hair while they were at it). Archaeologists have braved curses and biohazards to retrieve mummies from pyramids. Doctors from Japan, however, were not allowed to take DNA from King Tut’s mummy to sort out his genealogy; the Egyptian government’s supreme council of antiquities, after fi rst agreeing, reversed the decision. A non-invasive x-ray of the mummy suggests a murder plot: King Tut may have been done in by a blow to the back of the skull. Guidelines for Bioethical Research When a committee was convened to decide whether specimens of Lincoln’s blood and bones should be tested for DNA to discover whether he suffered from Marfan syndrome, ethicists voted yes but scientists vetoed the plan, claiming that the precious material should not be destroyed in case future tests would prove more effective [4,5]. But what if they were even asking the wrong question? Lincoln once told his biographer and friend William Herndon that he had been infected with syphilis by a prostitute in Beardstown around 1835 [6]. What if a future test could prove that Lincoln had spoken the truth? Imagine, if you will, a press release from the Armed Forces Institute of Pathology revealing that hot potato about the most beloved of American presidents. The Lincoln testing question spurred bioethicist Lori Andrews and her colleagues at the Chicago Historical Society to join with the Illinois Institute of Technology to review existing ethical issues of biohistorical research. Their conclusion, after studying professional codes from 23 other organizations: none contained guidelines for conducting biohistorical research and analysis [7]. They recommend genetic testing for “historically signifi cant” March 2005 | Volume 2 | Issue 3 | e60 DOI: 10.1371/journal.pmed.0020060.g002 Victor McKusick of the Johns Hopkins School of Medicine chaired a committee to decide whether specimens of Lincoln’s blood and bones should be tested for Marfan syndrome (Photo: Alexander Gardner, Library of Congress) Does confi dentiality extend beyond the grave? PLoS Medicine | www.plosmedicine.org 0186 questions. But who is to defi ne that loaded phrase? The newly dead are warm, soft, and somehow still human; by contrast, aged corpses and skeletons rising from the cold ground are the stuff of horror fi lms, vampires and ghouls. While fascinating, they also unnerve. Medical examiners in fi ction (Kay Scarpetta) and television (Dr. Quincy, Jordan Cavanaugh) capture wide audiences with their gruesome and graphic dissection of putrefi ed, maggot-ridden corpses, all in the service of solving some medical mystery. Respect for the Dead Does confi dentiality extend beyond the grave? Should doctors publish articles in medical journals about diagnoses that were confi dential when the patient was alive? Physicians have often raced to put pen to paper and reveal the signs and symptoms of their more illustrious deceased patients. According to Anne Sexton’s biographer Diane Wood Middlebrook, who used tapes of hundreds of hours of therapy sessions given to her by Sexton’s therapist Dr. Martin Orne, the dead have no rights [8]. Although Dr. Orne insisted that Sexton had given him permission to do what he thought appropriate with the tapes, his colleagues howled that he had made a travesty of doctor-patient confi dentiality, Sexton’s wishes be damned. The long-dead are latecomers to the game of lobbying for rights. Who owns their bones? Who is to choose the right test, the right time, the appropriate question to ask? Who gets to decide whether they should be sliced, diced, dyed, pulverized, displayed, x-rayed, photographed, and subjected to the esoteric tests developed for forensic laboratories to reveal secrets they carefully took to their graves or urns? An interdisciplinary committee? The law? The government? Should such decisions be made by bioethicists, scientists, medical examiners, lawyers, archaeologists, descendants of the deceased? Where does simple respect for the dead play into this issue? The answers change over time and from place to place. The quagmire of ethical, legal, moral, and even aesthetic questions that surround the use (and misuse) of leftover body parts can only become more complex and contentious, not less. A word of warning, then, to the famous not-yet-deceased: consider the disposition of your physical remains as carefully as you consider the packaging of your archive. Swear your doctor to posthumous secrecy. Be cremated. And have your ashes scattered to the wind. � References 1. Youngson RM (1999) Medical blunders: Amazing true stories of mad, bad and dangerous doctors. New York: New York University Press. 217 p. 2. Paterniti M (2001) Driving Mr. Albert: A trip across America with Einstein’s brain. New York: Delta. 194 p. 3. Pollock T, director (2004) Christopher Columbus: Secrets from the grave [television program]. Discovery Channel. 4. Robeznieks A (28 June 2004) Uncloaking history: The ethics of digging up the past. American Medical News. Available: http:⁄⁄www. ama-assn.org/amednews/2004/06/28/ prsa0628.htm. Accessed 13 January 2005. 5. Davidson GW (1996) Abraham Lincoln and the DNA controversy. Journal of the Abraham Lincoln Association. Available: http:⁄⁄jala. press.uiuc.edu/17.1/davidson.html. Accessed 13 January 2005. 6. Hertz E (1938) The hidden Lincoln: From the letters and papers of William H. Herndon. New York: Viking. 259 p. 7. Anderson M (2004) Biohistory guidelines urged. Scientist. Available: http:⁄⁄www. biomedcentral.com/news/20040413/02. Accessed 13 January 2005. 8. Haven C (2003) Telling tales out of school. Stanford Magazine. Available: http:⁄⁄www. stanfordalumni.org/news/magazine/2003/ novdec/features/middlebrook.html. Accessed 13 January 2005. March 2005 | Volume 2 | Issue 3 | e60 
work_mii3ikfyorhtnlhakbt3q7g4i4	----	Feb--2013--1:Feb--2013--1.qxd.qxd Introduction Burn injuries are among the most devastating of all injuries and a major global public health crisis.1,2 Burns are the fourth most common type of trauma worldwide, following traffic accidents, falls, and interpersonal violence.3 Approximately 90 percent of burns occur in low to middle income countries, regions that generally lack the necessary infrastructure to reduce the incidence and severity of burns.4 Despite recent advances in antimicrobial chemotherapy and wound management, infection continues to be an important problem in the treatment of burns. One of the most effective means to achieve a microbial balance in a colonized or infected wound is the proper use of prophylactic topical agents. Maintaining wounds at low colonization levels diminishes the frequency and duration of septic episodes caused by wound flora.5 The introduction of topical antimicrobial agents has resulted in a significant reduction in burn mortality to date.6,7 Recent studies have demonstrated that some agents used in the past are no longer effective in inhibiting bacterial growth in vitro.8 The most common topical antimicrobial agent used is 1% silver sulfadiazine (SSD) cream.9 Its side effects are delayed wound healing,10 resistance to 1% silver sulfadiazine (SSD) cream, renal toxicity, and leukopenia: several studies confirmed that this topical cream should not be used for long periods on extensive wounds.11,12 Aloe Vera (family: Liliaceae) has a long association with herbal medicine.13,14 Aloe Vera gel, obtained by breaking or slicing a leaf, contains nutrients, vitamins, antioxidants and has wound healing and immunomodulating effects.15-19 Although burn wound healing is one of major indications of Aloe Vera gel use in several animal and clinical studies, few studies have compared the efficacy of this gel with SSD in the treatment of burns.16 The purpose of the present study was to compare the efficacy of SSD and Aloe Vera dressing for treatment of partial thickness burn wounds. Patients and Methods In our study we used Aloe Vera gel (AloeTone JelR). This product consists of the 98 % of unrefined gel from inner leaf of the plant. This international comparative study was conducted in the burn unit/plastic surgery department, Nishtar Hospital Multan during the period from July, 2008 to December, 2010. After approval of the study protocol from the Institutional Ethical Committee, 50 patients who had second degree burns were enrolled. Patients with second degree burns who presented within 24 hours and had total burn surface area (TBSA) < 25 % involved were included. Patients who had corrosive, electrical and chemical burns and history of J Pak Med Assoc 225 ORIGINAL ARTICLE Effectiveness of Aloe Vera Gel compared with 1% silver sulphadiazine cream as burn wound dressing in second degree burns Muhammad Naveed Shahzad, Naheed Ahmed Abstract Objective: To assess the efficacy of Aloe Vera gel compared with 1% silver sulfadiazine cream as a burn dressing for the treatment of superficial and partial thickness burns. Methods: This Interventional Comparative study was carried out at the Burn unit and Plastic surgery department, Nishtar Hospital Multan , Pakistan from July 2008 to December 2010. A total of 50 patients with superficial and partial thickness burns were divided into two equal groups randomly by consecutive sampling method, one group was dressed with Aloe Vera gel while the other was treated with 1% silversulphadiazine cream, and the results regarding duration of wound epithelialization, pain relief and cost of treatment were compared. Results: In patients treated with Aloe Vera gel, healing of burn wounds were remarkably early than those patients treated with 1% silver sulfadiazine. All the patients of Aloe Vera group were relieved of pain earlier than those patients who were treated with SSD. Conclusion: Thermal burns patients dressed with Aloe Vera gel showed advantage compared to those dressed with SSD regarding early wound epithelialization, earlier pain relief and cost-effectiveness. Keywords: Aloe Vera gel, Second degree burns, Aloe Vera gel vs. 1% Silver sulphadiazine cream. (JPMA 63: 225; 2013) Department of Plastic Surgery, Nishtar Hospital, Multan. Correspondence: Muhammad Naveed Shahzad. Email: drmuhammaad@gmail.com diabetes, hypertension, epilepsy, kidney disease or pregnancy were excluded. All burn patients were received in A & E department of Nishtar Hospital Multan where the fluid resuscitation was done and every effort was made to eliminate shock. After that patients were admitted in the burns unit. Wounds were cleaned with pyodine scrub and normal saline and the topical agent either aloe vera gel or 1% SSD cream was applied to the wound. Treatment with topical agents was continued until the burns were fully healed and re- epithelialized. Empirically, 3rd generation cephalosporins were started in all patients. Wound swab cultures from three different sites from all patients were taken, at the time of admission and then at every seventh day and then antibiotics were initiated according to the results of bacteriological examination. Relevant data of patients regarding their registration, history, site of burn, TBSA affected degree of burn, depth of burn, presence or absence of slough in the wound, medical report, operative notes, pre- and postoperative photographs, duration of hospital stay and outcome were filed individually. During their stay in the ward, strict monitoring of intake/ output was done. Where indicated, patients were supported with blood products. In all the patients, great care was given to nutrition. Almost all the patients were given oral feed with occasional intravenous support in the form of amino acid infusion in a few patients. Fifty patients with second degree burns were randomized (consecutive sampling method) into 2 groups and were given burn wound treatment with SSD (25 patients) or aloe vera (25 patients). Both groups were compared with regard to patient demographics including age, sex, type of burn, TBSA burn (%), time elapsed after burns to reach the hospital. Patients were also reviewed for documentation of efficacy of treatment including time required for healing (epithelialization), pain scores, type of cultured organisms, wound colonization and infection, cost of treatment and mortality between both groups. Wound dressing was done twice a day until healing was complete. Before dressing we washed wounds with pyodine scrub and then either aloe vera soaked gauzes or 1% Silver sulphadiazine dressing was done. At the time of change of dressing details regarding the condition of the wound such as signs of wound infection, condition of surrounding unburned tissues, discharge, smell, necrotic tissue and state of epithelialisation was noted by on every 3rd day. Subjective factors such as pain and local irritation were recorded regularly. Allergies or other side effects were noted in both groups. The patients and attendants were given information regarding the Aloe Vera gel and SSDe cream. Tape method was used to measure length and width of the wound and then these measurements were multiplied i.e. Area (in centimetre square) = length x width. The wound progression was measured by calculating percentage rate of change by a simple statistical calculation by using the following formula: Wound area an admission day — Area on 2nd time x 100% Baseline wound area an admission day. Pain relief was noted by visual analogue scoring system (1-10). Pain was considered as severe for score 6-10, moderate 3-5, and mild less than 3. Pain was considered relieved if patient scored 0-1. Final outcome was measured after 2 months of follow-up, in terms of complete and incomplete recovery. Complete recovery included complete healing without scar or contracture. Formation of soft scar, hypertrophic scar and/or contracture was taken as incomplete recovery. Statistical analysis was done using SPSS 11 software. Two- Tailed Unpaired Student T-Test was used to analyse predictors between two groups. P value of less than 0.05 was considered to indicate statistical significance. Results Demographic characteristics and other parameters of the patients are summarized in Table-1. All patients in the present study survived. The authors found no significant differences in age, total body surface area, type of burn injury, time elapsed after burns to reach the hospital. Of fifty patients, 26 were male and 24 were female (age range 15-65 years). In Aloe group, epithelialization begun at 5th day, and in all patients healing was complete by 40th day (Mean= 11 4.18), whereas in SSD group healing was prolonged (Mean= 24.24 11.16). Thirty eight patients (76%) developed wound colonization, sixteen (64%) in the Aloe group and twenty- two (88%) in the 1% SSD group. There were no differences in wound infection between both groups (seven patients developed wound infection; three in the Aloe group and four in the 1% SSD group, p > 0.0). All of the patients who developed wound infection responded well to targeted topical and systemic antibiotic treatment. In Aloe group, 9 patients (36%) had complete relief of pain by 5th day; another 9 patients (36%) were relieved by 12th day. Pain relief was slow in SSD group and it took 26 days for all patients to be pain free in SSD group. Vol. 63, No.2, February 2013 226 Effectiveness of Aloe Vera Gel compared with 1% silver sulphadiazine cream as burn wound dressing in second degree burns J Pak Med Assoc M. N. Shahzad, N. Ahmed 227 Table: Demographics of patients in both groups & Comparison of results in both groups. Patient Characteristics Aloe group SSD group No of cases(n=25) %age No of cases(n=25) %age Gender of patient Male 17 68% 09 36% Female 8 32% 16 64% Type of burn injury in both group Flame 16 64% 11 44% Scald 9 36% 14 56% Age of patient 11-20 4 16% 5 20% 21-30 16 64% 10 40% 31-40 4 16% 6 24% 41-50 3 12% 3 12% >50 YEARS 2 8% 1 4% Minimum age =15 years. Maximum age =65 years Mean = 30.18±12.06 P value = 0.6691 [ not statistically significant] Total body surface area 5 - 10% 2 8% 3 12% 11-15% 17 68% 15 40% 16-20% 4 16% 4 16% 21-25% 2 8% 3 12% Minimum (TBSA)=6%. Maximum(TBSA)=25% Mean = 13.64±4.68 P value = 0.1323[not statistically significant] Time elapsed after burns to reach the hospital <1 hour 3 12% 4 16% 1-8 hours 12 48% 14 56% 9-16 hours 6 24% 3 12% 17-24 hours 4 16% 4 16% Time required for healing (epithelialization) 5 - 10 days 14 56% 3 12% 11 - 15 days 6 24% 2 8% 16 - 20 days 3 12% 7 28% 21 - 30 days 1 4% 8 32% 31 - 40 days 1 4.0% 3 12% 41 - 50 days 0 0% 1 4% 51 - 60 days 0 0% 1 4% Aloe group �Minimum days for epithelialization =5 days �Maximum days for epithelialization =20 days �Mean =11±4.18 Silversulphadiazine Group �Minimum days for epithelialization =9 days �Maximum days for epithelialization =56 days �Mean = 24.24±11.16 P value = < 0.0001[extremely statistically significant]. Type of cultured wound organisms between 2 treatment groups MRSA 6 24% 7 28% Pseudomonas spp. 8 32% 9 36% Acinetobactor spp 4 16% 2 8% Enterobactor 4 16% 2 8% Staph. Coagulase ne 2 8% 3 12% E coli 1 4% 2 8% Time taken for pain relief (days) Up to 5 9 (36.0%) 1 4.0% 6 - 12 9 36% 11 44% 13 - 21 7 28% 11 44% 22 - 26 0 0% 2 8% Silversulphadiazine Group �Time taken for Complete pain relief = 26 days Aloe group �Time taken for Complete pain relief = 21 days p-value = 0.01 between the two groups is statistically significant The price of 1000ml of Aloe gel was Rs.480, whereas the price of 250gm of Silver sulphadiazine was Rs.617. The cost of Dressing per percent body surface burnt per dressing of silver sulfadiazine was Rs.4.92 for 2grams of ointment and Rs.2.40 for 5ml of Aloe gel. Among 25 patients treated with Aloe dressing, 24 patients had complete recovery while 1 had incomplete. In the SSD group, out of 25 patients, 19 patients had complete recovery and 6 had hypertrophic scar formation or the development of contractures. These differences were statistically significant. Figure-1 and 2 show the results of aloe vera dressing. Discussion Aloe Vera has been used for medicinal purposes in several cultures for millennia: Greece, Egypt, India, Mexico, Japan and China.18 Egyptian queens Nefertiti and Cleopatra used it as part of their regular beauty regimes. Alexander the Great, and Christopher Columbus used it to treat soldiers' wounds. The first reference to Aloe vera in English was a translation by John Goodyew in A.D. 1655 of Dioscorides' Medical treatise De Materia Medica.19 By the early 1800s, Aloe Vera was in use as a laxative in the United States, but in the mid-1930s, a turning point occurred when it was successfully used to treat chronic and severe radiation dermatitis.20 Aloe Vera contains 75 potentially active constituents: vitamins (vitamins A ,C and E, vitamin B12, folic acid, and choline), enzymes (alkaline phosphatase, amylase, bradykinase, carboxypeptidase, catalase, cellulase, lipase, and peroxidise), minerals (calcium, chromium, copper, selenium, magnesium, manganese, potassium, sodium and zinc), sugars (monosaccharides and polysaccharides), lignin, saponins, salicylic acids and amino acids.21-23 Salicylic acid in Aloe Vera gel possesses anti-inflammatory properties. Lignin, enhances penetrative effect of the other ingredients into the skin. Saponins that are the soapy substances form about 3% of the gel and have cleansing and antiseptic properties. The normal wound repair process is coordinated and predictable series of cellular and biochemical events. Glucomannan, a mannose-rich polysaccharide, and gibberellin, a growth hormone, interacts with growth factor receptors on the fibroblast, thereby stimulating its activity and proliferation, which in turn significantly Vol. 63, No.2, February 2013 228 Effectiveness of Aloe Vera Gel compared with 1% silver sulphadiazine cream as burn wound dressing in second degree burns Figure-1: A young patient of 22 years had a flame burn (TBSA = 20%), Aloe Vera dressing was done. (a)= Second degree burn after wound wash at the time of admission. (b)= At 5th day epithelisation started and was complete at 11th day. Figure-2: A male patient 42 year of age had a flame burn treated with Aloe Vera Dressing. Wound showing epithelisation at the time of discharge at 14th day post burn. increases collagen synthesis after topical and oral Aloe Vera.24 Aloe gel not only increased collagen content of the wound but also changed collagen composition (more type III) and increased the degree of collagen cross linking. Due to this, it accelerated wound contraction and increased the breaking strength of resulting scar tissue.25 An increased synthesis of hyaluronic acid and dermatan sulfate in the granulation tissue of a healing wound following oral or topical treatment has been reported.26 Aloe Vera contains 6 antiseptic agents: Lupeol, salicylic acid, urea nitrogen, cinnamonic acid, phenols and sulfur. They all have inhibitory action on fungi, bacteria and viruses. Aloe vera inhibits the cyclooxygenase pathway and reduces prostaglandin E2 production from arachidonic acid. Recently, the novel anti-inflammatory compound called C-glucosyl chromone was isolated from gel extracts.27 The antimicrobial effect of silver sulfadiazine is the only mechanism justifying its continued use in burn injury. However, resistance has been demonstrated. Hepatic or renal toxicity and leukopenia may be caused by the topical application of SSD. In fact, these side effects have been observed in the treatment of large wounds.10-12 The findings of this clinical study showed that aloe vera gel promoted burn wound healing more effectively than SSD. Existing evidence demonstrates that aloe vera used in a variety of forms might be effective in shortening the duration of wound healing in first to second degree burns, and it tended to increase rate of success to healing and rate of epithelialization. Aloe gel have been found to be effective for burn wound healing in animal models32,33 and humans.28,31-34 Thamlikitkul et al.28 used Aloe fresh mucilage in 38 patients and found accelerated healing. Visuthikosol et al.29 reported a study on 27 patients with partial thickness burn wounds treated either with gauze dressings saturated with Aloe vera gel. They observed significantly reduced wound healing time in the aloe-treated patients (11.19 days vs 11.89 days). Akhtar et al30 also observed significantly reduced wound healing time in the aloe-treated patients 18 18.9 days. Better Rate of epithelialization was also appreciated by Sun Ji Hai et al.31 In One Iranian study,34 time taken for partial thickness burns to heal was 15.9 2 days. But, one clinical report35 suggests that aloe can actually impair the healing of severe wounds. Schmidt et al,35 evaluated the time interval required for wound healing using a standard wound management protocol with and without aloe vera gel in a randomized controlled trial. All patients had complications of wound healing. Only 21 of them completed the study. The mean healing time in the conventional care group (53 days) was significantly shorter (P<0.003) than in the aloe vera gel group (83 days). In our study time taken for partial thickness burns to heal was significantly shorterd with aloe than in those treated with SSD (11 4.18 days vs. 24.24 11.16 days). One study,34 has demonstrated antimicrobial effect of aloe vera, but in our There were no differences in wound infection between both groups. In Aloe group, patients were rendered pain free early, mean pain relief was by 12th day, while with the SSD dressing mean pain relief was in 16.8 days. Cost of treatment with Aloe came out to be significantly less than that with Silver sulphadiazine. No allergic reaction or side effect was noted in any of our patients dressed with Aloe or SSD. Only irritation, itching, discomfort, and minimal transient pain were reported. However, these events were common signs and symptoms in burns, and they were present in both the aloe and the control groups.28-30 Conclusion In conclusion, aloe vera gel promoted wound healing in second degree burn patients better than SSD cream. The mechanism of the remarkable efficacy of aloe cream in the healing of burn injuries may be explained by its cell proliferation, and anti-inflammatory effects. It also relieves pain better than SSD and is cost effective. Recommendations Well-designed trials with sufficient details of the contents of aloe vera products should be carried out for determining the effectiveness of aloe vera for burn wound healing. As existing evidence lack such trails. References 1. Forjuoh SN. Burns in low- and middle-income countries: a review of available literature on descriptive epidemiology, risk factors, treatment, and prevention. Burns 2006; 32:529. 2. Peck MD, Kruger GE, van der Merwe AE, Goaakumbra W, Ahuja RB. Burns and fires from non-electric domestic appliances in low and middle income countries Part I. The scope of the problem. Burns 2008; 34: 303-11. 3. World Health Organization. The Global Burden of Disease: 2004 Update. World Health Organization, Geneva 2008. (Online) (Cited 2010 Apr 2). Available from URL:http://www.who.int/healthinfo/ global_burden_disease/GBD_report_2004update_full.pdf. 4. Murray, CJL, Lopez AD. The global burden of disease: a comprehensive assessment of mortality and disability from diseases, injuries, and risk factors in 1990 and projected to 2020. Geneva, Switzerland: World Health Organization, 2006. 5. Pruitt BA, Foley FD. The use of biopsies in burn patient care. Surgery 1973; 73: 887-97. 6. Robson MC. The use of topical agents to control bacteria. In: Dimick AR, ed. The burn wound in practical approaches to burn J Pak Med Assoc M. N. Shahzad, N. Ahmed 229 management. Deerfi eld, IL: Flint Laboratories, Travenol 1977; pp 17-9. 7. Moncrief JA. The status of topical antibacterial therapy in the treatment of burns. Surgery 1968; 63: 862. 8. Kucan IO, Smoot EC. Five percent mafenide acetate solution in the treatment of thermal injuries. J Burn Care Rehabil 1993; 14: 158-63. 9. Vloemans AFPM, Soesman AM, Suijker M, Kreis RW, Middelkoop E. A randomized clinical trial comparing a hydrocolloid- derived dressing and glycerol preserved allograft skin in the management of partial thickness burn. Burns 2003; 29: 702-10. 10. Visuthikosol V, Chowchuen B, Sukwanarat Y, Sriurairatana S, Boonpucknavig V. Effect of aloe vera gel to healing of burn wound a clinical and histologic study. J Med Assoc Thai 1995; 78: 403-9. 11. Atiyeh BS, Costagliola M, Hayek SN, Dibo S. Effect of silver on burn wound infection control and healing: review of the literature. Burns 2007; 33: 139-48. 12. Klasen HJ. A historical review of the use of silver in the treatment of burns. II. Renewed interest for silver. Burns 2000; 26: 131-8. 13. Marshall JM. Aloe vera gel: What is the evidence? Pharm J 1990; 24: 360-2. 14. Reynolds T, Dweck AC. Aloe vera leaf gel: a review update. J Ethnopharmacol 1999; 68: 3-37. 15. Hu Q, Hu Y, Xu J. Free radical-scavenging activity of Aloe vera (Aloe barbadensis Miller) extracts by supercritical carbon dioxide extraction. Food Chem 2005; 91: 85-90. 16. Maenthaisong R, Chaiyakunapruk N, Niruntraporn S, Kongkaew C. The efficacy of aloe vera used for burn wound healing: a systematic review. Burns 2007; 33: 713-8. 17. Rodriguez-Bigas M, Cruz NI, Suarez A. Comparative evaluation of aloe vera in the management of burn wounds in guinea pigs. Plast Reconstr Surg 1988; 81: 389-96. 18. West DP, Zhu Yf. Evaluation of aloe vera gel gloves in the treatment of dry skin associated with occupational exposure. Am J Infect Control 2003; 31: 40-2. 19. Marshall JM. Aloe vera gel: What is the evidence? Pharma Jr 1990; 24: 360-2. 20. Davis RH. Aloe vera: A scientific approach. New York: Vantage Press. 21. Tyler V. The honest herbal: A sensible guide to the use of herbs and related remedies. 3rd ed. Binghamton, New York: Pharmaceutical Products Press, 1993. 22. Atherton P. Aloe vera revisited. Br J Phytother 1998; 4: 76-83. 23. Shelton M. Aloe vera, its chemical and therapeutic properties. Int J Dermatol 1991; 30: 679-83. 24. Chithra R, Sajithlal GB, Chandrakasan G. Influence of aloe vera on collagen characteristics in healing dermal wounds in rats. Mol Cell Biochem 1998; 181: 71-6. 25. Heggers J, Kucukcelebi A, Listengarten D, Stabenau J, Ko F, Broemeling LD, et al. Beneficial effect of aloe on wound healing in an excisional wound model. J Altern Complement Med 1996; 2: 271-7. 26. Chithra P, Sajithlal G, Chandrakasan G. Influence of aloe vera on the glycosaminoglycans in the matrix of healing dermal wounds in rats. J Ethnopharmacol 1998; 59: 179-86. 27. Hutter JA, Salmon M, Stavinoha WB, Satsangi N, Williams RF, Streeper RT, et al. Anti-inflammatory C-glucosyl chromone from Aloe barbadensis. J Nat Prod 1996; 59: 541-3. 28. Thamlikitkul V, Bunyapraphatsara N, Riewpaiboon W, Theerapong S, Chantrakul C, Thanaveerasuwan T, et al. Clinical trial of aloe vera Linn. for treatment of minor burns. Siriraj Hosp Gaz 1991; 43: 313-6. 29. Visuthikosol V, Sukwanarat Y, Chowchuen B, Sriurairatana S, Boonpucknavig V. Effect of aloe vera gel to healing of burn wound a clinical and histologic study. J Med Assoc Thai 1995; 78: 403-8. 30. Akhtar MA, Hatwar SK. Efficacy of aloe vera extract cream in management of burn wound. J Clin Epidemiol 1996; 49(Suppl-1): 24. 31. Sun JH, Chen XG, Jin RT, Li TN, Bian YX. People's Liberation Army medicine information. Med J Chin Army 1994; 8: 191-2. 32. Rodriguez-Bigas M, Cruz NI, Suarez A. Comparative evaluation of aloe vera in the management of burn wounds in guinea pigs. Plast Reconstr Surg 1988; 81: 389-96. 33. Somboonwong J, Thanamittramanee S, Jariyapongskul A, Patumraj S. Therapeutic effects of Aloe vera on cutaneous microcirculation and wound healing in second degree burn model in rats. J Med Assoc Thai 2000; 83: 417-25. 34. Khorasani G, Hosseinimehr SJ, Azadbakht M, Zamani A, Mahdavi MR. Aloe versus silver sulfadiazine creams for second-degree burns: a randomized controlled study. Surg Today 2009; 39: 587-91. 35. Schmidt JM, Greenspoon JS. Aloe vera dermal wound gel is associated with a delay in wound healing. Obstet Gynecol 1991; 78: 115-7. Vol. 63, No.2, February 2013 230 Effectiveness of Aloe Vera Gel compared with 1% silver sulphadiazine cream as burn wound dressing in second degree burns 
work_mkvsyktbffhiljgnf6oy55uzca	----	HIS volume 35 issue 2 Cover and Back matter HISTORISCHE ZEITSCHRIFT The extremely valuable source of information on European History. The HISTORISCHE ZEITSCHRIFT began publication in 1859. This review, edited by Professor Lothar Gall, offers an outstanding forum for debate on German and international history. Its essays, its book reviews and its bibliographical notes provide a comprehensive picture of German and international history. For all those concerned with history the HISTORISCHE ZEITSCHRIFT is a must. The HISTORISCHE ZEITSCHRIFT is published six times a year, in February, April, June, August, October and December. The annual subscription price 1992 (= 6 issues, approx. 28o pages each) is DM 380,- plus postage. 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work_ml7ir3dzt5grpiaqdvdnq4jura	----	1Ahmed OH, et al. Br J Sports Med Month 2017 Vol 0 No 0 Figure 1 The SEM app strategy (or the ‘SAS’). SEM, sport and exercise medicine. Navigating the new landscape of mobile apps: how can sport and exercise medicine clinicians and patients choose apps wisely? Osman Hassan Ahmed,1,2 Hopin Lee,3,4 Hannah Marchant,5 Rhiannon Jones,5 Eric E Hall6 When Christopher Columbus first set foot on the Americas in 1492, he stared on the landscape with wonder and trepidation. Over 400 years later, sport and exercise medicine (SEM) clinicians may feel similar emotions as they scan the landscape of smartphone apps in healthcare for patient engagement.1 2 Mobile apps pose chal- lenges for patients and clinicians due to the emergent and (partially) unregulated nature of apps in healthcare. Healthcare apps represent a transient form of health- care and are often short-lived in popu- larity, as the example of Pokemon Go demonstrates.3 Not all apps are well-designed, user- friendly, and importantly, many lack evidence-based content. SEM clini- cians may be reluctant to recommend such apps, especially if the clinicians themselves find the apps awkward and cumbersome to use. In addition, SEM clinicians may not be familiar with the apps available for a particular condition, and thus will not be able to recommend relevant apps to patients under their care. For patients, having apps with dubious management information may be waste of money, not accelerate their rehabilitation, or at worst cause negative changes and delay recovery. AddressiNg these coNcerNs To combat concerns of regulation of healthcare apps, efforts are currently underway on both sides of the Atlantic Ocean to improve quality control. In the USA, healthcare apps are screened by the US Food and Drug Administration (FDA) to ensure that the quality (and safety) of the app is sufficient to be released to the public.4 In the UK, the National Health Service (NHS) is due to release of the NHS app library in March 2017.5 Despite this, apps with misleading infor- mation continue to be available to the public,6 highlighting the need for a more robust monitoring system. FDA and NHS regulations for apps are not profession-specific, and the global SEM community does not currently have a central resource that they are able to refer to with confidence. The BJSM provides some recommendations and critiques of selected SEM apps with the ‘Mobile App Review’ section. Never- theless, a limitation of this approach is the likelihood of selection bias in the apps represented, a non-standardised evaluation process, and the limited scope of apps selected to be reviewed in comparison to the vast number of SEM-related apps in existence. No single journal can scratch the surface of the estimated 165 000 health-related apps on the Apple store alone.7 To increase the confidence of SEM clinicians in recommending apps, a posi- tive approach would be to actively involve them in the review process of developing new apps. In parallel with this, patient involvement (via consultation during the design phase) would also add value to the process. The creation of a standardised, critical appraisal framework for SEM apps would allow coherent evaluation of SEM apps, which could then be made available in a centralised repository. This could be easily accessed and distributed to focused SEM clinicians, with addi- tional reviews of the same app providing consistency via member checking. This would ensure that SEM clinicians receive up-to-date information about new and existing apps, with confidence in their clinical value and safety. the seM App strAtegy Our suggestion for a new, collective approach towards governance of SEM apps is outlined in the SEM app strategy (SAS) (see figure 1). We call for the SEM community to generate a comprehen- sive, centralised repository of SEM apps that are systematically organised and appraised by peers in the SEM commu- nity. Using an approach similar to that of Cochrane,8 we propose the creation of a community of systematic reviewers from a multidisciplinary background. This 1Faculty of Health and Social Sciences, Bournemouth University, Bournemouth, England 2The FA Centre for Disability Football Research, St Georges Park, Burton-Upon-Trent, Staffordshire, UK 3School of Medical Sciences, Neuroscience Research Australia, University of New South Wales, Sydney, New South Wales, Australia 4School of Medicine and Public Health, University of Newcastle, Newcastle, Australia 5Paediatric Department, Poole Hospital NHS Foundation Trust, Poole, Dorset, England 6Department of Exercise Science, Elon University, Elon, North Carolina, USA correspondence to Dr Osman Hassan Ahmed, Faculty of Health and Social Sciences, Bournemouth University, Bournemouth, England BH1 3LT, UK; osman. hassan. ahmed@ gmail. com editorial http://www.basem.co.uk/ http://bjsm.bmj.com/ 2 Ahmed OH, et al. Br J Sports Med Month 2017 Vol 0 No 0 editorial community would include both clinicians and researchers but could also consist of other relevant stakeholder groups, such as health informatics professionals and patients. Appropriate individuals could register as a reviewer in a similar way to that of Cochrane reviewers, and the success of the volunteer system employed by Cochrane suggests that this model is a potentially viable one. Financial costs associated with this approach would be for the personnel to manage the database, the hosting fees for the website and expenses for the indexing system. Conservative estimates for these costs are around £5–6000/year, making the endeavour a feasible one with a relatively modest investment required. One potential source of support could be from a non-par- tisan and major cross-sporting organisa- tion (such as the International Olympic Committee), as it would be in the interests of such an organisation to assist its members in this regard. Potential financial costs could also be lowered if the organisation embraced the innovation and hosted it through its own online platform. An approach such as the SAS provides an enhanced opportunity to create an SEM community which is better informed and more involved in the use of smartphone apps in SEM. When allied with potential new methods of evaluating smartphone apps, this new landscape of SEM apps should be easy to navigate and ultimately provide exciting and beneficial horizons for the clinician to explore. contributors All authors contributed in conception and creation of the initial draft and subsequent revisions and final version of this paper. competing interests None declared. patient consent Not obtained. provenance and peer review Not commissioned; externally peer reviewed. © Article author(s) (or their employer(s) unless otherwise stated in the text of the article) 2017. All rights reserved. No commercial use is permitted unless otherwise expressly granted. to cite Ahmed OH, Lee H, Marchant H, et al. Br J Sports Med Published Online First: [please include Day Month Year]. doi:10.1136/bjsports-2017-097911 Br J Sports Med 2017;0:1–2. doi:10.1136/bjsports-2017-097911 RefeRences 1 Financial Times (2017). How smartphones are transforming healthcare. https://www. ft. com/ content/ 1efb95ba- d852- 11e6- 944b- e7eb37a6aa8e (retrived 24 Mar 2017). 2 Verhagen E, Bolling C. Protecting the health of the @ hlete: how online technology may aid our common goal to prevent injury and illness in sport. Br J Sports Med 2015;49:1174–8. 3 Mobi Health News (2017). Declining user base shows Pokemon Go not immune to trend of health app attrition. http://www. mobihealthnews. com/ content/ declining- user- base- shows- pokemon- go- not- immune- trend- health- app- attrition (retrieved 26 Mar 2017). 4 FDA (2015). Mobile Medical Applications. http:// ww w.fda.gov/Medi calD evic es/D igit alHe alth/ MobileMedicalAppl icat ions / ucm255978. htm (accessed 23rd February 2017). 5 Digital Health (2017). NHS app library to be launched this month. https://www. digitalhealth. net/ 2017/ 03/ nhs- app- library- launched- in- march/ (retrieved 24 Mar 2017). 6 Modern Healthcare (2017). N.Y. attorney general nets penalties from health apps for misleading consumers. http://www. modernhealthcare. com/ article/ 20170323/ NEWS/ 170329949 (retrieved 24 Mar 2017). 7 The Guardian (2017). Health apps could be doing more harm than good, warn scientists. https://www. theguardian. com/ science/ 2017/ feb/ 21/ health- apps- could- be- doing- more- harm- than- good- warn- scientists (retrieved 26 Mar 2017). 8 Cochrane (2017). What is Cochrane evidence and how can it help you? http://www. cochrane. org/ what- is- cochrane- evidence (retrieved 17 Sep 2017). http://crossmark.crossref.org/dialog/?doi=10.1136/bjsports-2017-097911 &domain=pdf&date_stamp=2017-10-04 https://www.ft.com/content/1efb95ba-d852-11e6-944b-e7eb37a6aa8e https://www.ft.com/content/1efb95ba-d852-11e6-944b-e7eb37a6aa8e http://dx.doi.org/10.1136/bjsports-2014-094322 http://www.mobihealthnews.com/content/declining-user-base-shows-pokemon-go-not-immune-trend-health-app-attrition http://www.mobihealthnews.com/content/declining-user-base-shows-pokemon-go-not-immune-trend-health-app-attrition http://www.mobihealthnews.com/content/declining-user-base-shows-pokemon-go-not-immune-trend-health-app-attrition http://www.fda.gov/MedicalDevices/DigitalHealth/MobileMedicalApplications/ucm255978.htm http://www.fda.gov/MedicalDevices/DigitalHealth/MobileMedicalApplications/ucm255978.htm http://www.fda.gov/MedicalDevices/DigitalHealth/MobileMedicalApplications/ucm255978.htm https://www.digitalhealth.net/2017/03/nhs-app-library-launched-in-march/ https://www.digitalhealth.net/2017/03/nhs-app-library-launched-in-march/ http://www.modernhealthcare.com/article/20170323/NEWS/170329949 http://www.modernhealthcare.com/article/20170323/NEWS/170329949 https://www.theguardian.com/science/2017/feb/21/health-apps-could-be-doing-more-harm-than-good-warn-scientists https://www.theguardian.com/science/2017/feb/21/health-apps-could-be-doing-more-harm-than-good-warn-scientists https://www.theguardian.com/science/2017/feb/21/health-apps-could-be-doing-more-harm-than-good-warn-scientists http://www.cochrane.org/what-is-cochrane-evidence http://www.cochrane.org/what-is-cochrane-evidence 
work_mrqro2s6o5c23mf2bbazyalfmy	----	McCutchen, D. (2011). From Novice to Expert: Implications of Language Skills and Writing- Relevant Knowledge for Memory during the Development of Writing Skill. Journal of Writing Research, 3(1), 51-68. http://dx.doi.org/10.17239/jowr-2011.03.01.3 Contact: Deborah McCutchen, College of Education, Area of Educational Psychology, 312B Miller Hall, University of Washington, Seattle, WA, 98195 | USA --- mccutch@u.washington.edu. Copyright: Earli | This article is published under Creative Commons Attribution-Noncommercial- No Derivative Works 3.0 Unported license. From novice to expert: Implications of language skills and writing-relevant knowledge for memory during the development of writing skill Deborah McCutchen University of Washington | USA Abstract: This article outlines a theory of the development of writing expertise illustrated by a review of relevant research. An argument is made for two necessary (although not sufficient) components in the development of writing expertise: fluent language generation processes and extensive knowledge relevant to writing. Fluent language processes enable the developing writer (especially the young developing writer) to begin to manage the constraints imposed by working memory, whereas extensive knowledge allows the writer to move beyond the constraints of short- term working memory and take advantage of long-term memory resources by relying instead on long-term working memory. Keywords: writing, composition, working memory, development MCCUTCHEN  FROM NOVICE TO EXPERT | 52 Even a brief examination of the development of writing skill prompts a basic question: Given the complexity of the writing process, how do novices manage it? The transition from novice to expert writer has been the focus of much research by multiple research groups, some of which will be reviewed here. Studies of skilled writers illustrate well the complexity of the writing process. The seminal work of Hayes and Flower (1980) provided a cognitive account of the writing process, and elaborations of that model over the years (Hayes, 1996; 2006) have incorporated additional social and affective components. Hayes (1996) reorganized the processes originally described (in Hayes & Flower, 1980) as planning, translating, and reviewing. Planning was subsumed under the broader label reflection, which encompasses problem solving (including planning), decision making, and inferencing. Translating was retitled text production and has been elaborated considerably by Chenoweth and Hayes (2001; see also Berninger & Swanson, 1994). The original reviewing process was expanded to include text interpretation as well as embedded reflection and text production (see also Hayes, 2004). New in the 1996 model was the explicit inclusion of working memory, as well as specifications of affective goals, predispositions, beliefs, and the social environment. Within such a framework, the present review focuses on linguistic processes that support text production, especially as they interact with other aspects of knowledge relevant to writing, all within the constraints of working memory. It is this focus on linguistic processes --- and on related memory and processing implications for young writers in particular --- that distinguishes the present theoretical frame from other discussions of writing expertise (e.g., Berninger et al., 2002; Kellogg, 2008). Figure 1 presents the frame for the argument that follows: Initially, operations of linguistic processes and other processes involving writing-relevant knowledge (e.g., knowledge of genre) are constrained by traditional working memory (or ‘‘short-term working memory,’’ STWM), but as linguistic skill and writing-relevant knowledge increase, eventually the constraints of STWM give way to more expansive long-term working memory resources. Figure 1: Interdependence of language, knowledge and memory processes during writing. 53 | JOURNAL OF WRITING RESEARCH The review that follows will survey empirical studies of working memory constraints involving the language processes entailed in text production. The review then turns to relevant studies of topic knowledge and genre knowledge, and it concludes with a discussion of how long-term working memory might be enacted during an episode drawn from the protocol of a skilled writer. When we think of novice writers, especially children, it is clear that they are still learning to control the linguistic (as well as motor) processes involved in text production. In contrast, skilled writers have fluent text production processes, as well as other writing knowledge; therefore, we might expect writing to be easier for skilled writers than for novices. When we look at writers in action, however, these expectations are not always met. Consider an excerpt from a protocol from a wine columnist of a metropolitan newspaper, a protocol representative of many produced by skilled writers (see Table 1). Table 1. Excerpt from a professional writer’s protocol Writer’s Protocol Text Produced … See, what we have to do is tell them why it is that cabernet sauvignon gives it the longevity. Why does it? Because it is a hard grape; it takes a long time to come around. OK (reviews) ‘‘This is the grape that -- ‘‘ You can’t get too technical or everybody won’t understand it, but (rereads) ‘‘This is the grape that’’ ah, (types) ‘‘provides backbone --’’ not just this but all wines (from McCutchen, 1984, p. 229) … This is the grape used in the hardest (edits) This is the grape that provides backbone to the wines of Bordeaux. At this point the writer is well into his weekly column describing a tasting of Bordeaux wines, and he is discussing the longevity of the wines from that region. (In Table 1, time progresses from the top of the table to the bottom. The writer’s speech is on the left; the text produced is on the right.) A comparison of the ratio of speech to text reveals that the ratio is rather high. The writer shows considerable thought behind the words that ultimately appear on the page. In contrast, consider the protocol of a seven-year old student writing an essay about swimming, an excerpt of which is presented in Table 2. For this young writer, the ratio of words in the protocol to text is much lower; in fact, the written text mirrors the protocol almost exactly. Given the fact that this young writer was still far from fluent in handwriting and spelling, the question becomes: How do young writers manage the complexity of the writing task and make their writing process appear even smoother than that of the expert (see also Torrance, 1996)? MCCUTCHEN  FROM NOVICE TO EXPERT | 54 Table 2. Excerpt from a young novice writer’s protocol Writer’s Protocol Text Produced (silence until prompted) My dad can swim better than us all. Sometimes my brother tries to dunk me. My mom makes me swim back and forth ten times. (from McCutchen, 1988, p. 314) I like to swim under water. My Dad is the swimmer. Sometimes my brother dunk’s me. My mom make’s me swim back and forth over and over. Answering that question was exactly the task that Bereiter and Scardamalia (1987) set for themselves. Bereiter and Scardamalia explored the writing strategies used by children and offered an alternative to Hayes and Flower’s model of expert writing, which they termed "knowledge telling’’ (Bereiter & Scardamalia, 1987). During knowledge telling, the writer probes memory with a cue derived either from the writing assignment’s topic or genre and thereby retrieves relevant information for potential inclusion in the text. The seven-year-old writer was quite articulate about her strategy to probe memory. After writing the last sentence depicted in Table 1, she noted ‘‘All my sentences start with my, so I should just put it there,’’ and she wrote My, My, My on three consecutive lines. Thus, according to Bereiter and Scardamalia (1987), the way novices manage the complexity of writing is by adopting a strategy that simplifies the task, a strategy that is fundamentally different from those employed by expert writers. Multiple researchers have argued that a central feature of the development of writing skill is the increasing fluency of linguistic processes involved in text production (Alamargot & Fayol, 2009; Berninger et al., 2002; McCutchen, 1996, 2000) and the lack of fluent text production has far-reaching implications arising from the limited capacity of working memory, as discussed by Baddeley (1986). Knowledge telling might, in fact, be considered an adaptive strategy because it eases the load on working memory that results from lack of fluent text production. There is abundant evidence that novice writers, especially young novices, are severely constrained by their lack of fluent text production (see Graham, Berninger, Abbott, Abbott, Whitaker, 1997; Graham & Harris, 2000; McCutchen, 1996). Berninger and Swanson (1994) distinguished two kinds of text production skills, transcription and text generation (see also Chenoweth & Hayes, 2001). Text generation is assumed to share many components with oral language production, such as content selection, lexical retrieval, and syntactic processes. In contrast, transcription entails the cognitive and physical acts of forming written (as opposed to spoken) representations of text and so includes spelling and motor skills involved in handwriting and typing. 55 | JOURNAL OF WRITING RESEARCH 1. Development of Transcription Fluency Transcription processes (notably spelling and handwriting) seem most limiting in the earliest stages of writing acquisition. For example, King and Rental (1981) found clear quality and quantity differences favoring dictation over writing (that is, text generation with and without added transcription demands) in a study of first- and second-grade children. However, differences favoring dictation are more qualified for older writers. Children's written texts typically tend to be shorter than their dictated texts (Bereiter & Scardamalia, 1987; McCutchen, 1987), whereas length differences favoring dictation are not as consistent for adults (Gould, 1980; Grabowski, Vorwerg, & Rummer, 1994; Reece & Cumming, 1996), suggesting that transcription is more fluent for adults than for children. Differences in quality are less consistent in dictation studies, even for children. In their seminal study comparing dictation and handwriting, Bereiter and Scardamalia (1987) asked children to produce texts in three conditions: (1) writing, (2) regular dictation, and (3) slow dictation (i.e., a dictation rate indexed to the child's writing rate). Although dictation yielded longer texts, quality ratings showed little difference across conditions. However, following simple prompts to produce more, children's written texts were rated higher in quality than those produced in either of the dictation conditions. Bereiter and Scardamalia concluded that the brevity of children's written texts (due more perhaps to executive control over self-prompting) is the primary factor contributing to the perception that children often speak better than they write, not the working memory demands of transcription. Bereiter and Scardamalia argued that by middle childhood, the processing cost associated with transcription is largely offset by other affordances of writing, if children simply persevere in generating longer texts. (For children with disabilities, however, transcription demands can be a persistent problem; see Alamargot, Lambert, Thebault, & Dansac, 2007; Graham, 1990.) Bourdin and Fayol (1994; 2000) directly examined the working memory demands of transcription in a series of experiments by varying response modality (spoken versus written) in a recall task. Bourdin and Fayol (1994) found that serial recall was significantly poorer in the written condition for children but not for adults and, as a result, reasoned that transcription processes of children are still relatively inefficient and draw on working memory resources that could otherwise be devoted to the recall task (see also Grabowski, 2010). Bourdin and Fayol (2000) argued that written production is essentially oral production with the additional task demands of handwriting and spelling, and they experimentally demonstrated that working memory demands during a writing condition were similar to those during an oral condition that included a demanding secondary task. In similar experiments, the task was changed from serial recall to text recall (Bourdin, Fayol, & Darciaux, 1996) and text generation (Olive & Kellogg, 2002), with the consistent finding that transcription imposed higher working memory costs for children than for adults. However, when adults’ over-learned, highly fluent transcription processes are disrupted by requiring them to write in cursive upper- case letters, adults then show poorer recall when writing compared with speaking MCCUTCHEN  FROM NOVICE TO EXPERT | 56 (Bourdin & Fayol, 1994; Grabowski, 2010) and their texts contain shorter sentences and receive lower quality ratings (Olive, Alves, & Castro, 2009). The fluency of transcription processes generally increases with age (Berninger & Graham, 1998; Berninger & Swanson, 1994), theoretically decreasing demands on working memory and enabling resource allocation to other aspects of writing (Olive, Favart, Beauvais, & Beauvais, 2008). Although estimates of working memory capacity also tend to increase with age (Conrad, 1971), such increases are often explained by knowledge (Chi & Koeske, 1983) or processing differences (Conrad, 1971) rather that by absolute structural differences in capacity; and the experimentally induced increase in working-memory demands due to unfamiliar transcription modes (Bourdin & Fayol, 1994; Grabowski, 2010) suggests similar process-based explanations are relevant in writing. Examining a wide range of component processes, Berninger and Swanson (1994) found that transcription measures accounted for more unique variance in composition quality among primary grade children than among older children (see also Berninger et al. 2006; Graham, Berninger, Abbott, Abbott, & Whitaker, 1997). Furthermore, improving handwriting fluency among children has led to general improvements in the fluency of their text generation (Berninger et al., 1997; Graham, Harris, & Fink, 2000). Hoskyn and Swanson (2003) found that transcription factors continued to contribute to age-related differences in text structure from adolescence to elder adulthood, and an independent measure of working memory accounted for additional unique variance in their text measures. Levy and Ransdell (1995) also documented that writers of higher quality texts transcribed text more fluently than writers of lower quality texts. Similar emphasis on the importance of fluency can be seen in studies examining typing as the transcription mode (Cochran-Smith, 1991; Dunn & Reay, 1989), as opposed to handwriting. 2. Development of Text Generation Fluency Text generation, text production’s second major component, also plays a role in the development of writing skill. Text generation, according to Berninger and Swanson (1994; see also Chenoweth and Hayes, 2001) is the mental production of a linguistic message, distinct from transcription of that message into written text. Models of speech production (e.g., Levelt, Roelofs, & Meyer, 1999) suggest a multi-phase route from semantic intent to selection and articulation of a given word, and like speech, text generation during writing involves turning ideas into words, sentences, and larger units of discourse within working memory. During writing, however, the extended production window may allow the route from semantic intent to word and phrase production to be more bidirectional than is typical in speech; for example, Galbraith (1996) argued that for some writers the writing process itself contributes to the generation of new semantic intent or ideas. Still, as in speech, pauses in the stream of language generated during writing are often influenced by syntactic junctures such as 57 | JOURNAL OF WRITING RESEARCH clause, sentence, and paragraph boundaries (Chanquoy et al., 1996; Spelman Miller, 2006); the larger the syntactic boundary (paragraph, sentence, or clause), the longer the average pause, presumably due to the larger demand on working memory. Text generation has been linked to working memory in a number of studies. McCutchen, Covill, Hoyne, and Mildes (1994) found that skilled elementary and middle school writers had larger working memory spans than less skilled writers, and higher skilled writers generated sentences more fluently during the span task and accessed words in memory more quickly (see also Ransdell & Levy, 1996). In a study with writers ranging in age from adolescents to elderly adults, Hoskyn and Swanson (2003) found that working memory span predicted the structural complexity of texts even after reading skill, spelling, and handwriting speed were taken into account. Jeffrey and Underwood (1996) found a significant correlation between young writers’ memory spans and their ability to coordinate ideas within a sentence and a similar (although nonsignificant) correlation between memory span and text quality. Tetroe (1984; reported in Bereiter & Scardamalia, 1987) also linked working memory and text generation at the discourse level. Tetroe asked children to write stories that were to end with specific sentences, varying the number of constraints imposed by the ending sentences. She found a marked decrease in children’s ability to honor the ending- sentence constraints when the number of constraints exceeded children’s working memory spans. Bereiter and Scardamalia (1987) also found that the number of ideas children could coordinate within a single sentence was related to how well they defended a thesis in an expository writing task, and Bereiter and Scardamalia attributed the relationship to the working memory resources that each child had available. Dellerman, Coirer, and Marchand (1996) found that a similar coordination task predicted writing skill even for high school students. The working memory constraints that are caused by lack of fluent text production may also make it difficult for writers to avoid or correct certain syntactic errors. For example, subject-verb agreement and other complex syntactic structures become more difficult to coordinate as working memory load increases (Chanquoy & Negro, 1996), and Daiute (1984) found negative correlations between short-term memory capacity and the frequency of errors in students' texts. In addition, Fayol, Largy, and Lemaire (1994) experimentally induced agreement errors by increasing writers’ memory load. Thus, when text production processes (transcription and text generation) are not fluent, the demands on working memory are sizable for novice writers. Although these demands decrease as writers gain fluency (Alamargot, Plane, Lambert, & Chenet, 2010), text production seems to require some working memory resources even for skilled writers (Kellogg, 1987, 1988, 1994; Ransdell & Levy, 1996). MCCUTCHEN  FROM NOVICE TO EXPERT | 58 3. Development of Other Writing-Related Knowledge Of course, linguistic aspects of text production are not the only aspects of writing that develop with expertise. Skilled writers also hold considerable knowledge of discourse forms (i.e., genre) and frequently have extensive topic knowledge. Familiarity with a genre can theoretically influence writing by providing access to an organized schema in long-term memory, which can facilitate planning, direct revision and even affect working memory demands during translating (Olive, Favart et al. 2009). Early in his protocol the previously referenced wine columnist clearly revealed his genre knowledge as part of his detailed vision for the structure of his column: … The general structure has got to be, we’ve got to give them some information about Chateau Latour, make it kind of real to them, give them something to chew on, and then we’ve got to go through the tasting notes because we had a tasting of Chateau Latour from 1924 to 1967, which means that you have to save enough space to write about, you know, the wines themselves. But [first] we’ve got to say something about Chateau Latour … (from McCutchen, 1984, p. 228) Issues of genre also relate to writers’ broader knowledge of the disciplinary community for whom (or perhaps more appropriately with whom) they write. For example, writers generally learn the discourse forms and honor the rhetorical values of their respective academic disciplines (Gee, 2007, MacDonald, 1992; Myers, 1985, Stockton, 1995). Skilled writers seem to have ready access to, if not explicit awareness of, such rhetorical knowledge (Langer, 1992; Stockton, 1995). This ready access is evidenced by the fact that genre and stylistic knowledge seem to influence many other processes, including even lexical and syntactic choices (Barton, 1995; Bazerman, 1984; MacDonald, 1992; Vande Kopple, 1998). Existing research provides considerable evidence for developmental differences in genre knowledge and for links between genre knowledge and writing skills. Due largely to children's broad early experience with narratives at home and at school (Durkin, 1978-1979; Sulzby & Teale, 1987), very young children show signs of emergent narrative schemas (Brown, 1975; Stein & Glenn, 1979; Sulzby, 1985). Fitzgerald and Teasley (1986) provided evidence for a causal link between genre knowledge and writing skill, demonstrating that the quality of children's written stories improved after instruction in narrative structure. Children’s knowledge of expository genres generally develops later (Englert, Stewart & Hiebert, 1988; Langer, 1986), and comparisons reveal that children's written narratives are generally superior to their expositions (e.g., Cox, Shanahan, & Tinzmann., 1991; Hidi & Hildyard, 1983; but see Langer, 1986, as well as McCutchen, 1987, for qualifications). Moreover, the cognitive demands of writing expository texts (specifically argumentative texts) are higher for younger writers, compared to writing narratives (Olive, Favart, et al., 2009). The difference in genre 59 | JOURNAL OF WRITING RESEARCH familiarity is apparent to children themselves, and they claim to be better at writing narratives than essays (Bereiter & Scardamalia, 1987). McCutchen, Francis, and Kerr (1997) documented marked differences in access to genre knowledge by students with different levels of writing skill. They recorded protocols as middle-school students collaboratively revised texts in which they had both planted spelling errors and rearranged sentences to disrupt the chronology of events, thereby affecting discourse-level meaning. Skilled writers quickly developed a macrostructure of the text (Kintsch, 1998; Kintsch & van Dijk, 1978), reflecting their knowledge of the genre. Even during their initial reading, skilled writers recognized concluding statements that appeared in the introductions, noting these problems with comments such as "That shouldn't be there either 'cause it's too fast." In contrast, less skilled writers paid little attention to discourse-level features. Less-skilled writers examined sentences individually and rarely considered the global structure of the text. Such a strategy made it particularly difficult for them to detect problems involving discourse-level meaning (as opposed to spelling errors). The following excerpt is illustrative of the sentence-by-sentence strategy. (Italics are added to highlight the student’s evaluative statements.) (reading) ‘Christopher Columbus was determined to find an all water route to the East Indies . . . East Indies.’ That’s good. (reading) ‘Discovering this could bring him fame and fortune. However, however, Columbus also believed that the world was round.’ OK. (reading) ‘Many people’ -- geez! (corrects spelling, then reads) ‘laughed at this idea. They thought the world was flat.’ Next, that’s good. (reading) ‘But still the sailors threatened to take over and turn, take over and turn back.’ That’s good. (from McCutchen et al., 1997, p. 673) With his sentence-by-sentence strategy, this reader completely overlooked the fact that the text described the sailors threatening to turn back even before they had set sail. In contrast, more skilled writers seemed to construct a macrostructure for the text on which they were working, and such macrostructures seemed to be derived from their general knowledge of text structures, or genres. Considerable research also documents a substantial role for topic knowledge in writing. Teachers of writing have long argued that topic knowledge should improve writing (Calkins, 1986), and empirical research supports that claim. Bereiter and Scardamalia (1987) observed that children generated more content during planning about familiar topics, compared with unfamiliar topics. In a study of students from fourth, sixth, and eighth grades, McCutchen (1986) found that writers who were more knowledgeable about their topic wrote more coherent texts than did writers who were less knowledgeable (see also Langer, 1984). DeGroff (1987) linked topic knowledge to the quality of children’s first drafts, as well as to their revision. In addition, Butterfield, MCCUTCHEN  FROM NOVICE TO EXPERT | 60 Hacker, and Plumb (1994) extended such findings to adult writers, documenting a positive relationship between adults’ topic knowledge and their revising effectiveness. McCutchen et al. (1997) also examined the effects of topic knowledge in the revision study discussed previously. Participants revised two texts, one about Christopher Columbus (a familiar topic) and another about Margaret Mead (an unfamiliar topic). Both adults and middle-school students were more likely to detect and correct discourse-level, meaning-related problems in the Columbus text than in the Mead text. Not surprisingly, topic knowledge did not influence the correction of spelling errors. 4. Instruction to Develop Linguistic Skills The causal relationship between linguistic skills and writing outcomes has been explored in several instructional studies, albeit indirectly. In a series of studies McCutchen and colleagues worked to deepen teachers’ linguistic knowledge and then examined effects on the writing of their students (McCutchen, Abbott, et al., 2002; McCutchen & Berninger, 1999; McCutchen, Green, Abbott, & Sanders, 2009; McCutchen, Harry, et al., 2002). Although the importance of phonological awareness, morphological awareness and other metalinguistic skills has been discussed widely in the research literature (often more in relation to reading than writing), the concepts are not well understood by many classroom teachers, nor are their applications apparent in some classroom instruction. For example, teachers frequently teach the mnemonic ‘‘long vowels say their names’’ in English. McCutchen and Berninger (1999) observed a teacher telling students that cute, prune, and tube all contain ‘‘long u,’’ an assertion that is not linguistically accurate according to the ‘‘says its name’’ rule. The internal sounds in cute and tube are indeed close, but not identical; in both prune and tube (at least in most American dialects), the letter u does not in fact ‘‘say its name.’’ (Readers who are not convinced are asked to compare the initial phonemes they hear in use and ooze.) To help teachers avoid such confusion, the research team worked over the course of several years with multiple cohorts of elementary school teachers, helping them develop knowledge of structural aspects of spoken and written English. The teachers’ professional development emphasized the importance of developing students’ knowledge of letters (i.e., orthographic awareness), including their ability to transcribe letters fluently as well as spell words accurately. Interventions with teachers also stressed the importance of children’s knowledge of discourse genres in their writing development, as well as in their reading. Work with kindergarten and first-grade teachers (McCutchen, Abbott, et al., 2002) documented that kindergarten students in classrooms of intervention teachers showed increased transcription fluency at the end of the year (measured as fluency in writing letters legibly), compared to their peers in control classrooms. A more detailed examination of teachers’ classroom practices revealed that students of kindergarten teachers who spent more time on explicit phonological and orthographic activities 61 | JOURNAL OF WRITING RESEARCH showed increased transcription fluency, as well as increased phonological awareness and word reading skill (McCutchen, Abbott et al., 2002). In addition, first-grade students in intervention classrooms also showed increased spelling skill and composition fluency (measured as longer written narratives), as well as increased reading gains (McCutchen, Abbott et al., 2002). A second study (McCutchen et al., 2009) involved teachers of grades three, four, and five. Compared with their peers in control classrooms, lower performing students in intervention classrooms showed significantly higher levels of performance at year end on all the writing measures, including spelling, writing fluency, and composition quality, as well as higher performance in word reading, comprehension, and vocabulary. In addition, the measure of teacher’s linguistic knowledge was positively related to improved student achievement in spelling and composition quality. Additional analyses indicated that the literacy gains in intervention classrooms generalized to all students, not just the lower-performing students, although with smaller effect sizes. Thus, interventions with teachers across the elementary school year have documented that students’ writing skills improved when their teachers had more literacy-relevant linguistic knowledge to inform their practice (McCutchen, Abbott et al., 2002; McCutchen et al., 2009). Such informed practice presumably deepened students’ own linguistic knowledge (however implicit) and benefited their related writing skills. 5. Transition from Novice to Expert A theory of writing development should entail a principled account of how the novice writer gains expertise and should include an explanation of how multiple sources of knowledge, stored in long-term memory, are coordinated and used in various writing processes, all within the limits of a constrained working memory. The current argument, based on the evidence surveyed in the prior pages, is that writing expertise depends on the development of two necessary (but not sufficient) components: fluent language generation processes (see also Alamargot & Fayol, 2009) and extensive knowledge relevant to writing (e.g., topic knowledge, genre knowledge). (See Figure 1.) Fluent language generation processes enable the developing writer to begin to manage the constraints imposed by working memory. The addition of extensive writing-relevant knowledge allows the writer to move beyond the constraints of working memory (as traditionally defined) and take advantage of long-term memory resources by relying instead on long-term working memory (Ericsson & Kintsch, 1995; see also Kellogg, 2001 for a discussion of LTWM in writing). The construct of long-term working memory (LTWM) was articulated by Ericsson and Kintsch (1995) to account for the kinds of extensive reasoning and knowledge application that characterize expertise in real-world cognitive tasks such as chess, medical diagnosis and comprehension (Kintsch, 1998). Theoretically LTWM contains MCCUTCHEN  FROM NOVICE TO EXPERT | 62 not only the limited number of elements activated in working memory as traditionally defined (what Ericsson and Kintsch called short-term working memory, or STWM), but also retrieval structures that link items activated in STWM to related elements in long- term memory. The items already activated within the capacity-limited STWM then function as retrieval cues for those parts of long-term memory to which they relate. Thus, the information available in LTWM is of two types: those items activated in STWM and those items in long-term memory that can be reached via the retrieval structures. Such long-term memory elements are not actually stored within working memory, but they can be quickly retrieved when needed (in about 400 ms, as estimated by Ericsson & Kintsch, 1995). Unlike STWM, which has strict capacity limitations (Baddeley, 1986), the capacity of LTWM is limited only by the nature of the processes that build retrieval structures and by the extent of knowledge in long-term memory to which those structures connect. Kintsch (1998) argued that, in the case of comprehension, effective retrieval structures result from knowledge that is ‘‘strong, stable, well practiced, and automated, so that it can be employed for encoding without additional resource demands’’ (Kintsch, 1998, p. 242) and from encoding processes that are rapid and reliable. Such encoding processes are specific to particular knowledge domains. In the case of comprehension, Kintsch’s (1998) primary focus, these encoding processes are the normal processes of skilled comprehension (e.g., word recognition, syntactic parsing). According to Kintsch’s account of LTWM in skilled comprehension, a coherent text representation develops within LTWM, entailing information stored in episodic memory of the text being read as well as relevant information retrieved from long-term memory. Retrieval structures (capitalizing on knowledge of topic and text structures in long-term memory) provide ready access to previous text representations, as well as knowledge stored in long-term memory, and link them to text elements currently being processed (see also, Kintsch, Patel, & Ericsson, 1999). In the case of writing, LTWM resources allow the skilled writer to compose new text in the context of easy access to: a) sections of previously written text in episodic text memory, and b) relevant information from long-term memory, such as extensive vocabulary and nuanced knowledge of genre, audience, etc. To illustrate, Figure 2 depicts a portion of the wine columnist’s protocol (presented previously in Table 1) mapped on to a schematic of the network of knowledge momentarily activated in LTWM. The nodes in Figure 2 depicted as squares represent information active in episodic text memory; nodes depicted as circles represent information in long-term memory. The color saturation reflects the level of activation: Black nodes are those that would be active within working memory (as discussed by Baddeley, 1986); grey nodes are those retrieved and activated within LTWM; white nodes are inactive. As illustrated in Figure 2, active within traditional working memory (STWM) are the gist of the sentence just written (80% of Latour vineyards contain cabernet sauvignon grapes) and potential phrasings for the current sentence, drawn from the protocol (‘‘This is the grape used in the hardest’’ which is edited and replaced by ‘‘This is the grape that 63 | JOURNAL OF WRITING RESEARCH provides backbone’’). Access to the resources of LTWM enables the writer to expand ‘‘activated knowledge’’ to include more of the previous text from episodic memory (represented in shaded ellipses) as the lexicon in long-term memory is probed for more appropriate lexical items (represented in non-shaded ellipses). It is the interplay between the lexicon and an expanded view of the prior text, including repeated references to the longevity of Latour wines, that eventually enables the writer to invoke the concept of ‘‘hard’’ and ultimately reject it in favor of a more metaphorical reference to ‘‘backbone.’’ Figure 2: LTWM during skilled writing (adapted from Kintch, Patel, & Ericsson, 1999). In the account of writing development sketched here, emerging fluency in language generation processes enables developing writers to begin to manage constraints imposed by working memory, as traditionally defined (Baddeley, 1986). However, without considerable fluency in text production and without extensive writing-relevant knowledge, novice writers remain limited by working memory capacity. Within such constraints, writing strategies such as knowledge telling may well serve an adaptive function. Because knowledge telling merges content retrieval with text generation, it gets the job done for developing writers in many writing situations. However, once language production processes become sufficiently fluent and knowledge bases sufficiently rich, writers can transcend the limits of working memory and capitalize on LTWM. Like beginning writers, skilled writers use working memory resources to construct the sentences that make up their texts. However, fluent sentence generation processes, combined with rich writing-relevant knowledge bases, enable skilled writers to link developing sentences to extensive knowledge stored in long-term MCCUTCHEN  FROM NOVICE TO EXPERT | 64 memory. Sentence constructions (including interactions among semantic intent, word choice, and syntax) can therefore be influenced by earlier text choices (stored in a text representation in long-term memory), by structural constraints for the chosen genre, by knowledge about a specific audience, by knowledge about the topic, etc. However, access to and coordination of these multiple sources of knowledge become possible only when processing shifts from STWM to LTWM. The present portrait of how LTWM might contribute to writing expertise has been painted in only the broadest of strokes. Empirical research continues to provide relevant empirical evidence that will ultimately support or refute the theoretical claims sketched here. However, the considerable evidence reviewed here is, at minimum, consistent with such a theoretical account. Author’s Note This article is based on the keynote address given September 9, 2010, in Heidelberg at the biannual Writing Conference, sponsored by the European Association for Research on Learning and Instruction, Special Interest Group on Writing. The author thanks Joachim Grabowski and two anonymous reviewers for helpful suggestions on the manuscript. References Alamargot, D., & Fayol, M. (2009). Modeling the development of written transcription. In R. Beard, D. Myhill, M. Nystrand, & J. Riley (Eds.), Handbook of writing development (pp. 23- 47). London: Sage. doi: 10.4135/9780857021069.n3 Alamargot, D., Lambert, E., Thebault, C., & Dansac, C. (2007). Text composition by deaf and hearing middle-school students: The role of working memory. Reading and Writing: An Interdisciplinary Journal, 20, 333-360. doi: 10.1007/s11145-006-9033-y Alamargot, D., Plane, S., Lambert, E., & Chenet, D. (2010). 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work_mu6epw4zb5cxlmcpgbhxhsebei	----	142Indian Journal of Dental Research, 24(1), 2013 Atypical oral manifestations in secondary syphilis Puneeta Vohra Singh, Ranjit Patil1 Received : 09-11-09 Review completed : 01-07-10 Accepted : 16-09-10 ABSTRACT Sexually transmitted diseases (STDs) are posing a growing public health problem on a global and national scale. Syphilis is one of the common STD. The dentist is most likely to come across associated oral manifestation of the disease. This is a case report of 60‑year‑old male patient who presented with multiple erythmatous lesions with shallow ulcerations and crusted appearance on the lip, mimicking few mucocutaneous lesions of oral cavity. He gave history of sexual exposure;further work up revealed it to be a case of secondary syphilis. Key words: Oral manifestations, secondary syphilis, sexually transmitted diseases Departments of Oral Diagnosis, Medicine and Radiology, PDM Dental College and Research Institute, Bahadurgarh, Haryana, 1Department of Oral Medicine and Radiology, Faculty of Dental Sciences, King George Medical University, Lukhnow, Uttar Pradesh, India CASE REPORT A 60‑year‑old unmarried Indian male reported to the Department of Oral Diagnosis Medicine and Radiology with a chief complaint of bleeding from lips since 15 days. He also complained of fever, pain, weight loss, loss of appetite, weakness and numerous itchy erythematous lesions on hands, forearms, back and chest since 15 days. The patient gave past history of similar skin lesions 2 years back, which subsided after the treatment. The patient also gave history of unprotected sexual contacts with multiple commercial sex workers. On general examination, the patient was weak, cachexic, poorly nourished, thin built with normal posture and gait. Extraoral examination revealed excoriating skin lesions seen on both hands, lower forearms, forehead, chest and large healed lesion with a scar formation on lower back region [Figure 1]. On intraoral examination, there were multiple erythematous lesions with shallow ulceration on lower lip and hemorrhagic crusted appearance on right side of lower lip. A hemorrhagic lesion on hard palate, along with melanin pigmentation on dorsal surface of tongue and buccal mucosa was also noticed [Figure 2]. Based on this atypical picture, we came to differential diagnosis of pemphigus, erythema multiforme, benign mucous membrane pemphigoid, HIV associated lesions and syphilis. The patient was advised blood investigations including complete blood count, protein electrophoresis, antinuclear antibody test, Venereal Disease Research Laboratory (VDRL) test, enzyme‑linked immunosorbent assay (ELISA) Address for correspondence: Dr. Puneeta Vohra Singh E‑mail: drpuneeta_mithi@yahoo.co.in Access this article online Quick Response Code: Website: www.ijdr.in PMID: *** DOI: 10.4103/0970-9290.114928 Syphilis is a chronic infectious sexually transmitted disease (STD), caused by the spirochete Treponema Pallidum, first recognized in Europe in 1490s, and has been related to the return of Christopher Columbus. At that time, syphilis was an acute disease that caused destructive skin lesions and early death; but, since then, it has become milder, with a more protracted and insidious clinical course due to widespread use of antibiotics. In the past three decades, there has been widespread upsurge due to pandemic of Human Immunodeficiency Virus (HIV). As per World Health Organization reports, more than 12 million new cases of venereal syphilis occur every year, affecting 6.4 million people in Asia Pacific regions and more than 90% of them in developing countries. Syphilis has florid features sometimes, but there may be marked periods of latency in others. The presence of oral manifestations may be a feature of all stages of syphilis and often may be its first clinical manifestation as there is a renaissance of old disease with oral implications.[1,2] This is a case report of atypical oral manifestation of secondary syphilis. shOrt cOmmunicatiOn [Downloaded free from http://www.ijdr.in on Monday, July 15, 2013, IP: 125.16.60.178]  ||  Click here to download free Android application for this journal nitins Rectangle https://market.android.com/details?id=comm.app.medknow Atypical oral manifestations in secondary syphilis Singh and Patil Indian Journal of Dental Research, 24(1), 2013143 for HIV and HBsAg antigen for Hepatitis B, biopsy with direct immunoflourescence (DIF) and dark field microscopy [Figure 3]. All the tests were found to be normal; DIF was negative as only lymphocytes and plasmocytes with endothelial swelling were visible; VDRL was seen to be reactive with high titer of 1:64 and spirochetes were visible in dark field microscope. Thus, on the basis of personal history, clinical manifestation and positive VDRL test and biopsy from lesion site, final diagnosis of secondary syphilis was made. Other more specific investigations like Treponema Pallidum Hemagglutination Assay (TPHA) and Treponema Pallidum Particle‑Agglutination Test (TPPA) were not done due to nonavailability and financial constraints. The patient was treated with 2.4 MU benzathine penicillin every week for 1 month. He was also given betamethasone 4 mg IM each week for 2 weeks to avoid Jarisch‑Herxheimer reaction. All the lesions healed completely after 1 month of medication, with no reoccurrence after 3 months of follow‑up [Figure 4]. VDRL test was repeated and the titer decreased to 1:32. Patient was counseled and advised to be on regular follow‑up after every 3 months. DISCUSSION Syphilis is a STD caused by T. pallidum infection and manifests with skin, mucous membrane, and systemic lesions. Data from around the world indicate an increasing prevalence of STDs. Another alarming situation in the context of syphilis is that its manifestations are also being bizarre or atypical. This wide array of manifestations has given syphilis the reputation as a great imitator. In the last 20 years, there has been a gradual increase in new cases of syphilis.[3] There are four stages of occurrence of acquired syphilis in which primary syphilis typically presents as a solitary, painless chancre, whereas secondary syphilis can have a wide variety of symptoms, especially fever, lymphadenopathy, rash and genital or perineal condyloma latum; all clinical manifestations subside and infection is apparent only on serologic testing. Figure 1: Excoriating scaly skin lesions on lower forearms Figure 2: Multiple erythematous lesions with shallow healed ulcerations and hemorrhagic crusted appearance on lower lip Figure 3: DIF showing dense inflammatory infiltrate composed of lymphocytes and plasmocytes with endothelial cell swelling Figure 4: Post‑treatment photograph of patient after 1 month of medication [Downloaded free from http://www.ijdr.in on Monday, July 15, 2013, IP: 125.16.60.178]  ||  Click here to download free Android application for this journal https://market.android.com/details?id=comm.app.medknow Atypical oral manifestations in secondary syphilis Singh and Patil 144Indian Journal of Dental Research, 24(1), 2013 Late or tertiary syphilis can manifest years after infection as gummatous disease, cardiovascular disease, or central nervous system involvement which can be finally manifested as neurosyphilis a final or quaternary stage of disease. The eruption of secondary syphilis has certain characteristics which help to identify and distinguish it from other lesions. Typical mucous membrane lesions tend to be oval, serpiginous, raised erosions or ulcers with an erythematosus border. There is an overlying gray or silver membrane. Sometimes, these lesions can appear as leukokeratosis and involve the tongue, the mucosal lip, or the palate. Usually, the spirochetemia of secondary syphilis is associated with systemic symptoms and a cutaneous eruption; rarely, there may be spirochetemia without cutaneous manifestations. The oral cavity is the most common extragenital site of infection, although isolated oral ulcerations in secondary syphilis are unusual.[3] In fact, there are only a few reports of secondary syphilis presenting with isolated oral lesions.[4] In contrast with oral lesions of primary syphilis, which tend to be solitary, painless, indurated ulcers, oral lesions of secondary syphilis are typically painful and multiple. They are usually accompanied by a concomitant cutaneous eruption.[5,6] The differential diagnosis of oral lesions of secondary syphilis includes erythema multiforme, stomatitis, pemphigus, lichen, candidiasis, oral gonorrhea, and other STDs.[7‑9] We present this case because of the rare presentation of localized oral lesions of secondary syphilis for 15 days with the absence of skin lesions. There are only a few reports of secondary syphilis presenting with only isolated oral lesions. Moreover, we emphasize the atypical oral involvement. Presence of atypical oral ulcerations should raise the needle of suspicion toward underlying STDs especially in high‑risk group individuals. The diagnosis of syphilis may involve VDRL, dark field microscopy of skin lesions/mucosal lesions and non‑treponemal Rapid Plasma Reagin (RPR) test as screening tests and confirmation with a treponemal‑specific test Flourescent Treponemal Antibody Absorbed Assay (FTA‑ ABS) and TPHA.[10] Parenterally administered penicillin G is considered as the first‑line therapy for all stages of syphilis. Alternative regimens for nonpregnant patients with no evidence of central nervous system involvement include Doxycycline, Tetracycline, Ceftriaxone, and azithromycin.[11] CONCLUSION Establishing a diagnosis of syphilis, whatever the stage of the disease, can be difficult because syphilis is a great mimic in clinical morphology and histology. Many patients infected with venereal diseases have oral manifestations, but very few dentists and physicians have the proper experience to diagnose syphilis or other STDs from oral lesions. Atypical oral lesions in high‑risk group people should raise suspicion toward infectious transmissible diseases. Early diagnosis of such cases reduces the morbidity and also prevents further transmission of the disease. In recent years, the secondary syphilitic lesions found in oral cavity have been noted as often atypical due to inadequate treatment as a result of antibiotic therapy for unrelated infections and increasing trend of association of syphilis with HIV infection. Attention should be paid to all suspicious lesions and stress on the seriousness of these illnesses to prevent pandemic of STDs by early diagnosis, education and referral. ACKNOWLEDGEMENT We are grateful to Department of Oral Diagnosis, Medicine and Radiology, K.M Shah Dental College and Hospital and Department of Skin And Veneral Diseases Dheeraj general hospital of Sumandeep university Vadodara, Gujarat for their co‑operation. REFERENCES 1. Little JW. Syphilis: An update. Oral Surg Oral Med Oral Pathol Oral Radiol Endod 2005;100:3‑9. 2. Scott CM, Flint SR. Oral syphilis‑re‑emergence of an old disease with oral manifestations. Int J Oral Maxillofac Surg 2005;34:58‑63. 3. Junkins‑Hopkins JM. Multiple painful oral ulcerations. Secondary syphilis. Arch Fam Med 1996;5:379‑80. 4. Aquilina C, Viraben R, Denis P. Secondary syphilis simulating oral hairy leukoplakia. J Am Acad Dermatol 2003;49:749‑51. 5. Mani NJ. Secondary syphilis initially diagnosed from oral lesions. Report of three cases. Oral Surg Oral Med Oral Pathol 1984;58:47‑50. 6. Kumar B, Gupta S, Muralidhar S. Mucocutaneous manifestations of secondary syphilis in north Indian patients: A changing scenario? J Dermatol 2001;28:137‑44. 7. Schimizu T, Shinogi J, Majima Y, Sakakura Y. Secondary syphilis of the tonsil. Arch Otorhinolaryngol 1989;2:117‑20. 8. Fiumara NJ, Grande DJ, Giunta JL. Papular secondary syphilis of the tongue. Report of a case. Oral Surg Oral Med Oral Pathol 1978;45:540‑2. 9. Mani NJ. Secondary syphilis initially diagnosed from oral lesions. Report of three cases. Oral Surg Oral Med OralPathol 1984;58:47‑50. 10. Kar HK. Incidence of secondary syphilis on rise and need for a separate flow chart for its syndromic management. Indian J Sex Transm Dis 2004;25:22‑5. 11. Brown DL, Frank JE. Diagnosis and management of syphilis. Am Fam Physician 2003;68:283‑90. How to cite this article: Singh PV, Patil R. Atypical oral manifestations in secondary syphilis. Indian J Dent Res 2013;24:142-4. Source of Support: Nil, Conflict of Interest: None declared. [Downloaded free from http://www.ijdr.in on Monday, July 15, 2013, IP: 125.16.60.178]  ||  Click here to download free Android application for this journal https://market.android.com/details?id=comm.app.medknow 
work_mvxsxnkaebdbbonmpulilorsou	----	untitled 1 The Cambridge Journal of Postcolonial Literary Inquiry, 3(1), pp 1–9 January 2016. © Cambridge University Press, 2015 doi:10.1017/pli.2015.32 Introduction: Jewish Studies and Postcolonialism Willi Goetschel and Ato Quayson University of Toronto The introduction to this special issue makes the case for seeing Jewish studies and postcolonialism as part of a historical constellation that has mutual filiations and genealogies in the two fields. It calls for the imperative to see the world’s problems historically but also through the mutually illuminating perspectives of the two fields. Keywords: critical constellation, Jewish studies, postcolonial studies, refugees, slavery, pedagogy, colonialism If what is past is prologue, as Antonio would have it in Shakespeare’s The Tempest, then history is a manual with which to anticipate and perhaps avoid its more tragic pitfalls. The metaphor of a tempest seems entirely appropriate for describing our contemporary moment. As we write, hundreds of thousands of despairing refugees from Syria, Afghanistan, the Mediterranean, and Africa have arrived at the gates of Europe, straining to get in. The media debates on nomenclature, on whether these are refugees, asylum seekers, or migrants, only obscure the essential question of precarity under which these people have embarked on their quest for safe haven away from the cauldron of war and economic collapse. They also obscure the fact that the arriving refugees to Europe’s shores represent just a fraction of the world’s displaced persons, whose number stands at some 42,876,582 according to the UNHCR’s Protecting Refugees Report. Most commentators peg the number in 2015 at closer to 60 million. In the specific case of Syria, 12 million people have been internally and externally displaced since their civil war started in 2011. Of this, a staggering 4 million are refugees in neighboring Turkey and Lebanon, and only 250,000 of these have Willi Goetschel is a professor of German and philosophy at the University of Toronto. He is the author of The Discipline of Philosophy and the Invention of Modern Jewish Thought (New York: Fordham University Press, 2012), Spinoza’s Modernity: Mendelssohn, Lessing, and Heine (Madison: University of Wisconsin Press, 2004), and Constituting Critique: Kant’s Writing as Critical Praxis, translated by Eric Schwab (Durham, NC: Duke University Press, 1994). He is the editor of the collected works by Hermann Levin Goldschmidt in nine volumes (Vienna: Passagen, 1993–2014), the executive editor of The Germanic Review, and the general editor of Bamidbar: Journal for Jewish Thought and Philosophy. Ato Quayson is a professor of English and the director of the Centre for Diaspora and transnational studies at the University of Toronto. His most recent publications include: editor of The Cambridge History of Postcolonial Literature, two volumes (2012); editor with Girish Daswani of Companion to Diaspora and Transnationalism (2013); and Oxford Street: City Life and the Itineraries of Transnation- alism (2014). He is the editor of the Cambridge Journal of Postcolonial Literary Inquiry. at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available http://crossmark.crossref.org/dialog/?doi=10.1017/pli.2015.32&domain=pdf http://crossmark.crossref.org/dialog/?doi=10.1017/pli.2015.32&domain=pdf https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core applied for asylum in Europe as of August 2015.1 This represents just 2 percent of the displaced population from Syria. Europeans have responded with a range of conflicting reactions to the overall refugee crisis. As Slavoj Zizek notes, their reactions are strikingly similar to the sequence that people display when they learn of a terminal illness: first denial, then anger, then bargaining, and only lastly acceptance.2 But in the case of Europe, the acceptance phase has yet to be fully embraced and is currently the subject of intense negotiations. Dublin I, II, and III, as well as the entire Schengen apparatus that allows free movement within Europe for members of the European Union is now under intense pressure. For observers of these tragic events from the conjuncture of Jewish studies and postcolonialism, however, the scenes of today’s refugee crisis and the debates around them recall another traumatic moment of recent world history. Scenes like the ones we see in the media today were routinely reported for Jewish refugees fleeing the ravages of Europe between the two world wars and after. The debates about how to deal with them were as confused and intense as what we hear today. As Michael Marrus notes in The Unwanted, his wide-ranging book on European refugee crises of the twentieth century: Best known are the refugee crises wrought by fascism, especially that caused by the Nazi persecution and expulsion of Jews from Central Europe. Here we meet the peculiar characteristic of the refugees in the twentieth century—the fact that they have nowhere to go. Awkward, confused, powerless, and often utterly demoralized—these refugees presented the international community with the by-now stock figure of the unwanted suppliant. Although Europeans spawned a variety of agencies and proposed a series of expedients to deal with the refugees, many continued to wander, homeless and rejected. Many more never even became refugees, for by refusing to receive some who had escaped, Western European countries effectively denied to others the possibility to leave.3 While the expulsion and displacement of European Jews in the twentieth century might be taken as providing historical analogues for many experiences of today’s refugees, to focus on the twentieth century is necessarily to single out the Shoah as the connecting point for Jewish and postcolonial studies. It also means enshrining a traumatic historical event and its numerous consequences, that is to say, to privilege a particular hindsight vision that is not just problematic because of its often- exclusionary approach but also because it assimilates the past as if it were the prologue to a tragedy on which the curtain has already fallen for good. Just as in so many prologues that preceded the various colonial regimes to which millions of men, women, and children were cast as supernumeraries in countless tragedies, we are reminded today that history is not what is past but what we make of it. If the current situation of “a world on fire,” as Mufti puts it in his interview for this issue, brings 1 An excellent breakdown of the nature of the Syrian refugee crisis is provided by Professor Hans Rosling in a short but well-structured video. See www.facebook.com/gapminder.org/videos/ 1014061668628791/?pnref=story; last accessed on September 10, 2015. 2 Slavoj Zizek, “The Non-Existence of Norway,” London Review of Books Online, September 9, 2015; www.lrb.co.uk/2015/09/09/slavoj-zizek/the-non-existence-of-norway; last accessed October 5, 2015. 3 Michael R. Marrus, The Unwanted: European Refugees from the First World War through the Cold War (Philadelphia: Temple University Press), 10. 2 WILLI GOETSCHEL AND ATO QUAYSON at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available www.facebook.com/gapminder.org/videos/1014061668628791/?pnref=story www.facebook.com/gapminder.org/videos/1014061668628791/?pnref=story www.lrb.co.uk/2015�/�09/09/slavoj-zizek/the-non-existence-of-norway https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core home the profound affinity between Jewish and postcolonial conditions in a striking manner, this affinity is an invitation to look beyond the stage-setting and to examine the deeper structural moments that connect Jewish and postcolonial conditions beyond their victimhood. This special issue explores a steadily emerging interest in rethinking the relationship between Jewish and postcolonial studies beyond the timeworn optics that would reduce Jewish and other postcolonial subjects to the mere status of victims. Although the imperative to contemplate history should not be forgotten, this contemplation can remain viable only if reconsidered in the larger context of a more comprehensive imperative to remember “in difference,” in other words, with the commitment to attend to the different singularities each case presents. Frantz Fanon noted in A Dying Colonialism that three-quarters of Algerian Jewry acted as the “eyes and ears of the Revolution,” thus firmly bringing together “diasporic Jewry and the history of anti-Semitism with the colonial struggle and anti-Black Racism” and suggesting that all oppression must generate common cause rather than the atomization of oppressed communities along race and ethnic lines.4 Similarly, in his first plea for the emancipation of the Jews in 1782, Moses Mendelssohn noted the claim for Jewish emancipation and the struggle for human rights as mutually constitutive: “It will be our good fortune if this cause also becomes our own, assuming that we cannot urge the rights of mankind without simultaneously reclaiming our own.”5 Jewish studies has received new impulses from postcolonial critique just as postcolonial discourse has found inspiration in the work and thought of Jewish critics and intellectuals. But rather than the assimilation of paradigms from each other’s discourse, we need to gain a better understanding of their interface. The contributions to this issue make a concerted effort at exploring the interplay between the two fields by way of making literary, cultural, and historical interaction legible as illuminating instantiations of an emerging constellation. If the case studies this issue brings together are just the beginning of addressing a desideratum that we deem no less necessary for Jewish studies as it is for the continuing dynamic evolution of the field of postcolonial studies, the agenda that unites both fields is a fuller and more critical grasp of their mutual relevance for each other. Rather than aligning Jewish studies and postcolonial studies via some streamlined and homogeneous form of alterity, we see the critical engagement of the two fields with each other as a timely opportunity for reimagining their critical reciprocity. We can no longer afford to theorize modernity, the politics of religion and secularization and their conflation under the flag of the “return of religion,” and the magic spell of postmodernist self-fashioning in a world saturated by social media without paying critical attention to the ways in which Jewish and postcolonial experience has been assimilated to various discourses. Edward Said, one of the founding spirits of postcolonial analysis, famously made Palestine a central touchstone of postcolonial critique. But, as Michael Rothberg reminds us in Multidirectional Memory, memory need not be competitive in asking 4 Bryan Cheyette, “Frantz Fanon and the Black-Jewish Imaginary,” Frantz Fanon’s Black Skin White Masks: New Interdisciplinary Essays, ed. Max Silverman (Manchester University Press 2005), 74. 5 Moses Mendelssohn, preface to Manasseh Ben Israel’s Vindication of the Jews, in Writings on Judaism, Christianity, and the Bible, ed. Michah Gottlieb, trans. Curtis Bowman, Elias Sacks, and Allan Arkush (Waltham, MA.: Brandeis University Press, 2011), 39–52, esp. 40. INTRODUCTION: JEWISH STUDIES AND POSTCOLONIALISM 3 at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core who has suffered most.6 Rather, memory is multidirectional. Opening up memory in this way allows us to think of the Shoah and the Nakba side by side in order to allow them to illuminate each other. And although Edward Said drew great inspiration from Erich Auerbach, Hannah Arendt, and Theodor W. Adorno, David and Jonathan Boyarin invoke Paul Gilroy in their theorizing of the modern Jewish diaspora.7 At the same time, it is not unusual for Jewish philosophers and authors such as Adorno, Jacques Derrida, and Hélène Cixous to be discussed in postcolonial studies, typically not as Jews but as thinkers and philosophers that seem to lack any particular affiliation. This is despite the fact that for thinkers like Derrida and Cixous their work is profoundly informed by joint Jewish and postcolonial experiences, whereas critical theory’s links to Jewish thought is difficult to ignore.8 And yet the history of modern colonialism and the Jewish experience in Europe are deeply intertwined. The year 1492, in which Christopher Columbus claimed to have discovered America, has come to be widely taken in postcolonial studies as the moment of origin of much contestation and colonial discourse analysis. But this historical event was accompanied in the same year by the expulsion of Jews from Spain and in the wake of this decision from Portugal as well. The wealth and properties seized from those that resisted conversion were used to finance the subsequent exploration and colonization of the New World. But colonization is not something that happens only away from home. Colonies are not always to be found outside the borders of a state. Often internal colonization of lands and populations represents the corollary to the operation of empire. Ideologically, administratively, and politically linked, it is only when we attend to both sides of the manifestation of empire abroad as well as at home that we reach a fuller grasp of the intertwined modes of colonialism. As Ato Quayson notes in his comparative paper for this issue, the distinction between extraverted and intraverted colonialism highlights the deep structural similarities between colonial rule in Africa, Asia, Latin America, and other parts of the world and the internal marginalization of Jews in eastern Europe during the long nineteenth century. A comparative perspective on extraverted and intraverted colonialisms also enables a view that reaches beyond the theater of nineteenth- and twentieth-century forms of rule and makes newly legible constellations that—outside of a comparative approach—have remained obscured. Thus, it is important to note that the first programmatic call for Jewish emancipation made by Moses Mendelssohn emphasized the link between the particular interests of Jews and the universal interests of humanity. The realization of Jewish emancipation had to be part of the universal liberation from oppression and disenfranchisement, and as the quote cited previously illustrates, was addressed to the plight of Jews in Europe as “indigenous colonists” 6 Michael Rothberg, Multidirectional Memory: Remembering the Holocaust in the Age of Decolonization (Stanford, CA: Stanford University Press). 7 Jonathan and Daniel Boyarin, Powers of Diaspora: Two Essays on the Relevance of Jewish Culture, (Minneapolis, MN: University of Minnesota Press, 2002); Paul Gilroy, The Black Atlantic: Modernity and Double Consciousness, (Harvard, MA: Harvard University Press, 1995). 8 For a good recent discussion of the joint Jewish and postcolonial sources of Derrida and Cixous work, see Birgit Kaiser “Algerian Disorders: On Deconstructive Postcolonialism in Cixous and Derrida,” The Cambridge Journal of Postcolonial Literary Inquiry, 2.2 (2014): 191–211. For recent work concerning the Frankfurt School’s Critical Theory relation to Jewish thought see the two theme issues of Bamidbar: Journal for Jewish Thought and Philosophy 1 (2013) and 2 (2014). 4 WILLI GOETSCHEL AND ATO QUAYSON at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core (i.e., indigenously colonized).9 Worse than just being second-class citizens, being considered as an internal colony Jews were subject to a legal regime that Mendelssohn suggested would upon closer examination fundamentally jar with the legal discourses of the colonizing “mother nation” itself. For Mendelssohn, the notion of indigenous colonists critically exposes the problematic foundation of the rule of law based on the model of colonialism, an issue that required correction. This was not just in terms of the emancipation of Jews and other oppressed minorities but because the existence of any sort of colony that would be run on principles incompatible with those applied to the elites of the mother nation could only undermine the very foundation of that mother nation in the first place.10 Although the notion of indigenous colonists sheds critical light on the variegated projects of colonialism, the term at the same time undermines any sort of claims to priority of rule or ownership in the indigenous colony as well as within the mother nation. Casting Jews as an internal colony was a way the discourse of the emergent nation- state approached what would in the nineteenth century be called the Jewish Question, the question of what to do with the Jews in the face of the homogenizing pressures of modern nation-state formation. While in Europe Jews occupied a relatively stable out- sider position up to the end of the Middle Ages, their status changed with the emergence of the modern nation-state. Understood in diasporic, religious, national, racial, or ethnic terms, the Jewish Question changed with the context in which it was posed. For Edmund Burke the Jews were a metonymic placeholder for the Jacobins, and for Thomas Carlyle Jews and Africans were equally disqualified from holding any sort of public office, while Macaulay argues that Jews should be allowed to be citizens because Catholics have shown they can be Englishmen and Protestants (Huguenots) can be Frenchmen. For him Jews can be “converted” into civilized people by tolerance. Neither Carlyle nor Macaulay admitted a distinction between differences based on religion and those based on race. On the other hand, political critics such as William Godwin correlated Irish with Jewish dispossession while Walter Scott compared the Jewish diaspora with the Scots’ lack of regional autonomy. For his part Lord Byron saw both Jews and Arab Muslims as romantic, nomadic, Oriental people. And in Daniel Deronda, George Eliot “copied the ending of her friend Harriet Beecher Stowe’s sentimental blockbuster, Uncle Tom’s Cabin, which she much admired.”11 A similar phenomenon to what Galchinsky notes as the “inalienability of discourses on Africans, Indians, and Arab Muslim from the Anglo-Jewish Question”12 can be observed with regard to the German-Jewish Question that undergoes a landmark shift in the 1780s when the discourse changes from the theologically infused distinction between Christian and Jewish to the notorious distinction between 9 Moses Mendelssohn, ibid. 10 See Willi Goetschel, “State, Sovereignty, and the Outside Within: Mendelssohn’s View from the ‘Jewish Colony,’ ” The Discipline of Philosophy and the Invention of Modern Jewish Thought (New York: Fordham University Press, 2013), 178–88. 11 Michael Galchinsky, “Africans, Indians, Arabs, and Scots: Jewish and Other Question in the Age of Empire,” Jewish Culture and History 6.1 (2009): 57. Our insights here draw predominantly on Michael Galchinksy’s illuminating discussion of the intersectional character of the Jewish Question in the nineteenth century. 12 Ibid. 47. INTRODUCTION: JEWISH STUDIES AND POSTCOLONIALISM 5 at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core Germans and Jews that lastingly rebrands Jews who had for more than a millennium settled in German lands as foreigners. From seminal figures of eighteenth-century German Orientalism as diverse as Johann David Michaelis, Johann Gottlieb Fichte, Bruno Bauer, Karl Marx, Richard Wagner, and Otto Weininger, the Jewish Question shifted from a theological to a social and political problem, and then eventually to a mix of sociopolitical and cultural concerns. The Jewish Question, in other words, served the changing needs of the time as a form of a shadow discourse to substitute for confronting the challenges that the various national agendas of the emerging nations of Europe were confronted with.13 While upon closer examination the Jewish Question thus turns out to be the question that drives Europe’s quest for the formation of its various national identities, this search for national selfhood was defined by an exclusionary logic that relegated the challenge that Jewish difference posed for the project of European nation building to the margins. In terms of the geopolitical imaginary, it exported the question to a Middle East invented as a central function of European Orientalism. The ironies of the construction of race as the bearer of difference are also to be seen from the internal differentiations among Jews themselves. The invention of the notion of the Mizrahi (or Arab Jews) is a case in point. Subsumed under a single category, the entire spread of Jewish identities from Africa’s far northwest with its Moroccan Jews to the Middle Eastern Jews of Iraq and Iran along with the Jews of the Levant including Palestine illustrates the problematic implications of the invention of Arab Jews versus European Jews. The colonial nomenclature is evidenced in the fact that a geographic notion (Mizrahi, the Hebrew word for Eastern lands) is converted into what ultimately boils down to a distinction between the global north and the global south. Such quasi-racial distinctions highlight the problem of Israel’s own internally colonized Jews that can only complicate the predicament of the Palestinians even more. Historically then the Jewish experience in modernity can be said to have provided fertile templates for understanding questions as varied as minoritarianism, diaspora, nostalgia, racialization, ethnicity, cultural difference, linguistic creolization, hybridity, and colonialism, all of which are central concerns in postcolonial studies. As Aamir Mufti notes in his interview with Ato Quayson for this issue, even the terms by which we might understand the discourse of Muslim minority status in India after Partition are best illuminated when set alongside the discourse on the minority status of Europe’s Jews during the Enlightenment. He restates in his interview some of the key insights of his book Enlightenment in the Colony, but expands them here for application to different postcolonial predicaments.14 To move from interpreting Jews as providing analogues to concepts in postcolonial studies to viewing them as actors in real history is also to shift into an identification of the ironies and contradictions of which they were both symptom and articulation. Natalie Zemon Davis’s paper for this issue, which weaves a rich and variegated background to the Jewish lifeworld in the era of colonization and slavery, poignantly captures this as well. We find in her nuanced description of Jewish slave 13 For the term shadow discourse see David Suchoff, Kafka’s Jewish Languages: The Hidden Openness of Tradition (Philadelphia, PA: University of Pennsylvania Press, 2012), 17. 14 Aamir Mufti, Enlightenment in the Colony: The Jewish Question and Crisis of Postcolonial Culture (Princeton, NJ: Princeton University Press, 2009). 6 WILLI GOETSCHEL AND ATO QUAYSON at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core ownership in the seventeenth century a number of vectors that become relevant for discussing the contradictions of Jewish historicity in a postcolonial vein. Davis’s paper depicts seventeenth-century Amsterdam as a world of dense interpersonal connections but not necessarily of interracial accommodations. Thus, on the one hand, David Nassy interacts, collaborates, or otherwise communicates with a variety of personages both Jewish and non-Jewish such as Isaac Aboab da Fonseca, Manasseh ben Israel, Oliver Cromwell, Joan Bleau. At times he launches strong arguments for the necessity of guaranteeing Jewish freedoms, while simultaneously being actively involved in the buying and selling of slaves and the establishment of the colony of Suriname, which came to be known in the period as Jerusalem in the savannah. Davis also sets the cosmopolitan character of seventeenth-century Amsterdam against a world in which populations are in transition and flux. Painted in the picture for us are much small-scale and large-scale movement. Population movement is as much due to the forced movement of African slaves as it is due to the clashes of European powers in what we must now understand as the collocation of trade and geopolitical considerations. Place names of great significance as the loci of such clashes include Pernambuco, Cayenne, and of course Suriname itself, where European powers clashed on the ownership and control of colonies and trade routes. The Dutch wrestle Pernambuco from the Portuguese and the Portuguese retake it from them; the Dutch oust the English from Suriname; and the French arrive in Cayenne to discomfit the English and force their departure. Each clash between European powers triggered further displacements for the Jewish communities as well as for other European colonialists in the same places. To be sure, the European population movements, both Jewish and otherwise that took place in the period are only a small fraction of the large-scale movement to the New World that steadily took place from the fifteenth through the nineteenth centuries.15 Slavery is the main source of intractable contradictions for the Jewish lifeworld in the period. In their celebration of Passover, slave-owning Jews continued to contemplate the captivity of their ancient progenitors, the struggle for freedom, and the necessity to always affirm and defend their own freedoms. It is partly a quest for the freedom to exercise their religion that motivated the Jews to colonize Suriname. And yet, as Davis shows us in the conclusion to her paper, the emblem of Jewish displacement that is at the core of the Passover prayer did not prevent Jews from robustly defending their right to own slaves. And from the other side, slaves were inducted into aspects of Jewish life such as circumcision, which many of them already practiced back in Angola and the Guinea Coast, and also the adoption of the Sabbath as their day of rest day as opposed the Christian Sunday of other slave plantations. If the Sabbath ensured that slaves on Jewish plantations enjoyed an extra rest day more than their counterparts on Christian plantations, this rest was only relative. For on such days their labor was required to facilitate the Sabbath observances of their slave masters.. And the desire for freedom was by no means the exclusive monopoly of Jews; 15 For more on world migrations and the impact these have had on postcolonial studies, see Ato Quayson, “Introduction: Postcolonial Studies in a Changing Historical Frame,” in The Cambridge History of Postcolonial Literature, ed. Ato Quayson, Vol. 1. (Cambridge: Cambridge University Press, 2012), 3–29, and “Africa and its Diverse Diasporas,” The Oxford Handbook to Postcolonial Studies, ed. Graham Huggan (Oxford: Oxford University Press, 2013), 628–47. INTRODUCTION: JEWISH STUDIES AND POSTCOLONIALISM 7 at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core their slaves often hungered for it, and in significant instances broke free to form their own rebel communities. What this tells us is that in the seventeenth century freedom (for the European or the Jew) could not be countenanced without slavery. As Willi Goetschel demonstrates in his discussion of Spinoza’s dream of a black Brazilian, the rich historical tapestry of the seventeenth century must also be understood as central to the inception of the modern philosophical subject. Although the dream has been discussed with regard to its significance for understanding the role of the imagination in Spinoza as well as the issues of freedom, slavery, and race, Goetschel addresses the specifically postcolonial juncture that is marked in Spinoza’s dream and the letter in which he writes about it. As he shows, Spinoza’s dream figures the philosopher’s awakening to the precarious status of the modern subject as the recognition of the constitutive significance of what we can now see as the peculiarly postcolonial social constellation behind the formation of modern consciousness. In the meantime, there was a thoroughly hybridized Caribbean-Jewish culture to emerge, reflected in modern literary representations of Jewish figures in writers as varied as Caryl Philips, Jamaica Kincaid, Maryse Conde, and David Dabydeen, the last in his intertextual engagement with his eye-opening re-examination of Hogarth’s plates being the particular subject of Sarah Casteel’s essay for this issue. Casteel makes eighteenth-century British representations of blacks and Jews newly legible from a productive postcolonial point of view. As she shows more broadly in her book Calypso Jews, the long presence of Jewish communities in the Caribbean also implies a different kind of historical entanglement, one that has to be taken alongside the Holocaust as defining the complexity of Jewish historicity for the region.16 Each of the papers in this special issue illuminates the intersections between Jewish studies and postcolonialism in new and enlivening ways. We have already noted the contributions of Natalie Zemon Davis, Willi Goetschel, and Sarah Casteel. Ato Quayson lays out the ground for a comparative postcolonialism of world literature by examining the work of Sholem Aleichem, the seminal Yiddish writer of the late-nineteenth and early-twentieth centuries, alongside that of Chinua Achebe, the equally renowned father of modern African literature. Despite all their obvious differences, the two authors’ fundamental commitment to modes of storytelling allows us to draw parallels and counterpoints between them. For in both works storytelling is shaped by the essential polysemy of orality (such as the collocation of proverbs, gnomic statements, and anecdotes as crucial aspects of the stories being told) as well as an orientation toward ritual. Marc Caplan, from whom Quayson draws broad inspiration for his own contribution, also turns to questions of comparison in world literature. Caplan explores parallels and contrasts between Samuel Beckett’s Murphy and Moyshe Kulbak’s Montog, particularly on the question of their choice of nothingness as a form of political action. The question is of clear political significance, which is well demonstrated in the discussion Caplan provides of the Yiddish and Irish writers, but it is the implications for a wider understanding of literary comparativism that Quayson and Caplan’s papers invite us to turn. What are the implications of comparing minor literatures in a postcolonial vein, especially, as in the case of 16 Sarah Philips Casteel, Calypso Jews: Jewishness in the Caribbean Literary Imagination (New York: Columbia University Press, 2015). 8 WILLI GOETSCHEL AND ATO QUAYSON at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core Beckett and Kulbak, or Sholem Aleichem and Chinua Achebe, the two literary traditions that have evolved with little reference to each other, and even in complete ignorance of the other’s existence? The answers to these questions also require a definition of comparative postcolonialisms for understanding world literary history from a decentred and minoritarian perspective. Nils Roemer for his part delves into diaspora theory in a new and significant way. The connection between flânerie and exile in the writings of Weimer visitors to Paris highlights a dimension of the flâneur rarely raised in discussions of Benjamin’s usage of the term. More importantly, these Jewish writers and thinkers adopted Paris as a counterpoint to German modernity. Roemer shows the imaginative uncoupling in the work of these Weimer visitors of cultural identity from the nation-space, something that came to be enacted in a more tragic register on behalf of Jews after 1933. Anna Shternshis’s explication de texte of Sholem Aleichem’s Adventures of Menakhem Mendl also picks up on the theme of the delinking of cultural identity from nation-space, but from a specifically pedagogical disposition. The largely negative reactions that Jewish-heritage students in her Jewish studies classes have to Sholem Aleichem’s iconic illustration of the luftmensch (“man of air”) contrasts sharply with those of students in her diaspora and transnational studies classes. The point of this contrast is that Menakhem Mendl’s relevance for Jews in the diaspora becomes residualized as they gain a greater sense of “territorial” integrity. Contrastively, for the students in her diaspora classes, the connection between identity and personal integrity (as in wholeness, not ethical uprightness) is still not quite secure. Thus, these students experience their identities as a form of territorial insecurity, something that makes Menakhem Mendl extremely relevant to them. Ironically, then, it appears that the less relevant to Jewish concerns this character has become, the more universal his significance for a reading that is informed by a more universal diasporic interest. On the other hand, it is precisely the specificity of the Jewish experience of modernity as Roemer shows us that solicits this more-universal interest. The universalism of Aleichem’s writing is rendered newly legible from a conjoined postcolonial and diasporic Jewish perspective. In conclusion, we would like to note with Chinua Achebe that if the world is like a mask dancing, you cannot see it by standing in one place. There are fertile implica- tions in this view for a collaborative perspective. Jewish studies needs postcolonial studies in order to develop its critical potential, and vice versa. There is a historical nexus between racism and antisemitism, between colonialism and European nation- alism, and between Jewish scriptural slavery and New World slavery (Africans in the New World sang of Exodus and Babylon). These are not mere historical facts that require our full critical attention; they also represent a constellation the grasp of whose genealogical filiations is imperative for fully understanding the critical role that Jewish studies and postcolonial studies continue to play in the world today. Part of the critical agenda of this theme issue is the exposure, critical examination, and renegotiation of the expectations and paradigms that define each field. As will hopefully be attested to in these pages, one’s particular project emerges in its critical specificity and clarity only by its juxtaposition to, and reflection in, another’s project. But beyond a sharpening of critical focus, we have also taken this collaboration as an invitation to dream together, to be inspired by one another, as well as to share our own inspiration. With the publication of this issue, we extend this invitation more broadly. INTRODUCTION: JEWISH STUDIES AND POSTCOLONIALISM 9 at https://www.cambridge.org/core/terms. https://doi.org/10.1017/pli.2015.32 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:21, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/pli.2015.32 https://www.cambridge.org/core Introduction: Jewish Studies and Postcolonialism 
work_mwmqcaq2njennesdmjoqspapmm	----	Not Haitian: Exploring the Roots of Dominican Identity $ € £ ¥ social sciences Article Not Haitian: Exploring the Roots of Dominican Identity Valerie Lamb 1 and Lauren Dundes 2,* 1 Department of Political Science, McDaniel College, 2 College Hill, Westminster, MD 21157, USA; vml002@mcdaniel.edu 2 Department of Sociology, McDaniel College, 2 College Hill, Westminster, MD 21157, USA * Correspondence: ldundes@mcdaniel.edu Received: 21 September 2017; Accepted: 27 October 2017; Published: 31 October 2017 Abstract: A literature review supplemented by interview data from a small sample of Haitian and Dominican immigrants living in Miami, Florida elucidates the complexities of Afrolatino-Dominican identity. The data include Dominican recollections of childhood warnings about threats posed by Haitians allegedly willing to cast spells and act as agents of punishment for misbehaving Dominican children. These data are consistent with antihaitianismo and the tendency for Dominicans to deny their African heritage in favor of their European Hispanic roots. The paper also explains how Dominicans’ ethnic flexibility in navigating “racialized” social space in the US is relevant to future census measurement of race and ethnicity. Keywords: Afrolatino; Dominicans; Haitians; race; racial identity; Census; antihaitianismo; Hispaniola; indio; colorism; immigrants 1. Introduction Racism is commonly part of daily life for the estimated 150 million Afrolatinos—individuals of African descent living in Latin America and the Caribbean (Lennox and Minott 2011). Ninety percent (90%) of Dominicans are Afrolatino, 1.5 million of whom live in the US, constituting the fifth-largest US Hispanic group (Brown and Patten 2013; López 2015). While one-quarter of US Hispanics are Afrolatino, the first nationally representative survey to measure this subgroup of US Hispanics was not implemented until 2014 (López and Gonzalez-Barrera 2016). In this paper, we explore factors relevant to Dominican Afrolatino identity by examining academic literature surrounding the fraught relationship between Dominicans and Haitians, the legacy of colorism promulgated in colonial Dominican Republic, as well as interview data from seven former residents of Hispaniola (three Haitians and four Dominicans) now living in the US. We also provide historical and cultural background that elucidates Dominican racial identity both in the Dominican Republic and the US to complement our exploratory interview data that document continuing friction between Dominicans and Haitians, in part due to Dominican identity derived partly in contradistinction to Haitians. 2. Essentialist versus Constructionist Models of Race Cultural factors that lead some to self-identify in a particular way, also referred to as situational identity, have been assessed using the Hispanic Origin Alternative Questionnaire Experiment focus groups (Compton et al. 2010, pp. 69–70). Acknowledgement that racial self-concept is a dynamic, negotiated status reveals a growing rejection of the Essentialist view of race as demarcating an already-constituted, coherent, socially or biologically homogeneous group (Barth 1969; Patten 2015). The contrasting Constructionist perspective of race as a fluid interplay of factors, including relativistic self-identification, provides an Soc. Sci. 2017, 6, 132; doi:10.3390/socsci6040132 www.mdpi.com/journal/socsci http://www.mdpi.com/journal/socsci http://www.mdpi.com http://dx.doi.org/10.3390/socsci6040132 http://www.mdpi.com/journal/socsci Soc. Sci. 2017, 6, 132 2 of 12 alternative point of view (Appiah 2015; Barth 1969; Roth 2012; Simmons 2008) relevant to understanding the role of Haitians in Dominicans’ racial identity. 3. The Demographic Rise and Conceptualization of Hispanics Between 1990 and 2013, the nation’s Hispanic population grew faster than any other racial or ethnic group. The 54 million US Hispanics comprise 17% of the US population and are projected to be 29% of the U.S. population by 2060 (Gonzalez-Barrera and López 2015). Dominicans are 0.6% of the US population, exceeded in Hispanic population only by Mexican Americans, stateside Puerto Ricans, Cuban Americans, and Salvadoran Americans (Brown and Patten 2013). The US Haitian population, 830,000 persons, is 0.3 percent of the total population, about half that of US Dominicans (Buchanan et al. 2010). 4. A Brief History of Hispaniola The Dominican Republic and Haiti are two sovereign West Indies nations that share the island of Hispaniola in the Greater Antilles, the second largest island in the Caribbean after Cuba, and the location of Christopher Columbus’ first European settlement in the Americas (1492–1493). Most of the native population, Arawak Taino, died due to exposure to new diseases. Between diseases and subsequent slavery of the remaining indigenous population, 95% of the original population was decimated (Gates 2011). In 1503, the Spanish brought African slaves to the island. The French also established a colony on Hispaniola that became official in 1665. By 1697, the island was divided between Spain and France when Spain ceded the western third of the island to France. In Haiti, a successful rebellion by freed slaves in 1804 resulted in the world’s first Black republic while the Dominican Republic became independent from Spain in 1821. The nature of Haiti’s revolution resulted in a US arms and goods embargo, driven in part by US fears of their own slave rebellion. Haiti’s financial woes were then exacerbated when France demanded high compensation for slaveholders deprived of their property. Shortly after its 1821 independence from Spain in 1822, the Dominican Republic was subject to an oppressive twenty-two year occupation by a cash-strapped Haiti which mandated French instead of Spanish, the confiscation of all church land and property, and heavy taxes. After the Dominicans gained their independence from Haiti in 1844, tensions remained high as they thwarted various attempted Haitian invasions over the next 12 years (Mayes 2014; Wucker 1999). Since the 1920s, when Haitians worked in the Dominican Republic’s prosperous sugar industry, the Dominican Republic has made significant financial gains, in part due to employing Haitian migrants at low wages, as Haiti maintains a dubious distinction of being the poorest country in the western hemisphere. An extended multi-generational underclass of as many as a million Haitians living in the Dominican Republic is of indeterminate nationality, without the same rights and privileges as Dominicans, and subject to periodic expulsions and repatriation to Haiti where they no longer have connections or opportunities (Roth 2012). The wide disparity in annual per capita income (US $1300 in Haiti and US $8200 in the Dominican Republic) continues to serve as an incentive for undocumented Haitians to seek work in the Dominican Republic, especially in the wake of the devastating 2010 Haitian earthquake that killed 100,000–160,000. Hurricane Matthew in October 2016 added to deficits in infrastructure and the need for humanitarian aid for hundreds of thousands of people (Ahmed 2016). Partly as a result of these kinds of events, Dominican resentment of Haitians has persisted (Dubois 2013). This raises questions about whether immigrants to the US from both countries have been able to distance themselves from these historically and culturally inculcated tensions. The answer lies largely in racial self-concept. 5. Indios Because most Dominicans identify as indio, the dichotomous Black-White split shows the inadequacy of an oversimplified concept of race. The word indio (Indian in Spanish) denotes the Taíno-Arawak pre-Columbian inhabitants of Hispaniola. Ironically, this indigenous population that Soc. Sci. 2017, 6, 132 3 of 12 occupied Hispaniola, where Christopher Columbus (and his brother, Bartholomew) established the first European settlement in the Americas in 1492 and 1493, were victims of Spanish genocide (see the story of Anacaona for a poignant account of the egregious treatment of the indigenous population (Oliver 2009)). Among the more-than-a-dozen descriptors of skin color in the Dominican Republic (Duaney 2011; Guzmán 1974), indio is the term most commonly used, and a term that is employed only by Dominicans (Telles et al. 2015). Although most Dominicans (82%) designate their race as indio while few (4%) self-identify as Black, the indio population is phenotypically Black (Gates 2011) in sharp contrast to the historic one-drop rule in the US with its legacy of hypodescent. The term indio belies that 73% of Dominicans are mulatto, 16% are White, 11% are Black (World Factbook 2016a). However, Dominicans are lighter-skinned than Haitians who have had much less miscegenation: 95% are Black and 5% are Mulatto and White (Simms et al. 2010; World Factbook 2016b). The term indio connotes Indian, and while their ancestry is as much as 9% Indian (Gates 2011), their African ancestry far surpasses their Indian ancestry and is determinative of their Black phenotype. Although Blacks and mulattoes comprise nearly 90% of the contemporary Dominican population, compared to other countries in the same hemisphere, they are uniquely indeterminate about their racial identity (Gates 2011). There are a number of explanations for the term indio, including that indigeneity and Hispanicity serve to reinforce Dominican sovereignty given previous Haitian unification efforts and US imperialism (Candelario 2007). The weight of evidence, however, suggests that the term reveals Dominicans’ denial of their blackness and acceptance of white primacy that includes calls to “adelantar la raza” or advance the race through only mixing with lighter-skinned people (Torres-Saillant 2000) while the term blanqueamiento connotes socioeconomic advancement through gaining acceptance from those classified and self-identified as White (Whitten and Torres 1998). The Dominican government promoted the belief that they have a non-Black population, reflected in its identity cards that classified 90% of the population as indio (Roth 2012). This manifestation of colorism, found in many parts of the world, is a legacy of colonialism that made race a traceable lineage and a legal status wherein whiteness was sought and blackness constituted regression (Jha 2016; Mayes 2014; Telles et al. 2015). 6. How the Use of Indio Is Linked to Anti-Haitianismo Indio is a psycho-linguistic device that allows Dominicans to avoid using the terms negro and mulatto (which imply the presence of Black heritage). Black becomes indio oscuro while indio is a more neutral source of heritage, helping Dominicans maintain a Spanish identity. The term indio allows Dominicans to forget their African ancestors’ enslavement while encouraging White Dominican oblivion about the legacy of slavery. Furthermore, the notion of the indio distances them from associations with being a “lowly Haitian or negro” (Suriel 2005, p. 28). “One of the most offensive things one could say to many other Afro-Caribbean immigrants, as well as to African immigrants, was to ask them if they were from Haiti” (Johnson 2016, p. 40). Furthermore, “Dominican identity is constructed through a negative identification with the Haitian/negro identity” (Howard 2001, p. 3) as reflected in the frequent response to the question about what it means to be Dominican: “Not Haitian” (Gates 2011, p. 138). In fact, “Haiti stands for all that is allegedly not Dominican” (Howard 2001, p. 5). This is a view that is commonly expressed: “Are Dominican people Black? Ask that to a Dominican person and you might get cursed out . . . [A]cknowledgement of one’s Blackness is perceived by many Dominican people as an irrational confession and sometimes an unforgivable betrayal, for to be Black in the Dominican Republic is to be the antithesis of Dominican national identity, to be anti-Dominican, in other words, to be an ‘inferior’ Black Haitian”. (Epsy 2015, para 7) Soc. Sci. 2017, 6, 132 4 of 12 Thus, antihaitianismo allowed Dominicans of color to bond and feel that, in spite of being second-class citizens in their own country and deemed subordinate to White people, their Spanish heritage placed them above intrinsically inferior Black people in Haiti (Sagás 2000). 7. Skin Color Part of antihaitianismo is driven by Dominican awareness that their skin tone is lighter than their Haitian neighbors, reflected in the term cocolo that originated in the Dominican Republic. Often used disparagingly, it refers to non-Hispanic African descendants, or those with darker skin in general, especially Haitians (although Puerto Ricans also use the term to describe Dominican immigrants who appear Haitian) (Tuider and Caplan 2012). This slang term is just one manifestation of Dominicans’ preference for identifying with their Spanish heritage over their African roots (Negrón 2014). In fact, in general, Dominicans only see Haitians as Black (Gates 2011) while rejecting their own African heritage. According to one report, some Dominicans with dark skin have explained it by past rapes purportedly committed by Haitians (Suriel 2005). Although some Dominicans are aware that their claims of Indo-Hispanic heritage are tenuous and that they rely on anti-Haitianismo and Negrophobia as identity boundary markers, they nevertheless form the basis of Dominican self-concept (Candelario 2007). 8. Historical Roots of the Dominican-Haitian Division In order to see themselves as an ethnically and culturally Spanish nation, Dominicans discourage Haitian immigrants seeking better economic opportunities and condone the expulsion of Haitians, even those born and raised in the Dominican Republic (Amnesty International 2016). The simultaneous vilification of Haitians and glorification of Whites has been promulgated unambiguously by leaders at the highest levels including the reign of Rafael Trujillo (1930–1961) and Joaquín Balaguer, a proponent of antihaitianismo and Dominican president for much of the 1960s–1990s (Mayes 2014; Wucker 1999). Trujillo’s genocide of Haitians in the Dominican Republic and darker complexioned Dominicans was sanctioned by members of the white elite (Candelario 2007; Sagás 2000). The climate for acceptance of antihaitianismo is also undoubtedly lingering resentment of the 22 years of Haitian rule (1822–1844). In fact, Dominican Independence Day does not celebrate independence from Spain, but rather from Haiti (Suriel 2005), an unprecedented choice for this type of national commemoration. In contrast, Haitians embrace their victory over the French and revere their Black leaders, rather than Dominican heroes such as Christopher Columbus. While in the US there are protests about Columbus Day, in the Dominican Republic, Columbus continues to be honored, part of hispanicismo, the celebration of the Dominican Republic’s Spanish heritage (Mayes 2014). In a major tourist attraction in Parque Colon, a large bronze statue of Columbus erected in 1887 by French sculptor Ernest Guilbert in Columbus Plaza patently glorifies a white European (Krohn-Hansen 2001). The Columbus Lighthouse monument (Faro a Colón) that purportedly contains some of Columbus’ hallowed remains was built recently (between 1986 and 1992) at a cost of $70 million, revealing continued reverence for the Spanish and heroes who either possess or are portrayed as having Caucasian features (Gates 2011). In addition, their homage to Juan Pablo Duarte as a national hero is notable because even though he was only one of three men who orchestrated independence from Haiti, he also was three-quarters European with a white phenotype, evident in images of him with blue eyes, unlike the other founding fathers (Ramón Mella and Juan Sanchez Ramírez) who are revered less frequently (Eller 2016, 2017). In contrast to Dominicans celebrating their connection to Columbus, Haitians pride themselves on their liberation from the French in the Haitian Revolution (1804), the only slave uprising that led to the founding of a state free from slavery and ruled by non-Whites and former captives. The heroes they celebrate are Black. By the end of April 1804, the white Haitians (of French descent) were practically eradicated, an event that created a permanent rift between the French and the Haitians. In addition, to counteract colorism that is perpetuated by distinguishing different people by their hue Soc. Sci. 2017, 6, 132 5 of 12 (Guzmán 1974), when Haitians defeated Napoleon and devised their own Constitution (1805), they decreed that Haitians would subsequently be known only generically as Blacks (Dubois 2013). Despite tensions between Dominicans and Haitians, their joint history also includes collaboration that is often neglected by historians and scholars (see Paulino 2016). However, the extent to which their relations remain antagonistic and the potential impact of such sentiment in the United States are the focus of this paper. 9. Methods After obtaining IRB approval, the first author interviewed a small sample of three Haitians and four Dominican first-generation immigrants from among clients at a Miami-area hair salon with primarily Haitian and Dominican customers (with permission of the Dominican salon owner). Given the propensity for “commercial friendships” and openness to sharing perspectives on various social issues in this type of setting (Garzaniti et al. 2011), the first author approached a select number of salon clients who had been talkative during previous salon visits. The exploratory nature of the work and the need to establish a rapport to elicit honest, thoughtful answers about a sensitive topic led to the decision to seek a small sample that might be willing to divulge sensitive information. All clients who were approached agreed to participate, at which time they completed an informed consent form and then moved to a room in the salon where the 20–30 min interview could be private. The first author grew up with a white father and Dominican mother who identifies as indio and is among the almost half of all the Dominican Americans that immigrated since the 1990s (López 2015). Miami is one of the areas in the US known for having a significant Dominican diaspora community (besides the New York City metropolitan region, which alone is home to about 40% of Dominican Americans) (López 2015). Raised in a diverse neighborhood with close connections to Jamaicans, Ecuadorians, Cubans, Hondurans, Colombians, Indians, and Panamanians, the first author has a high comfort level with a culturally diverse array of people. While one interviewee had been in the United States only for three years, the remainder had lived in the United States for at least 10 years. All but one interviewee spoke English. The only male interviewed, a Dominican, spoke Spanish throughout the interview. The other Dominicans spoke English, but inserted Spanish words when they felt unable to find an English equivalent during the interview. Interviewees’ ages ranged from 21 to 60 although most interviewees were around 45–55 years old. They were from a variety of social classes, including lower, middle, and upper middle classes. Despite the sensitivity of the topic, the interviewees expressed their confidence and trust in the first author after learning of her goal to better understand how racial identity relates to intercultural connections within the Afro-Caribbean diaspora. The scripted interview questions were as follows: What are your perceptions of (Haitians/Dominicans)? What is something from your childhood that you remember being told about (Dominicans/Haitians)? What images about (Dominicans/Haitians) do you recall from your early years? How has your self-image or identity changed since moving to America? How would you react if the island of Hispaniola were combined? What race do you consider yourself now versus before? Do you feel like you are more judged by your race in the US or your country of origin? Why? 9.1. Interview Results 9.1.1. General Perceptions Interview data were organized by themes, including general perceptions of the other group (Haitians or Dominicans). Haitians emphasized the two countries’ cultural similarities (e.g., their love of dancing, elaborate parties, the Carnival celebration) and food like plantains, rice and beans (irrespective of culinary distinctions based on French versus Spanish influences). Haitians also brought up musical similarities (meringue for Dominicans and konpa in Haiti) that are both based Soc. Sci. 2017, 6, 132 6 of 12 on European contradance and a five-beat African rhythm (Wucker 1999). In addition, they mentioned commonality as descendants of African slaves. They also acknowledged that Haiti is further behind in its economic welfare than the Dominican Republic. There was less variety in responses from Dominicans about Haitians; the most common Dominican impressions of Haitians were about their shouldering a disproportionate amount of the hard work in the Dominican Republic and their lower educational attainment compared to Dominicans. 9.1.2. Childhood Warnings Interviewees were asked what they had learned about Dominicans/Haitians in childhood. Haitian answers included warnings about Dominicans treating Haitians like slaves. One interviewee had been told that Dominican women in Haiti worked as prostitutes (a depiction that Howard (2001) attributes to the comparatively large number of Dominican-managed brothels and beauty shops in Port-Au-Prince). Dominicans were encouraged to be fearful of Haitians, likely part of anti-haitianismo. These apprehensions were instilled by references to Haitians as threatening, for example, by adults saying to children, “The demons are coming”, when they passed a Haitian in the street. Some respondents’ relatives also told them that Haitians would come after them if they misbehaved. Even looking at Haitians was ill-advised, as Dominican babies that looked into the eyes of Haitians supposedly risked being cursed as victims of the “evil eye”. Other warnings included Haitians’ purported ability to turn people who looked at them into a donkey or a tree, admonitions that could stem from Dominican uneasiness with Haitian vodou. 9.1.3. New Self-Concepts as Immigrants When respondents were asked if their self-perceptions had changed since immigrating, both Haitians and Dominicans downplayed any changes and instead discussed their improved life chances due to opportunities available in the US. Haitians decried the lack of middle class in Haiti, and expressed pride in their achievement of middle class status in the US. One Haitian described how African American students had bullied her in middle and high school, deriding her accent and Haitian origins, taunts that were reportedly commonly directed at other Haitians as well. She said that over time, this mistreatment instilled greater pride in her background and spurred her to be more vocal in representing her country. Dominicans, like Haitians, seemed relatively unconcerned about assimilation or how they were perceived, focusing instead on their upward mobility. 9.1.4. Lasting Impressions of Dominicans/Haitians When asked about whether images of the other culture (Dominicans/Haitians) that had been learned earlier in their lives had continued to resonate, Haitians said they only remembered what they had heard since they had not been exposed to Dominicans. They mentioned Dominicans’ flair for doing hair and delicious food. One of the interviewees who grew up in the countryside far from the border of the Dominican Republic said she never heard anything about Dominicans. In stark contrast to these responses, the Dominicans recalled very negative portrayals of Haitians. These centered around Haitian aggressiveness and dishonesty, as well as rumors of vodou which they viewed as an aberrant religion, consistent with historical scapegoating of the religion by colonial powers (Hebblethwaite 2015). One interviewee remembered knowing one good Haitian at her school, but felt the rest were very confrontational. She also recalled buying something from a convenience store and not receiving any of the expected change back from a Haitian cashier. 9.1.5. Question of Reunification of Hispaniola When asked about how they would react if the Dominican Republic and Haiti became a single country on the island of Hispaniola, Haitians were much more positive than Dominicans. They believed that combining the countries would provide more funding and opportunity for both countries, saying Soc. Sci. 2017, 6, 132 7 of 12 it was an appealing prospect but one that would face resistance given the many differences and disagreements between the two countries. In contrast, Dominicans expressed uncertainty about the impact of such a union, and lacked any optimism about unification, given what they saw as irreconcilable cultural differences. 9.1.6. Racial Self-Concept The first Haitian interviewee considered herself to be Black and a Haitian-American. The second Haitian interviewee did not identify as African American but instead only as Haitian, adding that she would “live and die” being Haitian. The third Haitian interviewee had always seen herself as 100% Haitian, and expressed her commitment to this identity, irrespective of her move to the US. She was saddened by people who were of Dominican descent, but who had been born and raised in Haiti, and pretended to be only Dominican, taking no pride in, and in fact rejecting, any connection to Haiti. The first Dominican identified as indio in the Dominican Republic, but as Hispanic in the US. The next interviewee saw himself as an indio, and also as a Hispanic-American (after moving to America), yet also always Dominican. The third Dominican interviewee identified simply as indio. The fourth Dominican interviewee also identified as indio in Dominican Republic, but as Black in the US. She believed that fellow Dominicans are actually Black but will not admit it, a point of view that could be connected to her complexion (that was darker than that of the other Dominicans interviewed). 10. Discussion With about 40% of US Hispanics born outside the mainland US (Roth 2012), it is important to understand facets of their identity that provide insight into a significant and growing segment of the US population originating in an island just over 700 miles from Miami. The Dominican interviewees communicated that they view Haitians as a people with whom they have nothing in common. Consistent with historical precedent, they saw Haitians as an underclass relegated to arduous work; during World War I, when the European sugar supply was cut off, Americans occupied the Dominican Republic (1916–1924) and imported Haitian workers to fill undesirable jobs that Dominicans turned down. The association of Haitians with low status work remains unchanged (Whitten and Torres 1998). This helps elevate the Dominicans, whose status is higher by comparison. Devaluing Haitians also reflects color coding wherein Haitians’ darker, more homogenous hue is linked to lower social standing (Sagás 2000), while whiteness provides symbolic capital. By having an underclass of dark-skinned people, the Dominicans can place themselves in the middle class as indio, with the whitest blancos as the racial elite, and dark-skinned Black people as the lowest caste. In order to associate themselves more closely with White people, the relativity of racial schemas make Haitians functional given that a dark-skinned person would call someone with lighter skin “blanco” while a lighter-skinned person might call that same person trigueño (wheat colored). Similarly, within a family, the lightest or darkest might be identified as “la blanquita” or “el negrito” because of relative comparisons (Roth 2012). As a result, incorporation of Haitians within the Dominican racial consciousness makes them relatively lighter which confers higher social status. In accordance with this racial schema, blackness is externalized so that Haitians serve as the bottom rung of the social ladder, making success relative to those darker and poorer. Consistent with this type of relational self-assessment, Dominicans of a higher social class are less apt to reject a Black identity in the absence of a need to define their success in relation to those lower in the social hierarchy (Roth 2013). Our finding is that Haitians see common cultural ground, such as food and a love of dancing, while Dominicans focus on differences, such as language, which is consistent with a study of second generation Dominican high school students in Providence, Rhode Island for whom speaking Spanish demonstrates a “non-Black identity” in favor of an ethnolinguistic identity. This language-based sense of self appears to supersede the role of skin color (phenotype), religion, or music (e.g., bachata, salsa, merengue, and reggaeton) in identity (Bailey 2001; Cherry 2015). Interestingly, language can also Soc. Sci. 2017, 6, 132 8 of 12 legitimize Whites’ marginalization of Dominicans in the US, given the stigmatization of speaking Spanish as backward (Rosa 2016). As Dominican immigrants experience acculturation, they undergo a type of cognitive rewiring where concepts of race shift based on new information gained through social networks, institutions, and the media that are influenced by trends in immigration, transnationalism, and globalization (Roth 2012). Despite the variety of factors involved in this “rewiring”, lighter-skinned individuals maintain an advantage not dissimilar to that conferred by career success (power and money). This phenomenon extends to African Americans who are called (and considered) White by both their peers and by White people based on factors such as their educational accomplishments, career success, financial status, and neighborhood—attributes that override their Black phenotype, and are independent of their own self-perception (Carbado and Gulati 2013; Thelamour and Johnson 2016). While many Dominicans maintain an indio identity rooted in sociocultural factors and not just skin color, African American identity relies more on the validation of Blackness over cultural attributes (partly lost as a result of slavery). Zoe Saldana, a light-skinned Puerto Rican and Dominican actress (with some Haitian heritage), spurred controversy in 2016 when she was cast as musician Nina Simone, a dark-skinned African American. While Dominicans embrace and admire those with lighter skin, some African Americans believe that Saldana should have turned down the role to allow a darker-skinned actress to portray Simone. Some African Americans believe that racial solidarity calls for rejecting any advantages that separate light-skinned Black people from other Black people, especially since they will still remain subordinate to Whites. Some believe that to subvert the privilege of light skin, it is necessary to dismantle the system that devalues darker-skinned Black people and rewards Black people whose phenotype and features are closer to those of white people (Oluo 2016). Black people who immigrate to the US may feel alienated from African Americans if they are expected to place their allegiance to being Black above their culture, which for them is part of a complicated racial schema that goes far beyond phenotype. Flores-González (2017) describes a Dominican American who identifies as Latina yet is “often perceived as black because of her dark skin, [yet] does not identify racially as black and feels more distant from blacks than any other racial group” (p. 87, emphasis added). Afrolatinos realize their status in the US hierarchy is below white people, but yet at the same time, may lack solidarity with African Americans especially in regard to docility encouraged in an exploitative service sector economy (Ramos-Zayas 2011). This trait, also known as “buena presencia” or non-aggressiveness, has been identified as helping to create a tractable labor force (Honig 2001). As “super citizen migrants”, Afrolatino immigrants hold out hope for the American Dream and contrast with other minorities lacking the same mindset. Rewarding immigrants’ docility and acceptance of white hegemony furthers white interests while pitting Black immigrants against African Americans who fight for change. Meanwhile, the immigrants can gain cultural capital by distancing themselves from African American efforts to challenge the status quo (Jackson 2010). Similarly, African Americans, like Haitians, are more apt to consider their struggles for empowerment and against subjugation by White people as a central part of their identity. Because of Dominicans’ history of embracing the white part of their heritage, they may be less prone to seeing the US White establishment as oppressors undeserving of prima facie respect, and instead view resentment of White people in power as psychological weakness. In fact, some deem resentment a cause, not a consequence, of racism. Their different perspective based on Dominican culture and greater acceptance of the power structure makes them more appealing to Whites, which results in a higher position in the hierarchy of Black people living in the US (Ramos-Zayas 2011). These factors likely contribute to the fact that only 18% of US Afrolatinos identify one of their races as Black, less than half as many as those who identify as White (or partly White) (López and Gonzalez-Barrera 2016). Beginning with the 1980 US Census, Hispanic has been considered an ethnicity but not a race (Gonzalez-Barrera and López 2015; Humes et al. 2010). Revisions planned for the next decennial data collection (in 2020) include a reversal in which Hispanic ethnicity would no longer Soc. Sci. 2017, 6, 132 9 of 12 be assessed as a separate question, but rather would be incorporated into a single question about racial identity. The proposed re-design for the 2020 Census has the potential to reduce the relatively high proportion of Hispanics that either skip the Census race question or select “some other race”, an overly broad, less useful category (Compton et al. 2010). Subsuming Hispanic ethnicity into a question about race would allow respondents to select all applicable racial and ethnic options (Krogstad and Cohn 2014; Compton et al. 2010). However, parallel with examples of the different categories, such as “German, Irish, Lebanese, Egyptian” for Whites, the examples proposed to illustrate who is Black are “Haitian and Nigerian”. Although some Afrolatinos already do not identify as Black, using “Haitian” as an example of the Black racial group could lead to even fewer Afrolatino Dominicans identifying as Black due to antihaitianismo. 11. Limitations Because the interviewer was Dominican, respondents who were Dominican may have been more comfortable expressing negative views of Haitians. In Roth’s research about Hispanic identity (2012), she noted that a variety of stimuli trigger the racial schema evoked; in this research, relevant factors include the author’s status as an American doing the interview, the interview setting, the nature of the conversation and how questions were posed, as well as the fact that some of the words in Spanish lacked an exact translation in English. Racial identity is complex and mutable and therefore requires more analysis and data that confirm our findings as well as address how Dominicans would respond to having Haitians mentioned as an example of Black race in census data. A larger sample from various US geographical locations is also needed in order to have a more complete picture of the relationship between Dominicans and Haitians in the US. 12. Conclusions The lines of a racial in-group depend on cultural traits ascribed symbolic meaning such as spoken language, food, art, religion, and music that exist within the confines demarcated by the “other”. The formation of group consciousness stems from microcosmic childhood learning evidenced in our interview data revealing previously unreported elements underlying Dominican antipathy towards Haitians including the depiction of Haitians as threatening—capable of casting spells and acting as agents of punishment for misbehaving Dominican children—negative portrayals not matched by Haitians’ views of Dominicans. In addition to these elements of individuals’ socialization, macrocosmic influences like colorism play an equally important role. These forces may operate on a governmental level, specifically the promotion of antihaitianismo and acute awareness of skin color that prizes whiteness associated with Europeans over blackness associated with Haitians. These various factors coalesce and elevate Dominicans, setting them apart from Haitians, as reflected in Dominican Independence Day that celebrates the end of Haitian occupation rather than the end of Spanish rule. Dominican identity seems to be distinct from African American identity, even though the hue of many African Americans resembles that of Dominicans who call themselves indio. The divide between Dominicans and African Americans seems to have more to do with contrasts in interactional style and political acquiescence, differences that fade in subsequent generations. In contrast, the divide between Dominicans and Haitians is longstanding and deep, complicating the achievement of cultural rapprochement. Race is a negotiated, constructed status, determined by perceptions of others and dynamic individual self-identification. Haitians, as outsiders, serve to enclose the boundaries of Dominican self-identification, a phenomenon reinforced by fluid and interactional historical, economic, and political dividing lines. These phenomena reflect the complexity of race and how its assessment should Soc. Sci. 2017, 6, 132 10 of 12 occur within a relational context that recognizes historical conflicts, childhood socialization, as well as psychosocial and geopolitical facets of racial identity, without diminishing efforts to dispel racial bias. Author Contributions: Valerie Lamb collected the data. Valerie Lamb and Lauren Dundes contributed equally in writing the paper. Conflicts of Interest: The authors declare no conflict of interest. References Ahmed, Azam. 2016. Hurricane Matthew Makes Old Problems Worse for Haitians. New York Times. October 6. Available online: http://www.nytimes.com/2016/10/07/world/americas/hurricane-matthew-haiti.html? _r=0 (accessed on 15 December 2016). Amnesty International. 2016. 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Introduction Essentialist versus Constructionist Models of Race The Demographic Rise and Conceptualization of Hispanics A Brief History of Hispaniola Indios How the Use of Indio Is Linked to Anti-Haitianismo Skin Color Historical Roots of the Dominican-Haitian Division Methods Interview Results General Perceptions Childhood Warnings New Self-Concepts as Immigrants Lasting Impressions of Dominicans/Haitians Question of Reunification of Hispaniola Racial Self-Concept Discussion Limitations Conclusions 
work_ncw43h3zzrhqjk3np3mpe4dswu	----	Science Magazine renewal of some nuclear pore components leads to the gradual deterioration of nuclear pore function. As a consequence, the nuclei of older cells become leaky, and proteins that would nor- mally be excluded from the nucleus can be found within it. — SMH Cell 136, 284 (2009). C H E M I S T R Y Product Protection Chemical transformations often pose the dilemma that a desirable product may prove unstable under the reaction conditions. In certain cases, such intermediate products may be sufficiently volatile to be removed evaporatively from the reaction mixture as they are generated, but many compounds are not amenable to this mode of sep- aration. A particularly insidious challenge arises in the partial alkylation of amines. Adding an alkyl group renders an amine more nucleophilic than before, and so more likely to attract yet another alkyl group; therefore, simply mixing equivalent amounts of amines and alkyl electrophiles tends to afford a mixture of unreacted and polyalkylated products. Yebeutchou and Dalcanale skirt the 20 FEBRUARY 2009 VOL 323 SCIENCE www.sciencemag.org984 C R E D IT S ( T O P T O B O T T O M ): O L IV IE R W E IK E N /E P A /C O R B IS ; D ’A N G E L O E T A L ., C E L L 1 3 6 , 2 8 4 ( 2 0 0 9 ) EDITORS’CHOICE C E L L B I O L O G Y Aging Disgracefully As we age, all too many aspects of our physique deteriorate—not just at the macroscopic scale of our limbs and organs, but also at the single- cell level. Nuclear pores allow for the transport of proteins and nucleic acids across the nuclear envelope, both from the cytoplasm to the nucleus and in the reverse direction, and are essential in normal trafficking processes involved in gene expression, cellular homeostasis, and growth. Nuclear pores are complexes of many individual protein components, some of which are extraordi- narily long-lived. D’Angelo et al. have examined the characteris- tics of these complexes in aging postmitotic cells from Caenorhabditis elegans and from rodents, and find that as cells grow old, the lack of problem by adding molecular sequestering agents that selectively capture amines after their preliminary reaction step, thereby protecting them from further interaction with a methylating agent (iodomethane). The optimized protectors were tetra(arylphosphonate)-based cavitands that attracted monomethylated alkyl ammonium cations through ion-dipole forces, hydrogen bonding at the rim, and C-H–pi interactions deep in the cavity. In their presence, a range of alkyl and aryl primary amines could be selectively methylated in good yield. The authors verified preferential encapsulation of the secondary ammonium ions in solution using nuclear mag- netic resonance spectroscopy. — JSY J. Am. Chem. Soc. 131, 10.1021/ja809614y (2009). N E U R O S C I E N C E Opioids and Drink Substance abusers score higher on measures of cognitive and motor impulsivity. Cognitive impul- sivity refers to the inability to delay gratification, whereas motor impulsivity, or disinhibition, describes the inability to withhold a pre-potent response. Animal studies confirm that impulsivity EDITED BY GILBERT CHIN AND JAKE YESTON P S Y C H O L O G Y Cycling Between Worlds During the run-up to the first round of the 2007 presidential election in France, boundaries blurred as the usual mix of campaign rhetoric and dirty tricks spilled over into the virtual world of Second Life. Whether these skirmishes influenced the real-world electorate is unclear, and McCabe et al. have begun to investigate whether associa- tions learned within the confines of a computer- based contest might affect participants’ behavior in real-world situations. They conditioned partici- pants to chase or avoid cyclists who overtook them by linking one type of jersey logo to fruit juice and the other to salty tea, respectively. Several days later and in a different building, approximately two-thirds of the participants, while waiting for their turn in the brain scanner, elected to sit in a chair on which was draped a towel embroidered with the positively associated logo. Furthermore, neural activity of the insula region of the brain (a measure of motivational salience) reflected the previous conditioning of appetitive and aversive stimuli, hinting at a carryover from the virtual reality cycling competition. — GJC J. Neurosci. 29, 1046 (2009). Normally cyto- solic protein tubulin (green) inside an old nucleus. Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ www.sciencemag.org SCIENCE VOL 323 20 FEBRUARY 2009 C R E D IT : J U P IT E R I M A G E S correlates with drug intake, although nearly all of these studies have examined impulsivity in rela- tionship to psychostimulant drugs. Olmstead et al. have investigated whether deletion of the �- or �-opioid receptor genes alters motor impulsivity in mice. They tested the behavior of these mutant animals in an operant- based behavioral task that assesses the ability of mice to withhold a well-learned pre-potent response (a nose poke used to gain a sucrose reward); the reward can be obtained only when nose-poke responses are made during a brief light stimulus. Mice lacking �-opioid receptors exhib- ited decreased motor impulsivity, whereas those lacking �-opioid receptors showed increased motor impulsivity. Additionally, mice lacking �-opioid receptors were insensitive to the effects of alco- hol, which increases impulsivity and decreases conditioned responding in wild- type mice, and the behavior of mice lack- ing �-opioid receptors was completely disrupted by alcohol. Taken all together, these results indicate a link between opiate receptors in the brain, impulsive behavior, and behavior directed toward ingesting alcohol. — PRS PLoS ONE 4, e4410 (2009). M O L E C U L A R B I O L O G Y Finely Balanced Registers Many genes are interrupted by noncoding introns that must be precisely excised from the RNA molecules transcribed from the gene. In the first step of the splicing reaction, a large RNA- protein splicing machine recognizes the 5’ end of most introns via the complementarity of this region to one of the spliceosome components, the U1 RNA. Yet other 5’ splice sites show little complementarity to the canonical U1 sequence and are nonetheless efficiently and accurately spliced by the very same machine. In puzzling over this conundrum, Roca and Krainer noticed that a subset of these atypical 5’ splice sites did have a sequence that could form a base-paired region with the U1 sequence, but only if shifted one base downstream of the nor- mal 5’ splice site (the +1 register). Mutating one of these atypical 5’ splice sites to improve its complementarity to the U1 RNA in the canonical register resulted in aberrant, rather than improved, splicing. Furthermore, mutations in the +1, but not canonical, register of the U1 RNA that restored base pairing with the mutated atypical 5’ splice sites could rescue the splicing defects. Understanding that the U1 RNA can rec- ognize two subsets of 5’ splice sites in two regis- ters accounts for the splicing of atypical 5’ splice sites and also explains the deleterious effect of a mutation in the intron of the gene RARS2, which is associated with pontocerebellar hypoplasia. EDITORS’CHOICE 17050 Montebello Road Cupertino, California 95014 Email:AAASInfo@betchartexpeditions.com For a detailed brochure, please call (800) 252-4910 PERU June7-17,2009 Explore extraordinary cultural and archaeological wonders of Peru. Tour Lima and visit Huaca Pucclana archaeological site. See the heart of the Inca Empire at Cuzco and spec- tacular landscapes in the Andes. Visit Machu Picchu, Ollantaitambo, and Sacsayhuaman. $3,695 + air. Spitsbergen July14-26, 2009 Explore the Arctic and better understand global warming. Travel on board the M/V Antarctic Dream and see glaciers, wild- flowers, polar bears, walrus, Arctic fox, great whales, and much more! From $4,995 + air. Azores &Atlantic Crossing June 1-14, 2009 Cruise to the Azores on board the CleliaIIwith lectures at sea en route to Santa Maria where Christopher Columbus made landfall on his return from America. On the island of Sao Miguel, explore Ponta Delgada and breathtaking Sete Cidades, where two lakes fill a volcanic crater. Visit the islands of Terceira, Pico, and Faial. From $5,995 + air. China’s 2009 Eclipse July13-24, 2009 Visit three of China’s important cultural sites—Beijing, Xi’an, and Hangzhou—before seeing the Total Solar Eclipse, July 22, 2009 at the mouth of the Qiantang River near Hangzhou. $3,695 + air. Travel with AAAS Although the 5’ splice site mutation improves complementarity with the canonical U1 register, it weakens base pairing in the +1 register, and it is this imbalance that probably causes the exon skipping seen in the disease. — GR Nat. Struct. Molec. Biol. 16, 176 (2009). E N G I N E E R I N G Keeping Chips Cool The heat that is generated by silicon chips in the integrated circuits at the heart of modern elec- tronic devices must be efficiently removed, because the performance of field-effect transistors degrades at higher temperatures. One approach for providing active cooling next to a chip is to use thermo- electric materials, which effectively transport heat via current flow. Chowd- hury et al. fabricated a material with a high coeffi- cient of thermoelectric perform- ance and sandwiched it between the chip and a thermal sink layer. Specifically, the thermoelectric mate- rial comprised superlattices of p-type Bi 2 Te 3 /Sb 2 Te 3 and n-type Bi 2 Te 3 /Bi 2 Te 2.83 Se 0.17 grown on GaAs substrates by metal-organic chemical vapor depo- sition. The assembled devices could cool a targeted region on a silicon chip with a high heat flux (1300 W/cm2) by 15°C. — PDS Nat. Nanotechnol. 4, 10.1038/ NNANO.2008.417 (2009). A P P L I E D P H Y S I C S Sensing the Vibes Remotely Vibrations in machinery can lead to excessive wear, and, in the worst case, to catastrophic failure. Mon- itoring unwanted vibration is therefore an impor- tant safety issue. Probing the response of materials to vibrations at ultrasonic frequencies can provide a diagnostic test for defects and cracks in materials that may appear before the device breaks down. It is not always possible, or feasible, to use mechani- cally attached sensors, and so optical sensors may allow for nonintrusive monitoring. Bouncing laser light off a textured surface (such as a wall, a can, or paper) produces a speckle pattern. Bessette et al. introduce a photoconductive sensor that probes the movement of the speckle pattern as the sam- ple, in this case a metal surface cut from a can, is vibrated at high frequency. Using a simple silicon- based photoconductive element, which can be shrunk to micrometer size, they can look at the movement of a single speckle, thereby giving them the ability to monitor vibrations at ultrasonic fre- quencies remotely. — ISO Appl. Phys. Lett. 94, 41121 (2009). Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ Sensing the Vibes Remotely Ian S. Osborne DOI: 10.1126/science.323.5917.985c (5917), 985.323Science ARTICLE TOOLS http://science.sciencemag.org/content/323/5917/985.3 CONTENT RELATED file:/content/sci/323/5917/twil.full PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American Association for the Advancement ofScience © 2009 American Association for the Advancement of Science o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/323/5917/985.3 http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_nfacmrdlqber3hvg6u5ltdwrby	----	The Red Atlantic<product> <article-title>The Many-Headed Hydra: Sailors, Slaves, Commoners, and the Hidden History of the Revolutionary Atlantic</article-title> <contrib-group><contrib> <name index="Linebaugh, Peter"> <given-names>Peter</given-names> <surname>Linebaugh</surname> </name> </contrib></contrib-group> <contrib-group><contrib> <name index="Rediker, Marcus"> <given-names>Marcus</given-names> <surname>Rediker</surname> </name> </contrib></contrib-group> </product> Review: The Red Atlantic Author(s): David Armitage Source: Reviews in American History, Vol. 29, No. 4 (Dec., 2001), pp. 479-486 Published by: The Johns Hopkins University Press Stable URL: http://www.jstor.org/stable/30031239 . Accessed: 20/05/2011 10:08 Your use of the JSTOR archive indicates your acceptance of JSTOR's Terms and Conditions of Use, available at . http://www.jstor.org/page/info/about/policies/terms.jsp. JSTOR's Terms and Conditions of Use provides, in part, that unless you have obtained prior permission, you may not download an entire issue of a journal or multiple copies of articles, and you may use content in the JSTOR archive only for your personal, non-commercial use. Please contact the publisher regarding any further use of this work. Publisher contact information may be obtained at . http://www.jstor.org/action/showPublisher?publisherCode=jhup. . Each copy of any part of a JSTOR transmission must contain the same copyright notice that appears on the screen or printed page of such transmission. JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact support@jstor.org. The Johns Hopkins University Press is collaborating with JSTOR to digitize, preserve and extend access to Reviews in American History. http://www.jstor.org http://www.jstor.org/action/showPublisher?publisherCode=jhup http://www.jstor.org/stable/30031239?origin=JSTOR-pdf http://www.jstor.org/page/info/about/policies/terms.jsp http://www.jstor.org/action/showPublisher?publisherCode=jhup THE RED ATLANTIC David Armitage Peter Linebaugh and Marcus Rediker. The Many-Headed Hydra: Sailors, Slaves, Commoners, and the Hidden History of the Revolutionary Atlantic. Boston: Beacon Press, 2000. 433 pp. Figures, map, notes, and index. $30.00 (cloth); $18.00 (paper). Until quite recently, Atlantic history seemed to be available in any color, so long as it was white. To be sure, this was the history of the North Atlantic rather than the South Atlantic, of Anglo-America rather than Latin America, and of the connections between North America and Europe rather than of those between both Americas and Africa. The origins of this history of the white Atlantic have been traced back to anti-isolationism in the United States during the Second World War and to the internationalism of the immediate postwar years, when historians constructed histories of "the Atlantic civiliza- tion" just as politicians were creating the North Atlantic Treaty Organization. This Atlantic Ocean was the Mediterranean of a western civilization defined as Euro-American and (for the first time, in the same circles) as "Judeo- Christian".! It was therefore racially, if not necessarily ethnically, homoge- neous. Such uniformity was the product of selectivity. Like many genealo- gists, these early proponents of Atlantic history overlooked inconvenient or uncongenial ancestors. Students of the black Atlantic, from W. E. B. Du Bois to C. L. R. James and Eric Williams, were not recognized as fellow-practitioners of the history of the Atlantic world, just as Toussaint L'Ouverture's rebellion was not an event in R. R. Palmer's Age of the Democratic Revolution (1959-64), for example.2 Atlantic history has recently become much more multicolored. The black Atlantic of the African diaspora has been joined by the green Atlantic of the Irish dispersal. The white Atlantic has itself become a self-conscious field of study rather than the defining model for all other Atlantic histories. And now Peter Linebaugh and Marcus Rediker present the red Atlantic of expropriation and capitalism, proletarianization and resistance in The Many-Headed Hydra: Sailors, Slaves, Commoners, and the Hidden History of the Revolutionary Atlantic. Theirs is an avowedly motley history, stitched together from shreds and patches to create "a story about the origins of capitalism and colonization, Reviews in American History 29 (2001) 479-486 @ 2001 by The Johns Hopkins University Press 480 REVIEWS IN AMERICAN HISTORY / DECEMBER 2001 about world trade and the building of empires ... about the uprooting and movement of peoples, the making and the transatlantic deployment of 'hands'... a story about exploitation and resistance to exploitation ... a story about alternative ways of living, and about the official use of violence and terror to deter or destroy them" (p. 14). It thus has little in common with the traditional political histories of the white Atlantic and more with cultural studies of the black Atlantic, especially Paul Gilroy's account (in The Black Atlantic: Modernity and Double Consciousness [1993]) of the Atlantic as the crucible of a modernity defined by upheaval and dispersal, mass mobility, and cultural hybridity. It also has ambitions to describe the making of an Atlantic working class just as E. P. Thompson had earlier chronicled The Making of the English Working Class (1963). However, Linebaugh and Rediker's chronology extends further back into early modernity than Gilroy's-stretch- ing from the early seventeenth to the early nineteenth centuries-and race and empire are as conspicuous in their history as they were absent from Thompson's. Linebaugh and Rediker's title comes from Greek mythology-the second of Hercules's labors-but their thesis derives from a more recent mythology, the theory of "The So-Called Primitive Accumulation" in the first volume of Marx's Das Kapital. Marx described the expropriation of the agricultural producer by an emergent class of capitalist appropriators who thereby created a landless proletariat to form the industrial army of the manufactur- ing system. The classic form of this process could be observed in England, from the Reformation to the Industrial Revolution. Linebaugh and Rediker appropriate Marx's anglocentric focus, the stages of his narrative, and even many of its details. For example, their description of the sixteenth-century English "combination of expropriation, industrial exploitation . . . and unprecedented military mobilization [that] resulted in the huge Tudor re- gional rebellions" (pp. 18-9) would be unrecognizable to most historians of the Tudor era. The expropriatory process of enclosure all but halted between the 1520s and the 1570s, and thereafter took place more often by agreement than enforcement; "industrial exploitation" touched the lives of only a small proportion of an overwhelmingly agricultural population; military mobiliza- tion remained episodic and had precedents in the late-medieval Hundred Years' War; and politics, as much as economics, and the defense of traditional religion more than both, motivated regional revolt for much of the Tudor century. However, the Marxian teleology is fundamental to Linebaugh and Rediker's account; without it, there could have been no Atlantic capitalism, and without that there would have been no working class to beget "the revolutionary Atlantic." Linebaugh and Rediker subtly modify Marx by depicting a proletariat that is multiracial, multiethnic, and multinational; by replacing the factory with ARMITAGE / Red Atlantic 481 the ship as the forcing-house of the working class; and by giving resistance as large a part in their story as repression. Their story spans two centuries, from the wreck of the Sea-Venture off Bermuda in 1609 to the abolition of slavery within the British Empire in 1834. It touches on many points around the Atlantic basin: Bristol, London, Ireland, the Gambia, Barbados, Jamaica, New York, Virginia, Nicaragua, and Belize. It also thickens at precise moments: in the resurrection of a shadowy "Blackymore maide named Francis" from obscurity in mid-seventeenth-century Bristol; at the Army Debates of 1647 in Putney; during the New York slave conspiracy of 1741; in Boston during the early years of the American Revolution; in the failed revolt of the rebellious Irish aristocrat Edward Despard and his wife Catherine in 1802; around the writings of the abolitionist Methodist mulatto Robert Wedderburn; and in a concluding reading of the visionary poetry of William Blake. Linebaugh and Rediker's chronology is on the face of it more precise than Marx's. In the course of the book, they describe the life-cycle of the hydra in some detail. The regime of terror and expropriation extends from 1550 to 1650. "[T]he mercantilist or baroque state" that overturned the achievements of the "English Revolution" began its awful work at the Stuart Restoration in 1660, or maybe with the Glorious Revolution of 1688 (p. 83). Atlantic capitalism joined forces with the mercantilist state between the 1670s and the 1730s to create two forms of "hydrarchy", defined as "the organization of the maritime state from above, and the self-organization of sailors from below" (p. 144). The insurgent hydrarchy from below of the 1710s and 1720s inspired the slave-revolts and urban insurrections of the 1730s and 1740s whose consequences were felt until the triumph of capitalism with British victory at the end of the Seven Years' War, at which point "slaves and sailors began a new cycle of rebellion" that ushered in the "revolutionary crisis of the 1760s and 1770s" (p. 212). However, the book's conclusion, "Tyger! Tyger!", presents four somewhat different acts in the tragi-comedy of the Atlantic commoners. The first act was tragic, encompassing the foundations of capitalism from 1600 to 1640, as "systems of terror and sailing ships helped to expropriate the commoners of Africa, Ireland, England, Barbados and Virginia" (p. 327). The second was a heroic tale of resistance, from the first stirrings of the "English Revolution" in the 1640s to its last flowering in the early 1680s: "the hydra reared its head against English capitalism, first by revolution in the metropolis, then by servile war in the colonies" (p. 328). The third was ironic, the overturning of the achievements of that long revolution from 1680 to 1760 in decades which "witnessed the consolidation and stabilization of Atlantic capitalism" but also an equal and opposite reaction as "pirates built an autonomous, democratic, multiracial social order at sea" and "a wave of rebellion then ripped through the slave societies of the Americas" in the 1730s and 1740s (p. 328). The final 482 REVIEWS IN AMERICAN HISTORY / DECEMBER 2001 act lasted from 1760 to 1835, as "the motley crew launched the age of revolution in the Atlantic" and inspired democratic upheaval and the aboli- tion of the very instruments of expropriation of labor, the press-gang and plantation slavery, in the British Atlantic world (p. 328). The 1640s, 1670s, 1710s, 1720s, and 1760s could, of course, each have been elastic moments when both the grip of capitalism and mercantilism tightened and when its opponents seized the upper hand. The authors are scrupulous enough to recognize that events can only reluctantly be shoehorned into such schemas, but they are no less determined to find meaningful patterns in ultimately intractable processes. The Many-Headed Hydra is therefore partial, in both senses. It is firmly on the side of its subjects, while their oppressors and expropriators remain menacingly nameless and faceless; it is also highly selective in offering detailed vignettes rather than a fully-documented survey of its subject. By confining themselves solely to the anglophone Atlantic, the authors mark a retreat from Marx's truly global vision of both the East and the West Indies as "open[ing] up fresh ground for the rising bourgeoisie" after the voyages of Vasco da Gama and Christopher Columbus.3 The Many-Headed Hydra is also a literary history rather than a social history. The overarching Marxian narra- tive closes the gaps between a series of close readings of drama, poetry, pamphlets, political debates, and personal papers. The traditional records of social history, of the kind deployed earlier both by Rediker (in Between the Devil and the Deep Blue Sea: Merchant Seamen, Pirates, and the Anglo-American Maritime World, 1700-1750 [1987]) and by Linebaugh (in The London Hanged: Crime and Civil Society in the Eighteenth Century [1991]), are not much in evidence here, save to provide a passage for commentary or support for an exegesis. In such an ambitious work of bricolage as this, everything depends on the choice of materials, the plausibility of the interpretations of them, and the persuasiveness with which they are juxtaposed. On all three counts, Linebaugh and Rediker's reach exceeds their grasp. Though The Many-Headed Hydra ostensibly "looks from below" (p. 6), almost all its sources come from above. The title itself is a case in point. The self-regenerating swamp-monster attacked by Hercules provided an apt emblem for rulers' fears rather than an inspiring object of self-identification for subjects or servants. Indeed, almost all the contemporary testimony the authors cite for the existence of a multiracial Atlantic working-class derives from the writings of magistrates like Daniel Horsmanden in New York, governors and loyalists like Thomas Hutchinson and Peter Oliver in Boston, or slave-holders like Thomas Thistlewood and Edward Long in Jamaica. Likewise, William Strachey, author of the account of the Sea-Venture from which the king's servant William Shakespeare derived inspiration for his royal-marriage play, The Tempest, proposed martial law for the Virginia ARMITAGE / Red Atlantic 483 settlement. The "Blackymore maid" Frances is known only from the testi- mony of an elder of her church in Bristol, who recalled her piety (but little else) long after her death. The New York slave conspiracy is reconstructed almost entirely from Horsmanden's judicial account of the proceedings. The aristocratic Despard-subject of the book's most original chapter-would barely be known were it not for his place in the State Trials and the preservation of his personal papers by his family. In the end, almost the only two genuine plebeian radicals who speak in their own voices in the book are its two best-studied subjects, William Blake and Robert Wedderburn.4 Ingenious overreading of fragmentary sources or of second-hand and prejudiced testimony has, of course, long been a respectable technique for the recovery of hidden histories. However, egregious misreading, especially of well-known documents, rapidly undermines trust in the interpretations of less familiar texts. For example, Linebaugh and Rediker read Francis Bacon's Advertisement Touching a Holy War (1622) as a straightforward argument for the destruction of "West Indians; Canaanites; pirates; land rovers; assassins; Amazons; and Anabaptists" (p. 39). If true, this might be important early evidence of a multiracial, multidenominational, cross-gender alliance of the oppressed. However, Bacon's unfinished essay was in fact a dialog among such stock characters as a Catholic zealot and a Machiavellian "politique," none of whom could be identified with Bacon himself; it comprised an inconclusive debate on the ethics of foreign aggression against Spain or the Turks (which Bacon himself later opposed) rather than a battle-plan for ethnic extermination in the Atlantic world or "a call for several types of genocide" (p. 40). Such a reading without attention to context or genre would be more trivial than troubling if it did not then provide support for a supposed Baconian "theory of monstrosity and terror" repeated throughout the book (pp. 61-69, 91, 137, 341). Similarly, Colonel Thomas Rainborough's invective at Putney against the "slavish condition" of his soldiers is taken as proof that "the Putney Debates of 1647 revealed the English Revolution as an abolition- ist movement" (p. 132). Rainborough's dialectical language of slavery and freedom had biblical and, especially, classical antecedents whose rhetorical impact was certainly amplified by, but did not therefore depend upon, the increasing variety of forms of unfree labor observable around the English Atlantic world.5 It is also unlikely that "[f]rom Putney, after 1647, would flow the ideas of both freedom and slavery" (p. 112) because the Army Debates remained in manuscript until they were first published in 1891.6 Linebaugh and Rediker do provide examples of the circulation of ideas that might have provided a basis for class-consciousness, but do little to excavate the routes of transmission. Just as the image of the many-headed hydra itself testifies to a common classical culture among the educated, so the book's other recurrent motifs of the "hewers of wood and drawers of water" 484 REVIEWS IN AMERICAN HISTORY / DECEMBER 2001 (Joshua 9: 21, 23), of God's being "no respecter of persons" (Acts 10: 34, 35), or of the biblical jubilee reveal an even more widespread scriptural culture that reached across lines of class and denomination. The history of classical learning is clearly far from Linebaugh and Rediker's brief, but the history of biblical and theological knowledge is conspicuously absent from what re- mains a strikingly secular work, with only passing references to Thomas Edward's anatomy of heresy Gangraena (1646), Cotton Mather's Magnalia Christi Americana (1702), or Robert Wedderburn's Methodism. Classic studies of the transmission of political ideas, such as Caroline Robbins's The English Commonwealthman (1959) or Bernard Bailyn's The Ideological Origins of the American Revolution (2nd ed., 1992), which could have provided models for the precise reconstruction of the pathways and networks of Atlantic radical- ism, are also missing. Once again, it is only those sections of the book that treat the last third of the eighteenth century where such connections can be recovered with conviction, as also in the path-breaking work of Jesse Lemisch and Julius Scott which underpins Linebaugh and Rediker's account.7 Other- wise, the putative members of a self-conscious, self-identified, polymorphous Atlantic proletariat exist here largely in the nightmares of their rulers before the era of the Seven Years' War, when the shadows begin to take on substance first in the Stamp Act riots and then in the waterfront protests of the American Revolution. Linebaugh and Rediker do not inquire whether interracial alliances across the lines of status, craft, or freedom were exceptional when they did occur or whether they always did so in the context of opposition rather than acquies- cence. Their portrait of the pirate-ship's "multicultural, multiracial, multina- tional social order" (p. 162) in the early eighteenth century cannot be reconciled with the picture that emerges from work on more typical and enduring maritime communities that has stressed the resilience of racial barriers and the exquisite hierarchies of status that persisted even far offshore.8 Throughout the eighteenth century (especially its second half), and across the British Atlantic world (and well beyond, especially in British India), the major matrices of interracial co-operation were not wharfside drinking- houses or floating pirate republics but the Royal Navy and the British Army. Wedderburn, like the most famous Afro-Briton of the period, Olaudah Equiano, was a graduate of the first school of war, while Edward Despard met his future wife Catherine, a black Central American woman while on service with the second. By providing white British working-class men with firsthand experiences of slavery or combat side-by-side with black soldiers, or by facilitating unions like the Despards', the armed forces could be agents of multiculturalism and of radicalization. However, they were most importantly the instruments of discipline and patriotism, forces that also gave rise to a multicultural, multiracial, multinational social order, admittedly one strati- ARMITAGE / Red Atlantic 485 fied by race and class-within Britain, around the British Atlantic, and throughout the British Empire-but encompassing millions more people than the milieux examined by Linebaugh and Rediker. Any disinterested attempt to locate the making of an Atlantic, British, and, more broadly, imperial working-class in the eighteenth century would thus have to begin with the Royal Navy and, above all, the Army, not push them to the very margins of its analysis. Marx directed attention to the "industrial army" rather than the regular army as the leading edge of social transformation in eighteenth- and nine- teenth-century England (if not for Britain as a whole). The gradual but decisive replacement of a revolution in production by a revolution in consumption, and of the Industrial Revolution by an "industrious revolu- tion," has dethroned the Industrial Revolution as the motor of epochal change in British history. A whole train of Marxian logic would thus seem to have been thrown off the rails: no Industrial Revolution, no making of the English working-class; no English working-class, then no class-consciousness to provide a counterweight to capitalism in the making of modernity. While no one would follow that logic to announce the death of labor history, it is hard to resist the conclusion that The Many-Headed Hydra was meant as a solution to just this impasse within Marxist historiography. The Industrial Revolution may have been lost at sea, but that is just where Linebaugh and Rediker have found it again, only now for "factory," read "ship," for "manufacturer" read "pressgang," and for "English working-class," read "multicultural, multira- cial, multinational proletariat." The logic, if not the location, remains much the same. The Many-Headed Hydra is ultimately a triumph of hope over evidence. It is thrillingly written as a fast-paced narrative punctuated by enthralling set- pieces. It presents a thesis as bold as any in contemporary historical writing and pursues it with remarkable single-mindedness. It is unlikely that all the characters and incidents presented here will be equally familiar to American or British historians, to specialists in both the seventeenth and the eighteenth centuries, or to students of both the white and the black Atlantics. This combination of panache, pertinacity, and panorama is undoubtedly impres- sive and certainly beguiling. Linebaugh and Rediker are also on the side of the angels: any reader would want their story of proletarian solidarity and resiatance to be true, if only to palliate the discomfort left by the "[h]angings, burnings, mutilations, starvings, and decapitations [that] have filled every chapter in this black book of capitalism" (p. 329). In the end, though, they do not provide a reliable model for a new kind of Atlantic history, any more than the book theirs most closely resembles-in its pan-Atlantic scope, its focus on patterns of resistance and ideology, and its implacable tendentiousness, though not in its concentration on religion, or its honesty about looking "from 486 REVIEWS IN AMERICAN HISTORY / DECEMBER 2001 above"-J. C. D. Clark's The Language of Liberty, 1660-1832: Political Discourse and Social Dynamics in the Anglo-American World (1994). Anyone seeking inspiration for a multicolored, multivalent, and multinational history of the Atlantic world-in much the same period, and treating many of the same themes-would be better advised to read the theater historian Joseph Roach's brilliant (but, among historians, little-known) Cities of the Dead: Circum- Atlantic Performance (1996), whose texts are better chosen, readings more credible, and juxtapositions more truly revealing than those making up The Many-Headed Hydra. David Armitage, associate professor of history, Columbia University, is the author of The Ideological Origins of the British Empire (2000) and co-editor (with Michael J. Braddick) of The British Atlantic World, 1500-1800 (forthcoming). He is working on a study of international thought in the age of revolutions and on a global history of the Declaration of Independence. 1. Bernard Bailyn, "The Idea of Atlantic History," Itinerario 20 (1996): 19-44; Mark Silk, "Notes on the Judeo-Christian Tradition in America," American Quarterly 36 (1984): 65-85. 2. Robin D. G. Kelley, "'But a Local Phase of a World Problem': Black History's Global Vision, 1883-1950," Journal of American History 86 (1999): 1045-77. 3. Karl Marx and Friedrich Engels, The Communist Manifesto: A Modern Edition, intro. Eric Hobsbawm (1998), 35. 4. See especially David Erdman, Blake: Prophet Against Empire (1954); E. P. Thompson, Witness Against the Beast: William Blake and the Moral Law (1993); Robert Wedderbum, The Horrors of Slavery and Other Writings, ed. Iain McCalman (1991), 1-40. 5. Compare Quentin Skinner, Liberty Before Liberalism (1998), 59-77, on the prominence of the "neo-Roman" language of freedom and slavery in the English Revolution. 6. The Clarke Papers, ed. C. H. Firth, 4 vols. (1891-1901), I, 226-418. 7. Jesse Lemisch, Jack Tar vs. John Bull: The Role of New York's Seamen in Precipitating the Revolution (1997); Julius S. Scott III, "The Common Wind: Currents of Afro-American Communication in the Era of the Haitian Revolution" (Ph.D. diss., Duke University, 1986). 8. For example, W. Jeffrey Bolster, Black Jacks: African-American Seamen in the Age of Sail (1997). Article Contents p. [479] p. 480 p. 481 p. 482 p. 483 p. 484 p. 485 p. 486 Issue Table of Contents Reviews in American History, Vol. 29, No. 4 (Dec., 2001), pp. i-vi, 479-654 Volume Information Front Matter Review: The Red Atlantic [pp. 479-486] Review: The Class of '35 [pp. 487-490] Review: Love, Colonial Style [pp. 491-496] Review: Listening for God in America [pp. 497-501] Review: A People's Revolution? Towards a New History of the Revolutionary Era [pp. 502-509] Review: Land, Law, and History [pp. 510-515] Review: Not like a Rolling Stone [pp. 516-522] Review: Peddling Stories [pp. 523-529] Review: A Tale of Two Cities [pp. 530-537] Review: Honor, Law, and Identity: The Troubled Nature of Antebellum Slave Trials in the Deep South [pp. 538-545] Review: Fanny Kemble and the South's Peculiar Institution [pp. 546-549] Review: Recovered Memory of the Civil War [pp. 550-558] Review: Straight Ahead or Sharp Turn? Court and Constitution in 1937 [pp. 559-566] Review: Race and Labor in the Twentieth Century [pp. 567-572] Review: Civil Rights Unionism [pp. 573-580] Review: A Loss? Or a Labor? [pp. 581-586] Review: The Cost of Cost Analysis: Changing Agendas in Poverty Research [pp. 587-596] Review: Skeletons, and Other Things, in the Closet [pp. 597-603] Review: Complicating Stories and Crossing Boundaries [pp. 604-609] Review: The Decline of the Great Plains [pp. 610-613] Review: We Are All New Western Historians Now [pp. 614-620] Review: Remembrance in the Aftermath of War [pp. 621-627] Review: Battling over the Boundaries of the American Electorate [pp. 628-634] Review: In Retrospect: Robert Middlekauff's "The Mathers" [pp. 635-646] Back Matter 
work_nhutixbbnzathh4pkb2ur67h6u	----	WestminsterResearch http://www.westminster.ac.uk/westminsterresearch Dallas Bower: a producer for television's early years, 1936-39 Wyver, J. This is a copy of the final published version of an article published in Journal of British Cinema and Television, 9 (1), pp. 26-39. © Edinburgh University Press The published version by Edinburgh University Press is available online at: https://dx.doi.org/10.3366/jbctv.2012.0058 The WestminsterResearch online digital archive at the University of Westminster aims to make the research output of the University available to a wider audience. Copyright and Moral Rights remain with the authors and/or copyright owners. Whilst further distribution of specific materials from within this archive is forbidden, you may freely distribute the URL of WestminsterResearch: ((http://westminsterresearch.wmin.ac.uk/). In case of abuse or copyright appearing without permission e-mail repository@westminster.ac.uk https://dx.doi.org/10.3366/jbctv.2012.0058 http://westminsterresearch.wmin.ac.uk/ repository@westminster.ac.uk 1 Dallas Bower: a producer for television’s early years, 1936-39 John Wyver, September 2011 Biographical note John Wyver is a writer and producer with the independent production company Illuminations. He has worked as a producer on programmes for BBC, Channel 4, Five, PBS in the United States, ARTE and other broadcasters, and his programmes have been honoured with a BAFTA Award, and International Emmy and a Peabody Award. Recent productions include a BBC film of the Royal Shakespeare Company’s Hamlet (2009) and a television film version of Macbeth (2010) directed by Rupert Goold. He is also a Principal Research Fellow in the School of Media, Arts and Design at the University of Westminster, where he is Principal Investigator on the AHRC-funded research project Screen Plays: Theatre Plays on British Television (2011-14). He is the author of Vision On: Film, Television and the Arts (2007). e-mail: john@illuminationsmedia.co.uk phone: +44 7973 835 330 fax: +44 20 7288 8484 2 Dallas Bower: a producer for television’s early years, 1936-39 Abstract Having worked in the film industry as a sound technician and then director, Dallas Bower (1907-99) was appointed in 1936 as one of two senior producers at the start of the BBC Television service. Over the next three years Bower produced as well as directed many ground-breaking live programmes, including the opening-day broadcast on 2 November 1936; the BBC Television Demonstration Film (1937, his only surviving pre-war production); a modern-dress Julius Caesar (1938), in uniforms suggestive of a Fascist disctatorship; Act II of Tristan and Isolde (1938); Patrick Hamilton’s play Rope (1939), utilising extended single camera- shots camera-shots; numerous ballets, among them Checkmate (1938); and ambitious outside broadcasts from the film studios at Denham and Pinewood. Developing the working practices of producing for the theatre, film industry and radio, Bower was a key figure in defining the role of the creative television producer at the start of the medium. Among his innovations, according to his unpublished autobiographical fragment ‘Playback’ (written 1995), was the introduction of a drawn studio plan for the four cameras employed in all live broadcasts from Alexandra Palace. Using Bower’s writings (among them his 1936 book Plan for Cinema), his BECTU History Project interview, the BBC Written Archives and contemporary industry coverage, this article reconstructs the early development of the role of staff television producer in order to consider the questions of autonomy, agency and institutional constraints at the BBC in the pre-war years. 3 Dallas Bower: a producer for television’s early years, 1936-39 In May 1936 Dallas Bower (1907-99) was appointed, along with Stephen Thomas, as one of the first two senior producers for the new BBC Television service. Having previously worked in the film industry as a sound technician, editor and director, Bower produced as well as directed many pioneering live programmes during the first three years of broadcasts from Alexandra Palace. His credits include the opening-day presentation on 2 November 1936; the BBC Television Demonstration Film, (1937, his only surviving pre-war production); a modern-dress production of Shakespeare’s Julius Caesar (1938), set in a Fascist state; a transmission of Act II of Richard Wagner’s Tristan and Isolde (1938); Patrick Hamilton’s play Rope (1939), utilising extended single camera- shots; numerous ballets, among them Checkmate (1938); and ambitious outside broadcasts from the film studios at Denham and Pinewood. Developing the working practices of producing for the theatre and radio, and directing feature films, Bower was a key figure in defining the role of the creative television producer at the start of the new medium. Among his innovations, at least according to his unpublished autobiographical fragment ‘Playback’ (1995: 14), was the introduction of a drawn studio plan for the cameras in live broadcasts from Alexandra Palace. This article outlines Bower’s ideas and his work from 1936 to 1939 in part as an attempt to reconstruct the early development of the role of staff television producer. Bower’s work will be considered within the context of individual autonomy, agency and institutional constraints (or lack thereof) in the television service of the BBC in the pre-war years. As an individual producer in the late 1930s Bower was both exceptional – in his innovative approach to the staging and broadcasting of live studio dramas, dances and operas -- and also exemplary in his commitment within the BBC to a form of unreconstructed Reithianism that sought to 4 mobilise high culture in the legitimation of a new medium of modern mass communication. That Bower was able to create the remarkable work that he did (only brief and atypical fragments of which exist today) is because of the confluence of the progressive and paternalist agenda of the BBC as a whole with the marginal position of the new television service in the late 1930s when it was almost entirely free from any institutional, audience or commercial pressures. In looking at Bower’s work between 1936 and 1939, this article seeks to begin the process of populating these earliest years of television. Previous considerations of early television have rarely focussed on the particular contributions of individual producers, and emphasis has been placed on the role of the institution (the BBC) and/or the technology (inflexible four- camera live studio transmissions, outside broadcasts) as determining the programming forms of those first years. In an influential article, for example, John Caughie (1991: 30-31) writes of early television drama that ‘Adaptation and relay… defined the horizons of aesthetic ambition… within a more or less accepted dependency on an original reality – of event or performance – which went on elsewhere, but was not produced by television.’ In his foundational study The Intimate Screen, Jason Jacobs refines this analysis in important ways, acknowledging that ‘television drama producers were actively engaged with the formal and stylistic possibilities of the new medium, rather than slavishly relaying West End performances.’ (2000: 51) But while Jacobs discusses the contributions of producers to specific productions in the 1936-39 period, his concerns do not include tracing continuities of focus and approach across multiple productions credited to the same individual. The surviving evidence strongly suggests that, in common with his peers at Alexandra Palace, including Thomas, George More O’Farrell and Fred O’Donovan, Dallas Bower in his programmes did not accept a 5 dependency on what Caughie characterises as ‘an original reality … not produced by television’. Almost all of Bower’s work in these years results from a clear set of structuring choices applied for and to events created specifically for the medium. As a producer he was an active and determining individual with identifiable interests and concerns who assembled casts and crew for specific projects, and then, acknowledging the limitations of the mediating technologies of image and sound, shaped in significant and sometimes highly innovative ways as a director what he was responsible for bringing to the screen. The key creative individuals in pre-war and immediate post-war television were producers, just as were their more established colleagues in radio. Bower was contracted as a producer and he usually took this credit on the programmes for which he had overall responsibility (although occasionally a Radio Times listing includes the phrase ‘Production by Dallas Bower’). But being a producer also involved all the tasks later associated with a director, including refining the performances of the actors and planning and executing the camera script. Only in the early 1950s did specialisation bring with it the separate credit for a ‘director’. As to the traces left by the producer Dallas Bower in the early years, the only televisual archive elements are Television Comes to London (1936), an introductory film which he co-directed before the BBC service went on air, and the BBC Television Demonstration Film for which he was responsible and which was first transmitted in July 1937. Everything else – the plays, operas and variety programmes – was broadcast live long before there was both a viable method of recording them or an institutional concern to do so. But as Jacobs (2000) in particular has explored, written and printed materials can offer deep insights into early television, and as Emma Sandon (2007) has highlighted, so too can the anecdotal recollections of those involved in its creation. 6 In Bower’s case records of these kinds are comparatively rich. In 1995 he dictated a fragment of an unpublished autobiographical manuscript, ‘Playback’1. Other records relating to his work include a lengthy oral history interview for the BECTU History Project recorded in 1987; personnel files in the BBC Written Archives Centre at Caversham (containing both professional and personal details) together with programme production files; studio photographs; Radio Times listings and ‘diary’ items written by ‘The Scanner’; press comment in The Listener and elsewhere; and both contemporary and retrospective writings by those who worked with Bower and indeed by Bower himself. Uniquely among the early television producers, Bower was a critic – we might even say a theorist – writing about cinema and television. In 1936 he published a short book called Plan for Cinema that outlines, among other visionary technologies, a form of ‘immersive’ film that surrounds the viewer in three dimensions. Incorrigibly “highbrow”: early influences and experiences Despite the fact that Dallas Bower was the great-great-great grandson of the stage actress Sarah Siddons, as a young man he was fascinated by the new media of radio and film. At school he set up an amateur radio station in his grandfather’s attic in Putney and he was then taken on by Marconi. He wrote for magazines about radio and briefly edited Modern Wireless before in 1927 securing a job as a sound recordist at Elstree with British International Pictures. There he claims to have recorded the ‘Knife, Knife, Knife’ wildtrack that Alfred Hitchcock famously used in Blackmail (1929) (Bower 1995). In the early 1930s Bower was a regular at the Film Society screenings, became a sound editor and then a film editor, working under Thorold Dickinson at Cricklewood, before graduating to direct the feature The Path of Glory (1933) with Felix Aylmer, Maurice Evans and a young Valerie 1 An unpaginated digital file copy of ‘Playback’ was kindly made available to me by Simon Vaughan of the Alexandra Palace Television Society. 7 Hobson2. Following this Bower began to collaborate with the émigré filmmaker Paul Czinner, for whom he worked as assistant director on Escape Me Never (1935) and As You Like It (1936) -- and for the latter he secured the services of the up-and-coming composer William Walton to write the score. Bower’s interest in television was sparked in the late 1920s by a lecture by one of the pioneering engineers of the technology A. A. Campbell- Swinton. For the December 1934 issue of The Wireless World Bower wrote an article about television and just over a year later he offered some further thoughts in his book Plan for Cinema where – in line with his involvement with film -- he envisaged that television would develop as ‘cinema in the home’ (1936: 56). Early in 1936 he sought a position with the BBC television service. Director of Television Gerald Cock appointed a small number of producers with experience of the theatre, but only Bower had worked extensively in the film industry. Bower stayed on staff with the BBC until the war came, when he went freelance to join the Films Division of the Ministry of Information. To the extent that his career is celebrated at all, he is given credit for suggesting to Filippo del Giudice and Laurence Olivier that they might make Henry V (1944) as a patriotic epic (Purser 1999), and he worked on the film as associate producer. In 1941 he returned to the BBC and the radio service, over-seeing among other projects the ambitious and innovative dramatic features written by Louise MacNeice Alexander Nevsky (1941) and Christopher Columbus (1942). Of the latter, Alan Dent wrote in The Listener (1942: 508), ‘For plays on a big scale Dallas Bower is the best producer, and therefore Dallas Bower produced.’ 2 Like so much of Bower’s work, the film is lost, but in part because of the survival of a set of production stills it is on the British Film Institute’s ‘Most Wanted’ list (British Film Institute 2010). 8 After the war, Bower returned to the BBC as a freelance producer and director but for many his productions seemed not to exhibit the same level of professional achievement as before -- for instance, the Manchester Guardian described his production 1950 production of William Douglas Home’s comedy Master of Arts as ‘very clumsy and uneven’ (Anon. 1950: 3) -- and his short-term contracts were not renewed. After that, his credits comprise something of a ragbag of production roles, including directing an Anglo-French-Russian animated version of Alice in Wonderland (1949), producing some eighty early television commercials, and also an executive role on the early television film series The Adventures of Sir Lancelot (Sapphire Films/ITC Entertainment for ATV, 1956-57). The sense that he was unable to sustain the creative achievement of the 1930s may be accounted for by personal problems (his personnel files hint at the strain of dealing with his wife’s extended illness). Alternatively, it may be that he was unable to recreate the sustaining creative context with little if any pressure from commercial concerns offered by the BBC television service between 1936 and 1939. In those years, Bower was certainly highly regarded by his colleagues at Alexandra Palace. In 1937, in his first (confidential) annual review at the BBC, Gerald Cock wrote that Bower was particularly useful ‘on special productions and those involving a higher degree of imagination and intelligence’. A year later, he recorded, ‘Apt to reach out beyond the distinctly practical and to go “highbrow”.’ And in 1939 Cock noted of Bower that he was, ‘Incorrigibly “highbrow”, and as such valuable!’ (BBC WAC L1/46/1). To offer an outline of Bower as an innovative and ‘incorrigibly “highbrow”’ producer for early television, brief case studies follow of four of his productions made between the summer of 1937 and early 1939: his modern dress version of Shakespeare’s Julius Caesar; an ambitious staging of The Tempest (1939) which complemented Shakespeare’s verse with the incidental music written for the play by Sibelius; a 9 production of Pirandello’s Henry IV (1938); and a presentation in mime of Act II of Wagner’s Tristan und Isolde. Working in the studio In the inter-war years Bower and a handful of other producers formulated the basics of television studio production. The working methods and approaches drew explicitly on established practices in radio, theatre and cinema production. Bower was clear about which of these established media should be the dominant influence. ‘I was quite clear… that the primary requirement was that we should operate in the manner of a film studio rather than the manner of a theatre,’ he recalled in his BECTU History Project interview (1987). He aspired to achieve the visual quality of cinema ‘rather than a long shot of a theatre performance.’ He also recalled how the television studios at Alexandra Palace were adapted after the model of a film studio. Although Studio A (EMI-equipped: four camera channels) was neither built as a theatre nor as a film studio, it soon became clear that for drama production the studio would have to operate primarily in the manner of a film studio. There were tabs (curtains) and a cyclorama (permanent semi-circular indefinite grey backing) but sets would be designed and erected as if for film shooting. (1986: 339) Certain of the dramas and other productions that Bower, Thomas and others presented from Alexandra Palace had been presented previously on theatre stages. Ballets from the Vic-Wells company, for example, with Margot Fonteyn among the dancers, were a regular feature, but there were also original ballets commissioned for television, such as Antony Tudor’s En Diligence (1937) and Portsmouth Point (1937), the latter set to music by William Walton, and both produced by Bower. Bower also had to spend time mounting revues for television, even though as Gerald Cock recorded in 1937 that Bower ‘loathes plain variety’ and, the following year, 10 ‘Temperamental in its best sense. Not very easy sometimes to get down to routine work in its less interesting aspects.’ (BBC WAC L1/46/1). In ‘Playback’, Dallas Bower gave a sense of how the interests of each of the early producers shaped the output of the service to a significant degree. ‘[Stephen] Thomas concentrated on his penchant,’ he wrote, ‘which was the eighteenth century, and I concentrated on what I thought the Service should certainly attempt – Shakespeare and opera.’ (1995: 17). Nearly two years after the start of the service, in the summer of 1938, the anonymous reviewer for The Times, writing about Bower’s modern-dress Julius Caesar, reflected that: Mr Dallas Bower is the most daring of the Alexandra Palace producers, and his empiric productions sometimes lead to strange results, but his version of Julius Caesar in modern dress last week was undoubtedly a success… the play, stripped of its classical trappings, becomes a present-day drama of power politics, and the atmosphere of intrigue and unrest is unfortunately but too real in certain countries today. (Anon 1938: 6). The review was written just six weeks before the Munich crisis. In productions such as Julius Caesar Bower and his colleagues were working with exceptionally limited visual possibilities – usually three or four fixed lens Emitron cameras, only one of which had minimal movement forwards and backwards while shooting; narrow depth-of-field; and no cuts from shot to shot. [I]n early productions … only dissolves were possible. It was, of course, a severe limitation; on the other hand a cut could be approximately simulated if the vision mixer was skilful and his wrists sufficiently flexible to flick the rheostat knobs through the necessary 360 degrees. Even so, the ‘cut’ was rarely less than the film equivalent of a six-foot dissolve (four seconds) (Bower 1986: 340). 11 In February 1939, less than a year after Julius Cesar, the producer who Radio Times was now describing as ‘the experimental-minded Dallas Bower’ (1995: 19) was emboldened to take on The Tempest. The Tempest is a Shakespearean director’s joy and for some time I had thought of doing it with the Sibelius incidental music. And this wildly over-ambitious project was about to come into being. The Sibelius music had been commissioned by Gordon Craig for a production in Denmark which never took place. [1995: 19]. The production file at Caversham gives a sense of the complexities of this broadcast which used all seven camera channels across both Alexandra Palace studios, five microphones (including one for the orchestra) and two penumbrascopes. These were devices for throwing shadows onto the studio backcloths to suggest certain kinds of scenes, and they were much favoured by Bower and by his designer Malcolm Baker-Smith. Peggy Ashcroft volunteered herself for the role of Miranda. On the day after the first presentation (the play was broadcast live on both 5 and 8 February), Bower wrote to the Director of Television Gerald Cock summarising the reasons for ‘the disastrous results’ (BBC WAC T5/508). Bad performances were part of this, as were ‘floor mistakes’ like a prompter standing in the foreground of a long shot and props men being visible in a superimposition. The sound balance was so poor that ‘a senior member of the Engineering Division’ who was watching at home rang up the control gallery to complain. Many of the problems, as so often at Alexandra Palace, could be accounted for by inadequate rehearsal time with the cameras in the studio. Even so, the critic for The Times wrote that ‘picture after picture of Prospero and Miranda were memorable as being beautifully placed on the screen and giving us an intimate picture of the two, more intimate than any theatre performance can be.’(Anon 1939: 12; emphasis added) 12 Dallas Bower’s interest in experimentation can also be seen in his staging of Pirandello’s Henry IV with actors Denys Blakelock and Valerie Hobson, a play he described as ‘a play of deep complexity but enormous dramatic power’. For its really successful presentation it needs to generate an overwhelming feeling of claustrophobia and to this end I decided to produce it in a four-sided set, never before attempted on live TV. This enabled me to use complete reverses which meant that cameras 1 and 2 had to be masked from one another. Camera 1 shot through an aperture in the spy-grill of a door and camera 2 through an aperture in a curtained window; thus the room was without daylight and the claustrophobic effect intensified. (Bower 1986: 340; original emphasis) Bower’s continual experimentation can also be recognised in his presentation of the central act of Tristan and Isolde. As noted above, he wrote in ‘Playback’ that at Alexandra Palace he concentrated on ‘what I thought the Service ought certainly to attempt – Shakespeare and opera.’ In this manuscript he also recalled that his mother took him to an all- Wagner concert at the Kingsway Hall just after the First World War. ‘Since that time [he would have been perhaps twelve or thirteen] I had seen every Wagner production that had come my way, and I had never ceased to think of The Ring’s film potential.’ (1995: 21) One chapter of Plan for Cinema, indeed, is devoted to a discussion of opera and film. Only eleven days after the opening of the Alexandra Palace television service, Bower was able to present twenty-five minutes of the new opera Pickwick, which was composed by the conductor of that all-Wagner concert, Albert Coates. And over the next three years Bower produced many of the thirty or so BBC television opera productions (Salter 1977a: 234-39). For Christmas 1937, Stephen Thomas mounted Thomas Arne’s ballad- opera Thomas and Sally as a mime with actors. The actors, who did not move their lips, were on camera in Studio A at Alexandra Palace, while 13 the orchestra and singers were in Studio B. Bower employed a similar approach a month or so later when he mounted his production of Act II of Tristan and Isolde. Lasting over an hour, in the opera house this scene has next-to-no conventional ‘action’, and has just two singers on stage for almost its whole length. The choreographer Antony Tudor, with whom Bower worked on many occasions, staged the mime, with the actors being expected to keep their mouths shut. Evidently, according to ‘G. G. W.’ in The Listener, Miss Oriel Ross as Isolde did exactly this, but as Tristan ‘Mr Basil Bartlett compromised (seldom a wise policy in any artistic experiment) and opened and shut his mouth vaguely from time to time, producing an effect more fishlike than heroic.’ The critic concluded: Tristan was not a success. But it was a courageous attempt, with just that touch of imagination and originality which is so easy to criticise and so hard to create.’ (1938: 251) Lionel Salter, who worked with Bower at Alexandra Palace, has written details that the camera script for Tristan contained as few as 36 shots in total – and this for a 64-minute production (1997b: 340). He suggests that this was ‘in keeping with the dramatic character and the musical pace’ of the scene, but recognises that Tristan was not in fact very well received: the general public criticised it for its length and slowness, the musicians felt that the vision added little or nothing, and the popular press characterised it as a long-drawn-out ‘boy and girl routine’. Despite the very limited visual achievement of Tristan, there is a clear sense throughout these years that Bower was attempting to bring to television the languages and production practices of the contemporary cinema. At one of his initial BBC interviews, a mandarin said that he hoped Bower was not ‘one of those René Clair fellers’, to which the producer replied that ‘if I thought I had as great a talent as Clair I would have occasion to be extremely pleased with myself, that in fact I 14 considered him to be one of the great masters of cinema’ (1995: 11). As he recalls events, Bower was later able to apply lessons learned from Clair and from his other directorial mentor to the standardisation of studio production techniques. With the practice of Clair and Hitchcock in mind, I suggested to D H. Munro, the Productions Manager, that all productions should be designed and laid out on paper. With this Munro cordially agreed, and it became standard practice. Thus, all four camera operators became aware via a drawn layout of what would be approximately expected of them in rehearsal and during transmission. (1995: 14) Agency and audience As the four brief case studies above demonstrate Bower was able to exercise considerable agency, both in his presentation of particular programmes and in the choice of what those programmes would be. In ‘Playback’ he claimed [From the start] … we were to be given our heads. I can say with all sincerity that every single production project (except one) I put forward for transmission during 1936-39 I was allowed to undertake and execute. (1995: 12) The unrealised project, which did not proceed for reasons of its high cost, was a masque version of Berlioz’s The Damnation of Faust. Nor was Bower shy about making claims for his personal influence on the development of early television. In ‘Playback’ he recalled that he and Stephen Thomas were instrumental in the BBC’s decision in February 1937 to stop alternating the use of the Baird mechanical and the EMI electrical production systems. The limitations of the Baird system were such that both producers contemplated handing in their resignations. ‘To have taken such action on our part,’ he wrote ‘would indeed have been foolishness of the most irresponsible sort, but our pressure bore fruit. A decision was taken to scrap the Baird system entirely.’ (1995: 13) 15 Why was Bower able to exercise such power and to enjoy such apparent creative freedom? Jan Bussell, another producer who worked at Alexandra Palace before the war, later recalled the creative atmosphere there and the change that occurred after the service returned in 1946: [I]n the earlier days the artists’ viewpoint was more often heard than now. At informal weekly meetings with the heads of television producers and designers were at liberty to air their opinions. But, with the growth of the service after the war, producers were banned from programme planning meetings. (1952: 12) The centrality of producers in the determination of the schedule was in part a function of the modest number of television production staff at Alexandra Palace. Nor was television a major priority for BBC management, including John Reith, during the 1930s. Its audiences, after all, were tiny when compared with radio, with perhaps 60,000-80,000 ‘lookers-in’ in the London area able to view in 1939. But what is also clear is that Bower could continue his innovative work in part because of what he in several places calls ‘appreciative audiences’ and, for Julius Caesar, ‘an excellent press’. Recollecting the production in ‘Playback’ sixty years on, Bower also wrote, ‘what was really more important than any of these things [by which he means press and publicity], it had an appreciative audience’ (1995: 18). Yet it is exceptionally hard to know if – and certainly how -- Bower and his superiors judged this appreciation beyond, perhaps, the comments of those they met at dinner parties. In the BBC Written Archives Centre at Caversham there exist only two general audience research reports for pre-war television and seemingly none for individual programmes. The first general report, Viewers and the Television Service, dated 5 February 1937, investigated the opinions of just 118 lookers-in who had replied to a posted questionnaire, but it contained no discussions of individual programmes (BBC: 1937). Nor are there such in the second, An Enquiry into the Viewers’ Opinions on Television Programmes, dated 26 June 16 1939, which was based on 3,971 questionnaires. The report uses this evidence to determine that ‘Continental Feature Films’ are viewers’ second least favourite type of programme, being only marginally more popular than ‘Musical Features’ (BBC: 1939). The responses of the audience, however, were of only moderate concern to Bower and his colleagues. Far more importantly, his interests aligned closely with the Reithian paternalism that dominated the BBC’s broadcasting in the inter-war years. John Reith, Managing Director General of the British Broadcasting Company from 1923 to 1926, and the first Director General of the British Broadcasting Corporation from 1927 to 1938 had detailed the broad principles of this guiding ethos in his memorandum to the Crawford Committee in 1925 (Reith 1925). Paddy Scannell and David Cardiff have provided a useful précis of this document. Broadcasting had a responsibility to bring into the greatest possible number of homes in the fullest degree all that was best in every department of human knowledge, endeavour and achievement… Broadcasting had an educative role and the broadcasters had developed contacts with the great educational movements and institutions of the day in order to develop the use of the medium of radio to foster the spread of knowledge. (1991: 7) Reith’s concerns remained consistent across more than two decades, as is evidenced by a quotation from his 1949 autobiography Into the Wind by which time he had long since left the BBC: It is not insistent autocracy but wisdom that suggests a policy of broadcasting carefully and persistently on the basis of giving people what one believes they should like and will come to like… The supply of good things will create the demand for more. (1949: 74, emphasis added) 17 Bower’s 1936 Plan for Cinema is in many ways a visionary book foreseeing how colour, widescreen and 3D might be used to create a new form of filmic poetic drama. But it also betrays similar – and perhaps particularly in the mid 1930s, problematic – Reithian attitudes towards the audience. ‘Giving the public what it wants’ dies hard, but at last the idiotic phrase is being appreciated for the illusion it is. You nor I, nor anyone knows what the public wants. And least of all does the public know itself. If we give it something a little better than that which it liked last time, we shall at once have served better the public and ourselves. And the public in return will serve us by acclaiming the success of our policy. For the quintessence of success is to lead. And the great bellowing, inarticulate masses … are never happier than when someone is showing them firmly which way they are to go. (1936: 146) Television permitted Bower to aspire to lead those ‘bellowing, inarticulate masses’ because during these years it was a marginal monopoly entirely divorced from the forces of the market. Nor was he at all interested in or diverted by the shifts in taste and understanding that, in the words of D.L. LeMahieu, ‘began to modify some of the assumptions and attitudes that buttressed Reith’s cultural missions’ (1988: 59). Bower’s work in these years reasserts the traditional cultural hierarchy of low and high and demonstrates precious little interest in the developing ‘common’ culture, whose emergence in the 1930s LeMahieu has detailed so elegantly in his book A Culture for Democracy: Mass Communication and the Cultivated Mind in Britain Between the Wars. At the same time Bower was working with a modern technology of (potentially, and as it turned out) mass communication which had yet to achieve, if it ever has, social and cultural respectability. His commitment to Shakespeare, to Pirandello and to Wagner might be seen as an attempt to co-opt the grand European cultural tradition to assist this new medium in 18 achieving just this legitimacy. Despite, or perhaps precisely because of, the fact that only tangential fragments remain of Dallas Bower’s attempts to translate this tradition into grey and fuzzy and flickering electronic images on a 10” screen, the man and his mission remain fascinating. References Anon. (1938), ‘Televised Drama: Julius Caesar in Modern Dress’, The Times, 1 August 1938, p. 6. Anon. (1939) ‘Televised Performance of The Tempest’, The Times, 7 February 1939, p. 12. Anon. (1950), ‘Television: The Juvenile Court’, Manchester Guardian, 29 November 1950, p. 3. BBC, Listener Research Section, Public Relations Division (1937), ‘A report of an investigation of viewers’ opinions in January 1937’, 5 February 1937, BBC WAC R9/9/1. BBC, Listener Research Section, Public Relations Division (1939), ‘An enquiry into viewers’ opinions on television programmes conducted in the first quarter of 1939’, 26 June 1939, BBC WAC R9/9/3. BBC WAC L1/46/1, ‘Left Staff: Dallas Bower’ personnel file. BBC WAC T5/508, ‘TV Drama: Tempest, The 1938-51’ production file. Bower, Dallas (1936), Plan for Cinema, London: Dent. Bower, Dallas (1938), ‘Televising Act II of Tristan and Isolde’, The Listener, 16 February 1938, pp. 370-71. Bower, Dallas (1986), ‘Live television drama – 1936’, Television: Journal of the Royal Television Society, December 1986, pp. 338-341. Bower, Dallas (1987), BECTU History Project interview recorded with Alan Lawson and Roy Fowler, recording accessed BFI Library, London, 4 March 2011. Bower, Dallas (1995), ‘Playback: A Life in Radio, Film and Television’, unpublished manuscript. British Film Institute (2010), The Path of Glory, 1934, http://www.bfi.org.uk/nationalarchive/news/mostwanted/path-of-glory.html, accessed 27 March 2011. 19 Bussell, Jan (1952), The Art of Television, London: Faber and Faber. Caughie, John (1991), ‘Before the golden age: early television drama’, in Corner, John (ed.), Popular Television in Britain: Studies in Cultural History, London: British Film Institute, pp. 22-41. Dent, Alan (1942), ‘’Critic on the Hearth’, The Listener, 15 October 1942, p. 508. Goldie, Grace Wyndham (1938), ‘Television: Now Then, Ally Pally!’, The Listener, 11 August 1938, p. 307. ‘G. G. W.’ (1938), ‘Television: Tristan and Isolde’, The Listener, 2 February 1938, p. 251. Jacobs, Jason (2000), The Intimate Screen: Early British Television Drama, Oxford: Oxford University Press. LeMahieu, D. L. (1988), A Culture for Democracy: Mass Communication and the Cultivated Mind in Britain Between the Wars, Oxford: Clarendon Press. Purser, Philip (1999), ‘Obituary: Dallas Bower’, The Guardian, 20 October 1999, http://www.guardian.co.uk/news/1999/oct/20/guardianobituaries2, accessed March 15 2011. Reith, John (1925), ‘Memorandum of information on the scope and conduct of the broadcasting service’, BBC WAC. Reith, John (1949), Into the Wind, London: Hodder and Stoughton. Salter, Lionel (1977a), ‘The Birth of TV Opera’, Opera, March 1977, pp. 234-239. Salter, Lionel (1977b), ‘The Infancy of TV Opera’, Opera, April 1977, pp. 340-344. Scannell, Paddy and David Cardiff (1991), A Social History of British Broadcasting: Volume One 1922-1939 Serving the Nation, Oxford: Blackwell. Sandon, Emma (2007), ‘Nostalgia as resistance: the case of the Alexandra Palace Television Society and the BBC’, in Wheatley, Helen (ed.), Re-viewing Television History: Critical Issues in Television Historiography, London: I.B. Tauris, pp. 99-112. 
work_nill4ibzzzggbae6s73fnbj5zi	----	Haitian Archaeological Heritage: Understanding Its Loss and Paths to Future Preservation heritage Article Haitian Archaeological Heritage: Understanding Its Loss and Paths to Future Preservation Joseph Sony Jean 1,* , Marc Joseph 2, Camille Louis 2 and Jerry Michel 3,4 1 Royal Netherlands Institute of Southeast Asian and Caribbean Studies, Reuvensplaats 2, 2311 BE Leiden, The Netherlands 2 Department of Anthropology, University California Santa Cruz, 1156 High St, Santa Cruz, CA 95064, USA; majoseph@ucsc.edu (M.J.); clouis1@ucsc.edu (C.L.) 3 Department of Sociology, Université d’Etat d’Haïti, 21, rue Rivière, Port-au-Prince HT6112, Haiti; mycoje@yahoo.fr 4 Department of Sociology, Université Paris 8, 2 rue de la Liberté, Saint-Denis 93526 Paris, France * Correspondence: jean@kitlv.nl Received: 14 June 2020; Accepted: 7 July 2020; Published: 11 July 2020 ���������� ������� Abstract: Haitian archaeological heritage is expressed through multiple traces of Amerindian cultures, enslaved African legacies, ruins of old colonial plantations and fortresses, and post-Haitian independence. Despite the existence of legal institutions engaged in the protection of this heritage, Haitian archaeological sites are becoming more threatened because of looting, appropriation of spaces, and lands management, as well as natural hazards. This paper aims to explore the current state of archaeological heritage with the broader context of the politics of heritage in Haiti. We analyzed the conditions of archaeological sites from the northern region and addressed their place in official heritage practices. The results of this study revealed that most of the archaeological sites that reflect the complexity of Haitian history are not given much attention in the politics of heritage that prioritize the nationalistic and emblematic character of historic traces. This study highlighted the importance of a new approach that prioritizes multiple voices to address heritage matters for the future. Keywords: archaeological heritage; public institutions; heritage politics; heritage management; Haiti 1. Introduction Cultural heritage includes all property, whether material or non-material, that has a historical and artistic character and belongs to a country, region, city, or to social groups or individuals. Moving from a utilitarian vision to a dynamic of participatory construction [1–5], heritage becomes the historical, cultural, and social wealth associated with the territory whose identity it bears in various forms [6,7]. Heritage “encompasses a range of things from large to small, grandiose to humble, natural to constructed . . . everything from whole landscapes to tiny fragments of bone, stone, charcoal in archaeological sites” [3] (p. 5). The problematic polysemy of the term does not, however, obscure its historical and cultural significance, which must be transmitted from one generation to the next [3,8]. According to Pajard and Olivier, heritage might be considered a trace of the past in various respects; it has the particularity of having to be legitimated, of being a sign-representation, or even a sign-symbol of a collective identity around a territory, a culture or a group [9] (p. 374). In this sense, Haiti’s heritage bears witness to the richness of the works and traditions stemming from its history. Various populations, including Amerindian, European, African, and Asian, have lived and succeeded one another through the centuries; all have put their mark on the landscape via the caves, colonial dwellings, fortifications, churches, palaces, houses, natural sites, and traditions and cultural practices around which the nation’s heritage, cultural identities and collective memory have been shaped. Heritage 2020, 3, 733–752; doi:10.3390/heritage3030041 www.mdpi.com/journal/heritage http://www.mdpi.com/journal/heritage http://www.mdpi.com https://orcid.org/0000-0002-4919-5086 http://www.mdpi.com/2571-9408/3/3/41?type=check_update&version=1 http://dx.doi.org/10.3390/heritage3030041 http://www.mdpi.com/journal/heritage Heritage 2020, 3 734 Haiti contains a large number of archaeological heritage sites that reflect this diverse history of cultural development in the islands. Caribbean archaeological heritage is facing important political, economic, and ecological problems, as well as the fast development of tourism [10–12]. Scholars address the challenges of protecting cultural heritage sites by focusing on laws and regulations [13]. The Caribbean’s exposure to natural disasters (climate change, sea-level rise, hurricanes, earthquakes, and volcanic eruptions) make its cultural heritage more and more vulnerable [10,12–25]. Haiti’s archaeological heritage is among the most threatened in the region due to the country’s many chronic political, economic, and environmental problems [26–29]. Despite the existence of laws and regulations, destruction and looting of archaeological sites, as well as investigations without government permits or controls, have dealt a major blow to the future of Haiti’s remaining archaeological heritage. In addition, the importance of this nation’s archaeological heritage has not been widely promoted in the public arena. Safeguarding the future of this archaeological heritage calls for a strong management vision and plan, even as human factors and natural disasters affect that heritage and often result in its transformation and loss [30]. The preservation of a heritage site depends on many factors. Geographical, societal, economic, and political aspects can determine its loss or protection, depending on the type of governance involved. In some instances, in the context of internal and global economic crises, institutional authorities prioritize struggles to redress basic economic challenges at the expense of putting effective strategies in place to protect heritage [31], even though archaeological tourism based on specific archaeological sites can often enhance economic activities at local and national levels [32–34]. With no effective policy to protect archaeological sites, the economic value that encourages a tourist economy is likely to cause damage, depriving future generations of that heritage. The value-based approach to heritage developed by the International Council on Monuments and Sites [35] has been criticized, since: “A values-based approach, though supposedly placing people at the core of conservation and management (through the concept of stakeholder groups), actually tends to promote community involvement within conservation professionals’ rules and under their supervision. The concept of stakeholder groups, as defined and applied in a values-based approach, is rather problematic, obtaining meaning and existence through conservation professionals’ power” [36] (p. 174). This approach is then related to the power of conservation professionals focusing more attention on the tangible rather than the intangible aspect of archaeological heritage. Ioanis Poulios [36,37] proposes instead that a “living heritage approach” be used in parallel with a value-based approach, because it “is inextricably linked to a specific community that retains its original association with it throughout time (continuity), by maintaining its function and continuing the process of its spatial definition and arrangement over the course of time to the present” [36] (p. 175). This approach considers the core community as inseparable from a site [38–42]. In this sense, heritage practices “can take an active engagement with communities expressing contemporary concerns for social change” [43] (p. 201) and for retelling and communicating the community’s history [44,45]. Considering a broad scenario that includes various archaeological sites and objects, this approach also requires taking into account multiple types of archaeological resources, especially when all are faced with a lack of policy related to their safeguarding from loss to the anticipation of their future. The role of institutions such as museums should also be considered in the process of protecting mobile cultural heritage (e.g., artifacts) and making it available to various interested publics for purposes of education, history, memory, and scientific knowledge. Marie-Lucie Vendryes [46] (p. 48) points out that the opposite is true in the Haitian context, because “the number of public institutions safeguarding the country’s memory is a marker for what must be termed a failure in terms of preservation and transmission of movable cultural goods.” The role of archaeological heritage in a post-colonial context like Haiti is also fundamental to questioning biased colonial historical narratives, as it is able to offer an alternative discourse on a common past, even though heritage is often “subject to contestation and malleable to the needs of societies and cultures in the present” [47] (p. 50). Heritage 2020, 3 735 Haitian archaeological heritage is being irreparably damaged in the absence of protective mechanisms that can ensure its longevity [48,49]. The current state of heritage practice calls for a critical prism through which to examine the politics of heritage, the processes of preservation, management, and appropriation, and the future of the Haitian archaeological heritage. Kenrick Demesvar [50] argues that local communities should be encouraged to get involved in the management of heritage sites (Parc Historique National), while seeking economic development that is compatible with the conservation of heritage resources and the local, regional, and national economy, through recreation and tourism. Geller and Marcelin [51] found that in Haiti, when vernacular culture shares common ground with official interests in the preservation of a World Heritage site, this situation can create opportunities for collaboration among local communities, national institutions, and international organizations in the management of the site. Scholars must also take on board the intangible dimension of Haitian cultural heritage in a touristic context [52,53], by considering community participation in touristic development [54], through religious identity construction [55], and patrimonialization of slavery [56]. The goal of this paper is to challenge current tendencies in Haitian heritage activities that prioritize the protection of certain types of archaeological heritage while the majority of archaeological sites and other cultural materials are lost. Preserving a broader range of the ephemeral material traces of Haiti’s deep and diverse historical past is not currently high on any national political or cultural agenda, despite regulations that place them in the public domain. This paper outlines the current state of Haitian archaeological heritage, drawing on the role of public institutions in the protection of heritage and addressing discussions on the place of archaeological resources with regard to heritage management and practices more broadly. 2. Background: Archaeological Research in Haiti Knowledge of the Haitian past that is based on archaeological research has come through a long process of collecting artifacts and investigating sites. In the 18th century, the French historian Charlevoix [57] identified Amerindian iconographies and objects in the colony of Saint-Domingue. André Delpuech [58] noted this as the first observation with an archaeological character, which created the basis for French scientists of the colony to establish early archaeological work in Saint-Domingue. Moreau de Saint-Merry reported that “the remains of tools used by the natives who inhabited the region were found throughout the town of Limonade” [59] (p. 206). Amerindian objects collected in the colony of Saint-Domingue were sent back to France to be exhibited in Cabinets de Curiosités during the 18th century. Some of the collected objects were used to set up an Indian museum at Cap-Francois [58]. These objects were important in implementing colonial discourse and legitimating the scientific views of members of the Cercle des Philadelphes. During the late 19th and first two decades of the 20th century, in the context of Haitian post-independence, attention was paid to Amerindian agricultural practices, plant uses, and prehistoric objects found in Haiti [60–64]. In the region of Fort-Liberté, during the American occupation of Haiti (1915–1934), the Pettigrew family surveyed and collected artifacts [65]. As the result of these efforts archaeological investigations became more important and Herbert Krieger investigated many archaeological sites in the Fort-Liberté region, Port-au-Prince Bay, the Cul de Sac, the Plaine de Leogane, Hinche, and the Massif du Nord. Godfrey Olsen and Harrison K. Bird investigated archaeological sites in the south of Haiti during the same period [66,67]. Some years later, Haiti received more attention during early West Indian archaeological investigations, through the presence of American archaeologists such as Froehlich Rainey, Irving Rouse, and Stanley Boggs [68–71]. Scientific research continued in parallel with collecting and conserving Amerindian objects. A large proportion of these objects were part of a National Museum founded by President Stenio Vincent in 1938 [72,73]. Archaeological research in Haiti continued hand-in-hand with the founding of the Bureau Ethnologie in 1941, a public institution created to renew interest in pre-Columbian archaeology and ethnography. Jacques Roumain, as director, led this new institution to organize, for the first time, an archaeological congress (Congrès Régional d’Archéologie Préhistorique). This event Heritage 2020, 3 736 can be considered the starting point of Haitian scholars promoting Amerindian cultures, which, for a long time, had been stereotyped and dismissed in intellectual debates [72]. However, under the Bureau Ethnologie’s authority, archaeological investigations were undertaken over several years, with the objective of promoting Amerindian history and culture in society [74–81]. These investigations reinforced the museum collections with pre-Columbian archaeological objects. Less archaeological work took place in Haiti during the 1970s; however, the arrival of the Hodges family in northern Haiti boosted archaeological research at that time [82–84]. A significant portion of Haiti’s archaeological heritage is still conserved and exhibited at the Guahaba Museum at Limbé town; a private museum built by this family in 1983. Other archaeological works highlighted the culture history of the native Amerindian cultures in Haiti [85–90]. Some were based on documenting Amerindian settlement dynamics on national and regional scales [26–29]. It is also important to note that many archaeological caves including some with rock art as well as riverbed petroglyph sites have been documented in Haiti [91–97]. In contrast with the role of archaeology in documenting the pre-colonial cultural history of the native Amerindian peoples of the island, Haiti’s colonial history is mostly based on written sources. Archaeological knowledge related to the colonial period is rarely used to challenge data in the colonial archives and historical narratives. For instance, the archaeology of early European colonization was undertaken on a small scale, with a specific focus on the Spanish settlement at En Bas Saline and Puerto Real. This project was conducted mainly by American-trained researchers from the University of Florida (1979–2004) and is notable for introducing a multidisciplinary approach that involved the integration of history and archaeology in Haiti [98–108]. These works contributed to our understanding of the early stages of European colonization in Haiti, especially daily life in the Spanish colonial town of Puerto Real. Despite the role of Saint-Domingue in the process of shaping the history of the global colonial system, archaeology related to the French colonial period in Haiti is grossly underdeveloped compared to that of the rest of the Caribbean. This situation means that archaeological data are nearly absent from Haitian colonial history. As a result, there are serious gaps in our understanding of European colonial history in Haiti, which need to be further addressed. The long-term work of surveying, cataloguing, and mapping the ruins of plantations and colonial and national forts by the Institut de Sauvegarde du Patrimoine National (ISPAN) [109] also requires other scales of analysis. Archaeological remains have only now begun to impact how we analyze colonial history in Haiti [27,110,111]. On a larger scale, archaeological work on colonial plantations has recently been used to highlight the historical development of northern Haiti, by focusing on the Fort-Liberté region [27]. By mapping different features of the colonial settlement, this work helps to capture the strategies used by the French colonists to organize the landscape, to control the lands and people, and to put in place defensive strategies through the distribution of many colonial forts [27]. The Milot Archaeology Project involves studying the historical transformation of the Milot’s historical landscape by exploring the lifeways of the Kingdom of Henry Christophe in northern Haiti after the Haitian Revolution [112]. Overall, these projects contribute to an understanding of Haitian archaeological heritage, although a large part of the archaeological materials collected during these investigations is currently housed in the United States by the museums affiliated to institutions that conducted the research. However, they are not easily accessible to local researchers and students in the process of gaining knowledge of the past. 3. Note on Method This paper uses northern Haiti’s case as an example that is applicable to the rest of the country. Northern Haiti contains an impressive number of archaeological sites comprising caves, cave shelters, and open-air Amerindian, colonial, and post-independence archaeological sites that are currently at risk for many reasons, from natural disasters to human interventions. The main objective of this article is to give a regional overview of the current state of the archaeological heritage by focusing on the role Heritage 2020, 3 737 of public institutions in safeguarding these resources for society. For many years, researchers have undertaken regional archaeological surveys in northern Haiti to capture Amerindian settlement patterns and have recorded around 300 archaeological sites [27–29]. The last regional archaeological survey focused mainly on understating the long-term landscape transformation of the Fort-Liberté region [27]. Many places related to Amerindian and colonial settlements have been recorded and revisited. These efforts provide an essential update of our understanding of the long-term historical development of the region. This article uses Fort-Liberté’s case and three sectors in the North, which comprise En Bas Saline, Puerto Real, and Milot in the North department, to give a more comprehensive overview of the current conditions of archaeological heritage in Haiti (Figure 1). It is particularly important to select these locations to discuss the place of different types of archaeological sites in the heritage management in Haiti regarding the role of public institutions in protecting archaeological heritage. Heritage 2020, 3 FOR PEER REVIEW 5 patterns and have recorded around 300 archaeological sites [27–29]. The last regional archaeological survey focused mainly on understating the long-term landscape transformation of the Fort-Liberté region [27]. Many places related to Amerindian and colonial settlements have been recorded and revisited. These efforts provide an essential update of our understanding of the long-term historical development of the region. This article uses Fort-Liberté’s case and three sectors in the North, which comprise En Bas Saline, Puerto Real, and Milot in the North department, to give a more comprehensive overview of the current conditions of archaeological heritage in Haiti (Figure 1). It is particularly important to select these locations to discuss the place of different types of archaeological sites in the heritage management in Haiti regarding the role of public institutions in protecting archaeological heritage. Figure 1. Map of northern Haiti modified from Google earth, showing the location of the case studies. 4. Current State of Archaeological Heritage: Northern Haiti 4.1. Fort-Liberté Region An archaeological and ethnographic survey of living heritage was conducted in the area of Fort- Liberté during 2014–2016, that identified a large number of threatened archaeological sites [27,113]. Individuals living around the Fort-Liberté region expressed concern about the absence of engagement by public authorities in the protection of archaeological heritage in the region [113]. There is clearly a lack of official heritage awareness, leading to escalating heritage loss. Houses are often built and modern villages expanded on archaeological sites in this area (Figure 2). Individuals collect artifacts and sell them to national and international relic collectors. Many sites have been damaged or totally lost due to agricultural activities and road and house construction. The ruins of colonial plantations are often deliberately damaged or destroyed. Colonial-era iron sugar-cooking pots and olive jars, bricks, and rocks from ruins are reused for personal and economic purposes (Figure 3) Some landowners consider archaeological remains as their property and act as they like, and this is used to legitimate the destruction on many sites. Figure 1. Map of northern Haiti modified from Google earth, showing the location of the case studies. 4. Current State of Archaeological Heritage: Northern Haiti 4.1. Fort-Liberté Region An archaeological and ethnographic survey of living heritage was conducted in the area of Fort-Liberté during 2014–2016, that identified a large number of threatened archaeological sites [27,113]. Individuals living around the Fort-Liberté region expressed concern about the absence of engagement by public authorities in the protection of archaeological heritage in the region [113]. There is clearly a lack of official heritage awareness, leading to escalating heritage loss. Houses are often built and modern villages expanded on archaeological sites in this area (Figure 2). Individuals collect artifacts and sell them to national and international relic collectors. Many sites have been damaged or totally lost due to agricultural activities and road and house construction. The ruins of colonial plantations are often deliberately damaged or destroyed. Colonial-era iron sugar-cooking pots and olive jars, bricks, and rocks from ruins are reused for personal and economic purposes (Figure 3) Some landowners consider archaeological remains as their property and act as they like, and this is used to legitimate the destruction on many sites. There are no protection plans for archaeological heritage in the context of land management at the national level. Some local administrations do not even have an office dedicated to the inventory and assessment of archaeological heritage. Development projects are a widespread threat to archaeological Heritage 2020, 3 738 sites and biodiversity, primarily when these particular elements of the cultural landscape are not evaluated. For instance, a sisal plantation was established in the Fort-Liberté region (1926–1987), resulting in extensive exploitation of land and the building of factories and roads. This land use had significant impacts on both Amerindian and colonial sites.Heritage 2020, 3 FOR PEER REVIEW 6 Figure 2. Modern village on an archaeological site. The red graphic shows a mound with ceramic and shell deposits. Figure 3. Archaeological remains (rocks and bricks) from a destroyed colonial ruin. They are used for rebuilding modern houses or for other personal purposes. There are no protection plans for archaeological heritage in the context of land management at the national level. Some local administrations do not even have an office dedicated to the inventory and assessment of archaeological heritage. Development projects are a widespread threat to archaeological sites and biodiversity, primarily when these particular elements of the cultural landscape are not evaluated. For instance, a sisal plantation was established in the Fort-Liberté region (1926–1987), resulting in extensive exploitation of land and the building of factories and roads. This land use had significant impacts on both Amerindian and colonial sites. Figure 2. Modern village on an archaeological site. The red graphic shows a mound with ceramic and shell deposits. Heritage 2020, 3 FOR PEER REVIEW 6 Figure 2. Modern village on an archaeological site. The red graphic shows a mound with ceramic and shell deposits. Figure 3. Archaeological remains (rocks and bricks) from a destroyed colonial ruin. They are used for rebuilding modern houses or for other personal purposes. There are no protection plans for archaeological heritage in the context of land management at the national level. Some local administrations do not even have an office dedicated to the inventory and assessment of archaeological heritage. Development projects are a widespread threat to archaeological sites and biodiversity, primarily when these particular elements of the cultural landscape are not evaluated. For instance, a sisal plantation was established in the Fort-Liberté region (1926–1987), resulting in extensive exploitation of land and the building of factories and roads. This land use had significant impacts on both Amerindian and colonial sites. Figure 3. Archaeological remains (rocks and bricks) from a destroyed colonial ruin. They are used for rebuilding modern houses or for other personal purposes. Heritage 2020, 3 739 Archaeological remains collected by American researchers during the establishment of sisal plantations are housed in museums in the USA. A new sisal plantation pilot project has started recently in the same region, on 4000 ha, which will have potential consequences for cultural heritage. The Environmental Impact Assessment, SISALCO 4.000 ha Pilot Sisal Plantation Project in North-East Haiti report made for the Minister of Agriculture detailed “relevant national institutions” that are involved in the project [114] (p. 136). The heritage institutions, as guardians of Haitian archaeological heritage, were not taken into account regarding directives and guidelines for respecting archaeological heritage in this context of land use and management. The document lists the institutional conventions and treaties as instruments of the international legal framework that Haiti has recognized, by pointing out that “Haiti has a legal framework for human lives and environment protection.” However, Haiti acknowledged other international conventions, for instance, on cultural heritage, none of which was noticed in the assessment. Another assessment for the Ministry of Agriculture, Etude d’ impact social du projet proposé de développement du Sisal dans la région Nord-Est d’Haïti, has vaguely recommended that “where necessary, the discovery of archaeological or physical cultural materials during land development should be reported and monitored by the Haitian authorities, preferably with the participation of ISPAN and the local university” [115]. Regional cultural heritage, which has already been evaluated [28,29,116], was not taken into account in the project. In addition to human factors, environmental issues have resulted in the deterioration of archaeological heritage along the coastline. For instance, Figure 4 shows an Amerindian site and an old colonial site that have been damaged by marine erosion. Heritage 2020, 3 FOR PEER REVIEW 7 Archaeological remains collected by American researchers during the establishment of sisal plantations are housed in museums in the USA. A new sisal plantation pilot project has started recently in the same region, on 4000 ha, which will have potential consequences for cultural heritage. The Environmental Impact Assessment, SISALCO 4.000 ha Pilot Sisal Plantation Project in North- East Haiti report made for the Minister of Agriculture detailed “relevant national institutions” that are involved in the project [114] (p. 136). The heritage institutions, as guardians of Haitian archaeological heritage, were not taken into account regarding directives and guidelines for respecting archaeological heritage in this context of land use and management. The document lists the institutional conventions and treaties as instruments of the international legal framework that Haiti has recognized, by pointing out that “Haiti has a legal framework for human lives and environment protection.’’ However, Haiti acknowledged other international conventions, for instance, on cultural heritage, none of which was noticed in the assessment. Another assessment for the Ministry of Agriculture, Etude d’ impact social du projet proposé de développement du Sisal dans la région Nord-Est d’Haïti, has vaguely recommended that “where necessary, the discovery of archaeological or physical cultural materials during land development should be reported and monitored by the Haitian authorities, preferably with the participation of ISPAN and the local university” [115]. Regional cultural heritage, which has already been evaluated [28–29,116], was not taken into account in the project. In addition to human factors, environmental issues have resulted in the deterioration of archaeological heritage along the coastline. For instance, Figure 4 shows an Amerindian site and an old colonial site that have been damaged by marine erosion. Figure 4. (a) Amerindian site; (b) Colonial site, both damaged by tidal action. 4.2. Puerto Real and En Bas Saline Figure 4. (a) Amerindian site; (b) Colonial site, both damaged by tidal action. Heritage 2020, 3 740 4.2. Puerto Real and En Bas Saline Damage to archaeological sites has occurred on a large scale, which can be seen in any part of Haiti. Some well-known sites have been forgotten or destroyed due to the absence of any particular focus that could activate their protection and valorization. Sites at both En Bas Saline and Puerto Real have been intensively excavated by researchers from the University of Florida. This project was supported by the Organization of American States (OAS), recognizing Puerto Real’s potential universal value to understanding global history [48] (p. 183). The overall research sheds light on the human activities that took place throughout the Spanish occupation. These sites are nowadays severely endangered and forgotten, like other threatened sites in the country. The first colonial fort in the Americas, La Navidad was built from the remains of the Santa Maria by Christopher Columbus in the En Bas Saline sector in 1492, but found in ruins during his return in 1493. Researchers believe that En Bas Saline is the main Taino village of the Indian chief Guacanagari who assisted Christopher Columbus. Despite previous large-scale investigations, a big part of the En Bas Saline site has still not been investigated, and there could be enormous advantage in discovering important untold stories, which could add to current knowledge about the life of the indigenous populations and the early European colonization in Haiti. En Bas Saline is currently under settlement pressure, creating impacts characterized by looting, the expansion of houses and agricultural activities (Figure 5). Despite the importance of the site in the process of understanding the interactions between the Indigenous societies and African and European colonists, there is no management plan to protect the investigated and non-excavated parts. Heritage 2020, 3 FOR PEER REVIEW 8 Damage to archaeological sites has occurred on a large scale, which can be seen in any part of Haiti. Some well-known sites have been forgotten or destroyed due to the absence of any particular focus that could activate their protection and valorization. Sites at both En Bas Saline and Puerto Real have been intensively excavated by researchers from the University of Florida. This project was supported by the Organization of American States (OAS), recognizing Puerto Real’s potential universal value to understanding global history [48] (p. 183). The overall research sheds light on the human activities that took place throughout the Spanish occupation. These sites are nowadays severely endangered and forgotten, like other threatened sites in the country. The first colonial fort in the Americas, La Navidad was built from the remains of the Santa Maria by Christopher Columbus in the En Bas Saline sector in 1492, but found in ruins during his return in 1493. Researchers believe that En Bas Saline is the main Taino village of the Indian chief Guacanagari who assisted Christopher Columbus. Despite previous large-scale investigations, a big part of the En Bas Saline site has still not been investigated, and there could be enormous advantage in discovering important untold stories, which could add to current knowledge about the life of the indigenous populations and the early European colonization in Haiti. En Bas Saline is currently under settlement pressure, creating impacts characterized by looting, the expansion of houses and agricultural activities (Figure 5). Despite the importance of the site in the process of understanding the interactions between the Indigenous societies and African and European colonists, there is no management plan to protect the investigated and non-excavated parts. Figure 5. Extension of modern village on En Bas Saline site. In the red circle, a layer of archaeological shell deposits. The case of Puerto Real is similar to En Bas Saline’s condition as a neglected place. Puerto Real was the earliest historic Spanish town built in Haiti in 1503 and situated around 2 km from the En Bas Saline site. The Puerto Real site is now a large farm located on a private enclosed property that has been recently assessed for its touristic values (Rapport d’inventaire des ressources touristiques d’ Haiti 2013) [117]. Rachel Beauvoir-Dominique has suggested that the site is of national, Caribbean, and international value [48,118]. Traces of an irrigation canal serving the French colonial plantation and some sparse, broken bricks can be identified on the site. A multidisciplinary research program Figure 5. Extension of modern village on En Bas Saline site. In the red circle, a layer of archaeological shell deposits. The case of Puerto Real is similar to En Bas Saline’s condition as a neglected place. Puerto Real was the earliest historic Spanish town built in Haiti in 1503 and situated around 2 km from the En Bas Saline site. The Puerto Real site is now a large farm located on a private enclosed property that Heritage 2020, 3 741 has been recently assessed for its touristic values (Rapport d’inventaire des ressources touristiques d’ Haiti 2013) [117]. Rachel Beauvoir-Dominique has suggested that the site is of national, Caribbean, and international value [48,118]. Traces of an irrigation canal serving the French colonial plantation and some sparse, broken bricks can be identified on the site. A multidisciplinary research program demonstrated important interactions between Amerindians, Africans, and Europeans that shaped the multi-ethnic dynamic of the town, where Africans and Amerindians occupied a lower position in the social, political, and economic hierarchy due to their unfree status in the town. This colonial urban settlement comprised linear features shaping a rectangular form, the evidence of the main Spanish urban colonial patterns. This plan combined religious and governmental components organized in the central plaza, residential houses, and production activities according to the status of different social groups [108]. Puerto Real is historically significant in general Haitian history because it reflects the beginning of the colonial transformations in Haiti and is one of the earliest places in which the “New World” Spanish colonial system was implemented as an experiment [108]. 4.3. World Heritage Site: Parc National Historique Despite its management document plan, the Parc National Historique, classified as a World Heritage Site in 1982, has suffered a great deal of damage, and this could lead to serious threats to its integrity [50,119]. The park consists of the Citadelle la Ferrière; the Ramiers complex; and the Sans-Souci Palace and its dependent components, comprising the Chapelle Royale de l’Immaculée Conception, which is a universal symbol of freedom and victory over slavery, built after the 1804 Revolution and an excellent archaeological feature. Since the 1842 Cap-Haitien earthquake damaged the site, humans have further contributed to its slow deterioration. In earlier times, the Sans-Souci Palace was subject to looting by the inhabitants of the area who came to remove stones, bricks, and iron for the construction of their houses. It was reduced to a complex for grazing herds of goats. A recent fire completely destroyed the dome of the royal chapel at Milot—one of the first buildings, built between 1810 and 1813, after Haitian independence—prompting more concern about developmental threats (Figure 6). Although the Citadelle is more protected, due to its location at a high altitude, the Sans-Souci Palace and its surroundings are more exposed to dangerous conditions. In 1979, the site of Sans-Souci was the subject of archaeological excavation. This excavation allowed ISPAN to administer the site through a maintenance council to gain information on the architecture of the palace, to shore up some walls, and to slow the physical destruction of the complex. Destruction of the palace walls began to slow in 1979, but the history of the palace remained obscure. Only the Citadelle managed to escape serious deterioration. The Citadelle, Ramiers, and the Palace of Sans-Souci sites are part of the landscape of power in the Northern Historical Park, exemplified by the splendor of the Citadelle, a military building with a sense of grandeur, and the centre of Christophe’s hegemonic power. Archaeological investigations conducted in 2015 to 2018 shed new light on the long-term occupation of the site and may change the traditional narrative of the place. The historical framework for the evolution of the space, from the Amerindians to the first free Haitians, is beginning to take shape. Milot holds some of the deepest secrets of the area’s past. Excavations at the palace have revealed an Amerindian occupation and former French colonial ruins. These secrets are now emerging, thanks to archaeological research, surveys, and excavations [112]. Despite having a management plan, the site is still a center for unsustainable social activities, such as a soccer field, a place for meetings, a home for pet animals, and even a rubbish dump. This regional picture, with its specific focus, exemplifies a broader view of the growing risks that archaeological sites in Haiti face today. Other colonial ruins, old cemeteries, and Amerindian and underwater sites are falling into the same trends towards oblivion. Heritage 2020, 3 742 Heritage 2020, 3 FOR PEER REVIEW 10 Figure 6. (a) Milot’s Church dome before fire; (b) Church after fire (April 2020). 5. Public Institutions and Archaeological Heritage Protecting cultural heritage was not an immediate focus of the Haitian leaders after independence. Any interest related to heritage was part of the fundamental policy of the nation. The notion of culture became a concern around 50 years after independence when the presidential decree Figure 6. (a) Milot’s Church dome before fire; (b) Church after fire (April 2020). 5. Public Institutions and Archaeological Heritage Protecting cultural heritage was not an immediate focus of the Haitian leaders after independence. Any interest related to heritage was part of the fundamental policy of the nation. The notion of culture became a concern around 50 years after independence when the presidential decree published in 1860, Heritage 2020, 3 743 under the government of Nicolas Guillaume Fabre Geffrard, created the cultural institution, Dépôt Général des Archives d’Haïti, to house the archives of the Haitian state [56] (p. 121). Haiti waited more than a century after its freedom for “a timid attempt to raise public awareness concerning the need to set up a dedicated place of conservation of cultural goods which are a great part of the public domain [46] (p. 48). A decree was signed on July 26, 1927, by President Louis Borno, to preserve and protect the cultural heritage in Haiti. Article 2 of this law explained that “the public domain is inalienable and imprescriptible and is composed of all things which, without belonging to anyone, are, by ‘common enjoyment,’ assigned to the service of society in general” [120]. This first law was characterized by limited content, asserting the immovable properties and elements of the natural environment as the public domain. One of the weaknesses of this law concerns the absence of movable heritage and a transparent approach and strategies related to the classification of the Haitian cultural heritage. Additionally, the composition of this public domain is identified in a non-exhaustive manner [121] (p. 2). Laws related to the classification and conservation of Haitian cultural heritage were published later on April 23, 1940 and October 1941. These laws were enacted to manage and preserve “historical monuments, ruins and memories, buildings and movable objects, sites and monuments of an archaeological nature, historical and artistic or other public interest [121] (p. 2). They were particularly important, giving archaeological heritage a place in the process of classifying and regulating cultural heritage. As early as the 1930s, intensive archaeological research had already been undertaken by American anthropologists in Haiti parallel to the informal artifacts collecting activities [67,69–71]. The law of 31 April 1940 [122] and the decree-law of 31 October 1941 [123] provided the overall guidelines of the Haitian State’s policy concerning the safeguarding of popular cultural wealth [72]. Moreover, these regulations led to the creation of specific institutions to manage, protect, and conserve Haitian cultural heritage; among them, the Bureau d’Ethnologie created in 1941 [123], Institut du Sauvegarde du Patrimoine National Haitien (ISPAN) established in 1979 [124], and the Musée du Pantheon National Haitien (MUPANAH) created in 1983 [125]. The creation of the first official institution to conserve the Haitian artifacts and cultural materials set the ground for Haitian scholars to become involved scientifically in archaeological research and to continue collaboration with international researchers. The Bureau National d’Ethnologie was designed in 1941 to renew interest in archaeology and to save religious objects destined to be destroyed [72]. Its creation was the result of political unrest, social demands, and the quest for national identity. The Bureau’s purpose was to provide the country with an institution capable of repairing the affront suffered by Vodou practitioners in Haiti and to educate the Haitian public about native Amerindian cultures [72]. As the institution was given the main task to identify, classify, and conserve any archaeological objects found on Haitian territory, as well as carry out and disseminate research on Haitian culture [123], archaeological heritage became a central concern in Haitian heritage politics. This institution was also a museum and a center for scientific research. It had a critical mission consisting of protecting and investigating archaeological sites, as well as cataloguing, conserving, and valorizing archaeological and anthropological objects, along with the development and transmission of Haitian ethnological, anthropological and archaeological knowledge. Over time, the Bureau d’Ethnologie, in terms of sustainable archaeological heritage practices, has experienced many relocations, fires, and vandalism [46]. Some years after its creation, political usurpation and control over the institution contributed to the slowdown of its missions and objectives [48] (p. 182). As a result, the primary tasks of the Bureau d’Ethnologie related to archaeological investigations in Haiti were transferred to ISPAN from 1979 to 1984, during archaeological investigations on Puerto Real by the University of Florida researchers [48]. This new institution, ISPAN, created in 1979, aims to “inventory, intervene, promote and propose cultural properties for classification” [121] (pp. 3–4). Immovable heritage became a crucial preoccupation of this institution, especially in classifying many historic buildings since its creation to the present day [126,127]. The Parc Historique became a World Heritage Site under ISPAN’s stewardship in 1982. Parallel to ISPAN and the Bureau d’Ethnologie, Heritage 2020, 3 744 a new public institution, Musée du Panthéon National, was created in October 1982 [125] “to perpetuate and promote the memory of the Founding Fathers of the “Fatherland” and to conserve documents and objects of historical, archaeological, and artistic value” [46] (p. 48). Archaeological heritage was in the hands of more than one institution by the early eighties. In 1984, the government created the Institut National Haïtien de la Culture et des Arts (INHACA), which regrouped and politically controlled the Archives Nationales, Théâtre National, and the Musée du Panthéon National Haïtien (MUPANAH). At this time (1984), the main missions given to the Bureau d’Ethnologie in 1940 were renewed, becoming the Bureau National d’Ethnologie [48] (p. 182). After the Duvalier dictatorship in 1986, the new constitution of 1987 places culture in the center of the new democratic agenda, stipulating in Article 215 that the archaeological heritage is in the public domain. An additional decree of 10 May 1989 created a National Commission of Heritage [128]; however, controversial decisions related to archaeological heritage management have since been undertaken without real transparency, especially with the creation in 1995 of the Office National d’Archéologie Marine (OFNAM) functioning under the supervision of Minister of Planning during Jean Bertrand Aristide’s presidency, along with the governmental decision allowing an international company to undertake sub-aquatic archaeological surveys during the transitional government in 2004 [48]. Archaeological site protection is always forgotten in any projects related to land management, road construction, and development projects in Haiti, and are rarely noted in the official discourses. After the 2010 earthquake, an Emergency Red List of Haitian Cultural Objects at Risk [129] had been designated by ICOM as an ideal step in the process of combating the illicit trafficking of Haitian cultural heritage. That, added to the efforts of national and international “first aiders,” helped to recover the damaged cultural heritage during this emergency [130,131]. Through a volume published in the same year by Museum International titled “Haitian Cultural Heritage and Reconstruction,” the Haitian experts used their voices for cultural heritage’s role in the rebuilding process of Haiti [53,132–134]. In this volume, Wilfrid Bertrand [132] (p. 35) mentioned that “long-term solutions are needed, including restoring, classifying, and recording all the items” of the Haitian cultural heritage. Ironically, any database and archaeological inventories of collections have been created after the 2010 cataclysm to evaluate the loss. Haiti contains mainly two public institutional spaces dedicated to preserving movable archaeological heritage, the Bureau National d’Ethnologie and the Musée du Panthéon National Haïtien (MUPANAH). Despite their given roles by official decrees, both are remarkably deficient in conserving the archaeological objects of the country, as neither of them has adopted the basic norms of archaeological conservation nor are they equipped with adequate rooms for the scientific study of objects. Bertrand designated 2010′s case as new opportunities, but the importance of archaeological heritage was a neglected component in the Actes des Assises de la Culture [135], organized by the Ministry of Culture, one year after the earthquake in 2011. Along with forgotten places in the cultural policy agenda, many Amerindian artifacts that had been recovered from past excavations and investigations display a poor state of conservation in the museum spaces. The problem of inadequate storage space and poor cataloguing constitute significant factors that critically impact the conservation and preservation of archaeological objects [46,49,136]. 6. Discussion and Conclusions: Embracing Loss and Planning the Future 6.1. Archaeological Heritage and the Politics of Heritage in Haiti Haitian official heritage discourses and practices prioritize the preservation and valorization of impressive and emblematic colonial and post-colonial buildings, fortresses and World Heritage sites in Haiti (e.g., Sans-Souci Palace and the Citadelle). The politics of heritage emphasize the potential of such places for promoting tourism development and for glorifying the nation’s revolutionary and heroic past. After the fire tore through the church at the World Heritage Site in northern Haiti (April 2020), many sentimental manifestations from many Haitians demonstrated concern for the Heritage 2020, 3 745 imminent and complete loss of the site. These manifestations have their basis in an official politics of heritage that has been authorized during the last three decades that forefronts historical and aesthetic dimensions of architectural buildings, creating an emotional dimension. The priority given to specific sites in national heritage practices considers a cultural legitimacy that is promoted by the government, international organizations, and technical and intellectual discourses as grand narratives that determine how the past is presented by focusing on the nationalist and emblematic character of historic traces [40]. Michel Rolph-Trouillot [137] warns us against this tendency to silence in official historiography, including Haiti’s history of slavery, exploitation, colonial occupations, embargoes, exchanges, and conflicts. He believes that we must combat amnesia to rehabilitate the effective and symbolic values of our heritage. Thousands of archaeological sites and natural places that reflect this contested Haitian history from the perspective and experience of indigenous populations and enslaved African resistance, for example, are not given much attention. Heritage practices as seen through the lens of identity politics focus on the meaning of the past from a top-down perspective, while the “core communities” living at and with these sites are not engaged as part of the safeguarding process. Challenges can emerge in the process of safeguarding; for instance, some colonial traces in Haiti carry a painful emotional charge, compared to the valorization of the heroic heritage that expresses national pride. However, the reticence to safeguard these traces may be reconsidered to the extent that some community members consider these places as abandoned sites by heritage institutions that do not give them any vital consideration. In this case, there is no conflict between these institutions and community members about what to keep or destroy because heritage institutions are absent. The discourses and actions of the people living among and with archaeological heritage sites may change. How some people react to archaeological sites may, in some cases, be linked to the way heritage politics are constructed in Haiti; for example, priority is given to a selection of heritage sites that represses the role of museums in providing in-depth knowledge of historical and natural traces [49]. At present, those heritage politics are focused on monuments, thus making it difficult to address even simple questions about the lives of the enslaved Africans who resisted French colonization in the Haitian context. For example, what types of utensils did the enslaved African use to prepare food on colonial plantations during colonization, and what do those food ways suggest about these people’s struggles for physical and cultural survival? The answers to such questions lie mostly in the neglected places that are not selected for study or preservation by the authorized heritage practices in Haiti. Some other critical interrogations need to be addressed by scientists and community members for the construction of multiple discourses that are central concerns about the past. For many years, northern Haiti has experienced notable spotlights that fix on its emblematic buildings at the expense of other cultural components shaping the cultural landscape. Northern Haiti is historically known for being the first place to experience the European footprints (En Bas Saline and Puerto Real), the most suitable agricultural lands during the French colonization and the heart of enslaved African resistance and the Haitian Revolution (Plaine du Nord). However, ironically, there are no public museums in this region that highlight this contested history. Amerindian archaeological and non-monumental sites that constitute the deep Haitian history are not “valued” in the process of creating national identity and patrimony through the preservation and display of monumental historical buildings in the landscape. Globally, archaeology and heritage practices have been crucial to understand the past and promote cultural identity, historical memory and tourism, and many other elements that the past can shed light on for society. By addressing the conditions of the archaeological practices in Haiti, Beauvoir-Dominique has argued that Haitian archaeology suffers from a lack of progress whose seriousness is due in part to politics and the sometimes conflicting ideals among the public institutions, along with the diminishing role of the Bureau National d’Ethnologie in the protection of archaeological heritage [48] (pp. 181–182). Heritage 2020, 3 746 6.2. “Common Enjoyment” of Heritage The laws of 1940–1941 represent a significant advance in terms of the legal protection of archaeological heritage in Haiti. The decree of 1927 calls for a “common enjoyment” obviously denied in the society, since, rarely, are schools, students, and other individuals able to enjoy this heritage. The perceptions of heritage can be multiple and contested, and they can come from below with agendas that are different from the official regulations. Naturally, there is no need for legal instruments for anyone from any social or cultural background to enjoy heritage. However, laws can address matters related to how to make it available for everyone without being appropriated by a group to legitimize specific versions of the past. Moreover, laws can give directives of how archaeological objects should be maintained in the society as public domain. The “common enjoyment” of heritage should prioritize multiple voices that can address questions about why and how this heritage matters. The government created institutions to determine the overall guidelines of the Haitian state’s policy for safeguarding cultural heritage. However, beyond current heritage management, cultural heritage often falls victim to more pressing political and economic priorities and is primarily neglected in budget planning. The various forms of deterioration observed on cultural sites and landscapes, which are mainly due to natural disasters, political changes, social movements, environmental damage, uncontrolled occupation of the sites, looting, marginalization of ancestral practices and popular traditions bear witness to this fact. Here, heritage matters must also include a critical aspect related to communities’ relations to caves with rock art and riverbed petroglyph sites. For instance, caves with rock art might have been used by Amerindians and Africans as places of resistance against colonial powers during colonial invasions [96]. They played an essential role in shaping the Haitian landscape through different historical scales. Caves have a great spiritual value for Vodou religious practitioners who valorize them in a modern context, revealing a complex dimension which interplays ancient and current uses [97]. The most well-known caves in Haiti experience tourist visits and yearly pilgrimages. In addition, the contemporary uses of these unique places can complicate their protection from specific features of pre-colonial and colonial periods. However, they can offer a better understanding of how they can be preserved with more inclusive plans and strategies for these areas. The tangible aspects of heritage are predominant in Haiti at the expense of the intangible elements. This ambivalence reflects a gap between authorities and the everyday life of the population in terms of safeguarding cultural heritage, the diffusion of which requires a real contribution from the communities. Heritage management requires alternatives to conventional trends that focus on the materiality of objects. The intangible heritage cannot be separated from the tangible. In the Caribbean context [138,139], by studying African diaspora archaeological heritage in Nevis, González-Tennant [140] (pp. 45–46) points out that a “mixed methods approach to heritage that situates intangible heritage (e.g., oral histories) alongside tangible heritage (e.g., archaeology) expands our interpretations of sites and their place in local memory”. Several circumstances are affecting the World Heritage Site in Haiti [119], therefore, this situation calls for a new orientation of the heritage approach. Sometimes, national experts focus on technical assessments, and applying universal already done (déjà fait) guidelines and directives on conservation and preservation to traditional tourism-oriented strategies. We do not consider here the living heritage in the sense of “community participation” in heritage projects for getting an economic benefit or “entrepreneurial inclusion.” We highlight that the “core community” has the legitimacy for showcasing its own local narratives, aspirations, and experiences as a crucial part of decision-making about the study, interpretation, or future preservation of sites. Additionally, long-term heritage protection calls for other experts besides technical ones—from ethnology, sociology, and anthropology (for understanding and analyzing immediate social impacts)—who can reveal necessary steps to define long-term strategies for the benefit of cultural heritage in the future. Beyond controversies about the nation’s colonial legacy [141], Haiti’s cultural heritage problems are also based on the weakness of legislation and the fragility of public institutions. Doucet argued that due to the “lack of means, the government is also powerless to stop the looting and irremediable Heritage 2020, 3 747 destruction of Haiti’s archaeological heritage (land and sub-aquatic), despite specific legal provisions, unfortunately incomplete” [72] (p. 12). These incomplete legal instruments and the absence of a public policy document on culture and heritage express the manifest inability of successive governments to take effective and sustainable action to safeguard and enhance Haiti’s cultural heritage. As a result, the role of “protection” of archaeological sites, which was assigned to public institutions in 1941, has never been fulfilled [72] (p. 12). The future of Haitian cultural heritage must be a significant concern for the Haitian authorities. In order to be effective, in association with public engagement activities, the fight must also be conducted with ordinary and institutional actors (communities, private sectors, and researchers) working in the field of heritage. However, these practical measures must be done with a transparent and ethical responsibility of actors by taking concerted actions that disadvantage illegal investigations and looting of sites. Heritage must become a priority of the State, to the extent that public institutions concerned with it must be better equipped and provided with solid economical and logistical means to contribute to the sustainable future of heritage. The State must implement a strong public policy for heritage safeguarding by considering training in heritage as a key role in the process of inventories and protection of sites and collections through a long-term agenda. When there is laxity to maintain practical efforts for the protection of archaeological heritage that can create a veritable process of loss, an integrated approach that emphasizes the “living heritage approach” that gives voices to the “core community” along with scientific expertise (which is not prioritizing a dominant trend) and real governmental action in decision-making should set the ground for better protection of the material past. This path is an essential ingredient for capturing an in-depth understanding of the nation’s long-term history (not in the form of archaeological work dictated and manipulated by dominant nationalistic agendas and actuated by official political discourses of the past) and tackling issues that block heritage’s role in society. The necessity for a country to maintain its archaeological heritage against deterioration and loss requires attention as a fundamental process of justice to demonstrate engagement with the past in order to retain it for present and future generations. Author Contributions: J.S.J., M.J., C.L. and J.M. participated in the written production of this paper. All authors have read and agreed to the published version of the manuscript. Funding: This research has been supported by CaribTrails project (Caribbean Transdisciplinary Research. Archaeology of Indigenous Legacies Spinoza). Acknowledgments: The authors would like to thank Judith A. Habicht Mauche and Jude Todd for editing the English and for their valuable feedback, and Corinne Hofman for insightful comments on the paper. We acknowledge Bureau National d’Ethnologie for providing an administrative permit to do surveys and people at Fort-Liberté for helping during the fieldwork (2014–2016). 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This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (http://creativecommons.org/licenses/by/4.0/). https://ceci.ca/fr/nouvelles-evenements/rapport-dinventaire-des-ressources-touristiques-du-nord-et-du-nord-est-projet-dappui-au-developpement-touristique-de-la-region-nord-dhaiti https://ceci.ca/fr/nouvelles-evenements/rapport-dinventaire-des-ressources-touristiques-du-nord-et-du-nord-est-projet-dappui-au-developpement-touristique-de-la-region-nord-dhaiti https://ceci.ca/fr/nouvelles-evenements/rapport-dinventaire-des-ressources-touristiques-du-nord-et-du-nord-est-projet-dappui-au-developpement-touristique-de-la-region-nord-dhaiti https://icom.museum/en/ressource/emergency-red-list-of-haitian-cultural-objects-at-risk/ https://icom.museum/en/ressource/emergency-red-list-of-haitian-cultural-objects-at-risk/ http://dx.doi.org/10.1111/j.1468-0033.2011.01746.x http://dx.doi.org/10.1111/j.1468-0033.2011.01747.x http://dx.doi.org/10.1111/j.1468-0033.2011.01752.x http://dx.doi.org/10.1111/j.1468-0033.2011.01753.x http://dx.doi.org/10.1111/j.1468-0033.2011.01743.x http://dx.doi.org/10.22206/cys.2019.v44i4.pp51-68 http://dx.doi.org/10.1179/2161944114Z.00000000012 http://dx.doi.org/10.4000/articulo.2442 http://creativecommons.org/ http://creativecommons.org/licenses/by/4.0/. Introduction Background: Archaeological Research in Haiti Note on Method Current State of Archaeological Heritage: Northern Haiti Fort-Liberté Region Puerto Real and En Bas Saline World Heritage Site: Parc National Historique Public Institutions and Archaeological Heritage Discussion and Conclusions: Embracing Loss and Planning the Future Archaeological Heritage and the Politics of Heritage in Haiti “Common Enjoyment” of Heritage References 
work_nokp2xo4jzdvdbyeooex3yg7di	----	1 Brendan meets Columbus: A more commodious islescape James L. Smith Centre for Medieval Studies, University of York, York [Published in Postmedieval, Vol.7, No.4, pp. 526–538. This is a final post-print version of the article without editorial enhancement. For the publishers’ text with final pagination, please see the DOI at http://link.springer.com/article/10.1057/s41280-016-0027-x.] Abstract This paper proposes that we can reimagine insular literatures and medieval islescapes as commodious seas of cultural and intellectual loci that span time, culture and text alike. By moving beyond the rhetoric of insular separation or connectivity, we can see that islands connect even when medieval minds saw separation. The essay focuses on the Brendan legend and the commodious cultural ‘sea of islands’ that it inhabits, a space that connects the modern reader to a history of other connections, fact to fancy and the real and the imaginary. When sailing in this sea, Brendan meets Columbus, and the late medieval idea of a lost island spreads though space and time. … telle me what mervaylles ye have seen in the grete see Ocean that compasseth al the world aboute, and alle other waters comen out of hym whyche renneth in al the partyes of th’erthe (Brendan to Barrind, Caxton’s Golden Legend version, Barron and Burgess, 2002, 328). In The Corrupting Sea, Horden and Purcell argue that the notion of a monolithic geo-cultural entity, in their case the Mediterranean, is arbitrary (2000, 15). Drawing on Bismarck’s famous assertion that ‘[a]nyone who speaks of Europe is wrong—it is nothing but a geographical expression,’ they break down the black box notion of a single uniform body of water, building a complex web of microecologies http://link.springer.com/article/10.1057/s41280-016-0027-x 2 and subtle interactions between peoples and their environments. The received notions of the region that the reader may have held are dissolved—only the possibility for new connections can replace them. In this essay I propose a more commodious notion of literary islescape, and yet this is far from simple to define. A ‘sea of islands’ often contradicts medieval and early modern notions of physical space, achieving a homeliness and ubiquity through culture, a rich and collaborative space that has always been with us and continues to link us across vast distances, both physical and cultural. It is a sea of intellectual islands rather than granular and isolated ideas in a sea of time. To find a theoretical analog, I turn to Epeli Hau‘ofa, a strong and compelling voice in the discourse surrounding insularity. In ‘Our Sea of Islands,’ Hau‘ofa asserts that ‘We are the sea, we are the ocean, we must wake up to this ancient truth and together use it to overturn all hegemonic views that aim to confine us again, physically and psychologically’ (1993, 16). When this postcolonial reimagination is applied beyond its context, Hau‘ofa’s work encourages us to forget the islands in the sea of medieval culture and to see the sea of islands in which stories connect. This is not a world in which all islands connect and there are no obstructions at all, but a place of commonality and hospitality rather than alienation. To see beyond separation, we must look at insularity through a different lens. Jonathan Hsy has proposed that a ‘peregrine’ mode of reading enables ‘a transhistorical and cross-linguistic outlook that results in moments of wondrous estrangement from conventional disciplinary frameworks’ (2013, 205). In order to see the sea of islands within the late medieval and early modern oceanscape, I turn to a meta-narrative by way of case study—the reception history of the Brendan legend. Rather than focusing on textual analysis of medieval insular fiction—a task already diversely explored by Cohen et al. (2008) Sobecki (2008), Sobecki et al. (2011) and Pinet (2011), to name a few, I will instead focus on the idea of a temporal islescape, and its role in the stitching together of loci through the rich substrate of a capacious cultural medium—the more commodious ocean of the title. Within this space, distinct cultural and textual spaces merge into something that blurs conventional categories, and connects islands in the sea. 3 The challenges of isle and ocean Separation brings us together. When we talk of the gulfs between islands and ideas, we are making connections across space and time that form new relationships, permanently linking idea to idea and thinker to thinker. The ocean reveals this to be true: the putatively alienating space of the ocean is culturally constructed, and at first glance it is difficult to argue with the notion that we are not at home away from land. Indeed, we would be thinking in concert with many European civilizations were we to assert this. Yet one is making decidedly non-insular connections through the very act of arguing for insularity—discussing insularity brings with it a set of relationships and connections. If one proposes, as Gildas did in his De excidio Britonum, that Britain is ‘fortified on all sides by a vast and more or less uncrossable ring of sea,’ then it is correct to assert that this statement has cultural force (Sobecki, 2008, 73). As John Gillis (2009) has argued, islands are master symbols for an inexhaustible range of things, and their symbolism has helped to shape the oceans of the world. By symbolizing, they connect, even when they argue for the impossibility of connection. The ocean participates in the dual reinforcement and disregard of insularity. We repeat a modern version of an old Christian trope, the shunning of the sea as a ‘corrupting oceanography’, a space to be traversed yet kept apart. By arguing for separation, the ‘ambiguous merits’ of the islescape enable engagement with the sea as an object of cultural interconnection rather than as a barrier (Horden and Purcell, 2000, 438). The mentality of insular separation is far from universal, as anthropology demonstrates. For the Bajau Laut of Southeast Asia, for example, the sea is not a separator, but a home. Land is another realm in which certain necessities of human life must be acquired, but the human realm is a series of boats and houses on stilts placed upon the surface of salt water estuaries (Mack, 2011, 13). For them the Other dwells on land, and a sense of commonality is defined by the water. The coast is a border, and the land exists beyond. For Hau‘ofa, ‘[t]he world of our ancestors was a large sea full of places to explore, to 4 make their homes in, to breed generations of seafarers like themselves. People in this environment were at home in the sea’ (1993, 8). The question now remains as to how European insular identity in the late Middle Ages can be enriched through postcolonial insular knowledges. More importantly, how can all insular knowledges merge to enrich each other? The first step is to reconcile two alternative cultural views of the sea: one as an ‘unwelcome and unwelcoming wilderness,’ the other ‘entirely familiar and unthreatening’ (Mack, 2011, 74). It is important to begin by noting that the cultural space I depict in this essay is in many senses a sea of islands defined by intellectual colonialism. It was created through acts of appropriation, exploitation, and cruelty. This cannot be removed from the story, but in the twenty-first century, European literature can mingle with the stories of those it silenced to create a world of literatures, ideas, and worldviews that reflect the richness of global pre-modernity. The goal of our Hau‘ofa-esque rethinking of ocean space should not only allow Europe to find peace with its rhetoric of insular separation and oceanic inhospitality, but also to create an ocean that is the home of all seafaring imaginations, a place—as was the case in the Middle Ages—of trade, transaction, multilingualism, and human-nonhuman interaction. As Elizabeth DeLoughrey (2007) argues, there is space for a multi- ethnic, transoceanic, migratory, and accommodating oceanscape to form. When medieval narrative passes into the ocean and finds ‘the darksome bounds of failing world,’ as Adam of Bremen did, it reaches beyond, attempting to connect (qtd in Sobecki, 2008, 98). As Sebastian Sobecki has argued, ‘[w]hat has historically delimited and therefore defined insular Britons is the sea with its all-encircling boundary, the shoreline’ (2011, 2). Boundaries are permeable, yet the encircling boundary of insular identity provides a receptacle for identity. In a world of community beyond insular delineation and oceanic separation, it is difficult to determine the limitations and affordances of ‘island.’ In an ecological and purely literal sense, the separating power of oceans is a key force in history. The idea of the British Isles is a form of ideological confinement, long modified through classical reception, medieval negotiation, and growing hegemony at the dawn of the early modern; one might say that Western intellectual history is addicted to insularity just as it has 5 struggled with anthropocentrism, taxonomic fallacies, and a tendency toward binaries. The legacies of insular addiction haunt the present for, as John Gillis argues in the context of colonialism in the Pacific, ‘[f]or [Europeans and Americans] the sea was a void rather than a place … [f]or them the Pacific isles were not only spatially but temporally distant’ (2007, 21). Medievalists have repeated this notion while in search of novelty, a salient example being the assertion that ‘Islands and cities have several important features in common: they consist of bordered places with a definable inside and outside; they provide a sense of commonality for the inhabitants; and they form a barrier against the Other’ (Grafetstätter, 2011, 7). Those from a Western background are so steeped in a distinct insular worldview that the separation of islands seems self-evident. Connections are fleeting, however profound, and barriers are the norm. The ocean carries the traveler from isle to isle, but it is not home. As in the case of Bismarck’s Europe, this is a geographical expression, for anyone who speaks of islands is wrong. Separation is a matter of perspective. When one set of eyes sees an inhospitable gulf peppered with self-contained spaces, another might see a space of shared ideas in which islands float like clumps or whorls of meaning in larger patterns. We should not forget that the isolation of islands has shaped their unique symbolism and cultural resonances, and yet separation is a discourse of connectivity. Separateness connects across space and time through the stories that we tell, and the insular recedes. I do not propose replacing the isolation of islands with the universal connection of islands, as Matthew Goldie’s survey of island theory cautions (2011, 9). Instead, it is more accurate to say that the rhetoric of insular separation creates part of a new and rich network of connections, some formed from the discussion of separateness itself. This essay is by no means an argument that medieval barriers within oceanic space—the impassable oceanus dissociabilis or the boundary of the litoral—lack power, but that ideas of limitation or transaction are themselves a form of transaction, communities of ideas of community and separateness in dialog (Sobecki, 2008, esp. 16–24). Rather than succumbing to forces of what Hau‘ofa calls ‘belittlement’ of mentality, what might a medieval insular identity—or collection of identities— 6 look like after undergoing a ‘world enlargement’ enabled by the mediating polis of the ocean (1993, 6)? Simone Pinet argues that insular fiction is a set of possible itineraries between islands, a grouping process for the emphasis of themes such as ontology, politics, or ethics (2011, 155). The power of world enlargement has been writ large upon world history discourse by Janet Abu-Lughod’s (1989) seminal monograph Before European Hegemony. By exploring a pre-European network of trade circuits spanning the Mediterranean, Arabian, East African, Indian, and Asian coastlines of the Indian ocean, Abu-Lughod revealed a lively system of cultural transaction and unimagined wealth, a world in which Europe was a peripheral node of a vast system centered on the Indian Ocean. Only with the fourteenth-century colonial degradations of the Portuguese in East Africa did this system disintegrate. In her conclusion, Abu-Lughod reflects that ‘[w]orld systems do not rise and fall the same way that nations, empires, or civilizations do. Rather, they rise when integration increases, and they decline when those boundaries contract’ (1989, 367). To my mind, the same process occurs trans-temporally: world systems decay within the historical imagination when links are forgotten and grow when integration is remediated. Saint Brendan and Christopher Columbus meet in the sea of islands From the early Middle Ages until the turn of the fifteenth and sixteenth centuries, the long-adapted tale of Brendan and his monks sailing beyond the familiar shore of Ireland into a realm of divine barriers and cultural connections provided meaning to generations of readers. It was a farrago of popular medieval tropes and cultural idioms studded in an imagined ocean: eschatological symbolism, topoi of Biblical legend, abundant marvels, and interconnected stories of moral behavior to be read by itineraries of travel. The legend exhibited tremendous longevity, creating a teeming cultural ocean-home of familiar yet alien marvels, meaning interpreted and re-interpreted, and—after many centuries of this process—a bold vision of Christian salvation in the fevered imagination of one late medieval mind, that 7 of Christopher Columbus. As a medieval literary and (multi)cultural entity, Saint Brendan’s isles have connected and expanded across the barrier-sea of mythic and topographical distance. Insular fictions are not only about islands connected spatially or geographically, but also about temporal connection. The Brendan texts participate in constellation of words, ideas, and adaptations that are themselves a sea, connected across time despite existing as a collection of distinct nodes. To read them is to float in a Hau’ofa-esque world of journeyings, forays, stories, itineraries, and obsessions. As we will see, the navigation of this commodious ocean—defined more by what it connects than by what it divides—spans centuries, crosses cultures, and provides a substrate by which ideas float from era to era like flotsam and jetsam, washing up on distant shores. The islands of this world are textual and cultural entities, distinct in and of themselves and yet porous and ecologically entangled. They are not universally connected, and indeed many of their interactions are predicated upon a rhetoric of alienation or impassability. We, the readers of the Brendan text, are this sea, and it is us. So are all of those who have traversed the spaces between their far-flung contexts. The medieval cultural translation and reception history of the Brendan legend is explored within Barron and Burgess’ 2002 critical edition, spanning the period from the eighth-century Latin Nauigatio Sancti Brendani abbatis to the age of print with Caxton’s 1484 edition of the Golden Legend of Jacobus de Voragine. Originating with a precursor to the Irish Immram Máele Dúin and passing into the proto- Nauigatio, the story of Brendan generates the Voyage and mature Nauigatio versions, and floats through the entirety of the Middle Ages. The tale has a rich and varied stemma that reaches every corner of European imagination like a cultural wake (Strijbosch, 2000, 204–205). As the tale of Brendan meandered through centuries, it glides through Europe’s rich multilingualism, with versions of the tale—in its diverse forms—appearing in Latin, Anglo-Norman French, Dutch, German, Italian, Occitan, Catalan, Old Norse, and in Middle English in the South English Legendary and Golden Legend. The Brendan tradition connects as it withdraws, the endless retelling of the story both emphasizing the inaccessibility of the wondrous isles encountered by the Saint and his monks while 8 constantly making new cultural, linguistic, and scriptural links. It spreads across time and bridges space while loudly arguing that certain places cannot be touched. It places the reader in touch with the divine while severing the bond. Its connections ensnare generations of readers and scholars, fueling their obsessions. The lure of the legend is captured by the editors in their introduction, in which they highlight the historical appeal of the tale: From Columbus to Tim Severin [seekers of Brendan] were drawn to follow in his wake, often in search of self as much as foreign shores. What matter if Brendan never went where they followed him, so long as he lured them on from land to new-found land. As he has passed from island to island, so the legend passed from age to age, bringing to each the meaning of which it was capable, literal or metaphorical (Barron and Burgess, 2002, viii). The multi-textual legend of Saint Brendan makes a rhetorical virtue of separation from the object of its desire, the Promised Land of the Saints. The fifteenth-century Book of Lismore states that Brendan asked God to ‘give him a land secret, hidden, secure, delightful, separated from men’ (as cited in Barron and Burgess, 2002, 6). The desire for peregrinatio pro amore Dei motivates the narrative, yet the reality is a sea of islands visited in turn, the manifold itineraries highlighted by Pinet. The historical and allegorical content form a rich tapestry of interactions—cultural, temporal, linguistic—evident in the manifold translations of the late Middle Ages. The islescape is held together by currents of connection that reach across literary history, that are multiple and migratory, fleeting and fluid. Interpreting the logic of these nebulous motions requires an escape from the Western dialectic obsession with a single, authoritative conclusion or interpretation reached by the reasoned defeat of ‘lesser’ arguments. Rather, we could favor what Barbadian poet Kamal Braithwaite has described as ‘tidalectics,’ in which a successful logical outcome is reached by radiating from the center and then back again rather than following a linear path of attack (ctd in Shell, 2014, 20–21). Tidalectics circulate rather than circumscribe. Following a circular path of ebbing and flowing reason, we can freely navigate the internal logics of out literary islescape without the need for a definitive outcome, passing across time and space and back again to do so. 9 A tale that was endlessly received and adapted is framed within the Nauigatio tradition as the next step in a further chain of receptions of paradisal knowledge stretching back through the ages, presumably to Adam and Eve themselves. Within the tradition of the Nauigatio, the story of Saint Brendan’s voyage begins with marvelous knowledge gleaned from a prior report. In the Nauigatio, Abbot Barrind visits Brendan and his fellow monastics at Clonfert, and relates a tale of discovery. In the tale, he and the monks of Abbot Mernoc sailed from the remote monastic community of the Delightful Island, visiting the Promised Land of the Saints and returning with the scent of paradise still infused into their clothes (Nauigatio, Barron and Burgess, 2002, I, 26–27). It is this tale that inspires Brendan and his fourteen brothers to seek the isle in the distant ocean. This isle remains ever-present in the spiritual imagination of the faithful despite hiding within the wide sea. In the twelfth-century German vernacular Reise-fassung (journey version) of the legend, the story begins with another book, encountered by Brendan and his monks at the outset (Matthews, 2016, 57; Strijbosch, 2000, 4–5, 8). In this version of the story, Brendan reads a marvelous report that there are two paradises on earth, three heavens, a location where there is day when the reader has night, a giant fish carrying a wood on his back, and a place where Judas enjoys God’s mercy every Saturday night. Brendan refuses to believe what he has read unless he has seen it with his own eyes and burns the book in anger. An angel informs him that he must travel at the command of God to ascertain for himself what is truth and what is falsehood, sailing for nine years in order to rewrite the book and discharge his debt. Since his lack of faith has destroyed the wondrous text, he must recreate it, rewriting the islescape on the surface of medieval consciousness. He passes from quotidian life and into legend, going out to sea and eventually returning to Ireland with potent partial knowledge. The book that he is tasked to write, like the book in which he is written, is part of a greater trans-temporal pattern of intellectual wanderings within the sea of islands. Like the Reise Brendan, the textual history of the legend is an endless process of partial erasures, imperfect re-inscriptions, emotional reactions, and endless interpretations. 10 Despite a complex rhetoric of inaccessibility and accessibility, the many medieval versions of the tale begin with the premise that nothing is truly disconnected from anything else by time or space, but only the will of God can determine what is hidden and what is revealed, what is known and what is prohibited. In the Caxton version, Brendan and his monks are greeted by the glorious sight of the promised land, ‘the fayrest contre eestward that ony man myght see.’ They cannot reach it, for it is separated from them by a stream that they dare not cross. A young man comes to them, and admonished them to ‘be ye now ioyeful,’ for they have reached the end of the temporal world, and ‘thys water that thou seest here departeth the world a sondre, for on the other syde of thys water may no man come that is in thys lyf.’ This final barrier bars all travel for Brendan, who is advised that he ‘shalte sayle ageyn in to thyn owne contree,’ knowledge concealed until the appropriate time and place of apprehension (Caxton’s Golden Legend, Barron and Burgess, 2002, 342). Brendan’s journey is over, his temporal limits defined, and yet the islescape of the Brendan legend teems with intellectual life that passed beyond the barriers of the world: it spreads from text to text, is transcribed and adapted, is retranscribed and translated, passed from culture to culture, from scribal production to the printing press. It continues to haunt us today. The spiritual and cultural ocean that it reveals is equally hospitable to thought, with even the inaccessibility of a time, a space, a fact opening up a new accessibility. When the monastic seeks herimum in oceano (a desert in the ocean), they can never leave the world behind as long as their story is told (Sobecki, 2003 199). Like a stylite upon his pillar accosted by admirers or a remote hermit visited by pilgrims, the seeker of an isolated religious life cannot escape. His assertion of separation ensures his part in the story, and so it is for the Brendan legend itself. By following the lead of Hsy and taking a step back from the frame of the narrative, we see that the insular identity of the British Isles and the wider European world it connected to was far from limiting. When one reads from a distance, flying above the spaces within the text, the ocean appears as the cultural medium by which loci of power, be they moral, temporal, or topographic, are bonded together. Hsy’s peregrine reading takes the interpreter 11 soaring through the tangles of the Brendan legend, with the occasional sojourn on a distinct historical and cultural isle within the sea. At the end of the fifteenth century, Brendan continues to explore the cultural sea of islands and meets Christopher Columbus, so to speak, passing on the blessing—or curse, given Columbus’ notorious megalomania—of insular obsession. Brendan’s tale, along with a mélange of other classical, medieval, and late medieval texts, shaped a worldview that would have profound effects on the coming centuries. The tale of Brendan’s legendary isle passed into received wisdom, haunting the imagination of early transatlantic voyagers as they sought to traverse the Western ocean beyond the pillars of Hercules. Having failed to find the wonders they sought in more immediate Azores or Canaries, late medieval minds pierced the space beyond the shore, expecting a sea of familiar tropes mapped upon the forbidding face of the Atlantic. Their heads filled with visions of lost islands in the hidden sea, European minds such as that of Columbus were never culturally isolated as they ventured away from shore. As the late Middle Ages infused the imagination of Columbus and his contemporaries, so too did the ever- elusive promised land continue to elude explanation. In his writings on the Third Voyage, Columbus writes with a certain fanatical zeal that ‘I entered upon a new voyage to a new heaven and a new earth, which up to then had lain hidden’ (Third Voyage, ed. Jane, 1988, 2.50). New, but also part of a vast mass of old things. Columbus attempted to pierce the veil of unknowing, making a logical interpretation of a wave-washed string of linked ideas spread across a fluid space in which linearity and singularity were meaningless. Tidalectic reasoning won out, and his reports were as mythical and multiple as the legends that lured him across the sea. The Spanish grandees back at home were thrilled but confused, in equal measure. The influences of medieval ideas on Columbus and his contemporaries were many and powerful. This was especially true of the islands he imagined beyond the horizon but which were close in cultural terms, intimately so. Valerie Flint makes a strong case for the influence of imagined islands (1992, 87). Antilia was one of the most well-known, ‘the Isle of the Seven Cities’ that appears on many fifteenth-century maps and was supposedly inhabited by the descendants of Visigothic Christians 12 fleeing the eighth-century Islamic conquest of Iberia. The Isle of Saint Brendan also features repeatedly, a fabled destination still popularly believed in fifteenth-century Spain. It is commonly known that Columbus sought the isles at the Far East of medieval accounts and maps, the East Indies of the mind that became the West Indies instead. His fondness for Pierre d’Ailly and his 1410 Imago Mundi populated the Atlantic with an expanded islescape of legend, paradisal imagining, and eschatological aspiration—d’Ailly, like Brendan, dreamed of the isles of the Blessed. When Westerners peered beyond the horizon, the next mystery was always waiting to be glimpsed. Flint lists many other appealing factors of the legend: Much of the [Brendan] story was to the taste of Columbus, from the renunciation of home and kindred (with its attendant rewards) to the Christian prophecies fulfilled and assured of fulfillment. The Navigatio may well occupy an especially crucial place in Columbus’ medieval cosmology (Flint, 1992, 97). Many of the late medieval maps that Columbus would have had access to take the existence of the isle(s) as fact, marking them clearly. The 1367 portolan chart produced by the Venetian cartographers Domenico and Francesco Pizzigano clearly marks the Isle of Saint Brendan, stating that it was reached in 565 by Brendan and his brothers (Flint, 1992, 97). Newfoundland, the Antilles, Iceland: the list of potential candidates was long. The cartographers, encyclopaedists, and explorers of late medieval Europe were ever reaching out and colonizing the Atlantic with their imagination, just as others turned to the East and filled the lands beyond the Levant with monsters and marvels. The physical barrier of the ocean was no impediment to storytelling, nor was the barrier of time. The rhetoric of an adversarial relationship with the inhospitable sea is far from a complete rendering of the late medieval reality, failing to capture its rich interconnections. The caesurae and barriers remained, but their existence was part of the story. The temporal islescape that Columbus crossed in his fancy took him to the Americas before he ever set sail, separations and all. He did not find Antilia or Brendan’s isle, for they hid behind the intellectual horizon like the Amazons or the Cynocephali of the East. One could even say that 13 Mandeville traversed a sea of islands of his own. The fact that land replaced water and cities, that marvels and monstrous nations replaced islands, was largely irrelevant. In many cases, insular interconnections and divisions were colonial in nature, the mapping of medieval imagination onto a perceived tabula rasa. The temporal sea of subtle connection was parted by a straight path of progressivism, Christian supremacism, and unilineal cultural evolution. This trend has continued into the present in a seemingly innocuous form: the impulse to explain the voyage of Saint Brendan as an act of fact-based proto-exploration rather than a cultural artifact. Rather than seeking for tangled answers in an islescape of stories, this approach seeks to take the royal road from past to present, ignoring the terrain in between. As has long been the case with the mythic elements of maritime exploration, many writers have sought to explain Brendan’s voyage as fact rather than myth. There has been a tendency to read the narrative of technology-driven exploration and discovery onto Brendan, to make Brendan a medieval Irish Columbus. Surely, dialectic demands, there must be a neat and ‘real’ history? Surely there must be a factual voyage, a kernel of objective reality? Tim Severin (1978)—mentioned by Barron and Burgess—famously attempted to recreate Brendan’s voyage in 1976–1977, sailing a hand-crafted 35-foot leather currach 4,500 miles from Ireland to Peckford Island, Newfoundland, in an attempt to verify the possibility of Brendan’s legendary journey. A thrilling story to be sure, but a story that fails to entertain the possibility that Brendan’s voyage was, as Flint puts it, ‘one of pure imagination, constructed as an encouraging allegory of the voyage of the monk through the monastic life’ (1992, 97). Out in the ocean, Brendan drifts in the sea of shared cultural transactions that globalize us all. To place him on the map, to historicize the events of the Nauigatio or the Voyage, is an expression of the very colonial attitude that the sea of islands approach hopes to modify. A More Commodious Ocean 14 To embrace Hau‘ofa, it is first necessary to place the European obsession with islands in the sea in context. The sea of islands is not a place for shaping, but for dwelling. It would be naïve—especially in the context of medieval literature—to ignore barriers, be they fear of the ocean, tales of its perils, or the discourse on the separateness of islands. The answer is, in keeping with our themed issue, to propose a new approach to British insularity, a vision of the British Isles and their fellows as nodes of production in a rich global system of cultural forces that shape and mingle, shift and flow, where literary separation does not create cultural separation. We can still treat discourses of separation and alienation with respect and highlight their contradictions. Expressions of insular desire, be it a desire to connect or a desire to divide, are part of a larger complex. Time is no barrier, ideas long past mingling with progressive thinking in tidalectic ebbs and flows. Islands are what the powerful and powerless alike imagine them to be—community or prison, node or hermitage—and the oceans that separate archipelagos can be barriers in a physical or psychological sense but are a medium of transmission in cultural terms. Inspired by the scholarship of Hau‘ofa, DeLoughrey, McCusker and Soares, and other key scholars of postcolonial insularity mentioned in this essay, an awareness of insular connectivity across time, culture, and genre complements and enhances existing notions of connectivity, enlivening our vision of European insularity. Rhetorical expressions of isolation or separation, distance and proximity, cry out for connection, for a shared oceanic identity. By putting aside the Western notion of the insular, the sea of islands emerges. The knowledge it imparts is not totalizing or complete for, as Jeffrey Cohen has put it, ‘Current-crossed and relentless, the froth and flux of oceans bear shipwreck, effacement, a bare record of receding wakes, a cobbled fleet of appositions, words and things’ (2015, 134). It is, moreover, a sea of tropes beyond insularity, and it is a place where medievalists can be at home and form communities with other literary cultures at the littoral zones of the world. The isles can never be part of ‘the continent,’ always floating in a liminal state of escape and embrace, yet the mystery of separation titillates literary imaginations to such a degree that they are forever caught in the web of literary attention. How can this contradiction be 15 resolved? The answer is that it need not be resolved, for it never existed in the first place—the rhetoric of separation is a cherished component of cultural intimacy. What is visible when the literary ocean becomes commodious, spanning space and time? The answer is only possible via a Hau‘ofa-esque shift in insular mentality: we see that the encircling ocean holds identity as much as its isles, for the sea remembers what time and Empire forgets, what received insular wisdom severs. Britain and its literary culture have long struggled with this contradiction, an archipelago apart, yet intimately connected to the continent—and the wider world—through bonds of identity, history, and culture. The physical isolation of the British Isles has shaped them, yet so has the commodious connecting membrane of the ocean. Its stories—the Brendan legend being a notable exemplar—teach us to be culturally at home in the imagining of the ocean even when the physical practicalities of its vast and often alienating mass discourage connection. About the Author James L. Smith focuses on intellectual history, medieval abstractions and visualization schemata, environmental humanities, and water history. He has also written on the themes of new materialism, the history of the senses, medieval maps and diagrams, medievalisms, and water management. His first book, entitled Fluid Models of Thought in Twelfth-Century Western Monasticism: Water as Medieval Intellectual Entity, is expected in 2017. He is a Research Associate at the University of York Centre for Medieval Studies (Email: james.l.smith@york.ac.uk). References Abu-Lughod, J. 1989. Before European Hegemony: The World System A.D. 1250–1350. Oxford: Oxford University Press. 16 Barron, W.R.J. and Burgess, G.S. 2002. The Voyage of Saint Brendan: Representative Versions of the Legend in English Translation. Exeter: University of Exeter Press. Cohen, J.J. 2015. The Sea is a Conveyance-Machine. In Oceanic New York, ed. Steve Mentz, 132–141. Brooklyn, NY: punctum books. DeLoughrey, E.M. 2007. Routes and Roots: Navigating Caribbean and Pacific Island Literatures. Honolulu: University of Hawai’i Press. Flint, V.I.J. 1992. The Imaginative Landscape of Christopher Columbus. Princeton, NJ: Princeton University Press. Gillis, J.R. 2007. Islands in the Making of an Atlantic Oceania, 1500–1800. In Seascapes: Maritime Histories, Littoral Cultures, and Transoceanic Exchanges, eds Jerry H. Bentley, Renate Bridenthal and Kären Wigen, 21–37. Honolulu: University of Hawai’i Press. Gillis, J.R. 2009. Islands of the Mind: How the Human Imagination Created the Atlantic World. New York: Palgrave Macmillan. Goldie, M.B. 2011. Island Theory—The Antipodes. In Islanded Identities: Constructions of Postcolonial Cultural Insularity, eds Maeve McCusker and Anthony Soares, 1–40. Amsterdam and New York: Editions Rodopi. Grafetstätter, A. 2011. Editor’s Preface. In Islands and Cities in Medieval Myth, Literature, and History: Papers Delivered at the International Medieval Congress, University of Leeds, in 2005, 2006, and 2007, eds Andrea Grafetstätter, Sieglinde Hartmann and James Michael Ogier, 7–8. Frankfurt am Main: Peter Lang. Hau‘ofa, E. 1993. This Sea of Islands. In A New Oceania: Rediscovering Our Sea of Islands, ed. Eric Waddell, Vijay Naidu and Epeli Hau‘ofa, 2–16. Suva: School of Social and Economic Development, USP, 1993. 17 Horden, E. and N. Purcell. 2000. The Corrupting Sea: A Study of Mediterranean History. Oxford: Blackwell. Hsy, J. 2013. Trading Tongues: Merchants, Multilingualism, and Medieval Literature. Columbus, OH: Ohio State University Press. Jane, C., ed. 1988. The Four Voyages of Columbus: A History in Eight Document, Including Five by Christopher Columbus, in the Original Spanish, with English Translations. New York: Dover Publications. Mack, J. 2011. The Sea: A Cultural History. London: Reaktion Books. Matthews, A. 2016. The Ends of Polemic and the Beginning of Lohengrin. In Polemic: Language as Violence in Medieval and Early Modern Discourse, ed. Almut Suerbaum, George Southcombe and Benjamin Thompson, 43–64. Oxford: Routledge. Pinet, S. 2011. Archipelagos: Insular Fiction from Chivalric Romance to the Novel. Minneapolis: University of Minnesota Press. Severin, T. 1978. The Brendan Voyage: The Seafaring Classic That Followed St. Brendan to America. Dublin: Gill & Macmillan. Shell, M. 2014. Islandology: Geography, Rhetoric, Politics. Redwood City: Stanford University Press. Sobecki, S.I. 2003. From the désert liquide to the Sea of Romance: Benedeit's Voyage de saint Brandan and the Irish immrama. Neophilologus 87, 193–207. Sobecki, S.I. 2008. The Sea and Medieval English Literature. Woodbridge: D.S. Brewer. Sobecki, S.I. 2011. Introduction: Edgar’s Archipelago. In The Sea and Englishness in the Middle Ages: Maritime Narratives, Identity, and Culture, ed. Sebastian I. Sobecki, 1–30. Woodbridge: D.S. Brewer. 18 Strijbosch, C., T. Summerfield, trans. 2000. The Seafaring Saint: Sources and Analogues of the Twelfth- Century Voyage of Saint Brendan. Dublin: Four Courts Press. 
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work_nrii46c64fc77ehgikuwgdsplu	----	PII: S0277-3791(01)00130-5 Quaternary Science Reviews 21 (2002) 819–824 Earth system models: a test using the mid-Holocene in the Southern Hemisphere Robert J. Wasson a, *, Martin Claussen b a Centre for Resource and Environmental Sciences, W.K. Hancock Building, Australian National University, Canberra, ACT 0200, Australia b Potsdam Institute for Climate Impact Research, Telegrafenberg C4, P.O. Box 60 12 03, 14412 Potsdam, Germany Received 1 March 2000; accepted 3 August 2001 Abstract Palaeoclimatic reconstructions from proxy data have been compared with climate model outcomes for three decades. It has become evident that explanations of past climates can rely on neither data source alone, the former often being descriptive tools and the latter dependent on model structures and parameterisations. The status of vegetation changes, either as a follower of climate changes or as a modulator of insolation–terrestrial system responses, is vital if proxy records are to be effectively interpreted in climate terms and if models are to be more robust in appropriately incorporating vegetation roles. We use an earth system model (CLIMBER) and proxy data from Southern Hemisphere locations to compare postdictions of mid-Holocene climates. It is concluded that climate simulations and predictions are likely to be inaccurate if vegetation is not properly incorporated, and appropriate models can allow hypotheses to be developed that better explain atmosphere–earth system linkages. r 2002 Elsevier Science Ltd. All rights reserved. 1. Introduction Global, hemispheric and regional syntheses of palaeo- climate reconstructions for different periods of the Late Quaternary have been compared with global climate model simulations to provide powerful insights into the behaviour of the earth system; since the 1970s (e.g. Kutzbach, 1981; Kutzbach and Street-Perrott, 1985; COHMAP, 1988). While palaeo-climatic reconstruc- tions, using pollen, ice limits and lake levels, have been used to test the veracity of global climate models (see for example Gasse, this volume), insights into processes of climate change have come slowly as models of the atmosphere, oceans and cryosphere have been coupled in increasingly successful ways. It has become clear that explanations of past climates cannot rely solely upon either proxies of past climate, which are generally descriptive tools, or model simulations which are to some degree dependent upon model structure and parameterisation. Two ideas underly most analyses of past climate using proxies and models. The first is that climate sets the boundaries to vegetation types, and therefore vegetation types are in equilibrium with climate except during the most rapid periods of climate change. Pollen-climate transfer functions can therefore provide reliable estimates of past climate. Secondly, on long time scales, climate changes are driven by solar insolation changes modulated by changes of atmospheric chemistry, extent of ice and snow cover, and biogeochemical changes in the oceans. These ideas have evolved over the last two decades to begin to form a body of theory about past global climate and biospheric change. While increasingly sophisticated, the emerging theory has usually treated terrestrial vegetation change as a response to climate rather than being an active feedback force in the global system. This is at least partly the result of a lack of appropriate tools of analysis. Emerging views of the global system take greater account of the biosphere as a dynamic component that both reacts to climate change, and, to some degree, alters climate by feedback from the land surface to the atmosphere. Gradually, it is being widely realised that the general circulation of the atmosphere, and regional patterns of climate, are affected by evapotranspiration from the biosphere, surface roughness, and albedo. There appears to be a strong synergism between the atmosphere and vegetation types, vegetation cover, *Corresponding author. Tel.: +61-2-6249-4588; fax: +61-2-6249- 1037. E-mail addresses: robert.wasson@anu.edu.au (R.J. Wasson), claussen@pik-potsdam.de (M. Claussen). 0277-3791/02/$ - see front matter r 2002 Elsevier Science Ltd. All rights reserved. PII: S 0 2 7 7 - 3 7 9 1 ( 0 1 ) 0 0 1 3 0 - 5 ocean temperature and sea ice in modulating (particu- larly amplifying) insolation changes (Ganopolski et al., 1998b). Hayden (1998) quoted Walter and Breckle (1985) as representing the dominant modern paradigm about the relationship between climate and the biota, namely that climate influences soil, vegetation and, to a lesser extent, fauna. Climate is only slightly influenced by the soil and biota. Hayden argued that the scientific pendulum has swung to the view first articulated by Christopher Columbus that the land surface has a large effect on the climate, and argued that models that purport to explain climate ‘yare not thought to work without proper specification of the biosphere’ (p.6). Minimum and maximum temperatures are partially controlled by evapotranspiration and the emission of radiatively active biogenically produced trace gases, evapotran- spiration contributes as much as half of precipitable water, biogenic condensation and ice nuclei contribute to cloud formation and therefore precipitation, biogenic gaseous emissions modulate solar and terrestrial radia- tion, spatial heterogeneity of vegetation modulates the distribution and type of weather systems, and large-scale climates are sensitive to evapotranspiration, albedo and surface roughness. Mid-Holocene climates of the northern tropics are seen primarily as a response to solar insolation (Kutzbach and Street-Perrott, 1985). Changes in insola- tion between 6 kyr BP and today should produce increased seasonality in the Northern Hemisphere and a decreased seasonal cycle in the Southern Hemisphere, if no other factors are important (Wasson, 1995). While this hypothesis was noted by COHMAP (1988), it has not received sufficient attention by examining Southern Hemisphere palaeoclimates in relation to Northern Hemisphere palaeoclimates. Other factors, such as vegetationFclimate feedbacks, also need examination. This is the purpose of this paper, in a model-data comparison. It is recognised, however, that the results presented here represent hypotheses that at the moment are very difficult to test empirically. Broad agreement between model results and data are only one step towards testing the hypotheses. 2. Model results for 6 kya An earth system model CLIMBER (CLIMate and BiosphERE) of intermediate complexity has been used by Ganopolski et al. (1998a, b) to simulate the mid- Holocene climate of the globe. The low spatial resolu- tion of the model, 101latitude and 511longtitude, allows both coarse comparisons of simulations with palaeodata and inclusion of feedbacks from vegetation that are missing in higher resolution models. CLIMBER does not use flux adjustments between atmosphere and oceans. It uses a 2.5-dimension dynamical–statistical atmosphere model, and includes sea ice and vegetation models. Vegetation is simulated by the model, in contrast to biome-type models (e.g. Claussen and Gayler, 1997; Claussen et al., 1998). Four simulations for 6 kya allowed identification of the hypothetical effect of vegetation. The simulations, shown in Fig. 1 (for a changed mean annual tempera- ture in 1C 6–0 kya) and Fig. 2 (for changed mean annual precipitation in mm/day 6–0 kya), are as follows: A Atmosphere model only; prescribed SSTs, sea ice and vegetation; vegetation cover from the control simulation which uses a fully coupled model, pre- industrial CO2 and modern solar insolation. AO Coupled atmosphere–ocean model, vegetation fixed as in A; mid-Holocene orbital parameters; pre-industrial CO2. AV Interactive vegetation, ocean characteristics fixed as in A; orbital parameters and CO2 as in AO. AOV Fully coupled atmosphere–oceanFvegetation model; orbital parameters and CO2 as in AO. The fully coupled system (AOV) simulation showed pronounced annual warming in both hemispheres. In the Northern Hemisphere, temperature increased by about 11C in both summer and winter compared to atmosphere–ocean (AO). Winter is warmer despite lower solar insolation. The warming in the model results from a decreased planetary albedo as the boreal forests expanded and subtropical deserts decreased in area. Warming in high northern latitudes was amplified by the sea–ice albedo feedback; annual sea–ice decreased by 25% compared to the control simulation. The ocean therefore absorbs more heat in summer and releases it to the atmosphere in autumn and winter; in the model. This so-called biome paradox, which includes both vegetation and sea–ice feedbacks via albedo, indirectly affects the Southern Hemisphere because of annual mean global warming. While orbital forcing alone (A), as well as AO interaction, and atmosphere–vegetation (AV) interaction yield a marginal cooling in austral winter, and a slight cooling in austral summer, the AOV predicts a warming in austral winter and summer, mainly over the southern oceans. The link between Northern and Southern Hemispheres arises partly through the Atlantic thermohaline circulation and partly through increased global atmospheric water vapour concentration. In the Atlantic, the model reduces northward heat transport from the South to the North Atlantic by about 0.1 PW owing to a reduction in the maximum oceanic overturning of up to 2 Sv (see Fig. 4 of Ganopolski et al., 1998a, b). Also, Antarctic bottom water penetrates further north. The reduced thermohaline circulation is a result of freshen- ing of the North Atlantic because of increased runoff R.J. Wasson, M. Claussen / Quaternary Science Reviews 21 (2002) 819–824820 Fig. 1. Differences in boreal winter (December, January, February) mean temperatures between mid-Holocene (6000 years before present) and pre- industrial climate. The figure labelled ATM depicts results of the atmosphere-only model. For ATM+VEG and ATM+OCE, the atmosphere– vegetation model and the atmosphere–ocean model, respectively, was used. ATM+OCE+VEG refers to results obtained with the fully coupled model. Fig. 2. Differences in boreal winter (December, January, February) mean precipitation between mid-Holocene (6000 years before present) and pre- industrial climate. The figure labelled ATM depicts results of the atmosphere-only model. For ATM+VEG and ATM+OCE, the atmosphere– vegetation model and the atmosphere–ocean model, respectively, was used. ATM+OCE+VEG refers to results obtained with the fully coupled model. R.J. Wasson, M. Claussen / Quaternary Science Reviews 21 (2002) 819–824 821 from the continents. Southern Hemisphere warming by 0.71C in the annual mean results, with a maximum of more than 21C near Antarctica. Mid-Holocene insolation changes alone (AO) pro- duce a global annual precipitation increase caused mainly by intensification of Northern Hemisphere summer monsoon in N. Africa, South and East Asia. The Southern Hemisphere continents become drier in annual averages in A and AO. In AOV, the Southern Hemisphere landmasses receive more precipitation, although in austral summer the Amazon Basin is drier in all simulations. In austral winter, the Amazon and Congo basins are considerably wetter than today, while only marginal differences from today can be seen for other Southern Hemisphere landmasses. While further analysis of the model results is warranted, it appears that the increased precipitation over the Southern Hemisphere in austral summer in AOV is mainly caused by the summer warming of the southern oceans. P2E is more negative over the southern Atlantic and Indian oceans, although precipi- tation changes little and may increase slightly over these areas on average. Hence evaporation in these regions of the southern ocean was stronger than today. 3. Palaeoclimate reconstructions Detailed regional comparisons between palaeoclimate reconstructions and CLIMBER results are not war- ranted because of the coarse resolution of the model; as noted above. Broad patterns of past climates are therefore sought. Wasson (1995) reviewed palaeoclimate reconstruc- tions for the Asian Monsoon region. Results from Australian locations affected by the austral monsoon, from India, Arabia and the Arabian Sea, Tibet, China, Taiwan, Japan and SE Asia were summarised. Those sites which allowed estimates of P2E; or at least estimates of the sign of change of P2E from today, were compiled in a histogram to allow comparison with lake level data compiled earlier by Kutzbach and Street- Perrott (1985) for the Northern Hemisphere tropics. Both sets of data show the same broad features: rising moisture in the post-glacial to a peak in the early to mid- Holocene, followed by a drier period to the present. In both cases, the early to mid-Holocene was distinctly different from today, leaving clear evidence in lake shorelines and pollen spectra. The Northern Hemisphere tropical lake level record shows a peak between B9.5 and 6.5 kya, while in monsoonal Australia the peak is between 4 and 7 kya. In the Asian monsoon region the peak is between 5 and 7 kya, with a peak between 5 and 8 kya for the combined Australian–Asian monsoon region. With an uncertainty of 1.5 kya (Wasson, 1995), these records are statistically identical. The null hypothesis, that the Northern and Southern Hemisphere records of P2E are synchronous, cannot be rejected. Therefore, the expected strong hemispheric anti-phase relationship, if orbital forcing were the major factor in Holocene climate change, is not found. Palaeotemperature records in Australia are not wide- spread for the Holocene, but pollen records from the Eastern Uplands show values B11C above present mean annual temperature in the mid-Holocene (Ross et al., 1992). Building on earlier reviews, Partridge et al. (1990) compiled Holocene palaeoclimate reconstructions for Southern Africa as far north as 221S. Their compilation is differentiated according to regions, showing geo- graphic variations of both signs and apparent magni- tude of change for different periods of the Holocene. Post-glacial warming continued during the early Holo- cene in some areas, culminating in a period when temperatures rose above the present mean. This is clearest in the Southern Cape and Eastern regions where warming peaked between 5 and 8 kya. Between 1 and 8 kya, wet conditions occurred in both of these regions, when drier conditions prevailed in both the Kalahari and the Namib Deserts (see Lancaster, and Thomas and Shaw, this volume). During the 5–8 kya temperature maximum, the Southern Cape and Karoo were drier than present, but the Kalahari and Eastern Cape were wetter. The Namib remained dry. Small changes in wetness occurred in all regions during the last 5 kya, and temperature varied by 721C from the present mean. According to data available to Partridge et al. (1990), during the mid-Holocene, temperatures were generally higher than present; the southern-most areas were dry and the more northern regions were wetter; the Namib remained dry. Gingele (1996) presents additional evi- dence of an increase of river-derived clays in marine sediments, showing a marked period of increased river runoff from 9 to 5 kya, with a maximum between 6 and 5 kya. Partridge et al. (1990) and Gingele (1996) interpret the increased moisture from 8 to 5 kya as a result of increased summer precipitation in the more northerly regions, with decreased winter precipitation at the same time. Gingele (1996) draws attention to synchronicity in overall climate between the Namib, South Africa, and the arid belts of Northern Africa. Gasse et al. (1989) draw attention to the same phenomenon. Reconstructed palaeoclimate in South America, the third large Southern Hemisphere landmass, is more geographically diverse than elsewhere; perhaps because of the strong climatic influence of the Andes Mountains. Based upon 20 pollen records, supplemented by lake level records, Markgraf (1991) synthesised the Holocene palaeoclimate for most of South America south of 301S. By 9 kya, west of the Andes, climate was drier than R.J. Wasson, M. Claussen / Quaternary Science Reviews 21 (2002) 819–824822 today, with lakes at their Holocene minimum. East of the Andes, and at lower latitudes, moister conditions indicate that a summer precipitation regime had begun. At 6 kya, in the southern Andes at least, climate deteriorated to drier conditions. At low latitudes summer precipitation was higher. Overall, however, 5– 6 kya was drier than present, but there is a hint of a similar latitudinal gradient of moisture regime change (between 6 kya and today) in both Southern Africa and South America. In southwestern Australia, there is some evidence for a mid-Holocene dry period in the present- day winter rainfall zone (Ross et al., 1992). 4. Discussion and conclusions The hypothesis of insolation-driven changes in seasonality being out of phase in the two hemispheres during the mid-Holocene is not supported by palaeocli- matic reconstructions. Put another way, more suitable to those who prefer falsifiability as the key to science, the hypothesis that the climatic history of the two hemispheres was synchronous cannot be rejected on currently available evidence. A peak of moisture and, in many regions, temperature occurred in both hemi- spheres between 8 and 6 kya. There are significant regional departures from this pattern (the southern-most parts of Southern Africa and South America, southern India and eastern China) but the overall pattern is clear. Orbital forcing alone is insufficient to explain Holocene climate changes. CLIMBER results indicate that global warming from albedo changes, induced by both vegetation change and sea–ice reduction, and greater heat transport to the southern oceans as a result of slowed thermohaline circulation, contributed to the synchronicity of climate change in the two hemispheres. Of course, solar insolation changes induced both vegetation and sea–ice changes in the Northern Hemi- sphere, but responses in the earth system were not a simple result of insolation changes. A high resolution record of CO2 in Taylor Dome ice, Antarctica (Inderm.uhle et al., 1999) shows that CO2 concentration in the atmosphere fell from 11 kya to a minimum at 8 kya, since when it has risen to its pre- industrial value. Inderm.uhle et al. argue that these changes were driven by a combination of: growth of terrestrial biomass from 11 to 7 kya, then reduced terrestrial biomass from 6 to 1 kya as the globe’s climate cooled and dried; increased sea-surface-temperature (SST) of B0.51C between 9 and 6 kya; and possibly slow re-equilibration between the ocean and sediment systems following deglaciation. Broecker et al. (1999) explain the same rise of atmospheric CO2 from 8 kya as a result of CaCO3 compensation in the deep ocean. As vegetation spread rapidly after deglaciation, atmospheric CO2 would have declined, as shown in the Taylor Dome core, until at about 8 kya this regrowth phase ended. At this time, CaCO3 compensation in the oceans would have re- established the steady state depth of the lysocline, thereby lowering the CO3 2� concentration in the deep ocean and raising the CO2 concentration of the atmo- sphere. This is consistent with the ice core CO2 data. The explanations offered by Inderm.uhle et al. and Broecker et al. of the ice core data cannot be distinguished at the moment. As Broecker et al. point out, a high resolution and precise reconstruction of the d13C for Holocene atmospheric CO2 is required to make the distinction. If, however, biomass changes explain the CO2 changes in the Taylor Dome record, they must have occurred over a large part of the globe. Accompanying SST changes must also have been global, and CLIMBER may help us to understand the processes that led to these global changes. Or more accurately, CLIMBER allows hypotheses to be generated to more completely explain the changes. Returning to Hayden (1998), it can be concluded that climate simulations, and therefore predictions, are likely to be inaccurate if vegetation is not properly considered. The extent to which this statement is correct deserves close attention, particularly in relation to deforestation in recent centuries and ‘predictions’ of climate over the next century. References Broecker, W.S., Clark, E., McCorkle, D.C., Tsung-Hung Peng, Hajdas, I., Bonani, G., 1999. Evidence for a reduction in the carbonate ion content of the deep sea during the course of the Holocene. Paleoceanography 14, 744–752. Claussen, M., Gayler, V., 1997. The greening of the Sahara during the mid-Holocene: results of an interactive atmosphere–biome model. Global Ecology and Biogeography Letters 6, 369–377. Claussen, M., Brovkin, V., Ganopolski, A., Kubatzki, C., Petoukhov, V., 1998. Modelling global terrestrial vegetation–climate interac- tion. Philosophical Transactions of the Royal Society of London B 353, 53–63. COHMAP, 1988. Climatic changes of the last 18,000 years: Observa- tions and model simulations. Science 241, 1043–1052. Ganopolski, A., Rahmstorf, S., Petoukhov, V., Claussen, M., 1998a. Simulation of modern and glacial climates with a coupled global model of intermediate complexity. Nature 391, 351–356. Ganopolski, A., Kubatski, C., Claussen, M., Brovkin, V., Petoukhov, V., 1998b. The influence of vegetation–atmosphere–ocean interac- tion on climate during the mid-Holocene. Science 280, 1916–1919. Gasse, F., Ledee, V., Massault, V., Fontes, J.-C., 1989. Water level fluctuations of Lake Tanganyika in phase with oceanic changes during the last glaciation and deglaciation. Nature 342, 57. Gingele, F.X., 1996. Holocene climatic optimum in southwest AfricaFevidence from the marine clay mineral record. Palaeogeo- graphy, Palaeoclimatology, Palaeoecology 122, 77–87. Hayden, B.P., 1998. Ecosystem feedbacks on climate at the landscape scale. Philosophical Transactions of the Royal Society of London B 353, 5–18. R.J. Wasson, M. Claussen / Quaternary Science Reviews 21 (2002) 819–824 823 Inderm.uhle, A., Stocker, T.F., Joos, F., Fischer, H., Smith, H.J., Wahlen, M., Deck, M., Mastroianni, D., Tschumi, J., Blunier, T., Meyer, R., Stauffer, B., 1999. Holocene carbon-cycle dynamics based on CO2 trapped in ice at Taylor Dome, Antarctica. Nature 398, 121–126. Kutzbach, J.E., 1981. Monsoon climate of the early Holocene: climate experiment with the earth’s orbital parameters for 9000 years ago. Science 214, 59–61. Kutzbach, J.E., Street-Perrott, F.A., 1985. Milankovitch forcing of fluctuations in the level of tropical lakes from 18 to 0 kya BP. Nature 317, 130–134. Markgraf, V., 1991. Late Pleistocene environmental and climatic evolution in southern South America. Barnberger Geographische Schiftem Bd 11, 271–281. Partridge, T.C., Avery, D.M., Botha, G.A., Brink, J.S., Deacon, J., Herbert, R.S., Maud, R.R., Scholtz, A., Scott, L., Talma, A.S., Vogel, J.C., 1990. Late Pleistocene and Holocene climatic change in Southern Africa. South African Journal of Science 86, 302–306. Ross, A., Donnelly, T., Wasson, R.J., 1992. The peopling of the arid zone: human-environment interactions. In: Dodson, S. (Ed.), The Na.ıve Lands. Longman, New York, pp. 76–114. Walter, H., Breckle, S., 1985. Ecological Systems of the Geobiosphere. Springer, Berlin. Wasson, R.J., 1995. The Asian monsoon during the late quaternary: a test of orbital forcing and palaeoanalogue forecasting. Geological Society of India, Memoir 32, 22–35. R.J. Wasson, M. Claussen / Quaternary Science Reviews 21 (2002) 819–824824 
work_nwjnm2x63fbgjoauews3qti2tm	----	Untitled-1 © 1908 Nature Publishing Group 10, 1908] .NATURE 173 s•luutu Utsappear. Of course it is theoretically possible that average length s hould decline without average weight, owing to the reduced competition for food attend- ing a thinning of the population-though in that case the uttlity of a size-limit is not obvious-but in all probability the discrepancy is due to paucity of data in one or the other of the areas, and will disappear with the collection of more information. The point does, however, emphasise the importance of testing the adequacy of samples of fish used for statis tical purposes, a matter which is dealt with in another paper of the volume on the Ymuiden plaice measurements. The secretarv concludes hi s official record of the con- ference wit h a reference to the 'reception of the council by the King, a nd with pleasa nt, if a little quaint, ex- pressions of thanks to the institutions and gentlemen who constituted themselves ho sts, and to the clubs which " opened their hospitable lo calit ies " to the members. The seco nd volume before us is devoted to the seals of northern Europe. The material used was collected by Hjort and Knipowitsch, and is of the most diverse character, ranging from zoological literature to the journals of sealing vessels. The intention in dealing with this data ;vas to give accounts of the biology, econo mic value, and tnfiu ence on fisheries of seals, and to arrive at conclusions on the question of their extermination. The first of these purposes is admirably carri ed out by Dt·. \Volle- brek in a paper well illustrated by charts and plates, the acco unt of the distribution and migrations of the seals being especially interesti ng. The r epor t is in two parts, a Norwegian and a Ru ssian, and it is evident that the value attached to sea lin g by the Russians their sympathising greatly with Norwegian proJects for the extermination o f these animals. The ch arges against the seals are that Phoca vitulina damages the salmon fisheri es, which is generally admitted, and that P. J;roenlandica, P. f oetida, and P. vitulina also damage the fishery for the cod which follow the " Lodde " (.lfallotus villosus) to the coast of Finmark, in exceptional years causing its complete fa ilure. The damage done by hordes of fish-eating seals in the exceptional " seal " vcars such as 1902-3, must be very grea t ; yet the report undoubtedly have gained in value had more attention been paid to the admitted possibilitv that the exceptional conditio ns which brought the seals al so drove off the fi s h. The hydrographic conditions of the yea r s in question were so exceptio na l that they may well h ave determined the f;1ilure o f the fisheries; yet they receive but brief recogni- t ton, and the resulting impression is somewhat that of a trial confined to speeches for the prosecution. One feels that , were the seals eliminated, the Lodde fisherv would possibly sti ll be liable to sudden failure. • The third publication und er notice is one of a series iss ued at fairly regular interva ls, and contains the detailed hydro graph ic and plankton ol:>servations made bv the vessels em ployed in the internatio n a l researches during the first quarter of 1907, together with illu stra tive charts and sections. The periodic prepnration of these bulletins must be n seve re tax on th e time and ene r gies of the but th e resulting r ecords sh ould b" of great to those studying the North Sea and English Ch a nn el. THE Dil TVN OF METEOROLOGY.' METEOROLOGY as a science is young, but as a . br:lllch of knowledge very old, perhaps as old as rn anktnd. Indeed, the beginnings of meteoroloctv are to he found with the origin of hum an civilisa tion. "'·In those times •. man living as hunter or agr iculturist mostly •.n th e open atr was more influ en ced by, and more depend- mg on, the weather than we are ourselves at present, and he was therefore forced to w a t ch Gttmospheric phenomena. He did so, _of cours-;. not in order to study the atmosphere '" rl to drscovcr rts laws, but to derive immediate ad\·antages ·for himself. l-1 e was to lea rn how to protect hi s house against th e inclemency of the weather, how to foresee the best atmospheric co nditions for his 1 .Abridger{ from a lecture bf'( ·te th e R0yal }\feteorolog:iral Soc!ety bv Prof. G. J-lellmann, and printed in the Quarterly Journal of the Society, Oc tober, I9"J8. :"\0. 2::l4I, VOL. 79) und ertakings, or how to find out the most favourable c timati c situations for his ·field s. The experience of the more intelligent men in this re- spect was handed down, and at the same time augmented, trom ge-nera tion to generation, and formed very early an essential e lement in the knowledge of the peopl e. It was the popular weather-wtsdom which is still living now adays , and will never die. This w ea th er knowledge soon assumed the form of short proverbs , or rather absolute rul es , because thus they were easily committed to memory. It would, therefore, be wrong to imagine that the rtch store of weather -lore found in the Bible, especially in the Book of J ob, in the poems of Homer a'nd Hesiod, that is, in writings of the eighth century B.c., originated then in Palestine or Greece. On the co ntr ary, the familiarity of the people with the sayings and rules concerning the weather, revealed to us by these writings, shows clearly that they must be considered eve n then as a primeval stock of culture . Indeed, there is everv r eason to believe that t h e origin of a great deal even of the modern weather- lore can be traced to its Indo-Germanic source. People attribu te a good deal of prognostic signification to the so-called " twelve nights " (or " tw elve days "), which formerly were counted from th e beginning of the year, but later, under the influence of the Christian Church, from Christmas. People believe that th e weather of these twelve nights (or days) corresponds with that of th e twelve months of the following year-indeed, a rather simple fore- cast of long range if it were true ! This supe rstition is met in th e whole of European literature back to the fifteenth century, and still earlier in many MSS. Also the V e nerable Bed e mentions it; and the Byzantine-Greek work on agricu lture, called " Geoponica," whi ch was col- lected in th e sixth century A.D., tells us that eve n Demo- critus, in the fifth century B.c., was familiar with it in p retty much the same form. On th e other hand, we learn from the Sanskritists that the old Indian or Vedic texts reveal the same belief in the tw elve nights as a symbol of the following twelve months. But this superstition not only spread westwards with the Indo-G erma nic race, it migrated a lso eastwards to China, where on New Year's Day a c ustom is still. in use which is based on the same Inrlo-G ermanic concepti on. Another superstitio n concerning the weather leads us to old Babylonia. Many European chapbooks of past cen- tur ies , and a little Swedish book, " Sibyllre Prophetia," which is so ld to-day at fairs, co ntai n forecasts of the weather and fertility of the whole yea r deduced from the thunder heard in each of the twelve months. These signa tollitrui can be followed up in MSS. until the Middle Ages, and go back apparently to the rich literature of almana<s or brontologies, in the composition of which in th e fourth and fifth centuries even Byzantine emperors hav e taken part. In a similar chapter of the a lready cited Greek book " Geoponica " this doctrine is attr ibuted to Zoroaster. Though this may not be the r eal author, yet his name indicates its Oriental origin ; and, ind ee d, I found in the works .of the Assyriolog ists-Sayc:e a t Oxford and Lenormant in Paris-some translations of cuneiform tabkts proving the Chaldaic origin of this superstition concerning thund er. The state of meteorologv in th e o ld Ba bylonian culture , namely, three to one thousand years B. C., shows quite another character than it did in those primeval times in which the weather proverbs originated. After h aving been formed into the beginnings of a learned profession by :he priests, the atmospheric pheno- mena were brought by them into connection with the con- stellations of the heavenly bodies, and a comp lete system of consequences and combinations was established which gave rise to the astra-meteorology. It eve n formed an integral part of the Assyric-Babylonian r eligion. The met eorological observations of the Chaldeans were apparently of a quite selective nature, referring above all to optical phenomena, especially to the halos. They dis- tinguished clearly the small h a lo of 22° di ame ter, called " tarbasu," from the grea ter one of 45°, called "supuru." Besides , they paid much attention to clouds, winds, storms, and thu nder; but a good many of these observa- tions served more for a general prophccv of good ·a nd bad things, or omens, than for the for ecast of the weather. © 1908 Nature Publishing Group IJ4 NATURE l!JECEMDER I 0, 1908 the epoc h of Homer winds were still con ceived as a bsolute beings like gods, whereas Anaximandcr of Ioni a , who lived in the fifth century B.c., is the fir st to g1ve a scien- tific definition of the wind, whi ch is s till va lid. H e says : liv<!"'ov <lva< pt<I<v O.<pos, the wind is a fl owing of a ir. It is therefore quite na t ur a l that the Greek s , even at this early period, used wind-v a nes, whi ch repr ese nt the older m eteorological instrument, and a most in te r esting example of it is preserved in the " T o wer of 'Vin ds " at Athens. At th e time of th e const r uc tion of t he tower, na melv, in the first century B.C., a g reat n1any wind-v a nes were No meteorological th eory has ye t been discov er ed in th e Babylonian tabl ets, of which, of course, only a small number has b ee n preserved, and even a smaller deciphered. But I was quite re ce ntly greatl y surpnsed to find that th e Babylonians had the windrose of eight rhumbs, and used already the names of the four cardinal points to denominate the intermedi a te directions; whereas it wa s until now generally supposed that we owe to Charles th e Great, or perhaps to his learn ed monk who ca;ne from Y ork shire , thi s progress of the comb1nat10n of the four princ ipal winds to denote all others. That was ind eed a grea t advance, for it is we ll known that in th e Gre ek and Roman period s each wind had its peculiar name, 1. already in use, for a contemporary Roman writer, FI G . J. -Frag me nt o f P a rapegma . Terentius Varro, t ells us th a t in Rom a n villas they were constru cted in such a mann er a s to show th e direction of the va ne on a windrose fixed to th e ceiling of the room (" ut intus scire possis "). Soon a ft er these earliest qu a litative o bse rva- tions of th e weath er and dir ection of th e wind we find th e fir s t qu a ntitative ones, th a t is to say, the m easurement of rain, i n the fir st cen- tury A.D. It was m a de in P a les tine, wh ere the great influ ence of r a infall on the crops must ha ve been fully appr eciated a t an early d a te , and the result s of whi ch observa tion s are prese rved in the Mi shnah, a co llection of 1 ewish religious books ap a rt from th e Bible. It seem s to me most interesting to state th a t the amount of rainfall th en consid ered as normal for a good crop corres ponds pre tty closely with th a t d educed from th e modern o bserva tion s mad e by Mr. Thomas Chaplin at 1 erusalem, whence it can be inferred that the climate of Palestine h a s not changed. a prac tice still in Mediterranean. Many of my a udience wi ll pe rh aps be a s tonish ed when I sta te that we are indebted also to a ntiquity for the fir st idea of a usc a mo ngst th e Italian marin ers in th e 1 most important modern met eorological instrument. Most F ro m th e Ba bylonian s to the Gr eeks is a fa r cry , but there is al so g reat pro g r ess from a m eteor olo g ical point of vi ew. It s eems that the Greeks wer e the fi rs t to mak e r eg ul ar met eor ological obse rvations, so me result s of whi ch are s till preserv ed, and th a t their g r eat capa city for pure science indu ced th em to es tablish meteorologica l theori es . My first sta tem ent is not onl y pro ved by Theophrastu s, wh o quotes several men in Asia Mino r and Greece makin g m eteo rological observations, but also by th e interestin g fact that sin ce the time of Meton, namely, since the fifth cent ury B.c., i n the so-called parapeg m.ata (7rapa7rti'YI"'ant ), a kind of peg a lmanac fi xed on public column s , the g eneral data of the weath er result ing from obse rva- tion s were ex hibited. As these w ea ther-alm a na cs differed from to wn to town, it clearly follows that th ey were based on individual observ a tions m ade in e ac h distri ct . H ere is an exa mple tak en from th e parapegma of Geminos, wh ose book, e ntitl ed " Int r oduction to the Phenomena," is of special valu e for this qu es- tion:- Jlu g ust 31.-The shoulders of Virgo arc ri sing. The winds ca lled hTJrria< cease to blow . Septemb er 5.-Rising of Arcturu s. South w ind, rain, and thund er. S eptember 12.-The w ea ther will likely change . S e ptember 14.-Mostly fine w ea th er for se ven days , thereaft er easterl y wind s. F ig . 1 shows a fragm ent of su ch a parape g ma found recently at Mil etu s , and now preserved in th e mu se um at Berlin. In the holes which ca n be see n in the m a rble ston e little wooden pegs wer e put in order to fi x the beg innin g of the year a nd th e days , whi ch ga ve ri se to the name parapegma, derived from the Gre ek verb to 1 fi x into. It is not surprising th a t in th es e parap egmata th e obse rvations of the w ind prevail over all oth ers, for th ey were of practi cal us e to na vi gation a nd easil y m ade . Al so, th e or igin of th e winds h a s always bee n a favo uri te sub- ject oi specula tion among the Gr eek philosophers. In NO. 2041, VOL. 79) men of science a re still of the opinion that antiquity a chieved nothing c oncerning physical instrum ent s and experiments ; but the more we become acquainted with the scientific and technical literature of the Gr ee k s and Romans, which at present is often th e subject of study of philologists in preference to the class ical auth ors , the more we learn their many pos itive result s in this i·espect. There are two ph ys icists o f special inter es t to u s in this connection, namely, Philo of Byza ntium , who lived in the third century B.c., a nd Hero of Alexandria, whose ce ntury is not yet settled, but who ce rt a inly lived after Philo and the grea t mathemat ician Ar chim ede s , bo th bein g q uoted (] FlG . 2 . by him . In th e wr itings of th ese two physicists we find the desc ription of an app a r a tus whi ch repre se nts the primitive idea of th e thermo scope. Philo's description in hi s work " De ingeniis spiritual i- bus " (o n pressure engines), th e Greek original of which is lost, o nly an Ar abian and a Latin translatio n being preserved , will be made intelligible by Fig. 2. H e says:- " One t a kes a leaden glob e of mod er a te size, th e inside of whi ch is empty a nd room y. It mu st neither be too thin that it ca nnot eas il y burs t, no r too hea vy, but qu ite dry so th at th e experim ent ma y succeed. Through a n aper- ture in the top is passed a bent siphon reaching nearly © 1908 Nature Publishing Group DECEMBER 10, 1908] NATURE 175 -----------·---- .to the bottom. The other end of this sip hon is passed into a vessel filled with water, a lso reaching nearly to the bottom, so that water may the more easily flow out. .a is the globe, b the siphon, and g the vessel. I assert, when the globe is placed in t h e sun and becomes warm some of the air enclosed in the tube will pass out. This will be seen, since the air flows out of the tube into the water, setting it in motion and producing a ir-bubbles, one .after the other. If the globe is pl aced in the shadow or any other place where the sun does not penetrate, then the water will rise through the tub e flowing into the globe. If the globe is again placed in the sun the water will return to the vessel, and vice . versa . .... The same is produced if one heats the globe with fire or pours hot water over it. " Somewhat more complicated is the s imilar apparatus of Hero, to which he gives the name A</3&.>, or drip (Fig. 3) . Now it happened. that this book of H ero on pneum a tics, which must have been widely distributed already in MS., was translate d in the eighteen years between 1575 and 1592 no less than twice into Latin and three times into Itali an. It was studied by Galileo, Porta, and Drebbel, and gave, ab out the year r6oo, to a ll thr ee men the idea of cons tructing a thermoscop e, a nd to the last one also the impulse of making an exper im ent on the origin of the winds. From this it appears th ere is an interesting co nn ec.tion between the science of two remote periods with an interval of time of more than r8oo years . As I said before, the Greeks were also the first to start theories of meteorological phenomena . Indeed , since the time of the oldest philosophical school, that of Ionia, there are few Greek philosoph ers who were not interested in some branch of meteorology . This covered a wider field of research then than at present, besides meteorology in the modern se nse,. a lso a gooa' deal of physical geography and astronomy, es pecia lly shooting- stars, m eteo r s, and comets. The favouri t e meteorological sub jec ts of spec ulation and r esearch seem to have been the origin of the winds, the theory of th e rain, including th e regular inundation of the Nile, and the rainbow. A good many cosmological speculations w ere also put for- ward by the meteorologists which often proved false, and, considered from a practical point of view, in all cases rath er useless, whence in the period of Socrates meteor- ology itself came into disrepute. But notwithstanding, meteorology made some real pro- gress in time, and reached such perfection a century later that the sy_stem established by Aristotle remained for nearly two tho u sand years the standard text-book of our science. To_ be sur e, considered from a modern point of view , A.nstotle 's meteorology was antiquated long ago, but if you imagine yourselves back in those old times you 'will agree with me that his treatise of meteorology-the earliest , NO. 2041, VOL. 79] one existing-is a n exce ll en t piece of work, and well worthy of th e greatest systematiser of a ll times. I shou ld go too far if I were to ana lyse here the merits and dem erits of Aristotle's meteorology. It may be sufficient to say that his most distinguished successors, such as Theophrastus and Posidonius, have added but little to the perfection of his system, which, on the con- tra ry, gave rise to innumerable commentaries and para- phrases. All text-books of m et eo rology issued on the Continent until the end of the seven t een th century are excl usively based on Aristotle, whereas, curiously enough, in England his infl uence was much less . If I except Duns Scotus I do not know a ny British scholar who has written a on the meteorology of Aristotle, and even this on e has quite r ecently been disputed. It is true the number of trea t ises o n meteorology published in Great Britain be fore 1700 is unusuall y small compared wifh that issued contemporaneousl y in Germany, Italy, and Fr a nce, in Latin or th e vernacular langu age. Englishmen seem always to have been more inclined to mak e actual observa- tions of the weather than to th eorise upon it and to write svstematic treatises on meteorology. 'Among the Romans meteorology made but little pro- gress, like a ll other sciences of no imm ediate practical value. Pliny, Seneca, and Lucretiu s do not add any re- markabl e fact or theory to the knowl edge of the Greeks, and probably the same can be said of the lost writings o f Nigidius Figulus and Suetonius Tranquillus. From Virgi l we lea rn some new weather-pr overbs • originating in Ita ly, and a writer on agriculture, Columella, who own ed a large estate nea r Cadiz in Andalusia, has left behind a " Cale nd arium Rus tic um," o r rural c-alendar, with m a ny interesting weather observa tion s made in that district. The extensive colonial possessions of the Rom ans we re, of course, suitable for advancing th e conceptio ns of climatological differences of the countri es . As the great military expeditio n of Alexander the Great to inner Asia and Indi a had brought to the Greeks the first knowledge of the monsoon winds, so the Rom ans were the first to point out th e difference between th e continental and mari- time climate. :Vlinucius Felix, a Christian writer from Africa, Jiving in the second century A.D . , says, conce rn- ing the climate of Great Britain, " Brit annia sole deficitur, sed circ umflu entis maris tepore recr ea tur , " tha t is, fr ee ly tran s lated, " Britain has little su nshi ne , but a mild climate o n account of the wa rm sea-wa ter flowing round it." The barbarous state of Europe a ft er the fa ll of the vVestern Empire was not adapted to the furthering of sc ience, which was barely kept alive within the Christian Church, Y et the pursuit of meteorology neve r wholly ceased, for the Fathers of the Church, writing commen- taries on the work of the seven days, the so-called Hexaemeron, often took occasion, wh en dealing with the first day of the Mosaic Creation, to insert long elaborations on the atmosphere and its phenomena . At th e very beginning of the Middle A[!es the great encyclopa?dists, such as Isidorus Hispa lens is in Spain, the Venerable Bede in Great Britain, and R abanus Maurus in Germany, were the first to devote more a ttention to meteorological qu es tions, the interest in which must have bee n considerable in England, for in the tenth century an extract of Bede 's w ritings, concerning astro nomy and m eteorology, was made for the uniniti ated in th e Anglo- Saxon langu age, which is perhaps th e earliest treatise on science written in a popular form. It contains chapters on the winds, rain, hail, snow, a nd thund er. A general revival of studies took place at the end of the twelfth century, when the writings of Aristotle, among whi ch was his " Meteorology," came to the knowledge of the ·w este rn students by Latin translations made in Spain from the Arabian ones, not from the Greek originals. The imposing meteorological system of the great Stagirite again exercised a great influence on the writings of the scholars and on the teaching in the recently ('stablished universities, where, under the title " Meteora," regular courses and eve n exercises in were held. Albertus Magnus at Cologne wrote at this time his great meteorological works ("De Meteoris." libri iv., and" De Passionibus Aeris "), paraphrasing chi efly those of Aris- totle, but ad ding also the opinions of other authorities © 1908 Nature Publishing Group 1VATURE [DECEMBER 10, 1908 and his own remarks; and at th e same tim e, or somewhat later, Vincent de Beauvais in France, Thomas de Can tim pre in Belgium, Ristoro d 'Arezzo in Italy, Bartholomew Anglicus (or de Glanvill a ) in England, in- corporated the Aristotelian id ea s in their cncyclop::cdic works all bearing the general titl e " On the Nature of Things" ('' De Natura Rerum"). But th e firm and absolute adh er en ce to the doctrines of th e m as t er, Aristotle, the denying of all that could not be found in his writings, rendered th e scholastic meteorology so n oxiou s to any real progress that it came into conflict with all new ideas. Notwithstanding, these forced their way by and by, and the beginnings of th e modern experi- me ntal sci e nce arc to be found ju s t at that epoch when schola s ti c is m had reached its high es t point, namely, in the thirtee nth ce ntury. It is not yet definitely se ttl ed wh er e th e new experi- m ent a l science took its origin-most likely contempor- a neously in France and in Engl a nd, wh ere th e two friends Pi err e de Maricourt (Petrus P eregrinu s) a nd Roger Bacon can be considered as the first grea t r eprese ntatives of the ne w a ims. The former, a French nobl em a n and military engineer, is the author of the famous tre a tis e on the magnet, and m a de many optical experiments lik e his English friend ; a nd a lthough both have not d ea lt with meteorology properly s pea king-except the rainb ow-ye t their general influ ence must have been great on our scie nce also. Roger Bacon's energetic opposing of th e exp erim e nt to the argu- ment-" a rgumentum non s ufficit, sed experientia," he says in hi s " Opus Maju s " - condu ced naturally to the observing of atmospheric phe nom e na instead of only inter- pret ing the writings of the an cie nt s . Thu s the ne w aims advan<:ed m e teorological observations also, for which the ground wa s well pre pa red. As I have just shown, such observations w er e m a de in antiquity and never h a d wholly ceased, d es pite fr equ ent and long inter- rupti o ns . For the custom of th e Rom a n historians to note in th e ir annals the more important a tmospheric pheno- m ena, especially those necessitating sac rifices, was handed down to the chroniclers of th e Middl e Ages, whose chronicl es became richer and ri ch er in entries of the w ea th er, until at the end of th e thirt ee nth centurv these r ec ords ar e so replete wi t h r emark s on the that th e characte r of the seasons could be trac ed back. Now the time is ripe for mor e sys te m a ti c observation s , a nd w e find at Oxford \Villi a m M erl e, a fe llow of Merton Co lleg e, to whom remains th e d is tin ction of being the fir st man in the Occ idental world to k eep a r egular journal of th e w ea th er day by day. It e mbr aces th e years 1337 until 1344· The journal is prese rv ed at the Bodleian Libra r y . It is the earliest known journ a l of the weather, k ept a t Oxford and later at Driby in Lin colnshire where \Villi a m Merle was rector. ' A c lose examination of the circum s ta nc es forces me to th e conclusion that ·william M erl e w a s induced to make r egul a r observations by the d esire t o asce rtain the correct- ness of th e prognostics made by him se lf a nd his colleagues Oxford, where meteorology, or, m o r e properly speak- m g , a stro-m Pteorology, had b ee n fl o uri shin g since the time of Robe rt Grosseteste, the famou s Bi s hop of Lincoln. Merl e himself has left behind t wo MSS . on th e foreca s tincr of th e weath e r, and his contemporan eou s fello w of Colleg e, John Eschendon (or As he ndon), whose name has b<'.en corrupte.d into Eschuid , co mpl eted in 1348 a volu- mtnous tre a tt se of astra-m e t eo rol ogy bearing the title " Summa judicialis de accid e ntibus mundi." It was printed a t V e nice in 1489, and served in the sixteenth ce ntury as a text-book at the Univ ersity of Vienna. The work is u sually quoted in met eorological literature under th e a bbreviated title " Summa Angli ca n a," and is now extn;mely rare. Wh en, eighteen years ago, th e jou r na l of \Villiam Merle was r e-discovered, it seemed to sta nd a ll alone, since we h ct d no knowl edge of other ob se rv:lli o ns m a de in England or a bro ad but recentlv I have bee n a ble to find out a nea rl y continued sequence of ser ies of s u ch observations. and to prove that from th e fourt ee nth to th e middle of the se ve nteenth centuries , na m ely , until th e invention of me teorological instruments th e w ea th e r wa s regularly observed in many plan's in C entr :ll a nd \ Ves tern Europe. NO. 2041, VOL. 79) I had noticed that some copies of th e large astr6nom.ical. work, publis hed in 1499 by Ju st u s Stoe ttl e r and Jacob Pflaum at Tiibingen, " Almanach n ova plurimis annis venturi s inse rvi entia," containing eph e m erid es for the years 1499 t o 1531, w ere full of meteorol ogi ca l e ntri es written on the bro ad margins. This induc ed me to make sy s temati c inquiry into copies of the work n a med contain- ing .su ch entries preserved in th e great libraries of G e rm a ny, Au s1ria, and Switzerland. 'fh e r esult of this inquiry was rather astonishing. No few er than 123 diff er e nt ser ies of meteorological obse rv at ions belonging to th e fift ee nth, sixteenth, and s eve n teenth ce nturies were found . Considering that this numb er of necess ity repre- s e nts but a small proportion, and con cern s only some parts of C e ntral Europe , we may sa fe ly. presu me that in the whole of Europe their number mu s t h a ve bee n far greater. Some .-o f th ese early series of w eath e r obse rvation s are even corres ponding ones , made by agre em e nt. A fr es h stimulus for observing ca m e a t th e end of the fift ee nth ce ntury from quite anoth er direction. The great di scove ri es of n ew lands and se a s considerably enlarged and wid e ned old ideas and con ce pti-o ns . Atmospheric phe nom e n a never seen before came to th e knowledge of man, and clim a tes very different from thos e a t home became know n . Intelligent men were struck by such varieties, and w e ca n cl early observe their e ff ect on th em in the writings of th a t epoch. Luis de Ca m i'\ cs . the famous Portug u ese poe t, described in his epos , '' Os Lusiadas," for th e fir s t ti m e minutely the w a te r-s pouts ofte n observed by him off th e co a s t of Guinea and the s torm s in the South Indian O cea n , while from the log book k ept by Christopher Columbu s durin g h is fir s t voyage w e lea rn the deep impressi on h e got from the differe nce of and wea th e r in the Atlantic beyond th e Azor es compa r ed with th a t eas tw a rd s of the islands. Su ch n ew o bse rvations adv a n ced m os tly the doctrine of the wind s , whi ch was now mor e fully e xpounded in Spanish a nd Portugu ese works, until in th e vear 1622 Francis Bacon w a s the first to publis h a special treatise dealing entirely with the winds. But m ea nwhile experimental scie nce, the growing up of whi ch I h a ve just alluded to, was so much developed th a t in th e first half of the seventeenth century the prin- cipa l m eteorologic al instruments w ere invented. To Italv belongs the glory of being the native country of instru- m e nta l m ete orol og y , the cradle of which stood at Florence. These inve ntions proved the first step in making meteor- ology a sci e nce , and now the shadows of th e dawn are fas t di sa ppearing be fore the full light of the r isi n g sun. UNIVEHSITY AND EDUCATIONA.L INTELLIGENCE. friends of the Chancellor desire the establishm e nt of some award to be a ssoci a ted with Lord Rayl eigh's name, in order to comme mor a te the unanimous el ec ti o n of a sc ientific investigator to th e o ffice of Chan- cellor of th e U niversitv. With this obi ect th ev have de- posi ted a s um of money at thco bank, inter e;t of which may b e u sed fo r the purpose of awarding fr om time to tim e a pri ze to be called the Rayleigh prize . It is pro- posed to a djudi ca t e these prizes at th e sam e time and by th e sa m e a djudicators as the Smith's prize . The vVals in g ham medal for 1908 h a s bee n a warded to C. C. D o bell for his essay entitled (1) "Proti sta Parasitic in Frogs a nd Toads," (2) " Chromidi a a nd th e Binuclearity H y poth eses " ; and a second Walsingham m edal to G. R. Min es a nd D. Thoday. Mr. Min es's essay was entitled "The Spo nta neous Movements of Amphibi a n Muscles in S a lin e Soluti ons," and Mr. Thoday's essay was entitled " In cr ease of Dry vVeight as a M easure of Assimilation." Lord vV a lsingham has expressed his willingn ess to give, this yea r, a bronze replica of the m ed a l to each of the candid a tes a w a rded the second m ed a l. Th e medal is award e d fo r a monograph or essay giving e vidence of original r esearch on any botanical, geological, or zoo- lo g ical s ubj ec t, 7.0ology being unde r s to od to include animal morphology and physiology. E ssay s for th e e ns uing year ar e to be se nt to th e chairman of the s pe cial board for biol ogy a nd g eo lo gy (Prof. Langley , The Museums) not late r th a n O c tob er 10, 1909. THE DAWN OF METEOROLOGY.1 
work_nwks3oewejcblicjglmfi7gvnq	----	Tattoni-The stuffed turkey   Igina Tattoni “Sapienza” Università di Roma The Stuffed Turkey Abstract Using the “stuffed turkey” as a metaphor for a culture which has lost contact with spon- taneity and simplicity, this essay offers some examples of Native American and Puritan poems together with passages from H.D. Thoreau’s Notebooks in which the recovery of the spiritual value of Nature emerges as essential to lead a “good life”, in fact the only good life possible. Large part of the essay deals with the analysis of Louisa May Alcott’s short story An Old-Fashioned Thanksgiving, in which the preparation of a “proper” stuffed turkey and its disastrous outcome reveal a surprising turn: deprived of its “stuffing”, the turkey resumes its role as a symbol of shared company and good feelings, thus hinting back, with all its contradictions, to atmosphere of the first Thanksgiving celebrated in 1630. Surprisingly, the stuffed turkey, the icon recipe of the Holiday Season tables in the United States, has not been created in America but in Europe. As a fowl, the turkey does come from the West Indies and the Maya did not only used it as food but as an ornament for its bright colored plumage. When it arrived on the courtly tables of Europe it soon became stuffed and then, stuffed as it was, it went back to the States where it became a national dish. Its evolution or, rather, its in-volution, could be taken as a sign of a cul- ture that, especially from the XIX century onward, has privileged the way of “heavy stuff”, rather than the way of simplicity and spontaneity. I will propose here some Indian and Puritan poems and a few passages from Thoreau’s prose work as an opportunity to reflect their conviction that «the only good life possible is one “natural” in a sense that society has tend- The Stuffed Turkey, SQ 7(2014)     119 ed more and more to corrupt»1. In other words I propose these passages to reconsider a better and full relationship with Nature and with ourselves. It is also useful to remember that the new generation of post- Revolutionary writers were striving to create a non-traditional, purely Amer- ican form of literature. James Russell Lowell (1819-1891) expressed this de- sire in this way: «There is only one thing better than tradition, and that is the original and eternal life out of which all tradition takes its rise. It was this life which the reformers demanded, with more or less clearness of consciousness and expression, life in politics, life in literature, life in religion»2. Native American Poetry offers quite a powerful example of what flow- ing life in literature might be – and, as we know, the following translation in- to written English does not help but rather deemphasizes the effect of those lines that were meant to be orally expressed: Big Blue Mountain Spirit, The home made of blue clouds, The cross made of the blue mirage, There you have begun to live, There is the life of goodness, I am grateful for that made of goodness there, Big Yellow Mountain Spirit in the South, Your spiritually hale body is made of yellow clouds; Leader the Mountain Spirits, Holy Mountain Spirit, You live by means of the good of this life. Big White Mountain Spirit in the west, Your spiritually hale body is made of the white mirage; Holy Mountain Spirit, leader of the Mountain Spirits, I am happy over your words, You are happy over my words. Big Black Mountain Spirit in the north, Your spiritually hale body is made of black clouds; In that way, Big Black Mountain Spirit, Holy Mountain Spirit, leader of the Mountain Spirits, I am happy over your words, You are happy over my words,                                                                                                                           1 Eliot Porter, In Wildness Is the Preservation of the World, Ballantine Book, New York, 1967, p. 12 (emphasis mine).   2 Felicita Jurlaro, A Thematic Study of the History of American Literature from the Beginning to 2010, Casa Editrice Università la Sapienza, Roma, 2011, p. 31 (emphasis mine).    120 Now it is good 3. Health, happiness, spirit, colors, a sense of orientation in a joyous majes- tic natural setting, and, last but not least, the recognition of the power of words. All that for Native Americans was not part of a TV spot but of a deep cultural credo! The second example I have chosen is from the Puritan culture, a culture that we have learned to consider distant from the Native American one, ac- tually often dramatically opposed to it. The poet is Edward Taylor (1642?- 1729), the poem the first stanza of his version of Psalm 19: To the Chief Musician: A Psalm of David The Heaven do declare (in truth) The Glory of God Also the firmament doth shew His handy works abroad. Day unto day vents Speech: and night To night tells knowledge (choice) There is no Speech not language quite Where’s not heard their voice4. Surprisingly, some of the themes are exactly the same: the spiritual glory of nature and the importance of a sort of omnipresent voice. The passages from Thoreau’s Notebooks bring about another important, more conceptual issue, that is the perception of a degrading process in natu- ral environment that the poet has just discovered and analyzes with a keen eye. The first one adds to Taylor’s description of the Heavens: «Most men – Thoreau claims – do not care for nature and would sell their share in all her beauty for a given sum. Thank God men have not yet learned to fly so they can lay waste the sky as well as the earth»5. The skies then, from biblical to Thoreau’s writings, are considered as a sort of reservoir of natural authentic beauty.                                                                                                                           3 John Collier, American Indian Ceremonial Dances, Bounty Books, New York, 1972 (em- phasis mine).   4 AA.VV., The Heath Anthology of American Literature, D.C. Heath and Company, Lexing- ton, Massachusetts, Toronto, v. I, p. 347.   5 Eliot Porter, In Wildness Is the Preservation of the World cit., p. 7 (emphasis mine).   The Stuffed Turkey, SQ 7(2014)     121 Along the same lines Thoreau’s second passage gets us close to the title and the main issue of this paper, the wild turkey: When I consider that the nobler animals have been exterminated here – the cougar, the panther, lynx, wolverine, wolf, bear, moose, the deer, the beaver, the turkey, etc., etc., – I cannot but feel as if I lived in a tame, and as it were, emasculated country […]. I take in- finite pains to know all the phenomena of spring, for instance, thinking that I have here the entire form, and then to my chagrin, I hear that it is but an imperfect copy that I possess and read, that my ancestors have torn out many of the first leaves and grandest passages and mutilated it in many places6. The extermination of wild animals is a sign of ecological degradation. Thoreau points out a natural degrading process which seems to be accom- panied by a parallel shifting from spoken to written language. When com- pared to the Puritan and the Native American world evoked by the previous passages, we notice an emphasis on the printed world imagery: «I hear that it is an imperfect copy that I possess and read, that my ancestors have torn out many of the first leaves and grandest passages and mutilated it in many places»7. The extermination of the turkey is here given as evidence of an inexora- ble and painful degrading of the environment. Though exterminated in Concord, the turkey, almost half century later, is still present in Anglo American Literature. It is not mentioned as a most noble but exterminated animal but as the main dish in “An Old-Fashioned Thanksgiving” dinner in a short story by Louis May Alcott. An Old-Fashioned Thanksgiving (1881) tells the story of a special celebra- tion, the first in which a family group of young adolescents have the necessi- ty and the opportunity to prepare a thanksgiving dinner completely on their own. When the adults will come home they will be the guests for that even- ing. If the food is not totally satisfying the atmosphere is definitely merry and full of friendly and lovely feelings. But, what is most important from our point of view, the main failure of that evening is the cooking results of the traditional stuffed turkey. Just at the beginning of the cooking process the stuffing causes some problems: « “[…] there’s lot to do, and I don’t                                                                                                                           6 Ivi, p. 10 (emphasis mine).   7 Ibid. (emphasis mine).    122 mind saying to you I’m dreadful dubersome about the turkey” – says one of the girls –“It’s all ready but the stuffing, and the roasting is as easy as can be”. “I know, but it’s the stuffin’ that troubles me”, said Tilly». Later on, af- ter overcoming an unexpected mishap and when the cooking is almost done it is still the turkey the most problematic issue: «“My sakes alive—the turkey is all burnt one side […]”. “Well I can’t help it. I couldn’t think of victuals when I expected to be eaten alive myself, could I?”». Eventually when the family is around the table, ready to start their Thanksgiving dinner their pride got a fall; for the first person who tasted the stuffing […] nearly choked over the bitter morsel. “Tilly Bassett, whatever made you put wormwood and catnip in your stuffin’?” demanded Ma, trying not to be severe, for all the rest were laughing, and Tilly looked ready to cry. “I did it,” said Prue, nobly taking all the blame, which caused Pa to kiss her on the spot, and declare that it didn’t do a mite of harm, for the turkey was all right. […] “Don’t worry about the old stuffin’ and puddin’, deary – nobody cared and Ma said we did surprisin’ well for such young girls”8. This final scenes remind us of the style of the March family in Little Women. But here is the turkey that gets our attention. Three main considera- tions: — The young ones’ first Thanksgiving cooking on their own can be read as a sort of a metaphor of independence. — It is the stuffing that creates trouble. — Ma’s and Pa’s wisdom suggests not to worry about the stuffing. The metaphor of independence does not need explanation and could be discussed in details some other times. The stuffing, on the contrary, offers the opportunity for a good deal of interesting reflections while reading about the history of the stuffed turkey. The turkey [Meleagris Gallopavus] is a fowl coming from Latin America. It is in Mexico that we find its oldest traces in a period that goes from 200 B.C. to 700 A.C. According to Alexander Dumas, the turkey was already appreciated at the dinner tables of ancient Greeks and Romans, but then it                                                                                                                           8 Louisa May Alcott, An Old-Fashioned Thanksgiving and Other Stories, Penguin, New York, 1995, www.ibiblio.org/eldritch/lma/oft.html.   The Stuffed Turkey, SQ 7(2014)     123 disappears from historical chronicles to reappear only in 1525. In that year Gonzales Fernando de Oviedo, Governor of Hispaniola (Dominican Re- public), accurately describes it in his Summario de la Historia Natural de las In- dias Occidentales. Some historians claim that was Christopher Columbus to import the turkey in Spain from where it spread all over Europe. The Portu- guese and Spaniards called it Pavones de las Indias and the French Coq d’Inde9. But the most famous turkey remains the one that sits on the tables on Thanksgiving Day celebrating one of the oldest and more traditional nation- al feast in the United States that falls on the last Thursday in November. The most American of all holidays, Thanksgiving was started by governor Bradford of Plymouth colony, suggested as a national celebration by Presi- dent George Washington in 1789 and then, after many controversies, offi- cially instituted by Abraham Lincoln in 1863. From Maya to Indian Natives and Puritans, once the wild turkey, proba- bly brought by Christopher Columbus, arrived in Europe, lost its wild digni- ty and became a symbol of courtly life. In England the term “turkey” de- rived most probably from the fact that some Turkish merchants introduced it in Great Britain where it first appeared at the table of Henry the VIII, ap- proximately in 1524, and, from there, it arrived in France. In 1565 we have evidence of a group of Monks near Bourges who raised turkeys in their farm and of some missionary monks of that same order who, eventually, brought the turkey back to the “new world”. What is certain is that during its long staying on the royal tables of Eu- rope the turkey was transformed into a sort of strongbox and filled with all sort of stuffing: chestnut, bilberry, onions, bread etc. etc. It would be inter- esting to inquire into all the implications that this transformation implies es- pecially with regard to the theme of memory, intimacy and possession but we could do this some other times10.                                                                                                                           9 W. F. Porter, Family Meleagrididae (Turkeys), in J. del Hoyo, A. Elliott, J. Sargatal (eds.), Handbook of the Birds of the World, Vol. 2. New World Vultures to Guineafowl, Lynx Edicions, Barcelona, 1994, pp. 364–375.   10 Gaston Bachelard, La Poetica dello Spazio, Dedalo libri, Bari, 1957.    124 Here I want rather to point out the relationship between the image of the «noblest wild animal» evoked by Thoreau and that of the “strongbox” suggested by the stuffed turkey on the royal tables of Europe. The fact that the stuffed turkey has become the symbol of the most American of all holi- days shows quite effectively that when America faced the issue of its own identity, rather than holding fast to the “less travelled road” of its own na- ture, it has preferred to go back and to recapture the leading values of Eu- rope; such as wealth, power and structures. D.H. Lawrence expresses this same concept when he claims that «[the world] can’t pigeon-hole a real new experience. It can only dodge. The world is a great dodger, and the Ameri- cans the greatest. Because they dodge their own very selves»11. Thoreau, on the contrary, claims that «this curious world which we in- habit is more wonderful than it is convenient, more beautiful than it is use- ful; it is more to be admired and enjoyed than used»12. What Native Ameri- cans, R.W. Emerson, H.D. Thoreau and even the Puritans in their own way, held strongly, that a «leaven of wildness is necessary for the health of the human spirit»13 America seems to have forgotten in its rush to wealth and to control all nature. It is surprising how L.M. Alcott – who knows, perhaps even uncon- sciously! – in her short story has described, in few ironic strokes, the intel- lectual disappointment toward that situation. On a Thanksgiving Day, a spe- cial Thanksgiving in which a group of young people is called to show their natural skills, the traditional stuffed turkey burns in the oven and it is exactly the “stuffin’” – its most recent European “heritage” – that shows the great- est signs of failure. But Pa’ and Ma’, the older generation, in their loving atti- tude get from that episode a seed of wisdom, giving back to the turkey its original, “natural” American style. After all, even without stuffing or, proba- bly, just because it was without stuffing, «the turkey was all right!». In this short story, though among trials, difficulties, contradictions, as in the first thanksgiving of 1630, the turkey becomes again a symbol of shared company, good feelings, communications and “thanks-giving”. It is no                                                                                                                           11 D. H. Lawrence, Studies in Classic American Literature, Penguin Books, 1971, p. 7   12 Eliot Porter, In Wildness Is the Preservation of the World cit., p. 11.   13 Ibid.   The Stuffed Turkey, SQ 7(2014)     125 more, as in most courtly tables in Europe, a means of “stuffed” and stiff os- tentation. The seed of wisdom seems to suggest that, at times, in order to go for- ward, one has to go a little backward in time!  126 BIBLIOGRAFIA ALCOTT L.M. (1995), An Old-Fashioned Thanksgiving and Other Stories, Pen- guin, New York, www.ibiblio.org/eldritch/lma/oft.html. AA.VV., The Heath Anthology of American Literature, D.C. Heath and Compa- ny, Lexington, Massachusetts, Toronto, v. I.   BACHELARD G. (1957), La Poetica dello Spazio, Dedalo libri, Bari. COLLIER J. (1972), American Indian Ceremonial Dances, Bounty Books, New York. JURLARO F. (2011), A Thematic Study of the History of American Literature from the Beginning to 2010, Casa Editrice Università la Sapienza, Roma. LAWRENCE D.H. (1971), Studies in Classic American Literature, Penguin, New York. PORTER E. (1967), In Wildness Is the Preservation of the World, Ballantine Book, New York. PORTER W.F. (1994), Family Meleagrididae (Turkeys), in J. del Hoyo, A. El- liott, J. Sargatal (eds.), Handbook of the Birds of the World, Vol. 2. New World Vultures to Guineafowl, Lynx Edicions, Barcelona, pp. 364–375. 
work_nzmrlncvhnedzaziaudftphsqe	----	Social models of disability and other life strategies By Tom Shakespeare Abstract: The UK social model of disability (SSM) originated within a political context, which is both a strength and a weakness. Good social research has been conducted prior to, and outside, the confines of the SSM. The SSM is above all a brilliant tool for mobilising change. But it can be applied over-zealously. Since the 1990s, various critiques of the SSM have been developed, exposing contradictions and inadequacies. Equally, some of the parallels between disability and other social movements may need to be tested. Identity politics and psychology explain some of the fervour of SSM debates. To move forward, a social theory of embodiment is required. Introduction Having spent nearly fifteen years arguing about the British social model, it was a curious pleasure to arrive at the 2002 NNDR conference in Reykjavik to continue the conversation with a new group of colleagues. It was chastening to realise that there had been a parallel debate in the Nordic countries dating back to the 1970s, and interesting to hear similar criticisms and new insights from across the North Sea. It is arguable that the differences between different British theorists are larger than the difference between British disability theory, on the one foot, and Nordic disability theory, on the other. While this paper follows the same broad structure as my remarks at the roundtable, it has benefited from the discussions from the Iceland conference, and I am grateful for both the insights and the welcome which were offered by our Nordic colleagues. Part of the problem for scholars trying to understand and develop the theorisation of disability in any country is the entangling of the academic and the political. It could be suggested that close connections between policy, practice and activism are both the strength and the weakness of the British model of disability, perhaps also the Nordic: much of what follows is aimed at substantiating this claim. Much of the analysis here is necessarily tentative and hypothetical: a contribution to a debate, rather than a final word. 8 SJDR - Volume 6, No. 1 - 2004 Social models of disability and other life strategies The British social model, henceforth called the strong social model (SSM), originated within a particular stratum of the UK disability movement in the 1970s. In the document Fundamental Principles of Disability (1976), UPIAS (Union of Physically Impaired Against Segregation) defined disability not as an impairment or deficit of body or brain, but as a relationship between people with impairment and a discriminatory society. The influence of Marxist thought and labour movement traditions is clear in the work of UPIAS and the theorists who grew from its ranks (Finkelstein, 1980; Oliver, 1990). In Capital, Karl Marx defined capital and labour not as things but as relationships. Similarly, the key publications which developed the SSM - Attitudes and Disabled People (1980) by Vic Finkelstein and The Politics of Disablement (1990) by Mike Oliver - both developed the definition of disability as a relationship between people with impairment and a disabling society. The SSM provided the ideological foundation for the British disability movement which burgeoned through direct action and local community development throughout the 1980s and 1990s (Campbell and Oliver, 1996). After the formation of Disabled People's International in 1981, Finkelstein argued for the SSM on the global stage. From the start, the SSM was both a political and a theoretical tool. The tensions between the needs of a political movement and the requirements of an academic theory became clear in the mid-1990s, and continue to drive the disability debate today. Being only ten years old at the time of the UPIAS formulation, I came late to these debates. Similar to many disabled activists and academics, I started trying to apply social theory to my own personal and political experiences before discovering the existence of the social model. In 1989, I wrote a Masters in Philosophy dissertation about disability without any awareness of the SSM. I had already embarked on a PhD thesis exploring concepts of disability when Mike Oliver's seminal account of disability was published in 1990. The experience of exploring the social scientific literature on disability and the various definitions used in research led me to three conclusions. First, the invention of the SSM was not quite the watershed in disability research that many accounts suggest. Looking at the work of non-disabled researchers prior to Oliver and Finkelstein shows that many were coming to similar conclusions during the 1980s and 1990s. For example, David Locker (1983), Mildred Blaxter (1976) and others were beginning to argue that the social consequences and social context of impairment were as much or more of a problem than the impairment itself: "The immediate context is handicapping where it presents barriers which must be negotiated, consuming reserves of time, money and energy in the process, or where the effort is such that the person decides not to bother and retreats into an enforced passivity. It is also SJDR - Volume 6, No. 1 - 2004 9 Tom Shakespeare handicapping to the extent that it leaves the individual with no option but to rely on the help of others." (Locker, 1983: 90) Substituting 'disabling' for 'handicapping' in this quotation produces a fairly good fit with social model perspectives. This literature cannot be said to be based on the SSM, but accounts often come pretty close to it. It could be argued that the major distinction is not adherence to the SSM, but the fact that these authors were non-disabled social scientists, rather than socially engaged disabled activists. Second, it is quite possible to have a disability rights perspective without a strong social model approach. My own early work on disability in 1989 and 1990 used the term 'people with disabilities' and referred to the social and cultural dimensions of disablement, without redefining disability as the social and cultural dimensions of disablement. Other UK groups contemporary with UPIAS, such as the Liberation Network of People with Disabilities, developed understandings of disability oppression which did not depend on the SSM formulation. North American minority group approaches, the Nordic relational approach, and other international perspectives have produced important analysis and research without the strong social model. Third, the strong social model is not the only social model in town. In fact, there are all sorts of 'social models', as David Pfeiffer (2001) has suggested. As other contributors to this journal argue, the Nordic relational model is not an alternative to the social model, but another type of social model. By analogy, America was discovered over and over again: by Asiatic nomads, by Irish monks, by Leif Eriksen, by Christopher Columbus and by Amerigo Vespucci. Each had a valid claim to be the first and each took a different route to the prize. If a concept (or continent) is important enough, then many people are bound to reach it, eventually. Ideologies are useful because they bolster movements and inspire change agents. For example, normalisation/SRV provided the ideological backbone for anti-institutionalisation, and for the campaigning mission of families and professionals working for the inclusion of people with intellectual difficulties in the mainstream. In a similar way, the SSM provided the ideological backbone for UK disability movement (Hasler, 1993). In comparing the Nordic relational model to these other approaches, perhaps the Nordic perspective suffers in comparison. When it came to policy, or to research, the relational approach was not operationalised: it is claimed that in practice there was a 'decoupling' from the relational understanding. This perhaps provides a clue to some of the international perceptions and tensions in the disability debate. First, theories need to be robust enough to make a difference. Certainly, both the SSM and 10 SJDR - Volume 6, No.l - 2004 Social models of disability and other life strategies Social Role Valorisation (SRV) are robust. Critics have claimed that SRV and its practitioners can come across like an evangelical cult. In the UK, some have experienced the SSM operating like an ultra-left ideology. Perhaps the Nordic model never had this dubious quality of inspiring fervour. For example, Oliver has dismissed competing approaches as "intellectual masturbation" (Oliver, 1992), and others from the materialist wing of the disability studies community have frequently been just as robust in their defence of SSM orthodoxy. Second, a vital issue of disability politics is whether the leadership of the movement, and of research, is in the hands of disabled people themselves, or of non-disabled allies and professionals. The importance of the SSM was that it was a disabled-led initiative, in contrast to the largely non-disabled professionals, academics and charities who had hitherto dominated the disability field. The UK disability movement has been characterised by an intense suspicion of the motives of non-disabled people who want to work in the field of disability. This derives from past experiences of being patronised, spoken for, and taken over. Uses of the Social Model It is not controversial to note the robustness of the strong social model. Frances Hasler (1993) talks about it as the 'big idea' of the disability movement, and it had an extraordinary political impact. This is partly because it was simple and direct and effective. Political tools have to be understandable, memorable and relevant. But the SSM was also very good for consciousness-raising. By redefining the disability problem, it enabled people who had felt in-valid, incompetent and dependent to relocate the problem of disability from themselves to the discriminatory society in which they lived. Rather than feeling shame, self-pity and frustration, people with impairments could legitimately feel anger, resentment and solidarity with others. As a result, it was adopted fervently by self-organised groups of disabled people across the UK. But the most important reason for the impact of the SSM was the instrumental value of a barriers analysis. Mike Oliver presented a paper at a University of Leeds ESRC disability seminar entitled 'If I had a hammer' (Oliver, 2003), in which he argued that the social model should be regarded as a tool, an effective tool for remedying the injustices faced by disabled people, and relocating the efforts of service providers from individual solutions to the removal of barriers to participation in the mainstream. A social model analysis shows the key priorities for action: barrier removal; citizenship rights; anti-discrimination legislation. The SSM mandates structural change in society, rather than medical or psychological correction of individuals. SJDR - Volume 6, No. 1 - 2004 11 Tom Shakespeare As well as being robust, the SSM was a tool wielded by a self-organised movement of disabled people, who were fed up of being ground down, and who had begun to celebrate resistance and talk of disability pride. This suggests an implicit tension within the UK disability movement. On the one foot, a commitment to barrier removal and social model analysis, and on the other foot, a more conventional minority group politics, based on a strong disability identity, and arguing for a better deal for the disabled constituency: higher benefits, more provision, a louder voice. These two strands have always co-existed, and may often blur into one, but are subtly different in their emphasis and implications. A similar tension can occur in disability studies: is it about studying disabling barriers, or studying the experiences of disabled people? Some argue that the latter takes research back to the bad old days of top-down and unaccountable social science. But of course, the effect of disabling barriers is the restricted life chances of disabled people. In order to document exclusion, hearing the voices and demonstrating the impoverishment of people with impairment is vital. Structures impact on the lives of agents, as both Karl Marx and Anthony Giddens would remind us. Despite clear limitations, some of which are outlined below, the SSM rapidly became disability orthodoxy in the UK. It has been the litmus test of disability correctness. Organisations and individuals are judged on whether they use the correct social model term 'disabled people' or the outdated medical model term 'people with disabilities'. An entire government public information campaign ('See the Person, Not the Disability') was boycotted by the disabled people's movement because it implicitly defined disability as impairment, not as the barriers placed on people with impairment. Even a vigorous defender of the SSM such as Mike Oliver has conceded that over-zealous disability equality trainers may have gone too far in applying a crude and deterministic version of the social model. The SSM has ostensibly supplanted the traditional models of disability within many areas of health, social care and research. But many professionals and agencies profess allegiance to the SSM while continuing with business as usual, while others have been frustrated and confused by the implications of such a starkly environmental rendering of the disability problem: captured in Marten Soder's memorable phrase "contextual essentialism" from the 2002 NNDR conference. Critiques of the Social Model Proponents of the social model have always accepted that it is not a social theory of disability. But even as a basic definition, it began to be criticised during the early 1990s. Simple and direct also meant simplistic and possibly misleading. 12 SJDR - Volume 6, No. 1 - 2004 Social models of disability and other life strategies Feminist disability scholars such as Jenny Morris (1991), Liz Crow (1996) and Sally French (1993) argued that the SSM excluded many dimensions of personal experience, particularly issues relating to impairment and identity. I have argued that the strong social model fails to correspond to the everyday experience of disabled people, many of whom experience physical and mental difficulties, as well as social barriers and exclusion. It would be wrong to claim that the SSM is sexist or gender blind: however, it undoubtedly recapitulates the public/private split which feminists have criticised. The application of the SSM has often failed to deal with the ways in which the 'personal is political'. SSM proponents rejoinder that there is nothing to stop anyone developing a social theory of impairment, that the SSM was never intended to explain everything about disability, that it is a heuristic not a formal definition, and so forth. While this may be true, it could be suggested that the SSM is a victim of its own robust coherence, and that it does not leave much space for a consideration of personal issues. In a political/psychological sense, the SSM became ideologically dominant precisely because it moved away from the individual and the personal and the psychological and the bodily: activists wanted to disown the tragedy theory and the victim-blaming explanations, and any feeling that they were flawed or frail. How could the SSM then expand to include what had been disavowed? As the movement matured and wider issues were added to the agenda, such as impairment, sexuality, and genetics, the social model has not proved adequate to analysis in these areas. Back to Mike Oliver's talk (2003), we can think of the old saying: 'if you give someone a hammer, all they see is nails'. The social model is a wonderful tool for identifying social barriers and mobilising many downtrodden people, but perhaps the wrong tool for the other tasks which a progressive disability politics requires. Nor is the SSM able to motivate or mobilise all disabled people (Shakespeare & Watson, 2002). The disability movement has been dominated by people with physical and sensory impairments. There have been difficulties in including other groups in the disability community, for example people with mental health issues, people with intellectual difficulties, Deaf people, and people with AIDS/HIV. While important social model analyses have been developed in these areas, it could be suggested that sometimes the social constructionist/ relativist approach has gone too far. For example, in contradistinction to Szasz, Laing, Cooper, Goodley and others, the bulk of medical evidence suggests that many people labelled with mental illness, or learning difficulties, or dementia, have an underlying cognitive or psychological dysfunction. They are undoubtedly SJDR - Volume 6, No. 1 - 2004 13 Tom Shakespeare further disabled by society, but there are also organic pathologies in brain anatomy or physiology which cannot be wished away by a social modellist redefinition. Equally, many people with HIV/AIDS have become treatment activists, lobbying for more and better medical research and development, and other disabled people have major personal investments in medical research. None of this is to say that a disability coalition cannot and should not be built including all these diverse experiences, only that the 1976 version of the social model is not adequate to capture the complexities of every impairment and the social relationships and identities which arise from it. As well as differences between impairment groups, the relationship between impairment and disability is also very complex. Marx predicted that the proletariat would inevitably become radicalised, as capitalism developed and society became polarised into two classes, and it was the (Hegelian) destiny of the working class to overthrow the bourgeoisie. History shows the errors and omissions in this analysis, as social democracy and right- voting workers and the rise of the middle class complicated the original model of identity formation. The implication of early disability activism, that people with impairments were oppressed and their salvation came with collective identification and mobilisation, has also proved over- optimistic. Only a tiny proportion of people with impairments have ever signed up to the radical campaign, and many have actively disowned it. Aside from this problem of politics, there are theoretical difficulties with the model. For example, are all people with impairment disabled? What if an individual does not experience disablement, because their impairment is hidden, or they experience no barriers? What if, because of other dimensions of their experience, for example their wealth, they do not need to rely on public transport, public housing or welfare benefits? If they are not oppressed, are they then still disabled? Disability does not have the same salience for everyone with impairment. If used too crudely, the SSM risks ignoring other dimensions of people's experience, such as class, race, gender and sexuality. The implication of the strong social model is that there is the possibility of a world without disablement. Society could be constructed without barriers, and people could be equal, despite their impairments (cf. Finkelstein, 1981). Disregarding the difficulties of reaching Utopia, could such a situation actually exist? Could people ever not be disabled by society? One important response to this question has been formulated by Paul Abberley (1998). He points out that several dominant versions of the progressive project rely on removing barriers to disabled people's workforce participation. While many people with impairments who do not currently work 14 SJDR - Volume 6, No.l - 2004 Social models of disability and other life strategies may, in a better world, be able to be productive, this cannot be a possibility for everyone. Therefore, Abberley argues that achieving Utopia also means challenging the role of paid work in our society, and creating alternative ways of valuing and rewarding people. A sceptic might say that this sounds even more difficult than the construction of a barrier- free society. Turning to the enviromnental question, operationalising the SSM approach raises difficulties. It is undeniable that an environment or communication method can enable or disable an individual. The problem is that environments are built for entire societies, and often it is the case that removing barriers for some means imposing them for others. Steps may be better than ramps for some people. Pavement kerb cuts for wheelchair users may be dangerous for blind people. Typefaces which work for partially sighted may not work for people with dyslexia. Is the concept of barrier removal always better than the concept of special provision? Context is important. But different people have different requirements, bringing us back to the individual's impairments, and their own way of dealing with these, and their individual interaction with the landscape. These are the simple cases. What would barrier removal mean for people with intellectual difficulties, particularly social impairments such as autism (Singer, 1999), and to what extent is such a Utopia possible? Elsewhere, Carol Thomas seeks to go beyond the social impasse, by replacing the 'barriers' version of the social model with a 'relational' interpretation which distinguishes between impairment and disability, the latter of which she argues should be defined as social oppression. This ingenious way of resolving the problem is not however an effective solution, in my view. It ignores the dominance of the barriers interpretation of the social model, both to the original framers and most subsequent applications of the strong social model. And by linking disability definitionally with social oppression, it begs the question which research is designed to test, as well as implicitly ignoring the fact that disabled people are oppressed to different extents and in different ways. This is a brief summary of some of the more obvious critiques of the strong social model: each has been debated at length, and there may be ways of resolving some of these problems. But the conclusion which I reach is that the SSM is too universalising and too simplistic to serve as a model for the way in which disability works. The strong social model may well be practically and politically effective, but social theories of disability need a toolbox, not a single tool. As argued elsewhere (Shakespeare & Watson, 2001), the problems of the social model paradigm have accumulated to the extent that it is unworkable. We need a new paradigm. SJDR - Volume 6, No.l - 2004 15 Tom Shakespeare The social model and its parallels Implicit in this paper is the validity and value of certain parallels between social phenomena and social movements. Perhaps the time has come to question some of these assumptions. A parallel has already been drawn between Marx's formulations of capital and class and the social model. Early theorists of disability drew, implicitly or explicitly, on the Marxist tradition. It might be noted that after Marx came a century of refinement, elaboration and development of Marxism, which was partly a reaction to the failures, inadequacies and lacunae of the original conception. Another parallel which has important to my own work and that of others in disability studies has been with feminist theory. In thinking and talking about the social model of disability, I have often suggested that the impairment/disability relationship is analogous to the sex/gender relationship as conceived in the early 1970s (Oakley, 1972). Sex (male/female distinction) is biological and bodily and fixed, while gender (men/women, masculine/feminine) is a social relationship, which is historical and dynamic. If this is a valid parallel, it points up a problem with the social model. Gender was defined in early feminist theory as the socio-cultural dimension, which in practical terms has often meant women's experience of the oppression. But oppression is not implied by the sex/gender distinction, which is neutral as to the socio-cultural experience of being masculine/feminine. But disability, in the social model, is defined as the experience of oppression, not just the socio-cultural implications of impairment. People are disabled by society, which is always implicitly negative. In other words, what will disability mean in a barrier- free society? Will there only be people with impairment, not disabled people? This gives a clue as to the second problem when thinking about this parallel. The simple sex/gender distinction of early second wave feminism has been largely demolished during the 1980s and 1990s, because of the reliance on a dualistic separation of the biological and the social. That is, many theorists pointed out that sex is always already social. Judith Butler, for example, claims that sex is always perceived through the lens of gender (1990). What we take to be simple sexual difference - male or female - is always a product of our ways of thinking about gender. Without generating unnecessary levels of complication, the simple point is that impairment is never just biological, but that impairment is created, defined and understood in social contexts. The danger of a strong social model formulation is that it accepts the 16 SJDR - Volume 6, No. 1 - 2004 Social models of disability and other life strategies medical model of impairment, and fails to include the social and cultural dimensions of embodiment. Impairment and disability are on a continuum, as are sex and gender. We cannot think in terms of dichotomies. Impairment and disability are not distinct social phenomena. In practice, it is difficult to know where impairment stops and disability starts, as anybody who has done qualitative research with disabled people rapidly realises: it is not a case of either/or but of both/and. Perhaps at this point, we might be reaching for the old concept of the dialectic. A final point about parallels: the critic and lens-artist David Hevey once asked me: are we making a big mistake to see disability as parallel to gender, sexuality and 'race'? In each of the other cases, people can celebrate their difference. Sisterhood, Gay Pride, Black is Beautiful have all been slogans of other social movements. While it is possible to celebrate the solidarity, the resistance and the strength and creativity of disabled communities and individuals, this is not usually about a celebration of impairment itself. Hevey suggested that perhaps impairment/ disability is a phenomenon which is more like poverty. Outside religious asceticism, people do not celebrate poverty as a state or status. Few would voluntarily choose to be poor. Most people who are poor want to stop being poor. Who wants to be disabled? Implicit in this paper is my belief that the strong social model of disability has to be approached and understood not just as a matter of theory, logic or rationality, but as a psychological/political moment in the lives of people with impairments or people who identify themselves as disabled. Achieving self-respect, self- esteem and self-confidence is central to any individual's life project. Axel Honneth has demonstrated how the denial of these feelings through social exclusion and devaluing lies at the heart of many social conflicts (1996). In the case of impairment/disability, the possibility for achieving positive personal identity is undermined, both by the social exclusion and devaluing in disabling societies, but also through the intrinsic experience of incapacity, vulnerability and dependency. Researchers have begun to explore the psycho-emotional aspects of disablement: the ways in which the disabling society takes its toll on the individual psyche (cf. Reeve, 2003). But simply having an impairment, regardless of the social reaction or social context, can be psychologically damaging for many people. Creating and sustaining a strong sense of self is difficult for anyone, but particularly for one who has been born, or who becomes, impaired. In this context, the strong social model plays an important psychological role for SJDR - Volume 6, No.J - 2004 17 Tom Shakespeare many disabled people. It is a powerful way of denying both the relevance and the negativity of impairment. Individuals can say that their problem is not their deficit of body or mind, but the society in which they live. By combining with others who share this belief, their own self-image is reinforced, and they can achieve solidarity and self-respect. Within the movement, some go further than the social model, and make the relativist claim that there is no intrinsic problem with impairment: that it is just a different way of being, if only society would accept it and remove the barriers. When it comes to impairment, I am not a relativist. I believe that most impairments of body or brain are real, and that many of them are pathological. I do not accept the negative valuation of impairment and illness in much of the medical literature, the so-called 'medical tragedy' model. I do not think that impairment makes a life not worth living. I do not believe impairment is necessarily a worse problem than other social obstacles. I do not even believe that impairment is more of a problem for people than the disabling society in which they live. But I do believe impairment prevention is desirable, and I can quite understand why people would rather not become impaired, and why many will actively seek a cure. The psychological/political value of the strong social model to individuals and to groups seems clear. It has led to the formation of a powerful disabled political identity. Strong social identities are attractive to many people. It is part of the human condition sometimes to feel lost or groundless or lonely. If people have oppression to fight against, they can feel strong, self-righteous, and significant. If people can fight oppression in a group, then they no longer feel alone or powerless or irrelevant. The disability movement therefore attracts many individuals, with or without impairments, who are looking for a cause to identify with and who need to bolster their sense of self. All social movements are the same, and many religions operate in similar ways. If this claim about the psychology of politics is correct, it perhaps explains the vigour, verging sometimes on brutality, of political debates around the SSM. The British disability movement has found it very difficult to respond to criticisms or developments of the social model. Many activists have refused to countenance moving beyond the formulation of 1976, or doing different sorts of research, or asking different questions. Identity politics, as Foucault has argued, can become a kind of prison. Conclusion This paper has no firm conclusions. The debate about models of disability will run on and on. It is a debate which raises two of the biggest questions for social science as a whole: the relation 18 SJDR - Volume 6, No. 1 - 2004 Social models of disability and other life strategies of the individual to the structural, and of the biological to the social. Despite the claims of theorists such as Anthony Giddens, it does not seem that the circle has yet been squared. Perhaps we shouldn't feel too badly that we haven't managed it either. But I can make some tentative suggestions for ways forward. The disability community needs to make safe spaces to explore the psycho- emotional dimensions of both impairment and disability. Recognising the experience of hurt and of oppression is important for people to be able to operate effectively, and to enable disability politics to become less acrimonious and divisive. Understanding the investment individuals make in social model theory and the need to offer alternative ways of identifying and healing is part of the way forward for academic analysis. Carol Thomas asks whether the relational can be rescued in the social model? I am not so sure. Clearly the work that Carol and Donna Reeve have done on the inclusion of psycho- emotional dimensions of disablement is vital. But including psycho-emotional issues shows the fundamental problems of the unsustainable dichotomy at the heart of the strong social model. If individuals are experiencing distress, can this be put down to the effects of impairment, the effects of disablement (whether defined as barriers or oppression) or both? What sense would it make to distinguish these different factors in the complexity of an individual psyche? We need to move beyond the polarity of medical and social models. Disabled people do need medical interventions, and do often suffer bodily deficits. But none of us want to be defined by our medical conditions, and the disability movement wants to prioritise environmental and social change, not individual correction. There is a need for appropriate interventions at the different levels at which people experience the complex phenomenon of disablement. Different problems need different approaches. This applies to research as well as to service provision. To understand my genetic mutation, molecular biology is needed. To solve my spinal problems, I resort to orthopaedics, physiotherapy or Pilates. When I experience an environmental problem, I need to negotiate an accessible workspace and campaign for good transport provision. Theorists might call this 4Ontological holism but methodological pluralism': it's the same person we're talking about, but each question needs a specific answer. Perhaps there is a need for the sort of 4 bio-psycho-social' model for which proponents of the new ICF have argued. In my recent work with Nick Watson, we have built on Irving Zola's arguments about the need to universalise disability policy (Zola, 1989). The imperative is to SJDR - Volume 6, No. 1 - 2004 19 Tom Shakespeare break the social separation between disabled people, defined by their flawed bodies, and non-disabled people, defined by their perfect bodies. The strong social model does this by denying the flawed body and claiming that what defines disabled people is oppression and exclusion. Perhaps an alternative is stop denying the flawed body. All human beings have flawed bodies. Embodiment is not some Platonic ideal, but a constantly shifting experience of physicality with an inextricable element of lack, disease, degeneration and suffering. That is to say, everyone is impaired, to varying extents, and at different times. However, not everyone experiences disabling barriers or oppression, because many impairments are not subject to social stigma, and many people, despite their impairments, are not socially excluded or discriminated against. Impairment/disability is always already social, and the major problems for disabled people are social arrangements. But, like all humans, we are limited by our bodies and brains. Rather than a social theory of disability, we need a social theory of embodiment. References Abberley, P. (1998). The spectre at the feast: disabled people and social theory. In Shakespeare, T. (Ed.). The Disability Reader: social science perspectives. Cassell, London. Blaxter, M (1976). The Meaning of Disability. London: Heinemann. Butler, J (1990) Gender Trouble: feminism and the subversion of identity. New York: Routledge. Campbell, J. and Oliver, M. (1996). Disability Politics: understanding our past, changing our future. London: Routledge. Crow, L. (1996) Including all our lives. In Morris, J. (Ed.) Encounters with Strangers: feminism and disability. London: Women's Press. Finkelstein, V (1980). Attitudes and Disabled People. New York, World Rehabilitation Fund. Finkelstein, V (1981). To deny or not to deny disability. In Brechin, A. et al (Eds.). Handicap in a Social World. Sevenoaks, UK: OUP/Hodder and Stoughton. French, S. (1993). Disability, impairment or something in between? In Swain, J., Finkelstein, V., French, S. & Oliver, M. (Eds.) Disabling Barriers, Enabling Environments. London: OUP/Sage. Hasler, F. (1993) Developments in the disabled people's movement. In Swain, J., Finkelstein, V., French, S. & Oliver, M. (Eds.) Disabling Barriers, Enabling Environments. London: OUP/Sage. Finkelstein, V., French, S. & Oliver, M. (Eds.) Disabling Barriers, Enabling Environments. London: OUP/Sage. Honneth, A. (1996). The Struggle for Recognition: the moral grammar of social conflicts. Cambridge, UK: Polity. Locker, D. (1983). Disability and Disadvantage. London: Tavistock. Morris, J. (1991). Pride Against Prejudice. London: Women's Press. Oakley, A. (1972) Sex, Gender and Society. London: Maurice Temple Smith. Oliver, M (1990). The Politics of Disablement. Basingstoke: Macmillan. Oliver, M (1992) Intellectual masturbation: a rejoinder to Söder and Booth. European Journal of Special Needs Education, Vol 7 no 1. Oliver, M (2003). If I had a hammer: the social model in action. Unpublished paper presented to ESRC Disability Seminar, University of Leeds. 20 SJDR - Volume 6, No. 1 - 2004 Social models of disability and other life strategies Pfeiffer, D (2001). The conceptualization of disability. In Barnarrt, S. & Altaian, B.M. (eds.). Exploring Theories and Expanding Methodologies: where are we and where do we need to go? Research in Social Science and Disability volume 2, Amsterdam: JAI. Reeve, D (2003) 'Encounters with Strangers': Psycho-emotional dimensions of disability in everyday life. Paper presented at the UK Disability Studies Conference, Lancaster. (http://www.lancs.ac.uk/depts/apsocsci/event s/dsaconf2003/papers.htm). Shakespeare, T. & Watson, N. (2001) Making the difference: disability, politics and recognition, In Albrecht, G. et al (Eds.). Handbook of Disability Studies. Thousand Oaks: Sage. Shakespeare, T. and Watson, N. (2001). The social model of disability: an outdated ideology? In Barnarrt, S. & Altman, B.M. (eds.). Exploring Theories and Expanding Methodologies: where are we and where do we need to go? Research in Social Science and Disability volume 2, Amsterdam: JAI. Singer, J (1999). 'Why can't you be normal for once in your life?' From a 'problem with no name' to the emergence of a new category of difference. In Corker, M & French, S. (Eds.). Disability? Discourse. London: Sage. UPIAS (1976). Fundamental Principles of Disability. London: UPIAS. Zola, I (1989). Towards the necessary universalizing of a disability policy. The Milbanh Quarterly, 67 (suppl. 2, pt 2), pp 401-428. The Author: Dr. Tom Shakespeare is Director of Outreach at PEALS (Policy, Ethics and Life research Institute) at the University of Newcastle, UK. Professional fields of interest: Disability studies, bioethics, medical sociology. Address: Geography, Politics and Sociology University of Newcastle Claremont Bridge Building Newcastle NE1 7RU E-mail: t. w. shakespeare@ncl .ac. uk SJDR - Volume 6, No. 1 - 2004 21 
work_o4t6gmo3kfbvtkp2epq5ozzemm	----	RESEARCH Open Access Dialogic meaning construction and emergent reading domains among four young English language learners in second-language reading Deoksoon Kim Correspondence: deoksoonk@usf. edu Foreign Language Education and Second Language Acquisition/ Instructional Technology (SLA/IT), Secondary Education Department, 4202 East Fowler Ave, EDU 105, Tampa, FL 33620, USA Abstract Rapid growth of English language learner populations has challenged teachers, particularly because English language learners’ academic success and second- language literacy are closely linked. Using qualitative research methods and verbal protocols, this study pursued two goals, namely examining English language learners’ meaning-making processes as they engage in reading activities and how they construct meaning within particular contexts. Results document that dialogic responsive reading offers English language learners the zone of meaning construction for apprehending and mastering within and about domains. These English language learners adopted dialogic-responsive reading, relying on five domains: cultural, aesthetic, efferent, dialogic, and critical. These domains offer English language learners an evolving responsive reading strategy to develop second- language literacy. These five domains are interwoven with the cultural knowledge, prior experiences, and performance styles of diverse learners to render the learning process more meaningful and effective. English language learners position themselves centrally, retaining their cultures’ values, experiences, and perspectives while embracing new content and knowledge in the reading process. Keywords: English language learner, Dialogic meaning making, Second-language literacy, Cultural knowledge Background Literacy is crucial to English language learners’ (ELLs’) academic success: It enables them to become active learners and social beings in an English-speaking culture (Cum- mins 1992). The rapid growth of the ELL population over the past decade (Peregoy and Boyle 2008) has demanded teachers’ and administrators’ attention and challenged them pedagogically. As the number of ELLs continues to rise, researchers continue to describe the challenges of learning to read in a first language (L1) and a second lan- guage (L2). ELL refers to learners who are learning English as their second language after learning a first language other than English (Stern 1983). Given the complex pro- cess of L2 reading, exploring L2 reading processes is demanding (Fitzgerald 1995; Koda 2007). Researchers agree that these processes are closely linked to academic suc- cess (August and Shanahan 2006; Cummins 1992). Over the past decade, a convergence of state and federal policies has emphasized and institutionalized the teaching of reading and reading skills and subskills (e.g., phonemic Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 © 2011 Kim; licensee Springer. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. mailto:deoksoonk@usf.edu mailto:deoksoonk@usf.edu http://creativecommons.org/licenses/by/2.0 awareness, phonics, vocabulary; Pacheco 2010). Whereas some reading researchers argue that these skills and subskills are essential aspects of the reading processes (National Institute of Child and Health and Human Development [NICHD] 2000), others have strong concerns about teaching narrow skills-based reading approaches to ELLs (Olson 2007). Furthermore the main trend moves quickly to whole texts, empathizing reading fluency to enhance reading comprehension, whereas a more balanced approach may be more helpful to some students (Alexander and Fox 2004). L2 reading appears to be a more complex process than L1 reading (Fitzgerald 1995): In their report on the National Literacy Panel, August and Shanahan (2006) demon- strated an urgent need to support ELLs ( language-minority students) in their rapid growth. They addressed ELLs’ challenges in reading and writing well in English and indicated that the nation’s K-12 schools, should urgently address the close link between ELLs’ English proficiency and their empowerment and future success. They identified six key elements for ELLs’ literacy development: (1) Key components of read- ing consist of phonemic awareness, phonics, fluency, vocabulary, and text comprehen- sion (NICHD 2000). (2) High-quality instruction in the key components of reading boosts oral proficiency. (3) Oral proficiency and literacy in L1 facilitate literacy devel- opment in English. (4) There are important individual differences in L2 learning (i.e. general language proficiency, age, English oral proficiency, cognitive abilities, previous learning, and the similarities and differences between the first language and English). (5) Due to the challenges, better assessments for ELLs must be developed. (6) Finally, home language experiences have a positive impact on literacy achievement. Initially, however, August and Shanahan (2006) stated that there little evidence of the impact of sociocultural variables in literacy achievement or development based on the panel’s summary. In contrast, Cummins (2009) argued that sociocultural factors are significant in L2 learning in his review of August and Shanahan (2006), and Pray and Jimenez (2009) accepted Cummins’ claim, which interestingly was against the Panel’s recommendation. This important debate lead me to explore the involvement of social factors in L2 literacy and further discuss the uniqueness of ELLs’ L2 reading. It evolves from both the first and second languages and other factors such as linguis- tic differences between L1 and L2, cultural differences, and the particular context. His- torically, the cognitive processes involved in L2 reading have been discussed with various foci. Studies have examined ELLs’ language acquisition (Ellis 2008) and focused on textual components such as L2 vocabulary acquisition, grammatical structures, and the appreciation of L1 linguistic knowledge for L2 reading (Koda 2007; McElvain 2010). Some researchers have also focused on the interrelationship between L1 and L2, such as L1 positive transfer to L2 learning and how L2 reading skills transfer to L2 reading proficiency (Koda 2007; McElvain 2010; Yamashita 2002). Few studies, how- ever, address L2 reading processes and dialogic meaning construction, critical areas for understanding L2 reading processes and vital for providing appropriate pedagogical recommendations. As Freire observed in 1970, ELLs are historical, cultural, social, and political beings, and L2 reading is a sociocultural practice (Perez 1998). L2 reading pro- cesses for English, however, have not yet been fully discussed and there is an urgent need to discuss ELLs’ L2 reading processes in situated contexts (boundaries of dialogue in social contexts according to Bakhtin 1986). From a sociocultural perspective, reading is a vital system for communication and interaction (Perez 1998). Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 2 of 21 The definition of literacy has evolved to encompass the entire process of thinking and meaning-making (Goodman 1987), which is how readers make sense of texts. Au (1993) extended the definition of literacy from mere reading and writing to include “the ability and the willingness to use reading and writing to construct meaning from printed text, in ways which meet the requirements of a particular social context” (p. 20). She emphasized the importance of the readers’ willingness or feelings about read- ing and writing on the process, suggesting the reader plays a central role in the con- struction of meaning. Goodman (1987) defined L1 reading traditionally as “meaning construction.” Morti- mer and Scott (2003) described the meaning-making process (interchangeable with meaning construction in this paper) as “dialogic in nature as the students try to make sense of what is being said by laying down a set of their ‘own answering words’ to the words of the teacher” (p. 122). Based on Dewey’s (1933) philosophy, Krauss (2005) observed, “human beings have a natural inclination to understand and make meaning out of their lives and experiences” (p. 762), and reading (meaning making) occurs in “dialogic” ways (Bakhtin 1986). Reading is the purposeful construction of meaning within or about the situated context called dialogue (Bakhtin 1986), also known as communication or a semiotic exchange (Gee 2008). Johnson (2004) stressed that L2 learning can be explored socioculturally when the dialogic perspective of L2 reading is emphasized. Furthermore, the U.S. “National Reading Panel Report: Teaching Children to Read” suggested effective reading instruction for children. Particularly, this document recom- mended the importance not only of practicing reading aloud, but also of teaching stra- tegies to improve reading comprehension (International Reading Association 2002). The report’s summary highlighted the effective instructional strategies of vocabulary and text comprehension (International Reading Association 2006). This study investigated the L2 reading processes of four elementary ELLs, focusing on the interactions between the learners and various texts in situated contexts. Using qualitative and verbal protocols, I sought to elicit and examine ELLs’ meaning-making processes. This study pursued two goals: the examination of (a) ELLs’ meaning-making processes as they engage in reading activities focusing on learner’s internal cognitive reading process and (b) how they construct meaning within the particular contexts (including such social factors as cultural background, personal experience, L1 and L2 literacy skills, and oral language proficiency). To answer these questions, I reviewed the available contemporary literature on L2 reading, including the cognitive and social aspects of L2 reading. Next, I expanded the discussion to include the dialogic reading process. L2 Reading Research ELLs have various L2 proficiencies, cultural orientations, and cognitions, all closely related to age differences (Koda 2007; Stern 1983). Koda (2007) documented three major components of reading: (a) decoding (extracting linguistic information directly from print); (b) text-information building (integrating the extracted information into written form); and (c) reader-model construction (synthesizing the incorporated text information with prior knowledge p. 4). L2 reading obviously involves two languages. According to McElvain (2010), linguistic knowledge and prior knowledge help ELLs to Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 3 of 21 construct meaning while engaging in reading events. ELLs’ language proficiency (Koda 2007) and their L1 skills are directly linked to their L2 reading abilities (McElvain 2010). Cummins’ (1992) exploration of the cross-linguistic relationship in reading skills demonstrated that L2 reading success depends primarily on L1 literacy competence. Related studies discussed the relationships between L1 literacy skills and L2 reading (McElvain 2010), L2 language proficiency and L2 reading (Koda 2007; Yamashita 2002), and L1 literacy skill and L2 proficiency’s influence on L2 reading (Nassaji 2007). Likewise, prior learning experiences can be considered a reservoir of knowledge, skills, and abilities to be employed when learning a language and literacy skills (Koda 2007; McElvain 2010). L2 reading is the product of word decoding, vocabulary knowledge, grammatical skills, and oral text comprehension (McElvain 2010). L2 proficiency with vocabulary and grammatical skills, however, appears closely linked to reading fluency and compre- hension (McElvain 2010). Koda (2007) discussed the role of linguistic knowledge in text-information building, emphasizing syntactic awareness and text-structure knowl- edge. Word-recognition and decoding-skill studies showed that these skills cannot cover the full process of reading (Avalos 2003). Researchers have documented contemporary L2 reading theory and reading strate- gies, but have not yet focused on the dialogic responsive reading process. Johnson (2004) emphasized that dialogic responsive reading is comparable to the sociocultural perspective in L2 learning. ELLs are at the centre of meaning construction, struggling to make meaning out of strange and foreign words, and their dialogic meaning con- struction must be closely observed and addressed. Dialogic Responsive Reading Dialogue is described as a, “give-and-take exchange of language between two indivi- duals” (Uebel 2007, p. 331). Bakhtin (1986) saw the individual utterances in a dialogue as the junction between a speaker’s specific speech intent and the listener’s responsive- ness; these two elements are constant and stable and create original meaningful lin- kages within the given boundaries. These two entities, speaker and active listener, create the true essence of meaning through purposeful exchanges. Bakhtin (1986) described dialogue as “The life of the text ... always develops on the boundary between two consciousnesses, two subjects” (p. 107), the author and the reader. Reading is an utterance within the given boundary, a kind of literacy work (Bakhtin 1986). The boundary can be a “rejoinder, letters, diaries, inner speech, and so forth” (p. 115). Bakhtin referred to reading as “an utterance” that creates brand new innovative mean- ings, claiming that the possibilities in the written word are utterly boundless. The ELL who reads is as important as the author and is always central to meaning making, either obtaining knowledge, connecting to culture, engaging in lived-through experience (Rosenblatt 1978) reaching that deeper level of connection that generates readers’ reading pleasure, dialoguing, or creating entirely new meanings from the read- ing (Bakhtin 1986; Freire 1970). Within the L2-reading focus, responsive reading has been referred to under various names, for example, (Rosenblatt’s 1978; 1986) efferent and aesthetic reading; Perez’s (1998) literacy as a cultural practice, which means literacy makes sense within the given context; Bakhtin’s (1986) reading as a dialogue; and Paulo Freire’s (1970) critical Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 4 of 21 literacy. These responsive readings demonstrate different foci of meaning making, but all represent a dialogue between the reader and the text in the situated context. Rosenblatt’s (1978) reader-response theory sees the reader as either gaining a lived- through experience (interchangeably aesthetic) or obtaining information from the text (interchangeably efferent), which is how the ELL creates a dialogic relationship with the text. This relation could be efferent (informative) or aesthetic–transactions occur- ring with the text through the reader’s lived experience, based on the reader’s engage- ment with the text, which will reflect the reader’s level of direct attention. Our individual experience is the sum of these transactions, and the continuous processing of these transactions is the ever-increasing enlargement of experience. Dialogue, an invitation to think and produce meaning, is frequently referred to as dialogic thinking (Bakhtin 1986; Wells 2007). Dialogic thinking goes well beyond two people talking, essentially including any form of two-way semantic interchange between speakers, building a mosaic of new meaning among various texts (Hartman 1995), as well as between readers and texts (Rosenblatt 1978). When literacy is viewed as culturally and politically embedded cross-cultural communication (Freire 1970), the ELLs’ cultural and political contexts become inseparable from utterances, content, style, and arrangement (Bakhtin 1986). ELLs’ cultural and political contexts may differ from those of the text. L2 reading is also “a set of cultural practices and a product of cultural activity” (Perez 1998, p. 252). ELLs identify with words based on their under- standing of the texts (Koda 2007), relying on their historical, cultural, and social back- grounds to understand the words. Creative and critical thinking (Freire 2000) helps language learners develop aware- ness of others and value and appreciate differences. Such thinking also fosters con- structive analytical skills, sensitivity to others, cultural and critical awareness of the self and others, and an evolving worldview (Freire 1970). L2 reading praxis, reflective and active meaning creation through reading texts (Freire 2000), engages learners in learning language and in reading, analysing events and situations from various perspectives to understand how these perspectives position readers in the world. In this instance, reading is a core force of literacy and active learning; reading becomes a basic medium for evoking one’s power in life (Freire 1970, 2000). Freire (2000) pointed to the re-creator concept of reading through the dialogic relationship between the author and reader: The ELL who reads becomes a rewriter, composing a new story while making meaning within the author’s authority. L2 read- ing entails a critical perception of the world and the transformation of the world through practical action and reflection (Freire 2000). While reading, ELLs act as both reader and writer to create comprehension (Bakhtin 1986; Freire 2000). These theories all clearly demonstrate the degree of dialogue and interrelationship among the reader, the text, and the context. Reading is a dialogic responsive process of meaning construction, with the reader responding to the text by creating a unique transactional moment in a particular time and space, the situated context (Rosenblatt 1978). All reading processes are closely linked to the boundary of dialogue and to the vital essence of dialogue. ELLs construct meaning by creating dialoguing with their past experiences and social interactions with others (Windschitl 2000). Learning to read and write are constituted as acts of knowing, reflected as values, or situated as discourse within a given cultural and social context (Gee 1996; Perez 1998). When Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 5 of 21 considered as a dialogue focusing on the reflective process and meaning production, reading becomes a powerful, essential method of transformation whenever the reader encounters a new concept or constructs meaning from the word. Dialogic reading occurs in situated contexts in suitable domains. Domains as Peripheries of Situated Meaning Dialogue or reading requires a “boundary” with the text to make sense of it in a situ- ated context (Bakhtin 1986; Gee 2008). Language and reading have particular meanings in any particular context (Rosenblatt 1978), a concept very similar to Gee’s (2008) ideas on domains. Gee defined authentic learning in a domain as learning that “leads to growing mastery of the semiotic domain’s design grammar and growing member- ship in its associated affinity group” (p. 139). For Gee (2008), design grammar is a set of principles or patterns that legitimate materials in the domain. The domain situates authentic learning (Lave and Wenger 1991), which is situated meaning (Perez 1998), as learners make sense of semiotic domains within the given contexts. Thus, within a domain, multimodalities (i.e., words, symbols) have meanings and combine together (Gee 2008). Gee also emphasized that learning is a trajectory for developing mastery status in the semiotic domains. By learning semiotic domains, learners can associate certain rules and content with affinity groups–groups of people associated within a semiotic domain. These individuals share a community of practices, a set of common goals, and subscribe to common values and norms (Lave and Wenger 1991). Methods This fifteen-month qualitative research involved four second- and third-grade ELLs in the same classroom at an middle-class, urban public elementary school in the south- western United States. As a participant observer (Merriam 1998), I examined how ELLs constructed meaning. Using qualitative research (Lincoln and Guba 1985) as a general method, I inductively analysed the verbal protocol tasks and the interview data. Verbal protocols captured the moments when thinking processes occurred (Ericsson and Simon 1993; Pressley and Afflerbach 1995). The main question of the protocols was based on a fundamental question–"What’s on your mind?"–while the students were reading stories. Verbal protocols include think aloud (verbalized concurrently), introspection (verbalized with explanations of the readers’ thoughts) and retrospection (verbalized immediately after the task; Ericsson and Simon 1993). Verbal protocols provide a window into ELLs’ thinking process. The modified research method for this study sought a verbal report, but sought it in a method focused on comfort, a safe set- ting, in an open, friendly atmosphere for the young readers to vocalize their thoughts, minimizing any discrepancies between the ELLs’ thinking process, vocalization, and language ability. The study’s verbal protocols consisted of think-aloud and retrospec- tive protocols. Setting and Nature of the Instruction Two language arts/literature classes provided the social context for this study: Ms. Green’s language-arts and literature classroom for 10 months and Ms. Lopez’s class- room for 5 months (all names are pseudonyms). Both were certified ESOL teachers and promoted interaction among students using small-group activities. Ms. Green, Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 6 of 21 monolingual, always with a smile, promoted collaborative learning and scaffolding, encouraging students to work in groups and to help one another with questions. Her classroom was equipped with bilingual texts, dictionaries, and other hands-on materials for ELLs. Ms. Lopez, bilingual (Spanish and English), promoted bilingualism and var- ious approaches and learning, while clearly recognizing that ELLs have many strengths. For example, her classroom had many Spanish vocabulary cards on its walls. Participants Using purposive sampling (Merriam 1998), I selected four second-grade ELLs, Hiroki, Jaewon, Maria, and Evert as participants for this study. The four ELLs had different first languages and cultures and had been learning English for under three years. These four ELLs lived near their school in lower-middle-class neighbourhoods. Hiroki, a seven-year-old Japanese American, identified his main hobby as “doing chess.” Ms. Green told me that Hiroki was an excellent problem solver and excited about creating new ideas. Hiroki spoke Japanese at home and had eighteen months of English experience, giving him an intermediate command of English. He was learning Kanji through a correspondence course at home with his mother. Jaewon, a seven-year-old Korean American, was an exemplary second grader with a positive attitude toward his teacher, his peers, and his class. Though born in the Uni- ted States, Jaewon spoke Korean fluently at home, so English was his L2 with three years of English education. His home environment contained various Korean books, songs, and decorations depicting “little Korea.” When I tried to speak with his mother in English, she was not able to respond to me. Her English proficiency was that of a total beginner. I only spoke with her in Korean, and, throughout her interview, she expressed her concern about her poor English proficiency affecting Jaewon’s academic progress. Maria, an eight-year-old Mexican American, learned Spanish as her first lan- guage. She had lived in the United States for 10 months when my research began. Flu- ent in Spanish, she was a beginner in English. Maria’s mother was a competent bilingual who was born in the U.S. and came to Mexico at her age of 18. She had lived for 16 years in Mexico. Maria’s mother reported that L1 knowledge supported her learning English as an L2, as Maria understood how to use language and language structures (Bigelow and Tarone 2004). She spoke Spanish at home and often used Spanish while reading stories and when she became excited. Evert, a nine-year-old Swede, had come to the United States with his family just one week before I met him. A third grader in his school, Evert joined this second-grade classroom for the language arts and literature as a pull-out because the teachers were ESOL-certified. He was a total beginner in English. With his advanced L1 literacy skills, Evert’s L2 English developed remarkably swiftly. In four months, he was able to read a first-grade book with only minor help. I assessed each ELL’s English proficiency based on the teacher’s evaluations, their standard test scores (school diagnostic report, STAR reading, APS word-recognition placement inventory), various documents (spelling tests, math tests, quarterly tests, reading scores), and my own observations. I also assessed their L1 proficiency based on their parents’ evaluations and my own 15 months of observations. L2 reading profi- ciency was measured by spelling tests and the school diagnostic report. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 7 of 21 Materials The materials included culturally related and culturally unrelated content; I chose the selections for each ELL relative to his or her specific L1 cultural orientation, cognition, level of task, reading level, and English proficiency based on Bishop’s (1993) cultural- relevance guidelines. The stories I defined as culturally related included the ELL’s cul- tural concepts, ethnicity, cultural heritage, L1, events, and experiences. Although each ELL used various texts, this study’s focus was not the ELLs’ reading performance or on comparing the children’s reading abilities. Rather, this study explored the children’s dialogic responsive meaning construction. The culturally related stories included Passage to Freedom for Hiroki, Woodcutter and Tiger Brother for Jaewon, I Hate English (related because the story involves com- ing to the United States) for Evert and Maria, Pettson and Findus for Evert, and Family Pictures for Maria. The culturally unrelated material included two depictions of Chris- topher Columbus (Follow the Dream and Encounter) and Hiroko Makes the Team for Hiroki and Jaewon, and Wilfrid Gordon McDonald Partridge for Evert and Maria. Per- sonal experience, such as arrival in the United States, was classified as culturally related material for the ELLs. Since the ELLs were all from different countries and at various stages of English proficiency, it was not possible to use the same texts; instead, I chose the texts to fit each ELL, based on cultural criteria (Bishop 1993) and consultation with each teacher. Data Collection Multiple case studies and verbal protocols helped ensure the trustworthiness of the study’s findings. I drew upon four sources of data concerning the ELLs’ reading pro- cesses: 1. Observation: As a participant-observer, I visited the participants’ classrooms once or twice a week for three or four hours each visit and collected field notes. 2. Interviews: During the research period, I conducted two interviews with each participant, their parents, and their teachers. Evert’s mother participated as a trans- lator in Evert’s first interview and verbal protocol. After that, Evert was able to par- ticipate in other activities with minimal assistance from his mother. 3. Verbal-protocol reports: Each student conducted three verbal protocols, based on cultural orientation and English proficiency. 4. Documents: I reviewed the ELLs’ classroom documents (reading responses, jour- nals, and test scores). The verbal-protocol sessions were conducted under my guidance. Verbal-protocol sessions included one training session and three protocols held in the classroom and home settings. The prompts provided after each session followed the retrospective-pro- tocol guidelines. The prompts consisted of questions related to meaning construction ("Can you retell the story?”) and dialogue and interaction between the story and the reader ("How do you feel after reading the story?”). In a typical think-aloud session, data gathered were the ELLs’ reported immediate responses while reading (Davis and Bistodeau 1993) and their responses to the given prompts. Verbal reports demon- strated how each of these ELLs perceived their thought processes. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 8 of 21 Data Analysis A systematic and rigorous analysis of the data followed a qualitative case-study data analysis. The twelve verbal reports were tape-recorded, transcribed, and analysed fol- lowing the qualitative research analysis method (Lincoln and Guba 1985). Based on Creswell’s (1998) data-analysis spiral, my analysis involved four stages: data manage- ment, reading and memorizing, describing and classifying, and representing and visua- lizing. In data management, I organized files and units of verbal reports manually, using index cards including protocol title, ELL’s name, etc. Then I started making sense of the data, reflecting and writing notes. I read and reread the data, carefully coding it. After coding the data, I constructed categories while linking codes (e.g., cul- turally related, obtaining information; Corbin and Strauss 2007). While categorizing codes and discovering themes, I also reflected on my research questions in relation to the main focus of study–dialogic responsive reading. Themes and categories emerged inductively from the data. For description and classification, I described the context, classifying and interpreting data using comparison. Finally, I visualized and represented the newly evolved themes (e.g., similar responses to culturally relevant texts: Maria and Evert responses after reading I Hate English). I also compared and contrasted the four participants’ findings for the two beginners (Maria and Evert) and the intermediate and fluent ELLs (Jaewon and Hiroki). I also analysed other qualitative data, including transcribed interview data, observation notes, and reflective journals using the same procedure. To ensure the trustworthiness of the study, I confirmed the answers with participants throughout the study. I also carried out peer debriefing and maintained a reflective journal (Lincoln and Guba 1985). Qualitative research is limited to specific cases and contexts. Participants’ emic voices and thick descriptions from the cases, however, pro- vided a detailed, rich account of the study’s observations and insights (Lincoln & Guba, 1985). Multiple data sets and analyses allowed triangulation to enhance trust- worthiness and will allow the transfer of this study into various contexts of teaching and learning. Results As I focused on ELLs’ meaning construction, several themes emerged from the data: (a) ELLs’ cultural perspective; (b) ELLs’ lived-through experiences; (c) ELLs’ efferent reading; (d) ELLs’ dialogic meaning construction; and (e) ELLs’ critical reading to learn. To understand how ELLs make meaning while reading stories, it is vital to understand when, why, and how they work within or about these various domains. ELLs’ Cultural Perspective Each ELL had a different first language, a different level of English proficiency, a differ- ent cultural background, and different prior knowledge–all reflected in their rich and diverse course-reading processes. The cultural perspective is derived from Lederach’s (1995) definition of culture: “Culture is the shared knowledge and schemes created by a set of people for perceiving, interpreting, expressing, and responding to the social realities around them” (p. 9). Maria’s case most clearly represented how beginner ELLs link their new learning to cultural knowledge and prior cultural experiences. Her cul- tural knowledge motivated her to read Family Pictures (Protocol 11). She identified Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 9 of 21 closely with her culture and cultural experiences while reading Family Pictures, exem- plifying how beginner ELLs refer to themselves while making meaning. While reading the “Birthday” chapter in Family Pictures, Maria spontaneously spoke and sang in Spanish: They put you a little thing and they turn you around three times and they sing a little song that’s kind of, ‘Dale, dale, dale, pégale asina, porque si no le das pierdes el camino.’ It’s like ‘hit it, hit it.’ It’s kind of hard to translate it. (Protocol 11) Maria’s cultural experiences motivated her to engage in this culturally related literacy event. Singing a song about the piñata, Maria evinced a high degree of transaction with these stories, and the transactional moment enriched her emotional connection to her father (in Mexico), saying “I missed him” with tears in her eyes. Her prior experi- ences gave her an emotional connection to the piece, helping her build context with her reading. All ELLs were very responsive in their reading when the contents are cul- turally related to them. ELLs’ Lived-Through Experiences As beginning learners, Maria and Evert’s cases revealed their lived-through experiences while reading I Hate English. Lived-through experience, derived from Rosenblatt’s “aes- thetic” reading, is related to how ELLs experienced their reading as a way of obtaining their pleasure. Thus, ELLs found “transactional” moment, which seems themselves in the story while reading (Rosenblatt, 1978). This aesthetic stance of reading enabled the ELLs to speak with strong voices. For example, Maria identified deeply with Mei Mei in I Hate English: Because it’s from another place. Hong Kong is another place from New York, so she wants to speak Chinese, and they want her to speak English, so she [Mei Mei] came here and [she] doesn’t want to speak English, only wants to speak Chinese. (Protocol 10) Maria used her personal opinions, culture, and experiences to identify the story’s main ideas and to determine what was important in the text. She identified with Mei Mei’s resistance to learning English and compared it to her own situation. Placing her- self in Mei Mei’s situation, Maria agreed with Mei Mei: “No. Mei Mei doesn’t speak English because she wants to speak Chinese. But everybody is bugging her because they want her to speak English. And she wishes she was in Hong Kong” (Protocol 10). Maria understood why Mei Mei did not want to speak English: “Because it’s not her main language.” Evert also dialogically connected to himself, using his L1 literacy skills, asking ques- tions and monitoring his comprehension while reading I Hate English and Pettson and Findus. His most used skills were his connection to self and rhetorical strategies, which transferred well from his L1 (Bigelow and Tarone 2004). Like Maria, Evert also identified with Mei Mei’s struggles, and frustration. He stated, “Yeah, I know how she feels. I felt the same thing as her when I came to a new country” (Protocol 6). Dialo- guing with Mei Mei, Evert became part of the story with her, connecting his cultural Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 10 of 21 experiences to hers. Evert understood Mei Mei’s situation through his own situation, by reflecting on his lived experience (Rosenblatt 1978). He also recommended building the community and demonstrated his aesthetic stance by proposing that a friend read the story: “I want to ask a friend to read this book. So they can understand how I feel” (Protocol 6). Evert connected deeply with Mei Mei’s personality and experience as an English beginner in the United States, demonstrating total transaction with Mei Mei through her language struggles and reflecting on his own experience. Having time to under- stand the context with the other (Mei Mei in this instance) was very important for Evert. He felt safer, not so alone, having shared Mei Mei’s experiences through the reading process. Reflecting his engagement, he evaluated the story with “She [the author] has done a good book” (Evert’s interview). Evert clearly believed that sharing this story with his friends would show them his situation in his new country. ELLs’ Efferent Reading The four ELLs developed their vocabularies, syntax, and concepts through reading. For all ELLs, the reading process provides new information and knowledge. For example, Hiroki attained the new word visa in the context of Passage to the Freedom. He under- stood the word as “And he has to, like, sign everybody’s–I don’t know how to read that word [visa]” (Protocol 1). Hiroki did not know how to read the word, but understood a meaning in context: “I kind of figured out. It was, like, this piece of paper that he [ambassador] would sign. Like, the part, like, he signs those pieces of papers that help those other people from, like, getting killed and stuff” (Protocol 1). Hiroki discovered the meaning of the word “visa” from the context of the story. Maria tried to grasp the main ideas, as well as the main words of the stories by using simple words such as the race, Chinese and Hong Kong, and fair and piñata to point out the main ideas and significance of the story. Evert identified a memory as “Some- thing very sad or something happy,” adding his own perspective after reading Wilfrid Gordon McDonald Partridge (Protocol 12). Defining complicated or key words (e.g., memory) appeared to be an important step in obtaining new information. Evert said he knew the word “memory” in Swedish, so he comprehended the word in English without any effort. Similarly, the learners derived lessons from the stories. For example, after reading Hiroko Makes the Team, Jaewon observed, “The important part is, be nice to each other–Never make fun of other people when they couldn’t. You just need a lot of prac- tice [to win swimming race.] That’s all” (Protocol 3). As they reflected on the stories, new ideas emerged. Hiroki identified the main ideas, figured out the significance of the story, and related the text to his own beliefs. Hiroki’s schema from the content and format of the text was clear. Hiroki also obtained new information by identifying main ideas such as “Friendship” in Encounter (Protocol 5), “I think when the dad [ambassa- dor] starts to help people” in Passage to Freedom (Protocol 1), and “So you can read maps to go somewhere” in Follow the Dream (Protocol 8). ELLs’ Dialogic Meaning Construction ELLs constructed meaning as they read. Jaewon’s case is a good example of this dialo- gic reading process. I observed his strong links to personal preferences, experiences, Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 11 of 21 intertextuality, and cultural orientation (Hartman 1995). Jaewon’s intertextuality devel- oped a mosaic of the text, using his cultural background knowledge, textual knowledge, and world knowledge. His inferential skills also supported using his cognition and knowledge processing while reading, invoking his dialogic thinking experiences. Jaewon often summarized and synthesized the story to evoke dialogic responses and to centre himself in the reading event. For example, Jaewon used O for positive and × for negative to evaluate the story: “This [Encounter] might be also O or X, and this one [Follow the Dream] would be O ‘cause this has landing information, and this just has traveling information, and it’s just different.” He continued, “Like moving, so if you combine these two books [Encounter and Follow the Dream] together, like this [show- ing me the two books overlapped], they would know that it’s Christopher” (Protocol 9). As a synthesizer, Jaewon addressed Columbus’s identity by combining both perspec- tives (Encounter was based on the Native American perspective while Follow the Dream was based on a European perspective). These verbal reports exhibited Jaewon’s dialogic response to the two conflicting characterizations of Christopher Columbus. Jaewon continually created critical points of view based on his theory building, socio- cultural values, and prior knowledge. He dialogued with texts and became a rewriter when reading stories, creating new viewpoints on the story following the author’s spirit. For example, Jaewon represented the two authors’ intentions and purposes after reading the two versions of the Christopher Columbus story by stating, “These are dif- ferent! Are they same? No!” (Protocol 4). ELLs’ Critical Reading to Learn To construct meaning from reading through a critical lens, Hiroki and Jaewon were constantly questioning and evaluating the stories. Hiroki frequently identified impor- tant ideas, determining significance and evaluating the content of the stories. Having determined the important ideas, Hiroki admired Columbus’s adventurous personality while reading the European perspective on Columbus in Follow the Dream: I thought that he was pretty brave to go see–to go around the world. To the other side of–This book [Follow the Dream] is more informative and this more data or– this [Encounter] is part of a different story about this event. (Protocol 8) As examples of Hiroki’s explorations, these two different perspectives on the same story are particularly valuable. After reading Follow the Dream (Protocol 8) and seeing Columbus as the “hero” who discovered America, Hiroki said, “I learned that [Colum- bus] discovered the–he, like, helped the world, because they all thought that the world was flat and they thought–they didn’t know America.” While reading Encounter (Pro- tocol 5), written from the Native American perspective, however, Hiroki considered the concept of invader. Hiroki’s response shifted to the opposite stance while reading the Native American perspective in Encounter. “Different. [Encounter] doesn’t say any- thing about–Christopher Columbus [depicted as an “explorer” in this story] It doesn’t say the word anywhere. I think [Christopher Columbus] shouldn’t. Not the land, just the [Native] American people” (Protocol 5), expressing his objection to Christopher Columbus’s landing in the Western Hemisphere as an invader. Hiroki stated, “They shouldn’t come to America without [Native American’s] permission” (Protocol 5). Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 12 of 21 Through on-going dialogue, Hiroki discovered the main ideas of the stories and further developed critical thinking skills. He dialogued with himself to understand the two dif- ferent perspectives and developed his own understanding of Columbus. Evaluating the historical event, Hiroki comprehended the story Follow the Dream (Protocol 8) from an efferent domain, and he developed empathy as he read Encounter (Protocol 5). Hir- oki proposed that his friends read both books to know Christopher Columbus thoroughly. Discussion All the findings revealed ELLs’ responsive reading processes and meaning construction. ELLs’ responses to the text were highlighted as particular or multiple domains. It’s vital to understand how domains are relevant to the research context and to the results. Based on the findings from the study, three discussions follow: (a) L2 respon- sive reading domains; (b) L2 meaning construction through emergent domains; and (c) pedagogical implications. L2 Responsive Reading Domains These ELLs identified with the stories closest to their cultural schema, experiences, and social values. They tended to evaluate stories as deeply interwoven into their cultural heri- tage, first language, values, and beliefs. The beginner ELLs, Maria and Evert, favoured cultu- rally related texts, while the intermediate and fluent ELLs, Jaewon and Hiroki, connected to culturally unrelated texts through responsive reading processes (Kim 2009a, b). Maria and Evert seemed to feel safe and empowered while reading stories related to their cultural backgrounds and personal experiences. For example, Maria, a mostly quiet student, sang a song with enthusiasm. Evert appeared to be empowered after having read I Hate English, recommending that his classmates also read the text. “They [classmates] will understand me better.” Domains provide ELLs with precursors to support their learning and to engage in the learning process. L2 dialogic reading responses were connected to the readers themselves and to the texts. Maria and Evert made strong connections with their cul- tural knowledge and experiences, making sense of the text by taking a cultural domain that elicited empathy with the text. They invited friends to read cultural-experience stories (I Hate English), whereas Hiroki and Jaewon promoted Encounter and Follow the Dream. Jaewon and Hiroki, more advanced ELLs, were more connected to both culturally and not culturally related stories. Critical reading also stimulated their thinking skills as a bridge to critical and dialo- gic thinking (Bakhtin 1986; Wells 2007). Jaewon and Hiroki not only understood how they thought and used strategies while reading, but also how they demonstrated their dialogical thinking skills (Bakhtin 1986) with the not culturally related texts. Hiroki and Jaewon’s complex set of cognitive structures clarified information about events and the contents of the story, drawing upon their cultural knowledge and prior experi- ences (Anderson 1994). Jaewon and Hiroki comprehended the story’s content, compar- ing and contrasting their pre-existing knowledge to acquire new information. Further, English proficiency seemed an important means for connecting with not culturally relevant texts: as the readers tried to connect to what they were reading, they found themselves having to become more proficient with English. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 13 of 21 L2 Responsive Reading Through Emergent Domains Results showed ELLs to be active knowledge builders and critical thinkers. In terms of reading as a form of dialogue, culturally related texts empower ELLs, allowing them to establish strong connections to social values evident in the texts, whereas not culturally related texts offer dynamic discourse and creation through the reading process. Dialogic talk is the key to embedding and expanding these experiences (Rosenblatt 1978). Thus, learning always requires domains in situated contexts. While ELLs make meaning from text within the domains or about domains, the reader actively responds to the text, and these processes motivate ELLs’ meaning construction while reading; this transactional process impacts the readers. The domain provides the zone for learners willing to participate and who have the motivation to engage in extended practice within the domain and who are willing to experience “a way that they take on and grow into a new socially-situated identity, an identity that they can see as a fruitful extension of their core sense of self” (Gee 2008, p 147). Within the domains or about the domains, ELLs retain a “core sense of self,” which means that ELLs transform their sense of their own unique individual traits and history. Their identity reflects their ways of acting, interacting, symbols, and so forth. This event becomes a certain means of understanding, constructing meaning, and dia- loguing with the text (Kim 2011). Based on the results, five domains emerged. ELLs situate themselves in five domains–(a) cultural, (b) lived-through (interchangeably aesthetic), (c) efferent, (d) dia- logic, and (e) critical–to construct meaning and to enhance their experience while engaging in reading activities. Apparently the five major semiotic domains for the responsive reading process discussed here are related to such prior theories as Carrell’s (1988) schema theory, Rosenblatt’s (1978, 1993) reader-response theory, and, especially, Bakhtin’s (1986) dialogue and Freire’s (1970) critical consciousness, because all the domains are grounded in the dialogic principle. The study’s results showed how ELLs master certain reading texts, associate with cultural norms and values by affinity group, and successfully construct meaning within multiple domains. The five domains emerging through the study are: the cultural domain, which ELLs connect to their cultural background knowledge and traditions; the efferent domain, through which ELLs obtain information; the aesthetic domain, in which ELLs transact with the story through emotional associations; the dialogic domain, in which ELLs query and dialogue with the story as readers such as through questions to earlier and later selves and to the author (Bakhtin 1986); and the critical domain, where ELLs think critically and become rewriters of the story as readers (Table 1). These domains can be useful for enhancing educators’ awareness of L2 responsive reading processes. All domains offer ELLs rich dialogic opportunities. These five dialogic domains emerging from the data emphasize the role of the ELL in reading processes. Rosenblatt defines stance as a continuum-private, public, or mixed (Rosenblatt 1986). A stance determines “whether selective attention will focus predo- minantly on the public, lexical aspects of meaning, or whether the focus will broaden to permit attention to the matrix of personal overtones, kinaesthetic states, intellectual or emotional associations” (Rosenblatt 1986, p. 124). Specifically, each domain allows the reader’s selective attention to identify and transact with the text in private, public, or mixed stances. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 14 of 21 These dialogic responsive domains embrace the stances, which are sometimes com- bined. As previously stated, domains provide a zone for the ELL’s active participation and engagement, ultimately creating situated meanings and gaining a membership in affinity groups. Authentic learning occurs while ELLs simulate the perspectives in order to attain situated meanings of semiotic domains within the context of their reading. Alternatively, the domains may stand alone while reading and focus the reader’s attention. This selective attention and situated meaning determine the results of read- ing comprehension and further develop agency of reading and learning. Gee (2008) pointed out that “each of them is associated with a group of people who have differen- tially mastered the domain, but who share norms, values, and knowledge about what constitutes degrees of mastery in the domain” (p. 138). The reader may work in all five domains simultaneously, or in a particular domain at a particular time, with a particu- lar text, or within certain contexts. Through reading, the reader chooses “a selective attention” which means readers are constantly choosing this particular attention in order to master a set of practices, com- mon goals, endeavours, values, and norms by moment-to-moment transaction with the text (Rosenblatt 1978). Examples from this study are Hiroki’s and Jaewon’s responses while reading the two depictions of Christopher Columbus. To evaluate and synthesize the two stories, both boys primarily used the critical and dialogic domains, or a mix- ture of the two. The four ELLs embedded comprehension, sensations, images, feelings, and emotional and intellectual associations. All readers reflect, interpret, find main ideas and details of stories if necessary, evaluating, questioning, and criticizing by choosing and mixing among various domains. ELLs were interacting with the cultural, efferent, aesthetic, cri- tical, and dialogic domains. Cultural domain A cultural domain offers the reader self-recognition as well as a connection to cultural knowledge, experiences, and beliefs while reading stories. All ELLs embrace the values, experiences, and perspectives of their own cultures and cultural experiences even as they expand into others. The cultural domain facilitates comprehension and transac- tion with the text. Maria and Evert, for example, worked extensively in this domain. After reading the Birthday chapter in Family Pictures, Maria burst into song while Table 1 Emerging Dialogic Reading Domains: Cultural, Efferent, Aesthetic, Critical, and Dialogic Domain Stance Example Cultural Private aspect of meaning Maria’s evocation while reading Family pictures. She sings the song about the piñata. Efferent Public aspect of meaning Hiroki’s and Jaewon are gaining information about Christopher Columbus’s adventure story and Evert’s new vocabulary. Aesthetic Private aspect of meaning Evert’s and Maria’s reading processes while reading I Hate English. Dialogic Private and public aspect of meaning Hiroki’s and Jaewon’s responses while reading Follow the Dream and Encounter: The two different depictions of Christopher Columbus drive from the authors’ different intention. Critical Private and public aspect of meaning Jaewon’s and Hiroki’s exploration of the two versions of Christopher Columbus (Encounter and Follow the Dream). Hiroki said Christopher Columbus should not invade the Native Americans. Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 15 of 21 explaining the piñata, fondly recalling her father who was absent. Maria’s spontaneous singing demonstrated her engagement with the story and her ownership of learning (Cummins 1992). Maria and Evert used their cultural domain while reading I Hate English and further developed the agency of reading. They recommended that their classmates read this text to build their learning community. All ELLs used cultural domain frequently and spontaneously. Beginner ELLs such as Maria and Evert engaged in the reading event and related to the culturally related text effortlessly and with enthusiasm. Efferent domain The efferent domain facilitates obtaining new knowledge and is primarily involved with analysing, abstracting, and accumulating what will be retained after the reading. This domain seemed to relate to L1 reading ability closely to L2 reading (Koda 2007; Yama- shita 2002). For example, Evert, a total beginner, was able to identify the main idea and key words (e.g., memory) of Wilfrid Gordon McDonald using his L1 literacy skill. He already knew the word for “memory” in Swedish. This information helped him to comprehend the story easily. Despite of his low L2 proficiency, he readily identified the genre and plot of the story. All four ELLs sought information within this domain, implicitly acknowledging the power of knowledge, from simple vocabulary to complex information. Aesthetic domain In the aesthetic domain, the reader’s attention is focused primarily on experiencing what is being evoked, the lived-through experience, with private aspects of meaning attended to during the reading (Rosenblatt 1978). This domain is closely associated with emotion, sensation, and feelings. For example, Maria and Evert transposed Mei Mei’s feelings with their own while reading I Hate English. They temporarily became Mei Mei. Dialogic domain Bakhtin (1986) insisted that meaning comes into existence only when two or more voices interact: When the voice of a listener (reader) responds to the voice of a speaker (author). Reading is an on-going process; readers not only comprehend, question, and evaluate the text, but also create new meaning from the text and create and share their new knowledge with others. During L2 literacy acquisition, readers dialogue in various ways: between their social values and prior experiences, between L1 skills and L2 profi- ciency, by themselves, between texts (intertextuality), and in the social world (Koda 2007; McElvain 2010). Dialogic also involves dialogue between an L1 and an L2 self, a process that helps ELLs to recognize themselves, to co-construct meaning while read- ing, and to become social beings in their new culture (Bakhtin 1986). Bakhtin’s (1986) dialogic discourse was embedded in the study as I analysed the data and reconstructed the participants’ voices. Jaewon and Hiroki dialogued by them- selves–between an earlier and a later self (Bakhtin 1986)–and with the text in their active understanding of two different perspectives of the same historical event. Jaewon and Hiroki used dialogic thinking skills as bridges to culturally unrelated texts. Within this domain, they played active roles in meaning-making processes. Dialogic domains appeared to provide praxis of action and reflection (Freire 1970). Critical domain Literacy enables one to read the world and build critical consciousness; to perceive social, political, and economic oppression; and to take action against the oppressive Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 16 of 21 elements of society (Freire 1970). Hiroki and Jaewon co-constructed meaning while reading without violating the spirit of the work. This domain is the creation of mean- ing with the reader co-constructing public and private aspects of meaning from the text. ELLs, as historical, social, cultural, and political beings, create their critical con- sciousness to read and understand the text in its context (Freire 1970). While reading Follow the Dream, Hiroki considered two concrete facts: Christopher Columbus discovered America from the European perspective, but from the Native American perspective, Columbus was an invader who came to America without per- mission. Hiroki’s dialogue indicated that he associated with Follow the Dream, empha- sizing Columbus’s discovery, but he also acknowledged the concept of invader, realizing that Christopher Columbus was not an expected or “invited” guest, reflecting Encounter. Conclusion and Pedagogical Implications ELLs make meaning while reading stories within the domains or about the particular domains, depending on the texts at hand. While ELLs make meaning of the situated contexts (Gee 2008), these domains embrace these four ELLs’ ethnic and cultural heri- tages, L1 literacy, and real-life experiences, acknowledging them as active knowledge- generators who co-construct meaning from the text (Bakhtin 1986; Freire 1970). Employing certain domains also increases the critical thinking skills and degree of dia- logue among ELLs, with the texts and within social contexts, appropriately implement- ing proper domains under each circumstance (Bakhtin 1986; Freire 1970; Perez 1998; Wells 2007). ELLs are situated in a learning community (Lave and Wenger 1991), play- ing the “role” of a “certain kind of person”, shifting their “socially situated identity” through the construction of meaning (Gee 2008; Kim 2009b). In line with Koda’s (2007) explanation of ELLs’ uniqueness, the ELLs in my study apparently used two languages and cultures to construct meaning while reading. It is vital to apply these factors in our daily teaching. The uniqueness of ELLs’ comprehen- sion of texts appeared in the four examples. First of all, ELLs use both of their lan- guages and their reading processes developed from intertwined knowledge and experiences from the two languages and cultures. As August and Shanahan (2006) indicated that ELLs, “take advantage of cognate relationships between their first lan- guage and English to understand English words, an important precursor to compre- hension” (p. 5). Maria’s case clearly demonstrated how she used her knowledge of the Spanish piñata to explain to me in English. Evert also used his Swedish skill to under- stand memory. Secondly, ELLs also extend their meaning construction further to develop their critical thinking as interweaving and testing these two languages (e.g., Jaewon’s and Hiroki’s cases). Third, ELLs developed their ownership of learning as connecting to their L1 culture and personal experience of arriving in the new country (e.g., Maria’s and Evert’s cases). Fourth, their oral proficiency (e.g., Maria’s case) seems also crucial to developing their L2 practice. It is very important to understand these processes; teachers need to encourage ELLs to use their first and second languages as well as both cultures as part of their L2 practice. Teaching ELLs to practice and use these domains will maximize the benefit the reader derives from the reading process. Rosenblatt (1993) stated, “for a historical work or a political speech that uses many so-called literary devices, it will be especially Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 17 of 21 important to decide what major stance to adopt” (p. 383). There is not a single “cor- rect interpretation,” but the open-minded admission of several points of view. The 2002 conclusion from the International Reading Association clearly stated that “when readers are given cognitive-strategies instruction, they make significant gains on mea- sure of reading comprehension over students trained with conventional instruction” (p. 13). The panel also emphasized that teaching a variety of reading-comprehension stra- tegies in contexts and content areas leads to increased learning of these strategies. It is vitally important for teachers to understand these domains to teach various reading strategies. Teachers need to understand how ELLs connect to the text and comprehend it using various strategies within the domains (Park and Kim 2011). Providing and practicing these domains is crucial. By being familiar with these domains, ELLs will be ready to comprehend the texts. As the panel recommended, more intensive instruction and modelling, employing effective instruction, and transactional practices derived from research are more suc- cessful in improving reading and connecting ELLs to the texts and lead them to be academically successful (August and Shanahan 2006; Kim 2009b). Within the domains or about the domains, students develop ownership of learning and develop their dynamic identities (Kim 2009a). These dialogic responsive reading domains will be helpful in obtaining content knowledge in all the subjects and skills routinely taught in schools and in enabling students to create their own ownership of learning and willing- ness to learn (Au 1993), reflecting the power of literacy (Freire 1970). Using think aloud protocol, we practice these domains with ELLs. I provided simple samples of questions while stimulating the ELL’s reading processes. As the summary of International Reading Association (2002) concluded, teachers are encouraged to explain specific strategies to enhance each domain and model them for students. These strategies improve students’ reading comprehension. Teachers were encouraged to model their own thinking processes and to stimulate students to ask questions and discuss possible answers among themselves. These responsive domains keep students engaged in their tasks and demand active involvements, as well as ongoing thinking. Practicing these responsive reading domains is fundamental for adopting them. According to Gee (2008), ELLs learn better when they use and develop precursors (interchangeably necessary skills, knowledge, and/or social languages), which facilitate becoming a member of the affinity group. For example, ELLs drew upon their own cul- tural knowledge to make sense of a cultural domain. Using culturally meaningful or familiar reading materials that provide strong precursors also appeared to facilitate reading comprehension (August and Shanahan 2006). Consequently, ELLs apprehend and master this domain without difficulty, since they have a well-developed precursor. To master critical and dialogic domains, ELLs need to practice several precursors such as cultural domain, critical thinking, and so forth. This networking is crucial for schooling and language learning. Practicing these domains using think-aloud teaching protocols (Weaver 2002) must be embedded in daily teaching, fostering cultural conti- nuity and critical consciousness (Freire 2000). Situating meanings requires personalized experience of a domain and the ability to situate meaning in the terms of that experi- ence (Gee 2008). Praxis is crucial to mastering content and concepts, and becoming members in or about the domains. Domain praxis is based on genuine dialogue with learners, accepting and valuing their own voices, sharing their cultural and historical Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 18 of 21 knowledge and experiences, and inquiring into their reading of the word and the world, recognizing that the readers are rewriters (Bakhtin 1986). Rewriting the text as a ELL entails a critical perception of the word and the transformation of the world through practical action and reflection (Freire 1970; 2000). Cultural, aesthetic, and efferent domains empower ELLs and will expand their own learning, as they become competent and confident learners. Critical and dialogic domains transform knowledge so that ELLs can read any text (culturally or not cultu- rally related) by forging a connection with it. By scaffolding their knowledge with cap- able peer support, ELLs can grow into cooperative partners (Vygotsky 1978). Educators are cultural workers promoting dialogic thinking to create bridges to critical thinking (Freire 1970; 2000). Educators should encourage ELLs to share their cultural strengths with others in the mainstream classroom. With this guidance, ELLs will be empowered to read words and competently to read the world. Endnotes This is a part of the larger study. This study used only eight protocols: Protocol 1 (Jae- won reading Woodcutter and Tiger Brother), Protocol 4 (Jaewon reading Encounter), Protocol 5 (Hiroki reading Encounter), Protocol 8 (Hiroko reading Follow the Dream), Protocol 9 (Jaewon reading Follow the Dream), Protocol 10 (Maria reading I Hate Eng- lish), Protocol 11 (Maria reading Family Pictures), and Protocol 12 (Evert reading Wil- frid Gordon McDonald Partridge). Abbreviations ELL: English Language Learner; L1: First Language; L2: Second Language Acknowledgements I am thankful to Dr. Suresh Canagarajah at Pennsylvania State University for his thorough review of my first draft. I am also deeply grateful to Dr. Jane Applegate at the University of South Florida for her steadfast support throughout the writing process. All errors and omission are my own. Author's information Deoksoon Kim is an Assistant Professor of Foreign Language Education and Second Language Acquisition and Instructional Technology at the University of South Florida and an iTeach Fellow at USF. Her research involves second language and bilingual processes from a sociocultural-constructivist perspective, L2 reading and literacy, integrating instructional technology in teacher education, and ethnic minority students. She has published in Computers and Education, English Leadership Quarterly, TESOL Journal, Journal of Reading Education, TESOL publications, a Research Anthology chapter sponsored by AERA, and elsewhere. She delivered keynote speeches at the International Qualitative Research Conference in 2007 and 2010. Competing interests The author declares that they have no competing interests. Received: 7 June 2011 Accepted: 16 December 2011 Published: 16 December 2011 References Alexander, PA, and E Fox. 2004. 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Submit your manuscript to a journal and benefi t from: 7 Convenient online submission 7 Rigorous peer review 7 Immediate publication on acceptance 7 Open access: articles freely available online 7 High visibility within the fi eld 7 Retaining the copyright to your article Submit your next manuscript at 7 springeropen.com Kim Multilingual Education 2011, 1:2 http://www.multilingual-education.com/1/1/2 Page 21 of 21 http://www.springeropen.com/ http://www.springeropen.com/ Abstract Background L2 Reading Research Dialogic Responsive Reading Domains as Peripheries of Situated Meaning Methods Setting and Nature of the Instruction Participants Materials Data Collection Data Analysis Results ELLs’ Cultural Perspective ELLs’ Lived-Through Experiences ELLs’ Efferent Reading ELLs’ Dialogic Meaning Construction ELLs’ Critical Reading to Learn Discussion L2 Responsive Reading Domains L2 Responsive Reading Through Emergent Domains Cultural domain Efferent domain Aesthetic domain Dialogic domain Critical domain Conclusion and Pedagogical Implications Endnotes Acknowledgements Authors' information Competing interests References 
work_o5cegnwyzzdutjtxrbklx33ggi	----	Images of Barbaric Spain in Eighteenth-Century British Travel Writing By: Ana Hontanilla Ana Hontanilla. "Images of Barbaric Spain in Eighteenth-Century British Travel Writing." Studies in Eighteenth-Century Culture 37.1 (2008): 119-143. Made available courtesy of Johns Hopkins University Press: http://dx.doi.org/10.1353/sec.0.0029 ***© American Society for Eighteenth-Century Studies. Reprinted with permission. No further reproduction is authorized without written permission from American Society for Eighteenth-Century Studies & Johns Hopkins University Press. This version of the document is not the version of record. Figures and/or pictures may be missing from this format of the document. *** Abstract: Europe has traditionally been studied as a political, economic and cultural unity that historically developed in connection with the ideas of Christianity, civilization, and empire. After the New World was "discovered," Europe's imperial and civilizing mission was no longer contained within its western boundaries but also occurred within an expanded sense of geography. This is to say that the status of civilized and civilizing Europe was not defined solely from within its geographical limits but also in contrast to its colonial world. Much of the work of describing the discovery, interpreting the exploration, and articulating the connection of the newly-found territories to the motherland in Europe was done through the writings of explorers, ambassadors, soldiers, adventurers, and missionaries. The recovery and analysis of these various kinds of travelers' narratives about foreign and exotic places where they went and lived have brought a new perspective to our understanding of the historical development of the imperialized world. Spain | Travel Writing | Imperialism | Europe Keywords: Article: Europe has traditionally been studied as a political, economic and cultural unity that historically developed in connection with the ideas of Christianity, civilization, and empire. After the New World was "discovered," Europe's imperial and civilizing mission was no longer contained within its western boundaries but also occurred within an expanded sense of geography. This is to say that the status of civilized and civilizing Europe was not defined solely from within its geographical limits but also in contrast to its colonial world. Much of the work of describing the discovery, interpreting the exploration, and articulating the connection of the newly-found territories to the motherland in Europe was done through the writings of explorers, ambassadors, soldiers, adventurers, and missionaries. The recovery and analysis of these various kinds of http://libres.uncg.edu/ir/uncg/clist.aspx?id=588 http://dx.doi.org/10.1353/sec.0.0029 travelers' narratives about foreign and exotic places where they went and lived have brought a new perspective to our understanding of the historical development of the imperialized world.1 Throughout the fifteenth and sixteenth centuries, Spanish explorers and conquistadors in America predominantly produced the colonial discourse. During the eighteenth and nineteenth centuries, the imperial discourse was for the most part a British and French production, not only in America but in Africa, Asia, and even Europe as well. In the process of examining the rise of British and French imperialism during the eighteenth century, it is crucial to acknowledge these nations' reaction to the 'Other' beyond their shores. But it is also of prime importance to investigate how they constructed the European 'other.' As Katherine Turner has argued, postcolonial studies that assume an undifferentiated European imperial center during the eighteenth and nineteenth centuries presuppose homogeneity among European nations, which in practice did not exist.2 Enlightened notions of civilization and culture served to delineate the division between civil society and barbarism, between Europe and the rest of the world. However, the Enlightenment served to demarcate new ideological borders that not only operated in the overseas colonial world but also within the boundaries of Europe itself. Therefore, the initially uniform picture of imperial Europe or the assumption that modern Europeans defined themselves as a single people breaks down in the context of describing the literature of inter- European tourism, most visibly, perhaps, in British travel writing concerning Spain. In the following essay, I limit my exploration of British travel writing to accounts regarding Spain during the eighteenth century. I study how these narratives produced and disseminated a perception of Spain as an uncivilized and barbaric country, ruling it out as a member of "Enlightened Europe." Spaniards' religious practices were generally tied in with ancient paganism and therefore the population was commonly perceived by foreign visitors as pagan and primitive. In addition, the Spanish Inquisition provided the travelers with a dangerous, threatening ethos that promptly resolved any doubts of whether or not Spain was an enlightened civilized country. The seemingly outdated commercial and political institutions of Spain also contributed, in the minds of British explorers, to the formation of a nearly enslaved population in need of liberation from the tyranny of governmental tax control and its subsequent state of poverty. The local inhabitants too closely resembled the Indian or African savages and exhibited a state of personal and cultural corruption, as well as an economic dependence only potentially alleviated by adopting British institutions. A postcolonial analysis of British inter-European travel accounts shows how differential forms of religious, political, scientific, economic, and social progress in eighteenth-century Spain highlighted discrepancies in the stage of the same civilizing path that all European societies should attain.3 As the idea of civilization emphasized the movement towards political, economic, and scientific progress, demanding an accumulation of spiritual, technical, economic, and political values in the evolution of a nation, not all countries, and particularly not the Iberian countries, matched up with eighteenth-century British standards of commercial and political reforms. Therefore, the location of Spain as a civilized country became extremely problematic. By referring to Spain's dramatic change of status from imperial power to a culturally-regressive and economically-dependent land, I do not intend to insinuate that these eighteenth-century British travel narratives contemplate Spain in the same way as travel literature later constructs India, Africa, or South America. A key distinction upon which I base my study of the representation of eighteenth-century Spain is the difference between the notions of imperialism and colonialism. Colonialism refers to a specific dynamic of strictly political systems of rule by one group over another when the dominant one claims the right to exercise exclusive sovereignty over the second and to shape its destiny. Imperialism, by contrast, is a much broader term that may emphasize various aspects of international relationships. Imperialism could refer to the power or purposefulness of colonial rulers. It may also refer to less obvious and direct kinds of control or domination by one people or country over others. Pertinent to this study is the less formal sort of domination through cultural or economic imperialism, which has always been closely related with economic underdevelopment and is currently associated with the notion of globalization. David Spurr has suggested that the imperial-colonial discourse is neither a restricted collection of texts nor a monolithic operative system. Instead, the imperial discourse is a series of discursive strategies, each tailored to precise historical conditions, yet having in common certain elements. Spurr draws his examples of analysis primarily from British, French, and American fiction and non-fiction writings regarding India, Africa, and Latin America. A few of the rhetorical devices he studies in Western imperial discourse are the persistent surveillance from a hierarchically superior eye; the right of appropriation and exploitation of native wealth; demonstrations of moral superiority, which involves a continual debasement of local customs; and the perception of the 'Other' as the site for cruelty, torture, and death.4 Treading on the unstable ground of the discourse of imperialism, my discussion identifies the gestures and signs of this discourse in eighteenth-century British travel accounts. My study aims to explore how British travel writings produced the image of a decadent and backward Spanish Empire for British readers at a particular moment of Britain's expansionist trajectory. I study how signifying practices of the travel narrative encoded and legitimated aspirations of economic and commercial expansion while elaborating England's differentiated conceptions of its own imperial mission in relation to the falling empire that Spain was imagined to represent. In the pages that follow, a close reading of British travel narratives reveals how Spain, while being excluded from modern notions of civilization and Enlightenment, was also perceived as a market for British commercial and economic advantage, fostering an image of dependency closely linked with economic and political decline. I show how Spain was transformed, from a harmful imperial model into a real or imaginary site for cultural degradation and economic exploitation. From 1660 to 1780, the history of traveling in Europe was marked by the emergence of a new model for traveling, that of the Grand Tour. The purpose of the Grand Tour was to complete the education of young men of the ruling classes by exposing them to the treasured artifacts and ennobling society of the Continent. It typically occurred after formal studies at Oxford or Cambridge University and lasted from one to five years. The Tour was a social ritual intended to prepare these young men to assume the leadership positions already assigned to them at home. The first outcome intended was an understanding of the classical tradition. As England's overseas empire expanded, well-to-do Englishmen observed parallels between their nation and the Roman Empire. In 1776, Samuel Johnson indicated that "A man who has not been in Italy, is always conscious of an inferiority. . . . The grand object of travelling is to see the shores of the Mediterranean. On those shores were the four great Empires of the world; the Assyrian, the Persian, the Grecian, and the Roman—All our religion, almost all our law, almost all our arts, almost all that sets us above savages, has come to us from the shores of the Mediterranean."5 England, therefore, looked back to the different Mediterranean empires as a measure of its own. Italy clearly represented a way to learn the roots of civic republicanism and was the locus to find corresponding similarities between imperial Rome and the new British expansionism. Spain, by contrast, was the still living, if failing, rival empire that embodied principles England had once conflictingly emulated and since the Reformation continuously sought to displace.6 Another objective of the Grand Tour was for travelers to mingle with the social and political elite of the different countries visited. The unified form of identification for those in equal positions across courts created a link between the higher classes in Britain with their counterparts on the Continent, imposing upon the Grand Tourist a sense that he ought to share the common responsibility for the welfare of Europe as a whole.7 However, as Jeremy Black correctly notes, Spain was not often visited on the Grand Tour. According to Black, the reasons were Spain's inaccessibility and the inconveniences and discomfort that were part of travel in the country at the beginning of the eighteenth century.8 John Lynch also points out that, during the eighteenth century, the rivalries between the two countries were still alive as Spain continued to occupy the role of England's political rival and also its most dreaded religious enemy. In this way "informal war or real war [. . . ] rather than peace was the normal condition of Anglo-Spanish relations."9 Therefore, travelers from England undertook the journey to Spain with a completely different reasoning. Visitors to Spain were not young aristocratic tourists completing their education and becoming acquainted with their enlightened Continental counterparts. Instead, travelers in Spain were merchants, appointed officials joining diplomats in times of peace, and soldiers posted in strategic locations in times of war. They typically entered Spain via Lisbon, Perpignan, or Gibraltar and tried to enjoy their experience in Spain the best they could, since no peer would take an assignment in the country because of its undesirability. As late as 1783, an anonymous Polite Traveler corroborated the unpopularity of Spain for the foreign tourist in the following way: Nothing but necessity can induce a man to travel in Spain: he must be an idiot, if he make the tour of this country from mere curiosity, unless he has a design to publish memoirs of the extravagancies of human nature. In that case, he cannot do better, for he will every where find pride, baseness, poverty, ignorance, bigotry, superstition, and ridiculous ceremonies. This is a faithful abstract of the character of the Spaniards.10 Spain did not offer any of the amenities a polite traveler would expect in a civilized country other than extravagant material that will guarantee the writing of fascinating and unique memoirs. The Polite Traveler summarized the preconceptions of what a barbaric society should be like and inexorably found features in Spain to fit this model. Among the soldiers, merchants, and diplomats stationed in Spain, many were widely traveled and knowledgeable. Some of them were interested in adventure, and through their readings of travel narratives they had probably familiarized themselves with the habits of peoples who were considered uncivilized by British standards. Therefore, an excellent way for these soldiers and diplomats to take advantage of their placement in Spain was to record the peculiarities of this mysterious country that ultimately helped them to enter the competitive publishing world. One of those designated officers forced to stay in Spain was John Armstrong, an engineer who in the beginning of 1738 was stationed in the Balearic Island of Minorca, located in the Mediterranean Sea. There he wrote, most probably between 1740 and 1742, The History of the Island of Minorca. The first edition of the book was published in 1752 and a second edition in 1782 under the new title Letters from Minorca. Armstrong's History of Minorca includes seventeen letters and a map, and is addressed to Richard Offarrel, the Colonel and Brigadier General in command of the administration of the island during the years of his placement. In his account, Armstrong attempted to describe the situation of the island; its dimensions; the government, taxes and number of inhabitants; trade and manufactures; and the customs and manners of the Minorquins. He indicated that he became proficient in Spanish in order to learn, "from the best Authorities" and from "any authentick Materials" that came into his possession, the civil history, constitution, produce, antiquities, cities, buildings, and life style of the country.11 His design was to offer a topographical description of Minorca with the minerals found there, to present a natural history of the island by collecting and classifying fossils, and to inquire after the animal and vegetal kingdoms. Armstrong indicated that he embraced his work not as a naturalist or as a botanist, but instead as an economist who wished to learn the use the natives made of their natural resources. Indeed, Armstrong's attitude with regard to civil life in Minorca is based on his perception of the government's economic policy, production system, and foreign exchange. As he explains: "I have ever thought it a useful and entertaining Study, to enquire into the Trade and Manufactures of a Country, and to note down whatever was excellent or defective in either; from hence a valuable Lesson is learned, of imitating the one, or avoiding the other."12 However, soon after he started his inquiries in Minorca, Armstrong promptly discovered with astonishment and concern that there was neither industry nor foreign trade on the island, and that the poor locals "trifled away their Time in childish Amusements, and neglected almost every Advantage of their Climate and Situation, and were contented to import a thousand Necessaries, and twice the Number of Superfluities, from foreign Countries, for which they paid ready Money."13 Twenty years later, Christopher Hervey, brother of William Hervey, British Ambassador to Spain from 1758 to 1761, similarly declared that "all the necessaries of life are very dear in Spain, which must be the case of a country that abounds in gold, and nothing else. . . . Gold alone can never make a nation plentiful, on the contrary, that very gold must go to other kingdoms to buy what the indolence of the inhabitants denies them in their native country."14 Armstrong observed that people in Minorca continued with their old constitution, and as a consequence, they paid a multitude of taxes and impositions to the government. The inhabitants also had large sums extorted from them for the support of their clergy, "as they are excessively burthensome and oppressive." Hence the population of all districts ran into great debts, which were continually increasing. But the poverty of the island was by no means compensated by the wealth and affluence of individuals, as he indicated was the case of Genoa. On the contrary, individuals from every class were loaded with numerous taxes that fell heavily on their industry, and therefore "all traffick with them, [is] as our merchants do with the Savages, exchanging Beads, Pictures, and Baubles, for every Thing of Value they have in the World."15 Armstrong, then, easily concluded that native Minorquins wasted their lives away in indolence under the oppression of the Church and government with no regard for the opportunities and natural resources offered by the island. Armstrong's words regarding the exchange system of Spain with Great Britain brings to mind seventeenth-and eighteenth-century trade lists of British ships trading with Africa in which there appeared, along with salt, brandy, cloth, and iron, items such as rings, false pearls, bugles (small glass beads), looking-glasses, little bells, false crystals, shells, bright rags, glass buttons, small brass trumpets, amulets, and arm rings.16 Going further back in time, Armstrong observations were significantly similar to Christopher Columbus' remarks regarding the reactions of the Caribbean natives when the Spaniards negotiated with them. As Tzvetan Todorov explains in The Conquest of America, for Christopher Columbus the natives did not understand the value of things since "all they have they give for any trifle we offer them, so that they take in exchange pieces of crockery and fragments of glass goblets. . . . Even bits of broken cask-hoops they took in exchange for whatever they had, like beasts."17 Ironically, in Armstrong's account, the Spaniards appeared as the naïvesavage, ignorant of the value of their own wealth and giving it away for trifles of little worth. Furthermore, Armstrong proudly explained that the English presence on the island was already having an impact on the natives' taste and customs. Many of the inhabitants naturally desired to imitate the British and consequently learned how to multiply their needs and wants to the point of falling "into a Way of Luxury and Extravagance, perfectly new to them."18 The position of the Englishmen in the island is therefore translated into terms of superiority, with the native Minorquins dwelling in an inferior evolutionary state of the economic progress and England feeding into their ignorance and commercial dependency. In Culture and Society, Raymond Williams studied how in the eighteenth century the idea of culture initially arose as a response to emergent commercialism and to the new political and social developments of the time. Culture emphasized the role of intellectual and moral thought as a court of appeals to be set over the processes of practical judgments. It offered itself as an impartial view that regarded economic wellbeing or material happiness as the touchstone of moral evaluation.19 Against this intellectual and moral utilitarian background, even if Spain had been and still was considered an imperial power, the country was clearly perceived and judged as the antithesis of the enlightened commercial society. In a world where commerce made man gentle and trade eventually would make war archaic, Spain was declared to be in an earlier stage of cultural development. The Spanish Monarchy was seemingly committed to old-fashioned notions of tax control, which in Armstrong's view had caused the Spaniards to fall into a decadent indolence and had prevented them from dedicating themselves to civilizing commercial ventures. Notwithstanding that the Spaniards exhibited a number of habits that Armstrong regarded to be at the opposite pole of civilization, there was no consequent need to instruct them in the ways of commercial civil society. On the contrary, Spain's economic dependence on England was a point of great satisfaction for John Armstrong. Despite of Armstrong's triumphant observations, the Reverend Edward Clarke, chaplain to Ambassadors Benjamin Keene and George William Hervey from 1758 to 1761 in Madrid, worried that the balance of commercial exchange between Spain and Great Britain during the decade of the 1760s was declining. This descent was due to, among other factors, the increasingly tough French and Dutch competition over Spanish markets.20 In his Letters Concerning the Spanish Nation, Clarke recalled with nostalgia the reign of the last Habsburg Charles II, a time when Spanish commercial exchange was unquestionably under England's control and the country took off "at least two thirds of all the produce of SPAIN, which made our manufactures an easy purchase to the Spaniards, who nevertheless paid us a very considerable balance in bullion."21 Unfortunately, since the accession of the French House of Bourbon to the Spanish monarchy, France shared a "great part of the gold and silver of the Spanish West-Indies, in return for her silk, her linen, and other manufactures introduced into Spain."22 For Clarke, Spain was the locus of fierce international competition for access to Spanish and Spanish American consumers. The struggle for influence in the Spanish Empire and for control over its traffic signaled one of the major themes of the eighteenth-century's antagonistic Anglo-French relations since the War of Spanish Succession (1702–1713).23 Clarke recognized that in spite of fierce French competition, England's trade with Spain was still considerably extensive. This commercial exchange mainly consisted of English manufactures for raw materials from the Peninsula and the Spanish-American colonies. Since the seventeenth century, peninsular and colonial consumer demand was satisfied by the importation of foreign goods, a situation that led to a steady increase in Spain's foreign debt. During the eighteenth century, the intellectual elite in the service of King Charles III recognized that the increase in consumption of foreign goods was detrimental to the already declining national industries and that the increasing international debt also caused a large financial loss for the Spanish state.24 In Clarke's view, this situation was maintained due to the regressive Spanish domestic industry, generally behind not only because of state's regulations and the natives' indolence but also because of the "oppressive spirit of that superstition which reigns there, under the mask of religion."25 Regarding the Spaniards' religious practices, most travel accounts offered puzzled representations of popular customs and rituals of the Spanish Catholic Church. At the beginning of the century, in his Trip to Spain, an anonymous officer of the British Royal Navy observed that "it is their Custom to [...] recommend themselves to the Relicks they carry about them, by which they hope to Prosper."26 He also indicated that "at the Corner of every Street, and, indeed, in almost every Stable, there's a Statue of our Blessed Virgin, with a pair of Beads in her hand, Dressed after the Country Fashion, with a Wax-Candle or Lamp burning before her; for these people are most Abominably Superstitious, or rather Abominably Religious."27 French travel writer Marie-Catherine d'Aulnoy (1650–1705), whose work became popular in English translation, suggested that indeed Spaniards "pay an excessive Devotion to the Blessed Virgin, and put an extraordinary confidence in her; there's hardly any Man that does not wear a Scapular, or some embroidered Image, that hath toucht some of those that are held to be miraculous."28 John Armstrong declared that "there is no Degree of Superstition into which these People have not been led," since after all the religious practices of the Spaniards do not differ a great deal from those of the Moors.29 He continued explaining that Spaniards "pay large contributions towards praying the Souls out of Purgatory; and many Times a devout Person gives a Hog, a Sheep, and even a Fowl, to be sold by Auction, and the Money applied to this pious Use."30 On holidays, the religious establishment entertained the populace with spectacles and comedies "making all the publick Diversions subservient to their Interests."31 Therefore, the Priests and Friars lived well in Minorca; they ate and drank wine freely from the best harvests of the island, indulged themselves in conversation with the opposite sex, and had free access to all private houses.32 In his Travels through Spain and Portugal, Major William Dalrymple, stationed at a garrison at Gibraltar in 1774, observed that "Religious bigotry and superstition still prevail here." To prove his statement, he ironically explained the fetishistic procedure followed by the court doctors to cure the prince's illness in the following way: "The Prince of Asturias' son being extremely ill, and given over by the physicians, the bones of a saint were sent for from Alcala, and brought in procession to the palace, to work his cure; but unfortunately, the saint was not in humour to perform the miracle, and the poor infant died."33Major Dalymple also commented on simple gestures or signs and indicated that "not a woman gets into a coach to go a hundred yards, nor a postillion on his horse, without crossing themselves; even the tops of tavern bills, and the directions of letters, are marked with crosses."34 Alexander Jardine, another English officer who was stationed and had traveled in Spain, also indicated in his Letters from Barbary, France, Spain, and Portugal that "nothing but the rapacity of the Catholic church, and the great influence of their clergy over the minds of this superstitious people, could make the tithes and religious contributions so productive as they are found to be in Spain."35 Edward Clarke proposed a detailed explanation regarding the origin of the religious practices observed in Spain. In his view, the Spanish Church remained pure, uncorrupted, and unpapist until the eighth century. Before that time, there was no image-worship, no prayers addressed to saints or angels, no purgatory, no sacraments, no transubstantiation, no auricular confession, and no adoration of the host. However, from the eighth century onward, perhaps due to the influence of the Muslim traditions after the invasion of the Peninsula in 711, "paganism artfully, and by almost imperceptible insinuations, gradually stole in, wearing that mask or vizor, which we now call Popery. Whatever triumphs Christianity may formerly have gained over the Gentile worship; Paganism, in all catholic countries, is now entirely revenged; she triumphed in her turn from the moment she established herself in the form of Popery."36Therefore the absurdity of Catholic practices was beyond measure, ridiculous; and more specifically, in all Roman Catholic, apostolic, papist, temples everything was pagan. In this sense, Clarke noted a number of striking resemblances between Catholic practices and paganism. For instance, he highlighted the similarities between the use of the ancient Thura and the modern incense; the aspergillum lavacrum and the holy water; the ancient votiva tabulae and the modern votive limbs; the Spanish Flagelantes and the old self-lashing priests of Jove; the mass for the dead and the parentation of the heathens; and little pictures or images of the Virgin Mary and the talismans of the ancients.37 The religious and profane aspects of the luxurious Roman Catholic ceremonies were the reasons that led seventeenth-century Protestant European travelers to connect the objects of Catholic worship with those of the African fetish adoration, as Pieter de Marees commented in his Description and Historical Account of the Gold Kingdom of Guinea, published in 1602.38 Later, in 1705 Dutch merchant Willem Bosman in A New Accurate Description of the Coast of Guinea suggested that if "it was possible to convert the Negroes to the Christian religion, the Roman Catholics would succeed better than we should, because they already agree in several particulars, especially in their ridiculous ceremonies."39 Bosman provided the concept of the fetish that intellectuals of the eighteenth century used in the elaboration of enlightened theories about primitive religions. In 1757, French philosopher Charles de Brosses coined the word "fetishism" and in his work introduced the term to the French intellectual community.40 Eighteenth-century British travelers in Spain echoed Dutch merchants' perceptions and associations between Catholic and African religious rituals. The Protestant British enlightened mind, in contrast to Catholic beliefs, was felt to have risen above superstitions and ancient fetish worshiping and it could not regard with indulgence a branch of Christianity imagined to be still mesmerized by the magical powers of crosses, images, and amulets. As enlightened observers, these travelers in Spain were rational male Europeans passing across the English Channel and not only going to a distant place but also regressing back in time to an archaic zone populated by dervishes and fetish worshipers. These traditions derived from an Institution that for centuries Europeans had unquestionably considered not only the direct heir of Christendom, but also the foundation of early Europe's imperial mission. In these travel narratives, however, Catholic beliefs came to be regarded as pagan practices. The debasement of Catholicism, as it became associated with the habits of distant peoples who were considered to be primitive by European standards, by association made Spain fit into the model of the barbarian at an early stage of cultural development. This degradation of Catholicism excluded Spain from enlightened notions of Christianity, while it confirmed the cultural distance of Protestant societies and established their moral superiority. But even more than Catholics' pagan practices, the Spanish Inquisition continually provided material for condemnation of a special nature. The Holy Tribunal embodied the monstrous, the inexplicable, and the obscure part of human nature and primal societies. It offered the vaguely threatening and dangerous drama of the most morbid, primitive, cruel instincts. Travelers in Spain were probably well-versed in the treatises concerned with the history of the Inquisition, such as the Reverend M.A. Baker's The History of the Inquisition, as It Subsists in the Kingdoms of Spain, Portugal, Sc.41 In all these works, the Inquisition was represented as "the most bloody, as well as the most terrible Court, that ever was invented [and] Wherever it exerts its Authority, Men forget to search the Scriptures, or to gain a rational Belief in CHRIST."42 In addition to the historical accounts, a number of more of less fictionalized personal narratives of Englishmen who adventured in Spain and had to endure the cruel prosecution of the Inquisition were also available. In 1724, Isaac Martin published his Tryal and Sufferings in which he relates his experience with the Holy Tribunal during the years he lived and worked as a merchant in Malaga on the southern coast of Spain. Martin blamed a local Irishman who turned him into the Inquisition under the accusation of publicly speaking against the Catholic religion.43 In 1756 and later in 1770, John Marchant also published his Bloody Tribunal: or, an Antidote Against Popery, a review of the "horrid Cruelties of the Inquisition." The book contained a description of "the most dreadful and exquisite Tortures" inflicted upon several people who have "unhappily fallen into the Hands of those Tyrants." The book was designed for the use and instruction of all Protestant families to secure them against the attacks of the papacy that were threatening Protestant liberties and religion.44 The Loyal Marthyrs: or the Bloody Inquisitor, published in 1775, was an eight-page poem that narrates the story of a newly- married British couple who agreed to travel into foreign countries for their honeymoon. As soon as they entered Spain, both of them were seized by surprise, separated, examined, and charged with crimes they had never committed, tortured, convicted and condemned to be burnt alive by order of the Inquisition.45 The History of the Inquisition published anonymously in Dublin 1798, besides providing an explanation of the historical evolution of the institution also included a short sentimental narrative by a French girl. The girl related how, when she was fifteen years of age, she was taken away from her family under false accusations of having committed a crime against religion. While under the Inquisition's custody, Maria found out that she had been set up to follow the luck of countless girls before her: she was forced to become the mistress of the General Inquisitor Don Francisco Torrejón if she wanted to remain alive.46 According to these stories Spaniards and on occasion foreigners residing in Spain appeared unprotected by the restraining constructs of a more advanced, free, tolerant, and enlightened constitution. The contrast with other European Nations seemed stark and absolute. In France and Germany, philosophers since the sixteenth century had advanced numerous arguments denouncing tyranny, prosecution, suppression of truth, the Inquisition, judicial torture, shedding of blood in the name of infallibility, and divine rights. In the seventeenth century, John Locke in England and Baruch Spinoza in the Netherlands elaborated the two principal traditions of religious toleration theories.47 In Spain, however, no toleration theory had been developed and the Inquisition remained, for enlightened Europeans, as the most atrocious continuation of fanaticism. In his Letters Clarke understood that "there is an undoubted resemblance between a Spanish Inquisitor, and a Dioclesian, a Caled, or a Mustapha. . . . Such a tribunal, shocking as it is to humanity, has nothing but false political ends to plead in its excuse: And where nature and religion must be sacrificed, such a policy is only worthy of a Machiavel, a Ximenes, or an Emperor of Japan."48 Although in practice the religious and political tolerance in northern Europe was far more complicated than the elaboration of theories and possible idealizations may suggest, upon the persistence of the Holy Tribunal, Clarke cannot help but say that "the tender mercies of the inquisition are cruel; and if this be the justice of a Christian country, let me be thrown among barbarians."49 Clarke also complained that the medieval Spanish blind zeal in matters of religion had destroyed many remains of classical antiquity and that in the eighteenth century this old fanaticism still continued under the direction of monks and inquisitors. Books were prohibited, torn, or burnt if they contained anything against the Catholic faith: "As they formerly thought the Bible would appear to more advantage, when the pagan poets were destroyed; so they are still of opinion, that popery will always appear best, when evidence of its imposture is suppressed."50 But at least Clarke noticed some changes in the Spaniards' religious extremism. He merrily celebrated that in the last twelve years (since 1748?) no Auto de fe had taken place in Madrid. Nevertheless, he proceeded to minutely relate the circumstances of the last one performed at the Plaza Mayor in Madrid. A Jew, his wife, and their thirteen-year old daughter were all condemned to be burned alive. While the father and the mother were burning, the young girl was released by the inquisitors with the purpose of converting her by the power of their rhetoric, and the threat of immediately undergoing the same death as her parents. The child, however, rejected her cruel converters, and vaulted back in the fire, giving a shining example of the force of young piety, and heroic fortitude equal to that of the most unshaken martyr.51 The Inquisition and the Autos de fe perfectly justified expressions of outrage, in the view of the British travelers, while they also provided a macabre diversion. These chronicles expanded on the diabolical cruelties of the Spanish Inquisition with narratives significantly enlivened by exaggeration and unchecked fantasies. The continuation of the operations of the Inquisition, to the horror of other Europeans, lent renewed vigor to the old stereotype of the backwardness and cruelty of the Spanish character. Spain and its still-effective Inquisition satisfied the traditional demand for someone to play the role of the uncivilized other within nearby countries. Hence the fascination with religious fanaticism, bloodthirsty inquisitors, and unjustified atrocities inflicted upon innocent victims. The persistence of barbarity within the boundaries of Europe became the object of interest and attraction, as it perhaps offered a cathartic image of enlightened Britain's own past. Madness, barbarism, cruelty, and torture: all seemed closer to the surface in Spain, offering a constant source of grief. But British travelers experienced this dark tragedy safely by virtue of the aesthetic mediation of their narratives, whose cathartic power increased with cultural distance.52 The Spanish people, then, were governed by barbaric institutions, similar to those of uncivilized contemporary and ancient societies, a situation that urgently required cultural, social, economic, and political redemption. Following this line of thought, John Armstrong discussed not only the economic assimilation of Minorca, which had been inevitably in place for a number of years already, but also a possible political integration of the island to the crown of Great Britain. On this matter, he regretted that in 1713 the Minorquins did not accept the opportunity to be integrated into the benevolent British system: And though these Islands have been at different times delivered up to the Pillage of some of the most consuming Tyrants that ever disgraced human Nature by seeming to be of the Species, the Minorquins fatally missed a favourable Opportunity of becoming Partakers of all the various Benefits of the mildest Constitution of Government upon Earth. For at the Time that the Treaty of Utrecht yielded their Country to Great-Britain, if they had made Application that they might for the future be governed according to our Laws, I make no doubt but their Request would have been readily complied with.53 Although in need of the new liberal British system that would procure for them freedom and affluence, the people of Minorca simply appeared stuck within the old dynamic of feudalism. In Armstrong's writing, there is no sense that different cultures evolve in a different way regarding their social and political order; rather, he set forth a single standard of economic and political organization to which all nations must aspire. For Armstrong, there was no better constitution of government than that of Great Britain, and common sense dictated its acceptance as such, regardless of different peoples' historical traditions or political evolution. Likewise, Edward Clarke reinforced the powerful cultural myth of British political liberty when he stated the following: Let an Englishman go where he will, to Spain or Portugal, to France or Italy; let him travel over the whole globe, he will find no constitution comparable to that of GREAT BRITAIN. Here is no political engine, no bastile, no inquisition, to stifle in a moment every symptom of a free spirit rising either in church or state; no familiar, no alguazil to carry off each dangerous genius in arts or science, to those dark and bloody cells.54 Many other contemporary travel writers would undeniably have agreed with Clarke's remark that what he gained by writing about his experience during his post in Spain was to provide the reader with "a fresh proof of the happiness, which he enjoys in being born a Briton; of living in a country, where he possesses freedom of sentiment and of action, liberty of conscience, and security of property, under the most temperate climate, and the most duly poised government in the whole world."55 As the ideology of British commercial imperialism became progressively hegemonic, Spain and the notion of the Spanish Empire rapidly evolved as the paradigm of an archaic tyranny that had progressively yielded into an unrestricted expansionist power. In the sixteenth century the Spanish monarchy could be portrayed as the self-assured champion and exporter of Christian values, the secular arm of the papacy, and the sole guardian of political stability within Europe.56 In the eighteenth century, however, the perception of the Spanish State and government shifted from that of universal Christian monarchy to oriental and barbarian despot.57 Montesquieu summarized the role of Spain in the New World in the following terms: "To preserve America, [Spain] did what even despotic power itself does not attempt; she destroyed the inhabitants. To preserve her colony, she was obliged to keep it dependent even for its subsistence."58 Armstrong, for his part, explained that under the tyrannical Spanish rule in Minorca "[People] have lived long under a hard Government, and have Spirits broke to Servitude, and Bodies inured to Labour. They are effectually subdued to a blind Obedience to those that are set over them, and seem cheerful and contended under Poverty and Oppression."59 To Armstrong, the subjects of the Spanish monarchy have groaned under all forms of tyranny around the globe, and have been reduced to a state of slavery that has forever suffocated their ambitions for independence and domesticated their sprits into permanent submission. Spanish societies are therefore distant from the enlightened political model since "their ancient Freedom has been long lost, and the very Spirit of Liberty seems at present to have no Existence among them, and their Courage is vanished with it; as if an enslaved People were of Opinion, they had nothing left that was worth fighting for."60 The general anti-Spanish sentiment of the sixteenth and seventeenth centuries found new expression in the eighteenth century. Although it still preserved the factor of religious fanaticism of the Spaniards already present in the black legend, it added new political and commercial elements of judgment. The portrayal of Spain was empirically qualified by the country's demonstrated incapacity to partake in the values of the new hegemonic liberal humanism. As a consequence, Spain and its people were universally excluded from the idea of civilized Europe on grounds of commercial and political backwardness. In the eighteenth century, the civility of human societies was established by the nature of their economic and political organization. This categorization provided a hierarchy of political configurations in Europe while plotting these "evolving" institutions in the temporal dimension along a single line of development. However, this notion that societies could be hierarchically classified according to their degree of political and economic advancement coincided with (and paradoxically, supported) the opinion that inherent ethical differences existed among peoples, and created intrinsic differences in character. Armstrong attributed the failure to pursue the advantageous prospect of joining the British crown to the decadence of the Spanish character, as if the inhabitants of the island became incapable of comprehending the value of political stability and freedom. Regarding the native temperament, Armstrong granted that the Minorquins demonstrated courage while they were engaged in continual wars with the Moors. Nevertheless, since the end of hostilities in 1492, he observed that, "what Tacitus says of the antient Gauls, Gallos in Bellis floruisse, accepimus, mox segnities cum otio intravit, amissa vitute, pariter ac libertate, may with equal Justice be applied to them: For as a long War trains an unwarlike Nation to Military Exploits, so a profound Peace, with a total Difuse of Arms, in Process of Time naturally dejects the Spirits of a People, and renders them supine and dastardly," to the point of sinking them "into shameful Degeneracy and Indolence."61 Furthermore, Minorquins "seldom practice those Diversions and Exercises in which the more warlike People of Europe delight."62 Besides establishing an obviously parallel between imperial Romans and the British on the one hand, and the ancient Gauls and the Minorquins on the other, what is striking in his opinions is his perception of the absolute dissoluteness and corrupt nature of the native Spaniards. Minorquins are "naturally contentious" and "suspicious of one another"; they "have a watchful jealous eye"; the little they learn in schools "is soon lost again"; "sciences are . . . unknown" to them; and they "seldom make [social] entertainments."63 Moreover, Spaniards are not great visitors, preferring the life of domestic quiet and retirement. Fortunately, Armstrong observed, this privacy is suitable to the economy they have to comply with for it is more agreeable to their passive disposition and natural taciturnity; and finally it enables the men to keep their wives under constant observation. Henry Swinburne went as far as to delineate the specific traits of the Spanish character: The listless indolence equally dear to the uncivilized savage, and to the degenerate slave of despotism, is no where more indulged than in Spain; thousands of men in all parts of the realm are seen to pass their whole day, wrapped up in a cloak, standing in rows against a wall, or dosing under a tree. In total want of every excitement to action, the springs of their intellectual faculties forget to play; their views grow confined within the wretched sphere of mere existence. . . . The poor Spaniard does not work, unless urged by irresistible want, because he perceives no advantage accrue from industry. As his food and raiment are purchased at a small expence, he spends no more time in labour, than is absolutely necessary for procuring the scanty provision his abstemiousness requires.64 According to David Spurr, in colonial discourse every personal weakness has its political counterpart. Uncivilized society, according to this logic, corresponds to the uncivilized mind and body. The qualities assigned to the individual savage such as dishonesty, suspicion, superstition, indolence, and lack of self-discipline are reflected more generally in societies characterized by corruption, tribalism, and the inability to govern themselves. In the same way, social or economic problems, undeveloped industry or trade, and unemployment come to be associated with individual filth and laziness.65 The poverty of Spain, therefore, can be also traced to the indolence, cowardice, cruelty, and deceitfulness of the Spanish character, marking the individual as both cause and emblem of a more general degradation. Perhaps due to this personal and general ruin, the Minorquins "neglected to take this salutary step" of becoming British at the beginning of the occupation. As a consequence of their native passivity, twenty years into British administration Armstrong judged it to be more convenient for the islanders to continue to be governed by their old laws without the slightest modification.66 He adduced this because "their mean Natures are apt to be too much exalted by Prosperity and Power, which give them a Glimpse of greater Happiness than they are able to compass, and then they grow factious and malecontent."67 Likewise, Christopher Hervey believed that Britain ought by no means to attempt to open the eyes of the Spaniards since their blindness was of too much service to England, not to wish them to continue in it. The balance of commerce, notwithstanding long wars, infinitely favored England, leading Hervey to conclude "I dare say they receive twice as many goods from us as we from them."68 In the same way, Colonel Dalrymple believed that the Englishmen should let the Spaniards enjoy their apathy while Britons "live happily, and triumph in the felicity of being formed a native of that country, where literature and commerce is encouraged and improved by liberty."69 Therefore, political intervention and ideological indoctrination depended on Britain's invested interests in the land or perhaps its widespread fears of resuscitating its dreaded centuries-old competitor. On November 22, 1975, two days after the death of General Francisco Franco, the new head of State King Juan Carlos I addressed the nation for the first time in his new political role: The idea of Europe would be incomplete without a reference to the presence of the Spaniard and without a consideration of the activity of many of my predecessors. Europe should reckon with Spain, and we Spaniards are Europeans. It is present necessity that both sides understand this to be so and draw the consequences that derive therefrom.70 As Paul Preston has noted, it may seem surprising that the monarch of Spain had to emphasize the Continental character of a country whose geographical situation alone appears to qualify it unquestionably as part of Europe. However, most Europeans have often placed Spain beyond the pale of central European civilization due to the persistence of its backwards social, economic, and religious behavior; the vestiges of Moorish culture; and particular aspects of the country's landscape. In Spain, since the second half of the eighteenth century, the argument over the advantage of adapting national institutions to those of the rest of Europe versus the benefits of progressive isolation has been the center of national political controversy. In the nineteenth century a number of prominent figures still emphasized the singularity of Spain's historical experience and geographical positioning from the rest of Europe. In the Episodios Nacionales, Benito Pérez Galdós, one of the most prominent literary figures of nineteenth-century Spain, projected the image of the country as "a sui generispolitical entity uncontaminated by Europe."71 The historian Américo Castro also maintained that "the Spaniards live alongside Europe, but ultimately they were alien to it."72 By contrast, for prominent nineteenth-century lawyer, writer, and politician Joaquín Costa, Europeanization provided the key to open the future of Spain, and José Ortega y Gasset contended that if Spain mainly consisted of an unresolved problem Europe was the answer to this dilemma.73 The twentieth century, as Preston notes, saw the legendary exploitation by General Franco of the isolationist nationalist sentiment to protect his own position whenever international censure threatened to converge with domestic opposition to challenge his regime.74 Neither the start nor finish of what has been a long historical process, the eighteenth-century representations of Spain examined above document one particularly interesting moment in the evolution of Spain's centuries-old alienation from Europe. British travel writings regarding Spain exhibit a number of rhetorical characteristic that emphasized Spain's degradation and alienation against England's superiority. These travelers' privileged point of view offered them aesthetic pleasure as well as authority, conveying a sense of mastery over the unknown and over what was perceived as strange. The examination of Spain's territory, of economic resources, social life, and religious practices constructed through a cultural distance favored demonstrations of Britain's moral superiority and the expression of its right to appropriate and exploit the natives' wealth. Travel writers' continual debasement of local customs, and their perception of the "Other" as a site for cruelty, torture, and death, presented sufficiently morbid material to entertain their readers and also offered a justification for British righteousness, exploitation, and economic dominance. All of these perceptions further confirmed –and validated– Spain's supposed inferiority and isolation in regard to the rest of Europe. Ana Hontanilla Ana Hontanilla is Assistant Professor of Spanish at the University of North Carolina in Greensboro and the author of Good Taste, Imagination and Virtue in Eighteenth-Century Spain (Madrid: Iberoamericana, forthcoming). Acknowledgement This article grew out of a presentation at the International Seminar on the Eighteenth Century ISECS "The Idea of Europe in the Eighteenth Century" in Genoa, Italy, October 2005. I would like to thank my colleagues and friends Jeff Curran, Stephanie O'Hara, Carmen Sotomayor, and Maria Paz Moreno for their help with the English version of this paper. Thanks to Will Derusha and Margaret Ewalt for providing invaluable help in earlier drafts. I thank Linda Zionkowski and the anonymous reviewers of SECC for their excellent comments and suggestions for revisions. Footnotes 1. In the English-speaking academic world, the close reading championed especially by the new historicism and the practice of discourse analysis was aimed not at the individual productions of a single canonical author but at the production of a collective corpus of travel texts. This innovative approach has created a new body of knowledge about imperial-colonial discourse and its variations. Orientalism is the first major work of contemporary criticism to take travel writings as part of its analysis. Edward Said examines British travel literature as a body of work that produced what he terms 'Orientalism;' a concept that since 1978 has offered particular insight into the operations of colonial discourses and therefore of Western imperial domination of the 'East.' See Edward Said, Orientalism (New York: Pantheon Books, 1978) and Peter Hulme and Tim Young, eds., The Cambridge Companion to Travel Writing(Cambridge: Cambridge University Press, 2002), 8. Following Said's line of inquiry, Mary Louise Pratt's Imperial Eyes has become a model of how and for what purposes to analyze accounts of foreign or exotic places written by men from the Western or "developed world" who enjoy some kind of authority of speech. Imperial Eyes has provided an adaptable model for analyzing how "travel books by Europeans about non-European parts of the world went (and go) about creating the domestic subject of Euroimperialism." Pratt also emphasizes that scholars of European travel books regarding Europe have pointed out that many of the conventions and writing strategies associated in her book with imperial expansionism characterize travel writing about Europe as well. She suggests, then, that related dynamics of power and appropriation are likely to be found in European travel writing about Europe. Mary Louise Pratt, Imperial Eyes: Travel Writing and Transculturation (London: Routledge, 1992), 4, 10. 2. Turner also observes that while much of the period's literature of travel and exploration of exotic lands is self-consciously couched in the language of Enlightenment empiricism, that of European travel narratives gives way to less exclusive registers, both reflecting and encouraging the activities of increasing numbers of middle-class travelers in Europe. British travel writers converted their narratives of the European countries they visited not only into an accumulation of natural or ethnographical observations with occasional philosophical, political, and economic reflections, but also textualized the gender and class privileges they embodied. Katherine Turner, British Travel Writers in Europe, 1750–1800: Authorship, Gender, and National Identity (Aldershot: Ashgate, 2001), 21. 3. Norbert Elias, The Civilizing Process, trans. Edmund Jephcott, 2 vols. (New York: Urizen, 1978), 1:5. 4. David Spurr, The Rhetoric of Empire: Colonial Discourse in Journalism, Travel Writing, and Imperial Administration (Durham: Duke University Press, 1993), 1–12. 5. James Boswell, The Life of Samuel Johnson, ed. George Birkback Hill, rev. L. F. Powell, 6 vols. (Oxford: Clarendon Press, 1934–50), 3:36. 6. Elizabethan expansionism adopted the Spaniards' logic for exploration and conquest, and made its initial claim to legitimacy in the name of the duty to convert the pagans to the faith. See Anthony Pagden, Lords of All the World: Ideologies of Empire in Spain, Britain and France c.1500–c.1800 (New Haven: Yale University Press, 1995), 36–37. Exploring a different angle of early British expansionism, Nicolas Canny studies how at the mid-sixteenth century, the Irish—a people with whom the English had always had some familiarity—came to be regarded as uncivilized, thereby providing a justification for indiscriminate slaying and expropriation. See Nicholas Canny, "The Ideology of English Colonization: From Ireland to America," in Theories of Empire, 1450–1800, ed. David Armitage, vol. 20 of An Expanding World: The European Impact on World History (Hampshire: Aldershot, 1998), 20:179–202. 7. James Buzard, "The Grand Tour and After (1660–1840)," in The Cambridge Companion to Travel Writing, ed. Peter Hulmeand Tim Young (Cambridge: Cambridge University Press, 2002): 37–52, 41. 8. Jeremy Black, The British Abroad: The Grand Tour in the Eighteenth Century (New York: St. Martin's Press, 1992), 76–77; and The British and the Grand Tour (London: Croom Helm, 1985), 17, 22. 9. John Lynch, Bourbon Spain, 1700–1808 (Oxford: Basil Blackwell, 1989), 131–32. 10. The Polite Traveler: Being a Modern View of Part of Italy, Spain, Portugal and Africa (London, 1783), 92. 11. John Armstrong, Letters from Minorca; Describing the Constitution, Government, Produce, Antiquities, and Natural History, of that Island (Dublin, 1782), v, vi. 12. Armstrong, Letters, vii. 13. Armstrong, Letters, vii. 14. Christopher Hervey, Letters from Portugal, Spain, Italy and Germany, in the Years 1759, 1760 and 1761, 3 vols. (London, 1785), 1:259. 15. Armstrong, Letters, 99–100. 16. Mary Kingsley, West African Studies (London: Macmillan, 1899), 612–25; and David Simpson, Fetishism and Imagination: Dickens, Melville, Conrad (Baltimore: Johns Hopkins University Press, 1982), 29. 17. Quoted in Tzvetan Todorov, The Conquest of America, trans. Richard Howard (New York: Harper and Row, 1984), 38. 18. Armstrong, Letters, 122. 19. See Raymond Williams, Culture and Society: 1780–1950 (New York: Columbia University Press, 1983), xviii–xix. 20. Edward Clarke performed his duty in Madrid for nearly two years, until 1762 when Spain entered the Seven Years' War, forcing Hervey and the members of his delegation to abandon the city. This event interrupted Clarke's original design to elaborate a much larger and more expansive work about Spain, which only added problems to the difficulties he had previously encountered such as the extremely reserved character of Spaniards as well as the "cautions they use, and the suspicions they entertain with regard to hereticks." Edward Clarke, Letters Concerning the Spanish Nation: Written at Madrid during the Years 1760 and 1761 (London, 1763), ii. In 1765 and 1770 the German and French editions were respectively published. 21. Clarke, Letters, 252. 22. Clarke, Letters, 252. 23. Jeremy Black, Natural and Necessary Enemies: Anglo-French Relations in the Eighteenth Century (Athens, GA: University of Georgia Press, 1987), 2. 24. See José Cadalso, Cartas marruecas (Madrid: Cátedra, 1995), 185–86; Juan Sempere y Guarinos, Historia del lujo y de las leyes suntuarias de España [History of Luxury and Sumptuary Laws of Spain], 2 vols. (Madrid, 1788), 2:85; Manuel Romero del Álamo, Efectos perniciosos del lujo: las cartas de D. Manuel Romero del Álamo al Memorial Literario de Madrid (1789) [Pernicious Effects of Luxury: Letters by D. Manuel Romero del Álamo al Memorial Literario de Madrid] (1789) (Oviedo: Publicaciones Universidad de Oviedo, 1985), 18; Jerónimo de Uztáriz, quoted in Marcelo Bitar Letayf, Los economistas españoles y sus ideas sobre el comercio en las Indias [Spanish Economists and Their Ideas Regarding the West Indies Commerce] (Mexico: Instituto Mexicano de Comercio Exterior, 1975), 105–15; Melchor de Macanaz quoted in Bitar, Los economistas españoles, 159. Contemporary historians who have studied the economic dependency of eighteenth-century Spanish and Spanish American markets upon international imports are José Ignacio Fortea Pérez, "The Textile Industry in the Economy of Cordoba at the End of the Seventeenth and the Start of the Eighteenth Centuries: a Frustrated Recovery," The Castilian Crisis of the Seventeenth Century, eds. I.A.A. Thompson and Bartolomé Yun Casakilla (Cambridge: Cambridge University Press, 1994), 136–67; Jean Olivia McLachlan, Trade and Peace with Old Spain, 1667–1750(Cambridge: Cambridge University Press, 1940); Joaquim Nadal Farreras, Comercio exterior y subdesarrollo: España y Gran Bretaña de 1777–1914: política económica y relaciones comerciales [Foreign Commerce and Underdevelopment: Spain and Great Britain from 1777–1914: Political Economy and Commercial Relations] (Madrid: Instituto de Estudios Fiscales, 1978). 25. Clarke, Letters, 263. 26. A Trip to Spain: or, a True Description of the Comical Humours, Ridiculous Customs, and Foolish Laws, of that Lazy Improvident People the Spaniards (London, 1705), 9. 27. Officer, A Trip to Spain, 12. 28. Marie-Catherine d' Aulnoy, The Ingenious and Diverting Letters of the Lady's Travels into Spain. Being the Truest and Best Remarks Extant on that Court and Country (London, 1706), 264. To differentiate his narrative from previous accounts, Edward Clarke pointed out in his preface to Letters Concerning the Spanish Nation that The Lady's Travels into Spain was obsolete by the middle of the eighteenth century and no longer offered a just description of life in Spain. He also indicated that The Lady's Travels into Spain had actually been pirated from a French book originally titled Les Délices d'Espagne. Clarke, Letters, iv. 29. Armstrong, Letters, 202, 212. 30. Armstrong, Letters, 202. 31. Armstrong, Letters, 202. 32. Armstrong, Letters, 201. 33. William Dalrymple, Travels Through Spain and Portugal, in 1774; with a Short Expedition Against Algiers, in 1775 (London, 1777), 49. 34. Dalrymple, Travels, 49. 35. Alexander Jardine, Letters from Barbary, France, Spain, Portugal. By an English Officer, 2 vols. (London, 1788), 2:58. Jardine was educated in the Royal Military Academy of Woolwich and published his Letters from Barbary, France, Spain, and Portugal in 1788; a second edition appeared in 1790. 36. Clarke, Letters, 11. 37. Clarke, Letters, 12–15. 38. Pieter de Marees, Description and Historical Account of the Gold Kingdom of Guinea, trans. Albert van Dantzing and Adam Jones (Oxford: Oxford University Press, 1987), 36. 39. Willem Bosman, A New Accurate Description of the Coast of Guinea (New York: Barnes & Noble, 1967), 154. 40. See Charles de Brosses, Du culte des dieux fétiches ou parallèle de l'ancienne religion de l'Egypte avec la religion actuelle de la Negritie (París: Fayard, 1989). 41. M.A. Baker, The History of the Inquisition, as It Subsists in the Kingdoms of Spain, Portugal, & c. (London, 1734). An extensive number of books was published in Great Britain about the Inquisition, the majority of them during the first half of the eighteenth century. A non-exhaustive list includes the English translation of Philippus van Limborch, The History of the Inquisition, trans. Samuel Chandler, 2 vols. (London, 1731); Bernard Picart, The Ceremonies and Religious Customs of the Various Nations of the Known World, 7 vols. (London, 1733–39); Anonymous, A General History of the Proceedings and Cruelties, of the Court of Inquisition; in Spain, Portugal (London,1737); Anonymous, A Short View; or History of the Inquisition of the Kingdoms of Spain, Portugal, &c. To this Day (London, 1739). 42. Baker, The History of the Inquisition, vi–vii. 43. See Isaac Martin, The Tryal and Sufferings of Mr. Isaac Martin, Who Was Put into the Inquisition in Spain, for the Sake of the Protestant Religion. Written by Himself, and Dedicated to His Most Sacred Majesty King George, by Whose Gracious Interposition He Was Releas'd (London, 1724). 44. John Marchant, The Bloody Tribunal: or, an Antidote Against Popery. Being a Review of the Horrid Cruelties of the Inquisition, as Practised in Spain, Portugal, Italy, and the East and West- Indies (London, 1756), 1. 45. Anonymous, The Loyal Martyrs: or, the Bloody Inquisitor. Being a Just Account of the Inhuman Barbarities Used in the Inquisition of Spain (Worcester, 1775?). 46. History of the Inquisition, as it Existed in the Kingdoms of Spain, Portugal and in Both the Indies (Dublin, 1789), 62–78. 47. See Jonathan Israel, "Spinoza, Locke and the Enlightenment Battle for Toleration," in Toleration in Enlightenment Europe, ed. Ole Peter Grell and Roy Porter (Cambridge: Cambridge University Press, 2000), 102–13. 48. Clarke, Letters, 16. 49. Clarke, Letters, 34. 50. Clarke, Letters, 14. 51. Clarke, Letters, 37. 52. Spurr, The Rhetoric of Empire, 47. 53. Armstrong, Letters, 99. 54. Clarke, Letters, vii. 55. Clarke, Letters, vi. 56. See Franz Bosbach, "The European Debate on Universal Monarchy," in Theories of Empire, 1450–1800, 20: 81–98. 57. See Anthony Padgen, Spanish Imperialism and the Political Imagination (New Haven: Yale University Press, 1990), 13–36, and Lords of All the World: Ideologies of Empire in Spain, Britain and France c.1500–c.1800 (New Haven: Yale University Press, 1995). Padgen studies how two of the most prominent Neapolitan political and economic theorists of the eighteenth century, Paolo Mattia Doria and Antonio Genovesi, began to present Spain in the light of a tyrannical ruler. 58. Charles de Secondat, baron de Montesquieu, The Spirit of Laws, 2 vols. (London, 1777), 1:130. 59. Armstrong, Letters, 198. 60. Armstrong, Letters, 197. 61. Armstrong, Letters, 197. 62. Armstrong, Letters, 204. 63. Armstrong, Letters, 198–201. 64. Henry Swinburne, Travels Through Spain, in the Years 1775 and 1776 (London, 1779), 369– 70. 65. Spurr, The Rhetoric of Empire, 76. 66. Armstrong, Letters, 97. 67. Armstrong, Letters, 198. 68. Hervey, Letters, 259–60. 69. Dalrymple, Travels, 77. 70. Quoted in Paul Preston and Denis Smyth, Spain, the EEC and NATO (London and Boston: Routledge and Kegan Paul, 1984), 24. 71. Quoted in Raymond Carr, Spain, 1808–1975 (Oxford: Clarendon Press, 1982), 105. 72. Américo Castro, The Spaniards: An Introduction to Their History (Berkeley: University California Press, 1971), 563. 73. Joaquín Costa, Reconstitución y europeización de España y otros escritos (Madrid: Instituto Estudios Administración Local, 1981), xxvii. 74. Preston, Spain, 27. 
work_odttewr4mnh4rizkcezz5godoa	----	Discovery of the two angiotensin peptides and the angiotensin converting enzyme. 259 Personal and Historical Perspectives Discovery of the Two Angiotensin Peptides and the Angiotensin Converting Enzyme Leonard T. Skeggs Jr. I have long believed that most important scientificdiscoveries are in large part accidental. Very fewof us are like Christopher Columbus, who rea- soned that the world was round and set out with his three little ships to prove that he was right. In 1953, our group at the Cleveland Veterans Admin- istration Hospital (associated with Western Reserve University, now Case Western Reserve University) consisted of Joseph R. Kahn, a pathologist who had worked with Harry Goldblatt during his important discoveries in the field of hypertension, Walter Marsh, and myself. Walt Marsh and I had recently received our PhD degrees in biochemistry from Western Reserve. These were exciting times for us. We were in what we considered to be a race to isolate and determine the structure of angiotensin with Merlin Bumpus and his group at the Cleveland Clinic and Stanley Peart in London. I must explain, parenthetically, that angiotensin was known to us, being followers of Harry Goldblatt and Eduardo Braun-Menendez, as hypertensin. Merlin Bumpus knew angiotensin as angiotonin. This was nat- ural because Merlin worked with Irvine Page, who had coined the name angiotonin. It was a number of years later that Page and Braun-Menendez agreed on the name angiotensin, and all the rest of us used the new name. We prepared very crude renin from hog kidneys and an equally crude substrate from horse blood. Both preparations were thoroughly dialyzed against distilled water, and the insoluble proteins formed during dialysis were removed by centrifugation. The renin was then reacted with its substrate to produce angiotensin. The reaction was terminated by the addition of 3 volumes of alcohol. After filtration, the alcohol was removed by evaporation, and the cloudy, aqueous solution was extracted with ethyl ether. The resulting solution was then subjected to counter- current distribution between n-butanol and phosphate or bicarbonate buffer. Countercurrent distribution was then newly developed by Lyman Craig at Rockefeller University, and it proved very useful to us because none of the chromatographic methods that were available at the time worked well with angiotensin. The results of the distribution could also be mathematically analyzed to obtain an estimate of a component's purity. We later used the method to good advantage in our purification Address for correspondence: Leonard T. Skeggs Jr., PhD, 10212 Blair Lane, Kirtland, OH 44094. of angiotensin I, angiotensin II, and the tetradecapep- tide renin substrate. At the time, the hospital (known locally as the Crile VA Hospital) was located in a sprawling, one-floor brick and wood structure that had been hurriedly put to- gether during World War II as an Army general hospital for wounded veterans from the war in Europe and the Pacific. We had two small rooms in the clinical labora- tory in which to do our work. We were soon overflowing into and up and down the narrow hallway outside our doors with our tanks, centrifuges, and other equipment. Evidently, we were such a nuisance that the hospital manager moved us to an empty, unused former mess hall with 3,600 square feet of uncluttered space. Moving completely interrupted our work, and we got nothing done for 2 or 3 weeks. Finally, we were able to start work again in our new location. We prepared more crude renin and substrate. In preparing the new sub- strate, I made a small change in the procedure. Instead of dialyzing the preparation against distilled water, I used saline. I don't remember why I did this. Perhaps I thought I could avoid the necessity of removing insolu- ble proteins by centrifugation. We prepared angiotensin with the new renin and substrate. After the necessary preparatory steps, we submitted the batch to countercurrent distribution. In this instance, the distribution was carried out manually in twenty 1-L separatory funnels, and the process took all day for two of us. We then prepared samples from each separatory funnel for bioassay using an anesthe- tized rat. To our utter consternation and surprise, the active band was not located in the middle of the countercurrent distribution as it always had been in previous experiments. Instead, it was found in the very first separatory funnels. In spite of having carried out twenty extractions, the active pressor material was still in the first one or two funnels! We then spent a number of days trying to discover what we had done to obtain such a remarkably different result. It finally came to me that we had dialyzed our substrate against 0.9% NaCl instead of water. Subse- quent experiments showed that when renin was reacted with our crude substrate in the absence of chloride, the product was found in the middle of the distribution and had a distribution coefficient close to 1.0. In the pres- ence of chloride, the product was found in the first few funnels with a coefficient close to 0.1. The first product we called angiotensin I, the second angiotensin II. Both were active in our rat bioassay. We then found that renin had nothing to do with determining whether we obtained angiotensin I or an- D ow nloaded from http://ahajournals.org by on A pril 5, 2021 260 Hypertension Vol 21, No 2 February 1993 giotensin II; angiotensin I could be converted to angio- tensin II by incubation with our crude substrate in the presence (but not absence) of chloride ions. After considering these results, I developed the theory that there was an enzyme in our crude substrate that was activated by chloride ions and that converted angioten- sin I to angiotensin II. Although it appears obvious now that my theory was correct and that this was the first demonstration of the angiotensin converting enzyme, it did not seem clear to me at the time. I remember spending several hours with Harland Wood, who was then chairman of the Department of Biochemistry at the medical school at Western Reserve University. I remember distinctly that after 2 or 3 hours of going over our data and expressing my concern about my theory being correct, he told me (probably out of exasperation) not to worry so much about being wrong, that we all make mistakes, and that if I was wrong, it wouldn't be fatal. My good friend, Oscar Helmer, then wrote me from the Eli Lilly Laboratories. He had also been working on the purification of angiotensin. He informed me that he had found that incubating his angiotensin preparations with plasma greatly increased their activity in his aortic strip bioassay and wondered if this could be due to our angiotensin converting enzyme producing an active angiotensin II from an inactive angiotensin I. We put this possibility to the test without delay, using an isolated perfused rat kidney. In this way, we discov- ered that angiotensin I does not vasoconstrict the isolated kidney perfused with Ringer's solution, whereas angiotensin II does. Here again we were fortu- nate in picking as a test tissue the rat kidney that did not contain the angiotensin converting enzyme, thus allowing us to discover that angiotensin I is the inactive precursor of angiotensin II. The finding that there were two forms of angiotensin, a biologically inactive decapeptide and a highly active octapeptide, and the enzyme, the angiotensin convert- ing enzyme that transforms one peptide to the other, was an immediate stimulus to further progress. The structure of both peptides was quickly determined, and angiotensin II was successfully synthesized within the year. Suddenly, large amounts of synthetic angiotensin II were easily available. Just as suddenly, there were hundreds of researchers working in hypertension, rather than the handful of investigators in Europe, South America, and the United States that preceded them. Later, inhibitors of the angiotensin converting en- zyme were developed and used to demonstrate conclu- sively that the renin-angiotensin system causes the rise in blood pressure in most people who have high blood pressure. These inhibitors are in widespread use for the treatment of hypertension today. In most cases, those who have made an important discovery are not entitled to harbor any conceit what- soever as to their intelligence. They are, however, privileged to experience the very real and lasting joy that comes with an unexpected discovery. KEY WORDS • historical article • angiotensins • kininase II D ow nloaded from http://ahajournals.org by on A pril 5, 2021 
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work_ogn3enzfqrdbvdp7hansqfstma	----	Europe’s Confused Transmutation: The Realignment of Moral Cartography in Juan de la Cosa’s Mappa Mundi (1500) James L. Smith **Published in European Review of History—Revue européenne d'histoire, 2014, Vol. 21, No. 6, 799–816, http://dx.doi.org/10.1080/13507486.2014.960813. This is a final pre-press version of the article without articles. For the final publishers‟ text and images, please follow the doi link above. Abstract Following the voyages of Christopher Columbus, John Cabot, Alonso de Ojeda and Amerigo Vespucci in the last decade of the fifteenth century, the New World of the Americas entered the cartographic and moral consciousness of Europe. In the 1500 mappa mundi of Juan de la Cosa, navigator and map-maker, we see Europe as a hybrid moral entity, a transitional blend of the medieval and the modern at the crossroads between two mappings of Europe. This paper argues that the Juan De la Cosa map represents a blurred transition between map- making traditions and a mixed moral rhetoric of European identity. The De la Cosa map operates across two sets of imagined axes: held horizontally, the map is set to a Ptolemaic grid with Europe straddling the prime meridian, and yet when held vertically it presents a medieval moral continuum in which the Americas occupy an ascendant position, a verdant new Jerusalem in contrast to the Babylon of the old world. Europe is both drawn to the centre of a new world order, and also pushed to the moral margins in an echo of the medieval mappa mundi still imperfectly resolved. Keywords: Europe; Cartography; Transformation; Identity; Intellectual History; Exploration. Introduction Gerard Delanty has argued that Europe is “an idea that has forever been in a process of invention and reinvention determined by the pressure of new collective identities.” 1 Shaped by transmutations in worldview and self-imagination, the malleable concept attached to a land mass and its people is formed by rhetoric, geographical imagination, culture, science, history 1 Delanty. Inventing Europe, 1-2. http://dx.doi.org/10.1080/13507486.2014.960813 and politics. Central or peripheral, heavenly or mundane, the European peninsula-continent described by Barry Cuncliffe as the “westerly excrescence of Asia” has ever been part of an elaborate dance of shifting cultural construction and reconstruction. 2 This article explores the specificities of this process at the hinge between European map- making and identity through the reading of the Juan De la Cosa mappa mundi (fig. 1). De la Cosa, creator of the map, was a Cantabrian sailor and navigator who accompanied Christopher Columbus on his first voyages in the final decade of the fifteenth century and Alonso de Ojeda on his voyages in the first decade of the sixteenth century. Luisa Martín- Merás has proposed that the map was created by De la Cosa for Archbishop Juan Rodríguez de Fonseca, courtier, royal chaplain to Queen Isabella of Castile and advisor to the royal couple. It is thought that De la Cosa may have created the map to impress the Catholic Monarchs, a lavish gift with both practical and political purposes. 3 Fonseca was placed in charge of Spanish New World ventures following the promising reports of Columbus‟ second voyage in 1493, and thus the map can be seen as a complex didactic object, imparting spiritual history and spiritual sense of purpose together with detailed cartography. The monarchs, we might infer, were being subtly educated and influenced by their spiritual advisor and de facto minister of colonial affairs in favour of New World expansion coloured by Spanish religious imagination. Until its 1832 purchase by Baron Walkenaer, the Dutch ambassador to Paris, the De la Cosa map was unknown in the history of cartography. Its discovery was a historically significant accident: the Baron, suspecting that he had discovered something unprecedented, purchased the map from a Parisian antiques dealer who was unaware of its true value. The renowned Alexander von Humboldt – geographer, naturalist and friend of the Baron – laboured for decades through publication and advocacy to make the map famous as one of the most significant representations of the Americas in the history of cartography. 4 In 1853, the map was put up for sale with Walkenaer‟s estate, and the Spanish admiralty was made aware of its significance by Ramon de la Sagra, an acquaintance of its former owner. 5 Since arriving at its current home, the Museo Naval of Madrid, the map has been studied in detail due to its novelty and innovation within the history of geography and map-making, and this genre of 2 Cuncliffe, Europe, vii. 3 Martín-Merás, “La Carta,” 79. See also Cervera Pery, “Juan de la Cosa,” for more information on De la Cosa. 4 Martín-Merás, “La Carta,” 82. 5 Martín-Merás, “La Carta,” 80. scholarship comprises the majority of the literature. 6 Many of the insights gleaned from these researches pertain to its provenance and age, a topic that continues to engender debate among scholars of the map. 7 The De la Cosa map is an artefact of great complexity and bears further scrutiny; it is an eyewitness account of the Americas, of the rhetoric of empire and daring nature of exploration that infuse early modern Iberian self-fashioning. 8 And yet despite the aspirations of the map at the time of its creation, it is also a product of medieval aesthetics and world knowledge. The task of this article is to establish the uneasy coexistence of these two forces: a medieval De la Cosa map and a modern De la Cosa map in a synthesis that appears uncomfortable to the modern eye; the map represents the assimilation of new discovery entangled with historical legacy. The methodology of this essay, deeply indebted to geography and intellectual history, frames an intellectual landscape in transition transposed upon a cartographic methodology in transition. The methodology of the article serves to highlight our modern insecurity regarding the difference between the „medieval‟ and the „early modern,‟ by failing to conform to our historiographical delineations. Before beginning, the notion of a „morality‟ within the map bears a little scrutiny. The map is „moral‟ for it implies a denigration and valorisation of the locations within its frame; the map puts forward an argument for what should be desired and what should be devalued, guiding behaviours and beliefs. It suggests actions, for it both proposes a better way of living, in dialogue with the New World, and reinforces the spiritual rectitude of an existing way of living, European Christianity. The map does not just chart the world, but the reference points for behaviour, and the links between loci in a moral world. Simply put, it is morality spatialised. The Europe, and the World, of the map are part of the history of ideas regarding the 6 For a summary of the map‟s recent history see Martín-Merás,“La Carta,” 82-84. For recent contributions from the history of cartography, see Paladini Cuadrado, “Contribución”; O‟Donnell ad De Estrada, El mapamundi; O‟Donnell and De Estrada, “La Carta”; Robles Macias, “Juan de la Cosa‟s Projection”; Silió Cervera, La carta; Terol Miller, “Evocación”. 7 The map bears the inscription “Juan de la Cosa made it in the Puerto de Santa Maria in the year 1500,” and yet the date of the map has been disputed among historians of cartography. George E. Nunn has argued that the map cannot be an original due to anachronistic features such as the insular depiction of Cuba, and must be a copy dating from approximately 1508. See Nunn, The Mappemonde. E. Roukema has more recently agreed with Nunn‟s argument that the map is a copy of a lost original, and yet places the terminus ad quem at 1504, with the possibility of an earlier date. See E. Roukema, “Some remarks,” 38. 8 Ricardo Padrón, The Spacious World, 3. morality of places, locations and spatial relationships, a blurred instant in an ever-moving spectrum. In a swiftly changing world in which traditional hierarchies are in a state of disruption, the map attempts to form new moral comparisons while clinging to old conventions. It is confusing because the moment it attempts to capture was neither medieval nor modern, an effort to present what Dennis Cosgrove had described as “creative, sometimes anxious … moments of coming into knowledge about the world.” 9 [Figure 1: The Juan de la Cosa Mappa Mundi, Museo Naval, Madrid.] [Figure 2: Europe and North Africa in the Juan de la Cosa Mappa Mundi, Museo Naval, Madrid.] The Hybridity of the Map Defying strict periodisation, the De la Cosa map is an artefact of self-fashioning in flux. It can be best described as a map depicting the world as understood by fifteenth-century historical cartography and religious doctrine, but with navigational tools from portolan charts such as rhumb lines superimposed upon the surface 10 ; it is a mappa mundi with modern accretion. 11 The West of the map is an addendum to the traditional view of world order; it differs in style, level of detail and even colour palette (see fig. 3). The map is both conceptual in a medieval sense – it distorts measurement in order to populate the surface of the world with stories – and practical in a modern sense. 12 Perceptions change across space and time, and precipitate a shift in matrices. 13 As Spain, and Europe as a whole, sought to find its way to places denied to it by nature – the words of Pedro de Medina in 1547 – one can see the shaping of a New World from pieces of the old. 14 The result is a map that is neither medieval nor early modern, 9 Dennis Cosgrove, “Introduction,” 2. 10 Rhumb lines (also known as lines of constant course or loxodromes) were ruled in networks upon a navigational chart while conserving a constant angle with the meridians. This allowed a navigator to set their bearing and proceed without changing direction as measured relative to true or magnetic north, allowing confident navigation without coastal reference and with a sense of scale. 11 Verlinden and Pérez Embid, Cristóbal Colón, 145. 12 Spaces exist within the orderly outlines of the continents that are, to quote Naomi Reed Kline, “abstract representations of the world not meant to help the viewer gauge distances in terms of actual travel.” See Reed Kline, Maps of Medieval Thought, 2-3. 13 Wintle, The Image of Europe, 4. 14 Padrón, The Spacious World, 13-14. but in transition: its ambiguity reminds us that all maps are in fact transitional. I propose that the map, despite its incorporations of scientific development and positivism, is a figurative entity, a non-verbal narrative of cultural reception and transition. 15 Through a contested attempt to define new shared identities, we see that Europe is an argument as much as it is an entity. In the space created by the De la Cosa map, a medieval notion of Christendom against the superlatives and negatives of the world transforms before our eyes into a new entity embedding its traditional Christian identity into a larger and ever more spatially complex world. The map demonstrates two forms of representation, corresponding to the dual moral axes introduced as a model for human spatial imagination by geographer Yi-Fu Tuan, the horizontal and the vertical: “Corresponding to this geometric bias towards the vertical and the temporal bias towards the cyclical (and eternal) is a special view of human nature – one which discerns a vertical dimension in the metaphorical sense. Human nature is polarized. Man plays two roles, the social – profane and the mystical – sacred, the one bound in time, the other transcending it.” 16 [Figure 3 – left justified, text wrap: The New World, including the Caribbean and the east coast of the Americas. The Juan de la Cosa Mappa Mundi, Museo Naval, Madrid.] The transformation witnessed within the map complicates what Tuan has described as an “axial transformation,” demonstrating both axes in a single map. Rather than representing a transformation between sides of a neat dichotomy, the map instead displays contesting vertical and horizontal imaginings. There is not one Europe, but many simultaneous Europes, at play within De la Cosa‟s depiction of the world; both axes exert influence. It is a product of an era still newly acquainted with Ptolemy‟s Geographia, enamoured of medieval mappae mundi, 17 and boldly advancing nautical navigation through a series of the increasingly sophisticated portolan navigational charts, a genre of maps though to have originated in either Genoa or Catalonia in the twelfth century. 18 To speak of a fixed image of Europe within the map-making traditions preceding and following the creation of the map would be to 15 Peters, Mapping Discord, 33. 16 Tuan, Topophilia, 129. 17 Edson, The World Map, 9. 18 For information on the origins of Portolan charts, see Brotton, Trading Territories, 104-118. immediately oversimplify the picture: it is a story filled with epistemic contradictions. 19 As Evelyn Edson has demonstrated in the case of the fifteenth-century sailor and cartographer Andrea Bianco, there existed several models for mapping the world long before the discovery of the Americas by Europeans. Juan de la Cosa merged these models together in a manner that demonstrates not only that parallel cartographic worldviews existed, but that they could coexist on the same map. The multiplicity of overlapping models, forged through what Evelyn Edson has termed “struggles between antique authority and contemporary experience,” is crystallised in all of its confusion within Juan de la Cosa‟s depiction of the world. 20 Bianco serves as an excellent example of the multiple overlapping world-views that appear within the hybrid identity of the De la Cosa arrangement. The model of Ptolemy‟s recently rediscovered Geographia and that of the more traditional mappa mundi both appear within Bianco‟s atlas. 21 A third navigational map from Bianco was written in the style of the portolan chart, a navigational map for pilots based on compass directions and estimated distances. 22 Bianco‟s 1436 tripartite view of mapmaking was both a coexistence of styles and an antagonism of styles, for all were valid. 23 As Christopher Wortham has discussed, the horizontal dimension of the map depicts a continuum from the West to the East, but when turned ninety degrees, it displays the familiar geography of Old World and New World. 24 The dual axes come about through a peculiar combination of traits: the map is a chart, rectangular and designed to be placed upon the surface of a table, to be viewed from all sides. One can imagine that Archbishop Fonseca would have presented this map to Ferdinand and Isabella in this fashion, as a chart to be perused. The text and feature images are aligned to the north, east and south edges of the map, readable and viewable to those standing on all sides (see fig. 1). As a result, medieval conventions continue to exert influence when the map is viewed in a medieval fashion, as an ascending continuum. One‟s shifting perspective of the map changes from vertical to 19 See Cosgrove, “Introduction,” 10. 20 Edson, The World Map, 233. 21 Edson, The World Map, 1. 22 Edson, The World Map, 6. 23 Like Bianco‟s mappa mundi, the De la Cosa map is filled with rich illustrations of Christian and Classical history, like Bianco‟s portolan chart, the map contains detailed compass roses and rhumb lines for navigation, like Bianco‟s Ptolemaic map, the map is laid out north to south and east to west, albeit with the characteristic Ptolemaic fan shape fitted to rectangular dimensions (see fig. 1 as oriented). Edson, The World Map, 7, 9. 24 Wortham, “Disorientation,” 183 horizontal as one circles the map, revealing its multiplicity. This is the manner in which the Museo Naval has chosen to display the map: as a chart within a glass-topped cabinet for all to circle and view from different perspectives. As this article will suggest, each perspective has unique connotations that exist simultaneously within the map. The De la Cosa map, poised as it is between cartographic paradigms, offers a valuable insight into a shifting European imagination of self and other in rapid transition. As the axes shift so too does the navel of the world, the “procreative link between earth and heaven.” 25 The Christendom of the Middle Ages has overcome its awkward relationship with Jerusalem, the centre of the mappa mundi, a religious heart that was lost to Christian control through the failure of Crusade and the fall of Constantinople: “… the T-0 map was a matter of considerable embarrassment to the Christian Pope, who could not, like his [equivalent authorities] in China and Islam, put his finger on the centre and say smugly, “There sit I at the shrine of our faith, in the midst of fellow believers.” 26 The term “T-O map,” also known as the orbis terrarum (circle of the lands) refers to the depiction, first found in the seventh-century Etymologies of Isidore of Seville, of the known world as a spherical zone divided by the lines of three major bodies of water into the continents of Asia, Africa and Europe. 27 In this vision of the world, myriad confusions of symbolic world order spring riotously from rapid shifts in the cartographic imagination. Europe is denigrated to inferiority in contradistinction to the Americas, and yet raised into ascendency as the centre of a new world order. [Figure 4 – left justified, text wrap: The Westminster Psalter mappa mundi, British Library Add. MS 28681, f. 9.] The 1265 Westminster Psalter mappa mundi is a prime example of the world that lingers within the De la Cosa map (see fig. 4). Through this colourful and artistically intricate representation of time and space through the medium of the world map, we apprehend a 25 Edgerton, “From Mental Matrix,” 10-12. 26 Edgerton, “From Mental Matrix,” 26. 27 For an image of the T-O, see the image of the Psalter map in figure 4. continuum stretching from Eden in the East to the pillars of Hercules in the West. 28 Europe resides as a moral entity within what we might term a moral ecology of cartographic elements, a world-system of interrelated entities, each suggesting a value judgement and a comparison to one or more other element in the schema. To read such a map is to view an embedded visual hierarchy that brings order to confusion, aiding the memory and interconnection of the world within the mind. 29 Fallen world and centre of civilisation, paradise of heavenly virtue and old world, Europe mutates through a series of superlative rises and degenerate falls that teach us a great deal about the plotting of spiritual space upon the map. It is part of a medieval tradition that Winfried Nöth describes a composition of hybrid conflicting features that provide the reader with “geo-, topo-, historio-, mythographic and theological orientation.” 30 Its internal clashes provide meaning on different levels, but never as a holistic message. The Psalter map, arranged as it is not from north to south but from east to west, generates a kind of moral gravity. Those things that are lofty, transcendent and superlative occupy the apex of the map – Christ in majesty, the Angels, the terrestrial paradise – and those things that belong to the lower order of things, fallen in time and similitude to God, have likewise “fallen” to the bottom of the map (see fig. 5). 31 This represented the vertical model, a term coined by Yi-Fu Tuan, as “more than a dimension in space” that “signifies transcendence and has affinity with a particular notion of time [...].” 32 The cartographic logic of a medieval mappa mundi such as the Psalter map places all things sacred and profane in a cosmological model in which space between the ends of the earth is conceived of as a kind of height rather than distance. Tuan describes this principle as follows: “To the man in the Middle Ages, absolute up and down made sense. The earth occupies the lowest place in the heavenly hierarchy: movement to it is downward movement… To look up at the towering medieval universe is like looking at a great 28 The map places superlative principles at its apex, and orders the map in a continuum from sacred to profane, beginning in Eden, moving through the East, past Jerusalem and ending with the West. 29 Reed Kline, Maps of Medieval Thought, 4. 30 Nöth. “Medieval Maps,” 352. 31 This is reinforced by the presence of dragons below the map, symbols of the Devil. 32 Tuan, Topophilia, 129. building…” 33 The Psalter map and those created with a similar shape and orientation – the Hereford map, for example, and the Ebstorf map – are entities of spatial hierarchy, visually narrating the abstract continuum between entities on a chain of being. They allow complex schemata of representation, but along a vertical axis stretching from divine apex to depths. In the domain of geography, the detail and accuracy of familiar locations such as the British Isles, Europe and the former Roman world demonstrate a deep familiarity with Christendom. And yet despite this detail, the west has descended to the bottom of the world, its low point. These elements, still at work within the De la Cosa map, continue to exert influence over the imagination of the world newly depicted on its surface. [Figure 5a-b – next to each other: The Eastern, or “high” extremity of the Psalter map (left) with Eden, and the Western, or “low” extremity of the map (right) with dragons. British Library Add. MS 28681, f. 9.] It is within the play of lines of power that we can clearly see the De la Cosa map as both a repository of medieval symbolic imagery, a displacement of medieval knowledge in a partial dissolution of imagery associated with a medieval worldview. Many medieval ideas survive, but take on new resonances in dialogue with newer models; the result of this process is hybridity as well as disunity and polysemy. The Europe depicted in the De la Cosa map, seemingly in a state of incomplete transformation from one place of focus in a world of spiritually powerful loci to the centre of a matrix of trade, is in fact possessed of a logic all of its own. Images of ships crossing the oceans and calling at myriad ports co-exist (uncomfortably) with monsters, marvels and figures from Scripture (see fig. 7). The former and the latter jostle for attention, and the incipient “desperate attempt at precision and monosemy” characteristic of modern maps is rendered all the more contrived when forced to share the surface of the map with the faded but myriad tropes of the medieval. 34 Evelyn Edson argues that such a map must inevitably transition into modernity, but only after many intermediate phases: 33 Tuan, Topophilia, 133-134. 34 Nöth, “Medieval Maps,” 353. “Could the virtues of the narrative mappa mundi be retained in the modern world? Monsters, alas, had to go, and Jerusalem moved from the centre of the world but only after a long, tortuous explanation.” 35 This explanation would suggest that the process was one of evolution, but the De la Cosa map reveals a process more subtle reception. As the centre shifts, the old continues to exert force, but at the expense of coherency: Wortham reminds us that in the depiction of space, “disorientation is accompanied by de-centring.” 36 Old bastions of centrality are dislocated and left to float, new centres appear. The medieval mappa mundi had demonstrated a powerful logic of centrality by placing not Europe, but Jerusalem, in the centre of power. Europe, despite being lavishly embellished with detail in most medieval maps, was of no special significance within the ordering of space. Unlike the cosmological maps of the Islamic or Chinese traditions, medieval Europe was peripheral in its own worldview, as Samuel Edgerton Jr. describes: “As we compare this early Christian map with other ideological diagrams like those from China and Islam, our first glance might deceive us into believing that each communicated the same message to its constituents. All three can be said to be “positional enhancing” in that their common designs, whether based on circle or square, concentrate the viewer's attention upon the centre. All three thus imply exclusive, inward-directed worldviews, each with its separate cult centre safely buffered within territories populated only by true believers.” 37 [Figure 6 – left justified, text wrap: Saint Christopher carrying the Infant Christ. Juan de la Cosa Mappa Mundi, Museo Naval, Madrid.] This claim holds true in a variety of maps. China sits at the heart of the world in the Liang Chou map of 1593, Mecca at the centre of the Ibn-Hawqal world map of c. 980. 38 Byzantine cartographical and geographical imagination played upon the popular Christian motifs of Eden and Jerusalem, but also came to construct a vision of Constantinople as an imperial 35 Edson, The World Map, 233. 36 Wortham, “Disorientation,” 183. 37 Edgerton, “From Mental Matrix,” 26. 38 Wintle, “Europe as Seen from the Outside,” 29-30, 33-34. centre, the nexus point between East and West. 39 The Europe of the mappa mundi was confined to an inferior zone of the moral spectrum. It was shifted to the edge of a circular known world (oikoumene), centred on the Holy Land, pushed to the peripheral by the dual forces of the vertical axis and the powerful influence of Jerusalem. There are older, more prestigious and more powerful forces at work within the history of Christendom. Written as they are across the entire temporal span of Creation and centred upon the Christian cradle of Zion, the Old and New Testaments place Europe in a peripheral role within the history of Christianity. The De la Cosa map demonstrates to modern observers that this view remains within the core makeup of early modern maps, just as medieval ideas defined the centuries following Columbus‟ voyages. Periodisation cannot capture these disruptions, but cartography can. The haunting of the De la Cosa map by medieval imagery corresponds to some of the overlapping ideologies of those who found themselves on the first voyages to the Americas. The map has been placed in a national, religious and scientific narrative of a golden age of geography illuminating the darkness of the Middle Ages, and yet it is itself part of a confused deployment of medievalism transposed over a burst of new knowledge. 40 Europe, as a moral construct within the broader collection of abstract entities that form a world-system, has long played a dance in the shifting of centres and peripheries visualised within the medium of the map. A corpus of influential antecedents dwells within the map, from marvels of the East to mappae mundi to iconography. In fancy or in true belief, the stubborn medievalism of De la Cosa‟s cartography reflects some of the romantic imaginings of the first voyage as recounted by Christopher Columbus in his narrative of the journey, also known as El Primer Viaje. In the case of Cuba, it is hard to see where the language of marvellous travel narratives so popular in the late Middle Ages ends, and observation of a landscape begins: 41 “Cuba emerged from [Columbus‟] stilted description not as a real place but as a literary locus amoenus [pleasant place], where nothing was described in detail but everything was of the sweetest and fairest and man is at one with the harmonies of 39 Angelov, “Asia and Europe,” 52-64. 40 Martín-Merás, “La Carta,” 71. 41 The passage below, for example, is redolent of paradisal imagery from such books as Odoric of Pordenone‟s Relatio or the Travels of Sir John Mandeville, both exemplars of a tradition thought to present a true account of the east up to and far beyond the last decade of the fifteenth century. nature. It was a superlative land which excelled the powers of tongue to relate or pen to record.” 42 The medievalist imagination of Columbus in the narration of the new world has been imbued into the map. The new world is verdant and green where the old is washed out and monochromatic, seeming to fade into the background (cf. figs. 2 and 3). This bright new Eden possesses an iconographic representation of Saint Christopher bearing the infant Christ (see fig. 6), a sign that Christian imagination, or perhaps the notoriously eccentric imagination of Columbus, has created a new vertical axis in the style of past mappae mundi. 43 [Figure 7: Kings, Dog-heads, and Blemmys in the Juan de la Cosa Mappa Mundi, Museo Naval, Madrid.] Europe retains its peripheral role as “vertically” inferior to the paradisal Americas, and yet moves to occupy the new navel position of the map, central and yet morally inferior. Or is it Europe that is now morally superior? The map seems to imagine an endlessly reversible moral axis stretching along the line of the equator. The Virgin and Infant Christ oversee it all within the frame of the “grand rose,” the ornamented compass nexus joining the Atlantic rhumb lines together and displaying the cardinal directions of the map (fig. 8). Cuba is paradise to the European, and Europe heaven to the native inhabitants of the Americas. In this account of an encounter between Columbus and a Cacique or Chief of Port Paix in Hispaniola, we see a rhetoric of European superiority being constructed side-by-side with the valorisation of the New World: “[Columbus] told [the Cacique] how he came from the monarchs of Castille, who were the greatest princes of the world. But… the other would only believe that the Spaniards came from heaven and that the realms of Castille were in heaven…” 44 The De la Cosa map visually represents this process, creating a reversible axis of moral gravity, creating a contested zone of superlatives based on a confusion and dissolution of 42 Fernández-Armesto, Columbus, 85. 43 See fig. 4, the Psalter map. Cf. the juxtaposition of paradise and world in the Psalter map, and the Old and New Worlds in fig. 1, the De la Cosa map. 44 Christopher Columbus, El Primer Viaje. As cited in Fernández-Armesto, Columbus, 87. medieval moralised cartography. Christopher Columbus, obsessed with the idea of Eden in the East far beyond De la Cosa and his contemporaries, even imagined access to the medieval Eden, a new glimpse of the ancient navel of the world: “I believe that if I were to sail beyond the Equator, I should find increasingly greater temperance in the climate and variation in the stars – though I do not suppose that it is possible to navigate there, where the world reaches its highest point, not for any many to approach, for I believe that there the earthly paradise is located, where no man may go, save by the grace of God.” 45 The map is not so literal, for it is no longer part of an intellectual world that truly believes, as Columbus did, in an Eden in the East. Its paradise is more of a new world valorisation coloured by medieval tropes, an Eden of spiritual possibility and Christian conversion. If we are to read the map as medieval, then we must see it not as a mappa mundi enabled and supported by the logic of the age in which it was created, but the recipient of a historical legacy which is engaged with self-consciously and unconsciously to narrate space, and yet never coalesces into a unitary worldview. It is already a historical affectation and yet displays no awareness of this fact, for the present that it depicts is steeped in this history. Just as the De la Cosa map depicts a lingering medieval moral geography, we cannot say that the modern ideas that the map is famous for initiating are anything more than inchoate. Lines are drawn across the map, and yet these lines are not the ordered grid of maps to come. In the section to follow, the cycle of influence and reception continues, transmitted through the De la Cosa map and into many divergent afterlives. [Figure 8 – left justified, text wrap: The Virgin and Child in the compass rose joining the Atlantic rhumb lines. Juan de la Cosa Mappa Mundi, Museo Naval, Madrid.] Europe’s Confused Transmutation Jeffrey Peters has argued that maps “demand a kind of forgetting on the part of those who use them,” and that “viewers of maps must forget what they know to be obvious,” for maps are an artificial form of representation. 46 In the case of Juan de la Cosa and his map this forgetting is 45 Columbus, El Primer Viaje. As cited in Fernández-Armesto, Columbus, 131. 46 Peters, Mapping Discord, 40. incomplete, for the status of “obvious” is contested; it is hard to imagine that this was a map able to be obviously true and thus transparent in function, for it has no unitary conventional logic and is thus appears to be eccentrically unique. The map makes an argument as to the true nature of the world and supplies rhetoric by its very structure, and yet this truth is bifurcated between medieval and modern ideas. The De la Cosa, in this light, is in a state of confusion rather than in that of true forgetting, an identity crisis: old things are remembered while new things partially displace them, distorting their meaning. The arrangement of the map can never fade into the background and present a transparent vision of the world, for it is the product of a moment in which nothing is obviously true. In a world only just beginning to think cartographically in a modern sense, the map marks the beginning of a new thought at the expense but not exclusion of its antecedent. 47 This would suggest that the medieval map died in the sixteenth century, as Evelyn Edson has proposed: “Eventually, as physical details began to accumulate about inland trade routes and geographical features [medieval imagery] needed to be moved out of the way. Possibly it was a matter of taste, as some sixteenth-century maps … continued to be beautifully illustrated.” 48 In this narrative, European rhetoric selectively begins to forget the medieval – except when it was pleasing to the eye or when it serves a political purpose – in favour of lines, names and coastlines, the vocabulary of colonialism. The De la Cosa map weakens this assertion, for it depicts not an end to medieval maps, but a lingering reception and reconfiguration. This is not a neat move from the obscurity of medieval maps to a world free of “disabling associations with religious belief,” but something more ambiguous. 49 The medieval haunts the map, bringing the notion of a clean break between historical epochs into doubt. By attempting to accurately reflect the present, the map reminds the modern viewer that shifts in worldview not sudden or neat, but always convoluted and confusing to those who live through it. The map depicts an initial reaction to the incorporation of the New World into the European imagination. With the discovery of the Americas came the beginning of a new European discourse of power concerned with the religious and technological valorisation of 47 Padrón, The Spacious World, 12. 48 Edson, The World Map, 1300-1492, 231-232. 49 See the discussion of the rhetorical narrative of map-making as idea of progress in Cosgrove, “Introduction,” 8. European rectitude paired with the superlative and yet Godless Eden of the Americas. 50 Europeans found themselves in a world that forced comparison with other peoples, and began to self-identify as “a positively valued construct, embodying superiority over the other continents in power, war, learning, the arts, culture, style, religion, and everything else.” 51 In the words of Pagden, “the shrinking of the frontiers [of Europe] in this way gradually forced upon the European consciousness a greater sense of the boundaries that lay between them and the rest of the world.” 52 The world was bigger, not only intellectually but cartographically. As Evelyn Edson puts is, “before America was discovered, there was a place to put it on the map.” 53 The map struggles to depict this, filling in the gaps with more comfortable tropes. Juan de la Cosa enshrined many novelties of the 1490s within his map. New lines divide its face, from the Tordesillas meridian to the West, through the prime meridian, to the Zaragoza antemeridian to the East. 54 The De la Cosa map depicts the “liña meridional” splitting the Americas in two vertically in adherence to the 1494 decision at Tordesillas that divided the map between the Iberian powers. 55 The roughly contemporary map created by Columbus or a member of his expedition is cruder and more inaccurate than that of De la Cosa, 56 suggesting that his map was compiled from De la Cosa‟s own observations rather than those of his patron. 57 The voyage of Vasco da Gama to Africa‟s east coast and India expanded the detail of the coastlines depicted in the map. The map was intended as a comprehensive summary of all knowledge about the discoveries of the 1490s in their entirety, and yet this does not define it. 58 The accurate mapping of the African coast and India by the Portuguese, the discoveries of Cabot, Columbus, and Ojeda in the Americas merged with the incomplete mass of those lands still 50 The early sixteenth century saw the growth of a representation of Europe as anthropomorphic queen of the world, as can be seen in the Johann Putsch Europa Regina map of 1537 and its successors, in which the continent of Europe is depicted as a monarch in full regalia, with Iberia as a crowned head, and the Italian and Danish peninsulas as arms. See Erben. “Anthropomorphe Europa-Karten des 16. Jahrhunderts,” esp. 101-111. 51 Wintle, The Image of Europe, 8. 52 Pagden, The Idea of Europe, 51. 53 Edson, The World Map, 227. 54 For a detailed discussion of the axes at work in the map, see Robles Macias, “Juan de la Cosa‟s Projection.” 55 Hossam Elkhadem et al., “Juan de La Cosa.” 56 McIntosh, The Piri Reis Map, 140. 57 The map is also thought to include mixed information from de la Cosa‟s later voyages with Alonso de Ojeda and Amerigo Vespucci. See Fernández-Armesto, Amerigo, 75. 58 See Martín-Merás‟ argument regarding the function of the map noted in footnote two. imperfectly understood. 59 The exact state of the map in cartographic history is captured in a distinct moment, a niche between discoveries. In 1499, for instance, Vespucci sought to match up the eastern extremity of the Indian Ocean coast with the new lands discovered in what was later understood to be the Caribbean and the east coasts of the Americas. 60 Vespucci‟s findings were not incorporated into the De la Cosa map: it has been “state of the art,” and yet this state had already been rapidly superseded. Although this dimension of the map‟s history is crucial to its meaning, the picture is larger. Despite the tendency to fit De la Cosa into what Jerry Brotton describes as “an increasingly objective and definitive account of the relations of points and features on the earth‟s surface to each other,” the map and its successors were possessed of diverse social uses beyond their role as protoscientific objects. 61 Perhaps the most profound afterlife of the map is found not in its history as part of a progress narrative, but as the crucible of a new plethora of registers in which divergent content – religious, cosmological, historical, factual, cartographic – could be divided for the manifold representation of Europe and its intellectual world. The period immediately following the moment of the Juan De la Cosa map witnessed the appearance of an emergent Europe as a clearly defined region firmly ensconced in the centre of a world-system, the spider at the middle of a growing colonial web. 62 In the years following the dawn of the sixteenth century, the level of detail of maps becomes ever more concentrated, and the last “vertical” representations of myth, history and Scripture disappear. The hybridity of the De la Cosa map is all the more remarkable for the sharp break of its descendants into new and divergent genres within a few short years. The De la Cosa map does little to obviously privilege the religious or the scientific. Just as Andrea Bianco saw different genres of map as serving different purposes in the fifteenth century, so too did his successors come to develop new genres of their own in the sixteenth. The navigational sea chart genre, to which the De la Cosa belongs, performed the dual function of displaying the confident symbolism of empire, and laying claim to newly discovered lands. 63 The world map genre – to which the De la Cosa also belongs – was steeped in the language of mystical power 59 The vagaries of the map are particularly obvious to the east, where the land beyond India dissolves into a mass of indistinct shapes, and in the New World, in which the scale and contours of the land-masses discovered is tenuous and highly stylised. 60 Fernández-Armesto, Amerigo, 75. 61 Brotton, Trading Territories, 18-19. 62 Delanty, Inventing Europe, 3. 63 Brotton, Trading Territories, 25. and authority, continued the language of Christian cosmology for the legitimation of royal power. Despite this narrative of European colonialism, the map reminds us that narratives of power are rarely clear-cut, and never simple. It would be easy to propose that the map depicts a Europe shifting from a position within a greater Christendom and state of ambiguous legitimacy to a firm centrepiece in a single world-system, as Edgerton has proposed: “Whether applied as the abstract direction system on a map, or the actual direction system of an urban site, or even the compositional system of a picture, the cartographic grid in the Renaissance was believed to exude moral power, as expressing nothing less than the will of the Almighty to bring all human beings to the worship of Christ under European cultural domination.” 64 The accurate plotting of space is an innovation and a practice in the geography of empire in equal measure, and yet this is not a simple narrative. The medieval religious models found haunting the De la Cosa map can be viewed in its descendants, the sixteenth-century maps that followed. Ptolemy gave shape to the religiously tinged expression of cosmology, Vespucci to the accurate depiction of the world as a navigable and plottable entity. These two forces were not mutually exclusive. The former fed into the latter, for Vespucci grew up in a Florence steeped in Ptolemy. 65 He entered the new world in 1499 with “a head already stuffed full of Ptolemy,” as Felipe Fernández-Armesto puts it. 66 The discoveries of Vespucci, married with the revived knowledge of Ptolemy, marked the sharp separation of map paradigms. The goal of the new cosmography, to quote Berlinghieri, was to show the earth from above so that “we may circle all or part of it, pilgrims through the colour of a flat parchment, around which the heavens and the stars revolve.” 67 Even once the medieval elements of cartography were supposedly purged, they continued to exert influence. By revealing an incomplete assimilation, the De la Cosa map makes the unclean lines of transition to follow more apparent. A staple of the sixteenth- and seventeenth-century rhetoric of European superiority and 64 Edgerton, “From Mental Matrix,” 12. 65 Giorgio Antonio Vespucci was known to have owned a personal copy of the 1482 Francesco Berlinghieri Geographia. Fernández-Armesto, Amerigo, 74. 66 Fernández-Armesto, Amerigo, 74. 67 Brotton, Trading Territories, 23, Empire, the science of cartography diverged from cosmography within the years following the De la Cosa map. As old genres merged and new genres were born, space was reconfigured in new forms from a De la Cosa template. The 1569 Mercator projection shaped and stretched the spherical globe to map “accurately” on a two-dimensional surface with intriguing effects that would be felt for centuries to come. 68 By stretching the map into a grid more fitting for navigation and thus creating “truth,” the projection distorts space for ease of traversal, and diminishes another crucial truth: “[…] Mercator‟s primary innovation in cartographic technology, it would seem, was to have developed a map where projection of the world is „true‟ – that is, useful – because it is explicitly „false,‟ whose primary characteristic is not its accuracy, but its readability.” 69 The De la Cosa map, as the birth of this process, echoes through the Mercator projection. The marriage of the rhumb lines it enshrines and the reconfiguration of the grid-like structure of Mercator merge to form a superior tool for navigation. 70 It represents the beginning of a process later realised in the Mercator projection: the creation of a larger-than-life Europe firmly ensconced in a position of power in the centre of a grid, a model to be used and abused for centuries to come. 71 It is within the Mercator projection, Michael Wintle has argued, that we see the birth of the Eurocentric cartographic image. The projection plays games with space, exaggerating the centrality and the relative size of Europe and squashing other lands into a peripheral role. 72 This model, later solidified within the Abraham Ortelius map of 1570, “created the ideal medium through which to endlessly mediate the countless voyages, travels, encounters, exchanges, and discoveries” of sixteenth-century geography. 73 The projection 68 The innovation of Gerardus Mercator was to allow the accurate plotting of rhumb lines with increased ease. By taking the distortion of a spherical Earth into account, the Mercator projection allowed rhumb lines that were straight and easy to plot and follow. This was a great boon for navigation, but greatly distorted the shape of the continents. 69 Peters, Mapping Discord, 39-40. 70 Monmonier, Rhumb Lines, 2. 71 See introduction, Monmonier, Rhumb Lines, esp. xi. 72 Wintle, “Europe as Seen from the Outside,” 23. 73 Brotton, Trading Territories, 175. gave rise to a greater ease of navigation, but may hide more sinister political motives. 74 Ricardo Padrón has argued that the Americas were invented through the carving of a slice from the natural world by Europeans. 75 If this is the case for the Americas, then the De la Cosa map can be seen as a world-wide entity stitched together from manifold excised natural entities and grafted upon a medieval frame. The scars remain for all to see: they are livid, unhealed, and visibly remind us of their origins. European scalpels, European results. Despite the precision of the operation to modern eyes, the De la Cosa map reminds us of its complexity. Conclusion Looking at Juan de la Cosa‟s mappa mundi with a modern eye, we are inclined to seek that which is familiar to us, to see the map as proto-modern with “inaccuracies.” This would be to impose a teleological narrative of progress upon maps with much more mutable and ambiguous identities; so too for the identity of Europe, ever in flux. 76 In this article, I have argued that the map we see before us, and the Europe within the map, dwells within a liminal space between medieval and early modern depictions of the world, and that this intermediate position teaches us a great deal about what it is for a map – and for a worldview – to be medieval or modern. More specifically, I have argued that the “moment” of the map demonstrates not linear progress, but the messy, hybrid, chaotic transformation that was in process at the time of its creation. When viewed as a navigational chart, the map is an incomplete manifestation of later trends. When viewed as a mappa mundi, the map is a moral continuum with a distinct “top” and “bottom.” It is neither, and is instead its own artefact: it is haunted by its past, and subsequently haunts its future. Within this shifting frame of reference, we see Europeans in the act of imagining Europe anew, and yet still possessed of a long-lasting view intrinsically associated with Delanty‟s medieval Christendom. It is a struggle for self-expression in a moment of doubt: is the new land discovered only years before truly the East? Can paradise be found within the navigable world? What is the relationship between New World and Old East? Is history or cosmology 74 Monmonier, Rhumb Lines, 173. 75 Padrón, The Spacious World, 19. 76 Brotton, Trading Territories, 19. more significant? Europe an intellectual entity within the De la Cosa map is not medieval or entirely modern, and casts doubt on the validity of such characterisations. It is both, and neither, a reflection of a world in a process of confused transmutation. Its imagination of Europe is an echo of the past, a vision of things to come and a hybrid construct with a logic all of its own. Europe, if we are to take inspiration from the De la Cosa map, will forever be shaped by past ideas of its moral valence and position. These ideas, part if its core identity, will continue to exert force upon the future, hybridised and adapted. History does not deal in neat periodicity, Europe eschews simple characterisation, and moments of realignment serve as invaluable insights into this messy truth. Bibliography Angelov, Dimiter. “„Asia and Europe Commonly Called East and West‟: Constantinople and Geographical Imagination in Byzantium.” In Imperial Geographies in Byzantine and Ottoman Space, ed. Sahar Bazzaz, Yota Batsaki, and Dimiter Angelov, 43-68. Cambridge, MA: Harvard University Press, 2013. Brotton, Jerry. Trading Territories: Mapping the Early Modern World. London: Reaktion Books, 1997. Cervera Pery, José. “Juan de la Cosa: el marino y el hombre.” In Juan de la Cosa: Ciclo de conferencias – Octubre 1999, 49-58. Madrid: Instituto de Historia y Cultura Naval, 2000. Cosgrove, Dennis. “Introduction: Mapping Meaning.” In Mappings, ed. Dennis Cosgrove, 1- 23. London: Reaktion Books, 1999. Cuncliffe, Barry. Europe Between the Oceans: 9000 BC – AD 1000. New Haven, CT: Yale University Press, 2011. Delanty, Gerard. Inventing Europe: Idea, Identity, Reality. Basingstoke: Palgrave Macmillan, 1995. Edgerton Jr, Samuel Y. “From Mental Matrix to Mappamundi to Christian Empire: The Heritage of Ptolemaic Cartography in the Renaissance.” In Art and Cartography: Six Historical Essays, ed. David Woodward, 10-50. Chicago: University of Chicago Press, 1987. Edson, Evelyn. The World Map, 1300-1492: The Persistence of Tradition and Transformation. Baltimore, MA: Johns Hopkins University Press, 2007. Elkhadem, Hossam et al. “Juan de La Cosa, parte correspondiente a la America de la carta general de Juan de La Cosa.” In Cartes de Amériques dans les collections de la Bibliothèque Royale Albert I er . Brussels: Bibliothèque Royale Albert I er , 1992. <http://www.kbr.be/america/fr/fr39.htm> Retrieved 15 February, 2013. Erben, Dietrich. “Anthropomorphe Europa-Karten des 16. Jahrhunderts: Medialität, Ikonographie und Formtypus.” In Herrschaft verorten: Politische Kartographie im Mittelalter und in der frühen Neuzeit, ed. Ingrid Baumgärtner and Martina Stercken, 99- 123. Zürich: Chronos, 2012. Fernández-Armesto, Felipe. Columbus. Oxford: Oxford University Press, 1991. ––––––. Amerigo: The Man who Gave his Name to America. London: Weidenfeld & Nicholson, 2006. Martín-Merás, Luisa. “La carta de Juan de la Cosa: Interpretación e historia.” Monte Buciero 4 (2000): 71-85. ––––––. “La carta de la Cosa en la historiografía.” In Juan de la Cosa: Ciclo de conferencias – Octubre 1999, 59-74. Madrid: Instituto de Historia y Cultura Naval, 2000. McIntosh, Gregory C. The Piri Reis Map of 1513. Athens, GA: University of Georgia Press, 2000. Monmonier, Mark. Rhumb Lines and Map Wars: A Social History of the Mercator Projection. Chicago, IL: University of Chicago Press, 2004. Nöth, Winfried. “Medieval Maps: Hybrid Ideographic and Geographic Sign Systems.” In Herrschaft verorten: Politische Kartographie im Mittelalter und in der frühen Neuzeit, ed. Ingrid Baumgärtner and Martina Stercken, 335-53. Zürich: Chronos, 2012. Nunn, Trevor. The Mappemonde of Juan de la Cosa: A Critical Investigation of its Date. Jenkintown: George H. Beans Library, 1934. O‟Donnell, Hugo and Duque de Estrada, El Mapamundi denominado ‘Carta de Juan de la Cosa’. Madrid: Gabinete de Bibliofilia, 1992. ––––––. “La carta de Juan de la Cosa: Tradición y originalidad en sus aspectos decorativos.” In Juan de la Cosa: Ciclo de conferencias – Octubre 1999, 75-87. Madrid: Instituto de Historia y Cultura Naval, 2000. Padrón, Ricardo. The Spacious World: Cartography, Literature, and Empire in Early Modern Spain. Chicago, IL: University of Chicago Press, 2004. Pagden, Anthony. The Idea of Europe from Antiquity to the European Union. Cambridge: Cambridge University Press, 2002. Paladini Cuadrado, Ángel. “Contribución al estudio de la carta de Juan de la Cosa.” Revista de Historia Naval 47 (1994): 45-54. Peters, Jeffrey N. Mapping Discord: Allegorical Cartography in Early Modern French Writing. Cranbury, NJ: Rosemont, 2004. Reed Kline, Naomi. Maps of Medieval Thought: The Hereford Paradigm. Woodbridge: Boydell Press, 2003. Robles Macias, Luis A. “Juan de la Cosa‟s Projection: A Fresh Analysis of the Earliest Preserved Map of the Americas.” MAGERT, ser. A, no 9 (2010). <http://purl.oclc.org/ coordinates/a9.htm> Roukema, E. “Some Remarks on the De la Cosa Map.” Imago Mundi 15, no. 1 (1959), 38-54. Silió Cervera, Fernando. La carta de Juan de la Cosa : Análisis cartográfico. Santander: Fundación Marcelino Botín, 1995. Terol Miller, Luis. “Evocación de Juan de la Cosa en el V centenario de su Mapamundi.” Castillos de España 117 (2000): 39-51. Tuan, Yi-Fu. Topophilia: A Study of Environmental Perception, Attitudes, and Values. Eaglewood Cliffs, NJ: Prentice-Hall, 1974. Verlinden, Charles and Florentino Pérez Embid, Cristóbal Colón y el descubrimiento de América. Madrid: Ediciones Rialp, 2006. Wintle, Michael. “Europe as Seen from the Outside: A Brief Visual Survey.” In Imagining Europe: Europe and European Civilisation As Seen from its Margins and by the Rest of the World, in the Nineteenth and Twentieth Centuries, ed. Michael Wintle, 23-50. Brussels: P.I.E. Peter Lang, 2008. ––––––. The Image of Europe: Visualizing Europe in Cartography and Iconography throughout the Ages. Cambridge: Cambridge University Press, 2009. Wortham, Christopher. “Disorientation: The Case of Othello.” In The Touch of The Real: Essays in Early Modern Culture, ed. Stephen Greenblatt, 177-201. Perth: University of Western Australia Press, 2002. 
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work_oo63noiobfatjogbeyllxlshba	----	TJ Hodgetts. Reiter's disease: an historical review of a soldiers' disease 1 R A rmy Med Corps 1990 : 136: 170-1 72 Reiter's disease: an historical review of a soldiers' disease Capt T J Hodgetts MB, BS, Dip IMC RCSIEd). RAMC Senior House Officer in Medicine Briti,~1t Military Hmpiral HannoJ)cr, Brili,I,1t Force~' ['osr Office 33 A Espinosa MD Assistant Insrirut fijr Medizinische In!ormatik , Medi z inische Hochschule Hannover SUMMARY: Major conflicts in history have yielded an equal number of medical casualties as those injured in battle, and no more common a problem exists in the insanitary conditions of war as dysentery. The complication of arthritis following dysentery has been documented since ancient times, but it is not until the 16th Ctmtury that these cases appear in an)' numbers, and then it is predominantly in military personnel. "'Reiter's Disease" is currently understood to mean an asymmetrical, predominantly lower-limb pol)'arthritis developing after urethritis (usually non-gonococcal) or d}'sentery; conjunctivitis is not always a constant feature. This is the commonest inflammatory polyarthropathy of young men and both the epidemic (dysenteric) and sporadic (venereal) forms arc historically prel'alent in soldiers - a not surprising fact considering the squalor of war and the unrestrained behaviour of the Private soldier. This paper traces the history of Reiter's disease and highlights its affinity for military populations. Introduction In 1916 Hans Conrad R~iter was 25 and serving with the First Hungarian Army on the Balkan front, On 14th October he was presented at the reserve hospital with a young Prussian Cavalry Lieutenant who had developed urethritis, arthritis ami conjunctivitis following a bout of bloody diarrhoea. This single case was published(l) , and despite his wrongly attributing it to a spirochaete - he called it "Spirochaetosis arthritica" (perhaps flushed with success from isolating the causative organism of Weil's disease in 1914)(2) - this collection of symptoms has come to be known as "Reiter's Disease". At the same time Fiessinger and Leroy reported four cases of urethritis , conjunctivitis and arthritis of the peripheral and spinal joints following an outbreak of bacillary dysentery in French troops on the Somrne(3,4). Cases were drawn from all Arms and Corps, including thirty regiments of infantry , along a twenty five kilometre frunt, To the French this is still the "Fiessinger-Leroy syndrome", History Arthritis is however as old as man - a fact borne out by paleopathological evide nce of destructive joint disease(5) , but the first written association of urethritis and arthritis may be attributed to the FatherofMedicine and ancient chronicler, Hippocrates of Cos (460-377 BC); within the " Corpus Hippocraticum " he notes that young men do not develop gout until they are sexually active , perhaps identifying an association between a sexually transmissible agent and arthritis(6). Some six centuries later, Caelius Aurelianus (noted for hi s description of coronary thrombosis and for his translation of the works of probably the first psychiatrist , Hans Conrad Reiler (1881 -1 969) Taken from "Das Reichsgesundheitsamt /933- 39 " Courtesy Springe r Verlag g u e st. P ro te cte d b y co p yrig h t. o n A p ril 5 , 2 0 2 1 b y h ttp ://m ilita ryh e a lth .b m j.co m / J R A rm y M e d C o rp s: first p u b lish e d a s 1 0 .1 1 3 6 /jra m c-1 3 6 -0 3 -1 2 o n 1 O cto b e r 1 9 9 0 . D o w n lo a d e d fro m http://militaryhealth.bmj.com/ T J Hodgetts Soranus of Ephesus )(7,8), detailed a case of arthritis following dysentery which he termed "Rheumatismus intestinalis cum' ulcere"(9), although like the records of other ancient writers this was an isolated account. A further sporadic case can be found in "De incerto, fallaci urinarum judicio" - observations on a collection of patients with genitourinary disease by Pieter van Foreest (alias Petrus Forestus). A university professor and dubbed "The Dutch Hippocrates", he described a patient with knee arthritis and urethritis in 1575. The first collection of documented "Reiter's" sufferers appears in a military context in 1664 in the published notes of Pierre Martiniere, Campaign Doctor , to Friedrich Ill, who noted the association of urethritis and arthritis while researching the "maladie venerienne" on an expedition to Denmark(lO). The Genoese explorer, Christopher Columbus (1451- 1505), has been blamed by medical historians for importing syphilis into the Old World, although this fact is certainly disputed. It has been suggested that part of his lengthy illness during the second voyage to the Caribbean (1493-96) could be a result of a reactive arthritis(11,12) - he had both arthritis and painful, red eyes. This is interesting when it is considered that the first apparent Northern European cases occur after Columbus' time: it is tempting to suggest that if the spirochaete could have been imported, then so could an agent responsible for Reiter's disease. By the middle of the 17th Century, dysentery appeared regularly in medical writings and along with it the recognised complication of arthritis - this is particularly true of Sydenham, Morton and Willis' description of the great dysentery epidemic of 1668-72. Military writers accurately describe outbreaks of dysentery in the Army(13) and the English fleet off Minorca(14), but not all authors recognised a connection with arthritis, urethritis or conjunctivitis. There is considerable information from the naval and army surgeons stationed in the Caribbean who studied and treated outbreaks of dysentery among negro slaves, the British garrison and the fleet. In the aftermath of a great hurricane that swept through the Jamaican fleet in 1804, James Trotter made frequent references to "dysuria dysenterica" in the ensuing dysentery epidemic(15). A few years later in England in 1818, Sir Benjamin • Collins Brodie (an Assistant Surgeon at St. George's Hospital) became aware of a disease" ... which as far as I know has not been described by any pathological or surgical writer". This was certainly the clearest, if not the first, description to date of the triad later ascribed to Reiter; he detailed five cases of recurrent large joint - arthritis(16) associated with urethritis and conjunctivitis, and included in his account a soldier in the Regiment of Life Guards forced to leave the Army as a result of a relapsing arthritis in his right knee. Dysentery has always been an adjunct and sequel to war. The war-pestilence of Athens during the 171 Peloponnesian War is mirrored in records of major conflicts from the 17th Century. The Crimean War (1854-56) is notorious for the appalling hardships endured by the troops and dysentery was rife, ranking with typhus and typhoid as major causes of mortality; it has been estimated that 9,500 were invalided from this war and 1,200 were due to "rheumatic disorders"(17). It is likely that a large proportion of these were secondary to a reactive arthritis, as this is undoubtedly one of the commonest inflammatory arthropathies of young men. Figures for admissions to the Regimental Hospitals in the Peninsula War forty years before also show a strong correlation between the incidence of dysentery (23,200 cases between December 1811 and June 1814) and rheumatism (4,900 cases over the same period). Little attention appears to have been paid to this relatively common sequel to dysentery in the soldier until Phi lip Manson-Bahr in 1920 collated reports from troops in India, Fiji and during the Egyptian and Palestine campaigns(18). Estimates of the incidence of reactive arthritis in these military populations ranged from 0 to 10%. He is quoted as saying ". . . it was bacillary dysentery and not the Turk that drove us out of Gallipoli", but unfortunately this is not corroborated with numbers of complications. Contemporary Evolution Hans Reiter continued his interest in the syndrome and retracted the spirochaetal theory a year later; through his influential appointments in the Nazi government (as President of the Health Department in Berlin and Professor of Hygiene at the University) he worked to apply better hygiene in the field(19). With the Second World War came renewed reports of Reiter's disease in epidemic proportions, closely related to outbreaks of dysentery. The first of these was in field troops in Poland in 1940(20). Later, across the Russian front with Finland in 1944, 344 cases were evacuated through the 56th War Hospital in Nokia(21). Some of these were mild and returned to their units fit for duty, others required prolonged rehabilitation and remained confined to a hospital for disabled servicemen until after the War. Ilmar Paranen agreed that "Most cases [of Reiter's disease] have appeared in wartime, when conditions have been particularly favourable for the spread of dysentery, but the opportunities for scientific study are also more limited than in times of peace" . More recently, nine cases developed after a Shigella epidemic aboard an American Naval vessel in June 1962 - this followed an anniversary picnic meal prepared by the ship's cooks, two of whom had contracted dysentery ashore(22). Epilogue It is clear that in war Reiter's disease may reach epidemic proportions in circumstances of overcrowding and squalor, where dysentery can readily spread. Although venereal disease is also common in war (in g u e st. P ro te cte d b y co p yrig h t. o n A p ril 5 , 2 0 2 1 b y h ttp ://m ilita ryh e a lth .b m j.co m / J R A rm y M e d C o rp s: first p u b lish e d a s 1 0 .1 1 3 6 /jra m c-1 3 6 -0 3 -1 2 o n 1 O cto b e r 1 9 9 0 . D o w n lo a d e d fro m http://militaryhealth.bmj.com/ 172 1944,4,000 British servicemen were treated for venereal disease in one month(23» it probably causes less wastage in men through reactive arthritis than does dysentery; it is the main cause, however, of sporadic cases of Reiter's disease in the peace-time soldier and this has been confirmed by Dutch and French studies(24,25). The early authors were astute enough to recognise the association between dysentery and arthritis, but there were no doubt many other swollen knees and painful heels on the battlefield, in whom previous dysentery or concomitant (and perhaps asymptomatic) urethritis had not been considered to be causal. It may be argued that some of these reports could equally represent a gonococcal arthritis or even inflammatory bowel disease associated arthritis; they should be judged in the light of the recognised Reiter's epidemics since the Great War. REFERENCES 1. RElTER. H Uber eine bisher unerkannte Spirochateninfektion. Dtsch med Wschr 1916; 42: 1535-6. 2. EDITORIAL. Hans Reiter - Reiter's syndrome. JAMA 1970; 211 (5): 821-2. 3. FiESSINGER N, LEROY E. Contribution a I'etude d'une epidemie de dysenterie dans la Somme. Soc mM Hop Paris 1916;40,2030-6. 4. OATES J K, MASON R M. Reiter's disease. Br Med J 1960; 241: 1878-80. 5. ZIVANOVIC S. Ancient diseases, the elements of paleopathology. London: Methuen, 1982. 6. KELLyM. Reiter's syndrome. Br Med J 1958; 236: 449. 7. SIEGEL R. Description of circulatory collapse and coronary thrombosis in the 5th Century A.D. by Caelius Aurelianus. AmJ Cardiol1961; 7: 427-31. 8. VEITH I. The infancy of psychiatry. Bull Menninger Clin 1964; 28: 186-97. Reiter's Disease 9. MANsoN-BAHR P. The Dysenteric Disorders. London: Cassell and Company, 1939. 10. COPEMANW. Textbook of Rheumatic Diseases. Edinburgh: Churchill Livingstone, 1978. 11. ALLISON DJ. Christopher Columbus: first case of Reiter's disease in the Old World? Lancet 1980; 8207: 1309. 12. OATES J K. Columbus: was it Reiter's disease? Lancet 1981;8211:94-95. 13. PRINGLE J. Observations on Diseases of the Army. London, 1765. 14. CLEGHORN G. Observations on Epidemical Diseases in Minorcafrom the year 1744 to 1749. London, 1779. 15. TROTTERJ. Medicina Nautica. London, 1804. 16. BRODIE B C. Pathological and Surgical Observations on Diseases of the Joints. London: Longman's, 1818. 17. CANTLIE, LIEUTENANT GENERAL SIR NEIL. A history of the Army Medical Department. Edinburgh: Churchill Livingstone, 1973: 2 Volumes. 18. MANsoN-BAHR P. The Commoner Complications of Bacillary Dysentery in Military Practice. Br Med J 1920; 160:791-2. 19. BAILEY H, BISHOP W J. Reiter's disease. Br J Vener Dis 1959;35: 101-110. 20. OTTO H. Die ruhr bei der Feldtruppe in Polen. Klin Wschr 1940;19(241):272-6. 21. PARONEN 1. Reiter's disease, a study of 344 cases observed in Finland. Acta Med Scand 1948--49; 131: suppl. 212. 22. HAHN B H, MASI A T. Epidemiologic considerations in Reiter's syndrome. John Hopkins MedJ 1968; 122 (6): 387- 9. 23. McLAUGHIN R. The Royal Army Medical Corps. London: Cooper, 1972. 24. LIONARONS R J, VAN ZOEREN M, VERHAGEN J N, LAMMERs H A. HLA-B27 associated reactive spondyloarthropathies in a Dutch military hospital. Ann Rheum Dis 1986; 45 (2): 141-3. 25. DOURY P, DECHELOTTE J, PATTIN S. Aspect actuel du syndrome de Fiessinger-Leroy-Reiter observes en millieu militaire. Rev Rhum Mal Osteoartic 1975; 42 Nos 7-9: 497- 503. g u e st. P ro te cte d b y co p yrig h t. o n A p ril 5 , 2 0 2 1 b y h ttp ://m ilita ryh e a lth .b m j.co m / J R A rm y M e d C o rp s: first p u b lish e d a s 1 0 .1 1 3 6 /jra m c-1 3 6 -0 3 -1 2 o n 1 O cto b e r 1 9 9 0 . D o w n lo a d e d fro m http://militaryhealth.bmj.com/ 
work_oougqlzivvfdhnysvcfuz7iy74	----	PAT334982.indd Fax +41 61 306 12 34 E-Mail karger@karger.ch www.karger.com Pathobiology 2012;79:228–238 DOI: 10.1159/000334982 Genetic Identification of Missing Persons: DNA Analysis of Human Remains and Compromised Samples M.J. Alvarez-Cubero a M. Saiz a L.J. Martinez-Gonzalez b J.C. Alvarez a A.J. Eisenberg c B. Budowle c J.A. Lorente a, b a Laboratory of Genetic Identification, Department of Legal Medicine and Toxicology, Medical Faculty, University of Granada, Granada , and b Pfizer-University of Granada-Junta de Andalucia, Center for Genomics and Oncological, and Biomedical Research Center, Armilla , Spain; c Institute of Applied Genetics, Department of Forensic and Investigative Genetics, University of North Texas Health Science Center, Fort Worth, Tex. , USA analytical processes and to develop policies to make human identity testing more effective. Indeed, DNA typing is inte- gral to resolving a number of serious criminal and civil con- cerns, such as solving missing person cases and identifying victims of mass disasters and children who may have been victims of human trafficking, and provides information for historical studies. As more refined capabilities are still re- quired, novel approaches are being sought, such as genetic testing by next-generation sequencing, mass spectrometry, chip arrays and pyrosequencing. Single nucleotide polymor- phisms offer the potential to analyze severely compromised biological samples, to determine the facial phenotype of de- composed human remains and to predict the bioancestry of individuals, a new focus in analyzing this type of markers. Copyright © 2012 S. Karger AG, Basel Introduction: Forensic Genetics and Challenging Samples Since the advent of forensic DNA analysis there have been two main objectives: (1) the identification of those who could be the source of biological evidence, which includes associations of individuals due to some alleged Key Words Bioancestry � Databases � DNA typing � Forensic genetics � Genetic identification � Missing persons Abstract Human identification has made great strides over the past 2 decades due to the advent of DNA typing. Forensic DNA typ- ing provides genetic data from a variety of materials and in- dividuals, and is applied to many important issues that con- front society. Part of the success of DNA typing is the gen- eration of DNA databases to help identify missing persons and to develop investigative leads to assist law enforcement. DNA databases house DNA profiles from convicted felons (and in some jurisdictions arrestees), forensic evidence, hu- man remains, and direct and family reference samples of missing persons. These databases are essential tools, which are becoming quite large (for example the US Database con- tains 10 million profiles). The scientific, governmental and private communities continue to work together to standard- ize genetic markers for more effective worldwide data shar- ing, to develop and validate robust DNA typing kits that con- tain the reagents necessary to type core identity genetic markers, to develop technologies that facilitate a number of Published online: June 21, 2012 Dr. M.J. Alvarez-Cubero Laboratory of Genetic Identification, Department of Legal Medicine and Toxicology Medical Faculty, University of Granada Avenida de Madrid 11, ES–18071 Granada (Spain) Tel. +34 958 249 950, E-Mail mjesusac   @   ugr.es © 2012 S. Karger AG, Basel 1015–2008/12/0795–0228$38.00/0 Accessible online at: www.karger.com/pat http://dx.doi.org/10.1159%2F000334982 Genetic Identification of Missing Persons Pathobiology 2012;79:228–238 229 kinship; and (2) to exclude individuals wrongly associ- ated with evidence. The generation of reliable genetic profiles from unknown and reference samples, system- atic and objective interpretation practices, and providing a statistical evaluation of the results are tantamount to a robust forensic DNA identification program. These cri- teria, seemingly obvious today, were envisioned 25 years ago by the forensic geneticists that developed this field. Moreover, the standards of practice used for forensic DNA typing are dramatically impacting in a positive way on the standards of criminalistics. Concepts and topics related to quality control and assurance, valida- tion, proficiency tests, documentation and statistical evaluation, for example, are being reconsidered by foren- sic scientists in other disciplines to improve quality and reliability of their areas of forensic science. A further dis- cussion on the direction of the forensic sciences can be found in the National Academy of Science Report ( Strengthening Forensic Science in the United States: A Path Forward [1] ). Because of the success of forensic genetics in the iden- tification of sources of biological evidence, developmen- tal and innovative progress continues with more expec- tations of assisting investigators. Future endeavors could include predicting the phenotype of an individual from a bloodstain or human remains, determining factors re- lated to cause of death, better capabilities to type severe- ly damaged biological evidence, typing fetal DNA from maternal circulating blood, and novel genetic markers for identity testing and bioancestry, for example. These amazing realistic potential applications were not too long ago the substance of science fiction. However, to- day efforts on the generation of large databases to develop investigative leads when there is no known suspect(s) and improving capabilities to extract genetic information from challenged samples are driving devel- opments in human DNA identity testing. These two ar- eas are of forensic, criminal relevance and directly im- pact on society, as well as historic interests in a number of situations. Large databases house DNA profiles from convicted felons (and in some jurisdictions arrestees), from forensic evidence, human remains, and direct and family refer- ence samples of missing persons. There is a demand for more typed samples to be placed in these databases to help develop more investigative leads for crime solving. This need has motivated the community (government, academia and industry) to work collaboratively to devel- op and validate standard DNA typing kits that contain the reagents necessary to type core identity genetic mark- ers and the concomitant automation of a number of pro- cesses (extraction, quantitation, amplification and to some degree interpretation of the results) to facilitate typ- ing. The ability, for example, to type a reference blood or buccal sample without extracting the DNA away from interfering compounds would not have been imagined possible a few years ago and yet today such technology is readily available [2, 3] . The standard genetic markers used in essentially every forensic DNA typing laboratory in the world are autoso- mal short tandem repeat (STR) loci [4, 5] . The standard operating procedures employ a set of 10–17 STR loci, which provide a high level of diversity and resolution for identity testing [6–8] . Commercially available kits, such as the AmpFℓSTR � Identifiler � PCR amplification kit (Applied Biosystems, Foster City, Calif., USA) or the PowerPlex � 16 system (Promega, Madison, Wisc., USA), enable analysis with high-quality materials and forensic samples. These kits, and STR loci, have been used exten- sively for the identification of human remains as well as in kinship cases, such as paternity testing and family re- constructions. While these STRs apply to the majority of biological evidence analyses, there are situations where autosomal STRs cannot yield sufficient information. Ev- idence, such as mixtures with a large amount of female DNA and a small amount of male DNA, and kinship cas- es where the reference sample derives from a relative sep- arated several generations from the individual of inter- est require other markers, e.g. Y-STRs, X-chromosome- linked markers or mitochondrial DNA (mtDNA). These lineage-based systems provide additional power because of their unique biological qualities compared with auto- somal markers. Additionally, when performing familial searching, i.e. searching for relatives of the true source of the sample, these lineage markers are extremely useful for reducing the number of adventitious associations in can- didate lists. mtDNA sequencing is used to strengthen the genetic evidence when there are maternal relatives avail- able to serve as references [9] . mtDNA, inherited through the maternal line, has a special property that makes it particularly useful for samples that are severely degraded and/or of limited quality, such as human remains in miss- ing persons and mass disaster cases. There are hundreds to thousands of mtDNA molecules in a cell compared to only two copies of nuclear autosomal genetic markers [10] . Thus, when STR typing does not yield a result, there still is a good chance to obtain a result via mtDNA typing. In the following sections, the application of DNA analysis will be described in different areas where the common issue is the association of individuals via kinship analyses Alvarez-Cubero   /Saiz   /Martinez-Gonzalez   / Alvarez   /Eisenberg   /Budowle   /Lorente   Pathobiology 2012;79:228–238230 either for identifying human remains, combating human trafficking or historical studies. These approaches gener- ally share the process of indirect genetic comparisons to determine the identity of an individual and often the samples are compromised. The examples used are based on our own experience in developing and establishing missing persons’ databases [in Spain and in the US, the so-called FENIX and the Missing Persons Program at the University of North Texas (UNT) Center for Human Identification (CHI), respectively], missing children identification, which is embodied by the DNA-PROKIDS (Program for Kids Identification with DNA Systems) program, and attempts to identify persons of historical interest. Identification of Missing Persons Strategies for the Identification of Missing Persons The identification of human remains belonging to missing persons is one of the main challenges for forensic genetics. These identifications are a universal problem. When other human identification forensic techniques (e.g. dactyloscopy, anthropology, odontology and medi- co-legal examinations) provide limited information, or to support further or refute potential associations, DNA typing can be extremely valuable. DNA, in theory, can be recovered essentially from any tissue (e.g. soft, de- graded tissues, bones, teeth and hairs). In addition, be- cause close relatives on average share more genetic vari- ants than unrelated individuals, relatives can provide reference samples to effect identifications of unknown individuals or their remains or, at least, to develop poten- tial investigative leads for law enforcement. Lastly, DNA analysis can be a powerful exculpatory tool eliminating wrongly associated individuals, reducing candidates and redirecting resources to more viable avenues of investi- gation. The Spanish Phoenix Program (Programa FENIX) In November 1998, the Spanish Ministry of the Inte- rior decided to support an initiative from the University of Granada that was presented to the Guardia Civil to implement a National Program to attempt to identify ca- davers and bones from missing persons. The program was named ‘Phoenix Program’ (Programa Fénix, in Span- ish) based on its purpose with the name derived from classic Greek mythology. The Phoenix program contains two independent da- tabases (the questioned database , containing STR profiles and mtDNA sequences from bones, and the reference da- tabase , containing STR profiles and mtDNA sequences from relatives). The databases house genetic data that can be compared automatically to associate matching or re- lated profiles, such as those from unknown remains and reference samples from relatives [11, 12] . The general procedure is shown in figure 1 . Only per- sons signing a valid informed consent protocol are al- lowed to participate in the program and provide reference samples. People that have reported missing relatives are requested to contact the Phoenix Program by calling a toll-free telephone number. For those who voluntarily provide reference samples, two buccal swabs are ob- tained. A minimum of 2 and a maximum of 4 relatives (when available) can be sampled. All samples are bar cod- ed and subsequent genetic data are coded to maintain confidentiality and reduce the misuse of genetic data. For questioned database samples, typically 2–4 fragments of at least 25 g of compact bone and/or teeth from non-iden- tified cadavers and human remains are provided by trained specialists of the Guardia Civil. Autosomal STRs and mtDNA analyses are routinely performed. In cases requiring additional information, such as when a maternal reference sample is not available, Y-chromosome STRs can be included. STR typing is fa- cilitated due to the advent of multiplex commercial kits that provide the necessary reagents to type up to 15 STRs and a gender determination maker known as amelo- genin. These kits are the PowerPlex16 kit (Promega) and the Identifiler kit (Life Technologies-Applied Biosys- tems). Nowadays, there is an improvement in the Identi- filer kit (Identifiler Plus kit) and PowerPlex kit (Power- Plex 16 HS) which allows for better data recovery from degraded samples and a greater sensitivity of detection. Since these kits or variations of these kits are used world- wide, there is a high likelihood that any forensic or refer- ence sample that is typed by a forensic laboratory will contain common genetic markers. Therefore, genetic re- sults can be readily compared regardless of the country or laboratory that generates or maintains the data. For mtDNA analysis, DNA from 1 buccal swab from 2 maternally related individuals per case is extracted and sequenced for the 2 most informative regions of the mtD- NA genome. The regions are the hypervariable region 1 (HV1) and hypervariable region 2 (HV2) of the control region or d-loop of the mtDNA genome. To date, 1 3,700 families have contacted Phoenix, 862 have enrolled in the program and at least 319 unidentified remains have so far been identified and returned to their relatives. When mtDNA and/or STR associations are Genetic Identification of Missing Persons Pathobiology 2012;79:228–238 231 found, a second independent analysis is performed as part of the quality assurance process. Nationally and internationally compatible protocols leading to the identification of human remains or skele- tons ideally will require the use of databases that meet four basic prerequisites, as follows: (1) Analyses have to be based on standard operating protocols and universally accepted genetic markers. (2) Results must be reliable (laboratories and tech- niques are subjected to quality assurance and quality control programs). (3) The technology should be amenable to automation, to facilitate the typing of the anticipated large volume of samples and to allow intra- and international searches and comparisons. (4) The data provide little or no personal or confiden- tial information about the individual(s). Proper use of the database according to national laws, dissociation of data, restricted access, informed consent from voluntary do- nors and court orders to handle human remains are among some of the requirements of Spanish database management. The Phoenix program is using DNA to develop asso- ciations between relatives of missing persons and uniden- tified cadavers or human remains of previously unsolved cases. Once an association is found, anthropologists, odontologists, specialists in forensic medicine and law enforcement officers work together to establish a final, positive identification and prepare a report for the Court (http://www.guardiacivil.es/prensa/actividades/fenix/ presentacion.jsp). The US Missing Persons Program In the US, the Federal Bureau of Investigation (FBI) facilitates similar databases of missing persons and un- identified human remains, the NMPDD (National Miss- ing Person DNA Database) Program. The database con- tains three indexes in which DNA profiles can be entered: biological relatives of missing persons , unidentified human remains and missing persons . There are only a handful of qualified laboratories in the US that have full capabilities to analyze missing person cases. The capabilities include typing the full battery of genetic markers, i.e. autosomal STRs, Y-chromosome STRs and mtDNA (http://www. f bi.gov/about-us/lab/dna-nuclear). Nowadays, in the US, a total of 4,285 families have re- ported missing relatives whereas only 3,461 unidentified human remains have been found. The largest program of missing person identification in the US, however, is in the State of Texas. The Texas Questioned samples (non-identified corpses and human remains) Reference samples (relatives: voluntary) (1) Judicial petition (2) Exhumation or autopsy samples (3) Laboratory: genetic identification (1) Contact FENIX Program (900150759) (2) Inform the relatives (3) Collaboration of the relatives: • Informed consent • Voluntarily (4) Collect saliva samples (5) Laboratory: genetic identification Reference database Questioned database Comparison Matching nuclear DNA and/or mtDNA and/or Ychr DNA (1) Anthropologic and odontologic data (2) Other forensic data of interest (3) Police reports Final report - Court - Relatives Data eliminated from the database Fig. 1. Identification of corpses and human remains in the Phoenix program. Ychr = Y chromosome. Alvarez-Cubero   /Saiz   /Martinez-Gonzalez   / Alvarez   /Eisenberg   /Budowle   /Lorente   Pathobiology 2012;79:228–238232 Missing Persons DNA Database was established in 2001 at the UNTHSC. UNTHSC in collaboration with law en- forcement offers families with missing loved ones the op- portunity to submit reference samples for DNA testing. The laboratory is one of only a few facilities that inte- grates nuclear DNA and mtDNA for analyses. Once DNA profiles are obtained, they are directly entered into the FBI Combined DNA Index System plus Mito (CODIS+ mito) database. The database began accepting samples from Texas law enforcement agencies in March 2003. Texas was the first state in the country with a missing person DNA database capable of analyzing both mitochondrial and STR sys- tems and is the first state to participate in the federal da- tabase for missing persons (the Federal Bureau of Inves- tigation’s CODIS). The database provides a very power- ful tool for investigators trying to locate missing persons or identify remains by allowing federal, state and local crime laboratories to electronically exchange and com- pare DNA profiles. The DNA analysis provided by the Texas missing person DNA database is at no charge to law enforcement agencies or families with missing mem- bers. The UNTHSC in Fort Worth, Tex., USA, is home of the UNTCHI DNA laboratory established in 2001. In collaboration with law enforcement agencies, medical examiners and coroners throughout the nation, the UNTCHI has established one of the largest missing person programs in existence. The program offers the families of missing loved ones the opportunity to submit reference samples for DNA testing. The laboratory is one of only a few facilities that integrates the analysis of nu- clear DNA and mtDNA. UNTCHI incorporates the use of the FBI CODIS+mito database to locate missing per- sons and identify human remains. The database operates at a local (LDIS), state (SDIS) and national level (NDIS). Texas was the first state in the country with a missing person DNA database. UNTCHI services are performed at no charge and have expanded to a national level. To date, UNTCHI has completed the analysis of 7,792 fam- ily reference samples, 3,461 unidentified human remains and 182 direct reference samples. Once completed, these profiles must meet eligibility requirements in order to be uploaded to the next level of CODIS. Of the eligible com- pleted samples, a total of 5,300 family reference samples, 2,450 unidentified human remains and 140 direct refer- ence samples have been entered into the local CODIS da- tabase. Currently, UNTCHI has made 700 associations through the use of CODIS. Missing Children Identification Children Trafficking and Exploitation Children, the most innocent individuals of society who should be protected to the best of our abilities, can be subjected to many abuses. One of those abuses is hu- man trafficking, an apparently lucrative criminal activi- ty. According to UNICEF, ‘an estimated 300 million chil- dren worldwide are subjected to violence, exploitation and abuse including the worst forms of child labor in communities, schools and institutions; during armed conf lict; and to harmful practices such as female genital mutilation/cutting and child marriage’. Figures from the United States only begin to demonstrate the magnitude of the missing children problem within a country. Ap- proximately 800,000 children are reported missing each year. Of these, approximately 360,000 are runaways, 340,000 are classified as ‘missing with benign explana- tion’, and about 100,000 are abducted either by family members or other known individuals or are lost and/or injured [13] . While these figures are disturbing, they re- late to mostly domestic situations and do not represent the greater international problem where children are il- legally sold for often malevolent purposes. We must ensure that children are treated humanely and in keeping with national and international stan- dards. In an effort to combat human trafficking and es- pecially to protect children (and women), the United Na- tions (UN) launched the UN-Global Initiative to Fight Human Trafficking (UN.GIFT) in March 2007 (http:// www.unodc.org/). Such initiatives demonstrate that gov- ernments recognize the problem of human trafficking is substantial and steps must be taken to eradicate this vic- timization of children. However, there are several obsta- cles to combating human trafficking. International agreements and policies must be in place to track, iden- tify, communicate and share data, as well as interdict per- petrators and help victims. Worldwide political and legal coordination plays a crucial role, but the legal and social difficulties that exist for access and disclosure among countries substantially slow the progress of implement- ing a comprehensive and effective counter-trafficking system. Scientists have the technology tools to assist in the identification of missing persons and yet may not be able to apply them in the international endeavor to fight hu- man trafficking. The use of different genetic markers and/or incompatible software would obstruct this effort, which is especially troubling when children are victims. Indeed, genetic testing capabilities for identification are Genetic Identification of Missing Persons Pathobiology 2012;79:228–238 233 readily available and implementation may seem trivial compared with overcoming legal infrastructure barriers and addressing privacy concerns. Because legal infra- structures will be slow to develop it is important that the construction of the technical infrastructure should pro- ceed in preparation for the implementation of an appro- priate international legal framework. This will facilitate efforts in thwarting human trafficking, once the policies for sharing data are addressed adequately. One technical area sufficiently developed for implementation is the use of the molecular biology analytical tools (i.e. DNA test- ing) and databases for the identification of missing chil- dren. The DNA-PROKIDS Program: DNA to Fight Crime on Children Because of the importance of the children trafficking problem and based on our experience with the Phoenix Program [14] and those at the UNTHSC and the UNTH- SC Center for Human Identification (UNTHSCCHI), we have launched DNA-PROKIDS located at the University of Granada and in collaboration with UNTHSCCHI. The Program is an international effort to help identify missing children, provide support to their relatives and to contrib- ute to efforts against human trafficking. This non-prof- it program is supported by the Spanish Government, the Andalusian Government and donations from pri- vate companies and foundations (BBVA, Banco San- tander, CajaGranada-BMN and Life Technologies). DNA- PROKIDS is composed of three tiers. The first tier is at the National level with two genetic databases or indices per country. One index is for DNA profiles (and meta data) obtained from children who, after proper investigation, are found in an illegal situation (e.g. not living with the natural family due to abduction, kidnapping, illegal adop- tion or other criminal situations). The other index com- prises DNA profiles (and meta data) voluntarily provided by relatives (parents, sibs and other meaningful family members, and whenever possible obtaining mothers) or from personal items of reported missing children ( fig. 2 ). The DNA profiles in these two indices will be compared routinely to assist in identifying missing children initially within their own countries. DNA-PROKIDS first tier pi- lot programs are in effect in Guatemala and Mexico. Ad- ditional efforts are currently underway in Brazil and Chi- na. It would be highly desirable to coordinate these ef- forts. Without coordination it is feasible and somewhat tragic that systems may be developed which are incapable of data exchange because of the use of non-overlapping genetic markers or incompatible software, or both. The power of identity testing and database searching will be most effective if DNA analysis is performed in ev- ery single case of a child being given to adoption. Fur- thermore, when possible, the mother (or other available biological relatives) should also be tested to confirm her relationship to the child and therefore right to relinquish the child. Implementation of this act alone would reduce crimes related to children, where the children are given to adoption not by their biological families, but after kid- napping or abduction. The second tier is at an International level. This will allow the development of the infrastructure required to share data among countries through various existing ap- proved links and networks as well as through the estab- lishment of new, specific links. International cooperation requires decisions on many issues, including a common set of DNA markers to enable genetic data sharing; the meta data that should be collected; the information that can be shared; legal and privacy issues that need to be met to share data, and the development of sufficient sustain- able financial support to establish such programs in var- ious countries. The third tier is focused on data generation. There will be a universal automatic, mandatory inclusion (with sig- natory countries) in the database of (1) any reported child found out of his/her family (without legitimate reasons); (2) children who are going to be adopted (and before any adoption can be made it will be necessary to confirm that the child has not been reported as missing anywhere in the world), and (3) the immediate inclusion of voluntary relatives of missing children. DNA-PROKIDS makes use of the same robust DNA typing methods used for forensic casework and those de- scribed above for missing person identification. These markers are extensively validated, and substantial data exist that support their utility. In addition to STRs and mtDNA, single nucleotide polymorphisms (SNPs) are particularly suited for a program like DNA-PROKIDS [15–18] . SNPs are genetic variants that are the result of substitutions or insertions/deletions at one or a few bases in the genome. They occur at about 1 SNP/1,000 bp in the human genome and account for approximately 85% of human genomic variation. Millions of SNPs have been identified and a subset of these is suitable for identity test- ing. They would help to increase the probability or likeli- hood ratio in cases of positive associations, and also to overcome problems related to mutation that could occur more so with STRs and mtDNA. The application and usefulness of DNA identity test- ing are already well documented. To date, DNA- Alvarez-Cubero   /Saiz   /Martinez-Gonzalez   / Alvarez   /Eisenberg   /Budowle   /Lorente   Pathobiology 2012;79:228–238234 PROKIDS participating countries have analyzed over 2,500 cases (basically from Mexico, Guatemala, El Salva- dor, Paraguay, Peru, Bolivia in Latin America, and the Philippines, Thailand, Indonesia and India in Asia). DNA analyses first and subsequent application of ac- companying meta data have already helped to identify 1 330 missing children, who have been returned to their families. If not for this intervention, it is likely these chil- dren would have been given or sold into illegal adop- tions, would still be under exploitation or would have died without identification. Additionally, their respec- tive families would still be suffering the loss of their chil- dren. Beyond the identification of these children and re- turning them to their families, the database could play a deterrent role. Efforts that increase the size of the data- base and facilitate communication among countries, such as is encountered with various criminal investiga- tions through INTERPOL, may make criminals more reluctant to commit these heinous crimes on children (trafficking, exploitation and illegal adoptions) because at least authorities will more likely be able to identify and apprehend perpetrators. If these programs were enacted, the ability to immedi- ately identify reported missing children would not only permit returning them to their families, but also would begin to compromise criminal network operations. More operational data and updated information can be found at www.dna-prokids.org . Historical Cases and DNA Identification There have been a number of historical individuals whose identity of putative remains have been confirmed or questioned by DNA typing. These include Tsar Nicho- las, St. Birgitta, Napoleon, or African-American descen- dants of Thomas Jefferson’s line, for example. Typically, mtDNA and Y-STRs, and at times autosomal STRs, play important roles in historical analyses. We have had the opportunity to participate in a num- ber of historical identifications in Spain. In 1994, a set of remains thought to be those of Queen Blanca I of Navar- ra were found in a church in the village of Santa María de Nieva, province of Segovia, Spain, where it is known that she died on April 3rd, 1441. The anthropological analysis Fig. 2. Extraction kit of DNA-PROKIDS. Genetic Identification of Missing Persons Pathobiology 2012;79:228–238 235 did tentatively conclude that the remains could be the ones of Queen Blanca, but because of the data and chang- es to different graves, DNA analysis was requested. Ac- cording to historians and experts, the Regional Govern- ment of Navarra (northern Spain) decided that the refer- ence for DNA analysis should be the Prince Carlos of Viana, the son of Queen Blanca. It is also known that the Prince of Viana was buried at the Monastery of Poblet, in the province of Tarragona, Spain. When we proceeded with the exhumation of Prince Carlos, the remains inside the coffin were found to belong to at least 3 different individuals based on skeletal mor- phology. This observation had a historical explanation. Poblet’s monastery had been assaulted and its tombs des- ecrated a number of times during the XIXth century. mtDNA analysis performed on the putative remains of Queen Blanca and his son Prince Carlos [around 1994 and 1995 – at the University of Granada and at the Pennsylva- nia State University (Dr. Mark Stoneking and Dr. Anne Stone) – did confirm the initial findings. The coffin of the Prince of Viana contained at least 3 persons. Furthermore, none of the mtDNA sequences obtained from the remains that could have been the ones from the Prince matched the sequence generated from the remains who are thought to be the ones of Queen Blanca [unpubl. results]. Therefore, DNA analysis could not resolve the authen- ticity of the remains of the Queen. They did support, however, that the remains in Poblet are not likely those of Prince Carlos. Studies are on the way to find an appropri- ate reference sample. The process is a very difficult one because most of the reference samples belong to kings, queens and other members of royal families, and permis- sion for sample access is often hard to obtain. The second project where our teams have been in- volved is in the identification of the remains of Christo- pher Columbus, who died in 1506 in Valladolid (north- western Spain). His bones reportedly were moved to Se- ville (Spain) in 1509 and then from Seville to Santo Domingo (Dominican Republic) in 1544; in 1795 from Santo Domingo to Havana (Cuba), and finally, in 1898, the remains of Columbus (or what it was thought to be the remains of Columbus) were sent back to Spain, and buried at the Cathedral of Seville. Because the remains were subjected to 4 different transfers and because of some historical doubt regarding the authenticity of the remains buried in Seville, a group of historians led by Mr. Marcial Castro initiated a project (still under development) to first try to determine if the remains in Seville are the ones of Columbus. Second, he sought to undertake a study on the Y chromosome to de- termine objectively the origins of Columbus. It is widely accepted that Columbus was an Italian sailor, but some historians propose that he was of Spanish or Portuguese nationality. On June 3rd, 2003, the purported remains of Christo- pher Columbus and those from his son Hernando Co- lumbus (Cristóbal Colón and Hernando Colon in Span- ish, respectively) were exhumed in the Cathedral of Se- ville in Spain, and moved to the Department of Legal Medicine of the University of Granada. Prior to receiving the alleged Columbus bones (September 2002), the re- mains of the brother of Christopher Columbus, Diego Columbus, had been exhumed from its grave in Santi- ponce, a village close to Seville ( fig. 3 ). DNA analysis was performed in parallel by teams of the Universities of Barcelona, Santiago and Granada (Spain), Univeristy of Tor Vergata (Italy) and the Max Planck Institute for Evolutionary Anthropology. The consensus results showed a match in the sequence of mtDNA analysis of the remains of Diego Columbus with the ones thought to be of his brother, Christopher Colum- bus. Although the anthropological analysis was very lim- ited because of the size and degradation of the remains, the analysis also supported that the remains could be those of Columbus. Nevertheless, it must be mentioned that the set of re- mains buried in Seville and identified as the ones from Columbus are just a part, probably no more than 30–40% of the whole remains that could arise from 1 person. It is therefore logical to consider that the remains claimed to be that of Christopher Columbus and buried in Santo Do- mingo, Dominican Republic, could also be from the Ad- miral and conqueror. DNA analysis should be authorized by Dominican authorities and is pending on the samples from the Dominican Republic. Regarding the origins of Columbus, we have per- formed a study on Y chromosomes from people named ‘Columbus’ in Northern Italy (the regions of Liguria and Lombardy), and people named ‘Colom’ in the regions of Catalunya, Baleares and Valencia (Spain) and also some ‘Colom’ living in the Mediterranean French coast. The conclusion of this study [19] shows that the Y chromo- some from Italian Colombo men was more diverse than the Iberian Colom ones. In Italy, the Colombo surname arose many different times. Genetic and lineage diversity were greater in Lombardy (probably because the name used to be given to orphans and foundlings in Milan) and less pronounced in Liguria and Piedmont. This suggests that Columbus may be of Catalan descent. Alvarez-Cubero   /Saiz   /Martinez-Gonzalez   / Alvarez   /Eisenberg   /Budowle   /Lorente   Pathobiology 2012;79:228–238236 Additionally, this study shows that Colombo and Co- lom are two distinct surnames with no clear genealogical connection with local origins in Italy and Spain. How- ever, Colombo is more frequent in Italy (where it is actu- ally the most frequent surname in Lombardy) than Co- lom in Spain, and thus the number of Italian samples studied might not be equally representative. Since neither the Y-chromosome DNA of the remains of Christopher Columbus nor of his son Hernando has yet been ana- lyzed, no conclusions regarding the origins of Columbus have been proffered by us. In principle, other sets of markers can be used to at- tribute an individual to a population, and, given the vast number of markers, autosomal SNP arrays could be used. But the close similarity of the Catalan and North Italian general populations, as well as the poor suitability of this type of marker for ancient samples should be taken into consideration. For this reason, assessing and assigning the Columbus origin will be complex. Future Needs and Developments in Forensic DNA Analysis Human remains are exposed to a myriad of environ- mental challenges, as occurs with all forensic biological evidence. The result is that samples can be limited in quantity, degraded and contain contaminants that affect the ability to type DNA samples. The often compromised samples that are encountered in missing person identifi- cation are bones, teeth and hair, as well as poorly pre- served corpses, such as those found in water, buried or burned. It is very challenging, if not impossible, to extract genetic information from severely compromised DNA samples. To expand DNA typing capabilities on such challeng- ing samples, efforts are underway to extract more DNA from these materials, repair damaged DNA to generate more viable templates, improve PCR conditions to over- come troubling stochastic effects and develop alternate protocols for enhancing the sensitivity of detection. Un- derstanding the mechanism of degradation processes can provide insight into avenues for repairing DNA. Current- ly, attempts to repair DNA have come primarily from the ancient DNA arena where there is a greater chance that the bases in the DNA have been chemically altered. Ad- ditionally, New England Biolabs has produced a kit for repairing DNA that is being evaluated by our laboratories [20] . As mentioned above, the standard operating pro- cedures employ a set of STRs, as well as Y STRs and mtDNA. mtDNA typing is invaluable to missing person identifications, but it is a laborious, costly and time-con- suming process. New technology exploiting electrospray Fig. 3. Bone remains of Christopher Co- lombus relatives. Genetic Identification of Missing Persons Pathobiology 2012;79:228–238 237 ionization mass spectrometry with the PLEX-ID system (Abbott) enables automated, high-throughput mtDNA analysis [21] . A power of discrimination, approaching that of Sanger’s sequencing, is achieved but with reduced costs. In addition, some of the vagaries of mtDNA se- quencing, such as the inability to analyze heteroplasmic regions and mixtures, are overcome with the PLEX-ID [21] . While the autosomal and lineage markers provide a high level of diversity and resolution for identity testing, severely compromised samples may not contain suffi- ciently long enough template molecules to yield results with the current format kits. Therefore, alternate genetic markers that may be more applicable to much degraded DNA are being sought. SNP variation is restricted to a small site of the genome. Thus, the amplicon generated that captures the SNP can be smaller in size than those generated for STRs. Because it is feasible to reduce the amplicon size for SNP typing to only 60–80 bp in length [22] , much more degraded DNA samples can be typed than with the mainstay STRs. A single SNP is not as in- formative as a single STR locus; most SNPs are bi-allelic. However, technology exists to multiplex a large number of SNPs to obtain identity testing power equivalent to that afforded by using multiplex STR kits. The SNPs can be divided into five classes [23–25] based on their application: (1) Identity-Testing SNPs , which are those that have the desired features of high heterozygosity and low population heterogeneity [26, 27] ; (2) Lineage-Informative SNPs , which are sets of tight- ly linked SNPs that function as haplotype markers, or as pseudo-STRs, and are particularly useful for kinship analyses [28] ; (3) Ancestry-Informative SNPs , which are SNPs that differ substantially in frequency in population groups and can be used to reconstruct an individual’s biogeographical ancestry; (4) Phenotype-Informative SNPs , which are SNPs that can be used to directly recon- struct an individual’s phenotypic characteristics, such as skin, hair and eye pigmentation, height and facial fea- tures [29] , and (5) Pharmacogenetic SNPs , which are SNPs that can be used to determine cause and manner of death based on an individual’s genetic predisposition to triggering risk events. The forensic DNA field is inves- tigating these markers, and we fully expect SNPs to be an important part of the forensic DNA repertoire in the not too distant future. Lastly, the capabilities of next-generation (or actually better termed current-generation) sequencing have im- proved and costs have dropped dramatically. The ex- amination of large parts of the genome will make inter- pretation of difficult mixtures easier and will facilitate research to identify the next generation of forensic markers. Already whole genome sequencing has been shown to be effective for microbial forensic investiga- tions [30] . However, with these more-resolving and greater-depth tools, there is a concomitant gathering of private or personal data. Serious thought should be giv- en to the degree of information that should be typed and/or disclosed. 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work_ospdl4c7ovgj3emgn3b7cvc3j4	----	Interdisciplinary Description of Complex Systems 18(2-A), 72-84, 2020 *Corresponding author, : dsalamon@agr.hr; -; *Faculty of Agriculture, Svetošimunska cesta 25, HR – 10 000 Zagreb, Croatia DOMESTICATED MEGAFAUNA OF AMERICAS: NEEDS, POSSIBILITIES AND RESULTS Dragica Šalamon*, Luana Velagić, Bernard Kuhar and Alen Džidić University of Zagreb – Faculty of Agriculture Zagreb, Croatia DOI: 10.7906/indecs.18.2.1 Review article Received: 15 May 2019. Accepted: 25 February 2020. ABSTRACT The article aims to determine why so few domestic animals originated in American domestication centres. The knowledge has been gathered from interdisciplinary sources taking into account recent archaeogenomic and spatial analysis research. The process of domestication is described, and different domestication centres are compared to the domestication needs and opportunities on the American continents. Human colonization of the American continent is considered. Important domestication centres on the North and South American continent are described. Dogs that colonized the American continents together with people and horses that arrived during the European colonization are also considered. The analysis of the American megafauna that lived on the continent during the first colonization of Homo sapiens showed that the big extinction occurred due to climate change and overhunting. Comparing the evolutionary process of domestication between Afro-Eurasia and America we found that there was no intentional domestication in areas peripheral to the original domestication centres in the Americas. Also, diversification of the domesticated animal purpose in the Americas is limited to dogs. KEY WORDS North America, South America, domestication, animals, megafauna CLASSIFICATION JEL: N50 mailto:dsalamon@agr.hr Domesticated megafauna of Americas: needs, possibilities and results 73 INTRODUCTION Anatomically modern human (Homo sapiens) evolved in Africa around 300 000 years ago [1]. Approximately 60 000 years ago some groups started leaving Africa and ‘conquering’ the rest of the world [2]. At that time humans used primitive tools against much larger predators than those we know today, expanding from the original habitat due to climate changes and the population growth in search for prey animals and gathering food. Pleistocene, known as ‘The Ice Age’, lasted from around 2 588 000 to 11 700 years ago. During that time Earth endured some of the biggest changes since its formation, which defined the world we know today. Looking at all the challenges an early human had to face we could say that it is an impressive achievement that in less than 50 000 years he managed to spread all over the world, even reaching America at earliest around 14 600 years ago [3, 4]. There are indications for dog assisted mammoth hunt as far as 16 200 years ago in Yakutia during the settling of northeast Asia [5]. When raw strength was not enough, early humans depended on their brain and intelligence, unknowingly changing the world around them, making better use of their environment. Today, it is known that people settled America using the ‘Bering Strait’, a narrow sea passage that connects Siberia with Alaska, which was covered with ice, therefore walkable during Pleistocene [4, 6]. However, people did not manage that feat on their own: they were followed by early domesticated dogs over the harsh cold Arctic, where hunting of the large prey such as mammoth, bison, wooly rhinoceros, musk-ox or wild horse, was the only feeding option with no gathering possible because of the climate [5, 7, 8]. Looking through all of the human history, domestication was one of the first things that really separated anatomically modern man from other animals and other Hominidae species, and was crucial for development of material culture (for example: horse and crops) through the development of agriculture [9-11]. Today we still do not know if the early human managed to tame a wolf and create, from this predator species, what is today known as ‘man’s best friend’ on his own; or if the wolf basically domesticated himself with cohabitation and later commensalism and/or friendship with humans [12, 13]. The aim of this article is answering the question why the two American continents contributed so little to megafaunal domestication in comparison with Afro-Eurasia. To provide this answer (i) overview of domestication needs, capabilities and opportunities in North and South America is given from the start of human colonization of the continents to the time of the European invasion; (ii) animal species domesticated in America are examined; and (iii) the possibilities for domestication that America possessed are critically reviewed. DISSCUSION DOMESTICATION The definitions and comparative timelines are provided in this section in order to provide an overview of domestication process in North and South America and discuss the results of historical megafaunal domestication in comparison with Afro-Eurasian domestication centers. In the Encyclopedia Britannica [14] domestication was defined: “Domestication is the process of hereditary reorganization of wild animals and plants into domestic and cultivated forms according to the interests of people.” Martin and Sauerborn [15] elaborated that not every animal or plant can be domesticated [16]. To endure domestication an animal must abide by certain principles: (i) feed easy to obtain; (ii) short generation interval; (iii) no nasty disposition; (iv) willing to breed in captivity; (v) willing to follow hierarchy; (vi) does not panic in captivity. The first and haphazard domestication of the dog in north Asia and the first crop domestication in the Fertile Crescent are at least 2 000 years apart, and even more time separates the second domesticated animal (sheep), from the domesticated dog. However, all D. Šalamon, L. Velagić, B. Kuhar and A. Džidić 74 three of these cases share the same unintentional process of the domestication according to Zeder [17]. If we focus on animal domestication as an authentic evolutionary process in its own right, it can be said that the commensal way and the way of domestication of the prey were important initial pathways of domestication starting in the Neolithic, but the most of the animal species were domesticated intentionally in the period starting from the Iron Age until the recent few centuries [10]. Aimed and intentional domestication of animals geographically happened peripherally to the first domestication centers (Equus africanus asinus (Linnaeus, 1758), Camelus dromedarius (Linnaeus, 1758), Camelus bactrianus (Linnaeus, 1758), Numida meleagris (Linnaeus, 1758)) and is contemporary with the first intentional introgressive caption cases during the Iron Age that can be the cause of the artificial inflation of the count of independent domestication cases in certain species [18]. Providing animals for efficient transport coincides with the times of the expansion of agriculture into new areas starting at the end of the Bronze Age with domestication of the dromedary [10]. Besides for cats and dogs, and perhaps pig, the unintentional and initial commensal way could have been the domestication pathway for the guinea pigs in southern Peru and Bolivia [17]. The pathway of the domestication of the prey animals includes the motive of more reasonable resource management and starts with the sheep, goat and cow about 10 500 BCE in the sedentary societies and somewhat later for other bovine species further south and in the nomadic cultures of the European and Asian north (Rangifer tarandus (Linnaeus, 1758) and Equus f. caballus (Linnaeus, 1758)) [10, 19]. Starting with 6 000 – 5 000 BCE the same pathway of domestication was used for llama (Lama glama (Linnaeus, 1758)), alpaca (Vicugna pacos (Linnaeus, 1758)), turkey (Meleagris gallopavo (Linnaeus, 1758)) and muscovy duck (Cairina moschata (Linnaeus, 1758)) [10, 20, 21]. Little research is available on the insects and fish domestication on the American continents [22, 23]. Later onset of domestication is the characteristic of the American domestication centers, due to the timing of the first settlement of the continents. In the light of the global pattern of the domestication the characteristics of the domestication process of large animals in the Americas never reached beyond the prey pathway of domestication. Domestication of animals in Americas remained geographically limited to domestication centers with no diversification of purpose or aimed domestication typical for domestication of the end of Bronze Age and the Iron Age in Afro-Eurasia. It is important to notice that exactly this characteristic of domestication peripheral to early domestication centers at the end of Bronze Age in Afro-Eurasia enabled more of the wild species to be domesticated (donkeys, dromedary and Bactrian camels). Coincidently, the American cultures and civilizations did not reach the iron smelting technologies that are contemporary with the aimed domestication in Afro-Eurasia, until the contact with the European civilizations. GEOGRAPHICAL SETTING In this section we assess the possibilities for domestication that America possessed geographically in comparison with Afro-Eurasia. Animal domestication happened in almost every part of the world (Table 1.) and changed the world biosphere in the recent 11 500 years, the size of human populations and the human evolution [10]. Due to the geography North America and eastern Brazil did not have any domesticated animals, as was the case with the Mediterranean and the North-central China domestication centers [24]. The Afro-Eurasion domestication centers were better connected, therefore the trading of cultures and knowledge was made possible. Migrations and sharing of information happened through all human history over Afro-Eurasia. It can be seen that in the Iron Age in Afro-Eurasia a lot of domesticated large species were used for migrations, trading, and war over far distances, which in turn helped spreading cultures and other domesticated species over the continents [9, 10, 17, 25]. Although the horse was domesticated before this period [26] probably as a mean of control of the wild herds of horses, morphologically this domestic species has changed notably between 5 500 BCE and 4 000 BCE, and after that Domesticated megafauna of Americas: needs, possibilities and results 75 period it is notably used for trade transport, warfare (with the development of a cart) and milking [27]. In the Americas the only beasts of burden at that time are widespread dogs, and the llama in the limited geographical area. Moreover, llama was never used as a plough animal. Geographical feature of the continents enables the trade and the transfer of the domesticated species over the temperate zone. The temperate zone spans over the east-west direction of the Afro-Eurasian setting of the domestication centers and enables additionally for the tamed animals to change the culture where they were used, and therefore the invention of new purposes and techniques of their use [28]. On the other hand, north-south span of the American continents forces the humans to adapt to different climate and biotic zones traveling over that direction. The Inca, versed in agriculture, did manage the giant feat of gaining reign and control of the vast area of the western south-American coast, with colonies in the Mesoamerica, while the non-agricultural cultures of the North America (such as the Inuit or the Kickapoo) did not. There was exchange of some of the animals over different American cultures, the dog was present almost everywhere, however, the llama and alpaca were not. Most American cultures did not really know of each other’s existence, or they did not exist at the same time. By the time Aztecs appeared Mayan civilization was already gone or falling apart, having collapsed somewhere between 750 AD and 900 AD. Inca and Aztec civilization did exist at the same time but it seems they never shared any information or even knew of each other’s existence [29]. Additionally, the conquering dominating cultures treasured their domesticated food sources and did not provide them freely for their conquered subordinates. Table 1. Animals domesticated in different domestication centers. Numbers represent thousands of years before present as the latest time by which domestication occurred [10, 34]. American continents Africa Europe Asia Mesoamerica and South America East Africa, South Arabia Mediterranean East Asia South Asia Southwest Asia (Middle east and Egypt) Llama 6-4 Cattle – cow (taurine) 8,5-6,5 Dog 15 Cattle – zebu (indicine) 8-6,5 Pig 10,3-9 Alpaca 5-3 Donkey 5,5–3,5 Pig 8,5-6 Water buffalo 6-4,5 Sheep 11 Guinea pig 5-4 Honey Bee 3,5 [30] Rabbit 2 [31] Horse 5,5-4 Goat 10,5-8 Muscovy duck 4-2 Camel (Dromedary) 3 Silkworm 5,5 Cattle – cow (taurine) 10,3-8 Turkey 2 Guineafowl 1,5 Yak 10-7 Cat 9,5-4 Ni-in? Llaveia axin axin [23] Camel (Bactrian) 4,5 Pigeon 5-3 [32] Stingless bee 2 [22] Chicken 4 Goose 3 [33] Duck 1 D. Šalamon, L. Velagić, B. Kuhar and A. Džidić 76 AMERICAN MEGAFAUNA It is disputable that the places that were more abundant in animal species naturally had more domesticated animals. Besides the abundance of animal species, the type of the animals must be taken into consideration together with the general geography and human needs and capabilities at that time. To provide an overview of biological domestication opportunities in this section we discuss the wild American megafauna. Although there are different definitions [35], terrestrial zoology considers megafauna to be any animal weighting more than 45,3 kilograms [36]. The biggest North American terrestrial megafauna specimen today is bison, weighting up to 1 ton [37]. South America today is more abundant in small land animals, biggest land mammal is tapir, which weighs up to 250 kilograms [38]. The biggest American mammals alive today are dwarfed in size by the extinct species. Approximately 97 out of 150 American megafauna species went extinct at the end of Pleistocene, about 10 000 years ago [39]. Apparently, during the time of domestication on American continents not many animals could meet the required predispositions for domestication. Since the wild megafauna of European continent was shared with North American to a certain extent, and North American with South America, we would expect that there were some animal species able to endure the domestication process present at all these spaces. Four main theories are used to explain the first human related American extinction of megafauna: (i) humans hunted them to extinction; (ii) climate change; (iii) spread of new diseases; (iv) asteroid hit. It is important to note that these theories are not mutually exclusive [40]. American continent was not an isolated case of big animal extinction, in general, closely followed by the appearance of Homo sapiens [11], for instance: Australian extinction 50 000 BCE, Solomon Islands 30 000 BCE, Cyprus 9 000 BCE, Antilles 6 000 BCE, Madagascar 2 000 BCE, New Zealand 800 BCE, Commander Islands 250 BCE. The Pleistocene is characterized by a succession of colder and warmer periods, the glacial– interglacial cycles. Before the end of Pleistocene ice sheets spread and covered up to 30 % of total Earth surface, making the migrations possible. Before the temperature change, at the end of Pleistocene, yearly temperatures were 5-10 °C lower on average than they are nowadays. Because of the lower temperatures, the air was drier and precipitation much less frequent. Animals living at the time adapted and thrived up until about 11 000 years ago when the climate started changing and when humans arrived at the continent. Temporal proximity of the initial human immigration to North America and the rapid climate change of Younger Dryas cover the same 5 000-year window. Due to inefficient statistical methods used up until the Emery-Wetherell, McHorse, and Davis [41], who used a fine-scale geospatial approach in combination with meticulously pruned dataset of 95 megafaunal last-appearance and 75 human first-appearance radiocarbon dates to evaluate the North American megafaunal extinction, the efforts to identify the ultimate extinction cause gave contradictory results among researchers. Their spatially explicit approach resulted in rejecting the hypotheses of continent-wide extinction considering the blitzkrieg hypotheses, man carried disease, Clovis technology, and uniform climate change. However, the blitzkrieg or intensification hypotheses, a combination of climate and human influences, or a climatically driven extinction with large-scale refugia and environmental buffers that delayed extinction in several areas were not rejected. Emery-Wetherell et al. [41] found that the last appearances of megafauna in North America and their overlap with human populations were highly regional in nature. Megafauna had last appearances in Alaska before humans first appeared, consistent with climate as a primary driver, but human influence cannot be excluded from all regions. The Great Lakes regions and Mexico have a delayed last-appearance events with long overlap, but the reason for this refugia is not explained. Domesticated megafauna of Americas: needs, possibilities and results 77 Emery-Wetherell et al. [41] incorporated an abundance of proboscidean fossils (Mammuthus (Brookes, 1828) and Mammut (Blumenbach, 1799)) in the last-appearance data. Three elephant species (mastodons) lived on the continent [42] best known is the wholly mammoth. This situation may have arisen because of their easy identification or possibly reflect the predicted staying power [43] of proboscideans against overhunting. Species of the genus Equus (Linnaeus, 1758), and order Artiodactyla (Owen, 1848) were grouped in their work to assess possible differences of the extinction trends. North America was also home to different Camelid species-Camelops (Leidy, 1854), close relative of the domesticated camelids of South America and the ‘Old world’ Bactrian camel, which were domesticated 2 500 BC in Northeast Afghanistan or southwestern Turkestan and were most important as animals of burden, but also as a source of milk and meat in Eastern Asia. Other animals that could have possibly endured domestication are few extinct Bovidae species: Bison antiqus (Leidy, 1854) and Bison occidentalis (Lucas, 1898), Bootherium bombifrons (Harlan, 1825), Euceratherium (Furlong & Sinclair, 1904), and were not included in the research of Emery- Wetherell et al. [41] since they had later extinction dates [44]. American wild bison has never been domesticated, due to wild and ungovernable temper [16]. South America was home to the giant sloth, who fed on avocado fruit with the seed which enabled the plants reproduction [45]. Besides the only domesticated megafauna of America lama (Lama glama (Linnaeus, 1758)) derived from guanaco (Lama guanicoe (Müller, 1776)) and alpaca (Vicugna pacos (Linnaeus, 1758)) derived from vicuna (Vicugna vicugna (Molina, 1782)), South America was home to specific animals such as Macrauchenia (Owen , 1838), Doedicurus (Burmeister 1874), Glyptodon (Owen, 1839), and Toxodon (Owen, 1839). Elephants also lived here, most notably the Stegomastodon (Pohlig, 1912) and Cuvieronius (Osborn, 1923). Horse genus Hippidion (Owen, 1869) was present until approximately 8 000 years ago. THE NEED FOR ANIMALS OF DIFFERENT PURPOSE The need for domestication, intention and purpose are demonstrated in this section taking account of North and South America, sedentary and nomadic cultures. The only domesticated animals that North American Indians kept were dogs. Dogs were not originally domesticated in America (even though the precise origin of dog is still unknown) [46-48]. The first dog breeds made the life in northernmost parts of America possible by hunting, carrying cargo, dragging sleds, which made migration possible, providing warmth, medicine (dog urine), and sometimes food for people [49]. Dogs were so important to the Inuit that they only ate them in time of the greatest starvation, when dogs and people would die anyways [50]. As was the case in the Siberian Arctic, cold environment provided mostly prey, with short period during the year for gathering berries or plant material for making fire, which is indicative in the Abenaki word ` Esquimantsic’ denoting the ones eating raw meat. North America with temperate climate, further south (along the Wabash River), was area where dogs were much more often used as food. This was the area of the hunter-gatherer and fishing tribes with far more opportunity for gathering, and the area where nomadic life was not burdened by domestication or agriculture. Noteworthy are the Kickapoo Indians of the American southwest, who reared dogs in a ceremonial way, aside from the “regular” way for the company and dogs used for migrations and ate dog meat for ceremonial purposes [51]. One of the more interesting dog breeds that originated in North America is the ‘Salish wool dog’. These dogs were selected for white hair that was used for clothes and was sheared. With arrival of Europeans and introduction of sheep to America these dogs went extinct [52]. D. Šalamon, L. Velagić, B. Kuhar and A. Džidić 78 Despite the fact it was colonized the last, South America was also home to some of the most important American civilizations. Like Central American Olmec and Maya civilizations, South America was also home to arguably the oldest (Norte Chico) and the biggest (Inca) civilizations [53]. Southern American Indians were well versed in agriculture and animal domestication. They kept dogs, mostly used as a food source or just for general company. Well known today is ‘Inca Orchid’ breed which despite the name is older than the Inca civilization. Poultry was also an important aspect of their life. ‘Mocha’ culture of the Meso-America domesticated muscovy duck (Cairina moschata (Linnaeus, 1758)) and used it as early as 50 BCE. Apart from the obvious food source aspect, Muscovy ducks were kept as ‘pest control’. They love feeding on fly and mosquito larva, which is very useful in the jungles where these animals are abundant [17]. Aside from ducks, guinea pigs (Cavia porcellus (Linnaeus, 1758)) were also a useful domesticated food source. Used in settlements at the earliest at around 900 BCE in the Altiplano region of Bolivia and south Peru [54], guinea pigs proved to be very easy to keep and they reproduced rapidly. Unfortunately, due to their small and fragile remains in the zone where dogs were also kept it is possible that more detailed archaeological and genetic investigation of their early domestication in the period long before the Inca is impaired. Due to their nutritional value they remained one of the most important South American food sources even today. Only after spreading to Europe guinea pigs gained the ‘pet’ status that we are familiar with today [54]. The biggest domesticated animals of American continents are llama and alpaca, domesticated by the Inca civilization around 4 000 BCE. Since the American civilization did not use the wheel (besides for children toys) llamas, being bigger than alpacas, were very useful for carrying burden. Alpacas were mostly used for clothes production; their soft fleece is still regarded as a premium clothes material [55, 56]. DOMESTICATION CAPABILITIES – HORSES ON THE AMERICAN CONTINENT In order to further assess human capabilities and opportunities for domestication, in this section we discuss the case of horses on the American continents. Long before human migrations, American continent was home to two horse species, wild horse Equus ferus (Boddaert, 1785) [26] and, somewhat newly discovered genus Haringtonhippus (Heintzman et al., 2017) that lived contemporary with the wild horse [57]. Together with most of the megafauna’ species, E. ferus (Boddaert, 1785) went extinct in America at the end of Pleistocene, around 11 000 years ago, while in Europe it survived until the 19 th century. E. ferus (Boddaert, 1785) originated in North America around 4 million years ago, 2 million years ago some specimens crossed the Bering Strait and rapidly colonized Eurasia [58], where it was domesticated. Domestic horses proved to be very important for the development of the old world. Some of the great ancient civilizations began and ended on horseback, for instance, the Scythians defeated the Egyptians because of the horses. Horses made intercontinental migrations and trade possible. It is said that during the Mongolian rule in the 13 th - 14 th century, with the clever use of a horse, messages could be carried up to 300 km in a single day [59], feat which was not repeated until the construction of Trans-Siberian railway in 1904 [60]. Without the horse American Indian tribes were almost isolated from one another. Trade was very hard, routes had to be traveled on foot and burden carried on back or with use of dog sleds. Reintroduction of horse to American continent occured during the 16 th century with the arrival of conquistadores. First were brought to Cuba by Christopher Columbus on his second voyage to the ‘New world’. First sighting of horse riders must have been terrifying, horse riders seemed to blend with their horse, and they wore bells on their armor which aided the confusion [61]. Real spread of horses in America happened after the 1680 Pueblo Revolt in New Mexico. All Domesticated megafauna of Americas: needs, possibilities and results 79 of the Spanish conquistadores were pushed out of New Mexico by the revolting tribes. They were forced to escape without their livestock, leaving behind around 1500 horses. Pueblo people (aided by nomad tribes: Utes, Navajo, Apache and Comanche) quickly adopted horses in their culture. With trading, raids and escape, horses were quickly reintroduced to the continent [62]. The Great American Plains proved to be perfect habitat for the horses. Escapees from the Mesoamerican tribes and the invading Europeans quickly spread and became feral. Indian tribes adapted new ways of horse taming, bareback riding and even horseback warfare. In addition to that, horses soon became the measure of wealth and power, the more horses a tribe had the better it was of. In that way Indian cultures of the 17 th century soon resembled Asian steppe bronze-age tribes, where the horse was originally domesticated [63]. CONCLUSION Recent interdisciplinary research enables deeper comprehension of history of both man and fauna surrounding us, elucidating processes and motivation. Archaeogenomics and spatial methods in research are the two most prominent areas contributing insight in times and spaces where historiography is missing. Interdisciplinary overview of times and spaces without historiography is valuable in forming broader comprehension of the human history. Animal domestication is one of the most important moments in the entire human history, it completely changed our cultures. The need and the possibility of domestication were present in sedentary and nomadic cultures all over the globe, however, not all of them had the same geographical or biological setting, or arose at the same time in the history. This led to differences in the accumulation of material wealth and differences in freely available time during their lifetime for the development of cognitive technologies such as writing, spying, or trade communication with different cultures. Late onset of human history in comparison to Afro-Eurasia and north to south orientation of the American continents in comparison with east to west orientation of Afro-Eurasia were the main characteristics of the global domestication opportunities. The need for domestication, intention and purpose are demonstrated all over American continents in both sedentary and nomadic cultures on the examples of dog selection and crop domestication. Capability of people to domesticate megafauna is demonstrated in secondary domestication of horses. The two camelid species, llama and alpaca remain the only domesticated megafauna of the Americas. Both overhunting and climate related megafaunal extinction explain the nature of megafaunal domestication in the Americas more than the human factor. The pattern of animal domestication from the north towards the south of Americas showing no animal domesticates in North America (despite the need for large animals of different purpose that was satisfied mostly with dog breeding), followed by the small fauna domesticated in the Meso-America, and finally the two camelid species of the South America leads towards the idea that this event of history was at least partially caused with overhunting during the first human settling of the continents. The most pronounced differences of the people of the Americas and civilizations of Afro- Eurasia accumulated due to three main animal domestication issues: (i) the lack of horse for domestication on the American continents; (ii) the lack of intentional domestication typical for the Iron Age; (iii) the lack of diversification of the domestic animal purpose in contact with different cultures. The lack of wild horse for domestication, to use as herd control, for warfare and trade, was the first step in making the timing and the biological and geographical setting more pronounced. The lack of intentional domestication typical for the Iron Age and beasts for long trade routes and as ploughing animals was a cultural and civilizational achievement which never occurred in the Americas, as was the lack of diversification of the domestic animal purpose in contact with different cultures. D. Šalamon, L. Velagić, B. Kuhar and A. Džidić 80 REFERENCES [1] Hublin, J.J., et al.: New fossils from Jebel Irhoud, Morocco and the pan – African origin of Homo sapiens. Nature 546(7657), 289-292, 2017, http://dx.doi.org/10.1038/nature22336, [2] Gibbons, A.: There’s no such thing as a ’pure’ European – or anyone else. Science, aal1186, 2017, http://dx.doi.org/10.1126/science.aal1186, [3] Raghavan, M., et al.: Genomic evidence for the Pleistocene and recent population history of Native Americans. 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History Today 54(7), 2004, http://dx.doi.org/10.1016/S1369-7021(04)00651-0, http://dx.doi.org/10.1007/s10722-007-9250-5 http://dx.doi.org/10.1073/pnas.1516215112 http://dx.doi.org/10.1126/science.aaf3161 http://dx.doi.org/10.1038/ncomms16082 http://dx.doi.org/10.1126/science.aao4776 http://dx.doi.org/10.1017/S0003598X00062141 http://dx.doi.org/10.1111/j.1469-7998.2006.00117.x http://dx.doi.org/10.5252/az2016n1a1 http://dx.doi.org/10.1111/age.12570 http://dx.doi.org/10.7554/eLife.29944 http://www.livescience.com/9589-surprising-history-america-wild-horses.html http://dx.doi.org/10.1016/S1369-7021(04)00651-0 D. Šalamon, L. Velagić, B. Kuhar and A. Džidić 84 [61] Diaz Del Castillo, B.: The Memoirs of the Conquistador Bernal Diaz Del Castillo: Written by Himself Containing a True and Full Account of the Discovery and Conquest of Mexico and New Spain. Translated by: Lockhart, J.I. CreateSpace Independent Publishing Platform, 2016, [62] Hinshaw Patent, D. and Muñoz, W.: The Horse and the Plains Indians: A Powerful Partnership. Clarion Books, New York, 2012, [63] Gaunitz, C., et al.: Ancient genomes revisit the ancestry of domestic and Przewalski’s horses. Science 360(6384), 111-114, 2018, http://dx.doi.org/10.1126/science.aao3297. http://dx.doi.org/10.1126/science.aao3297 
work_otzq6x3x5negtfi4jtpv2qegn4	----	Master layout sheet THE CANADIAN JOURNAL OF NEUROLOGICAL SCIENCES 417 The memories that follow will largely concern people and events from the many lands that I was privileged to visit, mainly because they were involved with one of my Trials or by invitations to address meetings or rounds. Central America remains part of the “Developing World”. The country of Panama when we first visited was still partly an American colony so that USA could keep control of the great canal. We passed through there in October 1963 because the first meeting of the Pan-American Neurological Congress was to take place in Lima, Peru. It was chaired by Oscar Trelles, a gifted neurologist whom I first met when he was visiting Queen Square. By 1963 he was the Prime Minister of his country. En route to Peru, Kay and I planned a three-day stop-over in Panama City. A routine dental filling had been done a few days before we left and at the fuel-stop in Miami I had a toothache. It reached unbearable and untouchable proportions (including chewing) by Panama. I phoned the office of the British ambassador and his secretary advised that a Philadelphia-trained dentist, Pedro Brin, was highly regarded by her boss. He said it was to come out now or we must stay two or three days to complete a root canal. “It’s a ‘dry socket’precipitated by altitude change.” For ten balboa, I called Jim Purvis, my Toronto dentist, and under the circumstances he advised extraction of the offending brute. One hour later most of the pain and all of the molar were memories as was another ten balboa (about $10, Brin’s fee). Friendly handshakes and smiles all around concluded the visit.At that time he obviously did not believe that medical or dental professionals should be competing with present-day hockey or soccer players or those deciding upon the bonuses in the head offices of bankrupt banks. InPanamawedroveas far southas thePanAmericaHighway went. We felt that we were in unfriendly country as dusk appeared, but were intrigued and distracted by a sky alive with fruit-bats (flying foxes). I do not know if they are part of the local diet as they are in Guam. Their bodies are about the size of an Ontario rabbit and their wing-span that of a small heron. There has always been sufficient mistrust between Panama and Colombia that the Trans-America Highway was never completed and it reverts to a game-trail. We turned about. Like too many parts of the world where one could once go with reasonable impunity, many have become so dangerous that passing through may be foolhardy because of drug traffickers and so-called “terrorists” combating military despots. There is still no paved Highway connecting all continental countries of My Front Row Seat Memoir VI FURTHER ENCOUNTERS AT THE GREATEST SHOW ON EARTH MORE ON 65 YEARS IN MEDICINE Henry J.M. Barnett Can. J. Neurol. Sci. 2011; 38: 417-421 RECEIVED SEPTEMBER 27, 2010. FINAL REVISIONS SUBMITTED FEBRUARY 28, 2011. Correspondence to: Henry J.M. Barnett, Suite 701, 305 Balliol St., Toronto, Ontario, M4S 3H5, Canada. AUTOBIOGRAPHY the New World, nor can one travel with impunity the millennium-old Silk Route travelled and described by Marco Polo. The Orient Express, made famous byAgatha Christie, was still travelled by people in the 1950s and 60’s, but is now a risky venture. Despots and addicts have shrunk our world. On our last day in Panama in a rented car we had breakfast on the Pacific coast then drove to Colon (Columbus’landing site on his fourth and last crossing in 1502-1504). Lunch was taken beside the Atlantic Ocean. Much of our route was alongside the great canal. Within sight of this scientific and engineering marvel (yellow fever and malaria now being preventable), local farmers could be seen ploughing on foot behind oxen yoked together. In front of a couple of humble dwellings small girls (age 10-12) were observed grinding flour from manioc (cassava) roots in mortars of large hollowed logs using pestles carved from heavy pieces of hardwood almost as tall as their small selves. How much better that they lived out their childhood days with skipping ropes, hoola hoops and field-hockey sticks! As in the Amazon jungles (ahead) the contrasts were great. In this case colonialism was again a one-way street. At one point on this excursion we overlooked a check-point between the American and the local jurisdiction. In response to a loud siren and flashing red lights we turned about, wondering what to expect. We were approached by a sergeant with a clip- board and fair English: “A Hertz car, what state are you from?” “Canada?” “In that case maybe you would like to buy a ticket on our National Lottery?” Twenty balboa later and without even being asked for passports we were dismissed. We drove off all smiles again and heard no more, certainly no phone message saying that we had won 500,000 balboa. I reflected that I never buy lottery tickets but I make an exception at gunpoint! Colon had a statue of Christopher Columbus and little else of remembered interest. It rained very hard and luckily the third mechanic we visited finally determined that our windshield- wipers would work when he changed the fuse. The route is mountainous and it pounded rain from theAtlantic to the Pacific but we had a plane to catch at dawn for Lima through Cali. Security at the Colombian airfield was sufficiently lax that we https://www.cambridge.org/core/terms. https://doi.org/10.1017/S031716710001180X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S031716710001180X https://www.cambridge.org/core THE CANADIAN JOURNAL OF NEUROLOGICAL SCIENCES 418 had to circle once while a woman with customary shawl and a stick drove her cow across the tarmac. In Lima Peru, the Cocktail Reception was several hours late as we awaited the PM’s arrival. In time we learned that urgent discussions with a politically powerful group of peasants occupied Trelles’ time. While waiting, Kay and I had more Pisco Sours than we really needed, but they consoled my jaw, which had lost its Panama freezing. Several months later, Time magazine reported that a coup in Peru had tossed Trelles out of office. The reason given by those who took over was that he was too lenient with those lesser forms demanding land reform. It is my understanding that some of these dissatisfied peasants metamorphosed into the terrorist group, The Shining Path. As America, Ireland, South Africa, Sri Lanka and Palestine have taught us, there is swampy ground on the path dividing loyalty as distinct from treason by seemingly forlorn and at times overly violent resistance to justifiable change. The Congress was not a spell-binder: a curious mixture of case reports, small personal case series and repetitious dogma. The Harvard-located former Queen Square doyen, Denny- Brown put my blood-pressure up by telling me in a group of colleagues that our new Department of Clinical Neurosciences was a misnomer. “After all, it has only a basis in clinical work and that cannot be dignified as ‘neuroscience’.” Despite Denny- Brown’s skepticism, clinical study can impact on disease control just as certainly as laboratory breakthroughs. Some of the best examples of this came from the renowned Harvard associates of Denny-Brown: Ray Adams, Miller Fisher, JP Mohr and Lou Caplan. My own talk was on the pathogenesis of syringomyelia and caused angst to some of the SouthAmerican surgeons attending. In South America, as in Boston, Cleveland and indeed most neurosurgical centres at that time, they were still clinging to the Gairdner concept that “all syringomyelia was hydromyelia” and accordingly designed complicated, risky, expensive and worthless operative procedures, including a plug of muscle at the obex of the 4th ventricle. Later, water-soluble contrast and then spinal MRI disproved these speculative notions and confirmed my pathological observations and simplified therapy.1 The lateAndre Barbeau, a friend of mine from Montreal (and incidentally a passionate separatist) presented his very early attempts to use dopaminergic drugs to treat Parkinson’s Disease. This was a logical sequel to the demonstration by Olle Hornykiewitz that dopamine was seriously reduced in the basal ganglia of patients who died from Parkinson’s Disease. By a mere chance, as no one knew which was better as a therapeutic replacement the levo or the dextro form, Barbeau tested the dextro form. Accordingly the Nobel Award went to Cotsiaz in New York City who used the levo preparation (L-Dopa). Hornykiewitz’fundamental observations were absolutely vital to all therapeutic studies and later success but found him overlooked by the Nobel Committee. We were introduced to the poverty of Lima by the Canadian ambassador (Freeman Tovell) and his compassionate and beautiful Spanish-born wife. The hospital’s infectious diseases were housed and cared for in a tent on the hospital grounds. Rain and cold are such rarities in Lima that with a few fans a tent was adequate “public ward” accommodation. There we saw fresh cases of polio (no refrigeration to house available vaccines), TB of bones (no compulsory pasteurization of milk which eliminates the risk of the bovine strain of tuberculosis with its predilection to bones and joints as well as brucellosis) and one patient with Typhoid fever (again no available vaccine storage). From the handful of Canadians at the meeting, Barbeau and I collected sufficient funds from ourselves and colleagues to purchase a modern refrigerator for the hospital. After the Congress we had to choose between going to the Inca ruins at Machu Pichu, which was a well-organized tourist route, or flying over the Andes to Iquitos the beginning of the second-longest river on earth and then travelling down the Amazon River by stages in a float plane.We chose the latter. Our guide in Iquitos was an expatriate German (Schmitt) whose military demeanor and the fact that he had two pistols on his belt, suggested to Kay and me that he may have been hiding from his wicked (Nazi) past. “Why 2 revolvers?” (“The jungle, she has many unfriendly faces”). Iquitos was nothing if not remote and well off civilization’s pathways. All the houses were on stilts against flooding monsoons. Stinking sewage was running down the middle of the street to empty into the great river. Schmitt’s domestic pet was a young jaguar that followed us through the jungle trails but snarled when we got too close to his comfort line. Here we encountered our first howler monkeys who did not like our presence and said so quite loudly as did many members of the parrot family and several noisy species of Toucans (Figure 1). A Canadian forest is quiet by comparison. With a 50 horse-power US built outboard attached to a big dug-out canoe, our guide took us down river to two ports of call. The first was a pre-arranged rendezvous with several male members of a jungle tribe each wearing straw skirts and each carrying a blow-gun. They demonstrated their ability to use their implements to kill parrots in a flock near the top of a forest giant. This contrived visit to a primitive tribe was rewarded by Schmitt Figure 1: Two chestnut-mandible toucans picking insects under the shingles of an old shed at Iquitos, Peru. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S031716710001180X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S031716710001180X https://www.cambridge.org/core LE JOURNAL CANADIEN DES SCIENCES NEUROLOGIQUES Volume 38, No. 3 – May 2011 419 with a bottle of whiskey received with smiles and murmurs: shades of the English fur-traders and the Iroquois! Before they slid back into the dense jungle, Kay and I shook them all by the hand. Impulsively, I bought for the price suggested by our guide one blow-gun plus the quiver of darts and the dried gourd containing the cotton packing to be placed so as to encircle the proximal stem of each chosen dart (Figure 2a). All these primitive instruments are on the wall of my study and overlook my computer, printer, telephone, cell-phone, radio, camera, dictionaries and crowded bookshelves. Quite a visible contrast to the instruments belonging to and essential to the support of two very disparate human civilizations. The conundrum presented by the transport home of an eight- foot blow-gun and quiver of darts from Iquitos to Toronto was settled by the second down-river visit of the day.We got out unto a well-made dock and were met by a London Ontario, Canadian Christian missionary. He was holding a pair of the smallest species of monkeys in theAmazon region (smallest in the entire world according to him). Their name escapes me. He could almost close his fist with one in the palm of his hand. Each was only a little bigger than a bullfrog. The house looked neat, painted, with the grass cut both front and back. My question to him was why cut all this grass here in the jungle? “Anacondas, boa constrictors and other snakes are common and we can see them before they see us!” I did not ask if they merely chased them or used a machete to deal with them. Nor did I ask if they used herbicides.Also I did not ask what Christian sect they were peddling. Previous experience had taught me that I would then be grilled about the state of my own soul. Probably their little group (all Canadians, including a graduate nurse) were doing more good than harm. In return for taking charge of my weaponry and delivering it to London, I made a moderate additional contribution to their treasury and Kay said a few kind words of thanks and expressed a hope that they would flourish. There they were in as isolated a spot as the New World offers. Kay’s timidity about dugout canoes was gradually reducing (Figure 2b). We went in stages by float-plane from Iquitos in Peru, to Manaus in Brazil, refueling from drums of aviation fuel in containers left beside docks along the river. We were taken Figure 2: a) The author holding the blow-gun, quiver of darts and gourd of cotton to serve as a baffle wrapped around the base of a dart. All acquired from a native along the Amazon River. Note: After 45 years, the rubber covering of the gun has deteriorated. b) Dugout canoe paddles from the Amazon at Manaus. a b https://www.cambridge.org/core/terms. https://doi.org/10.1017/S031716710001180X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S031716710001180X https://www.cambridge.org/core THE CANADIAN JOURNAL OF NEUROLOGICAL SCIENCES 420 ashore in dugouts quite a lot less likely to tip than our cedar or metal canoes. In those early days, dense jungle of forest giants lined the shores and was a glorious and never-ending sight wherever we looked. We took our meals of native foods at small pre-arranged dwellings at the fuel stops. The plane was not air- conditioned. The co-pilot closed the two forward vents as we were about to hit the water. I was assigned to do the same for the two rearmost vents that would be below the water-line. The plan was to keep out the piranha-infested river water and I was exceptionally diligent with my assigned task! Manaus, midway between Iquitos and Belem at the main mouth of the river was the first place where we saw areas of deliberate forest burning. Manaus had been the world’s capital for native rubber. In those days it flourished and could afford a huge Opera House that has since been restored inside and out, painted etc. Its remoteness persists but the Opera House remains a national treasure in an emerging great power. The Market Square down by the river was preparing its stalls for the next day but was jammed with at least 200 black vultures squawking and fighting over morsels of food. Collectively they stank. In the suburbs to the south was evidence of charred forests, huge Brazil-nut trees with the nuts inside containers the size of and more than the weight of coconuts. Barefoot boys were often under a similar tree as they chased their soccer ball on a sandy pitch.Their enthusiasm for soccer overcame any worry about the dropping of these natural missiles.ABrazil-nut case reposes still in my curio cabinet at my home at King. As part of our “Green-Hell” tour from Manaus we were taken in a dugout up a nearby tributary (the Negro River) to a small lake. The main features were many cayman (freshwater crocodiles) and abundant water-lilies (Victoria lily) with leaves of an average of four feet in diameter (unique in the world for size, not a few reaching six feet in diameter.) They bore easily the weight of a pair of northern jacanas with their three young. (Jacanas are close relatives of our marsh rails but with exceptionally long toes). We fished for piranhas. When hooked they had to be quickly brought into the canoe before they were attacked by the other crowd of their cannibalistic companions. The scent of blood drove them to madness. In a bigger plane we left on a Sunday for Belem, the old city on the main mouth of theAmazon. I checked in for our morning flight, only to be told in a haughty manner that it had been cancelled. “When is the next one?” “Friday” he told us in such a voice as to imply “What did you think? Don’t you foreigners know anything?”The next flight out of Belem wasThursday and it was to Tobago. He said it was not guaranteed yet that there would be a Friday flight. Belem was anything but an aviation hub! We spent the next days in the National Park at Belem named after Darwin’s rivalWallace. Here we saw a tapir and met a Rockefeller biologist who was tending by jeep to a scattering of monkeys up in cages so that he could detect what parasites appeared in their blood samples from the bites of local mosquitoes. It was a particular challenge to take blood samples while perched atop a ladder. Plainly the life of a biologist could be as challenging as that of a neurologist! In our two-day lay-over inTobago, we managed to squeeze in a guided tour by Peterborough canoe of the Caroni Swamp, the home of most of the world’s gorgeous scarlet ibises (Figure 3). Two great military men, Bolivar and San Martin liberated the larger countries of South America from the greed and ruthlessness of their particular monsters of colonialism. Unhappily, after their victories, these great military men left a vacuum in civil government that has been fought over frequently ever since by the frequently corrupt exploiters of their natural treasures. This has usually been to the detriment of the indigenous populations and original inhabitants of these vast expansesofour earth.TheUnitedStates,BritainandFrance took what they wanted mainly from Mexico and North America. In South and Central America, having destroyed their emerging civilizations, the Spanish and Portuguese tolerated little “insubordination” and through their armies and clergy, encouraged overpopulation and set the stage for mass poverty. Commonly bishops and priests sided with the armed forces who proceeded to topple most of the larval democracies and ruled with all the cruelty needed to stay in power and amass personal fortunes. A good example of the continuing battles occurred within recent years: the takeover of the presidency in Brazil in the 1970’s by a triumvirate of Generals. They were much feared and apparently had a lot of jealousy for personal power. One of this triumvirate complicated matters by having a major stroke. This disaster was followed by a series of minor cerebral vascular events. It became a matter of consequence that his diminishing judgment be accepted as incompatible with his office. His future outlook and role in government had to be clarified. None of the medical staff at the Rio de Janeiro Veterans’ Hospital wished to run the apparent risk of “making the call” and declaring such a powerful figure incompetent. Supposing he were to miraculously recover? At the time of his latest event, my wife and I were guests of the Brazilian Neurological Society meeting in Goiania, near to the centre of Brazil and about three and a half hours north of Rio by air. I was invited to see the ailing General. The Brazilian plane that awaited us was designed for a few hundred troops but had only Kay and me and a crew of seven. The solicitous crew were disappointed that we ate only once andFigure 3: The resplendent scarlet ibis of Tobago. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S031716710001180X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S031716710001180X https://www.cambridge.org/core shared two glasses of wine between us. At the Rio airport we taxied to an area where two big limousines awaited. Standing beside one was a large man and beside the other was a fashionably-dressed and smiling lady. To Kay I said “the beautiful lady is awaiting me, Brazillian-style!” But of course she was a PR person from the foreign office detailed to show Kay around Rio. I went with the obese one who butted his cigarette and introduced himself as the physician, Chief-of-Staff at the Veterans’Hospital. When we entered the former General’s room the nurses were changing his freshly wet and soiled sheets. He presented a text-book picture of vascular dementia, out of touch with his surroundings and beyond all hope of useful recovery. Confirmatory testing was scarcely needed but was available in a series of CT brain scans. I described on his chart my frank thoughts about the hopelessness of his condition, advised palliative care and an obligatory retirement from any intellectual demands. Upon returning home I sent a more legible but equally gloomy pessimistic report to my host in Sao Paulo who had requested my written thoughts. We were entertained that evening in Rio, to dinner at an expensive restaurant overlooking the Copacabana Beach by the patient’s soft-spoken son. He was a rancher and two years before had accompanied his neighbor-rancher to London, Ontario so that Charles Drake (Figure4)might successfully cliphisbasilar arteryaneurysm. Jet engines shrink our world! Our final visit to Brazil ended at the Veteran’s Hospital described above. Before the Society meeting, we had been to the Matto Grosso in the huge swampland (known as the Pantanal) in the far west reaches of Brazil, adjoining Bolivia and Paraguay, with the Paraguay River between. My friend, the late Professor Roberto Milerana, head of neurology in Sao Paulo, had friends with a huge ranch in this remote area, accessible largely by ranch planes. One day from a jeep, we watched a huge boa constrictor slither across the dirt road ahead. Suddenly the driver leaped out and with his machete cut up the great snake! A dreadful experience and quite unnecessary. On the same day we watched four jaguars running across a nearby hill - a record number for any in the group. Had they been within pistol range I do not doubt but that they would have been targets. Our host carried a pistol and to demonstrate the richness of swamp life (Figure 5), he took us on a road overlooking a huge marsh, fired his gun and a veritable cloud of egrets, spoonbills and jabirus etc. flew up – a unique addition to the art of bird-finding! On my morning walks my trousers were heavily stained with soot, where I had walked through recently burned forest. Primeval tropical forest was being converted to pastureland to cope with the North American demand for hamburger meat.Another “first” was a 45- minute motor-boat trip down the Paraguay River. We counted 40 cayman basking in the sun at the edge. The hope is that some of these wonders will last. REFERENCE 1. Barnett HJM, Foster JB, Hudgson P. Syringomyelia. Vol. I. In: “Major problems in neurology”. London, England: W.B. Saunders; 1971. LE JOURNAL CANADIEN DES SCIENCES NEUROLOGIQUES Volume 38, No. 3 – May 2011 421 Figure 4: Charles Drake (left), the world’s leading aneurysm surgeon, on a Labrador fishing excursion with the author (HJMB, centre) and Dr. Ramsay Gunton, Professor of Medicine at University of Western Ontario. Figure 5: A marsh alongside the Paraguay River with egrets, spoonbills, ibises and Maribu storks all resting quietly. Our host’s pistol shot raised a veritable cloud of marsh birds. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S031716710001180X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S031716710001180X https://www.cambridge.org/core 
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work_owmovhuxvvgkjirzwf4t4svtem	----	[PDF] Mediterranean diet and public health: personal reflections. | Semantic Scholar Skip to search formSkip to main content> Semantic Scholar's Logo Search Sign InCreate Free Account You are currently offline. Some features of the site may not work correctly. DOI:10.1093/ajcn/61.6.1321S Corpus ID: 43062026Mediterranean diet and public health: personal reflections. @article{Keys1995MediterraneanDA, title={Mediterranean diet and public health: personal reflections.}, author={A. Keys}, journal={The American journal of clinical nutrition}, year={1995}, volume={61 6 Suppl}, pages={ 1321S-1323S } } A. Keys Published 1995 Medicine The American journal of clinical nutrition My concern about diet as a public health problem began in the early 1950s in Naples, where we observed very low incidences of coronary heart disease associated with what we later came to call the "good Mediterranean diet." The heart of this diet is mainly vegetarian, and differs from American and northern European diets in that it is much lower in meat and dairy products and uses fruit for dessert. These observations led to our subsequent research in the Seven Countries Study, in which we… Expand View on PubMed epi.umn.edu Save to Library Create Alert Cite Launch Research Feed Share This Paper 431 CitationsHighly Influential Citations 12 Background Citations 161 Methods Citations 4 Results Citations 4 View All Topics from this paper Low sodium diet Heart Diseases Coronary heart disease Diet, High-Fat Dairy Products Platelet Glycoprotein 4, human Paper Mentions Blog Post How Healthy is the Mediterranean Diet? NutritionFacts.org 6 February 2018 Blog Post Four Ways to Improve on the Mediterranean Diet NutritionFacts.org 19 January 2017 Blog Post What’s the Mediterranean Diet’s Secret? NutritionFacts.org 3 January 2017 News Article FEATURE: What is the Mediterranean diet and why is it good for you? Science Alert - Australia & New Zealand 30 August 2013 News Article What is the Mediterranean diet and why is it good for you? The Conversation 28 August 2013 431 Citations Citation Type Citation Type All Types Cites Results Cites Methods Cites Background Has PDF Publication Type Author More Filters More Filters Filters Sort by Relevance Sort by Most Influenced Papers Sort by Citation Count Sort by Recency Mediterranean Diet in Disease Prevention: Current Perspectives Jessica L. Fargnoli, Y. Kim, C. S. Mantzoros Biology 2009 4 Save Alert Research Feed The Mediterranean diet: A historical perspective on food for health. Juan J. Hidalgo-Mora, A. García-Vigara, M. Sánchez-Sánchez, M. García-Pérez, J. Tarín, A. Cano Medicine Maturitas 2020 14 Save Alert Research Feed Mediterranean Diet beyond the Mediterranean Basin: Chronic Disease Prevention and Treatment G. Echeverría, Catalina Dussaillant, Emma E. McGee, InésUrquiaga, N. Velasco, A. Rigotti Medicine 2017 1 PDF View 1 excerpt, cites background Save Alert Research Feed Nutrition in general practice in Italy. A. Lupo Medicine The American journal of clinical nutrition 1997 32 PDF Save Alert Research Feed The Mediterranean Diet and Your Health J. Brill Medicine 2009 27 PDF Save Alert Research Feed Mediterranean dietary pattern and chronic diseases. S. Panico, A. Mattiello, C. Panico, P. Chiodini Medicine Cancer treatment and research 2014 19 Save Alert Research Feed REVIEWS: CURRENT TOPICS Protective mechanisms of the Mediterranean diet in obesity and type 2 diabetes Helmut Schrfder Geography 2007 Save Alert Research Feed The Mediterranean Diet: Socio-cultural Relevance for Contemporary Health Promotion Surinder Phull Medicine 2015 9 Highly Influenced PDF View 4 excerpts, cites background Save Alert Research Feed Adherence to the Mediterranean Diet M. Almeida, Salvatore Parisi, A. 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work_oxprazki6zfrnoggc4shwlp2we	----	Received 02/25/2018 Review began 02/27/2018 Review ended 02/28/2018 Published 03/05/2018 © Copyright 2018 Kandi. This is an open access article distributed under the terms of the Creative Commons Attribution License CC-BY 3.0., which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Tungiasis Presenting as Onychomycosis: Probably the First Report of Flea Infestation of the Nail Observed Using Modified Potassium Hydroxide Mount Technique Venkataramana Kandi 1. Department of Microbiology, Prathima Institute of Medical Sciences  Corresponding author: Venkataramana Kandi, ramana20021@gmail.com Disclosures can be found in Additional Information at the end of the article Abstract Tungiasis is an infection/infestation of the flea Tunga penetrans. These are bloodsucking ectoparasitic insects belonging to the phylum Arthropoda, and they do not possess wings, but they have long legs enabling them to jump up to 30 cm high. The fleas are usually present on the skin and in the hair of domestic and wild animals and are prevalent throughout the world. They may also be present in an environment consisting of dry sandy soils, and they infect people who walk barefoot and reside in flea-infested areas. Human tungiasis is both an accidental and zoonotic infection, where the fleas enter the human skin and cause severe morbidity if not properly managed. There are a few reports of human tungiasis, most of which were diagnosed with skin infections. This is a first-of-its-kind observation of fleas in the nail, from a patient who is suspected to be suffering from onychomycosis. The nail in this case was processed differently, by using a modified potassium hydroxide (KOH) mount technique. Categories: Pathology, Infectious Disease, Epidemiology/Public Health Keywords: tungiasis, human tungiasis, tunga penetrans, flea, onychomycosis, modified koh mount Introduction Tungiasis is an infestation of the sand flea that belongs to the phylum Arthropoda, class Insecta, and order Siphonaptera. It is commonly referred to as chigoe flea, and Tunga penetrans (T penetrans) is its scientific name. These fleas are named differently as Jigger, Nigua, Pico/Pio, Bicho de pie (Spain), Bicho de pe (Portugal), Bichodo porco, Pique, Pulga de areia Kuti, Jatecuba, and Sikka in various parts of the world. T penetrans, belongs to the genus Tunga and family Tungidae, which contain obligate hematophagous ectoparasites. There are around 14 species of Tunga fleas, and this is also the smallest known flea, measuring up to 1 mm. Along with T penetrans, only two other species, Tunga trimamillata and Tunga hexalobulata, are known to parasitize animals, with T penetrans being associated with human infections [1-3]. Tungiasis is highly endemic to Trinidad and Tobago, Nigeria, and Brazil, where 50% people have been noted to be suffering from infections with T penetrans. Tungiasis is an ubiquitous infection spread throughout the world and has been reported from more than 88 countries, including South and Central America, Asia, Africa, and Europe. The flea Tunga penetrans is native to West Indies, Caribbean islands, other regions of Africa (sub-Saharan Africa, Kenya, Uganda), India, Pakistan, Nepal, and Latin American countries [4]. Tungiasis in humans was first reported in the years following 1500 AD, when sailors with Christopher Columbus suffered 1 Open Access Technical Report DOI: 10.7759/cureus.2278 How to cite this article Kandi V (March 05, 2018) Tungiasis Presenting as Onychomycosis: Probably the First Report of Flea Infestation of the Nail Observed Using Modified Potassium Hydroxide Mount Technique. Cureus 10(3): e2278. DOI 10.7759/cureus.2278 https://www.cureus.com/users/11384-venkataramana-kandi skin infections, after they were shipwrecked on an island of Haiti. Fleas responsible for tungiasis have limited jumping/flying abilities (<30 cm), and therefore most human lesions appear on the skin, below the waist, particularly on the legs. Lesions were also reported from other areas of the body, including the hands, elbow, neck, and face [5]. These fleas like a warm and dry environment and are present in the soil under stables, stock farms, beaches, coastal areas, desert soils, and other sandy soils [6]. Pigs, dogs, cats, rats, sheep, cattle, donkeys, monkeys, birds, and elephants are considered as reservoirs of fleas causing tungiasis [7-8]. Reports of human tungiasis have been recently growing, and there is only one report of human tungiasis from India previously [9-10]. This observation, the first of its kind where the insects were observed in the nail, was performed using a modified potassium hydroxide mount (KOH) technique. Technical Report Patients usually present to the dermatology department with infections/conditions of the skin, hair, and nails. Most of these lesions are attributed to infection with microorganisms, including bacteria, viruses, fungi, and occasionally parasites. Many other skin lesions are due to allergic/hypersensitive reactions and must be cautiously diagnosed ruling out infectious etiology. Clinical microbiology laboratories receive samples of skin, hair, and nail, and in most instances the microbiologists mostly look for the presence of fungal elements (yeast cells, filamentous fungi). A potassium hydroxide (KOH) mount is routinely performed to see the presence of fungal elements. Recently, there have been reports of the occurrence of other ectoparasites in the skin, including the mite, which is the causative agent of scabies. A routine KOH mount may fail to detect the presence of mites, as KOH acts as a keratinolytic and may immobilize the insects and kill them, making them invisible on microscopy. Technical modifications during the preparation and processing of specimens could increase the chances of finding the parasites [11]. This is a report of a 45-year-old female patient, who presented to the dermatology outpatient department (OPD), with complaints of discoloration of nails (disfiguring and blackening), involving both the hands and the toe nails for three months. The dermatologists suspected a case of onychomycosis (tinea unguium) caused by fungus and sent nail clippings both from the toes and the fingers for further microbiological examination and confirmation. The nail clippings were observed to be black in color and brittle (Figure 1), in contrast to being hard, white to yellowish in color, and crumbling at the edges when there is a fungal infection. 2018 Kandi et al. Cureus 10(3): e2278. DOI 10.7759/cureus.2278 2 of 8 FIGURE 1: Infected nail clipping seen as black in color The sample was processed for routine KOH mount (40%) and observed under a low power (10X) and high power (40X) objective of a compound microscope and was found to be negative for fungal elements. The sample was then processed by using a modified KOH mount technique, which revealed various stages of the life cycle of the flea, probably T penetrans. The gravid female flea, which is enlarged and releasing eggs is seen in Figure 2. FIGURE 2: A gravid female flea that is enlarged and releasing eggs Figure 3 shows the larval form of the flea after it hatched out of the egg. 2018 Kandi et al. Cureus 10(3): e2278. DOI 10.7759/cureus.2278 3 of 8 https://assets.cureus.com/uploads/figure/file/30640/lightbox_07740b70196f11e88982811ba249bdae-FIGURE1.png https://assets.cureus.com/uploads/figure/file/30641/lightbox_45c35ad0193211e8804185b8b059e588-FIGURE2.png FIGURE 3: Larval form of a flea after it hatched out of an egg Figure 4 shows the gradual development of the larva into the next stage, the pupa. FIGURE 4: Pupa developing from the larval form Figure 5 shows the pupal form that is ready to release a young adult flea. 2018 Kandi et al. Cureus 10(3): e2278. DOI 10.7759/cureus.2278 4 of 8 https://assets.cureus.com/uploads/figure/file/30642/lightbox_91ef04e0193211e895ce0bbb7440c18d-FIGURE3.png https://assets.cureus.com/uploads/figure/file/30648/lightbox_0cf77d60193411e8b3d235ab8c02487e-20180209_133326PUPA.png FIGURE 5: A young adult flea ready to be released from the pupa The young adult flea coming out of the pupa can be seen in Figure 6. FIGURE 6: A young adult flea after coming out of the pupa Modified KOH mount technique KOH is an inorganic, colorless, solid chemical, commonly referred to as caustic potash. It is a strong alkaline substance that shows keratinolytic activity and helps in dissolving the hard tissues. It is used in varied concentrations to dissolve human tissues and observe for microorganisms. Clinical microbiology laboratories use three different concentrations of KOH: a 10% KOH for 2018 Kandi et al. Cureus 10(3): e2278. DOI 10.7759/cureus.2278 5 of 8 https://assets.cureus.com/uploads/figure/file/30649/lightbox_7c073100193411e8931321f50554d139-FIGURE5.png https://assets.cureus.com/uploads/figure/file/30650/lightbox_d6ee5ee0193411e881ab09fa1c82e16e-FIGURE6.png observing skin scrapings, a 20% KOH for hair, and a 40% KOH for nails. KOH preparation can be modified to increase the chance of finding microorganisms. Adding di-methyl sulphoxide (solvent) reduces the time of finding microorganisms. To increase the visibility of fungal elements, India ink, Chicago sky blue, and lactophenol cotton blue solution can be added with the KOH preparation. An infected nail, when it is hard, takes a lot of time to dissolve even in 40% KOH, and if kept for longer periods, the KOH may crystallize making it difficult to observe. KOH, with its corrosive activity, might also cause damage to the microorganisms and other parasitic forms, if any, present in the specimen as noted by a previous research report [12]. To improve the chances of finding both the parasitic forms and the microorganisms, I suggest an alternate and modified KOH preparation technique for nails. The infected nail clippings should be first placed in normal saline and kept at room temperature for four hours. After this, the nail clippings should be placed in 20% KOH for two hours. A simple mount of the nail material should then be made on a clean and grease-free slide. Then a coverslip should be applied, and the nail should be observed under a low power (10X) and high power (40X) objective of a compound microscope. This procedure reduces the time of dissolving of the nail, does not destroy the microorganisms or parasites present in the specimen, and could be effective in demonstrating the parasites, if any, present in the nail. Discussion Human tungiasis is an ectoparasitic infection, which usually presents as redness of the skin with swelling and very itchy and painful/painless lesions. The fleas burrow themselves under the epidermis and move deeper into the upper dermis, near the blood vessels and feed on blood. The adult female flea lays around 100 eggs (neosome: female flea filled with eggs), which in the course of time hatch into larvae, develop into pupae and later into adults. The burrowed fleas normally die within two weeks, sloughing off the affected skin. The fleas release a substance before sucking the blood, which could be responsible for local allergic reactions. Human skin lesions usually appear as white and swollen affected areas with a black and raised center. The lesions show severe inflammation and ulcerate, and they can result in severe pain and itching. In untreated cases, the lesions can develop secondary bacterial infections, including tetanus, pyogenic infections, and gangrene [12]. Multiple skin lesions resembling the common skin infections caused by other microorganisms can be noted in patients suffering from tungiasis. Careful dermoscopic examinations could increase the chance of diagnosis [13]. Complications of human tungiasis include severe tissue damage, intraepithelial abscess, nail deformation, suppuration, and autoamputation of the affected digits (ainhum) [14]. Tungiasis is more common in people who are poor, walk barefoot, reside in sandy soil conditions, and it is more common during the dry seasons. It is seen in varied age groups with the geriatric age group being more susceptible to infestation [15]. A recent report from India had communicated the occurrence of tungiasis among the troops who were serving in the UN peace keeping forces in Central Africa. This report had also observed that more than 69% of the patients had secondary bacterial infection [16]. Recently, the first case from Nepal was reported, which was also the first one to report infection of the genitals by T penetrans [17]. Infection among children could be responsible for severe morbidity as evidenced by a recent research by Wiese S et al., from Kenya, who evaluated the dermatology life quality index (DLQI) 2018 Kandi et al. Cureus 10(3): e2278. DOI 10.7759/cureus.2278 6 of 8 of the children suffering from tungiasis. The same study had noted that the severity of infection correlated well with the number of live fleas under the skin and the chronicity of infection [18]. Tungiasis is a potential zoonotic infection transmitted from animals (pigs, dogs, cats, etc.) to humans. The knowledge of infection, associated clinical features, and public health awareness regarding the transmission of tungiasis from household animals among the study population was reported by Mutebi F et al. [19]. Recently, there has been a first-of-its-kind report of tungiasis from a European country, Portugal. This communication sensitizes tungiasis, as a potential infection among the travelers returning from the endemic regions and the importance of physician awareness of its clinical presentation [20]. In this particular case, the clinical presentation was atypical (not involving the skin) with black discoloration of the nail, with the presence of morphological forms resembling the flea, and a routine KOH mount was negative for any fungal elements. Conclusions In the era of emergence and re-emergence of microbial infectious agents, it is important for clinicians and dermatologists to continually update themselves and manage the patients appropriately. Clinical microbiology laboratory personnel need to employ improved and modified laboratory techniques to increase the chances of finding parasites. As noted in the present case, the routine microscopic examination failed to show the presence of parasitic forms, whereas the modified KOH mount technique revealed different stages of the life cycle of the flea. Additional Information Disclosures Human subjects: Consent was obtained by all participants in this study. Animal subjects: All authors have confirmed that this study did not involve animal subjects or tissue. Conf licts of interest: In compliance with the ICMJE uniform disclosure form, all authors declare the following: Payment/services info: All authors have declared that no financial support was received from any organization for the submitted work. Financial relationships: All authors have declared that they have no financial relationships at present or within the previous three years with any organizations that might have an interest in the submitted work. Other relationships: All authors have declared that there are no other relationships or activities that could appear to have influenced the submitted work. Acknowledgements I would like to acknowledge the support of my colleagues, Dr. Padmavali P, Dr. Ritu Vaish, Dr. Sandhya, and Ms. Padmajakshi, and my senior professor Dr. B Mohan Rao for their continuous support and encouragement. References 1. Linardi PM, de Avelar DM: Neosomes of tungid fleas on wild and domestic animals . J Parasitol Res. 2014, 113:3517-3533. 10.1007/s00436-014-4081-8 2. Beaucournu JC, Degeilh B, Mergey T, Muñoz-Leal S, González-Acuña D: The genus Tunga Jarocki, 1838 (Siphonaptera: Tungidae). I - Taxonomy, phylogeny, ecology, pathogenic role [Article in French]. Parasite. 2012, 19:297-308. 10.1051/parasite/2012194297 3. Mutebi F, Krücken J, Mencke N, Feldmeier H, von Samson-Himmelstjerna G, Waiswa C: Two 2018 Kandi et al. Cureus 10(3): e2278. 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Shrivastav S, Adhikari RC: Tungiasis: a rare parasitic infestation in genitals of a native male from Kathmandu. J Nepal Health Res Counc. 2018, 15:295-297. 18. Wiese S, Elson L, Feldmeier H: Tungiasis-related life quality impairment in children living in rural Kenya. PLoS Negl Trop Dis. 2018, 12:e0005939. 10.1371/journal.pntd.0005939 19. Mutebi F, Krücken J, von Samson-Himmelstjerna G, et al.: Animal and human tungiasis- related knowledge and treatment practices among animal keeping households in Bugiri District, South-Eastern Uganda. Acta Trop. 2018, 177:81-88. 10.1016/j.actatropica.2017.10.003 20. Santos RP, Resende C, da Luz Duarte M, Brito C: Tungiasis: a poorly-known diagnosis in Europe. Two paradigmatic cases from Portugal. Acta Dermatovenerol Alp Pannonica Adriat. 2017, 26:115-117. 10.15570/actaapa.2017.33 2018 Kandi et al. Cureus 10(3): e2278. 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work_p2uqtqtjibaildtw5tbfa46pdy	----	untitled M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 277–300 © 2014 WIT Press, www.witpress.com ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), http://journals.witpress.com DOI: 10.2495/SDP-V9-N2-277-300 PRESERVING, RECONSTRUCTING AND ENHANCING THE PLACE IDENTITY: IDENTIFYING PRINCIPLES OF URBAN SUSTAINABILITY WITH PLACEMAKER METHOD M. SEPE IRAT-National Research Council, DiARC – University of Naples Federico II, Italy. ABSTRACT The changes that are occurring as a result of mutations in interpersonal and intergenerational relationships, globalisation and new technologies have led to phenomena of homogenisation of territorial specifi cities, but by the same token have also prompted further discussion concerning the importance of identity of place. Present- day urban conditions appear rich in differentiation with regard to the times and ways in which the city is used, for the new typologies of spaces and the change in the modalities of use of those already existing. In order to identify, represent and design the complex transformations in the contemporary city transversal and multi-level methods of analysis and design are being elaborated and experimented capable of representing and making leg- ible the urban complexity that confronts us today. Starting from these premises, the aim of this paper is to illustrate PlaceMaker method of urban analysis and design, whose fl exibility, as is apparent in the three emblematic case studies which will be illustrated, enables it to be used in widely varying contexts and for a range of objectives. In particular, the experiments were carried out in order to identify the current place identity to be preserved, reconstructed and enhanced. The investigation protocol serves as a guide to be adapted and reinforced at some points, according to the characteristics of the place and the intended purposes. The case studies gave rise to 12 principles for place identity enhancement, created from a reasoned set of blueprints for the various experiments carried out using the original PlaceMaker method which conclude the paper. Keywords: Contemporary city, place identity, PlaceMaker, urban design, urban planning, urban sustainability principles. 1 INTRODUCTION The urban condition we experience today shows many changes in terms of the rhythms and exploita- tion of the city, the modalities of living, working, moving around, and the opportunities for enjoying leisure. The emergence of new typologies of place and changes in the patterns of usage for the exist- ing typologies have given rise to whole new cityscapes: striking juxtapositions and fragmentariness seem to predominate in the wholesale dispersion with which subjects, things and habits coexist, characterised by boundaries which are transparent and yet at times unbreachable. The contemporary city is the place not only of complexity but also of simultaneity and instability, which give rise to situations of mutation and transitoriness. These are often predominantly motivated by economic gain, to the detriment of place identity which becomes increasingly hybrid, compro- mised or unrecognisable. The lengthy periods of time required for the perception of the city Kevin Lynch talks about having been altered by the acceleration of the new urban rhythms. Nonetheless it still seems true that: ‘City design is therefore a temporal art, but it can rarely use the controlled and limited sequences of other temporal arts like music. On different occasions and for different people, the sequences are reversed, interrupted, abandoned, cut across. It is seen in all lights and all weathers. At every instant, there is more than the eye can see, more than the ear can hear, a setting or a view waiting to be explored. Nothing is experience by itself, but always in relation to its surroundings, the sequences of events leading up to it, the memory of past experiences’ [1]. 278 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) Undoubtedly the people and their activities are as important as the ‘stationary physical parts’, and we are part of the scenario together with the other protagonists. ‘We are not simply observers of this spectacle, but ourselves a part of it, on the stage with the other participants. Most often, our percep- tion of the city is not sustained, but rather partial, fragmentary, mixed with concerns. Nearly every sense is in operation, and the image is the composite of them all’ [1]. Placemaking, in the sense of ‘the art of making places for people’ – to paraphrase the defi nition given by the Cabe and Detr Ministerial Guide ‘By design: urban design in the planning system’ – ‘includes the way places work and such matters as community safety, as well as how they look. It concerns the connections between people and places, movement and urban form, nature and the built fabric, and the processes for ensuring successful villages, towns and cities’. The city thus becomes the outcome of complex intersections created by a number of operators who modify the system for different reasons. It becomes necessary to identify a microsystem within the macrosystem of the city able to make the urban variants intelligible: place is at once porous and resistant, a receptor for complex interactions. Accordingly, places are termed ‘places’ and not just ‘spaces’ when they are endowed with identity [2]. Such identity is related to the urban fabric and a series of morphological, natural, historical and cultural invariants. These invariants are closely interrelated to the life of the city and its inhabitants, and also to the perception the latter have of that place. At the same time, colours, materials, smells and sounds become an inseparable part of any one spot in the city, and thus emotional components of the urban image. The identity of a place expresses a harmonious balance between variant and invariant compo- nents, people and urban events, which are intrinsically linked by a reciprocal relationship that makes a specifi c place unique and recognisable [1]. At the same time, globalisation and technological development have contributed to accelerating the rates of change and transforming spaces in the contemporary city. The end result is that cities, places, itineraries, customs and behavioural patterns have all come to resemble one another, contributing to an increasing urban identity crisis. The sustainability of any place depends on a number of factors which contribute to its liveability, quality and identity [2–6]. Urban, cultural and historical poles of attraction, increasingly bear the imprint of globalisation, conveying messages which have developed in an uncontrolled manner and are aimed at conveying their users’ patterns of thought and action. The presence of a dense mixture of contrasting elements and perceptions can detract from the image of a city [7–13]. Furthermore, especially in pedestrian-intensive areas, it can contribute to creating urban decline and a chaotic atmosphere, including increased episodes of street crime. In order to draft an urban project focusing on the conservation, reconstruction and enhancement of place identity in such areas, which are often especially representative of their respective cities, we need methods of analysis and design able to identify, represent and design the urban elements that make up contemporary cities [14–17]. Based on these considerations, this work aims to illustrate the use of the PlaceMaker method [18] created in the context of a broader research project under an agreement between the Italian National Research Council (CNR) and the Urban Design and Planning Department of the University of Naples Federico II and for specifi c IRAT-CNR projects. PlaceMaker comprises eight phases – fi ve of analysis and three of design – and a Phase 0 that consists in constructing the grid required for the operations which are to be implemented later. This method assembles, elaborates and reconstructs the data derived from surveys based on physical reconnaissance, sensory perceptions, graphical elaboration, photographic and video records, and sets this data against that provided by an overview of expectations, an analysis based on traditional cartography and two questionnaires administered to local inhabitants. The main products are two fi nal complex maps: one fi rst of analysis and one of design, which represent the place identity and M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 279 project interventions in order both to establish a dialogue with local people and support planners and administrators in the sustainable urban construction and transformation. Furthermore, the aim of this paper is to show the summary of emblematic experiments which were carried out in the framework of Italian and European research projects. The case studies spawned the ‘12 principles for place identity enhancement’, which were created from a reasoned set of blueprints for the various experiments. The paper concludes with proposal of those principles, designed as checklists for urban projects with place identity at the core. 2 THE PLACEMAKER METHOD The PlaceMaker method comprises eight phases (Table 1). The fi rst phase of PlaceMaker is devoted to anticipatory analysis aimed at primary investigation of places; after the preliminary choice of the city and of the part(s) to be analysed, the ideas about that particular area can be described using any type of instrument or tool of expression, using the information known prior to the fi rst inspection. These notes can be represented in different ways and the result of this phase will be a map of the emerging ideas. The second phase is that of the fi ve surveys. The fi rst, the denominative one (Table 2), consists in collecting data regarding constructed elements (presence of monuments, buildings, etc.), natural ele- ments (presence of urban green areas, trees, animals, etc.), transportation mode (presence or transit of cars, buses, etc.), people (presence of tourists, residents, etc.). The localisation of all these elements and the kind and amount, expressed as a low, medium or high percentage, are indicated. Likewise, there is a cognitive denominative data base which constitutes a kind of fl exible input, where it is pos- sible to insert elements which are not decided previously, but deduced during inspection. The second survey is perceptive (Table 3); a survey is carried out of the smell, sound, taste, touch and visual sensations, and of the global perception, focusing on the localisation, type, amount ( present in low, medium, high percentage) and quality (non-infl uential, pleasant, annoying. The survey of the amount and quality of the data, the three options regarding, respectively, the percentage of presence and the feelings induced, are intended to summarise the processing of data that can however be extended during collection. The next survey is graphical: it consists in sketching the places; the sketches will represent the area in question according to a visual-perceptive standpoint and will be supported by annotations where necessary. This operation constitutes a preliminary study for the construction of the graphical symbols for the complex map. Photographic and video surveys of the whole study area are carried out, taking care to record facts rather than an interpretation of the places. The product of the fi ve surveys is a map visualising the results obtained from the different surveys. The third phase involves the analysis of traditional cartography of the selected sites in the city. The types of maps used in this phase derive from different disciplines and depend on the nature of the place; the study is carried out at the urban scale, in order to identify the characteristic elements and their relationships with that particular area, and at the areal scale, in order to identify the rela- tionships between the site and the whole city. The result of this phase is a map identifying the components required for the site description that can be found only through a traditional planimetric reading. The fourth phase is that of the questionnaire administered to visitors to the area in order to gain an idea of the place as perceived by those who are not involved in the study and are not specialists in related fi elds, but only perceive the site as users, at various levels: the inhabitant, the passer-by, the tourist. The questionnaire consists of questions asked on the basis of images of the area or an inspec- tion visit with the interviewee. The information deduced from the questionnaire is transferred onto a map that, like the previous ones, will constitute the basis for the construction of the complex map. 280 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) Table 1: PlaceMaker scheme. Phase Objectives Actions Products 1 Anticipatory analysis Preliminary observations made prior to the fi rst inspection of the place Map of the preliminary ideas of the place 2 Perceptive and denominative description of the elements Denominative survey Map visualising the results obtained from the survey 3 Identifi cation with traditional cartography of the elements required for area description Perceptive survey Graphical survey Photographic survey Video survey Analysis of traditional planimetry at urban scale Map with the components of the site deduced from analysis of traditional maps 4 Identifi cation of place elements perceived by users of places Analysis of traditional planimetry at territorial scale Questionnaire for visitors to the place Map visualising the results of the questionnaire 5 Processing the collected information Overlay of the maps with the different elements observed from the anticipatory and effective analysis Check of the different elements observed from different analysis tools Graphic system construction 6 Identifi cation of identity resources Identifi cation of identity potential Identifi cation of identity problems Identifi cation of identity qualities Complex map of analysis Map of identity resources 7 Identifi cation of identity resources by users of places Questionnaire for visitors to the place Map visualising the results of the questionnaire 8 Identifi cation of the project proposal Overlay and elaboration of data collected Defi nition and localisation of design intervention Graphic system construction Complex map of identity project M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 281 The fi fth phase is that of assembling the collected information. In this phase, we test the maps produced, the congruence of the various collected data, and choose the useful elements to construct the fi nal map. The recorded data represent the basis for the construction of the graphical system of symbols to represent the elements of the urban landscape and the elaboration of the complex map of analysis [18]. We then have three design phases. The sixth phase is devoted to surveying identity resources in the study area. During this phase, the complex map of analysis drawn up with the PlaceMaker method is used as a basis to detect the resources available for the project. The sixth phase is realised through three measures. The fi rst is the identifi cation of the identity potential, namely of the elements of the complex map which characterise the area in question in order to recognise those which may assume a focal role in the project. In this respect, both the com- prehensive presence of a specifi c type of element (e.g. how many points of visual perceptions are present) and the quantity is measured for each of them (e.g. such an element is assigned a certain size of symbol depending on its visual importance: namely medium size = presence of a given element in a medium percentage). Then there is the second action where the identity problems are high- lighted. The activities are devoted to observing places in the complex map with the presence of unsustainable elements and annoying points of perception. With the aim of identifying these places the relationship among the different elements in the map need to be observed. An element may be sustainable in itself, for example a shop which sells typical products; but the presence of several of them may create a site with a concentration of businesses which is unsustainable with respect to place identity. The goal is to understand the impact of people, things and activities and relative issues. The third action is the survey of identity qualities. The actions to be performed here involve noting places within the complex map of analysis with the presence of sustainable elements and points of pleasant perception. The elements which contrib- ute to defi ning that sustainable place or perception will need to be analysed. In this case the aim is Table 2: The denominative relief. City Place Date Time TYPE Constructed elements Natural elements Transportation mode People low, medium, high amount percentage Table 3: The perceptive relief. City Place Date Time TYPE Smell P. Taste P. Sound P. Touch P. Visual P. Low, medium, high amount percentage non-infl uential, pleasant, annoying perceived feeling 282 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) again to detect the impact of people, things and activities and relative relationships which are sus- tainable for identity of places. The product is a synthesis derived from interpreting the complex map of analysis where the identity resources available for the project are represented: a sort of map of intents, the fi rst step for the construction of the complex map for the identity project in question. The seventh phase is the survey of the identity resources by users of places, locals, passers-by and tourists. A questionnaire designed to elicit information emerged from the previous phase will be administered. The questions aim to ascertain whether the data observed until now are consistent with aspirations, desires and thoughts of the users of the area in question and to collect further sugges- tions and proposals. The product of this phase is the fourth partial map which will represent the identity resources from the perspective of users of places and/or privileged actors. The eighth and last phase consists in the overlay of data collected during the previous four phases and identifi cation of the project proposals. In this phase we identify the places around which the project hypothesis to be conducted to enhance the identity resources are focused and the relative interventions. The products of this phase are a suitable system of symbols which represent the pro- ject activities and the construction of the complex map for the identity project. This map is the last step in the planning process, where the information contained in the complex map of analysis, after being fi ltered and transformed into resources, gives rise to proposals for the construction and enhancement of a sustainable place identity [19]. 3 EXPERIMENTS The PlaceMaker method was conceived in 2001 and has been regularly updated since its pilot case studies started in 2002 in urban sites in Europe, Japan and USA [19]. The main users targeted by the method are urban designers and planners, and administrators, while a simplifi ed form of the complex maps is designed for local, citizens, place users and visitors. As regards administrators and city planners, PlaceMaker enables them to understand the poten- tials and problems relating to any given place, and how the place itself is perceived by its users and residents. This fl exible method may be used for different analysis and design purposes, such as: to redefi ne the identity and image of a place (e.g. historical identity, commercial identity, identity following post-seismic reconstruction, etc.), to assess – and then design – the compatibility of any activity with its identity or again, if the aim is to restore traditional businesses, to gauge whether such recovery is still in line with current demands (e.g. in case of urban regeneration process). Thus, the data contained in the complex maps may be used to create active indices and reference parameters for gauging project sustainability, such as quality of life or pollution thresholds, or sustainability of identity, through assessment of the elements making up urban identity from the viewpoint of sustain- ability. As to the citizens, PlaceMaker will enable them to garner a deeper understanding of their city’s identity, feel stronger ties to it, hence protect and safeguard it or play a proactive role by proposing improvements to administrators or participating in planning choices. Lastly, tourists and place users will fi nd the map a tool providing an insight into the city that goes beyond mere identifi cation of major landmarks and captures the complexity of a place identity, including its tangible and intangible elements, both permanent and temporary. In order to study the urban identity of sites and identify new elements and places, the areas selected for the experiments are mostly of historical importance and at all events highly representative of the city and of its transformations, alterations and redesign themes. PlaceMaker was designed to identify element and places able to solicit cultural transformations and of use in constructing an urban sustainable project where place identity constitutes the principal resource to be taken into consideration. In particular, the experiments were carried out in order to M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 283 identify the current place identity to be preserved, reconstructed and enhanced. Accordingly, a sum- mary of the main outputs – specifi cally related to the Phase 6, identifi cation of the identity resources, and Phase 8, identifi cation of the project interventions – of three emblematic case studies are illus- trated. These case studies were chosen in order to better explain the principles which will be presented in the last section of the study. 3.1 Preserving place identity The topic of the place identity preservation was investigated through two emblematic case studies: the Trevi-Pantheon area in Rome [20] – which will be illustrated later – and the South Broadway thoroughfare in Los Angeles (CA) [19]. In the Trevi-Pantheon area in Rome the study focused on questions related to anthropic risk and mass tourism in historic centres. This was developed in the framework of the research project ‘Sus- tainable enhancement and fruition of Cultural Heritage: incidence and monitoring of anthropic factors’ of the National Research Council Institute for Cultural Heritage Conservation and Promo- tion – Rome, and the European Project Culture 2007–2013 ‘Preserving places. Managing mass tourism, urban conservation and quality of life in historic centres’ (Coordinator: ICVBC CNR Rome Division) (Figs 1 and 2). The Trevi-Pantheon route, due to its recent pedestrianisation – which is leading to uncontrolled commercialisation to satisfy the needs of mass tourism – has decreased in quality and perception of place identity. The case study detected the identity of the places in question as well as their characteristics and potential, and identifi ed cultural sites and appropriate activities in order to mitigate the impact of mass tourism and provide sustainable and integrated fruition and enhancement of the site. Figure 1: Rome, the Trevi Fountain. 284 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) Identity resources were identifi ed through observation of identity potential, problems and quality. Looking at the complex map of analysis (Fig. 3), with respect to the potential, various interesting features of the whole route are not immediately apparent. The streets linking the three monuments are regarded merely as thoroughfares in spite of the pres- ence of historic buildings. Some monuments, such as the church of Sant’Attanasio in Piazza Trevi and the nearby churches of Santa Maria in Trevi and Sant’Ignazio, and the Galleria in Santa Maria in Via do not seem to be given enough attention. Then again, nobody seems to notice the remarkable religious icons scattered along the route. The lack of vegetation, remarked by some of the respondents, is another element to be evaluated. In spite of the creation of a route for the blind, it does not seem to be used. The main problems are due to the increasing use of this area by mass tourism rather than residents and locals. This has led to the concentration of various kinds of trading activities – sometimes of low quality – that is slowly diminishing the perception of the identity of place and the cultural enjoyment of the area. Indeed, this trend is triggering a series of events where, paradoxically, the culture is becoming a cause of impoverishment of the quality of places rather than the engine of sustainable urban develop- ment: from the increase in fast-food outlets, street vendors and non-local souvenir shops, to the wearing out of the historical pavement and monuments; from an inappropriate use of colour in facades to frame ground fl oor shops, to the spread of the open-air tables of cafes and restaurants. With respect to the identity qualities, due to the great historical, architectural and urban interest of this place, such qualities are various and clearly deducible from the complex map of analysis: namely not only the squares and historical monuments, buildings and urban fabric, but also the pleasing and some- times surprising visual, acoustic and tactile perceptions and the slow pace which pervades this route. Figure 2: Rome, Piazza della Rotonda. M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 285 The project interventions which were identifi ed allow for sustainable enhancement and fruition of this place and mitigate anthropic risk (eighth phase, Fig. 4). One might well start from the differentiation of routes. This might involve: creating different link- ing routes between the monuments of the Pantheon and the Trevi fountain – a short route (Hadrianeum) and a longer one featuring the stratifi cation of the urban fabric as well as the monuments; creating alternative routes focusing on the elements of perception – this solution may well prove both educa- tional and sustainable: it would show visitors how pleasing perceptions can be easily blotted out by unpleasant ones; restoring the route for the blind – perhaps adding other perceptions; and creating integrated historical-cultural-perception routes meeting specifi c requisites – by introducing routes Figure 3: Trevi-Pantheon route, Rome: detail of the complex map of analysis. 286 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) F ig ur e 4: T re vi -P an th eo n ro ut e, R om e: c om pl ex m ap o f pr oj ec t. M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 287 featuring the sound of water playing in the fountains, the ancient materials found along the route, admiring religious icons, buildings, churches, architectural features which pass unobserved in a hasty visit, sampling local produce, breathing in the scent of Rome. The second intervention is differentiating and restoring traditional activities. This intervention might include restoring handicrafts producing local products, including high-quality goods, so as to reduce the commercial confusion in these streets and rescue vanishing skills. Furthermore, we sug- gest the design of a coordinated project for shop signs and windows, above all as regards the streets which connect the squares, eliminating graffi ti on the facades and respecting their traditional colour. In this way, re-designing the critical points would ensure greater balance in the set-up of spaces and organisation of the various activities, it would act as a dissuader to additional fast food outlets and would pressurise those already in place to conform. The third intervention designed to reduce the excessive physical and emotional load is the creation of breaks, to be introduced in: Piazza di Pietra, the only true moment of relaxation, where one might build – for example – a little conceptual garden, also serving an educational function, where people can pause and indulge their perceptions and then proceed, in the central space of the Hadrianeum; the Galleria in Santa Maria in Via, currently under-used, not strictly on the route but close by, could serve as a break with the inclusion of exhibitions, featuring the route of Hadrian for example, and other functions. The fourth intervention involves the introduction of vegetation, currently lacking in the area: in a small garden in Piazza di Pietra; in small well-defi ned spaces, for example at the start of Via delle Muratte, and also close by the study area such as at the end of Via del Seminario (parallel to Via di Pietra) in Piazza Sant’Ignazio. The fi fth intervention consists in giving identity to what is transitory by: creating lightweight multifunctional structures to be introduced at the focal points of monuments and street commerce, variable in extension and dimension, opening and closing, where artistes, hawkers, living statues and others can create their own fl uid spaces within a dynamic, light grid which nonetheless con- stitutes a framework. This form of urban décor can be equipped for various functions including multimedia. The sixth intervention involves virtualising the graffi ti and the path. In the fi rst case at some points, where there are more graffi ti and the historical pavement has been replaced by a recent one, a special pavement could be inserted which allows the creation of virtual graphic signs which may visualise the steps of visitors. In the second case it involves going on line with the creation of multimedia guides. The various routes can be presented and made more user friendly by means of multimedia guides via satellites accessible for example from cell phones. In this way visitors can be oriented towards alternative personalised routes which they can follow with the help of multimedia texts and maps. 3.2 Reconstructing place identity As regards reconstructing place identity two representative case studies were carried out, which, although different in typology and dimension, share issues related to post-seismic reconstruction: namely Kitano- cho in Kobe – which will be described below – and Market Street in San Francisco [19]. In Kitano-cho, which was studied in the context of the Progetto Dimostratore Irpinia promoted by the Regional Centre for Environmental Risk Analysis and Monitoring (AMRA), as will be illustrated later we examined an unusual area, a historic district in Kobe which, like the whole city, was struck by a violent earthquake in 1995 and subsequently reconstructed (Figs 5 and 6) [20]. 288 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) Figure 5: Kitano-cho, Rheinen House. Figure 6: Kitano-cho, empty place and buildings in reconstruction. Analysis of this case study involved recognition of the complex identity that has followed recon- struction, assessing the extent to which the earthquake still affects current reality, and reviewing the actions required for harmonising sustainable rebuilding with the protection of place identity. The observation of complex map of analysis (Fig. 7) carried out with PlaceMaker has singled out the following problems, potentialities and qualities concerning place identity. M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 289 As regards problematic aspects, Kitano-cho, like the whole city of Kobe, was impacted by the violent earthquake that destroyed whole parts of the city. The reconstruction of the foreign resi- dences – the ijinkan – in the eastern part of the area damaged or destroyed by the earthquake was carried out rapidly, since the livelihood of the Kitano-cho district is essentially based on tourism. The western part of the area and some places in the eastern part – such as the destroyed house below the park of the Dutch House – still show signs of earthquake damage. One thus observes a lack of continuity between the western and the eastern part. Indeed, Kitano-cho appears to be divided into two parts. One, although pleasant, is built only for the tourists and comes across as somewhat phony, as if crystallised in time. The western part of the district, instead, is mainly used for dwellings, but appears extraneous to the rest of the area and almost, as it were, ‘on hold’, due to the presence of several empty lots overgrown with weeds and buildings under construction. Further- more, this part lacks public spaces. The discontinuity of the neighbourhood’s urban fabric, due to the gaps in it, is matched by a discontinuity in the architectural style and quality of its buildings. The same discontinuity can be observed in urban furniture and street paving. The electric pylons found in the whole area – as in the rest of the city – have a strong visual impact on the natural and urban landscape. Figure 7: Kitano-Cho, Kobe: complex map of analysis. 290 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) Finally, the steepness of the streets, especially in the upper part of the district, and the lack of benches make the visit of the ijinkan strenuous in some stretches. As regards the area’s potential, its atmosphere is agreeable and it is much visited by tourists. The tourists, however, are mainly Japanese. Besides, the district has many cult places, and is hence also visited for reasons connected to people’s religion. The buildings under construction and the gaps in the urban fabric are as much an opportunity as they are a problem, as they could be used to restore the continuity of the two parts of Kitano-cho and, at the same time, create public spaces and interesting buildings for both the locals and foreign tourists. Kitano also has a cableway station. Its narrow boundary with the Rokko mountain is an interesting factor, both from a natural and a perceptual standpoint. Its connection to the routes used to visit the foreigners’ residences could be improved. Kitano’s connection with other places of interest, such as China Town and the port – the latter, while not actually near, is visible from many spots in the neighbourhood – is another element to be taken into account in a broad project for the improvement and thematisation of Kitano. As to quality, the museum houses are one-of-a-kind attractions. They are complemented by sev- eral museums. The presence of worship places for many religions makes the area interesting for different kinds of visitors. Kitano-cho square is a place for socialisation for many tourists, who come to watch the perfor- mances staged there or have their picture taken next to the statue of the jazz musician. Because of the narrowness of many streets and the small size of houses, the scale of the place is very human. The peculiar qualities of Kitano-cho are also appreciated by the people who choose to get married here. Thus, the neighbourhood has several wedding dress boutiques and places for the celebration of marriages. In the district one observes many treed and green spaces, as well as per- ceiving the strong presence of the adjoining Mount Rokko. There is also a playground. Several spots in Kitano offer views of the whole city all the way to the sea, including some especially interesting ones. The pace as a rule is calm. The eastern part, in particular, provides an agreeable atmosphere for a stroll. The recommendations for the completion of the reconstruction of Kitano-cho take into account the different requirements of users and the specifi c characteristics of the place (Fig. 8). The fi rst action to be undertaken is to realise urban continuity through a general improvement plan for the whole district of Kitano-cho. One of the fi rst things one notices about the neighbourhood of Kitano is that it is divided into two parts, a mainly residential one to the west and a mainly touristic one to the east, although the latter part does have some residential buildings. The two parts do not seem to interact. There is thus a discontinuity both in the use of the place and in its quality, which is inferior in the residential part. This results in a trend towards the creation of a crystallised place, as in the case of the zone where the museum houses are, which is mainly used by Japanese tourists. The fi rst step to be taken is to introduce cultural activities in the buildings under reconstruction that will draw tourists or non-resident locals to the western part of the neighbourhood. Some of the most interesting uses for these buildings would be as museums, university buildings, and libraries. Furthermore traditional street entertainments could be organised not only in the Kitano-cho Plaza but also in other less utilised places of the district. The second step is to introduce a single street paving design for all of Kitano, and provide urban furniture and benches along the routes through the neighbourhood, especially in the western area. This would make the continuity of the place more visible to its users and would allow opportunities for stopping, resting – an important consideration when we think of the steepness of the north-south streets – and admiring the houses and the landscape. M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 291 Figure 8: Kitano-Cho, Kobe: complex map of project. The second action is to complete reconstruction, especially in the western zone. This action should go hand in hand with the fi rst. The reconstruction should be carried out according to a master plan aimed at improving the whole district of Kitano-cho. The post-earthquake reconstruction completed the museum houses and other buildings of cultural and touristic interest. In the study area one can still observe traces of earthquake damage. One of the most emblematic damages lies below the Dutch House in the eastern part. There are several buildings under reconstruction and empty lots overgrown with weeds, especially in the western part. 292 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) The fi rst step is thus to reconstruct the buildings to restore their original functions or create new ones. The second step is to create new spaces or buildings in the empty lots to make the western part of the Kitano district more attractive. The third action is to improve Urban Attractivity. The square in Kitano that is best known to tour- ists is the Kitano-cho Plaza. There are few public spaces in the neighbourhood. Besides Kitano- cho plaza, there is a playground near the Dutch House. The fi rst step is to create public spaces for residents, especially in the western part. Residents do not use Kitano much, since the place is mainly designed for tourism. The second step is to create public spaces in the eastern area, especially around the earthquake memorial – to be created as our fourth action – so as to obtain a space that is not only pleasing to the eye but also usable. The third step is to build new electricity pylons with less visual impact on the landscape than the current ones. In consideration of the fact that this is a historic neighbourhood, a plan for electricity pylons and street lighting harmonising with the prevalent style of the museum houses would improve the appearance of the whole district. The fourth action is to create an Earthquake Memorial in Kitano-cho. There are other memori- als elsewhere in Kobe, but a new one here would be something the neighbourhood residents could share with the rest of Kobe, improving their sense of belonging. The museum-house area, and especially its eastern limit, where one sees an empty lot and further on the collapsed house, could be a suitable place for this memorial, which would help to make the eastern area less ‘ crystallised’. The fi fth action is to create places of culture capable of attracting visitors from other countries as well as Japanese ones. As we have repeatedly observed, not only is Kitano-cho only visited by tour- ists, but these tourists are mainly Japanese, with the exception of visitors to the worship places. To make this special place also attractive to tourists from other nations, the fi rst step is to create a museum illustrating the history of Kitano and its principal attractions, such as the museum houses and Mount Rokko. The second step is to set up spaces for exhibitions, readings, and showing images and fi lms about or by contemporary or past artists from the nations of the museum houses. The sixth action to be undertaken is to improve urban green and natural resources. Although there is no scarcity of urban green in this district, several spots are overgrown with weeds. As we have observed above, these are found especially in the western part of the area. The fi rst step is therefore to create or transform the existing green spaces into play parks, panoramic gardens, or gardens for meditation. The second step is to integrate Mount Rokko in the Kitano-cho itineraries. The Japanese see Mount Rokko as a symbolic place but, in spite of Kitano’s nearness to the mountain, on which it borders, the neighbourhood is not regarded as being one with it. An improvement plan for Kitano taking account of its natural assets could establish a connection between the local mountain paths and the streets of Kitano through the setting up of panoramic points, spaces and urban furniture in a perspective of mutual enhancement. 3.3 Enhancing place identity Concerning enhancing place identity, three case studies were carried out in pedestrian or semi- pedestrian thoroughfares in some major European cities [21] - such as the Oxford Street in London, Ramblas in Barcelona – which will be showed below (Figs 9 and 10) [22] – and the Esplanade area in Helsinki which are dimensionally and geographically quite different, but share a central position and proximity to the core of the city and represent symbolic places for citizens, tourists and users in general. The aim of the experiments was to ascertain whether the current identity of the places is M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 293 Figure 10: Rambla de Sant Josep, Mirò’s painting on the pavement. compatible with their walkability and liveability and whether there are critical points where a sus- tainable urban design process may be developed to conserve and enhance their identity, and improve their image together with walkability and safety. As regards the Ramblas, the detection of the identity resources resulting from the complex map of analysis (Fig. 11) emerged to the greatest extent in the central pedestrian avenue rather than in the side streets. Figure 9: Rambla dels Estudius, stall selling small animals. 294 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) Figure 11: Ramblas, Barcelona, complex map of analysis. M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 295 The main critical points, as was observed in the previous paragraph, are found in the mix of hybrid elements coming from some stretches of the side streets and from some areas of the central avenue which make identity not entirely sustainable, creating, as shown in Phase 2 description and question- naire responses, and in the complex map of analysis, perceptions of unease and the sensation of a lack of safety amongst passers-by. In contrast, dynamicity, agreeable atmosphere, variety of functions and uses along the route and presence of historical buildings are the fundamental qualities. Indeed, along the central area, the visitor fi nds more characteristic urban scenes and it is here that strollers congregate in a continuous, sustained fl ow, often becoming an active part of the urban scene itself. However, the potential of the Ramblas derives above all from the mix of user needs and the places themselves. Tourists are on the lookout for entertainment, the possibility of taking time-out on public benches; they do not want to be harassed by traffi c noise nor live in fear of snatched handbags or wallets. The locals want to use the area without having to cleave their way through the crowd, they do not want to see litter on the ground, they want to be able to use their bikes and cars to move around, and, just like the tourists, they too want to be able to sit down occasionally and feel safe. The street artists need free spaces to improvise, where they can exhibit their skills freely in mimed scenes and games, but also in paintings, caricatures and other things of this kind. The itinerant sellers need room for their stalls, where they can sell small pets, fl owers, souvenirs, newspapers, postcards and posters. The buildings fl anking the Ramblas also deserve a prominent role due to their artistic merit and their function as a testimony of times gone by, but they also need ongoing maintenance and appropriate use. The historic shops and emporiums look to their own sur- vival and the continued sale of their typical products, but they too have architectural worth and attract with their window displays. The fast food outlets seek to meet the rapid feeding requirements of the enormous crowds of passers-by, at times also utilising sidewalk space with tables and large trash receptacles. The publicity blurbs, shop signs and various types of lighting seek to enhance products and outcompete their rivals. The harbour, with its statue of Christopher Columbus set in the midst of all this, claims a role of its own. Finally, the trees clamour for their own Lebensraum and constant nurturing. As regards the elements noted for re-design of the Ramblas, these take into account the different requirements both of the users and place elements (Fig. 12). Interventions which were designed are based on the construction of the places according to their tangible and intangible characteristics. All the factors noted during the different phases were put into play in order to ensure that the complexity of this place is not reduced: spaces, architecture, people, transient perceptions, permanent perceptions, urban events, relationships and rhythms. The symbols were created using simple geometric shapes related to the idea of the proposed interventions. De-congesting the routes, restoring old activities, enhancing elements of historical, cultural and identity value, harmonising urban furniture, giving identity to what is transitory, respecting the nature, and virtualising the path are some of the interventions which, if duly integrated, should prove benefi cial. The principal need is to de-congest the central pedestrian avenue by means of a series of micro- interventions which could include the following interventions: enhancing the cultural resources of lateral carriageways; creating suitable urban furniture; designating the side streets as limited traffi c areas; creating a cycle track; and applying traffi c calming measures at the intersections and points of major traffi c convergence. The second action for the Ramblas is restoring traditional activities, enhancing and/or recovering typical historic shops, some of which could link up with the specialities of the goods on sale on the 296 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) Figure 12: Ramblas, Barcelona, complex map of project. M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 297 stalls: for example the shops in the part of the Ramblas where painters work could sell canvases, brushes, paints and books on painting; the shops in the area where small pets are on sale could sell cages, special pet beds and other gadgets; the area with fl owers could sell gardening tools, books on gardening, etc. Another possibility is the insertion of quality souvenir shops referring to these speci- ality goods. We then propose to enhance elements of historical, cultural and identity value. This means provid- ing for the maintenance and enhancement of the historical buildings – which e.g. in the last stretch of the Ramblas has been less thorough – also eliminating graffi ti. Furthermore we suggest enhancing some elements and perceptions which are representative of its identity, including, e.g. the azulejo of Carrer de la Portaferrissa, the Mirò painting on the pavement, the statue of Christopher Columbus, some decorated elements of old urban furniture and visual perception of the Guell Palace. Another need is to harmonise urban furniture. We fi rst suggest the re-planning of the pavement by differentiating the various areas of the central avenue and the side streets, enhancing the area with the painting by Mirò in the central point of the Ramblas, the terminal stretch with the statue of Columbus and the landmarks in the area. Furthermore, we propose designing a unitary urban furni- ture project, which is both harmonic with already existing furniture of historical value and useful for the various functions. This should include: benches for a brief rest; trash receptacles also in the vicinity of the fast food outlets; coordinated shop signs, lights, and publicity panels and advertise- ments, above all as regards the side streets. Continuing in this sense it is important to give identity to what is transitory, creating small mobile platforms for street artists and vendors. In this way, anyone could have their own recognisable space, harmonic with the place, and chaos could be eliminated from the urban scene. Another fundamental action is to respect nature. The trees of the Ramblas are necessary for their quality image and for the balance of its urban and environmental ecosystem. The trees are now increasingly used as objects to put or support tools useful for artists, street vendors, etc. It is impor- tant to create a suitable space for such articles and that trees and their ecosystem are duly respected. A last intervention involves to virtualise the path going on line with the creation of multimedia guides. The various peculiarities of the Ramblas can be presented and made more user-friendly by means of multimedia guides via satellites accessible for example from cell phones. In this way visi- tors can be steered towards alternative personalised and less crowded routes which they can follow with the help of multimedia texts and maps. 4 TWELVE PRINCIPLES FOR PLACE IDENTITY ENHANCEMENT The case studies gave rise to 12 principles for place identity enhancement, created from a reasoned set of blueprints for the various experiments carried out using the PlaceMaker method [23–25]. 1. Identity resources of a place have to be protected and enhanced so as to give the place in ques- tion a distinctive character. In order to counter the standardisation of places which tends to make sites increasingly similar to one another, it becomes ever more necessary to protect identity resources. A site should have elements which make it unique and recognisable. In order to be sustainable, an urban project must be integrated with the identity of places. 2. Place identity has to be determined with ad hoc methods. Place identity is a complex concept that requires identifi cation of the various factors and elements which make up a place. There are many such elements forming place identity, increas- ingly compromised by the acceleration of urban change and globalisation. In order to make 298 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) identifi cation as thorough as possible, ad hoc methods have to be used both to detect such com- plexity and specify guidelines for design. 3. Attention to context is to be understood from a social, environmental and urban perspective. The context of a place has characteristics not only related to its architecture, urban form and culture, but also to the people who live there, and its environment, understood as natural resources. For sustainability in its broadest sense, respect of all these components is required. 4. The maintenance of buildings, roads and public spaces should be programmed. Roads and public spaces have to be maintained in the same way as buildings. Programmed maintenance should be performed periodically in order to ensure constant quality of public spaces as well as buildings within. 5. Places should perform functions which do not cause intensive use that can damage site quality. Monofunctional uses can cause damage to place identity. An example of this is the case of pedestrian thoroughfares of historical importance, used only for business. Combined uses of places should be aimed for, provided they do not compromise place identity. 6. Local businesses should be enhanced. The intensive use of sites by mass tourism leads to businesses that result in rapid consumption of places at the expense of their culture. It is instead necessary to promote local businesses to ensure residents put down roots where they live. 7. Users of a site should be questioned about place identity during both the survey and design phases, taking different needs into account. Site users, the prime recipients of urban transformation projects, should be interviewed at vari- ous stages in the transformation process of an area, with particular attention to the identity of the place in question. The project will thus be more likely to succeed since various needs will have been taken into consideration. 8. Place identity should be monitored periodically. Given the great acceleration of the rate of urban change, it is important that place identity be periodically monitored in order to understand evolution and change in time and prevent identity being compromised. 9. Vehicle use in areas with heavy pedestrian throughput should be avoided or slowed down. In emblematic thoroughfares and historical centres the use of private vehicles is an annoyance factor. In this respect, in such places vehicle speed should be slowed down with appropriate traffi c calming measures, or private vehicles should be banned altogether. The use of bicycles and dedicated lanes should where possible be encouraged. 10. The safety of users is paramount. The users of streets and public spaces in general need to be protected. In this respect, projects should ensure safety both as regards possible collisions with vehicles, with appropriate separa- tion between the different types of fl ows, and as regards possible criminal acts, encouraging mixed uses of the places in question during the different times of the day. 11. Proper enjoyment of the physical characteristics and natural beauty of the place should be considered a priority. We need to create places which foster the enjoyment of the elements that make up the history and culture of the place through projects which stimulate knowledge and sustainable use. By the same token, it is necessary to promote the enjoyment of all natural resources which are part of that place. 12. Respect for place identity should be considered a sine qua non within the framework of a proj- ect’s quality requirements. M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) 299 Respect for place identity lends quality to a project. Place identity should thus become an essen- tial aspect of urban planning tools so that it becomes a fundamental requisite for project sustainability. 5 CONCLUSION The paper presented the PlaceMaker method and the main results of three emblematic case studies. Furthermore it presents 12 principles for place identity enhancement, which were created from a reasoned set of blueprints for the various experiments carried out using this method for the analysis and design of the contemporary urban landscape. The PlaceMaker method derived from the need to identify the elements and places that are the components of contemporary identity, many of which do not fi gure in traditional cartography, and to identify principles for their planning and enhancement. The fl exibility of the PlaceMaker method, as is apparent in the various case studies we have illus- trated, enables it to be used in widely varying contexts and for a range of objectives. The investigation protocol can serve as a guide to be adapted and reinforced at some points, according to the charac- teristics of the place and the intended purposes. The innovative aspect of this method consists, on one hand, in the integration of different modalities and instruments for obtaining the information required to render objective and measurable even those elements which are subjective and ephemeral, and in the construction of the complex map which sums up, by means of a graphic system of symbols and the relevant key, the data obtained; and on the other hand in exploiting the complexity of the data obtained to construct the planning guidelines. Accordingly, the purpose of the 12 principles is to provide urban planning guidelines for the con- struction and enhancement of sustainable place identity. The concept of identity is interpreted in line with the defi nition of Kevin Lynch who refers this concept to the set of characteristics which make a place unique and recognisable. Although the concept is intended as a set of characteristics in a positive sense, it is also possible that these features are not sustainable or are not consonant with the history and culture of the place itself. Indeed, the set of characteristics may consist, for example, of the shops whose furniture dis- fi gures the ground fl oors of buildings and prevents appreciation of an urban thoroughfare, but which make that location recognisable. A further example might be the set of elements in a public space which makes that place distinctive but which people in that neighbourhood do not use since it fails to give them a sense of belonging. The 12 principles aim to provide a check list which a project has to satisfy in order to enhance the identity of the place in question, making sure, however, that place identity is sustainable and is not used for the sole purpose of rapid consumption of intangible heritage. The principles should not be considered static, but dynamic, in keeping with the increasingly rapid rates of change in a place that continually leads to expanding the scope of the concept. These principles in their present form may thus be constantly updated to allow not only for changes in the contemporary city but also for new procedures and requirements in site design. REFERENCES [1] Lynch, K., The Image of the City, Mit Press: Cambridge, 1960. [2] Hague, C. & Jenkins, P. (eds), Place Identity, Participation and Planning, Routledge: Abingdon, 2005. [3] Vale, L.J. & Warner jr., S.B., Imaging the City. Continuing Struggles and New Direction, Center for Urban Policy Research: New Brunswick, New Jersey, 2001. 300 M. Sepe, Int. J. Sus. Dev. Plann. Vol. 9, No. 2 (2014) [4] Butina Watson, G. & Bentley, I., Identity by Design, Architectural Press: Oxford, 2007. [5] Cullen, G., Townscape, The Architectural Press: London, 1961. [6] Rose, G., Place and identity: a sense of place. A Place in the World? Place, Cultures and Globalization, ed. D. Massey & P. Jess, Open University/Oxford University Press: Oxford, 1995. [7] Carter, E., Donald, J. & Squires, J. (eds), Space & Place, Theories of Identity and Place, Lawrence & Wishart: London, 1993. [8] Christensen, K.S., Cities and Complexity, Sage Publications: Thousand Oaks, CA, 1999. [9] Castells, M., The Power of Identity, Blackwell: Malden, 1997. [10] Nasar, J.L., The Evaluative Image of the City, Sage Publications: Thousand Oaks, 1998. [11] Appleyard, D., Livable Streets, University of California Press: Berkeley, 1981. [12] Whyte, W.H., The Social Life of Small Urban Spaces, Project for Public Spaces Inc.: New York, 1980. [13] Urry, J., Consuming Places, Routledge: London, 1995. [14] Carmona, M., Heath, T., Oc, T. & Tiesdell, S., Public Places-Urban Spaces, Architectural Press: Oxford, 2010. [15] Banerjee, T. & Loukaitou-Sideris, A. (eds), Companion to Urban Design, Routledge: London, New York, 2010. [16] Gospodini, A., Urban space morphology and place-identity in European cities; built heritage and innovative design. Journal of Urban Design, 9(2), pp. 225–248, 2004. doi: http://dx.doi. org/10.1080/1357480042000227834 [17] Gehl, J., Life between Buildings: Using Public Space, Arkitektens Forlag: Copenhagen, 2001. [18] Sepe, M., Complex analysis for the sustainable planning and construction of the place identity: the sensitive relief method. International Journal of Sustainable Development and Planning, 1(1), pp. 14–31, 2006a. doi: http://dx.doi.org/10.2495/SDP-V1-N1-14-31 [19] Sepe, M., Place and Planning the City: Mapping Place identity, Routledge: London-New York, 2013. [20] Sepe, M., PlaceMaker: supporting sustainable urban planning. Planning Practice and Research, 21(3), pp. 349–366, 2006b. doi: http://dx.doi.org/10.1080/02697450601090856 [21] Sepe, M., Anthropic risk and place identity: a method of analysis and a case study. Journal of Urbanism. International Research on Placemaking and Urban Sustainability, 3(1), pp. 95–121, 2010. doi: http://dx.doi.org/10.1080/17549171003765675 [22] Sepe, M., PlaceMaker method: planning walkability by mapping place identity. Journal of Urban Design, Routledge 14(4), 2009. [23] Gehl, J., Cities for People, Island Press: Washington, DC, 2010. [24] Jones, P., Marshall, S. & Boujenko, N., Link and Place: A Guide to Street Planning and Design, Landor Publishing: London, 2008. [25] Sepe, M., Principles for place identity enhancement: a sustainable challenge for changes to the contemporary city. Proceeding of Sustainable City 2012, WIT Press - Ashurst Lodge, Ashurst, Southampton, 2012. 
work_p3hbdbup2feqnefjyleurc7dbq	----	T h e A m e r i c A n A r c h i v i s T 652 T h e A m e r i c a n A r c h i v i s t , V o l . 7 4 ( F a l l / W i n t e r 2 0 1 1 ) : 6 5 2 – 6 6 3 Using GIS to Manage Philadelphia’s Archival Photographs Deborah Boyer, Robert Cheetham, and Mary L. Johnson A b s t r a c t The City of Philadelphia, Pennsylvania, has captured photographs of city building projects and other government activities for more than 140 years. These photographs are now main- tained in the City Archives by the Philadelphia Department of Records. Although many of the photographs were originally taken for risk management purposes, the passage of time has made them an invaluable source of reference into the city’s rich past. To make these historic photographs more accessible to the general public, the Department of Records implemented the geographically searchable PhillyHistory.org website in 2005, thus providing new opportu- nities for education and access. A H i s t o r y i n P h o t o g r a p h s The City Archives, operated by the City of Philadelphia Department of Records, holds the official historical records of the City of Philadelphia and is used by city officials to determine laws and precedent-making decisions of the past that may affect current city government actions and decisions. In addition to providing historic records to city officials, the archives also makes a variety of records available to the general public including genealogical records, deeds, and a large collection of historic photographs dating back to the mid- nineteenth century. For more than 140 years, the City of Philadelphia has maintained an active Photography Unit charged with capturing a photographic record of many of the city’s activities. As a result, the City Archives has accumulated an estimated one to two million photographs that visually document the city’s history dating back to the mid-1800s. Among its activities, the Photography © Deborah Boyer, Robert Cheetham, and Mary L. Johnson. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 653 U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s Unit takes before and after photographs of public works projects, a process that serves as a risk management tool. While originally taken for liability protection, these photographs also provide vivid illustrations of the development of one of America’s historically significant cities. Including images ranging from a dockside immigration station to the construction of elevated rail lines to children forced into classrooms as part of compulsory education programs, the photographs held by the Philadelphia City Archives connect viewers with the events and individuals of the past in a way that reading textual descriptions simply cannot. The photographs provide a visual interpretation of the past and an opportunity for viewers to transcend time and place. The Philadelphia Department of Records realized, however, that these photographs were of minimal value if the public could not access and explore them easily. Over the course of its history, the Photo Unit operated under and took photographs for several different city departments. While each photographic negative was labeled and stored in an envelope, the amount of information cataloged by the original photographer varied widely depending on the year, project, and needs of the department for which the image was taken. All the images were eventually transferred to the City Archives to be stored in a climate-controlled space and processed as resources were available. Before 2005, several photograph record groups had been cataloged using the original metadata noted by the photographers and listed in inventories available to archives staff and visitors. While these inventories provided access to a fraction of the photograph and print collection, many images had not been cataloged and remained inaccessible to the general public. In addition, many of the unprocessed photograph collections included negatives stored in their original acidic envelopes, creating preservation concerns as evidence of chemical deterioration became apparent. In 2004, the Department of Records began investigating opportunities that would enable them to address their concerns about access, organization, and preservation by making the images available in a digital format. Along with increasing access to the photos, the department sought a solution that would provide a way to manage the metadata associated with each image and include a revenue-generating component through the sale of prints and image licenses. In 2005, the Department of Records launched its solution—PhillyHistory.org, a Web-based digital asset management system developed by a software consultant that brings Philadelphia’s historic images out of the archived file boxes and into the digital world.1 Like many digitization projects, Philly History.org provides online access to images from the City Archives, enabling users to view historic photos of 1 Azavea served as the software consultant, http://azavea.com/, accessed 26 June 2011. See PhillyHistory at http://phillyhistory.org/, accessed 26 June 2011. U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 T h e A m e r i c A n A r c h i v i s T 654 the people and places of Philadelphia dating to the 1850s. Philly History.org, however, also uses geographic information systems (GIS) technology. Many of the images in the City Archives are of a particular location. When possible, each image has been geocoded (i.e., assigned latitude and longitude coordinates to link it to a location on a map). The geocoding process enables users to search for images by geographic criteria such as street address, intersection, or neighborhood name and to view the mapped location of each image. Users can also click on the map itself to access images associated with a specified place or geographic area, as shown in Figure 1. In addition to geographic criteria, users can also search the images by keyword, collection name, series, topic, timeframe, and other options. Search results can be displayed as a list of thumbnail images or on a full- page map. Clicking on a thumbnail image or marker on the map opens a detail page that includes a larger view of the image, its associated metadata, and an inset location map. Users can also view the image in Google Earth, access Google Street View for visual comparison of past and present landscapes, purchase an image, leave a comment, submit error reports, or share an image with others, as shown in Figure 2. F i g u r e 1 . The PhillyHistory map-based search interface. Users can access a search tool to retrieve results from the database. All images fitting the selected search criteria are returned, along with an over- view map of locations. Users can click on the images or the map to learn more. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 655 U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s P h i l l y H i s t o r y . o r g u s e r s Since its original deployment in 2005, the Philly History.org online collection has grown from 90 scanned images to a combined total of more than 96,000 scanned photographs and historic maps from five Philadelphia organizations. Visits to the website have increased from a few thousand a month to an average of 13,000 unique monthly visitors. Specifically, in May 2011, the Google Analytics2 statistics for Philly History.org stated that 13,166 visitors spent an average of 9 minutes and 19 seconds on the site. In 2010, over 2.4 million searches were conducted on the site. The Philly History.org website is freely available to anyone with an Internet connection. Philly History.org reaches a broad audience that includes teachers, students, historians, genealogists, librarians, architects, photographers, researchers, and many members of the general public, particularly current and former Philadelphia residents. As of June 2011, Philly History.org had 7,451 2 See Google Analytics, http://www.google.com/analytics/features.html, accessed 26 June 2011. F i g u r e 2 . Clicking on a thumbnail photo on the search page brings up a detail page that includes the image, a location map, and the descriptive metadata about the image. Users can also access Google Street View to see the location as it appears today. U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 T h e A m e r i c A n A r c h i v i s T 656 registered users. Although registration is not required, a registered account enables users to access additional features such as saving searches and submitting error reports. Of the currently registered users, 5,539 are from Pennsylvania and 585 are from New Jersey. The website also regularly receives visitors from across the country and around the world as shown by statistics gathered from Google Analytics. Registered administrative users also have role-based access to the management side of the website where they can add, edit, and otherwise maintain the images and metadata. Philly History.org has been recognized by several organizations. In 2007, the site received an Exemplary Systems in Government award from the Urban and Regional Information Systems Association (URISA), as well as a Best of Philly award from Philadelphia Magazine. In 2008, the Philadelphia Chapter of the American Institute of Architects (AIA) recognized Philly History.org for its contribution to the preservation and documentation of historic architecture. Most recently, the American Association for State and Local History awarded the Department of Records a 2011 Award of Merit for its work on Philly History. org. The project has also generated interest from historical organizations and municipal governments across the country.3 D i g i t a l S t a n d a r d s a n d P r a c t i c e s The Philly History.org project addresses organization, mass digitization, and preservation of images—topics of concern for many archives. The existing Web application is based on the Sajara software framework, a geographic digital asset and collections management system4 that enables the Department of Records’ distributed workforce to load, manage, search, and maintain thousands of digital assets and related collection information on an ongoing basis from anywhere with Internet access. Philly History.org’s geographic search and data management tools are based on industry-standard Microsoft, Esri, and open source technologies. For example, Sajara utilizes OpenLayers5 as its mapping engine because it enables each client organization to select from a variety of base map options or to integrate internally available GIS data sources. The Department of Records researched and established a digitization methodology for scanning and adding new images to Philly History.org. City Archives staff and the Philly History.org team select images for scanning based on historical significance, preservation needs, available metadata, ability to geocode, and perceived public and scholarly interest. When processing most 3 Philly History.org, “About,” http://www.phillyhistory.org/PhotoArchive/StaticContent.aspx?page=About, accessed 26 June 2011. 4 Sajara, http://www.azavea.com/Products/sajara/home.aspx, accessed 26 June 2011. 5 See OpenLayers, “Free Maps for the Web,” http://openlayers.org/, accessed 26 June 2011. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 657 U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s of the record groups, the Philly History.org team scans each image and makes it available online rather than selecting a representative number of images from each group. The majority of the photographs are unique shots of specific locations, and users often provide feedback that they would like as many images of different locations as possible. Rather than providing a more curated selection of a set number of images, digitizing and displaying nearly every image gives users a broader collection to search. Some series or record groups, however, may contain duplicate images or photographic proof sheets. Scanning every image in those groups would thus be redundant and an inefficient use of time and budget. Therefore, the Department of Records makes every effort to scan the images that are not duplicative and otherwise meet the prioritization criteria listed above. The Department of Records uses Epson Expression 10000XL scanners and Epson Scan software. Raw scans are made at a resolution of 600 dpi. Black- and-white negatives and photographs with no color tones are scanned to 16- bit grayscale, and color images are scanned to 24-bit color. After the initial scan, each image is converted to three different resolutions and saved as three separate image files. A 72-dpi Web-resolution copy of each image is uploaded to the Philly History.org website; a 400-dpi medium-resolution copy of each image is stored on an off-site server with the department’s software consultant and hosting service; and a 600-dpi high-resolution copy of each image is burned to CD and stored at the City Archives. The medium- and high-resolution images are used to fill publication and reproduction requests, and serve as backups of the digitized photographs. The descriptive metadata for each image is derived from the storage envelope housing the original negative or photograph. Depending on the image, the descriptive information can include the date, title, photographer, and location where the photograph was taken as well as the negative’s record group, such as Public Works, Schools, or Department of Streets. The Philly History.org team spends some time researching the location of an image to more accurately geocode it for use on Philly History.org. Geographic searches account for the most frequently used search criterion on the site with 661,119 address searches conducted from April 2010 to April 2011. The second most frequently used search criterion was time period with 177,933 searches from April 2010 to April 2011. As time permits, the Philly History.org interns may also add descriptive terms and tags in a notes field reserved for new metadata. Once the metadata for each image has been entered into the database, the associated image can be uploaded to the Philly History.org website. As the images are uploaded, they are automatically made available for viewing and searching to anyone visiting the website. Once the image is available online, registered Philly History.org users may submit error reports about the image. U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 T h e A m e r i c A n A r c h i v i s T 658 These reports often include additional information about the location or further description of the event or place depicted. Interns on the PhillyHistory. org team, often current or recently graduated students in master’s level public history or archives programs, investigate these reports and attempt to verify them using a variety of resources online and at the archives. If an error report is confirmed as accurate, the interns leave a note in the notes field reserved for metadata changes. The error report option is a popular feature, and users have contributed over 1,960 reports. Once a negative or photograph has been scanned, it exists in three different digital forms stored in three separate locations, to ensure that the image is safely preserved and easily accessible. The physical negatives and photographs are then placed in new archival-quality envelopes that contain all the descriptive information from the old envelopes, and these are stored in archival-quality boxes in a climate-controlled, secure environment. Interns complete the rehousing of the images as part of the digitization process. The images are thus both digitally and physically preserved and protected from further deterioration or destruction. r e v e n u e g e n e r a t i o n Philly History.org is partially self-sustaining through an e-commerce module that enables users to purchase framed prints or photo gifts such as coffee mugs, tote bags, and other merchandise that incorporates their favorite images. Sales are conducted through a photo commerce vendor who manages the payment transactions as well as the printing and shipping of the images and photo gifts in return for a share of the revenue. The remaining portion of the revenue is provided to the organization that holds the original image, with revenue from sales of images from the City Archives being placed into a general fund maintained by the City of Philadelphia. Philly History.org users take advantage of the option to purchase the images as prints and photo gifts. Many users provide feedback on how much they enjoy viewing historic images of locations important to their personal histories, which sometimes translates into sales of those images. More than $65,000 in additional revenue has been raised through the application as of April 2011. Since 2008, Philly History.org has served as a repository for images from organizations other than the Philadelphia City Archives. In addition to images from the archives, the site now contains photographs and maps from the Free Library of Philadelphia, the Philadelphia Water Department, the Philadelphia Office of the City Representative, and the Library Company of Philadelphia. While the first three organizations are city agencies that maintain historic image collections, the Library Company of Philadelphia is an independent research D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 659 U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s library specializing in American history and culture from the seventeenth through nineteenth centuries. Each department or organization receives any net revenue from sales of its images and maintains full rights for licensing images. While sales vary widely depending on the time of year—with sales activity increasing dramatically during November and December—the site provides an additional way for organizations to earn a small amount of revenue. i s s u e s a n d C h a l l e n g e s The development of the Philly History.org Web application has not been without its challenges, particularly in terms of the website’s geographic search capabilities. Urban geography tends to change over time, especially in older cities like Philadelphia. New streets are added as the city grows, and old streets are struck from the city plan as the result of new development initiatives. Although the majority of photographs housed in the City Archives have some type of geographic location associated with them, some of the nineteenth- century photographs reference street names that no longer exist or that are now in different geographic locations. Philly History.org is able to correct for many of these name changes by way of the city’s Unified Land Records System (ULRS). The ULRS contains a database of real estate parcels in the city that has been integrated with other important geographic data including addresses, land records, and tax accounts to establish a single, accessible repository for all Philadelphia addresses. Street aliases, which are the different names used for the same street at different times, are among the data available through this system. With this system in place, a search for “Delaware Avenue” and “Oregon Avenue” would return a large collection of photographs at or near the intersection of those streets. However, the website identifies these images as being located at Columbus Boulevard and Oregon Avenue because the database is designed to recognize that Christopher Columbus Boulevard’s previous name was Delaware Avenue. On the accompanying map, any photographs found along what was previously Delaware Avenue would be plotted along Christopher Columbus Boulevard for just that reason. Philly History.org also provides access to the Philadelphia Historic Streets Index, a detailed database of street name changes, compiled by a former City Archives employee from the original road records, docket books, jury decisions, and surveys held by the Philadelphia City Archives.6 Initially available as a spreadsheet, the software company that built Philly History.org expanded on this work and created the Philadelphia Historic Streets Index as part of an internal 6 PhillyHistory.org, “Welcome to the Philadelphia Historic Streets Index,” http://www.phillyhistory.org/ HistoricStreets/default.aspx, accessed 1 April 2011. U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 T h e A m e r i c A n A r c h i v i s T 660 research and development project beginning in 2005. Now available as a Web application on Philly History.org, the Historic Streets Index complements the photographic and mapping components on PhillyHistory.org and stands on its own as a tool for research on the temporal history of Philadelphia’s changing street names. Intellectual property is a question of major importance when developing any type of public Web application. Who owns the photographs on Philly History. org, and what rights and responsibilities are associated with that ownership? On 17 July 2006, the Philadelphia Law Department issued a memo indicating that the City of Philadelphia has the legal right to make available online any photographs currently held in the City Archives, as long as each photo was taken by a City of Philadelphia employee. This work-for-hire arrangement makes the photographs the intellectual property of the City of Philadelphia, and, as such, subject to publication, sale, or disposal as the city sees fit. As previously described, the digitization process includes physical preservation measures for the negatives and prints. The original images are not de-accessioned or destroyed after digitization but are instead maintained for future preservation and use. M a i n t a i n i n g i n t e r e s t t h r o u g h i n n o v a t i o n The Department of Records’ ongoing mission is to engage both new and repeat users in Philadelphia’s history by expanding and enhancing the existing Philly History.org website. The department continues to invest in the project through both the annual operating budget and supplemental grant funding. In conjunction with Azavea, the Department of Records has implemented a variety of features since 2005 including the following: • A regularly updated blog provides additional contextual information for the images. The entries are contributed by graduate students and local scholars. • In early 2009, Google Street View was added to the website to provide users with 360-degree street level views of the contemporary city landscape. This popular feature enables users to toggle back and forth between contemporary city views and the historic images to see how the city has changed over time. • A public profile page provides users with the option of displaying personal information such as their favorite images, bookmarks, or comments from the site. Users can comment on the historical images, respond to other users’ comments, or report abusive comments to the site administrator. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 661 U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s • Users can also share their favorite images via email, Facebook, Twitter, Digg, or other social networking services. The Department of Records continues to investigate funding opportunities to support potential new features on Philly History.org, including the creation of walking, biking, and driving tours by local scholars and the addition of images and maps from other Philadelphia organizations. M o b i l e A p p l i c a t i o n s a n d g r a n t O p p o r t u n i t i e s In 2009, to further increase public access and take advantage of the geographic nature of the images, the Department of Records worked with Azavea to develop a smart phone version of Philly History.org. Accessible on both iPhone and Android devices, this location-based mobile Web app version of Philly History.org provides an opportunity for the public to view historic images of Philadelphia while visiting the location where they were taken.7 In spring 2010, the National Endowment for the Humanities Office of Digital Humanities awarded the Department of Records a Digital Humanities Start-Up Grant that provided $49,885 to investigate the use of mobile augmented reality technology in displaying Philly History.org images.8 The resulting research is available in a white paper entitled “Implementing Mobile Augmented Reality Technology for Viewing Historic Images.”9 The Department of Records also released a prototype Augmented Reality by Philly History.org application that enables users to view historic images from Philly History.org as overlays on the current urban landscape. Users point their smart phone cameras at a location of interest, and the augmented reality data appears as an overlay right on the camera display in the form of the image and accompanying information. As a prototype, this application was available for Android and iPhone devices for a test period during spring and summer 2011. In its grant application, the Department of Records was able to demon- strate an ongoing commitment to supporting and improving Philly History.org, which is an important consideration for potential grantors. The application also outlined an external evaluation process by members of the local academic community; a feasible, well-defined work plan; and a clear and concise over- view of project approach and objectives. 7 See PhillyHistory.org, “Map Your Memories,” http://phillyhistory.org/i/, accessed 1 April 2011. 8 See Philadelphia Department of Records and Azavea, “City of Philadelphia Department of Records Awarded NEH Digital Humanities Start-up Grant…,” http://www.phila.gov/records/archives/ pdfs/Grants%20Augmented%20Reality.pdf, accessed 26 June 2011. 9 The white paper can be downloaded at http://azavea.com/augmented-reality, Azavea, “Augmented Reality for Cultural Institutions,” accessed 30 June 2011. U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 T h e A m e r i c A n A r c h i v i s T 662 While still in its infancy as a technology, augmented reality in cultural institutions has many potential uses, and the opportunity to explore the possibilities using an established project was likely another contributing factor to the grant award. In the case of PhillyHistory.org, augmented reality may serve as a means of engaging young people in the study of history, architecture, and photography or providing enhanced access to local history for tourists or other visitors. Accessing information and images about a building while standing in front of that building can be a powerful tool for understanding the intersections between the past and present. Prior to the Digital Humanities grant, the Department of Records also was awarded an Archives and Records Management Grant by the Pennsylvania Historical and Museum Commission to support digital scanning of photos.10 The $14,223 was used to support interns in 2007. C o l l a b o r a t i n g w i t h O r g a n i z a t i o n s Philly History.org has also become a tool for linking historical image and map collections belonging to different organizations and making them accessible to new audiences. The website now contains ten collections from five organizations: the Philadelphia Water Department, the Free Library of Philadelphia, the Library Company of Philadelphia, the Philadelphia Office of the City Representative, and the Philadelphia City Archives. Philly History. org’s robust search capabilities search and return results from all collections within the application, making it easier for students, teachers, and researchers to access material that would otherwise require visits to multiple sites. A system of watermarks and customizable metadata fields ensures that the institution that maintains each collection is immediately identifiable, and each detail view includes a link to additional information on the organization’s website. Administrative levels of access and site restrictions ensure that individuals can only edit and manage the data belonging to their organization. The collaboration with the Free Library of Philadelphia was funded by the National Endowment for the Humanities (NEH) and the Institute of Museum and Library Services (IMLS), which awarded the City of Philadelphia Depart- ment of Records a grant in August 2008 as part of the Advancing Knowledge: The IMLS/NEH Digital Partnership grant program. In collaboration with the Free Library of Philadelphia, the Department of Records used the $108,882 grant to make historically significant collections from both institutions available on Philly History.org and to further develop the website. The Department 10 See http://www.phillyhistory.org/PhotoArchive/StaticContent.aspx?page=About, accessed 26 June 2011. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 663 U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s of Records was one of only four recipients nationally to receive this grant in 2008.11 The Philadelphia Department of Records continues to look for oppor- tunities to expand the number of collections and organizations contributing to Philly History.org. Each organization participating in Philly History.org receives access to digital asset management and organizational tools as well as new technologies and e-commerce capabilities that might otherwise be unavailable to them. The organizations also collectively benefit from the increased traffic and access to new audiences that engagement in a collaborative digital project often provides. C o n c l u s i o n Public interest in Philly History.org has remained strong throughout the duration of the project. In a January 2010 survey completed by 198 Philly History. org users, 37% of respondents stated they used the site once or twice a month, and an additional 36% of respondents accessed the site every few months. Of the 198 respondents, 133 stated they found the site “very useful,” and an additional 57 respondents found the site “useful.” These statistics, combined with five years of visitor statistics, would appear to indicate an ongoing public engagement with the historic photographs. Despite public support for the project, users also point out room for improvement and request additional features. The same survey asked users what they see as priorities for future features, and 88% of respondents selected “additional photograph collections from other institutions” as a very useful priority. The Department of Records also receives frequent requests to include public photo contributions on the website. Public additions to Philly History. org are currently not possible due to limited administrative resources and intellectual property concerns. Budget and staff resources also hinder the ability to add collections. Users also submit suggestions for design changes and improvements to the user experience. As resources are available, the Department of Records tries to address these concerns. Over the course of six years, Philly History.org has created a new paradigm for how a municipal archives can utilize geography to access historic collections, interact with the general public, and create enthusiasm for historical images and resources while also generating revenue that supports continued operation. 11 See PhillyHistory.org, “About.” U s i n g g i s T o m A n A g e P h i l A d e l P h i A ’ s A r c h i v A l P h o T o g r A P h s D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.74.2.028511q0360x327r by C arnegie M ellon U niversity user on 06 A pril 2021 
work_pbraib4w4fh2vjzpgpx4ojhghq	----	Native American Beers Weston La Barre Yale University, New Haven, Connecticut American Ethnologist, vol. 40, pp. 224-234, 1938 Although conservative opinion would consider the contended aboriginality of New World distilled liquors as yet undemonstrated, there is ample evidence of the wide distribution both in North and in South America of native undistilled alcoholic liquors, or beers and wines. Since the plant-substances of which these are made vary considerably, and since the usage of terms has sometimes been rather loose, we define these terms before discussing the distribution of the liquors themselves. Aguardiente (contraction of Sp. agua ardiente, "burning water"), properly speaking a brandy of Spain and Portugal, generally made of grapes; but in Latin America it is applied to various spirituous liquors. In California and New Mexico the name is used for American whisky, in Mexico for pulque, while the aguardiente of the Chiricahua is an undistilled yucca beer.1 Algoroba, a South American beer made from the fruits of leguminous plants, Prosopis alba, P. pallida and P. juliflora (mesquite beans). Asua, a beer of the Quichua-speaking groups and others of mountainous Ecuador, made by boiling and crushing maize, and allowing it to ferment in a sealed vessel. Atole, atolle (Mex. Sp. from Nahuatl atolli) is properly a mush made of Indian corn, a favorite food in Spanish-American countries; also diluted and used as a drink. On the Colorado and Gila Rivers the bean of the mesquite, Prosopis juliflora DC, containing 25-30 percent sugar, or the screw bean, "tornilo," or P. pubescens Benth. are cooked, pounded, mixed with water, strained, and allowed to ferment into a beer.2 Balché, the Mayan name of a plant, extended in usage to a drink made of its bark mixed with wild honey and fermented; the same as pitarrilla.3 Cachiri, kaschiri is made of cassava (Jatropha manihot, mandioca, tapioca, Brazilian arrowroot); the starchy juice is pressed out and fermented, or, according to Lewin,4 it is chewed in the starchy form, which aids the change into sugar. [225] Cangui, the maize beer or chicha of the Avas or Chiriguano of the Bolivian Andes, q.v. Cauim, a name for cachiri in Brazil; same as pajuarú. Caysuma, the Ega name for cachiri. Chanar, a drink made of Gourliea decorticans (a plum-like fruit) by the Pilcomayo tribes.5 Chicha (Am. Sp. from the Taino chicha, Quichua chica, Galibi huicú), a beer made of maize, boiled, chewed, put in large pots covered with leaves, and fermented.6 Chontarúru, the cultivated chonta palm (Guilielma sp.), bears a fruit from which the Canellos and Jíbaros of Ecuador make a wine; the wild species Bactris and Iriartea are also used.7 Colonche is made of the fruit of several species of Opuntia (esp. 0. tuna Mill and 0. Ficus Indica Haw.). The fruit is peeled and pressed, the juice passed through straw sieves, to ferment near a fire or in the sun. The pinkish liquor tastes somewhat like hard cider. Although there are Opuntia spp. available in the American Southwest, colonche appears to be entirely Mexican in distribution.8 Haren, a Papago name for sahuara wine, q.v. Kiwa, a Gran Chaco name for algoroba; Prosopis juliftora beans are chewed and fermented in goat-skins, as the natives chant and beat the drum to drive away evil spirits who would spoil the brew. Only men drink it. Mazamorro, a drink of the Nicarao and Chorotega of Nicaragua, made of a mixture of honey and ground corn.9 Mescal (from Aztec mexcalli, "metl [maguey] liquor"). In its primary sense is the fleshy leaf-base and trunk of various species of Agave. It is an important food source among most of the tribes within the plant's range, of diverse linguistic stocks: Mohave, Yuma, Cocopa, Kawia, Southern Diegueno, Walapai, Kaibab Paiute, Havasupai, Chiricahua Apache, etc. The Mescalero Apache derive their name from their use of this food. The American Spanish mexcal, mezcal, or mescal comes from the same Nahuatl root, and refers to a Mexican brandy distilled from agave beer, properly called pulque. Note that the Aztec lacked the brandy "mescal" in the modern sense, though they had pulque. In its secondary sense of intoxicant, the term mescal has been misleadingly extended to the "mescal" bean (Sophora secundiflora Lag ex DC), a narcotic red bean of the southern Plains, Southwest, and northern Mexico, which was formerly involved in cult use; various Apache groups sometimes mixed it with their mescal or pulque, to strengthen it. Another misleading and widespread extension of the term is to the cactus Lophophora williamsii, the "mescal button" or "mescal bean" of the Plains. The [226] "tea" made from the dried top of the cactus is not the drink "mescal" nor does the plant resemble a bean; the confusion comes from the fact that Lophophora williamsii, like Sophora secundiflora, was sometimes used in the Southwest and northern Mexico to fortify agave-beer, i.e., pulque or "mescal."10 Mistol is a wine made of the fruit of Tizyphus mistol (which resembles over-ripe grapes). Nawá, a Huichol name for tesvino. Paiva or Paiwari, a name for arrowroot beer in British Guiana; see cachiri. Pajuarú, a name for cachiri in Brazil.11 Pissioina is a native beer of the Yuma, prepared by roasting wheat grains over a charcoal fire until light brown in color, pulverizing them, and fermenting the mixed mash with water.12 Pitahaya (from a Haitian or Cuban word) is a name applied in the Southwest to the sahuara. Pitarrilla is the drink made from the balché plant, q.v. Pulque (Mex. Sp. pulque, of uncertain origin; probably from a Carib source [Cuban or Haitian], but also conjectured to be ultimately a corruption of the Sp. pulpo, flesh, pulp) is agave beer. The maguey or Agave Americana is the commonest source. From time immemorial the maguey has been cultivated for the abundant sap or aguamiel, which collects in the cavity made in the heart of the plant by the removal of the young central leaves. The juice abounds in sugar and muci[227]lage when the maguey is about to flower, and is fermented in reservoirs of rawhide. It resembles spruce-beer in the early part of the process, but at the end acquires the putrid odor of the animal matter in the hides. The national drink of the Mexicans, it smells much like half-turned buttermilk, but it is cooling, refreshing, nutritious, and stimulating. It contains three to four per cent alcohol usually.13 Sahuara is a name of native origin for the giant cactus Cereus giganteus Englin. from whose fruits a wine is made; variations are saguaro, suwarrow, etc. This is the Mexican pitahaya, which has a fluted column thirty to fifty feet high, crowned in season with handsome pink flowers. The fruit is two or three inches long, full of rich crimson pulp of fine flavor, a great delicacy to the natives of the region. A dear light brown syrup is prepared from it which is used as a substitute for sugar, sad from the syrup a sourish strong beer is made. The still larger and sweeter fruit of the pitahaya dulce of Sonora and Lower California (C. Thurberi Englm.) is used for the same purpose.14 Sotol (from Nahuatl zotoli, the ancient Mexican name) is the designation given in the southern United States and Mexico to several species of yucca-like plants belonging to the genus Dasylirion, sometimes called "bear-grass." The fleshy crown at the apex of the stem of D. Texanum and D. Wheeleri is roasted and eaten by the Mexicans and Indians. The watery juice is easily pressed out, and is not unpalatable, but cooking alone sweetens it. As with mescal, the name of the drink derives from that of the plant, though it is sometimes called mezcal de sotol.15 Taroba is the cassava beer of the Tapajós region. Tepache is maguey aguamiel fermented (after the addition of sugar and water) into a pulque-like beverage. Tequila is a place name applied to a mescal brandy, precisely as are the terms Scotch, Pilsener, Münchner, Champagtie, Port, etc. This town is in the State of Jalisco and contains modern factories which produce the best brand of mescal.16 Tesvino, tizwin, tesgüino, etc. (Mex. texgüino, fr. Nahuatl teyhuinti, "intoxicating") is prepared from corn sprouted, dried, ground and fermented; it is a typical Apache drink, also called tulpi or tulapai.17 Toach is a Huichol name for mescal beer. (Compare Nahuatl toloache =datura). Tshawi is the Tarahumari (and perhaps also the Tepehuane) name for mescal beer or pulque.18 Tukspai, tulpi, are Apache names for pulque. Tusca is a beer of South America, prepared from the Acacia aroma. [228] Ui is a Jíbaro wine made from the fruit of the chonta-palm (Guilielma speciosa, cultivated for the purpose in Ecuador); the chontarúru of the Canellos.19 This survey does not pretend to be exhaustive, but it includes the commonest of the native names found in the literature, and most of the other native drinks may be referred to one or another of the types cited. We may now summarize by tribe and area the distribution of native American alcoholic liquors, and indicate some of their uses ceremonially. With respect to Central and South American intoxicants:20 "it is worth noting that at the only part of the American continent, trodden by the foot of Christopher Columbus, namely the coast of Venezuela, the great discoverer observed and recorded the two alcoholic drinks used by the natives; they were the same as in Mexico, one prepared from corn, the other from the Maguey." Drinks with a basis of maize (boiled, chewed, and put in earthenware pots to ferment) of the chicha type were used from Mexico to Guatemala, Yucatan, and Darien, and to the high plateau of Bogota in the south; they are also found among the inhabitants of the Andes, in Ecuador, Peru, and Chile to Araucania and eastward from the Orinoco, and in Guiana as far as the territory of the Amazon. This maize drink was the national beverage of the Indians of the Guarani group, especially the Abas or Chiriguano, also of the half- civilized Indians of the Andes, the Coroado and Quichua speaking Indians of mountainous Ecuador (asua), the Quichua and Aymará of Peru and Bolivia. The Aymará and Quichua sacrifice chicha to the earth to promote the increase of the maize crop. At the great arete or drinking-feasts of the Ava or Chiriguano, the aña or spirit of the corn itself was thought to be present. Every important occurrence-marriage, the birth of a child, or death-is celebrated with dancing and excessive drinking of maize-beer, chicha or cangüi. Another method of manufacturing alcoholic beverages in South America was to ferment the starchy juice of the pressed or chewed cassava (Jatropha manihot). Its use extended southeast from the territory west of Magdalena to about 500 west longitude, north to the Caribbean, and south to the Amazon and the upper reaches of the Tapajós. It was called paiwari or paiva in British Guiana, taroba on the Tapajós, caysuma in Ega, cachiri among the Roucouyenne, and cauim or pajuarú among the aborigines at Brazil. One of the most important feasts of the Jibaro is the noa tsangu or [229] "feast of the women,"21 which has particular reference to the harvest of the manioc and other garden plants. The paiwari of the Guiana Indians and the kaschiri of Brazil play the major part in religious affairs, especially the death-feasts, in which its consumption is believed to give the drinkers the power of resistance against evil spirits. At the great victory-feasts which the Jibaro celebrate when the head of an enemy has been taken, manioc-beer is consumed by the warriors; without it the object of the feast could not be accomplished. In Ecuador, as elsewhere in South America, fermentation is brought about by chewing. Karsten writes that "the saliva, which shares the natural magical power of the whole body, is supposed favorably to influence the spirit that is active in the fermented drink." Yucca angustifolia, Y. glauca, and Y. filamentosa were used by the Jibaros and Canellos of eastern Ecuador, and by the Cholones of the upper Huallaga region. The manufacture of yucca beer was surrounded with ritual, and during the fermentation in earthenware jugs, the women squatted around the vessels singing magic chants to aid the process.22 The Indians of Ecuador make chontarúru (Canelios) and ui (Jibaros) of the fruit of the chonta palm, and both its cultivation, preparation and consumption are heavily ritualized. The growth of the tree and the ripening of its fruit is thought to be due to the wakani or soul inhabiting it; and since the wakani of the chontarúru palm is male, it is planted and tended by men. When the fruit is ripening and the beer is being prepared, great feasts are held at which dancing and singing are performed to "hurry up" the ripening and fermentation.23 The Matacos, Chorotis, and Ashluslay all make algoroba beer. The Matacos, for example, beat a drum every night for about a month previous to the beginning of the algoroba season (the end of November until early February) to expel the evil demons which would prevent the fruit reaching maturity, and to influence the spirit of the tree directly. The Toba, again, perform a dance to accelerate the ripening of the fruit. The beer of the Chaco Indians is thought to derive its power from the very spirit that animates the algoroba tree and other plants which they use.24 The seeds are chewed for fermentation in goatskins, and men alone drink it. Other South [230] American native drinks are made of the Acacia aroma (tusca-beer), Gourliea decorticans (chanar-wine), and Tizyphus mistol (mistol). The drinks of the Antillean region appear to affiliate with northeastern South America. Gower writes:25 "The popular beverage in the Antilles. . . was a mild intoxicant made with chewed cassava bread or corn. It was imbibed on all festive occasions. . . . Dancing attended all Antillean celebrations. In connection with the dance there was a great consumption of an alcoholic drink made with chewed cassava. The same sort of festivity is frequent in Guiana." Both the Taino (Arawak) and Island Carib made the drink. In Central America, the Nicarao and Chorotega of Nicaragua made mazamorro, a fermented mixture of ground corn and honey. The Maya of Yucatan likewise prepared a mead called pitarrilla, consisting of the bark of the balché tree and wild honey fermented in fresh water.26 Farther north, in Mexico, we have already mentioned the Aztec use of pulque or "mescal." The Huichol preparation of toach is described as follows: "The hearts of the [mescal] plant are baked between hot stones in an earth mound; then they are crushed, mixed with water, and left to ferment in cowhides, each of which is suspended between four poles. After the mass has stood in this way us the open for about a week it is ready." The Huichol also make tesvino or nawá by mashing sprouted corn on a metate, boiling it down, adding more water, and straining it into gourds; after twelve days it is ready to use. Besides these, they make a "wine" from corn-stalks, another from the juice of the mashed guayabas fruit, and still another from sotol. Tequila or Mexican brandy is also drunk at festivals, for no Huichol ceremony would be complete without intoxicants.27 The Tarahumari made a "wine" from corn-stalks, corn tesvino or tesguino, sotol and tshawi (agave pulque), adding the narcotic frijolillo (Sophora secundiflora or "mescal bean") to fortify it. The maize-beer bata-like was of central importance in Tarahumari life. All celebrations, dances, and religious ceremonies required its preparation and drinking; it was given with the mother's milk to the newborn baby, who was also [231] "cured" or sprinkled with it. It was applied externally for all diseases as a remedy; it was the means of payment to assistants for the cultivation of the fields, and a sacrifice to obtain rain. Drinking it at feasts marked the turning-points in Tarahumari life: a boy's maturity, a girl's seeking for a husband, at marriage feasts, and at funerals as a sacrifice to the dead. It was even drunk for luck before going hunting or fishing.28 The Tarasco, whatever they may have formerly made in the form of alcoholic drinks, now rely on Mexican aguardiente, or sugar-cane rum. The Tlahuiltec use this exclusively, but the Tepecano drink sotol and probably pulque also. The Tepehuane on special occasions use "vino, or mescal," like the Tarahumari tshawi, or agave-pulque, though they do not make corn tesvino. The Comecrudo word afisián is translated by the Spanish terms mezcal, aguardiente or vino. The Cora drank home-made mescal at their puberty rituals.29 In the United States, nearly all Southwestern groups save the Pueblos used intoxicants. The Apache of Arizona and New Mexico often preceded their ceremonial drinking of tizwin or tulpi by a long fast, that they might the better experience its effects. The Chiricahua Apache make tesvino or tulpi, sometimes adding other substances to make it more intoxicating; they likewise make a drink of various species of yucca whose fleshy, banana- like fruit contains much sugar. The species most commonly used are Yucca baccaia Torr., Y. macrocarpa Colville and Y. Treculeana Carr. The Chincahua have a Coyote story involving the use of "mountain laurel berries" or "mescal beans" also. The Coyotero make tesvino and recently have begun mixing whisky with it to make it stronger. The Mescalero mix tulipi with the inner bark of a pine tree; the San Carlos Apache make pitahaya wine as well as tulipi, and to their tesvino added numerous other substances. 30 The Tonto make tesvino, which they occasionally "spike" with whisky. Tulapai is made by the Western Apache also. The White Mountain Apache sometimes add the roots of Datura meteloides and other plants to their tulapai.31 [232] Even today, in the northern part of their reservation, the Papago make a fermented liquor from the fruit of the giant cactus or sahuaro (also called baren, sawado, or saguaro). When the fruit is ripening, the laughingly point at it and say, "See the liquor growing!" and sing songs about it. The liquor was formerly the central feature of their seasonal rain- making ceremonies: "Much, much liquor we made," said a Papago woman, "and we drank it to pull down the clouds." In its preparation the men dance in a great circle around a fire, following a leader with a rattle, and later the women join them so that men and women alternate in the circle. Thus they dance and sing for two nights, while the medicine men make magic with strings of eagle feathers and sprinkle the dancers with eagle down, which symbolizes clouds. Next the liquor is strained through baskets and a gourd is passed around until all the liquor in the council house is consumed. Then they visit from house to house and drink the liquor which each woman has brewed and buried in the ground with the injunction, "Do you ferment and let us get beautifully drunk." No family may drink its own liquor lest the house burn down, but they drink at other houses, vomit, and go on to visit others and sing songs. The Papago also manufactured corn tesvino, and sometimes mescal, or got it and sotol from Mexico.32 The Otomi, like the Mazahua, drank pulque, while the Opata used corn tesvino as well as drinks made of native grapes and a number of cacti. The Pima and Manicopa prepare sahuara wine, and the Pima make agave pulque in addition. The Manicopa lack both pulque and tesvino, but they gathered the cactus fruits near the Yavapai country in mid- June. They boiled a large number of pots of the juice, and in fermenting mixed them so that all would be ready at about the same time two days later. Manicopa custom dictated that the guests must have become drunk before the host may partake, after which friends of the invited guest might drink. The custom was rigidly formalized.33 The xatca or "wine" song, performed at no other time, was part of the drinking festivities. An informant of Spier's said of the Manicopa that "when they were drunk they thought of war." The song told of "red water," i.e., blood, and how it was made (though the drink is blood-red in color, the name of the song means neither "blood" nor "red water"). It told how the enemy had come to drink with them: they had joined in battle, and now [233] they would drink together. The intoxication and incitement of the song commonly ended in a decision to go on a raid, for at the time the sahuaro was harvested the Yavapai were camping in the mountains not far distant, not as in winter, in isolated caves. The same song is recorded for the Halchidoma, who say the Pima got it from them, and the Maricopa from the Pima, though Dr Spier notes verbally that the indicated direction of diffusion is not too probable. The man who had first dreamed the song had heard the enemy singing it. In connection with this reference to war, Cremony writes:34 "It is upon [sahuaro] liquor that the Pinoos, Maricopas, and Yumas get drunk once a year, the revelry continuing for a week or two at a time; but it is also a custom with them to take regular turns so that only one-third of the party is supposed to indulge at a time, the remainder being required to take care of their stimulated comrades and protect them from injuring each other or being injured by other tribes." The Gila River Vuman trait of making a fermented drink from the fruit of the giant cactus or sahuaro, according to Kroeber, is lacking among the Colorado River Yumans. The Havasupai, Walapai, Mohave, Cocopa, Navaho, and Ute, like the Pueblos, lack native alcoholic intoxicants.35 However, Park reports for a region much farther north that the Paviotso made a "fermented drink from a reed-like plant," and a number of tribes in California are said to have made a cider from manzanita berries, which was fermented. The pissioina liquor of the Yuma, made of wheat roasted until brown, pulverized, and fermented in water, is not aboriginal, at least as far as its basis is concerned. Kroeber says the Gila is the northwestern limit of alcohol, but the problem remains as to why the sedentary grain-growing Pueblos lacked fermented liquors when many of their nomad neighbors had them. Havard would make this largely a question of geography, involving the historical accidents of a possibly late diffusion of the trait. Beals, more plausibly, admits a possibly late diffusion, but suggests that there may be something in Pueblo ritual and belief antagonistic to the spread of the trait. The explanation by differential diffusion gains weight when it is recalled that the jimson-weed cults of northern Mexico are found in southern California as far north as San Francisco Bay, and not in the Pueblos; and that, similarly, [234] the peyote cult of northern Mexico affected only one Pueblo, Taos,36 besides such Southwestern nomads as the Mescalero, before jumping northeastward to run riot in the Plains clear up to beyond the Canadian border. The heavily institutionalized and ritualized religions of the Pueblos evidently found little place in them for such orgiastic experiences as the California datura-intoxication, the Yuman alcoholic or dreamed vision, or the individualistic Plains peyote-vision.37 Notes 1 - V. Havard, Drink Plants of the North American Indians, Bulletin, Torrey Botanical Club, Vol. 23, No. 2, 1896, p. 37. This writer (p. 34) sums tip the general opinion on precolumbian alcoholic liquors: "The discovery, in some parts of Mexico, of crude stills constructed of native material, has led some authors to think that distillation may have been practiced on this continent before the coming of Columbus, but there is no ground for such belief in the accounts of the first explorers nor the Indian traditions." 2 - L. Lewin, Phantastica, Narcotic and Stimulating Drugs (New York, 1931), p. 169 (asua); Havard, Drink Plants, p. 37 (atole). 3 - M. H. Saville (ed.), Reports on the Maya Indians of Yucatan, etc. (Indian Notes and Monographs, Vol. 9, No. 3,1921), pp. 151-52; glossary, p. 217. 4 - Lewin, Phantastica, p. 169 if.; R. Karsten, The Civilization of the South American Indians (New York, 1926), pp. 312-15. 5 - Karsten, Civilization, p.311. 6 - Havard, Drink Plants, pp. 34-35; etymology from the Century Dictionary. 7 - Karsten, Civilization, pp. 304-305. 8 - Havard, Drink Plants, pp. 36-3 7. 9 Oviedo, cited by S. K. Lothrop, Pottery of Costa Rica and Nicaragua (Contributions, Museum of the American Indian, Heye Foundation, Vol. 8, 1926), Vol. 1, p. 34. They also made a wine of plums (p. 54). 10 - F. W. Hodge (ed.), Handbook of American Indians North of Mexico (Bulletin, Bureau of American Ethnology, No. 30, 1907-10), Part 1, p. 846; E. W. Giiford, The Cocopa (University of California Publications in American Archaeology and Ethnology, Vol. 31, No. 5, 1933), p. 267; L. Spier, Southern Diegueno Customs (same series, Vol. 20, pp. 297-358, 1923), p. 335; A. L. Kroeber (ad.), Waiapai Ethnography (Memoirs, American Anthropological Association, No. 42, 1935); E. Sapir, Field notes on Kaibab Paiute (ins.); L. Spier, Havasupai Ethnograpby (Anthropological Papers, American Museum of Natural History, Vol. 29, Part 3,1928), pp. 105-106; L. Hooper, The Cahuilla Indians (University of California Publications in American Archaeology and Ethnology, Vol. 16, No. 6, 1920). Cf. Hodge, Handbook, Part 1, p. 282; also Part 1, p. 846: "So far as known mescal was not fermented by the Indians to produce an intoxicating drink before the coming of the Spaniards" (Hough). This statement is questionable if it refers to the simple fermented beer, for Havard (Drink Plants, p. 34) states: "The historian Sahagun says that long before the conquest, the use and abuse of pulque were so general that one of the Aztec kings forbade the sale of it and punished drunkenness with death. The Mexican liquor, mescal, manufactured by the distillation from the baked, pounded and fermented heads of several species of Agave, was unknown to the Aztecs, who like other American aborigines were ignorant of distillation, an art introduced from Europe. They only knew the first part of the process." C. Lumholtz (Unknown Mexico, New York, 1902, Vol. 1, pp. 182-86) would argue for the aboriginality of the Cora, Huichol, and Tarasco distillation process, but his case would be stronger if further examples from the same area could be found. 11 - Lewin, Phantastica, p. 169 if. 12 - W. C. Farabee, in A. Hrdlicca, Physiological and Medical Observations among the Indians of Southwestern United States and Northern Mexico (Bulletin, Bureau of American Ethnology, No. 34, 1908), p. 28. 13 - Havard, Drink Plants, p. 34; and others. 14 - Havard, op. cit., p. 36. 15 - Ibid., pp. 43-44. 16 - Lumholtz, Unknown Mexico, Vol. 2, p. 182. Tequila is prepared from the roasted agave. For a full account of the preparation of pulque and tequila see W. Hough, The Pulque of Mexico (Proceedings, United States National Museum, Vol. 33, pp. 57792, 1908). 17 - Hrdlicka, Physiological and Medical Observations, pp. 27-28; Havard, Drink Plants, p.35; Jules Henry, Cult of Silas John Edwards (ins.). 18 - Lumholtz, Unknown Mexico, Vol. 1, p. 125. 19 - Lewin, Phantastica, p. 169 if.; Karsten, Civilization, pp.304-305. 20 - Havard, Drink Plants, p. 36. The following paragraph is based on Lewin and Karsten. 21 - Karsten, Civilization, p. 315. Many South American groups attribute sex to plants: big and hard species of trees and plants with strong properties are male, while manioc, sweet potatoes, carrots, beans, pumpkins, etc. are female. Cf. Karsten, op. cit., pp. 301, 304- 306, 319-20, 323-24. 22 - Karsten, in Lewin, Pkantastica, p. 159 if. 23 - Karsten, Civilization, pp. 304-305. Chonta wood and thorns are used in war, hunting, and sorcery also. 24 - Karsten, op. cit., pp.311-12. 25 - C. D. Gower, The Northern and Southern Affiliations of Antillean Culture (Memoirs, American Anthropological Association, No. 35, 1927), pp. 25,40, 50. 26 - Lothrop, Pottery of Costa Rica and Nicaragua, p. 34; Saville, Reports on the Maya Indians, pp. 151-52. 27 - C. Wissler, The American Indian (2nd ed., New York), p. 244; Lumholtz, Unknown Mexico, Vol. 2, pp. 13, 31, 186, 253, 278; also C. Lumholtz, The Huichol Indians of Mexico (Bulletin, American Museum of Natural History, Vol. 10, Art. 1, 1898), p. 11; Hrdlica, Medical and Physiological Observations, p. 28. 28 - Hrdlicka, op. cit., pp. 27-28; C. Basuri, Monografta de los Tarahumaras, (Mexico, 1929), p. 68; Lumholtz, Unknown Mexico, Vol. 1, pp. 125-27; also C. Lumholtz, Tarahumari Life and Custom, (Scribners Magazine, Vol. 16, No.3, 1894), p. 299, and Tarahumari Dances and Plant Worship (idem, No. 4), pp. 438, 442. 29 - Hrdlica, op. cit., p. 28; Lumholtz, Unknown Mexico, Vol. 1, pp. 125-26, 460-61, 510; A. Gatschet, Ms. in Bureau of American Ethnology; Hodge, Handbook, Part 1, p. 34g. 30 - E. g., "crazy medicine" (root of Lotus Wrightii), "make noise" (Cassia Couesii, root), "medicine sticks" and aromatic root or roasted seeds of Canotia holocantha (Ilrdlicka, op. cit., pp. 2 7-28). 31 - Havard, Drink Plants, pp. 35-37; Hrdlicka, op. cit.: M. E. Opler, Autobigraphy of a Chiricahua Apache (ins.); Henry, op. cit. 32 - R. Underhill, The Autobiography of a Papago Woman (Memoirs, American Anthropological Association, No. 40, 1936), pp. 2, 10, 45-47; C. Lumholtz, New Trails in Mexico (New York, 1912), p. 47; Hrdlicka, op. cit., p. 28; Havard, op. cit., p. 35. 33 - Hrdlicka, op. cit.; Hodge, Handbook, Part 1, p. 408; A. L. Kroeber, The Sen (Southwest Museum Papers, No. 6, 1931), p. 46. 34 - Cremony, in Havard, Drink Plants, p. 36 (species used are Cereus giganteus and C. Thurberi); L. Spier, Yunan Tribes of the Gila River (Chicago, 1933), pp. 56-58, 105,146, 162, 258,262, 269; W. Park, Paviotso field notes (ins.). 35 - Hrdlicka (Medical and Physiological Observations, p. 27) says wine is made from grapes at Isleta. 36 -Again, Taos-perhaps the most Plains-like of Pueblos-Was the only one which the Ghost Dance excitement affected. Another marginal Pueblo, Zuñi, which also had the somewhat orgiastic urine-dances, was the only one which used datura ritualistically. 37 - Kroeber, Seri, p. 46; Havard, Drink Plants, pp. 35-36; R. L. Beals, The Comparative Ethnology of Northern Mexico before 1750 (Ibero-Americana, No. 2,1932), p. 133. Beals Tables 31 and 138 show virtual identity in the distribution of intoxicating liquors and ceremonial drunkenness. This writer suggests a connection of the intoxicating liquors of the South-west with the "black drink" (Ilex cassine) of the Southeast. F. G. Speck (Catawba Texts, Columbia University Contributions to Anthropology. Vol. 24, 1934, p. 61) reports that the Catawba made a beer of the flat pods of the black locust, but the ilex purgative-drinks appear rather to affiliate with northeastern South America and the Amazon Basin via the Antilles. Nevertheless, it is highly probable that such drugs and drinks as the middle American native beers, the "black drink" and other ilex teas, peyote, the mescal bean (Sophora secundiflora), the narcotic mushroom teonanacatl of Mexico, datura (of northwestern Mexico, southern California, and northwestern South America), coca-chewing, the South American "deathvine" drink (aya-huasca, Banisteria caapi), marihuana (Cannabis indica) in Mexico, pasta guarana (Paullinia cupana) of South America, cohoba snuff (Piptadenia peregrina) of the Antilles and South America, chocolate (Theobrorna cacao, which contains the mildly stimulating alkaloid theobromine), and yahé (Haemadictyon Amazonicum Spruce) of South Amena, as well as tobacco, may have had considerable importance in the development of the basic New World religions of the visionary type. All produce physiological and psychic disturbance of greater or lesser degree, which would promote the vision-experience. 
work_pcah26is3rge7flkw6vlfeyhvi	----	From the Air: the photographic record of Florida’s lands From the Air: the photographic record of Florida’s lands Stephanie C. Haas, haas@uflib.ufl.edu Erich Kesse, kesse@ufl.edu Mark Sullivan, marsull@uflib.ufl.edu Randal Renner, ranrenn@uflib.ufl.edu Digital Library Center, University of Florida Libraries Joe Aufmuth, mapper@ufl.edu GIS Coordinator, Documents Department, University of Florida Libraries Support staff for project, http://www.uflib.ufl.edu/digital/collections/FLAP/Credits.htm BACKGROUND Historical aerial photographs dramatically document changes in Florida’s land use. Between 1938 and 1971, the U.S. Department of Agriculture (U.S.D.A.) created more than 88,000 black and white, 9 x 9 aerial photographs with 2,500 accompanying photomosaic indexes (1938- 1971) of Florida. Flight lines were county based and each flight created dozens of individual aerial photographs, or tiles. Due to the unstable nature of the photographic negative’s sodium nitrate composition, the U.S. government destroyed archival negatives for the earliest photos. As a result, the aging hardcopy photographic prints are all that remain of this historic resource. Originally intended to assist farmers determine accurate assessments for their farms and to provide information on crop determination and soil conservation, today these images provide some of the oldest land use/cover information available. They are used extensively in agriculture, conservation, urbanization, recreation, education, hydrology, geology, land use, ecology, geography, and history. The University of Florida Map & Digital Imagery Library houses the largest and most complete collection of Florida aerial photographs (~160,000 photos) outside of the National Archives in Washington, D.C. U.S.D.A. aerial photographs (~120,000) comprise the largest and most heavily used single set of photographs in this collection. In 2002, the Digital Library Center, the Map & Digital Imagery Library, and the GIS Coordinator, Federal Documents Department of the University of Florida Libraries submitted a grant proposal to the Florida Department of State, Division of Library and Information Services to digitize the aging 1937-1951 images and make then available over the Web through an ESRI map server. The grant was funded as an LSTA grant in 2002; Phase II funded in 2003 digitized the tiles from 1952-1970. The project site can be found at http://www.uflib.ufl.edu/digital/collections/flap. INTRODUCTION Within Florida, government agencies and private consulting firms have made extensive use of the UF collection. But few citizens and fewer educators and students recognize the many potential uses of these early historical images that document Florida’s transition from rural to urban, track the containment of Florida’s terrestrial waters, or trace its phenomenal growth as a “sunshine” mecca. Although physically accessible, these images remained Florida’s hidden visual heirloom. Once the project content was defined, we sought to document the need by soliciting input from the Florida community. To do this, we targeted GIS and other email lists, asking individuals to forward the message to others who might be interested in such a project. Within five days, we mailto:haas@uflib.ufl.edu mailto:kesse@ufl.edu mailto:marsull@uflib.ufl.edu mailto:ranren@uflib.ufl.edu mailto:mapper@ufl.edu http://www.uflib.ufl.edu/digital/collections/FLAP/Credits.htm http://www.uflib.ufl.edu/digital/collections/flap had received over 90 responses that reflected serious interest from a wide, diverse user base. Support came from Federal, state, and local agencies; Florida industries for which land use is an intrinsic factor; educators of students in grades 1-12; nonprofit organizations with interests ranging from environment to genealogy; and non-affiliated individuals with personal interests. The comments of Mark W. Glisson, Environmental Administrator, Division of State Lands of Florida clearly indicate the tremendous need for and interest in this project: “It is my understanding that the Digital Library Center and the Map & Imagery Center, University of Florida Libraries, are currently pursuing a grant to digitize and make available on the Web the historical Florida aerial photographs, taken by the USDA between 1937 and 1955. As Staff Director for the Acquisition & Restoration Council, and as director of the office responsible for reviewing land management plans, proposed land uses, and reviewing management activities on all conservation lands leased for management by the Board of Trustees in Florida, please allow me to lend my enthusiastic support and encouragement for this endeavor. More than 8 million acres, or approximately 25% of Florida's total upland acreage, are managed for conservation purposes. Included among those responsible for managing these conservation lands are the state agencies that manage state parks, state forests, wildlife management areas and greenways, federal agencies such as the U.S. Forest Service, U.S. Fish & Wildlife Service National Park Service and even the Department of Defense, the five state water management districts, and a growing number of NGOs and local governments. Common among all of these land managers is an increasing emphasis on restoring Florida's natural systems to some semblance of their natural state. For the first time ever, the Florida Forever land acquisition program now includes a focus on restoration funding, in recognition of the fact that we may now finally be in a position to not only set aside remaining "natural" areas, but to proactively pursue the return of these mostly-altered systems to functioning habitat and wetland systems. In order to collectively work toward this goal, there is a genuine need for a consensus on the objectives and desired outcomes of restoration initiatives, so that different agencies and different funding sources are not in conflict when lands lie in common watersheds or on adjacent uplands. Uniform access to these historical aerials could help immensely in guiding restoration objectives and identifying historical water flows and habitat characteristics, across agency and management boundaries. Beyond this role as a "standardizer" and data source for large-scale restoration, the maps would also provide invaluable and quickly-accessed information for any land manager seeking through accepted land management practices to restore natural functions and flow patterns on conservation lands. As a land manager for 18 years with the state park system, I can tell you from firsthand experience that such a tool could go a long way toward taking the guesswork out of management objectives. In addition, the historical land uses and working landscapes revealed by these aerials could help managers protect and interpret Florida's rich cultural heritage.” Because there is a nation-wide emphasis on restoration of native landscapes, a high level of support for similar projects in other states is highly probable. Similar projects in Georgia, Illinois, and Kansas attest to this need. PROJECT DESCRIPTION Four action lines were followed in the project development: 1) digitization of aerial photographs and photomosaic indexes; 2) development of a GIS interface; 3) creation of instructional materials; and 4) creation of a Web site and integration of Products 1-3. Digitization of aerials and photomosaic indexes Scanning of the aerial photographs (tiles) began in November 2002 and continued through August of 2004. The photomosaic indexes were captured in four months on a large format camera. Throughout the aerial tile scanning, photogrammetric glass targets were used to document distortion introduced by the various scanners. Although drum scanners that are photogrammetrically more accurate were considered, their cost precluded use in this project. Because original negatives were no longer available, distortions introduced by the photographic printing process were accepted, as were distortions introduced into the source image by pitch and yaw of the plane. Subsequent reviews of the scanned images showed that the amount of distortion was quite minimal and within the acceptable range. Image capture of the 9 x 9 inch aerial tiles and the 20 x 24 inch photomosaic indexes adhered to the guidelines promulgated by the Cornell Department of Preservation and Conservation (see Digital Imaging for Library and Archives, Anne R. Kenny and Stephen Chapman, Ithaca, NY : Cornell University Library, 1996). TIFF masters were the original capture format. Electronic archive masters are uncompressed TIFF files (ITU 6.0) at 100% scale: the current de facto standard for electronic image archives. Aerial tile images were scanned at 615 dpi, 8-bit greyscale. Because digitized aerial photographs average approximately 29.9 MB, a compressed SID version of 1.3-1.5 MB was created for serving over the Web. SID images are served from a dedicated server at the Florida Center for Library Automation. Migration to the JPEG 2000 (Level 1: JP2) file format is planned. Epson Expression 1640XL-SE and Microtek 9600XL and 9800XL flatbed scanners were used to capture the aerial tiles. For the larger photomosaic indexes, a planetary PhaseOne PowerPhase FX 4x5 inch digital camera back with a 10,500 pixel by 12,600 pixel scanning area and a 8-bit greyscale was used. The camera back is mounted on a planetary ZBE Satellite universal scanning system that is no longer manufactured. It includes a three turret mounted lenses & bellows, a camera stand, and an automated control system for calibrated imaging. A Rodenstock Rodagon 135 mm professional enlarging lens (f/5.6-f/22)) with an AR- 1 high aspect ratio filter was used for imaging. Two daylight balanced fluorescent Videssence ICELITE 360 light banks provided even illumination. Indexes were held in place during imaging by a Cobra-Pro vacuum easel powered by 2 Craftsman wet/dry shop vacuums. All of the index images were captured by and processed on a Macintosh Apple G4 with dual 1 GHz processors, 1 GB RAM, and a 36GB SCSI hard drive. The Macintosh computer operates OS 10 with OS 9.2 subroutines for compatibility with Phase One imaging software. Final quality control is performed using Adobe Photoshop CS (v.8). TIFF images were processed with LizardTech's MrSid 1.3.1 to create servable SID images. Image Management The management of the 88,000 physical aerial tiles and the subsequent collection and processing of the scanned images were major challenges faced by this project. Each physical aerial tile was tracked from the time it was borrowed from the Map Library until the time it was returned. For each TIFF image created, several key pieces of data were collected: the scanner, the time of the scan, and the technician who performed the work. TIFF header information included bit-depth and resolution and was verified against project requirements. Every tile was post-processed for both image (e.g., gamma) correction and creation of web- friendly formats. Additionally, tile images were visually inspected to assure quality. Finally, each image was archived, and the web formats sent offsite via FTP to the image server at the Florida Center for Library Automation. A programmer developed three different software tools to address these needs. The creation of a user-friendly front end allowed each physical tile to be tracked through the entire in-house process. As each physical tile was received, it was checked against a database, and then assigned to a technician for scanning. Once scanned, images were collected, processed, FTPed, and archived and each action was tracked in the application. Once all the tiles for a flight were complete, the tiles were returned en masse. The second tool automated image collection from the disparate scanning locations, performed basic image manipulation for quality control, and stored collected data in the database. Image scans were stored in individual flight folders on local hard drives. As images were collected from drives, data related to the scanner and flight numbers were also stored in the database. This application also read the TIFF header of each image to ensure that the correct technical specifications, e.g., dpi, greyscale, were followed during scanning. Deviant parameters triggered error notifications. The last tool used for processing images performed routine image corrections and prepared web format images on a dedicated computer. The processor performed histogram correction and SID creation for each image. Additional JPEG thumbnails were kept for visual quality control on the images. Each of the web formats was automatically sent to the FCLA web hosting site and the raw TIFF images packed into CD-size folders for local archiving. Finally, all of this data was stored in an aerials database and the aerial tiles returned to UF's Map & Imagery Library. Cost saving accrued from these automated procedures reduced the project costs by $20,000. Each of the tiles captured has a record in an MS-SQL database. The database programmer collaborated with the Libraries’ Systems Department and the GIS coordinator to create a web- based map interface. The interface permits searching by county, latitude and longitude, township/section/range, and year. These access points were suggested by the same group of 90 individuals who responded to the initial request concerning the need for the project. The site of the interface is accessed through the Aerial Photography: Florida home page at http://web.uflib.ufl.edu/digital/collections/FLAP/. GIS Interface To create the map interface, GIS technicians under the supervision of the GIS Coordinator used ERDAS Imagine software to geographically rectify and stitch together the multiple county mosaic index tiles. Individual aerial tiles were then hyperlinked to corresponding spatial points on the indexes. The image below shows the interface that has been created. Each tile is represented by a green dot that turns yellow when selected. Users may select an area of interest by using zoom tools, by drawing spatial footprints, e.g., rectangles, polygons, or by searching the tile database. The individual tile is zoomable and can be viewed at a 1:1 ratio. Zoom in to St. Augustine area. The selected tile dot turns yellow, and tile data displays below. The spa ARCIM Univers integrat aerial in While in search function combin pending Clicking on the camera icon displays the tile. tial search engine, individual images, and metadata are integrated through the ESRI S (Internet Map Server) software and served from a map server housed at the ity of Florida Libraries’ Systems Department. ESRI ArcGIS software is used to e other geospatial data layers, e.g., roads, rivers, political boundaries, etc. with the dex layers. itial programming efforts were directed at creating an interface that allowed the user to by multiple access points (for example, by county and year), the built-in search alities of the ARCIMS software proved the most intelligible and functional approach to ing search terms for users already familiar with GIS applications. Additional revision is to make advanced searches more intelligible to the average user with no previous GIS http://web.uflib.ufl.edu/digital/collections/FLAP/ http://web.uflib.ufl.edu/digital/collections/FLAP/ experience. A quick search help screen was created to assist users in defining their search components. EDUCATIONAL/INSTRUCTIONAL MATERIALS Instructional modules were developed for elementary school students and for the general public. Modules completed to date include: Interpreting Aerial photography [http://www.uflib.ufl.edu/digital/collections/FLAP/education/Interpreting/Interpret.htm] gives a general overview of how to interpret aerials. Spanish Explorers in the New World [http://www.uflib.ufl.edu/digital/collections/FLAP/education/Explorer/SPANISHEXPLORERS.pd f ] (Grades 3-5) Reading/worksheet combination. This unit includes information on Christopher Columbus and Ponce De Leon's exploration of Florida. Miami [http://www.uflib.ufl.edu/digital/collections/FLAP/education/Cities/Miami.htm ] (Grade 6- 8) This unit discusses the evolution of Miami from the stone circles of the Tequesta to modern high rises. An introduction to aerial photos shows students how to track city growth. A Place in Time [http://www.uflib.ufl.edu/digital/collections/FLAP/Education/StAug/Placeintime.htm] provides a model of how to use aerial images to determine landscapes over time. Two images of St. Augustine Harbor one from 1942 and the other from 1960 show changing land use. The activity for this unit asks students to choose a feature in his/her own county and see how surrounding land use has changed over a period of years. In additional to the educational components, eleven search guides http://web.uflib.ufl.edu/digital/collections/flap/Helpdetail/Howto.htm were developed to help users understand how GIS mapping interfaces function and to give instructions on using the site. USE OF THE SYSTEM Although the project has never formally been announced, use of the images has grown rapidly. 2003-2004 statistics collected by the Florida Center for Library Automation (FCLA) indicate 1,028 unique users had accessed the site. These users accounted for more than 398,600 manipulations of the aerial images. Manipulations are defined as both the initial display of an aerial image and zooming around the image itself. The following three charts compare the usage of county aerial tiles for 2003 and 2004. It should be noted that the preliminary aerial site became available in late 2003. The data collection for 2004 covers January through November 5, 2004. http://www.uflib.ufl.edu/digital/collections/FLAP/education/Interpreting/Interpret.htm http://www.uflib.ufl.edu/digital/collections/FLAP/education/Explorer/SPANISHEXPLORERS.pdf http://www.uflib.ufl.edu/digital/collections/FLAP/education/Cities/Miami.htm http://www.uflib.ufl.edu/digital/collections/FLAP/Education/StAug/Placeintime.htm http://www.uflib.ufl.edu/digital/collections/FLAP/Education/PlaceInTime.htm http://web.uflib.ufl.edu/digital/collections/flap/Helpdetail/Howto.htm Email and phone contacts concerning aerial use continue to grow. The site has an FTP request form that is used to facilitate the transferring of SID images and occasionally TIFF images to requestors. Between May and November more than 1,200 images were transferred to requestors. Alachua to Hardee County Aerials Used, 2003-2004 comparison 0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000 Counties 2003 2004 Hendry to Monroe County Aerials Used, 2003-2004 comparison 0 1000 2000 3000 4000 5000 6000 7000 8000 9000 Counties 2003 2004 Nassau to Washington County Aerials Used, 2003-2004 comparison 0 2000 4000 6000 8000 10000 12000 Counties 2003 2004 FUTURE PLANS Although the GIS functionality is familiar to land use professionals, the project team has become aware of the difficulty it represents for the general public and K-12 audiences. This project was presented at the annual conference of the Florida Association for Media in Education and while there was great interest in the content, the interface proved too daunting for many of the attendees. In order to provide the broadest service to the citizens of Florida, the design of a second, less complex interface to the aerial collection is a high priority. Expanded year coverage is also a priority. The completed U.S. Department of Agriculture aerial collection will include digitized aerials from 1971 through 1995: the starting date for the online collection of the Florida digital orthographic quarter quads http://data.labins.org/2003/MappingData/DOQQ/doqq.cfm. Robert R. Terry, Agricultural Statistics Administrator, Commercial Citrus Inventory has given us permission to digitize and serve the aerial photographs taken as part of the Commercial Citrus Inventory. These images have been taken every two years since 1965 and document changes in citrus grove/land use. Currently there are 160 canisters of film containing approximately 24,000 images. Procedural modifications necessitated by these roll films are currently being tested. Additionally, many agencies that are using the USDA aerial collection have indicated a willingness to return georectified images and/or to provide images of tiles we are missing. Such collaboration will help us build a digital collection of significant value to the entire state. Automated methods of contribution and attribution of “trust” are being configured. In terms of technical enhancements, the project team has identified several functionalities that need to be addressed: http://data.labins.org/2003/MappingData/DOQQ/doqq.cfm 1) All data fields for any individual tile should be searchable and viewable; 2) The geospatial footprint of the tiles, currently points, should be buffered to a closer approximation of actual earth coverage*; 3) The georectified photomosaic indexes should be stitched together and be viewable as a viewable layer; 4) Features from the Geographic Names Information System (GNIS) should be added to the data layers; 5) More detailed transportation layers need to be added to help identify locations of interest; and 6) A publicly accessible FTP server needs to be developed so individual users with proper authorization can download needed high-resolution images. CONCLUSIONS It is most appropriate to conclude with comments from the actual users: Our Division is actively restoring natural areas in the state of Florida. We have used the aerials to delineate native undisturbed areas (now disturbed) for restoration. We have also used the aerials in geo-rectified form and loaded them onto our GPS data loggers and navigated to disturbed areas (previously undisturbed) that were undetectable by any other means or data source. This site is and will be valuable to government agencies for the data that the imagery contains. The data site is easy to use and lets non-technical people access the data. Please keep the site and data collection effort up and going. – GIS Coordinator at a state environmental agency The Florida aerial images site has been indispensable to me for identifying potential research sites for examining the effects of land conversion on storage of soil carbon in South Florida. The website was useful in identifying available historical aerials, choosing the images most relevant to my study area, and having those images transferred to our organization. This site is an outstanding resource for researchers and land managers. – Director of Research at a biological research laboratory This site was extremely useful to my research on gopher tortoises. It allowed me to trace habitat changes and anthropogenic disturbance to a large number of study sites over the last 50-60 years. Being able to download all of the maps from one site saved me considerable time and effort. – Graduate Student * Georectification of individual tiles or the definition of bounding boxes would be idea, with sufficient funding. BACKGROUND PROJECT DESCRIPTION Digitization of aerials and photomosaic indexes Image Management EDUCATIONAL/INSTRUCTIONAL MATERIALS USE OF THE SYSTEM FUTURE PLANS 
work_pcy2zq5bgnaw7gu7kg5xc5it4m	----	48(8) 1581–1604, June 2011 0042-0980 Print/1360-063X Online © 2010 Urban Studies Journal Limited DOI: 10.1177/0042098010375323 Edward Goetz is in the Humphrey School of Public Affairs, University of Minnesota, 301 19th Avenue South, Minneapolis, Minnesota, MN 55419, USA. E-mail: egoetz@umn.edu. Gentrification in Black and White: The Racial Impact of Public Housing Demolition in American Cities Edward Goetz [Paper first received, October 2009; in final form, April 2010] Abstract The gentrification that has transformed high-poverty neighbourhoods in US cities since the mid 1990s has been characterised by high levels of state reinvestment. Prominent among public-sector interventions has been the demolition of public housing and in some cases multimillion dollar redevelopment efforts. In this paper, the racial dimension of state-supported gentrification in large US cities is examined by looking at the direct and indirect displacement induced by public housing transformation. The data show a clear tendency towards the demolition of public housing projects with disproportionately high African American occupancy. The pattern of indirect displacement is more varied; public housing transformation has produced a number of paths of neighbourhood change. The most common, however, involve significant reductions in poverty, sometimes associated with Black to White racial turnover and sometimes not. The findings underscore the central importance of race in understanding the dynamics of gentrification in US cities. as part of multimillion dollar redevelopment projects. This form of state-supported gentri- fication has displaced hundreds of thousands of low-income families, most of them African American. In this analysis, I examine the racial dimension of the direct and indirect displace- ment induced by public housing demolition. The more prominent role of public invest- ment in recent gentrification efforts reflects the fact that neighbourhoods reached by this ‘third wave’ are more physically remote from Cities in the United States up and down the urban hierarchy have experienced significant levels of gentrification1 since the national econ- omy emerged from the recession of the 1990s (Wyly and Hammel, 2004). This period has differed from previous waves of gentrification in the degree of public-sector investment that has driven neighbourhood transformations (Hackworth and Smith, 2001). Prominent among these state interventions has been the demolition of public housing, in some cases 1582 EDWARD GOETZ traditional centres of capital and seen as too risky and challenging for speculative private investment (Hackworth, 2002). In many cases, the gentrifying neighbourhoods have been the home to older public housing communities that have suffered from disinvestment and neglect for decades. The neighbourhoods are not only forbidding to private inves- tors because of the scale of deprivation and the accompanying problems of crime and disinvestment, they are also dominated by the super-blocks that typify public housing estates and thus lack the type of housing typi- cally exploited by gentrifiers. The demolition of large public housing estates clears away significant concentrations of poverty from these areas and allows for the conversion to a housing stock and land use pattern more accommodating of private-sector investment. In the US, the centrepiece of state-led efforts to deconcentrate poverty and transform inner-city neighbourhoods is the HOPE VI programme. This programme has been used in dozens of cities to demolish public housing developments and to create new mixed-income communities in their place. The programme thus redefines public hous- ing policy and serves as the main vehicle through which the state has triggered inner- city revitalisation (Newman, 2004; Wyly and Hammel, 1999). The major transformation of public housing, in fact, reflects several dimen- sions of neo-liberal urban policy in the US over the past 20 years. While the elimination of the physical structures of public housing eliminates visual references to New Deal and welfare state policies no longer dominant, the removal of concentrations of very-low- income people of colour allows a reimaging of urban spaces critical to the national and international competition for private invest- ment (Newman and Ashton, 2004). Further, the policy prescriptions imposed upon former public housing residents, both relocation to private-sector housing through the use of Housing Choice Vouchers and the increased behav ioural monitoring and screening techniques employed at the mixed-income communities, reflect newfound emphases on choice, individualism and market discipline that are central to the neo-liberal governance paradigm (Jones and Popke, 2010). The dismantling of public housing is not limited to HOPE VI projects, however. PHAs in cities like Atlanta, Memphis and Las Vegas have plans to demolish most or all of their public housing. Chicago’s Plan for Transformation calls for the demolition of more than 20 000 units and a net reduction of 13 000, while in post-Katrina New Orleans, the local housing authority has demolished thousands of units that were kept vacant after the hurricane and flood. In these ways, housing policy and, more specifically, public housing demolition and dispersal have been employed as economic development strate- gies by local governments intent on finding and forcing new paths of neighbourhood change and gentrification (Newman, 2004). Cities in which market pressures for gentri- fication have been the strongest, for example, have been the most aggressive in tearing down public housing (Goetz, forthcoming). Public housing projects such as Earle Village in Charlotte, NC, Techwood Homes in Atlanta, Allen Parkway Village in Houston, St Thomas in New Orleans, Cabrini-Green in Chicago and Ellen Wilson in Washington, DC, have all been demolished to make way for new devel- opment that has ignited significant private- sector investment in housing and commercial markets nearby (Kingsley et al., 2003; Jones and Popke, 2010; Keating and Flores, 2000; McGhee, 2004; Fosburg et al., 1996; Bennett and Reed, 1999). In fact, HUD has emphasised the potential for additional investment and neighbourhood change when evaluating HOPE VI propos- als, looking for projects that could catalyse significant neighbourhood transformation (Zielenbach, 2002). The emphasis on leverag- ing private capital is in practice an incentive GENTRIFICATION IN BLACK AND WHITE 1583 for projects located in neighbourhoods ripe for private investment. By fiscal year 2002, local housing authorities were required to demonstrate how their proposed HOPE VI redevelopment would “result in outside investment in the surrounding community” (US GAO, 2003, p. 9). Thus, HUD has targeted projects they felt had the greatest potential to spur additional public and private investment in the form of new or rehabilitated hous- ing, commercial investment, new jobs and improved public infrastructure. Race and Gentrification Although gentrification has typically been seen as “class-based colonization of urban land”, it has a clear racial dimension as well (Moore, 2009, p. 138). Demographic transforma- tions produced by gentrification are nearly as frequently racial as they are class-based. The predominant racial reality of gentrification has been one of White gentrifiers displacing low- income Black incumbents. This is certainly an element of third wave gentrification, just as it was in previous waves. However, the extended reach of current gentrification efforts, and the contemporaneous efforts to extend homeown- ership, have increased the prevalence of ‘Black gentrification’ (Moore, 2009). Recent ethno- graphic research has explored the dynamics occurring in Harlem, Chicago’s southside Bronzeville neighbourhood, and Philadelphia in which the gentrifiers are Black middle-class homeowners and the class conflicts produced are experienced entirely within the Black com- munity (see Boyd, 2008; Patillo, 2007, Hyra, 2008, Moore, 2009). Moore (2009) argues that the dynamics of Black gentrification are distinctive. The phenomenon itself, she argues, is conditioned by larger patterns of racial segregation and exclusion, and the constrained mobility of the Black middle class. Hence, Black gentri- fication depends upon the size of the Black middle class within a city, prevailing patterns of segregation and exclusion in the local housing market, and to some extent upon the identification of ‘historically Black com- munities’ to which gentrifiers can lay claim. According to Hyra the black middle class fiercely wants to ‘restore’ these communities to safe, prosperous, and tranquil places (Hyra, 2008, p. 130). These gentrifiers find themselves investing in communities with high concentrations of public housing and poverty. They contend that their potential for wealth generation is limited by public policy decisions that concentrate subsidised housing in minor- ity neighbourhoods. They argue for a ‘fair share’ approach to public housing that would locate fewer subsidised units in Black neigh- bourhoods and more in middle-class White neighbourhoods that are largely free of such housing. Thus, members of the Black middle class support the demolition of public hous- ing as a necessary step in creating livable com- munities (Patillo, 2007). On the other hand, displacees see themselves as members of the same community that the Black middle class is investing in. In many cases, Black public housing residents have been in the commu- nity longer than members of the Black middle class who might be more recent residents. To public housing residents forced out of their neighbourhoods, Black gentrification is no better than White gentrification. Indeed, in many ways, Black gentrification is seen as a greater betrayal (Patillo, 2007). The current campaign to demolish and transform public housing will primarily affect low-income Black families. Public housing in the US is disproportionately occupied by people of colour, predominantly African Americans, and it is disproportionately located in minority neighbourhoods (Newman and Schnare, 1997). In 2000, 48 per cent of the residents in public housing nation-wide were African American, despite the fact that Blacks make up less than 15 per cent of the national 1584 EDWARD GOETZ population. In larger cities (having more than 5000 units of public housing), 66 per cent of public housing residents were Black. In some cities, notably Birmingham, Detroit, Memphis, New Orleans and Washington, DC, HUD data show that figure to be 99 per cent. Given these residency patterns, any action taken on public housing will have a disproportionate impact on African Americans. Furthermore, the con- centration of public housing in heavily Black neighbourhoods means that indirect displace- ment, should it occur, will also have a dispro- portionate impact on African Americans. It is possible then to conceptualise the neighbourhood change generated by public housing displacement as taking place along two continuums (see Figure 1). In neigh- bourhoods with little or no change in the poverty rate and in racial profile (the area near the intersection of the two axes), the neighbourhood remains largely static despite the public housing demolition. Where racial turnover (Black to White) has taken place, without a change in poverty (lower right quadrant), the neighbourhood has deseg- regated but remained poor. In practice, this has remained a largely hypothetical outcome. When both racial turnover occurs and a significant reduction in poverty takes place (lower left), neighbourhoods can be said to be experiencing White gentrification. When poverty is significantly reduced without racial change (upper left), Black gentrification has occurred. Neighbourhoods that continue to segregate and concentrate poverty are located in the upper right quadrant. The Record of Displacement in Public Housing Demolition and Redevelopment Studies of households displaced from public housing show a distinct pattern of reloca- tion (see the review in Goetz and Chapple, 2010). The evidence on HOPE VI and other instances of forced displacement from public housing suggests that displaced residents typi- cally move nearby and remain in the central city (see Comey, 2007; Goetz, 2003; Gibson, 2007; Clampet-Lundquist, 2004; Varady and Walker, 2003; Trudeau, 2006). Furthermore, displaced residents typically move to other disadvantaged neighbourhoods, with poverty rates considerably above city-wide aver- ages (Buron et al., 2002; Goetz, 2003, 2010; Clampet-Lundquist, 2004; Boston, 2005; Oakley and Burchfield, 2009). Very few dis- placed public housing residents return to Continued segregation and decline Desegregation White gentrification Black gentrification Change in size of African American population Decline Increase Change in extent of poverty Decline Status quo Increase Figure 1. Neighbourhood change in predominantly Black public housing communities. GENTRIFICATION IN BLACK AND WHITE 1585 live in the mixed-income redevelopments sometimes built to replace their public hous- ing communities. Estimates from national studies indicate that the percentage of original residents who return to the redeveloped site generally ranges from 14 per cent to 25 per cent (Marquis and Ghosh, 2008). The rate of return is low for a number of reasons: the redeveloped sites often have fewer public housing units than the projects they replace; new management standards make it dif- ficult for previous residents to pass tenant screening criteria; and the long time-span between displacement and the completion of redevelopment means that many previ- ous residents have resettled into new com- munities and do not wish the disruption of moving again (Wilen and Nayak, 2006; Jones and Popke, 2010). The benefits of being moved away from public housing communities subject to demo- lition are strongest in residents’ perception of reduced crime in their new communities and in their increased satisfaction with the quality of their housing post-move (see, for example, Petit, 2004; Gibson, 2007; Goetz, 2003, 2010). Improvements in housing and neighbour- hood characteristics are also consistently reported by displaced public housing families (see, for example, Popkin, 2006; Buron et al. 2002; Comey, 2007; Brooks et al., 2005; Goetz, 2003), though exceptions are reported in some cases (Gibson, 2007; Manzo et al., 2008). Less positive results are reported in the areas of health and children’s school experiences, and in residents’ economic self-sufficiency. Manjarrez et al. (2007) report no significant or consistent improvements in health for families displaced by HOPE VI. Similarly, children of HOPE VI families showed no health improvements over a five-year period (Gallagher and Bajaj, 2007). School achieve- ment among children relocated by HOPE VI has shown the same pattern. Children’s new schools remain racially and economically segregated, in part because many HOPE VI moves are within the same, underperform- ing urban school systems (Popkin, 2006). Children in households relocated due to HOPE VI or similar public housing redevel- opment show no educational improvements relative to control group members on a range of academic achievement measures (Jacob, 2004; see also, Gallagher and Bajaj, 2007). The evidence is clear and consistent in showing that displacement from distressed public housing projects has had no demon- strable positive effect on employment, earn- ings or income of individuals. The lack of any effect on economic self-sufficiency is repeated across all studies of public housing displacement (see Turney et al., 2006; Levy and Woolley, 2007; Clampet-Lundquist, 2004; Goetz, 2003, 2010; Curley, 2009). In fact, the finding is repeated for all forms of dispersal (for example, Kling et al., 2007; US HUD, 2004; Vigdor, 2007). The impact of displacement on social capi- tal is especially problematic. Movers report difficulty in establishing new social ties, they miss their social milieu from the old neigh- bourhood and worry about isolation in their new places (Curley, 2009; Greenbaum et al., 2008; Trudeau, 2006; Clampet-Lundquist, 2004, 2007; Gibson, 2007; Kleit, 2001). Manzo et al. (2008) find that public housing residents value their communities and regard them as having had a positive impact on their own lives. Two-thirds of the displaced families in their study felt the original public housing project was a good place to live (see also Gibson, 2007, for similar findings from Portland Oregon). These ties to place and to a social network are disrupted by displace- ment, even when demolition removes public housing projects that are unsafe, crime-ridden and physically deteriorated—i.e. extremely dysfunctional and dangerous places that are themselves argued to undermine the social, emotional and financial well-being of their inhabitants (see for example, Popkin et al., 2000; Venkatesh, 2000). 1586 EDWARD GOETZ Data and Methods The analysis proceeds in two parts. The first is an examination of direct displacement induced by public housing redevelopment and demolition between 1996 and 2007 in the 139 largest US central cities.2 The second part is an analysis of indirect displacement triggered in neighbourhoods surrounding HOPE VI redevelopment projects begun during the 1990s. Direct Displacement To analyse direct displacement, it is neces- sary to know the number and characteristics of residents who lived in public housing projects prior to demolition. A list of public housing projects that have been demolished since 1990 was obtained from HUD. The agency has no data on the families directly displaced by public housing demolition and redevelopment projects. As a result, projects on the demolition list were matched with the resident data contained in HUD’s Picture of Subsidized Households databases that provide details about the residents of public housing projects across the country. I estimate the racial impact of displacement by looking at the racial breakdown of public housing units prior to their demolition. HUD’s database is available for the years 1996, 1997, 1998 and 2000. In general, I use the dataset that corre- sponds to the year prior to the demolition of a given project. Thus, for projects demolished in 1997, the 1996 database provides informa- tion on the resident mix. No resident infor- mation is available for projects demolished prior to 1997. For all projects demolished after 2000, I use the most recently available database, the 2000 version. For example, the Bernal Heights Dwellings in San Francisco were demolished in 1997. HUD’s 1996 Picture of Subsidized Households database indicates that in 1996 the 208 units in the Bernal Heights Dwellings were 93 per cent occupied (193 households). In 1996, 69 per cent of households at Bernal Heights were African American and thus 133 African American households (193 * 0.69) were dis- placed by the Bernal Heights demolition. In cases of partial demolition (for example, a project with three high-rise towers in which only one is demolished), I assume that the racial breakdown of tenants in the demolished building is identical to that of the overall development. There are several potential standards against which to judge whether public housing demo- lition has had a disproportionate impact on Blacks, each one corresponding to a more restricted spatial scale. To judge the displace- ment of Blacks from public housing against the representation of Blacks in the national population would show tremendous dis- parity owing to the over-representation of Blacks in public housing. A second possible standard is the proportion of Blacks in public housing across the nation (49 per cent). This too would produce a conclusion of highly disparate impact. Yet, this is also a less than adequate standard because we know that public housing demolition is concentrated in larger cities, places where Blacks typically make up a higher percentage of public hous- ing residents. Restricting the referent standard to large cities would produce a more targeted comparison, but in this analysis I go beyond that to use the overall racial distribution of a given city’s public housing stock as the reference for demolitions that took place in that city. That is, if 69 per cent of the public housing stock in San Francisco was occupied by Blacks (i.e. the same as the Bernal Heights development described earlier), then the Bernal Heights demolition would be judged not to have had a disproportionate impact on African Americans. HUD’s 1996 database indicates, however, that city-wide, public housing in San Francisco was only 49 per cent Black in 1996. Thus, I conclude that the Bernal Heights Dwellings demolition did have a disproportionate impact on African GENTRIFICATION IN BLACK AND WHITE 1587 Americans. For each demolition in the database, a disparity ratio is computed with the numerator being the proportion of the demolished project occupied by Blacks and the denominator being the city-wide percent- age of public housing occupied by Blacks. This analysis is repeated and aggregated for all public housing projects for which data are available.3 This standard allows one to establish, at the level of an individual public housing authority, whether public housing demolition is disproportionately affecting African Americans. Indirect Displacement The analysis of indirect displacement employs a different sample of projects and a different database. The analysis is based on the author’s assembled data on HOPE VI redevelopment projects.4 The projects were geo-coded and census data from the 1990 and 2000 censuses were collected for the areas surrounding the projects. The analysis is therefore based on changes taking place between 1990 and 2000 in these project neighbourhoods. A HOPE VI project is defined as the full set of redevelopment-related activities that take place at public housing developments. A single HOPE VI project may receive multiple HOPE VI grants (several have). The most common pairing of grants is one grant for demolition and a second, later grant for rede- velopment. In other cases, as the demolition and redevelopment of large public housing developments has proceeded in stages over a long period of time, successive stages have received separate HOPE VI grants. Different public housing developments sharing physical space are deemed to be a single project for the purposes of this analysis. So, for example, the ABLA projects in Chicago are four separate public housing develop- ments, the Jane Addams Homes built in 1938, the Robert Brooks Homes completed in 1943, Loomis Courts constructed in 1951 and the Grace Abbot Homes built in 1955. In all, the four developments had 3600 apartments in a single contiguous location. For this study, ABLA, which received eight separate HOPE VI grants, is considered a single project. Neighborhood is defined as the census block groups whose centroids are within a half-mile radius of the HOPE VI project address.5 These trapezoidal areas were truncated wherever significant man-made or natural boundaries occurred, such as rivers or major highways. Once the relevant block groups were identi- fied, the Geolytics Neighborhood Census database was used to collect social, physical and economic characteristics for 1990 and 2000. The Geolytics database standardises census boundaries across the two census years, allowing for comparison of identical spatial areas. In the analysis to follow, I examine the degree to which public housing demolition and redevelopment have triggered the dis- placement of low-income households and African Americans in the surrounding neigh- bourhoods. Displacement is given as a decline in the neighbourhood population (poverty households and the African American popu- lation) at a rate greater than occurring in the city at large. A simple measure of the relative change in the African American population, for example, is computed as follows where, CB2K and CB90 = percentage of city- wide population that is Black in 2000 and 1990 respectively; and NB2K and NB90 = percentage of neighbourhood population that is Black in 2000 and 1990 respectively. This produces a difference-in-difference score in which a positive value indicates greater decline in the Black population at the neigh- bourhood level than at the city-wide scale. Timing the Intervention A HOPE VI redevelopment project con- sists of many events, including relocation, ( ) ( )CB2K CB90 NB2K NB90− − − 1588 EDWARD GOETZ demolition and project completion. One challenge of this analysis is determining how much redevelopment activity is necessary to trigger neighbourhood change. Some of these projects are located in neighbour- hoods poised to gentrify and thus change will occur quickly. Other neighbourhoods with different conditions may need more dramatic effor ts before change occurs. Because of this, we test for three different intervention points. A HOPE VI project is typically announced with much fanfare as local officials herald a multimillion dollar reinvestment effort. It is possible that private investors waiting for a sig- nal to trigger neighbourhood change will take the grant announcement as the time to act. In the analysis to follow, I examine the neighbour- hood change for projects funded before 2000. There are 176 revitalisation grants in that group. The first visual evidence of change taking place, however, is the relocation of the project residents. This event may potentially serve as the critical ‘intervention’ point in the process, triggering changes throughout the neigh- bourhood. Thus, I examine HOPE VI projects in which relocation occurred before 2000, a total of 100 projects (a subset of the 176 projects in the first sample). Finally, the most dramatic visible sign of redevelopment may be the demolition of the old public housing structures and commencement of construc- tion. Taking this as the intervention point leads to a smaller sub-sample of 64 projects. Analysis Direct Displacement There were 394 public housing projects demolished in the 139 largest US central cit- ies between 1995 and 2007. These projects accounted for 163 393 units of public housing (an average of 415 units per project). Of these units, 110 227 (67 per cent) were occupied dur- ing the year for which we have occupancy data. The HUD data contain resident demographic information for 313 cases, or 87 251 house- holds. The average size of the projects in the database is 397 units, although the median is 293. The mean is skewed upward by a relatively few large projects; one-quarter of the projects had more than 515 units prior to demolition. The number of people displaced in the 313 projects for which resident information is available is estimated at 239 844 people.6 This is an underestimate of the total number of people displaced because it excludes 83 projects for which HUD reports no resident information, despite the fact that they were at least partially occupied the year before demolition. The majority of cases in the database are HOPE VI projects (228, or 73 per cent of the projects for which we have resident informa- tion). While HOPE VI projects are on aver- age larger than other projects that have been demolished (a mean of 421 units compared with 327; p < 0.05), the data show that the HOPE VI projects and other demolitions were statistically identical in terms of resident demographics. On seven indicators (percentage of residents earning less than $5000, percentage with wage incomes, with welfare income, per- centage seniors, disabled, minority and African American) there was no statistical difference between the HOPE VI and the other demoli- tions (data not shown). Thus, all demolitions in these cities are analysed as a single group. The overwhelming majority of house- holds directly displaced by public housing demolitions across the country are African American. Of the 87 251 displaced house- holds for whom demographic information is known, 71 373 (82 per cent) households (or more than 192 000 residents, given average household size in these projects) were African American. The average demolition displaced 229 African American households (or 641 African American residents). In half of the demolished projects, African Americans were 95 per cent or more of the households. Are these figures higher than one would expect to find in these cities during these years? Table 1 GENTRIFICATION IN BLACK AND WHITE 1589 Ta b le 1 . D em o gr ap h ic c h ar ac te ri st ic s o f d em o li sh ed p u b li c h o u si n g, 1 9 9 6 –2 0 0 7 P er ce n ta ge B la ck (n = 3 05 ) P er ce n ta ge H is p an ic (n = 3 06 ) P er ce n ta ge M in or it y (n = 3 06 ) P er ce n ta ge e ar n in g le ss t h an $ 50 00 (n = 2 96 ) P er ce n ta ge w it h w ag es (n = 2 96 ) P er ce n ta ge w it h w el fa re (n = 2 96 ) P er ce n ta ge o f fe m al e- h ea d ed h ou se h ol d s (n = 3 05 ) P er ce n ta ge of s en io rs (n = 3 04 ) P er ce n ta ge d is ab le d (n = 3 04 ) D em o li sh ed p ro je ct s 7 9 .5 1 1 .5 9 4 .2 3 2 .2 2 4 .9 2 8 .6 8 2 .8 1 5 .4 1 6 .9 O th er p u b li c h o u si n g p ro je ct s 7 3 .2 1 1 .2 8 7 .5 2 5 .2 2 2 .2 2 1 .5 7 8 .5 2 5 .9 2 0 .2 Si gn ifi ca n ce ** * - ** * ** * ** * ** * ** * ** * ** * N ot e: * ** p < 0 .0 0 1 . 1590 EDWARD GOETZ compares demolished projects with the rest of the public housing stock in the same cities. The data suggest a disparate racial impact of public housing demolition across more than 300 demolitions in these large American cities. The average project demolished was 79.5 per cent African American, while other projects in the same cities were on average 73.2 per cent African American. For Hispanic residents, however, there was no disparate impact; the average demolished project was 11.5 per cent Hispanic compared with 11.2 per cent city-wide. The data in Table 1 also provide evidence of other statistically significant differences between projects that have been demolished and other public housing. In the average demolished project, 32.2 per cent of residents had incomes less than $5000, compared with only 25.2 of residents in comparison projects. Conversely, demolished projects had higher relative populations of wage-earners and resi- dents with welfare income. This is likely to be due to the fact that demolished projects also had significantly fewer seniors and disabled households than public housing that was not demolished. These averages mask a wide range of out- comes across projects. Disparity ratios were derived by dividing the percentage Black in a given project by percentage Black in the rest of the city’s public housing. For example, the Christopher Columbus Homes in Paterson, New Jersey, demolished in 2000, were 97 per cent Black-occupied in 1999. The rest of the public housing stock in Paterson in 1999 was 70 per cent Black. This produces a dispar- ity ratio of 1.39 (97/70). The ratios range from 0 (in projects that displaced no African American households) to 5.08. A disparity ratio of 1.0 signals that a demolished project exactly matched the racial profile of the rest of the public housing stock in the same city for the same year. Table 2 shows projects with the highest disparity ratios. The highest ratios occurred in cities in which African Americans made up half or fewer of all public housing households. Demolitions in those cities, nevertheless, affected some projects with very large pro- portions of African American residents. The unweighted average disparity ratio for the 305 projects for which all data are available is 1.096, indicating that the average public hous- ing project demolished had 9.6 per cent more African American households as a percentage of all households than other public housing in the same cities in the same year. Twenty- two per cent of the demolished projects had ratios of less than 1.0, meaning that there were Table 2. Ten projects with highest disparity ratios Rank Project, City Disparity ratio Percentage Black Project Other public housing 1 Springview Apts, San Antonio 5.08 61 12 2 Iris Court, Portland, OR 2.76 58 21 3 DN Leathers II, Corpus Christi 2.67 32 12 4 320 – 23rd St, Denver 2.63 71 27 5 Arapahoe Cts, Denver 2.60 65 25 6 Curtis Park Homes, Denver 2.44 61 25 7 Arrowhead Apts, Denver 2.41 65 27 8 Mulford Gardens, Yonkers 1.92 96 50 9 College Hill Homes, Knoxville 1.91 90 47 10 Lonsdale Homes, Knoxville 1.88 90 48 GENTRIFICATION IN BLACK AND WHITE 1591 fewer African American households in those projects compared with other public housing in the cities studied. Thirty-seven per cent of the projects had disparity ratios between 1.0 and 1.10, one-quarter (24.6 per cent) had disparities from 1.10 to 1.25 and the rest (16.7 per cent) had disparity ratios of 1.25 or more. The overall disparity ratio is determined by dividing the total number of Black households displaced in all 305 projects by the expected number displaced, where the expected num- ber is simply the city-wide percentage Black applied to each project. In the Christopher Columbus Homes example, in Paterson, New Jersey, if there had been no disparate impact on Blacks, one would expect that 70 per cent of the 314 households in that project would have been Black (matching the rest of the city’s public housing stock in 1999). This means that 220 African American households would have been displaced. In fact, 97 per cent of the project was African American, or 305 households. Thus, this project displaced 85 more African American households (or 39 per cent more) than would have been expected given a non-disparate outcome. Summing this calculation across all 305 projects produces a weighted disparity ratio of 1.077; in the aggregate, projects that have been demolished in these cities have displaced 7.7 per cent more African Americans than would have been the case had there been no disparate impact. The weighted ratio is less than the unweighted average because of large projects in cities such as Chicago, Detroit and Baltimore, where virtually all public housing residents are Black and therefore the individual-project disparity ratios are close to 1.0. Disparity ratios are bounded on the upper end by the initial over-representation of Blacks in public housing in most of the large cities in this sample. In cities like Washington, DC, Memphis and Detroit, where 98 per cent or more of public housing residents are African American, there is essentially no possibility of a disparate racial outcome as defined here. Since both the numerator and the denomi- nator in the disparity ratio have maximum values of 100, as the denominator approaches 100, the possibility of a ratio above 1.0 dimin- ishes. Thirteen per cent of the demolitions in the sample (or 40 projects) took place in cities in which Blacks make up 99 per cent of all public housing households. In one-third of the demolitions (more than 100 projects), Blacks make up more than 90 per cent of all public housing households city-wide. Figure 2 shows how the disparity ratio is related to the percentage of city-wide public housing occupied by African Americans. When all cases are included in the analysis, the unweighted disparity ratio is near 1.096. When cases are eliminated at the upper end— i.e. cases are removed where the percentage of city-wide public housing is 98 per cent or above, the average disparity ratio increases. The average disparity ratio tops out at 1.18 when the analysis is restricted to cases in which the city-wide public housing population that is African American is 75 per cent or less. The other line in the figure indicates the number of cases that remain in the analysis as cases are removed. The disparity ratio becomes less stable as the number of cases declines. In fact, there is a precipitous decline in the number of cases as one moves to the right in the graph, a reflection of the fact that most of the public housing projects demolished are in cities where a large majority of public housing residents are African American.7 Several cities have sizeable disparities in the racial make-up of demolished public housing projects compared with their overall public housing profiles. Table 3 lists cities with a disproportionately high or low percentage of African American residents in demolished projects. In Corpus Christi, Texas, the public housing that was demolished had 2.96 times as many African American households (as a percentage of all households) than did the rest of the city’s public housing stock. The tenth-ranked city on the list, Denver, has 1592 EDWARD GOETZ torn down public housing that had 51 per cent more African American households as a percentage of all households than the rest of its public housing stock. Other cities had fewer African American households in demolished projects than would be expected given the overall racial make-up of public housing in the city. Two examples of this are El Paso, Texas, and Los Angeles, CA, where public housing demolition has affected projects with higher Hispanic populations. Cities in the west and south-west account for seven of the 10 cities with the lowest disparity ratios for African Americans. This suggests that disparity ratios might be an artifact of region and perhaps dependent on whether Blacks make up a small percentage of city-wide units. However, the bivariate 0.6 0.7 0.8 0.9 1 1.1 1.2 100 95 90 85 80 75 70 65 60 55 50 45 40 35 30 25 20 15 Pct of city-wide public housing occupied by African Americans D is p a ri ty R a ti o 0 50 100 150 200 250 300 350 N u m b e r o f c a s e s Disparity ratio n Figure 2. Disparity ratio as a function of percentage Black in city-wide public housing. Table 3. Cities with disparate displacement impact on African American households Cities with greatest disparities Cities with lowest disparities Rank City Disparity ratio Rank City Disparity ratio 1 Corpus Christi 2.96 1 El Paso 0.17 2 Yonkers 2.52 2 Los Angeles 0.22 3 Lubbock 2.36 3 Topeka 0.61 4 Portland, OR 2.03 4 Sacramento 0.61 5 Ft Wayne 1.74 5 Hartford 0.69 6 Syracuse 1.70 6 Boston 0.70 7 Knoxville 1.65 7 San Antonio 0.76 8 Miami 1.62 8 Oakland 0.82 9 St Petersburgh 1.58 9 Tucson 0.85 10 Denver 1.51 10 Tacoma 0.87 GENTRIFICATION IN BLACK AND WHITE 1593 correlation between disparity ratio and percentage of the total public housing stock that is occupied by African Americans is small and statistically insignificant (r = -0.063). There are two possible alternative explana- tions for the racial disparities found in the preceding analysis. First, the disparate racial impact of demolition may be an artifact of the fact that ‘family’ public housing is demol- ished at a greater rate than projects that house seniors, and that senior public housing is less racially segregated. The second counter- explanation for disparate racial impact is that demolition has been targeted to the most dysfunctional public housing developments and that these are disproportionately occu- pied by African Americans. The assumptions behind these alternative explanations are only moderately supported by the data. The pro- portion of a project’s population that is Black is moderately correlated with the percentage that is below the age of 62 and with vacancy rate (a measure of building quality) (r = 0.28 and 0.23 respectively). A logistic regression analysis of all public housing projects in the 139 cities of this sample demonstrates that, even when controlling for building quality and for the presence of seniors, developments that were predominantly (more than two- thirds) Black were 71 per cent more likely to be demolished than projects that were not mostly Black (see Table 4). The analysis shows that building quality (as measured by percentage of units occupied) is an important predictor of whether or not a public housing project was demolished. Additionally, senior buildings (defined here as projects in which more than half of the resi- dents were older than 62) were significantly less likely to be demolished than other proj- ects. Yet, even accounting for those factors, public housing developments that were pre- dominantly occupied by African Americans were significantly more likely to come down than projects with a more integrated profile. The data in Table 4 show that all three of these explanations are accurate in distinguishing demolished public housing from the projects left standing. Indirect Displacement The analysis of indirec t displacement caused by HOPE VI is based on the expec- tation that neighbourhoods surrounding Table 4. Importance of race, controlling for building quality and senior occupancy: binary logistic regression (dependent variable: demolition; N = 1926) Characteristics of public housing development β Exp (β) Significance Number of units 0.000 1.000 *** Percentage units occupied -0.036 0.964 *** Median rent -0.017 0.983 *** Percentage incomes less than $5000 0.000 0.999 - Percentage with wages -0.003 0.994 - Percentage under 25 years old 0.001 1.001 - Senior buildinga -1.693 0.184 *** Predominantly Blackb 0.539 1.714 ** Percentage units with 3 + bedrooms 0.002 1.002 - Log likelihood 1102.15 Percentage predicted correctly 88.6. a 50 per cent or more of the occupants are 62 years of age or more. b 66 per cent or more of the occupants are African American. Notes: *** p < 0.001; ** p < 0.01. 1594 EDWARD GOETZ HOPE VI projects will change due to the redevelopment that occurs on the public housing site. The focus here is on the degree of racial change and poverty reduction in HOPE VI neighbourhoods. In order to control for racial and poverty changes tak- ing place more broadly in the local housing market, neighbourhood change is calculated relative to city-wide change. The average population in these HOPE VI neighbourhoods was 5701 for the 176 that received their funding prior to 2000, 6246 for neighbourhoods that began relocation during the 1990s and 6857 for the neighbourhoods of projects that had been demolished (see Table 5). These neighbourhoods were 60 per cent African American on average and 12–14 per cent Hispanic. The HOPE VI neighbour- hoods were characterised by a high poverty rate (45 per cent), low levels of owner-occupancy (24–28 per cent) and vacancy rates of close to 15 per cent. Because the basic patterns of neighbourhood change are the same across these three nested sub-samples, the focus is on projects that relocated residents prior to the 2000 census (n = 100). Poverty Reduction in HOPE VI Neighbourhoods The commonly accepted threshold for ‘con- centrated poverty’ is an area in which more than 40 per cent of the population is below the poverty line (Jargowsky, 1996). Thus, on average, HOPE VI neighbourhoods were above that threshold when the 1990s began. By 2000, the 100 neighbourhoods that had already experienced HOPE VI relocation averaged 36.1 per cent poverty, a reduc- tion of more than eight percentage points. The average decline in poverty relative to changes taking place at the city level was 7.6 percentage points. That is, the average HOPE VI neighbourhood saw a decline in poverty that was 7.6 percentage points greater than their respective city-wide changes during the 1990s. Most neighbourhoods saw a decline in poverty rate that was significantly greater than the secular trends taking place city-wide (see Table 6). Looking at the projects that moved to relocation during the 1990s (the middle column in the data table), one sees that poverty declined faster city-wide than in the HOPE VI neighbourhood in 25 projects (25 per cent). In 15 cases, the neighbourhood reduction in poverty was slightly greater (less than five percentage points) than what was experienced city-wide. In close to one- half of the cases (46 per cent), however, the neighbourhoods saw a reduction in poverty that was at least 10 percentage points greater than what was happening city-wide. Table 6 indicates that projects that were farther along (i.e. had moved to demolition by 2000) were even more likely to show significant poverty reduction (52 per cent declined in poverty at a rate at least 10 percentage points more than the city). Table 5. HOPE VI project characteristics Neighbourhood characteristics First grant in 1990s (n = 176) Relocation in 1990s (n = 100) Demolition in 1990s (n = 64) Mean population, 1990 5701 6246 6857 Mean percentage Black, 1990 59.7 61.1 60.3 Mean percentage Hispanic, 1990 11.9 12.3 14.1 Mean percentage Poverty, 1990 45.0 45.0 45.6 Mean percentage owner-occupied housing 28.4 25.6 24.3 Mean percentage vacant housing 14.9 14.9 14.7 GENTRIFICATION IN BLACK AND WHITE 1595 Racial Turnover Only one-quarter of the HOPE VI neighbour- hoods saw a reduction in Black population more than 10 percentage points greater than the city-wide rate of change. In comparison with poverty reduction, the impact of HOPE VI on the Black population is more moder- ate (i.e. relatively more cases in which the reduction in Black population outpaced the city-wide trend by 5–10 percentage points). Table 7 summarises the displacement effect for African Americans across all of the HOPE VI projects begun in the 1990s. The data show that HOPE VI redevelopment projects that received funding in the 1990s were, on aver- age, located in cities that were experiencing a relative decline in their African American populations and the projects were located in neighbourhoods that lost population over the decade. Thus, although the neighbour- hoods saw sizeable reductions in their Black populations, one would have expected some reduction given overall city trends during this decade. For projects that received their first grant before 2000, their neighbour- hoods were 59.7 per cent Black in 1990 and 55.9 per cent Black in 2000, a decline in the Black population that is an average of 3.17 percentage points greater than what occurred at the city scale. The per project displacement effect is 159; the average project displaced 159 more African Americans from the neighbour- hood than would have been expected given city-wide trends. The displacement effects increase in projects that went to the reloca- tion or demolition stages during the 1990s. For projects that saw relocation, the average neighbourhood went from 61.1 per cent Black to 56.1 per cent; for projects in which demoli- tion took place in the 1990s, the neighbour- hoods fell from 60.3 per cent Black to 55 per cent Black. Among both groups of projects, the reduction in Black population in these neighbourhoods was greater, on average, than what took place in the rest of the city. Some portion of the neighbourhood-wide reduction in Black population is due to the relocation/demolition of the public housing Table 6. Changes in poverty and in African American population in HOPE VI neighbourhoods relative to changes taking place city-wide, 1990–2000 Projects that received grant in 1990s (n = 175) Projects that relocated families in 1990s (n = 100) Projects that were demolished in 1990s (n = 64) Poverty African American Poverty African American Poverty African American Neighbourhood reduction that trailed the city-wide rate of reduction 44 (25) 51 (29) 25 (25) 25 (25) 12 (19) 15 (23) Decline that exceeded the city-wide rate by less than 5 percentage points 29 (17) 49 (28) 15 (15) 25 (25) 12 (19) 19 (30) Decline from 5–10 percentage points greater than city-wide decline 28 (16) 43 (25) 13 (13) 27 (27) 7 (10) 15 (23) Decline of more than 10 percentage points greater than city-wide 74 (42) 32 (18) 46 (46) 23 (23) 33 (52) 15 (23) Note: percentages are shown in parentheses. 1596 EDWARD GOETZ site, while the rest is the spillover, or indirect displacement effect. The relative size of the direct and indirect is impossible to determine because some of those displaced from the demolished public housing project may have moved elsewhere within the neighbourhood. The previous analysis indicated that the aver- age public housing demolition removed over 200 African American families. Using this as a guide, it appears that on average, HOPE VI redevelopment projects have overall gener- ated little indirect displacement of African Americans at the neighbourhood level. These national averages, however, obscure significant variation across cities and across projects. Table 8 shows the 10 most extreme cases of indirect displacement of African Americans in HOPE VI projects begun in the 1990s. The table lists the change in Black population in the neighbourhood as well as the estimate of displacement, which is the difference between the rate of racial change in the neighbourhood and what took place in the city as a whole during the decade. The most extreme case is the McGuire Gardens project in Camden, NJ, a city that saw a 5 percentage point decline in the Black population between 1990 and 2000. The neighbourhood of the McGuire Gardens project saw a 50 percentage point decrease in the proportion of its population that is African American. Thus, the city-wide trend and the neighbourhood trend diverged by 44.86 percentage points. In the cases of the Schuylkill Falls project in Philadelphia and the Commodore Perry project in Buffalo, the cities actually gained Black population while the HOPE VI neighbourhoods lost Blacks; thus the displacement estimate is greater than the actual level of decline in the neighbourhoods. This pattern applies to seven of the 10 cases shown in Table 8. At the same time, there are a number of HOPE VI projects that produced opposite effects or no racial effects at all. For example, the three HOPE VI projects in Albany, NY, a city that experienced a decline in the African American population of 6.25 percentage points between 1990 and 2000, all saw increases in the Black population in the neighbourhoods sur- rounding the project site. The Fairfield Homes project area in Baltimore saw an increase in the Black population of 4.12 percentage points, while the Black population declined in the city as a whole by 4.88 percentage points. Similar patterns were seen in Hartford, CT, and in single projects in Pittsburgh and Milwaukee. Table 7. Indirect displacement of African Americans in HOPE VI neighbourhoods Neighbourhood characteristics First grant in 1990s (n = 176) Relocation in 1990s (n = 100) Demolition in 1990s (n = 64) Mean Black population, 1990 3422 3671 3953 Mean percentage Black, 1990 59.7 61.1 60.3 Mean Black population, 2000 2594 2643 2763 Mean percentage Black, 2000 55.9 56.1 55.0 Mean expected reduction in Black populationa 670 810 942 Mean reduction in Black population 828 1028 1190 Per-project displacement effectb 159 217 248 Excessive reduction in Black populationc 27 902 21 767 15 889 a The reduction in the neighbourhood Black population if the neighbourhood change had matched the overall city change. b Actual reduction in neighbourhood Black population minus the expected reduction. c Sum of per-project displacement effects. GENTRIFICATION IN BLACK AND WHITE 1597 Taken together, the data presented in this section suggest that, while significant sec- ondary displacement of African Americans occurs in some cases, there are offsetting examples where no such indirect displace- ment has occurred or where African American populations have actually increased in the neighbourhood. HOPE VI projects seem to generate a range of racial outcomes not easily summarised. Figure 3 arrays HOPE VI projects along two dimensions; change in poverty and change in African American population, relative to changes taking place in the city as a whole.8 The most populated quadrant is the lower left which contains neighbourhoods experiencing White gentrification. These are neighbour- hoods that saw a relative and sizeable reduc- tion in poverty and a relative and sizeable reduction in African American population. A smaller number of neighbourhoods saw a reduction in poverty with little to no change in race, or even an increase in the Black popu- lation. These neighbourhoods could be said to be undergoing Black gentrification. The full national sample of HOPE VI proj- ects includes a number of projects located in neighbourhoods that are not predominantly Black, many of which are south-western cit- ies with large Hispanic populations. In these neighbourhoods, HOPE VI projects may have little to no impact on the Black population, which in any case, is not a large portion of the neighbourhood. HOPE VI Displacement Patterns in Predominantly Black Neighbourhoods By limiting the analysis to HOPE VI rede- velopments taking place in predominantly (50 per cent+) Black neighbourhoods, it is possible to focus more directly on the issue of Black displacement. Sixty-two per cent of the neighbourhoods in our overall sample can be classified as predominantly Black in 1990. Table 9 summarises the displacement infor- mation for projects in these neighbourhoods. The data indicate that, in HOPE VI neigh- bourhoods in which Blacks were the largest racial group, they constituted on average 84 per cent of the population in 1990. For all projects that began in the 1990s, the Black population declined four percentage points (84.0 to 79.9). For projects that went as far as demolition, the decline was six percentage points (84.7 to 78.8). In absolute numbers, the average reduction in Black population over the Table 8. Indirect displacement of African Americans for projects begun before 2000: ten highest levels of indirect displacement City Project Neighbourhood change in percentage Black, 1990–2000 Indirect displacement, 1990–2000a Camden McGuire Gardens -49.84 44.86 Philadelphia Schuylkill Falls -27.95 30.88 Buffalo Commodore Perry -23.37 29.67 Tulsa Osage Hills / Country Club Gardens -26.06 27.98 Stamford Southfield Village -24.56 21.98 New Haven Elm Haven -21.10 21.30 Chicago Cabrini Green -22.84 20.41 Charlotte Earle Village / First Ward -18.89 19.54 Birmingham Metropolitan Gardens -8.86 18.74 Portsmouth Ida Barbour Homes -14.25 17.32 a Calculated as the difference between the reduction in percentage Black in the neighbourhood and the city-wide reduction in percentage Black. 1598 EDWARD GOETZ –50 –40 –30 –20 –10 0 10 20 30 –50 –40 –30 –20 –10 0 10 20 30 40 Change in Pct. Poverty C h a n g e i n P c t. A fr ic a n -A m e ri c a n Black gentrification White gentrification Figure 3. Relative changes in race and poverty in HOPE VI neighbourhoods, for projects that relocated residents prior to 2000 (n = 100). Table 9. Indirect displacement of African Americans in predominantly Black HOPE VI neighbourhoods Neighbourhood characteristics First grant in 1990s (n = 108) Relocation in 1990s (n = 62) Demolition in 1990s (n = 39) Mean Black population, 1990 4824 4927 5232 Mean percentage Black, 1990 84.0 84.2 84.7 Mean Black population, 2000 3643 3486 3539 Mean percentage Black, 2000 79.9 78.7 78.8 Mean expected reduction in Black populationa 1005 1175 1372 Mean reduction in Black population 1180 1441 1694 Per-project displacement effectb 175 256 322 Excessive reduction in Black populationc 19 974 11 155 12 524 a The reduction in the neighbourhood Black population if the neighbourhood change had matched the overall city change. b Actual reduction in neighbourhood Black population minus the expected reduction. c Sum of per-project displacement effects. GENTRIFICATION IN BLACK AND WHITE 1599 decade was 1005 persons for projects begun in the 1990s. For projects that completed relocation, the reduction was 1175 and, for projects that moved to demolition, the aver- age reduction in Black population was 1372. The per-project displacement impact isolates the reduction in Black population above (or below) what is expected given city-wide trends. Predominantly Black neighbourhoods with HOPE VI projects initiated in the 1990s saw a reduction in the Black population of 175 more than expected given city-wide trends. For projects that went to relocation, the dis- placement effect was 256 and it was 322 for projects that saw demolition during the 1990s. Once again, the national averages hide a great deal of variation. Figure 4 provides a look at projects that took place in African American neighbourhoods. The predominance of White gentrification is more pronounced in this sample of projects. Twenty-seven HOPE VI neighbourhoods (44 per cent of this sample) saw a significant decline in both poverty and African American population. Black gentrification characterises 18 per cent of the HOPE VI neighbourhoods that began the 1990s with a predominantly Black population. These neighbourhoods are highlighted in the rectangle within Figure 4. While Chicago’s Bronzeville neighbourhood surrounding the Robert Taylor Homes is included in this group, the data reveal that Black gentrification is also occurring in HOPE VI neighbourhoods in Pittsburgh, Charlotte, Columbus (Ohio), Louisville and Wilmington (North Carolina), among other places. –50 –40 –30 –20 –10 0 10 20 30 –50 –40 –30 –20 –10 0 10 20 30 40 Change in Pct. Poverty C h a n g e i n P c t. A fr ic a n -A m e ri c a n White gentrification Black gentrification Figure 4. Relative changes in race and poverty in predominantly Black HOPE VI neighbourhoods, for projects that were demolished prior to 2000 (n = 62). 1600 EDWARD GOETZ Neighborhoods that are near the intersection of the two axes have not experienced signifi- cant change in either poverty or racial pro- file. In these neighbourhoods, the HOPE VI project has seemingly not triggered any larger neighbourhood change. Finally, the smallest number of neighbourhoods see a sizeable decline in African American residents but no change in poverty (desegregating neighbour- hoods) or see an increase in poverty with little racial change. Discussion Public housing demolition is playing a signifi- cant role in current patterns of gentrification in the US. Local officials have energetically pursued demolition of older public hous- ing projects in many cities to clear away the physical and social impediments to renewed private-sector investment in inner-city neigh- bourhoods. These efforts have displaced hundreds of thousands of very-low-income families since the 1980s and have had a dis- proportionate impact on African Americans. The disparate impact, furthermore, is not merely the result of the fact that Blacks are over-represented in public housing. Faced with a range of public housing projects to sweep away, local housing authorities have systematically chosen projects that, even by the standards of their own city, are dispropor- tionately inhabited by Black families. The racial dimension of gentrification has been, according to Moore (2009), under- theorised. Recent evidence of Black gen- trification has led to closer scrutiny of race in gentrifying neighbourhoods. The data presented here indicate that, in third wave gentrification—in which the state often takes the lead with high-profile redevelopment investments—race-based displacement is a prominent characteristic. The current prac- tice of tearing down public housing and the massive displacement of low-income, African Americans that has ensued is, in many ways, an update of the urban renewal experience of the 1950s and 1960s. The current surge in demolition, however, can be distinguished from the urban renewal story in one important way—the degree of neighbourhood change that it has induced. The data presented here indicate that public housing demolition and redevelopment are generating a wide range of neighbourhood outcomes, the most common of which are patterns of Black or White gentrification. While urban renewal often cleared land that remained fallow for years because of the lax land investment markets that characterised central cities in the 1950s and 1960s, public housing demolition from the mid 1990s through 2007 took place in the context of highly active real estate markets in many cities. Furthermore, agencies often targeted public housing in neighbourhoods where the poten- tial for spillover effects were greatest (Wyly and Hammell, 1999) and, in fact, were asked to do so by HUD. In the aggregate, redevelop- ment projects that began in the 1990s were not associated with a significant amount of neighbourhood racial turnover. Public hous- ing transformation has in some cities led to gentrification that entails significant racial turnover as well as changes in the income pro- file of the neighbourhood. This pattern was found in close to half of the HOPE VI projects in predominantly Black neighbourhoods. The data also show that one in five predominantly African American communities with a HOPE VI project experience Black gentrification— i.e. a significant reduction in poverty without racial change. HOPE VI triggered significant poverty reduction in most neighbourhoods, but was associated with racial turnover in a smaller number of places. The neighbourhood change analysis pre- sented in these pages must be regarded as preliminary given three important consider- ations. First, although the data reveal exam- ples of Black gentrification as well as other paths of neighbourhood change triggered by GENTRIFICATION IN BLACK AND WHITE 1601 public housing transformation, the analysis cannot shed light on why neighbourhoods move down one of these paths or another. Additional research is needed to identify the circumstances that produce, for example, Black gentrification as opposed to White gentrification, or the conditions under which public housing transformation is not able to generate any larger neighbourhood changes. Secondly, the amount of indirect displace- ment is probably underestimated because very few of the HOPE VI projects that form the basis of this analysis had completed the redevelopment process. As a result, the analy- sis more closely reflects the initial population changes associated with demolition and displacement. It is possible, indeed probable, that some if not most neighbourhood change dynamics would begin or accelerate after rede- velopment is complete, producing subsequent settlement patterns that could reflect changes greater than those discovered by this analysis. Finally, the neighbourhood data measure change over a 10-year period. The public housing redevelopment is only one event, albeit a major event, in that 10-year period. Although the analysis controls for broader market changes within the local economy, it is difficult to say, for any given neighbour- hood, whether public housing redevelopment produced the neighbourhood change seen, or was simply a part of a trend that began before demolition. Whether public housing demoli- tion was the cause of neighbourhood change or followed neighbourhood change requires more fine-grained data and analysis. The analysis confirms, however, the observations of previous studies that identify the central importance of public housing transforma- tion to patterns of gentrification in US cities. Notes 1. The definition of gentrification used here is the conventional one that highlights physical upgrading of the housing stock and built environment combined with the displacement of low-income residents in favour of higher socioeconomic groups (see for example, Marcuse, 1985; and Smith and LeFaivre, 1984). 2. The sample was created by combining the lists of the 150 largest US cities in 1990 and in 2000. This produced a list of 169 places, of which 30 were suburban communities. Given the lack of public housing in these suburban communities, they were removed from the analysis. 3. It should be noted at this juncture that the HUD database is dependent on the reporting by local housing authorities. For some cities in some years, no racial occupancy data are reported for any units. 4. Information on project characteristics was obtained from various sources, including HUD and local housing authorities. Address information was obtained from HUD and verified through direct observation, on-line sources and from local housing authorities. 5. The definition of neighbourhood is a difficult issue in large-n research. Jargowsky (1996) used census tracts, arguing that they are ‘the only realistic choice’ for national studies. Zielenbach (2002) defined neighbourhood to include the tracts that contained HOPE VI projects and all other tracts that abutted but did not include the site. Tracts were weighted by the percentage of the projects’ units within each tract, with abutting tracts counted as 5 per cent of the weighted average. The US GAO (2003) defined HOPE VI neighbourhoods as the set of census block groups adjacent to the block group containing the HOPE VI site. Fosburg et al. (1996) allow local research associates to define neighbourhood according to local usage. 6. The number of residents displaced is estimated by multiplying the average household size in each project by the number of occupied units. 7. This suggests another standard against which to judge whether a disparate impact has occurred—the proportion of public housing residents who are African American in the average large US city. In the average large city in the US in 1996, 59.7 per cent of public housing residents were African American. By this standard, there is very large disparate impact, since the average demolished project was 79.7 per cent African American. Thus, demolished projects contained 33 per cent 1602 EDWARD GOETZ more (79.7/59.7 = 1.33) African Americans as a proportion of all residents than would have been expected had demolitions occurred in projects that were representative of public housing in all cities in the sample. 8. The data are shown only for those projects that moved to relocation during the 1990s. 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work_pfcldo64jzh4bdktamox7cn2ym	----	9_Daniel Paul_The Hidden History of the Americas settler  colonial  studies           ©   settler  colonial  studies  2,  1  (2011)                    ISSN  1838-­‐0743                167         The Hidden History of the Americas: The Destruction and Depopulation of the Indigenous Civilisations of the Americas by European Invaders   DANIEL  N.  PAUL   Mi’kmaq  Elder,  C.M.,  O.N.S.   The following is a modified version of an Anti-Racism Lecture delivered on 22 March 2011 at Saint Mary’s University, Halifax, Nova Scotia. It is here presented as a speech and without supporting references. A more extended version of this lecture is available here. Until the Lion has his historian, the hunter will always be the hero. Unknown. The Lion today will be the American Indian, and on his behalf I will present an American Indian perspective about the European Invasion of the Americas, and the consequent near fatal disastrous results it had for our civilizations (in this paper the term ‘American Indian’ is applicable to all of the Indigenous Peoples of the Americas). The main topic of my commentary today will be about the Hidden History of the Americas, and the Conspiracy of Silence that keeps it out of Eurocentric Education Systems, and hidden safely away in the Archives of Canada, the United States, the Vatican, France, Great Britain, Spain, Portugal, and far too many other countries to mention here. Yesterday, 21 March 2011, was the date that the United Nations set aside in 1966 to remind humanity each year thereafter that we have a moral obligation to work diligently for the Elimination of Racism around the world. Today, I’ll provide you http://www.danielnpaul.com/AmericanIndiansGenocide.html Paul,  ‘Hidden  History  of  the  Americas’.     168       with some of the highlights of the true histories of the invasion and colonizing of the Americas by Europeans, which I hope will provide a small forward step in that direction. My presentation is designed to put on the table for discussion a long denied fact: the dispossessing of the Indigenous Peoples of the Americas by Europeans, and the near extermination of them in the process, is the greatest inhuman barbarity that this World has ever known. The following are some of the major tragic consequences that stem from the European invasion. First and foremost, the suffering that it caused American Indians over the centuries is beyond measurement, and the number that perished because of it is so immense that uncountable millions is the only reasonable estimate that can be given! Beside out and out Genocide, starvation, which was caused by the deliberate destruction of Indigenous trading patterns and food supplies, took a heavy toll. Another item that took a heavy toll was malnutrition. It started shortly after the invasion’s onset, slowly became universally widespread among the Indigenous Peoples of the two Continents and continued until recent times. Initially, it was caused by food supply destruction, but later the major cause was the near starvation rations passed out to Indigenous peoples by Caucasian governments – in a weakened state even common illnesses were very often deadly. People sold into slavery were also a huge factor. Then we must not forget the hundreds of thousands of American Indians who died at the hands of brutal Caucasian governments during the 1900s in such places as Guatemala, where they were the majority population fighting the minority for representation. Notable is the fact that Caucasian Canadian and American politicians turned a blind eye to the atrocities that their peers were committing in these countries, probably justifying their non-interference by labelling the rebellions communist-inspired. Before laying out some facts to support my previous statement I’ll provide a sampling of pre-Columbian American Indian statistics and accomplishments. In 1492, when the European invasion of the Americas was instigated by a human error that saw Christopher Columbus get lost at sea while trying to reach the Indies, and making landfall instead in the Americas, the two continents were not, as some would have us Paul,  ‘Hidden  History  of  the  Americas’.     169       believe, two vast and vacant land masses that were created by the Great Spirit for the specific purpose of enriching Europeans. In fact, both continents were widely populated by humans who were citizens of hundreds of well established diverse civilisations – a statement of fact that may not sit well with those who buy into the White Supremacist belief that the inhabitants of the two continents were not civilized human beings but savage animals. Unfortunately, because of the lack of reliable statistics the number of humans that were residents of the Americas in 1492 can only be estimated. Thus, over the eons, using various methods, experts have made estimates that vary widely – a few million to a hundred million. However, I believe, due to the fact that the vast land mass was populated from the Arctic to the tip of South America, including deserts, islands, swamps, Jungles, and mountains, that a total population estimate of 100 million would not be far off. The citizens of these Nations spoke hundreds of different languages and resided in societies that covered the spectrum – hunter-gatherer to sophisticated city dwellers. Farms that fed thousands of citizens of these Nations existed, and many cities had large populations. The norms of human interaction such as marriage, divorce, social assistance, etc., were in place. Such disciplines as engineering, astrology, medicine, etc., were available for educational pursuit in many societies. Calendars, suspension bridges, and record keeping, etc., were also part of the fabric of many societies. Trading patterns between most Nations were developed and well established. Politics ranged from democratic to autocratic. For instance, the Aztecs, Inca and Maya lived under emperors, while most of the North American Nations were democratic. In fact, shortly after the invasion started, the democratic ideals of these Nations soon gave rise to the democratic aspirations of long oppressed Europeans. Proof of it lies in the fact that both the Constitution and Bill of Rights of the United States of America were modelled to a large extent on the democratic ideals and laws of Indigenous American Nations, in particular an Iroquoian law entitled ‘The Great Law of Peace’ (and it took until a Resolution of November 1988 for the US Congress to recognise these American Indian democratic values and ideals). Over ten thousand years ago American Indian horticulturists engineered a plant they christened ‘maize’, commonly known today Paul,  ‘Hidden  History  of  the  Americas’.     170       as corn. In modern times the harvest of corn provides approximately twenty-one per cent of human nutrition across the globe. Interestingly, it took until 2010 before modern science could finally figure out how they did it. Further, American Indians were very ingenious in domesticating food sources; including corn, they domesticated nine of the most important food crops that feed and sustain the modern world’s population. Another long ignored fact to ponder is this: over five thousand years ago the Indigenous People of California, utilising a process they had perfected to take the bitterness out of acorns, were milling flour out of them. To assure a reliable supply of acorns they grew and groomed large orchards of oak trees. This was a time in history, forget not, in which many Europeans were still hanging out in caves. This is just a tiny sample of some of the positive societal information that is readily available about the Nations of the pre- Columbian Americas. But, of course, it is not taught in schools or widely publicised. In fact, I venture to state without hesitation that just about everybody attending this session did not know any of the facts just relayed until I mentioned them. Which begs the question: in view of the fact that the information just mentioned is readily available to teach, why is it not taught? The answer will be revealed by the time I finish. *  *  *   QUESTION: Why does the racism that degrades American Indians continue to blatantly exist within the fabric of the modern Nations of the Americas? The answer is simple; most of the modern Nations of the Americas, due to their Eurocentric founding, will not willingly do what good conscience and justice demands: that is, to teach the truth about the European invasion and colonisation of the two continents. This course of action, no matter how demeaning to the European founders of their societies it is, is a moral obligation that these modern Nations, if they ascribe to being civilised societies, should no longer ignore and resist! In his discourse, ‘Lessons at the Halfway Point’, Michael Levine accurately identifies with this gem of wisdom why intolerance exists: Paul,  ‘Hidden  History  of  the  Americas’.     171       ‘If you don’t personally get to know people from other racial, religious or cultural groups’, he writes, ‘it’s very easy to believe ugly things about them and make them frightening in your mind’. A sound piece of wisdom. If after 1492, instead of illegally appropriating and colonising the territories of the sovereign Indigenous Nations of the Americas, Europeans had followed the advice it contains, and had gotten to know and had accepted Indigenous Americans as equals, peaceful interaction between American Indians and Europeans would have occurred. However, instead of civilised interaction, they adopted White Supremacist racist beliefs that were responsible for the depiction of American Indians, and later of the Africans they imported into the Americas from Africa to be their slaves, as bloodthirsty inhuman savages – false depictions of both peoples that have been passed along from generation to generation, among Caucasians, for the better part of five centuries. Had White Supremacist attitudes not prevailed, both peoples of colour would not have suffered the indescribable hells that they suffered across the Americas until recent times and, in far too many cases, still suffer. However, had at that time in history Europeans been civilized enough to accept all fellow human beings as equals, as American Indians did, they wouldn’t have been occupied in the first place with ‘discovering’ and stealing the properties that belonged to other sovereign Nations. But, with notions of racial superiority prevailing, the European invaders utilised two very effective White Supremacist creations to justify their invasion of the generally peaceful Nations of the Americas, and the pillaging of them. Without conscience, demonising propaganda was created and used to dehumanise American Indians, and the Doctrine of Discovery – a Papal document that stated that non-Christians could not own land – was used to give a smidgeon of legality and a Christian blessing to the stealing of American Indian National territories, and to the carnage that the invaders visited upon the citizens of the land they stole. Therefore, in view of the onslaught that they were facing, it should come as no surprise that the citizens of the American Nations, who were being butchered, robbed and dispossessed by invaders that were armed to the teeth with lethal weaponry, fought back heroically to preserve their freedom and countries. The twisted Paul,  ‘Hidden  History  of  the  Americas’.     172       result of all of this, in view of White Supremacist attitudes prevailing, does not surprise either, but it does defy logical rational reasoning. Because American Indians fought the brutal European invaders to preserve the territory and freedom that the Great Spirit had given them, the American Indian resistors were, and still are depicted by many as the villains. Thus, when a logical and reasonable person, with honesty, contemplates the result, he/she cannot help but conclude that it is incredible in the extreme to find that in the overall scheme of things the American Indian victims are the villains, while the European bandits are the heroes. Such an outcome makes as much sense as would a murder victim’s family being ostracised and victimised because they caused discomfort for the murderer. Related to the prevalent White Supremacist attitudes that predominated among Caucasians during colonial times, it was rare indeed to find a prominent colonial official who had the humanity to see, and the courage to discuss openly, the justification of American Indians fighting tooth and nail to keep their Nations intact and to preserve their freedom. In fact, the only written statement that I’ve come across during my reading of hundreds of thousands of pages of history books, colonial documents etc., which acknowledges the right and the justice of the American Indian’s fight for their land and for their freedom, was the following one, made in 1867 by Nova Scotia’s Honourable Joseph Howe: The Indians [Mi’kmaq] who fought your forefathers were open enemies, and had good reason for what they did. They were fighting for their country, which they loved, as we have loved it in these latter years. It was a wilderness. There was perhaps not a square mile of cultivation, or a road or a bridge anywhere. But it was their home, and what God in His bounty had given them they defended like brave and true men. They fought the old pioneers of our civilization for a hundred and thirty years, and during all that time they were true to each other and to their country, wilderness though it was. Paul,  ‘Hidden  History  of  the  Americas’.     173       Greed was the main motivation for the horrors that were visited upon the Peoples of the Americas by the European invaders. Their thirst and craving for power and riches were insatiable; the more they acquired the more they wanted. Sioux Chief Sitting Bull aptly described it: The love of possessions is a disease with them. […] They take tithes from the poor and weak to support the rich who rule. They claim this mother of ours, the Earth, for their own and fence their neighbours away. If North America had been twice the size it is, there still would not have been enough; the Indian would still have been dispossessed. The only modern comparison I can think of, without the carnage of course, is Wall Street bankers, who almost brought the world economy down in 2008 by the irresponsible actions they took to enrich themselves over the prior decade or so. During that period, in careless disregard of their financial responsibilities to society, they designed and implemented schemes that were geared almost entirely towards trying to satisfy their blind senseless greedy desire to accumulate more wealth than they needed. The human suffering from it has been tremendous worldwide, massive unemployment, tens of thousands have lost their homes, and in 2011, millions are still unemployed. Conversion to Christianity did not help American Indians to survive. In fact, the atrocious treatment that they suffered at the hands of Caucasians before conversion continued unabated after conversion. For instance, the Mi’kmaq began to convert in 1610, but, during the 1700s their land was still being taken without their consent and without compensation, and they were subjected to attempts to exterminate them. Within the records of the modern Nations of the Americas rest many accounts of some of the gruesome methods utilized by Christian stalwarts to convert the ‘Pagans’. Germ Warfare was used by the colonials to try to exterminate American Indian populations; the preferred method was smallpox infection. The following quotes from July 1763 are extracted from Paul,  ‘Hidden  History  of  the  Americas’.     174       exchanges between the Commander-in-Chief of British forces in North America, General Jeffrey Amherst, and Colonel Henry Bouquet. They give an excellent example of inhuman racist mentality in action: Amherst: Could it not be contrived to send the Smallpox among the disaffected Tribes of Indians? Bouquet: I will try to inoculate the Indians with some blankets that may fall into their hands, and take care not to get the disease myself. Amherst: You will do well to try to inoculate the Indians by means of blankets. Amherst’s favourite degrading label for American Indians was that they were an ‘execrable race’. In spite of the before-mentioned, and the fact that after they exchanged their memos many citizens of American Indian Nations began dying from the disease, Amherst defenders state it is only circumstantial evidence. *  *  *   Before I get to the Mi’kmaq experience, I want to provide a few examples of other atrocities suffered by American Indians. The Cherokee of Georgia were rounded up in 1838, and during the winter months herded to Oklahoma (the ‘Trail of Tears’). En route, out of a starting number of approximately 15,000, over 5,000 perished. Many Nations were exterminated by the invaders, such as the Beothuk and the Taino. So many disappeared that Shawnee Chief Tecumseh observed: ‘Where are the […] many other once powerful tribes of our people? They have vanished before the avarice and the oppression of the white man, as snow before a summer sun’. A comprehensive list of the barbarities visited upon the Indigenous Peoples of the Americas, which would also include many horrors that occurred during the more enlightened 1900s, would require many works of encyclopaedic proportions! The following statement, ‘No state can achieve proper culture, civilization, and progress [...] as long as Indians are permitted to remain’, although articulated by Paul,  ‘Hidden  History  of  the  Americas’.     175       U.S. President Martin Van Buren in 1837, lays bare the predominant White Supremacist genocidal mentality that the Indigenous Peoples of the Americas have had to contend with since Columbus landed in 1492. Canada is a country that was created by the British by dispossessing thirty-four American Indian Tribes of their territories; it is also a land that includes genocidal efforts in its history. For instance, there were three scalp proclamations issued by British colonial authorities in efforts to try to exterminate the Mi’kmaq. The first, issued by Massachusetts Bay Colonial Governor William Shirley in 1744, included bounties for the scalps of men, women and children. The second, issued by Nova Scotia Colonial Governor Edward Cornwallis, also included bounties for women and children. A third, issued in 1756 by Governor Charles Lawrence, was for men only; however, it is not too far-fetched to state that many bounty hunters would have still believed that the all inclusive bounties for Mi’kmaq scalps were still in effect. I’ll use the Mi’kmaq experience of life under Caucasian rule to demonstrate how American Indians suffered from neglect and declined in numbers because of it. On June 25, 1761, a Burying of the Hatchet Ceremony was held at the Governor’s farm in Halifax; the British representative was Governor Jonathan Belcher; the Mi’kmaq were represented by several Chiefs. As the Ceremony progressed, several Peace and Friendship treaties were signed between the parties. It did not spell relief and prosperity for the Mi’kmaq. From this point to the late 1940s they lived in a state of near starvation – malnutrition was rampant. The following are a few examples of the extent of the suffering of the People under British rule, which are quoted from reports that widely respected Caucasian Indian Superintendents submitted to Colonial Governments. In 1774, ‘a Bill to prevent the destruction of moose, beaver, and muskrat in the Indian hunting ground was introduced in the legislature, but was defeated’. The majority of legislators did not want to provide the Mi’kmaq with even this small measure of comfort. However, White settlers in many instances did supply some relief to the destitute and starving People. While they did so the government disregarded petitions and reports coming in from across Paul,  ‘Hidden  History  of  the  Americas’.     176       the province depicting the horrifying state of affairs that existed. Even reports of people living in wigwams completely naked and without sustenance in winter brought no relief. George Monk, Superintendent of Indian Affairs at the time, had forwarded many petitions from settlers that begged the government to help the Mi’kmaq. The government responded by providing only minimal rations from a budget of £100 per year. One settler described in a petition of January 1794 just how desperate the situation was: A great many Micmac have died for want of victual [...] notwithstanding the little they get from the Superintendent [...] if they have not some more general relief they and their wives and children must in a few years all perish with cold and hunger in their own country. Joseph Howe, who was Indian Superintendent in 1843, said of the Mi’kmaq plight in a report he made to the Nova Scotia colonial government: At this rate [of population decline] the whole Race would be extinct in 40 years, and half a Century hence the very existence of the Tribe would be as a dream and a tradition to our Grandchildren, who would find it difficult to imagine the features or dwelling of a Micmac, as we do to realize those of an Ancient Breton. [...] Assuming the statistics of 1838 as a basis of a calculation, and deducting 10 percent, your Lordship will perceive that there must be at least 1,300 Souls still in this Province, appealing to the sympathies of every honourable mind by the contrast of their misfortunes with our prosperity, their fading numbers with our numerical advancement, their ignorance and destitution with the wealth and civilization which surrounds and presses upon them from every side. Paul,  ‘Hidden  History  of  the  Americas’.     177       The Superintendent of Indian Affairs in 1848, Abraham Gesner, was condemnatory of the meagreness of government assistance offered to the Mi’kmaq in the reports he sent to the British colonial government about the population decline of the Mi’kmaq. Gesner was a medical doctor and a fellow of the Geological Society, a scientist, inventor and author. His most famous output was the development of kerosene, which laid the foundation for our modern petrochemical industry. The following are excerpts from his reports: Unless the progress of their annihilation is soon arrested, the time is close at hand, when [...] the last of their race, to use their own idea, ‘will sleep with the bones of their fathers’. Unless the vices and diseases of civilization are speedily arrested, the Indians [...] will soon be as the Red Men of Newfoundland, or other Tribes of the West, whose existence is forever blotted out from the face of the Earth. It might be supposed that after their wars [...] and encounters with the whites had terminated, the Aborigines would multiply, yet experience has proved exactly the reverse. [...] Exposed to the inclemency of the weather, and destitute of the proper diet and treatment required for contagious diseases, numbers are swept off annually by complaint unknown to them in their state. [...] From the clearing and occupation of the forests, the wild domain of the moose and caribou has been narrowed. Being hunted by the dogs of the back settlers, these animals have become scarce - thus the Indian has been deprived of his principal subsistence, as well as the warm furs that in olden times lined his wigwam. Indigenous roots once highly prized for food have been destroyed by domestic animals. [...] These united causes have operated fearfully, and have reduced the whole tribe to the extreme of misery and wretchedness. Paul,  ‘Hidden  History  of  the  Americas’.     178       Almost the whole Micmac population are now vagrants, who wander from place to place, and door to door, seeking alms. The aged and infirm are supplied with written briefs upon which they place much reliance. They are clad in filthy rags. Necessity often compels them to consume putrid and unwholesome food. The offal of the slaughter-house is their portion. Their camps or wigwams are seldom comfortable, and in winter, at places where they are not permitted to cut wood, they suffer from the cold. The sufferings of the sick and infirm surpass description, and from the lack of a humble degree of accommodation, almost every case of disease proves fatal. During my inquiries into the actual state of these people in June last, I found four orphan children who were unable to rise for the want of food – whole families were subsisting upon wild roots and eels, and the withered features of others told too plainly to be misunderstood that they had nearly approached starvation. The Mi’kmaq population of Nova Scotia remained almost stationary, approximately 1400, until the Canadian government started providing more nutritious diets and better medical care in the mid- 1940s. As a result, the population in 2011 is around 15,000. *  *  *   But if survival is assured, ongoing invisibility remains a problem. Dalhousie University Professor Susan Sherwin concisely identifies the type of racism that American Indians are contending with in modern times: ‘the greatest danger of oppression lies where bias is so pervasive as to be invisible’. Her short concise statement is by far the best I’ve ever read on the subject. In a nutshell, the pervasive invisible bias that still victimizes American Indians with the unwarranted designation ‘savage heritage’, a designation originating from the demonizing propaganda Paul,  ‘Hidden  History  of  the  Americas’.     179       of European colonial times, has been so deeply imbedded in the subconscious of succeeding generations of Caucasians that it is almost impossible to get Caucasian society to recognise and accept that the systemic racism which victimises First Nations Peoples today actually exists. In plain English, the unwarranted, racist ‘savage’ designation that we suffer from, because of its centuries-old passage from generation to generation, is subconsciously considered by many as the true depiction of American Indians. The before-mentioned assertion of Caucasian denial of American Indian civility, and of Caucasians having little awareness of American Indian history, is a fact highlighted by the following examples of American Indian invisibility – incidents which occurred in Nova Scotia while I was Executive Director of the Confederacy of Mainland Mi’kmaq. However, it should be kept in mind that if one were to transcribe all similar types of incidents that have occurred over the ages in and around the Americas, it would take volumes to do it. Signs stating ‘Annapolis Royal: Established 1605, Canada’s Oldest settlement’ were placed at exits from a newly constructed by- pass express highway of the village of Annapolis Royal. The message did not recognize this fact: Canada had First Nation settlements for uncountable centuries before Europeans began to establish their settlements after 1492. After hearing about it, and viewing it, I contacted the mayor of the Town of Annapolis Royal, the Warden of Annapolis County, and the Department of Transportation, and voiced my outrage. To their credit, after they were reminded about First Nation existence, the Mayor and Warden were shocked that they had supported the wording of the sign, and that they had not even briefly considered the existence of American Indian civilisations. Within a few days of my intervention the signs were removed, and I was invited to a joint meeting of the councils, where both formally apologised for the racist oversight. The sign now reads: ‘Annapolis Royal: Established 1605, Stroll Through the Centuries’. Signs on highway 102 stated: ‘Bedford: A Stopping Place Since 1503’, which ignored the fact that the Mi’kmaq had been using the Bedford location as a stopping place for tens of centuries before Europeans did. The sign wording was recommended for adoption by the Town Council of Bedford by author Elsie Tolson. To find out why Paul,  ‘Hidden  History  of  the  Americas’.     180       Elsie had not acknowledged Mi’kmaq usage when she coined the phrase, I met with her, and pointed out the erroneous message that it portrayed. She was appalled by the fact that she had not taken into consideration the existence of our ancestors. With her cooperation, and the progressive attitude of Bedford’s Town Council, the sign now reads, ‘Bedford: A Traditional Stopping Place’. In the 1990s I attended a businesspersons’ meeting at the Holiday Inn in Dartmouth. The keynote speaker was an internationally respected CEO from the United States. He started off his presentation with a statement that came across something like this: ‘When our ancestors first arrived in the Americas they found two vast and vacant Continents, loaded with immeasurable wealth for the taking’. Taking exception to the insulting erroneous statement, I immediately rose to my feet and pointed out the error of his ways. He responded by turning red, apologising profusely for his systemic racist statement, and later he correctly placed the blame for his ignorance where it so rightly belongs: the White Supremacist education systems of the Americas, which all but ignore the existence of the robust civilizations that prospered and flourished in the Americas prior to the European invasion. To have Eurocentric education systems still in place in the Americas in 2011, which by and large ignore the real history of American Indians, is the result of wilful ignorance! I state this because teaching the truth of what transpired during colonial times would not bode well for the reputations of the European colonials, who brutally dispossessed the original inhabitants of the two continents of their properties and civilisations, and in many cases, their very existence. It should be noted that the destruction was universally successful: of the hundreds of robust civilisations that existed in the Americas in 1492, not one survives intact today. In 1993 I wrote the first of three editions of a book entitled We Were Not the Savages. The latest edition was published in 2006. The title, which I used with slight variations for the three editions, poses a question that someday has to be truthfully answered by Caucasians, which is: If not the American Indians, who then were the savages? I think the truthful answer is very unspeakable and painful for a great many Caucasians to contemplate and acknowledge. Paul,  ‘Hidden  History  of  the  Americas’.     181       The continued degrading of American Indian civility that ensues from not teaching the history of the Americas and from journeying on with the Eurocentric lies that have passed to-date for history, is unacceptable in societies that proclaim themselves democratic and just. Such an indefensible course only reinforces the systemic racism that was created by colonial propaganda, which will continue to victimise the victims into eternity if not refuted and discarded. If you wish to test the veracity of what I’ve relayed, I suggest that you journey down Barrington Street to the site where Governor Edward Cornwallis’s statue is located in Cornwallis Park, across from the Westin Hotel, and contemplate and honestly answer the following question (for those from other areas of the Americas: do the same with statues of such barbarians as Columbus, Cortez, Colonel John Chivington, General George Armstrong Custer, et al.). If the victims of the Governor’s self-admitted attempt to exterminate their race had been from a White race, and not American Indians, would the statue erected in his honour be there? I believe that Caucasians of good conscience would come up with the same answer that I did when I pondered this question several decades ago: it would not be there! In my opinion, no nation that self-describes itself as civilised can honour such a man. Honouring him, in view of what he tried to do to the Mi’kmaq, signifies that racism is alive and well in Nova Scotia. And the same can be said for jurisdictions across the Americas that honour colonial barbarians. BIOGRAPHICAL  NOTE   Mi’kmaq Elder Dr. Daniel N. Paul, C.M., O.N.S., is a passionate advocate for social justice and the eradication of racial discrimination. He is an outspoken champion for First Nations Peoples and all other disadvantaged members of society. He has widely publicised the proud heritage and history of the Mi'kmaq Nation. 
work_pgkcfhzk2jhd5hxuc6e6gowfii	----	Whistle-blowing and morality Whistle-blowing and morality Mathieu Bouville (m-bouville@imre.a-star.edu.sg) Institute of Materials Research and Engineering, Singapore 117602 Institute of High Performance Computing, Singapore 117528 Abstract. Whistle-blowing is generally considered from the viewpoint of pro- fessional morality. Morality rejects the idea of choice and the interests of the pro- fessional as immoral. Yet the dreadful retaliations against the messengers of the truth make it necessary for morality to leave a way out of whistle-blowing. This is why it forges rights (sometimes called duties) to trump the duty to the public prescribed by professional codes. This serves to hide the obvious fact that whether to blow the whistle is indeed a choice, not a matter of objective duty. One should also notice that if it fails to achieve anything then blowing the whistle was the wrong decision (or maybe the right decision that nobody would want to make). There is nevertheless a tendency to judge it based on the motivation of the whistle blower. In a way, whistle blowers should strive to act like saints. Yet, it is logically impossible to hold both whistleblowing as mandatory and whistleblowers as heroes or saints. Moreover, this tends to value the great deeds of a few over the lives of the many, which is incompatible with the basic assumptions of morality. But consistency is not a main feature of professional morality. Keywords: business ethics; code of ethics; duty; engineering ethics; moral luck; moral obligation Article published by the Journal of Business Ethics doi: 10.1007/s10551-007-9529-72 http://www.springerlink.com/content/w2t5252050044180/ 1. Introduction Whistle-blowing is the act, for an employee (or former employee), of disclosing what he believes to be unethical or illegal behavior to higher management (internal whistle-blowing) or to an external authority or the public (external whistle-blowing). Its status is debated: as Roth- schild and Miethe (1999) note, “some see [whistle blowers] as traitorous violators of organizational loyalty norms; others see them as heroic de- fenders of values considered to be more important than company loyalty (e.g., the public health, truth-in-advertising, environmental respect).” Since “those who raise ethical issues are treated as disturbed or morally suspect” (Alford, 2007), Near and Miceli (1996) ask “are whistle blow- ers really crackpots?”. On the other hand, to Rothschild and Miethe (1999), whistle-blowing is a “new form of worker resistance” relevant c© 2007 Kluwer Academic Publishers. Printed in the Netherlands. 2 Mathieu Bouville to the “unending battle between labor and management to control the workplace.” Grant (2002) calls whistle blowers “saints of secular culture.” Edward Morgan Forster famously said “If I had to choose between betraying my country and betraying my friend, I hope I should have the guts to betray my country”; it seems that whistle-blowing is the choice between betraying one’s company and one’s humanity. In order to study whistle-blowing from an ethics viewpoint, one obviously needs to know what is meant by ‘ethics.’ Some treat ‘ethics’ and ‘morality’ as synonymous. Others consider morality as a special form of ethics: the word ‘morality’ has by now taken on a more distinctive content, and I am going to suggest that morality should be understood as a particular development of the ethical, one that has a special signif- icance in modern Western culture. It peculiarly emphasizes certain ethical notions rather than others, developing in particular a certain notion of obligation, and it has some peculiar presuppositions. In view of these features it is also, I believe, something we should treat with a special skepticism. (Williams, 1985, p. 6) Whereas “ethical life itself is important, but it can see that things other than itself are important” (Williams, 1985, p. 184), morality tends to claim control over everything. To Nietzsche (1888), “morality is the best of all devices for leading mankind by the nose.” I shall follow Williams in using ‘ethics’ broadly and ‘morality’ narrowly and I shall ask, taking whistle-blowing as an example, to what extent professional ethics is in fact professional morality. 2. Whistle-blowing and codes of morality In the case of engineering, authors typically mention that the first canon of the code of the National Society of Professional Engineering (duty to the public) should trump the fourth canon (duty to the employer): “the health, safety, and welfare of the public are to be placed first” (Harris et al., 2005, p. 183). (I shall take it for granted that human lives are indeed more important than obedience — especially to people who feel otherwise.) Consequently, whistle-blowing is mandatory: “it is permissible to whistleblow when the following conditions have been met. Under these conditions there is also an obligation to whistleblow” (Martin and Schinzinger, 2005, p. 174). Whistle-blowing and morality 3 2.1. A dreadful obligation Alford (2007) notes that “theirs is an act of considerable consequence, especially when one considers that among fired whistle blowers, most will lose their homes and ultimately, their marriages”; Rothschild and Miethe (1999) indeed found that over half the whistle blowers they in- terviewed had family problems. That Gunsalus (1998) wrote an article entitled “How to blow the whistle and still have a career afterwards” is significant. Rothschild and Miethe found that two thirds of whistle blowers “lost their job or were forced to retire” and “were blacklisted from getting another job in their field.” Consequently, two thirds of them also had severe financial problems. They also found that 84% suffered from “severe depression or anxiety” and over two thirds of them also had “declining physical health.” A whistle blower mentioned by Oliver (2003) “estimates that his legal costs have exceeded $130,000.” Alford (2007) sees suffering as an essential part of whistle-blowing: “the whistle blower is defined by the retaliation he or she receives. No retaliation, and the whistle blower is just a responsible employee doing her job to protect the company’s interest.” If “often the protest is most effective if one has already resigned from the organization” (Harris et al., 2005, p. 206) then one can only choose between a total self-sacrifice and a partial and pointless self-sacrifice. How can one make any of this mandatory?1 2.2. Duality of engineering ethics Engineering ethics classes and textbooks are based on case studies asking ‘what should an engineer do in this situation?’. Since “techno- logical, scientific, humanistic, and social issues are all mixed together” (Williams, 2003), the answer typically mixes the ethical and the non- ethical: engineering ethics is then the finding of a creative solution incorporating concerns of many kinds. On the other hand, codes of conduct are morality — “many of the standard provisions of engineering codes are simply specific ap- plications of common morality to the engineering profession” (Harris et al., 2005, p. 52). Codes are obligations, duties. They require a very sharp distinction between the ethical and the non-ethical. There are two separate questions: ‘what should a professional do, from an ethical point of view?’ (i.e. ‘what are his duties?’) and ‘what should a profes- sional do, from a non-ethical point of view?’ (e.g. technical concerns). The first question is supposed to trump the second. The whole issue of whistle-blowing is then framed in terms of obligations (or absence thereof). 4 Mathieu Bouville 2.3. Morality and the self The following three statements are obviously true, but their relative importance is debated. (1) I exist. (2) Others exist. (3) I am not someone else. Morality stresses 2 (e.g. duty to the population) and undermines 1 and 3 as much as possible. For instance, Harris et al. (2005) take self-interest as one of the “impediments to responsible action” (p. 37). Rejection of 3 is obvious in the universalization at the core of Kant’s categorical imperative and in the utilitarian view that my welfare is on a par with that of others. As writes Rawls (1971), “utilitarianism does not take seriously the distinction between persons” (p. 24). In other words, the fact that it is me and not someone else we are talking about should not be brought into the picture (or rather should be taken out of the picture): “there is a tendency to associate professionalism with setting aside personal values in order to be objective and to meet shared standards of the profession” (Martin, 2002). Codes embody this view: they pile up duties for professionals with- out acknowledging that professionals are individuals, rather than mere vectors for duty. It is then clear that the question of whistle-blowing is just a matter of comparing duty toward the public to duty toward the employer. But this view relies on a bias in favor of alienation: it assumes that I do not exist, that I do not count, or that I am someone else. So the employee must account for the interests of the public and of the company only — thinking of oneself is selfish, i.e. wrong. “In any deliberative contest between a moral obligation and some other consideration, the moral obligation will always win out, according to the morality system.” (Chappell, 2006). For instance, Fleddermann (1999) never mentions possible harm to the employee: to him whistle-blowing is determined wholly on external criteria. Likewise, to DeGeorge (2005) the difference between possible and mandatory whistle-blowing is independent of the employee. The whistle blower is part of the implementation, not part of the decision.2 As Martin (2000) points out, “final judgments about obligations to whistleblow must be made contextually, not as a matter of general rule. And they must take into account the burdens imposed on whistleblowers an their families.” One may decide to reject codes of morality so that whistle-blowing is optional. But this is difficult since, even though a code is just a con- sensual opinion not the repository of objective truths (Bouville, 2007), “the fact that a given agent would prefer not to be in [the morality] Whistle-blowing and morality 5 system or bound by its rules will not excuse him” (Williams, 1985, p. 177). Alternatively, one may abide by the “mandatory requirements expressed in codes of ethics” (Martin, 2002) and make whistle-blowing a moral obligation. A third option is to change the meaning of ‘obligation’ so that whistle-blowing is a moral obligation without being obligatory. We will now examine this paradoxical view. 3. Freedom by means of obligation 3.1. Armchair heroes “Blame is the characteristic reaction of the morality system” (Williams, 1985, p. 177). But if one wishes to blame as immoral an employee who remained silent instead of alerting the public on a potential danger one must first make sure that one would have acted differently. (It is always easier to be a hero in an armchair than on the battle-field.) Of course, this may be difficult, even if it is attempted in good faith. Let us try to simulate whistle-blowing in order to have some idea of the kind of heroes we are. Sell your house, your cars, and all your other belongings; then send the money to starving Africans. You will thus lose everything and save more lives than any whistle blower ever saved. Everyone can do this (there is no need to be in a special place at a special time as in the case of whistle-blowing), yet nobody actually does this. I do not and neither do you. We must then acknowledge that if we have to choose between our little problems and the lives of others, we choose ourselves. Claiming that those who can save lives have an obligation to do so, even at a great personal cost, is a lie: it is setting for others a rule that we do not follow ourselves. 3.2. Duty manufacturing But wait, my case is different: I have a reason not to do any of this, I have overriding duties. “The obligation [to whistleblow] is prima facie and in some situations can be overridden by other moral con- siderations” (Martin and Schinzinger, 2005, p. 174). In other words, whistle-blowing is always mandatory except when it is not. Thanks to this concept of non-obligatory obligation, one can say that there is a moral obligation without acting upon it — all the moral superior- ity, none of the adverse consequences. In order to make the whistle- blowing obligation optional, one must first generate such overriding moral considerations. 6 Mathieu Bouville One cannot say ‘I do not want to sacrifice my career’ to cancel the moral obligation of whistle-blowing: “obligations have a moral strin- gency, which means that breaking them attracts blame. The only thing that can be counted on to cancel this, within the economy of morality, is that the rival action should represent another and more stringent obligation” (Williams, 1985, p. 180). For instance, one may say that “personal obligations to family, as well as rights to pursue one’s ca- reer, militate against whistleblowing” (Martin and Schinzinger, 2005, p. 175). In other words, instead of saying ‘I do not want to sacrifice my career’ one says ‘I have a duty (e.g. to my family) not to sacrifice my career.’3 Paradoxically, one’s freedom comes from limiting one’s freedom. This is plainly bad faith: this trick aims at making my personal inter- ests look like a duty. Somehow this highly contrived and intellectually dishonest procedure seems more acceptable than saying ‘I do not want to sacrifice my career.’ As Williams (1985) points out, “it is a mistake of morality to try to make everything into obligations” (p. 180). To Martin and Schinzinger (2005), whistle-blowing is mandatory but “may become supererogatory—more than one’s basic moral obliga- tions” if the consequences would be too harsh (p. 175). This concept of ‘mandatory but supererogatory’ is —from a logical viewpoint— worse that ‘separate but equal’ (and of no use to someone looking for guidance in good faith). 3.3. The whistle-blower is condemned to be free While this is actually a decision (I decide to invoke this or that ‘duty’ and I decide that it trumps my duty to the population), it is presented as an objective external duty, which I cannot override. If I acknowledged that this is really a decision of mine I could not hide under the sheets and pretend that I am obeying some external rule: I would have to make a decision explicitly, and as a corollary I would have to accept the consequences: “man is condemned to be free; because once thrown into the world, he is responsible for everything he does” (Sartre, 1943). Morality is the business of forging rights (to a career) and duties (to one’s family), concealing (from oneself?)4 that one is actually making decisions. Authors tend to look for ways to avoid whistle-blowing, i.e. for policies that would make it unnecessary. This is both necessary and pointless. Necessary because whistle-blowing is not a satisfactory solu- tion. Pointless because when one faces a choice, ‘it would be better if I did not have to make such a choice’ is no answer. Likewise, discussions of whistle-blowing often focus on a whole procedure, of which whistle- Whistle-blowing and morality 7 blowing is only the last step, e.g. Harris et al. (2005), Martin and Schinzinger (2005). But this bureaucratic approach does little to help one make a choice. If everything else fails, the question of whether to speak up (i.e. the need to make a decision) remains, untouched by the whole process. 3.4. Morality abhors a vacuum One may retort that the concept of prima facie duty (i.e. a duty that can be overridden at will) may have weaknesses but is nevertheless better than no concept at all, i.e. better than saying that this is a pure decision for which one cannot rely on any rule. Imagine that an unknown disease kills a large fraction of the pop- ulation of a village untouched by civilization (be it deep in Amazonia or in medieval Europe). Some may make up an explanation for the epidemic (e.g. divine wrath) while others will acknowledge that they do not know. Should one back the liars and the deluded or should one side with the ones who can actually solve the problem? (Indeed, a necessary condition for finding the solution is awareness that one does not already have it.) While this by no means shows that the absence of answer is intrinsically superior, it brings back to the fore the actual criterion: truth. An answer is better than none only if it is true, otherwise it is a source of potentially damaging delusion. And in fact optional obligations do not concretely answer the ques- tion either: as I already pointed out, they allow one to decide whether to invoke overriding duties. Facultative obligations only provide a hollow and cumbersome framework to hide under the sheets. This does not actually fills the vacuum, it just hides it. 4. When is whistle-blowing worthy? 4.1. Moral luck Overall, it became increasingly clear through the interviews that whistle blowers are in the ultimate no-win situation. By speaking out they face the wrath of managers for being a squealer, but inac- tion makes them potentially culpable and/or easy scapegoats when and if the misconduct is discovered. In this sense, many whistle blowers can be characterized as reluctant dissenters, moved neither by altruistic nor selfish concerns, but rather by a tide of events over which they feel they have little control. (Rothschild and Miethe, 1999) 8 Mathieu Bouville What is the difference between someone who knew of wrongdoing and said nothing and someone who did not know of the wrongdoing but who would not have said anything either had he known? The difference is circumstances: one had to make a decision and the other did not have to. Had the circumstances been identical, they would have acted identically. But the circumstances are independent of them, so that praise and blame depend partly on chance (Nagel, 1979; Williams, 1981). The collapse of the Quebec Bridge in 1907 was due to the “selection of a design concept beyond the technically proven range” (Roddis, 1993). The only reason why the engineer can be blamed for this dar- ing design is that it failed. Christopher Columbus sailing towards the possibility of a continent was far more foolhardy. “The only thing that will justify his choice is success itself” (Williams, 1981, p. 23). The difference between Columbus and the civil engineer is that the latter failed. Blame and praise depend in part on the consequences of our decisions, even though we have no control over them. 4.2. The right decision that nobody wants to make If a whistle blower succeeds both in having the release of a potentially dangerous product postponed and in keeping his job, then he did make the right decision. Even if the product is released anyway and he loses his job, some will still say that he made the right decision. One of them is Kant (1785), who famously wrote Even if, by a special disfavor of fortune or by the niggardly provi- sion of a step motherly nature, this [good] will should wholly lack the capacity to carry out its purpose [ . . . ] then, like a jewel, it would still shine by itself, as something that has its full worth in itself. (4:394) But nobody would want to make this kind of right decision. Every- body would want to be a hero but nobody wants to be a martyr.5 When someone successfully prevents a catastrophe, we may call him a hero and envy him (even be resentful: ‘he did not do much to deserve this, I would have done just the same.’) On the other hand, we do not envy an employee who lost his job for blowing the whistle on a product that turned out to be perfectly safe. Instead, we pity him. Pity is paradoxical because it requires that the employee did something right (otherwise we would blame not pity) and that we do not want to be in such a situation, otherwise we would envy not pity. Even if in theory one might consider that the unlucky whistle blower made the right decision, in practice one would not want to make this kind of right decision. Whistle-blowing and morality 9 4.3. Immaculate whistle-blowing When one takes motives to be more important than outcomes, one concludes that what is important is not the public but purity of heart: “whistle-blowing is an activity that should only be entered into with pure motives” (Oliver, 2003), “it is acceptable to blow the whistle to protect the public interest, but not to exact revenge upon fellow employees, supervisors, or your company” (Fleddermann, 1999, p. 90). But if someone saves my life out of revenge or greed, should I not say ‘thank you’ rather than ‘this was wrong, never do it again’ ? While one may argue that saving my life for the ‘right’ reasons is better than saving my life for ‘wrong’ reasons, it is quite obvious that saving me is better than not doing so. Making the right decision for the wrong reasons is still making the right decision (Carson et al. (2007) argue similarly). As Mandeville (1997) pointed out, greed and other flaws of character may give better results than virtue. What to think of someone who reflects ‘what I am about to do is wrong because I would save lives for the wrong reasons’ and decides not to act? Should such a twisted morality be praised? Rewards are such an issue. For example, to Grant (2002), “any indication that reward was anticipated, or in any way entered into the decision to blow the whistle, compromises the ethical quality of the act itself” so that these would not be “genuine instances” of whistle- blowing. Can one reject the idea of rewards, even if they increase the probability that lives will be saved (by motivating potential whistle blowers)? This kind of morality has the peculiar consequence of favoring the great deeds of a few over the lives of the many. At what exact point did the proponents of morality turn Nietzschean? 4.4. Issues with heroism The purity of their motives and the hazards they faced lead to the construal of whistle blowers as heroes or as “saints of secular cul- ture” (Grant, 2002). (Would they qualify as Übermenschen?) To Alford (2007), “ ‘The little man who stood up against the big corporation and won’ is a type of folk hero.” But one cannot be a hero just by doing one’s duty: if whistle-blowing is a moral obligation then whistle blowers cannot be heroes. The source of this error is easy to track: in order to incite people to report unethical activities —e.g. Near (1989) wrote an article entitled “Whistle-blowing: Encourage it!”—, one makes whistle blowers heroes and whistle-blowing a moral obligation. These two tactics are logically incompatible: since a hero necessarily goes beyond the call of duty, when one extends moral obligation nearly to 10 Mathieu Bouville infinity if is impossible to do more than what one has to do. Morality leaves no place for praise, only blame can exist when duties are infinite. On the other hand, if whistle-blowing is “supererogatory” (Bowie and Duska, 1990; Martin, 2002) or “represents an extreme that defies the reasonable expectation of the most prominent versions of ethics” (Grant, 2002), there is room for “saints.” Yet, Grant seems to value this adversity because it creates “saints of secular culture,” thereby making this culture less secular. This view is similar to the common reply to the so-called problem of evil where the existence of evil is deemed good because it leads to certain goods (e.g. there can be no forgiveness without a prior misdeed): losing one’s job, career, house, family, etc. is good because there can be no saint without it. Naturally, there is no need to value evil to consider whistle blowers as praiseworthy, one needs only recognize a limit to obligations. Yet, the bigger the risk, the rarer the whistle blower, and thus the more praiseworthy. 5. Conclusion Professional ethics is in fact professional morality. In particular, it leaves no room for choice or the interests of the professional. Yet the dreadful retaliations against the messengers of the truth make it neces- sary to bring the needs of the whistle blower back into the picture. To conciliate the necessary public acknowledgment that whistle-blowing is a moral obligation and the deeper interests of the professional, morality forges rights (which it calls duties) that trump the obligations pre- scribed by codes (e.g. to the public). Morality tries to thereby hide the obvious fact that the choice of speaking up or remaining silent is indeed a choice, not something decided externally: if the employee somehow has a duty not to blow the whistle then he cannot be blamed. Yet, accounting for the interests of the individual directly and calling a decision a decision would be more honest than manufacturing ad hoc rights and duties. One should also notice that whether whistle-blowing is the right decision depends to a great extent on its outcome: if it fails to achieve anything then blowing the whistle was the wrong decision (some would maintain that is was the right decision but it is far from clear that they would want to make such a right decision themselves). Yet there is a tendency to judge it based on the motivation of the whistle blower — saving lives is wrong if one’s heart in not pure. Whistle-blowing is then seen as essentially self-sacrifice. In a way, whistle blowers should strive to act like saints. Yet, being a hero or a saint requires to do more than one’s duty, which is impossible if whistle-blowing is mandatory: hero- Whistle-blowing and morality 11 ism and moral obligation are logically incompatible. Moreover, there cannot be saints who act out of impure motives, so that rewarding whistle-blowing would taint motives and bring the saints down from their pedestals. But this means that the great deeds of a few are more valuable than the lives of the many (who may be saved by more wide-spread whistle-blowing) — Nietzschean morality. In the context of morality, what is deemed right or wrong depends on how the question is framed. For instance it depends on whether we are talking about me or someone else: I am more likely to invoke duty to my family than to grant others such a right. One can also praise deeds as moral but be unwilling to perform them oneself. There is a tendency to construe whistle-blowing as mandatory and whistle blowers as heroes, even though these are logically incompatible. And the rejection of rewards as tainting motives is incompatible with the basic assumptions of morality. Consistency is not a main feature of professional morality. c© Mathieu Bouville, 2007 Notes 1 Codes that make whistle-blowing mandatory are like generals that send soldiers get killed: the one giving the order does not suffer any adverse consequences. Telling others to sacrifice themselves is no sacrifice. 2 One can notice that, put in Kantian terms, this signifies that whistle blowers are a means not an end. 3 One should notice that from a utilitarian viewpoint my family and my career will automatically be taken into account. On the other hand, they cannot trump the wel- fare of the public, so that whistle-blowing is mandatory (whatever the consequences for me) if the danger is great enough. 4 Nietzsche pointed out that “the most common lie is that which one lies to himself; lying to others is relatively an exception.” 5 This does nevertheless have advantages: as Schopenhauer noted, “martyrdom is the only way a man can become famous without ability.” Of course, Schopenhauer could not know of reality TV. References Alford, C. F.: 2007, ‘Whistle-blower narratives: The experience of choiceless choice’. Social Research 74, 223–248. Bouville, M.: 2007, ‘Codes of ethics and duties towards the population: Two kinds of professions’. submitted to the Journal of Business Ethics (e-print: http: //mathieu.bouville.name/education-ethics/Bouville-code-ethics.pdf). Bowie, N. E. and R. F. Duska: 1990, Business Ethics. Prentice Hall, Englewood Cliffs, NJ, second edition. 12 Mathieu Bouville Carson, T. L., M. E. Verdu, and R. E. Wokutch: 2007, ‘Whistle-blowing for profit: An ethical analysis of the federal false claims act’. Journal of Business Ethics. In press, DOI: 10.1007/s10551-007-9355-y. Chappell, T.: 2006, ‘Bernard Williams’. In: E. N. Zalta (ed.): Stanford Ency- clopedia of Philosophy. Available at http://plato.stanford.edu/entries/ williams-bernard/. DeGeorge, R. T.: 2005, Business Ethics. Englewood Cliffs, NJ: Prentice Hall, sixth edition. Fleddermann, C.: 1999, Engineering Ethics. Englewood Cliffs, NJ: Prentice Hall. Grant, C.: 2002, ‘Whistle blowers: Saints of secular culture’. Journal of Business Ethics 39, 391–399. Gunsalus, C. K.: 1998, ‘How to blow the whistle and still have a career afterwards’. Science and Engineering Ethics 4, 51–64. Harris, C. E., M. S. Pritchard, and M. J. Rabins: 2005, Engineering Ethics: Concepts and Cases. Belmont, CA: Wadsworth, third edition. Kant, I.: 1785, The Groundwork of the Metaphysics of Morals. Mandeville, B.: 1714/1997, The Fable of the Bees: or, Private Vices, Publick Benefits. Hackett. Martin, M. W.: 2000, Meaningful Work. Oxford: Oxford University Press. Martin, M. W.: 2002, ‘Personal meaning and ethics in engineering’. Science and Engineering Ethics 8, 545–560. Martin, M. W. and R. Schinzinger: 2005, Ethics in Engineering. New York: McGraw- Hill, fourth edition. Nagel, T.: 1979, Mortal Questions. Cambridge University Press. Near, J. P.: 1989, ‘Whistle-blowing: Encourage it!’. Business Horizons 32, 2–6. Near, J. P. and M. P. Miceli: 1996, ‘Whistle-blowing: Myth and reality’. Journal of Management 22, 507–526. Nietzsche, F.: 1888, The Antichrist. Oliver, D.: 2003, ‘Whistle-blowing engineer’. Journal of Professional Issues in Engineering Education and Practice 129, 246–256. Rawls, J.: 1971, A Theory of Justice. Cambridge, MA: Belknap. Roddis, W. M. K.: 1993, ‘Structural failures and engineering ethics’. Journal of Structural Engineering 119, 1539–1555. Rothschild, J. and T. D. Miethe: 1999, ‘Whistle-blower disclosures and management retaliation’. Work and Occupations 26, 107–128. Sartre, J.-P.: 1943, Being and Nothingness. Williams, B.: 1981, Moral Luck. Cambridge: Cambridge University Press. Williams, B.: 1985, Ethics and the Limits of Philosophy. London: Routledge. Williams, R.: 2003, ‘Education for the profession formerly known as engineering’. The Chronicle of Higher Education 49(20), B12–B13. 
work_phahn5lg2vcg7hohmrf7u6c3si	----	dec04_researchers.qxp RESEARCH/RESEARCHERS MRS BULLETIN/DECEMBER 2004 913 ences between electrodes made from cop- per and those made from tin. The branches of the tin deposits are longer and straighter than those of copper. The copper foams also contain nanometer- sized grains and pores not seen in the tin structures. Liu said the differences may be related to the fact that during deposi- tion of the copper electrodes, gas bubbles are produced from both the deposited copper and the substrate. In the tin elec- trodes, only the substrate produces bub- bles. The researchers will publish their work in an upcoming issue of Advanced Functional Materials. tor of the Indira Gandhi Centre for Atomic Research (IGCAR), Kalpakkam, India, beginning his tenure in May. Matthew Tirrell, Dean of the College of Engineering at the University of Cali- fornia, Santa Barbara, has been appointed as a Venture Partner at NGEN Partners LLC (Santa Barbara, Calif.), a venture capi- tal fund with a focus on the materials field. Chris G. Van de Walle has joined the Materials Department at the University of California, Santa Barbara as professor of computational materials. He will also be associated with the Materials Research Laboratory and the California Nano- Systems Institute. News of MRS Members/Materials Researchers S. Banerjee has been appointed direc- tor of the Bhabha Atomic Research Centre (BARC), Mumbai, India, begin- ning his tenure in April. Chad Mirkin, the George B. Rathmann Professor of Chemistry and Director of the Institute for Nanotechnology at North- western University, has been selected to receive the National Institutes of Health (NIH) Director’s Pioneer Award in recog- nition of his efforts in pioneering the devel- opment of nanoscale chemical and biologi- cal sensors. Mirkin is also the founder of Nanosphere, Inc. in Northbrook, Ill. and NanoInk, Inc. in Chicago, Ill. Baldev Raj has been appointed direc- Jennifer West, the Isabel C. Cameron Professor of Bioengineering and profes- sor of chemical engineering at Rice University, has been selected to receive the 2004 Annunzio Award from the Christopher Columbus Fellowship Foundation in recognition of her work in biomaterials and tissue engineering. Wolfgang Windl of The Ohio State University and Gerd Duscher of North Carolina State University have been awarded the 2004 Nano Technology Industrial Impact Award from the Nano Science and Technology Institute for their discovery of atomically sharp “perfect” interfaces in Si:Ge/SiO2 devices. conductor manufacturing productivity in the current and future manufacturing facil- ities of its member companies. ISMI is a wholly-owned subsidiary of SEMATECH, Inc. (Austin, Texas). Matsushita joins AMD, Hewlett-Packard, IBM, Infineon, Intel, Freescale, Philips, Texas Instruments, and TSMC (www.panasonic.co.jp/global; www.ismi.sematech.org). NanoDynamics (Buffalo, N.Y.) has signed a joint venture agreement with the New Zealand-based technology company, Nano Cluster Devices Ltd. (NCD) to com- mercialize NCD’s technology process for self-assembly of nanowires in production of semiconductors and electronic compo- nents (www.nanodynamics.com; www. nanoclusterdevices.com). Nanoscale Science and Engineering Centers have been announced by the National Science Foundation for the fol- lowing universities: University of Cali- fornia—Berkeley, Center of Integrated Nanomechanical Systems ($11.9 million), director: Alex Zettl; Northeastern Univer- sity, Center for High Rate Nanomanu- facturing ($12.4 million), director: Ahmed Busnaina; Ohio State University, Center for Affordable Nanoengineering of Polymer Biomedical Devices ($12.9 million), direc- tor: L. James Lee; University of Penn- sylvania, Center on Molecular Function at the Nano/Bio Interface ($11.4 million), News of MRS Corporate Affiliates/Materials Institutions The Aachen University of Techno- logy, AIXTRON AG (Aachen, Ger- many), and Philips Lighting (Aachen- Rothe Erde, Germany) have signed a col- laboration agreement aimed at the joint development of novel large-area white organic light-emitting diodes (OLED) (www.rwth-aachen.de; www.aixtron.com; www.lighting.philips. com). The Ceramics and Composites Labor- atory has been launched within the Department of Engineering Materials at Sheffield University, United Kingdom, to develop new materials. The laboratory has been guaranteed funding of £6 mil- lion over the next five years from the Engineering and Physical Research Council (EPSRC) (www.shef.ac.uk/materials/ research/centres/ccl.html). The Institute for Lasers, Photonics and Biophotonics at the State University of New York at Buffalo has received a $925,000 grant from the John R. Oishei Foundation for research and develop- ment in nanomedicine and nanobiotech- nology (www.photonics.buffalo.edu). Matsushita Electric Industrial Co. Ltd. (Osaka, Japan) has joined the International SEMATECH Manufacturing Initiative (ISMI), becoming the newest member of the global consortium of leading semicon- ductor manufacturers engaged in coopera- tive precompetitive work to improve semi- director: Dawn Bonnell; Stanford Univer- sity, Center for Probing the Nanoscale ($7.5 million), director: Kathryn Moler; University of Wisconsin—Madison, Center for Templated Synthesis and Assembly at the Nanoscale ($13.4 million), director: Paul Nealey (www.nsf.gov). The Northwestern Institute on Com- plex Systems (NICO) was established at Northwestern University (Evanston, Ill.) to stimulate path-breaking research of com- plex systems across traditional boundaries. NICO comprises a distinguished and diverse group of faculty from all areas of the university, including engineering, busi- ness, natural sciences, education, medicine, law, and the social sciences. Mark A. Ratner, Morrison Professor of Chemistry at Northwestern, is the group leader of the NICO-affiliated center on materials self- assembly processes (www.northwestern. edu/research/nico). Correction In the article, “Novel Materials and Appli- cations of Electronic Noses and Tongues,” published in the October 2004 issue of MRS Bulletin, the publication listed as Reference 26 was incorrect. The correct reference is: N.A. Rakow and K.S. Suslick, “A Colori- metric Sensor Array for Odour Visuali- zation,” Nature 406 (2000) p. 710. FOR MORE RESEARCH NEWS ON MATERIALS SCIENCE . . . w w w. m r s . o r g / g a t e w a y / m a t l _ n e w s . h t m l www.mrs.org/publications/bulletin https://doi.org/10.1557/mrs2004.257 Downloaded from https://www.cambridge.org/core. 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work_phmzg4h2mfhr3fj6tmjr55t72y	----	19trophying human ‘otherness’ I. In the history of the European perception of human otherness there is a phenomenon, or perhaps it would be more appropriate to speak of a multifaceted category of phenomena, which can go under the description of ‘live human exhibitions’, ‘ethno-exhibitions’, ‘ethnic shows’ or simply ‘human zoos’. Over the last ten years this category has attracted a considerable quantity of research, albeit more from the standpoint of social history and of the history of collective representations or mentalités than from that of intellectual history, exploring its manifold manifestations, forms, meanings and persistence into the present day. The aim of this essay is to delineate a wider historical and scientific context within which to place – and hence also to redefine – this reality. While none of these descriptions adequately synthesizes all their features, these phenomena undoubtedly share one basic characteristic: they have represented in European societies and culture a particularly widespread form of viewing, dealing with and ‘spectacularizing’ the human ‘Other’. Specialized literature tends to consider them as a typical product of the age of mature colonialism and imperialism, starting from the central decades of the nineteenth century and persisting up to the eve of World Trophying human ‘otherness’. From Christopher Columbus to contemporary ethno-ecology (fifteenth-twenty first centuries) Guido Abbattista 20 War II1. Mainstream interpretation maintains that these phenomena played a fundamental role in the shift from ‘scientific’ to ‘popular’ racism – to use two highly controversial notions – reinforcing those racial stereotypes which contributed to the construction of national and racial identities in many European countries. I would argue that, even if this approach to nineteenth- and twentieth-century ‘live ethno-exhibitions’ does admit the existence of much older precedents, they can only be fully appreciated if they are viewed over a considerably longer period of time and against the background of a more varied series of historical phenomena. In other words, I advocate a deeper, retrograde historical enquiry. The lack of an adequate historical perspective surely makes it harder to understand the deepest motives and their relationship with a whole set of precursors – attitudes, impulses, performances, undertakings – which provided them with a behavioral pattern, a common language and a symbolic framework. Moreover, this approach can also reveal its utility in elucidating other phenomena that have taken place over the last few years, removing them from the realm of newspaper reporting and connecting them to a much more significant and compound narrative. By ‘live ethno-exhibitions’ I mean the practice of capturing or alluring human beings – individuals, but more usually small contingents or families – belonging to non European ethnic groups (typically but not exclusively aboriginals of Africa, the Americas or Australasia), transporting them to Europe and exhibiting them in public spectacles designed to parade human diversity, often accompanied by objects, practices and occasionally recreated ‘natural’ environments. These were in fact anthropological and ethnographic shows contrived to reproduce the thrill of the encounter with human otherness for Europeans who could not otherwise experience the natural world overseas. Their actual effect was to depersonalize the protagonists, reducing them, on the one hand, to mere components of the natural world, ‘types’ or ‘specimens’ of its infinite variety; and on the other, to ingredients, raw materials, merchandise of the transnational show business. In this form live ethno-exhibitions reached the peak of their commercial success and organizational refinement in the second half of the nineteenth century, when they were no doubt the product of interaction between capitalism, the rise of leisure and mass entertainment and the ideologies of imperial colonialism and racism. While such a description is entirely acceptable, it is surely not inappropriate to gain a better understanding of some of the possible historical backgrounds for these phenomena. Rather than seeking, as historians generally do, to identify the specificity of individual facts in particular historical moments, I shall try to highlight fundamental, structural recurrences in the long term. This will involve taking three specific approaches: first I go back to the beginning of European expansion overseas 1 The standard reference book is the international collection of essays Human Zoos: From the Hottentot Venus to Reality Shows, eds. Nicolas Bancel, Pascal Blanchard, Gilles Boetsch, Eric Deroo, Sandrine Lemaire, Charles Forsdick (Liverpool: Liverpool University Press, 2009, 1st French edition, Paris: La Découverte, 2002). 21trophying human ‘otherness’ and related anthropological and cultural encounters; then I go further back to ancient Rome; and thirdly I come up to the present, drawing on news reporting to lay bare the nature of some contemporary cases and the language of scandal and protest which they provoked. II. From the first Portuguese expeditions to the coast of Guinea, Spanish voyages to the Canary Islands and above all Columbus’s first ventures overseas, European encounters with human beings in the New World were regularly accompanied by acts of seizure in which the European newcomers sought to lay hands on, get physical possession of, capture and abduct members of the African and American peoples. This description may be considered as just a euphemism for the time-honored practice best known as enslavement. And certainly from the mid-fifteenth century onwards the prime motive for bringing home foreigners, ‘Moorish captives’ from Africa and later natives of America, was to exploit forced labor of male and female slaves2. However, undue focus on this aspect leads one to lose sight of other motives for the ‘abduction practices’ – an expression which can usefully distinguish a whole category of actions from ‘enslavement’ proper. With regard to slavery, it should be remembered in the first place that the Spanish carried out actual mass enslavement of native populations on American territory, while importing Indian slaves into Europe remained a relatively small-scale phenomenon; and secondly that, while this importation of slaves was an immediate sequel to discovery and settlement, the Spanish monarchy sought to check the conquistadores’ power by limiting this practice and in general Amerindian slavery, especially after the Nuevas leyes (1542) entitled American natives with the same rights as Spanish subjects. Even before 1542 the conquistadores were instructed not to disturb pacific, especially female natives, and a distinction was soon introduced between indios who were to be considered Spanish subjects, and thus could not be taken into slavery, and enemy indios who refused ‘commerce’, religion and civilization and were to be killed or taken captives in just wars. Different provisions were made in royal instructions for one category of indios: natives could be abducted for use as interpreters, but only temporarily – and I shall return to this point shortly. It was felt advisable to let natives return to their communities fully fed and clad, because this helped good relations with local populations. Distinct kinds of actions concerning the physical location and ‘use’ of American natives were envisaged, and it made a substantial – although certainly ambiguous – difference whether the natives were intentional or unintentional participants, voluntary or forced, aware or unaware. 2 See for example Gomes Eanes De Zurara, The Chronicle of the Discovery and Conquest of Guinea (London: Hakluyt Society, 1896, 2 vols., 1st ed. about 1453), vol. I, 61, 100, 115. 22 I am referring to the particular symbolic meaning of what I call ‘abduction practices’ (in French ‘enlèvement’), which were the immediate outcome of a sense of superiority, awareness of greater strength and the ability to seize and appropriate human ‘others’. Not of course that capturing strangers and making them captives for many purposes were exclusive prerogatives of evil Europeans. Nor perhaps such was the practice of parading a captive in front of one’s own ‘tribe’ in order to reinforce one’s authority and prestige as a warrior and chief. As a matter of fact all the European navigators, without exception, took pains to seize and carry off American Indians, just as the Spanish conquerors had done with the native Guanches at the time of the conquest of the Canary islands. The impulse to take physical possession of ‘other’ human beings has given rise to various interpretations. Tzvetan Todorov attributed the European acts of seizure of savages to two conflicting reactions: one involving assimilation – you seize somebody different in order to cancel out the difference and render them your equal, teaching them your language and your religion on the assumption of their capacity to become fully your like; the other involving confinement in extreme alterity – you seize the ‘other’ as a slave in order to keep him/her irreducibly diverse from you on the assumption of his/her incapacity for civilization and of his/her irredeemable diversity as the precondition of his/her employment as an enslaved worker3. Stephen Greenblatt, while accepting the contradictory European tendency to consider the indios as both alike and different at the same time, views the act of seizing the ‘diverse’ as dictated by the need to fill a communication gap: “kidnapping language” means that cancelling physical distance can lead to reciprocal understanding4. Both these scholars and still others5 have also pointed to a third motive (or series of motives) for capturing the savage. The act of seizing per se is tantamount to declaring the possessor’s own (superior) identity, his capacity to offer his compatriots back home a very special present: both a gift, as symbolic acknowledgement of the receiver’s authority, and the tangibly exhibited evidence of the amazingly different nature of the discovered object and of the truthfulness and uniqueness of the donor’s endeavor. Travel literature in the age of the European discoveries in the New World abounds with evidence of recurrent abductions, frequently, of course, (since the 3 T. Todorov, La conquête de l’Amérique La question de l’Autre (Paris: Éditions du Seuil, 1982), 50-55. 4 S. Greenblatt, Marvelous Possessions: The Wonder of the New World (Oxford: at the Clarendon Press, 1991), 86 ff. 5 M. T. Hogden, Early Anthropology in the 16th and 17th centuries (Philadelphia: University of Pennsylvania Press, 1964), 111 ff., P. Seed, Ceremonies of Possession in Europe’s Conquest of the New World: 1492-1640 (Cambridge: Cambridge University Press, 1995), A. Vaughan, Transatlantic Encounters: American Indians in Britain, 1500-1776 (New York: Cambridge University Press, 2006), Indians and Europe: an interdisciplinary collection of essays, ed. Christian F. Feest (Lincoln, NE: University of Nebraska Press, 1999, 1st German edition, 1987), Dagmar Wernitznig, Europe’s Indians, Indians in Europe: European perceptions and appropriations of American native cultures from Pocahontas to the present (Lanharn, MD: The University Press of America, 2007). 23trophying human ‘otherness’ explorers were exclusively male), of women, with an aura of sexual license and absence of restraint on acts perpetrated far from the reach of European morals and religion. In fact sex, involving body and language, acts as a third level of communication capable of bridging the gap between difference and similarity. Michele da Cuneo (1448-1503), a companion of Columbus on his second voyage, left a famous description of one episode in which male physical violence seems to transform the appropriated “camballa” (‘cannibal’) into nothing less than a well-trained “bagassa” (Italian vernacular vulgar for ‘whore’)6. In the first two decades of its discovery natives were repeatedly carried off from the New World in one form or another – as slaves, interpreters, informants, negotiators, guides – mostly but not exclusively to Europe. Columbus, Vespucci, Sebastian Cabot, Magellan, Thomas Aubert, Ponce de Leon, Fernando de Soto, Panfilo de Narvaez, Hernan Cortéz, Francisco Pizarro, Jacques Cartier, Walter Raleigh – to name just a few – are all reported to have abducted natives for reasons which did not necessarily have anything to do with procuring forced labor. The physical presence of natives among Europeans came to fulfil an evolving list of functional roles, connected in one way or another to multi- direction communication requirements: they acted as guides, informants, interpreters, mediators, catechumens, apprentices, hostages, witnesses, specimens, natural objects, living advertisements, skilled or artistic performers, actors or figureheads, symbols, prey and trophies. Their undertaking the role of diplomatic envoys in later times falls under quite a different category in which the full, conscious participation of willing exotic travelers or visitors invalidates the very concept of ‘abduction’. Abductions for these purposes continued at an increasing rhythm and in ever more diversified forms, as the European presence, settlement and colonization developed not only in the Americas, but also in Asia, Oceania and finally in Africa. As far as the New World is concerned, some recent studies on “transatlantic visitors” in Europe, dating mainly from the early 1990s and regarding England in particular, have started to place a range of case- studies in a broader framework, rendering a previously neglected subject more comprehensible and at the same time opening up a more general perspective for re-interpreting later phenomena that have emerged over the last two centuries. There was a close connection between seizing on the spot and taking physical control of aliens (whether temporarily or not) and the subsequent act of abduction, removing them from their native context and transporting them to distant countries, which involved transferring eastwards both the ‘encountered’ people and the fact of ‘encountering’ itself. Here again difference and similarity represent the dual poles of the overseas experience. Savages have to reside in Europe for a while if the purpose is to teach them language, religion and the 6 Michele da Cuneo, Lettera 15-28 ottobre 1495 a Gerolamo Annari, in Nuovo Mondo. Documenti della storia della scoperta e dei primi insediamenti europei in America, 1492-1640, serie diretta da Paolo Collo e Pier Luigi Crovetto (Torino: Einaudi, 1990-1992), 3 voll., vol. II, Gli Italiani, 1492- 1565, a cura di Paolo Collo e Pier Luigi Crovetto, 1991. 24 fundamentals of civilization, that is to say, to explore their capacity for similarity. But they must also be kept in Europe if the purpose is to exhibit them as an embodiment of alterity or otherness. Their difference can be interpreted as an addition to the catalogue of the natural, in this case anthropological varieties: it belongs to the collection of wonders and curiosities assembled by the natural scientist, the antiquary and the amateur collector. But at the other extreme it was radicalized in freakery, a concept which is worth dwelling upon briefly. In ancient and medieval Europe freaks were phenomena representing monstrous deviations from the regular course of the natural world. Curiosity, bizarre entertainment, commercial purposes, the appeal of anomalies, and medical interest in anatomical rarities and human deformities made human freaks collecting and exhibiting established practices in different environments of late medieval and early modern Europe, featuring in markets, fairs (in England St. Bartholomew’s and Greenwich fairs), taverns, scientific cabinets and the printed book (for instance in Ulisse Aldrovandi’s Monstrorum Historia, 1642 or Thomas Bartholin’s Historiarum Anatomicarum Rariorum Centuriae, 1654)7. These practices stretched from the Renaissance to the age of the scientific revolution, from the Enlightenment to the Victorian era and the belle époque. A vivid illustration for the eighteenth century can be seen in Sir Henry Sloane’s collection of handbills on “natural prodigies which interest London from the days of Charles the Second to those of Queen Anne” and on the “strange and wonderful creatures from most parts of the world, all alive”; and in John Evanion and John Johnson’s collections of printed ephemerals, for later periods8. The extraordinary gallery of human freaks on display included, in early modern England alone, the “Northumberland Monster”, the “Siamese Twins”, the “Indian prince”, the “Black Prince”, the “Little woman from Prester John’s Country”, the “Beautiful Spotted Negro Boy”, “ The Tyrolese Minstrels”, Daniel Lambert the “Human Colossus”, and the “pretended Mermaid”9. From the dwarfs and buffoons of the Renaissance courts and the “sauvage gentilhomme” Pedro Gonzales (ca. 1537-ca. 1618)10 to the “sauvages de la Louisiane”, the “Maure blanc” and the African albinos of Voltaire, the “nègres blancs” of Maupertuis, 7 Nadja Durbach, The Spectacle of Deformity: Freak Shows and Modern British Culture (Berkeley and Los Angeles: University of California Press, 2009), Ricky Jay, Journal of Anomalies (New York: The Quantuck Press, 2003). 8 Henry Sloane’s and John Evanion’s collections are in the British Library; John Johnson’s Collection of Printed Ephemera regarding everyday life in Britain in the eighteenth, nineteenth and early twentieth centuries is in the Bodleian Library, Oxford, and a digital selection of it is available online by subscription at the address < http://johnjohnson.chadwyck.co.uk/marketing/index.jsp>. 9 Freakery: Cultural Spectacles of the Extraordinary Body, ed. R. Garland Thomson (New York: New York University Press, 1996), R. Bogdan, Freak Shows. Presenting Human Oddities for Amusement and Profit (Chicago: The University of Chicago Press, 1990). 10 Roberto Zapperi, Roberto Zapperi, Il selvaggio gentiluomo. L’incredibile storia di Pedro Gonzales e dei suoi figli (Roma: Donzelli, 2005). 25trophying human ‘otherness’ the “negresse Geneviève” of Buffon, the Tahitians Aoutourou in Diderot’s Paris and Omai in Dr. Johnson’s London, the “Hottentot Venus”, as well as, much later, John C. Merrick the “Elephant Man” (1862-1890), recounted, among others, by the anthropologist Ashley Montague11, there was a whole succession of embodiments of the European taste for the monstrous, extraordinary and exotic. At the turn of the eighteenth century in England they provided the material for exhibitions in London locations ranging from inns, coffee houses and pubs to dedicated halls like the Albert Palace and that “sort of Ark of exhibitions”, the Egyptian Hall, or, later on, the Crystal Palace at Sydenham12. Beside whetting the European public appetite for exotic human ‘others’ over at least three centuries before the golden age of the ‘human zoos’, these “cultural spectacles of the extraordinary body” represented a profitable sector for entrepreneurship13. Profit and amusement stepped in very soon alongside scientific curiosity, collecting and a relish for the marvelous. The very early appearance of these phenomena in European literary works from the mid- sixteenth century onwards, from Ben Jonson and Shakespeare to Jonathan Swift, Wordsworth and Chateaubriand, is evidence of their role in the history of society, culture and customs in the early modern epoch. To give just one instance: when Gulliver is described as a midget on display among the inhabitants of Brobdingnag (Gulliver’s Travels, pt. II, ch. 1-3), to be transported in a box to a nearby market town and exhibited on an inn table and then taken on tour specifically to make money “in eighteen large towns, besides many villages, and private families”, Swift is obviously referring to a particular type of the social practices here alluded to. I have mentioned one more specific motivation for exotic abductions which is now worth further consideration. Seizing, taking away and bringing back to Europe representatives of alien peoples could serve to exhibit them as witnesses, evidence, prey or trophies. Live exotic strangers, in other words, can become signs, metaphors, symbols or non verbal, visual translations of acts such as discovering something or someone new (never previously seen or heard of), succeeding in an arduous enterprise and demonstrating one’s superior abilities. Columbus was particularly explicit about this. In his journals he makes frequent reference to the Indians, although they are not mentioned at all in the documents preceding the voyage: in the prior negotiations that took place between the navigator and the Spanish monarchs the Indians merely figure as potential converts. Columbus is well known for bringing back seven Indians and presenting them to the Spanish monarchs in 1493 – an episode we shall return to – and subsequently he often 11 A. Montague, A. Montague, The Elephant Man. A Study in Human Dignity (Lafayette, LA.: Acadian House Publishing, 2008, 1st ed. 1971). 12 R. D. Altick, The Shows of London (Cambridge, Mass.: Belknap Press of Harvard University Press, 1978). 13 Freakery: Cultural Spectacles of the Extraordinary Body, ed. Garland Thomson, and Bogdan, Freak Shows. 26 resorted to captives but also to volunteers as native interpreters, as shown by his later journals and letters. During his first voyage he talks alternatively of “his Indians”, his “captives”, his “interpreters”, the people who “accompanied” or “followed” him, who “were with him”, who “were on board his ship”, whom he “took with him” and, more explicitly, as the “seven [Indians] whom I had seized in order to take them with me, teach them our language and then let them go back home”14. Later on, writing to a high-ranking Spanish official on his way back to Europe, Columbus spoke explicitly of the Indians he had “captured” and “seized by force” in order to teach them Spanish and obtain information from them. He adds that it will be easy in the future to send back more of them as “slaves”, and he finally refers to them as “witnesses”: “porto meco indios in guisa di testimoni” (I take indios with me as witnesses)15. We find confirmation of this in Pietro Martire d’Anghiera’s account: Columbus took objects and men with him on his return voyage as “evidence of the new land that had been discovered”, adding that thanks to the captured Indians, “it became clear that the language spoken in all those islands can be written without difficulty in our Latin letters”16. Captured, abducted and exhibited savages, or strangers, then, constitute much stronger evidence than a written report. On his arrival back from the New World, in March 1493, Columbus must have been struck by the powerful effect of his alien witnesses when “many people convened today from Lisbon to see him and to see those indios [...] and everybody expressed their astonishment [...] today numberless people came to the caravel and many knights and among them the Kings’ ministers”17. We know of one very utilitarian way in which the Indians were called to act as witnesses. In March 1493, in front of King Joao II of Portugal, they were seen to look very unlike the people of Africa, thereby dashing the Portuguese monarch’s hopes of laying claim to Columbus’s discoveries on the basis of a treaty and papal bull18. Herrera and subsequent authors were very clear in this respect: “the Admiral [...] ordered some Indians to be taken to be carry’d into Spain, from several parts, that every one might give an account of his own country, as witnesses of the discovery”19. It may be noted that Columbus in his 14 Colombo, Gli Scritti (Torino: Einaudi, 1992), 28 (my translation); previous citations from 35, 39, 41, 52, 67, 71, 79, 80, 90, 91, 115. 15 Letter to Luis de Santangel [Finance Minister of the Aragonese court], 4 March 1493, Letter to Luis de Santangel [Finance Minister of the Aragonese court], 4 March 1493, ivi, 139 sgg.; last quotation at 145. Likewise, in his “Relazione del quarto viaggio”, addressed to the Spanish monarchs on 7 July 1503, Columbus will refer again to the indios as witnesses of what he was saying (ivi, 339). 16 Pietro Martire d’Anghiera, Pietro Martire d’Anghiera, De Orbe Novo Decades, I, 1 (Genova: 2005), 49. 17 Scritti, 135 (my translation). 18 Rui de Pina, Rui de Pina, Crónica D. João II, in Colecção de livros inéditos da historia portugueza dos reinados de D. João I, D. Duarte, D. Affonso V e D. João II, publicados de ordem da Academia de Ciências, ed. José Corrêa da Serra (Lisboa: na Ofic. da Academia Real das Sciencias, 1790-1824), 5 vols., now re-edited as Crónica de El-Rei D. João II. Nova edição com prefácio e notas de Alberto Martins de Carvalho (Coimbra: Atlantida, 1950). 19 Antonio de Herrera y Tordesillas, Antonio de Herrera y Tordesillas, Historia de los Hechos de los Castellanos en las Mas y Tierra Firme del Mar Oceano que llaman Indias Occidentales (Madrid: 1601-1615, 4 vols.): I am quoting from The 27trophying human ‘otherness’ subsequent voyages continued to kidnap and abduct Indians for many different reasons, predictably earning the stern censure of Las Casas20. Thereafter the usefulness of exotic witnesses was clear to a great number of voyagers of many nationalities who brought back members of the different ethnic groups they encountered. Just one single instance will suffice: the chronicler of the first voyage of Martin Frobisher – the late sixteenth-century English explorer of the Northwest Passage – reports the captain’s desire “to bring some token from thence of his being there” and his consequent effort to capture an Inuit alive, whom he explicitly defines a “witness” as well as a “prey”21. The accounts of Frobisher’s and indeed of all the explorers’ expeditions provide most interesting details of the practice of alien abductions, including the stratagems, traps, allurements, negotiations and open acts of violence. Irrespective of the different behavioral strategies suggested by the kind of relationships entered into or desired with the native populations, one constant objective was to take possession of live captives. These were then subjected to the “initiation experience” of the Ocean crossing, assuming the new role of witnesses and prey in exhibition ceremonies. Columbus himself, whose exhibition of the seven Indians taken to Spain was the first of its kind after the discovery of the New World, was in fact following a well established practice among Portuguese and Spanish explorers and merchants who for decades had been returning home from Africa or the Canary islands. Witnesses of diversity and, correspondingly, of a specific identity, the abducted exotic humans could also be valuable gifts or objects of homage. Their bodies exhibited overseas were a testimony not only of who they were but also of what they were able to do. Thus the Indian boy servant brought to Spain by Juan de Ribera, Hernan Cortés’s secretary, performed a dancing and ritual pantomime before high-ranking guests in Pietro Martire’s house in 1523; a contingent of Aztec acrobats and jugglers transported by Cortés himself General History of the Vast Continent and Islands of America, commonly call’d, the West-Indies, from the First Discovery thereof [...] Collected from the original relations sent to the kings of Spain [...] Translated into English by Capt. John Stevens (London: printed for Jer. Batley, 1725-26, 6 vols.), vol. I, chapt. XV, 57 ff.; this passage is rendered thus by Prévost: “dans le dessein qu’il [Columbus] avoit d’en [the indios] transporter plusieurs en Espagne, il vouloit qu’ils fussent de divers Païs, pour rendre un témoignage plus certain du nombre & de la varièté de ses découvertes. Il en prit douze, d’âge & de sexe différens”, Histoire générale des voyages, ou Nouvelle collection de toutes les relations de voyages par mer et par terre (Paris: Didot, 1746-1761, 20 vols.), XII, 17. 20 “ The Admiral did this unscrupulously, as did he many other times during his fi rst voyage, it “ The Admiral did this unscrupulously, as did he many other times during his first voyage, it not appearing to him that it was an offense to God and his neighbors to take free men against their will, separating fathers from sons and wives from husbands [...] a mortal sin of which the Admiral was the efficient cause”, English quote in S. E. Morison, Admiral of the Ocean Sea. A Life of Christopher Columbus (Boston: Little Brown & Co., 1942), 545. 21 “with this newe pray (which was a suffi cient witnesse of the captaines farre and tedious “with this newe pray (which was a sufficient witnesse of the captaines farre and tedious travell towards the unknowne parts of the world, as did well appeare by this strange Infidel [...]) the saide Captaine Frobisher retourned homeward” (The Three Voyages of Martin Frobisher, London: The Hakluyt Society, 1867, 74). 28 some years later performed at Charles the Fifth’s court and were presented as a homage to Pope Clemens VII in 1526; Tupi Indians staged an inter-tribal conflict in 1550 in Rouen; and Inuits displayed their rowing and harpooning skills in Bristol in 157722. Examples like these, which could be multiplied, are direct progenitors of the ethno-shows staged by professional impresarios in the nineteenth century and at the turn of the twentieth century in exhibitions and theatres all over Europe and North America. In conclusion, a long sequence of abductions and exhibitions since the early phases of discovery, with a great variety of motives, intentions and purposes – ranging from the merely utilitarian to cognitive or symbolic – gradually accumulated and made available to the European public a repository of conventional behavior and a rich archive of signs, actions, attitudes invariably based on and pointing to the reification of the human ‘other’, forming an extremely rich historical background ready to be exploited and transformed in those particular later performances we refer to as ‘live ethno-exhibitions’. Within such a repository of practices, habits, ceremonies and symbols I have not yet mentioned another distinct tradition of public ceremonial which, as the definition of the abducted captives as ‘prey’ mentioned above suggests (alluding also to the term ‘trophy’), provided later ethno-exhibitions with a framework of reference which is seldom recalled but should not be underestimated: the triumph. III. The direct connection between what has been called the “Roman triumphal culture” and early modern forms both of exotic ethno-exhibitions and of public political ceremonials has been recently suggested by Mary Beard, the historian who has best analyzed the Roman triumph in terms not only of its political interpretation but also of its symbolic meanings and its forms, actors and effects23. This is particularly interesting as previous scholars of the Roman triumph and of modern public ceremonials and triumphal rites24 have barely taken notice of the 22 Pietro Martire d’Anghiera, De Orbe Novo Decades, V, 10, vol. II, 693 sgg.; Howard F. Cline, “Hernando Cortes and the Aztec Indians in Spain”, Quarterly Journal of the Library of Congress, 26 (1969): 70-90; C ’est la déduction du sumptueux ordre plaisantz spectacles et magnifiques theatres dressés et exhibés par les citoiens de Rouen ville Metropolitaine du pays de Normandie à la sacrée Maiesté du Treschristian Roy de France, Henry second... Entrée. 1550, 1-2 octobre, à Rouen, chez Robert Le Hoy, Robert et Jehan dictz du Gord, 1551, in quarto; Ferdinand Denis, Une Fête brésilienne célébrée à Rouen en 1550; suivie d’un fragment du XVIe siècle roulant sur la théogonie des anciens peuples du Brésil, et des poésies en langue tupique de Christovam Valente (Paris: J. Techener, 1850); A. Vaughan, Transatlantic Ecounters, 6-7. 23 Mary Beard, Mary Beard, The Roman Triumph (Cambridge, Mass.-London: The Belknap Press of Harvard University Press, 2007). 24 Henry Versnel, Henry Versnel, Triumphus. An Enquiry into the Origin, Development, and Meaning of the Roman Triumph (Leiden: Brill, 1970), Tanja Itgenshorst, Tota illa pompa. Der Triumph in der römischen Republik (Göttingen: Vandenhoeck & Ruprecht, 2005), David M. Bergeron, English Civic 29trophying human ‘otherness’ exotic component – particularly the participation of exotic human beings. Even scholars of ethno-exhibitions have failed to recognize the classical triumph as one of the sources of the symbolic language of specific aspects of modern ethno- exhibitions. Both ancient triumphs and modern exotic exhibitions involved, in Beard’s words, “displays of success and success of display” and re-enactments of victory which “brought the margins of the Empire to its centre”. The analysis of the forms and protagonists of the Roman triumph, with their different roles, pays attention to the viewers of a mass spectacle but also to the captives: their “foreignness” or barbarism, figuring among the triumphal spoils of victory, with ambiguous identities that tended to shift from victim to victor and from strangers to Romans. All these elements can foster a better understanding of modern ethno- exhibitions, providing analytical clues and revealing their classic ascendancy25. The close affinity Beard herself suggests between Roman triumphs and the French King Henry II’s solemn entry into Rouen in 1550 draws on the “recognizable Roman style” of the latter, reinforcing the awareness of the survival of classical paradigms in the early modern representation of power and authority. Henry II’s entry was the occasion for an open air theatrical display involving fifty Brazilian savages expressly imported to animate the reconstruction of a Tupinamba village on the banks of the Seine and taking part (with 250 whites disguised as Tupinambas) in a spectacular battle staging the triumph of civilization over savagery. The celebration of exoticism, spectacular ferocity and the successful beginning of French overseas ventures surely all go to corroborate Beard’s intuition26. If the “Roman triumphal culture” can help to interpret not only medieval and early modern celebrations and rites but also features of later ethno-exhibitions, it is also true that the ceremonies celebrating geographical discoveries, a safe return home, success and final victorious apotheosis overtly adopted triumphal forms and incorporated the abducted savages as trophies and characters on display. Columbus and Cortés are two cases in point. The returns of both men to Spain were greeted in distinctly triumphal forms and on both occasions the display of Indian savages as trophies was of central importance, even if more as objects of curiosity, witnesses and ‘spoils’ in the broadest sense than as prisoners of war, symbolizing conquest and military victory. The descriptions of these returns given by chroniclers, historians and biographers, whether contemporary or recent, leave no doubt as to the sources of Pageantry: 1558-1642 (London: Edward Arnold, 1971), Barbara Wisch and Susan Munshower, eds., “All the World’s a Stage”: Pageantry and Spectacle in the Renaissance and Baroque (University Park, 1990); Anthony Miller, Roman Triumphs and Early Modern English Culture (Basingstoke- New York: Palgrave, 2001). 25 The Roman Triumph, 31-32 , 53-61, 328-330. 26 Michael Wintroub, “Civilizing the Savage and Making a King: The Royal Entry Festival of Michael Wintroub, “Civilizing the Savage and Making a King: The Royal Entry Festival of Henri II (Rouen, 1550)”, Sixteenth Century Journal, vol. 29, n. 2, (Summer, 1998): 465-494, and by the same author, more recently, A Savage Mirror: Power, Identity, and Knowledge in Early Modern France (Stanford: Stanford University Press, 2006), esp. 142 ff. 30 inspiration and ritual paradigms, which were explicitly referred to as “triumphs”. A converging representation has been transmitted by the historiography of the New World’s discovery and conquest and by Columbian scholarship, ranging from Gonzalo Fernandez de Oviedo, “testigo de vista” and “primer cronista del Nuevo Mundo”27, Bartolomé de Las Casas, another eyewitness, and then Pietro Martire d’Anghiera, López de Gómara, Antonio de Herrera and Girolamo Benzoni28, Pierre- Francois-Xavier de Charlevoix and William Robertson, to such nineteenth- and twentieth-century biographers as Washington Irving, William Prescott, Salvador de Madariaga and Samuel E. Morison29. All these writers have contributed to perpetuating the image of the Admiral’s triumphal reception along the road from Portugal to Palos, “recibido en Palos con grande procesión y negocijo de toda la villa”, his progress to Seville making a sensational entrance in grand parade, the cortege’s cavalcade to Barcelona preceded by “his Indians, his gold and his parrots”, with people rushing to see the “hombres de nueva forma, color y traje”30, and finally the solemn ceremony in the presence of Fernando and Isabella immortalized in Lazzaro Tavarone’s seventeenth-century Genoese frescos. This is, for example, how Las Casas narrates the Admiral’s departure from Seville for Barcelona: Tomó comienzo la fama á volar por Castilla, que se habian descubierto tierras que se llamaban las Indias, y gentes tantas y tan diversas, y cosas novísimas, y que por tal camino venia el que las descubrió, y traía consigo de aquella gente; no solamente de los pueblos por donde pasaba salia el mundo á lo ver, pero muchos de los pueblos , del camino por donde venia, remotos, se vaciaban, y se hinchian los caminos para irlo á ver, y adelantarse á los pueblos á recibirlo31. Las Casas’s report on Columbus’s reception at the royal court in Barcelona, although imbued with religious elements ranging from praise of the “miraculous” discovery and the blessing of the divine Providence to the performance of the Te 27 Gonzalo Fernández Oviedo y Valdez, Gonzalo Fernández Oviedo y Valdez, Historia general y natural de las Indias, islas y Tierra-Firme del mar Oceano [1535] (Madrid: Impr. de la Real academia de la historia, 1851-1852, 3 vols.), I, 27-29: “è ví allí venir al almirante, Don Chripstobal Colom, con los primeros indios que destas partes allá fueron en el primero viaje é descubrimiento [...] no hablo de oydas en ninguna destas quatro cosas, sino de vista”. 28 B. de Las Casas, B. de Las Casas, Historia de las Indias (Madrid: Imprenta de Miguel Ginesta, 1875, 2 voll.), I, 455-495; Girolamo Benzoni, La historia del mondo nuovo [...]: laqual tratta delle isole et mari nuovamente ritrovati, et delle nuove citta da lui proprio vedute, per acqua, et per terra in quattordeci anni (Venetia: Pietro et Francesco Tini, fratelli, 1572, 1st ed. 1565), 16 e 16v.; López de Gómara, Historia general de las Indias [1552] (Madrid: Calpe, 1922), 45, Herrera, General History of the Vast Continent and Islands of America, I, 92-93. 29 Pierre-Fran Pierre-François-Xavier de Charlevoix, Histoire de l’Isle Espagnole ou de Saint-Domingue (Amsterdam: chez François L’Honoré, 1730-1733, 1st ed. Paris: J. Guérin, 1730-1731, 2 vols.), Washington Irving, History of the Life and Voyages of Christopher Columbus (Philadelphia: Lea & Blanchard, 1841, 2 vols.), I, 173-177, Salvador de Madariaga, Christopher Columbus (London: Hodder & Stoughton, 1939, It. transl., Milano, 1966, 249, 252-255), Morison, Admiral of the Ocean Sea, 357-358. 30 López de Gómara, López de Gómara, Historia general de las Indias, I, 45. 31 Las Casas, Las Casas, Historia de las Indias, I, 477. 31trophying human ‘otherness’ Deum and the Indians’ baptism, portrays scenes of rejoicing, pomp and solemnity which also resonate with Roman reminiscences: mandáronle hacer un solemne y muy hermoso recibimiento, para el cuál salió toda la gente y toda la ciudad, que no cabían por las calles, admirados todos de ver aquella veneranda persona ser de la que se decía haber descubierto otro mundo, de ver los indios y los papagayos, y mucca piezas y joyas, y cosas que llevaba, descubiertas, de oro, y que jamás no se habían visto ni oído. Para le recibir los Reyes, con mas solemnidad y pompa, mandaron poner en público su estrado y solio real, donde estaban sentados, y, junto con ellos, el Príncipe D. Juan, en grande manera alegres, acompañados de muchos grandes señores, castellanos, catalanes, valencianos y aragoneses, todos aspirando y deseosos que ya llegase aquel que tan grande y naucha hazaña, y que á toda la cristiandad era causa de alegría, habia hecho. Entró, pues, en la cuadra donde los Reyes estaban acompañados de multitud de caballeros y gente nobilísima, entre todos los cuales, como tenia grande y autorizada persona, que parecía un Senador del pueblo romano, señalaba su cara veneranda, llena de canas y de modesta risa, mostrando bien el gozo y gloria con qué venia. The final christening of the Indians under the monarchs’ supervision can perhaps be seen as corresponding to the Romanization of the captive barbarians following on the triumph (capital executions were not so frequent as is often supposed), just as the capacity for receiving Christ’s word may correspond to the attainment of Roman citizenship as another way of achieving full human dignity. In both cases we are dealing with a rite of passage32. Las Casas’s final lines – “en muchos de los tiempos pasados, cosas tan nuevas y diversas festivas, ni de tanta solemnidad, nunca fueron imaginadas” – may have inspired the French Jesuit Charlevoix in 1730. Nobody has given a more explicit evocation of the Roman classical model: On n’avoit encore rien vû en Espagne [...] qui représentât mieux le triomphe des anciens Romains que son entrée dans cette grande ville [Barcelona]33. The Jesuit’s account is particularly interesting for his remarks on the Amerindians’ part in Columbus’s triumph. They figured in procession together with the profusion of riches the Admiral exhibited, not just as the booty of the conquerors’ avidity but as a true show of novelties and wonders. They certainly played a much more dynamic role than their unfortunate counterparts, the chained Roman captives: Les sept Indiens paroissoient les premiers. Ils ornoient d’autant mieux son triomphe, qu’ils y prenoient part; au lieu que les Triomphateurs Romains fondoient une partie de leur gloire sur le malheur de ceux qu’ils traînoient après leur char34. 32 Beard, Beard, Roman Triumph, 140-141. 33 Charlevoix, Charlevoix, Histoire de l’Isle Espagnole, I, 140. 34 Ibid. 32 It must be said that Charlevoix had little to say about what happened to the seven Columbian caciques during their stay in Spain, and never seriously questioned whether it was all as pleasant as he made out. We actually know that the seven Indians were the survivors of a contingent of ten, three of whom died during the crossing and two more within two years of their arrival in Spain, while of the five who accompanied Columbus on his second voyage, only two completed the journey alive35. William Robertson’s account recalls Plutarch’s description of Pompey’s triumph in 61 BCE and depicts an elaborate procession exhibiting the Admiral himself. It merits extensive quotation for its emphasis on the display of human otherness: When the prosperous issue of it [Columbus’senterprise] was known [in Palos, March 1493], when they [Palos inhabitants] beheld the strange people, the unknown animals, and singular productions brought from the countries which had been discovered, the effusion of joy was general and unbounded. The bells were rung, the cannon fired; Columbus was received at landing with royal honours and all the people in solemn procession accompanied him and his crew to the church, where they returned thanks to Heaven [...] During his journey to Barcelona, the people crowded from the adjacent country, following him everywhere with admiration and applause. His entrance into the city was conducted, by order of Ferdinand and Isabella, with pomp suitable to the great event, which added such distinguishing lustre to their reign. The people whom he brought along with him from the countries which he had discovered, marched first, and by their singular complexion, the wild peculiarities of their features, and uncouth finery, appeared like men of another species. Next to them were carried the ornaments of gold, fashioned by the rude art of the natives, the grains of gold found in the mountains and dust of the same metal gathered in the rivers. After these appeared the various commodities of the new discovered countries, together with their curious productions. Columbus himself closed the procession and attracted the eyes of all the spectators, who gazed with admiration on the extraordinary man, whose superior sagacity and fortitude had conducted their countrymen, by a route concealed from past ages, to the knowledge of a new world. Ferdinand and Isabella received him clad in their royal robes and seated upon a throne, under a magnificent canopy36. Certainly not everything in Columbus’s return to Spain and reception at the royal court would fit neatly into a classic triumphal pattern. After all, in Roman practice the triumph, although formally awarded by the Senate, was an act of self-celebration claimed, accurately planned and staged by ambitious generals and governors pursuing a political career37. This was not the case for Columbus, whose subsequent troubles undoubtedly derived from the envy he attracted for the unprecedented honors and favors loaded on him by the monarchs. Nonetheless the perceptions of contemporaries and later historians invariably 35 Morison, Morison, Admiral of the Ocean Sea, 422. 36 W. Robertson, W. Robertson, History of America (London: Strahan, Cadell and Balfour, 1783, 3 vols., 1st ed. 1777) book II, I, 155-156. 37 Beard, Beard, Roman Triumph, 190-194, Miller, Roman Triumphs, 2-15. 33trophying human ‘otherness’ refer the Admiral’s glorification back to ancient Roman models, in a mental association that the presence of the alien human trophies may have encouraged. As “Roman triumphal culture” continued to thrive in imperial Spain and elsewhere in Europe, it is not surprising that, some years after Columbus’s enterprise, Hernan Cortés underwent a similar experience, interesting as an evidence both of the triumphal use of exotic human trophies and of ethno-shows, or, as it has been described, of “Indians playing Indian”38. In 1520 Cortés sent four male Indians and two females to Spain, as we know from several testimonies39. Of much greater significance with regard to the persistence of a “triumphal discourse” and the live exotic component in it – through which the court discovered the New World40 – is Cortés’ return to Spain in 1528, when “he came like a mighty Lord”41. On this occasion he brought with him a much richer booty than before, including some Aztec Indians selected not just for their ‘otherness’ but for their peculiar abilities in dances, games and tricks which made them suitable for public display. These Indians – the same who were subsequently transported en tournée to Rome as an imperial homage to Clemens VII – figured in the triumphal processions ordained by Charles V himself in celebration of the conquistador. As in a Roman triumph, these alien human figures were paraded as live exhibits together with a profusion of natural products, treasures, animals and a whole assortment of marvels from the New World. William Robertson gives a description redolent with allusions to ceremonial devices, political apprehensions about the victor’s ambitions and speculations about the value and allocation of the booty, which Mary Beard identifies as descriptive features common to many written accounts of Roman triumphs: Cortes appeared in his native country with the splendor that suited the conqueror of a mighty kingdom. He brought with him a great part of his wealth, many jewels and ornaments of great value, several curious productions of the country, and was attended by some Mexicans of the first rank [...] His arrival in Spain removed at once every suspicion and fear that had been entertained with respect to his intentions42. 38 Rayna Green, “ The Tribe Called Wannabee: Playing Indian in America and Europe”, Rayna Green, “ The Tribe Called Wannabee: Playing Indian in America and Europe”, Folklore, 99, 1 (1988): 30-55. 39 Informations are given by Pietro Martire (V, 10), López de Gómara ( Informations are given by Pietro Martire (V, 10), López de Gómara (Historia general de las Indias, chapt. 39), Díaz del Castillo (chapt. 54) and Herrera (III, 1-3), on Ruffo see Marcel Bataillon, “Les premiers Méxicains envoyés en Espagne par Cortès”, in Journal de la Société des Américanistes, n. s., 48 (1959): 135-140. On the following expedition, in 1528, see Howard F. Cline, “Hernando Cortes and the Aztec Indians in Spain”, Quarterly Journal of the Library of Congress, 26 (1969): 70-90. 40 Marcel Bataillon, “Plus oultre: la Cour découvre le Nouveau Monde”, in Marcel Bataillon, “Plus oultre: la Cour découvre le Nouveau Monde”, in Les fêtes de la Renaissance. II. Fêtes et cérémonies au temps de Charles Quint (Paris: Éditions du CNRS, 1975), 13-27. 41 Herrera, Herrera, General History of America, IV, 21-22 (Decade III, book IV, ch. III), Bernal Diaz del Castillo, The True History of the conquest of Mexico, by Captain Bernal Diaz del Castillo [...] Written in the year 1568. Translated from the original Spanish, by Maurice Keatinge Esq. (London: printed for J. Wright, 1800), 455 ff. 42 History of America, book V, II, 449-451; on booty allocation see note XCVI, vol. II, 540. 34 William Prescott’s later narrative (1843) presents an elaboration on the theme of the triumph with particular insistence on the display of the Indians: The houses and the streets of the great towns and villages were thronged with spectators, eager to look on the hero, who, with his single arm, as it were, had won an empire for Castile, and who, to borrow the language of an old historian, “came in the pomp and glory, not so much of a great vassal, as of an independent monarch” [...] His train was now swelled by the Indian chieftains, who, by the splendours of their barbaric finery, gave additional brilliancy, as well as novelty, to the pageant43. The Indians were indeed part of the treasure of wonders brought back from across the Atlantic and mention of them was made while presenting the catalogue of the trophies of the conquista, unusual animate and inanimate objects intended to be admired. Bernal Díaz del Castillo recounts how, in preparing his return to Spain, Cortés collected a great quantity of multicolored birds unknown in Castile, together with casks of liquidambar and other kinds of balms, two tigers and quatro indios maestros de jugar el palo con los pies, que en Castilla y en todas partes es cosa de ver; y otros indios grandes bailadores que suelen hazer una manera de ingenio, que al pareçer como que buelan por alto estando bailando, y llebó tres indios corcobados de tal manera que era cosa mostruosa, porqu’estavan quebrados por el cuerpo y eran muy enanos; y tanbién llebó indios e indias muy blancos que con el gran blancor no vían bien [...]44. Cortés was therefore assembling items for a true ethno-exhibition staging a whole variety of ‘otherness’: the unknown, the extraordinary, the monstrous, the abnormal, the skilful and remarkable, the precious and glittering, and the representative. And, again on Castillo’s testimony, once in Spain he did indeed manage to provoke “the astonishment of the spectators” and to impress both the Castilian and Papal courts. Prescott successfully rendered the full import of the display: He also took with him several Aztec and Tlascalan chiefs, and among them a son of Montezuma, and another of Maxixca, the friendly old Tlascalan lord, both of whom were desirous to accompany the general to Castile. He carried home a large collection of plants and minerals, as specimens of the natural resources of the country; several wild animals and birds of gaudy plumage; various fabrics of delicate workmanship, especially the gorgeous feather-work; and a number of jugglers, dancers, and buffoons, who greatly astonished the Europeans by the marvellous facility of their performances, and were thought a suitable present for his Holiness, the Pope. Lastly, Cortes displayed his magnificence in a rich treasure of jewels, among which were emeralds of 43 William H. Prescott, William H. Prescott, History of the Conquest of Mexico, with a Preliminary View of Ancient Mexican Civilization, and the Life of the Conqueror (New York: Harper & Bros., 1843), digital online edition University of Virginia Library Electronic Text Center, 2000, book VII, chap. 4. The “old historian” is Vincencio Blasco de Lanuza’s Historias Eclesiásticas y seculares del Reino de Aragon (Zaragoza: 1622), book III, ch. 14. 44 Bernal Díaz del Castillo, Bernal Díaz del Castillo, Historia verdadera de la conquista de la Nueva España (Manuscrito Guatemala). Edición crítica de José Antonio Barbón Rodríguez (México: El Colegio de México, 2005), 721. 35trophying human ‘otherness’ extraordinary size and lustre, gold to the amount of two hundred thousand pesos de oro, and fifteen hundred marks of Silver45. But Cortés’ Aztecs, as we recalled above, were much more than just figureheads or human trophies in a triumphal cortège. Like Ribera’s young Aztec servant performing dances and pantomimes in the presence of Pietro Martire’s distinguished guests, they were displaying ethnic abilities as protagonists of the “rehearsal of cultures”46. As a homage to Pope Clemens VII, they repeated the “spectacle of strangeness” in Rome in the presence of cardinals and other dignitaries; the effect of their ‘otherness’ was amplified by the drawings made by Christoph Weiditz (1500-1559), the talented portraitist of scenes of European daily life and of exotic customs. During the sixteenth and seventeenth centuries public celebrations such as royal weddings, entrées royales, receptions of regal foreign guests, births of princely male heirs, fasti sollemnes and thanksgiving for military victories and the conclusion of peaces, and again the return of victorious generals, soldiers or explorers, and even carnivals, continued to be inspired by the “triumphal discourse” of classic, Roman derivation. It is true that triumphal processions, parades or festivities did not always exhibit enemy captives, absent for example from the “Armada triumphs” in 158847. But we know that the exhibition of alien individuals whether as prisoners of war or specimens of exotic ‘otherness’ was standard practice, for instance in Central Italy in the Renaissance, where Turkish captives figured in parades with a triumphal and an apotropaic function: the terrible but defeated arch-enemies of Christianity were exposed to the view of onlookers, ensuring a frisson of awe, curiosity and fear48. It would undoubtedly be worth studying just what part was played in these circumstances by the exhibition of exotic human ‘otherness’, especially in the case of the numerous “Triomphes, grandes bravetez et magnificences”49, mock battles and naumachiæ staged in Tudor and Stuart England, the Palatinate court, the Mantua Gonzaga dukedom, the Papal court in Rome, and monarchical France from Henri II to Louis XIV. Here I can only refer to a few examples. 45 William H. Prescott, William H. Prescott, History of the Conquest of Mexico, with a Preliminary View of Ancient Mexican Civilization, and the Life of the Conqueror (New York: Harper & Bros., 1843), digital online edition University of Virginia Library Electronic Text Center, 2000, book VII, chapt. 4 (“Disturbances in Mexico- Return of Cortes- Distrust of the court-His return to Spain- Death of Sandoval-Brilliant reception of Cortes- Honours conferred on him”). 46 Stephen Mullaney, “Strange Things, Gross Terms, Curious Customs: The Rehearsal of Stephen Mullaney, “Strange Things, Gross Terms, Curious Customs: The Rehearsal of Cultures in the Late Renaissance”, Representations, 3 (Summer 1983): 40-67. 47 For instance in the “Armada triumphs” in Elizabethan England, see Miller, For instance in the “Armada triumphs” in Elizabethan England, see Miller, Roman Triumphs, 71. 48 G. Ricci, G. Ricci, Ossessione turca. In una retrovia cristiana dell’Europa moderna (Bologna: Il Mulino, 2002), Bonner Mitchell, Italian Civic Pageantry in the High Renaissance: a descriptive bibliography of triumphal entries and selected other festivals for state occasions (Firenze: Olschki, 1979). 49 Les Triomphes, grandes bravetez et magnificences pour l’Entrée de [...] Charles IX [...] en sa ville de Troyes (Lyon: Pierre Merant, 1564). 36 On the occasion of the great festivities held in 1613 in England and Germany for the royal wedding of a Palatine Elector to an English Princess, a spectacular naumachy between Christians and Ottomans culminated as the English naval commander “emmena l’Admiral Turque et plusieurs Baschas en triumphe pour les presenter au Roy et à son Gendre”50. The entry of Ann of Austria into Burgos in 1571 featured triumphal chariots, one of which exhibited a cacique accompanied by six male and six female Indians and preceded by 24 more Indians in colorful dress, wearing masks overlaid with gemstones51. Something similar had already been seen in Troyes in 1564 on the occasion of the royal entry of Charles IX. The parade of the city’s representatives and militia “au devant du Roy” was accompanied by a perfectly organized triumphal ethno-exhibition under the armed control of two companies of “l’enfanterie del la Ville” and conceived to celebrate the kingly power in an evocation of the imperial figure of Alexander the Great. Even if we do not know whether it involved real or fake savages, its symbolic meaning was beyond any doubt: Entre lesquelles marchoient un grand nombre de Sauvages proprement accoustrez, desquels le Capitaine estoit monté sur une Licorne bardée tout à l’entour de lyerre, avec une hausse de mesme, et un armeur faicte en escaille, tout fort bien approprié. Les Tambourines sonnoient, les Sauvages en bon ordre, les uns montez sur Asnes, les autres sur Chevres et boucs, chose fort plaisante à voir [...] deux Sauvages portoient un Escusson hault eslevé en un rond de lyerre, dans lequel estoient escript cez mots:‘Non seulement la France en paix tiendras/Mais accroistras aussi bien qu’Alexandre,/Tant que Sauvages ains que mourir verras/O Puissant Roy, soubz ton pouvoir se rendre/ France’ Suivoient deux Sauvages portantz l’enseigne de Taffetas bleu, tenant chacun un baston où elle estoit attaché, au milieu de laquelle estoit un Soleil fait d’or, apres laquelle suyvoient encore quelque bon nombre de Sauvages bravement accoustrez avec leurs arcs, et flesches, et masses fort bien factes52. IV. Live human exhibitions, in their manifold variants, continued to be a regular part of the European perception and representation of human ‘otherness’, especially in the nineteenth and twentieth centuries, when their function was reinforced as a permanent form of celebrating European accomplishments and Europe’s 50 Les triomphes, entrees, cartels, tournois, ceremonies, et aultres magnificences, faites en Angleterre, [et] au Palatinat, pour le mariage & reception de Monsieur le Prince Frideric V. Comte Palatin du Rhin, Electeur du Sainct Empire, Duc de Baviere &c. et de Madame Elizabeth, fille unique et princesse de la Grande Bretagne, Electrice Palatine du Rhin &c. son espouse (Heidelberg, 1613), pages not numbered [but 35-36]. 51 Relación verdadera del recíbímiento que la [...] Ciudad de Burgos [...] hizo a la Magestad Réal de la Reyna nuestra Señora doña Anna de Austria (Burgos, 1571), quoted in C. A. Marsden, “Entrées et fêtes espagnoles au XVIe siècle”, in Les fêtes de la Renaissance, II, 401. 52 Les Triomphes, grandes bravetez et magnificences pour l’Entrée de [...] Charles IX , full text in Victor E. Graham, “ The 1564 entry of Charles IX into Troyes”, Bibliothèque d’Humanisme et Renaissance, 48, 1 (1986): 105-120, see 117. 37trophying human ‘otherness’ dominant position in the world. In particular these later displays became a regular and integral part of the international, universal, colonial and imperial exhibitions, the great pageants of Western industrial and capitalist civilization with its religious and secular sense of mission. In these new contexts they standardized and developed occasional, scattered features which had been present in the past centuries and added new ones, especially in terms of the “aesthetic of transgression”53. This became all the more the case when a sharper racial view of anthropological and ethnological differences inspired more brutal forms of exhibition of human ‘otherness’. However, all the basic elements – the reification of human beings, their employment as objects of display destined to satisfy wonder, curiosity, amusement and profit, as evidence of ideological, religious or secular, political and scientific discourses, and as trophies and spoils to be paraded in triumphal processions as symbols of power and domination – derived from an ancient tradition of which I have tried to recall the early modern manifestations. From this standpoint, later, especially nineteenth-century exhibitions of live human trophies re-enacted and systematized early modern practices in a double way. First, they became a more and more important ingredient of such authentic triumphs of modern industrial economy and Western civilization as the national, international and world exhibitions, in which they staged the living contrast between ‘how we were’ (and ‘they continued to be) and ‘what we attained at’, thus serving the triumph of complacency and self-celebration. Second, they took on new commercial, marketable forms which gave them such a popularity and amazing frequency as to make them a regular part of the urban social life of the great European capital cities (London most of all) and to stimulate both the protests of religious and philanthropic circles and the competing claims of ethnological inquiry of utilitarian and scientific inspiration against the use of human beings not as specimen at the “fruitful” service of public information and instruction and the progress of knowledge, but just as “zoological curiosities”, “inanimate objects in a museum”, “objects of curiosity or of unfruitful wonder”, “stimulants” for livening up “deceptive shows”54. This demonstrates how live human exhibitions were variously adapted to the mass public of European capitalist, leisured societies but also to several, new and evolving ideological priorities as these reached a dominant position in the Western market of ideas and attitudes. This was the case of the ideology of scientific progress and of European technological, material and civilizational superiority during the nineteenth and early twentieth century. This is also at the present time the case of what I call the ideology of ‘ethno-ecology’, which, often raising the standard of political correctness, has unhesitatingly appropriated 53 Volker Mergenthaler, Volker Mergenthaler, Volkerschau-Kannibalismus-Fremdenlegion: Zur Asthetik der Transgression (1897-1936) (T�bingen: Niemeyer, 2005). 54 John Connolly, The Ethnological Exhibitions of London. Read at a Meeting of the Ethnological Society (London: John Churchill, 1855), 6-7, 11-12, 44. 38 methods of alien, exotic human exhibitions on behalf of the natural environment preservation and the safeguarding of ethnic minorities. In so doing, ‘ethno-ecology’ has rendered human beings symbols, trophies and objects of display, making them again hostages to ideologies, even while loudly repudiating racism and making much of its own mission to counter racism in the name of humanitarianism and ecological concerns. I define as ‘ethno-ecological’ those movements, attitudes and specialized competences expressed mainly by the Western scientific, natural and anthropological conservation and heritage culture which combine the protection of the natural environment with the defense of threatened minority peoples belonging to and depending for their survival on those environments. Recent current affairs reporting has offered some astonishing cases of small groups of individuals, generally from Africa or South America, transported to Europe and placed in reconstructed ‘natural’ environments testifying to Western ecological concern and commitment to preservation. Both humans and nature have been reified and functionalized to support an ideological stance, itself an expression of the claim to exercise control over the non-Western world. Just a few examples will suffice, bearing in mind a fundamental diversity with respect to early modern history: women, men and children involved in contemporary ethno-ecological displays may not be in complete control of all the practical aspects of taking part in the exhibitions, but they are certainly not victims of abduction and forced displacement. In July 2002 Baaka pygmies from Cameroon were exhibited at Yvoire, in Belgium, in a park usually used for animal expositions. Their presentation as a threatened ethnic group was ostensibly motivated by the humanitarian concern for safeguarding their rights. However, their material conditions were judged unacceptable by an outraged public opinion, finding expression in a press campaign55. Both the event and the reaction evoke past experiences of subjection and reification of human aliens, with human dignity being trampled underfoot by Western mass spectacle managers in charge of publicly funded humanitarian projects. In another example of enduring bad practices, with aims which were certainly less noble, a human live exhibition was put on as part of an ethno- artistic multicultural festival. This at least had the merit of stirring up “a wave of controversy that received widespread media coverage: a global protest 55 Jean-Philippe Petit, “Peut-on exposer des Pygmées ?”, Jean-Philippe Petit, “Peut-on exposer des Pygmées ?”, Le Soir en ligne, 27 juillet 2002, Xavier Van Der Stappen,” Pygmées “exhibés” et débat manqué”, La Libre Belgique, 16/08/2002, <http:// www.cobelco.org/Library/pygmees_debatmanque.htm>; Nzogan Fomo, “L’affaire des Baka en Belgique”, Le Messager, Douala, Cameroun, 23 aout 2002, <http://www.wagne.net/messager/ messager/1404/drame_baka.htm>; “L’affaire des Baka du Cameroun en Belgique”, by Berhuse S. Thursday September 12, 2002, Belgium Indipendent Media Center, <http://www.indymedia. be/news/2002/09/31136.php>; Hugues Bertin Seumo, “Que sont devenus les pygmées Baka exposés dans un parc animalier en Belgique en été 2002 ?” (Le Gabonais.com 18/03/2005) <http:// www.africatime.com/afrique/nouv_pana.asp?no_nouvelle=179313&no_categorie=2>; Nadia Geerts, “Honte sur nous ! des pygmées exposés dans un parc animalier de Belgique !”, Résistances.be, aout 2002, http://www.resistances.be/nadia06.html. 39trophying human ‘otherness’ developed”, fuelled by the rapidity of mass media and “e-mail communication, with concern voiced by African-German organizations, rights organizations, academic associations, a Nobel Prize winner, and concerned individuals from many countries”. In July 2005, in a festival of African culture at the Augsburg zoo, several individuals brought from all over Africa were put on show in a fake native village in order to give the public a “taste of Africa”. Not only anti-racist campaigners, as in the Yvoire case, protested against what was readily perceived as a revival of the notorious Volkerschau so popular in nineteenth-century Germany56, but anthropologists from the Max Planck Institute actively intervened in the debate and, after a four-days visit, drafted a detailed report analyzing the event in all its complexities. Their conclusion was that the initiative, irrespective of the organizers’ intentions, replicated practices dating back to the times of German colonialism and reproposed images dating from those times [which] contribute to contemporary exoticizing, eroticizing, or stereotyping of Africans and are sometimes promoted as multiculturalism. The Max Planck Institute researchers concluded that they had identified forms of “marketing of cultural difference” which could be considered “incentives toward racialization”; and ended their report with words of clear condemnation: The racialization processes facilitated by the Augsburg zoo and other zoos are not benign because they can lay the groundwork for discrimination, barriers to social mobility, persecution, and repression57. A curious variation on the theme took place at the London Zoo in August 2005. This time the purpose was didactic or, better, provocative. Paradoxically, the exhibition set out to display not otherness but common origins and identity. The protagonists were not exotic, colored savages. “Caged and barely clothed in a rocky enclosure, eight British men and women were on display beginning Friday behind a sign reading ‘Warning: Humans in their Natural Environment’”. According to the Zoo spokesman, live – white – humans were exhibited to teach zoo-goers that “the human is just another primate”. Even more recent examples could be cited. At the Woodland Park Zoo in Seattle, the “Maasai Journey” exhibit, which opened in May 2007, was constructed around the zoo’s permanent “African Savanna” featuring animals indigenous to the East African grasslands, and an “African Village” including four Maasai men as “cultural interpreters”. In this case too academics entered 56 Eike Reichardt, Eike Reichardt, Health, ‘Race’and Empire: Popular-Scientific Spectacles and National Identity in Imperial Germany, 1871-1914 (no place of publication: Lulu.com, 2008). 57 Nina Glick Schiller, Data Dea, Markus Höhne, Nina Glick Schiller, Data Dea, Markus Höhne, African Culture and the Zoo in the 21st Century: The “African Village” in the Augsburg Zoo and Its Wider Implications. Report to the Max Planck Institute for Social Anthropology, 4 July 2005, full text at < http://www.eth.mpg.de/events/current/ pdf/1120750934-01.pdf>. A discussion on the Augsburg case took place in 2007 on H-Africa. 40 into a discussion of the initiative, relating it directly to the Augsburg precedent and keeping alive a debate on 21st century live human ethno-exhibitions, most remarkably with the direct participation of Maasai cultural representatives and the men taking part in the show58. A still more recent case took place at the Zoological Gardens Eberswalde, Berlin, in June 2010. Organized by a humanitarian association, “ This event is supposed to support the ethnic group of the San, the ‘last first people’, helping them to help themselves, in terms of a gentle integration into our modern age”59. Dancing and drumming, exhibiting handicrafts, drawings by San children, bonfires, barbecues and baking original African food are all on offer, with Namibian protagonists who are intended to benefit from the initiative. Time will tell if here too public opinion will manifest reservations and criticisms. Are these sorts of exhibitions of live human aliens as trophies to be considered as a typical prerogative of evil white European or American imperialists? Some contemporary reporting suggests a negative answer and reveals an even darker reality. In Thailand, November 2007, the women of a Northern Thai ethnic group known as the Padaung Hill Tribe, refugees from Burma in the 1980s, were put on commercial show by Thai businessmen. The visitors, attracted by tour operators, may have been mostly, although not exclusively, Europeans, but the organizers and profit makers were undoubtedly Thai. Protesters against the exploitation of the Padaung women spoke of people being held captive in villages and evoked the notorious models of the past we have been exploring. “ The long-necked women of a popular Thai tourist destination have spoken out about the prison- like conditions they are forced to endure as inmates of what they describe as ‘a human zoo’”60. Despite public outcry, press campaigns and the concern showed by the United Nations refugee agency, the long-necked women exhibition has continued in 2009 and 2010, probably on account of its central role in the local tourism industry. Then again at a pan-African Music Festival in Brazzaville, Republic of Congo, July 2007, a group of 20 pygmy artists, including 10 women and a three-month-old baby, were given one tent to share in the city’s zoo, instead of being provided with hotel accommodation like the other guest artists. Here they became a visitor attraction as they went about preparing fires and cooking their meals. “ They are used to living in close contact with nature” was the official reply to the protests of civil rights militants, and “the organizers say the grounds 58 Karen Furnweger, “The exhibit triangle: animals, habitats, peoples”, 2007, Itohan Osayimwese, Karen Furnweger, “The exhibit triangle: animals, habitats, peoples”, 2007, Itohan Osayimwese, “African Village on Display in Seattle Zoo”, Africa Resource, 2007 < http://www.africaresource. com/index.php?option=com_content&view=article&id=421:african-village-on-display-in- seattle-zoo&catid=136:race&Itemid=351>. 59 Bernd Hensch, Frauke von Versen, “African Zoo-Night ‘Awake the Lions!’”, original in German: Bernd Hensch, Frauke von Versen, “African Zoo-Night ‘Awake the Lions!’”, original in German: <http://blog.derbraunemob.info/wp-content/uploads/2010/07/Zoo1.pdf >. 60 “Thailand’s ‘human zoos’,” Associated Press, “Thailand’s ‘human zoos’,” Associated Press, Sunday Times, Nov. 2007 <http://www.timesonline. co.uk/tol/travel/article2837081.ece>. 41trophying human ‘otherness’ of Brazzaville zoo are closer to the pygmies’ natural habitat”61. In fact a pan-African cultural event had failed to safeguard minority ethnic groups against exactly the kind of abuse they suffered at the hands of Western science and show business. There is also a paradoxical side to these stories. Recent reports (May 2008) from the African independent news agency “Afrol News” have spoken of initiatives by some African national park administrators in Congo, Cameroon and the Central Africa Republic. Supplementary revenue sources have been provided for the most marginalized human groups like Baaka pygmies by inducing them to appear in the context of successful ecotourism projects. Income-generating activities as tourist guides and performers have apparently empowered natives, involving them in nature conservation schemes. In short, in a clear persistence of ancient models, “professional savages” have been recruited (just as they were in the nineteenth and early twentieth centuries) by African impresarios and managers intent on putting human beings, whose indigence begs the question of consent, on display in an ethno-show of pristine nature62. 61 “Pygmy artists housed in Congo zoo”, “Pygmy artists housed in Congo zoo”, BBC News, Friday, 13 July 2007, < http://news.bbc.co.uk/2/ hi/africa/6898241.stm>. 62 “Central Africa’s ‘Pygmies’ gain from ecotourism”, “Central Africa’s ‘Pygmies’ gain from ecotourism”, Afrol News, 23 May 2008, <http://www.afrol. com/articles/29052>. For a detailed treatment of the phenomenon of “professional savages”, see Roslyn Poignant, Professional Savages: Captive Lives and Western Spectacle (New Haven and London: Yale University Press, 2004). 
work_pjg2q3lvwvaand6sc4owzq56ly	----	1 For Dussel’s most recent discussion of his transmodern project, see “Transmodernity and Inter- culturality,” in Ramón Grosfógel, Nelson Maldonado-Torres, and José David Saldívar, eds., Unsettling Postcolonial Studies: Coloniality, Border Thinking, and Transmodernity (Durham: Duke UP, forthcoming). — Tr ans. ENRIqUE DUSSEl “Being-in-the-World- Hispanically”: A World on the “Border” of Many Worlds Translated by AlEXANDER STEHN TRANSlAToR’S INTRoDUcTIoN The abbreviated world-history of the hispano presented by Enrique Dussel in the essay that follows may seem strange in the context of the discipline of com- parative literature, where such sweeping narratives are generally met with an understandable skepticism. For this reason, I begin by contextualizing the essay in terms of Dussel’s larger attempt to develop a “transmodern” understanding of identity that incorporates the emancipatory message of modernity while purg- ing it of its Eurocentric racism.1 Instead of a modernity centered in Europe and imposed as a global design upon the rest of the world, Dussel argues for a multi- plicity of decolonizing critical responses to Eurocentric modernity from hereto- fore peripheral cultures and peoples around the world. Dussel’s transmodern project is thus neither a premodern attempt to provide a folkloric affirmation of an imagined common past nor a reckless postmodern project that affirms only incommensurable difference. In fact, one could argue that some version of Dus- sel’s transmodern project is often assumed as an unstated premise or perhaps even as an ideal goal for the comparatist enterprise. What besides “transmodern world- hood” (Dussel’s term) could better provide the hermeneutic horizon for the prac- tice of comparing literatures and cultures across all manner of times and places? As Djelal Kadir has suggested while discussing Dussel, the discipline of compara- tive literature “emerges from and institutionalizes this ‘step towards a transmod- Comparative Literature 61:3 DoI 10.1215/00104124-2009-015 © 2009 by University of oregon CLJ613-06dussel.indd 256 7/30/09 9:57:37 PM “BEING-IN-THE-WoRlD-HiSPaniCaLLy ” / 257 2 See Kadir’s 2007 keynote address to the International Forum at the annual meeting of the American comparative literature Association in Puebla, Mexico: “The Genesis of comparative literature: A Mexican Tributary,” available at www.acla.org/acla2007/kadir_forum.pdf. Kadir is concerned with both the opportunities and the dangers that arise from the institutionalization of transmodern worldhood. — Tr ans. 3 Dussel wants to help create a transmodern pluriverse — an intercultural global system that con- tains many universes engaged in just exchange — rather than a globalized universe in which unity is achieved through domination. See thesis eighteen in his Twenty Theses on Politics, trans. George ciccariello-Maher (Durham: Duke UP, 2008). — Tr ans. 4 Eduardo Mendieta, who has edited and translated many of Dussel’s works, has speculated about why Dussel is relatively unknown in North American philosophical circles. See Mendieta’s introduc- tion to Dussel, The Underside of Modernity: apel, Ricoeur, Rorty, Taylor, and the Philosophy of Liberation, trans. Eduardo Mendieta (Atlantic Highlands: Humanities Press International, 1996), xii–xiv. The volume’s essays clearly demonstrate Dussel’s commitment to dialogue with leading European and North American philosophers. — Trans. ern worldhood.’”2 In effect, Dussel — who is himself situated on the border of many linguistic, cultural, and disciplinary worlds — offers us an interesting model for approaching interamerican studies as a form of global studies, and something like his model seems to underlie this volume’s call for papers that “contemplate the Americas as a plural and yet sometimes integral entity, that weigh vast differences against shared histories, and that manage to connect cultures and languages across borders and boundaries of all kinds.” At the very least, Dussel’s attempt to see the world, its history, and its various peoples (especially hispanos) as part of a single world-historical system (that nonetheless remains a pluriverse) is fundamen- tally comparative.3 of course, given his disciplinary home in philosophy, Dussel’s overarching aims are more systematic than comparative. While his intellectual production spans the disciplines of political science, theology, history, economics, and latin American studies (among others), Dussel self-identifies primarily as a philosopher of libera- tion. In his own words, The Philosophy of liberation that I practice . . . regarding all types of oppression on the planet (of women, the discriminated races, the exploited classes, the marginalized poor, the impoverished countries, . . . in short, the immense majority of humanity), begins a dialogue with the hegemonic European-North American philosophical community . . . [with the] poverty of the greater part of human- ity as a fundamental philosophical and ethical theme. (The Underside of Modernity vii) one might reasonably expect that a philosophy seeking to diagnose and remedy the unjust suffering of the “immense majority of humanity” would be widely known (and even more widely disputed), but this is not the case despite Dussel’s tireless attempt to create such dialogue.4 The contemporary intellectual manifestation of ancient Hellenocentrism is the Eurocentrism that treats even the ideas of the “third world”— which, as Dussel rightly notes, actually constitutes the “two-thirds world”— as backward. Dussel writes in Spanish, a “barbaric” language to the ears of most English-, German-, and French-speaking “Greeks” of the hegemonic philosophical academy (see Dussel, History 20; and Mendieta’s introduction to Underside of Moder- nity). Moreover, Dussel’s philosophical interests in liberation theology and Marx (both manifestations of his concern for the ways in which many of the Earth’s peoples have tried to make sense of their suffering and bolster their resistance) seem unfashionable for socio-economic, political, cultural, and historical reasons that extend far beyond the scope of the disciplinary strictures of philosophy. To do justice to Dussel’s philosophy would thus require a lengthy discussion of everything CLJ613-06dussel.indd 257 7/30/09 9:57:37 PM coMPAR ATIVE lITER ATURE / 258 5 See linda Martin Alcoff and Eduardo Mendieta, eds., Thinking from the Underside of History: Enrique Dussel’s Philosophy of Liberation (lanham: Rowan & littlefield, 2000), 1–26. In brief, Dussel was born and raised in Argentina, but he claims to have begun to truly understand latin America and his position in it through the process of encountering other worlds: earning a doctorate in philosophy in Spain (1959), living in a community of manual laborers in a kibbutz in Israel (1960–61), travel- ing through the supposed birthplace of philosophy in Greece (1961), completing a second doctoral degree in history at the Sorbonne (1967), and then returning to Argentina to work as a professor of philosophy (1968). Not long thereafter, his house was fire-bombed by paramilitary forces (1973), and he was formally expelled from the University of cuyo for criticizing a military dictatorship put in power under the recommendation of the cIA (1975). Since then, he has lived in exile in Mexico city. See also Walter Mignolo’s “Dussel’s Philosophy of liberation: Ethics and the Geopolitics of Knowl- edge” (Alcoff and Mendieta 27–50). — TR ANS. from the ways in which his philosophical views are inseparable from his personal experience to the ways in which liberation philosophy is situated in the geopolitics of knowledge.5 Paying attention to the diverse currents running through both Dussel’s biography and the parts of the world referred to as latin America would also illuminate his attempt to place the present-day life of hispanos in a global his- torical context. Here, however, I focus upon the essay’s philosophical background. Dussel offers a Heideggerian analysis of “being-in-the-world” for a human being identified, or self-identifying, as hispano. I have chosen to leave each occurrence of the Spanish term hispano untranslated in order to forestall familiar classificatory systems of race and/or ethnicity. Dussel’s use of the word does not coincide with the English noun “Hispanic,” which, as Dussel suggests in a footnote, has its own ambiguous and problematic genealogy. Nor does his technical use of hispano coin- cide with conventional Spanish usage, because he aims at deconstructing the everyday understanding of the term in order to subject it to rigorous philosophical development. In other words, Dussel does not intend to provide yet another descrip- tion of who the hispano is (as though the identity of hispanos was pre-determined by race, history, or culture) but rather to develop a description of how hispanos live creatively given a remarkably multifaceted history. For Dussel, existing as a hispano is a particular way of being human, and the hispanic -being (ser-hispano) is a particu- lar mode of the human being (ser humano). Given Dussel’s modal analysis, I trans- late ser-hispano in the essay’s title as “being-in-the-world-hispanically.” The italics are not for emphasis, but instead mark the technical sense of the adverbial and adjectival forms of hispano. For instance, in rendering “communidad hispana” as “hispanic community,” I leave hispanic in italics and lower case so that the adjective will be read as a term whose meaning is under development, and I treat parallel terms like anglo in the same way. In order to develop a preliminary understanding of how Dussel’s essay attempts to illuminate the identity of the ser-hispano, let us consider the following key passage: The hispano, like every human being, lives (ex-ists) inevitably in a “world.” His/her “being-in-the- world” has a “world” that has subsumed “many” worlds whose histories are not chronologically simul- taneous but have instead unfolded with different rhythms and in diverse places, developing distinct contents. We name the resulting horizon “being-in-the-hispanic -world” as a concrete, current, and complex facticity whose intercultural riches converge to form an identity. This identity is always in formation, interstitial, born in a “border land” with such a wide range that hispanos pass from one tonality to another continuously without ceasing to experience themselves within hispanic solidarity. Even though Dussel is describing what he takes to be a particular mode of ex-istence, the hispano is also like any other human being by virtue of living in a historical-cultural “world.” Heidegger names this ex-istence in-der-Welt-sein (“being- in-the-world”) or more simply Dasein (literally, “being-there”), because human CLJ613-06dussel.indd 258 7/30/09 9:57:38 PM “BEING-IN-THE-WoRlD-HiSPaniCaLLy ” / 259 6 I borrow the term diversality from Walter Mignolo (Local Histories/Global Designs [Princeton: Prince- ton UP, 2000]), who adapted it from its original incarnation in the work of caribbean writer and essayist Edouard Glissant. — Trans. beings do not exist in the way that, for example, rocks do. A rock, when cast into a particular position by some force, simply remains there until moved by other forces. Human beings “thrown” into a particular historical-cultural location not of their own choosing begin to shape the spaces into which they were thrown. Dussel’s analysis of the hispano attempts to portray broadly the diverse historical- cultural realities that constitute his or her “thrownness” (or facticity). of course, these historical-cultural realities have a long, rich, and often hotly contested his- tory, and this is what Dussel means when he writes that the “world” in which his- panos dwell is one that has “subsumed ‘many’ worlds.” The process is neither linear nor complete, though it does constitute a horizon that Dussel names “being-in-the- hispanic -world” (with reference to the world) and “being-in-the-world-hispanically” (with reference to the mode of ex-istence). The horizon metaphor is apt because it suggests infinite possibilities while simultaneously insisting upon the specifiable location and history of the ex-istence that creatively projects itself into the future. This allows hispanos (like every other people) to take stock of a diverse history, passing “from one tonality to another continuously without ceasing to experience themselves within hispanic solidarity.” The task that Dussel sets for himself, then, is to describe in admittedly broad and sweeping strokes the world-historical context for the hispano’s particular way of being human. As Dussel notes, this is an attempt to move previous philosoph- ical discussions of identity in America beyond idealism ( José Vasconcelos), hybrid- ity (García canclini), and self-conflicted historicity (octavio Paz). His analysis is comparative by virtue of the five historical-cultural “worlds” that overlap to form the “border” where the hispano dwells. By philosophically inflecting both Homi Bhabha’s notion of the liminal spaces “in-between” standard categories of iden- tity and the cuban anthropologist Fernando ortiz’s analysis of the “transcultura- tion” that results from cultural exchanges and displacements, Dussel describes the “world” and “ex-istence” of hispanos in terms of the diverse cardinal and cul- tural directions and dynamics that have produced new ways of life, new patterns of localization, and ever-evolving identities. In sum, Dussel revises traditional philosophical notions of human universality by combining them with the recog- nition of irreducible difference in order to think of group identity as a diversality,6 thereby establishing the imperative of constituting a broader hispanic “we.” As Dussel writes in this essay, translated here for the first time, such an identity is “nei- ther substantialist nor essentialist but instead creates its own elements dialecti- cally through the continuous integration of new challenges in the very process of history.” Nonetheless, some readers may find Dussel’s discussion of the “worlds” from which hispanos have historically emerged to be problematic or even offensive. For instance, one might ask why the “fourth of worlds” constituted by the Afro- caribbean receives such brief treatment in comparison with the others, especially since it relies so heavily on themes like sensuality and dancing, stereotypes associ- ated with the white racism that Dussel attempts to undermine. likewise, one may wonder about the strategic wisdom of Dussel’s attempt to rid derogatory terms of their sting by historically re-contextualizing them. He does this, for instance, when CLJ613-06dussel.indd 259 7/30/09 9:57:38 PM coMPAR ATIVE lITER ATURE / 260 7 I am therefore translating the possessive pronoun su associated with hispano (and parallel terms like anglo) as “his/her” since su serves as the equivalent for “his,” “her,” “its,” and “their” in English. of course, this still does not solve the gender problem, which Dussel does not explicitly problema- tize here, although he does have a long history of dialogue with feminists, who have often led him to transform his views in light of their criticisms. See, for instance, ofelia Schutte, “origins and Tendencies of the Philosophy of liberation in latin American Thought: A critique of Dussel’s Eth- ics” (Philosophical Forum 22 [1991]: 270 –95). on pages 9–10 of The Underside of Modernity, Dus sel retracts several of the ethical positions for which ofelia Schutte criticized him on feminist grounds. — Tr ans. he refers to the Visigoths bound for the Byzantine Empire as “wetbacks,” since they crossed the Danube River. Finally, one might be troubled by the fact that the main agent in Dussel’s story, the hispano, remains grammatically masculine until well into the essay. obviously, Dussel does not think that being hispanically is an exclu- sively masculine way of being-in-the-world, but in his semi-mythical mode of pre- sentation, the hispano does not appear as both grammatical genders (hispano/a) until the third section, which describes the “third of worlds” as a kind of synthesis between the “first of worlds” (Malinche the indigenous mother) and the “second of worlds” (cortés the Spanish father).7 Unlike most essays, where the subject to be discussed is articulated at the outset in order to serve as the foundation upon which the rest of the inquiry is built, Dussel’s essay uncovers the identity of its sub- ject as it proceeds. The disagreements occasioned by this essay, no less than the agreements, will thus serve Dussel’s ongoing project of surveying the polyphonic identity of the ser-hispano. The Pennsylvania State University CLJ613-06dussel.indd 260 7/30/09 9:57:38 PM 8 The “in-between” of Homi Bhabha; see The Location of Culture. This “border” is not a line but a dense territory in the sense of Gadamer’s “fusion” of horizons. It is more a “space” than a limit, a “space” between many worlds that the (intersubjective) subjectivity of the actor inhabits simultane- ously. The actor articulates all of them, each one being both “my world” and “our world,” in the solidarity of the Hegelian “being-at-home” [zu-Hause] but “exterior” to the hegemonic world of the anglos, in (levinasian) “alterity.” 9 In this instance, in the title, and in this “paper” generally, the word “ex-istence” will be a techni- cal term with a Sartrean or Heideggerean meaning (“ex-”: the point of origin; “-istence”: transcen- dence or “being-thrown” in the “world”). “BEING-IN-THE-WoRlD-HiSPaniCaLLy ”: A WoRlD oN THE “BoRDER” oF MANy WoRlDS I Do NoT INTEND To propose a utopic “cosmic race” like that of José Vas-concelos, or the “hybridity” of Néstor García canclini, or a history interpreted literally like that of octavio Paz in The Labyrinth of Solitude, but rather a moving discovery of the hispano as “located” creatively “in-between” many worlds that continuously constitute a historical identity on the intercultural “border.”8 This identity is neither substantialist nor essentialist but instead creates its own ele- ments dialectically through the continuous integration of new challenges in the very process of history. But this historical experience is also normative: it must be discovered and affirmed in its dignity, especially when the present state of the hispanic community sets out from a negative self-evaluation of its own existence. The cultural complexity of being-in-the-world-hispanically must be lived subjectively, by means of active and creative intersubjectivity, which accepts challenges and integrates them rather than living them merely as a dispersion or tear. My strateg y in this contribution, originally presented in a seminar at the University of Pittsburgh, is situated in a committed pedagogical horizon that attempts to be comprehensible to a hispano who is neither a college student nor an academic, but rather from the social base to which I have spoken many times, from california to North carolina at Duke, from New york to chicago, and in many other North American universities and cities. When the hispano discovers his/her complex, constitutive history, he/she reacts to the comments with a certain annoyance: “Why didn’t they ever tell us this? Why have they hid- den our history from us in the educational system and other North American institutions?” I have responded more or less as follows: “It would be difficult for an elementary school, high school, university, labor union, or religious group to demonstrate to the hispano an existence9 so rich and ancient and with such present potential. The anglo zealously defends his/her cultural, politi- cal, and religious superiority.” In this contribution, then, I wish to maintain a colloquial tone comprehensible to the average common sense of hispanos in the United States; I will treat this subject like an outline for a course, seminar, or lecture for hispanos interested in developing their own “historical-critical consciousness.” CLJ613-06dussel.indd 261 7/30/09 9:57:38 PM coMPAR ATIVE lITER ATURE / 262 10 Twenty years have passed since “Hispanics” were the white citizens of New Mexico who did not want to be confused with “chicanos.” later, they were called “latinos,” but now I believe that the term “Hispanic” is being imposed. of course, the question of the political opportunities offered by this cultural and political community denomination remains to be considered. 11 Heidegger names this mere ex-istence “Dasein.” See Being and Time § 9ff, pp. 67ff. 12 At the time, I was an Argentine citizen and resident of Mexico, a fourth-generation latin Ameri- can whose origins are part German and part Italian. The hispano,10 like every human being,11 lives (ex-ists) inevitably in a “world.” His/her “being-in-the-world” (Heidegger § 12, 78ff) has a “world” that has sub- sumed “many” worlds whose histories are not chronologically simultaneous but have instead unfolded with different rhythms and in diverse places, developing distinct contents. We name the resulting horizon “being-in-the-hispanic -world” as a concrete, current, and complex facticity whose intercultural riches converge to form an identity. This identity is always in formation, interstitial, born in a “border land” with such a wide range that hispanos pass from one tonality to another con- tinuously without ceasing to experience themselves within hispanic solidarity. The hispano can be an indigenous Guatemalan in chicago, a Mexican mestizo in San Diego, a white criollo Uruguayan in Washington, an Afro-caribbean Puerto-Rican in New york or cuban in Miami, a mulato from the Dominican Republic in Hous- ton, to name a few. Many worlds in one world. A world that today in the hegemonic North American society is despised, dominated, impoverished, and excluded (beyond the horizon of the acceptable anglo world, beyond the “line” of Heideg- gerean ontology, on the border where non-being, the non-sense of levinasian alterity commences). They are the last ones on the social, cultural, and epidemio- logical scale (a higher percentage of them have AIDS, for example). The “hispanic world” is like a phantom, a specter that roams around in “exteriority” but has recently begun showing itself with a new face, acquiring new rights thanks to its struggle for recognition of a distinct existence. I believe that this struggle could serve as a model of the narrative I will present after drawing a basic map of the history and territorialization of this “hispanic world.” Teachers, leaders, and mili- tants in communities might use this sketch to affirm their frequently under-appre- ciated dignity. My narrative is intended to be an ethical-pedagogical one; I do not propose to denigrate the anglo but simply to demonstrate and affirm dialectically the historical values of the hispano. It may seem tendentious, but it is not altogether bad to be an apologist for those who are depreciated, persecuted, and marginal- ized. I imagine each one of the five “worlds” that I suggest as a circle that coincides with the others around the hispano, who nonetheless maintains a certain exterior- ity with reference to the hegemonic world. Every hispano lives in and through these worlds to a greater or lesser extent. It may be worthwhile to begin by recounting an anecdote, an experience I had years ago at the University of Notre Dame. While filling out an administrative form for my position as a professor, I had to respond to a question about my “ethnicity,” which disconcerted me as obviously racist. The form began with the questions: “Are you White (non-Hispanic)?” “Are you African-American (non-Hispanic)?” “Native-American (non-Hispanic)?” and finally, “Are you Hispanic?” I asked the secretary, “What do you think?” Hearing my “accent” in English, she asked me, “you’re from Mexico? Put Hispanic.”12 Thus was I classified by (under) the possible “ethnicities.” With this anecdote, I open the present historical-cultural reflection. CLJ613-06dussel.indd 262 7/30/09 9:57:38 PM “BEING-IN-THE-WoRlD-HiSPaniCaLLy ” / 263 13 I write “First of Worlds” and not “First World” for obvious reasons in order to avoid a geopolitical confusion. [Dussel reverses the normal Spanish order of noun and adjective, writing “mundo prim- ero” (“world first”) instead of “primero mundo” (“first world”). I have substituted “first of worlds” for the awkwardly literal “world first” and have done the same for the worlds that follow. — Trans.] 14 See Hipótesis, El encubrimiento del Otro, and Ética de la Liberación 15–98. Full-text versions of these first two works (as well as many others in both English and Spanish) are available at <http://www .enriquedussel.org/> I. The “First of Worlds.”13 On the “Mother’s” Side: The Eastern Extreme of the Far East When one encounters a Mexican in los Angeles or San Jose, even if one quickly realizes that the person is, for example, a Zapotec from oaxaca who speaks his/her Amerindian language and perhaps will shortly express himself/ herself more fluently in English than in Spanish, one discovers a hispano who differs from many others who identify with this same cultural, historical, and political community. In effect, the hispano always has a certain constitutive, originary reference to the Amerindian cultures. For one who belongs by race, language, culture, religion, or history to an indigenous community, this belonging is obviously much stronger, but in any case, hispanos react spontaneously to an indigenous person from latin America as a member of their own community. This can be observed in the murals that cover numerous walls in the hispanic neighborhoods of North American cities (the art simultaneously so Aztec and so Mexican, which inspired Rivera, orozco, and o’Gorman at the beginning of the twentieth century). The indigenous per- son frequently appears as a symbolic moment in these historical representations, not as a depreciated “native” but as a foundation upon which a historical identity is built. It is as if the painters of these murals wanted to say: “We have always been here! We come from Aztlán!” This referential component is essential. The his- pano (whether indigenous or mestizo) relates to America as his/her “own” ances- tral, originary continent (geographic and cultural) through “Malinche,” his/her “mother,” who provides the link with “mother earth” (“Pacha Mama” of the Andes, “coatlicue” of the Valley of Mexico, or “Tonantzín”: our little mother). This Amer- ican land was originally hispanic on the mother’s side. It was not the “vacant” land of John locke or Walt Whitman but instead full of historical-cultural signifi- cance. More than anyone else, the indigenous person merits the name “American” (americano). As we have explained in other works concerning the movement of our native peoples,14 humanity carried out a long process of civilization creation in the Afro- Asian continent, beginning with the Neolithic cultures in present-day Turkey, with cities as old as the seventh millennium BcE in Mesopotamia, passing through Egypt in the fourth millennium, and appearing in the civilizations of India and china. contrary to the Eurocentric Hegelian opinion, this was the “long march” towards the East — from the West to the East. We want to insert the origin of the cultural history of hispanos into this movement. on their maternal side, they were born in the eastern extreme of the Far East on the Asian continent — the ulti- mate West for America, beyond the Pacific ocean, the central reference for the Polynesian civilizations to which the Amerindian cultures owe so much. From there, after tens of thousands of years of traveling on foot by way of the Bering CLJ613-06dussel.indd 263 7/30/09 9:57:39 PM coMPAR ATIVE lITER ATURE / 264 15 This experience of “arriving” in Amerindia from the west should be lived by hispanos as an ontological experience of the first order. Strait, always moving towards the east, they began entering America from the north (Alaska), arriving twenty thousand years later in the south (Tierra del Fuego) by the most diverse migratory routes from eastern Asia and the west- ern Pacific. Today we are sure that all of these originary American cultures were Asian, that they passed through Mongolia, Siberia, and the islands and coasts of the western Pacific, driven out by the fiercest of peoples and fleeing towards the north. The Eskimos were the last to arrive, and they remain in Siberia and canada to this day, perhaps originally driven out by Turkish peoples. The racial similarity, down to facial features, of our indigenous peoples with the inhabit- ants of Mongolia, Indonesia, the Philippines, Polynesia, and Micronesia is widely recognized. The important thing for a reconstruction of the “historical-critical conscious- ness” of hispanos is that their native ancestors not be situated as defeated people from “nowhere,” as if they fell from heaven and were just here in America on the beaches of some caribbean islands “awaiting” the arrival of christopher colum- bus, the “discoverer” who would invest them with a “place” in history. They were the first inhabitants of America and created great urban civilizations similar to those of the Egyptians, the Mesopotamians, the people of the Indus Valley, or the people of the yellow River, chronologically continuing the journey towards the east. Arriving from maternal Asia, they had already “discovered” the entire conti- nent when the European invasion began in 1492.15 The hispano must experience existentially (subjectively and intersubjectively) the reality of having been on the American continent, in its valleys, rivers, moun- tains, jungles, etc., from the furthest reaches of human history, from millennial antiquity, “before” all of the subsequent invasions. Hispanos should know the dig- nity of being “the first,” “the oldest,” with respect to all those who would arrive “later.” This would neither demean them nor make them superior, but facilitate their experience of the free gift of receiving those who arrived from other “worlds.” Hispanos offered food (the “turkey” is an American, an Amerindian animal) to the European souls who disembarked hungry, and who would later celebrate by remem- bering the food provided to them, but forget the assassination with which they repaid those who so generously gave them hospitality with their own scarce goods in their own land. Hispanos must know and appreciate the Amerindian world, not only the exis- tence of nomadic communities (from the north of the United States down to the south of the Incan empire) or the planters of the caribbean and Amazonian grasslands, but also the imposing urban cultures of “nuclear America”: the Mayans, Aztecs, chibchas, Incas, etc. The establishment of these civilizations, their histori- cal feats, their foundational texts, their magnificent cultural, political, religious, esthetic, commercial, economic, and military structures must be recognized. His- panos should study these cultures as a moment in the constitution of their own identity, which goes on changing, growing, and developing in their steps through space and time. In this case, memory is a fundamental moment in the creation of an identity of solidarity. CLJ613-06dussel.indd 264 7/30/09 9:57:39 PM “BEING-IN-THE-WoRlD-HiSPaniCaLLy ” / 265 16 These riders arrived from china and India (by way of Kabul), reaching the Medes, Persians, Greeks, and latins. They were the first “cowboys,” who, after crossing the Arabian deserts, arrived in Andalusia as Muslim vaqueros. From there, they passed through Mexico towards the south of the continent as llaneros in the colombian plains, and as gauchos in the Argentinean pampas. Finally, they moved north through Mexico to the south of what is now the United States. Their history is already the history of the “father” of hispanos. II. The “Second of Worlds.” On the “Father’s” Side: The Far West of the Western Extreme In the fortieth century BcE, on the north of the Black Sea, there were peoples who smelted iron, domesticated the horse, and buried dead riders together with their horses.16 This was the “Kurgan” culture (in southern Russia). centuries later we observe an aggressive bronze statue of a rider with an iron sword in his hand, the figure of Francisco Pizarro in the main plaza of lima, marking the arrival in America of the culture of the horse and iron. It is the history of a people that arrived in our continent by moving from east to west. Spain and Portugal were the finis terrae (the end of the world) of this ancient system, which, beginning with Japan and china in the east, culminated in the Figure 1 . The Hispano: A “World” as “Border land” Between (In-Between) Many “Worlds” (1) From the eastern extreme of the Asian Far East; (2) From the western extreme of the European Far West; (3) The far north of the latin American South; (4) From the west of Africa; (5) The far south of the Anglo-Saxon North. CLJ613-06dussel.indd 265 7/30/09 9:57:39 PM coMPAR ATIVE lITER ATURE / 266 west with Europe. Spain was colonized by Phoenicians in the second millennium BcE and was a province of the Roman Empire at the end of the first millennium BcE. (The Indo-European language called “Spanish” was born in the Middle Ages during the Spanish “reconquest” of the Muslims, and it bears the closest resem- blance to ancient latin.) Spain would go on to shelter a christianity whose plen- itude (with Isidore of Seville) was replaced by the caliphate of córdoba as cultural center (another Spanish glory that no other European country could boast), phil- osophical center (with Ibn-Rushd), and theological center (with Maimonides). At this time, the West obtained latin versions of Greek works translated from Ara- bic or Greek itself, which in turn permitted the classical medieval thirteenth cen- tury in Paris. The “reconquest,” which began in 718 in a skirmish that tradition calls the Battle of covadonga, would last until January of 1492, when the kings of castile and Aragon occupied Granada. This “reconquest” would be continued seamlessly as the “conquest” of America. The Iberian countries had already begun the first Early Modernity in the fif- teenth century. Spain, together with Portugal (which anticipated the Spanish undertaking by a century), would produce the opening to the Atlantic, thus con- stituting the “bridge” between the ancient world and Modernity. Spain and Por- tugal originated Modernity precisely with the “invasion” of the West Indies, the abbia yala of the Kuna Indians of Panama, inadequately called “America” in honor of the Renaissance figure Amerigo Vespucci. The cultures of the far west (Europe) of the Afro-Asian continent were never “central” with respect to this gigantic civilized space. The connecting territory was the Persian empire (the Hellenists), then the Byzantine empire (the Sassanids), a region eventually occupied by the caliphate of Baghdad, the commercial “center” of the ancient system from the eighth to the thirteenth century, the five hundred years of classical Islamic culture. Europe was never hegemonic in this sphere. In fact, the north of Europe was submerged in the barbarism of the Germanic peo- ples until well into the Middle Ages. The fundamental pole of the entire conti- nent, with the greatest population, culture, and commerce, was always china and Hindustan. They were connected to the Byzantine world by the Muslim commer- cial civilization, which stretched from the Philippines to Spain, passing through Málaga, the Mughal Empire, and the kingdoms of the Middle East, as far as Egypt and Morocco. The hegemony of Genoa and Venice (both Byzantine) that had connected latin- Germanic Europe with the “ancient system” passed to Spain and Portugal by virtue of their being situated between the Mediterranean and the Atlantic, and because they achieved unity before any other country of northern Europe (Portugal in the fourteenth century and Spain in 1476 with the uniting of castile and Aragon). Spain and Portugal initiated Modernity, not northern Europe as has been previ- ously taught (an interpretation promulgated by northern Europe itself). The Ital- ian Renaissance was merely the Mediterranean awakening, brought about by the fall of the Greek constantinople, whereas Spain and Portugal inherited the Renaissance and opened the wider world of the Atlantic (the geopolitical center of Modernity). Still under the commercial hegemony of china and Hindustan, and against the Muslim ottoman world that connected these powers with Europe, Portugal discovered the Atlantic southeast with the nautical school of Henry the CLJ613-06dussel.indd 266 7/30/09 9:57:39 PM “BEING-IN-THE-WoRlD-HiSPaniCaLLy ” / 267 17 on September 17, 1656, cromwell wrote: “The first thing therefore . . . is that: . . . Being and Preservation. . . . Why, truly, your great Enemy is the Spaniard. He is a natural enemy . . . by reason of that enmity that is in him against whatsoever is of God” (qtd. in Schmitt 67). Navigator, who opened Europe to the “Arab Sea” (the Indian ocean). Spain did the same with the tropical Atlantic, connecting the caribbean with Europe thanks to the Genovese christopher columbus. The cultural collision of the easternmost part of the East (Amerindia) with the westernmost part of the West (the Iberian countries) is the most formidable inter- cultural confrontation in all world history. The land had already been completely occupied, but now humanity united in an embrace (fatal for the Amerindians)— the entwining of Malinche and cortés, “two worlds” of the many that constitute “the” hispanic world. Their meeting is incredible but nonetheless historical, and it was made flesh five hundred years ago. It is a cultural collision that the hispano carries in his/her culture, blood, and history, an embrace that the anglo cannot comprehend, experience, or appreciate. The hispano has an amazing American historical complexity, a European latino for a “father” with behaviors befitting the Islamic refinement of cordoba, Seville, and Granada, so far from the barbar- ity of Medieval Europe. The Spanish presence in America since 1492 and that of Portugal in Brazil since 1500 preceded the Dutch and English invasion of the northern coasts of America by a century. It is the beginning of the first Early Modernity, the original deploy- ment of the “World-System” about which Immanuel Wallerstein has spoken so accurately (see The Modern World System). latin America (Amerindia plus Iberian countries) is modern from its origin. It suffers the Modernity that always begins with armed violence (in latin America, Africa, and Asia), whose first sign is the “conquest” that begins in the caribbean in 1492 and arrives at the Maule River in chile in approximately 1540. “Nuclear America,” which contained the majority of the continent’s population, was occupied within fifty years. Whether mestizo or criollo, the hispano comes into relation with a part of him- self/herself when thinking about modern Europe. on the “father’s” side there is the chauvinist cortés who dominates the delicate indigenous princess Malinche in the correct interpretation of octavio Paz’s Labyrinth of Solitude, but the hispano relates nonetheless to the Amerindian cultures through his/her “mother,” and also with the Spaniard, but not in the disparaging sense of the latin Americans (the “royalists,” the “gachupines”). I think that the hispano has a geopolitical inter- est in reminding anglos of their descent from the Spain that made England trem- ble with the “Invincible Armada” at the end of the sixteenth century. In fact, when carl Schmitt wanted to give an example of the meaning of “enemy,” he cited one of cromwell’s texts about the Spanish.17 The confrontation between hispano and anglo-saxon is many centuries old, beginning before the Roman Empire but becom- ing especially bitter in the sixteenth century with the Spanish hegemony in Europe. Unlike England in the Atlantic Europe of the North Sea, which was Germanic, medieval, never in contact with the great Phoenician, Egyptian, and Greek cul- tures, and only became a part of the Roman Empire very late, Spain was situated in the Mediterranean, and was one of the historical opponents of the anglo-saxons (in contrast to Portugal, which in many cases was subsequently allied with En gland against Spain). The hispano, then, on the “father’s” side, awakens in the anglo many CLJ613-06dussel.indd 267 7/30/09 9:57:39 PM coMPAR ATIVE lITER ATURE / 268 18 And it is not too much to recall that the battle of 1571, in which Miguel de cervantes participated and where Spain defeated the ottomans, is also the end of Spain’s importance in the Mediterra- nean and the beginning of its uninterrupted hegemony over the Atlantic, the greatest geopolitical change of the last five hundred years, which Spain initiated. [cervantes’s left arm was permanently maimed while fighting in this famous battle, and he was especially proud of both his role in the battle and the resulting nickname mentioned by Dussel: El manco de Lepanto. — Tr ans.] 19 It is interesting to remember, among so many histories, the Spanish Jewish communities that fled to Portugal after their unjust expulsion in 1492. From Portugal, some (like the family of Spinoza) set out in exile towards the United Provinces of Holland. From there, some went to the Dutch caribbean colonies, for example, curaçao. The wandering Jewish community ultimately moved to New Amster- dam in New Holland. This community would remain when New Amsterdam passed into England’s hands, and it would transform itself into the Jewish community of New york long before the anglos. “bad memories” (Shakespeare knew that the “one-Armed Man of lepanto”18 ini- tiated modern literature). The anglo cannot consider hispanos an inferior people but, on the contrary, must consider them a more ancient, more numerous, and more developed people (all this, of course, until the early seventeenth century, with the decline of Spain and the ascendency of England). So the hispano should be conscious of the fact that his/her language, culture, and Baroque religion all have a European component that cannot be denied and must be integrated with his/her Amerindian past in order to constitute an inimi- table historical personality. This “other” world, which the hispano lives as his/her own, creatively combines with and comes to enrich the “first.” III. The “Third of Worlds.” Like a “Brother/Sister” of “Mestizo/a” Descent: The Far North of the South The mestizo, the “pocho” in los Angeles that octavio Paz spoke about, is a racial and cultural mixture as old as Modernity. No other race or culture can take this dignity and this stigma away from the mestizo. Martín cortés, the son of Malinche and the Spanish captain, would die in Spain, forgotten for reasons not attribut- able to war, thus demonstrating the destiny of a mestizo, a symbol of forgetting one’s origin and the meaning of one’s existence. The hispano is a synthesis (the “third of worlds”), a brother/sister of the latin Americans (who expanded into the “North”), a descendent of the first of worlds (Malinche), the second (cortés), and the third, the criollo (a white European born in America and thus American). It was one of these young criollos who founded the Jesuit reductions (reducciones) (see Dussel, a History) after having rowed canoes through the immense and infinite rivers of guaraní Paraguay, having eaten, slept, and dressed like the indigenous people of the region since childhood. The Jesuits in the reductions respected the customs of the Amerindians by going without private property, speaking Amerindian languages, and adopting local practices. The Spaniards who came from Europe could no longer understand the spirit of the hispanos (criollos) born on this continent. Hispanos are, for this reason, older “Americans” than those who would come later (by way of their indigenous “moth- ers” and the people born in these lands, whether mestizos or criollos — inhabitants of this continent since the end of the fifteenth century). The other groups who would subsequently arrive in New England (not only Africans but also Europeans from non-Anglo-Saxon regions) were fully conscious of being in a strange and already colonized land.19 on the other hand, hispanos were fully conscious of the CLJ613-06dussel.indd 268 7/30/09 9:57:40 PM “BEING-IN-THE-WoRlD-HiSPaniCaLLy ” / 269 20 Paradoxically, this is also the year that the Pilgrims arrived in the north. 21 At Harvard, there is a plaque in front of a statue of the founder that reads: “Since 1636, the first university of America.” However, in 1536 the first American center of philosophical and theological studies, the colegio de Santa cruz in Tlatelolco (now part of Mexico city), was founded by the Dominicans. In 1540, in Tiripetío, Michoacán, Alfonso de la Vera cruz founded the first Augustin- ian school. In the year 1553 just mentioned, the universities of lima and Mexico were founded with prerogatives equal to those of Salamanca, Paris, oxford, and cambridge, in philosophy, theology, law, and medicine. Hispanos can claim, on behalf of their latin American “brothers,” to have inau- gurated university studies on the continent. [Dussel is technically wrong about the inscription on the plaque at Harvard, which reads “John Harvard — Founder — 1638.” To further complicate matters, the plaque itself is factually incorrect and is even known on campus as “The Statue of the Three lies,” since 1) the figure depicted is not John Harvard but rather a student from the nineteenth century used as a model; 2) John Harvard was not the founder but rather an early financial contributor after whom the school was named; and 3) Harvard was not founded in 1638 but rather in 1636. of course, while Dussel is technically wrong about the inscription and while the inscription itself is inaccurate, Dussel is certainly right to ques- tion Harvard’s (or any other U.S. university’s) claim to being the first institution of higher education in the Americas. — Trans.] fact that these American lands were inhabited by them before any other group, including anglos. Hispanos were stripped of these lands, which were declared “vacant”; they were thus excluded from their own lands as the canaanites were excluded from theirs when Joshua occupied Jericho, coming from the desert and having been a slave in Egypt. The history of the latin American side of the hispano develops as a colonial his- tory from the caribbean to terra firma, from Panama to Venezuela and Florida, heading south by way of the viceroyalty of Nueva Granada (northern South Amer- ica, largely what is now Panamá, colombia, Venezuela, and Ecuador) along the Pacific coast of Ecuador, Peru, and chile, an area united by the mining of silver, then joining the colonizing current of the southwest Atlantic in the viceroyalty of Río de la Plata — Asunción and Buenos Aires. With Huancavélica and Potosí, silver (discovered in the Potosí Mountains in 1546) inundated Spain, Holland, and all of Europe. And by way of Portuguese land routes and ships, the colonizing current eventually reached china, stretching from Acapulco to Manila. Towards the north, the latin American colonial world expanded into central America, continental Aztec Mexico, and the realm of the yucatecan-Guatemalan Maya. Finally, the con- quering current moved north, towards the mines of Durango and Saltillo, towards california. By 1620,20 all of the latin American political organization, with its viceroys, audiencias (appellate courts), capitanías generales (colonial military and administra- tive jurisdictions not under the charge of a viceroy), town councils, etc., had been put in place. The ecclesiastical organization, with more than thirty-five dioceses (the diocese of Durango in the north and the diocese of Buenos Aires in the south were founded this year), remained practically unchanged until the end of the eigh- teenth century. The latin American colonial civilization would come to organize great universities of the rank of Salamanca (in 1553) as well as tens of university colleges and theological seminaries.21 The “lettered city” was Baroque in the sev- enteenth century and entered the Enlightenment in the eighteenth. In 1610, when arrivals from the South were reaching the far north of Mexico (the far north of latin America), the Mexican city of Santa Fe was founded in “New Mexico” ( just as Mexico was “New Spain”). In considering the southern territory currently occupied by the United States, we contemplate what was the northern CLJ613-06dussel.indd 269 7/30/09 9:57:40 PM coMPAR ATIVE lITER ATURE / 270 region of the latin American world — a world already more than a century old by then, with all of its libraries (like Puebla’s Palafoxiana), printing presses, artisti- cally imposing cathedrals, grand urban palaces, splendid fortified ports (like those of Havana, San Juan de Ulúa, and cartagena de Indias), roads, aqueducts, haci- endas, sugar refineries, etc. All of these institutions are prior to the origin of the Anglo-Saxon world in the American continent with the arrival of the Pilgrims in 1620. The Jesuit reductions and Franciscan missions in Texas, for example, tell us of the presence of hispanos in the far north of a latin America that, from Patago- nia, kept expanding northward beyond the Rio Grande/Río Bravo. The hispano is, then, a latin American, a “latino,” who, like the tip of an ice- berg, is supported by an immense cultural mass that lies hidden underwater in the shadow of history. They are a population of more than four-hundred million citizens who, like the Visigoths bound for the Byzantine Roman Empire, began crossing their own Danube (the Visigoths were also “wetbacks” moving towards the south, the hispanos towards the north). So these Northern latin Americans are conscious of having been in these lands since before the occupation of the desert, before anyone would cross the Appalachians, spread out by way of the Mis- sissippi River, or reach Texas or california from the east. Hispanos/as are the latin American brothers/sisters of the north, a latin American nation to be considered as such. IV. The “Fourth of Worlds.” The Afro-Caribbean, Another Hispano In their “world,” hispanos have yet another world of extreme vitality and antiq- uity. It originated in 1520 in Hispaniola when the conquistadors finished extract- ing gold from the rivers, finished off the indigenous Taínos in like fashion, and began the sugar cycle, for which they brought the first African slaves from Spain and later directly from West Africa (see Blackburn). Thus was born the “world” of the exiled Afro-caribbeans, which spread throughout all the islands as well as the east coast of central America, the north of Venezuela and colombia, the coasts of the Pacific down to Guayaquil in Ecuador, and Portuguese Brazil, where sugar and other tropical products became the most prized of the luso-Brazilian world. The Afro-latin American grew up creating culture, religion, myth, and rhythm while doing the interminable work that their inhuman owners demanded. They survived thanks to their music, their dance, their spirits (orishas), and their amaz- ing fortitude. The Puerto Ricans were the first Afro-caribbean population to arrive in New york at the start of the twentieth century after the United States annexed the three Spanish island colonies of the Philippines, cuba, and Puerto Rico in 1898. All hispanos adopted the rhythms of the Afro-caribbean as their own. Hispanos of indigenous background and white criollos learned the harmonious cadences of the African drum. For this reason, the racist questions posed at the North Ameri- can university — “Are you African (not Hispanic)?”— makes little sense, because the Afro-caribbean is African and also hispano. Hispanicity neither negates nor confuses africanicity. It is another “world” (the fourth) that contributes to hispanic consciousness in the United States. They are latino-caribbeans, Afro-caribbeans from Puerto Rico and the Dominican Republic with their “salsa,” cubans with their ceremonies of Santería, Haitians with their Voodoo drumbeat, and Brazil- ians with their Macumba and Candomblé. The hispano is African as well, with beau- CLJ613-06dussel.indd 270 7/30/09 9:57:40 PM “BEING-IN-THE-WoRlD-HiSPaniCaLLy ” / 271 tiful eyes (often Eastern from his/her “mother”) and sensual African lips, moving his/her hips in the dance as only a “latino” could. This is the complexity created “in-between” the borders of many worlds, “in-between” the interstices of many cultures. V. The “Fifth of Worlds.” The Far South of the North England, the British Isles, has a history different from that of Spain and Portu- gal. Antiquity and the European Middle Ages separate them. The Franciscans founded oxford and cambridge. The contingent “will” of Duns Scotus and the empiricism of the Bacons tell us of a cultural tradition distinct from that of the Dominicans, a tradition more inclined to the continental “intelligence” of Paris or Salamanca. Baroque catholicism had little to do with Anglicanism, democratic Presbyterianism, or utopic Puritanism. The absolute Spanish monarchy, fortified by American silver, defeated the nascent Spanish bourgeoisie in 1521 at the Battle of Villalar. Moreover, millions of Jews who should have been the internal financial class of the Spanish empire were thrown out and replaced by foreigners, Renais- sance Genovese merchants. In contrast, the weakness of the English monarchy permitted the first triumphant bourgeois revolution in the seventeenth century, and it was this same bourgeoisie that took charge of organizing the parliamentary state, supporting commerce, and deploying the colonial structure of the growing English empire (which would slowly replace the Iberian powers beginning in the seventeenth century). The anglo projected the growing British splendor of the seventeenth and eighteenth centuries back into the past and carefully hid the six- teenth century in the shadows, whereas the hispano must begin with the sixteenth century in order to interpret himself/herself positively and resist humiliation and domination. In America, the first anglo-saxons were preceded by the Dutch. “New England” had been “New Holland,” and “New york” had been “New Amsterdam.” Thus, the primitive utopian communities that de Tocqueville admired so much, which avoided an England under the model of Hobbes’s Leviathan (the absolute State), were already modern in the spirit of the “second” Early Modernity (of Amster- dam, london, and Edinburgh). In the eighteenth century, the North Americans creatively assimilated the Enlightenment and carried out “their” Industrial Revo- lution, not in order to diminish the proportion of wages in the value of the prod- uct but rather to permit small, free owners better production. The colonies in New England thus participated in the origin of capitalist, liberal, and industrial late Modernity, and had no other industrial or military power on the American continent that could compete with them at their level. Their expansion was a mat- ter of time. The communities of the thirteen colonies of the northeast Atlantic coast, eman- cipated from the English yoke in 1776, began to occupy the Mexican territory towards the west (the long journey towards the “far West,” which commenced by way of louisiana — also originally a part of New Spain — and continued towards the south with Texas and the west through Arizona, New Mexico, and california). They incorporated not just the territories but also the hispanic population, which, having come from before, remained trapped inside a new world unknown to them, a world that came from the northeast: the world of the United States of North CLJ613-06dussel.indd 271 7/30/09 9:57:40 PM coMPAR ATIVE lITER ATURE / 272 22 The hispanic thinker from Texas, Vergilio Elizondo, shows how the discourse of liberation of Moses leaving Egypt with the former slaves (and by extension, the utopian-christian communities that fled England or Ireland, poverty and persecution, in order to enter the “Promised land” of the “God of slaves”) is transformed into the contrasting discourse of appropriation. Joshua and the for- mer slaves take up this discourse in order to justify the conquest of the “wilderness,” that is, the land that they appropriated in the name of the “God of armies.” See Elizondo. This discourse would remain permanently in the United States, from the occupation of the “far West” to George Bush’s war against terrorism in the present, inspired by the “Western Design” of cromwell, by “Manifest Destiny” and the Monroe Doctrine, and by the narratives of Fundamentalist christian, North American expansionism. America. This “inclusion”— which would be continued by a slow hispanic disper- sion from the south towards the north during a long century — would have all the characteristics of an “expulsion” (like that of the people elected under Joshua, who defeated the canaanites at Jericho, but now with Indian or Mexican faces: his- panos ).22 This expulsion was not on behalf of foreign Europeans but now rather on behalf of the Americans from the north, who would expand by occupying territo- ries and managing the hispanic populations that remained in the south. The included populations were defenseless, without protection. consider the protagonist figure of priest Martínez (see Dussel, Fronteras), trained in the seminary of Durango in Mexico, parish priest of Santa Fe in New Mexico. He was elected as a delegate to represent his province in Mexico city on various occasions, then was part of the independent assembly of New Mexico as an autonomous state, and finally served as a representative of New Mexico in Washington. As a Mexican catholic priest in rebellion against the management of the church by “foreigners” (not hispanos), he would be excommunicated by Bishop lamy, who was of French nationality and did not understand the hispanic community, which made up the majority of the catholic population there. lamy was a bishop named by a Vati- can that trusted the North American government more than the Mexican one. Thus, the hispanos remained a people “like sheep without a shepherd.” over the course of a century, from 1848 until the end of World War II (1945), the hispanic people were ignored, oppressed, eliminated. Their language was pro- hibited. By their participation as soldiers in this war and in those that followed, by the growth of their population, by the massive Puerto Rican presence in the East, the Mexican presence in the Southwest, and the cuban presence in Florida, the political importance of the hispanic community could no longer be silenced. The social and artistic chicano movement, the syndicalism of people like césar chávez, the presence of “Fathers” and “Mothers” (priests and nuns) in the catho- lic church as well as the naming of many hispanic bishops, the appearance of polit- ical, commercial, intellectual, and artistic leaders has given the hispanic commu- nity the face of the largest minority in the United States. Mobilizations like those achieved against Proposition 187 in california have already demonstrated a com- munity becoming conscious of its rights. But the future is by no means guaranteed. The complex, rich, and “American” culture of hispanos needs to be creatively developed by acquiring greater politi- cal autonomy and refusing to jump on political bandwagons without first demand- ing conditions for the development of their communities. In fact, hispanos are now crucial to the election of the leaders of the United States because of their orga- nized presence in Florida, New york, chicago, Texas, and california. This is a his- torical opportunity to enrich the education of the members of the community, and CLJ613-06dussel.indd 272 7/30/09 9:57:40 PM “BEING-IN-THE-WoRlD-HiSPaniCaLLy ” / 273 these remarks might serve as a rough draft for a course, a seminar, a book of cul- tural history, or a sketch to teach the hispano to become conscious of his/her own millennial, centennial history. Hispanos need latin America because the nutritive “roots” of their world lie there. They need the vital reserve of millions of “brothers/sisters” who press north- ward out of a contagious hope to escape their poverty. And latin America needs hispanos. We do not need hispanos who, upon making themselves present in the south (for example, in commercial, military, or diplomatic roles), speak the lan- guage of latin American culture in order to impose the imperial Will to Power. We need them to make present an American culture, that of the south, in the great country of the north. This culture can show the North American citizen other con- tinental horizons and impart an increased responsibility for the poverty of mil- lions and for populations who are not just markets but dignified human beings. It has fallen to us to inhabit this American continent, that of the south and that of the north. We need hispanos in order to learn how to live with a diverse, hostile, aggres- sive anglo-saxon culture whose rationality is founded almost exclusively in the com- petition of homo homini lupus. But its rationality also has immense critical reserves with which we must organize a front in order to save the life of humanity today amidst the risk of collective suicide. national autonomous University of Mexico Works Cited Bhabha, Homi. The Location of Culture. london: Routledge, 1994. Blackburn, Robin. The Making of new World Slavery: From the Baroque to the Modern 1492–1800. lon- don, Verso, 1999. Dussel, Enrique. El encubrimiento del Otro: Hacia el origen del mito de la modernidad. Madrid: Nueva Uto- pia, 1993. (Trans. as The invention of the americas. New york: continuum Publishing Group, 1995.) ———. Ética de la Liberación en la edad de la globalización y la exclusion. Madrid: Trotta, 1998. (Trans. as Ethics of Liberation in the age of Globalization and Exclusion. Durham: Duke UP, forthcoming.) ———. Fronteras: a History of the Latin american Church in the USa since 1513. San Antonio: Mexican American cultural center, 1983. ———. Hipótesis para el estudio de Latinoamérica en la Historia Universal. Resistencia: Universidad del Nordeste, 1966. ———. a History of the Church in Latin america. Grand Rapids: Eerdmans, 1981. Elizondo, Virgilio. Galilean Journey. The Mexican-american Promise. New york: orbis, 1983. Heidegger, Martin. Being and Time. New york: Harper and Row, 1962. Schmitt, carl. Der Begriff des Politischen. Berlin: Dunker und Humblot, 1966. Wallerstein, Immanuel. The Modern World System. New york: Academic Press, 1974. CLJ613-06dussel.indd 273 7/30/09 9:57:40 PM 1 Comparative Literature 61.3 Abstract (Article) ENRIQUE DUSSEL “‘Being-in-the-World-Hispanically: A World on the ‘Border’ of Many Worlds” The present essay offers an interpretation of hispanos (Latin Americans and U.S. latinos) as historically, culturally, and geographically located “in-between” many worlds that combine to constitute an identity on the intercultural “border.” To illustrate how hispanos have navigated and continue to navigate their complex history in order to create a polyphonic identity, the essay sketches five historical-cultural “worlds” that come together to form the hispanic “world.” 
work_pkmygozcxzbchokpcenzodtk4q	----	SCIENCE. 193 fore, and it is assuredly not constant, in the best pos- S 1 C I Ep .N CE :sble vacuut obtainable." "\'e nmay indeed restIL ~~~~~~~~~~assured, that upon ftirther reflection, Nir. Edison A WEEKLY R.ECORD OF SCIENTIFIC will abanidoni this imperfect btrner3 The same au- thors in speaking of the "Sawyer laml," describe it PRORESS. as"Xthe best incandescent lamIip of this kinid that has b)eci itnvenittld." Suichl being the teachings of ani eduticational work, JOHN MICHELS, Ed1 tot. twritten by professed teaclhers on this suibject, let them be compared witlh the actual results achieved, and the PUBLISHED AT relative positions of the two men at this moment. 229 BROADWAY NEW YORK. Seldom has the irony of events demonstratednmore forcibly that the honest work of a man is proof P. 0. Box 8888. against the assauilts of frauduilenit or ignorant critics, - _ _____________ anad that the levelinitg influtence of time always reveals 9A;TURDAY, APRII, 3o, i88I. the truthl. Oni the various atteml)ts to imiitate Edison's lamp Since we last referre(d to IMr. Edis0on anid his incan- we shiall otfer buit a few words for imost p)ractical in- diescenit lamj), the Sul)ject hias been a(dvaniced anothier venitors are uisuially plagued by men wlho enideavor to stel)and thefinaRl stage of completeand unquali;fied (ldu)plica(te their successfutl inventions. If 'imitation is Succss achievd; permission has b)een1 granted to the sincerest of flattery" wve suppose MTr. Maxim is the lE(dison Light Company, to l)lace stirface con- merely desirous of paying Edison a high coliment ducting wires iunider the streets of New York City, Concerning Mr. Swan, of Newcastle, England, wiho and(I inl the coutrse of thle n1ext two or thuree monthls, l)rofesses to have l)erfected a horse-slhoe carbon lampi), one large (listrict of that city will be enjoying apparently idenitical to that of MIr. Edison's, we woould the ftull benefits of MNr. Edlison's system of electrical draw attentioni to the significant fact, that in Mlessrs. illuming tcration. Urquhart and(l Webb's work oni the *' Electric Light," ''l aking a retrosl)ective reviewv of public uitterances date(d as recently as April, I88o, anid published in MIr. on this (luestioni during the last eighteen months, we Swan's OWn country, not a single reference is made to now extenll our condolenice to a certain class of pro- the Swan electric lamp-in fact, his name does not fessed scientific experts who have maintained, from occtr in thelbook. Tahisip oukl apiear to be conclu- first to last, the iml)racticabilit) of Edison's well-de- sive e idence tkat neither ir. Swan, nor his lamp, were vise(l l)lans. known in England up to that date-unless lhe is in- Never in the annals of scientific discovery has a cluded among the nameless crowd, spoken of by the grosser attempt been made to lervert the trutlh, and authors, who had " repeatedly used burnt paper in va- mnislead p)ublic opinion. rioUs formiis," and( i'hofaiil/d t) secure cons/tnt results, As one instance among maniy, let us take up what z " /'t'sttissiUe VdCUllOll Obtdiilld/e/" is offere(d as a stan(lard work of reference on this subl)ject: " 'i'ie Electric Light, its Pro(luction anid Use, embodyinglplainl (lirections for thle working of CONGRESO INTERNACIONAL DE AMNIRICAN- galVanic batteries, electric lamips, dynamo-electric ISTAS. machines, etc.," by J. W. Urquhliart, C. E., edited WVe are in receipt of a pamphlet printed at iadrid, con- byF.C. W'ebb, Mt. I. C. E., . S. Tr. E. Lon- taining the official announcemeut of the above Congress,don,F C. UndermI.t. E.a n. . T. E.d and iustructions for those desirous of attending it. This don, IS80o. Under the headling, of "Edison's is the fourth meeting of an International Congress for the L.amps " wye finld " muclh interest has been taken in discussion of American Archa.ology, and wvill take place the sensational and often absurd announcements, con- on the 2;th, 26th, 27Lh, and 28th of September next.The object to be attained by this body is to contribute tocerning,, al)paratus in course of perfection by MIr. T. the progress of Ethnographical, Linguistic and Historical A..Edison, of Menilo Park, New York (?), and it was researches relative to the two Americas, especially for the in some qu*,irs nperiod prior to Christopher Columbus, and to bringntought, that when he had set him- together such persons as are interested in such studies. self about the task of inventing an etficient subdi- Among the delegates from the United States we notice vision of thle electric lighlt circuit, smt/zij,r wouldinCthe names ofP rofessor Spencer F. Baird, of Washington, all probabilitybe done." ~~Professor R. B. Anderson, of the University of WVisconsinall prob)ab)ility be done." IProfessor J. Putnam DLuncan, of the Academy of National "Trhere is little probability, however, that this lamp Sciences, Davenport, Iowa, an(d Albert S. Gatschet, (the horse-shoe carbon) will prove constant. Burnt Esq., of 304 E street, N. W. Washington, D. C., to inpvariousaformsphasebeenrtried be- ~vhose courtesy we are indebted for a copy of these officialpaper ivaiufomhabenrepeatedly tidb-instructions. o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ SCIENCE DOI: 10.1126/science.os-2.45.193 (45), 193.os-2Science ARTICLE TOOLS http://science.sciencemag.org/content/os-2/45/193.1.citation PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.Science for the Advancement of Science, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American AssociationScience 1881 by American Association for the Advancement of Science o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/os-2/45/193.1.citation http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_plbdrg5jvfaolcq27qto7yrice	----	BA500409.pdf Neotropical Primates 18(2), December 201162 Eisenberg, J. F. e Redford, K. H. 1999. Mammals of the Neotropics. The University of Chicago Press, Chicago. Emmons, L. H. 1984. Geographic variation in densities and diversities of non-flying mammals in Amazonia. Bio- tropica 16: 210–222. Ferrari, S. F. 1993. Ecological differentiation in the Cal- litrichidae. Em: Marmosets and tamarins: systematics, be- haviour, and ecology, A. B. Rylands (ed.), pp.314–374, Oxford University Press, Oxford. Forget, P. M. 1993. Post-dispersal predation and scatter- hoarding of Dipteryx panamensis (Papilionaceae) seeds by rodents in Panama. Oecologia 94: 255–261. Galetti, M.; Paschoal, M. e Pedroni, F. 1992. Predation on palm nuts (Syagrus romanzoffiana) by squirrels (Sciurus ingrami) in south-east Brazil. J. Trop. Ecol. 8: 121–123. Meneses-Filho, L. C. L.; Ferraz, P. A.; Ferraz, J. M. M. & Ferreira, L. A. 1995. Comportamento de 25 espécies arbóreas tropicais frutíferas introduzidas no Parque Zoobotânico, Rio Branco –Acre –Volume 3. Rio Branco: UFAC / PZ. Miranda, J. M. D. 2005. Dieta de Sciurus ingrami Thomas (Rodentia, Sciuridae) em um remanescente de Floresta com Araucária, Paraná, Brasil. Revista Brasileira de Zoolo- gia 22: 1141–1145. Moynihan, M. 1976. Notes on the ecology and behavior of the pygmy marmoset (Cebuella pygmaea) in Amazo- nian Colombia. Em: Neotropical primates: field studies and conservation, R. W. Thorington Jr. e P. G. Heltne (eds.), pp.79–84. National Academy of Sciences, Washington. Paschoal, M. e Galetti, M. Seasonal food use by the squir- rel Sciurus ingrami in Southeastern Brazil. Biotropica 27: 268–273. Patton, J. L.; Silva, M. N. F. e Malcolm, J. R. 2000. Mam- mals of the Rio Juruá and the evolutionary and ecologi- cal diversification of Amazonia. Bull. Am. Mus. Nat. His. 244: 85–90. Reis, N. R.; Almeida, I. G. e Lapenta, M. G. 2008. Gênero Cebuella Gray 1886. Em: Primatas Brasileiros, N. R. Reis; A. L. Peracchi e F. R. Andrade (eds.), pp.73–75, Techni- cal Books Editora, Londrina. Rylands, A. B.; Coimbra-Filho, A. F. e Mittermeier, R. A. 2009. The systematics and distributions of the marmo- sets (Callithrix, Callibella, Cebuella, and Mico) and Cal- limico (Callimico) (Callitrichidae, Primates). Em: The smallest anthropoids: the marmoset/Callimico radiation, S. M. Ford; L. M. Porter e L. C. Davis (eds.), pp.25–61. Springer, New York. Silveira, M. 1999. Ecological aspects of bamboo-dominat- ed forest in southwestern Amazonia: an ethnoscience per- spective. Ecotropica 5: 213–216. Soini, P. 1982. Ecology and population dynamics of the pygmy marmoset, Cebuella pygmaea. Folia Primatol. 39: 1–21. Soini, P. 1988. The Pygmy Marmoset, Genus Cebuella. Em: Ecology and behavior of Neotropical primates –volume 2, R. A. Mittermeier; A. B. Rylands; A. F. Coimbra-Filho e G. A. B. Fonseca (eds.), pp.79–129. World Wildlife Fund, Washington. van Roosmalen, M. G. M. e van Roosmalen, T. 1997. An eastern extension of the geographical range of the pygmy marmoset, Cebuella pygmaea. Neotrop. Primates 5: 3–6. Vilela, S. L. 2007. Simpatria e dieta de Callithrix penicillata (Hershkovitz) (Callitrichidae) e Cebus libidinosus (Spix) (Cebidae) em matas de galeria do Distrito Federal, Brasil. Rev. Bras. Zool. 24: 601–607. Wilson, D. E. e Reeder, D. M. 2005. Mammal species of the world: A taxonomic and geographic reference. The Johns Hopkins University Press, Baltimore. Yépez, P.; de La Torre, S. e Snowdon, C. T. 2005. Inter- population differences in exudate feeding of pygmy mar- mosets in Ecuadorian Amazonia. Am. J. Primatol. 66: 145–158. FURTHER INFORMATION ON NEOTROPICAL MONKEYS IN THE XVI CENTURY: PART 3 Bernardo Urbani Here, I report on further descriptions and mentions of Neotropical monkeys when Europe first began its coloniza- tion of the New World. In 1498, Christopher Columbus (hereafter referred to as C. Colón) landed on the island of Trinidad, four days before stepping foot on continen- tal America in Paria, Venezuela. Hernando Colón (1488– 1539), son of the admiral of Genoa, wrote a chronicle about the travels of his father, including the day he first visited Trinidad. H. Colón indicated in his posthumous work (1571) that “in the point named Galea [currently known as Galeota Point, southeastern Trinidad]… They found many animal footprints that looked like goats, and also bones from one, but, since the head did not have horns, they believed it was a gato paúl, or monkey, later they knew that it was, since they saw many gatos paúles in Paria. That same day, August first [1498], sailing between Cape Galea and Cape Playa, to starboard, to the South, we saw Tierra Firme…” (H. Colón 1932: 132). As in the report of C. Colón about primates in Paria (Colón 1996, Urbani 1999), this mention not only refers to the first ob- servation of remains alleged to be a monkey on the island of Trinidad (probably Cebus albifrons trinitatis or Alouatta macconelli), but also remarks on monkeys on the continent (A. arctoidea or C. olivaceus) seen by C. Colón a few days later in northeastern Venezuela. Regarding the first report about monkeys on terra firma written by C. Colón in 1498 (Colón 1996, Urbani 1999), Pedro Martir de Anglería (1457–1526) added further in- formation in 1500 indicating that “Another very singular thing the Admiral [C. Colón] has told me, and which is confirmed by his companions (all worthy of credence and whom I carefully questioned concerning the details of the voyage), is that he sailed twenty-six leagues, that is to say, one hundred and forty-eight miles, in fresh water; and the farther he advanced to the west, the fresher the water Neotropical Primates 18(2), December 2011 63 became. Finally, he saw a very lofty mountain, of which the eastern part was inhabited only by a multitude of mon- keys with very long tails. All this side of the mountain is very steep, which explains why no people live there… It was learned by signs that that country was called Paria, that it was very extensive…” (Anglería 1912: 75). P. M. de Anglería also indicated that in the regions of Curiana and Cauchieta, in today’s Venezuela where the Peninsula of Paria is located, “The Spaniards brought away some very pretty monkeys and a number of parrots of varied colors, from that country” (Anglería 1912: 85). This seems to be the first report of primate trafficking from the Neotropics. The monkeys were probably wedge-capped capuchins (C. olivaceus) or howler monkeys (A. arctoidea). In 1504, Angelo Trevisan, assistant to the Venetian ambas- sador to the Spanish Crown, provided information on the primates encountered in continental America (Vannini de Gerulewicz 1989). He narrated part of the story of Pedro Alonso-Niño (1569–1502), who in 1499 directed an expe- dition to the region of Paria. Trevisan (1989: 151) wrote that “Entering the island [refers to terra firme = Paria], they saw forests with the tallest dense trees, from where voices of animals filled the country with strange howls. But they saw that there were no dangerous animals, because the local in- habitants of those forests walked quietly, without fear, with their bows and spears. ” Considering the particular tenden- cy of reporting primates in the earliest XV century chroni- cles (Urbani 1999, this study), it is quite probable that the above mentioned animals with their particular vocalization were almost certainly howler monkeys (A. arctoidea). Few illustrations have been found that show primates from Brazil during the XVIth century. In 1557, the German trav- eler Hans Staden (1525–1579) provided an illustration of a primate together with Amerindians and a European (Fig. 1). In 1558, the French traveler and cleric André de Thevet (1502–1590) published his Les singularitez de la France Ant- arctique. This book has illustrations of three primates with humans (Fig. 2). Thevet visited the region of Rio de Janeiro, and it seems he was recording how Tupi Amerindians inter- acted with monkeys (see also Urbani 1999). In 1585, Jean de Léry’s Histoire d’un voyage faict en la terre du Bresil,… published not only descriptions of primates from the Brazil- ian coast but also an illustration. De Léry (1536–1613), a French explorer, visited the land of the Tupi in eastern Brazil. In this book, he presented an illustration of Tupinamba Am- erindians with a monkey (Fig. 3). In 1592, the publisher Theodore de Bry (1527–1598) printed a scene in the Brazil- ian coast of an indigenous community with Europeans and mythological entities, where a monkey was included (Fig. 3). These primates seem to be similar in term of the style with those illustrated Old World primates represented in the in- cunable books produced during the first century of printing (B. Urbani, unpublished). By 1558, the renowned Swiss naturalist Konrad Gessner (1516–1565) already published his Historiæ animalium. This work included a review of the primates known in Europe by the first half of the XVIth century. In 1560, Gessner published his Icones animalium where the pre- Linnean zoologist published what seems to be the first sci- entific representation of a Neotropical monkey. The author showed different Old World monkeys such as a baboon and a macaque, primates from the Medieval imaginary, as well as the sagoin as an illustrated primate from the Americas (Fig. 1). A brief profile of this monkey, a marmoset (Calli- thrix sp.), is also presented. He noticed morpho-behavioral characteristics such as its small size, and its agile and elusive nature. Gessner used the term Galeopithecum for referring to this primate. Acknowledgments Thanks to the Rare Book and Manuscript Library of the Uni- versity of Illinois at Urbana-Champaign and its personnel for their great support while visiting it on numerous occasions as well as the Library of Congress. The author would appreciate any comments and references for future updates. Figure 1. The monkey of Hans Staden (1557, left), and the “sagoin” of C. Gessner (1558, right). Figure 2. The monkeys of André de Thevet´s Les singularitez de la France Antarctique. Figure 3. The monkey of the Tupinamba in Jean de Léry (1585)’s chronicle (left), and Theodore de Bry (1592, right). Neotropical Primates 18(2), December 201164 Bernardo Urbani, Centro de Antropología, Instituto Vene- zolano de Investigaciones Científicas, Apartado 66.755, Caracas 1061-A, Venezuela E-mail: <bernardourbani@ yahoo.com>. References Anglería P. M. de. 1912. De Orbo Novo the eight decades of Peter Martyr D’Anghera. Vol. 1. Putnam, New York. (Translated from the Latin with notes and introduction by Francis Augustus MacNutt). Bry, T. de. 1592. America tertia pars. Memorabile provinciæ Brasiliæ Historiam. Officina Theodori de Bry, Frankfurt. Colón, C. 1996. Los cuatro viajes. Testamento. Alianza Edi- torial, Madrid. Colón, H. 1932. Historia del almirante don Cristóbal Colón por su hijo don Hernando. Tomo Primero. Librería General de Victoriano Suárez, Madrid. Gessner, C. 1560. Icones animalium quadrupedum vivip- arorum et oviparorum, quae in historiae animalium Con- radi Gesneri libro I et II. Describuntur, cum nomenclaturis singulorum latinis, graecis, italicis, gallicis, et germanicus plerunque, et aliarum quoque linguarum, certis ordinibus digestae. Excudebat C. Froschoverus, Tiguri. Léry, J. de 1585. Histoire d’un voyage faict en la terre du Bresil, autre- ment dite Amerique. Antoine Chuppin, Geneva. Staden, H. 1557. Warhaftige Historia und beschreibung eyner landtschafft der Wilnen Nacketen Grimmigen Men- schfresser Leuthen in der Newenwelt America. Andre% Kolben, Marburg. Thevet, A de 1558. Les singularitez de la France Antarctique. Imprimerie de Christophe Plantin, Antwerp. Trevisan, A. 1989. Libretto de tutta la nauigationes de Re de Spagna de le isole et terreni nuouamente trouati. In: Vannini de Gerulewicz M. (ed.), El Mar de los Descu- bridores. Fundación de Promoción Cultural de Venezuela. Colección Viajes y Descripciones, Caracas. pp. 111–158. Urbani, B. 1999. Nuevo mundo, nuevos monos: sobre primates neotropicales en los siglos XV y XVI. Neotrop. Primates 7(4): 121–125. POPULATION DENSITY OF THE RED HOWLER MONKEY (ALOUATTA SENICULUS) IN A TROPICAL DRY FOREST FRAGMENT IN NORTHWESTERN COLOMBIA Juan Carlos Mejía Flórez Jorge Andrés López Delgado Introduction The tropical dry forest is one of the most endangered habi- tats in Colombia. This habitat has been reduced to 1.5% of its original range due to anthropogenic effects (Murphy and Lugo 1986; Ramírez and Tesillo 2001). New World primates are dependent on arboreal habitats, so habitat loss in this region has caused primates to be restricted to the remaining forest fragments. Although habitat destruction continues to threaten Neotropical primates (Defler 2003; Michalski and Peres 2005), there are some species that can persist in these disturbed ecosystems (Crockett 1998; Hor- wich 1998). The red howler monkey (Alouatta seniculus) is the primate with the largest range of distribution in Colom- bia (dwelling in habitats from 0 to 3200 meters above sea level) and seems to be the most adaptable of these primates, occurring in habitats with a minimal amount of forest where other species of primates have disappeared (Crockett 1998; Horwich 1998; Defler 2003). Although A. seniculus is not considered endangered in Colombia (it is categorized as “Low Concern” for this country) (Defler 2003), popula- tions of this species inhabiting tropical dry forest could be threatened with extirpation due to habitat loss and frag- mentation. Although A. seniculus is one of the most studied Neotropical primates, few studies have reported the status of its populations in tropical dry forest fragments (Green 1978; Salazar 2000; Avila and Padilla 2005). This study reports a survey of A. seniculus in a conserved remnant of tropical dry forest at Hacienda El Ceibal, Municipio de Santa Catalina, Bolívar, Colombia with the aim of estimat- ing density and evaluating population structure of this spe- cies in the area. At the study site the Fundación Proyecto Tití (FPT) has carried out long-term investigations on the cotton-top tamarin, Saguinus oedipus, and led conservation activities including community-based programs. Methods Study area Data were collected from the remnant of tropical dry forest (300 ha) at Hacienda El Ceibal (10°37'36" N; 75°14'50"W) located in northwestern Colombia (Figure 1). This forest fragment is located in the northern part of the Hacienda El Ceibal and is surrounded by pasture for cattle ranching. The study area has a maximum elevation of 34 m.a.s.l. and tem- perature ranges from 24 to 38 °C. Rainfall (1200 mm/yr) varies seasonally with two dry seasons, one from January to March and one in December. Ramírez and Tesillo (2001) report that 75–80% of the trees lose their leaves during the dry season of January to March. Although this forest fragment is not a national park or sanctuary, it is under protection for conservation by the Fundación Proyecto Tití since the establishment of biological station in 1999. Three species of primates inhabit this forest fragment: S. oedipus, A. seniculus, and Cebus capucinus. However, of these three primate species, only S. oedipus had been subject of studies in this area. Data collection We estimated the density of red howler monkeys follow- ing the protocol presented by Peres (1999). From Novem- ber 28 to December 1, 2005, five transects ranging from 800 to 1200 m were prepared from south to north in the forest fragment (Fig. 1). These five transects were walked from December 2005 to February 2006. Transects were 
work_poi6vgwzera6jmdzsizg5ie7v4	----	© 1989 Nature Publishing Group http://www.nature.com/naturebiotechnology• IDf'fOI Douglas K. McCormick IISUICII IDIIOI IWIAGING IDITOI Harvey Bialy Jennifer Van Brunt - IDITOI ISSOCIATI IDITOI Mark Ratner Pamela Knight COIIIIIIUTlll5 IDITOIS Jeffrey Fox PIIOIUfflOII llfflll Christin R. Ciresi Bernard Dixon IDffllllAl ASSISl'MI Elizabeth Harris AlfDmCl'OI Dennis Ahlgrim l'IODUfflOII IIAIIIII Ellen Rosenthal ...... Gary M. Rekstad ADVIITISIN& SlllS MAIIAGH George F. Cominsky IUIIOPWI ADVanSIIG MANAal Fiona Anderson CIICUIATIOII DIIKJOI James Skowrenski fVlFIUMINT MINARI Bruce Shriver, Jr. EDITORIAL CORRESPONDENCE: BIOffECHNOLOGY, 65 Bleecker St., New York, NY 10012. Telephone: (212) 477-9600. Telex: 668497UW Fax: (212) 505-1364. B!OffECHNOLOGY, 4 Little Essex Street, London WC2R 3LF. Telephone: (01) 872 0103. Telex: 262024 Fax: (01) 240 2408. SClllfflflC UVISOIY 10A1D George Poste, Chairman Smith Kline & French Ken-ichi Arai DNAX Research Institute Teruhiko Beppu University of Tokyo Ronald E. Cape Cetus Corporation Jean-Pierre Cbangeux lnstitut Pasteur Mary-Dell Chilton C IBA-Geigy Nam-Hai Chua Rockefeller University Rita R. Colwell University of Maryland, CARB Arnold Demaio Massachusetts Institute of Technology J. Lawrence Fox Abbott Laboratories David Goedde) Genentech Leroy Hood California Institute of T echnology Morio Ikehara Protein Engineering Research Institute Ernest Jaworski Monsanto Compa ny lr'Ving Johnson Eli Lilly Research Laboratories David Mount University of Arizona Victor Nussenzweig New York University Medical Ce nter Carl-Gustaf Rosen Abitec AB Kendall Smith Dartmouth Medical School Yukio Sugino Takeda Chemicals Marc Van Montagu Plant Genetic Systems Lemuel B. Wingard University of Pittsburgh Wataru Yamaya Mitsubishi Chemical THE FIRST WORD 1492 AND ALL THAT T his is the story of an entrepreneur-and of the single-minded vision and inspired bumbling that are the innovator's bane and glory: In the early '80s, a small businessman with a big idea started looking for financial backers. He wanted to extend a family business (supplying R&D- oriented enterprises) to pursue a new route to low-volume, high-value com- modities, including therapeutics, flavors, and fragrances . He put together a business plan that was, shall we say, overly optimistic: It reflected only a third of the effort necessary to reach the enterprise's stated goals. Over the next few years, he repeatedly sought capital, and interested financiers repeatedly sought advice from leading scholars-advisory boards that uniformly rejected the entrepreneur's science as shoddy and his thinking as wishful. Ultimately, however, through force of personality and utter conviction, he persuaded a pair of private investors to support him to the tune of about 2 million. As it turned out, the experts were right. The would-be discoverer had badly underestimated the scope of the problem. Worse, he ran smack into several totally unanticipated and nearly insuperable obstacles. But some of his intermediate results proved unexpectedly valuable. While it has been argued that his research discovered nothing that others had not found before, there is little doubt that the entrepreneur's skill and care enabled him to repeat the results time after time, expanding them to commercial scale-a feat his predecessors had been unable to manage. Within a few years, the concern was shipping large quantities of valuable products, including an over-the-counter drug that ultimately outsold Valium and aspirin, becoming the foundation of great fortunes. The founder enjoyed little of this success, though. He could envision, plan, and discover, but he could not administer. As proceeds fell behind promises, the company's backers grew restive. Ultimately, they brought in a new COO and reduced the founding CEO to a figurehead. At the same time, claiming non-performance, the backers withheld the founder's substantial participation in the enterprise's profits. The predictable round of lawsuits ensued, lasting for more than 20 years-ending when the founder's heirs accepted a relatively modest settlement. The story is familiar. What is surprising is that the type should be so durable: the entrepreneur in this case is Christopher Columbus, who, almost five centuries ago this month, set sail for Japan in search of gold, spices, medicinal herbs, and the Great Khan of Cathay. Instead, he found gold, tobacco, the Indians, and America. He was a contradiction, as are most of today's business-builders: A spell- binding vision ary and a fine technician-a superb sailor and coastal navigato r-but weak on geographical theory and nearly hopeless at celestial n av igation. Between bull -headedly overestimating the eastward sweep of Asia and underestimating the circumference of the earth, the Great Navigator managed to pare the distance between the Canary Islands and japan down to 2,400 nautical miles. The actual distance is about 10,600 nm, and the best 15th Century scholarship would have put it at about 9,600 nm. Opposition had nothing to do with the earth being flat: If America ha dn't been there, no one would h ave heard from the Nina, the Pinta, and the Santa Maria again. And when he did finally bump into Cuba, Columbus's star-sights con- sistently p ut the island on the latitude of New York City. But the errors and missteps don' t seem to matter now. What we remember is the discoverer, a nd the discovery and what it has become. So h ere is to serendipity, and to the birth, in the waning days of the Mid- dl e Ages, of the modern entrepreneur. Long may he bumble. -Douglas McCormick B10/lK HNOLOGY VOL. 7 AUG UST 1989 741 1492 AND ALL THAT 
work_pojaxzruwzcrjjpxnnyv536dtu	----	83 Mexican awL eviewR VII New Series Number 1 V O L U M E * J.D., University of Sonora; LL.M., University of Minnesota. I wish to thank two friendly, anonymous reviewers for their valuable contributions and suggestions. Any mistakes are sole responsibility of the author. WHAT CAN MEXICAN LAW SCHOOLS LEARN FROM THE AMERICAN LEGAL REALISTS? Luis Alfonso navarrete aLdaco* aBstract. This article offers (a) a basic exposition of what some members of a certain generation of legal scholars said with regards to legal education; and (b) an effort to link those ideas with a specific issue of legal education in gen- eral, and Mexican legal education in particular. With regards to these points, the idea is to go beyond the traditional approach to theory and practice, i.e., that theory is independent or even irrelevant in some cases with regards to matters of practical knowledge. Contrary to this approach, it is assumed that there is a strong relationship between theory and practice, and that they both comple- ment each other. The purpose is to show: (a) that the ideas of the legal realists regarding training for practice during legal education is useful for general legal education; (b) that the implementation of some of these ideas in Mexican legal education would invariably help to graduate more conscious and prepared legal professionals; and (c) that the implementation of these ideas does not require much effort, only the willingness of universities and faculty to go beyond tra- ditional, localist approaches to legal education, towards a more realistic view. key words: Legal education, social sciences, legal realism, professionalism. resuMen. Esto no es más que: a) una exposición básica de lo que algunos miembros de cierta generación de juristas dijeron con respecto a la educación legal, y b) un esfuerzo por vincular las ideas con un tema específico como la educación jurídica en general, y la educación legal mexicana, en particular. Con respecto a estos puntos, la idea es ir más allá del enfoque tradicional de la teoría y la práctica, es decir, que la teoría es independiente o incluso irrelevante en algunos casos con respecto a asuntos de conocimiento práctico. Contrariamente a este enfoque, se supone que hay una fuerte relación entre la teoría y la práctica, y que ambos se complementan entre sí. El propósito es demostrar: a) que las ideas de los realistas legales en materia de formación para la práctica durante la formación jurídica es útil para la enseñanza del derecho en general; b) que la aplicación de algunas de estas ideas en la educación jurídica mexicana invaria- blemente pueden ayudar a graduar profesionales del derecho más conscientes y www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW84 Vol. VII, No. 1 preparados, y c) que la aplicación de estas ideas no requiere mucho esfuerzo, sólo la voluntad de las universidades y de la facultad de ir más allá de los enfoques tradicionales, localistas a la educación legal, hacia una visión más realista. PaLaBras cLave: Enseñanza del derecho, ciencias sociales, realismo jurídico, profesionalismo. taBLe of contents i. Mexico: LegaL cuLture, and LegaL education reforM ............. 84 ii. sPecific ProBLeMs regarding Mexican LegaL education ........... 89 iii. what can Mexican Law schooLs Learn froM the history of north-aMerican LegaL education .......................................... 92 1. Legal Realism and Legal Education ............................................ 97 2. The Social Sciences and the Legal Curriculum .......................... 100 iv. towards a More coMPrehensive LegaL education for Mexico ............................................................................................ 104 i. Mexico: LegaL cuLture, and LegaL education reforM A 2006 survey, carried out by the Center for Economic Research and Teach- ing (CIDE) in three states of Mexico, shows that 80% of those accused never actually faced or spoke before a judge. In addition, 82% of the accused were “prosecuted for offenses against property and for amounts under 5,000 pesos (about USD 4009).”1 Mexican legal culture is characterized by being exces- sively formalistic. Criminal proceedings (and the trials themselves) can take years to get finally solved. And, while cases get solved, most accused remain in pre-trial detention, as in Mexico one is guilty until proven otherwise. “The accused is considered an object under investigation rather than a subject with rights.”2 Public defense is a right. Unfortunately, public attorney’s salaries are very low, and they are not part of civil service career. An accused that cannot afford a private, independent lawyer would receive, more likely than not, in- sufficient legal advice by public attorneys. As most accused do not defend themselves properly, public prosecutors generally do not professionalize in 1 MarceLo BergMan, eLena azaoLa & ana L. MagaLoni, deLincuencia, MarginaLidad y deseMPeño institucionaL. resuLtados de La segunda encuesta a PoBLación en recLusión en eL distrito federaL y en eL estado de México (CIDE, 2006). 2 criMinaL Justice constitutionaL reforM, chaMBer of senators and chaMBer of dePuties, Mexican congress, 2008. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 85 their respective fields of crime investigation (and neither are they asked for it by public institutions). This causes, at the same time, that most innocent, low income accused usually pay the price of staying in prison, while most guilty, high income accused are free. Along with this circumstance is the fact that Mexico is facing a complex situation, given the high rise of crime rates and the presence of organized crime in several states of the country. The most notorious event lately3 is still present in Michoacán, Mexico, where citizens perform law enforcement ac- tions against organized crime, without governmental authorization. To fight against these and other long-term, institutionalized irregularities, in 2008, the Mexican Congress passed a constitutional reform that turned the old, inquisitorial system into an accusatory, procedural criminal system that is supposed to gradually end with the number of irregularities that Mexican institutions have faced throughout decades, if not centuries. The deadline for each state of the country is 2016, that is, a period of eight years for each to gather enough economic resources, adapt their respective local criminal codes to what the constitution demands, build proper establishments for trials and administrative offices, equipped with video-recording systems, and train justices, judges, clerks, and legal officials in general. Professionalization of the police forces, both at a local and federal level, is also a pillar of the reform (fight against criminal corruption is the target). As for the structure of the reform itself, it establishes an “accusatory court procedural system, regulated by the principles of public access, con- frontation and cross-examination, concentration, continuity, immediacy and impartiality.”4 The principles just mentioned, according to the official de- scription of the reform, published by Congress, are only possible under a set of procedural rules that establish that any judicial proceeding takes place in public proceedings, carried out orally by everyone present in court: judges, clerks, lawyers, prosecutors, witnesses, etc., all of them. No party is able to speak before the judge without its counter-party being present (today, any party can speak with the judge without the presence of others involved). Another important feature of the decision making process established by the constitutional reform is the principle of free assessment of evidence, which requires that judges ground and explain in a professional manner their rulings, as article 16 of the Constitution establishes. The rights of the victims and the accused are expanded in a positive way; alternative dispute resolution mechanisms are offered to avoid high prison rates (overpopulation is the case in most national prisons); and “a quality public defense service will be guaranteed for the general public, and public defenders will be ensured of the conditions to pursue a professional career 3 I am writing in March, 2014. 4 David A. Shirk, Criminal Justice Reform in Mexico: An Overview, 3 (2) Mexican L. rev. 189 (2011). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW86 Vol. VII, No. 1 service, establishing that public defenders’ salaries may not be lower than those of the Public Prosecutors.”5 Regarding organized crime and the fight against it, the reform establishes the grounds for more powerful law enforcement institutions, and severe mea- sures against growth of organized crime. It is obvious that what comes in 2016 is somehow uncertain. True is that, as is shown below, efforts are being made by institutions to implement the system in a proper way in most states, and also at a federal level. However, the process for each state of gathering enough resources for future changes is of a significant complexity. Just imagine what it takes (and how much it takes) to redraft criminal codes, set up buildings of considerable size, infrastructure, and technology, and train hundreds, if not thousands, of legal officials. Shirk argues6 that there are both positive and negative aspects of the pro- cess of implementation that can be taken into account. On the positive side, many institutions, national and international, are working in the implementa- tion. First of all, there is the National Fund for the Strengthening and Modern- ization of Justice Promotion (Fondo Nacional para el Fortalecimiento y Mod- ernización de la Impartición de la Justicia), which sponsors training programs for judges and officials, as well as the drafting of a model procedural code for the entire country (which is about to be enacted by Congress). Financial as- sistance and training has also been granted by the Rule of Law Initiative of the American Bar Association (ABA). As for economic assistance, 266 million pesos were distributed federally in 2010 by the government, in 19 recipient states of the 32, for the implemen- tation of the new process. The National Commission of Higher Courts of Justice (CONATRIB) continually offers courses to train judges and clerks at the state level.7 Regarding the negative aspects, it is true that educational materials are dis- tributed for legal officials, especially judges, public defenders and prosecutors. However, there are around 40,000 lawyers and 400,000 law enforcement of- ficers in the country, whom will also need some training. With regards to law enforcement officers, Shirk says that “[i]f they are to develop into a professional, democratic and community-oriented police force, they will need to be properly vetted, held to higher standards of accountabil- ity, given the training and equipment they need to do their jobs, and treated like the professionals they are expected to be.”8 But how is that possible in a 5 PreaMBLe and fuLL text of the 2008 criMinaL Justice constitutionaL reforM, chaMBer of senators and chaMBer of dePuties, Mexican congress, 2008. 6 See Shirk, supra note 4. 7 PreaMBLe and fuLL text of the 2008 criMinaL Justice constitutionaL reforM, chaMBer of senators and chaMBer of dePuties, Mexican congress, 2008. 8 See Shirk, supra note 4, at 226. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 87 legal system in which the requisites to become a police officer are reduced to having studied only up to the secondary level of instruction? Similarly, those who currently practice law as an independent, professional career, i.e., lawyers, and also students that would become lawyers in a few more years (or eventually), will be part of the process. And being part of it at such an early stage will more likely than not bring about many unpredict- ed situations, and patience is required to get through and solve those issues. Some creativity is also welcomed. It is true that the new legal system could be shaped by the most profession- al and uncorrupt lawyers and judges. But the opposite could also be true. The compromises of national higher education institutions are obviously more inclined not only to structure, but to promote that professionalism and the ethical considerations of each profession continue to be taught to students efficiently. Nevertheless, why as of today just a few law schools have adapted their programs to the new legal system to be in place in 2016? Is that a sign of look- ing for professionalism? Currently, most programs were designed years, if not decades, ago, and the skills and methods needed back then, and those needed today, have changed in a fast-paced and characteristic way. Is it impossible to modestly anticipate the issues to come for the new legal system? Moreover, would it be impossible to (again, modestly) avoid some of those potential, unpredicted situations mentioned above? “Enabling Mexico’s legal profession to meet these higher standards will require a significant revi- sion of educational requirements, greater emphasis on vetting and continu- ing education to practice law, better mechanisms to sanction dishonest and unscrupulous lawyers, and much stronger and more active professional bar associations.”9 With regards to legal education in Mexico, it appears to be an unexplored subject in Mexican legal academia.10 Since the 1950s, only a handful of books and articles regarding national legal education have been published. The most influential of those being the studies of Héctor Fix-Zamudio and Jorge Witker (for the period from the 1960s to 1970s), and more recently Fix-Fierro & López-Ayllón.11 Up-to-date field work and research is scarce, with the recent exception of the writings and up-to-date research of Luis Fernando Pérez Hurtado. What follows is a description of the structure of Mexican legal education, taking into account issues that go from standards of authorization for law 9 Id. 10 Luis Fernando Pérez Hurtado, An Overview of Mexico’s System of Legal Education, 1(2) Mexican L. rev. 53 (2009). 11 héctor fix-zaMudio, MetodoLogía, docencia e investigación Jurídicas (12th ed. 2004); antoLogía de estudios soBre enseñanza deL derecho (Jorge Witker ed., 1976); deL goBierno de Los aBogados aL iMPerio de Las Leyes. estudios socioJurídicos soBre educación y Profesión Jurídicas en eL México conteMPoráneo (Héctor Fix-Fierro ed., 2006). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW88 Vol. VII, No. 1 schools, admissions standards for students, structure of curricula, academic process, graduation standards, to concerns regarding faculty, limited resourc- es, etc. As mentioned above, the above subjects are described as they appear in the Legal Education Reform Index (LERI) for Mexico of the American Bar Association Rule of Law Initiative in Mexico of June, 2011.12 Positive elements and weaknesses of the legal education system are identified, and proposals for change are offered. But first, some statistical information is nec- essary to take into account: According to the latest LERI for Mexico, by 1998, 170,210 students were enrolled in 364 institutions, which in total offered 367 law degrees (Bachelor of Laws). In 2007, around 240,000 students were enrolled in 930 institutions, which in total offered 1,130 law degrees. That is, the increase in enrollment from 1998 to 2007 is of 41%, while there is a 156% increase in institutions of higher education that offer a law degree, and a 208% increase in law degrees. “In other words, in the past ten years, approximately every week a new law school begins to offer one or two new (Bachelor of Laws degrees) to 134 new law students.”13 As for the job market for lawyers, the National Association of Universities and Higher Education Institutions (ANUIES) performed a study in the 1990s in which it found that law was one of thirteen programs that had a “high enrollment surplus”, “critical” for the job market. The surplus was of 47% for law graduates. “The ANUIES study concludes that law graduates, like those in other critical programs, ‘may be unemployed, and at best, they may find a low quality occupation that is not a professional career. This implies a considerable amount of sub-employment for professionals.’”14 It could be argued that there is a relationship between the quality of legal education, the quality of the services offered by lawyers, and the efficiency of the legal system. The better legal education is, the better services will be offered by lawyers and legal institutions in general. Unfortunately, the rules to follow for Mexican legal education institutions when establishing their re- spective law schools are flexible, and there are different ways to start up a law school. What does it take to start up a law school in Mexico? A very straightfor- ward answer would be as follows: “opening [law school]... does not require a large investment. All you need is a classroom and one or several part-time professors. There is no real need to invest in a library (maybe a basic one), nor [is there any need] for an ambitious research program and publications.”15 12 Elaborated under the supervision of Luis Fernando Pérez Hurtado (director of Centro de Estudios sobre la Enseñanza y el Aprendizaje del Derecho, Mexico). 13 See Pérez Hurtado, supra note 10, at 74. 14 Id. 15 Héctor Fix-Fierro & Sergio López-Ayllón, ¿Muchos abogados pero poca profesión? Derecho y profesión jurídica en el México contemporáneo, in deL goBierno de Los aBogados aL iMPerio de Las Leyes 1, 16 (Héctor Fix-Fierro ed., 2006). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 89 Legal research is not conditional for a law school to function accordingly to the rules of national education. The reason why the system allows institutions to offer law as a degree in a flexible manner is because the rules that govern general education allow institutions to obtain the respective Official Recogni- tion through a simple procedure, because it is the government’s goal to offer more opportunities so people can get through higher education. Even for law schools, which are supposed to achieve the highest standards, the requirements have diminished. “The way in which each [Institution of Higher Education] enters the system determines the degree of academic and administrative freedom the institution has and, consequently, the flexibility to define the requirements that its students must meet in order to obtain the law degree and the license to practice law.”16 The process for a higher educa- tion institution to become authorized for diploma awarding requires official recognition, granted by the National Education System after a review of the curriculum. There are, however, alternate sources for an institution to obtain recogni- tion of studies: by presidential decree (which is usually granted to high ranked institutions), through the Ministry of Education (National Education System), or through state agencies of the National Education System, established in each state of the country. An institution can also obtain recognition through a different path: incor- poration. Incorporation implies that either the federal government or each state government grants permission to a public higher education institutions to create decentralized institutions. In both cases, established private institu- tions of higher education can obtain recognition, strictly speaking, or rec- ognition through incorporation. Most recognitions are granted by state au- thorities, 576 in 2006-07, or by federal authorities, 301 in the same year. 70 recognitions were awarded by presidential decree. ii. sPecific ProBLeMs regarding Mexican LegaL education Generally speaking legal education is imparted almost exclusively through lectures. The “professor is the sole source of relevant information and the classroom exists to impart theoretical knowledge.”17 Unfortunately, training in alternative teaching methodologies for faculty is not the general rule.18 There is a lack, also, of practice-oriented and up-to-date materials in most law libraries, which is part of the reason why faculty is still using the more traditional lecture method of education. 16 See Pérez Hurtado, supra note 10, at 84. 17 Id. 18 Id. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW90 Vol. VII, No. 1 How is the legal curriculum structured? Mexican authorities have deter- mined that programs under the label of Law and Legal Sciences are profes- sional programs. Professional programs are “those whose graduates will, in general, have a professional practice and whose study plans do not require a high proportion of basic courses in sciences or humanities or courses exacting a large amount of time for student attention,” according to Agreement 279, article 10.19 Full-time faculty is simply not a requisite for institutions that offer law as a degree. Law schools, through their respective higher education institutions, can structure and define in their own way (following their particular identity, ide- ology, etc.) the legal curriculum. Nevertheless, the curricula throughout the country is usually of the same nature: a 40 to 70 mandatory courses program that may or may not offer an area of specialization, which is determined by the institution if that is the case. Programs differ as to their “structure and development,” “flexibility, division, duration and class shift.”20 Law degrees in Mexico are generally oriented to offer a set of theoretical knowledge for legal practice, as opposed to practical knowledge (the know- what vs. the know-how). Professional skills, along with the ethical values that pertain to the legal profession, are subjects less explored by most law schools in the country. The latter situation causes that students get their correspondent profession- al skills after working for some period of time at the side of a practicing law- yer or at a legal office. As of today, it must be recognized, only “some schools have started incorporating courses aimed at developing the skills needed for practicing law in the new adversarial criminal procedure system.”21 What does it take to practice as a lawyer in Mexico? It usually takes three steps: First, studying and graduating from a Bachelor of Laws is required. Second, meeting the institution’s requirements for graduation and, if so, a degree diploma to the student is granted. Finally, such diploma is registered at the General Office for Professional Practice for a license to be granted by the same organism. Such license is valid in any national court. What to do? Which are the options at hand? Obviously, if there is a modi- fication in the way the legal system works, then legal education would neces- sarily be in a position to change and adapt to it. According to two of the most 19 “Agreement 279 establishes a minimum percentage of courses that must be assigned to full-time faculty depending on the program. Law and Legal Sciences programs are classified as professional programs, which are defined in Article 10 as “those whose graduates will, in general, have a professional practice and whose study plans do not require a high proportion of basic courses in sciences or humanities or courses exacting a large amount of time for student attention.” As a result, a full-time faculty is not required for bachelor, specialization, or master’s law programs. However, for doctoral programs —regardless of the field— at least 50% of the courses must be taught by a full-time professor. Article 10 of Agreement 279.” Id. 20 Id. 21 Id. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 91 important reports on legal education in the United States, there are ex-ante issues that should be taken into consideration when planning and organizing both a legal curriculum and the way a law school functions. As it is shown below, past experiences in the U.S. could throw some light as to the potential issues that may present during the process of implementing a new type of legal education in Mexico Some authors suggest an ex-ante commitment on the part of higher edu- cation institutions to improve themselves and their population by 1) prepar- ing students for practice, 2) clarifying and expanding educational objectives, 3) improving methods of instruction, and 4) evaluating themselves and their respective curricula. Objectives, it should be noticed, are identified in terms of desired outcomes, which is “is becoming the norm throughout higher edu- cation.” Institutions of higher education in some areas must not only struc- ture those desired outcomes for their students, but they also need to prove that their students attain such outcomes. In the U.K., for example, most law schools follow an outcome focused type of curriculum. In the U.S., only a few.22 Other authors emphasize the fact that most America law schools have not started preparing their students through (a) a more practical-oriented teach- ing methodology, and (b) a focus in ethical and social skills. The same phe- nomenon occurs in many universities throughout the American Continent. Paradoxically, law being a professional degree entails that preparing law stu- dents in professional practice is necessary and conditional to perform prop- erly as a lawyer (and not as, say, a legal technician). “The result is to prolong and reinforce the habits of thinking like a student rather than an apprentice practitioner, conveying the impression that lawyers are more like competitive scholars than attorneys engaged with the problems of clients.”23 On the other hand, Ethics, Legal Ethics, and similar subjects, are being taught in most law schools. Nevertheless, there is little attention …to the social and cultural contexts of legal institutions and the varied forms of legal practice. To engage the moral imagination of students as they move toward professional practice, seminaries and medical, business and engineering schools employ well-elaborated case studies of professional work. Law schools, which pioneered the use of case teaching, only occasionally do so.24 Law school provides the beginning, not the full development, of students’ professional competence and identity. At present, what most students get as a beginning is insufficient. Students need a dynamic curriculum that moves them back and forth between understanding and enactment, experience and analy- sis. Law schools face an increasingly urgent need to bridge the gap between 22 roy stuckey et aL., Best Practices for LegaL education (2007). 23 wiLLiaM M. suLLivan et aL., educating Lawyers. PreParation for the Profession of Law (2000). 24 Id. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW92 Vol. VII, No. 1 analytical and practical knowledge, and a demand for more robust professional integrity. At the same time, they open to legal education a historic opportunity to advance both legal knowledge—theoretical and practical—and the capaci- ties of the profession. Legal education should seek to unite the two sides of legal knowledge: formal knowledge and experience of practice.25 However, how to define the correct balance between theoretical and prac- tical knowledge? If Mexican legal education is to change for good, then such balance must be established beforehand. The next section deals with the ex- perience of North America with regards to legal education. The purpose of describing a fraction of the evolution of such a system is to highlight the options at hand for Mexican universities and law schools to improve in their respective fields of knowledge and training. iii. what can Mexican Law schooLs Learn froM the history of north-aMerican LegaL education According to Christopher Columbus Langdell …the method of teaching by cases… consists, first, in using a collection of cases on a given subject as a text-book, instead of using a treatise on the same subject. For each exercise the members of the class are expected to prepare themselves by studying thoroughly some ten or twelve pages of the cases. Dur- ing the exercise each student has his volume of cases before him with facilities for taking notes. The instructor begins by calling upon some members of the class to state the first case in the lesson, i.e., to state the facts, the questions which arose upon them, how they were decided by the court, and the reasons for the decision. Then the instructor proceeds to question him upon the case. If his answer to a question is not satisfactory (and sometime when it is), the ques- tion is put round the class; and if the question is important or doubtful, or if a difference of opinion is manifested, as many views as possible are elicited. The students also question the instructor and state their own views and opinions without being called upon.26 Before Christopher Columbus Langdell,27 legal training in the U.S. was accomplished through basic apprenticeship in a legal office, under instruc- 25 Id. 26 Bruce kiMBaLL, the incePtion of Modern ProfessionaL education: c. c. LangdeLL, 1826-190, 143 (2009). 27 The name of Christopher Columbus Langdell will be long remembered as the scholar that developed and implemented the case and Socratic methods of legal education that are currently in use in American law schools. In other words, he will be remembered as the founding father of legal education as a professional, postgraduate degree. But who was Christopher Columbus Langdell? For many of his school friends he was a “prodigy of learning and master www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 93 tion of a lawyer. Students learned the law from experience and practice, in a system of legal training that is usually referred to as the “apprentice system.” The first American law school, properly called, was founded by Judge Tap- ping Reeve in 1784, and it functioned in the same way as the apprentice system, but instead of one apprentice there were groups of apprentices ex- periencing, seeing the way in which courts functioned. After that, proper law schools were continuously introduced to colleges and universities, but it was only about lectures and calling students to “recite” what they learned (usu- ally memorized) in legal textbooks and treatises, written by prominent legal scholars. The system’s criteria for admission required no more than English literacy, and students could start law school at any time, and in any course.28 For all intents and purposes, however, Reeve’s original concept eventually faded from the minds of legal scholars. The apprenticeship system was re- placed by the “case method,” introduced by Christopher Columbus Langdell at Harvard, in the beginnings of the nineteenth century. Given its charac- teristics, the case method improved the old system in the sense that it made of learning the law an active enterprise through participation, dialogue, and final examinations.29 It is possible to find traces of the general idea of the case method in Locke’s conception of general education, because it relied on the need to train students with advanced texts, for they to be able to think from particulars to universals, and to encourage their autonomy; as for the profes- sorship’s duties, the idea was to teach a method of learning, and to prompt students to go to the original sources of knowledge.30 “Justice and legitimacy of the legal system depend on the quality and le- gitimacy of the legal profession, which require, in turn, that lawyers acquire strong legal knowledge through demanding legal education.”31 In Langdell’s idea, the latter would only be acquired by means of a method of educa- tion that consisted in the development of the student’s expertise and self- confidence to understand the legal doctrines of the court’s judgments by themselves, which required at the same time the study of the courts’ rulings in particular, rather than hypothetical cases in textbooks. This is why many mainstream textbooks were banned in Harvard Law School. By means of the Socratic method —another name for the case method— the student would of research,” a presiding genius among his colleagues.9 His intellectual interests as a young student ranged from English, American, and French poetry, plays, and novels, Greek and Latin history, biography, and grammar, to natural history, theology, and philosophy. Favorite writers included Emerson, Watts, Bacon, and he had a special interest in the ideas of John Locke regarding general education. Id. at 35. 28 Id. at 39. 29 Robert W. Gordon, The Geologic Strata of the Law School Curriculum, 60 vanderBiLt Law review 342 (2007). 30 Id. at 19. 31 Id. at 129. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW94 Vol. VII, No. 1 learn how to analyze particular and concrete controversies, not hypothetical propositions stated in books. In class, Langdell usually exposed himself to questions and objections on the part of students, which sometimes conduced to a revision and correction of his own views on legal topics during discussions in lecture. The aim was to involve his students in an exercise of dialectic argumentation.32 Langdell borrowed from Harvard Divinity School the requirements to study law, and further applied them to Harvard Law School. By 1895, Harvard Law School system, same as Harvard Divinity School, was a three-year, sequential, post- graduate (it required a college Bachelor of Arts as a precondition for ad- mission), and professional school curriculum, with first-year and second-year required courses and examinations, consisting in real problems for solution, for every course. (As a result, high flunk-out rates, and selection of the most successful students to study law, were the case.)33 Lastly, it replaced part-time teachers (judges, lawyers, former practitioners, etc.) with full-time professors, thus, legal practice and experience were no more a requirement for teaching law.34 “What qualifies a person, therefore, to teach law is not experience in the work of a lawyer’s office, not experience in dealing with men, not experience in the trial or argument of causes —not experience, in short, in using law, but experience in learning law…”35 Langdell’s opinion that legal practice was detrimental for professorship was due to a belief, acquired during years of working as a practicing lawyer, that legal practice was accompanied with cor- ruption. Therefore, in order to exclude corruption from the teaching of the law to students, an “experienced” faculty was no longer necessary in Harvard Law School. A particular characteristic of the introduction of the case method is that it followed the “scientific” status quo of the end of the nineteenth century. During that period of time, Darwin’s Origin of Species (1859) and The De- scent of Man (1871), along with the birth of analytical positivism of late nine- teenth-century Europe, were in vogue inside intellectual circles of scientists, logicians, philosophers, and, of course, lawyers. Moreover, the emergence of concepts and their strict definitions engendered by the case method support- ed the worldview of that time: students, for example, regularly searched for concepts and principles “hidden” behind court decisions, and assumed that an “eternal” stare decisis doctrine guided every decision. As for social change and the ways in which society develops and functions, it was not part of legal education, and such idea was explicitly acknowledged by Langdell and Har- vard.36 With the case method, law was established and confirmed itself as an 32 Id. at 144. 33 Id. at 341. See kiMBaLL, supra note 26, at 39. 34 See Gordon, supra note 29, at 341. 35 See kiMBaLL, supra note 26, at 169. 36 Laura kaLMan, LegaL reaLisM at yaLe 1927-1960, 13 (1986). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 95 (apparently) autonomous discipline, detached from others, due, in part, to the focus on professional specialization of the era. The study of the law as a discipline that is structured over social, political, economical, and historical sources was thus avoided.37 Public law was no longer important for the legal curriculum, and private law became the predominant focus of the Harvard legal curriculum (except for the mandatory Criminal Law course in the first year, and the third year elective Constitutional Law course).38 Other factors that contributed to the Harvard Law School method’s success were that (a) it was inexpensive for the university administration (it required one teacher for every seventy five students), (b) it was available mostly to up- per-class students (given the Bachelor of Arts requirement), which preserved hegemony between them and “banned undesirables” from the profession,39 and (c) that the law faculty believed in the case method as a successful tool for teaching and learning law.40 Nevertheless, despite its success, the well-established Harvard Law School and its case method system had its detractors and alternative proposals, but, at the end, American law schools rejected all of them. As casebooks and the case method were being spread among American law schools, the the further rejection of public, interdisciplinary and theoretical approaches to law by al- most every university was the case. “These alternative curricula all resembled one another, in that their aims were to educate publicly minded lawyers as well as private practitioners-lawyer-statesmen and public civil servants ca- pable of large-minded reasoning about issues of constitutional structure and legal policy, viewed in comparative and historical perspective.”41 This genera- tion of alternative legal curricula comprised three movements that shared the same characteristics, namely: the education of the law as a discipline that cannot be fully understood without reference to other disciplines, types of knowledge, and methodologies; the education of the law, so to speak, as a complex social system. Three particular proposals, sketched by detractors of the case method, are worth mentioning: (a) Law as Statesmanship, (b) Law as Policy Science, and (c) Social Law and Progressive Economics. It is somehow surprising how and why the rest of the law schools in America systematically rejected all these alternative and more efficient (at least at first sight) models of legal education, as the case method spread to almost every university in the country. The first system combined the knowledge of political economy, American and comparative constitutional law, the law of nature, the law of nations, comparative law, Roman and legal history, the common law system, equity, and pleading. It is interesting how this system was divided into two 37 Id. at 348. 38 See Gordon, supra note 29, at 341. 39 This point is carefully exposed by Duncan Kennedy, LegaL education and the reProduction of hierarchy: a PoLeMic against the systeM (2nd edition, 1995). 40 See kaLMan, supra note 36, at 13. 41 Gordon, supra note 29, at 342. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW96 Vol. VII, No. 1 models of legal education, which were attractive to students because the legal profession was construed over the assumption that the lawyer was a states- man. The first model was designed to educate lawyers as policy makers in a liberal commercial society, and was conceived by Adam Smith and David Hume in the eighteenth century Scottish School of Jurisprudence, Moral Philosophy and Political Economy. They called this model the Science of the Legislator. Similarly, the second model was designed to educate students over the liberal-humanist ideal of the orator-statesman, and Cicero was an exemplary figure in this kind of teaching. The second system of legal educa- tion never materialized. Woodrow Wilson (who later became President of the United States) conceived it in New Jersey by 1890, after he was asked to design a new law school curriculum for Princeton University. His idea was a Public Law curriculum, and “not a duplicate of those [law schools] already in full blast all over the country, but an institutional law school, so to speak, in which law shall be taught in its historical and philosophical aspects, critically rather than technically, and as if it had a literature besides a court record, close institutional connections as well as litigious niceties —as it is taught in the better European universities.” The subjects of his proposal ranged from constitutional, administrative, and international law, to public corporations, conflicts of laws, and even legal history and general jurisprudence and its his- tory. Alas, Wilson’s system never materialized, as noted above. Finally, the last system of education of that time found its sources in the historical and com- parative study of legal institutions. It could be said that it resembles quite a lot to the current, predominant Law & Economics movement in American legal education and scholarship, as it studied legal concepts and institutions from an economical perspective, i.e., finding their economic functions and pur- poses in society, their costs and benefits, and their utility to economic agents.42 By the second decade of the twentieth century, policy and social studies in law schools were almost completely driven out by a case method curriculum, with a strong focus on private law, designed by Langdell.43 As a consequence, these alternative curricula were moved, in the best of the cases, to other uni- versity departments.44 What types of legal knowledge were lost as the Harvard Law School model spread through America? Apparently, almost everything that was not private case law, namely: subjects related to public law, legal theory, jurisprudence, Roman and comparative law, legal history, the sociology of law and institu- tions, etcetera.45 In a few words, with the case method, legal interpretation was substituted by case law.46 42 Id. at 343-345. 43 Id. at 347. 44 Id. 45 Id. 46 Surprisingly, professors of the founding generation of the Harvard Law School method www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 97 1. Legal Realism and Legal Education What were the Legal Realists trying to change? Harvard Law School pro- fessors were not the only scholars that tried to modify, or reject, the case method system and its implications in training law students. As a product, or as a reaction, to this type of legal education, a further generation of scholars was born into the legal profession at the end of the second decade of the twentieth century, namely: the American Legal Realists,47 scholars that did “some empirical legal research and… turn their policy preference into law in such areas as civil procedure, commercial law, and securities law.”48 Also, they were lawyers and scholars that tried to understand the law through a multi- disciplinary perspective, through its social, economic, and cultural sources.49 Why a sudden change in the orthodox, conventional understanding of the law in legal scholarship? To answer these questions, one must look to what was happening in the rest of the academic fields of the social sciences and humanities. At the beginning of the twentieth century, a new worldview was present in diverse disciplines, such as sociology, psychology, anthropology, economics, history, religion, linguistics, and law as well. As Cohen said, “The problem of eliminating supernatural terms and meaningless questions and redefining concepts and problems in terms of verifiable realities is not a problem pecu- liar to law.”50 Functionalism theory, a non-autonomous, empirical, and relativistic world- view that purported that every aspect of society was a necessary function for its own existence and evolution, was gradually adopted by most social-scien- were international, interdisciplinary, and cosmopolitan American scholars. Their casebooks were drafted as they exchanged their ideas with analytical legal scholars from England and the rest of Europe. Nonetheless, as their objective with the Harvard system was to teach their students “how to think like a lawyer,” they remained with the case method but improved on it in the sense that, instead of “finding” the principles hidden behind courts’ decisions, they treated those cases as a way to train the students’ minds in legal reasoning, and to exercise their “mental muscles.” Although, in Robert Gordon’s opinion, “Harvard’s missionaries and epigones pushed for their constricted curriculum simply because they had become fanatically committed to the case method of teaching law students as a uniquely rigorous and effective method, one they were convinced took a full three years to master successfully.” See Gordon, supra note 29, at 342, 348, 349. 47 What was the American Legal Realism movement, and who were the American Legal Realists? American legal realism was, on the one hand, a movement in legal scholarship that intended to introduce empirical social science, along with other disciplines of the humanities, to the study of law; on the other hand, American legal realism was a movement that contributed to the general jurisprudence of the era. See John h. schLegeL, aMerican LegaL reaLisM and eMPiricaL sociaL science (1995). 48 Id. at 8. 49 See kaLMan, supra note 36, at 1. 50 Id. at 42. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW98 Vol. VII, No. 1 tific departments and scholars, not only legal scholars. With functionalism in law, judicial decisions were no longer seen as the product of a judge’s formal reasoning about legal rules and conceptualism, but as a psychological activity which carried with the judge’s idiosyncrasy and psychological conditions.51 Therefore, formalism and conceptualism, as the only sources of legal deci- sions, were driven out by the new worldview of the American legal realists52 (whom certainly “were not blind idealists under the spell of the social sci- ences; they were hardboiled lawyers who were concerned because the un- certainty of law made it difficult to forecast their client’s chance of winning a case. They felt that the uncertainty of judge-made law meant that judges could hide the true reasons for their beliefs”).53 The interdependence between the social system and the law was the focus of the realists, which lead them to believe that, in order to choose the best social policy, lawyers and judges must look directly to the vast knowledge of the social sciences. As a result, there was a point in which legal realists acknowledged that law was a discipline that pertained to the social scientific collection of disciplines, and that this view was the best way to propose social policy and change. (It may seem as if the legal realists’ general jurisprudence was constructive.) Through the study of the recent discoveries in the theory of language, the legal realists exposed the ambiguity of legal rules and of judicial lan- guage, as those categories arise in the context of diverse phenomena. Thus, in their conception of legal rules, these were ultimately incomplete,54 which 51 Id. at 6. 52 See schLegeL, supra note 47, at 20; see kaLMan, supra note 36, at 29. 53 kaLMan, supra note 36, at 23-24. “The list of Realists who served, sometimes only for summers that somehow stretched into fall, sometimes for years, in the administration’s emergency and permanent bureaucracy includes Thurman Arnold, who came to Yale early in Clark’s deanship; Douglas; Abe Fortas, who barely had a chance to teach at his law school before heading off; Frank; Walton H. Hamilton, an economist hired by Hutchins; Oliphant; and Wesley Sturges.” See schLegeL, supra note 47, at 19. It is interesting to notice that when the whole business of Langdellian legal education resided in the “scientific” nature of law, legal realists’ conception was, at the same time, to make the law more “scientific” and “objective,” even when the realists were explicitly against Langdellian conceptualism and formalism. Consequently, it could be possible that what really changed between the end of the nineteenth and the beginning of the twentieth century was not just a bunch of disciplines, but specifically the concept of “science” itself. Let us not forget that Euclidean geometry stopped being used by mathematicians that found other types of geometry, and that Albert Einstein formulated his theory of general relativity in 1905. Likewise, many legal realists were conducting empirical and statistical studies of the way in which courts functioned, whereas (naïve) case-method professors were “finding” the principles behind justice decisions. The only difference here is that the realists did have the goal of reforming the law taking as a basis the products of such new insights, and this was not the case with Langdellian professors and scholars. See kaLMan, supra note 36, at 35-36. 54 kaLMan, supra note 36, at 21, 30. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 99 only means: rule-skepticism. In the Realists’ view, it was necessary to focus in the interrelationship between law and society to determine what actually determined judicial decisions, besides rules and precedent.55 The latter could be said to be the more apparent objectives of the legal realists, although there was not an agreement on this and other matters be- tween them.56 But, if the legal realists’ goals are viewed through an intel- lectual microscope, it is possible to think that they were trying to change not only law, but legal institutions and the legal profession as well.57 How? As they believed in a government of people, not of rules, their aim was to improve the education of social agents to manage the system’s rules through a legal educa- tion that viewed the law as a complex system, developed with the knowledge of social disciplines such as political science, history, psychology, economics, sociology, ethics, logics, and philosophy. However, how would a realist train students when the very basic activities of writing and reading were not enough for students? Not only that, but how would an enterprise like this would be accomplished if basic disciplines such as logics, grammar, and argumentation, among others, were disappearing from the curricula in that period of time? As a product of this scenario, it is not hard to picture how complicated was for law students to completely un- derstand the language of the high courts’ legal decisions, which was a product of logical reasoning and years of experience. So, in Hutchins words, “we had the spectacle of students and professors wrestling in the law schools with logi- cal problems of the greatest difficulty and doing it without any equipment except that with which they had been gifted by nature.”58 During the early-twentieth century legal education, there was an assump- tion from the part of the law schools that a law student possessed a strong background in the social sciences and the humanities. Again, the legal educa- tion system relied on the assumption that students possessed such knowledge, but fact is that, according to Frank, law students finished their legal education with the “vaguest recollections” of what they learned before law school in college.59 How would future lawyers be grounded “in the social, economic and political material in which their technique must be exercised”?60 How to teach a particular type of “knowledge which is the common possession 55 Id. at 5. 56 Id. at 23. “But if one looks carefully there is more than a modest antagonism, sometimes in print and sometimes in private, between the individuals featured in the longer story and the individuals who would need to be added to make the enlarged group of Realists.” See also schLegeL, supra note 47, at 21. 57 Id. at 45. 58 Robert M. Hutchins, Legal Education, 4 the university of chicago Law review 358 (1937). 59 Jerome Frank, Why Not a Clinical Lawyer School?, university of PennsyLvania Law review and aMerican Law register 922 (1933). 60 Max Radin, The Education of a Lawyer, 25 caLifornia Law review 687 (1937). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW100 Vol. VII, No. 1 of an educated minority and which has almost always a distinct literary and aesthetic coloring”?61 How to reach such goals if legal education lacked the most basic preconditions for acquiring such type of specialized knowledge? 2. The Social Sciences and the Legal Curriculum In an era in which conceptualism was so intertwined in legal education even for the most radical legal scholars, the first argument against Langdel- lian legal education was made by Oliver Wendell Holmes Jr., in his book The Common Law. Holmes believed that judges were fallible human beings, and that they reasoned according to their own political, economical, and moral biases.62 To accomplish the task [of learning law], other tools are needed besides logic. It is something to show that the consistency of a system requires a particular result, but it is not all. The life of the law has not been logic: it has been experi- ence. The felt necessities of the time, the prevalent moral and political theories, intuitions of public policy, avowed or unconscious, even the prejudices which judges share with their fellow-men, have had a good deal more to do than the syllogism in determining the rules by which men should be governed. The law embodies the story of a nation’s development through many centuries, and it cannot be dealt with as if it contained only the axioms and corollaries of a book of mathematics. In order to know what it is, we must know what it has been, and what it tends to become. We must alternately consult history and ex- isting theories of legislation. But the most difficult labor will be to understand the combination of the two into new products at every stage. The substance of the law at any given time pretty nearly corresponds, so far as it goes, with what is then understood to be convenient; but its form and machinery, and the degree to which it is able to work out desired results, depend very much upon its past.63 Almost three decades after Holmes’ criticisms, Hutcheson would publish “The Judgment Intuitive” in 1929, which provided a direct critique against the law school curriculum and its methods and purposes of teaching. For Hutcheson, it was this faculty of the mind, the “hunch,”64 which made the 61 Id. 62 One year before, Holmes’ all-famous sentence “The life of the law has not been logic: it has been experience” first appeared in a review of Langdell’s Selection of Cases on the Law of Contracts, in which he described the author as the greatest living theologian, a Hegelian in disguise, whose “ideal in law, the end of all his striving, is the elegantia juris, or logical integrity of the system as system.” See wiLLiaM P. LaPiana, Logic and exPerience. the origin of Modern LegaL education 89-91, 110, 119, 121 (1933). 63 oLiver w. hoLMes, the coMMon Law 1, 2 (1881). 64 “A strong, intuitive impression that something is about to happen.” www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 101 most prepared legal agents and “the great scientists of the world.”65 From that point on, the ideas of the legal realists covered different areas. Regarding le- gal education, reform was necessary given the existence of judges and lawyers dealing with “uncertainties, contingencies, imponderables, unpredictables”66 on a daily basis. Teaching statutes and decisions to law students, therefore, was not enough to deal with these types of phenomena. If there were some requisites for admission (earning a previous B.A., for example), they were there not only for the student to count with huge amounts of ideas before enrolling in law school (as it was the case), but to develop a “power to reason, power to think consecutively, power to weigh and appraise material, with habits of getting to the bottom of things, of going to the sources, and of clear thought and expression.”67 Contrary to this, Roscoe Pound lamented the students’ lack of general, cultural knowledge, social scientific frameworks, and “power to reason”. (Leaving behind, of course, the fact that Pound never attempted to follow his own remarks on legal education. He continually sub- scribed to the Langdellian case-method for twenty years as dean of the Har- vard Law School...)68 Pound was one of the first scholars that published proposals on legal edu- cation of national and local character, which meant training future lawyers in the realms of the legal, political, and economical conditions of the country; that is, as trial lawyers, as advocates before appellate courts, and as office law- yers; as legislators, as judges, as law professors, and as legal scholars. Legal education was about training these characters and social agents with “solid all round cultural training” on the appraisal and interpretation of cul- 65 Joseph C. Hutcheson Jr., The Judgment Intuitive: The Function of the ‘Hunch,’ in JudiciaL decision, corneLL Law QuarterLy 14 (1929). In the last paragraph of the article, it is clearer: something ought to be changed in law schools, both in its methods of studying and of teaching law. The imaginative and intuitional mental faculties were essential, and the mere study of logical legal relations was not enough. Something more should be provided to the law student, that is, the sharpening of the mental processes by which such decisions are achieved, the proper channels of legal reasoning. “If these views are even partly sound, and if to great advocacy and great judging the imaginative, the intuitional faculty is essential, should there not be some change in the methods of the study and of the teaching of the law in our great law schools? Should there not go along with the plain and severely logical study of jural relations study and reflection upon, and an endeavor to discover and develop, those processes of the mind by which such decisions are reached, those processes and faculties which, lifting the mind above the mass of constricting matter whether of confused fact or precedent that stands in the way of just decision, enable it by a kind of apocalyptic vision to ‘trace the hidden equities of divine reward, and to catch sight through the darkness, of the fateful threads of woven fire which connect error with its retribution?’” Id. at 903. 66 Jerome Frank, Are Judges Human? Part Two: As through a Class Darkly, university of PennsyLvania Law review and aMerican Law register 259 (1931). 67 Roscoe Pound, What is a Good Legal Education?, 19 aMerican Bar association JournaL 630 (1933). 68 See kaLMan, supra note 36, at 46. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW102 Vol. VII, No. 1 tural phenomena in the day-by-day experience; agents able to understand the techniques and ends of the social sciences, with knowledge on the history of the common law and its system, the ends of the legal system, the judicial and administrative processes, and the history, organization, and standards of the legal profession. Pound’s proposal aimed to push the student to grasp the techniques of developing and applying the legal materials, which, it must be said, is different than knowing or memorizing each statute or decision.69 Other proposals were more inclined to the fields of uncertainty, such as Frank’s. How would a law student know —he asked— if a question of fact will be posed by their counterpart in trial?, how would they manage with conflicting testimonies, and, more important, how will the judge and the jury react to that? How is a law student supposed to learn the law if the object of study is an upper court decisions?70 To solve such issues, the following were measures to take: obligatory requirement of previous experience in legal practice to become part of the faculty, use of casebooks for just six months,71 and the allowance of law students in “legal surgery” at legal clinics (which did not exist in any law school during that period of time, and maybe neither today in the way in which Frank describes it, i.e., as, literally, legal firms). Along with these ideas, there was a conviction that law was a discipline of the social sciences, and that law students would learn it only by practicing it and by submerging themselves in the social sciences.72 The concept of legal education was also seen as something similar to the general idea of medical education. Frank thought of legal education as if it were the medical education of the “doctors of society,” of the lawyer as a gatekeeper of liberty and property, and who also helps in the development of the legal systems’ rules and institutions. A return to Judge Reeve’s idea of 69 See Pound, supra note 67, at 631. 70 See Frank, supra note 66, at 253. 71 Frank believed that the so-called case system failed in spending too much time with casebooks, three years to be exact (a law student’s whole law school…). 72 When Frank is talking about the “social sciences” he is referring not only to economics, sociology, history, politics, psychology, sociology, anthropology, and philosophy, but also to logics. He made clear that first-rate courses in logics should be taught to law students, in order to provide them with a frame of reference to really start “thinking like a lawyer.” With logics, potential lawyers would learn to identify fallacies and dogmas, but more importantly, “the provisional, experimental and tentative nature of most conclusions —particularly those relating to the conduct of human beings.” Along with such courses, a place should be given to factual studies on litigation. Attention should also be paid to the “art of the judge” (in case some student wanted to pursue such a career). Professional ethics would be impressed in the student’s minds while they experience first-hand encounters with ethical problems that arise through the practice as a lawyer. And they would also experience the customs and social conventions of the bar. Finally, Frank proposed courses related to pedagogy: “For the sake of those students who may become teachers, there should be some courses in the art of teaching law.” Jerome Frank, Why Not a Clinical Lawyer School?, university of PennsyLvania Law review and aMerican Law register 922-923 (1933). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 103 teaching law students through the apprentice system in group,73 but on a more sophisticated level, was imperative: Not law schools, but “lawyer-schools,”74 where the arts of the judge, of the lawyer, of the critic of the work of lawyers (and judges), and of the teacher of these three arts, are always present (the theorist points out how long ago judges actually instructed, taught, law stu- dents who were present in courts during trials…)75 As Pound, Frank pointed out the deficiencies of college education in terms of the training of students in the realms of the social sciences. For that matter, “men who need not have first-hand experience in practicing law, but who are skilled economists, historians, political scientists, anthropologists or psycholo- gists might well be made full-time or part-time members of the law faculty” (and he actually mentions the name of Max Radin as an exemplary, interdis- ciplinary legal scholar of such characteristics).76 Another, relevant program for the reform of legal education was posed by Hutchins in 1937. The scholar was sure that, in that period of time, at that moment in history, such program would have been disliked by most legal practitioners given their conservative standpoints, and because their limited notion of the concept of the lawyer and of education. (Is this still the case today?) Legal education, as a method, is both speculative and practical. On the speculative side, history of the law as is seen taking into account its intellectu- al, political, and economic developments. The philosophy of law is the main aspect of the speculative side of legal education. The “philosophy of law, therefore, attempts through psychology to understand the law in terms of the analysis of man as a rational animal engaged in making and administering laws.”77 On the practical side, training law students to perform operations of legal thinking through legal analysis is the case. (Legal analysis means dealing with problems of moral and political philosophy in the formulation of legisla- tion and the interpretation of legal language.) Regarding the actual contents of legal education, there are: study of cases, along with the legal history of each of them, is also taken into account; Sociology and Economics, which serve to interpret how lawmaking functions; Moral and Political philosophies, 73 The first American law school, properly called, was founded by Judge Tapping Reeve in 1784, and it functioned in the same way as the apprentice system, but instead of one apprentice there were groups of apprentices experiencing, seeing the way in which courts functioned. 74 Jerome Frank, What Courts do in Fact, 26 iLLinois Law review 781 (1931-1932). 75 It is in this sense in which some argue about law’s necessary educative function. See Brian Burge Hendrix, On Law’s Necessary Educative Function, Alternative Methods in the Education of Philosophy of Law and the Importance of Legal Philosophy in the LegaL education. Proceedings of the 23rd worLd congress on the internationaL association for PhiLosoPhy of Law and sociaL PhiLosoPhy (Imer Flores & Gülriz Uygur eds., 2010). 76 See Frank, supra note 72, at 922. 77 Robert M. Hutchins, Legal Education, 4 the university of chicago Law review 358- 367 (1937). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW104 Vol. VII, No. 1 along with psychology, logic, and grammar, in order to interpret legal rules and the cases themselves. Jurisprudence, i.e., general philosophy of law, is the discipline that covers all of them. “The members of a learned profession must be learned and they must practice their profession for the welfare of the community.”78 Few law schools today follow the ideas of the legal realists regarding the legal curriculum. Independently, of course, of the ideas’ theoretical success, which seems to be plausible. The very notion of uncertainty, which appears to be impossible in Harvard’s rigid system, placed the legal realists one step above Langdell’s. Nevertheless, the case and Socratic methods are still in use in almost any American law school. (Not to mention most Latin American countries’ programs of legal education, which are about the same level.) iv. towards a More coMPrehensive LegaL education for Mexico It is true that, as general legal education and curriculum design method- ologies are divergent in both their means, ends, and geographical location, it is somewhat difficult to sketch a rigid classification of the alternatives at hand for a further development of a step-by-step program to reform legal educa- tion accordingly. To this it must be added that external factors could and would jeopardize the whole enterprise if not considered properly. As of today, regarding the legal curriculum design and teaching techniques, it is more than obvious that the social, economical, ecological, and political context of local and federal institutions are important factors to consider, especially today when the global market grows fast enough for governments to regularly fail to detect ex-ante possible future failures in the legal system. More generally, a curriculum design that does not adapt its contents to the current, global scenario, will, more likely than not, fail. Solving a problem of this nature requires to “go further in time” and “foresee” what type of problems would lawyers be dealing with in a near future, for future lawyers to actually professionalize or become more professional during legal education. (Not after. It seems preferable to make mistakes during legal education, not after.) Law schools are meant to provide the necessary means for the students to achieve the highest levels of understanding and reasoning, let alone ba- sic fact-finding and research abilities. And our capacities to understand and reason will not improve or get better (of necessity) by following what already is not the best option. If the world has changed, then legal education must change too, or at least adapt. A first obstacle to emphasize in current legal education is the student’s (and sometimes the professors’) lack of awareness of the sequencing of the learn- 78 Id. at 368. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 105 ing process. In a recent article, attention is placed in an ex-ante pedagogical tool which aims to guide and take the student up to the confines or limits of her own cognitive processes, a sort of metacognition. By means of such techniques, students tend to become more efficient learners. If in the old days students used to recite from memory paragraphs and paragraphs containing legal facts, today, a law student that can only declaim what is contained in codes and statutes is as useful as the books that contain such codes and stat- utes themselves: a certain, particular form of reasoning is needed to perform as a lawyer in the Twentieth-First Century. But, how to identify which form of reasoning is needed, if we do not yet know how to teach it and learn it?79 A second obstacle is the underestimation of disciplines such as Juris- prudence, Ethics and Moral Philosophy, the Arts and Humanities, Logics and Mathematics, etc. Such underuse of alternative techniques to develop sharper forms of reasoning in the student tend to produce mold-lawyers. For example, Del Mar argues that overuse of textual resources undermine the student’s capacity to recognize human states of mind such as suffering and vulnerability. In the author’s opinion, appreciation of visual and movement arts, along with moral philosophy, are plausible ways to balance students at- titudes towards their fellow citizens.80 Other authors have argued that the use of humor, strange questions, impossible scenarios, and brainteasers would be useful too.81 Same goes for the inclusion of pedagogical (or, should I say ‘epis- temological’?) techniques as mind-mapping and mental imagery, let alone the stimuli for creativity. If closely observed, our legal education institutions seem to alienate stu- dents from the valuable results that can be achieved through the use of these techniques, as these are not means to keep legal education stable, but on shaky grounds.82 In the same line of reasoning, studies have been performed to identify cultural experiences, biases, and perspectives of law students to better understand how the learning process should be undertaken, especially when activities such as mediation, counseling, and negotiation are fundamen- tal for today’s lawyers.83 79 Edwin S. Fruehwald, Teaching Law Students How to Become Metacognitive Thinkers, available at http://ssrn.com/abstract=2243128 or http://dx.doi.org/10.2139/ssrn.2243128. 80 Maksymilian T. del Mar, Beyond Text in Legal Education: Art, Ethics and the Carnegie Report, 56 LoyoLa Law review 101-144 (2010), available at http://ssrn.com/abstract=1087790. 81 Hershey H. Friedman, Talmudic Humor and the Establishment of Legal Principles: Strange Questions, Impossible Scenarios, and Legalistic Brainteasers, 21 thaLia: studies in Literary huMor 14-28 (2004), available at http://ssrn.com/abstract=2236456. 82 Our current forms of life seem to be an impediment to develop the intellect, as activity, doing, is what appears to count. On the other hand, not-doing, e.g., thinking, contemplation, remains as the cheapest way to strengthen the mental muscles. Contemplation, in this case, would be the key to creativity. 83 Andrea Anne Curcio et al., Educating Culturally Sensible Lawyers: A Study of Student Attitudes About the Role Culture Plays in the Lawyering Process, 16 u. w. sydney L. rev. 98-126 (2012). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW106 Vol. VII, No. 1 A third obstacle is the legal curricula lack of adequacy to what the cur- rent economical and political changes worldwide demand from lawyers. Van Bemmelen summarizes this point very well: In the past, between the years 1800 and 1950, legal education was a local, generalist, apprentice-based, non-corporate, and highly academic self-explan- atory affair. Most of the legal professionals regarded themselves as involved in ex-post private law and criminal litigation/trials. Legal theory and the cur- riculum, correspondingly, could focus mainly on local private and criminal law contained in approximately 10.000 pages. At the start of the 21st century a number of things have changed. Around 100 specialized areas of legal theory and practice have emerged, along with millions of pages of new material. The sources of these new rules are increasingly international and regional, especial- ly in Europe. The legal profession has also industrialized. The sole practitioner is outnumbered by legal professionals that are mass producing legal services and legislative instruments, as well as adjudicative products. Client demand has changed the emphasis to be more focused on ex ante: preventing disputes. Employers are expecting more than ever that graduates are well on their way through this increased volume of material, plus well versed in critical think- ing, advocacy and research techniques. Moreover, in the countries where legal education is subsidized, universities are expected to educate more pupils for less money, plus accepting lower entry qualifications favoring historically less privileged groups. This process includes attempts, again especially in Europe, to harmonize the higher education degree structure across states. Law school traditions have not responded to these developments yet. The curriculum and teaching techniques have remained largely the same as in the 1800 to 1950 era.84 Where are we left? If the legal curriculum does not comprise emphatically the development of the capacity to learn how to learn, if subjects and topics in the curriculum are such that law students cannot become Statesman, but at most successful technicians, and if such subjects are not adequate enough to what society and clients demand from their lawyers, then maybe what follows is a profound, subsequent reform to legal education programs. Or maybe starting from scratch. Is Law & Economics the way out? There are more than two features of today’s proposals regarding legal education that relate to, and improve some of, the Realists ideas. I argue that most of the ideas that the Legal Realists pointed out regarding legal education are more than plausible today, and would apply to the current status of the legal profession. Parisi, commenting on Ulen, recently argued that a multidisciplinary ap- proach to legal education will serve to improve lawyering skills, especially when such approach takes into account disciplines that adhere to the Law 84 Ernst Van Bemmelen van Gent, Legal Education: A New Paradigm, Bynkershoek Law review 2-18 (2012). www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx WHAT CAN MEXICAN LAW SCHOOLS LEARN...? 107 and the Social Sciences approach. In addition of such approach, Parisi ex- plains how the Law and Economics approach rigorously improves the stu- dent’s analytical skills (which were left behind long ago). The farther legal education is from multidisciplinary coursework, the farther the law student is from understanding the law as it functions in the world. In addition to that, we “may be shortchanging our students if we continue using these outdated methods,”85 that is, the Socratic and case-based methods. Instead of these, the legal curricula could take the same direction as the one taken by the home of two Law and Economics scholars, recognized with Nobel Prizes: James Buchanan (1986) and Vernon Smith (2002) of George Mason University.86 At George Mason Law School, analytical methods for law is a required first-year course, and Economic Foundations is one the courses with the high- est number of units, which means that most law students are familiar with topics and disciplines such as decision theory, constitutional political econo- my, and public choice theory. The reason for the inclusion of these particular subjects in the curriculum is that, as it is known, Professor Henry Manne’s Law and Economics Center was incorporated to George Mason Law School, and in 1971 the Center offered to the law faculty courses in microeconomic theory, taught by recognized economics scholars. Legal issues there were not the issue at hand: most of it was pure microeconomic theory. As of today, more than 600 law professors are graduates of this course, some of whom are recognized Law & Economics scholars and federal judges; also, since the institution constantly relies on economic analysis of law, six joint-degree pro- grams —between the Law School and the Department of Economics— have been opened since.87 Law and Economics is not, and should not become, the one and only methodology of legal education in general. Although its method in particular has given insight as to which are the ways to make legal rules and contracts more efficient, and the creation of incentives for compliance, that does not mean that other methodologies are not desirable in the legal curriculum. Other, particular approaches to law are and would be necessary for a proper understanding of law and of the means to solve legal disputes in a peaceful and civilized way. There are examples of North-American universities that incorporate al- ternative methodologies to the legal curricula besides Law and Economics, as in the case of the University of Minnesota School of Law, and its team- taught course “Perspectives in Law,” which is offered both in first and upper years, and each of the three course’s requires the student to tackle a practical situation using a particular methodology outside the law. The courses are taught by professors with training in alternate methodologies to law. 85 Francesco Parisi, Multidisciplinary Perspectives in Legal Education, 6 university of st. thoMas Law JournaL 1-11 (2009). 86 Id. 87 Id. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx MEXICAN LAW REVIEW108 Vol. VII, No. 1 Many, many universities could be doing the same. However, the legal cur- ricula remain as decades ago, with the same techniques. Today, as the world changes in the way it does, many Law Schools seem to be focused in adding to the legal curriculum courses such as “Human Rights”, “Alternative Dispute Resolution”, “International Legal Research,” etc. Such efforts are valuable. However, they seem to solve only a small fraction of the issue at hand. Mea- sures like the ones chosen and applied by George Mason University are good efforts that go beyond the mere addition of subjects to the curricula. Judges and policymakers lack the knowledge to determine when a legal rule is efficient, independently of the vast amounts of knowledge on math- ematics and economic analysis. A market failure will not get solved with the type of political measures that governmental offices apply. Something else is needed. Future lawyers, judges, and policymakers could thus undertake the kind of functional analysis that is imparted throughout law school at George Mason University. Such an analysis starts with an inquire into the incentives un- derlying the legal or social structure that produced a legal rule, rather than “weighting” the costs and benefits of individual rules. Based on this premise, the best choice of law depends on the needs of individuals: Allow parties to contract away from existing law; allow for a market for rules; foster competi- tive market for rules; allow multiple suppliers of law. The functional approach to law and economics is informed by an explicit rec- ognition that whatever social reality we seek to explain at the aggregate level, ought to be understood as the result of the choices and actions of individual human beings who pursue their goals with an independently formed under- standing of the reality that surrounds them.88 Now, imagine a legal education that paid attention to the ex-ante identi- fication of political failures in the formation of law, stressing the importance of market-like mechanisms in the creation and selection of legal rules… Or a legal education in which public choice theory were present at all times… This may be the education that lawyers would sooner or later ask for, as well as Realists could if they were still present today. 88 Id. www.juridicas.unam.mx Esta revista forma parte del acervo de la Biblioteca Jurídica Virtual del Instituto de Investigaciones Jurídicas de la UNAM http://biblio.juridicas.unam.mx 
work_pqijh4fk7ba6rn5vqtengdj2nq	----	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`%a7--#/5%,#(".@(%4./('&-#)(#./2%!"+%4"&**+/5+%.J%9A+/#/5%UA I/(+''&)#&*%?#&*.5@+a6%!"+%L-@)&(#./&*%W.'@B6%FP2%:6%>D=%b%>P: !.%*#/c%(.%("#$%7'(#)*+2%?9I2%>=Y>=E=X==>D>F:>==D;=PPF= UHK2%"((A2XX-dY-.#Y.'5X>=Y>=E=X==>D>F:>==D;=PPF= Full terms and conditions of use: http://www.informaworld.com/terms-and-conditions-of-access.pdf This article may be used for research, teaching and private study purposes. Any substantial or systematic reproduction, re-distribution, re-selling, loan or sub-licensing, systematic supply or distribution in any form to anyone is expressly forbidden. The publisher does not give any warranty express or implied or make any representation that the contents will be complete or accurate or up to date. The accuracy of any instructions, formulae and drug doses should be independently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings, demand or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with or arising out of the use of this material. http://www.informaworld.com/terms-and-conditions-of-access.pdf http://www.informaworld.com/smpp/title~content=t782909027 http://dx.doi.org/10.1080/00131721003604470 The Educational Forum, 74: 130–42, 2010 Copyright © Kappa Delta Pi ISSN: 0013-1725 print/1938-8098 online DOI: 10.1080/00131721003604470 Address correspondence to Aaron Castelán Cargile, Department of Communi- cation Studies, California State University, 1250 Bellfl ower Blvd., Long Beach, CA 90840-2407, USA. E-mail: acargile@csulb.edu Abstract This essay begins with the question, “What can educators do to minimize the risks inherent to interracial dialogue?” Though no such meaning- ful conversation ever will be without risk, this article offers two specifi c strategies that have helped foster open classroom climates: adding without contradiction and granting freedom for conclusions. Both of these strate- gies intervene on several dysfunctional habits U.S. participants enact in conversations about race and, thus, help enrich the ameliorative capacity of interracial dialogue. Key words: dialogue, facilitation, race, strategies. In our classrooms, the deep rift between white students and students of color [is] always present. As educators we have an opportunity, and perhaps even an obligation, to expose this rift in order to foster a truly dialogic community. (Rich and Cargile 2004, 354) Several years ago, Marc Rich and I (Rich and Cargile 2004) wrote about the process of facilitating interracial dialogue. As we (and many others; e.g., Nakagawa 1987; Berger 1999; Simpson 2003) described it, race talk holds great promise, as well as peril. Latent tensions can manifest themselves as overt, painful confl ict and, as one student put it, “there isn’t always a happy ending.” However, because of its tre- mendous potential to heal deep wounds and increase awareness, dialogue remains a central component of multicultural instruction. The question thus becomes, “What can educators do to minimize the risks inherent to interracial dialogue?” Adding without Contradiction: The Challenge of Opening Up Interracial Dialogue Aaron Castelán Cargile Department of Communication Studies, California State University, Long Beach, California, USA D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 The Challenge of Opening Up Interracial Dialogue The Educational Forum • Volume 74 • 2010 • 131 In this essay, responses to the question raised are offered on the basis of my 15 years of experience in facilitating such dialogues. In practice, I acknowledge the failure to man- age the risks well until the strategies of “adding without contradiction” and “granting freedom for conclusions” began to emerge in facilitation. Although the effi cacy of these strategies has not been experimentally assessed, my extensive experience reveals and judges them to be effective. More than 3,000 students have enrolled in my basic course in intercultural communication and have shared their experiences in the form of a class journal. These journal entries further corroborate in-class, shared experiences regarding the effectiveness of these strategies (as well as testify to the ineffectiveness of previous approaches). With the written permission of the students, this essay offers a representa- tive sample of these journal entries. The Risks of Dialogue Interracial dialogue is risky because it brings participants into contact-the outcome of which is often unpredictable. Decades of research in social psychology cautions that intergroup contact may result in increased prejudice, ostracism, decreased self-esteem, and reinforced stereotypes—to name some of the risks (Hewstone and Brown 1986; Pettigrew 1998). As one student wrote of the dialogue experience, “This class, if anything, has made me more of a bigot than I was coming into this whole mess. It just showed me how annoy- ing people are that support this standpoint of multiculturalism.” Though such reactions of increased prejudice are real, their incidence is rare and perhaps impossible to mitigate. A far more common, and likely preventable, negative outcome of interracial dialogue is “shutting down”—the response of disengagement. Shutting Down Each class period we widened the gaps and chasms that exist between the races. … It is sad that all we do is bitch and complain. … By the end of the course, even those of us who were active speaking participants did not want to attend class. As this student’s comment illustrates, one typical response to interracial dialogue is a fatigued resistance—shutting down. As Fishman and McCarthy (2005, 347) suggested, shutting down occurs when students are seen “hardening their confl icting positions and turning deaf ears to one another.” When students shut down, they suspend listening; they have fi rmly reached their own conclusions and are no longer open to any viewpoints but their own. Resistance and its ultimate expression—shutting down—can take many forms, includ- ing silence, passive-aggressiveness, absenteeism, and overt hostility (Chan and Treacy 1996; Higginbotham 1996). Examples of the last two forms occurred in classes where students had a particularly diffi cult time engaging in constructive dialogue. The conversation turned so sour that a signifi cant number of students stopped showing up, despite a policy of required attendance. Among the continuing participants were those who would greet discussion periods with both expressed and quiet rage. One student noted the palpable tension: “I have felt more hostility in this class than I have ever felt. I never knew there was so much hatred and anger about these racial issues.” As this experience illustrated, D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 132 • The Educational Forum • Volume 74 • 2010 Cargile interracial dialogue can lead students to shut down in anger; if they do so in numbers, the discussion climate may be irrevocably changed. Though shutting down can occur in a climate of anger, it more commonly occurs in a context of ennui in which students greet discussion with silence and passive-aggressive responses. For example, one European American student reacted to African American stories of inequality by goading her classmates: “Start looking at life as a pursuit for yourself as an individual and quit worrying throughout life about your race or culture!” Predictably, this response was met with a defense of why race (still) matters and was followed by additional accounts of discrimination. If students fail to get through to one another in situations like this, the dialogue often will get stuck as the same points of view are voiced, repeatedly. Unfortunately, breakthroughs rarely occur after one or two itera- tions. Instead, if the same standpoints keep being articulated, students may begin to shut down. One student explained it this way: “After this class, I fi nd myself moving away from the pursuit of multiculturalism because of the redundancy of it all.” Shutting down is a risk of interracial dialogue that all participants face. Even so, it is important to note that this risk is not shared equally: Students who benefi t from system- atic inequality (European Americans in a U.S. context) are more likely to resist pedagogy and discussions that examine race than those students who do not (Levine-Rasky 2000; Gillespie, Ashbaugh, and DeFiore 2002; Williams and Evans-Winter 2005). As Marx and Pennington (2003, 93) shared, European American students “often respond to such discus- sions in a highly defensive manner that reveals their resentment against people of color and their resistance.” Seemingly, dominant racial group members have a vested interest in opposing efforts to deconstruct race—the source of their privilege. In the United States, identifi cation with the ideology of equality brings most European Americans to the dis- cussion, but it often does not sustain them when their racist assumptions are repeatedly challenged. In her journal, one white student noted her own aversion midway through the dialogue she was once excited about: “The black students got angered and started talking about how the ‘white man’ keeps them down and we oppress them. Blah, blah, blah.” When students reach the point of shutting down, there is often nowhere to go, even with non-dialogic curricula. Though they may return to deal with race in the future and in other settings, the experience of students in the context of a semester-long course is that once they are done with race, they are done. Consequently, it is important that instructors learn how to minimize the risk of shutting down in the fi rst place. Possible Strategies If we can begin to see the ways that students resist, we can then also begin to answer and problematize those practices as well as cultivate more productive and en- abling interactions with whiteness. (Hytten and Warren 2003, 88) Anyone who has facilitated interracial dialogue is aware of the many challenges it presents. Over the years, scholars have suggested a host of strategies to better manage the conversation, and it is possible that these generic approaches also might prove effective D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 The Challenge of Opening Up Interracial Dialogue The Educational Forum • Volume 74 • 2010 • 133 in minimizing resistance and the risk of shutting down. For example, the provision of appropriate models of racial identity development (Tatum 1992; Miller and Donner 2000) may help students to both normalize and anticipate their resistance, which may in turn aid in sustaining openness. Similarly, the presentation of apt historical and sociological information (Miller and Donner 2000; Fishman and McCarthy 2005) may enrich students’ compassion and, thus, expand their capacity to hear one another. Perhaps most useful to efforts aimed at minimizing resistance is the often-encouraged practice of providing a supportive, trusting, and respectful environment (Davis and Proctor 1989; Tatum 1992; Fox 2001; Marx and Pennington 2003). Of course, this is easier said than done; creating such an environment always demands experience and a bit of alchemy. Even so, two specifi c strategies are essential in creating a classroom climate that opens up interracial dialogue: adding without contradiction and granting freedom for conclusions. Adding without Contradiction American history is longer, larger, more various, more beautiful, and [emphasis added] more terrible than anything anyone has ever said about it. (Baldwin 1963) “Adding without contradiction” is a phrase inspired by Mikhail Bakhtin (as discussed in Min 2001), and represents the simple idea that opposition does not forcibly lead to negation or, put differently, that antipodes can coexist without mutual exclusion. Though elementary, the idea requires explanation because it stands in contrast to the dichotomous logic that has conditioned Western thought for more than 2,500 years (Carr and Zanetti 1999). As Nisbett (2003, 25) noted, “The Greeks were focused on, you might even say ob- sessed by, the concept of contradiction. If one proposition was seen to be in contradictory relation with another, then one of the propositions had to be rejected.” As a result, West- ern cultures have for millennia encouraged thought in terms of right or wrong, nature or nurture, public or private, quantity or quality, and good or evil. Though relatively recent strands of post-structuralist thought in the West have transcended this dichotomous logic, it nevertheless remains awkward for many Westerners to categorize the world in terms of right and wrong, good and evil. The same cannot be said for many Easterners who have inherited blended legacies of Taoism, Confucianism, and Buddhism. Indeed, adding without contradiction is entirely consistent with and informed by Eastern thought. According to Nisbett (2003, 13), “A fundamental of the Eastern stance toward life [is that] the world is constantly changing and full of contradictions. To understand and appreciate one state of affairs requires the existence of its opposite.” A brief look at both Taoism and Buddhism helps to inform this Eastern outlook. First developed in China roughly 5,000 years ago, Tao represents “the path” or “way” of life. Though the path comprehends much (and more than can be expressed in words alone), it involves recognizing that, despite appearances, everything is unifi ed. As Watts (1994, 46) explained, when we accept the Tao, we are “above and beyond the opposites.” Similarly, Buddhism has long taught about fundamental connection; in particular, this D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 134 • The Educational Forum • Volume 74 • 2010 Cargile theology provides a detailed account of how people erroneously construct the illusion of a separate self on the grounds of union using fi ve skandhas, or psychological elements (Trungpa 1993). Buddhism instructs that duality is a product of the mind, not a quality of nature itself. The state of nature is fl uid connection, yet we impose on it a duality in order to construct the self out of the non-self. As Trungpa (1993, 73) articulated, “[The ego] perceives the ‘other ’ and in a panic perceives itself as another something else across from that other.” For example, when an “other” claims to be a victim, the dualistic ego hears this as an accusation of being a victimizer and will subsequently seek to defend itself. However, Buddhism intervenes on this dichotomy by pointing out its illusory nature: The self is not separate and opposed to the other; rather the self and the other are one. When others are victimized, so too are we; the natural response of big (or non- egoistic) mind is compassion, not defense (Suzuki 1970). Thus, following Buddhism, adding without contradiction is a dialogic practice that aims to intervene on habitual, refl exive opposition to the other. The benefi t is that “when this understanding [of tran- scending opposition] matures … it creates an inner freedom and spontaneity, a sense of being at ease in the world” (Watts 1994, 47). With this brief explanation of the concept in place, the practice of adding without contradiction in interracial dialogue can now be described more fully. In Practice: Adding without Contradiction In the United States, students enter interracial dialogue with some powerfully em- bodied habits—ways of speaking that consistently undermine their capacity to hear one another. One such habit is found in the discourse of assimilation long ago adopted in this country (see Horsman 1981). In the beginning, assimilation orientations were perfectly obvious in the treatment of “others,” such as American Indians who were forced to attend government schools in which they were reclothed, regroomed, and renamed in the colo- nizer’s image. Throughout the 19th and 20th centuries, assimilation preferences continued to be expressed overtly and were but thinly veiled in practices such as immigration, which heavily favored Europeans as stock for the American “melting pot.” With the advent of the civil rights movement in the United States, however, such blatantly discriminatory conduct was outlawed and the expression of long-established assimilatory desires became coded primarily in the discourse of “color blindness.” As Gotanda (1991), Harris (1993), and others (e.g., Lewis, Chesler, and Forman 2000) argued, color blindness is a form of race subordination in that it denies the history of racialized oppression; it insists that we all treat one another as humans when the adopted model of humanity requires that people of color assimilate to white cultural norms. The effect that a discourse of assimilation has on interracial dialogue is to deny differ- ence. Within this frame, difference is something that, if encountered, should be eradicated. It is presumed to undermine national unity; thus, stories expressing themes running counter to the cultural grand narratives (e.g., “I pulled on my bootstraps and those suckers broke!”) are fi rmly challenged and shouted down. When students refl exively respond this way in the classroom—because that is the only model for cultural discourse that society has presented them—the promise of dialogue quickly fades. D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 The Challenge of Opening Up Interracial Dialogue The Educational Forum • Volume 74 • 2010 • 135 A second habit that also works against interracial dialogue is the proclivity for debate in the United States. In her book, The Argument Culture: Stopping America’s War of Words, Tannen (1999, 7) rooted out the tendency in Western culture to approach public dialogue as a war in which “criticism, attack, or opposition are the predominant if not the only ways of responding to people or ideas.” In this environment, fully hearing a discussion participant is superseded by the search for “weaknesses” in the “argument” of the “op- ponent.” As Lakoff and Johnson (1980) famously pointed out, we do not simply employ the metaphor “argument is war,” we live by it. Thus, in this context, the challenge of open- ing up productive and enriching interracial dialogue is considerable. Caught between a cultural heritage that presents debate as the means to knowledge (see Ong 1981) and a powerful ideology of assimilation, students are not prepared to use interracial dialogue as an opportunity to heal deep wounds and increase awareness. It is the job of educators to prepare them for dialogue; adding without contradiction is a dialogic practice that can be used toward this end. So what, specifi cally, is the practice of adding without contradiction and how does it help improve dialogue? I introduce the concept in a course on intercultural communica- tion when talking about Christopher Columbus. Within the U.S. cultural grand narrative, Columbus is presented as the daring explorer who discovered America. Alternatively, he is also described, signifi cantly less often, as a conquistador who succeeded in exploiting native peoples and their land. Led by their habits of dichotomous logic, assimilation, and argument, students typically will argue about which description of Columbus is correct. Is he a hero or a villain? Before the debate breaks out, however, Loewen’s (1995, 70) de- scription of the man is offered and explained: “Columbus’s importance in history owes precisely to his being both a heroic navigator and a great plunderer.” This example helps students to appreciate that what is true depends on one’s point of view: From the point of view of Europeans, Columbus discovered a new land; and from the point of view of Native Americans, his arrival marked the beginning of oppression. Both of these powerful truths exist simultaneously; one does not exclude the other. Though most students can appreciate this sort of subjectivist epistemology intellectually, they do not practice it. Thus, students engaged in such discussion are encouraged to “add without contradiction” by adopting the simple habit of saying “and” instead of “but.” Throughout the semester, whenever one student rebuts another, they are challenged to say “and.” For example, instead of replying to the comment, “My parents didn’t have a chance to learn English when they arrived” with “But my mother enrolled in ESL [English as a second language] courses when she came here,” students are encouraged to say, “And my mother enrolled in ESL courses when she came here.” In this instance, “and” interjects a subjectivist epistemology into the dialogue by creating plural realities for the immigrant experience: Some immigrants to the United States have the resources to quickly develop a profi ciency in English, and others do not. Students need reminders that human faces are the same and human faces are different. A second way the practice is introduced is through use of a card-game metaphor. Because of the habit of argumentation, students are well-practiced in “trumping” one D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 136 • The Educational Forum • Volume 74 • 2010 Cargile another ’s stories—using one account to negate another. For example, whenever an experience of “driving while black” is shared, it is regularly met by a white person’s ac- count of equally intense or suspicious treatment by police. Using Grice’s (1989) Maxim of Relevance—which declares all shared comments relevant to the conversation—it is explained how the second account functions to trump the fi rst. The second story of police mistreatment relates to the fi rst by rebutting the explicit claim of racism with the implicit claim of racial equality—we are all actual or potential victims of police miscon- duct, regardless of race. However, instead of habitually positioning our experiences as competing claims about reality, as with Columbus, these two seemingly contradictory truths coexist: For some, race plays a role in how we are treated by police (i.e., “being black in the wrong neighborhood”) and, for others, it does not (i.e., people are mistreated, despite being white). Thus, the task in interracial dialogue is to create space in which this multiplicity of truths can be expressed; instead of using cards to trump one another, we need to simply “lay them on the table.” When we learn to tell our stories both authentically and in a manner that does not deny or minimize the experiences of others, the conversation opens up. As one student related the following: I am a fi rm believer in adding without contradiction. … As we began our class discussions and I listened to people talk, I began to understand exactly how it worked. In one word I was thankful because it validated each and every person’s response and created an equal playing fi eld. Despite this success, sharing personal narratives without shutting out others is never an easy practice when we embody habits based in argumentation. Participants need skillful and regular guidance in this practice. Students need help in unpacking their stories because, despite their understanding and intentions, students are on a course to trump one another. For example, one white student, eager to show his peers that he identifi ed with them, followed up a story of hardship told by a student of color with his own account of poverty. Unfortunately, because he told it in the refl exive style of “white people are poor too!,” some peers began to roll their eyes; all they heard was another account justifying the racial status quo. Sensing this, an intervention whereby he was asked to personalize his experience while avoiding generalizing was attempted. As a result, the unexpressed enthymeme “people are poor regardless of race” became the expressed story, “I especially hear you because, adding without contradiction, I am poor as well.” As illustrated in the preceding example, one specifi c technique that often encourages stories to be heard in a spirit of addition rather than contradiction is personalization. Similar to the concept of an “I statement” (see Burr 1990) in which a speaker takes own- ership for his or her remarks, personalization entails prefacing stories with the speaker’s location in social space and emphasizing the singularity of the experience. In this way, personalization helps to “contain” the speaker’s story, thereby allowing room for others to add without contradiction. One student commented: D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 The Challenge of Opening Up Interracial Dialogue The Educational Forum • Volume 74 • 2010 • 137 I think that by framing our experiences and marking them as just ours is very important. I have learned a lot by speaking in this way. Also, when I listen to other people’s stories, I am able to mark them as well and know that that was their experience and it is okay if I have a different viewpoint/experience in the same situation. As described thus far, adding without contradiction is a conversational frame that allows dialogue participants to express a multiplicity of cultural truths. The strategy succeeds by simultaneously creating space for much needed “back talk” (hooks 1989; Warren 2000) and minimizing reactionary defensiveness. In the words of one student, “I seriously think that this approach encouraged students to tell their story more, and it also acted as a barrier to prevent other students from attacking their point of view.” Indeed, the lack of such attacks in a conversation about race was conspicuous to many. As another student noted, “I have never taken such an intense class. Hearing other students speak on what they believe and somehow not getting into heated discussions was a challenge, but somehow the whole class managed.” In the end, what are participants’ overall impressions of adding without contradiction in interracial dialogue? The following are some representative comments: I used to think that I had to simply pick my battles, when in actuality, I should have been looking at the conversation not as a war but as a learning experience. It is so easy to shut out unwanted opinions and facts, but the problem with tuning out people is that it gets you nowhere. … I think that in order to have a multicultural conversa- tion, laying the cards out on the table is the only means for success. I don’t fi nd my blood boiling as much when I hear stories from a dominant group member because I have come to understand that this is their experience. … I feel the want to understand our world and validate everyone’s experiences while still expressing my own. This approach would be so helpful. But it is still just not practiced in our conversa- tions, I think. When we are conscious that we should not trump others, this works well. But if we are not really conscious, our old habit still comes fi rst. By listening to what was said and simply accepting it for what it was, their thoughts, I realized I have come a long way in this class. Half the struggle of under- standing multiculturalism is … simply accept[ing] other people’s points of view. One of the responses you showed in lecture summed up what this practice taught me: “Just listen to my story and believe it is true to me.” As human beings we all just want to know that people hear us and believe us when we talk about our experiences. As these student comments refl ect, adding without contradiction helps intervene on the dysfunctional habits often carried into conversation and, thus, enriches the capacity of interracial dialogue to heal deep wounds and increase awareness. A second D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 138 • The Educational Forum • Volume 74 • 2010 Cargile strategy that also works to unlock the potential of dialogue is granting freedom for conclusions. Granting Freedom for Conclusions As Buddhism inspired, in part, the idea of adding without contradiction, so too it encourages educators to grant students the freedom to draw their own conclusions. The Buddhist approach is, at its core, “framed in terms of nondualism … and a stance of non- judgment” (Berkson 1999, 184). Consequently, by exploring non-judgment in the context of interracial dialogue, we have discovered it to mean that no matter how prejudiced a participant’s attitude or how antagonistic his or her position, facilitation may be most effective when individuals are received for who they are and accepted where they are. It is unsurprising to recognize that people who choose to facilitate interracial dialogue are most often deeply dedicated to social justice. In this position, it is thus natural to encour- age or even goad others to commit to this deserving platform. As one educator explained, “I know the direction I want my students to go. … I want them to develop respect for all people. … I want them to confront the moral contradictions in … society. … I want them to believe that they, and their society, can change” (Fox 2001, 85). Indeed, we can identify with these expressed desires. Even so, experience teaches that pushing any platform, no matter how laudable, also engenders friction. As a student once commented, “I’ll decide for myself what I believe—not the ‘class dogma’ because it’s artfully presented.” When participants feel ideologically boxed in, they begin to resist. As Chan and Treacy (1996, 217) related, “sometimes students who object to the content of multicultural courses do so because they feel pressured to adopt certain principles or beliefs, and so these students can become very resistant to class participation.” Experiencing exactly this sort of unwillingness, implementing a non-judgmental stance to facilitation succeeds in opening up the classroom conversations about race. In Practice: Granting Freedom for Conclusions This process must begin fi rst by learning to recognize our own implicit biases. I, as a biracial individual with both the educational background and personal equanimity to shoulder tough inquiries into the U.S. racial morass, realized that I embodied a refl exive critique of those positioned in the ideology of “whiteness.” In deconstructing this refl ex, I discovered a metaphorical distance between myself and some of my students: Some inhabit social spheres in which critical inquiry into race is punished and, moreover, life experiences may have robbed their personal strength to take on challenges such as this. As a result, I realized the futility in expecting others to respond to racism in the ways familiar only to myself; indeed, we all walk very different paths before meeting. With recognition of the differences and a commitment to honor the distances between myself and my students, I began enacting non-judgmental facilitation—most powerfully through nonverbal communication and most typically with stories demonstrating my role in the dialogue. I explained to students that there are no “right” answers or “correct” actions to be uncovered; instead, as with the idea of multiple truths, there are multiple answers to each of our situated predicaments dealing with race. Though I had drawn D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 The Challenge of Opening Up Interracial Dialogue The Educational Forum • Volume 74 • 2010 • 139 my own tentative conclusions, they are not necessarily conclusions that anyone else will draw; instead, each of us must take on the diffi cult work of deciding what answers work best in our own lives. To illustrate these ideas, consider that while both of my maternal grandparents were born in the United States to Mexican immigrant parents, each chose a different way of being Mexican American. Grandfather took an accommodating and sometimes segregat- ing outlook on life surrounded by European Americans; he spoke in Spanish and often of the spirit of la raza (the race). On the other hand, Grandmother assimilated to such a degree that, despite her lineage and native Spanish abilities, she did not consider herself Mexican American. Who chose the “right” way out of the racial dilemma in which you are an “other” in your own land? There is no answer that is correct for everyone; thus, we can salute Grandfather for making the choices that were right for him, as well as Grandmother for acting as she best knew how. As such, the frame of this story from my personal history helps demonstrate to participants my specifi c role in the dialogue—namely, to grant them the freedom to draw their own conclusions. Approaching facilitation without judgment is incredibly liberating (you do not have to have all of the answers!), though accepting people where they are remains a great chal- lenge. One student commented: Too many times the professors in college want students to live under their beliefs, without considering some students have experienced many different things. ... Trying to change people is not the way for them to blossom into better people; change comes gradually with life and experiences. So, what happens when a facilitator embodies non-judgment? At the outset, students notice—particularly those who adopt a conservative ideology. In the words of one such student, “I enjoyed the fact that you were not a hardcore liberal teacher jamming your ideology down our throats.” In instances like this, a stance of non-judgment mitigates resistance built into traditionalist discourse about multiculturalism and encourages par- ticipants to stay otherwise engaged. One student confessed: I know what I know and I am not afraid to … stand up for what I think is cultur- ally right. … [Yet,] I don’t want to be naïve anymore, so I am glad that I am able to think through things without people pushing their beliefs on me. In addition to mitigating resistance, granting freedom for conclusions has had the unexpected effects of stimulating additional dialogue, as well as critical thought. Because of the emphasis on the social responsibility of collecting lots of evidence on which to base conclusions, participants often are eager to survey the cultural landscape and hear others’ stories. Several students shared: Reaching my own conclusions I’ve found is key. Sometimes it’s hard not to become enwrapped in what my surrounding environment believes, especially when those I’m around are all intelligent and cultured individuals. But taking a piece from each D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 140 • The Educational Forum • Volume 74 • 2010 Cargile student who shared has helped me to form and mold my own opinions about multicul- turalism and diversity. I really like the fact that I am encouraged to draw my own conclusions and beliefs, rather than having to believe what my peers or instructor believes. It really gives us a freedom that we all have but might not always be aware of. And through this, I believe, we learn more because we are more open to question things and look at all answers before we, ourselves, decide what it is exactly that we believe. The idea of reaching my own conclusions defi nitely scared me at fi rst because I was afraid that I would make conclusions that were not the “right” ones. … [However,] I now feel empowered. Now, I am gaining more awareness of the choices I make, about what to believe or not believe. As these comments reveal, facilitators who grant participants the freedom to be who they are and to judge things for themselves may experience the emergence of open and dynamic conversations about race. Conclusion This essay began with the question, “What can educators do to minimize the risks inherent to interracial dialogue?” Though no such meaningful conversation ever will be without risk, two specifi c strategies are offered here that can help foster open classroom climates: adding without contradiction and granting freedom for conclusions. Both of these strategies intervene on several dysfunctional habits we enact in conversation and, thus, enrich the capacity of interracial dialogue to heal deep wounds and increase awareness. References Baldwin, J. 1963. A talk to teachers. The Saturday Review, December 21: 42–44. Berger, M. 1999. White lies: Race and the myths of whiteness. New York: Farrar, Straus & Giroux. Berkson, M. 1999. Buddhist–Christian dialogue: Promises and pitfalls. Buddhist–Christian Studies 19(1): 181–86. Burr, W. R. 1990. Beyond I-statements in family communication. Family Relations 39(3): 266–73. Carr, A., and L. A. Zanetti. 1999. Metatheorizing the dialectic of self and other. American Behavioral Scientist 43(2): 324–46. Chan, C. S., and M. J. Treacy. 1996. Resistance in multicultural courses. American Behavioral Scientist 40(2): 212–21. Davis, L. E., and E. K. Proctor. 1989. Race, gender, and class: Guidelines for practice with indi- viduals, families, and groups. Englewood Cliffs, NJ: Prentice Hall. Fishman, S. M., and L. McCarthy. 2005. Talk about race: When student stories and multi- cultural curricula are not enough. Race, Ethnicity and Education 8(4): 347–64. Fox, H. 2001. When race breaks out: Conversations about race and racism in college classrooms. New York: Peter Lang. D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 The Challenge of Opening Up Interracial Dialogue The Educational Forum • Volume 74 • 2010 • 141 Gillespie, D., L. Ashbaugh, and J. DeFiore. 2002. White women teaching white women about white privilege, race cognizance and social action: Toward a pedagogical prag- matics. Race, Ethnicity and Education 5(3): 237–53. Gotanda, N. 1991. A critique of “our constitution is color-blind.” Stanford Law Review 44(1): 1–68. Grice, H. P. 1989. Studies in the way of words. Cambridge, MA: Harvard University Press. Harris, C. 1993. Whiteness as property. Harvard Law Review 106(8): 1709–91. Hewstone, M., and R. J. Brown. 1986. Contact is not enough: An intergroup perspective on the “contact hypothesis.” In Contact and confl ict in intergroup encounters, ed. M. Hewstone and R. J. Brown, 1–44. Oxford, England: Blackwell. Higginbotham, E. 1996. Getting all students to listen. American Behavioral Scientist 40(2): 203–11. hooks, b. 1989. Talking back: Thinking feminist, thinking black. Cambridge, MA: South End Press. Horsman, R. 1981. Race and manifest destiny. Cambridge, MA: Harvard University Press. Hytten, K., and J. Warren. 2003. Engaging whiteness: How racial power gets reifi ed in education. Qualitative Studies in Education 16(1): 65–89. Lakoff, G., and M. Johnson. 1980. Metaphors we live by. Chicago: University of Chicago Press. Levine-Rasky, C. 2000. Framing whiteness: Working through the tensions in introducing whiteness to educators. Race, Ethnicity and Education 3(3): 271–92. Lewis, A. E., M. Chesler, and T. A. Forman. 2000. The impact of “colorblind” ideologies on students of color: Intergroup relations at a predominantly white university. Journal of Negro Education 69(1–2): 74–91. Loewen, J. W. 1995. Lies my teacher told me: Everything your American history textbook got wrong. New York: Simon & Schuster. Marx, S., and J. Pennington. 2003. Pedagogies of critical race theory: Experimentations with white preservice teachers. Qualitative Studies in Education 16(1): 91–110. Miller, J., and S. Donner. 2000. More than just talk: The use of racial dialogues to combat racism. Social Work With Groups 23(1): 31–53. Min, E. 2001. Bakhtinian perspectives for the study of intercultural communication. Journal of Intercultural Studies 22(1): 5–18. Nakagawa, G. 1987. Why must you reopen old wounds? Disfi guration, refi guration and healing in stories of Japanese American internment. Paper presented at the Western Speech Communication Association annual convention, February, Salt Lake City, UT. Nisbett, R. E. 2003. The geography of thought: How Asians and Westerners think differently … and why. New York: Free Press. Ong, W. J. 1981. Fighting for life: Contest, sexuality, and consciousness. Ithaca, NY: Cornell University Press. Pettigrew, T. F. 1998. Intergroup contact theory. Annual Review of Psychology 49(1): 65–85. Rich, M. D., and A. C. Cargile. 2004. Beyond the breach: Transforming white identities in the classroom. Race, Ethnicity and Education 7(4): 351–65. Simpson, J. S. 2003. I have been waiting: Race and U.S. higher education. Toronto: University of Toronto Press. D o w n l o a d e d B y : [ C a r g i l e , A a r o n ] A t : 1 8 : 4 0 2 6 M a r c h 2 0 1 0 142 • The Educational Forum • Volume 74 • 2010 Cargile Suzuki, S. 1970. Zen mind, beginner’s mind. New York: Weatherhill. Tannen, D. 1999. The argument culture: Stopping America’s war of words. New York: Ballantine. Tatum, B. D. 1992. Talking about race, learning about racism: The application of racial iden- tity development theory in the classroom. Harvard Educational Review 62(1): 1–24. Trungpa, C. 1993. The development of ego. In Entering the stream: An introduction to the Buddha and his teachings, ed. S. Bercholz and S. C. Kohn, 73–82. Boston: Shambhala. Warren, J. W. 2000. Masters in the fi eld: White talk, white privilege, white biases. 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work_pt6pw37vrzbzhjzft5ppx2qs4a	----	Tracking the Origin of Invasive <italic>Rosa rubiginosa</italic> Populations in Argentina TRACKING THE ORIGIN OF INVASIVE ROSA RUBIGINOSA POPULATIONS IN ARGENTINA Heidi Hirsch,1,* Heike Zimmermann,* Christiane M. Ritz,y Volker Wissemann,z Henrik von Wehrden,*,§ Daniel Renison,k Karsten Wesche,y Erik Welk,* and Isabell Hensen* *Institute of Biology, Geobotany and Botanical Garden, Martin-Luther-University Halle-Wittenberg, Am Kirchtor 1, 06108 Halle/Saale, Germany; ySenckenberg Museum of Natural History Goerlitz, Am Museum 1, 02826 Goerlitz, Germany; zInstitute of Botany and Plant Physiology, Systematic Botany, Justus-Liebig-University Giessen, Heinrich-Buff-Ring 38, 35392 Giessen, Germany; §Institute of Ecology and Environmental Chemistry Fac. III, Centre of Methods, Leuphana University, Scharnhorststraße 1, 21335 Lueneburg, Germany; and kInstitute of Ecology, Facultad de Ciencias Exactas, Fı́sicas y Naturales, National University Córdoba, Consejo Nacional de Investigaciones Cientı́ficas y Técnicas, Avénida Vélez Sarsfield 229, 5000 Córdoba, Argentina The exact geographic origin of invasive species populations is rarely known; however, such knowledge is vital to understanding species’ invasion success, spread, and evolution as well as for assessing any biological control options. We investigated the shrub Rosa rubiginosa L., focusing on the presumed European origin of invasive populations in Argentina. We analyzed eight polymorphic microsatellite loci among 102 native (European) and 29 invasive (mainly central Argentinean and Patagonian) populations. Genetic diversity in the invasive range was clearly lower than in the native range, possibly because of a low number of introductions. Contrary to earlier hypotheses, the interpretation of principal coordinate analysis results and Jaccard dissimilarities contradicts the idea of the Argentinean populations having a Spanish origin. Instead, we found a close similarity between Argentinean samples and those from Germany, the Czech Republic, and Austria. We therefore assume that these neighboring countries are the most probable source regions for the Argentinean populations, which in some cases may also have arrived via Chile. According to historic information, emigrants from these regions may have introduced R. rubiginosa to South America in the nineteenth century on at least two occasions, either for food or as rootstock material for propagating living fences. Keywords: biological invasions, microsatellites, native origin, bridgehead effect, polyploidy, Rosaceae. Online enhancement: appendix B. Introduction The discovery of America by Christopher Columbus in 1492 was a crucial event in human history and nature. Since the discovery of the New World, globalization of trade, trans- port, and emigration has been constantly growing, and hu- mans have played an increasing role in the dispersal of species (Meyerson and Mooney 2007). As a consequence, many spe- cies have become introduced to areas where they could not have naturally dispersed. Some of these species became so suc- cessful after establishment that they are regarded as being in- vasive in their new ranges (Richardson et al. 2000). It is predicted that most invasive populations develop from a few introduced individuals, and these initially small popu- lations are generally expected to have a low genetic diversity because of founder effects and genetic drift (Dlugosch and Parker 2008a; Novak and Mack 2005). However, the magni- tude of these effects depends on several factors, for example, the reproduction system (Novak and Mack 2005; Barrett et al. 2008), the ploidy level (Soltis and Soltis 2000; Prentis et al. 2008), or preadaptations to abiotic influences (Prinzing et al. 2002; Schlaepfer et al. 2010). Therefore, invasive spe- cies can be very successful despite having low genetic vari- ability (Ahmad et al. 2008; Le Roux et al. 2008). Detailed insights into these aspects of invasion success can often be gained by comparing invasive and native populations of the invasive species (Bossdorf et al. 2005; Erfmeier and Bruel- heide 2005; Hierro et al. 2005). Identification of the exact geographic origin of source pop- ulations of invasive species provides important information about success, spread, and evolution of invasive species and creates opportunities for their biological control (e.g., host- specific pathogens; Guo 2006; Estoup and Guillemaud 2010). Molecular markers are appropriate tools for identifying the source populations of invasive species, since they enable the detection of pathways of introduction and allow for compar- isons between the species’ genetic variation in the native and invasive ranges (Barrett and Shore 1989; Sakai et al. 2001; Durka et al. 2005). Nonetheless, only a few studies have de- termined the source populations of invasive species (Milne and Abbott 2004; Gaskin et al. 2005; Goolsby et al. 2006). One example is the study by Novak and Mack (2001), who used allozyme electrophoresis techniques in combination with historical information to trace the native source region of in- vasive Bromus tectorum L. populations in North America as 1 Author for correspondence; e-mail: hirsch-heidi@web.de. Manuscript received September 2010; revised manuscript received December 2010. 530 Int. J. Plant Sci. 172(4):530–540. 2011. � 2011 by The University of Chicago. All rights reserved. 1058-5893/2011/17204-0006$15.00 DOI: 10.1086/658924 well as other naturalized ranges (Argentina, Chile, Canary Is- lands, Hawaii, and New Zealand). They revealed that its spread was closely related to patterns of European human immigration around the world. Similarly, Besnard et al. (2007) determined the origin of invasive olive trees (Olea europaea L.) in Australia and Hawaii on the basis of micro- satellites and chloroplast markers as well as ITS sequences. Rosa rubiginosa L. (Rosaceae), the sweet briar or eglantine rose, is native to Eurasia (Täckholm 1922; Meusel et al. 1965) and forms neophytic or even invasive populations in South Africa, Australia, New Zealand, and North and South America (Parsons and Cuthbertson 2001; Weber 2003; Bel- lingham et al. 2004; Nel et al. 2004; Lüttig 2006). In Argen- tina, populations of R. rubiginosa are mainly located in central Argentina and Patagonia. In Patagonia, the rose is widespread and populations most often take the form of dense stands that displace native species (Damascos and Gal- lopin 1992). Here, R. rubiginosa is already accepted as part of the local flora, and rose hips are harvested for private use or by small producers. In Chile, on the other hand, R. rubigi- nosa is already being exploited on a large scale for its seed oil by international cosmetic companies (Joublan and Rios 2005). In central Argentina, populations are smaller than in Patagonia but equally invasive (Zimmermann et al. 2010). The exact Eurasian origin of the Argentinean populations is unknown. In accordance with the predominant European ori- gin of human immigrants, two scenarios are currently dis- cussed in the literature: (1) R. rubiginosa was introduced to South America by Spanish immigrants (Joublan et al. 1996; Leuenberger 2005; Lüttig 2006) or (2) German immigrants brought R. rubiginosa to South America (Damascos 1992). A comparison of 13 Argentinean and 20 native popula- tions (Germany and Spain) using dominant random amplifi- cation of polymorphic DNA and codominant microsatellite markers by Zimmermann et al. (2010) revealed that genetic diversity of R. rubiginosa is highly reduced in the invasive range, but they were unable to detect the geographic origin of the invasive populations. However, one Argentine popula- tion was genetically very similar to German populations. In this study, we extended our sampling with the focus on Ger- many and its neighboring countries and Spain in the native range and therefore analyzed R. rubiginosa populations in a wider distribution range than in our previous study by us- ing both fresh and herbarium plants. Herbarium material provides the additional advantage that genetic information from extinct populations can be used. Furthermore, we used nuclear microsatellite markers because of their expected higher genetic variability and good reproducibility (Litt and Luty 1989; Tautz 1989). We assessed the following ques- tions: (1) Is it possible to track the European origin of the R. rubiginosa invasion in Argentina and to estimate how many introduction events occurred? (2) Can we confirm the low ge- netic diversity of R. rubiginosa in the invasive range? Material and Methods Study Species Rosa rubiginosa is one of ;60 species of the section Cani- nae (DC.) Ser. (dog roses; Wissemann and Ritz 2007). Dog roses reproduce by xenogamy and autogamy, but apomixis has also been described (Wissemann and Hellwig 1997). The species of this section are characterized by an unusual mei- otic system, the canina meiosis, first described by Täckholm (1920, 1922) and Blackburn and Harrison (1921). Their studies revealed that most dog roses, including R. rubiginosa, are pentaploid (2n¼5x¼35). The unique canina meiosis pro- duces tetraploid egg cells (1n¼4x¼28)—which stabilizes this odd ploidy level, thus ensuring sexual reproduction—and haploid sperm cells (1n¼1x¼7). This leads to distinctive matroclinal inheritance (Ritz and Wissemann 2003; Wissemann et al. 2006; Wissemann and Ritz 2007) and renders analysis of heterozygosity and related genetic measures complicated. Sampling Scheme On the basis of the two currently discussed scenarios re- garding the origin of invasive R. rubiginosa populations in South America, we focused our sampling in the native range on Spain (42 samples) and Germany (201 samples). Accord- ing to recommendations by Muirhead et al. (2008), we also increased the population sampling with other countries of the native range, with the majority of samples from the Czech Republic (30 samples) and Austria (16 samples) fol- lowed by Italy (5 samples), France and Scotland (2 samples, respectively) and single samples from five more countries (Belgium, Croatia, Slovakia, Sweden, and Ukraine), which was realized by using both herbarium and fresh leaf material (see apps. A, B [app. B is in the online edition of the Interna- tional Journal of Plant Sciences]). Since we aimed to cover a wide geographical range, leaf material was collected from a large number of regions (32) and populations (131), while the number of individuals per population was relatively low (sample sizes between 1 and 15 individuals per population; for similar strategies, see Clausing et al. 2000; Lambracht et al. 2007; Prinz et al. 2009). In the invasive range we mainly sampled populations in Argentina (90 samples), but we also included a few populations from Chile (6 samples), South Africa (1 sample), Australia (1 sample), and New Zealand (16 samples; see app. B). Herbarium material was collected from herbaria in Germany and Austria dating from 1927 to 2002 (see apps. A, B). Fresh leaf material was sampled ran- domly from areas within the invasive ranges no larger than 2500 m2, and the minimum distance between populations was 1 km. Because of the small population sizes in the native range, the number of sampled individuals per population was often lower than 10 and usually covered the whole popula- tion area (area sizes between 0.009 and 0.09 km2; for de- tailed information, see Zimmermann et al. 2010). Altogether, 417 samples from 29 invasive and 102 native populations were studied (see fig. 1; app. B). To test whether herbarium material was suited for microsatellite analyses, we tested both herbarium (1–2 years old) and fresh material from 10 individ- uals, which yielded identical results. DNA Extraction DNA extraction from silica gel–dried leaf material was performed with the DNeasy Plant Mini Kit (QIAGEN, Hil- den) following the manufacturer’s instructions. To increase 531HIRSCH ET AL.—ORIGIN OF INVASIVE ROSA RUBIGINOSA IN ARGENTINA F ig . 1 S a m p le d p o p u la ti o n s (1 0 2 n a ti v e a n d 2 9 in v a si v e) o f R o sa ru b ig in o sa . D et a il s o f E u ro p e a n d A rg en ti n a a re en la rg ed . A rg en ti n ea n p o p u la ti o n s a ro u n d C ó rd o b a a re re fe rr ed to a s ce n tr a l A rg en ti n ea n p o p u la ti o n s a n d th o se a ro u n d S a n C a rl o s d e B a ri lo ch e a s P a ta g o n ia n p o p u la ti o n s. N o te th a t o n ly a fe w p o p u la ti o n s fr o m S o u th A fr ic a , A u st ra li a , a n d N ew Z ea la n d (c o u n tr ie s n o t en la rg ed ) w er e sa m p le d (s ee a p p . B in th e o n li n e ed it io n o f th e In te rn a ti o n a l Jo u rn a l o f P la n t S ci en ce s) . the final DNA concentration, we used a longer elution time (10 min) for the herbarium samples in accordance with Drábkova et al. (2002). Microsatellite Analysis For the analyses of sequence-tagged microsatellite sites of R. rubiginosa, we used eight primer pairs (RhD201, RhD206, RhD221, RhB303, RhEO506, RhP519, RhE2b and RhAB26) isolated by Esselink et al. (2003). PCR assays were set up in final volumes of 25 mL, containing 10 ng of genomic DNA, 1 mL of each primer (5 pmol/mL; Metabion, Martinsried), 2.5 mL dNTPs (2.5 mM; Q-Biogene, Heidelberg), 1 U Taq DNA polymerase (Fermentas, St. Leon-Rot), 2.5 mL incuba- tion mix T. Pol with 1.5 mM MgCl2 (Q-Biogene) and 16.8 mL H2Obidest. One primer of each pair was labeled at the 59 end with 6-FAM or HEX fluorescent dyes. PCR was performed in a Mastercycler gradient or Mastercycler epgradient (Ep- pendorf, Hamburg) under the following temperature regime: initial denaturation at 94�C for 3 min; 28 cycles (35 cycles for primer RhD201 and RhE2b) with 30 s denaturation at 94�C, 30 s annealing at 50�C, and 60 s elongation at 72�C, and a final elongation step for 3 min at 72�C. PCR products (fresh leaf material 1 : 5 and herbarium leaf material 1:1 di- luted) were used for separation on a MegaBace 1000 system (Amersham Bioscience, Uppsala) with MegaBace-ET Rox 400 (Amersham Bioscience) as a size standard. The genotyping was performed with the MegaBace Fragment Profiler software 1.2 (Amersham Bioscience). Data Analysis The eight primer pairs used in the PCR yielded 69 poly- morphic alleles. Only four or fewer alleles per locus were de- tected in any individual at any of the scored loci, which is in accordance with previous results of Nybom et al. (2004) on several dog roses, including R. rubiginosa. The assessment of the exact allelic configurations using microsatellite DNA counting–peak ratios in accordance with Esselink et al. (2004) was not successful as a result of significant deviations be- tween observed and expected microsatellite DNA counting– peak ratios. Possible reasons for these deviations include base substitution in the primer binding sites or reaction times ex- ceeding the exponential phase during PCR (Esselink et al. 2003, 2004). Therefore, statistical analysis had to be based on the allelic phenotypes, since the number of allele copies remained unknown. We calculated the proportions of shared alleles (i.e., alleles occurring in both the native range and the invasive range South America) and exclusively European alleles (i.e., alleles restricted to the native range). This method was previously described by Durka et al. (2005) and assumes that a high proportion of shared alleles indicates the possible source re- gion, whereas unlikely source regions are characterized by a high proportion of exclusively European alleles. Moreover, the proportion of allelic phenotypes was also used as a mea- sure of genetic diversity. In order to reveal genetic similarity between samples, a principal coordinate analysis (PCoA) us- ing square root–transformed Jaccard dissimilarities (equiva- lent to Jaccard distance, which is obtained by subtracting the Fig. 2 Allele frequencies of Rosa rubiginosa in Europe and South America (black ¼ alleles found in both Europe and South America, gray ¼ alleles found exclusively in Europe). Individuals sampled within a country are pooled (n ¼ sample size). Countries with sample sizes less than 10 are characterized by having smaller diagrams. The other invasive ranges are excluded because of their small sample sizes. Spain is characterized as having the highest proportion of exclusively European alleles, followed by Germany and Austria. No exclusive alleles were detected in South America. 533HIRSCH ET AL.—ORIGIN OF INVASIVE ROSA RUBIGINOSA IN ARGENTINA Jaccard similarity from 1) was performed with the package vegan (Oksanen et al. 2008) in R (ver. 2.8.1; R Development Core Team 2008). We used the load on the first three axes of every yielded point in the PCoA and the ‘‘find clones’’ option of GenAlEx 6.1 (Peakall and Smouse 2006) to identify the groups of individuals with identical allelic phenotypes and the sizes of these groups. Furthermore, we analyzed genetic similarities between populations with pairwise F0ST values, and as a measure of ge- netic diversity within ranges, the mean Jaccard dissimilarities within the native as well as the invasive range were calculated. For these analyses, only data from populations with three or more sampled individuals (native range, 239 samples; invasive range, 101 samples; see app. B) were selected. Pairwise F0ST values were calculated with the software FDASH. This pro- gram was developed by Obbard et al. (2006) for codominant marker analysis of polyploid species with unknown allelic con- figurations. On the basis of pairwise F0ST values and geographic distances, we performed a Mantel test (Mantel 1967) with the package vegan in R to test for isolation by distance patterns among Argentinean populations as well as among European populations. Mean Jaccard dissimilarity was calculated (999 permutations; package vegan in R) per country and for both the invasive and the native ranges. Sample number in the na- tive range was more than twice as high as for the invasive range, so the native range mean Jaccard dissimilarity was boot- strapped in order to account for unbalanced sampling. Results The geographical allele distribution (fig. 2) shows high pro- portions of European alleles in samples from Germany, Spain, and Austria (29.6%–43.1%). In contrast, the Czech Republic is characterized by only 5.9% of European-specific alleles. No exclusive alleles were detected in the invasive range. The 96 South American samples were clustered in nine groups of individuals with identical allelic phenotypes in the PCoA (fig. 3). Two central Argentinean populations were grouped separately, while the seven remaining groups clus- tered closely and contained samples from both Argentinean regions as well as Chile. The PCoA revealed a clear distinc- tion between the Spanish and Argentinean Rosa rubiginosa samples. In contrast, several Argentinean allelic phenotypes were very similar or even identical to allelic phenotypes from Germany, the Czech Republic, Austria, Italy, and Slovakia. Fig. 3 Principal coordinate analysis (PCoA) of microsatellite data for Rosa rubiginosa (417 samples; PCoA based on square root–transformed Jaccard dissimilarity; explained variance axis 1 ¼ 22.1%, axis 2 ¼ 19.4%). Each point represents an individual and is coded with a unique symbol for the corresponding country (black ¼ countries in the invasive range, gray ¼ countries in the native range). Note that Argentinean samples are accumulated in only nine visible points (visualized by numbers 1–9; numbers in parentheses correspond to the group ID of groups with identical allelic phenotypes in table 2; s ¼ single allelic phenotype) and show a high similarity or even identicalness with samples from Austria, the Czech Republic, Germany, Italy, and Slovakia. Note that three of the Argentinean groups (groups 1–3; represented by samples from two central Argentinean populations) are grouped separately from the remaining South American samples. Samples from Spain (circled with dashed line) are clearly separated from invasive samples. 534 INTERNATIONAL JOURNAL OF PLANT SCIENCES The Chilean, Australian, and several allelic phenotypes from New Zealand were identical to most Argentinean allelic phe- notypes. These results are confirmed by the ranges of Jaccard dissimilarities between European countries and countries from the invasive range (table 1). We detected no exact match be- tween European allelic phenotypes and the single sample from South Africa (table 1). Levels of pairwise F0ST values between the South American populations of R. rubiginosa were very low (0.00–0.04; data not shown). The only exceptions were two central Argenti- nean populations, which also grouped separately in the PCoA; they shared values between 0.19 and 0.49 with other South American populations. Pairwise F0ST values between these two central Argentinean populations and the New Zealand popula- tion were 0.26 and 0.30, while the values between the New Zealand population and the remaining South American popu- lations were only between 0.00 and 0.10. Among European populations, we found pairwise F0ST values between 0.00 and 0.93. In accordance with the PCoA, the Mantel test revealed no isolation by distance relationship among the European pop- ulations (Mantel statistic r ¼ 0.135, P ¼ 0:058) or the South American populations (r ¼ 0.014, P ¼ 0:259). Calculation of the mean Jaccard dissimilarity per range re- vealed that diversity in the native range was 4.7 times higher (0.28) than that in the invasive range (0.06). Bootstrapped native range estimates show a very low variation of less than 0.01 (fig. 4). The low genetic variability in the invaded South American and New Zealand ranges was also reflected by the large number of individuals clustered in only few groups of samples with identical allelic phenotypes (table 2; fig. 3). The European allelic phenotypes showed a more diverse pattern. The invasive range also had a smaller number of alleles as well as lower mean Jaccard dissimilarities and a smaller num- ber of allelic phenotypes per locus at the country level than in the native range, except for Italian populations (table 3). Discussion Identification of the Source Region Several authors assume that Rosa rubiginosa was intro- duced to South America by Spanish emigrants (Joublan et al. 1996; Leuenberger 2005; Lüttig 2006); however, this assump- tion is apparently based on largely unreliable evidence. In con- trast, our PCoA and the ranges of Jaccard dissimilarities clearly distinguish between invasive Argentinean populations and na- tive Spanish populations (table 1; fig. 3), suggesting that the or- igin of the species in Argentina is not Spanish. The results indicate exact or close similarity between Argentinean samples and those from Germany, the Czech Republic, Austria, Italy, and Slovakia. In accordance, populations in Spain had the Fig. 4 Bootstrapped mean Jaccard dissimilarity for sample sizes between 100 and 239 in the native range to account for unbalanced sampling between native (239 samples) and invasive (101 samples) range. Jaccard dissimilarity is equivalent to Jaccard distance, which is obtained by subtracting the Jaccard similarity from 1. Mean Jaccard dissimilarity was calculated for the reduced data set, which contains populations with only three or more samples (see app. B in the online edition of the International Journal of Plant Sciences). Bootstrapped values show a very low variation at only less than 0.01, which excludes a significant influence of sample size on the mean Jaccard dissimilarity. Table 1 Ranges of Jaccard Dissimilarities between European Countries and Countries in the Invasion Range Country Argentina Australia Chile New Zealand South Africa Austria .00–.41 .00–.39 .00–.39 .00–.39 .04–.34 Belgium .11–.29 .17 .17 .17–.30 .23 Croatia .27–.44 .30 .30 .30–.31 .35 Czech Republic .00–.35 .00–.32 .00–.32 .00–.39 .11–.31 France .14–.39 .23 .23 .23–.35 .17–.34 Germany .00–.44 .00–.36 .00–.36 .00–.42 .04–.39 Italy .00–.39 .04–.34 .04–.34 .04–.35 .11–.29 Scotland .23–.31 .26–.28 .26–.28 .26–.34 .31–.33 Slovakia .00–.26 .00 .00 .00–.21 .14 Spain .07–.61 .11–.59 .11–.59 .11–.59 .04–.61 Sweden .07–.17 .11 .11 .11–.18 .04 Ukraine .14–.36 .20 .20 .20–.32 .31 Note. Jaccard dissimilarity is equivalent to Jaccard distance, which is obtained by subtracting the Jaccard similarity from 1. Values of 0 indicate the occurrence of identical allelic phenotypes between two countries. 535HIRSCH ET AL.—ORIGIN OF INVASIVE ROSA RUBIGINOSA IN ARGENTINA highest proportion of exclusively European alleles, whereas populations from the Czech Republic, Italy, Slovakia, Bel- gium, Croatia, Scotland, Sweden, Ukraine, and France had relatively small proportions of European alleles. However, the latter six countries were excluded as possible origin re- gions by the PCoA (fig. 3), while sample sizes of Italian and Slovakian populations were too small to draw any significant conclusions. German and Austrian populations show compar- atively high proportions of exclusively European alleles, but they cannot be excluded as possible source regions because of the similarity between some of their samples and South Ameri- can samples in the PCoA and according to the Jaccard dissimi- larity ranges. The allele distribution result for the Czech Republic is in agreement with the PCoA. Furthermore, it is im- portant to mention that the proportion of exclusively Euro- pean alleles appears to be influenced by the sample size (the smaller the sample size, the higher the proportion of exclu- sively European alleles), except for the Czech Republic. There- fore, we emphasize the importance of comparing the results of the allele proportions with other statistical analyses that are based on a more exact relation of allelic phenotypes. Combining all results, we are able to exclude a Spanish or- igin of the South American populations, and we assume that Central Europe—in particular, Germany, the Czech Republic, Austria, Slovakia, and Italy—constitutes the most probable source region for the South American populations. Narrow- ing down the geographical range would require more exten- sive sampling, especially from Austria, Slovakia, and Italy. Table 2 Groups of Identical Allelic Phenotypes and Geographic Origin of Samples in Each Group Group ID Group size Native range Invasive range 1 2 ES (2) 2 2 ES (2) 3 2 DE (2) 4 2 DE (2) 5 2 DE (1), GB (1) 6 2 ES (2) 7 2 ES (2) 8 2 DE (2) 9 2 DE (1) AR (1) 10 2 DE (2) 11 2 DE (2) 12 2 DE (2) 13 2 DE (2) 14 2 ES (2) 15 2 ES (2) 16 3 DE (3) 17 3 ES (3) 18 3 DE (3) 19 3 CZ (1), IT (1) AR (1) 20 3 CZ (2), DE (1) 21 3 IT (2) AR (1) 22 3 DE (2), FR (1) 23 3 DE (3) 24 4 AT (2), CZ (2) 25 4 ES (4) 26 5 CZ (5) 27 6 DE (6) 28 7 DE (7) 29 7 DE (7) 30 7 DE (7) 31 8 CZ (8) 32 8 NZ (8) 33 9 DE (6) AR (3) 34 11 DE (11) 35 13 DE (13) 36 26 CZ (6), DE (17) AR (3) 37 63 AT (1), DE (60), ES (1), SE (1) 38 104 AT (4), CZ (1), DE (5), SK (1) AR (78), AU (1), CL (6), NZ (8) Note. Group size indicates the number of individuals that share the same allelic phenotype. Origin of samples is separated and arranged alphabetically by native range (AT ¼ Austria, BE ¼ Belgium, CZ ¼ Czech Republic, DE ¼ Germany, ES ¼ Spain, FR ¼ France, GB ¼ Great Britain/Scotland, HR ¼ Croatia, IT ¼ Italy, SE ¼ Sweden, SK ¼ Slovakia, UA ¼ Ukraine) as well as invasive range (AR ¼ Argentina, AU ¼ Australia, CL ¼ Chile, NZ ¼ New Zealand). Numbers in parentheses indicate sam- ples represented from the corresponding country. 536 INTERNATIONAL JOURNAL OF PLANT SCIENCES Our study confirms the general fact that the exact native source region of an invasive species is difficult to determine, even if advanced molecular tools are applied. Durka et al. (2005), looking for the progenitors of North American inva- sive Alliaria petiolata (M. Bieb.) Cavara and Grande, also identified a relative wide-ranging area (British Isles, Northern Europe and Central Europe) as a possible source region. Milne and Abbott (2004) showed that invasive Ligustrum ro- bustum populations in the Mascarene Islands originated in Sri Lanka, but it was not possible to detect the exact origin location within Sri Lanka. Even the tracing of source regions at much smaller spatial scales can be complicated. Neither Prinz et al. (2009) nor Esfeld et al. (2008) were able to identify the exact colonization source of newly established populations from former mining areas. Studies using a combination of uni- and biparentally inherited DNA sequences seem to be more successful. For instance, Milne and Abbott (2000) identified the Iberian Peninsula as the source region of the invasive Rho- dodendron ponticum L. populations on the British Isles via chloroplast and nuclear ribosomal DNA restriction fragment length polymorphisms. Combining mitochondrial DNA and microsatellite markers, Rugman-Jones et al. (2007) identified Coatepec Harinas in Mexico as the most likely source region of the invasive Californian populations of the avocado thrips (Scirtothrips perseae Nakahara). However, in the case of R. rubiginosa, we expect that an analysis with maternally in- herited DNA would not show a more informative result than the matroclinal inherited microsatellites. Olsson et al. (2000) assume a conservative force in the maternal-biased inheritance of nonorganelle DNA markers in the section Caninae that leads to a comparability of matroclinal and uniparental inheritance. Our assumption is also confirmed by the results of Wissemann and Ritz (2005), who show that established chloroplast DNA markers are not suitable to find differentiations within and be- tween the subsections Rubiginae (including R. rubiginosa) and Vestitae. On the basis of historical evidence, it is assumed that R. rubiginosa was introduced to Patagonia ;1900 (Damascos 1992). The hypothesis that Spanish emigrants introduced the rose is probably based on the fact that most ancestors of the Argentineans were Spanish. However, the Argentinean gov- ernment promoted the immigration of other Europeans to Argentina following the end of Spanish colonial rule in 1816 (Oelsner 2007). Thus, especially Italian, French, German, Austrian, British, Belgian, and Swiss emigrants reached Ar- gentina during a mass immigration in the second half of the nineteenth century. For example, 21,831 Germans, 26,335 Austrians, and 838,267 Italians arrived in Argentina in the years between 1877 and 1897 (Oelsner 2007). It is most likely that emigrants from the region of today’s Czech Re- public were among the Austrians, since this area was, at the time, part of the Austro-Hungarian monarchy, and all citi- zens of this region travelled with Austrian passports, render- ing any estimation of more detailed proportions difficult (U. Prutsch, personal communication). An introduction to Argentina via Chile cannot be excluded, because central European immigrants began arriving in Chile prior to arriving in Argentina (Liga Chileno-Alemana 1950; Bernecker 1997). This idea of indirect introduction—or the so-called bridgehead effect (Estoup and Guillemaud 2010; Lombaert et al. 2010)—is supported by the identical allelic phenotypes between the Chilean and most of the Argentinean samples. Surprisingly, we also detected identical allelic pheno- types between the Australian, New Zealand, and South Ameri- can samples and low pairwise F0ST values between the New Zealand population and most South American populations. We assume a mixed introduction history in these regions, but additional investigations would be required to arrive at any definitive conclusions. Identical allelic phenotypes across Argentina suggest a joint origin of Patagonian and central Argentinean populations, which has also been discussed in previous work by Zimmer- mann et al. (2010). It is assumed that R. rubiginosa was first introduced to Patagonia and later transported to central Ar- gentina. Furthermore, we suggest that R. rubiginosa was in- troduced to Argentina at least twice, considering that two of the central Argentinean populations were separated in the PCoA (fig. 3). Both populations are located only 13 km away from Villa General Belgrano, a village with descendants mainly of German, Swiss, and North Italian origin. It is possible that their ancestors introduced R. rubiginosa independently from the introduction in Patagonia. Usage of R. rubiginosa as liv- ing livestock fences due to its dense growth form as well as the traditional usage of rose hips for the production of jam Table 3 Number of Alleles, Average Allelic Phenotypes per Locus, and Mean Jaccard Dissimilarity (999 Permutations) per Country for the Reduced FDASH Data Set Country n No. alleles Average allelic phenotypes per locus Mean Jaccard dissimilarity Native range: Czech Republic 30 34 2.50 .19 Germany 167 47 5.25 .22 Italy 3 29 1.12 .03 Spain 39 58 8.25 .38 Invasive range: Argentina 81 33 2.00 .04 Chile 5 27 1.00 .00 New Zealand 15 29 1.37 .10 Note. n ¼ sample size of each country. FDASH data set includes 340 samples (see app. B in the on- line edition of the International Journal of Plant Sciences). 537HIRSCH ET AL.—ORIGIN OF INVASIVE ROSA RUBIGINOSA IN ARGENTINA and tea are given as possible reasons for the introduction in areas outside of the native range (Damascos 1992; Joublan et al. 1996). Genetic Diversity and Structure The comparison of mean Jaccard dissimilarities, groups with identical allelic phenotypes, number of alleles, average number of allelic phenotypes per locus, and pairwise F0ST values between native and invasive ranges confirms a very low genetic variability for invasive R. rubiginosa populations in Ar- gentina and New Zealand, which is in accordance with the previous study by Zimmermann et al. (2010). We assume that this lack of variability in invasive Argentinean R. rubiginosa populations is due to the low number of introduction events and predominantly clonal growth or apomixis (Novak and Mack 2005). For instance, Xu et al. (2003) detected an ex- tremely low genetic diversity in invasive populations of alli- gator weed (Alternanthera philoxeroides (Mart.) Griseb) in China and suggested that they originated from only a very low number of introduced clones. Furthermore, Prentis et al. (2009) showed that invasive Macfadyena unguis-cati (L.) A. H. Gentry populations in Africa, Australia, Europe, North America, and the Pacific Islands are characterized by very low genetic diversity, and they assume a single or, at best, a few introductions in the invasive range. To estimate the in- troduction events in New Zealand, more samples would be needed from this range. Nevertheless, R. rubiginosa is one of the examples that introduced species can develop successful invading populations despite reduced genetic diversity (Dlu- gosch and Parker 2008b). Both the PCoA and the Mantel test showed that genetic structures in European R. rubiginosa are not linked to geo- graphical patterns. Such a result might indicate an intensive gene flow, but this is unlikely because of the large distances between the European populations and the partly high pair- wise F0ST values. A more likely scenario is that some geno- types had rapidly and homogeneously dispersed during the postglacial recolonization of Europe and were conserved via self-fertilization or apomixis. A microsatellite analysis by Ritz and Wissemann (2011) revealed a high level of genetic identity between open pollinated offspring and mother plants of R. rubiginosa. This result is in line with that of Olsson (1999), who also indicated R. rubiginosa as an unusually ho- mogenous species. Consequently, self-fertilization might play an important role in native populations and could also ex- plain the successful establishment of R. rubiginosa in spite of its reduced genetic variability. Acknowledgments Many thanks to H. Henker and B. Wittig for pointing us to Rosa rubiginosa populations in Germany and to M. Dam- ascos, D. Bran, M. Svriz, P. Marcora, L. Volkmann, and J. Neme for doing so in Argentina. Our thanks go out to E. Vitek for his extensive help in the herbarium of the Natural History Museum in Vienna, L. Martins in the herbarium of the Free University Berlin, and H. Kuhbier in the herbarium of the Überseemuseum in Bremen. We also thank P. Williams for sampling rose populations in New Zealand, K. Mi�cieta in Slovakia, P. Petrı́k and V. Wagner in the Czech Republic, and C. Stahr in Germany. We are grateful to N. Fuentes for providing information about the emigration events in Chile. Birgit Müller provided invaluable assistance in the lab, and W. Durka took his time to look over our genetic analysis. We thank D. Esselink of Plant Research International B.V., Wageningen, the Netherlands, for providing us with primers of the microsatellite loci and D. McCluskey for polishing our English. Darren J. Obbard was so kind to provide us with the software FDASH. This study was funded by the DAAD, DFG, and BMZ. Appendix A Source of Specimens from Public Herbaria Each entry includes voucher number, the number that corresponds to the serial number in the complete population list (see app. B in the online edition of International Journal of Plant Sciences), locality (administrative classification, region, country), sampling year, and herbarium code from the herbarium where the material was collected (B ¼ Herbarium of the Free University Berlin; W ¼ Herbarium of the Natural History Museum Vienna). Entries are arranged alphabetically by country and region (E ¼ east, N ¼ north, NE ¼ northeast, NW ¼ northwest, S ¼ south, SW ¼ southwest, W ¼ west). Taxon; voucher number; serial number corresponding to appendix B; collection locale; sampling year; herbarium. Rosa rubiginosa L.; 1957-9916; 10; Rı́o Negro, Patagonia, Argentina; 1945; W. R. rubiginosa L.; 1986-04693; 31; Spittal an der Drau, Kärnten, Austria; 1985; W. R. rubiginosa L.; 2004-17296; 32; Bruck an der Leitha, Lower Austria, Austria; 1979; W. R. rubiginosa L.; 2005-13042; 33; Vienna, Lower Austria, Austria; 2001; W. R. rubiginosa L.; 2003-04737; 34; Wiener Neustadt, Lower Austria, Austria; 2002; W. R. rubiginosa L.; 2006-10460; 35; Wiener Neustadt, Lower Austria, Austria; 2005; W. R. rubiginosa L.; B100400004; 36; Linz (city), Upper Austria, Austria; 1950; B. R. rubiginosa L.; 1984-04895; 37; Imst, Tyrol, Austria; 1983; W. R. rubiginosa L.; 1992-14972; 38; Imst, Tyrol, Austria; 1991; W. R. rubiginosa L.; 1991-05721; 39; Innsbruck-Land, Tyrol, Austria; 1990; W. R. rubiginosa L.; B100400005; 40; Innsbruck-Land, Tyrol, Austria; 1939; B. R. rubiginosa L.; 1989-04417; 41; Innsbruck-Land, Tyrol, Austria; 1988; W. R. rubiginosa L.; 1981-08425; 42; Innsbruck, Ty- rol, Austria; 1980; W. R. rubiginosa L.; 1984-04894; 43; Landeck, Tyrol, Austria; 1983; W. R. rubiginosa L.; 1981-08426; 44; Landeck, Tyrol, Austria; 1980; W. R. rubiginosa L.; 1996-02949; 45; Reutte, Tyrol, Austria; 1990; W. R. rubiginosa L.; 1991- 05737; 46; Reutte, Tyrol, Austria; 1990; W. R. rubiginosa L.; B10040006; 25; New South Wales, SW Australia, Australia; 1967; B. R. rubiginosa L.; 1983-04453; 47; Vlaams Brabant, S Flanders, Belgium; 1955; W. R. rubiginosa L.; B100121112; 27; Región del Bı́o-Bı́o, Central Chile, Chile; 2002; B. R. rubiginosa L.; 1956-1257; 48; Splitsko-Dalmatinska, S Croatia, Croatia; 538 INTERNATIONAL JOURNAL OF PLANT SCIENCES 1927; W. R. rubiginosa L.; 1962-13708; 54; Oise, N France, France; 1960; W. R. rubiginosa L.; B100400010; 55; Haut-Rhin, E France, France; 1989; B. R. rubiginosa L.; B100400003; 56; Sachsen-Anhalt, Middle Germany, Germany; 1980; B. R. rubiginosa L.; B100400002; 72; Brandenburg, NE Germany, Germany; 1972; B. R. rubiginosa L.; B100400009; 73; Brandenburg, NE Germany, Germany; 1955; B. R. rubiginosa L.; B100400001; 74; Brandenburg, NE Germany, Germany; 1953; B. R. rubiginosa L.; B100400013; 75; Brandenburg, NE Germany, Germany; 1989; B. R. rubiginosa L.; B10040012; 76; Brandenburg, NE Germany, Germany; 1989; B. R. rubiginosa L.; B100052063; 103; Baden-Württemberg, S Germany, Germany; 1994; B. R. rubiginosa L.; 2000-05437; 111; Nordrhein-Westfalen, W Germany, Germany; 1985; W. R. rubiginosa L.; 1981-11830; 115; Sondrio, Tyrol, Italy; 1980; W. R. rubiginosa L.; 1961-16176; 30; Limpopo, NE South Africa, South Africa; 1960; W. R. rubiginosa L.; B100400007; 125; Huesca, Pyrenees, Spain; 1994; B. R. rubiginosa L.; 1956-8640; 130; Blekinge län, S Sweden, Sweden; 1949; W. R. rubiginosa L.; B100400008; 131; Chernivtsi, W Ukraine, Ukraine; 1992; B. Literature Cited Ahmad R, P-S Liow, DF Spencer, M Jasieniuk 2008 Molecular evidence for a single genetic clone of invasive Arundo donax in the United States. Aquat Bot 88:113–120. Barrett SCH, RI Colautti, CG Eckert 2008 Plant reproductive systems and evolution during biological invasion. 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work_ptns6xktqrhgbappluctm5ip7i	----	CENTRAL PLAZA BURIALS IN SALADOID PUERTO RICO: AN ALTERNATIVE PERSPECTIVE William F. Keegan Some Caribbean archaeologists have assumed that the individuals buried beneath the central plazas of Saladoid sites in Puerto Rico lived in those villages during their lives. They interpret these central place burials as providing immediate access to the ancestors during ceremonies performed in this public space. The central plaza is viewed as the axis mundi, and through ancestor veneration the dead were called upon to intercede with the gods on behalf of the living. However, cross-cultural studies indicate that burial practices often are determined by descent, and those clan members whose post- marital residence was in communities other than their clan villages often were returned to their clan village for burial. It is argued here that central place burials do not reflect ancestor veneration, but rather social solidarity among widely scat- tered villages. Algunos de los arqueólogos que trabajan en el Caribe han asumido que los individuos enterrados en las plazas centrales de los sitios Saladoides de Puerto Rico habitaron estas comunidades durante su vida. Dicen que los enterramientos en los lugares centrales proveían un acceso inmediato a los ancestros durante las ceremonias realizadas en este espacio público. Esta plaza central es vista como el axis mundi en donde, a través del culto al ancestro, el difunto era llamado para interceder con los dioses por los vivos. No obstante, los estudios en diferentes culturas indican que las prácticas funerarias eran comúnmente determinadas por descendencia. Entonces, aquellos miembros del clan cuyo patrón residencial post-marital era en aldeas dis- tintas a su aldea de origen comúnmente fueron retornados a la aldea de su clan natal para su entierro. En este trabajo se argu- menta que estos enterramientos en los lugares centrales no reflejan un culto al ancestro, sino la solidaridad social que existía entre aldeas dispersas. working in Puerto Rico have Archaeologists noted that early ceramic age, Saladoid {circa 400 B.C. to A.D. 500) settlements tend to have circular, oval, or horseshoe-shaped community plans, and that human remains often were buried in the central clearing or plaza (e.g., Maisabel, Tibes, Tutu, and Punta Candelero sites; Curet and Oliver 1998; Righter 2002; Siegel 1992, 1996, 1999). Beginning about A.D. 600 there were significant changes in cultural practices, which are used to define a new culture-historical period, called Ostionoid (Rouse 1992). These changes included substantial modifications in the produc- tion and decoration of pottery vessels, a shift from large extended-family domestic structures to smaller nuclear-family households, the construc- tion of stone-lined courts and plazas, and a shift in burials from the central plaza to the interiors of houses (Curet and Oliver 1998). The archaeologi- cal sites discussed in this article are indicated in Figure 1. Saladoid burials in the central plaza have been interpreted as evidence for ancestor veneration (Siegel 1992, 1996, 1997). It is implied that these individuals lived in the community in which they were buried, and that by burying them in a central place they were present in spirit, especially during the rituals and ceremonies that were held in this public space. Thus, the living members of the com- munity could look to the ancestors for supernatural intervention, and maintain spiritual ties to those who lived before them. The notion that central place burials reflect immediate access to revered ancestors as part of a system of ancestor veneration seems logical. The image of the central plaza as the axis mundi - William F. Keegan ■ Curator of Caribbean Archaeology, Florida Museum of Natural History, P.O. Box 1 17800, University of Florida, Gainesville, FL, 32611 (keegan@flmnh.ufl.edu) Latin American Antiquity 20(2), 2009, pp. 375-385 Copyright ©2009 by the Society for American Archaeology 375 This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp 376 LATIN AMERICAN ANTIQUITY [Vol. 20, No. 2, 2009 Figure 1. Map of the Caribbean islands showing site locations mentioned in the article. represented as a tree that ties the underworld where the ancestors are buried to the land of the living and the sky world of the spirits - is a compelling image (Siegel 1992, 1996, 1997). Yet, the issue explored here is why the Puerto Rican Saladoids adopted the practice of central place burials, and what this prac- tice meant in terms of social organization. The issue here is not whether or not the Saladoid peoples practiced ancestor veneration. Siegel (1992) makes compelling arguments that they did. The issue is whether or not central plaza burials were exclusively an outcome of this practice. This commentary presents an alternative explanation for Saladoid central place burials, and their apparent disappearance at the beginning of the Ostionoid period. The alternative presented here is that indi- viduals who lived their adult lives in other com- munities were returned to their natal or clan community for burial. Yet I also recognize that this reason probably is not universal. The current trend in Caribbean archaeology is to move away from monolithic notions of singular cultural identities (e.g., Rouse 1992) to recognized cultural diversity throughout both time and space (e.g., Curet 2003; Keegan 2004). I begin by reviewing the conclusions presented for ancestor veneration because these are the con- texts in which central plaza burials have been inter- preted to date. I then turn to the alternative model of postmortem mobility, and argue that this prac- tice better explains central plaza burials in Sal- adoid Puerto Rico in particular contexts. It is hoped and expected that other alternatives will be forth- coming. Ancestor Veneration: The Model Peter Siegel (1992) was the first Caribbean archae- ologist to emphasize that Saladoid community plans reflect prevailing concepts of cosmology. He recognized that these settlements typically had cir- cular or semicircular arrangements that seemed to reflect a concentric worldview in which the central plaza represented a sacred space, that the circular This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp Keegan] CENTRAL PLAZA BURIALS IN SALADOID PUERTO RICO 377 arrangement of domestic structures and mounded middens reflected secular (profane) space, and that the natural world (including various spirits) held sway in the surrounding forests. Siegel (1992, 1996, 1997, 1999) then used a number of ethnographic examples from lowland South America along with ethnohistoric reports for the contact-period Tainos to flesh out his model of Saladoid cosmology. In addition to the horizontal expression of concentric zones that extended out- ward from the village center, he also recognized a vertical expression in which the central sacred space was the axis mundi that tied the village to the celes- tial dome and underworld. Finally, he interpreted the discovery of human burials in the central plaza as one form of evidence for ancestor veneration (Siegel 1992). In other words, these burials were placed to provide imme- diate access to the ancestors during ceremonies conducted on the plaza. He went on to propose that ancestor veneration involved ceremonies in which individuals were buried in the central plaza and rit- ual objects were buried in the surrounding mounded middens. Siegel developed a well-conceived and logical model of Saladoid cosmology. However, the assumptions and speculations on which the model is based deserve more careful scrutiny, with spe- cial emphasis on the possible reasons for central plaza burials and the fact that these are found almost exclusively in Saladoid sites on Puerto Rico. Ancestor Veneration Reconsidered I agree with Siegel's conclusion that the layout of communities reflects cosmology (Keegan 2007). However, my first issue is that none of the sites he uses to support his concentric model have a perfect concentric plan and distribution of mounded mid- dens (Siegel 1996:Figure 3). Indian Creek is cir- cular but the middens are sequential and not simultaneous; Golden Rock (although not com- pletely defined) and Sorcé appear to be semicircu- lar; Punta Candelero is oval; Maisabel seems to have two open plazas; Monserrate has a mounded midden near the middle of the plaza; and Trants is circular, but lacks central plaza burials (Figure 2). In addition, central plaza burials are not limited to the Saladoid; El Chorro de Maíta site in eastern Cuba has central plaza burials in a proto-historic context (Valcárcel Rojas and Rodríguez Arce 2005). This diversity of community plans indicates that the concentric model may not adequately capture the cosmological intentions of the people who built and occupied these settlements. One possibility is that astronomical alignments also influenced the placement of the mounded middens when these communities were established (Alegría 1983; Castellanos 1981; Keegan 2007; Rodríguez Alvarez 2003; Sullivan 1981). In addition, Ensor (2003) has suggested that circular villages reflect patterns of kinship. A second issue is the assumption that the all of the mounded middens at a site are contemporane- ous. Yet at least some of the sites seem to have developed through the sequential construction of middens over a long period of time (e.g., Indian Creek, Antigua). Although the outcome may appear to represent a roughly concentric distribution, this distribution may be the final product of centuries of occupation and not reflect accurately the layout of the settlement at any particular time. In other words, the village itself was never a concentric arrangement of structures. One of the beauties of Siegel's model is the sub- stantial number of ethnographic cases from low- land South America that he cites (Siegel 1992, 1996). However, and despite an extended discus- sion of the proper use of ethnographic analogy in archaeology (Siegel 1992:376-381), it should be asked whether the ethnographic and ethnohistoric cases that he uses are directly applicable to the data (see Maclachlan and Keegan 1990). Circular and concentric settlements occur throughout the world. There is no reason to assume that this community plan only reflects native Amazonian notions of cos- mology, or that all lowland South American groups shared the same worldview.1 Siegel's model of Saladoid community plans and cosmology is based on the assumption that all lowland South American societies shared very sim- ilar conceptions of cosmology and space. This is a problematical assumption. Heckenberger (2002) provides some support for Siegel's model in his recognition that circular or concentric villages probably are characteristic of the Arawakan peo- ples who first colonized the Caribbean. In addition, he concludes that "Arawak peoples reproduce a habitas predisposed to perpetuate (a) an ethos of This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp 378 LATIN AMERICAN ANTIQUITY [Vol. 20, No. 2, 2009 Figure 2. Settlement layouts for Saladoid sites (based on Siegel 1996). This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp Keegan] CENTRAL PLAZA BURIALS IN SALADOID PUERTO RICO 379 settled village life, commonly coupled with large, fixed populations, fairly intensive subsistence economies, and landscape alteration (rather than mobility and low impact); (b) institutional social ranking based on bloodline and birth order; and (c) regional integration (particularly coupled with a social preoccupation with exchange and a cultural aesthetic which places great symbolic value upon foreign things) and a foreign policy commonly characterized by accommodation and accultura- tion of outsiders" (Heckenberger 2002). Heckenberger' s (2005) research among the modern Arawakan Xinguano suggests that Sal- adoid peoples were not egalitarian (contra Siegel 1996), and that their social organization can be characterized as cognatic and nonlineal. Moreover, ancestor veneration is most common in ranked soci- eties and rare in those described as egalitarian (Paula Rubel, personal communication 2006). Heckenberger also concludes that Gê-speaking groups, which Siegel (1992, 1996) uses to support his model, are not appropriate analogs for the Arawakan Saladoids (Heckenberger et al. 2005). Siegel's use of ethnohistoric accounts recorded primarily among the Tainos in Hispaniola also can be questioned. Curet (2003:19) recently noted, "Hispañolan and Puerto Rican polities used sig- nificantly different ideological foundations, a reflection of differences in the nature of the polit- ical structure and organizations." He continues, "Judging from the striking differences mentioned, they likely developed from distinct types of ances- tral societies, and/or through different and diver- gent historical processes" (Curet 2003:20). I have reached a similar conclusion and have suggested that the Tainos of Hispaniola are the product of Archaic cultural and social foundations (Keegan 2004, 2006a). Thus, Taino ethnohistory may not be directly applicable to cultural developments outside of Hispaniola. Furthermore, Siegel (1999:214) states, "Father Ramón Pané... made the most accurate and detailed account of Taino religion " In fact, Pané reported that the information he collected about religious beliefs was related to him in the Macorix tongue (a non-Taino language; see Granberry and Vescelius 2004). After making his initial report, Christopher Columbus then asked Pané "to go and live with another leading cacique, named Guari- onex, the lord of many people, since the language [Taino] of these folk was understood throughout the land." Pané countered: "Lord [Christopher Columbus], how is it that Your Lordship wishes that I go live with Guarionex without knowing any lan- guage other than that of Macorix?" (Stevens- Arroyo 1988:76). It impossible that the Macorix and Tainos shared similar religious beliefs, and it is possible that Pané added information that he col- lected in the Taino province of Maguana, but these assumptions have not been proven. Archaeologists have been too eager to accept Pané as an accurate accounting of Taino religion (Keegan 2007). We also need to keep in mind that "Las Casas also says that Ramon was ... a simple-minded man so that what he reported was sometimes confused and of little substance" (Bourne 1906:314). With regard to the notion of an axis mundi (e.g., Eliade 1963), Siegel specifically cites the case of the Makiritare (Yecuana), a Cariban-speaking group of the upper Orinoco of Venezuela. Yet the Makiritare (Yecuana) associate this concept with their house structures and not the central plaza. It is appropriate to ask whether this cosmological concept is only associated with man-made con- structions, and whether open plazas or central open spaces were similarly designated in Arawakan cos- mology. In sum, it is not enough to say that because some lowland South American societies had particular concepts of cosmology that these can be extended to the Salaçloid peoples of the Caribbean. There must be test implications and archaeological cor- relates that can be discerned in the Caribbean in order for the ethnographic analogies to be relevant. The final issue concerns burial practices. Archaeologists working in Puerto Rico have pro- posed what seems to be a straightforward dichotomy between central plaza burials during Saladoid times and a shift to burials beneath domes- tic structures during the subsequent Ostionoid (Curet and Oliver 1998). However, burial practices are far more complex. Saladoid burials also are common in middens (Siegel 1992), and post- Saladoid burials are found in caves, mounds, and beneath house floors (Curet and Oliver 1998; Siegel 1999:217). The Maisabel site presently is exceptional with regard to the continuation of central plaza burials into the Ostionoid, although the Tutu site on St. Thomas also has central plaza burials that continue This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp 380 LATIN AMERICAN ANTIQUITY [Vol. 20, No. 2, 2009 into the Ostionoid (Righter 2002). Unlike other Saladoid sites that either were abandoned or had their central spaces converted to stone-lined courts at the beginning of the Ostionoid period (Curet 2005), Maisabel continued unchanged and burials continued to be placed in the central plaza during Ostionoid times. The fact that Maisabel seems to be unique raises questions concerning the degree to which this community plan, and conclusions based on ethnographic and ethnohistoric analogy, can be generalized to the rest of the Saladoid Caribbean. What concerns me here is why some Saladoid burials were located beneath the central plaza, and why central plaza burials are reported only for Puerto Rico. What follows is an alternative expla- nation for central plaza burials in Puerto Rico. Postmortem Mobility In an unpublished paper (cited with permission of the authors), Paula G. Rubel and Abraham Rosman (2009)2note that: "Archaeologists considering the question of the social structure ... have dealt with the relationship between mortuary practices and societal definitions of the social person, as well as the relationship between mortuary practices and the rank system (Binford 1971; Saxe 1970). Thus far they have not usually been able to deal with the question of descent" (cf. Hodder 1979). In societies that practice exogamy every com- munity is composed of natal residents and in- marrying spouses. One result is that individuals who trace descent to the same apical ancestor are widely scattered among different communities. Rubel and Rosman (2009; also see Rosman and Rubel 2009) note that individuals often are returned to their natal or clan village for burial in societies that practice patrilineal, matrilineal, or cognatic descent reckoning. Although the conditions under which an individual would be returned to their natal or clan community for burial have not been for- malized, one measure seems to be the degree to which an individual was incorporated into the clan of their postmarital residence. From the examples given by Rubel and Rosman (2009), it appears that men are more often returned to their natal village, and that women, especially those who contribute offspring to their new community, are less likely to be returned after death. An interesting case concerns avunculocal resi- dence, which Keegan and his colleagues have sug- gested for the prehispanic Caribbean (Keegan and Maclachlan 1989; Keegan et al. 1998). Rubel and Rosman (2009) note: "avunculocal post-marital residence results in a situation in which a woman is usually born in her father's village (among his clansmen), on marriage moves to the village of her husband and his matri-kin, and at death is carried to the cemetery of her own clan. Throughout her life, she never resides in the village of her own clan. Only in death is she surrounded by her own clans- men." In sum, the main issue is the connection between postmarital residence and where spouses are buried. It cannot be assumed that the individuals buried in a community were life-long residents ofthat com- munity. The possibility that individuals who lived elsewhere during their life were returned to their natal or clan village for burial must be considered. Saladoid Burials: An Alternative Perspective Saladoid culture was a long-lived and widespread phenomenon. Archaeological sites with Saladoid ceramics are distributed from northeastern South America, throughout the Lesser Antilles, the Vir- gin Islands, and Puerto Rico. If ancestor venera- tion was a significant component of cultural practice, then we would expect to see evidence for it throughout the Antilles. Continuing this logic, if central plaza burials were a component of ances- tor veneration, then such burials should be evident throughout the Saladoid region. Yet burial in the central plaza seems to be unique to Saladoid sites in Puerto Rico. Similar sites from the same time period on Vieques and in the Lesser Antilles (e.g., Sorcé, Trants, Hope Estate, Morel, and Golden Rock sites) and South America typically do not have burials in the central plaza (Rouse and Crux- ent 1963). However, Heckenberger (2005) notes that individuals were returned to their natal village for burial in the southern Amazon (Xingu area), and he believes that this practice was part of the cul- tural inventory during the Arawakan diaspora that led to the colonization of the Antilles (Hecken- berger 2002; Heckenberger et al. 2005). The ques- tion remains, why was the Puerto Rican Saladoid unique? One reason that Puerto Rico is unique is that it This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp Keegan] CENTRAL PLAZA BURIALS IN SALADOID PUERTO RICO 381 was colonized very early in the ceramic age set- tlement of the Caribbean. The earliest dates for Sal- adoid sites come from Puerto Rico and the northern Lesser Antilles (ca. 400 B.C.). The available data suggest that the initial ceramic age colonization of the Caribbean occurred as either a direct jump from Central or South America to Puerto Rico and the neighboring Windward and Virgin Islands or as movement through the Lesser Antilles during which most of these islands were bypassed during the initial episode of colonization (reviewed in Kee- gan 2004; also see Rodriguez Ramos and Pagan Jiménez 2007). The only early Saladoid site identified in the Windward Islands of the southern Lesser Antilles is Fond Brûlé on Martinique.3 Radiocarbon dates of circa 480 B.C. and four other dates ranging up to A.D. 135 have been reported. Is it a coincidence that Fond Brûlé, the one early Saladoid site in the southern Lesser Antilles, is almost exactly halfway between Puerto Rico and the South American main- land (about 500 km from the northeast coast of Venezuela and 450 km from eastern Puerto Rico)? If the Saladoid migration had progressed in a stepping-stone fashion through the Lesser Antilles, then there should be similar early sites on other islands. To date, these have not been found. The need to maintain social ties over very long distances would have promoted an emphasis on clan solidarity - an emphasis that may not have been so critical once additional colonies were estab- lished throughout the Lesser Antilles after A.D. 200 (see Fitzpatrick et al. 2010; Haviser 1997). New settlements, especially when they are a sub- stantial distance from the parent community, face a variety of economic, demographic, and social risks (Keegan 2004). Catastrophic events can lead to subsistence failure, appropriate spouses must be found to maintain demographic viability, and the full range of statuses and positions must be filled to ensure social reproduction. These factors form the basis for the "lifeline" model in which a colony maintained close ties to its parent community (e.g., Kirch 2000). In addition, Moore (2001) has shown through simulation studies that a colony has a sig- nificantly greater chance for survival and success if it maintains ties to at least one other community. The social glue that binds one community to another is marriage. Alliances between families, clans, and villages are formalized through the exchange of spouses. Thus, the return of a deceased spouse to their clan village completes a structural- ist complementarity. Moreover, in some societies the death of a spouse must be resolved by provid- ing a new spouse to the widow/widower (see Schneider and Gough 1961). The death of a clan member provides an occasion for feasting in which clan members from different communities gather to send the individual to their afterlife, and it also might involve a marriage ceremony in which a new spouse was provided to reaffirm social alliances. In this regard, burial practices reflect regional social alliances, and not simply local connections to the ancestors and gods through deceased members of the community. Second, Saladoid material culture emphasized regional connections. Keegan (2004) has inter- preted the widespread sharing of iconography as a veneer that served to unite widely scattered com- munities.4 The notion of veneer comes from the low frequency of shared motifs in concert with their wide distribution across the Antilles from South America to Puerto Rico. In other words, while the majority of artifacts in Saladoid sites reflect local activities, there also are highly decorated ceramics and exotic lithic amulets that share virtually iden- tical iconographie messages and that served to rein- force ties among widely scattered communities (Watters and Scaglion 1994). The expectation is that other cultural practices, including burials, should reflect this regional focus. The shift to a more local focus is evident dur- ing post-Saladoid times (Curet and Oliver 1998; Keegan 2004). A wide variety of local pottery styles emerged, and the emphasis on long-distance con- nections in order to ensure social reproduction and procreation was no longer crucial. The abandon- ment of central place burials in favor of burials beneath domestic structures, and in other contexts, is a symptom of the emerging localization of social identity. Third, individuals who moved to the village of their spouse at marriage may lack ties to specific households in their natal or clan village. Although they were born in a particular structure, the move- ment of their siblings at marriage, death of their par- ents, and other factors can obliterate specific ties. Over time they are no longer associated with one household, but are instead members of a wider clan. This situation is especially true in the avunculocal This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp 382 LATIN AMERICAN ANTIQUITY [Vol. 20, No. 2, 2009 case cited above. As a result they should be buried in the clan cemetery and not beneath the floor of a domestic structure. At least in Puerto Rico, Saladoid cemeteries seem to be located in the center of the village. Thus, it is reasonable to assume that these cemeteries contain clan members who resided in the village and those who lived elsewhere during their adult lives and were returned for burial. The centrality of burial would serve to reinforce ties among clan members who were dispersed among widely scat- tered villages. After death, the return of a clan mem- ber would be the focus of grieving by the descent group as expressed in a feast that brought together the widely scattered members of the clan. Such clan solidarity was essential for ensuring survival in the risky milieu of the colonial enterprise. Fourth, if the individuals who were buried in the central plaza were indeed revered ancestors, then we would expect to find some indicators for this status. Yet Saladoid burials contain few grave goods, and there is little to indicate that these indi- viduals were imbued with any special status. More- over, it is not clear whether the mounded middens represent a community dump, or whether they belonged to particular social groups. We do know that exotic artifacts were buried in these middens, perhaps during mortuary rituals associated with the deceased. If this was the case, then the ritual bur- ial of objects in the midden affirmed social alliances and group solidarity rather than the significance of particular individuals. This interpretation makes sense because less complex societies tend to trace descent to a mythical ancestor and not to living indi- viduals. In my opinion, the characteristics thus far used to define the Saladoid are emblems of regional identity that served to unite a diversity of cultural groups. The wide distribution of ceramics and lithics with virtually identical forms and modes of expression reflect the strong integration of widely scattered communities that needed inter- community cooperation and support to ensure their survival. In this situation the focus would not be on individuals (i.e., revered ancestors) but rather on the social relations that bound communities to each other. This is exactly the situation in which we would expect the dead to be returned to their natal or clan village for burial. In other words, the deceased individuals represent regional solidarity, and not individuals who intercede with the gods on behalf of the living. Fifth, it may be possible to test the notion that burials reflect the postmortem mobility of clan members by analyzing strontium isotopes in the bones. In a recent study, Booden et al. (2008) mea- sured strontium isotope ratios in 19 individuals buried in the cemetery at Anse à la Gourde, Guade- loupe. They concluded that a number of the indi- viduals had "nonlocal" Sr isotope signatures. What is intriguing is that these individuals often were buried on the periphery of the cemetery. Their study suggests that individuals who did not live at this site were buried in the cemetery. Finally, the issue of cultural diversity in the pre- Columbian Caribbean is only now being addressed.5 New evidence suggests that the Sal- adoid cultures may have had closer ties to the isthmo-Colombian area of South America than to the lowland Amazon and Orinoco River basins (Rodriguez Ramos 2005; Rodriguez Ramos and Pagan Jiménez 2007). Thus the notion that lowland South American ethnographies can be used to inter- pret Saladoid cultures is in question. Moreover, Taino societies exhibit substantial diversity (Hulme 1993), and recent interpretations suggest significant differences between the Hispaniolan societies that were described by the Spanish chroniclers and the Puerto Rican societies that have been interpreted using these records (Curet 2003; Keegan 2004, 2007). Thus, the use of ethnohistoric evidence recorded among the Taino of Hispaniola and Cuba should not be used to justify the notion of ances- tor veneration in Saladoid Puerto Rico (see Mach- lachlan and Keegan 1990). Conclusions To his credit, Siegel develops a logical argument for the role of cosmology in structuring the layout of Saladoid communities. However, in order to sup- port his model he homogenizes Saladoid culture, lowland South American societies, and Taino eth- nohistory. In fact, none of the settlement plans that he illustrates are exactly the same (Siegel 1996:Fig- ure 3), the ethnographic cases that he uses come from societies with diverse cultural practices (including significant language differences), and not all Caribbean archaeologists are willing to accept that accounts of the ethnohistoric Tainos in This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp Keegan] CENTRAL PLAZA BURIALS IN SALADOID PUERTO RICO 383 Hispaniola and Cuba are applicable to Puerto Rico or the Saladoid period (Curet 2003; Keegan 2004, 2007). Finally, the fact that central plaza burials are found primarily in Puerto Rico indicates that the notion that these burials are evidence for ancestor veneration should not be extended to other Sal- adoid groups in the Caribbean. Siegel's(1992, 1996, 1997, 1999) model implies that Saladoid burials in the central plaza reflect the interment of individuals who lived in the commu- nity throughout their lives. Cross-cultural studies indicate that this may not be the case (Rubel and Rosman 2009). It is equally likely that clan mem- bers were returned to their clan village for burial, and that these burials were located in clan or com- munity cemeteries some of which were situated in the central plaza. Moreover, ancestor veneration, as defined by Siegel (1992, 1999), places primary emphasis on the local community and its deceased residents as providing access to the gods. In contrast, the recog- nition of postmortem mobility places emphasis on clan solidarity among widely scattered communi- ties. Because Saladoid material culture emphasizes a regional identity, it is here argued that Saladoid burials in the central plaza more likely represent regional integration and not homage to the people who lived and died in the village. Finally, the disappearance of central place buri- als is viewed as reflecting a shift to a more local identity (albeit on a smaller regional scale). The need to reinforce long-distance social ties disap- peared as the number of settlements and the den- sity of population increased. As a result, mortuary practices shifted to a more local focus by the begin- ning of the Ostionoid period. Had access to the ancestors been important - and Siegel argues that ancestor veneration was an important component of Taino ideology - then central place burials should have continued even if these were restricted to members of the emerging elite (see Curet and Oliver 1998; Siegel 1999). The selection of the central plaza as the loca- tion for the village cemetery may reflect a decision to inter the dead in a focal place. In this regard, the notion of ancestor veneration remains a viable working hypothesis, and there is no reason that burial practices based on clan affiliation could not also reflect the identification of these individuals as ancestors. However Siegel's speculations fail to consider the broader implications of social organi- zation, and he ignores the possibility that individ- uals who were not resident in the community during their adult lives were returned to their natal or clan village for burial. Given the exigencies of coloniz- ing groups, it is more likely that social solidarity was the primary emphasis of mortuary practices. My goal in writing this article is not to show that Siegel's ancestor veneration is wrong and my clan burial is right. Both hypotheses require further elab- oration and testing. The central issue is that the Saladoid is far more complex than previously acknowledged, and that our models of cultural behavior must embrace this complexity. Acknowledgments. The assistance of Michael Heckenberger, Corinne Hofman, Menno Hoogland, José Oliver, Reniel Rodriguez Ramos, and David Watters is appreciated. Extensive comments from Peter Siegel were very helpful in refining my arguments. Reniel Rodriguez Ramos translated the abstract into Spanish, and Josh Torres assisted with Figures 1 and 2. References Cited Alegría, Ricardo E. 1 983 Ball Courts and Ceremonial Plazas in the Caribbean. Yale University Publications in Anthropology No. 79, Yale University Press, New Haven. Binford, Lewis 1971 Mortuary Practices: Their Study and Potential. In Social Dimensions of Mortuary Practices, Memoir No. 25. American Antiquity 36:6-29. Booden, Mathias A., Raphaël G. A. M. Panhuysen, Menno L. P. Hoogland, H. N. de Jong, Grant R. Davies, and Corinne L. Hofman 2008 Tracing Human Mobility with 87Sr/86Sr at Anse à la Gourde, Guadeloupe. In Crossing the Borders: New Meth- ods and Techniques in the Study of Archaeological Mate- rials from the Caribbean, edited by Corinne L. Hofman, Menno L. P. Hoogland, and Annelou van Gijn, pp. 214-225. University of Alabama Press, Tuscaloosa. Castellanos, Ricardo 1981 La Plaza de Chacuey, un Instrumento Astronomico Megalitico. Boletín del Museo del Hombre Dominicano 16:31-40. Curet, L. Antonio 2003 Issues on the Diversity and Emergence of Middle- Range Societies of the Ancient Caribbean: A Critique. Journal of Archaeological Research 1 1 : 1-42. 2005 Caribbean Paleodemo graphy. University of Alabama Press, Tuscaloosa. Curet, L. Antonio, and José R. Oliver 1998 Mortuary Practices, Social Development, and Ideol- ogy in Precolumbian Puerto Rico. Latin American Antiq- uity 9:217 '-239. Eliade, Mircea 1 963 Myth and Reality, translated by W. R. Trask. Harper and Row, New York. Ensor, Bradley E. 2003 Crow-Omaha Marital Alliances and Social Transfor- This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp 384 LATIN AMERICAN ANTIQUITY [Vol. 20, No. 2, 2009 mations: Archaeological Case Studies on the Taino, Hohokam, and Archaic Lower Mississippi Valley. Ph.D. dissertation, University of Florida, Gainesville. Fitzpatrick, Scott M, Michiel Kappers, and Christina Giovas 2010 The Southern Route Hypothesis: Carriacou's Posi- tion in Southern Antillean Prehistory. In Island Shores, Dis- tant Pasts: Archaeological and Biological Perspectives on Pre-Columbian Settlement of the Caribbean, edited by S. M. Fitzpatrick and A. Ross. University Press of Florida, Gainesville, in press. Granberry, Julian, and Gary S. Vescelius 2004 Languages of the Pre-Columbian Antilles. Univer- sity Press of Alabama, Tuscaloosa. Haviser, Jay B. 1 997 Settlement Strategies in the Early Ceramic Age. In The Indigenous People of the Caribbean, edited by S. M. Wil- son, pp. 57-69. University Press of Florida, Gainesville. Heckenberger, Michael J. 2002 Rethinking the Arawakan Diaspora: Hierarchy, Regionality, and the Amazonian Formative. In Compara- tive Arawakan Histories: Rethinking Language Family and Culture Area in Amazonia, edited by Jon D. Hill and Fernando Santos-Granero, pp. 99-325. University of Illi- nois Press, Urbana. 2005 The Ecology of Power, Culture, Place and Person- hood in the Southern Amazon, A.D. 1000-2000. Rout- ledge, New York. Heckenberger, Michael J., Joshua Toney, Mark Donop and M. Schmidt 2005 Community Spatial Patterns and Socio-Political Orga- nization in the Early Arawak Diaspora: Reflections on Recent Research in the Southern Caribbean. Paper pre- sented at the 21st Congress of the International Associa- tion of Caribbean Archaeologists, University of the West Indies, St. Augustine, Trinidad. Hodder, Ian 1 979 Social and Economic Stress and Material Culture Pat- terning. American Antiauitv 14:446-454. Hulme, Peter 1993 Making Sense of the Native Caribbean. New West Indian Guide 67:189-220. Keegan, Wiliam F. 2000 West Indian Archaeology. 3. Ceramic Age. Journal of Archaeological Research 8: 135-167. 2004 Islands of Chaos. In The Late Ceramic Societies in the Eastern Caribbean, edited by Andre Delpuech and Corinne L. Hofman, pp. 33^4. BAR International Series 1273. British Archaeological Reports, Oxford. 2006 Archaic Influences in the Origins and Development of Taino Societies. Caribbean Journal of Science 42: 1-10. 2007 Taino Indian Myth and Practice: The Arrival of the Stranger King. University Press of Florida, Gainesville. Keegan, William F., and Morgan D. Maclachlan 1 989 The Evolution of Avunculocal Chiefdoms: A Recon- struction of Taino Kinship and Politics. American Anthro- pologist 91:613-630. Keegan, William F., Morgan D. Maclachlan, and Bryan Byrne 1 998 Social Foundations of Taino Caciques. In Chiefdoms and Chieftaincy in the Americas, edited by Elsa Redmond, pp. 217-244. University Press of Florida, Gainesville. Kirch, Patrick V. 2000 On the Road of the Winds. University of California Press, Berkeley. Lévi-Strauss, Claude 1 963 Structural Anthropology. Basic Books, New York. Maclachlan, Morgan D., and William F. Keegan 1990 Archaeology and the Ethno-tyrannies. American Anthropologist 92:101 1-1013. Moore, John 2001 Evaluating Five Models of Human Colonization. American Anthropologist 103:395^08. Righter, Elizabeth (editor) 2002 The Tutu Archaeological Village Site. Routledge, New York. Rodriguez Alvarez, Ángel 2003 Astronomía en la Prehistoria de Puerto Rico: Caguana y Tibes, Antiguos Observatorios Precolombinos. Doctoral dissertation, Universidad de Valladolid, Spain Rodríguez Ramos, Reniel 2005 The Crab-Shell Dichotomy Revisited: The Lithics Speak Out. In Ancient Borinquen: Archaeology and Eth- nohistory of Native Puerto Rico, edited by Peter E. Siegel, pp. 1-54. University of Alabama Press, Tuscaloosa. Rodríguez Ramos, Reniel and Jaime R. Pagan Jiménez 2007 Las Antillas en el Contexto del Circun-Caribe: Cin- cuenta Años Después. In Proceedings of the XXI Interna- tional Congress of the International Association for Caribbean Archaeology, edited by Basil Reid, Henri Petit- jean Roget and L. Antonio Curet, pp. 778-786, University of the West Indies, St. Augustine, Trinidad. Rosman, Abraham, and Paula G. Rubel 2009 The Material Basis of Dual Organization. Unpub- lished manuscript cited with permission of the authors. Rouse, Irving 1953 The Circum-Caribbean Theory: An Archaeological Test. American Anthropologist 55(2): 1 88-200. 1992 The Tainos. Yale University Press, New Haven. Rouse, Irving, and José M. Cruxent 1963 Venezuelan Archaeology. Caribbean Series, No. 6. Yale University Press, New Haven. Rubel, Paula G., and Abraham Rosman 2009 Solidarity of the Sibling Group: Cognatic Societies and Their Mortuary Practices. Unpublished manuscript cited with permission of the authors. Saxe, Arthur 1 970 Social Dimensions of Mortuary Practices. Ph.D. dis- sertation, University of Michigan, Ann Arbor. University Microfilms, Ann Arbor. Schneider, David M., and Kathleen Gough (editors) 1961 Matrilineal Kinship. University of California Press, Berkeley. Siegel, Peter E. 1992 Ideology, Power, and Social Complexity in Prehis- toric Puerto Rico. Ph.D. dissertation, State University of New York, Binghampton. University Microfilms, Ann Arbor. 1996 Ideology and Culture Change in Prehistoric Puerto Rico: A View from the Community. Journal of Field Archaeology 23:313-333. 1 997 Ancestor Veneration and Cosmology among the Taino. In Taino: Pre-Columbian Art and Culture from the Caribbean, edited by F. Bercht, E. Brodsky, J. A. Farmer, and D. Taylor, pp. 106-111. The Monacelli Press, New York. 1999 Contested Places and Places of Contest: The Evolu- tion of Social Power and Ceremonial Space in Prehistoric Puerto Rico. Latin American Antiquity 10(3): 209-23 8. Stevens- Arroyo, Antonio M. 1988 Cave of the Jagua: The Mythological World of the Tainos. University of New Mexico Press, Albuquerque. Steward, Julian H., and Louis C. Faron 1 959 Native Peoples of South America. McGraw-Hill, New York. Sullivan, Shaun D. This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp Keegan] CENTRAL PLAZA BURIALS IN SALADOID PUERTO RICO 385 198 1 The Colonization and Exploitation of the Turks and Caicos Islands. Doctoral dissertation, University of Illi- nois at Urbana-Champaign. University Microfilms, Ann Arbor. Valcárcel Rojas, Roberto, and César A. Rodríguez Arce 2005 El Chorro de Maíta: Social Inequality and Mortuary Space. In Dialogues in Cuban Archaeology, edited by L. Antonio Curet, Shannon L. Dawdy, and Gabino La Rosa Corzo, pp. 125-146. University of Alabama Press, Tuscaloosa. Waiters, David R., and Richard Scaglion 1994 Beads and Pendants from Trants, Montserrat: Impli- cations for the Prehistoric Lapidary Industry of the Caribbean. Annals of the Carnegie Museum, Vol. 63, No. 4, pp. 215-237. Wilbert, Johannes 1 972 Survivors of Eldorado: Four Indian Cultures of South America. Praeger, New York. Notes 1. Siegel's model of ancestor veneration is based on selec- tive sampling from ethnographic reports regarding South American societies that existed two thousand years after the Saladoid peoples, and on ethnohistoric reports that the Tainos of Hispaniola practiced ancestor worship through the curation of human remains. Careful reading of Siegel's numerous pub- lications on this topic leads one to believe that ancestor ven- eration was an unquestionable component of Saladoid culture, and that archaeological evidence is not needed to demonstrate this point. 2. Citing unpublished papers as the basis for an argument is less than satisfying. However, Rubel, Rosman, and I are revising and combining their two papers for publication. In the interim, we are happy to provide the original versions of their papers to anyone who requests them. 3. Here I am faced with a dilemma. One reviewer, citing personal communication with Benoit Berard (an archaeolo- gist who has lived and worked on Martinique for years), claims that the early dates for the site are inaccurate, and that there is no evidence for the colonization of the southern Lesser Antilles before A.D. 100-200. A second reviewer claims that the early dates from this site point to the early set- tlement of these islands. In either case, most (if not all) of the southern Lesser Antilles appear to have been bypassed during the initial ceramic age colonization, and that the earliest sites are located on Puerto Rico and neighboring Windward islands. 4. One of the anonymous reviewers questioned my use of the term "veneer," which I use in conformity with the first dictionary definition - "a thin finishing or surface layer of wood ... bonded to an inferior substratum." In the same way that a wood veneer conveys a particular outward message, the use of identical symbols on pottery and lithics conveyed a sense of regional identity to the widely scattered Saladoid peoples of the Antilles. Although most of their artifacts were made to facilitate local/domestic activities, they also manu- factured a relatively small percentage of artifacts (circa 10 percent) that conveyed social and cultural meanings. In this regard we can identify similar symbolic messages that are consistent across the Antilles (called Saladoid), but this thin layer of shared meaning masks variability at the local level. Similar conclusions have been proposed for the Adena/Hopewell and Southeastern Ceremonial Cult in east- ern North America. 5. For more than fifty years Caribbean archaeology has been structured by the debate between those who believe that the Antilles were colonized by peoples from the lower Orinoco (Rouse 1953, 1992), and those who view Antillean societies as belonging to what Julian Steward defined as "Circum-Caribbean Chiefdoms" (Steward and Faron 1959). Those who take a traditional view of normative culture his- tory probably have not recognized this debate and the ways that it was contextualized in Caribbean archaeology (based on the fact that they never cite these publications). Peter Siegel represents the former, while I recently have become convinced that the latter is more accurate (although it is not possible that Andean cultural developments are the source of the Taino social formation). What is at issue is the degree to which Amazonian ethnographies and Taino ethnohistory can be applied generally to early Caribbean societies (see Maclachlan and Keegan 1990). Submitted April 24, 2005; Accepted March 12, 2007; Revised June 3, 2008 This content downloaded from 129.252.86.83 on Thu, 26 Feb 2015 05:17:28 UTC All use subject to JSTOR Terms and Conditions http://www.jstor.org/page/info/about/policies/terms.jsp Article Contents p. 375 p. 376 p. 377 p. 378 p. 379 p. 380 p. 381 p. 382 p. 383 p. 384 p. 385 Issue Table of Contents Latin American Antiquity, Vol. 20, No. 2 (June 2009) pp. 267-391 Front Matter POSTMARITAL RESIDENCE PRACTICE IN SOUTHERN BRAZILIAN COASTAL GROUPS: CONTINUITY AND CHANGE [pp. 267-278] THE OCCUPATIONAL HISTORY OF GALINDO, MOCHE VALLEY, PERU [pp. 279-302] THE ROLE OF PROSOPIS IN ECOLOGICAL AND LANDSCAPE CHANGE IN THE SAMACA BASIN, LOWER ICA VALLEY, SOUTH COAST PERU FROM THE EARLY HORIZON TO THE LATE INTERMEDIATE PERIOD [pp. 303-332] MICROEVOLUCIÓN EN SAN PEDRO DE ATACAMA (NORTE DE CHILE): EL CEMENTERIO DE QUITOR [pp. 333-342] STYLE AND SUBSTANCE: EVIDENCE FOR REGIONALISM WITHIN THE AZTEC MARKET SYSTEM [pp. 343-374] CENTRAL PLAZA BURIALS IN SALADOID PUERTO RICO: AN ALTERNATIVE PERSPECTIVE [pp. 375-385] REVIEWS AND BOOK NOTES Review: untitled [pp. 386-387] Review: untitled [pp. 387-388] Review: untitled [pp. 388-389] Review: untitled [pp. 389-390] Book Note [pp. 390-391] Back Matter 
work_pvecnz7mkja47fch53eiigtm2i	----	Francia. Forschungen zur westeuropäischen Geschichte Herausgegeben vom Deutschen Historischen Institut Paris (Institut historique allemand) Band 34/1 (2007) DOI: 10.11588/fr.2007.1.49700 Rechtshinweis Bitte beachten Sie, dass das Digitalisat urheberrechtlich geschützt ist. Erlaubt ist aber das Lesen, das Ausdrucken des Textes, das Herunterladen, das Speichern der Daten auf einem eigenen Datenträger soweit die vorgenannten Handlungen ausschließlich zu privaten und nicht- kommerziellen Zwecken erfolgen. Eine darüber hinausgehende unerlaubte Verwendung, Reproduktion oder Weitergabe einzelner Inhalte oder Bilder können sowohl zivil- als auch strafrechtlich verfolgt werden. décret de Gratien, les sources suggérant l’hostilité envers les vagabonds qui seraient aptes au travail ou envers les pauvres infâmes sont nombreuses. Le second excursus constitue presque un article à part entière, et se concentre sur les principes et les modalités de la domi- nation des potentes sur les pauperes. Ce volume est passionnant. On est tenté de le comparer aux travaux effectués dans les années soixante-dix sous la direction de Michel Mollat, mais son propos est plus limité – il faut accepter l’absence presque totale du monde rural et la très forte surreprésentation du Moyen Âge tardif – et les problématiques différentes, même si ça et là le lecteur peut avoir des impressions de déjà-vu. Surtout, l’accent mis dans les contribu- tions sur les représentations de la pauvreté lui donne une vraie cohérence. Olivier Richard, Strasbourg Martin Kaufhold, Wendepunkte des Mittelalters. Von der Kaiserkrönung Karls des Großen bis zur Entdeckung Amerikas, Ostfildern (Jan Thorbecke) 2004, 221 p., ISBN 3- 7995-0144-4, EUR 24,90. This is an attractive book in several respects. It looks good, it feels good, and it is enlivened by 29 plates in colour, a number of which were new to the reviewer. It is also an old-fashioned book, for each of its 31 short chapters tells a story about persons and events, and about the changes which they brought about or caused to be brought about in Europe of the Middle Ages. These are the »turning points« of the title. M. Kaufhold raises his hat to the Annales School of historical research and writing, but he makes no excuse for his approach in this book. In the spirit of Lawrence Stone’s essay on narrative he believes (p. 9) that drama can have an enlivening effect on historical writing, and that historians of each generation should spend a little time reconsidering the classics of their chosen subject. Hopefully, many students of history, including those whose undergraduate days lie far behind them, will agree with him. The 31 turning points are the author’s personal choice, so there is no arguing about that. The principal figures are well known. Charlemagne, Urban II and the First Crusade, Abelard and Heloise, Francis of Assisi, Frederick II of Hohenstaufen, Marco Polo, Joan of Arc, Gutenberg and Christopher Columbus are represented, and many more besides. Events include Becket’s murder, the battle of Crecy, introduction of the Florin, the Black Death. Areas of human activity are politics, religion, law, arts and crafts, economy, technol- ogy and travel. But there are chapters on less well known persons and events. Every history has its pre-history, and so 1066 and all that, so well known to Anglo-Saxon readers, was preceded, according to the story, by the Treaty of St Clair-sur-Epte in 911 when, following a military defeat, the heathen Vikings and Norsemen started to change into christian Nor- mans. We can read here what followed from that. The chapter on the cathedral of Lund (anno 1103) in Sweden addresses the related question of how the Scandinavian countries were christianized. Not by missionaries sent to them from elsewhere, but by the Nordic peoples’ own inclinations and efforts. Christianisation was a home grown process of assim- ilation. The chapters, averaging uniformly about 7 pages in length, open with a title and a summary containing the essential point(s) which the author intends to make. The summary is followed by a shorter or longer table of dates which place the main event, the turning point of the book’s title, within a chronology of related events. A presentation of the main event together with its pre-history is followed by analysis and the author’s interpretation of its significance. Nice touches to the narrative lie in details. Why, we may ask, were there medieval kingdoms of France and of England but no medieval kingdom of Germany? Because the »national uncertainty« (»nationale Unbestimmtheit«, p. 28) of the rulers of Germany in the Middle Ages was occasioned by the crowning of Otto the Great in 962 as King of the Romans (Rex Romanorum), and from then on by harking back to Italy and Kaufhold: Wendepunkte des Mittelalters 261 Francia 34/1 (2007)  imperial glory. Occasional remarks and reminders link a topic to an earlier one without there being an explicit system of cross reference. The effect is not only to inform but to pro- voke the reader to reflection and thought. The book ends with a section which lists primary sources for each chapter, and some selected secondary literature up to 2003. This is a book for those who enjoy a good story, especially when much of it is true. With a little imagination on the reader’s part, how near some of it appears to our own time. Kaufholds’ language is temperate enough when he retells the story of a 40 years old teacher who seduces his 16 years old pupil. This is not from yesterday’s tabloid headline, but the tragic life of Peter Abelard a thousand years ago. Conversely, a cardinal declares himself unworthy to be elected pope. Not some medieval prelate prostrating himself before the altar, but pope Benedict XVI on the eve of his election in 2005. And may readers not com- pare the travels of pope John Paul II in the 20th century to those of Leo IX (p. 32) in the 11th? The book’s origins lie in lectures which the author gave at Heidelberg and Augsburg, and one of its strengths is reflected in this. There is a feeling which hearing a good lecture radi- ates when the speaker sensibly follows the recipe: »tell them what you are going to tell them, tell it, and then tell them what you have told them«. Apropos: writing on the Black Death, Kaufhold points out that, besides the huge loss of human life that it caused, there was also a parallel loss of orally transmitted knowledge (p. 165), in an age where writing was limited to only small sections of society and their interests. The style is descriptive, factual, sober, and almost detached, but not wholly. An engaging feature is the way in which the author presents the principal actors, their motives and their emotions. An example, touched on above, is the story of Heloise and Abelard who in their own writings provide us with lit- erary evidence for the psychological dimension in social life. Again using a little imagina- tion, one is tempted to compare the characters of Heloise and Joan of Arc, their strengths of opinion, despite or because of their different stations in life. Who could fail to be moved with sympathy for Joan on seeing Fauquembergue’s crude but contemporary pen drawing on p. 191? A point which invites criticism, however, is the author’s use and then gradual weakening of his own chosen term »turning point«. Becket’s murder is not a turning point but rather a »milestone« (»Wegmarke«, p. 86). However, the introduction of the Florin in the year 1252 had all the criteria of a »real« turning point (»wirkliche Wende«, p. 124). But, increasingly, the concept of a turning point becomes dissolved (»zunehmend aufgelöst«, p. 197), when faced with the immensity of the Renaissance. Historians, clearly, have a problem with the idea of a turning point. In view of the many subjects which have a place in the book, includ- ing church art and architecture, it is regrettable that there was no place for Western music. Guido and Pérotin are absent, although the influence of their discoveries and creations, especially Guido’s notation, is increasing throughout the modern world. But there is hope. The author indicated that the list of topics was not closed. A subsequent edition will be an opportunity to include them and their music, and to correct some misprints on p. 9, 86 and 91 (Constitutions), 198 and 202. It is also to be hoped that a register of names and places will be included. This book is recommended not only to interested lay persons, but to History undergraduates who may be encouraged to explore the primary sources as a first essential step towards their own original researches. James P. Ward, Vlaardingen Rezensionen262 Francia 34/1 (2007)  
work_px32lowvvvhvhokf2j6cw7he4a	----	CSS volume 34 issue 4 Cover and Back matter COMPARATIVE STUDIES IN SOCIETY AND HISTORY An International Quarterly Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0010417500017989 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core RAYMOND GREW, Editor ARAM A. YENGOYAN, Associate Editor NICHOLAS B. DIRKS DIANE OWEN HUGHES JAMES TURNER History Anthropology University of Michigan University of California, Davis B O O K R E V I E W E D I T O R S Anthropology and History History History University of Michigan University of Michigan University of Michigan E D I T O R I A L C O M M I T T E E SYLVIA L. THRUPP History GEOFF ELEY History ALBERT FEUERWERKER East Asian History JACK GOODY Anthropology SHERRY B. ORTNER Anthropology THOMAS R. TRAUTMANN South Asian Historv University of Michigan University of Michigan University of Michigan University of Cambridge University of Michigan University of Michigan SVETLANA ALPERS BERNARD BAILYN BERNARD S. COHN NATALIE Z. DAVIS S. N . ElSENSTADT CLIFFORD GEERTZ CARLO GINZBURG MAURICE GODELIER GEOFFREY HAWTHORN KEITH HOPKINS EMMANUEL LE ROY LADURIE DONALD N. MCCLOSKEY MAGNUS MORNER JACOB M. PRICE RICHARD RORTY TEODOR SHANIN SUSAN R. SULEIMAN CHARLES TILLY MICHAEL WALZER ERIC R. WOLF- GAVIN WRIGHT CONSULTING EDITORS Art History American History Anthropology and History History Sociology Anthropology History Anthropology Sociology Sociology History History and Economics Latin American History Economic History English and Philosophy Sociology Romance Languages Sociology and History Political Theory Anthropology Economics University of California, Berkeley Harvard University University of Chicago Princeton University Hebrew University, Jerusalem Institute for Advanced Study Universita degli Studi di Bologna CNRS University of Cambridge University of Cambridge College de France University of Iowa Goteborgs Universitet University of Michigan University of Virginia University of Manchester Harvard University New School for Social Research Institute for Advanced Study Lehman College, CUNY Stanford University Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0010417500017989 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core OMPARATIV: TUDIES I. GUSTY A N D HISTORY AN INTERNATIONAL QUARTERLY VOLUME 34, 1992 CAMBRIDGE UNIVERSITY PRESS Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0010417500017989 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core Published by the Press Syndicate of the University of Cambridge The Edinburgh Building, Shaftesbury Road, Cambridge CB2 2RU, England 40 West 20th Street, New York, NY 10011, U.S.A. © Copyright 1992 by the Society for the Comparative Study of Society and History Printed in the United States of America Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0010417500017989 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core Contents, Volume 34 JEREMY ADELMAN The Social Bases of Technical Change: Mechanization of the Wheatlands of Argentina and Canada, 1890 to 1914 271-300 F. NIYI AKINNASO Schooling, Language, and Knowledge in Literate and Nonliterate Societies 68-109 PETER BALDWIN The Welfare State for Historians. A Review Article 695-707 MARY BEARD Frazer, Leach, and Virgil: The Popularity (and Unpopularity) of The Golden Bough 203-224 JOZSEF BOROCZ Travel-Capitalism: The Structure of Europe and the Advent of the Tourist 708-741 DONALD L. DONHAM Revolution and Modernity in Maale: Ethi- opia, 1974 to 1987 28-57 ROBERT FINLAY Portuguese and Chinese Maritime Imperialism: Camoes's Lusiads and Luo Maodeng's Voyage of the San Bao Eunuch 225-241 STEVEN M. GELBER Free Market Metaphor: The Historical Dy- namics of Stamp Collecting 742-769 RIVKAH HARRIS The Conflict of Generations in Ancient Meso- potamian Myths 621-635 JOHN M. JORDAN Retooled Liberalism? A Review Article 560-565 KERWIN L. KLEIN Frontier Tales: The Narrative Construction of Cultural Borders in Twentieth-Century California 464-490 STEPHEN A. KOWALEWSKI and JACQUELINE J. SAINDON The Spread of Literacy in a Latin American Society: Oaxaca, Mexico, 1890 to 1980 110-140 PETER LAIPSON From Boudoir to Bookstore: Writing the His- tory of Sexuality. A Review Article 636-644 WILLIAM LAVELY and R. BIN WONG Family Division and Mo- bility in North China 439-463 ULI LINKE Manhood, Femaleness, and Power: A Cultural Anal- ysis of Prehistoric Images of Reproduction 579-620 KARIN J. MACHARDY The Rise of Absolutism and Noble Rebel- lion in Early Modern Habsburg Austria, 1570 to 1620 407-438 ERNESTINE MCHUGH Dialogue, Structure, and Change in Hima- layan Anthropology. A Review Article 552-559 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0010417500017989 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core SALLY MCMURRY Women's Work in Agriculture: Divergent Trends in England and America, 1800 to 1930 248-270 WALTER D. MIGNOLO On the Colonization of Amerindian Lan- guages and Memories: Renaissance Theories of Writing and the Discontinuity of the Classical Tradition 301-330 KATHARYNE MITCHELL Work Authority in Industry: The Happy Demise of the Ideal Type 679-694 MICHAEL O ' B R I E N Conservative Thought in the Old South. A Review Article 566-576 ROSALIND O'HANLON and DAVID WASHBROOK After Orien- talism: Culture, Criticism, and Politics in the Third World 141-167 UFFE 0STERGARD Peasants and Danes: The Danish National Identity and Political Culture 3-27 DORINDA OUTRAM Revolution and Repression. A Review Article 58-67 STACY LEIGH PIGG Inventing Social Categories through Place: Social Representations and Development in Nepal 491-513 GYAN PRAKASH Can the "Subaltern" Ride? A Reply to O'Hanl- on and Washbrook 168-184 ROBERT RYDELL Museums and Cultural History. A Review Article 242-247 DAVID SCOTT Conversion and Demonism: Colonial Christian Discourse and Religion in Sri Lanka 331-365 ANN STOLER Sexual Affronts and Racial Frontiers: European Identities and the Cultural Politics of Exclusion in Colonial Southeast Asia 514-551 CHRISTIAN SUTER and HANSPETER STAMM Coping with Global Debt Crises: Debt Settlements, 1820 to 1986 645-678 NICHOLAS THOMAS Colonial Conversions: Difference, Hier- archy, and History in Early Twentieth-Century Evangelical Propaganda 366-389 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0010417500017989 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core NEW FROM CAMBRIDGE The Social Survey in Historical Perspective, 1880-1940 Martin Bulmer, Kevin Bales and Kathryn Kish Sklar, Editors This book traces the history of the social survey in Britain and the United States (with two chap- ters on Germany and France), dis- cussing the aims and interests of those who carried out the early surveys, and the links between the social survey and the growth of empirical social science. Contributors: Martin Bulmer, Kevin Bales, Kathryn Kish Sklar, Eileen Janes Ho, Jane Lewis, E. P. Hennock, Alain Desrosieres, Steven R. Cohen, Stephen P. 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Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core NEW WORLD ENCOUNTERS Edited by STEPHEN GREENBLATT "Many of these essays form the cut- ting edge of scholarship on the ex- pansion of Europe and its cultural consequences. . . . This work is so solid, so elegantly presented, and at the same time so innovative that the book should attract considerable at- tention and remain in use for a long time." —Anthony Grafton, author of Defenders of the Text A Representations Book £32.50 cloth, £10.95 paper, illustrated MORAL COMMUNITIES The Culture of Class Relations in the Russian Printing Industry, 1867-1907 MARK D. STEINBERG Steinberg offers a rare perspective on the social and political crisis in late Imperial Russia focusing on the print- ing industry as it evolved from a state- dependent handicraft to a capitalist industry. 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Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core Comparative Studies in Society and History is a forum for presentation and discussion of new research into problems of change and stability that recur in human societies through time or in the contemporary world. It sets up a working alliance between specialists in all branches of the social sciences and humanities. Debate and review articles bring the general reader in touch with current findings and issues. N O T E S FOR C O N T R I B U T O R S Contributions may be descriptive, analytical, or theoretical. Any article not in itself comparative may be accepted if it lends itself to comment that will place it in comparative perspective. Correspondence with the editors prior to the submission of articles will help to enable them to obtain such comment or a companion study. Emphasis in comparative studies may be either on sim- ilarities or, if these are significant enough and call for some recasting of generalizations, on differences. All contributions and editorial correspon- dence should be sent to the Editors, Comparative Studies in Society and History, 102 Rackham Building, University of Michigan, Ann Arbor, Mich- igan 48109-1070. Two copies of each contribution, preferably accompanied by a stamped, addressed envelope, should be submitted. Both text and footnotes should be clearly typed with double spacing and wide margins; footnotes should appear on separate pages at the end of the article. Illustrations may be included by arrangement with the editors. Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0010417500017989 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core Volume 34 Number 4 October 1992 COMPARATIVE STUDIES IN SOCIETY AND HISTORY Editorial Foreword 577-578 Gender, Generation, Sex ULI LINKE Manhood, Femaleness, and Power: A Cultural Analysis of Prehistoric Images of Reproduction 579-620 RIVKAH HARRIS The Conflict of Generations in Ancient Mesopotamian Myths 621-635 PETER LAIPSON From Boudoir to Bookstore: Writing the History of Sexuality. A Review Article. 636-644 Imposing the Rules of Economic Behavior CHRISTIAN SUTER and HANSPETER STAMM Coping with Global Debt Crises: Debt Settlements, 1820 to 1986 645-678 KATHARYNE MITCHELL Work Authority in Industry: The Happy Demise of the Ideal Type 679-694 PETER BALDWIN The Welfare State for Historians. A Review Article. 695-707 The Political Economy of Leisure J6ZSEF B 0 R 6 C Z Travel-Capitalism: The Structure of Europe and the Advent of the Tourist 708-741 STEVEN M. GELBER Free Market Metaphor: The Historical Dynamics of Stamp Collecting 742-769 CSSH Notes 770-783 Cambridge University Press The Edinburgh Building, Shaftesbury Road, Cambridge CB2 2RU 40 West 20th Street, New York, NY 10011 10 Stamford Road, Oakleigh, Melbourne 3166, Australia © 1992 Society for the Comparative Study of Society and History Printed in the United States of America Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0010417500017989 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:26, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0010417500017989 https://www.cambridge.org/core 
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work_qg3igm4rczbxvoirpmak2dv3q4	----	LE CHOIX DES ANNALES BESANÇON (Alain), Histoire et expérience du moi, Paris, Flammarion, 1971, 241 p. Des articles de méthodes parus dans les « Annales » contribuent avec d'autres à faire de ce livre discret et percutant une introduction essentielle aux problèmes des rapports entre histoire et psychanalyse. BISSERET (Noëlle), « Notion d'aptitude et société de classes », Cahiers Inter- nationaux de Sociologie, juillet-août 1971. Une analyse passionnante de la notion d'aptitude, du XVIIT siècle à aujour- d'hui. Cette contribution à l'étude de l'idéologie scolaire, intéressera tous ceux que préoccupe l'histoire sociale de l'éducation. Cet article est remar- quable par deux qualités assez inhabituelles dans la sociologie actuelle : il a des idées, il n'ignore pas la dimension historique. A noter, dans le même numéro, une intéressante mise au point d'Olivier BUR- GELIN sur la notion de « barrière sociale » à propos de la réédition du livre de Goblot : La barrière et le niveau. BORILLO (Mario), « Formai procédures and the use of computers in archaeology. How they modify some aspects of the archaeological approach », Norwegian Archaelogical Review, IV, 1 (1971), pp. 2-15, suivi d'une discussion de l'article par divers auteurs et de la réponse de l'auteur, pp. 16-27. Se recommande par son caractère abstrait et théorique : pas un exemple pour éclairer l'argumentation dont l'ambition méthodologique ne profitera qu!aux archéologues baignant déjà dans l'aura informaticienne. Mais de nombreux et intéressants problèmes sont évoqués tant par l'auteur que par ses critiques et ses commentateurs. A défaut d'une invite à pratiquer l'ordinateur, une étape, sans doute anticipée pour la plupart des archéo- logues, sur la voie d'une révolution conceptuelle de leur discipline Pierre DEMOLON, Le village mérovingien de Brebières (Vr-Vir siècle), avec une étude de la faune par Th. Poulain-Josieu ; avant-propos d'E. Will. Mémoires de la Commission départementale des monuments historiques du Pas-de-Calais, tome XIV1, 340 p. Après tant d'études sur l'habitat du Haut Moyen Age, en Allemagne, aux Pays-Bas, dans les pays de l'Est européen, la première publication de ce type en France : la fouille d'un village d'une trentaine de cabanes. La fouille avait été exemplaire : la publication, exhaustive, ne l'est pas moins. DUQUESNAY ADAMS (Jeremy), The Populus of Augustine and Jérôme. A Study in the patristic sensé of community, New Haven and London, Yale University Press, 1971, 278 p. Une étude de vocabulaire à l'aide de la philologie classique, du structu- ralisme et de l'analyse quantitative, qui renouvelle l'histoire des idées. GASCON (Richard), Grand commerce et vie urbaine au XV r siècle. Lyon et ses marchands (environ de 1520 - environs de 1580), Paris-La Haye, Mouton (E.P.H.E., VI" Section, « Civilisations et Sociétés »), tomes I et II, 999 p. Une grande étude d'histoire urbaine sur la France du XVIe siècle. Les historiens de l'économie, mais aussi ceux de la Réforme et de la Ligue envisagées dans leur épaisseur sociale, y trouveront largement leur compte. h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms GRAUS (Frantisek), Struktur und Geschichte. Drei Volksaufstànde im mittel- alterlichen Prag, Sigmaringen, Jan Thorbeck Verlag, « Vortràge und Forschungen », 1971, 96 p. Un historien formé par le marxisme cherche en toute rigueur à ajuster aux concepts à la mode l'histoire sociale traditionnelle. Une contribution originale à l'étude de la crise du XIVe siècle à laquelle, à travers maintes vicissitudes, Frantisek Graus s'intéresse depuis vingt ans. HILL (Christopher), Antichrist in seventeenth century England, Oxford University Press, 1971, 201 p. Dans la vogue actuelle du millénarisme, une étude qui émerge par la personnalité de son auteur et l'originalité de l'histoire anglaise du XVII* siècle. Histoire de Pologne, par A. GIEYSZTOR, S. KIENIEWICZ, E. ROSTWOROWSKI, J. TAZBIR, H. WERESZYCKI, PWN, Varsovie, 1971, 840 p. En version française, un modèle d'histoire nationale qui témoigne de la vitalité de l'école historique polonaise, des capacités de l'histoire nouvelle à passer au stade de la vulgarisation supérieure, et de la possibilité d'une histoire libre en pays socialiste. LACHIVER (Marcel), Histoire de Mantes et du Mantois à travers chroniques et mémoires (des origines à 1792) et La vie rurale dans le Mantois et le Vexin au XIX' siècle (d'après les papiers d'Eugène BOUGEATRE) ; Meulan, 1971 (édité par l'auteur, maître-assistant à l'Université de Paris I). Un précieux recueil de textes sur l'histoire sociale et sur l'ethnographie d'une petite région. Avec Marcel Lachiver l'érudition locale, une fois n'est pas coutume, est modernisée, et dépoussiérée de main de maître. LEMERLE (Paul), Le Premier Humanisme byzantin. Notes et remarques sur enseignement et culture à Byzance des origines au Xe siècle, Paris. Presses Universitaires de France, 1971, 327 p. Dans une présentation trop modeste, un grand livre sur les contradictions de l'humanisme chrétien, sur la spécificité de la culture byzantine et, en amorce, sur le livre comme signe. MATTICK, Marx et Keynes. Les limites de l'économie mixte, trad. de l'anglais, Paris, Gallimard, Les Essais CLXIX, 1972. Livre de haute qualité, stimulant, où Marx l'emporte trop souvent sur Keynes, mais le débat se situe à grande hauteur. Traduction excellente. MONTER (E. William), « Witchcraft in Geneva, 1537-1662 », Journal of Modem History, juin 1971, et « Patterns of Witchcraft in the Jura », Journal of Social History, automne 1971. Deux articles très neufs où W. Monter reprend à la base, par une enquête précise dans les archives locales, le problème des sorcelleries jurassienne, savoyarde et genevoise. Un distinction fondamentale est opérée entre le sabbat, tel qu'il est suggéré aux accusés par les inquisiteurs, et d'autre part la réalité des pratiques maléfiques, enracinée pour de bon dans le folklore local. Une distinction fine est mise en œuvre, qui discrimine entre les attitudes calviniste, anglicane et catholique vis-à-vis de la répression anti-Satan. L'enquête de W. Monter n'est pas terminée : elle est d'ores et déjà très prometteuse. h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms NORDMANN (Claude), Grandeur et liberté de la Suède (1660-1792), Paris-Louvain, Béatrice Nauwelaerts, Publications de la Faculté des Lettres et Sciences Humaines de Paris-Sorbonne, 1971, 551 p. Vaut d'être signalé, autant par la qualité du sujet que par la qualité de l'écriture et de l'expression. Past and Présent, mai 1971. A signaler dans cet intéressant numéro de Past and Présent, une approche triangulaire du livre de Roland Mousnier sur les Fureurs paysannes : trois spécialistes des différentes nations mises en cause par l'historien français s'attaquent en ordre dispersé à cet important ouvrage. Et Robert Darnton évoque dans sa « Low-life of literature in pre-revolutionary France », la vie et l'action des parias culturels de la librairie française au XVIII' siècle. Le numéro de novembre 1971 apporte, à côté d'un très contestable compte rendu de David Parker sur le livre de Lublinskaja, des contributions fort sérieuses à quelques sujets à la mode : histoire des femmes (Olwen Hufton : « Women in Révolution 1789-1796) ; histoire des étudiants et de leurs études (« Médiéval Student Power », par Alan B. Cobban « Secondary Education in Midnineteenth Century France : some social aspects », par Robert Anderson). RASILA (Viljo), « The use of multivariable analysis in historical studies », Economy and history, XIII (1970), p. 24 sq. Une belle démonstration de diverses méthodes statistiques applicables à un même problème historique. Au terme des différentes études, l'analyse factorieïle reçoit la palme. Un modèle de clarté et d'honnêteté sur un exemple précis. Bruno RIZZI, Socialismo infantile (bilanci e sbilanci del marxismo), Editrice Razionalista, 37012 Bussolengo (Verona), Cas. post. 33, 1969. Le germe de l'édifice social et des rapports de production se trouve-t-il dans la cour seigneuriale et dans toute société où l'on achète le travail comme n'importe quelle marchandise ? C'est la question que pose l'auteur de La Bureaucratisation du monde (Paris, 1939), dans le premier fascicule d'une œuvre qui doit en compter quatre. ROUSSEL (Louis), « La Nuptialité en France », Population, novembre-décembre 1971. La France connaît depuis quelque temps un nouveau retardement des mariages. Ce phénomène, remarquablement analysé ici à partir des données de la structure démographique et socio-professionnelle, n'a rien à voir avec le mariage tardif des sociétés d'Ancien Régime. Mais certains éléments du mécanisme actuel de retardement peuvent permettre d'éclairer ce qui fut l'arme malthusienne essentielle de l'Europe pré-industrielle. SISMONDI (J.-C.-L.), Nouveaux principes d'économie politique ou De la richesse dans ses rapports avec la population, avec une préface de Jean Weiller, Paris, Calmann-Lévy, 1971, 376 p. Sismondi le méconnu a trouvé en Jean Weiller un fils spirituel qui a voulu tirer son nouveau père du néant, d'un oubli quasi total et regrettable. Grand historien, maître de Guizot, théoricien de la force de travail, de la plus-value, de la sous-consommation, des coûts sociaux de l'industrialisation, de la croissance déséquilibrée et de la société bloquée, Sismondi n'est pas h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms seulement le pâte précurseur de Karl Marx, il est aussi, en ces années 1970 de la crise de civilisation, un prophète d'une redoutable actualité. VARAGNAC (André), La conquête des énergies (Préface de René Huyghe), Paris, Hachette, 1972, 252 p. L'histoire des techniques prend, à travers « sept révolutions énergétiques » de la préhistoire à aujourd'hui, toutes ses dimensions dans ce « grand et beau livre qui fait éclater tous les cloisonnements ». VOVELLE (Michel), Attitudes devant la mort en Provence d'après les testaments (thèse d'Etat, dactylographiée, en 3 volumes, à paraître). Les techniques de l'I.F.O.P. et du sondage d'opinion appliquées à l'un des plus grands documents sériels de l'Ancien Régime. Grâce à Michel Vovelle, qui en ce domaine fait figure de novateur sur toute la ligne, l'histoire chiffrée fait, enfin, son entrée en force, dans le domaine de l'étude des mentalités religieuses en sociétés traditionnelles. C'est du Huizinga quantifié. WACHTEL (N.), La vision des vaincus. Les Indiens du Pérou devant la conquête espagnole. Gallimard, Bibliothèque des histoires, 395 p., 1972. Un grand livre d'ethnohistoire : la déstructuration des Indiens du Pérou au contact de la conquête espagnole. Une enquête menée avec une rigueur exemplaire, à travers une information ample et variée, parfaitement dominée. L'auteur a su combiner habilement les sources historiques et l'observation ethnographique. Cette confrontation est l'occasion d'une des tentatives les plus convaincantes de l'application à l'histoire de la méthode structuraliste. WOLFF (Philippe), Les origines linguistiques de l'Europe occidentale, Paris, Hachette, 1971, 256 p. Même si l'on reste un peu sur sa faim en matière de linguistique et de sociologie de la culture, un ouvrage pionnier qui, par-delà le grand public auquel il s'adresse, forcera à s'interroger sur le bilinguisme médiéval et sur la place de la langue dans l'histoire des sociétés. Deux rééditions : 1. DUBY (Georges), La Société aux XI' et XII" siècles dans la région mâconnaise (Bibiothèque Générale de l'Ecole Pratique des Hautes Etudes, VI" section), Paris, S.E.V.P.E.N., 1971, 255 p. L'ouvrage classique qui, en 1953, a révélé un des premiers historiens d'aujourd'hui et, depuis, a fait voir la féodalité médiévale sur le modèle maçonnais. 2. MARROU (Henri-lrénée), Histoire de l'éducation dans l'Antiquité, Ed. du Seuil, Paris, s.d., 646 p. Sur un thème essentiel, une synthèse d'érudition, d'intelligence et de sen- sibilité. h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms Mélanges en l'honneur de FERNAND BRAUDEL C'est sous forme de deux volumes : — Tome 1 : Histoire économique du monde méditerranéen (1450-1650) — Tome 2 : Méthodologie de l'Histoire et des sciences Humaines que se présentera cette importante publication réalisée avec le concours d'éminents historiens et spécialistes des sciences humaines. Un comité composé des professeurs J.F. Bergier (Zurich), J. Le Goff (Paris), H. Kellenbenz (Nuremberg), et A. Tenenti (Paris), a pris en charge l'édition de ces deux ouvrages qui paraîtront en octobre 1972, et seront remis à M. Fernand Braudel au cours d'une réunion prévue pour début novembre de la même année. Le Tome 2 comportera la liste des participants à la souscription internationale actuel- lement en cours. • Pour recevoir le bulletin de souscription on est prié de s'adresser dès que possible aux Éditions Edouard Privât 14, rue des Arts, 31 - Toulouse (France) h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms PSYCHANALYSE DES PEUPLES ET DES CIVILISATIONS Tragédie du passé. Angoisse du présent Espoir d'avenir Guy DINGEMANS docteur en médecine de l'Université de Lausanne Cette étude des divers aspects de la quête du bonheur par les hommes de tous les continents tient compte de l'apport de sciences telles que la caractérologie, la psychologie dynamique, la sociologie, la^psychosomatique, etc. 17 x 24, 612 p, ill. 40 F Nouveautés ÉCONOMIE DU SAVOIR Jean-Louis MAUNOURY professeur à l'Université de Nice Les conditions de production du savoir, son originalité, ses coûts, sa produc- tivité, sa place dans l'économie générale des pays capitalistes évolués. 17 x 23, 448 p, cartonné 49 F LA SUISSE CONTEMPORAINE Jean ROHR maitre-assistant à l'Université de Paris I De l'image traditionnelle à l'évolution récente : une vision d'ensemble des réalités politiques et sociales. U2 n° 192, 12 x 16,5, 336 p, 52 doc, 28 fig., index 15 F armand colin XIV h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms destins du monde Collection dirigée par Fernand B R A U D E L , professeur au Collège de France Jacques GERNET professeur à l'Université de Paris VII et directeur d'études à l'École Pratique des Hautes Études LE MONDE CHINOIS L'analyse de la formation du « monde chinois » révèle l'inanité des préjugés habituellement provoqués par une série de « clichés » plus ou moins erronés. Pour chaque étape de l'évolution, l'auteur s'attache à rendre sensible les liens qui ont uni société, formes politiques, économie, techniques, religions et vie intellectuelle. Il souligne l'importance des relations entre les pays d'Asie orientale et le reste du monde à chaque moment de l'histoire. Exposé dense, d'une clarté remarquable, abondamment illustré de cartes, dessins et photographies en noir et en couleurs, cet ouvrage que seul un spécialiste de l'histoire chinoise pouvait mener à bien, s'adresse à un très vaste public parti- culièrement de nos jours où la Chine est un des sujets de l'actualité. 768 pages, 18 x 23 cm, 36 hors-textes dont 4 en couleurs, tableaux chronolo- giques, bibliographie, trois index, reliure pleine toile sous jaquette illustrée. 1 1 5 F armand colin XV h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms EPISTEMOLOGIE S O C I O L O G I Q U E IM° 12 - D e u x i è m e s e m e s t r e 1971 Bulletin semestriel publié par le Groupe d'Épistémologie sociologique S O M M A I R E T y p e s , classes e t o b j e t en sociologie e t en psychologie Jacques M A H O De l'agrégat à l'essence. Présentation des problèmes de la typologie. Gaby NETCHINE Écritures formelles et lectures naturalistes dans les classifications psychologiques d'individus. Pierre ROLLE Objets naturels, objets repérés, objets construits. Administration, vente et abonnements : É D I T I O N S A N T H R O P O S 15, rue Racine, Paris-6e - C.C.P. Paris 8721-23 Le numéro : 15 F - Abonnement : 26 F Idéologie S o m m a r i o dei n. 1 6 , 1971 D I Z I O N A R I O T E O R I C O - I D E O L O G I C O Analogia biologica ; Programmazione sociale dei comportamenti ; Programmi délia comunicazione ; Sistemi segnici ; Sociologia bioanalogica. Voci redatte da F. Rossi-Landi e Mario Sabbatini. S A G G I Sergio Staino : Aile origini délia città : per un'analisi marxista dei fenomeni territorial/'. Augusto Ponzio : Grammatica trasformazionale e ideologia politica. Ferruccio Rossi-Landi : Omologia délia riproduzione sociale. Notiziario : Sommari dei « Quaderni Rossi », Pubblicazioni ricevute, indicazioni e sommari di riviste, sommari ed edizioni di Idéologie. 230 pp. circa Lire 1.600 Redazione e amministrazione : via Girolamo Segato 3 1 , 00147 ROMA. XVI h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms NOUVELLE BIBLIOTHEQUE SCIENTIFIQUE dirigée par Fernand Braudel PIERRE GOUROU Professeur au Collège de France LATERRE ET L'HOMME EN EXTREME-ORIENT THOMAS KUHN Professeur à Princeton University (U.SA) LA STRUCTURE DES REVOLUTIONS SCIENTIFIQUES Une brillante analyse de la nature, des causes et des conséquences des révolutions scientifiques survenues au cours des trois derniers siècles. flammarion XVII h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms THE ECONOMIC HISTORY REVIEW Second Séries, Volume X X V , No. I , February 1972 C O N T E N T S Obituary WILLIAM HENRY BASSANO COURT, 1904-1971. Articles JOSEF ROSEN, Priées and Public Finance in Basle, 1360-1535. ANDREW JONES, Land and People at Leighton Buzzard in the Later Fifteenth Cen- tury. JOHN LANGTON, Coal Output in South-West Lancashire, 1590-1799. D. ELTIS, The Traffic in Slaves between the British West Indian Colonies, 1807-1833. T . R. GOURVISH, The Cost of Living in Glasgow in the Early Nineteenth Century. D. J. ROWE, A Trade Union of the North-East Coast Seamen in 1825. H. W. RICHARDSON, British Emigration and Overseas Investment, 1870-1914. Short Articles and Discussions CONRAD RUSSELL, CHRISTOPHER THOMPSON, LAWRENCE STONE, Stone and Anti- Stone. Essays in Bibliography and Criticism LXXI, A Bibliography of the Published Writings of R. H. Tawney J. M. WINTER. Reviews Published for The Economie History Society by The Broadwater Press Ltd, Welwyn Garden City, Hertfordshire, England XVIII h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms É C O L E P R A T I Q U E D E S H A U T E S É T U D E S - VIe S E C T I O N SCIENCES ÉCONOMIQUES ET SOCIALES Société, m o u v e m e n t s sociaux et idéologies : É t u d e s , 9 Stanislaw E H R L I G H Le pouvoir et les groupes de pression É t u d e d e la s t r u c t u r e politique d u capitalisme P a r t a n t d ' u n a p e r ç u pluraliste, l ' a u t e u r se p e n c h e sur la relation e n t r e la théorie marxiste des classes et la théorie des groupes, telle qu'elle a été élaborée p a r l a sociologie politique occidentale. Il analyse ensuite la m a n i è r e d o n t la s t r u c t u r e politique d u capitalisme et des différents groupes d ' i n t é r ê t s'entrelace avec celle des partis politiques, d u P a r l e m e n t , de l'exécutif, d u pouvoir j u d i c i a i r e ; il e x a m i n e la tactique des groupes et institutions politiques et celle des groupes i n t e r n a t i o n a u x . En conclusion, il p a r l e des profonds c h a n g e m e n t s d e la s t r u c t u r e politique d u capi- talisme : le système d e la représentation g é o g r a p h i q u e n'existe plus sous sa forme classique. U n e représentation consultative, q u i à son t o u r a développé des formes diverses, lui supplée en aboutissant à u n n o u v e a u modèle de représentation, où les d e u x systèmes (représentation politique et représentation consultative) sont indissolublement et nécessairement liés. 1 v o l u m e , 286 pages 32,00 F Société, m o u v e m e n t s sociaux et idéologies : É t u d e s , 11 Sabine ERBÈS-SEGUIN Démocratie dans les syndicats D e quelle façon les p r a t i q u e s syndicales, réanalysées à travers le sens q u e leur d o n n e n t les militants, structurent-elles la vie i n t e r n e d e l'organisation ? A travers différents types d e projets des militants apparaissent des systèmes d e mobilisation et d'influence i n t e r n e : p r a g m a t i q u e , de t r a d u c t i o n , d ' e n t r a î n e m e n t t e c h n o c r a t i q u e ou d é m o c r a t i q u e . L ' o u v r a g e d e Sabine Erbès-Seguin présente des exemples d ' a p p l i - cation d u modèle à la « d é m o c r a t i e syndicale », à différentes fédérations des p r i n - cipales centrales syndicales françaises, a u m o u v e m e n t d e M a i . 1 v o l u m e , 190 pages 24 F Rappel : C L A U D E D U R A N D , Conscience ouvrière et action syndicale. Société, m o u v e m e n t s sociaux et idéologies : É t u d e s , 10. 258 pages, 28 F. M O U T O N Diffusion pour la France : L I B R A I R I E D E L A N O U V E L L E F A C U L T É 3 0 , rue des Saints-Pères, Paris y* XIX Annales (27* année, mars-avril 1972, n° 2) 17 h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms ANNALES DE NORMANDIE Revue trimestrielle d'études régionales Rédaction et administration : Logis des Gouverneurs — Château, 14 - Caen • (XXII e ANNÉE) Sommaire du n° 1 , mars 1972 M . W . C A M P B E L L . — Note sur les déplacements de Tostig Godwinson en 1066. J . D A R S E L . — L'Amirauté de Caudebec-Quillebeuf ( 2 e partie). M . - M . C H A M P I I M . — La criminalité dans le bailliage d'Alençon de 1715 à 1745. CHRONIQUE DES ÉTUDES NORMANDES Les A n n a l e s de N o r m a n d i e publient chaque année, conjointement avec les Cahiers Leopold-Delisle, une bibliographie des travaux concernant la Nor- mandie, parus durant l'année précédente. Abonnement 1971 : France, 15 F — Étranger, 20 F à verser aux ANNALES DE NORMANDIE C.C.P. Rouen 604-01 D XX h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms ÉDITIONS DU CEIVTRE NATIONAL DE l A RECHERCHE SCIENTIFIQUE 15, quai Anatole-France, 75 - Paris-7e C.C.P. Paris 9061-11 Tél. 555-26-70 I/AUBRAC ÉTUDE ETHNOLOGIQUE, LINGUISTIQUE, AGRONOMIQUE E T ÉCONOMIQUE D'UN ÉTABLISSEMENT HUMAIN Vient de paraître : TOME II : ETHNOLOGIE HISTORIQUE Ouvrage de 320 pages, 17 tableaux in-texte, 100 planches et 12 cartes en noir in-texte, 4 cartes en 2 couleurs dont 2 en dépliant hors-texte, 37 planches hors-texte en noir, 1 planche hors-texte en couleurs, 21 x 27, broché P R I X : 62,40 F T.T.C. Déjà paru : TOME I. — AGRONOMIE. GÉOGRAPHIE. SOCIOLOGIE ÉCONOMIQUE P R I X : 59,10 F T.T.C. DOCUMENTS ANNEXES " MONTAGNES DE I/AUBRAC " CARTE E T CATALOGUE par Corneille J E S T C.N.R.S. Centre de Recherche Ethnologique de la Faculté des Lettres et Sciences Humaines de l'Université de Paris et Jean-Dominique LAJOUX C.N.R.S. Centre d'Ethnologie française du Musée national des Arts et Traditions populaires Format 21 x 27, 36 pages dont 9 tableaux, 2 cartes au trait en 2 cartes simili in-texte 1 carte en 5 couleurs sous pochette, broché. P R I X : 21,50 F T.T.C. XXI h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms ACTA POLONIAE HISTORICA Rédacteur en chef : prof, dr Marian Malowist V o l . X X V , 1971 Prix 4,5 $ S o m m a i r e I. Études A. POPPE La tentative de réforme ecclésiastique en Russie au milieu du X I e siècle. W. SLIWOWSKA Naissance de l'émigration politique russe. J . ZARNOWSKI The Emergence of the System National States in Central Europe (1918). P. LOSSOWSKI National Minorities in the Baltic States 1919-1940. II. Travaux en cours J . TAZBIR Christopher Columbus in Early Polish Literature. III. Discussions M. ORZECHOWSKI Le retour de la Pologne sur l'Odra, la Nysa lusacienne et la Baltique : un débat. IV. Notes critiques V. Comptes rendus Revue paraissant deux fois par an sous les auspices de l'Institut d'Histoire de l'Académie Polonaise des Sciences. Rédaction : I n s t y t u t H i s t o r i i P A N , W a r s z a w a , Rynek S t . M i a s t a 29/31 Pour commande à l'étranger s'adresser à la Centrale du Commerce Extérieur ARS POLONA, Warszawa, Krakowskie Przedmiescie 7. XXII h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms É C O L E P R A T I Q U E D E S H A U T E S É T U D E S - VI« S E C T I O N SCIENCES ÉCONOMIQUES ET SOCIALES Documents et recherches sur l'économie des pays byzantins, islamiques et slaves et leurs relations commerciales au Moyen Age, 11 F. T H I R I E T DÉLIBÉRATIONS DES ASSEMBLÉES VÉNITIENNES CONCERNANT LA ROMANIE Tome II : 1364-1463 Le second tome des Délibérations des Assemblées Vénitiennes analyse, selon le langage documentaire des « mots-clés », toutes les délibérations des Conseils autres que le Sénat. Près de 700 régestes sont ainsi rédigés : ils apportent u n e foule de renseignements de tous ordres sur la vie des hommes, leurs activités économiques, les institutions qui les encadrent et les régissent dans le Levant vénéto-grec. U n e centaine des analyses font l'objet d ' u n e publication inté- grale en appendice. L'ouvrage comporte u n index d ' u n g r a n d intérêt pour les études institutionnelles, économiques et prosopographiques (familles vénitiennes). 1 volume, 339 pages 76 F Du même auteur: Délibérations des Assemblées Vénitiennes concernant la Romanie. Tome I : 1160-1363, 329 pages, 76 F. Régestes des délibérations du Sénat de Venise concernant la Romanie. T o m e I : 1329-1399, 247 pages, 38 F. T o m e I I : 1400-1430, 301 pages, 49 F. T o m e I I I : 1431-1463, 278 pages, 62 F . MOUTON Diffusion pour la France : L I B R A I R I E D E LA N O U V E L L E F A C U L T É 30, RUE DES SAINTS-PÈRES, PARis-7e XXIII h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms J A N V I E R - M A R S 1972 Numéro 78 MOUVEMENT S O C I A L Revue trimestrielle publiée avec le concours du Centre National de la Recherche Scientifique. Publiée avec la collaboration du Centre d'Histoire du Syndicalisme de l'Université de Paris I (Panthéon-Sorbonne). S O M M A I R E LE M O U V E M E N T O U V R I E R F R A N Ç A I S ET L'AFRIQUE DU NORD (1920-1939) Question coloniale, question nationale, par R. GALLISSOT. Les communistes français devant la question algérienne de 1921 à 1924, par C.-R. AGERON. Le Parti communiste français et la guerre du Rif, par N. LE GUENNEC. Les socialistes de Tunisie devant la crise de 1929 et ses conséquences politiques, par A. NAURA. Essai sur la vie syndicale en Algérie, l'année du Centenaire (1930), par A. AYACHE. Le Parti communiste français, le Comintern et l'Algérie dans les années 1930, par TH.-A. SCHWEiTZER. NOTES DE LECTURE, par R. GALLISSOT. Annuaire de l'Afrique du Nord, publié par le Centre de recherches et d'études des sociétés méditerranéennes, Aix-en-Provence. Tome VI, 1967 et Tome VII, 1968. — La politique du parti communiste français dans la question coloniale 1920-1963, par J . MONETA. —Autogestion ouvrière et pouvoir politique en Algérie 1962-1965. pat M. LAKS. — Doctrine et action syndicales en Algérie, par F. WEISS. — Histoire du Maghreb, un essai de synthèse, par A. LAROUI. — L'anticolonialisme européen de Las Casas à Marx, présenté par M. MERLE. LES É D I T I O N S O U V R I È R E S 12, avenue de la Sœur-Rosalie, PARIS-XIII8 Abonnement annuel : France, 30 F; Étranger, 36 F (4 numéros) Le numéro : France, 9 F; Étranger, 12 F C.C.P. Paris 1360-14 LE XXIV h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms C o m p a r a t i v e S t u d i e s in S o c i e t y and H i s t o r y Volume 14, Number 2, April 1972 Editorial Foreword Marx and Weber Today RICHARD ASHCRAFT Marx and Weber on Liberalism as Bourgeois Ideology Charisma WALTER P. ZENNER AqiiH Agha : The Strongman in the Ethnie Relations of the Ottoman Galilée DAVID GUTMANN Comment R. H. DEKMEJIAN and M. J. WYSZOMIRSKI Charis- matic Leadership in Islam: The Mahdi of the Sudan Elites EUL-SOO PANG and RON L. SECKINGER The Manda- rins of Impérial Brazil Books Received £2.00 net ($5.00 in the USA) Annual subscription £5.00 net ($14.00 in the USA) for four issues CAMBRIDGE UNIVERS1TY PRESS Bentley House, 200 Euston Road, London NWi 2DB American Branch: 32 East 57th Street, New York, N.Y. 10022 h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms A R C H I V E S E U R O P É E N N E S D E S O C I O L O G I E S P E C I A L I S S U E S I i Industrial Society and Représentative Government. 2 A la recherche des classes perdues. I I i Le sabre et la loi. 2 On the Welfare State. I I I 1-2 Universitàt im Umbau : Anpassung oder Widerstand? I V i In Ouest of Political Participation. 2 Trois études sur la science. V i Organisation der Macht, Macht der Organisation. 2 Tocqueville, Marx, Weber. V I i Simulation in Sociology. 2 Armed Forces and Society in Western Europe. V I I i Aliénation et structure or Conscience and Consciousness. 2 On Suicide. V I I I i Paradoxes of Transitional Societies. 2 Sympathy for Alien Concepts. I X i Weber and Durkheim : le solitaire et le chef d'école. 2 Zur Problematik der Modernisierung or The Concept of Modernity. X i Survivances et permanences or Continuity and Re-enactment. 2 Myths and Mass Media. X I i La planification dans des nations du tiers monde : bilan critique. 2 La foi et les mœurs or Faith and Morals. X I I i Permanent non-Revolution. 2 Réfections on Durkheim. X I I I i Permanent non-Revolution (continuée!). RÉDACTION Raymond Aron — J e a n Baechler — Thomas Bottomore — Ralf Dahrendorf Éric de Dampierre — Ernest Gellner — Steven Lukes Musée de l'Homme, PARIS-XVI» Les Archives paraissent deux fois par an. La correspondance administrative et les abonnements doivent être adressés à l'administrateur, M . J u n o d , Librairie Pion, 8, rue Garancière, Paris-6". Le tome annuel coûte 28 F à l'abonné. Toute commande de numéros séparés de l'année en cours sera servie au prix de 16 F le numéro. Numéro ancien : 3a F. XXVI h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms ÉCOLE PRATIQUE DES HAUTES ÉTUDES - VI» SECTION SCIENCES ÉCONOMIQUES ET SOCIALES CENTRE DE RECHERCHES HISTORIQUES Civilisations et sociétés, 22 Richard GASCON Grand commerce et vie urbaine au XVIe siècle Lyon et ses marchands (environs de 1520 - environs de 1580) A travers l'histoire économique et sociale d'une ville, la promotion urbaine de l'Occident, un moment de l'épanouissement de l'Europe des grandes affaires, les chances offertes à la France de s'y insérer, le bouleversement des vieilles structures urbaines, les inquiétudes, les effervescences et les conflits annonciateurs du monde moderne : Lyon, au siècle de la Renaissance, ville prophétique. 2 volumes, iooi pages 130 F M O U T O N Diffusion en France : LIBRAIRIE DE LA NOUVELLE FACULTÉ 3 0 , RUE DES SAINTS-PÈRES, PARIS"7e XXVI! h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms BIBLIOTECA DI STUDI FRANGESI SOCIETA' EDITRICE INTERNAZIONALE FRANCO SIMONE IL R I N A S C I M E N T O FRANCESE Études et recherches Pages XVI-459 - Lit. 7.500 Deuxième édition, revue et corrigée. « Voici un livre vraiment important qui intéressera, outre les spécialistes de l'Humanisme et de la Renaissance, tous ceux qui, à titres divers, sont amenés par leurs recherches à se poser des problèmes historiographiques dans le domaine de l'histoire intellectuelle et littéraire ». GILBERT OUY Bulletin des Bibliothèques de France Demander l'ouvrage à : SOCIETA' EDITRICE INTERNAZIONALE Casella Postale 470 (Centro) 10100 TORINO (Italie) Rassegna Italiana di Sociologia Trimestrale di scienze sociali X I I N ° 4/71 N u m é r o spéciale dedicato ai militari, a cura di Gianfranco Pasquino GlANFRANCO P A S Q U I N O Militarismo e professione militare. MANFRED K O S S O K Funzioni politiche e sociali délie forze armate latino-americane. A N N A M A R I A G E N T I L I I militari nell'Africa sub-sahariana. N O T E E D I B A T T I T I GIANFRANCO P A S Q U I N O Lo studio dei militari (1969-1971). MASSIMO B O N A N N I Problemi militari, classe politica e opinione pubblica. R I C E R C H E J U L I O B U S Q U E T S B R A G U L A T Quattro generazioni di militari in Spagna. L I B R I E N O T I Z I E Schede bibliografiche - Summaries i n English. Published four times a year by Società éditrice il M u l i n o - Via Santo Stefano 6 - 40125 Bologna. Subscriptions : L i t . 5,000 (Italy) - L i t . 6,000 or the équivalent in other currencies (abroad) XXVIII h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms É C O L E P R A T I Q U E D E S H A U T E S É T U D E S - VI» S E C T I O N SCIENCES ÉCONOMIQUES ET SOCIALES CENTRE DE RECHERCHES HISTORIQUES Monnaie - Prix - Conjoncture, 10 Eliyahu ASHTOR LES MÉTAUX PRÉCIEUX ET LA BALANCE DES PAIEMENTS DU PROCHE-ORIENT A LA BASSE ÉPOQUE Cet ouvrage tente d'expliquer la décadence économique et le déclin politique du'/Proche-Orient à la fin d u Moyen Age p a r son appauvrissement en m é t a u x précieux. Son approvisionnement en or soudanais et en argent provenant de diverses régions, la balance commerciale, le volume des achats d'esclaves et de matériaux de guerre, les dépenses des sultans du Caire pour le maintien de leur armée et la thésaurisation des m é t a u x précieux, tous ces problèmes sont discutés à l'appui de sources arabes et de documents italiens. U n volume, 127 pages 28 F Du même auteur : H I S T O I R E D E S P R I X E T D E S S A L A I R E S D A N S L ' O R I E N T M É D I É V A L . Ï969J 572 pages 105 F Bibliothèque générale MÉDITERRANÉE ET OCÉAN INDIEN T r a v a u x d u 6 e Colloque International d'Histoire M a r i t i m e 2 e Session, Venise, 1962 Par les soins de Christiane Villain-Gandossi et Manlio Cortelazzo Les travaux de ce colloque dégagent les problèmes juridiques et institutionnels posés p a r les navigations médiévales, le fonctionnement des routes et du trafic, les problèmes techniques particuliers à la navigation dans ces deux aires maritimes, et enfin, les influences mutuelles sur le plan linguistique. i volume, 418 pages 52 F S.E.V.P.E.N. 13, rue d u Four, Paris-6e XXIX h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms E u r o p e a n J o u r n a l o f M e t h o d o l o g y Sommario del n. 2, anno V, dicembre 1971 Spécial issues, devoted to Polish authors, with an editorial foreword by Stefan Nowak SUMMARY : Social Zoology and Cultural Differentiation, by Stanislaw Ossowski On the So-Called Historicism in the Social Sciences, by Jerzy Szacki Postulâtes of Behavioural Terminological Empiricism, by Adam Stanowski Meaning and Functional Reason, by Jerzy Kmita The Need for and Principles of Systematizing the Teaching of Karl Marx, by Aleksandra Jasinska The Problem of Explanation in Karl Marx's « Capital » , by Leszek Nowak The Logic of Functional Analysis in Sociology and Social Anthropology, by Piotr Sztompka The Logic of Reductive Systematizations of Social and Behavioural Théories, by Stefan Nowak The Opération of « Verstehen » , by Edmund Mokrzycki Escono 2 fascicoli ogni anno. Un fascicolo L. 2.500. Abbonamento annuo : L. 4.000 per l'Italia. L. 5.000 per l'estero. Società éditrice il Mulino Via Santo Stefano, 6 40100 Bologna (Italy) XXX h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms Rassegna Italiana di sociologia Trimestrale di scienze sociali Dal sommario del n. 4/1971 : Numéro spéciale su/ militari a cura di Gianfranco Pasquino Gianfranco Pasquino, Militarismo e professione militare Manfred Kossok, Funzioni politiche e sociali délie forze armate latino-ame- ricane Annamaria Gentili, I militari nell'Africa sub-sahariana Massimo Bonanni, Problemi militari, classe politica e opinione pubblica Escono 4 fascicoli ogni anno. Un fascicolo L. 2.000. Abbonamento annuo : L. 5.000 per l'Italia, L. 6.000 per l'estero. RIVISTA ITALIANA DI SCIENZA POLITICA ÏÏSETX» Dal sommario del n. 3/1971 : Giuseppe Di Palma, Conflitto e élites nelle società industriali Dietrich Herzog, Carriera parlamentare e professionismo politico Maurizio Cotta, Analisi struttural-funzionale del Parlamento Giovanni Sartori, Proporzionalismo, frazionismo e crisi dei partiti Ghita lonescu, Studi comparati sul comunismo Escono 3 fascicoli ogni anno. Un fascicolo L. 2.000. Abbonamento annuo : L. 5.000 per l'Italia, L. 6.000 per l'estero. cp|P|V|7F * * * ^ , t l " ^ *— Bollettino quadrimestrale d'informazio- Q ^ \ / % | A I I ne sull'organizzazione délia ricerca e O V > / V ^ I A H L I dell'insegnamento délie scienze sociali Dal sommario del n. 2/1971 : La politica délia ricerca nelle scienze sociali Informazioni Presentazione di 2 centri di ricerca Notiziario Escono 3 fascicoli ogni anno. Un fascicolo L. 1.500. Abbonamento annuo : L. 4.000 per l'Italia e L. 5.000 per l'estero. Società éditrice v i a S a n t o stefano, 6 il Mulino 40100 Bologna (Italy) h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms mu n i muni S O M M A R I O V O L . L X X X I I I - FASCICOLO I I I - SETTEMBRE 1971 ARNALDO MOMIGLIANO, La libertà di parola nel mondo antico. MARINO BERENGO, Le origirà del Lombardo- Veneto. RASSEGNE ALBERTO AQUARONE, L'imperialismo americano in Asia nell'età di Théodore Roosevelt. S T O R I G I E S T O R I A CORRADO VIVANTI, Una fonte dell'Istoria del Concilia Tridentino di Paolo Sarpi. A P P U N T I E D O C U M E N T I PAOLA ZAMBELLI, La prima autobiografia di Antonio Genovesi. REGINA POZZI, Il Moniteur Républicain e l'Homme libre. Contributo alla storia délie società segrete sotto la monarchia di luglio. R E C E N S I O N I J . CARCOPINO, Jules César (L. Polverini). Appiani Bellorum Civilium liber quintus, a cura di E. GABBA (T. Loposzko). D . e S. R O B E R T - J . DÉVISSE, Tegdaoust I, recherches sur Aoudaghost (G. Rebora). D.C. DOUGLAS, William the Conqueror. The Norman impact upon England (D. d é m e n t i ) . H.V. LIVERMORE, A New History of Portugal (A. Margarido). T . BONAZZI, // sacro esperimento - Isologia e politica nell' America puritana (G. Spini). R. MOUSNIER, Le Conseil du Roi de Louis XII à la Révolution (V. I. Comparato). J . GODECHOT, La presa délia Bastiglia (G. Vaccarino). S. PANOIERA, Un falsario del primo ottocento. Girolamo Asquini e l'epigrafia antica délie Venezie (I. Calabi Limentani). G. MAMMARELLA, Riformisti e rivoluzionari nelpartito socialista italiano, igoo-rgiz (G. B. Furiozzi). STANLEY R. Ross, Fuentes de la historia contemporanea de Mexico (R. Romano). A. J . EVANS, J r . , On Four Modem Humanists, Hofmannsthal, Gundolf Curtius, Kantorowicz (A. Momigliano). B O L L E T T I N O DI S T O R I A ITALIANA LIBRI R I G E V U T I N O T I Z I A R I O // Convegno Datini su produtlivià e tecnologie nei secoli XII-XVH (P. Bullio). La RIVISTA STORICA I T A L I A N A esce trimestralmente. La redazione é al seguente indirizzo : Via Po 17,10124 Torino. L'amministrazione é al seguente indirizzo : E D I Z I O N I S C I E N T I F I C H E ITALIANE, Via Carducci 29,80121 Napoli. A questo indirizzo dovranno essere inviati gli abbona- menti di L.8.000 per l'Italia e di L.9.000 per l'estero. XXXII h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms CRITIQUE R E V U E G É N É R A L E D E S P U B L I C A T I O N S F R A N Ç A I S E S ET É T R A N G È R E S N° 296 Jean STAROBINSKI, Diderot et la parole des autres. Denis HOLLIER, Le dessin vivant d'André Masson. Joseph GUGLIELMI, Edmond Jabès ou la fascination du désert. Françoise MARKOVITS, Marx dans le jardin d'Épicure. Hervé ROUSSEAU, Une histoire des religions est-elle possible? Vue d'ensemble : Le grand jeu poétique, par Jean ROUDAUT. Notes par Jean WIRTH, Naîm KATTAN. N° 297 Roland BARTHES, Le nom d'Aziyadé. Georges CONDOMINAS, Marcel Mauss, père de l'ethnographie française (1). Pierre MISSAC, Heimito von Doderer et le roman. Maurice CAGNON, J . - M . G. Le Clézio : l'impossible vérité de la fiction. Gisela PANKOW, La dynamique de l'espace et le temps vécu. Jacques GEORGEL, Opus citatum. N° 298 Michel SERRES, La thanatocratie. Marc RICHIR, Pour une cosmologie de YHourloupe. M. A. SINACEUR, Connaissance des Arabes. Ezra SULEIMAN, Science ou non-science administrative (1). NOTES P.-Y. PETILLON, Chronique de la terre rouge et sèche. Naïm KATTAN, La vie réduite à un inventaire. Roland JACCARD, Homme aux loups, qui es-tu? Abonnements : 6 mois 1 an France 34 F 60 F Étranger 38 F 72 F Le numéro : 6 F É D I T I O N S DE M I N U I T 7, rue Bernard Palissy, Paris (6e) C.C.P. Paris 180-43 XXXIII h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms R E V U E T I E R S - M O N D E Tome I I I , n° 49 Janvier-mars 1972 É D U C A T I O N ET D É V E L O P P E M E N T • • • A s p e c t s s o c i o l o g i q u e s d e s p o l i t i q u e s d ' é d u c a t i o n Note de la Rédaction : Ce numéro est, depuis la création de la Revue, en janvier 1960, le cin- quième numéro entièrement consacré aux problèmes de l'éducation dans ses relations avec le développement économique et social. On étudiait plus spécialement : dans le tome I, numéros 1-2, la planification de l'éducation; dans le tome V, n° 17, l'interdépendance du développement de l'éducation et du développement économique et social ; dans le tome VI, n° 22, les aspects financiers d'un plan d'éducation; dans le tome XI, n° 4 1 , la planification de l'éducation et de l'emploi, notamment dans le monde rural. Dans ce tome XIII, n° 49, on s'interroge sur les effets économiques et sociaux des politiques d'éducation appliquées depuis une dizaine d'années dans le Tiers-Monde, sur les obstacles qu'elles rencontrent et sur la nécessité d'une vision nou- velle pour l'an 2000. LE THANH KHOL L'éducation en l'an 2000. David BARKIN, L'enseignement et l'inégalité sociale au Mexique. Marie ELIOU, Scolarisation et promotion féminines en Afrique. D O C U M E N T A T I O N Luiz NAVARRO de BRITTO, Sous-développement et programmation de l'éducation : une expérience de l'État de Bahia. Yvonne LEFEBVRE et Pierre NATUREL, Formation et emploi dans les pays africains d'expression française et à Madagascar. Philippe HUGON, Modèle économétrique de l'enseignement du premier degré en Afrique noire. François LEIMDORFER, Le concept de planification sociale. La vie à l'I.E.D.E.S. B I B L I O G R A P H I E Direction-Rédaction : I N S T I T U T D'ÉTUDE DU D É V E L O P P E M E N T É C O N O M I Q U E ET SOCIAL 58, boulevard Arago, Paris-13» — Tél. 331-28-01 Abonnements et vente PRESSES U N I V E R S I T A I R E S DE FRANCE 12» rue Jean-de-Beauvais, Paris-5» — Tél. 033-48-03 C.C.P. PARIS N° 1302-69 France : 68 F — Étranger : 72 F XXXIV h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms A n n a l e s Économies Sociétés Civilisations Rédaction : 54, boulevard Raspail, Paris-Vle (222-23-49) Administration : LIBRAIRIE ARMAND COLIN, 103, boulevard Saint-Michel, PARIS-V Compte chèques postaux : Paris, N° 21 335-25 Abonnement 1971 : France et Union française, 43 F. Etranger, 60 F. Le numéro, 9 F. Numéros spéciaux, 18 F. CAHIERS DES ANNALES 2. Charles MORAZÉ, Trois essais sur Histoire et Culture 2,50 F 3. Marc BLOCH, Apologie pour l'Histoire ou Métier d'Historien, 6e édition. 9,40 F 6. L. E. HALKIN, Initiation à la critique historique 15,40 F 7. G. DEBIEN, En haut Poitou : défricheurs au travail ( X V e - X V I I e s i è c l e ) . . 3,90 F 8. A. TENENTI, La Vie et la M o r t à travers l'art du X V e siècle 5,50 F 1 1 . G. DEBIEN, Études antillaises au X V I I I e siècle 7,30 F 12. F. L'HUILLIER, La lutte ouvrière à la f i n du Second Empire 4,70 F 13. Marc BLOCH, La France sous les derniers Capétiens (1223-1328). . . . 6,30 F 14. Maurice DOMMANGET, A. Blanqui et l'opposition révolutionnaire à la fin du Second Empire 11,40 F 16. Marc BLOCH, Seigneurerie française e t manoir anglais, 2e édition. . . . 11,40 F 17. M. DELAFOSSEet CL LAVEAU, Le Commerce du sel de Brouage aux X V I I e e t XVIIIe s i è c l e s 9,40 F 18. A. DAUMARD et F. FURET, Structures et relations sociales à Paris au milieu du X V I I I e siècle 8,20 F 20. H. ANTONIADIS-BIBICOU, Recherches sur les douanes à Byzance. . . . 24,80 F 22. Thomas PLATTER, Autobiographie (texte traduit et présenté par Marie HEL- MER) 11,40 F 23. Louis DUMONT, La civilisation indienne et nous. Esquisse de sociologie comparée 10,30 F 24. Michel MORINEAU, J a u g e s e t méthodes dejauge anciennes et modernes. 15,50 F 25. Jean-Paul ARON, Essai sur la sensibilité alimentaire à Paris au X I X e siècle. 20,60 F 26. Marc BLOCH, Souvenirs de guerre, 1914-1915 9,20 F 27. Archéologie du village déserté, 2 volumes 58,00 F 28. J.-J. HÉMARDINQUER, Pour une histoire de l'alimentation 39,00 F 29. G. et M. VOVELLE, Vision de la mort et de l'Au-delà en Provence 18,00 F 30. Michel MORINEAU, Les faux-semblants d'un démarrage économique : agriculture et démographie en France au X V I I I e siècle 45,00 F 3 1 . H.-D. MANN, Lucien Febvre. La pensée vivante d'un historien 30,00 F 32. J . MEUVRET, Études d'histoire économique 35,00 F 33. A. ABBIATECCI, F. BILLACOIS, Y. CASTAN, P. PETROVITCH, Y. BONGERT, N.CASTAN, Crimes et criminalité en France (17e-18e siècle) . . . . 22,00 F h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms ÉCOLE PRATIQUE DES HAUTES ÉTUDES - VIe SECTION SCIENCES ÉCONOMIQUES ET SOCIALES CENTRE DE RECHERCHES HISTORIQUES CAHIERS DES ANNALES, 33 A. ABBIATECCI, F. BILLACOIS. F. BONGERT, N. CASTAN, Y. CASTAN, P. PETROVITCH CRIMES ET CRIMINALITÉ EN FRANCE SOUS L'ANCIEN RÉGIME 17e-18e SIÈCLE Ce livre est le travail d'une équipe d'historiens, à laquelle se sont joints d'autres chercheurs mus par des curiosités voisines. Il est fondé sur le dépouillement des enquêtes, des interrogatoires, des témoignages et des sentences de procès jugés par les cours criminelles de la Monarchie. Les archives conservent par milliers de tels procès. Les auteurs n'ont donc pu faire ici qu'un échantillonnage et présenter quelques mono- graphies significatives. A travers la singularité des monographies, c'est toute une société qui s'exprime : les procès criminels donnent la parole non seulement aux législateurs et aux juges, mais aux témoins les plus humbles et aux accusés les plus illettrés, qui nous découvrent les valeurs changeantes d'une société. Un volume, 271 pages 22,00 F armand colin h tt p s: // d o i.o rg /1 0. 10 17 /S 03 95 26 49 00 16 15 8X D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 01 :0 9: 30 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S039526490016158X https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_qj6xbeucovhkfjcjybtz5vqd3a	----	Newborn Screening for Sickle Cell Disease in the Caribbean: An Update of the Present Situation and of the Disease Prevalence HAL Id: hal-02342564 https://hal.univ-antilles.fr/hal-02342564 Submitted on 31 Oct 2019 HAL is a multi-disciplinary open access archive for the deposit and dissemination of sci- entific research documents, whether they are pub- lished or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L’archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d’enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. Newborn Screening for Sickle Cell Disease in the Caribbean: An Update of the Present Situation and of the Disease Prevalence Jennifer Knight-Madden, Ketty Lee, Gisèle Elana, Narcisse Elenga, Beatriz Marcheco-Teruel, Ngozi Keshi, Maryse Etienne-Julan, Lesley King, Monika Asnani, Marc Romana, et al. To cite this version: Jennifer Knight-Madden, Ketty Lee, Gisèle Elana, Narcisse Elenga, Beatriz Marcheco-Teruel, et al.. Newborn Screening for Sickle Cell Disease in the Caribbean: An Update of the Present Situ- ation and of the Disease Prevalence. International Journal of Neonatal Screening, 2019, 5 (1), pp.5. �10.3390/ijns5010005�. �hal-02342564� https://hal.univ-antilles.fr/hal-02342564 https://hal.archives-ouvertes.fr International Journal of Neonatal Screening Article Newborn Screening for Sickle Cell Disease in the Caribbean: An Update of the Present Situation and of the Disease Prevalence Jennifer Knight-Madden 1 , Ketty Lee 2, Gisèle Elana 3, Narcisse Elenga 4 , Beatriz Marcheco-Teruel 5 , Ngozi Keshi 6, Maryse Etienne-Julan 7, Lesley King 1 , Monika Asnani 1 , Marc Romana 8,9, † and Marie-Dominique Hardy-Dessources 8,9,10,*, † on behalf of the CAREST Network 1 Caribbean Institute for Health Research—Sickle Cell Unit, The University of the West Indies, Mona, Kingston 7, Jamaica; jennifer.knightmadden@uwimona.edu.jm (J.K.-M.); lesley.king@uwimona.edu.jm (L.K.); monika.parshadasnani@uwimona.edu.jm (M.A.) 2 Laboratory of Molecular Genetics, Academic Hospital of Guadeloupe, 97159 Pointe-à-Pitre, Guadeloupe; ketty.lee@chu-guadeloupe.fr 3 Referral Center for Sickle Cell Disease, Department of Pediatrics, Academic Hospital of Martinique, 97261 Fort de France, Martinique, France; gisele.elana@chu-martinique.fr 4 Referral Center for Sickle Cell Disease, Department of Pediatric Medicine and Surgery, Andrée Rosemon General Hospital, 97306 Cayenne, French Guiana, France; narcisse.elenga@ch-cayenne.fr 5 National Center of Medical Genetics, 11300 La Habana, Cuba; beatriz@infomed.sld.cu 6 Paediatric Department, Scarborough General Hospital, 00000 Scarborough, Tobago; nzigokeshi@yahoo.com 7 Referral Center for Sickle Cell Disease, Sickle Cell Unit, Academic Hospital of Guadeloupe, 97159 Pointe-à-Pitre, Guadeloupe, France; maryse.etienne-julan@chu-guadeloupe.fr 8 UMR Inserm 1134 Biologie Intégrée du Globule Rouge, Inserm/Université Paris Diderot—Université Sorbonne Paris Cité/INTS/Université des Antilles, Hôpital Ricou, Academic Hospital of Guadeloupe, 97159 Pointe-à-Pitre, Guadeloupe; marc.romana@inserm.fr 9 Laboratoire d’Excellence du Globule Rouge (Labex GR-Ex), PRES Sorbonne, 75015 Paris, France 10 CAribbean Network of REsearchers on Sickle Cell Disease and Thalassemia, UMR Inserm 1134, Hôpital Ricou, Academic Hospital of Guadeloupe, 97159 Pointe-à-Pitre, Guadeloupe * Correspondence: marie-dominique.hardy-dessources@inserm.fr; Tel.: (+590)-590-83-48-99 † These authors contributed equally to this work. Received: 13 November 2018; Accepted: 1 January 2019; Published: 8 January 2019 ���������� ������� Abstract: The region surrounding the Caribbean Sea is predominantly composed of island nations for its Eastern part and the American continental coast on its Western part. A large proportion of the population, particularly in the Caribbean islands, traces its ancestry to Africa as a consequence of the Atlantic slave trade during the XVI–XVIII centuries. As a result, sickle cell disease has been largely introduced in the region. Some Caribbean countries and/or territories, such as Jamaica and the French territories, initiated newborn screening (NBS) programs for sickle cell disease more than 20 years ago. They have demonstrated the major beneficial impact on mortality and morbidity resulting from early childhood care. However, similar programs have not been implemented in much of the region. This paper presents an update of the existing NBS programs and the prevalence of sickle cell disease in the Caribbean. It demonstrates the impact of the Caribbean Network of Researchers on Sickle Cell Disease and Thalassemia (CAREST) on the extension of these programs. The presented data illustrate the importance of advocacy in convincing policy makers of the feasibility and benefit of NBS for sickle cell disease when coupled to early care. Keywords: sickle cell disease; newborn screening; Caribbean Int. J. Neonatal Screen. 2019, 5, 5; doi:10.3390/ijns5010005 www.mdpi.com/journal/neonatalscreening http://www.mdpi.com/journal/neonatalscreening http://www.mdpi.com https://orcid.org/0000-0002-0939-1648 https://orcid.org/0000-0003-0624-4180 https://orcid.org/0000-0001-6009-0405 https://orcid.org/0000-0002-3995-9839 https://orcid.org/0000-0002-7184-138X https://orcid.org/0000-0002-8715-9836 https://orcid.org/0000-0003-0861-3648 http://www.mdpi.com/2409-515X/5/1/5?type=check_update&version=1 http://dx.doi.org/10.3390/ijns5010005 http://www.mdpi.com/journal/neonatalscreening Int. J. Neonatal Screen. 2019, 5, 5 2 of 9 1. Introduction The Caribbean is defined as the geographical region including the Caribbean Sea, more than 700 islands, and the surrounding coasts. The region is located southeast of the Gulf of Mexico and the North American mainland, East of Central America, and North of South America. A wider definition includes Belize, the Caribbean region of Colombia, the Yucatán Peninsula, and the Guyanas (Guyana, Suriname, French Guiana, the Guyana region in Venezuela, and the state of Amapà in Brazil); these areas have political and cultural ties to the region. The Caribbean islands are organized into 13 sovereign states and 17 overseas territories/departments and dependencies, with 43 million inhabitants and at least five official spoken languages. The Caribbean countries and territories share some common historical features. Less than two centuries after the arrival of Christopher Columbus in the New World, these territories were all under the rules of the European colonial powers (France, United Kingdom, Spain, Portugal, The Netherlands, and Denmark). The introduction of new crops which needed intensive work, such as tobacco, cotton, and sugarcane, led to the development of the transatlantic slave trade. More than 12 million Africans were deported to the New World [1]. One of the consequences of this massive forced migration was the introduction of sickle cell disease (SCD) into the New World. The migration of Indians as indentured laborers when slavery was abolished led to the introduction of the Arabo-Indian haplotype of the βS gene and thalassemia alleles. The Caribbean occupies a unique position in the history of SCD in the modern era. Indeed, the first case ever described in the Western medical literature by Herricks in 1910 was that of a young fellow from Grenada studying dentistry in Chicago (USA) [2]. Additionally, the benefits of newborn screening (NBS) for SCD as a public health tool, including evidence of both the feasibility of the test and its major impact on mortality and morbidity, were first demonstrated in Jamaica [3]. Available data also suggest that the prevalence of SCD in the Caribbean Region is second only to Sub-Saharan Africa [4]. However, prior to 2006, accurate SCD prevalence and epidemiological data were available for only a limited number of these countries and territories. These data were provided from NBS programs implemented in Jamaica [5] and in the French territories [6], as well as from a prenatal diagnosis program in Cuba [7,8]. Collaboration between medical and scientific Caribbean teams began to increase in 2006, leading to the founding in 2011 of the Caribbean Network of Researchers on Sickle Cell Disease and Thalassemia (CAREST) as a not-for-profit organization [9]. Promotion of NBS for the hemoglobinopathies and assistance for the establishment of sickle cell centers were the primary goals of CAREST. CAREST has worked with all regional stakeholders with common goals, including the SickKids Caribbean Initiative. It has included outreach initiatives to clinicians and policy makers to share regional data regarding the status of SCD NBS and the implications for their own countries. As a result, we present an SCD NBS program initiated in Tobago since 2008 and pilot NBS programs conducted in Grenada and Saint Lucia in 2014–2015 and 2015–2017, respectively. Beyond the presentation and discussion on the experience of CAREST in establishing NBS programs, we also present an update on the prevalence of SCD in the Caribbean. 2. Materials and Methods 2.1. Neonatal Screening for Sickle Cell Disease Blood samples obtained neonatally are collected on Guthrie cards. As shown in Table 1, cord blood samples are collected in Martinique, Jamaica, and St Lucia, whereas in Guadeloupe, Tobago, Grenada, and French Guiana, heel prick samples are obtained. Heel prick samples were also collected for the Saint Lucia’s pilot NBS project funded by the SickKids Caribbean Initiative (2015–2017) and these samples were sent and processed in Jamaica. This project sought to test the feasibility of replacing cord blood sampling and hemoglobin electrophoresis which had been in place since 1992, by heel prick sampling and high-performance liquid chromatography (HPLC); during the pilot, both systems Int. J. Neonatal Screen. 2019, 5, 5 3 of 9 ran concomitantly. Blood samples from Tobago and Grenada are sent by post-mail and analyzed in Guadeloupe (Table 1). Table 1. Neonatal screening process. Site Sample Screening Center First Test Confirmation Test Guadeloupe Tobago Grenada Heel prick/Guthrie cards Guadeloupe HPLC IEF Martinique Cord blood/Guthrie cards Martinique IEF HPLC French Guiana Heel prick/Guthrie cards France (Lille) CE HPLC Jamaica 1995–2015 Cord blood/Guthrie cards Jamaica Citrate agar Cellulose acetate Jamaica 2015–2018 HPLC IEF Saint Lucia 1992–2018 † Cord blood/Guthrie cards Saint-Lucia Citrate agar Cellulose acetate Saint Lucia 2015–2017 †† Heel prick/Guthrie cards Jamaica HPLC IEF † From Alexander et al. [10]; †† From pilot (results not previously published). HPLC: high-performance liquid chromatography; IEF: isoelectric focusing; CE: capillary electrophoresis. As indicated in Table 1, the samples are primarily tested in reference laboratories based in Guadeloupe (University Hospital of Guadeloupe), Martinique (University Hospital of Martinique), and Jamaica (Sickle Cell Unit, Caribbean Institute for Health Research, Kingston and Southern Regional Health Authority, Manchester). French Guiana specimens are sent to a reference laboratory based in mainland France (regional center for metabolic disease screening, Lille). Saint Lucian cord blood samples, except for those obtained during the pilot study, are tested locally. NBS itself now primarily uses three laboratory-based methodologies for detecting Hb variants: isoelectric focusing (IEF), capillary electrophoresis (CE), and high-performance liquid chromatography (HPLC), one is used as the first-line screening method and a second as a confirmatory test. In Saint Lucia, however, hemoglobin cellulose acetate and citrate agar electrophoresis are used locally for cord blood samples. In Guadeloupe, DNA analysis is also secondarily performed as a confirmatory diagnosis of a new sample (peripheral blood on EDTA as anticoagulant) in the following cases: FS phenotype when the two parents cannot be tested in order to distinguish SS, S/beta-thalassemia, or S/HPFH; and the FSX or FCX phenotype in order to formally identify the abnormal hemoglobin (HbX), as well as for ambiguous primary screening results [11,12]. 2.2. Prenatal Screening for SCD In Cuba, the screening for SCD is a prenatal diagnosis based on fetal DNA analysis. This procedure has been established since 1982 for mothers at risk and the screening program is performed on pregnant women at the provincial centers of genetics located all over the country [7,8]. 2.3. Initiation of Early Childhood Care for SCD Children confirmed to have a diagnosis of SCD are enrolled in the different sickle cell centers or clinical structures as soon as possible to initiate clinical management and to provide information to the parents. To shorten delays and promote early medical management of the newly identified SCD children from Tobago, the results are sent by e-mail from the laboratory in Guadeloupe to the appropriate health care provider using secure file transfer systems. Similar communication procedures were also used during the pilot projects in Grenada and Saint Lucia. 2.4. Data Analysis Allele frequencies were estimated by gene-counting and the prevalence of SCD was calculated from the newborn screening results. Int. J. Neonatal Screen. 2019, 5, 5 4 of 9 3. Results Table 2 summarizes the main results of the hemoglobinopathy NBS programs performed in the French territories [6], Jamaica [5], Grenada [13], Tobago [9], and Saint Lucia [10]. Table 2. Results from the newborn screening programs in the Caribbean. Site Period Number of Samples Screened FAS FAC FS FSC FC Other Jamaica 1995–2006 * 150,803 14,688 5420 557 332 115 972 9.74% 3.59% 0.37% 0.22% 0.08 0.64% 9.59–9.89% 3.50–3.69% 0.34–0.40% 0.20–0.25% 0.06–0.09% 0.61–0.69% 2016–2017 40,444 4020 1481 165 95 35 63 9.94% 3.66% 0.41% 0.23% 0.09% 0.16% 9.65–10.24 3.48–3.85 0.35–0.47 0.19–0.29 0.06–0.12 0.12–0.20 Guadeloupe 1984–2010 178,428 14,126 4375 310 231 39 248 7.92% 2.45% 0.17% 0.13% 0.02 0.14 7.79–8.04% 2.38–2.52% 0.16–0.19% 0.11–0.15% 0.02–0.03% 0.12–0.16% Martinique 2009–2015 ** 30,171 2134 910 44 29 11 88 7.07% 3.02% 0.15% 0.10% 0.04% 0.29% 6.79–7.37% 2.83–3.22% 0.11–0.20% 0.07–0.14% 0.02–0.07% 0.29–0.36% French Guiana 1992–2013 115,200 8824 2797 293 186 NA NA7.66% 2.43% 0.25% 0.16% 7.51–7.81% 2.34–2.52% 0.23–0.29% 0.14–0.19% Grenada 2014–2015 1914 183 63 10 2 1 2 (9.56%) 3.29% 0.52% 0.10% 0.05% 0.10% 8.32–10.96% 2.58–4.19% 0.28–0.96% 0.03–0.38% 0.01–0.3% 0.03–0.38% Tobago 2008–2017 7389 689 285 28 14 5 21 9.32% 3.86% 0.38% 0.19% 0.07% 0.28% 8.68–10.01% 3.44–4.32% 0.26–0.55% 0.11–0.32% 0.03–0.16% 0.19–0.43% St Lucia 1992–2010 † 36,253 3146 NA 180 59 NA NA8.68% 0.50% 0.16% 8.39–8.97% 0.43–0.57% 0.13–0.21% 2015–2017 †† 2023 238 42 3 5 2 NA11.76% 2.08% 0.15% 0.25% 0.10% 10.43–13.24% 1.54–2.79% 0.05–0.44% 0.11–0.58% 0.04–3.6% Number of samples screened with the FAS, FAC, FS, and FSC phenotypes are indicated (first line), as well as the prevalence (%) and (95% confidence interval). Other: samples presenting with an abnormal hemoglobin other than HbS or HbC; NA: Not available; * samples collected under the South–East Regional Jamaican Health Authorities only and tested at the Sickle Cell Unit, Caribbean Institute for Health Research (from King et al. [5]); ** universal screening was initiated in Martinique in 1986 in two different laboratories and in 2009, it was centralized in one single center; reliable data are only available from 2009 onwards; † from Alexander et al. [10]; †† From pilot (results not previously published). The current coverage of the NBS programs is as follows: Guadeloupe (>98%), Martinique (>99%), Jamaica (>98%), and Tobago (96%). The coverage of the two pilot NBSs in Grenada and Saint Lucia were 79% and 45% respectively. In Cuba, since the beginning of the program until December 2016, 7659 couples at risk have been identified. The highest frequency of sickle cell trait carriers is observed in Jamaica (9.74–9.94%), Grenada (9.56%), and Tobago (9.32%). In Jamaica, less samples presenting abnormal hemoglobin other than HbS or HbC have been observed during the 2016–2017 period (0.16%) than during the previous screening period (0.64%), probably due to an optimization of the Hb variant detection. The low screening coverage rate (45%) in Saint-Lucia during the period 2015–2017 could explain the differences in the frequency of phenotypes observed compared to the 1992–2010 period. Table 3 summarizes the currently available data on βS and βC allele frequencies, carrier prevalence, and SCD prevalence in the Caribbean area. Int. J. Neonatal Screen. 2019, 5, 5 5 of 9 Table 3. SCD birth prevalence in the Caribbean countries and territories. (A) Neonatal Screening Country/Territory Screening Method Carrier Prevalence (Hb S and Hb C Trait) Gene Frequencies βS/βC Ratio SCD Prevalence Jamaica Specific locations (1995–2006) [6] 15% βS: 0.055–βC: 0.019 2.89 0.53%–1/188 Univ screen (2016–2017) 13.6% βS: 0.055–βC: 0.020 2.75 0.65%–1/153 Guadeloupe Univ screen 10.5% βS: 0.042–βC: 0.013 3.23 0.33%–1/304 Martinique Univ screen 10% βS: 0.040–βC: 0.012 3.33 0.31%–1/322 French Guiana Univ screen 10% βS: 0.039–βC: 0.012 3.25 0.42%–1/235 Tobago Univ screen 13.2% βS: 0.051–βC: 0.021 2.43 0.57%–1/176 Grenada [7] Univ screen 12.85% βS: 0.054–βC: 0.018 3.00 0.63%–1/160 Saint Lucia Univ screen 13.8% βS: 0.062–βC: 0.013 4.77 0.39%–1/253 Haiti [9] Pilot screen 13.46% βS: 0.059–βC: 0.013 4.54 0.58%–1/173 Saint Vincent & Grenadines [10] Pilot screen 15.27% βS: 0.065–βC: 0.016 4.06 0.26%–1/382 (B) Prenatal Diagnosis Country/Territory Screening Method Carrier Prevalence (Hb S and Hb C Trait) Gene Frequencies βS/βC Ratio SCD Prevalence Cuba Prenatal diagnosis 3.1% βS: 0.011–βC: 0.0036 a 3.06 βS: 0.053–βC: 0.006 b 8.83 0.02%–1/5000 Univ screen: universal screening; a: Figures for the Western side of Cuba (not including for Havana); b: figures for the Southeastern side of Cuba. Several abnormal genotypes, some of which include hemoglobin variants leading to sickle cell disease when associated with the βS allele, have also been identified during the course of these NBS programs. Indeed, the second most frequent sickle cell genotype encountered in these populations was the genotype SC, with some differences in the βS/βC ratio detected, and the highest was observed in Saint-Lucia and the lowest in Tobago, as indicated in Table 3. The others correspond to S/β-thalassemia compound heterozygosity (including S/E and S/Lepore) and also S/DPunjab [3,6]. Once infants are screened, confirmation and referral for care are ensued. In French speaking territories and in Jamaica, care is provided according to the guidelines of the French Health Authority [14] and the Sickle Cell Unit [15], respectively. The Sickle Cell Unit Clinical Care Guidelines are currently in use in several other Anglophone countries, including Trinidad and Tobago, Saint-Lucia, the Bahamas, and Barbados. The focus is on pneumococcal prevention and general health maintenance (parents’ education, counselling) prior to the onset of complications. In Martinique, Guadeloupe, French Guiana, and Jamaica, most of the SCD children identified by the NBS program are followed by Sickle cell centers before the age of three months [5,6]. In Saint-Lucia and Tobago, babies identified are followed up in pediatric outpatient clinics. In Cuba, guidelines for management and treatment have also been developed [8]. 4. Discussion Given the SCD prevalence and the demonstration of the benefit of the NBS program, one might have expected that SCD NBS would be entrenched across the Region. This is clearly not the case and our data suggest several factors which may be at play, with the availability of resources being a major issue [5,6,9]. Caribbean territories which are part of larger states which mandate SCD NBS as part of a larger universal NBS program, have long and well-established programs. These may be the best funded programs in the Region. In the three French territories, Guadeloupe, Martinique, and French Guiana, the cost of the test is borne by the French government. In territories of the United States of America, screening started in Puerto Rico in 1977 and the US Virgin Islands in 1987 [16]. The test mandated by law covers 99% of births, but the hospitals include a charge to the patient for the NBS panel Int. J. Neonatal Screen. 2019, 5, 5 6 of 9 (http://bft.stage.bbox.ly/newborn-screening/states/puerto-rico). Overseas British territories have separate health systems and SCD NBS is not uniformly offered. Among the independent nations, Cuba has an integrated public health program and SCD prenatal testing for couples at risk and carrier women was mandated by law in 1983 [7,8]. This program seeks to actively prevent the births of children with SCD, and is perhaps the most active in promoting the termination of pregnancies; since termination of pregnancy was requested by 76.5% of at-risk couples. In the other independent Caribbean nations, screening varies based on factors such as historical context, current champions, and public health commitment. Jamaica has a unique historical context as the site of the Jamaica Sickle Cell Cohort Study. Nevertheless, after the completion of recruitment for the cohort study in 1981, SCD NBS ceased until 1995, when, through the advocacy of the Sickle Cell Support Club of Jamaica (now the Sickle Cell Support Foundation), it was restarted. For a decade, it was limited to three hospitals in the South East Regional Health Authority, providing screening for approximately 43% of all national births. The coverage gradually increased from 2008 to 2015 when essentially universal coverage was achieved. While testing was mandated in the National Strategic Plan for the Prevention and Control of Non-communicable Disease in Jamaica 2012–2018, there is no legislative mandate and the integration of the program into the fabric of the public health system remains incomplete. Thus, the sustainability of the program depends on the support of incumbent policy makers. The Saint Lucia Sickle Cell Association (SSCA), a local non-governmental organization, has been strong for many years. It was influential in the introduction of universal SCD NBS in 1992 and its integration into the Ministry of Health’s Community Child Health Service (CCHS) [10]. The program uses hemoglobin electrophoresis to test cord blood samples. A pilot program funded by the SickKids Caribbean Initiative using HPLC testing of heel prick samples had a disappointing uptake and the initial approach continues. The pilot in Tobago has also been successful; it has been continuous for a decade. It is funded by the Regional Health Authority of Tobago, which has made the diagnosis and treatment of SCD a priority. Screening of the immediate family of babies identified with the trait or the disease is done by electrophoresis in the hospital laboratory, thus a greater percentage of the population now know their genotype and there is a greater awareness through education. The initiation of SCD NBS at a major obstetric hospital in Trinidad in 2018 is further evidence of the acceptance of this program. Pilot screening projects in Grenada [13], St Vincent and the Grenadines [17], and Haiti [18], funded by CAREST, the Medical University of South Carolina (Charleston, SC, USA), and University Hospitals Medical Center (Cleveland, OH, USA), respectively, were not sustained once project funding ended. Local policy makers were not able to identify funding and human resources for continued screening. A pilot posited in Barbados was not undertaken [19]. Instead, screening of pregnant women and testing postnatally of at risk children was the approach chosen. Currently, champions in Antigua and Guyana are pressing to start pilots and perhaps sustainable programs. These outcomes again indicate the importance of advocacy in convincing policy makers of the feasibility and benefit of SCD NBS. In both Jamaica and Saint Lucia, advocacy groups have been critical to convincing public health officials to initiate and maintain screening. CAREST has a role in supporting their advocacy efforts to secure governmental support and sustainable funding, even as screening begins. In this framework, CAREST has recently obtained funding from the European Regional Development Fund. This funding dedicated to the development of cooperation between the French Departments of the Americas and the other countries/territories of the Caribbean Basin will allow the screening of Grenada to be re-launched, initiate a pilot study for Antigua, and evaluate strategies to ensure the sustainability of this NBS. The Saint-Lucia and Tobago experience clearly demonstrate that the model of using a few regional laboratories to increase efficiencies of scale, decreasing per cost tests, can be used. Actually, given the high cost of equipment and requisite disposables, and the relatively small populations in the Region, the use of two regional laboratories (Jamaica and Guadeloupe) proved to be a cost-effective approach, http://bft.stage.bbox.ly/newborn-screening/states/puerto-rico Int. J. Neonatal Screen. 2019, 5, 5 7 of 9 once reasonably costed transportation of samples and secure data flows are available. However, it is worthwhile to notice that a significant proportion of the Caribbean populations do not have access to screening program, such as Haiti, which accounts for more than 90% the Francophone inhabitants of the Caribbean, and the Dominican Republic, with approximately 40% of Spanish-speakers. Up to now, only a little more than 50% of the English and Spanish speaking infants are screened. The cost of national SCD NBS programmes may decrease significantly if efficient, accurate, and inexpensive point-of-care (POC) devices become available; a number of such POC testing devices have recently been developed [20]. These low-cost devices, which must have high specificity to detect HbS and HbC in the presence of HbF and the capacity to distinguish the trait (HbAS) from samples with SCD, must also be easy to use. Two of them, relying on lateral flow immunoassays, the SickleSCAN [21] and the HemoTypeSC tests [22], could be viable screening tools for the early diagnosis of SCD conducted by health workers with little expertise. Preliminary data using the HemoTypeSC test on a small series of children and adults in Martinique, in comparison with a larger series in Ghana and the USA, showed the good specificity and sensitivity of the test [23]. We plan to conduct larger studies to evaluate the performance and implementation feasibility of these POC testing devices as screening tools in Caribbean territories where the reference “gold-standard” tests, IEF, and HPLC are not available. This approach may also reduce the number of samples to be screened by the reference laboratories and the delay between the blood sampling and the transmission of the result and ultimately reduce the age of inclusion of the newly identified children. Mothers would get immediate feedback if their children’s tests are normal, and be advised of the need to do confirmatory tests in cases consistent with traits or SCD. This promising strategy is expected to promote the extension of screening programs, and lead to the clarification of the prevalence and to a better management of SCD in the Caribbean. Audits of important outcomes, such as time to enrollment in clinic, initiation of splenic palpation, and Pneumococcal prophylaxis, as well as continued ongoing ascertainment of survival in countries and territories with SCD NBS, will help to determine what implementation models are most successful and guide the subsequent initiation of programs in other settings. Differences of SCD prevalence in the Caribbean islands could be observed, with the highest being detected in Jamaica and Grenada and the lowest in Cuba. Various factors may explain these variations, such as the selective introduction of crop production requiring a greater or lesser need for slaves, the settlement policy of the colonial powers with France and the United Kingdom importing few of their own population compared to Spain, for example, as well as the significance of migrations after the end of slavery (ranging from 1804 in Haiti to 1888 in Brazil). In addition, various βS/βC ratios have been detected in the studied populations. Since the distribution of the βC allele is more restricted than that of the βS allele in Africa, this data could be related to differences in the African origins of the deported slaves in these territories. These differences in the βS/βC ratio could also result from sampling effects; a relatively small number of newborns were screened in some populations. Few epidemiological data from continental countries of the Western coast of the Caribbean Sea coast have been produced so far. An NBS pilot study was conducted in Costa Rica with a total of 70,943 samples and led to the identification of five SS and one SC children [24]. In addition, several clinical reports or genetic studies indicating the presence of SCD in Panama [25], Colombia [26], and Venezuela [27] have been published, but none of these countries have implemented an NBS program on SCD and no accurate data of the prevalence of the disease are available so far, to the best of our knowledge. In summary, SCD is a perfect example of a disease which fulfils all requirements for doing NBS. Parents are usually asymptomatic and may not know of their risk. Tests done on an asymptomatic baby can allow them to access interventions that decrease morbidity and preventable mortality. CAREST will continue to advocate and work towards universal SCD NBS across the Caribbean Region, regardless of language, per capita income, or political system. Int. J. Neonatal Screen. 2019, 5, 5 8 of 9 Author Contributions: Conceptualization: M.R., M.-D.H.-D., B.M.-T., and J.K.-M.; Methodology: M.R., L.K., K.L., N.E., G.E., M.E.-J., B.M.-T., M.-D.H.-D., and J.K.-M.; Resources: L.K., K.L., N.E., G.E., M.E.-J., B.M.-T., M.A., and N.K.; Writing-Original Draft Preparation: M.R., J.K.-M., B.M.-T., and M.-D.H.-D.; Writing-Review & Editing: M.R., M.-D.H.-D., L.K., K.L., J.K.-M., B.M.-T., M.A., N.E., G.E., and N.K.; Project administration: M.-D.H.-D., and J.K.-M. Funding: Funding was provided by the regional councils of Guadeloupe and Martinique, and the general council of Guadeloupe. Funding in Jamaica was provided by the Ministry of Health, the National Health Fund. Equipment was provided by the Brazilian Government and Sagicor. The SickKids Caribbean Initiative funded the SCD NBS coordinator in Jamaica and the St Lucia pilot. 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Introduction Materials and Methods Neonatal Screening for Sickle Cell Disease Prenatal Screening for SCD Initiation of Early Childhood Care for SCD Data Analysis Results Discussion References 
work_qnxapj75ovek3oofgtpzckgmla	----	GSC Biological and Pharmaceutical Sciences, 2020, 11(02), 314–319 Available online at GSC Online Press Directory GSC Biological and Pharmaceutical Sciences e-ISSN: 2581-3250, CODEN (USA): GBPSC2 Journal homepage: https://www.gsconlinepress.com/journals/gscbps  Corresponding author: Abejide Dorcas Ropo Copyright © 2020 Author(s) retain the copyright of this article. This article is published under the terms of the Creative Commons Attribution Liscense 4.0. ( R E S E A R C H A R T I C L E ) Effects of organic and inorganic fertilizers on agro-morphological traits of tomato (Solanum lycopersicum (L.) Moench) Abejide Dorcas Ropo *, Yakubu Daniel Ojochegbe, Iyeh Veronica Amina and Oguche Joyce Ugbojo-Ide Department of Plant Science and Biotechnology, Kogi State University, Anyigba, Kogi State, Nigeria. Publication history: Received on 21 April 2020; revised on 22 May 2020; accepted on 24 May 2020 Article DOI: https://doi.org/10.30574/gscbps.2020.11.2.0112 Abstract In order to determine the effect of organic and in-organic Fertilizers on agro-morphological parameters of tomato (Solanum lycopersicum (L.) Moench), a field experiment was conducted between August to November 2019 at the Research Garden of Plant Science and Biotechnology Department, Kogi State University, Anyigba. The seeds were grown with four treatments: Poultry dung, N.P.K (15:15:15) fertilizer, Cow dung and the control group (without fertilizer). The treatments were arranged in Complete Randomized Design (CRD) with three replicates. The seeds were first sown in a nursery bed without fertilizer and later transplanted to ridges after four (4) weeks. Data generated were subjected to Analysis of Variance (ANOVA) and means with significant differences separated using Duncan Multiple Range Test (DMRT). The results showed that application of poultry dung as soil amendment significantly (at p<0.05) supported higher plant height and stem girth (all through the growth period examined), number of fruits (8.75±1.49), fruit weight (25.30±4.75g), fruit length (6.60±0.31cm), fruit diameter (1.93±0.38cm). There was no significant difference in number of petioles, number of leaves and number of seeds per plant for all the fertilizer treatments. The result obtained indicated superiority of poultry manure over NPK fertilizer and cow dung application on crops as soil amendment. For optimum growth and development and subsequent yield of tomato, poultry manure is recommended as soil amendment. Keywords: Organic; Tomato; Fertilizer; Inorganic; Agro-morphological 1. Introduction Tomato (Solanum lycopersicum (L.) Moench ) is a shade loving perennial plant in the Solanaceae family. The plant though widely cultivated in the tropics, was believed to be domesticated originally from central and southern America by Christopher Columbus on his second voyage in 1498 [1]. Tomato was believed to have arrived West Africa through Portuguese traders that travelled across the continent from Egypt and Sudan. It is however clear that the tomato cultivars in the country were introduced, and no wild relatives have been reported according to [2]. Tomato is predominantly grown in Nigeria during the wet season but according to [3] its production in dry season is limited to some states where irrigation farming/Fadama is practiced. The leaves are covered with trichomes which are usually prostrate with only the tips being erect [4]. The flowers according to [5] are borne on short granular pedicels. One flower is produced at each leaf axils and other flowers usually blooms six (6) to ten (10) weeks after planting continuously until the upper most flowers open [6]. Tomato is a fruit and not a vegetable according to [7], and the former was reported by him to be an oblong pubescent berry containing numerous small, oval and yellow, white, red brown or black seeds. According to [8] tomato needs soil temperature of 70○F to germinate well, it is a summer crop that does well under irrigation and does not withstand high soil salinity [9]. https://www.gsconlinepress.com/journals/gscbps http://creativecommons.org/licenses/by/4.0/deed.en_US https://doi.org/10.30574/gscbps.2020.11.2.0112 https://crossmark.crossref.org/dialog/?doi=10.30574/gscbps.2020.11.2.0112&domain=pdf Abejide et al. / GSC Biological and Pharmaceutical Sciences, 2020, 11(02), 314–319 315 According to [10], they are popular vegetables that provide good quality vitamin A and vitamin C. In Nigeria, tomato fruit is used in cooking soup (stew), also sometimes added to breads, including toast breads. In Greece the fruits are used in the production of cakes, and in Togo they are a main soup ingredient, they are also eaten with bread in France [8]. In addition to its popular use as sauce on salads, tomato seeds and fruits are used in the production of paints and lubricants [5]. The average nutritive value of tomato is 2.14 as compared to 0.90 for both eggplant and water melon [10]. Tomato is consumed in diverse ways as it contains lycopene which helps fight against cancer, kidney defects and has several other health benefits. It can be eaten raw and commonly used as ingredient in many sauces, salads and drinks. Tomato is currently one of the most important fruit (vegetable) crop in West Africa, especially Nigeria, despite these nutritive values, a number of production constraints which includes diseases, pests and costly chemicals affects tomato production [11]. Also, soil fertility decline has been identified as a major contributor to low yield [12]. Soil organic amendments such as cow dung and poultry manure are valuable sources of plant nutrients [13]. Organic manure provides essential nutrients to crops when decomposed and also act as soil conditioners [14]. Most developing countries are trying to get rid of expensive chemical fertilizers by supplementing them with some organic-based sources. Both organic and inorganic fertilizers provide plants with the nutrients needed to grow healthy and strong. However, each contains different ingredients and supplies these nutrients in different ways. Fertilizers supplement the soil with macronutrients needed in large amounts: nitrogen, phosphorus and potassium. However, organic and inorganic fertilizers do so via different materials. Thus, the aim of this study is to evaluate the use of organic and inorganic fertilizers in growing tomato to improve the yield of tomato as it is an important fruit (vegetable) to man. 2. Material and methods 2.1. Study area This study was carried out at the Department of Biological Sciences, Faculty of Natural sciences, Kogi State University, Anyigba located between latitude 7o 27’ - 7 o31’ North of the equator and between longitude 7o 09’ - 7 o12’ East of the Greenish Meridian at an altitude of 420 meters above sea level. The site is known with a suitable atmospheric condition, having an annual mean rainfall and temperature of 1250 mm and 250C respectively. The vegetation is typical of derived savanna with a sandy soil [15]. All the plantings were done at the Research garden of Biological Sciences Department, Kogi State University, Anyigba. 2.2. Sample collection Hybrid tomato seeds (Solanum lycopersicum) were obtained from Agricultural Development Project (ADP) Extension workers in Lokoja Kogi State. Cow dung and poultry dung (organic fertilizers) were collected from Animal farm of the Department of Animal Production, faculty of Agriculture, Kogi State University, Anyigba. The chemical fertilizer (N.P.K 15:15:15) used for this study were obtained from Anyigba market. 2.3. Experimental design The seeds were grown with four treatments:  Control  Cow dung  N.P.K  Poultry dung The seeds were first sown in a nursery bed without fertilizer and was later transplanted to ridges after four (4) weeks. The poultry and cow dung fertilizer were applied during transplanting by mixing them with the ridges before transplanting. The treatments were arranged in a Complete Randomized Design (CRD). 2.4. Growth parameters determined 2.4.1. Plant height This was taken by finding the average for eight (8) selected plants from the control and plants grown with the three nutrient sources. The measurements were taken from the soil level to the tip of the terminal bud at 6weeks, 8weeks and 10weeks after planting. This was measured using thread and later read on a meter rule. Abejide et al. / GSC Biological and Pharmaceutical Sciences, 2020, 11(02), 314–319 316 2.4.2. Number of leaves per Plant The number of leaves per plant at 6weeks, 8weeks and 10weeks after planting were counted for eight (8) randomly selected plants from the different nutrient sources and control treatment. The averages were recorded for each treatment. 2.4.3. Stem girth The stem girth of the plants were measured using thread round the stem at the soil level and read on a meter rule. The measurement was done for eight (8) randomly selected plants from the different nutrient sources and control treatment at 6weeks, 8weeks and 10weeks after planting. 2.4.4. Number of Petioles per Plant The number of petioles per plant at 6weeks, 8weeks and 10weeks after planting were counted for eight (8) randomly selected plants from different nutrient sources and control treatment. The averages were recorded for each treatment. 2.5. Yield parameters determined 2.5.1. Number of Tomato Fruits This was done by counting the number of fruit per plant which was done by random selection of eight plants from control treatment and the three nutrient sources. 2.5.2. Weight of fruits This was done by putting the fruit on a weighing balance and taking the record. 2.5.3. Number of seeds This was done by removing the seeds from the fruit, dried and then counted. 2.5.4. Fruit diameter/Length The fruit diameter/length of eight randomly selected fruits from control and three different nutrient sources were taken using thread and later read on a meter rule. 2.6. Statistical analysis Data obtained in this study were analyzed using Analysis of Variance (ANOVA) (SPSS Program, version 20 SPSS Inc., Chicago, IL, USA for computer package) and means with significant differences separated using Duncan Multiple Range Test (DMRT). Values of P less than 0.05 (p<0.05) were taken as significant. 3. Results and discussion Analysis of variance (ANOVA) revealed that the effect of different organic and inorganic fertilizer on tomato plant height and stem girth at 6 weeks was significantly different at p<0.05 but there was no significant difference in number of petioles and number of leaves (Table1). Plants given poultry manure were observed to have the highest plant height (16.04 cm) and stem girth (1.53 cm) followed by cow dung (15.25 cm, 1.40 cm). The lowest plant height was observed in the NPK fertilizer (13.60 cm) although it was not significantly different from the control (13.89 cm), while the lowest stem girth was observed in the control (1.09 cm). At week 8, Analysis of variance also showed that there were no significant difference in number of leaves and petioles of the tomato plant but there were significant differences in the plant height and stem girth of plants given different fertilizer nutrients. The highest plant height was observed in plants given poultry manure (33.34 cm) and it was significantly different from all other treatments while the lowest plant height was observed in the control and it was not significantly different from cow dung and NPK fertilizer (Table 2). For the stem girth the highest value was observed in poultry manure (2.01 cm) and it was significantly different from all other treatments. The lowest stem girth was observed in plants given NPK fertilizer (1.56 cm) although it was not significantly different from the control (1.58 cm). Abejide et al. / GSC Biological and Pharmaceutical Sciences, 2020, 11(02), 314–319 317 Table 1 Effect of different fertilizers on growth parameters of Tomato at 6 weeks after planting. Fertilizers Plant height(cm) Number of petioles Stem girth(cm) Number of leaves Control 13.89± 0.81c 4.38±0.92 1.09±0.11d 48.13±10.07 Cow dung 15.25 ±0.46b 4.38±0.52 1.40±0.13b 48.13±5.69 Poultry 16.04±0.65a 4.50±0.93 1.53±0.10a 49.50±10.18 NPK 13.60±0.97c 4.50±0.93 1.28±0.10c 49.50±10.18 ns ns Values are means ± standard deviation, values followed by different alphabet(s) in a column are significantly different at P< 0.05 tested by Duncan Multiple Range Test. ns: no significant difference Also at ten weeks, there was significant difference in the plant height and stem girth but no significant difference in number of leaves and number of petioles although control treatment produced the highest number of leaves and petioles (Table 3). The highest plant height was observed in the plants given poultry treatment (56.92 cm) and it was significantly different from all other treatments. The least plant height was observed in the control (43.83 cm) (Table3). Poultry manure also produced the highest stem girth (3.01cm) as there was no significant difference in stem girth between the other three remaining treatment. Table 2 Effect of different fertilizers on growth parameters of Tomato at 8 weeks after planting. Fertilizers Plant height(cm) Number of petioles Stem girth(cm) Number of leaves Control 26.10±3.89b 7.00±1.07 1.58±0.09bc 77.00±11.76 Cow dung 27.75±1.29b 7.25±0.46 1.73±0.21b 79.75±5.09 Poultry 33.34±3.99a 7.50±0.53 2.01±0.22a 82.50±5.88 NPK 26.84±2.39b 7.00±0.76 1.56±0.07c 77.00±8.31 ns ns Values are means ± standard deviation, values followed by different alphabet(s) in a column are significantly different at P< 0.05 tested by Duncan Multiple Range Test; ns: no significant difference Table 3 Effect of different fertilizers on growth parameters of Tomato at 10 weeks after planting. Fertilizers Plant height (cm) Number of petioles Stem girth(cm) Number of leaves Control 43.83±6.37b 12.25±1.67 1.89±0.16b 134.75±18,36 Cow dung 48.45±4.79b 11.12±0.99 2.16±0.36b 122.37±10.90 Poultry 56.92±4.31a 11.62±1.30 3.01±0.44a 127.87±14.33 NPK 44.98±4.36b 11.88±1.25 1.90±0.18b 130.62±13.71 ns ns Values are means ± standard deviation, values followed by different alphabet(s) in a column are significantly different at P< 0.05 tested by Duncan Multiple Range Test; ns: no significant difference The significant differences observed in the growth parameters of tomato such as plant height, number of leaves, number of petioles and stem girth could be attributed to the level of nutrients available for plant absorption in the different types of fertilizers used. The application of poultry manure as soil amendment provided macro and micronutrients essentially required by tomato. This result is in line with [16], who reported that the use of poultry manure alone or in combination with NPK 15-15-15 fertilizer increased tomato yield compared to the application of NPK 15-15-15 fertilizer. Also, the result is in agreement with [17] who reported higher growth parameter values with the application of poultry manure. [18] also found that poultry manure litters resulted in better growth and yield of tomato than NPK fertilizer and other type of fertilizers. This study showed that tomato plant significantly performed well under balanced and judicious application of poultry manure more than other fertilizers. Abejide et al. / GSC Biological and Pharmaceutical Sciences, 2020, 11(02), 314–319 318 For the yield parameters, analysis of variance showed that there was no significant difference in number of seeds per plant but there was significant differences in number of fruits per plant, fruit weight, fruit length and fruit diameter. Plants given poultry manure were observed to have the highest number of fruits per plant (8.75), heaviest fruit per plant (25.30 g), highest fruit length per plant (6.60 cm) and highest fruit diameter (1.93 cm) which was significantly different from all other treatments. The lowest fruit length was observed in the control treatment (4.41 cm) which was significantly different from what was obtained in the other treatments. The number of fruits per plant was significantly favoured by the application of poultry manure. This result could be attributed to the ability of organic fertilizer to stabilize plant growth and also improve growth and yield. This result agreed with [19] who reported that nutrients from mineral fertilizers enhanced the establishment of crops, while those from mineralization of organic manure promoted yield when both fertilizers were combined. The result is also in line with the findings of [20], who found out that the number of fruits and leaves of crop significantly increased with increase in the concentration of poultry manure. It also tallies with the findings of [21] who reported that tomato fruit weight increased with increasing concentration of manure when compared with the control. Table 4 Effect of Different Fertilizers on Yield Parameters of Tomato. Fertilizer Fruit number Fruit weight(g) Fruit Length(cm) Seed number Fruit diameter(cm) Control 4.00±1.85b 15.89±8.38b 4.41±0.44c 97.25±33.39 1.388± 0.45b Cow dung 4.88±1.13b 18.15±5.67b 5.64±0.88b 85.25±17.62 1.40±0.36b Poultry 8.75±1.49a 25.30±4.75a 6.60±0.31a 100.75±17.93 1.93±0.38a NPK 5.25±2.25b 19.84±2.93ab 5.93±0.50b 93.38±22.41 1.51±0.36b ns Values are means ± standard deviation, values followed by different alphabet(s) in a column are significantly different at P< 0.05 tested by Duncan Multiple Range Test; ns: no significant difference 4. Conclusion The study revealed that use of inorganic and organic fertilizer had better effects on growth and yield of tomato. Although, the problems associated with inorganic fertilizer such as; high cost of purchase, scarcity, leaching, volatilization, environmental unfriendliness etc. have made inorganic fertilizer to be largely not recommendable as compared with organic fertilizers which is more environment friendly. The results obtained indicated superiority of poultry manure over NPK fertilizer and cow dung manure application on crops as soil amendment for all parameters evaluated. Compliance with ethical standards Acknowledgments The Authors wish to appreciate Agricultural Development Project Office Lokoja Kogi State for providing Hybrid tomato seeds used in the research. We also appreciate the Department of Plant Science and Biotechnology, Kogi State University, Anyigba for providing their experimental garden for the Research. Disclosure of conflict of interest There is no conflict of interest. References [1] Tindall ND. (1993). Vegetables in the Tropics. Macmillan education limited. Houndmills, Basingstole, Hamsphere RD Xs and London. [2] Powell AL, Nguyen CV, Hill T, Cheng KL, Figueroa-Balderas R, Aktas H, Ashrafi H, Pons C, Fernandez-Munoz R, Vicente A, Lopez-Baltazar J, Barry CS, Liu Y, Chetelat R, Granell A, Van-Deynze A, Giovannoni JJ and Bennett AB. (2012). Uniform ripening encodes a Golden 2-like Transcription Factor Regulating Tomato Fruit Chloroplast Development. Science, 336 (6089), 1711-1715. Abejide et al. / GSC Biological and Pharmaceutical Sciences, 2020, 11(02), 314–319 319 [3] Opena RT, Gheni LS and Hanson P. (2001). Hybrid seed production in Tomato; sharihua, Taiwan: International cooperation guide, 512-527. [4] Donnelly L. (2008). Killer Tomatoes. The East Hampon star. Tomato component. Field Handbook of International tropical Agricultural Sciences, 2, 306-308. [5] Cheng SC and Qualset CO. (2007). Diversity in Tomato collection and stratification of germ plasma accessions in different diversity groups. General Research Crop Evolution, 45, 325-335. [6] Hannan MM, Ahmed MB, Razvy MA and Karim R. (2007). Heterosis and Correlation of Yield and Yield Composition in Tomato. Eurasian Journal of Science Resource, 2, 46-150. [7] Nakarah K. (2003). Anti-oxidative metabolites in rat’s liver with ingested sesame. Journal of Agriculture and Food Chemistry, 5(6), 1666-1670. [8] Gaskell M, Milcheli J and Kolke ST. (2000). Soil fertility management for organic crops, organic vegetable productions. California serial publishers, 5. [9] Navarro JM, Flores P, Carvajal M, Cerda A and Martinez V. (2003). Tomato yield and quality as affected by Nitrogen sources and salinity. International Journal of Agronomy and Plant Production, 23, 249-256. [10] Kumar N, Bhatt RP and Biswas VR. (2001). Heterosis, combining ability and genetics for vitamins C, total soluble solid yields in tomato (Solanum lycopersicum) at 1700M. Attitude Journal of Agricultural Sciences, 137, 71-75. [11] Ahuja KL. (2006). Nutrition for developing countries 2nd edition. Oxford University press, London, 106. [12] Ahuja KL. (2005). Experimental pharmacologist and toxicologist and Australian pharmaceutical science Association. Melbourne, Australia, 67-79. [13] Takahashi T, Inagaki H, Fukushima T, Oishi T and Matsuno K. (2010). Increasing nitrate removal at low temperatures by incorporating organic matter into paddy fields. Soil Science Plant Nutrition, 56(1), 163-7. [14] Makinde EA, Ayoola OT and Akande MO. (2007). Effects of organo-mineral fertilizer application on the growth and yield of egusi melon. Australian Journal of Basic and Applied Science, 1(1), 15-19. [15] Ifatimehin OO, Ujoh F and Patrick E. (2014). Attributes of topographic mapping of a fast urbanizing area in Nigeria, using remote sensing and GIS. Journal of Scientific Research and Reports, 3(1), 170-184. [16] Adekiya AO and Agbede TM. (2009). Growth and yield of tomato (Lycopersicum esculentum Mill) as influenced by poultry manure and NPK fertilizer. Emir Journal of Food Agriculture, 21(1), 10-20. [17] Ojeniyi SO, Agbede TM and Adeyemo AJ. (2008). Effect of poultry manure on soil physical and chemical properties, growth and grain yield of sorghum in southwest, Nigeria. Eurasian Journal of Sustainable Agriculture, 2(1), 72-75. [18] Agele SO. (2002). Growth and yield of tomato grown on degraded soil amended with organic wastes. Proceedings of the 35th Conference of the Agricultural Society of Nigeria; Sept 16-21; University of Agriculture, Abeokuta Nigeria, 78-86. [19] Ayoola OT and Adeniyan ON. (2006). Influence of poultry manure and NPK fertilizer on yield and yield components of crops under different cropping systems in south west Nigeria. African Journal of Biotechnology, 5(15), 86-92. [20] Agbede TM, Ojeniyi SO and Adeyemo AJ. (2008). Effect of poultry manure on soil physical and chemical properties, growth and grain yield of sorghum in southwest, Nigeria. Eurasian Journal of Sustainable Agriculture, 2(1), 72-77. [21] Ghorbani RA, Koocheki, MJ, Jahan M and Asadi GA. (2008). Impact of organic amendments and compost extracts on tomato production and storability in agro ecological systems. Agronomic Sustainable Development, 28(2), 307-11. How to cite this article Abejide DR, Yakubu DO, Iyeh VA and Oguche JU. (2020). Effects of organic and inorganic fertilizers on agro-morhological traits of tomato (Solanum lycopersicum (L.) Moench). GSC Biological and Pharmaceutical Sciences, 11(02), 314-319. 
work_qp7ovikki5h4fgivu7hbl42tvq	----	Environmental Bankruptcy in Haiti 268 Environmental Conservation and the 'grey' lists of the treaty on land-based sources of pollution—not just to assess their sources, levels of pollu- tion, and effects on people and marine life, but to propose concrete measures to do something about them. We are no longer merely furnishing facts. The substances I am talking about include, among many others, used motor oil, mer- cury, cadmium, radioactive ones, pesticides and other organic pollutants on the 'black' list and, on the 'grey' list, lead, zinc, tin, chromium, silver, crude oil, detergents, and pathogenic microorganisms.' Shipping Industry Involvement The European Community has been a very active parti- cipant in the Mediterranean Action Plan. Recently it spon- sored a workshop on the shipping industry and the marine environment, in Athens, that was organized by the Hell- enic Marine Environment Protection Association (HEL- MEPA). 'When we set out to interest shipowners, captains, and crews, in protecting the sea from pollution, I was very sceptical', admitted Dimitris Mitsatsos, Director-General of HELMEPA. 'Well, in only four years we have enlisted 400 ships, over 3,000 officers and sailors, and most Greek shipowners. We have succeeded in very slowly changing the mentality of thousands of seafarers, and in getting through to their consciences. It is a measure of our success that the Athens workshop [in June 1986], under EEC aus- pices and with the participation of Beate Weber, the chair- woman of the Environmental Committee of the European Parliament, urged 'the general adoption and extension of HELMEPA's approach to merchant marines on a world- wide basis'.' The Director of UNEP's MAP, Aldo Manos, mentioned, as another indication of Mediterranean governments' seri- ousness, the ratification by Greece on 20 June of the treaty on Specially Protected Areas. This brought the number of ratifying countries to six plus the European Community, as a result of which the treaty will enter into force very short- ly- PAUL EVAN RESS Regional Office for Europe United Nations Environment Programme Avenue Trembley 16 Petit-Saconnex Geneva, Switzerland. Environmental Bankruptcy in Haiti Christopher Columbus described Haiti as 'Filled with trees of a thousand kinds and tall'. But no longer is it so; indeed, if present trends continue, this small Caribbean island nation on the doorstep of the USA could be com- pletely deforested within fifteen years. Haiti is experiencing an environmental crisis as severe as are those of the African countries bordering the Sahara. Five years ago, FAO estimated that Haiti was losing the fertility of 6,000 hectares (ca 15,000 acres) of land each year. The rivers and streams are choked with mud, and far out to sea beyond the capital, Port au Prince, the water is stained brown with mud. Rapid population growth, hurri- canes, and frequent droughts and flooding, have all contributed to the crisis, but the real blame lies with decades of neglect under the regimes of the Duvaliers, both father and son. Evidence of that mismanagement is seen on the border with the Dominican Republic, where, on the Dominican side, there is thick forest, whereas on the other side the hillsides are bare. Neglect of investment in agriculture, forestry, and sources of energy, has left the vast majority of Haitians with no alternative other than to fell the trees and over-use the land. Haiti is one of the few countries where agricultural productivity is actually declining. With fertile land becoming increasingly scarce, more and more villagers are turning to firewood collection. Virtually all the trees around the capital have been cleared, and the only significant stands left are in the remoter areas in the northern part of the island; but now these, too, are rapidly being felled. According to a World Bank Survey, the cur- rent 2.4 million cubic metres' deficit of firewood is destined nearly to treble by the turn of the century. There are few energy alternatives. An American-built hydroelectric dam at Peligre in the mountains near the Dominican border is clogged with silt and operating at only one-quarter of its intended capacity. A recent expert survey concluded that it may have to shut down if siltation is not stopped. Many villagers have no alternative other than to leave the land—the drift to the slums of Port au Prince has become a torrent. Virtually everyone you talk to in the slums is a recent arrival, their dream being to escape to the United States. The US Coastguard now keeps a permanent flotilla off Haiti, to intercept illegal immigrants who are prepared to make the risky crossing to Florida. A massive relief effort is needed to help the post-Duval- ier Government to begin the work of rehabilitation—by no means a hopeless task, as for example under a US AID $8 million scheme, volunteer groups have encouraged villag- ers to plant 17 million trees in the past four years. Of those trees about 20% survive, which is a very respectable rate. But it is going to take more than tree-planting to rescue Haiti from such a long-term decline. According to UNI- CEF, 73% of all Haitian children of school age are suffering from some form of malnutrition. Sooner rather than later, the new Government will have to turn far more of its attention than currently to improving the lot of the vast majority of Haiti's poor, who must live with the day-to-day realities of environmental bankruptcy. ROBERT P. LAMB, Director TVE Television Trust for the Environment 46 Charlotte Street London WIPILX England UK. New Northern Look The Arctic Institute of North America, now of the Uni- versity of Calgary, is updating its newsletter Information North, which it has published over the years as an informal vehicle for keeping its subscribers informed. In the past, such newsletters tended to focus on membership matters, and accordingly to be cast in a chatty framework with sto- https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0376892900036389 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:20, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0376892900036389 https://www.cambridge.org/core 
work_qrtdlrailzgurkycfp4jigdn44	----	bwus_INSP_4105 72..107 The Future of Replication The Harvard community has made this article openly available. Please share how this access benefits you. Your story matters Citation King, Gary. 2003. The future of replication. International Studies Perspectives 4(1): 72-107. Published Version doi:10.1111/1528-3577.04105 Citable link http://nrs.harvard.edu/urn-3:HUL.InstRepos:4125129 Terms of Use This article was downloaded from Harvard University’s DASH repository, and is made available under the terms and conditions applicable to Other Posted Material, as set forth at http:// nrs.harvard.edu/urn-3:HUL.InstRepos:dash.current.terms-of- use#LAA http://osc.hul.harvard.edu/dash/open-access-feedback?handle=&title=The%20Future%20of%20Replication&community=1/1&collection=1/2&owningCollection1/2&harvardAuthors=819b7ee1c5a6ec58a0a21ac8b8a5755f&departmentStatistics http://nrs.harvard.edu/urn-3:HUL.InstRepos:4125129 http://nrs.harvard.edu/urn-3:HUL.InstRepos:dash.current.terms-of-use#LAA http://nrs.harvard.edu/urn-3:HUL.InstRepos:dash.current.terms-of-use#LAA http://nrs.harvard.edu/urn-3:HUL.InstRepos:dash.current.terms-of-use#LAA publications. By following the recommendations outlined here we can make progress in speeding up manuscript reviews by eliminating some revise-and- resubmit decisions, providing better information for referees to make more decisive recommendations to editors. Additionally, we can reduce errors in published research and facilitate replication tests designed to probe the robustness of findings. All of these changes will improve the quality and impact of research and so should be adopted as soon as possible. Bruce Bueno de Mesquita New York University and Stanford University The Future of Replication16 Since the replication standard was proposed for political science research, more journals have required or encouraged authors to make data available, and more authors have shared their data. The calls for continuing this trend are more persistent than ever, and the agreement among journal editors in this Symposium continues this trend. In this article I offer a vision of a possible future of the replication movement. The plan is to implement this vision via the Virtual Data Center project, which––by automating the process of finding, sharing, archiving, subsetting, converting, analyzing, and distributing data––may greatly facilitate adherence to the replication standard. In King (1995), I proposed that political scientists try to meet The Replication Standard, which holds that Sufficient information exists with which to understand, evaluate, and build upon a prior work if a third party can replicate the results without any additional information from the author. Meeting the replication standard does not require any work to be replicated. It only requires the provision of enough information so that it could be replicated in principle. Actual replication will often produce other benefits, but the purpose of the standard is only to provide a way to judge the adequacy of the information provided in a published work or a ‘‘replication data set’’ that accompanies the work. Without information sufficient to make replication possible in principle, the ‘‘chain of evidence’’ from the empirical world to the article’s conclusions is broken, and so the basis for conclusions about the world remains unjustified, at least without taking the word of the author. Although trust is a good thing in personal relationships, science requires that answers depend on public knowledge, not private understandings about individuals and their personalities. The contribution of a work should be represented in that work, not only in the memory or file cabinet of the person who wrote it originally. What counts for the community of political scientists and for our contribution to knowledge and society is only what is on the public record. If they had been academics, Christopher Columbus would have been given tenure early, while Leif Erikson would have been given an extra year to get his book out. In King (1995) I also proposed some policies for graduate programs, funding agencies, journals, and book presses to encourage or require scholars to follow the standard. Other contributions in this volume report on current practices and some progress at achieving consensus at developing standards. The empirical result in Gleditsch and Metelits (2003)––showing that articles that make data available have twice the impact, and hence make twice the contribution, as those that do not––is 16Gary King is the David Florence Professor of Government, Harvard University and Senior Science Advisor, World Health Organization (Center for Basic Research in the Social Sciences, 34 Kirkland Street, Harvard University, Cambridge, MA 02138; http://GKing.Harvard.Edu, King@Harvard.Edu, (617) 495–2027). The Virtual Data Center project described herein is joint with Micah Altman and Sidney Verba. Replication in International Studies Research100 particularly striking. Put differently, an author who makes data available has as much impact as two authors who do not. Since we hire, promote, and pay faculty on the extent of their scholarly contribution, it seems likely that those who make data available to others probably also have better jobs and higher salaries. Science Requires More Than Being Scientific The training we receive in various methods during graduate school and afterwards is all about making our individual work more scientific, but for a lot of scholars being individually scientific does not add up to a science. Science also requires community, interaction, a common language, the pursuit of common scholarly goals, communication, and a collection of individuals cooperating and competing to contribute to our common and publicly available knowledge base. The tremendous advances in technology, medicine, basic research in the natural sciences, and to some extent research in the social sciences––and the huge increase in the rate of learning in these areas––have come from intense interactions, from checking each other’s work, and from individuals building on the work of others. The famous cold fusion debacle of some years ago involved two researchers, with good reputations, being apparently scientific to the best of their abilities. Fraud was not an issue. Their efforts obviously failed, but the process worked and the world knew the truth within a few weeks. If the same ‘‘finding’’ had been claimed several hundred years ago before modern science (or in a nonscientific field today), society and these individual researchers would have been led astray and little would have been learned. Similarly, when one of us makes an important and accurate discovery about the social or political world, others cannot build on this discovery unless the original author followed the replication standard. The almost fantastic increase in the rate of mankind’s increase in knowledge since the development of modern science is well known. What we may not all appreciate is how recent this all is. Taking the (very!) long term view, the first version of learning on this planet started about 3.8–3.7 billion years ago when the first protocell developed and evolution began (de Dueve, 1995). Evolution, which requires variation plus (natural) selection, produces a type of knowledge as succeeding generations produced organisms that fit various niches and adapted in various ways. The method of learning works, but it is entirely unplanned, undirected, and very slow. Somewhere around 5–7 million years ago, the last ancestor (the woodland ape) we have in common with our closest living relatives (the chimpanzee) lived. Given the rate at which they learned and their brains expanded, it took until about 1.5 million years ago to tame fire. Creatures then ‘‘learned’’ by evolution, but sometime back then they also started to learn by demonstration. Even today, chimpanzees learn how to use primitive tools and they pass the knowledge to other chimps through demonstration (Wrangham and Peterson, 1996). Most of the knowledge, however, must be learned anew each generation. Around 40,000 years ago (only 2,000 generations) the evidence seems to suggest that language became anatomically possible and subsequently developed. Whatever we learned could now be passed to larger groups without physical demonstration. The result was the onset of extremely rapid cultural development. The form of learning was Lamarkian––the heredity of acquired characteristics through culture––and, relative to evolution, it was very fast and could be intentional and directed. The invention of written language, which permits the transmission of knowledge even if no one presently alive possesses it, dates to 3100 B.C. (or only 255 generations ago). In contrast, the invention of modern science––with scholars competing and cooperating in the pursuit of common goals on the public record––dates to only about the last 400 years, around 20 generations. It has not yet spread to all fields of REPLICATION IN INTERNATIONAL STUDIES RESEARCH 101 inquiry (e.g., only about a third of the advice you get in your doctor’s office is what medical researchers call ‘‘evidence-based’’), and yet the progress that has resulted far exceeds any other method of learning yet devised (see Haynes, 2002, and the citations therein). Science includes numerous individual components, and contributions to the infrastructure and definition of science happen all the time. Research libraries date to only about a century ago. Humanity did not know how to run a controlled and randomized experiment, with which one could reliably learn about the world, until the 1930s. Replication and data sharing are even more recently developed norms, and are still spreading across the fields of inquiry. Data sharing in political science is far ahead of medicine and public health but nowhere near some areas of DNA sequencing, where data must be submitted in fixed formats to the same repository as a condition of publication. It is interaction among scholars pursuing common goals that makes science work, and meeting the replication standard clearly advances science. A Future for Learning from Numerical Data: The Virtual Data Center Contributing data along with scholarly articles and analyses is obviously in the interest of individual scholars. Much evidence of this point is provided in the other articles in this symposium (and King, 1995). Yet, convincing individuals to do things that are in their long-term interest is often difficult (e.g., think of exercise, recycling, etc.). Helping to develop community-wide norms, instituting requirements when appropriate, and acknowledging and rewarding the data contributions of others can help enormously and should undoubtedly be pursued in every venue available. In this section, I report on a large software project that attacks the same problem from another angle––with the goal of making it easier for researchers, journal editors, and others to meet the replication standard and improve the product that the discipline of political science provides. Roughly speaking, our project is a hierarchical, structured, and legal version of Napster, but for social science data. The spirit in which we offer this is to make our research lives easier and simultaneously to contribute to the replication movement. In similar fashion, we would all agree to recycle daily if our newspapers and bottles could be separated from our garbage automatically at the landfill without our participation. The Present and Near Future The Virtual Data Center, or VDC, is a software project being created by Micah Altman, Sidney Verba, and me (for details see http://TheData.org and Altman et al., 2001a, 2001b). It is a project of the Harvard-MIT Data Center and the Harvard University Libraries and is supported by a number of federal grants through the digital library initiative and the political science program at NSF (funding agencies include NSF, NASA, DARPA, NLM, LoC, NEH, and FBI) and part of a separate grant at NIA. I explain what is, what is under way, and what is planned, sequentially. An operational version of a portion of the VDC is now running at Harvard and MIT and selected other test sites. With this system, faculty, staff, and students knowing only how to point and click can � search (using a highly focused Google-like system) for data available locally or at various international archives (such as the ICPSR, Roper, NCHS, etc.). � read abstracts of data sets. � choose a data set, whether it is local or far away. � peruse documentation. Replication in International Studies Research102 � subset the data set by choosing variables and rows (e.g., only women 18–24 who voted for Clinton in 1996). � perform basic statistical analyses (such as descriptive statistics, cross-tabulations, regressions, etc.). � download code to replicate the analysis automatically. � convert the data set format to any statistical package, database program, spread-sheet, etc. � download the converted and subsetted data for further analyses. � ensure that the user is authenticated and authorized to have access to the data set chosen. We can guarantee that VDC software will always be available since it is legally and permanently ‘‘open source,’’ which means that if our group vanishes the software will be on the public record and anyone else will have the right to modify it as they see fit. If they make any improvements to it and offer it for distribution, the license requires them to also provide the source code without charge. Although many of us grew up specializing in how to extract data from tapes in arcane formats like binary coded decimal or EPCDIC, researchers now call to ask whether they can put their data in our system so they can then take it out in a more convenient format. The usage of the Harvard-MIT Data Center by faculty and students, and for research and in classes, has increased exponentially since its introduction here. That’s the present. The version to be released shortly will add some critical features. Most important, the same software will be installable anywhere. We have been working closely with the ICPSR and the U.S. Bureau of Labor Statistics, and have had expressions of interest from many universities, governments, and international organizations. When version 1 of the software is released, we expect that many VDC nodes will be installed. This version will make it possible for a user at one site to search across local data sets at their university, data sets at any national archives to which they have access, and data sets at other local VDC nodes. If it works as planned, the system will spread to an ever-increasing user base, and encompass a larger and larger fraction of available social science data. With every additional VDC node, the system will become more useful to everyone. Others will be able to contribute modules (or add the modules themselves) that snap into the VDC infrastructure and perform specialized tasks, so that many people will no longer need to re-create the wheel at many different sites. Data librarians will be able to build virtual curator’s pages that provide hierarchical organizations and guides for groups of studies in specialized areas, and curators at one site can share the knowledge with others around the world. As important from the perspective of replication, depositing data will be much easier. We plan to put no hurdles in the way of authors willing to share their data, but the more information (‘‘metadata’’) they provide about their data, the more services the VDC will be able to provide users of those data. Perhaps at first data depositors will only drop in zip files with ascii documentation, but we think that when the advantages of all the services of the VDC become more widely known, authors will want to provide more metadata too. Finally, each data set will have a permanent name associated with it. The name will look like a URL and work in a browser, but it will persist and so will work indefinitely even if the original link vanishes. With this system, checking an author’s claim that data have been deposited will be equivalent to giving a citation to the data. Most journals and copy editors are obsessive about the precise formats of citations to printed matter; this system will make reliable citations to data possible as well. REPLICATION IN INTERNATIONAL STUDIES RESEARCH 103 The Vision: Replication and Deep Citation The first or second major release of the VDC will also have something like a digital signature associated with each data set and linked to its permanent URL-like name. A digital signature is one number that can be easily calculated from the data set and summarizes all the information in the data set. If any number in the data set changes, then this one number would change too. (An intuitive but bad version of a digital signature, because it is easy to defeat, would be to add up all the numbers in the database.) The advantage of digital signatures is that future researchers could make one easy calculation and then determine immediately and essentially for certain whether they possess the identical version of the data used by the author of the original article. Then we would also be able to verify who created and provided the data. This addition should eliminate an enormous amount of wasted time in building on existing research: a researcher would merely copy down the official name of the data set, type it into a browser, and download the identical data used in the article or book. Once the names become more widely used, automatic forward citation will be possible. That is, if a researcher comes upon a data set, he or she can instantly find all articles that have subsequently been written using that data set. Ultimately, our goal is ‘‘deep citation’’: formal ways of citing or referring to particular variables, transformations, or individual cells in the data set. This way, if an author says he regressed income on education, some future researcher will not have to waste a day determining which of the twelve education-related variables were used, and which of the infinite array of transformations that could have been applied were in fact applied. This kind of citation must also be independent of the storage medium, so that if the data set is transferred from SPSS to Stata, the user should still be able to make the right connection transparently and automatically. Over the years, I have written sample editorial policies for journals that try to help authors meet the replication standard while also trying to accommodate the critics of such policies. The VDC will change these policies considerably. For example, here is one policy that could now be (and in fact already has been) implemented, without the VDC: Authors of quantitative articles in this journal [or books at this press, or dissertations in this department] must address the issue of data availability and replication in their first footnote. Authors are ordinarily expected to indicate in this footnote which public archive they will deposit the information necessary to replicate their numerical results, and the date when it will be submitted. (The information deposited should include items such as original data, specialized computer programs, lists of computer program recodes, extracts of existing data files, and an explanatory file that describes what is included and explains how to reproduce the exact numerical results in the published work. Authors may find the ‘‘Publication-Related Archive’’ of the Inter-university Consortium for Political and Social Research a convenient place to deposit their data.) Statements explaining the inappropriateness of sharing data for a specific work (or of the necessity for indeterminate periods of embargo of the data or portions of it) may fulfill the requirement. Peer reviewers will be asked to assess the footnote as part of the general evaluative process, and to advise the editor accordingly. Authors of works relying upon qualitative data should submit a comparable footnote that would facilitate replication where feasible. As always, authors are advised to remove information from their data sets that must remain confidential, such as the names of survey respondents. When the VDC is operational, the policy could be much simpler: Authors of articles in this journal [or books at this press, or dissertations in this department] that use quantitative data must cite the data by including the Virtual Data Center name for their data and any accompanying replication information. Replication in International Studies Research104 See your local data center, the ICPSR, the U.S. Census Bureau, or http:// TheData.org for details of how to do this. That is, authors merely cite the data in the correct format, just as they are required to cite printed books and articles in the correct format, and the VDC will then automatically take care of the rest. Concluding Remarks A warning: beware of vaporware. Although a version of the VDC is now operational at Harvard and MIT, the source code is open and on the Web, and many of the features I have discussed here are already implemented at least in part, much of the rest is presently just promises. Some aspects, such as deep citation, require considerable additional research on our part to address several important unsolved problems. I have enormous confidence in our team of researchers and programmers, but we will have to see. Whatever the future progress of the VDC, the replication movement will continue. Changing norms and practices is sometimes slow going, but the benefits to individual scholars, to political science as a discipline, and to society at large should keep the movement on its path. Gary King Harvard University Editors’ Joint Statement: Minimum Replication Standards for International Relations Journals Authors of quantitative empirical articles must make their data available for replication purposes. A statement of how that is done should appear in the first footnote of the article. Required material would include all data, specialized computer programs, program recodes, and an explanatory file describing what is included and how to reproduce the published results. This material must be posted by the month of publication, except when, with agreement of the Editor, the deadline is extended to accommodate special need of an author to employ the data for subsequent publications. Information that must remain confidentialFsuch as that which would identify survey respondentsFshould be removed. All files should be sent electronically to the Managing Editor for posting on a website maintained by the journal for the purpose. In addition, authors may send the material to www.icpsr.umich.edu, and any other sites they wish to use. We urge other editors to join us in enforcing these minimum guidelines. Nils Petter Gleditsch, Editor of Journal of Peace Research Patrick James, Co-editor of International Studies Quarterly James Lee Ray, Editor of International Interactions Bruce Russett, Editor of Journal of Conflict Resolution References ALTMAN, M., L. ANDREEV, M. DIGGORY, G. KING, D. L. KISKIS, E. KOLSTER, M. KROT, AND S. VERBA (2001a) ‘‘A Digital Library for the Dissemination and Replication of Quantitative Social Science Research: The Virtual Data Center.’’ Social Science Computer Review 19:458–470. Reprint at http:// gking.harvard.edu/files/abs/vdcwhitepaper-abs.shtml REPLICATION IN INTERNATIONAL STUDIES RESEARCH 105 ALTMAN, M., L. ANDREEV, M. DIGGORY, G. KING, D. L. KISKIS, E. KOLSTER, M. KROT, AND S. VERBA (2001b) ‘‘An Overview of the Virtual Data Center Project and Software.’’ JCDL ‘01: First Joint Conference on Digital Libraries. ACM. Reprint http://gking.harvard.edu/files/abs/jcdl01-abs.shtml. ANDREWS, N. (2001) ‘‘Evidence.’’ In Reader’s Guide to the Social Sciences, vol. 1, edited by J. Michie. London and Chicago: Fitzroy Dearborn. BARBIERI, K. (1996) ‘‘Economic Interdependence: A Path to Peace or a Source of Interstate Conflict?’’ Journal of Peace Research 33(1):29–49. BENNETT, D. S., AND A. STAM (2000) ‘‘EUGene: A Conceptual Manual.’’ International Interactions 26(2):179–204. BUENO DE MESQUITA, B. (2003) ‘‘Getting Firm on Replication.’’ International Studies Perspectives 4(1): 98–100. CIOFFI-REVILLA, C. (1998) Politics and Uncertainty: Theory, Models and Applications. Cambridge: Cambridge University Press. CIOFFI-REVILLA, C., AND H. STARR (1995) ‘‘Opportunity, Willingness, and Political Uncertainty: Theoretical Foundations of Politics.’’ Journal of Theoretical Politics 7(4):447–476. CIOFFI-REVILLA, C., AND T. LANDMAN (1999) ‘‘Evolution of Maya Polities in the Ancient Mesoamerican System.’’ International Studies Quarterly 43(4):559–598. DE DUEVE, C. (1995) Vital Dust. New York: Basic Books. FOWLER, L. L. (1995) ‘‘Replication as Regulation.’’ PS. Political Science and Politics 28(3):478–481. GIBSON, J. L. (1995) ‘‘Cautious Reflections on a Data-Archiving Policy for Political Science.’’ PS. Political Science and Politics 28(3):473–476. GLEDITSCH, N. P. (1993) ‘‘The Most Cited Articles in JPR.’’ Journal of Peace Research 30(4):445–449. GLEDITSCH, N. P., AND C. METELITS (2003) ‘‘Replication in International Relations Journals: Policies and Practices.’’ International Studies Perspectives 4(1):72–79. GLEDITSCH, N. P., C. METELITS, AND H. STRAND (2003) ‘‘Posting Your Data: Will You Be Scooped or Will You Be Famous?’’ International Studies Perspectives 4(1):89–97. GLEDITSCH, N. P., T. V. LARSEN, AND H. HEGRE (1994) Citations to Articles in JPR and by Johan Galtung. Oslo: Journal of Peace Research. HAMILTON, D. P. (1991) Research Papers: Who’s Uncited Now? Science 4 (Jan.):25. HAYNES, R. B. (2002) ‘‘What Kind of Evidence Is It That Evidence-Based Medicine Advocates Want Health Care Providers and Consumers to Pay Attention To?,’’ BMC Health Services Research 2. http://www.biomedcentral.com/1472-6963/2/3. HERRNSON, P. S. (1995) ‘‘Replication, Verification, Secondary Analysis, and Data Collection in Political Science.’’ PS. Political Science and Politics 28(3):452–455. INTEGRATED NETWORK FOR SOCIETAL CONFLICT RESEARCH, UNIVERSITY OF MARYLAND (2002) http:// www.bsos.umd.edu/cidcm/inscr/. INTER-UNIVERSITY CONSORTIUM OF POLITICAL AND SOCIAL RESEARCH, UNIVERSITY OF MICHIGAN(2002) http://www.icpsr.umich.edu/. JAGGERS, K., AND T. R. GURR (1995) ‘‘Tracking Democracy’s Third Wave with the Polity III Data.’’ Journal of Peace Research 32(4):469–482. JAMES, P. (2002) International Relations and Scientific Progress: Structural Realism Reconsidered. Columbus: Ohio State University Press. JAMES, P. (2003) ‘‘Replication Policies and Practices at International Studies Quarterly.’’ International Studies Perspectives 4(1):85–88. KING, G. (1995) ‘‘Replication, Replication.’’ PS. Political Science and Politics 28(3):443–499. Reprint at http://gking.harvard.edu/files/abs/replication abs.shtml.. KING, G. (2003) ‘‘The Future of the Replication Movement.’’ International Studies Perspectives 4(1): 100–105. MEIR, K. J. (1995) ‘‘Replication: A View from the Streets.’’ Political Science and Politics 28(3):456–459. MICHIE, J., ED. (2001) Reader’s Guide to the Social Sciences, vol. 1. London and Chicago: Fitzroy Dearborn. ONEAL, J. R., F. H. ONEAL, Z. MAOZ, AND B. M. RUSSETT (1996) ‘‘The Liberal Peace: Interdependence, Democracy, and International Conflict, 1950–85.’’ Journal of Peace Research 33(1):11–28. PEACE SCIENCE SOCIETY–INTERNATIONAL (2002) http://pss.la.psu.edu/. PENDLEBURY, D. (1994) (Institute for Scientific Information) Telephone Conversation with Gary King. RAY, J. L., AND B. VALERIANO (2003) ‘‘Barriers to Replication in Systematic Empirical Research on World Politics.’’ International Studies Perspectives 4(1):79–85. RUSSETT, B. (2003) ‘‘ The Journal of Conflict Resolution’s Policy on Replication.’’ International Studies Perspective 4(1):88–89. Replication in International Studies Research106 SIEBER, J. E. (1991a) Introduction to Sharing Social Science Data: Advantages and Challenges, edited by J. E. SIEBER, pp. 1–18. London: Sage. SIEBER, J. E. (1991b) ‘‘Social Scientists’ Concerns About Sharing Data.’’ In Sharing Social Science Data: Advantages and Challenges. edited by J E. Sieber, pp. 141–150. London: Sage. Stata Reference Manual Release(1999) Version 6(3). College Station, TX: Stata Press. TICKNER, J. -A. (1997) ‘‘You Just Don’t Understand: Troubled Engagements Between Feminists and IR Theorists.’’ International Studies Quarterly 41(4):611–632. WRANGHAM, R., AND D. PETERSON (1996) Demonic Males. Boston: Houghton Mifflin. REPLICATION IN INTERNATIONAL STUDIES RESEARCH 107 
work_qsrxfimfrfgklhcowcg5oknsua	----	REVISTA DE INDIAS num 227 Revista de Indias, 2003, vol. LXIII, núm. 227 Págs. 49-64, ISSN: 0034-8341 R. I., 2002, n.º 224 ¿UNA PRIMERA EPIDEMIA AMERICANA DE VIRUELA EN 1493?* POR NOBLE DAVID COOK Florida International University Documentación dada a conocer últimamente descubre que varios indios tainos llevados por Colón a España para ser enseñados a los Reyes Católicos murieron de viruela en Cádiz al salir la segunda expedición en 1493. Por las condiciones sanitarias reinantes y la aglomeración a bordo, la infección pudo perfectamente afectar a más viajeros y a dar pie a una epidemia. El artículo aporta un elemento nuevo al debate sobre las causas de la rápida desaparición de la población indígena de la Española. PALABRAS CLAVES: Población indígena, viruela, epidemias, La Española. De toda la magna obra de Woodrow Borah y Sherburne F. Cook, lo más con- trovertido quizá sea la estimación de la población de la isla de Española previa al contacto europeo, famoso capítulo de sus Essays in Population History1. La cifra de 7.975.000 propuesta allí (con latitud entre cuatro a catorce millones) ha sido rebatida por muchos especialistas, con críticas a veces virulentas. Por desgracia, la magnitud alcanzada por la población taína es un problema inextricable, pues nunca se contaron a sí mismos y los cambios introducidos con la segunda expe- dición de Cristóbal Colón tuvieron un impacto tan profundo y rápido que nunca podremos conocer cuánta gente vivía pocos años antes. Esa imposibilidad no impide sin embargo especular. Son muchos los investigadores que han interveni- do en esa conjetura «científica». Las estimaciones oscilan entre un mínimo de ———— * Agradezco a William M. Denevan, Juan Gil, W. George Lovell, Nicolás Sánchez-Albornoz, Consuelo Varela, y Alexandra Parma Cook por sus comentarios sobre ésta y otras versiones del trabajo. Confío que sus sugerencias hayan servido para refinar el argumento; como siempre, la interpretación y los errores son míos. 1 Woodrow BORAH y Sherburne F. COOK, Essays in Population History, 3 vols., Berkeley, Universidad de California, 1971-79 (hay traducción al español, México, 1977-1980). NOBLE DAVID COOK R. I., 2003, n.º 227 50 unos 60.000, postulado por Verlinden (1968, 1973)2, y un máximo de catorce millones sugerido por Borah y Cook (1971). Angel Rosenblat (1967, 1976)3 y Amiama (1959)4 calcularon cien mil habitantes; Lipschutz (1966)5 la situó entre cien mil y quinientos mil; Córdova (1968)6 propuso aproximadamente quinien- tos; Moya Pons (1971, 1987)7 aceptó entre trescientos setenta y siete mil a seis- cientos mil habitantes en la época de los primeros contactos; N.D. Cook (1999)8 sugirió un margen de quinientos a setecientos cincuenta mil; y el estadístico bri- tánico Frank Zambardino (1978)9 estimó un millón de habitantes, con un margen de variación de, aproximadamente, un treinta por ciento (véase Cuadro 1.1). Aunque las estimaciones precedentes varíen, existe acuerdo sobre las cifras de los primeros años del siglo XVI. Miguel de Pasamonte informó que la pobla- ción fue en 1508 de, aproximadamente, sesenta mil almas. Al cabo de dos años bajó, según Diego Colón, a 33.523 habitantes. En 1514 en un supuesto «censo» arrojaba cerca de 26.334. La población bajó a dieciocho mil en 1518-19 y para 1542, no llegaba a los dos mil habitantes. Los colonizadores europeos comenza- ron a importar pronto esclavos africanos e indios de otras islas, para satisfacer la necesidad de mano de obra de la economía de la Española. Con independencia de que no sepamos el tamaño previo de la población indígena, las consecuencias del contacto no cambian. Medio siglo más tarde casi no quedaban sobrevivientes nativos, en una catástrofe que alteró para siempre el paisaje que Colón describió como un paraíso10. ———— 2 Charles VERLINDEN, «La population de l'Amérique précolombienne: une question de mé- thode», Méthodologie de l'histoire et des sciences humaines: mélanges en honneur de Fernand Braudel, Paris, 1973, pp. 453-62. 3 Angel ROSENBLAT, La población de América en 1492: Viejos y nuevos cálculos, México, 1967; «The Population of Hispaniola at the Time of Columbus», William M. DENEVAN (coord.), The Native Population of the Americas in 1492, Madison, Universidad de Wisconsin, 1976, pp. 43-66. 4 Manuel A. AMIAMA, «La población de Santo Domingo», Clio, Vol. CXV, 1959, pp. 116-34. 5 Alejandro LIPSCHUTZ, «La despoblación de los indios después de la conquista», América Indígena, Vol. XXVI, 1966, pp. 229-47. 6 Efrén CÓRDOVA, «La encomienda y la desaparación de los indios en las Antillas mayores», Caribbean Studies, Vol. VIII, 1968, pp. 23-49. 7 Frank MOYA PONS, Española en el siglo XVI, 1493-1520, Santiago, 1971; Después de Co- lón. Trabajo, sociedad y política en la economia del oro, Madrid, Alianza Editorial, 1987. 8 Noble David COOK, «Enfermedad y despoblacion en el Caribe, 1492-1518», W. George LOVELL y Noble David COOK (coords.), Juicios Secretos de Dios: epidemias y despoblación indí- gena en Hispanoamérica colonial, Quito, Abya-Yala, 1999, p. 36. 9 Rudolph A. ZAMBARDINO, «Critique of David Henige's «On the Contact Population of His- paniola: History as Higher Mathematics», Hispanic American Historical Review, Vol. LVIII, 1978, pp. 700-708. 10 N.D. COOK, [8], pp. 37. ¿UNA PRIMERA EPIDEMIA AMERICANA DE VIRUELA EN 1493? R. I., 2003, n.º 227 51 CUADRO 1.1. Estimaciones de la población indígena de Española, ca. 1492* FUENTE AÑO ESTIMACIÓN Verlinden (1973) 1492 60.000 Amiama (1959) 1492 100.000 Rosenblat (1959, 1976) 1492 100.000 Lipschutz (1966) 1492 100.000-500.000 Moya Pons (1987) 1494 377.559 Cordova (1968) 1492 500.000 N.D. Cook (1993) 1492 500.000-750.000 Moya Pons (1971) 1492 600.000 Zambardino (1978) 1492 1.000.000 Denevan (1992) 1492 1.000.000 Guerra (1988) 1492 1.100.000 Denevan (1976) 1492 1.950.000 Watts (1987) 1492 3.000.000-4.000.000 Borah & Cook (1971) 1492 7.975.000 * Noble David COOK, «Enfermedad y despoblación en el Caribe, 1492-1518», W. George LOVELL y Noble David COOK (coords.), Juicios Secretos de Dios: epidemias y despoblación indí- gena en Hispanoamérica colonial, Quito, Abya-Yala, 1999, p. 36. Las discrepancias con las estimaciones de Borah y S.F. Cook para la isla pro- ceden de direcciones: unas critican las fuentes y otras los métodos de proyección. Angel Rosenblat fue de los primeros en cuestionar las estimaciones de Borah y S.F. Cook sobre la población de México central y reiteró su crítica, con respecto a las de la isla11. Borah y S.F. Cook basaron sus análisis en el trabajo de otro especialista de la Universidad de California, Berkeley, el geógrafo Carl Ortwin Sauer. Al escribir The Early Spanish Main (1967), historia temprana de la Espa- ñola, Sauer revisó cuantos documentos y libros contenían información sobre la ecología y los cambios efectuados durante la primera generación. Sauer, y tras él Borah y S.F. Cook, aceptaron sin apenas crítica los «números» de almas, o habi- tantes, presentados por el dominico fray Bartolomé de las Casas. El fraile exage- ró sin embargo el tamaño de las poblaciones americanas en varios de sus escritos en defensa de los indios. Cualquier uso de las cantidades contenidas en sus traba- jos polémicos corre el alto riesgo de errar. La crítica de Rosenblat contaba por ello con cierto fundamento y David Henige emprendió, en una serie de trabajos, un ataque despiadado de las fuentes utilizadas por la llamada «Escuela de Berke- ley». Su posición es en resumidas cuentas de que falta información fiable sobre la ———— 11 A. ROSENBLAT, [3], pp. 43-66. NOBLE DAVID COOK R. I., 2003, n.º 227 52 población indígena temprana y cualquier método que se use para estimarla está condenado de entrada a fallar12. Un argumento hecho por varios investigadores es que no existe documenta- ción que explique qué desastres redujeron la población hasta las sesenta mil al- mas de 1508, mencionadas por Miguel de Pasamonte, o los 33.523 indios de Diego Colón en 1510. Sí abunda, en cambio, la documentación sobre la supuesta primera pandemia de viruela de 1518-19, que azotó a la isla, pasó a otras y alcan- zó, finalmente, a Tierra Firme. Al acabar esa epidemia, la población autóctona de la Española se redujo a sólo unas dieciocho mil personas. Sobre epidemias ante- riores, la documentación escasea. El supuesto brote de viruela en el primer dece- nio del siglo XVI, David Henige demostró que fue falso13. Ello no quita que tai- nos y europeos sufrieran, entre 1493 y 1518, enfermedades bien documentadas, según N.D. Cook14. El propósito de este ensayo es revisar brevemente las fuentes que parecen probar que hubo una enfermedad mortífera en los primeros meses y años del asentamiento europeo en la isla y, más aún, ponderar la información colombina dada a conocer recientemente. Ésta sugiere que la viruela entró en la isla tan pronto como diciembre de 1493. Lo pudo hacer en efecto al regresar los indios lenguaraces que Colón llevó a España y al desembarcar en la isla pasajeros infectados en Cádiz en el mes de septiembre o durante el viaje. De confirmarse esas noticias, las estimaciones más altas de la población de Española, no necesa- riamente las de Borah, saldrían reforzadas. En los años 80, el historiador de la medicina Francisco Guerra consideró en varios trabajos la posibilidad de que enfermedades europeas hubieran pasado al Caribe en el segundo viaje de Colón. Antes que él, algunos estudiosos habían postulado, en documentos poco fidedignos, la transferencia de patógenos del Viejo y Nuevo Mundo poco después del primer contacto. Más pruebas quedan de la infección de los marineros colombinos por sífilis americana, de su introduc- ción segura en Barcelona cuando Colón informó a los Reyes Católicos de su des- cubrimiento, y de su repentina propagación por Italia y Francia. Guerra fue pues el primero en tratar de identificar las enfermedades y las causas de mortalidad taina tras el segundo viaje de Colón a fines de 1493. Para él, se trató de influenza o peste porcina15. «La primera epidemia americana —escribió— fue descrita por ———— 12 David HENIGE, «On the Contact Population of Hispaniola: History as Higher Mathematics», Hispanic American Historical Review, Vol. LVIII, 1978, pp. 217-37; Numbers from Nowhere. The American Indian Contact Population Debate, Norman, Universidad de Oklahoma, 1998. 13 David HENIGE, «When Did Smallpox Reach the New World (And Why Does It Matter)?», Paul E. LOVEJOY (coord.), Africans in Bondage: Studies in Slavery and the Slave Trade, Madison, Universidad de Wisconsin, 1986, pp. 11-26. 14 Noble David COOK, Born to Die: Disease and New World Conquest, 1492-1650, Cambrid- ge, Universidad de Cambridge, 1998; y N.D. COOK, [8]. 15 Véase Francisco GUERRA, «La epidemia americana de influenza en 1493», Revista de Indi- as, Vol. XLV, Madrid, 1985, pp. 325-47; «El efecto demográfico de las epidemias tras el descu- brimiento de América», Revista de Indias, Vol. XLVI, Madrid, 1986, pp. 41-58; «The Cause of ¿UNA PRIMERA EPIDEMIA AMERICANA DE VIRUELA EN 1493? R. I., 2003, n.º 227 53 dos testigos presenciales en enero de 1494, Cristóbal Colón y Álvarez Chanca, en documentos auténticos, veraces e incontrovertibles»16. A continuación, reexami- naré las fuentes documentales que Guerra exhibió en apoyo de su tesis y revisaré sus conclusiones sobre la transmisión de enfermedades. Más aún, presentaré do- cumentos inasequibles cuando escribió Guerra. Cualquier argumento es fiable si viene respaldado por la calidad de las fuen- tes históricas. De la segunda expedición hay más noticias que de la primera, pero dejan que desear. Guerra echó mano de las cartas de Colón, su «diario» del pri- mer viaje, la famosa carta del doctor Diego Álvarez Chanca, las Décadas de Pe- dro Mártir de Anglería, escritas casi a la par de los hechos. También utilizó textos tardíos: fray Bartolomé de las Casas, Gonzalo Fernández de Oviedo, la biografía de Hernando Colón y la crónica de Antonio de Herrera. Mientras Francisco Gue- rra expurgaba datos sobre enfermedades en esos textos, una nueva generación de investigadores de las letras coloniales reconsideró su veracidad. A fines de los 80 y principios de los 90, Walter Mignolo, Roberto González Echevarría, Rolena Adorno, y Margarita Zamora insistieron en que las historias de los cronistas se hallaban muy influidas por los patrones retóricos de la historiografía española humanista, que la distinción entre hecho real y la ficción no fue siempre precisa y, finalmente, que las narraciones exageraron mucho. Por lo demás, como las narraciones salían de la pluma de europeos que no conocían las lenguas indíge- nas, trazar una imagen fiable de los pueblos americanos fallaba por la base. Para algunos, las narraciones arrojan muy poca luz sobre la realidad de la época. Aje- no al debate historiográfico, Francisco Guerra aceptó como prueba las crónicas, las cartas, y los diarios17. ———— Death of the American Indians», Nature, Vol. CCCXXVI, núm. 6112, 1987, pp. 449-50; «The Earliest American Epidemic: The Influenza of 1493», Social Science History, Vol. XII, 1988, pp. 305-25; y del mismo autor, «The Dispute over Syphilis: Europe versus America», Clio Medica, Vol. XIII, Netherlands, 1978, pp. 39-62. Existe una bibliografía amplia sobre el sifilis; véase Bren- da J. BAKER y George J. ARMELAGOS, «The Origin and Antiquity of Syphilis», Current Anthropo- logy, Vol. XXIX, 1988, pp. 703-37. 16 GUERRA, [15], p. 326. En 1999 Guerra cambió su posición, y enfatizó en la probable intro- ducción del tifus con la segunda expedición de Colón, «Origen y efectos demográficos del tifu en México colonial», Colonial Latin American History Review, Vol. VIII, 1999, p. 283. Véase N.D. COOK, «Sickness, Starvation, and Death in Early Hispaniola», Journal of Interdisciplinary Histo- ry, Vol. XXXII, 2002, pp. 349-86. 17 Véase, por ejemplo, Walter MIGNOLO, «El metatexto historiográfico y la historiografía in- diana», Modern Language Notes, Vol. XCVI, 1981, pp. 358-402; Roberto GONZÁLEZ ECHEVARRÍA, «Humanismo, retórica y las crónicas de la conquista», Roberto GONZÁLEZ ECHEVARRÍA (coord.), Isla a su vuelo fugitiva: ensayos críticos sobre literatura hispanoamericana, Madrid, 1983, pp. 9- 25; Rolena ADORNO, «Nuevas perspectivas en los estudios literarios coloniales hispanoamerica- nos», Revista de Crítica Literaria Latinoamericana, Vol. XIV, 1988, pp. 11-28; y Margarita ZA- MORA, «Historicity and Literariness: Problems in the Literary Criticism of Spanish American Colo- nial Texts», Modern Language Notes, Vol. XII, 1987, pp. 334-46, y ZAMORA, «'If Cahonaboa learns to speak...': Amerindian Voice in the Discourse of Discovery», Colonial Latin American NOBLE DAVID COOK R. I., 2003, n.º 227 54 Guerra centró su estudio en la segunda expedición que contó con diecisiete navíos y unos 1.500 hombres que zarparon del puerto de Cádiz el 25 de setiem- bre de 1493. La flota llegó a las islas Canarias el segundo día de octubre y a la Gomera el cinco del mismo mes. A bordo iban plantas y animales del viejo mun- do que los europeos llevaban para su sustento. Guerra descubrió documentos que revelaban la presencia en los barcos de unas ocho cerdas que habían sido carga- das en el puerto de la Gomera entre el 5 y 7 de octubre. Guerra sostuvo —y no he podido encontrar la fuente que utilizó— que hombres y animales enfermaron a bordo. El viaje de las Canarias al Caribe fue rápido gracias a los vientos propi- cios. La flota llegó ante la costa de la isla Dominica el 3 de noviembre de 1493. En Guadalupe, pasaron luego seis días, desembarcando unos hombres en busca de agua y leña. El 13 de noviembre, otro grupo desembarcó en St. Croix, y el día 18 anclaron ante la costa de Puerto Rico para conseguir bastimientos. Allí per- manecieron hasta el 21 del mismo mes. Según Guerra, los españoles llegaron finalmente a la Española el 28 de noviembre y desembarcaron cerca de la fortale- za de Navidad, donde Colón había dejado a los 38 hombres de la primera expedi- ción bajo protección del cacique Guacanagarí, señor de Marien. Ningún hombre de la primera expedición fue encontrado vivo. Todos ellos habían muerto de hambre, enfermedad o víctimas del odio taino. Al principio de diciembre, Colón mandó construir un asentamiento nuevo en la costa norte, con un puerto más seguro para la flota. Guerra sostuvo que la enfermedad llevada por la flota se extendió casi de in- mediato: «De pronto, al día siguiente 9 de diciembre de 1493, toda la gente co- menzó a caer enferma con temperaturas altas y gran postración, de forma que muy pocos escaparon y aún aquellos que habían salido a explorar, tuvieron que regresar al sentirse enfermos»18. Ganado y gente bajaron a tierra ya infectados. Guerra argumentó que la enfermedad debilitó a los españoles y, rápidamente, se extendió a la población indígena: «Los indios murieron después en número infi- nito»19. El almirante también se enfermó, tanto que no pudo escribir en su diario durante varias semanas. Fernando Colón, en la biografía de su padre, relata que el almirante dejó en blanco tres meses de su diario, desde el 11 de diciembre de 1493 hasta el 12 de marzo de 1494. También señala que, durante la construcción de Isabela hubo gran descontento entre los españoles por el trabajo, escasez de comida, enfermedad y la falta de riquezas fáciles20. ———— Review, Vol. VIII, 1999, pp. 191-205. Para el viaje de descubrimiento es útil la obra de David HENIGE, In Search of Columbus: the Sources for the First Voyage, Tucson, 1991. Véase también James C. MURRAY, Spanish Chronicles of the Indies: Sixteenth Century, New York, 1994, pp. 6-13. 18 GUERRA, [15], 338. 19 Idem. 20 Fernando COLÓN, The Life of the Admiral Christopher Columbus by his Son Ferdinand, Benjamin Keen (ed. y trad.), Brunswick, 1992, pp. 121-22. ¿UNA PRIMERA EPIDEMIA AMERICANA DE VIRUELA EN 1493? R. I., 2003, n.º 227 55 En 1985, Guerra se hallaba convencido de que las evidencias que manejaba eran sólidas: «Las descripciones coetáneas de la primera epidemia ocurrida en América, su concordancia en cuanto a los signos clínicos básicos, la confirma- ción de algunos detalles complementarios y los hechos epidemiológicos posterio- res que ahora se exponen permiten afirmar que la epidemia aparecida en la isla de Santo Domingo en 1493, principal responsable de la desaparición de los indíge- nas americanos en el cuarto siglo posterior al Descubrimiento, fue la influenza suina»21. De ahí, concluyó que los síntomas de las enfermedades provenientes de la documentación eran aceptables: «Todas las fuentes concuerdan en que la epi- demia que se desató en la Isabela el 9 de diciembre de 1493 era una enfermedad infecciosa aguda, extremadamente contagiosa y con breve período de incubación, que afectaba a grupos amplios de población simultáneamente y se caracterizaba por fiebre elevada, gran prostración y una mortalidad apreciable»22. Los síntomas descritos por Guerra pueden sin embargo responder a varias enfermedades y, en cambio, faltan aquellos asociados normalmente con la influenza. Guerra continúa que: «aunque en estas primeras descripciones no aparecen aún las manifestaciones respiratorias, a medida que la enfermedad pasa a la Tierra Firme, las narraciones van incorporando sintomatología adicional, romadizos, catarros, dolor de costado, y en México se mencionan por primera vez epistaxis»23. En realidad, los textos con síntomas claramente asociados con la influenza pertenecen a la segunda década del siglo XVI y a Tierra Firme y no a las islas. Para el continente encontramos enton- ces descripciones precisas y confiables que permitirían concluir a un médico mo- derno que se trata de una enfermedad respiratoria. La evidencia de que la influenza porcina entró en 1493 no convence pues a los detractores de Guerra. Existen documentos sobre el segundo viaje que se le escaparon a Guerra, unos publicados y otros descubiertos después. Con motivo del quinto centenario colombino, se editaron bastantes biografías del almirante y documentos de su vida y época24. En este aporte historiográfico, la obra de los historiadores Con- suelo Varela y Juan Gil resulta particularmente importante. En su colección de 1984 transcriben cartas a Colón, así como relaciones y otros documentos sobre el almirante. De la segunda expedición son la carta del doctor Chanca al cabildo de Sevilla, la relación de Guillermo Coma, una relación detallada de Miguel de Cú- neo, el texto de Pedro Mártir de Anglería, y media docena más de cartas y rela- ciones. La contribución más sustantiva se encuentra sin embargo en el libro de Gil y Varela, Cristóbal Colón. Textos y documentos completos, en edición de ———— 21 GUERRA, [15], pp. 325-26. 22 Ibidem, p. 338. 23 Ibidem, p. 339. 24 William D. PHILLIPS y Carla Rahn PHILLIPS, The Worlds of Christopher Columbus, Cam- bridge, Universidad de Cambridge, 1992; Miles H. DAVIDSON, Columbus Then and Now: A Life Reexamined, Norman, Universidad de Oklahoma, 1997; y Felipe FERNÁNDEZ-ARMESTO, Columbus, New York, 1991. NOBLE DAVID COOK R. I., 2003, n.º 227 56 1992 y posteriores25. En esta obra, Gil y Varela ofrecen nuevos documentos, incluida una «relación» del segundo viaje, cuyo texto no se hallaba disponible cuando Guerra escribió en 1985. La mayoría de los documentos proviene de un fondo en poder de un librero de la ciudad de Tarragona procedente de una familia de Mallorca. En diciembre de 1985, Mercedes Dexeus, entonces Directora del Centro del Tesoro Bibliográfico y Documental de España, invitó a Juan Gil y Consuelo Varela a inspeccionarlo, en particular las nueve cartas de Colón dirigi- das a los Reyes Católicos entre 1492 y 1503. Las cartas eran copias de mediados del siglo XVI. Seis de ellas eran desconocidas antes26. Establecida su autentici- dad, el gobierno español las compró y ahora se hallan depositadas en el Archivo General de las Indias en Sevilla. En un estudio reciente, Miles H. Davidson con- cluyó que «estudiosos españoles aceptan estos documentos del siglo XVI como copias de las cartas escritas por Colón»27. David Henige evaluó la primera carta del grupo de nueve y declaró que «Para fines de este artículo, su autenticidad se presume desde el principio, por más que un análisis posterior pueda llevarnos a reconsiderarla. La autenticidad nunca puede ser probada por completo con do- cumentación tardía»28. Los textos fueron editados en seguida en España29. ———— 25 En Juan GIL y Consuelo VARELA (eds.), Cartas de particulares a Colón y relaciones coetá- neas, Madrid, Alianza Editorial, 1984, hay por ejemplo una carta de Miguel Muliart a Colón, frag- mentos de cartas de Simón Verde, una carta de Juan de'Bardi, una probanza que Cuba era Tierra Firme, una carta de los Reyes Católicos a Sebastián de Olano, un memorial de la reina Isabela a Jua- noto Berardi, una carta de un Mosén a Colón. De la obra de Juan GIL y Consuelo VARELA (eds.), Cristóbal Colón. Textos y documentos completos, 2ª ed. ampliada, Madrid, Alianza Editorial, 1997; hay una primera edición de 1982, seguida por otra de 1984, en cuyo prólogo Varela indica haber introducido correcciones e incluido documentos, en especial el texto de Las Casas sobre la tercera expedición. En 1992, la misma editorial publicó una edición ampliada y revisada, con nuevo prólogo de Gil y Varela, reimpresa en 1997. La multiplicidad de ediciones ha confundido al punto de que varias bibliotecas no tienen la edición más importante, que es la segunda ampliada de 1992. 26 GIL y VARELA, [25], 1997, pp. 76-79. 27 DAVIDSON, [24], p. xxii. 28 David HENIGE, «Finding Columbus: Implications of a Newly Discovered Text», Cecil H. CLOUGH y P.E.H. HAIR (coords.), European Outthrust and Encounter: the First Phase, c.1400-c.1700, Essays in Tribute to David Beers Quinn on His Eighty-Fifth Birthday, Liverpool, 1994, p. 145. 29 Antonio RUMEU DE ARMAS (ed.), Libro copiador de Cristóbal Colón, 2 vols., Madrid, 1989. DAVIDSON, [24], pp. xxi-xxiii, escribe que «a facsimile and transcription of this copybook was published by César Olmos in two volumes, also in 1989». En una nota, Juan GIL, [25], 1997, pp. 77-78, critica que la edición de Rumeu de Armas de los nueve documentos nuevos de Colón es seriamente deficiente. Falta la edición, según Gil, «por incuria no sé de quién, al ángulo superior derecho de las páginas 63-72, roto que, aunque ya desgajado, se conservaba todavía en las fotoco- pias que pusieron a nuestra disposición.... Es lástima que la edición príncipe de las nuevas cartas colombinas no haga honor a la ciencia y sabiduría acreditada del ilustre historiador, que preparó a lo que parece el texto aprisa y corriendo, sin tratar de calar su verdadero significado ni de solucio- nar los problemas que plantea. A veces este apresuramiento hace que Rumeu entienda lo contrario de lo que dice el original». Gil lamenta que encontró en el texto: «monstruos tan bizarros o más que los susodichos piafan doquier sin freno ni castigo en la transcripción del Sr. Rumeu, para pasmo e ¿UNA PRIMERA EPIDEMIA AMERICANA DE VIRUELA EN 1493? R. I., 2003, n.º 227 57 Esta «relación del segundo viaje» constituye el documento crítico en favor de nuestro argumento, al que se suman varias cartas. Esta relación contiene la pri- mera noticia sobre la existencia de viruela en Cádiz durante los preparativos del viaje. El almirante escribió que, cuando la segunda flota se acercó a la zona de Samaná, él mandó una caravela para «que pusiese allí en tierra uno de los cuatro indios que allí avía tomado el año pasado, el cual no se avía muerto como los otros de viruelas [subrayado mío] a la partida de Cáliz,..»30. El texto original es taxativo y designa a la viruela por su nombre. Si el documento es auténtico, al menos tres de los cuatro indios embarcados en Cádiz el día 25 de setiembre de 1493 para la Española se hallaban infectados con viruela. El término «a la parti- da» es sin embargo discutible, pues puede referirse a una acción en progreso, sin especificar si se sitúa al principio, en medio o al final del trayecto. Igual cabe pensar que los muertos perecieron en los preparativos para la salida, al entrar en los barcos, o al salir del puerto. Aunque alguno pudo fallecer antes de abordar el barco, es probable que otros murieran durante el trayecto, Si hubieran muerto en el puerto, Colón seguramente habría escrito murieron «en Cádiz, antes de la par- tida». Por lo que sabemos de la etiología de viruelas, habría sido difícil no infec- tar a sus compañeros a bordo31. La relación del segundo viaje y otros textos nos mueven a reconstruir la his- toria de los indios que Colón llevó a España para autentificar ante los reyes sus «descubrimientos», jóvenes varones lucayos y haitianos a quienes intentó enseñar español para que sirvieran de lenguaraces a su retorno al Caribe. Gonzalo Fer- nández de Oviedo, nacido en Madrid en 1478, y nombrado paje al servicio del Príncipe Juan a la edad de trece en la corte de los Reyes Católicos vió a estos indios al llegar. Años después recordó que en su decimoquinto año, «estuve en Barcelona cuando fué ferido el Rey como he dicho; e vi allí venir al Almirante, don Cristóbal Colom, con los primeros indios que destas partes fueron en el pri- ———— intranquilidad del lector. Y lo que es peor, esas variantes falsas y aberrantes encuentran de vez en cuando anatema precipitado o defensa inportuna». 30 GIL y VARELA, [25], 1997, p. 242. 31 Hay varios documentos en el Archivo Histórico Provincial de Sevilla que ayudan a aclarar la diferencia entre los términos «a la partida», y «de partida». En la sección de Protocolos por ejemplo, hay docenas de documentos cada año sobre fletamiento de naos para las Indias. Los viaje- ros firmaron los contratos semanas antes de la salida de la flota, cuando las naos se hallaban surtas en Sanlúcar de Barrameda. La flota en preparativos es referida como «de partida». Un ejemplo: el 12 de junio de 1585 el licenciado Pedro Martínez de Guadalupe y su esposa doña Maria de Solis firmaban una obligación con el Capitán Pedro de Meraz, debiendole 170 ducados «los cuales son por razon de los fletes que aveis de aber e nos llevais... a Nueva España... en vuestra urca en esta presente flota que esta de partida para la dicha Nueva España» (nº 2380, 555v-57v). Cuatro dias después [14 de junio de 1585] Diego Gómez dió poder al Capitán Pedro Sánchez Escudero para llevar a Nueva España para vender allí a «una mi esclava negra llamada Catalina... que yo llevaba cargada en la nao La Catalina que se perdió a la salida de la barra de Sanlúcar de Barrameda y la pueda pasar en otra cualquier nao» (nº 2380, 587r-v). Es así más factible que el término «a la sali- da», o «a la partida», indicó que ya estaba en progreso el viaje, en su primera fase. NOBLE DAVID COOK R. I., 2003, n.º 227 58 mero viaje e descubrimiento. Así no hablo de oídas en ninguna destas cuatro cosas, sino de vista....»32 Oviedo escribe que Colón regresó de Española con «nueve o diez» indios con la intención de presentarles a los reyes, y para que ellos «viesen la tierra de los cristianos e aprendiesen la lengua, para que cuando aquestos acá tornasen, ellos e los cristianos que quedaban encomendados a Goa- canagarí, y en el castillo que es dicho de Puerto Real, fuesen lenguas e intérpretes para la conquista e pacificación e conversión destas gentes»33. Oviedo relató que uno de los indios murió en el viaje a España. Después de desembarcar en Palos, Colón dejó uno o dos que se hallaban dolientes y llevó consigo a la corte en Bar- celona «los seis que iban sanos»34. Bartolomé de las Casas, nacido en Sevilla en 1474, vio también, a los dieci- nueve años, la llegada de los indios americanos a España. Años después escribió que Colón había salido para Barcelona con siete indios «que le habían quedado de los trabajos pasados, porque los demás se le habían muerto; los cuales yo vide entonces en Sevilla y posaban junto al arco que se dice de las Imágenes, a Sant Nicolás»35. El cronista Andrés Bernal [Bernáldez], clérigo de la Villa de los Pa- lacios entre 1488 y1513 y capellán del arzobispo de Sevilla, Diego de Deza, es posible que igual los viera. Tuvo acceso a las cartas de Colón y a la carta del doctor Chanca. «Descubierta la tierra susodicha por el dicho Cristóbal Colón, se vino á Castilla, —escribió— e llegó a Palos á veinte y tres de marzo, año de 1493 años, y entró en Sevilla con mucha honra á treinta y uno de marzo, Domingo de Ramos, bien provada su intencion, donde le fué fecho buen recibimiento; trujo diez indios, de los cuales dejó en Sevilla cuatro, y llevó á Barcelona á enseñar á la Reyna y al Rey seis, donde fué muy bien recibido....»36 Fernández de Oviedo refiere, por su parte, las actividades de los indios en Barcelona. Seis de ellos, «de su propia voluntad, e consejados», pidieron ser bau- tizados. El Rey Fernando y la Reina Isabela fueron sus padrinos, junto con el primogénito, el príncipe Juan. Uno de los indios, «que era el más principal de- llos», pariente del cacique Guacanagarí, le bautizaron con nombre del rey; le llamaban Fernando de Aragón. A otro le llamaban Juan de Castilla en honor del príncipe Juan, el cual pidió quedarse en servicio del príncipe, y se puso bajo la protección del mayordomo del príncipe, un tal Patiño. Según Fernández de Ovie- ———— 32 Gonzalo FERNÁNDEZ DE OVIEDO, Historia general y natural de las Indias, Juan PÉREZ DE TU- DELA BUESO (ed.), 6 vols., Madrid, 1959, Vol. I, p. 30; MURRAY, Spanish Chronicles, pp. 100-101. 33 FERNÁNDEZ DE OVIEDO, [32], Vol. I, p. 28. 34 Ibidem, Vol. I, p. 29. 35 Bartolomé de las CASAS, Historia de las Indias, Agustín MILLARES CARLO y Lewis HANKE (eds.), 3 vols., México, 1952, Vol I., p. 332. 36 Andrés BERNÁLDEZ, Historia de los reyes católicos D. Fernando y Doña Isabel, 2 vols., Sevi- lla, 1870, Vol I, pp. 368-69; Juan GIL, «Noticia de Andrés Bernal, cura de los Palacios», Juan GIL y Consuelo VARELA (eds.), Temas colombinos, Sevilla, 1986, pp. 1-5, nos da el apellido correcto del cronista; por las fuentes de Bernal, véase GIL y VARELA, [25], 1984, pp. 20-23. ¿UNA PRIMERA EPIDEMIA AMERICANA DE VIRUELA EN 1493? R. I., 2003, n.º 227 59 do, «al cual indio yo vi en estado que hablaba ya bien la lengua castellana; e des- pués, dende a dos años, murió»37 y agrega: «desde a pocos días, se lo llevó Dios para í....»38 Un tercer indio tomó el nombre de Diego Colón, como el hijo del almirante. A principios de 1493, estos indios habían pues sobrevivido, a pesar de la falta de comida y de la dificultades del viaje a España. Uno había muerto ca- mino de Europa39. Varios testigos del segundo viaje coinciden en que siete de los diez indios americanos traídos a España, embarcaron en Cádiz el 25 de setiembre de 1493 con destino a la Española40. La mayoría murieron antes de llegar al Caribe. En la «relación del segundo viaje», Colón anota que acercándose a la costa de la isla decidió dejar a uno de los cuatro lenguas de Samaná que fueron cautivados el 15 de enero de 1493 y que llevó consigo de regreso a Europa41. Por este texto nuevo, sabemos que tres de los cuatro indios de Samaná habían fallecido, víctimas de las viruelas. De los siete isleños que zarparon de España cinco murieron en el viaje, por lo que quedaron dos para intérpretes: «los cuales avían quedado vibos de siete que metimos en el puerto, que los çinco se nos murieron en el camino, los cuales escaparon a uña de caballo»42. El doctor Chanca, autor de las líneas ante- riores, conocía bien el número de indios que salieron de Cádiz. Tal vez viajó en el mismo barco que ellos. La carta dirigida al cabildo de la ciudad de Sevilla fue mandada en la flota de Antonio de Torres que salió de la Española a fines de enero de 1494. Los españoles procuraron preservar la salud de los intérpretes, puesto que contaban con ellos para el éxito de la expedición. Para la historia de la medicina americana, es lástima que el doctor Chanca no describiera los síntomas de los indios que enfermaron. Recuérdese que estos indios habían sobrevivido a un viaje por mar a España y a dos por tierra, de ida y vuelta a Barcelona. Debie- ron pues ser fuertes y hallarse bien alimentados. Es pues de suponer que fueron contagiados por una o más enfermedades antes de salir o que los bastimientos se hallaban contaminados. ———— 37 FERNÁNDEZ DE OVIEDO, [32], Vol. I, p. 31. 38 CASAS, [35], Vol. I, p. 343. 39 FERNÁNDEZ DE OVIEDO, [32], Vol. I, pp. 46-47. 40 FERNÁNDEZ DE OVIEDO, [32], Vol I, p. 31, relata que seis estuvieron abordo. 41 «Después que todo lo ovieron resgatado, vinieron diz que cuatro mancebos a la caravela, y pareciéronle al Almirante dar tan buena cuenta de todas aquellas islas que estavan hazia el Leste, en el mismo camino qu'el Almirante avía de llevar, que determinó de traer a Castilla consigo». El dia siguiente los dos barcos tomaron vela, en dirección de España. El almirante, en la versión de Las Casas, escribió que zarparon temprano en la mañana de miércoles, del golfo de las Flechas, y que: «La derrota diz que le avía(n) mostrado unos indios de aquellos cuatro que tomó ayer en el puerto de las Flechas». GIL y VARELA, [25], 1997, p. 198. Al cruzar el Atlántico, y entrar al puerto de Lisboa, Colón firmó una carta el dia 4 de marzo de 1493 a los Reyes Católicos con la noticia de sus descubrimientos. Al final de la carta, el almirante escribió: «E agora traigo indios conmigo que an estado en las unas y en las otras y saven la lengua y las costumbres». id., p. 235. 42 GIL y VARELA, [25], 1984, pp. 171. NOBLE DAVID COOK R. I., 2003, n.º 227 60 El cometido principal del doctor Chanca era preservar la salud de los euro- peos durante el viaje y en la isla. En carta a los reyes, Colón certificó los esfuer- zos realizados por el médico. Su dedicación no quita que el doctor Chanca inter- viniera además en la segunda expedición por interés propio pues también era hombre de negocios, como tantos otros médicos de la época43. Su sabiduría abar- caba también el arte de los metales y le interesaban las minas y su riqueza. En carta al cabildo de Sevilla, describió la gente, flora, fauna y riquezas de la isla. Sus referencias en la carta a enfermedades no son profundas. Sólo se refiere a la salud de los europeos y a las dificultades con que tropezaron al principio hasta que se acostumbraron al nuevo ambiente. Al final de su carta, después de descri- bir las minas de oro de Niti y Cibayo dice que hubieran producido más oro, a no ser: «porque la gente a adoleçido en cuatro o çinco días el terçio della. Creo la mayor causa d'ello a sido el trabajo e mala pasada del camino, allende de la di- versidad de la tierra, pero espero en Nuestro Señor que todos se levantaran con salud»44. ¿Por qué murieron los taino y otros indígenas? Cinco de los siete indios salidos de Cádiz hacia la Española fenecieron. De ellos, al menos tres de los cua- tro indios de Samaná cayeron víctimas de viruelas. Otro sobrevivió y regresó a su pueblo. Al decir de Colón, «Este se fue a la tierra muy alegre, diziendo qu'él bien hera muy fuerte porque era christiano y que tenía a Dios en sí y rezando el Ave María y Salve Regina y diçiendo que, luego qu'él estuviese tres días en su casa, qu'él bernía a Çibao adonde yo estuviese»45. El almirante agrega un dato signifi- cativo para la posible difusión de una epidemia: «Le di muy bien de vestir y otras cosas qu’el disese a sus parientes»46. El doctor Chanca al referirse a la provincia de Samaná escribió que Colón puso en tierra «uno de los indios qu'el otro viaje avían llevado, bestido e con algunas cosillas qu'el Almirante le avía mandado dar»47. El cronista Andrés Bernal repite esta noticia, tal vez copiando la carta de Chanca48. Pedro Mártir usó, en abril de 1494, las relaciones que hicieron los via- jeros a su regreso a España, y reitera que Colón se detuvo en Samaná y que «Desde allí había zarpado el Prefecto a la vuelta de su primer viaje con aquellos diez indígenas que mencionamos arriba. De ellos sólo quedaban tres con vida, al haber perecido los demás por la mudanza nociva de tierras, clima y alimenta- ción»49. Mártir escribió que Colón decidió desembarcar uno de los indios, y «los otros dos, por la noche, se tiran al mar a escondidas, y escapan a nado».50 Mártir ———— 43 Ibidem, p. 170. 44 Ibidem, p. 173. 45 GIL y VARELA, [25], 1997, p. 242. 46 Idem. 47 GIL y VARELA, [25], 1984, p. 165. 48 BERNÁLDEZ, [36], Vol. II, p. 19; «echó el Almirante en tierra uno de los indios que el otro viaje habia traido á España, vestido y con algunas cosillas». 49 GIL y VARELA, [25], 1984, p. 56. 50 Idem. ¿UNA PRIMERA EPIDEMIA AMERICANA DE VIRUELA EN 1493? R. I., 2003, n.º 227 61 anota que el almirante no se preocupó demasiado de la huida, porque no conocía todavía lo pasado con los españoles dejados en Navidad en el primer viaje. Pensó que varios de ellos estarían allí para servir de lenguaraces. Los síntomas que producen las viruelas eran conocidos entonces y los espa- ñoles del siglo XVI los anotaron en sus textos de medicina. Los españoles solían consultar la obra «clásica» del médico persa, Rhazes (ca. 865-923 or 932 AD), autor de un tratado De variolis et morbillis que identificaba correctamente el sarampión y las viruelas51. Los médicos españoles de la época de Colón también eran capaces de distinguir entre casos concretos de sarampión o de viruelas. El lexicógrafo Sebastián de Covarrubias Orozco, nacido en Toledo en 1539, incluyó las dos enfermedades en su diccionario, señalando que las dos eran normalmente enfermedades de los niños52. La tasa de mortalidad producto de las viruelas solía ser alta, variando con la forma, condiciones de salud, edad y sexo. En mujeres embarazadas era especialmente elevada. Cabe incluso pensar que la viruela fue endémica en grandes ciudades europeas como Barcelona o Sevilla. En tales con- diciones, sus brotes afectaban mayormente a la población pre-adulta. La viruela es una enfermedad viral transmitida por contacto directo con materias portadoras del virus, que entra en el cuerpo humano por el tracto respiratorio y tiene un pe- ríodo de incubación de ocho a diez días, aunque algunos especialistas le atribu- yan hasta dieciséis días. El tiempo entre el primer contacto con el virus hasta una cura completa puede durar un mes, pero las costras conservadas en buenas condi- ciones pueden contagiar hasta un mes más. Hay quien postula aún más en el es- puto seco. Los síntomas clínicos de la viruela, tal como los conocemos, son fie- bre, malestar y en el tercer día, una erupción general que desarrolla desde pápulas hasta pequeñas vejigas y, finalmente, pústulas. Quienes sobrevivían a un ataque de viruela solían quedar con la piel marcada de hoyos. Muchos eran los que asi- mismo quedaban ciegos. La viruela se transmite fácilmente entre seres humanos por individuos enfermos o convalecientes a través de secreciones de la garganta y de la nariz o por lesiones. Un solo tosido dispersa el virus entre muchos pasajeros en navíos como los usados en la segunda flota de Colón. La viruela es contagiosa hasta que las lesiones sanan por completo y las costras caen53. En una población que nunca ha estado en contacto con las viruelas, como fue el caso de los indíge- nas americanos, casi el 100 por ciento de la población es susceptible de contraer- las. En un estudio de la epidemia de viruelas que estalló en Arequipa, Perú, en 1589, Joralemon estimó que aproximadamente el 80 por ciento de los indios fue- ron infectados. La tasa de mortalidad registrada fue de treinta por ciento. La ———— 51 BORAH, [1], «Introducción», p. 20. 52 Sebastián de COVARRUBIAS OROZCO, Tesoro de la lengua castellana o española (1611), Madrid, 1994. 53 Roderick E. MCGREW, Encyclopedia of Medical History, London, 1985, p. 313; C.W. DIXON, Smallpox, London, 1962. NOBLE DAVID COOK R. I., 2003, n.º 227 62 misma epidemia azotó la comunidad indígena de Aymaya, Charcas, en 1590. Brian M. Evans notó que en ese año registraron 194 entierros, de los cuales 147 fueron causados por la viruela. Evans calcula que «entre el veinte y el veinticinco por ciento de la población total» murió en esa epidemia54. ¿En que momento fueron contagiados los taino de Samaná? ¿Mientras residieron en España? Algu- nos mostraron ya síntomas mientras deambulaban por Cádiz. Cuatro o cinco murieron antes de regresar a su tierra. Colón especificó que tres de los cuatro de Samaná murieron por viruelas. El doctor Chanca informa paladinamente que siete estuvieron mortalmente enfermos en el viaje de regreso al Caribe y que solo dos apenas sobrevivieron. La salud de los lenguaraces era fundamental para el éxito de la expedición. Colón cuidó de llevar consigo indígenas jóvenes para enseñarles la lengua castellana. Les daban comida, ropa y les curaba para que sobrevivieran. A pesar de todo, tres de los cuatro indios de Samaná murieron, víctimas de viruelas. Cinco de siete murieron en la travesía a las Indias. Por otra parte, ahora sabemos que hubo un foco de infección en Cádiz en setiembre de 1493. Según lo que conocemos de su modo de propagación, la facilidad y rapidez de la transmisión del virus, hay que suponer que algunos jóvenes europeos tam- bién fueron contaminados por el virus en Cádiz. Si hubo tres indios infectados de viruelas mientras duraban los preparativos del viaje en Cádiz, hubiera sido casi imposible que no hubieron contagiado a otras personas de los 1.500 pasajeros listos en un contacto asiduo e intenso, para embarcar en 17 barcos. Entre ellos debió haber algunos susceptibles a contraerla55. Las preguntas se acumulan, pero la documentación es poco locuaz. Cabe su- poner que el virus se halló presente en uno o más de los navíos de la segunda expedición y que algunos pasajeros cayeron enfermos. Para evitar la pérdida de los siete lenguaraces de una vez el almirante debió repartir los indios entre al menos dos barcos.56 En una flota de más de 1.500 personas es factible que viajara gente nunca infectada con viruelas antes. Para que estallara un brote existe pues probabilidad estadística. De todos modos, los regalos que Colón entregó a los parientes y amigos del lenguaraz desembarcado en Samaná, en particular la ropa, pudieron transmitir el virus a la población indígena de la isla. La desaparición de los indígenas de las islas del Caribe es compleja y nunca se llegará más que a una aproximación a la realidad. Testimonios hay que prue- ———— 54 Donald JORALEMON, «New World Depopulation and the Case of Disease», Journal of Anthro- pological Research, Vol. XXXVIII, 1982, pp. 108-27; y Brian M. EVANS, «Muerte en Ayamaya, Alto Perú, 1580-1623», LOVELL y COOK (coords.), [8], p. 174. 55 Adultos susceptibles también enferman de viruelas. Hay varios ejemplos: la reina Elizabeth de Inglaterra, enfermó de viruelas en octubre de 1562, y sobrevivió. La reina Mary, esposa de William of Orange, murió en diciembre de 1694, solo una semana después de mostrar los síntomas de viruelas, véase Donald R. HOPKINS, Princes and Peasants. Smallpox in History, Chicago, 1983, pp. 1-3; 38-39; 258. 56 GIL y VARELA, [36], pp. 17-23. ¿UNA PRIMERA EPIDEMIA AMERICANA DE VIRUELA EN 1493? R. I., 2003, n.º 227 63 ban la introducción temprana de enfermedades europeas a la cuenca del Caribe. No es pues imposible que la segunda flota de Colón introdujera la viruela en la Español. El almirante menciona viruelas y modorra en la relación de la segunda expedición. El doctor Chanca y otros hacen referencias a fiebres, dolencias, en- fermedades, hambre, pero sin usar términos exactos. La viruela, como tal, no figura en los textos, pero su falta no debe sorprender por las condiciones y las circunstancias del momento. Al aludir a enfermedades, los europeos se interesan más por las suyas que por las de las comunidades indígenas. Tres décadas más tarde, la viruela fue mencionada al pasar a la costa mexicana. La pandemia ini- ciada en 1518 en el Caribe, que terminó en los Andes sudamericanos es bien conocida. Son muchas las descripciones coetáneas de los síntomas, del impacto y de los niveles de mortalidad. En cuanto a las dolencias, es posible que algunos indios hayan sido víctimas de la influenza porcina, como sostuvo Francisco Guerra. Quizá fuera otra, el tifus llevado por soldados o marineros infectados antes de embarcar en Cádiz o, si no, una encephalitis lethargica. El agua, y las viandas contaminadas o los parásitos intestinales las hayan podido causar o que las viruelas fueran transmitidas por un lenguaraz, así como por la ropa u otros objetos regalados a sus paisanos. Tampo- co podemos descartar que uno o más de los europeos de la flota se hallara infec- tado en Cádiz y llevara las viruelas al Caribe. No existe por consiguiente causa única de la mortalidad de los taino y de los europeos en los primeros años, sino que se sumaron a este efecto aflicciones e infecciones, amén de la escasez de comida, el trabajo forzado, más el enfrentamiento armado. De los primeros desaparecieron más que de los segundos. Bartolomé de las Casas, cuyo padre y tío estuvieron con Colón en la segunda expedición, y con larga experiencia personal en la isla, en 1502, describió lo ocurrido allí en los primeros años. En su Brevísima relación..., describe las matanzas, las calamidades experimentadas en las minas, la agonía en suma de una población indígena al borde de su extinción. Pero no se traba sola- mente de crueldad: «Vino sobre ellos [indios] tanta de enfermedad, muerte y mise- ria, de que murieron infelicemente de padres y madres y hijos, infinitos. Por mane- ra que con las matanzas de las guerras y por las hambres y enfermedades que pro- cedieron por causa de aquéllas y de las fatigas y opresiones que después sucedieron y miserias y sobre todo mucho dolor intrínseco, angustia y tristeza, no quedaron de las multitudes que en esta isla de gentes había desde el año de 1494 hasta el de 1496, según se creía, la tercera parte de todas ellas»57. Desde el primer momento, los europeos temieron por la supervivencia de los indios. En una carta que Morelletto Ponzone escribió a la Marquesa de Mantua en Ferrara, Italia, el 11 de junio de 1494, se refiere a los indígenas y a su condi- ción: «Sono homini de statura nostra,... e tuti vano nudi, homini e donne; e ne à ———— 57 Bartolomé de LAS CASAS, Historia de las Indias, Vol. I, pp. 419-20; Brevísima relación de la destrucción de las Indias, Consuelo VARELA (ed.), Madrid, 1999. NOBLE DAVID COOK R. I., 2003, n.º 227 64 menato a lo re de Spagnia.12. e.4. donne; e sono tanto debili de natura, se ne infirmò.2. in Sivillia per modo che li medici non intendeno sua infirmità e non ge trovano polso, e sono morti»58. La mención que Bartolomé de las Casas hace en su Historia de las Indias de que desde 1494 y 1496 «no quedaron de las multitu- des..., la tercera parte de todas ellas» proviene, como se inclina a creer Gil y Va- rela, de una de las cartas nuevas editadas por ellos. Al describir los acontecimien- tos de fines de 1495, Colón escribió que en el distrito de Çibao habían unos 50.000 naborías, pero hasta ahora no habían tributado, y «mas la neçesidad y hambre a sido causa de la muerte de más de los dos terçios d'ellos, y no es acava- do ni [se save] cuándo se puede esperar el fin,....»59 Al final de su informe, Colón señala que en el Çibao «arranacaron los indios los panes y destruyeron la tierra, pensando que la neçesidad nos hecharía». Mas adelante continúa que «las aguas del çielo no les an acudido a sus panes y simientes y, çierto, faltan las tres o cua- tro partes de la provinçia,...»60. Las causas del desastre que Colón y su entorno recogen en cartas y relaciones incluyen todos los factores posibles. Si la caída fue como la describen, la isla debió contar con una población bastante densa a la llegada de los españoles. Ahora bien, su magnitud es poco probable que llegara a los casi ocho millones postulados por Borah y Cook, ni a cuatro millones, pero tampoco a los 60.000 o 100.000 propuestos por otros investigadores. Aunque el tamaño de esa población resulte discutible y nunca podrá ser conocida con certe- za, Borah y Cook han contribuido a estimular el debate y la búsqueda de nueva documentación sobre la Española. We analyze the current debates about the origins of humans in the Western Hemisphere. The work of physical anthropologists and geneticists have forced archeologists to re-examine tradi- tional hypotheses. The dating of the mankind&rsquo;s migration across the Bering Straits has been pushed back another 10,000 to 15,000 years before the present. At the same time the ties between Paleoindians and East Asians has been further supported and the model of big game hunting as the original pattern of mankind&rsquo;s socio-economic organization in the Americas has been chal- lenged by new research from South American sites. KEY WORDS: Indigenous population, smallpox, epidemies, La Española. ———— 58 Raccolta di documenti e studi pubblicati dalla R. Commissione Colombina nel quarto cente- nario della scoperta dell'America, Rome, 1892 y ss., Vol. III, núm. 1, p. 169. Una sección del texto está incluida en GIL y VARELA, [25], 1984, p. 258; doy la gracias a los profesores Gil y Varela por la copia italiana. 59 GIL y VARELA, [25], 1997, p. 321. 60 Ibidem, pp. 328-29. 
work_qst4g5h7m5ch5immlebljbmamu	----	Optical Environment in Gemini Space Flights In their report [Science 153, 297 (1966)] Ney and Huch give a detailed discussion of the scattering mechanisms they think may be responsible for the inability of orbiting astronauts to see stars in the daytime. They overlook an additional cause of the difficulty- scattering in the observer's eye. The in- tensity of ocular scattering is sufficient by itself to make impossible the obser- vation of first-magnitude stars if the level of illumination on the face of the observer exceeds about 1000 lux (100 ft-c). Unless the viewing window of the space capsule is protected by a conical sunshade it will be difficult to reduce the interior illumination below this critical figure, even if the other window is obscured by a blind, as 1000 lux is only about 1 percent of the outdoor daylight level. Tlhis fogging effect of ocular scat- tering is often experienced by city- dwelling astronomers who find that it is impossible to see the Milky Way within about 90 deg of the direction of a single street lamp that produces an ambient light level only about 0.01 per- cent that of daylight. That ocular scat- tering, rather than atmospheric scat- tering, produces the observed loss of contrast in the visual image of the sky can be shown by stepping into the shadow of the lamppost. The Milky Way can be seen immediately. EDWARD ARGYLE Dominion Radio Astrophysical Observatory, Penticton, B.C., Canada 10 August 1966 Martian and Lunar Craters In the next decade, it seems, the study of Mars may include as much prejudice and diversity of unqualified opinion as interpretation of the moon has suffered in the past. With the im- minent advent of manned exploration of the moon, the interpretation of the lunar surface is approaching a definitive phase, and it would seem a pity if the same unfounded prejudices and fallacies regarding the lunar surface were trans- ferred to Mars prior to direct explora- tion of the planet. Diversity of opinion, however, is to be welcomed as a stim- ulus to new fields, provided individual opinions are schooled with a variety 354 of experience and provided the ex- planations for a given set of observa- tions are scientifically acceptable. This aipproach is now particularly impor- tant in the field of planetary science, which calls for a combination of many different disciplines-for example, astro- nomy, physics, geology, and meteor- ology. With these points in mind we wish to comment on a paper by Opik (1) in a recent issue of Science. Citing Fielder (2), Opik states that attempts to ascribe a volcanic origin to Martian features can be "ignored completely." Such a statement made in connection with the evaluation of photographs that are so recent as the Mariner photographs is surprising! Decades of study of lunar photo- graphs of a similar type have not re- sulted in lunar volcanism's being dis- regarded by impact-hypothesis ad- herents of even Baldwin's (3) standing. Indeed, as far as the moon is concerned, the general tendency is for opinion to be swaying over to admit an increas- ing proportion of endogenic features among features previously considered impact phenomena (4, 5). Opik goes on to say that the presence of volcanic formations on the moon or Mars remains to be proved. Many authors, ourselves included, would dissent from this view. The evidence for lava flows and volcanic craters on the moon is indisputably strong (see, for example, 5). Fielder's note (2) on Martian volcan- ism was based on the following argu- ment (6). Many years of study have shown that the moon is partly volcanic; the ring structures, craters, and linea- ments of Mars are remarkably like those of the moon; therefore Mars has probably been shaped in part by volcanic forces. This view contrasts with Opik's categorical statements (1) against volcanism, which are not adequately backed, in his articles, by destructive or even critical arguments. Opik's next statement is equally misleading: "The lunar and Martian craters bear close resemblance to ter- restrial meteor craters and are very different in structure from terrestrial volcanoes and calderas." First, he fails to recognize that the lunar craters and rings cannot be grouped together as one type; there are many different types, and Opik is clearly displaying strong prejudice in assuming that the craters are virtually all impact phe- nomena. The vast majority of lunar craters and rings and Martian rings do not bear a close resemblance to proved terrestrial meteoritic craters. Second, there is a strong morphologic similarity between certain lunar and Martian rings, on the -one hand, and terrestrial volcanic features on the other; this statement is contrary to Opik's and is based on a protracted study reported in Lunar Geology (7), from which we may quote, concerning a terrestrial volcanic ring: "This cal- dera is much more lunar than any known meteoritic crater." Opik ends his paragraph or argu- ments against lunar and Martian vol- canism with the comment that meteor craters are an observational fact. We feel tempted to ask if volcanic craters are not even more of an observational fact! Regarding Mars, Opik states that "the evidence of 'leeward clouds' occurring on the maria borders . . . would appear rather dubious to anyone who has systematically observed the planet. . . ." If Opik is referring to the observations' being dubious, then his statement is erroneous, since the observations Wells has discussed else- where (8) were originally made by some of the most systematic astrono- mers who have ever observed the planet-Lowell and Douglass (9), An- toniadi (10), Dollfus (11), and Focas (12), the latter two observers having contributed the most recent observa- tions which originally led to the com- parison with lee-wave clouds. In a similar manner Opik regards as improbable the suggestion that the Martian maria are highlands, simply because the "darkish" dust covering them would be continuously wander- ing into the lowlands and thus blurring the observed sharp boundaries of the maria. Also he assumes that the re- appearance of the dark maria after being covered with light-colored dust from the deserts is only attributable to some "peculiar" property of the maria-that is, to plants shaking off the dust covering. It is, in fact, not necessary to the hypothesis for dark dust to be moved about on the surface. A variation in the size of grains making up the maria would produce the observed albedo changes. Fractionation of grain sizes in relation to elevated areas and its effect on the maria have been dis- cussed by Rea (13). If the maria SCIENCE, VOL. 155 o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ (large grains) were covered by desert dust (small grains), rejtuvenation could be explained simply as due to the action of the winds in clearing off the smaller (and lighter-weight) grains and leaving the course grains exposed; or the smaller grains could be partially cemented into larger particles, like Hapke and Van Horn's "fairy castles." On the other hand, Rea and O'Leary (14) have shown that the variation in aerosol content of the atmosphere could similarly produce the observed polarization and albedo changes. Either the "dust" model or the "aerosol" model or a combina- tion of the two is as consistent with the evidence provided by the Mariner photographs as is Opik's interpretation, if not more so. As Mariner crossed from the bright area Zephyria to the dark region Mare Sirenum, no visible "line of demarcation" was evident, although a subsequent analysis (15) has shown that the albedo did in fact change from that expected in the deserts to that expected in the maria as the normal projection of the trajectory on the surface passed from one region to the other. In addition, the only quantitative differential spectrophoto- metric measurements between the dark and light areas that have been made are those of Dollfus (16), and they indicate that the maria appear spectrally reddish like the deserts, though less red. These facts, summed up, tend to indicate that the shape and distribution of the maria are more dependent on size or roughness of material than on differences in chemi- cal composition of the maria and the deserts, although such differences may indeed have some influence. We have selected these points from two specific paragraphs of Opik's paper to illustrate the fact that the interpre- tation of Martian phenomena should not be approached in a dogmatic man- ner. R. A. WELLS G. FIELDER University of London Observatory, Mill Hill Park, London References and Notes 1. E. J. Opik, Science 153, 255 (1966). 2. G. Fielder, Nature 207, 1381 (1965). 3. R. B. Baldwin, The Measure of the Moon (Univ. of Chicago Press, Chicago, 1963). 4. "The Mantles of the Earth and Terrestrial Planets" [NATO Advanced Study Institute Conference, University of Newcastle-upon- Tyne, 19661 (Wilev, London, in press). 5. "Ranger VIII and IX," pt. 2, "Experimenter's 20 JANUARY 1967 Analyses and Interpretations," NASA (Natl. Aeron. Space Admin.) Tech. Rep. No. 32-800, Jet Propulsion Laboratory (1966). 6. Fielder gives the argument in full in Yearbook of Astronomy 1967, P. Moore, Ed. (Eyre & Spottiswoode, London, 1966). 7. G. Fielder, Lunar Geology (Lutterworth, Lon- don, 1965). 8. R. A. Wells, Nature 207, 735 (1965); "An Analysis of Martian Clouds and Their Topo- graphical Relationships," ESRO [European Space Research Organization] Sci. Note 54 (1966). 9. P. Lowell and A. E. Douglass, Ann. Lowell Obs. 1, 354 (1898). 10. E. M. Antoniadi, La Planete Mars (Hermann, Paris, 1930). 11. A. Doilfus, Ann. Astrophys. 28, 722 (1965); in Planets and Satellites, vol. 3, The Solar System, G. P. Kuiper and B. M. Mid- dlehurst, Eds. (Univ. of Chicago Press, Chi- cago, 1961). 12. J. Focas, private discussions of polarimetric data stored at Meudon. 13. D. G. Rea, Nature 200, 114 (1963); ibid. 201, 1014 (1964). 14. and B. T. O'Leary, ibid. 206, 1138 (1965). 15. R. K. Sloan, "The Mariner IV photographs of Mars," paper presented at the 7th Inter- national Space Science Symposium, COSPAR, Vienna, 1966. 16. A. Doilfus, Compt. Rend. 244, 162 (1957); ibid., p. 1458. 1 September 1966 Wells and Fielder take exception to my view that the possibility of a volcanic origin of the Martian craters can be "ignored completely" and stress that a dogmatic approach in this mat- ter is undesirable. I heartily agree with this, if dogma is defined as convic- tions unsupported by fact and upheld against heavy probabilities or, at worst, against facts that are ignored. But then it may be asked, Who is dogmatic in the present case? A refusal to dis- cuss improbable propositions is not always attributable to dogma, as can be seen frorm the following contempo- *rary case. A just-published learned treatise (1) by Sheikh Abdullah ben Baz, vice-president of the Islamic Uni- versity of Medina, attacks a "Western fallacy"-namely, "the much pub- licized theory that the earth rotates round the sun"; hardly anyone would accuse Western scientists of a dog- matic attitude for not reacting polemi- cally to this chalilenge; the dogma is on the other side. Of course, the case of lunar (and Martian, by inference) volcanoes is not, or not in all respects, as clear as that, although some analogy can be traced. Proponents of the volcanic theory have shown so much wishful thinking, especially by denying the im- pact hypothesis completely, that even a plausible kernel of substance regard- ing traces of primeval volcanism on the moon has sometimes fallen into disrepute. Fielder is one of those who had persistently ignored the impact theory, and quite recently he stated (2, p. 51): "the lunar craters, or at least the majority of them, are of in- ternal origin." From a study of the randomness of the distribution of lunar craters he first arrived at a similar conclusion, but he then changed it to a different one for a region within Ptolemaeus: "the proportion of endo- genic craters is at least 38%" (3)- thus no longer 100 percent. Although Fielder's statistical method (comparison with Poisson's formula) is absolutely irrelevant and unable to answer the question of origin of the craters (4), the concession to the impact theory of some 62 percent is ominous. It already means a retreat from the dogma of the vol- cano-selenologists. Indeed, the theory of endogenic lunar volcanism (as distinct from volcanism caused as secondary effects of impacts) has been founded on dogma. That the stray bodies of the solar system are colliding with all the exposed planetary surfaces is an undeniable fact which has been sub- jected to statistical and mechanical analysis by myself and others. The "volcanists" have ignored, and some still are ignoring, this fact. On the other hand, Wells and Fielder are ask- ing "if volcanic craters are not even more of an observational fact!" Ter- restrial volcanoes, certainly; but no volcanic events have ever been pin- pointed on the moon or Mars (except for misleading or wishful interpreta- tions). To pretend that the occurrence of volcanoes on earth is a fact applica- ble without reserve *to other planets goes against some accepted geophysi- cal truths. Volcanism on earth is closely related to mountain building, and the succession of orogenic cycles during the earth's history is explained by imbalance in the crust caused by pow- erful erosion. There is little erosion on Mars and practically none on the moon, nor are there any traces of mountain chains similar to the mighty Alpine, Variscian, Caledonian, and earlier orogenes on our planet. Talk about lunar or Martian volcanoes that is based on terrestrial analogy can- not be justified. It has led also to mis- interpretation of observational data, such as the remarkable spectrogram obtained by Kozyrev in 1958 which showed luminescence on the peak of the crater Alphonsus. Kozyrev and many others interpreted this as erup- tion of gases and a sign of volcanism 355 o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ on the moon. Yet, as I have pointed out on several occasions (5), inspec- tion of details of the published spec- trograms (6) along the slit or across the dispersion shows that no lumi- nescent gases were emitted but that the luminescence was immovable and strictly confined to a 4-kilometer-wide area of the sunlit peak for all the 30 minutes of exposure, with no -trespass into the sharply defined (to 1 kilo- meter) shadow. It was amazing though understandable that eminent scientists argued about the details of the spec- trogram along the dispersion without paying attention to its appearance at right angles to the dispersion. How- ever, after the point had been raised, everyone could easily see for him- self; the claim that a *gaseous erup- tion had taken place goes against an indisputable observational fact. Yet Fielder, to whom the point is known, still maintains that the observation is most naturally explained as a volcanic phenomenon (2, p. 166). On the same page there is a table giving the age of lunar maria as a mere 100 million years, as compared with 4.5 x 109 years for the age of the moon; this fantastically low figure is based on the crater density, arbitrarily assumed to be proportional to age. That the pro- duction rates of pre-mare craters (whether volcanic or impact) may be higher by orders of magnitude than the rates for the post-mare craters (the impact theory of the origin of the moon suggests a ratio of 109) is ignored. The assumption of constant rates just makes no sense. That the crater den- sity in the maria agrees with the ex- pected number of impacts over 4.5 X 109 years (7) is ignored in favor of an arbitrary and primitive calculation (2, p. 50) which gives a number of im- pacts one-tenth the number of craters observed in the continentes (a ratio which is irrelevant) but five times more than in the maria (a ratio which is ignored). Thus, Fielder's calculation leads to too many impact craters, not too few, as he wishfully concludes, taking the continentes as a standard of comparison. Terrestrial calderas are considered by Fielder to be the prototype of lunar craters. A glance at the irregular outlines of the calderas (8), in con- trast to the round (or regular polygonal, in some cases) outlines of lunar cra- ters, should make the assumption dubious, to say the least. To see a similarity between the calderas and 356 typical lunar craters requires a good deal of wishful thinking. It is obvious that lava or ash flows and other volcanic phenomena oc- curred on -the moon during the first million years of its existence, and maybe later, too. Probably they were produced or triggered by impacts of the "planetesimals" which built the moon and gave their finishing touch to its surface. Volcanism, even when secondary, is therefore a legitimate topic for selenographic study. It is highly desirable that someone with realistic physical and mathematical in- sight put 'together a coherent picture of the possible primeval volcanic phenomena of the moon, without arbi- trar'y improbable assumptions or wish- ful disregard for facts. It will be a hard task to prove that some of the craters on the lunar continentes (not the maria) are endogenically volcanic, if this is in fact the case. Until we have such a proof, it is safe to work on the impact theory, which probably accounts for the overwhelming major- ity of craters and which leads to a plausible, noncontradictory picture of the origin of the moon at a distance of about 5 earth radii (9) and the subsequent evolution of its orbit and surface. The picture may be incom- plete or even wrong, but to refute it would require more than the accumu- lation of ad hoc products of wishful thinking. This does not mean that Fielder's work on lunar features is not ap- preciated. Even if it is guided by the wrong kind of ideas, it may yield use- ful and unexpected results. Wishful thinking has always been the stimulus of Western civilization; it led Christo- pher Columbus westward, and his discoveries are not the less important because he miscalculated the size of the earth and did not reach the lands of Eastern Asia as he intended. A working hypothesis, even an er- roneous one, is better than none; it sets goals and leads to discoveries which could be missed on a more orthodox course. On the other hand, I for my part prefer a frame which is internally consistent and as free as possible from arbitrary assumptions; in my work, I cannot yet see where the volcanic theory would usefully apply. Our yardsticks of fact and fancy are so different that no useful dialogue can result. As to Mars, too little is yet known of its surface features, but what is now known about its craters suggests complete analogy with the moon, 'the ancient Martian round impact craters, however, being more worn by erosion. As to the possible role of Martian volcanism in the past (as distinct from crater formation), the amount of nitro- gen, less than 0.5 percent of the ter- restrial amount per unit area, is a reli- able indicator. Nitrogen is not easily removed by chemical reactions, nor does it noticeably escape to space from Mars. Its amount is thus a measure of outgassing and gives an upper limit for magma (lava) which has been in contact with the Martian atmosphere since the formation of the crust. Furthermore, the small amount of out- gassing is readily accounted for by the impact destruction of the upper sur- face layer of the Martian crust, so that very little, if anything, is left over as evidence of genuine volcanism on Mars. For the moon, such a method cannot be applied because nitrogen escapes, but, since the moon is a smaller body, its volcanism is expected to be less by orders of magnitude than that on Mars, or completely negligible. Regarding the interpretation of some Martian features as "leeward clouds," in making my remark I had in mind my own experience as an observer of Mars from 1911 till 1958-which I tried to conduct as critically as pos- sible. The experienced observers to whom Wells refers may certainly have seen something somewhere, but to identify "leeward clouds"' on Mars from these observations is rather far- fetched. Besides, water vapor is there too scarce to form observable clouds near the surface. _. 1. OPIK Armagh Observatory, Armagh, Northern Ireland References and Notes 1. The Observatory 86, 172 (1966). 2. G. Fielder, Lunar Geology (Lutterworth, Lon- don, 1965). 3. , Monthly Notices Roy. Astron. Soc. 129, 351 (1965); 132, 413 (1966). 4. E. J. Opik, Irish Astron. J. 7, 203 (1966). 5. , in Progress in Astronautical Sciences (North-Holland, Amsterdam, 1962), vol. 1, p. 252; Planetary Space Sci. 9, 218 (1962); Irish Astron. J. 6, 39 (1963). 6. N. A. Kozyrev, Priroda 1959, 84 (Mar. 1959); Sky and Telescope 18, 561 (1959); in The Moon, Z. Kopal and K. Mik- hailov, Eds. (Academic Press, New York, 1962), pp. 265, 266. 7. E. J. Opik, Monthly Notices Roy. Astron. Soc. 120, 404 (1960). 8. R. L. Smith, in The Nature of The Lunar Surface, W. N. Hess, D. H. Menzel, J. A. O'Keefe, Eds. (Johns Hopkins Press, Balti- more, 1966), pp. 241-57. 9. E. J. Opik, Astron. J. 66, 60 (1961). 22 November 1966 SCIENCE, VOL. 155 o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ Martian and Lunar Craters R. A. Wells, G. Fielder and E. J. Öpik DOI: 10.1126/science.155.3760.354-a (3760), 354-356.155Science ARTICLE TOOLS http://science.sciencemag.org/content/155/3760/354.2.citation PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the trademark of AAAS. is a registeredScienceAdvancement of Science, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American Association for theScience of Science. No claim to original U.S. Government Works. Copyright © 1967 The Authors, some rights reserved; exclusive licensee American Association for the Advancement o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/155/3760/354.2.citation http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_qubqct4iw5h6zktzwphpxzueei	----	Genetic diversity of pepper (Capsicum spp.) germplasm resources in China reflects selection for cultivar types and spatial distribution Journal of Integrative Agriculture 2016, 15(9): 1991–2001 RESEARCH ARTICLE Available online at www.sciencedirect.com ScienceDirect Genetic diversity of pepper (Capsicum spp.) germplasm resources in China reflects selection for cultivar types and spatial distribution ZHANG Xiao-min1*, ZHANG Zheng-hai1*, GU Xiao-zhen1, MAO Sheng-li1, LI Xi-xiang1, 2 *, Joël Chadœuf 3, Alain Palloix3#, WANG Li-hao1, ZHANG Bao-xi1 1 Key Laboratory of Vegetable Genetics and Physiology, Ministry of Agriculture/Institute of Vegetables and Flowers, Chinese Academy of Agricultural Sciences, Beijing 100081, P.R.China 2 National Gene Bank of Vegetables, Institute of Vegetables and Flowers, Chinese Academy of Agricultural Sciences, Beijing 100081, P.R.China 3 Génétique et Amélioration des Fruits et Légumes, BP94, UR1052, PACA, INRA, Montfavet F-84143, France Abstract Pepper (Capsicum spp.) is an important vegetable crop in the world. Now the pepper in China contributes one-third of the world’s peppers production. Genetic diversity of the pepper germplasm of China is expected interesting to know. To explore the structure of genetic diversity in Chinese pepper germplasm resources and possible relationship with cultivar types or geographic origin, we sampled and compared 372 GenBank pepper accessions (local cultivars and landraces) from 31 provinces, autonomous regions and municipalities of China and 31 additional accessions from other countries. These accessions were genotyped using 28 simple sequence repeat (SSR) markers spanning the entire pepper genome. We then investigated the genetic structure of the sampled collection using model-based analysis in STRUCTURE v2.3.4 and examined genetic relationships by the unweighted pair-group method of mathematical averages (UPGMA) in MEGA. In addition to geographic origin, we evaluated eight plant and fruit traits. In total, 363 alleles were amplified using the 28 SSR primers. Gene diversity, polymorphism information content and heterozygosity of the 28 SSR loci were estimated as 0.09–0.92, 0.08–0.92 and 0.01–0.34, respectively. The UPGMA cluster analysis clearly distinguished Capsicum annuum L. from other cultivated pepper species. Population structure analysis of the 368 C. annuum accessions uncovered three genetic groups which also corresponded to distinct cultivar types with respect to the plant and fruit descriptors. The genetic structure was also related to the geographic origin of the landraces. Overall results indicate that genetic diversity of Chinese pepper landraces were structured by migration of genotypes followed by human selection for cultivar types in agreement with consumption modes and adaptation to the highly diversified agro-climatic conditions. Received 4 August, 2015 Accepted 11 March, 2016 ZHANG Xiao-min, Tel: +86-10-82109551, E-mail: zhangxiaomin1987@yeah.net; Correspondence WANG Li-hao, Tel: +86-10-82109551, Fax: +86-10-62174123, E-mail: wanglihao@caas.cn * These authors contributed equally to this study. # Deceased. © 2016, CAAS. Published by Elsevier Ltd. This is an open a c c e s s a r t i c l e u n d e r t h e C C B Y - N C - N D l i c e n s e ( h t t p : / / creativecommons.org/licenses/by-nc-nd/4.0/) doi: 10.1016/S2095-3119(16)61364-3 http://crossmark.crossref.org/dialog/?doi=10.1016/S2095-3119(16)61364-3&domain=pdf 1992 ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 1. Introduction Pepper (Capsicum spp.) is one of the most globally im- portant vegetable crops because of its pungency and high nutritional value. It is becoming increasingly popular among consumers, with industrial applications also rising worldwide. Capsicum L. pepper is a genus in the Solanaceae family, comprising 27 recognized species (Baral and Bosland 2002). Studies have provided evidence for the existence of five distinct cultivated species: Capsicum annuum L., Capsicum frutescens L., Capsicum chinense Jacq., Cap- sicum baccatum L., and Capsicum pubescens Ruiz et Pav (Pickersgill et al. 1979, 1991). Peppers were introduced from the West Indies into Europe in 1493 following the first voyage of Christopher Columbus, after which they were rapidly distributed to Africa and Asia (Purseglove 1968; Andrews 1984; Somos 1984; Nicolai et al. 2013). The first historic record of peppers in China appeared in 1591 in a book entitled Tsung-sheng- pa-chien (Kao 1591), where they were described aspaint- brush-shaped, highly ornamental fruits with a hot taste and red color. In 1688, Chen (1688) described chili peppers in his book Hua Jing, calling them Kadsura Pepper Stemsor, the common name of spicy tomatoes. Two routes of initial introduction into China have histor- ically been hypothesized for peppers (Zheng 2006). The first is via the Silk Road extending from Europe through the Middle East to northwestern and then central China, an ancient trade network exploited by Zhang Qian during the Han Dynasty for nearly 2 000 years ago. The other possible route was the Maritime Silk Road, which stretched across the Indian Ocean from the Persian Gulf to Southeast Asia (Andrews 1984). In the 17th–18th centuries, introductions may also have occurred from the west coast of South America (Peru) across the Pacific Ocean to Southeast Asia. This would have brought pepper into China at the end of the Ming Dynasty and the beginning of the Qing Dynasty, especially after 1683 with the opening of a sea trade route (Zou 2009). Further introductions occurred during the 20th century, when a large number of cultivar accessions were introduced and integrated into modern breeding programs in China. Because of the preference by farmers for a long cultivation history, many local landraces were distributed across the country. Since the 1960s, pepper accessions in China, including foreign lines, have been collected in the National Genebank of China (Zhang et al. 2010). The genetic diversity of pepper accessions in China has not yet been extensively analyzed, even though such studies could provide information about sources of genetic differentiation following both natural and human selection. Some studies using random amplified polymorphic DNA, and inter-simple sequence repeat or simple sequence repeat (SSR) markers have been reported (Chen 2006; Luo 2006; Zhou et al. 2009), but these surveys only considered a few (up to 89) accessions, so did not evaluate the entire Chinese germplasm. In the early 1990s, genetic analyses using isozyme, nuclear, and chloroplast DNA markers confirmed the botanic structure of the genus Capsicum (Rodriguez et al. 1999; Walsh and Hoot 2001; Toquica et al. 2003; Ince et al. 2010; Jeong et al. 2010; Ibiza et al. 2012). Genetic diversity has also been explored in restricted geographic areas (mainly Mexico and the Andean area), which has yielded evidence of a genetic shift from wild to cultivated environments (Hernández-Verdugo et al. 2001; Votava et al. 2002; Aguilar-Meléndez et al. 2009; Albrecht et al. 2012; González-Jara et al. 2012; Pacheco-Olvera et al. 2012). A larger collection, including 1 352 non-redundant accessions of 11 Capsicum species from 89 countries, was recently analyzed by Nicolai et al. (2013) using 28 SSR loci. Their study confirmed the strong interspecific structure of the Capsicum genus and offered new information about the wild origin of the cultivated C. annuum species. They also revealed that the genetic structure of the domesticated species C. annuum correlates with cultivar types rather than geographic origins, and thus mostly results from human se- lection. Another recent study by Hill et al. (2013) analyzed 46 accessions worldwide for genetic diversity and population structure using a microarray design of 30 000 unigenes in a GeneChip. In this paper, we report the first comprehensive explora- tion of the genetic diversity of Chinese pepper germplasm. We used 28 SSR markers to survey 372 accessions sampled from 31 provinces, autonomous regions and municipalities of China. The uncovered genetic diversity was tentatively related to both agricultural traits and geographic origins. The genetic structure of the Chinese pepper germplasm resources revealed the influence of geographic origin and long-term artificial selection. 2. Materials and methods 2.1. Materials A total of 403 accessions, mostly landraces of the culti- Keywords: Capsicum spp. germplasm collection, genetic diversity, population structure, microsatellite 1993ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 vated species C. annuum with a few lines of C. chinense, C. baccatum, and C. frutescens as out groups (Table 1 and Appendix A), were analyzed in this study. All accessions were obtained from the China National Vegetable Germ- plasm Bank and the pepper research group located at the Institute of Vegetables and Flowers of the Chinese Academy of Agricultural Sciences (IVF-CAAS). A total of 372 acces- sions (369 of C. annuum, two of C. chinense, and one of C. frutescens) were originally collected from 31 provinces, autonomous regions and municipalities of China. The remaining 31 accessions originated from the United States (n=7), Bulgaria (n=5), Austria (n=3), Japan (n=3), France (n=2), Peru (n=2), Brazil (n=1), Canada (n=1), Ethiopia (n=1), India (n=1), Italy (n=1), Mexico (n=1), Myanmar (n=1), the Netherlands (n=1), and Romania (n=1). 2.2. Phenotypic trait measurements Fifteen plants of each accession were grown in a green- house in 2012 and 2013. Eight fruit and plant traits related to International Plant Genetic Resources Institute descriptors for Capsicum (PGRI et al. 1995) were measured from three plants per year. The four evaluated fruit traits were fruit weight (g), fruit length (cm), fruit diameter at the widest point (cm), and pericarp thickness (mm). The three primary plant traits were days to flowering date (after transplantation), plant height (cm), and estimated leaf area (leaf length×width, cm2). The pungency of each accession was independently assessed by three individuals. Photographs were taken of the fruit to record their shape. 2.3. SSR analyses DNA was extracted from one young plantlet randomly select- ed from six individuals of each accession using the modified cetyltrimethylammonium bromide-based method of Fulton et al. (1995). After determining the quality and concentration of genomic DNA quality with a Biospec-nano microspectro- photometer (Shimadzu, Tokyo, Japan), DNA samples were diluted to 25 ng L−1. For SSR analysis, we used 28 micro- satellite markers publicly available from Nicolai et al. (2013) that spanned 11 of the 12 pepper chromosomes (Appendix B). Each SSR forward primer was labeled with one of four fluorescent dyes: 6-carboxy-fluorescein, 6-carboxy-te- tramethylrhodamine, hexachloro-6-carboxy-fluorescein, or carboxy-X-rhodamine. All primers were synthesized by Sangon Company (Shanghai, China). PCR amplifications were performed in 10 µL reaction volumes containing 2 µL of 25 ng µL−1 genomic DNA as a template, 5 µL of 2× GoTaq R colorless master mix, 0.25 µL each of forward and reverse primers (10 µmol L−1), and 2.5 µL of sterilized ddH2O. Following the reaction, 8 μL formamide and an internal size standard (10% Liz-500; LIZ, USA) were added to each mixture, which was then heated at 95°C for 5 min and then cooled in ice water. Electrophoresis was carried out on an ABI 3130xl genetic analyzer (Applied Biosystems, now Life Technology, USA). 2.4. Data analysis Genetic diversity analysis GeneMapper 4.0 software was used to evaluate the sizes of amplified fragments (SSR alleles) from different samples. The number of alleles, allele frequencies, number of genotypes, Nei’s unbiased gene diversity index (He), observed heterozygosity (Ho), and poly- morphism information content (PIC) were calculated using Power Marker v3.25 software (http://www.powermarker.net). Genetic distances (chord distances) were calculated by the Table 1 Geographic distribution of Chinese pepper germplasm samples analyzed in this study Distribution (provinces, autonomous regions and municipalities) Number of accessions Distribution (provinces, autonomous regions and municipalities) Number of accessions Anhui 18 Jiangxi 9 Beijing 5 Shaanxi 4 Chongqing 8 Shandong 14 Fujian 21 Shanghai 3 Gansu 5 Shanxi 16 Guangdong 2 Sichuan 19 Guangxi 6 Tianjin 6 Guizhou 30 Xinjiang 9 Hainan 1 Tibet 11 Hebei 10 Yunnan 23 Heilongjiang 12 Zhejiang 5 Henan 15 Jilin 24 Hubei 7 Liaoning 12 Hunan 36 Ningxia 5 Inner Mongolia 11 Qinghai 5 Jiangsu 20 1994 ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 method of Cavalli-Sforza and Edwards (1967) and used to construct a phylogenetic tree based on the unweighted pair-group method of mathematical averages (UPGMA) as implemented in MEGA (Tamuraet al. 2007). Genetic structure To infer the population structure of the 369 C. annuum accessions from China, we used the model-based program STRUCTURE v2.3.4 (Pritchard et al. 2000). The optimal number of genetic groups (K) was computed by performing eight Markov chain Monte Carlo runs for each value of K from 1 to 10. Each run consisted of 100 000 iterations, with a burn-in period of 10 000 iterations, and used an admixture model allowing for Hardy-Weinberg equilibrium, correlated allele frequencies, and independent loci. A Pr(X|K) index with respect to each K was used to calculate ΔK (Evanno et al. 2005), where X denotes the genotypes of the sampled individuals. According to this approach, the optimal K is estimated as the location of the first peak of A ΔK=|L²(K)|/s[Pr(x|k)], where |L²(K)| denotes the absolute value of the second order rate of change of Pr(X|K), and s[Pr(x|k)] is the standard deviation of the Pr(X- |K), s means standard deviation of L(K). 2.5. Spatial data analysis Testing for spatial dependence between genotypic data was performed through a Mantel test (Manly 1991) by computing a matrix of geographic distances between sample pairs and a genotypic similarity matrix whose elements are the sum of markers with the same alleles for each sample pair, and then testing the correlation between matrix elements. The P-value of the correlation under the assumption of independence between genotypic data and geographic positions was computed using 1 000 random permutations of the genotypic plant observations. To test whether the groups identified from the STRUC- TURE analysis were spatially structured, we computed empirical variograms of the probability of membership in each STRUCTURE-defined group and their confidence bands under the assumption of the absence of geographic dependence by randomizing these probabilities (Cressie 1993). Kriging was then used to construct maps of the spatial probability of membership in a given group (Wacker- nagel 2003). 3. Results 3.1. Analysis of SSR marker polymorphism in the Chinese pepper germplasm The analysis of 28 SSR loci across the 372 Chinese pepper accessions uncovered 363 alleles. The number of distinct alleles per locus ranged from 2 to 28, with an average of 13.79 (Table 2, Fig. 1). Gene diversity and PIC indices, which represent the number of alleles and their distribution, were highly variable across the SSR loci, ranging from 0.09 to 0.92 (average, 0.62) and 0.08 to 0.92 (average, 0.59), respectively. Observed heterozygosity was also highly variable between loci (0.02–0.33) and between accessions (0.01–0.34; data not shown), indicating that the accessions (local landraces) were not fixed to homozygosity. 3.2. UPGMA analysis of the pepper accessions At a genetic distance of 0.34, the 403 pepper accessions originating from China (n=372) and foreign countries (n=31) were divided into five groups (Appendix C). Group 1 con- tained only the single accession of C. baccatum (408), while group 2 comprised five C. chinense accessions (405, 402, 404, 406, and 68). Group 3 included only one accession: Bigrice (316) from Yunnan, China. Group 4 consisted of two accessions: 407 (PI634826) (C. frutescens) and 56 (Hot-Wuping; C. annuum). Group 5 comprised the remain- ing 394 accessions, which were all C. annuum except one accession which was classified as C. frutescens (370; Millet). 3.3. Genetic structure analysis of samples from the Chinese germplasm collection STRUCTURE analysis using Evanno’s (2005) method indicated that the best fit of the genetic structure of the 368 C. annuum accessions from China was a division into three groups (K=3; Appendix D and Fig. 2). Several accessions showed evidence of admixture: They partially belonged to two or three groups, as inferred by the proportion of their genome attributed to each. Group 1 included 89 accessions, of which 69 (78%) had more than 80% of their genomes rep- resented by this group. Group 2 included 101 accessions, with 69 (68%) having more than 80% of their genomes as- signed to it. Finally, 178 accessions were members of group 3, with 137 (77%) of these having more than 80% of their genomes represented by this group. Group 2 thus appeared to be somewhat more highly admixed. Allele numbers, gene diversity, and observed heterozygosity were homogeneous between groups (Table 3). Despite its higher number of alleles, group 3 had a slightly lower diversity index, which most likely represents its larger size. 3.4. Phenotypic comparison of the three STRUCTURE groups We compared phenotypic traits among the three STRUC- TURE groups using an analysis of variance, taking into account only those accessions with low admixture levels (i.e., with more than 80% of their genome belonging to a 1995ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 Table 2 Characteristics of the 28 analyzed microsatellite loci Marker Chromosome Number of genotypes Number of alleles Gene diversity (He) Heterozygosity (Ho) Polymorphism information content (PIC) Epms397 P1 45 20 0.85 0.17 0.84 Gpms178 P1 74 29 0.92 0.23 0.92 Gpms6 P2 7 6 0.12 0.08 0.11 Epms755 P2 9 7 0.34 0.16 0.30 Gpms169 P2 15 9 0.41 0.17 0.38 Gpms100 P2 9 6 0.45 0.15 0.38 HpmsE1-111 P3 23 11 0.77 0.33 0.74 Epms386 P3 37 18 0.77 0.19 0.73 HpmsE008 P3 12 10 0.79 0.02 0.76 Gpms93 P3 13 10 0.79 0.08 0.76 Gpms165 P5 40 27 0.79 0.07 0.78 HpmsE088 P6 9 6 0.09 0.04 0.09 Hpms1-5 P6 53 29 0.80 0.12 0.78 Epms426 P7 22 13 0.67 0.20 0.63 Gpms161 P7 44 21 0.80 0.17 0.78 Epms310 P8 29 15 0.72 0.28 0.67 Epms342 P8 37 18 0.75 0.14 0.73 Hpms2-24 P9 14 11 0.55 0.22 0.47 Epms419 P9 25 16 0.77 0.09 0.74 HpmsE051 P9 10 7 0.48 0.17 0.42 HpmsE013 P10 17 10 0.73 0.11 0.69 Epms101 P11 11 7 0.65 0.07 0.61 Epms391 P11 6 5 0.18 0.03 0.18 Gpms29 P11 34 19 0.85 0.21 0.83 Epms331 P11 26 13 0.75 0.15 0.72 HpmsE128 P12 22 14 0.64 0.08 0.61 HpmsE064 P12 10 7 0.44 0.02 0.40 Gpms197 P12 37 22 0.70 0.08 0.69 Mean 24.64 13.79 0.63 0.14 0.60 single group) (Figs. 3 and 4). Members of group 1 were characterized by a larger plant leaf area, later flowering date, and shorter plant height. With respect to fruit traits, this group displayed a heavier fruit weight, shorter fruit length with higher pericarp thickness values, and larger fruit diameter. A large proportion of fruit from these accessions was triangular, half-long quadrangular, or square (blocky) types of sweet pepper cultivars. Group 3 mainly comprised significantly taller plants with long fruits characterized by a very high fruit length:width ratio. Fruit weights were also lower than in the other groups. This group mainly included cultivar types with small, elongated, pungent fruits. With the exception of slightly smaller leaves, group 2 members were intermediate between the other two groups with respect to all plant traits. Although their fruits also appeared to be intermediate, their thin pericarps and small, elongated fruits more closely resembled those of group 3. 3.5. Spatial analysis The relationship between pairwise genetic similarity and geographic distance of the Chinese C. annuum acces- sions is shown in Fig. 5. According to a Mantel test, this relationship was significant (P<0.001), indicating that similarity decreased with distance. At any given distance, however, the genetic variability among pairs was large. As shown in Fig. 6, maps of the probabilities of the observed plants belonging to a given STRUCTURE-computed group clearly revealed a non-random spatial distribution of these probabilities. This finding was confirmed by the variograms computed from the observed data (Fig. 6, middle panel), which did not lie inside their confidence bands under the as- sumption of independence. Accessions from STRUCTURE group 1 mainly corresponded to regions of northeastern and northern China, where continental climatic conditions are predominant; these samples were mostly from Hebei, Jilin, Liaoning, Heilongjiang, and Beijing, with some from Jiangsu, Shandong, Zhejiang, Yunnan, and Tibet. Accessions from group 2 were primarily collected in central southern regions (Sichuan lowlands, Guizhou) and coastal southeastern re- gions that are generally humid. These regions surrounded the area of the highest probability for group 3. Accessions from group 3 were strongly concentrated in a restricted area between Guangzhou and Zhengzhou, with an additional 1996 ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 Table 3 Genetic diversity of the three Capsicum annuum groups identified from the model-based STRUCTURE analysis Groups from structure Number of genotypes Number of alleles Gene diversity (He) Heterozygosity (Ho) Polymorphism information content (PIC) Group 1 11.36 7.93 0.60 0.13 0.56 Group 2 13.46 8.89 0.61 0.14 0.57 Group 3 15.46 9.50 0.55 0.15 0.52 Fig. 2 Three Capsicum annuum groups are inferred by STRUCTURE analysis. The distribution of the 363 C. annuum accessions from China into distinct groups by the model-based method (STRUCTURE 2.3.4) is indicated by the color code (red=group 1; green=group 2; blue=group 3). spot of concentration north of Shanghai. 3.6. Comparative polymorphism analysis of Capsi- cum spp. germplasm resources inside and outside of China The screening of 28 SSR loci in 29 non-Chinese accessions yielded 192 alleles, with 4–12 distinct alleles observed per locus, and 6.86 on average. Heterozygosities ranged from 0 to 0.28, with an average of 0.07; because of the small sample size, these values cannot be directly compared to the Chinese accessions. Gene diversity index and PIC values were generally high, ranging from 0.13 to 0.84 (av- erage, 0.64) and 0.13 to 0.82 (average, 0.61), respectively. Fig. 1 Polymorphysis of simple sequence repeat (SSR) marker Gpms100 in accession. A, Chenjiasmall. B, Sifangtou-jilin. C, Ox horn Big. D, Sandaojin-Yanbian. 1997ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 These averages were slightly higher than those of the 372 Chinese C. annuum accessions, suggesting that the genetic diversity among Chinese landraces is close to that of this panel of foreign accessions. 4. Discussion Capsicum accessions were carefully chosen from more than 2 200 germplasm resources housed at the National Genebank of China (Zhang et al. 2010) to ensure they were representative of the 31 provinces, autonomous regions and municipalities of China from where they were originally collected. The 368 accessions of C. annuum, currently the most widespread species in production, were selected to avoid redundancy and maximize diversity between ac- cessions on the basis of phenotypic traits and geographic origins. Accessions of C. chinense and C. frutescens, namely Yellow Lantern from Hainan, Xiaohuanglantern from Guizhou, and Millet from Sichuan, were also included. The collection was fingerprinted using 28 highly polymorphic SSR loci distributed over the entire pepper genome. SSR fingerprinting has been highly successful in ex- ploring the genetic diversity of known Capsicum taxonomic groups. Assigned to C. annuum on the basis of phenotype characteristics, the markers used in this study effectively distinguished the species C. baccatum from C. chinense and C. annuum, but C. frutescens and C. annuum were less distinct, possibly reflecting misclassifications or inter- specific origins because these two species are cross-fertile. Because a very large majority of Chinese pepper landraces belongs to C. annuum, the analysis of factors impacting on diversity has to focus on this species. Within Chinese C. annuum, gene flow is frequent because of breeding and natural crossing. In our study, accessions from the same province generally grouped together, with those having the same origin showing closer relationships at the molecular level. This was shown to be significant from the Mantel test (Fig. 5), in which genetic similarity between pairs of accessions decreased with geographic distances. As an example, accessions 143, 144, 149, 150, 152, 162, 165, and 169, all from Hunan Province, clustered together. Accessions between different provinces exhibited larger Fig. 4 Average values of seven phenotypic traits in the three C. annuum groups (at P>0.9) defined by STRUCTURE analysis. A, plant traits. B, fruit traits. Vertical bars represent confidence intervals of the mean values at P=0.95. Fig. 3 Distribution of the fruit type in the three C. annuum groups inferred from STRUCTURE analysis. 1998 ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 genetic distances, with this genetic variation possibly shaped by different ecological conditions in the different regions or a consequence of evolution under farmer selection for horticultural and consumption quality traits. Some cultivars with distinct names collected from different provinces, such as Dandongshizi and Neimeng (persimmon), displayed very close genotypes. Their similarities may either be caused by close kinship or indicate that they are derivatives from the same cultivar. Other accessions had different names and geographic origins, but similar genotypes; examples include Ganzhou (point), Kailu (small point), Ledu (line), and Ankang (ten sisters) from Jiangxi, Inner Mongolia, Qinghai, and Shaanxi, respectively. These samples probably reflect seed exchanges between regions or multiple introductions of some very close genotypes, which differ only by a few genes impacting the phenotype (fruit color, pungency, and shape) but not the SSR haplotypes. The admixture observed be- tween the three STRUCTURE groups demonstrates that genetic material has been exchanged between cultivars through breeding and natural recombination. Further evi- dence for this exchange is suggested by the UPGMA tree, where the C. annuum accessions showed a continuous distribution. The genetic diversity of the C. annuum accessions was shown to be related to cultivar type, with two extreme phe- notypes. Group 1 mainly included large, sweet-fruited cul- tivars with shorter plants, whereas group 3 mostly included cultivars with smaller, elongated fruits, often pungent, and taller plants. Group 2 was more difficult to characterize with intermediate types and a frequently admixed genome. This genetic structure within Chinese landraces is close to that observed in the worldwide pepper collection analyzed by Nicolai et al. (2013), as well as to that reported by Hill et al. (2013). These authors structured the 46 accessions into three groups with K=3; one group includes most bell peppers, another includes most small hot peppers, while the third is mixed with different types of pepper. Further, our research reveals the impact of human (farmer) selection in primary and secondary centers of diversification, driven by local adaptation but also consumption. Considering the allelic richness and diversity index (He), the values within each of the three groups of Chinese accessions (0.55 to 0.61) are close to those estimated from the worldwide ac- cession panel of Nicolai et al. (2013) (0.40 to 0.64). This represents the large genetic diversity of Chinese peppers that may result from multiple and diverse introductions into the country, as well as from highly diverse agroclimatic constraints in such a large cultivation area. One surprising result was the observed higher diversity of large-fruited cultivars in China (group 1, He=0.60) compared with the corresponding cluster 3 of the worldwide panel (He=0.40), and the reverse effect in the small, hot-fruited group 3 from China (He=0.55) compared with the corresponding cluster 1 of the worldwide panel (He=0.64). Indeed, small and pungent peppers were shown to be much more diverse at the worldwide scale than large fruited peppers, which displayed a restricted genetic variability. In China, it seems that this difference is less obvious, with a lower diversity of small-fruited landraces but higher variability in large-fruited local cultivars that may reflect importation as well as local selection events. The genetic diversity of C. annuum accessions was also related to geographic distribution. Because the groups defined by STRUCTURE analysis were not distributed randomly with respect to geographic locations, group 1, mostly cultivated in northern and north-eastern regions, probably corresponds to the large-fruited cultivars with short and early flowering plants that are better adapted to the temperate and continental conditions of these regions. Groups 2 and 3 were more heavily represented in tropical and subtropical southeastern regions which are hotter and more humid, and where hot peppers are more frequently consumed. Group 2 was also more prevalent in coastal and central highlands, whereas group 3 was more strongly associated with the inner lowlands of Henan, Hunan, and Hubei provinces, where two crops per year are common (Li et al. 2014). The Maritime Silk Road was historically one of the first trade routes into China. As expected from this, our results Fig. 5 Changes in genotypic similarity with respect to geographic distance. Each point represents a pair of accessions positioned according to their geographic distance and genetic similarity. The line represents the local regression between observed similarity and geographic distance. 1999ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 reveal that the highest Chinese pepper genetic diversity is found in southern and southeastern China with a higher number of alleles in groups 2 and 3. For example, Millet, Xiaohuanglantern, Yellow Lantern and many other peppers are from Yunnan, Guizhou, Fujian, and Hainan provinces. To provide further insights into the introduction and evolution of peppers in China, a larger-scale evaluation of the Chinese pepper germplasm is needed. Moreover, a comparison of more germplasm resources and the incorporation of addi- tional non-Chinese accessions should contribute to a more complete understanding of Chinese pepper germplasm diversity. This work has potential implications for pepper breeding. With knowledge of genetic distances between accessions, we can choose those with broader genetic diversity to produce a higher degree of heterosis from crosses. Our analysis, and future related studies, will enable a core collection of the Chinese pepper collection to be estab- lished. This study therefore provides a sound basis for the further characterization of the biodiversity of this important vegetable. 5. Conclusion The highest Chinese pepper genetic diversity is found in southern and southeastern China reveals the Maritime Silk Road was historically one of the first pepper trade routes into China. Geographic distribution corresponds to different fruits size characters. Gene flow is frequent because of breeding and natural crossing. Acknowledgements This work was supported by the National Key Tech- nology Research and Development Program of China (2011BAZ01732), the Project of the Ministry of Agriculture of China (CARS-25), the Core Research Budget of the Non-profit Governmental Research Institute, China (ICS, CAAS; 1610032011011), and the Science and Technology Innovation Program of the Chinese Academy of Agricultural Sciences (CAAS-ASTIP-IVFCAAS). Appendix associated with this paper can be available on Fig. 6 Membership probabilities of accessions in each group in the mainland of China. Upper panel: spatial partitioning of estimated probabilities of membership in a given group defined by STRUCTURE; the higher the probability, the larger the circle radius. Lower panel, spatial distribution of the predicted probability of membership in a given group; the lower the probability, the darker the area. 2000 ZHANG Xiao-min et al. Journal of Integrative Agriculture 2016, 15(9): 1991–2001 http://www.ChinaAgriSci.com/V2/En/appendix.htm References Aguilar-Meléndez A, Morrell P L, Roose M L, Kim S C. 2009. Genetic diversity and structure in semiwild and domesticated chili peppers (Capsicum annuum; Solanaceae) from Mexico. American Journal of Botany, 96, 1190–1202. Albrecht E, Zhang D, Saftner R A, Stommel J R. 2012. Genetic diversity and population structure of Capsicum baccatum genetic resources. Genetic Resources and Crop Evolution, 59, 517–538. Andrews J. 1984. Pepper - The Domesticated Capsicum. University of Texas Press, Austin, Texas. Baral J B, Bosland P. 2002. 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Pickersgill B, Heiser C B, McNeill J. 1979. Numerical taxo- nomic studies of variation and domestication in some species of Capsicum. In: Hawkes J G, ed., The Biology and Taxonomy of the Solanaceae. Academic Press, New York. pp. 679–690. Pritchard J K, Stephens M, Donnelly P. 2000. Inference of population structure using multilocus genotype data. Genetics, 155, 945–959. Purseglove J M. 1968. Tropical Crops. vol. 2. John Wiley and Sons, New York. Rodriguez J M, Berke T, Engle L, Nienhuis J. 1999. Variation among and within Capsicum species revealed by RAPD markers. Theoretical and Applied Genetics, 99, 147–156. Somos A. 1984. The Paprika. Akademiai Kiado, Budapest. p. 302. Tamura K, Dudley J, Nei M, Kumar S. 2004. MEGA4: Molecular evolutionary genetics analysis (MEGA) software version 4.0. Molecular Biology Evolution, 24, 1596–1599. Toquica S P, Rodriguez F, Martinez E, Duque M C, Tohme J. 2003. 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work_r5sg6ioci5gwfbubccrtjktjty	----	Annals ofthe Rheumatic Diseases 1992; 51: 561-562 NOW AND THEN Siebrandus Sixtius: evidence of rheumatoid arthritis of the robust reaction type in a seventeenth century Dutch priest J Dequeker Abstract Rheumatoid arthritis of the robust reaction type has been diagnosed in a seventeenth century Dutch priest, Siebrandus Sixtius, based on pictorial evidence of typical hand deformities and historical evidence affirming that he had chronic nodular rheumatism for many years. This case report, in conjunction with other pictorial depictions of probable rheumatoid arthritis, questions the view that rheumatoid arthritis is a modern disease which prevailed in the New World and was found in the Old World only after the discovery of America. Some authorities believe that rheumatoid arthritis may have originated in the New World and entered the Old World after 1492. This belief arises from the absence of published reports describing unambiguous evidence of this disease in the Old World before 1800' and the presence of an indistinguishable arthritis in the New World before 1492.2 There is, however, very suggestive evidence of rheumatoid arthritis in the visual arts.3 Perhaps the most convincing evidence of the existence of rheumatoid arthritis can be seen in paintings such as the arthritis of the housemaid of Jacob Jordaens (1593-1678) which is recognisable in the painting ofJordaens's Rheumatology Unit and Arthritis and Metabolic Bone Disease Research Unit, K U Leuven, Universitair Ziekenhuis Pellenberg, B-3212 Pelienberg, Belgium J Dequeker Accepted for publication 23 July 1991 own family (The Painter's Family, Madrid, Prado). Another very characteristic hand and wrist deformity of rheumatoid arthritis is seen at the Escorial Museum near Madrid in the painting St Anthony's Temptations by an anony- mous artist of the Flemish-Dutch School of the mid-fifteenth or early sixteenth century.4 This paper describes the typical hand features of rheumatoid arthritis in a painting by Claes Cornelisz Moeyaert in 1631, representing Siebrandus Sixtius, a Dutch priest, about whom there is historical evidence indicating that he had a severe chronic rheumatic disease, Case report The figure shows two paintings of Siebrandus Sixtius. Portrait A is at the Catherijneconvent Museum, Utrecht, the Netherlands and is a copy of portrait B which is at the Pastorie of the Begijnhof, Amsterdam, the Netherlands. The diagnosis of rheumatoid arthritis is based on the typical hand deformities, swelling of the meta- carpophalangeal joints, ulnar deviation of the fingers, and contractures, especially at the ring and fifth finger of the left hand. The right hand also shows contractures, especially of the second finger and swelling of the proximal inter- phalangeal joints. Siebrandus Sixtius is the pseudonym for Two paintings ofSiebrandus Sixtius. (A) Displayed at the Catharijneconvent Museum Utrecht, the Netherlands (copy ofportraitB). (B) By Claes Cornelisz Moeyaert (1631), displayed in the Pastorie ofthe BegijnhofAmsterdam, the Netherlands. (Reproduced with permission.) 561 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://a rd .b m j.co m / A n n R h e u m D is: first p u b lish e d a s 1 0 .1 1 3 6 /a rd .5 1 .4 .5 6 1 o n 1 A p ril 1 9 9 2 . D o w n lo a d e d fro m http://ard.bmj.com/ Dequeker Visscher Severinus who was born in Ooster- wierum, Friesland, in 1568 and died in Amster- dam in January 1631. He studied theology at the Catholic University of Leuven, Belgium, and became the pastor and rector of the beguinage of Amsterdam in 1594. As a result of the Reformation he had a difficult time while serving the Catholic community as vicar general for Harlem, Leeuwarden and Groningen (1602). In 1601 and again in 1609 he had to go into hiding temporarily. Despite his reported illness at Cologne in 1609, he was invested with further duties as pastor of the St Nicholas parish in Amsterdam in 1610 and was appointed provisor of the Seminarium Hollandicum in 1612 and in 1617 the first provisor of the Collegium Pul- cheriae or Holland College in Leuven. Although he had numerous official duties, he did not forget his parishioners in Amsterdam. In a letter of 17 August 1628 to the Bishop Rovenius, his friend Jud Catsius mentioned that Sixtius would rather die than see one of his Amsterdam faithful die without the sacra- ments. His biography also mentioned that he heard confessions and performed other services during 28 consecutive nights.5 His biography notes the fact that because of hard work and the problems he encountered during his mission travels, he developed 'rheumatiek' (rheumatism) and 'knobbeljicht' (nodular gout).6 At the age of 62 he asked the Bishop to be relieved of his duties because of exhaustion. Six months later he died and at his funeral in Amsterdam, which was supposed to be held in privacy, a large crowd of people were present, indicating his popularity. Discussion The clinical signs on the portraits, together with the historical documents recording that he had nodular rheumatism, support strongly the view that Siebrandus Sixtius suffered from rheuma- toid arthritis. This case report is the earliest (1631) fully documented, including imaging and historical evidence, description of rheuma- toid arthritis. It predates by 170 years the detailed description of rheumatoid arthritis in the doctoral thesis of Landre-Beauvais7 and by more than 200 years Charcot's doctoral thesis8 on a series of 41 patients. This case report also antedates the probable description by Syden- ham in 16769 and Musgrave in 170310 and the pictorial representation of a patient with rheumatoid arthritis in a painting by William Hoare in 1742, which hangs in the Royal National Hospital for Rheumatic Diseases in Bath.11 The diagnosis of rheumatoid arthritis in this case can be refined even further. The life story of Siebrandus Sixtius suggests that his rheuma- toid arthritis is of the robust reaction type as described by de Haas et al,'2 renowned rheuma- tologists from Amsterdam. Robust type rheumatoid arthritis is usually seen in men and represents a special reaction to the disease of a strong body supported by a tough mind, but is in no other way a separate entity. There are usually substantial sub- cutaneous nodules previously called 'rheuma- tismus nodosus' or 'gout-like rheumatoid arthritis', and a high titre of rheumatoid factor. Rheumatoid factor could, of course, not be substantiated in this case, but the biography mentioned that Sixtius had nodular rheumatism. If the arthritis of Emperor Constantine IX (c. 980-1055) was rheumatoid arthritis, then the rheumatoid arthritis of the Emperor could also be classified as being of the robust reaction type, according to the detailed life style published by Caughey.'3 The question of whether rheumatoid arthritis came from the New World to the Old World after the discovery of America can neither be fully refuted, nor supported by this seventeenth century case report. America was discovered by Christopher Columbus in 1492, 76 years before the birth of Siebrandus and New Amsterdam (New York) was founded by the first Dutch settlers in 1623, nine years before Siebrandus's death. It is unlikely that within the first 100 years after the discovery of America pathogens or allergens originally native to the New World could have been transplanted to the Old World and that,rheumatoid arthritis could be derived from these pathogens. Immigration to the New World was very limited before the eighteenth century and European soldiers returned only after the American Revolution (1775-83). Colonial transatlantic trade of potential agents of transportation of this disease such as tobacco, potatoes, deer, people, rodents, and dogs took place at a later date than the case of rheumatoid arthritis reported here and certainly later than the probable case of rheumatoid arthritis depicted in paintings of the Flemish-Dutch School of the fifteenth and sixteenth centuries. Why rheumatoid arthritis is not depicted in works of art of earlier or later periods has something to do with the style of the painters. It is largely due to the realism of the Flemish, Dutch and Italian schools of the late Gothic era that we can recognise the rheumatoid defor- mities. On the contrary, during the Renaissance and the Baroque periods- the figures were so idealised and perfected that signs of disease are seldom recognisable in them. 1 Short C L. The antiquity of rheumatoid arthritis. Arthritis Rheum 1974; 17: 193-205. 2 Rothschild B M, Turner K R, DeLuca M A. Symmetrical erosive peripheral polyarthritis in the late archaic period of Alabama. Science 1988; 241: 1498-1501. 3 Dequeker J. Arthritis in Flemish paintings (1400-1700). BMJ 1977; 1: 1203-5. 4 Dequeker J, Rico-Lenza H. Evidence of rheumatoid arthritis in an early XVIth century painting of the Flemish-Dutch school. JAMA. In press. 5 De Katholiek 1866; 50: 104-5. 6 Nieuw Nederlands Biografisch Woordenboek, 1918; IV: 1246-7. 7 Landre-Beauvais A J. Doit-on admettre une nouvelle espece de goutte sous la denomination de goutte asthemique primitive? Paris: Brison An VIII, 1800. 8 Charcot J M. Etudes pour servir a l'histoire de l'affection decrite sous les noms de goutte asthemique primitive, nodosites de jointures, rhumatisme articulaire chronique (forme primitive) etc. Paris: Rignoux Imprimeur de la Faculte de Medecine de Paris, 1853. 9 Sydenham T. The entire work ofDr. Thomas Sydenham, newly made Englishfrom the originals translated byJohn Swan. 3rd ed. London: Cave, 17.53 10 Musgrave W. De arthritide symptomatica dissertatio. Exeter: Yeo and Bishop, 1703. 11 Jayson M I V. The history of rheumatoid arthritis. Arthritis Rheum 1975; 18: 187-8. 12 De Haas W H D, De Boes W, Griffioen F, Oosten-Elst P. Rheumatoid arthritis of the robust reaction type. Ann Rheum Dts 1974; 33: 81-5. 13 Caughey D E. The arthritis of Constantine IX. Ann Rheum Dis 1974; 33: 77-80. 562 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://a rd .b m j.co m / A n n R h e u m D is: first p u b lish e d a s 1 0 .1 1 3 6 /a rd .5 1 .4 .5 6 1 o n 1 A p ril 1 9 9 2 . D o w n lo a d e d fro m http://ard.bmj.com/ 
work_r6ceecxu7vh6be2u2jezgjpipi	----	Psychiatric Bulletin (1990), 14,741-742 Conference briefing Spring Quarterly Meeting, Galway, 11-12 April 1990 GEOFFREYWALLIS,Consultant Psychiatrist, Fulford Grange Hospital, Micklefield Lane, Rawdon, Leeds LSI9 6BA "Only two things are too serious to be jested upon - potatoes and matrimony" Irish aphorism Galway's Eyre Square, overlooked by the Great Southern Hotel which was built for the Midland Great Western Railway Company in 1845, is about the size of Belgrave Square and has grass of Irish green traversed by paths. Opposite the hotel isa metal sculp ture of a sailing craft with a fountain at the base and around the square are shops, restaurants, financial houses, dwelling places and the Browne Doorway, carved in stone. The Brownes were one of the tribes of Galway arriving in 1200. The buildings around the Square vary in shape, size and colour but blend most pleasantly. Not far away is the mediaeval Church of St Nicholas, over which one can with a lump in the throat at last see the sun beginning to go down over Galway Bay. The Square was originally a fair green and now on Sundays it reverberates joyfully to the sound of people at their recreation. About a mile from here, across the river Corrib and beyond the Cathedral, the College held its Spring Meeting in the very pleasant University. An attend ance of over 500 beat all records for Quarterly Meetings. Many Irish colleagues may have taken this opportunity to attend a College meeting without having to bear the cost of travel to the mainland, the employing authorities of Irish psychiatrists, particu larly those in the Republic, being chary of funding them to come to College meetings. Among the main organisers and leading lights on the Irish side were Professor Tom Fahy of Galway University and Dr Charles Smith, Chairman of the Irish Division and Medical Director of the Central Mental Hospital in Dundrum. Dublin, the equiva lent of Broadmoor. Dr Smith in a paper on 'What is Life' dispelled thoughts that he might discourse on the philosophy and biology of life by telling us that for patients in his hospital the length of stay was decreasing while for prisoners serving life sentences it was increasing; and he reminded us that all the people in Eire, particularly young men, who were the main players in the game of crime, were 'sinners'. At the conference dinner he proposed a toast to the guests and alluded to the cunning whereby the daily regis tration fee was only £10. Among the guests was a lady who was quick to correct her being addressed as the Lady Mayoress instead of the Mayor of Galway. She said the City had gained its charter 506 years ago, Christopher Columbus prayed in it, it had many links with the Continent and enjoyed "non-stop festivals". Mr Noel Treacy from the Ministry of Health of Eire said that a detailed review in 1945 had led to community care, sectorisation and a reduction since 1983of 4,000 in the mental hospital population. There were, he said, rehabilitation of the long-term mentally ill, reorganisation of services for child and adolescent psychiatry, expansion of posts in psy chiatry and an expenditure on health as a whole of 21.7% of the budget. His Ministry welcomed dialogue for an "indirectly directly" approach. A few minutes later the President extolled the contribution of the Irish, especially their psychiatrists, to art, scholarship and high spirits, the Irish being often serious but never solemn. He wondered whether we should one day have an Irish woman as President and, speaking for the College, did not recognise any borders anywhere. We heard too that mental health legislation in Eire dated from 1843 andi 948 and was under review. The health services in Eire are organised into six Boards, each of which has hospitals and community care areas. Medical Officers of Health are the Directors of Community Care in these areas, of which the Dublin Board has nine and the other Boards three to five. There are psychiatric beds not only in psychiatric hospitals but also in dual purpose hospitals, such as psychiatric and geriatric, and general hospitals. No purely psychiatric hospital has more than 700 beds. Many hospitals accept paying patients. Cork, as well as Galway and Dublin, have universities, and there are powerful indications that there will soon be a College meeting in Cork. We may feel confident for the future of psychiatry in Eire because the Galway medical students told me that they like this specialty 741 742 HV////.V Dr Jim Birley as having fewer items than other specialties in its diagnostic categories and so giving them better chances of being right! Three simultaneous short paper sessions competed with the first of two sessions on Anxiety but. having new advantages in being held in the morning and as far as possible theme-orientated, they attracted big audiences, up to 60 "sinners". To the benefit of all concerned, short papers and posters are increasing in value and volume as media at College meetings for communication of research. At the College's pre vious meeting in Eire, in the spring of 1978, fascinat ing talks ascribed all or nearly all Irish psychiatric morbidity to the potato famine but this time the papers covered such a vast range that no one topic dominated, although current interests such as serotonin, tardive dyskinesia and post-traumatic stress disorder were well represented. In keeping with the musical and choral merry making talents of the Irish, a very melodious group of three, a doctor, an architect and a musician, enter tained us at both the dinner and a delectable sea food supper after a lavish reception given by the Irish division in the magnificent Aula Maxima of University College. Among organised trips to the surrounding countryside was a sumptuous medieval dinner, at which 'Jim was King', in a 15th century fortress in County Clare. One could drive south loan area of the undulating and terraced bare limestone extending over a hundred square miles called the Burren and seeming to be just like the moon. In and around it are dolmens, strange ancient buildings with militaristic or religious auras, 'disappearing', that is, seasonal lakes and very long and curious caves. A man dis covered the largest of them when rescuing his dog. who had chased a rabbit into it. To the north of Connemara are glorious mountains, loughs, and seascapes in every shade of green, grey, brown, blue and yellow. Here is Kylemore Abbey, which is not at all like an abbey in the predissolution sense but a graceful and imposing lakeside mansion built for a surgeon in the mid-19th century. It became an abbey when Irish nuns, having fled in World War One from an abbey in Ypres, settled in it. It is now occupied by them and schoolgirls who board there, so that it should be called a convent or school or convent school - but it is Irish. By a similar wonderful illogicality the road signs in the country really do point in the wrong directions. The College would applaud the Garda's right to request a breath test from any driver but there are not many Gardas to be seen. Petrol is expensive but consumption is kept down by a maximum speed limit of 55 mph. Otherwise driving, except on a few modern highways and in Galway is, partly because Eire has the lowest population density in Europe, much as it was in England in the 1930s. The buildings of the Galway airport, consisting of two small wooden huts, add to the atmosphere of old worldliness. Apart from 'No extradition' painted on some country walls we saw no signs of political unrest and indeed everybody was friendly to a degree. When my wife and I were heistating beside a road crossing a young man stopped his car and said, "You can cross now-the lights are green". We never discovered whether the lights were green in his favour or ours. Equally crazy was the taxi driver who said of a visit ing circus that he was going to start "just a rumour" that lions and tigers had escaped. Warmest thanks and congratulations are the well merited desserts of the Irish and London members of the College staff for arranging such a marvellous and memorable meeting. 
work_rl42dgejfjbjtjw27aanki2254	----	* REPORT AND PAPERS OF THE FOURTH ANNUAL MEETING OF THE AMERICAN SOCIETY OF CHURCH HISTORY H E L D IN WASHINGTON, D E C . 29 AND 30, 1891 https://doi.org/10.1017/S1079902800000383 Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the https://doi.org/10.1017/S1079902800000383 https://www.cambridge.org/core/terms https://www.cambridge.org/core PAPERS AMERICAN SOCIETY OF CHURCH HISTORY VOLUME IV. REPORT AND PAPERS OF THE FOURTH ANNUAL MEETING, HELD IN THE CITY OF WASHINGTON, DEC. 2 9 AND 3 0 , 1891 EDITED BY REV. SAMUEL MACAULEY JACKSON, M.A. , ~ SECRETARY NEW YORK & LONDON G. P . P U T N A M ' S S O N S the ftmcktrboclur Jjrcss 1892 https://doi.org/10.1017/S1079902800000383 Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the https://doi.org/10.1017/S1079902800000383 https://www.cambridge.org/core/terms https://www.cambridge.org/core COPYRIGHT, 1892 BV SAMUEL MACAULEY JACKSON Ube Iftntcfcerbocfcer press ( G. P. PUTNAM'S SONS) N E W YORK https://doi.org/10.1017/S1079902800000383 Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the https://doi.org/10.1017/S1079902800000383 https://www.cambridge.org/core/terms https://www.cambridge.org/core CONTENTS. PAGE CONSTITUTION OF T H E SOCIETY vii F O U R T H ANNUAL M E E T I N G xiii WORKS OF INTEREST TO T H E STUDENT OF C H U R C H H I S T O R Y W H I C H HAVE APPEARED IN l8gl. A Bibliography compiled by the SECRETARY xxv T H E RELIGIOUS MOTIVES OF C H R I S T O P H E R COLUMBUS. By W I L L I A M KENDALL G I L L E T T , Professor of the French and Spanish Languages, University of the City of New York, and Rev. CHARLES R I P L E Y G I L L E T T , Librarian of Union Theological Seminary, New York City . . . . . . . 3-26 T H E " H E A D S OF A G R E E M E N T , " AND T H E U N I O N OF CONGREGATION- ALISTS AND PRESBYTERIANS BASED ON THEM IN L O N D O N , 1 6 9 I . By W I L L I S T O N W A L K E R , P h . D . , Professor of Mediaeval and Modern Church History, Theological Seminary, Hartford, Conn 29-52 CHRISTIAN U N I T Y , OR T H E KINGDOM OF H E A V E N . By Mr. T H O M A S DAVIDSON, New York City 55-78 T H E BULLS DISTRIBUTING AMERICA. By Rev. J O H N GORDON, D . D . , Professor of Ecclesiastical History, Theological Seminary, Omaha, Neb 81-89 T H E CONFESSIONAL H I S T O R Y OF T H E EVANGELICAL L U T H E R A N C H U R C H IN T H E U N I T E D STATES. By Rev. J O H N N I C U M , Pastor of St. John's Evangelical Lutheran Church, Rochester, N . Y 93-109 CHRISTIAN T H O U G H T IN A R C H I T E C T U R E . By Mr. BARR F E R R E E , New York City 113-140 T H E F R I E N D S H I P OF CALVIN AND MELANCHTHON. By Rev. P H I L I P SCHAFF, D . D . , L L . D . , Professor of Church History in the Union Theological Seminary, New York . . . . 143-163 RECENT RESEARCHES CONCERNING MEDIAEVAL SECTS. By ALBERT H E N R Y N E W M A N , D . D . , L L . D . , Professor of Church History in McMaster University, Toronto, Canada . . . . 167-221 L I S T OF MEMBERS, HONORARY AND ACTIVE 223 INDEX 231 https://doi.org/10.1017/S1079902800000383 Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:25, subject to the https://doi.org/10.1017/S1079902800000383 https://www.cambridge.org/core/terms https://www.cambridge.org/core 
work_rnyoumug2jf67ho5ld3ax2iwpy	----	Asian Creativity: A Response to Satoshi Kanazawa Evolutionary Psychology human-nature.com/ep – 2006. 4: 129-137 ¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯ Original Article Asian Creativity: A Response to Satoshi Kanazawa Geoffrey Miller, Department of Psychology, Logan Hall, 1 University of New Mexico, MSC03 2220, Albuquerque, NM 87131-1161, USA. Email: gfmiller@unm.edu. Abstract: This article responds to Satoshi Kanazawa’s thoughtful and entertaining comments about my article concerning the Asian future of evolutionary psychology. Contra Kanazawa’s argument that Asian cultural traditions and/or character inhibit Asian scientific creativity, I review historical evidence of high Asian creativity, and psychometric evidence of high Asian intelligence (a cognitive trait) and openness to experience (a personality trait) – two key components of creativity. Contra Kanazawa’s concern that political correctness is a bigger threat to American evolutionary psychology than religious fundamentalism, I review evidence from research funding patterns and student attitudes suggesting that fundamentalism is more harmful and pervasive. Finally, in response to Kanazawa’s focus on tall buildings as indexes of national wealth and creativity, I find that 13 of the world’s tallest 25 buildings are in China, Hong Kong, or Taiwan – of which 11 were built in the last decade. Asian creativity, secularism, and architectural prominence point to a bright future for Asian science. Keywords: American Fundamentalism, creativity, individualism vs. collectivism, intelligence, Nobel prizes, openness to experience, religion, research funding, skyscrapers. ¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯¯ Introduction I appreciate Satoshi Kanazawa’s incisive, courageous, and wickedly funny commentary. He and I agree on several things: (1) evolutionary psychology is the most exciting intellectual enterprise in human history; (2) to promote evolutionary psychology, we should focus our energies mostly on doing good science and training good graduate students; (3) good science can only be done by a small minority of each country’s population; (4) Toshio Yamagishi is the Ultraman of Japanese evolutionary psychology. We also agree that the U.S. over-reacted to Japan’s rise in the mid-1980s. Indeed, convinced by the sorts of Japan-alarmist books that Kanazawa cites, I spent much of my undergraduate energy at Columbia University (1983-1987) trying to learn Japanese (a futile two-semester debacle), living in a special-interest ‘Japan Asian Creativity: A Response to Satoshi Kanazawa House’, and taking electives on Japanese literature, cinema, and politics. Perhaps my personal over-reaction to Japan’s rise undercuts my credibility on this rise-of-Asian- science issue. Nevertheless, 20 years later, Japan does have one of the world’s largest economies ($4 trillion GDP per year, compared to $1.8 trillion for Britain, $2.5 trillion for Germany, and $1.6 trillion for Russia – all considered worthy rivals at various points in history). Japan has the world’s leading car companies that produce the most innovative, reliable vehicles (Toyota, Honda, Nissan, Mitsubishi). It has the leading consumer electronic companies (Sony, Canon, Matsushita, Fuji, Fujitsu, NEC, Hitachi, Toshiba) that account for a large proportion of the world’s new patents. Japanese creativity is awesome not just in engineering, but in graphic arts, film, anime, fiction, music, and fashion. In retrospect, Japan’s rise was somewhat over-sold – given its population of 130 million, it was never really likely to overtake the economies of the U.S. (300m) or the E. U. (450m). But the populations of China (1300m) and India (1100m) are an order of magnitude larger than Japan’s, so I don’t think I’m over-reacting quite as naively as when I learned to roll my own Maki-zushi at age 19. Asia’s creativity Kanazawa and I really disagree about one central point: I argued that higher Asian intelligence and population sizes will cash out into scientific dominance by the mid-21st century; whereas Kanazawa argued that intelligence and population aren’t enough, because Asian character and/or cultural traditions inhibit Asian scientific creativity. Kanazawa’s Nobel prize data are accurate, but hard to extrapolate to the future. Asian-ethnicity scientists remain under-represented at this extreme threshold of scientific creativity, compared to European-ethnicity scientists. However, by his criteria, German psychology would have had nothing to worry about circa 1900. From 1901 to 1925, German-ethnicity researchers accounted for 10 out of 30 people winning Nobel prizes in physics, 10 out of 22 in chemistry, and 6 out of 23 in medicine. By contrast, in this same period (1901-1925), US-born researchers accounted for only 1 out of 30 physics prizes (Robert Millikan, 1923), 1 out of 22 chemistry prizes (Theodore Richards, 1914), and 0 out of 23 medicine prizes. Thus, by Nobel prize-counts, even in 1925, it might have seemed absurd to suggest that 20th century science would be dominated by the U.S. Many Europeans of that era did speculate on the cultural factors that seemed likely to continue inhibiting American scientific creativity into the foreseeable future: America’s persistent anti- intellectualism, greedy robber-baron pragmatism, pervasive political corruption, lack of world-class universities, lack of government research funding, and lack of free speech given the domination of news media by corporate trusts and monopolies. In other words, the U.S. looked as scientifically unpromising to Germans a century ago as Asia looks to some Americans and Europeans now. Some of America’s handicaps Evolutionary Psychology – ISSN 1474-7049 – Volume 4. 2006. - 130 - Asian Creativity: A Response to Satoshi Kanazawa have disappeared (we now have world-class universities and government research funding), but some persisted (we still have anti-intellectualism, greedy pragmatism, political corruption, and corporate-dominated news media), and science thrived nonetheless. Contra Kanazawa, it was never the freedom symbolized by the Statue of Liberty that sparked America’s scientific dominance – the physical sciences were driven by the Cold War military-industrial complex, and the biomedical sciences were driven by privatized health care, for-profit pharmaceuticals, and the political clout of retired voters. Nobel prizes aside, is it really true that there is an Asian ‘creativity problem’? Charles Murray (2003) did a massive cross-cultural review of human creative accomplishments. He found high agreement among historians that there were at least the following numbers of truly significant figures in each domain of Asian creativity: Chinese art (N=111), Japanese art (N=81), Chinese literature (N=83), Indian literature (N=43), Japanese literature (N=85), Chinese philosophy (N=39), and Indian philosophy (N=45). Although these numbers are smaller than he found for Western art, literature, and philosophy, he admits his figures were biased by easier access to English-language histories and biographies of Western figures. Murray’s (2003) comparison of creative navigational feats is especially instructive. Italian captain Christopher Columbus ‘discovered’ the New World in 1492 with 90 men on 3 ships (the largest about 85 feet long) in a 7-month voyage. Chinese captain Zheng He ‘discovered’ Java, Sumatra, India, Sri Lanka, Arabia, and east Africa in 1433-1435 with 27,750 men on 317 ships (the largest about 444 feet long) in a two-year voyage. Ever since Joseph Needham’s pioneering 7-volume work Science and Civilization in China (1954-2004), Western historians are gradually realizing that almost everything Europe did, China did earlier, on a larger scale, with better technology. Throughout the middle ages, many of China’s and India’s innovations trickled down to Europe through the Indian Ocean trade routes and the Silk Road. China’s recent tendencies towards conformism and anti-intellectualism – explicit goals of Mao’s 1968 Cultural Revolution – must not be mistaken for a pervasive national lack of creativity. Asia’s alleged ‘creativity problem’ can also be assessed from a psychometric perspective. Creativity seems to depend on the cognitive trait of general intelligence (IQ) interacting with the personality trait of ‘openness to experience,’ according to my reading of the creativity literature (e.g. King, Walker, and Broyles, 1996; Simonton, 1999, 2003) and my own research (Haselton and Miller, 2006; Kaufman, Kozbelt, Bromley, and Miller, in press; Shaner, Miller, and Mintz, 2004; Tal, Miller, and Swegel, 2006). This creative interplay between intelligence and openness seems true in both Western populations (Carson, Peterson, and Higgins, 2005; Dollinger, Urban, and James, 2004) and Asian populations (Chan and Chan, 1999; Zhang and Huang, 2001). So, Asians may have higher intelligence, but do they have lower openness? McCrae (2001) reviewed cross-cultural research on the ‘Big Five’ personality traits, Evolutionary Psychology – ISSN 1474-7049 – Volume 4. 2006. - 131 - Asian Creativity: A Response to Satoshi Kanazawa based on a sample of 23,031 people from 26 cultures. Average openness scores were calculated for each culture, controlling for sample age and sex, with the American sample as the reference group with mean 50 and standard deviation 10 (McCrae, 2001, p. 835, Table 3). To make the figures more comparable to IQ scores, I re- normed these figures (right column of Table 1 below) to yield a U.S. openness mean of 100 and SD of 15. Here are some example mean openness scores across cultures: Table 1: Average ‘Openness to Experience’ scores across cultures, compared to U.S. sample (from McCrae, 2001, p. 835, Table 3) (Note: First column of figures is McCrae’s own normalization, with U.S. sample standardized to mean 50 and standard deviation 10. Second column is my re-normalization to increase comparability to IQ scores, with US sample set to mean 100 and standard deviation 15. ) Country If US = mean 50, SD 10 If US = mean 100, SD 15 U.S.A. 50.0 100.0 Europe Germany 56.7 110.1 Netherlands 55.7 108.6 France 54.1 106.2 Italy 52.6 103.9 Belgium 51.8 102.7 Norway 51.5 102.3 Russia 49.1 98.7 Spain 48.0 97.0 Asia Philippines 51.8 102.7 Japan 51.7 102.6 South Korea 51.4 102.1 India 51.4 102.1 Taiwan 50.2 100.3 Evolutionary Psychology – ISSN 1474-7049 – Volume 4. 2006. - 132 - Asian Creativity: A Response to Satoshi Kanazawa Country If US = mean 50, SD 10 If US = mean 100, SD 15 Indonesia 49.9 99.9 Hong Kong 49.2 98.8 Malaysia 46.6 94.9 If Asians truly showed a ‘creativity problem’, we might expect their average openness scores to be much lower than those of Americans. Instead, they are quite similar. Some Asian countries show slightly higher average openness than the U.S. (Philippines, Japan, South Korea, India, Taiwan); others show slightly lower average openness (Indonesia, Hong Kong, Malaysia). In no case does the Asian mean differ by more than 1/5 of a standard deviation from the U.S. sample. Compared to the U.S. average (set to 100.0), the mean openness of the huge new Asian powers is very similar – 102.1 for India, and about 99.6 for China (estimated by averaging the Taiwan Chinese and Hong Kong Chinese figures). If U.S. science can prosper with openness levels about half a standard deviation lower than those of northern Europe (see Table 1), Asian science probably can too. Kanazawa is right that current Asian teaching styles often emphasize rote learning and analytical reasoning rather than self-expressive creativity (Niu and Sternberg, 2003). Some have also argued that Asian cultures are deeply ‘collectivist’ and therefore less individually creative than Western ‘individualist’ cultures (Ng, 2003). However, recent meta-analyses of individualism/collectivism have seriously challenged such stereotypes of Asia as a whole: only contemporary communist China seems significantly more ‘collectivist’ in orientation than the U.S. (e.g. Oyserman, Coon, and Kellelmeier, 2002). Research also suggests that Asian students’ socialized conformity is fairly easy to overcome with explicit instructions to “Be creative” (Chen et al., 2005), or instructions that emphasize the group benefits of creativity (Goncalo and Staw, 2006) – both of which are prominent themes in graduate science education. This evidence of Asia’s creative potential – in additional to its intellectual potential, massive population, and growing economy – makes me optimistic about its future as a center for evolutionary psychology. America’s Fundamentalism Kanazawa thinks I worry too much about American religious Fundamentalism, and not enough about American political correctness. My concern is that Fundamentalists can do a lot more than refuse to pump our gas. They can elect politicians who marginalize high school science education, who try to eliminate behavioral sciences funding from both NIH and NSF, who make American sex research nearly impossible, and who prioritize costly, atheoretical Big Science Evolutionary Psychology – ISSN 1474-7049 – Volume 4. 2006. - 133 - Asian Creativity: A Response to Satoshi Kanazawa initiatives (e.g. some strands of human genomics and cognitive neuroscience) over cheap, consilient real science initiatives such as evolutionary psychology. Judging from America’s science funding patterns, Fundamentalists have already won their ‘culture war’ against secular humanism. The U.S. federal government currently (fiscal year 2006) spends $128 billion per year on research, including $75 billion on military defense research and $29 bn on physical health research, versus $6 bn on general science, only a tiny fraction of which goes to psychology. For example, NSF allocates each year just $80 million to Behavioral and Cognitive Sciences, compared to $319m for Polar Research, $246m for Materials Research, and $94m for Plant Genome Research. In other words, America’s science funding is almost entirely Survivalist in orientation: it concerns aggressive military interventions against avoidable external physical threats (e.g. other countries, terror cells, and polar bears, apparently) that arise mostly through diplomatic failures, and aggressive medical interventions against avoidable internal physical threats (diseases) that arise mostly through lifestyle failures. Americans support science largely so they can, with impunity, exploit foreigners, eat cows, and avoid physical exertion. These funding priorities make sense if the only thing you care about is short-term personal and national survival until the imminent Rapture, when Jesus re-appears and rescues the faithful from post-Enlightenment atheism. These priorities make absolutely no sense if you care about the long-term peace, prosperity, and happiness of humanity. Kanazawa is more concerned about the baleful influence of post-modernists, gender feminists, and Marxists. I don’t see that influence so much here at the University of New Mexico. In a sample of 198 undergraduates who took my evolutionary psychology or human sexuality classes, about 65% believe in God, 62% believe in life after death, 60% classify themselves as Christians, 50% agree that ‘religion is important in my life”, and 45% pray regularly. By contrast, only 7% classify themselves as politically ‘far left’, only 1% are gay or lesbian, and fewer than 5% have had any academic exposure to feminism whatsoever. We also have more active Christians than post-modernists among the tenured psychology faculty. I will worry about post-modernists and gender feminists when their research actually receives significant government support – when a National Institute for the Denial of Sex Differences actually gets the $1.7bn that NIH spends on ‘biodefense’ research, in reaction to a few envelopes of anthrax. I will worry about their influence when feminists Susan Faludi and Germaine Greer start out-selling Fundamentalist Tim LaHaye (whose Left Behind series about the Rapture has sold 65m books so far in the U.S.). Until that day, American Fundamentalism is our biggest problem in evolutionary psychology, and Asian creativity is our best solution. Skyscrapers and statues Kanazawa wants to talk about tall buildings as an index of national prominence, wealth, and creativity. OK, let’s talk about tall buildings. Kanazawa is Evolutionary Psychology – ISSN 1474-7049 – Volume 4. 2006. - 134 - Asian Creativity: A Response to Satoshi Kanazawa wrong that Muslims can’t build impressive structures. The Burj Dubai will be at least 2,300 feet tall: 2,000 feet taller than the Statue of Liberty (151 feet), 1,000 feet taller than the World Trade Center towers (1,368 feet), and 500 feet taller than the Freedom Tower (1,776 feet, under construction on the World Trade Center site). The Middle East is making a clear symbolic claim of Muslim superiority over the corrupt Judaeo- Christian capitalism of New York. Table 2: World’s 25 tallest buildings, completed or under construction, as of June 2006 (from http://architecture.about.com/library/bltall.htm) Rank Location Building Height (feet) Year built 1 Dubai Burj Dubai 2,313 2008? 2 USA: New York Freedom Tower 1,776 2011? 3 China: Taipei, Taiwan Taipei 101 1,667 2004 4 China: Shanghai Shanghai World Financial Center 1,670 2007? 5 China: Hong Kong Union Square Phase 7 1,555 2007? 6 Malaysia: Kuala Lumpur Petronas Tower 1 1,483 1998 7 Malaysia: Kuala Lumpur Petronas Tower 2 1,483 1998 8 USA: Chicago Sears Tower 1,451 1974 9 China: Shanghai Jin Mao Building 1,381 1999 10 China: Hong Kong Two International Financial Center 1,362 2003 11 China: Guangzhou Sky Central Plaza 1,283 1996 12 China: Shenzhen Shun Hing Square 1,260 1996 13 USA: New York Empire State Building 1,250 1931 14 China: Hong Kong Central Plaza 1,227 1992 15 China: Hong Kong Bank of China 1,209 1989 16 USA: New York Bank of America 1,200 2008? 17 Dubai Emirates Tower One 1,165 1999 18 China: Kaohshiung, Taiwan Tuntex Sky Tower 1,140 1997 19 USA: Chicago Aon Centre 1,136 1973 20 China: Hong Kong The Center 1,135 1998 21 USA: Chicago John Hancock Center 1,127 1969 22 China: Shanghai Shimao International Plaza 1,093 2005 23 China: Wuhan Wuhan ISB 1,087 2006 Evolutionary Psychology – ISSN 1474-7049 – Volume 4. 2006. - 135 - Asian Creativity: A Response to Satoshi Kanazawa Rank Location Building Height (feet) Year built 24 N. Korea: Pyongyang Ryugyong Hotel 1,083 1995 25 Australia: Gold Coast Q1 1,058 2005 More importantly, China is building like crazy. Table 2 lists the 25 tallest buildings in the world, completed or under construction, as of June 2006. China (including Hong Kong and Taiwan) has 13, more than half of them. Of these, 11 were built in the last decade (since 1996). The rest of Asia has 3 of the world’s 25 tallest buildings. The U.S. has 6, Dubai has 2, Australia has 1, Europe has none. China also has 5 more sky-scrapers taller than the Empire State Building in proposal stages. What do tall buildings have to do with the future of evolutionary psychology? They are salient symbolic expressions of a country’s cultural ambitions, and of its current engineering and economic prowess. I was astonished at the proliferation of Chinese sky-scrapers, just as I have been excited by the rise of Asian science, apparent in any recent issue of Nature or Science magazine. If you don’t believe my abstract estimates about Asia’s future population, wealth, intelligence, openness, and creativity, there’s a more concrete way to appreciate Asia’s prospects. Just fly to Hong Kong, Taipei, or Shanghai, and have a look around. (If you can’t afford the flight, just do some google image searches on “Taipei 101” and “Shanghai WFC”.) You will be dizzied by the pace of Asian construction, and what it foreshadows about the likely future of Asian science. Received 27 June, 2006; Accepted 27 June, 2006. References Carson, S. H., Peterson, J. B. and Higgins, D. M. (2005). Reliability, validity, and factor structure of the creative achievement questionnaire. Creativity Research Journal, 17(1), 37-50. Chan, D. W. and Chan, L. K. (1999). Implicit theories of creativity: Teachers’ perception of student characteristics in Hong Kong. Creativity Research Journal, 12(3), 185-195. Chen, C. S., Kasof, J., Himsel, A., Dmitrieva, J., Dong, Q. and Xue, G. (2005). Effects of explicit instruction to “be creative” across domains and cultures. Journal of Creative Behavior, 39(2), 89-110. Dollinger, S. J., Urban, K. K. and James, T. A. (2004). Creativity and openness: Further validation of two creative product measures. Creativity Research Journal, 16(1), 35-47. Goncalo, J. A. and Staw, B. M. (2006). Individualism-collectivism and group creativity. Organizational Behavior and Human Decision Processes, 100(1), 96-109. Evolutionary Psychology – ISSN 1474-7049 – Volume 4. 2006. - 136 - Asian Creativity: A Response to Satoshi Kanazawa Evolutionary Psychology – ISSN 1474-7049 – Volume 4. 2006. - 137 - Haselton, M. and Miller, G. F. (2006). Women’s fertility across the cycle increases the short-term attractiveness of creative intelligence compared to wealth. Human Nature, 17(1), 50-73. Kanazawa, S. (2006). It ain’t gonna be like that. Evolutionary Psychology, 4, 120- 128. Kaufman, S. B., Kozbelt, A., Bromley, M. L. and Miller, G. F. (in press). The role of creativity and humor in mate selection. For G. Geher and G. Miller (Eds.), Mating intelligence. Mahwah, NJ: Erlbaum. King, L. A., Walker, L. M. and Broyles, S. J. (1996). Creativity and the five-factor model. J. of Research in Personality, 30(2), 189-203. McCrae, R. (2001). Trait psychology and culture: Exploring intercultural comparisons. Journal of Personality, 69(6), 819-846. Miller, G. F. (2006). The Asian future of evolutionary psychology. Evolutionary Psychology, 4, 107-119. Murray, C. (2003). Human accomplishment: The pursuit of excellence in the arts and sciences, 800 B.C. to 1950. New York: HarperCollins. Ng, A. K. (2003). A cultural model of creative and conforming behavior. Creativity Research Journal, 15(2-3), 223-233. Niu, W. H. and Sternberg, R. J. (2003). Societal and school influences on student creativity: The case of China. Psychology in the Schools, 40(1), 103-114. Oyserman, D., Coon, H. M. and Kemmelmeier, M. (2002). Rethinking individualism and collectivism: Evaluation of theoretical assumptions and meta-analyses. Psychological Bulletin, 128(1), 3-72. Shaner, A., Miller, G. F. and Mintz, J. (2004). Schizophrenia as one extreme of a sexually selected fitness indicator. Schizophrenia Research, 70(1), 101-109. Simonton, D. K. (1999). Creativity as blind variation and selective retention: Is the creative process Darwinian? Psychological Inquiry, 10(4), 309-328. Simonton, D. K. (2003). Scientific creativity as constrained stochastic behavior: The integration of product, person, and process perspectives. Psychological Bulletin, 129(4), 475-494. Tal, I., Miller, G. F. and Swegel, P. (2006). A psychometric validation of mating intelligence: Verbal creativity, general intelligence, personality, psychopathology, and sexual history. Talk presented at the Human Behavior and Evolution Society annual conference, Philadelphia, PA, June 2006. Zhang, L. F. and Huang, J. F. (2001). Thinking styles and the five-factor model of personality. European Journal of Personality, 15(6), 465-476. Evolutionary Psychology Asian Creativity: A Response to Satoshi Kanazawa Introduction Asia’s creativity CountryIf US = mean 50, SD 10If US = mean 100, SD 15 Europe Asia CountryIf US = mean 50, SD 10If US = mean 100, SD 15 America’s Fundamentalism Skyscrapers and statues Rank LocationBuildingHeight (feet) Year built Rank LocationBuildingHeight (feet) Year built References 
work_rs6k23plwzct5ckpa3eyhef7me	----	pnas201303367 1398..1406 New World cattle show ancestry from multiple independent domestication events Emily Jane McTavisha,1, Jared E. Deckerb, Robert D. Schnabelb, Jeremy F. Taylorb, and David M. Hillisa,1 aDepartment of Integrative Biology, University of Texas at Austin, Austin, TX 78712; and bDivision of Animal Sciences, University of Missouri, Columbia, MO 65211 Contributed by David M. Hillis, February 21, 2013 (sent for review December 17, 2012) Previous archeological and genetic research has shown that modern cattle breeds are descended from multiple independent domestica- tion events of the wild aurochs (Bos primigenius) ∼10,000 y ago. Two primary areas of domestication in the Middle East/Europe and the Indian subcontinent resulted in taurine and indicine lines of cattle, respectively. American descendants of cattle brought by European explorers to the New World beginning in 1493 generally have been considered to belong to the taurine lineage. Our analyses of 47,506 single nucleotide polymorphisms show that these New World cat- tle breeds, as well as many related breeds of cattle in southern Europe, actually exhibit ancestry from both the taurine and indicine lineages. In this study, we show that, although European cattle are largely descended from the taurine lineage, gene flow from African cattle (partially of indicine origin) contributed substantial genomic components to both southern European cattle breeds and their New World descendants. New World cattle breeds, such as Texas Longhorns, provide an opportunity to study global population struc- ture and domestication in cattle. Following their introduction into the Americas in the late 1400s, semiferal herds of cattle underwent between 80 and 200 generations of predominantly natural selection, as opposed to the human-mediated artificial selection of Old World breeding programs. Our analyses of global cattle breed population history show that the hybrid ancestry of New World breeds con- tributed genetic variation that likely facilitated the adaptation of these breeds to a novel environment. biogeography | bovine | evolution | genome | introgression The development of genomic tools has given biologists theability to analyze variation among DNA sequences to recon- struct population history on a fine scale. Given the close inter- action of humans with domesticated species and the economic importance of domesticated organisms, it is not surprising that humans have developed many of these species as model organ- isms. Over the last few years, genomic data have been used to reconstruct the domestication history of many of these species, including dogs (1, 2), horses (3), sheep (4), and cattle (5, 6). The global economic importance of cattle, in combination with the anthropological interest in the shared history of cattle and humans over the last 10,000 y, makes cattle an ideal target for spatial genetic research. The first assembly of the cattle genome sequence was published in 2009 (7, 8). This achievement enables biologists to use genetic variation across breeds and the linkage relationships between those markers to trace the global history of cattle domestication and breed development. Despite the history of artificial selection in cattle by humans, we report that genomic data can be used to reconstruct broad aspects not only of breed structure but also of the global spatial history of domesticated cattle. Similarly to the strong correlation of genetic variation and geography in European human popu- lations (9), we also find geographic patterning of genetic variation in cattle. Reconstructing the population history of domesticated species is particularly interesting because historical information can be used to realistically constrain parameter estimates in the modeling process. In addition, although the within- versus among- breed partitioning of genetic variation varies widely across different domesticated species (5, 10), most established breeds of cattle can be distinguished using genetic markers (11). Thus, the pop- ulation history—including movement, population subdivision, hy- bridization, and introgression—of breeds of domesticated species can be tracked using genetic tools. Domesticated cattle were introduced to the Caribbean in 1493 by Christopher Columbus, and between 1493 and 1512, Spanish colonists brought additional cattle in subsequent expeditions (12). Spanish colonists rapidly transported these cattle throughout southern North America and northern South America. In the intervening 520 y, they have adapted to the novel conditions in the New World. The descendants of these cattle are known for high feed- and drought-stress tolerance in comparison with other European-derived cattle breeds (13, 14). Genetic variation found within these breeds may be especially valuable in the future ad- aptation of cattle breeds to climate change. Using genomic tools, we can reconstruct the global population structure of domesti- cated cattle and determine how different lineages contributed to this group’s evolution. Domesticated cattle consist of two major lineages that are derived from independent domestications of the same progenitor species, the aurochs (Bos primigenius). The aurochs was a large wild bovine species found throughout Europe and Asia, as well as in North Africa; it has been extinct since 1627 (15). These two primary groups of domesticated cattle are variously treated by different authors as subspecies (Bos taurus taurus and Bos taurus indicus) or as full species (Bos taurus and Bos indicus). For sim- plicity, we refer here to these two groups as taurine and indicine cattle, respectively. The most obvious phenotypic differences be- tween these groups are the noticeable hump at the withers (i.e., Significance Cattle were independently domesticated from the aurochs, a wild bovine species, in the vicinity of the current countries of Turkey and Pakistan ∼10,000 y ago. Cattle have since spread with humans across the world, including to regions where these two distinct lineages have hybridized. Using genomic tools, we investigated the ancestry of cattle from across the world. We determined that the descendants of the cattle brought to the New World by the Spanish in the late 1400s show ancestry from multiple domesticated lineages. This pattern resulted from pre-Columbian introgression of genes from African cattle into southern Europe. Author contributions: E.J.M., J.F.T., and D.M.H. designed research; E.J.M. performed re- search; E.J.M., J.E.D., R.D.S., J.F.T., and D.M.H. analyzed data; and E.J.M. and D.M.H. wrote the paper. The authors declare no conflict of interest. Freely available online through the PNAS open access option. Data deposition: The single nucleotide polymorphism data reported in this paper have been deposited in the Dryad Data Repository, http://dx.doi.org/10.5061/dryad.42tr0. 1To whom correspondence may be addressed. E-mail: ejmctavish@utexas.edu or dhillis@ austin.utexas.edu. This article contains supporting information online at www.pnas.org/lookup/suppl/doi:10. 1073/pnas.1303367110/-/DCSupplemental. E1398–E1406 | PNAS | Published online March 25, 2013 www.pnas.org/cgi/doi/10.1073/pnas.1303367110 http://dx.doi.org/10.5061/dryad.42tr0 mailto:ejmctavish@utexas.edu mailto:dhillis@austin.utexas.edu mailto:dhillis@austin.utexas.edu http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental www.pnas.org/cgi/doi/10.1073/pnas.1303367110 the shoulders of a four-legged mammal) and the floppy rather than upright ears of indicine cattle (16). The taurine lineage was probably first domesticated in the Middle East, with some later contributions from European aurochsen; the indicine lineage was domesticated on the Indian subcontinent (17). Although archaeological evidence suggests these domestication events likely occurred only 7,000–10,000 y ago (14, 16, 18, 19), there was already preexisting spatial genetic structure in the aurochs population at that time. As a result, the taurine and indicine groups are thought to share a most-recent common ancestor ≥200,000 y ago (20). However, aurochsen and domesticated cattle coexisted in Europe until 1627, and ancient DNA sequencing of aurochs fossils suggests that some large divergences within European domesticated cattle mtDNA may be driven by the repeated incorporation of wild aurochsen into domesticated herds (21, 22). European cattle breeds are largely taurine in origin, whereas cattle from the Indian subcontinent are indicine. Generally, indicine cattle are more feed-stress and water-stress tolerant and are more tropically adapted compared with taurine breeds (23). European taurine cattle have been subjected to more intensive selection for milk and meat pro- duction, as well as docility and ease of handling. Taurine and indicine cattle have both contributed genetically to cattle herds in much of Africa (10, 17, 24–26), and microsatellite analyses show a cline of decreasing indicine heritage from east to west and from north to south across the continent (17). Some re- searchers have suggested that African taurine cattle are derived from a third independent domestication from North African aurochsen (16, 26, 27), although there is also archeological and biological support for postdomestication population structuring within North African herds (18). The major mitochondrial hap- logroups within taurine cattle distinguish European from African cattle but show patterns of gene flow north across the Mediter- ranean, particularly at the Strait of Gibraltar and from Tunisia into Sicily (24, 28). Wild aurochsen in southern Europe and northern Africa, which likely crossed with the domesticated cattle there, may have carried indicine-like haplotypes, but aurochsen mtDNA sampled from Europe to date groups with extant taurine lineages (22). The first cattle in the Americas were brought to the Caribbean island of Hispaniola, from the Canary Islands, by Christopher Columbus on his second voyage across the Atlantic in 1493, and Spanish colonists continued to import cattle until ∼1512 (13). The descendants of these cattle are the main focus of this paper. The cattle from the Canary Islands were descended from animals of Portuguese and Spanish origin, introduced 20 y earlier by early Spanish explorers (13). Therefore, these cattle likely shared some ancestry with Northern African breeds of cattle and thus may have included an indicine genetic component, via earlier gene flow from Africa to the Iberian Peninsula. The imported cattle reproduced rapidly in the Caribbean, and by 1512, importation of cattle by ship was no longer necessary (13). Caribbean cattle were introduced into Mexico in 1521 and had been moved north into what is now Texas and south into Colombia and Venezuela within a few decades (13). The Spanish settlers relied on these cattle for meat, but largely allowed them free range in the unfenced wilderness. Artificial selection was occasionally imposed by the choice of which individuals to cas- trate for steers and which to leave as bulls, except in completely feral herds. Although population sizes plummeted in the late 1800s and herds became more highly managed (13, 29), natural selection had driven the evolution of this group for 400 y (12), or between 80 and 200 generations (30). Although precise genera- tion time of feral populations of cattle is unknown, Texas Longhorns in captivity today reproduce by age 2. The mostly feral Spanish cattle were the ancestors of the present day New World breeds including Corriente cattle from Mexico, Texas Longhorns from northern Mexico and the southwestern United States, and Romosinuano cattle from Colombia (12). This long period of natural selection left these groups better adapted to these landscapes than breeds of more recent European origin. Texas Longhorns are known to be immune to a tick-borne dis- ease known as “Texas fever” or “Cattle tick fever,” caused by the protozoan Babesia bigemina (31). This pathogen’s vector genus Boophilus is known to have been imported with cattle into the New World (32). Texas Longhorns have also been described to have far greater drought resistance in comparison with more recently imported European breeds (29). Research on the genetic diversity that was captured by Spanish colonists in the cattle they chose to bring to the New World has been limited. Some African mtDNA haplotypes and microsatellite alleles are also found in Creole (Caribbean) and Brazilian cattle (33). Although some references suggest that cattle may have been brought directly from West Africa to the Caribbean and South America as part of the slave trade, there is no direct historical evidence for this hypothesis (12). Genomic studies have been conducted on cattle breed pop- ulation structure (5, 6), but the Iberian lineage of New World cattle has not been investigated in depth. In a phylogenetic analysis on a subset of the single nucleotide polymorphism (SNP) dataset used here, Decker et al. (6) found New World cattle to be the sister group of all other European taurine cattle when heterozygous genotypes were treated as ambiguous characters. However, when genotypes were coded as allele counts (0 for AA, 1 for AB, 2 for BB), the New World cattle were placed within the European clade. For several hundred years, the only cattle present in North America were those introduced by the Spanish, but indicine cattle were introduced to North America via Jamaica by the 1860s (34). In the mid-1900s, indicine cattle were imported into Brazil, and now there are “naturalized” Brazilian indicine (Nelore) and indicine/taurine hybrid (Canchim) breeds. In some samples of Spanish-derived breeds from South America, mtDNA haplo- groups and a Y chromosome microsatellite marker suggest indi- cine introgression in New World cattle (35, 36). In particular, recent male-mediated introgression of indicine alleles into tau- rine breeds appears common in Brazil (37). In this study, we sampled individuals and markers both within New World cattle and from across the globe to study the hybrid history of New World cattle. By analyzing nuclear SNPs scored in cattle from distinct evolutionary lineages, we were able to esti- mate introgression on a genomic scale. Previous work on New World cattle relied on mtDNA and Y chromosome markers (35). These sequences each reflect the history of a single locus and thus do not have the power to track complex histories of in- trogression and admixture of genomes. The 47,506 nuclear loci we examined can reflect independent coalescent histories due to recombination and assortment, so they are able to provide much finer resolution of population history than mitochondrial DNA or other single locus markers (38). Results Our samples of New World cattle included Texas Longhorn cattle (n = 114), Mexican Corriente cattle (n = 5), and Colombian Romosinuano cattle (n = 8). To place these individuals in a global phylogeographic context, we also included previously published data from individuals of 55 other breeds (n = 1,332; Table 1) (6). These cattle were genotyped for nuclear SNP loci across all 29 autosomal chromosomes using the Illumina BovineSNP50 Bead- Chip, the Illumina 3K chip, or 6K chip. We analyzed two datasets: one (termed the 1.8k dataset) included 1,814 SNP loci present on all three chips, and the other (termed the 50k dataset) included 47,506 SNP loci from the Bovine SNP50 chip. The 1.8k dataset included more extensive sampling of Texas Longhorn cattle (n = 114) compared with the 50k dataset (n = 40), but a less thorough sampling of the genome. McTavish et al. PNAS | Published online March 25, 2013 | E1399 EV O LU TI O N P N A S P LU S Table 1. Breeds included in the analysis Figure legend Name Region of origin Sample size 50k (1.8k) 1 Shorthorn Great Britain 99 2 Maine Anjou Southern Europe 5 3 White Park Great Britain 4 4 Kerry Great Britain 3 5 Angus Great Britain 90 6 Devon Great Britain 4 7 Hereford Great Britain 98 8 Simmental Northern Europe 77 (78) 9 Red Angus Great Britain 15 10 Tarentaise Southern Europe 5 11 Belgian Blue Northern Europe 4 12 South Devon Great Britain 3 13 Murray Gray Australia (via Great Britain) 4 14 English Longhorn Great Britain 3 15 Red Poll Great Britain 5 16 Limousin Southern Europe 100 17 Dexter Great Britain 4 18 Finnish Ayrshire Northern Europe 10 19 Guernsey Channel Islands 10 20 Welsh Black Great Britain 2 21 Norwegian Red Northern Europe 21 22 Gelbvieh Northern Europe 8 23 Scottish Highland Great Britain 8 24 Pinzgauer Northern Europe 5 25 Salers Southern Europe 5 26 Montbeliard Southern Europe 5 27 Blonde d’Aquitaine Southern Europe 5 28 Galloway Great Britain 4 29 Holstien Northern Europe 85 (100) 30 Sussex Great Britain 4 31 Charolais Southern Europe 53 32 Belted Galloway Great Britain 4 33 Brown Swiss Northern Europe 10 34 Piedmontese Southern Europe 29 35 Jersey Channel Islands 10 36 Romagnola Southern Europe 29 37 Chianina Southern Europe 7 38 Marchigiana Southern Europe 2 (4) 39 Texas Longhorn Southwestern United States 40 (114) 40 Texas Longhorn cross Southwestern United States 5 41 Corriente Mexico 5 42 Romosinuano Colombia 8 43 Hanwoo Korean Asia 7 44 Japanese Black Asia 10 45 Santa Gertrudis Indicine-taurine hybrid (United States) 24 46 Beefmaster Indicine-taurine hybrid (United States) 24 47 Senepol Africa 36 (37) 48 N’Dama Africa 59 49 Tuli Africa 4 (5) 50 Ankole-Watusi Africa 5 51 N’DamaXBoran Africa 42 (41) 52 Sheko Africa 20 53 Boran Africa 44 54 Nelore Brazil (via India) 58 (60) 55 Brahman United States (via India) 98 56 Guzerat Brazil (via India) 3 57 Sahiwal India/Pakistan 10 58 Gir India 25 Column “Figure legend” shows label number for Figs. 2 and 3. Sample sizes show the number of individuals included in the analysis after filtering the 50k and 1.8k datasets. Sample sizes for the 1.8k dataset were identical to the 50k except where noted. E1400 | www.pnas.org/cgi/doi/10.1073/pnas.1303367110 McTavish et al. www.pnas.org/cgi/doi/10.1073/pnas.1303367110 Average heterozygosity within breeds ranged from 15% (SD, 1%) in the indicine breed Gir, to 30% (SD, 1%) in the taurine Belgian Blue cattle (Table S1). The highest heterozygosity was 31% (SD, 1%) in the recent hybrid Beefmaster. Generally, as expected from the ascertainment panel for the SNP chip (39), taurine breeds had higher heterozygosity. Breeds of taurine or- igin averaged heterozygosity of 27%, whereas breeds of indicine origin averaged heterozygosity of 16%. Across New World cattle, average heterozygosity was 28% (Texas Longhorns: 29%, SD, 2%; Corriente; 27%, SD, 2%; Romosinuano: 27%, SD, 1%). Principal Component Analyses. For both the 50k and the 1.8k datasets, the first axis of our principal components analysis (PCA) was associated with the indicine–taurine split (Fig. 1; Fig. S1). This axis accounted for 9% of the variance in genotypes in the 1.8k dataset and 13% in the 50k dataset. The second PC axis was associated with the divergence between European and African taurine cattle and accounted for 2.6% (1.8k dataset) to 3.2% (50k dataset) of the variance in genotypes. The placement of African cattle reflected both the gradient of indicine in- trogression across the continent along PC1 and the divergence between European and African taurine cattle along PC2. N’Dama cattle exhibited the most distinct African taurine ancestry. The New World cattle exhibited intermediate ancestry along both of these axes, with more indicine-like and African-like ancestry than most other European breeds. The full 50k SNP dataset overemphasized genetic diversity in British breeds of cattle (especially Herefords; Fig. S1A). There- fore, we reanalyzed the 50k PCA excluding those individuals (Fig. S1B), which resulted in the same patterns seen for the 1.8k data (Fig. 1). The first 90 PC axes in the 1.8k dataset and the first 154 axes in the 50k dataset were statistically significant based on the Tracy- Widom test (40). Model-Based Clustering. In the STRUCTURE analyses of the 1.8k dataset (Fig. 2), we found strong support for two population subdivisions (K), consistent with the deep division of indicine and taurine lineages. The “Hybrid” section shown in Fig. 2 contains the two cattle breeds derived from recent taurine–indicine crosses: Santa Gertrudis (Brahman/Shorthorn) and Beefmaster (Brahman/ Hereford/Shorthorn). The STRUCTURE ancestry estimates of these groups reflect their hybrid origins. At K = 2, all New World cattle were estimated to have some indicine ancestry (Fig. 2). Romosinuano cattle from Colombia (n = 8) averaged 14% (SD, 3%) indicine introgression, Corriente cattle from Mexico (n = 5) exhibited 10% (SD, 3%) indicine introgression, and Texas Longhorns (n = 114) averaged 11% (SD, 6%) indicine intro- gression. An ANOVA showed no significant differences in the extent of indicine introgression among these three groups (P = 0.16). Increasing K beyond two subdivisions resulted in only marginal increases in likelihood scores, which suggested possible model overparameterization. At K = 3, the population subdivisions were roughly consistent with groups of indicine cattle, European taurine cattle, and African cattle (the latter represented by N’Dama cattle; group 48). However, the African subdivision was also present in Mediterranean and New World cattle breeds. At higher values of K, among-breed genetic structure predominated. Levels of indicine introgression varied across individual Texas Longhorns. In agreement with Decker et al. (6), some groups (e.g., Jersey: group 35) consistently showed complex ancestry that was consistent across a range of K values from 3 to 8 (Fig. 2). Correlation Between Latitude and Genotype. For breeds originally developed within Europe, we found a significant negative cor- relation (r = −0.502; P = 0.002) between latitude of country of origin and estimated percent indicine introgression. Percent indi- cine introgression was estimated from the 1.8k STRUCTURE analyses with K = 2. India Africa Korea and Japan Hybrid Great Britain Northern Europe Channel Islands Southern Europe Corriente Romosinuano Texas Longhorns PC 1 P C 2 -0.06 -0.04 -0.02 0 0.02 0.04 -0.08 -0.04 0 0.04 0.08 N’Dama Fig. 1. Statistical summary of genetic variation in 1,461 cattle individuals genotyped at 1,814 SNP loci. Individuals are grouped by the region from which their breed originated, as described in Table 1. Principal component 1 (PC1) captures the split between indicine and taurine domestications. The position of individuals along this axis can be interpreted as the proportion of admixture between these two groups. PC2 captures the European–African split within taurine cattle. McTavish et al. PNAS | Published online March 25, 2013 | E1401 EV O LU TI O N P N A S P LU S http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=ST1 http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=SF1 http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=SF1 http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=SF1 http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=SF1 Discussion Simulations have demonstrated that inference of complex his- torical migration models using PCA is difficult because multiple processes can result in the same patterns (9, 41). Indeed, even under relatively simple scenarios, such as the admixture between two ancestral groups, admixed individuals can be incorrectly assigned to a third group that appears to be geographically in- termediate (42). However, when ancestral groups are known, coalescent estimates of admixture between distinct populations are mathematically straightforward. McVean (43) showed that, although PCA is a nonparametric analysis method, coordinates can be predicted from pairwise coalescence times between individuals. This prediction allows a genealogical interpretation to principal component scores. The first principal component can be interpreted as the deepest coalescent event in a tree, and the projection of admixed individuals onto this axis can be used to estimate the proportion of mixture between two parental groups (43). As a test case, we were able to correctly reconstruct the known ancestry of recent taurine–indicine hybrid breeds created for agricultural purposes: Santa Gertrudis (group 45), a Brahman-Shorthorn cross developed in 1918, and Beefmaster (group 46), a cross between Hereford, Shorthorn, and Brahman cattle developed in the 1930s (the “Hybrid” groups shown in Figs. 1 and 2). In addition, we were able to recover the taurine– indicine hybridization cline across Africa along the first principal component (PC1) shown in Fig. 1. The second principal component (PC2) shown in Fig. 1 sep- arates Eurasian from African cattle, indicating a distinctive ge- nomic component in African breeds. Our samples of African cattle breeds all appear to have admixed taurine–indicine an- cestry, based on the intermediate position of African cattle on PC1 (Fig. 1) and the STRUCTURE analyses when K = 2 (Fig. 2). However, the distinctiveness of northern African breeds on PC2 (Fig. 1), as well as in the STRUCTURE analyses when K = 3, indicates additional genomic differentiation in northern African cattle. If African breeds are derived entirely from a mix- ture of European and Asian cattle, this differentiation must have occurred after the importation of domestic cattle to Africa. Al- ternatively, this unique African component may be derived from additional domestication events involving north-African auroch- sen, as has been suggested previously (16, 26, 27). Both the principal components analysis (Fig. 1) and the model- based STRUCTURE analyses (Fig. 2; Fig. S1) support a hybrid ancestry for New World cattle, although the patterns of hybrid- ization are distinct from the recently constructed hybrid breeds. New World cattle are largely of taurine descent, but they exhibit an average of 11% indicine ancestry (as estimated from the STRUCTURE analyses of the 1.8k data, with K = 2). In this regard, New World cattle are much like some modern breeds from southern Europe. However, when K = 3 in the STRUCTURE analyses (Fig. 2), much of this “indicine” component in southern European and New World cattle appears to be more specifically associated with cattle from northern Africa. The PCA is also consistent with the hypothesis that New World cattle (as well as modern breeds from southern Europe) are influenced by an- cestral gene flow from northern Africa, based on the placement of these breeds at intermediate positions along PC1 and PC2 in Fig. 1. The pattern of African admixture in southern Europe is con- sistent with movement of cattle across the Straits of Gibraltar during the Moorish invasion and occupation of the Iberian peninsula in the 8th to 13th centuries CE (6, 18, 44). However, sequencing of Bronze Age cattle mtDNA from Spain suggests that earlier African introgression into Iberia may also have oc- curred (45). The elevated disease resistance of Texas Longhorn cattle (compared with northern European cattle breeds that have been imported to southwestern North America) may be partially related to the portions of their genomes that stem from this Europe Africa India New World Japan and Korea Hybrid k=2 k=3 k=5 k=12 1 2 4 5 6 7 8 9 13 10 12 11 14 15 16 26 25 23 27 28 29 17 18 21 19 20 22 24 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 4647 48 49 50 51 52 53 54 55 56 57 58 3 Fig. 2. Model-based population assignment for 1,461 individuals based on the 1,814 markers using STRUCTURE (61) and plotted using Distruct (64). Indi- viduals are represented as thin vertical lines, with the proportion of different colors representing their estimated ancestry deriving from different pop- ulations. Individuals are grouped by breed as named when sampled; breeds are arranged by regions and are individually labeled by numbers at the bottom. Breed name associated with each number is listed in the “Figure legend” column in Table 1. The best-supported number of ancestral populations was two (K = 2). This split captures the known indicine–taurine split. Hybrid labels refer to Santa Gertrudis (group 45) and Beefmaster (group 46) cattle breeds developed from indicine–taurine crosses within the last 100 y. At K = 3, population groupings were not consistent across runs, but generally followed the division between indicine, European taurine, and African taurine cattle. At higher values of K, individual breed structure predominated, although some breeds (e.g., Jersey, group 35) consistently showed complex ancestry. K = 5 and K = 12 were selected to demonstrate these patterns. E1402 | www.pnas.org/cgi/doi/10.1073/pnas.1303367110 McTavish et al. http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=SF1 www.pnas.org/cgi/doi/10.1073/pnas.1303367110 African ancestry. African N’Dama cattle also exhibit some sub- stantial types of disease resistance (46), consistent with this hypothesis. Using model-based clustering analyses, we found Spanish- derived New World cattle breeds—Texas Longhorns (group 39), Corriente (group 41), and Romosinuano (group 42)—did not differ significantly in levels of indicine introgression (Fig. 3 and Table S1). The Brazilian breeds Nelore (group 54) and Guzerat (group 56) are recently developed breeds from indicine stock, which is reflected in our estimates of their ancestry. All sampled New World cattle that are descended from old Spanish imports (114 Texas Longhorns, 5 Corriente, and 8 Romosinuano) show indicine ancestry (estimated by STRUCTURE, with K = 2). As well, these breeds group together in our PCAs in a position consistent with African introgression. This result suggests that introgression from African cattle occurred before the in- troduction of these cattle to the New World. This conclusion is supported by the STRUCTURE analysis of the breeds sampled from southern Europe, particularly Italy, which also show indi- cine and African ancestry. In fact, among the breeds that we sampled, and using the coarse geographical resolution of “country,” we found a significant correlation between latitude in Europe and degree of indicine introgression as estimated from STRUCTURE at K = 2. The signal of “indicine” introgression in southern Europe may be somewhat misleading, however, depending on the complexity of domestication history in African cattle. In our STRUCTURE analyses at K = 3, the variation captured by the African-like group was not a subset of either of the groups distinguished at K = 2, as would be expected from a strictly bifurcating evolu- tionary process. The African subdivision at K =3 is at least partly composed of hybrid taurine–indicine genotypes. However, if African cattle are partly derived from a third domestication event involving aurochsen from northern Africa, this deep di- vergence may be a more important driver of the differentiation between European and African cattle than is indicine in- trogression. In that case, the indicine component of African and European lineages at K = 2 may reflect African diversity rather than true indicine ancestry. Additional analyses, including a more thorough sampling of African and Iberian cattle, are needed for a conclusive deter- mination of the number of independent domestication events in cattle. Although our results cannot exclude the possibility of an independent domestication of aurochsen in northern Africa, the relatively low level of variation captured by the second principal component (2–3%) is more consistent with European and African taurine cattle both being derived primarily from a single domes- tication in the Middle East, with the likely continued but occa- sional incorporation of genetic material from wild aurochsen in both areas. However, our results do suggest that if there was a third distinct domestication event, it took place in Africa. Achilli et al. (21) found a novel haplogroup in Italian cattle (Cabannina, not sampled here), for which the timing of divergence was consistent with introgression from European aurochsen. Al- though continued introgression of aurochs derived genetic mate- rial after the original domestication events probably led to greater diversity in European taurine cattle populations, this diversity is not expected to have been indicine-like and therefore is not the likely explanation for the indicine genetic component observed in southern European cattle. Taurine Indicine Fig. 3. Geographic structure of breed ancestry as estimated at K = 2 on the 1.8k dataset using STRUCTURE (61). Taurine ancestry is indicated in white and indicine ancestry in black in the pie diagrams. Breed name associated with each number is listed in the “Figure legend” column in Table 1. Note higher levels of indicine introgression in southern Europe, particularly for the Italian breeds Romagnola (group 36), Piedmontese (group 34), Chianina (group 37), and Marchigiana (group 38). The Brazilian breeds Nelore (group 54) and Guzerat (group 56) are recently developed breeds from indicine stock. Pie chart size is scaled to sample size. Breed location is based on the latitude/longitude coordinates from CIA World Factbook (65) of the breed’s country of origin. Silhouettes of cattle are reproduced from ref. 16. This figure was created using the software package GenGIS (66). McTavish et al. PNAS | Published online March 25, 2013 | E1403 EV O LU TI O N P N A S P LU S http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=ST1 There are at least two alternatives to our interpretation of introgression from Africa into Europe before the introduction of cattle to the New World: (i) relatively recent hybridization with indicine cattle in the New World (within the last 150 y); and (ii) direct importation of cattle from Africa to the Caribbean early in Spanish colonization. Although we cannot completely rule out the possibility of either of these alternatives, neither of these hypotheses explains the signal of shared ancestry between southern Europe and the Americas. Moreover, the first explana- tion is inconsistent with the clear African-like genomic component in the New World breeds. Finally, the admixture of genomes across chromosomes indicates ancient, rather than recent, introgression. Thus, the simplest explanation is that introgression of genetic material from African cattle occurred before the importation of cattle to the New World by Spanish colonists. The genetic diversity captured by this hybridization likely provided variation for selection when the ancestors of these animals were trans- ported to North America in the late 1400s to early 1500s. How- ever, there is individual variation among Texas Longhorn cattle, with some individuals showing elevated levels of indicine in- trogression (Fig. 2). This suggests that additional, more recent introgression with indicine cattle may also have occurred in some Texas Longhorn herds. Our analyses made use of SNP data from across the genome. SNP-chip data have the advantage of being easily replicable, and data reuse across laboratories is straightforward, allowing results to be readily comparable. Furthermore, informative sequence data can inexpensively be generated, allowing investigators to sample many individual cattle. However, it is important to keep in mind the limits of these analyses. As the SNPs selected for the chip were chosen by resequencing individuals on an ascertain- ment panel, genetic diversity represented in that panel is expected to be overrepresented in future samples (47). In the case of the cattle 50k SNP chip, the ascertainment panel consisted mostly of taurine cattle. The SNPs were selected to be common poly- morphisms in these animals (39); therefore, diversity estimates based on these data will overestimate diversity in taurine lineages and underestimate diversity in indicine lineages. Average het- erozygosity within groups sampled in this study is consistent with this bias. Because of this bias, we did not attempt to estimate diversity metrics such as FST (48). In addition, the bias toward polymorphisms found in European taurine breeds and for alleles with high minor allele frequencies make these data inappropriate for identifying selective sweeps in New World cattle (39). Al- though mathematical methods have been developed to correct for ascertainment biases in some cases (49, 50), we did not have the appropriate data regarding the ascertainment process to do so in this case. Nonetheless, McVean (43) showed that, although ascertainment bias has an effect on principal component pro- jections, it does not affect the relative placing of samples. Therefore, ancestry estimation by this method is robust to this source of bias. Our results are complementary to previous work on the rela- tionships and genetic diversity among cattle breeds (5, 6). Our conclusions match those of the Bovine HapMap Consortium (5) for the breeds that were sampled in both studies. Our findings of introgression in New World Cattle breeds sug- gest that European–African admixture (which results in greater apparent divergence) may have driven the apparent sister group relationship between Texas Longhorns and all other European taurine cattle in some analyses presented by Decker et al. (6). Our results also suggest that finding may have resulted from imposing a tree-like structure on populations that arose through complex introgression events. Although we have only a very sparse sampling of Asian cattle breeds from outside India, our results suggest that these animals are also of hybrid taurine–indicine origin. The possibility of in- trogression of genetic material from populations or species not sampled in our analysis limits our ability to make inferences about Asian cattle, but they promise to be an interesting area for future research. Although Kawahara-Miki et al. (51) suggested that Japanese cattle are sister to all other domesticated cattle, their omission of an indicine breed in their analyses makes this con- clusion difficult to test. In addition, introgression among taurine and indicine lines would produce a similar result in a tree-based analysis. The recent publication of the first Bos indicus genome sequence (52) will provide an opportunity to identify specific alleles of Af- rican or indicine origin that have contributed to the adaptation of New World cattle breeds. Such analyses will be of particular in- terest given the rapidly changing global climate. New World cattle in general, and Texas Longhorns in particular, are reported to exhibit resilience to drought and harsh climatic conditions (13, 53). Previous work has shown that New World cattle are an important reservoir of genetic diversity (37). As we show here, some of this diversity appears to derive from ancient introgression via African cattle. Materials and Methods Sampling. We examined 1,495 cattle from 58 breeds, including 874 European individuals, 127 individuals from New World breeds, 209 primarily indicine individuals, 260 individuals of African or hybrid origin, and 17 individuals from Japan and Korea (Table S1). A total of 1,420 of these cattle were genotyped for 54,609 single nucleotide loci using the Illumina BovineSNP50 BeadChip (39, 54). We refer to this as the 50k dataset. These data were generated as described by Decker et al. (6). We genotyped an additional 75 Texas Longhorn cattle on one of the Illumina 3K (25 individuals), or 6K (50 individuals) chips. These data were generated commercially at NeoGen/ GeneSeek. These individuals were not included in the 50k dataset analysis because the amount of missing data would have greatly exceeded the amount of genotype data. Across the 3k, 6k, and 50k SNP chips are 1,814 shared SNPs, which we refer to as the 1.8k dataset. Filtering. We removed SNP loci from our analysis if they were missing from the SNP chip documentation and could not be decoded or identified, if average heterozygosity was >0.5 in 10 or more breeds (which indicated paralogy or repeat regions), or if the call rate was <0.8 in 10 or more breeds (which indicated null alleles or changes in flanking regions preventing DNA hybrid- ization to the array). We also removed markers if they were not found in at least 30% of sampled individuals. We then removed individuals with >10% missing data across the markers on the 29 autosomes from our analyses and subsequently removed markers that were missing in >10% of individuals. A total of 1,369 individuals (Table 1) and 47,506 markers (available on datadyrad.org, provisional DOI: doi:10.5061/dryad.42tr0) were included in the filtered 50k dataset. A total of 1,461 individuals (Table 1) and 1,814 markers were included in the filtered 1.8k dataset. The list of markers in the 50k and 1.8k datasets are included with the data in the Dryad Repository. To minimize the effects of possible recent hybridization (within the last 150 y), we considered shared genetic signal among Texas Longhorn (United States), Corriente (Mexico), and Romosinuano (Colombia) cattle. We excluded one Texas Longhorn individual from our analyses of New World, because high indicine introgression (∼38%) and large unrecombined chromosomal blocks of indicine ancestry suggested that it was a recent indicine hybrid. Breed was assigned based on information given by the owner when an individual was sampled. We removed from our analyses two Nelore indi- viduals that do not show any indicine ancestry, strongly suggesting that breed was incorrectly assigned. For all SNPs, we used physical map locations from the University of Maryland assembly of B. taurus, release 3 (7). Geographic locations of breeds were treated at the centroid latitude and longitude of the country from which the breed was known to have originated. Phasing. To impute missing data, we required phased haplotype data. Our SNP data were generated as genotype data rather than as haplotype data. Therefore, if an individual was heterozygous at multiple loci, the phase re- lationship between alleles is not known. We divided our genotype data by chromosome and used a statistical method to phase our genotype data into haplotypes. Genotypes for all individuals in the 50k dataset were phased, and missing data (mean 2%; Table S1) were imputed using fastPHASE (55). We used the defaults of 20 random starts and 25 iterations of the EM algorithm. To avoid biasing haplotype imputation toward preconceived breed struc- ture, we did not use subpopulation identifiers. We allowed fastPHASE to estimate the number of haplotype clusters via a cross-validation procedure E1404 | www.pnas.org/cgi/doi/10.1073/pnas.1303367110 McTavish et al. http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=ST1 http://datadyrad.org http://www.pnas.org/lookup/suppl/doi:10.1073/pnas.1303367110/-/DCSupplemental/pnas.201303367SI.pdf?targetid=nameddest=ST1 www.pnas.org/cgi/doi/10.1073/pnas.1303367110 described in ref. 55. Pei et al. (56) found fastPHASE to be the most accurate among available genotype imputation software. Imputed genotype data were used only in the PCA. PCA. PCA requires complete data, and we therefore performed PCA on im- puted, 50k, and 1.8k genotype data. PCA was performed using smartpca in the software package EIGENSOFT (40, 57, 58). The number of significant principal components was calculated using twstats in the eigenstrat package (40). However, Tracy-Widom statistics are estimated based on the assump- tion of a random sampling of markers, and ascertainment bias in SNPs se- lected for inclusion on the used SNP chip likely violate this assumption (40, 59). ANOVA. ANOVA was performed to test for differences in indicine intro- gression across New World breeds (Corriente, Romosinuano, and Texas Longhorns), as estimated by the PCA of the 50k and 1.8k datasets and by STRUCTURE. ANOVA was performed in R using aov in the stats package (60). Model-Based Clustering. Multilocus model-based clustering, as well as the associated assignment of individuals to populations, was performed using STRUCTURE (61). The SNPs on all 29 autosomes were analyzed using the linkage model based on their UMD3.0 map positions. Recombination rate was treated as uniform. To test for convergence and to aid in parallelization, analyses were repeated five times for each value of K, with a run time of 20,000 iterations and a burn-in of 1,000 iterations. We tested values of K from 2 to 9. In simulations, Evanno et al. (62) found that run lengths >10,000 iterations were not additionally beneficial but that much longer runs still varied in likelihood. We used longer runs as our problem was more complex and tested for convergence across runs after five runs were completed using Structure Harvester (62). STRUCTURE analyses were only conducted on the full unphased 1.8k dataset. We selected the optimum number of ancestral populations (K) from our STRUCTURE analyses using the method of Evanno et al. (62), imple- mented in Structure Harvester (63). This method avoids overfitting by selecting the value of K for which there is the largest increase in likelihood from K − 1 to K. We did not calculate FST values between breeds because the ascertain- ment in SNP discovery and assay design was strongly biased toward loci common in taurine cattle, which leads to the overestimation of diversity within these breeds. ACKNOWLEDGMENTS. We thank Debbie Davis and the Texas Longhorn Cattleman’s Association for research support and genetic samples and Scott Edwards and Robert Wayne for helpful suggestions on the manuscript. E.J.M. was supported by research fellowships awarded by the Graduate Program in Ecology, Evolution, and Behavior at the University of Texas at Austin, Texas EcoLabs, and National Science Foundation BEACON (Bio-Computational Evo- lution in Action Consortium). This material is based in part on work supported by the National Science Foundation under Cooperative Agreement DBI- 0939454. 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work_rszycmckjjgxbjq6dd6g4zxcfu	----	INCREASING PROTEIN FOODS THROUGH IMPROVING ANIMAL HEALTH BY W. R. PRITCHARD UNIVERSITY OF CALIFORNIA (DAVIS) The nature and seriousness of the current world food deficit are summarized in a recent document of the Food and Agriculture Organization of the United Nations (FAO). "... some 60% of the people in the underdeveloped areas comprising some two- thirds of the world's population suffer from under-nutrition or malnutrition or both. Since there undoubtedly are some people in the developed countries who are ill-fed, it is concluded that up to a half of the peoples of the world are hungry or malnourished." Undernourishment in general refers to inadequate intake of energy, i.e., calories, while malnutrition may result from many and varied nutritional imbalances or deficiencies. The most important by far, however, is protein malnutrition. Protein deficiency particularly affects young children and pregnant or lactating mothers. The clinical forms in children are called marasmus and kwashiorkor. Marasmus results from diets deficient in both proteins and calories, while kwashi- orkor occurs when the main deficiency is in proteins. Severe clinical disease in young children is characterized by cessation of growth, loss of weight, edema, der- matitis, and depigmentation of hair. Inadequate mental development may ac- company altered physical development. Older people suffer ill health, have reduced ability to resist disease, and are seriously impaired in their work capacity. An important consequence of protein malnutrition is the impairment of the health, vigor, and efficiency of future generations. Protein malnutrition probably is the world's foremost public health problem. The nutritive value of dietary protein depends as much on its quality as the total amount present. The best sources of the best proteins, those having the highest biological values, are foods of animal origin, i.e., meat, milk, and egg products. Animal products also are rich in other essential nutrients. It has been estimated'0 that 70 per cent of the world's supply of human dietary protein comes from vege- table sources and 30 per cent from animal sources, varying from 70 per cent from animal sources in the United States to 12 per cent in India. Quantitatively as well as qualitatively, animal products constitute an important part of the diet of the people of the world. The FAO10 short-term target for animal protein in the diet is 15 gm of animal protein per day with a long-term target of 21 gm. Currently, the world animal pro- tein supplies average about 20 gm per person per day. 12 It is only 9 gm per day in the underdeveloped countries containing two thirds of the world's population (Tables 1 and 2). In view of the rapid rate at which the population of the world is increas- ing and the magnitude of the animal protein deficit in underdeveloped countries, achievement of these goals will require a great deal of effort. World Livestock Resources.-The livestock population" of the world is roughly equivalent to the human population, i.e., 3 billion head, consisting of 1 billion sheep; 360 D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 VOL. 56, 1966 IMPROVING ANIMAL HEALTH: W. R. PRITCHARD 361 TABLE 1 PER CAPUT PROTEIN SUPPLIES IN DEVELOPED AND UNDERDEVELOPED COUNTRIES Gm per Caput per Day-- Total protein Animal protein Developed countries 90 44 Europe, North America, Oceania, River Plate, countries of South America, and USSR Underdeveloped countries 58 9 Latin America (excluding River Plate), Asia, China, Africa World 68 20 TABLE 2 PER CAPUT PROTEIN SUPPLIES BY REGION* Gm per Caput per Day Total protein Animal protein Western Europe 83 39 Eastern Europe and USSR 94 33 North America 93 66 Oceania 94 62 Latin America 67 24 Far East and Mainland China 56 8 Near East 76 14 Africa 61 11 * From ref. 12. 980 million cattle; 553 million swine; 353 million goats; 121 million horses, mules, and asses; 81 million water buffaloes; and 10 million camels. There are approx- imately 3 billion domesticated fowl. Although less than 40 per cent of the live- stock population is located in developed countries, these countries produced nearly 80 per cent of the world's 434.7 million metric tons of meat, milk, and eggs in 1963.11 Livestock in developing countries, in general, produce at a fraction of the level attained in developed countries. For example, the average age of slaughter of animals raised for beef in many parts of Africa is nearly 7 years,14 compared to approximately 2 years in the United States. In some of these countries the milk yield of 20 cows is barely equal to that of one cow in New Zealand. The average annual yield of meat for a U.S. beef cow is 166.7 lb,4 while in Asia the figure is 26.2.4 The average annual milk yield of a dairy cow in California3 was 10,410 lb in 1963, while the production of an African cow is said to be 192 lb.4 The low productivity of livestock in developing countries can be attributed to a number of factors, some of which have cultural and religious roots. The main reason for the low productivity, however, is that scientifically based principles of disease control and animal production, which are mainly responsible for the high state of development of the livestock industries in developed countries, are largely unused. When modem principles of veterinary medicine and animal husbandry have been used in local areas in underdeveloped regions, such as in parts of Kenya, they have been highly successful. World Animal Diseases.-Man has successfully limited the danger to himself from major epidemic diseases such as smallpox, plague, and yellow fever. A similar level of control, however, has not been achieved over the major epizootic diseases of animals. The distribution of the major epizootic diseases of livestock today does not differ much from the time of Christopher Columbus, except that cattle plague D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 362 N. A. S. SYMPOSIUM: PROSPECTS OF WORLD FOOD SUPPLY PROC. N. A. S. (rinderpest) has been eliminated from Europe and parts of Asia, and foot-and- mouth disease has spread to South America (Fig. 1). The livestock population of the world, except in developed countries, is subject to much the same depredation from diseases that have plagued it for centuries. Major Epizootic Diseases.-The most important epizootic diseases of livestock are rinderpest, contagious pleuropneumonia, foot-and-mouth disease, African horse sickness, African swine fever, Newcastle disease, fowl plague, trypanosomiasis, East Coast fever, and piroplasmosis (Table 3). These diseases limit livestock pro- duction in susceptible species wherever they occur. It is impossible to develop a fully productive livestock industry in areas where these diseases are not con- trolled. These diseases have killed or debilitated hundreds of millions of livestock over the centuries. It is estimated2' that the rinderpest epizootics which occurred in Europe between 1710 and 1769 killed over 200 million cattle. Tens of millions of livestock and game were killed in the great African rinderpest panzootic which swept through that continent in the latter 1800's, finally burning itself out in South Africa. At least 2 million head of cattle died annually from rinderpest in the Far East9 until a control program was instituted after World War II. Now the loss is less than 50,000 per year. As late as 1962," rinderpest had more influence on the world's food supply than any other animal disease. Fortunately, a great deal of re- search has been conducted on this disease in the last two decades and the incidence is being reduced rapidly. Other epizootic animal diseases also can have devastating effects on livestock populations. Both Newcastle disease and fowl plague are capable of killing 70-100 per cent of the chickens in an area in a few weeks. Although foot-and-mouth disease is not highly fatal, it reduces the total animal production by 25 per cent each year in affected areas.' The 1951-1953 outbreak of foot-and-mouth disease in Europe caused an economic loss of $425 million during that critical postwar period even though control measures were reasonably effective.'3 Following its intro- duction into Spain and Portugal in 1959, African swine fever caused the loss of 136,000 pigs in 1960 alone.20 In 1959 and 1960, 200,000-300,000 horses and mules died in Asia from another newly introduced disease, African horse sickness.20 About one half of the continent of Africa south of the Sahara has been rendered unsuitable for cattle production as a result of nagana, a trypanosomiasis spread by the tsetse fly.'7 This area is reported to be potentially capable of supporting approx- imately 125 million cattle. This is more than the current U.S. cattle population. Improved breeds of cattle can be raised in large areas of eastern Africa only if they are regularly dipped to control the tick vectors of East Coast fever and other dis- eases. Tens of thousands of cattle die each year in Africa and Asia from con- tagious pleuropneumonia. The major epizootic livestock diseases must be controlled before significant pro- gress in animal production can be expected. Fortunately, enough is known about most of these diseases so that improved control measures can be instituted. Other Livestock Diseases.-The heaviest losses from livestock diseases, however, result not from the spectacular epizootic diseases, but from the many diseases of parasitic, infectious, nutritional, toxic, metabolic, and organic genesis that contin- ually prey on the livestock population. They cause losses by killing animals or D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 VOL. 56, 1966 IMPROVING ANIMAL HEALTH: W. R. PRITCHARD 363 I~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~J-4- D I-.- en'~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~r owl~* ~ E in u h uu n n D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 364 N. A. S. SYMPOSIUM: PROSPECTS OF WORLD FOOD SUPPLY PROC. N. A. S. TABLE 3 WORnAD'S MAJOR EPIZOOTIC DISEASES Disease Cause Control Rinderpest Virus Effective vaccine Foot-and-mouth " " " African swine fever " Slaughter only African horse sickness " Effective vaccine Newcastle disease " " " Fowl plague " " " Nagana Protozoa Tsetse eradication East Coast fever " Tick control Piroplasmosis Contagious pleuropneumonia Mycoplasma Partially effective vaccine reducing their productivity. They include diseases commonly known in the United States, such as brucellosis, tuberculosis, anaplasmosis, mastitis, vibriosis, and para- site infections as well as exotic diseases with romantic-sounding names such as Ondiri disease, Nairobi sheep disease, and Rift Valley fever. The incidence of disease and the morbidity and mortality in livestock are very high in developing countries. W. Ross Cockrill4 of the FAO describes half of the world's livestock as "diseased, hungry, unproductive and a burden upon the ... human population." Andrews' has said "it is an understatement to say that parasites and infectious diseases are the chief limiting factor in efficient livestock production throughout much of the world." Brucellosis is said to affect 20 per cent, tuber- culosis 10 per cent, mastitis 20 per cent, leptospirosis 10 per cent of the cattle of the world.22 In one area,18 45 per cent of the cows' milk examined contained the tu- bercle bacillus. Deaths from hemorrhagic septicemia9 in the Far East some years amounts to 1 million cattle and buffaloes, mostly draft animals. The mortality may exceed 50 per cent among affected animals. It is difficult to con- ceive of efficient livestock production under these circumstances. Wastage of Animal Protein.-Animal diseases cause significant wastage of foods of animal origin. Wastage results from death of animals, destruction of animal products such as meat, milk, or eggs, and from reduced production. These losses are calculable on the basis of meat or milk destroyed, or the net loss of production resulting directly from disease, provided reliable morbidity and mortality data are available. A preliminary world-wide estimate of the losses caused by animal diseases was made by the FAO in 1962.8 They concluded that losses from animal diseases in countries in which veterinary activities had been in progress for many years ranged between 15 and 20 per cent of total annual production. In- countries in which veterinary activities are less intensive and more recently established, losses ranging between 30 and 40 per cent were commonly encountered. They did not estimate the loss in countries without animal health programs, but assumed that they must be of a very much higher order of magnitude. These loss calculations make it possible to estimate animal disease losses in tons of animal products or supplies of animal protein in grams per person per day. Fully realizing the limitations of the data, I have calculated the loss of animal products on the basis of an average loss of 17.5 per cent in Europe, Oceania, and North America (EONA) and an average of 35 per cent in the rest of the world. I am fully convinced, on the basis of first-hand knowledge of animal diseases in Latin America, Africa, and Asia, that the latter figure is far too low-perhaps only D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 VOL. 56, 1966 IMPROVING ANIMAL HEALTH: W. R. PRITCHARD 365 one half as high as it should be. Nevertheless, annual losses at these rates amount to 4.06 million metric tons of animal protein for EONA and 6.71 for the rest of the world. Salvage of estimated loss would provide approximately 6 gm more animal pro- tein per day for every person in the world. The saving in Africa, Asia, and Latin America would amount to an increase of 4.4 gm per person per day in the supply of vitally needed animal protein. Complete elimination of wastage from animal diseases is not a realistic objective. The benefit that might be derived from animal disease control measures, however, can be evaluated on the basis that for every reduction of 10 per cent in the wastage from animal diseases, an average per caput increase of at least 0.6 gm of animal protein per day is generated for every person in the world. A 50 per cent reduction in losses from animal diseases in Africa, Asia, and Latin America, which would increase the supplies of animal protein in those areas by 25 per cent, is a realistic objective. Some Indirect Losses.-Development of a livestock industry ordinarily does not occur if the capital investment in animals is constantly exposed to the risk of being liquidated by disease. Agriculturists will invest in safer ventures even though the return might be greater in livestock. An animal industry rendered unproductive by disease does not provide incentives necessary for the development of necessary marketing, processing, and service industries. Control of the main epizootic dis- eases and parasites of an area is a necessary prerequisite to development of an efficient livestock industry. The inhibition of the development of a viable scientif- ically based animal industry in underdeveloped countries is the most important loss produced by animal diseases in the world today. The net effect of a 50 per cent reduction in animal disease losses might well be a doubling of animal production in underdeveloped areas over 10-15 years-if control of animal diseases has its expected effect of stimulating significant livestock development. Animals are the principal source of power for agricultural enterprises in develop- ing countries. The death or debilitation from disease of draft animals may result in reduced food production because farmers are unable to cultivate crops. Not only starvation, but also loss of foreign exchange may result. A good example is the destruction of a valuable 3-million-ton rice surplus for export, which accom- panied a rinderpest epizootic in Burma just after World War II.9 In other parts of the world, horses, mules, asses, camels, buffaloes, and even elephants serve as important sources of agricultural power. Diseases of these animals have an important adverse effect on food production. Of the more than 300 diseases transmissible among animals, more than 100 also are communicable to man. The incidence of zoonotic diseases is very high in. underdeveloped countries.22 Farmers and handlers of animals and their products run the greatest risk from the zoonoses because of their close contact with in- fected livestock. Debilitation of the human populations of underdeveloped coun- tries is an important indirect loss from animal disease. What Are the Prospects for the Future?-It is realistic to expect that the world supply of animal protein could be strikingly increased in the very areas where they are most needed if losses from livestock diseases were reduced to a minimum. Norris E. Dodd, a former director-general of FAO, has gone so far as to say, D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 366 N. A. S. SYMPOSIUM: PROSPECTS OF WORLD FOOD SUPPLY PROC. N. A. S. ". . . if the blood-sucking intestinal parasites of domestic animals could be re- moved, the resulting increase in food would more than satisfy the needs of all the deficient areas of the world." 13 It will require considerable time and effort to bring the world's animal diseases under practical control. However, there is no doubt that it can be done. The history of the medical sciences has shown that most problems of disease can be solved through research,2 and many qualified ex- perts believe that nearly all infectious diseases will prove to be preventable. It is my belief that the development of a viable and reasonably productive live- stock industry in developing countries is one of the best presently available solu- tions to the world protein deficit. The key to the success of livestock development is control over the major diseases of livestock. A fully productive livestock in- dustry has never been developed in areas where epizootic disease constitutes a threat. Control of disease must receive the highest priority in countries with animal protein deficits and the potential for livestock production. Cost of Disease Control.-I know of no way to predict what the cost might be to bring the world's major animal diseases under control. For diseases such as rinderpest, for which effective tools for eradication are at hand, the cost can be accurately estimated, which of course is not the case with nagana because cheap and effective ways to control it or its tsetse fly vector have not yet been devised. Some cost figures for eradication of certain diseases might be helpful in arriving at an understanding of the relationship of the cost of eradication and the losses caused by a disease. Nine diseases have been eradicated from the United States at a total cost for eradication procedures alone of less than $180 million (Table 4). Foot-and-mouth disease was eradicated from Norway at a cost of $2 million,9 which was equal to the annual loss. The 40-year cost of the bovine tuberculosis control program in the United States has been $326 million20 as compared with an estimate of savings of $150 million per year, i.e., $6 billion, as a result of the program. The measures required to bring the world's animal diseases under control un- doubtedly will be costly. These costs, however, in the long run will constitute only a fraction of the losses that will be imposed on the people of the world if these diseases are not controlled. TABLE 4 COST OF ERADICATING CERTAIN DISEASES FROM THE U.S.A.* Disease Date Cost Contagious pleuropneumoinia 1892 $1, 502, 100 Fowl plague 1925 and 1929 101,495 Dourine 1934 314,926 Glanders 1942 35, 078 Piroplasmosisf 1943 11,999,511 Foot-and-mouth 1870, 1880, 1884, 9,170,411 1902, 1908, 1914- (total for all 16, 1924-25, and outbreaks) 1929 Foot-and-mouth in Mexico (joint Mexican-U.S. program) 1954 134,571,653 Vesicular exanthema 1959 11,158,737 Screwworms (southeast U.S.) 1959 10,000,000 Total $178,853,911 * Source: U.S. Department of Agriculture. D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 VOL. 56, 1966 IMPROVING ANIMAL HEALTH: W. I. PRITCHARD 367 Development of a Livestock Industry.-During the period when major epizootic diseases of an area are being brought under control, steps can be taken to develop the scientific base for a productive livestock industry.1, 6, 14, 16, 19 Effective vet- erinary services calculated to reduce enzootic animal disease losses through disease prevention programs must be established. Research on breeding, environmental physiology, nutrition, range management, and marketing must be instituted. These programs should be closely coordinated with other phases of agricultural research. It is fully recognized that the problems in livestock production in underdeveloped countries are complex and often are compounded by religious and cultural ramifica- tions that may be more difficult to overcome than are the technical ones. How- ever, these problems are not insurmountable. Special Attributes of Ruminants.-Like man, monogastric animals such as swine and poultry must be fed diets containing all of their essential amino acids, and must receive their carbohydrates in the form of simple sugars or starches. Consequently, in food-deficient areas, except to the extent that they use by- products or wastes unsuitable for human use or sources of protein that are esthet- ically unacceptable to people, these animals compete directly with man for dietary energy and proteins. Hence, their value in a food-deficient area depends simply upon the seriousness of the animal protein deficit when compared to total supplies of protein and energy. The polygastric ruminant, on the other hand, possesses in the form of a rumen a fermentation factory which renders the animal capable of utilizing complex poly- saccharides such as cellulose for energy and synthesis of proteins from other pro- teins and nonprotein nitrogen. The ruminant does not require a dietary source of essential amino acids. Ruminants are admirably suited to convert forage crops that are unsuited for human consumption into highly nutritious meat and milk, containing the life- giving amino acids as well as other essential nutrients. With over 25 per cent of the world's surface suitable only for grazing' and the tremendous potential for utilization of by-products of human food crops as feed for ruminants, every effort should be made to capitalize on the unique ability of the ruminant to convert sub- stances that are unsuitable for human food into animal protein, man's most needed dietary factor. Conversion of Proteins from Unconventional Sources to Highly Acceptable Animal Protein. Swine and chickens are particularly efficient converters of feed into meat. For example, it is possible to produce a 3-lb chicken from well-bred stock kept free of diseases with approximately 6 lbs of a properly balanced ration. Meat from pigs and chickens are highly acceptable components of human diets throughout the world except where there are religious restrictions to their consumption. These animals, therefore, might serve as effective and efficient converters of proteins produced from unconventional sources, such as algae fed on sewage effluents or yeast grown on paraffinic hydrocarbons obtained from refining petroleum, into highly acceptable food for people. One of the major limitations to the use of unconventional foods has been the difficulty of getting people to eat them. This objection can be over- come by using these products as animal feeds because animal products are almost universally accepted as desirable foods. Tropical Animal Disease Research Needed.-Veterinary medical science has been D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 368 N. A. S. SYMPOSIUM: PROSPECTS OF WORLD FOOD SUPPLY PROC. N. A. S. largely preoccupied during the past 50 years with the solution of animal disease problems of developed countries, all of which are located in temperate climatic zones. In general, it has been highly successful in providing means to control the major livestock diseases in these areas. With the exception of a few high-quality tropical veterinary medical research programs carried out by European countries in their former Asian and African colonies, very little research in tropical veterinary medi- cine has been conducted. Unfortunately, many of these programs are not being continued by newly independent nations. The FAO has done a great deal to fill this gap, but it has not been able to meet the needs completely. Consequently, there is much to be learned about tropical animal diseases before underdeveloped tropical areas can be fully exploited for animal production. There is need for the establishment at a very early date of a major research center located in the tropics devoted to tropical diseases of animals. Its mission would be to provide the world with the knowledge about tropical animal diseases necessary to bring these diseases under control and open up the tropical areas of the world to profitable livestock production. Summary and Conclusions.-Over half of the people of the world are hungry, or suffer from malnutrition, the vast proportion of which is protein malnutrition even though the world has vast livestock resources. The animals in underdeveloped countries are highly unproductive. Disease plays an important role as a causative factor of low production. Diseases of livestock also cause a direct loss equivalent to 6 gm of animal protein per day for every person in the world. One of the best solutions to the world shortage in quality proteins is the development of productive livestock industries in underdeveloped countries. The epizootic diseases, such as rinderpest, foot-and-mouth, contagious pleuro- pneumonia, and nagana, must be controlled before the livestock industries of de- veloping countries can initiate serious livestock development programs. Live- stock disease control programs, although costly to conduct, in a very short time will save many times as much as they cost. There is no doubt that properly mounted control programs can be successful. There is an urgent need for the development in the tropics of an animal disease research laboratory which will provide the world with solutions for important tropical animal disease problems. The author wishes to thank Drs. M. Merala, N. M. Kotntertip, and F. 1). M\laurer for assisting him with the collection of the data used in this discussion. 'Andrews, F. N., "Animal and veterinary science progrnas ill developing countries," inI Agricultural Sciences for the Developing Nations (Washington, D).C.: American Association for the Advancement of Science, 1964), pp. 69-79. 2 Beveridge, W. I. B., "Economics of animal health," Vet. Record, 72, 810-815 (1960). 3 California Annual Livestock Report (Sacramento: Calif. Dept. Agr., 1965). 4Cockrill, W. R., "The ox and the husbandman," Freedom from Hunger (FAO), 6(38), 12-19 (Sept.-Oct., 1965). 5Cockrill, W. R., "The veterinarian in the developing countries," Vet. Record, 75, 722-729 (1963). 6 Cockrill, W. R., "The profession and the science: International trends in veterinary medicine," Advan. Vet. Sci., 9, 251-325 (1964). 7 "Physical natural resources," in Encyclopaedia Britannica (1960), vol. 17, p. 858. D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 VOL. 56, 1966 IMPROVING ANIMAL HEALTH: W. R. PRITCHARD 369 8FAO, "The economic losses caused by animal diseases," Animal Health Yearbook (Rome: Food and Agriculture Organization of the United Nations, 1962), pp. 284-313. 9 FAO, Freedom from Hunger Campaign, Basic Study No. 10 (Rome: Food and Agriculture Organization of the United Nations, 1963). 10 FAO, Third World Food Survey, Basic Study No. 11 (Rome: Food and Agriculture Organiza- tion of the United Nations, 1963). 11 FAO, Production Yearbook (Rome: Food and Agriculture Organization of the United Nations, 1964), vol. 18. 12 FAO, The State of Food and Agriculture (Rome: Food and Agriculture Organization of the United Nations, 1964). Is Kestevan, K. V. L., "The world is short of meat and milk," Atlantis (Zurich, Switzerland: 1961), pp. 31-38. 14Konnerup, N. M., "Diseases of livestock and game in tropical Africa," in Symposium on Protein and Population in Africa, Advisory Committee on Africa of National Academy of Sciences, Oct. 24, 1964. 16 Maurer, F. D. "Rinderpest," J. Am. Vet. Med. Assn., 141, 713-716 (1962). 16McKelvey, John J., Jr., "Agricultural research," in The African World, A Survey of Social Research (New York: Frederick A. Praeger, Inc., 1965). 17National Academy of Sciences-National Research Council, Report of Study Group on Animal Diseases in Africa, Dec. 8, 1965. 18PAHO, Economic Aspects of Certain Animal Diseases Transmissible to Man (Pan American Health document, presented at the meeting of the Inter-American Economic and Social Council, Costa Rica, July, 1963). 19 Phillips, R. W., "Animal agriculture in the emerging nations," in Agricultural Sciences for the Developing Nations (Washington, D.C.: American Association for the Advancement of Science, 1964), pp. 15-32. 20 Schwabe, C. W., Veterinary Medicine and Human Health (Baltimore: Williams and Wilkins Co., 1965). 21 Smithcors, J. F., Evolution of the Veterinary Art (Kansas City, Mo.: Vet. Med. Publishing Co., 1957), p. 235. 22Steele, J. H. "Veterinary medicine and the public health," Proc. 17th World Vet. Congr., 2, 1551-1555 (1963). D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 
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work_rtm5iawxfzh2vkuumzv6n7gguu	----	Title Geometry and Genius Loci: Battista Antonelli’s Fortificationsin Havana Author(s) Niglio, Olimpia Citation Nexus Network Journal (2014), 16(3): 723-735 Issue Date 2014-08-07 URL http://hdl.handle.net/2433/200221 Right © Kim Williams Books, Turin 2014 Type Journal Article Textversion publisher Kyoto University R E S E A R C H Geometry and Genius Loci: Battista Antonelli’s Fortifications in Havana Olimpia Niglio Published online: 7 August 2014 � Kim Williams Books, Turin 2014 Abstract In the wake of the conquest of the New World by the Spanish crown at the end of the fifteenth century, the expansionist interests of the other major European powers had become so invasive as to convince the Spanish King Philip II of the need to develop a systematic project for the military defense of the most important ports and coastal areas of his new overseas colonies. Italian military engineer Battista Antonelli was the first to apply the methods and procedures of Renaissance military architecture to the construction of Philip’s fortifications in the New World. This paper analyses two important works of fortification that he designed and built in the city of Havana between the end of the sixteenth century and the beginning of the seventeenth: the Castillo de los Tres Reyes del Morro and the Castillo San Salvador de la Punta. Their completion not only introduced the European Renaissance culture of military architecture to the island, but also had a strong impact on the urban development of the city in general and its relationship with the surrounding territory. Keywords Havana � Cuba � Military architecture � Renaissance � Fortifications � Battista Antonelli � UNESCO world heritage � Sixteenth century Introduction In the wake of the conquest of the New World by the Spanish crown at the end of the fifteenth century, the expansionist interests of the other major European powers had become so invasive as to convince the Spanish King Philip II of the need to O. Niglio (&) Graduate School of Human and Environmental Studies, Kyoto University, Yoshida Nihonmatsu-Sakyo-ku, Kyoto 606 8501, Japan e-mail: olimpia.niglio@gmail.com Nexus Netw J (2014) 16:723–735 DOI 10.1007/s00004-014-0202-z develop a systematic project for the military defence of the most important ports and coastal areas of his new overseas colonies. By then the Renaissance culture of field of military architecture was widely understood in all the major European courts, not least thanks to treatises published by Francesco di Giorgio Martini, Baldassarre Peruzzi, Giovan Battista Belluzzi, and Giuliano and Antonio da Sangallo, supported by important contributions from the liberal arts, mathematics, and geometry. Of the many interpreters of the Renaissance language of military architecture, the Italian military engineer Battista Antonelli, born in 1547 at Gatteo in the Duchy of Romagna and trained at the court of Vespasiano Gonzaga Colonna, Duke of Sabbioneta, was the first to apply its methods and procedures to the construction of Philip’s fortifications in the New World. Although he was the architect of numerous fortified buildings, mainly in the Caribbean, few studies of military architecture have so far examined his work. This paper analyses two important works of fortification that he designed and built in the city of Havana between the end of the sixteenth century and the beginning of the seventeenth: the Castillo de los Tres Reyes del Morro and the Castillo San Salvador de la Punta. Their completion not only introduced the European Renaissance culture of military architecture to the island, but also had a strong impact on the urban development of the city in general and its relationship with the surrounding territory. In 1982, UNESCO added these fortifications to its World Heritage List, together with the historic centre of Havana. Historical Context Although it was the hope of the Italian admiral Christopher Columbus in 1492 to discover a route to the Indies, when he made landfall on 27th October it was in the vicinity of what is now called the Bay of Bariay, on the eastern coast of the island of Cuba in the present-day province of Holguı́n. His discovery of Cuba marked the beginning of a new era for the continent of America, whose thousands of years of history and rich cultural traditions now found themselves powerfully challenged by the politically-motivated drive of these new colonisers from overseas. Columbus made a second voyage in 1494 to explore the southern part of Cuba and took possession of the bay where Santiago de Cuba now stands, before continuing his voyage to the neighbouring island of Jamaica. Diego Velásquez was the first to explore the interior of Cuba, where he met with scant resistance from the indigenous population; in 1512 he established a first settlement that he named Baracoa (which is today a city in the province of Guantánamo), and it was here that the first fortified architecture in Cuba was built. In 1514 Velásquez went on to found the city of Santiago de Cuba, but it was not until 1519 that the city of San Cristóbal de La Habana was founded far away in the western part of the island (Fig. 1). This Spanish colonisation of Cuba was only the beginning of a vast European expansion that began in the Caribbean and spread across the whole American continent. The construction of new ports in Cuba was facilitated by its wealth of natural harbours, and policies were adopted at an early stage to defend militarily the large natural bays at Santiago de Cuba and the capital at Havana, to prevent them from being captured by Spain’s enemies: France, England, and the Netherlands. 724 O. Niglio Weiss (1972), in La Arquitectura Colonial Cubana gives us a very detailed historical overview of the situation in Cuba in the wake of the Spanish conquest, and of why it became necessary to design and build the first fortifications. When news arrived in Havana in April 1538 that French privateers were planning to attack the city and exterminate its inhabitants, it was decided to begin building fortifications. These became the first example of military architecture anywhere in Cuba, and only the second in the whole of the Caribbean (a first example having been built a few years before on the island of Hispaniola, today’s Haiti and Santo Domingo). The site chosen for Cuba’s first defensive fortress at the capital, San Cristobal de La Habana, was halfway along the narrow channel leading into the harbour (and lying between the future sites of the fortresses of La Punta and the Castillo de la Real Fuerza, as will be discussed later). This was the first defensive building of any significance in Havana. Later given the name of Fuerza Vieja, it was designed in accordance with Renaissance principles of military architecture as these had been worked out in Europe, and which specified that structures erected to defend a city should be integrated with its urban fabric (Gonzalez Fernandez 1994: 227). From what we know of this first application of those principles in Cuba, the Fuerza Vieja was a citadel with a square plan measuring approximately 48 m on each side, had a tower about 10 m high on one corner, a full enclosure of defensive walls, and was armed with a battery of cannon. However very little other information about it is available, and it was demolished in 1582 because of very serious structural inadequacies; local histories record in fact that its method of construction consisted of tapias con algunos pilares de canterı́a intercalados en la muralla (adobe-like construction with some stonework pillars at intervals along the wall) (Weiss 1972: 31). Havana’s importance as a seaport lay in its role as a necessary port of call on the way to Mexico and the coasts of South America (Kagan and Marias 2000: 54). Following raids by French pirates in 1553 it was decided to equip the city with a more effective fortress, to be located very close to the Fuerza Vieja but more robustly built and with the ability not only to defend itself, but to launch counterattacks against any further incursions. For this purpose, in 1556 Gerónimo Bustamante de Herrera, an engineer and expert on military construction, was engaged to build the new Castillo de la Real Fuerza. Due to illness he was later replaced first by Bartolomé Sánchez and then by Francisco de Calona, who took the works to completion. When the works got under way a significant event took place, recalled in an important transcription by Irene Aloha Wright from a document now kept in Seville at the Archivo General de Fig. 1 Havana’s bay. On the right El Morro castle; on the entrance of the bay Real Fuerza castle. Photo: author Geometry and Genius Loci 725 Indias: the opening of the first stone quarry on Cuba, exclusively to supply material for building the fortress and the new mansions in the city (Aloha Wright 1930: 64). In terms of defending the city of Havana, the site chosen for the Castillo de la Real Fuerza was less than ideal; it was small, had no parade ground, and was located very close to the inhabited part of the city at a considerable distance inland from the harbour mouth (Fig. 2). It consisted of a central nucleus measuring about 30 m square and had walls up to 6 m thick and 10 m high and four polygonal bastions with vaulted roofs, one at each corner (Weiss 1972: 35). Its geometrical dimensions were harmonically organised to closely approximate a four-leafed cloverleaf in plan: the first significant application in the Caribbean of the principles of fortified architecture that had been developed in Europe during the Renaissance and indeed, in a typology that was very similar to that of some fortresses in Italy, as at L’Aquila and Barletta. But as it turned out, the Real Fuerza was never used for any specifically military function; it served instead as the headquarters for the Spanish Governors, and the alterations made at a later date, such as a panoramic viewing tower built by the Governor Juan Bitrián de Viamonte between 1630 and 1634 on top of the north-western bastion, were in fact intended to reconfigure it as a palace rather than a fortress (Weiss 1972: 36). Today the Castillo de la Real Fuerza is open to the public as a museum (Figs. 3, 4). Battista Antonelli and the Fortifications of Havana at the End of the Sixteenth Century It was not until the end of the sixteenth century that Spain was able to formulate a comprehensive project for the military defence of the city of Havana. In fact, as soon as the Spanish crown had taken possession of its lands in the Americas it Fig. 2 Plan of Havana, in perspective, showing the Castillo del la Real Fuerza. Spain, Ministerio de Educación, Cultura y Deporte, Archivo General de Indias, Mapas y Planos, MP_SANTO_DOMINGO004R, Series geográficas 1596–1801, La Habana (Cuba). Reproduced by permission 726 O. Niglio became evident that there was a need to develop a comprehensive plan for the defence of the whole Caribbean area: an arduous task that Philip II of Spain decided to entrust to Battista Antonelli in February 1586 (Llaguno y Amı́rola et al. 1829). Battista Antonelli was an Italian engineer and an expert in military fortifications. 1 He had been trained at the court of Vespasiano Gonzaga Colonna, the inventor and the first (and only) Duke of the ‘ideal city’ of Sabbioneta, situated between Mantua and Parma, which he designed himself after taking lessons in urban and Fig. 3 Havana. Castillo de la Real Fuerza. The main bastion to the East. Photo: author Fig. 4 Havana. Castillo de la Real Fuerza. The main bastion to the West. Photo: author 1 Very few publications deal with the activities of the military engineer Battista Antonelli. At present the most important scholarly reference is the very reliable 4-volume work by Eugenio Llaguno y Amı́rola et al. (1829), especially vol. 3, pp. 1570ff., where the authors specifically discuss the military engineer Battista Antonelli, designer of fortifications in Puerto Rico; Santo Domingo; San Juan de Ulúa in Mexico; Portobelo on the Chagres River in the vicinity of Panama; at Cartagena in Colombia; and in Cuba at Havana and Santiago de Cuba. For more recent discussions, see Maggiorotti (1939) and Sartor (2004). Geometry and Genius Loci 727 architectural design at the schools of Giuliano and Antonio da Sangallo and Michele Sanmicheli. As a young man in the service of the Gonzaga Colonna family, Battista Antonelli had the good fortune to be part of this cultured milieu, where he received training in military architecture and acquired sound knowledge of the new Renaissance treatises that dealt with this subject. It is not unlikely, moreover, that this was where he was taught mathematics and began to develop the personal interpretations that formed the basis for his later, more important activities. As in fact we shall see, it is clear in his own plans for fortifications that knowledge of mathematics and geometry played an important part in his projects for military architecture in the New World. Even though at present no information has been found about works of his in Europe (other than collaborative work with others) it is known that his activities in the service of the Spanish Crown, building military architecture for the defence of coastal areas and ports, particularly in the Caribbean, was intensive. But these Caribbean activities did not begin immediately. A first adventurous voyage in 1581 took him along the coasts of Brazil and Chile; a second trip in 1586 took him to Cartagena de Indias in Colombia, on to Panama, and finally to Cuba, where he arrived for the first time on 12 July 1587. But it was not until his third voyage to the Caribbean, in 1589, that he went back to Havana to begin work on his two most important fortification projects: the Castillo de los Tres Reyes del Morro and the Castillo San Salvador de la Punta. As mentioned, the existing fort, Castillo de la Real Fuerza, did not enjoy a particularly strategic position. A thorough review of the whole defensive system led to the decision to build a new fortress with a much more strongly territorial aspect. Before designing it, Battista Antonelli studied the topography and then worked out a plan for the defence of Havana at a territorial scale, identifying two sites, one on each side of the mouth of the entrance to the bay of Havana, where he built the Castillo del Morro and the Castillo San Salvador de la Punta. The site for the Castillo del Morro was on high ground dominating the north- eastern side of the entrance to the bay: a magnificent location that later became the inspiration for many local artists and scholars; thanks to its strategic position as a great fortress dominating the harbour mouth, it came to be adopted as the symbolic building of the Republic of Cuba (Roig de Leuchsenring 1957–60: 32). In plan, the Castillo del Morro is an irregular polygon with three large bastions whose forms and dimensions are carefully made to harmonise with the shapes of the rocky surfaces on which they stand (Fig. 5). This generated various irregularities in Battista’s plan that were a product of his previous experience and his interpretation of military architecture as he had acquired knowledge of it during his training in Italy, where similar irregularities are seen typically in the work of Antonio da Sangallo, for instance in his fortifications at Pisa (Niglio 2007: 419). The irregularity of Battista’s plan for the Castillo del Morro was also due to the need to adapt the building to its site. This adaptability was in fact a fundamental aspect of Battista Antonelli’s approach to designing fortifications, which was based on acquiring comprehensive understanding of the contours of a site where they were to be built, and often incorporated the surrounding territory into the defensive arrangements. The Castillo del Morro is a case in point: built high on a rock that 728 O. Niglio rises some 40 varas (33.43 m) out of the water (in the Castillian dimensioning system 1 vara was equal to 0.8359 m) (Acosta and Félix 1964: 43), it included a tower 12 varas high (10.03 m) on the outermost bastion, from which arriving vessels could be kept under observation (in 1844 this was replaced by the present- day round tower, 30 m high and 5 m in diameter) (Weiss 1972: 42) (Figs. 6, 7). The three bastions girded a central area measuring about 13 varas (10.86 m) on each side that originally contained buildings for use as workshops, dwellings, and the other activities connected with operating the fortress. It was defended by two batteries of cannons facing the ocean, of which the more important was positioned very near the central part of the complex and was called Los Doce Apóstoles because of its 12 guns. The second battery, denominated La Pastora (Gonzalez Fernandez 1994: 17) was about 500 varas (417.95 m) away in a more southerly part, and had an armament of 12 cannons. The irregular plan of the Castillo del Morro emphasises Battista Antonelli’s decisive intention to make it establish a dialogue with the surrounding territory, in a configuration which, apart from a few isolated elements and dimensional considerations of technical type, does not in fact comply with the laws and regulations imposed by Spanish culture of the time. But this has no deleterious effect on its architectural integrity; in fact in the Caribbean territories where the Spanish needed to build fortifications, the terrain was unlike that in Europe and when new fortresses had to be designed, none of the preconceived geometric models were ever adhered to (Blanes 1998: 47). What is interesting to note in Battista Antonelli’s Castillo del Morro is that in its unusual profiles, in the significant heights of its parts, the proportions of its ramparts, and in the precision with which he worked out the corner solutions, he was searching for a geometry that did not Fig. 5 Plan of the Castillo del Morro. Spain, Ministerio de Educación, Cultura y Deporte, Archivo General de Indias, Mapas y Planos, MP- SANTO_DOMINGO27, Series geográficas 1596–1801, La Habana (Cuba). Reproduced by permission Geometry and Genius Loci 729 necessarily aspire to symmetry. In fact, and as recent studies of the geometry of the Castillo del Morro show (Sánchéz Gómez Julio 2010: 191), no reference can be found to any of the principles of symmetry that were usually followed in Europe for the design of military architecture. In Havana, the only symmetry in the Castillo del Morro is in the lines Battista Antonelli used to generate the fronts of the two bastions. In terms of pure military defence, the dimensional aspects of his project overall are in fact determined by models that respect the technical rules and are based primarily on strategic considerations, such as the correct inclination of the cannons and their required line of fire; but even though these considerations were respected, the unevenness of the terrain meant it was not possible to apply the geometric rigour envisaged in the Renaissance treatises. For all that, Battista Antonelli’s Castillo del Morro exhibits a perfection and harmony that powerfully Fig. 6 Castillo de los Tres Reyes del Morro, the eastern walls. Photo: author Fig. 7 Castillo de los Tres Reyes del Morro, the main bastion to the east. Photo: author 730 O. Niglio express the classical architecture culture of the Renaissance as it was introduced to Cuba by him, in an interpretation that suited the local situation. For that reason, Cuban historians consider the Castillo del Morro to be the primary example of a technically, geometrically rigorous fortress of the late sixteenth century (Blanes and Herrera 1982: 22) and even though the building subsequently went through many changes that included partial demolitions and additions, particularly after 1792 when it was occupied by the British, the design as it had been finalised by Battista Antonelli remains perfectly readable today in all its parts. Thus it is clear that the interaction between a building, its site, and its geometries was a very significant aspect of the fortifications built by Battista Antonelli in Latin America, particularly in Havana. It is important for us to know what his sources where for these geometries, how he developed them, and how he consolidated them to make his fortresses act as integral parts of a specific territory. Writing about the Castillo del Morro, the architect and historian Roberto Segre has noted how its geometries dramatise the irregular shape of the terrain and integrate themselves with the rocky promontory at the harbour entrance, stepping down to the sea via a cascading sequence of terraces. Segre also observes how in establishing a close relationship with its site, the Castillo del Morro brings into sharp contrast the strength of Nature (the large, rocky promontory) and Man (the frailty of the timber used by Man to build ships) (Segre 2001: 290) throwing down a real challenge in which one of the tasks of this architecture of fortification is to integrate both by bringing into play a powerful ability to abstract its own geometries out of the rationalism of Renaissance theories (Segre 1972: 42). Battista Antonelli’s project for the Castillo San Salvador de la Punta, the second most important late-sixteenth-century fortress in Cuba, was to be the completion of his strategic plan for the military defence of the north-western entrance of the bay of Havana. Begun almost contemporaneously with El Morro and facing it across the harbour mouth, its much flatter site would have made possible a more regular configuration, closer to the arrangements set out in the Renaissance treatises (Fig. 8). However, once again it exhibits the same geometric irregularity, although of course it still complies with the requirements of a military strategy intended to have an offensive as well as a defensive function. But whilst the Castillo San Salvador de Fig. 8 Havana, Castillo San Salvador de la Punta, overview. Photo: author Geometry and Genius Loci 731 la Punta was under construction, in August 1595 a powerful hurricane destroyed some of its above-ground parts, and as a result it was decided to scale the building down from a fortress to a simple tower that could be used as the platform for a battery of guns (Weiss 1972: 41). It was not until the early seventeenth century in recognition of the strategic role of its site, not least in relation to the Castillo del Morro, completed in all its magnificence about 30 years before on the foreland opposite, that a decision was taken to complete it (Cuevas Toraya 2001: 11). The strategic importance of doing so was not only because of the Castillo San Salvador de la Punta’s position on the coastline, but also its situation near the mouth of the Almendares River. In plan it is an irregular polyhedron of some considerable size (measuring about 100 9 50 m) with a profile that still makes use of the geometric principles seen in Battista Antonelli’s other projects for military architecture (Guardia Hernández 1994: 20) (Figs. 9, 10). The deep moat that originally surrounded it was channelled straight out of the rock, and the channels that supplied it with potable water were also used to supply the city and the ships in the harbour. Fig. 9 Havana. Castillo San Salvador de la Punta. Photo: author Fig. 10 Havana. Castillo San Salvador de la Punta. Photo: author 732 O. Niglio The Geometric Peculiarities of Battista Antonelli’s Fortifications in Havana As a result of Battista Antonelli’s systematic plan for the fortification of Havana, by the beginning of the seventeenth century the city was able to benefit from no less than three important defensive fortresses: the Castillo de la Real Fuerza, the Castillo de los Tres Reyes del Morro, and the Castillo San Salvador de la Punta. This made Havana the largest fortified harbour in the Caribbean, which Philip II then officially designated ‘‘the Key to the New World and Rampart of the West Indies’’. In the ensuing centuries these three fortresses became symbols of the island of Cuba itself, a source of inspiration for artists and writers who celebrated them in numerous paintings and literary works. Although Battista Antonelli’s two projects for the Castillo de los Tres Reyes del Morro and the Castillo San Salvador de la Punta possess specific characteristics from which no generalisations should be extrapolated, they can nevertheless be analysed to identify some principles that characterise his contribution to the field of military architecture. One is the scientific nature of his design approach. In each situation he combines his empirical knowledge with a clearly technical/scientific method that enables him to resolve problems case by case during the design and construction process. This connects to his organic approach to the genius loci, according to which a defensive structure can only impose its military rules insofar as it is prepared to harmonise with its location and with the specific topography of its site: a dialogue that is very clear to see in the Castillo de los Tres Reyes del Morro, where the promontory becomes an active component of the defensive structure and where the upward stepping of the terraces, and the arrangement of the ramparts to integrate them perfectly with the terrain, even make Battista Antonelli’s architecture seem to hark back to European Renaissance fortifications. As we have seen, he was very well acquainted with Renaissance treatises on military architecture and his projects are re-workings of the lessons he learned from them; but whereas the treatises gave predominance to symmetry, and envisaged that plans would take the form of closed polygons, he adopted an open compositional structure and assembled polygons that still fully addressed the military requirements but were irregular and multidirectional. Thanks to these particular aspects, Battista Antonelli’s architecture generates its own dynamic defensive form that clearly distinguishes the bastions (as attack elements in the operation of the fortress) from the perimeter walls (as passive obstacles whose purpose is to repel assaults): a dynamic interpretation of military architecture that is one of the strengths of his approach, in which each element establishes its own close relationship with the territory, and the fortress as a whole takes on a configuration that is urban. Critical Assessments of the Work of Battista Antonelli Historiographic interpretations have often confused Battista Antonelli (Gatteo, 1547–Madrid, 1616) with the name of his elder brother Giovanni Battista Antonelli (Gatteo, 1527–Toledo, 1588), or with Battista’s own son Gian Battista (Madrid, Geometry and Genius Loci 733 1585 – Cartagena de Indias, Colombia, 1649). Despite this confusion about names and the lack of critical acclaim accorded to his work, the copious amounts of material in the Archivo General de Indias in Seville constitutes an inexhaustible, indispensable resource that compensates for the lack of attention this architect has so far been given in studies of Renaissance military architecture. Although his work has not yet been studied in any detail, sufficient documentation is available for thorough research to be carried out into his fortified architecture in Latin America, mainly in the area of the Caribbean, and for analyses of it to be made. This paper seeks to introduce and explain these fortresses as an architecture of prestige that operates at the grand scale, not only in terms of its aesthetics but also technically. Battista Antonelli’s late-sixteenth-century fortifications in Havana demonstrate his ability to range from questions of artistic and architectural style to every aspect of engineering, even the science of hydraulics. This was why he was held in high regard as a military engineer and technician by his patrons, most notably Philip II, who saw in his ideas and skills the opportunity to implement audacious projects for fortification. These remain today as evidence of a colonial culture whose magnificence continues to impress. Even though Battista Antonelli was indeed skilled in engineering and construction, he should above all be seen as the first and most important interpreter of the Renaissance language of military architecture in the New World. Of all the great military architects who came before him— Michelozzo Michelozzi, Giovanni Battista Belluzzi, Giuliano and Antonio da Sangallo—it was he who transmigrated Renaissance taste abroad, firstly and foremostly to the Caribbean. References Aloha Wright, Irene. 1930. Historia documentada de San Cristóbal de La Habana durante la primera mitad del siglo XVII. La Habana: Academia de la Historia. Blanes, Tamara. 1998. Castillo de los Tres Reyes del Morro de La Habana. La Habana: Ed. Letras Cubanas. Blanes, Tamara, and José A. Herrera. 1982. Fortificaciones Coloniales de la Ciudad de La Habana. Dirección de Patrimonio Cultural: La Habana. Acosta, De Arrate, and José Martı́n Félix. 1964. Llave del Nuevo Mundo. Comisión Nacional Cubana de la UNESCO: Antemural de las Indias Occidentales. L’Avana. La Habana. Juan, de la Cuevas Toraya. 2001. 500 años de constructiones en Cuba. La Habana: Chavı́n S.L. de la Guardia Hernández Miguel. 1994. Fortalezas, mansiones e iglesias de La Habana colonial. La Habana: Publicigraf. Gonzalez Fernandez, Alfredo. 1994. Repercusiones especiales de la fortificación colonial en La Habana. Eria 35: 225–240. Kagan, Richard, and Fernando Marias. 2000. Urban Images of the Hispanic World, 1493-1793. Yale: Yale University. Llaguno y Amı́rola, Eugenio and Ceán Bermudez, Juan Agustin. 1829. Noticias de los Arquitectos y Arquitectura de España desde su restauración. Madrid: Imprenta Real. Maggiorotti, Leone Andrea. 1939. L’opera del genio italiano all’estero. In Volume terzo, ed. Architetti Militari. Roma: Istituto Poligrafico dello Stato. Niglio, Olimpia. 2007. Tesori militari ed ipotesi di trasformazione nel nuovo assetto urbano della città di Pisa. Difese, costruite, amministrate, 417–430. Le città e i militari in età contemporanea: Università di Roma Tre. 734 O. Niglio Roig de Leuchsenring, Emilio. 1957-60. Los monumentos nacionales de la República de Cuba. vol. III, Fortalezas coloniales. La Habana: Publicaciones de la Junta Nacional de Arqueologı́a y Etnologı́a. Sánchéz Gómez Julio, Santos Pérez José Manuel. 2010. De Urbe Indiana. Ensayos sobre ciudades y urbanismo en Brazil y en la América Hispanica. Salamanca: Ediciones Universidad de Salmanca. Sartor, Mario. 2004. Omaggio agli Antonelli. Udine: Forum Editrice Universitaria Udinese. Segre, Roberto. 1972. Significación de Cuba en la evolución tipológica de las fortificaciones coloniales de América, Boletı́n del Centro de Investigaciones Históricas y Estéticas 13, 9–57. Caracas: Universidad Nacional, Facultad de Arquitectura. Segre, Roberto. 2001. Geografı́a y geometrı́a de América Latina: naturaleza, arquitectura y sociedad. Ciudad y territorio: Estudios territoriales 128: 283–296. Weiss, Joáquin E. 1972. La arquitectura colonial cubana. La Habana: Letras cubanas. Olimpia Niglio is Full Professor in the Programme of Architecture at University of Bogotá Jorge Tadeo Lozano in Colombia. She received her PhD from University of Naples (Italia) on the topic of the innovation technologies for the architectural restoration. She is the author of the books on the history of architecture and on the architectural restoration. In 2012 she was awarded a Visiting Professor Fellowship at Kyoto University in Japan where she continues your studies on the architectural dialogue between East and West. Geometry and Genius Loci 735 Geometry and Genius Loci: Battista Antonelli’s Fortifications in Havana Abstract Introduction Historical Context Battista Antonelli and the Fortifications of Havana at the End of the Sixteenth Century The Geometric Peculiarities of Battista Antonelli’s Fortifications in Havana Critical Assessments of the Work of Battista Antonelli References Inserisci da: "NNJ_v16n3_Niglio_pp723-735.pdf" Geometry and Genius Loci: Battista Antonelli’s Fortifications in Havana Abstract Introduction Historical Context Battista Antonelli and the Fortifications of Havana at the End of the Sixteenth Century The Geometric Peculiarities of Battista Antonelli’s Fortifications in Havana Critical Assessments of the Work of Battista Antonelli References 
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work_rwvkrk346bejxnmhze56xdsd3a	----	Microsoft Word - final.docx Transmotion Vol 5, No 1 (2019) 11 “Transnational Narratives of Conflict and Empire, the Literary Art of Survivance in the Fiction of Gerald Vizenor” BILLY J. STRATTON With more than forty books to his credit, including poetry, fiction, critical theory, journalism, memoir, and tribal history, spanning the last five decades, Gerald Vizenor has established himself as a prolific, versatile, and influential contemporary native1 writer and thinker. While Vizenor's works have consistently addressed the legacy of colonialism and native peoples' responses to its effects, they are also distinguished for their frequent placing of native people and characters within international contexts. These interests can be traced back to his earliest writings in the realm of haiku and imagistic poetry, directly inspired by his experiences living in Japan while serving in the U.S. military. These include the volumes Two Wings the Butterfly (1962), Raising the Moon Vines (1964), Seventeen Chirps (1964), and Empty Swings (1967). He has continued these poetic explorations in more recent collections, Matsushima: Pine Island (1984), Almost Ashore (2006), Favor of Crows (2014), and Calm in the Storm/Accalmie (2015). Writing on the influence of a deep understanding of place via a sort of communion with a particular ecosystem and its terrestrial cycles in Favor of Crows, Vizenor states, "Haiku, in a sense, inspired me on the road as a soldier in another culture and gently turned me back to the seasons, back to traces of nature and the tease of native reason and memories" (xi). Cosmopolitan Origins Vizenor's strong interest in international and transnational experiences is also evident in several works of fiction set throughout Asia and Europe. These include Griever: An American Monkey King in China (1990), The Heirs of Columbus (1991), Hiroshima Bugi: Atomu 57 (2010), Shrouds of White Earth (2010) and Blue Ravens (2016)—the first of a trilogy of novels2 addressing the European experiences of Anishinaabe soldiers in the contexts of World Wars I and II. In these works, Anishinaabe culture and ideas take on indelible "chancy presence," transcending political boundaries while conferring a deep sense of global belonging (Postindian 19). Vizenor's use of common tropes such as border-crossing, international exploration, transnational native liberty, and dynamic transmotion are, in many ways, reflective of his own Billy J. Stratton “Transnational Narratives” 12 cosmopolitan experiences—initially through the tribal newspaper published at White Earth by his own ancestors, the Tomahawk (later renamed Progress); as a member of the U.S. military; and most fully as a transnational native writer, lecturer, and traveler. This cosmopolitanism would, perhaps, be natural for a native person, an Anishinaabe citizen of the White Earth Nation, the descendant of "postindian immigrants, and in that sense postmodern natives on the move from the reservation to modernity, the industrial world of Minneapolis" (Postindian 21). It is also natural for a storier whose homeland, while centered in Minnesota and the Great Lakes region, also includes the rest of North America, as well as a world and universe. This is so by virtue of its very creation and maintenance through the dreams and thoughts of the gichi-manidoo, or Great Spirit, in the creation stories of the Anishinaabe, transformed and always transforming into its present form by the trickster, naanabozho. Among the Anishinaabe stories of origins and world-creation found in Vizenor's works, he describes the pre-historical world as originally consisting of water without form, or as a disordered and amorphous non-place in the midst of a global flood where creation and renewal are constant. Within the broader category of creation accounts known as earthdiver stories, these narratives concentrate on the processes by which supernatural figures, with the help of various animals, work to draw substance from the depths of the abyss to establish solid ground where living beings can enjoy rest and relief. In The Heirs of Columbus (1991), for instance, Vizenor relates the actions taken by naanabozho to accomplish this. In this work's opening, the narrator describes this figure as, simply, "the compassionate tribal trickster who created the earth" (5). The abbreviated description of creation that follows establishes a universal, native-centric, but non-exclusive conception of the world—which I have elsewhere termed, "heteroholistic"3— whereby "the trickster created the new earth with wet sand" (5). Vizenor's subsequent 1992 novel, Dead Voices, contains a more detailed version of this story. Here, the importance of cooperation in the process of creation are elaborated with naanabozho enlisting the assistance of various animals to restore the flooded world: "so he asked the beaver to dive down and rescue the last of the old earth, but it was the muskrat who came back with a little piece of sand, enough for the tribe to pack a new island on the back of a turtle" (111). In many ways such a conception of the world/universe is in harmony with the earliest conception of cosmopolitanism noted by Kwame Anthony Appiah as simply a "citizen of the cosmos" (xiv). Transmotion Vol 5, No 1 (2019) 13 Utilizing naanabozho's wildly adaptive capacity as a ubiquitous narrative figuration in Anishinaabe storytelling and literature, Vizenor broadens their vital role even further, noting in The Trickster of Liberty (1988), "the trickster is a 'cosmic web' in imagination" (xi). As such, naanabozho is conceived and understood within a broader cosmological framework and as a prominent semiotic presence. Vizenor stretches the limits of the descriptive capacity for this ambiguous "tribal trickster" through the tease of chance and irony. In the essay "Trickster Discourse: Comic Holotropes and Language Games," for example, he describes naanabozho as "a liberator and healer in a narrative, a comic sign, communal signification and a discourse with imagination" (187). Writing on the function and purpose of the trickster in storytelling and literature, Jace Weaver, observes Vizenor's prevalent use of the trope, stating that "in the very process of disruption" initiated by the trickster both naanabozho and characters that embody its traits and qualities succeed in "imaginatively keeping the world in balance" (Other Words 56). The resonance of such ideas emphasizes the values of restoration, harmony, and cooperation. At the same time the inclusion of these qualities helps shift the focus away from individuality and isolated facts, events, and locations that are central to Western knowledge. This grants even greater significance to restoration, harmony, and cooperation when combined with the transcendent conception and identity of gichi-manidoo. The eminent Anishinaabe scholar and storyteller, Basil Johnston, defines gichi-manidoo as "the Great Mystery of the supernatural order, one beyond human grasp, beyond words, neither male nor female, nor of the flesh" (2). In his explanation of how the universe and all things in it were created, Johnston states, "Kitchi- Manitou4 had a vision, seeing, hearing, touching, tasting, smelling, sensing, and knowing the universe, the world, the manitous, plants, animals, and human beings, and brought them into existence" (2-3). Similarly, this figure is simply described by the ethnologist, Frances Densmore, as "the master of life—the source and impersonation of the lives of all sentient things, human, faunal, and floral" (97). Anishinaabe poet and linguist, Margaret Noodin, emphasizes the global relevance and essential crux of Johnston's outline of these stories as a "way of saying the words of stories are medicine of the earth, information about all that can be observed, parts of universal understanding that are essential for living according to the Anishinaabe people" (112). Although native American creation stories may be dismissed as quaint myths, or worse, by non-native readers, the point Daniel Health Justice makes in Why Indigenous Literature Matters (2018) about native speculative fiction seems equally pertinent to oral tradition: "the fantastic is an Billy J. Stratton “Transnational Narratives” 14 extension of the possible, not the impossible; it opens up and expands the range of options for Indigenous characters (and readers [or listeners]); it challenges our assumptions and expectations of 'the real'" (149). One of the major implications of this native order of things is that as part of a contingent, cohesive, and global whole, the wide-ranging Anishinaabe lands and lakes located in Wisconsin, Michigan, North Dakota and Minnesota—home to the White Earth Reservation—and of the larger Great Lakes region on both sides of the American/Canadian border, form the geographic center for what is known as "Turtle Island" by the Anishinaabeg, as well as other native peoples. The first person narrator of Vizenor's Shrouds of White Earth (2010) takes little time in challenging the imagined communities of European colonialism in a dialogic statement put directly to the reader: rightly you query my use of that facile word, culture. I should be more specific about the use of popular, cosmopolitan, and aristocratic cultures, but for now my use of the word culture is even more particular. I mean a reservation culture, a culture of reservations, that reservoir and uncommon association of colonial, foisted, bribable, simulated, countered, postponed, and ironic good stories, taste and company. (6) The artificiality of these national and political boundaries, imposed in the aftermath of European colonialism, is precisely what another Anishinaabe writer, Gordon Henry Jr., playfully labels as "parameters of residence" (Light People 76-79). For Henry, this was simply the result of the imposition and demarcation of reservation enclaves of native culture. Additionally, out of the same land seized from native peoples, other borders were drawn to delineate the political national territories of the United States and Canada to the North, and Mexico to the South. It is precisely these conditions that lead Appiah to highlight the arguments of contemporary thinkers who maintain that "the boundaries of nations are morally irrelevant—accidents of history with no rightful claim on our conscience" (xvi). Hence, despite the restrictions on freedom, movement, and opportunity they unmistakably inflict, such impositions alone are incapable of severing the spiritual connections or sense of global belonging the Anishinaabeg as citizens of an Anishinaabeg world, or any other native and indigenous peoples as citizens of their own respective worlds, maintain with the earth. Transmotion Vol 5, No 1 (2019) 15 Colonial Encounters, Upheavals, and Resistance In his revolutionizing work in native critical theory, Louis Owens sought to differentiate the world of creation from the context of postcolonial positionality through the adoption of Edward Said's idea of "strategic location" (208). For Owens, this conception aligns with Anne McClintock's critique of "postcolonialism" as a term that "reorients the globe once more around a single binary opposition: colonial-postcolonial" (10). Owens worked to articulate a distinctly native critique of colonial land in much of his critical work, conceived "as a kind of frontier zone, which I elsewhere have referred to as 'always unstable, multidirectional, hybridized, characterized by heteroglossia, and indeterminate'" (208). In a similar vein, Vizenor has sought to rectify the sustained exclusion of native people in postcolonial discourse by placing emphasis on the geographic claims and connections of native peoples beyond the limits of strategic locations bound to imposed and simulated reservation boundaries or liminal frontier zones invented by colonial knowledge. In an essay titled, "Literary Transmotion: Survivance and Totemic Motion in Native American Indian Art and Literature," Vizenor observes, "Native and indigenous cosmototemic artists created the first memorable scenes of presence, natural motion, and survivance on the slant of stone, and in the great shadows of monumental caves more than thirty thousand years ago on every continent" (20). For like the story of another trickster, the brother of naanabozho, who takes the elemental form of stone and appears in several of Vizenor's novels, as well as in Henry's The Light People, there is no place on earth without their presence. Within the context of Western colonial discourse, native peoples have long been cast as brutal savages in the weaponized binaries which accrue meaning within the asynchronous and starkly linear context of European exploration and globalization. Vizenor cites the 1648 Treaty of Westphalia in Native Liberty (2009) as one significant moment in the concomitant establishment of geo-political "territorial borders, security, and state sovereignty" within this context (105). Conceived to bring to an end the Thirty Years War, this agreement also served as a mechanism by which the native, indigenous, and First Nations people of the Western Hemisphere were placed under the influence, surveillance, and purported authority of Western European ecclesiastical, monarchic, and military rulers (105). This exploitative state of relations was enabled, at least in part, by the systems of cultural classification and enforced criteria of normative appearance, behavior, and thought. One of the prime vehicles for the dissemination of Billy J. Stratton “Transnational Narratives” 16 such knowledge as an expression of imperial authority and power was embedded in spurious representations of native and indigenous people in the Western art and literature. The perceptions propagated by these discourses were instrumental to frequent dissemination of fabricated information about native peoples. Vizenor directly addresses this problem vis-à-vis frontier narratives in his widely influential article, "Socioacupuncture: Mythic Reversals and Striptease in Four Scenes," describing it as "the structural opposition of savagism and civilization found in the cinema and in the literature of romantic captivities" (83). Literary texts and artistic images were central in circulating disparaging images and descriptions of native cultures and peoples throughout Europe and the Americas. Such representations anticipated and exacerbated the nature and intensity of the conflicts typifying European imperial interactions with the indigenous peoples they encountered in the Western Hemisphere, as well as in Asia, Africa, Australia, and all parts between. In the most widely reproduced examples used as synonyms for native culture, Vizenor continues, "plains tepees, and the signs of moccasins, canoes, feathers, leathers, arrowheads, numerous museum artifacts, conjure the cultural rituals of the traditional tribal past, but the pleasure of the tribal striptease is denied, data bound, stopped in emulsion, colonized in print to resolve the insecurities and inhibitions of the dominant culture" (83). Taken as a whole, colonial modes of representation contributed to systems of knowledge and action that neatly aligned with readymade conceptions of barbarism, primitiveness, and cultural stasis (83). No doubt influenced by such developments, and in response to the wider geopolitical dynamics spawned from European conflict, Vizenor observes that native communities were "already under colonial siege and disease, decimated by the first fatal contact with the dominions of 'globalization'" (Liberty 105). More specifically, he makes readers keenly aware of the ongoing processes by which Anishinaabe and other native peoples of North America were oppressed and "denied a sense of presence" in a world defined and divided by the mechanisms of Western knowledge and campaigns of organized and state-sanctioned violence (105). The particulars of this repressive system of imperialism, described as being "delivered by the breath and blood of monotheism and civilization" (105), have not just led to social isolation, cultural erasure, and forced assimilation, but also to the denial of "cultural hybridity, hemispheric contact and liberty" (106). It was a world that was rapidly expanding and torn asunder by the speed of transportation, advances in technology, and warfare. And within this context the lands, forests, and lakes of the Anishinaabe became a flashpoint of imperial fortunes and subjugation with the Transmotion Vol 5, No 1 (2019) 17 arrival of French explorers and missionaries, along with the massive transformation and growth of the fur trade. As Ian K. Steele points out in Warpaths: Invasions of North America (1994), French efforts to monopolize the fur trade proceeded over a lengthy period of time starting with the expeditions of Jacques Cartier north of the Gulf of St. Lawrence in 1534, and later those of Pierre du Gua and Samuel de Champlain, resulting in the establishment of fur trading settlements at Ile Sainte-Croix in 1604 and Port Royal in 1605, culminating in the establishment of Québec in 1608 (59-64). As a consequence of these relentless colonial incursions, the Anishinaabe became entangled in the extractive activities that resulted. Vizenor details the impact of these events in an early contribution to indigenous autohistory,5 The Everlasting Sky: New Voices from the People Named the Chippewa (1972), stating that "in the seventeenth century the first voyagers and missionaries of the Old World established a fur-trading post on the island [Madeline Island] near the sacred community of the people" (6). In a follow-up text, Tribal Scenes and Ceremonies (1976), he returns again to this theme, stating, "the fur trade interposed the first anomalous economic burr on the traditional survival rhythms of woodland life and the equipoise of tribal spirits" (111). In response to the destructive cultural and spiritual effects of the colonial fur trade, one character in The Heirs of Columbus cynically observes, "the fur trade determined the future of the tribes, fur for sale was worth more than a hide packed with bones, feathers, and superstitions" (47). The expansion of the fur trade and its associated effects, as we know, brought widespread environmental disruption and acute trauma to native communities in the larger context of extractive colonialism. Nonetheless, Vizenor also doesn't shy away from speaking directly to the responsibility and agency that arise from the distorted rationales of victimry and ecological romanticization, noting, "tribal people from the mountains, plains and waterways of the woodland, transcended or ignored their religious beliefs and family totems by killing millions of animals for peltry" (Tribal Scenes 111). Positioning the French fur trade within the larger context of colonial globalization, Scott Lyons draws a comparison between the fur trade and the difficult negotiations native people were brought into in addressing European languages, including the fraught questions surrounding translation. Following Vizenor, Lyons observes that even in a "subordinate" position, the Anishinaabe still "played a fairly extensive role in the fur trade" (159). Although Basile Hudon Beaulieu describes this era of Anishinaabe history, which was Billy J. Stratton “Transnational Narratives” 18 also one of apocalypse, as "an eternal shame" in Native Tributes (2018), it is not one of limits or finality either. Instead, as he reminds readers, "the memory of totemic animals continued as a source of stories and images in native art and literature" (7). Transnational Passages in War and Exile The wide-ranging and long term results of these social, cultural, historical, and epistemological dislocations is that Anishinaabe and other native peoples were reduced by degrees to the status of exiles, as "the fugitives of frontier, imperial, [and] mercenary sovereignty" (Liberty 108). Turtle Mountain Ojibwe writer, Louise Erdrich, illustrates the stark nature and effects of subsequent colonial impositions in the opening of her novel, Tracks. The narrative commences in the tumultuous period following the fin de siècle closing of the frontier as heralded by Frederick Jackson Turner with a narrator who observes: "it was surprising there were so many of us left to die. For those who survived the spotted sickness from the south, our long fight west to Nadouissioux land where we signed the treaty, and then a wind from the east, bringing exile in a storm of government papers, what descended from the north in 1912 seemed impossible" (1). Speaking to many of these same forces and impacts, Vizenor addresses the transnational and transhistorical effects produced from this context in the opening chapter of Blue Ravens. Here, the lineages of the two characters through which the narrative is told, the brothers Aloysius Hudon Beaulieu and Basile Hudon Beaulieu, are traced back along multiple lines of rhizomatic kinship: "Honoré Hudon Beaulieu, our father, was born on the north shore of Bad Medicine Lake. He was known as Frenchy. Our mother was born on the south shore of the lake. These two families, descendants of natives and fur traders, shared the resources of the lake and pine forests" (5). The composition of such stories that address the complexity of these cultural interactions in ironic and empathetic ways, especially those that place native characters in international settings and contexts, carry the capacity to effectively challenge circumscribed notions of culture and identity and its relation to geographic belonging. Apart from bearing witness to the complications of intercultural contact and the inextricable web of familial interrelations resulting from the encounters between Anishinaabe and European peoples, Blue Ravens explores the border-crossings of some of Vizenor’s own ancestors. In fact, their experiences as soldiers and nurses during World War I, including those of Ignatius Vizenor, Augustus Hudon Beaulieu, Ellanora Beaulieu, John Clement Beaulieu, and Transmotion Vol 5, No 1 (2019) 19 Lawrence Vizenor, are honored on the dedication page of the novel itself [5]. Such memorialization lends narrative substance to Jodi Byrd’s observation that "to be in transit is to be active presence in a world of relational movements and countermovements," through the people, events, and landscapes Vizenor's fictional narrators see and experience in place of their real-life counterparts (xvi-xvii). "To be in transit," Byrd further emphasizes, "is to exist relationally, multiply" (xvii). An analogous sense of relationality is conveyed in the narrative trajectory of Blue Ravens, which provides readers a window into Anishinaabe experience emanating from the White Earth Reservation starting in the year 1907. The narration of the story itself is embedded in White Earth, before shifting to Europe and the horrors of World War I, which the narrator characterizes as an “empire demon more sinister than the ice monster” (109). Initiating a break from these parameters of residence, the story traces lines of flight to the reservation where the Beaulieu brothers experience a persistent sense of confinement and isolation, provoking a return to France where they would ironically "become expatriate native artists, a painter and a writer, in Paris" (109, 211). In the novel's sweeping exploration of the impacts that forms of "empire slavery" (278), and especially, its results bore on the Anishinaabeg of White Earth, Vizenor's characters utilize the potency of imagination to address the traumas of oppression, war, and inhumanity. Vizenor accomplishes this through the genre of historical fiction, building upon the broader transnational, postcolonial critique that extends throughout his discursive body of work. Vizenor's concern for history and the way it bears on native individuals and societies highlights the truth that intercultural conflict and acts of war result in the massive displacement of native and indigenous peoples. Yet, the actual events of the war itself are not the focus of his narrative as the essential substance of Blue Ravens is primarily focused on the aftermath of World War I as told through the experiences of the Beaulieu brothers as expatriate artists, a writer and painter, who return to Paris to escape their ironic status as “political prisoners by the federal government in a civil war” (217). The thematic concerns this and Vizenor's other novels engender, which include a diverse array of characters including human, animal, and spirit beings, encourages readers to appreciate his sustained engagement with the multivalent sources, impacts, and legacies of colonization and empire building through the empathetic play and tease of humor and irony. Expressions, of course, that form the basis for his practice of trickster hermeneutics. The agile modes of discourse created with such elements allow the creative capacities of storytelling and art to be more effective in conveying the essence of survivance and native Billy J. Stratton “Transnational Narratives” 20 sovenance, which Vizenor defines as "that presence in remembrance, that trace of creation and natural reason in native stories" (Fugitive 15). Connecting the inevitable legacy of violence that proceeded from global colonialism to more recent and contemporary historical experiences that attend this context, Vizenor creates a complementary array of stories by which to explore the resonances and impacts on Anishinaabe people. In so doing, Vizenor establishes linkages between Blue Ravens and his follow-up works, Native Tributes and the yet to be released Satie on the Seine, by tracing the narrative threads to World War II, and the experiences of the crossblood character, Ronin Ainoko Browne, in Hiroshima Bugi. Readers are introduced to Ronin, the orphan son of Orion Browne—an Anishinaabe soldier stationed in Japan—and a Tokyo bugi dancer, known only as Okichi, as living on without "parents to bear his stories, no memorable contours, creases, or manner of silence at night” (15). Left at an orphanage following his birth, the use of Ainoko as a middle name is reflective of his physical traits, signifying " a hafu, or halfbreed child" (17), while he is also given "the name of the actor, Mifune," from which Ronin is derived (21). As these accumulated names imply, despite his familial isolation, Ronin is heir to a rich tradition in Japanese culture, invoking the famous image of the wandering samurai widely depicted in art and literature and whom serve as the inspiration for the heroic wandering samurai characters played by Toshirô Mifune in numerous Akira Kurosawa films, including Yojimbo, Sanjuro, and Seven Samurai. Finally, the surname, Browne, connects the transnational circuit back to the Anishinaabe world of Vizenor's stories through intertextual association with other dislocated characters such as Almost Browne found in several of his stories and novels. As explained in the novel, Hotline Healers (1997), it is a name derived from an accident of circumstance in which the character was said to be born "on the shoulder of the road […] almost on the White Earth Reservation" (10). For Jodi Bryd, the historical contexts of transnational interrelations, war, and the effects of displacement that play out in Hiroshima Bugi prompts a consideration of "American Indian participation in and disruptions of conviviality within the transits of empire" (189-190). As is the case in practically all of Vizenor's works, the impact of empire cuts across various spatial, temporal, ideological, and spiritual coordinates and realities. Vizenor highlights lines of correspondence across indigenous worlds through a narrative structure that reveal the novel to be a book within the book formed by Ronin's journals and the unnamed narrator of the "Manidoo Envoy" chapters, which alternate between those focalized Transmotion Vol 5, No 1 (2019) 21 through Ronin. Identified as a fellow Anishinaabe veteran from Leech Lake, and erstwhile roommate of Orion at the Hotel Manidoo in Nogales, Arizona, who Ronin bade "to provide notes, the necessary descriptive references, and background information on his father and others" (9). These textual details, which included accounts of Orion's experiences after surviving a war in which he was "exposed to nuclear radiation," are conveyed as story fragments in Ronin's narration. At the same time, they transport the reader back to a site that bears crucial significance in so many of Vizenor's works: "he retired from the army, nursed his nuclear wounds, and built a cabin at the headwaters of the Mississippi River near the White Earth Reservation in Minnesota" (18). Emphasizing the healing powers of this sacred place, the narrator later reveals that Orion "recovered by meditation, native medicine, and the annual stories of survivance at the headwaters" (18). In addition to creating connections between native worlds, Hiroshima Bugi also highlights transnational linkages between the knowledge and stories of the Anishinaabe and the indigenous people of Japan who are known as the Ainu. These are described as extending to "natural reason, their creation, animal totems, and survivance" (51), with an unnamed narrator further asserting, "Ainu culture is based upon a world view which presumes that everything in nature, be it tree, plant, animal, bird, stone, wind, or mountain has life of its own and can interact with humanity" (51-52). The radical break with Western epistemologies and ontologies that understandings of an animate world gives potency to a transcendent and unbounded conception of the earth in which national borders, private property, citizenship, and identity retain little meaning. Vizenor reinforces such ideas by emphasizing the inherent sense of belonging that Anishinaabe people may feel anywhere in the world, the significance of sites including Ronin's "nuclear kabuki theater of the ruins" at the Atomic Bomb Dome in Hiroshima (3), and Orion's retirement home in the desert of southern Arizona, or in the Beaulieu brothers' escape from White Earth to the refuge of Paris. All of these settings are imbued with increased implication, perhaps, when considering the ways in which the stories they frame resist the "homing" pattern theme observed by literary critics such as William Bevis. While having significant force in classic native novels such as N. Scott Momaday's House Made of Dawn, James Welch's Winter in the Blood, and Leslie Marmon Silko's Ceremony, which tend to correlate healing and recovery with a return to reservation lands, it is important to note the narrow limits of such interpretive models as well. As Angelika Bammer writes on the concept of displacement, for instance, when Billy J. Stratton “Transnational Narratives” 22 it comes to native and indigenous peoples, colonial and imperial policies resulted in the massive "expropriation of land that often left indigenous peoples with merely a small, and mostly poorer, portion of their [original] land" (xi). This situation notwithstanding, the exigencies of the homing pattern has not been without its critics. The Irish scholar Padraig Kirwan, for instance, has asserted that the application of this mode of interpretation in some quarters has become "an automatic, enforced, and singular means to achieve relocation and deracination that results in Native literatures being disallowed sufficient room to develop a narrative schema that speaks of life in the urban centers or elsewhere" (3). Stephen Graham Jones is one native writer who has expressed skepticism for the efficacy of this determinist formulaic, stating in a publisher's interview promoting The Fast Red Road: a Plainsong, that the novel was written in part to challenge this determinist model.6 Legacies of Discovery and Empire The broader philosophical and historical valences brought to the surface by these ideas have also been addressed in several of Vizenor's other works, and numerous offerings by other native writers from Leslie Marmon Silko's Ceremony and Stephen Graham Jones' The Fast Red Road, to Louise Erdrich's and Michael Dorris' co-written novel, The Crown of Columbus, as commencing with the arrival of the Italian navigator in 1492 to the Western Hemisphere. Far from being seen as an isolated moment in history, which eschews "the binary axis of time," which McClintock critiques as "an axis even less productive of political nuance because it does not distinguish between the beneficiaries of colonialism (the ex-colonizers) and the casualties of colonialism (the ex-colonized)" (11), these works connect Columbus' landing to ensuing waves of colonial violence that were unflinchingly documented by Spanish missionaries and conquistadores such as Bartolomé de Las Casas and Bernal Díaz del Castillo. The catastrophic series of events resulting from the so-called discovery and conquest of the 'New World' is taken up in The Heirs of Columbus as the foundation for the mythologization of the Americas and the operant masternarratives of divine providence and exceptionalism that animates colonial historiography. Events commencing with the landing of Christopher Columbus also form the context for subsequent interactions that led to the abduction of Pocahontas, the daughter of Powhatan, by English settlers in what was to become Virginia; circumstances that culminated, of course, in her untimely death and internment at Gravesend in Kent, England7, Transmotion Vol 5, No 1 (2019) 23 creating a situation that threatens to consign her to the status of a perpetual captive. It is useful to note that in addition to representing a decisive moment in native American history, the 500th anniversary of Columbus' arrival served as the occasion for the publication of The Heirs of Columbus itself.8 As Kimberly Blaeser remarks, however, in her critical study, Gerald Vizenor: Writing in the Oral Tradition," Heirs distinguishes itself from the mass of Columbus materials that appeared at the time by the unusual twists it gives to the legacy of the Columbus myth, boldly imagining the genes of the explorer as a source of contemporary healing" (95). The novel serves, in this sense, as an informative example that reflects the ways in which traditional native storytelling and literature function to deconstruct the artificial disciplinary distinctions between discourses such as history and literature, fact from story. Among the numerous ways Vizenor uses his work to address the effects of violence, dispossession, confinement, isolation, and loneliness that bear on the lives of native people in the wake of European colonialism is through acts of creative appropriation. In Heirs this occurs as Columbus is rendered as indigenous, transformed, as it were, into "a trickster healer in the stories told by his tribal heirs at the headwaters of the great river" (3). The provocative and deeply ironic nature of Vizenor's reinscription of Columbus' role in the remaking of North America is one that aligns with Hayden White's notion of historical explanation by "emplotment," which is taken to signify "the way by which a sequence of events fashioned into a story is gradually revealed to be a story of a particular kind" (7). The process of historical production shaped by narrative form is reflective of the essential uncertainty and instability evident in attempts to excavate the facts of the past, along with the human desire to make sense and create order out of the fragments presented by historians through sanctioned modes of documentation, but never through memories or stories, and much less, the dreams of native peoples. Vizenor deftly exploits the ambiguities and limitations that issue from such matters to challenge and subvert European claims to lands and resources of the Western Hemisphere founded upon notions of discovery and conquest, or colonial succession. Such is the case with the United States, Canada, and Mexico from their relationships with England, France, Spain, and Holland, formulated within a "culture of death" by papal and monarchic authorities, and then later by political and military force (10, 19). Billy J. Stratton “Transnational Narratives” 24 Obscure Heirs Columbus' own remote "Mayan" roots are attributed by Vizenor to his mother, Susanna di Fontanarossa, from whom it is said that he "inherited the signature of survivance and tribal stories in the blood" (9, 28). This provocative connection becomes possible in the story due to the obscurity that attends the tracing of matrilineal descent in Western patriarchal culture. The genealogical ties on which the novel's title hinges are made complete by the introduction of Columbus' purported indigenous partner, "a hand talker named Samana," who emerges into the story from between the lines and through the unstated implications of his journals (31). Prompted by the expected skepticism to this element of the story, perhaps, Vizenor shares his thoughts on the rhetorical and philosophical function of this wild circumstance in the "Epilogue" that follows the conclusion of the novel, stating, "Columbus arises in tribal stories that heal with humor the world he wounded; he is loathed, but he is not a separation in tribal consciousness. The Admiral of the Ocean Sea is a trickster overturned in his own stories five centuries later" (185). Thus, through his use of storytelling devices and narrative conventions that give cohesion to an alternate legacy for Columbus, Vizenor challenges the historical processes and constructs of knowledge that attend the deprivation of native people of their lands, natural resources, and culture. The building of story around such "twists" is furthered through the creation of new reservations and native lands. The first of these is established "on the international border near Big Island in Lake of the Woods" (6), and founded by the evocatively named, Stone Columbus, an Anishinaabe crossblood identified as the "direct descendent of the trickster, stone, and Christopher Columbus" (9). As readers attuned to Vizenor's irreverent humor and comic irony may already suppose, this place will be no ordinary reservation as it consists mainly of "an enormous barge that had been decked for games of chance on the ocean seas of the woodland," and christened as Santa María Casino (6, italics in original). Vital to the understanding of Vizenor's critique of colonial history is that the casino is further described as a roving "trickster creation on an ocean sea in the new tribal world" (11). That the reservation/casino in this new tribal world is "anchored" beyond the contemporary boundaries of White Earth, as well as other Anishinaabe communities in the state and region, "straddling the international border between the United States and Canada," provides another opportunity for the deconstruction of Transmotion Vol 5, No 1 (2019) 25 conventional notions of spatial territory and belonging (6). It seems important to note that the particular site of the White Earth Reservation had been legally retained by the Anishinaabe through a series of land cessions actuated by treaties between various Anishinaabe groups and the American government in what was to become the state of Minnesota from 1837 until 1863. These are facts that draw emphasis to the historical and political dimensions of territorial land claims throughout North America. Ones that were shaped by the dispossession and dramatic reduction of reservation territory, while promoting the legalized theft of tribal lands that continued beyond the treaty era and into the twentieth century through mechanisms such as allotment. As one might expect of a story offered as a means of challenging the facile and all- too-convenient assumptions about native peoples perpetuated in American literary and historical discourse, Vizenor offers forth an indigenized conception of land and sovereignty. Hence, the legality of Stone Columbus' reservation/casino is acknowledged through the ruling of a sympathetic federal judge who holds that "the essence of sovereignty is imaginative, an original tribal trope, communal and spiritual, an idea that is more than metes and bounds in treaties," thus providing a legal frame to the novel (7). Another site that serves to extend conceptions of Anishinaabe land beyond reservation boundaries is "the stone tavern, that wondrous circle of warm trickster stones, [that] has been located for more than a hundred generations on a wild blue meadow near the headwaters of the Mississippi River" (4). The "trickster stones" referred to here are, of course, those linked to naanabozho's brother, and which "create a natural theater, an uncovered mount that is never touched by storms, curses, and disease; in the winter the stones near the headwaters are a haven for birds, animals, humans, and trickster stories of liberation" (5). Situated just outside this tavern one also finds "The House of Life," which is "the burial ground for the lost and lonesome bones that were liberated by the heirs from the museums" (5). Binding these associations together is the Mississippi River, known to the Anishinaabe as "gichiziibi," a term Vizenor translates as "the cradleboard of civilization" (13). The connotation of this phrase teases at longstanding connections to the land, as well as its physical conception and epistemological significance conveyed in indigenous knowledge, recalling sacred associations that are stifled in the colonial processes of claiming and naming. Additionally, gichiziibi also reflects on Vizenor's broader concerns regarding the connections between native languages and place in which he states: "tribal languages were spoken in places for thousands Billy J. Stratton “Transnational Narratives” 26 and thousands of years, and for that reason the place words are more dramatic connections to the earth. In tribal language and religion there are connections between vision, word, and place. And where people have visions, the vision was connected to the energies of the earth through words, a complex abstract connection" (Bowers 48). Clearly, the Mississippi River, understood through a metaphor that overturns Western binaries and Eurocentric thought, is one such place, while also appearing in the works of other Anisihinaabe writers such as in Gordon Henry's The Light People and Louise Erdrich's The Antelope Wife9 (1998). Stone Columbus is joined in his efforts to decolonize the land and history of the Americas and assert a sense of native presence and belonging that moves beyond colonial borders by his wife, Felipa Flowers. Early in the story, as a means of introduction, she is characterized as "the trickster poacher who repatriates tribal remains and sacred pouches from museums" (8). She goes to New York City on a mission in service to such ends "to repatriate sacred medicine pouches […] the bear paw and otter pouches that had been stolen by Henry Rowe Schoolcraft" (45). The tactics Flowers uses in her efforts provoke questions centering on the fraught meanings of the terms "discovery" and "theft," and are undertaken "'to atone for" what she calls "the moral corruption of missionaries, anthropologists, archaeo-necromancers, their heirs, and the robber barons of sacred tribal sites'" (50). In order to secure the sacred items stolen by Schoolcraft, Flowers arranges a meeting with Doric Michéd, who is identified at first as an "obscure crossblood," and soon after as a "cannibal" (46, 54). Vizenor uses these ambiguous and conflicted associations as another means of challenging the shallow narratives of victimry and tragedy that have so often been used to deprive native people of agency and presence. Indeed, Vizenor's stories are set in a richly textured world in which cultural binaries, especially those that merely reverse the positions of civil and savage, are rejected. In addition to Michéd's "remote" ties to an indigenous community (48), he is also revealed as a member of a sinister organization known as the Brotherhood of American Explorers. This shadowy group meets in the so-called "Conquistador Club," whose motto is to "'explore new worlds, discover with impunities, represent with manners, but never retreat from the ownership of land and language'" (50). While representing numerous and conflicting identities, within the context of this organization, Michéd is portrayed as "'a distinguished explorer and gentleman heir of the first Indian Agents in the territory of Michigan" (54). This is a distinction that further emphasizes Transmotion Vol 5, No 1 (2019) 27 the complexity of intercultural relations and ever-shifting concepts of land and territory in the colonial period. Michéd's conception of a world mapped, classified, and commoditized through colonial knowledge is placed in direct contrast to Flowers' understanding that "the world was united in clever tribal stories, imagination, memories" (46). Flowers manages to successfully recover the stolen items, but only with the help of "an eager tribal tent shaker" and reservation-less native named Transom (54). In fact, Transom is only able to liberate the bundles, along with a silver casket containing the remains of Columbus, from the museum vault where they were held by entering through a slipstream portal in the transmuted spiritual form of a "bear" (56). As such, this would be no conventional heist as the entry and escape were only made possible by a dimensional worm hole opened by "two black stones" that lead back again to the headwaters (56- 57). When questioned by the detective in charge of the investigation into the disappearance of these items, Flowers challenges the colonial context of their very presence while asserting the spiritual claims of the Anishinaabeg in stating, "the liberation of our stories is no crime," before adding that she "would not reveal the location of the pouches" (60). Although these narrative events give credence to the territorial primacy of the Anishinaabe within Minnesota, a more audacious understanding of the world Vizenor animates is posited through an attention to different conceptions of sense and understanding: "the New World is heard, the tribal world is dreamed and imagined. The Old World is seen, names and stories are stolen, constructed and published" (93). The impressions of these words, then, become the fading echo of Flowers next venture to retrieve "the remains of Pocahontas for proper burial by the Heirs of Columbus" (95). This mission, taking her across the Atlantic to England, sets the stage for the further deconstruction of the territorial restrictions imposed upon native and indigenous peoples. This plan is put into motion after Flowers is contacted by a collector of rare books by the name of Pellegrine Treves. He claims to possess Pocahontas' remains but asks for Flowers help in having them repatriated for a proper reburial in America (94). As it turns out, however, the information Flowers receives is part of a ruse concocted by Michéd who poses as Treves to regain possession of Columbus' remains. Reflecting the sheer brutality of colonialism and its agents, Flowers is abducted and killed while engaged in what she thought to be the rescue of "a tribal woman from the cruelties of more than three centuries of civilization" (115). In a dramatic replay of Pocahontas' death detailed in a detective inspector's report, Flowers' body is Billy J. Stratton “Transnational Narratives” 28 found "at the base of the statue of Pocahontas at St. George's Parish Church in Gravesend," on which it is written that "Felipa Flowers, may have died from exposure or loneliness at Gravesend" (117). Movement and Belonging Flowers' murder and the trauma it bears upon her family forms the impetus for another journey by Stone Columbus, who travels to the Pacific Northwest and "declared a sovereign nation on October 12, 1992" at Point Assinka (119). Established five hundred years to the day after the landing of Christopher Columbus at Hispaniola, Stone reinscribes the date with an ironic sense of native liberty. Significantly, Stone's new nation sits at the intersection of international boundaries "between Semiahmoo, Washington, and Vancouver Island, Canada," in a reclamation of lands and waterways remade into "the wild estate of tribal memories and the genes of survivance in the New World" (119). The establishment of this new sovereign native nation by the heirs of Columbus occurs through the claiming of lands in a similar manner as Columbus and other European explorers. But their act of claiming is not one predicated on power and force, but done simply "in the name of our genes and the wild tricksters of liberty," further underscoring the sense of unbounded transmotion that Vizenor champions in so many of his works. These acts of transition and movement, but also liberty, culminate in the transportation of "the stone tavern, one stone at a time," by which "the earth was warm and healed at the point" (121). The broader significance of these interlinked occurrences and actions demonstrate the capacity for native liberty to operate beyond the limiting parameters of colonial borders, while offering another reminder of the boundlessness of stone. In reverence of this principle and in honor of his deceased wife, Stone establishes the "Felipa Flowers Casino […] on the international border between Canada and Point Assinika," in which "there were no inspections at the tribal border; indeed, the heirs honored tribal identities but no political boundaries on the earth" (131). Through the creation of this new nation, Vizenor provides a means for the "liberation of the mind" from common notions of the world as divided into counties, reservations, states, and nations founded on little more than social and political constructs and that act to sever native peoples' most fundamental connections to the land and the relationships that would be a natural result (155). In the place of such strictures, through Stone's efforts to "make the world tribal" through the acceptance of those with a "dedication to heal Transmotion Vol 5, No 1 (2019) 29 rather than steal tribal cultures" (162), Vizenor offers his readers "native memories, stories of totemic creation, shamanic visions, burial markers, medicine pictures, the hunt, love, war and songs," which form "the transmotion of virtual cartography" (Fugitive 170). Within this same section of Fugitive Poses, he elaborates further on the theme of geographic meanings, stating that "tricky creation stories, totemic pictures, and mental mappery are the embodiment of native transmotion and sovereignty. Native mappers are storiers and visionaries" (170). The subtle associations and ironic turns that are apparent between Anishinaabe creation and trickster stories, and the transnational narratives that make up Vizenor's novels that act to "overturn civilization with humor" (Heirs 165), offer numerous sites of entry into a world and cosmos where a different kind of indigenous cartography has been drawn. A universe, a world, and "a place of the stones," of elements and substance that cannot be contained or circumscribed within the confining limits of colonial ideology and Western knowledge (170). And never will be as long as the stories of the people continue to be remembered and told. Notes 1 In accordance with Vizenor’s conventions on the use of capitalization in reference to the terms indian and native, but more importantly what this intervention signifies in terms of colonial representation and simulation, “native” and “indigenous” are rendered in lowercase throughout this essay. 2 The second installment, Native Tributes, covering the period of the great depression and the infamous Bonus March, was published last year by Wesleyan University Press (2018). The third, and final, installment, Satie on the Seine: Letters to the Heirs of the Fur Trade will be published by Wesleyan in 2020. 3 See "Towards a Heteroholistic Approach to Native American Literature," in Weber: The Contemporary West 29:2 (2013) and "Reading Through Peoplehood: Towards a Culturally Responsive Approach to Native American Literature and Oral Tradition,” in Twenty-First Century Perspectives on Indigenous Studies: Native North America in (Trans)motion, 2015. 4 Johnson’s usage, Kitchi-Manitou, is an alternate derived from an older and Canadian-located Anishinaabe orthography. 5 This phrase was coined by the Wendat Huron scholar, Georges E. Sioui, in For an Amerindian Autohistory, to challenge what he calls the "Americanization of the world" (xxii). As a form of decolonial praxis, the intent is "to show how modern American societies could benefit from demythologizing their socio-political discourse and becoming aware of their 'Americity.' That is, on this continent where they have just come ashore, they should see spirit, order, and thought, instead of a mass of lands and peoples to be removed, displaced, or rearranged" (xxiii). 6 See also my essay, “For He Needed No Horse: Stephen Graham Jones’s Reterritorialization of the American West in The Fast Red Road,” in The Fictions of Stephen Graham Jones: A Critical Companion, Ed. Billy J. Stratton, (Albuquerque: University of New Mexico Press, 2016), (85). Billy J. Stratton “Transnational Narratives” 30 7 Perhaps, as an indication of a shift towards a more accurate depiction of this chapter of American history in mainstream American media, the popular account was the subject of criticism on an episode of TruTV's Adam Ruins Everything titled "The First Factsgiving," which originally aired on 27 March, 2018. 8 The Heirs of Columbus was written during the same time as several other works that took a critical view on "discovery" by the likes of Kirkpatrick Sale and Noam Chomsky, coinciding with the 500th anniversary of his landing at Guanahaní. An event that Vizenor's narrator says was renamed by Columbus as "San Salvador in honor of our Blessed Lord" (36). 9 Erdrich subsequently revised this novel and republished it under the new title, Antelope Woman (2016). Works Cited Appiah, Kwame Anthony. Cosmopolitanism: Ethics in a World of Strangers. New York: Norton, 2005. Bammer, Angelika. "Introduction," Displacements: Cultural Identities in Question. Ed Angelika Bammer. Bloomington: Indiana University Press, 1994: xi-xx. Blaeser, Kimberly M. Gerald Vizenor: Writing in the Oral Tradition. Norman: University of Oklahoma Press, 1996. Bowers, Neal and Silet, Charles L.P. "An Interview with Gerald Vizenor," MELUS 8:1 (1981): 41-49. Byrd, Jodi A. The Transit of Empire: Indigenous Critiques of Colonialism. Minneapolis: University of Minnesota Press, 2011. Densmore, Frances. Chippewa Customs. 1929. St. Paul: Minnesota Historical Society Press, 1984. Erdrich, Louise. Tracks. 1988. New York: Harper Perennial, 2004. Henry, Gordon. The Light People. East Lansing, MI: Michigan State University Press, 1994. Johnston, Basil. The Manitous: The Supernatural World of the Ojibway. New York: HarperCollins Publishers, 1995. Justice, Daniel Heath. Why Indigenous Literature Matters. Waterloo, Ontario: Wilfrid Laurier University Press, 2018. Kirwan, Padraig. "Remapping Place and Narrative in Native American Literature: David Treuer's The Hiawatha," American Indian Culture and Research Journal 31:2 (2007): 1-24. Transmotion Vol 5, No 1 (2019) 31 Lyons, Scott Richard. "Migrations to Modernity: The Many Voices of George Copway's Running Sketches of Men and Places, in England, France, Germany, Belgium, and Scotland," The World, the Text, and the Indian: Global Dimensions of Native American Literature. Ed. Scott Richard Lyons. Albany: State University of New York Press, 2017: 143-182. McClintock, Anne. Imperial Leather: Race, Gender and Sexuality in the Colonial Context. New York: Routledge, 1995. Noodin, Margaret. Bawaajimo: A Dialect of Dreams in Anishinaabe Language and Literature. East Lansing, MI: Michigan State University Press, 2014. Owens, Louis. I Hear the Train: Reflections, Inventions, Refractions. Norman: University of Oklahoma Press, 2001. Sioui, Georges E. For an Amerindian Autohistory. 1991. Trans Sheila Fischman. Montreal: McGill-Queen's University Press, 1992. Steele, Ian K. Warpaths: Invasions of North America. New York: Oxford University Press, 1994. Stratton, Billy J. “For He Needed No Horse: Stephen Graham Jones’s Reterritorialization of the American West in The Fast Red Road.” The Fictions of Stephen Graham Jones: A Critical Companion. Ed. Billy J. Stratton. Albuquerque: University of New Mexico Press, 2016. 82-110. Vizenor, Gerald. Blue Ravens: Historical Novel. Middletown, CT: Wesleyan University Press, 2014. ---. Dead Voices. Norman: University of Oklahoma Press, 1992. ---. The Everlasting Sky: New Voices from the People Named the Chippewa. New York: Crowell-Collier Press, 1972. ---. Favor of Crows: New and Collected Haiku. Middletown, CT: Wesleyan University Press, 2014. ---. Fugitive Poses: Native American Indian Scenes of Absence and Presence. Lincoln: University of Nebraska Press, 1998. ---. The Heirs of Columbus. Hanover, NH: Wesleyan University Press, 1991. ---. Hiroshima Bugi: Atomu 57. Lincoln: University of Nebraska Press, 2010. ---. Hotline Healers: An Almost Browne Novel. Hanover, NH: Wesleyan University Press, 1997. ---. Native Liberty: Natural Reason and Cultural Survivance. Lincoln: University of Nebraska Billy J. Stratton “Transnational Narratives” 32 Press, 2009. ---. Native Tributes: Historical Novel. Middletown, CT: Wesleyan University Press, 2018. ---. Shrouds of White Earth. Albany: State University of New York Press, 2010. ---. "Socioacupuncture: Mythic Reversals and Striptease in Four Scenes," Crossbloods: Bone Courts, Bingo, and Other Reports. 1976. Minneapolis: University of Minnesota Press, 1990: 83-97. ---. Tribal Scenes and Ceremonies. Minneapolis. The Nodin Press, 1976. ---. "Trickster Discourse: Comic Holotropes and Language Games," Narrative Chance: Postmodern Discourse on Native American Indian Literatures. 1989. Ed. Gerald Vizenor. Norman: University of Oklahoma Press, 1993: 187-211. ---. The Trickster of Liberty: Tribal Heirs to a Wild Baronage. Minneapolis: University of Minnesota Press, 1988. Vizenor, Gerald, Lee, A. Robert. Postindian Conversations. Lincoln: University of Nebraska Press, 1999. Weaver, Jace. Other Words: American Indian Literature, Law, and Culture. Norman: University of Oklahoma Press, 2001. White, Hayden. Metahistory: The Historical Imagination in Nineteenth-Century Europe. 1973. Baltimore: Johns Hopkins University Press, 1993. 
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work_rzsskzsqxjcvdiu7ttoek7rl5y	----	DOCUMENT RESUME ED 089 316 CS 201 124 AUTHOR Royer, James N.; Cable, Glenn N. TITLE Facilitated Learning in Connected Discourse. PUB DATE Apr 74 NOTE 24p$1 Paper presented at the Annual Meeting of the American Education Research Association (Chicago, April 15-19, 1974) EDRS PRICE DESCRIPTORS MF-$0.75 HC-$1.50 PLUS POSTAGE *Associative Learning;' College Students; Connected Discourse; Higher Education; *Language Research; Learning Processes; *Reading Comprehension; *Recall (Psychological); Verbal Learning ABSTRACT The purpose of the experiment was to test the prediction that non-specific facilitated learning of a second prose passage will occur in the situation where an initial passage read by the subjects contained concrete referents designed to increase the comprehension of a difficult to understand second passage. Two-hundred and forty subjects distributed equally in twelve groups read either two successive experimental passages or a control passage followed by an experimental passage and then recalled all of the information they could from the second passage. The results offer substantial support forthe predictions and contain implications for enhancing the learning of educational materials. (Author) U S DEPARTMENTOP HEALTH, EDUCATION t WELFARE NATIONAL INSTITUTE OF EDUCATION 11-41S DOCUMENT HAS BEEN REPRO OUCED EXACTLY AS RECEIVED FROM THE PERSON OR ORGAN,ZAT.ON ORIGIN AToNG IT POINTS OF VIEW OR OP;NoONS STATED DO NOT NCCESSARoLY REPRE SENT OFFICIAL NATIONAL INSTITUTE OF EDUCATION PoSIT4ON OR POLICY Facilitated Learning in Connected Discoursel James M. Royer and Glenn W. Cable 2 University of Massachusetts, Amherst, Ma. 01002 Date submitted: /2 0-1 c,1 Proofs should be sent to: Dr. James M. Royer Department of Psychology University of Massachusetts Amherst, Massachusetts 01002 Facili ) ated Learning in Connected Discourse . The purpose of the experiment was to test the prediction that non-specific facilitated learning of a second prose passage will occur in the situation where an initial passage read by the subjects contained concrete referents designed to increase the comprehension of a difficult to understand second passage. Two- hundred4forty subjects distributed equally in twelve groups read either two successive experimental passages or a control passage followed by an experimental passageiland then recalled all of the information they could from the second passage. The results offered substantial support for the predictions and contain implications for enhancing the learning of educational materials. Facilitated Learning in Connected Discourse David Ausubel (1963, 1968) has frequently argued that many of the principles established in the long history of list learn- ing research are not applicable to learning from connected discourse. A case in point is Ausubel's (e.g., 1965) general contention that appropriate cognitive structures, once learned, should facilitate subsequent learning and retention, and further, that this facilitation should be independent of the sources of specific transfer identified for list learning. Previous attempts at demonstrating non-specific facilitated learning with connected discourse have been equivocal (e.g., Ausubel, Robbing, & Blake, 1957; Ausubel, Stager & Gaite, 1968; Wong, 1971). The reader is refered to Anderson & Myrow (1971) and Cunningham (1972) for reviews of this literature. The purpose of the present investigation was to identify at least one condi- tion under which such facilitation will occur. To our knowledge there are no studies which conclusively demonstrate non-specific facilitated learning of a second passage as a function of exposing subjects to material contained in an initial passage. However, there are several studies which demonstrate non-specific facilitated learning of a passage as a function of making reference to information the subject already knows. For example, Dooling and Lachman (1971) presented sub- jects with highly metaphorical passages concerned with Christopher Columbus' discovery of America and man's first. flight to the moon. Subjects who were informed of the theme of the passages prior to reading them recalled significantly more words from the passages than did subjects not informed of the theme. 2 Similar transfer effects were found in several experiments reported by Bransford & Johnson (1972). One additional experi- ment (Bransford & Johnson, 1971) is noteworthy because of a failure to find enhanced recall as a function of presenting subjects with the theme of a passage. Bransford & Johnson (1971) had their subjects listen to a passage which described the activities of a man as he shaved, had breakfast, and left his home in the morning. Subjects informed prior to hearing the passage that the man was unemployed did not perform differently than did subjects not given this information. An examination of the passages from these studies (i.e., Dooling & Lachman, 1971; Bransford & Johnson, 1971; Bransford & Johnson; 1972) suggests that the unemployed man passage, unlike the other passages, contained considerable thematic content. In con- trast, the remaining passages (where the theme effect was present) contained sentences which were ambiguous without knowledge of the specific theme. The implication of this for the present study is that facilitated learning of a second passage as a function of reading an initial passage is likely to occur only when the second passage material is not easily related to existing knowledge structure. Given the above suggestion, a further question arises: What is the nature of an initial passage which will lead to facilitated performance on a second passage? A recent experi- ment by Pezdek & Royer (1972) suggests a possible answer to this question. The Pezdek & Royer study was concerned with an outcome initially reported by Begg & Pavio (1969). Begg & Pavio aurally presented subjects with abstract and concrete 3 sentences and then asked their subjects to respond same or different to the original sentences, sentences changed in meaning, or sentences changed in wording. The outcome of the study was that subjects recognized wording changes in abstract sentences better than meaning changes, and they recognized meaning changes in concrete sentences better than wording changes. Johnson, Bransford, Nyberg, & Cleary (1972) argued that this outcome was the result of inadequate compre- hension of the abstract sentences. Proceeding on the same assumption, Pezdek & Royer (1972) attempted to demonstrate that detection of meaning changes in abstract sentences could be enhanced by embedding the sentences in paragraphs designed to increase the comprehensibility of the sentences. An example of one of the abstract sentences and the context paragraph is listed below (the target sentence is in capital letters): The foreign-exchange student from India spoke to an attentive high school assembly Wednesday. Much of her talk revealed the fact that Buddhism was a major guiding force in her life. THF FOREIGN FAITH AROUSED AN ENDURING INTEREST. The paragraphs used in the Pezdek & Royer (1972) study were specifically designed to provide concrete referents for the material contained in the abstract sentences. As predicted, meaning changes in the abstract sentences were more easily detected when they were embedded in the paragraphs. Combining the results cited above, the following predictions for the present experiment were made. Facilitated learning of a second prose passage as a function of reading an initial 4 passage is most likely to occur in the instance where, 1) the material contained in the second passage is difficult to com- prehend, and 2) the material in the initial passage contains concrete referents which will facilitate the comprehension of the second passage information. Prior to testing the above hypotheses, a preliminary step was necessary. It is clear that any study purporting to demon- strate non-specific facilitation in prose learning must demon- strate that the facilitation is not a function of specific transfer sources (cf. Anderson & Myrow, 1971; Myrow & Anderson, 1972). Unlike previous experiments (Anderson & Myrow, 1971; Crouse, 1971; Myrow & Anderson, 1972) which examined specific transfer effects by constructing the passages so as to reflect specific similarity and difference relationships, the present study empirically identified portions of second passage learning which were subject to specific transfer effects. Experiment I The purpose of Experiment 1 was to identify material in a second passage that was subject to specific transfer effects as a function of reading an initial passage. Eight experimental groups read an initial passage and then filled in the blanks in a mutilated version of a second passage (Cloze procedure, Taylor, 1953). Four additional control groups completed the Cloze task without reading an initial passage. The logic behind the com- parisons made was that specific effects should be detectible by comparing Cloze task performance of the experimental groups.with that of the control groups. Thus, any significant deviations 5 from control group performance (positive or negative) were taken as evidence that specific transfer effects were present. Method. Materials. The materials for the experiment consisted of two versions of each of two passages. The first passage was concerned with the flow of heat (H) through metals, and the second with the conduction of electricity (E) through metals. The subject matter of the passages was chosen for two reasons. First, the material should be relatively unfamiliar to the subject population with which the experiment was conducted, and second both the flow of heat and the flow of electricity through metals are affected by the same properties (i.e., pressure, impurities, temperature, and magnetism). The effects of these properties in turn, are understandable given some knowledge of the atomic and molecular structure of metals. These similarities allowed construction of the passages in the following way: Both passages began with a short intro- ductory segment concerned with the specific phenomenon (i.e., heat flow or electrical conductivity). This segment was followed by a description of the internal molecular and atomic structure of metals (e.g., crystalline lattice arrays, free- floating electrons, etc.). This description was reasonably similar in the two passages. The description of internal structure was followed by a discussion of factors which affected the flow of heat, or the flow of electricity, through the metal. In the H passage this consisted of a description of how pressure on the metal, and the presence of impurities in the metal, 6 affected the heat conducting properties of the material. In the E passage the text described how temperature and the presence of a magnetic field affected the flow of electricity through the metal. Thus, each passage consibted of a unique discussion of the phenomenon, a similar description of the internal structure of metals, and a unique description of the properties which affect the flow of heat or electrical conduc- tivity. Both the H and the E passages were written in "concrete" (C) and "abstract" (A) versions. In the C versions of the passages physical analogies for the internal structure of metal and the effects of the previously mentioned factors (e.g., magnetism) were constructed and included in the text; thereby providing concrete referents for much of the material contained in the passage. For example, in the HC passage the effect of an impurity in the metal was presented as being analogous to the effect of placing a sizable object such as a pack of cigarettes in a row of toppling dominos-the result being an impedanceto the orderly transfer of energy. In contrast, the A versions of the passages were written so as to be as devoid of concrete referents as was possible. The word length of the various passages was as follows: HC-912, HA -780, EC-684, EA -672.. The complete texts for each of the four passages described above were also prepared in two mutilated versions, each of which involved the removal of every fourth noun or adjective. 7 Version 1 began the removal process at the second noun or adjective in the passage, and version 2 began the removal at the fourth noun or adjective. Using two versions of the mutilated passages allowed performance assessments on the majority of the material contained in the passages while restricting the tedium of the blank-filling task to reasonable levels. Design and subjects. There were 12 groups in the experi- ment, with twenty college undergraduates randomly assigned to each of the groups. Eight of the groups initially read the non-mutilated versions of the passages described in the previous section (i.e., HA, HC, EA, EC). Upon completion of this reading task, the subjects were presented with a mutilated version of a second passage differing in content. So, for example, forty subjects initially read the complete version of the HA passage. These subjects were then divided into two groups of twenty, one of which received the mutilated version of the EC passage, the second receiving the mutilated version of the EA passage. In addition to the eight groups formed by the procedure described above, there were four groups (controls) which received the mutilated versions of the four passages without being exposed to an initial passage. The mutilated versions of the passages were balanced such that half of the subjects in each group received version 1, the remaining half version 2. Procedure. The subjects were run in groups ranging in size from five to fifty. Upon appearnace for the experiment the subjects were given an envelope containing the experimental 8 materials. These envelopes had been randomly arranged prior to the experiment such that several conditions were represented at each of the experimental sessions. The subjects in the experimental conditions were instructed to remove the complete version of the passage contained in their envelopes and to read the passage slowly and carefully twice. When all of the subjects had finished reading the passage they were instructed to remove the mutilated version of the second passage from their envelopes. These versions had been prepared in booklet form such that approximately three sentences appeared on each page of the booklet. The subjects were instructed to go through the booklet filling in all of the blanks they could with the appro- priate wor. They were encouraged to guess at those blanks they were not sure of, and instructed not to turn back to a booklet page once that page had been passed. The subjects in the control conditions were given special instructions concerned only with the blank filling task. Scoring and analysis. The data of interest in the experiment was the proportion of blanks correctly filled in for each of the groups. These proportions were computed for each of the blanks contained in the passages and were based on performance by every subject in a particular group. A blank was considered correct if it was filled in with the exact word from the original passage, or a synonym for that word. When the proportions correct on each blank were computed, w S the performance by the experimental groups (ie) compared against performance by the control group receiving the same 9 mutilated passage. The comparisons consisted of Z tests for the difference between two proportions (Walker & Lev, 1953, P. 77.) performed on each blank contained in a passage. The null hypothesis was rejected at the .05 level. Results. From the total of 1122 comparisons between experi- mental and control group performance on the cloze task, 29 were found to differ significantly. Eleven of these were advantages favoring the control group (indicating negative transfer), the remaining 18 were advantages favoring the experimental groups (indicating positive transfer). The possibility of some Type I errors (as opposed to Type II) in these comparisons is justified by the experimental need to identify specific transfer material. Type I errors would not adversely affect the test of predictions in Experiment II. We have previously indicated that the passages were con- structed so as to contain three parts: a unique description of either heat flow or electrical conductivity (approximately 13% of the material contained in the passages), a section similar in both the heat and electricity passages describing the internal structure of metals (approximately 47% of the material), and a section unique to a particular content passage describinA factors which affect heat flow or electrical conductivity (approximately 40% of the material). If there were any validity to the use of the cloze tasks as a detector of specific transfer, then the majority of the significant differences should come from the similar-content section of the passages. In fact, the middle sections of the passages containing the similar content con- 10 tributed 86% (25) of the significant comparisons. The unique sections each contributed two significant comparisons. Twenty-one of the 29 significant comparisons were contri- buted by subjects receiving the mutilated abstract passages. Twelve of these came from subjects in the abstract-abstract conditions and nine from the concrete-abstract conditions. The eight remaining significant comparisons were distributed such that two came from the concrete-concrete conditions and six from the abstract!-concrete conditions. Experiment 11 The purpose of Experiment 11 was to test the predictions that facilitated learning of a second passage would occur only in the situation where subjects received a concrete (0) initial passage and an abstract (A) second passage, No faeilibation was expected in any of the conditions involving the C passage as the second passage because the C passages were presumably comprehen- sible in and of themselves. The A-A condition was predicted to be non-facilitating because the initial passage did not contain concrete referents which would aid in the comprehension of the second passage. Method. Materials. The experimental passages were-the same as those described in Experiment 1. Only the complete versions of the passages were Used. In addition to the experimental passages" an Unrelated 'passage of similar' length (concerned with the dtffe?drives =between -_m hs aft4=legehds) was-qadd as a warm,up passage-foxithe cohtrpi-groups, 11 DelgalAlLEAtmt. The design for the experiment is presented in Table 1. Insert Table 1 about here Twenty college undergraduates were randomly assigned to each of the twelve groups. Procedure. Prior to the experiment the materials were placed in envelopes which were then randomly arranged. T experiment was run in groups ranging in size from five to fift and, upon aPPearance, each subject was given one of the envelopes. The subjects were asked to remove the first passage from the envelopes and to read the passage slowly and carefully twice. When all of the subjects had finished reading they were asked to replace the first passage and to remove the second passage. They were then told they would have;two minutes to .read each of the three pages in the passages. When each of the two minute periods had elapsed, the subjects were asked to turn the:page, and were reminded not to turn back to the previous page When the reading period had elapsed, the subjects were 'instructed to replace the passage in the envelope and toiwrite down everything they could remember from the second passage they had studied. They were given as much time as they desired for this recall task.- Scoring fld anal els. The dependeht variable of inberest AlnHpheexperiti100-w4d'thb%prOpOrtiontirrectillSOideti Unithot, =Each of the patstigetIAIS iiibjec-tiVely`paree4-inio idea, tiatif by 12 the authors. The number of idea units contained'in each of the passages was as follows: concrete heat flow-78, abstract heat flow-67, concrete electricity-55, abstract electricity-52. Each of the recall protocols was scored for the presence of the idea units by an undergraduate assistant who was naive to the purposes of the experiment. Thirty-six of.these protocols (three from each group) were randomly selected and scored blindly by the second author. The inter-scorer reliability coefficient for this sample was .98. Three different dependent variables were analyzed in the experiment. The first was the proportion of correctly recalled idea units. A second analysis was performed on the proportion of correctly recalled idea units after having removed (for analysis purposes) those idea units nn which there was evidence of specific transfer. This was-done in the following way. Any idea unit which contained a blank on which the experimental groups (in Experiment 1) performed significantly better or worse than did the control group was removed from the scores of subjects receiving that passage as a second passage. or example, say that subjects in Experiment 1 who received the concrete heat passage first, followed by the mutilated version of the concrete electrical conductivity passage, performed significantly better (or worse) on a particular blank than did control subjects receiving the same passage. The idea unit'which captained-that blank'would then be ignored for analysis purpos6a for all subjects receiving-the concrete electrical emichietivity passage ae-a second passage. 13 The third dependent variable was the proportion of correctly recalled idea units (with removal of specific transfer material) from the unique factor portion of the passages. That is, the latter portion of the passages con- sidered factors which affeeted the flow of electricity or heat (e.g., impurities, magnetism.) These factors were unique to a specific content passage, and therefore probably less subject to specific transfer than some of the other material in the passages. Results. Twelve separate analyses of variance were performed on the data. Since the four passages (i.e., HA, HC, EA and EC) dif- fered somewhat in length, the analyses were performed with groups receiving the same second passage. Each analysis was performed with the three dependent variables mentioned in the previous section, resulting in the total of twelve analyses. The mean proportion of correctly recalled idea units for all groups on the three dependent variables are presented in Table 2; Indert Table 2 about here The analysis of subject performance on the concrete second passages revealed that there were no-significant transfer effects With any of the -three dependent variables (i.e., whole passage seared, corrected scOresi and unique factor scOres) The-tompatisons' in further ahalpies ^wetebetwssn- groups receihing-tho abatract'h6at:flow passagS as a second_ passage 14 and the groups receiving the abstract electrical conductivity passage as a second passage. An analysis of the proportion of correctly recalled idea units from the total passage indi- cated that there was significant transfer in the analyses of the heat flow passage, (2,57)=16.4,p<,01,and the electrical conductivity passage, F(2,57)=15.1) P<.01. These analyses were repeated using the specific transfer- corrected scores and the unique factors scores as dependent variables. The corrected scores analysis indicated that there was a significant transfer effect in both the heat flow (F=15.,8) and the electrical conductivity analyses (F=12.1). Similar statistical conclusions were reached n the unique factors analysis (Ps were 15,0 and 15,4 for he H and E passages, respectively). Discussion, The results of Experiment 2 supported the original hypotheses. The subjects in the concrete-abstract conditions recalled significantly more material from both the heat and electricity second passages than did the subjects in the abstract-abstract and control-abstract conditions receiving the same passages. The robustness of these facilitory effects are particularly noteworthy. The minimum gain in recall noted for subjects in the concrete-abstract conditions was 40 percent above that noted for the-next highest group receiving the same second passage (see Table In addition, the groups that received the On- crete second paSsages did-not differ ignificantlyf n their recall 'of eithet the heat or electricity passage-materials. 15 The sources of the facilitory transfer effects noted in the experiment are not discernible at this time. An answer to this question would require that we have knowledge of the form and structure of memory representation. It could be the case, for example, that the concrete analogies we presented to our subjects resulted in the formation of imaginal representations that the subjects could manipulate as an aid in comprehending subsequently presented abstract material. If this were true, then it should be possible to demonstrate even more pronounced facilitory effects by embellishing the provided text with actual pictures. It should be noted, however, that imaginal memory representation is not the only possibility. Pylyshyn (1973) has noted that there are at least three other representa- tional theories in existence. The identification of the specific sources of facilitory transfer other than those identified in the list learning literature are undoubtedly going to await the development of a viable theory of memory representation. One aspect of the data that deserves mention is the gener- ally high level of recall for subjects in the concrete-abstract conditions. An examination of the data in Table 2 reveals that subjects in these conditions generally recalled a higher propor- tiontion of the abstract passages than did the subjects recalling concrete second passages. This outcome ii counterintuitive given the assumption (supported by the-perfo ,'Oe of the control groups) that the concrete passages should be eaiier to learn thari the abdtrabt-pSAsages. oiir interpretation Of this effect is that it is due to the degree of effort that the subjects put into processing the material. The argument is that' given the 16 appropriate cognitive structure (established by studying the concrete initial passages), subjects had to expend more effort in processing the abstract passages than they did in if cessing the concrete passages. This effort, in turn, increased the proportional amount of material learned from the two types of passages. Battig (1972) has described similar kinds of effects in list learning research and Bobrow & Bower (1969) and Anderson, Goldberg, and Hidde (1971) have demonstrated the facilitory affects of processing effort in sentence learning. Despite the difficulty in ascribing the transfer effects noted in this experiment to specific sources, we feel that the study has important pedagogical implications. A logical next step in a program of research would be to determine if the effects noted in this study hold with genuine instructional materials 'which students have demonstrable difficulty in learning. Pre- liMinary learning materials could then be prepared in accordance with the concrete referent notions contained in our passages to determine if learning of the difficult materials could be enhanced. In addition to the confirmation of the original predictions, we feel that the present study contains an important.mOthod- ological innovation. The innovation being the use of a aloze task in Experiment 1 to assess the degree and source of specific transfer in two successively learned prose passages. The impor- tance Of this.procedure is that investigators can use this tech- pique to assess the degree-6f specific trahsfer-in extant Pagsageb,_ ro:th:6tv than constructing rather- artificial passages that ref1e4 6pedifio siiilerity and difference relationshipo._ 17 References Anderson, R.C., & Myrow, D. L. Retroactive inhibition of meaningful .discourse. JournalofEducalPscholo, 1971, 62, 81-94. Anderson, R. C., Goldberg) S. R., & Hidde, J. L. Meaningful processing of sentences. Journal of Educational psychology, 1971, 62, 395-399. Ausubel) D. P. The psychology of meaningful learning. New York: Grume & Stratton, 1963, Ausubel, D. P. Cognitive structure and the facilitation of meaningful verbal learning. In R. C. Anderson & D. P, Ausubel (Eds,) Readings in the psychology of Cognition. New York: Holt, Rinehart, & Winston, 1965. Ausubel, D. P. Educational Psychology: A cognitive view. New York: Holt, Rinehart, & Winston, 1968. Ausubel, D. P., Robbins, L. C6 & Blake, E. Retroactive inhibition and facilitation in the learning of school materials. Journal of Educational Psychology, 1957, 48, 334-343, Ausubel, D. P., Stager, M., & Gaite, A. J. H. Retroactive facilitation in meaningful verbal learning, Journal of Educational_ Psychology, 1968, z 250-255. Battig, W. F. Interference during learning as a source of facilitation in subsequent retention and tranafer. Paper presented at the annual meeting of the American Educational gosearah Association Chicago, 1972. 18 Begg, I., & Pavio, A. Concreteness and imagery in sentence meaning. Journal of Verbal Learnin and Verbal Behavior, 1969, 8, 821-827. Bobrow, S. A., & Bower, G. H. Comprehension and recall of sentences. Journal of. Experimental Psychology, 1969, 80, 455-461. Bransford, J. D., & Johnson, M. K. Semantic prerequisites for comprehending prose. Paper presented at the annual meeting of the Eastern Verbal Investigators League, Northampton, Massachusetts, 1971. Bransford, J. D., & Johnson, M. K. Contextual prerequisites for understandings Some investigations of comprehension and recall. Journal of Verbal Learning and Verbal Behavior, 1972, 11, 717-726. Crouse, J. H. Retroactive interference in reading piose materials. Journal of Educational Psychology, 1971, 62, 39-44. Cunningham, D. J. The retention of connected dt:,aourse: a review. Review of Educational Research, 1972, 42, 47-71. Dooling, D. J., & Lachman, R. Effects of comprehension on retention of prose. Journal of Experimental Psycholo 1971, 88, 216-222. Johnson, M. Kip Bransford, J. D., Nyberg) S. E.) & Cleary, J, J. Comprehension factors in interpreting memory for abstract and concrete sentences. Journal of Verbal Verbal Behavior, 19724 11,451-454. 19 Myrow, D. L., & Anderson) R. C., Retroactive inhibition of prose as a function of the type of test. Journal of Educational Psychology, 1972, 303-308. Pezdek, K., & Royer, J. M. The role of comprehension in learning concrete and abstract sentences. Cognitive Processes.Laboratory Report 72 -3, Department of Psychology, University of Massachusetts, 1972. Pylyshyn, Z. W. What the mind's eye tells the mind's brain: A critique of mental imagery. Psychological Bulletin, 1973, 80, 1-24. Taylor, W. L. "Cloze procedure: A new tool for measuring readibility. Journalism quarterly) 1953, 301, 415-433. Walker, H. & Lev) J. Statistical inference. New York: Holt) 1953. Wongs M, R. Integrative reconciliation in meaningful verbal learning. Cognitive_ Psychology, 1971, 2, 325 -329. 20 Footnotes 214/e would like to thank Thomas Andre, Jane Perlmutter) and Larry Frase for reactions to an earlier version of this paper. 2During the completion of this research the secondauthor was supported by NSF Development grant GU4041 21 Group Table 1 Design for Experiment 2 Recall First Passage Second Passage No. Type of Passage Type of Passage 1 Heat Flow Electricity 2nd passage A 2 Electricity Heat Plow 2nd passage 3 Heat Flow Electricity 2nd passage A A 4 Electricity Heat Flow 2nd passage 5 Heat Flow Electricity 2nd passage C 6 Electricity Heat Flow 2nd passage 7 Heat Flow Electricity 2nd passage C 8 Electricity Heat Flow 2nd passage 9 Myths and Legends Eleotricity 2nd passage 10 Myths and Legends Heat Flow 2nd passage 11 Myths and Legends ElectricitY 2nd passage 12 Myths and Legends Heat Flow 2nd passage 22 Table 2 Mean proportion of recalled idea units for the three dependent variables. Type of Treatment Dependent Variable second passage whole passage corrected unique scores factors segment Heat Flow .0 A - C M C .23 .22 .24 .23 .27 .26 A - A .19 .20 C A .33 .32 .22 .21 Electrical Conductivity .32 .35 .32 .16 .35 .17 C - C .21 .21 .20 A - C .25 .24 .27 M C .29 .29 .24 A - A .20 .18 .13 C - A .36 35 .43 M - A .22 .25 .19 aThe letters correspond to: 0=Concrete, A=Abstract, M=Myths and legends 
work_s2mh6cp64ngifkptvj3ue53nbu	----	Genetic diversity and structure of Iberian Peninsula cowpeas compared to world-wide cowpea accessions using high density SNP markers RESEARCH Open Access Genetic diversity and structure of Iberian Peninsula cowpeas compared to world- wide cowpea accessions using high density SNP markers Márcia Carvalho1, María Muñoz-Amatriaín2, Isaura Castro1,3* , Teresa Lino-Neto4, Manuela Matos3,5, Marcos Egea-Cortines6, Eduardo Rosa1, Timothy Close2 and Valdemar Carnide1,3 Abstract Background: Cowpea (Vigna unguiculata L. Walp) is an important legume crop due to its high protein content, adaptation to heat and drought and capacity to fix nitrogen. Europe has a deficit of cowpea production. Knowledge of genetic diversity among cowpea landraces is important for the preservation of local varieties and is the basis to obtain improved varieties. The aims of this study were to explore diversity and the genetic structure of a set of Iberian Peninsula cowpea accessions in comparison to a worldwide collection and to infer possible dispersion routes of cultivated cowpea. Results: The Illumina Cowpea iSelect Consortium Array containing 51,128 SNPs was used to genotype 96 cowpea accessions including 43 landraces and cultivars from the Iberian Peninsula, and 53 landraces collected worldwide. Four subpopulations were identified. Most Iberian Peninsula accessions clustered together with those from other southern European and northern African countries. Only one accession belonged to another subpopulation, while two accessions were ‘admixed’. A lower genetic diversity level was found in the Iberian Peninsula accessions compared to worldwide cowpeas. Conclusions: The genetic analyses performed in this study brought some insights into worldwide genetic diversity and structure and possible dispersion routes of cultivated cowpea. Also, it provided an in-depth analysis of genetic diversity in Iberian Peninsula cowpeas that will help guide crossing strategies in breeding programs. Keywords: Vigna unguiculata, Single nucleotide polymorphism, Genetic diversity and variation, Population structure Background Cowpea (Vigna unguiculata L. Walp., 2n = 2× = 22) is a member of the Fabaceae family and one of the most important grain legumes growing in tropical and sub- tropical regions [1]. Grain-type cowpea, also known as common cowpea or African cowpea belongs to subspe- cies unguiculata while vegetable cowpea, commonly known as asparagus bean or ‘yardlong’ bean, belongs to subspecies sesquipedalis [2]. These two subspecies are differentiated mainly by their plant architecture, pod size and thickness, and end use [3, 4], but they both possess a high protein content [3, 5]. Other important character- istics of cowpea are the capacity to fix atmospheric nitrogen through symbiosis with root nodule bacteria [6], the ability to grow in low fertility soils [7], and the high tolerance to high temperatures and drought [8]. These attributes make cowpea a key crop in the context of global climate change and food security. In Southern Europe, namely the Iberian Peninsula, rainfall is pro- jected to decrease while temperature is projected to increase [9]. * Correspondence: icastro@utad.pt 1Centre for Research and Technology of Agro-Environmental and Biological Sciences (CITAB), University of Trás-os-Montes and Alto Douro (UTAD), 5000-801 Vila Real, Portugal 3Department of Genetics and Biotechnology, University of Trás-os-Montes and Alto Douro (UTAD), 5000-801 Vila Real, Portugal Full list of author information is available at the end of the article © The Author(s). 2017 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Carvalho et al. BMC Genomics (2017) 18:891 DOI 10.1186/s12864-017-4295-0 http://crossmark.crossref.org/dialog/?doi=10.1186/s12864-017-4295-0&domain=pdf http://orcid.org/0000-0003-3082-4214 mailto:icastro@utad.pt http://creativecommons.org/licenses/by/4.0/ http://creativecommons.org/publicdomain/zero/1.0/ Cowpea is native to Africa [10, 11] although the center of domestication is still uncertain. In the Neolithic period, cowpea was first introduced into India, which is now considered a secondary center of genetic diversity [12]. Some reports suggest that cowpea has been culti- vated in Europe at least since the eighteenth century BC and possibly since prehistoric times [13, 14], while others suggest that it was introduced in Europe around 300 BC, where it still remains as a minor crop in the southern part of the continent. These two scenarios are not mutually exclusive. From Europe, more specifically from Spain, it has been speculated that cowpea was exported in the seventeenth century to the New World [15–17]. Assessment of the genetic diversity within a crop’s germplasm is fundamental for crop improvement and selection [1]. Moreover, the utilization of landraces is valuable as they can contain favorable alleles for many agronomic traits [18]. Until now, Iberian Peninsula cow- peas, including landraces, have not been genetically characterized, which is a prerequisite for their full exploitation in breeding. Recently, an iSelect BeadArray which assays 51,128 SNPs has been developed for cow- pea and used to generate a consensus genetic map con- taining 37,372 SNPs and to assess genetic diversity within West African breeding materials [19], and to bet- ter understand the genetic basis underlying pod length variation [2]. Europe has a deficit of grain legumes, including cow- pea. Imports into Europe were about 1.7 million tonnes worth 1.3 billion € in 2015 [20]. The recently developed Cowpea iSelect Consortium Array [19] provides an opportunity to use this tool to understand diversity in Iberian Peninsula cowpea germplasm and to apply this knowledge to breeding varieties producing higher and stable yields in the hotter, drier summers of Southern Europe. The main objectives of this study were to: (1) understand genetic diversity and structure in a set of Iberian Peninsula cultivated cowpea accessions in com- parison to a worldwide collection of cowpea accessions; and (2) infer possible dispersion routes of cultivated cowpea, focusing on the contribution of the Iberian Peninsula cowpea germplasm. Methods Plant material A total of 96 cowpea accessions from twenty-four coun- tries were used in this study. They included 33 accessions from Portugal, 10 accessions from Spain (for a total of 43 accessions representing the diversity of Iberian Peninsula germplasm), and 53 accessions from genebanks at the National Institute for Agrarian and Veterinarian Research (INIAV, Portugal), the National Plant Genetic Resources Centre-National Institute for Agricultural and Food Technology Research (CRF-INIA, Spain), the Leibniz Institute of Plant Genetics and Crop Plant Research (IPK, Gatersleben, Germany), the Botanic Garden Meise (Belgium), the University of Perugia (Italy), and the Brazilian Agricultural Research Corporation (EMBRAPA, Brazil). These 53 accessions were chosen to represent worldwide cowpea diversity (Additional file 1). From these 96 acces- sion, 86 belonged to ssp. unguiculata, while 10 were part of the ssp. sesquipedalis. Leaves from three individual plants of each accession were collected. Total genomic DNA from each plant was extracted from 50 mg of well-developed trifoliate leaves (two-weeks-old) with the NucleoSpin® Plant II kit (Macherey-Nagel, Düren, Germany) using the Lysis Buffer 1 (based on the CTAB method) and the standard protocol according to the manufacturer’s instructions. DNA concentrations were measured using a NanoDrop 1000 (Invitrogen, California, USA). In order to verify DNA integrity, 2 μL of DNA were subjected to gel elec- trophoresis on 1.0% (w/v) agarose gel, stained with eth- idium bromide. Equal amounts of the three DNA samples of each accession were bulked for genotyping to get a better estimation of diversity within each acces- sion/bulk. SNP genotyping and data curation The 96 accessions were genotyped with the Illumina Cowpea iSelect Consortium Array containing 51,128 SNPs [19] at the University of Southern California Molecular Genomics Core Facility (Los Angeles, CA, USA). SNPs in- cluded in this iSelect array were discovered in a panel of 37 phenotypically and genetically diverse accessions of culti- vated cowpea from 12 countries in Africa, China and the USA, and included four accessions of ssp. sesquipedalis (Muñoz-Amatriaín et al. [19]). SNP calling was performed in GenomeStudio v.2011.1 software (Illumina Inc., San Diego, CA, USA) using the same cluster file as in Muñoz- Amatriaín et al. [19]. Quality control filters were applied to both SNPs and samples: first, SNPs with missing data and/ or heterozygous calls in >20% accessions were eliminated; second, accessions with >20% missing SNP calls (which may be indicative of poor DNA quality) and/or >20% het- erozygous calls were removed from further analysis. The 20% heterozygosity threshold was chosen based on out- crossing rates from 1 to 15% reported for cultivated cowpea [3, 21, 22]. In addition, SNPs were used to identify poten- tially identical individuals in the collection by performing pair-wise comparisons. Population structure and genetic diversity analyses Population structure was estimated using the Bayesian model-based approach implemented in the software STRUCTURE v2.3.4 [23] and by Principal Component Analysis (PCA) in TASSEL v.5 [24] using SNPs with a Carvalho et al. BMC Genomics (2017) 18:891 Page 2 of 9 minor allele frequency (MAF) >0.05. To identify the most likely number of subpopulations, STRUCTURE was run for each hypothetical number of subpopulations (K) between 1 and 8 using a burn-in period of 5000 iter- ations and a run length of 5000 Monte Carlo Markov Chain (MCMC) iterations. LnP(D) and ΔK values [25] were plotted with Structure Harvester [26]. After esti- mating the best K, a new run using a burn-in period of 100,000 and 100,000 MCMC was performed to assign accessions to subpopulations. Those accessions with a membership probability lower than 0.70 of belonging to one subpopulation were assigned to an ‘admixed’ group. Principal Component Analysis (PCA) was conducted in TASSEL v.5 [24] on the same dataset and plotted using TIBCO Spotfire® 6.5.0. A neighbor-joining (NJ) tree was generated based on Manhattan distances using the R package “Phyclust” [27]. Expected heterozygosity (He) and polymorphism infor- mation content (PIC) [28] were calculated for all V. unguiculata ssp. unguiculata accessions and then separ- ately for Iberian Peninsula accessions and for the world- wide set of accessions as in Muñoz-Amatriaín et al. [19]. SNP data were used to generate a similarity matrix between V. unguiculata ssp. unguiculata accessions from Iberian Peninsula based on simple matching coefficient (number of common SNP alleles divided by the total number of SNPs). Results SNP genotyping and data curation A high-density genotyping array containing 51,128 SNPs [19] was used to genetically characterize 43 landraces and cultivars from the Iberian Peninsula and 53 land- races collected worldwide for a total of 96 cowpea acces- sions. After SNP calling using GenomeStudio software (Illumina Inc., San Diego, CA, USA), quality control (QC) filtering was applied to both SNPs and acces- sions with the goal of removing SNPs with low per- formance accuracy, and accessions that failed in the SNP assay and/or were highly heterozygous (see Methods). Five accessions were eliminated, one of them (Ac61) because of its high percentage of missing calls (40%) indicating poor DNA quality, and the remaining four (Ac45, Ac46, Ac65 and Ac79) because they had high levels of “heterozygosity” (because DNAs were mixed from three plants, the apparent heterozygosity may have an alternative explanation of high heterogeneity between individuals), ranging from 22% to 33% heterozygous calls. These percentages exceeded the expected genetic variability within a cowpea landrace, where outcrossing rates from <1% to a maximum of 15% have been reported [3, 21, 22]. The remaining 91 accessions had percentages of heterozygosity from 0 to 16%, with an average of 2.7% heterozygosity. A total of 44,056 good-quality polymorphic SNPs and 91 samples were used for further analysis. Pairwise SNP com- parisons among accessions showed that Ac39 and Ac43 were potentially duplicates (100% similar SNP calls). These two accessions are members of ssp. sesquipedalis that were obtained from the National Plant Genetic Resources Centre- National Institute for Agricultural and Food Technology Research (CRF-INIA, Spain) genebank. This identity was also apparent at the phenotypic level (e.g. samples had the same growth habit, leaf type, flower color, seed color and shape, and hilum color). Genetic diversity and structure in the whole population Genetic structure in the entire population of 91 acces- sions was evaluated using STRUCTURE v.2.3.5 [25], principal component analysis (PCA) in TASSEL V.5.0 [24] and a Neighbor-Joining (NJ) tree generated with “Phyclust” [27]. Using STRUCTURE, the estimated log probability of the data for each given population (K), from 1 to 8, reached a maximum at K = 4 (Additional files 2 and 3). In addition, Evanno’s ΔK also showed the highest value at K = 4 (Additional files 2 and 3). These results indi- cated that the most likely number of subpopulations in this dataset is four. A new run was performed at K = 4 to assign accessions to subpopulations. Accessions with membership probability lower than 0.70 of belonging to one subpopulation were assigned to an ‘admixed’ group (Additional file 4). Subpopulation 1 included nine acces- sions, all of them members of ssp. sesquipedalis. All other subpopulations (2, 3, and 4) consisted of ssp. unguiculata accessions (Fig. 1; Additional file 4). Sub- population 2 (41 accessions) included accessions from southern Europe, North Africa and Cuba; subpopulation 3 (13 accessions) included accessions from countries in South and Southeast Africa, South America and Asia; and subpopulation 4 (4 accessions) was composed of only West African accessions (Fig. 1; Additional file 4). The remaining 24 accessions were ‘admixed’. This four major subpopulations were also distin- guished by PCA (Fig. 2, upper plots): PC1 clearly sepa- rated subpopulations 2 and 3, while PC2 separated ssp. sesquipedalis accessions belonging to subpopulation 1 from the ssp. unguiculata ones. Subpopulation 4 was separated from the rest in PC3 (Fig. 2, upper plots). The NJ tree showed accessions clustered by subpopulation membership, supporting results from both STRUCTURE and PCA (Fig. 3). PIC and He were calculated for the entire population and separately for each subpopulation (Table 1). Consid- ering the whole dataset, the average PIC and He were 0.22 and 0.26, respectively. Average PIC values ranged Carvalho et al. BMC Genomics (2017) 18:891 Page 3 of 9 from 0.07 in subpopulation 2 to 0.18 in subpopulation 3, while average He ranged from 0.09 to 0.23 in subpopula- tions 2 and 3, respectively (Table 1). This indicates that subpopulation 3 is the most diverse genetically, while subpopulation 2 appeared the least diverse, even though it contained the highest number of accessions (Table 1). The geographical distribution of accessions together with their subpopulation membership allowed inference of pos- sible dispersion routes (Fig. 1). The similarity between European and northern African accessions seems to indicate that cowpeas were brought by Arabs to Europe. The acces- sion from Cuba may have been brought by Spanish naviga- tors because Cuba was a Spanish colony and consequently commercial exchanges were frequent. The accessions from South America and Asia belonged to the same subpopula- tion as those from South/East Africa (Fig. 1). It is possible that these were brought from that region in Africa to Asia and South America during the discovery period, when Portuguese had an important role in commercial routes in the southern hemisphere. If so, Iberian Peninsula people may have had an important role in the distribution of cow- pea from Africa and Europe to other parts of the world. Genetic structure and diversity of Iberian peninsula accessions from subspecies unguiculata Genetic structure and diversity were explored for 35 Iberian Peninsula accessions belonging to ssp. unguicu- lata compared to 46 world-wide ssp. unguiculata acces- sions. Due to the low number of ssp. sesquipedalis accessions in the dataset (10 in total) and the fact that grain-type cowpea (ssp. unguiculata) is the most culti- vated and consumed in Europe, ssp. sesquipedalis acces- sions were not included in these analyses. Most of the 35 V. unguiculata ssp. unguiculata accessions from the Fig. 1. Population structure for 91 cowpea accessions. a Plot of ancestry estimates for K = 4; b geographical distribution and population structure of accessions used in this study, and inferred cowpea dispersion routes. Exact locations are provided for Iberian Peninsula accessions. For genebank accessions, coordinates were slightly adjusted in cases where latitude and longitude were identical to allow a visualization of all samples in the study. Each color represents a subpopulation as inferred by STRUCTURE (blue = subpopulation 1; red = subpopulation 2; green = subpopulation 3; orange = subpopulation 4), with ‘grey’ being used for the ‘admixed’ group (membership coefficient < 0.7). Shapes are used to distinguish the two subspecies of Vigna unguiculata used in this study, with circles representing ssp. unguiculata accessions and triangles indicating ssp. sesquipedalis accessions Carvalho et al. BMC Genomics (2017) 18:891 Page 4 of 9 Iberian Peninsula belonged to subpopulation 2, together with other Genebank accessions from Europe (Fig. 2, lower plots; Additional file 4). Only two accessions from Portugal (Ac5 and Ac13) and one accession from Spain (Ac38) did not belong to this subpopulation: Ac13 belonged to subpopulation 3, while accessions Ac5 and Ac38 were considered admixed (estimated proportion of subpopulation 2 = 0.43 and 0.61, respectively). These three accessions would then likely contain unique alleles not present in any other Iberian Peninsula accession studied. An examination of the SNP data from all 35 Iberian Peninsula accessions showed that, of all poly- morphic SNPs (29,550) in the Iberian Peninsula dataset, 4777 were contributed only by Ac13 (16.2%). These unique alleles from Ac13 were distributed all over the linkage groups (LGs; Additional file 5). As expected, Ac5 and Ac38 contained a lower number of unique alleles, 1849 (6.3%) for Ac5 and 534 (1.8%) for Ac38. Unique alleles from Ac5 were found in all cowpea chromo- somes, while those from Ac38 were mainly present on the pericentromeric region of LG3 and LG11, and towards the distal end of LG8 (Additional file 5). PIC and He were calculated for the entire set of 81 V. unguiculata ssp. unguiculata accessions, and then separ- ately for Iberian Peninsula accessions and for those from other countries (Table 2). Considering the ssp. unguiculata whole dataset, average PIC and He were 0.21 and 0.25, respectively. PIC and He values were quite different between accessions from the Iberian Peninsula (0.09 and 0.10, respectively) and those from the world- wide collection (0.25 and 0.31, respectively). This indi- cates that genetic diversity in Iberian Peninsula ssp. unguiculata accessions is low compared to the diversity available in the world-wide sample of cultivated cow- peas. To better understand and compare accessions from the Iberian Peninsula at the genetic level, similarity matrix was generated based on comparisons between all 35 accessions (Additional file 6). From this it was appar- ent that Ac13, Ac5 and Ac38 had the lowest similarity indexes with the rest of the Iberian Peninsula accessions. This was expected since they had the lowest genomic ancestry proportions of subpopulation 2, to which all other Iberian Peninsula accessions belong (Additional file 4). The other 32 accessions were very similar to each other, with percentages of similarity ranging from 77.0% to 99.9%. Discussion Genetic characterization of germplasm resources is es- sential for conservation and the sustainable use of their diversity [29]. In recent years, several studies have char- acterized cowpea germplasm mainly from Africa and Asia [13, 30–33]. However, there have been no studies Fig. 2 Principal component analysis of cowpea accessions used in this study. The accessions are colored by subpopulation membership (K = 4). Upper plots display all accessions, while the lower plots highlight only cowpea accessions from Iberia Peninsula Carvalho et al. BMC Genomics (2017) 18:891 Page 5 of 9 exploring in depth the genetic diversity of southern European cowpeas. In this study, high-density SNP genotyping using the Cowpea iSelect Consortium Array [19] has provided a means to study population structure and genetic diversity in a set of 91 world-wide cowpea accessions, with a special focus on 43 accessions from the Iberian Peninsula. A high proportion of the SNPs assayed by the array were polymorphic in the data- set (44,056 of 51,128; 86%). Also PIC and He values obtained from the entire population are similar to those reported by Huynh et al. [34] and Muñoz-Amatriaín et al. [19] using a larger dataset, indicating that the selection of worldwide accessions in the present work provides a good representa- tion of the diversity in cultivated cowpea. Ac38 Ac17 Ac89 Ac87 Ac32 Ac90 Ac55 Ac94 Ac4Ac35 Ac25 Ac85Ac83 Ac9 Ac16 Ac19 Ac11 Ac23Ac12Ac7 Ac20 Ac21 Ac56 Ac18 Ac29 Ac8 Ac88 Ac75 Ac30 Ac82 Ac15 Ac22 Ac26 Ac24 Ac84 Ac34 Ac10 Ac37 Ac14 Ac27 Ac36 Ac6 Ac96 Ac49 Ac13 Ac59 Ac5 Ac2 Ac71 Ac73 Ac44 Ac72 Ac70 Ac63 Ac67 Ac53 Ac64 Ac50 Ac60 Ac66 Ac81 Ac74Ac33 Ac91 Ac51 Ac86 Ac40 Ac42 Ac31 Ac57 Ac43 Ac52 Ac58 Ac54 Ac76 Ac95 Ac92 Ac41 Ac68 Ac39 Ac80 Ac69 Ac48 Ac77 Ac93 Ac78 Ac3 Ac47 Ac28 Ac1 Ac62 Fig. 3 Neighbor-joining tree of 91 cowpea accessions with colors representing subpopulation membership (blue = subpopulation 1; red = subpopulation 2; green = subpopulation 3; orange = subpopulation 4; and grey = admixed) Table 1 Polymorphism information content (PIC) and expected heterozygosity (He) calculated for the entire population and for each subpopulation Data set N° accessions N° countries PIC He All accessions 91 24 0.22 0.26 Subpopulation 1 9 4 0.12 0.14 Subpopulation 2 41 7 0.07 0.09 Subpopulation 3 12 8 0.18 0.23 Subpopulation 4 4 2 0.12 0.15 Table 2 Polymorphism information content (PIC) and expected heterozygosity (He) calculated for V. unguiculata ssp. unguiculata accessions Data set N° accessions N° countries PIC He All V. unguiculata ssp. unguiculata accessions 81 23 0.21 0.25 Iberian Peninsula accessions 35 2 0.09 0.10 Accessions from other countries 46 21 0.25 0.31 Carvalho et al. BMC Genomics (2017) 18:891 Page 6 of 9 The SNP genotyping of these accessions enabled identifi- cation of one apparent duplication: Ac39 and Ac43, which are members of the subspecies sesquipedalis. These were provided by the National Plant Genetic Resources Centre- National Institute for Agricultural and Food Technology Research (CRF-INIA, Spain) genebank, and their passport information is limited. Ac39 and Ac43 are both from Spain, but from two different regions: Ac1 is from Cordoba (Andalucia region, south of Spain) and Ac43 from Ourense (Galicia region, north of Spain). A common cause of redun- dant accessions is the unwitting submission of the same accession to the genebank, then generating more than one name or designator. Identifying these redundant accessions is not possible using phenotype data alone [35]. Duplicated accessions do not contribute to genetic diversity of collec- tions while generating unnecessary and additional costs to genebank [36]. The population structure analysis assigned the 91 accession to four subpopulations. In agreement with the results of Huynh et al. [34] and Xiong et al. [37], two of the subpopulations identified (subpopulation 3 and sub- population 4) corresponded to the East/South Africa and the West Africa gene pools, respectively. In addition to those two genetic clusters, our study identified two more subpopulations composed of North Africa and South Europe accessions (subpopulation 2) and V. unguiculata ssp. sesquipedalis accessions (subpopulation 1). The aforementioned studies may not have identified those two populations because of a lack of accessions from these regions. The geographic distribution of the accessions from the three ssp. unguiculata subpopulations enabled inference of possible dispersion routes of domesticated cowpea (Fig. 1). It has been reported that some Iberian Peninsula crops were introduced in Europe through the “Arab corridor” [38]. Our study is consistent with the idea that cowpea was one of the crops brought by Arabs from North Africa to Europe in ancient times. From the end of the fifteenth cen- tury until the middle of the seventeenth century, Portugal and Spain, which form the Iberian Peninsula, had an important role in the great discovery period. Saúco and Cubero [38] described how powers from the Iberian Peninsula had an important contribution to the exchange and acclimatization of new and old world crops, including cowpea, due to exploration voyages and commercial routes established by them. This information together with the genetic data from this study seems to indicate that the accession from Cuba (Ac62) belonging to subpopulation 2 may have been brought by the Spaniards. This island was discovered in 1492 by Christopher Columbus and belonged to Spain until 1898, so it seems plausible that the Spaniards introduced this crop to Cuba. On the other hand, Portuguese sailors explored and dom- inated the Southern hemisphere including South America (more specifically Brazil), Southern Africa (Angola, Guinea Bissau, Mozambique) and India. They established direct contact between Europe, South America and India, and later with Southeast Asia and China [38]. Since subpopulation 3 includes accessions from all these regions, it is possible that slaves being transported in Portuguese ships crossing the Atlantic Ocean were the ones who introduced cowpea cultivation into Brazil. Additional cowpea introduction into India and later China may also have occurred through the Portuguese sea routes as well. Cowpea genetic diversity among countries and regions can be affected by environmental factors and customs of cowpea consumption [37]. In the Iberian Peninsula, cowpea is a minor crop, mostly based on cultivation of landraces. These landraces reflect the cultural identity of local people and are reservoirs of diversity for breeding improvement. Given the narrow genetic base found in this study for most of the Iberian Peninsula cowpea, introduction of additional diversity into the Iberian Peninsula genepool seems sensible to keep increasing yields under changing climatic condi- tions [29]. Three of the accessions belonging to the Iberian Peninsula were more diverse than the rest: Ac13 was the most different from the others and had mostly subpopula- tion 3 ancestry, while Ac5 and Ac38 had admixed ancestry from subpopulations 2 and 3, and subpopulations 1 and 2, respectively (Additional file 4). Ac5 is a variety developed by breeders at INIAV-Elvas (Portugal) and Ac38 is a land- race from Spain. Given its proportion of ancestry from sub- population 3 (0.50), Ac5 may have resulted from crosses between accessions from the Iberian Peninsula and South/ East African materials. Although Ac38 is morphologically similar to other ssp. unguiculata accessions, its genome has an estimated proportion of subpopulation 1 ancestry of 0.39 (Additional file 4). This accession could be the result of intentional crosses between the two cultivar-groups. The introduction of Ac13, a member of subpopulation 3, into Portugal could have occurred in the 70’s. During that time, Portuguese living in Angola, Guinea and Mozambique returned to Portugal and could have brought that cowpea landrace with them. It is also possible that during the great discover period navigators brought that accession from Africa, Asia or South America (Brazil). The aforementioned accessions Ac5, Ac13 and Ac38 can be very useful for breeding programs as they can bring additional genetic diver- sity without compromising adaptation to the environment. Conclusions Higher cowpea production is needed in Europe to meet demand, and only Southern European countries possess climatic conditions that are favorable for growing this legume crop. Here we have genetically characterized a geographically diverse set of cowpeas that are cultivated in the Iberian Peninsula using a high-density genotyping Carvalho et al. BMC Genomics (2017) 18:891 Page 7 of 9 array, and we have compared them to cowpea accessions collected world-wide. Our study identified four subpopu- lations in the whole dataset, with most Iberian Peninsula accessions of ssp. unguiculata belonging to the same sub- population and having lower levels of genetic diversity than world-wide cowpea accessions. However, we identi- fied one Iberian Peninsula landrace with ancestry from another subpopulation and two accessions having admix- ture of different subpopulations. These three accessions may be used to incorporate new genetic diversity into breeding programs without compromising adaptation. Possible dispersion routes of cultivated cowpea have been also inferred using the SNP data combined with passport information. In the future, favorable alleles for simple and complex traits could be mined from these accessions via genome-wide association studies. Additional files Additional file 1: Information on cowpea accessions used in this study. (XLSX 12 kb) Additional file 2: Raw STRUCTURE output for all runs (left) and ΔK calculations for each number of K (right). (XLSX 12 kb) Additional file 3: Exploration of the optimal number of subpopulations (K) in the entire dataset. Plots were generated with Structure Harvester [26]. (A) Estimated log probability of the data for each K between 1 and 8. (B) ΔK values as a function of K. (TIFF 75 kb) Additional file 4: Genetic structure information on the 91 accessions. The estimated membership of each accession in the four subpopulations is shown, as well as the PCA coordinates. (XLSX 17 kb) Additional file 5: Genomic location of unique alleles in Ac13, Ac5 and Ac38 on cowpea linkage groups (LGs). Genomic regions colored in red contain unique alleles in the corresponding accession, while regions containing non-unique alleles are represented in blue. For the figure, one marker per locus was kept, giving priority to unique alleles over non-unique ones. In white are represented regions lacking mapped SNPs. LG number and cM positions are based on the cowpea consensus genetic map available from Muñoz-Amatriaín et al. [19]. (TIFF 2302 kb) Additional file 6: Matrix showing genetic pair-wise similarity values for Iberian Peninsula accessions. (XLSX 16 kb) Abbreviations BC: Before Christ; CRF-INIA: National Plant Genetic Resources Centre-National Institute for Agricultural and Food Technology Research; CTAB: cetyl trimethyl ammonium bromide; DNA: Deoxyribonucleic acid; EMBRAPA: Brazilian Agricultural Research Corporation; GWAS: Genome-wide association studies; He: Expected heterozygosity; INIAV: National Institute for Agrarian and Veterinarian Research; IPK: Leibniz Institute of Plant Genetics and Crop Plant Research; LG: Linkage group; MAF: Minor allele frequency; MCMC: Monte Carlo Markov Chain; NJ: Neighbor-joining; PCA: Principal component analysis; PIC: Polymorphism Information Content; QC: Quality control; QTL: Quantitative Trait Locus; SNP: Single Nucleotide Polymorphism Acknowledgments Authors would like to thank the seed providing namely, the National Institute for Agrarian and Veterinarian Research (INIAV, Portugal), National Plant Genetic Resources Centre-National Institute for Agricultural and Food Technology Research (CRF-INIA, Spain), Leibniz Institute of Plant Genetics and Crop Plant Research (IPK, Gatersleben, Germany), the Botanic Garden Meise (Belgium), the University of Perugia (Italy), and the Brazilian Agricultural Research Corporation (EMBRAPA, Brazil). Funding This study was supported by EUROLEGUME project. This project has received funding from the European Union’s Seventh Framework Programme for research, technological development and demonstration under grant agreement no 613781. European Investment Funds by FEDER/COMPETE/ POCI – Operational Competitiveness and Internationalization Programme, under Project POCI-01-0145-FEDER-006958 and National Funds by FCT – Portuguese Foundation for Science and Technology, under the project UID/ AGR/04033/2013. MMA was partially supported by the Feed the Future Innovation Lab for Climate Resilient Cowpea (USAID Cooperative Agreement AID-OAA-A-13-00070), which is directed by TJC. The funding entities had no role in the design of the study, collection, analysis and interpretation of data, or in writing the manuscript. Availability of data and materials All data generated or analyzed during this study are included in this published article [and its supplementary information files]. Authors’ contributions IC, MEC and VC provided material. MC, IC and VC conducted the experiment. MC, MMA and TC analyzed the data. MC drafted the manuscript. MMA, IC, MEC and VC conceived and designed the whole experiment. MMA, IC, MEC, TLN, MM, ER, TC and VC revised the manuscript. All authors read and approved the final version of the manuscript. Ethics approval and consent to participate In accordance with local legislation, no exotic or endangered plant materials were used in this study. The cowpea genotypes used in the study were supplied without restrictions for use in field and laboratory studies by all the institutions. For the Leibniz Institute of Plant Genetics and Crop Plant Research (IPK, Gatersleben, Germany) and the Botanic Garden Meise (Belgium) a Standard Material Transfer Agreement (SMTA) was signed. Consent for publication Not applicable. Competing interests The authors declare that they have no competing interests. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. Author details 1Centre for Research and Technology of Agro-Environmental and Biological Sciences (CITAB), University of Trás-os-Montes and Alto Douro (UTAD), 5000-801 Vila Real, Portugal. 2Department of Botany and Plant Sciences, University of California Riverside, Riverside, CA 92521-0124, USA. 3Department of Genetics and Biotechnology, University of Trás-os-Montes and Alto Douro (UTAD), 5000-801 Vila Real, Portugal. 4Biosystems & Integrative Sciences Institute (BioISI), Plant Functional Biology Center (CBFP), University of Minho, Campus de Gualtar, 4710-057 Braga, Portugal. 5Biosystems & Integrative Sciences Institute (BioISI), Sciences Faculty, University of Lisbon, Campo Grande, 1749-016 Lisbon, Portugal. 6Instituto de Biotecnología Vegetal, Universidad Politécnica de Cartagena, 30202 Cartagena, Spain. 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In: IPGRI technical bulletin N 10. Rome, Italy: International Plant Genetic Resources Institute; 2005. p. 24–90. 37. Xiong H, Shi A, Mou B, Qin J, Motes D, Lu W, et al. Genetic diversity and population structure of cowpea (Vigna unguiculata L. Walp). PLoS One. 2016;11(8):1–15. 38. Saúco VG, Cubero JI. Contribution of Spain and Portugal to the exchange and acclimatization of new and old world crops. Acta Hortic. 2011;916:71–82. • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: Carvalho et al. BMC Genomics (2017) 18:891 Page 9 of 9 https://www.cbi.eu/market-information/grains-pulses/trends/ Abstract Background Results Conclusions Background Methods Plant material SNP genotyping and data curation Population structure and genetic diversity analyses Results SNP genotyping and data curation Genetic diversity and structure in the whole population Genetic structure and diversity of Iberian peninsula accessions from subspecies unguiculata Discussion Conclusions Additional files Abbreviations Funding Availability of data and materials Authors’ contributions Ethics approval and consent to participate Consent for publication Competing interests Publisher’s Note Author details References 
work_s3fcmqihlfcp3otraebuytyufy	----	IJD_Oct-Dec_08.indd Indian J Dermatol 2008; 53(4) 163 Anatomy The plant has triangular, ß eshy leaves with serrated edges, yellow tubular ß owers and fruits that contain numerous seeds. Each leaf is composed of three layers: 1) An inner clear gel that contains 99% water and rest is made of glucomannans, amino acids, lipids, sterols and vitamins. 2) The middle layer of latex which is the bitter yellow sap and contains anthraquinones and glycosides. 3) The outer thick layer of 15�20 cells called as rind which has protective function and synthesizes carbohydrates and proteins. Inside the rind are vascular bundles responsible for transportation of substances such as water (xylem) and starch (phloem).3 Active components with its properties: Aloe vera contains 75 potentially active constituents: vitamins, enzymes, minerals, sugars, lignin, saponins, salicylic acids and amino acids.4-6 1. Vitamins: It contains vitamins A (beta-carotene), C and E, which are antioxidants. It also contains vitamin B12, folic acid, and choline. Antioxidant neutralizes free radicals. 2. Enzymes: It contains 8 enzymes: aliiase, alkaline phosphatase, amylase, bradykinase, carboxypeptidase, catalase, cellulase, lipase, and peroxidase. Bradykinase helps to reduce excessive inß ammation when applied to the skin topically, while others help in the breakdown of sugars and fats. 3. Minerals: It provides calcium, chromium, copper, selenium, magnesium, manganese, potassium, sodium and zinc. They are essential for the proper functioning of various enzyme systems in different metabolic pathways and few are antioxidants. 4. Sugars: It provides monosaccharides (glucose and fructose) and polysaccharides: (glucomannans/ polymannose). These are derived from the mucilage layer of the plant and are known as mucopolysaccharides. The most prominent monosaccharide is mannose-6- Review Article ALOE VERA: A SHORT REVIEW Amar Surjushe, Resham Vasani, D G Saple Abstract Aloe vera is a natural product that is now a day frequently used in the Þ eld of cosmetology. Though there are various indications for its use, controlled trials are needed to determine its real efÞ cacy. The aloe vera plant, its properties, mechanism of action and clinical uses are brieß y reviewed in this article. Key Words: Aloe vera, health and beauty, skin Indian J Dermatol 2008:53(4):163-6 Introduction The Aloe vera plant has been known and used for centuries for its health, beauty, medicinal and skin care properties. The name Aloe vera derives from the Arabic word �Alloeh� meaning �shining bitter substance,� while �vera� in Latin means �true.� 2000 years ago, the Greek scientists regarded Aloe vera as the universal panacea. The Egyptians called Aloe �the plant of immortality.� Today, the Aloe vera plant has been used for various purposes in dermatology. History Aloe vera has been used for medicinal purposes in several cultures for millennia: Greece, Egypt, India, Mexico, Japan and China.1 Egyptian queens Nefertiti and Cleopatra used it as part of their regular beauty regimes. Alexander the Great, and Christopher Columbus used it to treat soldiers� wounds. The Þ rst reference to Aloe vera in English was a translation by John Goodyew in A.D. 1655 of Dioscorides� Medical treatise De Materia Medica.2 By the early 1800s, Aloe vera was in use as a laxative in the United States, but in the mid-1930s, a turning point occurred when it was successfully used to treat chronic and severe radiation dermatitis.2 Plant The botanical name of Aloe vera is Aloe barbadensis miller. It belongs to Asphodelaceae (Liliaceae) family, and is a shrubby or arborescent, perennial, xerophytic, succulent, pea- green color plant. It grows mainly in the dry regions of Africa, Asia, Europe and America. In India, it is found in Rajasthan, Andhra Pradesh, Gujarat, Maharashtra and Tamil Nadu. From the Department of Dermatology, Venereology and Leprosy, Grant Medical College and Sir J J Group of Hospitals, Mumbai - 400 008 Maharashtra, India. Address for correspondence: Dr. Amar Surjushe, Department of Dermatology, Venereology and Leprosy, Grant Medical College, Gokuldas Tejpal Hospital, Mumbai - 400 008, Maharashtra, India. E-mail: dramarsurjushe@rediffmail.com [Downloaded free from http://www.e-ijd.org on Wednesday, October 06, 2010, IP: 200.3.154.74] Indian J Dermatol 2008; 53(4) 164 phosphate, and the most common polysaccharides are called glucomannans [beta-(1,4)-acetylated mannan]. Acemannan, a prominent glucomannan has also been found. Recently, a glycoprotein with antiallergic properties, called alprogen and novel anti-inß ammatory compound, C-glucosyl chromone, has been isolated from Aloe vera gel.7,8 5. Anthraquinones: It provides 12 anthraquinones, which are phenolic compounds traditionally known as laxatives. Aloin and emodin act as analgesics, antibacterials and antivirals. 6. Fatty acids: It provides 4 plant steroids; cholesterol, campesterol, β-sisosterol and lupeol. All these have anti- inß ammatory action and lupeol also possesses antiseptic and analgesic properties. 7. Hormones: Auxins and gibberellins that help in wound healing and have anti-inß ammatory action. 8. Others: It provides 20 of the 22 human required amino acids and 7 of the 8 essential amino acids. It also contains salicylic acid that possesses anti-inß ammatory and antibacterial properties. Lignin, an inert substance, when included in topical preparations, enhances penetrative effect of the other ingredients into the skin. Saponins that are the soapy substances form about 3% of the gel and have cleansing and antiseptic properties. Mechanism of actions 1. Healing properties: Glucomannan, a mannose-rich polysaccharide, and gibberellin, a growth hormone, interacts with growth factor receptors on the Þ broblast, thereby stimulating its activity and proliferation, which in turn signiÞ cantly increases collagen synthesis after topical and oral Aloe vera.9 Aloe gel not only increased collagen content of the wound but also changed collagen composition (more type III) and increased the degree of collagen cross linking. Due to this, it accelerated wound contraction and increased the breaking strength of resulting scar tissue.10 An increased synthesis of hyaluronic acid and dermatan sulfate in the granulation tissue of a healing wound following oral or topical treatment has been reported.11 2. Effects on skin exposure to UV and gamma radiation: Aloe vera gel has been reported to have a protective effect against radiation damage to the skin.12,13 Exact role is not known, but following the administration of aloe vera gel, an antioxidant protein, metallothionein, is generated in the skin, which scavenges hydroxyl radicals and prevents suppression of superoxide dismutase and glutathione peroxidase in the skin. It reduces the production and release of skin keratinocyte-derived immunosuppressive cytokines such as interleukin-10 (IL-10) and hence prevents UV-induced suppression of delayed type hypersensitivity.14 3. Anti-infl ammatory action: Aloe vera inhibits the cyclooxygenase pathway and reduces prostaglandin E2 production from arachidonic acid. Recently, the novel anti-inß ammatory compound called C-glucosyl chromone was isolated from gel extracts.8 4. Effects on the immune system: Alprogen inhibit calcium inß ux into mast cells, thereby inhibiting the antigen- antibody-mediated release of histamine and leukotriene from mast cells.7 In a study on mice that had previously been implanted with murine sarcoma cells, acemannan stimulates the synthesis and release of interleukin-1 (IL-1) and tumor necrosis factor from macrophages in mice, which in turn initiated an immune attack that resulted in necrosis and regression of the cancerous cells.15 Several low-molecular-weight compounds are also capable of inhibiting the release of reactive oxygen free radicals from activated human neutrophils.16 5. Laxative effects: Anthraquinones present in latex are a potent laxative. It increases intestinal water content, stimulates mucus secretion and increases intestinal peristalsis.17 6. Antiviral and antitumor activity: These actions may be due to indirect or direct effects. Indirect effect is due to stimulation of the immune system and direct effect is due to anthraquinones. The anthraquinone aloin inactivates various enveloped viruses such as herpes simplex, varicella zoster and inß uenza.18 In recent studies, a polysaccharide fraction has shown to inhibit the binding of benzopyrene to primary rat hepatocytes, thereby preventing the formation of potentially cancer- initiating benzopyrene-DNA adducts. An induction of glutathione S-transferase and an inhibition of the tumor- promoting effects of phorbol myristic acetate has also been reported which suggest a possible beneÞ t of using aloe gel in cancer chemoprevention.19,20 7. Moisturizing and anti-aging effect: Mucopolysaccharides help in binding moisture into the skin. Aloe stimulates Þ broblast which produces the collagen and elastin Þ bers making the skin more elastic and less wrinkled. It also has cohesive effects on the superÞ cial ß aking epidermal cells by sticking them together, which softens the skin. The amino acids also soften hardened skin cells and zinc acts as an astringent to tighten pores. Its moisturizing effects has also been studied in treatment of dry skin associated with occupational exposure where aloe vera gel gloves improved the skin integrity, decreases appearance of Þ ne wrinkle and decreases erythema.21 It also has anti-acne effect. 8. Antiseptic effect: Aloe vera contains 6 antiseptic agents: Lupeol, salicylic acid, urea nitrogen, cinnamonic acid, phenols and sulfur. They all have inhibitory action on fungi, bacteria and viruses. Surjushe, et al.: Aloe vera [Downloaded free from http://www.e-ijd.org on Wednesday, October 06, 2010, IP: 200.3.154.74] Indian J Dermatol 2008; 53(4) 165 Clinical uses: The clinical use of aloe vera is supported mostly by anecdotal data. Though most of these uses are interesting, controlled trials are essential to determine its effectiveness in all the following diseases.22,23 A. Uses based on scientifi c evidence: These uses have been tested in humans or animals. Safety and effectiveness have not always been proven. Conditions: Seborrheic dermatitis,24 psoriasis vulgaris,25,26 genital herpes,27,28 skin burns,5,29 diabetes (type 2),30 HIV infection,31 cancer prevention,32,33 ulcerative colitis34 wound healing (results of aloe on wound healing are mixed with some studies reporting positive results35 and others showing no beneÞ t36 or potential worsening37,38), pressure ulcers,36 mucositis,39 radiation dermatitis,40 acne vulgaris,41 lichen planus,42 frostbite,43 aphthous stomatitis,44 and constipation.17 B. Uses based on tradition or theory: The below uses are based on tradition or scientiÞ c theories. They often have not been thoroughly tested in humans, and safety and effectiveness have not always been proven. Conditions: Alopecia, bacterial and fungal skin infections, chronic leg wounds, parasitic infections, systemic lupus erythematosus, arthritis and tic douloureux. Side effects Topical: It may cause redness, burning, stinging sensation and rarely generalized dermatitis in sensitive individuals. Allergic reactions are mostly due to anthraquinones, such as aloin and barbaloin. It is best to apply it to a small area Þ rst to test for possible allergic reaction. Oral: Abdominal cramps, diarrhea, red urine, hepatitis, dependency or worsening of constipation. Prolonged use has been reported to increase the risk of colorectal cancer. Laxative effect may cause electrolyte imbalances (low potassium levels). Contraindication: Contraindicated in cases of known allergy to plants in the Liliaceae family. Pregnancy and breastfeeding: Oral aloe is not recommended during pregnancy due to theoretical stimulation of uterine contractions, and in breastfeeding mothers, it may sometime causes gastrointestinal distress in the nursing infant. Interactions: Application of aloe to skin may increase the absorption of steroid creams such as hydrocortisone. It reduces the effectiveness and may increases the adverse effects of digoxin and digitoxin, due to its potassium lowering effect. Combined use of Aloe vera and furosemide may increase the risk of potassium depletion. It decreases the blood sugar levels and thus may interact with oral hypoglycemic drugs and insulin. Thus, though Aloe vera has wide spectrum of the properties and uses, some of them could be myths and some of them could be real magic. In future, controlled studies are required to prove the effectiveness of Aloe vera under various conditions. References 1. Marshall JM. Aloe vera gel: What is the evidence? Pharma Jr 1990;24:360-2. 2. Davis RH. Aloe vera: A scientiÞ c approach. New York: Vantage Press. 3. Tyler V. The honest herbal: A sensible guide to the use of herbs and related remedies. 3rd ed. Binghamton, New York: Pharmaceutical Products Press; 1993. 4. Atherton P. Aloe vera revisited. Br J Phytother 1998;4:76-83. 5. Shelton M. Aloe vera, its chemical and therapeutic properties. Int J Dermatol 1991;30:679-83. 6. Atherton P. The essential Aloe vera: The actions and the evidence. 2nd ed. 1997. 7. Ro JY, Lee B, Kim JY, Chung Y, Chung MH, Lee SK, et al. Inhibitory mechanism of aloe single component (Alprogen) on mediator release in guinea pig lung mast cells activated with speciÞ c antigen-antibody reactions. J Pharmacol Exp Ther 2000;292:114-21. 8. Hutter JA, Salmon M, Stavinoha WB, Satsangi N, Williams RF, Streeper RT, et al. Anti-inß ammatory C-glucosyl chromone from Aloe barbadensis. J Nat Prod 1996;59:541-3. 9. Chithra R Sajithlal GB, Chandrakasan G. Inß uence of aloe vera on collagen characteristics in healing dermal wounds in rats. Mol Cell Biochem 1998;181:71-6. 10. Heggers J, Kucukcelebi A, Listengarten D, Stabenau J, Ko F, Broemeling LD, et al. BeneÞ cial effect of aloe on wound healing in an excisional wound model. J Altern Complement Med 1996;2:271-7. 11. Chithra P, Sajithlal G, Chandrakasan G. Inß uence of aloe vera on the glycosaminoglycans in the matrix of healing dermal wounds in rats. J Ethnopharmacol 1998;59:179-86. 12. Roberts DB, Travis EL. Acemannan-containing wound dressing gel reduces radiation-induced skin reactions in C3H mice. Int J Radiat Oncol Biol Phys 1995;32:1047-52. 13. Sato Y, Ohta S, Shinoda M. Studies on chemical protectors against radiation XXXI: Protective effects of Aloe arborescens on skin injury induced by x-irradiation. Yakugaku Zasshi 1990;110:876-84. 14. Byeon S, Pelley R, Ullrich SE, Waller TA, Bucana CD, Strickland FM. Aloe barbadensis extracts reduce the production of interleukin-10 after exposure to ultraviolet radiation. J Invest Dermtol 1988;110:811-7. 15. Peng SY, Norman J, Curtin G, Corrier D, McDaniel HR, Busbee D. Decreased mortality of Norman murine sarcoma in mice treated with the immunomodulator, acemannon. Mol Biother 1991;3:79-87. 16. Hart LA, Nibbering PH, van den Barselaar MT, van Dijk H, van den Burg AJ, Labadie RP. Effects of low molecular constituents from aloe vera gel on oxidative metabolism and cytotoxic and bactericidal activities of human neutrophils. Int J Immunopharmacol 1990;12:427-34. 17. Ishii Y, Tanizawa H, Takino Y. Studies of aloe. V: Mechanism of cathartic effect. Biol Pharm Bull 1994;17:651-3. 18. Sydiskis RJ, Owen DG, Lohr JL, Rosler KH, Blomster RN. Inactivation of enveloped viruses by anthraquinones extracted from plants. Antimicrob Agents Chemother 1991;35:2463-6. Surjushe, et al.: Aloe vera [Downloaded free from http://www.e-ijd.org on Wednesday, October 06, 2010, IP: 200.3.154.74] Indian J Dermatol 2008; 53(4) 166 Received: July, 2007. Accepted: March, 2008. Source of Support: Nil, Conß ict of Interest: Nil. 19. Kim HS, Lee BM. Inhibition of benzo [a] pyrene-DNA adduct formation by aloe barbadensis Miller. Carcinogenesis 1997;18:771-6. 20. Kim HS, Kacew S, Lee BM. In vitro chemopreventive effects of plant polysaccharides (Aloe barbadensis Miller, Lentinus edodes, Ganoderma lucidum, and Coriolus vesicolor). Carcinogenesis 1999;20:1637-40. 21. West DP, Zhu YF. Evaluation of aloe vera gel gloves in the treatment of dry skin associated with occupational exposure. Am J Infect Control 2003;31:40-2. 22. Zawahry ME, Hegazy MR, Helal M. Use of aloe in treating leg ulcers and dermatoses. Int J Dermatol 1973;12:68-73. 23. Ernst E, Fugh-Berman A. Methodological considerations in testing the efÞ cacy of complementary/alternative treatments (CATs). Int J Alt Comp Med 1998;16:8-10. 24. Vardy AD, Cohen AD, Tchetov T. A double-blind, placebo-controlled trial of Aloe vera (A. barbadensis) emulsion in the treatment of seborrheic dermatitis. J Derm Treatment 1999;10:7-11. 25. Paulsen E, Korsholm L, Brandrup F. A double-blind, placebo- controlled study of a commercial Aloe vera gel in the treatment of slight to moderate psoriasis vulgaris. J Eur Acad Dermatol Venereol 2005;19:326�31. 26. Syed TA, Ahmad SA, Holt AH, Ahmad SH, Afzal M. Management of psoriasis with Aloe vera extract in a hydrophilic cream: A placebo-controlled, double-blind study. Trop Med Int Health 1996;1:505-9. 27. Syed TA, Afzal M, Ashfaq AS. Management of genital herpes in men with 0.5% Aloe vera extract in a hydrophilic cream: A placebo-controlled double-blind study. J Derm Treatment 1997;8:99-102. 28. Syed TA, Cheema KM, Ahmad SA, Ashfaq A. Aloe vera extract 0.5% in hydrophilic cream versus aloe vera gel for the measurement of genital herpes in males: A placebo-controlled, double-blind, comparative study. J Eur Acad Derm Venereol 1996;7:294-5. 29. Visuthikosol V, Chowchuen B, Sukwanarat Y, Sriurairatana S, Boonpucknavig V. Effect of aloe vera gel to healing of burn wound a clinical and historic study. J Med Assoc Thai 1995;78:403-9. 30. Yeh GY, Eisenberg DM, Kaptchuk TJ, Phillips RS. Systematic review of herbs and dietary supplements for glycemic control in diabetes. Diabetes Care 2003;26:1277-94. 31. Montaner JS, Gill J, Singer J. Double-blind placebo-controlled pilot trial of acemannan in advanced human immunodeÞ ciency virus disease. J Acquir Immune DeÞ c Syn Hum Retrovirol 1996;12:153-7. 32. Furukawa F, Nishikawa A, Chihara T, Shimpo K, Beppu H, Kuzuya H, et al. Chemopreventive effects of Aloe arborescens on N-nitrosobis (2-oxopropyl) amine-induced pancreatic carcinogenesis in hamsters. Cancer Lett 2002;178:117-22. 33. Fenig E, Nordenberg J, Beery E, Sulkes J, Wasserman L. Combined effect of aloe-emodin and chemotherapeutic agents on the proliferation of an adherent variant cell line of Merkel cell carcinoma. Oncol Rep 2004;11:213-7. 34. Langmead L, Feakins M, Goldthorpe S, Holt H, Tsironi E, De Silva A, et al. Randomized, double-blind, placebo-controlled trial of oral aloe vera gel for active ulcerative colitis. Aliment Pharmacol Ther 2004;19:739-47. 35. Fulton J. The stimulation of postdermabrasion wound healing with stabilized aloe vera gel-polyethylene oxide dressing. J Dermatol Surg Oncol 1990;16:460-7. 36. Thomas DR, Goode PS, LaMaster K, Tennyson T. Acemannan hydrogel dressing for pressure ulcers: A randomized, controlled trial. Adv Wound Care 1998;11:273-6. 37. Hunter D, Frumkin A. Adverse reactions to Vit E and aloe vera preparations after dermabrasion and chemical peel. Cutis 1991;47:193-6. 38. Schmidt JM, Greenspoon JS. Aloe vera dermal wound gel is associated with a delay in wound healing. Obstet Gynecol 1991;78:115-7. 39. Su K, Mehta V, Ravikumar L, Shah R, Pinto H, Halpern J, et al. Phase II double-blind randomized study comparing oral aloe vera versus placebo to prevent radiation-related mucositis in patients with head-and-neck neoplasms. Int J Radiat Oncol Biol Phys 2004;60:71-7. 40. Bosley C, Smith J, Baratti P. A phase III trial comparing an anionic phospholipid-based (APP) cream and aloe vera-based gel in the prevention and treatment of radiation dermatitis. Int J Radiat Oncol Biol Phys 2003;57:S4-38. 41. Bassett IB, Pannowitz DL, Barnetson RS. A comparative study of tea-tree oil versus benzoylperoxide in the treatment of acne. Med J Aust 1990;153:455-8. 42. Hayes SM. Lichen planus: A report of successful treatment with aloe. Gen Dent 1999;47:268-72. 43. McCauley RL, Heggers JP, Robson MC. Frostbite: Methods to minimize tissue loss. Postgrad Med 1990;88:67-8,73-7. 44. Garnick JJ, Singh B, Winkley G. Effectiveness of a medicament containing silicon dioxide, aloe, and allantoin on aphthous stomatitis. Oral Surg Oral Med Oral Pathol Oral Radiol Endod 1998;86:550-6. Surjushe, et al.: Aloe vera [Downloaded free from http://www.e-ijd.org on Wednesday, October 06, 2010, IP: 200.3.154.74] 
work_s4i2ubdoyrgu7imtt5xlh2764a	----	LAS volume 24 issue 3 Back matter CARFAX PUBLISHING COMPANY THIRD WORLD QUARTERLY Journal of Emerging Areas Editor: Shahid Qadir, Research Associate, Centre for Developing Areas Research (Geography Department), Bedford New College (University of London), Egham Hill, Egham, Surrey TW20 OEX, UK Third World Quarterly's academic reputation is unique as a leading journal of scholarship and policy in the field of international studies. Since the late 1970s, it has set the agenda on Third World affairs. As the most influential journal covering the emerging world, Third World Quarterly has been at the forefront of analysis and commentary on the fundamental issues of global concern. Now published by Carfax Publishing Company under the continuing editorship of Shahid Qadir and supported by an International Editorial Board, Third World Quarterly will continue to provide expert insight into crucial issues before they infringe upon media attention, as well as coverage of the latest publications in its comprehensive book review section. Forthcoming articles in 1992: The Gulf in a New World Order: peace-building senarios for the Middle East. Peri Pamir People and States in a New World Order. Myron Weiner Distance and Durability: shaky foundations of the world food economy. Harriett Friedman Space Benefits: towards a new international order for space. Stephen Hobe Bolivia and the Militarisation of the Drug War. Waltraud Q. Morales From Banned Liberation Movement to Legal Political Party: challenges before the ANC. Yunus Carrim The Palestine Problem in US Iraq Relations: the underlying cause for confrontation. Nairn Salem Ankara, Damascus, Baghdad and the regionalism of Turkey's Kurdish Secessionism. Suha Bolukbasi Cambodia: prospects for a UN control solution. Laura Summers Unification of the Two Yemens. Charles Hoots Sri Lanka: strife, development and the environment. William C. Thiesenhusen The "New Manley" and the New International Political Economy of Jamaica. Tony Payne 1992 - Volume 13 (4 issues). ISSN 0143-6597. A FREE INSPECTION COPY IS AVAILABLE ON REQUEST 3JttE| Carfax Publishing Company PO Box 25, Abingdon, Oxfordshire 0X14 3UE, UK PO Box 2025, Dunnellon, Florida 32630, USA Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022216X0002424X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core E C O N O M I C H E A V Y W E I G H T S CUBA AFTER COMMUNISM Eliana Cardoso and Ann Helwege "This book is a jewel! For years the Ameri- can public has been obsessed with Cuba and Fidel Castro. Now that he is hanging by the end of the rope, the urgent question is what will happen next? Cardoso and Helwege provide a highly readable analysis of the available options." — Sebastian Edwards, UCLA 176 pp. $17.95 LATIN AMERICA'S ECONOMY Diversity, Trends, and Conflicts Eliana Cardoso and Ann Helwege 326 pp. $29.95 At fine bookstores or toll-free 1.800.356.0343 THE MIT 55 Hayws Cambridge, MA 02142 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022216X0002424X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core Sound analysis and lively debate from leading experts in the field of international affairs THE OXFORD INTERNATIONAL REVIEW The Oxford International Review provides a forum for academics, government offi- cials, and other experts to share their opinions on important world events. The magazine encourages a more historical and analytical approach to the discus- sion of international relations than popu- lar news periodicals generally provide, while remaining more accessible than a THE CHANGING FACE OF LATIN AMERICA A Cause for Celebration Felipe Femandez-Armesto Europe and the Central American Conflict: A Retrospective Assessment Laurence Whitehead Economic Integration in Latin America: a Never Ending Story? Alicia Puyana Vanishing Borders and New Fron- tiers Abraham F. 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Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core THE LATIN AMERICAN EXPERIENCE THE PENGUIN HISTORY OF LATIN AMERICA Edwin Williamson This authoritative chronicle of Latin America is the first serious popular history of the region to offer a balanced, in-depth view of important recent events. Maps. 640 pp. Allen Lane hardcover 0-7139-9076-7 $35.00 A SHORT ACCOUNT OF THE DESTRUCTION OF THE INDIES Bartoleme deLas Casas Translated by Nigel Griffin Introduction by Anthony Pagden A succinct, eyewitness record of Spanish atrocities in the territory of Columbus. 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Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core Articles A N D R E W S , George Reid: Black Political Protest in Sao Paulo, Brazil, 1888-1988 147 B I N F O R D , Leigh: Peasants and Petty Capitalists in Southern Oaxacan Sugar Cane Production and Processing, 1930—1980 33 C E N T E N O , Miguel Angel and M A X F I E L D , Sylvia: The Marriage of Finance and O r d e r : Changes in the Mexican Political Elite 57 GODOY, Ricardo and D E FRANCO, Mario: High Inflation and Bolivian Agriculture 617 D E FRANCO, Mario and GODOY, Ricardo: The Economic Consequences of Cocaine Production in Bolivia: Historical, Local and Macro- economic Perspectives 375 D O W N E S , Richard: Autos over Rails: How US Business Supplanted the British in Brazil, 1910-1928 551 E C H E V E R R I - G E N T , Elisavinda: Forgotten workers: British West Indians and the Early Days of the Banana Industry in Costa Rica and Honduras 275 F E R N S , Harry: The Baring Crisis Revisited 241 G L E I J E S E S , Piero: The Limits of Sympathy: The United States and the Independence of Spanish America 481 H A B E R , Stephen: Assessing the Obstacles to Industrialisation: The Mexican Economy, 1850—1940 1 M A N Z E T T I , Luigi: The Evolution of Agricultural Interest Groups in Argentina 565 M A R A M , Sheldon: Juscelino Kubitschek and the i960 Presidential Election 123 M A R T Z , J o h n : Party Elites and Leadership in Colombia and Venezuela 87 M I D R E , Georges: Bread or Solidarity? Argentine Social Policies 1983-1990 343 ROXBOROUGH, Ian: Inflation and Social Pacts in Brazil and Mexico 639 VALENZUELA, Luis: The Chilean Copper Smelting Industry in the mid 19th Century Phases of Expansion and Stagnation, 1834-1858 507 VILAS, Carlos M.: Family Affairs: Class, Lineage and Politics in Contemporary Nicaragua 309 ZIMBALIST, Andrew: Teetering on the Brink: Cuba's Current Economic and Political Crisis 407 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022216X0002424X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core Commentaries CAVAROZZI, Marcelo: Beyond Transitions to Democracy in Latin America 665 THOMPSON, A n d r e w : Informal Empire? An Exploration in the History of Anglo-Argentine Relations, 1810-1914 419 W I N A N T , H o w a r d : Rethinking Race in Brazil 173 Reviews A L C H O N , Suzanne Austin, Native Society and Disease in Colonial Ecuador, reviewed by Rosemary Bromley 690 ALEXANDER, Robert J., juscelino Kubitschek and the Development of Brazil, reviewed by Sheldon Maram 699 BASTIAN, Jean-Pierre (ed.), Protestantes, liberatesy francmasones: Sociedades de ideasy modernidad en America Latina, siglo XIX, reviewed by Helgio Trindade 691 B E N J A M I N , Thomas and WASSERMAN, Mark (eds.) Provinces of the Revolution: Essays on Regional Mexican History 1910—1929, reviewed by Simon Miller 441 BLAKEMORE, Harold, From the Pacific to La Pa%: The Antofagasta (Chile) and Bolivia Railway Company 1888-1988, reviewed by Arnold Bauer 203 B R A D I N G , D . A., The First America: The Spanish monarchy, Creole patriots, and the Liberal state 1492—1867, reviewed by Sir Raymond Carr 437 BULMER-THOMAS, Victor, A Long-Run Model of Development for Central America, reviewed by John Weeks 713 C H A F F E E , Wilber A., Jr. and PREVOST, Gary, Cuba: A Different America, reviewed by David Thomas 460 C H A N G - R O D R I G U E Z , Eugenio and HELLMAN, Ronald G. (eds.), APRA and the Democratic Challenge in Peru, reviewed by John Crabtree 225 C H A N T , Sylvia, Women and survival in Mexican cities: Perspectives on gender, labour markets and low-income households, reviewed by Peter M. Ward 456 CHIARAMONTE, Jose Carlos, Mercaderes del Litoral: Economt'ay sociedad en la provincia de Corrientes, primera mitad del siglo XIX, reviewed by Thomas L. Whigham 692 C H I L C O T E , Ronald H., Power and the Ruling Classes in Northeast Brazil: Jua^eiro and Petrolina in Transition, reviewed by Colin Henfrey 706 COONEY, Jerry W., Economt'a y Sociedad en la Intendencia del Paraguay, reviewed by John Lynch 439 CRANDON-MALAMUD, Libbet, From the Fat of our Souls: Social Change, Political Process, and Medical Pluralism in Bolivia, reviewed by Sarah Radcliffe 725 CRISTOFFANINI, Pablo Rolando, Dominacidn y Legitimidad Politico en Hispanoame'rica, reviewed by John Fisher 689 D E E R E , Carmen Diana, In the Shadows of the Sun: Caribbean Development Alternatives and US Policy, reviewed by J o h n Weeks 219 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022216X0002424X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core D E E R E , Carmen Diana, Household and Class Relations: Peasants and Landlords in Northern Peru, reviewed by Christopher Scott 205 DESPRES, Leo A., Manaus: Social Life and Work in Brazil's Free Trade Zone, reviewed by Nigel Harris 719 D R A K E , Paul W. and J A K S I C , Ivan, (eds.), The Struggle for Democracy in Chile, 19X2-1990 and T U L C H I N , Joseph S. and V A R A , Augusto (eds.), From Dictatorship to Democracy: Rebuilding Political Consensus in Chile, reviewed by Patricio Silva 702 D U L L E S , John W. F., Carlos Lacerda, Brazilian Crusader Volume O n e : The Years 1914-1960, reviewed by Bernardo Kucinski 698 E B E L , Roland H. et al., Political Culture and Foreign Policy in Latin America: Case Studies from the Circum-Caribbean, reviewed by Jean Stubbs 701 E D E L , Matthew Edel and HELLMAN, Ronald G. (eds.) Cities in Crisis: the Urban Challenge in the Americas, reviewed by Alan Gilbert 228 FAJNZYLBER, Fernando, Unavoidable Industrial Restructuring in Latin America, reviewed by Rhys Jenkins 450 FERRAO, Luis Angel, Pedro Albi^u Campos j el Nacionalismo Puertorriqueno, reviewed by Emilio Pantojas-Garcia 448 F I F E R , J. Valerie, United States perceptions of Latin America 18^0—19)0: A 'New West' south oj'Capricorn'(', reviewed by Gordon-Connell-Smith 200 FORESTA, Ronald A., Amazon Conservation in the Age of Development: The Limits of Providence, reviewed by Michael Eden 727 FRASER, Valerie, The Architecture of Conquest: Building in the Vicerqyalty of Peru, ij)J—i6$}, reviewed by Fernando Cervantes 233 G A R S T , Rachel and BARRY, T o m , Feeding the Crisis: U.S. Food Aid and Farm Policy in Central America, reviewed by John Weeks 218 G J O R D I N G , Chris N., Conditions Not of their Choosing: the Guayami Indians and Mining Multinationals in Panama, reviewed by Andrew Zimbalist 462 G L E I J E S E S , Piero, Shattered Hope: The Guatemalan Revolution and the United States, 1944-J4, reviewed by James Dunkerley 447 GOODMAN, David and R E D C L I F T , Michael (eds.), Environment and Development in Latin America: The Politics of Sustainability, reviewed by Steven Sanderson 731 GUIMARAES, Roberto P., The Geopolitics of Development in the Third World: Politics and Environment in Brazil, reviewed by David Cleary 729 H A B E L , Janette, Cuba: the Revolution in Peril, reviewed by Andrew Zimbalist 459 H I L T O N , Stanley, Brazil and the Soviet Challenge, 191J—194J, reviewed by Nicola Miller 465 HOBERMAN, Louisa Schell, Mexico's Merchant Elite, IJ90—1660: Silver, State and Society, reviewed by Brian Hamnett 686 H O J M A N , David E. (ed.), Neo-liberal Agriculture in Rural Chile, reviewed by Julio Pena T. 215 HOOGBERGEN, Wim, The Boni Maroon Wars in Suriname, reviewed by Gary Brana-Shute 196 P R I C E , Richard, Alabi's World, reviewed by Alex van Stipriaan 196 H O R O W I T Z , Joel, Argentine Unions, the State and the Rise of Pero'n, 1930—4;, reviewed by Walter Little 444 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022216X0002424X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core J E L I N , ELIZABETH (ed.), Family, Household and Gender Relations in Latin America, reviewed by Asuncion Lavrin 230 K A R L E N , Stefan, Pa%, Progreso, Justicia j Honrade^: Das Ubico-Regime in Guatemala 1931—1944, reviewed by Maria Odette Canivell Arzii 695 K A Y , Cristobal, Latin American Theories of Development and Under- development, reviewed by Rosemary T h o r p 45 5 K R U E G E R , Anne O. (ed.) et al. The Political Economy of Agricultural Pricing Policy: Volume 1, Latin America, reviewed by Raul Hopkins 453 L E W I S , Paul, The Crisis of Argentine Capitalism, reviewed by Walter Little 222 L I N D O - F U E N T E S , Hector, Weak Foundations: The Economy of El Salvador in the Nineteenth Century, 1821—1898, reviewed by David Browning 201 L I P P , Frank J., The Mixe ofOaxaca: Religion, Ritual and Healing, reviewed by Joseph Whitecotton 723 L O V E , Joseph L. and JACOBSON, Nils (eds.), Guiding the Invisible hand: Economic Liberalism and the State in Latin American History, reviewed by Colin M. Lewis 198 LOWENTHAL, Abraham F. (ed.), Exporting Democracy: The United States and Latin America, reviewed by Andrew Hurrell 464 M A S O N , Peter, Deconstructing America. Representations of the Other, reviewed by Gordon Brotherston 231 ECHEVARRI'A, Roberto Gonzalez, Myth and archive: A Theory of Latin American Narrative, reviewed by Gerald Martin 232 M A Y O , Carlos Alberto, Los Betlemitas en Buenos Aires: Convento, Economia y Sociedad, reviewed by Klaus Gallo 688 M A Z A M I Q U E L , Manuel, S. J., El alma del negocio y el negocio del alma: Testimonios sobre la Iglesiay la Sociedad en Cuba, 18/8-1894, reviewed by J o h n M. Kirk 693 M E L L E R , Patricio (ed.), The Latin American Development Debate: Neo- structuralism, Neomonetarism and Adjustment Processes, reviewed by Jose Miguel Albala-Bertrand 709 M E Y E R , Lorenzo, Su Majestad Britdnica contra la Revolucio'n Mexicana, 1900—19jo: El fin de un imperio informal, reviewed by Friedrich Schuler 694 M I T C H E L L , William P., Peasants on the Edge: Crop, Cult, and Crisis in the Andes, reviewed by Anthony Bebbington 724 M U N O Z , Heraldo and PORTALES, Carlos, Elusive Friendship: A Survey of US—Chilean Relations, reviewed by Alan Angell 469 N E L S O N , William Javier, Almost a Territory: America's Attempt to Annex the Dominican Republic, reviewed by Piero Gleijeses 208 OPATRNY, Josef, US Expansionism and Cuban Annexationism in the I8JOS, reviewed by Antoni Kapcia 213 PANIZZA, Francisco E., Uruguay: Batllismoy despue's: Pacheco, militaresy tupamaros en la crisis del Uruguay batllista, reviewed by Alan Angell 224 PAREDES, Carlos E. and SACHS, Jeffrey D . , Peru's Path to Recovery: A plan for economic stabilisation and growth, reviewed by Raul Hopkins 720 P A R K I N , Vincent, Chronic inflation in an industrialising economy: The Brazilian experience, reviewed by Eliana Cardoso 451 PECAUT, Daniel et SORJ, Bernardo (eds.), Metamorphoses de la representation politique au Bre'sil et en Europe, reviewed by Christian Anglade 461 PELUPESSY, Wim (ed.), Perspectives on the Agro-Export Economy in Central America, reviewed by John Weeks 714 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022216X0002424X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core P H I L I P , George, The Presidency in Mexican Politics and G I L , Carlos B. (ed.), Hope and Frustration: Interviews with Leaders of Mexico's Political Opposition, reviewed by Jose Ramon Ldpez-Portillo 705 POITRAS, Guy, The Ordeal of Hegemony: The United States and Latin America, reviewed by Gordon Connell-Smith 212 Q U I J A D A , Monica, Aires de republica, aires de cruqada: la guerra civil espanola en Argentina, reviewed by Raanan Rein 444 R O E T T , Riordan, Mexico's External Relations in the 1990s, reviewed by Monica Serrano 466 R U C K , Rob, The Tropic of Baseball: Baseball in the Dominican Republic, reviewed by Rosario Espinal 463 SABATO, Hilda, Agrarian Capitalism and the World Market: Buenos Aires in the Pastoral Age, 1840—1890, reviewed by Paula Alonso 200 SACHS, Jeffrey D . (ed.), Developing Country Debt and Economic Performance: Country Studies - Argentina, Bolivia, Brazil, Mexico, Volume 2, reviewed by Ramiro Cavero Uriona 214 SAHOTA, Gian Singh, Poverty Theory and Policy: A Study of Panama, reviewed by Andrew Zimbalist 220 SALAS, Elisabeth, Soldaderas in the Mexican Military: Myth and History, reviewed by Monica Serrano 442 SAMPER, Mario, Generations of Settlers: Rural Households and Markets on the Costa Rican Frontier, i#;o-/pj;, reviewed by Elizabeth Dore 207 SANTAMARI'A, Daniel et al., Estructuras sociales y mentalidades en America Latina: Siglos XVIIy XVIII, reviewed by Thomas Whigham 194 SANTANA, Roberto, La question alimentaire en Ame'rique Latine: Mexique- Vene^uela-Equateur-Perou, reviewed by Solon Barraclough 216 SATER, William F., Chile and the United States: Empires in Conflict, reviewed by Alan Angell 469 SCHNEIDER, Ronald M., Order and Progress: A Political History of Brazil, • reviewed by Frank Colson 696 SCHWARTZ, Norman B., Forest Society: A Social History of Pete'n, Guatemala, reviewed by Linda A. Newson 441 S H I D L O , Gil, Social Policy in a Non-Democratic Regime: The Case of Public Housing in Brazil, reviewed by Peter M. Ward 229 SHUMWAY, Nicolas, The Invention of Argentina, reviewed by Jeremy Adelman 470 S M I T H , Carol A. (ed.), Guatemalan Indians and the State, 1J40 to 1988, reviewed by Richard Wilson 204 S M I T H , Wayne S. (ed.), Towards Resolution? The Falklands/Malvinas Dispute, reviewed by Peter Beck 704 S M I T H , William C , Authoritarianism and the Crisis of the Argentine Political Economy, reviewed by Varun Sahni 222 SOTO, Shirlene, Emergence of the Modern Mexican Woman: Her Participation in Revolution and Struggle for Equality 1910-1940, reviewed by Sylvia Chant 210 W I L L I A M S , Glyn, The Welsh in Patagonia: The State and the Ethnic Community, reviewed by Colin M. Lewis 211 STROMQUIST, Nelly P. (ed.), Women and Education in Latin America: Knowledge, Power and Change, reviewed by Susanne Szabo 732 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022216X0002424X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:23, subject to the Cambridge https://www.cambridge.org/core/terms https://doi.org/10.1017/S0022216X0002424X https://www.cambridge.org/core TASSO, Alberto, Aventura, trabajo y poder: Sirios y libaneses en Santiago del Estero 1880-1980, reviewed by Ignacio Klich 446 T H O R P , Rosemary, Economic Management and Economic Development in Peru and Colombia, reviewed by Roger Sandilands 710 T O R R E , Juan Carlos, La vieja guardia sindicaly Pero'n. Sobre los origines del peronismo, reviewed by Celia Szusterman 685 T U L C H I N , Joseph S. and RUDMAN, Andrew I. (eds.), Economic Development and Environmental Protection in Latin America, reviewed by Michael Redclift 729 TWOMEY, Michael J. and H E L W E G E , Ann (eds.), Modernisation and Stagnation: Latin American Agriculture into the 1990s, reviewed by J o h n Weeks 708 V E G A , Bernardo, Trujillo y el Control Financiero Norteamericano, reviewed by Piero Gleijeses 208 VERNOOY, Ronnie et al. (eds.) £ Cdmo vamos a sobrevivir nosotros? Aspectos de las pequenas economias y autonomia de la Costa Caribe de Nicaragua, reviewed by Peter Sollis 716 W A R D , Peter, Mexico City: The production and reproduction of an urban environment, reviewed by Susan Eckstein 454 W I C K H A M - C R O W L E Y , Timothy P., Exploring Revolution: Essays on Latin American Insurgency and Revolutionary Theory, reviewed by Ian Roxborough 458 W I G H T M A N , Ann M., Indigenous Migration and Social Change: The Forasteros of Cu^co, 1/20—1720, reviewed by David Cahill 193 W I L S O N , Fiona, Sweaters: Gender, Class and Workshop-Based Industry in Mexico, reviewed by Sylvia Chant 717 W R I G H T , Winthrop R., Cafe con leche: Race, Class and National Image in Venezuela, reviewed by Steve Ellner 227 Wu, Celia, Generals and Diplomats: Great Britain and Peru, 1820-40, reviewed by Rory Miller 440 W Y N I A , Gary W., The Politics of Latin American Development, reviewed by Gerald Martin 226 ZAGORSKI, Paul W., Democracy vs. National Security: Civil-Military Relations in Latin America, reviewed by Virginia Gamba-Stonehouse 700 ZIMBALIST, Andrew and W E E K S , John, Panama at the Crossroads: Economic Development and Political Change in the Twentieth Century, reviewed by John Major 715 ZIMBALIST, Andrew and BRUNDENIUS, Claes, The Cuban Economy: Measurement and Analysis of Socialist Performance, reviewed by Valpy Fitzgerald 721 Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0022216X0002424X Downloaded from https://www.cambridge.org/core. 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work_s5edsnubwvebxhid6quupioa6a	----	Film Music on Records (As of July, 1951) | Film Quarterly | University of California Press Skip to Main Content Close UCPRESS ABOUT US BLOG SUPPORT US CONTACT US Search search input Search input auto suggest search filter All Content Film Quarterly Search User Tools Register Carnegie Mellon University Carnegie Mellon University Sign In Toggle MenuMenu Content Recent Content Browse Issues All Content Purchase Alerts Submit Info For Authors Librarians Advertisers Reprints & Permissions About Journal Editorial Team Contact Us Skip Nav Destination Article Navigation Close mobile search navigation Article navigation Volume 6, Issue 1 Autumn 1951 This article was originally published in Hollywood Quarterly Previous Article Next Article Article Navigation Research Article| October 01 1951 Film Music on Records (As of July, 1951) Gerald Pratley Gerald Pratley Search for other works by this author on: This Site PubMed Google Scholar Hollywood Quarterly (1951) 6 (1): 73–97. https://doi.org/10.2307/1209937 Split-Screen Views Icon Views Article contents Figures & tables Video Audio Supplementary Data PDF LinkPDF Share Icon Share Facebook Twitter LinkedIn Email Guest Access Tools Icon Tools Get Permissions Cite Icon Cite Search Site Citation Gerald Pratley; Film Music on Records (As of July, 1951). Hollywood Quarterly 1 October 1951; 6 (1): 73–97. doi: https://doi.org/10.2307/1209937 Download citation file: Ris (Zotero) Reference Manager EasyBib Bookends Mendeley Papers EndNote RefWorks BibTex toolbar search Search search input Search input auto suggest search filter All Content Film Quarterly Search This content is only available via PDF. Article PDF first page preview Close Modal Send Email Recipient(s) will receive an email with a link to 'Film Music on Records (As of July, 1951)' and will not need an account to access the content. *Your Name: *Your Email Address: CC: *Recipient 1: Recipient 2: Recipient 3: Recipient 4: Recipient 5: Subject: Film Music on Records (As of July, 1951) Optional Message: (Optional message may have a maximum of 1000 characters.) Submit × Citing articles via Google Scholar CrossRef Latest Most Read Most Cited Pixels, Police, and Batons: Hong Kong Cinema, Digital Media, the 2019 Protests, and Beyond Review: Mary Ellen Bute: Pioneer Animator, by Kit Smyth Basquin Review: Everyday Movies: Portable Film Projectors and the Transformation of American Culture, by Haidee Watson Review: Making Worlds: Affect and Collectivity in Contemporary European Cinema, by Claudia Breger Review: Women in the Irish Film Industry: Stories and Storytellers, edited by Susan Liddy Email alerts Article Activity Alert Latest Issue Alert Close Modal Recent Content Browse Issues All Content Purchase Alerts Submit Info for Authors Info for Librarians Info for Advertisers About Editorial Team Contact Us Online ISSN 1533-8630 Print ISSN 0015-1386 Copyright © 2021 Stay Informed Sign up for eNews Twitter Facebook Instagram YouTube LinkedIn Visit the UC Press Blog Disciplines Ancient World Anthropology Art Communication Criminology & Criminal Justice Film & Media Studies Food & Wine History Music Psychology Religion Sociology Browse All Disciplines Courses Browse All Courses Products Books Journals Resources Book Authors Booksellers Instructions Journal Authors Journal Editors Librarians Media & Journalists Support Us Endowments Membership Planned Giving Supporters About UC Press Careers Location Press Releases Seasonal Catalog Contact Us Acquisitions Editors Customer Service Exam/Desk Requests Media Inquiries Print-Disability Rights & Permissions Royalties UC Press Foundation © Copyright 2021 by the Regents of the University of California. All rights reserved. Privacy policy   Accessibility Close Modal Close Modal This Feature Is Available To Subscribers Only Sign In or Create an Account Close Modal Close Modal This site uses cookies. By continuing to use our website, you are agreeing to our privacy policy. Accept 
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work_sa44krunxfglbojt65duzdtnnq	----	University of Birmingham A shape which represents an eternity of riddles Noxolo, Patricia DOI: 10.1177/1474474015593389 License: None: All rights reserved Document Version Peer reviewed version Citation for published version (Harvard): Noxolo, P 2015, 'A shape which represents an eternity of riddles: fractals and scale in the work of Wilson Harris', Cultural Geographies. https://doi.org/10.1177/1474474015593389 Link to publication on Research at Birmingham portal General rights Unless a licence is specified above, all rights (including copyright and moral rights) in this document are retained by the authors and/or the copyright holders. 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Apr. 2021 https://doi.org/10.1177/1474474015593389 https://research.birmingham.ac.uk/portal/en/persons/patricia-noxolo(57dcae36-72ad-486c-bd95-e201d029322f).html https://research.birmingham.ac.uk/portal/en/publications/a-shape-which-represents-an-eternity-of-riddles(aa52a5cc-c5cc-48ad-8702-ab07898efcf8).html https://research.birmingham.ac.uk/portal/en/journals/cultural-geographies(3ca04685-fb2a-4878-8f18-a589322c5527)/publications.html https://doi.org/10.1177/1474474015593389 https://research.birmingham.ac.uk/portal/en/publications/a-shape-which-represents-an-eternity-of-riddles(aa52a5cc-c5cc-48ad-8702-ab07898efcf8).html For Peer R eview A shape which represents an eternity of riddles: fractals and scale in the work of Wilson Harris Journal: cultural geographies Manuscript ID: CGJ-14-0099.R2 Manuscript Type: Article Keywords: fractals, scale, Wilson Harris, materiality, aesthetics Abstract: This paper undertakes a geographical investigation of the potential application of the concept of fractals to Wilson Harris’s understanding of the relationships between language and landscape. Alan Riach , briefly describing a fractal as “an irregular action or shape, such as a cloud or a coastline…”, has famously argued that Harris’s poetry and prose (his work notoriously blurs this boundary) “…is caught up by the shifting fractals of political energy on a global stage…” Retracing this essentially metaphorical use of the term fractal back through its physical geography routes, the paper begins by briefly exploring the complex meanings of the term as it is used to describe dynamic geomorphological processes, particularly the changing shapes of coastlines and rivers. Bringing this into relationship with Wilson Harris’s most recent work The Ghost of Memory, as well as his own commentaries on his work as a whole, the paper argues that the application of the adjective “fractal” specifically to landscape as it is described in Harris’s work is not purely metaphorical, but usefully describes the conditions for the relationships between language and landscape that Harris has spent a lifetime expressing. This tentative and contested geographical understanding of natural features of the environment as in this way not static but “in constant motion and unfinished” can therefore form the beginning of an understanding of Harris’s critique of environmental degradation as disconnection. The paper will end by briefly exploring the potential value of Harris’s work in relation to literature and spatiality. http://mc.manuscriptcentral.com/culturalgeog cultural geographies For Peer R eview A shape which represents an eternity of riddles: fractals and scale in the work of Wilson Harris Abstract This paper undertakes a geographical investigation of the potential application of the concept of fractals to Wilson Harris’s understanding of the relationships between language and landscape. Alan Riach 1 , briefly describing a fractal as “an irregular action or shape, such as a cloud or a coastline…”, has famously argued that Harris’s poetry and prose (his work notoriously blurs this boundary) “…is caught up by the shifting fractals of political energy on a global stage…” Retracing this essentially metaphorical use of the term fractal back through its physical geography routes, the paper begins by briefly exploring the complex meanings of the term as it is used to describe dynamic geomorphological processes, particularly the changing shapes of coastlines and rivers. Bringing this into relationship with Wilson Harris’s most recent work The Ghost of Memory, as well as his own commentaries on his work as a whole, the paper argues that the application of the adjective “fractal” specifically to landscape as it is described in Harris’s work is not purely metaphorical, but usefully describes the conditions for the relationships between language and landscape that Harris has spent a lifetime expressing. This tentative and contested geographical understanding of natural features of the environment as in this way not static but “in constant motion and unfinished” 2 can therefore form the beginning of an understanding of Harris’s critique of environmental degradation as disconnection. The paper will end by briefly exploring the potential value of Harris’s work in relation to literature and spatiality. Keywords: Fractals; scale; Wilson Harris; environment; aesthetics; materiality Page 1 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview A shape which represents an eternity of riddles: fractals and scale in the work of Wilson Harris Introduction The distinguished career of Wilson Harris as a poet, novelist and literary critic has deservedly received much comment amongst those interested in Caribbean literature 3 4 5 . However it is the enduring impact on his writing of Harris’s pre-literary background as a hydrographic surveyor who led research expeditions into the Guyanese interior that makes his work particularly interesting in relation to the ongoing dialogue between geography and literary studies. Harris’s formulation of a “living text landscape”, which is a recurring element of his work, developed out of this distinctively physical and mathematical engagement with landscape: “As a surveyor one is involved in mathematical disciplines, and astronomy… I sensed, as a surveyor, that the landscape possessed resonance. The landscape possessed a life, because the landscape for me is like an open book, and the alphabet with which one worked was all around me.” 6 In terms of its “living” element, this view of landscape as active rather than passive is very familiar to physical geographers and other earth scientists, who are concerned on a daily basis with geomorphological processes, or the ways in which landscapes change over time. That there has been and continues to be movement in the seemingly still landscape, albeit slow enough to sometimes be appreciable only over millennia – mountains rising, valleys being carved out, continents shifting – is an experience of landscape that is part of the surveyor’s trade. Page 2 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview Harris brings this awareness into his literary writing as a multi-scalar recognition of restlessness that is textual only in a very physical sense. For example, Harris explains that when he goes back to Guyana, he remembers his 1930s boyhood, when he used to go swimming near the Fort in Georgetown. He reflects that by the 1960s the sea had receded in this spot by six or seven feet, so that there was now dry land in the exact place where he used to swim. Hence thirty years later, if he imagines that child swimming in exactly the same place, what he sees is the ghost of a child “swimming in dry land” 7 . For Harris, this moving physical landscape is a “landscape of the imagination”: it is a text that can be read by humans who partake in the earth’s creativity. Harris’s work could be typified then overall as a career-long meditation on the spatial dynamism of the Caribbean, in both its human and its physical aspects. It combines reflections on ancient Amerindian concepts and language forms (for example the bone flute), which articulate with European, African and Asian postcolonial cultural forms (such as Haitian vodun dance and Greek mythology). However all of these encounters happen through a creative literary imagination that Harris insists is integral to the physicality of the landscapes of the Guyanese interior. For this reason Harris extends Jung’s concept of “collective unconscious” into the notion of a “universal unconscious”, which determinedly combines human and physical, psychic/spiritual and material, in a multi-lingual, multi-script textuality: "universal unconscious" encompasses living landscapes as well as the human psyche, the implicit eloquence in the shape of rocks, the markings on rocks made by fire and water, messages or hieroglyphs left by ancient cultures. Some Page 3 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview of these hieroglyphs are untranslatable but they are a ceaseless spur to the human imagination to discern priorities to human discourse. The tree that seems voiceless whispers not only in its leaves but within an invisible orchestra or carbon attunement between wood and element. Not to speak of the inner horizons in which is a kind of book in parallel with the growth and decline of civilizations 8 . This deliberate conjoining of expressions of the human imagination with the shaping of rocks caused by geomorphologic processes, alongside countless elemental and temporal affinities between the physical and the human, speaks of a universe in which spiritual and material, “word and world” 9 [9 670] are not separate but operate as repetitions or patterning within one shared dynamic. Due to this patterning within complexity – this “shape which represents an eternity of riddles” 10 - I argue that the relationships between human history, aesthetics and corporeality in Harris’s work can be understood through the concepts of fractals and scalar abstraction. This paper undertakes a geographical investigation of the potential application of the concepts of fractals and scalar abstraction to Wilson Harris’s vision of connectedness. The paper will begin by exploring the notion of fractals as it is used in geography, specifically in relation to scale and scalar abstraction. In this section fractals will be understood as putting into place a notion of complexity with patterning, which leaves space for both integration and differentiation of the human, the environmental and the aesthetic. It will then offer examples of how scalar abstraction can usefully be deployed in relation to Wilson Harris’s work, drawing on and extending Alan Riach’s concept of “fractal poetics”. The article will conclude with a brief exploration of the possible implications of deepening and extending ongoing dialogues between Page 4 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview geographical and literary studies, by applying a wider range of geographical concepts to literary works. Fractals and scaling: an eternity of riddles The concept of fractals is employed in a range of disciplines and its usage is linked to an engagement with features of the environment that are too unpredictable or ephemeral to be subject to fixed or straightforward rules. For example, Benoit Mandelbrot 11 classically introduced fractal geometry through the question “How long is the coast of Britain?” Eglash 12 neatly explains the understanding of fractal geometry that comes out of this question: “Fractals are characterised by the repetition of similar patterns at ever-diminishing scales… If you look at the coastline of a continent… you will see a jagged shape, and if you look at a small piece of that coastline… we continue to see similar jaggedness.” It therefore becomes impossible to finally determine the length of the coastline of Britain: fractals reveal an infinite repetition of jaggedness at smaller and smaller scales. Fractals can therefore be understood primarily as a way of revealing and approaching complexity. In geography fractals have become a way of measuring and recognising scale – scalar abstraction or parameterization 13 . That is to say, in highly complex natural systems that change in shape over time, fractal measurements allow geographers to recognise repetition or patterning of similar irregular shapes at closer and closer proximity, within what appears to be a totally unpredictable shifting irregularity. The first point about fractals and scale then, is that in a phenomenon with a fractal dimension (i.e. a degree of self-similarity at a range of scales), whether it be a river network 14 [14] or urban design 1516 , or indeed textile design 17 , one is able to perceive similar irregular Page 5 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview patterns repeated almost irrespective of one’s proximity to or distance from it: in other words fractals mean that “the spatial behaviour or appearance of a system is largely independent of scale” 18 . This scalar self-similarity within a shifting complexity will be important in looking at Harris’s work in the next section: Harris describes a complex and dynamic, but fundamentally connected, universe. In both physical and human geography, scale itself is understood in increasingly relative, rather than absolute terms 19 , less as fixed or inevitable and more as produced 20 through socio-political, economic or geomorphic processes 21 . The second point about fractals and scale in geography then, is that self-similarity of fractal patterns within a system can therefore allow geographers to engage in exercises of scalar abstraction that can form a basis for investigation of these underlying geomorphological or socio-political processes: “the examination of the fractal dimension is useful for separating scales of variation that might be the result of natural processes” 22 . It is worth highlighting the caution in this remark: observable fractal patterning is only an indicator of possible regularities within dynamic processes that are less easy to observe. There is always room for randomness. As Phillips 23 observes in relation to river networks: The fractal dimension can be said to derive from fundamental physical properties of fluvial systems only to the extent that randomness is an inherent component of fluvial process-response relationships. Topological or geometric morphometric parameters do not necessarily have direct interpretation in terms of processes or mechanics. Page 6 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview Again, the contingency of scalar relationships must be kept firmly located in the context of the irreducible complexity of dynamic processes: the “fractal poetics” 24 [1] of Harris’s work does not describe a fixed or mechanistic universe. The third point about fractals is that they can also indicate temporal scales, not just spatial ones: “Fractals can scale along different dimensions, specifically the spatial or geometric but also through time…” 25 . In other words, one may see self-similar irregular patterns of change if one looks at a time-series of a system with a fractal dimension over a week or over a year or over a century, such as the movement of prices in a stock market; equally one can see self-similar patterning repeated over a range of spatio-temporal scales, as with the growth of cities over time and space 26 . Temporal scaling is an important consideration in terms of deploying fractal analyses in literature. There is an established history of using fractals, in terms of repeated patterns over a range of spatial or geometric scales, in visual arts and design, particularly in computer-aided design and simulation 27 . Beyond this Eglash 28 for example, has noted that fractals are an ages-old element of African visual aesthetics, whilst fractals have been identified as an important element of classic European architectural design 29 . The deployment of fractal approaches in textual, rather than visual, aesthetics calls attention to scaling over time as much as over space. This potentially has several effects: it stimulates non-linear approaches to thematic development; it suggests a range of possibilities for identifying forms of self- similarity in narrative form; and it raises intriguing questions about the textual processes that might lead to self-similarity at a range of scales. Page 7 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview The next section briefly draws out illustrations of scalar abstraction from Harris’s work, in an attempt to develop some of these issues further, and the conclusion suggests other possible ways forward for using scalar abstraction and other geographical tools in literary studies. Spatial scaling: body, landscape, aesthetics In Wilson Harris’s 30 most recent novel The Ghost of Memory, the principal character (who is unnamed) is shot as a terrorist and falls “from a great height” into a painting on a gallery wall. This fallen character converses with Christopher Columbus, another character who comes to see the painting every day, about the role of the unconscious in art and life. Though the premise may sound rather esoteric and ethereal, this remains a very sensual novel about direct connections between the physical, the spiritual and the aesthetic. For example, the main character reflects on his injury in solidly corporeal terms, repeatedly linking the wound in his body with environmental hazards: “The wound I had received had made me more sensitive than ever, not only to my limbs, back, body, but to millions who had perished instantly in volcanoes and earthquakes. I was a phantom assembly in the canvas of space sharing a knowledge of the devastations of Nature that bring us back to the fleeting origins of creation within/without ourselves.” 31 This passage is illustrative of the insistence on connection in the novel, with a shared capacity for creation and expression that links bodies, environments, and aesthetics in a shared system. Intriguingly this connection points directly beyond the novel itself to the world inhabited by the reader, hinting that not only might the Christopher Columbus in the novel be read as the historical explorer, but also that the unnamed Page 8 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview character in the novel might be identified with Jean Charles de Menezes, the young Brazilian man who was shot by the police in London in July 2005, after being mistaken for a terrorist suspect: This remark of his – all the materials one is given to wear – made me conscious all at once of how I had been mistaken for and shot as a terrorist! I had lost my passport and had felt a tide of anxiety rise within me when the armed police approached me. I was South American, Venezuelan/Brazilian. I knew I would be sent away from the City…. I was ridden by anxieties. 323334 . This is not of course meant to be taken literally 35 : it is a work of the creative imagination. However it does push the reader towards a sense of direct connection with the novel as a work of art, rather than a disinterested sense of spectacle. From the repetition of this capacity Harris abstracts a distinctly spatial scalar association, which he calls the “ladder of space” 36 . He pictures this in the novel as a ladder within the painting, stretching between earth and heaven, and which the character climbs to seek “the height of a solidity of feelings in Art” 37 . As the italics suggest, the notion of height is not incidental here, and links to a notion of scale in which height gives a distance that allows a sense of the larger scale, with all its connections laid out in their solidity, in this case the connections between art, environments and living bodies. In abstracting these spatial scales, Harris employs the artistic work, the natural world and the human body as different positions of proximity and distance from which this capacity can be seen. For example in the artwork, both the spectators and the character in the painting are able to experience this capacity from their different Page 9 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview vantage points: “they (the spectators) stood in the painting on the huge wall in the gallery on which the canvas was laid. I called on them silently to feel what was happening to me – as it was happening to them whether they knew it or not…” 38 . Again in the physical environment, which is itself inside a painting, both the creatures inhabiting the environment and the narrator experience this shared capacity of indwelling: ditches sparkling with diamonds that turned into a shining fish… drowning in air. It had jumped to the River but had been caught in a net. It fluttered like a living machine… Such is a work of Art. Caught like me.” 39 Finally from the vantage point of the living and dying body, Harris explains the importance of being able to understand this capacity, this indwelling of the aesthetic and spiritual in the physical: We are born and re-born within and beyond ourselves. We may care for our parents when they are ill… But the change that has happened in us means a new orientation in which we become virtually parentless. We need a wider and deeper relationship in which to employ ourselves 40 . This ‘wider and deeper relationship’ is not restricted to genetic heritage (with its racialized and essentialised violences), but is found within the relationships of the human body with other bodies (human and animal), with the landscape and with the aesthetic. In turn, these wider relationships, more decisive than they are definitive 41 , are revealed in the novel through processes of fractal repetition and their attendant scalar abstractions. In abstracting such a diverse scalar association it is clear that Harris is not dealing with a realist spatial continuum that might run from local to regional to global for Page 10 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview example. These scales are not differentiated by physical size necessarily – they do not simply “nest” one inside the other like Russian dolls. This has two implications. First, Harris’s vision in Ghost of Memory may be seen as scaling across different orders of materiality 4243 that associate one with another through the shared universal unconscious that produces this shared capacity. In this sense, though it is saturated with worldliness in its references and implications, this scaling is a pure abstraction: it is created through recognition of the particularity of this shared creative and expressive capacity and the universal unconscious that makes for its repetition. Crucially, it does not assume any other uniformity – the corporeal, the environmental and the aesthetic are not collapsed one into the other. They continue to be diverse and dynamic even though they are connected. Second, this scalar abstraction need not be understood as subject to the rigid hierarchies for which the concept of scale has often been criticised 4445 – Harris recognises self-similarity between the corporeal, the environmental and the aesthetic as scales at which creative and expressive capacity are experienced, without offering a necessary hierarchy of size or level between them. I want to insist that what I am calling a process of abstraction in Harris’s work is nonetheless scalar rather than simply serial, i.e. that Harris is not just noticing similarity in a series of unconnected spheres. When the main character (who shifts continuously between his different states as character in this novel, as figure in a painting, and as a real person shot as a terrorist) experiences the indwelling of creative capacity, he recognises himself as located within landscape, within the aesthetic domain and within the domain of the living. Crucially, he is always located within each – it is only their priority, their relative proximity to the individual one might say, that changes. So these relationships Page 11 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview are much more scalar than serial, though dynamically so – the corporeal, the aesthetic and the environmental are nested one within the other, but they shift constantly in terms of which is nested within which. This shifting prioritisation within a diverse and dynamic universe brings us closer to Riach’s 46 understanding of Harris’s “fractal poetics”, in which he uses the concept of fractals as a metaphor for the restless creative force in Harris’s writing. Riach argues that Harris “…is caught up by the shifting fractals of political energy on a global stage…” 47 . Because of the shape-shifting dynamic of his imagination, Harris’s work is able to deal with the multiple landscapes, aesthetics and histories of the Caribbean and beyond, without ever resolving them into one over-riding explanatory dynamic or outcome. The work therefore expresses a constant state of becoming that can elicit fear, but can also be a source of hope: “The ambivalent nature of fractal movement, creating substance and dissolving it, may as easily lead to the presence of actual angels as to the relentless pursuit of the furies” 48 . It is worth pressing this point slightly further before continuing with the analysis. By talking about Riach’s use of fractals as metaphorical, and suggesting that the concept of fractals could be used in relation to scalar patterning within the text, there is of course no intention to suggest that metaphor is either static or outdated. As Riach amply shows here, metaphor is enormously productive, creating meaning through striking transferences, and representing deeper resemblances that vibrate in their unexpected truth 49 . What the present analysis suggests is that when fractals are used as a geographical tool, to identify self-similarity at a range of scales in the novel, they do something other (not more) than the metaphorical. To identify scalar relations Page 12 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview within the novel is ultimately to deploy what might properly be termed a geographical mode of analysis in order to recognise patterns that are already present within the text. In this sense, using scalar abstraction in this way is not so much literary as literal, in that it brings out the material or “‘thingy’ reality” of the novel, which is a combination of patterns in the text that we perceive sensually, interacting with the meanings of the words that we more readily understand 50 . In the next section, through an analysis of temporal scaling, this article addresses the well-known metafictional elements of Harris’s work, in which the work extends outwards to incorporate the writer and the reader. Temporal scales: fragments/shifts in the stream of time In the temporal dimension, Harris’s work scales through the temporality of creativity. The structure of Ghost of Memory refuses linearity, a simple narrative of beginning to end. So the novel begins with the realisation: “I had been shot. A bullet in my back… I fell from a great height, it seemed, into a painting in a gallery in a great City… I had been shot because I was deemed to be a terrorist.” 51 . Chapter after chapter there are encounters and dialogues, between the character and Christopher Columbus, with Tiresias the blind seer, with a troupe of actors putting on a play that is linked with the painting etc. As a direct result of each of these encounters, the revelation of connection - between the character’s wounding and larger massacres, between violence and environmental change for example – is made repeatedly, and then at the end of the book the character experiences the same revelation again, as if for the first time, from a comment made by Christopher Columbus: “This remark of his – the material one is given to wear – made me conscious at once of how I had been mistaken for and shot as a terrorist.” 52 . This repetitive structure does not stop time in the book – there is a sense of time passing day by day, and ultimately the mounting Page 13 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview frustration of Columbus with these encounters leads sequentially to his destruction of the painting in the final pages – but the repetition makes the linearity of time relatively insignificant in comparison with the eruptions of revelation that come out of dialogue between characters. This repetitive revelation through interaction between characters links back to some of Harris’s earlier literary criticism, in which he says that his characters are to be seen as an ensemble expressing a complex shared capacity – they are “related within a personal capacity which works in a poetic and serial way so that a strange jigsaw is set in motion like a mysterious unity of animal and other substitutes within the person.” 53 . It is in their interaction, time after time, that characters repeatedly reveal the contours or shape of the shared capacity that I am suggesting is the fractal repetition from which Harris abstracts scale. As his nameless character puts it, in the context of Columbus’s angry accusation that he is limited 54 : “That is why I seek new shapes – not just for their novelty but as a way of approaching what is insoluble yet may be real. The approach of an open Mind which evolves – if I may so put it – through fragments, through shifts, in the stream of time.” Each individual is partial in their view of this capacity, “bowled over in the rapids of history” 55 , but through interaction each individual can open up beyond their limitations, and perceive historical shifts that are more subtle than the all-or-nothing sequential movement from one civilisational epoch to the next. Although the temporality of the narrative reveals the repetitive and non-linear insertion of these encounters and revelations, it is the nested and shifting temporalities of creativity that show their scalar patterning. Within the novel, the nameless Page 14 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview character understands himself, during a conversation with another character from the painting he is in, as moved by the same creative force that drove the artist who painted him, so that he is capable of influencing the artist’s actions in painting him 56 : I knew – as a quantum creature in a quantum creation – that I possessed a peculiar independence and was capable of turning on him and making him paint differently as if I myself were involved in the arts of creation – involved in an involuntary force of the unconscious beyond myself and within myself. So the moment of creative impulse within the painted character turns back onto the moment of artistic creation through painting, not following it sequentially but connecting with it as self-similarity. At a larger temporal scale, Harris has described a repetitive tradition of creativity in the writing of novels, in which the same creative impulse writes both the characters and the author. Harris has famously critiqued the literacy of “block functions” 57 by which people are forced into a narrow range of instrumental ways of reading and writing, linked to the realist narratives of government and productivity. He suggests that there are other forms of creative literacy that draw on the “unpredictable movement of consciousness-in-unconsciousness” 58 , i.e. on the capacity to think beyond these realist narratives to the capacity for universal consciousness. For example, he argues that a writer who is alive to this capacity may find in drafts and redrafts of his/her own work a literacy of the imagination, finding myths that “lie like fossils in the ancient past, that come alive within his (sic) own work so that the substance of tradition…begins to re-enact itself…” 59 . Page 15 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview Beyond this, Harris goes so far as to say that, in a dynamic relationship between scales, this same pattern of creativity as kinship repeats so that “The characters create the writer as well” 60 (83). Jonestown 61 begins with a letter from the main character, Francisco Bone, to the author, in which Bone commissions Harris to edit the book that he (Bone) has written. Beyond this Riach 62 tells the story of a lecture given by Harris, in which the novelist says that one of his characters, Aunt Alicia, has torn up his lecture and told him to “Speak out of your vulnerability. Speak from within the resources of your creative experience.” The effect of this awareness of connection between writer and characters is a sense of both creator and created having been and still being created by larger creative forces in nature and culture, and this shifting temporality (past and present merging and overlapping) brings a vulnerability to both author and reader, a sharp awareness of being both created and creator, a state of being that is constantly in process within dynamic environmental and cultural systems. Nielsen 63 , describing these nested and dynamic relationships, in which the creative moment scales outwards and inwards through time, says: “It is not a simple matter of denying "natures" to characters and their authors. With Harris it is, rather, a matter of writing the multiplicity of natures and writing as the production of nature.” Creativity in Harris’s work is therefore fractal in its irregular and complex temporality; its characters, as well as its author, are constantly and unpredictably redefining the contours and substance of this shared capacity for expression. On a yet wider temporal scale, Harris discusses cultural practices as a scaled repetition of awareness of connection over hundreds of years and across civilisations. In The Amerindian Legacy 64 , Harris discusses the history of conquest that runs through the Americas, arguing that this does not begin with the arrival of Europeans, Page 16 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview but that the Caribs were also conquerors of the Mayans before them. Harris argues that, as both conquerors and victims of conquest, the Caribs were peculiarly able to recognise at the moment of conquest the “necessary diversity and necessary unity” between people, and that this recognition has the potential to erode the conquistadorial character that has continued to plague humanity. He argues that this awareness of the presence of “alien cultures” within the self manifested itself in a range of cultural activities and reports of supernatural happenings around the time of European conquest: That new darkness or dawning renascence lay not simply in the ritual morsel of the enemy they devoured or the flute they fashioned from his bone, but from a sudden upsurge of bush-baby spectres which rose out of their cooking pots like wraiths of smoke or sparks of fire. Harris is clear however that he is not here arguing for the Caribs to be understood as guru ingénues, that stalwart of the European colonial imagination 65 . The Caribs, like the Europeans, were by no means always aware of this unity, so that when the Caribs were all but eradicated, they continued to reproduce conquistadorial themes, becoming mercenaries or policing the jungles on behalf of the Dutch and the English. Harris introduces this “renascence of sensibility” as equally capable of being accessed by all humanity, and as having been accessed by all humanity, at any of a range of temporal scales: the moment around the cooking pot, which is part of the period of established cultural ritual, which is part of the centuries of European colonialism, which is part of a much longer historical period of conquistadorial narratives, which itself is part of the longer period of “the clash of cultures and movements of peoples into the South Americas and the West Indies” 66 . Page 17 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview Harris abstracts this range of temporal scales from the repeated fractal re-emergence of this mode of consciousness, this capacity of the awareness of the other in the self. He begins with “This scale of the native as host consciousness” then reads “back through the shock of place and time for… thresholds of capacity that were latent…an art of subsistence of memory” 67 . He begins with the event of the bush-baby phenomenon, places this in the context of longer lasting cultural practices relevant to the Caribs in particular, such as the bone flute, then places these within a larger temporal scale that includes the enduring importance of cultural practices of vodun dance or hospitality. At each of these temporal scales, these cultural practices manifest this latent capacity for recognising the other in the self. It is by recognising the patterns of the emergence of the other in the self – these fragments or shifts in the stream of time – that creative alternatives to conquistadorial realist narratives can be discovered: “If one polarizes the world dreadfully, the oppressor and the oppressed, then one is no longer in a position to understand who the oppressor is… To understand that, one has to rehearse the implications.” 68 . Conclusion This paper has spent some time looking at the ways in which notions of scalar abstraction based on fractals can be deployed in the study of Wilson Harris’s work. This is a particular concept of scale, and a wide range of less measurable versions of scale are used routinely within geography 69 . Fractal scaling is used here precisely because of its specificity: it highlights dynamic, shifting relationships, but at the same time insists on a measurable self-similarity. In relation to Harris’s work this allows Page 18 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview one to insist on the partiality of self-similarity, that is, to see repetition and connection over time and space without a complete identification that would remove diversity and specificity. For Harris’s work, which insists on the necessity of avoiding absolutes specifically in order to see connections, this partiality is crucial: Absolutes, I feel, reinforce partialities until they conceal them from view. This has helped to promote genocides, holocausts. It promotes terrifying divides we cannot see between the conscious, the subconscious, the unconscious, between Brain and the Mind of love. 70 I am suggesting, then, that in deploying fractals and scalar abstraction in this study of literature, the notion of measurability can undergo a kind of “transformation” 71 in which the emphasis is on specificity and limitation in relation to themes. Certainly Harris’s training as a surveyor means that these concepts can be demonstrated as explicitly woven into his work as themes, and the writer urges the reader towards this transformation. It might be possible to deploy notions of fractals and scalar abstraction in relation to other writers, particularly in terms of exploring thematic development in non-linear ways, i.e. looking at how each part relates to the whole. Franco Moretti 72 for example has carried out this kind of work, re-presenting themes from literary history in a range of non-linear forms, such as maps or graphs. In terms of fractals, interesting questions then arise around what might be meant by self- similarity, and about the possibility of more direct “translations” 73 of the notion of measurability: it might be appropriate to use computerised and mathematical models for example, in order to capture meta-textual processes that might produce various measurable forms of self-similarity. Jerome McGann’s 74 work on digitisation and textuality for example suggests this possibility. Page 19 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview More broadly, this paper makes a contribution to the ongoing dialogue between literature and geography. Geographers have been exploring literature for some years, firstly in appreciation of the ability of creative fiction to eloquently express the experience of place 75 , and more recently in terms of the materialities of what is becoming known as the “text event” 76 , i.e. the located and mobile interactions between writer, text and reader 77 . Equally, students of literature have for some time been very aware of issues around migration, transnationality and globalisation 78 , drawing increasingly on complex spatial theory to explore changing experiences of space and place 79 . This paper suggests that, just as geographers have become aware that closer attention to literary techniques would allow more awareness of form rather than a simplistic focus on content alone, literary studies might be able to usefully deploy a wider range of geographical tools and techniques as it engages increasingly with material concerns, such as environmental change 80 and the effects of digital worlds on corporeality 81 . The application of geographical concepts to Harris’s work is an important staging point in this deepening dialogue because this work insistently challenges the boundaries between the textual and the material, and points repeatedly to the pressing contemporary issues that make it necessary to do so. Ultimately Harris’s work has a strong message about the role that the creative literary imagination can play within the world, if it remains alive to its connections with the materialities at the heart of contemporary global catastrophes, such as environmental destruction and global insecurity: Page 20 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview The destruction of the rainforests of the globe may seem remote to dwellers in cities. But we need imaginations that are sensitive to inner-city decay and the lungs of the globe orchestrated into forests and rivers and skies. We need to build afresh through the brokenness of our world….” 82 . Acknowledgements I would like to warmly acknowledge the helpful and supportive comments of the two anonymous reviewers. Notes 1 Riach, A., The presence of actual angels: the fractal poetics of Wilson Harris. Callaloo, 1995. 18(1): p. 35 2 Sparke, M., Book review symposium: Commentary 2: Acknowledging responsibility for space. Progress in Human Geography, 2007. 31: p. 398 3 Maes-Jelinek, H., Ulyssean Carnival: Epic Metamorphoses in Wilson Harris's Trilogy. Callaloo, 1995. 18(1): p. 45-58. 4 Adler, J.S., Exploring the Palace of the Peacock: Essays on Wilson Harris. 2003, Kingston: University of the West Indies Press. 5 Bundy, A., ed. Wilson Harris: The Unfinished Genesis of the Imagination. 1999, Routledge: London. 6 Harris, W., The music of living landscapes, in Selected Essays of Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London. p. 40 7 Harris, W., The Amerindian legacy, in Selected Essays of Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London, p. 174 8 Harris, quoted in Rowell, C.H. and W. Harris, An Interview with Wilson Harris. Callaloo, 1995. 18(1): p. 194. 9 Anderson, B. and D. Tolia-Kelly, Matter(s) in social and cultural geography. Geoforum, 2004. 35 p. 670. 10 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 100 11 Mandelbrot, B.B., How long is the coast of Britain? Statistical self-similarity and fractional dimension. Science, 1967. 156: p. 636. 12 Eglash, R., African Fractals: Modern Computing and Indigenous Design. 1999, New Brunswick: Rutgers University Press, pp. 4 and 14 13 De Cola, L. and N.S.-N. Lam, Introduction to fractals in Geography, in Fractals in Geography, N.S.-N. Lam and L. De Cola, Editors. 2002, The Blackburn Press: Caldwell. p. 3-23. 14 Phillips, J.D., Interpreting the fractal dimension of river networks, in Fractals in Geography, N.S.-N. Lam and L. De Cola, Editors. 2002, The Blackburn Press: Caldwell. p. 142-158. 15 Batty, M., Cities and Complexity: Understanding Cities with Cellular Automata, Agent-based Models, and Fractals. 2005, Cambridge, Massachusetts: The MIT Press. 16 Crompton, A., The fractal nature of the everyday environment. Environment and Planning B: Planning and Design, 2001. 28(2): p. 243 - 254. 17 Eglash, R., African Fractals: Modern Computing and Indigenous Design. 1999, New Brunswick: Rutgers University Press, pp. 4 and 14 18 Burrough, P.A., Fractals and geostatistical methods in Landscape Studies, in Fractals in Geography, N.S.-N. Lam and L. De Cola, Editors. 2002, The Blackburn Press: Caldwell. p. 89 19 Meentemeyer, V., Geographical perspectives of space, time, and scale. Landscape Ecology, 1989. 3(3/4): p. 163-173. 20 Marston, S., J.P.I. Jones, and K. Woodward, Human Geography without scale. Transactions of the Institute of British Geographers, 2005. 30: p. 416-432. 21 Smith, N., Spaces of vulnerability: the space of flows and the politics of scale. Critique of Anthropology, 1996. 16: p. 63-77. Page 21 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview 22 De Cola, L. and N.S.-N. Lam, Introduction to fractals in Geography, in Fractals in Geography, N.S.-N. Lam and L. De Cola, Editors. 2002, The Blackburn Press: Caldwell. p. 5. 23 Phillips, J.D., Interpreting the fractal dimension of river networks, in Fractals in Geography, N.S.-N. Lam and L. De Cola, Editors. 2002, The Blackburn Press: Caldwell. p. 152. 24 Riach, A., The presence of actual angels: the fractal poetics of Wilson Harris. Callaloo, 1995. 18(1): p. 35 25 Batty, M., Cities and Complexity: Understanding Cities with Cellular Automata, Agent-based Models, and Fractals. 2005, Cambridge, Massachusetts: The MIT Press, p. 458 26 Batty, M., Cities and Complexity: Understanding Cities with Cellular Automata, Agent-based Models, and Fractals. 2005, Cambridge, Massachusetts: The MIT Press, p. 459 27 Clarke, K., One thousand Mount Everests?, in Fractals in Geography, N.S.-N. Lam and L. De Cola, Editors. 2002, The Blackburn Press: Caldwell. p. 265-282. 28 Eglash, R., African Fractals: Modern Computing and Indigenous Design. 1999, New Brunswick: Rutgers University Press 29 Crompton, A., Fractals and picturesque composition. Environment and Planning B: Planning and Design, 2002. 29(3): p. 451 - 459. 30 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 1 31 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 9 32 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 89 33 See also Noxolo, P., Freedom, fear and NGOs: balancing discourses of violence and humanity in securitising times, in Empire, Development and Colonialism: the Past in the Present, M. Duffield and V. Hewitt, Editors. 2009, James Currey: Woodbridge. p. 130-146. 34 At the time Harris would probably have been writing this it was generally believed that Mr de Menezes had run away from the police in panic and jumped the ticket barrier, prompting the police to believe he was behaving suspiciously. A subsequent IPCC inquiry has shown that he did not in fact do either of these things. See 24. Independent Police Complaints Commission, Stockwell Two: An investigation into complaints about the Metropolitan Police Service’s handling of public statements following the shooting of Jean Charles de Menezes on 22 July 2005. 2007, London: Independent Police Complaints Commission.. 35 See Author’s Note, Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. vii 36 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 17 37 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 9, author’s italics 38 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 10 39 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 2 40 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 28 41 Hall, S., When was the post-colonial? Thinking at the limit, in The Post-Colonial Question: Common Skies, Divided Horizons C. Ian and C. Liz, Editors. 1996, Routledge: London. p. 242-260. 42 Noxolo, P. and M. Preziuso, Moving matter: language in Caribbean literature as translation between dynamic forms of matter. Interventions: International Journal of Postcolonial Studies, 2012. 14(1): p. 120-135. 43 Hayles, N.K., Virtual Bodies and Flickering Signifiers. October, 1993. 66: p. 69-91. 44 Marston, S., J.P.I. Jones, and K. Woodward, Human Geography without scale. Transactions of the Institute of British Geographers, 2005. 30: p. 416-432. 45 Smith, N., Spaces of vulnerability: the space of flows and the politics of scale. Critique of Anthropology, 1996. 16: p. 63-77. 46 Riach, A., The presence of actual angels: the fractal poetics of Wilson Harris. Callaloo, 1995. 18(1), p. 1 47 Riach, A., The presence of actual angels: the fractal poetics of Wilson Harris. Callaloo, 1995. 18(1), p. 35 48 Riach, A., The presence of actual angels: the fractal poetics of Wilson Harris. Callaloo, 1995. 18(1), p. 39 49 Noxolo, P., P. Raghuram, and C. Madge, 'Geography is pregnant' and 'Geography's milk is flowing': metaphors for a postcolonial discipline? Environment and Planning D: Society and Space, 2008. 26: p. 146-168. 50 Ricoeur, P., The Rule of Metaphor: the Creation of Meaning in Language. 2003, London: Routledge, p. 266 51 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, pp. 1-2 52 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 89 53 Harris, W., Tradition, the Writer and Society: Critical Essays. 1967, London: New Beacon, p. 38 Page 22 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 For Peer R eview 54 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 52 55 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 99 56 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 84 57 Harris, W., Literacy and the imagination - a talk, in Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London. p. 84. 58 Harris, W., Literacy and the imagination - a talk, in Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London. p.83. 59 Harris, W., Literacy and the imagination - a talk, in Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London. p. 80 60 Harris, W., Literacy and the imagination - a talk, in Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London. p. 83. 61 Harris, W., Jonestown. 1996, London: Faber and Faber. 62 Riach, A., The presence of actual angels: the fractal poetics of Wilson Harris. Callaloo, 1995. 18(1), p. 35 63 Nielsen, A.L., "Hieroglyphics of Space": Wilson Harris in "The Waiting Room". Callaloo, 1995. 18(1): p. 126. 64 Harris, W., The Amerindian legacy, in Selected Essays of Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London, 169 65 Achebe, C., Hopes and Impediments: Selected Essays 1965-87. 1988, Ibadan: Heinemann. 66 Harris, W., The Amerindian legacy, in Selected Essays of Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London, 171 67 Harris, W., The Amerindian legacy, in Selected Essays of Wilson Harris: The Unfinished Genesis of the Imagination, A. Bundy, Editor. 1999, Routledge: London, 170-1 68 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 85 69 Ruddell, D. and E. Wentz, Multi-tasking: Scale in Geography. Geography Compass, 2009. 3(2): p. 681-697. 70 Harris, W., The Ghost of Memory. 2006, London: Faber and Faber, p. 52; emphasis in original. 71 Beer, G., Translation or transformation: the relations of literature and science. Notes and Records of the Royal society, 1990. 44: p. 81-99. 72 Moretti, F., Graphs, Maps, Trees: Abstract Models for Literary History. 2007, London: Verso. 73 Beer, G., Translation or transformation: the relations of literature and science. Notes and Records of the Royal society, 1990. 44: p. 81-99. 74 McGann, J., Radiant Textuality: Literature After the World Wide Web. 2001, Basingstoke: Palgrave. 75 Brosseau, M., Geography's literature. Progress in Human Geography, 1994. 18(3): p. 333-353. 76 Hones, S., Text as it happens: literary geography. Geography Compass, 2008. 2(5): p. 1301. 77 Noxolo, P. and M. Preziuso, Postcolonial imaginations: approaching a 'fictionable' world through the novels of Maryse Condé and Wilson Harris. Annals of the Association of American Geographers, 2011, pp. 163-179 78 Norquay, G. and G. Smyth, eds. Space and Place: The Geographies of Literature. 1997, Liverpool John Moores University Press: Liverpool. 79 McKittrick, K., Demonic Grounds: Black Women and the Cartographies of Struggle. 2006, Minneapolis: University of Minnesota Press. 80 DeLoughrey, E.M., R.K. Gosson, and G.B. Handley, eds. Caribbean Literature and the Environment: Between Nature and Culture. 2005, University of Virginia Press: Charlottesville 81 Hayles, N.K., Virtual Bodies and Flickering Signifiers. October, 1993. 66: p. 69-91 82 Harris, quoted in Rowell, C.H. and W. Harris, An Interview with Wilson Harris. Callaloo, 1995. 18(1): p. 194. Author biography Dr Pat Noxolo is a lecturer in Human Geography at the University of Birmingham, UK. She has twenty years’ experience lecturing and researching in UK higher education. Her research is at the confluence of international development, culture and in/security, and uses postcolonial, discursive and literary approaches to explore a range of Caribbean and British cultural practices. Recent work has focused on spatialities in the novels of Wilson Harris, Maryse Condé and Earl Lovelace; on Caribbean laughter and materialities; on African-Caribbean dance; on re-theorising postcolonial responsibility; and on securitisation in British development and immigration discourses. Page 23 of 23 http://mc.manuscriptcentral.com/culturalgeog cultural geographies 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 
work_sb5ou5s4gngwlkqr4e2sywxxpi	----	Evidence of size-selective evolution in the fighting conch from prehistoric subsistence harvesting D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 rspb.royalsocietypublishing.org Research Cite this article: O’Dea A, Shaffer ML, Doughty DR, Wake TA, Rodriguez FA. 2014 Evidence of size-selective evolution in the fighting conch from prehistoric subsistence harvesting. Proc. R. Soc. B 281: 20140159. http://dx.doi.org/10.1098/rspb.2014.0159 Received: 21 January 2014 Accepted: 24 February 2014 Subject Areas: palaeontology, evolution, ecology Keywords: Strombus pugilis, Caribbean, pre-Columbian, fossil, artisanal harvesting, fisheries-induced evolution Author for correspondence: Aaron O’Dea e-mail: odeaa@si.edu Electronic supplementary material is available at http://dx.doi.org/10.1098/rspb.2014.0159 or via http://rspb.royalsocietypublishing.org. & 2014 The Author(s) Published by the Royal Society. All rights reserved. Evidence of size-selective evolution in the fighting conch from prehistoric subsistence harvesting Aaron O’Dea1, Marian Lynne Shaffer1,2, Douglas R. Doughty3, Thomas A. Wake4 and Felix A. Rodriguez1 1Smithsonian Tropical Research Institute, PO Box 0843-03092, Balboa, Republic of Panama 2Cofrin Center for Biodiversity, University of Wisconsin-Green Bay, Green Bay, WI 54311, USA 3Institute for Tropical Ecology and Conservation, 2911 NW 40th Place, Gainesville, FL 32605, USA 4Zooarchaeology Laboratory, The Cotsen Institute of Archaeology at UCLA, Los Angeles, CA 90095-1510, USA Intensive size-selective harvesting can drive evolution of sexual maturity at smaller body size. Conversely, prehistoric, low-intensity subsistence harvest- ing is not considered an effective agent of size-selective evolution. Uniting archaeological, palaeontological and contemporary material, we show that size at sexual maturity in the edible conch Strombus pugilis declined signifi- cantly from pre-human (approx. 7 ka) to prehistoric times (approx. 1 ka) and again to the present day. Size at maturity also fell from early- to late-prehistoric periods, synchronous with an increase in harvesting intensity as other resources became depleted. A consequence of declining size at maturity is that early prehistoric harvesters would have received two-thirds more meat per conch than contemporary harvesters. After exploring the potential effects of selection biases, demographic shifts, environmental change and habitat alteration, these observations collectively implicate prehistoric subsistence harvesting as an agent of size-selective evolution with long-term detrimental consequences. We observe that contemporary populations that are protected from harvesting are slightly larger at maturity, suggesting that halting or even reversing thousands of years of size-selective evolution may be possible. 1. Introduction The persistent harvesting of the largest individuals from an ecosystem, whether for trophy, nutritional or economic gain, can impart strong directional selection for smaller size at reproduction [1 – 3] that is predicted to have significant nega- tive effects on yield, population structure, fecundity and growth [4 – 6]. When harvesting is intensive, the evolutionary change to smaller size at maturity can be observed over decades [2,7] and under artificial experimental conditions can be forced to appear in just a few generations [8,9]. By contrast, low-intensity subsistence (artisanal) harvesting is widely presumed to lack sufficient direc- tional selection to have an analogous significant evolutionary impact (cf. [10]), but does this assumption hold true if subsistence harvesting has persisted for a long time? Archaeological middens the world over demonstrate that coastal shellfish have been harvested for hundreds of years to millennia [11 – 13] and have undergone marked changes to their ecological structure as a result [14 – 19]. Many (but not all) mollusc species that have a long history of subsistence har- vesting have become smaller over time [14,16,20], suggestive of size-selective evolutionary change. It is impossible, however, to convincingly establish if the causal mechanism is selection to mature at a smaller size, as described above, or if it is simply because larger individuals become less common as they are preferentially harvested, thereby lowering mean size. One critical obstacle is that in order to demonstrate selection-driven evolution, measures of size at maturity are required and such data are not typically preserved in the skeletons of organisms. Here, we document changes in the size at maturity http://crossmark.crossref.org/dialog/?doi=10.1098/rspb.2014.0159&domain=pdf&date_stamp=2014-03-19 mailto:odeaa@si.edu http://dx.doi.org/10.1098/rspb.2014.0159 http://dx.doi.org/10.1098/rspb.2014.0159 http://rspb.royalsocietypublishing.org http://rspb.royalsocietypublishing.org rspb.roy 2 D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 of the West Indian fighting conch (Strombus pugilis Linnaeus 1758) in western Caribbean Panama over the past approxi- mately 7000 years. The shift from juvenile to sexually mature is observable in the calcified shells of S. pugilis. alsocietypublishing.org Proc. R. Soc. B 281: 20140159 2. Setting The Bocas del Toro archipelago in western Caribbean Panama ( figure 1) is a series of Holocene-flooded basins forming islands with fringing reefs, thick mangroves and muddy lagoons. Major reef growth began with the Plio-Pleistocene closure of the Isthmus of Panama [21 – 23]. Almirante Bay ( figure 1) was flooded sometime before 7.2 ka when modern fringing reefs began to develop [24]. Following the historical and more recent declines of the branching coral Acropora cervicornis [24,25], the fringing reefs of Bocas del Toro became dominated by a mixture of Porites and Agaricia [26]. Humans have modified the terrestrial landscapes on the Pacific slopes of lower Central America for over 11 kyr [27,28] and the less hospitable Caribbean slopes since about 6 ka [29], principally by land clearance and fire [28]. Likewise, coastal resources have been exploited for several thousand years on the Isthmus. The earliest evidence in the Bocas del Toro region is a coastal settlement at Black Creek, 9 km to the west of Bocas del Toro in Costa Rica, with radiocarbon dates ranging from 3440 to 2580 BP [30]. Shellfish were a resource at Black Creek, but which taxa and to what extent remains to be described publicly. Shell middens at Cerro Brujo on the Aguacate Peninsula dated AD 880 – 1250 and at Sitio Drago on Isla Colon dated AD 690 – 1410 (figure 1) reveal people were involved in regional trade, with a mixed farming – fishing – hunting subsistence that included the exploitation of fish, molluscs, terrestrial vertebrates, sea turtle and manatee [31,32] for at least 800 years until the arrival of Christopher Columbus on October the 5th, 1502 (see the electronic supplementary material for further information). (a) Strombus pugilis The West Indian fighting conch S. pugilis (Linnaeus 1758; family Strombidae; figure 2) is a grazing gastropod common in shallow water and sandy and muddy lagoons across the tropical western Atlantic from Brazil in the South to Florida in the North. Strombus undergo marked shifts in mode of skeletal growth and behaviour between juvenile and adult. Juvenile skeletal growth adds body whorls resulting in increasing height and width of the shell (figure 2), often with the develop- ment of spines. As maturity approaches, whorl growth slows and stops, the shell begins to thicken, and the outer lip flares and thickens. In Lobatus gigas (formerly S. gigas), gonadal maturity, as observed in the development of sexual characters, histological examinations of the visceral mass and obser- vations of behaviour and timing of egg-laying, is achieved only after the outer lip begins to flare and thicken [33 – 35]. The same pattern of lip thickening at maturity is also true for the Caribbean L. costatus [36] and the Indo-Pacific S. luhuanus [37] and S. canarium [38]. In S. pugilis, juveniles are cryptic, burying themselves in sediment, whereas adults are more aggressive, roaming the sea floor. This behavioural shift coincides with maturity, permitting mate competition and internal fertilization [39] and does not occur until the outer lip thickens for the protection it confers, presumably because of the increase in predation risk as the animal moves to a less cryptic mode of life. Additionally, we observed that thin-lipped individuals of S. pugilis were frequently buried, implying immaturity and upon macroscopic investigation possessed sexually undifferentiated gonads. Conversely, thick-lipped individuals roamed the sea floor and possessed granulated and brown female gonads and light red male gonads, both of which demonstrate gametogenesis in S. pugilis [40]. We did not, however, conduct microscopic examination of gonad morphology. Nonetheless, given the observations of S. pugilis behaviour and macroscopic morphology, patterns of growth and demography, and the microscopic analysis of gonads in closely related species, we conclude that lip thickening precedes maturity in S. pugilis. Shell middens demonstrate that conch harvesting has long been an important subsistence activity throughout the Caribbean [41], particularly of the queen conch (L. gigas). S. pugilis is smaller than L. gigas but has nonetheless contributed significantly to conch fisheries across the Carib- bean for millennia. S. pugilis still forms an important component of the subsistence diet of coastal peoples in the Caribbean and Gulf of Mexico for its meat where it is gener- ally boiled or roasted as a protein-rich food. S. pugilis is also used as an aphrodisiac in Brazil. In Bocas del Toro, S. pugilis greatly outnumbers its larger cousin, L. gigas, in modern lagoons, archaeological middens [32] and mid-Holocene fossil assemblages [24], strongly suggesting that L. gigas is naturally rarer in Bocas than other Caribbean regions. Indeed, the massive accumulations of L. gigas shells from centuries of harvesting common in many parts of the Caribbean are notably absent. Contempor- ary harvesting of S. pugilis in Bocas del Toro is restricted to subsistence fishing, and there is no contemporary or histori- cal evidence that the meat is or has been traded. The most frequent method of harvesting is to simply wade into shallow lagoons, collect the conch by hand without a mask and con- sume locally. It is fair to assume that prehistoric harvesting of S. pugilis was much the same. In Bocas, S. pugilis is colloquially called el raton del mar (the mouse of the sea) reflecting its abundance and possibly alluding to the contemptuousness imparted on the (generally poor) people that consume it. For this reason, consumption of S. pugilis is not widely admitted in the region; during our sur- veys, people initially denied harvesting S. pugilis despite mounds of empty conch under their houses. Perhaps it is con- sidered a low-grade food because it remains locally abundant in the region. Harvesters can year-round easily collect several conch for a family dinner within half an hour by wading across a silty lagoon. The attractive shells of S. pugilis are also sold as souvenirs to tourists in Bocas del Toro. 3. Methodology and approach (a) Collections Contemporary, prehistoric and pre-human material was col- lected from the Bocas del Toro archipelago (figure 1). Five contemporary sites were sampled using snorkel and bulk col- lection of modern refuse piles and souvenir shops. Prehistoric material was collected from two ceramic phases in two pits at the archaeological site ‘Sitio Drago’ [42]. The Bisquit Ware phase (0 – 40 cm) is dated to approximately AD 1200 – AD 1410 and pre-Bisquit Ware phase (40 – 150þ cm) dates from Almirante Bay contemporary site prehistoric site pre-human site reef mangrove Boca del Drago Sitio Drago Lennond STRI point Carenero Caribbean sea Cerro Brujo Isla Popa Cayo Agua S N EW 10 km Figure 1. Bocas del Toro archipelago, Caribbean Panama, showing location of sites used or discussed in this study. (Online version in colour.) rspb.royalsocietypublishing.org Proc. R. Soc. B 281: 20140159 3 D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 approximately 690 to AD 1200. Pre-human (fossil) shells were collected from the lagoonal sediments of a mid-Holocene fringing reef at the old town of Lennond (figure 1) which has been U – Th dated to 7187 – 5711 years before present [24]. We call this pre-human because, although humans had arrived to the isthmus long before this time, all evidence suggests they had little impact on Caribbean coastal ecosystems until approximately 6 ka [43]. See the electronic supplementary material for details on collection sites and methods. (b) Morphometrics Height, width and lip thickness of shells were measured using callipers. Shell height (SH) is the distance between the apex and the tip of the siphonal notch along the coiling axis (figure 2h). Shell width is the maximum distance perpen- dicular to height at the last body whorl where the lip is thickest and not including spines (figure 2g). Lip thickness is measured from the outer lip three quarters the way along from the siphonal canal (figure 2e,f ). The Ryan – Joiner test for normality (MINITAB v. 16) revealed non-normal distributions in SH and shell width data from some of the sites. All data were log-transformed, and the Ryan – Joiner test revealed all groups to be statistically normally distributed at p ¼ 0.05. Levene’s test for homogen- eity of variances (MINITAB v. 16) revealed homoscedasticity in both heights and widths at p . 0.05. One-way ANOVA and Tukey’s post hoc test (MINITAB v. 16) were therefore appro- priate to analyse the differences in shell morphology through time and across sites. (c) Estimating meat weight There is no published relationship between edible meat weight (MW; dried tissue minus the visceral mass) and shell size for S. pugilis. There are, however, good data relating edible MW and shell size for L. gigas. We used the following equation established by CFMC/CFRAMP [44] that describes the relationship between MW (grams) and SH (centimetres) for juvenile L. gigas from La Parguera, Puerto Rico (N ¼ 94, r2 ¼ 0.926). log10(MW) ¼�2:535 þ 3:486 log10(SH): (d) Lip thickness at maturity During juvenile growth, the outer lip of S. pugilis remains thin until whorl growth ceases, whereupon the outer lip flares and thickens considerably (figure 2). Plots of SH and width versus lip thickness compiled from all shells reveal two clusters that represent juveniles (thin-lipped) and mature (thick-lipped) individuals with the threshold between them occurring at a lip thickness of 1.8 mm (figure 3a). We conducted macroscopic observation of the gonads of 37 living S. pugilis from Bocas del Toro that revealed that the smallest individual expressing clear gametogenesis (see previously) had a lip thickness of 2.2 mm, corroborating the conclusion that lip thickening begins at or shortly before sexual maturity and our assumption for data analysis that shells with lips thinner than or equal to 1.8 mm are juveniles and those with a lip thickness greater than 1.8 mm are mature. 4. Results (a) Size at maturity Size at maturity of S. pugilis in Bocas del Toro decreases succes- sively from pre-human to prehistoric to the contemporary period. This trend is observed in all metrics explored; the height and width of the largest juvenile (electronic supplemen- tary material, table S1 and figure 3b,c), the height and width of (b)(a) (c) (d ) (g) (h) (e) ( f ) shell height shell width Lt lip thickness Figure 2. Growth of the West Indian fighting conch (Strombus pugilis) and morphometrics (height, width and lip thickness) taken in this study. (a – d) Juvenile shells with lips less than 1.8 mm. (e – h) Adult shells with lips thicker than 1.8 mm. (e) Dorsal view showing measurement of outer lip thickness. ( f ) A typically small mature contemporary shell from Isla Carenero with characteristic scorch markings from cooking. Arrow indicates location of outer lip thickness measurement. ( g) One of the largest mature contemporary shells from Isla Popa. (h) A large pre-human mature shell. (a – c,h) are pre-human, whereas (d – g) are contemporary. Scale bar, 2 cm. (Online version in colour.) rspb.royalsocietypublishing.org Proc. R. Soc. B 281: 20140159 4 D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 the smallest mature shell (electronic supplementary material, table S1 and figure 3b,c), the height and width of the largest mature shell (electronic supplementary material, table S1 and figure 3b,c) and the distributions of heights and widths of only mature shells (figure 4). ANOVA reveals that both height and width of mature shells between pre-human, all prehistoric and all contemporary material is very highly significantly different (height, d.f. ¼ 2, F ¼ 107.45, p , 0.0001; width, d.f. ¼ 2, F ¼ 77.94, p , 0.001), and Tukey’s post hoc test reveals the differences exist between all three comparisons (electronic sup- plementary material, table S2). Height and width of mature S. pugilis is likewise highly significantly different among indi- vidual sites and times (height, d.f. ¼ 9, F ¼ 52.01, p , 0.001; width, d.f. ¼ 9, F ¼ 41.45, p , 0.001). Tukey’s post hoc test, summarized in electronic supplementary material, table S2, reveals where those significant differences exist. Pre-human mature S. pugilis is significantly higher and wider than any of the five contemporary populations, and all contemporary popu- lations combined. The older, pre-Bisquit Ware prehistoric material is significantly higher and wider at maturity than any of the contemporary material. The younger Bisquit Ware material is significantly higher and wider at maturity than most contemporary populations, the only exception being material from Isla Popa from which it is higher and wider but not significantly so. Pre-human material is higher and wider at maturity than pre-Bisquit Ware prehistoric material but not significantly. However, pre-human material is significantly higher at maturity than Bisquit Ware material and all of the com- bined archaeological material ( pre-Bisquit Ware and Bisquit Ware). Pre-Bisquit Ware shells are both higher and wider at maturity than Bisquit Ware material, but the difference is not significant. Additionally, the size of S. pugilis is significantly different among several contemporary populations (electronic supplementary material, table S2); the Isla Popa material, for example, is significantly higher and wider at maturity than con- temporary Cayo Agua material, despite their geographical proximity (figure 1). (b) Estimated meat weight Estimated mean edible dry MW of individual mature shells only is 2.93 g in pre-human, 2.42 g in prehistoric and 1.77 g in contem- porary material. This represents, on average, 17% less meat in prehistoric compared with pre-human conch, 27% less meat in contemporary compared with prehistoric conch and 40% less meat in contemporary compared with pre-human conch. 5. Discussion (a) Long-term harvesting of Strombus pugilis and reduced size at maturity Evolution of size at maturity driven by size-selective harvest- ing is commonly considered a blight of modern intensive (b) (a) (c) (d ) shell height (mm) shell height (mm) shell height (mm)shell height (mm) 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 li p th ic kn es s (m m ) 0 1 2 3 4 5 6 7 li p th ic kn es s (m m ) 0 1 2 3 4 5 6 7 shell width (mm) ju ve ni le m at ur e 10 15 20 25 30 35 40 45 50 55 60 65 30 40 50 60 70 80 90 30 40 50 60 70 80 90 30 40 50 60 70 80 90 Figure 3. Shell size versus lip thickness in Strombus pugilis shells from Bocas del Toro. (a) All shells used in this study with frequency histogram of lip thickness. (b – d) Shell height versus lip thickness in (b) pre-human, (c) prehistoric and (d ) all contemporary sites combined. Dashed lines indicates the cut-off from juvenile to sexually mature shells at a lip thickness of 1.8 mm. Light grey bars demarcate the smallest and largest sexually mature shells and dark lines the largest juvenile. (Online version in colour.) rspb.royalsocietypublishing.org Proc. R. Soc. B 281: 20140159 5 D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 methods of harvesting [45]. Our results contradict this widely held view demonstrating that millennia of low-intensity subsistence harvesting of the conch S. pugilis in Bocas del Toro caused evolution to reduced size at maturity. The data are particularly robust, because the declines in size occur in populations from the same island through time. The directional selection pressure to evolve reproduction at a smaller size could have been applied by persistent, low-intensity harvesting or it may have involved ephemeral bursts of more intensive harvesting. Size at sexual maturity declined from pre-Bisquit Ware to Bisquit Ware periods when harvesting pressure upon S. pugilis increased sub- stantially as populations of the apparently more desirable Lobatus raninus became depleted [32]. The two periods are separated by around 100 years suggesting rapid evolution [6]. Variation in size at maturity among contemporary popu- lations also correlates with observed harvesting intensities. Mature shells at Cayo Agua are the smallest, whereas those from Isla Popa, which is less than 4 km from Cayo Agua (figure 1), were the largest of all contemporary populations. Cayo Agua has tens of habitations that overlook the reef, many of which have large accumulations of consumed and discarded S. pugilis shells, and people can often be observed harvesting S. pugilis in the lagoon. The Isla Popa site has a single family dwelling close to the lagoon, and people have never been observed collecting S. pugilis. Additionally, contemporary mature S. pugilis shells from Boca del Drago were particularly small. Shells here are frequently harvested for sale as souvenirs to tourists, which may impart a strong selection pressure for the largest most valuable conch. Mature S. pugilis at Carenero and STRI Point were larger than the contemporary average. Although Carenero is sur- rounded by relatively dense human habitation, people there tend to prefer to source their protein from farmed meats rather than shellfish. The largest contemporary shells were found at STRI Point, which has been somewhat protected from harvesting for several years owing to the frequency of scientific work carried out there and the distance from subsis- tence harvesters. Thus, areas that experience less harvesting pressure today have shells that reach sexual maturity at larger size implying rapid evolution. Despite this, none of the contemporary populations reached a size at maturity similar to pre-human baseline sizes. However, this may be because relaxation of selection by humans may not be sufficient to reverse the evolutionary effects of long-term harvesting because of the relatively weaker agents of selection towards larger size [46]. (b) Alternative explanations These results are, to the best of our knowledge, the first to provide evidence that prehistoric subsistence harvesting all contemporary (640) all prehistoric (190) all pre-human (64) Boca del Drago (126) STRI Point (78) Carenero (134) Isla Popa (158) Cayo Agua (144) Bisquitware (141) Pre-Bisquitware (49) 55 60 65 70 75 80 85 mature shell height (mm) mature shell width (mm) 35 40 45 50 55 (b)(a) Figure 4. Box plots of (a) shell height and (b) shell width of sexually mature Strombus pugilis from pre-human, prehistoric and contemporary sites in Bocas del Toro. Mid bar line represents the median. Box width represents the 25% quartiles either side of the median. Bars represent the 95% quartiles. Dots indicate outliers. N in parentheses. (Online version in colour.) rspb.royalsocietypublishing.org Proc. R. Soc. B 281: 20140159 6 D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 caused size-selective evolution of a marine resource. Here, we explore alternative explanations (cf. [10]). (i) Natural environmental change Coastal configuration and bottom topography around the Bocas del Toro archipelago have evolved over the past 8000 years through de-glaciation and associated sea-level rise. It is unlikely that these changes drove the successive decreases in size at maturity in S. pugilis observed here because (i) the modern day configuration of mangrove, seagrass and fringing reef were established at some time before 7.2 ka when the archipelago flooded as observed in the establishment of coral reefs at this time [24]. (ii) Sea-level rise had slowed sub- stantially by the Mid-Holocene and sea level was less than 3 m lower than today [47] or possibly much less [48]. As such, differences in topography and thus habitat availability for S. pugilis would have been essentially the same as today, especially given that (iii) topography in the archipelago is widely variable (figure 1) so flooding would have both increased and decreased the availability of habitat for S. pugilis depending on location. And finally (iv) all contemporary populations are smaller at reproduction than prehistoric and fossil material, which would not be expected if habitat differ- ences were driving size given the variability among our contemporary sites. (ii) Human-induced environmental changes Human-induced changes include increased water tempera- tures which may have reduced body size of invertebrates via the temperature – size rule [49,50], and anecdotal evidence suggesting increased hypoxia which could impart limits to growth of S. pugilis. Neither of these, however, can adequately account for the patterns observed here because they began only in the last few decades, whereas the amount of decrease in size at maturity in S. pugilis between the pre-human and prehistoric material is approximately as great as that observed between prehistoric and contemporary material. (iii) Demographic changes driven by harvesting Because we were able to discriminate sexually mature from juvenile shells we can be sure that declines in mean size over time were not caused by a simple increase in the relative pro- portion of juveniles. However, within those sexually mature shells the removal of the largest shells, as predicted by optimal foraging theory, may have caused a decline in mean size at sexual maturity rather than evolution per se. However, this is unlikely because (i) the size of smallest mature and the largest juvenile also declined through time. (ii) The distribution of size of mature individuals did not become more positively skewed over time (figure 4). (iii) All contemporary populations, even those with low or no harvesting pressure, were smaller than prehistoric and pre-human material. (iv) Lip thickness did not decline over time (figure 3b,c). It is therefore unlikely that demographic shifts driven by harvesting caused declining size at sexual maturity. (iv) Selection bias Prehistoric and contemporary shells were selected by humans and therefore biased towards larger size as predicted by opti- mal foraging theory and the increased calorific value of larger shells [51]. Indeed, discussion with contemporary harvesters revealed S. pugilis is sufficiently abundant and that the largest individuals are preferentially selected for consumption. Pre- human shells, on the other hand, derive from natural death assemblages that were sampled non-randomly and thus include a much greater proportion of juveniles (electronic supplementary material, table S1). They too may have incurred selection bias towards larger individuals, but we consider this minimal given the very high proportion of very small and fragile shells collected, and certainly not as strongly biased as the archaeological and contemporary rspb.royalsocietypublishing.org Proc. R. Soc. B 281: 20140159 7 D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 material. Thus, selection of shells used in this study should have led to a bias towards larger prehistoric and contempor- ary material only making our results more robust. We assume that the strength of selection biases between prehistoric and contemporary material were similar given that the same artisanal methods are used today in their collection. (c) Consequences and future considerations Size-selection-driven evolutionary change can lead to reduced fitness through what has been termed ‘unnatural selection’ [46]. Fecundity, the quality of offspring, survival rates and other life-history attributes can be damaged, whereas competitive interactions, parasite loading and other inter- actions among community members may increase [3,52]. In the case of S. pugilis, the consequences of over 1500 years of size-selective harvesting are not easily determined and require further study. Nonetheless, we estimate that effects on yield are of considerable consequence for subsistence harvesters. People inhabiting Bocas del Toro approximately 1500 – 500 years ago would have obtained 37% more meat per conch than contemporary harvesters, and the earliest humans collecting S. pugilis from ‘pristine’ habitats would have received a remarkable 66% more meat per conch than contemporary harvesters. All contemporary populations are smaller at maturity than prehistoric and pre-human populations, even where harvest- ing pressure is very low or non-existent. Declining size at maturity therefore likely represents a genetically based rather than phenotypic change. Models suggest that reversal of genetic evolution caused by size-selection when selective harvesting is relaxed will be more protracted and stubborn than their initial accumulation because selection driven by har- vesting is stronger than the various natural agents of selection towards larger size [46]. Given this, it may be impossible to reverse the effects of over 1500 years of size-selective harvesting in S. pugilis. The slightly larger body sizes of S. pugilis in areas that experience lower intensity harvesting do, however, hint that release from harvesting pressure could reverse the evolutionary trend. The establishment of marine protected areas (MPAs), where harvesting Strombus is not permitted, may assist in halting or reversing size-selective evolution [46], and if there is sufficient migration or gene flow between populations inside and outside of the MPAs, Strombus yields may stop declining or even increase [45,53]. (d) The role of prehistoric harvesting Despite a growing body of evidence that humans have long affected marine ecosystems, Baisre [10] argued that the role of prehistoric harvesting has been overplayed and that the majority of human-induced change in the seas occurred within the twen- tieth century. Baisre justifiably raised a number of important challenges that archaeological studies must overcome to effec- tively demonstrate the role of prehistoric harvesting on ecosystems, communities and populations. These included the often relatively poor sampling that is available to zoo archaeol- ogists compared with ecologists, preservation biases and challenging taxonomy [54]. Baisre also highlighted the need to thoroughly test possible alternative explanations for patterns observed through time in archaeological and historical records. In our study, we reveal that significant changes in size at matur- ity of a staple marine resource had occurred by at least 1500 years ago. Preservation biases, cultural changes, taxonomic issues and poor sampling can be discounted and, as we have shown, there is no evidence that environmental change, anthropogenic or not, could explain the patterns observed. One important element generally missing from the debate provoked by Baisre [10] is that all archaeological material must originate from a time after humans had interacted with coastal ecosystems. Although they can give strong indications of trajectories, archaeological and historical data, by their very nature, they can never reveal true baseline conditions. Term- inal Pleistocene or Holocene palaeontological studies can reveal conditions before the arrival of humans and should be considered a valuable resource for historical ecologists [55 – 58]. As an example, if we had conducted this study with- out pre-human palaeontological material, then we would only be able to conclude that sometime after prehistoric time did sig- nificant declines in size at maturity in S. pugilis take place. As it turns out, the decline in size at maturity from pre-human ‘pristine’ baseline to prehistoric material is almost as great as the decline from prehistoric to contemporary times, greatly suggestive of persistent and pervasive evolution driven by long-term subsistence selection by humans. 6. Conclusion (1) The fighting conch, S. pugilis, is naturally abundant in the Bocas del Toro region of Caribbean Panama, and the lar- gest individuals have been preferentially selected by humans through non-intensive subsistence harvesting for at least 1500 years. (2) Size at maturity in S. pugilis declined progressively and significantly over the last 7000 years in concert with this prolonged subsistence harvesting. (3) Long-term size-selective subsistence harvesting of S. pugilis in Bocas del Toro has resulted in evolution to reach sexual maturity at smaller sizes, one unassailable consequence of which is that the yield of meat per conch has declined by over a third since harvesting began. (4) Prehistoric and subsistence harvesting can be an effective agent of size-selective evolution with persistent detrimen- tal consequences, but it can only be fully revealed with baseline data from pre-human palaeontological material. Acknowledgements. We thank Valerie and Bill Anders for kindly support- ing the project, S. Romero, J. B. C. Jackson, R. Cooke, K. Cramer and R. Norris for stimulating discussion, M. Alvarez and A. Castillo for help- ing collect, the Bocas Research Station team, A. Bilgray and J. Yeager for medical and moral support, M. Toscano for information on ancient Caribbean sea levels. B. Degracia helped measure shells, J. Todd gave advice on morphometrics, T. Carruthers, L. Addington and R. Collin helped produce the map. W. and J. Serracı́n, A. Serracı́n de Shaffer, B. Serracı́n de Álvarez, A. “Bolo” Serracı́n, P. Lahanas and the Institute for Tropical Ecology and Conservation. Permits to collect were pro- vided by the Autoridad de Recursos Acuáticos de Panamá, the Dirección Nacional de Recursos Minerales de Panamá, and the Dirección Nacional de Patrimonio Histórico de Panamá. This work is dedicated to the memory of Diane and Anthony Shaffer for their inspiration, encouragement and support to their daughter, M.L.S. Funding statement. This research was supported by the National System of Investigators (SNI) of the National Research of the National Secretariat for Science, Technology and Innovation of Panama (SENACYT) to A.O. SENACYT also provided financial support to T.A.W. and T. Mendizabal for excavation and analysis of material. The Academic Program of the Smithsonian Tropical Research Institute awarded a fellowship to M.L.S. 8 D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 References rspb.royalsocietypublishing.org Proc. R. Soc. B 281: 20140159 1. Edeline E, Carlson SM, Stige LC, Winfield IJ, Fletcher JM, James JB, Haugen TO, Vøllestad LA, Stenseth NC. 2007 Trait changes in a harvested population are driven by a dynamic tug-of-war between natural and harvest selection. Proc. Natl Acad. Sci. 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R. Soc. B 281: 20140159 9 D ow nl oa de d fr om h tt ps :/ /r oy al so ci et yp ub li sh in g. or g/ o n 05 A pr il 2 02 1 45. Stoner AW, Davis MH, Booker CJ. 2012 Negative consequences of Allee effect are compounded by fishing pressure: comparison of queen conch reproduction in fishing grounds and a marine protected area. Bull. Mar. Sci. 88, 89 – 104. (doi:10. 5343/bms.2011.1044) 46. Allendorf FW, Hard JJ. 2009 Human-induced evolution caused by unnatural selection through harvest of wild animals. Proc. Natl Acad. Sci. USA 106, 9987 – 9994. (doi:10.1073/pnas. 0901069106) 47. Toscano MA, Macintyre IG. 2003 Corrected western Atlantic sea-level curve for the last 11,000 years based on calibrated C-14 dates from Acropora palmata framework and intertidal mangrove peat. Coral Reefs 22, 257 – 270. (doi:10.1007/s00338-003-0315-4) 48. Milne GA, Peros M. 2013 Data-model comparison of Holocene sea-level change in the circum-Caribbean region. Glob. Planet. Change 107, 119 – 131. 49. Atkinson D, Sibly RM. 1997 Why are organisms usually bigger in colder environments? Making sense of a life history puzzle. Trends Ecol. Evol. 12, 235 – 239. (doi:10.1016/S0169-5347(97)01058-6) 50. O’Dea A, Okamura B. 1999 Influence of seasonal variation in temperature, salinity and food availability on module size and colony growth of the estuarine bryozoan Conopeum seurati. Mar. Biol. 135, 581 – 588. (doi:10.1007/ s002270050659) 51. Raab LM. 1992 An optimal foraging analysis of prehistoric shellfish collecting on San Clemente Island, California. J. Ethnobiol. 12, 63 – 80. 52. Matsumura S, Arlinghaus R, Dieckmann U. 2011 Assessing evolutionary consequences of size- selective recreational fishing on multiple life-history traits, with an application to northern pike (Esox lucius). Evol. Ecol. 25, 711 – 735. (doi:10.1007/ s10682-010-9444-8) 53. Baskett ML, Levin SA, Gaines SD, Dushoff J. 2005 Marine reserve design and the evolution of size at maturation in harvested fish. Ecol. Appl. 15, 882 – 901. (doi:10.1890/04-0723) 54. Fitzpatrick SM. 2010 Viewing the sea from the reefs. Comment and forum synthesis on Julio Baisre’s ‘setting a baseline for Caribbean fisheries’. J. Island Coast. Archaeol. 5, 173 – 178. (doi:10.1080/ 15564891003656624) 55. Jackson J, McClenachan L, Dietl G, Flessa K. 2009 Historical ecology for the paleontologist. Conserv. Paleobiol. Using the Past to Manage for the Future 15, 81 – 94. 56. Kowalewski M. 2009 The youngest fossil record and conservation biology: Holocene shells as eco-environmental recorders. Conserv. Paleobiol. Using the Past to Manage for the Future 15, 1 – 23. 57. Harnik PG et al. 2012 Extinctions in ancient and modern seas. Trends Ecol. Evol. 27, 608 – 617. (doi:10.1016/j.tree.2012.07.010) 58. Rick TC, Lockwood R. 2013 Integrating paleobiology, archeology, and history to inform biological conservation. Conserv. Biol. 27, 45 – 54. (doi:10. 1111/j.1523-1739.2012.01920.x) http://dx.doi.org/10.5343/bms.2011.1044 http://dx.doi.org/10.5343/bms.2011.1044 http://dx.doi.org/10.1073/pnas.0901069106 http://dx.doi.org/10.1073/pnas.0901069106 http://dx.doi.org/10.1007/s00338-003-0315-4 http://dx.doi.org/10.1016/S0169-5347(97)01058-6 http://dx.doi.org/10.1007/s002270050659 http://dx.doi.org/10.1007/s002270050659 http://dx.doi.org/10.1007/s10682-010-9444-8 http://dx.doi.org/10.1007/s10682-010-9444-8 http://dx.doi.org/10.1890/04-0723 http://dx.doi.org/10.1080/15564891003656624 http://dx.doi.org/10.1080/15564891003656624 http://dx.doi.org/10.1016/j.tree.2012.07.010 http://dx.doi.org/10.1111/j.1523-1739.2012.01920.x http://dx.doi.org/10.1111/j.1523-1739.2012.01920.x Evidence of size-selective evolution in the fighting conch from prehistoric subsistence harvesting Introduction Setting Strombus pugilis Methodology and approach Collections Morphometrics Estimating meat weight Lip thickness at maturity Results Size at maturity Estimated meat weight Discussion Long-term harvesting of Strombus pugilis and reduced size at maturity Alternative explanations Natural environmental change Human-induced environmental changes Demographic changes driven by harvesting Selection bias Consequences and future considerations The role of prehistoric harvesting Conclusion Acknowledgements Funding statement References 
work_sbjsfcib5vet5hot34wkdwlduq	----	Antiquity A Quarterly Review of Archaeology VOL. XI1 No. 48 DECEMBER 1938 Editorial Notes 0 one would accuse ANTIQUITY of backwardness in asserting the claims of archaeology to be recognized as an important element N in general culture. Archaeology has revealed the pedigree of man and traced the evolution of his civilization to its sources. The knowledge thus acquired should form a part of the cultural background of every educated person ; and it should be supplemented by at any rate the rudiments of earth-history. We ar still far from the time poned until the present phase of intensive nationalism has produced the inevitable reaction. when education shall have achieved these res E Its, which may be post- 3c 4 Archaeology has completely revolutionized our ideas about man’s place in nature and about the origins of culture, just as astronomy has revolutionized our knowledge of the universe. T o appreciate this, one has only to compare modem conceptions with the primitive folk-tales that formed the basis of culture a century ago. The positive results are so devastatingly complete that we can afford to consider the limitations of archaeological method with impartiality. When we can discover an Indus civilization, we need not be unduly troubled because we do not know the name of the man who built Stonehenge. Nevertheless, to be perfectly fair, let us admit that at the bottom of our hearts we should all like to know something about him. ANTIQUITY The two methods are admirably illustrated by the story of King Alfred and the Danes. The facts as we have them from historical sources are almost too well known to mention. The Danes began by raiding England, and eventually conquered it and settled there. They were resisted by Alfred, to whose efforts we may ascribe the exclusion of Wessex from that settlement, and the confinement of the Danes to the region northeast of Watling Street. Were we dependent solely upon archaeological evidence, we should know little or nothing of the Danish invasions-a few weapons that might have been imported and some sculptured stones are practically all we have to show. The rare earthworks they constructed are ascribed to them on purely historical grounds ; not one of them has been excavated. We might infer an invasion from the existence of defensive earthworks constructed against them by the Saxons ; but here again the case is hypothetical, for neither have these been excavated. We might know of Alfred as a man who lost a valuable jewel in Somerset ; but there could be nothing in this to associate him in any way with the Danes. What could archaeology tell us of Caesar’s invasion of Britain, or of Alexander’s conquests ? It may be argued that it was the subsequent invasion of the Romans that really counted historically, and that there is abundant archaeological evidence of this. But that argument will not hold in the other case, for it was Alexander himself who did all the conquering, and without him it is pretty certain that the influence of Greek culture could never have penetrated those regions. Again, archaeology has so far revealed no traces of the great voyages of discovery of Pytheas and the Phoenician circumnavigation of Africa, of Christo- pher Columbus and Sir Francis Drake. And what concrete archaeolog- ical remains are there of St. Columba’s foundation ? Nothing commen- surate with his achievements. The great pioneers of human progress elude our grasp through a defect-apparently irremediable-in the nature of our evidence. 4 dl On the other hand, archaeology sometimes comes very near to revealing achievements as dramatic in their way as those just mentioned. The Viking grave recently found in Canada, if authentic (see ANTIQUITY, 1938, XII, 232; it is still unpublished otherwise) would be proof of 386 EDITORIAL NOTES first contact between the Old World and the New, even if we were not already expecting something of the kind on historical grounds. The foreign stGnes of Stonehenge testify an undertaking of epic dimensions. But such glimpses are rare. There must have been great pioneers, leaders, discoverers, in all periods, prehistoric as well as later. It is arguable that some of the great figures of history did more harm than good, and the same may be true of the present day. But whatever views we may hold about this, it cannot be denied that they form part of history and that they elude the prehistorian. d 4 Material progress is registered rather by useful inventions and discoveries than by meteoric appearances, by the discovery or invention of fire (and later of matches), pottery, weaving, agriculture, metals, the wheel and all those and other things consequent upon what Professor Gordon Childe has aptly called the First and Second Revolutions (Man Makes HimeZf, 1936). But these were probably communal and gradual processes for the most part, rather than the sudden innovations of a single individual. dt a Archaeology, in short, enables us to reconstruct, by inference and the creative imagination, the culture of groups. But it stands in con- stant need of cross-bearings from other directions to establish any given position. When, in America, Professor Douglass applied such cross-bearings by his invention of dendrochronology, it was found that both geological and archaeological dead reckoning was sadly out (ANTIQUITY, 1937, XI, 409-26). So too there is constant need of comparative material to check the assumptions of, for example, pot- study, as readers of Mr Casson’s article in this number will realize (PP. 464-73). dt 3c The Prehistoric Society’s excavations at Woodbury have finished for the year and have established many important conclusions. We do not like to anticipate the publication of the Director’s preliminary report, which will appear shortly in the Society’s Proceedings. Con- sequently we will only say that the site was occupied by an agricultural people during the earliest phase of the Iron Age ; and that the remains ANTIQUITY found have helped to explain a number of other already known sites. As President of the Society and initiator of this, its first excavations, the present writer followed them with the closest interest. Not the least valuable part was the experience of excavation gained by the volunteer members who took part. It is intended to excavate the site completely, and the excavations will be resumed next March. A programme of operations has already been drawn up, embodying the results of last season’s experience. The whole cost of the work was borne by voluntary contributions from members of the Society and others, and the money thus raised was all spent. (The accounts will be circulated to subscribers on the conclusion of the excavations next year). Meanwhile, since the Prehistoric Society has no reserve fund for this purpose, several hundred pounds will have to be raised before March. The present writer appeals to all who read this to support a live undertaking and send a contribution to Mr E. M. M. Alexander, Hon. Treasurer of the Prehistoric Society, c/o British and Medieval Antiquities, British Museum, London, W.C. ANTIQUITY for the Year 1939 (Volume 13) As usual at this time we remind our Subscribers of the completion of a volume, and the related subject of subscriptions, without which this Journal cannot exist. We therefore ask them to give attention to the notice and envelope inserted in the present number. An early response will save Subscribers and Editors trouble-the former from receiving later reminders and the latter a certain measure of anxiety. The form i s omitted from copies sent to subscribers who pay through their banks or who have paid in advance f o r 1939. 
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work_skrobj3yaffhfcxxhg72b3aulm	----	Gold in the search for the Americas Gold in the Search for the Americas J. R. Fisher Department of Modern History, University of Liverpool, England Gold is a metal most excellent above all others and of gold treasures are formed, and he who has it makes and accomplishes whatever he wishes in the world and finally uses it to send souls into Paradise. The meaning of these words of Christopher Columbus hardly requires explanation, notwith,-- standing his rather obscure reference to religion. Although the Genoese discoverer was motivated to some degree, like the thousands of men who were to follow him to the New World in the century after 1492, by the desire to carry Christianity to the heathen, his primary purpose was to seek the precious metal with which a man could accomplish whatever he wished. Long before Columbus began to formulate his idea that the legendary Cipangu (Japan) and Cathay (China) of the Venetian traveller Marco Polo might be reached by sailing west across the Atlantic, Portuguese explorers, inspired by Prince Henry the Navigator between 1419 and 1460, had been probing down the African coast in search of a sea-route to Asla. As early as 1442, with the settlement of the Azores, Madeira, and the Cape Verde Islands already behind them, these skilful navigators were able to bring back from West Africa Touareg gold obtained by barter. It is not known how much gold reached Lisbon in the years which followed, but the volume was sufficient to enable the mint to resume issue in 1457 of a fine gold coin, the cruzado; in the first half of the century Portugal had been one of the few states in Europe without a gold currency. After the capture of Constantinopie by the Turks in 1453 the traditional Levantine trade route which Among the complex motives that inspired Columbus in his long endeavours to secure financial support for his proposed voyage to "The Indies" the prospect of finding gold was prominent. When Icing Ferdinand and Queen Isahella of Spain finally agreed to sponsor the expedition in 1492 they provided him with a Book of Privileges setting out his titles as Admiral of the Ocean Sea and Viceroy and Governor of the lands to he discovered and according him one-tentti of the hoped-for gold and other treasure Courtesy of the Naval Museum, Genoa supplied Europe with Asian silks, spices and gold, together witti, some Sudanese gold, became more uncertain and the quest for an alternative avenue to the east became even more urgent, despite the fact that the shortage of buision was alleviated by Portugal's West African supplies and by the revival of silver mining in Germany after 1470. Convinced that their African route was the true one, the Portuguese turned down Columbus' proposals when he first went to Lisbon in 1484. But Isabella of Castile, after a long delay, reacted more positively. It was thus on behalf of Castile that Columbus set out westward on August 3rd, 1492, armed with a let- ter of introduction to the Great Khan and a patent granting him, among nnany other privileges, one-tenth of the profits from all the precious metals and stones that he might acquire. This first voyage took Columbus to the Bahamas, Cuba, and Hispaniola (modern Haiti). Although he was to continue to insist until his death in 1506 that the lands he had found lay off the coast of Asia-- 58 Melting gold in Central America in the sixteenth century. A Franciscan Friar, Bernardino de Sahagun, lived for mant' years among the natives and encouraged them to describe their ways of life and the story of the Spanish conquest, setting it down in the language of the Mexican valley with a Spanish trans- lation and illustrating his vork, The General History of the Things of New Spain, completed in 13 volumes in about 1565, with a great number of miniaturen such as this. The use of the blow pipe and of a pottery crucible on short feet corresponds with a later description by Sir Walter Italeigh of "a great earthen potte with holes round about it, and when they had mingled the gold and copper Logether, they fastened canes to the holes, and so with the breath of men they increased the fire till the mettell ran, then they cast it into moulds of stone and clan" v :S-_"f•t•.'f' ^ `L: :=r f: ati. y; ^^^. d-e ^ '}^•, `3,M1, _'r ;. .}, : ^'.^ F:. ^ !,°f ^',i.'^.a^;f.. ':,-.. 't^ • ..•.. `;,- 4..-,- ,- - , i Ï •. ; _ ;;y,_ `;iv:.' _^s €5 _ r;^+' ^?_:}3•^^ despite Amerigo Vespucci's denionstration that, in fact, they lay off a new continent the j ournal that he kept makes it abundantly clear that, following his landfall in the Bahamas on October 13th, the Great Khan was virtually forgotten as the search for gold became paramount. His entry for that very day, describing his first encounter with the natives, tells us: "And 1 was attentive and sought to learn whether they had gold and 1 saw that some of them ware a small piece suspended from a hole they have in the none: and I was able to understand by signs that, going to the south . ,, , there was a King who had large versels of gold and who had a great deal of it." The Asian mainland, Columbus believed, lay further to the west, but, following receipt of this information, he "resolved to go to the south-west, to seek the gold and precious stones'S.. The island of Cuba, which he found by taling this new course, proved, in fact, to be something of a disappointment, but prospects brightened on the north coast of Hispaniola. There the explorers not only obtained gold nose-plugs and bracelets from the natives but also discovered a river which yielded sand "all full of gold, to such an eitent that it was a marvel, although very small". Some grafins, however, were "as large as lentils", and Columbus predictably nareed the source of this wealth Rio del Oro, River of Gold. Following further discovertes of placer gold by a party sent to the interior of Hispaniola, Columbus set out for home to inform Ferdinand and Isabella, the Spanish sovereigns, of his and their good fortune. The key sentence in his first letter to them is the following: "In this Espanola ... is the best district for the gold mines and for all the trade bath with this continent and with that over there belonging to the Great Khan, where there will be great trade and trofit." His reference to "mines" was strictly inaccurate, for it appears that all pre-Columbian gold throughout the Americas was obtained from placer deposits, but the gold objects which he was able to display persuaded the crown that Hispaniola could rapidly be turned into a self-sufficient, gold-producing colony. By Septem-- ber 1493, only six months after his return, Columbus was ready to set out again with no less than twelve hundred settlers, including not only artisans and farmers but also miners. For the next two decades the Spanish conquistadors rampaged through the Antilles in their search for gold. The crown made half hearted attempts to protect the native population by encouraging the emigration of peasant families who might devote themselves to agriculture, but without notable success. The reason was aptly summed up by Hernan Cortés' reply to an official who offered him land when he reached Hispaniola in 1504: "But 1 same to get gold", declared the future conqueror of Mexico, "not to tilt the soit like a peasant";. Within three decades of the island's discovery the exploitation and abuse of the native population which this quest involved had wrought a demo- 59 This rather imaginative representation, hy the sixteenth century Fiemish author and engraver Theodor de Bry, shows Indians busily mining gold in Hispaniola and bringing their output to a group of Spanish soldiers. In fact the gold in the newly discovered Americas was virtually all obtained from ailuviaa deposits in the river beds graphic catastrophe which, in its turn, stifled econo- mic activity until Negro slaves began to be introduced in large numbers in the second half of the sixteenth century. In an attempt to redress the consequential decline in gold production the Emperor Charles V arranged in 1529 for the Welser Company of Augs- burg to send eighty Silesian miners to Hispaniola. Although this particular venture appears to have ended in failure, with heavy mortality among the miners, it is significant as the first known attempt to exploit the expertise of German miners in the Americas. As Georgius Agricola's famous work, De Re Metallica (1 556) proudly illus trates, the Germans had been in the forefront of the recovery of European gold mining in Bohemia and Silesia in the fourteenth and fifteenth centuries. The great Augsburg banking families of the Welsers, Fuggers, and Hochstetters, moreover, had been prominent for many years in the mining of silver and base metals in various parts of southern and eastern Germany, partly as a result of a tendency to accept mining concessions as security for Joans. In attempting to exploit their experience in both mining and trade, therefore—German involvement in overseas eco-- nomic activity as a whole was at a height in 1524 to 38—Charles V was both showing good sense and, as we shall see, setting a precedent which Elizabeth I of England and her ministers were to take note of later in the century. The Spanish quest for gold in the New World was facilitated by the fact that the metal had no monetary value for the natives. Even in Inca Peru, where its affinity with the sun—gold was "the sweat of the sun" —gave it a religious significance, it was not used for trade. The mutual incredulity of Spaniards and natives at their respective attitudes towards gold is captured by Peter Martyr's account of Columbus' second voyage, published in 1530. He teils us: "One old man only asked a little belt in return for two grains of gold weighing an ounce. Seeing that the Spaniards admired the size of these grains, and quite amazed at their astonishment, he explained to theet by signs that they were of no value ... It is now known that the islanders set no value on gold as such; they only prize it when it has been worked by a craftsman into same farm which pleases them." Por the Spaniard, however, as for virtually all Europeans in the sixteenth century, gold objects, no matter how beautiful, had no aesthetic significance. Gold represented power : power for the adventurer to return home to a life of luxury, power for the monarch—from 1504 the Spanish sovereign took a fifth, or "quint", of all American treasure for hinlself —to wage an ambitious foreign policy. whien Albrecht Durer saw the treasure of the Aztec emperor Montezuma on display in Brussels in 1520 he judged it to be "more beautiful than the things of which r iiracles are made" ., Every single piece, however, was melted down. 60 It is possible to relate fluctuations in the remit- tances of treasure from the New World to Spain to the various stages of the Spanish conquest. Ship- ments reached an early peak in 1511--I5, following the penetration of Panama and Costa Rica, where the natives had for many centuries been producing pendants by the method of lost-wax casting. The conquest of Mexico in 1519-21 provided a further boost, as a vast quantity of accumulated gold objects fell into the hands of Cortés and his men. A decade later the conquest of Peru by Francisco Pizarro brought the third great gold-producing area of ancient America firmly under Spanish control. Native craftsmen there had been working gold for at least two thousand years, and were masters of ad- vanced hollow-core casting and of decorative tech- niques involving the use of soldering. Most of the gold objects which the Spaniards found in Peru were, in fact, not strictly "Inca", but the products of Barlier civilisations, such as the Chimu, which had recently been absorbed into the empire ruled frons Cuzco. Whereas most early Mexican goldware did not survive the conquest, a considerable number of Peruvian pieces did escape because they remained hidden in desert burial sites until this century. Those items which did fall into the hands of Pizarro and his followers, no matter how beautiful, were simply melted down : they included the gold fitter of the Inca emperor, Atahualpa, and the lifesize gold and silver animals and plants of the sacred garden of the sun-god in Cuzco. The looting of the gold of Peru by Pizarro was facilitated by the vain attempt of Atahualpa to purchase his freedom by offering to fi11 a certain room with gold and twice over with silver. The melting down of this ransom on nine forges continued for four months in 1533 and produced for Pizarro's 168 men no less than 13,420 pounds of 22- carat gold and 26,000 pounds of good silver. Even the simple foot soldiers each received forty-five pounds of gold and ninety of silver. Many retired immediately to Spain to spend the rest of their Jives in luxury, and, by their example, to entourage thousands more to set out for the New World to make their fortunes. By the end of the 1530s the more far-sighted settlers were turning from the simple looting of a d i minishing stock of native gold objects to mining. Both Peru and, to a lessen degree, Mexico were to be-- come significant gold-producers by the middle of the sixteenth century, as were Chile and New Granada (modern Colombia). But, following the discovery of fabulously rich silver deposits at Potosi (in modern Bolivia) in 1545 and at Zacatecas (Mexico) in 1548, it became clear that silver mining was to become the basis of economic life in Spanish America. The relative importante of the two metals is starkly indicated by the estimate that between 1500 and 1650 registered trade alone conveyed 181 tons of gold and 16,000 tons of silver to Spain from her American colonies. Because of its greater value and its legendary appeal, however, gold---or, to be more precise, the quest for gold—continued for many more decades to draw Spaniards deeper into the Americas. Much of the present-day territory of the United States South-west and South-east was traversed in 1540--43 by the expeditions of Hernando de Soto and Francisco Vázquez de Coronado as th.ey searched for the metal. Coronado penetrated as far as eastern Kansas before finally accepting that the legendary Seven Cities of Cibola were merely the humble dwellings of the Pueblo Indians, and Soto's exploration of Florida as far north as the Savannah River also proved fruitless. Thereafter, although retaining Florida for strategie reasons, Spain left the rest of the eastern seaboard of The forin in which gold from the Americas was shipped to Spain. This large disc shows the circular Royal Scals which were stamped after the Royal Fifth had heen paid, the reet. angular mark with snx letters denoting the place where it was cast, and, in Roman numerals, the gold content of the alloy in quilates (carats) and granos (grains). This disc, only 153 carats fine, was recently recovered from the wreek of a Spanish Galleon, Nuestra Sefiora de Atocha, which sank in a hurricane off Florida in 1622 Photograph by Jim Leggett 61 A track chart of the Atlantic Ocean prepared in 1588 by Baptista Bragio, an Italian cartographer living in London, from information Biven to him hy Francis Drake after his raid on the Spanish Indies. It also records Drake's visit to Roanoke, off the coast of wliat is now North Carolina, to take off Raleigh's colonists and bring them back to England after their unsuccess- ful search for gold in the island Courtesy of the Paul Mellon Collection, Upperville, Virginia North America to the attention of other nations. The challenge was taken up primarily by England, and there is abundant evidence that the hope of find- ing gold was one of the main considerations that lay behind the increasing involvement of Elizabethan explorers and adventurers with the new continent. The significance which Elizabeth I and her ministers attached to mining and national self-sufcieney in bath precious and base metals was evident from the verg beginning of her reign, when German tech- nologists, brought into the country originally to refine its base coinage, were encouraged to prospect for minerals in England itself. Daniel Hochstetter, a master miner and refiner from Augsburg, and Thomas Thurland, an Englishman, found rich copper ore containing silver at Keswick, in Cumberland, in 1564-5. The outcome was the incorporation in 1568 of the famous Company of the Mines Royal to exploit domestic urineral resources. Although a majority of its shareholders were English, control of the mining and refining operations was in the hands of German specialists led by Hochstetter. Cumber-- land remained the centre of operations, but mines were also opened in Wales and Cornwall, and a Dutch shareholder, Cornelius de Vos, was involved in gold mining at Crawford Moor on the River Clyde in Scotland. It was generally recognised, however, that the prospects of large-scale gold production at home were remote. America, on the other hand, seemed to offer a much more attractive prospect, particularly since the expertise of the Germans might be used to advantage there. The first significant involvement arose out of the voyage which Martin Frobisher made in 1576 in search of a Northwest Passage to Asia (and its gold), for he returned to England from Baffin Isiand witti, samples of a glittering black rock, probably marcasite, which he believed to be gold ore. The German scientist Burchard Kranisch, who earlier in his career had smelted lead in Derbyshire and silver in Cornwall, confirmed this opinion. It seems that for reasons which are unclear he "salted" melts of the ore with gold and silver coins of the realm. Frobisher brought back no less than two 162 hundred tons of "ore" from a second voyage in 1577. It was only when he returned home a third time from a major expedition carrying Cornish miners that he discovered his error. The powerful clique of adventurers and entre- preneurs, led by Richard Hakluyt and Sir Humphrey Gilbert, which was emerging in London to promote schemes for English colonisation in North America, was not deterred by this setback. Gilbert himself sailed in June 1583 to explore the southern shores of New England with a party which included, according to the narrative of Edward Hayes, "the minerall man and refiner ... a Saxon borne, honest and religious, named Daniel". They went first to Newfoundland, which Gilbert formally annexed, and there Daniel, Hayes tells us: "after search brought at first some sort of Ore, seeming rather to be yron then other metaal. The next time he found Ore, which with no smalt shew of contentment he delivered unto the General, using protestation, that if silver were the thing which might satisfie the Generall & his followers, there it was, advising him to leek no further." Shortly afterwards "our Saxon refiner and Discoverer of inestimable riches" and his ore were lost in a ship- wreck Gilbert, too, perished later on the voyage- and, despite the efforts of Hayes, plans for the settle- ment of Newfoundland and New England were deferred in favour of attempts further south, in Virginia. Sir Walter Raleigh, like his half brother Gilbert, whose patent he took over after the latter's death, clearly hoped to find gold in North America. Anony- mous notes written for his guidance as he prepared for the expedition which was to found the first settlement on Roanoke Island in 1585 advised lijm: "An alcamist is not Impertinent, to trye the metaylls that maybe discouerd and ... sum of ye myners of Cornwell ..." We know that this advice was heeded, for various accounts of the colony refer to the presence of a mineralogist who was clearly Joachim Gans, a Jew, born in Prague, who had produced an outstanding technical report on smelting techniques for the Company of the Mines Royal at Keswick in 1581. Richard Hakluyt's list of colonists, published in 1589 calls ham "Doughan Gannes"—it also has another "Daniel", who, it has been suggested, could have been Daniel Höchstetter—while the report of Ralph Lane, who was left in charge of the enterprise by Raleigh, refers to him as "Master Yougham". Lane describes the search for gold in some detail, telling us: "And touching the Minerall, thus doth Master Yougham affirme, that though it be but copper, seeing the Sauages are able to melt it, it is one of the richest Minerals in the worlde." Copper, no matter how pure, was no substitute, of course, for gold. Nor was the icon of which Thomas Hariot, another participant, wrote in 1588: cc. .. we found neere the water side the grounde to be rockie, which by the triall of a minerali man, was found to hold yron richly." The same commentator also reported finds of silver- "... we founde ... Riuers that yeelde also whyte graynes of Metaal, which is to be deerned Siluer". -- which was more promising, but gold remained the principal objective. Despite his inevitable dis- appointment at the failure of the Roanoke colony- the settlement was abandoned in July 1556 Raleigh continued to hope for precious metals in Virginia. He took care in 1589, for example, to reserve for himself, in an agreement drawn up with various merchants for fresh settlement: "the fift part of al] the oare of golde, and siluer that from time to time, and at all times after such dis- couerie ... shalbe there gotten and obtained ..." In fact, the last decade of the sixteenth century saw no further English settlement in North America, as, following the attack by the Armada, energies and resources were diverted to fighting Spanish ships- and seizing their treasure—on the high seal. It was not until 1607 that the Jamestown colony, the first permanent English settlement, was established by the Virginia Company. Although its promotors and the settlers continued to hope for gold John Smith protested that there was "no talke, no hope, nor worke, but dig gold, refine gold, load gold"—the metal simply did not materialise. The colony survived, however, for by 1614 its economie salvation had arrived in a different guise, following the intro- duction of tobacco from Trinidad. By the end of the decade 50,000 pounds of tobacco were being shipped to England each year for sale at high prices. By the second half of the seventeenth century the English settlers in both Virginia and New England had reconciled themselves to making their fortunes from agriculture and trade rather than mining. For the individual and the nation the ultimate objective remained the possession of gold, but, as Richard Hakluyt had foreseen, it was to be obtained not from mining, as in Spanish America, but from the sale of agricultural produce and manufactured goods on the world market. For the North American Indians this latter course was to prove even more destructive than the Spanish preoccupation with mining, for they had to be driven from their land to release it for farming. Roger Williams, the founder of Rhode Island, anticipated this development with his shrewd observation: "That God Land wilt be as great a God with us English as God Gold was with the Spaniard." 63 
work_snhbk2ukjfavbfa35fq7exaadu	----	Sharks in the jungle: real and imagined sea monsters of the Maya Sarah E. Newman∗ zeBeliziz Nicaragua Mexico Guatemala El Salvador Honduras 0 km 500N Representations and remains of sharks are found in Mesoamerican art and archaeology from the first millennium BC onwards. They appear at coastal sites, but also remarkably far inland, hundreds of kilometres from the waters where they were sighted or hunted. For the Maya of the interior of the Yucatán Peninsula, encounters with live sharks would have been an exceedingly rare occurrence. Yet the animals arrived inland in piecemeal fashion—as chunks of meat and sets of teeth—and via stories. By following the pro- curement, transportation, representation and ritual use of sharks from the sea to the jungle, the author shows how the ancient Maya drew on both evidence and myth to imagine and explain these unfamiliar marine creatures. Keywords: Mesoamerica, Maya, sharks, marine resources, teeth, caches, myth, iconography Introduction Traditionally, many scholars have conceived the history of science as beginning with the Greeks, who explicitly set out to define and describe ‘nature’, in both its fantastical and mundane registers (French 1994: 9–12; Mayor 2000: 3). Yet other peoples in the past, including those far beyond the Mediterranean, also sought to understand the natural phenomena surrounding them using a combination of first-hand observation, emic rationality and local legends (Mayor 2005). The world of the ancient Maya, with its tropical jungles, highlands and myriad waterways, encompassed a diversity of flora and fauna that begged both rational and mythical explorations. Building upon studies of ways in which the Maya directly interacted with their non-human counterparts (Thornton 2011; Götz & Emery 2013), this article examines how they perceived and appropriated largely unfamiliar creatures that existed at and beyond the margins of the known world. Specifically, the ways the inland Maya imagined sharks and their aquatic world are the main focus here. How did sharks move, physically and conceptually, from the coasts to the jungles of the Maya world? ∗ Department of Sociology and Anthropology, James Madison University, MSC 7501 Sheldon Hall, 71 Alumnae Drive, Harrisonburg, VA 22807, USA (Email: newma3se@jmu.edu) © Antiquity Publications Ltd, 2016 antiquity 90 354 (2016): 1522–1536 doi:10.15184/aqy.2016.218 1522 mailto:newma3se@jmu.edu http://dx.doi.org/10.15184/aqy.2016.218 R es ea rc h Sharks in the jungle Figure 1. Map of Mesoamerica showing sites where shark remains have been found. Sharks are represented at coastal Maya sites, but are also found far into the interior—at considerable distances from the seas and rivers where they might be sighted or hunted. They appear in indigenous Mesoamerican art as early as the first millennium BC and as late as the fifteenth century AD (Finamore & Houston 2010: 19), often as stylised, exaggerated beings. Teeth have been recovered from archaeological sites from the western Caribbean island of Cozumel, to Panama and El Salvador in the east, and employed in iconography from Palenque, in Chiapas, Mexico, to Lamanai, in Belize. Stories, images and actual pieces of sharks travelled inland over great distances (Figure 1). The varying lines of evidence presented here—ethnohistorical accounts, archaeological finds and iconography—broadly underscore the importance of examining human-animal interactions at multiple levels. Such interactions occur in the physical world, through hunting, butchery, acquisition and display, but also in more ephemeral realms, in myth and imagination. The Maya conceptualised, commodified and experienced sharks—both real and fantastical—in ways that simultaneously maintained a sense of wonder with natural phenomena, while serving grander cosmic purposes. Whether as trade goods, implements © Antiquity Publications Ltd, 2016 1523 Sarah E. Newman of sacrifice or primordial monsters, sharks moved fluidly through the Maya world, both overland and undersea. Predators and prey: hunting sharks The presence of sharks in inland Maya art and archaeology, whether as individual teeth or severed jaws, points to active hunting. Sharks lack the air bladders possessed by other fish; they cannot adjust their buoyancy in the water and must swim continuously. Sharks thus sink when they die, generally prohibiting the passive, post-mortem collection of their remains. Historical accounts suggest a variety of possibilities for specific shark-hunting strategies. In one example near Cuba, Hernándo Colón, son of Christopher Columbus, describes an intriguing method of fishing for turtles and sharks from canoes, using remoras (sucker-fish): Their manner of fishing was so strange and new to our men […] they had ty’d some small fishes they call Reverso by the tail, which run themselves against other fish, and with a certain roughness they have from the head to the middle of the back, they stick fast to the next fish they meet; and when the Indians perceive it, drawing their line, they hand them both in together […] and we have seen them fasten upon vast sharks (Gudger 1919: 447). Edward Herbert Thompson, an American archaeologist and diplomat in Yucatán, provided a recollection of his participation in a late-nineteenth century hunt for shark liver oil. Despite its small size and seeming vulnerability, Thompson’s account suggests the Maya dugout may have been well-suited to this purpose: “the little canoe danced like a cork on troubled waters, responding lightly to jerking pulls that would have been dangerous to a clumsier, heavier craft” (Thompson 1932: 33–34). According to Thompson, two native Maya fishermen embedded large hooks in bait, allowing the sharks to tire themselves out by struggling once they had been hooked, before finally drawing near and killing the creatures using a lance, mallet and a well-placed blow to the head. In colonial times, sharks were hunted for their teeth and their oil-rich livers, but their meat was consumed only as a last resort. John Lloyd Stephens (1993: 462) describes Spanish sailors fishing for sharks, which they call the “enemies of the Christians”, only if provisions grew short. Hooked sharks were hoisted aboard, their entrails were removed, and the rest of the fish immediately discarded overboard. Martin Tovilla, writing in 1630 of his voyage from Spain to Verapaz, describes catching a 5.2m-long shark containing three live tuna fish and many bones of men and other animals. Sharing the meat among the soldiers and sailors, with scraps to spare, Tovilla declared that “for fresh meat it was tough” (Feldman 2000: 60). Shark meat and shark liver oil might have been transported and consumed at inland sites (de Borhegyi 1961: 280–81), but these would leave no direct archaeological traces (sharks are cartilaginous fishes, lacking an inorganic component to their bones; only their teeth and occasional vertebrae survive). Certain factors make the transport of fresh shark meat to inland sites unlikely. As a result of their physiology, sharks retain urea in their blood and tissues. The urea begins to break down when a shark dies, imparting a strong smell and odour to the meat and becoming toxic in high concentrations. The problem can be solved by rapidly bleeding out a freshly caught animal and washing the carcass with seawater or © Antiquity Publications Ltd, 2016 1524 R es ea rc h Sharks in the jungle Table 1. Some additions to de Borhegyi’s (1961: tab. 1) list of shark remains recovered from Maya sites. Country Site Source Belize Altun Ha Pendergast 1978: 52 Belize Caracol Chase & Chase 1998: 317 Belize Caracol Chase & Chase 2007: 11, fig. 66e Belize Cerros Garber 1989: 53, fig. 17a Belize Colha Buttles 2002: 219, fig. 7.5 Belize Colha Buttles 2002: 225 Belize Cuello Hammond 1991 Belize Lamanai Pendergast 2006: 68, fig. 5.13 Belize Lubaantun Wing 1975: 382 Belize Moho Cay McKillop 1984: 29 El Salvador Chalchuapa Sheets 1978: 50 Guatemala El Zotz Arredondo Leiva et al. 2008: 77, figs 3-9 & 3-10 Guatemala Tikal Coe 1990: 307; Moholy-Nagy 1994: 109 Mexico Cozumel Hamblin 1984: 24–31, tab. 3.8 Mexico Champotón Götz 2008: tab. 1 Mexico Xcambó Götz 2008: tab. 1 Mexico Isla Cerritos Andrews et al. 1988: 202 Mexico Mayapan Masson & Peraza Lope 2008: tab. 3 Mexico Plan de Ayutla Martos López 2009: 65, fig. 17 soaking the meat in a weak acid solution, such as citrus juice (Musick 2005). Even if shark meat was traded and consumed far from the sea, butchery and preparation must have taken place at coastal sites in order to avoid potential toxicity. Other perishable parts and pieces were perhaps more valuable. In medical treatises on the New World, Nicolás Monardes (in 1574) and Francisco Ximénez (in 1615) both described the uses for little stones found in the heads of sharks (statoconia of the shark’s endolymphatic duct (Tester et al. 1972: 266)), which can be crushed and administered as a powder to aid those who cannot urinate, or to dissolve stones in the kidneys and bladder. According to Monardes, this technique was something “well inquired and well known by the Indians” (de Asúa & French 2005: 107). Deposits from the deep: shark teeth in Maya offerings Regardless of how they were acquired, sharks travelled from the sea to the jungle not only figuratively, but literally as well. De Borhegyi (1961: tab. 1) compiled an initial list of shark remains recovered from archaeological contexts in Mesoamerica. Focusing on shark teeth (although vertebrae are also recovered), his catalogue includes individual examples from residential areas at Postclassic Mayapan, in Yucatán, and from Late Classic caches at Piedras Negras, Guatemala, as well as examples from beyond the traditional borders of Mesoamerica, in Costa Rica and Panama. Some additions to de Borhegyi’s 1961 table (Figure 1) include shark teeth and vertebrae recovered from sites in Belize, El Salvador, Guatemala and Mexico (Table 1). © Antiquity Publications Ltd, 2016 1525 Sarah E. Newman Sharks, particularly their teeth, are found incorporated into deposits in Mesoamerica from Late Formative times (c. 1700–1500 BC). At the Olmec site of El Manatí in Veracruz, Mexico, a cylindrical wooden baton or sceptre, painted red and with a shark tooth embedded in one end, was recovered among offerings deposited at a natural spring (Arnold 2005: 12). A Protoclassic (c. AD 100–300) burial at Chiapa de Corzo contained 56 shark teeth positioned around the shaft area of an obsidian lance (Lowe & Agrinier 1960: 40, 85). Similarly, in Panama, Lothrop (1950: 14) described lances studded with the teeth of sharks and other fishes. These early examples may foreshadow much later uses observed in the sixteenth century by the Spanish Bishop Diego de Landa, who described “bows and arrows which they carried in their quivers, pointed with flints or the very sharp teeth of fishes” (Tozzer 1941: 121). More common are small quantities of individual teeth found in buried offerings, and especially lidded caches. Guderjan (2004: 37–38) argues that Early Classic dedicatory offerings of paired lip-to-lip bowls, recovered at the site of Blue Creek, Belize, were filled in successive levels, recreating the Maya cosmos. The lowest level of the inferior bowl was filled with materials representing the Primordial Sea, the next level with earth elements and finally, the domed lid of the superior vessel represented the heavens above. The shark teeth incorporated into caches throughout the Maya area were probably obtained, understood and deposited alongside other marine exotics as symbolic representations of the faraway, mythic sea. The process of ordering such deposits was, itself, a creative act: a recreation of the cosmic original. In a creation myth detailed in Palenque’s Temple XIX (see below), the upper and lower jaws of a primordial sea monster are split apart to form the heavens and the earth. Opening a cache vessel replicated this specific kind of creation—an act of separation rather than joining (Martin 2004: 6). A few examples of recovered shark teeth stand out. The first are two offerings made in temples at Palenque, which included fossil teeth from the species Carcharocles megalodon, an extinct shark measuring up to 18m in length and appropriately named “big tooth” (Pimiento & Clements 2014: 1), whose remains are found in inland fossil beds throughout Central America (González-Rodríguez et al. 2013: fig. 5). In addition to those documented by de Borhegyi, Cuevas García (2008: 669) reported a total of 13 fossilised shark teeth and 7 fossilised shark vertebrae at Palenque, with the teeth primarily encountered in votive offerings beneath temple floors, but also in funerary contexts. A cache found beneath the ballcourt at the nearby site of Plan de Ayutla also included a fossilised megalodon tooth (Martos López 2009: 65). Megalodon teeth are nearly three times the size of those from modern great white sharks and roughly five times the size of an average bull shark’s teeth (Figure 2; Gottfried et al. 1996). Another surprising item on de Borhegyi’s list is an Early Classic (c. AD 300–600) deposi- tion of 54 perforated teeth at the highland, inland site of Nebaj, most probably from a bull shark. Although bull shark teeth are known elsewhere, archaeologically and in iconography, the quantity of teeth recovered at Nebaj is unusual. The teeth all have two slightly cone- shaped perforations and are interspersed with “Spondylus shell spangles” as part of a band found behind the head of an individual in tomb 1, mound 2 (de Borhegyi 1961: 281). A separate large collection of shark teeth, recovered from a Late Classic (c. AD 725– 800) ceramic cache at El Zotz, included 51 specimens of mostly complete teeth and a © Antiquity Publications Ltd, 2016 1526 R es ea rc h Sharks in the jungle Figure 2. Comparison of Charcharocles megalodon tooth (left) with that of a modern great white shark (centre) and a bull shark (right). number of fragments, comprising 47 individual teeth in all. Along with the teeth, the lip- to-lip polychrome bowls also included a Spondylus shell pendant, a drill-carved greenstone figurine and crushed, unidentifiable faunal remains, all covered by two plates of muscovite mica (Figure 3). The cache was found in the fill of the basal platform beneath structure L7–11, El Zotz’s tallest temple-pyramid (Arredondo Leiva et al. 2008: 77–84). The layers of shark teeth and Spondylus beneath the greenstone figurine, the faunal remains and the mica between two lip-to-lip vessels follow the pattern of Maya caches as recreations of their cosmos. The cache’s placement in the foundational layer of Str. L7–11 transformed the pyramid into a symbolic mountain, the structure itself mimicking the cache’s replication and encapsulation of the world, only at a larger scale (Taube 2013). The teeth from the El Zotz cache belong to a requiem shark, possibly a dusky shark (Carcharhinus obscurus). They are all broadly triangular, with serrated edges and slightly oblique outlines, suggesting that they were taken from the upper jaw only. The high degree of similarity among the teeth suggests that they all came from a single individual (dusky sharks possess between 29–32 teeth per row in the upper jaw). Shark teeth are widely variable, not only among different species, but among individuals of a single species too, making it unlikely that such a homogeneous set would have been collected from multiple individuals (Castro 2011: 444–48). Although rarely noted in archaeological reports, other examples of shark teeth from cached offerings also predominantly comprise the upper teeth of requiem sharks (de Borhegyi 1961: 283; Buttles 2002: 225–27). The exclusion of the lower jaw may be unintentional, but the upper teeth of requiem sharks are serrated for cutting and tearing, while the lower teeth are narrow and pointed to hold prey in place. © Antiquity Publications Ltd, 2016 1527 Sarah E. Newman Figure 3. Late Classic (c. AD 650–750) cache from El Zotz, Petén, Guatemala, showing two polychrome vessels, two muscovite mica plates, a carved greenstone figurine, a Spondylus shell pendant and the upper teeth of a requiem shark, probably all from a single individual. Photograph by Stephen Houston. The serrated teeth may have been intentionally chosen by the Maya for ritual bloodletting, as was the case with the saw-like edges of more commonly found (and more brittle) stingray spines (Benson 1988). Xook: sharks in Maya imagery Although the Maya word for shark, xook (pronounced ‘shōk’), has been proposed as the origin of the English term (Jones 1985; Castro 2002), there is at least one attestation of the word ‘shark’ that pre-dates European-American contact by almost half a century. The word is found in the correspondence of Thomas Bekynton, secretary to King Henry VI and Bishop of Bath and Wells, in a letter dating to July 1442 (Nicolas 1828: 10–11): “Friday, at sea, in a calm, about seven in the evening, as we thought, a fish, called a shark, pursued the ship”. That sharks were known to Europeans prior to contact in the Americas © Antiquity Publications Ltd, 2016 1528 R es ea rc h Sharks in the jungle is further evidenced by the existence of early words for shark in Spanish (marrajo and cazón) and Portuguese (marraxo). The now-common term tiburón, of Carib origin, was initially adopted to differentiate between the small sharks observed in Europe and the larger sharks of the Caribbean (Corominas & Pascual 1983: 484–86; Castro 2002: 250). Among the Maya, the word xook is known from Classic-period texts, rendered as a logo- graph and with phonetic complements to guide pronunciation (Figure 4), as well as from Figure 4. Classic Maya logograph for xook (after Stone & Zender 2010: 203). colonial dictionaries of Mayan languages (Thompson 1944). Classic Maya rulers associated themselves with the powerful, semi-divinity of sharks by incorporating the creatures into their names, such as Tikal’s dynastic founder, Yax Ehb Xook (“First Step Shark”) and Ix K’abal Xook (“Lady Shark Fin”), an eighth-century queen of Yaxchilan (Stone & Zender 2011: 203). Sharks appear far earlier in Mesoamer- ican imagery than they do in texts. In Olmec art, they are represented from the first millennium BC, as seen on monument 58 from San Lorenzo, Veracruz (Taube 2010a: 262) or monument 63 from La Venta, Tabasco (Figure 5). Monument 63 may be an early version of a deeply rooted Mesoamerican legend, known as the Cipactli myth, in which supernaturals battle and best a primordial shark monster to create the world (Arnold 2005: 17). The name Cipactli (‘spiny one’) comes from a Postclassic Central Mexican telling, which appears in the Codex Vaticanus B and illustrates the sea monster struggling against the god Piltzintecuhtli. The Popol Vuh, the colonial-period K’iche’ Maya creation story, features an incident related to the Aztec myth, in which the monstrous being is known as Sipak, a name derived from the Nahuatl word Cipactli. Although this sea monster often possesses many characteristic shark features, it is also a fantastic image, combining the essential elements of other ferocious beings into one epic, piscine-crocodilian opponent (Taube 2010b: 204, 209). Earlier versions of the narrative, concerning the origins of rain, wind and maize, appear in multiple forms of Maya art. The xook logograph represents the ferocious fish in general, and specifically names the mythical monster (Houston & Martin 2012). A painted mural at the site of Mayapan, dating to the late fourteenth or early fifteenth century AD, depicts the same mythical scene: a shark, belly-up, run through by a harpoon, blood droplets issuing from its mouth into the water (Taube 2010b: 204– 205). Other examples illustrating the primordial legend include a plaque from Campeche, carved from a Caribbean conch, which shows the Maize God emerging from, or perhaps riding a shark, the butt of a spear protruding between the pointed teeth of the creature’s open jaws (Finamore & Houston 2010: pl. 87; Taube 2010a: 262). One vessel, from northern Petén or southern Campeche, shows two deities pursuing a © Antiquity Publications Ltd, 2016 1529 Sarah E. Newman shark, piercing its mid-section with a flint-tipped spear (Finamore & Houston 2010: pl. 80). An incised vase illustrates the same hunt, although the deities are shown Figure 5. Monument 63 from La Venta, showing an Olmec version of the story involving a mythical human vs sea monster battle (after Clark et al. 2010: fig. 1.7c). spearing their prey from canoes (Stone & Zender 2011: fig. 50.4). Another polychrome vessel depicts a young Wind God emerging from the mouth of a shark, blood flowing from the creature’s wounds, along with a caption that includes the phrase “the shark is speared” (Stone & Zender 2011: 203). In related imagery, an infant Maize God is born from the open jaws of the dying shark, an event seemingly referenced by Maize God impersonators in Maya art, who often prominently display a shark’s head at the groin (Figure 6; Houston 2010: 77; Stone & Zender 2011: 203). Intriguingly, the maw displayed includes only the upper jaws of a shark, perched above a Spondylus shell (as a receptacle for blood), recalling the predom- inance of upper teeth in cached offerings. This correlation between iconography and artefacts raises the possibility that only the upper jaws of sharks, prized for their cutting edges, were transported inland. Indeed, it is possible that the Maya of the interior jungles never saw a complete pair of shark jaws, only the upper half. Some Maya representations of sharks are naturalistic, suggesting direct observation and close contact with the live fish. An effigy vessel in the National Museum of the American Indian, for example, depicts a shark with carefully crafted anatomical details (Figure 7; although see the description of this vessel as a “mythic crocodilian figure” in Pendergast 2006: 68). Recovered from Lamanai, Belize, the vessel shows the creature with accentuated nostrils, placed on the underside of its snout (rather than below the eyes, a clear difference between sharks and other fish). The first dorsal fin is, appropriately, larger than the second. The primary dorsal fin © Antiquity Publications Ltd, 2016 1530 R es ea rc h Sharks in the jungle serves as a small lid to the effigy vessel, which contained three shark teeth, along with shell inlays, beads and pendants, and chert bifaces. On either side of the shark’s open mouth, two tubes curve downward, perhaps illustrating the distinctive fleshy barbels of the nurse shark (Ginglymostoma cirratum). Nurse sharks are commonly found in the waters of Chetumal Bay, in northern Belize, and were probably familiar sights to the inhabitants of Lamanai, although live shark sightings would still have required a journey of almost 90km (facilitated by river travel). Stone and Zender (2011: 203) suggest that the logograph for xook and full-figure variants of that sign are realistic portraits of the bull shark (Carcharhinus leucas), with its blunt snout, Figure 6. Shark jaws (shaded) worn over the groin in impersonation of the Maya Maize God, as depicted on a carved slab found east of Copán’s Great Plaza (after Taube 1985: fig. 9a). hooked eye, serrated and triangular teeth, and numerous facial and body fins (Figure 4). Although it may perhaps seem surprising that such faithful representations of sharks occur at inland sites, the bull shark is unique in its ability to penetrate fresh water. It can often be found hundreds of kilometres from the sea, travelling inland along river pathways, including the Usumacinta River along the Guatemala- Mexico border or the Lake Izabal-Rio Dulce system of eastern Guatemala (Thor- son et al. 1966). In other cases, the observable physicality of real sharks blends with, or diverges from figurative understandings of their form. An early depiction on a polychrome plate from the Petén area of Guatemala (c. AD 250–350) shows a highly stylised version of a shark (Figure 8; Finamore & Houston 2010: pl. 30). Its bifurcated tail with unequal lobes, and its pair of stiff pectoral fins are features generally suggestive of shark anatomy (as opposed to the symmetrical tails of, and smaller, more flexible fins of, fish), while the creature’s open mouth shows its rough, jagged dentition with a single larger tooth at the front and centre of its upper jaw. The main tooth is marked with an iconographic element often seen on depictions of polished jade celts, and used to convey a hard, shiny and precious quality to the materials it marks (Taube & Ishihara-Brito 2012: 145). The single, triangular shark tooth is also employed as a distinguishing characteristic of particular Maya deities. At Palenque, Mexico, a god known simply as GI is part of a © Antiquity Publications Ltd, 2016 1531 Sarah E. Newman triad of primordial deities at the heart of that site’s creation myth. A bench in Palenque’s temple XIX recounts a bloody conquest between GI and a supernatural, crocodilian beast, Figure 7. A naturalistic shark effigy vessel from Lamanai, Belize. National Museum of the American Indian, Smithsonian Institution (9/1594). Photograph by NMAI Photo Services. a local version of the Cipactli myth, in which the earth and sky are fashioned from the jaws of the defeated, beheaded creature (Stone & Zender 2011: 53). GI is often depicted with a single shark tooth as a central incisor, along with swirling fish eyes and barbels or fins on his cheeks (Finamore & Houston 2010: pls 25 & 90). At El Zotz, one of three versions of the Maya Sun God displays a shark tooth as his central incisor, with droplets of blood falling from his mouth (Taube & Houston in press). This nocturnal, blood-drinking Sun God sinks into the ‘fiery pool’ of the western sea at sunset (Finamore & Houston 2010). The sanguine droplets flowing from his mouth and the sunset-red, salty sea highlight an association between the strong saline taste of both fluids, perhaps another allusion to the Cipactli myth in which the great sea monster is speared and slain, making the ocean a realm of blood, violent conflict and dangerous beasts (Taube 2010b: 209). Although sharks lose and regrow their teeth consistently throughout their lives, the lost teeth generally sink to the ocean floor, washing up on beaches only occasionally via tricks of the tide. Fossilised shark teeth such as those recovered from caches at Palenque and Plan de Ayutla are, however, more likely to be found as individual elements because they sank to the ocean floor when the seas covered much of the land mass exposed today. It Figure 8. An Early Classic tetrapod plate shows a highly stylised version of a shark, emphasising a single, central tooth. Drawing by James Doyle. © Antiquity Publications Ltd, 2016 1532 R es ea rc h Sharks in the jungle is little wonder that these and other shark teeth—in the case of megalodon, each one larger than the span of an average adult man’s hand—captured the Maya imagination and became prominent attributes of gods and monsters. Individual megalodon teeth would not only have epitomised the qualities of hardness and shininess cued in Maya depictions of sharks, but also provide a potential explanation for the emphasis on the single large tooth (such as that depicted in examples of Palenque’s ancestral deity, GI). Moreover, if the teeth from extant sharks were commonly transported inland as singular elements, the Maya in the jungles of Chiapas may have logically suspected that enormous, single-toothed sharks continued to dominate the seas (for a broader discussion of perceptions of megalodon fossils in the Americas, see also Mayor 2005: 137, 211). In associating fossilised shark teeth with primordial sea monsters, the Maya may have been well ahead of their time. It would be almost a millennium before Europe’s burgeoning biologists would similarly tie megalodon teeth from Malta, known as ‘tongue stones’, to large sharks from the distant past (Moore 1993: 107). Conclusion Although sharks lived at the geographic boundaries of the Maya world, they are conspicuous in art and other forms of narrative from both the near and distant past. Marine sharks would have been relatively rare for most of the Classic Maya, yet they were obviously present on the coasts, and also as mythical beasts in the imagination. For the inland Maya of the Yucatán peninsula, the sea marked the limits of the land in all directions, a fabled home to supernatural deities and energies. Sharks were associated with blood, pain and danger worthy of consideration and depiction, but from a safe distance (Houston 2010: 77). “Suspended between the mundane and the miraculous” (Daston & Park 1998: 14), sharks populated the wonder-filled margins and unknown edges of the natural world. Big, toothy and terrifying, sharks lurked beyond the borders of mainland Mesoamerica, but loomed large in the imaginations of its inhabitants. Yet notions of ferocious fish and dangerous deities with shark attributes were based in part on physical evidence—great stone teeth found in the earth (Gottfried et al. 1996; Cuevas García 2008: 669; Martos López 2009: 65; González-Rodríguez et al. 2013: fig. 5), or carefully transported sets of sharp, serrated jaws—combined with legends and interpretations exchanged along the same networks that brought physical marine exotica from coastal to inland Maya communities. In an analogous example from Medieval Europe, Pluskowski (2004: 300–305) describes how narwhal tusks from Greenland were appropriated as unicorn horns in the British Isles, Scandinavia and the Baltic. The tusks were significant objects of trade, but knowledge of their origins was limited to mercantile and courtly circles, further obscured by each successive exchange. Sharks were hunted, butchered, transported, interred in caches, affixed as attributes of gods and kings, depicted in painted murals, on ceramic vessels and through carved reliefs. They held different meanings along the coasts, in the jungles and even within the palaces of the Maya world. Tracing these creatures in deposits and depictions not only evidences the introduction and movement of marine elements through overland trade routes, but also illustrates the pathways along which ideas about these animals travelled and changed. © Antiquity Publications Ltd, 2016 1533 Sarah E. Newman Acknowledgements This topic began as an informal presentation at Brown University’s Joukowsky Institute for Archaeology and the Ancient World, and took its current form thanks to the support of a J.M. Stuart Fellowship at the John Carter Brown Library. Drafts were improved by the comments and insights offered by Stephen Houston, Felipe Rojas, Andrea Flores, Sarah Craft, James Osborne, Mary Clarke, Daniel Finamore, Norman Hammond and an anonymous reviewer, and I am grateful to them for their suggestions. The National Museum of the American Indian, James Doyle and Stephen Houston generously provided images. References Andrews, A.P., T. Gallareta Negrón, F. Robles Castellanos, R. Cobos Palma & P. Cervera Rivero. 1988. Isla Cerritos: an Itzá trading port on the north coast of Yucatán, Mexico. National Geographic Research 4: 196–207. Arnold, P.J. III 2005. The shark-monster in Olmec iconography. Mesoamerican Voices 2: 1–38. Arredondo Leiva, E., S.D. Houston & C. Walker. 2008. 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Recreating the cosmos: Early Classic dedicatory caches at Blue Creek. Acta Mesoamericana 14: 33–39. Gudger, E.W. 1919. On the use of the sucking-fish for catching fish and turtles: studies in Echeneis or Remora, II. The American Naturalist 53: 446–67. http://dx.doi.org/10.1086/279724 Hamblin, N.L. 1984. Animal use by the Cozumel Maya. Tucson: University of Arizona Press. Hammond, N. 1991. Ceramic, bone, shell, and ground stone artifacts, in N. Hammond (ed.) Cuello: an early Maya community in Belize: 176–91. Cambridge: Cambridge University Press. Houston, S.D. 2010. Living waters and wondrous beasts, in D. Finamore & S. Houston (ed.) Fiery pool: the Maya and the mythic sea: 66–79. Salem (MA): Peabody Essex Museum. Houston, S.D. & S. Martin. 2012. Mythic prototypes and Maya writing. Available at: https://decipherment.wordpress.com/2012/ 01/04/mythic-prototypes-and-maya-writing/. (accessed 11 August 2016). Jones, T. 1985. 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Where earth and sky meet: the sea and sky in ancient and contemporary Maya cosmology, in D. Finamore & S. Houston (ed.) Fiery pool: the Maya and the mythic sea: 202–19. Salem (MA): Peabody Essex Museum. – 2013. The Classic Maya temple: centrality, cosmology, and sacred geography, in D. Ragavan (ed.) Heaven on earth: temples, ritual, and cosmic symbolism in the ancient world. Chicago (IL): Oriental Institute at the University of Chicago. Taube, K. & S. Houston. In press. Masks and iconography, in S.D. Houston, S.E. Newman, T.G. Garrison & E. Román Temple of the Night Sun: a royal tomb at El Diablo, Guatemala. San Francisco (CA): Precolumbia Mesoweb. Taube, K. & R. Ishihara-Brito. 2012. From stone to jewel: jade in ancient Maya religion and rulership, in J. Pillsbury, M. Doutriaux, R. Ishihara-Brito & A. Tokovinine (ed.) Ancient Maya art at Dumbarton Oaks. Washington, D.C.: Dumbarton Oaks Research Library and Collection. Tester, A.L., J.I. Kendall & W.B. Milisen. 1972. Morphology of the ear of the shark genus Carcharhinus, with particular reference to the macula neglecta. Pacific Science 26: 264–74. Thompson, E.H. 1932. People of the serpent: life and adventure among the Mayas. New York: Houghton Mifflin. Thompson, J.E.S. 1944. The fish as a Maya symbol for counting and further discussion of directional glyphs (Theoretical Approaches to Problems 2). Cambridge (MA): Carnegie Institute of Washington. Thornton, E.K. 2011. Reconstructing ancient Maya animal trade through strontium isotope (87Sr/86Sr) analysis. Journal of Archaeological Science 38: 3254–63. http://dx.doi.org/10.1016/j.jas.2011.06.035 Thorson, T.B., C.M. Cowan & D.E. Watson. 1966. Sharks and sawfish in the Lake Izabal-Rio Dulce System, Guatemala. Copeia 3: 620–22. http://dx.doi.org/10.2307/1441111 Tozzer, A.M. 1941. Landa’s relación de las cosas de Yucatán: a translation (Papers of the Peabody Museum of American Archaeology and Ethnology 4(3)). Cambridge (MA): Harvard University. Wing, E.S. 1975. Animals at Lubaantun, in N.D. Hammond Lubaantun: a Classic Maya realm (Monographs of the Peabody Museum of Archaeology and Ethnology 2): 379–82. Cambridge (MA): Harvard University. Received: 28 July 2015; Accepted: 19 November 2015; Revised: 20 November 2015 © Antiquity Publications Ltd, 2016 1536 Introduction Predators and prey: hunting sharks Deposits from the deep: shark teeth in Maya offerings Xook: sharks in Maya imagery Conclusion Acknowledgements References 
work_sphq36svnbhx3ce3o2cn3up7yi	----	This is an author produced version of a paper published in Slavonica. This paper has been peer-reviewed but does not include the final publisher proof-corrections or journal pagination. Citation for the published paper: Petersson, Bo. (2017). History as therapy : alternative history and nationalist imaginings in Russia, 1991–2014. Slavonica, vol. 22, issue 1-2, p. null URL: https://doi.org/10.1080/13617427.2017.1382756 Publisher: Routledge This document has been downloaded from MUEP (https://muep.mah.se) / DIVA (https://mau.diva-portal.org). History as Therapy: Alternative History and Nationalist Imaginings in Russia, 1991- 2014. By Konstantin Sheiko and Stephen Brown. Pp. 232. Stuttgart: ibidem-Verlag, 2014. €29.90. ISBN: 9783838206653. Two scholars at Wollongong University, Australia, have authored this highly topical volume on alternative history writing in contemporary Russia. The tendency towards questioning established truths about Russian history has to a large extent been associated with the writings of Anatolii Fomenko, a professor of mathematics based at Moscow State University since Soviet times and a member of the Russian Academy of Sciences. As a mathematician, Fomenko is renowned; as a historian, he is a fanciful amateur at best, but he has attracted a lot of increasingly influential followers. Fomenko’s principal claim is that the standard chronology of Russian history is flawed in completely missing the existence of a grand Slav- Turk empire that dominated much of the world before modern times. A general theme among Russia’s alternative historians and promoted by Fomenko is that the standard, essentially falsified, historical narrative has been forced upon Russia by the West. A Western conspiracy, which is supposed to have been at work since the ascension to the throne of the Romanov family in the early seventeenth century, is the principal explanation for the downplaying of Russian feats in earlier history. The Romanovs, not least the modernizer Peter the Great, had acted as a fifth column, in complicity with the devious West, at that time led by the Germans. Among the claims of the alternative historians is also that the Vikings never played a role in the founding of the first Russian state, the Kievan Rus (a theme that was also nurtured by several Soviet historians); that the Mongol dominion over Russia from the thirteenth to the fifteenth century never took place; that Tsar Ivan the Terrible was essentially a good ruler, but was then replaced by Western imposters who falsely ruled under his name; and so on, all the way down to assertions that Christopher Columbus was, in fact, Russian, as was, in much earlier history, Moses. The activities of these charlatan historians are important to study for two reasons. Firstly, their books are very popular. In copies sold they by far outnumber the publications by professional historians. The reason for this is indicated by the apt title of the book. When still working to overcome the psychological trauma that the dissolution of the superpower, the Soviet Union, meant for a vast number of Russians, history can be used as therapy. Showing that in the old days Russia wielded unrivalled might and glory makes it easier to claim that Russia of today has a rightful place as a global great power, and that it will, due to its inherent greatness and moral superiority, take up that dominant position again. Secondly, these sentiments fit well with the general direction of policies associated with Vladimir Putin over the past fifteen years or so. During his presidential tenures, as well as his four years as Prime Minister when Dmitrii Medvedev was filling in for him, the assertiveness of Russian foreign policy has grown and the international climate has almost come to approach a Cold War chill. In this context, the writings of the alternative historians have moved away from the lunatic fringe of pseudo-academia to a central position in Russia’s mainstream political debates. This is an alarming development and I wish that the authors of this volume had dwelt on it more. They do give a thorough account of the arguments of the alternative historians, but only rarely show how the claims of alternative history have been used in political discourse and by prominent political actors, including Putin himself. In fact, had the authors ventured more deeply into the role that alternative history plays in Russia’s political arena, they would have also noticed a certain contradiction between the tenets of the alternative historians and some of the arguments articulated by Putin. The claim that the Romanovs served to denigrate Russia’s global importance in earlier history does not sit well with the admiration that Putin, above all in the earlier years of his presidencies, often expressed towards Peter as modernizer, reformer and symbol of Russian great-power prowess. The authors do note that in the eyes of radical Russian nationalists, Putin, often depicted as a bogeyman in Western public discourses, has actually come to be seen as too moderate, too soft, too pro-Western. Maybe their diverging assessments of Peter the Great are indicative of precisely this rift. This is something that the authors could perhaps pick up, should they decide to write a sequel to this thought-provoking and valuable book. Malmö University, Sweden Bo Petersson 
work_spzfifx7jjby5o36uc4swysnaa	----	pone.0074554 1..10 Highlighting Entanglement of Cultures via Ranking of Multilingual Wikipedia Articles Young-Ho Eom, Dima L. Shepelyansky* Laboratoire de Physique Théorique du CNRS, IRSAMC, Université de Toulouse, UPS, Toulouse, France Abstract How different cultures evaluate a person? Is an important person in one culture is also important in the other culture? We address these questions via ranking of multilingual Wikipedia articles. With three ranking algorithms based on network structure of Wikipedia, we assign ranking to all articles in 9 multilingual editions of Wikipedia and investigate general ranking structure of PageRank, CheiRank and 2DRank. In particular, we focus on articles related to persons, identify top 30 persons for each rank among different editions and analyze distinctions of their distributions over activity fields such as politics, art, science, religion, sport for each edition. We find that local heroes are dominant but also global heroes exist and create an effective network representing entanglement of cultures. The Google matrix analysis of network of cultures shows signs of the Zipf law distribution. This approach allows to examine diversity and shared characteristics of knowledge organization between cultures. The developed computational, data driven approach highlights cultural interconnections in a new perspective. Dated: June 26, 2013 Citation: Eom Y-H, Shepelyansky DL (2013) Highlighting Entanglement of Cultures via Ranking of Multilingual Wikipedia Articles. PLoS ONE 8(10): e74554. doi:10.1371/journal.pone.0074554 Editor: Matjaz Perc, University of Maribor, Slovenia Received June 26, 2013; Accepted August 5, 2013; Published October 3, 2013 Copyright: � 2013 Eom, Shepelyansky. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This research is supported in part by the EC FET Open project ‘‘New tools and algorithms for directed network analysis’’ (NADINE number 288956). No additional external funding received for this study. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. * E-mail: dima@irsamc.ups-tlse.fr Introduction Wikipedia, the online collaborative encyclopedia, is an amazing example of human collaboration for knowledge description, characterization and creation. Like the Library of Babel, described by Jorge Luis Borges [1], Wikipedia goes to accumulate the whole human knowledge. Since every behavioral ‘footprint’ (log) is recorded and open to anyone, Wikipedia provides great oppor- tunity to study various types of social aspects such as opinion consensus [2,3], language complexity [4], and collaboration structure [5–7]. A remarkable feature of Wikipedia is its existence in various language editions. In a first approximation we can attribute each language to an independent culture, leaving for future refinements of cultures inside one language. Although Wikipedia has a neutral point of view policy, cultural bias or reflected cultural diversity is inevitable since knowledge and knowledge description are also affected by culture like other human behaviors [8–11]. Thus the cultural bias of contents [12] becomes an important issue. Similarity features between various Wikipedia editions has been discussed at [13]. However, the cross- cultural difference between Wikipedia editions can be also a valuable opportunity for a cross-cultural empirical study with quantitative approach. Recent steps in this direction, done for biographical networks of Wikipedia, have been reported in [14]. Here we address the question of how importance (ranking) of an article in Wikipedia depends on cultural diversity. In particular, we consider articles about persons. For instance, is an important person in English Wikipedia is also important in Korean Wikipedia? How about French? Since Wikipedia is the product of collective intelligence, the ranking of articles about persons is a collective evaluation of the persons by Wikipedia users. For the ranking of Wikipedia articles we use PageRank algorithm of Brin and Page [15], CheiRank and 2Drank algorithms used in [16–18], which allow to characterize the information flows with incoming and outgoing links. We also analyze the distribution of top ranked persons over main human activities attributed to politics, science, art, religion, sport, etc (all others), extending the approach developed in [17,19] to multiple cultures (languages). The comparison of different cultures shows that they have distinct dominance of these activities. We attribute belongings of top ranked persons at each Wikipedia language to different cultures (native languages) and in this way construct the network of cultures. The Google matrix analysis of this network allows us to find interconnections and entanglement of cultures. We believe that our computational and statistical analysis of large-scale Wikipedia networks, combined with comparative distinctions of different languages, generates novel insights on cultural diversity. Methods We consider Wikipedia as a network of articles. Each article corresponds to a node of the network and hyperlinks between articles correspond to links of the network. For a given network, we can define adjacency matrix Aij . If there is a link (one or more quotations) from node (article) j to node (article) i then Aij ~1, otherwise, Aij ~0. The out-degree kout(j) is the number of links from node j to other nodes and the in-degree kin(j) is the number of links to node j from other nodes. PLOS ONE | www.plosone.org 1 October 2013 | Volume 8 | Issue 10 | e74554 Google matrix The matrix Sij of Markov chain transitions is constructed from adjacency matrix Aij by normalizing sum of elements of each column to unity (Sij ~Aij= P i Aij , P i Sij ~1) and replacing columns with only zero elements ( dangling nodes) by 1=N, with N being the matrix size. Then the Google matrix of this directed network has the form [15,20]: Gij ~aSij z(1{a)=N: ð1Þ In the WWW context the damping parameter a describes the probability (1{a) to jump to any article (node) for a random walker. The matrix G belongs to the class of Perron-Frobenius operators, it naturally appears in dynamical systems [21]. The right eigenvector at l~1, which is called the PageRank, has real non-negative elements P(i) and gives a probability P(i) to find a random walker at site i. It is possible to rank all nodes in a decreasing order of PageRank probability P(K (i)) so that the PageRank index K (i) sorts all N nodes i according their ranks. For large size networks the PageRank vector and several other eigenvectors can be numerically obtained using the powerful Arnoldi algorithm as described in [22]. The PageRank vector can be also obtained by a simple iteration method [20]. Here, we use here the standard value of a~0:85 [20]. To rank articles of Wikipedia, we use three ranking algorithms based on network structure of Wikipedia articles. Detail descrip- tion of these algorithms and their use for English Wikipedia articles are given in [17–19,22]. PageRank algorithm PageRank algorithm is originally introduced for Google web search engine to rank web pages of the World Wide Web (WWW) [15]. Currently PageRank is widely used to rank nodes of network systems including scientific papers [23], social network services [24] and even biological systems [25]. Here we briefly outline the iteration method of PageRank computation. The PageRank vector P(i,t) of a node i at iteration t in a network of N nodes is given by P(i,t)~ X j Gij P(j,t{1) , P(i,t) ~(1{a)=Nza X j Aij P(j,t{1)=kout(j): ð2Þ The stationary state P(i) of P(i,t) is the PageRank of node i. More detail information about PageRank algorithm is described in [20]. Ordering all nodes by their decreasing probability P(i) we obtain the PageRank index K (i). The essential idea of PageRank algorithm is to use a directed link as a weighted ‘recommendation’. Like in academic citation network, more cited nodes are considered to be more important. In addition, recommendations by highly ranked articles are more important. Therefore high PageRank nodes in the network have many incoming links from other nodes or incoming links from high PageRank nodes. CheiRank algorithm While the PageRank algorithm uses information of incoming links to node i, CheiRank algorithm considers information of outgoing links from node i [16–18]. Thus CheiRank is comple- mentary to PageRank in order to rank nodes in directed networks. The CheiRank vector P�(i,t) of a node at iteration time t is given by P�(i)~(1{a)=Nza X j Aji P �(j)=kin(j) ð3Þ We also point out that the CheiRank is the right eigenvector with maximal eigenvalue l~1 satisfying the equation P�(i)~P j G � ij P �(j), where the Google matrix G� is built for the network with inverted directions of links via the standard definition of G given above. Like for PageRank, we consider the stationary state P�(i) of P�(i,t) as the CheiRank probability of node i at a~0:85. High CheiRank nodes in the network have a large out-degree. Ordering all nodes by their decreasing probability P�(i) we obtain the CheiRank index K�(i). We note that PageRank and CheiRank naturally appear in the world trade network corresponding to import and export in a commercial exchange between countries [26]. The correlation between PageRank and CheiRank vectors can be characterized by the correlator k [16–18] defined by k~N X i P(i) P�(i){1 ð4Þ The value of correlator for each Wikipedia edition is represented in Table 1. All correlators are positive and distributed in the interval (1,8). 2DRank algorithm With PageRank P(i) and CheiRank P�(i) probabilities, we can assign PageRank ranking K (i) and CheiRank ranking K�(i) to each article, respectively. From these two ranks, we can construct 2-dimensional plane of K and K�. The two dimensional ranking K2 is defined by counting nodes in order of their appearance on ribs of squares in (K ,K�) plane with the square size growing from K~1 to K~N [17]. A direct detailed illustration and description of this algorithm is given in [17]. Briefly, nodes with high PageRank and CheiRank both get high 2DRank ranking. Table 1. Considered Wikipedia networks from language editions: English (EN), French (FR), German (DE), Italian (IT), Spanish (ES), Dutch (NL), Russian (RU), Hungarian (HU), Korean (KO). Edition NA NL k Date EN 3920628 92878869 3.905562 Mar. 2012 FR 1224791 30717338 3.411864 Feb. 2012 DE 1396293 32932343 3.342059 Mar. 2012 IT 917626 22715046 7.953106 Mar. 2012 ES 873149 20410260 3.443931 Feb. 2012 NL 1034912 14642629 7.801457 Feb. 2012 RU 830898 17737815 2.881896 Feb. 2012 HU 217520 5067189 2.638393 Feb. 2012 KO 323461 4209691 1.084982 Feb. 2012 Here NA is number of articles, NL is number of hyperlinks between articles, k is the correlator between PageRank and CheiRank. Date represents the time in which data are collected. doi:10.1371/journal.pone.0074554.t001 Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 2 October 2013 | Volume 8 | Issue 10 | e74554 Figure 1. PageRank probability P(K ) as function of PageRank index K (a) and CheiRank probability P�(K�) as function of CheiRank index K� (b). For a better visualization each PageRank P and CheiRank P� curve is shifted down by a factor 100 (EN), 101 (FR), 102 (DE), 103 (IT), 104 (ES), 105 (NL), 106 (RU), 107 (HU), 108 (KO). doi:10.1371/journal.pone.0074554.g001 Figure 2. Density of Wikipedia articles in the PageRank ranking K versus CheiRank ranking K� plane for each Wikipedia edition. The red points are top PageRank articles of persons, the green points are top 2DRank articles of persons and the cyan points are top CheiRank articles of persons. Panels show: English (top-left), French (top-center), German (top-right), Italian (middle-left), Spanish (middle-center), Dutch (middle-left), Russian (bottom-left), Hungarian (bottom-center), Korean (bottom-right). Color bars shown natural logarithm of density, changing from minimal nonzero density (dark) to maximal one (white), zero density is shown by black. doi:10.1371/journal.pone.0074554.g002 Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 3 October 2013 | Volume 8 | Issue 10 | e74554 Data Description We consider 9 editions of Wikipedia including English (EN), French (FR), German (DE), Italian (IT), Spanish (ES), Dutch (NL), Russian (RU), Hungarian (HU) and Korean (KO). Since Wikipedia has various language editions and language is a most fundamental part of culture, the cross-edition study of Wikipedia can give us insight on cultural diversity. The overview summary of parameters of each Wikipedia is represented in Table 1. The corresponding networks of these 9 editions are collected and kindly provided to us by S.Vigna from LAW, Univ. of Milano. The first 7 editions in the above list represent mostly spoken European languages (except Polish). Hungarian and Korean are additional editions representing languages of not very large population on European and Asian scales respectively. They allow us to see interactions not only between large cultures but also to see links on a small scale. The KO and RU editions allow us to compare views from European and Asian continents. We also note that in part these 9 editions reflect the languages present in the EC NADINE collaboration. We understand that the present selection of Wikipedia editions does represent a complete view of all 250 languages present at Wikipedia. However, we think that this selection allows us to perform the quantitative statistical analysis of interactions between cultures making a first step in this direction. To analyze these interactions we select the fist top 30 persons (or articles about persons) appearing in the top ranking list of each of 9 editions for 3 ranking algorithms of PageRank, CheiRank and 2DRank. We select these 30 persons manually analyzing each list. We attribute each of 30 persons to one of 6 fields of human activity: politics, science, art, religion, sport, and etc (here ‘‘etc’’ includes all other activities). In addition we attribute each person to one of 9 selected languages or cultures. We place persons belonging to other languages inside the additional culture WR (world) (e.g. Plato). Usually a belonging of a person to activity field Table 2. Example of list of top 10 persons by PageRank for English Wikipedia with their field of activity and native language. REN,PageRank Person Field Culture Locality 1 Napoleon Politics FR Non-local 2 Carl Linnaeus Science WR Non-local 3 George W. Bush Politics EN Local 4 Barack Obama Politics EN Local 5 Elizabeth II Politics EN Local 6 Jesus Religion WR Non-local 7 William Shakespeare Art EN Local 8 Aristotle Science WR Non-local 9 Adolf Hitler Politics DE Non-local 10 Bill Clinton Politics EN Local doi:10.1371/journal.pone.0074554.t002 Figure 3. Distribution of top 30 persons in each rank over activity fields for each Wikipedia edition. Panels correspond to (a) PageRank, (b) 2DRank, (3) CheiRank. The color bar shows the values in percents. doi:10.1371/journal.pone.0074554.g003 Figure 4. Distributions of top 30 persons over different cultures corresponding to Wikipedia editions, ‘‘WR’’ category represents all other cultures which do not belong to considered 9 Wikipedia editions. Panels show ranking by (a) PageRank, (b) 2DRank, (3) CheiRank. The color bar shows the values in percents. doi:10.1371/journal.pone.0074554.g004 Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 4 October 2013 | Volume 8 | Issue 10 | e74554 and language is taken from the English Wikipedia article about this person. If there is no such English Wikipedia article then we use an article of a Wikipedia edition language which is native for such a person. Usually there is no ambiguity in the distribution over activities and languages. Thus Christopher Columbus is attributed to IT culture and activity field etc, since English Wikipedia describes him as ‘‘italian explorer, navigator, and colonizer’’. By our definition politics includes politicians (e.g. Barak Obama), emperors (e.g. Julius Caesar), kings (e.g. Charlemagne). Arts includes writers (e.g. William Shakespeare), singers (e.g. Frank Sinatra), painters (Leonardo da Vinci), architects, artists, film makers (e.g. Steven Spielberg). Science includes physicists, philosophers (e.g. Plato), biologists, mathema- ticians and others. Religion includes such persons as Jesus, Pope John Paul II. Sport includes sportsmen (e.g. Roger Federer). All other activities are placed in activity etc (e.g. Christopher Columbus, Yuri Gagarin). Each person belongs only to one language and one activity field. There are only a few cases which can be questioned, e.g. Charles V, Holy Roman Emperor who is attributed to ES language since from early long times he was the king of Spain. All listings of person distributions over the above categories are presented at the web page given at Supporting Information (SI) file and in 27 tables given in File S1. Unfortunately, we were obliged to construct these distributions manually following each person individually at the Wikipedia ranking listings. Due to that we restricted our analysis only to top 30 persons. We think that this number is sufficiently large so that the statistical fluctuations do not generate significant changes. Indeed, we find that our EN distribution over field activities is close to the one obtained for 100 top persons of English Wikipedia dated by Aug 2009 [17]. To perform additional tests we use the database of about 250000 person names in English, Italian and Dutch from the research work [14] provided to us by P.Aragón and A.Kalten- brunner. Using this database we were able to use computerized (automatic) selection of top 100 persons from the ranking lists and to compare their distributions over activities and languages with our case of 30 persons. The comparison is presented in figures S1,S2,S3 in File S1. For these 3 cultures we find that our top 30 persons data are statistically stable even if the fluctuations are larger for CheiRank lists. This is in an agreement with the fact that the CheiRank probabilities. related to the outgoing links, are more fluctuating (see discussion at [19]). Of course, it would be interesting to extend the computerized analysis of personalities to a larger number of top persons and larger number of languages. However, the database of persons in various languages still should be cleaned and checked and also attribution of persons to various activities and languages still requires a significant amount of work. Due to that we present here our analysis only for 30 top persons. But we note that by itself it represents an interesting case study since here we have the most important persons for each ranking. May be the top 1000 persons would be statistically more stable but clearly a person at position 30 is more important than a one at position 1000. Thus we think that the top 30 persons already give an interesting information on links and interactions between cultures. This information can be used in future more extended studies of a larger number of persons and languages. Finally we note that the language is the primary element of culture even if, of course, culture is not reduced only to language. In this analysis we use in a first approximation an equivalence between language and culture leaving for future studies the refinement of this link which is of course much more complex. In this approximation we consider that a person like Mahatma Gandhi belongs to EN culture since English is the official language of India. A more advanced study should take into account Hindi Table 3. PageRank contribution per link and in-degree of PageRank local and non-local heroes i for each edition. Edition NLocal ½P(j)=k(j)out�L ½P(j)=k(j)out�NL ½k(L)in� ½k(NL)in� EN 16 1:43|10{8 v 2:18|10{8 5:3|103 w 3:1|103 FR 15 3:88|10{8 v 5:69|10{8 2:6|103 w 2:0|103 DE 14 3:48|10{8 v 4:29|10{8 2:6|103 w 2:1|103 IT 11 7:00|10{8 v 7:21|10{8 1:9|103 w 1:5|103 ES 4 5:44|10{8 v 8:58|10{8 2:2|103 w 1:2|103 NL 2 7:77|10{8 v 14:4|10{8 1:0|103 w 6:7|102 RU 18 6:67|10{8 v 10:2|10{8 1:7|103 w 1:5|103 HU 12 21:1|10{8 v 32:3|10{8 8:1|102 w 5:3|102 KO 17 16:6|10{8 v 35:5|10{8 4:7|102 w 2:3|102 ½P(j)=k(j)out�L and ½P(j)=k(j)out�NL are median PageRank contribution of a local hero L and non-local hero NL by a article j which cites local heroes L and non- local heroes NL respectively. ½k(L)in� and ½k(NL)in� are median number of in- degree k(L)in and k(NL)in of local hero L and non-local hero NL, respectively. NLocal is number local heroes in given edition. doi:10.1371/journal.pone.0074554.t003 Table 4. List of local heroes by PageRank for each Wikipedia edition. Edition 1st 2nd 3rd EN George W. Bush Barack Obama Elizabeth II FR Napoleon Louis XIV of France Charles de Gaulle DE Adolf Hitler Martin Luther Immanuel Kant IT Augustus Dante Alighieri Julius Caesar ES Charles V, Holy Roman Emperor Philip II of Spain Francisco Franco NL William I of the Netherlands Beatrix of the Netherlands William the Silent RU Peter the Great Joseph Stalin Alexander Pushkin HU Matthias Corvinus Szentágothai János Stephen I of Hungary KO Gojong of the Korean Empire Sejong the Great Park Chung-hee All names are represented by article titles in English Wikipedia. Here ‘‘William the Silent’’ is the third local hero in Dutch Wikipedia but he is out of top 30 persons. doi:10.1371/journal.pone.0074554.t004 Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 5 October 2013 | Volume 8 | Issue 10 | e74554 Wikipedia edition and attribute this person to this edition. Definitely our statistical study is only a first step in Wikipedia based statistical analysis of network of cultures and their interactions. We note that any person from our top 30 ranking belongs only to one activity field and one culture. We also define local heros as those who in a given language edition are attributed to this language, and non-local heros as those who belong in a given edition to other languages. We use category WR (world) where we Table 5. List of local heroes by CheiRank for each Wikipedia edition. Edition 1st 2nd 3rd EN C. H. Vijayashankar Matt Kelley William Shakespeare (inventor) FR Jacques Davy Duperron Jean Baptiste Eblé Marie-Magdeleine Aymé de La Chevrelière DE Harry Pepl Marc Zwiebler Eugen Richter IT Nduccio Vincenzo Olivieri Mina (singer) ES Che Guevara Arturo Mercado Francisco Goya NL Hans Renders Julian Jenner Marten Toonder RU Aleksander Vladimirovich Sotnik Aleksei Aleksandrovich Bobrinsky Boris Grebenshchikov HU Csernus Imre Kati Kovács Pléh Csaba KO Lee Jong-wook (baseball) Kim Dae-jung Kim Kyu-sik All names are represented by article titles in English Wikipedia. doi:10.1371/journal.pone.0074554.t005 Table 6. List of local heroes by 2DRank for each Wikipedia edition. Edition 1st 2nd 3rd EN Frank Sinatra Paul McCartney Michael Jackson FR François Mitterrand Jacques Chirac Honoré de Balzac DE Adolf Hitler Otto von Bismarck Ludwig van Beethoven IT Giusppe Garibaldi Raphael Benito Mussolini ES Simón Bolı́var Francisco Goya Fidel Castro NL Albert II of Belgium Johan Cruyff Rembrandt RU Dmitri Mendeleev Peter the Great Yaroslav the Wise HU Stephen I of Hungary Sándor Petöfi Franz Liszt KO Gojong of the Korean Empire Sejong the Great Park Chung-hee All names are represented by article titles in English Wikipedia. doi:10.1371/journal.pone.0074554.t006 Table 7. List of global heroes by PageRank and 2DRank for all 9 Wikipedia editions. Rank PageRank global heroes HPR NA 2DRank global heroes H2D NA 1st Napoleon 259 9 Micheal Jackson 119 5 2nd Jesus 239 9 Adolf Hitler 93 6 3rd Carl Linnaeus 235 8 Julius Caesar 85 5 4th Aristotle 228 9 Pope Benedict XVI 80 4 5th Adolf Hitler 200 9 Wolfgang Amadeus Mozart 75 5 6th Julius Caesar 161 8 Pope John Paul II 71 4 7th Plato 119 6 Ludwig van Beethoven 69 4 8th Charlemagne 111 8 Bob Dylan 66 4 9th William Shakespeare 110 7 William Shakespeare 57 3 10th Pope John Paul II 108 6 Alexander the Great 56 3 All names are represented by article titles in English Wikipedia. Here, HA is the ranking score of the algorithm A (5); NA is the number of appearances of a given person in the top 30 rank for all editions. doi:10.1371/journal.pone.0074554.t007 Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 6 October 2013 | Volume 8 | Issue 10 | e74554 place persons who do not belong to any of our 9 languages (e.g. Pope John Paul II belongs to WR since his native language is Polish). Results We investigate ranking structure of articles and identify global properties of PageRank and CheiRank vectors. The detailed analysis is done for top 30 persons obtained from the global list of ranked articles for each of 9 languages. The distinctions and common characteristics of cultures are analyzed by attributing top 30 persons in each language to human activities listed above and to their native language. General ranking structure We calculate PageRank and CheiRank probabilities and indexes for all networks of considered Wikipedia editions. The PageRank and CheiRank probabilities as functions of ranking indexes are shown in Fig. 1. The decay is compatible with an approximate algebraic decrease of a type P*1=K b, P�*1 � K�b with b*1 for PageRank and b*0:6 for CheiRank. These values are similar to those found for the English Wikipedia of 2009 [17]. The difference of b values originates from asymmetric nature between in-degree and out-degree distributions, since PageRank is based on incoming edges while CheiRank is based on outgoing edges. In-degree distribution of Wikipedia editions is broader than out-degree distribution of the same edition. Indeed, the CheiRank probability is proportional to frequency of outgoing links which has a more rapid decay compared to incoming one (see discussion in [17]). The PageRank (CheiRank) probability distributions are similar for all editions. However, the fluctuations of P� are stronger that is related to stronger fluctuations of outgoing edges [19]. The top article of PageRank is usually USA or the name of country of a given language (FR, RU, KO). For NL we have at the top beetle, species, France. The top articles of CheiRank are various listings. Figure 5. Network of cultures obtained from 9 Wikipedia languages and the remaining world (WR) selecting 30 top persons of PageRank (a) and 2DRank (b) in each culture. The link width and darkness are proportional to a number of foreign persons quoted in top 30 of a given culture, the link direction goes from a given culture to cultures of quoted foreign persons, quotations inside cultures are not considered. The size of nodes is proportional to their PageRank. doi:10.1371/journal.pone.0074554.g005 Figure 6. Google matrix of network of cultures from Fig. 5, shown respectively for panels (a),(b). The matrix elements Gij are shown by color at the damping factor a~0:85, index j is chosen as the PageRank index K of PageRank vector so that the top cultures with K~K’~1 are located at the top left corner of the matrix. doi:10.1371/journal.pone.0074554.g006 Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 7 October 2013 | Volume 8 | Issue 10 | e74554 Since each article has its PageRank ranking K and CheiRank ranking K�, we can assign two dimensional coordinates to all the articles. Fig. 2 shows the density of articles in the two dimensional plane (K ,K�) for each Wikipedia edition. The density is computed for 100|100 logarithmically equidistant cells which cover the whole plane (K ,K�). The density plot represents the locations of articles in the plane. We can observe high density of articles around line K~K�zconst that indicates the positive correlation between PageRank and CheiRank. However, there are only a few articles within the region of top both PageRank and CheiRank indexes. We also observe the tendency that while high PageRank articles (Kv100) have intermediate CheiRank (102vK�v104), high CheiRank articles (K�v100) have broad PageRank rank values. Ranking of articles for persons We choose top 30 articles about persons for each edition and each ranking. In Fig. 2, they are shown by red circles (PageRank), green squares (2DRank) and cyan triangles (CheiRank). We assign local ranking RE,A (1 . . . 30) to each person in the list of top 30 persons for each edition E and ranking algorithm A. An example of E~EN and A~PageRank are given in Table 2. From the lists of top persons, we identify the ‘‘fields’’ of activity for each top 30 rank person in which he/she is active on. We categorize six activity fields - politics, art, science, religion, sport and etc (here ‘‘etc’’ includes all other activities). As shown in Fig. 3, for PageRank, politics is dominant and science is secondarily dominant. The only exception is Dutch where science is the almost dominant activity field (politics has the same number of points). In case of 2DRank, art becomes dominant and politics is secondarily dominant. In case of CheiRank, art and sport are dominant fields. Thus for example, in CheiRank top 30 list we find astronomers who discovered a lot of asteroids, e.g. Karl Wilhelm Reinmuth (4th position in RU and 7th in DE), who was a prolific discoverer of about 400 of them. As a result, his article contains a long listing of asteroids discovered by him giving him a high CheiRank. The change of activity priority for different ranks is due to the different balance between incoming and outgoing links there. Usually the politicians are well known for a broad public, hence, the articles about politicians are pointed by many articles. However, the articles about politician are not very communicative since they rarely point to other articles. In contrast, articles about persons in other fields like science, art and sport are more communicative because of listings of insects, planets, asteroids they discovered, or listings of song albums or sport competitions they gain. Next we investigate distributions over ‘‘cultures’’ to which persons belong. We determined the culture of person based on the language the person mainly used (mainly native language). We consider 10 culture categories - EN, FR, DE, IT, ES, NL, RU, HU, KO and WR. Here ‘‘WR’’ category represents all other cultures which do not belong to considered 9 Wikipedia editions. Figure 7. Dependence of probabilities of PageRank P (red) and CheiRank P� (blue) on corresponding indexes K and K�. The probabilities are obtained from the network and Google matrix of cultures shown in Fig. 5 and Fig. 6 for corresponding panels (a),(b). The straight lines indicate the Zipf law P*1=K ; P�*1=K�. doi:10.1371/journal.pone.0074554.g007 Figure 8. PageRank versus CheiRank plane of cultures with corresponding indexes K and K� obtained from the network of cultures for corresponding panels (a),(b). doi:10.1371/journal.pone.0074554.g008 Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 8 October 2013 | Volume 8 | Issue 10 | e74554 Comparing with the culture of persons at various editions, we can assign ‘‘locality’’ to each 30 top rank persons for a given Wikipedia edition and ranking algorithm. For example, as shown in Table 2, George W. Bush belongs to ‘‘Politics’’, ‘‘English’’ and ‘‘Local’’ for English Wikipedia and PageRank, while Jesus belongs to ‘‘Religion’’, ‘‘World’’ WR and ‘‘Non-local’’. As shown in Fig. 4, regardless of ranking algorithms, main part of top 30 ranking persons of each edition belong to the culture of the edition (usually about 50%). For example, high PageRank persons in English Wikipedia are mainly English (53:3%). This corresponds to the self-focusing effect discussed in [6]. It is notable that top ranking persons in Korean Wikipedia are not only mainly Korean (56:7%) but also the most top ranking non Korean persons in Korean Wikipedia are Chinese and Japanese (20%). Although there is a strong tendency that each edition favors its own persons, there is also overlap between editions. For PageRank, on average, 23:7 percent of top persons are overlapping while for CheiRank , the overlap is quite low, only 1:3 percent. For 2DRank, the overlap is 6:3 percent. The overlap of list of top persons implies the existence of cross-cultural ‘heroes’. To understand the difference between local and non-local top persons for each edition quantitatively, we consider the PageRank case because it has a large fraction of non-local top persons. From Eq. (2), a citing article j contributes SP(j)=kout(j)T to PageRank of a node i. So the PageRank P(i) can be high if the node i has many incoming links from citing articles j or it has incoming links from high PageRank nodes j with low out-degree kout(j). Thus we can identify origin of each top person’s PageRank using the average PageRank contribution SP(j)=kout(j)T by nodes j to person i and average number of incoming edges (in-degree) kin(i) of person i . As represented in Table 3, considering median, local top persons have more incoming links than non-local top persons but the PageRank contribution of the corresponding links are lower than links of non-local top persons. This indicates that local top persons are cited more than non-local top persons but non-local top persons are cited more high weighted links (i.e. cited by important articles or by articles which don’t have many citing links). Global and local heroes Based on cultural dependency on rankings of persons, we can identify global and local heroes in the considered Wikipedia editions. However, for CheiRank the overlap is very low and our statistics is not sufficient for selection of global heroes. Hence we consider only PageRank and 2DRank cases. We determine the local heroes for each ranking and for each edition as top persons of the given ranking who belongs to the same culture as the edition. Top 3 local heroes for each ranking and each edition are represented in Table 4 (PageRank), Table 5 (CheiRank) and Table 6 (2DRank), respectively. In order to identify the global heroes, we define ranking score HP,A for each person P and each ranking algorithm A. Since every person in the top person list has relative ranking RP,E,A for each Wikipedia edition E and ranking algorithm A (For instance, in Table 2, RNapoleon,EN,PageRank~1). The ranking score HP,A of a person P is give by HP,A~ X E (31{RP,E,A) ð5Þ According to this definition, a person who appears more often in the lists of editions and has top ranking in the list gets high ranking score. We sort this ranking score for each algorithm. In this way obtain a list of global heroes for each algorithm. The result is shown in Table 7. Napoleon is the 1st global hero by PageRank and Micheal Jackson is the 1st global hero by 2DRank. Network of cultures To characterize the entanglement and interlinking of cultures we use the data of Fig. 4 and from them construct the network of cultures. The image of networks obtained from top 30 persons of PageRank and 2DRank listings are shown in Fig. 5 (we do not consider CheiRank case due to small overlap of persons resulting in a small data statistics). The weight of directed Markov transition, or number of links, from a culture A to a culture B is given by a number of persons of a given culture B (e.g FR) appearing in the list of top 30 persons of PageRank (or 2DRank) in a given culture A (e.g. EN). Thus e.g. for transition from EN to FR in PageRank we find 2 links (2 French persons in PageRank top 30 persons of English Wikipedia); for transition from FR to EN in PageRank we have 3 links (3 English persons in PageRank top 30 persons of French Wikipedia). The transitions inside each culture (persons of the same language as language edition) are omitted since we are analyzing the interlinks between cultures. Then the Google matrix of cultures is constructed by the standard rule for the directed networks: all links are treated democratically with the same weight, sum of links in each column is renormalized to unity, a~0:85. Even if this network has only 10 nodes we still can find for it PageRank and CheiRank probabilities P and P� and corresponding indexes K and K�. The matrix elements of G matrix, written in order of index K , are shown in Fig. 6 for the corresponding networks of cultures presented in Fig. 5. We note that we consider all cultures on equal democratic grounds. The decays of PageRank and CheiRank probabilities with the indexes K ,K� are shown in Fig. 7 for the culture networks of Fig. 5. On a first glance a power decay like the Zipf law [27] P*1=K looks to be satisfactory. The formal power law fit P*1=K z,P�*1=(K�)z � , done in log–log-scale for 1ƒK ,K�¡ q10, gives the exponents z~0:85+0:09,z�~0:45+0:09 (Fig. 7a), z~0:88+0:10,z�~0:77+0:16 (Fig. 7b). However, the error bars for these fits are relatively large. Also other statistical tests (e.g. the Kolmogorov-Smirnov test, see details in [28]) give low statistical accuracy (e.g. statistical probability p&0:2; 0:1 and p&0:01; 0:01 for exponents z,z�~0:79,0:42 and 0:75,0:65 in Fig. 7a and Fig. 7b respectively). It is clear that 10 cultures is too small to have a good statistical accuracy. Thus, a larger number of cultures should be used to check the validity of the generalized Zipf law with a certain exponent. We make a conjecture that the Zipf law with the generalized exponents z,z� will work in a better way for a larger number of multilingual Wikipedia editions which now have about 250 languages. The distributions of cultures on the PageRank - CheiRank plane (K ,K�) are shown in Fig. 8. For the network of cultures constructed from top 30 PageRank persons we obtain the following ranking. The node WR is located at the top PageRank K~1 and it stays at the last CheiRank position K�~10. This happens due to the fact that such persons as Carl Linnaeus, Jesus, Aristotle, Plato, Alexander the Great, Muhammad are not native for our 9 Wikipedia editions so that we have many nodes pointing to WR node, while WR has no outgoing links. The next node in PageRank is FR node at K~2,K�~5, then DE node at K~3,K�~4 and only then we find EN node at K~4,K�~7. The node EN is not at all at top PageRank positions since it has many American politicians that does not count for links between cultures. After the world WR the top position is taken by French (FR) and then German (DE) cultures which have strong links inside the continental Europe. Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 9 October 2013 | Volume 8 | Issue 10 | e74554 However, the ranking is drastically changed when we consider top 30 2DRank persons. Here, the dominant role is played by art and science with singers, artists and scientists. The world WR here remains at the same position at K~1,K�~10 but then we obtain English EN (K~2,K�~1) and German DE (K~3,K�~5) cultures while FR is moved to K~K�~7. Discussion We investigated cross-cultural diversity of Wikipedia via ranking of Wikipedia articles. Even if the used ranking algorithms are purely based on network structure of Wikipedia articles, we find cultural distinctions and entanglement of cultures obtained from the multilingual editions of Wikipedia. In particular, we analyze raking of articles about persons and identify activity field of persons and cultures to which persons belong. Politics is dominant in top PageRank persons, art is dominant in top 2DRank persons and in top CheiRank persons art and sport are dominant. We find that each Wikipedia edition favors its own persons, who have same cultural background, but there are also cross-cultural non-local heroes, and even ‘‘global heroes’’. We establish that local heroes are cited more often but non-local heroes on average are cited by more important articles. Attributing top persons of the ranking list to different cultures we construct the network of cultures and characterize entangle- ment of cultures on the basis of Google matrix analysis of this directed network. We considered only 9 Wikipedia editions selecting top 30 persons in a ‘‘manual’’ style. It would be useful to analyze a larger number of editions using an automatic computerized selection of persons from prefabricated listing in many languages developing lines discussed in [14]. This will allow to analyze a large number of persons improving the statistical accuracy of links between different cultures. The importance of understanding of cultural diversity in globalized world is growing. Our computational, data driven approach can provide a quantitative and efficient way to understand diversity of cultures by using data created by millions of Wikipedia users. We believe that our results shed a new light on how organized interactions and links between different cultures. Supporting Information File S1 Presents Figures S1, S2, S3 in SI file showing comparison between probability distributions over activity fields and language for top 30 and 100 persons for EN, IT, NK respectively; tables S1, S2, … S27 in SI file showing top 30 persons in PageRank, CheiRank and 2DRank for all 9 Wikipedia editions. All names are given in English. Supplementary methods, tables, ranking lists and figures are available at http://www.quantware.ups-tlse.fr/ QWLIB/wikiculturenetwork/; data sets of 9 hyperlink networks are available at [29] by a direct request addressed to S.Vigna. (PDF) Acknowledgments We thank Sebastiano Vigna [29] who kindly provided to us the network data of 9 Wikipedia editions, collected in the frame of FET NADINE project. We thank Pablo Aragón and Andreas Kaltenbrunner for the list of persons in EN, IT, NL which we used to obtain supporting Figs.S1,S2,S3 in File S1. Author Contributions Conceived and designed the experiments: DLS. Performed the experi- ments: YHE. Analyzed the data: YHE DLS. Contributed reagents/ materials/analysis tools: YHE DLS. Wrote the paper: YHE DLS. References 1. Borges JL (1962) The Library of Babel in Ficciones, Grove Press, New York 2. Kaltenbrunner A, Laniado D (2012) There is no deadline - time evolution of Wikipedia discussions, Proc. of the 8th Intl. Symposium on Wikis and Open Collaboration, Wik- iSym12, Linz 3. Torok J, Iniguez G, Yasseri T, San Miguel M, Kaski K, et al. (2013) Opinion, conflicts and consensus: modeling social dynamics in a collaborative enviroment Phys Rev Lett 110: 088701 4. Yasseri T, Kornai A, Kertész J (2012) A practical approach to language complexity: a Wikipedia case study PLoS ONE, 7: e48386 5. Brandes U, Kenis P, Lerner U, van Raaij D (2009) Network analysis of collaboration structure in Wikipedia Proc. 18th Intl. Conf. WWW, :731 6. Hecht B, Gergle D (2009) Measuring self-focus bias in community-maintained knowledge repositories Proc. of the Fourth Intl Conf. Communities and technologies, ACM, New York :11 7. Nemoto K, Gloor PA (2011) Analyzing cultural differences in collaborative innovation networks by analyzing editing behavior in different-language Wikipedias Procedia - Social and Behavioral Sciences 26: 180 8. Norenzayan A (2011) Explaining human behavioral diversity, Science, 332: 1041 9. Gelfand MJ, Raver JL, Nishii L, Leslie LM, Lun J, et al. (2011) Differences between tight and loose cultures: a 33-nation study, Science, 332: 1100 10. Yasseri T, Spoerri A, Graham M, Kertész J (2013) The most controversial topics in Wikipedia: a multilingual and geographical analysis arXiv:1305.5566 [physics.soc-ph] 11. UNESCO World Report (2009) Investing in cultural diversity and intercultural dialogue, Available: http://www.unesco.org/new/en/culture/resources/report/the- unesco-world-report- on-cultural-diversity 12. Callahan ES, Herriing SC (2011) Cultural bias in Wikipedia content on famous persons, Journal of the American society for information science and technology 62: 1899 13. Warncke-Wang M, Uduwage A, Dong Z, Riedl J (2012) In search of the ur- Wikipedia: universality, similarity, and translation in the Wikipedia inter-language link network, Proceedings of the Eighth Annual International Symposium on Wikis and Open Collaboration (WikiSym 2012), ACM, New York No 20 14. Aragón P, Laniado D, Kaltenbrunner A, Volkovich Y (2012) Biographical social networks on Wikipedia: a cross-cultural study of links that made history, Proceedings of the Eighth Annual International Symposium on Wikis and Open Collaboration (WikiSym 2012), ACM, New York No 19; arXiv:1204.3799v2[cs.SI] 15. Brin S, Page L (1998) The anatomy of a large-scale hypertextual Web search engine Computer Networks and ISDN Systems 30: 107 16. Chepelianskii AD (2010) Towards physical laws for software architecture ar- Xiv:1003.5455 [cs.SE] 17. Zhirov AO, Zhirov OV, Shepelyansky DL (2010) Two-dimensional ranking of Wikipedia articles, Eur Phys J B 77: 523 18. Ermann L, Chepelianskii AD, Shepelyansky DL (2012) Toward two-dimensional search engines, J Phys A: Math Theor 45: 275101 19. Eom YH, Frahm KM, Bencźur A, Shepelyansky DL (2013) Time evolution of Wikipedia network ranking arXiv:1304.6601 [physics.soc-ph] 20. Langville AM, Meyer CD (2006) Google’s PageRank and Beyond: The Science of Search Engine Rankings, Princeton University Press, Princeton 21. Brin M, Stuck G (2002) Introduction to dynamical systems, Cambridge Univ. Press, Cambridge, UK 22. Ermann L, Frahm KM, Shepelyansky DL (2013) Spectral properties of Google matrix of Wikipedia and other networks, Eur Phys J D 86: 193 23. Chen P, Xie H, Maslov S, Redner S (2007) Finding scientific gems with Googles PageRank algorithm Jour Informetrics, 1: 8 24. Kwak H, Lee C, Park H, Moon S (2010) What is Twitter, a social network or a news media?, Proc. 19th Int. Conf. WWW2010, ACM, New York :591 25. Kandiah V, Shepelyansky DL (2013) Google matrix analysis of DNA sequences, PLoS ONE 8(5): e61519 26. Ermann L, Shepelyansky DL (2011) Google matrix of the world trade network, Acta Physica Polonica A 120(6A), A158 27. Zipf GK (1949) Human behavior and the principle of least effort, Addison-Wesley, Boston 28. Clauset A, Shalizi CR, Newman MEJ (2009) Power-law distributions in empirical data, SIAM Rev 51(4): 661 29. Personal website of Sebastiano Vigna. Available: http://vigna.dsi.unimi.it/. Accessed 2013 Jun 26. Entanglement of Cultures via Wikipedia Ranking PLOS ONE | www.plosone.org 10 October 2013 | Volume 8 | Issue 10 | e74554 
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work_syikma64r5e2xfmpr2afsauyee	----	You are what you eat: historical changes in ideas about food and identity ‘You are what you eat’: historical changes in ideas about food and identity* Steven Shapin Harvard University Abstract There is deep historicity to the adage ‘You are what you eat’. For a very long time, the relations between aliment and identity − personal and national − were understood in terms of Galenical dietetics and modes of analogical reasoning from the qualities of food to the qualities of people.‘Hot’ foods, for example, made for a ‘hot’ temperament, and the stolidity of the ox might be transferred to people who ate its flesh. This article tracks the historical career and cultural significance of these relations, and, with the decline of both traditional dietetics and of analogical reasoning by the nineteenth and twentieth centuries, it describes the different cultural vocabulary used in modernity to talk about food and identity. There is a saying that ‘You are what you eat’. It exists in some variant in many languages. There are claims that this is quite a new thing to say in English, cooked up only in the nineteen-twenties, but that may not be right.1 It is possibly one of those adages that goes back forever in one form or another and that gains its authority by being something that everyone says but that no one is known to have first said. We do have authors for two well-known nineteenth-century versions. In 1825, the French gourmand Brillat-Savarin wrote that if you told him what you eat, he would tell you what you are – ‘Dis-moi ce que tu mange, je te dirai ce que tu es’ – and in 1850 the German philosopher Ludwig Feuerbach wrote that ‘Der Mensch ist, was er ißt’.2 The Frenchman was saying something about social identity and cultural meaning – about distinction – and the German was inventing a slogan for scientific materialism. Through the first part of the twentieth century, and as it became part of the modern vernacular, the understanding of ‘You are what you eat’ tended to follow the German sensibility. In 1940, the American popular nutrition writer Victor Lindlahr published a best-selling account of the vitamin, mineral and calorie contents of different foods, and * This article is a revised version of a plenary lecture delivered at the 82nd Anglo-American Conference of Historians on the theme of ‘Food in history’, Institute of Historical Research, University of London, 11–13 July 2013. 1 J. Cresswell, ‘Eat’, in Oxford Dictionary of Word Origins (Oxford, 2010), p. 144; <http://www.phrases.org.uk/ meanings/you%20are%20what%20you%20eat.html> [accessed 19 July 2013]; cf. S. L. Gilman, Diets and Dieting: a Cultural Encyclopedia (New York, 2008), p. 178. 2 J.-A. Brillat-Savarin, The Physiology of Taste, or, Meditations on Transcendental Gastronomy (1st pub. 1825; New York, 2002), p. 3; L. Feuerbach, ‘Das Geheimniss des Opfers, oder Der Mensch ist was er isst’, in Sämtliche Werke, ed. W. Bolin and F. Jodl (10 vols., 2nd edn., Stuttgart-Bad Cannstatt, 1959–60), x. 41–67. Feuerbach originally used the tag in an enthusiastic 1850 review of a book on nutrition by Jakob Moleschott and then, pleased with the word-play, recycled it in the 1862 piece cited here. bs_bs_banner © 2014 Institute of Historical Research DOI: 10.1111/1468-2281.12059 Historical Research, vol. 87, no. 237 (August 2014) its title was You Are What You Eat.3 We now believe things like this: if you eat excess calories, you get fat; if you take too much sugar and refined carbohydrates, you develop diabetes; too much sodium, hypertension; too little in the way of fresh fruit and vegetables, you increase your cancer risk. There are indeed other modern interpretations of ‘You are what you eat’: in academia, anthropologists following Claude Lévi-Strauss, Norbert Elias, Jack Goody or Mary Douglas, and sociologists following Thorstein Veblen or Pierre Bourdieu, rightly stress how consumption decisions express the civilized state, establish personal and collective identity, and mark social differences. But, while their understandings may describe the public basis of food choice, they probably do not match most people’s sense of what the adage means and what they think as they choose and eat. Rather, the dominant public sensibility is, I suggest, analytic: your food is understood as a bag of chemicals; you are a bag of chemicals, organized into physiological systems; eat the right chemicals and you will enjoy good health; eat the wrong ones, and you will suffer disease and shortened life. That is Feuerbach’s materialism, burnished by special modes of modern biochemical and physiological expertise. The most visible icon of this idiom is the ‘nutrition facts’ label on packaged foods – here is what is in your food, and here is how much of various chemicals (and chemical powers like calories) the state and its experts think you should take into your body. The modern idiom is about the constituents of foods and the causal effects these constituents have on human bodies, and I will contrast this sensibility with historically prior frameworks which were not about constituents but qualities, not about analysis but analogy. Our vocabularies for understanding the relationships between what we eat and who we are have always been resonant – a lot of cultural work has been done using them – but much has changed in fundamental ways over time. And as the vocabularies have changed, so we have come to think differently about the sorts of natural and social entities we are and how we come to be who we are. Finally, while respecting that historical change, I will indicate that although analysis is a big part of the modern story, it is not the whole story in present-day sensibilities about food and identity. The way we understand these things now is complicated, comprising incoherent bits and pieces. Like the oil and vinegar in a salad dressing, different sensibilities, with different historical genealogies, are held in momentary cultural suspension. The historically prior world of qualities has two conceptual pieces: the first uses a medical-physiological vocabulary handed down from Greek and Latin antiquity, most notably associated with the views of the physician Galen writing in the second century C.E.4 The second did have some relations with the Galenic framework but it was formally distinct, involving analogical inference from the nature of foods to their likely effects on the human body. Both were culturally pervasive and consequential over long periods of time – from antiquity to at least the seventeenth and eighteenth centuries; both were widely distributed in expert and lay culture and were used in all sorts of cultural and social exercises – making sense, explaining, moralizing, saying what people were like and recommending what they ought to be like. All enterprises that 3 V. H. Lindlahr, You Are What You Eat: How to Win and Keep Health through Diet (New York, 1940). The book is said to have sold in the millions, and Lindlahr had a radio show from the 1930s in which the phrase apparently also figured. 4 A sound introduction to the culture of dietetics is H. Mikkeli, Hygiene in the Early Modern Medical Tradition (Annals of the Finnish Academy of Sciences and Letters, Humaniora, cccv, Helsinki, 1999). 378 Historical changes in ideas about food and identity © 2014 Institute of Historical Research Historical Research, vol. 87, no. 237 (August 2014) commented on what people were like, how they came to be that way, and how they might be changed or secured in their identities made use of these vocabularies, and some were massively shaped by them. I will sketch the vocabulary, first, of Galenic dietetics and, then, of forms of analogical reasoning about the qualities and powers of foods. In the Galenic framework, there were four elements out of which all things were made – earth, air, water and fire – and each element had associated with it a pair of the four qualities of hot, cold, moist and dry. ‘All things’ included stuff you could eat and drink. People were part of nature too, comprised of elements and qualities, and the four humours that described where they stood on the map of qualities – blood (hot and moist), yellow bile or choler (hot and dry), phlegm (cold and moist) and black bile or melancholy (cold and dry) – also described dispositions (complexions or temperaments) – whether you were a sanguinary, phlegmatic, choleric or melancholic kind of person.5 So your fundamental emotional and cognitive make-up was at the distal end of a causal chain at whose proximal end was what you ate and drank. So far as dietetic medicine was concerned, the trick was maintaining qualitative and humoural balance (which was health) or, when ill (that is, when the humours and qualities were imbalanced), restoring the body to its normal equilibrium, largely through diet. The temperaments were a way of describing both the state of your humours and of your character; so too were the qualities. Note that each of the cosmological qualities was (and is) also an adjectival mode of describing the characters of people – who can be hot-tempered, cold in manner, possessing a dry wit, and, though wet is a little harder, the tory ‘wets’ disdained by Margaret Thatcher were preceded by the seventeenth-century notion of the more lax Quakers as ‘wets’ (alternatively, ‘gays’), lacking in fervour.6 Dietetic advice therefore focused on attending to the qualities of different things in individuals’ diet and advising them how, given their natural or innate constitution, they might achieve this balancing or rebalancing.7 If you were naturally melancholic, your diet should normally tend towards the cold and dry, but, if those qualities were becoming extreme, then you should adjust your diet towards foods that were warming and moistening.8 Over time, your diet, and indeed the sum of your transactions with the environment, could either secure or remake your innate nature, and this was a major reason why all medical counsel reckoned it important that you not make any abrupt changes in your diet or way of life. Sir John Harington’s rendition of the advice of the medieval medical school of Salerno put it in English rhyme for ready memorizing and retrieval: If to an use you have your selfe betaken, Of any dyet, make no sudden change, 5 N. Arikha, Passions and Tempers: a History of the Humours (New York, 2007). 6 E. Partridge, The Routledge Dictionary of Historical Slang (6th edn., 2006), p. 5847. 7 In Galenic medicine, food and drink counted as one of the ‘six things non-natural’ influencing bodily states. The non-naturals included patterns of sleep, exercise, evacuation, exposure to airs, and the passions of the soul (or emotions). All of the non-naturals were thought of as matters potentially under volitional control and, accordingly, behaviours about which one could offer rational advice. Although diet was only one of these non-naturals, it was marked out as a domain of recurrent and pervasive choice, and, possibly for that reason, it was the most important feature of traditional medical counsel. 8 S. Shapin, ‘How to eat like a gentleman: dietetics and ethics in early modern England’, in Right Living: an Anglo-American Tradition of Self-Help Medicine and Hygiene, ed. C. E. Rosenberg (Baltimore, Md., 2003), pp. 21–58. Historical changes in ideas about food and identity 379 Historical Research, vol. 87, no. 237 (August 2014) © 2014 Institute of Historical Research A custom is not easily forsaken, Yea though it better were, yet seems it strange, Long use is as a second nature taken, With nature custome walkes in equall range.9 This was one of very many endorsements of the old adage that ‘custom is a second nature’.10 Montaigne said ‘I believe nothing with more certainty than this: that I cannot be hurt by the use of things that I have been long accustomed to’.11 Custom is, as a medical man said in the sixteenth century, ‘of such force in mans body both in sickenesse and in health, that it countervaileth nature it selfe’.12 What you were used to was you; and early modern theories of the self were environmental histories. The nature that you consumed and your nature moulded themselves over time to each other’s contours, and the only people in early modern society who could and should adopt an insouciant disregard to settled habit were those who travelled and who had to adapt themselves to a changing alimentary environment – people like traders, soldiers, diplomats and, most consequentially, European colonists. The physiological role of custom explained dietary tradition and commended sticking with tradition. Dietary innovation, like dietary exoticism, put at risk the body accustomed to its usual and proper fare – the stuff that came off the land where the body itself lived and that was prepared as it was traditionally prepared. The exotic might indeed have magical powers, but those powers could harm as well as nourish or cure, and the history of European attitudes towards spices, foreign drinks and the foods involved in the ‘Columbian exchange’ is one of conflicted attitudes towards the edible exotic.13 There was nothing absolutely new about this in the early modern period – the Greeks and Romans were skilled in both the celebration and the condemnation of dietary exoticism and innovation. Elites have always ransacked the known globe for their tables and employed cooks as creative artists, and the condemnation of modern depravity has always mobilized the normative aspect of the notion of what is natural. Luxury, sophistication, the elaborate, the novel – all were widely criticized as artificial, not natural. If you want natural people, they must be fed on natural foods; honest people on honest fare. That is not a sentiment unfamiliar to us, but in past dietary cultures there were substantive causal reasons for appreciating the force of this precept, to do with the conditions of digestibility of the simple and the familiar contrasted to the elaborate and exotic, to do with the qualities of bodies and the qualities of aliment. You could plausibly say that the Galenic scheme was itself at least partly analogical: if you knew nothing of Galenic medicine and I just asked you to describe the qualities of melons or of spices, you would probably guess right – melons are cold and moist, spices dry and hot. But you did not have to do analogical inference yourself to know that a cantaloupe is moist and pepper is hot: you could read about the qualities 9 John Harington, trans., The English Mans Doctor. or, The School of Salerne (1624), p. 16. 10 Some attribute the saying to Aristotle, some to Ovid, Plutarch or Augustine. Certainly, by the Renaissance, it was a commonplace (see D. R. Kelley, ‘“Second nature”: the idea of custom in European law, society, and culture’, in The Transmission of Culture in Early Modern Europe, ed. A. Grafton and A. Blair (Philadelphia, Pa., 1990), pp. 131–72). 11 Michel Eyquem de Montaigne, ‘Of experience’, in Michel Eyquem de Montaigne, The Essayes of Michael Lord of Montaigne, trans. J. Florio (1st pub. 1580–8; 3 vols., 1910), iii. 322–86, at p. 340. 12 Thomas Cogan, The Haven of Health (1st pub. 1581; 1636), p. 200. 13 A. Cooper, Inventing the Indigenous: Local Knowledge and Natural History in Early Modern Europe (Cambridge, 2007); A. W. Crosby, Jr., The Columbian Exchange: Biological and Cultural Consequences of 1492 (1st pub. 1973; Westport, Conn., 2003); E. C. Spary, Eating the Enlightenment: Food and the Sciences in Paris, 1670–1760 (Chicago, Ill., 2012), chs. 2–3. 380 Historical changes in ideas about food and identity © 2014 Institute of Historical Research Historical Research, vol. 87, no. 237 (August 2014) of foods in any of the hundreds of dietary books that were so pervasive in the Renaissance and early modern period.14 But there were forms of reasoning from aliment to self that were richer and more nuanced in their analogical approach. And they were not just analogical in a symbolic sense; the terms in the analogy were understood to be related through substantive causality. So, for example, the so-called doctrine of signatures in sixteenth- and seventeenth-century Paracelsian medicine reasoned from the shape of a plant or plant part to the human organ that it would affect.15 A stomach-shaped seed pod said ‘Take me for an upset tummy’. And that was because God had signed his remedies so that we could work out what was good for what. But analogical reasoning from the observable qualities of an item of aliment to its effects on the individual ranged more widely.Wines that were lighter in texture might be more ‘opening’ and those that were darker and richer might make better blood or cause obstructions.16 In practical action, both Galenic and analogical schemes were maps people used to manoeuvre around the edible environment and to give an account of what different people were like. The four-quality vocabulary of the Galenic framework allowed people, for instance, to choose wines, gauging their degree of heat (since all wines were moist) with respect to their temperament and stage of life. It was understood that children were in general of a hotter constitution than adults and adults hotter than the aged, and that makes sense of Dr. Johnson’s famous formula: ‘Claret for boys, – port for men, – brandy for heroes’.17 The qualities of your aliment should follow the changing qualities of your body. The degrees of wine heat followed in general from the heat of the regions where the grapes were grown. Wine, like spices, had been a global trade good forever, and, because it had become, so to speak, partly naturalized in non-wine-producing regions, the question of what wines suited Englishmen followed thinking about your stage of life, as Johnson indicated, but also your innate temperament, and your momentary state of health. Hot Madeira might not agree with a too-hot nature but was just what you needed if you tended to phlegm, while light Rhenish wine suited those living a sedentary life. In the seventeenth-century philosophical exchanges between Anne Conway and the Cambridge Platonist Henry More each recognized the other as having a hot constitution, prone to both high thoughts and frenzy (phrenesis, brain fever). More advised his friend not only on how she might think but what she should eat: ‘Too much small beere and fruit’ damped the body’s heat – which would be a good thing in her case – while wine and roasted meats stoked its fire (a bad one).18 In The Taming of the Shrew, Petruchio attempts to tame the shrewish Katherina through dietary management, and indeed the whole play centres on the environmental 14 K. Albala, Eating Right in the Renaissance (Berkeley, Calif., 2002). 15 W. Pagel, Paracelsus: an Introduction to Philosophical Medicine in the Era of the Renaissance (2nd rev. edn., New York, 1982); M. Foucault, The Order of Things: an Archaeology of the Human Sciences (1st pub. 1966; New York, 1994), pp. 25–45. 16 For treatment of analogical reasoning in relation to the qualities of foods, see S. Shapin, ‘The tastes of wine: towards a cultural history’, Rivista di Estetica, new ser., li (2012), 49–94; S. Shapin, Changing Tastes: How Foods Tasted in the Early Modern Period and How they Taste Now (The Hans Rausing Lecture 2011, Salvia Småskrifter, xiv, Uppsala, 2011). 17 James Boswell, The Life of Samuel Johnson, LL.D. (new edn., Edinburgh, 1873), p. 448. 18 Anne, Viscountess Conway, The Conway Letters: the Correspondence of Anne, Viscountess Conway, Henry More, and their Friends 1642–84, ed. M. Hope Nicolson, rev. S. Hutton (Oxford, 1992), pp. 63, 75, 164; see also S. Shapin, ‘The philosopher and the chicken: on the dietetics of disembodied knowledge’, in Science Incarnate: Historical Embodiments of Natural Knowledge, ed. C. Lawrence and S. Shapin (Chicago, Ill., 1998), pp. 21–50. Historical changes in ideas about food and identity 381 Historical Research, vol. 87, no. 237 (August 2014) © 2014 Institute of Historical Research shaping of character. Kate’s problem is her choleric nature, and that nature has to be remade, so far as possible, by denying her the hot and dry and encouraging the cold and moist.19 Petruchio gets his new bride home and proceeds to damp her fire by starving her body of fuel: ‘She eat no meat to-day, nor none shall eat’. His servants bring in some overdone mutton. Kate thinks it is all right, but she cannot have it: I tell thee, Kate, ’twas burnt and dried away; And I expressly am forbid to touch it, For it engenders choler, planteth anger; And better ’twere that both of us did fast, Since, of ourselves, ourselves are choleric, Than feed it with such over-roasted flesh. (Act IV, scene 1) Like Henry More and Anne Conway, they know each other constitutionally, and that constitutional knowledge lets Petruchio re-make Kate into the wife he wants. ‘What say you to a neat’s foot?’, Petruchio’s servant Grumio – acting under instruction – asks her (Act IV, scene 3). Yes, please, she says. But that too is just a tease: ‘I fear it is too choleric a meat./How say you to a fat tripe finely broil’d?’ Kate takes the bait again: ‘I like it well: good Grumio, fetch it me’. Grumio again refuses: ‘I cannot tell; I fear ’tis choleric.What say you to a piece of beef and mustard?’ Kate, on the verge of starving, says that this is ‘A dish that I do love to feed upon’. But Grumio denies her; the qualities are all wrong – ‘The mustard is too hot a little’. The language of Galenic dietetics also figured in collective identity: what foods suited the English, the Scots, the Welsh, the French and the Spanish? In England, what suited people from the west country and what suited Essex man? This was the sort of vocabulary used in Montesquieu’s 1752 Spirit of the Laws to give an account of differing ways of life. The Muslims of Arabia did not drink wine. They lived in a hot climate and their blood lost water through perspiration. Water could reconstitute the lost moisture while spirituous drinks would further congeal the blood. In cold climates, the opposite obtained, and this is why northern people took to strong drink. It was not a matter of Islam but of the nature of indigenous people. Montesquieu claimed that the Arabs drank water and shunned wine before Mohammed, and so too did the Carthaginians, as their climate was much the same as Arabia’s. The Scandinavians are drunks and the Arabs abstain – that is who they are at a constitutional level: It is very natural that where wine is contrary to the climate, and consequently to health, the excess of it should be more severely punished than in countries where intoxication produces very few bad effects to the person, fewer to the society, and where it does not make people frantic and wild, but only stupid and heavy. Hence those laws which inflicted a double punishment for crimes committed in drunkenness were applicable only to a personal, and not to a national, ebriety. A German drinks through custom, and a Spaniard by choice.20 Local aliment and local natures were in a causal loop. In many Mediterranean countries, Robert Burton said, ‘they live most on roots, raw herbs, camel’s milk, and it agrees well with them; which to a stranger will cause much grievance’. In Wales 19 Albala, p. 3. 20 Charles-Louis de Secondat, Baron de Montesquieu, The Spirit of Laws, trans. T. Nugent (2 vols., 1748; rev. edn., New York, 1900), i. 228–9. 382 Historical changes in ideas about food and identity © 2014 Institute of Historical Research Historical Research, vol. 87, no. 237 (August 2014) they live most on white meats; in Holland on fish, roots, butter; and so at this day in Greece . . . they had much rather feed on fish than flesh. With us, . . . we feed on flesh most part, . . . as all northern countries do; and it would be very offensive to us to live after their diet, or they to live after ours. We drink beer, they wine; they use oil, we butter; we in the north are great eaters, they most sparing in those hotter countries; and yet they and we following our own customs are well pleased. The causal link between constitution and aliment could go down to the county level. Cider and perry are common beverages in Worcestershire and Gloucestershire, and they are ‘cold and windy’ drinks, yet, as Burton observed, ‘in some shires of England, [and] Normandy in France . . . , ’tis their common drink, and they are no whit offended with it’.21 A late sixteenth-century English writer from Norfolk – a future vice-chancellor of Cambridge University – described the characteristic and appropriate diets for people from Yorkshire, Lancashire, Essex, Kent, Middlesex and Wales: ‘For the Northeren-man, White-meates, Beefe, Mutton, Venison: for the Southerne man, Fruites, Hearbes, Fowle, Fish, Spice, and Sauce’. Essex man ate veal; and Welshmen, of course, leeks and cheese.22 Montaigne, always a great supporter of custom over claims to rational expertise, wrote in the late sixteenth century that ‘It is in the hands of custome to give our life what forme it pleaseth: in that it can do all in all. It is the drinke of Circes, diversifieth our nature as she thinkes good . . . A Spaniard can not well brooke to feede after our fashion, nor we endure to drinke as the Swizzers’.23 Montaigne noted that people had been found in the New World ‘to whom our usuall flesh and other meats were mortall and venomous’.24 A few English dietary writers disapproved of wine for Englishmen, but they made exceptions for those whose stomachs were disordered, as an aid to digestion. Canary wine or sack was commended as a powerful cordial, but some warned against the routine use of all rich and sweet wines as ‘being not at all agreeable to our Northern Constitutions’, heating and disordering the blood, making ‘Men too Effeminate and Women too Salacious’, setting ‘the Gate of Venus open’.25 The ascetically-inclined late eighteenth-century physician William Smith advised that if ‘the stomach be weak and cold, the constitution languid, weak, cold, and relaxed, and the blood poor and watery, then a glass or two of wine will be of service; but people in health require no wine; it ought only to be used as spices are’. It suited the natures of those who lived where vines naturally grew – indeed, that was part of the Divine plan – but was in no way necessary for any normally healthy person living in England’s cold and wet climate: ‘Wine was never designed for common use. In warm countries it is very necessary, nor can health be preserved without it. For the heat of the weather exhausts the strength, weakens the inside, and hurts digestion; therefore we see providence has provided for their wants by giving plenty of grapes, which are the produce of warm climates only’.26 European colonists were anxious about the possible effects of exposure to an exotic environment, and especially to an exotic diet, on their own constitutions. What would happen to them in the East or West Indies if they lived and ate as the natives did? Would their constitutions change, and, if so, in what ways? Who would they and their 21 Robert Burton, The Anatomy of Melancholy (1st pub. 1621; 3 vols., New York, 1880), i. 305–6. 22 Henry Butts, Dyets Dry Dinner consisting of Eight Severall Courses (1599), sig. A2v. 23 Montaigne, ‘Of experience’, p. 340. 24 Montaigne, ‘Of custom’, in Essayes, i. 105–23, at p. 106. 25 Thomas Tryon, The Good House-wife Made a Doctor (1692), pp. 170–1, 174. 26 William Smith, A Sure Guide in Sickness and Health, in the Choice of Food, and Use of Medicine (1776), pp. 81–2. Historical changes in ideas about food and identity 383 Historical Research, vol. 87, no. 237 (August 2014) © 2014 Institute of Historical Research descendants then be? If the natives were what they were through the long-term action of climate and food, would European colonists go constitutionally native? Much about traditional ways of reasoning strongly suggested that this was possible, even likely. On Hispaniola, Christopher Columbus and his men ate some of what the ‘Indians’ gave them, but were suspicious of other local foods: ‘They eat many such things as would not only make any Spaniard vomit but would poison him if he tried them’. Some, indeed, found that Indian foods ‘disagreed with them very badly, since they were not used to them’.27 In the early North American colonies, the English were wary about the suitability for their constitutions of maize, potatoes and other native crops. Joyce Chaplin notes that colonists closely monitored the suitability of local aliment, even gauging such things through the acceptability of English foods to the Native American constitution, and paying close attention to their own bodily changes over time.28 In the East Indies, the early seventeenth-century botanist Jacobus Bontius insisted that the wholesomeness or noxiousness of foods had to be referred to the local, not the European, environmental context: Dutch aquatic fowl, for example, were accounted unwholesome because they fed on slime and weeds, but the opposite was the case for their East Indian equivalents, since they lived in free-running rivers and fed on better fare. The well-being of European colonists depended upon knowing the local qualities of local foods and drinks, in relation to local environmental conditions.29 Latin American colonial concerns about the relationship between food and constitution have now been documented in great detail by Rebecca Earle. The right foods – those to which the colonists were accustomed, notably wheat bread and wine – would, it was thought, protect the colonial body from the physiological risks of the New World environment, while eating local foodstuffs would transform it into the flawed native body. Native foods were responsible for native humours and temperaments. You are indeed what you eat, and the colonial enterprise was understood to depend upon maintaining the constitutional difference between colonists and colonized.30 In their native land, Englishmen famously ate beef.31 So consider the roast beef of Olde England as an instance of causal analogical reasoning from the qualities of 27 Christopher Columbus, The Four Voyages, ed. and trans. J. M. Cohen (Harmondsworth, 1969), pp. 81 (for ‘vomiting’), 166 (for ‘disagreeing with them’), though Columbus did note that Europeans could, over time, adapt to new foods; see also N. Wey-Gómez, The Tropics of Empire: why Columbus Sailed South to the Indies (Cambridge, Mass., 2008), pp. 411–16, 420–3. 28 J. E. Chaplin, Subject Matter: Technology, Science, and the Body on the Anglo-American Frontier, 1500–1676 (Cambridge, Mass., 2001), pp. 149–51, 211; also A. Carroll, Three Squares: the Invention of the American Meal (New York, 2013), pp. 24−7. 29 Jacobus Bontius, An Account of the Diseases, Natural History, and Medicines of the East Indies, trans. Anon. (comp. 1631; 1st pub. 1642; 1769), pp. 120, 125. 30 R. Earle, The Body of the Conquistador: Food, Race and the Colonial Experience in Spanish America, 1492–1700 (Cambridge, 2012). Mark Harrison’s accounts of the British in India focus much more on climate than on diet, yet he points to advice that the British might, in certain circumstances, take local foods (M. Harrison, Climates and Constitutions: Health, Race, Environment and British Imperialism in India 1600–1850 (Oxford, 1999), pp. 50−2, 80−3; M. Harrison, Medicine in an Age of Commerce and Empire: Britain and its Tropical Colonies, 1660−1830 (Oxford, 2010), pp. 38, 77, 109, 122; also E. M. Collingham, Imperial Bodies: the Physical Experience of the Raj, c.1800−1947 (Oxford, 2001)). 31 B. Rogers, Beef and Liberty: Roast Beef, John Bull and the English Nation (New York, 2004); R. Porter, English Society in the 18th Century (rev. edn., 1991), pp. 11, 20–1, 64–7, 103, 153, 216; R. Porter, ‘Consumption: disease of the consumer society?’, in Consumption and the World of Goods, ed. J. Brewer and R. Porter (1993), pp. 58–84; R. Porter, Flesh in the Age of Reason: the Modern Foundations of Body and Soul (New York, 2004), pp. 234–7; M. Spierling, ‘Food, phagophobia, and English national identity’, in Food, Drink, and Identity in Europe, ed. T. M. Wilson (Amsterdam, 1994), pp. 31–48. ‘Beef-eaters’ as a nickname for the yeomen warders seems to date from the 1660s, and, while its precise origin is unclear, the link between beef and brave stolidity is evident. 384 Historical changes in ideas about food and identity © 2014 Institute of Historical Research Historical Research, vol. 87, no. 237 (August 2014) aliment to the qualities of people.The historical frames for understanding why they are beef-eaters, how beef-eating accounts for what they are like as a race, run across the cultural spectrum. English beefiness is partly intelligible from within the Galenic system. Some writers said that beef is a cold meat, suiting the cold English nature, and so explaining why the hot-tempered Italians had notably little taste for it. But there were other vocabularies used to understand the relationship between beef and English identity, in both its normal and pathological states. And one such vocabulary was causally analogical. In the mid seventeenth century, the Czech reformer Comenius moved between Galenic and analogical reasoning on the subject, repeating ancient wisdom that ‘he that feeds on dry meat, is dry of complexion; he that feeds on moist, is flegmatick, &c. . . . because, for the most part a man reteins the qualities of those living creatures on whose flesh he feeds, as he that feeds on beefe is strong; he that feeds on venison, is nimble, &c.’32 Beef partly defined Englishness and the generous and unadorned presence of beef on the English table was routinely contrasted with elaborate and effete foreign fare. Foreigners remarked not just on the English obsession with beef, but also on their disdain for continental cuisine. An Italian diplomat in the late sixteenth century remembered ‘a speech of Sir Roger Williams to an idle Spaniard, boasting of his country citrons, orenges, olives, and such like: Why (saith he) in England wee have good surloines of beefe, and daintie capons to eat with your sauce, with all meat worthy the name of sustenance; but you have sauce and no sustenance’.33 And there are some indications that in England beef was more associated with country than with city modes of life. In an early seventeenth-century dialogue between a ‘North-Country- man’ and a ‘Citizen’, the northerner said that city fare was typified by stuffed capons while ‘our Beefe and Bacon feeds us strong in the Countrey’, and it was understood that country people and those who did hard labour had stronger stomachs, able to handle beef and other ‘gross’ meats.34 How much beef did Englishmen really eat in the early modern period? Historians disagree on matters of quantity but not on the cultural significance attached to beef-eating, certainly by the early eighteenth century.35 At least by that point, beef was normal fare for Englishmen – for those who could afford meat, it seems to have been the preferred form – so one account of why Englishmen ate beef was just that this is what English people did, in quantities, and even to a lesser extent among the lower orders.36 The normal gave you the normative. In the fifteen-eighties, a dietary writer 32 Johann Amos Comenius, Naturall Philosophie Reformed by Divine Light, or, A Synopsis of Physicks by J. A. Comenius . . . (1651), p. 166. 33 Giovanni Botero, Relations of the Most Famous Kingdomes and Common-wealths thorowout the World . . . (1st pub. 1597; 2nd edn., 1630), p. 87; Samuel Clarke, A Mirrour or Looking-Glasse Both for Saints, and Sinners (1654), p. 329; see also J.-L. Flandrin, ‘Dietary choices and culinary technique, 1500–1800’, in Food: a Culinary History, ed. J.-L. Flandrin and M. Montanari (New York, 2000), pp. 403–17, at pp. 412–16. 34 Thomas Dekker, The Cold Yeare 1614 . . . Written Dialogue-wise, in a Plaine Familiar Talke between a London Shop-keeper and a North-Country-man (1615), sig. A3v; see also M. Schoenfeldt, ‘Fables of the belly in early modern England’, in The Body in Parts: Fantasies of Corporeality in Early Modern Europe, ed. D. Hillman and C. Mazzio (New York, 1997), pp. 243−61, at pp. 251−2. The capon-beef contrast was common in early modern England, and it may have carried a sexual as well as an analogical load. 35 E.g., J. Thirsk, Food in Early Modern England: Phases, Fads, Fashions 1500–1760 (2007), pp. 45–6; S. Mennell, All Manners of Food: Eating and Taste in England and France from the Middle Ages to the Present (Oxford, 1985), pp. 40–61, 102–3; Spierling, pp. 32–5. 36 Thirsk, pp. 237–40. Historical changes in ideas about food and identity 385 Historical Research, vol. 87, no. 237 (August 2014) © 2014 Institute of Historical Research noted that ‘biefe of all flesh is most usuall among English men’; it is ‘plentifull . . . throughout this land’,37 and its presence on the plate defines hospitality and generosity; it is, so to speak, the fatted calf. (In the Restoration, Pepys’s Diary records his consumption of a fair amount of beef, more as his wealth increased, but it is clear that it was for special occasions, and specially to be remarked on – ‘a fine piece of rost beef ’, ‘a most brave chine of beef ’, ‘some good ribbs of beef roasted’, ‘a fine collation of collar of beef ’, ‘a rare piece of roast beef ’.38) Cattle flourished in England; England specialized in raising cattle suited for the table; and, as England suited the nature of the beast, so the beast’s flesh suited the nature of Englishmen: ‘how well [beef] doth agree with the nature of English men, the common consent of all our nation doth sufficiently prove.Yea that it bringeth more strong nourishment than other meates, may plainly be perceived, by the difference of strength in those that commonly feede of biefe, and them that are fedde with other fine meates’.39 Beef-eating not only agreed with English natures; it helped to make English natures. As custom is a second nature, and as habitual transactions with the environment could remake your natural constitution, routine eating of beef transmitted into English human natures the natures of the beasts themselves. And here it was judged important that Englishmen should eat English beef, nothing imported, as their virtues would be different. (Physiological qualities merged into assessment of commercial quality, and that is one reason why the characteristics of beef from other lands were so closely monitored.) Cattle – think now of oxen and bulls rather than cows and heifers – were strong and obstinate – ‘stubborn as an ox’. Bull beef was indeed eaten, and its effects were recorded by seventeenth-century proverb-collectors – ‘He lookes so big as if he had eaten bull-beefe’ – while some early seventeenth-century physicians evidently believed that bull-blood was poison.40 The link between the valued stolidity of English character and eating not just beef but English beef was put into poetry as well as prose during the Restoration: Only do not fear, to eat As our English Ladies do; For a fond scruple or two: English Beefe Is the chiefe And he that shall inherit Of a Body Must be hoddy, And must have an English Spirit.41 In Henry IV, Part I (Act II, scene 2), Poins asks after ‘the martlemas’– that is, Sir John Falstaff – and in Part II (Act III, scene 3), Prince Hal addresses Falstaff as ‘my sweet beef ’. Both gesture, by way of beefiness, at the abundance of Falstaff’s flesh as well as the stolidity, valour and carnality of his character. The feast of Martlemas (or Martinmas), on 11 November, was the traditional end-of-autumn time for the 37 Cogan, p. 129. 38 The Diary of Samuel Pepys: Companion, ed. W. Matthews and R. Latham (2000), pp. 143–9. 39 Cogan, pp. 128–9. 40 John Clarke, Paroemiologia Anglo-Latina (1639), p. 33; Eleazar Duncon, The Copy of a Letter Written by E. D. Doctour of Physicke to a Gentleman, by Whom it was Published (1606), p. 6; see also Henry Edmundson, The Fellow-Traveller through City and Countrey (1658), p. [7]. 41 Edmund Cooper, On the Recovery of Our Most Gracious Queen Katharine from Her Late Grievous and Deplorable Fit of Sicknesse: a Vision (1664), p. 7. ‘Hoddy’ meant healthy, in good condition and state of mind. 386 Historical changes in ideas about food and identity © 2014 Institute of Historical Research Historical Research, vol. 87, no. 237 (August 2014) slaughter of beasts, when they were at their fattest and sweetest and before salting or smoking, hence the common expression ‘Martlemas beef ’. Falstaff is a great eater of beef, and it is a diet that is understood to appeal to those who delight in their food and to help to make them brave as well as hedonistic.42 It was common for dietary texts at the time to identify rich food and strong drink as causes of licentiousness; Erasmus’s Adages included ‘Wythout meate and drynke the lust of the body is colde’ and ‘The beste way to tame carnal lust, is to kepe abstinence of meates and drynkes’;43 and a figure in a Restoration comedy proclaimed that ‘Beef ’tis makes us lusty’.44 In 1638, Henry Peacham’s caustic The Truth of Our Times told the story of a mother overjoyed to see her foppish and spoiled son turn to eating beef, ‘which she protested hee never did before in his life, and now she verily believed hee would prove a souldier’.45 In Henry V (Act III, scene 7), on the eve of Agincourt, the French forces were discussing the state of mind and likely qualities of their foe. The discussion proceeded by way of diet. If the English had any sense, they would run away, so puny were their forces. True, England ‘breeds very valiant creatures; their mastiffs are of unmatchable courage’. Yes, indeed, a French general agrees – brave, but too stupid to know when they are overmatched,‘leaving their wits with their wives’.They take ‘great meals of beef and iron and steel’, which they eat like wolves and which make them ‘fight like devils’. But not to worry: ‘these English are shrewdly out of beef ’, and that means that ‘to-morrow they will have only stomachs to eat and none to fight’. An army, as Napoleon said, marches on its stomach, and Henry’s army’s stomachs were not just empty but empty of their fighting fare.46 Daniel Defoe’s account of The True-Born Englishman agreed that he was beefily bold beyond other races: Eager to fight, and lavish of their Blood; And equally of Fear and Forecast void. . . . The Climate makes them Terrible and Bold; And English Beef their Courage does uphold.47 In a chivalric culture, it was good to be brave, fierce, stolid and violent. But causal idioms relating aliment to human nature could also be used to oppose chivalric virtues and to suggest a dietary remedy. In the late seventeenth century, the English pacifist writer Thomas Tryon reckoned meat-eating, and specifically the eating of bloody meat, to be a cause of a violent society. It was not, as some modern vegetarian writers have thought, that killing animals, or eating animals slaughtered on your behalf, made you insensitive to violence – though that might indeed happen. Rather, it was that the qualities of the beast were carried in the blood and transferred to human beings through the blood. ‘Blood . . . doth not only contain the Spirits, but the very Humour, Dispositions and Inclinations of the Creature’, and so, by eating bloody meat, you become bestial and bloody-minded. Different forms of aliment had the power, Tryon 42 See J. B. Fisher, ‘Digesting Falstaff: food and nation in Shakespeare’s Henry IV plays’, Early English Studies, ii (2009), 1−23. 43 [Desiderius Erasmus], Proverbes or Adagies (1539), fo. xxxvi. 44 T[homas] D[uffet], Psyche debauch’d, a Comedy (1678), p. 8. 45 Henry Peacham, The Truth of Our Times (1638), pp. 92−3. 46 Into the 1670s, those praising English military valour felt it necessary to say that this did not depend upon adequate supplies of beef: ‘’Tis a base and malicious scandal to say, That his Valour ebbs and flows with the condition of his Snapsack, or that he can never fight well unless Beef and Bag-pudding be his Seconds’ (The Character of a True English Souldier. Written by a Gentleman of the New-rais’d Troops (1678)). 47 [Daniel Defoe], The True-Born Englishman: a Satyr (1700), p. 26. Historical changes in ideas about food and identity 387 Historical Research, vol. 87, no. 237 (August 2014) © 2014 Institute of Historical Research said, of awakening their ‘similes’ in the human body. Fruits and vegetables are ‘of a clean Simple Nature and Opperation, which being well prepared and temperately eaten, have onely power to waken their Similes in the Body and Senses’. By contrast, animals – some sorts more than others – ‘are endued with all kind of Beastial Passions, as Anger, Revenge, Covetousness, Love and Hate, which dispositions and Passions of the Flesh, but especially the Blood, doth retain after such Animals are Killed’. That brutalizing effect might obtain if one was just exposed to the material effluvia from abattoirs, from which places ‘fiery wrathful Spirits do evaporate themselves into the Air, being continually breathed into the [bodies]’ of people congregating near such places. This was why butchers were ‘more fierce and cruel, sooner moved to wrath than others’.48 During the English civil wars, it was observed ‘that one Foot-Regiment of Butchers, behaved themselves more stoutly than any other’, though they had never before killed anything but beasts.49 So criticism as well as celebration of national virtues could proceed by way of diet, and Tryon’s views just turned upside down those that praised the beef-eating heroes of Agincourt. That sensibility persisted into the Enlightenment, and, again, the French agreed that it was bloody beef-eating that made the English what they were, that is, ‘rosbifs’. It was Rousseau’s opinion that this bloody diet made people ‘cruel and ferocious’ – ‘English barbarism is known’50 – and it was also an opinion expressed in La Mettrie’s L’Homme Machine: ‘Raw meat makes animals fierce, and it would have the same effect on man. This is so true that the English who eat meat red and bloody, and not as well done as ours, seem to share more or less in the savagery due to this kind of food’.51 Even the Scots, who reckoned that they too were pretty fierce, agreed, as, for example, the opinion of the physician William Buchan, discerning a causal link between the violence of the English nature and the beefiness of their diet: ‘There is no doubt but this induces a ferocity of temper unknown to men whose food is chiefly taken from the vegetable kingdom’.52 (Sadly, it seems that the notion of ‘having a beef with’ someone or something is an American usage, from the late nineteenth century.) English beef-eating was also part of causal stories about characteristic English pathologies. Beef, and especially beef from older animals, made ‘ill juice’ and ‘grosse bloude’, engendering melancholy, according to sixteenth- and seventeenth-century physicians and humanists.53 (Veal was widely judged innocuous or wholesome.54) Everybody knew this, lay and expert. The Salernitan Verses, perhaps the most widely circulated form of popular dietary advice, listed beef as among the foods ‘that breed ill bloud, and Melancholy,/If sicke you be, to feed on them were folly’.55 Everybody also understood why there might be this causal connection between beef and 48 Thomas Tryon, Healths Grand Preservative: or The Womens Best Doctor . . . (1682), pp. 15–19. 49 Charles Blount, Great is Diana of the Ephesians, or, The Original of Idolatry together with the Politick Institution of the Gentiles Sacrifices (1680), p. 44, quoted in T. Stuart, The Bloodless Revolution: a Cultural History of Vegetarianism from 1600 to Modern Times (New York, 2006), p. 125. 50 Jean-Jacques Rousseau, Emile, or, On Education, ed. and trans. C. Kelly and A. Bloom (1st pub. 1762; Lebanon, N.H., 2009), p. 297. 51 Julien Offray de La Mettrie, Man a Machine (1st pub. 1748; Chicago, Ill., 1912), p. 94. 52 William Buchan, Domestic Medicine (1st pub. 1769; 16th edn., 1798), p. 650. 53 Thomas Elyot, The Castel of Helth (1541), pp. 8–15; William Bullein, Bulleins Bulwarke of Defence against all Sicknesse (1579), p. 74; John Archer, Every Man His Own Doctor (1671), pp. 27−8; [John Floyer], The Preternatural State of Animal Humours (1696), p. 163; Butts, sig. Ir; Peacham, pp. 34−6; and see also Albala, pp. 68, 230–1. 54 Andrew Boorde, The First Boke of the Introduction of Knowledge . . . A Compendyous Regyment or a Dyetary of Helth, ed. F. J. Furnivall (1st pub. 1547; 1870), pp. 271–2; Harington, p. 8; Archer, p. 28. 55 Harington, p. 3. 388 Historical changes in ideas about food and identity © 2014 Institute of Historical Research Historical Research, vol. 87, no. 237 (August 2014) melancholy. Henry Fielding’s 1731 patriotic ballad ‘The Roast Beef of Old England’ celebrated the mental benefits of beef – ‘When mighty Roast Beef was the Englishman’s food,/It ennobled our brains and enriched our blood’ – but there were serious doubts about the matter. The famous English Malady described by the Scot George Cheyne in the early eighteenth century was a mental and moral condition partly caused by the poor digestibility of red meat.56 Beef was not recommended to the city-dwelling sedentary and it was understood that country people and those who did physical labour had stronger stomachs, better able handle it.57 Beef-eating, and especially the eating of old animals, might cause melancholy through its excess of coldness or it might do so through difficulty in digestion.58 Things that were hard to digest might call animal spirits away from their mental tasks and enlist them to power digestion; or the fumes and vapours that were the signs of poor digestion might rise up from the stomach, literally clouding judgment and breeding dark and brooding thoughts. That makes sense of another Shakespearian digression on food and the self. This is in Twelfth Night (Act I, scene 3) when Sir Andrew Aguecheek explains to Sir Toby Belch that ‘I have no more wit than a Christian or an ordinary man has: but I am a great eater of beef and I believe that does harm to my wit’.59 The idea that beef-eating made you stupid was common: it is found, for example, in Diogenes Laertius’s life of Diogenes the Cynic: the philosopher had suggested that athletes were not very sharp, and, ‘Being asked why the Gamesters were men of no Sense, he said, because they were built up of Beef and Bacon’.60 And in an exchange of insults in Dryden’s play Troilus and Cressida, Thersites calls Ajax ‘beef-witted’.61 That is to say, the beef-eater is precisely John Bull, described by Washington Irving as ‘[A] plain, downright, matter-of-fact fellow, with much less of poetry about him than rich prose. There is little of romance in his nature, but a vast deal of a strong natural feeling. He excels in humor [where humour tended to mean quirkiness] more than in wit; . . . melancholy rather than morose’.62 If the English ate less beef, they might become healthier but also less English. Indeed, the English liked (like?) to contrast their mental stolidity and solidity to the empty flash and dash of, say, the ragout-eating French or the oily Italians63 – lack of wit is not necessarily to be regretted, not in the late sixteenth century nor later, when the 56 George Cheyne, The English Malady: or, a Treatise of Nervous Diseases of All Kinds (1733), esp. pp. 168–70; see also S. Shapin, ‘Trusting George Cheyne: scientific expertise, common sense, and moral authority in early 18th-century dietetic medicine’, Bull. History of Medicine, lxxvii (2003), 263–97. 57 Bullein, p. 74; Antoine Le Grand, An Entire Body of Philosophy (1694), p. 236. 58 E.g., Moses Charras, The Royal Pharmacopœa; Galenical and Chymical (1678), p. 54. 59 R. Appelbaum, Aguecheek’s Beef, Belch’s Hiccup, and other Gastronomic Interjections: Literature, Culture, and Food among the Early Moderns (Chicago, Ill., 2006), ch. 1. 60 Diogenes Laertius, The Lives, Opinions, and Remarkable Sayings of the Most Famous Ancient Philosophers (1688), p. 420; [John Bulteel], The Apophthegmes of the Ancients; taken out of Plutarch, Diogenes Laertius . . . and Others (1683), p. 315. 61 John Dryden, Troilus and Cressida (1679), p. 22. 62 W. Irving, ‘John Bull’, in The Sketch Book, in The Works of Washington Irving (10 vols., New York, 1890), ii. 431–47, at p. 433. 63 James Howard, The English Mounsieur. A Comedy (1674), pp. 4, 9, 20; James Howell, A German Diet, or, The Ballance of Europe (1653), p. 54; see also L. Dacome, ‘“Useless and pernicious matter”: corpulence in 18th-century England’, in Cultures of the Abdomen: Diet, Digestion and Fat in the Modern World, ed. C. E. Forth and A. Carden-Coyne (2005), pp. 185−204, at pp. 192−3; S. Volk-Birke, ‘Questions of taste: the critic as connoisseur and the hungry reader’, in The Pleasures and Horrors of Eating: the Cultural History of Eating in Anglophone Literature, ed. M. Gymnich and N. Lennartz (Göttingen, 2010), pp. 165−85, at pp. 168−70. Historical changes in ideas about food and identity 389 Historical Research, vol. 87, no. 237 (August 2014) © 2014 Institute of Historical Research tory party, following a remark by John Stuart Mill, liked to celebrate itself as the ‘stupid party’, and when ‘clever’ can mean lacking in sound judgement, and ‘too clever by half ’ can mean Jewish. The story resumes closer to present times: during the nineteenth and twentieth centuries the vocabularies of both Galenic dietetics and analogical reasoning about the qualities of aliment lost their grip on medical and physiological expertise. In their place, nutritional science supplied a new language: the constituents of foods were no longer the qualities of heat and cold, moist and dry, nor of the virtues and powers of the plants and animals eaten – they were carbohydrates, fats and protein; vitamins; minerals; and that power attached to chemical constituents, the calorie. This is what is in what you eat, and this is what makes you what you are and what powers your physiological functions. What are some broad consequences of these changes in vocabulary for understandings of who we are as natural and cultural beings, how we come to be this way, and how we come to know about both our bodies and our food? First, the change from qualities to constituents marks a shift in the conditions of knowledge. In the schemes of both Galenic dietetics and analogical reasoning, the qualities of things eaten could be adequately known through their sensed properties. The temperamental effects of beef, transferred from beast’s blood to its human eater, could be known by the temperamental characteristics of the animal; the moistness of cucumbers through the perceived wateriness of the vegetable; the heat of pepper through the heat it produced in the mouth. Taste, and the individual experience of digestion, were powerful probes into the qualities of things. When early moderns said that certain foods either agreed, or disagreed, with them, they knew that taste on the palate and digestibility were signs that the qualities of the food matched the qualities of their bodies. The old Latin tag was ‘Quod sapit nutrit’ – if it tastes good, it’s good for you. True, there was frequent disagreement about the properties of particular foods, and, true also, some forms of food did not speak clearly to the senses about their qualities, but the mode of reasoning was understood as legitimate. And while there was expertise in such things, you could read off qualities without reaching for external expertise. After all, the ancient saying was ‘Every man his own doctor’, and no one knows better than you where the shoe pinches – or what ‘agrees with’ you.64 Contrast that situation with our predicament: we now know that foods are made up of fats, carbohydrates, proteins, etc., that taste is not a reliable guide to nutritiousness, and that eating venison might make you fat but cannot make you fast. The analogical mode survives, but we tend to find its users a bit weird. Among the many eccentricities of the French composer Erik Satie was his diet confined to white foods – eggs, sugar, shredded bones, the fat of dead animals, coconuts, chicken cooked in white water, rice, cheese (white varieties) and certain kinds of fish (without their skin). Satie thought that white foods got him into the mood for musical compositions that were unimpassioned and lucid.65 We seem, on the whole, to be satisfied with modern nutritional science, but the conditions of having that knowledge are that we are now wholly dependent upon finding reliable external expertise and then trusting it. We are 64 On expertise, lay knowledge and medical authority, see Shapin, ‘Trusting George Cheyne’; Shapin, ‘How to eat like a gentleman’; S. Shapin, ‘Descartes the doctor: rationalism and its therapies’, British Jour. for the Hist. of Science, xxxiii (2000), 131–54; S. Shapin, ‘Expertise, common sense, and the Atkins diet’, in Public Science in Liberal Democracy, ed. P. W. B. Phillips (Toronto, 2007), pp. 174–93. 65 E. Satie, ‘Memoirs of an amnesiac’, in The Writings of Erik Satie, ed. and trans. N. Wilkins (1980), pp. 57–66. 390 Historical changes in ideas about food and identity © 2014 Institute of Historical Research Historical Research, vol. 87, no. 237 (August 2014) not now our own doctors or our own nutritionists. And one support for the ‘nutrition facts’ label is that it represents the joined authority of both science and the state.66 It would, however, be incomplete to say that our knowledge of our bodies and our food has been delegated to external experts, since that new expert vocabulary has become significantly vernacularized. This is how we now speak of who we are: we watch our calories and our cholesterol; we are on low-sodium or high-fibre diets.That is who we are, even though we have no sensory access to the properties of the constituents on the ‘nutrition facts’ label. We do not know the saturated fat or potassium content of our foods in the way that we once knew that a food was hot and moist. The modern ‘you’ in ‘You are what you eat’ is therefore partly made up of technical expertise and state authority. We have got that expertise in our bones and in our bellies. Second, modern dietary vocabulary has resulted in a reconfigured relationship between the environment and the ‘you’ in the old adage. Recall that the world of qualities gave people a language in which the edible environment was causally bound to both bodily and mental aspects of the self. Recall also that the names of the qualities gave you names for human character, and, while we now can find in coldness and dryness only metaphors for temperamental aspects of the self, past cultures knew them to be causal and substantive too. There are things that you put in your mouth – both legal and illegal – that are said to affect the mind, but we now tend to call those things not foods but drugs.67 Early modern edibles were food for thought, and, in this literal sense, modern ones no longer are. The philosophically celebrated mind-body dualism is often blamed on Descartes in the seventeenth century, but you can plausibly argue that it only became vernacularized, and a common feature of lay culture, through changes in the vocabulary of food that were put in place maybe as late as the early twentieth century. Finally, in the modern dietary constitution, what has become of the traditional association between food and regional and national identity? It is a truism to say that our diet has become significantly globalized, and one cultural consequence of that is a hollowing out of the ancient sentiment that custom is a second nature. We eat everything, from everywhere, at any time of year, and, although some of us may worry about that on grounds of taste, and whatever nutritional value might come from freshness, there is really no medical or physiological sense left which causally relates localism to our constitution. We are all soldiers and diplomats now; we travel and our food travels. And if custom is still a second nature, then our nature is cosmopolitan. Our stomachs are citizens of the world. I once asked my students what they thought was the iconic modern American dish and I got the answer, facetiously intended but really quite profound, that it was sushi pizza. ‘You are what you eat’ remains a sensible thing to say in the early twenty-first century – anyway, a lot of people still say it – but its sense has changed in all sorts of ways. In the scientific or medical idiom, it is, as I have indicated, about constituents not qualities, and, in that sense, its capacity for self-making has been radically restricted: carbohydrates are not ‘you’ in the same way that heat or coldness are ‘you’. So one 66 X. Frohlich, ‘Accounting for taste: regulating food labeling in the “affluent society”, 1945–95’ (unpublished Massachusetts Institute of Technology Ph.D. thesis, 2011). 67 For the historical transition of exotic aliments from drugs to food, see, e.g., S. W. Mintz, Sweetness and Power: the Place of Sugar in Modern History (New York, 1986), ch. 3; J. Shaw and E. Welch, Making and Marketing Medicine in Renaissance Florence (Amsterdam, 2011), pp. 18–19, 191–7, 209–10, and, of course, much material on coffee, tea and chocolate. Historical changes in ideas about food and identity 391 Historical Research, vol. 87, no. 237 (August 2014) © 2014 Institute of Historical Research story about what has happened to the relationship between food and identity has got a familiar form. It is a story about secularization, about disenchantment, objectification, about scientizing the moral. There is much that is true about this story, but there is another story about food and identity, and this one points in the opposite direction. This other story would draw attention to a vast expansion in the possibilities that diet has recently acquired for identity-making. New institutions and new actors are now involved that were not present in the early modern period. These include business, politics and the planet. The branding of foods and the concentration of food production, distribution and retailing into large commercial corporations are relatively new things, as is the extent of state regulation of the food supply in the cause of nutritiousness.68 Nor in the early modern period did anyone seriously entertain the possibility that how food was produced and what was consumed, individually or collectively, could have a significant effect on the integrity of the planet. The involvement of business and the state means, on the one hand, that modern food choices are bound up with the increasingly concentrated enterprises concerned with producing and marketing food and with the authority of national and international government in regulating the food industry and in instructing food choice. On the other hand, the same state of affairs opens up a new idiom in which food choices can count as moral and political comment. And, of course, this is exactly what is intended by some contemporary movements dedicated to effecting change in how food is produced, marketed and consumed.The increasingly influential Slow Food Movement, for example, insists that eating is an agricultural act, that the relations between the eaters and producers of food are political, and that persistence in unsustainable patterns of producing and eating puts the planet at risk.69 You should eat locally not because it agrees with your temperament but because it is the ‘right thing to do’, because to eat that way is to be a moral person, to take a moral stance, to constitute a ‘good society’. The moral charge of the old adage has not disappeared in modernity; it has just experienced a massive change of idiom. 68 I stress ‘extent’ because, of course, the state had long regulated aspects of the trade in food and drink and of their authenticity and purity.Yet a crucial change in the relations between government and dietary expertise was associated with the introduction of the nutritional calorie at the end of the 19th century and with its rapid integration into state policy (see, e.g, N. Cullather, ‘The foreign policy of the calorie’, Amer. Hist. Rev., cxii (2007), 337–64; N. Cullather, The Hungry World: America’s Cold War Battle against Poverty in Asia (Cambridge, Mass., 2010), esp. ch. 1). 69 C. Petrini, Slow Food Nation: Why our Food Should be Good, Clean, and Fair, trans. C. Furlan and J. Hunt (New York, 2007). 392 Historical changes in ideas about food and identity © 2014 Institute of Historical Research Historical Research, vol. 87, no. 237 (August 2014) 
work_syrq4e6rcber5ninyzxsvlsnky	----	iau1101266a “Oxford IX” International Symposium on Archaeoastronomy Proceedings IAU Symposium No. 278, 2011 Clive L. N. Ruggles, ed. c© International Astronomical Union 2011 doi:10.1017/S174392131101266X A critical history of 2012 mythology John W. Hoopes Department of Anthropology, University of Kansas, 1415 Jayhawk Blvd., Lawrence, KS 66045, USA email: hoopes@ku.edu Abstract. The notion that December 21, 2012 will bring physical catastrophes, a transformation of consciousness, or even a New Age is an unanticipated and unintentional consequence of early speculation by credentialed academic experts. It has grown as a result of its subsequent interpretation through the lens of speculative, counterculture metaphysics by individuals with both academic and non-academic backgrounds. This article provides a historical review of the most significant contributions to the emergence of the 2012 phenomenon. Keywords. 2012 phenomenon, astrology, Maya 1. Introduction Assertions of ancient Maya prophecies associated with the end of the 13th baktun and its GMT-correlated date of December 21, 2012 have resulted in a bewildering plethora of publications, websites, documentaries, workshops, conferences, and self-help seminars with little basis in either archaeology or astronomy. Just as concerns about Y2K fu- eled massive investment in software development, underwriting the ‘dotcom’ bubble of the late 1990s and contributing to the emergence of the World Wide Web, the 2012 phenomenon (Sitler 2006) is creating a bubble in New Age metaphysics. According to popular mythology, the ancient Maya predicted that this date would be accompanied by either global catastrophe or a ‘transformation of consciousness’ that would usher in a long-awaited New Age, anticipated by mystics and Theosophists on the basis of the Book of Revelation and Medieval Arabic astrology. Predictions include ‘earth changes’,1 a global flood, a supervolcano, a dramatic magnetic or physical shift of the Earth’s poles, the arrival of Planet X, visits from extraterrestrials, an increase in telepathy, and a shift in negative attitudes about the benefits of cannabis and metaphysical revelations (Joseph 2007; Stray 2009). The origins of the phenomenon can be traced to comments made by respected academic Mayanists and its promotion has included speculative statements by scholars, some of whom have doctoral degrees. 2. Overview At present, there are over a thousand books in print that address the 2012 phe- nomenon. Three represent scholarly critiques (Aveni 2009; Van Stone 2010; Restall & Solari 2011) and there are only two scholarly articles (Sitler 2006; Hanegraaff 2010). The meme ‘tipped’ (Gladwell 2000) in 2007. It was discussed in counterculture circles at the Burning Man festival, where in 2003 the central icon stood atop a Mesoamerican-style pyramid before its own apocalyptic incineration. However, its historical antecedents can be found in the millenarianism of Joachim de Fiore and its roots in the revival of as- trology and the ‘concordance of astronomy with history’ by Bishop Pierre d’Ailly. The latter had a direct and profound effect on the thinking of Christopher Columbus, whose 1 A phrase coined in the early 20th century by psychic Edgar Cayce and associated with Atlantis. 240 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core A critical history of 2012 mythology 241 Libro de las Profećıas sought to use sources from antiquity and ecclesiastical scholarship to prove that his prophesied discovery of ‘most remote land’ would precipitate the re- conquest of Jerusalem, the Second Coming, and the end-times events described in the Book of Revelation. “Columbus turned to the writings of Pierre d’Ailly in order to im- prove his understanding of the connection established in Christian eschatology between the imminent last days of the world and a providential view of history. His aim was to locate his own enterprise within this scheme” (Columbus & Rusconi 1997: 21).2 Colum- bus was compiling this “Book of Prophecies” on his fourth voyage in 1502, during which he encountered a trading canoe off the Bay Islands of Honduras and interviewed a local cacique on Guanaja. This first encounter between Europeans and the Maya world was the occasion on which the existence of the continental mass of Central America became understood and the episode in which ‘Maia’ first appears in European records (Academia de Geograf́ıa e Historia 1952). The Maya were associated with confirmation of eschato- logical mythology from this initial encounter, which was followed by the introduction of Western millenarianism first to the Antilles and Panama and subsequently to Maya converts in the Yucatan. From a Western perspective, there has always been ‘New Age’ thinking about the ancient Maya.3 The 2012 phenomenon is the result of speculative academic hypotheses, some discarded long ago and some not. Scholarship on the ancient Maya—academic and otherwise—has included many crackpots. Lord Kingsborough, who commissioned facsimiles of Mesoamer- ican codices and descriptions of Maya ruins in the 1830s, believed Mesoamericans were the Lost Tribes of Israel. Charles Brasseur de Bourbourg, discoverer of the Popol Vuh and Bishop Landa’s Relación, found narratives of past destructions that led him to speculate about similarities between Maya culture and Plato’s Atlantis, asserting direct connections with the lost continent. Waldeck illustrated Maya reliefs with Classical and Egyptian embellishments. Desiré Charnay suggested that the Toltecs were Aryans who had migrated to Mexico from the Himalayas. Augustus Le Plongeon, the first excavator of Chichén Itzá, identified the roots of Freemasonry through ancient Egypt and Atlantis to the Yucatan some 11,500 years ago. His work inspired Ignatius Donnelly (1882; 1883) to trace not only the Maya but all civilizations to Atlantis and assign catastrophism a role in ancient history. The persistence today of discarded theories about the Maya reveals a separate, esoteric tradition of scholarship that has accompanied academic Maya studies much as astrology has accompanied astronomy (Campion 2008). Its goals are metaphysical, spiritual, sub- jective, and distinctly not Western science. Esoteric Maya studies preserve archaic forms of knowledge that support New Age ideologies but do not withstand objective scrutiny. Specific assertions about 2012 derive from statements made by reputable scholars—the experts of their time—that were misinterpreted in unanticipated ways. These include a 2 Columbus made special note of a passage from Seneca’s Medea, published for the first time in 1491: “ ‘During the last years of the world, the time will come in which the Ocean sea will loosen the bounds and a large landmass will appear; a new sailor like the one named Tiphys, who was Jason’s guide, will discover a new world, and then Thule will no longer be the most remote land.’ . . . He wanted, moreover, to clinch the argument that these events were part of a larger eschatological perspective. Toward that end, in a margin of the letter to Ferdinand and Isabella in the manuscript of the Book of Prophecies, he wrote the same rubric that precedes the Latin lines of verse and placed a sign indicating that in the final version of the letter a paragraph, inspired by those verses, should be inserted before the one identifying premonitory signs of the final days of the world found in the Bible” (Columbus & Rusconi 1997: 34). 3 Columbus himself employed apocalyptic imagery associated with astronomy in his inter- action with indigenous people, using the prediction of a lunar eclipse on February 29, 1504 to intimidate natives of Jamaica into provisioning his ships (Morison 1942: 653–654). https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core 242 J. W. Hoopes chain of speculative inferences that runs from Ernst Förstemann to Sylvanus Morley to Michael Coe. Förstemann (1906) made reference to ‘destruction of the world’, ‘apoca- lypse’, and ‘the end of the world’ in his commentary on the last pages of the Dresden Codex. These were repeated by Morley (1915), who paraphrased the earlier scholar and added his own embellishments, such as references to a universal destruction of the world and a ‘final all-engulfing cataclysm’ in the form of a Great Flood.4 Morley repeated this in The Ancient Maya (1946) as he appropriated uncited details from Alfred Tozzer’s (1941) translation of Landa. In so doing, he conflated pre- and post-Conquest stories, mentioning flood legends likely introduced by 16th century Christian missionaries, in turn influenced by speculation concerning a ‘Second Great Flood’ predicted for 1524 (Pankenier 2009). It is not at all clear that stories of ‘universal’ floods (past or future) have pre-Conquest Maya origins. The basic workings of the Long Count calendar had been published by Goodman (1897), who also provided detailed tables of 1,897,000-day baktuns, which he asserted were conceived in a 73-unit ‘grand era’ that included the 53rd beginning on 13.0.0.0.0 4 Ajaw 8 Zotz (now correlated to April 1, 8239 BCE), the 54th beginning on 13.0.0.0.0 4 Ajaw 8 Cumku (August 11, 3114 BCE), and the 55th beginning on 13.0.0.0.0 4 Ajaw 3 K�ank�in (December 21, 2012). However, this work drew the attention of only a small circle of scholars. Goodman made no calendrical associations with astronomical events or catastrophes. Morley (1946) was the first to explain Maya cosmology to a general audience. Themes of Maya collapse and destruction from his book entered the counterculture with Beat writers in the 1950s. William Burroughs studied Aztec history and Maya writing at Mexico City College in 1950 and Allen Ginsberg made a long visit to Palenque in 1953. They were among a wave of tourism to Mexico after World War II that delivered a ready audience for Maya studies amidst a growing counterculture. Maud Makemson (1951), an astronomer, was the first to associate 13.0.0.0.0 4 Ajaw 3 K�ank�in with end-of-the-world prophecies on the basis of the Book of Chilam Balam of Tizimin. However, her translation of the date and its meaning were flawed, resulting in a spurious Colonial-era prophecy that she correlated to 1752. Her book introduced the date to a general audience amidst meaningless confusion. Coe (1966) was the first to publish the correlation of a future Long Count date and associate it with ‘Armageddon’. He correlated 13.0.0.0.0 4 Ajaw 3 K�ank�in to December 24, 20115 and introduced the concept of a Maya-predicted doomsday in a statement that has been made repeatedly in his popular text The Maya, now in its 8th edition (Coe 2011). Coe makes parallels between Mesoamerican and ‘Oriental’ religions, including similar concept of eras or kalpas. He also claims that the ‘fifth world’ which we inhabit, was to be ‘destroyed by earthquakes’. This shift from the catastrophic flood of Förstemann and Morley to a fate predicted in the 1558 Aztec document La Leyenda de los Soles reflects beliefs about congruence in Aztec and Maya eschatology. The reference to Armageddon, written to stimulate his audience, undoubtedly reflected Cold War anxieties. Its repetition in subsequent editions of The Maya has fed the 2012 meme for four decades.6 4 The romantic imagery and excitement of the Maya’s watery end may have come from Morley’s youthful reading of Heart of the World, an adventure novel about the Maya by H. Rider Haggard (1895). 5 Corrected in subsequent editions to December 23, 2012. 6 It is important to note, however, that the principal dissemination of the doomsday date of December 24, 2011 was though use of Coe’s book by writer Don Ringe for the script of “In Search of Ancient Astronauts”, a 1973 TV documentary based on Erich von Däniken’s Chariots of the Gods? (1969) that was seen by an audience of millions. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core A critical history of 2012 mythology 243 2012 mythology came of age in the late 1960s as assertions about comparative mythol- ogy by MIT historian Giorgio de Santillana and his co-author Hertha von Dechend (De Santillana & Von Dechend 1969) fueled speculation based on astrology and the I Ching. Though critically panned for its cherry-picking approach,7 Hamlet’s Mill inspired myths about 2012. Its central premise is that world mythologies are based on observations of celestial events and that ancient knowledge of the precession of the equinoxes formed the backdrop to cosmological narratives. The authors suggest that initial knowledge of precession was ancient, occurring around ‘Time Zero’, a hypothetical date ca. 5000 BC during an undocumented and unexplained Golden Age, when major calendrical systems began. Hamlet’s Mill influenced psychonauts Terence and Dennis McKenna, who found in it evidence for precession-linked cycles of ‘novelty’ that reached an ‘eschaton’ in 2012 they felt could be identified through a psychedelic-inspired analysis of the mathematics of the I Ching (McKenna & McKenna 1975; Hanegraaff 2010). John Major Jenkins (1998; 2009), who drew direct inspiration from the McKennas, saw precession in the 5126-year Great Cycle of the Maya calendar, asserting that knowledge of precession was the basis for the Long Count and claiming the Maya specifically picked the 2012 winter solstice to celebrate a culmination of grand, 26,000-year-long precessional cycles. If some assertions about 2012 sound as if they were imagined by people on drugs, it is because they were. The early 1970s were a heady time for speculation about Mesoamer- ican shamanism, cosmology, and metaphysics. Carlos Castaneda’s books—not yet re- vealed as fraud—were earning him millions. They fostered interest in shamanism and psychedelics as paths to self-realization and had an effect on Mesoamerican studies. Furst (1972) included an essay by Castaneda’s advisor Weston La Barre. Although a speculative article by Dobkin de Rios (1974) about Maya hallucinogen use fell flat among Mayanists, it inspired other speculative literature. At the same time, Furst (1975) offered a revised definition of Mesoamerican shamanism, one that gave a central role to hallucinogens and the concept of transformation (especially therianthropic). Castaneda influenced Furst’s thinking—and vice-versa (De Mille 1976; Fikes 1993)—and this legacy has remained a part of both Maya studies and the 2012 phenomenon. The year 1975 saw the publication of several influential books relevant to 2012. These were a product of the times. A zeitgeist that had included hyped anticipation of Comet Kohoutek in 1973 cast renewed attention on the heavens, including predictions of disaster. A popular TV documentary claimed the Mayas had been visited by extraterrestrials. Richard Nixon’s 1974 resignation and the U.S. withdrawal from Vietnam undermined confidence in central authority, making alternatives seem credible and attractive. Poet Tony Shearer (1975) claimed that Maya prophecy predicted the end of the world on August 16, 1987, a date subsequently adopted by art historian José Argüelles for the Harmonic Convergence, a counterculture astrological event. Argüelles, who has a Ph.D. in Art History and Aesthetics from the University of Chicago, had been a heavy user of psychedelics, a founder of Earth Day in 1970, and was a student of astrologer Dane Rudhyar (1975). His was one of the first books to identify 2012 (not 2011) as a significant date for the Maya (Argüelles 1975),8 implying it would bring spiritual transformation. Frank Waters’ book (1975), the result of a Rockefeller Foundation grant to study in Mexico in 1970–71, revisited the myth of a white, bearded Quetzalcoatl, the lost continent of Atlantis, and interpreted an astrological chart for December 24, 2011 (a date taken 7 Reviewer Cecelia Payne-Gaposchkin of the Smithsonian Astrophysical Observatory put it in the same category as Donnelly’s Ragnarok and Velikovsky’s Worlds in Collision. 8 This seems likely to have been a rounding of Coe’s initial published date of December 24, 2011 rather than a direct calculation. The year was specified, but not the day. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core 244 J. W. Hoopes from Coe). The McKennas’ book (1975) included discussion of a computer program derived from the I Ching that identified 2012 as the conclusion of a 4300-year cycle. Their work was influenced as much by the transformative power of mushrooms and other potent hallucinogens as the abovementioned Hamlet’s Mill. Argüelles’ most influential book (1987) appeared in advance of the Harmonic Conver- gence. In it, he suggested that that ancient Maya had obtained knowledge of the galaxy from extraterrestrial beings and that on December 21, 2012 the Earth would come in contact with a beam of energy emanating from the center of the Milky Way that would usher in a time of metaphysical transformation and spiritual peace. Among other things, he predicted a visit from ‘galactic ambassadors’ in 1992–93. They have not yet arrived, though von Däniken (2010) asserts they are coming in 2012. The books by Argüelles, Waters, and the McKennas were largely ignored by academics. Although Argüelles’ book had been intended as a scholarly contribution, it was panned by critics. The McKennas’ book attracted slight attention in the counterculture but soon went out of print. Waters’ book, despite its prestigious funding, was also dismissed. However, all of these were subsequently revived and reissued in the 1990s, due in part to word-of-mouth popularity in counterculture lectures during the 1980s, a revival of psychedelics in the rave subculture in the 1990s, and especially the growth of cyber- culture. The correlation of December 21, 2012 with 13.0.0.0.0 was first published in an appendix to the 4th edition of Morley’s The Ancient Maya (1983). All of these books came back into print and are well-known among 2012 aficionados today. The 2012 phenomenon today results from a merging of influence from the psychedelic subculture with ideas that emerged from the ‘Texas School’ of Maya studies that thrived around epigrapher Linda Schele at the University of Texas-Austin beginning in the late 1970s. Schele encouraged her students to read widely in the areas of comparative reli- gion, with a special emphasis on shamanism. Mircea Eliade’s work (1959; 1964), which emphasized a desire to return to primordial, archaic belief systems of the distant past, was particularly influential. He was an expert on yoga who used comparative analysis to find parallels between Eastern and Western thought. A special focus on ‘shamans’, vision quests, and complex symbol systems accompanied real breakthroughs in the decipher- ment of Maya writing. The work of Schele, her colleagues, and her students was highly collaborative, bringing together linguists, art historians, archaeologists, and ethnogra- phers for a heady period of exciting discoveries. A second wave of ‘scholarly complicity’ that fostered further speculation on ancient Maya cosmology led directly to current 2012 mythology. Linda Schele and David Frei- del (Schele & Freidel 1990; Freidel et al. 1993) asserted that ancient Maya rulers were shamans whose principal acts included dramatic performances in the context of celes- tial phenomena. In the model these present, the Milky Way is the World Tree, an axis mundi that represents the middle of the cosmos and connects a three-layered universe within which shamans travel. They also asserted that Maya cosmology is meaningful in contemporary society. This has been adopted in 2012-themed metaphysical literature. Jenkins (1998; 2009), an active proponent of 2012 mythology, was directly inspired by a combination of themes in professional astrology, Hamlet’s Mill and work by Waters, Argüelles, the McKennas, Schele and Freidel, and their associates. His work has evolved from a concentration on astrology to an imaginative reading of iconography at the site of Izapa, where he asserts the Long Count was created. Jenkins suggests the creators of the Long Count calendar were able to pinpoint a winter solstice and a ‘galactic align- ment’ of the sun with the center of the Milky Way thousands of years in the future. Archaeoastronomers remain unconvinced. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core A critical history of 2012 mythology 245 Many of the principal promoters of the 2012 phenomenon, including Jenkins, claim great insight from experiences using psychedelic substances. Jenkins (2009) attributes his insights into 2012 to the use of mushrooms and especially LSD in a sensory deprivation tank. Stray (2009), also an online chronicler of the 2012 phenomenon, attributes his initial interest to the work of the McKennas, especially visionary insights that resulted from psychedelic journeys. Daniel Pinchbeck (2006), another voice in promoting 2012 as a metaphysical event, was identified by Rolling Stone magazine as the leader of the ‘new psychedelic elite’. His first book detailed visionary experiences on iboga, ayahuasca, and DMT (dimethytryptamine), the last during a conference on psychedelics at Palenque (Pinchbeck 2002). Inspired, he channeled the deity Quetzalcoatl and weaves crop circles, alien abductions, psi phenomena, and Hancock’s theories about a ‘lost civilization’ into 2012 lore. Other voices promoting 2012 as a metaphysical watershed include several authors with doctoral degrees. Carl Johan Calleman (2004; 2009), a pharmacologist with a Ph.D. in Physical Biology from Washington University, has created a new cosmology based on the Maya calendar. Semir Osmanagich (2005), with a Ph.D. in Anthropology from the University of Sarajevo, has used it to promote interest in the spurious Bosnian ‘pyramids’. Robert Sitler (2010), who has a Ph.D. in Hispanic Literature from the University of Texas, also writes from a New Age perspective, invoking psychedelic-induced visionary experiences and personal growth. Should we discount hypotheses about 2012 because they resulted from psychedelic ex- periences or because their proponents have New Age leanings? Of course not. Psychedelics have played a significant role in contemporary culture, beginning with the Beatles. They have had an unmistakable impact, from fantasy and science fiction to computer graphics (especially in the film industry) and computer gaming. Hallucinogens and fascination with the cosmos have gone hand in hand since the first person entered an altered state of consciousness and looked up into a night sky filled with stars. There’s a reason why drug use and ‘spaciness’ go together. Psychedelics generate a sense of other worlds, which is why psychedelic users are drawn to thoughts about other dimensions, alternative uni- verses, and extraterrestrial intelligence. The same is true for metaphysical discourse. Good science doesn’t care where good hypotheses originate, even if they come from psychedelic epiphanies. The bottom line is that we can discount unsupported hypotheses about 2012 exactly the same way we discount those about Atlantis, Lemuria, ancient astronauts, pyramid power, astral projection, and ESP: Occam’s Razor and the absence of persuasive scientific evidence. 3. Conclusion The 2012 phenomenon is an astrological and cultural event, not an astronomical one. Apart from the winter solstice and the proximity of the sun to the galactic center of the Milky Way (something invisible to the naked eye that has been occurring every December for over a decade), there is little special that happens on December 21, 2012. However, assertions that the ancient Maya associated this date with unique astronomical events are unconvincing. The hullaballoo is a projection of present-day astrological concerns on an ancient culture by earnest believers in New Age lore. It is primarily a manifestation of contemporary pop culture. The 2012 phenomenon is both amusing and disconcerting. The latter, because it casts suspicion on scholars. We have scientific facts about past catastrophes such as the Chic- xulub meteorite of 65 mya. We even have some good ideas about present ones, such as oil spills and global warming, even if our plans for avoiding these in the future remain https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core 246 J. W. Hoopes murky. Science has cast doubt and even ridicule on metaphysics and the supernatural. Our understanding of consciousness, neurophysiology, and cognition remains inadequate for explaining revelations—including those under the influence of LSD or DMT—that seem ‘real’. The public’s perception of scholars has been colored by a string of individuals who have identified themselves as credentialed scholars while engaging in unfounded and even pseudoscientific speculation. Nicholas Campion’s (2008; 2009) scholarship on the history of astrology helps clarify what it is that makes astrology seem legitimate, but 2012 presents other related mytho- logical themes that also merit consideration, among them what it is that makes the past as presented by science appear ‘real’ or not. As with Creationism, there is a rejection of the ‘official’ narratives about the ancient Maya and with them the rejection of academic authority. Just as many astronomers know nothing and care less about the power of astrology, archaeologists have similar attitudes regarding mythology about lost ‘archaic knowledge’ and ‘ancient wisdom’ that has been generated from a psychedelic and/or metaphysical perspective. The 2012 phenomenon brings a fascinating intersection of astronomy and culture. At the very least, it has made a huge audience aware of Maya calendrics and the winter solstice. However, its study brings to mind a vignette from the journals of Eliade (1990). During his participation at a conference on this history of religion in Switzerland he wrote: “22 August [1950] . . . Jung told [Henry] Corbin that he is grief-stricken over the real existence of ‘flying saucers’. Always he believed in the symbolic significance of the circle and the circular; now that ‘the circle’ seems actually to be ‘realized’, it no longer interests him. It seemed infinitely more real to him in dreams and myths.” As with flying saucers for Jung, the 2012 phenomenon may be far more interesting as a window into our contemporary culture—especially how our scholarship is consumed in ways we intend or not—than for anything its reality reveals about the ancient Maya. References Academia de Historia y Geograf́ıa 1952, Colección de Documentos para la Historia de Costa Rica Relativos al Cuarto y Último Viaje de Cristóbal Colón, Imprenta y Libreŕıa Atenea, San José. Argüelles, J. 1975, The Transformative Vision: Reflections on the Nature and History of Human Expression, Shambhala, New York. Argüelles, J. 1987, The Mayan Factor: Path Beyond Technology, Bear & Co., Santa Fe NM. Aveni, A. F. 2009, The End of Time: the Maya Mystery of 2012, University Press of Colorado, Boulder. Calleman, C. J. 2004, The Mayan Calendar and the Transformation of Consciousness, Bear & Co., Rochester VT. Calleman, C. J. 2009, The Purposeful Universe: How Quantum Theory and Mayan Cosmology Explain the Origin and Evolution of Life, Bear & Co., Rochester VT. Campion, N. 2008, The Dawn of Astrology: a Cultural History of Western Astrology, Continuum, London & New York. Campion, N. 2009, History of Western Astrology. Volume II, the Medieval and Modern Worlds, Continuum, New York. Coe, M. D. 1966, The Maya (1st edn), Praeger, New York. Coe, M. D. 2011, The Maya (8th edn), Thames & Hudson, New York. Columbus, C. & Rusconi, R. 1997, The Book of Prophecies edited by Christopher Columbus, Repertorium Columbianum 3, University of California Press, Berkeley. De Mille, R. 1976, Castaneda’s Journey: the Power and the Allegory, Capra Press, Santa Bar- bara. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core A critical history of 2012 mythology 247 De Santillana, G. & Von Dechend, H. 1969, Hamlet’s Mill: an Essay on Myth and the Frame of Time, Gambit, Boston. Dobkin de Rios, M. 1974, The influence of psychotropic flora and fauna on Maya religion. Current Anthropology 16(2), 147–164. Donnelly, I. 1882, Atlantis: the Antediluvian World, Harper, New York. Donnelly, I. 1883, Ragnarok: the Age of Fire and Gravel, D. Appleton & Co., New York. Eliade, M. 1959, Cosmos and History: the Myth of the Eternal Return, Harper, New York. Eliade, M. 1964, Shamanism: Archaic Techniques of Ecstasy, Routledge & Kegan Paul, London. Eliade, M. 1990, Journal I, 1945–1955, University of Chicago Press, Chicago. Fikes, J. 1993, Carlos Castaneda: Academic Opportunism and the Psychedelic Sixties, Millennia Press, Victoria. Förstemann, E. W. 1906, Commentary on the Maya manuscripts in the Royal Public Library of Dresden, Peabody Museum, Cambridge MA. Freidel, D., Schele, L., & Parker, J. 1993, Maya Cosmos—Three Thousand Years on the Shaman’s Path, Morrow & Co., New York. Furst, P. T. 1972, Flesh of the Gods: the Ritual Use of Hallucinogens, Praeger, New York. Furst, P. T. 1975, Shamanistic survivals in Mesoamerican religion. In Actas del XLI Congreso Internacional de Americanistas 41, Museo Nacional de Antropologa, Mexico City, pp. 149– 157. Gladwell, M. 2000, The Tipping Point: How Little Things Can Make a Big Difference, Little, Brown & Co., Boston. Goodman, J. T. 1897, Appendix: the Archaic Maya inscriptions. In A. P. Maudslay (ed.), Bi- ologia Centrali-Americana, Taylor & Francis, London. Haggard, H. R. 1895, Heart of the World, Longmans, Green & Co., New York. Hanegraaff, W. J. 2010, ‘And End History. And Go to the Stars’: Terence McKenna and 2012. In C. M. Cusack & C. Hartney (eds), Religion and Retributive Logic: Essays in Honour of Professor Garry W. Trompf, Brill, Boston, pp. 291–312. Jenkins, J. M. 1998, Maya Cosmogenesis 2012: the True Meaning of the Maya Calendar End- Date, Bear & Co., Santa Fe NM. Jenkins, J. M. 2009, The 2012 Story: the Myths, Fallacies, and Truth Behind the Most Intriguing Date in History, Jeremy P. Tarcher/Penguin, New York. Joseph, L. E. 2007, Apocalypse 2012: a Scientific Investigation into Civilization’s End, Morgan Road Books, New York. McKenna, D. J. & McKenna, T. K. 1975, The Invisible Landscape: Mind, Hallucinogens, and the I Ching, Seabury Press, New York. Makemson, M. W. 1951, The Book of the Jaguar Priest, Schuman, New York. Morison, S. E. 1942, Admiral of the Ocean Sea: a Life of Christopher Columbus, Little, Brown & Co., Boston. Morley, S. G. 1915, An Introduction to the Study of the Maya Hieroglyphs, Bureau of American Ethnology Bulletin 57, Smithsonian Institution, Washington DC. Morley, S. G. 1946, The Ancient Maya, Stanford University Press, Palo Alto. Morley, S. G. 1983, The Ancient Maya (4th edn), Stanford University Press, Stanford. Osmanagich, S. 2005, The World of the Maya, Euphrates, Piscataway NJ. Pankenier, D. W. 2009, The planetary portent of 1524 in China and Europe. Journal of World History 20(3), 339–375. Pinchbeck, D. 2002, Breaking Open the Head: a Psychedelic Journey into the Heart of Contem- porary Shamanism, Broadway Books, New York. Pinchbeck, D. 2006, 2012: The Return of Quetzalcoatl, Jeremy P. Tacher/Penguin, New York. Restall, M. & Solari, A. 2011, 2012 and the End of the World: the Western Roots of the Maya Apocalypse, Rowman & Littlefield, Lanham MD. Rudhyar, D. 1975, The Sun is Also a Star: the Galactic Dimension of Astrology, Dutton, New York. Schele, L. & Freidel, D. A. 1990, A Forest of Kings: the Untold Story of the Ancient Maya, Morrow, New York. Shearer, T. 1975, Beneath the Moon and Under the Sun: a Poetic Re-Appraisal of the Sacred Calendar and the Prophecies of Ancient Mexico, Sun Publishing Co., Albuquerque NM. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core 248 J. W. Hoopes Sitler, R. 2006, The 2012 phenomenon: New Age appropriation of an ancient Maya calendar. Novo Religio 9(3), 24–38. Sitler, R. 2010, The Living Maya: Ancient Wisdom in the Era of 2012, North Atlantic Books, Berkeley. Stray, G. 2009, Beyond 2012: Catastrophe or Awakening? A Complete Guide to End-of-Time Predictions, Bear & Company, Rochester VT. Tozzer, A. M. 1941, Landa’s Relación de las Cosas de Yucatan, a Translation, Papers of the Peabody Museum of American Archaeology and Ethnology 18, Peabody Museum, Cam- bridge MA. Van Stone, M. 2010, 2012: Science and Prophecy of the Ancient Maya, Tlacaélel Press, Imperial Beach CA. Von Däniken, E. 1969, Chariots of the Gods? Memories of the Future—Unsolved Mysteries of the Past, G. P. Putnam’s Sons, New York. Von Däniken, E. 2010, Twilight of the Gods: the Mayan Calendar and the Return of the Extra- terrestrials, New Page Books, Pompton Plains NJ. Waters, F. 1975, Mexico Mystique: the Coming Sixth World of Consciousness, Sage Books, Chicago. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S174392131101266X Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:22, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S174392131101266X https://www.cambridge.org/core 
work_szrz7trpp5ebfn5qmretgjh3fu	----	Review Among the New Books ANTHONY SINCLAIR @ Snatching corpses, illegal dissection, the secret burial ofbody parts in (dank?) cellars and the haunting figure of ‘The Resurrection Man‘ are all to be found in ROBERT L. BLAKELY & J ~ J D I T H M. HARRINGTON’S (ed.) Bones in the basement postmortem racism i n nine- teenth century medical training (xix+380 pages, 50 illustrations. 1998. Washington (DC) & London: Smithsonian Institution Press; 1-56098-750-2 hard- back $E34.95), an, almost, Gothic horror story for (osteo-)archaeologists. The truth, however, is possi- bly less entertaining. In turning the old Medical College i n Augusta, Georgia - a greek-revivalist ‘temple’-like building, and now a national monu- ment - into a museum, workers brought pits of human and animal bones to the surface. Salvage ar- chaeologists then recovered some 9800 human bones and 2000 artefacts, including old syringes, pipettes and scalpels. Osteoarchaeological studies of the bones suggest that most of those dissected were black males, whilst patterns of dissection were much like today’s, except that many of the bones showed signs of post- mortem amputation, suggesting ihe practice of com- mon (at the time) surgical techniques by trainee doctors. Ironically, whilst dissection was as impor- tant to medical training in the first half of the 19th century as it is today, it was also illegal. Corpses were, therefore, not donated f o r dissection. Some were ‘provided’ by people who came for their free, but experimental, treatment at the College; others came more surreptitiously. The members of the fac- ulty of the Medical School, purchased a slave, Grandison Harrison, whose job it was to acquire bodies for them. He did this by frequenting alley- ways in search of the dead and dying poor, and by grave-robbing from Cedar-Grove cemetery, the burial place of Augusta’s black community and indigent population. Creeping into the cemetery late at night, Harrison quickly dug down to the upper end of the coffin and pulled out the body with his allegedly powerful arms. To be black, a slave or pauper i n Augusta meant that your ’call’ to the surface might be from Grandison Harrison, ‘The Resurrection Man’. For his efforts he received a salary, room, hoard and plenty of liquor - the corpses were also preserved in vats of whisky. It would be easy to present Harrison as a sort of Hammer Horror bogey-man, lurking in the Augustan shadows and the medical faculty pho- tos; but he was a more complex figure. In the black community, he cut a certain dash, a man deserving of respect and fear; i n the Medical College, he did not just provide the bodies, he was also the man the (white) students turned to more easily for anatomi- cal advice in dissection classes, such were his cor- poreal skills. Today in Augusta, black students also learn the skills of medicine, and bodies are donated to the medical schools. They are almost all white. @ Thinking of exploration in the 15th century brings images of Christopher Columbus to mind. Just as important, however, were the explorations of Por- tuguese sailors such as Vasco da Gama and Magellan along the western coast of Africa and into the In- dian Ocean. As a result of these vogages our map of the world changed, quite literally. In JERRY BROTTON’S Trading territories: mapping the earlymodern world (208 pages, 8 colour plates, 36 illustrations. 1997. London: Reaktion Books; 1-8618-9011-7 hardback E22.50) we find out how the movement of sailors into waters far offshore necessitated a radical remod- elling of the maps and charts by which the world had been drawn. The mappa mundi, based on the geography of Ptolemy. gave way to maps in which Africa became a continent with the shape we know today, as Portuguese traders rounded Cape Bojador and explored the coasts of Guinea. Expansion of the known world was rapid, averaging over one degree south each year. In 1435 the tropic of Cancer was crossed, and by 1460 the Cape Verde islands were reached. In 1473 the equator was crossed and by 1488 Bartolomeu Dias had rounded the Cape of Good Hope. In 1498 da Gama landed in Calicut with gifts from Manuel of Portugal to secure the trade of spices, woods and precious stones with the Samorin of Calicut. The maps that resulted were not those of colonial powers: they were not about the ownership of tracts of land, but the marking of places for trade and the routes to and fro. This graphic expansion was not all. The curvature of the earth led astray ships sailing according to the flat portolan maps of the medieval period, with their straight-line head- ings between ports, once they were beyond the vis- ible confines of the Mediterranean and the islands off the northwest coast of Africa. In 1493 a cloth merchant from Nuremberg, Martin Behaim, was ANTIQUITY 72 (1998): 436-43 REVIEW 437 commissioned, at the cost of €13 17s, by the good burghers of that city to produce a globe on account of his voyages with the Portuguese. In the 1560s, Mercator’s projection rendered the globe flat, and rolled charts once more set sailors on their way. This projection, however, was not just a feat of mathemat- ics. Mercator’s compression of the north-south axis in favour of an expanded east-west axis suited the 16th-century world and its new trading concerns ori- ented towards the New World and East Asia. For archaeologists of prehistoric periods, the prospect of textual evidence concerning the mean- ings of material things, not to mention their names and uses, is a dream, whilst for those struggling with the written source’s critical problems, the prospect of working in a period where such problems of mean- ing no longer exist seems strangely idyllic. Over the years a number of people have attempted to unravel this paradox, the latest of whom is ANDERS ANDKEN in Between artifacts and texts: historical archaeol- ogy i n global perspective. (Contributions to global historical archaeology. x+215 pages, 4 1 illustrations. 1998. London & New York (NY): Plenum; 0-306- 45556-0 hardback $39.50). One of the problems, suggests ANDREN, is that archaeologists of prehis- toric periods realize that they are working on a coin- mon project and share debates in methodology and theory, whilst this is not the case for historical ar- chaeologists; the disciplinary boundedness of his- torical archaeologies prevents scholars from seeing their problems in common. Brief reviews of histori- cal archaeologies i n northern and western Europe, the Near East and the Americas, including Japan and China, lead ANDREN to recognize five common fields of scholarship in which texts and artefacts have been brought together; aesthetics, philology, protohistory, culture history and archaeology. Despite the pres- ence of these fields, there remains the belief among historical and prehistoric archaeologists alike that where texts abound artefacts take second place in interpretation and vice versa. What is needed is a recognition of the methodological nature of the re- lationship between texts and artefacts perse. ANDREN tackles precisely this point by suggesting that rela- tionship between texts and artefacts is like that be- tween different forms of analogies; it can take the form of correspondence, contrast and association. When texts and artefacts correspond there are points of likeness or reinforcement between them, such as in the identification of a place named in a text, or the naming of an object. This is the classic use of archaeologial evidence to illustrate texts. When they contrast they reveal the different patterns of cultural behaviour associated with both forms of evidence. For example, in Shang dynasty China, the area re- vealed by stylistic similarity in bronzes is much greater than that revealed by mention on oracle bones. There are, then, cases where text and artefact are associated, such as the glyphic inscriptions of the greatness of Mayan rulers on the steps leading up to the temple tops where captives would be sacrificed. To ANDREN this is a form of rhetorical flourish. Whilst ANDKEN has not defined an historical archaeology he has usefully articulated an aspect of the relation- ship between texts and artefacts. Fernand Braudel noted in his essay on the longue durke that it was the sight of streams of French refu- gees fleeing the German armies into Vichy, France that impressed upon him the force of longer-term processes in history. It maybe a similarly sad reflec- tion on the scale of the political realignments and unrest of Europe that brings migration and invasion back to our consciousness in theory again. JOHN CHAPMAN &HELENA HAMEROW’S (ed.) Migrations and invasions in archaeological explanation. (BAR In- ternational series 664. iii+81 pages, 20 figures. 1997. Oxford: Archaeopress; 0-86054-857-0 paperback €19) is a slim and interesting outcome from a TAG ses- sion in Durham in 1993. The essence, fvllowing some of David Anthony’s comments in American Anthro- pologist a few years ago, is that the New Archaeolo- gy’s disposal of migrations and invasions in the 1960s, though still present in David Clarke’s AnaI.ytical archaeology, was close to throwing the bahy out with the bathwater. Made all the more incomprehensible since it was replaced by a concentration upon popu- lation expansion and food pressures in many new explanations. Migrations and invasions have defi- nitely existed and cannot be ignored, even if they are hard to observe archaeologically, or lie beyond the reach of our chronological resolution. As such they deserve to be investigated as one form, amongst a number, of social movement, a matter followed up by Anthony himself in this volume. In a thoughtful, historicizing paper, CHAPMAN wonders why migra- tions and invasions persisted longer in European archaeologies than their Anglo- American counterpart. It was, he argues, the product of the lack of experi- ence of invasion or large-scale migration in these ar- eas for most of the 20th century; the continued movement of armies or refugees across continental Europe has constantly kept archaeologists aware of the realities of large-scale population movement. # The nature of Dutch archaeology has changed dramatically since the 1980s with the recognition of the escalating erosion of the archaeological record, amongst other things. An appreciation of these changes appears in W.J.H. WILLEMS, H. K A R S & D.P. HALLEWAS’ (ed.) Archaeological heritage m a n a g - m e n t in the Netherlands: f i f t y years of state service for archaeological investigations ( v i t 3 6 2 pages, numerous plates & figures. 1997. Amersfoort: R O B ; 90-232-3304-2 paperback Dfl 75 & $37.50) which 438 REVIEW provides a series of articles, including considera- tions of nautical, aerial and urban archaeologies, as well as sceintific conservation and the holding and ownership of archaeological collections, devoted to the work of the ROB - the Dutch State Service for Archaeological Investigations. Originally set up as an excavation service and and for the purposes of maintaining a registcr of archaeological finds and monuments, it is now becoming a national centrc for the management and rescarch of the national heritage. Those with an interest in sites and monu- ments records will be interested to read how the Dutch have tackled this same problem. Archaeological atlases based on an inventory of finds and find-spots were produced by the National Museum of Antiq- uities from 1845. The ROB set u p a new documen- tary system in 1950 allowing searches by location, period, technology and typology, called the Central Archaeological Archive. From 1974 with the aid of the state computer centre, the CAA could be inves- tigated [for new finds) according to 29 criteria. By the 1980s a separate archive of information on sites that might qualify for protection under the Monu- ments Act of 1961 had been created, the Central Monuments Archive. Yet the data from the two ar- chives did not match; finds and find-spots from the northern provinces had been recorded i n a separate ‘northern’ archive. So from 1987 a new combined record was created, the Archaeological Information System - ARCHIS. ARCHIS will contain not just the information from the CAA and CMA but from many other data-bases, and the implementation of a GIS component will lead to rapid production of maps for planning purposes. From 1997 it has been possible to search ARCHIS graphically on the Internet. This is, however, not the end: a virtual archaeologi- cal archive of the Netherlands is in prospect. fl Last quarter I mentioned Paul Devereux’s bookThe Long Trip: a prehistory of psychedelia en- thusing about the range of evidence that he had marshalled to detail the use of psychedelia-induc- ing drugs and practices in prehistory. The final sec- tion of this book set out Devereux’s theory that there was a connection between ley lines and the straight flights of shamans. Of this I was a little bit scepti- cal. As if by magic, along has come ALBY STONE’S Straight track, crooked road: Leys, spirit paths a n d shamanism. (v+90 pages, 15 illustrations. 1998. Loughborough: Heart of Albion Press: 1-87288350- 8 paperback f9.95), which takes a longer, more de- tailed look at precisely this matter, and finds this new shamanic turn in ley-line studies sorely inap- propriate. STONE argues that Devereux, and others who have followed his lead, have glossed over the variability in shamanism, and overplayed the evi- dence relating to a number of other straight-line phenomena; ghost roads and corpse tracks, the lin- guistic relationship between kingship, straightness and shamanism, and clear evidence of angles in other- wise straight tracks in European prehistoric monu- ments. Whilst there is strong relationship between shamanism and straight tracks in South America (as properly recognized by Devereux), there are no such links between straight tracks and shamanic paths in the Altaic/Uralic tradition of shamanism in Eurasia, which is more appropriate to European phenomena. Indeed, when the movements of shamans are men- tioned at all, there is common reference to the winding nature of their travels. The Dutch straight corpse pathways used as corroborating evidence are inap- propriate: they are all recent phenomena. Moreo- ver, other corpse paths are markedly crooked and ambulatory. The linguistic links between words with reg- as roots and kingship and straightness in sha- manism is also not that simple. STONE argues that such words are Italo-Celtic i n origin: they cannot explain earlier phenomena of the Neolithic, and there is no clear relationship to shamanism at all. Finally, many of the straight monumental phenomena of the Neolithic also contain distinct and deliberate changes in direction at points on their path. These remain t o be cxplained. Monographs For those who also teach a course on social anthro- pology, try ROBERT LAYTON’S An introduction to an- thropofogical theory (xi+241 pages, 2 2 figures, 8 tables. 1998. Cambridge: Cambridge University Press; 0-521-62982-9 hardback E 3 5 , paperback €12.95). In a few short chapters LAYTON introduces readers to the main theoretical postions that have influenced anthropological writings since the time of Malinowski; functionalism, structuralism, Marxism, social interractionism, socioecology and Post- modernism. All are covered, succinctly and clearly: the discussion of LBvi-Strauss and kinship is com- prehensible! Having avoided the perspective of de- stroying previous theories with a view to their replacement by something better, LAYTON presents a reasoned assessment of the contribution, positive and negative, of these different perspectives t o an- thropological debates today. His discussions of socioecology and, especially, Postmodernism , which he argues are currently the most ‘productive’ theo- ries in anthropology at the moment, are excellent. For those wondering where the problems lie i n ref- erence and text in the work of Derrida, Layton sug- gests are-reading of Quine and the subject of ostensive references. A table can be a table after all, and not just ‘not-a-chair’, ‘not-a-sofa’, etc. In a concise, read- able book LAYTON has produced a theoretical guide that will find itself a ready audience almost imme- diately. This book will make a significant addition to an already full shelf of good introductory texts on anthropology, and frankly it is the text that many might crave for archaeological theory; it doesn’t work too badly for that purpose either. The relaunch of the British Archaeological Re- ports, under the auspices of Archaeopress in Ox- REVIEW 439 Memoria Mundi (No. 11) by Anne 8 Patrick Poirier. Gathered together in this cabinet of curiosities are the archives of the site Mnemosyne (the Greek word for memory), excavated by an archaeologist-architect; a cast taken from a bronze sculpture, a cranium containing an ancient ruined theatre, a field notebook a n d other artefacts. Each object suggests the evidence of a civilization, but the archive is incomplete, a n d the notebook contains no clue that allows a n y of the artefacts to be situated in place or time: a collection of fragments, the ruins of a memory. Accompanying an exhibition a t the Getty Research Institute, MICHAEL ROTH’S (ed.). Irresistible decay: ruins reclaimed [xii+l09 pages, 20 colour plates, 20 black 8 white plates. 1998. Los Angeles (CA): Getty Research Institute; 0-89236-468-8 paperback €14.95) is a series of meditations on ruins to explore their allure, their curiosity a n d the sense of fear that they arouse i n those who contemplate the p a s t through its physical traces. Proust figures highly, so in melancholy remembrance of things lost, ‘The past is hidden somewhere outside the realm, beyond the reach of intellect, in some material object (in that sensation which that material object will give u s ] of which we have no inkling. And if depends on chance whether or not we come upon that object before we ourselves must die’. ford, has resulted in a crop of fine books this quar- ter. Amongst these is GEORGE A. SAID-ZAMMIT’s Popti- lation, land use a n d settlement on Punic Malta: a contextual analysis of the burial evidence. (BAR International series 682. xii+l59 pages, 19 black & white plates, 86 figures. 1997. Oxford: Archaeopress; 0-86054-869-4 paperback €30). Split into three main sections, the first looks at the relationships between burial areas and Settlement showing that agriculturally productive arcas were settled and it is here that burials 440 REVIEW are to be found: the second section looks at wealth in the tombs through time, showing a trend to a re- duction in the percentage of wealthy tombs: the third attempts to reconstruct population estimates, showing a dramatic increase in population size with the ad- vent of Roman immigration, leading t o a popula- tion number similar to that historically noted for the Medieval period. In the British series of BAR, a useful volume is STEPHEN BURROW’S T h e Neolithic: culture of t h e Isle of Man: n s t u d y of t h e sites and pottery. (BAR British series 263. vi+149 pages, 1 1 7 figures. 1997. Oxford: Archaeopress; 0-86054-872- 4 paperback € 2 0 ) , a small volume rich in archaeo- logical data, resulting from a recently submitted (1997) Ph.D thesis. The current volume provides the fac- tual details on the settlements and pottery from ex- cavations on the Isle of Man, divided according to early, middle and late Neolithic. An essential source for any future research on the Neolithic of this rich archaeological island. The interpretive parts of this thesis are to follow in future publications. In T h e R o m a n domestic architecture of North- ern Italy (BAR International series 670. iv+144 pages, 6 2 figures. 1997. Oxford: Archaeopress; 0-86054-861- 9 paperback €25) by MICHELE GEORGE is a study of the form of the town house, the d o m u s , as oposed to the villa or multi-family i n s u l u , in what had been Gallia Cisalpina. GEORGE’S study shows that as in southern Italy, the atrium had a limited period of popularity and was replaced by the peristyle i n do- mestic houses. A catalogue at the end provides de- scriptions of the houses studies, plans and publication references. Finally, in a more anthropological vein there is MICHELE BIEWERS’ L‘habitat traditionnel ci ‘ A i m a : enqu&te ethnoarchkologique d u n s u n village jordanien. (BAR International series 662. 163 pages, 116 figures, 13 tables. 1997. Oxford: Archaeopress: 0-86054-856-2 paperback E34). BIEWERS has produced a detailed ethnoarchaeological account of the small agricultural village of ‘Aima in southern Jordan, with accounts of both land use and settlement construc- tion. Separate chapters consider the developments in individual habitation as well as public space in the evolution of this village from 1953 to 1986. MATHEW RESTALL’S T h e Maya world: Yucatec cul- ture and society 1550-2850. (xiv+441 pages, 8 fig- ures, 5 maps, 39 tables. 1997. Stanford (CA): Stanford University Press; 0-8047-2745-7 hardback €45 & $55) is a social and cultural history of the Mayan peo- ples following the Spanish Conquest. Instead of following Spanish colonial accounts, Restall has based h i s work o n notarial documents of the Yucatec Maya from archives in Mexico, the USA and Spain. Four parts consider identity a n d or- ganization, society and culture, land and mate- rial culture, and literacy a n d language. What emerges is an account of the Maya c a h , the self- governing municipality i n which Mayans lived, that was far from disabled by colonial rule and i n many important ways continued as before. J E N N I F E R LAING’S A r t a n d society in R o m a n Brit- ain ( ix+188 pages, 1 2 colour plates, 100 illustra- tions. 1997. Stroud: Sutton Publishing; 0-7509-0895-5 hardback €19.99) is a mixture between a book on Roman society and one on art, with chapters de- voted to primarily one topic or the other.’ Fieldwork and surveys Compared to the sites of East Africa, the Lower Palaeolithic of northern Africa is poorly known, yet potentially vitally important. An important inroad into that disparity of information is to be found i n MOHAMED SAHNOUNI’S T h e Lower Palaeolithic of t h e Maghreb: evaluations a n d analyses at A i n Hanech, Algeria (Cambridge Monographs i n African Archae- ology 42. BAR International series 689. xiii+164 pages, 94 figures, 2 7 tables, & appendices. 1997. Oxford: Archaeopress; 0-86054-875-9 paperback €25). This volume is a detailed presentation of recent excava- tion and artefactual work at the site of Ain Hanech, which has been dated, biostratigraphically and palaeomagnetically, to the period 1.9-1.8 million years ago. An important contribution to the archae- ology of this period and area. LINDA M. GREGONIS’ T h e Hardysite n t Fort Lowell Park. Tucson, Arizonci (Arizona State Museum ar- chaeological series 1 7 5 . x+75 pages, 26 figures, 9 tables. 1997. Tucson (AZ): Arizona State Museum; 1-889747-66-1 paperback $14.95) is an account of the University of Arizona’s excavations (1976-78) of this large pre-Classic Hohokam village. The ex- cavated depsoits date from the Snaketown to the Late Rincon sub-phases. Chapters deal with the excava- tion and the artefacts (ceramics and stone), whilst the discussion centres on the use of space at the site. The finds of various pine and ponderosa wood frag- ments indicate that the Hohokam inhabitants were exploiting a wider catchment than previously thought, perhaps supporting agriculture with foraged and hunted resources from higher elevations. SVEND W. HELMS. Excavations o t Old Kandahar in Afghanistan 1976-1 978: conducted on behalf of t h e Society f o r South A s i a n studies (Society for Af- ghan studiesj stratigraphy, pottery and other f i n d s . (Society for South Asian studies monograph 2 . BAR International series 686. xvi+397 pages, 16 black & white plates, 2 3 1 figures, 11 tables. 1997. Oxford: Archaeopress; 0-86054-875-9 paperback €25.) The city of Old Kandahar has been throught to be the city of Alexandropoulis, eponymously founded by the Great conqueror i n about 329/330 BC. Frequent excavations and constant redevelopment have left the city a ruin field. In this volume HELMS presents the ‘raw archaeological data’ from excavations con- ducted at the site between 1976 and 1978. Copious appendices provide lists of coins, inscriptions, figu- rines and pottery catalogues, whilst full illustrations for plans, sections and pottery are also provided. The late Peter Gelling’s excavations on Orkney have now been published in SIMON BUTEtJX’S Settlements REVIEW 4 4 1 Two sides to the life of Pan. In Edward Burne-Jones’ luscious pre-Raphaelite painting, Pan’s tender caress comforts Psyche in her search for Cupid: in Anton’s cartoon, just the sight of Pan’s leg i s enough to suggest thoughts of unbridled passion. JOHN BOARDMAN’S The great God Pan: the survival of an image. [The Walter Neurath memorial lecture. 4 8 pages, 53 plates. 1998. London: T h a m e s b Hudson; 0-500-55030- 1 hardback €7.95) i s a brief essay on the career of Pan since the end of antiquity when Pan the Great God died. It i s also a remarkable essay on the life of an image. In antiquity, Pan was a rural beast, primarily animal, slightly h u m a n , a figure of the country to be feared and worshipped, and ironically a loser i n love. Since antiquity P a n has become a concept to be evoked in such ways that parts of h i s body represent characters of t h e h u m a n psyche or nature. Pan can be a teacher of n y m p h s , a natural spirit, a picture of ugly disfigured shame. He con also be a rural ‘cupid’, un exemplar of unfettered natural urges, and at t h e same time, like the beast i n the fairytale, h e i s a figure to fear. He i s the feared piper at the gates of Dawn in The Wind in the Willows, before whom Ratty and Mole m u s t tremble. ‘Perhaps that will convince you that there’s an orgy going on up t h e m ’ 442 REVIEW at Skaill, Deerness, Orkney: excavations b y Peter Gelling of the Prehistoric Pictish, Viking and later periods. (BAR British series 260. vii+276 pages, numerous illustrations. 1997. Oxford: Archaeopress; 0-86054-865-3 paperback f 2 8 ) . The site itself pro- vides evidence from the late Bronze Age, Iron Age- Pictish to the Norse periods. Detailed chapters by various authors deal with the evidence of the vari- ous periods, followed by specialist reports on the fnds, dating, etc. ZARINE COOPER. Prehistory of the Chitrakot Falls, Central India (viii+ll5 pages, 2 7 plates. 1997. Pune: Ravish Publishers; 81-900294-1-x paperback Rs.685) is a study of 49 surface stations of lithic debris in this region of Central India. Analysis indicates that, contrary to earlier opinions, these locations do not represent factory sites but are the residues of sub- sistence activities related to the exploitation of riverine resources. Spatial analyses indicate that the lithic pieces are determined by large topographic features and erosional processes. Finally ERIK HALLAGER & BIRGITTA I? HALLAGER’S (ed.) T h e Greek-Swedish excavations at the Agia Aikaterini Square Kastelli Khania 1970-1987 (Vol. 1:1 text. 305 pages, 9 colour plates, 45 figures. 1997. Stockholm: Swedish Institute i n Athens; 91-7916- 035-2 hardback. Vol I:Z plates. 1 4 1 pages all with plates. 1997. Stockholm: Swedish Institute in Ath- ens; 91-7916-035-2 hardback) is the first of seven proposed volumes on this excavation of the excava- tions carried out between 1970 and 1987 in Agia Aikaterini Square in Khania i n western Crete. 2.5 metres of deposit contain 5000 years of archaeol- ogy in more than 7000 stratified units, made all the more difficult by Late Minoan rubbish pits cut into the deposits and foundation trenches cut by the oc- cupying Venetians right down t o bedrock and the fill dispersed acorss the site. Conferences A provocative book is to be found in JUDITH LUSTIG’S (ed.) Anthropology 6. Egyptology: a developing dia- logue (Monographs in Mediterranean archaeology 8. 1 4 7 pages, 4 1 illustrations. 1998. Sheffield: Shef- field Academic Press. 1-8507-5676-7 hardback €32.50 & $53.50), a series of papers on how the study of Ancient Egypt might be enriched by reference to anthropology (including linguistics, physical anthro- pology and cultural anthropology). Several papers illustrate the ways i n which an anthropological ap- proach, often to the traditionally used evidence of Egyptologists, provides a fresh, enlivening perspec- tive. Subjects covered include the study of social differentiation from mortuary practices, the inves- tigation of kinship, gender and age relations in tomb scenes and texts, and the analysis of setlement pat- terns from textual sources. Papers by senior authors looking from the more distanced perspective sug- gest that in the study of Egyptology a focus on cul- tural change provides a meeting ground on whch anthropologists and Egyptologists might come to- gether. Robert Wenke is interested in the use of an evolutionary approach to considering change, Bruce Trigger reminds others that Egypt is similar in most respects ot other early civilizations, thus the gener- alizing approach of anthropologists is useful. An admittedly cynical essay by William Adams notes that the running in this rapprochement of the disci- plines must come from Egyptologists: from his per- spective as an anthropologist, he can see the study of anthropology getting along quite happily with- out reference to Ancient Egypt, but not the other way around. KLAVS UNDSBORC’S (ed.) Absolute chronologies: archaeological Europe 2500-500 BC (Acta Archaeo- logica vol. 67 (1996), Acta Archaeologica supple- menta vol 1 (1996). 335 pages, numerous illustrations. 1996. Cobenhagen: Munksgaard; 0065-001X paper- back DKK460) contains 26 papers presented at the conference on absolute chronologies in Verona in 1995. Papers are divided up according to dating technique; historical chronologies, relative chronologies, Carbon- 1 4 and dendrochronology, and within each section papers deal with dating in particular parts of Europe. KATHRYN BEKNICK ’s (ed.). Hidden dimensions: the cultural significance of wetland archaeology (Pacific Rim archaeology. xvii+362 pages, several illustra- tions. 1997. Vancouver (BC): UBC Press: 0-7748-0632- X hardback $95; 0-7748-0633-8 paperback $34.95) is a series of papers devoted to wetland archaeol- ogy, arranged around the themes of human adapta- tion to wetlands, set-site perspectives in the past and present, fishing technologies on the northwest coast and finally preservation and conservation in practice. Papers are roughly split half-way between those devoted to wet matters in the Americas and those in Europe, western and eastern. Much of the data is previously unpublished. Our copy has a number of pages left blank in printing, so check when ordering. Not as recent as it might have been, JOHN BINTLIFF’S (ed.) Recent developments in the history and archae- ology of central Greece: proceedings of the 6th i n - ternational Boetian conference (BAR International series 666. 377 pages, numerous illustrations. 1997. Oxford: Archaeopress; 0-86054-858-9 paperback €48) contains 25 papers and an introduction from a con- ference held in December 1989. Specialist papers are arranged according to chronological period with good representation from prehistory through the Archaic period, Hellenistic and Roman Greece end- ing with the medieval to Early Modern. Contribu- tors come from all over Europe and North America. Reprints, second editions and paperbacks BRIAN M. FAGAN. Clash of cultures. (2nd edition.) 333 pages, numerous illustrations. 1998. London: REVIEW 443 Altamira Press: 0-7619-9146-8 paperback €16.50. An update of this book, first published i n 1977, Fagan looks at a range of instances of the meeting of local small-scale societies and larger colonial nations, from the Aztecs and the Spanish, to the Japanese and the Americans. This is a sad tale of poor coinniunica- tions, myth-making and inequality. JOHN S. HENDERSON. T h e world of t h e ancient Maya. (New edition.) xvii+329 pages, 11 colour plates, numerous black & white plates & illustrations, 9 maps. 1998. London: John Murray; 0-7195-5568-X hard- back E25. This is a completely revised edition of his book, first published in 1981. Nine chapters lead the reader from the beginnings of the Maya civiliza- tion i n the development of Mesoamerica, through its florescence to its later conquest by the Spanish. This second edition benefits not only from recent developments i n the archaeology of the material record, but especially in the interpretation of Mayan inscriptions. W.A. CUMMINS’ The age o f t h e Picts (ix+166 pages, 55 illustrations. 1998. Stroud: Sutton Publishing: 0- 7509-1608-7 E10.99) is a paperback imprint of his 1995 book, and comprises a series of introductory chapters leading into a chronological/geographic review of the archaeological and historical evidence for the Picts. Reference ARTHUR MACGREGOR’S Ashmolean Museum Oxford: a summary catalogue of the continental archaeo- logical colections [Roman Iron age, migration p e - riod, early Medieval) (BAR International series 674. iv+288 pages, numerous illustrations. 1997. Oxford: Archaeopress: 0-86054-863-5 paperback €55) is a catalogue of material largely collected by the late John Evans from all areas of Europe. Assessment of finds is largely based on visual details of the finds and each piece is accordingly illustrated photographi- cally. BRANKA MIGOTTI’S Evidence for Christianity in Roman Southern Pannonia (Northern Croatia): a catalogue of f i n d s and sites (BAR International se- ries 684. v+117 pages, numerous ihstrations. 1997. Oxford: Archaeopress; 0-86054-870-8 paperback€30) is a detailed catalogue of materials used to illustrate an exhibition on the presence of Christianity i n this region of Croatia. A brief discussion of the nature of Christianity i n the Roman period leads to a consid- eration of the architectural/site evidence followed by a detailed catalogue of artefactual materials. LESLEY & ROY ADKINS’ T h e handbook of British archaeology (319 pages, numerous illustrations. 1998. London: Constable; 0-09-478330-6 paperback E14.99) is the third edition of this work, first published in 1 9 8 2 . It remains a most useful work with informa- tion on all kinds of archaeological materials and sites, divided by period, from Palaeolithic to Medieval, followed by sections on archaeological techniques and that necessity of all classificatory schemes, mis- cellaneous. ROBERT A. SEGAL’S (ed.) The myth and ritual theory (ix+473 pages, 3 figures. 1998. Oxford: Blackwell Publishers: 0-6312-0679-5 hardback €50 & $64.95: 0-6312-0680-9 paperback €15.99 & $29.95) is a col- lected reader of articles concerning the interpreta- tion of myth and ritual, more specifically the theory that the two are interconnected and cannot be in- terpreted without understanding how they affect one another. 29 collected articles chart the origin of this approach in the lectures of William Robertson Smith in biblical studies, through their developmcnt in the work of Frazer, and application to the ancient world, and worldwide, and on to their most recent revi- sions and evaluations by scholars such as Versnal i n the early 1990s. A very complete anthology. Popular T h e cities of the ancient A n d e s (240 pages, 2 7 col- our plates, 120 illustrations. 1998. London: Thames & Hudson; 0-500-05086-4 hardback E17.95) by ADRIANA VON HACEN & CRAIG MORRIS is a straight- forward introduction to the understanding of cities and urbanism i n the Andes. Particular emphasis is placed on how the special topography and natural environment of the Andes affected the development of cities and their particular religious and economic role in Andean societies. As is usual with this pub- lisher, this is a beautifully produced book with plenty of excellent photographs and architectural line draw- ings. More a small notebook on facts and things about the Celtic World than an academic text is VICTOR WALKLEY’S Celtic daily life. (128 pages. 1997. Lon- don: Robinson; 1-85487993-6 hardback E6.99), gath- ered during the course of the author’s busy life. Divided into a series of chapters; Celtic peoples, oc- cupations and skills, everyday dress and ‘high fashion’ food, drink and herb lore, ritual and belief. A rather tasty recipe for Celtic Honey Cake is usefully in- cluded for foodies. Also Iznik ceramics from ancient Nicaea were the ceramics supplied to the court of the Ottoman empire, and from there to the mosques, palaces and othcr bnild- ings. In Iznik pottery (128 pages, 43 colour plates, 52 black & white plates, 1 map. 1998. London: Brit- ish Museum Press; 0-7141-1482-0 paperback €10.99) JOHN CARSWELL examines the evolution of the ce- ramic designs and production techniques from the monochrome blue and white ceramics for Mehmed the Conqueror in his 15th-century palace at Topkapi Saray, through a more painterly development, to their moment of perfection with the introduction of red and turquoise green to the palette. 
work_t25nvrjwybhwbbluxwdtttpgjy	----	Microsoft Word - 10_DOREL_DUMITRU_CHIRITESCU.doc 129 ACTUALITATEA DIPLOMAŢIEI DOLARULUI ÎN POLITICA ECONOMICĂ AMERICANĂ Prof. univ. dr. Dorel Dumitru CHIRIŢESCU Prep. univ. drd. Maria VASILESCU Universitatea „Constantin Brâncuşi” din Târgu-Jiu Abstract: Aşa cum este, îndeobşte cunoscută, economia SUA este cea mai performantă dintre economiile lumii, indiferent de indicatorul sau sistemul de indicatori ce pot fi luaţi în calcul la o analiză. Aşa cum spuneam, secolul XX a fost un secol al Americii. Pe viitor sunt de aşteptat transformări profunde în ceea ce priveşte situaţia actuală, transformări care vor schimba faţa economiei mondiale. Este vorba aici despre apariţia statelor naţiune, dezvoltarea şi creşterea puternică a rolului statelor naţiune, dezvoltarea în continuare şi intensificarea rolului pe care-l joacă societăţile transnaţionale, amploarea economiilor mixte, interstatale, tendinţa de regionalizare şi globalizare a economiei mondiale care va fi iminentă. Cuvinte-cheie: expansiune economica, politica economica, globalizare, criza financiara Nimeni nu se gândeşte dacă planul de relansare al economiei mondiale după această criză financiară este unul liberal sau conservator, de inspiraţie keynesistă sau monetaristă. Nimeni nu se mai gândeşte dacă economia ofertei şi consumul excesiv vor fi cumva, sub o formă, păstrate. Trăim într-o eră a judecăţilor practice şi toată lumea se gândeşte la stabilitate, la repoziţionarea Americii acolo unde ne-am obişnuit cu ea – în faţa lumii întregi. Istoria S.U.A. este strâns legată de economie. Din multitudinea de cauze ce au determinat separarea politică a coloniilor nord- americane de Marea Britanie, se remarcă în special cauzele economice. Interdicţia dezvoltării industriei, impunerea impozitelor suplimentare Stamp Act şi Sugar Act, şi mai ales impunerea obligativităţii de a cumpăra ACTUAL STATE OF DOLLAR DIPLOMACY IN AMERICAN ECONOMIC POLICY Prof. Dorel Dumitru CHIRIŢESCU, PhD. Junior Assistant Maria VASILESCU , PhD. Student „Constantin Brâncuşi” University of Târgu Jiu Abstract: As it is commonly known, the U.S. economy is the most powerful economy of the world, despite the indicator or the system of indicators that can be taken into account in the analysis. As we said, the twentieth century was a century of America. Future profound changes in terms of the current situation are expected in the future, some changes that will redesign the global economy. We are talking here about the emergence of nation states, a further developing and intensifying of the role played by transnational companies, the extent of mixed, interstate economies, the trend of regionalization and globalization of world economy will be imminent. Key words: economic expansion, economic policy Nobody thinks if the plan to revive the global economy after this financial crisis is a liberal or conservative, a Keynesian or monetarist one. Nobody thinks if the economy of supply and excessive consumption will be, somehow, kept. We live in an era of practical judgments where everyone thinks of stability, of the idea of repositioning America where we got used to it – in front of the whole world. U.S. history is closely linked to the economy. From the multitude of causes that led to political separation of North American colonies from Great Britain, economic causes must be considered. Prohibition on industrial development, imposing additional taxes like Stamp Act and Sugar Act and, especially, the constraint to buy British products at prices set by the metropolis - all these have determined 130 produse britanice la preţuri stabilite de metropolă – toate acestea au determinat „partida de ceai de la Boston” din 1773, unul dintre evenimentele ce au condus la declanşarea Războiului de Independenţă al SUA. SUA a fost în permanenţă ţinta emigranţilor proveniţi de pe toate continentele. „The American Dream” – (o viaţă mai bună ce este rezultatul efortului personal) a fost posibil datorită sistemului economic şi perioadelor de expansiune economică a SUA. Emigranţii s-au îndreptat cu precădere spre vest punând bazele agriculturii americane. SUA beneficiază de condiţii naturale pentru agricultură de înalt randament. În secolul XIX, această ţară s-a afirmat ca mare putere agricolă. Tutunul, bumbacul, cerealele, produsele de origine animală au constituit principalele resurse de export. America a abandonat foarte repede agricultura de subzistenţă. Încă din secolul XIX, agricultura sa a devenit puternic specializată pe renumitele centuri – centura laptelui în nord-est, centura porumbului asociată cu cea a creşterii porcinelor în zona Marilor Lacuri, centura bumbacului precum şi creşterea cornutelor mari în Sud. În nord-vest, creşterea animalelor este asociată cu cea a exploatării forestiere. La vest de Missouri începe centura grâului. Având ca punct de plecare agricultura, SUA a devenit prima putere economică axată pe comerţ şi export. Industria americană a urmat aceeaşi cale, fiind perfect adaptată cerinţelor pieţei. La cumpăna dintre secolele XIX şi XX, doi mari preşedinţi au elaborat doctrinele economico-politice ce urmau să definească relaţiile SUA cu restul lumii. Preşedintele Taft a lansat „Diplomaţia Dolarului” potrivit căreia interesele americane sunt economice şi se manifestă la nivel mondial. Preşedintele Roosevelt a impus „Diplomaţia Big Stick” potrivit căreia SUA îşi promovează cu forţa sau îşi apără interesele economice oriunde în lume. Începutul secolului XX marchează afirmarea SUA ca prima mare putere economică a lumii. Dacă în perioada interbelică SUA continuă politica sa tradiţional-izolaţionistă, Al Doilea Război Mondial şi mai ales apariţia what we call the "Boston Tea Party" in 1773, one of the events leading to the beginning of the American War of Independence. U.S. has always been the target of migrants coming from all continents. "The American Dream" - (a better life, as a result of personal effort) was made possible thanks to economic system and to U.S. economic expansion periods. Migrants headed mainly towards the western part of the country, laying a solid foundation for agriculture in the U.S. The United States have natural conditions for high efficiency agriculture. In the nineteenth century, this country has asserted itself as a high power output. Tobacco, cotton, cereals, animal products were the main export resources. America quickly abandoned subsistence agriculture. Since the nineteenth century, agriculture has become highly specialized in the famous belt - milk belt in north-eastern part of the country, corn belt associated with the area of pig farming near the Great Lakes, the cotton belt and large cattle breeding in the South. In the north-west, livestock is associated with logging. Wheat belt begins in West of Missouri. Taking agriculture as a starting point, the U.S. became the first economic power based on trade and export. The American industry has followed the same path, being perfectly suited to market requirements. At the turn of the nineteenth and twentieth centuries, two great presidents have developed political and economic doctrines that were to define U.S. relations with the rest of the world. President Taft launched the "Dollar Diplomacy" sustaining that American interests are economic and they manifest itself worldwide. President Roosevelt imposed "Big Stick Diplomacy" and, according to him, the U.S. defends its economic interests worldwide. U.S. affirmation of the early twentieth century marks the first major economic power in the world. If during the interwar period the U.S. continued its traditional and isolationist policy, the World War II and, especially, the rise of 131 „cortinei de fier” a impus SUA ca putere politico-militară, lider al lumii libere. Pe plan economic SUA îşi asuma responsabilitatea reconstrucţiei Occidentului capitalist şi democrat. Planul Marshall iniţiat în 1948 stă la baza reconstrucţiei europene şi la reapariţia Europei ca putere economică globală. De altfel, Statele Unite erau singurele în măsură să susţină un astfel de efort economic, după război. SUA poseda rezerve de aur de 20 miliarde de dolari, aproape două treimi din totalul mondial. Puterea economică a SUA este dublată de capacitatea militară a acesteia. SUA işi arogă controlul politico-militar asupra unor zone din întreaga lume. Orientul Mijlociu, sud- estul Asiei, America Latină sunt declarate zone de interes strategic pentru Statele Unite. Prăbuşirea URSS şi a comunismului european au dus la constituirea unei lumi asimetrice în care SUA a rămas deocamdată singura putere globală. Rolul său de jandarm mondial susţinut de economia americană începe să fie contestat nu numai de mişcările teroriste dar şi de state ce doresc să devină forţe economice globale. Sistemul economic american poate fi definit prin caracterul său descentralizat, caracter capitalist, bazat pe proprietatea privată şi liberă iniţiativă. Intervenţia autorităţilor federale în economie se manifestă prin strategii de politică bugetară şi monetară. În acelaşi timp, bugetul federal are o componentă ce vizează investiţii în cercetare. Legislaţia economică americană permite implicarea guvernului în controlul practicilor de afaceri, guvernul american având şi rolul de supervizor al creşterii economice. Un rol special în economia americană îl joacă companiile transnaţionale. Coca-Cola, Colgate, Microsoft, Ford, IBM, General Electric, Intel, Exxon, Wal-Mart, Mc Donald's reprezintă imaginea SUA în întreaga lume. În topul primelor zece corporaţii transnaţionale din lume, primele cinci sunt din SUA. Activitatea lor se concentrează asupra ramurilor cu reale perspective de dezvoltare şi de obţinere a profitului. De altfel, companiile transnaţionale sunt vârful de lance al ofensivei americane în contextul globalizării economice. "Iron Curtain" made the U.S. the leader of the free world as a political and military power. The U.S. assumes the responsibility of economic reconstruction of a capitalist and democratic West. The Marshall Plan, initiated in 1948, sits behind the European reconstruction and the resurgence of Europe as a global economic power. Moreover, the United States were the only states able to sustain such an economic effort after the war. U.S. held 20 billion dollars in gold reserves, that is almost two thirds of the world total. U.S. economic power is doubled by its military capacity. U.S. claims its political and military control over areas around the world. The Middle East, South-east Asia, Latin America are declared zones of strategic interest for the United States. The collapse of the Soviet Union and communism in Europe led to the formation of asymmetric world where the U.S. has remained the only global power. Its role as global policeman claimed by the U.S. economy begins to be challenged not only by terrorist movements, but also by states wishing to become global economic forces. The American economic system can be defined through its decentralized nature, capitalism based on private property and free enterprise. The intervention of federal authorities in the economy appears in strategies of budget and monetary policy. Meanwhile, the federal budget is a component aiming at research investments. The American economic legislation allows U.S. government involvement in economic control of business practices, with an important role in supervising economic growth. A special role to play in the American economy belongs to transnational companies. Coca-Cola, Colgate, Microsoft, Ford, IBM, General Electric, Intel, Exxon, Wal-Mart, McDonald's is the U.S. image worldwide. In the top ten transnational corporations in the world, the first five come from the U.S.. Their work focuses on industries with real growth prospects 132 În anii ’80, societăţile transnaţionale deţineau o treime din producţia industrială şi peste jumătate din comerţul exterior. Valoarea mărfurilor şi a serviciilor asigurate de transnaţionalele de provenienţă americană se ridica în această perioadă la 350 miliarde dolari. Exprimat în procente, firmele americane reprezentau în 1999, 71,8% din valoarea primelor 50 de societăţi transnaţionale din lume. Prin investiţiile directe în străinătate, marile companii americane obţin profituri uriaşe dar mai ales capătă posibilitatea de a controla sursele de materii prime. Companiile americane sunt prezente pe pieţele de înalt nivel în ceea ce priveşte consumul dar şi în regiunile producătoare de materii prime. Totodată companiile americane transferă în exterior modelul american de planificare şi de management a activităţii economice, şi în egală măsură şi noile tehnologii de mare randament şi productivitate. Globalizarea economiei duce la dezvoltarea companiilor transnaţionale americane. Ele sunt astăzi o puternică forţă în economia mondială şi un adevărat liant al economiei americane care se regăseşte şi dincolo de frontierele naţionale. Secretul succesului american este legat de sumele uriaşe investite în cercetare şi dezvoltare, atât de către companiile private dar şi de către autorităţile federale. Un alt factor al succesului îl reprezintă gradul de pregătire şi numărul personalului de cercetare. Revoluţia tehnico-ştiinţifică a pornit din Statele Unite. Cei mai mulţi deţinători ai premiului Nobel în ştiinţă sunt americani. Nivelul înalt al tehnologiei utilizate în industria americană determină repartizarea forţei de muncă în domeniul serviciilor într-un procent uriaş (73,2% ) prin comparaţie cu 24,1% în industrie şi 2,7%în agricultură. Nivelul înalt al productivităţii întâlnit în economia americană permite Statelor Unite să atragă uriaşe fluxuri de capital dar şi să exporte resurse financiare americane peste tot în lume dar mai ales în Europa. Jean-Jacques Servan Schreiber aprecia că în anii 80 „a treia putere industrială mondială după Statele Unite şi URRS ar putea fi foarte bine nu Europa ci industria americană în Europa”. Această and to obtain profit. Moreover, transnational companies are the flagship of the American offensive in the context of economic globalization. In the 80s, transnational companies owned a third of industrial output and more than half of foreign trade. The value of goods and services provided by American transnational companies counts, in this period, almost 350 billion dollars. U.S. companies represented, in 1999, 71.8% of the top 50 transnational companies in the world. Through foreign direct investment, the big U.S. companies get huge profits but, more important, they get the opportunity to control sources of raw materials. American companies are represented in markets in terms of high consumption, but also in raw material producing regions. U.S. companies also transfer outside the borders an U.S. model of planning and business management, and, equally, new technologies of high efficiency and productivity. Globalization leads to development of American transnational companies. They are now a powerful force in the global economy and a true glue of the American economy that is reflected across national borders. The secret of American success is linked to the U.S. huge sums invested in research and development, both by private companies but also by federal authorities. Another success factor is the readiness and the number of research staff. Technical- scientific revolution started in the United States. Most holders of the Nobel Prize in science are American. The high level of technology used in American industry determines allocation of labor in services in a huge percentage (73.2%) compared with 24.1% in industry and 2.7% in agriculture. The high level of productivity found in the U.S. allows the American economy to attract huge capital flows and to export American financial resources everywhere around the world, but especially in Europe. Jean-Jacques Servan-Schreiber estimated that in 133 remarcă este valabilă mai ales astăzi, prăbuşirea comunismului în Europa în 1989 permiţând firmelor americane să se extindă pe o piaţă uriaşă. Economia americană se află acum în plină expansiune. Creşterea economică este susţinută de tehnologia performantă, inflaţie scăzută, capacitatea de a crea locuri de muncă şi un nivel scăzut al şomajului. SUA promovează un nou concept economic legat de productivitatea globală a factorilor de producţie, concept ce pune accent pe eficacitatea cu care economia americană îmbină munca angajaţilor cu investiţiile în cercetare şi noile tehnologii. Aşa cum este, îndeobşte cunoscută, economia SUA este cea mai performantă dintre economiile lumii, indiferent de indicatorul sau sistemul de indicatori ce pot fi luaţi în calcul la o analiză. Aşa cum spuneam, secolul XX a fost un secol al Americii. Pe viitor sunt de aşteptat transformări profunde în ceea ce priveşte situaţia actuală, transformări care vor schimba faţa economiei mondiale. Este vorba aici despre apariţia statelor naţiune, dezvoltarea şi creşterea puternică a rolului statelor naţiune, dezvoltarea în continuare şi intensificarea rolului pe care-l joacă societăţile transnaţionale, amploarea economiilor mixte, interstatale, tendinţa de regionalizare şi globalizare a economiei mondiale care va fi iminentă. Lumea secolului XXI va fi mult diferită de cea a secolului XX, iar omul secolului XXI va fi diferit cu mult de cel al secolului trecut. Ţările cu economie de piaţă dezvoltată deţin cea mai mare parte a PIB-ului mondial, iar SUA se află în cadrul lor pe primul loc. Este vorba despre un avans tehnologic formidabil de care este de aşteptat ca America să profite şi pe viitor. Aşa cum subliniază şi Grupul de Economie Aplicată, SUA deţine prima poziţie şi în ceea ce priveşte competitivitatea mediului de afaceri, precum şi în ceea ce priveşte competitivitatea la nivel global. După unii autori procesul de globalizare al lumii şi al lumii economice a început în anii 80. Nu credem în asta. Mai degrabă am considera începuturile globalizării o dată cu marile the 80s “the third world industrial power after the United States and Russia could very well be not Europe, but the American industry in Europe". This remark is especially true today, when the collapse of communism in Europe in 1989 allowed the American companies to expand into a huge market. American economy is still in full expansion. Growth is supported by powerful technology, low inflation, the ability to create jobs and a low level of unemployment. U.S. promotes a new economic concept related to the overall productivity of production factors, a concept that stresses the effectiveness of the U.S. economy in combining labor with investments in research and new technologies. As it is commonly known, the U.S. economy is the most powerful economy of the world, despite the indicator or the system of indicators that can be taken into account in the analysis. As we said, the twentieth century was a century of America. Future profound changes in terms of the current situation are expected in the future, some changes that will redesign the global economy. We are talking here about the emergence of nation states, a further developing and intensifying of the role played by transnational companies, the extent of mixed, interstate economies, the trend of regionalization and globalization of world economy will be imminent. The world of the 21st century was different from that of the 20th century, and people of the 21st century will be different than that of the last century. Developed market economy countries represent the largest part of world GDP and the U.S. is the first. It is a formidable technological advancement, that America is expected to take advantage of in the future. As the Group of Applied Economics underlines, the U.S. ranks first in terms of business competitiveness and in terms of global competitiveness. According to some authors the globalization of the world and of the economy started in the 80s. We do not believe it. We 134 călătorii ale evului mediului, când în 1492 Cristofor Columb descoperea Lumea Nouă. Anii '80 - '90 ai secolului trecut au însemnat o intensificare a acestui fenomen de care se vorbeşte acum atât de mult. Odată cu răspândirea comunicaţiilor, a internetului procesul a intrat într-o eră nouă, căpătând dimensiuni noi. Putem defini globalizarea ca fiind procesul dinamic de creştere al interdependenţelor dintre statele lumii, ca urmare a extinderii legăturilor transnaţionale în tot mai largi şi mai variate sfere ale activităţii economice, politice, sociale şi culturale şi având drept implicaţie faptul că problemele devin mai curând globale decât naţionale, cerând la rândul lor o soluţionare mai degrabă globală decât naţională. Aceasta este marea provocare a secolului XXI. Informaţia nu mai are graniţe, banii nu mai au graniţe, afacerile nu mai au graniţe. Lumea este deschisă şi interdependentă, iar problemele sale vor fi întotdeauna de nivel global. Economia americană a avansat mai rapid decât economiile altor ţări industrializate. Apetitul de neoprit al consumatorului american a dus, însă, la creşterea deficitelor comerciale şi de cont curent până la niveluri record. În perioada 2000-2006, America a înregistrat cel mai mare ritm mediu de creştere 2,55%, economia crescând cu 16,3%. Între principalele ţări industrializate a fost urmată de Regatul Unit al Marii Britanii cu 2,50%, ritm mediu anual de creştere. Iată despre cine discutăm atunci când amintim criza financiară din 2007. comportamentul militar şi economic de mare putere globală a fost extins şi în forma relaţiilor monetare. Dolarul american este, în această zonă, arma principală. Politica monetară internaţională americană nu a semănat niciodată şi nu seamănă nici azi cu a unui stat obişnuit mai mult sau mai puţin întins teritorial. Politica monetară a fost în permanenţă una expansionistă obligată să susţină colosul politic şi militar care a fost şi este America. O politică a banului expansionistă, acomodativă şi foarte ofensivă, am putea spune. Mai ales după al Doilea Război Mondial, America a impus, ca putere would rather consider the beginnings of globalization along with the great voyages of the Middle Age, when Christopher Columbus discovered, in 1492, the New World. The 80s and 90s of last century have witnessed an intensification of this phenomenon we are now so much talking about. With the spread of communications, the Internet has entered a new era, gaining new dimensions. We can define globalization as a dynamic process of growth of interdependence between countries, following the expansion of transnational linkages in diverse areas of business, political, social and cultural implications and with direct implication to problems becoming rather global than national, and demanding, in return, a global settlement rather than national. This is the great challenge of the 21st century. Information does not have borders, money does not have borders, businesses do not have borders. The whole world is open and interdependent and its problems will always be global. The American economy has advanced faster than the economies of other industrialized countries. The unstoppable appetite of the American consumer has determined, however, an increase of trade and current account deficits to record levels. In 2000-2006, America experienced the highest annual average growth rate of 2.55%, the economy growing by 16.3% during the interval. Among major industrialized countries, it was followed by the United Kingdom with an 2.50% average annual growth rate. Here's who we remember when discussing about the financial crisis of 2007. The military and economic behavior of global power has been extended in the form of monetary relations. The U.S. dollar is, in the area, the main weapon. U.S. international monetary policy does not resemble and never did to any normal state with more or less extended territories. Monetary policy has always been an 135 învingătoare, definitiv, dolarul ca monedă de rezervă internaţională. Etalonul aur-devize, instituit la Bretton Woods, a permis o expansiune fără precedent. Cu dolari s-a reconstruit Europa şi Japonia, dar şi multe ale ţări şi zone geografice ale lumii. În acelaşi timp, teritorii întregi au fost obligate sau au cedat de bunăvoie securitatea militară pentru dolari americani. În această perioadă, putem discuta despre euro-dolari, petro-dolari ş.a.m.d.. Beneficiind de cea mai mare rezervă de aur din lume, America a tipărit mulţi dolari după 1945 deoarece fiecare gest de politică externă economică sau militară trebuie susţinut cu bani, adică cu dolari. expansionist policy, required to support the military and political colossus that was and still is America. An expansionary money policy, accommodative and very offensive, we would say. Especially after the World War II, when America has definitely imposed, as victorious power, the dollar as international reserve currency. The gold-dollar standard established at Bretton Woods has allowed an unprecedented expansion. Europe and Japan were rebuilt with dollars and many other countries and regions of the world. In the same time, whole areas have been forced or voluntarily gave up military security for U.S. dollars. During this period, we can talk about eurodollars, petrodollars and so on. With the largest gold reserves in the world, America has printed many U.S. dollars after 1945 because every gesture of economic and military foreign policy should be supported with money, that is dollars. 136 Bibliografie: Barcea, H., (2008). Europa, criza şi alegerile americane, Revista Idei în dialog. Bari, I., (2001). Globalizare şi probleme globale, Editura Economică, Bucureşti. Henderson, Dale W. (1977), Eurodollars, petrodollars, and world liquidity and inflation: A comment, disponibil la http://ideas.repec.org/a/eee/crcspp/v5 y1977ip311-318.html Hirst, P., Thompson, G.,(1999). Globalizarea sub semnul întrebării, Economia internaţională şi posibilităţi de guvernare, Editura Trei, Bucureşti. Loch, W. (1997). Împărţirea lumii, Istoria Războiului Rece, 1941-1955, Editura Saeculum, Bucureşti. References: Barcea, H., (2008). Europa, criza şi alegerile americane, Revista Idei în dialog. Bari, I., (2001). Globalizare şi probleme globale, Editura Economică, Bucureşti. Henderson, Dale W. (1977), Eurodollars, petrodollars, and world liquidity and inflation: A comment, disponibil la http://ideas.repec.org/a/eee/crcspp/v5y 1977ip311-318.html Hirst, P., Thompson, G.,(1999). Globalizarea sub semnul întrebării, Economia internaţională şi posibilităţi de guvernare, Editura Trei, Bucureşti. Loch, W. (1997). Împărţirea lumii, Istoria Războiului Rece, 1941-1955, Editura Saeculum, Bucureşti. 
work_t36zk3oarbea5gdmz5ta7hu3oy	----	pnas201107823 11320..11322 Profile of David M. Hillis P hilippe Padieu was called a mod- ern-day Casanova. Women said they were drawn to him for his sweet personality and charm. However, Padieu harbored a secret. In 2009, he was found guilty of aggravated assault for purposefully infecting six women with HIV and sentenced to 45 years in prison. Credit for Padieu’s guilty verdict goes partly to David Hillis, an evolutionary biologist at the University of Texas at Austin. Hillis, elected to the National Academy of Sciences in 2008, has devoted his re- search career to phylogeny, the study of evolutionary relationships. His work tack- les some of the greatest questions of evo- lutionary biology: How do species arise? How do genes diversify and acquire new functions? How do pathogens evolve, and how can that information be used to un- derstand diseases? And ultimately, can we reconstruct the complete Tree of Life and use that information to help make pre- dictions about biology? Before the Padieu case, Hillis and col- leagues had used phylogeny to determine the degree of relatedness among HIV carriers. However, in the Padieu case, prosecutors needed to show that the HIV traveled from Padieu to his victims, rather than the other way around. HIV was known to infect each host with billions of virions. However, when the virus travels from a source to recipient, a genetic bot- tleneck occurs and typically only one of those virions makes the jump into the new host. Because the virus evolves rapidly, Hillis’ team was able to show that six of the samples were derived from the sev- enth. In court, that seventh sample was revealed as belonging to Padieu (1). Amphibian Evolution Much of Hillis’ early exposure to science came through his father, an Air Force physician and epidemiologist. Hillis was born in Copenhagen, Denmark, but his family later relocated to San Antonio, TX. There, in the early 1960s, Hillis’ fa- ther treated a veterinarian who had con- tracted hepatitis from one of the chim- panzees used in the US space program. That case and other ones like it over- turned the belief that chimps were im- mune to the disease, suggesting instead that chimps could be carriers. Un- derstanding hepatitis’ mode of trans- mission consumed the elder Hillis’ subsequent work, and the family re- located to the Congo so he could study chimpanzees in the wild. En route to Africa, though, the Hillis’ belongings were stolen, a strangely serendipitous experience. “We had no toys. There were no distractions like television or anything like that. The primary way I had to en- tertain myself was to run around the jungles of Africa and catch lizards and snakes and butterflies,” Hillis says. That scientific curiosity stayed with Hillis as the family fled the Congolese civil war. The family later lived in Calcutta, India, and then Baltimore, MD, where both Hillis’ parents took up faculty posi- tions at The Johns Hopkins University. By high school, Hillis had grown intrigued by reptiles and amphibians. “I became fascinated with reptiles in Africa, where I’d caught and kept lizards and learned that many adults were scared of snakes,” he recalls. “A little kid with a snake feels powerful, I think, as many adults have learned an unnatural fear of them.” As an undergraduate, Hillis realized that am- phibians were also ideal organisms for studying how species diverge and evolve. He graduated in 1980 with a degree in biology from Baylor University in Waco, TX, and entered a graduate biology pro- gram at the University of Kansas in Lawrence to study amphibian evolution. At that time, phylogenies were largely constructed based on the morphology of organisms, by using such characteristics as shape and size. However, Hillis realized that much more information on evolu- tionary relationships was encoded in ge- nomes. Researchers were just beginning to analyze chloroplast and DNA, passed down through the maternal line. However, both types of analyses had their short- comings: chloroplast DNA analysis was restricted to plants, and mtDNA evolves so quickly that it was best suited for reconstructing relatively recent di- vergence events. So Hillis looked to nu- clear ribosomal DNA, as well as nuclear- encoded proteins, to reconstruct the evolutionary history of amphibians. The results revealed enormous hidden di- versity among morphologically similar amphibians (2, 3). Rather than throwing out centuries of morphological work, however, Hillis worked to integrate mo- lecular and morphological studies of phylogeny (4). Soon Hillis turned his attention to how individual genes evolve and diversify. For instance, when Hillis and his colleagues studied the evolution of the ZFY gene, then thought to trigger male development in mammals, they found that the gene was unrelated to sex determination in reptiles (5). “It was one of the first indications that the ZFY gene was not actually the sex determination gene, as it was initially thought to be,” Hillis says. Soon after, the actual sex-determining gene of mammals, SRY, was discovered. Hillis’ work in frogs and reptiles made clear that phylogenies could reveal how life on Earth evolved. Rather than look at single species, Hillis now devotes much of his time to modeling evolution on com- puters and coming up with ways to detect evolutionary patterns in enormous data- sets. Although his early interest in science may have come from his father, Hillis gives credit for his more recent work to his mother, a biostatistician. Watching Evolution Hillis’ shift toward statistical and com- putational approaches to evolution began when he accepted a faculty position at the University of Texas at Austin, where he now works. There, he met his colleague Jim Bull, initially a skeptic of phyloge- netic analysis. “He didn’t think there were any convincing studies of the accuracy of phylogenetic methods,” Hillis says. Bull had reason to doubt. By that point in the late 1980s, phylogenetic analysis was growing in popularity, but its accuracy remained in question. Because much evolution occurs over lengthy time scales, it usually cannot be observed directly. Morphological change can be examined in the fossil record, but molecular David M. Hillis. This is a Profile of a recently elected member of the Na- tional Academy of Sciences to accompany the member’s Inaugural Article on page 21242 in issue 50 of volume107. 11320–11322 | PNAS | July 12, 2011 | vol. 108 | no. 28 www.pnas.org/cgi/doi/10.1073/pnas.1107823108 D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 changes—increasingly the basis for phy- logenetic studies—are not preserved in fossils. Hillis was convinced he could get Bull to come around. So they made a deal. “The stakes were high,” Hillis jokes. “We bet a quarter.” For a convincing case, Hillis and Bull needed to find a species that evolved fast enough to be observable in real time—one that could grow, re- produce, and accumulate mutations in minutes rather than millennia. The two researchers settled on T7 bacteriophage, a virus that doubles its population in less than 15 minutes. They started with a sin- gle ancestral stock and let it reproduce for hundreds of generations, separating out colonies at predetermined intervals. To encourage rapid evolution, the prog- eny were exposed to a chemical that promotes mutations during viral replication (6). Hillis, who was blinded to the experi- mental setup to avoid biasing the results, mapped the genomes of the evolved ex- perimental viruses and used five phylo- genetic methods to reconstruct the phage’s evolutionary history. When the blinded labels were decoded, Bull agreed that the estimated trees provided an ac- curate picture of the actual evolutionary history. Moreover, the ancestral genomes at each branching point in the phylogeny had been reconstructed with greater than 98% accuracy. The pair soon devised ways to test the validity of the phyloge- netic methods under more difficult con- ditions, such as subjecting divergent lineages to vastly different rates of evo- lution or similar selective conditions (7, 8). Even then, the phylogenetic methods could account for the evolu- tionary changes. That meant that phylogenetic methods could help researchers piece together evolutionary history, including the de- tailed reconstruction of ancient gene sequences. “A lot of people have ex- tended that work to look at the gene se- quences of extinct organisms extending back to the common ancestor of life,” Hillis says. Looking back to the dawn of life, al- though, presents other challenges. Unlike the experimental viral trees, the evolu- tionary relationships in most phylogenetic trees cannot be observed directly. So how can biologists assess the accuracy of an- cient phylogenies? In a series of pio- neering papers, Hillis and his colleagues showed how statistical resampling ap- proaches and Monte Carlo simulations, which predict the probabilities of certain outcomes based on prespecified models, can be used to assess confidence in a given phylogenetic tree. The researchers tested the reliability of these statistical ap- proaches on experiments with simulated phylogenies as well as the bacteriophages they had studied in the laboratory (9, 10). In the mid-1990s, biologists began tackling phylogenies with hundreds of species. Many people were skeptical that such large phylogenies—which Hillis says contain more potential solutions than the number of fundamental atomic par- ticles in the universe—could be recon- structed accurately. One of the larger trees at the time was produced by Pam and Doug Soltis, evolutionary biologists who now work at the University of Flor- ida in Gainesville. The duo had recon- structed the evolutionary relationships among 228 species of flowering plants by comparing their ribosomal RNA genes (11). However, some researchers were unconvinced by the Soltises’ findings, ar- guing that efforts to recreate the evolu- tionary histories of just a handful of species required the analysis of many more genes—and that the same principle should hold true for larger data sets, like the flowering plants. To resolve the dispute, Hillis simulated the evolution of the ribosomal RNA genes on a computer. Expecting to find that the Soltises needed more data, Hillis was surprised to discover that denser sampling of species generated more realistic phy- logenetic trees. “Analyzing more genes was helpful, but analyzing more species was critical for phylogenetic accuracy,” Hillis says. “It was great news for the Soltises and for the field as a whole” (12). Densely sampled trees provided more accurate reconstructions of evolutionary history and allowed researchers to develop more detailed and accurate models of DNA evolution (13, 14). As a result, Hillis says, “many researchers are now tackling problems with thousands of species.” Leading the charge is the National Sci- ence Foundation and its ambitious Tree of Life program, which aims to generate a phylogenetic tree connecting all life forms on Earth (15–17). Estimates, however, suggest that the Earth contains approximately 9 million species, making it difficult to view the complete Tree of Life in 2D space, Hillis says. So Hillis and his colleagues devel- oped new techniques to visualize complex phylogenetic information (18). Among other solutions, they designed a circular tree with 3,000 clickable points, each representing a different taxonomic group. Clicking a point opens up another 3,000 points, for a total of 9 million points—or species. “That way, the whole tree of life can be represented in two layers,” Hillis says. An early version of that circular tree of life has now entered pop culture: some of Hillis’ graduate students have tattooed the design on their backs and a giant Tree of Life mural currently graces the en- tranceway of the biology building at University of Texas’ Austin campus. Next to the location of humans, the tree has a “you are here” sign. “At the beginning of the semester, there are always a lot of mystified students looking at it saying ‘I don’t understand. . . is this a map of campus?’” Hillis says. Evolution Matters The theoretical groundwork laid, Hillis became interested in applying phyloge- netic methods to answer questions about the molecular processes underlying evo- lution. Hillis first ventured into the study of HIV transmission following a high- profile case in the early 1990s in which an HIV-positive dentist in Florida was ac- cused of transmitting the virus to several patients. After evaluating blood samples from infected individuals, the Centers for Disease Control determined that the HIV strains in the doctor and his patients were related. Hillis was asked to review the results of this new methodology. The methods the Centers for Disease Control used were sound, Hillis says, but the case never went to trial because the dentist died in the interim. It took another high-profile case for the phylogenetic analysis of HIV to make its way into US courtrooms. In the late 1990s, a physician stood accused of in- tentionally injecting his ex-girlfriend with an HIV-infected blood sample from an unwitting patient. The prosecution thus needed to show that the HIV samples between the patient and ex-girlfriend were related (19). The science behind showing the re- latedness of HIV strains is straight out of the phylogeny textbook, Hillis says. As noted, when HIV passes from source to recipient, typically only one virion makes the jump. That virion then diversifies rapidly inside its new host. To determine relatedness between samples, researchers take many samples of the virus from the victim and defendant and reconstruct the phylogeny of the virus as it mutates and evolves into different strains. The re- sultant trees either support or rule out hypotheses about the virus’s transmission from person to person. In the case of the physician’s girlfriend, her HIV sequences supported the hy- pothesis that she contracted HIV from the physician’s patient. The final step was for the courts to determine whether to permit these HIV phylogenies as evi- dence in the courtroom. Hillis was called in as an expert witness to explain phylo- genetic analysis to the court. The judge agreed to admit the phylogenetic evi- dence—together with all the other evi- dence about means, motive, and opportunity—and the jury found the physician guilty of attempted murder. Gupta PNAS | July 12, 2011 | vol. 108 | no. 28 | 11321 P R O F IL E D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 Hillis’ Inaugural Article (1) pushes fo- rensic applications of phylogeny a step further by showing how phylogenies can also provide information on the direction of transmission. Because of the genetic bottleneck that occurs at the point of transmission, a recipient’s tree is expected to be nested within the source’s tree, Hillis says. In the case of Phillipe Padieu, and a very similar case from Washington state, information about the direction of transmission was integral to the estab- lishment of the men’s guilt. However, if the science behind phylo- genetic analysis of HIV is straightforward, the ethics are not. Practiced incorrectly, phylogenetic analysis could become a way of criminalizing those with HIV, Hillis cautions. Fear of criminal liability could also prevent people from getting tested, which could be especially problematic in AIDS-ridden countries. Rather, Hillis says, before applying phylogenetic analysis to transmission questions, it is funda- mental to first have evidence of criminal intent, as well as a clear a priori hypothesis to test. Science Education Hillis’ latest endeavor may turn out to be the most complicated. As with his re- search, Hillis says he takes his “role as an educator very seriously.” He penned his first textbook, a how-to manual for re- constructing phylogenies, in 1990 (20–23). More recently, Hillis has become an outspoken critic of efforts to weaken the teaching of evolution in schools, a partic- ularly heated debate in Hillis’ home state of Texas. Part of informing students about the importance of evolution, Hillis says, is making biology more accessible and relevant to students. “The contents of college textbooks generally are accurate,” he says, “but I find it depressing how boring most of them are.” In the past few years, Hillis has auth- ored two introductory biology textbooks, Life: The Science of Biology, and Principles of Life, to address that shortcoming (24– 26). Thanks to that work and his efforts to advise the Texas State Board of Educa- tion on the science curriculum, Hillis won the Stand Up For Science award in 2009 (from the Texas Freedom Network) and the Friend of Darwin award in 2010 (from the National Center for Science Education). Hillis applies and enjoys evolution on a personal level as well. The proud owner of the aptly named Double Helix Ranch in Texas, Hillis has been studying his pop- ulation of Texas Longhorn cattle to un- derstand their evolutionary roots. According to historic accounts, Christo- pher Columbus brought cattle from Europe to the Caribbean in the late 1400s. From there, the cattle were taken to Mexico and the American Southwest, where they escaped and formed feral herds. Over the centuries, the cattle evolved longer horns, which served as defense against predators. With the cattle genome now complete, Hillis and his students are comparing breeds of do- mestic cattle from region to region to reconstruct their population histories. As with his other work, Hillis’ research into the cattle has shifted from mere sci- entific curiosity to a search for practical applications. Texas Longhorns have many genes that confer disease resistance, fe- cundity, longevity, and ease of birthing, all of which are important in creating hardy breeds of grass-fed, free-range cattle, he says. Evolution, says Hillis, helps answer both sweeping questions (what is the origin of life?) and ordinary ones (how does one create better cows?). Hillis’ motivation for studying evolution is simple: “I like thinking about the common ancestors that I share with the cotton fibers in my shirt,” he says. Sujata Gupta, Freelance Science Writer 1. Scaduto DI, et al. (2010) Source identification in two criminal cases using phylogenetic analysis of HIV-1 DNA sequences. Proc Natl Acad Sci USA 107:21242–21247. 2. Hillis DM, Frost JS, Wright DA (1983) Phylogeny and biogeography of the Rana pipiens complex: A bio- chemical evaluation. Syst Zool 32:132–143. 3. Hillis DM, Davis SK (1986) Evolution of ribosomal DNA: Fifty million years of recorded history in the frog ge- nus Rana. Evolution 40:1275–1288. 4. Hillis DM (1987) Molecular versus morphological ap- proaches to systematics. Annu Rev Ecol Syst 18:23–42. 5. Bull JJ, Hillis DM, O’Steen S (1988) Mammalian ZFY sequences exist in reptiles regardless of sex-deter- mining mechanism. Science 242:567–569. 6. Hillis DM, Bull JJ, White ME, Badgett MR, Molineux IJ (1992) Experimental phylogenetics: generation of a known phylogeny. Science 255:589–592. 7. Bull JJ, et al. (1997) Exceptional convergent evolution in a virus. Genetics 147:1497–1507. 8. Cunningham CW, Zhu H, Hillis DM (1998) Best-fit maximum likelihood models for phylogenetic in- ference: Empirical tests with known phylogenies. Evolution 52:978–987. 9. Hillis DM, Bull JJ (1993) An empirical test of boot- strapping as a method for assessing confidence in phylogenetic analysis. Syst Biol 42:182–192. 10. Hillis DM, Huelsenbeck JP, Cunningham CW (1994) Application and accuracy of molecular phylogenies. Science 264:671–677. 11. Soltis DE, et al. (1997) Angiosperm phylogeny inferred from 18S ribosomal DNA sequences. Ann Mo Bot Gard 84:1–49. 12. Hillis DM (1996) Inferring complex phylogenies. Na- ture 383:130–131. 13. Zwickl DJ, Hillis DM (2002) Increased taxon sampling greatly reduces phylogenetic error. Syst Biol 51: 588–598. 14. Heath TA, Zwickl DJ, Kim J, Hillis DM (2008) Taxon sampling affects inferences of macroevolutionary processes from phylogenetic trees. Syst Biol 57: 160–166. 15. National Science Foundation (2011) Assembling the Tree of Life (ATOL) ATOL update: 3/14/11. Available at http://www.nsf.gov/funding/pgm_summ.jsp?pims_id= 5129&org=EF. Accessed April 27, 2011. 16. Halanych KM, et al. (1995) Evidence from 18S ribo- somal DNA that the lophophorates are protostome animals. Science 267:1641–1643. 17. Hillis DM (2005) Health applications of the Tree of Life. Evolutionary Science and Society: Educating a New Generation, eds. Cracraft J, Bybee R (Biological Scien- ces Curriculum Study, Colorado Springs, CO), pp 139–144. 18. Hillis DM, Heath TA, St John K (2005) Analysis and vi- sualization of tree space. Syst Biol 54:471–482. 19. Metzker ML, et al. (2002) Molecular evidence of HIV-1 transmission in a criminal case. Proc Natl Acad Sci USA 99:14292–14297. 20. Hillis DM, Moritz C (1990) Molecular Systematics (Si- nauer, Sunderland, MA). 21. Hillis DM, Mable BK, Larson A, Davis SK, Zimmer EA (1996) Hillis DM, Mable BK, Moritz CNucleic acids IV: Sequencing and cloning. Molecular Systematics, eds. Hillis DM, Mable BK, Moritz C (Sinauer, Sunderland, MA), 2nd Ed, pp 321–381. 22. Swofford DL, Olsen GJ, Waddell PJ, Hillis DM (1996) Phylogenetic inference. Molecular Systematics, eds. Hillis DM, Mable BK, Moritz C (Sinauer, Sunderland, Massachusetts), 2nd Ed, pp 407–514. 23. Hillis DM, Mable BK, Moritz C (1996) Applications of molecular systematics and the future of the field. Molecular Systematics, eds. Hillis DM, Mable BK, Moritz C (Sinauer, Sunderland, MA), 2nd Ed, pp 515–543. 24. Hillis DM, Sadava D, Heller HC, Price MV (2010) Prin- ciples of Life. Sinauer Associates and W. H (Sinauer, Sunderland, MA). 25. Sadava D, Heller HC, Orians GH, Purves WK, Hillis DM (2006) Life: The Science of Biology (Sinauer, Sunderland, MA), 8th Ed. 26. Sadava D, Hillis DM, Heller HC, Berenbaum M (2009) Life: The Science of Biology (Sinauer, Sunderland, MA), 9th Ed. 11322 | www.pnas.org/cgi/doi/10.1073/pnas.1107823108 Gupta D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=5129&org=EF http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=5129&org=EF 
work_tbzu3hppkvcurowuej6on7mp4i	----	10.11648.j.ajmp.20130203.17 American Journal of Modern Physics 2013; 2(3) : 138-143 Published online May 2, 2013 (http://www.sciencepublishinggroup.com/j/ajmp) doi: 10.11648/j.ajmp.20130203.17 Interstellar transmitter concept (King David’s Sling) Glen Monahan 1 , Sarvraj Singh 2 1 BA (Philosophy), Memorial University of Newfoundland, Canada 2 Jaypee University of Engineering and Technology, MP, India Email address: glenemonahan@gmail.com (G. Monahan) To cite this article: Glen Monahan, Sarvraj Singh. Interstellar Transmitter Concept (King David’s Sling). American Journal of Modern Physics.Vol. 2, No. 3, 2013, pp. 138-143. doi: 10.11648/j.ajmp.20130203.17 Abstract: A simple operating principle (similar to a combination of a pottery wheel and a catapult or, simply, the weapon used by David to slay Goliath) coupled with the success of some moderate engineering challenges may allow for the trans- mission of a carrier wave from Earth to Mars in less than one second!This paper also directly addresses the controversy of light speed variance/invariance (which has arisen from the “wave/particle nature of light” debate) by referencing Joseph A. Rybczyk’s 2012 paper, “Lunar Laser Evidence of Light Speed Variance”. Keywords: Interstellar Transmitter, Faster than Light, FTL, Operating Principle, Epistemology, Relativity, Tachyon 1. Introduction It’s not necessarily apparent that the sling David used could not have beena “sling-shot” style weapon. But a little internet research into the history of rubber bears out sucha weapon in ancient times would be extraordinarily unlike- ly.“When Christopher Columbus revisited Haiti on his second voyage, he observed some natives playing ball. Co- lumbus' own men had brought their Castilian wind-balls to play with in idle hours. However, they found that the balls of Haiti were incomparably superior toys; they bounced better. These high bouncing balls were made from a milky fluid, the consistency of honey, which the natives harvested by tap- ping certain trees and then cured over the smoke of palm nuts” [1]. And it was centuries later whence a U.S. circuit court“established for all time the claim of the American, Charles Goodyear, to be the sole inventor of vulcanized rubber” [2]. Oneshould also note that, even if the ancients could have tooled a high-powered, hi-tech, hunting style sling-shot in part by utilizing some long-lost rubber formula, one may expect such a device to make its way into suffi- ciently popular distribution as to render it detectable to modern archaeology. The Bible tells us David’s sling launched missile hit Go- liath with such force that “the stone sank into his forehead” [3]. It must have been propelled with a respectable mo- mentum. One can quite plausibly envisage the velocity component of this force originating from several accelerat- ing turns of a rope attached to a piece of cloth (or leather) that cradles a stone. The only thing missing would be the tremendous skill (quite literally, the trick of the wrist) to release the stone at full throttle and with great accuracy. One can attribute this phenomenal skill to divine intervention or Zen; the type of Zen often used in reference to an elite NBAforward’s scoring ability. Now let’s switch gears for a moment. Utilizing a piece of wax to demonstrate the mind alone (and not the imagination spurred on by the senses) is the inspector of truth, René Descartes established clarity and distinctiveness [4] as an epistemologicalhallmark and (notably), in doing so, is often credited (how much credit he actually deserves may be a bit of a contentious topic in many academic circles) with fuel- ling the scientific revolution that brought on the Industrial Age. So, it is from within this aforementioned context of God and/or Zen that I present this otherwise technical paper with the following caveat: As far as I can fathom, it contains no clear and distinct contradiction with respect to the Relativity Principle. Here is the link for “The principle of relativity; original papers by A. Einstein and H. Minkowski. Translated into English by M.N. Saha and S.N. Bose; with a historical introd. by P.C. Mahalanobis (1920)” [5]. And for what I consider to be an all-inclusive exposition of relativity and what Einstein himself calls “…a few happy hours of suggestive thought!” [6],please see [7]. 2. Operating Principle Now, let's begin with an ordinary household electric drill. American Journal of Modern Physics 2013, 2(3) : 138-143 139 In general, they are said to reach a rotational speed of 2400 rotations per minute (RPMs). To the best of my knowledge, I believe a relatively recent applicationof brushless electric motor technology (induction motor) has given us the Dremel or rotary tool [“Similar rotary tools (for example, those sold by Sears under their Craftsman brand) are also sometimes colloquially called dremels in an example of a genericized trademark.”[8]]. The dremel reaches speeds of 35,000RPMs. This is a little bit better than a magnitude ten (10) im- provement in rotational speed. If we consider the conditions of outer space (visa vie its close-to-zero gravity and vacuum-like air resistance), we can easily see the potential for several of these magnitude ten improvements (MTIs) in rotational speed. If we can obtain 5 of these MTIs, we can reach 3,500,000,000 RPMs in a rotary device placed in an orbiting satellite. A disk of about 12.5 inches in diameter gives a circum- ference of one (1) meter. Rotating at 3.5 billion RPMs, an emitter placed on the circumference will be travelling at the speed of.58c (c being the velocity of light). And light emit- ted from this point will travel at the speed of 1.58c. Now imagine another increase of magnitude ten in rota- tional speed! The result is 2.94c. And another;20.44c. And so on. At 1,945.44c, a roundtrip communiqué between Mars and Earth would take, at most, 1.25seconds. Table 1. Speeds of disc, circumference & carrier wave. RPMs Speed of emitter placed on circumference of disk Speed of carrier wave in kilometres per second or c 2400 144 km/h 300,000.040 35,000 2100 km/h 300,000.583 350,000 5.833 km/s 300,005.833 3.5 * 10^6 58.333 km/s 300,058.333 3.5 * 10^7 583.333 km/s 300,583.333 3.5 * 10^8 5,833.33 km/s 305,833.333 3.5 * 10^9 58,333.3 km/s 358,333.333 3.5 * 10^10 583,333 km/s 2.94c 3.5 * 10^11 5.8 * 10^6 km/s 20.44c 3.5 * 10^12 5.8 * 10^7 km/s 195.44c 3.5 * 10^13 5.8 * 10^8 km/s 1,945.44c 3.5 * 10^14 5.8 * 10^9 km/s 19,445.44c 3. The Experiment Skepticsmay claim that, for Einstein, the speed of light is constant and so cannot be speeded up by adding the speed of the emitter. According to Max von Laue, the relativity principle claims “From the totality of natural phenomena, one can determine with increased approximation and increased ex- actitude, a reference system x, y, z, t in which the natural laws are valid in certain, mathematically simple forms. This reference system is, however, in no way uniquely defined by the phenomena. There is rather a three-times infinite mani- fold of equally valid systems, mutually moving with uni- form velocity” [9]. Not to denigrate Laue’s synopsis of the relativity principle, I do find many claiming that this is the proof that light, being a natural phenomenon, has a constant velocity. To me, all it claims is that each reference system moves at a constant velocity. For instance a planet moving around a sun moves at a constant velocity, a solar system moving around a red giantmoves at a constant velocityand the universe(the ma- nifold of all systems) moves at a constant velocity (though what the universe might be moving through is certainly unknown). This (my claim as to what the relativity principle means) would explain dark regions in space as simply star systems moving away from us at a speed greater than light. And what else would explain the following?: Once upon a time, a man travelling at twice the speed of sound on the Concordcalled ahead to the passenger in front of him. Now sound is a natural phenomenon and its speed is 343m/s. But in order for the passenger in the forward seat to hear the man, the sound must have been travelling at 1029m/s relative to anyone standing still on the earth. Not yet convinced? I propose the following empirical experiment to test my understanding of the relativity prin- ciple: One or two transmittersof the design in figure 1 are sent to the International Space Station (ISS). The speeded-up (or not) carrier wave is bounced of the surface of the moonand back to the ISS. Thence, the time interval of the signal’s roundtripis measured. Figure 1. Interstellar transmitter. 140 Glen Monahan et al.: Interstellar transmitter concept (King David’s Sling) 4. Further Evidence (Meaningful Ref- erences and Work Based on Scientific Principles) But to go through the expense of sending equipment into orbit to test the idea of a layman like myself might be, to say the least, a little suspect and/or risky. Joseph A. Rybczyk’s 2012 paper, “Lunar Laser Evidence of Light Speed Variance” may serve to mitigate these con- cerns. Here is the paper’s abstract: “Correct formulas are derived for use in interpreting the results of the NASA lunar laser test of the invariance of light speed. The subject formulas appear to confirm that the speed of light is affected by the relative motion of the light source”[10]. 5. Engineering Challenges 1) Problem: Any EM carrier wave emitted from a rotating device cannot be expected to travel consistently concen- trated in a straight line from the emitter to the distant re- ceiver as the reference origin of the wave (the edge of the rotating disk) is in motion. Solution (fig. 1): The emitting side of the satellite houses a funnelling window directed at the distant receiver. The funnel has two walls; an inside wall and an outside wall. The inside wall of the funnel is made up of a two-way mirror substrate. Placed on the inside of the outside wall are a series of EM detectors. These detectors can signal adjustments to the timing of emitting, thus keeping the signal firing rela- tively straight and, in doing so, may also mitigate the poss- ible problem of a later emission getting ahead of an earlier one (should the earlier one make initial contact close to the start of the funnel and, thereby, bounce back and forth inside the funnel for a time). 2) Problem: Non-EM or unknown source interference. Solution: Simple digital modulation (channel switching) of little or no greater complexity of that employed when experiencing what is colloquially known as the “schizoph- renic C/D” computer storage drive problem. 3) Problem:Considering signalling being our main agenda with significant reception of the message, the introduction of noise is indispensable either in the form of interplanetary dust or absorption by water vapour molecules (in case of signals arising from stars). According to Shannon’s Classical Theory for rate of in- formation transmitted, considering all possible multi-level and multi-phase encoding techniques, the channel capacity C (in bits/sec), and data that can be sent with a given average signal power S subjected to Additive White Gaussian Noise of power N, in an analogue channel is: C=Blog2(1+S/N)(Shannon-Hartley theorem) From quantum physics we know that the energy per car- rier photon is equal to hν joules, where h is Planck’s con- stant. Hence, we calculate that the maximum theoretical photonic information transmission efficiency εγ is: εγ = {log2(1+S/N)} / h bits/joule-second As far as our bandwidth of the transmitted signal is con- sidered, the channel capacity would be inexplicable. Solution: Modifications in analogue modulation tech- niques shall serve the purpose of reducing bandwidth. 6. An Alternative Emitter Being a bit retrospective (i.e. “But on second thought, perhaps light is a particle and not a wave”), the emitter at the edge of the rotating disk may be replaced by a light source such as an atom, molecule, orNano crystal.Upon transition from the excited state to ground state, packets of light (contextually, a quanta of energy E=hν) will be emitted which would be equivalent to the difference of energies of the two states of the photon states.The phase of the photon in spontaneous emission is random as is the direction in which the photon propagates. The constructive or the destructive interference patterns between the quanta (emitted as a result of spontaneous emission at the tip of the transmitter)in ad- dition to the carrier wave itself can act as unique codes for particular transmitters and receivers operating at different carrier waves. This can be quite useful in interstellar cryp- tography. 7. Food for Thought [Metaphysical Walkie-talkie (MPWT)] “(A)tachyonic particle is a hypothetical particle that al- waysmoves faster than light. …Most physicists think that faster-than-light (FTL) particles cannot exist because they are not consistent with the known laws of physics” [11].Just because FTL particles may not be consistent with the known (or even all possible to come) laws of physics, it does not necessarily follow that they do not exist. Though they may indeed never exist in even our most studious observations of the 3-D physical world, they are intuitively part and parcel of the metaphysical single dimensional and 2-D worlds. In Euclidian geometry, two points define a line. If we think of these two points of the line as being single dimen- sional particlesakin to quantum singularities (“In factsin- gularities are infinitely small according to relativity” [12]) then one can possibly fathom how each of these particles can exist in the infinite expanse of the lines they define; thereby having the capacity to traverse the infinite breadth of space in a zero-time interval.However, “Euclid described a line as "breadthless length", and introduced several postulates as basic unprovable properties from which he constructed the geometry” [13]. In practical terms, two points will never define a very accurate line. When an experienced carpenter uses penciled points to set up a line to draw a cutting refer- ence for sawing, he will pencil in three or more points. At best, in practical terms, two points can only define a curve.So perhaps two points define a circle or, rather, an American Journal of Modern Physics 2013, 2(3) : 138-143 141 infinite circular plane. Now, posita somewhat different, though aesthetically similar, transmitter (fig. 2).Its rotating disk emitter shoots out a photon at a velocity greater than the speed at which the photon itself is supposed to travel. And suppose this action causes the photon to condense into a qualia singularity [I’ll term this a qualia singularity since the arbitrarily described phenomenon has all the characteristics (qualities) of a quantum singularity save the quanta, quantum or mass of energy]. Further, suppose all but the tip of the transmitter can be encased in a field that contains the qualia singularity and the singularity is directed out thru the tip of the transmitter. Figure 2. MPWT transmitter. Now, try to envision the dilemma of the qualia singularity. Having exited the transmitter’s field and being infinitesi- mally small, it is alone in a vast expanse of (relative to the singularity - it being infinitely tiny) nothingness.In response, it splits into two tachyons. And these two tachyons now exist in the infinite circular plane they define. Juxtaposing two such transmitting devices (fig. 3) irres- pective of the orientation would generate twosets of ta- chyonic circular planes. From these a skeletal (as it is without substance) 3-D spherical wave frontwillperhaps be generated at the place where the two planes intersect (pro- vided that the transmitters are not in the same plane which could only occur for a brief instant in the worst of circums- tances) in a manner similar to that of theHuygens’s Prin- ciple. Figure 3.Juxtaposed MPWT transmitters. Remarkably, this 3-D spherical wave has the advantage of being able to pass unhindered thru all physical space. It might possibly be hindered by the transmitter’s contain- ment field or other such devices but likely little or nothing else would interfere with the transmission. Further posit this instantaneous, ubiquitous transmission can be received by an FTL rotating funnel receiver (fig. 4) by means of condensing the two pairs of tachyons into a pair of quantum singularities which expand into photons as they are brought from the FTL edge of the funnel to the sub-light inte- rior.One notable disadvantage is each reception would de- stroy that part of the transmission. Figure 4.MPWT receiver. Regarding this unsubstantial 3-D spherical wave (or pulse) I should note that, according to Einstein, Descartes found extension without substance to be unfathomable. Einstein writes “One can understand that it was repugnant to Des- cartes to consider space as independent of material objects, a thing that might exist without matter” [14]. 8. Method Firstly, I believe Einstein has been quoted (or perhaps audio recorded) as saying the universe is the laboratory of the cosmic scientist. As an educated layman, I submit that the “big picture” which is critical to an understanding of the universe (the ultimate big picture) is more easily accessible to me than a trained and/or network PhD physicist. Experts of the like are often described as those who know more and more about less and less; hardly a state conducive to an understanding of the big picture. But foremost, I’d like to take this opportunity to pay homage to Tyrone Lai for his epistemology (scientific me- thod); the CryptanalyticalTheory of Discovery. As I recall, the basic components are: 1) Educated Guess Method – hypothesis 2) Method of Empirical Testing - experiment 3) Method of Progressive Evaluation(MPE) – veri- fication/refutation 142 Glen Monahan et al.: Interstellar transmitter concept (King David’s Sling) Now let’s expand on this last component, the MPE (“method of progressive evaluation” [15]). The idea is: if you can move on in your scientific investigation, then you have evidence that you are on the right track – your method of knowing (i.e. your epistemology) is working; your theory, for the time being, is verified. If you cannot move on then your theory is being refuted. In the former case you are productive and in the latter you’d be “spinning your wheels” to continue on with the same theory. Karl Popper expounded a similar view regarding the validity of a scientific theory being tied to the ability of being able to refute the theory. He writes “the criterion of the scientific status of a theory is its falsifiability, or refutability, or testability.” [16] To put all this in perspective by way of the example of observing a dark region is space – do we describe it as a quantum singularity (black-hole) and scour the universe for the associated “exotic matter” to fuel a warp bubble or do we hypothesis what we have in the dark region is a star system moving away from us at a speed greater than light? The latter passes the refutability test i.e. it is capable of being refuted. The former will never pass the refutability test (at least, it will never pass the MPE) as its arbitrarily described nature denies empirical testing. By further example, do we build the interstellar transmitter (fig. 1) while paying all due respect to proprietary telecommunication technology or do we do foreseeably endless design on the MPWT of figures 2-4? Think about it. What say you? 9. Last Word (Dedication) Come on people! For land sakes’ [Here, I coin a new version of the idiom land sakes or lands sakes. I choose this new plural possessive form,land sakes’, to reflect the often perceived existential necessity (and hence, need for posses- sion) of land claims for Homo sapiens.], wake-up and smell the coffee. There’s a potential bean plantation or two in a nearby solar or star system. Guaranteed. 10. The Obligatory Conclusions Yes, the interstellar transmitter (aka King David’s Sling) of figure 1 is the way to go. Meanwhile, the MPWT of fig- ures 2-4 is just a waste of time. So who’s interested in the universe of work that’s availa- ble outside the Earth-Moon system for those utilizing the real-time controls & communications courtesy of FTL? Well not me, that’s for sure. As I’ve previously stated, I’m a layman. And laymen are simply too lazy to work. Why do you think we’re called laymen? We layaround a lot, that’s why. 11. Epilogue You don’t have to go far to find out about science or even epistemology for that matter. David Suzuki (whilst under contract with the Canadian Broadcasting Company (CBC)) will happily inform that for every question science answers, you are left with ten more questions. So am I being facetious in asking the following two questions? : 1) Will any of Commander Hadfield’s myriad of me- chanical experiments yield a disk’s circumference based emitter (or something of the sort) that will have travelled faster than the speed of light? 2) And, if the answer to 1) is yes, will we all be left waiting for Sarah Brightman to sing us the results? Again, am I facetious in asking those two questions? You tell me. Acknowledgements Dr. Tyrone Lai, whose patient tutelage in his Cryptana- lytical Theory of Discovery was indispensable and integral to my university education. Dr. Alan MacPherson (and his better-half, Dr.Joyce MacPherson) who, within the confines of Memorial Uni- versity Career Experience Program (MUCEP) grants, im- parted to me key graduate experience whilst an under-grad. And a special thank-you to the administration, staff & other patronsof the Gander Public Librarywho all made me feel at home and (eventually) learned to live with me. References [1] Available on- line:http://inventors.about.com/cs/inventorsalphabet/a/rubbe r_2.htm. [2] Available on- line:http://inventors.about.com/cs/inventorsalphabet/a/rubbe r.htm. [3] Samuel 17:49, The Holy Bible, New King James Version. Nashville: Nelson. 1982. ISBN 978-0840700537 (This ISBN was found on Wiki, not the Bible itself.). [4] René Descartes, Meditations on First Philosophy, (old page numberings) pp. 30-31. [5] Available on- line:http://archive.org/details/theprincipleofre00einsuoft [6] Albert Einstein (1962), Relativity: The Special and the Gen- eral Theory, Crown Publishers Inc., New York, p. 5. [7] Albert Einstein (1962), Relativity: The Special and the Gen- eral Theory, Crown Publishers Inc., New York. [8] Available online: http://en.wikipedia.org/wiki/Dremel. [9] Available online: http://en.wikisource.org/wiki/The_Principle_of_Relativity_( Laue_1913). [10] Available online: http://www.mrelativity.net/LunarLaserEvidenceofLightSpee dVa- riance/Lunar%20Laser%20Evidence%20of%20Light%20Sp eed%20Variance.htm [11] Available online: http://en.wikipedia.org/wiki/Tachyon. American Journal of Modern Physics 2013, 2(3) : 138-143 143 [12] Available online: http://en.wikipedia.org/wiki/Quantum_singularity. [13] Available online: http://en.wikipedia.org/wiki/Line_(geometry)#Ray. [14] Albert Einstein (1962), Relativity: The Special and the Gen- eral Theory, Crown Publishers Inc., New York,p.137. [15] Tyrone Lai (1989), “How We Make Discoveries”, Synthese, vol. 79 – issue 3, Kluwer Academic Publishers, Netherlands, pp. 371-390. [16] Karl Popper (2004), Conjectures and Refutations: The Growth of Scientific Knowledge, London: Routledge. ISBN 0-415-28594-1, circa p.37-38. 
work_tmgyu57gqzcjvbh2ovolhfx3ie	----	Sulfur isotope analysis of cinnabar from Roman wall paintings by elemental analysis/isotope ratio mass spectrometry tracking the origin of archaeological red pigments and their authenticity Sulfur isotope analysis of cinnabar from Roman wall paintings by elemental analysis/isotope ratio mass spectrometry – tracking the origin of archaeological red pigments and their authenticity Jorge E. Spangenberg 1*, Jošt V. Lavrič 1y , Nicolas Meisser 2 and Vincent Serneels 3 1Institute of Mineralogy and Geochemistry, University of Lausanne, Bâtiment Anthropole, 1015 Lausanne, Switzerland 2 Geological Museum of the Canton Vaud, Bâtiment Anthropole, 1015 Lausanne, Switzerland 3 Department of Geosciences, University of Fribourg, Pérolles, 1700 Fribourg, Switzerland The most valuable pigment of the Roman wall paintings was the red color obtained from powdered cinnabar (Minium Cinnabaris pigment), the red mercury sulfide (HgS), which was brought from mercury (Hg) deposits in the Roman Empire. To address the question of whether sulfur isotope signatures can serve as a rapid method to establish the provenance of the red pigment in Roman frescoes, we have measured the sulfur isotope composition (d34S value in % VCDT) in samples of wall painting from the Roman city Aventicum (Avenches, Vaud, Switzerland) and compared them with values from cinnabar from European mercury deposits (Almadén in Spain, Idria in Slovenia, Monte Amiata in Italy, Moschellandsberg in Germany, and Genepy in France). Our study shows that the d34S values of cinnabar from the studied Roman wall paintings fall within or near to the composition of Almadén cinnabar; thus, the provenance of the raw material may be deduced. This approach may provide information on provenance and authenticity in archaeological, restoration and forensic studies of Roman and Greek frescoes. The finest Greek and Roman houses were frequently decorated with mosaic floors and wall paintings (frescoes). Studies of archaeological wall paintings often aim to determinate the origin of the pigments and the techniques used to apply the different colors. This is of major relevance in cultural heritage studies because it (a) provides historical information on early technologies (i.e., raw material proces- sing, painting techniques) and ancient trading patterns (i.e., origin of raw materials, trade and commercial routes), (b) helps detect past restoration of frescoes and authenticity of works, and (c) gives an approximate maximal age for the painting through the determination of the cinnabar origin. Such studies applying different techniques – including optical microscopy (OM), scanning-electron microscopy (SEM), X-ray diffraction (XRD), electron microprobe analysis (EMA), diffuse reflectance infrared Fourier trans- form spectroscopy and gas chromatography/mass spec- trometry (GC/MS) – were performed on Roman wall paintings recovered from archaeological sites in France,1–4 Switzerland,5 Spain,6–10 Italy11–17 and Croatia.18 The miner- alogical and physicochemical analyses of ancient paintings are often difficult to interpret as they reveal only the average composition of a mixture of materials and pigments. The most valuable pigment used in Roman wall paintings was the red pigment Minium Cinnabaris (called also Vermilion), containing principally cinnabar, the red mercury sulfide (HgS).13–16 Cinnabar was used pure for a light red pigment or mixed with Rubrica (also called Red Ochre), composed mainly of hematite (Fe2O3), to obtain a darker red. Cinnabar, used all over the Roman world in small quantities for high-quality paintings, was an expensive raw material, since this mercury ore was not abundant inside the borders of the Roman Empire.3 The largest known cinnabar deposits in the Mediterranean region are Almadén in the province of Castilla la Nueva, Spain (300 000 metric tons of Hg),19,20 Idria in Slovenia (145 000 t Hg),21,22 and Monte Amiata in Grosseto, Italy (117 707 t Hg).23,24 Epigraphic, literary and archaeological evidence corrobo- rates ore extraction in Almadén since at least 500 BC. The other two deposits are thought to have been mined by the Romans, but the archaeological studies are scarce, and the earliest records are from Christopher Columbus’ notes in 1492 and 1499. Almadén cinnabar exploitation through the ages was two and a half times greater than at Idria and nearly four times greater than at Monte Amiata. Other smaller cinnabar mines that were in operation during the Roman period include Karaburun, İzmir, and Sızma (Konya province) in Turkey,25 Medjerda in Tunisia, Moschellandsberg in Germany,26 and Genepy (La Mure *Correspondence to: J. E. Spangenberg, Institute of Mineralogy and Geochemistry, University of Lausanne, Building Anthropole, 1015 Lausanne, Switzerland. E-mail: Jorge.Spangenberg@unil.ch y Present address: Max Planck Institute for Biogeochemistry, Hans-Knöll-Str. 10, 07745 Jena, Germany. 1 Published in ������� ��� ����� ��� ������������ ������� ������������������!��"�"��which should be cited to refer to this work. ht tp :// do c. re ro .c h region) in France.27 The exploitation history of these deposits is poorly known. The cinnabar ore was brought to Rome for processing; therefore, the cinnabar used in the wall painting of the Roman Empires may be of different origins. Sulfur has four stable isotopes, 32S, 33S, 34S, and 35S, with naturally occurring abundances on earth of 95.02, 0.75, 4.21, and 0.02%, respectively. The stable isotope composition of sulfur is reported in the delta (d) notation as the per mil (%) deviation of the isotope ratio relative to known standards: d ¼ [(Rsample – Rstandard)/Rstandard] � 1000, where R is the ratio of the heavy to light most abundant isotopes (34S/32S). The sulfur standard is the Vienna Cañón Diablo Troilite (VCDT). Sulfur isotope compositions have many different appli- cations in Earth Sciences with particular attention given to the isotopic variations among the different sulfur phases (sulfides and sulfates). The stable sulfur isotope ratio can be used to identify sources, mixing processes, and the fate of sulfur species in the environment, and particularly in deposits of metallic sulfides.28 Knowledge of the sulfur isotope composition of the potential sources allows their relative contribution to the sulfur at the final site to be assessed. The sulfur isotope composition of cinnabar in the pigments of the Roman frescoes discovered at the House of Diana (Crosseto, Italy) were measured and used in combination with OM, SEM and EMA data to obtain insight into the origin of the red pigment.13 Mazzochin et al.29 compared the isotopic composition of lead present in cinnabar of Roman wall paintings from the Xth Regio of the Roman Italy with that of samples from the mercury deposits at Almadén, Monte Amiata, and Idria. In this study, we explore the discriminating potential of the sulfur isotope composition for tracking the provenance of cinnabar present in Roman wall paintings from Aventicum (Avenches, Vaud, Switzerland), the most important city of central Switzerland during the Early Roman Empire (1st and 2nd centuries AD). The sulfur isotope composition of the red pigments was compared with that of cinnabar samples from major European mercury deposits. EXPERIMENTAL Eight fragments of painting from the collection of the Roman Museum of Avenches were selected for sulfur isotope study. The surface of the fragments was cleaned of visible foreign material with organic solvents-washed stainless steel twee- zers. Red painting samples were collected using a micro drill to avoid contamination with material not containing cinnabar. The cinnabar samples from the mercury deposits were obtained from collections of the Department of Geology and the Museum of Geology of the University of Lausanne. There were 13 mercury ore samples from Almadén (Spain), 24 from Idria (Slovenia), 9 from Monte Amiata (Italy), 2 from Moschellandsberg (Germany), and 2 from Genepy (France). The cinnabar samples were checked for impurities under a binocular microscope, and manually homogenized using an agate mortar and pestle. All archaeological pigment samples were analyzed by powder X-ray diffraction (XRD) using a Philips1 PW 1830 diffractometer (PANalytical, Almelo, The Netherlands) equipped with monochromated CuKa (l ¼ 1.54056 Å) X- radiation to determine the presence of different sulfur phases. The scan settings were 5–658 2u, 0.58 step size, 1.5-s count time per step. Sulfur isotope analyses were performed using a Carlo Erba 1108 elemental analyzer (EA, Fisons Instruments, Milan, Italy) connected to a Thermo Fisher (formerly ThermoQuest/Finnigan, Bremen, Germany) Delta S isotope ratio mass spectrometer that was operated in the continuous helium flow mode via a Thermo Fisher Conflo III split interface30. Aliquots of the sample and of the calibration standards (200 to 600mg) were weighed in tin cups (Säntis Analytical AG, Teufen, Switzerland). Vanadium pentoxide was added as an oxidation catalyst in an amount approxi- mately twice the weight of the sample. The tin cups of the samples and the calibration standards were closed, crushed to a small size and loaded into an AS 200 autosampler (Fisons Instruments). They were flash-com- busted sequentially under a stream of helium and oxygen at 10308C in a single oxidation-reduction quartz tube filled with high purity oxidizing (tungsten trioxide, WO3) and reducing (elemental Cu) agents, both from Säntis Analytical AG. Combustion-derived gases (SO2, H2O, CO2, N2) were first dried by passing them through a 10cm long column filled with anhydrous Mg(ClO4)2, and then directed through a 0.8m PTFE chromatographic column packed with Porapack 50–80mesh (Fisons Instruments) at 708C for the separation of SO2 which was isotopically analyzed by isotope ratio mass spectrometry (IRMS). Pure SO2 gas was inserted into the He carrier flow as pulses of reference gas. The reference SO2 gas was calibrated against the IAEA-S-1 sulfur isotope reference standard (Ag2S) with d 34S value of �0.3%.31 The overall analytical reproducibility of the EA- IRMS analyses, assessed by replicate analyses of three laboratory standards (synthetic cinnabar, with d34S value of þ15.5%; barium sulfate, þ12.5%; pyrite Ch, þ6.1%; pyrite E, �7.0%) and the Aventicum cinnabar samples, is better Table 1. Sulfur isotope composition of the cinnabar from Roman wall paintings in Aventicum Sample Provenance d 34S (%, VCDT) Averagea s K4605 Aventicum 1 þ10.5 (2) 0.15 K4665-1 Aventicum 2 þ10.4(2) 0.13 K4665-2 Aventicum 2 þ10.2(3) 0.26 K4665-3 Aventicum 2 þ9.7 (2) 0.10 K9510/46-1 Aventicum 3 þ9.6 (3) 0.18 K9510/46-2 Aventicum 3 þ10.9 (2) 0.27 KA4117-1 Aventicum 4 þ9.6 (2) 0.21 KA4117-2 Aventicum 4 þ8.9 (2) 0.16 K4687 Aventicum 5 þ10.7 (3) 0.25 K4686 Aventicum 6 þ10.6 (2) 0.17 K9915-1 Aventicum 7 þ9.2 (3) 0.28 K9915-2 Aventicum 7 þ8.7 (3) 0.31 þ9.9 � 0.7 (12)b a Number in parentheses stands for number of replicate analyses. b Number of samples. 2 ht tp :// do c. re ro .c h than �0.3% (1 SD). The accuracy of the d34S analyses was checked periodically by analyses of the international reference materials IAEA-S-1 and IAEA-S-2 silver sulfides (�0.3% and þ22.7 � 0.2%, respectively, values from IAEA- Catalogue and Documents) and NBS-123 sphalerite (þ17.09 � 0.31%, value from NIST-Catalogue and Docu- ments). The average sulfur isotope values for cinnabar in the Roman wall paintings and the mercury deposits were compared by means of t-tests using the SAS software (version 9.1, SAS Institute Inc., Cary, NC, USA)and MatLab1 software package (version 7.2, MathWorks Inc., Natick, MA, USA). RESULTS AND DISCUSSION The results of the XRD analyses have shown that the only sulfur-containing phase in the red painting samples from Aventicum was cinnabar. The sulfur isotope ratios and the standard deviation (SD) of the replicate measure- ments of the 12 cinnabar samples from the wall paintings recovered in Aventicun, Switzerland, are presented in Table 1. The d34S values range between þ8.7 and þ10.9% (average � 1 SD, þ9.9 � 0.7%). Table 2 contains the d 34S values of cinnabar ore from the Mediterranean region mercury deposits obtained in this study. A set of 47 sulfur isotope ratios for Almadém cinnabar was compiled from published data32–35 and the data obtained in this study. The unimodally distributed d34S values range from �1.6 to þ13.0% (þ6.6 � 3.7%, n ¼ 47) (Fig. 1). The mode peaks at about þ7% (median ¼ þ7.0%) and two smaller maxima appears near 0 and þ12%. For the Idria deposit, a set of 187 d34S values was compiled from published data36–39 and data from this study. The distribution of these d34S values is summarized as histogram in Fig. 2. The d34S values for cinnabar samples range from �19.1 to þ22.8% (þ2.2 � 6.0%), with an unimodal distribution peaking at about þ3% (median ¼ þ2.4%). The data sets from Almadén and Idria (Figs. 1 and 2) represent the entire spectrum of syngenetic (e.g., formed contemporaneously with the sedimentary host rock) and epigenetic (e.g., formed by post-depositional processes) cinnabar-containing rock bodies. The important Table 2. Sulfur isotope data (d34S in % VCDT) of cinnabar from mercury deposits obtained in this study Almadén (Spain) Idria (Slovenia) Monte Amiata (Italy) Sample d34S Sample d34S Sample d34S MGL25234 þ6.6 MGL51355 þ8.2 MGL-Bickel �1.6 MGL40128-1 þ6.2 MGL51357 þ5.9 MGL-Bickel �1.7 MGL40128-2 þ5.4 MGL51357 þ5.1 MGL-SGAM1 þ2.3 MGL25229 þ6.3 MGL51361 þ8.5 MGL-SGAM2 þ2.4 MGL14308-1 þ8.8 MGL51361 þ9.1 MGL-NM-1 �5.0 MGL14308-2 þ8.0 MGL51366 þ3.1 MGL-ICMA �0.8 MGL51356 þ0.6 MGL30392 þ6.0 MGL-IMP þ0.1 MGL51349 þ4.6 MGL30392 þ7.7 MGL-NM-2 �7.6 MGL34986-1 þ4.4 MGL51478 þ1.2 MGL-SGAM3 þ0.9 MGL34986-2 þ5.1 MGL51478 þ1.5 �1.0 �3.2 MGL34986-3 þ4.6 MGL51478 þ6.1 MGL34986-4 þ5.4 MGL51478 þ7.0 MGL34986-5 þ7.0 MGL51639 þ0.0 Moschellandsberg (Germany) þ5.6 � 2.0 MGL51639 �0.9 MGL3499-1 �19.6 MGL52647 þ8.9 MGL3499-2 �15.6 MGL34995 þ1.3 �17.6 �2.8 MGL34995 þ0.5 MGL34995 þ4.1 MGL34989 þ0.0 Genepy (France) MGL34989 �0.5 MGL58789 �2 2 MGL34976 þ7.1 1 Aupt �3.5 MGL34996 þ7.6 �2.9 �0.9 MGL34981 þ1.0 JSID26 þ3.8 þ4.3 � 3.5 Figure 1. Frequency distribution of d34S values for cinnabar from Almadén deposit, Spain. Data from Rytuba et al.,32 Saupé and Arnold, 33 Higueras et al., 34 Jébrak et al., 35 and this study. 3 ht tp :// do c. re ro .c h amount of new published sulfur isotope data for cinnabar from Almadén and Idria motivated a reevaluation of the d 34S values of cinnabar from frescoes in the House of Diana in Cosa, presented by Damiani et al.13 We used box plot charts, displaying the ranges, 25th and 75th percentiles (lower and upper quartiles; Q1, Q3), outliers, and median (50th percentile, Q2) to show the spread of d34S values between the cinnabar of Roman wall paintings from Aventicum (Switzerland) and Cosa (Italy) and the Hg ore deposits (Fig. 3). The statistical significance of the difference between the groups of d34S values was determined using a two-tailed Student’s t-test adjusted after checking by Fisher test whether two samples have equal or different variances (homo- or heteroscedasticity, Table 3). The spread of the cinnabar d34S values of the Roman wall paintings from Aventicum are similar to those from Cosa, and statistically different from the d34S values of cinnabar from the Hg deposits (Fig. 3, Table 3). The average d34S values for Aventicum (þ9.9 � 0.7%) and Cosa (þ11.8 � 0.3%) are close to those of Almadén (þ6.6 � 3.7%) and Idrija (þ2.2 � 6.0%), and statistically different (p<0.05) to the other Hg deposits (Monte Amiata, Moschellandsberg, Genepy, Izmir) (Table 3). The beginning of underground mining only in 1490 and the absence of superficial cinnabar exposures in Idria indicate Almadén as the source of cinnabar used for the Aventicum wall paintings. For any signature to be meaningful, its value must be uniform over the dimensions of the studied artifacts and, ideally, show only small variations on orebody and mining district scale. Detailed studies carried out in the Almadén district by Saupé and Arnold33 showed the variations in d34S within mercury ore blocks to be less than 0.5% and less than 2% Table 3. Statistical t-test comparing the mean of the d 34 S values of the cinnabar from Roman wall paintings and cinnabar from mercury ore deposits a a n b F-testc P-valued Accepted He Aventicum/Cosa (House of Diana) 0.05; 0.001 13 0.2131 0.000014 (0.00086) HI; HI (HI; HI) Aventicum/Almadén 0.05; 0.001 57 7.32E-08 0.0033 HI; HO Aventicum/Idria 0.05 197 5.18E-08 3.64E-31 HI Aventicum/Monte Amiata 0.05 20 4.00E-05 1.21E-06 HI Aventicum/Moschellandsberg 0.05; 0.01 12 0.0057 0.0441(3.62E-13) HI; HO (HI; HI) Aventicum/Genepy 0.05; 0.01 12 0.5406 0.0168 (4.43E-11) HI; HO (HI; HI) Aventicum/Izmir 0.05 23 0.0142 4.36E-18 (2.65E-16) HI (HI) Cosa (House of Diana)/Almadén 0.05; 0.01 48 0.0092 2.49E-12 (0.0192) HI; HI (HI; HO) Cosa (House of Diana)/Idria 0.05; 0.001 188 0.0035 7.59E-40 (0.0062) HI; HI (HI; HO) Cosa (House of Diana)/Monte Amiata 0.05; 0.001 11 0.0122 3.86E-07 (0.000034) HI; HI (HI; HI) Cosa (House of Diana)/Moschellandsberg 0.05; 0.01 3 0.0155 0.0424 (0.000294) HI; HO (HI; HI) Cosa (House of Diana)/Genepy 0.05; 0.01 3 0.1448 0.0202 (0.000088) HI; HO (HI; HI) Cosa (House of Diana)/Izmir 0.05; 0.001 5 0.3011 3.10E-06(5.36E-10) HI; HI (HI; HI) a a ¼ significance level. b n ¼ degree of freedom. c Comparison of variance by Fisher test; F>1: equal variance (homoscedasticity); F<1: unequal variance (heteroscedasticity). d Probability; for F values relatively close to 1 a second t test was performed assuming F>1 (homoscedasticity) and the P-values given in parentheses. e Hypothesis: HO ¼ equal mean, HI ¼ different mean; For P>a HO is accepted. Figure 3. Box plot of d34S values for the cinnabar from the Roman paintings at Aventicum (Switzerland) and Cosa (Italy)13 and European Hg deposits, displaying the ranges, 25th (1st quartile, Q1) and 75th (3rd quartile, Q3) percentiles, median, and outliers. Figure 2. Frequency distribution of d34S values for cinnabar from Idria deposit, Slovenia. Data from Drovenik et al.,36 Drovenik et al.,37 Lavrič and Spangenberg,38 Palinkaš et al.,39 and this study. 4 ht tp :// do c. re ro .c h within an outcrop of most orebodies. However, the d 34S average values between cinnabar orebodies in Almadén district vary between þ0.2 and þ13.6%. Thus, the slight difference between the d34S average values from Aventicum and from Cosa could be explained by cinnabar coming from different Hg-mineralized bodies in the Almadén mine. An additional possible source of heterogeneity is the fact that the cinnabar ore was brought to Rome for processing. The average sulfur isotope composition of the two groups of cinnabar from Roman wall paintings (Aventicum in Switzerland, Cosa in Italy) cannot be statistically differ- entiated. The identification of not local (exotic) sources for cinnabar found at Aventicum adds substantially to our understanding of regional interaction and trade during the Roman period. The results presented in this study indicate that the sulfur isotope composition provides further insights on the origin and authenticity of the red pigment produced from cinnabar in archaeological paintings. This approach may have important implications for archaeological, restoration and forensic studies. Very small amounts of sulfide are needed (down to 100 mg, 1mmol) for sulfur isotope analysis by EA/IRMS, which is relatively fast and inexpensive, and permits a high throughput of samples. Acknowledgements We thank Anne Hochuli-Gysel, Director of the Musée Romain d’Avenches, and Michel Fuchs from the Sevice ArchéologiqueCantonaldeFribourg, forthekindpermission to take samples of Roman paintings from the museum collec- tion. This study was supported by the Swiss National Science Foundation and the University of Lausanne. REFERENCES 1. Delamare F, Darque-Ceretti E, Dietrich JE. Revue d’Arché- ométrie 1982; 6: 71. 2. Frizot M. Revue d’Archéométrie 1982; 6: 47. 3. Barbet A. Pigments et colorants de l’antiquite et duMoyen Age. Colloque International du CNRS, Laboratoire de Recherche de Musées de France: Paris, 1990; 255–271. 4. Guichard V, Guineau B. Pigments et colorants de l’antiquité et duMoyenAge. Colloque International du CNRS, Laboratoire de Recherche de Musées de France: Paris, 1990; 245–254. 5. Bèarat H. Archaeometry 1996; 38: 81. 6. Doménech-Carbo MI, Bosch-Reig F, Gimeno-Adelantadob JV, Periz-Martinez V. Anal. Chim. Acta 1996; 330: 207. 7. 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work_tql6gkenbrg5jaosdmbnbz2g24	----	Reproductive performance of dwarf breeder pullets fed yellow peas (Pisum sativum L. var. Miranda) AN ABSTRACT OF THE THESIS OF Donald R. Kill for the degree of Master of Science in Poultry Science presented on December 15, 1989 Title: Reproductive Performance of Dwarf Breeder Pullets Fed Yellow Peas (Pisum sativum L. var. Miranda) Redacted for privacy Abstract approved: ThomaS F. Savage, Ph.D. An experiment was conducted to determine the suitability of a new variety of yellow pea (Pisum sativum L., var. Miranda) as a feed ingredient in broiler breeder diets. Two-hundred twenty-five I S A Vedette dwarf broiler breeder pullets were fed either a corn-soy (CS) or corn-pea (CP) diet from day of age to 46 weeks of age . Diets were formulated to be isonitrogenous and isocaloric and were supplemented with D,L-methionine. Treatment groups were reared in adjacent floor pens from day of age to 22 WOA. Following selection based upon uniformity of body weight, Thirty-two pullets from each dietary treatment were placed in individual cages and photostimulated. With the initiation of lay, the following variables were measured: hen-day egg production, egg weight, fertility and hatchability of fertilized eggs. Body weight gain was controlled by restricted feeding, as had been done prior to initiation of lay. No differences were observed (p>.05) in the reproductive parameters measured. Mortality was negligible in either treatment group. This work demonstrates that the Miranda variety of field pea, which can be grown in the Willamette Valley, can be used as an alternative feed ingredient for dwarf broiler breeder pullets. Reproductive Performance of Dwarf Breeder Pullets Fed Yellow Peas (Pisum sativum L. var. Miranda) By Donald R. Kill A THESIS Submitted to Oregon State University in partial fulfillment of the requirements for the degree of Master of Science Completed December 15, 1989 Commencement June, 1990 APPROVED: Redacted for privacy Professor of Poultry Science in Charge of Major Redacted for privacy Interim Headjof Department of Poultry Science Redacted for privacy Dean of Grad Schoold Date thesis is presented December 15, 1989 To Jill: My kindered spirit There has been no period in my life more fruitful and at the same time more painful. We have shared the pain and we will share the fruit. ACKNOWLEDGMENTS I wish to thank Dr. Thomas F. Savage for his guidance and meticulous attention to the writing of this thesis. I will not forget the kindness of Dr. David Froman and his wife Beth and their personal attention, emotional support, and many family meals. Thank you. I would also like to thank John Kirby who selflessly gave of his time in helping me work out the statistical portion of this thesis. Special thanks goes to Edie Gestrin who typed and processed this thesis. I would also like to thank Todd, Edie's husband, for his support. Sincere gratitude to International Seeds Inc., Halsey, Oregon, and ISA Vedette, Gainesville, Georgia for gratuitously providing the peas and dwarf breeder pullets, respectively. And last, thank you Mikie for keeping Jill company while I was working on my degree. TABLE OF CONTENTS CHAPTER Page I. INTRODUCTION 1 II. REVIEW OF LITERATURE 3 A. History 3 B. Taxonomy 3 C. Chemical Composition of Peas 4 1. Protein 4 2. Carbohydrates 5 3. Fats 5 4. Vitamins and Minerals 5 5. Antinutritional Factors 6 a. Protease Inhibitors 6 b. Hemagglutinins (Lectins) 7 c. Tannins 8 D. Nutritional Evaluation of Peas in Poultry 8 1. Growing Chicks and Broilers 8 2. Layers 11 3. Turkeys 12 E. Dwarf (dw) Broiler Breeders 13 III. REPRODUCTIVE PERFORMANCE OF DWARF BREEDER PULLETS FED YELLOW PEAS (PISUM SATIVUM L. VAR. MIRANDA) 15 Abstract 16 Introduction 17 Materials and Methods 19 Results and Discussion 21 References 24 IV. GENERAL DISCUSSION 25 V. BIBLIOGRAPHY 27 VI. APPENDICES 32 1. The Effects of Corn-Soy or Corn-Pea Diets on Dwarf Broiler Breeder Pullet Mean Egg Weight Between 25 and 45 Weeks of Age 32 2. Comparison of Corn-Soy and Corn-Pea Diets on Egg Production, Egg Weight, Fertility and Hatchability of Fertilized Eggs in Dwarf Broiler Breeder Pullets Between 22 and 45 Weeks of Age 34 LIST OF TABLES Table Page 111.2 Al . 1 Composition of the dwarf breeder pullet diets from 0-46 weeks of age (WOA) The effects of corn-soy and corn-pea diets on dwarf broiler breeder pullet body weight gain, hen-day egg production, mean egg weight, fertility and hatchability of fertilized eggs Egg weights from dwarf broiler breeder pullets fed either a corn-soy or corn- pea diet A2.1 Analysis of variance for egg weights at 32, 36, 40, and 44 weeks of age of dwarf broiler breeder pullets fed either a corn-soy or corn-pea diet A2.2 Analysis of variance for hen-day egg production of dwarf broiler breeder pullets between 25 and 45 weeks of age fed either a corn-soy or corn-pea diet A2.3 Analysis of variance for fertility of dwarf broiler breeder pullets measured at 35, 37, 41 and 45 weeks of age fed either a corn-soy or corn-pea diet A2.4 Analysis of variance for hatchability of fertile eggs measured at 35, 37, 41, and 45 weeks of age 22 23 33 35 36 37 38 REPRODUCTIVE PERFORMANCE OF DWARF BREEDER PULLETS FED YELLOW PEAS (PISUM SATIVUM L. VAR. MIRANDA) CHAPTER I INTRODUCTION Development of alternative grain and feed sources for use in poultry diets is essential to the Pacific Northwest because the region lacks the climatic condition necessary for growing corn and soybeans, the two primary feed ingredients used in poultry diets. Choosing the correct alternative feed ingredient depends upon availability, palatability, acceptability, industry testing and ultimately economics. The following are some of the alternative feeds that have been cited recently in the journal, Poultry Science. Hatchery Waste Citrus Pulp Maize Bran Sea Weed Citrinin Hog Hair Meal Lactifern Sprouted Barley Rice Bran Sorghum Cottonseed Meal Activated Sludge Earthworm Coke Protein Shark By-Products Corn Fermentation Soluables Shrimp By-Products Leaf Protein of Hardwood Trees Leaf Protein of Pulse Crops (Alternative feedstuffs continued) Sunflower Meal Blood Waste Cassava Leaf Meal Rapeseed Meal Wheat Dried Poultry Waste Banana Chips Pigeon Peas Ammoniated Mustard Meal Brazilian Elochea Canola Meal Catfish By- Products Meal Jimson Weed Triticale Safflower Palm Kernal Cake Poultry Offal Meal Canola Meal 2 Some of these alternative feed ingredients are traditional components of animal or human diets while others are food industry by-products. The common pea (Pisum sativum) is a traditional human food that has had limited use in animal agriculture. Pea production is well-suited to the climate of the Pacific Northwest of the United States and shows great potential as an alternative feed for laying hens and turkeys. Therefore, the purpose of this research is to test the efficacy of feeding the Miranda variety of field pea to dwarf broiler breeder pullets. 3 CHAPTER II REVIEW OF LITERATURE A. HISTORY The origin of dry peas can be traced to Central Asia where estimated dates of the first domestication vary from 9000-5000 B.C. (U.S. Dry Pea and Lentil Council, 1988). Peas were cultivated by the ancient Greek and Roman cultures, which introduced the crop throughout their empires. The famous voyage of Christopher Columbus in 1492 brought peas to the North American continent (Makasheva, 1983). It is believed that peas were originally eaten in the mature or dry form but in recent centuries the immature form has achieved great status (Janick et al., 1974). B. TAXONOMY Pisum sativum, a diploid (2n = 14), is the familiar "Green Pea", "Common Pea", or "Garden Pea". Pisum sativum, belongs taxonomically to the family Leguminosae, subfamily Pipilionoides, and tribe Vicieae (Kupicha, 1981). There are many species and subspecies based on phenotypic differences that are mentioned in the literature. The current trend is to view Pisum as a monospecific group because of its mutual crossability and fertility (U.S.D.A., 1983). 4 C. CHEMICAL COMPOSITION OF PEAS The composition of peas is varied and can be affected by agronomic practices. Peas contain between 9 and 15% (w/w) water, 18 and 35% (w/w) protein, 24 and 60% (w/w) carbohydrate, 0.6 and 1.5% (w/w) lipids, 2 and 10% (w/w) cellulose, and 2 to 4% (w/w) minerals (Makasheva, 1983). Soil nitrogen, moisture conditions, cultivation practices, and cultivar differences account for the wide range in chemical make-up (Ali-Khan and Young, 1973; McLean et al., 1974). 1. Protein Peas, like other legumes, have a symbiotic relationship with nitrogen fixing bacteria. Because of this, peas are able to accumulate two to three times more protein than other cereals. Variations in nitrogen, protein, and the amino acid profile of peas have been attributed to cultivar or genotype (Bajaj et al., 1971; Ali-Khan and Youngs, 1973; Pandey and Gritton, 1975; Holt and Sosulski, 1979), environment or location (Holt and Soluski, 1979), cultivar x location interaction (Ali-Khans and Youngs (1973), maturity of the plant (Pandey and Gritton, 1975), presence or absence of nitrogen fixing bacteria (McLean et al., 1974), and nitrogen and phosphorus fertilization (Sosulski et al., 1974). Bajaj et al. (1971) reported no correlation between protein content and protein quality. Holt and Soluski (1979) as well as Evans and 5 Boulter (1980) reported a negative correlation between sulfur amino acid content and pea seed protein. In determining the protein content of peas, Holt and Soluski (1979) recommended using a 5.25 nitrogen to protein (N:P) factor rather than the normally accepted 6.25 N:P ratio. Pandy and Gritton (1975) state that about 10% of N is non- protein nitrogen and that the Kjeldahl method of estimating protein is not applicable for peas. 2. Carbohydrates Pea seeds have a total carbohydrate content that ranges between 60 and 67% (Cerning-Beroard and Filiatre, 1976). Starches comprise 20 to 50% of the carbohydrates, sugars another 4 to 10% with hemicellulose, cellulose, pectins and pentoses comprising the remainder (Makasheva, 1983). The principal starch constituents in peas are in the form of amylopectin or amylose (Baily and Boulter, 1971; Makasheva, 1983). Verbascose, starchyose, sucrose, and raffinose are predominant sugars with arabinose being present in certain pea varieties (Cerning-Beroard and Filiatre, 1976). 3. Fat Peas contain from 1 to 1.3% fat (U.S. Dry Pea and Lentil Council, 1988). Triglycerides represent approximately 90% of the total lipids and linoleic acid constitutes 50% of the total fatty acids (Grosjean, 1985). 4. Vitamins and Minerals The National Research Council (1984) itemized the 6 vitamin content for field peas (Pisum sativum) as the following: Vitamin Concentration (mg. per kg) Biotin 0.18 Folic Acid 0.40 Pantothenic Acid 10.00 Riboflavin 2.30 Choline 642.00 Niacin 34.00 Pyridoxine 1.00 Thiamin 7.50 Tocopherol 3.00 Phosphorus and calcium constitute 79% of the total minerals in dry peas, with iron, sulfur, magnesium, copper, silicon, chlorine, sodium, and zinc comprising the bulk of the remaining 21%. 5. Antinutritional Factors a. Protease Inhibitors Legumes and all common cereal grains contain trypsin inhibitors (Cheeke and Shull, 1985). The role of these inhibitors in the plant may be to restrict the activity of insect and bacterial proteases. Unfortunately, these trypsin inhibitors can affect animal performance when raw beans are included in diets. The effect of trypsin inhibitors on 7 monogastric nutrition is well documented. The antinutritional effect is limited to raw peas, i.e. heat treated peas have no adverse effect. Field peas (Pisum sativum) have been reported to contain one-tenth of the trypsin inhibitory activity (TIA) of soybeans which contain from 2.5 to 13 TIA per gram (Grosjean, 1985; Weder, 1981). Chymotrypsin inhibitors have also been found in field peas (Pisum sativum). The inhibitory activity ranges from 8 to 15 chymotrypsin-inhibiting activity (CTIA) per gram. b. Hemaqglutinins (Lectins) Lectins are proteins or glycoproteins present in plants and invertebrate animals. These molecules bind specifically to glycoproteins or other carbohydrate groups on cell surfaces (Lehninger, 1982, Bohinski, 1983). The presence of lectins in animal diets can cause various adverse effects such as reduced growth, diarrhea, decreased nutrient absorption and an increased incidence of bacterial infections (Cheeke and Shull, 1985). Most legume seeds, including peas (Pisum sativum), contain heat-labile lectins. Lectins are capable of agglutinating a variety of cell types (Jaffe, 1980; Toms, 1981). This ability is expressed as hemagglutinating activity (HU) per gram of seed or plant material. Activity measurements are standardized through the use of rabbit erythrocytes. In green peas (Pisum sativum), the HU activity has been measured to be about 80 units per gram while beans such as Phaseolus vulgaris contain between 8 8000 and 155,000 HU (de Muelenaere, 1965). Davidson (1980) found that hemagglutinin activity is low in peas as compared to kidney beans and that dry heating of peas for 50 seconds at 165 C lowered the HU activity further. In a subsequent report, Davidson (1981) noted that soaking peas (Pisum arvense) prior to boiling did not destroy the HU activity. c. Tannins Tannins are another plant substance that have the ability to precipitate digested proteins, bind with digestive enzymes, which inhibits their action, and have an astringent action upon mucous membranes. Such effects can have adverse nutritional consequences (Cheeke and Shull, 1985). Peas contain between .06 and .35% tannins depending on the variety (Griffiths, 1983). The quantitative effects of pea tannins in poultry diets have not been demonstrated conclusively. D. NUTRITIONAL EVALUATION OF PEAS IN POULTRY 1. Growing Chicks and Broilers Various studies have been done describing the performance of chickens fed diets containing field peas. Petersen et al. (1944) concluded that Alaska field peas, when fed to growing chicks and used as the sole source of protein, were unable to support chick growth because the pea diets were deficient in methionine. Subsequent studies have confirmed these findings (Bolin et al., 1946; Moran et al., 1968; Goatcher and McGinnis, 1972; Reddy et al. 1979). Petersen et al. (1944) established the level of supplemental methionine necessary for 9 chick growth to be .25% (w/w). Bolin et al. (1946) fed various protein supplements in an effort to complement the protein quality of ground Alaskan field peas. Casein, fish meal, dried milk, rendering plant meat meal, packing plant meat meal, oats, wheat, alfalfa, and corn all failed to support optimum growth. An increased response in growth was observed with the addition of .25% methionine to any diet. Kienholz et al. (1962) fed a diet containing 93.4% Alaskan peas (Pisum sativum) by weight and concluded that autoclaving peas with steam improved the growth of chicks when compared to diets containing raw peas. The addition of 56, 280, and 560 ppm zinc to the pea diets also improved the growth of chicks fed the non-autoclaved peas. These researchers concluded that peas contained two antinutritional agents inactivated by steam autoclaving. They suspected that one of these factors interfered with zinc utilization. Moran et al. (1968) used dry field peas (Pisum sativum) as the sole source of protein in 22.5% crude protein starter diets. They noted that raw, autoclaved and steam-pelleted field peas supplemented with methionine neither supported growth nor feed utilization as well as the control soybean diet when fed to chicks from one to three weeks of age. Autoclaving with dry heat or steam pelleting of peas improved the overall digestibility and nitrogen to protein utilization; however, dry heating reduced the pea's metabolizable energy. Moran et al. (1968) concluded that the use of peas in broiler 10 diets, regardless of treatment, should be restricted to levels of 35% or less. Goatcher and McGinnis (1972) significantly improved growth when antibiotics (50 ppm penicillin) were added to diets containing 53.5% raw ground Alaskan peas (Pisum sativum) with supplemental methionine. The improved growth was comparable to a mixed protein control diet. The addition of either methionine or penicillin to the pea diets separately, failed to improve growth. Also, neither total protein efficiency nor feed to gain ratio were influenced by the penicillin. Goatcher and McGinnis (1972) concluded that antibiotics either improved digestibility (absorption of nutrients by altering populations of intestinal microorganisms) or that the antibiotic inhibited an enzyme which may have been involved in growth inhibition. Reddy et al. (1979) evaluated forty-four lines of raw peas in chick diets. Three lines of peas had high concentrations of methionine as determined by chemical analysis but did not significantly improve chick growth. Supplementing the diets with .2% (w/w) D,L-methionine improved growth and the protein efficiency ratio in all lines of peas. In fact some lines of peas, when supplemented with methionine, resulted in chick performance comparable to those fed from soybean meal. Reddy et al. (1979) concluded that those lines of peas that yielded poor performance may have contained antinutritional agents or unavailable protein. 11 Kulkarni (1987) fed broiler chicks diets containing raw and autoclaved field peas (Pisum sativum L. var. Miranda) with and without supplemental methionine. Diets containing 25% peas did not affect performance; however, when diets contained 50% unsupplemented peas, depressed growth was observed. When these diets were supplemented with methionine or choline, equivalent performance to corn-soy diets was achieved. Autoclaving peas had no effect on broiler growth. 2. Layers Moran et al. (1968) fed raw and steam-pelleted field peas (Pisum sativum) to laying hens. Peas were incorporated at 15 and 30% of the diets and were supplemented with 0.05% D,L- methionine. Egg production and egg weights were unaffected by treatment while feed utilization was slightly lower. Steam- pelleting improved feed utilization at both dietary levels of peas evaluated. Lindgren (1975) used three different varieties of dry cooked peas (Pisum sativum) in layer rations and found that egg production was not affected. However, Lindgren (1975) observed a negative correlation between tannin content of the pea variety and protein digestibility. Davidson (1980) fed field peas (Pisum sativum) to laying hens, these peas were either raw or were dry heated with infrared radiation. Diets containing raw peas depressed egg production by one-half when compared with a fishmeal control diet. Heating or adding methionine to the raw pea diet 12 increased egg production. However, only when peas were heated and methionine added was full egg production achieved. Egg weight was improved with the addition of methionine to the raw pea diet but was less than that observed with the control diet. Heating the peas had no effect on egg weight. Davidson et al. (1981) fed forage peas (Pisum arvense) to laying hens. These peas were either raw or soaked and boiled. Davidson (1981) found forage peas to be low in methionine, like field peas. Even though supplemental methionine improved the performance of layers fed raw peas, performance was poorer than that observed with a fishmeal control diet. Heat treatment of peas neither affected egg weight nor egg production. Therefore, Davidson et al. (1981) inferred the presence of an heat stable antinutritional factor. Ivusic (1989) demonstrated that field peas (Pisum sativum L. var. Miranda) could replace up to 100% of the soybean meal protein in practical laying rations without affecting performance. 3. Turkeys Savage and Nakaue (1987) evaluated the reproductive performance of turkey breeder hens fed a corn-yellow pea diet containing the Miranda variety of field pea (Pisum sativum L.). These researchers showed that 100% of the soybean meal in the diet could be replaced by field peas with no adverse effects on reproductive performance. Hen day egg production and feed utilization were significantly (P<.05) improved for 13 hens fed the pea diet. Savage et al. (1986) fed the Miranda field pea to market turkeys at 25 and 55% of starter and finisher diets, respectively, and observed no detrimental effect on growth, feed utilization, or cooked meat quality. E. DWARF (dw) BROILER BREEDERS The sex-linked dwarf (dw) gene in dwarf broiler breeder pullet is pleiotropic to many morphological and physiological characters. For example the dwarf gene affects skeletal development by restricting the growth of long bones (Hutt, 1959) and reduces body weight. Mature breeder pullets are approximately 70% of the size of the standard broiler breeder pullet. This difference in size provides the potential for reducing the cost of producing broiler hatching eggs because of increased feed efficiency (Bernier and Arscott, 1971; Waldroup and Hazen, 1976). Dwarf breeder pullets have also been shown to perform well in cages and caged layers may be artificially inseminated (Strain and Piloski, 1975; Lin et al., 1979; Leeson and Summers, 1985). While artificial insemination is labor intensive, it affords the exclusive use of select sires. A limitation of the dwarf gene in breeder pullets is the reduction of egg size and resulting small chick at hatch (Whiting and Pesti, 1983). The influence of the initial low chick weight on growth rate of the fowl is well documented. However, when egg weight is expressed as a percentage of body 14 weight, dwarfs lay larger eggs than their normal counterparts (Jaap, 1971; Polkinghorne and Harvey 1980; Proudfoot, 1982; Smith, 1984). The dietary requirements and management of the dwarf breeder pullet are inconclusive. Typically, the practice of restricting nutrient intake of broiler breeder hens begins at 14 days of age. A similar management practice cannot be applied to the dwarf broiler breeder pullet. Leclercq and Blum (1971, 1975) demonstrated that the reduced performance induced by early feed restriction is tied to the dw gene and recommended that feed restriction of dwarf broilers be delayed. After six weeks of age the dw pullets can be feed restricted as much as DW hens. During the laying period, dw pullets consume 10-36% less feed per dozen eggs. Apart from egg size, reproductive performance appears to be unaffected by feed restriction. 15 CHAPTER III REPRODUCTIVE PERFORMANCE OF DWARF BREEDER PULLETS FED YELLOW PEAS (PISUM SATIVUM L. VAR. MIRANDA)1 D. R. KILL AND T. F. SAVAGE DEPARTMENT OF POULTRY SCIENCE OREGON STATE UNIVERSITY CORVALLIS, OREGON 97331-3402 1 Research done in partial fulfillment of the requirements for the degree of the Master of Science, Oregon State University, Corvallis, Oregon 97331-3402. 16 ABSTRACT An experiment was conducted to determine the suitability of a new variety of yellow pea (Pisum sativum L., var. Miranda) as a feed ingredient for dwarf broiler breeder pullets. Two-hundred twenty-five I S A Vedette dwarf broiler breeder pullets were fed either corn-soy (CS) or corn-pea (CP) diets from day of age to 46 weeks of age. Diets were isonitrogenous, isocaloric and supplemented with D,L- methionine. Treatment groups were reared in adjacent floor pens from day of age to 22 weeks of age. At this age 32 pullets from each dietary treatment were selected, based on uniformity of body weight and placed in individual cages. Pullets were photostimulated by increasing the daily photoperiod from 8 to 14 hours of light. Following initiation of lay, the following variables were measured: hen-day egg production, egg weight, fertility and hatchability of fertilized eggs. Body weight gain was controlled by restricted feeding as had been done prior to the initiation of lay. No differences were observed (p>.05) between the two groups for the reproductive variables measured. Mortality was negligible in either treatment group. This work demonstrates that the Miranda variety of field pea, which can be grown in the Pacific Northwest of the United States, can be used as an alternative feed ingredient for dwarf broiler breeder pullets. 17 INTRODUCTION Poultry production in the Pacific Northwest requires its principal feed components, corn and soybean meal, to be transported from the Midwest. Consequently, production costs due to feed are greater in the Pacific Northwest. Development of locally grown alternative feeds could reduce feed costs, as well as regional dependency on imported grains. The yellow pea Pisum sativum L. also known as the field pea, can be grown in the Pacific Northwest. However, the literature regarding inclusion of peas in poultry diets is both limited and contradictory. Peterson et al. (1944) fed leghorn cockerels a diet that contained 54.5% (w/w) raw ground peas and was supplemented with methionine (RGP + M) Growth of these chicks was comparable to that of chicks fed an unspecified control diet. In contrast, Moran et al. (1968) fed broiler starter diets containing 35 and 65% RGP + M and observed a depressed rate of growth and reduced feed:gain ratio when compared to a corn-soy control diet. In the same report, the authors formulated egg type hen rations containing 15 and 30% RGP + M and noted that egg production and egg weights were not different from those of hens fed a soybean meal control diet. Anderson (1979) fed egg-type hens a 30% pea meal diet supplemented with methionine and observed similar results. However, the pea diet caused decreased shell thickness. 18 A promising new cultivar of field pea (Pisum sativum L. Variety Miranda) has been introduced into the Pacific Northwest. Savage et al. (1986) demonstrated satisfactory growth rate and feed utilization in market turkeys fed diets containing 25 to 55% RGP + M. Ivusic (1989) concluded that the Miranda variety of field pea can replace 100% of the soybean meal protein in layer rations without affecting performance. This report describes an experiment in which dwarf broiler breeder pullets were fed a diet containing the Miranda variety of yellow pea and pullet reproductive performance was determined. 19 MATERIALS AND METHODS Two hundred and twenty five day old I S A Vedette dwarf breeder pullets were wing banded and randomly assigned to one of two dietary treatment groups, a conventional corn-soy (CS) control or corn-yellow pea (CP). Both CS and CP diets were isonitrogenous, isocaloric, and prepared to the breeders recommendations,1 (Table III. 1). The CP diets were prepared by grinding whole peas prior to mixing with other feed ingredients. Treatment groups were reared in adjacent pens containing wood shavings for litter. The daily photoperiod from day-old to 22 weeks of age (WOA) was 8L:16D. All birds were weighed weekly, mean body weights compared to the breeder's recommended standards, and the feed for the subsequent ages adjusted per the breeder's recommendations. The feeding program consisted of a 17% crude protein starter diet fed ad libitum for the first 5 weeks. This diet was then provided on an every-other-day basis until pullets were 8 weeks of age. From 9 to 27 WOA, all birds were fed 15.4% crude protein developer rations. At 22 WOA, 32 pullets were selected from each treatment on the basis of comparable body weights. These birds were housed in individual cages (30.5 x 45.7 x 35.6 cm) within a windowless, positive pressure environmentally controlled house. The pullets were shifted to a 14L:10D daily 1 1 S A Vedette Management Program, 1985 20 photoperiod. Water was provided during eight 15-minute periods at 2 hour intervals during the light period. Pullets were kept on the every-other-day feeding schedule and were weighed biweekly. At 25 WOA, feed was provided on a daily basis. At 28 WOA, dietary protein was increased to 16% and maintained at this level until the termination of the study (46 WOA). Individual egg production was recorded daily. Egg weights were determined at 32, 36, 40 and 44 WOA. Hens were artificially inseminated at 35, 37, 41 and 45 WOA with 0.05 ml of pooled broiler breeder male semen. Eggs were collected for 4 consecutive days after the second day following insemination. Hen-day egg production, egg weight, fertility, and hatchability of fertilized eggs, were analyzed by analysis of variance (Steel and Torrie, 1980). 21 RESULTS AND DISCUSSION The effect of feeding a diet containing yellow peas on dwarf broiler breeder performance is shown in Table 111.2. No treatment effects (p>.05) were observed in hen-day egg production, egg weight, fertility or hatchability of fertilized eggs. Therefore the Miranda field pea appears to be a suitable substitute for soybean meal as a protein source in balanced rations fed to dwarf broiler breeder pullets. The results of this study complement the work of Ivusic (1989) as well as Savage and Nakaue (1987). These researchers demonstrated that diets containing yellow peas had no detrimental effects on the egg production traits of leghorns or turkey breeder hens, respectively. These findings are of special interest in that other varieties of field peas have been reported to have undetermined nutritional deficits, which have limited the utilization of such peas in poultry diets. It appears that the Miranda variety of yellow pea can adequately support egg production. Table 111.1 Composition of the dwarf breeder pullet diets from 0 to 46 weeks of age (WOA) Ingredients Starter(0-8 WOA) Developer(9-27 WOA) Breeder(28-46 WOA) CS C-YP CS C-YP CS C-YP Corn, yellow 46.10 49.00 30.80 61.21 12.40Yellow pea 85.00 60.00 66.09 Soybean meal, 47.5% CP 23.20 12.50 20.36 Barley, Pacific Coast 25.00 25.00 7.00 5.00 Alfalfa meal, dehy. 17% CP 2.50 2.50 2.50 2.50 Deflourinated phosphate 32% Ca; 18% P 2.12 1.90 .50 1.75 1.90 1.97Limestone flour .48 .55 .05 .60 3.25 3.39Oystershell flour 3.25 3.37 D,L Methionine, 98% .05 .40 .05 .25 .03 .28Salt, iodized .30 .25 .25 .25 .25 .25Vitamin premixl .20 .25 .15 .25 .20 .20Trace mineral premix2 .05 .05 .05 .05 .05 .05Safflower oil 1.00 Animal fat, stabilized 6.00 3.50 Meat and bone meal, 50% 5.00 Sand, silicate (#70 grade) 5.60 4.95 6.05 Calculated analysis Crude protein, % 17.7 18.0 15.4 15.4 16.2 15.9 Met. Energy, kcal/kg 2822 2833 2761 2763 2802 2798Calcium, % 1.00 .87 .86 .83 3.20 3.28 Available phosphorus, % .50 .45 .48 .42 .45 .47 Lysine, % .89 .93 .74 .72 .78 .78 Methionine, % .33 .46 .29 .35 .30 .36 Methionine + cystine, % .64 .70 .56 .57 .58 .58 2 Supplied per kilogram of C-S starter feed: vitamin A, 3300 IU; vitamin D, 1100 ICU; riboflavin, 3.3 mg; d-pantothenic acid, 5.5 mg; niacin, 22 mg; choline, 191 mg; vitamin B12, 5.5 mcg; vitamin E, 1.1 IU; vitamin K, .55 mg; folacin, .15 mg. Supplies per kilogram of feed: calcium, 97.5 mg; manganese, 60 mg; iron, 20 mg; iodine, 1.2 mg; zinc, 27.5 mg; cobalt, .02 mg; copper, 2 mg. blackp Text Box Actually p.22 Table 111.2 The effects of corn-soy and corn-pea diets on dwarf broiler breeder pullet body weight gain, hen day egg production, mean egg weight, fertility, and hatchability of fertilized eggsl DIETARY TREATMENT BODY WEIGHT2 GAIN HEN DAY EGG PRODUCTIONS EGG WEIGHT4 FERTILITY5 HATCHABILITY OF FERTILIZED EGGS5 Corn-Soy Corn-Pea (kg) (%) (g) (%) (%) .578 + .104 .556 + .061 62.90 + .96 62.80 + 1.31 62.05 + 2.77 61.76 + 3.22 93.36 + 8.75 89.48 + 11.14 96.74 ± 6.22 95.97 + 6.56 Means + SEM. 2 22 to 45 weeks of age (WOA). 3 25 to 45 WOA. 4 Measured at 32, 36, 40 and 44 WOA. 5 Measure at 35, 37, 41, and 45 WOA. 24 References Anderson K., 1979. Some unconventional feedstuffs to laying hens. Swedish J. Agric. 9:29-36. Ivusic, S.I., 1989. The feeding value of yellow peas (Pisum sativum L. Var. Miranda) in single comb white leghorn laying pullets. M.S. Thesis. Oregon State University, Corvallis, OR. Moran, E. T., Jr., J. D. Summers, and G. E. Jones, 1968. Field peas as a major dietary protein source for the growing chick and laying hen with emphasis on high temperature steam pelleting as a practical means of improving nutritional value. Can. J. Anim. Sci. 48:47-55. Peterson, C. F., C. E. Lampman, D. W. Bolin and D. E. Stamberg, 1944. Methionine deficiency of Alaska field peas for chick growth. Poultry Sci, 23:287-293. Savage, T. F., and H. S. Nakaue, 1987. Feeding of yellow peas to turkeys. Proc. 22nd Pac. Ann. N.W. Anim. Nutr. Conf. 83-101. Savage, T. F., H. S. Nakaue, Z. A. Holmes and T. M. Taylor, 1986. Feeding value of yellow peas (Pisum sativum L. Variety Miranda) in market turkeys and sensory evaluation of carcasses. Poultry Sci. 65:1383-1390. Steel, R.G.D. and J.H. Torrie, 1980. Principles and Procedures of Statistics. McGraw Hill, New York, NY. 25 CHAPTER IV GENERAL DISCUSSION Field peas (Pisum sativum L.) show great promise as an alternative feed for poultry diets in the Pacific Northwest. The present work demonstrates that the Miranda variety of field pea, which can be grown locally in the Willamette Valley, can support dwarf broiler breeder growth and reproduction. Three considerations must be taken into account when field peas are fed to poultry: 1) the type of bird, 2) the pea variety, and 3) least cost diet formulation. Broiler breeders, laying hens, market turkeys and turkey breeder hens have performed well when fed diets containing field peas. In contrast, broilers have performed poorly. The presence of growth inhibiting substances or low protein availability may selectively affect broilers because of their rapid growth rate. Slinger et al. (1964) demonstrated that chickens and turkeys utilize the same feedstuffs in a dissimilar manner, suggesting that a species difference may exist in digestion. Different breeding lines of field peas vary in protein availability, amino acid profile, metabolizable energy and content of antinutritional agents. Obtaining a thoroughly tested variety of field pea with well defined parameters is 26 paramount. When the cost of a kilogram of utilizable protein from field peas is comparable to or less than that of utilizable protein from soybean meal, peas can be economically incorporated in selected poultry diets. 27 BIBLIOGRAPHY Ali-Khan, S. T., and C. G. Youngs, 1973. Variation in mobein content of field peas. Can J. Plant Sci. 53:37-41. Anderson K., 1979. Some unconventional feedstuffs to laying hens. Swedish J. Agric. 9:29-36. Baily, R. W., and D. Boulter, 1971. Polysaccharides in the leguminosae. Pages 503-541 in Chemotaxonomy of the Leguminosae. J. B. Harborne, D. Boulter, and B. L. Turner, eds. Academic Press, New York, NY. Bajaj, S., 0. Mickelsen, L. R. Baker, and D. Maskarian, 1971. The quality of protein in various lines of peas. Br. Nutr. 25:207-209. Bernier, P. E., and G. H. Arscott, 1971. Fifteen years of observations on the dwarf gene in the domestic fowl. World's Poult. Sci. J. 27:279-301. Bohinski, R. C., 1983. Carbohydrates. Pages 198-223 in Modern Concepts in Biochemistry. Allyn and Bacon, Inc., Boston, MA. Bolin, D. W., C. F. Petersen, C. E. Lampman, and D. E. Stamberg, 1946. Chick growth response from methionine additions to various protein supplements with pea proteins. Poultry Sci. 25:157-161. Cerning - Beroard, J., and A. Filiatre, 1976. A comparison of the carbohydrate of legume seeds: horsebeans, peas and lupines. Cereal Chem. 53:968-978. Cheeke, P. R., and L. R. Shull, 1985. Natural Toxicants in Feed and Poisonous Plants. AVI Publication Company, Inc., Westport, CT. Davidson, J., 1980. The nutritive value of field peas (Pisum sativum) in an oat-based diet for laying hens. J. Sci. Food Agric. 31:1055-1058. Davidson, J., M. McFadyen, and E. Milne, 1981. The nutritive value of the forage pea Pisum arvense cv "Rosakrone" for laying hens. J. Agric. Sci. Camb. 97:143-146. de Muelenaere, H. J. H., 1965. Toxicity and haemagglutinating activity of legumes. Nature 206:827-828. 28 Evans, I. M., and D. Boulter, 1980. Crude protein and sulphur amino acid contents of some commercial varieties of peas and beans. J. Sci. Food Agric. 31:238-242. Goatcher, W. D., and J. McGinnis, 1972. Influence of beans, peas and lentils as dietary ingredients on the growth response of chicks to antibiotics and methionine supplementation of the diet. Poultry Sci. 51:440-443. Griffiths, D. W., 1983. The polyphenolic content of field peas and their possible significance on nutritive value. Pages 322-327 in World Crops: Production, Utilization, Description. R. Thompson and R. Casey, eds. Martinus Nijhoff Publishers, The Netherlands. Grosjean, F., 1985. Combining peas for animal feed. Pages 453-462 in The Pea Crop. A basis for improvement. University of Nottingham, School of Agriculture. Butterworths, London. Holt, N. W., and F. W. Sosulski, 1979. Amino acid composition and protein quality of field peas. Can J. Plant Sci. 59: 653-660. Hutt, F. B., 1959. Sex-linked dwarfism in the fowl. J. Hered. 50:209-211. Ivusic, S. I., 1989. The feeding value of yellow peas (Pisum sativum L. var. Miranda) in single comb white leghorn laying pullets. M. S. Thesis. Oregon State University, Corvallis, OR. Jaap, R. G., 1971. Sex-linked dwarfism and broiler production. Poultry Sci. 47:1684. Jaffe, W. G., 1980. Hemagglutinins (lectins). Pages 73-102 in Toxic Constituents of Plant Foodstuff. I. E. Liener ed. Academic Press, New York, NY. Janick, J., R. W. Schery, F. W. Woods, and V. W. Ruttan, 1974. Plant Science. W. H. Freeman and Company, San Francisco, CA. Kienholz, E. W., L. S. Jensen, and J. McGinnis, 1962. Evidence for chick growth inhibitors in several legume seeds. Poultry Sci. 41:367-371. 29 Kulkarni, G. B., 1987. Studies on the effects of feeding yellow pea (Pisum sativum L. var. Miranda) diets with and without supplementation to commercial broiler chickens. M. S. Thesis. Oregon State University, Corvallis, OR. Kupicha, F. K., 1981. Advances in legume systematics. Part I. R. M. Polhill and P. H. Raven, eds. Royal Botanic Garden, Kew, England. Leclercq B., and J. C. Blum, 1971. Effects of nutrition restriction during the growing period on the performance of dwarf breeders. World's Poult. Sci. J. 27:288-289. Leclercq, B., and J. C. Blum, 1975. Restricted feeding of growing pullets: Interaction between the method of restriction and the dwarfism gene (dw). Archiv. fur Geflugelkunde. 5:153-158. Leeson, S., and J. D. Summers, 1985. Effect of cage versus floor rearing and skip-a-day versus every-day feed restriction on performance of dwarf broiler breeders and their offspring. Poultry Sci. 64:1742-1749. Lehninger, A. L., 1982. Lipids and membranes. Pages 303-330 in Principles of Biochemistry. S. Anderson and J. Fox, eds. Worth Publishers, Inc., New York, NY. Lin, C. Y., I. Y. Pevzner, and G. W. Friars, 1979. Adaption of broiler chicken breeders to colony cage environment. Can. J. Anim. Sci. 59:441-446. Lindgren, E. 1975. The nutritive value of peas and field beans for hens. Swedish J. Agric. Res. 5:159-161. Makasheva, R. K., 1983. The Pea. Amerind Publishing Co. Pvt. Ltd., New Dehli, India. McLean, L. A., F. W. Sosulski, and C. G. Youngs, 1974. Effects of nitrogen and moisture on yield and protein in field peas. Can J. Plant Sci.54:301-305. Moran, E. T., Jr., J. D. Summers, and G. E. Jones, 1968. Field peas as a major dietary protein source for the growing chick and laying hen with emphasis on high temperature steam pelleting as a practical means of improving nutritional value. Can. J. An. Sci. 48:47-55. 30 National Research Council, 1984. Nutrient Requirements of Poultry. National Academy Press, Washington D.C. Pandey, S., and E. T. Gritton, 1975. Protein levels in developing and mature pea seeds. Can. J. Plant Sci. 55:185-190. Petersen, C. F., C. E. Lampman, D. W. Bolin, and 0. E. Stamberg, 1944. Methionine deficiency of Alaska field peas for chick growth. Poultry Sci. 23: 287-293. Polkinghorne, P. W. and W. R. Harvey, 1980. Correlation between dam effects on body weight of dwarf intraline and off normal strain cross broiler chickens. Poultry Sci. 59: 1375-1384. Proudfoot, F. G., 1982. Effect of hatching egg size from semi-dwarf and normal meat parent genotypes on the performance of broiler chickens. Poultry Sci. 61:655-660. Reddy, S. J., J. McGinnis, F. Meulhbauer, and A. Campbell, 1979. Methionine content and availability in varieties and breeding lines of peas for chicks. Poultry Sci. 58:376-381. Savage, T. F., and H. S. Nakaue, 1987. Feeding of yellow peas to turkeys. Proc. 22nd Ann. Pac. N.W. Anim. Nutr. Conf. 83-101. Savage, T. F., H. S. Nakaue, Z. A. Holmes, and T. M. Taylor, 1986. Feeding value of yellow peas (Pisum sativum L. var. Miranda) in market turkeys and sensory evaluation of the carcass. Poultry Sci. 65:1383-1390. Slinger, S. J., I. R. Sibbald, and W. F. Pepper, 1964. The relative abilities of two breeds of chickens and two varieties of turkeys to metabolizable dietary energy and dietary nitrogen. Poultry Sci. 43:329-333. Smith, R., 1984. Advantages of the dwarf hen have narrowed. Feedstuff, October 22, 1984, 9-11. Sosulski, F. W., L. A. McLean, and H. M. Austenson, 1974. Management for yield and protein of field peas in Saskatchewan. Can J. Plant Sci. 54:247-251. Steel, R. G. D., and J. H. Torrie, 1980. Principles and Procedures of Statistics. McGraw-Hill, New York, NY. 31 Strain, J. H., and A. P. Piloski, 1975. Performance of dwarf broiler breeders in laying cages and floor pens and of normal breeders in floor pens. Can. J. Anim. Sci. 55:741-747. Toms, G. C., Advances and P. H. England. 1981. Lectins in leguminosae. Pages 561-577 in in Legume Systematics. Part 2. R. M. Polhill Raven, eds. Royal Botanic Garden, Kew, USA Dry Pea and Lentil Council, 1988. USA dry peas and lentils. Dry Pea and Lentil Commission, Moscow, ID. USDA, 1983. Description and Culture of Dry Peas. Agriculture Reviews Manual No. ARM-W-37. December, 1983. Agriculture Research Service (Western Region), Oakland, CA. Vogt, 1984. Einsatzmoglichkeiten von erbsen im geflugelfutter. Landbauforschung Volkenrode 34:39-47. Waldroup, P. W., and K. R. Hazen, 1976. A comparison of daily energy needs of normal and dwarf broiler hens Poultry Sci. 55:1383-1393. Weder, J. K. P., 1981. Advances in Legume Systematics. Part 2. R. M. Polhill and P. H. Raven, eds. Royal Botanic Garden, Kew, England. Whiting, T. S. and G. M. Pesti, 1983. Effects of the dwarfing gene (dw) on egg weight, chick weight, and chick weight:egg weight ratio in a commercial broiler strain. Poultry Sci. 62:2297-2302. APPENDICES 32 APPENDIX 1 THE EFFECTS OF CORN-SOY OR CORN-PEA DIETS ON DWARF BROILER BREEDER PULLET MEAN EGG WEIGHT BETWEEN 25 AND 45 WEEKS OF AGE The following appendix gives mean egg weights over the experimental period. Mean egg weights are provided for 32, 36, 40 and 44 weeks of age in Table A1.1. Table A1.1 Egg weights from dwarf broiler breeder pullets fed either a corn-soy or corn pea diet Dietary Egg Weight (g)1 by Week of Agee Treatment Replicate 32 36 40 44 Corn-Soy 1 59.8 + 1.2 60.8 ± 1.2 63.9 ± 1.0 64.9 + 1.2 2 58.9 + 0.8 61.3 + 0.6 62.4 + 1.0 64.3 + 1.0 Corn-Pea 1 58.0 + 1.1 60.5 + 1.2 62.8 + 0.7 65.5 + 0.9 2 58.1 + 0.6 60.3 + 0.7 63.1 + 0.7 65.7 + 0.3 1 Grand mean + SEM. 2 A significant (P < .001) effect of time was observed. 34 APPENDIX 2 COMPARISON OF CORN-SOY AND CORN-PEA DIETS ON EGG PRODUCTION, EGG WEIGHT, FERTILITY AND HATCHABILITY OF FERTILIZED EGGS IN DWARF BROILER BREEDER PULLETS BETWEEN 22 AND 45 WEEKS OF AGE This appendix provides analysis of variance tables for egg weight, hen-day egg production, fertility and hatchability of fertilized eggs. Table A2.1 Analysis of variance for egg weights at 32, 36, 40 and 44 weeks of age of dwarf broiler breeder pullets fed either a corn-soy or corn-pea diet Source of Sum of Degrees of Mean F Significance Variation Squares Freedom Square Ratio Level Diets 1.300 1 1.300 .412 NS Periods 371.924 3 123.975 39.332 <.001 Interaction 11.285 3 3.762 1.194 NS Residual Error 176.518 56 3.152 Total 561.026 63 NS = P > .05 Table A2.2 Analysis of variance for hen-day egg production of dwarf broiler breeder pullets between 25 and 45 weeks of age and fed either a corn-soy or corn pea diet Source of Sum of Variation Squares Degrees of Freedom Mean Square Ratio Significance Level Diets .0287 1 .0287 .001 NS Residual 1987.9757 62 32.0641 Total 1988.0043 63 NS = P > .05 Table A2.3 Analysis of variance for fertility of dwarf broiler breeder pullets measured at 35, 37, 41, and 45 weeks of age fed either a corn-soy or corn pea diet Source of Sum of Degrees of Mean Significance Variation Squares Freedom Square Ratio Level Main Effects 796.76 6 132.79 .923 NS Group2 456.24 3 152.08 1.057 NS See 340.52 3 113.51 .789 NS Residual 8204.40 57 143.93 Total 9001.17 63 1 The arc sine transformations of percentages of fertilized eggs were analyzed. 2 Defined as 16 pullets housed in consecutive cages within a single bank of cages and fed a common diet. 3 Defined as a point in time at which eggs were incubated. Eggs were set when pullets were 35, 37, 41, and 45 weeks of age. NS = P > .05 Table A2.4 Analysis of variance for hatchability of fertilized eggs measured at 35, 37, 41, and 45 weeks of age Source of Sum of Degrees of Mean F SignificanceVariation Squares Freedom Square Ratio Level Group 624.87 3 208.29 1.655 NS Residual 5535.96 44 125.82 Total 6160.83 47 1 Defined as 16 pullets housed in consecutive cages within a single bank of cages and fed a common diet. NS = P > .05 
work_trtxwp55bva25cvgr5mmehrz2e	----	pdfdocument.indd © 1932 Nature Publishing Group OCTOBER 29, 1932] NATURE 659 Recent Acquisitions at the Natural History Museum THE Entomological Department of the British Museum (Natural History) has recently acquired the collection of the economically important Thysanop- tera, or thrips, formed by Dr. R . S. Bagnall, com- prising more than 17,000 specimen s , of which about 430 are types and 750 paratypes . Some 8000 insects of various orders, but mainly Diptera, have been collect ed for the Department in the High Tatra Mountains in Poland and Czechoslovakia by Miss D. Aubertin and Miss E. Trewavas . The King of the Hedjaz, Nejd, and its Dependencies has presented to the Geological Department the collection of fossils made by Mr. H. St. J. Philby on his recent remarkable journey in Central Arabia. It includes invertebrates from the Jurassic rocks of the Tuwaiq plateau and the Cretaceous rocks of the Arma plateau, near Riyadh, the W ahabi capital. From the area south of the Gulf of Bahrein, invertebrates of Miocene age, closely resembling those of contemporaneous rocks in the Persian oilfields, were obtained ; while fresh- water shells found in abundance at several localities in the middle of the great Rub' al Khali Desert show that rivers or lakes existed recently in that now arid region. The Government Geologist of the Anglo- Egyptian Sudan has presented a series of shells of Lower Tertiary age preserved in a remarkable kind of flint ; these are the first fossils, other than a few plant remains, to be found in that territory. A large selection of material from the meteorite craters dis- covered in 1931 near Henbury, Central Australia, has been acquired for the Department of Minerals from the Kyancutta Museum, South Australia. This includes 172 pieces of meteoric iron with a total weight of 604 lb. The largest piece of 292 lb. was found in contact with three other masses (total weight 440 lb.) at a depth of 7 feet in the smallest of the thirteen craters. This is the only meteorite that has ever been excavated from inside a meteorite crater. Additions to the Botanical Collections Mxss E. HOMBERSLEYhas given to the Department of Botany of the Natural History Museum 882 paintings of British flowering plants by MU!s Ellen Hawkins, who died in 1864. The paintings are of considerable merit and are accompanied by d escriptions, written on the opposite page of the double sheet, which give interesting details and information . Miss Hawkins wrote the botanical appendix to Robertson's "Hand- book to the Peak" (1854). Mr. Reginald Cory has presented the original manuscript and drawings of the "Tabular Distribution of the Vegetable Kingdom" by John Stuart, third Earl of Bute. The Department already possesses many plants purchased at the Earl of Bute's sale in 1794. Prof. John Percival has pre- sented a set of all the known species of AJ:gilops. Prof. Percival's knowledge of this difficult genus of grasses makes the set of special value. Among the purchases there is a further set of H . J. Schlieben's Tanganyika plants and 668 Brazilian and Mexican plants collected by Y. Mexia and 248 drawings of liverworts (Jubulere) by Fr. Verdoorn. No. 3287, VoL. 130] Epidemic Diseases in Residential Schools THERE has been since August a slight rise (which was anticipated) in the incidence of an epidemic disease of the nervous system named poliomyelitis (an infection which may sometimes result in 'infant paralysis'), though up to the present the cases have as a whole appeared singly and widely scattered. The Ministry of Health has, however, received certain inquiries as to the wisdom or expediency of closing r esidential schools in which such isolated cases may have occurred. The Ministry of Health is definitely of the opinion that the balance of advan- tage is in favour of not closing a r esidential school in which poliomyelitis has appeared. If the school be closed, any potential infectiousness of the disease is more widely distributed, and passes beyond such m eans of supervision and control as are furnished in a well-equipped residential school conducted on hygienic lines. Co-operation of Scientific Societies MANCHESTER chemical societies have initiated a form of co-operation which should prove of con- siderable value both to their members and to local industry generally. The Manchester and district sections of the Institute of Chemistry, the Society of Chemical Industry, the Society of Dyers and Colourists, the Oil and Colour Chemists' Association and the Institute of Rubber Industry, together with the Manchester Literary and Philosophical Society, have established a Joint Advisory Committee, con- sisting of the honorary secretaries (or other repre- sentative ) of the societies concerned, in order that problems of mutual interest can be discussed and common plans arranged, and to provide a means whereby Manchester ·chemical opinion can be ascer- tained and expressed. The Committee has already published a card calendar of meetings, both scientific and social, of the participating societies, and a booklet which gives lists of officers as w ell as sylla- buses and other information concerning the session's activities . The Chemical Society, not being organised in local sections, does not participate directly in the scheme, but--as is indicated in the booklet--fellows of that society may, under a co-operative arrange- ment, read papers on pure chemistry before the local section of- the Society of Chemical Industry. Members of one society are cordially invited to attend meetings of any other society ; hence by the promotion of personal contact and by the provision of facilities for discussion and joint action, Manchester chemists are effecting a consolidation of the ir own interests as well as providing an interesting experiment which will probably be found worthy of wider application. The Association of Secretaries of Technical Societies in Glasgow has also issued a programme of the meetings of the chemical and engineering societies in that city. Musk Rat Menace THE Trustees of the British Museum had under consideration at their meeting at the Natural History Museum on October 22 the serious position in the © 1932 Nature Publishing Group 660 NATURE [OCTOBER 29, 1932 country in relation to the musk rat menace, and particularly to the fact that now that the keeping of musk rats is prohibited except under the strictest regulations against their escape, the musk rat farmers have turned their attention to the coypu or nutria, an aquatic South American rodent. The latter animal is as large as a beaver, but has a tapering tail ; it lives in burrows, and its fur is brown, soft and dense. The Trustees decided to recommend to the authorities concerned that the nutria should, like the musk rat, be scheduled as an animal the import of which is prohibited and which shall be kept only under licence. Bartholomew Diaz off Cape Colony MR. S. A. MuMFORD, of Tresta, Farley, Salisbury, Wilts., has written stating that the voyage of Bartholomew Diaz, when he touched the south coast of Cape Colony, is usually quoted as having taken place between August I486 and December I487, whereas in our "Calendar of Geographical Discovery" (NATURE, vol. I29, p. I77, Jan. 30, I932), a note on the voyage appears under the date Feb. 3, I488. The date given in our columns is based on a marginal note, probably by Christopher Columbus himself, on folio 13 of a copy of Pierre D'Ailly's "Imago Mundi", which fixes Diaz's return to Lisbon in the month of December 1488. The writer says he was present at Diaz's interview with the King of Portugal when the explorer's chart was shown and discussed. The "Imago Mundi" is at present in the Colombina at Seville. Announcements THE De Morgan medal of the London Mathe- matical Society, which is awarded triennially, has this year been awarded to Bertrand Russell in recognition of his mathematical work. The medal will be presented at the annual general meeting of the Society which will be held at Burlington House, Piccadilly, London, W.I, on November 10, at 5 P.M. AT the annual statutory meeting of the Royal Society of Edinburgh held on October 24, the follow- ing Council was elected: President: Sir E. A. Sharpey-Schafer; Vice-Presidents: Prof. J. H. Ashworth; Dr. A. Logan Turner; Dr. J. B. Clark; Prof. James Ritchie; Sir Thomas Holland; The Ron. Lord Sands ; General Secretary : Prof. R. A. Sampson ; Secretaries to Ordinary Meetings : Prof. C. G. Darwin and Prof. F. A. E. Crew; Treasurer: Dr. James Watt; Curator of Library and Museum: Prof. D'Arcy W. Thompson; Councillors: Dr. Murray Macgregor; Dr. A. Crichton Mitchell; Prof. P. T. Herring ; Prof. James P. Kendall ; Prof. T. M. MacRo bert ; Prof. Godfrey H. Thom- son; Dr. Malcolm Wilson; Prof. E. B. Bailey; Prof. J. C. Brash; Prof. A. J. Clark; Prof. A. G. Ogilvie; Prof. E. M. Wedderburn. PRoF. E. N. DA. C. ANDRADE will give four lectures at the Royal Institution on Tuesdays at 5.15 P.M. beginning November I on "Rays and Radiations". No. 3287, VoL. 1301 The course is an experiment in the treatment of a branch of modern physical science on the lines of the popular Christmas Lectures to juveniles, but Prof. Andrade will address himself on this occasion to the grown-ups. He will talk and show experi- ments on the gamma and ultra-violet radiations, X-rays, infra-red rays, and the particle radiations which have been used in the investigation of the inner structure of the atom. Prof. Lancelot Hogben will give three lectures, also on Tuesdays at 5.15 P.M., beginning November 29, on "Colour Change in Animals". The mechanism of colour change in such a well-known example as the chameleon will be discussed, and compared with that in other animals subject to colour changes, such as the frog, the S3.la- mander and certain fishes. THE Council of the Institution of Civil Engineers has awarded the Indian Premium for the session I93I-32 to Sir Bernard D'O. Darley (Bahawalpur, Punjab), and the Webb Prize for the session to Mr. B. G. White (London) for papers read and discussed at ordinary meetings of the Institution. The following awards for the session have been made for "Selected Engineering Papers", published without discussion :- A Telford Gold Medal to Dr. J. F. Baker (Abbots Langley); Telford Premiums to Mr. William Muir- head (London), Mr. E. B. Cocks (London), Dr. James Orr (Glasgow), Dr. W. J. Walker (Johannesburg), and Mr. W. C. Ash (Vizagapatam, India); and a. Crampton Prize to Mr. L. St. C. Rundlett (Rangoon, Burma). Awards have also been made for papers read at students' meetings in London, or by students before meetings of local associations, as follows :- The James Forrest Medal and a Miller Prize to Mr. D. J. Anderson (Glasgow), and Miller Prizes to Messrs. A. C. L. Browne (London), C. W. Scott (London}, A. J. P. Pashler (Birmingham}, W. D. McFadyean (London}, Granville Berry (London), P. J. Stuckey (Cardiff}, W. H. Morgan (Newcastle}, R. R. W. Grigson (London}, E. A. Turner (London), and Frank Breakwell (London). APPLICATIONS are invited for the following appoint· ments, on or before the dates mentioned :-A University: lecturer and a University demonstrator in biochemistry at the University of Cambridge-- The Professor, School of Biochemistry, Cambridge (Nov. 9). A junior assistant and guide-lecturer at the City of Birmingham Museum and Art Gallery- The Keeper (Nov. II). An Armourers and Brasiers research fellow in metallurgy of the Royal Society- The Assistant Secretary, The Royal Society, Bur• lington House, W.I (Nov. I4). A lecturer and tutor in hygiene in the Department of Education at the University of Bristol-The Secretary and Registrar (Nov. I9). ERRATUM.-Letter on "Possible Existence of Multiply Charged Particles of Mass One" by Dr. M. Delbriick in NATURE for October 22: p. 627, col. I, line 33, for "an ex-particle is stable " read "a particle in the ex-particle is stable .... " Musk Rat Menace 
work_tt7wpxsrnncdhbddjgqg6nzvoy	----	S0018246X19000499jra 789..810 PROJECTIONS OF DESIRE AND DESIGN IN EARLY MODERN CARIBBEAN MAPS* A N G E L A S U T T O N A N D C H A R L T O N W. Y I N G L I N G Vanderbilt University and University of Louisville A B S T R A C T . Iconic early European maps of the Caribbean depict neatly parcelled plantations, sugar mills, towns, and fortifications juxtaposed against untamed interiors sketched with runaway slaves and Indigenous toponyms. These extra-geographical symbols of racial and spatial meaning projected desire and design to powerful audiences. Abstractions about material life influenced colonial perceptions and actions upon a space, often to deleterious effects for the Indigenous and African people who were abused in tandem with the region’s flora and fauna. The scientific revolution curbed these proscriptive and descriptive ‘thick-mapped’ features that offer historians an underexplored record of early colonial Caribbean life beyond the geographically descrip- tive. Before this shift from mystery to mastery, the early correlation of colonization and cartography in the sixteenth and seventeenth centuries provides a fascinating glimpse into the process of creating the Americas. This article offers ideas for deconstructing old maps as new sources for historians of the early Atlantic World. As digital readers may explore through the roughly fifty maps linked via the footnotes, their informative spectacle naturalized colonialism upon lived and imagined race and space, created an exoticized, commodified Caribbean, and facilitated wealth extraction projects of com- peting empires made profitable by African labour on Indigenous land. I One iconic and infamous early modern Caribbean map depicts  neatly named and parcelled plantations, most with coastal cultivation facing warm * We want to extend a warm ‘thank you’ to our colleague Isaac Badenya Thomas, who col- laborated in our framing conversations and map consultations at the outset of this article. We are indebted to the John Carter Brown Library for the funding and facilities to work together in their collections as part of the Collaborative Cluster Fellowship in May . Thank you to the staff and fellows, who were incredibly generous with ideas and sources for this project. This article owes an intellectual debt to Bertie Mandelblatt, whose expertise on the topic helped to shape our questions. We appreciated the opportunity to present an early version of the article together at the  Mellon Partners in Humanities Workshop at the Vanderbilt University Digital Humanities Center, and we thank the attendees for their insightful com- ments. Finally, we are indebted to the editors at the Historical Journal and two anonymous peer reviewers for their constructive suggestions. Vanderbilt University,  Vanderbilt Place, Nashville, TN -, USA Angela.C.Sutton@ Vanderbilt.edu University of Louisville,  S. rd St, Louisville, KY , USA Charlton.Yingling@Louisville.edu The Historical Journal, ,  (), pp. – © Cambridge University Press  doi:./SX  terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://orcid.org/0000-0002-0707-5123 mailto:Angela.C.Sutton@Vanderbilt.edu mailto:Angela.C.Sutton@Vanderbilt.edu mailto:Charlton.Yingling@Louisville.edu https://crossmark.crossref.org/dialog?doi=10.1017/S0018246X19000499&domain=pdf https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core waters, and interiors interspersed with churches and fortifications. This  portrayal of Barbados by Richard Ligon is replete with more subtle meanings. Spaces on the ocean-battered Atlantic coast and the less-developed interior, however, are portrayed in pictorial abstractions. Roads leading inland fade into sketches of rougher terrain that contains runaway slaves fleeing a mounted and armed white pursuer and an Indigenous figure with a bow and crown, among other visual synopses of colonial life as described by British colonists. This last figure is one Salymingoe, who is illustrated on land with text identifying ‘his Canoue  foot longe’, presumably in the area where he once lived. Elsewhere, white and black handlers work with camels, a failed novelty of local plantations, while wild pigs roam unnamed hills and sea monsters frolic in the untamed sea. Subsequent reprints of this map erased much of this rich extra-geographical information: Salymingoe and his canoe disappeared; gone also are African repre- sentations, though the spatial claim of , acres for ‘the merchants of London’ remained. Visualizations of mystery pivoted to projections of mastery. Early modern mapmaking grew in sophistication alongside the European age of exploration. In the sixteenth and seventeenth centuries, Europeans accumu- lated more knowledge about the new places they knew best: coasts. Other imme- diate features – shores, inlets, and towns – were less essentialized than inhospitable interiors with at times unknown features, sometimes intentionally left ‘empty’, as if these lands were unoccupied and open to European claims. Map features were malleable projections of social constructs. Especially earlier on, lived experience influenced spatial information at least as much as survey- ing, and thus ignited imaginations that guided future endeavours. This became cyclical: abstractions about material life influenced imperial percep- tions and actions upon a space, often to deleterious effects for its flora and fauna, and for the racialized Indigenous and African bodies that were abused to change these landscapes. The scientific revolution and the Enlightenment  Richard Ligon, ‘A topographicall description and admeasurement of the yland of Barbados in the West Indyaes’, map, in A true & exact history of the island of Barbados (London, ), JCB map collection . Susan Scott Parrish, ‘Richard Ligon and the Atlantic science of commonwealths’, William and Mary Quarterly,  (), pp. –. Salymingoe appeared in some later translations. (For readers of the digital version of this article, links to the maps can be accessed by selecting the map collection numbers. The online collection itself can be accessed from https://jcb.lunaimaging.com/luna/servlet/ JCBMAPS∼∼.)  ‘Description topographïque et mesure de l’isle des Barbades aux Indes Occidentalles avec les noms de ceux a qui appartienent les habitations’, map, in Recueil de divers voyages faits en Afrique et en l’Amerique, qui n’ont point esté encore publiez; contenant l’origine, les moeurs, les coûtumes & le commerce des habitans de ces deux parties du monde (Paris, ), JCB map collection .  This phenomenon can be seen even in the later maps of interiors that Europeans had explored, which were left blank rather than depict spaces in which Indigenous or maroon com- munities operated.  Surekha Davies, Renaissance ethnography and the invention of the human (Cambridge, ), pp. , .  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1486~101320001:A-topographicall--Description-and--?qvq=q:ligon%2Bbarbados&amp;mi=0&amp;trs=9 https://jcb.lunaimaging.com/luna/servlet/JCBMAPS~1~1 https://jcb.lunaimaging.com/luna/servlet/JCBMAPS~1~1 https://jcb.lunaimaging.com/luna/servlet/JCBMAPS~1~1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1943~106650006:Description-Topograph�que-et-mesure?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:E674%2BR311d%2B(copy%2B1);sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=3 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core gradually shifted maps from the Renaissance rediscoveries of Ptolemaic prin- ciples towards cartographic approaches that were more suited to categorization and systematization which characterized the imperial mindsets. As eighteenth- century European officials became more interested in geographic accuracy, extra-geographical information thick-mapped onto the Americas faded in representation. And as topography and geography advanced in measurable and verifiable rigour, maps became more of a scientific tool, sterilized of stylized sentiment. This transformative era in both colonization and cartography – the sixteenth and seventeenth centuries – provides a fascinating glimpse into the process of creating the Atlantic, a space of change and continuity west of the Atlas moun- tains, bounded by physical perimeters of what Europeans saw as old and new worlds. Claiming and coveting the Americas often shaped the informative spec- tacle of these maps. Though their explicit intentions ranged drastically, maps regularly served to summarize, hypothesize, and modify people and places, ultimately facilitating projects of ethnocide engineered by competing empires. Maps naturalized colonialist subjugation in space. The Caribbean was the region of earliest European claims, colonialist consumption, and inter- action among Indigenous and African peoples whose own ‘mental maps’ ima- gined spaces of survival or paths to autonomy that defied European classificatory prerogatives. Developments in mapping practices were essential to creating the Caribbean as an idea – an exoticized space for desirable com- modities and differences of race. It was at the forefront of information- making for paralleled imperial and evangelical imperatives that defined the Americas. For example, the first European map of the Caribbean (Figure ) came from Juan de la Cosa, the cartographer for Christopher Columbus. His world map  Patrick Gautier Dalché, ‘The reception of Ptolemy’s geography (end of the fourteenth to beginning of the sixteenth century)’, in David Woodward, ed., The history of cartography, volume three: cartography in the European Renaissance, part  (Chicago, IL, ), pp. –.  P. J. Marshall and Glyndwr Williams, The great map of mankind: perceptions of new worlds in the age of enlightenment (Cambridge, MA, ), pp. –.  Lauren Benton, A search for sovereignty: law and geography in European empires, – (Cambridge, ); Martin Lewis and Kären Wigen, The myth of continents: a critique of meta- geography (Berkeley, CA, ); Matthew H. Edney, ‘Knowledge and cartography in the early Atlantic’, in Nicholas Canny and Philip Morgan, eds., The Oxford handbook of the Atlantic world, – (New York, NY, ), pp. –; Neil Safier, ‘The confines of the colony: boundaries, ethnographic landscapes, and imperial cartography in Iberoamerica’, in James R. Akerman, ed., The imperial map: cartography and the mastery of empire (Chicago, IL, ), pp. –; J. B. Harley, ‘Silences and secrecy: the hidden agenda of cartography in early modern Europe’, Imago Mundi,  (), pp. –.  Ernesto Bassi, An aqueous territory: sailor geographies and New Granada’s transimperial greater Caribbean world (Durham, NC, ), pp. –, –; Fernando Coronil, ‘Beyond occiden- talism: toward nonimperial geohistorical categories’, Cultural Anthropology,  (), pp. –.  Sidney W. Mintz, ‘Enduring substances, trying theories: the Caribbean region as ecumene’, Journal of the Royal Anthropological Institute,  (), pp. –. E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core includes rich images that relate Iberia and its connection to historical events and all other parts of the world. Used at the time for its geographical informa- tion, this map also conveys the Iberian worldview and priorities, in particular with regard to peoples outside Europe. The map presents images of the African rulers with whom Spain and Portugal traded for gold, and the image of the gold mine in El Mina (present-day Ghana), which includes a painting of three enslaved African workers carrying loads on their heads. Spain guarded this map and many that followed as state secrets. As other European states vied for colonial profits in the Americas, each pro- duced similar heavily guarded cartographic schools. Each early modern trad- ition continued conventions of extra-geographical information via embellished images of various peoples, plants, and places. Columbus, a Genoese captain known as Cristoforo Colombo in Italian, was one of several early explorers Fig. . Juan de la Cosa, Mappa Mundi () Source: Wikimedia Commons, https://commons.wikimedia.org/wiki/File:_map_by_Juan _de_la_Cosa.jpg.  In , the Dutch States General prohibited publication of geographical information about the Dutch East India Company’s overseas holdings without explicit permission. Similarly, England restricted the printing and sales of atlases on national security grounds. See Kees Zandvliet, ‘Mapping the Dutch world overseas in the seventeenth century’, in David Woodward, ed., The history of cartography, volume three: cartography in the European Renaissance, part  (Chicago, IL, ), pp. –; Peter Barber, ‘Mapmaking in England, ca. –’, in ibid., pp. –.  The Dutch Golden Age and early modern German interest in literary maps both spurred cartographic booms that included famous maps by Mercator () and Ortelius (), both influenced by the rediscovery of Ptolemaic mapping. Seventeenth-century British and French mapmakers were also influenced by these developments and often included extra-geographical icons. Frank Lestringant and Monique Pelletier, ‘Maps and descriptions of the world in six- teenth-century France’, in Woodward, ed., Cartography in the European Renaissance, part ,  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://commons.wikimedia.org/wiki/File:1500_map_by_Juan_de_la_Cosa.jpg https://commons.wikimedia.org/wiki/File:1500_map_by_Juan_de_la_Cosa.jpg https://commons.wikimedia.org/wiki/File:1500_map_by_Juan_de_la_Cosa.jpg https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core born on that peninsula and not Iberia. They included the Florentine cartog- rapher Amerigo Vespucci, who sailed for Spain and Portugal, and later dis- proved Columbus’s assertions of landing in Asia, and after whom the German Martin Waldseemüller named the new hemisphere in the feminized, Latinized form – America. Others were Giovanni Verrazzano and Giovanni Caboto, who famously worked for the French and English, respectively. Their occupational abilities produced knowledge first for Spanish consump- tion, and later, as this article will show, for wider audiences of rivals or academics. Constructing maps with extra-geographical historic information has recently regained popularity among digital humanists. This practice, called ‘thick- mapping’ (inspired by Clifford Geertz’s ‘thick description’ of culture), adds interactive media layers to augment representations of space as understood by the various groups of people who relate or have related to it. It investigates and pushes the limits of conveying detailed meaning via maps, and, in doing so, draws attention to the ways in which all maps – both with and without thick description – can reflect and/or shape worldviews. Creating these types of maps allows spatial historians to revisit core analytical categories such as race, gender, class, and state power in relation to, and as sources to study, physical environs and dynamics of the past. A rich and illustrative example of this type of work in the early modern Atlantic world is Vincent Brown’s visualization and exploration of Jamaica’s slave revolts. While these scholarly approaches are relatively new, early modern map- makers also expressed layered information to conceptualize a particular spatial world and shape others’ worldviews. In essence, the mapmakers created sources which reflected a ‘new world’ as envisioned by those introduced to it for the first time, while also protecting the desires of these would-be pp. –; Genevieve Carlton, Worldly consumers: the demand for maps in Renaissance Italy (Chicago, IL, ), pp. –.  Ilaria Caraci Luzzana, Navegantes italianos (Madrid, ), pp. –, –; Toby Lester, ‘The Waldseemüller map: charting the New World’, Smithsonian Magazine, December , https://www.smithsonianmag.com/history/the-waldseemuller-map-charting-the-new- world-/.  María Luisa Martín Merás, Cartografía marítima hispana. La imagen de América (Madrid, ).  Todd Samuel Presner, David Shepard, and Yoh Kawano, Hypercities: thick mapping in the digital humanities (Cambridge, MA, ).  Paul Stock, ‘History and the uses of space’, in Paul Stock, ed., The uses of space in early modern history (Basingstoke, ), pp. –; Richard White, ‘What is spatial history?’, Stanford University Spatial History Lab working paper, February , pp. –; J. B. Harley, ‘Silences and secrecy’, pp. –; Michael Biggs, ‘Putting the state on the map: cartography, territory, and European state formation’, Comparative Studies in Society and History,  (), pp. –.  Vincent Brown, ‘Mapping a slave revolt: visualizing spatial history through the archives of slavery’, Social Text,  (), pp. –; Vincent Brown, ‘Narrative interface for new media history: slave revolt in Jamaica, –’, American Historical Review,  (), pp. –. E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://www.smithsonianmag.com/history/the-waldseemuller-map-charting-the-new-world-148815355/ https://www.smithsonianmag.com/history/the-waldseemuller-map-charting-the-new-world-148815355/ https://www.smithsonianmag.com/history/the-waldseemuller-map-charting-the-new-world-148815355/ https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core conquerors onto the space. Rather than reflecting the space as it was under- stood by those who already lived there, mapmakers attempted to layer European understandings of self, space, belonging, ownership, race, and desire onto it. This makes these older maps ideal sources for historians of the early modern Caribbean to deconstruct. Analysis of colonialist commission and omission in early modern maps may be critically read against their grains of intent of ‘plantocratic fantasy of space’ or ‘legal fictions’ and for profundity in their silences. This consideration prompts several serious questions. How did maps of the Caribbean normalize colonialist outlooks for audiences? What can the maps tell us of European desires? Consequently, what do they say about European design? By investigat- ing these main questions of European intent, another more critical spatial issue comes to the fore: how can the interrogation of European spatial semiotics in visualizations uncover evidence of autonomous Indigenous or African spaces? I I The background and methods of this project to interrogate European maps as Caribbean sources require explanation. Drawn towards the history of cartog- raphy to answer these research questions derived from our proximate scholarly backgrounds, we the authors worked together as fellows at the John Carter Brown Library (JCB) at Brown University, immersed in their rich primary and secondary collections. Our selected scope of two centuries allowed us to trace developments in the interplay of race, desire, and space across European repre- sentations of the Caribbean colonial spaces such as plantations, mountains, and waters during an era of extreme competition and conflict. In these years, some , Africans were imported to the region and at least as many Indigenous inhabitants perished. Depictions of the plantations they built, and the shrink- ing autonomous spaces beyond them, emphasizes how these maps reflected, reproduced, and rationalized myriad instances of imperial violence. Mindful of the performative, fictive, and speculative scopes of geographic representation that allow maps rhetoric or persuasion beyond utility, we began this project as a thought experiment with some basic hypotheses. We anticipated that, as  J. B. Harley, ‘Deconstructing the map’, Cartographica,  (), pp. –; Michel-Rolph Trouillot, Silencing the past: power and the production of history (Boston, MA, ).  Elizabeth Maddock Dillon, ‘By design: remapping the colonial archive’, Social Text,  (), pp. –; Claudio Saunt, ‘Mapping space, power, and social life’, Social Text,  (), pp. –.  Trans-Atlantic Slave Trade Database, http://www.slavevoyages.org/voyages/ARCSNC; Massimo Livi-Bacci, ‘Return to Hispaniola: reassessing a demographic catastrophe’, Hispanic American Historical Review,  (), pp. –.  Rob Sullivan, Geography speaks: performative aspects of geography (New York, NY, ), pp. –; David Woodward, ‘Introduction’, in David Woodward, ed., Art and cartography: six his- torical essays (Chicago, IL, ), pp. –, at pp. –; Geoffrey LaPage, Art and the scientist (Bristol, ).  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core http://www.slavevoyages.org/voyages/55ARCSNC http://www.slavevoyages.org/voyages/55ARCSNC https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core African and Indigenous demographics shifted in correspondence with expand- ing plantation landscapes, portrayals of their space would also shift, revealing tacit meanings behind cartographic intentions. We also expected that extra-geograph- ical motifs would change with Enlightenment influences that made the field more scientifically precise. The omissions and silences of non-European spatial meaning in these maps also speak loudly, and offer openings to interrogate deliberate absences. At the same time, the icons, decorations, toponyms, flora, fauna, and many other demarcations of space offer more obvious intentionality and significance to Europeans. Both the implicit and explicit, tacit and overt references to autonomous space provide opportunities to push the maps beyond their ori- ginal use towards more representative readings of how Indigenous and African peoples navigated colonial space without cartographic privileges. We therefore analyse European maps as sources for the marginalized early modern Caribbean. Cartographers marked maps with meaning from the European imperial and cultural contexts that enveloped them, which influenced representation of abundance or dearth for commodity possibilities, navigation routes for wealth extraction, and limitations of territory to avoid (or incite) military conflict over these resources. In this era, maps were often status symbols of acquisitive or academic abilities or gifts to influence policy or investment choices. These inherently synthesized and generalized renderings of space blended utility and desire, and circulated an advertisement bolstered by ostensibly accur- ate information. Historians are in general agreement: Dutch maps during the golden age were intrinsically agents of empire. This article deliberately diverges from specificities of cartographic technique to view them in the aggregate and against their intended visualizations and voids. For example, the vast majority of early Dutch Caribbean maps were created by mapmakers hired by the Westindische Compagnie. Company direc- tors proudly displayed them to show both achievements and aspirations to inves- tors. Arent Roggeveen’s  map of Curaçao depicts an island that had been central to the Dutch slave trade for more than five years and its main port, Willemstad, which had just opened to free trade, a mercantile experiment  J. S. Keates, Understanding maps (London, ), part .  Surekha Davies, ‘Depictions of Brazilians on French maps, –’, Historical Journal,  (), pp. –.  Elizabeth A. Sutton, Capitalism and cartography in the Dutch golden age (Chicago, IL, ); Benjamin Schmidt, Inventing exoticism: geography, globalism, and Europe’s early modern world (Philadelphia, PA, ), pp. –; Denis Cosgrove, ‘Mapping the world’, in James R. Akerman and Robert W. Karrow Jr, eds., Maps: finding our place in the world (Chicago, IL, ), pp. –; Vera Keller, ‘Pennetrek: Sir Balthazar Gerbier (–) and the calli- graphic aesthetics of commercial empire’, in Inger Leemans and Anne Goldgar, eds., Early modern knowledge societies as affective economies (New York, NY, forthcoming).  Kees Zandvliet, Mapping for money: maps, plans, and topographic paintings and their role in Dutch overseas expansion during the th and th centuries (Amsterdam, ). E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core that made the company a considerable profit. Consequently, the interior of the island appears largely blank on the map, with only port towns and salt pans, the two largest sources of income, marked. Two detailed insets testify to the com- pany’s industriousness. In one, cherubs with cutting-edge scientific equipment survey a fortress protecting several Dutch flagships with its canons. The other inset enlarges Fort Amsterdam’s schematics in St Anne’s Bay. It emphasizes trade and industry, showing warehouses, an ingenio (sugar mill)-type building, and a depiction of what appear to be enslaved Africans manually manoeuvring a merchant’s ship into port with ropes. The imagery focuses on European conceptions of profitability over functionality or ways in which the space must have been conceived of by the enslaved. These maps diminished markers of risk, such as rebellious slaves who increasingly co-ordinated resistance with nearby Coro in Venezuela via watercraft unlike those that appear. While many colonial maps shared this purpose, others highlight features for certain audiences. For example, estate maps like John Hapcott’s  schema of Fort Plantation in Barbados shows private property lines to support legal claims and boundary disputes in English tradition. Decorative maps helped garner investment capital, or compel royal efforts at consolidating the realm, as in the  map showing ‘principal islands in America belonging to the English empire’. Some maps charted navigation channels and currents, while others that were heavy on iconography of natural resources or planting focused on extraction plans for the Caribbean. Still others were created to inform the public and shape their emerging views of this region. Each type offers new chances to interrogate and aggregate indicators of anti-colonial space. To set manageable parameters for our project we elected to review Caribbean maps from  to  available at the JCB. These totalled nearly one hundred maps covering the Caribbean or individual islands, produced by a range of mapmakers and empires for diverse audiences. At least half of these appear in the library’s Luna database, and all our citations link directly to  Arent Roggeveen, ‘’t eÿlandt Curacao ende de afbeeldinghe van t Fort Amsterdam groot besteck’, map, in Le premier tóme de la tourbe ardente (French edition of Het brandende veen) (Amsterdam, ), JCB map collection .  Linda Rupert, Creolization and contraband: Curaçao in the early modern Atlantic world (Athens, GA).  John Hapcott, ‘This plott representeth the forme of three hundred acres of Land part of a Plantation called the Fort Plantation of which  acres Cap. Thos. Middleton of London hath purchased…’, map, , JCB map collection C-.  Philip Lea, ‘The principall islands in America belonging to the English empire’, map, c. , JCB map collection ; Lestringant and Pelletier, ‘Maps and descriptions of the world in sixteenth-century France’.  Richard Ford, ‘A new map of the island of Barbadoes wherein every parish, plantation, watermill, windmill & cattlemill, is described…’ map, –, JCB map collection , repro- duced in J. D. Black, ed., The Blathwayt atlas ( vols., Providence, RI, –); Anon., ‘A new map of the island of Barbadoes…’, map, , JCB map collection , reproduced in Black, ed., Blathwayt atlas.  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1902~106060003:-t-E�landt-Curacao-ende-de-Afbeeldi?qvq=q:1679%2Bgoos&amp;mi=2&amp;trs=3 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1159~106490001:This-plott-representeth-the-forme-o?qvq=q:hapcott&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3182~101512:The-principall-islands-in-America-b?qvq=q:Cabinet%2BEn696%2B%2F1&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1133~100880001:A-New-Map-of-the-Island-of-Barbadoe?qvq=q:Cabinet%2BBlathwayt%2B32&amp;mi=0&amp;trs=2 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1133~100880001:A-New-Map-of-the-Island-of-Barbadoe?qvq=q:Cabinet%2BBlathwayt%2B32&amp;mi=0&amp;trs=2https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1548~101800002:A-new-map-of-the-island-of-Barbadoe?qvq=q:Z%2BZ1%2B%2F%2B1%2B%2F%2B3-SIZE&amp;mi=5&amp;trs=9 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core these maps online for readers’ further exploration. This sampling facilitated fascinating comparisons and connections that, on the whole, suggest analytical starting points for further inquiry. Readers can thus interact with the primary materials themselves and, more importantly, ponder how similar maps could serve as new sources in their own work. As a complement to the article, ample descriptions of these maps are provided in a spreadsheet of our observa- tions and features that recurred in our analysis. Embracing the ‘Data-first mani- festo’, our findings are open to all who want to use them. In order to develop a typology and a chronology of these representations, we pooled our respective linguistic and historiographical knowledge in the JCB map room. By collectively discussing findings of presence or absence, and representations and toponyms in colonized and autonomous spaces, this thought experiment revealed import- ant suggestions about these maps as primary sources of African and Indigenous populations. Many of our sources are thick-mapped with historical information, such as de Bry’s  ‘Occidentalis Americae partis’, which shows the four voyages of Columbus, or Coronelli’s  ‘Archipelague du Mexique’, which depicts the history of how and when each island changed imperial hands. On the other hand, many lacked these extra-geographical representations. Whether the intention of the mapmaker was to omit or include spaces of Indigenous and African peoples and their descendants, interrogating the maps allows us to get at not just the intended purposes of their creation, but ways in which various groups would have read these same spaces. For example, in the Barbadian maps mentioned above, the entire island is covered in symbols for different types of mills for crushing sugar cane. The various types of mills seemed to be more important to map than any other feature. To the European investor, this represented wealth and progress. To the Taínos or  Several undigitized Caribbean maps listed on Brown University’s Josiah catalogue are not linked.  Categories logged in the spreadsheet (see https://docs.google.com/spreadsheets/d/ DhUyMrsuwPhaDVRFrATSEyWuwAOuDXtNAUEU/edit#gid=) are, as follows: call number, map title, primary location, source author/creator, publisher/place, date, sea animals, fantastic animals, land animals, ships/transport, people: Native American/ Caribbean, people: African origin, people: European origin, people: other/unclear, harbours, flora, buildings, and notes/questions. The ‘Data-first manifesto’ can be found at http://data- manifesto.info.  This is evident in toponyms and mapping of other empires: Bronwen Douglas and Elena Govor, ‘Eponymy, encounters, and local knowledge in Russian place naming in the Pacific islands, –’, Historical Journal,  (), pp. –.  Theodor de Bry, ‘Occidentalis Americae partis…’, map, in Americae pars quarta. Sive, insignis & admiranda historia de reperta primum occidentali India à Christophoro Columbo anno M. CCCXCII (Frankfurt, ), JCB map collection ; Vincenzo Coronelli, ‘Archipelague du Mexique, ou sont les isles de Cuba, Espagnole, Jamaique, etc. avec les isles Lacayes, et les isles Caribes, connües sous le nom d’Antilles’, map (Paris, ), JCB map col- lection C-.  Ford, ‘New map of the island of Barbadoes’, JCB map collection . E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://docs.google.com/spreadsheets/d/151DhUyMrsu0wPhaDVRFrAT0SEyWuwAOu6DXtNA9UE9U/edit#gid=0 https://docs.google.com/spreadsheets/d/151DhUyMrsu0wPhaDVRFrAT0SEyWuwAOu6DXtNA9UE9U/edit#gid=0 https://docs.google.com/spreadsheets/d/151DhUyMrsu0wPhaDVRFrAT0SEyWuwAOu6DXtNA9UE9U/edit#gid=0 http://datamanifesto.info/ http://datamanifesto.info/ http://datamanifesto.info/ https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1709~103230002:Occidentalis-Americae-partis----?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:J590%2BB915v%2BGVL4.1%2B%2F%2B2-SIZE;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=23 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3086~101456:Archipelague-du-Mexique,-ou-sont-le?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Archipelague%2Bdu%2BMexique%2C%2Bou%2Bsont%2Bles%2BIsles%2Bde%2BCuba;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1133~100880001:A-New-Map-of-the-Island-of-Barbadoe?qvq=q:Cabinet%2BBlathwayt%2B32&amp;mi=0&amp;trs=2 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core Caribs, each symbol represented artificial boundaries, spoiled landscapes, and homes and lifeways lost. To the enslaved, each symbol marked thousands of bodies broken in the sugar industry. Their ideas of space, antithetical to imposed property and spatial relations, did not adhere to this historic record. Deconstructing maps in these ways allows us to explore early modern European conceptions of space based on their particular desires, and, more importantly, how those desires were bound up in the under-mapped lives of the non-Europeans who tried to survive them. Biased though they are, these maps can also enhance our understanding of the ways in which Indigenous and African people might appear on contested terrains despite being occluded by the mapmakers. The article follows absences and presences in Caribbean maps, and what they might mean in the aggregate. I I I Silences sometimes say more than words. In many early modern Caribbean maps, there is an obvious omission of references to Africans and Indigenous people who inhabited those places depicted on the maps. Information about their presence in those spaces, and European relationships to it, can be read in many of the landscapes, symbols, decorative elements, flora, fauna, and even sea monsters that dotted the Caribbean seas. Many of the maps’ special fea- tures that are related to the ways in which Indigenous people and the enslaved occupied and made use of the land have been implied rather than made explicit in the mapping. These detailed European property and spatial ideas normalized practice of legal claims by individuals and imperial rule on terrain that was, only a century before, shown with sparse buildings and vastly untamed and unnamed interiors. Earlier maps by Benedetto Bordone published in Venice in  show Caribbean islands with sparse settlement marked mostly with churches, seemingly connoting safer spaces for Europeans (Hispaniola) as opposed to the severely mountainous, cavernous, and forested Jamaica, Guadeloupe, and Martinique. They are depicted as empty spaces, although they were Indigenous strongholds at the time, and the focus of a concerted effort by the Spanish to capture and enslave these populations. The same mapmaker’s portrayals of Jamaica fail to note Spanish presence in the island’s open spaces (such as St Vincent) that were in actuality anything but empty. In a  map also published in Venice, the island of Hispaniola is shown in much greater detail, including regional place names of both Indigenous and  Benedetto Bordone, ‘Spagnola’, ‘Jamaiqua’, and ‘Guadalupe’, maps, in Libro di Benedetto Bordone nel qual si ragiona de tutte l’isole del mondo con li lor nomi antichi & moderni, historie, fauole, & modi del loro uiuere, & in qual parte del mare stanno, & in qual parallelo & clima giacciono, con il breve di Papa Leone (Venice, ), JCB map collection .  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~4643~102745:-Map-of-Hispaniola-?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:H528%2BB729l;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=14&amp;trs=96 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core Spanish provenance, interior settlements, and locally specific detail of moun- tains, rivers, lakes, and forests. Both of these maps, along with a  depic- tion of the Caribbean issued in Frankfurt, insisted on disproportionately representing Isabela, a town founded on Hispaniola’s northern coast by Colón in , hit twice by hurricanes, and then abandoned in . These three examples might suggest over-reliance on European projections of signifi- cance drawn from travel accounts about early Spanish claims, particularly since the settlement of Isabela was a failure. This  map also shows large red forts deep in the interior of Spanish colonial claims, enveloping pockets of woods or hills, beside a cartouche with docile Indigenous faces, inviting fruits, and attract- ive birds. It is of interest to note that often when Indigenous faces/bodies did appear on the geographical portions of the maps they were pictured in the dec- orative elements and cartouches, thus removed from their land and safely away from the European settlements upon it. The cultivation of cash crops also speaks to Indigenous access to land, or lack thereof. The  Coronelli map shows signs of the cultivation of crops such as pineapple, ginger, passionfruit, and indigo. A hardly recognizable map of Cuba from  by Paolo di Forlani entices readers with a description of sugar, gold, cotton, and grains that the island offered. Another di Forlani map, this time of Hispaniola, shows a diminished (but not abandoned) Isabela. This map has greater detail of Indigenous place names and individual Spanish settlements, and perhaps most interestingly shows clearly bounded plots of land, with some that seem to be rowed with crops, including what appears to be sugar cane near Santo Domingo. These cultivars are indicative of inherently conflict-ridden European encroachment upon the interiors, upon which Indigenous populations relied as refuge from European settlements. The presence of plants in the maps often indicated how land was, or was not, utilized. Density of trees could denote light European presence, difficult terrain, or sparse cultivation. The Fort Plantation of Barbados shows surveyed, Anglocentric property relations in , barely two decades after English colon- ization. Cleared space includes pasturage for cattle and a ‘potato peece’; ‘fallen land’ appears with stumped trees. Structures of varying size appear on a tree- dotted landscape that adjoins the coast, though there is no reference to the slaves who likely built and toiled in the mill or saltpetre buildings portrayed. This map was in part drawn to settle an apparent property issue with a Mr  Giovanni Battista Ramusio, ‘Isola Spagnuola’, map, in Summario de la generale historia de l’Indie occidentali cauato da libri scritti dal Signor Don Pietro Martyre … et da molte altre particulari rela- tioni (Venice, ), JCB map collection .  De Bry, ‘Occidentalis Americae partis’, JCB map collection .  Coronelli, ‘Archipelague du Mexique’, JCB map collection C-.  Paolo di Forlani, ‘L’isola Cuba’, map (Venice, ), JCB map collection . This was enhanced from a  ptolemaic map by Jacopo Gastaldi.  Paulo di Forlani, ‘L’isola Spagnola’, map (Venice, ), JCB map collection C-. Again, this was enhanced from a  ptolemaic map by Jacopo Gastaldi. E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1762~103930001:Isola-Spagnuola?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:H534%2BS955d;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1709~103230002:Occidentalis-Americae-partis----?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:J590%2BB915v%2BGVL4.1%2B%2F%2B2-SIZE;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=23 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3086~101456:Archipelague-du-Mexique,-ou-sont-le?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Archipelague%2Bdu%2BMexique%2C%2Bou%2Bsont%2Bles%2BIsles%2Bde%2BCuba;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3127~101466:L-Isola-Cuba-&egrave;-piu-sette-n-tio-n-al?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Cabinet%2BEl564%2B%2F1;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1~mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1644~102340004:L-isola-Spagnola----?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Cabinet%2BEm561%2B%2F%2B1.1;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=1 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core Wright, who, according to the notes, had encroached on the estate. A  map of Barbados does show a Wright tract set back from the coast marked ‘Balises B’ in roughly the north-west section of the island near Holetown. Belying the impenetrable features or demographic fluctuations on some maps, an official Spanish map published in  in Madrid showed no flora, mountains, or contested space, instead opting for a uniform presentation of Spanish place names across the islands that they claimed. Not only are Indigenous names broadly subdued, but the sea itself is not called Caribe. These were visual projections of fictive Spanish governmentality and domin- ation, including an orderly key, actively ignoring the major imperial competi- tion that would ravage the future of this space. Similarly, a Dutch map of Puerto Rico from  not only showed extreme detail of coasts compared to earlier maps, but omitted native ‘Borichen’ references. With greater accuracy in coastal mapping and physical topography, embellishments of flora and build- ings diminished significantly alongside long-used Indigenous names. However, Spanish representations of Hispaniola printed in the Americas in the mid-seventeenth century depended heavily on distorted size and thick- mapped detail to express two major anxieties facing their empire in the Caribbean. English ships of great size swarm the island, emanating as imminent threats from a featureless and empty Jamaica, taken only three years before by England amid their ‘Western Design’. The map, printed four decades before French colonization of Saint-Domingue, also magnifies the size of the small island of Tortuga in particular, owing to its disproportionate significance for early French presence on Hispaniola. Tortuga is shown with armed troops, a fort, and giant cannon, and features a large sketch of a working ingenio (sugar mill). Other small French settlements dot the western coast of the island, with large trees depicting the separation of the Spanish east from new encroach- ments by the enemigo frances (‘French enemy’). This map visualizes these watershed moments of Caribbean history through the lens of Spanish worries.  Hapcott, ‘Plantation called the Fort Plantation’, JCB map collection C-.  ‘Description topographïque et mesure de l’isle des Barbades’, JCB map collection .  Antonio Herrera y Tordesillas, ‘Descripcion del destricto del audiencia de la Española’, map (Madrid, ), JCB map collection .  Ricardo Cerezo Martínez, La cartografía náutica española en los siglos XIV, XV y XVI (Madrid, ), pp. –.  Joannes Laet, ‘Grondt-teeckening vande stadt en kasteel Porto Rico ende gelegenheyt vande haven’, in Historie ofte iaerlijck verhael van de verrichtinghen der geoctroyeerde West-Indische Compagnie, zedert haer begin, tot het eynde van ’t jaer sesthien-hondert ses-en-dertich (Leiden, ), JCB map collection .  Jean Somer, ‘Les isles Antilles &c. Entre lesquelles sont les Lvcayes, et les Caribes par N. Sanson d’Abbeville geogr. ordre. du Roy’, map (Paris, ), JCB map collection C-.  Juan Francisco de Montemayor y Córdova de Cuenca, ‘Plata forma q[ue] fabricó D. Ju[an] Fran[cis]co Montem[ay]or de Cuenca…’, map, in Discurso politico historico juridico del derecho y repartimiento de presas y despojos apprehendidos en justa guerra (Mexico, ), JCB map collection ; Frank Peña Pérez, Antonio Osorio. Monopolio, contrabando y despoblación (Santiago, ).  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1159~106490001:This-plott-representeth-the-forme-o?qvq=q:hapcott&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1943~106650006:Description-Topograph�que-et-mesure?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:E674%2BR311d%2B(copy%2B1);sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=3 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~4360~102427:Descripcion-del-Destricto-del-audie?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:B601%2BH564h%2B%2F1-SIZE%2Bespanola;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~2172~109590003:Grondt-teeckening-vande-Stadt-en-Ka?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:F644%2BL742h;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=1&amp;trs=2 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3083~101448:Les-Isles-Antilles-&amp;c--entre-lesque?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Cabinet%2BEj656%2BSaN;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1971~106960003:Plata-forma-q-ue--fabrico-D--Ju-an-?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:B658%2BM777d;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1~mi=0&amp;trs=1 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core Such exaggerated emphasis typifies the malleability of mapping to show meaning, in this case the paranoia of Spanish officials over imperial competi- tion, which also often came at a cost to the Indigenous populations. Divided islands elsewhere, such as Saint Christophe/St Kitts, were depicted with great detail of French settlements (by a French cartographer), with English lands portrayed as far more mountainous and empty. Intriguingly, one of the major features marked by the French was their control of significant salt ponds in the east, a job that required intensive raking by the enslaved, whose presence is not indicated. A striking  British map depicting profile views of all the coastlines of Montserrat from the sea shows parcelled and cultivated plots stretching up hills, with towns and ports marked by detailed buildings (such as windmills). In extraordinary detail, the map shows trees, mountains, and ravines, with a sizeable key of additional details. Perhaps to exoticize the place, the island is surrounded by mythological creatures, such as a fawn playing a pan flute, mermaids holding the flags of England, Ireland, and Wales, a monkey-like creature with perhaps a telescope, and two naked figures carrying a load of sticks who could have reflected the mapmaker’s attempts at depicting Indigenous people. As with the symbology of landscape and flora, representations of fauna – both fictional and accurate – in these Caribbean maps alluded to larger ideas that underpinned empire: those of exoticized space, and the transformations of that space from being dotted haphazardly with wild animal populations, towards parcels of land filled with domesticated European animals. The way in which animal symbolism and imagery are used in the maps is indicative of knowledge (or lack thereof), and communication of that knowledge for both sea and land. This knowledge starts off as coastal, and moves into the interior as more space was colonized and domesticated. Sixteenth-century representations and depic- tions of animals tended to be decorative or symbolic. In the seventeenth-century maps, they become more representative of actual commodities and evolving practices around animal husbandry in the Caribbean. Like native plants and people, animals in these maps are often divorced from time and space; they are symbolic more than descriptive. This indicates a historicization of these spaces with European ideas of Indigenous pasts after most of such Indigenous groups and the animals upon which they depended had been erased from the islands. The most startling example of this is in the  map of the West  Mariano Cuesta Domingo, Descubrimientos y cartografía en la época de Felipe II (Valladolid, ), pp. –.  Abraham Peyrounin, ‘Carte de lisle de Sainct Christophle scituée a  Degrez  minutes de lat. septentrionale’, map (Paris, ), JCB map collection .  ‘Mountserrat island ’, map, JCB map collection , reproduced in Black, ed., Blathwayt atlas. Many place names, such as ‘Cove Castel’ and ‘Bottomless Ghaut’, correspond to contemporary locations.  Joseph Nigg, Sea monsters: a voyage around the world’s most beguiling map (Chicago, IL, ). E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. 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The cartouche shows people and animals native to continental North America rather than to the Caribbean, among them a horned stag and a turkey. Another common theme is the depiction of domestication over time. Jamaica offers rich examples of this phenomenon. In a  map of the island, the pre- cinct (or parish) of St James is portrayed with an icon of a man shooting a rifle at a wild horned bull rearing up on its hind legs. Read together with Jamaican history, it suggests a buccaneer figure wrangling the wild cattle on which they subsisted on this island. A mere five years later, this same map was republished with some superficial changes, the most noteworthy being that the icon of the wild bull has been replaced with one of a placid sheep. A bull is drawn in the nearby precinct of St Georges, but it is calm and on all fours, next to the icon for pineapple cultivation, suggesting domesticity and order of a land that was, until very recently, more wild. In this case, these changes are most likely indi- cative of the  treaty of Madrid between the Spanish and English, which gave the English on Jamaica the stability to stop looking outward for Spanish threat, and start looking inward. The change in how animals of the island are portrayed in the icons alludes to the greater meaning of domesticating cattle that had been allowed to roam free, and all the ecological changes that accompanied such a shift as more land was claimed, catalogued, and made unavailable to those seeking autonomous spaces. Sea animals, in particular the fantastic ones, also feature heavily in the fifteenth- and sixteenth-century Caribbean maps of the JCB, and they too are indicative of, and also shaped, European attitudes towards this region. Chet Van Duzer claims that these monsters were attempts by cartographers to depict what could actually exist in the ocean’s depths. They worked with limited understandings of existence, and with the underlying assumption that what exists on land must have an underwater equivalent. This explains the large number of sea-chimera found in the maps: a badger with bear claws and a serpentine tail, water dragons, and a unicorn fish, for example. Christopher Columbus, heavily influenced by the fantastical descriptions of Sir John Mandeville, wrote about these types of fantastic creatures alongside his notes on his voyages to the Americas. Mapmakers later drew from his accounts.  Arent Roggeveen, ‘Generaele kaert van West Indien vande linie aequinoctiael tot benoorde Terra Neuf’, map, in Le premier tóme de la tourbe ardente, JCB map collection .  John Seller, ‘Novissima et accuratissima insulae Jamaicae descriptio per Johannem Sellerum’ (London, ), JCB map collection .  James Moxon, ‘A new mapp of Jamaica. According to the last survey’, map, , JCB map collection , reproduced in Black, ed., Blathwayt atlas.  Chet Van Duzer, Sea monsters on medieval and Renaissance maps (London, ). Thanks to this author for thoughtful conversation during our overlapping residencies at the JCB.  These are in de Bry, ‘Occidentalis Americae partis’, JCB map collection ; Anon., ‘A new map of the island of Barbadoes’, JCB map collection .  Ian M. Higgins, The book of John Mandeville with related texts (Indianapolis, IN, ).  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1901~106060002:Generaele-Kaert-van-West-Indien-van?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Generaele%20Kaert%20van%20West%20Indien%20vande%20Linie%20Aequinoctiael%20tot%20Benoorde%20Terra%20Neuf&rsquo;;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1869~105420005:Novissima-et-Accuratissima-Insulae-?qvq=q:9772-6&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1611~102060001:A-New-Mapp-of-Jamaica--According-to?qvq=q:8189-36&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1709~103230002:Occidentalis-Americae-partis----?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:J590%2BB915v%2BGVL4.1%2B%2F%2B2-SIZE;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=23 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1548~101800002:A-new-map-of-the-island-of-Barbadoe?qvq=q:Z%2BZ1%2B%2F%2B1%2B%2F%2B3-SIZE&amp;mi=5&amp;trs=9 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core The fantastic sea beasts became the basis for natural history drawings on maps, another attempt to catalogue and systematize the empire. Whales often appear in prominent or significant locations. In medieval manuscripts, whales were portrayed in association with the devil, because their large forms in the deep blue were sometimes mistaken for land, luring sailors astray. They were said to jump up into the water and crash down upon ships, or drag sailors to their deaths. This, of course, spoke to the very real fear of how precarious a profession sailing was. Europeans went into these ventures expecting to be terrified, and so they were terrified by the new animals, and, by extension, by the new people they imagined encountering. This was despite the long history of Indigenous Caribbean people using canoes to safely navigate these same seas. In several instances, fictional land-based animals from medieval fantasy and lore appear on the Caribbean maps, including manticores, griffons, fawns, various chimera, and a winged dragon. One animal, described as a Su, or Succurath, in the map’s description, is part of a broader trend in mapping and artwork of the Americas, particularly towards the south. This animal, similar to a ground sloth or type of panther, is drawn as a chimera, with a bearded, humanoid face and a giant broad tail the length of its body. It appears on a map of Trinidad, an island which has had neither sloths nor panthers for as long as humans have roamed the earth. Victoria Dickenson claims that the proliferation of the Succarath and other such fantastic American beasts replicated the idea that the Americas were ‘part of a lesser cre- ation, unfit for civilized habitation’. The animal is associated with a European judgement of the native human population, and, alongside it, the implicit fears that Europeans would similarly degenerate in this climate. I V While there were many conspicuous omissions and silences in the maps when it came to Indigenous and African presence, there was also a wealth of overt evi- dence of the ways in which these groups navigated the Caribbean in spite of the encroachment of exploitative European land-use patterns. Whereas the silences in the maps have to be carefully parsed and read against the grain, the refer- ences and allusions are better off interrogated. These allusions take the form of symbols such as native dwellings with thatched roofs or figures in Indigenous dress, decorative elements like cartouches or in the margins, place names, and script within the islands of the maps themselves.  Damien Kempf and Maria L. Gilbert, Medieval monsters (London, ), p. .  André Thevet, ‘Isle de la Trinité’, map, in La cosmographie vniuerselle d’André Theuet cosmo- graphe du roy. Illustree de diverses figures des choses plus remarquables vevës par l’auteur, & incongneuës de nos anciens & modernes. Tome premier (Paris, ), JCB map collection .  Victoria Dickenson, Drawn from life: science and art in the portrayal of the New World (Toronto, ), p. . E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~4443~102540:Isle-de-la-Trinit&eacute;--Plan-of-Trinida?qvq=w4s:/when%2F1575;q:trinidad&amp;mi=0&amp;trs=1 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core Christopher Columbus, among other early explorers working for Castile, described an Indigenous people (Kalinago) that influenced the ‘Caribbean’ toponym (and even ‘cannibal’ nomenclature for anthropophagy). This eth- nonym ‘Carib’ became the name for the Caribbean region, and therefore also became the word used to describe many of the Indigenous groups that per- sisted alongside European expansion in the area. The toponym was thus an identifier imposed from outside. But many Taíno words remained on specific islands in maps over the following two centuries (such as the aforemen- tioned ‘Borichen’ for Puerto Rico). Similarly, the Spanish island of Hispaniola, home to the colony of Santo Domingo, was labelled occasionally as ‘Hayti’, a name used by the Taíno. In this map, the eastern region is labelled ‘Caribana’, with smaller islands called Cibucheira and Cubacheira, which are difficult to link with current nomenclature. Much of early modern ‘Caribbean’ space was inscribed with Indigenous place names, toponyms that, like ‘America’, originated in editorial licence or interpretation errors. Other cartographers partitioned these spaces within the Caribbean through further toponyms. For example, a  map attributed to Metellus from the Wytfliet atlas accompanied a German translation of the monumental work of José de Acosta, and drew information from his and others’ qualitative work. In it, words linked to ‘Carib’ appeared in labels in southern Guyana, with the interior of the coast (devoid of formally labelled settlements) identified as ‘Caribana’, and south-east of Cubagua, where there is a symbol for a town named ‘Aldea de Caribes’ (‘Carib village’). South of Margarita island is another settlement simply labelled ‘Caribes’. Similarly, the  map of Guadeloupe included in an atlas published in Paris notes two Carib sites:  Philip Boucher, Cannibal encounters: Europeans and island Caribs, – (Baltimore, MD, ); Hilary McD. Beckles, ‘Kalinago (Carib) resistance to European colonisation of the Caribbean’, Caribbean Quarterly,  (), pp. –; Basil A. Reid, Myths and realities of Caribbean history (Tuscaloosa, AL, ), pp. –.  Davies, Renaissance ethnography, pp. –.  De Bry, ‘Occidentalis Americae partis’, JCB map collection . ‘Aity’ appeared as the name as late as : see Abraham Ortelius, ‘Culiacanae, Americae regionis descriptio, Hispaniolae, Cubae, aliarumque insularum circumiacientium, delineatio’, map, in Theatre de l’univers, contenant les cartes de tout le monde (Antwerp, ), JCB map collection . The island was also described as ‘Quisqueja, Ayti, and Cipanga’ in a  map: see Coronelli, ‘Archipelague du Mexique’, JCB map collection C-.  Thierry L’Etang, ‘Toponymie indigène des Antilles’, in Cécile Celma, ed., Les civilisations amérindiennes des Petites Antilles (Fort-de-France, Martinique, ), pp. –.  Seymour Schwartz, The mismapping of America (Rochester, NY, ), p. .  Johannes Matalius Metellus, ‘Residuum continentis cum adiacentibus insulus’, map, in José de Acosta, Geographische vnd historische Beschreibung der uberauss grosser Landtschafft America: welche auch West India, vnd jhrer grösse Halben die New Welt genennet wirt (Cologne, ), JCB map collection ; José de Acosta, Historia natural y moral de las Indias (Seville, ), esp. pp. , –.  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1709~103230002:Occidentalis-Americae-partis----?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:J590%2BB915v%2BGVL4.1%2B%2F%2B2-SIZE;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=23 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1557~101900004:-top--Culiacanae,-Americae-regionis?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Z%2B077%2B1598%2B1%2B%2F%2B3-SIZE%2B(copy%2B2);sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=4&amp;trs=6 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3086~101456:Archipelague-du-Mexique,-ou-sont-le?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Archipelague%2Bdu%2BMexique%2C%2Bou%2Bsont%2Bles%2BIsles%2Bde%2BCuba;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~4278~102358:Residuum-continentis-cum-adiacentib?qvq=q:01644-015&amp;mi=0&amp;trs=1 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core Pointe du Petit Carbet and Grand Carbet. A  map from Louvain shows several Spanish towns at places with Indigenous names. Finally, Coronelli’s  map of the ‘Mexican archipelago’ includes several references to Carib occupation: St Vincent is labelled ‘aux Caribes’ (‘To the Caribs’). The island of Bequia is described as ‘est aux Caribes’, and there is an island off the coast of what appears to be Venezuela (New Andalucia) called ‘Isle de Caribes’. Of interest to note is the map’s key in the upper right, which describes how own- ership of islands is indicated on the mark: A for English islands, E for Spanish, F for French, and H for Dutch. The key does not include an indication for Indigenous occupation, which Coronelli wrote directly onto the islands themselves, making a choice to represent their presence differently on the map from European occupation. It is indicative of the attitude that Indigenous existence might be marked, but their ownership over the land unacknowledged as being on a par with European claims. It was common for maps from the same location and era to both include and omit these types of markers of Indigenous presence, suggesting intentionality on behalf of the map- makers or those who commissioned them. French claims in the eastern Caribbean were still contested by Indigenous populations, unlike the Greater Antilles. A  map of Martinique shows far more detailed topography in the west, with diminutive physical structures of French style. In the east, small buildings denote Carib carbets, in the area called ‘Demeure des sauvages’ (‘Dwelling of savages’), a terrain that appears otherwise devoid of detail. This void could signify any number of things: places where Europeans could not or did not go and therefore had limited knowledge about; places that Europeans did not find useful to map; and/or set- tlements that Europeans did not recognize as civilized and thus worthy of including on the map alongside their own settlements. As an additional example, a map of Guadeloupe from the same year labels the east of the island as ‘little inhabited by the French’. These ideas also came into play regarding the spaces inhabited and used by enslaved Africans and their descendants. Compared to Indigenous figures, there were relatively few maps with distinctly African bodies on them, even in the cartouches, which usually contained ahistorical personifications of the  J. Boisseau, ‘Description de l’isle de Gadeloupe [sic] habitée des Francois despuis l an  par le Sieur de l’Olive, en ayant chassé entierement les sauvages nommez Caraibes…’, map (Paris, ), JCB map collection C-.  Corneille Wytfliet, ‘Hispaniola insula’, map, in Descriptionis Ptolemaicæ augmentum., siue occidentis notitia: breui commentario illustrata studio et opera Cornely Wytfleit Louaniensis (Louvain, ), JCB map collection .  Coronelli, ‘Archipelague du Mexique’, JCB map collection C-.  Jean-Baptiste du Tertre, ‘L’isle de la Martinique’, map, in Histoire generale des Antilles habitées par les François…, tome II (Paris, ), JCB map collection .  Abraham Peyrounin, ‘Isle de la Guadeloupe scituée a  degrez de lat. septentrional’, map (Paris, ), JCB map collection . E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3228~101569:Description-de-l-Isle-de-Gadeloupe-?qvq=q:1648%2Bguadeloupe&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~4464~102574:Hispaniola-insula-?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:F597%2BW996d%2B%2F1-SIZE;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=9&amp;trs=20 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3086~101456:Archipelague-du-Mexique,-ou-sont-le?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Archipelague%2Bdu%2BMexique%2C%2Bou%2Bsont%2Bles%2BIsles%2Bde%2BCuba;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1988~106990004:L-isle-de-la-Martinique----?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:E667%2BD975h%2B(copy%2B1);sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1605~102050001:Isle-de-la-Guadeloupe-Scitu&eacute;e-a-16-?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Cabinet%2BBlathwayt%2B31;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=3&amp;trs=5 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core geography that pointed to previous majorities, as opposed to the present. Richard Ligon’s  map of Barbados depicts two runaway slaves being chased by a slavecatcher in the less inhabited north-western part of the island. Also pic- tured is an enslaved African minding a camel, one of many Eurasian domesticated animals brought to the Caribbean on an experimental basis. There is another map in which dark-skinned bodies are engaging in work: the  Roggeveen map of Curaçao depicts what appear to be slaves pulling a ship into port in the inset of St Anne’s Bay, and at the bottom there are three further people engaged in some netting or trawling from the bank into the water. In the  James Moxon map of Jamaica, there is a decorative element at the border of the map, of a dark-skinned male wearing very little, holding a bundle of sugar cane. In his other hand, he holds the scale of the map. But these examples are outliers, not the norm. It is more common to omit mention of the enslaved, or to couch it in terms of cultivation of labour-intensive crops, such as sugar, or resource extraction like salt pans, silver mines, or logwood clearing. On occasion, symbols were more descriptive. The action-packed Thevet map of Trinidad shows an interior that is not cultivated, and seems more the terrain of thatched Indigenous homes like carbets or bohios within the trees, contrasting with clearings containing dwellings built in European style. The same map also contains canoes rather than the European-style sailing ships, and all of the people on the map engaged in activities like fishing or preparing food over a boucan appear to be Indigenous as well. There is a battle depicted on the land between two groups of Indigenous warriors wielding spears, an approach- ing military from the sea via large canoe, attacking a defending force on land. A  map of Jamaica by John Seller contains an inset of a couple of figures who were meant to be Indigenous (signified with a bow). The woman carries a shallow basket filled with what appear to be custard apples (or sweetsop), a native fruit that the Spanish had prized enough to take from the island and cul- tivate in their holdings in Asia. The aforementioned  map of the whole Caribbean by Coronelli is illustrated with fruits of the terrain, the margins fea- turing ornate sketches of ginger, indigo, passionfruit, and pineapples, with sketches of Indigenous people apparently picking them. These maps could be a reference to European knowledge of Indigenous crop cultivation, or  Elizabeth Sutton, ‘Mapping meaning: ethnography and allegory in Netherlandish cartog- raphy, –’, Itinerario, , no.  (), pp. –.  Ligon, ‘A topographicall description … of Barbados’, JCB map collection . Camels died from an apparently improper diet: Harry Alverson Franck, Roaming through the West Indies (New York, NY, ), p. .  Roggeveen, ‘’t eÿlandt Curacao’, JCB map collection .  Moxon, ‘New mapp of Jamaica’, JCB map collection .  Thomas D. Rogers, The deepest wounds: a labor and environmental history of sugar in northeast Brazil (Chapel Hill, NC, ), pp. –.  Thevet, ‘Isle de la Trinité’, JCB map collection .  Seller, ‘Novissima et accuratissima insulae Jamaicae’, JCB map collection .  Coronelli, ‘Archipelague du Mexique’, JCB map collection C-.  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1486~101320001:A-topographicall--Description-and--?qvq=q:ligon%2Bbarbados&amp;mi=0&amp;trs=9 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1902~106060003:-t-E&yuml;landt-Curacao-ende-de-Afbeeldi?qvq=q:1679%2Bgoos&amp;mi=2&amp;trs=3 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1611~102060001:A-New-Mapp-of-Jamaica--According-to?qvq=q:8189-36&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~4443~102540:Isle-de-la-Trinit&eacute;--Plan-of-Trinida?qvq=w4s:/when%2F1575;q:trinidad&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1869~105420005:Novissima-et-Accuratissima-Insulae-?qvq=q:9772-6&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3086~101456:Archipelague-du-Mexique,-ou-sont-le?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Archipelague%2Bdu%2BMexique%2C%2Bou%2Bsont%2Bles%2BIsles%2Bde%2BCuba;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;mi=0&amp;trs=1 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core might indicate that Indigenous people were forced by European planters to use their knowledge of the land for European profit, in the same ways that these planters exploited enslaved Africans’ knowledge of speciality crops. Even after colonial actors removed the Indigenous population from an island, evi- dence of their former presence persisted in unexpected places. For example, in a  map of Marie Galant, many coastal places are marked ‘passage pour canots’, or canoes, accessible only via traditional transport. In a northern coastal region of this map, two warring parties appear near two place names titled ‘massacre’, indicating violence. African presence is far more clearly indicated in the toponyms of these six- teenth- and seventeenth-century maps. In the  Joannes de Laet map of the Caribbean, Coro, a maroon settlement on what is now mainland Venezuela, is indicated on the map with a symbol for a village. The settle- ment’s proximity to Curaçao made it particularly noteworthy for the Dutch, who showed interest in the island during the Eighty Years War, and would trans- form the island into the centre of the Dutch slave trade by the s. Coro would become the maroon community of refuge for the enslaved who could reach it. Jamaica, too, was home to widespread maroon activity at this time, and the map collections reflect this. In , the British wrested Jamaica from the Spanish, and, after a short resistance, the Spanish colonists left the island for other Spanish territories, while those formerly enslaved by them fled into the mountainous central regions and to the north, joining existing maroon commu- nities. In L. van Anse and Nicolaes Visscher’s  map of Jamaica, there is a ‘Runaway Bay’ on the north coast. This bay is also noted in Vicenzo Coronelli’s  map. It still exists now, a nod to the escape route that run- aways used after control of the island transitioned to the English. Several maps of Jamaica signal the presence of autonomous African communities, noted in the ‘Tabula Iamaicae insulae’ () and ‘An exact mapp of  Among other Atlantic world examples is the rice-growing culture of South Carolina and Georgia, derived from the knowledge brought by west Africans trafficked from the ‘rice coast’, an area comprising modern-day Senegal, Sierra Leone, and Liberia. See Daniel C. Littlefield, Rice and slaves: ethnicity and the slave trade in colonial South Carolina (Urbana, IL, ).  F. Lapointe, ‘L’isle de Mariegalande scituée a  degrez  min. au nord de la ligne equi- noctiale gouvernée par Mr. de Temericourt’, map, in du Tertre, Histoire generale des Antilles, JCB map collection .  Joannes de Laet, ‘De groote ende kleyne eylanden van West-Indien’, map, in Nieuvve wereldt ofte beschrijvinghe van West-Indien,: wt veelderhande schriften ende aen-teeckeninghen van verscheyden natien by een versamelt / door Ioannes de Laet, ende met noodighe kaerten ende tafels voorsien (Leiden, ), JCB map collection .  Rupert, Creolization and contraband.  L. van Anse and Nicolaes Visscher, ‘Jamaica, Americae septentrionalis ampla insula. Christophoro Columbo detecta’, map (Amsterdam, ), JCB map collection .  Vincenzo Coronelli, ‘Isola de Iames, ò Giamaica’, map (Venice, c. ), JCB map collec- tion C-. E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1963~106940004:l-Isle-de-Mariegalande-Scitu&eacute;e-a-15?qvq=q:marie-galante&amp;mi=2&amp;trs=5 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~4566~102651:De-groote-ende-kleyne-eylanden-van-?qvq=w4s:/where%2FCaribbean;q:joannes%2Bde%2Blaet%2B1625&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1405~102170001:Jamaica,-Americae-Septentrionalis-A?qvq=q:Cabinet%2BEn68%2BViN&amp;mi=0&amp;trs=2 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~2560~101121:Isola-de-Iames,-&ograve;-Giamaica,-Possedu?qvq=q:coronelli%2Bjamaica&amp;mi=0&amp;trs=1 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core Iamaicae’ () as ‘The Banditi’. In , the British recognized these runaway communities with a series of treaties designed to allow British settlers peace while they cultivated the island. As the British developed Jamaica’s sugar industry, their land use and increas- ing population of enslaved prompted an increase in maroon activity as well. Between  and , the island saw a series of slave insurrections and armed rebellions. Many of them were at least partially successful, resulting in hundreds of liberated formerly enslaved Africans and their descendants. This coincided with a new mapping trend of the island. English maps from this period contain many features which could be considered thick-mapping, most likely indicative of English aims to acquire and disseminate geographic knowledge of a formerly Spanish territory which had not been mapped in as much detail. This demonstrated their ambitions of colonial authority in the island, and is reflective of the centrality of Jamaica in British colonial design. In , the British Jamaican governors ordered a series of raids on the Windward Maroons in the Blue Mountains. Philip Lea’s map from this time points out these fortified maroon strongholds (‘Negro Palink’ and ‘Old Palink’, from the Spanish word palenque, for the fortified hideouts of maroon groups). It also contains geographical features named ‘Negro Valley’ and mul- tiple ‘Negro Rivers’, alluding to land and waterways used by maroons on the move. After the  slave rebellion on Sutton Plantation in Clarendon parish, more than  self-emancipated former slaves joined this palenque, which would later grow into Cudjoe’s Town (later renamed Trelawny Town). Edward Slaney’s  map of Jamaica contains labels for both a ‘Negro River’ and a ‘Negro Savanna’ in the east, near where Nanny Town, a maroon village which operated at the same time as Cudjoe’s Town, would later take shape. Both Nanny Town and Cudjoe’s Town would become key players in the Maroon Wars, a series of conflicts between the maroon communities of Jamaica and the island’s British colonial officials from  to . By , territories of both Windward and Leeward Maroons made it onto a map of the island through names of rivers, valleys, and savannahs. In many cases like the ‘Palinks’ and ‘Banditi’ of Jamaica, a certain breadth and depth of knowledge of each language and region is required to recognize the  Edward Slaney, ‘Tabula Iamaicae insulae’ (London, ), JCB map collection ; Anon., ‘An exact mapp of Iamaicae’, map, in The laws of Jamaica, passed by the Assembly … Feb. .  (London, ), JCB map collection . Philip Lea, ‘A new map of the island of Jamaica…’, map, , JCB map collection , reproduced in Black, ed., Blathwayt atlas.  Philip Lea, ‘New map of the island of Jamaica’, JCB map collection .  Cudjoe, leader of the maroons in Cudjoe’s Town claimed to be the son of Naquan, the man who had organized the Sutton Plantation rebellion in Clarendon parish and led the group of runaways to the palenque.  Slaney, ‘Tabula Iamaicae insulae’, JCB map collection .  Richard Price, ed., Maroon societies: rebel slave communities in the Americas (Baltimore, MD, ); Sylviane A. Diouf, Slavery’s exiles: the story of the American maroons (New York, NY, ).  Lea, ‘Principall islands in America’, JCB map collection .  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1608~102050002:Tabula-Iamaicae-Insulae?qvq=q:1678%2Bslaney&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~4294~102396:An-Exact-Mapp-of-Iamaicae?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:An%20exact%20mapp%20of%20Iamaicae;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3180~101494:-top--A-generall-mapp-of-the-contin?qvq=q:Generall%2BMapp%2Bof%2Bthe%2BContinent%2Band%2BIslands%2BWhich%2BBee%2BAdjacent%2Bto%2BJamaica%2B(1685)&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3180~101494:-top--A-generall-mapp-of-the-contin?qvq=q:Generall%2BMapp%2Bof%2Bthe%2BContinent%2Band%2BIslands%2BWhich%2BBee%2BAdjacent%2Bto%2BJamaica%2B(1685)&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1608~102050002:Tabula-Iamaicae-Insulae?qvq=q:1678%2Bslaney&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3182~101512:The-principall-islands-in-America-b?qvq=q:Cabinet%2BEn696%2B%2F1&amp;mi=0&amp;trs=1 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core significance of the terms, allowing them to hide in plain view to the average European reader. This is comparable to the carbets, headquarters of the Indigenous Kalinago, quietly noted along the coast of French Guadeloupe in multiple maps. Other maps, such as Peyrounin’s  ‘L’isle de la Guadeloupe’, indicate entire territories under Indigenous control. Overall, when it comes to the presence of Africans and their descendant populations in this Caribbean map sample, there are far more explicit refer- ences to self-emancipated Africans than to the enslaved in the iconography, and especially in the toponyms. As these groups of self-emancipated formerly enslaved and their descendants were more immediately problematic and posed more of a threat than the enslaved for the colonizing populations, this hardly comes as a surprise. References to the enslaved tended to be couched in terms of land use and resources. Many maps used different ways to identify plantation spaces, from dotted lines around plots, to marking out the various types of mills used in sugar production, to segmenting islands by ownership, yet the absence of slave quarters or other visual representation of the enslaved is conspicuous when compared to the number of maps which allude to runaway slaves, or maroons and their autonomous spaces. It seems that the vast majority of references to Africans and their descendants in the maps was in the structures they were forced to build while enslaved, or in the nuisance they represented to slaveholders when they self-emancipated and joined runaway communities. The reasons for this vary, depending on who created the maps, for which audiences the maps were intended, and for what purposes. Some maps actively minimized all appearance of risk on behalf of investors, while other maps made these threats posed to planters by runaways explicit so that they could justify asking for armed assistance and royal interven- tion, such as would happen with the Maroon Wars in Jamaica in the eighteenth century. V Early modern Caribbean maps show ample evidence of enslaved people – the very colonial built environs demarcated by European property claims – and thus also erasures of earlier Indigenous inhabitants, though their place names often remained. Plantation landscapes, mills, salt ponds, and harbours all appear as unattributed evidence of slaves’ exterior lives and labour. These representations say less about their internal lives, though their terrains of resist- ance appear as wilful transgressions of imperial bounds. Maroons were often heavily mapped, except for instances in which mapmakers deliberately avoided them in order to communicate projections of European dominance.  Boisseau, ‘Description de l’Isle de Gadeloupe’, JCB map collection C-.  Peyrounin, ‘Isle de la Guadeloupe’, JCB map collection . E A R L Y M O D E R N C A R I B B E A N M A P S terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~3228~101569:Description-de-l-Isle-de-Gadeloupe-?qvq=q:1648%2Bguadeloupe&amp;mi=0&amp;trs=1 https://jcb.lunaimaging.com/luna/servlet/detail/JCBMAPS~1~1~1605~102050001:Isle-de-la-Guadeloupe-Scitu&eacute;e-a-16-?sort=normalized_date%2Cfile_name%2Csource_author%2Csource_title&amp;qvq=q:Cabinet%2BBlathwayt%2B31;sort:normalized_date%2Cfile_name%2Csource_author%2Csource_title;lc:JCBMAPS~1~1&amp;mi=3&amp;trs=5 https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core Before the scientific revolution and the Enlightenment thoroughly ration- alized maps into more uniform units, early modern Caribbean mapmakers gar- ishly adorned them with flora, fauna, Indigenous and African figures, and place names that projected fugitive landscapes, consumption, and desires. Thick-mapped portrayals conveyed new knowledge alongside embellished scale, space, and notions of control, encapsulating tensions between the mystery and mastery of the colonial Caribbean. Extra-textual information drawn from lived experiences also related values and expectations that influenced future European endeavours in the physical world of the Americas. The result was informative spectacle that summarized, theorized, and modified real people and places, enabling ethnocides and concomitant environmental transformation by competing empires. Developments in mapping practices were essential to a spatial history that created a Caribbean known as an exoticized space for coveted commodities that were obtained in vast quantities through suppression and domination of Indigenous and African peoples. They were more often proscriptive and pre- scriptive rather than neutrally descriptive. As such, maps offer another source which can be read against the grain of European silences or under-representa- tions to find evidence of lives of oppressed populations under duress who left little documentary record. Many documentary records share these complica- tions, while maps differ enough from written archives to add valuable depth to our evidentiary corpora. Beyond visualizations, early modern Caribbean maps offer insights into the lived spatial experiences of European projections of desire and design.  A N G E L A S U T T O N A N D C H A R L T O N W . Y I N G L I N G terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0018246X19000499 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core https://www.cambridge.org/core/terms https://doi.org/10.1017/S0018246X19000499 https://www.cambridge.org/core PROJECTIONS OF DESIRE AND DESIGN IN EARLY MODERN CARIBBEAN MAPS* I II III IV V 
work_twczeokm2nh4xbk3vu6v64zpey	----	The strange case of the earliest silver extraction by European colonists in the New World A. M. Thibodeau*†, D. J. Killick‡, J. Ruiz*, J. T. Chesley*, K. Deagan§, J. M. Cruxent¶�, and W. Lyman** Departments of *Geosciences, ‡Anthropology, and **Materials Science and Engineering, University of Arizona, Tucson, AZ 85721; §Florida Museum of Natural History, University of Florida, Gainesville, FL 32611; and ¶Universidad Nacional y Experimental Francisco de Miranda, 4101 Coro, Venezuela Edited by David H. Thomas, American Museum of Natural History, New York, NY, and approved December 21, 2006 (received for review August 22, 2006) La Isabela, the first European town in the New World, was estab- lished in 1494 by the second expedition of Christopher Columbus but was abandoned by 1498. The main motive for settlement was to find and exploit deposits of precious metals. Archaeological evidence of silver extraction at La Isabela seemed to indicate that the expedition had located and tested deposits of silver-bearing lead ore in the Caribbean. Lead isotope analysis refutes this hypothesis but provides new evidence of the desperation of the inhabitants of La Isabela just before its abandonment. archaeological science � historical metallurgy � La Isabela � lead isotopes The first expedition of Cristóbal Colón (Christopher Colum-bus) to the Caribbean, from 1492 to 1493, returned to Spain with some gold taken from the Taı́no inhabitants of the island of Hispaniola (now divided between Haiti and the Dominican Republic). Columbus’s tales of the abundance of gold in the New World induced King Ferdinand and Queen Isabela of Spain to fund a second and much larger expedition (1). In early 1494, Columbus and �1,500 followers established the town of La Isabela on the northern coast of the present Dominican Republic (Fig. 1). His followers were eager to make their fortunes but were rapidly disillusioned by their failure to find any ores of precious metals (1, 2). La Isabela was beset by hunger, disease, hurricanes, mutiny, and conf licts with the Taı́no. In 1496 Columbus was recalled to Spain to account for his misadministration of the expedition. The few hundred remaining inhabitants of La Isa- bela struggled until early 1498, when they abandoned the town and marched across the island to found new settlements on the south coast. The archaeological site of La Isabela was intensively excavated in the late 1980s and early 1990s (1, 2). Among the finds were 58 triangular graphite-tempered assaying crucibles†† and 1 kg of liquid mercury, which was brought for the extraction of gold from powdered ore by amalgamation. The mercury was excavated from the ruins of the alhóndiga, a fortified structure erected for storage and protection of royal property (2). Within and imme- diately north of the alhóndiga, archaeologists also recovered �90 kg of galena (PbS), in blocks weighing up to 2 kg, and �200 kg of material classified in the field as metallurgical slag. Much of the ore and supposed slag was associated with a fired pit that appears to be the remnant of a small furnace that was located just north of the alhóndiga (2). Results and Discussion We examined polished sections of the galena and slag by using optical petrography and metallography, SEM, and electron microprobe analysis. Electron microprobe analysis of galena reveals highly variable silver content, ranging from �210 ppm to below the detection limit (�29 ppm) [see supporting information (SI) Table 2 and SI Methods]. The materials that are classified as slag can be divided into two groups. The first type, of which �15 kg was recovered, is crystalline and strongly magnetic. Optical and SEM analyses reveal abundant grains of metallic iron and crystals of a calcium–iron silicate in a calcium–iron–silica glass. This material is the result of a failed attempt to smelt iron with a calcareous f lux (coral): the temperatures achieved were not sufficient to allow the slag to f low freely, and thus it could not separate from the metal. The second and more abundant material (�185 kg) is a dense black glass. Optical and SEM analysis of multiple specimens shows that this glass is a lead silicate that contains tiny spheres of lead metal and chemically eroded remnants of quartz crystals that were shattered by thermal stress (see SI Fig. 4). Sulfur was not detected. Some samples of slag contain minute, complex inclusions of metallic lead, litharge (PbO), and metallic silver (Fig. 2). From these observations, we infer that some inhabitants of La Isabela were attempting to recover silver from galena by cupella- tion. The galena was reduced to metallic lead, a process that requires only that crushed ore be sprinkled on a bonfire of stacked wood (3). Sulfur is removed as sulfur dioxide fume, while any silver content dissolves into the metallic lead. Cupellation is the second stage of the process, whereby metallic lead is melted under a cover of a charcoal fire and subjected to an oxidizing blast produced by bellows. This process oxidizes the molten lead to molten litharge but does not oxidize any noble metals present. To concentrate silver, the molten litharge must be removed as it forms by absorption into or reaction with the lining of the furnace base. Author contributions: D.J.K. and J.R. designed research; A.M.T., D.J.K., J.T.C., K.D., J.M.C., and W.L.; performed research; J.R. contributed new reagents/analytic tools; A.M.T. ana- lyzed data; A.M.T. and D.J.K. wrote the paper; and K.D. and J.M.C. excavated site and provided samples. The authors declare no conflict of interest. This article is a PNAS direct submission. †To whom correspondence should be addressed at: Department of Geosciences, University of Arizona, Gould–Simpson Building no. 77, 1040 East 4th Street, Tucson, AZ 85721. E-mail: amthibod@email.arizona.edu. �Deceased February 23, 2005. ††Martinón-Torres, M., Rehren. T., 34th International Symposium for Archaeometry, May 3–7, 2004, Zarogoza, Spain. This article contains supporting information online at www.pnas.org/cgi/content/full/ 0607297104/DC1. © 2007 by The National Academy of Sciences of the USA 85 o W 80 o W 75 o W 70 o W 65 o W 60 o W 16 o N 18 o N 20 o N 22 o N 24 o N Cuba Jamaica Puerto Rico La Isabela Caribbean Sea Atlantic Ocean Hispaniola V o y age to C uba and Jamaica, A p r il- S eptembe r , 149 4 Fig. 1. Location of La Isabela. Filled squares are approximate locations of Pb deposits in the Greater Antilles (5). Open square is approximate location of the Pueblo Viejo Au–Ag oxide deposit in the Dominican Republic (7). Arrows represent the principal exploration route traveled by the second expedition after La Isabela was established. www.pnas.org�cgi�doi�10.1073�pnas.0607297104 PNAS � February 27, 2007 � vol. 104 � no. 9 � 3663–3666 A N TH R O P O LO G Y http://www.pnas.org/cgi/content/full/0607297104/DC1 http://www.pnas.org/cgi/content/full/0607297104/DC1 http://www.pnas.org/cgi/content/full/0607297104/DC1 http://www.pnas.org/cgi/content/full/0607297104/DC1 http://www.pnas.org/cgi/content/full/0607297104/DC1 In medieval Europe, bone ash was commonly used for lining cupellation hearths (3), because it absorbs litharge but does not react with it. Using bone ash in the cupellation process makes it possible both to extract silver and to recover desilvered lead by crushing and resmelting the used hearth linings. At La Isabela, the cupellation hearth was evidently lined with quartz-rich sand, which reacted with the molten litharge. This process formed a lead silicate glass from which the lead could not be recovered. Additionally, the formation of the glass would have made the oxidation of lead less efficient and caused higher losses of metallic lead, and potentially silver, to the slag during the cupellation process (Fig. 2). The spatial association of cupellation with the royal storehouse supported the hypothesis that the second expedition might have found and assayed galena from Caribbean ore deposits. Although lead mineralization is scarce in the Greater Antilles, galena is present in small volcanogenic massive sulfide deposits in Cuba, Haiti, and Jamaica and in vein deposits in Puerto Rico (4, 5). All of these islands were visited during Columbus’s second voyage (Fig. 1). To determine the provenance of the galena, we measured the lead isotope ratios of 12 samples of galena and 2 samples of lead silicate glass. The results cluster tightly, and the majority of values overlap within the 2� analytical error (Table 1). The similarity of the isotopic ratios supports our interpretation that all of the galena found at La Isabela derives from the same source. The slight displacement of lead isotope ratios evident in the samples of lead silicate glass suggests some admixture with lead from sand. Beach sands in this region are rich in quartz and coral, and locally derived lead can substitute for calcium in the latter. The isotopic composition of lead in the ore and slag samples from La Isabela, however, does not fall within the known range of values obtained for galena-bearing deposits in the Caribbean. These samples include galena from the Greater Antilles and sulfide minerals from the Pueblo Viejo Au–Ag oxide deposit in the Dominican Republic (Fig. 3). Although the data are scarce, they are consistent with models of crustal evolution for the Caribbean region and with other lead isotope measurements of rock and ore from the Greater Antilles, the Lesser Antilles, and Central America (4 –10). We therefore conclude that the galena at La Isabela was not collected from a Caribbean source. Because historic documents do not indicate that anyone from Columbus’s f leet reached the American mainland during the second expedition, we assume that the only other option is that the expedition brought galena from Europe. To evaluate this possibil- ity, we looked to ore deposits near Cádiz, the port from which Columbus’s second f leet sailed. The largest area of lead mineral- ization in Spain lies in the Los Pedroches–Alcudia Valley and the adjacent Linares–La Carolina ore fields (11). Collectively, these mining districts extend over an area of 10,000 km2 through the provinces of Ciudad Real, Badajoz, Córdoba, and Jaén and have been mined for thousands of years (11). Deposits from the Alcudia Valley are dominantly Pb–Zn polymetallic veins that contain variable but significant amounts of silver and copper (12). Galena is the dominant mineral within the Linares–La Carolina area (13). Santos Zalduegui and others (11) report lead isotope data for 125 samples of galena from the Alcudia Valley, Linares–La Carolina ore field, and the Los Pedroches batholith area. A comparison of 500 microns Litharge Metallic Lead Metallic Silver Shattered Quartz Crystal Fig. 2. Reflected light image of a lead silicate glass slag from La Isabela. Table 1. Pb isotope ratios measured on samples of galena and lead silicate slag from La Isabela Sample 206Pb/204Pb ratio 207Pb/204Pb ratio 208Pb/204Pb ratio 3a-G 18.224 15.614 38.369 3a-G (R) 18.221 15.610 38.354 6a-G 18.210 15.606 38.345 10a-G 18.211 15.608 38.349 13a-G 18.216 15.608 38.350 17a-G 18.214 15.608 38.349 17a-G (R) 18.212 15.607 38.346 23a-G 18.206 15.603 38.338 3b-G 18.196 15.602 38.328 6b-G 18.207 15.605 38.341 10b-G 18.210 15.606 38.345 13b-G 18.213 15.609 38.352 13b-G (R) 18.211 15.606 38.344 17b-G 18.218 15.609 38.347 23b-G 18.224 15.610 38.356 22-S 18.240 15.631 38.400 4-S 18.237 15.625 38.386 G, galena; S, lead silicate slag; R, repeat measurement. 15.60 15.62 15.64 15.66 15.68 15.70 18.1 18.3 18.5 18.7 18.9 19.1 38.20 38.30 38.40 38.50 38.60 38.70 38.80 38.90 Pb Slag Galena 206Pb/204Pb 2 0 8 P b/ 2 0 4 P b 2 0 7 P b /2 0 4 P b South Central Spain a b c d e Greater Antilles This Study: Fig. 3. Comparison of lead ore and lead silicate slag from La Isabela with galena and sulfide mineralization in the Greater Antilles (5, 7) and galena from the Alcudia Valley–Los Pedroches, and Linares–La Carolina mining dis- tricts in Spain (11). Individual groupings represent a, Cuba (n � 2); b, Haiti, Puerto Rico, and Jamaica (n � 4); c, Pueblo Viejo Au–Ag oxide deposit (n � 9); d, the Alcudia Valley, Los Pedroches, and Linares–La Carolina areas (n � 83); and e, Los Pedroches (n � 4). Error limits for 207Pb/204Pb measurements are shown; all other errors are smaller than symbols. Data from ref. 11 that are not shown lie outside range of the plot. For each area, n � the number of analyses represented by each shaded ore field. 3664 � www.pnas.org�cgi�doi�10.1073�pnas.0607297104 Thibodeau et al. these data with our measurements reveals that the galenas from La Isabela fall well within the range of values reported for the Linares–La Carolina fields and the Alcudia–Los Pedroches areas (Fig. 3). Other major sources of lead in Spain include the Betic Cordillera in the southeast (14), the western Pyrenees and Basque– Cantabrian basin in the north (15), the Rubiales ore deposit in the northwest (16), and the Catalonian Coastal Ranges in the northeast (17). However, the lead isotope ratios of these deposits (14 –17) do not match those of the La Isabela galenas. The lead isotope data alone cannot rule out the possibility that the galena came from some more distant part of Europe, the Mediterranean or North Africa. However, we believe that the combination of the specific historical circumstances, the geographical proximity of lead ore deposits to the port of departure of Columbus’s second f leet, the mineralogy of the deposits, and lead isotope data strongly support our conclusion that the galena recovered at La Isabela derives from the Alcudia Valley–Los Pedroches or Linares–La Carolina ore fields. Why would the second expedition have brought galena from Spain? The archaeological evidence from La Isabela (2) shows that metallic lead was used for shot and lead sheathing to protect the wooden hulls of ships. However, it is unlikely that the galena was brought for solely this purpose, because (i) galena would need to be smelted before use, and raw ore would have been an extremely inefficient use of the precious cargo space on the first transatlantic ships; and (ii) lead metal is among the supplies requested by Columbus as necessary for the colony after their arrival in 1493 (2). That almost all of the galena found at La Isabela was located in or near the alhóndiga supports the inference that it was royal property. Because the alhóndiga was used to store metallurgically important materials (such as mer- cury), we believe it is most probable that the galena was brought to La Isabela as a reagent for assaying ores for precious metals. In late medieval Europe, galena was used as a reagent in fire assays by smelting precise amounts of galena with other pow- dered ores together in a crucible so that the resulting lead would collect any noble metals present (M. Martinón-Torres, personal communication). After cupellation of the lead metal, the gold and silver content of the assayed ore could be determined by subtracting the quantities assumed or known to be present in the reagent galena (M. Martinón-Torres, personal communication). The low average silver content of the galena supports the interpretation that it was brought as an assaying reagent. The archaeological distributions of galena, slag, and cupelling residues were heavily concentrated just inside and outside of the north end of the alhóndiga. Piles of slag and galena were mapped on either side of two stone pillars that the excavators interpret as foundations for an arched portal through the north wall of the structure, which gave access to the furnace area, the beach and the shipyard (2). The scatter of slag and ore through the entranceway and into the structure suggests that the cupellation of the galena and the smelting of iron were among the last activities to have taken place at the alhóndiga, when there was no longer any concern about maintaining access to the beach or about dumping industrial waste within the royal storehouse. In early 1496, the Spaniards had located gold deposits in southern Hispaniola and subsequently established the port of Santo Do- mingo on the southern coast of the island. Throughout the latter half of 1496, Spanish settlement was gradually transferred to Santo Domingo, which significantly reduced the population of La Isabela (1). Despite the relocation, La Isabela remained occupied through 1497, although food rationing, hunger, and sickness heavily plagued the shrinking settlement (1). In May of 1497, La Isabela was sacked, and the alhóndiga was looted by a band of discontented rebels led by Francisco Roldán (1). Although a few settlers likely remained until late 1497, the site was effectively abandoned by 1498 (1). Given the archaeological context of the ore and slag, the cupelling of these ores likely postdates the breakdown of royal authority that led to the looting of the alhóndiga. We suggest that toward the end of the site’s occupation, some desperate survivors sought to salvage what they could from La Isabela before abandoning it. With the help of at least one person with basic knowledge of assaying procedures, they set out to cupel the galena stored in the alhóndiga. In so doing, they modified the standard medieval cupelling process by substituting beach sand for the usual bone ash hearth. Whether this unusual process ref lects a shortage of bone ash or a lack of metallurgical knowledge we cannot say. However, the failed attempt to smelt iron, which appears to be contemporary with the processing of galena, supports the latter inference. Thus, we believe that the processing of lead and iron ore at La Isabela was not the work of skilled assayers working for the Crown, but instead the result of the imperfect knowledge held by those at La Isabela who remained during the final stages of its occupation after the relocation of mining activities to other parts of Hispaniola. That �88 kg of galena was left unprocessed suggests that those cupelling the ore were disappointed with the return and abandoned their efforts. In conclusion, what seemed at first to be evidence of the earliest European mining and processing of precious metals in the New World appears, on further inspection, to be poignant testimony to the disillusion- ment and desperation of settlers who had embarked on the second expedition in the hope of making their fortunes. Methods Twelve samples of galena and two samples of lead silicate glass were analyzed for this study. All samples were chipped off larger pieces of material and accurately weighed. Six of the galena samples were taken from pieces that had previously been thin-sectioned and examined by using SEM. Each sample was stored in a clean dry Falcon tube (BD Biosciences, San Jose, CA). Samples were then transferred into clean 24-ml Tef lon containers. Ten milliliters of 8 M HNO3 was added to each galena sample, and 2 ml of HF was added to each sample of lead silicate glass. All samples were capped and heated on a hot plate at 125°C. To ensure total dissolution, samples were periodically placed in an ultrasonic bath. An additional sample that was composed solely of 10 ml of 8 M HNO3 was processed alongside the Pb samples to measure the total process blank. After complete dissolution, all solutions were diluted to a Pb concentration of �200 ppb based on sample weight. Sr and Pb were separated on the same Sr–Spec resin (Eichrom, Darien, IL) columns by using protocol developed at the University of Arizona. Data for a mixed National Bureau of Standards (NBS)- 981:Tl yields data with reproducibility similar to that described in ref. 18. Runs of United States Geological Survey basalt standard (BCR-2) are in excellent agreement with BCR-2 values measured by Woodhead and Hergt (19), using double-spiking thermal ionization mass spectrometry methods. Lead isotope analysis was conducted on a GV Instruments (Hudson, NH) multicollector inductively coupled plasma mass spectrometer (MC-ICP-MS) at the University of Arizona. Sam- ples were introduced into the instrument by free aspiration with a low-f low concentric nebulizer into a water-cooled chamber. A blank, consisting of 2% HNO3, was run before each sample. Before analysis, all samples were spiked with a Tl solution to achieve a Pb/Tl ratio of �10. Throughout the experiment, the standard National Bureau of Standards (NBS)-981 was run to monitor the stability of the instrument. All results were Hg-corrected and empirically normalized to Tl by using the exponential law correction according to ref. 18. To correct for machine and interlaboratory bias, all results were normalized to values reported by Galer and Abouchami (20) for the National Bureau of Standards (NBS)-981 standard (206Pb/204Pb � 16.9405, 207Pb/204Pb � 15.4963, and 208Pb/204Pb � 36.7219). Inter- nal error ref lects the reproducibility of the measurements on Thibodeau et al. PNAS � February 27, 2007 � vol. 104 � no. 9 � 3665 A N TH R O P O LO G Y individual samples, whereas external errors are derived from long- term reproducibility of NBS-981 Pb standard and result in part from the mass bias effects within the instrument. In all cases, external error exceeds the internal errors and is reported here. External errors associated with each Pb isotopic ratio are as follows: 206Pb/ 204Pb � 0.028%, 207Pb/204Pb � 0.028%, and 208Pb/204Pb � 0.031%. Mark Baker provided a great deal of assistance with sample prepa- ration and analysis. Marcos Martinón-Torres provided valuable in- formation on assaying practices in medieval Europe. This work was supported by a graduate fellowship from the National Science Foun- dation Integrative Graduate Education and Research Traineeship program in the Archaeological Sciences (to A.M.T.). The Dirección Nacional de Parques de la República Dominicana provided funds for excavation of La Isabela and permitted scientific analysis of the samples described here. Excavations were also supported by National Endowment for the Humanities Grant RK20135-94 and the National Geographic Society. The development of analytical methodology and isotopic analyses were supported by the Keck Foundation and National Science Foundation Grants EAR-9976676, EAR-0125773, and EAR-0409417. 1. Deagan K, Cruxent JM (2002) Columbus’s Outpost Among the Tainos: Spain and America at La Isabela, 1493–1498 (Yale Univ Press, New Haven, CT). 2. Deagan K, Cruxent JM (2002) Archaeology at La Isabela, America’s First European Town (Yale Univ Press, New Haven, CT). 3. Craddock P (1995) Early Metal Mining and Production (Smithsonian Inst, New York). 4. Cumming GL, Kesler SE (1976) Earth Planet Sci Lett 31:262–268. 5. Cumming GL, Kesler SE, Krstic D (1981) Earth Planet Sci Lett 56:199 – 209. 6. 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Tornos F, Arias D (1993) Eur J Mineral 5:763–773. 17. Canals A, Cardellach E (1997) Miner Deposita 32:243–249. 18. Rehkämper M, Mezger K (2000) J Anal At Spectrom 15:1451–1460. 19. Woodhead JD, Hergt M (2000) Geostand Newsl 24:33–38. 20. Galer SJG, Abouchami W (1998) Mineral Mag 62A:491– 492. 3666 � www.pnas.org�cgi�doi�10.1073�pnas.0607297104 Thibodeau et al. 
work_txwtvaohu5dnxboybn2utbmqxu	----	PII: S0969-2126(00)00192-1 Book Review R187 The last days of crystallography Tom Alber Address: Department of Molecular and Cell Biology, University of California at Berkeley, Berkeley, CA 94720-3206, USA. E-mail: tom@ucxray6.berkeley.edu Structure 2000, 8:R187–R188 0969-2126/00/$ – see front matter © 2000 Elsevier Science Ltd. All rights reserved. CCrryyssttaallllooggrraapphhyy MMaaddee CCrryyssttaall CClleeaarr, 2nd edition, by Gale Rhodes, Academic Press, $44.95 paperback (ISBN 0125870728). Biological crystallography has become a field where records are constantly broken. It was not always this way. Crystal- lography started like an amble in the Lake District. Inves- tigation was as simple and as pleasurable as putting one foot in front of the other and describing the principles of structure and function evident along the way. But the inef- fable beauty of myoglobin and lysozyme and the technical sweep of hemoglobin and chymotrypsin sparked changes. Today, the action has moved to the track. Crystallogra- phers outdo themselves (and each other) almost weekly. The -ins, -ases, -somes, channels, domains and abbrevi- ated factors are being revealed in powerful, unprece- dented detail. Just when every eye is on membrane proteins, a new record is set in kinetics. Just when it seems that the triple jump of gene–structure–drug has a powerful new champion, a new height is cleared in tran- scription. Like scientific Carl Lewises, crystallographers are jumping farther and running faster. And as if to turn nature on her ear, some of the toughest records are set in the masters division. How do today’s crystallographers do it? Clearly, they just put one foot in front of the other. This simple assertion is the central fiction of the elegant book by Gale Rhodes, Crystallography Made Crystal Clear. It is also the book’s central triumph. Who could argue that crystals are grown by gently precipitating proteins from concentrated solutions (chapter 3)? Surely, Bragg’s law (chapter 4) is as basic and incontrovertible a compass as ever crafted. Even phasing, the problem with a capital P, can be attacked with powerful experimental and computa- tional methods (chapters 6 and 7). The wonderful thing about all this sure-footed simplicity is that it is true. How does Rhodes achieve this remarkable matter-of-factness? The answer to this question lies in the plan and the style of his book. The organization is deconstructive. Rhodes summarizes the crystallographic process at the outset and marches through each step. The treatment is brief and thoughtful, with introductory and summary sections that guide the reader. With a brisk pace, Rhodes outlines crystallization, diffraction, data collection, Fourier trans- forms, phasing methods, model building and refinement. The discussion of Fourier methods, for example, is a par- ticularly good introduction to the basic mathematical tools used in crystallography. One can quibble only with emphasis, such as the puzzling initial treatment of phase as an implicit quantity. Likewise, the book misses the opportunity to discuss directly one of the most confusing issues raised perennially by students — the distinction between the X-ray wavelength and the wavelengths of Fourier terms. The annotation of two crystallographic papers is particularly useful. Although not at the level of critical analysis, the discussion helps define basic criteria to judge the quality of published work. The effect is to reduce the ‘Presto factor’, the impression given by a number of general textbooks that a crystal structure is like a rabbit pulled out of a hat by a magician. The last chapter on using coordinates introduces useful web- based tools and emphasizes the representational charac- ter of molecular models. This idea, that models are not molecules, urges the reader on towards deeper insights derived using structural methods as one of many means of perception. Beyond content, the effortless writing style and the intro- ductory, consumer-oriented treatment contribute to the book’s remarkable clarity. Crystal Clear is quite different from Protein Crystallography by Blundell and Johnson. This ancient book contains ‘The Word’, discovered partly on stone tablets and parchments that can be read and reread without ever grasping their deepest truths. The copies of Protein Crystallography in my laboratory have broken bind- ings. In contrast, Crystal Clear is like a story of determining crystal structures. The style is comprehensible, nonjudg- mental, even breezy — excellent to inspire students. The reader is just as likely to gain the confidence to solve structures or to become a regular reader of this journal (or both). The miracle in Crystal Clear is the absence of the crushing, unwritten sense that there is much more to be known, even though, of course, there is much more to be known. Each sentence encourages the reader to compre- hend the next and to join the race for discovery. Here is where the second edition of Crystal Clear unex- pectedly stumbles. The revisions at best hint of powerful changes in the field. Only two pages, for example, are devoted to phasing by multiwavelength anomalous dif- fraction (MAD), a technique that has increased the pace and scope of crystallography. The description of the initial electron-density map as crude or uninterpretable misrep- resents clear experimental electron-density maps that are increasingly commonplace. Where is the discussion of newer phasing methods (e.g., SHARP) and methods of automated model building and refinement (e.g., wARP)? The impact of the free R factor is dramatically underem- phasized, as is the use of structural databases in model building. These and other advances are hidden by the decision to retain the annotation of papers from the early 90’s. Some of the techniques used in those papers do not prepare the reader to fully understand a modern paper. Surely, annotation of recent structures that have estab- lished new functional paradigms would afford a more modern vision. The second edition of Crystal Clear also contains new sec- tions on fiber diffraction, electron diffraction, neutron dif- fraction, homology modeling and nuclear magnetic resonance (NMR) spectroscopy. One consequence is to make the book more suitable as a supplementary textbook. However, the effect is unbalanced. The discussion of NMR and homology modeling in a single chapter gives the mistaken impression that these techniques are equally informative. Does it take eight chapters to understand crystallographic models and half a chapter to appreciate models derived from NMR? The mismatched levels of sophistication are evident, for example, in the statement, “The end result of analyzing NMR spectra is a list of dis- tance restraints… This is really about all that we learn about the protein from NMR.” This oversimplification challenges the sense of humor of even the generous reader. These criticisms are not meant to minimize the many strengths of the second edition of Crystal Clear, which is a superb first book for anyone seeking a deeper understand- ing of X-ray methods and structural discoveries. What, it may be asked, are crystallographers poised to dis- cover? A leading practitioner once divided biological crystal- lographers into two schools: analytical rationalists exemplified by Leonardo daVinci and descriptive explorers exemplified by Christopher Columbus. A thousand ships are now at sea, and the blank spaces in the cell are filling up fast. Just as the millennium will forever be associated with sequencing the first human genome, current structural work will be a lasting touchstone for future scientists concerned with the engines of physiology. Biologists will refer back to today’s structures of DNA, RNA, enzymes, membrane pro- teins and giant machines such as the nucleosome, the ribo- some and RNA polymerase. Surely, there are many more such descriptive discoveries to be made. Just as certainly, technical innovations on the horizon will make it much easier to put one crystallographic foot in front of the other. Palpable changes define the crystallographic frontiers that include understanding larger complexes, new classes of molecules, and new principles of design and function. The challenge of mapping the bounded protein landscape is being taken up by the push into structural genomics. The numbers are too big even for the fastest Carl Lewises. Automation is required. Surprisingly, the major crystallo- graphic hurdles have been cleared already. Synchrotron beamlines will meet the demand for multiwavelength data. Expert systems have automated and optimized every com- putational step from data processing to map calculation. With an accurate, high-resolution map, available programs can build and refine a model with little human intervention. In favorable cases, new structures already can be completed in a few hours. Routine structures will soon be solved auto- matically at centers, like small-molecule structures today. Crystal Clear offers little inkling of these changes. Instead, Crystal Clear confidently describes crystallography at the end of the era of handcrafted structures. Once ‘10,000 structures’ are produced through structural genomics, however, the infrastructure will be in place to tackle new problems. ‘A thousand kinases’ will yield prin- ciples of recognition and specificity. A complete structural survey of a viral genome will become a doctoral thesis project. New questions will be posed: how does a cancer cell differ from its normal progenitor? and how does a cell change with age? The answers to such questions may be revealed by comparative analysis of 100–500 new struc- tures. New tools to express and purify proteins by the score will facilitate studies of multicomponent machines. Crystallographers will focus increasingly on crystallization and on experiments with crystals to derive mechanistic principles. By providing a clear exposition of basic methods, Crystal Clear is a guide to this new world. Read the book and you will be introduced lucidly and enthusiastically to structure determination and molecular models. Hurry, though. The protein crystallography described in Crystal Clear is nearing the end of its run. R188 Structure 2000, Vol 8 No 9 
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work_u72qxh7dobbpzernmpunbui4by	----	dec04_researchers.qxp RESEARCH/RESEARCHERS 912 MRS BULLETIN/DECEMBER 2004 Laboratory, L.N. Pfeiffer of Bell Laboratories/Lucent Technologies, and their colleagues have created a device that effectively splits a stream of quan- tum objects such as electrons into two streams according to the spin of each, herding those with “up” spin in one direction and corralling those that spin “down” in another (see Figure 1). By pro- ducing such spin-polarized streams, the device could become a key component in quantum computers, which have not yet left the drawing boards of the computer industry but are highly sought after for their purported facility at cracking codes and searching large databases. “We have achieved spatial spin separa- tion of the holes in gallium arsenide, the spaces that electrons leave behind as they travel through this semiconductor,” said Rokhinson, who is an assistant professor of physics in the School of Science. “These holes also have spin characteristics, just as particles do, and separating them accord- ing to their spin has been a great challenge. Producing this effect will be critical for the success of any spin-based electronic device, and this separation method could be one of the missing links necessary for the development of quantum computers and nonvolatile memory devices.” Two particles’ respective spins, which are opposite but inextricably linked, allow them to form a quantum bit, or qubit, that can actually be in a superposi- tion state that simultaneously represents the possibility of “on” and “off” states, or function as both a one and a zero during digital calculations. This ability to repre- sent two conditions at once, multiplied many times over within a computer chip that uses a large number of qubits, could be a powerful tool for sifting through information. “The trouble is, you have to find a way to measure the final quantum state of the qubit after the calculations have been made to extract useful information from them,” Rokhinson said. “Only once you have separated them can you obtain the answer to your calculations. This meas- urement issue has been one of the big challenges of the field.” Part of the reason behind this difficulty lies in the very weak coupling of spin with the environment. In semiconductor materials, Rokhinson said, spin is cou- pled many trillions of times less than charge is, and spin experiences compara- tively little influence from nearby matter. “In practical terms, this means you can try to make a particle flip its spin from ‘up’ to ‘down,’ but it won’t feel you push- ing,” he said. “Researchers have tried to polarize the particles using everything from light waves to strong magnetic fields, but nothing was working well enough to separate them.” However, Rokhinson’s team discovered that semiconductors made of highly puri- fied GaAs sandwiched between layers of AlGaAs possessed a natural property that when harnessed could push the holes into two different directions according to their spin state, as the researchers reported in the October 1 issue of Physical Review Letters (146601). Using a so-called magnetic focusing technique, a small perpendicular magnetic field bends a beam of holes in a GaAs semiconductor along two different cyclo- tron trajectories, with the radius depend- ing on the spin of the particles. Those holes with “up” spin curve in one direc- tion, those with “down” spin in the other. Rokhinson said, “The only reason I have used holes rather than electrons is a pure convenience: GaAs/AlGaAs het- erostructures are the cleanest systems we can grow, and two-dimensional gases of this material have the highest mobility (the catch is that our particles should not experience any scattering while complet- ing the half-a-circle, which is a few microns).” Spin-orbit interaction for elec- trons in GaAs is an order of magnitude weaker than for holes. “But the physics is the same,” said Rokhinson. “As long as we deal with charged particle with spin- orbit coupling we can construct a ‘spin spectrometer’ of a ‘spin filter.’” Nanoporous Structures Formed by Electrodeposition Process Existing techniques for producing functionally graded electrodes require the deposition of multiple layers of mate- rial, each with a different pore structure. Each layer must be thermally and chemi- cally compatible and able to conduct elec- tricity. M. Liu of the Georgia Institute of Technology and collaborators H.-C. Shin and J. Dong have found a simpler means of producing three-dimensional nano- porous electrodes that facilitate the movement of liquids and gases. By generating hydrogen bubbles during the deposition of copper, tin, or a copper– tin alloy onto a copper substrate, the researchers create self-supported metallic foam electrodes that contain a complex network of interconnected pores. Because the bubbles expand as they move away from the substrate, they create passage- ways through the deposited metal that become wider the closer they get to the outside of the electrode. The tapered passageways should allow gases and fluids to move more easily through these functionally graded elec- trodes, enhancing the performance of solid-oxide fuel cells, lithium batteries, and chemical sensors, for example. The nanoporous nature of the structures pro- vides a large surface area on which elec- trochemical reactions can take place. “By adjusting the properties of the elec- trolyte—the viscosity and chemical com- position—we can change the size of the gas bubbles we generate,” said Liu, a pro- fessor in the School of Materials Science and Engineering. “Getting the bubbles small enough allows us to produce three- dimensional nanostructures in which the pores are small on the inside but taper to larger pores on the outside.” Lui, who is also the co-director of Georgia Tech’s Center for Innovative Fuel Cell and Battery Technologies, said, “In our electrode, the gradient is created naturally and is ideal for our needs…. You can avoid the complexity of creating multiple layers.” The researchers said that the produc- tion of hydrogen bubbles serves as the basic sculpting tool for creating the pore structure. The gas acts as a dynamic tem- plate for the formation of the structure and serves as a barrier for the diffusion of reactive ions from the electrolyte to regions around the branches that are depleted of ions, preventing overgrowth of passageways. The new electrodes vary in thickness from a few microns up to 15 µm, depend- ing on the materials used and the process- ing time. Liu expects that copper-based electrodes will be useful in solid-oxide fuel cells, while tin-based electrodes will be useful in lithium batteries. Microscope study reveals subtle differ- Figure 1. Atomic force micrograph of a device used to separate quantum objects according to their spin. The light-colored lines are oxide separating different regions of two-dimensional “hole gas” beneath the surface. (Graphic courtesy of Purdue University.) https://doi.org/10.1557/mrs2004.256 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms. https://doi.org/10.1557/mrs2004.256 https://www.cambridge.org/core https://www.cambridge.org/core/terms RESEARCH/RESEARCHERS MRS BULLETIN/DECEMBER 2004 913 ences between electrodes made from cop- per and those made from tin. The branches of the tin deposits are longer and straighter than those of copper. The copper foams also contain nanometer- sized grains and pores not seen in the tin structures. Liu said the differences may be related to the fact that during deposi- tion of the copper electrodes, gas bubbles are produced from both the deposited copper and the substrate. In the tin elec- trodes, only the substrate produces bub- bles. The researchers will publish their work in an upcoming issue of Advanced Functional Materials. tor of the Indira Gandhi Centre for Atomic Research (IGCAR), Kalpakkam, India, beginning his tenure in May. Matthew Tirrell, Dean of the College of Engineering at the University of Cali- fornia, Santa Barbara, has been appointed as a Venture Partner at NGEN Partners LLC (Santa Barbara, Calif.), a venture capi- tal fund with a focus on the materials field. Chris G. Van de Walle has joined the Materials Department at the University of California, Santa Barbara as professor of computational materials. He will also be associated with the Materials Research Laboratory and the California Nano- Systems Institute. News of MRS Members/Materials Researchers S. Banerjee has been appointed direc- tor of the Bhabha Atomic Research Centre (BARC), Mumbai, India, begin- ning his tenure in April. Chad Mirkin, the George B. Rathmann Professor of Chemistry and Director of the Institute for Nanotechnology at North- western University, has been selected to receive the National Institutes of Health (NIH) Director’s Pioneer Award in recog- nition of his efforts in pioneering the devel- opment of nanoscale chemical and biologi- cal sensors. Mirkin is also the founder of Nanosphere, Inc. in Northbrook, Ill. and NanoInk, Inc. in Chicago, Ill. Baldev Raj has been appointed direc- Jennifer West, the Isabel C. Cameron Professor of Bioengineering and profes- sor of chemical engineering at Rice University, has been selected to receive the 2004 Annunzio Award from the Christopher Columbus Fellowship Foundation in recognition of her work in biomaterials and tissue engineering. Wolfgang Windl of The Ohio State University and Gerd Duscher of North Carolina State University have been awarded the 2004 Nano Technology Industrial Impact Award from the Nano Science and Technology Institute for their discovery of atomically sharp “perfect” interfaces in Si:Ge/SiO2 devices. conductor manufacturing productivity in the current and future manufacturing facil- ities of its member companies. ISMI is a wholly-owned subsidiary of SEMATECH, Inc. (Austin, Texas). Matsushita joins AMD, Hewlett-Packard, IBM, Infineon, Intel, Freescale, Philips, Texas Instruments, and TSMC (www.panasonic.co.jp/global; www.ismi.sematech.org). NanoDynamics (Buffalo, N.Y.) has signed a joint venture agreement with the New Zealand-based technology company, Nano Cluster Devices Ltd. (NCD) to com- mercialize NCD’s technology process for self-assembly of nanowires in production of semiconductors and electronic compo- nents (www.nanodynamics.com; www. nanoclusterdevices.com). Nanoscale Science and Engineering Centers have been announced by the National Science Foundation for the fol- lowing universities: University of Cali- fornia—Berkeley, Center of Integrated Nanomechanical Systems ($11.9 million), director: Alex Zettl; Northeastern Univer- sity, Center for High Rate Nanomanu- facturing ($12.4 million), director: Ahmed Busnaina; Ohio State University, Center for Affordable Nanoengineering of Polymer Biomedical Devices ($12.9 million), direc- tor: L. James Lee; University of Penn- sylvania, Center on Molecular Function at the Nano/Bio Interface ($11.4 million), News of MRS Corporate Affiliates/Materials Institutions The Aachen University of Techno- logy, AIXTRON AG (Aachen, Ger- many), and Philips Lighting (Aachen- Rothe Erde, Germany) have signed a col- laboration agreement aimed at the joint development of novel large-area white organic light-emitting diodes (OLED) (www.rwth-aachen.de; www.aixtron.com; www.lighting.philips. com). The Ceramics and Composites Labor- atory has been launched within the Department of Engineering Materials at Sheffield University, United Kingdom, to develop new materials. The laboratory has been guaranteed funding of £6 mil- lion over the next five years from the Engineering and Physical Research Council (EPSRC) (www.shef.ac.uk/materials/ research/centres/ccl.html). The Institute for Lasers, Photonics and Biophotonics at the State University of New York at Buffalo has received a $925,000 grant from the John R. Oishei Foundation for research and develop- ment in nanomedicine and nanobiotech- nology (www.photonics.buffalo.edu). Matsushita Electric Industrial Co. Ltd. (Osaka, Japan) has joined the International SEMATECH Manufacturing Initiative (ISMI), becoming the newest member of the global consortium of leading semicon- ductor manufacturers engaged in coopera- tive precompetitive work to improve semi- director: Dawn Bonnell; Stanford Univer- sity, Center for Probing the Nanoscale ($7.5 million), director: Kathryn Moler; University of Wisconsin—Madison, Center for Templated Synthesis and Assembly at the Nanoscale ($13.4 million), director: Paul Nealey (www.nsf.gov). The Northwestern Institute on Com- plex Systems (NICO) was established at Northwestern University (Evanston, Ill.) to stimulate path-breaking research of com- plex systems across traditional boundaries. NICO comprises a distinguished and diverse group of faculty from all areas of the university, including engineering, busi- ness, natural sciences, education, medicine, law, and the social sciences. Mark A. Ratner, Morrison Professor of Chemistry at Northwestern, is the group leader of the NICO-affiliated center on materials self- assembly processes (www.northwestern. edu/research/nico). Correction In the article, “Novel Materials and Appli- cations of Electronic Noses and Tongues,” published in the October 2004 issue of MRS Bulletin, the publication listed as Reference 26 was incorrect. The correct reference is: N.A. Rakow and K.S. Suslick, “A Colori- metric Sensor Array for Odour Visuali- zation,” Nature 406 (2000) p. 710. FOR MORE RESEARCH NEWS ON MATERIALS SCIENCE . . . w w w. m r s . o r g / g a t e w a y / m a t l _ n e w s . h t m l www.mrs.org/publications/bulletin https://doi.org/10.1557/mrs2004.256 Downloaded from https://www.cambridge.org/core. 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work_uabwisegyjbszi7sxhwfft7cxi	----	Sultan Qaboos University Med J, August 2013, Vol. 13, Iss. 3, pp. 341-344, Epub. 25th Jun 13 Submitted 23RD May13 Peer Reviewed Accepted 4TH Jun 13 One of the very interesting articles in this issue is Tobacco Smoking and Lung Cancer: Perception-changing facts.1 The author has raised a salient issue by stressing that strict regulations to control tobacco smoking can reduce mortality due to lung cancer and other diseases. The problem is that tobacco use has become a mass global phenomenon—currently an estimated 794 million adults use tobacco, smoking 5,884 billion cigarettes a year. A further 350 million are exposed to second-hand smoke (SHS) at work.2 The problem is centuries old. Tobacco was brought to Europe by Christopher Columbus, who discovered it in Cuba in 1492.3 By the beginning of the 16th century, the tobacco trade was already established between the Caribbean and India, soon extending to China, Japan and the Malay peninsula. About the same time, the Portuguese and Spanish brought tobacco down the east coast of Africa, then to Central Africa. By the 17th century, tobacco was being produced in Russia, Persia, India and Japan.3 In the early 20th century, tobacco use rose to epidemic proportions, mostly due to aggressive marketing by the tobacco industry after the invention of the cigarette machine.4 Tobacco consumption rose again after World War I, and after World War II it became very common.5 In the 20th century, tobacco killed approximately 100 million people.2 If present patterns of use persist, tobacco use could cause as many as 1 billion premature deaths during the 21st century.6 Presently, the burden of tobacco use is greatest in high-income countries (18% of deaths attributable to tobacco use), intermediate in middle-income countries (11%), and lowest in low-income countries (4%).7 However, because rates of smoking are increasing in many low-income and middle- income countries and decreasing in most high- income countries, the proportion of deaths from tobacco use could increase in low- and middle- income countries as the number of tobacco-related deaths increases.6,7 Although most of the tobacco that is consumed throughout the world is in the form of manufactured cigarettes, it is also smoked in other products, such as cigars, cigarillos, pipes, water pipes, kreteks (clove cigarettes), bidis (tobacco rolled in a tendu or temburni dried Indian ebony leaf that is tied with a cotton thread), and papirosy (Russian cardboard- tube-tipped cigarettes). Water pipes (sheesha) are common in Middle Eastern and some Asian countries.8 Tobacco use is now the world’s single leading preventable cause of death. More deaths are caused each year by tobacco use than by all deaths from human immunodeficiency virus (HIV), tuberculosis, and malaria combined.2 Scientific knowledge about the effects of tobacco smoking accumulated during the last century after evidence linking smoking and cancer appeared in the 1920s. Between 1920 and 1940, a chemist, Angel Honorio Roffo, published articles showing that cancers could be experimentally induced by exposure to tar from burned tobacco. Roffo et al. further showed that cancer could be induced by nicotine-free tobacco, meaning that the tar itself was carcinogenic.9 Department of Community Medicine & Public Health, Tanta University, Egypt, and Department of Health Planning, Ministry of Health, Muscat, Oman E-mail: drmoness@gmail.com تدخني التبغ احلقائق والسلوكيات موؤن�س م�شطفى ال�ش�شتاوي editorial Tobacco Smoking Facts and actions Moeness M. Alshishtawy Tobacco Smoking Facts and actions 342 | SQU Medical Journal, August 2013, Volume 13, Issue 3 Evidence that smoking causes cancer mounted in 1951 when Hill et al. in Great Britain, and Wynder et al. in the USA demonstrated a statistically significant correlation between smoking and lung cancer.5 In 1957, the first official USA government statement on smoking and health was televised; the Surgeon General, Leroy Burney, announced that scientific evidence supported cigarette smoking as a causative factor in the aetiology of lung cancer. By 1960, Joseph Garland, editor of the New England Journal of Medicine confirmed that the evidence has become sufficiently strong to suggest a causative role.9 Smoking causes an estimated 90% of all lung cancer deaths in men and 80% of all lung cancer deaths in women.7 The major diseases caused by tobacco include other cancers, coronary heart disease, cardiovascular diseases, chronic respiratory diseases, pregnancy complications, and respiratory diseases in children.10 Despite this large volume of evidence, cigarette manufacturers have told smokers their products are not injurious to health. In fact, cigarette companies frequently promised consumers that their brands were better for them than their competitor’s brands because the smoke was less irritating, smoother, and milder.11 However, internal industry documents revealed that by the late 1950s the tobacco companies knew and accepted the evidence that cigarette smoking was a cause of cancer. These documents revealed also that the tobacco companies deliberately conspired to confuse the public debate about smoking and health and co-opted scientists by research funding offers channeled through third party organisations.9 It is shameful that the cigarette companies which signed the 1954 Frank Statement to Cigarette Smokers, which denied the link between smoking and cancer, did not fulfill their promises to support unbiased research into tobacco and health.11 Tobacco manufacturers only recently admitted that smoking causes lung cancer and other diseases, and in varying degrees. Despite this, they have rebutted charges made in personal injury lawsuits that their products caused cancer.12 Their defence experts testified that most people start smoking because of peer pressure or because family members smoke, not because they were influenced by advertising. Defence witnesses stated that the tobacco companies do not advertise their products to under 21-year-olds. Expert witnesses testified that nicotine is not addictive; that motivated people can quit smoking; that cigarettes, unlike hard drugs, are not intoxicating and withdrawal symptoms are mild; that nicotine does not impair human judgment or decision-making, and that people smoke for relaxation, taste, and enjoyment, not because they are addicted.12 The global response to the pandemic of tobacco- induced death and disease has been the World Health Organization’s (WHO) Framework Convention on Tobacco Control (FCTC), the first ever global health treaty.4 The WHO FCTC exhorted countries to develop action plans for public policies, such as bans on direct and indirect tobacco advertising, tobacco tax and price increases, the promotion of smoke-free public places and workplaces, and the printing of health warnings on tobacco packaging. It also called for countries to establish programmes for national, regional, and global tobacco-use surveillance.13 By August 2012, the WHO FCTC had been ratified by 176 countries, accounting for 88% of the world’s population.14 The Global Monitoring Framework for Non- Communicable Diseases urged countries to implement the WHO FCTC to achieve a relative reduction in tobacco smoking of 30% by 2025.15 Indeed, many countries have recently implemented stricter measures, in line with the WHO FCTC. Guidelines adopted by the first session of the FCTC Conference of the Parties16 has led to achievements such as smoking bans at beaches in some Australian states and parks in Canada. Brazil has banned the use of additives in cigarettes and tobacco products. Some countries have increased the size of their pictorial health warnings—Uruguay (to 80%) and Mauritius (to 65%)—while Australia now requires plain packaging of tobacco products with other countries likely to follow suit. Nine countries have banned the display of tobacco products, and five have banned tobacco advertising at points of sale. Nepal now forbids the sale of tobacco products not only to minors but also to pregnant women, while Bhutan has legislated for a comprehensive tobacco sale ban. Finally, Finland and New Zealand are endeavouring to become tobacco-free countries.16 Oman is one of the countries where a large number of people smoke. The 2008 Oman World Health Survey revealed 14.7% of males were current smokers (12.3% averaged 16 cigarettes a day, 2.4% Moeness M. Alshishtawy Editorial | 343 were occasional smokers). This shows an increasing trend compared to the 2000 Survey where only 10.7% of males smoked. In both surveys, only <0.5% of females smoked.17 According to a third study undertaken in Oman in 2004, as many as 7.0% (males 13.4%, females 0.5%) were current smokers, and 2.3% were former smokers. The group with the highest prevalence was Omanis aged 40–49 years where the rate was 11.1% (18.7% of males, 0.9% of females). The mean age for starting smoking was 18.7 years for males and 24.3 years for females. In Oman and neighbouring countries, females start smoking later than men and smoke fewer cigarettes, mainly as a result of sociocultural, religious or economic factors.18 Fortunately, in 2010, a study measuring indoor SHS was conducted in Oman. A special monitoring instrument measured particulate matter (PM2.5) which is solid or liquid particles emitted to the air. Of 30 venues monitored, active smoking was only observed in recreation venues (although they had signs prohibiting smoking). All schools, hospitals, government offices, and public transportation monitored in this study appeared to be compliant with the smoke-free policies. A level of PM2.5 (256 μg/m3) was found in one recreation venue (a sheesha coffee shop) which was 25 times higher than smoking-free venues and outdoors.19 Visitors to such a venue would be subjected to a short-term exposure of PM2.5 10 times higher than what is acceptable for a whole day (25 μg/m3), as defined by the WHO. However, long-term exposure to PM2.5 concentrations, associated with adverse effects on chronic cardiovascular and respiratory disease, is identified at 10 μg/m3 as an annual average.20 In the light of such studies, Oman has already banned TV, radio and outdoor cigarette advertising. Citizens have since been pressing for smoking bans in shopping malls, cinemas and restaurants. From April 2010, the Muscat municipality banned smoking in all public places. Anyone flouting the ban is fined up to OMR 100 and OMR 300 from the third offence. Private establishments, lax in enforcing the new curbs, also face fines and even risk having their establishments closed down for 3 to 7 days. The licences of persistently offending establishments can be permanently cancelled. Establishments covered by the new measure must display English and Arabic ‘No Smoking Zone' signs and smoking in these establishments is permitted only in designated ‘smoking zones'. Since November 2012, cigarette packs in Oman must be printed with a message alerting smokers to the dangers of smoking and a compelling image aiming to persuade them to kick the habit. All cigarette manufacturers and distributors should also keep such messages as part of anti-smoking campaigns. The activities of the Oman Tobacco Control Programme includes the following interventions: higher taxes on tobacco products; comprehensive bans on tobacco advertising; information in the media on the health consequences of smoking, and school-based anti-smoking programmes in combination with community-based activities. All these efforts assure us that there are now unprecedented opportunities to prevent and eradicate tobacco dependence by proven interventions aimed at both the population and individuals. The effectiveness of tobacco control policies will depend on coordination and cooperation between the various government and non-government organisations. In Oman, we need to increase awareness among adolescents in order to reduce rates of smoking initiation, increase quit attempts through improved access to cessation therapies, and protect non-smokers by re- examining smoke-free policies in recreation venues. References 1. Furrukh M. Tobacco Smoking and Lung Cancer: Perception-Changing Facts. Sultan Qaboos University Med J 2013; 13:345–58. 2. Cohen J. Global tobacco epidemic and public health response. U.S. Department of Health and Human Services, Centers for Disease Control and Prevention. From: http://www.cdc.gov/about/grand- rounds/archives/2012/p dfs/GR-Tobacco-ALL- FINAL-Jul24.pdf Accessed: May 2013. 3. Mackay J, Croftont J. Tobacco and the developing world. Br Med Bull 1996; 52:206–21. 4. Hosseinpoor AR, Parker LA, d’Espaignet ET, Chatterji S. Social determinants of smoking in low- and middle-income countries: results from the World Health Survey. PLos ONE 2011; 6:e20331. 5. Grzybowski A. The history of anti-tobacco actions in the last 500 years. Part 1. Non-medical actions. Przegl Lek 2006; 63:1126–30. 6. World Health Organization. WHO report on the Global Tobacco Epidemic, 2011: Warning about the dangers of tobacco. Geneva: World Health Tobacco Smoking Facts and actions 344 | SQU Medical Journal, August 2013, Volume 13, Issue 3 Organization, 2011. 7. World Health Organization. Global Health Risks: Mortality and burden of disease attributable to selected major risks. Geneva: World Health Organization, 2009. 8. Giovino GA, Mirza SA, Samet JM, Gupta PC, Jarvis MJ, Bhala N, et al. Tobacco use in 3 billion individuals from 16 countries: an analysis of nationally representative cross-sectional household surveys. Lancet 2012; 380:668–79. 9. Cummings KM, Brown A, O’Connor R. The cigarette controversy. Cancer Epidemiol Biomarkers Prev 2007; 16:1070–6. 10. Giovino GA. The tobacco epidemic in the United States. Am J Prev Med 2007; 33:S318–26. 11. Cummings KM, Morley CP, Hyland A. Failed promises of the cigarette industry and its effect on consumer misperceptions about the health risks of smoking. Tobacco Control 2002; 11:i110–17. 12. Milberger S, Davis Ronald M, Douglas CE, Beasley JK, Burns D, Houston T, et al. Tobacco manufacturers’ defence against plaintiffs’ claims of cancer causation: throwing mud at the wall and hoping some of it will stick. Tobacco Control 2006; 15:iv17–26. 13. Sirichotiratana N, Techatraisakdi C, Rahman K, Warren CW, Jones NR, Asma S, et al. Prevalence of smoking and other smoking-related behaviors reported by the Global Youth Tobacco Survey (GYTS) in Thailand. BMC Public Health 2008, 8:S3. 14. The Framework Convention Alliance for Tobacco Control. Status of the WHO Framework Convention on Tobacco Control (WHO FCTC). Updated 14 August 2012. From: http://www.fctc.org/ Accessed: May 2013. 15. World Health Organization. A comprehensive global monitoring framework including indicators and a set of voluntary global targets for the prevention and control of noncommunicable diseases. Second WHO discussion paper, 22 March 2012. From: http://www. searo.who.int/LinkFiles/mhnd_GMF.pdf Accessed: May 2013. 16. World Health Organization Framework Convention on Tobacco Control (WHO FCTC). 2012 Global Progress Report on implementation of the WHO Framework Convention on Tobacco Control. Geneva: World Health Organization, 2012. 17. Al-Riyami A, Abd el Aty MA, Jaju S, Morsi M, Al- Kharusi H, Al-Shekaili W. World Health Survey 2008. Muscat: Ministry of Health, 2008. 18. Al Riyami AA, Afifi M. Smoking in Oman: prevalence and characteristics of smokers. East Mediterr Health J 2004; 10:600–9. 19. Al -Lawati JA, Al-Thuhli YS, Al-Hajri KH. A study on measuring secondhand smoke. Muscat: Ministry of Health, Oman, and Oman National Tobacco Control Committee, 2012. 20. Krzyzanowski M, Cohen A. Update of WHO air quality guidelines. Air Qual Atmos Health 2008; 1:7–13. 
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work_ubg4tyggafbtrmvlkwf4dqo7xm	----	SPECIAL COMMENTARY Mentorship: lessons I wish I learned the first time George Lister My challenge here is to convey the lessons I have learned in serving as a mentor to budding physician- scientists; yet, this is not as easy as it seems at first blush for at least two reasons. First, so many outstanding sci- entists, including Nobel laureates, have extolled the vir- tues of their own mentors who were central to their suc- cess. Thus, it feels pretentious to explain how to be a mentor, as if I have now reached some Olympian stature. Furthermore, I realize that those who might at first glanceat this articlehavealready thought about the topic throughout their career and acknowledged its impor- tance. I certainly do not wish to provide obvious and unneeded advice. To tackle the challenge, I turned first to my most useful sources of information, the Oxford English Dictionary and MEDLINE, for insights and assistance on the topic of mentorship based on the writings of others. I quickly learned that despite the astounding influence of Homer’s Odyssey, where the name Mentor has its roots,* mentor was not used in English literature until 1750. Moreover, there were no references to mentor in MEDLINE until the mid-1980s. However, since then, there has been an explosion in citations. I then went to Google, which had more than four million citations on the topic. These observations regarding recent refer- ences made me wonder whether, following a long delay, the word mentor has become so commonplace that there is a risk of diluting its value by discussing it further in public. One certainly hears it too often in such phrases as “I need more mentorship” or “I aspire to be a good mentor.” I have come to realize that the term is fast becoming overused and that good mentorship may de- pend as much on the attributes of the student as it does on the mentor. Let us be clear at the outset; mentorship is not about fostering imitation and it is certainly not about providing instruction—lessons that are not neces- sarily apparent. Thus, rather than explaining how to be a good mentor, I shall take the low road and discuss what I have learned from my own mistakes in this role and from those who may have seen me as their mentor. My lessons come from a variety of areas including edu- cation, scholarship, research, and clinical medicine, but I hope the message transcends these specific areas. I do not offer myself as an expert. Rather, I take this oppor- tunity to relate what has taken me a career to realize. In theprocess, Ihope that these thoughts areuseful for you, the reader, to consider. For many, what I have to say may seem to be common sense. But, in response to this risk, I will steal the wisdom of Will Rogers, who said “Just because it is common sense doesn’t mean its common practice.” The first lesson relates to the most important force in my career development. Surround yourself with people smarter than you . . . then look over their shoulder. I, like many others, have been fortunate to be sur- rounded with talented individuals, who have shaped my career. This is demonstrated by this family tree of my mentors in Figure 1, which demonstrates common per- sonal relationships in our academic careers. While nur- turing me, my parents and grandparents constantly prod- ded me with questions or returned my questions and challenged me to learn “why” rather than “what.” My preceptors, advisors, teachers, and others, who in a tra- ditional sense served as my academic mentors, have had this same generosity of spirit and an unwavering adher- ence to high standards. With incredible patience, they haveall assiduously avoidedansweringmyquestions and thereby have forced me to search for potential solutions and strategies to solve problems. My wife and children have challenged my ideas and taught me novel and es- sential insights to complex problems in human relations, which are crucial for functioning in a role with responsi- * In the Odyssey, Athena occasionally assumed the guise of Mentor, a trusted friend of Odysseus. In this role, Athena became the guide and wise counsel for Odysseus’ son, Telemachus, while Odysseus was on his journey. Department of Pediatrics, University of Texas Medical School, Dallas, Texas, USA Correspondence to George Lister, MD, Department of Pediatrics, University of Texas Medical School, 5323 Harry Hines Boulevard, Dallas, TX 75390-9063, USA Tel: 214 648 3563; fax: 214 648 8617; e-mail: george.lister@utsouthwestern.edu This manuscript was adapted from a presentation to the annual meeting of the Pediatric Academic Societies, San Francisco, CA, upon receipt of the Society for Pediatric Research Maureen Andrew Award for Mentorship. Current Opinion in Pediatrics 2004, 16:579–584 © 2004 Lippincott Williams & Wilkins 1040-8703 579 bility. And, my academic offspring have provided me, through their experiences and responses to my com- ments, never-ending lessons for my own career growth. An important point that I wish to convey by this figure is that distinction between mentor and student is very blurred. I have learned as much from those who may see me as their teacher, supervisor, or mentor as I have ever imparted to them. In fact, many of my quips come di- rectly from their wisdom. Thus, I shall use the term student very broadly in my comments to follow but em- phasize that the exchange of ideas goes in all directions. Do not ignore an observation . . . just because you dis- agree with the explanation. The risk of discarding valuable data because of precon- ceived notions is well illustrated by a quote from The Physics of Baseball by Robert Adair [1]. The book origi- nated from a request of the late Bart Giamatti, English scholar, former President of Yale, then President of the National League (of major league baseball) and briefly the Commissioner of Baseball, for Adair to provide ad- vice about some of the complexities of baseball. Adair, whowas subsequentlydubbed“Physicist to theNational League” from 1987 to 1989, was intrigued by the chal- lenge; he apparently decided to expand his report and inquiry into a book, the introduction of which provides valuable commentary that translates well to the field of medicine. In all sports analyses, it is important for a scientist to avoid hubris and pay careful attention to the athletes. Major league players are serious people, who are in- telligent and knowledgeable about their livelihood. Specific, operational conclusions held by a consensus of players are seldom wrong, though—since baseball players are athletes, not engineers or physicists—their analyses and rationale may be imperfect. If players think they hit better after illegally drilling a hole in their bat and filling it with cork, they must be taken seriously. The reasons they give for their “improve- ment,” however, may not be valid. I believe that the athletes here are metaphors for the parents (or grandparents) of our patients who make in- credibly insightful observations but then attach a ratio- nale that we often reject because it does not fit our bi- ases. In the process, we inadvertently forget or discard that important observation. These parents have intense focuson their child, theycandetect subtlety thatwemay miss, and, they spend much more time observing their child than we do. Our challenge should be to understand the mechanism for their observation. In a very similar manner, we may dismiss findings of our students when it would be wiser to explore possible novel causes. Clinical or research observations that do not match our experi- ence are a chance for discovery. What you write is associated with your name forever. Make it the highest quality imaginable. There is a great temptation to rush what we write and to fail to take the time to ensure its quality. However, once Figure 1. My immediate family of mentors 580 Special commentary in print, it is indelibly linked to us. Although the admo- nition may be well appreciated when it comes to sub- mission of grants or manuscripts, abstracts are not ac- corded the same scrutiny. The linkage created between theauthor and the idea is formedeven if thecomposition is brief and even if it is not accepted! If a written presen- tation is sloppy or contains errors, the author is identified as someone whose thinking or research is careless or flawed. Unfortunately, and perhaps unfairly, that asso- ciation taints the view of subsequent work by an author. E-mail correspondence is even worse. These notes are often written in haste, poorly proofread, and distributed widely (sometimes to unintended recipients); they are more likely to be read than our formal composition and certainly become associated with our name. A passage from Eats, Shoots & Leaves [2], anextremelywittybookon punctuation, mercilessly captures this crux of this issue: . . . by tragichistorical coincidenceaperiodof abysmal under-educating in literacy has coincided with this unexpected explosion of global self-publishing. Thus people who don’t know their apostrophe from their elbow are positively invited to disseminate their writ- ings to anyone on the planet stupid enough to double- click and scroll. Although lax punctuation is lamentable, careless content ultimately condemns much of what is typed and shared with a large audience, thereby leaving an indelible stain on the author. Obtain your harshest criticism from your friends . . . before the anonymous reviewers have a chance. Although we may, at times, cower at the thought of hav- ing our close colleagues scrutinize our work, their critical input is invaluable for refining our ideas and improving the quality of our product. I think the time, attention, and serious criticism of our ideas is the most valuable gift that we receive from our colleagues. It is precisely what a vibrant academic environment has to offer. There is a tendency to hand someone a written document just be- fore (or even after) it is to be submitted. Under these circumstances, one must ask whether this is really a re- quest for approbation rather than an opportunity for genuine evaluation. Another lesson I have learned about obtaining criticism is that there is merit in providing some focus on the issues inquestion.Acolleaguemaynotbeable to readan entire manuscript or grant within your required sched- ule. However, there may be specific areas for which you wish comment. I encourage students to provide the en- tire document but to highlight these areas of specific interest and articulate the questions for each reader. Al- though too busy to read a lengthy document, rarely is someone unable to read some selected paragraphs and respond to an inquiry. This permits you to focus the attention of colleagues on their areas of expertise while still providing the complete document for reference, per- spective, or complete reading if time permits. The successful individual is not one who gets every- thing accepted . . . it is one who responds to criticism and keeps trying. Our students may assume that we have reached the sta- tus of mentor because we had immediate acceptance of every manuscript that we submitted or success with ev- ery opportunity that we sought. Any rejection that they suffer thereby is interpreted as the beginning of a life- time sentence rather than an opportunity to reassess and improve. This is highlighted by the “scientific critique” provided from a conservative study section to Chris- topher Columbus for his proposal to sail west (Fig. 2). In our role as coaches, we are obligated to reveal the ob- stacles and failures that we endured; this will bring real- ity to the process of career development and provide some recognition of the need for hard work even by individuals who have attained some stature. Men at Work, the book about major league baseball by George Will, recounts the story of four very accom- plished individuals, two of whom are destined for the Hall of Fame. The central point is that very talented, very accomplished individuals also make errors or strike out, but they work incredibly hard and constantly im- prove themselves based on their mistakes. It is alsoour responsibility asmentorsnot just topromote the safe route, but to encourage imagination and novelty by our students, which will require some element of risk taking by them. They will face resistance that requires persistence. Never underestimate the value of doing your home- work. This was certainly the lesson that my parents put forth, and I learned from my failures to heed their advice. In this vein, I have been quite surprised by how frequently individuals are hired before an evaluation is obtained or references are pursued. I have had more than one junior colleagueor fellowofferedapositionwithout any inquiry about strengths, weaknesses, or qualifications. I have even been asked to change my assessment because someonecouldnotbeappointedwith sucha letter. Simi- larly, research proposals are often submitted or studies initiated without apparent knowledge of virtually iden- tical work that is published. This very quickly under- mines the credibility of the author of the proposal; it has the risk of diminishing the apparent value of other com- Mentorship Lister 581 Figure 2. Summary statement for proposal by Christopher Columbus to discover a western route to the Indies 582 Special commentary ponents of the application or, if the study is underway, squanders an opportunity to improve on prior efforts. Find out what someone is seeking . . . before giving advice or consultation. I have been asked often to provide informal comment about the care of a patient while I am caught in a hallway or in a rush during a telephone conversation. Such casual advice, especially to my students, can be disruptive and counterproductive. The information that I provide dur- ing a cursory discussion may inadvertently leave out cru- cial elements that could influence the opinion. Although thebestmeans toavoidgivingerroneousadvicebasedon incomplete background is to gather the information first hand, this solution is not always practical. Alternatively, one should take the time to ask pertinent questions that can inform the response or offer some constraint with the opinion. It is worthwhile to learn how to ask these back- ground questions in a manner that does not require the respondent to interpret data. These thoughtful, well- constructed questions can be instructive to others and can avoid vague responses by an individual who has al- ready expressed uncertainty about a course of action. In a similar vein, I have often been asked about the talents of a colleagueorprofessional acquaintance. Ihave been tempted to provide a pithy, albeit accurate, re- sponse. However, I have learned that it is quite impor- tant to understand first whether this is a request for en- dorsement or evaluation. For example, one probably does not want to proffer opinion about the skills of a surgeon while a colleague’s mother is being operated on by the physician in question. Without understanding the context for a question, this becomes an opportunity for an opinion to be misunderstood or misquoted. A simple inquiry about the reason for the advice will save embar- rassment or gratuitous statements. First try to make your decisions thoughtful.… Then figure out how to make your decisions work. I have had many talented students request advice while they are struggling with a number of options for their career. With their assistance, I may be able to help them identify the issues of importance. However, only they can add the weight to these issues to determine what is of most value. It stands to reason that they are at a stale- mate because the options are equally appealing. I have then asked them to reflect on which decisions in their career or education that they have previously made that they regret, and the answer is invariably “none.” I use this tohelp themunderstand that it is not that theymake the correct decisions each time, but they have learned to adapt and make the most of their thoughtful choices. Were they so capable of making perfect decisions, per- haps they should spend their time working in the stock market. As in the wonderful poem by Robert Frost, The Road Not Taken, the path that an individual chooses to follow does not necessarily determine the success of that individual; on the other hand, the choice and the manner in which it is approached is defining of the individual. Help find a role that highlights someone’s strengths and interests . . . not their shortcomings. When assisting someone who is seeking a professional position, an important goal is to help match someone’s talents with opportunity. The individual’s strengths are often easy to discuss. It is important to understand any weaknesses. A trusted advisor can help identify and dis- cuss these with clarity in a fashion that avoids embar- rassment and is not judgmental. Such a frank discussion often puts the options into focus with little need to ren- der the obvious conclusion. You cannot force someone to be interested in an en- deavor . . . but you can help clear the path when he or she identifies an area of excitement. There is a strong tendency for our students toemulateus because they admire us. They may believe that we would be pleased to have them follow our path—a mes- sage that we sometimes convey very loudly. Rather, our aim should be to assist them in identifying what activi- ties are exciting and so satisfying that their interest is sustained even when the hurdles are high, opportunities for discouragement omnipresent, and major successes in- frequent. The discussions to identify such professional endeavors may take quite a while because this requires the student tohave familiaritywith avarietyof options (a major goal of a broad education) and an honest appraisal of what he or she enjoys (which is frequently shrouded by the desire to please others). However, even if the decision does not prove to be the student’s life long passion, there is the opportunity for him or her to learn about personal values and interests during the process; this can certainly shape future choices. If you do not share goals with your colleagues, every action requires negotiation. A crucial issue to resolve during the course of one’s ca- reer is whether you share goals and values with your colleagues, especially those who provide your resources or whose career is tethered to yours. If your supervisor does not view what you are doing as important, your accomplishments will not be valued; this will cause you major disappointment, frustration, or anger. Requests for additional resources will be dismissed, and reward for your achievements will be minimal, certainly less than Mentorship Lister 583 you anticipate. Thus, there is a compelling reason to understand reward and reinforcement as signals of your ultimate value to those around you. If you and your col- leagues do not have the same ultimate aims, discussions are often mired in details. The negotiations become te- dious and never ending, even over minor details, which makes progress painstaking or impossible. If you are viewed as an authority, be very careful about what you say . . . someone might listen to you. With authority comes the responsibility of having one’s comments and advice taken seriously. That authority changes the perception or implication of any comments. Hypotheses can become accepted as facts, and sugges- tions become interpreted as dictates. We are obligated to be careful. Each of these points can be expanded with additional examples. However, rather than embellishing the points, I am mindful of the book review by the author and acer- bic wit, Ambrose Bierce, who said: The covers of this book are too far apart. Accordingly, it may be best to state the issues and let the reader apply them to personal experience. Iwould summarizewhat Ihave learnedbydescribingmy “tools of the trade,” the instruments that are most useful to me as I assist my students to find their passion and strive for excellence. A mirror affords them the chance to reflect on who they are and to identify their true inter- ests, not mine. Reflection can be a difficult process for students because of the natural tendency to try to repli- cate the interests as well as the personal qualities and achievements of those whom they respect. A telescope helps students see their ultimate goals at the horizon and avoid changing their view with each rise and fall of the landscape. A microscope reminds them to remain focused on their immediate tasks and limit distraction. And, I suggest that they create a professional development chart, like a Denver Developmental Scale, so that so that they can gauge their progress. I show them scales that I de- signed [3] to provide a tangible example. However, it is important that they create some of the landmarks based on factors important to them. The spacing of the land- marks depends on individual needs. If a marker is past the horizon, it provides no guidance; if there are markers every fewfeet,more time is spent in theassessment than in the activity. A line is not defined by a single point; so in general, one needs a few markers in sight to stay aligned and on course. Last, a very slow clock reminds me that we need time and considerable patience for the pro- cess of mentorship. Acknowledgments Recognition through this award was the result of a lifetime of highly valued and deeply appreciated time, effort, critical input, and generous spirit from my students, colleagues, teachers, and, most importantly, my wife, Sandy, and sons, Jacob and David, my father, and my grandfather. In my professional career, I acknowledge specifically the invaluable contributions of Norman Siegel, Julio Pérez Fontán, Lisa DeLizio, Clifford Bogue, Michael Apkon, Abraham Rudolph, Julien Hoffman, Nor- man Talner, and the late Joseph Warshaw. I also thank Jacob Lister and Richard B. Johnston, Jr. for valuable comments regarding the manuscript. References and recommended reading Papers of particular interest, published within the annual period of review, have been highlighted as: • Of special interest •• Of outstanding interest 1 Adair RK: The Physics of Baseball. New York: Harper & Row; 1990:3 2 Truss L: Eats, Shoots & Leaves. New York: Gotham Books; 2003:182 3 Lister G: Society for Pediatric Research Presidential Address 1993: devel- opment of the academic pediatrician. Pediatr Res 1993, 34:397–402. 584 Special commentary 
work_ue5tbcnty5dnvcnmcdywgikgpa	----	University of Groningen History, Prophecy, and the Stars: The Christian Astrology of Pierre d'Ailly, 1350-1420. Laura Ackerman Smoller North, J. D. Published in: Isis DOI: 10.1086/357261 IMPORTANT NOTE: You are advised to consult the publisher's version (publisher's PDF) if you wish to cite from it. Please check the document version below. Document Version Publisher's PDF, also known as Version of record Publication date: 1995 Link to publication in University of Groningen/UMCG research database Citation for published version (APA): North, J. D. (1995). History, Prophecy, and the Stars: The Christian Astrology of Pierre d'Ailly, 1350-1420. Laura Ackerman Smoller. 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Download date: 06-04-2021 https://doi.org/10.1086/357261 https://research.rug.nl/en/publications/history-prophecy-and-the-stars-the-christian-astrology-of-pierre-dailly-13501420-laura-ackerman-smoller(f9a96ea5-0701-45b0-9196-4cf36ed7a61d).html https://doi.org/10.1086/357261 Review Reviewed Work(s): History, Prophecy, and the Stars: The Christian Astrology of Pierre d'Ailly, 1350-1420 by Laura Ackerman Smoller Review by: J. D. North Source: Isis, Vol. 86, No. 3 (Sep., 1995), pp. 480-481 Published by: The University of Chicago Press on behalf of The History of Science Society Stable URL: https://www.jstor.org/stable/235044 Accessed: 10-12-2018 15:07 UTC JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact support@jstor.org. Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at https://about.jstor.org/terms The History of Science Society, The University of Chicago Press are collaborating with JSTOR to digitize, preserve and extend access to Isis This content downloaded from 129.125.148.19 on Mon, 10 Dec 2018 15:07:01 UTC All use subject to https://about.jstor.org/terms BOOK REVIEWS-ISIS, 86: 3 (1995) BOOK REVIEWS-ISIS, 86: 3 (1995) cation for Galileo's use of mathematics in phys- ical science, and this is the main reason that these theories have recently come under scrutiny. Steven J. Livesey has contributed more to this field perhaps than any other scholar, with a series of studies and editions mostly of fourteenth-cen- tury Oxford theologians, including William of Ockham, John of Reading, and most recently Robert Graystanes. In the present book Livesey presents a critical edition, with introduction and facing-page English translation, of four ques- tions on subalternation by the fifteenth-century Dominican friar Antonius de Carlensis of Na- ples, two from his Questions on the Sentences and two from his Questions on the Posterior An- alytics. While I have not read it against the manu- scripts, I have found a few places where the edi- tion might be emended, especially in the ques- tions on the Posterior Analytics, which are edited from the single known manuscript. In sev- eral passages, for instance, Livesey prints aris- metica (= arithmetica) instead of emending it to armonica (= harmonica), which the argu- ment requires (pp. 44, 47; cf. p. 51); and in an- other he prints methaphysicus ( = metaphysicus) instead of emending to mathematicus (p. 41). Other misreadings, misprints, or needed emen- dations I noticed in the Latin (excluding obvious variants in spelling) were conventienter instead of convenienter; subalternare instead of subal- ternari (both on p. 44); sine instead of siue (p. 45); plus instead ofprius (p. 47); and abstrologia instead of astrologia (p. 52). In general the translation is both accurate and readable, a balance difficult to attain with such technical and jargon-ridden texts. Only in a few passages does the sense of the Latin seem less than clear in the English. By providing a facing- page translation, Livesey has offered his under- standing of the text while at the same time al- lowing us to come to our own conclusions. Livesey has done a superb job in identifying the many sources and quotations used by Anto- nius (some of which are available only in manu- script), thereby locating him in relation to Herve Natalis, Paul of Venice, Aegidius Romanus, Thomas Aquinas, and other scholastic writers on subalternation. Further, in the introduction Live- sey briefly sketches Antonius's treatment of sub- alteration (which was not especially novel) and compares it to that of another fifteenth-century Dominican, Dominicus of Flanders. For Livesey, the significance of these ques- tions lies more in their eclecticism than in any specific opinions or novel doctrines about sub- alteration that they might contain. But I think it also lies in their being part of the transmission cation for Galileo's use of mathematics in phys- ical science, and this is the main reason that these theories have recently come under scrutiny. Steven J. Livesey has contributed more to this field perhaps than any other scholar, with a series of studies and editions mostly of fourteenth-cen- tury Oxford theologians, including William of Ockham, John of Reading, and most recently Robert Graystanes. In the present book Livesey presents a critical edition, with introduction and facing-page English translation, of four ques- tions on subalternation by the fifteenth-century Dominican friar Antonius de Carlensis of Na- ples, two from his Questions on the Sentences and two from his Questions on the Posterior An- alytics. While I have not read it against the manu- scripts, I have found a few places where the edi- tion might be emended, especially in the ques- tions on the Posterior Analytics, which are edited from the single known manuscript. In sev- eral passages, for instance, Livesey prints aris- metica (= arithmetica) instead of emending it to armonica (= harmonica), which the argu- ment requires (pp. 44, 47; cf. p. 51); and in an- other he prints methaphysicus ( = metaphysicus) instead of emending to mathematicus (p. 41). Other misreadings, misprints, or needed emen- dations I noticed in the Latin (excluding obvious variants in spelling) were conventienter instead of convenienter; subalternare instead of subal- ternari (both on p. 44); sine instead of siue (p. 45); plus instead ofprius (p. 47); and abstrologia instead of astrologia (p. 52). In general the translation is both accurate and readable, a balance difficult to attain with such technical and jargon-ridden texts. Only in a few passages does the sense of the Latin seem less than clear in the English. By providing a facing- page translation, Livesey has offered his under- standing of the text while at the same time al- lowing us to come to our own conclusions. Livesey has done a superb job in identifying the many sources and quotations used by Anto- nius (some of which are available only in manu- script), thereby locating him in relation to Herve Natalis, Paul of Venice, Aegidius Romanus, Thomas Aquinas, and other scholastic writers on subalternation. Further, in the introduction Live- sey briefly sketches Antonius's treatment of sub- alteration (which was not especially novel) and compares it to that of another fifteenth-century Dominican, Dominicus of Flanders. For Livesey, the significance of these ques- tions lies more in their eclecticism than in any specific opinions or novel doctrines about sub- alteration that they might contain. But I think it also lies in their being part of the transmission (or mistransmission) and elaboration of medi- eval-and especially Thomistic-notions about subalternation, the mathematical sciences, and theology as a science, which would culminate in the modified Thomism of sixteenth-century Do- minicans and of Jesuit teachers at the Collegio Romano. If these ideas about subalteration were not the direct inspiration for Galileo's ma- ture scientific method (as William A. Wallace would have them be), then at least they form the common tradition of Galileo's Dominican and Jesuit opponents. With this edition of these ques- tions by Antonius de Carlensis, we are one step closer to understanding that tradition. W. R. LAIRD Laura Ackerman Smoller. History, Prophecy, and the Stars: The Christian Astrology of Pierre d'Ailly, 1350-1420. xii + 233 pp., illus., tables, apps., bibl., index. Princeton, N.J.: Princeton University Press, 1994. $35, ?26.50. In this admirable monograph, on the astrological and apocalyptic writings of the famous cardinal and scholar Pierre d'Ailly, Laura Smoller begins by drawing our attention to his subsequent influ- ence on Christopher Columbus. It seems almost poetic justice that the continent to which modem astrology owes most for its survival should have been discovered by a man who voyaged in the astrological belief-inspired by a 1483 printing of d'Ailly's works-that the end of time was at hand. But the intellectual world in which Colum- bus lived was not the old world in which his sources were conceived. Smoller is careful to avoid the all-too-common mistake of treating medieval and Renaissance astrology as an en- tirely seamless web, and she provides a careful account of the complex interrelations of late me- dieval astrology, Christian thinking, and the ra- tional study of the world in general. This intro- ductory material-balanced and well chosen though it may be-is of secondary importance. What makes her book so valuable is that it al- lows us to see into the mind of an individual, one immured in a set of beliefs for which most of us can have no real sympathy. She shows how astrology appealed to him as offering a rational means of interpreting history and prophecy, and how it brought such ambitions into jeopardy by dragging with it the twin problems of free will and divine omnipotence. Astral influence on the world was typically seen as an aspect of God's plan for the world's unfolding history. Academic astrology was not primarily a magical art-pace many a modem (or mistransmission) and elaboration of medi- eval-and especially Thomistic-notions about subalternation, the mathematical sciences, and theology as a science, which would culminate in the modified Thomism of sixteenth-century Do- minicans and of Jesuit teachers at the Collegio Romano. If these ideas about subalteration were not the direct inspiration for Galileo's ma- ture scientific method (as William A. Wallace would have them be), then at least they form the common tradition of Galileo's Dominican and Jesuit opponents. With this edition of these ques- tions by Antonius de Carlensis, we are one step closer to understanding that tradition. W. R. LAIRD Laura Ackerman Smoller. History, Prophecy, and the Stars: The Christian Astrology of Pierre d'Ailly, 1350-1420. xii + 233 pp., illus., tables, apps., bibl., index. Princeton, N.J.: Princeton University Press, 1994. $35, ?26.50. In this admirable monograph, on the astrological and apocalyptic writings of the famous cardinal and scholar Pierre d'Ailly, Laura Smoller begins by drawing our attention to his subsequent influ- ence on Christopher Columbus. It seems almost poetic justice that the continent to which modem astrology owes most for its survival should have been discovered by a man who voyaged in the astrological belief-inspired by a 1483 printing of d'Ailly's works-that the end of time was at hand. But the intellectual world in which Colum- bus lived was not the old world in which his sources were conceived. Smoller is careful to avoid the all-too-common mistake of treating medieval and Renaissance astrology as an en- tirely seamless web, and she provides a careful account of the complex interrelations of late me- dieval astrology, Christian thinking, and the ra- tional study of the world in general. This intro- ductory material-balanced and well chosen though it may be-is of secondary importance. What makes her book so valuable is that it al- lows us to see into the mind of an individual, one immured in a set of beliefs for which most of us can have no real sympathy. She shows how astrology appealed to him as offering a rational means of interpreting history and prophecy, and how it brought such ambitions into jeopardy by dragging with it the twin problems of free will and divine omnipotence. Astral influence on the world was typically seen as an aspect of God's plan for the world's unfolding history. Academic astrology was not primarily a magical art-pace many a modem 480 480 This content downloaded from 129.125.148.19 on Mon, 10 Dec 2018 15:07:01 UTC All use subject to https://about.jstor.org/terms BOOK REVIEWS-ISIS, 86: 3 (1995) BOOK REVIEWS-ISIS, 86: 3 (1995) Frontispiece from Pierre d'Ailly's Concordantia astronomie cum theologia (Augsburg, 1490) showing an astrologer and a theologian in harmonious discussion (reprinted in Smoller, History, Prophecy, and the Stars). writer-but a way of understanding the pattern of human history at a personal and social level. In the first case there were the personal horo- scopes, medical practices, and so forth that con- cerned the human individual, but it was on the grander scale that d'Ailly invoked astrology's assistance. God acted on the world through sec- ondary causes and associated legitimate author- ity, he thought, with certain signs. Brushing over the logical connection somewhat, he argued that the proper authority over the Church was a body of wise Christian men, namely, the General Council. Theologians remember him chiefly for his conciliar theory and tend to view with unease his defense of astrology as a form of natural the- ology underpinning it. D'Ailly's concern for the Great Schism in the Church (1378-1414), how- ever, was both a cause and an effect of his astro- logical awareness. Smoller amply justifies the thesis that the division in the Church led him to take seriously the imminence of the apocalypse and that he eventually turned to astrology to sup- press his fears, becoming convinced in the course of doing so that a Church council could heal the rift. Most of d'Ailly's writings were the product of Frontispiece from Pierre d'Ailly's Concordantia astronomie cum theologia (Augsburg, 1490) showing an astrologer and a theologian in harmonious discussion (reprinted in Smoller, History, Prophecy, and the Stars). writer-but a way of understanding the pattern of human history at a personal and social level. In the first case there were the personal horo- scopes, medical practices, and so forth that con- cerned the human individual, but it was on the grander scale that d'Ailly invoked astrology's assistance. God acted on the world through sec- ondary causes and associated legitimate author- ity, he thought, with certain signs. Brushing over the logical connection somewhat, he argued that the proper authority over the Church was a body of wise Christian men, namely, the General Council. Theologians remember him chiefly for his conciliar theory and tend to view with unease his defense of astrology as a form of natural the- ology underpinning it. D'Ailly's concern for the Great Schism in the Church (1378-1414), how- ever, was both a cause and an effect of his astro- logical awareness. Smoller amply justifies the thesis that the division in the Church led him to take seriously the imminence of the apocalypse and that he eventually turned to astrology to sup- press his fears, becoming convinced in the course of doing so that a Church council could heal the rift. Most of d'Ailly's writings were the product of the last ten years of his life (1410-1420), but he was no novice then. Starting from a cautious Thomistic stance, he grew increasingly enthusi- astic, and by the time the Council of Constance was convened (1414) the science-and in partic- ular the theory of great conjunctions-had led him to conclude that the End was not nigh. Smoller traces his changes of heart, and the in- fluences of writers who helped to bring them about, with meticulous care. On the way she raises numerous important questions. Why, for instance, were there not more examples of as- trologico-historical writing in the fifteenth cen- tury, in view of the fact that it could unite the passing troubles of the Church with the grand history of human salvation? What were the dif- ferences between God's time and astrological time conceived to be? How best should one re- late biblical utterances to astrological ones? Smoller offers partial answers to these and many comparable questions. She writes with econ- omy-the main text of her book is under 130 pages, although its rich annotation is more than half as long-and with good sense. Her book is sufficiently general for it to be read as an intro- duction to medieval astrology, but it is narrowly focused where it matters. For the reader in a hurry, the penultimate chapter, "Astrology and the Postponement of the End," is essential read- ing, and a model of how to cross medieval in- tellectual frontiers with impunity. J. D. NORTH Pierre Brind'Amour. Nostradamus astrophile: Les astres et l'astrologie dans la vie et l'oeuvre de Nostradamus. 561 pp., illus., tables, apps., bibl., index. Ottawa: University of Ottawa Press; Paris: Editions Klincksieck, 1993. Can $48. More than four hundred years after his death, Nostradamus continues to fascinate. His life and writings have inspired an unending stream of books and articles and even a recent feature film. But much of this activity produces only imagi- native fiction or groundless speculation. Pierre Brind'Amour's scholarly and engrossing book returns Nostradamus to his historical context, documenting the "Nostradamus phenomenon" that made him for the last twenty years of his life a European celebrity and best-selling author, beset by plagiarists and literary pirates. Brind'Amour cannot avoid entirely the "naive but inevitable question": Was Nostradamus a prophet or a charlatan? The author modestly con- cludes, without attributing to his subject the power of clairvoyance, that one cannot deny his the last ten years of his life (1410-1420), but he was no novice then. Starting from a cautious Thomistic stance, he grew increasingly enthusi- astic, and by the time the Council of Constance was convened (1414) the science-and in partic- ular the theory of great conjunctions-had led him to conclude that the End was not nigh. Smoller traces his changes of heart, and the in- fluences of writers who helped to bring them about, with meticulous care. On the way she raises numerous important questions. Why, for instance, were there not more examples of as- trologico-historical writing in the fifteenth cen- tury, in view of the fact that it could unite the passing troubles of the Church with the grand history of human salvation? What were the dif- ferences between God's time and astrological time conceived to be? How best should one re- late biblical utterances to astrological ones? Smoller offers partial answers to these and many comparable questions. She writes with econ- omy-the main text of her book is under 130 pages, although its rich annotation is more than half as long-and with good sense. Her book is sufficiently general for it to be read as an intro- duction to medieval astrology, but it is narrowly focused where it matters. For the reader in a hurry, the penultimate chapter, "Astrology and the Postponement of the End," is essential read- ing, and a model of how to cross medieval in- tellectual frontiers with impunity. J. D. NORTH Pierre Brind'Amour. Nostradamus astrophile: Les astres et l'astrologie dans la vie et l'oeuvre de Nostradamus. 561 pp., illus., tables, apps., bibl., index. Ottawa: University of Ottawa Press; Paris: Editions Klincksieck, 1993. Can $48. More than four hundred years after his death, Nostradamus continues to fascinate. His life and writings have inspired an unending stream of books and articles and even a recent feature film. But much of this activity produces only imagi- native fiction or groundless speculation. Pierre Brind'Amour's scholarly and engrossing book returns Nostradamus to his historical context, documenting the "Nostradamus phenomenon" that made him for the last twenty years of his life a European celebrity and best-selling author, beset by plagiarists and literary pirates. Brind'Amour cannot avoid entirely the "naive but inevitable question": Was Nostradamus a prophet or a charlatan? The author modestly con- cludes, without attributing to his subject the power of clairvoyance, that one cannot deny his 481 481 This content downloaded from 129.125.148.19 on Mon, 10 Dec 2018 15:07:01 UTC All use subject to https://about.jstor.org/terms Contents image 1 image 2 Issue Table of Contents Isis, Vol. 86, No. 3, Sep., 1995 Front Matter Friction and Lubrication in Medieval Europe: The Emergence of Olive Oil as a Superior Agent [pp.373-393] The Snakestone Experiments: An Early Modern Medical Debate [pp.394-418] Recluse, Interlocutor, Interrogator: Natural and Social Order in Turn-of-the-Century Psychological Research Schools [pp.419-439] History of Science Society Distinguished Lecture Science as a Weapon in Kulturkampfe in the United States during and after World War II [pp.440-454] News of the Profession Eloge: Churchill Eisenhart, 11 March 1910-25 June 1994 [pp.455-456] Letters to the Editor [p.457] Essay Review Science, Technology, and Higher Education under Nazism [pp.458-462] Book Reviews Collections [pp.528-534] General untitled [p.463] untitled [pp.463-464] untitled [pp.464-465] untitled [pp.465-466] untitled [pp.466-467] untitled [pp.467-468] Antiquity untitled [pp.468-469] untitled [p.469] untitled [pp.469-470] untitled [pp.470-472] Middle Ages & Renaissance untitled [pp.472-475] untitled [p.475] untitled [pp.475-476] untitled [pp.476-477] untitled [pp.477-478] untitled [p.478] untitled [pp.478-479] untitled [pp.479-480] untitled [pp.480-481] untitled [pp.481-482] untitled [pp.482-483] Seventeenth Century untitled [pp.483-484] untitled [pp.484-485] untitled [pp.485-486] untitled [pp.486-488] untitled [p.488] untitled [pp.488-489] untitled [pp.489-490] untitled [pp.490-491] untitled [p.491] Eighteenth Century untitled [pp.491-492] untitled [p.492] untitled [p.493] untitled [p.494] untitled [pp.494-495] untitled [pp.495-496] untitled [pp.496-497] untitled [pp.497-498] untitled [p.498] untitled [pp.498-499] untitled [pp.499-500] Nineteenth Century untitled [pp.500-501] untitled [pp.501-502] untitled [pp.502-503] untitled [pp.503-504] untitled [p.504] untitled [pp.504-505] untitled [pp.505-506] untitled [pp.506-507] untitled [pp.507-508] untitled [p.508] untitled [pp.508-509] untitled [pp.509-510] untitled [pp.510-511] untitled [pp.511-512] untitled [pp.512-513] Twentieth Century untitled [pp.513-514] untitled [pp.514-515] untitled [p.515] untitled [pp.515-516] untitled [pp.516-517] untitled [pp.517-518] untitled [pp.518-519] untitled [pp.519-520] untitled [p.520] untitled [pp.520-522] untitled [pp.522-523] untitled [pp.523-524] untitled [pp.524-525] untitled [pp.525-526] untitled [p.526] Sociology & Philosophy of Science untitled [pp.526-527] Reference Tools untitled [pp.527-528] Back Matter [pp.535-540] 
work_uf23ocbyezac5azhqersjjrdwi	----	[PDF] Behavioral IR: Practical Suggestions | Semantic Scholar Skip to search formSkip to main content> Semantic Scholar's Logo Search Sign InCreate Free Account You are currently offline. Some features of the site may not work correctly. DOI:10.1111/J.1468-2486.2007.00669_2.X Corpus ID: 27359172Behavioral IR: Practical Suggestions @article{James2007BehavioralIP, title={Behavioral IR: Practical Suggestions}, author={P. James}, journal={International Studies Review}, year={2007}, volume={9}, pages={162-165} } P. James Published 2007 Psychology International Studies Review Mintz in the previous essay in this Forum advocates a potentially exciting addition to the disciplinary matrix of IR: the creation of Behavioral IR. Such a subfield would recognize the value of going beyond rational choice as a vision of human behavior, while at the same time seeking to complement rather than eliminate that way of looking at the world. Behavioral IR, according to Mintz, also would bring greater unity and coherence to approaches from political psychology that have proven to be… Expand View via Publisher dornsife.usc.edu Save to Library Create Alert Cite Launch Research Feed Share This Paper 1 Citations View All One Citation Citation Type Citation Type All Types Cites Results Cites Methods Cites Background Has PDF Publication Type Author More Filters More Filters Filters Sort by Relevance Sort by Most Influenced Papers Sort by Citation Count Sort by Recency The State of Experimental Research in IR: An Analytical Survey N. Hudson, Michael J. Butler Computer Science 2010 6 Save Alert Research Feed References SHOWING 1-10 OF 51 REFERENCES SORT BYRelevance Most Influenced Papers Recency Perception and misperception in international politics Robert Jervis Political Science 1976 2,275 PDF Save Alert Research Feed Beyond the enemy image and spiral model: cognitive–strategic research after the cold war R. Herrmann, Michael P. Fischerkeller Sociology 1995 162 PDF Save Alert Research Feed The Empirical Challenge of the Cognitive Revolution: A Strategy for Drawing Inferences about Perceptions R. Herrmann Sociology 1988 98 Save Alert Research Feed Assessing Psychological Characteristics at a Distance: Symposium Lessons and Future Research Directions S. Walker Psychology 2000 23 Save Alert Research Feed ISA Presidential Address M. Brecher Sociology, Political Science 1999 80 View 1 excerpt, references background Save Alert Research Feed Strategic choice and international relations D. Lake, R. Powell Political Science 1999 259 Save Alert Research Feed Loss Aversion and the Domestic Context of Military Intervention M. Nincic Political Science 1997 57 Save Alert Research Feed Political Psychology And Foreign Policy E. Singer, V. Hudson Sociology 2020 8 Save Alert Research Feed Issues in Assessing Psychological Characteristics at a Distance: An Introduction to the Symposium M. Schafer Psychology 2000 81 Save Alert Research Feed International Studies in the Twentieth Century and Beyond: Flawed Dichotomies, Synthesis, Cumulation M. Brecher Sociology 1999 53 View 1 excerpt, references background Save Alert Research Feed ... 1 2 3 4 5 ... Related Papers Abstract 1 Citations 51 References Related Papers Stay Connected With Semantic Scholar Sign Up About Semantic Scholar Semantic Scholar is a free, AI-powered research tool for scientific literature, based at the Allen Institute for AI. Learn More → Resources DatasetsSupp.aiAPIOpen Corpus Organization About UsResearchPublishing PartnersData Partners   FAQContact Proudly built by AI2 with the help of our Collaborators Terms of Service•Privacy Policy The Allen Institute for AI By clicking accept or continuing to use the site, you agree to the terms outlined in our Privacy Policy, Terms of Service, and Dataset License ACCEPT & CONTINUE 
work_umeoh4n7sfagjipq4khwkee44a	----	Reconquista: Ilan Stavans and multiculturalist Latino/a discourse O r i g i n a l A r t i c l e R e c o n q u i s t a : I l a n S t a v a n s a n d m u l t i c u l t u r a l i s t L a t i n o / a d i s c o u r s e E l e n a M a c h a d o S á e z Florida Atlantic University, Florida. Abstract Ilan Stavans constructs a multiculturalist framework for understanding the US Latino/a experience. By reading The Hispanic Condition (1995) alongside Stavans’ discussions of the Latino/a literary canon in the introductions to his anthologies, New World (1997) and Lengua Fresca (Augenbraum and Stavans, 2006), and his articles in the Chronicle of Higher Education, I argue that this multiculturalist approach is based on an equation of culture with language. Through this linguistic formulation of Latinidad with the Spanish language as its defining facet, Stavans privileges a colonialist rendering of Latino/a history, tracing the ancestral lineage of Latino/as in terms of solely Western European culture. By valorizing Spanish colonization, Stavans glosses over sites of violence in order to highlight a linguistic inheritance and formulates US Latino/a identity in opposition to American indigenous cultures. Uncovering the way in which Ilan Stavans positions the indigenous as Other in his multiculturalist approach to Latinidad is essential to understanding the colonialist and conservative underpinnings of how Stavans structures the Latino/a literary canon. I will consequently address how Latino/a Studies critics have wrestled with Stavans’ influence on the field and the ways in which Stavans’ vision of US Latino/a Studies resembles or reflects its institutional orientation and disciplinary locations. Latino Studies (2009) 7, 410–434. doi:10.1057/lst.2009.42 Keywords: literature; multicultural; indigenous; language; Ilan Stavans; colonial I n t r o d u c t i o n A variety of historical movements have shaped the development of US Latino/a Studies in the academy, from the different waves of immigration, to the Cold r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 www.palgrave-journals.com/lst/ War, to the Civil Rights movements, to globalization. Each has left an indelible mark on the field, particularly on the institutional spaces that house US Latino/a Studies. My goal in this article is to provide an analysis of multiculturalist discourse as one particular approach to Latinidad that has recently emerged in the field, by contextualizing its effect on the institutionalization of US Latino/a Studies within the academy. By multiculturalist, I am referring to a valorization of hybridity and alterity that is evident in a variety of disciplines,1 but which takes on a specifically linguistic formulation within Latino/a Studies. The idea that language allows US Latinidad to pose a radical challenge to notions of American cultural purity can be a progressive project, as in the example of Debra Castillo’s work. However, multiculturalist ideas about language can be employed towards conservative ends if such an approach towards alterity is not self-critical. For this reason, my article will primarily focus on Ilan Stavans, and in so doing, reflect on the conceptual risks implicit in equating language with progressive politics when formulating Latinidad. Many critics situate Ilan Stavans as an outsider to Latino/a Studies, and in fact Stavans likes to frame himself as an anomaly within the field in order to assert his authority to speak about it. I go against both grains of the discourse on Stavans, produced by critics and himself, to discuss how his theorizations of Latinidad are part of a broader trend within academic discourse. By making the logic underlying Stavans’ approach visible and placing it within a historical context of disciplinary shifts, I aim to highlight the challenges we face as critics when formulating multiple Latinidades. L i n g u i s t i c A l t e r i t y a n d t h e M u l t i c u l t u r a l i s t A p p r o a c h I find it useful to begin with Debra A. Castillo’s Redreaming America (2005) in order to discuss how a multiculturalist project can be productive within US Latino/a Studies while also highlighting some of the ambivalent formulations regarding its institutionalization. Castillo usefully analyzes where US Latino/a Studies is located in the academy in relation to linguistic and disciplinary boundaries. She provides an insightful critique of the globalizing function of language in English departments as a form of ‘‘academic colonization’’ wherein such departments are ‘‘taking on and fiercely guarding the rights to all literatures written in all languages of the world, y taught in translation of course’’ (191). This colonial impulse is not the domain of any one language, but the historical context of globalization and primacy of English within that system is clearly shaping the way in which literary studies is located in the academy. Castillo asks the valuable question, ‘‘what would US literature look like if we included literature from the United States in languages other than English’’ (14)? By pointing to the growing Latino/a population in the United States, she 1 For example, Puri critiques the valorization of hybridity within Postcolonial Studies (2004). Ilan Stavans and Latino/a discourse 411r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 rightly calls for a reconfiguration of the national literature, 2 arguing that, ‘‘US literature in both Spanish and English needs resituation in a hemispheric context’’ (194). Castillo (ibid.) also calls for a ‘‘parallel shift’’ in Spanish departments via such ‘‘North-South dialogues’’ (4) that would contest the notion of a hemispheric canon: ‘‘what would Latin American literature look like if we understood the United States to be a Latin American country and took seriously the work by US Latino/as’’ (14)? Such a reconceptualization mirrors the challenge Castillo directs to English departments, in that she is asking for Latin American Studies to redefine the boundaries of Latin America by incorporating writing by US Latino/as. In employing a linguistic politics to progressive ends, challenging the entrenchment of US literary canons and providing constructive questions about the hierarchies of power between English and Spanish departments, Castillo’s argument about the relationship of US Latino/a writers to language also suggestively positions Ilan Stavans as representative of this kind of linguistic politics. Castillo frames her project in terms of broadening the definition of Latino/a cultural production to include ‘‘US-based Latino writers from the many cultures and generations of latinidad’’ (4) and therefore focuses specifically on ‘‘first-generation new Latino/as who choose to write in Spanish’’ because they are ‘‘a particularly understudied group of authors’’ (13). These new immigrant Latino/a writers are placed in opposition to ‘‘the more established second-plus- generation cohort, who often choose to write in English and whose literary and theoretical work has been more assimilated into the US academy’’ (13–14). Since language is rendered here as a choice by Castillo, writing in English is by extension framed in terms of cultural allegiance.3 In so doing, she positions resident Latino/as as choosing assimilation into the US mainstream, and their academic popularity and use of English is an implied mark of their inauthenti- city as Latino/a subjects. So while Castillo valorizes the Spanish language as contestatory and oppositional in new Latino/a texts, English is aligned with a conservative politics. The logic implied by this binary of old versus new generations frames English-language cultural production by Latino/as as a cultural betrayal of their ‘‘original’’ linguistic identity. Castillo’s conceptualization of this linguistic betrayal using Juan Gonzalez’ (2000) term ‘‘safari approach’’ (xvii) is where the tension of identity politics is most evident. Her argument about English-dominant US Latino/a writers is ruptured by Ilan Stavans’ symbolic value and in turn, reveals how the tie of language to politics can potentially ghettoize English-speaking Latino/as within US Latino/a studies. Castillo (2005) cites Juan Gonzalez to critique this old generation of US Latino/a writers for ‘‘explaining their stories and their cultures solely within a US context’’ (8); but, when taken within the context of Gonzalez’s argument, it becomes clear that he uses this concept somewhat differently. When Gonzalez (ibid.) uses the phrase ‘‘safari approach,’’ he refers to US Latino/a authors who write about Latino/a experience as ‘‘experts who 2 Lazo (2005) models a hemispheric lens and advocates for transnational models of literary study that move beyond national boundaries. 3 Writing or speaking in English is often not a matter of preference, even for bilingual Latino/as. Language skills can vary according to educational and sociological background, as well as location (for example, personal versus public, familial language versus academic discourse). Machado Sáez 412 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 have not lived it’’ (xvii), and in that category, he squarely places Stavans’ The Hispanic Condition (1995). It is here in the figure of Stavans that a dissonance becomes visible, for while Gonzalez is framing Stavans as using a safari approach and acting as ‘‘the guide and interpreter’’ for ‘‘an Anglo audience’’ (xvii), Castillo by contrast favorably cites Stavans as an example of the new Latino/a writers ‘‘rejecting as stale the localized modalities of the Latin Boom, and finding inspiration in the US/international popular culture’’ (10). In this example of academic discourse in US Latino/a Studies, I see the figure of Stavans functioning as central imaginative site from which to understand the tension between divergent approaches to Latinidad. This rupture also reveals how linguistic definitions of Latinidad can become delocalized and abstracted in the process of articulating a progressive and inclusive politics. Neither Spanish nor English, nor any language for that matter, is necessarily suggestive of a progressive or conservative politics; the political implications of language use are highly situational. As a result, analyses of Latinidad in relation to language need to be contextualized, looking at the localities of nation, class, race, gender, and sexuality wherein language is employed. Acknowledging specificities can allow for the concurrent acknowledgement of multiple and contradictory Latinidades. Otherwise, our definitions of Latinidad, despite operating with a different set of intellectual goals from Stavans, may fall into the same restrictive pitfalls of identity politics as those within his work. My close reading of Castillo’s (2005) work is an effort to respond to her challenge to change ‘‘ways of thinking in the academic sites where authority is vested in particular disciplinary and departmental divisions of labor’’ and to amplify the ‘‘ongoing discussion that has too often been muted partly because it is lost in the halls between English and Spanish departments’’ (194). In opening my article with her book, I situate Castillo’s theorization as a productive point of departure for engendering interdisciplinary dialogue, not only because I value her project of challenging linguistic canons, but also because her writing embodies this sense of ambivalence about Latinidad and language. I therefore see the rupture that citing Ilan Stavans creates, the tension between the different meanings his figure symbolizes for Castillo versus Gonzalez, as productive place from which to analyze with greater depth the implications of a multiculturalist approach that sees language as engendering a progressive politics for Latinidad. T h e M o s t Vi s i b l e S y m p t o m : I l a n S t a v a n s Because of his visibility,4 Ilan Stavans is a useful figure by which to understand the function of multiculturalist discourse as a trend within US Latino/a Studies. Although Stavans is sometimes disavowed by the field, this literary and cultural studies critic articulates and positions himself as a public intellectual able to speak for and even embody US Latino/a Studies through his numerous 4 Quantifying Stavans’ scholarship gives a sense of his visibility in Ilan Stavans and Latino/a discourse 413r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 anthologies, PBS show, interviews with major Latino/a writers as well as his seminal work published in 1995, The Hispanic Condition. Alternately labeled ‘‘the czar of Latino literature’’ by the New York Times (Richardson, 1999, 13) and the ‘‘Skip Gates of Latino studies’’ by the Chronicle of Higher Education (Heller, 1998, A17), Stavans has without a doubt authorized himself as the Latino/a Studies critic, although mainly outside of the academic discipline of US Latino/a Studies.5 His ascendancy in regards to shaping the canon of US Latino/a literature has been solidified by his role as editor of the long awaited Norton Anthology of Latino Literature.6 However, despite his very public presence, few scholarly assessments have been written about his relationship to the development of US Latino/a Studies as a field and the logic underlying his formulation of Latino/a identity. I am particularly concerned with this academic gap relating to Stavans and his work because I sense that it also renders invisible how he functions as a symbol for certain problematic notions of US Latinidad within the field. In other words, Stavans is not an anomaly but rather, one model of the conceptual frameworks that circulate in scholarly criticism.7 In particular, I want to call attention to the conservative colonialist logic operating within the language-based definitions of Latinidad used by Stavans, definitions that are representative of a broader trend of analysis that has been institutionalized in the field. By using the term colonialist, I refer to how Stavans celebrates the Spanish language as a tool of colonialism inherited from Spain. Stavans’ unequivocally celebrates Spanish colonialism and, by defining the Spanish language as inherited exclusively from Spain, equates Latinidad’s alterity with the power of European imperial conquest. In so doing, he does not acknowledge how Spanish in the Americas has its roots in a diverse set of cultures, for example, African diaspora and indigenous cultures. Rather, Stavans establishes a colonialist and one-dimensional approach to the development of the Spanish language in the New World, emphasizing only the purity of its Eurocentric roots, as if it has not been transformed and accented by Other languages and experiences. That colonialist approach to language allows Stavans to figure US Latino/as as deriving solely from a European bloodline and functioning as another set of conquistadors in the Americas. Analyzing the logic informing Stavans’ theorizations will hopefully generate some productive questions about the place and function of US Latino/a Studies in the academy at large. I begin by discussing how The Hispanic Condition constructs what I describe as a multiculturalist framework for understanding the US Latino/a experience that places Latinidad in opposition to indigenous identity. By reading the fifth chapter of The Hispanic Condition, ‘‘Sanavabiche,’’ alongside Stavans’ discussions of the Latino/a literary canon in the introductions to his anthologies, New World: Young Latino Writers (1997) and Lengua Fresca: Latinos Writing on the Edge (Augenbraum and Stavans, 2006), and his articles in the Chronicle of Higher Education entitled, ‘‘The Quest for a Latino Literary Tradition’’ academia. Between 1993 and 2008, Stavans published 20 book-length works, of which two are coauthored and one is a collection of interviews. He has edited 23 books, as well as published at least eight essays with the Chronicle of Higher Education and over 40 journal articles since 1987. Stavans’ extensive scholarship output along with his self- marketing may explain why he has been able to find support for his publishing projects; however, one cannot ignore the possibility that his scholarship also holds some appeal for his reading audience, regardless, or because of, its problematics. 5 Stavans’ authority within the field is evident when Mendieta (2003) includes Stavans in his list of ‘‘Latino intellectuals in the United States, who may qualify as cosmopolitan and postcolonial intellectuals’’ (220). 6 Stavans indicates in an interview with a New York Times blog (Garner, Machado Sáez 414 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 (2000) and ‘‘A Literary Critic’s Journey to the Culture at Large’’ (2002), I aim to show how his theoretical approach to Latinidad has informed his ideas on canon-formation. I consequently examine how critics of Latino/a Studies have addressed Stavans’ influence, depicting Stavans as an anomaly within Latino/a Studies and yet, also as an outsider to the field. As a result, these critiques do not delve into Stavans’ shaping of the discipline. Further, I argue that the premises used by scholars to dismiss Stavans’ authority actually serve to reinscribe it. I conclude my article by reflecting on the ways in which Stavans’ understanding of US Latino/a Studies resembles the institutional orientation of the field and its disciplinary locations. R o o t i n g t h e To n g u e O u t s i d e o f H i s t o r y Conceptually speaking, Stavans employs a multiculturalist approach that is premised upon the equation of culture with language.8 My use of the term ‘‘multiculturalist’’ (in opposition to multicultural) is derived from Stavans who introduces this approach as a theoretical trend in US Latino/a Studies at the close of his chapter, ‘‘Sanavabiche.’’ Stavans (1995) uses the term to reference those who ‘‘argue that our racial reality today is unlike that of any period in the past, that Eurocentrism will be replaced by a truly global culture, and that bilingualism should be welcomed insofar as it helps the assimilation process’’ (180). I find it useful to appropriate Stavans’ concept precisely because it is itself an appropriation: Stavans uses it to reference the idea of multiculturalism while at the same time differentiating and distancing his vision from this social project and its Civil Rights origins. I consequently use ‘‘multiculturalist’’ to denote the co-opting of multiculturalism, what David Palumbo-Liu (1995) refers to in The Ethnic Canon: Histories, Institutions, and Interventions as domesticated difference (5). Stavans’ approach is evidence of a critical trend that employs language and progressive concepts of social justice, and, owing to decontextua- lization, these concepts can potentially serve very different political purposes. Stavans’ reconquista of multiculturalism, adopting multicultural diversity to signify as linguistic diversity, is therefore part of a broader trend of ‘‘liberal accommodation’’ that Palumbo-Liu identifies within both Ethnic Studies and literary studies (9). This interdisciplinary trend generates narratives of ‘‘social harmonizing’’ by decontextualizing ethnic groups and their cultural production from material and historical realities (12). Reading Stavans’ work as part of a broader development of multiculturalist approaches provides a context for analyzing how a linguistic definition of multiculturalism can engender a colonialist reading of US Latino/a identity and history. The equation of multiculturalism with multilingualism is particularly evident at the opening of the chapter ‘‘Sanavabiche,’’ where Stavans (1995) moves from race to language in asking the question: ‘‘Racial miscegenation but 2008) that the book will meet his standard of colonial linguistic lineage since ‘‘the anthology goes from the colonial period to the present.’’ 7 Caminero- Santangelo (2007) alludes to Stavans’ influence on the discipline of US Latino/a Studies by labeling another critic as ‘‘in many ways a direct descendant of Stavans’ The Hispanic Condition’’ (221). 8 I am not the first to employ this term to describe Stavans and his scholarship. Christian (2005), for example, cites him as the ‘‘multiculturalist Ilán [sic] Stavans’’ (45). Ilan Stavans and Latino/a discourse 415r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 also verbal. Will tomorrow’s spelling of the United States, in Spanish, be los yunaited estates?’’ (153). In blurring the line between race and language, Stavans reconfigures the effect of diversity on US nationalism in specifically linguistic terms. He limits social change to the realm of language, a trans- formation of spelling or pronunciation and this modification is not taking place in mainstream English but rather, in Spanish. This conceptual move involves what I consider a colonialist approach; Stavans, I suggest, is not actually constructing a culturally hybrid Latino/a subject, but rather seeks to trace the linguistic and, by extension, cultural purity of European roots through the ‘‘mother tongue, Spanish’’ (Stavans, 1995, xiii). By positively valorizing Spanish colonization through language, Stavans glosses over sites of violence in order to highlight this linguistic inheritance and formulate Latino/a identity in oppo- sition to American indigenous cultures.9 Uncovering the way in which he represents the indigenous as Other in his multiculturalist approach to Latinidad, specifically through the figures of Christopher Columbus, La Malinche, and the Quechua, is essential to understanding the colonialist underpinnings of how Stavans structures the Latino/a literary canon as well. Looking closely at how indigenous peoples are erased in this history of Las Américas, or rendered in terms of a negative relationship to the global market, exposes the racial politics informing Stavans’ theorization of US Latino/a culture and literature. In defining ‘‘Spanish as the unifying force’’ of Latinidad (Stavans, 1995, 152) and arguing that the rise of bilingual education programs accorded ‘‘Hispanic culture a legitimate academic status’’ (155), Stavans equates language with culture, and culture with language. This closed definition means that bilingual education and its institutionalization can be depicted by Stavans as a symbol of an already achieved social and political equality on the part of the US Latino/a population, without taking into account that such academic programs do not necessarily translate into or reflect a national de-marginalization of US Latino/as. Stavans’ celebratory rendering of bilingual education’s political potential is reductive, especially when one contemplates the complex function and reception of bilingual programs. His interest lies not in the actual practice of bilingual education, such as public policies and classroom practices, but in asserting his own brand of abstract bilingualism. In downplaying all other facets of culture, Stavans’ primarily linguistic formulation of US Latino/a identity avoids an in-depth analysis of the uneven power dynamics of institutionaliza- tion – of how the complexities of class, race, nation, or sexuality might fragment his vision of Latino/a culture. Having cited Spanish as the primary marker of US Latino/a identity,10 Stavans then also equates multilingualism with multi- culturalism, adopting the language of equal rights and anti-colonial struggles to narrate ‘‘a cultural war in which Hispanics are soldiers in the battle to change America from within, to reinvent its inner core’’ (ibid, 11). For Stavans, linguistic diversity will initiate a utopic future where equality means assimil- ation into a new hybrid culture. Absent from this multiculturalist utopia is any 9 In the chapter, ‘‘Sanavabiche,’’ Stavans notes, ‘‘Today the United States lives partially en español. Why sacrifice the benefits of a mistake? Latinos feel close to their roots through language, and Spanish is slowly becoming ubiquitous’’ (169). These linguistic roots frame Latino/as as an extension of Spanish (language) colonization in Las Américas. 10 This linguistic formulation is problematic since there are US Latino/as who do not speak Spanish, and the Machado Sáez 416 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 discussion of the economic, political, or material realities facing the US Latino/a population – rather these are subsumed in order to privilege language as the great equalizer. These linguistic politics are articulated via a language of progressivism and positivism that veils the conservative logic of Stavans’ overall project. Stavans’ appropriation of hybridity and multicultural politics is particularly evident when he describes what he sees as ‘‘a refreshingly modern concept [that] has emerged before American eyes – to live in the hyphen, to inhabit the borderland’’ (ibid, 4). This valorization of diversity is limited, to the extent that it is only applied to the realm of language, leading Stavans to declare, ‘‘what was applauded in the multicultural age is a life happily lost and found in Spanglish’’ (ibid, 10). This linguistic multiculturalism is ‘‘historically enlightening’’ for Stavans and therefore part of his conceptual project in Latino/a Studies centers upon narrating a history that fits the parameters of a linguistically demarcated Latino/a subject (ibid, 4). Stavans’ tendency to decontextualize US Latino/a history even as he narrates its trajectory is a point of concern for many other critics. Juan Flores (2000) notes that Stavans is ‘‘notably selective in his conception of the Latino canon and the conditions of its formation’’ (173), while Louis Mendoza (2001) and Paul Allatson (2006) have also concentrated on the gaps within Stavans’ historical narrative of the Latino/a population in the United States. My own argument regarding the depiction of the indigenous body in Stavans is an outgrowth of Mendoza’s (2001) assertion that Stavans ‘‘purposely ignores and obfuscates the brutal complexities of US Latino history and culture’’ (80). My intent is very much to uncover and analyze the function of these historical silences. Allatson similarly draws attention to the strategic gaps in Stavans’ history while specifically addressing the treatment of indigenous culture within that history. In analyzing Latino USA: A Cartoon History (2000), Allatson (2006) also sees Stavans ‘‘discounting all claims to modern-world status of indigenous Americans’’ to the extent that ‘‘the defeat and demise of Native peoples can be attributed to the inherent y lacks of conquered indigenous peoples’’ (26). In other words, indigeneity is inscribed as endemically anti- modern. I am indebted to Allatson’s analysis of the indigenous as well as the larger body of critical work on Stavans; my interest lies in building upon the foundation of criticism on Stavans to demonstrate that his erasure of the indigenous body is key to his formulation of US Latino/a identity. Since Allatson (ibid.) suggests that correcting the ‘‘notable indigenous absence’’ of La Malinche in the cartoon history ‘‘might have helped to push against the Euro-frame,’’ especially since she is the ‘‘subject of feminist revisions by numerous Mexican and Chicana writers,’’ I’d like to look in-depth at the representation of such indigenous presences when they do appear in Stavans’ writing and consider how they are employed in order to sustain restrictive definitions of Latinidad (26). By performing a close reading of his most well-known text, The Hispanic Condition, and how it continues to shape Stavans as a public intellectual, my opposition of English and Spanish ignores the reality that Latino/a populations incorporate other languages, like those of other US minorities or immigrants. Sánchez (1992– 1996) analyzes alternate sites of linguistic contact for US Latino/as. Ilan Stavans and Latino/a discourse 417r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 goal is to render visible the colonialist framework organizing Stavans’ broader theorization of Latino/a identity – in particular, his concern with tracing a pure bloodline from the US Latino/a to Spain via his Latino/a language, Spanglish. T h e I n d i g e n o u s a s L a t i n i d a d ’s O t h e r In order to chart a multiculturalist future in The Hispanic Condition, Stavans must also map out a past that seamlessly produces a Latino/a subject exclusively circumscribed by language. The origins of this subject are represented in the figures of Christopher Columbus and La Malinche. Columbus is described as ‘‘the first American and already with a linguistic handicap’’ (Stavans, 1995, 163). In order to position him as a bilingual ‘‘first American,’’ Stavans must decontextualize Columbus.11 This one descriptive phrase consequently has several effects: first and foremost it erases the pre-Columbian indigenous population of the Americas by negating their subjectivity as ‘‘first Americans.’’ This phrase consequently disassociates indigenous identity from American identity. Second, it reimagines Columbus as an immigrant subject, decontex- tualized from his colonialist imperative and instead defined by his multi- lingualism. Third, it links Americanness with linguistic struggle through the now whitewashed version of Columbus. Stavans’ description of what he terms the contemporary ‘‘reconquista’’ of the United States is then dependent upon framing Latino/as as the true inheritors of this colonial legacy: ‘‘yesterday’s victim and tomorrow’s conquistadors’’ (ibid, 5). This formulation of Latino/as as conquistadors implies also an erasure of many Other cultural inheritances, whether of blackness as Juan Flores (2000) and William Luis (1997) point out, or of an indigenous legacy.12 Stavans is more interested in how ‘‘when the Spanish conquistadors first came to the New World they shared something only the biblical Adam had: the naming of things’’ (1995, 167).13 The articulation of European colonialism as possessing the sole capacity or power to name clearly ignores the historical reality of the many Other cultures that possess this same linguistic ability and contest the linguistic dominance of European culture. However, an erasure of such realities is necessary in order for Stavans to construct an untainted linguistic bloodline from the old conquistadors to the new. This erasure makes it possible for Stavans to make the remarkable claim that ‘‘social diversity was not y an issue’’ in 1787 when the US Constitution was drawn up (1995, 155). Clearly, to consider the histories of slavery, indigenous genocide, and immigration would contest the cultural and linguistic inheritance that Stavans wishes to assert. Principally, these contexts would rupture his narrative about the United States being a homogenous nation until Latino/as arrive in the late twentieth century to hybridize American culture. With Columbus as the model American, the contemporary Latino/a ‘‘conquest’’ serves as evidence of a link to a European and American colonizing project. In 11 I’m grateful to Sobeira Latorre for pointing out that Bruce-Novoa (1993) similarly frames the conquistador subject when he writes about Cabeza de Vaca as the ‘‘first’’ Chicano. Bruce- Novoa’s example underscores how multiculturalist formulations of Latinidad can potentially inscribe a colonialist lineage for Latinidad. Stavans (2000a) reiterates the representation of Cabeza de Vaca, a conquistador and slaveowner, as the ‘‘first’’ Latino. 12 Flores (2000, 176) discusses the ‘‘vantage point of those who need not worry about being taken for Blacks or ghetto- dwellers,’’ while Machado Sáez 418 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 effect, the new multilingualism that Stavans describes is idealistically aligning Latinidad with Eurocentric empire as its only foundational culture. La Malinche, a key indigenous persona that Allatson sees missing from Stavans’ Latino USA graphic novel, appears in The Hispanic Condition as another prop in the foundational fiction of conquest for Stavans. Stavans represents La Malinche as ‘‘the conquistador’s mistress; an Aztec traitoress; and, more than anything else, a translator and an interpreter’’ (1995, 157). The relevance of this indigenous figure is her linguistic function, overshadowing or annulling her indigeneity. Stavans asserts that she belongs among a set of gifts obtained by Cortés: ‘‘Motecuhzoma II gave [him] gifts of gold and other precious objects, [and] he offered y twenty slave girls, among whom was La Malinche’’ (ibid, 157). Avoiding a discussion of the power relations between slave and master, Stavans continues to frame La Malinche as object rather than subject, a symbol of ‘‘love and language’’ (ibid, 157). She is a tool for the conquistador: ‘‘through her, Cortés discovered his enemy’s real power and strategy’’ (ibid, 157). La Malinche allows Stavans to explore the idea of linguistic betrayal while reinforcing the association of linguistic power with colonial power. As a result, La Malinche herself is not represented by Stavans as a potential model for Latinidad. Rather, having fulfilled her linguistic function, she fades into the background of this colonialist history and Cortés, the conquistador, emerges as the model Latino. For Stavans, La Malinche is merely a ‘‘memorable ghost story’’ (ibid, 148) whose origins lie only ‘‘at the dawn of Hispanic-American history’’ (ibid, 157). This conception of La Malinche as a ghost from the past is quite apt, bearing in mind how indigenous Others haunt Stavans’ theorizations of Latinidad, always at the margins of that hybrid modernity from which they are absented. Framing La Malinche in such a way also enables Stavans to ignore the large body of work by Latina feminist critics, who have sought to recover and revise the symbolism of this indigenous female figure in order to frame her as culturally relevant to contemporary Chicana subjectivity (cf. Anzaldúa, 1987; Alarcón, 1989; Gaspar de Alba, 2005). La Malinche’s disconnection from Stavans’ multiculturalist future is pri- marily owing to her indigeneity. Stavans’ description of the modern Quechua population in The Hispanic Condition is reflective of the binary that he sets up between indigenous identity and modernity. In order to give an example of the disadvantages of not being a Latino/a subject, that is, of not possessing two colonial languages, English and Spanish, Stavans looks to the Quechua- speaking people, who he describes as ‘‘isolated in the northern Peruvian jungle, alienated from Western civilization’’ (1995, 165). In particular, he imagines what it would be like to ‘‘play a Beatles song for Quechuas,’’ assuming that the music would sound so ‘‘inharmonious [and] incoherent’’ that ‘‘the Quechuas might run away terrified after hearing the first sounds’’ (ibid, 165). If for Stavans, ‘‘to translate is to adapt’’ (ibid, 165), then here he turns to the Quechua as an example of those who cannot understand the wonder of the Beatles, who Luis (1997, 282) takes Stavans to task for ‘‘omitting mention of the significant numbers of Africans and Asians who reside in the Caribbean and South America.’’ 13 Latin American Boom writers, who play an important role in The Hispanic Condition, deployed this Adam naming myth in order to position themselves as the first generation of Latin American writers. Historically, of course, there were Latin American writers who came before them. Cf. Sommer (1991, especially ‘‘Part I: Irresistible Romance’’) for a discussion of the Boom’s dismissal of its pre-texts. Stavans takes the Boom’s relationship to its precursors as a model for his own relationship to other Latino/a Studies critics, whom he also does not acknowledge in order to position himself as the ‘‘first’’ Latino critic. Ilan Stavans and Latino/a discourse 419r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 cannot translate and as a result remain isolated from European modernity. In fact, they are disconnected not just from a European bloodline of modernity, but also from the market of popular culture, and for Stavans that is the other important defining facet of Latino/a identity: a marketable identity for mass consumption.14 This, then, is Stavans’ final judgment on indigenous culture and why it is incompatible with his notion of Latinidad: to be indigenous is to also be untranslatable and unmarketable. In tracing a US Latino/a lineage, Stavans rejects indigenous culture in citing the Quechua, figuring such cultures as outside of colonial linguistic influence and outside of a global market.15 At the same time, Stavans must reference and restrict indigenous identity in such a way because it serves as the negative double, the Other to Stavans’ multiculturalist and colonialist formulation of a Latino/a subject. As with the figure of La Malinche, Stavans’ formulation of the Quechua is presented in what appears to be an intellectual vacuum. The rich discourses of feminist criticism and indigenista theory16 must be erased in order for Stavans to posit indigenous identity as linguistically static and anti-modern. A p o l i t i c a l A n t h o l o g i e s a n d a C o l o n i a l i s t L i t e r a r y L i n e a g e I move now to discussing how the representation of the indigenous in Stavans’ early work, The Hispanic Condition, serves as a context for understanding his later publication projects, specifically his anthologies of US Latino/a literature. In his Chronicle of Higher Education article, ‘‘The Quest for a Latino Literary Tradition’’ (2000), Stavans calls for US Latino/a Studies to revisit Matthew ‘‘Arnold’s type of disinterested criticism’’ (B13þ , Para 27) while also stating his preference for incorporating ‘‘authors who have chosen to switch languages’’ in his anthologies (B13þ , Para 19). It is via this appeal for ‘‘disinterested criticism’’ that Stavans positions himself as a representative of the objectivity involved in such criticism, noting that his own formulation of Latinidad is apolitical in its focus, isolating only the unifying quality of multilingualism. This same linguistic logic is reiterated in the introduction to the Lengua Fresca anthology (Augenbraum and Stavans, 2006), where Stavans praises the title for ‘‘captur[ing] the verbal hoopla I’ve been so obsessed about’’ (xvii) and proposes to his coeditor that they ‘‘shape a volume in which the language used by Latino/as – Spanglish, in all its potentials, the lingua franca – serves as the true protagonist’’ (xiv). The interest in making language the defining facet of the anthologies is also tied to a concern with incorporating texts that have ‘‘less of an ideological bent’’ (xvi). The association of an exclusively linguistic construction of Latinidad with an apolitical approach to literature, however, is disingenuous considering the broader context of a colonialist methodology informing Stavans’ work. With a celebratory reading of empire’s history in Las 14 In our coauthored book (2007), Dalleo and I analyze how Stavans constructs Latino/a identity as a product for mainstream consumption. Cf. chapter 4 (107–132). 15 Garcı́a Canclini (1993, vii) cites this ‘‘picture [of] sentimentally natural communities by capitalist development’’ as a ‘‘market strategy’’ that ignores how popular culture is ‘‘the product of the assimilation of dominant ideologies and the contradictions of oppressed classes.’’ Stavans could be understood as employing a capitalist logic in reading indigeneity, alongside that of his colonialist framework. 16 Arguedas (1957) attests to the fact that the Quechua speak a variety of dialects. There is a large body of analysis on the indigenismo Machado Sáez 420 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 Américas, Stavans is far from disinterested in his theorization of US Latino/a culture and anthologizing of Latino/a literature. Investment in a multiculturalist politics of identity leads Stavans to also employ a conservative lens in formulating the US Latino/a literary canon. A colonialist framework is particularly evident in the title of his 1997 anthology, New World: Young Latino Writers. In the introduction to this anthology, Stavans asserts that the ‘‘very first novel by a Latino written in English was Felipe Alfau’s amazing Locos: A Comedy of Gestures,’’ published in 1936 (1997, 2). Stavans also reveals that his categorization of this novel ‘‘often makes critics uncomfortable, if anything because it was written by a Spaniard, who traditionally was seen in Latin America and by Hispanics in the United States as an aggressor’’ (ibid, 2).17 He goes on to explain that the resistance to Alfau’s inclusion in the US Latino/a canon may also be motivated by the fact that the author was ‘‘a fervent conservative, pro-Franco during the Spanish Civil War and an acknowledged Republican in US politics’’ (ibid, 2). Stavans’ response to such criticism is to frame the objections as ideologically driven, that they ignore the foundational role that Alfau played as ‘‘the very first to switch languages successfully’’ (ibid, 2). At the same time, Stavans frames his own motives for selecting Alfau as apolitical, asserting that, ‘‘no matter what ideological viewpoint one professes, [Alfau] stands as a titanic innovator and a door opener’’ (ibid, 2). Within the context of how the indigenous Other functions in Stavans’ multiculturalist theory, I hope that it is evident that the canonization of a fascist Spaniard as founding father of US Latino/a literature is part of the seamless colonialist legacy that Stavans wishes to construct and which requires him to ignore such writers as Marı́a Amparo Ruiz de Burton (1885), among others,18 who would complicate this European literary bloodline. Indeed, Alfau as a European model not only reinforces the colonial roots that Stavans endeavors to establish as the sole foundation of Latino/a identity, but also exposes the conservative politics informing his theorizations under the guise of an apolitical approach. The references to Matthew Arnold, Shakespeare and Cervantes throughout Stavans’ work are a reflection of his commitment to elite colonial cultures and literatures. The anthology projects by Stavans can be thus understood as multiculturalist projects, deploying purportedly progressive and/or apolitical discourse while advocating a colonialist linguistic politics.19 Reading how the indigenous body operates within Stavans’ theorization of Latino/a identity provides us with an important context for the anthologies of US Latino/a literature edited by Stavans. That indigenous counter-model for Latinidad continues to be present even in the introduction to the New World anthology, an indigeneity Stavans aligns with ‘‘some thinkers vociferously opposed [to] the idea of a unified Latino history, claiming that Hispanics were not, and would never be, a single throng’’ (1997, 4). Defending the ‘‘harmonious’’ logic of his own position, Stavans argues for a ‘‘less tribal movement and its definition of indigenous identity; see Rama (1981) and Moreiras (2001). 17 Luis (1997, 284) addresses the literary model of Alfau by contesting the categorization of immigrant Spaniard writers as Latino/as. Allatson (2006) also remarks on how Stavans’ use of Alfau to expand the concept of Latinidad enables him to make other ‘‘identificatory anachronisms,’’ like labeling Cabeza de Vaca as a Latino (31). 18 William Carlos Williams, Arturo Alfonso Schomburg and Américo Paredes produced major works in English before Alfau. Stavans’ choice of the ‘‘novel in English’’ clearly limits his Latino/a literary lineage in terms of genre and excludes these Ilan Stavans and Latino/a discourse 421r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 future,’’ one which presumably cannot be defined by those ‘‘thinkers’’ who do not articulate the same utopic modernity as Stavans. The ‘‘New World discovering itself anew’’ is thus the dominion of Stavans alone, a ‘‘mythmaker of the future’’ (ibid, 8). While he mentions ‘‘Others (like myself),’’ it is clear that Stavans assigns himself the status of Other, of the marginalized, in order to render alternative voices of critique as marginal and invisible within US Latino/a Studies, in much the same way that he erases the indigenous body in his history of Latinidad (ibid, 8). C r i t i c a l C o n v e r s a t i o n s a n d t h e D i s m i s s a l o f I l a n S t a v a n s My move to link The Hispanic Condition to Stavans’ public role in antho- logizing Latino/a literature consequently serves to expand upon the arguments of the few critics who critique his work in-depth: Paul Allatson, Juan Flores, William Luis and Louis Mendoza. My interest in calling attention to these critics stems from a desire to reintegrate and highlight the dynamic conversation that does exist within US Latino/a Studies and to force a dialogue that Stavans intentionally abjects from his own writing, as when he refuses to name other critics.20 Mapping out the critical conversation surrounding Stavans also permits us to review the analyses already applied to his work and on what terms these critics argue for the critique of Stavans’ theories. Instead of addressing the content of Stavans’ approach, the criticism all too often relies on a dismissal of Stavans’ persona, which, as I will show, only serves to reinforce his own sense of marginality and otherness. My hope is that shifting the focus onto the colonialist underpinnings of Stavans’ writings will resituate him within the field and show that he is not the anomalous, exceptional figure he imagines himself to be. Stavans’ persona is described in somewhat contradictory ways: as an anomaly within the field and an outsider to the field. The singularity of Stavans as a critic is usually argued on the basis of his popularity as a public figure. For example, Louis Mendoza references the ‘‘unprecedented notoriety’’ of Stavans ‘‘as one of the most public US Latino intellectuals of his time’’ (Mendoza, 2001, 79) and Juan Flores (2000) refers to Stavans as ‘‘the critic who has been the most intent on configuring a Latino literary canon in the 1990s’’ and who ‘‘has become the most frequent commentator on the subject’’ (172). By focusing on discrediting Stavans’ authority as a too-popular or too-productive critic, the majority of the critiques of Stavans do not address how Stavans’ work is an outgrowth of fundamentally problematic conceptions of Latinidad that are present within US Latino/a Studies. This is principally because critics frame Stavans as the exception to the broader disciplinary trends in US Latino/a Studies. By asserting Stavans’ agency-that his prominence is derived solely from the way he locates himself-critics cannot discuss how Stavans is authorized or foundational writers. 19 The Lengua Fresca anthology (Augenbraum and Stavans, 2006) embodies the various thematic strains of Stavans’ theoretical work. In keeping with his self- authorization strategy, Stavans includes his translation, ‘‘Don Quijote en Spanglish,’’ as well as comic strips by Lalo Lopez Alcaraz, the artist who illustrated Stavans’ Latino USA (2000). Bilingualism also organizes the text with stories written completely in Spanglish (Giannina Braschi), fiction that contains untranslated Spanish (Oscar Casares), or work originally in Spanish presented alongside the translation (song by Lila Downs). Stavans’ interest in linking language with the market leads to the inclusion of popular culture and music, with lyrics by the Hip Hop Hoodios and a Spanglish food Machado Sáez 422 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 constitutive of the critical conversations taking place in the field of US Latino/a Studies. For example, Paul Allatson (2006) confirms Flores’ representation of Stavans’ ‘‘intent’’ by stating that ‘‘Stavans has positioned himself at the forefront of US Latino Studies’’ (22). Certainly, Stavans’ personal narrative of ascendancy is in many ways unavoidable; however, by limiting such arguments to substantiating how Stavans is a mere performer and not representative of Latinidad, these critiques overlook the possibility that Stavans is symbolic of a broader disciplinary approach to Latinidad. For this reason, I find Frances Negrón-Muntaner’s labeling of Stavans as a ‘‘Mexican philologist’’ in Boricua Pop (2004) incredibly apropos. Her comment serves to link this critical trend of representing Stavans as an anomaly to the other critical tactic that references Stavans as both a biographical and disciplinary outsider. The scholarly discourse consequently frames Stavans as an outsider to US Latino/a Studies by also focusing on Stavans’ biography in order to critique his work. For example, in his book From Bomba to Hip Hop (2000), Juan Flores calls attention to the upper class background of Stavans as a context for his critique of ‘‘the privileging of privilege’’ that Stavans performs in canonizing immigrant Latino/a literature (175). By citing the fact that he ‘‘arrived from his native Mexico as late as 1985,’’ Flores frames Stavans as an immigrant and a non-native interloper in US Latino/a Studies (172). In his essay, ‘‘On Buffaloes, Body Snatching, and Bandidismo,’’ Louis Mendoza (2001) reiterates that Stavans was ‘‘born in a secluded upper middle-class Jewish enclave of Mexico City in 1961’’ and completed his doctoral studies at an Ivy League institution, ‘‘Columbia University, where he received his PhD in Spanish in the early 1990s’’ (79).21 Following this biographical description of Ilan Stavans, Mendoza mentions that many in the field of Latino/a Studies see Stavans as an ‘‘ambitious outsider who has managed to present himself as an authentic spokesperson for cultures and experiences he knows only from a distance’’ (ibid, 79–80). The biographical analysis of Stavans consequently hinges on undermining his claim to authenticity by pointing to the context of his adult immigration experience. Of course, this type of critique is limited in scope because the question of Latinidad itself is fraught with these same issues of geography, the line between residency and belonging.22 Questions regarding the relationship between identity politics and scholarship show how the biographical critiques of Stavans are not successful or fruitful because they remain locked in a battle over who is the authentic critical voice for US Latino/a Studies. This sort of academic power struggle overlooks the issue of how Ilan Stavans authorizes his analyses. Undoubtedly, the focus on Stavans’ persona is in many ways encouraged by Stavans himself. Both Allatson and Luis point to the ways in which Stavans inserts himself and his autobiography into his theoretical work on US Latino/as. In his essay, ‘‘Ilan Stavans’ Latino USA: A Cartoon History (of a Cosmopolitan Intellectual)’’ (2006), Allatson notes that the text is ‘‘committed to elucidating the author’s own personal history’’ (21) by incorporating menu from the Parrot Club, a restaurant in the touristic section of San Juan, Puerto Rico. 20 In the 2001 foreword to the second edition of The Hispanic Condition, Stavans mentions his critics anonymously, referring to ‘‘a few people [who] felt offended by my portrait of Latinos’’ (xi). In the New World anthology’s introduction (1997), Stavans acknowledges that some critics disagree with his labeling of Alfau as a foundational Latino writer, but also neglects to name these scholars. 21 Luis (1997, 289) generously addresses how Jewish culture shapes Stavans. Luis states that ‘‘it is Stavans’ Jewishness, I believe, that allows him to identify with the oppressed Latino communities.’’ Here, Luis articulates the alliances possible between Jewish and Latino/a populations. At Ilan Stavans and Latino/a discourse 423r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 ‘‘endorsements of Stavans’ own publishing backlist’’ and having Stavans appear ‘‘in the text as its dominant icon [ y ] and an active participant in Latino history’’ (22).23 William Luis (1997) also ‘‘wonders if Stavans’ search for Latino identity is autobiographical, allowing him to read literary history from his own perspective so that he can insert himself into the process he is describing’’ (288, emphasis added). The autobiographical identification with Latinidad comes at a cost, excluding Other points of experience because Stavans ‘‘differentiates himself from other minorities such as blacks and Asians’’ and therefore constructs US Latino/a identity in opposition to blackness and Asian ethnicity (ibid, 282). While Luis sees this tendency towards self-insertion as a natural byproduct of authorial inspiration, similar to how Gustavo Pérez-Firmat integrates autobiography into his theoretical writings, Allatson ascribes a more (c)overt function to the autobiographical elements. For Allatson (2006), Stavans is in essence authenticating himself as a Latino subject, not only with the authority to comment on the Latino/a experience but also as the only referent, the only critic through which to understand that experience. The structure of ‘‘Stavans’ appropriation of Latino history and discourse [is such] that there is no ‘Latino’ without Stavans as, and at, its authorizing center’’ (22). In effect, Stavans situates himself as an anomalous subjectivity that precisely because of his unique subject position possesses the best voice for articulating Latinidad. If self-authorization is the motive behind the autobiographical elements in his work, it seems all the more unproductive to follow Stavans’ lead and critique his conceptualization of US Latino/a identity by citing those same biographical elements. For example, in the 2002 article, ‘‘A Literary Critic’s Journey to the Culture at Large’’ from the Chronicle for Higher Education, Stavans asserts that he ‘‘learned to be a critic, and pondered what a critic does, as a Mexican immigrant in the United States’’ (B9). Since Stavans frames himself as an outsider owing to his immigrant identity, employing that biographical experience to dismiss Stavans as an outsider to the field of US Latino/a Studies confirms Stavans’ self-definition as authentically marginal and, by extension, reinscribes his authority to conceptualize his own marginality as making him central to the field. After all, the biographical factors that academics cite to de-authenticate Stavans are identical to those that Stavans uses to define himself as a paradigm for Latinidad: ‘‘That is, Stavans’ story – he was born and lived in Mexico City until moving to the USA in 1985 at the age of 24, where he went on to complete a doctorate at Columbia University – functions implicitly as the exemplary model of becoming and being Latino’’ (Allatson, 2006, 33). Stavans does recognize that he has ‘‘spent the last decade reinventing [him]self,’’ effecting a transformation that meant ‘‘ceas[ing] to be a Latin American’’ and ‘‘becom[ing] a Latino’’ (B9). Dismissing Stavans by locating him as marginal to the field or an anomaly within it, essentially accepts the terms of discussion that Stavans sets up to assert his authenticity. As a result, this kind of self-enclosed critical conversation about authenticity is destined to repeat or reinforce the same time, such a statement can situate the terms of Jewish and Latino/a as mutually exclusive. Formulating US Latino/a identity in opposition to Jewish culture, for example, would potentially exclude Jewish Cuban-American writers like Ruth Behar and Achy Obejas from the US Latino/a literary canon. 22 See Flores’ (2000) chapter, ‘‘Life off the Hyphen,’’ for his theorization of resident versus immigrant Latino/a identities. 23 Allatson (2006, 34) analyzes various scenes in the Latino USA comic book where Stavans inserts himself as a historical figure into key moments of the Chicano movement and anti-Vietnam struggles. Machado Sáez 424 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 Stavans’ desire to make his own identity the foundation of US Latino/a Studies as a field. Apart from the question of who Ilan Stavans is, US Latino/a Studies theorists also pose important points of critique when addressing actual analyses that Stavans produces and the manner in which he substantiates his arguments. For example, Marta Caminero-Santangelo (2007) labels Stavans as ‘‘perhaps one of the most problematic recent commentators on the ‘Hispanic’ peoples in the United States’’ (221). Scholars specifically express concerns about the disci- plinary focus that Stavans takes on as too broad and sacrificing the national particularities which are encompassed by his pan-ethnic theorizations: ‘‘unfortunately what is gained through this potentially welcome framework of cultural kinship and solidarity is lost in the need for specificity and more rigorous differentiation among the varied group perspectives’’ (Flores, 2000, 173). Critics are also concerned with the rationale underlying certain choices in terminology, for example, William Luis sees an assimilationist logic at work in the way Stavans distinguishes between the terms ‘‘Latino’’ and ‘‘Hispanic’’ (282–283).24 The question of discipline arises for Louis Mendoza (2001) as well, who seeks to ‘‘illustrate the non-scholarly approach that Stavans assume[s]’’ in a book on Oscar Zeta Acosta (84). Stavans’ exploration of Chicano identity through Acosta has drawbacks because of the means that Stavans employs: Stavans does not provide sources for his references to Acosta criticism or other quotes he uses within his essay. Indeed, three of the five footnotes in the entire book are citations to Stavans’s own work, and of the other two, one is an incomplete reference to the 1990 census and the last is an explication of Acosta’s thinly veiled allusions to historical figures. (84) Mendoza’s concerns regarding Stavans’ ‘‘undertheorized scholarship’’ (84), which are corroborated by other scholars such as Eliot Weinberger (1994),25 also bring up the matter of authenticity, this time in relation to Stavans’ authority as an academic. The critics therefore take issue with Stavans’ conceptualizations of Latinidad as well as the way his work rejects engagement with the existing disciplinary discourse within US Latino/a Studies. Stavans’ refusal to see himself in dialogue with the past and present critical conversation within Latino/a Studies gives credence to Allatson’s analysis of how Stavans establishes himself as the sole center of US Latino/a discourse in his writing.26 In reviewing how US Latino/a critics of Stavans have separately analyzed certain aspects of his persona and work, I hope that my article has reinforced the ways in which his conceptualizations of hybridity, language, and Euro- centrism are integrally linked. While these major critics at times reinforce the terms by which Stavans authenticates himself, all of these academic assessments function as valuable counternarratives to the public success story that Ilan 24 Luis (1997, 283) notes that Stavans defines Latino/as as US citizens, and Hispanics as populations outside the borders of the United States, while at the same time claiming that Latino/as are also Hispanics. Luis sees this equation as ‘‘problematic’’ because ‘‘it is difficult to fathom that a recent immigrant changes his identity immediately upon arrival.’’ 25 Weinberger (1994, 125) exemplifies the critiques made regarding the quality of Stavans’ scholarship, but from the specific perspective of Ilan Stavans and Latino/a discourse 425r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 Stavans promotes and that is endorsed by the public sphere. By highlighting how the conceptual strategies that Stavans employs in formulating Latinidad are emblematic of the disciplinary trends within US Latino/a Studies, I am attempting to circumnavigate the impasse these scholars encounter. The next necessary analytical step towards accomplishing this is confronting the concep- tual contradiction at the center of this critical discussion: how can one can speak about the symbolism of a scholar who is branded by critics, and at the same time labels himself, as an outsider within US Latino/a Studies? My answer is to discuss Stavans as symptomatic of critical trends in US Latino Studies rather than a source of negative influence or infiltration. Paul Allatson (2006) helpfully summarizes some of the major disciplinary accomplishments claimed by Stavans, stating that his status is exemplified by Stavans’s stewardship of the first course in Spanglish offered by a U.S. university (Amherst, in 2000), and by a prolific publishing record, including y numerous anthologies, that has helped to establish Latino Studies in the academy, and to spread the word about the latinization of the U.S.A. outside that country’s campuses, and, indeed, the country itself. (22) On the one hand, this list of accomplishments must be scrutinized carefully since it is in part produced by Stavans’ own self-marketing as a groundbreaking academic. For example, the construction of Stavans as the first professor to teach a class in Spanglish is questionable, especially when one thinks of the multiple disciplinary sites where such conversations are possible and where surely Spanglish has been employed long before 2000: Women’s Studies, Ethnic Studies, African American Studies, Language, and Literature departments. Also, many classrooms have engaged in Spanglish without necessarily having administrative legitimization, so the earliest example of a course in Spanglish cannot be attributed to Stavans simply because he has formalized such a class at his own institution. On the other hand, if we find the scholarship of Stavans problematic, then an open conversation about how Stavans is merely the most visible representative of a broader trend is necessary and fruitful. For instance, how can we see his ideas about Latinidad playing out in academic institutional structures or in terms of the publishing market? How is his role as editor of anthologies and series like ‘‘The Ilan Stavans Library of Latino Civilization’’ from Greenwood Press, an outgrowth of particular formations and practices of US Latino/a Studies? My goal is to continue the conversation already evident in the field about Stavans and expand it to a dialogue about his model of Latino/a Studies, while also keeping in mind the potential risk of reinforcing Stavans’ mythic construction of his academic significance. In thinking through how Stavans privileges language in his multiculturalist and colonialist formulations of Latin American Studies. Like Mendoza, Weinberger reads Stavans as ‘‘covertly pitching himself’’ in his scholarship. Weinberger also identifies flaws of decontextualization and ‘‘factual misinformation [and] deliberate omissions’’ within Stavans’ writing on Octavio Paz (120–121). 26 Stavans avoids aligning himself with the broader intellectual community of Latino/a Studies in the New York Times blog interview. Stavans misinterprets the question about ‘‘whose books are generally shelved next to yours in bookstores’’, answering instead about the books in his ‘‘personal library’’ (Garner, 2008). The personal narrative about Stavans’ home library becomes a way to distance himself from bookstores’ public space. This autobiographical tendency within Stavans’ work serves to circumscribe himself as the sole embodiment of Machado Sáez 426 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 Latino/a identity, we can discuss to what extent this linguistic framework circulates. For example, analyzing what role these approaches play in the anthologizing of US Latino/a literature as well as in the development of US Latino/a Studies as a field of study within the academy. In other words, how is Stavans’ work indicative of a general shift in the location and institutionaliza- tion of Latino/a Studies as an academic discipline? C o n t e x t u a l i z i n g S t a v a n s w i t h i n B r o a d e r D i s c i p l i n a r y S h i f t s It is therefore important to also consider the disciplinary context out of which Stavans emerged in order to trace the broader implications of the Eurocentric colonial inheritance he seeks to establish as the primary foundation of US Latino/a identity. Stavans himself (2002) notes that his immigration to the US and emergence as a scholar coincided with a particular historical context: ‘‘my move north of the border at a time when multiculturalism has been in vogue and debates rage on bilingual education, affirmative action, and the shaping of the Western canon has sharpened my views’’ (B9). For that reason, I’d like to close this article by meditating upon the disciplinary shifts that opened up a certain discursive space that Ilan Stavans was perhaps one of the first to explore and therefore embodies one type of approach to the field of US Latino/a Studies. Although the biographical trajectory of Stavans’ academic career has been well noted by critics, Stavans’ shift from Latin American Studies to US Latino/a Studies has not been previously linked to a larger historical and disciplinary context. In the Fall 2007 Newsletter of LASA, Gilberto Arriaza and Roberto Rivera make the argument that the Latin American Studies Association is uniquely situated to take a leadership position in analyzing the growth of the US Latino/a population. This article, ‘‘Angels Dancing on the Head of A Pin?,’’ is published following the 2007 LASA Convention in Montreal, a conference dedicated to the theme of a ‘‘Post-Washington Consensus’’ and that reflected upon the formation of Latin American Studies as a field. The two key moments of this disciplinary narrative include the National Defense Education Act of 1958, which viewed such studies as an integral part of winning the Cold War, as well as the 1980s Washington Consensus that encouraged neoliberal and capitalist models of development for ‘‘Third World’’ countries. The call to analyze a ‘‘post’’ is an acknowledgement not only of the end of the Cold War period but also a need to redefine the goals of Latin American Studies – the shift towards US Latino/a Studies is then conceived as an attempt to resolve a disciplinary crisis. However, this desire for a new disciplinary vision, one that sees the ‘‘phenomenal growth of the Latino(a) population in the United States [as] worth examining,’’ must also be contextualized (Arriaza and Rivera, 2007, 29). Arriaza and Rivera mention that during the 1990s, ‘‘a nativist inspired backlash against the increasing presence of Latinos’’ emerged (ibid, 29). What US Latino/a Studies as a field. Ilan Stavans and Latino/a discourse 427r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 can be implied then is that while the public sphere within the United States during the 1970s and 1980s sought to address a perceived communist threat outside of US borders, the post-Cold War public sphere is shaped by concerns about growing populations within its borders. If Latin American Studies as a discipline was shaped by numerous and perhaps contradictory forces, I would argue that we should also think about the ways in which multiple contestatory histories have also played a role in the institutionalization of US Latino/a Studies. While the contexts of civil rights and the market have been addressed within Latino/a Studies, the new role that Latin American Studies is seeking to play in Latino/a Studies must be analyzed further.27 Not coincidentally, Stavans’ own academic trajectory is symptomatic of this shift in disciplinary boundaries. Stavans completed his PhD at Columbia University in 1990 – a date that could be considered as marking the end of the Cold War – and his dissertation took Mexican detective novels as its subject. Five years later, Stavans published The Hispanic Condition, cementing his status as ‘‘the czar of Latino literature’’ (Richardson, 1999, 13). I would argue that Stavans’ successful insertion into US Latino/a Studies is part of the larger disciplinary reorientation taking place within Latin American Studies. I am not suggesting that Stavans must also be emblematic of the disciplinary approach that Latin American Studies employs to address its intersections with the field of US Latino/a Studies; in fact, he represents only one of many methodologies possible for understanding these intersections. However, analyzing Stavans’ own neoliberal investment in US Latino/a Studies and the organizing logic he employs should hopefully encourage us to view such disciplinary shifts with some caution. Stavans represents one emerging path of Latin American Studies, and neoliberalism is a useful context by which to reconcile Ilan Stavans’ ‘‘apolitical’’ equation of multiculturalism with linguistic difference as part of a Eurocentric colonialist orientation. In other words, his advocacy of multi- culturalism in terms of consumption, rather than social justice, reflects an interest in the privatization of multiculturalism as a collective asset or global product, decontextualized from a specific context or locale. His multiculturalist valorization of consumption then correlates with neoliberalism’s focus on free market capitalism and economic freedom as primary to, or engendering, political freedom. Stavans’ outlining of a Eurocentric colonialist lineage for the US Latino/a subject reveals that his multiculturalist approach is indeed political. Here I concur with Flores’ assertion that Stavans’ academic training has shaped his theorization of Latinidad: ‘‘his professional training in Spanish and Latin American literatures allows him to range widely – though often diffusely – over the ‘Hispanic’ literary landscape in the widest sense’’ (Flores, 2000, 172–173). In particular, we should be more attuned to the extent to which exclusively language-based definitions of Latinidad marginalize Other aspects of the US Latino/a experience, such as race, class, gender, and sexuality. Stavans’ articulation of the common linguistic inheritance by which to forge a 27 Dávila (2001) analyzes how commercial discourse has shaped US Latino/a subjectivity as well as the intersection between the civil rights movement and Hispanic marketing. Aparicio ties the emergence of Latino/a Studies in the academy to civil rights struggles in a 2003 interview with Juan Zevallos Aguilar. Machado Sáez 428 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 transnational link between Latino/as and Latin Americans is based upon the privileging of Spanish colonialism as a utopian site of cultural origin, glossing over the violence perpetrated by colonization upon Other bodies, for example, the indigenous body. By positioning Stavans as symptomatic of one trend in Latin American Studies, rather than simply a discursive anomaly, we can be more conscious and self-critical of how our work can overlap with his problematic approach to theorizing Latinidad. As for the disciplinary homes of US Latino/a Studies, the established historical narrative about the emergence of such programs is that the Civil Rights struggles brought many of the Ethnic Studies departments to fruition through grassroots activism at the academic level, with public universities serving as the first battlegrounds for the integration of previously marginal area studies. Frances Aparicio (2003) concisely describes this process by explaining that, ‘‘Latino Studies developed as an academic field in the late 1960s and early 1970s and was triggered by the battles fought by minorities in the United States who sought to defend their civil rights’’ (3–4). Since these movements ‘‘demanded programs that would reflect their history and culture in academic settings,’’ the consequence was Chicano Studies departments in the Southwest and West coast, Puerto Rican Studies in the Northeast (ibid, 4). The precursors to a pan-ethnic formulation of US Latino/a Studies were these localized struggles of particular Latino/a groups, which produced inter- disciplinary fields of study that were for the most part heavily geared towards the social sciences because of the fact that this institutionalization occurred as part of ‘‘a larger framework of labor battles’’ (ibid, 4). In his essay, ‘‘Moving From the Margins to Where? Three Decades of Latino/a Studies,’’ Pedro Cabán (2003) describes different types of institutional positioning derived from a broad shift from marginalized enclaves to transgressive units within the university to the absorption of the field into departments such as American Studies. While Cabán does note that these three levels of academic incorpora- tion all continue to coexist, his analysis seems to concur with Frances Aparicio’s (2003) description of how the ‘‘cultural nationalism of the Chicano and Nuyorican movements has transformed itself y into what we call Latino Studies’’ (4). In the progression towards absorption, Ilan Stavans has been a central representative of this approach as both an emphatic supporter and purveyor of pan-ethnic Latino/a Studies, playing a significant role in the development of literary studies as a US Latino/a Studies field. Literature departments, especially those constituted by language categories such as English and Spanish, face structural challenges in dealing with the transnational orientation of such a field and as a result, the linguistic parameters of literary canons are used to imply or invoke political, cultural, and national boundaries on Latinidad. For example, one basic restriction implied by departmental categorization is that literature taught in an English department is written in English and that taught in Ilan Stavans and Latino/a discourse 429r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 a Spanish department is written in Spanish. While some members of both disciplines have sought to destabilize the assumptions upon which they were established by challenging these boundaries, literary analyses and classroom practices can potentially reinforce those entrenched disciplinary values. The disciplinary formation of US Latino/a literature, regardless of its departmental home, renders it uniquely susceptible to the model of Latinidad that Stavans represents, in particular, that of his totalizing equation of language with cultural politics. More specifically, Ilan Stavans’ multiculturalist and linguistic definition of Latinidad has reinforced the celebratory logic that a particular language, which in the case of Stavans is Spanglish or Spanish, is always already progressive. Highlighting the Eurocentric colonialist logic underlying these theorizations of Latinidad shows that progressive linguistic politics can potentially veil a conservative cultural politics. That is not to say that other sites for US Latino/a Studies, such as interdisciplinary studies departments like Ethnic Studies or American Studies, don’t come with their own set of challenges. Scholars like David Palumbo-Liu (1995) and John Carlos Rowe (2000) discuss how various disciplinary locations often operate on a nationalistic and ghettoizing logic in regards to multicultural histories and literatures. And certainly, many positive consequences have emerged from teaching US Latino/a literature within English and Spanish departments, for example, contesting entrenched notions of linguistic purity as well as encou- raging the recognition of the transnational cultural production that is often marginalized within the discipline. Progressive US Latino/a critics have also delineated language as a productive facet of Latinidad; Juan Flores and George Yúdice (1993), for example, have noted that ‘‘language, then, is the necessary terrain on which Latinos negotiate value and attempt to reshape the institutions through which it is distributed’’ (204). Nevertheless, a qualifier follows this statement: ‘‘this is not to say that Latino identity is reduced to its linguistic dimensions’’ (ibid, 204). With the context of the public narrative and work of Ilan Stavans serving as a cautionary note, it is this qualifying statement that I want us to interrogate more closely. E x p a n d i n g t h e D i a l o g u e a n d B u i l d i n g A c a d e m i c C o m m u n i t i e s In closing, I’d like to return to Debra A. Castillo’s (2005) idea of ‘‘ongoing discussions’’ to discuss another interdisciplinary dialogue that is productive and ‘‘muted’’ or ignored by Stavans: that between Latino/a Studies and other US Ethnic fields of study, such as African American Studies. For example, in thinking about the market popularity of Stavans, Michael Eric Dyson’s chapter, ‘‘It’s Not What You Know, It’s How You Show It: Black Public Intellectuals’’ from Race Rules (1996), provides a useful and relevant analysis of the vetting Machado Sáez 430 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 process for such public figures. One of the problems that Dyson also alludes to as a contextual factor is that of the fruitless infighting within the field between public intellectuals. Certainly, few critics in US Latino/a Studies have gained the kind of recognition that scholars such as Houston Baker, Jr., Henry Louis Gates, bell hooks and Cornell West have acquired in the broader public sphere. While mainstream status doesn’t seem to be as much of a concern or challenge, it is perhaps equally important to continue developing a standard of critical generosity within US Latino/a Studies in order to encourage a fruitful community-based discourse within the field. By critical generosity, I do not mean a pass on problematic theorizations of Latinidad, but rather a mode of critical engagement that assumes as a given that all of us who are engaged in such scholarly work are working towards a common goal. Ilan Stavans is symbolic of one approach within the field, that is a point we must acknowledge, but only in tandem with an attention to those critics who Stavans may not be willing to recognize, those who have also played a role in the development of US Latino/a Studies: Rudolfo Anaya, Gloria Anzaldúa, Suzanne Oboler, and Silvio Torres-Saillant, to name a few (in addition to those already referenced in the course of this article). Precisely because Stavans has chosen to avoid the dynamic work of US Latino/a Studies critics, we must make sure to acknowledge in our own research and writing those who have paved the way and are part of the current conversation, as a means of imagining a more productive horizon for future dialogue. Only a genuinely interdisciplinary discussion about US Latino/a Studies can fully address the difficulties encountered in conceptualizing US Latino/a identity. This article is the product of the rich debate created by the 2008 ‘‘Nuestra América in the United States?: A US Latino/a Studies Conference’’ at the University of Kansas, coordinated by Marta Caminero-Santangelo. Unlike other major fields that are supported by organizations like the Caribbean Studies, Latin American Studies or Modern Language Associations, there is currently no annual conference or academic association primarily dedicated to US Latino/a Studies. In part, the historical lack of an established intellectual forum for US Latino/a Studies has created a vacuum, an academic gap, wherein one scholar, such as Stavans, can be understood by the public sphere to speak for an entire academic field. Obviously, the marginalization of US Latino/a Studies within Latin American Studies and within American Studies has also contributed to this gap. A new vision of US Latino/a Studies as a field unto itself can yield productive projects such as an annual conference, but additional modes of instantiating an intellectual community are possible via publishing and the Internet. Numerous academic journals are already playing a vital role in the development of US Latino/a Studies, inscribing a truly interdisciplinary scholarly community premised on dialogue. Online resources can also serve as an alternative public sphere wherein the field can develop a presence through a collective project of defining and refining US Latino/a Ilan Stavans and Latino/a discourse 431r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 Studies. 28 These kinds of activist engagements within US Latino/a Studies will reformulate the horizons of the field and also engender a discussion of intellectual inheritances. By interrogating the phenomenon of Ilan Stavans as a public intellectual, Latino/a Studies can work through the discursive proble- matics that he represents, in particular, the theorization of hybridity and bilingualism. Engaging with Stavans and forcing a debate that his work avoids is the most effective means of countering his reconquista of US Latino/a Studies. Rather than ceding the public sphere to a colonialist vision of multiculturalist Latino/a discourse, a US Latino/a Studies collective can productively analyze disciplinary shifts and develop complex counternarratives on Latino/a subjectivity, culture and history. A c k n o w l e d g e m e n t Many thanks to Raphael Dalleo and Sobeira Latorre for their revision suggestions on various drafts of this article. I’m also grateful to the participants of the 2008 Nuestra América conference at the University of Kansas for their feedback on the conference presentation version of this article. Thanks especially to Trenton Hickman for bringing William Luis’ analysis of Stavans to my attention and to Randy Ontiveros for posing questions that helped me expand upon my ideas regarding Stavans’ significance to the field of Latino/a Studies. A b o u t t h e A u t h o r Elena Machado Sáez is Associate Professor in the Department of English at Florida Atlantic University. She is the coauthor of The Latino/a Canon and the Emergence of Post-Sixties Literature (Palgrave Macmillan, 2007). Machado Sáez has also published articles on Caribbean and US Latino/a literatures in journals such as Anthurium, MELUS, Phoebe, Sargasso and Small Axe. Her current book project focuses on contemporary historical fiction by Caribbean diasporic writers, including Julia Alvarez, Junot Dı́az, Cristina Garcia and Ana Menéndez. R e f e r e n c e s Alarcón, N. 1989. Traddutora, Traditora: A Paradigmatic Figure of Chicana Feminism. Cultural Critique 13: 57–87. Alfau, F. 1936. Locos: A Comedy of Gestures, First paperback edn. (1997) Normal, IL: Dalkey Archive Press. 28 El Puerto Rican Embassy, one model of this type of online project, can be found at http://www. elpuertorican embassy.org/. Machado Sáez 432 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 Allatson, P. 2006. Ilan Stavans’s Latino USA: A Cartoon History (of a Cosmopolitan Intellectual). Chasqui 35(1): 21–41. Anzaldúa, G. 1987. Borderlands/La Frontera, 3rd edn. (1997) San Francisco: Aunt Lute Books. Aparicio, F. 2003. Latino Cultural Studies. Interview with Juan Zevallos Aguilar. In Critical Latin American and Latino Studies, ed. J. Poblete, pp. 3–31. Minneapolis, MN: University of Minnesota. Arguedas, J.M. 1957. The Singing Mountaineers: Songs and Tales of the Quechua People. Austin: University of Texas Press. Arriaza, G. and R. Rivera. 2007. Angels Dancing on the Head of a Pin? LASA Forum 38(4): 29–30. Augenbraum, H. and I. Stavans. 2006. Introduction. In Lengua Fresca: Latinos Writing on the Edge, eds. H. Augenbraum and I. Stavans. Boston, MA: Houghton. Bruce-Novoa, J. 1993. Shipwrecked in the Seas of Signification: Cabeza de Vaca’s La Relacion and Chicano Literature. In Reconstructing a Chicano Literary Heritage, ed. M. Herrera-Sobek. Tucson, AZ: University of Arizona Press. Cabán, P. 2003. Moving from the Margins to Where? Three Decades of Latino/a Studies. Latino Studies 1(1): 5–35. Caminero-Santangelo, M. 2007. On Latinidad: US Latino Literature and the Construction of Ethnicity. Gainesville: University Press of Florida. Castillo, D.A. 2005. Redreaming America: Toward a Bilingual American Culture. Albany, NY: SUNY Press. Christian, B.M. 2005. Belief in Dialogue: US Latina Writers Confront Their Religious Heritage. New York: Other Press. Dalleo, R. and E. Machado Sáez. 2007. The Latino/a Canon and the Emergence of Post-sixties Literature. New York: Palgrave Macmillan. Dávila, A. 2001. Latinos, Inc.: The Marketing and Making of a People. Berkeley, CA: University of California Press. Dyson, M.E. 1996. It’s Not What You Know, it’s How You Show It: Black Public Intellectuals. In Race Rules: Navigating the Color Line. New York: Vintage Books. Flores, J. 2000. From Bomba to Hip-Hop: Puerto Rican Culture and Latino Identity. New York: Columbia University Press. Flores, J. and G. Yúdice. 1993. Living Borders/Buscando América: Languages of Latino Self-formation. In Divided Borders: Essays on Puerto Rican Identity, ed. J. Flores. Houston. TX: Arte Público Press. Garcı́a Canclini, N. 1993. Transforming Modernity: Popular Culture in Mexico. Houston, TX: University of Texas Press. Garner, D. 2008. Stray Questions For: Ilan Stavans. Weblog Entry. Paper Cuts: A Blog about Books. New York Times, 8 February, http://papercuts.blogs.nytimes.com/2008/ 02/08/stray-questions-for-ilan-stavans/?emc=eta1. Gaspar de Alba, A. 2005. Malinche’s Revenge. In Feminism, Nation, and Myth: La Malinche, eds. R. Romero and A.N. Harris. Houston, TX: Arte Publico Press. Gonzalez, J. 2000. Harvest of Empire: A History of Latinos in America. New York: Penguin. Heller, S. 1998. ‘‘Living in the Hyphen’’ between Latin and American. Chronicle of Higher Education 44: A17–A18. Lazo, R. 2005. Writing to Cuba: Filibustering and Cuban Exiles in the United States. Chapel Hill, NC: University of North Carolina Press. Ilan Stavans and Latino/a discourse 433r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 Luis, W. 1997. Dance Between Two Cultures: Latino Caribbean Literature Written in the United States. Nashville, TN: Vanderbilt UP. Mendieta, E. 2003. What can Latinas/os Learn from Cornel West? The Latino Postcolonial Intellectual in the Age of the Exhaustion of Public Spheres. Nepalta: Views from the South 4(2): 213–233. Mendoza, L. 2001. On Buffaloes, Body Snatching, and Bandidismo: Ilan Stavans’s Appropriation of Oscar Acosta and the Chicano Experience. Bilingual Review 26(1): 79–86. Moreiras, A. 2001. The Exhaustion of Difference: The Politics of Latin American Cultural Studies. Durham, NC: Duke University Press. Negrón-Muntaner, F. 2004. Boricua Pop: Puerto Ricans and the Latinization of American Culture. New York: New York University Press. Palumbo-Liu, D. 1995. The Ethnic Canon: Histories, Institutions and Interventions. Minneapolis, MN: University of Minnesota Press. Puri, S. 2004. The Caribbean Postcolonial: Social Equality, Post-Nationalism and Cultural Hybridity. New York: Palgrave Macmillan. Rama, A. 1981. Tranculturacı́on Narrativa en Ámerica Latina. Mexico TX: Siglo XXI. Richardson, L. 1999. How to Be both an Outsider and an Insider. New York Times, 13 November: B13. Rowe, J.C. ed. 2000. Post-Nationalism, Globalism, and the New American Studies. In Post-Nationalist American Studies. Berkeley, CA: University of California Press. Ruiz de Burton, M.A. 1885. The Squatter and the Don: A Novel Descriptive of Contemporary Occurrences in California, 2nd edn. (1997). Houston, TX: Arte Publico Press. Sánchez, R. 1992–1996. Mapping the Spanish Language along a Multiethnic and Multilingual Border. Aztlán 21(1–2): 49–104. Sommer, D. 1991. Foundational Fictions: The National Romances of Latin America. Berkeley, CA: University of California Press. Stavans, I. 1995, 2001. The Hispanic Condition: The Power of a People, 2nd edn. New York: Rayo. Stavans, I. 1997. Introduction. In New World: Young Latino Writers, ed. I. Stavans, pp. 1–8. New York: Delta. Stavans, I. 2000a. Latino USA: A Cartoon History, Illustrated by L. Alcaraz. New York: Basic Books. Stavans, I. 2000b. The Quest for a Latino Literary Tradition. Chronicle of Higher Education 47(14): B13–B15. Stavans, I. 2002. A Literary Critic’s Journey to the Culture at Large. Chronicle of Higher Education 48(48): B7–B9. Weinberger, E. 1994. Paz as ‘‘Dictator’’: A Response to Ilan Stavans. Transition 63: 120–125. Machado Sáez 434 r 2009 Macmillan Publishers Ltd. 1476-3435 Latino Studies Vol. 7, 4, 410–434 
work_uo46qeedczcwnkv7pudgqqgyqa	----	255-281-jns691.tex.dvi DOI: 10.1007/s00332-005-0691-8 J. Nonlinear Sci. Vol. 16: pp. 255–281 (2006) © 2006 Springer Science+Business Media, Inc. Static Equilibria of Rigid Bodies: Dice, Pebbles, and the Poincaré-Hopf Theorem P. L. Várkonyi and G. Domokos Budapest University of Technology and Economics, Department of Mechanics, Materials and Structures, H-1111 Muegyetem rkp. 1-3, Budapest, Hungary and Center for Applied Mathematics and Computational Physics, Budapest, Hungary vpeter@mit.bme.hu domokos@bagira.iit.bme.hu Received February 1 , 2005; revised manuscript accepted for publication January 23, 2006 Online publication May 22, 2006 Communicated by J. E. Marsden Summary. By appealing to the Poincaré-Hopf Theorem on topological invariants, we introduce a global classification scheme for homogeneous, convex bodies based on the number and type of their equilibria. We show that beyond trivially empty classes all other classes are non-empty in the case of three-dimensional bodies; in particular we prove the existence of a body with just one stable and one unstable equilibrium. In the case of two-dimensional bodies the situation is radically different: the class with one stable and one unstable equilibrium is empty (Domokos, Papadopoulos, Ruina, J. Elasticity 36 [1994], 59–66). We also show that the latter result is equivalent to the classical Four- Vertex Theorem in differential geometry. We illustrate the introduced equivalence classes by various types of dice and statistical experimental results concerning pebbles on the seacoast. Key words. Static equilibria, rigid bodies, monostatic bodies, pebble shapes. MSC numbers. 74G55, 37J05. 1. Introduction In this paper we study the number and type of static equilibria of homogeneous, convex bodies resting on a horizontal surface without friction in the presence of uniform gravity. Static equilibria of rigid bodies have been always present in human thought. In par- ticular, the number of stable equilibria played a key role: Archimedes provided the first 256 P. L. Várkonyi and G. Domokos rigorous method to construct ships with one stable equilibrium [7]. Throwing dice (as well as making decisions in gambling) relies essentially on the existence of several stable equilibria with disjoint basins of attraction. While classical (cubic) dice have six stable equilibria, an astonishing diversity of other dice exists as well: dice with 2, 3, 4, 6, 8, 10, 12, 16, 20, 24, 30, and 100 stable equilibria appear in various games [8]. The invention of the wheel was essentially equivalent to the realization that a continuum of equilibria can exist. Static equilibria (appearing as fixed points) are also essential in the understand- ing of the phase space in the dynamics of rolling, which emerges in current research [14], [15] as well as in classical works [16]. Another classical problem is stabilizing unstable equilibria, ever since Christopher Columbus balanced his famous egg (to which story we will return later), and it is still present in current research concerning dynamic stabilization [11], [12], [13]. While many specific examples of solid bodies with a given number of stable equilibria have been demonstrated, bodies with one stable equilibrium seem to be of special inter- est. Such bodies are called monostatic, and there are several remarkable related results. It is easy to construct a monostatic body, such as a popular children’s toy called “come- back kid” (Figure 1a). However, if we look for homogeneous, convex monostatic bodies, the task is much more difficult. In fact, one can prove [1] that among planar (slablike) objects no monostatic bodies exist, and we will show that this statement is equivalent to the famous Four-Vertex Theorem in differential geometry. The three-dimensional case poses even more difficult questions. Although one can construct a homogeneous, convex monostatic body (cf. Figure 1b), the task is far less trivial if we look for a monostatic polyhedron with a minimal number of facets. Conway and Guy [3] constructed such a polyhedron with 19 faces (similar to the body in Figure 1b), it is still believed that this is the minimal number. It was shown by Heppes [6] that no homogeneous, monostatic tetra- hedron exists. However, Dawson [4] showed that homogeneous, monostatic simplices exist in d > 10 dimensions. More recently, based on Conway’s results, Dawson and Fin- bow [5] showed the existence of monostatic tetrahedra, however, with inhomogeneous mass density. Bodies with just one stable equilibrium are called monostatic; we will refer to the even more special class of bodies with just one stable and one unstable equilibrium (and S S U T U U (a) (b) Fig. 1. (a) A toy with one stable and one unstable equilibrium (i.e. an inhomogeneous, mono-monostatic body), called come- back kid. (b) A convex, homogeneous solid body with one stable equilibrium (monostatic body). In both plots, S, T , and U denote points of the surface corresponding to stable, saddle type, and unstable equilibria of the bodies, respectively. Static Equilibria of Rigid Bodies 257 no other equilibria) as “mono-monostatic.” While in the case of two-dimensional bodies being monostatic implies being mono-monostatic (and vice versa), the three-dimensional case is more complicated: a monostatic body could have, in principle, any number of unstable equilibria. V. I. Arnold pointed out [17] that the existence of homogeneous, convex mono-monostatic bodies is an interesting question. Although the nonexistence of such objects in two dimensions is known [1], Arnold nevertheless conjectured that their three-dimensional counterparts existed. Our primary goal is to find a meaningful classification scheme encompassing all possible combinations of equilibria for convex, homogeneous bodies (this will be done in Section 2) and to identify all empty and non-empty classes in this scheme. The backbone of our argument (discussed in Sections 3–5) is simple: we will give an explicit construction for a three-dimensional mono-monostatic body (thus confirming Arnold’s conjecture) and deduce the existence of bodies in other classes by complete induction. In the inductive steps, small portions are sliced off the bodies, increasing the number of their equilibria. The same idea appears in the construction of Zocchihedra (dice with 100 facets), which are constructed this way from spheres [8]. Finally, Section 6 summarizes and illustrates the material by showing statistical results on pebbles as well as discussing various shapes of dice. 2. The Global Classification Scheme and Formulation of the Main Statements In this section we introduce a global classification scheme for convex, homogeneous bodies based on the number and type of their equilibria, and we will use the notations of this scheme to formulate all of our principal claims. A homogeneous, convex 3D-body can be uniquely defined in a spherical coordinate system as the scalar distance R(θ,ϕ) measured from the center of gravity G. The singular (fixed) points of the gradient vector field of R correspond to static equilibria: the typical cases are (1) stable node (2) unstable node (3) saddle-type singular points, corresponding to nondegenerated minima, maxima, and saddle points of R(θ,ϕ), re- spectively. Bodies with degenerated singular points are not investigated in this paper. The case of two-dimensional bodies is more transparent: the distance R(ϕ) is just a function of one variable; minima and maxima of R (i.e. stable and unstable nodes of the gradient flow) always emerge in pairs, saddles do not occur. Our classification of bodies is based on Definition 1. We call two convex, homogeneous bodies equivalent if for all listed types the number of singular points is equal. Hence in the two-dimensional case the number of minima uniquely characterizes an equivalence class: 258 P. L. Várkonyi and G. Domokos Definition 2. Class{i}(i = 0, 1, 2, . . .) contains all homogeneous, convex, two-dimen- sional bodies with i stable and i unstable equilibria. As simple examples we mention the ellipse in class {2} and regular n-gons in class {n}. In the case of three-dimensional bodies (i.e. in the case of two-dimensional flows), Poincaré indices can be associated with the three listed singularities; the indices are +1, +1, and −1, respectively [10]. We appeal to the Poincaré-Hopf Theorem [9]. The index of a vector field (i.e. the sum of the indices as- sociated with the singularities) with finitely many zeros on a compact, oriented manifold is the same as the Euler characteristics of the manifold, implying that the sum S of the Poincaré indices depends only on the topology of the manifold; in the case of a sphere, we have S = 2. Thus, we have Definition 3. In three dimensions, class {i, j}, (i, j = 0, 1, . . .) contains all homoge- neous, convex bodies with i stable equilibria (minima) and j unstable equilibria (max- ima). (Henceforth we use “stable equilibrium” to refer to a nondegenerate local minimum, “unstable equilibrium” to refer to a nondegenerate local maximum, and “saddle” to refer to a nondegenerate saddle point of R.) Due to the Poincaré-Hopf Theorem, bodies in class {i, j} have k = i + j −2 saddles. As simple examples we mention the general ellipsoid with three different axes in class {2, 2}, the regular tetrahedron in class {4, 4}, and the cube in class {6, 8}. By applying the classification schemes of Definitions 1, 2, and 3, we can now formulate our claims. The equivalence classes {0}, {0, i}, and {i, 0} (i = 0, 1, 2, . . .) are trivially empty: our vector field has been derived from a scalar potential; hence it has to contain at least one stable and one unstable node, corresponding to the global maximum and minimum of R. We will concentrate on the nontrivially non-empty classes {i} and {i, j} with i, j = 1, 2, . . .. In the planar case we already mentioned simple examples for all classes {i} with i > 1. Class {1} is less trivial: our intuition suggests that it may be empty and, in fact, [1] proves Theorem 1. Class {1} is empty. That is, convex, homogeneous, rigid, planar slablike bodies, resting on a horizontal surface in the presence of a uniform, vertical gravity field have at least two stable equilibria (in other words, homogeneous monostatic bodies, and thus homogeneous mono-monostatic bodies, do not exist in two dimensions). At first sight it is not clear what would be the spatial analogy of Theorem 1: the emptiness of the classes {1, 1} (mono-monostatic), {1, i} (monostatic), or {i, 1} are all candidate statements. As V. I. Arnold pointed out [17], the essence of Theorem 1 is that in two dimensions the minimal number of equilibria is four. The only three-dimensional bodies with fewer than four equilibria are the mono-monostatic ones, i.e. class {1, 1}. (For example, the monostatic body in Figure 1b represents class {1, 2}, and it has one stable, two unstable, and one saddle-type equilibrium, four equilibria altogether.) Hence Static Equilibria of Rigid Bodies 259 the three-dimensional analogy of Theorem 1 would be the emptiness of class {1, 1}. Arnold hinted that a 3-D counterexample, with fewer than four equilibria (i.e. a mono- monostatic body) may nevertheless exist. With our current notation this would mean that class {1, 1} is non-empty. This idea appears to be rather intriguing since (as we show in Appendix B) Theorem 1 is equivalent to the famous Four-Vertex (or 4V) Theorem [2]. The curvature of a simple (not self-intersecting), smooth, convex, closed, planar curve always has at least four local extrema, if its extrema are isolated. (The same statement is true for concave curves too, but it has, to our knowledge, no mechanical analogy.) The generalization of the 4V theorem for surfaces is far from trivial: it is not clear what should be the analogy of the planar curvature. Our goal is to show that, at least in this mechanical analogue, the spatial generalization fails: we construct explicit, three- dimensional counterexamples with only two equilibria to prove Theorem 2. Class {1, 1} is non-empty. Thus we confirm Arnold’s initial guess. We will proceed in Section 3 by constructing the two-parameter family R(θ,ϕ, c, d) of smooth, closed surfaces in a spherical (r,θ,ϕ) polar coordinate system. The intuitive idea behind this construction, as we will point out, is rooted in the proof of Theorem 1. Although the planar argument does not work in 3-D, it helps to prove the opposite statement. The bodies representing class {1, 1} are embedded in this family, and Section 4 defines the intervals of the two parameters c and d associated with them. The existence of appropriate values for c and d is demonstrated analytically, and one solution is determined numerically. Appendix A contains the proof of some lemmas. In Section 5 we will use complete induction (based on the idea of Columbus’s egg) to prove the natural generalization of Theorem 2 in the form of Theorem 3. Class {i, j} is non-empty for i, j > 0. 3. Construction of a Surface In Sections 3 and 4 we provide an explicit construction for a homogeneous, convex, mono-monostatic body, i.e. an element of class {1, 1}. As the first step, in this section we define a suitable two-parameter family of surfaces R(θ,ϕ, c, d) in the spherical coordinate system (r,θ,ϕ) of Figure 2 with −π/2 < ϕ < π/2 and 0 ≤ θ ≤ 2π, or ϕ = ±π/2 and no θ coordinate, while c > 0 and 0 < d < 1 are parameters. The solid, homogeneous body bounded by R(θ,ϕ, c, d) is denoted byB. In Section 4 we will identify a range of the two parameters whereB is in{1, 1}, i.e. it is convex, homogeneous, and has only two equilibria. Before starting the construction, the proof of the emptiness of class {1} in the planar case is sketched (cf. [1]). This proof does not work it the 3-D case; however, it suggests how to prove the opposite in 3-D, i.e., how to construct a representative of class {1, 1}. 260 P. L. Várkonyi and G. Domokos � � P � S Fig. 2. A P point of the R(θ,ϕ) surface and the spherical coordinate system.N and S denote the “north pole” and the “south pole” of the surface. To prove the emptiness of class{1} indirectly, consider a convex, homogeneous planar “body” B and a polar coordinate system with origin at the center of gravity of B. Let the differentiable function R(ϕ)denote the boundary ofB. As demonstrated in [1], nondegen- erated stable/unstable equilibria of the body correspond to local minima/maxima of R(ϕ). Assume that B is in class {1}, i.e., R(ϕ) has only one local maximum and one local min- imum. In this case there exists exactly one value ϕ = ϕ0 for which R(ϕ0) = R(ϕ0 +π); moreover, R(ϕ) > R(ϕ0) if π > ϕ −ϕ0 > 0, and R(ϕ) < R(ϕ0) if −π < ϕ −ϕ0 < 0 (see Figure 3a). The straight line ϕ = ϕ0 (and ϕ = ϕ0 +π) passing through the origin O cuts B into a “thin” (R(ϕ) < R(ϕ0) and a “thick” (R(ϕ) > R(ϕ0) part. This implies that O cannot be the center of gravity, i.e., it contradicts the initial assumption. Similar to the planar case, a 3-D body in class {1, 1} can be cut into a “thin” and a “thick” part by a closed curve on its boundary, along which R(θ,ϕ) is constant. If this separatrix curve happens to be planar, its existence leads to contradiction (if, for (a) O (b) j0 maximum of R minimum of R R( )j0 R( )= = j p j 0 0 + R( ) R( )j,q sphere equator N S R(0 ),q Fig. 3. (a) Example of a convex, homogeneous, planar body bounded by R(ϕ). If R has only two local extrema, the body can be cut into a “thin” and a “thick” half by the line ϕ = ϕ0. Its center of gravity is on the “thick” side; in particular, it cannot be in O. (b) A 3-D body (dashed line) cut into a “thin” and a “thick” half by a tennis ball-like space curve (dotted line) along which R = R0. The continuous line shows a sphere of radius R0, which also contains this curve. Static Equilibria of Rigid Bodies 261 example, it is the “equator” ϕ = 0 and ϕ > 0/ϕ < 0 are the thick/thin halves, the center of gravity should be on the upper (ϕ > 0) side of the origin). However, in the case of a generic, spatial separatrix the above argument does not apply any more. In particular, the curve can be similar to the ones on the surfaces of tennis balls (Figure 3b). In this case the “upper” thick (“lower” thin) part is partially below (above) the equator; thus it is possible to have the center of gravity at the origin. Our construction will be of this type. Conveniently, R can be decomposed in the following way: R(θ,ϕ, c, d) = 1 + d · R(θ,ϕ, c), (1) where R denotes the type of deviation from the unit sphere. “Thin”/“thick” parts of the body are characterized by negativeness/positiveness of R (i.e., the separatrix between the thick and thin portions will be given by R = 0), while the parameter d is a measure of the “flatness” of the surface. We will chose adequately small values of d to make the surface convex. Our next goal is to define a suitable function R. We will have the maximum/minimum points of R ( R =±1) at the north/south pole (ϕ =±π/2). The shapes of the thick and thin portions of the body are controlled by the parameter c: for c 1 the separatrix will approach the equator; for smaller values of c the separatrix will become similar to the curve on the tennis ball. Consider the following smooth, one-parameter mapping f (ϕ, c): (−π/2,π/2) → (−π/2,π/2): f (ϕ, c) = π · [ e[ ϕ πc + 12c ] − 1 e1/c − 1 − 1 2 ] . (2) For very large values of the parameter (c 1), this mapping is almost the identity; however, if c is close to 0, the deviation from linearity is large (cf. Figure 4). Based on f , we define the related maps (Figure 5): f1(ϕ, c) = sin( f (ϕ, c)), (3) f2(ϕ, c) = − f1(−ϕ, c). (4) � �/2 -�/2 -�/2 �/2 c= 1/ 8 c= 1/ 4 c= 1 c> >1 f Fig. 4. The f (ϕ) function at some values of c. 262 P. L. Várkonyi and G. Domokos � 1 -�/2 -1 �/2sin(�) f2( )� f1( )� Fig. 5. The f1(ϕ), f2(ϕ), and sin(ϕ) func- tions at c = 1/3. These two functions are used to obtain R(0,ϕ, c) = R(π,ϕ, c) = f1(ϕ, c), (5) R(π/2,ϕ, c) = R(3π/2,ϕ, c) = f2(ϕ, c). (6) The planes ϕ = 0 and ϕ = π/2 will provide two planes of symmetry of the separatrix of Figure 3b; a big portion of section (5) of B lies in the thick part, while the majority of section (6) is in the thin part. The function a(θ,ϕ, c) = cos 2(θ) · (1 − f 21 ) cos2(θ)(1 − f 21 )+ sin2(θ) · (1 − f 22 ) = 1 1 + tan2(θ) cos2( f (ϕ,c)) cos2( f (−ϕ,c)) , where |ϕ| < π/2, (7) (illustrated in Figure 6) is used to construct R as a “weighted average”-type function � 1 �/2-�/2 �=0 �=�/8 �=2�/8 �=3�/8 �=4�/8 1 �-� � �/2 �=0 � -�/2 a a � Fig. 6. Sections of the a(θ,ϕ) function at c = 1. Static Equilibria of Rigid Bodies 263 � 1 -�/2 -1 �/2 �=4�/8 �=3�/8 �=2�/8 �=�/8 �=0 �R Fig. 7. Sections of the R(θ,ϕ) function at constant values of θ; c = 1/4. of f1 and f2 in the following way (cf. Figure 6): R(θ,ϕ, c) =   a · f1 + (1 − a) · f2 if |ϕ| < π/2 1 if ϕ = π/2 −1 if ϕ =−π/2   . (8) The choice of the function a ensures on the one hand the gradual transition from f1 to f2 if θ is varied between 0 and π/2; on the other hand, it was chosen to result in the desired shape of thick/thin halves of the body (illustrated in Figure 3b). The function R defined by equations (1)–(8) is illustrated in Figure 8 for intermediate values of c and d . Before we identify suitable ranges of the parameters where the cor- responding body B is convex and mono-monostatic (Section 4), let us briefly comment on the effect of c. For c 1, the constructed surface R = 1 + d R is separated by the ϕ = 0 equator into two unequal halves: the upper (ϕ > 0) half is “thick” (R > 1) and the lower (ϕ < 0) half is “thin” (R < 1). By decreasing c, the line separating the “thick” and “thin” portions becomes a space curve; thus the thicker portion moves downward and the thinner portion upward. As c approaches zero, the upper half of the body becomes thin and the lower one becomes thick (cf. Figure 9). Fig. 8. Plot of B if c = d = 1/2. 264 P. L. Várkonyi and G. Domokos 1 (a) (b) O O N S N S j = p /2 j=q=0 j=0q=p Fig. 9. (a) Side view of B if c 1 (and d ≈ 1/3). Note that R > 0 if ϕ > 0 and R < 0 if ϕ < 0. (b) Spatial view of B if c 1. Here, R > 0 typically for ϕ < 0 and vice versa. 4. Calibration of the Parameters and the Main Result In this section we identify the suitable ranges of the parameters c and d where the body B is convex and has only two equilibria; thus we complete the proof of Theorem 2. As already mentioned in the introduction, if the center of gravity G of a convex body B (bounded by the surface R) is at the origin of the spherical coordinate system, then singular points of R correspond to equilibria of the body in a mutually one-to-one manner: those and only those positions are equilibria where one of the singular points is in contact with the underlying surface. The planar analogue of this statement has already been utilized in the proof of Theorem 1 (cf. [1]) and the spatial extension is rather straightforward, so we do not discuss it here. We merely note that singular points of R in the spatial case are defined by the conditions ∂ R(θ,ϕ, c, d) ∂ϕ = ∂ R(θ,ϕ, c, d) ∂θ = 0, (9) except at the “poles” (ϕ =±π/2), where the corresponding condition is ∂ R(θ,ϕ, c, d) ∂ϕ ∣∣∣∣ ϕ=±π/2 = 0, for any θ. (10) We show in Lemma A.1 (Appendix A) that the function R, defined in equations (1)–(8) of the previous section, has no more than two singular points, namely the poles N and S (cf. Figure 2). In the forthcoming part of this section we show that B has the desired properties at appropriate values of the parameters: c and d can be chosen in such a way that • the center of gravity G coincides with the origo O of the coordinate system, and • B is convex. Static Equilibria of Rigid Bodies 265 d h’(c, )0 h’(c, )d 0 c 2c1 d 0 d 0 c c F c2( ) F d1( ) Fig. 10. Illustration for the proofs of Theorem 2 and Lemma A.2. Lemma A.2 (Appendix A) demonstrates the existence of the positive constants c1 < c2, δ0 and of the function F1, such that for arbitrary δ < δ0 there is at least one value F1(δ) inside the open interval (c1, c2), for which c = F1(δ) and d = δ implies G ≡ O . Lemmas A.1 and A.2 (Appendix A) together prove that B has exactly two equilibria at the parameter values (c, d) = (F1(δ),δ). As mentioned above, convexity of B is required to establish a one-to-one corre- spondence between surface points and possible positions of resting on a horizontal plane. Lemma A.3 (Appendix A) proves that there exists a continuous, positive function F2(c) > 0 for any c > 0 such that B is convex whenever d < F2(c). Based on Lemmas A.1, A.2, and A.3 we now proceed to prove Theorem 2. Before doing so, we briefly illustrate the geometric idea. For the sake of visualization we will assume the continuity of the function F1(d); however, the proof does not rely on this fact. In essence we will show that drawn in the [c, d] plane, a segment or all of the curve F1(d) (d < δ0) is below the F2(c) line (assuming that d is on the vertical axis). This configuration is illustrated in the upper part of Figure 10. All points of this segment identify surfaces R, which are convex, and the corresponding body B has only two equilibria. The lower endpoint of this segment is at (c, d) = (F1(0), 0). We will prove that there exists a finite box (cf. the grey domain of Figure 10) that contains this endpoint; simultaneously, all points inside the box are below the curve F2(c). All points of F1(d) inside this finite box are valid solutions, satisfying the statement of Theorem 2. Proof of Theorem 2. Since F2(c) > 0 is continuous, it has a global minimum d0 > 0 on the closed interval [c1, c2] according to the Extreme Value theorem [22]. If d < min[δ0, d0] and c = F1(d), then, based on Lemmas A.2 and A.3, B is convex and its center of gravity is at the origin. Due to Lemma A.1 B is a convex homogeneous body with only two static equilibria, so homogeneous, convex, mono-monostatic bodies exist and class {1, 1} is non-empty. 266 P. L. Várkonyi and G. Domokos Numerical analysis shows that d must be very small (d < 5·10−5) to satisfy convexity together with the other restrictions, so the created object is very similar to a sphere. (In the admitted range of d the other parameter is approximately c ≈ 0.275.) This shows that physical demonstration of such an object might be problematic. Nevertheless, other such bodies, rather different from the sphere, may exist; it is an intriguing question what is the maximal possible deviation from the sphere. We remark that [1] also demonstrates the statement analogous to Theorem 1 for closed, homogeneous, planar thin wires. The 3-D analogue for convex, homogeneous spatial thin shells is again false, which can be proven in the same way as Theorem 2. 5. The Egg of Columbus and Complete Induction According to some accounts, Christopher Columbus attended a dinner given in his honor by a Spanish gentleman. Columbus asked the gentlemen in attendance to make an egg stand on one end. After the gentlemen successively tried to and failed, they stated that it was impossible. Columbus then placed the egg’s small end on the table, breaking the shell a bit, so that it could stand upright. Columbus then stated that it was “the simplest thing in the world. Anybody can do it, after he has been shown how!” The egg of Columbus has become a metaphor for natural simplicity. In this section we prove Theorem 3 by induction. Our inductive argument is as simple as the egg of Columbus—and not just metaphorically. Theorem 2 (proven in the previous sections) asserts the non-emptiness of class {1, 1}. Assume that class {i, j} is non-empty. If we can find a way to add one minimum while keeping the number of maxima constant (and vice versa) by small perturbations not violating the convexity of the body, then the non-emptiness of all classes {i + 1, j} and {i, j + 1} (i, j > 0), and thus Theorem 3 is proven. The first, naive interpretation of the Columbus story is that he turned an unstable equilibrium point into a stable one. However, a closer look at the egg reveals that Columbus did something more complex. Based on the superficial account, we cannot decide which of the following scenarios were actually realized (supposing that the egg had a perfect rotational symmetry): (i) If Columbus hit the table with the egg so that the symmetry axis of the egg was exactly vertical, then by breaking the shell at the unstable equilibrium point (maximum) he produced a small flat area containing one stable equilibrium point in the middle and a circle of degenerated balance points at the borderline of the flat part. This scenario is illustrated in Figure 11b. (ii) If the axis was somewhat tilted, then by breaking the shell at the unstable equilibrium point (maximum), he produced a small flat area containing one stable equilibrium point (minimum) inside the flat part and one saddle and a maximum at the borderline. This scenario is illustrated in Figure 11c. Needless to say, scenario (ii) is exactly what we need to produce an additional stable equilibrium without creating new maxima. Since Columbus’s algorithm applies only for a degenerate maximum with rotational symmetry, we will use a slightly different technique to produce additional maxima and minima one by one in the vicinity of typical equilibrium points. Static Equilibria of Rigid Bodies 267 U0 c U0 UST U0 (a) (b) (c) Fig. 11. Analysis of the egg of Columbus. (a) Gradient flow on the original egg near the tip U0 (unstable equilibrium point). (b) Hitting the table with vertical egg axis: modified flow containing one minimum at U0 and a set χ of degenerated equilibria. (c) Hitting the table with slightly tilted egg axis: modified flow containing one minimum (S), one saddle (T ), and one maximum (U). Grey indicates the flat part of the egg. 5.1. Increasing the Number of Stable Equilibria by One Consider a (smooth) stable equilibrium point (local minimum) S0 of the surface R and a point S1 on the R = R(S0) sphere, by distance δ 1 from S0 (Figure 12a). The tangent plane of this sphere at S1 divides B into two parts, and we remove the small cap. The modified function R, corresponding to the truncated body, still has a local minimum at S0 and a new local minimum at S1. A new saddle point T also emerges, which is a straightforward consequence of the Poincaré-Hopf theorem. This situation is illustrated in Figure 12a, and the gradient flow is shown for the unperturbed and perturbed body in Figures 13a and 13b, respectively. Notice that the truncation of the body moves the center of gravity G of B (and thus all nondegenerate critical points) by ε ≤ o(δ4), so this effect can be neglected. It is also worth mentioning that the truncated body is only weakly convex, because of its flat part. Strong convexity can be restored by an adequate, arbitrary small perturbation of R. 5.2. Increasing the Number of Unstable Equilibria by One Again, consider a stable equilibrium point S0. Draw a very flat cone of revolution (δ 1, see Figure 12b), with rotation axis G S0 and its peak at S0. The cone again cuts B into two parts, and we again remove the small one. The modified function R has a local maximum in S0; it decreases radially until it reaches a circle χ of nonisolated equilibria and beyond the circle, it increases again (see Figure 12b, Figure 13c). The effect of the deviation of G on the number and type of equilibria can again be neglected if δ is small, with the exception of χ, which is degenerated and structurally unstable. Typically, G′ is off the G S0 line; in this case χ breaks up into one isolated minimum S1 and a saddle point T (see Figure 13d, Figure 12b). (In the nontypical case when G′ happens to be on the line G S0, χ is preserved; however, it can be broken up into a minimum and a saddle point by an adequate small perturbation of R.) Finally we have one stable (S1), one saddle (T ), and one unstable equilibrium (S0) instead of the original stable point S0. 268 P. L. Várkonyi and G. Domokos S 0 S 1 G G’ B pl an e S 0 G B cone c d (a) (b) d c S 1 T Fig. 12. (a) Illustration of the generalized Columbus algorithm, generating one stable equilibrium point: section of B in the G S0 S1 plane, where G denotes the center of gravity of the body. S1 is a new stable balance point. The newly emerging saddle point T is typically out of this plane. (b) Illustration of the algorithm, generating one unstable equilibrium point: section of B in the G S0 G ′ plane. After truncation by the cone, S0 becomes local maximum. Two points (indicated by χ) of the emerging circle of degenerated balance points χ fall into the represented plane. Due to the deviation of G to G′, the circle breaks up to the saddle point T and the stable equilibrium S1, both of which lie in G S0 G ′. Again the truncated body is weakly convex, and strong convexity can be restored by a further small perturbation of R. If several new equilibria are generated, this should be performed every time: S1 can be used as the initial stable balance point at the repeated equilibrium-multiplying algorithm, so it should not be weakly convex. 5.3. Completing the Proof of Theorem 3 In Section 5.2 we showed how convex bodies in class {i +1, j} and class {i, j +1} can be generated by using a body of class {i, j}. Since Theorem 2 proved the non-emptiness of class {1, 1}, we now showed that none of the classes {i, j}, i, j > 0 are empty. 6. Summary In this paper we revealed a remarkable difference between two-dimensional (slablike) and three-dimensional bodies: while the former have at least four equilibrium points, the latter may have just two. The first statement (Theorem 1) was proven earlier in [1], the latter (Theorem 2) confirms a conjecture of V. I. Arnold. We also proposed a classification scheme for convex, homogeneous bodies, based on the number and type of their static equilibria. This scheme, based on the Poincaré-Hopf theorem, not only helped to formulate and organize the results, it also led to Theorem 3 stating in essence that three-dimensional, homogeneous bodies with arbitrary, prescribed numbers of stable and unstable equilibria exist. As mentioned in the introduction, the existence of monostatic polyhedra with a min- imal number of faces has been investigated in the mathematical community [4], [5], [6]. Theorem 3 suggests an interesting generalization of this problem to the existence of polyhedra in class {i, j}, with a minimal number of faces. Intuitively it appears to be evident that polyhedra exist in each class: if we construct a sufficiently fine triangulation Static Equilibria of Rigid Bodies 269 S0 S 0 S 1 T (a) (b) S0 T (c) (d) c S 0 S1 Fig. 13. Gradient flow of R on the surface of B. (a) Small vicinity of a local minimum S0 of R. (b) The body is truncated along a plane. A second minimum S1 and a saddle point T occur. (c) The body is truncated along a cone. S0 becomes a local maximum, and a circle χ of nonisolated singular points emerges on the cone. (d) The deviation of the center of gravity perturbs R. The structurally unstable circle typically breaks up to a minimum S1 and a saddle point T . Grey indicates the truncated part of the surface. on the surface of a smooth body in class{i, j}with vertices at unstable equilibria, edges at saddles and faces at stable equilibria, then the resulting polyhedron will—at sufficiently high mesh density and appropriate mesh ratios—“inherit” the class of the approximated smooth body. It also appears to be true that if the topological inequalities 2i ≥ j + 4 and 2 j ≥ i + 4 are valid, then we can have “minimal” polyhedra, where the number of stable equilibria equals the number of faces, the number of unstable equilibria equals the number of vertices, and the number of saddles equals the number of edges. Much more puzzling appear to be the polyhedra in classes not satisfying the above topologi- cal inequalities: a special case of these polyhedra are monostatic ones; however, many other types belong here as well. In particular, it would be of special interest to know the minimal number of faces of a polyhedron in class {1, 1}. 270 P. L. Várkonyi and G. Domokos The relationship between mathematical proof of existence and the physical world is far from trivial. In some cases the physical existence of solutions seems to be evident; nevertheless it is extremely hard to prove existence in the mathematical model, as is the case with the Navier-Stokes equations [21]. Our problem appears to be of the opposite character: the presented mathematical proof was not long, nor did it require complicated tools. Nevertheless, physical intuition fails in this problem. Our experience strongly suggests that all convex, homogeneous bodies have at least two stable equilibria and thus four equilibria altogether. Where does this intuition originate? In the introduction we mentioned dice as the probably earliest manmade objects the essence of which is to possess discrete, multiple stable equilibria. As games evolved, a large variety of dice have been fabricated, several ones being regular platonic solids or direct descendants thereof. Traditionally, dice having only one stable equilibrium were regarded as illegal (inhomogeneous), called “loaded” or “gaffed.” It is a difficult mathematical challenge to construct a loaded tetrahedral die that is monostatic; this problem is addressed by Dawson and Finbow [5]. Not only manmade objects have the property of often possessing multiple stable equilibria. There exist objects in nature in abundant numbers that probably come closest to the mathematical abstraction of a convex, homogeneous body: pebbles on the seacoast. Pebbles are divided into four groups based on their morphology [18]: 1. oblate (ellipsoidal disk) 2. equant (sphere) 3. bladed (circular disk) 4. prolate (roller, rod). All these groups can be regarded as limit shapes, resulting from multimillion-year abra- sion processes during which pebbles become increasingly smooth; in geological terms, their roundness is growing [19]. Apparently, the morphology groups 1 and 3 contain flat pebbles with at least two stable equilibria, and group 4 has at least two unstable equilibria, so mono-monostatic bodies of class {1, 1} can be found only in group 2, among “spherical” objects. This is in good agreement with Sections 3 and 4, where we constructed a mono-monostatic body with minimal deviation from the sphere. How- ever, the “Columbus-algorithm” of Section 5 suggests that almost-spherical objects are particularly sensitive to small perturbations of shape, which may often produce ad- ditional equilibrium points in pitchfork-like or saddle-node bifurcations. So, even if mono-monostatic pebbles exist temporarily, it is very likely that the number of their equilibria is increased even by a small amount of abrasion. While this reasoning implies that pebbles in class {1, 1} are extremely rare, it also tells us that class {2, 2} might be dominant, since it can occur in all four morphology classes. We conducted a simple statistical experiment: we collected five random samples of 400 pebbles in an area of ca. 15x50 meters along the coast of Rhodes, Greece (Figure 14a). In the first step, convex and non-convex pebbles were separated; their ratio was almost constant 51:49 (Figure 14b). In the second step the convex pebbles were classified according to the scheme of Definition 1 and Definition 3. The number of stable equilibria is relatively easy to identify. We used simple considerations and hand-held experiments to find the number of unstable equilibria. Since the vast majority of the pebbles was Static Equilibria of Rigid Bodies 271 (a) (b) Fig. 14. (a) View of pebbles on the coast of Rhodes, Greece. (b) Convex (left side) and concave (right side) pebbles in a random sample. more-or-less flat, this was not a very difficult task: by restraining the pebble to roll in its principal plane, saddle points appear to be stable equilibria and are easy to count. Of course, for some pebbles it was impossible to identify to which class{i, j} they belonged. The results are summarized in Table 1. Observe that over 92% of all (over 1,000) convex pebbles have exactly two stable equilibria. The majority of these pieces were rather flat, which can be explained by the back-and-forth sliding motion of the pebbles in the coastal wave current. The small variation in the dominant equivalence classes is remarkable and suggests that a similar table might be characteristic for a given area. Most notably, we did not find any monostatic pebbles. Although monostatic pebbles probably exist, they appear to be extremely rare and apparently even more rare are pebbles in class{1, 1}. Areas with spherical pebbles do exist: the most likely place to find mono-monostatic objects of class {1, 1} is probably the surface of Mars. There, hematite was found in the form of spherical grains, also nicknamed “blueberries,” which cover large portions of the landscape [20]. It is highly unlikely that Arnold found a spherical object of this kind; his conjecture was probably motivated by mathematical intuition. Table 1. Statistical results on pebbles collected on the coast of Rhodes, Greece. Data based on five random samples of 400 pebbles each. The empirical expected value and variation are given in percentages for each equivalence class {i, j} with i stable and j unstable equilibria. j i 1 2 3 4 5 1 — — — — — 2 0,1 ± 0,2% 74,5 ± 2,2% 17,0 ± 1,9% 1,0 ± 0,8% 0,1 ± 0,2% 3 — 4,5 ± 2,2% 0,4 ± 0,4% 0,1 ± 0,2% — 4 — 0,2 ± 0,3% — 0,7 ± 0,5% 0,1 ± 0,2% Unknown: 1,3 ± 0,4% 272 P. L. Várkonyi and G. Domokos Acknowledgments Comments from Phil Holmes, Jerry Marsden, Ákos Török, and two unknown referees helped to shape this paper substantially. The authors also thank Réka Domokos for her comments and invaluable help with the pebble experiment. This work has been supported by OTKA grant TS 049885. Appendix A Here we prove Lemmas A.1, A.2, and A.3, all of which have been used in the preceding proof of Theorem 2. A.1. Singular points of R Here we prove Lemma A.1. The function R has no other singular point than the poles. Proof of Lemma A.1. The poles are singular points because of the reflection-symmetry of R to the planes � = 0 and � = π/2 (cf. equation (7)). At other points, the partial derivatives of R are determined based on equations (1) and (8). The first one is ∂ R ∂θ = d ∂a ∂θ · ( f1 − f2). (11) This partial derivative is zero if either f2 − f1 = 0, (12) which holds for the poles only, or ∂a ∂θ = 0, (13) which holds if and only if θ = k ·π/2. At these lines, R(θ,ϕ) = 1 + d · fi(ϕ), i = 1 + k mod 2 (14) (cf. equations (5) and (6)). Now we have to show that the second partial derivative is non-zero along these lines. The second partial derivative at θ = k ·π/2 (with respect to ϕ) is given by ∂ R ∂ϕ = d · d fi(ϕ) dϕ , i = 1 + k mod 2, (15) which is non-zero except at the poles. Thus, there are really no other singular points. Static Equilibria of Rigid Bodies 273 A.2. Coincidence of the Origin with the Center of Gravity In this subsection we show under which conditions the origin O of the coordinate system coincides with the center of gravity G of the body B, defined by the surface R (cf. equations (1)–(8)). Lemma A.2. There exist positive constants c1 < c2, δ0 and a function F1 such that for arbitrary δ < δ0, (c, d) = (F1(δ),δ) implies G ≡ O and c1 ≤ F1(δ) ≤ c2. Proof of Lemma A.2. The reflection symmetry of the body with respect to the θ = 0 and θ = π/2 planes implies that G is on the vertical line ϕ ±π/2 passing through the origin O . The vertical distance h between O and G can be expressed as a function of the parameters c and d : h(c, d) = ∫ 2π 0 ∫ π/2 −π/2 1 4 R(ϕ,θ, c, d)4 cos ϕ sin ϕ dϕ dθ V (c, d) . (16) where V (c, d) denotes the volume of the body, and G ≡ O iff h(c, d) = 0. Equation (16) can be transformed to h(c, d) = 1 V (c, d) ∫ 2π 0 ∫ π/2 −π/2 1 4 (1 + d R(ϕ,θ, c))4 cos ϕ sin ϕdϕdθ = 1 V (c, d) [∫ 2π 0 ∫ π/2 −π/2 cos ϕ sin ϕdϕdθ + d ∫ 2π 0 ∫ π/2 −π/2 ( R + 3 2 d R2 + d 2 R3 + 1 4 d 3 R4) cos ϕ sin ϕdϕdθ ] = 1 V (c, d) × [ 0+d ∫ 2π 0 ∫ π/2 −π/2 ( R+ 3 2 d R2+d 2 R3+ 1 4 d 3 R4) cos ϕ sin ϕdϕdθ ] , (17) which shows that h(c, d) = 0 is equivalent to the condition h′(c, d) = ∫ 2π 0 ∫ π/2 −π/2 ( R + 3 2 d R2 + d 2 R3 + 1 4 d 3 R4) cos ϕ sin ϕ dϕ dθ = 0, (18) if d > 0; moreover, sign(h(c, d)) = sign(h′(c, d)). (19) We remark that h′(c, d) is continuous in c and d, for c > 0 and arbitrary d (d might be 0 as well). Observe that h′(c, 0) = ∫ 2π 0 ∫ π/2 −π/2 R cos ϕ sin ϕdϕdθ (20) 274 P. L. Várkonyi and G. Domokos is positive if c approaches infinity, because lim c→∞ R(θ,ϕ, c) = sin(ϕ), (21) and the product R cos ϕ sin ϕ is nonnegative (see also Figure 9a). At the same time, if c → 0, we have lim c→0 R(θ,ϕ, c) =   1 if   −π/2 < ϕ < 0, θ �= k ·π/2 ϕ = π/2 −π/2 < ϕ < π/2, θ = (2k + 1) ·π/2   −1 if   0 < ϕ < π/2, θ �= k ·π/2 ϕ =−π/2 −π/2 < ϕ < π/2, θ = 2k ·π/2   sin2 θ − cos2 θ if ϕ = 0   , (22) and the product R cos ϕ sin ϕ is typically negative, yielding h′(c, 0) < 0 (cf. Figure 9b). Since h′(c, 0) is continuous in c, there exist positive constants c1 < c2 such that h′(c1, 0) < 0 < h′(c2, 0) (see the lower part of Figure 10). Again, because of the continuity of h′(c, d), there exists a constant δ0 for which 0 < δ < δ0 implies h′(c1,δ) < 0 < h′(c2,δ). So if 0 < δ < δ0, there is a constant c1 < F1(δ) < c2 for which h′(c0,δ) = 0. Thus, c = F1(δ) and d = δ implies that G ≡ O . A.3. Convexity of the Body In this part we show Lemma A.3. There exists a continuous function F2(c) for any c > 0, so that the body is convex if 0 < d < F2(c). We prepare the proof of Lemma A.3 in four parts. In Section A.3.1, a sufficient condition of local convexity is determined, based on the Hessian of the surface in a local orthogonal coordinate system. This condition can be applied everywhere except the poles. In Section A.3.2, some functions related to R are extended to a closed domain and their boundedness is stated in Proposition A.3.2. Based on these results, in A.3.3 we prove Proposition A.3.3, stating convexity at regular points (we determine a function F2(c) and show that the surface is convex at such points if d < F2(c)). Finally, it is verified in Section A.3.4 that the convexity requirement is fulfilled at the poles, too; this is the statement of Proposition A.3.4. Proof of Lemma A.3. Propositions A.3.3 and A.3.4 imply Lemma A.3. A.3.1. A Sufficient Condition for Local Convexity at an Arbitrary Point. At any surface point P(ϕ0,θ0), R can be expressed as z(x, y) in an x -y-z local orthogonal coordinate system, axis z passes through the origin O (see Figure 15). A sufficient Static Equilibria of Rigid Bodies 275 yP x z 0 � 0 � Fig. 15. A local coordinate system at point P of the surface. condition of local convexity is that the Hessian H = [ zx x(c, d) zx y(c, d) z y x(c, d) z y y(c, d) ] (23) of z(x, y) exists and it is positive definite. Hence zx y = z y x , and this condition is the equivalent of { zx x(c, d) > 0, zx x(c, d)z y y(c, d)− zx y(c, d)2 > 0. (24) (25) The elements of the Hessian can be expressed as functions of ϕ and θ. The following results were computed analytically for a general function of the form (1), using Maple 7. The computational details are omitted here. Lower indices in the following equations denote derivatives with respect to the variables in the indices: zx x = 1 R − d · Rϕϕ R2 + 2d 2 · R2ϕ R3 , (26) z y y = 1 R − d · Rϕϕ R2 cos2 ϕ + 2d 2 · R2θ R3 cos2 ϕ + d · Rϕ sin ϕ R2 cos ϕ , (27) zx y = d · Rθϕ R2 cos ϕ + d · Rθ sin ϕ R2 cos2 ϕ − 2d 2 · Rϕ Rθ R3 cos2 ϕ . (28) The above three formulae, substituted in equations (24) and (25), yield a sufficient condition of local convexity of the surface R. It can be used anywhere but at the two poles, where the surface is not twice differentiable. A.3.2. Boundedness of Some Functions Related to R. Here we show Proposition A.3.2. There exists a positive continuous function M(c) satisfying the fol- lowing two conditions: | Rϕϕ(−π/2,π/2)| < M, (29) 276 P. L. Várkonyi and G. Domokos ∣∣∣∣ Rϕcos ϕ ∣∣∣∣ , ∣∣∣∣ Rθcos2 ϕ ∣∣∣∣ , | Rϕϕ|, ∣∣∣∣ Rϕθcos ϕ ∣∣∣∣ , ∣∣∣∣ Rθθcos2 ϕ ∣∣∣∣ < M if |ϕ| < π/2. (30) We can trivially satisfy (29), but there is no such guarantee for the boundedness of the left side of (30), since these are continuous functions on open domains; observe also that the denominators cos ϕ of (30) converge to zero at the borders of the domains. Proof of Proposition A.3.2. Let us define ext(φ) for a given function φ(ϕ,�) with |ϕ| < π/2 as the same function on an extended, closed domain: ext(φ) =   φ(ϕ,�), if |ϕ| < π/2, lim ϕ→π/2 φ(ϕ,�), if ϕ = π/2, lim ϕ→−π/2 φ(ϕ,�), if ϕ =−π/2. (31) The following functions ext ( Rϕ cos ϕ ) , ext ( Rθ cos2 ϕ ) , ext( Rϕϕ), ext ( Rϕθ cos ϕ ) , ext ( Rθθ cos2 ϕ ) (32) trivially exist and are continuous in ϕ and θ if |ϕ| < π/2. Simultaneously, for |ϕ| < π/2, one can determine the functions in (32) analytically, based on the definition (31) to verify the same statement. According to our analytical computations (made with Maple 7), the corresponding limit values exist and they are continuous in θ, which imply the continuity of the extended functions (32). Because the results are quite lengthy, only one of them is presented here: ext ( Rϕ cos ϕ )∣∣∣∣ ϕ=+π/2 = lim ϕ→π/2 Rϕ cos ϕ = cos 2 θ · e4/c + 1 − cos2 θ c2(e2/c − 2e1/c + 1 + cos2 θ · e4/c −2 cos2 θ · e3/c + 2 cos2 θ · e1/c − cos2 θ) . (33) The denominator is never zero: 1 + cos2 θ · e4/c − 2 cos2 θ · e3/c + 2 cos2 θ · e1/c − cos2 θ − 2e1/c = 1 + cos2 θ · (e4/c − 2e3/c + e2/c)+ 2 cos2 θ · e1/c − cos2 θ − 2e1/c + sin2 θ · e2/c > 1 + 2 cos2 θ · e1/c − cos2 θ − 2e1/c + sin2 θ · e2/c = sin2 θ(e2/c − 2e1/c + 1) > 0, (34) therefore function exists and it is continuous in θ. According to the Extreme Value Theorem [22], continuous functions on compact manifolds are always bounded. Thus, the maximum M(c) of all the functions in (32) exists. M(c) satisfies the conditions (29) and (30) and it is continuous in c. Static Equilibria of Rigid Bodies 277 A.3.3. The Function F2(c). Here we construct the function F2(c) such that whenever d < F2(c), R is convex at all regular points. Subsection A.3.4 extends this result to the poles. Proposition A.3.3. If d ≤ F2(c) = min { 1 25M(c) , 1 2 } (35) (where M(c) is defined in Proposition A.3.2), then R is convex at all regular points. Proof of Proposition A.3.3. Consider the following approximations on the elements of the Hessian (26)–(28), using Proposition A.3.2 and (35) (observe that (35) implies 1/2 < R < 3/2): zx x ≥ 1 R − ∣∣∣∣d · RϕϕR2 ∣∣∣∣+ 0 > 23 − 4d M, (36) z y y ≥ 1 R − ∣∣∣∣ d · RθθR2 cos2 ϕ ∣∣∣∣+ 0 − ∣∣∣∣d · Rϕ sin ϕR2 cos ϕ ∣∣∣∣ > 2 3 − 4d M − 4d M · sin ϕ > 2 3 − 8d M, |zx y| ≤ ∣∣∣∣d · RθϕR2 cos ϕ ∣∣∣∣+ ∣∣∣∣d · Rθ sin ϕR2 cos2 ϕ ∣∣∣∣+ ∣∣∣∣2d 2 · Rϕ Rθ R3 cos2 ϕ ∣∣∣∣ < 4d M + 4d M sin ϕ + 16d 2 M 2 · cos ϕ (37) ≤ 3d M + 16d 2 M 2. (38) From inequalities (35)–(38), we have zx x(d) > 2 3 − 4d M ≥ 38 75 > 0, (39) and zx x(d)z y y(d)− zx y(d)2 > (23 − 4d M)(23 − 8d M)− (8d M + 16d 2 M 2)2 ≥ 28 · 7057 32 · 58 > 0, (40) i.e., the conditions of convexity (24), (25) are satisfied; the function F2(c) is continuous in c. A.3.4. Convexity at the Poles. In this part, we prove Proposition A.3.4. B is locally convex at the two poles if d < F2(c). 278 P. L. Várkonyi and G. Domokos Here, local convexity is demonstrated by showing a plane, which • contains the examined pole (N or S), • has all nearby points of the surface on the same side of the plane, • has the “inside” of B also on the same side of the plane. (We choose the origin O, which is always an inner point of the body, to examine this condition.) Proof of Proposition A.3.4. Consider the orthogonal coordinate system of Figure 15 with ϕ0 = −π/2 and θ0 = 0. The plane z = (1 + d) contains the north pole of the surface and all other points are on the z < 1 + d side of this plane, because Z(ϕ,θ) = R(ϕ,θ) sin ϕ < R(ϕ,θ) < 1 + d. (41) The origin O is at z = 0 also on the z < 1 + d side. Thus, the surface is convex at the north pole for any value of d . Similarly, the plane z =−1+d contains the south pole, and the origin O is at z = 0 on the z > −1 + d side. The surface is locally convex if z(ϕ,θ) = R(ϕ,θ) sin ϕ > −1 + d, (42) for any θ if 0 < ϕ +π/2 1 and d < F2(c). We start the proof of inequality (42) with the following simple relation, which is true for arbitrary positive M (see also (35)): d ≤ min { 1 25M , 1 2 } < 2 3(1 + M). (43) We increase the right side of this inequality in three steps, which are discussed below: d < 2 3(1 + M) = 1 3 (ϕ +π/2)2 1 2 (1 + M)(ϕ +π/2)2 < 1 3 (ϕ +π/2)2 1 2 (1 + M)(ϕ +π/2)2 − 1 4 M(ϕ +π/2)4 = 1 − 1 + 1 3 (ϕ +π/2)2 1 − (−1 + 1 2 M(ϕ +π/2)2)(−1 + 1 2 (ϕ +π/2)2) < 1 + sin ϕ 1 − (−1 + 1 2 M(ϕ +π/2)2) sin ϕ < 1 + sin ϕ 1 − R sin ϕ. (44) The first step was obvious. In the second step we used that − 1 + 1 3 (ϕ +π/2)2 < sin ϕ < −1 + 1 2 (ϕ +φ/2)2, (45) if 0 < (ϕ+π/2) 1, which is simple to derive from the Taylor expansion of sin(ϕ) at ϕ = −π/2 up to the third-order term. The third step is a consequence of (cf. Figure 7 Static Equilibria of Rigid Bodies 279 and eq. (29)) R(ϕ,θ) ≤ f2(ϕ) = R(ϕ,π/2) = −1 + 0 · (ϕ +π/2)+ 1 2 Rϕϕ(−π/2,π/2) · (ϕ +π/2)2 + o((ϕ +π/2)3) < −1 + 1 2 M(ϕ +π/2)2, (46) which again holds for 0 < (ϕ +π/2) 1. Eq. (44) can be rearranged as d(1 − R sin ϕ) < 1 + sin ϕ. (47) Via substituting eq. (1) into (47), we get eq. (42). Thus, the surface is convex at the south pole, too. Appendix B: The Planar Results and the Four-Vertex Theorem In this appendix we show the following: Lemma B.1. The 4V Theorem and Theorem 1 are equivalent. As demonstrated in [1] and already mentioned in the introduction, Theorem 1 has another equivalent form. Theorem 1A. Let the function r(α) > 0 with isolated extrema, 0 ≤ α ≤ 2π and r(0) = r(2π), determine a planar curve in a polar coordinate system (r,α). If the center of gravity G of the corresponding planar solid body is at the origin (0, 0), the function r(α) has at least four extrema. This statement holds for concave curves, too. One possible interpretation of Theorem 1A is the following: Consider a coordinate system (x, y) so that G(xG, yG) is at the origin (0, 0) (Figure 16a). Theorem 1A deter- mines the minimal number of local extrema of the function r(α) under the following additional integral constraints: yG = ∫ area of the body y d A = 1 3 ∫ 2π 0 r 3(α) cos(α) dα = 0, (48) xG = ∫ area of the body x d A = 1 3 ∫ 2π 0 r 3(α) sin(α) dα = 0. (49) Now we will show that the 4V theorem can be formulated in an analogous manner. Consider a strictly convex, closed, planar curve of length l = 2π (Figure 16b). Let 0 ≤ s ≤ 2π denote the arclength of the curve (measured clockwise from point S). Let x(s) and y(s) denote orthogonal coordinates of the points of the curve. Let β(s0) be the angle of the clockwise-oriented tangent of the curve at s = s0 (with β(0) = 0 and 280 P. L. Várkonyi and G. Domokos (a) (b) S x x yy s b( )s a r(a ) G y ( ) s x s( ) Fig. 16. (a) A planar body in the polar coordinate system. (b) A con- vex, closed plane curve. β(2π) = 2π), and let ρ(s0) denote the curvature of the curve at the same point. Since the curve is strictly convex (ρ(s) > 0), β(s) is strictly monotonically increasing, implying the existence of s(β) and ρ(β) for 0 ≤ β ≤ 2π. From the monotonicity of β(s) it also follows that dρ/d s = 0 implies dρ/dβ = 0 and vice versa. The 4V theorem (analogously to Theorem 1a) states that the number of local extrema of the function ρ = dβ/d s is at least four. The closing condition for the curve yields the following integral constraints: x(2π)− x(0) = ∫ 2π 0 d x ds ds = ∫ 2π 0 cos(β(s)) ds = ∫ β(2π) β(0) cos(β) dβ/ds dβ = ∫ 2π 0 cos(β) ρ(β) dβ = 0, (50) y(2π)− y(0) = ∫ 2π 0 d y ds ds = ∫ 2π 0 sin(β(s)) ds = ∫ β(2π) β(0) sin(β) dβ/s dβ = ∫ 2π 0 sin(β) ρ(β) dβ = 0. (51) Equations (48)–(49) and (50)–(51) are equivalent if ρ(β) = 1 r 3(α) , (52) which is a mutually one-to-one correspondence between the positive, periodic functions r(α) and ρ(β) (α,β ∈ [0, 2π]), determining homogeneous planar bodies and convex plane curves, respectively. As we can see, for convex curves the 4V theorem is equivalent to the fact that 1/r 3(α) has four extrema. The latter coincide with the extrema of r(α); thus the 4V theorem for convex curves and Theorem 1 are equivalent. References [1] Domokos, G., Papadopulos, J., and Ruina, A., Static equilibria of planar, rigid bodies: Is there anything new? J. Elasticity 36 (1994), 59–66. Static Equilibria of Rigid Bodies 281 [2] Berger, M., and Gostiaux, B., Differential geometry: Manifolds, curves and surfaces (1988), Springer, New York. [3] Conway, J. H., and Guy, R., Stability of polyhedra, SIAM Rev. 11 (1969), 78–82. [4] Dawson, R., Monostatic simplexes, Amer. Math. Monthly 92 (1985), 541–646. [5] Dawson, R., and Finbow, W., What shape is a loaded die?, Mathematical Intelligencer 22 (1999), 32–37. [6] Heppes, A., A double-tipping tetrahedron, SIAM Rev. 9 (1967), 599–600. [7] Nowacki, H., Archimedes and ship stability. 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[14] Bloch, A.M., Marsden, J.E., and Zenkov, D.V., Nonholonomic dynamics, Not. Amer. Math. Soc. 52 (2005), no. 3, 324–333. [15] Borisov, A.V., and Mamaev I.S., The rolling motion of a rigid body on a plane and a sphere: hierarchy of dynamics, Reg. Chaot. Dynam. 7 (2002), no. 2, 177–200. [16] Chaplygin, S.A., On the rolling of a sphere on a horizontal plane, Mat. Sbornik XXIV (1903), 139–168 (in Russian). [17] Arnold, V.I., Personal communication to G. Domokos. [18] Blatt, H., Middleton, G., and Murray, R., Origin of sedimentary rocks (1972), Prentice Hall, Englewood Cliffs, NJ. [19] Chamley, H., Sedimentology (1990), Springer, New York. [20] Squyres, S., et al., The opportunity rover’s Athena science investigation at Meridiani Planum, Mars, Science, 306 (2004), 1698–1703. [21] Avrin, J., Global existence and regularity for the Lagrangian averaged Navier-Stokes equa- tions with initial data in H-1/2, Commun. Pure Appl. Anal. 3 (2004), no. 3, 353–366. [22] Malik, S. C., Mathematical analysis, 2nd ed. (1992), Wiley, New York. 
work_uovhjjurzffa5ony2uh7t6f63i	----	JW-HEP#140034 736..743 NEW HORIZONS Systems Biology for Hepatologists Jos�e M. Mato,1 M. Luz Mart�ınez-Chantar,1 and Shelly C. Lu2 Medicine is expected to benefit from combining usual cellular and molecular studies with high-throughput methods (genomics, transcriptomics, proteomics, and metabolo- mics). These methods, collectively known as omics, permit the determination of thou- sands of molecules (variations within genes, RNAs, proteins, metabolites) within a tissue, cell, or biological fluid. The use of these methods is very demanding in terms of the design of the study, acquisition, storage, analysis, and interpretation of the data. When carried out properly, these studies can reveal new etiological pathways, help to identify patients at risk for disease, and predict the response to specific treatments. Here we review these omics methods and mention several applications in hepatology research. (HEPATOLOGY 2014;60:736-743) T here is a nautical chart attributed to Christo- pher Columbus, obviously drawn before he set sail on the voyage that would lead to the discovery of America, that stretches from the south of Scandinavia to the mouth of the river Congo showing all the Mediterranean ports of Europe and Africa in detail. The enormous space that Columbus dedicated to the Atlantic Ocean is conspicuously lacking in detail. In all probability, this huge blank space served not only to mark the frontier of the known world and therefore the potential expansion of world knowledge, it also opened up a route for the imagination and the adventure of sailing through it, a route traveled by numerous sixteenth- and seventeenth-century explorers who, although in most cases were destined to remain anonymous, changed the world forever. In the same way, sequencing the human genome opened up a new era in biomedical sciences that is being explored by a legion of scientists. Biomedical research has evolved from the analysis of the effects of individual genes to a more integrated view that exam- ines whole ensembles of genes as they interact during a biological process. This has changed the way we look at human disease and understand better why specific therapies work or do not work. An example in hepato- logy is the use of a genetic variation near the IL28B gene that predicts the response to hepatitis C therapy.1 This way of thinking has given excessive value, how- ever, to a way of carrying out research in biosciences that consists of measuring everything (genes, proteins, metabolites) in a biological system in the hope that upon analyzing this huge amount of information, new properties of the system will emerge that will allow an integral understanding. This holistic approach often forgets that in biology the interactions between mole- cules (DNA, RNA, proteins, and metabolites) are characterized not by exclusivity, but by the multiplicity of possible interactions between some molecules and others. The problem is that it is not possible to dis- cover how an organism works based on a model that incorporates hundreds of thousands of measurements of its internal components simply because there is no single solution, no predefined design, not a unique 3D structure. From this perspective, health or disease can- not be viewed as the result of the fulfillment of a lin- ear program, but the result of an open process in which a specific biological state springs from certain genetic information interacting with other information existing at that moment. Abbreviations: DCA, deoxycholic acid; DMRs, differentially methylated regions; ENCODE, Encyclopedia of DNA Elements; FA, fatty acids; GC, gas chromatog- raphy; GWAS, genome-wide association study; HCC, hepatocellular carcinoma; MAT1A, methionine adenosyltransferase 1A; MS, mass spectrometry; NAFLD, nonalcoholic fatty liver disease; NASH, nonalcoholic steatohepatitis; PC, phosphatidylcholine; PE, phosphatidylethanolamine; PHB1, prohibtin-1; SAMe, S-adeno- sylmethionine; SNP, single nucleotide polymorphism; TG, triglycerides; TMAO, trimethylamine N-oxide; UPLC, ultraperformance liquid chromatography. From the 1CIC bioGUNE, Ciberehd, Parque Tecnol�ogico de Bizkaia, Bizkaia, Spain; 2Division of Gastroenterology and Liver Diseases, USC Research Center for Liver Diseases, The Southern California Research Center for Alcoholic and Pancreatic Diseases & Cirrhosis, Keck School of Medicine USC, Los Angeles, CA, USA. Received October 1, 2013; accepted January 15, 2014. Supported by NIH RO1AT1576 (to M.L.M-C., S.C.L., J.M.M.), RO1DK051719 (to S.C.L., J.M.M.), Spanish Plan Nacional I1D SAF 2011-29851 (to J.M.M.), ETORTEK-2010 Gobierno Vasco (to M.L.M.-C, J.M.M.), PI11/01588, Sanidad Gobierno Vasco 2008, Educaci�on Gobierno Vasco 2011 (to M.L.M.-C), 2012 (J.M.M.). Ciberehd is funded by ISCiii. 736 This vision helps to understand how multiple phe- notypes can be formed from a single genome, and how environment and chance select, at each moment, one from among all possible phenotypes (Fig. 1). Even in those diseases caused by mutations in a single gene, as in the case of phenylketonuria, although the geno- type predicts well the biochemical phenotype (the con- centration of phenylalanine in the blood), it does not predict the clinical phenotype (the appearance of intel- lectual disability).2 It is important to emphasize that clinical reasoning is basically Bayesian. In other words, the predictive value associated with a diagnostic test varies when it is applied to populations with indices of prevalence very different from those of the study con- dition. For example, in a person diagnosed with iron overload the presence of a mutation in the HFE gene is a highly reliable predictor of hereditary hemochro- matosis. However, in a population that has not been preselected for iron overload, the presence of the same mutation confers only a slight risk of developing clini- cal symptoms.3 These results speak for themselves of the importance of interpreting the results of studies of genetic variations within an adequate medical context. Genomics When carried out within the adequate medical con- text, genetic screens are powerful tools for identifying new genes and variations within genes that are involved in specific physiopathological processes. For example, a single nucleotide polymorphism (SNP) that is consis- tently associated with nonalcoholic fatty liver disease (NAFLD) is a nonsynonymous substitution (a mutation in which a single nucleotide change results in a codon that codes for a different amino acid) in the PNPLA3 gene.4 To identify this gene variant, a genome-wide association study (GWAS) of 9,299 nonsynonymous sequence variations was carried out in a population of 2,111 individuals from three different ethnic groups, in which hepatic fat content was measured by proton mag- netic resonance spectroscopy.5 The substitution of an isoleucine by a methionine at position 148 (I148M) of PNPLA3 was found to associate strongly with the accu- mulation of fat across the three ethnic groups studied, with an overall P-value of 5.9E-10. Recently, this variant was associated with NAFLD progression to nonalco- holic steatohepatitis (NASH), alcoholic fatty liver dis- ease, and hepatocellular carcinoma (HCC).6-8 The experience of identifying PNPLA3 teaches us that this hypothesis-free approach to the identification of new genes and variations within genes involved in a patho- logical process needs to be statistically sound and requires a large sample size of clinically well- characterized patients. Through December 2013, 2,034 GWAS have been published that have led to the identification of several hundreds of disease-associated gene variants.9 GWAS are approaches that aim to identify potential associated genes, at the whole genome level, based on the statisti- cal significance of the differential occurrence of com- mon SNPs when comparing populations with distinct traits such as disease and health or drug responders and nonresponders.10 Interestingly the majority of these SNPs are not in gene coding regions, which sug- gests that these variants affect regulatory elements of the genome that have key functions in the develop- ment of complex diseases, such as those of the liver. Fig. 1. Metabolic fluxes are the best representation of the pheno- type of an organism. Health or disease cannot be viewed as the result of the fulfillment of a linear program, but as the result of an open pro- cess in which a specific biological state or phenotype springs from certain genetic information interacting with other information existing at that moment. This vision helps to understand how multiple pheno- types can be formed from a single genome, and how environment and chance select, at each moment, one from among all possible phenotypes. Address reprint requests to: Prof. Jos�e M. Mato, CIC bioGUNE, Parque Tecnol�ogico de Bizkaia, 48160 Derio, Bizkaia, Spain. E-mail: director@cicbiogune.es; fax: 134-944-0611301. Copyright VC 2014 by the American Association for the Study of Liver Diseases. View this article online at wileyonlinelibrary.com. DOI 10.1002/hep.27023 Potential conflict of interest: Dr. Mato consults for and owns stock in Owl. He consults for Abbott. HEPATOLOGY, Vol. 60, No. 2, 2014 MATO ET AL. 737 This agrees with the results of the Encyclopedia of DNA Elements (ENCODE) consortium, an ambitious project that aims to identify and characterize all func- tional elements in the human genome,11 whose princi- pal conclusion is that the majority of the genome, although not coding for proteins, is active and plays important regulatory functions.12 Transcriptomics and Proteomics Genomic technologies have made feasible investigating the expression of thousands of genes at a time using large sets of samples. This technology has often been used with the aim to develop tests that more reliably diagnose dis- eases and predict the response to specific treatments. However, the clinical application of these diagnostic and prognostic gene expression signatures has been delayed for three main reasons. First, complex diseases, like NASH, cirrhosis, or HCC, likely involve a large number of different genes and biological pathways and are very heterogeneous in terms of clinical manifestations, genomic alterations, and gene expression patterns.13-15 Therefore, large cohorts of well-characterized patients are necessary to obtain genomic signatures of clinical rele- vance. Second, diagnostic and prognostic gene signatures contain a large number of genes and the prediction algo- rithms are complex and not easy to use routinely in clin- ics.16 Third, the development of complex molecular tests based on DNA, RNA, proteins, or metabolite profiles carries a series of problems inherent to all high- throughput techniques where large datasets are ana- lyzed.17 Selecting the statistically significant results from a large dataset also containing nonsignificant data is chal- lenging, because when multiple significance tests are cal- culated the probability that at least one reaches significance by chance increases with the number of tests performed.18 It is therefore critical to control this multi- plicity problem as well as to use one or more model vali- dation technique for assessing how the results of a statistical analysis will generalize to an independent data- set.18 However, in the race to apply genomics technology, genomics works are too frequently published in which massive quantities of data containing avoidable errors are handled.17 Yet when used correctly, microarray technolo- gies may be translated into score systems that can repro- ducibly predict clinical outcomes. An example in hepatology is the development of a simple risk score clas- sifier based on the expression of a small number of genes that can predict in a reproducible manner overall survival of patients after surgical resection for HCC.19 In a recent report, the Institute of Medicine identified best practices for future research and development of omics-based tests.20 These practices include the use of rigorous statisti- cal methods, bioinformatics and data management, and open access to the datasets and algorithms used to develop the test. The application of these best practices should be reinforced by all research organizations.21 One of the most important objectives of genomic research is also to associate transcriptomic data with the molecular pathways that underlie disease. However, gene expression changes in complex diseases, such as those of the liver, often reflect processes that are sec- ondary to the pathological process. To overcome this problem, transcriptional networks have been developed based on the assumption that gene products that are causative of a disease process and whose expression is altered in a pathological condition have similar expres- sion patterns (coexpressed genes).22 An impressive example of this approach is the use of an integrative genomic method, based on the analysis of transcrip- tional networks in human brain, to identify a new molecular pathway linking late-onset Alzheimer’s dis- ease, aging, and APOE4.23 The same principle applies to proteomic research, where the concentration of hundreds to thousands of proteins is determined simultaneously in a cell type or tissue. An application of this method in hepatology is the demonstration that knocking out the liver-specific prohibitin-1 gene (Phb1) in mice results in the spontaneous development of severe liver disease and HCC24 after identification, using proteomics, that liver PHB1 content was decreased in an experimental model of NASH.25 One of the best ways to learn about the function of a gene is to generate a mouse with a deletion in that spe- cific gene. Hence, the function of around 7,300 mouse genes has been described using this approach.26 In gen- eral, these knockout mice have been generated towards genes previously studied and where a phenotype was anticipated, as in the case of Phb1 mentioned above. Interestingly, on many occasions no obvious phenotype is observed, probably because only the expected traits are investigated. As a result of this, the full biological func- tion of many genes for which knockout mice are available is not known. Genome-wide mouse programs aiming to generate knockout mice with mutations in all protein coding genes are under way.26,27 Over 900 knockout mice, many with phenotypic data, have been made openly available for further analysis.27 It is important to note that even when the deletion of a known gene is asso- ciated with a phenotype, elucidating the molecular mech- anism by which mutation of that gene leads to a particular phenotype is not obvious at first glance and requires extensive experimental work to elucidate it. 738 MATO ET AL. HEPATOLOGY, August 2014 The coordinated changes in gene expression patterns associated with the molecular pathways that underlie disease are controlled at multiple levels. Examples include nucleosome remodeling, noncoding RNAs, histone variants, and modifications (e.g., by acetylation or methylation).28 MicroRNAs and RNA-binding pro- teins play a critical role in the posttranscriptional regu- lation of global changes in gene expression.11,12 DNA methylation is another key epigenetic modulator of gene expression that is generally associated with tran- scriptional repression.11,12 Large-scale DNA methyla- tion mapping studies have provided important insights into the gene regulation and the development of vari- ous diseases, particularly in tumorigenesis.29 One of the most important objectives of DNA-methylation mapping research is to link DNA methylation changes with the expression of genes pathways that underlie disease. Here, similar to genome research, a variety of software has been released to facilitate the identifica- tion of differentially methylated regions (DMRs), clas- sification of DMRs into enriched genomic regions, and comparison of DNA methylation, and gene expression changes. Recently, this technique has ele- gantly been applied to identify differences in DNA methylation that could distinguish patients with advanced versus mild NAFLD,30 and that led to the identification of MAT1A (methionine adenosyltransfer- ase 1A) as one of the principal down-regulated genes in NASH.31 These findings agree with earlier work demonstrating that MAT1A expression and MAT activ- ity are markedly reduced in human liver cirrhosis,32,33 and that MAT1A expression is silenced in human HCC.34 Furthermore, deletion of Mat1a in mice causes NASH and HCC,35,36 which support the con- cept that from NASH to HCC MAT1A may be a therapeutic target.37 Metabolomics Metabolomics, the high-throughput identification and quantification of small-sized (<1,500 Da) mole- cules, is the last branch of omics-based technology incorporated into biomedical research. While in other omics fields thousands of targets are routinely analyzed at a time, until recently few studies had identified and quantified more than 100 metabolites at a time in a large set of samples. Two factors have made it feasible to determine the concentration of hundreds of metabolites at a time using large sets of samples. First, the release of an electronic database equivalent to GenBank or Uni- Prot, like the Human Metabolome Database; and sec- ond, the development of modern high-resolution nuclear magnetic resonance (NMR) spectroscopy and of mass spectrometry (MS) technologies, such as ultraper- formance liquid chromatography-MS (UPLC-MS) and gas chromatography-MS, for the identification and quantification of thousands of metabolites at a time in as little as a few minutes per sample. The human serum metabolome is composed, with today’s technology, of around 4,200 metabolites, half of which are phospholipids and over a thousand glyceroli- pids (triglycerides [TG], diglycerides, and monoacylgly- cerols).38 In other words, around three-quarters of the known human serum metabolome are lipids. Amino acids, peptides, carbohydrates, amines, and carboxylic acids complete the list of the serum metabolome. Thou- sands of different lipids seem much more than the four bases used by DNA to encode the genetic information of an organism, much more than the 23 amino acids that are the building blocks of proteins, much more than the hundreds of carbohydrates and carboxylic acids that form the central carbon metabolism. But ultimately, this many thousands of lipids make sense, if we think, for instance, that an average car has over 10,000 moving parts. From the storage of energy and the establishment of the permeability barrier for cells and cell organelles, to the regulation of membrane-associated processes, such as oxidative phosphorylation, intracellular trafficking, cell growth, apoptosis, and the facilitation of membrane pro- tein folding in a manner similar to protein molecular chaperones, lipids play an essential biological function. Metabolic dysfunction has been implicated in a wide variety of human diseases, such as obesity, NAFLD, diabetes, inborn errors of metabolism, and cancer, just to mention a few.39 The results are consist- ent with an important contribution of metabolic disba- lance, that is, the rerouting of the metabolic fate of lipids, carbohydrates, and amino acids through the intermediary metabolism, to the initiation and/or pro- gression of these and other diseases. Consequently, there is an increased interest in understanding what the metabolic differences are between normal and dis- eased tissues that can lead to the development of more selective and effective treatments. Cellular metabolism consists of a multitude of enzymatic reactions, inextri- cably interconnected, that are involved in two func- tions: one, the conversion of thousands of molecules into building blocks for macromolecular biosynthesis; and two, the reactions that ensure the constant supply of energy by way of adenosine triphosphate (ATP) and redox equivalents (NADPH). The concentrations of the metabolites in a cell are the result of the fluxes in the metabolic reactions, which ultimately depend on HEPATOLOGY, Vol. 60, No. 2, 2014 MATO ET AL. 739 the conditions of the moment such as the available nutrients, hormonal and neural factors, the properties of the enzymes involved, and the levels of the metabo- lites themselves, as they exert important feedback and feedforward regulation on the system.40 Notoriously, the liver parenchyma shows a zonal distribution of key metabolic enzymes and metabolism, which indicates that there are different types of hepatocytes in the liver. For instance, oxidative phosphorylation, glucose output, urea synthesis, and bile acid synthesis is higher in the periportal area, whereas glucose uptake, gluta- mine formation, and xenobiotic metabolism are greater in the perivenous area.41 Metabolic zonation is altered in liver steatosis,42 but whether this reflects processes that are secondary to the pathological process is an open question. From this perspective, it is clear that the metabolic fluxes represent the final outcome of cel- lular regulation at many different levels, and hence they are the best representation of the phenotype of an organism (Fig. 1). A consequence of this convoluted network of enzy- matic reactions that integrate cellular metabolism is that it is not possible to conclude that a certain meta- bolic pathway is altered in a cell or tissue simply by measuring the steady-state concentration of its metabo- lites at a single timepoint. For example, the three major sources of fatty acids (FA) used by the liver to synthesize TG are the diet, de novo lipogenesis, and the adipose tissue; and the four major fates of hepatic FA are mitochondrial b-oxidation, biosynthesis of other lipid classes, esterification and storage as TG into lipid droplets, and assembly as TG into very low- density lipoproteins and export into blood (Fig. 2). Processes that lead to an imbalance between the intake and biosynthesis of TG and the export and catabolism of TG cause NAFLD. Elucidating which of all these potential mechanisms are responsible for hepatic TG accumulation under a specific condition requires care- ful measurements of metabolic fluxes, using labeled tracers, as well as the determination of the content of dozens to hundreds of metabolites and activities of key enzymes. Unfortunately, studies are too frequently published in which a pathological process is associated with changes in a certain metabolite or group of metabolites based simply in their steady-state concen- tration, or quantification of mRNA and/or protein of specific enzymes. Moreover, it is important to remem- ber that changes in the concentration of metabolites often reflect processes that are secondary to the patho- logical process. However, when used correctly meta- bolic studies may lead to the identification of the rate- limiting step responsible of a pathological process. An example in hepatology is the identification that an excess of hepatic S-adenosylmethionine (SAMe), which Fig. 2. FA metabolism in liver. The three major sources of FA used by the liver to synthesize triglyceride (TG) are the diet, de novo lipogenesis, and the adipose tissue; and the four major fates of hepatic FA are mitochondrial b-oxidation, biosynthesis of other lipid classes (such as phos- pholipids, cholesterol esters, and sphingolipids), esterification, and storage as TG into lipid droplets (LD), and assembly as TG into very low- density lipoproteins (VLDL) and export into blood. Hepatic TG can be synthesized by desaturation, elongation, and esterification of FA, or by the phosphatidylethanolamine N-methyltransferase (PEMT) pathway that converts phosphatidylethanolamine (PE) to phosphatidylcholine (PC). TG export by way of VLDL requires incorporation of PC synthesized by the PEMT pathway. 740 MATO ET AL. HEPATOLOGY, August 2014 occurs in the setting of impaired glycine N-methyl- transferase-mediated catabolism, reroutes phosphatidy- lethanolamine (PE) metabolism towards the biosynthesis of phosphatidylcholine (PC), by way of activation of the enzyme PE methyltransferase (Fig. 2). The excess PC thus generated is used by the hepato- cyte to synthesize TG that accumulate into lipid drop- lets, causing NAFLD.43 The human metabolome is an ocean full of bio- markers. Accordingly, a central objective in metabolomics research is the discovery of specific metabolic profiles (in serum, urine, feces, sweet, tears, saliva, tissues) that associ- ate with disease or the response to specific treatments. The development of metabolomic-based diagnostic and prognostic tests has the same problems inherent to all high-throughput techniques, namely, the detection of statistically significant relationships between a group of metabolites and disease while minimizing the risk of false-positive associations.18,44 An additional complica- tion in metabolomics, as compared to other omics-based methods, is the preparation and storage of the samples, due to large differences in solubility and stability among metabolites. When used correctly, metabolomics is a powerful novel approach for biomarker identification. For example, a serum lipidomic signature associated with NAFLD progression has been identified.45 To obtain this signature, 540 serum metabolites were determined by UPLC-MS in a population of 467 biopsied individuals with different body mass indexes.45,46 Microbiome In addition to the 22,000 or so protein-coding genes of the human genome, the collective genome of the human gut flora is guessed to contain 100 to 200 times that num- ber.47 This collective genome, the microbiome, provides us with an additional and extraordinary metabolic capacity that modulates host energy and lipid metabo- lism,48 whose importance in health and disease we are beginning to understand. Thus, gut microbiota alterations have been associated with the susceptibility of developing certain diseases such as obesity, diabetes, celiac disease, car- diovascular disease, and NASH.48 An example of this complex relationship between the gut microbes and the host metabolism is the discovery of a new pathway for gut flora-mediated generation of the pro-atherosclerotic metabolite trimethylamine N-oxide (TMAO) from die- tary PC.49 Another example that illustrates the complex relationship between gut microbiota and liver disease is the demonstration that bile acid metabolism by intestinal bacteria has a key role in obesity-associated HCC develop- ment.50 Those authors analyzed the serum metabolites of high-fat-diet and normal-diet-fed mice by UPLC/MS and observed an increase in the levels of deoxycholic acid (DCA), a secondary bile acid solely produced by hydroxy- lation of primary bile acids by gut bacteria. DCA is known to cause DNA damage and enhance liver cancer. Interestingly, lowering DCA levels in obese mice treated with the carcinogen dimethylbenz(a)anthracene decreased HCC development.50 These results speak for themselves of the complex relationship between the gut flora and the host metabolism and the importance to assess medical risks, monitor, diagnose, and treat patients according to their specific metabolic phenotype. In conclusion, the ultimate aim of omics-based research in hepatology is to translate this knowledge into useful results that improve our understanding of complex biological processes, make reliable predictions in silico of human liver drug toxicity, and provide clinically relevant tests (Fig. 3). However, several problems need to be over- come to ensure the successful translation of these Fig. 3. Omics-based medicine. The ultimate aim of omics-based medicine is to translate human genomics, transcriptomics, proteomics, and metabolomics results into clinically useful products. To help researchers achieve this goal, several freely accessible initiatives have been established, such as the Genome Sequencing Program (GSP), the Encyclopedia of DNA Elements (ENCODE), the Genetic Variation Program (GVP), or the Genome-Wide Associations Studies (GWAS) of the National Human Genome Research Institute (http://www.genome. gov/). In transcriptomics, the Gene Expression Omnibus (GEO) pro- vides a public repository that archives and freely distributes (http:// www.ncbi.nlm.nih.gov/geo/info/overview.html) microarrays and other functional genomics data. In proteomics, the Human Proteome Organi- zation (HUPO, http://www.hupo.org/initiatives/) sponsors several initia- tives such as the Human Liver Protein Project (HLPP) or the Human Antibody Initiative (HAI); and in metabolomics the Human Metabolome Database (HMDB, http://www.hmdb.ca/) and other related resources such as KEGG, LipidMaps, and MassBank, that contain freely available information about metabolites found in the human body. HEPATOLOGY, Vol. 60, No. 2, 2014 MATO ET AL. 741 http://www.genome.gov/ http://www.genome.gov/ http://www.ncbi.nlm.nih.gov/geo/info/overview.html http://www.ncbi.nlm.nih.gov/geo/info/overview.html http://www.hupo.org/initiatives/ http://www.hmdb.ca/ technologies. One is adopting protocols that yield con- sistent results in different laboratories so that data can be built into a single repository. Another problem is the inte- gration of all the data generated by omics-based screens (such as RNAs, proteins, metabolites, protein-protein interactions, protein-lipid interactions, protein-nucleic acid interactions, and so on). Once these two problems are solved, the translation of omics-based results into clin- ically useful products will be within reach. References 1. Ge D, Fellay J, Thompson AJ, Simon JS, Shianna KV, Urban TJ, et al. Genetic variation in IL28B predicts hepatitis C treatment- induced viral clearance. Nature 2009;461:399-401. 2. Okano Y, Eisensmith RC, G€uttler F, Lichter-Konecki U, Konecki DS, Trefz FK, et al. Molecular basis of phenotypic heterogeneity in phenyl- ketonuria. N Engl J Med 1991;324:1232-1238. 3. Adams PC, Reboussin DM, Barton JC, McLaren CE, Eckfeldt JH, McLaren GD, et al. Hemochromatosis and Iron Overload Screening (HEIRS) Study Research Investigators. Hemochromatosis and iron- overload screening in a racially diverse population. 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HEPATOLOGY, Vol. 60, No. 2, 2014 MATO ET AL. 743 
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work_u2totlent5c6dp5uf7ohikogue	----	Owing Christopher Columbus a Mission to Mars - 1 - MASTERARBEIT / MASTER’S THESIS Titel der Masterarbeit / Title of the Master‘s Thesis Owing Christopher Columbus a Mission to Mars: Narrative Strategies in the Introductory Speeches of American Space Policies and the Sociotechnical Imaginary of Conquering Space verfasst von / submitted by Sebastian Eberth (BA) angestrebter akademischer Grad / in partial fulfilment of the requirements for the degree of Master of Arts (MA) Wien, 2019 / Vienna 2019 Studienkennzahl lt. Studienblatt / A 066 906 Degree programme code as it appears on the student record sheet: Studienrichtung lt. Studienblatt / Masterstudium Science-Technology-Society Degree programme as it appears on the student record sheet: Betreut von /Supervisor: Univ.-Prof. Dr. Ulrike Felt Owing Christopher Columbus a Mission to Mars - 2 - Owing Christopher Columbus a Mission to Mars - 3 - Acknowledgements The following roughly 100 pages are filled with words and thoughts that I have had in the past two years. None of these thoughts I would have had without some wonderful people supporting, inspiring, encouraging and also criticising me. First, I need to thank my family, and especially my parents. If you had not raised me the way you did, I would not get to do all these awesome things I do. This is your work. Next, I need to thank my supervisor, Ulrike Felt. You gave me the time I needed and more than just answered the questions I had for you along the way. This is your work. And finally, these acknowledgements would be fundamentally incomplete without thanking Xenia. You spent your holidays in a library with me, believe(d) in me and gave me all the space I need. This is your work, too. Owing Christopher Columbus a Mission to Mars - 4 - “Technologies are produced by institutions and people with stakes and interests - political, social, historical, and cultural. This is neither inherently good nor inherently bad; it simply is.” Gabriele Hecht in The Radiance of France Owing Christopher Columbus a Mission to Mars - 5 - Owing Christopher Columbus a Mission to Mars: Narrative Strategies in the Introductory Speeches of American Space Policies and the Sociotechnical Imaginary of Conquering Space Owing Christopher Columbus a Mission to Mars - 6 - Table of Contents 1. Introduction ......................................................................................................................... - 10 - 2. State of the Art ..................................................................................................................... - 13 - 2.1. Nations and Cultures of Technology .................................................................................. - 14 - 2.2. Spaceflight and Pop Culture .............................................................................................. - 16 - 2.3. Spaceflight as Cultural Performer ...................................................................................... - 18 - 2.4. Spaceflight as Political Instrument ..................................................................................... - 20 - 2.5. Of Being Singular and Superior: American Exceptionalism ............................................... - 23 - 2.5.1. Exceptionalisms Building Blocks: American Myths .................................................... - 25 - 2.6. From Colonialism via Postcolonialism to Neocolonialism.................................................. - 28 - 3. Research Questions .............................................................................................................. - 31 - 4. Sensitising Concepts ................................................................................................................ - 32 - 4.1. Tech and Time: Sociotechnical Imaginaries ....................................................................... - 32 - 4.2. Us and Them: Imagined Communities ............................................................................... - 35 - 5. Material ................................................................................................................................... - 36 - 5.1. Choosing material ............................................................................................................. - 36 - 5.1.1. Dwight D. Eisenhower (1953-1961): Founding Civilian Spaceflight ........................... - 38 - 5.1.2. John F. Kennedy (1961-1963): Choosing to Go to the Moon ....................................... - 38 - 5.1.3. Lyndon B. Johnson (1963-1969): The Apollo Years.................................................... - 39 - 5.1.4. Richard Nixon (1969-1974): From Exploration to Reusability..................................... - 40 - 5.1.5. Gerald Ford (1974-1977): Following Nixon’s Plans .................................................... - 41 - 5.1.6. Jimmy Carter (1977-1981): The Shuttle On Its Way.................................................... - 41 - 5.1.7. Ronald Reagan (1981-1989): Challenger, Two Policies, and No Talk.......................... - 41 - 5.1.8. George Bush senior (1989-1993): The Space Exploration Initiative ............................. - 42 - 5.1.9. Bill Clinton (1993-2001): Cancelling SEI and Building (On) Robots ........................... - 42 - 5.1.10. George W. Bush (2001-2009): Humans to Explore ................................................... - 42 - 5.1.11. Barack Obama (2009-2017): Abandon Constellation, Aiming for Asteroids .............. - 43 - 5.1.12. Donald Trump (from 2017 on): New Old Plans and Mars.......................................... - 43 - 6. Narrating Reality: Methods .................................................................................................. - 44 - 6.1. Working with Narratives ................................................................................................... - 44 - 6.2. Unpacking Narratives: Thematic and Performance Analysis .............................................. - 46 - 6.3. Narratives at Work: Political Speeches and Why to Study Them ........................................ - 47 - 7. Analysis ................................................................................................................................... - 48 - 7.1. John F. Kennedy - Torn Between Fear and the Spirit of Optimism ..................................... - 49 - 7.1.1. Some Context ............................................................................................................. - 49 - 7.1.2. Dichotomies, Contradictions, Americanness ............................................................... - 50 - 7.1.3. Exciting America ........................................................................................................ - 52 - Owing Christopher Columbus a Mission to Mars - 7 - 7.1.4. Technologies, Knowledges, Futures ............................................................................ - 53 - 7.2. Richard Nixon - Defending No Space Offensive .................................................................... - 55 - 7.2.1. Some Context ............................................................................................................. - 55 - 7.2.2. Reasonability and Down-to-Earthness ......................................................................... - 55 - 7.3. George Bush - Pride, Preachers and Whom to Owe Spaceflight ......................................... - 57 - 7.3.1. Some Context ............................................................................................................. - 57 - 7.3.2. An American Past: The United States’ Proud Children ................................................ - 58 - 7.3.3. An American Future: Space Romance and the Aggrandisement of Spaceflight ............ - 60 - 7.4. George W. Bush - Of the Human Nature and Our Limits to Dream .................................... - 63 - 7.4.1. Some Context ............................................................................................................. - 63 - 7.4.2. The Human Nature, the American Nature, and Other Worlds ...................................... - 63 - 7.4.3. High Hopes and the Obligation to Carry On ................................................................ - 66 - 7.5. Barack Obama - Back into the Future ................................................................................ - 67 - 7.5.1. Some Context ............................................................................................................. - 67 - 7.5.2. Lacking Vision: Shadows of the (Recent) Past ............................................................ - 68 - 7.5.3. Commitment and Society: The Grand Future .............................................................. - 69 - 7.6. Common Narratives: Why to Conquer Space ..................................................................... - 71 - 7.6.1. Unity: The Spacefaring Nation.................................................................................... - 72 - 7.6.2. Exceptionality: Valuing the United States of America ................................................. - 73 - 7.6.3. History: The Traditionalisation of Values.................................................................... - 75 - 7.6.4. Destiny: Expanding into the Future ............................................................................. - 80 - 7.6.5. Hierarchy: America in the World ................................................................................ - 82 - 7.6.6. Trajectory: Of Logical Paths ....................................................................................... - 84 - 8. Conquering Space: Conclusions ............................................................................................... - 86 - 8.1. Technologies and Nations: Technocultural Identities ......................................................... - 87 - 8.1.1. America ...................................................................................................................... - 87 - 8.1.2. Developments ............................................................................................................. - 89 - 8.1.3. Rockets ...................................................................................................................... - 90 - 8.2. Columbus and the Mars Mission: Sociotechnical Imaginaries ............................................ - 91 - 8.2.1 Origin & Embedding ................................................................................................... - 91 - 8.2.2. Resistance & Extension .............................................................................................. - 93 - 8.3. Implications, Thoughts, Next Steps ................................................................................... - 95 - 9. Bibliography ............................................................................................................................ - 98 - 10. Abstracts ........................................................................................................................ - 106 - Owing Christopher Columbus a Mission to Mars - 8 - Table of Figures Figure 1: Astronaut Mark C. Lee during an extravehicular activity in 1994. NASA, 2009. ........... - 12 - Figure 2: Final scene of the movie Interstellar. A colony is founded, with the American flag blowing in the wind. Nolan & Thomas/Obst, 2014..................................................................................... - 18 - Figure 3: Parade for and with the Apollo 11 crewmen after their trip to the moon. NASA, 1969. .. - 22 - Figure 4: Astronaut Mike Hopkins during an extravehicular activity at the ISS on December 24th 2013, with his US patch clearly visible. NASA, 2013. .................................................................. - 30 - Figure 5: John F. Kennedy during his speech at Rice Stadium, Houston. NASA, 2006. ................ - 39 - Figure 6: Aerospace engineer Wernher von Braun in front of the Saturn V. NASA, 2004. ............ - 90 - Figure 7: Astronaut Edgar D. Mitchell planting the American flag on the moon during the Apollo 14 mission. NASA, 1971. ................................................................................................................. - 97 - file:///C:/Users/Basti/Desktop/Grant%20Writing%20-%20Master%20Thesis/THESIS.docx%23_Toc9682277 file:///C:/Users/Basti/Desktop/Grant%20Writing%20-%20Master%20Thesis/THESIS.docx%23_Toc9682280 file:///C:/Users/Basti/Desktop/Grant%20Writing%20-%20Master%20Thesis/THESIS.docx%23_Toc9682280 file:///C:/Users/Basti/Desktop/Grant%20Writing%20-%20Master%20Thesis/THESIS.docx%23_Toc9682282 Owing Christopher Columbus a Mission to Mars - 9 - List of Tables Table 1: Dichotomies employed by John F. Kennedy in his “We choose to go to the moon” talk. . - 50 - Table 2: Color codes explaining tables three and four. .................................................................. - 76 - Table 3: Time specific historical references made in the talks. ...................................................... - 76 - Table 4: Not time specific references made in the talks................................................................. - 78 - Owing Christopher Columbus a Mission to Mars - 10 - 1. Introduction “There is no harm in repeating good things.” Plato (428/427 - 348/347 BC), philosopher Rockets do not just appear out of nowhere, ready to lift off into space. So, what has to happen for a rocket to leave the earth’s atmosphere? Sure, its engines need to ignite, generating thrust, enormous and yet meticulously controlled. Beforehand, millions of technical components will have to be assembled, able to withstand great physical forces. Software will have to be developed. Thousands of people will have worked days, weeks, months, often years in order to make the boosters catapult not only satellites and materials but also animals and humans into space. Behind every rocket launch lies an enormous organisational and financial effort, that, over time, has led to some of the greatest technological extravaganzas in human history. People were sent to the moon, landed on it, jumped around, and flew back. Probes have been crushed by the atmospheres of Venus, Saturn, and Jupiter, while others have landed on both Mars and several moons of planets other than earth. Probes even landed on asteroids and comets. Some returned successfully, importing dust from outer space. Obviously, all these technical feats cost large amounts of money. Money, which in most cases came from taxpayers. Over the years, some of that money was spent on failed missions, as not every mission was (and will be) a success; two of the five American built space shuttles disintegrated, Challenger in 1986 on its way to space, Columbia in 2003 on its way back. Each disaster cost the life of seven human beings, and - without putting human lives and money into comparison - literally burned up billions of tax dollars. And still, or, as we will see, perhaps even because of that, spaceflight still achieves to fascinate people in an oddly intangible yet commonly accepted way. The investments in the pioneering research and the practical execution of spaceflight only came about through governmental efforts 1 , and for decades it was, with a few exceptions, the preserve of the USA and the USSR (respectively Russia). The duel for filling the vacuum began some years after WWII, marking a time in which the relationship between science, society and politics changed dramatically and permanently. Science fought for its intellectual independence, but ultimately the lines between these realms became increasingly blurred (see Barker, in Jasanoff & Kim, 2015). This blurring of boundaries included those of spaceflight. Contrasting its very much privately inspired and funded origins (see Kirby, 2010), president Eisenhower founded the US’ National Aeronautics and Space Agency (NASA) in 1957. From that point on, as is every scientific and technological development, spaceflight was deeply 1 We have seen in the recent past the very refreshing development of private companies enriching the branch with new groundbreaking innovations, too. However, greater undertakings such as sustaining the International Space station are still left to state agencies. Additionally, private companies are yet to have proven their capability of reaching deep space with more than an electric car (see chapter 2.2.). Owing Christopher Columbus a Mission to Mars - 11 - embedded in society, becoming an active part of the social and the political, far from being an independently working system. Lacking independence, NASA’s work needed external approval, including that of the American population. They did not only have to see the Saturn V lifting off to the moon, they had to see something in it. Something more than just a rocket standing about 110m tall. The technology needed a story, a narrative background, which would constitute a comprehensible right to exist. Rockets, in the eyes of everyone involved, had to become more than just the millions of components assembled by some scientists and engineers: they had to stand for something bigger. In principle, it is this narrative backbone that the study at hand aims to unpack and investigate. The question arises: Where and how to study these narratives? Acknowledging the peculiar entanglements of spaceflight and American politics, and especially the role the president 2 plays, I will turn towards some of the most central moments of decision making in spaceflight. Spaceflight in the US for the most part depends on the national space policy, which, simplifying it somewhat, aligns itself with the interests and plans of the president. Once the policy framework has been decided upon, a framework upon which NASA must act accordingly, it is often presented to the public in the form of a presidential speech. These talks introducing American space policies do not only present some kind of vestigial to-do list but also play a central role in the narrative embedding of rocketry in society. In that, they particularly provide storylines for how the policy and its ideas matter in the future, offering conceptualisations about aspects of spaceflight technology and/in the American society. In my aforementioned descriptions and the entire work I draw on the conceptual framework of co-production, which assumes that neither the systems I mentioned - science, technology, society, politics, and the like - nor what is produced in and through them, is intrinsically autarkic. Instead, co- production proposes to perceive all these realms as mutually influencing one another in a reciprocal process, together producing what is (see Jasanoff, 2004, or Hecht, 2009). This co-production becomes effective at various sites and expressed in various ways. However, one may ask, if reality is as messy as proposed here, how come that specific “technological trajectories diverge across polities and periods” (Jasanoff, 2015a, p. 5), resulting in some technologies and technology-related ideals being tremendously durable, while others quickly vanish off the face of the earth? Tracing exactly these questions for specific technologies and approaches, is what sociotechnical imaginaries, at the same time reasons and outcomes of co-production, enable us to do. With the help of this concept, I aim at investigating how the specific imaginary of conquering space via technologies of rocketry has been stable for many decades in the American context and how this set of technologies is tied to a “subjective self-understanding [of] a shared social and moral order” (ibid.). A sociotechnical imaginary is often tied to a single country, 2 I want and need to remark, that, in the following, I will always speak of the American presidents in the male form. That is simply because, although statistically highly unlikely, until now all presidents of the United States of America have been male. Owing Christopher Columbus a Mission to Mars - 12 - though it does not have to be, as some imaginaries are considered to have impact even on a global scale. Felt, however, points out the “central role technological choice can play in the formation of national identities” (Felt, 2015, p. 103), and following that line, my focus lies solely on the United States of America. My main research question hence reads: “How did US presidents in talks introducing new space policies contribute to the construction of the sociotechnical imaginary of ‘conquering space’?” While sociotechnical imaginaries are my main conceptual lens, I also draw upon other resources provided by different realms, among them American studies, enriched with aspects of cultural studies and nation making, and even some glimpses into popular culture. Finally, the lens of American studies also served me as a proper jacking point to the field of postcolonial studies. This diverse theoretical foundation allowed me to problematise the talk’s narrative constructions and their sociotechnical, sociocultural, and sociopolitical implications, pondering what the sociotechnical imaginary of conquering space is laden with in the American context. What I will hence show in the following chapters, is how the talks in a very consistent manner used very similar narrative strategies to make sense of the risky and expensive effort of (manned) spaceflight. Although spanning over fifty years, the five talks I was able to meaningfully include in the study, provide a textbook example of the evocation of an imagined community (see Anderson, 2006, and chapter 4.2.). This imagined, homogeneous community of Americans is ascribed with certain values and traits, most of them being dictated by the centuries-old tenet of an American exceptionalism (see chapter 2.5.). In the talks, this characterisation gains plausibility through the strong inclusion of historical accounts, which strive to invoke cultural continuity in order to make the culture and its supposed traits explainable and traceable in space and time. National mythology, I found, aids greatly in grounding identity as well as desired futures. Thus, the sociotechnical imaginary of conquering space is drenched in Americanism, the ‘desirable future’ that is promoted is one of historically justified national domination and logical international hierarchy. I worked on revealing the needed messy process of remembering, assessing the status quo, and envisioning what ideas are best to follow - thought work, that is influenced by diverse past, current and imagined future individuals, collectives, and circumstances in science, technology, society and politics. Figure 1: Astronaut Mark C. Lee during an extravehicular activity in 1994. NASA, 2009. Owing Christopher Columbus a Mission to Mars - 13 - As hinted at, in general, this is a study that locates itself within the field of science, technology and society (STS), a field that enables one - just not to say makes one - to conduct interdisciplinary studies. Hence, some things lie out of the scope of this study. Most importantly, … I will not go much into reasonings of, in general, how sensible spaceflight and especially explorative spaceflight was, is, and will be in the future. I will also avoid any (automatically personal) assessment of specific missions or activities of any actor, both within NASA and the government. … I will not assess the value, reasonableness and historical validity of any (American) myth or narrative taken up in the speeches. This study is exclusively about finding out how they are used in presidential speeches in American spaceflight and why so. … I will not study the general public perception and societal uptake of the speeches that I will analyse, or ‘the’ public take on spaceflight. This study is almost exclusively about the talks themselves and not about what reactions they provoked in the long run. Nonetheless, I believe this study to matter for several scientific fields, yet specifically to the field of science, technology and society (STS) in which literature on spaceflight is existent, yet barely abundant. Additionally, it rather focuses on technologies in spaceflight than conceiving of spaceflight as technology, or “super technology’ (see Kay, 1994). In the social studies, there are studies on probes and robots in space, on spaceflight catastrophes, and some about historical analyses. It is examined ‘How to See like a Rover’ (Vertesi, 2015), yet questions of its sociocultural backing are often left unanswered. When it comes to contemplating the general Whys and societal Hows of spaceflight coming about, scholarly contributions tend to stem exclusively from the natural and engineering sciences. I set out to tackle these questions from the point of social sciences. I want to find out not how American spaceflight is done, but how it is thought and imagined. In the end, thus, I want to show that a lot more than plain construction and natural work has to happen before rockets leave our thin, thin atmosphere. Spaceflight is just as interesting from a sociocultural point of view as it is from a sober technological perspective. 2. State of the Art The state of the art will now introduce the central bodies of work that I aim to contribute to with my study. The materials section (chapter 5) contains an extensive part on the roles each president played for spaceflight. That part may be considered as an actual part of the state of the art as well. However, since I directly draw my empirical material from this historical perspective, it was more reasonable to include the historical context of spaceflight in the materials section. Owing Christopher Columbus a Mission to Mars - 14 - 2.1. Nations and Cultures of Technology “Society is unity in diversity.” George Herbert Mead (1863-1931), philosopher, sociologist and psychologist Many scholars in the science and technology studies have engaged with the complex entanglements of what we take to be culture, nature, society, and the role science and technology play in (continuously re-)defining it. In general, the concept of co-construction or co-production is shared by many scholars. It claims that eventually all these rather blurry concepts mutually shape each other instead of one shaping, or even controlling, another (see for instance Jasanoff, 2004, or Epstein, 2008). Science shapes society just as society shapes science, producing what is, and hence the technology that is part of our reality. Understanding this conceptual premise coined by Jasanoff (2004) and Jasanoff and Kim (2015, see also chapter 4.1.) constitutes a crucial context of the rest of this section, which will now explore some aspects of the mutual co-production of science, technology, cultures, and nations (all being closely tied to the sensitising concepts, see sections 4.1. and 4.2.). The Oxford Online Dictionary defines ‘nation’ as the following: “A large body of people united by common descent, history, culture, or language, inhabiting a particular state or territory” (“Nation”, 2019). Anderson (2006) speaks of the “contingency and ineluctability of our particular genetic heritage” (2006, p. 10), which can be understood not only in a biological, but also in a cultural sense; part of it being for example our mother-tongue. We ‘inherit’ it, barely being able to change it. Hence, a connection does not exist because you carry the same passport around with you, but it is because you share some rather unmeasurable, invisible things - a culture. Although, what seems logical on first glance then reveals a paradox: How ‘common’ can people’s attributes be, when we speak of a ‘large body’ of people? How much ‘unity’ can be at hand, when there are millions of individuals? The larger this body gets, inherently, the more diverse the population becomes, and today there are two nations inhabited by more than one billion people, and a few with hundreds of millions of people. And still, if you meet a fellow countryman or -woman in some far away country, you will probably feel some kind of indistinct connection, knowing, that you share at least some things with one another. A major source for me is one presented by Šabanović (2014). In her study on ‘social’ robots, she examined how actors working within social robotics would constantly invoke a specific notion of what ought to be a specific and distinct Japanese culture. Generally, Šabanović states that the scientists she worked with situated their work within a ‘local cultural frame’, with the goal to render the newly developed social robots native to this constantly constructed cultural frame. Referring to Caporael (1997) she calls this the ‘repeated assembly of a cultural model’, a term I will continue using for exactly those processes of actively constructing and demarcating a specific culture and by that reasoning and justifying certain activities, as for instance capabilities in specific scientific/technological realms. This reassembly is being done by different means. Generally, actors will need to define a certain reference, Owing Christopher Columbus a Mission to Mars - 15 - that is, they assemble the very cultural model by “specifically relating the applications and int eractive capabilities of [a technology] to practices, beliefs, and social norms they consider to be culturally normative”, and thereby “repeatedly assemble cultural models of [...] technology’s role in society” (Šabanović, 2014, p. 345). However, these models may differ from actor to actor. Šabanović explains, that the local cultural frames do not stay stable over time but are rather mutative and fluid than absolute and definite perceptions of a culture situated in space and time. Although similar cultural sources may be drawn from during different assemblies, the overall process is recursive, thus enabling models to “dynamically change and adapt to fit contemporary circumstances” (ibid, p. 346). Another pivotal attribute of such a cultural model is that of ‘cultural continuity’, an inner logic of the model that ensures a certain trajectory, a direction in which the culture is developing and has, seemingly, always developed into. Šabanović speaks of the attempt to create a feeling that things will have been, enabling actors to “create a cultural logic supportive of current sociotechnical developments” (Šabanović, 2014, p. 344), which effectively act as an “interpretive filter, through which the world is meaningfully perceived and can be acted upon” (ibid., p. 345). To give this continuity and inner logic to a cultural mode, it needs to be filled with content that has to be reconstructed or created by, for instance, scientists or politicians. Šabanović observed how people would “incorporate and adapt traditional themes and cultural values into advancements in robotic technology”, so that they, in their stories and argumentations, could “provide epistemological grounding and social justification for robotics” (ibid., p. 359). This observation again suggests that scientists, and thus all other actors constructing cultural models, are very much situated in terms of history, geography, culture, and the social. This situatedness itself can at times be very useful for actors in rendering their opinions and work use- and even rightful. Through careful acts of situating specific technologies or technological developments, actors are very much able to explain and stress the social as well as scientific importance of the work they do. Hereby, science and technology, often perceived as separate from culture and society, become part of an argumentation that includes both; the human and the non-human. Specific scientific progress and societal support are both constructed rightful as the science/technology is made fit into the local cultural frame (Šabanović, 2014, p. 395). Thus, it is through these performances that artifacts or sets of technologies become cultural performers themselves, and hence also both, reason and evidence, origin and materialisation, of a specific set of values constructed as ‘true’ and ‘original’ to the very culture they are produced and or developed in. This section has shown that people, especially those equipped with a certain authority and concomitant decisive power, may assemble cultural models through means of creating a narrative of cultural continuity that logically results in certain technological developments. The models do their work by providing interpretive filters and creating as well as situating knowledge. The models crafted are then presented among others in public and persuasive moments. Owing Christopher Columbus a Mission to Mars - 16 - 2.2. Spaceflight and Pop Culture “This is Ground Control to Major Tom You've really made the grade And the papers want to know whose shirts you wear Now it's time to leave the capsule if you dare” - David Bowie in Space Oddity (1969) Spaceflight has found its way into many different cultural spheres. However, I here want to explore some aspects of spaceflight’s role in (specifically Western and US American) pop culture. When Jasanoff claimed that "[t]echnological innovation often follows on the heels of science fiction” (2015a, p. 1), they were among others in fact writing about spaceflight. They noticed how popular writers like H.G. Wells, Fred Wilcox, and Fred Hoyle had been writing about interplanetary traveling decades before the first human had even touched the Earth’s moon, let alone other planets. Consequently, they find that “[n]ational sociotechnical imaginaries may permeate into popular culture, finding expression in the mass media and in nonofficial genres” (ibid., p. 27). Today, spaceflight still is an inherent part of science fiction and the wider pop culture. Yet, as implied, spaceflight is not only a part of it, but it arguably came into existence only through science fiction and pop culture. Almost a century ago, in the 1920s and 1930s, people rather located spaceflight and rocketry purely within the realm of science fiction than in actual science, so that “rocket science became conflated with pure kitsch” (Smith, 2014, p. 328). But as Kirby shows, rocket scientists from all over the world would not refrain from their work in (successfully) advancing their research, even if this urged them to make popular movies a means to promote rocketry (see Kirby, 2010, but also Smith, 2014, p. 229). Eventually, “[t]he rocket ship became the ultimate iconic symbol of 1950s science fiction, the moment of its blast-off encapsulating the ideals of the Space Age and providing a suitably melodramatic climax for ‘cosmic breakout’ stories” (Stableford, 2006, p. 447). And, still 70 years later, “who now can imagine outer space without some reference to science fiction?” (Redfield, 2002, p. 812). As the fictional stories somehow sparked real spaceflight, real spaceflight in turn kept and keeps sparking inspiration for ever new fictional stories, which perhaps becomes most notable in, again, pop culture. From the time on spaceflight became ‘real’, countless songs and movies were released that revolved around spaceflight. In 1964, even before the first moon landing Frank Sinatra asked to Fly Me to the Moon. In 1972, Elton John was a Rocket Man and seven years later, The Police was Walking on the Moon. In 2010 then, the Stone Temple Pilots for example sang of the First Kiss on Mars. Additionally, movies like 2001: A Space Odyssey, Apollo 13 or rather recent works like Gravity and Interstellar, are movies about (manned) spaceflight, becoming screened around the globe. Only months before this thesis was finished, the bibliographical drama First Man came into the theatres, telling the story of Neil Armstrong’s personal way to the moon. Moreover, these movies have not only been major box office successes. Just the first four exemplary movies received 26 Oscar nominations, winning Owing Christopher Columbus a Mission to Mars - 17 - eleven of them. What is not to be taken as a sign of definite cinematic quality, it vividly shows how these stories and popular imaginations about space, spaceflight, and astronauts that they transport, have made it into the general cultural consciousness. Today, it is not at all uncommon for spaceflight to actually be consumed by large parts of society in diverting kinds of ways. Furthermore, even actual, non-fictitious spaceflight is increasingly becoming part of pop culture. In 2015, for instance, astronaut James Hadfield sang David Bowie’s Space Oddity on the ISS; the ‘first music video filmed in space’ rapidly spread in Social Media (Rare Earth, 2013). 2018 held another peak in the marriage of spaceflight and pop culture, when private spaceflight company SpaceX launched a heavy weight rocket into space for a test flight, carrying an electric car with an astronaut dummy in it. The car’s radio was playing David Bowie’s Space Oddity in endless loop, the livestream and video of it became viral, too (SpaceX, 2018a and SpaceX, 2018b). But there is something particularly curious in the cultural representation of space travellers. Especially the movies share something that I want to go shortly into, as it is the one thing that this section eventually is all about. In its pop cultural uptake, the astronaut as such tends to always be the hero. Often, they are specifically American heroes (see image 1). Space is the ultimate arena to express untold courage. At the same time, most of today’s spacemen and -women are scientists, just as most in popular movies like the aforementioned. Yet, as implied, it gets interesting when taking a closer look at how these scientists are framed. Often, in film producers “invest the evil of science in the personality of the scientist” (Toumey, 1992, p. 411). Very rarely does this happen with spacefaring protagonists. They only seldom fall into the category of the “Mad Scientist”. In addition, the movies’ narratives also are not very often “a way of shouting ‘Beware of Science!’” (ibid., p. 412), as it is the case for some other fields of science, especially artificial intelligence (see Fisher, 2002). Space seems to be a place for brave heroes, not genius villains. The lyrics I started this section with thus has two interesting layers; on the one hand, it points at astronauts being public figures for eventually just doing their job (“And the papers want to know whose shirts you wear”). On the other hand, and funnily enough, the same subtle critique of heroisation of public figures takes place in a song that ranked high in international music charts, hence taking part in that very heroisation, hence confirming it. Owing Christopher Columbus a Mission to Mars - 18 - Figure 2: Final scene of the movie Interstellar. A colony is founded, with the American flag blowing in the wind. Nolan & Thomas/Obst, 2014. Why is all this interesting for my study? First, it shows how spaceflight regularly gets not only recognised, but actively represented in, and for, what may be termed the ‘public’. Now, Jasanoff famously wrote that “the ways in which we know and represent the world (both nature and society) are inseparable from the ways in which we chose to live in” (2004, p. 2). Spaceflight as a set of “Super Technologies” (Kay, 1994) seems to be represented in a specific way, differently than other large technological systems; namely as a space and place for heroes. That framing may directly feed into the construction of what I am primarily concerned with, namely the sociotechnical imaginary of conquering space. Furthermore, I am interested in looking if, and particularly how, presidents contribute to and make use of the heroisation of astronauts and glorification of spaceflight in their speeches. 2.3. Spaceflight as Cultural Performer “For one priceless moment in the whole history of man, all the people on this Earth are truly one.” Richard Nixon, 37th president of the US on the 1969 moon landing In the previous section, I have briefly explored spaceflight’s value for pop culture. Yet, spaceflight is far more than a resource for pop culture. Often, particularly spaceflight is perceived as great collective endeavour, and referring to it becomes a means to experience this collective or community (see Anderson, 2006, section 4.2.). Although in the end, spaceflight still is ‘just’ another Owing Christopher Columbus a Mission to Mars - 19 - technoscientific complex, the collective experience and attachment is much more apparent in spaceflight than it is for example for genetic research or oil production. Especially during the Space Race (see also chapter 2.4. and 5), spaceflight did not only inspire the arts (see chapter above), but it also was an immensely personal, political and emotional matter, and a way of national identity making, too. Launching rockets was a means to prove that identity, and at the same time demarcating it from other cultures and their (inferior) values (see chapter 2.5.1.). For the United States, winning the Space Race to the moon was not simply about some astronauts reaching the moon, but it was much more about the US as a collective, a determined community, to win over the supposedly evil and hostile collective of ‘the’ Russians (see McCurdy, 2011, p. 61ff, and Anderson, 2006). “We have vowed that we shall not see [space] governed by a hostile flag of conquest, but by a banner of freedom and peace” declared President John F. Kennedy in 1961 when he publicly promoted Americas undertakings for a manned journey to the moon (see section 7.1). In the end nothing more than technological capabilities of those involved in it, spaceflight was nevertheless a national and hence cultural statement, and particularly in the 1960s but also in the time after “[s]pace technology was to become the vehicle for national and international prestige” (Vaughan, 1996, p. 18). It sure was not the only, but one important resource to perceive the country and its culture to be on the right and righteous path. Additionally, through having a very limited number of human representatives, spaceflight was an endeavour that people could identify with very easily (see Hersch, 2012); Mindell for example described the astronauts of the Mercury programme as “walking embodiments of American individualism, military might, and middle-class values” (2009, p. 68). And still today, as Mahler states, “[i]mages of shuttle launches and earthrise over the rim of the moon are iconic representations of American strength, technological capacity, and the future of humankind” (Mahler, 2016, p. 711). It is thus not particularly surprising for NASA to publish papers like the one that is entitled “Seeking a Human Spaceflight Program Worthy of a Great Nation” (Review of U.S. Human Spaceflight Plans Committee/NASA, 2009). Spaceflight is one indicator for the perceived technological dominance and a deducted cultural superiority. The national, or cultural, collective that is evoked through spaceflight perhaps becomes even more tangible in moments of crisis. NASA has lost two space shuttles, Challenger in 1986, Columbia in 2003, and each time seven astronauts lost their lives. But especially the Challenger disaster has stayed in the American collective, also, but not exclusively, because the first civilian, a teacher, who was supposed to travel into space on the Challenger. This circumstance is said to have given the mission a “special aura” (Vaughan, 1996, p. 1). “Collectively, the country grieved” (ibid., p. XI), when the shuttle disintegrated only 73 seconds after the launch. In the aftermath president Ronald Reagan even postponed the annual State of the Union address due to the accident. He started off the address one week after the intended date, which should have been the evening of the Challenger launch, with an emotional remark regarding Challenger, again strongly conceptualising astronauts as general national heroes: Owing Christopher Columbus a Mission to Mars - 20 - “We pause together to mourn and honor the valor of our seven Challenger heroes. And I hope that we are now ready to do what they would want us to do: Go forward, America, and reach for the stars. We will never forget those brave seven, but we shall go forward.” (ReaganFoundation, 2009) Next to the image of the fallen heroes, he also called on a national theme. The death of seven astronauts is rendered not only a disaster for NASA, or for the US government, but it is actively transformed into a national disaster. This transformation began already on the day the Challenger exploded: “This is truly a national loss” (Garber/NASA History Office, 2004, my emphasis) said Reagan live on television on the day that the Challenger disintegrated. Since a regular teacher was supposed to travel into space, the mission was supposed to become “a major statement about the reliability of space travel and the achievement of the administration (and the country) responsible” (Vaughan, 1996, p. 12), or in other words, an embodiment of American cultural strength. As politics are done by human beings, the varying cultural value was also something that affected the daily work of politicians involved in spaceflight - including American presidents. One of his former consultants recalled how Nixon convinced him of a new space policy by persuading him on a walk in nature that space “was something that could change the whole way that we lived, change our nation. He convinced me” (Logsdon, 1998). Section 2.4. will now go deeper into how, driven by its cultural value, spaceflight could turn not only turn into a political issue, but into an explicit political instrument. 2.4. Spaceflight as Political Instrument “Outer space, including the moon and other celestial bodies, is not subject to national appropriation by claim of sovereignty, by means of use or occupation, or by any other means.” Outer Space Treaty, Article II In the previous chapter, I laid out how spaceflight over the years developed into a cultural resource for inspiration and the building of - often even national - identities, or as Šabanović (2014) termed it, cultural models. Spaceflight’s inherent cultural value, created over the decades through careful work by a variety of public and political institutions/actors, contributes a considerable political relevance to spaceflight and automatically renders spaceflight a political issue. Of course, these relations are reciprocal; cultural interest may emerge from political issues, just as cultural issues emerge from political interests). This relevance has such a big potential that I will in fact conceive of spaceflight as an elaborate and strategically employed political instrument. This section thus aims to provide context for and to highlight the relevance of the material that I will analyse, by examining how rockets and stations in space were and are used to do politics down on earth. Owing Christopher Columbus a Mission to Mars - 21 - Probably the most notable and vivid circumstance of spaceflight being turned into a more or less pure political issue was the so-called Space Race between the US and the Soviet Union during the Cold War. Many central breakthroughs and developments in spaceflight still stem from that time – from the first rocket, to the first animal and human in space, the first human on the moon and the first reusable spacecraft, the US built Space Shuttle. The latter would eventually stay in use until 2011, some 20 years after the Cold War was finally ended. However, such breakthroughs cost an enormous amount of money. One historical account from a pivotal time in spaceflight might point out how spaceflight had become not only a culturally driven but also a politically relevant and emotionally laden endeavour. Against the backdrop of the ‘Sputnik Crisis’ and the Soviet’s success of sending Yuri Gagarin into space, in the 1960s a congressman asked NASA engineers in a congressional hearing regarding the feasibility of a manned flight to the Earth’s moon: “I would like to make it clear for the record that I personally—and I am not a technical man, I am speaking just as a Congressman, trying to do what I can for the country—that I would favor any such program, regardless of the cost, that would put us definitely in the race to reach the Moon first” (as cited in Seamans Jr., 2007, p. 16). Yet, obviously, having in mind mentioned ‘Sputnik Crisis’ he was asking the question not solely for himself, but at least to a certain extent also on behalf of many other American citizens. President Kennedy, too, had the same simple initial position. Asking his Vice president and advisors to assess a moonshot’s feasibility, in the end he was the one to decide if it was at all a sensible thing to do (more on the procedures of the president and his advisory entities in chapter 5). As the congressional question implies, the most central point at that time was not to simply reach the moon, but to reach it first. Eventually, a committee reporting directly to president Kennedy in 1961 stated, that “a crash program aimed at placing a man into an orbit at the earliest possible time cannot be justified solely on scientific or technological grounds” (as cited in McCurdy, 2011, p. 65). In a 1961 memorandum to then president John F. Kennedy, Kennedy’s Vice president Lyndon B. Johnson came to similar conclusion regarding the actual use of what would eventually become project Apollo: “Major successes, such as orbiting a man as the Soviets have just done, lend national prestige even though the scientific, commercial or military value of the undertaking may by ordinary standards be marginal or economically unjustified.” (US Gov., 1961, p. 8) Thus, the justification of American spaceflight was from its early days driven by primarily rather emotional factors. Its meaningfulness, following Johnson’s memorandum, was best measured by ‘extraordinary’ standards. It was not (primarily) hard scientific facts, technological breakthroughs or financial gain to be generated after the investment, but primarily soft factors like prestige that were able to drive the necessary efforts. Politicians realised the symbolic political potential inherent to spaceflight thanks to its cultural potential and perception. Especially during the Cold War, spaceflight was a political Owing Christopher Columbus a Mission to Mars - 22 - muscle flexing, laden with cultural expectations as well as national hopes and dreams. However, it was primarily a means to exert and demonstrate technological or scientific abilities, and thus power, dominance, and national superiority. Figure 3: Parade for and with the Apollo 11 crewmen after their trip to the moon. NASA, 1969. Nevertheless, one should also acknowledge how spaceflight was just as well used for political approximation, even during the Cold War. For a few days a Soviet and an American vehicle in space were docked together, and even though the crews conducted some experiments together, “[t]his was above all a political statement, a concrete manifestation of the new climate of détente“ (Krige, Long Callahan & Maharaj, 2013, p. 14). However, when the Cold War came to an end, spaceflight was also affected by the globally changing political conditions. McCurdy registered that “[w]hen the Cold War ended, so did much of the rationale for the ambitious program of lunar and planetary exploration that fear had motivated” (McCurdy, 2011, p. 61), making clear the interdependence of national politics and spaceflight activities. Although there had indeed been some cooperation before, in particular the ISS shows how cooperation gained some new momentum in the 1990s and 2000s. Once again, spaceflight did two things at the same time; it reflected the current political climate, as well as it embodied political developments. The ISS vividly reveals that, as it is a perfect alternative programme as to how and with what intentions spaceflight was used in the Cold War. Eventually having cost well over 100 billion US$, it may be seen as an attempt and a symbol to lessen international competitiveness and foster cooperation in space, but also on earth. Owing Christopher Columbus a Mission to Mars - 23 - This chapter aimed at sensitising one to the idea of spaceflight as a political instrument. It can indeed only be one instrument in the ‘orchestra’ of national politics, yet it has the potential to fill a quite considerable role in it. This is yet another insight that adds to the construction of research questions with sufficient depth and will be further worked on in the material section, where I will put individual presidents into relation with spaceflight affairs. 2.5. Of Being Singular and Superior: American Exceptionalism “Nothing in the history of American nationalism is more impressive than the speed and the lavishness with which Americans provided themselves with a usable past: history, legends, symbols, paintings, sculpture, monuments, shrines, holy days, ballads, patriotic songs, heroes, and – with some difficulty – villains.” Commager, 1967, p. 13. The own history is very much necessary in order to embody an identity, and thus matters greatly in creating and shaping one’s own future. A nation’s self-supply of an own history happens at various sites, and certainly, the state’s political arena is one of them. Now, history is not exactly a neutral passing on of facts, and especially one’s own history is always actively created, constructed, at times creatively composed, and it is no different with the history of an entire nation. “[V]ibrant societies share common narratives of who they are, where they have come from, and where they are headed” (Jasanoff, 2015a, p. 6), and over the years narratives using historical events and explaining developments may turn into great and widely shared (national) myths. Paul (2014) identified and analysed seven central American myths all of which feed into and are fed on one central aspect of US American self-conceptualisation: American exceptionalism, the “idea that America is a singular, superior, or even God-favored nation within the international system” (Gilmore, Sheets and Rowling, 2016, p. 506), a master narrative by nature (see Jasanoff, 2015a, p. 20). French scholar Alexis de Tocqueville using the adjective “exceptional” in the 1830s when describing the American democracy is often seen as the foundational moment of what American exceptionalism is today. Back then it was a mere description, of the young countries political system, to be precise. And even though this mere description stemmed from a non-American, over time it developed into a shared self-understanding of the entire nation, invoking uniqueness and inherent predestination. Rapidly, the term had become the general mode of self-representation, that it still is. Gilmore (2014) states it to have three central themes. First, that the US is a singular exception among all countries, in virtually any given context. This specific idea still stems from the founding days of the US, when it became independent, allegedly starting from scratch, and was from that point on supposedly qualitatively different from any other country. Second theme is that of being superior, including the implication that all other countries are inferior to the US, again more or less regardless of the context at hand. Third, is the partly religiously driven theme that the US is destined by nature, chosen (by a divine Owing Christopher Columbus a Mission to Mars - 24 - entity) to play a special role in the international community of states. However, American exceptionalism is not just some spiritual idea, floating above, detached from everyday life. Instead, it gets practically applied in many situations, it serves as a shared mental point of departure, as common denominator of who one is and what one therefore ought to do as an American. Being exceptional as a nation by nature ideologically guides and plausibly steers matters, both private and public, individual and collective. "In its dominant and recurring themes as well as in its overall rhetorical structure, American exceptionalism informs and structures American self-representations”, carefully building up a “framework of national solidarity and belonging” (Paul, 2014, p. 17). However, American exceptionalism itself is in fact rather intangible, being described as a “fuzzy conglomerate of very different ingredients” (Paul, 2014, p. 15). Yet, keeping in mind the three overarching themes I mentioned above, Paul identified three different types of Exceptionalism that may be studied separately from each other: a religious exceptionalism, a political exceptionalism, and an economic exceptionalism. Of those three, the study at hand will be exclusively concerned with the political exceptionalism, later analysing aspects of its “narrative framing, iconic visualization, and ritualistic enactment” (Paul, 2014, p. 16) in the context of presidential activities in American spaceflight. A number of scholars have shown how major speeches of American presidents regularly become a site where American exceptionalism becomes nourished and institutionally reproduced. The imagination of the US being exceptional and greater than other countries by nature has been around for over one century, as for example already the third US American president, Thomas Jefferson, described the still rather young US to be “the world's best hope” (as cited in Gilmore, Sheets and Rowling, 2016, p. 507). Ideas of this kind, the scholars found, are often used in US-political contexts, but precisely become apparent in addresses and communication from the presidents of the United States (ibid., as well as Gilmore, 2014, and Neumann & Coe, 2012). “American exceptionalism has become an increasingly powerful and relevant concept in presidential speeches to the American public since the end of the Cold War” (Gilmore, Sheets and Rowling, 2016, p. 516). This circumstance has led to a small, but still existent discourse about the different usage of US exceptionalist ideas by the US presidents over time (see among others Gilmore, Sheets and Rowling, 2016 and Monten, 2005). Gilmore eventually concluded “that U.S. presidents are well aware of the power involved in invoking American exceptionalism and they are creative in how they choose to invoke it” (2014, p. 2431). As will become obvious later on, this study will also add to this existing body of literature investigating the relationship between American exceptionalism and practical political work of American presidents. Owing Christopher Columbus a Mission to Mars - 25 - 2.5.1. Exceptionalisms Building Blocks: American Myths “A tale is born from an image, and the image extends and creates a network of meanings that are always equivocal.” Italo Calvino (1923-1985), author and journalist The underlying exceptionalist idea about the US affects what and how parts of national history are getting re-told, re-presented and hence incorporated in the nation’s composition of its own history. To make them valuable, credible and flexible in discursive arrangements, notions as strong as that of a nation being singular and superior require certain historical grounding, that is provided by ‘historical figures, incidents, interactions, and achievements’, which out of the many possible choices have to be selected very carefully. In the case of US American exceptionalism, in applied form some of these narratives are described by Paul as “The Myths that Made America” (2014, her book of the same title). Myths are powerful, not only, but particularly because they work as “means of providing coherence” (Paul, 2014, p. 27). They, ‘objectivate’ developments or events, letting them appear as inherently logical, they may provide a sense of purpose to in fact mind-boggingly causeless happenings, making them more seamlessly fit into a ‘usable past’, as Commager termed it (see above). These attributes render myths a key component of national or cultural, yet in any case collective, memory, and an important ontological resource to give individuals a feeling of belonging to a certain, distinctive collective with a shared, logical past (see also ‘imagined communities’, chapter 4.2. and Stewart, 2007, p. 2). This is true even though different myths shared by one collective may not be able to stand a closer historical analysis and, can even contradict one another, while at the same time becoming somewhat immune to criticism. Schueller and Watts (2003), for example, point out the rather chaotic and messy founding process of the United States, starkly opposing the inner telos and comprehensible trajectory that today’s common mythic narratives ascribe the process with. At this point though, I want to note that the aim of this study is not about pointing out contradictions and historical misconceptions, but much more to examine th e usage of such myths in political work in the realm of American spaceflight and to unpack some of the more tacit dimensions of myths “regulat[ing] the ‘political unconscious’” (Paul, 2014, p. 31). I have mentioned Paul’s seven ‘Myths that made America’, and I want to very briefly go into two of them; the myth that developed around Christopher Columbus and that of the American West. Both will be of relevance later on in the analysis. The myth around Columbus is a central one in the American consciousness, regardless of Columbus’ discovery of the Americas being centuries before the US declaration of independence, and Columbus himself never having set a foot on later US territory. When the relatively young US began to construct a national identity also through means of constructing a common history to refer to, Columbus was a useful figure to be incorporated. The myth itself became centered around the term and the general idea of the ‘discovery’, as Columbus became “a patron and ancestor of those Americans who were Owing Christopher Columbus a Mission to Mars - 26 - demanding their independence from England and who later became citizens of the new republic” (Paul, 2014, p. 53). Furthermore, when documenting his visits in the 15th and 16th century, “Columbus constructs his subject position as an extension and an expression of the Spanish royal authority” (Paul, 2014, p. 47), not actually grounding authority on anything, but simply assuming it. The first encounter of Europeans and residents of the Caribbean was in his eyes not a process of two cultures becoming acquainted with another, but the logical beginning of the “rightful conquest of the Americas” (ibid., p. 48). Columbus’ “daring, perseverance, and intrepidity were championed as necessary ingredients to the transcontinental endeavour” and he “became the very embodiment of an American pathfinder” (Groseclose, as cited in Paul, 2014, p. 57), a ‘homo americanus’. The narrative of Columbus as heroic adventurer became heavily contested over time, leading to today’s “multiple ‘Columbuses’, both heroic and shameful” (Paul, 2014, p. 76). Yet, the myth of Columbus the great discoverer eventually endured through time, became a cornerstone of American of the American mythology, and stayed in the collective American memory. Until today, October 14 marks the nation-wide annual celebration of Columbus Day. Second myth of interest for this study is that of ‘the West’, in principle concerned with the American expansion westwards roughly beginning in the late 18th century. In this myth, however, the ‘West’ is more than specific place, but rather as a “transformative space [that] has often been considered as a pars pro toto for the nation” (Paul, 2014, p. 312), where from “the discovery, conquest, and settlement of the West [became a] dominant theme of American history” (Slotkin, 2001, 472). More to be seen as a general way of living, moving West in American contexts is often put somewhat synonymous with an almost archaic, and simple, frugal or rural life; farmers and cowboys are among the most used archetypes of characters in the West, idealised as the commendable citizen to their country. Until today, following Paul, the farmer in the US still stands for hard work and dedication, a close and ‘intact’ relationship with nature, and for an indistinct egalitarianism. Since the West “is constructed as a site of individual and collective quests for land and dominance” (Paul, 2014, p. 314), one very central concept or theme of this specific myth is that of the frontier, which is to be broken by Americans, through and because of their inherent Americanness. A central image in American mythology until present day, ‘breaking frontiers’ automatically implies expanding in some way, quickly revealing the West’s close connection to the overarching American expansionalism. Paul recommends distinguishing between two (overlapping) versions of expansionalism within the myth of the West; one focused on actual expansionism, depicting the West as a site of conflict and fight, and one focused on agrarianism, constructing the West as primarily fruitful and peaceful land (the so called ‘virgin land’). Especially the second one tends to appear as increasingly nostalgic and romantic, making of the West a “pastoral idyll, a democratic space, and [...] a land of opportunity” (Paul, 2014, p. 319). Owing Christopher Columbus a Mission to Mars - 27 - Part of this myth around the westward expansion and the term of the frontier is what has become known as manifest destiny. Similar to the term ‘exceptionalism’, it was mentioned first, quite inconspicuously, in a simple 1845 journal column: “The American claim is by right of our manifest destiny to overspread and to possess the whole of the continent which Providence has given us for the development of the great experiment of liberty and federative self government entrusted to us” (O’Sullivan as cited in Paul, 2014, p. 322). From the inconspicuous column, the expression quickly found its way into congressional debates and later into a persistent nation’s consciousness, surpassing its original meaning, after a time idiomatically describing the perceived obligation of the United States to expand over all the Americas (Johannsen, 1997, p. 7ff.). However, within this US American myth, the expansionist also meets challenges, “at the frontier the environment is at first too strong for the man. He must accept the conditions which it furnishes, or perish” (Turner as cited in Paul, p. 324). Thus, the myth does not necessarily claim that expanding does not entail challenges within the new land, but it is just as well a story of possible setbacks, negotiation, and adaption. Failure and resistance rather confirms rather than limits expansionist and exceptionalist thinking. To conclude, American exceptionalism and the narratives or myths that constitute it are deeply intertwined with what may be described as ‘Americanness’, it is an essential part of American culture, American self-understanding, and active self-representation. What I have presented here, however, certainly is just a part of ‘the’ American identity, although a part that is arguably fundamental. I will draw on this with the goal in mind to find out how this part of an identity interplays specifically with the technoscientific developments. Or, differently put, I will show how American exceptionalism is expressed in technoscientific and technopolitical argumentations and decisions, that is, in America’s technopolitical identity. Especially when it comes to the US proclamating its own exceptionality and singularity, we can identify a subtle, yet unambiguous, act of active Othering. Othering is for example defined by Griffith Williams and Korn as “the process by which one group reproduces and reinforces distinctions, dominance, and subordination against those without power” (2017, p. 22). Othering in the context of national states is also very much apparent in (post)colonial ways of thought and structuring, which I will now take a closer look at in the following chapter. Owing Christopher Columbus a Mission to Mars - 28 - 2.6. From Colonialism via Postcolonialism to Neocolonialism “There will never be a really free and enlightened State until the State comes to recognize the individual as a higher and independent power, from which all its own power and authority are derived and treats him accordingly.” Henry David Thoreau in Civic Disobedience In the following section we will take a final step back and throw the spotlight on another, last strand of literature, namely that of (post-)colonialist thinking. Clearly, postcolonialism could not exist without colonialism. Colonialism may most generally be understood as “the conquest and subsequent control of another country, [involving] both the subjugation of that country's native peoples and the administration of its government, economy and produce” (Hiddleston, 2009, p. 2), a process that often becomes accompanied by an elitist, essentialist ideology that stresses the “cultural supremacy” (ibid.) of the colonising nation/culture (note here the resemblance between these notions and that within American mythology). Further disassembling it, Loomba differentiates between ‘administrative’ and ‘settler colonisation’. In ‘administrative colonialism’, only a very limited number of people the colonising party actually physically move into the new colony, which is in these cases almost completely “controlled [only] through a military, administrative and economic apparatus” (Loomba, 2015, p. 23). ‘Settling colonialism’, however, exists in many different forms, and, other than in administrative colonialism, mostly implies considerable movement of people from the colonising population into the colony. People move from one place to another to stay there, even if the place is already inhabited by some other population. Thus, colonialism is not to be confused with imperialism, which is rather a form of state dominance than a state’s undertakings in conquering land. Following Loomba, more exact definitions of colonialism are hardly possible, as especially cases of settler colonialism tend to be highly situated and best described individually. Hiddleston (2009) states postcolonialism to have had its starting days in the 1950s or 1960s, although Loomba only identifies Said’s work Orientalism (1978) with its aim to “re-order the study of colonialism” (see Loomba, 2015, p. 60) as one of the first central works within postcolonialism as an own field. Said grounded his thinking for example also on Foucault’s early work (cf. ibid.). However, postcolonialism always was and still is an ambiguous, hard to define, scholarly tradition. Hiddleston simply calls it a “broad and constantly changing movement, [...] generally [to] be understood as the multiple political, economic, cultural and philosophical responses to colonialism from its inauguration to the present day” (Hiddleston, 2009, p. 1). Fittingly to that rather imprecise definition, Loomba even states it to be so “heterogeneous and diffuse that it is impossible to satisfactorily describe what its study might entail” (2015, p. 5). Further examination of debates about and also within postcolonialism would go far beyond the present study, yet I will still use this general idea of both, colonialism and postcolonialism, as one of the theoretical lenses to apply on the material that I will introduce later. Jazeel (2016, p. 19), however, points out the importance of ‘representations’ for postcolonial ways of thinking. Owing Christopher Columbus a Mission to Mars - 29 - He explains, that on the one hand, postcolonial approaches ask how actors represent something or someone in form of textual presentation. On the other hand, and even more importantly for this study, this lens sensitises one for how ‘representing’ becomes an ex- or implicit act of ‘speaking for’, and eventually acting for, someone, or for another collective. It invokes hierarchy. Other than the term might imply, postcolonialism does not imply that colonialism has been overcome, but rather, that although it should have been overcome by now, and officially is, certain power structures have endured over time. As a consequence, postcolonialism at its very core becomes a way to “tackle questions like whose and which narratives are able to come into representation, and who speaks for those typically occluded from histories still largely written by the powerful” (ibid., p. 19). Eventually, this thinking also lets emerge “a sense that notions of cultural purity and authenticity are themselves but myths” (Jazeel, 2016, p. 18). This understanding links back to specific American mythology, which has very much been about representing and embodying a certain authenticity and purity, making postcolonialist thinking a fitting additional lens to tackle such themes. One can now think of colonialism as historical and conceptual basis, and postcolonialisms goal to primarily acknowledge the narratives of those who have been and still get suppressed. In addition, I want to introduce a last term, namely that of neocolonialism. It is very closely tied to postcolonialism, but has been described as still “lingering ideologies of cultural patronage of the sort that originally backed up and fuelled actual colonial powers” (Hiddleston, 2009, p. 5). Accordingly, former “naked colonialism” (Watts, 2009, p. 360) with its oftentimes unabashed oppression was replaced by rather invisible processes through which old, colonial power structures are still being sustained and reinforced. Conditions of exploitation can hence last, yet often under the protective cloak of freedom and emancipation; what was once exerted by military means, may now be achieved differently, but just as systemically. Namely, following neocolonialism, colonialist structures are carefully maintained on several levels - economic, ideological, political, and cultural (cf. ibid.) - although in this study ideological neocolonialism will be the only aspect I will (and can) examine. Even though Watts (2009) claims neocolonialism to have fallen out of scholarly fashion around the 1980s, I want show that in certain ways, neocolonialist thinking kept being an essential part of political practice from the 1960s until today. Owing Christopher Columbus a Mission to Mars - 30 - But yet, why are these concepts useful in the context of spaceflight in general? Especially the idea of ‘settler colonialism’ is arguably very much applicable in the realm of modern spaceflight. Celestial bodies other than earth (moon, Mars etc.) may be conceived of as potentially colonisable territory. In fact, with the earth-orbiting International Space Station (ISS) and the lonesome American flag planted on the moon, parts of these territories have already been somewhat colonised, although not ‘legally’, but much more ideologically and symbolically. From a post- and also neocolonial perspective, it is worth noting that from its early days through the 21st century, it is only a very limited number of nations/cultures that want to and can pursue this most modern wave of colonialism, as which spaceflight may be conceptualised. This vividly becomes clear as until present day, spaceflight has always been done under the flag of specific nation states, never under a common flag or no flag at all. To quickly summarise this section, notions of all of the three concepts, colonialism, postcolonialism as well as neocolonialism, will be identified in the material, posing questions like how do - if - these concepts become taken up? And how are they connected especially to specific ways of Americanness and American myths? Previously discussed aspects of American Studies and above points about different colonialist ideas will be most interesting to connect and trace in the material. Figure 4: Astronaut Mike Hopkins during an extravehicular activity at the ISS on December 24th 2013, with his US patch clearly visible. NASA, 2013. Owing Christopher Columbus a Mission to Mars - 31 - 3. Research Questions “Simplicity is prerequisite for reliability.” Edsger Dijkstra (1930-2002), software engineer and science essayist Having introduced the theoretical fundament of the thesis, the following will be my main research question: How did US presidents in talks introducing new space policies contribute to the construction of the sociotechnical imaginary of ‘conquering space’? It will be supported by four sub-questions, accompanied by short explanations: a. How is the American nation and culture, a specific ‘Americanness’ conceptualised? As we will see, many sociotechnical imaginaries are tied to nation states. It is hence fruitful to pay close attention to how the nation as reference is being constructed. b. How are specific collectives evoked in the talks? Since I address issues of nations and collective identities, questions of collectives and their construction will aid answering the main question as well. c. What role does technology/spaceflight play in defining the US? The study focuses on the US. In that, I am particularly interested in how (spaceflight) technology is rendered into both reasons and outcomes of the American identity. d. How is the US’ role in the world depicted in the speeches? Finally, I want to put the answers of the other questions into a bigger framework, as I will try to carve out how, through the self-conceptualisations, the US becomes located in global cultural and political contexts. e. Time/Trajectory/Future-Making How are ‘future worlds’ as techniques of future-making composed, and how are trajectories in space and time constructed? I want to find out what kind of world is created in the talks, and in what condition it is. I will explore social and political prerequisites and reasonings for spaceflight, that is technological innovation. Anderson stresses that in common narratives, worlds will have to be described or created in “careful, general detail” (2006, p. 32), starkly resembling what has been pointed out about the characteristics of (national) narratives and especially (national) myths. They as well have to be simplifying and generally yet sufficiently detailed and capturing. My set of research questions aims at understanding how these contradictions are circumnavigated by the American presidents. Owing Christopher Columbus a Mission to Mars - 32 - 4. Sensitising Concepts 4.1. Tech and Time: Sociotechnical Imaginaries “Neither a person nor a nation can exist without some higher idea.” Fyodor Dostoevsky (1821-1881) in A Writer’s Diary Fujimura (2003, p. 176) registers that a central practice researcher in every discipline have to do, is exercising the act of imagining possible futures. This holds true for each and every one of us, too, since we incessantly plan and imagine the upcoming minutes, hours, days, weeks, and even years. Those previsional imaginations, such as humans possibly walking on the face of Mars someday in the future, are thus thought not to be just mere imaginations, but to actually shape what will eventually become reality. My main sensitising concept will be that of the sociotechnical imaginary, coined by scholars Jasanoff and Kim (2009), and commonly defined as “collectively held, institutionally stabilized, and publicly performed visions of desirable futures, animated by shared understandings of forms of social life and social order attainable through, and supportive of, advances in science and technology” (Jasanoff, 2015a, p. 4) 3 . However, this is not about any arbitrary idea about the social and/or technical. Only when an idea is “collective, durable, [and] capable of being performed” (ibid., p. 19), it may be a sociotechnical imaginary. The potential of being performed is always linked to specific collectives, often nation states and are thus deeply situated temporally as well as culturally. Yet, even within a nation state, there never is only one sociotechnical imaginary at hand at a time; different and even contradicting versions of ‘desirable futures’ co-exist, steadily competing and struggling for dominance and eventually technological implementation, that is, performance. Although imaginaries must be ‘collectively held’, power relations are still somewhat asymmetrical. Taking the example of spaceflight, respective imaginaries are not solely ‘produced’ within the White House or the NASA headquarters. Rather are those institutions merely a few of a number of sites where a sociotechnical imaginary gets constantly stabilised over time. Other institutions as well as private individuals support this process of stabilising the imaginary just as well as the government and NASA do. However, some key actors still play a more seminal role in promoting and performing it, which is why Jasanoff acknowledges “legislatures, courts, the media, or other institutions of power to [be able to] elevate some imagined futures above others, according them a dominant position for policy purposes” (Jasanoff, 2015a, p. 4). These actors can, want to, and in a way also need to push their agenda that is driven by their subjective assessment of what is a desirable path to follow in technology based on certain “visions of social progress” (ibid., p. 4). Thus, although necessarily being carried by collectives that are large enough, sociotechnical imaginaries still 3 In the 2009 article, said scholars defined sociotechnical imaginaries as "collectively imagined forms of social life and social order reflected in the design and fulfilment of nation-specific scientific and/or technological projects” (Jasanoff & Kim, 2009, p. 120). While this definition is applicable on my material, too, I will work with the later and more widely accepted 2014 definition. Owing Christopher Columbus a Mission to Mars - 33 - depend on and take shape to some extent through “agents who are capable of moving imaginaries from one sociopolitical setting to another” (ibid., p. 333). This makes clear how sociotechnical imaginaries are not only shaping how technology is perceived and lived by a society, but how “[t]he political and the technological cannot be clearly demarcated in any reasonable manner, technology always being an agent of political production” (Felt, 2015, p. 120). Due to the topic, I am primarily interested in the political fabrication, enactment, and social embedding of such imaginaries. The means of imaginary’s advocates to embed it in society vary widely. Societally important, however, is the aspect of time and history. As Jasanoff finds, especially in public performances, these special agents may be “pointing back at past cultural achievements and ahead to promising and attainable futures, or to futures to be shunned and avoided” (Jasanoff, 2015, p. 22), reminding audiences of “realities of the known, the made, the remembered, and the desired worlds in which we live” (ibid., p. 29). I conceive of politics as one place of the production of (national) imaginaries (see also Hecht, 2009), and, in my case, particularly the American president as one of the central agents to perform and integrate them in society. Hence, I consider the goal of my analysis to “reveal the naturalized logics of functioning, self-contained, and self-replicating social and political systems” (ibid., p. 25). Though, it is not surprising that enforcing a sociotechnical imaginary is not as simple as that. A decisive factor in the unfolding of sociotechnical imaginaries are the respective ‘national technopolitical identities’, for instance “created and maintained through the (non-)uptake of certain technological developments” (Felt, 2015, p. 104). Felt, for example, investigated how the non-uptake of nuclear energy became tied to and fed into a specific kind of Austrianness, explaining that if a society eventually decides for or against a (certain way) of (not) using a new technology, this decision constitutes more than a decision for or against a technology. Taking a closer look, these choices reveal how through imaginations of possible futures with or without the technology, societies define their preferred ways of living. Influenced by some key actors, collectives decide for their individual ‘desirable future’. This in mind, I investigate how coherence with Americanness as constructed and rehearsed in presidential speeches, is expressed through the technological system of spaceflight. But yet, following Hecht, NASA is something that she proposes to call a technopolitical regime, a term she uses for the complex of certain “institutions, the people who run them, their guiding myths and ideologies, the artifacts they produce, and the technopolitics they pursue” (2001, p. 258). And in the end, it is this very regime that has control over whether a sociotechnical imaginary finally becomes a sociotechnical reality. In all that, sociotechnical imaginaries are part of what came to be known as co-production. Very shortly mentioned earlier, co-production proposes that “natural and social orders [are] being produced together” by society, meaning that “co-production is shorthand for the proposition that the ways in which we know and represent the world (both nature and society) are inseparable from the ways in which we choose to live in it” (Jasanoff, 2004, p. 2). Sociotechnical imaginaries are a part of co-production, being “at once Owing Christopher Columbus a Mission to Mars - 34 - products of and instruments of the co-production of science, technology, and society in modernity” (Jasanoff, 2015a, p. 19). Finally, Jasanoff and Kim identify four stages of sociotechnical imaginaries: origins, embedding, resistance, and extension. Origins of sociotechnical imaginaries can vary from single persons to specific collectives. Following Jasanoff, ‘loosely circulating’ ideas or aspirations are taken up by these persons or collectives, and get concreted, substantiated, and perhaps even partly realised. As mentioned above, partial realisation often leads to fictive realisation (‘science fiction’), which may in turn promote developments in reality again. These processes of ideas formerly unknown by the larger population becoming manifest and dreamable are the sociotechnical imaginaries origin. In the second phase, embedding, the technical progress and the ideas behind get embedded in greater social and hence societal contexts, primarily through the actual production of things and “processes of collective ‘remembering’ of events [...] in order to construct meaningful translations from pasts that were, to presents that are, to futures as people would like them to be” (Jasanoff, 2015b, p. 329). This melding and moulding of the conceptual and the material, which also enables an imaginary to become part of governmental practices, is the essence of embedding. Embedding is followed by possible “[m]oments of resistance, which threaten the disintegration of older settlements” (Jasanoff, 2015b, p. 329), when ‘oppositional visions’ are offered, often coming from non-regulatory circles. Fourth, and finally, an imaginary may experience extension, which “calls for a situated re-embedding in order for translated imaginaries to take root and flourish in new soil” (Jasanoff, 2015b, p. 333). In other words, predominantly, governments and international organisations integrate and normalise the imaginary, thereby expanding its range of influence. At this point, however, I shall add that none of what I have compiled until now is to say, that spaceflight is an inherently useful and unquestionable endeavour, neither in science, nor in society. Acknowledging critical voices is also meaningful considering my main sensitising concepts. Anticipating what I will go into more detail in chapter 4.1., I follow Jasanoff in writing that, “[a]scribing a fixed ontological status to sociotechnical imaginaries, however, would rob them of their analytic value” (2015b, p. 339). Reducing it would simplify processes of societal developments and undo any possibility for ‘projection or prediction’ that the concept indeed affords, if conceived of in a flexible way. In other words, imaginaries and the technologies involved are nothing set in stone. Even though achieving the stabilisation of certain ideas over others in society, imaginaries and their expressions may still change and adapt due to internal and/or external influences. Two final remarks for this chapter should be made. First, I consider the talks mainly as means of embedding. I have very briefly mentioned origins of spaceflight and the idea of conquering space before but analysing this was and will be the work of others (see Kirby, 2010, or Neufeld, 2010). As I termed it, the talks ‘meld’ conceptual and material by promoting the production of certain artifacts, Owing Christopher Columbus a Mission to Mars - 35 - informing and, after all, allowing, the moulding of these artifacts, that is rockets. The second remark is tied to that: As is brought up above, a fully fledged sociotechnical imaginary must be ‘collectively held’. However broadly the term ‘collectively’ is, the limitations of this study prevent me from closely examining how, if even, this is the case for ‘conquering space’. I will not be able to confirm the existence and describe a clearly demarcated sociotechnical imaginary with all its facets, but only identify traces of what may be a fully-fledged imaginary. Sociotechnical imaginaries thus will simply be my core conceptual anchor, while viewing presidential speeches as one - indeed fairly relevant - of many sites where my imaginary of concern becomes evoked, rehearsed and hence stabilised. 4.2. Us and Them: Imagined Communities “In truth, history does not belong to us, but rather we to history.” Gadamer as cited by Nenon (1995, p. 44) Sociotechnical imaginaries are often tied to nation states, yet only look specifically at the role of technology in the creation of (potentially national) imaginaries. To work more grounded on the aspect of the nation as such, I will also consider Anderson’s concept of the imagined community, which goes more deeply into sociological aspects of a state’s population as a self-perceived community. He investigated why nations are able to evoke the kind of attachment at all that it does, tackling for instance contradictions between “[t]he 'political' power of nationalisms vs. their philosophical poverty and even incoherence” (2006, p. 5). ‘The nation’ he defines as ‘cultural artifacts’ consisting of “an imagined political community - and imagined as both inherently limited and sovereign” (ibid., p. 6). ‘Imagined’ here is meant in three different respects. First, in the most practical sense; the community itself is only an imagined one, as from a certain size onwards, it becomes increasingly unlikely that all members actually know each other personally. The interpersonal affiliation is thus built on individual imagination. Still, certain attributes make people accepting strangers as member of their community, eventually letting arise communal ‘fraternity’. This may “command such profound emotional legitimacy” (ibid., p. 4), that some people (would) die for the community s/he imagines belonging to. Second, nations are imagined as being limited, because nation states normally do not aim at making every human being to be ‘their’ state’s citizen, to be part of ‘their’ distinct community. This characteristic of nations stands in stark contrast to other communities, such as religions, of which most do not consider themselves as inherently limited. Third, the community’s sovereignty, its felt freedom, is fundamentally imagined, too; in principle, the idea of the state as organisation mostly is to make other institutional restrictions redundant, eventually allowing for actual pluralism. With this community of purpose in mind, somewhat lending plausibility and reason to existence, Anderson notes, “[i]t is the magic of nationalism to turn chance into destiny” (2006, p. 12), with this Owing Christopher Columbus a Mission to Mars - 36 - term perhaps unconsciously building a bridge to the manifest destiny (see chapter 2.5.1.). If this kind of imagination can successfully be achieved, and people draw on the same cultural resources, one can observe a group of people imagining belonging together who “recognize and value that commonality which they regard not as an outcome of certain social facts but as their cause” (Finlayson, p. 273, in Amenta, Nash & Scott, 2012, my emphasis). Anderson called these ‘social facts’ 'natural ties', through which “one senses what one might call 'the beauty of gemeinschaff [sic!]” (Anderson, 2006, p. 143). As oftentimes, there is no choice in this gemeinschaft, it gets rendered as disinterested as family bonds are, and equally worth to invest in. Acting for the purpose of ‘national interest’, Anderson explains, is hence taken to be similarly to helping a family member, as the nationality and its concomitant ‘social facts’ are naturalised. In addition, I shall add that nationalism must not be taken synonymous to racism, as nationalism “thinks in terms of historical destinies”, whereas racism “dreams of eternal contaminations“ (Anderson, 2006, p. 149). In other words, while racism is inherently derogatory respectively valorising people by membership of an unchosen collective (Judaism for instance), nationalism by definition is not about class, but exclusively about belonging to a nation, that does not necessarily have a certain comparable social worth ascribed to it (cf. ibid.). As is the case with sociotechnical imaginaries, the means and ways by which such communities come to be in people’s minds, vary greatly. While drawing specifically on novels, Anderson showed “'national imagination' at work [...] that fuses the world inside the novel with the world outside” (2006, p. 30), a technique that may be connected to sociotechnical imaginaries and myths. Taking a step back, novels are but narratives; creative thought work aiming at conveying something to an audience. So are political speeches; they, too, express something about the ‘outside world’ through the creation of a specific, fabricated ‘inside world’ of the speech, which nourishes national imaginations and identities. Imagined communities will sensitise me towards the role of nation states within the politically driven complex of spaceflight and its idea of conquering space. 5. Material 5.1. Choosing material “While you are experimenting, do not remain content with the surface of things.” Ivan Pavlov (1849-1936), physiologist “[T]he imaginaries framework necessarily invites us to examine the origin of new scientific ideas and the social arrangements or rearrangements they help sustain” (Jasanoff, 2015b, p. 322). Thus, to follow through my idea to work with sociotechnical imaginaries, I will need to start the analysis in the early days of American spaceflight. To follow a stringent logic within the choice of material, I will Owing Christopher Columbus a Mission to Mars - 37 - focus on certain speeches that not only have sufficient relevance but are also comparable well enough in their content and context. The modus operandi of the US government’s collaboration with NASA oftentimes creates moments in which one of those equally relevant and comparable speeches take place: the introduction of a new space policy, for which usually the American president himself takes responsibility. As I will discuss later, (self-)legitimation is a necessary central act in government work (see chapter 6.3.), and “[l]egitimation is principally a statement about a person issuing an instruction, making a demand, or stating or implying a wish“ (Barker, 2001, p. 32). At the same time, not only the new policy itself, but also the talk some presidents have given to introduce the new policy, allows for “moving imaginaries from one sociopolitical setting to another” (Jasanoff, 2015b, p. 333), making the president one seminal ‘translation agent’. It usually occurs after a president is elected and inaugurated, and, next to numerous other things, has the possibility - respectively responsibility - to steer the national spaceflight programme into certain directions. Before actively deciding on what to do, he has to assess and evaluate the current state of affairs, a process that is usually accompanied and supported intensively by several consultants and committees. The Vice President is usually heavily involved, too, as he is “traditionally the administration's representative for space policy” (Vaughan, 1996, p. 14). Nevertheless, depending on necessity and also personal interests and foci, the intensity in which the current programme is being worked on ultimately is open to the president. He can as well just leave the programs keep on running as arranged by his predecessor(s). The process around former president Barack Obama’s policy might serve as a good example here. Inaugurated in January 2009, it was announced in May 2009 that the Constellation program, launched under Obama’s predecessor, George W. Bush, was about to get reviewed rigorously. To this end, the Obama government brought into being the Augustine Commission which consisted of a number of branch experts and former astronauts. Released in October 2009, the commission's final report (Review of U.S. Human Spaceflight Plans Committee/NASA, 2009) assessed the old programme as not sustainable anymore, and, among other things, proposed three options on how to further pursue exploration beyond Low Earth Orbit (LEO). The Obama office, making use of their decisive power in these matters, used this report, yet did not exactly follow one of the three options. Some aspects were changed, as for example Obama initiated manned missions to near-earth asteroids rather than to the moon as Bush planned before. Obama announced his new policy publicly in a talk given in April 2010 (Remarks by the President, 2010). However, Obama’s policy was then again overthrown by Donald Trump in 2017, who renewed the plans to land people on the moon and then on Mars (Remarks by President Trump, 2017). This back and forth, assessing and reassessing, scheduling and rescheduling, has been the usual process for decades now, and my analysis will be concerned with official advent of new US space policies. Owing Christopher Columbus a Mission to Mars - 38 - Although imaginaries are ‘collectively held’ by definition, analysing talks of individuals still goes with the methodological requirements of sociotechnical imaginaries. Jasanoff explained that “individual dreams and aspirations take hold and acquire collective force only when key actors mobilize the resources for making their visions durable” (2015a, p. 25), and in American spaceflight the American president can, with a quite clear conscience, be considered a key actor. Analysing the ‘dreams and aspirations’ put forward in his most central space-related talk turned out to be an indeed rewarding approach. Thus, I will now have to delve into the history of American spaceflight, and, more specifically, the activities regarding spaceflight of American presidents holding office since the foundation of NASA in 1957. During this short historical recapitulation, I will present those talks suitable for my analysis. It may be seen as part or extension of the state of the art, and aims at providing the talk’s/material’s historical contexts. 5.1.1. Dwight D. Eisenhower (1953-1961): Founding Civilian Spaceflight It was president Eisenhower, who, by signing the National Aeronautics and Space Act on July 29th of 1958, eventually brought NASA as we know it today into existence. With this act, he attempted to legally separate between general research in space, and military activities, although both kept having points of contact. Still, Eisenhower’s enthusiasm for spaceflight was limited (see among others McCurdy, 2011, p. 60ff.), as he saw spaceflight from a relatively earth-oriented and pragmatic perspective. In a meeting in the 1950s discussing possible manned missions to the moon, estimating costs around $30 billion, Eisenhower is said to have asked the group “Can anybody tell me what is the best space program for $1 billion?” (as cited in Seamans, 2005, p. 5). Since there could not be identified a central speech or announcement concerning the foundation of NASA or other activities afterwards, Dwight D. Eisenhower cannot be considered in the analysis. 5.1.2. John F. Kennedy (1961-1963): Choosing to Go to the Moon President Kennedy was far more open towards spaceflight activities as his predecessor, for he was the one eventually deciding to found and fund the Apollo programme that lead to the first (and, as for now, last) manned missions to the moon. Yet, it was not primarily his personal interest, but his idea of using spaceflight as political instrument, that lead him to make that decision. This gets very clear in a governmental document from 1961, the year the decision to go to the moon was taken. There, John F. Kennedy asks his Vice President to craft a general report (Webb & McNamara/Johnson, 1961) on the possibilities to operate such a moonshot mission. Next to pointing out technical and financial aspects, the report also went in some details about four principal reasons for projects in space, which are named to be the following: Owing Christopher Columbus a Mission to Mars - 39 - a. scientific knowledge b. commercial or chiefly civilian values c. military value and d. reasons of national prestige. Figure 5: John F. Kennedy during his speech at Rice Stadium, Houston. NASA, 2006. Considering what was discussed before, how spaceflight can and was used as a mere political instrument, Kennedy was the first president who not only acknowledged this, but also proactively made use of it. The report cited here and associated memoranda heavily stressed ‘national prestige’ as an aspect that arguably played a very crucial role in Kennedy deciding to substantially raise NASA’s budgets to send men to the moon in the same decade (McCurdy, 2011, p. 108). This historic decision yet had to be approved by both the American congress and the American people. This is why Kennedy promoted his plans in two talks, one in congress, the other publicly, the second with only minor changes compared with the first. The second talk, which was given in Rice Stadium in Houston, Florida, in early autumn 1961 in front of over 40,000 people, will be the first talk I will consider in the analysis. 5.1.3. Lyndon B. Johnson (1963-1969): The Apollo Years John F. Kennedy was assassinated on November 22nd, 1963, only two years after his inauguration, making Lyndon B. Johnson, Kennedy’s Vice President, his automatic successor. In his tenure as American president, regarding spaceflight, Johnson in principle could just follow through the Owing Christopher Columbus a Mission to Mars - 40 - plans he himself had worked out as John F. Kennedy’s Vice President some years before. In that time, he had already shown his take on spaceflight as (socio)political instrument. Even against the backdrop of the Vietnam war, Johnson kept the budgets for NASA high enough to follow the goal of arriving on the moon still in the 60s. His confidence in spaceflight being able to raise not only national prestige, but also national pride and confidence in America and the government, kept him from making substantial cuts of the budget (see McCurdy, 2011, p 109f.). Nevertheless, Johnson never gave a visionary speech, as it was existing plans that kept being pursued. Hence, he will not be included in the analysis. 5.1.4. Richard Nixon (1969-1974): From Exploration to Reusability Richard Nixon became president elect in November 1968, about a month before the first astronauts orbited the moon and about seven months before Neil Armstrong became the first human to walk on its surface. He was inaugurated in January 1969. Thus, especially after the first successful mission to the moon, it had to be decided what should follow after the Apollo programme, as until then NASA’s entire purpose was to make possible and perform the missions to the moon. For Nixon’s tenure, it might be useful to shortly look into the entanglements of the president and the NASA administrator. Namely, when James Webb resigned as administrator in October 1969 he was succeeded by Thomas Paine, who had only had seven months of Federal government experience at that point. Immediately, Paine announced to ask the Senate to increase budgets anew, among others calling to build a permanent space station. When the republican Nixon was elected a month later, Paine, a democrat, resigned pro forma, as usually the president chooses someone with similar political views for the job of the NASA administrator. Surprisingly, Nixon refused Paine’s resignation, making two quite different characters to work together. Paine, an ambitious, inexperienced idealist, was now confronted with Nixon, who “had never shown much interest in space” (Portree, 2001, p. 41). The following negotiations about NASA’s future were tough and included plans by Paine for manned Mars missions as early as in the late 1970s as well as Nixon giving NASA a budget for the fiscal year 1970 that was still under the ‘minimum acceptable’ of what Paine had proposed. Finally, in March 1970, Richard Nixon gave a ‘Statement About the Future of the United States Space Program’ (President Nixon’s 1972 Announcement on the Space Shuttle, 2009), a public announcement in which he presented his decisions regarding NASA’s post-Apollo era. He effectively cut any expansionist plans Paine had fought for, and instead laid the foundations for the reusable space shuttle, which would ultimately be in use until 2011, and a first space station that could host astronauts for longer periods of time. The programme Nixon announced in the speech clearly stood in stark difference to what Kennedy had announced about a decade before. Portree (2001) states that “[u]nlike Kennedy’s 1961 moon speech, Nixon’s statement was broad and vague, with no specifics about NASA funding” (p. 49). This speech heralded a new era of a clear focus of LEO-research, abandoning Kennedy’s explorative and arguably politically driven approach. As this decision and the associate announcement have had a long-lasting impact on American spaceflight, it will be the second speech that will be part of the analysis. Owing Christopher Columbus a Mission to Mars - 41 - 5.1.5. Gerald Ford (1974-1977): Following Nixon’s Plans Due to public pressure that was put on him in the ‘Watergate-scandal’, Richard Nixon resigned from the presidential office in August 1974, making Gerald Ford becoming the next in line of American presidents. Ford followed through the original tenure of Nixon, and, as the enormous and long-range programme of the Space Shuttle was already introduced by Nixon, did not attempt to add substantial changes to this policy. Hence, he also did not give a speech that would add significantly to this study. 5.1.6. Jimmy Carter (1977-1981): The Shuttle On Its Way Ford regularly ran for president in 1976, yet lost the election to Jimmy Carter. Carter also ‘inherited’ what was initiated by Richard Nixon, that is the development of the Space Shuttle. Even though costs for the programme were bigger than expected, it was still followed through. Regarding possible more explorative plans, Portree finds, that “[i]n short, NASA was too busy working on the Space Shuttle in 1978 to think about Mars” (2001, p. 60) and other explorative missions. In his four years of being president, Carter did in fact pass a new space policy (The White House, 1978), which, however, was not accompanied by a central speech. Additionally, the policy effectively did not change much for explorative spaceflight, as there was a heavy focus on aspects of national defence. This all leads to the study not being able to reasonably include speeches by Jimmy Carter. 5.1.7. Ronald Reagan (1981-1989): Challenger, Two Policies, and No Talk The year that Ronald Reagan was inaugurated also saw the first successfully launched Space Shuttle mission, STS-01. After two more presidencies had occurred in office, the plans that Richard Nixon once made were finally put into practice. Ronald Reagan again implemented his own, new space policy, which yet again did not have too much of a direct impact on the operational business of NASA, as it among some other aspects was the first policy encouraging private companies to invest in spaceflight (see also Kay, 1998). Just like Carter, Reagan, too, did not give a public, lengthy talk on the topic. In January 1986, however, the Challenger disaster occurred, and arguably shook not only NASA, but the entire US and many people around the world, as the Space Shuttle Challenger exploded some 70 seconds after its launch and killed all seven astronauts on board. When four months after the disaster, James C. Fletcher became the new NASA administrator, he commissioned what became known as ‘Ride Report’ (Ride, 1987), as the work on it was chaired by former astronaut Sally Ride. Not only despite, but arguably because of the disaster that happened shortly before, the report proposed a new, and very explorative approach, containing plans to send astronauts to Mars as early as in 2005. This report also played a part in contributing to a second space policy of Reagan’s, put into practice in 1988. Contrary to the 1982 policy, the last of six central goals publicly proposed in a summarising fact sheet was to “expand human presence and activity beyond Earth orbit into the solar system” (NASA, 1990, p. Owing Christopher Columbus a Mission to Mars - 42 - 194). However unfortunately, Reagan did not use talks to endorse any of his policies, automatically excluding him from this study. 5.1.8. George Bush senior (1989-1993): The Space Exploration Initiative One year after Reagan introduced his overworked, second US space policy, he was succeeded by George Bush in 1989. Not coincidentally on the 20th anniversary of the Apollo 11 moon landing and only half a year after his inauguration, in a talk held on the steps of the National Air and Space Museum, he proposed what was given the name Space Exploration Initiative (SEI). It consisted of three central steps: 1. In 1990s: build Space Station Freedom, a permanent station in low earth orbit 2. After 2000: Returning to the moon and establishing a permanent base there 3. About 2020: conduct manned mission to Mars The programme proposed in the speech announced enormous financial and technical effort, marking one of the boldest approaches to US spaceflight that made it further than a conceptual stage. The speech itself, which lasted for about 16 minutes, will be the third speech to be included in the analysis. 5.1.9. Bill Clinton (1993-2001): Cancelling SEI and Building (On) Robots Bill Clinton was inaugurated in January 1993, and it was him and NASA administrator Daniel Goldin who quite immediately cancelled SEI later that year. Goldin introduced the ‘faster, better, cheaper’-mantra to NASA, and, as a part of that, a much more robotics-focused approach to Mars. It took the Clinton office about three years to announce a reworked space policy, which was the case only in 1996 (U.S. National Space Policy, 1996). This policy, in stark contrast to what George Bush had proposed six years before, contained not a single mention of manned spaceflight beyond low earth orbit, but heavily relied on robotic missions. Also, it was not accompanied by a talk such as Kennedy, Nixon, and Bush had delivered one before. Thus, Bill Clinton will also not be part of the analysis. 5.1.10. George W. Bush (2001-2009): Humans to Explore Bill Clinton was succeeded by George W. Bush, the son of Clinton’s predecessor, in 2001. The attacks on the World Trade Center that year have arguably delayed some work on American spaceflight. But it was only against the backdrop of another disaster, the disintegration of the Space Shuttle Columbia in February 2003, that George W. Bush proposed his renewed plans of where American spaceflight should move in the years to come (The White House, 2004). On January 14, eleven months after the Columbia disaster, he was at the NASA headquarters in Washington, D.C., when he announced his Vision for Space Exploration (NASA, 2004). This vision abandoned the foci Clinton had set eight years before, and proposed the following to be the new goals of NASA and American spaceflight: Owing Christopher Columbus a Mission to Mars - 43 - 1. Completing the ISS by 2010. 2. Retire the Space Shuttle by 2010 and replace it with a new system, the ‘Crew Exploration Vehicle’. 3. Returning to the moon by 2015, making it ‘the launching point for missions beyond’. 4. Finally, ‘human missions to Mars and to worlds beyond’, with robotic missions only as ‘trailblazers’. The speech lasted for about 18 minutes will be the fourth object of interest for my analysis. It eventually led NASA to implement their manned spaceflight programme Constellation. 5.1.11. Barack Obama (2009-2017): Abandon Constellation, Aiming for Asteroids Inaugurated in January 2009, the same year in April Obama announced to review aforementioned programme Constellation. This review was conducted by the Review of United States Human Space Flight Plans Committee, Augustine Commission in short, which published their report in October 2009 (Review of the Human Spaceflight Plans Committee/NASA, 2009). In April 2010, the Obama office had finally worked out their new policy which was announced in a major speech given at the Kennedy Space Center and lasted for about 25 minutes. As already mentioned in the introduction of this section, with his new policy Obama again overthrew large parts of what his predecessor had intended NASA to do. Constellation was almost completely cancelled, only some parts of the spacecraft constructed for the missions of Constellation were kept, though only with adaptations (see also Office of Management and Budget, 2010). Furthermore, Obama abandoned the path leading missions to the moon again, but asked NASA to design manned missions to a near-Earth asteroid. Essentially, only the long-range goal of sending humans to Mars was kept, although becoming postponed. The introducing speech announcing all these newly crafted plans will be the fifth speech that is to be analysed within the context of this study. 5.1.12. Donald Trump (from 2017 on): New Old Plans and Mars As of writing this, the current US president is Donald Trump. He was inaugurated in January 2017, and once again overthrew what his presidential predecessor had laid out some years before. After reactivating the National Space Council, an institution that was last used by George Bush in the early 1990s, Trump, in December 2017, published the “Space Policy Directive – 1” (Presidential Memorandum, 2017). In his first year as president he only gave some short remarks on what was proposed in the directive, namely abandoning the missions to asteroids, reactivating previous plans of returning to the moon, again intending to use it as a stepping stone to Mars. The relatively short performance did not provide much actual content and would not add substantially to the study at hand (see Remarks by the President, 2017). Other remarks were performed too late to be included, which is why Donald Trump will also not appear in the analysis. Owing Christopher Columbus a Mission to Mars - 44 - 6. Narrating Reality: Methods 6.1. Working with Narratives “Words are but symbols for the relations of things to one another and to us; nowhere do they touch upon absolute truth.” Friedrich Nietzsche (1844-1900) in Philosophy in the Tragic Age of the Greeks Obviously, narratives are closely tied to what I have described above under the label of the myth. By way of example, Slotkin describes a myth simply as a “narrative which concentrates in a single dramatised experience the whole history of a people in their land” by “reducing centuries of experience into a constellation of compelling metaphors” (Slotkin, 1973, p. 269). Paul, too, states that a “myth becomes manifest in narratives” (2014, p. 31). Finally, also Czarniawska claimed that “[t]o understand a society or some part of a society, it is important to discover its repertoire of legitimate stories and find out how it evolved. Hence, working with tools of narrative analysis seems virtually imperative for this study. Bruner quite dramatically calls the (scholarly) process of “negotiating and renegotiating meanings by the mediation of narrative interpretation [...] one of the crowning achievements of human development in the ontogenetic, cultural, and phylogenetic senses of that expression” (Bruner, 1990, p. 67). Many scholars have indeed noted a ‘biographical’ or ‘narrative turn’ (see Czarniawska, 2004, p. 33) becoming observable through an an ever-growing interest in researching the social use of narratives as well its organisational and societal meaning. In an early work, Barthes claimed that “narrative is international, transhistorical, transcultural: it is simply there, like life itself” (Barthes, 1977, p. 79). This ubiquitous character made it interesting for various scientific disciplines, although still “[n]arrative research generally, and personal narratives in particular, have been used as an analytic tool for trying to understand wider social phenomena” (Andrews, 2007, p. 10). Ultimately, “[s]tories and storytelling are no longer the province of the playroom, but rather are increasingly regarded as an important arena for serious scholarly investigation” (ibid.), which is also being accompanied by an increasing focus on cross- and multidisciplinary research (Andrews, 2007, p. 10). In my research I will try to identify and unpack the narratives around US American spaceflight that are presidentially drawn on and thus became institutionalised to some degree. I believe a large portion of the main and sub narratives as well as the different conceptualisations they reveal, to be part of a much greater quasi-narrative; a sociotechnical imaginary of conquering space. But what are narratives, why are they so widely used, and what are they used for at all? Most generally, narrative is one central part of the social process of representation. When humans represent, recall, recount, they have always automatically and “constantly told stories, presented events and squeezed aspects of the world into narrative form” (Cobley, 2013, p. 2); Czarniawska even spoke of the Owing Christopher Columbus a Mission to Mars - 45 - “fact that in order to understand their own lives people putthem into narrative form – and they do the same when they try to understand the lives of others” (2004, p. 5). Very much similar to what I have pointed out above about myths (see chapter 2.5.1.), narrative both lets and makes people construct the world and meanings in and of it, especially of social action. Although notoriously difficult to comprehensively describe, its function may be boiled down to “find[ing] an intentional state that mitigates, or at least makes comprehensible, a deviation from a canonical cultural pattern” (Bruner, 1990, p. 49f.). Seen that way the construction of narrative may be seen as the production of situated knowledge, of narrative knowledge (see Czarniawska, 2004, p. 9f.); a resource people can and will draw on when taking actions. This, however, applies to just as much on the societal level, where narratives or stories are ‘sediments of norms and practices’ through their ongoing movement - the fabrication, expression and reception - in social structures (ibid.). Analysing exactly that, I will follow what Cobley termed the ‘constructionist’ approach to narrative analysis, which acknowledges the “thoroughly social nature of the construction of meaning” (Cobley, 2013, p. 3). The approach claims that it is not exactly the people or objects, but rather the ‘representational system’ that they operate in, that lets meaning emerge from something. Furthermore, I shall briefly differentiate between what a narrative is, what a story, and what a plot. As I will use it, a book for example is nothing but a medium representing something, be it ‘real’ or entirely fictitious. To make the read comprehensible, it should tell and follow a certain, coherent story. This usually includes having some kind of protagonist(s) that the story revolves around. The protagonist(s), however, are not necessarily central to the narrative that is used by the narrator; The story can be about one person within a greater narrative, without the protagonist crucially altering the grand narrative. When the narrative is located in the Thirty Years’ War, for instance, the actual story can also be just about one soldier who is comparatively irrelevant to the overall course of the war’s events. A narrative thus exists to “reveal the relevant wider circumstances” (ibid., p. 4), while in turn being driven by what is being understood as the story's plot. The plot then is the “circumstances which involve [a protagonist] in a specific series of events” (ibid.), meaning the individual parts the story is composed of. The process of creating the plot around a story has been described as emplotment (see Czarniawska, 2004, p. 20f.) Each aspect is dependent on the other two, together creating meaning in a sequence of (retold) events. Now, narratives do not only appear in fiction books. They are everywhere and everytime, can be about everything, and can express much more than mere entertainment; they really “are powerful resources for defining cultures and framing [its] actions” (Halverson, Corman, & Goodall, 2011, p. 1). Since Yuval-Davis (2006) notes, that “[i]dentities are narratives, stories people tell themselves and others about who they are (and who they are not)” (p. 201), I draw on this further insight of hers, as I intend to find exactly that; narratives hinting at or clearly describing (national or cultural) identities, or, as Šabanović (2014) had called it, specific ‘cultural models’. I am then concerned with how these narratives are put into relationship with spaceflight. With identities however, I here do not only mean Owing Christopher Columbus a Mission to Mars - 46 - identities of the speaker himself, but also the collectives he is referring to. The presidents in their talks are certainly individuals, but at the same time they do not only speak to, but also for certain collectives. This leads me to the more practical aspects of this section. Namely, to study narratives in my material, I will make use of two different techniques of narrative analysis as proposed by Riessmann (2005); ‘Thematic Analysis’ and ‘Performance Analysis’, which in the following I will briefly introduce. 6.2. Unpacking Narratives: Thematic and Performance Analysis “The function of sociology, as of every science, is to reveal that which is hidden.” (Bourdieu, 1996, p. 17) First, I make use of a thematic analysis. Here, “[e]mphasis is on the content of a text” meaning the focus solely lies on “‘what’ is said more than ‘how’ it is said, the ‘told’ rather than the ‘telling’” (Riessman, 2005, p. 2). Methodologically, a “typology of narratives organised by theme is the typical representational strategy” (ibid.). Employing thematic analysis enables the researcher to identify a set of different (uniquely used or recurring) topics addressed and narratives used in the material, which can then then be easily compared and related to each other. In this particular study, the method is of much help to structure and make sense of the narratives, first each individual talk and when interrelating them. It enabled me to see patterns, repeating narratives and arguments. The technique helped me answer the question how things are reasoned, how they are presented and framed, and what rationales are brought forward to realise certain sociotechnical futures. The thematic analysis was complemented by what Riessman termed performance analysis. In performance analysis, “interest goes beyond the spoken word and, as the stage metaphor implies, storytelling is seen as performance – by a ‘self’ with a past – who involves, persuades, and (perhaps) moves an audience through language and gesture” (Riessmann, 2005, p. 5). While it is possible in performance analysis to analyse whole settings or dialogues, in this case I will centre the analysis around what she calls a character and its positionings in a story, as performative analysis ultimately is about “the positioning of storyteller, audience, and characters in each performance” (ibid.). It is about the communicative practice which in this work, through the talks being given, become very much “embodied, situated and material, discursive, and open to legitimation and critique” (ibid.). For this study it means analysing the process and the outcomes of how the speaker is using the talk to create and construct several identities. Identities that I focused on are on the one hand that of the speaker himself, but almost more importantly the institutional and national identities he is constructing, referring, and drawing on. Somewhat part of both techniques are reflections about the contexts in which the talk was given, the audience the speaker is delivering to, as well as the specific place he is speaking from. All three aspects influence the content and thus the narratives that are being used. Except for these aspects, both Owing Christopher Columbus a Mission to Mars - 47 - techniques focus on different things nicely supplementing each other. The thematic analysis will analyse what is said while the performance analysis examines by whom something is said, from where, and ultimately trying to reveal aspects of the why, that is the speaker’s intentions. 6.3. Narratives at Work: Political Speeches and Why to Study Them “The strongest man is never strong enough to be always master, unless he transforms his power into right, and obedience into duty.” (Rousseau as cited in Dunn, 2002, p. 158). At this point, it might be fruitful to think a moment about what political speeches actually are, what they are meant to be, how they work and what their goals can be. This is what the upcoming short excursion is dedicated to explaining. But as a first step the question may be posed: What is politics in the first place? A tricky question, that Chilton (2004) tried to answer in, at last, a relatively simple way. To him, “[o]n the one hand, politics is viewed as a struggle for power, between those who seek to assert and maintain their power and those who seek to resist it... On the other hand, politics is viewed as cooperation, as the practices and institutions a society has for resolving clashes of interest over money, power, liberty and the like” (p. 4f.) This notion is interesting as well as it is helpful, because it connects two points that oppose each other and eventually make up for what politics is: a complex entanglement of socially reasoned conflict and cooperation. Obviously, speeches are part of the political game between conflict and cooperation and must thus always have an agenda. Holding a speech as a politician means doing politics, actively and deliberately. Particularly holding political speeches does not only mean speaking to people, but also speaking for people - a circumstance that requires legitimation. Regarding that, Barker finds that “[t]o talk of legitimation is to talk of something that people do” (2001, p. 24, my emphasis). Especially in political contexts he also finds plain legitimation to be one very central activity, as without proper legitimation no stable government is possible. Hence, “[t]he self-legitimation [...] is part of the activity of ruling, and as such contributes to both constituting it and defining it” (ibid., p. 30). Especially politicians’ public speeches are one of the sites where continuous self-legitimation takes place and are thus a very interesting object to be studied by the social sciences. Barker, too, argued that in political systems, individuals tend to primarily legitimise themselves and their own actions. Also, those talks proposing new space policies may be conceived of as legitimation work for the decisions the president himself was eventually responsible for. However, after analysing the complex negotiations that take place before such a talk can be given at all (see chapter 5), I will conceptualise the speeches not (only) as moments of individual legitimation, but perhaps even more as moments of institutional and national (self-)legitimisation. The presidents speak for themselves, but they also speak for the institutions they Owing Christopher Columbus a Mission to Mars - 48 - represent. Hence, while acknowledging it, for the topic at hand reducing legitimation to plain self- legitimation would neither be useful nor at all sensible. Barker, however, also states (self-)identification to be an inevitable part of legitimation, both being “dimensions of an inextricably intermeshed activity or pattern of activities” (2001, p. 35). Identification requires identity, and, again drawing on the work of Yuval-Davis (2006), identity is never a permanent state, but rather a “transition, always producing itself through the combined processes of being and becoming, belonging and longing to belong” (p. 202). When it comes to the realisation of identities,”[c]onstructions of self and identity can, however, in certain historical contexts, be forced on people” (ibid., p. 203), though this not to say, that political speeches are evil means of brainwashing people. It simply serves us as an important insight as to why political speeches are structured the way they are, and why the arguments appear the way they appear. Namely, as Barker explains, an identity and especially identities in political contexts, want to be ‘cultivated’ (2001, p. 50). Eventually, this explains that speeches in political contexts, especially those that are in one way or another addressed to ‘the public’, play a pivotal role in what Šabanović called the ‘repeated assembly of a cultural model’, which is essentially the continuous creation and subsequent legitimation of identity. Especially since "[s]elf-legitimation is an inherent and characterising activity of government, just as worship is one of the characterising activities of religion" (Barker, 2001, p. 30), I see political speeches as a central place to create and recreate said cultural models. Strategic use of appropriate narratives then serve as persuasive devices. Inappropriate use or construction of models, identities and narratives, though, can result in audiences ‘struggle and resistance’ towards the speaker and his messages (see Yuval-Davis, 2006, p. 203). In that case, legitimation erodes (see Barker, 2001), agendas may have to be adapted and the political game of conflict and cooperation begins anew. 7. Analysis Before entering the analysis with the talk of John F. Kennedy, there is one interesting observation already to be made. Namely, by the choice of the material one can already find the interesting circumstance, that only those presidents gave a lengthy talk, who proposed large, and explorative policies. Richard Nixon, who abandoned exploration after Apollo and introduced the low earth orbit bound Space Shuttle is the only exception from this rule of thumb. Hence, we can already suppose that particularly explorative policy agendas call for more intensive reasoning and justification, or, in other words, in order to make them appear sensible, ask to “translate complex technological matters into meaningful public discourse” (Jordan, 2003, p. 210). It remains however unclear whether that is the case because the respective presidents felt the need to actively justify their actions, or if explorative spaceflight is not only considered prestigious for the country, but also for the president himself. Although both is probable, regarding the aspect of political justification, the monies going into explorational spaceflight are great, even for the USA. They Owing Christopher Columbus a Mission to Mars - 49 - hence call for a well-grounded reasoning, which is provided by the narratives the new policy is weaved into. On the other hand, regarding the aspect of political legitimation, I again consult Barker, who posed the question “whether identity can be seen to shape legitimacy, or legitimacy qualif(ies) identity” (2001, p. 39). Seen from this angle, the talks and the rather aggressive technopolitical choices promoted in the talks are at the same time very carefully practices of legitimation and profiling work of the president as his individual, presidential agenda, as well as the collective(s) he represents. 7.1. John F. Kennedy - Torn Between Fear and the Spirit of Optimism “If God listened to the prayer of men, all men would quickly have perished: for they are forever praying for evil against one another.” Epicurus (~341-270 BC) 7.1.1. Some Context This analysis’ first talk was delivered by president John F. Kennedy on September 12, 1962 in Houston, Texas, at Rice Stadium. In the talk, he publicly proposes a manned mission to the moon, thus finally marking the US’ entrance into the ‘Space Race’ to the moon. I have briefly touched upon the evaluations and deliberations above (see chapter 5), but after proposing the plans to congress in May that year, this talk in September marked the first time he publicly presented them in front of a large audience. The talk can be seen as one central moment in the history of spaceflight. When analysing the speech, one also has to put into consideration the state American spaceflight was in at the time. NASA had conducted its first manned spaceflight only twenty days before Kennedy first proposed such plans to Congress in May. At the time of the public talk in Houston, there had still only been one more manned flight, making the president proposing a mission to the moon with NASA only having 30 minutes of actual experience in manned spaceflight. Much persuasion and inspirational work was needed by the president, and “it was [his speech] at Rice University that marked his most concerted effort at justifying the lunar program and demonstrated his presidential rhetorical prowess in defining the ‘moon shot’ for the public” (Jordan, 2003, p. 210). The talk aimed at making the American people believe in spaceflight, which entails trust in the technical abilities of NASA as well as the overall purpose and significance of such an undertaking. Considering the place the speech was given at, Barker notes that “[l]eaders surround themselves with objects which ‘acknowledge’ their importance” (2001, p. 53). Kennedy does exactly that, speaking in front of tens of thousands of people at the Rice Stadium of Rice University in Houston, Texas. Large parts of the audience were young citizens and affiliated with the university of Houston. He even actively points that fact out in the very first moments of his speech: “We meet at a college noted for knowledge, in a city noted for progress, in a state noted for strength” (JFK, #9f.). Authority and hence legitimation are on the one hand afforded ex officio, but on the other hand by the very place he speaks from to his Owing Christopher Columbus a Mission to Mars - 50 - audience, and, in the end, to all American people. Hence, also the place was very well chosen by the Kennedy administration, aiming to amplify the messages Kennedy wanted to convey to the audience. One can divide the speech into three parts. The first part is all about giving context, which is done a very metaphorical and figurative way. The second part of the speech explains the need for a mission to moon by conceptualisations of Americanness. The third part of the speech focuses on measures, goals, and reasons, starting with the famous line “[w]e choose to go to the moon” (JFK, #87). 7.1.2. Dichotomies, Contradictions, Americanness The regular use of conceptual dichotomies and paired contradictions is a central rhetorical means that Kennedy employs in his speech. These dichotomies (see table below) mostly appear in the first half of the speech. When Kennedy moves from providing context, constructing the challenge and characterising the US to describing the measures taken, goals set, and the reasons behind that, dichotomies make way for one-sided, absolute terms and projections into the future. For this analysis, I want to focus on the dichotomies. Within them, Kennedy is doing an extensive characterisation of what he believes to be American and what the logical consequences of this shared Americanness are. The dichotomies play a very central role in that, as in every dichotomy presented, one part means to show what the US is, what it wants to achieve and stand for, with the other part attempting to show what it is not, what it does not stand for, and must not be(come). Table 1: Dichotomies employed by John F. Kennedy in his “We choose to go to the moon” talk. American part “Un-American” part hope fear knowledge ignorance Dispelling old ills Creating new ills High rewards Costs and hardships Moving forward Waiting, looking behind Joining Not joining Leading Staying behind Banner of freedom and peace Hostile flag of conquest Instruments of knowledge and understanding Weapons of mass destruction Owing Christopher Columbus a Mission to Mars - 51 - Force for good Force for ill Sea of peace Terrifying theatre of war Moving ahead Staying behind Doing the job Wasting money These pairs construct ways for the US, first, to generally stay successful, but second, to stay true to itself - that is to stay singular and superior among the nations, and especially in comparison to the Soviet Union. Kennedy builds his local (American) cultural frame around these dichotomies and lets them determine the future. How the future unfolds is then constructed to be completely dependent on the decision if and how the US decides to engage in spaceflight, and more precisely, in the race to the moon. Constructing the challenge, however, is done in a very deliberate way, for he constructs the challenge of ‘exploring space’ as one that is inevitable for a “nation which expects to be the leader of other nations” (JFK, #51f.). Even though not spoken out verbally, it is clear that everybody's conception of the US as a nation includes this expectation; a clear moment in which American Exceptionalism and self-conception as being superior “informs and structures American self-representations” (Paul, 2014, p. 17). By character, the US is constructed as bound to accept that challenge, bound to go to the moon. This notion of American self-expectation to lead was also cited in the first paragraph of a front page article in the New York Times (Kenworthy, 1962) titled “Kennedy Asserts Nation Must Lead in Probing Space” (ibid.), publicly making the more general expectation applicable in and expressible through spaceflight. What was constructed as desirable future by Kennedy was not discussed, but effectively simply reproduced and hence publicly reinforced. The usefulness of a manned mission to moon is then strengthened by constructing it like the modern equivalent of the myth of the ‘West’, or even a logical follow-up of the movement back then: “What was once the furthest outpost on the old frontier of the West will be the furthest outpost on the new frontier of science and space” (JFK, #132ff.). While considering the locality of the speech, he still includes the entire country in his ambitions, rhetorically making every citizen a part of the new endeavour. In the talk, space became the place for the US to break frontiers again. The plausibility of going to the moon is afforded by constructing it as a collective and culturally founded endeavour, presenting it as if one homogenous nation, one community, flew there. He “invite[d] audience members to live up to their pioneering heritage” (Jordan, 2003, 210), building on a commonly understood cultural heritage, that is to a large part derived from the myth of the ‘West’, and the idea of the manifest destiny. Owing Christopher Columbus a Mission to Mars - 52 - Yet, this internal reason is accompanied by an external one. Although Commager (1967) claimed that the US to have some difficulty to construct its villains and antagonists, that does not become quite apparent in this speech, as the Soviet Union is rendered into the definite enemy. He presents two absolute options of the future, in principle another dichotomy: either the US join the Space Race and space will become a “sea of peace” (JFK, #74f.), or they refuse to join, and space will become a “terrifying theater of war” (JFK, #75). Imagining the Soviet Union as another distinct, homogeneous community, the question is not if space will be conquered, but if it is going to be conquered for the ‘right’ reasons, by the ‘right’ technopolitical culture; the right imagined community. The challenge and accepting it, is thus given relevance by an internal factor, driven by national pride, and an external, driven by fear. In principle, it is the fear that the US is slowly being deprived of its breeding-ground for the national pride. Ultimately, he achieves to evoke an atmosphere that is strangely torn between fear on the one hand, and optimism on the other hand, a condition evoked by the Cold War. Thus, the challenge of going to the moon gains explicit urgency by the (Soviet) enemy. Yet, additionally, what Kennedy calls a ‘challenge’, between the lines even becomes a threat on the identity of the US. As his underlying narrative goes, avoiding the challenge would in turn mean the abandonment of being exceptional among the nations. In a way, Kennedy constructs this as already having become the case. The US is not the “world’s leading space-faring nation” but has to become it: “To be sure, we are behind, and will be behind for some time in manned flight” (JFK, #120f.). Kennedy is challenging central aspects of American self-understanding. But he also offers a path to restore national and cultural superiority - namely by ‘choosing to go to the moon’. 7.1.3. Exciting America The talk is an agitative one, that seeks to evoke emotion and particularly excitement about a mission to moon, and performance analysis shows, that it in fact it does. Performance analysis does not only seek to ask questions about what identity is constructed, but also how it is performed in an act. Some simple yet quite momentous moments in which performance and interactiveness accompany each other are the moments of the audience applauding. They can indicate points in the talk that are important to the speaker, the audience, or both. Analysing when the president gets interrupted by applause reveals some very interesting insights of moments in which Kennedy could achieve particularly strong contentual approval. Interruptions occurred nine times in Kennedy’s speech, after the following sentences: 1. “[t]his country of the United States was not built by those who waited and rested” (JFK, #40f.) 2. “We intend to be first!” (JFK, #64) 3. “We choose to go to the moon!" (JFK, #87) 4. “We intend to win!" (JFK, #92) 5. Satellites “made in the United States of America [...] supplied far more knowledge to the people of the world than those of the Soviet Union” (JFK, #106ff.) Owing Christopher Columbus a Mission to Mars - 53 - 6. “We shall make up and move ahead" (JFK, #122) 7. “What was once the furthest outpost on the old frontier of the West will be the furthest outpost on the new frontier of science and space” (JFK, #132ff.) 8. “If I were to say, [...] that we shall send to the moon [...] a giant rocket, [...] and do it right, and do it first before this decade is out—then we must be bold” (JFK, #151-163) 9. “This university is playing a part in putting a man on the moon as part of a great national effort of the United States of America" (JFK, #173f.) In each and every of these instances, the president revealed something about his perceived character of the United States of America, what it is, and what it ought to be, and each time the audience explicitly showed approval. Winning, being first, moving ahead and being bold are all characteristics that suggest exceptionalism, the overarching local cultural frame, not only in technoscientific matters. Overall, the speech achieves to build up and reinvoke the feeling of being exceptional - yet. Exceptionality is being threatened by the Soviet’s technological advances in spaceflight. The other moments of applause stressed the successful effort in evoking the national; having the best satellites, being part of a “great national effort” (JFK, #173) and its ‘furthest outpost on the new frontier of science and space’ respects locality while at the same time invoking what Anderson twenty-two years after the speech termed an ‘imagined community’, invoking it and giving it a purpose. This communal aspect becomes very clear also in the wording, as he addresses the audience as us/we five times in the nine above quotes alone – the community needs to be named in order to be imagined. In sum, the speech clearly characterises the US around a shared understanding of being exceptional, provoking active approval by the attending audience. Anyhow, this exceptionalism is endangered by the enemy of the Soviet Union, yet a future in which the US has been able to overpower the Soviet Union again, is presented as the way to restore and prove American exceptionalism. 7.1.4. Technologies, Knowledges, Futures Obviously, when there is talk of the future in the speech, most of the time it is about the specific future of the US. As I have described above, dichotomies are an important means of narratively creating the ‘inside worlds’ of the speech, and many of these ‘inside worlds’ are projections of possible future worlds, all caused primarily through (eventually rather unspecific) technological advances. Furthermore, for Kennedy, these technological advances are logical and ultimately inevitable; the “quest for [...] progress, is determined and cannot be deterred” (JFK, #49), meaning that “the exploration of space will go ahead, whether we join in or not” (JFK, #50), partly also because “technology has no conscience of its own” (JFK, #71), so the line of argument goes. Especially the last statement is interesting, as it was (unknowingly) inspired by social constructivism (see Winner, 1993), and greatly served the purpose of the talk. If technology had been pictured as ultimately in full control of those who created it in the first place, the narrative construction of the inside future worlds could not have happened as sharp and Owing Christopher Columbus a Mission to Mars - 54 - confident as it was the case. Technological determinism would put the technology in control of the social and thus the future, but Kennedy’s social constructivism grants the power to shape the future to technocultural collectives consisting of human beings, their values, and their decisions. These, however, are indeed pictured as quite determined and predictable. Through its definite, determined and worthy purposes, its character expressed through technology, and through international technological leadership in spaceflight, only the US is able to ensure a peaceful future - an exceptionally strong sociotechnical assessment and temporal projection of cultural capabilities. Following Kennedy and depending on whether the “frontier [...] space” (JFK, #133f.) could successfully be broken by the US first, either a technocultural utopia or dystopia will come to be, while these imaginations are heavily based on nonverbally shared imaginations of the Soviet enemy. Throughout the speech, these ‘future inside worlds’ are constructed in “careful, general detail” (Anderson, 2006, p. 23), and presenting these definite options/futures is being done almost in the manner of Hollywood science-fiction. The villain will destroy anything and everything that is good and fair, unless the hero takes action (I have mentioned above that also Jasanoff found a close relationship between imaginaries and science-fiction). Defining the villain is also being done via the concept of knowledge. By stating, that “man, in his quest for knowledge [...] is determined and cannot be deterred” (JFK, #48f.), a conceptualisation of the very human nature is used to again render inevitable a future situation in which the US has to lead. Then the questions arise: who has knowledge, who does not have it, and is it the ‘right’ knowledge one possesses? In “an age of both knowledge and ignorance” (JFK, #11f.), Rice University is claimed to be a place of the ‘right’ knowledge. That not only Rice University, but the entire nation possesses and produces ‘right’ knowledge is also stressed in the following. By speaking of “new knowledge to be gained, and new rights to be won” (JFK, #69f.), as well as “new hopes for knowledge and peace” (JFK, #180), specifically US produced knowledge is also put in close relation with enabling and preserving global peace. As a consequence of only the US knowing what ‘right’ knowledge is, the US again emerges as superior; as ‘world’s best hope’. Building on what I have stated before concerning the threat on American exceptionalism, its expression may be merely rhetorical for the moment, but the intended expression takes place through technology, resembling the above quote by Mahler, who said that “[i]mages of shuttle launches and earthrise over the rim of the moon are iconic representations of American strength, technological capacity, and the future of humankind” (Mahler, 2010, p. 711). At length, Kennedy is describing past missions, future plans, and specific models of rockets and their strength, and in the narrative technology becomes the means to embody and show superiority and singularity - a means to embody Americanness itself. To some extent, this sociotechnical materialisation of American exceptionalism is also openly being proposed to be done just for the sake of it, or at least without clear, measurable intents. Besides the rationales based on cultural conceptualisations, Kennedy also admits, that “we do not now know what benefits await us” (JFK, #149f), and simply proposes to ‘climb’ space “[b]ecause it is there” (JFK, Owing Christopher Columbus a Mission to Mars - 55 - #178f.). That way, although at that point the USSR was a step ahead in spaceflight, the technology itself is conceptualised as typically and inherently American. Just like in American myths, exploration becomes something logical instead of something debatable. In the end, I find Kennedy’s speech at its very core to be about choosing among two possible futures, both being propelled specifically by spaceflight technologies. The US as one distinctive community has to choose rightly, responsibly, and wisely, to avoid a Soviet and communist dystopia, a ‘terrifying theatre of war’, and to allow for a global, yet American-lead, peaceful utopia to come into existence. Eventually, however, the speech achieves it to make actually asking how and whether to go to the moon at all completely obsolete, as the answer is already there, predetermined by American exceptionalism and its mythically reinforced ideals. 7.2. Richard Nixon - Defending No Space Offensive "I am convinced that before the year 2000 is over, the first child will have been born on the moon." Wernher von Braun (1912-1977), NASA aerospace engineer, in 1972 7.2.1. Some Context The talk Richard Nixon gave in 1972 is an exception. One the one hand, Nixon proposed a specifically non-explorative approach to spaceflight, and on the other hand, surprisingly gave a speech nevertheless. He thus serves as a great point of comparison to the other talks. In the talk, he re-interpreted “old-style space flight” (RN, #233) by offsetting its politico-symbolic value and its economic use. He proposed to “mov[e] out from our present beach-head in the sky to achieve a real working presence in space” (RN, #223f.). In fact, he seeks an, at least temporary, closure to deep space exploration: “The new year 1972 is a year of conclusion for America's current series of manned flights to the moon” (RN, #201f.). This talk, the only of which no video was traceable, was considerably shorter than the others, yet of the same nature than the others, which is why it still found its way into the analysis. 7.2.2. Reasonability and Down-to-Earthness One cornerstone of this work is the idea of ‘conquering space’. And yet, what does it actually mean to ‘conquer’ space? Does sending probes into space mean to conquer it? Do the probes have to touch down on other celestial bodies? Or do human beings have to get into space? If so, for how long? Is it enough to just be there for limited amounts of time, always returning to planet earth? Is it enough to stay in earth orbit, or is it necessary to reach other destinations? For Kennedy, what should at least be the first step, was clear. The space race inspired ‘conquest’ of space was tied to a manned mission to the moon. Only rhetorically, he asked ‘why the moon?’. For Nixon, in contrast, this question of ‘why the moon?’ would not have been a rhetorical one at all. After the space race was ‘won’, he seemed to have had a fundamentally different idea and definition of what ‘conquering’ space means than president Kennedy. Nixon aims to ‘conquer space’ by establishing a ‘real working presence’ in space, Owing Christopher Columbus a Mission to Mars - 56 - transforming space into an actual habitat, whereas for Kennedy, ‘conquest’ is perfectly congruent with exploration. It is thus not surprising that the idea of ‘space as habitat’ does not appear once in Kennedy’s talk, yet it in fact does appear in every talk after him, starting with Nixon. Already after some two introductory paragraphs, he constructs the ultimate purpose of spaceflight as “utilizing space to meet needs on Earth” (RN, #211), calling on examples like weather forecasting, airplane coordination, and pollution control. Including these specific scopes is quite contrary to how other presidents at times framed spaceflight as an end somewhat in itself (remember Kennedy’s ‘because it is there’). With this framing in mind, he defends his less explorative approach: “all these possibilities, [...] with direct and dramatic bearing on human betterment, can never be more than fractionally realized so long as every single trip from Earth to orbit remains a matter of special effort and staggering expense” (RN, #221ff.), in which he, other than the other presidents, emphasises the cost over the emotional and cultural value of spaceflight. Kennedy, for example, openly admits that “all this costs us all a good deal of money” (JFK, #142), and president Obama, as we will see, claimed that “for pennies on the dollar, the space program [...] inspired generations of Americans” (BO, #974ff.). While the other presidents wanted to legitimise higher investments, Nixon believed the most positive aspect to be that the space shuttle “may bring operating costs down as low as one-tenth of those present launch vehicles” (RN, #220f.). That way, his argumentations arrive at very different destinations than those of other presidents, and, as we will see, somewhat stresses financial over the social reasoning, which other presidents have deployed for explorational spaceflight. Thematic analysis additionally revealed, that there is effectively no moment in which Nixon does not in some way justify his decisions. He is excessively soberly explaining his rationales, eventually making it almost seem as if he feels the need to apologise for his policy. Hence, the main objective of the talk is not to excite people, but to defend the very new policy in front of them. Performance analysis supports this as well, as the language he uses is more sober than that of the other talks, much less driven by emotions. It tries to persuade with measurable arguments rather than with emotion, and is not exactly inspiring, but calculating. However, in the end also president Nixon uses a historic figure, writer Oliver Wendell Holmes, to reason his decision: “We must sail sometimes with the wind and sometimes against it [...] but we must sail, and not drift, nor lie at anchor'” (RN, #270f.), adding that “[s]o with man's epic voyage into space - a voyage the United States of America has led and still shall lead” (RN, #271f.). This instance, directly after again promoting “low-cost, multi-purpose space missions” (RN, #268), is and ideological exception within the exception that Nixon’s talk constitutes. It seems as if Nixon’s conscientiousness compelled him to this one, historical reference. Because spaceflight in America seems to be asking for more than positive financial balances, and he knew full well (see his memorandum included in chapter 5). Owing Christopher Columbus a Mission to Mars - 57 - Finally, the mere shortness of the talk may also be seen as a hint to the defensiveness of Nixon. While clearly laying out the rationales behind the decisions, he does not even really try to weave the policy into a plot that is as exciting and compelling - and supposedly ‘American’ - as that of Kennedy. Themes of courage, taking risks and (past) heroes appear in every talk except for that of Nixon, who does not even include them once. Additionally, he is the only president who did not include humorous aspects in his talk. In interesting contrast, aspects of ‘caring for earth’ are implemented relatively intensively, and are the only thing that Nixon put in poetic, dramatic language: “We are learning the imperatives of universal brotherhood and global ecology, learning to think and act as guardians of one tiny blue and green island in the trackless oceans of the Universe” (RN, #262ff.). Hence, Nixon’s account of spaceflight is, so to speak, very much down-to-earth. It is rendered from an ideological weapon and cultural obligation into a mere technological tool that has no particularly profound impact on (long term) societal forthcomings. The national wellbeing and progress are neither dependent from nor particularly evident through spaceflight; a starkly different assessment than those brought forward by other presidents, from Kennedy to Obama, as I will show. Also, for him, spaceflight does not per se express Americanness, at least he does not include this explicitly in the talk. However, as presidents are somewhat expected to follow the idea of American exceptionalism, he is understandably reluctant to include connected themes in the talks. In fact, his narrative and argumentative goal is to decouple spaceflight from the American identity, or at least take away some ideological weight from it, that Kennedy had successfully laden it with a decade before. 7.3. George Bush - Pride, Preachers and Whom to Owe Spaceflight “Once the state has been founded, there can no longer be any heroes. They come on the scene only in uncivilized conditions.” Georg Wilhelm Friedrich Hegel (1770-1831), philosopher 7.3.1. Some Context The third talk is that of George Bush, delivered in 1989, seven months after his inauguration. It builds on the second policy of his predecessor Ronald Reagan, and specified Reagan’s policy goal “to expand human presence and activity beyond Earth orbit into the solar system” (NASA, 1990, p. 66). In the wake of the fall of the Iron Curtain, some great changes in world politics were about to come. As much as the influence of these events on the decisions and talk can only be speculated about, there is not much doubt that another incident has had its impact on the policy: the loss of the Challenger shuttle three years earlier, which is in fact prominently brought up in the talk. The talk was delivered on the steps of the National Air and Space Museum. Like Kennedy did before him, he stages the talk in a place connotated with knowledge, history, and authority, lending importance to the performance, that aims to legitimise the decision presented (see Barker, 2001). Even though Bush’s decisions and the subsequent talk did not have an actual impact nearly as great as that of Kennedy or Nixon in the long run, it is one Owing Christopher Columbus a Mission to Mars - 58 - seminal moment of American spaceflight for the social sciences. It contains strikingly strong messages, weaved into a remarkably distinctive narrative, that I will explore in the following sections. The talk may be divided into four parts. After some acknowledgements, Bush continues to honour past heroes with an extensive narration of the Apollo 11 mission. He builds on that, proceeding with the third and longest part of the talk, in which he, like his predecessors, presents his draft of the US, and presents his actual policy goals. He smoothly finishes with an emotional closure. 7.3.2. An American Past: The United States’ Proud Children Already Murray found that “Bush in his 1989 speech was a lot like Kennedy trying to set a new nationalistic Apollo goal to get the country moving” (2016, p. 186). National greatness, that is superiority and singularity, is a central theme for George Bush to ‘get the country moving’, as some very unambiguous lines reveal very quickly. Already the third sentence, essentially his thematic introduction into the talk, reads “[b]ehind me stands one of the most visited places on Earth, a symbol of American courage and ingenuity” (GB, #309f.), supporting Barker’s (2001) point how places and objects are used in terms of lending substance and legitimation to (techno-)political messages. Only moments thereafter, he asks to “tell [American children] of the flag - the American flag - that still flies proudly in the ancient lunar soil” (GB, #327f.), not without adding later on that “[t]he only flag on the moon is an American flag” (GB, #417f.), perhaps the most remarkable occurrence of emphasising American singularity, deducted from American mythology. Throughout the entire talk, the US and its achievements become intensively belauded, partly in quite dramatic and ornate ways. Supporting spaceflight means to “join us in a great dream, an American dream, a dream without end” (GB, #329f.), and America is depicted as the “the world's greatest experiment in freedom and diversity” (GB, #372) - in other words, the world’s best hope. In the following incident he almost gets blunt in emphasising exceptionality: “today, yes, the U.S. is the richest nation on Earth, with the most powerful economy i n the world. And our goal is nothing less than to establish the United States as the preeminent spacefaring nation” (GB, #387ff.). Yet, the simple message makes clear a set of presumably inevitable future actions. In the American imaginary Bush constructs from the past, technological choices are equalled with cultural choices. Accepting and embracing technological challenges becomes naturalised, as the country can count on its historically proven values and traits: “Apollo is a monument to our nation's unparalleled ability to respond swiftly and successfully to a clearly stated challenge and to America's willingness to take great risks for great rewards. We had a challenge. We set a goal. And we achieved it” (GB, #358ff.) This is a particularly interesting moment, as it renders endeavours of spaceflight into something that is to be done out of (American) tradition. Narratively, this is a useful step, because if it has to be done out of tradition, it cannot be discussed with those who supposedly started the tradition, in this case Owing Christopher Columbus a Mission to Mars - 59 - a cultural tradition of progress, bravery, and risk seeking. Instrumentalising the Apollo 11 crew as central icons of spaceflight and all America is yet another thoughtful tactic, as particularly Buzz Aldrin is until this day a great proponent of spaceflight (see for example Aldrin & Wachhorst, 2004). These extracts, and especially the language, show, how a kind of ‘simplistic romanticism’ is a central way of framing that Bush uses while constructing his local cultural frame. Through that, he achieves heroisations of both, the dead and living people. He frames the situation around his performance as an “unprecedented gathering of America's space veterans” (GB, #312f.), admitting himself to be proud “shar[ing] this stage with three of the greatest heroes of this or any other century: the crew of Apollo 11” (GB, #313f.). Simplistic romanticism allows Bush to instrumentalise protagonists of his talk, facilitating his messages in a way that they can hardly be attacked by any American, as they address basic American assets that are rooted in traditional mythology American, more precisely American exceptionalism. He achieves what Šabanović termed ‘cultural continuity’, by counting on what Anderson called the ‘imagined community’. Now, the Amer ican president constructing America in exceptional ways is just according to an the historically grown national narrative, and thus not particularly surprising, as this study shows (see also Gilmore, Sheets and Rowling, 2016, p. 516). What distinguishes this talk from the other four talks is the exceptionally clear- cut conceptual grounding of greatness. Although there is no exception in the other presidents using it, a thorough thematic analysis clearly shows that Bush’s approach to spaceflight is driven very strongly by motives of certainty and pride, which are derived to a great extent from cultural icons and the respective historical accounts. Incidents in the past lineary evoke present values, acting as a logical fundament for the future. Very interesting is the argumentation around the Challenger tragedy, which I find useful to be interpreted through the lens of imagined communities. Anderson wrote, that “[t]he idea of the ultimate sacrifice comes only with an idea of purity, through fatality. Dying for one's country, which usually one does not choose, assumes a moral grandeur which dying for the Labour Party, the American Medical Association, or perhaps even Amnesty International can not rival, for these are all bodies one can join or leave at easy will” (2006, p. 144) Said practical inevitability of nationality is here instrumentalised by Bush. He perfectly links the death of the seven astronauts to the life of every American citizen, as if those had died for family members, when in fact, they can only said to have died being part of an essentially imagined community. “There are many reasons to explore the universe, but ten very special reasons why America must never stop seeking distant frontiers: the ten courageous astronauts who made the ultimate sacrifice to further the cause of space exploration. They have taken their place in the heavens so that America can take its place in the stars” (GB, #446ff.) Owing Christopher Columbus a Mission to Mars - 60 - That way, the dead astronauts become deeply authentic representatives of the entire nation, and at the same time greatly heroised individuals (see Hersch, 2012). He draws on similarly heroic imaginations about astronauts as they appear in pop culture (see chapter 2.2.), while his depictions are not for purposes of art, but seek to evoke national unity through constructing a national legacy. This legacy is depicted as being centuries old, beginning with the myth of Columbus, and, by his way of including Challenger, just as well thematically taking up the myth West and its idea of the possible setbacks that have to be overcome for eventual success. He continues drawing upon a number of other historical figures, climaxing in said Challenger, perfectly showing the great flexibility and adaptability of mythologies. However, even with the inclusion of Challenger, the legacy is framed very positively by evoking pride instead of grief. By telling a tale of the American flag “that still flies proudly in the ancient lunar soil” (GB, #327) he rhetorically, narratively, and logically evokes the collective connected by pride of a shared history. An imagined community emerges, that, as a cohesive entity, takes part in the ‘necessary adventure’ that spaceflight is rendered into. It is every American’s flag up there, including those who have not even been alive when the flag was being planted. Finally, he rounds off the heroisation by heroising the American people as such, too. Historically, “Apollo's success was made possible by the drive and daring of an entire nation committed to a dream” (GB, #366f.). And, equally, today, “the pathway to the stars begins, as it did 20 years ago, with you, the American people” (GB, #405ff.). All of this constructs an image of America as an unquestionable, organically grown idyll, strongly resembling the mythical idea of the West (see Paul, 2014), as still in his introduction, he reminds the audience that “a nearly full moon will rise out of the darkness and shine down on an America that is prosperous and at peace” (GB, #322ff.). As Bush constructs his narrative, the US has come a long, linear, plausible way, consistently driven by the same inherent values and traits. Conflicts are excluded from history, societal and technocultural achievements are utilised to fit the narrative, and mythology functions as both, origin and confirmation of the American idyll. Finally, ambitious goals in spaceflight are what he deducts from the narrative of boundless cultural success. 7.3.3. An American Future: Space Romance and the Aggrandisement of Spaceflight Through various means, every talk lets arise a very specific atmosphere. Comparing these atmospheres, performance analysis allows to see how Bush’s talk is achieving a very different atmosphere as for example the talk delivered by Kennedy. While Kennedy, as I showed above, uses strong dualities and images of war, Bush’s performance may be described as exceedingly calm, romantic and perhaps even dreamy towards the general topic. Gestures and inflexion heavily differ compared to Kennedy, but also to Obama. For example, Kennedy almost yells that “we do not intend to stay behind, and in this decade, we shall make up and move ahead” (JFK, #121f.), whereas Bush makes his romantic statement about the ‘nearly full moon‘ would shine down “on an America that is prosperous and at peace” (GB, #323f.). The American idyll he constructs from the past through the present, together with Owing Christopher Columbus a Mission to Mars - 61 - the nation’s linear success story, lets future successes appear inevitable. Vague hopes become trustworthy promises, and the future becomes presented in a way as if it has almost already happened. In Šabanović’ (2014) words, he is creating a feeling that, necessarily, ‘things will have been’. Both foundation and consequence of that atmosphere is the explicit romanticising of space and the aggrandisement of spaceflight technology. By involving and linking different generations of Americans, Bush tries to evoke cross-generational enthusiasm for spaceflight, for which heroisations and cultural elevation of all American people are pivotal, because, narratively, he is rendering this past-oriented argumentative construction into the perfect reason for a specific desirable future. He draws all American people into spaceflight, making of the imagined community an imagined interest group, with a joint feeling of duty and the same unspecifically specific expectations of the future in space. I have already termed one of Bush’s strategies ‘simplistic romanticism’ when he is talking about the (American) past. The atmosphere he achieves yet allows him to be just as simplistically romantic about the future as well. Humans “dream of distant shores” (GB, #451), and NASA sets the American people to be on “the pathway to the stars” (GB, #405f.) - strikingly poetic depictions of what Kennedy in contrast presented as a potential “theater of war” (JFK, #75). In Bush’s words, it was not a rocket launched in July 1969, but “[t]he sun [that] rose a second time [...] as the awesome fireball of the Saturn V lifted these three pioneers beyond the clouds” (GB, #333ff.). Using this pictorial description also lets the technology involved appear not only in a simplified way but elevates it on a level that I want to call the aggrandisement of technology, in this case of rocketry. While always linking it directly to past cultural experiences, simplistic romanticism and the aggrandisement of technology shape Bush’s depictions of the future; “[S]pace is the inescapable challenge to all the advanced nations of the Earth. [...] What was once improbable is now inevitable” (GB, #379ff.). Spaceflight is elevated above virtually all other challenges, be it of technological, societal, or any other nature. Spaceflight is the future. By adding how it once was improbable, that is, a dream, but now inevitable, he does several things at once: evoking pride of the technocultural advancements, romanticising and naturalising (technological) progress, and simplifying inherently non-linear technocultural developments. He now claims to make the imaginary a reality, and thereby heavily participates in (re-)creating the very imaginary of conquering space. Especially the construction of certain future’s inevitability is also achieved through past-based simplifications and romanticism, for example by saying that “humans will again leave their home planet for voyages of discovery and exploration” (GB, #380f., my emphasis). Here, he draws on the historic mythological ideas of discovery and exploration, that ultimately links spaceflight with the voyages of Christopher Columbus (see Paul, 2014), and other explorers like Meriwether and Lewis, that George W. Bush would remind his audience of 15 years later. “We will travel to neighbouring stars, to new worlds, to discover the unknown” (GB, #458f.) are very strong and linear depictions of what will be. Especially in this last sentence, the technology that is necessary to achieve these goals is made invisible, for they are natural, and naturally will be there. The reasoning to undertake steps to this Owing Christopher Columbus a Mission to Mars - 62 - supposedly inevitable future is just as simplistic and romantic as its very descriptions, for at one point he simply claims that “history proves that we have never lost by pressing the limits of our frontiers“ (GB, #391f.). While only moments earlier drawing on the Columbus myth, he now relatively explicitly draws on the myth of the West, as the narrative of the ‘frontier’ distinctly shows. Subsequently, he once again draws on a past national hero, Apollo 11 astronaut Michael Collins, using his quote that “the moon is not a destination; it's a direction” (GB, #378f.). At the very end of the talk, the romantic, simplistic, past-based projections of an inevitable future is interestingly connected to, and enhanced by yet another set of past incidents, which are the ten astronauts NASA lost until that day (three in 1967 and seven in 1986). Although having stated, that ‘we have never lost’, he still draws on said deceased astronauts. He constructs them as spaceflight’s martyrs who “made the ultimate sacrifice to further the cause of space exploration” (GB, #448f.), which is only consequential, as he did use before the West-mythology and the connected manifest destiny. In a very dramatic, figurative way, he claims that “[t]hey have taken their place in the heavens so that America can take its place in the stars” (GB, #t449f.). This is arguably the strongest, and most simplistic romanticism in all of the talks. He may be strongly heroising the dead astronauts, starkly resembling the heroisation of astronauts in pop culture, yet he does this on the basis of an imagined community. He invokes a ‘they-for-us’ kind of logic, to construct the narrative that America owes them to keep being spacefaring, and to even start being more, be even more daring and innovative, that is more explorative. The community narrative thus not only serves to explain and experience the past, but also to make the future understandable and easily attainable, allowing to emerge an inner telos of the overall endeavour. It is also this simplistic romance towards the future in space that receives approval by the audience, which applauds for example after the bold and self-confident statement that the US will travel "back to the moon; back to the future [...] and this time, back to stay" (GB, #402f.), or when announcing "a manned mission to Mars" (GB, #404f.). The audience also approved the statement that a next ‘giant leap’, as Armstrong did his, could not be taken "unless we take a single step today" (GB, #462) - again connecting a past incident, this time a quote, lineary extracting an inevitable and plausible future from it, while building on a shared, national pride of an imagined community that draws on that very same past. Lastly, the quite poetic and romantic depiction of the (in fact never realised) Space Station Freedom as an easily walkable "bridge between the worlds" (GB, #423f.) received benevolent applause, too (and, notably, three years after the Challenger destruction). Hence, the narrative strategy did in fact have the intended effects at least on the then present audience. However, primarily because of the planned Mars mission, effective narrative work was necessary, as Murray explains. Such a specific goal had not been proclaimed since the Apollo days. Hence, “Bush's efforts are an enormously important step towards an efficient and rewarding manned US space effort. He has put a lot of political muscle behind that commitment. It was not just a throw-away line in a speech” (Murray, 2016, p. 185). Albeit, as poetic and romantic as he has presented himself, as strategic and deliberate he was in that, naturally. Owing Christopher Columbus a Mission to Mars - 63 - 7.4. George W. Bush - Of the Human Nature and Our Limits to Dream “States are as the men, they grow out of human characters.” Plato (428/427-348/347 BC), philosopher 7.4.1. Some Context As mentioned above, the policy introduced by George W. Bush in 2004 may be seen as being heavily influenced by the Columbia disaster, which took place about a year before the talk. Seen in context with the long-lasting changes the 9/11 attacks in 2001 have had on America, its self-image, once again the president could utilise spaceflight to communicate a larger message to the people. Expansive plans of moon stations in 2020 and manned missions deep into the solar system are indeed scientifically relevant, yet also constituted a tailored frame to make statements about very social and societal issues, too. 7.4.2. The Human Nature, the American Nature, and Other Worlds As I have explained, this part is to show what sets the individual talk apart from its counterparts. In principle, the talk delivered by George W. is relatively average among the five included in this study. He raises all the central themes that his predecessors raised as well, while no theme occurred outstandingly more often in his talk than it did in the other talks. However, taking a closer look, differences become clear anyway. The first thing that makes this talk special is the circumstance, that he does not only characterise the American culture, but also does some work in characterising the general human nature on several occasions, most clearly at the following instance: “[T]he human thirst for knowledge ultimately cannot be satisfied by even the most vivid pictures, or the most detailed measurements. We need to see and examine and touch for ourselves. And only human beings are capable of adapting to the inevitable uncertainties posed by space travel” (GWB, #616ff.) Framing the human being in such a way nicely serves the purpose of justifying the exploration- oriented policy. He stresses his explorative conception of human beings again later in the talk saying that “we know this: human beings are headed into the cosmos” (GWB, #623) , and again in the very last paragraph: “Mankind is drawn to the heavens for the same reason we were once drawn into unknown lands and across the open sea. [...] So let us continue the journey” (GWB, #664ff.), smoothly connecting the supposed human with the supposed American nature. Dramatically positioning this argument within the last sentences of the talk already shows this conceptualisation to arguably be the most tangible, specific reason for exploration that Bush presents throughout the entire talk. It becomes the main driver in the narrative of discovery that he tries to draw the audience into in the beginning of the talk: “[Meriwether and Lewis] made that journey in the spirit of discovery, to learn the potential of vast new territory, and to chart a way for others to follow” (GWB, #530ff.). Although “America has ventured forth into space for the same reasons [like Meriwether and Lewis explored unknown territory]” (GWB, #533), and although the “desire to explore and [to] understand is part of [the US American] character” Owing Christopher Columbus a Mission to Mars - 64 - (GWB, #534f.), both is not rendered something that inherently sets the US apart from the rest of the world. Contrary to the other presidents, to Bush this spirit of discovery is not something particularly American, but essentially human, although bringing it up serves the same purpose: it naturalises spaceflight. The conquest of space is not something that can happen, but something that is to happen. For Bush, it seems, the US is not superior in a temperamental sense, but rather in the sense that especially the US simply is capable of living up to these human traits in space as well, and exceptional in the sense that the US is the not less, but also not more, than the herald of the supposedly coming “era of discovery” (GWB, #644), or as Kennedy termed it 40 years before, the “age of space” (JFK, #57). The Meriwether- Lewis allegory can also be seen as perfect example of Bush’s generally rather egalitarian approach. Although he is projecting the ancient explorers ‘charting a way for others to follow’ on current proceedings, taking the somewhat same line of American superiority as the other presidents, he explicitly “invite[s] other nations to share the challenges and opportunities of this new era of discovery” (GWB, #643f.). Although America is constructed as destined to discover, destined to lead, the superiority is tied more to exceptionality than singularity. As rhetorically implied, others should follow the US beaten path, but not necessarily be outpaced and eventually left behind. Nevertheless, interpreting the Meriwether-Lewis metaphor as allegory is still one of the strongest incidents of meshing national/cultural American exceptionalism with the mythical representations of discovery. The allegory invokes a clear hierarchy of nations yet emphasises superiority more than singularity. Overall, however, George W. Bush seems to take a more humble, balanced stance when introducing his space policy. This observation gets strengthened by another observation, as coding showed. Namely, although indeed framing the American character in a favourable way, he does it slightly differently than the other presidents in yet another way. He is not adding something particular to his notion of Americanness but leaving out a notion that is expressed very frequently elsewhere: the inherent greatness of America and Americanness. This is not to say that Bush is belittling the US. He simply is less explicit in communicating the country’s greatness in comparison to other countries, other (sociotechnical) cultures, and their technological capabilities and motives. For instance, he claims NASA to have “increase[d] the sum of human knowledge” (GWB, #546), yet does not claim that other space agencies did not do that as well. He plans to establish “extended human presence” (GWB, #600) on the moon, not an American presence. He finds, that it is America who will “return with peace and hope for all mankind" (GWB, #597f.) to the moon, yet he does “invite other nations to share the challenges and opportunities” (GWB, #643f.), and stresses his strong approval of “the joint efforts of the Russians with our country to explore” (GWB, #517f.). A purely statistical perspective supports that point again. In the five talks together, ‘lead’ as single word or as part of a word, appears 21 times. Bush only uses it twice, and in both instances, the use is barely connected to the speech’s greater narrative or its protagonists. There is little doubt that at its core national interests are one driving force of all activities Owing Christopher Columbus a Mission to Mars - 65 - in space, and that this is no different for the Bush administration. However, the point here is, that the narrative framing is considerably different. It is less US-focused, less aggressive, less competitive. As part of this line of argumentation, I want to briefly work out how George W. Bush tended to use expressions of exploration in a rather communal and collective sense. As a comparison: Kennedy spoke of American satellites that provided knowledge to humanity. Even Nixon spoke of a specifically American beach-head in the sky. George W. Bush’s father proudly mentioned the American flag on the moon. And, as we will see later on, Obama spoke of “strengthen[ing] America’s leadership here on Earth” (BO, #965f.). Bush, in 2003, however, tried to appeal to much greater collectives than that of the US. The list below shows the most striking incidents, as in all of these incidents, instead of speaking of ‘man’ or ‘humanity’, he could have also used an American framing. a. “carry man forward into the universe, to gain a new foothold on the moon, and to prepare for new journeys to worlds beyond our own” (GWB, #508ff.) b. “no human being has set foot on another world” (GWB, #556) c. “the main purpose of this spacecraft will be to carry astronauts beyond our orbit to other worlds” (GWB, #586f.) d. “we will then be ready to take the next steps of space exploration: human missions to Mars and to worlds beyond” (GWB, #611ff.) e. “a new plan to explore space and extend a human presence across our solar system” (GWB, #561f.) After this thematic approach revealed the importance of these aspects, performance analysis can confirm them, showing that they mattered greatly not only to the president, but also to the audience. The audience applauded five times during the talk, with every instance being connected to one of the topics mentioned until now, although surely also due to the fact that the audience consisted of people working in the spaceflight industry, and thus being prone of having similarly spaceflight favourable perspectives. The particularly explicit claim that "we know this: human beings are headed into the cosmos" (GWB, #623f.) received applause as much as did the claim that "human missions to Mars and to worlds beyond" (GWB, #612f.) would take place in the foreseeable future. Likewise, notions of the American nature were explicitly approved as well, as for example the declaration, that "America will make those words [on returning to the moon] come true" (GWB, #597f.), was followed by a particularly long applause. The audience also supported the claim that the Columbia crew "did not turn away from the challenge and neither will we" (GWB, #662f.), a sentence that clearly implies and projects age-old ‘American values’ that I have discussed in the context of especially the myth of the West. To conclude this section, the American character is again constructed in a very positive, favourable way, and receives strong approval by the audience. However, contrary to the other talks, and as already put above, the American Owing Christopher Columbus a Mission to Mars - 66 - ways are much stronger connected to how general human ways are constructed, showing less inherent deviance between them. 7.4.3. High Hopes and the Obligation to Carry On As I have outlined above, in national political respects the undertone of this talk is calmer and less competitive. Instead of constructing the imaginary of a global conflict, or the idea of purely nationally driven rationales, Bush achieves to invoke an atmosphere of anticipation and primarily technological - not quite national - pride. This might seem an unlikely mixture considering that the talk took place just about one year after the loss of the space shuttle Columbia. But how does he exactly achieve this positive spirit despite of the ominous preconditions? First, just like his father did 15 years before him, he employs the narrative imperative of the ‘spirit of discovery’, which he renders imperative through his conceptualisations of the human nature (see above). While George Bush explicitly mentioned Columbus twice, his son made reference to the Lewis and Clark expedition, which took place from 1804-1806: “[Lewis and Clark] made that journey in the spirit of discovery, to learn the potential of vast new territory, and to chart a way for others to follow” (GWB, #530ff), achieving the same message: the US is historically and hence temperamentally bound to ‘explore’. Second, he invokes technological pride and excitement, based on relevance. Spaceflight is “mighty important to the country and to the world” (GWB, #527f.). He proceeds claiming that “that quest [of spaceflight] has brought tangible benefits that improve our lives in countless ways” (GWB, #535f.), just as the Space Exploration Vehicle will be “the first spacecraft of its kind since the Apollo Command Module” (GWB, #587f.); a logical and compulsory sequel. Within that technological sequel (a few years later, Obama would use the expression of the ‘next chapter’), robots and probes are not just inanimate objects, but anthropomorphised “trailblazers - the advanced guard to the unknown” (GWB, #614), sending “spectacular images” (GWB, #616) back to earth. Third, to let everything appear close and urgent, he reminds the audience that “[a]t this very hour, the Mars Exploration Rover Spirit is searching for evidence of life beyond the Earth” (GWB, #553f.). Most prominently, then, the sixth sentence of the speech simply reads “America is proud of our space program” (GWB, #501), which even adds a communal touch to it. Without exceptions whatsoever, it is the entire country that is proud of its space programme. Fourth, drawing upon the technological pride and excitement, he stirs up high hopes. Under the precondition, that “much remains for us to explore and to learn” (GWB, #555), he frames the current investments as “only a beginning” (GWB, #653), assuring the audience that “along this journey we'll make many technological breakthroughs”. The evocation of well-grounded hope becomes most clear in a moment when his words become just as flowery as they become imprecise and vague: “We may discover resources on the moon or Mars that will boggle the imagination, that will test our limits to dream” (GWB, #627ff.). Regarding future benefits of spaceflight, general uncertainty turns into merely unassessable certainty, and something that must not be disregarded. At this point, the line of argument is already coherent and effectively functional. However, Bush again uses a similar narrative Owing Christopher Columbus a Mission to Mars - 67 - strategy like his father. Namely, fifth and finally, he turns a complete and fatal failure into a reason. I have pointed out above the rather sad circumstance of the talk, that of the Columbia disaster that happened less than one year before the talk. As relevant as the issue actually might be perceived for American spaceflight, he essentially mentions Columbia only in the very end of the talk, turning the disaster into a reason to expand even more aggressively. Just like his father constructed it around the Challenger incident, George W. Bush narratively constructs the situation so that the US is owing more expansive spaceflight to the Challenger crew: “‘The legacy of Columbia must carry on - for the benefit of our children and yours.’ The Columbia's crew did not turn away from the challenge, and neither will we” (GWB, #660f.). The reason, thus, is not just a good reason, but a historically and (techno-)culturally grounded American obligation - a manifest destiny. 7.5. Barack Obama - Back into the Future “Issues are never simple. One thing I'm proud of is that very rarely will you hear me simplify the issues.” Barack Obama, 44th president of the US 7.5.1. Some Context This last talk took place in April 2010 in the assembly building of Kennedy Space Center (KSC), which was named after John Kennedy, whose seminal space talk was investigated above. The KSC and the associated Cape Canaveral Air Force Station is a central institution in American spaceflight, having been the launching place of all Apollo and space shuttle missions. Hence, the place was again intended to ‘speak’ as well, adding relevance and weight to what was to be communicated in the talk. One important political as well as economical and societal context was the financial crisis that had great impact not only on the US, but on global economies. It is a context that Obama himself even makes part of the speech. He delivers the longest of the five talks included here, the main reason being that he goes at length into NASA as an employer. He, hence, is addressing issues of people losing jobs due to the termination of the space shuttle programme the year after his talk, which is another central part of the talks’ initial situation. These issues are not particularly interesting in itself, yet they hint at something that Obama evokes more intensively than his predecessors: communality, with NASA being one communal collective. He addresses “worries of folks concerned not only about their own futures but about the future of the space program to which they’ve devoted their lives” (BO, #795ff.), and is later ‘challenging’ NASA to ‘break barriers’, while adding that “I know you will [break those barriers], with ingenuity and intensity, because that’s what you’ve always done” (BO, #919f.). He invokes a culture within NASA as an entity, that is quite central to the talk and shows his sensitivity as towards his audience. Owing Christopher Columbus a Mission to Mars - 68 - 7.5.2. Lacking Vision: Shadows of the (Recent) Past After the two positive and solely encouraging talks of George Bush and George W. Bush, Obama in comparison performs a rhetorical sweeping blow, in the first half of the speech heavily criticising much of what had been done before, primarily by the governmental side of American spaceflight. A central theme of Obama’s talk is that of vision, and the question who has one, who does not, and what it is or should be. He is attesting especially the administration of George W. Bush and the consequential programme Constellation a general lack of vision. He depicts much of the rather recent past as being dominated by lack of direction, by inconsistency, and by sheer incompetence. I believe the following statement to be very central for the entire talk: “But we can also see it in other ways: in the reluctance of those who hold office to set clear, achievable objectives, to provide the resources to meet those objectives, and to justify not just these plans but the larger purpose of space exploration in the 21st century” (BO, #804ff.) Much is to be found in this statement alone, yet I want to focus on three aspects. First, as did the other presidents before, and as I will also discuss at length in chapter 7.6.6., he assumes a clear trajectory in spaceflight and its proceedings, that is supposedly fostered and eventually only enabled by sets of ‘clear objectives’. Second, by stating that it was American politics who failed to provide resources to follow a certain trajectory, he takes away any blame for past omissions from the entity that NASA and the spaceflight industry in general is constructed to be. Third, he addresses a ‘larger purpose of space exploration’, which previous administrations assumedly did not address sufficiently. These three steps constitute what I summarised under the term of the ‘shadows of the past’. The reason for the past administration(s) hindering progress in spaceflight is constructed in a simple way: “People in Washington [may be] driven sometimes less by vision than by politics” (BO, #800f.). While on the one hand, this proves my previous point of spaceflight indeed constituting a mere political instrument, on the other hand, at the same time it makes an interesting move in explicitly trying to decouple American spaceflight with the country's politics. Additionally, adding legitimisation, through positioning himself as someone who understands these tensions, Obama renders himself into an indulgent spokesperson for NASA, depicting it as optimally politico-independent institution, and makes that the basis for NASA being able to live up to a supposed vision again. He tries to strengthen this positioning by adding that his accusations are “not just my assessment; that’s also the assessment of a panel of respected non- partisan experts” (BO, #878f.), which distributes responsibility for any future action. Regarding the vision in spaceflight, then, it is right that thematic analysis indeed showed ‘visions’ to be not as urgently and recurringly mentioned in other talks as in Obama’s. Nevertheless, to “live and work in space for longer periods of time more safely” (BO, #865f.) is a version of the sociotechnical imaginary of conquering space, that, in the end, is neither very specific, nor exclusively Obama’s. As I have shown above, it was already Nixon who aimed for “a real working presence in space” (BO, #223f.). George Bush imagined a “future where Americans and citizens of all nations will live and work in space” (BO, Owing Christopher Columbus a Mission to Mars - 69 - #385), and George W. Bush proposed the “goal of living and working [in space] for increasingly extended periods” (BO, #594). Hence, the overall argumentation can to a large amount be seen as political self-legitimation and narrative strategy to strengthen his position. Additionally, it achieves to frame the Obama-shaped future in spaceflight as much less politically driven, but driven more by a general vision of the technoscientific future. However, it is for the most part the political sphere that Obama criticises. On several points he praises NASA’s skills and expertise, as he speaks of “harness[ing] the ingenuity of [America’s] people” (BO, #763), finds that “our capabilities in space will continue to serve our society” (BO, #784) as a whole, and explains the purpose of the ISS to be “conducting advanced research that can help improve the daily lives of people” (BO, #825f.). Finally, he describes Apollo 11 as an “endeavor that pushed the boundaries of our knowledge, of our technological prowess, of our very capacity as human beings to solve problems” (BO, #987ff.). In the past, following Obama, the US was prevented from having a worthy spaceflight programme, an analysis starkly resembling how the Augustine Commission framed the outcome of its study that was conducted to inform the president about current affairs in spaceflight. It was published under the title Seeking a Human Spaceflight Program Worthy of a Great Nation (Review of U.S. Human Spaceflight Plans Committee/NASA, 2009). Now, speaking of ‘shadows of the past’ implies a present, and, even more so, a future. Of course, he depicts this future as well, introducing it in captivating words: “We want to leap into the future; we want major breakthroughs; a transformative agenda for NASA” (BO, #873f.) - a quote that leads to the second part of this individual analysis. 7.5.3. Commitment and Society: The Grand Future There is one remark Obama makes the central prerequisite for future spaceflight: “The bottom line is nobody is more committed to manned space flight, to human exploration of space than I am” (BO, #885f.), a statement that he confirms again later on: “I am 100 percent committed to the mission of NASA and its future” (BO, #782f.). Part of reasoning his excitement about spaceflight is quite interesting, as it is private, driven by his very much personal emotions and memories: “I have been part of that generation so inspired by the space program. 1961 was the year of my birth - the year that Kennedy made his announcement. And one of my earliest memories is sitting on my grandfather’s shoulders, waving a flag as astronauts arrived in Hawaii” (BO, #764ff.) An interesting foundation for allocating billions of dollars, and also a stark contrast to how he presents the recent past in spaceflight and spaceflight in society. It once was celebrated, glorious, now it is hindered and ineffective. Hence, he does not want to continue, but to lead NASA back into these glorious times again, as the narrative goes, although Obama expressed it a little more casual: “we can’t just keep on doing the same old things that we’ve been doing and thinking that somehow is going to get us to where we want to go” (BO, #887ff.). The shadows of the past want be overcome via Owing Christopher Columbus a Mission to Mars - 70 - implementing vision and milestones. However, the perceived lack of vision lets arise the question: What “visions” does Obama now bring up to counterpart the supposed lack thereof? Obama’s vision is very much informed by conceptualisations of spaceflight and society, and how the former improves the latter: “Because broadening our capabilities in space will continue to serve our society in ways that we can scarcely imagine. Because exploration will once more inspire wonder in a new generation - sparking passions and launching careers. And because, ultimately, if we fail to press forward in the pursuit of discovery, we are ceding our future and we are ceding that essential element of the American character” (BO, #783-789) Despite his previous emphasis on ‘clear and achievable objectives’, these intentions may indeed be achievable, yet hardly clear, let alone verifiable. Contradicting the basic idea of objectives, he proceeds speaking about similarly unspecific rationales why spaceflight is a solution to societal issues, all being hardly controllable, reachable, or plannable. “Science [...] will garner tangible benefits, helping us to protect our environment for future generations” (BO, #821f.), the purpose of the ISS is described with “advanced research that can help improve the daily lives of people here on Earth, as well as testing and improving upon our capabilities in space” (BO, #825f.), and a new vehicle that three billion Dollar will be invested in will simply “transform not just where we can go but what we can do when we get there” (BO, #856f.). It is right, that Obama also puts out achievable milestones like a manned mission on an asteroid, and a manned mission to Mars in the 2030s. However, besides these two destinations, he does not provide any clear objectives, but promotes, as he himself puts it, generally “groundbreaking technologies” (BO, #863), that is basic research. It is also the scientific and explorational goals that ultimately are targeted in the name of societal progress: “For pennies on the dollar, the space program has fueled jobs and entire industries. [It] has improved our lives, advanced our society, strengthened our economy, and inspired generations of Americans” (BO, #974ff.). Obama trying to conceptually tie spaceflight closer to society than to politics becomes also clear when taking into consideration the 2009 global circumstances. Through stressing that he intends to raise NASA’s budget while freezing many other institutional budgets, he strengthens the supposed societal impact of spaceflight for the entire country and turns an economic crisis into a plausible reason for explorational spaceflight. Especially him presenting ‘inspiring generations of Americans’ as a way to counterpart a massive crisis, is an argumentative logic supporting some formerly made claims of mine: spaceflight possesses communicative power, and it is ascribed with inherent societal and political weight, through carrying and reifying basic cultural values. Also, performance analysis perspectives are rewarding here, as they reveal the contradictions as well as the perfectly working rhetorical strategy of Obama. The depiction of him as a polit ical spokesperson who is giving freedom of research back to NASA seems to be accepted and embraced Owing Christopher Columbus a Mission to Mars - 71 - judging by the audience applauding after both statements assuring Obama’s commitment. Just as reliably does the audience spend applause when any explorational goals and measure is announced, for example sending "many more astronauts to space in the next decade" (BO, #896f.), promising "future deep space missions" (BO, #849) and "increasing NASA’s budget" (BO, #809). Also, unspecific ‘major breakthroughs’ and the announcement of building a new heavy lift rocket are warmly approved. It shows that the talk, similarly to the others, is primarily conveying a general narrative, not trying to explain any details and specific reasons. To get general support for the new policy, its goals want to be embedded in larger social contexts. For that purpose, the talk lets arise an atmosphere of demanding optimism. Very symbolic for that atmosphere may stand the extremely determined face Obama puts on after boldly stating that “I expect to be around to see [a manned mission to Mars]” (BO, #913). Four times applause is given in the paragraph heading to that statement alone, the whole act is very much performed, lived even perhaps, together by audience and speaker, informed by one goal: to enable a US exceptional and superior future in space. 7.6. Common Narratives: Why to Conquer Space “The human being is in the most literal sense a political animal, not merely a gregarious animal, but an animal which can individuate itself only in the midst of society.” Karl Marx (1818-1883), philosopher and economist In the previous five sections I have extensively laid out what sets the individual talks apart from each other, what makes each narrative special. However, not just reading between the lines could we see that despite being delivered over a time span of about five decades, the speeches are deeply and peculiarly connected not only by the overall topic and intent, but just as much by their individual conceptualisations, reasonings, and whole lines of argumentations. Hence, what I have worked out until now are not fundamentally different approaches to American spaceflight, but merely narrative variations and different emphases. Kennedy was focused on dualities, based very much on the political impetus of the Cold War, and its consequential space race. Nixon stressed that reducing costs was essential, but still emphasised America’s (ongoing) leadership in space. George Bush senior turned out to be a space romanticist, that honoured the past just as much as he anticipated the future. His son, George W. Bush, similarly driven by a spaceflight catastrophe like his father, found reason to conquer space not only in American, but in human nature. And even though Barack Obama found harsh words for past spaceflight, his subsequently presented vision was still based on very ‘American’ values and perspectives. This sixth section now aims at bringing together what was brought up strikingly frequently in each talk. I will again divide this section thematically (see Riessmann, 2005) into six different sections; unity, exceptionality, history, destiny, hierarchy, and trajectory. These six steps may be seen as constituting the overall narrative strategy to excite audiences for the idea of conquering space and embed the sociotechnical imaginary of conquering space in the American society. Owing Christopher Columbus a Mission to Mars - 72 - 7.6.1. Unity: The Spacefaring Nation NASA has “always reflected the finest values of our country - daring, discipline, ingenuity, and unity in the pursuit of great goals” (GWB, #498, my emphasis). Here, in his fourth sentence already, George W. Bush proclaims what is necessary for both, exploratory spaceflight, and an effective narrative to receive sufficient support for it: national unity. How this unity gets evoked at other occasions, too, and why this is a plain necessary strategy, is discussed in this section. The most often used, and in a way at the same time most obvious and subtle rhetoric means, is the presidents almost always speaking of we, or of us, of the one community that everybody can refer to and draw on. Practically, it is neither Kennedy, nor NASA, deciding to ‘go to the moon’, but ‘We choose to go to the moon’. Each of the presidents used very similar narrative tactics of mobilisation through unification. Nixon, the exception, for example, indeed began his talk saying that “I have decided” (RN, #191) to build the shuttle, yet also, he, in his last sentences, demanded that “we must sail, and not drift, nor lie at anchor” (RN, #269). George Bush assumes that “like Columbus, we dream of distant shores we've not yet seen” (GB, #451f.), and his son, George W. Bush, felt that “we have undertaken space travel because the desire to explore and understand is part of our character” (GWB, 533ff.), and that conquering space “lifts our national spirit” (GWB, #666). Obama, finally, set about meeting his goals “as a nation” (BO, #749f.), and announced that “we will push the boundaries not only of where we can go but what we can do” (BO, #958f.) - it is not about what robots or astronauts do, but what we do there. And these are just some examples. In all talks, the currently about 330 Mio. citizens of the US become rhetorically homogenised, and one entity, one very much definable public to speak to. And although this study uses qualitative methods, one may, rather anecdotally, refer to one simple quantitative measure here, too. Namely, the word we appears a whole 200 times in all talks, about 50 times it is referred to an undefined us, strengthening my point of the strong feeling of community and togetherness that is evoked. Additionally, unity through greatness is often being connected with the place the talk is given from, respectively at. As Barker finds, “[l]eaders surround themselves with objects which ‘acknowledge’ their importance” (2001, p. 53), which is also used by all presidents, perhaps most vividly by president Kennedy: “We meet at a college noted for knowledge, in a city noted for progress, in a state noted for strength” (JFK, #9f.), a statement that achieves to evoke unity through locality, while speaking to a factually intrinsically disconnected crowd, that is even more disconnected from the rest of the country’s citizens. Still, they all become one unit through relating the smaller to the larger circles; the college with the city with the country - narratively becoming nothing but one entity with an intrinsic logic. The talks obviously try to make people wish or feel good about belonging to something, that is the United States of America. This belonging becomes possible through the evocation of an imagined community whose members share a unified collective identity (see also Yuval-Davis, 2006, p. 204f.). For unity, a special role do those incidents play, in which acute crises are considered, which was particularly the case for George Bush and George W. Bush. Against the backdrop of these incidents, the Owing Christopher Columbus a Mission to Mars - 73 - presidents evoke something that goes even deeper than sheer community. I already hinted at above (see section 7.3.), how George Bush made the Challenger disaster appear like an awful family drama. The astronauts are portrayed as having died for all other Americans, an argumentative strategy that George W. Bush copied: “The Columbia's crew did not turn away from the challenge, and neither will we” (GWB, 662f.). Following the point, the dead crew members were essentially convertible with ‘regular’ citizens; an ‘it-could-have-been-you!’ logic. What emerges, is not only community, but fraternity (see Anderson, 2006, p. 7) between people who do not know each other at all. The fraternity, the imagined and inherent human closeness, is rendered the cause of basic values that all Americans supposedly possess. All are the same, were the same, and will be the same, everybody is united under the stars and stripes. In other words, the talks evoke a strong ‘ethnocultural homogeneity’, a term I also lend from Anderson (2006, p. 95). In essence, speaking about spaceflight does not mean to speak about a few individuals going to space, but to draw the picture of one entire spacefaring nation. Additionally, it is constructed a concept of an inherently logical home, of heimat, that it is worth to work for, and sometimes even worth to die for (see Bush’s Challenger reference, George W. Bush’s Columbia reference, and principally also Kennedy’s Mallory reference, as Mallory died on Mount Everest). Concluding this section, we can state that the presidents talk about the country’s activities like the country was one completely homogenic construct, one entity, one unit. Now, as we will see, the five presidents ascribe this unit of the United States and its people with values and treats that pop culture likewise is ascribing astronauts with. Put the other way round: astronauts come to embody Americanness. To illustrate my own narrative here, I will now characterise and describe the self- understanding of the US that the presidents undertake by characterising a fictive person, an astronaut, using it as a metaphor of how the US is constructed as one single character. I will call it the US-tronaut. What emerges, is the said very consistent picture of the US, that unity lends eventual substance to. 7.6.2. Exceptionality: Valuing the United States of America To begin with, this is not a piece of work to be located in American studies. Some literature from that field provided me with valuable insights, but this work does not claim to find out who, what, and how the United States of America are. What I can and will do, however, is to see how the United States are depicted and valued within the scope of my material, in which a great number of incidents occurred, containing traces of how the US is constructed by the very person who was, at the time of speaking, the US’ highest representative. The words used to describe the US-tronaut are partly even identical, and their root is the same - it is American exceptionalism. Every talk contains traces of it, some of them tiny and subtle, others strong and perfectly unambiguous, easily traceable back to classic American themes and myths. Remarkably congruent are the presidents’ concepts of origin and inferences of that identity, too. In the following, some of my sentences may sound excessive or sarcastic even, yet the entire paragraph is nothing but a literal accumulation of presidential American self- Owing Christopher Columbus a Mission to Mars - 74 - representations in the talks. To clarify how this characterisation is indeed directly derived from the talks, I have put in italics the words and expressions de facto used in the talk. The carefully assembled ‘US-tronaut’ perceives himself as fundamentally superior, and superior to any person sharing his near and far surroundings, and especially to any person sharing his occupation. What he does, he always does to the fullest, with remarkable discipline and perseverance, inspired by his deeply inherited trait to never rest, but to move forward, and not letting progress come to a halt. The progress he ensures is guided by his general ingenuity, he is always being ready for new adventures. Ambition, paired with courage, daring, boldness, and the willingness to take great risks, are some of the deepest, and finest values that drive him on his personal pathway to the stars. Being first is, what he aims at, always. He unquestionably achieves this through great commitment when facing the challenges that he regularly poses to himself, reaffirming creativity and various other unparalleled capabilities. It was his knowledge alone, and his sheer technological prowess, that made and keep him being the best in what he is doing, and also made him the richest individual of them all. What he dreams, he does, whatever ability is needed. He will learn and grow with the challenge, as, ultimately, he is the embodiment of mental and physical strength. In all that, though, the US-tronaut takes pride in his confidence to always follow quite noble intentions. Among them is the discovery not only of new knowledge, the urge to understand nature as it is, but also to ensure peace for him and everyone else. Although interested in cooperation, he will always be palpably greater than any counterpart, and asserting to leadership is always priority. Subsequently, it is clear that only the US-tronaut who can ensure true peace. Others need him. Hence, whatever he tackles, he can be confident about his eventual superiority not only capability-wise, but also morally-wise. However, it is always only going to be a carefully regimented share, as the US-tronaut’s thinking is not limited to the present, but also includes the future. And in this future, he will, just as he does today, lead, by right, by destiny. His very character does not allow for anything else, aiming lower would simply mean ceding essential elements of his character, hence factual self-deceit. Meanwhile, he still takes pride in his openness, and how his approach to life makes him utterly free. In consequence, through being superior but still being open and caring for the less able and differently minded, letting them also profit from his noble efforts, he perceives himself unquestionably on moral high ground. Living a life following his values, he is sure of, maybe dangerous and hazardous, but the world’s greatest experiment in freedom. From his viewpoint, he has every reason to be more than proud of himself. After all, he and his traits are but the best of all mankind - the world’s best hope. Two specific quotes may round up this section. George Bush in 2004 vividly depicts how American exceptionalism is used in the talks, and thematically related to spaceflight: “To this day, the only footprints on the moon are American footprints. The only flag on the moon is an American flag. And the know-how that accomplished these feats is American know- Owing Christopher Columbus a Mission to Mars - 75 - how. What Americans dream, Americans can do. [And] Space Station Freedom [will be] an investment in the growth, prosperity, and technological superiority of our nation” (GWB, #416- 425) At the heart of it, however, is NASA, carefully weaved in into the narrative of communality. NASA is constructed as not just some governmental research institution but is rendered the nucleus of the US as one spacefaring nation, and thus one nucleus of the American identity. An interpretation that Barack Obama put into his own words in 2009: “For me, the space program has always captured an essential part of what it means to be an American - reaching for new heights, stretching beyond what previously did not seem possible. And so, as President, I believe that space exploration is not a luxury, it’s not an afterthought in America’s quest for a brighter future - it is an essential part of that quest” (BO, #767-772) Throughout the talks, a very specific Americanness gets constructed, grounded on values that, at least within the context of spaceflight, do not vary much over the course of the time span my study covers. Especially exploratively used and manned rockets become elevated from being - admittedly quite sophisticated - technological devices to vivid technological expressions of the supposed national character of the USA. 7.6.3. History: The Traditionalisation of Values Any character, individual or national, needs a past that formed it. But how far does one have to go back in time to find the origins of one’s nature? In this study, I am interested in the American character, how it is depicted and grounded in the case of the US presidents promoting their space policies. In that specific context, origins of the US national character are constructed to lie back as far as 500 years in the past. It derives from a history that is rendered linear and plausible, illustrated by many past ‘American’ heroes. Many glimpses in recent and far away pasts are undertaken in the talk, and a number of historical figures are introduced and narratively utilised. Past developments are reconstructed and then projected into the present and future. Two of the five speakers already draw on history regarding the locality of their talk. George Bush mentioned the National Air and Space Museum, keeping the “testaments to Apollo and to what came before - the chariots of fire flown by Armstrong, Yeager, Lindbergh, and the Wrights” (GB, #368ff.), and the National Archives “preserve[ing] the founding documents of the idea that made [the United States] possible” (GB, 371ff.). Obama referred to the KSC, stating that “[i]t was from here that NASA launched the missions of Mercury and Gemini and Apollo. It was from here that Space Shuttle Discovery [...] carried the Hubble Telescope into orbit, allowing us to plumb the deepest recesses of our galaxy” (BO, #728ff.). That circumstance may already hint at what table 3 and four finally reveal; historical references are pivotal for the president’s lines of argumentation favouring the conquest of Owing Christopher Columbus a Mission to Mars - 76 - space. It shows in (partially disputable) chronological order 4 a timeline of all historical references included in the five talks. Obviously, the individual categories for Type and Context are far from being absolute. They overlap and are inherently interdependent, yet provide a first glimpse into what contexts the talks provide: Table 2: Color codes explaining tables three and four. Reference Type Context Presidents General Temporal Reference American Kennedy (JFK) Invention/technical development Global Nixon (RN) Discovery Bush (GB) Human icon(s) W. Bush (GWB) Specific moment or time span Obama (BO) Multiple Table 3: Time specific historical references made in the talks. Type American? President Stone age, usage of animal skins Writing and invention of the wheel Foundation of Christianity Leonardo da Vinci Printing press Christoph Columbus GB, GWB, BO William Bradford/Plymouth colony US founding documents Newton/gravity William Bradford/Plymouth Bay Colony Industrial Revolution Louisiana purchase Meriwether Lewis and William Clark 4 Primarily when it comes to processes rather fixed dates, the exact order may be disputable. That, however, is not of much interest for the points I try to take from it. Owing Christopher Columbus a Mission to Mars - 77 - Oliver Wendell Holmes Steam engine Electric light Telephone Automobile William Jennings Bryan Wright brothers JFK, GB, GWB Penicillin George Mallory/Attempted Mt. Everest ascend Charles Lindbergh Television RN, JFK Nuclear power Chuck Yeager Sputnik Eisenhower/NASA foundation President Kennedy/moon talk Project Gemini Space Race JFK, GB, GWB, BO John Glenn flight/Project Mercury JFK, BO Apollo programme RN, GB, GWB, BO The Apollo 11 crew GB, BO Moon landing Neil Armstrong Buzz Aldrin GB, BO Michael Collins Eugene Cernan Michael Jackson Challenger crew GB, BO Columbia crew Owing Christopher Columbus a Mission to Mars - 78 - Table 4: Not time specific references made in the talks. Unspecific references American? President US westward expansion The Oregon Trail Weather forecasting RN, GB Communication Computing Rescue technology Robotics Electronics Satellite communication RN, GB GPS system RN, GB Imaging in CAT scanners MRI machines Monitoring nature resources Pollution control The length of this list alone can tell us about the importance that is given to historical context when presidents talk about spaceflight. The presidents and everyone who was involved in the process of crafting the talks could have used any words they wanted to, they could have spoken solely about the future. But even when considering the past, they could have included any past incident. Yet the table shows what the presidents considered relevant, something Asdal and Moser (2012) called ‘contexting’. It is this specific context they want to see the imaginary of conquering space embedded in, and it appears consistently over each of the five talks. Contexting never happens by chance, but it is something deeply deliberate. Hence the question arises: What do all these incidents stand for? Why is the (far away) past so important in political considerations about spaceflight in the (far away) future? To find out about the why, we shall first look into the how. In the individual discussion of George Bush’ talk, I introduced the idea of simplifying romanticism. This narrative technique, essentially the deliberate and purposeful reconstruction of the past, perhaps becomes most obvious in the cases of Christopher Columbus and the myth of the West (see chapter 2.5.1.). First, although Columbus might Owing Christopher Columbus a Mission to Mars - 79 - indeed have “dream[ed] of distant shores” (GWB, #451), today, historians have come to know that his intentions were not all excessively romantic and fundamentally noble. Nevertheless, for the purpose of the talk, the ‘good’ Columbus wins over the ‘bad’ Columbus (see Paul, 2014). He finds his way into the talks, becomes a reason for American identity, and thus for ‘conquering space’. Something very similar applies to the myth of the American West. George W. Bush, even intermeshing both myths, said that “[m]ankind is drawn to the heavens for the same reason we were once drawn into unknown lands and across the open sea” (GWB, #664f.). Regarding the ’unknown lands’, however, he completely conceals the at least very questionable happenings taking place during that westward movement, primarily concerning the confrontation of expansionists with native American people. Just like it is the case with Columbus, for the sake of cultural plausibility, and probably against better judgement, the past gets bended. What counts is the positive construction of the local cultural frame; appropriate is, what endorses the imagined community’s’ noble values. Anything that opposes these values may simply be ignored for the sake of the argument’s plausibility. That being said, many other direct quotes now aid us in finding out in detail why history matters to the narrative so much. As the section’s title already implied, I found the principal intention of including history to be the grounding of cultural identity. Ascribing historical events and figures with supposed American values lends linearity and thus an inner logic to them. In essence, it traditionalises Americanness. Connecting history to identity, George Bush saw “a monument to our nation's unparalleled ability to respond swiftly and successfully to a clearly stated challenge” (GB, #358ff.) in the Apollo programme. The work of one governmental institution, by then done about two decades ago, is not only constructed as a success of a past version of the nation, but just as well as something that Americans today can and should be proud of. That invitation includes “those who were not yet born or then too young to recall” (GB, #328), as they, too, are asked to “join us in a great dream, an American dream, a dream without end” (GB, #329f.). Values are passed on to them, they are part of the inevitable American cultural heritage, resulting in a dream, that is to be dreamed out of tradition (on the ‘invention of tradition’ see Hobsbawm and Ranger, 1983). A similar approach is taken specifically when talk is about what I summarised under inventions and technical developments (see table 1). Although some of the inventions and moments are not specifically American and are not always directly constructed to be so, they always embody central American values reproduced in the talks. Kennedy, for example, used George Mallory’s ‘Because [Mt. Everest] is there!’ as one of his central arguments to conquer space, although Mallory was an Englishman. However, with his attempted Everest ascent, he can still serve as an endorser of American values, despite his English descent. He perfectly embodied the characteristics of the timeless imagined American community. The National Air and Space Museum, that shows many artefacts of spaceflight history, is, by George Bush, literally described as “a symbol of American courage and ingenuity” (GB, #309f.). Ultimately, as it became more and more established over time, spaceflight itself became traditionalised, too: George W. Bush, despite the backlashes of the Columbia disaster, said Owing Christopher Columbus a Mission to Mars - 80 - that “America has ventured forth into space for the same reasons. We have undertaken space travel because the desire to explore and understand is part of our character“ (GWB, #533). The traditionalised identity leads to traditionalised practices, in turn making any future undesirable, in which space is not conquered by American efforts. When Obama, for example, talked about the moon landing, he claimed that it “wasn’t just the greatest achievement in NASA’s history - it was one of the greatest achievements in human history” (BO, #989ff.). This could have been said about almost every other incident in table 3. In the end, all historical references simply substantiate Americanness. Although some of the past heroes might have lived hundreds of years ago, and although also some of the incidents occurred just as long ago, the values they embodied endured through time. My first early conclusion here, is, that the historical references all in all convey three basic themes: ingenuity, progress, and courage. All of them are themes constructed to be deeply American. But it gets even more interesting when looking into what this historically grounded Americanness is again turned into. The specific figures and incidents achieve to turn an arbitrary selection of reinterpreted past events into a linear array of interrelated and interdependent moments - exactly what Commager called the construction of a ‘usable past’. I posed before the question why history is such a central theme in the talks concerned with events up to several decades in the future. The answer is simple. The argumentative strategy, namely, is to turn a shared history into an inevitable legacy, which has to be fulfilled. From history emerges destiny, which is what the following section will examine. 7.6.4. Destiny: Expanding into the Future “Space: the final frontier.” First words of the Star Trek title sequence We do not know if Anderson had in mind specifically the US when originally writing his book in 1983, yet what he wrote about nationalism seems tailored for the United States: “It is the magic of nationalism to turn chance into destiny” (2006, p. 12, my emphasis). We have discussed before the meaning of the (manifest) destiny in the American context, and indeed, the national identity in the talks, that is derived from a plausible history, is in fact turned into a future- and action-oriented destiny. “Standing between these twin legacies, is a fitting place to look forward to the future” (GB, #373f.), found president George Bush, making clear his destiny-evoking temporal inferences, something that he is far from alone with, as I will show in the following. Already president Kennedy claimed that “[t]his country was conquered by those who moved forward—and so will space” (JFK, #42f.), laying out the conceptual foundations of necessities for progress. George W. Bush, about 30 years later, took very much the same line, although relying more on naturalisation than on compulsion. He claimed that all people are ‘dreaming of distant shores’, and became quasi complemented by his son about 15 years later, who explained to the audience that Owing Christopher Columbus a Mission to Mars - 81 - “[m]ankind is drawn to the heavens for the same reason we were once drawn into unknown lands and across the open sea” (GWB, #664f.). The common national character gets re-invoked, and action lineary derived. Without an exception, the presidents summon a national cultural “destiny to strive, to seek, to find” (GB, #452f.), which is rendered being an unquestionable, natural thing, since “the desire to explore and understand is part of our character” (GWB, #534f.). This general idea is sometimes specifically American, sometimes generally human, yet a natural trait either way. Even Nixon, proposing goals not as explorative as the other four presidents, drew on American author Oliver Wendell Holmes Senior (1809-1894) to convey the same message of historically and culturally grounded compulsory participation in international future spaceflight undertakings: “We must sail sometimes with the wind and sometimes against it, [...] but we must sail, and not drift, nor lie at anchor” (RN, #269f.). All these instances connect past and future in a peculiar way; history is first tied to identity, then turned into an (American) legacy to be fulfilled, implying an inescapable obligation for American citizens. Underlying is always the same undisputed optimism that George Bush expressed in the simplest way: “[W]e have never lost pressing the limits of our frontiers” (GB, #391f.), “and must never stop seeking distant frontiers” (GB, #447). He willingly and completely denies any possible repercussions of expansionist behaviour and normalises it by traditionalising and romanticising it. Rocketry, then, is now merely the technological means to take up again the age-old theme of expansion, of ‘pressing frontiers’, justified by the national and manifest destiny. Numerous incidents, as shown, imply the explicit exceptionality of the US, and the implicit technocultural obligations that it entails; “Destiny is not a matter of chance; it is a matter of choice. It is not a thing to be waited for; it is a thing to be achieved” (GB, #412ff.) said George Bush, quoting William Jennings Bryan. Finally, introducing his talk in 2009, president Obama said, that “[h]ere at the Kennedy Space Center we are surrounded by monuments and milestones of those contributions” (BO, #727f.), constructing a simple, yet demanding self- understanding; just as the Americans before them, today’s and future Americans must follow their inherited destiny, and produce monuments and milestones themselves - though, this time, in space. As may have become clear already, it is also the plain language that is reminiscent of that within the manifest destiny, including the myth of the West and the Columbus myth, as for instance the first three talks included the metaphor to ‘sail’ in(to) space, revealing five overall occurrences. Nixon described spaceflight as a ‘voyage’, and in addition, George Bush wanted to “build new ships to carry man forward into the universe” (GB, #507f.), another striking connection to the American mythology that is carried by traditionalised images of discovery, conquering, and progress. Interesting is particularly Kennedy’s use. “As we set sail we ask God's blessing on the most hazardous and dangerous and greatest adventure on which man has ever embarked” (JFK, #181f.), as the same could have been and may well be said about any explorative manned mission to follow. The destiny lives on, and will keep on living, even if Mars is reached by humans one day. The idea of the expansionist destiny is itself potentially infinitely expandable and tailored to give substance to the idea of ‘carrying man forward into Owing Christopher Columbus a Mission to Mars - 82 - the universe’. For political narratives, the past has to be constructed in ‘careful, general detail’, and so it is for the future. Conquering space is a goal specific enough to be followed by political and technoscientific action, yet unspecific enough to deny its worthwhileness with certainty. Through romance and simplicity, the future as well as the past become something incontestably. To conclude this section, in the talks the supposed American identity is depicted as deeply exceptional, holding on to the overarching idea of American exceptionalism. This exceptional self- understanding and self-depiction are being carried by ideas of cultural homogeneity, and illustrated by American mythology, cornerstones of the inevitability that the resulting American destiny is laden with. Serving its rather specific purpose, in the talks, spaceflight is presented not only as appropriate, but as unavoidable technological means to live up to the inherited national destiny and desire to expand. It is the proper way to prove to others and itself, how America is exceptional. Now, in the last sections we explored how four themes in the talks were apparent; national unity, national values, its historical grounding, and the inferred national destiny. All this does not only say something about the US, but also about how the US presidents position the country in the world, continually invoking the fifth common aspect I want to explore: hierarchy. 7.6.5. Hierarchy: America in the World “It is the policy of the United States to seek and support the growth of democratic movements and institutions in every nation and culture, with the ultimate goal of ending tyranny in our world” is a quote of George W. Bush from his 2005 inauguration speech (Inaugural Address, 2005). However, it could probably have come from any other president as well, and quickly reveals a much-discussed part of American self-understanding: the tendency to develop a protective instinct out of the perceived cultural superiority that we have already discussed at length. This superior self-understanding, rooted in American exceptionalism, can be seen as one root of today’s postcolonial circumstances. President Obama may illustrate the overarching postcolonial thinking. He first normalised a hierarchical mindset in Kennedy’s era: “Americans were dumbfounded [by Sputnik]. The Soviets, it was perceived, had taken the lead in a race for which we were not yet fully prepared” (BO, #743f.). He confirmed the legitimate US expectations to, first, always be prepared for (technological) races, and, second, always lead them. Kennedy, in his talk during the politically heated space race, actually had one quote that induces cultural hierarchy and perceived superiority of values or motives in the most unambiguous way: “We set sail on this new sea because there [are] new rights to be won, and they must be won and used for the progress of all people. For space science, like nuclear science and all technology, has no conscience of its own. Whether it will become a force for good or ill depends on man, and only if the United States occupies a position of preeminence Owing Christopher Columbus a Mission to Mars - 83 - can we help decide whether this new ocean will be a sea of peace or a new terrifying theater of war” (JFK, #69ff.) I have mentioned in the individual analysis the social constructivism enclosed in this quote, and it linking the social in an interesting way with the national, valuing different nations and cultures very dualistically; the good and the bad; the theatre of war and the sea of peace; the US and everyone else (although in Kennedy’s situation, primarily the US and the Soviet Union). Even Nixon, although he reminded the audience of “the imperatives of universal brotherhood and global ecology” (RN, #262f.), and proposed “learning to think and act as guardians of one tiny blue and green island in the trackless oceans of the universe” (RN, #263f.), is far from being a perfect exception of hierarchical invocations. He still constructs an exceptional US, naturally spearheading others, as he concludes his talk stating that spaceflight is “a voyage the United States of America has led and still shall lead” (RN, #271f.). One might think that particularly Kennedy’s above quote was heavily informed by the space race, and that, as time went on, rhetorics would become less hierarchy-inducing. And yet, the opposite is the case. Although perhaps a little subtler, George Bush for example took a very similar avenue, claiming that “[Meriwether and Lewis] made that journey in the spirit of discovery, [...] and to chart a way for others to follow” (GB, #530ff., my emphasis) - just what the US is to do in space. The exceptional self-image of the country, its history, and thus its future leads to a metaphor in which the imagined US community exercises power by taking decisions and actual steps for others, instead of with them. This very strong demarcation of who is good, rightful, and able, ultimately re-invokes the century-old idea of the US being ‘the world’s best hope’. The original idea of the world’s best hope was reduced on the US political system. Today, however, it is technopolitical leadership, that is being technologically superior to all other nations in space, that becomes the driving force to speak of the world’s best hope, and also the means to represent and embody that (not further defined) hope. As Kennedy said: “[O]nly if the United States occupies a position of pre-eminence can we help decide whether this new ocean will be a sea of peace or a new terrifying theater of war” (JFK, #73ff.). Moreover, it is not just that this unsolicited assumption of responsibility is seen as natural through superiority. It is also conveyed as undoubtedly righteous. The first humans on the moon, the Apollo 11 crew left a plaque there, which reads “Here men from the planet Earth first set foot upon the moon. July 1969 A.D. We came in peace for all mankind” (Boen, 2009, my emphasis). In the end, these words may be taken in the most literal way: Americans had come to the moon for the others, in their mind embodying “the best of all mankind” (JFK, #82f.). All this, though, does not follow the classic colonial scheme. After all, in space there does not exist any culture to be oppressed by another, invading culture. To use Bush’s inauguration talk; there is no ‘tyranny’ to end in space. The hierarchies are evoked and lived differently. They come to be not by exploiting, but by excluding. What the talks obviously declare a goal is the conquering and establishing of new lebensraum through making space habitable. NASA’s goal is declared to make people to “live safely beyond the Earth for extended periods of time, ultimately in ways that are more sustainable an d Owing Christopher Columbus a Mission to Mars - 84 - even indefinite” (BO, #962f., my emphasis). This conquering yet does not happen in particularly democratic and equal ways. The US-focused spirit becomes very clear by Barack Obama’s rationale to “not only extend humanity’s reach in space [but to] strengthen America’s leadership here on Earth” (BO, #964f.). With NASA as institutional, sociotechnical agent, the nation comes together under the stars and stripes, to do good for the world through doing good for itself. Or, as George Bush put it, to ‘chart a way for others to follow’ - instead of walking the path together. Hence, the (post-)colonialism can well be observed in both, earlier and current approaches to spaceflight, perhaps most vividly apparent in the American flag that was put in the moon’s soil in 1969. Especially when taking into consideration that they had ‘come for all mankind’, as Armstrong said on the moon, the astronauts could have left there any other object (or flag), yet it was an American flag that they planted there. And what is a flag rammed into untouched soil a sign for, if not for at a least a discreet claim of ownership and thoughts of having conquered something for a specific nation? Obama, in his talk, asked why to do spaceflight at all, providing the answer himself; spaceflight is “not an afterthought in America’s quest for a brighter future - it is an essential part of that quest” (BO, #771f.). What that ‘quest’ means in and for the community of states, however, is neglected, subordinated under the impetus of American progress. Decades after colonialism was (officially, or formally) brought to an end, the enforcement of own values, narratives, and rationales on other cultures lives on, and the speeches introducing space US policies are, at times, very ‘postcolonial moments’ (see Verran, 2002). However, in spaceflight, the issue is not exactly exploitation, but exclusion. The US approach to spaceflight proposed in the talks is actively silencing voices of other nations and cultures. Although claiming democracy to be one seminal part of the US, and although the origin of the idea of ‘exceptionalism’ is even to be found in the American interpretation of democracy, democracy seems to lose value for the US once low earth orbit is left behind. 7.6.6. Trajectory: Of Logical Paths We have discussed already before the plausible history that is constructed around the nation as such. The last common narrative within the talks that I want to touch upon is that of the stable and unalterable trajectory, which not only US spaceflight, but the entire US is supposedly following from its founding days on. Literally describing the history of NASA as a ‘story’, Obama announced that “today, I’d like to talk about the next chapter in this story” (BO, #773, my emphasis). Time itself, and all the sociotechnical developments taking place within them, add up to one stringent storyline, in which everything has its own, specific, very much established and adamant place. In terms of traceability and reasonableness, history and future become symmetric. While the past is thought to be merely the ideological origin, the present is upvalued to constitute the factual origin of all that is to happen after it, dictating the future in (careful, but general) detail. As George Bush put it: “We cannot take the next giant leap for mankind tomorrow unless we take a single step today” (GB, #461f.), leading every Owing Christopher Columbus a Mission to Mars - 85 - president to the same desired future, namely one in which the US ‘leads’. The planned ‘ramping up of capabilities’ “[i]s how we will ensure that our leadership in space is even stronger in this new century than it was in the last” (BO, #928f.). Through this thinking and argumentation, spaceflight is objectified and, as a dynamic system, very much simplified. Through ideas of trajectory, spaceflight becomes something plannable, and hence culture becomes plannable, controllable and expressible through future technological means. These means, however not existent yet, are constructed to be perfectly foreseeable. Springing from this thinking, timeframes can be chosen exclusively to evoke urgency. Kennedy’s goal, for example, was to send men to the moon “before the decade is out” (JFK, #162f.), flattening out any possible drawbacks in that given timeframe. Then, it worked. But even as time went on, and goals became more and more diverse, dependent on more and more factors, the timeframes and temporal reasonings remained simple, and very much plannable. Kennedy, for instance, went back far in time, and included several past developments to convey a logical future that was to be decided on today: “Those who came before us made certain that this country rode the first waves of the industrial revolution, the first waves of modern invention, and the first wave of nuclear power, and this generation does not intend to founder in the backwash of the coming age of space” (JFK, #54ff.) For George Bush, ‘entering a new century’ is an actual reason to undertake something. Not having developed an explorational vehicle ‘for almost 25 years’ means that ”it is time for America to take the next steps” (GB, #560). ‘Entering the next century’ is something to prepare for, chiefly by progressing in spaceflight technology. This way, very much constructed points in time, time spans and rhythmicities are turned into specific and logical reasons to take great investments, fuelled by thinking in terms of a traceable temporal trajectory. The basic temporal paradigm when introducing space policies may be expressed best by president Obama, who closed his speech with the following words: “[T]he question for us now is whether that was the beginning of something or the end of something. I choose to believe it was only the beginning” (BO, #992ff.). The now, embedded in past and future, is always the beginning, bearing the future, allowing it to gain momentum through simple ideological, temporal logic, and urgency. These techniques now allow the speakers to construct very credible versions of the future, as objectifying time also includes objectifying and principally operationalising spaceflight as well as American values and the idea of being American. Current Americanness is the logical consequence of past Americanness, just as today’s actions will ensure that future Americanness will not differ much from both. Technologically, this means, that time will necessarily lead to an “extended human presence on the moon” (GWB, #600), and to people “living and working in space” (GWB, #594). It also does not matter a lot, that space is inherently “hostile to human beings” (GWB, #569), as technology will make it habitable. In that, space is neither exactly something to fight against, nor is it actively cooperating. It Owing Christopher Columbus a Mission to Mars - 86 - is similar to how Turner described aspects of the myth of the West: “at the frontier the environment is at first too strong for the man. He must accept the conditions which it furnishes, or perish” (as cited in Paul, 2014, p. 324). The alleged American characteristic to strive, adapt, and conquer, which is deeply rooted in national lore, is now projected into the future, into space. But in the temporal perceptions put forward in the talks, all this is something in that the US inherently cannot fail, partly through its very nature, partly because plans put forward are simply too conclusive to fail. Hence, in their proposals, all presidents to some extent fall victim to the fallacy of a controllable step-by-step logic. This is not to say that no goals set could be achieved, project Apollo and its moon landings impressively prove the opposite. However, perceiving spaceflight not as merely technical, but as a great sociotechnical endeavour, the technologised trajectories presented in the talks were very much prone to be defeated by reality right from the beginning. In Felts work (2015), she writes of participants who “recalled past nuclear futures — an activity Brown and Michael aptly call ‘retrospecting prospects’— in order to demonstrate the limited anticipatory capacity of policy makers and to argue for the legitimacy of questioning such developments” (Brown & Michaels, 2003, p. 106). At several moments in my material, the presidents are doing just that, or something very similar - they recall not only the past, but past futures, or retrospecting prospects. In contrast to Felt’s participants, though, the president use this technique in a simplifying rather than in a complicating way. Instead of “acknowledging the complexity and uncertainty linked to any activity of ‘futuring’” (Adam & Groves, 2007, p. 11), they did in fact conceptualise the future as “an empty space waiting to be filled with our desire, to be shaped, traded or formed according to rational plans and blueprints, holding the promise that it can be what we want it to be” (ibid.). There is no future without rockets, the presidents suppose, and there must not be a space filled with rockets without the US partaking. 8. Conquering Space: Conclusions Jasanoff described one aim of STS as “[b]ringing social thickness and complexity back into the appreciation of technological systems” (2015a, p. 2). While the part of bringing it ‘back’ may be discussed, my work shares that greater goal of acknowledging the complexity of our world, rather than gullibly believing in eventual simplicity. In the study, I could demonstrate how spaceflight is far from a merely technical endeavour. It is very much guided and fuelled by political and social rationales, together producing both the technical and social realities tied to spaceflight. Thus, on the most general level, I showed how a divide between the technological and the sociocultural is not only useless but may very much be counterproductive when trying to understand developments in both of them. The realms are deeply interwoven and can only be understood when looking at them together. With this study, I highlighted how the presidents embed the ‘super technology’ systems involved in spaceflight within the social, subtly invoking reciprocal relationships of reinforcement: spaceflight serves to prove higher, very Owing Christopher Columbus a Mission to Mars - 87 - sociocultural conditions, and, vice versa, sociocultural beliefs serve to reason technological progress in spaceflight. These findings very much support what for example Hecht found out about French identity making. Whereas she looked at nuclear technologies, in the US it was spaceflight that was “establish[ed] as an arena for defining [the nation’s] future and identity” (Hecht, 2009, p. 331). In contributing to the sociotechnical imaginary of conquering space, the study showed how the presidents, aware of the emotional power of language, were using a strategic language of power. Knowing the position they were speaking from, and the influence their words could have, they carefully framed spaceflight in very specific ways, embedding it in carefully constructed and very much socially informed narratives; each one in their own, yet all grounded on the same conceptual root: an inherited, historically verifiable, cultural exceptionalism. In this last chapter, I will summarise and further clarify what my analysis has revealed. To that end, I will divide it into three parts. The first part will discuss the technocultural identity of the US as presented in the talks. Building on that, the second section will be concerned with the actual sociotechnical imaginary of conquering space. I will close this work with some short reflections, additional thoughts and implications. 8.1. Technologies and Nations: Technocultural Identities “From out there on the moon, international politics looks so petty. You want to grab a politician by the scruff of the neck and drag him a quarter of a million miles out and say, ‘Look at that, you son of a bitch.’” Edgar Mitchell, Apollo 14 astronaut (Edgar Mitchell’s Strange Voyage, 1974) Following Yuval-Davis (2006), identities eventually are narratives, and throughout the speeches American identity is equally evoked and rehearsed narratively. It becomes illustrated through little stories and past heroes, all part of the carefully crafted greater narrative of the US’ place and meaning in space and time. This one traceable as well as projectable America includes and supposedly describes all American citizens of the past, present, and future, as the country's history becomes rendered into one steady, linear narrative itself. I have described or characterised the US as ‘US-tronaut’ before in a quite condensed manner. ‘It’ consisted of words and expressions that have been explicitly used in the talks. I now want to take a step back and see what this US-tronaut, the presidentially crafted version of American identity, can tell us about the overarching US American technocultural identity. In other words: How is the American tied to the technological? To understand that, we shall first quickly recapitulate what was found out about the depiction of an American identity. 8.1.1. America On the most general level, I found the presidents repeatedly drawing on a shared national history that yields a shared national identity. Drawing on history supposedly proves that being American is to be put synonymous with being exceptional. To effectively let the conquest of space appear as national Owing Christopher Columbus a Mission to Mars - 88 - necessity, hundreds of millions of people want to be united and mobilised. Subtly, the existence of an imagined community gets declared. The evocation of an imagined community and the confirmation of American exceptionalism is one great cornerstone of the American president’s version of the sociotechnical imaginary of conquering space. The US population is constructed as clear-cut community, exactly what Anderson (2006) titled an imagined community. It is not a real community of people knowing each other, but a loose number of people who draw on the same ideological and historical resources. In this case, the presidents draw on different myths (Columbus, the West, Apollo) and themes (discovery, unity, courage, ingenuity), many of them already being widely accepted proofs for Americanness (see my characterisation in section 7.6.2.). The myths, amplified by a number of historical quotes and figures (see table 3 and 4) provide context for and constitute the ‘repeated assembly of a cultural model’ (see Šabanović, 2014). The cultural model, traversed by these classic themes evoked in the inside worlds of the talks, justifies the US’ universal cultural validity. In that, however, it is striking how not necessarily the same, but very comparable cultural resources are drawn upon, and how, as a result, basically convertible lines of arguments and characterisations of the US emerge. Together with the heredity and cultural continuity that is evoked through historical references, the America n technoscientific identity becomes one of eternal, natural, and hence inevitable, progress. In the talks, the US inherited urge for progress is the most basic tenet and reason that individuals and collectives likewise have to consider facing technoscientific decisions. Accompanied with courage and logical ingenuity, progress is both, reason and outcome of the cultural superiority that dominates the technoscientific self- representation in the talks introducing new space policies. It is not only those presidents I focused on that refer to myths when it comes to spaceflight technology, who define the US’ technoscientific identity through carefully selected past incidents. For example, in a nationally broadcasted address just hours after the Challenger disaster, Ronald Reagan claimed that “[i]n his lifetime the great frontiers were the oceans, and an historian later said, ‘He lived by the sea, died on it, and was buried in it.’ Well, today we can say of the Challenger crew: Their dedication was, like Drake's, complete” (as quoted by Garber, 2004). Just as Kennedy’s reference, George Mallory, Drake was an Englishman, yet is chosen for the same reasons: it fits American values. Additionally, ‘dedication’, here, is to be understood in two accounts: first, a supposed personal dedication towards sailing and discovering, and second, dedication towards the expansion of English territory and sphere of influence. Drake, as well, is someone who ‘pushed frontiers’ via the then most advanced technological means of transportation (for a detailed analysis of this Reagan address see Stuckey, 2006). As legitimate successors of the great adventurers, astronauts are constructed to be living a life that could not be more American. They embody a more contemporary version of those once moving west, into a then unsure but eventually (and supposedly naturally) prosperous future. The US technoscientific identity is reflected in past and present technology. By nature of the material, we were able to follow the repeated assembly of a specific cultural model and how it gets tied Owing Christopher Columbus a Mission to Mars - 89 - to a specific technology. Other than Šabanović, however, this case followed actors who are central for the technological development as well as for its societal embedding (see Šabanović, 2014). Technology and inventions (see table 3) become elevated from mere objects to mythically reasoned, traditionally grounded, and almost magical things. American inventions, and others who fit the criteria as well, become carriers of values and basic ideas, they let ideals materialise and, literally, travel through space and time. 8.1.2. Developments Despite being given over a time span of several decades, the five talks can be seen as one continuing, convergent argumentation. The general characterisation of the US and hence the imagined future endures. However, I want to point out some differences, or rather, developments, in this ongoing presidential argumentation for spaceflight and conquering space. Namely, taking a step back, it becomes clear how external, politico-societal circumstances serve as interpretive filter when situating the traditional(ised) knowledge collectively produced over the past decades/centuries. Kennedy’s rhetoric was inspired greatly by the Cold War, being very drastic and dualistic. He needed to emotionally charge the topic of spaceflight to use it as political statement. The world, for him, is at crossroads and in bad need of the US as saviour and hero. Nixon’s approach and rhetoric, in contrast, made clear that the US ‘won’ the space race, a circumstance that automatically dismissed an American- ensured world peace as primary reason to keep conquering space in a similarly explorational manner. Instead, he suggested a more practical, non-explorative, and less symbolic approach. The Cold War still influenced technopolitical decision making, but specifically the continuing war in Vietnam, which had almost led to budget cuts in Apollo already, made money a scarce resource. Eventually, there was no immediate narrative like the space race in which further Apollo-like investments could be embedded in and justified with. The flag on the moon was planted; in the early 1970s, space, so it felt, was indeed conquered by the US. Fifteen years onwards, George Bush considered the US ‘prosperous and at peace’ - a strange assessment to be made, as it was still somewhat disconnected from global political, Cold War informed, circumstances. His strikingly romantic account was even more surprising as NASA was still emotionally recovering from the Challenger accident and is hence more to be seen as a rhetoric feat of simplistic romanticism in actual times of doubt and crisis. George W. Bush was then influenced by two catastrophic events, the attacks on the World Trade Center and the disintegration of the Challenger shuttle, and, similarly to his father inferred cultural obligation and stirred up hope for a better world, which is to be achieved by spaceflight technology. A few years later, Barack Obama had to face a devastating economic crisis, which he also instrumentalised by particularly stressing NASA’s cultural worth and value, as well as evoking general overhauls - in society, politics, and spaceflight. Thus, the political situations naturally differed, but crises as well as suggested states of ‘prosperity and peace’ are reflected and turned into arguments for technoscientific decision making. Symbolically, spaceflight gives the nation a direction, either out of the crisis, and/or further into an (even) brighter future. Owing Christopher Columbus a Mission to Mars - 90 - These observations strongly point at the significance of co-productionist principles. Science, in this case spaceflight, is inherently part of politics and culture, just as spaceflight works as politicum and cultural carrier, altering the political landscapes and cultural self-understanding; technoscientific entanglements again prove to be always multilateral. Due to the US’ technoscientific identity, and as proof for this very identity, the sociotechnical solution for all situations stays the same: conquering space. 8.1.3. Rockets I have worked with the presumption, that especially expansive spaceflight is also quite expensive, and that it is expensive even for the “richest nation on earth” (GB, #387). Hence, the general assumption, here, is, that spaceflight cannot be done just for the sake of it. It can also only hardly be justified as “a [general] spiritual quest in the broadest sense, one promising a revitalization of [all] humanity and a rebirth of hope”, as former astronaut Buzz Aldrin and author Wyn Wachhorst (2004, p. 38) described it in the scholarly journal Mechanical Engineering. However, it is being done nevertheless, because for the US and NASA, rockets afford to embody a vivid technoscientific expression of an exceptionalist, superior and singular US American identity. Rockets, for the presidents, are constructed as the culmination of American technoscientific ingenuity and hence cultural superiority. The urge to express and prove the own identity, the values ascribed to the imagined community, is reason and benefit enough to invest the monies necessary. It leaves the country, government and citizens, with no alternative but to favour the conquest of space. The analysis spanning over several decades nicely showed the “continually rearticulated awareness of order in social life [...] and a resulting commitment to that order’s coherence and continuity” (Jasanoff, 2015a, p. 26). The American society is ordered around a desired future in which space is conquered, in which living in space is somewhat normal (note that I will look at the problems Figure 6: Aerospace engineer Wernher von Braun in front of the Saturn V. NASA, 2004. Owing Christopher Columbus a Mission to Mars - 91 - of the term ‘conquering’ in section 8.2.2.). In their talks, the presidents do not simply evoke the general American (technoscientific) identity, but they closely tie it to spaceflight and rocketry. Jordan already noted, that the “symbolic flagship of a lunar landing depended as much on rhetorical as on technological ingenuity” (Jordan, 2003, p. 211), which can be said just as much on all other missions and goals proposed in the talks of this analysis. Rockets, thus, first rhetorically, then factually, become a metaphor for America itself. Their boosters also ‘boost’ US American cultural self-confidence. In a sense, the noun also turns into an adjective; spaceflight is typically American, but America also is spaceflight. In that, practical spaceflight may be seen to be represented on three levels: a technological (rockets), an organisational (NASA), and an iconical (astronauts), all of them being narratively rooted in the US culture and its ideals. Obama called Apollo 11, which includes technology, astronauts and NASA, “one of the greatest achievements in human history” (BO, #990f.). The wording ‘achievement’ alone is interesting here, because even compared to other (unmanned) missions Apollo effectively did not produce much. Although some rocks were collected, and some measurements taken, in all argumentations the scientific part of the mission seldomly made the central part of the moon landing (see chapter 5). It is the mere achievement of it, and hence the confirmation of the mere capability, the proof of an identity standing the test of time. 8.2. Columbus and the Mars Mission: Sociotechnical Imaginaries “It’s not where you take things from - it’s where you take them to.” Jean-Luc Godard (*1930), film director 8.2.1 Origin & Embedding We will now finally discuss concisely the specificities of the imaginary, and particularly how the talks embed rockets, that is spaceflight, in society. To begin with, the real origins of an imaginary are notoriously difficult to identify, but Jasanoff herself finds that "[t]echnological innovation often follows on the heels of science fiction” (2015a, p. 1). I have briefly shown above, how this may well be applicable on spaceflight, too. Early experiments were not taken quite seriously, but only when the possibility of rocketry, of actually entering and one day possibly conquering space, found its way in popular culture, it was finally taken as indeed a technological possibility (see Kirby, 2010). We may conceive of these processes already as some early and non-institutional ways of embedding. The eventual institutional embedding of the imaginary in the US, however, may be seen in the founding date of NASA in 1957, factually the starting point of this study. Jasanoff describes “imagining as a social practice” (2015a, p. 322f.), and the talks may be seen as socially informed imagining of both, pasts and futures. The president’s talks are socially informed practices in two respects. First, through giving a speech to which audiences are actively listening and reacting, and, second, through how the technological decisions to be made are framed, namely, as we have seen, as very much socially/culturally grounded. The speakers all invite their audiences to imagine Owing Christopher Columbus a Mission to Mars - 92 - worlds with the speaker. Particularly in the context of spaceflight it may really be described vividly as a “saga of an imagined and invented world” (Jasanoff, 2015a, p. 24). Inherently, defined as “visions of desirable futures” (Jasanoff, 2015a, p. 4), sociotechnical imaginaries are a way of world making (see Goodman, 1978), and future making, practices laying the conceptual groundwork for the futures collectively imagined. Are current and future worlds imagined in peaceful ways? Are they endangered? Both is apparent in the speeches I analysed here. Kennedy’s future world is in great danger, threatened by a clear-cut enemy, although a peaceful (American dominated) future is possible. Especially George Bush’s world, in contrast, is imagined peaceful and idyllic. In principle, however, the entire future, either desirable or undesirable, is heavily characterised, if not dependent, by the technological and manned conquest of space. Most basically, this is the way rockets are embedded in society and its future, the way society gets conceptually ordered. The solution to any desirable imagination of tomorrow, however, is, that the US must invest in spaceflight, and take over technological leadership. My point, as I have stated above, now, is, that we are still in the phase of (institutional) embedding. We have not yet seen a phase of “complete and radical transformation” (Jasanoff, 2015b, p. 330) regarding the general approach to spaceflight and the idea to ‘conquer space’. The talks may thus be seen as what Paul (2014) called a ‘ritualistic enactment’ of exceptionalism, ideologically sustaining the imaginary, smoothly (re-) embedding it in societal contexts. But what exactly is constructed through the imaginary, what underlies the imaginary, and what does it stand for? In other words: What is the imaginary actually embedded in? Felt (2015) showed in her investigation on the relationship of Austrianness and the nuclear, how the flexibility of an existing ideological foundation could be exploited to reify the very foundation itself. As Jasanoff concluded: “Embedding also occurs through [...] remembered pasts and desired futures” (2015b, p. 328). Throughout the decades that this study covered, the master narrative of American exceptionalism, rooted in pasts remembered together, was found to be perfectly supportive of the imaginary of conquering space. In Felt’s study, the Austrian people achieved to “becom[e] distinctive as a nation precisely by refusing to embrace” (Felt, 2015, p. 104), whereas in in this study, the presidents achieve to promote the nation’s distinctiveness by warmly embracing a technology - a way of embedding spaceflight clearly informed by US American self-understanding. Similarly, as “[t]he Chinese government [which] draws on its own long history of state-sponsored rice cultivation when it buys into a genomic vision of plant breeding” (Jasanoff, 2015b, p. 327), the US government draws on its (constructed) own long history of exceptionalism, courage, and discovery, when it promotes explorational spaceflight, that is the idea of conquering space. The sociotechnical imaginary hence is at the same time very much a sociocultural imaginary. Technology is one tangible means to express the culture’s identity, and through its capabilities, position the nation and its united technoculture within a dynamic political world. The ‘collective remembering’ in order to make sense of the future to be realised, that Jasanoff stated to be central for the phase of embedding, happens - unexceptionally - in all talks, achieving to Owing Christopher Columbus a Mission to Mars - 93 - arrive at a ‘usable past’. This collectively remembered and usable past is fuelled by myths, past stories, and its heroes. They allow the presidents to depict spaceflight as a modern interpretation of the myth of the West, with the most basic goal to conquer land and expand. As Obama said about the idea of the moon as destination: “I just have to say pretty bluntly here: We’ve been there before. Buzz [Aldrin] has been there. There’s a lot more of space to explore, and a lot more to learn when we do” (BO, #922ff.). The idea of conquering space hence is to be seen as a reinterpretation and narrative sequel of ancient American myths. When the spaceflight movies of the 1920s and 1930s were often simply about surviving a visit in space, institutional efforts from the 1960s on achieve the general idea of going to space to be translated in completely new, and yet old, cultural contexts. The nation as such becomes one stringent narrative, that has always pointed at the conquest of space. The cultural trajectory began centuries ago, and it leads to space, achieving spaceflight, in essence, to be traditionalised. Considering the ‘politics of discovery’ here, is important: Columbus, for example, believed himself to be “an extension and an expression of the Spanish royal authority that he simply assumes“ (Paul, 2014, p. 47). Spaceflight in a sense is the next logical step that has to follow if America is to stay true to its history and therefore to their mythically derived unique character, that is superior and singular. At heart, the American presidents in their talks claim that the nation owes explorational spaceflight to the history and its figures. Casually put, the United States owe Christopher Columbus a mission to Mars. And, indeed interestingly, it seems to be not only those presidents I could retrieve talks of, that refer to history and myths when it comes to spaceflight and identity. We have seen Ronald Reagan’s account, and also Donald Trump already went down that narrative avenue (The White House, 2017). Imaginaries, or the technologies that they entail, are said to be able to “generate economic or social value” (Jasanoff, 2015b, p. 327) when they enter the stage of embedding. Considering the risk and costs that conquering space brings with it, the necessary explorative manned spaceflight seems to generate primarily social value, in that it proves American ways and is tried to be constructed as something that allows cultural belonging through evoking a supposed cultural heredity. Only who supports spaceflight can be truly American. These findings also correspond with those of similar studies in other technological fields. As Burri has shown, “American policy documents assessed the presumed benefits of nanotechnology more highly than possible negative consequences and put great[...] emphasis on achieving economic and political leadership” (Burri in Jasanoff, 2015, p. 334). In the talks that I analysed, presidents often promise both, economic and social benefits, but at least partially in remarkably nebulous ways: “We may discover resources on the moon or Mars that will boggle the imagination, that will test our limits to dream” (GWB, #627ff.). As in Burri’s analysis, claiming leadership is another strong driving force utilised in American spaceflight. 8.2.2. Resistance & Extension But let us turn towards a (supposed) stage of resistance. After all, sending people to space may be happening regularly nowadays, but launching rockets still is not a ‘normal’ thing. Not yet official Owing Christopher Columbus a Mission to Mars - 94 - numbers suggest that, internationally, of about 100 rocket launches in 2018, three have been failures or partial failures, including one manned Russian rocket. The numbers of 2017 are even worse. Every launch still is to be described as experimental, and explorative manned missions have not been taking place since the Apollo days at all. While acknowledging the problem of defining ‘conquest’, one could also argue that resistance against the imaginary of conquering space is taking place since the end of Apollo through insufficient funding. In that case, once government institutions achieve missions to Mars, the imaginary may also be taken as in the state of extension. Obviously, stages of imaginaries can best, or even only, be described in hindsight, so perhaps only time can tell. However, until now, no greater and specific societal act of resistance against spaceflight or expansion to the planets took place. The only ‘resistance’ are potentially expressed through the allocation of budgets that cannot afford for manned missions ‘to worlds beyond our own’. Hence, the question of resistance also depends on one’s definition of ‘conquering’. Does a continuous presence in low earth orbit equal the conquest of space? Or can you only speak of a culture/species having conquered space when it engages in interplanetary endeavours? Do colonies have to be founded perhaps? If conquering space means colonising it, then president Nixon may actually be seen as representative of a stage of resistance against the imaginary. Although he also funded NASA intensively, he did it differently, as did out of necessity some of his other successors. Especially the Challenger and Columbia incidents may be seen as moments in which resistance could have come about, yet did not. Rocketry, in both instances, was embedded well enough in different cultural contexts, so that the exceptionally strong narrative it was weaved in, and the remarkably strong political weight it was given through this narrative embedding, did not allow for fundamentally doubting the imaginary of conquering space. There may have been discussions along the way, yet resistance almost always happened out of necessity, and was of financial rather than principally ideological nature. Investments in the scale of Apollo have not been widely neglected because of what it is, what it would be, but because of what it would cost. Resistance is hence only exerted against very specific former plans, not against the idea, and always informed by current political, social, and financial circumstances. One pivotal contribution of the presidents may thus be the avoidance of serious resistance against the sociotechnical imaginary of conquering space through their continuous exceptional embedding work. They have turned every situation and crisis, in spaceflight and beyond, into a reason to move on with following the essentially same goal by essentially the same means. This was achieved by making acts that would rather be located in the stage of embedding, sound like acts located in extension. Obama said that, “we can’t just keep on doing the same old things that we’ve been doing and thinking that somehow is going to get us to where we want to go” (BO, #887ff.), but, with a certain amount of reserve, they did in fact keep on doing ‘the same old things’. The seamless embedding of the idea of conquering space into national mythology and history prevents the US and NASA from essentially new approaches to spaceflight, and especially from more cooperative steps in actually conquering space. All this may be equally true for Owing Christopher Columbus a Mission to Mars - 95 - other space agencies and even private companies, that also aim at being ‘the world’s best hope’, yet this is beyond the scope of this study. Current spaceflight is still in the phase of embedding, primarily because structural resistance is not permitted. Following Jasanoff, “it is institutions of governance that operate as some of the most effective agents of extension” (Jasanoff, 2015b, p. 333), meaning that actual extension of the imaginary of conquering space is dependent of the narratives NASA and the government will employ in the future. 8.3. Implications, Thoughts, Next Steps “Unus pro omnibus, omnes pro uno.” Alexandre Dumas in The Three Musketeers There are still some things left to say, some implications that I see in the study, and some things to reflect upon. This last section will be dedicated to those additional aspects. First, social science work, as probably all scientific work, has something fractal-esque to it: regardless of how far one zooms in, never will the outcome be perfectly well-rounded and absolutely terminal. There will always be something to ‘zoom in’ on even closer. Probably, there never is the one eventual core to be identified and described, and the same is true for my analysis. There are infinite ways to tackle the material I chose; my way is just one of them. I left out some aspects and focused on others. The material may be tackled in the most various ways, with numerous conceptual foundations, each for sure having its own raison d'être. I could have focused on Asdal’s and Moser’s ‘contexting’, on Commager’s ‘usable pasts’, or Goodman’s holistic ‘world making’, on ‘retrospecting prospects’ and others, as each of them certainly would have generated different, yet equally interesting and valid insights. I stressed some points and questions, while not bringing up others, as obvious they might be. Hence, all in all, this study does not claim to have found the ‘truth’ about American spaceflight, and not even about the talks. While acknowledging the insights it generated, at the same time it also highlighted the great potential for even more research on this and related topics. As part of that, much more theorising is possible in future studies. What is conquering? How is the space conceptualised? Also, what power structures become apparent and how? How are metaphors and other rhetorical means exactly used? However, I believe some follow-up studies to be particularly interesting to consider. Especially having mind that, just as this study showed, “the centrality of science and technology in the making and stabilizing of collectives“ (Jasanoff, 2015a, p. 5), opens up similar questions about different cultures. How are similar processes observable in other countries and cultures? Obviously, Russia would serve as fruitful site to study, but just as interesting are emerging spaceflight nations, primarily India and China. What kind of framing is taking place there? Does it differ from the US framing? Additionally, comparative studies with the European space agency ESA are promising, as ESA unites 22 European states within one agency - purely nationalist agendas as pushed through by the US are barely possible here. It is also worth noting that I have touched upon differences between the Owing Christopher Columbus a Mission to Mars - 96 - talks in terms of language, rationales, and political/cultural circumstances, yet only so far as it was necessary for my overall argument, which in the end rather focused on the similarities. There are certainly more nuanced ways to investigate differences, and other interesting arguments to make based on that, differences that may also be fruitful in cross-cultural and comparative studies. Related to that, and especially due to the specific foci I had, this study’s goal was never to analyse eventual public uptake and sense-making with what is politically communicated in the talks. That also implies that resistance against the imaginary put forward is out of the scope of this study. Identifying and studying it through the lens of sociotechnical imaginaries, though, can be immensely rewarding, as several scholars have shown before (not only Felt, but also Moon and Barker, all in Jasanoff & Kim, 2015). Future research may also turn towards this aspect of (not only) American spaceflight. All these things may just as well, in the form of comparative studies, be conducted for other sets of (super) technologies. How are (national) narratives employed in central accounts of realms like biotech, food production, mobility, information technology, (renewable) energy (see Hecht, 2009), health, and perhaps particularly technologies of (national) defence and security. In any case, the concept of the sociotechnical imaginary, with the overarching idea of co-production promises valuable insights. Finally, the general role of science and technology in the stabilising of collectives is an inherently infinite process. We will not experience the ‘end of history’ (see Fukuyama, 1989) until we experience the end of society (see Kuzmics & Mörth, 1991). The topic that I investigated here, and those I just suggested, will stay just as fruitful over time as they are today. Furthermore, Neil Armstrong took his ‘giant leap’ on the moon, Columbus may be said to have taken his somewhere in the Caribbean. Someone will probably take another giant leap on Mars one day. Still, the question remains: Why conquering space at all? ‘Because it is there’ may be seen as an argument, but one that calls for a wider societal consent. Hence, it should be investigated why and how spaceflight achieves to spark that much imagination, and what this imagination and inspiration really entails from a socio-psychological perspective, and how that knowledge is getting situated in time and society. Here, rather than investigating documents, more fieldwork seems sensible, for instance interviewing those who enjoy the newly emerging online services offered by state agencies. Do their narratives resemble those put forward in politics, or do they differ? Are identical versions of ‘desirable futures’ apparent? Finally, although not being included in the study, current US president Donald Trump seems to follow the same ideological path his predecessors paved: “In that magnificent moment [of the 1969 moon landing], the American astronaut embodied the incredible spirit of America: the confidence of a cowboy, the skill of a fighter pilot, the ambition of a scientist, and the courage of a true, true, brilliant, tough warrior. They bounded fearlessly into the unknown to be there first. They did the impossible because they knew that, together, Owing Christopher Columbus a Mission to Mars - 97 - there is absolutely nothing Americans can’t do. When we get together, there’s nobody even close.” (The White House, 2018) Trump, however, in the same remark on his Space Policy Directive 3, announced something else. Namely, the foundation of a ‘Space Force’, intended as the ‘the sixth branch of the armed forces’, somewhat challenging article IV of the United Nations Treaties and Principles on Outer Space (see United Nations, 2002), which forbids the placing of weapons of mass destruction in outer space or on celestial bodies (see also Bourbonnière & Lee, 2008). It was perhaps the most officially announced step towards a weaponised space and is reviving aspects of the imaginary of conquering space that have been apparent lastly in immediate times of the Cold War. In light of that, we need new and more fundamental discourses about spaceflight, and discourses about the sociotechnical imaginaries that spaceflight, and conquering space, is part of. That is, we need a discourse that does not only ask about the fundamental what, the where and the technical hows, but about the general whys, as well as the structural and systemic hows. If the conquering of space is to follow globally democratic and pacific ideals, spaceflight will have to be reconsidered and put into new contexts. In a nutshell, also spaceflight as super technology needs to become a ‘technology of humility’, that is, a technology regarding which we can sufficiently answer the following four fundamental questions: “what is the purpose [of the technology]; who will be hurt; who benefits; and how can we know?” (Jasanoff, 2003, p. 240). Only then, it may be justifiable, and only possible even, to explore space simply ‘because it is there’. Figure 7: Astronaut Edgar D. Mitchell planting the American flag on the moon during the Apollo 14 mission. NASA, 1971. Owing Christopher Columbus a Mission to Mars - 98 - 9. Bibliography Adam, B. & Groves, C. (2007). Future Matters. 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Extensively analysing the US-American narratives activated in US-American spaceflight politics, this study examines just this inherent entanglement of the social with the technical. The conceptual starting point is the idea of the sociotechnical imaginary (see Jasanoff & Kim, 2015), which enables one to examine the narrative embedding of technology in social contexts. This work also builds on additional literature taken from the American as well as the postcolonial studies. In the analysis of five talks delivered by five different American presidents, I basically identify primarily nationally oriented narratives, within which the existence of one very specific and timeless US American culture is being assumed, oftentimes nourished by American myths and folklore. The analysis shines a light on how these narratives over decades stay quite congruent. Over the time span the study covers, we can see how the institutionally communicated version of “the” US culture serves as qualitative foundation for US politics. The narrative footing, constituted by unity, exceptionality, history, destiny, hierarchy, and trajectory, allows political actors to use emotion in order to rationalise, legitimise, over time naturalise and ultimately render their actions/spaceflight an inevitable end in itself. Or, as the title already suggests: since NASA was founded, the sociocultural and narrative resources of American presidents make (explorative) spaceflight appear in a way, that it seems like the United States of America owe Christopher Columbus a mission to Mars. Keywords: spaceflight; narratives; politics; nation states; United States of America German Abstract Wenn man diese Arbeit auf eine – sicherlich stark verkürzende – Botschaft herunterbrechen möchte, dann wäre es wohl diese: Die Implementierung von Raumfahrtprogrammen, und insbesondere von bemannter, explorativer Raumfahrt, erfordert weit mehr als die Bewältigung von Herausforderungen rein technologischer Natur. Denn wie jede (Super-)Technologie ist auch Raumfahrt tief in sozialpolitische und -kulturelle Prozesse integriert. Die vorliegende Arbeit setzt sich nun anhand einer ausführlichen Analyse von im US amerikanischen Politikbetrieb aktivierten Narrative eben anhand des Beispiels Raumfahrt mit dem Prozess der Verflechtung des Technologischen mit des Sozialen auseinander. Genutzt wird hierzu das Konzept des „Sociotechnical Imaginary“, mithilfe dessen die narrative „Einbettung“ von Technologie in soziokulturelle Kontexte (nach Jasanoff & Kim, 2015) untersucht und nachvollzogen werden kann. Zudem werden auch theoretische Grundlagen aus den Amerika-Studien herangezogen und in dem Zuge auch postkolonialistische Aspekte beleuchtet. In der Analyse von fünf Reden fünf verschiedener US-Präsidenten wurden grundsätzlich vor allem national ausgerichtete Narrative identifiziert, innerhalb derer das Vorhandensein einer sehr spezifischen und zeitlosen US-Kultur angenommen wird, oftmals getragen von „klassischen“ amerikanischen Mythen und amerikanischer Folklore. Die Analyse zeigt auf, wie kongruent die in den Reden gezeichneten Bilder der US-Kultur über Jahrzehnte bleiben. Über den gesamten Zeitraum kann so die institutionell kommunizierte Version „der“ amerikanischen Kultur als qualitative Grundlage für Raumfahrt und damit für US-Politik dienen. Das narrative Fundament, bestehend u.a. aus Einheit, Exzeptionalität, Geschichte, Schicksal, Hierarchie und einer in sich logischen Zeitschiene, erlaubt es politischen Akteuren, ihre Handlungen/Raumfahrt im Grunde über Emotion zu rationalisieren, zu legitimieren, im Laufe der Zeit zu naturalisieren und letztendlich aus gesamtgesellschaftlicher Sicht quasi zum unangreifbaren Selbstzweck zu machen. Oder, wie der Titel bereits sagt: Die narrativen bzw. soziokulturellen Ressourcen amerikanischer Präsidenten präsentieren (explorative) Raumfahrt seit Owing Christopher Columbus a Mission to Mars - 107 - Gründung der NASA auf eine Art und Weise, dass es scheint, als schuldeten die Vereinigten Staaten von Amerika Christoph Columbus eine Mission zum Mars. Keywords: Raumfahrt; Narrative; Politik; Nationalstaaten; Vereinigte Staaten von Amerika - The End - 
work_uqolmcjfxjfpjc2i7fzy7td5vu	----	PII: S0961-1290(00)90297-7 News Update First diamond UV emitter The Frontier Technology Laboratory (Yokohama, Japan) of the Corporate R&D Department of Tokyo Gas Co Ltd has de- veloped the first dia- mond UV light emitting device Upn. J Appl.Pbys. 39 (15 June 2000) L604-6). Room-temperature operation by current-in- jection is at 235 nm, the shortest wavelength re- ported to date. This could potentially in- crease optical storage density and capacity to 10 times that of red 650 nm AlGaAs laser cur- rently used in DVDs and four times next-genera- tion 400 nm GaN blue lasers (e.g. 4.5 hours of high-density TV per DVD), as well as effi- ciently irradiating fluo- rescent illuminating materials. Grains of diamond are synthesised from isotopi- tally pure (12C) carbon powder (refmed from “lower-value-added” liq- uefied natural gas - main- 1Y methane) under high-pressure (about 50,000 atmospheres) and temperature (1,500”Q.A solvent-catalyst was used to reduce impurities (such as nitrogen) and White LED wins Discover award Fred Schubert, professor of electrical and computer engineering at Boston University’s Photonics Center, is among eight winners of the 11th AlNlUd DISCOVER Magazine Awards for Technological Innovation (presented by the Christopher Columbus Fellowship Foundation). Schubert’s Photon Recycling Semiconductor LED uses at least two different-wavelength light- emitting active regions combined to produce white light. Some blue light emitted from InGaN through the sapphire sub strate is reabsorbed by a second AlInGaP active re- gion (wafer bonded to the first) which re-emits it in the yelIow/omnge/red wavelength range. Alth- ough experimental effi- ciency so far is c 10 lumens/Watt, theoretical efficiency is 300 h/W (vs 280 h/W for phosphor-based wh- ite LBDs). The active regions can also be changed to produce hundreds of different colours. Boston Uni- versity Bled a patent on the PRSLRD in June 1999. _U_ Tel: +16173534626 lattice defects and hence in- crease emis- sion efficiency compared to previous cur- rent-injected emission of semiconduct- ing diamond (which yield- ed only longer wavelengths). Unlike conventional semiconductors, the emission is intrinsic through an intermediate state due to free excitons (an electron-hole pair bound by the Coulomb force and in a stable en- ergy state - even at room temperature in FTL’s dia- mond). The ’ 2C diamond also has record thermal conductivity. TokyoGasCoLtd Tel : +81-35400-7597 Fax : +81-334327629 Comnlete Growth PEDIGREES With Our Breeds of Eni-wafers Ill-Vs Review *Vol.13 No.4 2000 , 7 
work_urjgjbf5jfb6vgi7wjldouqci4	----	gred778661 144..153 Full Terms & Conditions of access and use can be found at http://www.tandfonline.com/action/journalInformation?journalCode=gred20 Download by: [University of Malta] Date: 07 December 2016, At: 01:09 Review of Education, Pedagogy, and Cultural Studies ISSN: 1071-4413 (Print) 1556-3022 (Online) Journal homepage: http://www.tandfonline.com/loi/gred20 Museums as Sites of Critical Pedagogical Practice Peter Mayo To cite this article: Peter Mayo (2013) Museums as Sites of Critical Pedagogical Practice, Review of Education, Pedagogy, and Cultural Studies, 35:2, 144-153, DOI: 10.1080/10714413.2013.778661 To link to this article: http://dx.doi.org/10.1080/10714413.2013.778661 Published online: 02 May 2013. Submit your article to this journal Article views: 277 View related articles Citing articles: 1 View citing articles http://www.tandfonline.com/action/journalInformation?journalCode=gred20 http://www.tandfonline.com/loi/gred20 http://www.tandfonline.com/action/showCitFormats?doi=10.1080/10714413.2013.778661 http://dx.doi.org/10.1080/10714413.2013.778661 http://www.tandfonline.com/action/authorSubmission?journalCode=gred20&show=instructions http://www.tandfonline.com/action/authorSubmission?journalCode=gred20&show=instructions http://www.tandfonline.com/doi/mlt/10.1080/10714413.2013.778661 http://www.tandfonline.com/doi/mlt/10.1080/10714413.2013.778661 http://www.tandfonline.com/doi/citedby/10.1080/10714413.2013.778661#tabModule http://www.tandfonline.com/doi/citedby/10.1080/10714413.2013.778661#tabModule Museums as Sites of Critical Pedagogical Practice Peter Mayo INTRODUCTION Paulo Freire’s notion that education is politics is well known to readers involved in areas of critical education, and thus a detailed rehearsal of the burgeoning literature illustrating and elaborating on this view is not necessary. After all, this view has a very long, albeit repressed, history, which anticipates Freire and those who took up the legacy of his thought and action; suffice to mention, for example, work connected with ‘‘independent working class education’’’ (Simon 1992; Waugh 2009). Significant for my purposes, however, is that an approach to edu- cation—such as Freire’s, which fore-grounds the histories and unique experi- ences of industrial working class and other subaltern groups—is capacious and yet critical enough to incorporate several sites of learning, including libraries, coffee shops (as in Cyprus), mining pits (‘‘reading Capital in the pit’’)1 and sport- ing arenas. In what follows, I want to extend this notion of education to include museums, which I suggest are an important and productive site for practicing critical pedagogy. CRITICAL PEDAGOGY This democratized notion of education is broad enough to include what Henry Giroux (2005) calls sites of ‘‘public pedagogy.’’ These public pedagogic sites range from schools, to cinemas and youth entertainment areas, and are often deeply informed by consumerist and militarized ideologies. Giroux uses the term public pedagogy to critique the devastating effects and ‘‘terror’’ of neoliberal poli- cies, and when arguing for universities, schools, and other learning agencies to serve as democratic public spheres. Similarly, Michael Apple (1993) argues for curricular democratization, which he suggests is a site of contestation that mir- rors other sites of struggle, such as the state and textbook industries. Apple details the economic, political, and ideological processes that enable specific groups’ knowledge to become ‘‘official’’ whereas other groups’ knowledge become ‘‘popular’’ (1993). Likewise, Antonia Darder has consistently engaged The Review of Education, Pedagogy, and Cultural Studies, 35:144–153, 2013 Copyright # Taylor & Francis Group, LLC ISSN: 1071-4413 print=1556-3022 online DOI: 10.1080/10714413.2013.778661 144 issues of cultural democracy and notions of culture and power, particularly in conditions of learning in disenfranchised and racialized communities (2011). These writers practice an approach to education known as critical pedagogy, which is defined by one of its major exponents, Peter McLaren, as a project ‘‘fundamen- tally concerned with the centrality of politics and power in our understanding of’’ education and learning (1994). Critical pedagogy is very much inspired by Freire, a great source of influence among the contemporary writers just mentioned. MUSEUMS Educational sites are multiple and therefore it is possible to adopt a critical pedagogical perspective in areas that rarely feature in the ever-burgeoning literature on or inspired by the ideas of the Brazilian educator. In this chapter, I focus on a topic that a close colleague, Carmel Borg, and I have addressed in a number of articles over the last few years (Borg and Mayo 2000a, 2000b, 2010; Borg, Cauchi, and Mayo 2005; Mayo 2009; English and Mayo 2012). Examples from the international literature would include labor museums in the U.K. (see English and Mayo 2012), which have played an important role in independent working class education, especially with regard to trade unions (Spencer 2005), and which I consider to be an important site of cultural politics and pub- lic pedagogy. As Carmel Borg and I have suggested, the situation concerning museums is not so far removed from that regarding the curriculum. We argue that the curriculum works to provide legitimacy to some forms of knowledge to the detriment of other forms (Borg and Mayo 2000b, 81), which echoes Apple’s writing on the curriculum. We argue that ‘‘museums have a similar role [to curricula]. Like established curricula, they too give legitimacy to parti- cular forms of cultural production, creating ‘official knowledge’ . . . [and] are caught up in the politics of knowledge and representation’’ (Borg and Mayo 2000b, 81). SELECTION FROM CULTURES We insist that museums, like curricula, depict selections from the cultures of society (to slightly modify Dennis Lawton’s statement inspired by Raymond Williams). This leads the critical viewer or museum educator to challenge the ‘‘cultural arbitrariness’’ of museum exhibits, and hopefully to refrain from view- ing museums as repositories of so-called neutral knowledge (Borg and Mayo 2000b). In our work we note the Eurocentric and class bias of museums by dis- cussing Maltese museums, as well as some international museums, for instance, the Museum of Modern Art (MOMA), and the American Crafts Museum, which are situated across the road from each other in New York City. The juxtaposition of what strikes us as highbrow cultural production, on the one hand, and subal- tern and popular production, on the other, renders questions and considerations associated with critical pedagogy most relevant: Museums as Sites of Critical Pedagogical Practice 145 MOMA (Museum of Modern Art) in New York houses paintings, sculpture, architectural displays . . . displays of aspects of film history and a display of designs of cars, modern fur- niture and office equipment. The last mentioned are strongly associated with the corporate world, whereas the designs of different crafts (e.g., the work of the Women of Colour Quilters Network) are displayed in a different museum (the American Craft Museum) across the road from MOMA. The debate regarding whether such forms of cultural pro- duction should be separated or not is an important feature of the ‘‘culture wars’’ that have characterized the struggle for democratic renewal in North America. These ‘‘wars’’ often revolve around class, gender, race and ethnicity issues. They can easily revolve around issues relating to production, e.g., corporate power on the one hand and subsistence economies or cooperatives on the other. (Borg and Mayo 2000b, 86) What we are confronted with here are cultural productions deriving from two different social milieus: dominant and the subaltern classes. As with the mainstream curriculum, we witness a politics of inclusion and exclusion. Debates about political inclusion and exclusion can, however, take place within a critical pedagogical setting, in other places. In any museum, for example, questions can be raised about what gets included and what is left out. Who is represented in an art museum and who does not find his or her place there? Who is represented in the mainstream institution and who is confined to a Salon des Refusés. A critical pedagogical approach becomes relevant here because it poses meaningful questions, such as, ‘‘Whose culture shall be the official one and whose shall be subordinated? What culture shall be regarded as worthy of display and which shall be hidden? Whose history shall be remembered and whose forgotten? What images of social life shall be projected and which shall be marginalized? What voices shall be heard and which will be silenced? Who is representing whom and on what basis?’’ (Jordan and Weedon 1995, 4). IRONIC JUXTAPOSITION Other museums are less exclusionary in their exhibits and thus do in fact raise some of these questions, which arouses a sense of irony. The Kelvingrove Art Gallery and Museum in Glasgow, Scotland strikes me as a perfect example of a site that raises such questions. It can do this because it is not exclusively an art museum or social history museum, in the strictest sense, but rather is a com- bination of both and more. For example, paintings representing a people as vic- tims of oppression are juxtaposed with artifacts attesting to this same people’s involvement in the oppression of others. Thus, conflict, contradictory forms of consciousness and morality, and social class ennui, reflected in family gender relations, are made available for critical engagement. This type of museum could be a meaningful and transformative site for critical educators. Moreover, its trans-disciplinary approach to knowledge and history assists in the process of a substantive critical pedagogy. However, we would argue that while perhaps requiring a greater effort and sensitivity on the part of the educator and visitor=learner, even more conventional, ‘‘Victorian,’’ and staid museums can act as equally important sites for the practice of critical pedagogy. 146 P. Mayo RENEGOTIATING RELATIONS OF HEGEMONY The Museum offers us opportunities not only for ideology critique, in the sense expounded by members of the Frankfurt School, but also for struggling collec- tively and lobbying for the conversion of such sites of public pedagogy into democratic, inclusive public spaces, which appeal to one’s sense of criticality. In short, part of the quest for museum renewal lies in the struggle to renegotiate relations of hegemony. Although museums, like other established institutions constituting what Gramsci conceives of as ‘‘civil society’’ are selective in a man- ner not politically innocent, they can be conceived of as sites of struggle, cultural contestation, and renewal (Borg et al. 2003). Institutions are not monolithic and this certainly applies to museums. While museums can play a part in cementing cultural hegemony, they can also contain some of the seeds for renegotiating hegemonic relations. Like schools, museums are culturally selective, often decontextualizing artifacts by extricating them from their original surroundings. Museums could, however, be conceived of the way Freire, Giroux, Darder, Apple, and other critical pedagogues conceive of schools and other institutions—sites of contestation and reconstruction. In studies with colleagues Carmel Borg, Bernard Cauchi, and, more recently, Leona English, I focused on specific types of museums, notably ethnographic museums as well as maritime museums. One study (Borg et al. 2005) deals with Malta’s national maritime museum, which is located in a region closely connected to the country’s maritime history. The museum is surrounded by a community that includes elderly members who, in their younger years, earned their living at sea at a time when a substantial part of the country’s economy revolved around the British naval presence in Malta. MUSEUMS AS POPULAR PUBLIC SITES Besides providing an account of its permanent exhibition, we also explore possi- bilities for this museum to develop into a popular public place. Doing so would mean embracing the voices of the subaltern and not only those of dominant groups, which are typically reflected in memorabilia, models, and uniforms belonging to the time of either the ruling Sovereign Military Order of St. John or the colonizing British occupational force. We argue that space should be accorded to the ‘‘universe of knowledge’’ of common folk who engage in rec- reational pursuits and specific forms of creative cultural production that can be traced back to the surrounding maritime cultural milieu. We suggest, for instance, that ample space be accorded to representations connected with the popular regatta (rowing contests held on September 8 and March 31, both national feast days), events that capture the popular imagination in the country’s harbor area. Among other things, our work proposes the use of recent technology to cap- ture the oral popular history of this region, thus giving prominence to the voices of those who for too long have been immersed in what Freire might call the ‘‘culture of silence:’’ Museums as Sites of Critical Pedagogical Practice 147 Oral history offers great opportunities for capturing the authentic voice of the seafaring community that traditionally belonged to the localities surrounding the Malta Maritime Museum. The community where the Museum is situated provides an invaluable wealth of real Maritime experiences. There are no indications within the Maritime museum of an urgency to record and share such genuine experiences. (Borg et al. 2003, 105) Furthermore, the display concerning what was, for several years, the major source of livelihood in this region2 and in the country, namely the Dockyard, is also found lacking when it comes to the affirmation and representation of subaltern popular voices. We argue: The section in question also overlooks a very important aspect of critical and emancipat- ory museology, namely the concept of voice. Within the dockyard display, expert knowledge is privileged over other community-based ways of knowing. The harsh reality of dockyard life, the disabilities endured through years of exhaust inhaling, grit blasting and other dangerous emissions, the death of several workers, the various strug- gles for worker emancipation, the anxiety generated by intermittent work, are basically sanitised in a display which fails to foreground real faces and genuine voices. Secondary sources were privileged over the primary source of the workers’ voice. (Borg et al. 2003, 104) The Dockyard’s employees were, for several years, the nearest thing the coun- try had to an industrial working class. While the role of the dockyard workers is immersed in the history of Maltese class struggle and labor politics, much of this history has been concealed or sanitized in the display. For instance, there is little about the role of women as part of the seafaring community; for example, the experience of poverty and destitution resulting from intermittent work, widowhood caused by tragic deaths, solitude as a result of the spouse’s long trips at sea, washing sailors’ clothes for a pittance and at piece rate, religious vows for safe return of spouses and offspring, prostitution, and so on (Borg and Mayo 2010, 39; English and Mayo 2012, 104). These are just a few of the suggestions that emerge from our research concerning museums that are conceived of as sites of cultural politics. These suggestions are not meant to detract from the fine work that characterizes museums such as the National Maritime Museum of Malta; work that testifies to the commitment of a very energetic, enterprising, knowledgeable, and dedicated group of museum personnel. On the contrary, there is much to be applauded. As with all small entities lacking the specializations they require, these museums assume multifunctional roles (Hooper-Greenhill 1995, 51). As such, they should be commended for helping develop this museum into one that, in my view, compares well with several maritime museums found in Europe, for instance, the National Maritime Museum in Antwerp, and the Torre del Oro on the banks of Seville’s Rio de Guadalvivir. The National Maritime Museum has a dynamic and active staff, which is what makes it such a dynamic museum. The suggestions we make are meant to provide signposts towards rendering museums more democratic, and, in Freire’s words, ‘‘popular public’’ spaces—sites of democratic public pedagogy. 148 P. Mayo CODIFICATIONS We view the various elements on display in these museums as codifications that can serve as the basis for a discussion of wider issues concerning different aspects of the country’s historic, social, and political reality. Rather than simply indulging in ideology critique, the museum educators qua critical pedagogues avail themselves of the limitations of a Folklore museum—such as the one situ- ated in a village in Gozo. Doing so helps to develop a problem posing approach to the museum experience, and thus works to prevent the visitor from engaging in what Borg and I have described elsewhere as a ‘‘nostalgic trip to a much simpler world’’ (Borg and Mayo 2000b, 86). As we suggest, the critical educator provides opportunities for confronting a range of socio-economic issues associated with the exhibits. Thus, for example, a room containing traditional fishing implements can stimulate discussions on the loss of fishing communities, the deskilling of fishermen through technology, fishing wars in the Mediterranean, sea pollution, overfishing and malpractices in fishing, the depletion of fishing stocks, the economic, ecological and social effects of fishing farms . . . Such discussions not only challenge the traditional status of the objects, as conveyors of static knowledge with no connection with the present . . . but also problematise the myth that such objects are culturally neutral and value free. (Borg and Mayo 2000b, 86) The process should be one in which the educator does not treat the visitor as an empty receptacle to be filled with images and knowledge, and therefore as an object of the cultural transmission process. This is not to suggest, however, that the visitor is ever a passive recipient of knowledge. Neither should one assume that the visitor requires a critical museum educator to engage in a critical reading of the texts on display, which could possibly come across as patronizing. Many visitors do this irrespective of any pedagogic promptings. What we do call for, however, is the development of the museum and other centers as democratic public spaces (Giroux 2001) that allow possibilities for different meanings to be exchanged, appropriated, and negotiated. This will hopefully enable the visitor to become a subject in a process of coinvestigation; one involving the museum educator and the visitor and mediated by the exhibit itself. In such a context, knowledge is not static but dynamic; resulting from dialogue between the museum educator and visitor, and informed by the objects of coinvestigation. CONFRONTING THE ‘‘HIGHBROW’’ The above discussion suggests popular forms of knowledge ought to play a significant role in museums. However, a critical approach to museum education also needs to entail a critical confrontation with the ‘‘highbrow,’’ a confrontation we suggest is missing from the archive of critical pedagogy, including work by Paulo Freire. Our joint work has focused on so-called sites of ‘‘highbrow’’ culture. For example, we write about the seventeenth-century Baroque church, St. John’s co-Cathedral, in Malta’s capital city, Valletta, which houses paintings by Museums as Sites of Critical Pedagogical Practice 149 Caravaggio, Mattia Preti, and sculptures by Alessandro Algardi, among others. We argue (Borg and Mayo 2000a) that these centers offer ideal spaces for a critical reading of a country’s much-heralded artistic heritage. Often reflected in this patrimony is an unmistakably Eurocentric, masculinist (male-aggrandizing), and racist politics of representation which, though calling for a historicist interpretation of events, can still prey on popular sensibilities. We refer, for instance, to the representation of the Saracen ‘‘other’’ in sculptures and carvings. Alterity is here rendered ‘‘exotic,’’ often in a highly exaggerated manner. The figures concerned become an integral part of the ostentatious Baroque setting. POLITICS OF EXTERMINATION AND DISPOSABILITY Questions can also be raised about the sinister side of some of the relics, polyptychs, and other items adorned in precious mineral resources such as gold and silver, which are on display in churches such as those discussed above. With the work of Eduardo Galeano (2009) in mind, one can question the provenance of the gold and silver in question, the role of slavery in this context, and the subjugation and extermination of thousands of indigenous people and imported slaves which occurred in the process of extracting mineral resources from the mines of Protosı́ in present day Bolivia, other parts of Latin America, and else- where. Early forms of mining for these resources led to entombment (mentioned also by Marx in Capital Vol. 3), death, and disabilities resulting, for instance, from the use of mercury. Moreover, Seville is the city that housed the strong-room (Casa de Contratación) for the gold and silver that came from Latin America into Spain through the ports of Cadiz. In fact, large portions of precious mineral resources were shipped to Northern countries whose banks had a hold over Spain because of debts incurred, and this contributed significantly to Europe’s economic development: ‘‘The Spaniards owned the cow, but others drank the milk’’ (Galeano 2009, 23). Apart from its impressive gold ‘‘retablo mayor’’ (major polyptych), with 48 panels representing episodes from the life of Christ (the irony cannot be lost here), Seville’s Cathedral houses a tomb believed to contain the remains of Cristobal Colón (Christopher Columbus). This is the navigator who best symbo- lizes the start of what many, reacting to the Columbus celebrations in 1992, regarded as 500 years of genocide in the Americas; his surname constituting a watershed in the history of these lands: pre-Columbine and post-Columbine. A critical pedagogical approach to museums of this kind (many churches in Europe are not only religious places but also museums that tourists and other visitors are allowed to enjoy at a fee) necessitates a critical confrontation with the highbrow and raising unsettling but important historical questions that have been ignored or erased from collective memories. Critical pedagogy raises questions concern- ing who was and still is deemed worthy of living and of being exterminated (sociologist Zygmunt Bauman [2006] refers to political forms of disposability and extermination as ‘‘human waste disposal’’), thus working to link the past and present in a dialectical manner. The same way of thinking that led the con- quistadors to dispose of indigenous lives many years ago persists today among 150 P. Mayo those who exterminate natives of the Amazon in a contemporary rapacious neo-colonial pursuit of rich resources (Galeano 2009), and in the minds of those adolescents who set on fire the sleeping body of a Pataxo native in Brazil (Gal- dino Jesus dos Santos), which is the subject of a reflective piece by Freire (2000). Similar questions can be posed with regard to repositories of silver, such as the collection at the Victoria and Albert Museum, in London. Further, they can also be posed with regard to various displays of First Nations art in Canadian museums, such as the Royal BC Museum in Victoria, British Columbia, or the Glenbow Museum, in Calgary, Alberta. These exhibits work pedagogically to sanitize histories of brutal subjugation and extermination of natives, and, as such, do not shed critical light on still extant and thriving companies, which prospered from the fur trade and contributed to the devastation of indigenous populations. Likewise, similar questions can be posed of Risorgimento (Resurgence or Italian Reunification) museums in Italy, such as the one housed inside the base of the Altare della Patria (Altar of the Motherland) in Rome. In this case, one can pose questions concerning the extermination of meridionali (Southerners) by the Pied- montese in a process of violent internal colonialism, which was denounced by Gramsci in his writings on the Southern Question and notes on Italian history, and, more emphatically, in so far as the violence and thinking behind it goes, in an Italian bestseller by Pino Aprile (2010). Both Gramsci and Aprile provide historical accounts of the Risorgimento that are a far cry from the sanitized and romanticized ones I encountered in my school textbooks. In a 2011 sequel, Aprile refers to a Turin museum containing admittedly widely denounced ‘‘scientific’’ displays (they center around the work of Cesare Lombroso, the nineteenth-century Italian criminologist and physician) concerning the purported connection between the mental and physical characteristics of Southerners and their propensity toward criminality and savagery (Aprile 2011, 375–377), which brings to mind the kind of scientific racism exposed by Frantz Fanon in The Wretched of the Earth (1963, 296). Based on the types of critique addressed above, we suggest that critical peda- gogy differs from more conventional educational experiences in museums inso- far as it focuses not only on purportedly ahistorical ‘‘things of beauty’’ but more importantly on the tragic and violent histories that lurk beneath those things. CONCLUSION In this chapter, I have shown how museums can serve as sites for the practise of critical pedagogy, or, more specifically, critical public pedagogy. These are sites in which, as Freire famously noted, people can learn to read the world—and not just the word—critically. Some museums have greater potential to do this than others and can be more representative in the forms of cultural production they display and hence more socially accessible, particularly to members of sub- altern groups. Social and physical accessibility are two issues that are central in collaborative work with my colleagues (see Borg and Mayo 2000b). Museums, however, have potential for developing the kind of popular and working class knowledge that is given prominence in work by Freire and other critical pedagogues. Museums as Sites of Critical Pedagogical Practice 151 There remains the challenge of transforming museums, which have tradition- ally been repositories of a dominant culture, for example traditional art galleries, into democratic and accessible public spaces. Perhaps modern art galleries pro- vide a stiffer challenge here than those specialising in ‘‘old masters’’ whose names conceal the presence of women working inside convents, studios, and so on, and who remain anonymous, save for an Artemisia Gentileschi, a Lavinia Fontana, a Rosalba Carriera, an Elisabeth Vignée Le Brun or, much later, a Mary Cassatt. The challenge for critical museum pedagogues and those with whom they work is to unmask class, gender, racial, and colonial politics. Without ren- dering it an object of domination, they would make this alternative knowledge accessible to subaltern groups. NOTES 1. Information obtained from former National Union of Mineworkers organizer. 2. This is the Cottonera region that is closely connected to the island’s Grand Harbour. REFERENCES Apple, M. W. (1993). Official Knowledge: Democratic Education in a Conservative Age. New York: Routledge. Aprile, P. (2010). Terroni: Tutto Quello che è stato fatto perche gli Italiani del Sud diventassero Meridionali [People Who Work the land. All That Was Made for Italians from the South to become Southerners]. Milan, Italy: Piemme. Aprile, P. (2011). Giù al Sud - perche i Terroni salveranno l’Italia [Down in the South. Why the Terroni Will Save Italy]. Milan, Italy: Piemme. Bauman, Z. (2006). The Crisis of the Human Waste Disposal Industry. In D. Macedo & P. Gounari (Eds.), The Globalization of Racism (pp. 36–40). Boulder, CO: Paradigm Publishers. Borg, C. and Mayo, P. (2000a). Malta. In A. Chadwick & A. Stannett (Eds.), Museums and Adults Learning: Perspectives from Europe (pp. 103–114). Leicester, UK: NIACE. Borg, C. and Mayo, P. (2000b). Museums, Adult Education and Cultural Politics. Malta. Education & Society, 18(3), 77–97. Borg, C. and Mayo, P. (2010). Museums: Adult Education as Cultural Politics. In E. W. Taylor & M. McKinley Parrish (Eds.), Adult Education in Cultural Institutions: Aquariums, Libraries, Museums, Parks, and Zoos. New Directions for Adult and Continuing Education (Series No. 127); pp. 35–44. San Francisco: Jossey Bass. Borg, C., Cauchi, B., & Mayo, P. (2003). Museums, Education and Cultural Contestation. Journal of Mediterranean Studies, 13(1), 89–108. Darder, A. (2011). Dissident Voices. New York & Frankfurt, Germany: Peter Lang. English, L. and Mayo, P. (2012). Learning with Adults: A Critical Pedagogical Introduction. Rotterdam, The Netherlands & Taipei, Taiwan: Sense Publishers. Fanon, F. (1963). The Wretched of the Earth. New York: Grove Press. Freire, P. (2000). Pedagogia da Indignação: Cartas Pedagógicas e Outros Escritos. São Paulo, Brazil: Editora UNESP. Galeano, E. (2009). Open Veins of Latin America. London: Serpent’s Tail. Giroux, H. A. (2001). Public Spaces=Private Lives. Beyond the Culture of Cynicism. Lanham, MD: Rowman & Littlefield. Giroux, H. A. (2005). Schooling and the Struggle for Public Life: Critical Pedagogy in the Modern Age (2nd updated ed.). Boulder, CO: Paradigm. Hooper-Greenhill, E. (1995). A Museum Educator’s Perspective. In A. Chadwick & A. Stannett (Eds.), Museums and the Education of Adults (pp. 49–64). Leicester, UK: NIACE. 152 P. Mayo Mayo, P. (2009). Liberating Praxis. Paulo Freire’s Legacy for Radical Politics and Education. Rotterdam, The Netherlands & Taipei, Taiwan: Sense Publishers. McLaren, P. (1994). Life in Schools. An Introduction to Critical Pedagogy in the Foundations of Education. New York & London: Longman. Simon, B. (Ed.). (1992). The Search for Enlightenment. Adult Education and the Working Class. Leicester, UK: NIACE. Spencer, B. (2005). Labor education. In L. M. English (Ed.), International Encyclopedia of Adult Education (pp. 339–344). Basingstoke, UK & New York: Palgrave Macmillan. Waugh, C. (2009). Plebs. The Lost Legacy of Independent Working Class Education [Occasional paper]. Sheffield, UK: Post 16 Educator. Museums as Sites of Critical Pedagogical Practice 153 
work_usn4vdyicvcsbiegtgkwnvjmga	----	Home Gardenscapes as Sustainable Landscape Management on St. Eustatius, Dutch Caribbean sustainability Article Home Gardenscapes as Sustainable Landscape Management on St. Eustatius, Dutch Caribbean Briana N. Berkowitz and Kimberly E. Medley * Department of Geography, Miami University, Oxford, OH 45056, USA; berkowbn@miamioh.edu * Correspondence: medleyke@miamioh.edu; Tel.: +1-513-529-5010 Received: 29 June 2017; Accepted: 26 July 2017; Published: 27 July 2017 Abstract: Home gardens are an important topic for landscape research due to their intersectional contributions to plant diversity conservation and local livelihoods. As sites of ecological restoration, gardens transform small-scale landscapes toward higher plant richness and density. We examine “gardenscapes” on St. Eustatius, a small Caribbean island, focusing on how plants growing around a home contribute to ecological and ethnobotanical measures of plant diversity, and how residents value the importance of gardens to their livelihoods. Through a survey of 14 gardenscapes and 11 home interviews, we report 277 plant species, including 31% native and 69% non-native, high plant densities and structural evenness, 260 plants with uses, and a total of 363 uses, especially as ornamental plants (184) and for other environmental services (16), but also food (101), health remedies (50), material uses (10) and symbolic services (2). Participants indicated that home gardening could be difficult due to drought and pests, but provided resources and incomes to livelihoods, especially through the production of food products. Several respondents reported that gardening was a declining activity on St. Eustatius, but this study shows how gardening activities offer a biocultural approach to conservation that supports plant diversity and livelihoods across the island’s highly-modified natural landscape. Keywords: Caribbean; ethnobotany; gardens; plant diversity; restoration; sustainable landscape management 1. Introduction The many ways that plant diversity patterns across landscapes are culturally modified, together with ecological effects over time, reflect societal priorities and values [1]. The challenge is to effectively integrate the “ecological” importance of diversity, such as its contributions to ecosystem resilience, recovery and services, with the “cultural” importance of diversity for sustainable livelihoods [2–4]. The ways that different communities and cultures use plants show how people value biodiversity in the landscapes where they live, not only for material needs critical to their sustenance and well-being, but also for its mere existence [5,6]. Wilson’s [7] (p. 22) “biophilia” references something bigger: “humanity is exalted not because we are so far above other living creatures, but because knowing them well elevates the very concept of life”. “Biogeographical landscapes” can be seen as a patchwork of land areas at different stages of recovery and different levels of diversity due to natural processes and human relationships with natural resources [1]. Subtle and direct effects on the environment are changing people’s relationship with the land, substantiating the need to not only support plant diversity but also biocultural knowledge about that diversity at very local levels [8–10]. Most societies were established and flourished through the process of exploiting the resources found in “wild” landscapes [11]. However, just as humans can transform natural landscapes toward lower diversity settlements or agricultural landscapes, so too can human restorative practices contribute to landscape patterns that have more diverse ecological and cultural values [6,12] Sustainability 2017, 9, 1310; doi:10.3390/su9081310 www.mdpi.com/journal/sustainability http://www.mdpi.com/journal/sustainability http://www.mdpi.com http://dx.doi.org/10.3390/su9081310 http://www.mdpi.com/journal/sustainability Sustainability 2017, 9, 1310 2 of 20 (e.g., Kimber [13] on Martinique). Ecological restoration aims to restore and repair natural functions and structures to designated lands, with the goal of returning a sense of “naturalness” to an area [14]. Higgs [15] (p. 284) elaborates on a design process that should have “a deep appreciation of what an ecosystem requires to flourish, and then making such systems possible”. Restoration as a conservation land management strategy benefits from human-cultural practices that support many forms of life and ecological processes, are flexible to ecological and societal needs, and are locally adaptable to new ideas and change [16,17]. France [14] emphasizes the necessity of acknowledging and championing the role of humans in restoration, as a process and outcome. We examine home gardens as a small-scale setting in which to explore restorative landscape management and gain views on the ecological and cultural values of plant diversity: what plants occur, why they are there, and how local land practices affect diversity patterns [18]. Gardens by design create a new landscape that can be particularly important, ecologically and culturally, in human settlements [19,20]. Pollan [21] proposes what he calls a “garden ethic” that accepts human interaction with nature, reflects on what fits and makes sense ecologically and culturally in local landscapes, and stays positive about the impact humans can have on a newly-defined nature. Gardening highlights “human” attributes that hold importance for restoration such as skillful practices, connections to places and natural processes, and community participation [22]. Gardens provide a “biocultural” approach to conservation that reprioritizes where local ecologies are managed and whose knowledge counts [10,12]. Gardening also encourages a “learning-by-doing” process that suggests potential contributions to sustainable landscape management [23] (p. 1205). For example, landscapes can be enriched through the use of native plants and planting rare species with the aim of creating a more structurally complex ecosystem [16,24]. Many gardens feature both natives and often showier non-natives, and it can take experimentation to find the right balance of aesthetics and function in a garden space. [17]. We introduce “gardenscape” to describe a portmanteau of garden and landscape that goes beyond the traditional idea of a garden as a cultivated area of plants around a home to include the presence of plants, actively managed or not, in a cultural landscape bounded by human interests. The richness and spatial structure of all plants in a defined gardenscape contribute to measures of ecological and ethnobotanical diversity. As a human created “integrated landscape” for the conservation of plant diversity, gardenscapes provide a lens through which to examine how society and biodiversity interact to promote processes of ethno-ecological change [25]. All gardens restore plant diversity, from a collection of potted plants on a balcony to expansively manicured land areas (e.g., Rapoport [26] in Argentina; Loram et al. [27] in UK; Jaganmohan et al. [28] in Bangalore, India; Gbèdomon et al. [29] in Benin). Restoration activities and values in the home area may be effectively integrated to create gardenscapes that are ecologically diverse and provide important social and economic contributions to sustainable landscape management [30,31]. Our research focuses on how home gardenscapes can contribute as sites for sustainable landscape management on the island of St. Eustatius in the Dutch Caribbean. St. Eustatius has a long history of human transformation, and ongoing developments and population growth limit the land resources that can be protected. The setting supports a strong need for local people’s active involvement in ecologically restorative processes within and near their homes [32]. Following a mixed-method approach, the study asked two questions. (1) How do the plants growing around homes contribute to ecological and cultural measures of plant diversity? (2) How do people on St. Eustatius situate and value the importance of gardens to their homes and livelihoods? We worked collaboratively with home residents to complete a floristic-ecological inventory of the composition and structure of plant species, recorded cultural measures of diversity that included the number of plants with ethnobotanical uses, how plants are used and the total number of uses, and considered local perceptions on how plants are managed around their home, the opportunities and constraints for effective management and the importance of the “garden” space in their lives. St. Eustatius is a small island of limited resources, where sustainable gardening practices could improve people’s livelihoods, diversify their Sustainability 2017, 9, 1310 3 of 20 diets, provide valuable services, and support biocultural knowledge and individual decisions that contribute to local plant diversity [2,10,14,33]. 2. Materials and Methods 2.1. Study Area St. Eustatius provides an interesting geographical setting to look at gardens as a restorative process and outcome. Recognized as a biodiversity hot spot, the Caribbean islands form a distinct sub region within Neotropical flora, showing high species richness (>11,000 plant species), high species endemism (72%, 182 endemic genera), and distinct patterns of “island” fragmentation [34]. Each island shows a unique composition of species and habitats influenced by their physical-environmental site conditions and history of human influences [35]. The Caribbean islands especially show a deep and profound history of political-economic influences that significantly impacted the people and land over time [36]. A brief chronology highlights human migration to the islands around 4000 years ago from the South American mainland with consequent landscape change for settlement and agricultural production, a “Columbian Exchange” of people, plants, and animals between the Old and New Worlds after 1492, and a plantation legacy where large lands went into commercial production supported by African slaves [37–39]. As agriculture declined and urbanization increased towards the end of the 20th century, vegetation showed recovery [40], but these changes occurred mostly in response to changing land values and not through a conscientious decision for conservation [41]. A Caribbean legacy of gardening emerged in colonial times, both among European colonizers who brought their tradition of private and public botanical gardens, and African slaves who did their own gardening and small scale farming in order to supplement their diets, preserve their culture, and make extra money through selling produce at markets [39,42]. Previous gardening studies in the Caribbean identify gardens as places where human ecological management creates high levels of plant diversity, helps preserve indigenous knowledge and culture, and provides direct benefits to gardeners such as food, medicine, and income [43–45]. We include them among the “integrated landscape management” initiatives that locally support multi-functional contributions to agricultural production, environmental services, and livelihoods assessed by Estrada-Carmona et al. [25] in Latin America. St. Eustatius, at 21 km2, is among the smaller Caribbean islands located in the northern Lesser Antilles (Figure 1), and, along with Saba and Bonaire, occurs in the Dutch Caribbean. These islands retain status as a Special Municipality of the Netherlands, ultimately under Dutch control but with their own local government. Topographically, the island is dominated in the southeast by the dormant Quill volcano, which reaches 601 m at its highest point, and in the northwest by hills that have elevations up to 294 m, with a flat plain between known as De Kultuurvlakte where the population centers are located [32] (Figure 1). Rainfall averages around 986 mm per year and is seasonal, with highest rainfall during the warmer months [46]. Climate conditions across the island vary from a wetter tropical monsoon to the southeast within the hurricane zone, and a drier tropical savanna climate to the northwest. The average temperature ranges from 30 ◦C in warmer months (May to November) to 24 ◦C in cooler months (December to April) [46]. St. Eustatius is classified by the World Wildlife Fund as part of the Lesser Antilles Dry Forest ecoregion, which is endangered due to its small area of only 130 km2 split among five islands, a relatively high level of endemism, and a deep legacy of degradation and disturbance [47]. The vegetation on St. Eustatius is generally adapted to seasonally dry conditions and drought. De Freitas et al. [48] map 16 vegetation types, with greatest variation around Quill hill. The majority of the island, however, is classified as urban and disturbed land areas. Rojer [32] found 482 plant species on St. Eustatius, of which 85 are only found in the West Indies, 18 are only found in the Lesser Antilles, and five are limited to only a few islands, but van Andel et al. [46] cites a later unpublished survey that raises the number of vascular plant species on the island to 617. Sustainability 2017, 9, 1310 4 of 20 Sustainability 2017, 9, 1310 4 of 20 Figure 1. Gardenscape locations on St. Eustatius. In the past, St. Eustatius would have been significantly forested, evidenced by the importance of wood derived items like canoes and wooden tools to the pre-European Saladoid people [49]. The island was spotted by Christopher Columbus during his second visit to the New World in 1493 [50] and plantations were established by the French in the 1600s, including indigo, coffee, tobacco, cotton and sugar [51]. As the number of plantations increased, so did the import of slaves from Africa, with as many as 25,000 people living on the island during the heyday of the plantation period. Plantations expanded up the slopes of Quill and the northern hills by 1650, and by 1740 all arable land was under production [52]. However, the semi-arid climate of St. Eustatius limited production on the island, and with other compounding problems such as soil erosion, nutrient loss and invasive species [48], the island turned to trade as its major industry [50]. By the mid 1700s, St. Eustatius became the commerce center of the Caribbean due to its absence of an import tax. Given the nickname of “the Golden Rock”, the island gained recognition for supplying American revolutionists with weapons and ammunitions [50]. By 1840, there were just ten plantations left, and following the abolition of slavery in the Dutch Caribbean in 1863, slaves largely left the countryside to settle in towns [52]. St. Eustatius’ economy dwindled in the following century, and by 1948 the population was down to only 921 people [32]. The past three decades brought new economic developments and employment through the installation of an oil terminal in 1982 and increased tourism developments. The current population is about 3200 people [53]. While most evidence of natural vegetation was destroyed under the plantation system, vegetation regeneration has since occurred in many areas. National parks were established in 1999 and are managed by the St. Eustatius National Parks Foundation (STENAPA), protecting 28% of the island’s area that include Quill hill and most of the area around Boven and Gilboa hills in the north (Figure 1). The secondary woodland that is growing on the island today includes many introduced and naturalized species, typical of secondary vegetation growth in the Caribbean [41]. Figure 1. Gardenscape locations on St. Eustatius. In the past, St. Eustatius would have been significantly forested, evidenced by the importance of wood derived items like canoes and wooden tools to the pre-European Saladoid people [49]. The island was spotted by Christopher Columbus during his second visit to the New World in 1493 [50] and plantations were established by the French in the 1600s, including indigo, coffee, tobacco, cotton and sugar [51]. As the number of plantations increased, so did the import of slaves from Africa, with as many as 25,000 people living on the island during the heyday of the plantation period. Plantations expanded up the slopes of Quill and the northern hills by 1650, and by 1740 all arable land was under production [52]. However, the semi-arid climate of St. Eustatius limited production on the island, and with other compounding problems such as soil erosion, nutrient loss and invasive species [48], the island turned to trade as its major industry [50]. By the mid 1700s, St. Eustatius became the commerce center of the Caribbean due to its absence of an import tax. Given the nickname of “the Golden Rock”, the island gained recognition for supplying American revolutionists with weapons and ammunitions [50]. By 1840, there were just ten plantations left, and following the abolition of slavery in the Dutch Caribbean in 1863, slaves largely left the countryside to settle in towns [52]. St. Eustatius’ economy dwindled in the following century, and by 1948 the population was down to only 921 people [32]. The past three decades brought new economic developments and employment through the installation of an oil terminal in 1982 and increased tourism developments. The current population is about 3200 people [53]. While most evidence of natural vegetation was destroyed under the plantation system, vegetation regeneration has since occurred in many areas. National parks were established in 1999 and are managed by the St. Eustatius National Parks Foundation (STENAPA), protecting 28% of the island’s area that include Quill hill and most of the area around Boven and Gilboa hills in the north (Figure 1). Sustainability 2017, 9, 1310 5 of 20 The secondary woodland that is growing on the island today includes many introduced and naturalized species, typical of secondary vegetation growth in the Caribbean [41]. 2.2. Selection of Gardens and Participants The study gained quantitative and qualitative measures of ecological and cultural diversity and local perspectives on that diversity in home gardenscapes [54]. Informed by methods in feminist and participatory research, field surveys and interviews encouraged collaborative and shared learning about home gardenscapes [55,56]. The research received approval for exemption by Miami University’s Institutional Review Board (project 02133e) in adherence to the principles for the ethical conduct of research as described in the Belmont Report and Declaration of Helsinki. Each participant was asked to sign an informed consent form that described their participation in the study and ensured that their names would not be reported. Berkowitz [57] led the fieldwork from June to mid-July 2016. She worked with two local field assistants who identified gardeners and gardens they knew at different locations on the island defined by their neighborhood (Figure 1). We expanded the sample by following a “snowball technique” [54] (e.g., [45]), asking the first participants to provide the names of other gardeners who they thought might participate. Each home was typically visited twice, once to introduce the project, survey the garden plants and uses with the participant and conduct an interview, and a second time to compile ethno-ecological measures and ask any follow-up questions. We interviewed 11 home gardeners and surveyed 14 gardenscapes (2.14 ha) in seven named neighborhoods (Figure 1; Table 1). For two of the gardeners interviewed, we were not able to survey their garden, and in four of the gardenscapes surveyed, we were not able to interview the gardener. Sampled gardenscapes were managed by 8 females, 5 males, and two couples who shared garden labor. All participants were adults and most were in their 50s or 60s. Eight gardenscapes were managed by native St. Eustatians, and the others were from the United States (1), UK (1), Guyana (1), The Netherlands (1), and other Caribbean islands (4) (Table 1). The gardeners from elsewhere have lived on St. Eustatius for time periods ranging from five years to over three decades, and reported gardening at their current gardenscapes from one year to “many decades” (Table 1). Table 1. Characteristics of the sampled gardenscapes. Gardenscape (GS) Size (m2) Participants Country of Origin Length of Time at Gardenscape (Years) Gardenscapes where surveys and interviews occurred 1 704 Female Aruba 21 2 1132 Female St. Eustatius 24 3 1750 1 Male St. Eustatius “many decades“ 4, 5 1116, 492 2 Female Dominica “many years“ 6 18171 Female United States 7 7 6518 Male St. Eustatius ~15 8 2243 Male St. Eustatius 1 9 1077 Female St. Lucia 10 10 685 3 Male Guyana 2–3 Gardenscapes where only surveys occurred 11 804 Female St. Eustatius 25 12 906 Female St. Eustatius not known 13 500 Couple St. Kitts not known 14 1694 Couple St. Eustatius, UK 3–4 Gardenscapes where only interviews occurred 15 Not surveyed Female The Netherlands 5 16 Not surveyed Male St. Eustatius 2–3 1 Gardener’s property contained more area than the surveyed gardenscape. 2 Gardenscape is located in a community garden managed by the Agriculture Department. 3 Gardenscape is not on the gardener’s property. Sustainability 2017, 9, 1310 6 of 20 Most of the sampled gardens were in the Golden Rock and Concordia/Cherry Tree neighborhoods in a densely settled area on a flat upland (5 interviews, 6 gardens surveyed; Figure 1). Four garden surveys and three interviews were conducted in Rosemary Laan, along a major road south of the capital Oranjestad, which runs from the top of the cliffs along a windy slope near the bay to the base of Quill hill. This setting is moister with natural vegetation, and gardenscapes are generally larger. The Upper Town gardenscape is near the edge of the cliffs by the bay at the capital Oranjestad. Two gardenscapes at Behind the Mountain are exposed to northeastern trade winds and the soil contains volcanic ash. Salt spray from the sea influences the plants on these properties. Finally, the sampled gardenscape at Lynch is located in a semi-residential area on a flat upland. The first task was to survey with the home participants the boundary around their gardenscape. Most gardenscapes were defined by the property lines around their homes, with four exceptions. One participant rented a garden plot, one maintained a plot in a community garden, and two properties were very large so the survey only measured the land area that they identified as being more directly under their management (Table 1). Gardenscape sizes were determined first by taking GPS points in the property corners, and then taking additional points to outline the house (if present) so that it could be subtracted from the calculated area. These field measures were cross-checked with measurements of each gardenscape made on satellite imagery in Google Earth Pro. Gardenscapes ranged from 492 to 6518 m2 in size (mean = 1531 m2) (Table 1). 2.3. Ecological and Ethnobotanical Plant Diversity Once the boundary of the garden was delineated, we compiled a floristic and ethnobotanical survey in collaboration with the field assistants and garden participant(s). All plants in the gardenscape were identified by genus and species and their growth habit (e.g., trees, shrubs, annual or perennial herbs). Photos and 88 voucher specimens were collected to confirm identifications, working in collaboration with Miami University’s Turrell Herbarium (MU). Identification, nomenclature, and plant origins followed Plants of the Eastern Caribbean, an online database that is maintained by the University of the West Indies in Barbados, Acevedo-Rodriguiz and Strong’s [58] “Catalogue of seed plants of the West Indies”, Rojer’s [32] floristic inventory of St. Eustatius, and a report by van der Burg [59] on naturalized and invasive plants in the Dutch Caribbean. We also recorded the abundances of woody plants and herbaceous perennials as a measure of ecological structure. From these data, diversity attributes included floristic measures of species richness, species densities (# species/m2), total plant densities (#/ha), relative abundances, and a comparison of composition and structural differences among the gardenscapes. PC-ORD software, which provides multivariate analyses of ecological community data, was used to calculate evenness based on relative species abundances and a jackknife estimate of species richness based on plot occurrences [60]. For the ethnobotanical survey, we recorded local plant names and uses during the field survey and in the home interviews. The study compiled the number of plant species with uses, the total number of uses, and the number of plants and uses by categories that included environmental services, food, health remedies, material uses, and symbolic services [2,61]. Ethnobotanical plant uses were compared for native and non-native plants in the gardenscapes. 2.4. Gaining Local Perceptions on Gardenscapes We gained insight on how people on St. Eustatius situate and value the importance of gardens to their homes and livelihoods through semi-structured interviews, during which open-ended questions relied on participant responses to guide the interview and narratives compiled (Table 2). Of particular interest was how they transformed the garden space, engaged in gardening practices that support plant diversity, and recognized contributions from their gardenscape to their home and livelihood. Ten interviews occurred at homes and/or an identified garden space, and one interview took place at the Caribbean Netherlands Science Institute. Each interview lasted about one hour, depending on how they elaborated on their responses in relation to their gardening activities. The two research assistants Sustainability 2017, 9, 1310 7 of 20 knew most of the participants, and often joined in with asking questions or discussing certain topics with the gardeners. At several gardens, we used audio recording for the interviews, which can be particularly useful because of the anecdotal nature of ethnobotanical research (e.g., [29,62], but mostly we relied on recorded notes of their responses. Table 2. Questions asked in the semi-structured interviews. Transformation of The Garden Space Where did you gain your plant and gardening knowledge? What work did you do to create your gardenscape? Does anyone else help you garden, and if so who? How much time do you spend gardening? Supporting Plant Diversity in Gardenscapes Where did you acquire your plants (grew naturally, bought, given, etc.)? What do you do to create positive change in your gardenscape? What problems do you have managing your gardenscape? Gardenscape Contributions to Homes and Livelihoods How does your gardenscape and its plants contribute to your livelihood? What importance does your gardenscape and its plants have in your life? How has gardening on St. Eustatius changed over the years? What opportunities do you currently see for gardening on St. Eustatius? 3. Results 3.1. Ecological and Cultural Diversity of the Gardenscapes Cumulatively for the gardens, the study reports 277 species in 211 genera and 75 families in a surveyed area of 2.14 ha (Table S1). The island was experiencing a drought before and during the field survey, with only 45 mm of rain in May and 37 mm in June 2016 compared to averages of 119 mm and 54 mm, respectively [63]. Several participants suggested that the dry conditions may have contributed to a lower diversity or abundance of plants in their garden. Of the 277 species, 87 were trees, 67 were shrubs and 123 were herbs; 85 or 31% are native to St. Eustatius, while 192 plants or 69% are considered non-native (Table 3). Most (162) of the non-native plants were “introduced”, 25 are “naturalized”, and five are “invasive” on St. Eustatius [59]. For example, the study recorded native Hymenocallis caribea in eight gardenscapes, the introduced non-native ornamental Bougainvillea sp. planted in five gardenscapes, naturalized non-native Catharanthus roseus from Madagascar occurring in seven gardenscapes, and the invasive non-native vine Antigonon leptopus in seven gardenscapes. Van de Burg et al. [59] includes a list of 80 non-native plant species in the Dutch Caribbean that may be of concern due to their potential to be invasive, but their threat on St. Eustatius is not yet known. Twenty-one of these species were reported as introduced in the gardenscapes. Table 3. Plant species by origin status, following van der Burg [59]. Origin Status Number of Species (%) Native—plants indigenous to an area. 85 (31%) Introduced (exotic)—plants transported across geographical barriers by humans. 162 (58%) Naturalized—non-native plants that sustain their populations. 25 (9%) Invasive—non-native plants that spread away from their site of introduction and outcompete native vegetation. 5 (2%) The ethnobotanical survey recorded 260 plant species with uses and a total of 363 plant uses (Table 4 and Table S1). The study participants emphasized the aesthetic contributions of their gardenscapes and accordingly most plants (184) were introduced for their “environmental service” as Sustainability 2017, 9, 1310 8 of 20 an ornamental plant. The category with the highest number of plant uses was environmental services (187 species, 200 uses), which in addition to ornamental plants included plants selected for drought resistance or providing a supportive function to other plants in the garden (Table 4). Many of the non-ornamental plant uses, particularly those for health remedies, came from a native St. Eustatian woman and a woman originally from Dominica who had lived on St. Eustatius for many decades. Interestingly, the most common ailments treated by plants were high blood pressure and diabetes, which correlate to a new prevalence of those diseases on the island [43]. Among the plants with uses, we found 185 plants with only one use and 24 plants with three or more uses. Of the 184 plants considered ornamental, 47 (26%) had additional ethnobotanical uses, such as Ricinus communis (castor oil plant), which is also used by women to “clean out” after having a baby, to help a baby be birthed quicker, and to condition hair. Table 4. Ethnobotanical plant uses reported by garden participants. Use Categories Recorded Uses (# of Species) No. of Uses No. of Species Food Side dish (1), edible leaves (6), edible stalks (4), edible bulbs (2), edible fruits (47), edible nuts (1), fruit used to make jam (2), fruit used to make juice (7), edible herb (9), adds fiber to diet (1), milk for tea and porridge (1), used to make oil (1), good source of starch (1), seeds used to flavor cooking (1), cut up and eat like string beans (1), makes a cooling drink (2), used for salad (2), edible roots (4), grind seeds to make coffee (1), good for flavoring soups, meat and salads (1), used to make a Christmas drink (1), ferment fruit to make wine (1), edible flowers (1), leaves good for tea (2), source of sugar (1) 101 94 Material uses Used to cover charcoal pits (1), attracts fish so they are easier to catch (1), bowls and cups can be made from the fruit (1), good for making fences (1), powder from seeds used for skin decoration (1), repels mosquitos (1), used on hair (1), fish poison (1), animal fodder (1), can be used as a roof on structures for shade (1). 10 9 Symbolic services Branches tied to fences/doors on independence day (1), cut for decorative flowers (1) 2 2 Health remedies Tea to get rid of worms (1), (tea) for weight loss (2), (tea) for blood pressure (4), (tea) for diabetes (6), drink juice to treat diabetes (1), pieces of plant can be eaten to treat diabetes (1), jelly good for kidney and bladder (1), drink oil for colon (1), tie on foot if a nail or kasha plant is stepped on to prevent tetanus and draw out poison (1), good for eyes (1), tie on stomach to reduce pain (1), tea to cause an abortion (1), tea to stop bleeding (1), treatment for mosquito bites (1), used to “clean out” after having a baby (1), used to help a baby come out quicker during birth (1), (tea) for cough (2), (tea) for dengue (1), make powder from root for prostate problems (1), leaves draw down swelling (1), good for menstrual pain (2), tea to relieve pain (1), helps with memory (1), treats colds (1), rub leaves on wasp stings (1), chew a piece to go to sleep (1), makes a tincture for pain (1), general health remedy (1), apply to face to treat mumps (1), (tea) to stop diarrhea (1), chew roots to stop pain (1), make bush tea (1), drink juice to get rid of typhoid (1), leaves used to make tea (tea) to treat fever (4), used to make a treatment for prostate problems (1), treatment for sores (1) 50 33 Environmental services Ornamental plant (184), drought resistant (3), good for shade (2), leaves can be put around plants to keep in moisture (1), hummingbirds like flowers (1), popular tree habitat for iguanas (1), used as a windbreak (2), can break off a stick and plant to quickly grow a tree (1), branches used to protect growing vegetables from livestock (1), boil leaves to make a tea that can be applied to plant leaves to get rid of/prevent pests (1), flowers attract bees (1), can grow on an arbor and have a greenhouse space underneath (1), fragrant flowers (1). 200 187 Totals 363 260 Several plants were mentioned as having uses by multiple participants, such as Senna occidentalis, whose seeds can be used to make coffee, Amaranthus dubius, a green originating from West Africa that is commonly known as callaloo and used in Caribbean cooking, and Moringa oleifera, which one participant called the most important medicinal plant on St. Eustatius, and was said to help with weight loss. We reported nine uses for Cocos nucifera and five uses for Aloe vera (Table S1) that were mentioned by multiple participants. Species richness among the gardens ranged from 22 to 92 species (mean = 55, Table 5; Figures 2 and 3). Species density (#/m2) was highest in the smallest gardenscape and lowest in the largest gardenscape (see Table 1 for GS 13 and 7), but richness and species density also varied Sustainability 2017, 9, 1310 9 of 20 among gardens of similar size (Table 5). Plant densities (#/ha) in the gardenscapes were high, with a mean of 2179/ha, and relative abundances of species were relatively equitable with all evenness values above 0.700. Table 5. Ecological attributes of the gardenscapes. Island Location Gardenscape (GS) No. of Species Species Density (#/m2) Density (#/ha) Evenness Behind the Mountain 6 92 0.05 3089 0.793 8 22 0.01 1937 0.640 Cherry Tree 9 67 0.06 2374 0.869 Concordia 1 50 0.07 2455 0.843 2 82 0.07 3367 0.702 5 37 0.08 2726 0.763 11 53 0.07 1774 0.778 Golden Rock 13 57 0.11 3953 0.856 Lynch 3 54 0.03 1689 0.803 Rosemary Laan 4 90 0.08 3193 0.872 7 38 0.01 640 0.757 12 54 0.06 1910 0.875 14 39 0.02 599 0.749 Upper Town 10 30 0.04 794 0.796 Average 55 0.05 2179 0.793 Gardenscapes with the most and lowest number of species are in the same neighborhood (Behind the Mountain) and those gardens with highest species richness occur in more arid (e.g., Behind the Mountain) and moist (e.g., Rosemary Laan) settings (Figure 1, Table 5). Species richness differences among the gardens relate more to the gardener and the purpose of the garden. For example, the three gardenscapes (6, 2, and 4) with the highest number of species were managed by older women who had more time to garden and extensive knowledge of plants and plant uses. GS 2 was less manicured, allowing for a greater number of native species (32; Figure 2). The gardener from GS 4, among the highest in richness (90), species density (0.08/m2), density (3193/ha) and evenness (0.872), grew many fruit trees that were used to make products both for her own use and to sell, and had collected and managed plants in her gardenscape for “many years” (Figure 4). Sustainability 2017, 9, 1310 9 of 20 Species richness among the gardens ranged from 22 to 92 species (mean = 55, Table 5; Figures 2 and 3). Species density (#/m2) was highest in the smallest gardenscape and lowest in the largest gardenscape (see Table 1 for GS 13 and 7), but richness and species density also varied among gardens of similar size (Table 5). Plant densities (#/ha) in the gardenscapes were high, with a mean of 2179/ha, and relative abundances of species were relatively equitable with all evenness values above 0.700. Table 5. Ecological attributes of the gardenscapes. Island Location Gardenscape (GS) No. of Species Species Density (#/m2) Density (#/ha) Evenness Behind the Mountain 6 92 0.05 3089 0.793 8 22 0.01 1937 0.640 Cherry Tree 9 67 0.06 2374 0.869 Concordia 1 50 0.07 2455 0.843 2 82 0.07 3367 0.702 5 37 0.08 2726 0.763 11 53 0.07 1774 0.778 Golden Rock 13 57 0.11 3953 0.856 Lynch 3 54 0.03 1689 0.803 Rosemary Laan 4 90 0.08 3193 0.872 7 38 0.01 640 0.757 12 54 0.06 1910 0.875 14 39 0.02 599 0.749 Upper Town 10 30 0.04 794 0.796 Average 55 0.05 2179 0.793 Gardenscapes with the most and lowest number of species are in the same neighborhood (Behind the Mountain) and those gardens with highest species richness occur in more arid (e.g., Behind the Mountain) and moist (e.g., Rosemary Laan) settings (Figure 1, Table 5). Species richness differences among the gardens relate more to the gardener and the purpose of the garden. For example, the three gardenscapes (6, 2, and 4) with the highest number of species were managed by older women who had more time to garden and extensive knowledge of plants and plant uses. GS 2 was less manicured, allowing for a greater number of native species (32; Figure 2). The gardener from GS 4, among the highest in richness (90), species density (0.08/m2), density (3193/ha) and evenness (0.872), grew many fruit trees that were used to make products both for her own use and to sell, and had collected and managed plants in her gardenscape for “many years” (Figure 4). Figure 2. Species richness among the sampled gardenscapes by their origin status. Figure 2. Species richness among the sampled gardenscapes by their origin status. The gardens clearly show the contribution of non-native plants to their “ecological” diversity, but the survey results also highlight on average about 25% of the flora represented by native plants (Figure 2). Some of the most commonly found plants include non-native Carica papaya (papaya; Sustainability 2017, 9, 1310 10 of 20 10 gardens), Annona muricata (soursop; 10 gardens), and Anacardium occidentale (cashew; 9 gardens, and native Hymenocallis caribea (spider lily; 9 gardens). Some of the species with the highest density in gardenscapes include non-native Leucaena leucocephala with a total density of 1945/ha and Musa sp. with a density of 1560/ha, and native Jatropha gossypiifolia with a density of 1226/ha. Most gardens, typical of tropical flora, showed highest species richness and plant abundances attributed to woody plants (mean = 33), followed by perennial herbs (15), annual herbs (6), and biennial plants (1 or 2 present per garden) (Figure 3). Only GS 5 and 10 showed highest percentages attributed to herbaceous plants explained by the gardeners’ focus on vegetable production (Figure 4).Sustainability 2017, 9, 1310 10 of 20 Figure 3. Species richness among the sampled gardenscapes by their growth habit. Figure 4. Variation in species richness among the sampled gardenscapes. Gardenscape 4 (left) was among the most species rich (90), with an above average species density (0.08), plant density (3193/ha) and species evenness (0.872), and showing high structural diversity. Gardenscape 10 (right) was below the average in species richness (30), species density (0.04), and plant density (794/ha), with a focus on annual vegetables and perennial herbs. The gardens clearly show the contribution of non-native plants to their “ecological” diversity, but the survey results also highlight on average about 25% of the flora represented by native plants (Figure 2). Some of the most commonly found plants include non-native Carica papaya (papaya; 10 gardens), Annona muricata (soursop; 10 gardens), and Anacardium occidentale (cashew; 9 gardens, and native Hymenocallis caribea (spider lily; 9 gardens). Some of the species with the highest density in gardenscapes include non-native Leucaena leucocephala with a total density of 1945/ha and Musa sp. with a density of 1560/ha, and native Jatropha gossypiifolia with a density of 1226/ha. Most gardens, typical of tropical flora, showed highest species richness and plant abundances attributed to woody plants (mean = 33), followed by perennial herbs (15), annual herbs (6), and biennial plants (1 or 2 present per garden) (Figure 3). Only GS 5 and 10 showed highest percentages attributed to herbaceous plants explained by the gardeners’ focus on vegetable production (Figure 4). Culturally, the number of plant uses among the gardens followed species richness as nearly all species (mean = 95%) were purposely managed in the garden (Figure 5). Gardenscapes had on average 52 plants with uses and a recorded 75 uses for their plants. Most of the plants recorded in the study were recognized for their environmental service, mostly as ornamentals, followed by food, health remedies, material uses, and symbolic services (Figure 5). GS 10, primarily a vegetable garden, showed an emphasis on food plants (Figure 4). The most diverse gardens, for example GS 4, show both species and structural complexity with ornamental trees and shrubs, planted and accidental (errant) herbs, and food production plants such as fruit trees and vegetable plants (Figure 4). Figure 3. Species richness among the sampled gardenscapes by their growth habit. Sustainability 2017, 9, 1310 10 of 20 Figure 3. Species richness among the sampled gardenscapes by their growth habit. Figure 4. Variation in species richness among the sampled gardenscapes. Gardenscape 4 (left) was among the most species rich (90), with an above average species density (0.08), plant density (3193/ha) and species evenness (0.872), and showing high structural diversity. Gardenscape 10 (right) was below the average in species richness (30), species density (0.04), and plant density (794/ha), with a focus on annual vegetables and perennial herbs. The gardens clearly show the contribution of non-native plants to their “ecological” diversity, but the survey results also highlight on average about 25% of the flora represented by native plants (Figure 2). Some of the most commonly found plants include non-native Carica papaya (papaya; 10 gardens), Annona muricata (soursop; 10 gardens), and Anacardium occidentale (cashew; 9 gardens, and native Hymenocallis caribea (spider lily; 9 gardens). Some of the species with the highest density in gardenscapes include non-native Leucaena leucocephala with a total density of 1945/ha and Musa sp. with a density of 1560/ha, and native Jatropha gossypiifolia with a density of 1226/ha. Most gardens, typical of tropical flora, showed highest species richness and plant abundances attributed to woody plants (mean = 33), followed by perennial herbs (15), annual herbs (6), and biennial plants (1 or 2 present per garden) (Figure 3). Only GS 5 and 10 showed highest percentages attributed to herbaceous plants explained by the gardeners’ focus on vegetable production (Figure 4). Culturally, the number of plant uses among the gardens followed species richness as nearly all species (mean = 95%) were purposely managed in the garden (Figure 5). Gardenscapes had on average 52 plants with uses and a recorded 75 uses for their plants. Most of the plants recorded in the study were recognized for their environmental service, mostly as ornamentals, followed by food, health remedies, material uses, and symbolic services (Figure 5). GS 10, primarily a vegetable garden, showed an emphasis on food plants (Figure 4). The most diverse gardens, for example GS 4, show both species and structural complexity with ornamental trees and shrubs, planted and accidental (errant) herbs, and food production plants such as fruit trees and vegetable plants (Figure 4). Figure 4. Variation in species richness among the sampled gardenscapes. Gardenscape 4 (left) was among the most species rich (90), with an above average species density (0.08), plant density (3193/ha) and species evenness (0.872), and showing high structural diversity. Gardenscape 10 (right) was below the average in species richness (30), species density (0.04), and plant density (794/ha), with a focus on annual vegetables and perennial herbs. Culturally, the number of plant uses among the gardens followed species richness as nearly all species (mean = 95%) were purposely managed in the garden (Figure 5). Gardenscapes had on average 52 plants with uses and a recorded 75 uses for their plants. Most of the plants recorded in the study were recognized for their environmental service, mostly as ornamentals, followed by food, health remedies, material uses, and symbolic services (Figure 5). GS 10, primarily a vegetable garden, showed an emphasis on food plants (Figure 4). The most diverse gardens, for example GS 4, show both species and structural complexity with ornamental trees and shrubs, planted and accidental (errant) herbs, and food production plants such as fruit trees and vegetable plants (Figure 4). Sustainability 2017, 9, 1310 11 of 20 Sustainability 2017, 9, 1310 11 of 20 Figure 5. Ethnobotanical plant uses in gardenscapes by location. Plot occurrences among the sample gardens explain the cumulatively high plant diversity of the surveyed gardenscapes. A jackknife analysis for the projected number of species in gardenscapes based on plot occurrences [60] provided a first order estimate of 393 species and a second-order estimate of 449. The majority of species (102) are only present in one gardenscape, and no species were recorded in all gardenscapes. GS 6, 2, and 4 have the most species overall and correspondingly also have the most unique species, with 21, 15 and 14, respectively. 3.2. Local Perceptions on the Management and Livelihood Contributions of Gardenscapes Nine people said that they had grown up gardening and farming with their parents. Older gardeners who grew up on St. Eustatius said that farming was the main source of income for their parents and grandparents, which is how they learned about plants and came to love growing them. All they had was what they grew. Five gardeners mentioned having to do a lot of work to transform their gardenscape when they first acquired it (Figure 6), while two were gardening on land that has been in their family for decades. The woman who maintains GS 1 said: “I had to remove lots of stones from my yard and planted the garden piece by piece, getting many blisters on the way”. The woman from GS 15 said that there was not much in her yard when she arrived a few years ago besides a few trees, and the soil was bad with lots of sand and stones, but with fertilizer, water and shade she has been able to grow a lot. The woman who maintains GS 6, which is located behind the mountain, said that there were lots of invasive weeds on her land before she moved there such as kasha (Vachellia sp.), corallita (Antigonon leptopus), and tan tan (Leucaena leucophala) that needed to be removed, as well as genip (Melicoccus bijugatus) and calabash (Crescentia cujete) trees that she kept. The man from GS 10 rents his land from a lady he did carpentry work for. He had to remove lots of corallita at first, plowing it up, taking out roots with a rake, and throwing it across the road into an empty lot. All surveyed gardenscapes were maintained by the gardeners who we interviewed, but they mentioned getting help from other people, such as hired gardeners, relatives, friends, or a partner or spouse. Eight gardeners said they spend time in their gardens every day, either to maintain it or for pleasure, often in the morning when it is cooler. “Every morning I take off yellow leaves and dead flowers and give them a little sip” said the woman from GS 1. The gardener at GS 7 said that he goes to his garden every day, either in the morning or afternoon, whenever he is not busy or the trees need water, and finds that gardening does not usually take him too much time. Plants are both cultivated by the gardener and obtained from outside sources. Seven participants mentioned plant material being brought to St. Eustatius from other islands or regions, including St. Maarten, St. Lucia, Colombia, Jamaica, Dominica, Florida, Suriname, US Virgin Islands, St. Kitts, Nevis, and Puerto Rico. Two participants emphasized their dedication to growing “local” fruit, such Figure 5. Ethnobotanical plant uses in gardenscapes by location. Plot occurrences among the sample gardens explain the cumulatively high plant diversity of the surveyed gardenscapes. A jackknife analysis for the projected number of species in gardenscapes based on plot occurrences [60] provided a first order estimate of 393 species and a second-order estimate of 449. The majority of species (102) are only present in one gardenscape, and no species were recorded in all gardenscapes. GS 6, 2, and 4 have the most species overall and correspondingly also have the most unique species, with 21, 15 and 14, respectively. 3.2. Local Perceptions on the Management and Livelihood Contributions of Gardenscapes Nine people said that they had grown up gardening and farming with their parents. Older gardeners who grew up on St. Eustatius said that farming was the main source of income for their parents and grandparents, which is how they learned about plants and came to love growing them. All they had was what they grew. Five gardeners mentioned having to do a lot of work to transform their gardenscape when they first acquired it (Figure 6), while two were gardening on land that has been in their family for decades. The woman who maintains GS 1 said: “I had to remove lots of stones from my yard and planted the garden piece by piece, getting many blisters on the way”. The woman from GS 15 said that there was not much in her yard when she arrived a few years ago besides a few trees, and the soil was bad with lots of sand and stones, but with fertilizer, water and shade she has been able to grow a lot. The woman who maintains GS 6, which is located behind the mountain, said that there were lots of invasive weeds on her land before she moved there such as kasha (Vachellia sp.), corallita (Antigonon leptopus), and tan tan (Leucaena leucophala) that needed to be removed, as well as genip (Melicoccus bijugatus) and calabash (Crescentia cujete) trees that she kept. The man from GS 10 rents his land from a lady he did carpentry work for. He had to remove lots of corallita at first, plowing it up, taking out roots with a rake, and throwing it across the road into an empty lot. All surveyed gardenscapes were maintained by the gardeners who we interviewed, but they mentioned getting help from other people, such as hired gardeners, relatives, friends, or a partner or spouse. Eight gardeners said they spend time in their gardens every day, either to maintain it or for pleasure, often in the morning when it is cooler. “Every morning I take off yellow leaves and dead flowers and give them a little sip” said the woman from GS 1. The gardener at GS 7 said that he goes to his garden every day, either in the morning or afternoon, whenever he is not busy or the trees need water, and finds that gardening does not usually take him too much time. Plants are both cultivated by the gardener and obtained from outside sources. Seven participants mentioned plant material being brought to St. Eustatius from other islands or regions, including Sustainability 2017, 9, 1310 12 of 20 St. Maarten, St. Lucia, Colombia, Jamaica, Dominica, Florida, Suriname, US Virgin Islands, St. Kitts, Nevis, and Puerto Rico. Two participants emphasized their dedication to growing “local” fruit, such as mango, guava and soursop (all introduced), because they are easier to grow and more drought resistant. Six people said they grew their own plants from cuttings and seeds. Two gardeners said that you can buy seeds at the hardware store on St. Eustatius for vegetables such as celery and pak choy, but not in the large quantities that many of these gardeners want. The gardener from GS 10 said that he saved his own seeds, three people said they got them from friends or family, and two people mentioned getting them when they are in other countries. Three of the gardeners also gave away or sold seedlings from their own gardens. Sustainability 2017, 9, 1310 12 of 20 as mango, guava and soursop (all introduced), because they are easier to grow and more drought resistant. Six people said they grew their own plants from cuttings and seeds. Two gardeners said that you can buy seeds at the hardware store on St. Eustatius for vegetables such as celery and pak choy, but not in the large quantities that many of these gardeners want. The gardener from GS 10 said that he saved his own seeds, three people said they got them from friends or family, and two people mentioned getting them when they are in other countries. Three of the gardeners also gave away or sold seedlings from their own gardens. Figure 6. Field observations of gardenscapes, focusing on the transformation of the land (top) through burning and planting seedlings, ways of enriching diversity (middle) through the use of raised beds and shade, and the income contributions of gardenscape (bottom) from tourists and vegetable sales. Interview respondents provided different perceptions on how they promote plant diversity in their gardens. Three people said that they never think about the seasons and that it is possible to grow some plants year round, though certain types of vegetables have to rotate in and out. Three people also said that they avoid consuming things that are bad for health, so prefer to grow their own food organically. A male gardener at GS 10 prefers vegetables as cash crops because they have a quicker turnaround, the women at GS 4 and GS 5 prefers fruit trees because of the healthy fruit they provide, and the male gardener at GS 7 prefers fruit trees over ornamentals because he likes getting a “reward” from his plants. The woman at GS 15 said that she started most of her fruit trees from seed, and in the five years that she has lived on St. Eustatius most of them have gotten to four or five feet tall and started to produce fruit. Maintaining established plants can often be the biggest challenge on St. Eustatius, but people are able to successfully garden by getting water from multiple sources like catching rainwater, and enhancing the soil with compost, fertilizer, or manure. Gardeners also described enhancing their space by adding infrastructure to their garden such as raised beds, growing plants in pots made from household items like tin cans and water containers, and creating better growing environments for plants with shadecloth (Figure 6). Gardenscapes and the plants they contain also provide support for other species such as the endangered Iguana delicatissima and provide sources of pollen for bees and Figure 6. Field observations of gardenscapes, focusing on the transformation of the land (top) through burning and planting seedlings, ways of enriching diversity (middle) through the use of raised beds and shade, and the income contributions of gardenscape (bottom) from tourists and vegetable sales. Interview respondents provided different perceptions on how they promote plant diversity in their gardens. Three people said that they never think about the seasons and that it is possible to grow some plants year round, though certain types of vegetables have to rotate in and out. Three people also said that they avoid consuming things that are bad for health, so prefer to grow their own food organically. A male gardener at GS 10 prefers vegetables as cash crops because they have a quicker turnaround, the women at GS 4 and GS 5 prefers fruit trees because of the healthy fruit they provide, and the male gardener at GS 7 prefers fruit trees over ornamentals because he likes getting a “reward” from his plants. The woman at GS 15 said that she started most of her fruit trees from seed, and in the five years that she has lived on St. Eustatius most of them have gotten to four or five feet tall and started to produce fruit. Maintaining established plants can often be the biggest challenge on St. Eustatius, but people are able to successfully garden by getting water from multiple sources like catching rainwater, and Sustainability 2017, 9, 1310 13 of 20 enhancing the soil with compost, fertilizer, or manure. Gardeners also described enhancing their space by adding infrastructure to their garden such as raised beds, growing plants in pots made from household items like tin cans and water containers, and creating better growing environments for plants with shadecloth (Figure 6). Gardenscapes and the plants they contain also provide support for other species such as the endangered Iguana delicatissima and provide sources of pollen for bees and hummingbirds. Palm tree leaves were mentioned as very useful by two gardeners, both for providing shade and for putting around the base of trees to keep moisture in. The gardener from GS 9 mentioned that having lots of trees in her yard makes the whole place seem much cooler, and she had a large passion fruit (Passiflora sp.) vine forming an arbor in her yard that she used as a “greenhouse” because it stays cool and moist under it. Eight participants reported that St. Eustatius was currently in a bad drought, which affected the plants that they could grow. Two older participants suggested that the climate on St. Eustatius had gotten drier over the years and four gardeners said that they were no longer able grow certain crops year round such as pineapple, yams, potatoes, sugar cane and pumpkins because they grow very slowly and often do not get big enough to bear fruit. In contrast, the gardener at gardenscape 13 said that trees and shrubs flower more when conditions are dry. Four participants mentioned that roaming livestock are a problem in maintaining their gardenscapes. People on St. Eustatius allow their cows and goats to roam freely on the island, and the animals are always looking for food. One woman from GS 9 just had a cow break into her yard in the middle of the night, which trampled several of her plants. Pests were identified as one of the biggest problems in gardenscapes. Three people mentioned a pest on St Eustatius that took out all their coconut trees several years ago, with one person describing it as a bug that goes inside the tree and lays eggs that hatch and eat through the middle of the tree. Mealy bugs, worms, aphids, caterpillars, white flies, fire ants, weevils, and a butterfly egg pest were also mentioned as problem insects by gardeners. Two gardeners mentioned a “tea” that can be made from boiling leaves of the neem tree (Azadirachta indica), which can then be sprayed to prevent pests such as ants and mealybugs. Thrush, rats, and snails also pose a threat to plants. Though the study reports five invasive plants, these plants were not mentioned as a problem by the gardeners. Two gardeners, when asked about the very invasive corallita vine (Antigonon leptopus) said that you just have to dig out the roots little by little every year and the plant will eventually disappear. Gardeners had much to say about how the plants contributed to their livelihoods and to St. Eustatian society (Figure 6). Two gardeners had small inns that were run out of their homes and had nice gardens as an attraction for their customers and a source of food for their restaurants. Three people mentioned selling plants. The gardener from GS 16 said he sold tree slips to people who want to backyard garden, and also sold vegetable plants like spinach and pak choy. Health remedies were sold by the man from gardenscape 8, who made herb treatments for dengue and chikungunya, treatments for prostate problems made from dandelion (Taraxacum officinale), and tinctures from cinnamon (Pimenta racemosa) for pain. Two gardeners sold their vegetables at a local vegetable stand or market. The gardener who manages GS 4 and GS 5 makes juices and jams from mango, gooseberry and guava, and dries herbs to sell at fairs and markets on the island. She wished there were more opportunities to sell her products. The gardener from GS 6 exchanges produce like pumpkins and beans for bottles of liquor and wine. The study participants openly expressed how gardenscapes “personally” benefited their lives. One woman from GS 1 described how much she loves all her plants, and thinks her plants look like they were sad when she goes away. Another gardener from GS 7 said how he enjoys eating and sharing the fruit from his trees with his family and friends. He thinks gardening is relaxing and good for his health. “Every day I can’t wait to get to the garden, inhale oxygen, put my fingers in the dirt”. “I don’t like to use gloves” said the woman from GS 9, and she also said she knows the beauty of growing your own plants. Two people said that they find gardening to be very rewarding and fun. “If you want to be independent you have to plant. You’re not independent if you can’t feed yourself”, said the man from GS 3. Four people also emphasized that gardening had taught them the value of healthy eating. Sustainability 2017, 9, 1310 14 of 20 The consensus of eight garden participants was that people garden a lot less than they used to. The gardener from GS 15 said that getting people into gardening today is difficult because “you need money, a good fence to keep out livestock, and time”. However, the gardener at GS 6 says that “you can save a lot of money gardening on St. Eustatius because produce is expensive at the grocery store”, and the gardener at GS 15 says “you can grow almost anything if you know how to do it”. Lack of education in schools about gardening and the importance of plants is a main reason that five people mentioned influencing the decline in gardening. The woman from GS 1 made the observation that overall St. Eustatius does not have enough vegetation, and thinks that the government should plant more trees. The participant from GS 16 works at the St. Eustatius Department of Agriculture and Fisheries, and said that 85% of food on the island is imported. He recently started a community garden initiative on Department of Agriculture land, and now has four gardeners who each have their own space (e.g., GS 5) but also help each other out with garden maintenance. Anyone can get a piece of the land, he said, and they can receive more as their garden spaces improve. 4. Discussion 4.1. Gardenscapes for Biodiversity Conservation Gardenscapes show unique contributions to plant diversity on St. Eustatius. Our survey of 14 gardenscapes maintained by active gardeners confirmed 277 plant species in about 2 ha of land. Species richness in gardens can be very high in a small cumulative area. By comparison, similar floristic inventories found 182 plant species in 25 home gardens in Cuba [45], 177 species in 19 home gardens in Brazil [64], 600 species in 244 gardens in South Africa [65], 520 plant species in 62 home gardens in Tanzania [66], and 282 species in 328 urban home or shared apartment gardens in Bangladore, India [28]. St. Eustatian gardenscapes contain about a third native plants and two thirds non-native; findings that concur with other garden research in, for example, the UK [27] and South Africa [67]. Some restoration ecologists promote only native plants, saying that non-native plants are not positive contributions to ecological diversity due to their potential to become invasive, lack of environmental services, and unsuitable adaptability to the area where they are planted [16]. The participants in our study, however, described how these plants transformed highly degraded land, added to the availability of cultural plant resources, and made positive changes in the landscape that suggest their role as “culturally enriching” to their homes and potentially “facilitating” to native flora [68]. Although our study focused on plants, the gardeners mentioned their role in providing habitat for the endangered Iguana delicatissima and sources of pollen for bees and hummingbirds, supporting potentially a diversity of fauna through gardenscape management [16]. Species densities in gardenscapes on St. Eustatius are significantly higher than those reported for natural vegetation. The sampled gardens occurred across the “urban wasteland” mapped by De Freitas et al. [48] and described by Van Andel et al. [46] (p. 65) as: “open vegetation, entirely covered by a blanket of the invasive corallita vine (Antigonon leptopus), contains a few scattered trees, like Leucaena leucocephala (also an invasive) and the cultivated fruit tree Melicoccus bijuga, whose broad crown shades out the corallita, allowing space for a few other herbs and grasses”. Low woody plant density and richness reported for more “natural” tropical dry vegetation types [46] contrast with the structural heterogeneity found in most gardenscapes. The gardenscapes, while showing an emphasis on non-native ornamentals, exemplify the mixed composition of species found from different origins characteristic of secondary succession in the Caribbean [41,69] and contribute to diversity patterns on the island as their own “novel ecosystem” [70]. High measures of ecological diversity in gardenscapes also corresponded to high ethnobotanical diversity on St. Eustatius. While over half of the surveyed plant species were recognized as ornamental, the study reports multiple uses for these plants, a high number of plants with uses, and similar to studies in Cuba [45] and South Africa [67], a high number of plant uses for food and health remedies. Reyes-Garcia et al. [71] say that ornamental and medicinal plants increase a garden’s diversity because Sustainability 2017, 9, 1310 15 of 20 people tend to plant a smaller number of more varied species. Our sample included gardens maintained by women and men, and similar to findings in Cuba [45], the male gardeners showed a particular interest in food crops, and two of the oldest women participants with diverse gardenscapes provided examples and descriptions for nearly all the reported medicinal plant uses. Female gardeners had more diverse gardens and talked extensively about the aesthetic values of their plants. Home garden characteristics reflect cultural gender roles and expectations [71]. Study participants also indicated being worried about plant knowledge declining among younger men and women, which is a common finding in ethnobotanical research [61,72]. Many plants have heritage, exemplified by Carney’s [73] publication on how Africans, when brought to the Americas under slavery, also brought over Old World plants and plant uses. For example, the fruits from Blighia sapida and Tamarindus indica, remedies for Phyllanthus amarus and Moringa oleifera reported in our study owe their origin to Africa or through earlier exchanges between India and Africa [73]. Gardens potentially contribute toward conserving a complex cultural history in the Caribbean and cultural knowledge across highly modified landscapes. Half of the participants in the study are migrants to the region, highlighting their access to and knowledge of different plants. Gardens provide a way for people to retain and add to their cultural identity [74]. 4.2. Gardeners Create Diverse and Meaningful Gardenscapes WinklerPrins [75] (p. 59) states that: “(g)ardens are an important place to ‘be’ and a place to do ‘work’” Gardens contribute meaningfulness to “a sense of place”, through the transformation of the garden space, the use of derived products, and a connection to the wider gardening community [76]. The work that gardeners on St. Eustatius had to do to create their gardenscape was in most cases very labor intensive, and they are attached to their spaces that they have so significantly transformed. Zimmerer [77] talks about recognizing landscapes as basic to environmental knowledge, being the place where local knowledge is integrated with resource management and scientific knowledge. St. Eustatian gardeners are in possession of what is termed local ecological knowledge (LEK), experiential knowledge derived from lived interactions with the local environment, which when researched can provide meaningful biocultural data for informing conservation management [10,78]. The gardeners are the “experts”, acknowledging their “experiences and priorities” [79] (p. 463). They knew how to get extra shade from the hot sun, which plants are easier (native fruit trees) or more difficult (plants of European origin) to grow on the island, and how to effectively deal with pests. Moreover, the study suggests that local knowledge is adaptive to observed changes in environmental and socioeconomic conditions [80], which is important on St. Eustatius where gardeners report drought becoming more common. Gardenscape LEK might be especially important for the management of invasive species. Corallita (Antigonon leptopus) is the most invasive plant on St. Eustatius, covering as much as 30% of the island [80]. Though the plant was present in eight gardens, the gardeners did not describe the plant as a major nuisance and had techniques for its management. Tan tan (Leucophala leucaena) and neem (Azadirachta indica), two other common invasive species on the island [69], were also present and valued in two gardenscapes. LEK about invasive species control helps efforts to manage and restore gardenscapes and can also have wider implications for plant conservation on the island. Our study supports garden research that substantiates views from multiple “experts” as they cumulatively provide different reasons for producing diverse gardens and contribute to their effective management [54,79]. The results of this study make it apparent that the plants a gardener chooses to grow and the techniques that they use to manage their plants directly impact biodiversity levels in gardenscapes. The most diverse gardens in our study were also the most “messy” [81], with more weedy plants and a less manicured appearance. Moreover, adding infrastructure to a gardenscape in the form of raised beds, planted pots or delineated beds adds to overall garden diversity, providing more densely packed and higher potential production areas. Multifunctional gardenscapes support heterogeneity in structure and purpose, and accordingly offer a “sustainable intensification” [82] Sustainability 2017, 9, 1310 16 of 20 that can effectively integrate agrobiodiversity through their management as “conservation units for native plants and reservoirs of exotic plants from different origins” [83] (p. 1). We report unique species occurrences, distinctive ecological attributes, and different perspectives on how people place and value gardenscapes in their lives. The study highlights the positioning of gardenscapes as a “social-ecological systems framework”, emphasizes their ecological, social, and economic contributions to sustainable development, and substantiates the potential contributions of multiple stakeholders and multiple objectives that jointly address conservation and human livelihoods [31]. Preserving biodiversity is as much about the people as it is about the places, and needs to more deeply consider local decision-making about resource use and management [84]. 5. Conclusions The high plant diversity and complex ecological structures represented by the sampled gardenscapes, and the ways that people introduce and manage plants, support their recognition as potential sites of restoration [30], and adds support to an extensive global literature that highlights the potential contributions of gardens as sustainable landscape management. Gardenscapes provide an important way to strengthen biocultural approaches and, accordingly, community involvement in conservation on St. Eustatius. Although St. Eustatius National Parks (STENAPA) manages protected areas and a botanical garden, which promote flora and fauna on the island, they need not be and should not be the sole beacon of biodiversity conservation on the island. Gardenscapes on St. Eustatius have the potential to enrich degraded land, but only if local people are recognized for their individual contributions and specifically targeted to become more involved in garden management. The mixed methods employed in this study highlight the power of sharing knowledge through collaborative research. We emphasize the important work of starting dialogues about gardening on the island, and recording data that provide an opportunity for shared learning about gardenscapes. Adaptive co-management that aims to incorporate ecological knowledge and management of ecosystems on a variety of scales and amongst diverse actors [85] can guide the management of gardenscapes as a collaborative process between the gardeners and conservation agencies. The community garden managed by the Agriculture Department and STENAPA’s botanical garden on the island offer potential “boundary organizations” that can facilitate communication in this Caribbean setting and effectively support “the knowing-doing gap” [86] (p. 87). Sustainable landscape management for plant diversity needs to more holistically recognize how and why plants are being conserved and better utilize the important biocultural knowledge and understanding that local people hold about ways to improve their local landscapes through garden management. Supplementary Materials: The following are available online at www.mdpi.com/2071-1050/9/8/1310/s1, Table S1. Floristic and ethnobotanical inventory of plants confirmed in the surveyed gardenscapes on St. Eustatius. Nomenclature and plant origins as native or non-native follow Plants of the Eastern Caribbean, an online database maintained by the University of the West Indies in Barbados, Acevedo-Rodriguiz and Strong’s (2012) “Catalogue of seed plants of the West Indies”, Rojer’s (1997) floristic inventory of St. Eustatius, and a report by van der Burg (2012) on naturalized and invasive plants in the Dutch Caribbean. Common names (in bold) were provided by the study participants and local field assistants, or shown on display at the St. Eustatius National Parks (STENAPA) botanical garden. Plant types include trees (t), shrubs (s) or herbs (h), and origins are reported as native or non-native introduced (int), naturalized (nat) or invasive (inv). Ethnobotanical use categories include ecosystem services (ES), food (F), health remedies (HR), material uses (M), and symbolic services (SS). Voucher specimens (BB) were deposited at Miami University’s Turrell Herbarium (MU). Acknowledgments: This research was supported by grants from the Willard Sherman Turrell Herbarium (#229), the Department of Geography, and the Graduate School at Miami University. We especially thank our field research assistants, Hannah Madden and Celford Gibbs, the gardenscape participants for generously welcoming us into their gardens, and Michael Vincent, Director of the Turrell Herbarium, for his Caribbean flora expertise, assistance in processing the plant vouchers, and review of the plant list. The Caribbean Netherlands Science Institute (CNSI) and St. Eustatius National Parks Foundation (STENAPA) provided logistical assistance. We thank Mary Jane Berman and David Prytherch for their valuable comments as committee members for the MA thesis upon which this paper is based, and two anonymous reviewers for their comments on an earlier draft of this research paper. www.mdpi.com/2071-1050/9/8/1310/s1 Sustainability 2017, 9, 1310 17 of 20 Author Contributions: B.N.B. and K.E.M. conceived and designed the thesis research; B.N.B. conducted the field study with local participants and completed all data analyses; B.N.B. and K.E.M. wrote the paper. 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This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (http://creativecommons.org/licenses/by/4.0/). http://dx.doi.org/10.1016/j.gloenvcha.2013.11.022 http://dx.doi.org/10.1663/0013-0001(2004)58[S294:FTFAMP]2.0.CO;2 http://dx.doi.org/10.1111/j.1931-0846.2004.tb00173.x http://dx.doi.org/10.1023/A:1025914629492 http://dx.doi.org/10.1080/14927713.2014.906173 http://dx.doi.org/10.2307/3594729 http://dx.doi.org/10.1016/j.biocon.2013.11.018 http://dx.doi.org/10.1023/A:1025075923297 http://dx.doi.org/10.3368/lj.14.2.161 http://dx.doi.org/10.1002/fee.1464 http://dx.doi.org/10.15451/ec2016-8-5.6-1-17 http://dx.doi.org/10.1046/j.1523-1739.2003.01738.x http://dx.doi.org/10.1007/s00267-003-0101-7 http://www.ncbi.nlm.nih.gov/pubmed/15383875 http://creativecommons.org/ http://creativecommons.org/licenses/by/4.0/. Introduction Materials and Methods Study Area Selection of Gardens and Participants Ecological and Ethnobotanical Plant Diversity Gaining Local Perceptions on Gardenscapes Results Ecological and Cultural Diversity of the Gardenscapes Local Perceptions on the Management and Livelihood Contributions of Gardenscapes Discussion Gardenscapes for Biodiversity Conservation Gardeners Create Diverse and Meaningful Gardenscapes Conclusions 
work_uxpl5a7yojcsvaj2kwr44hq3sq	----	doi:10.1016/j.chembiol.2004.09.013 Chemistry & Biology, Vol. 11, 1659–1666, December, 2004, ©2004 Elsevier Ltd. All rights reserved. DOI 10.1016/j.chembiol.2004.09.013 Membrane-Permeable and -Impermeable Sensors of the Zinpyr Family and Their Application to Imaging of Hippocampal Zinc In Vivo Carolyn C. Woodroofe,1 Rafik Masalha,2 Katie R. Barnes,1 Christopher J. Frederickson,2 and Stephen J. Lippard1,* 1Department of Chemistry Massachusetts Institute of Technology Cambridge, Massachusetts 02139 2 NeuroBioTex, Inc. 101 Christopher Columbus Boulevard Galveston, Texas 77550 Summary Esterification of fluorescent biosensors is a common strategy used to trap probes within the cell. Zinpyr-1 (ZP1) is a fluorescein-based bright fluorescent sensor for divalent zinc that is cell permeable without prior modification. We describe here the synthesis and char- acterization of ZP1 sensors containing a carboxylic acid or ethyl ester functionality at the 5 or 6 position of the fluorescein. The presence of an electronegative carboxylate decreases the proton-induced background fluorescence of the probe by lowering the pKa of the benzylic amines responsible for fluorescence quench- ing. The charged species ZP1(6-CO2 −) is membrane- impermeant, whereas the permeability of the neutral ZP1(5/6-CO2Et) is similar to that of the parent sensor. Intracranial microinfusion of ZP1(6-CO2Et) into rat hippocampus produces reduced staining of vesicular zinc in neuropil and very clear delineation of zinc- positive injured neuronal somata and dendrites as compared with ZP1. Introduction The synthesis of fluorescent sensors for biological im- aging of Zn2+ has drawn a great deal of recent attention [1–3]. Intracellular Zn2+ is a key structural or catalytic component of many proteins, with the overall intracel- lular concentration estimated to average 150 �M [4]. A complex system of zinc transporter proteins is em- ployed in order to control Zn2+ homeostasis [5, 6], and the vast majority of intracellular Zn2+ is sequestered or tightly bound to proteins such that cytosolic chelatable Zn2+ is essentially nonexistent [7]. Certain specialized areas of the body accumulate Zn2+. The presence of low millimolar concentrations of loosely bound Zn2+ in CA3 synaptic vesicles of the mammalian cerebral cor- tex is of particular interest. This vesicular Zn2+, which constitutes about 8% of total brain zinc, is conspicuous in hippocampal mossy fiber boutons and has been de- monstrated by autometallographic and fluorescence techniques [8]. Extensive experimentation has not es- tablished definitively the normal physiological roles of hippocampal synaptic zinc [9, 10]; however, a modula- tory role in seizure conditions [11] and subsequent neu- *Correspondence: lippard@mit.edu ronal damage is indicated [12, 13]. Because Zn2+ is a spectroscopically silent metal ion, fluorescent sensing approaches to studying the movements and functions of brain zinc ion are of great utility. There are three areas in which rapidly exchangeable, loosely bound zinc may be imaged in the brain: the cy- tosol, secretory storage granules including neuronal vesi- cles, and in the extracellular fluids. Membrane-imper- meant dyes are useful for imaging extracellular Zn2+ released from presynaptic terminals [14], whereas se- questered vesicular Zn2+ is best imaged with a stably lipophilic probe. Detection of cytosolic free Zn2+, which appears almost exclusively in injured or oxidatively stressed neurons, is best achieved with a trappable probe. Among the list of desirable properties [15] for a fluo- rescent biosensor is the ability to permeate into the cell and subsequently become trapped. This “trappable” property is most often achieved by the inclusion of an ester moiety [16]. The lipophilic ester enters the cell and is hydrolyzed by intracellular esterases to a charged, membrane-impermeant carboxylate. Ethyl esters and the more hydrolytically labile acetoxymethyl esters [17] are most commonly used for this purpose. One relevant example of this strategy is its application to the p-tolu- enesulfonamidoquinoline (TSQ) family of Zn2+ sensors. TSQ is lipophilic and penetrates both plasma and ve- sicular membranes, readily staining vesicular zinc in tis- sue [18]; however, this probe is primarily applied as a histochemical stain rather than a probe for living tissue because of the harsh conditions of the standard stain- ing protocol [19]. The TSQ-based sensor Zinquin, which contains an ethyl ester to aid in solubilizing and retain- ing the sensor in cells, was designed and synthesized [20]; subsequent results suggest that the free acid form is also membrane permeable [21]. The presence of the ester group does not noticeably affect intracellular staining of mouse LTK fibroblasts compared to an anal- ogous sensor containing a 6-methoxy group (2-Me- TSQ) [22]. The fluorescein-based Zn2+ sensor Zinpyr-1 (ZP1, Fig- ure 1) has recently been reported [23]. This sensor is excited by low-energy visible light (λmax > 500 nm), is extremely bright (fZn = 0.87, �Zn = 8.4 × 10 4 M−1cm−1 ), and is membrane permeable without prior modification. A second generation of Zinpyr sensor, which does not enter intact cells, has been introduced and is exempli- fied by the asymmetric molecule ZP4 (Figure 1). Their permeability has been exploited in the selective im- aging of damaged neurons [24, 25]. By changing the substituent X (X = F, Cl, OMe) in the ZP4 family, it has been possible to modulate their properties without al- tering the membrane permeability of these sensors [26]. In the present article we describe chemical routes to a trappable ZP1 with a hydrolyzable ethyl ester in order to examine the effects of this modification on subcellular localization in vitro and in vivo. Our chemis- try furnishes both membrane-permeable and -imper- meable, visible-excitation sensors, the preparation of which can be readily scaled up to afford multigram Chemistry & Biology 1660 Figure 1. Structural Diagrams of ZP1 and ZP4 and Protonation Equilibria for the Former quantities of material. Applications to imaging hippo- a acampal zinc ion are also reported. r aResults and Discussion b tThe basic structure of Zinpyr-1, depicted in Figure 1, contains chlorine atoms at the 2# and 7# positions of m 2the fluorescein platform. In its metal-free form, the lone pair of a benzylic amine largely quenches the fluores- a ccence of ZP1. Coordination of this amine to Zn2+ or protonation affords an approximately 3-fold increase in a afluorescence. The dipicolylamine Zn2+ binding groups are installed via a Mannich reaction on the parent di- e Cchlorofluorescein. Substituents at the 2# and 7# positions are necessary to prevent Mannich reaction chemistry C Mfrom occurring at these positions. A Mannich reaction of 5- or 6-carboxylate derivatives of 2#,7#-dichlorofluo- a mrescein was therefore carried out as a desirable route to ester- and acid-functionalized ZP1 derivatives. The 5 tdichlorofluorescein-5(6)-carboxylates were synthesized han those of the free carboxylates 4a and 4b (73%, Figure 2. Synthesis of ZP1(5/6-CO2R) s a mixture of isomers (1a, 1b) by methanesulfonic cid-catalyzed fluorescein condensation of 4-chloro- esorcinol with benzene tricarboxylic acid [27]. This re- ction affords two isomers, owing to lack of selectivity etween the acid moieties at the 1 and 2 positions of he starting benzenetricarboxylic acid. The product ixture was protected and separated as the diacetates a and 2b. Activation of 2a and 2b with oxalyl chloride nd subsequent reaction with ethanol gave the fluores- ein ethyl ester diacetates (3a, 3b) in 65%–70% yield, s shown in Figure 2. Esterification of either carboxyl- te with ethanol under Mitsunobu conditions was also ffective. The desired ZP1 carboxylates (4a, ZP1(6- O2H) and 4b, ZP1(5-CO2H)) or esters (5a, ZP1(6- O2Et) and 5b, ZP1(5-CO2Et)) were isolated following annich reactions of the corresponding fluorescein di- cetates 2a-b or 3a-b with dipicolylamine and parafor- aldehyde (Figure 2). The isolated yields of ethyl esters a and 5b were reproducibly much lower (40%, 44%) Enhanced Fluorescence Imaging of Hippocampal Zinc 1661 Figure 3. Chemical and Fluorescence Prop- erties of ZP1(5/6CO2H) (A) Zn2+ response of ZP1(6-CO2H) with exci- tation at 505 nm (pH 7.4). (B) ZP1(6-CO2H) response to nanomolar levels of free Zn2+. Inset shows Kd fit. (C) Fluorescence pH profile of ZP1(5-CO2H) (circles) and ZP1(6-CO2H) (squares). (D) Selectivity of Zn2+ response: treatment of 1 �M dye with 50 �M–2 mM of shown metal ion (red bars) followed by addition of 50 �M ZnCl2 (blue bars). 79%). We previously communicated the analogous syn- thesis and properties of a ZP1-derivatized sensor con- taining an amido functional group at the 6 position [28]. The physical properties of the new sensors and their zinc complexes were examined. Addition of Zn2+ to a 1 �M aqueous solution of each sensor afforded an increase in integrated emission up to 8-fold. The disso- ciation constant for the first binding event was deter- mined by using a dual-metal EDTA buffered system, as previously described [29]. Representative data for Kd1 measurements are provided in Figure 3. The presence of an electron-withdrawing carboxyl substituent at the 5 or 6 position has little effect on the binding affinity for Zn2+ relative to ZP1 (Table 1). Previous results have indicated that the first binding event is responsible for the large fluorescence increase and that the dissoci- ation constant for binding a second zinc(II) ion to ZP1 is several orders of magnitude higher than the first [23]. The second dissociation constants were not measured in the present study. Quantum yields of the sensors in the bound and free states were determined relative to a fluorescein stan- dard. All four sensors have lower background fluores- cence (f = 0.13–0.21) in the free state compared with the fluorescence. This value does not vary considerably Table 1. Photochemical Constants of ZP1(5/6-CO2R) in the Presence and Absence of Zn 2+ Sensor λmax(Abs, nm) �max(M−1 cm−) f Brightnessa Kd1 Zn2+(nM) pKa1 pKa2 pKa3 ZP1(5-CO2Et) 517 66,000 0.14 9.2 × 10 3 0.26 ± 0.03 1.53(2) 4.02(3) 6.98(7) + Zn2+ 506 71,000 0.58 4.1 × 104 ZP1(5-CO2H) 520 81,000 0.17 1.4 × 10 4 0.22 ± 0.04 1.57(4) 3.7(4) 7.05(8) + Zn2+ 509 88,000 0.62 5.5 × 104 ZP1(6-CO2Et) 519 61,000 0.13 7.9 × 10 3 0.37 ± 0.04 2.1(1) 4.0(1) 7.00(4) + Zn2+ 509 72,000 0.67 4.8 × 104 ZP1(6-CO2H) 516 76,000 0.21 1.6 × 10 4 0.16 ± 0.02 2.12(1) 4.07(4) 7.12(7) + Zn2+ 506 81,000 0.63 5.1 × 104 ZP1 [31] 515 79,500 0.38 3.0 × 104 0.7 ± 0.1 2.75 8.37 + Zn2+ 507 84,000 0.87 7.3 × 104 a Brightness is defined as the product of quantum yield and extinction coe the parent ZP1 (f = 0.38). This property may be related to diminished protonation of the benzylic amines, as discussed below. The brightness of the metal-bound sensors ZP1(5/6-CO2R) is comparable to that of ZP1 (Table 1). Each sensor undergoes a blueshift in absor- bance of w10 nm upon Zn2+ binding. Extinction coeffi- cients of the Zn2+ complex are increased over those of the free fluorophores in all cases by 10%–15%. The extinction coefficient for the Zn2+ complex of ZP1-6- CO2H was determined at lower concentration, because the Beer’s law plot is nonlinear above w5 �M. This re- sult may be due partly or wholly to formation of dye aggregates [30]. The brightness values of the free sen- sors are significantly reduced in comparison with the parent Zinpyr-1 sensor, whereas the brightness values of the Zn2+-bound sensors are comparable, represent- ing a decrease in background fluorescence and an increase in sensor dynamic range. Measured values are listed in Table 1. Equilibrium constants for three protonation events that affect fluorescence were determined by titration fluorimetry. The pKa at 7 corresponds to protonation of the benzylic amine responsible for PET quenching of fficient at the maximum absorption (f × �max). Chemistry & Biology 1662 c f l Z a a t w m d Z a m t e i h r o a sFigure 4. Comparison of ZP1-CO2Et and ZP1 Staining c HeLa cells were incubated for 30 min at 37°C with 5 �M ZP1(6-CO2Et) i(A and C) or 5 �M ZP1 (B and D), washed twice with HBSS, incu- bbated with 45 �M sodium pyrithione and 5 �M ZnCl2, washed again, and imaged. Epifluorescence (A and B) and phase contrast h (C and D) images are shown. Scale bar, 20 �m. m c bamong the carboxyl-substituted sensors reported here, nbut is significantly lower than that of the parent Zinpyr-1 t molecule (pKa = 8.4). The decrease in protonation of the o benzylic amine at physiological pH has been suggested t to result in a lower quantum yield of the free dye and d thereby greatly decreased background fluorescence, of- ( fering a plausible explanation for the enhanced fluores- i cence response discussed above [31]. A ZP1 amide [28], t however, displays a similarly enhanced fluorescence i response despite having a benzylic amine pKa nearly z identical to that of ZP1. This result suggests that the ( diminution in fluorescence following substitution of the o bottom ring stems from another source. The energy of 5 the benzoic acid moiety of fluorescein and its deriva- s tives plays an important role in determining the fluo- b rescence quantum yield [32], and it is plausible that v substitution with a carboxylate modulates the electron s transfer driving force so as to give rise to the differ- t ences observed here. The pKa value at 1.5–2.1 probably d represents protonation of the xanthene system, which e quenches fluorescence. In this protonation state, the e positive charge is delocalized over the xanthene ring, s but a significant portion resides on the carbon at the 1 i position. Thus, an electron-withdrawing substituent w para to this carbon (at the 5 position) destabilizes the m cation, as reflected in the significantly lowered pKa j value of ZP1(5-CO2R). Figure 3C displays pH profiles l for 4a and 4b. c The selectivity of metal response mirrors that of a Zinpyr-3, a similar sensor containing fluorine atoms in t place of the 2#,7#-chlorine substituents; biologically re- levant metal ions produced no significant effect on Zn2+ S response in background levels up to 10 mM [31]. Most first-row transition metal ions quenched fluorescence A min a manner that was not reversed upon addition of ex- ess Zn2+, with the exception of Mn2+, which quenched luorescence reversibly. The Cd2+ ion also produced a arge fluorescence enhancement, similar to that of the n2+ response. Representative data for ZP1(6-CO2H) re provided in Figure 3D. Incubation of ZP1 with COS-7 cells affords a Golgi- ssociated punctate pattern with minimal staining of he remaining cell soma [23]. Treatment of HeLa cells ith 5 �M dye for 30 min and subsequent fluorescence icroscopic imaging indicated that the ZP1(5/6-CO2H) erivatives are not taken up by the cell (not shown). The P1(5/6-CO2Et) esters, however, readily stained cells in pattern similar to that observed following ZP1 treat- ent (Figure 4). In this experiment, the cells were reated with Zn2+ and pyrithione after incubation with ither sensor. The apparent permeation of both sensors nto intracellular compartments may reflect incomplete ydrolysis of the esters over the time of incubation. The elative in vivo staining of rat hippocampus with ZP1 r ZP1(6-CO2Et), imaged 12–24 hr after intracranial dye dministration, was investigated (Figure 5). Pilocarpine eizures were induced in some rats, and the mechani- ally injured area near the injection site was examined n rats with or without prior seizures. ZP1 affords a right granular staining in the zinc-rich neuropil of the ilus, whereas ZP1(6-CO2Et) staining of this area is uch less intense. Hilar neurons injured by seizure ac- umulate Zn2+ in the cytosol and are stained brightly by oth dyes, but the punctate staining of the surrounding europil obtained with ZP1 lowers the contrast relative o the somata and dendrites, affording little resolution f the underlying neuronal structure (Figure 5G). In con- rast, injured neurons stained by ZP1(6-CO2Et) are clearly elineated, and individual processes can be visualized Figure 5C). A similar contrast is observed in the stain- ng patterns of the stratum lucidum (SL) and the stra- um pyrimidale (SP). ZP1 affords bright punctate stain- ng of the SL, presumably arising from giant (2–10 �m) inc-containing synaptic terminals of the mossy fibers Figures 5F and 5H). Much weaker punctate staining is bserved in ZP1(6-CO2Et)-stained SL (Figures 5B and D) in comparison to the injured neurons. Figure 6 hows a detailed image of post-seizure CA3 staining y ZP1(6-CO2Et) in which some punctate staining of esicular Zn2+ is seen. We interpret these results to ignify intracellular cleavage of the ethyl ester to give he membrane-impermeant species ZP1(6-CO2H), which oes not penetrate the vesicular membrane. The pres- nce of some punctate staining probably reflects slow ster hydrolysis relative to passive diffusion of the sen- or across vesicle membranes. In addition, axons cours- ng distal to the damage inflicted by the act of injection ere brightly and clearly labeled by ZP1(6-CO2Et) but uch less markedly by ZP1, presumably reflecting in- ury-induced mobilization of zinc from cytosolic metal- oproteins in degenerating axons. Seizure or mechani- ally injured neurons in the stratum pyrimidale are once gain much more clearly delineated by ZP1(6-CO2Et) han the parent ZP1 sensor. ignificance generally applicable synthetic route to Zinpyr-1 olecules containing an ester or acid functionality at Enhanced Fluorescence Imaging of Hippocampal Zinc 1663 Figure 5. Imaging of ZP1(6-CO2Et)- and ZP1- Stained Rat Hippocampus (A), (B), (C), and (D) show ZP1(6-CO2Et) stain- ing and (E), (F), (G), and (H) show ZP1 stain- ing. Images of normal (A, B, E, and F) and post seizure (C, D, G, and H) brains are shown. Very weak staining of hilar and CA1 neuropil is seen in (A), just able to be discriminated from the granule stratum (g). Neurons injured by the dye injection and sequella stain viv- idly (B). ZP1 treatment of normal rat (E and F) and post-seizure rat (G and H) affords bright punctate staining of the zinc-rich neuropil in the hilus (H), stratum radiatum (SR), and stra- tum lucidum (SL) and in the commissural/ associational neuropil (C/A), while the gran- ule neuron stratum (g) remains unstained. Scattered stained pyramidal neurons are seen in the hilus of (C) and (G) and stratum pyramidale (SP) of (D) and (H). Scale bars, 125 �m in (A), (C), (E), and (G); 50 �m in (B), (D), (F), and (H). the 5 or 6 position has been described. Physical char- acterization of these compounds indicates that the additional group modulates the photophysical prop- erties of these sensors and significantly decreases background fluorescence. Both isomers are suitable for Zn2+ sensing. Comparison of sensors containing a free acid or analogous ethyl ester indicates that an additional negative charge renders the sensor mem- brane impermeable. The presence of a hydrolyzable ester alters subcellular distribution of a sensor in vivo over a 12–24 hr time scale, although no significant differences in subcellular distribution were observed in tissue culture imaging experiments with 30 min in- cubation periods. This result suggests that the incu- bation conditions are significant in the subcellular distribution of sensors containing alkyl esters. In sum- mary, we have reported bright fluorescent Zn2+ sen- sors with low-energy visible excitation wavelengths and hybrid subcellular distribution properties. The sensors are mainly trapped in the cytosol, a property not previously available for the Zinpyr family of fluo- rescein-derivatized zinc ion sensors. Experimental Procedures Reagents were purchased from Aldrich and used without further purification. 1H and 13C NMR spectra were acquired on a Varian 300 or 500 MHz or a Bruker 400 MHz spectrometer. Personnel at the DCIF at MIT acquired HRMS spectra on an FTMS electrospray instrument. Acetonitrile and dichloromethane were obtained from a dry-still solvent dispensation system. Fluorescence spectra were Chemistry & Biology 1664 w 5 w f m 2 4 b a m r s u ( 6 1 c 3 P 2Figure 6. Detail of ZP1(6-CO2Et) Imaging of the CA3 Region after wPilocarpine-Induced Seizure hThe stratum radiatum (SR), stratum lucidum (SL), and stratum pyra- fmidale (SP) are labeled. Scale bar, 50 �m. Note stained pyramidal tneurons, unstained stratum lucidum. 1 2 (measured on a Hitachi F-3010 fluorimeter and UV-visible spectra 1on a Cary 1E UV-visible spectrophotometer. Both were analyzed by mKaleidagraph 3.0 for Windows. HeLa cells were grown at 37°C under a 5% CO2 atmosphere in 3Dulbecco’s modified Eagle’s medium (DMEM; Gibco/BRL) supple- Tmented with 10% fetal bovine serum, 1× penicillin/streptomycin Hand 2 mM L-glutamine. Cells were plated 24 hr before study into o6-well plates containing 2 ml of DMEM per well. Cells were approxi- mmately 50% confluent at the time of study. A 10 �l aliquot of dye r(1 mM in DMSO) or control (DMSO) was added to each 2 ml well, tand the cells were incubated for 30 min at 37°C, at which point the (medium was removed and the cells were washed twice with Hanks’ 1buffered salt solution (HBSS) and suspended in 2 ml of DMEM. A 10 1�l aliquot of a solution containing 1 mM ZnCl2 and 9 mM sodium- 1pyrithione in 9:1 DMSO:H2O was added to selected wells, and the 1cells were incubated for 10 min at 37°C. The cells were washed again with HBSS, resuspended in HBSS, and imaged by using a 3Nikon Eclipse TS100 microscope illuminated with a Chiu Mercury E100 W lamp, equipped with an RT Diagnostics camera and oper- 3ated with Spot Advanced software. Magnification was 20×. Fluo- (rescence images were recorded with a FITC-HYQ filter cube (exci- atation 460–500, bandpass 510–560 nm). aMale Sprague-Dawley rats weighing 250–500 g were deeply an- westhetized with isoflurane, and a small burr hole was opened over cthe hippocampus (L3.0, P3.0) through which the dura was punc- stured. Stock solutions of ZP1 or ZP1(6-CO2Et) (5 or 10 mM in tDMSO) were microinfused directly into the brains of the rats with feither a Hamilton microliter syringe or a glass pipette (tip w50–100 f�m) connected to a syringe pump. Volumes of 2–4 �l were deliv- wered at 0.5 �l/min by micro syringe (27 gauge needle) or by a Har- (vard Apparatus syringe pump, using a glass micropipette with the (tip broken to 100 �m diameter. All infusions were stereotaxically 1aimed at the dorsal hippocampus L3, P3, 4.0 sub dura. After infu- 1sion, wounds were closed and the rats were allowed to survive for C12–24 hr. Half of the rats were given pilocarpine after dye infusion (300 mg/kg; ip) and monitored for the occurrence of seizures and status epilepticus. In all, tissue from 12 rats was examined in the 3 Emicroscope (3 rats from each of ZP1 control and pilocarpine; ZP1(6-CO2Et), control and pilocarpine). For brain removal, rats 3 mwere rendered unconscious by inhalation of carbon dioxide or isoflurane, then decapitated, and the brains were removed quickly i rand frozen on a liquid CO2 evaporation freezing stage. After cryo- toming at 20 or 30 �m, the sections were allowed to dry briefly on m mclean glass slides, then viewed and imaged on a Zeiss Universal microscope, either with or without clearing in 100% glycerin and s ith or without a coverslip. Epi-illumination was provided by a 00 W halogen bulb with band-pass filtering at 480 nm and images ere acquired through a 530 nm bandpass and 500 nm dichroic ilter using a SPOT II cooled CCD camera. Zeiss 25× (glycerin im- ersion) and an Olympus 10× planapo objectives were used. �,7�-Dichloro-5(6)-Carboxyfluorescein (1a, 1b) -Chlororesorcinol (28.8 g, 200 mmol) and 1, 2, 4-benzenetricar- oxylic acid (21.0 g, 100 mmol) were combined in 100 ml of meth- nesulfonic acid and stirred in a 90°C oil bath for 18 hr. The reaction ixture was then poured into 1500 ml of stirred ice water, and the esulting suspension was filtered and washed with H2O. The filtered olid was resuspended in 1 liter of H2O, filtered again, and dried nder vacuum at 90°C overnight to give 40.0 g of an orange solid 90% yield). 1H NMR (methanol-d4): δ 6.82 (s, 2 H), δ 6.85 (s, 2 H), δ .95 (s, 2 H), 6.99 (s, 2 H), δ 7.40 (d, 1 H), δ 7.85 (s, 1 H), δ 8.22 (d, H), δ 8.39 (d, 1 H), δ 8.45 (d, 1 H), δ 8.70 (s, 1 H). The product was arried forward without further purification or characterization. �,6�-Diacetyl-2�,7�-Dichloro-6-Carboxyfluorescein yridinium Salt (2a) #,7#-Dichlorofluorescein-5(6)-carboxylic acid (40.0 g, 90 mmol) as stirred in 150 ml of acetic anhydride and 9 ml of pyridine and eated to reflux for 30 min. The reaction was allowed to cool to RT or 4 hr and then filtered. The obtained solid was dried under vacuum o give 16.0 g (30%) of the desired product. 1H NMR (CDCl3): δ 1.13 (br s, 2 H); 8.70 (m, 2 H); 8.42 (d, 1 H); 8.14 (d, 1 H); 7.90 (m, H); 7.46 (m, 2 H); 7.17 (s, 2 H); 6.87 (s, 2 H); 2.36 (s, 6 H). 13C NMR CDCl3): δ 168.4, 168.3, 152.4, 150.1, 149.0, 147.5, 139.2, 139.1, 32.6, 129.3, 129.1, 126.1, 125.8, 125.2, 123.2, 117.5, 113.3, 21.1. .p. >300°C (dec). �,6�-Diacetyl-2�,7�-Dichloro-5-Carboxyfluorescein (2b) he mother liquor from 2a was added slowly to 300 ml of stirred 2O, stirred for an additional 10 min, and extracted with 3× 150 ml f ethyl acetate. The combined organics were washed with 1× 100 l of 3% HCl and 1× 100 ml brine, dried over MgSO4, and evapo- ated to give a light brown solid residue, which was recrystallized wice from CH2Cl2/EtOAc to give 13.5 g of the desired product 27% yield). 1H NMR (CDCl3): δ 8.84 (s, 1 H); 8.49 (d, 1 H); 7.35 (d, H); 7.19 (s, 2 H); 6.89 (s, 2 H); 2.38 (s, 6 H). 13C NMR (CDCl3): δ 69.7, 169.0, 167.4, 156.3, 149.6, 148.7, 137.3, 132.3, 128.9, 128.1, 26.3, 124.6, 123.0, 116.8, 113.0, 80.8, 66.3, 20.9. m.p. 178°C– 80°C. �,6�-Diacetyl-2�,7�-Dichlorofluorescein-6-Carboxylate thyl Ester (3a) #,6#-Diacetyl-2#,7#-dichloro-6-carboxyfluorescein pyridinium salt 2a, 1.05 g, 1.7 mmol) was dissolved in 30 ml of dichloromethane nd the solution was stirred at 0°C. Dimethylformamide (400 �l) nd oxalyl chloride (1.7 ml of a 2 M solution in dichloromethane) ere added and the reaction was stirred overnight at RT. Sodium arbonate (180 mg, 1 mmol) and ethanol (10 ml) were added, and tirring was continued for 4 hr. The solvents were removed by ro- ary evaporation and the resulting residue was taken up in CH2Cl2, iltered through a short plug (2 cm) of silica gel, and crystallized rom dichloromethane/ethyl acetate to give 631 mg (67%) of off- hite crystals. 1H NMR (CDCl3): δ 8.38 (d, 1 H); 8.13 (d, 1 H); 7.82 s, 1 H); 7.17 (s, 2 H); 6.83 (s, 2 H); 4.40 (q, 2 H); 2.38 (s, 6 H); 1.41 t, 3 H). 13C NMR (CDCl3): δ 167.92; 167.55; 164.61; 151.91; 149.69; 48.68; 137.55; 132.03; 129.00; 125.83; 125.21; 122.91; 117.00; 13.00; 80.87; 62.41; 20.94; 14.56. m.p. 212°C –214°C. HRMS(M+H): alcd for C27H19Cl2O9 557.0406; found 557.0393. �,6�-Diacetyl-2�,7�-Dichlorofluorescein-5-Carboxylate thyl Ester (3b) #,6#-Diacetyl-2#,7#-dichloro-5-carboxyfluorescein (2b, 527 mg, 1 mol) was dissolved in CH2Cl2 and stirred under nitrogen in a dry ce-acetone bath. DMF (200 �l) was added, followed by oxalyl chlo- ide (1 ml of a 2 M solution in CH2Cl2) slowly over a period of 20 in. The solution was stirred for 12 hr, at which time ethanol (10 l) and NaHCO3 (84 mg, 1 mmol) were added. The reaction was tirred for an additional 4 hr, then evaporated under reduced pres- Enhanced Fluorescence Imaging of Hippocampal Zinc 1665 sure, taken up in CH2Cl2, and filtered through a 2 cm plug of silica gel. Evaporation gave 390 mg of white crystalline residue (70% yield). 1H NMR (CDCl3): δ 8.75 (s, 1 H); 8.43 (d, 1 H); 7.32 (d, 1 H); 7.19 (s, 2 H); 6.85 (s, 2 H); 4.44 (q, 2 H); 2.33 (s, 6 H); 1.44 (t, 3 H). 13C NMR (CDCl3): δ 168.01, 167.82, 164.73, 155.40, 149.75, 148.80, 136.96, 133.68, 129.00, 127.38, 126.31, 124.45, 123.08, 117.08, 113.12, 80.84, 62.32, 21.05, 14.74. HRMS (M+H): Calcd for C27H19Cl2O9 557.0406, found 557.0401. ZP1(6-CO2H) (4a) Dipicolylamine (640 mg, 3.2 mmol) was combined with paraformal- dehyde (192 mg, 6.4 mmol) in 20 ml of acetonitrile and heated to reflux for 45 min. 3#,6#-Diacetyl-2#,7#-dichloro-6-carboxyfluores- cein pyridinium salt (2a, 304 mg, 0.5 mmol) was dissolved in 10 ml of MeCN and added, followed by 10 ml of H2O, and reflux was continued for 24 hr. The resulting suspension was cooled and fil- tered to yield 360 mg of a light pink powder, which was recrystal- lized from ethanol to give 282 mg (64% overall) after drying over- night at 60°C under vacuum. The filtrate was acidified with several drops of glacial acetic acid, allowed to stand overnight, and filtered to yield an additional 65 mg (98% crude yield). 1H NMR (DMSO-d6): δ 8.55 (d, 4 H); 8.22 (d, 1 H); 8.10 (d, 1 H); 7.77 (m, 5 H); 7.39 (d, 4 H); 7.28 (m, 4 H); 6.63 (s, 2 H); 4.16 (s, 4 H); 4.01 (s, 8 H).; 13C NMR (DMSO-d6): 167.60, 166.11, 157.41, 155.49, 151.7, 148.69, 148.16, 137.45, 131.27, 129.52, 126.78, 125.65, 124.85, 123.23, 122.64, 116.25, 111.97, 109.36, 82.82, 58.65, 48.86. m.p. 215°C–218°C. HRMS (M+H): Calcd for C47H37Cl2N6O7 867.2101; found 867.2080. Anal: Calcd for C47H36Cl2N6O7: C, 65.06; H, 4.18; N, 9.69; Cl, 8.17. Found: C, 64.74; H, 3.96; N, 9.61; Cl, 8.29. ZP1(5-CO2H) (4b) 3#,6#-Diacetyl-2#,7#-dichloro-6-carboxyfluorescein (264 mg, 0.5 mmol) was subjected to the reaction conditions described for 4a. The resulting red solution was acidified with several drops of glacial acetic acid, allowed to stand overnight at 4°C, and filtered to yield 361 mg (83% crude yield) of a dark pink crystalline solid, which gave 318 mg on recrystallization from ethanol (73% overall yield). 1H NMR (DMSO-d6): δ 8.53 (d, 4 H); 8.37 (s, 1 H); 8.30 (d, 1 H); 7.77 (td, 4 H); 7.45 (d, 1 H); 7.37 (d, 4 H); 7.28 (m, 4 H); 6.67 (s, 2 H); 4.16 (s, 4 H); 4.00 (s, 8 H); 13C NMR (DMSO-d6): 167.58, 166.16, 158.37, 155.77, 154.97, 149.17, 148.69, 137.20, 136.49, 133.25, 126.94, 126.15, 124.73, 123.23, 122.68, 116.47, 112.00, 109.25, 82.65, 58.49, 48.81. m.p. 195°C–195°C. HRMS (M+H): Calcd for C47H37Cl2N6O7: 867.2101; found 867.2108. Anal: Calcd for C47H36Cl2N6O7: C, 65.06; H, 4.18; N, 9.69; Cl, 8.17. Found: C, 64.83; H, 4.02; N, 9.85; Cl, 8.33. ZP1(6-CO2Et) (5a) 3#,6#-Diacetyl-2#,7#-dichlorofluorescein-6-carboxylate ethyl ester (264 mg, 0.47 mmol) was subjected to the same reaction conditions as described for 4a. The reaction solution was acidified with 5 drops of glacial acetic acid and cooled to –10°C for 30 hr. The resulting salmon-pink precipitate was filtered to give 233 mg (55%) after washing with water and acetonitrile. Recrystallization from ethanol gave 44% yield (185 mg). 1H NMR (DMSO-d6): δ 8.63 (d, 4 H); 8.35 (d, 1 H); 8.21 (d, 1 H); 7.90 (s, 1 H); 7.86 (t, 4 H); 7.47 (d, 4 H); 7.37 (m, 4 H); 6.71 (s, 2 H); 4.35 (q, 2 H); 4.25 (s, 4 H); 4.09 (s, 8 H); 1.32 (t, 3 H). m.p. 203°C–205°C. HRMS(M+H): Calcd for C49H41Cl2N6O7: 895.2414; found 895.2391. Anal: Calcd for C49H40Cl2N6O7: C, 65.70; H, 4.50; N, 9.38; Cl, 7.92. Found: C, 65.63; H, 4.37; N, 9.61; Cl, 8.07. ZP1(5-CO2Et) (5b) 3#,6#-Diacetyl-2#,7#-dichlorofluorescein-5-carboxylate ethyl ester (141 mg, 0.25 mmol) was subjected to the same reaction conditions as reported for 4a. The reaction solution was acidified with 5 drops of glacial acetic acid, concentrated on the rotary evaporator, and the resulting pink residue was taken up in MeCN and filtered to give 113 mg of a pink powder (50%) after washing with water and acetonitrile. Recrystallization of 100 mg from EtOH gave 80 mg of a salmon-pink solid. 1H NMR (DMSO-d6): δ 8.54 (d, 4 H); 8.41 (s, 1 H); 8.33 (dd, 1 H); 7.77 (td, 4 H); 7.49 (d, 1 H); 7.38 (d, 4 H); 7.29 (m, 4 H); 6.67 (s, 2 H); 4.39 (q, 2 H); 4.16 (s, 4 H); 4.00 (s, 8 H); 1.37 (t, 3 H). 13C NMR (DMSO-d6): δ 168.53, 165.66, 158.45, 156.84, 156.24, 149.80, 149.23, 138.30, 137.19, 133.24, 128.03, 127.10, 126.05, 124.31, 123.78, 118.16, 117.51, 113.08, 110.20, 83.81, 62.62, 59.57, 49.88, 15.29. m.p. 178°C–180°C. HRMS(M+H): Calcd for C49H41Cl2 N6O7: 895.2414; found 895.2406. Spectroscopic Measurements All glassware was washed sequentially with 20% HNO3, deionized water, and ethanol before use. Purified water (resistivity 18.2 Ohms) was obtained from a Millipore Milli-Q water purification system. Fluorophore stock solutions in DMSO were made up to concentra- tions of 1 mM and kept at 4°C in 100–500 �l aliquots. Portions were thawed and diluted to the required concentrations immediately prior to each experiment. Fluorescence and absorption data were measured in HEPES buffer (50 mM, pH 7.5, KCl 100 mM) except for the fluorescein standard in quantum yield measurements. Solutions were transferred to clean, dry propylene containers for storage and were filtered (0.25 �m) before data acquisition. Fluorescence spectra were measured from 475 nm to 650 nm. All measurements were performed in triplicate. Dissociation constants were deter- mined by using a dual-metal buffering system as previously de- scribed [29]. Extinction Coefficients A 2 ml portion of HEPES buffer was titrated with 2 �l aliquots of 1 mM fluorophore stock solution and the absorption measured at each concentration. The absorbance at the maximum was plotted as a function of concentration, and the slope was taken as the extinc- tion coefficient. The procedure was repeated using 1.9 ml portions of HEPES buffer containing 100 �l aliquots of 10 mM ZnCl2 so- lution. Quantum Yields Quantum yields were calculated by recording UV-vis spectra of the fluorophore under study and a 1 �M fluorescein standard in 0.1 N NaOH to determine the wavelength where the sample and fluores- cein absorption were equal. The fluorescence spectrum of each was then recorded, exciting at the wavelength determined by UV- vis spectral comparison. The integrated emission of the sample was normalized to the fluorescein standard and multiplied by the standard quantum yield of 0.95 [33]. Fluorescence-Dependent pKa Determination pKa titrations were performed in 100 mM KCl, 1 mM EDTA. A 1 mM stock solution of the fluorophore was diluted with 20 ml of this solution to a final concentration of 1 �M. The pH was brought to 11.0 with 45% w/v KOH, then gradually lowered to pH 2, and the fluorescence spectrum was recorded at each half-unit step in pH. The integrated emission area F was normalized, plotted as a func- tion of pH, and fit to the expression in equation 1. Where necessary, individual portions of the plot were fit as a function of a single pKa in order to determine suitable initial values. (F − F0) (Fmax − F0) = ( DF1max[1 + 10(pH−pKa1)])+( DF2max [1 + 10(pH−pKa2)]) + ( DF3max[1 + 10(pH−pKa3)]) (1) Dissociation Constant Determination Solutions containing 1 �M fluorophore, 2 mM CaCl2, 1 mM EDTA, and 0 or 1 mM ZnCl2 were prepared as previously described [29]. These solutions were combined to give 3 ml aliquots containing 0–0.9 mM ZnCl2, and were allowed to equilibrate at RT for 20 min. The fluores- cence spectrum of each aliquot was measured and the integrated emission was normalized and plotted as a function of effective free Zn2+. The plots were then fit to equation 2. (F − F0) (Fmax − F0) = k [Zn2+]eff Kd + [Zn2+]eff (2) Metal Ion Selectivity The fluorescence spectrum of a 2 ml aliquot of 1 �M fluorophore excited at 512 nm was acquired by itself, after addition of a 4 �l (CaCl2, MgCl2, 1.00 M) or 10 �l (NaCl 2.00 M, MnSO4, CoCl2, NiCl2, CuCl , CdCl 10 mM) aliquot of metal stock solution, and after addi- 2 2 Chemistry & Biology 1666 tion of a 10 �l aliquot of ZnCl2 (10 mM). The integrated emission of each spectrum was normalized to that of the metal-free control spectrum. 1 1Acknowledgments This work was supported by the NIGMS (GM65519 to S.J.L.) and by NINDS (NS38585, NS41682, and NS42882 to C.J.F.). Instrumen- 2tation in the Department of Chemistry Instrumentation Facility (DCIF) at MIT was funded in part through grants from the NSF (CHE-9808061, CHE9808063, and DBI-9729592). 2Received: July 2, 2004 Revised: September 26, 2004 Accepted: September 29, 2004 Published: December 17, 2004 2 References 1. Kimura, E., and Aoki, S. (2001). 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Membrane-Permeable and -Impermeable Sensors of the Zinpyr Family and Their Application to Imaging of Hippocampal Zinc In Vivo Introduction Results and Discussion Significance Experimental Procedures 2',7'-Dichloro-5(6)-Carboxyfluorescein (1a, 1b) 3',6'-Diacetyl-2',7'-Dichloro-6-Carboxyfluorescein Pyridinium Salt (2a) 3',6'-Diacetyl-2',7'-Dichloro-5-Carboxyfluorescein (2b) 3',6'-Diacetyl-2',7'-Dichlorofluorescein-6-Carboxylate Ethyl Ester (3a) 3',6'-Diacetyl-2',7'-Dichlorofluorescein-5-Carboxylate Ethyl Ester (3b) ZP1(6-CO2H) (4a) ZP1(5-CO2H) (4b) ZP1(6-CO2Et) (5a) ZP1(5-CO2Et) (5b) Spectroscopic Measurements Extinction Coefficients Quantum Yields Fluorescence-Dependent pKa Determination Dissociation Constant Determination Metal Ion Selectivity Acknowledgments References 
work_uxxtdvwgwferfhhdsccsgir2wu	----	Copyright © 2006, Paper 10-011; 6,419 words, 4 Figures, 0 Animations, 0 Tables. http://EarthInteractions.org Evidence for the Postconquest Demographic Collapse of the Americas in Historical CO2 Levels Franz X. Faust and Cristóbal Gnecco Department of Anthropology, Universidad del Cauca, Popayán, Colombia Hermann Mannstein* Institute for Atmospheric Physics, DLR, Oberpfaffenhofen, Germany Jörg Stamm ECOBAMBOO, Popayán, Colombia Received 17 December 2004; accepted 2 March 2005 ABSTRACT: This article promotes the hypothesis that the massive demo- graphic collapse of the native populations of the Americas triggered by the European colonization brought about the abandonment of large expanses of agricultural fields soon recovered by forests, which in due turn fixed atmo- spheric CO2 in significant quantities. This hypothesis is supported by measure- ments of atmospheric CO2 levels in ice cores from Law Dome, Antarctica. Changing the focus from paleoclimate to global population dynamics and using the same causal chain, the measured drop in historic atmospheric CO2 levels can also be looked upon as further, strong evidence for the postconquest de- mographic collapse of the Americas. KEYWORDS: Climate; Forest; Carbon * Corresponding author address: Hermann Mannstein, Institute for Atmospheric Physics, DLR, Oberpfaffenhofen, D-82234 Germany. E-mail address: Hermann.Mannstein@dlr.de Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 1 1. Introduction The influence of climate on human behavior has been a subject of discussion since Herodotus’s time. Yet, the question regarding how human behavior affects climate did not surge as a public interest until the second half of the twentieth century. One way to observe the anthropogenic influence on climate is to look at phases in which we can identify a dramatic change or impact on the life of a significant number of people on vast regions. One of these eras began with the so-called discovery of the Americas by Christopher Columbus in 1492. A variety of cultivator societies had developed in this area, which comprises about 30% of the world’s land cover and nearly 50% of the forested areas, like in many other parts of the world. Agriculture in the Americas began sporadically some 10 000 yr ago, and was initially restricted to several but simple techniques such as garden plots, and slash-and-burn. By 1000–500 B.C. agricultural produc- tion has reached in some areas remarkable size due to two main factors: (a) the selection of highly productive cultigens and (b) the development of improved techniques such as irrigation, terraces, and raised fields. The majority of the cultivators in the Americas settled in natural woodland habitats and cleared large areas for their fields, which were abandoned because of the demographic collapse brought about by the European conquest. The regrowing forest provided a promi- nent sink for atmospheric carbon dioxide that must have also contributed to the climatic changes associated with the Little Ice Age (LIA). A temperature decrease of ∼0.2°C per millenium is reported by Johnsen et al. (Johnsen et al. 2001) beginning at the Holocene maximum about 6–8 ky BP. It ends 100 yr ago at the beginning of the last century (Mann et al. 1998; Jones and Mann 2004; Moberg et al. 2005a; Moberg et al. 2005b; see Figure 4 and also Houghton et al. 2001). Superimposed on this slow cooling trend and well ex- pressed in the reconstruction of extratropical temperatures of the Northern Hemi- sphere is the so-called Medieval Warm Period (MWP) peaking around A.D. 1000– 1200 and later a cold period for approximately 200 yr. Details on this period can be found in Briffa et al. (Briffa et al. 1998) and Zorita el al. (Zorita et al. 2004). On a global view the cooling was moderate, but the North Atlantic region was strongly affected. This phenomenon is known as the Little Ice Age. At its peak, around 1650 in Europe, temperatures there were 1°C lower than at present, winters were harsher, summers were cooler, snow lines descended as much as 100 m below modern levels, and the Alpine and Scandinavian glaciers advanced. Floods and droughts hit different regions of the Earth at different times, especially the temperate zones (Fagan 2000). Famines, economic disruption, and plagues were common events during those centuries. This climatic event, which produced such devastating effects even in temperate areas, is still a puzzle. Absence of sunspot activity in the so-called Maunder Minimum indicating a reduced solar radiation has been claimed by Eddy (Eddy 1976) to be responsible, but this does not explain the regional distribution. Volcanic activity might be another explanation: volcanic eruptions send particulate matter and SO2 into the atmosphere, enhancing the aerosol load. This reduces the incoming solar radiation. Such events show up as relatively short cold periods, which add up in times of high volcanic activity. Prominent examples are the volcanic year of 1783, the explosion of Mount Tambora in 1815, which led to the year 1816 being called the “year without a sum- Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 2 mer,” and the eruption of the Kuwae on Vanuatu in 1457 ± 2, which left, according to Palmer et al. (Palmer et al. 2001), the strongest footprint in the Law Dome, Antactica, ice core data and is in coincidence with the coldest period in the Northern Hemispheric surface temperature reconstruction by Mann et al. (Mann et al. 1998; shown in Figure 4 together with the reconstruction by Moberg et al. 2005a and Moberg et al. 2005b). Zorita et al. (Zorita et al. 2004) are able to simulate the range of Northern Hemispherical temperature deviation found by Esper et al. (Esper et al. 2002) and Moberg et al. (Moberg et al. 2005a; Moberg et al. 2005b) from tree-ring data but do not reproduce the onset of the Little Ice Age at ∼A.D. 1550. They use the Hamburg coupled ocean–atmosphere model ECHO-G forced by solar output and volcanic ash impact identical to the data used by Crowley (Crowley 2000) and CO2 and methane data from Antarctic ice cores. Obviously, those more recent estimates of global or hemispherical temperatures (Zorita et al. 2004; Moberg et al. 2005a; Moberg et al. 2005b; Esper et al. 2002) show a higher variability in the last millennium, with the LIA up to 1° cooler and the MWP as warm as in the twentieth century, than the earlier ones (Crowley 2000; Mann et al. 1998; Jones and Mann 2004; Houghton et al. 2001). The Climate Change 2001 report by Houghton et al. (Houghton et al. 2001) favors a change in the patterns of atmospheric circulation (low North Atlantic Oscillation index), resulting in more easterly winds, as the main reason responsible for the onset of the Little Ice Age. This is supported by the analysis of the Late Maunder Minimum (A.D. 1675–1710) of Zorita et al. (Zorita et al. 2004). They find a stronger continentality in Europe with low winter temperatures in the central and eastern parts. The reduction of atmospheric CO2 resulting from forest reclamation of abandoned agricultural fields in the Americas after the conquest, which we discuss in this article, is yet another causal factor to be accounted for. The proposed causal chain leads from the demographic collapse of the indigenous population of the Americas over forest sequestration to a reduc- tion of atmospheric CO2. Its impact on radiative forcing and global temperature supports indirectly the “early human impact on climate” hypothesis promoted by Ruddiman (Ruddiman 2003): the agricultural fields had to be cleared from forest in the long time of expansion, releasing a good part of the carbon content into the atmosphere. 2. The postconquest demographic collapse The most convincing proof of the isolation of Amerindian populations from those of Europe and Africa is the demographic collapse that followed the intro- duction of new diseases after 1492. The collapse, prompted by illnesses, expanded from the Caribbean islands to the most remote regions of the continent. The epidemics were faster than the conquerors, aiding them in the penetration of the continent. The toll taken by the exposition to diseases then unknown to native populations was devastating: smallpox alone is reported by Dobyns (Dobyns 1963) and Brothwell (Brothwell 1993) to have caused the death of millions of people even before they actually encountered the invading armies. Diseases were not the only killers. Enslavement and relocation of native populations by force, mostly to work in mines, significantly contributed to what surely is the largest demographic tragedy in history. Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 3 The breakdown of the indigenous population in the Americas in the sixteenth century is well documented, although the precise numbers are still in contention. The numbers given by Denevan (Denevan 1992a; Denevan 1992b), Newson (Newson 1993), and others range from 54 to 110 million individuals in 1492; five decades later only 3%–5% remained. Although regional variations were marked, with regions where the collapse was total and others where it was moderate, the overall picture is devastating: in the Caribbean the population disappeared within one generation; in coastal central Mexico the decline was by a factor of 26; in Peru populations fell from 9 million people to 600 000 within 80 yr. Three well- documented examples from southwest Colombia can help to illustrate the magni- tude of the disaster. Friede (Friede 1982) reports that the 1539 census of the Quimbaya from the middle Cauca valley listed 15 000 tax payers; 65 yr later they had declined to 140, a mere 0.93%. The indigenous population of the Almaguer province in the Colombian Massif numbered some 40 000 people in 1552; 36 yr later the native population had almost vanished (Romoli 1962). Finally, we find in Calero (Calero 1997) that the Abads from Nariño, located near the current border with Ecuador, lost two-thirds of the population during the 12-yr period from 1558 to 1570. Quite new and not taken into account in previous estimates of pre- Columbian population is the archeological evidence for the agricultural use of the Amazon region (Heckenberger et al. 2003). Heckenberger et al. describe settle- ments in the Upper Xingu region with a population density of 6–12.5 per square kilometer. This population density is much higher than the density of the fishing and hunting communities that survived. The findings of anthrosols like “Terra Preta de Indio” or “Terra Mulata” (dark fertilized soils that indicate pre-Columbian human activity) in many parts of the Amazon region support the hypothesis that this area was inhabited at the time of the arrival of Columbus and was abandoned in the following decades. Given that most Amerindian groups, from the Mississippi River in the north to the La Plata River in the south (Figure 1), were cultivators, the collapse brought about the abandonment of huge areas of agricultural fields. In regions supporting forested biota these fields were subsequently recolonized by forests. Because of the high net primary production in Central and South America (Figure 2) a fast regrowth of forests was possible. 3. Agricultural fields in the Americas Paleobotanical data can be used to gauge the diachronic interaction between anthropogenic landscapes and forest formations. In Cardale et al. (Cardale et al. 1989), Monsalve (Monsalve 1985), and Bray (Bray 1995) we find reports on pollen data from Andean Colombia that indicate widespread forest clearing some 2000 yr BP. Although productive cultigens were known in the area long before, it is not until about two millennia ago that an anthropogenic landscape dominated by agricultural fields was created. The extant records indicate abandonment of those fields before European arrival and a rapid forest recovery starting in the fifteenth century, no doubt due to the collapse and/or relocation of the attendant population. The Calima region, in southwestern Colombia, is a good example in this regard. The area bears evidence of agricultural fields and their abandonment in pre- Hispanic times: a strong expansion occurred during the so-called Yotoco period, Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 4 Figure 1. Area extension of agriculturalists in the Americas based on Denevan (Denevan 1992a) (bright colors), overlaid on parts of the “Global Forest Cover Map” produced by the Food and Agricultural Organization (FAO) and the U.S. Geological Survey (USGS 2003). Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 5 some 2000 yr ago, especially in damp areas previously unexploited (Cardale et al. 1989). The pollen column from this area reported by Monsalve (Monsalve 1985) indicates a “massive episode of forest clearing” (Bray 1995) necessitated by the construction of those fields. All through the rest of the pre-Hispanic occupation of the area this agricultural system was maintained; with the population loss brought about by the Spanish conquest “much of the landscape was reclaimed by forest.” We already mentioned the archaeological evidence for intensive agricultural usage in pre-Columbian times in the Amazonian rain forest by Heckenberger et al. (Heckenberger et al. 2003) and the findings of Terra Preta de Indio, and more knowledge about the extent of the pre-Columbian population in the forested re- gions will be unearthed in future. For the time being we have to keep in mind that archeological findings are strongly biased to open land and durable artifacts. Denevan (Denevan 1992a; Denevan 1992b), and more recently Mann (Mann 2005) in a popular book, describe extensively the pre-Columbian landscape of the Americas. 4. Forest recovery: Botanical data The recovery of forest formations must have followed in many parts of tropical America after agricultural fields were abandoned because of the European-caused demographic collapse. Massive forest recovery or regrowth has occurred many times following periods of decreased moisture and temperature (the glacial peri- ods). During the interglacials wetter conditions and milder temperatures boost the expansion of forests from their former glacial refugia. Forest regrowth also occurs in open spaces cleared intentionally by humans when those spaces, otherwise maintained, are abandoned. Pioneer weeds and low bushes take over, soon to be followed by trees. When cultivated land is abandoned a replacement occurs (more Figure 2. Global distribution of mean terrestrial net primary production in tons of carbon per hectare per year in the years 1981–2000 as derived from satellite data. Data are from Prince and Small (Prince and Small 2003). Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 6 rapidly in the Tropics than in temperate zones): plants no higher than 2 m are replaced by trees as high as 30–60 m; plants living short spans, sometimes just months, are replaced by long-living communities, sometimes in the hundreds of years. Centuries may elapse before a forest reaches an equilibrium between growth and decay; during such phases of expansion the carbon fixed in the increasing vegetal biomass is extracted from the atmosphere. An average hectare of mature forest biomass in the Amazon basin may weigh some 400 tons, and 50% of that biomass is carbon (Montagnini and Jordan 2002); thus, the amount of atmospheric CO2 needed to produce forest biomass during the reclamation phase of the aban- doned fields must have been enormous. Although several plant species are known to have rapid recovery rates, by far the fastest growing is the new world bamboo, Guadua (formerly known as Bambusa Guadua but currently identified as Guadua angustifolia Kunth), distributed throughout the Amazon basin, the Andean region, and the Atlantic and Pacific watersheds, from Paraguay to Panama. It grows from sea level up to 2200 m, with yearly precipitation ranging from 1400 to over 3000 mm, and grows both on damp and well-drained soils. Giant woody bamboo in subtropical and tropical forests are known for their extraordinary rapid stem growth pattern, which allows them to reach open spaces in the tree canopy at 20- or even 30-m height within 120 days (Riaño et al. 2002). Guadua has an astonishing soil tolerance, from relatively acid (pH 4.2) to even poor soil conditions. Guadua grows almost everywhere and is a traditional threat to agriculture as it rapidly takes over unattended fields and open land. According to El Bassam (El Bassam et al. 2002) Guadua is also one of the world’s fastest biomass-producing genera. Recent research on biomass fixation by Riaño et al. (Riaño et al. 2002) on new established plantations of Guadua docu- ments up to 10.8 tons of carbon fixed per year and hectare, reaching 54.3 tons in 6 yr. This productivity triples every other known species but willow. In addition Guadua is closely related to human settlements, as it was and is used as raw material for housing, fencing, and many other purposes. Thus we should consider Guadua as a “cultivated plant” that could explain an extremely fast carbon uptake as soon as agricultural fields are abandoned. The favorable conditions in Central and South America can be seen in Figure 2. Here the global net primary production (NPP) of carbon in the recent decades (1981–2000) is displayed (Prince and Small 2003). Details of this distribution might have been different 500 yr ago, but the relative importance of the Americas is clearly visible. In a state of equilibrium the NPP is nearly balanced by the release of CO2 because of decay of plant material, but in case of forest regrowth a substantial part of the NPP is fixed as biomass for longer times. 5. Ice core CO2 data Measurements of the atmospheric CO2 content from air bubbles enclosed in the ice at Law Dome, Antarctica, published by Etheridge et al. (Etheridge et al. 1996), show a decrease by 8 ppmv (from 282 to 274 ppmv) between the years 1570 and 1604 (Figure 3). The measurement precision of the ice core CO2 mixing ratios is reported to be 0.2 ppmv. The dating of the ice in the Law Dome core has an accuracy of ±10 yr confirmed by the signals of major volcanic eruptions (Palmer et al. 2001). For the dating of the CO2 content a pore closure of the firn at an age Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 7 of 68 yr is considered. Because of the diffusion before pore closure, the air enclosed in the ice refers to a time range of ∼20 yr (Trudinger 2001). Thus, the time series of atmospheric constituents trapped in the ice is already inherently smoothed. Because of the low uncertainty of the single measurements, we use the original, unsmoothed data published in the World Data Center for Paleoclimatol- ogy Contribution Series by Etheridge et al. (Etheridge et al. 2001). We refer here to the Law Dome Summit South (DSS) core, as it covers the period under con- sideration with the highest effective temporal resolution available. Other ice core data reported by Prentice et al. (Prentice et al. 2001) in Climate Change 2001 or Gerber et al. (Gerber et al. 2003) confirm the absolute values but cannot resolve this fast decrease of atmospheric CO2 as their temporal resolution is not sufficient because of the much lower snow accumulation rates at these sites. Siegenthaler et al. (Siegenthaler et al. 2005) compare the Law Dome measurements to measure- ments from Dronning Maud Land (DML) and the South Pole and find a general good agreement: “The atmospheric CO2 evolution recorded in the DML record confirms, within the uncertainties of the measurements and the air age resolution, the findings from the Law Dome record.” Because of the smoothing effect of the low accumulation rate at DML (59 ± 5 yr width at half height) and the South Pole (95 ± 5 yr), the minimum CO2 concentration is shifted close to the year 1700 and is only 5 ppmv lower than the maximum found 500 yr earlier. But even with the inherently smoothed data, they consider the minimum between 1600 and 1750 as “a robust feature which cannot be explained by diffusion of CO2 from mi- crobubbles or by production of CO2 by chemical reactions.” Even if we consider the extreme single value of 274.3 ± 0.2 ppmv CO2 in the year 1604 ± 10 to be an outlier of unknown origin, a drop of 6 ppmv within 100 yr from 1547 to 1647 remains. On the other hand, we cannot rule out that the real drop of atmospheric CO2 was even stronger and faster than the 8 ppmv within 30 yr we are discussing here, as the Law Dome data are also inherently smoothed and refer to a time window of ∼20 yr. Until further high-resolution measurements of atmospheric CO2 content in the last centuries become available, we will try to explain a drop of 8 ± 2 ppmv within 20–100 yr. Figure 3. Atmospheric CO2 measurements from the Law Dome ice core DSS (plot- ted with data from Etheridge et al. 2001). The horizontal lines indicate the drop by 8 ppmv, which we try to explain by the reforestation after the demographic collapse in the Americas. Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 8 Prentice et al. (Prentice et al. 2001) states that “A slight contemporaneous increase of the �13C content leads to the suggestion that this effect was caused by enhanced carbon storage on land,” resulting from the investigations by Francey et al. (Francey et al. 1999) and Trudinger et al. (Trudinger et al. 1999). In Figure 6.7 of Trudinger (Trudinger 2001) we find an interpretation of the Law Dome ice core CO2 and � 13C data applying a deconvolution technique to a carbon cycle model. The input data are smoothed to a centennial scale. The biospherical carbon uptake shows a peak of ∼0.3 GtC yr−1 in the second half of the sixteenth century. The concomitant oceanic uptake is less than 0.1 GtC yr−1. In her interpretation this enhanced carbon storage on land is due to the lower temperatures during the Little Ice Age found in earlier reconstructions of the Northern Hemispherical tempera- ture by Bradly and Jones, but she also indicates that the temperature reconstruction by Mann et al. (Mann et al. 1998) shows different variations. Considering a global total of 2.1 GtC per ppmv of the atmospheric loss, the full range of the CO2 dip in the Law Dome data equals a flux of 17 GtC within 30 yr or 0.5 GtC yr−1. To estimate a possible ocean release of CO2 we used the param- eterized impulse response function given in Sausen and Schumann (Sausen and Schumann 2000). This function describes the reaction of atmospheric CO2 content on release or uptake based on the results of the carbon cycle model of Meier- Reimer and Hasselmann (Maier-Reimer and Hasselmann 1987). Biospherical up- take of 20 GtC within 30 yr or 0.67 GtC yr−1 is necessary to explain the 8-ppmv dip, as 3 GtC are released from the ocean reservoir. On the other hand, a strong ocean surface water cooling could result in a net CO2 uptake. As the lowest temperatures of LIA are found later than the CO2 dip in the reconstructions by Esper et al. (Esper et al. 2002) or Mann et al. (Mann et al. 1998), and the sharp minimum in the reconstruction of Moberg et al. (Moberg et al. 2005a; Moberg et al. 2005b) in the years 1579/80 is followed by warmer years in the next decades (see Figure 4), a dominant role of ocean uptake is unlikely. Taking into account the above-mentioned fast-growing Guadua, which is able to produce a biomass of 10 tons ha−1 yr−1, 5 × 107 ha or 1⁄2 million km2 of Figure 4. Two reconstructed Northern Hemispheric yearly temperature deviation time series: Moberg et al. (Moberg et al. 2005a): full line, reference period 1961–90; and Mann et al. (Mann et al. 1998): dotted line, reference period 1902–80, from A.D. 1400 to 1980. Both time series are not smoothed. Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 9 abandoned land is necessary to explain this carbon sink if all other carbon fluxes remain stable. On longer time scales we have to compare the carbon density of forests against croplands. Using the numbers given in Climate Change 2001, which report that the carbon density of plants is 120–190 tons ha−1 and that of soil is 120 tons ha−1 in tropical forest. For forest and for cropland it is only 2–3 tons ha−1 (plants) and 80–120 tons ha−1 (soil), we consider a difference of 160 tons ha−1. With these numbers a total of 1 × 106 km2 of tropical forest regrowth would be sufficient to explain the total atmospheric carbon loss of the late sixteenth century. This amount of forest regrowth should be compared to a total of 7 × 106 km2 of tropical forest in the Americas of today. For temperate forests the carbon density reported in Climate Change 2001 is between 57 and 134 tons ha−1, about half of the density in tropical forests. This would double the area of forest regrowth needed to explain the atmospheric CO2 loss. Relating these areas (0.5–2 × 10 6 km2) to the loss of population in the Americas results in a usage of deforested land in the order of 0.5–4 ha per person. Williams (Williams 2000) reports for the more extensive land use in European neolithic settlements a population density of 5 per square kilometer and about 2 ha of cleared forest per person. The loss of atmospheric CO2 of 8 ppmv leads to a reduction of radiative forcing by 0.17 W m−2 at a background level of 280 ppmv. Using a climate sensitivity between 0.4 and 1.2 K (W m−2)−1, which covers the range of recent climate models, and taking into consideration that these climate sensitivities refer to equi- librium conditions, we can expect a global temperature change of –0.1 to –0.2 K, explaining a small part of the cooling found at the LIA. This is in full agreement with the reconstructed Northern Hemispheric temperature data (see Figure 4) and simulations (Zorita et al. 2004; Crowley 2000). 6. Discussion The abandonment of large expanses of agricultural fields in the Americas, due to the massive demographic collapse brought about by the European colonization and the subsequent reclaiming of those areas by forest expansion, leaves its foot- prints in the atmospheric CO2 level of the seventeenth century. A necessary pre- requisite for this hypothesis is the assumption that already the forest growth after the last ice age has been strongly affected by human activities. In a recent article Ruddiman (Ruddiman 2003) compares the methane and CO2 trends of the previ- ous interglacials to the Holocene and claims to see a strong impact of manmade deforestation on atmospheric CO2 levels since 8000 yr ago. He scales the Bern Carbon Cycle Model (Indermühle et al. 1999), which considers oceanic uptake and the reaction of the whole biosphere to changes in atmospheric CO2 content, to the fluctuations in a time scale of several decades resulting in 2.7 GtC to be fixed for a reduction of 1 ppmv in the atmospheric CO2 level. This value is only 30% higher then the direct conversion of CO2 loss into fixed carbon we use in our argumen- tation. In his argumentation he attributes the CO2 reductions in the fourteenth and the late sixteenth centuries mainly to the bubonic plague that hit Europe at those times. The postconquest demographic collapse of the Americas and its impact onto this huge forested landmass accounts only for 20%–30% of the drop of CO2 levels by 10 ppmv that he is considering. In our view Ruddiman (Ruddiman 2003) underestimates the role of the Americas both in his estimate of anthropogenic Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 10 deforestation and, resulting from this, in the impact of the plague-driven refores- tation in the sixteenth century. We see two major reasons for this: the restriction of “easily accessible areas for cutting” to elevations less than 1000 m in altitude excludes the main agricultural regions in Central and South America, and the “degree of deforestation” of the Americas was classified as “limited,” neglecting the wide distribution of cultivating cultures (Figure 1) in forested areas. Mean- while this view has changed; in a new article Ruddiman (Ruddiman 2005) states that “The American pandemic coincides with the largest CO2 drop of all.” Joos et al. (Joos et al. 1999) derive a total terrestrial carbon storage of 37 GtC from spline-fitted CO2 levels in the much longer time period between 1600 and 1750. In their model 29 GtC were released from ocean, while only 8 GtC were extracted from the atmosphere. Because of the smoothing of the CO2 input data, the reduction in this time period was only by 4 ppmv. Our rough first guess of 17 GtC refers to the full range of the reduction of atmospheric CO2 level by 8 ppmv as measured in the Law Dome core and does not include the feedback mechanisms like ocean uptake and release. It refers to a shorter time span, where feedback mechanisms with a slow reaction are negligible. In this longer time range also the European and Asian changes in population and resulting forest cover (Ruddiman 2003) have to be considered. Nearly no impact of land-use changes on the Northern Hemispheric tempera- tures over the last millennium is found by Gerber et al. (Gerber et al. 2003). In the Bern Carbon Cycle Model used for this study, land use is parameterized directly proportional to the global population growth taken from the United Nations (United Nations 1999) data. In this dataset a steady growth of the world’s popu- lation is assumed and resolved in intervals of 250 yr. The cumulative carbon emission between 1075 and 1850 is estimated to be 36 GtC, but dramatic changes in land use due to the population collapse of the Americas in the beginning of the sixteenth century cannot be resolved by these assumptions. The steady release of 0.05 GtC yr−1 is very small compared to the carbon fluxes imposed by other perturbations handled in this study. In addition to the impact on the CO2 level and the resulting radiative forcing, changes in regional climate are also probable: enhanced precipitation in the An- dean highlands and the advance of the tropical glaciers, which is linked to in- creased moisture (Kaser 1999), might be caused by enhanced evapotranspiration and water storage in the reforested areas. This will definitely have an impact on cloud coverage counteracting the reduction of surface albedo by forest growth. Together with the reduced radiative forcing due to lowered atmospheric CO2 levels, the demographic collapse of the native population of the Americas can be offered as an additional factor that forced the North Atlantic region into the climate pattern known as the Little Ice Age. Our contention is that the expansion of vegetal biomass extracted enough CO2 from the atmosphere to create a reduced green- house effect, which in due turn caused, together with the variations of solar irradiance and volcanic aerosols, a temperature reduction compatible to the North- ern Hemispherical cooling in this period, while the changed boundary conditions (i.e., lower surface albedo, higher precipitation, evapotranspiration, and cloud coverage in the Americas) might have changed the patterns of circulation in the North Atlantic region. To shed more light on this, we propose deeper investiga- tions using fully coupled dynamical biosphere–ocean–atmosphere models. Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 11 We are not arguing that forest expansion in abandoned agricultural fields in tropical America alone caused the Little Ice Age. Other causes have also played a role. Yet, we want to leave the founded assumption of a connection between a historic event, the conquest of the Americas; the demographic disaster of native Americans brought about by conquest-related diseases; the growth of forests due to reclamation of abandoned agricultural fields; lowering atmospheric CO2; and the average cooling of the climate by 0.1°–0.2°C. This relationship between a historic event and the climate suggests that human behavior had a significant effect on climate centuries before the known consequences of industrialization on weather patterns. Acknowledgments. We wish to thank W. F. Ruddiman and the other reviewers for their constructive and helpful comments. Special thanks go to C. Vogt for preparing Figure 1. References Bray, W., 1995: Searching for environmental stress: Climatic and anthropogenic influences on the landscape of Colombia. Archaeology in the Lowland American Tropics, Peter Stahl, Ed., Cambridge University Press, 96–112. Briffa, K. R., P. D. Jones, F. H. Schweingruber, and T. J. Osborn, 1998: Influence of volcanic eruptions on Northern Hemisphere summer temperature over the past 600 years. Nature, 393, 450–455. Brothwell, D., 1993: On biological exchanges between the two worlds. The Meeting of Two Worlds, W. Bray, Ed., British Academy, 233–246. Calero, L. F., 1997: Chiefdoms Under Siege: Spain’s Rule and Native Adaptation in the Southern Colombian Andes, 1535–1700. University of New Mexico Press, 233 pp. Cardale, M., W. Bray, and L. Herrera, 1989: Reconstruyendo el pasado en Calima. Resultados recientes. Bol. Mus. Oro, 24, 2–33. Crowley, T. J., 2000: Causes of climate change over the past 1000 years. Science, 289, 270–277. Denevan, W. M., Ed., 1992a: The Native Populations of the Americas in 1492. 2d ed. University of Wisconsin Press, 353 pp. ——, 1992b: The pristine Myth: The Landscape of the Americas in 1492. Ann. Assoc. Amer. Geogr., 82, 369–385. Dobyns, H. F., 1963: An outline of Andean epidemic history. Bull. Hist. Med., 37, 493–515. Eddy, J. A., 1976: The Maunder Minimum. Science, 192, 1189–1203. El Bassam, N., D. Meier, Ch. Gerdes, and A. M. Korte, 2002: Potential of producing biofuels from bamboo. Bamboo for Sustainable Development: Proceedings of the Vth International Bam- boo Congress and the VIth International Bamboo Workshop, A. Kumar et al., Eds., VSP and INBAR, 797–806. Esper, J., E. R. Cook, and F. H. Schweingruber, 2002: Low-frequency signals in long tree-ring chronologies for reconstructing past temperature variability. Science, 295, 2250–2253. Etheridge, D. M., L. P. Steele, R. L. Langenfelds, R. J. Francey, J. M. Barnola, and V. I. Morgan, 1996: Natural and anthropogenic changes in atmospheric CO2 over the last 1000 years from air in Antarctic ice and firn. J. Geophys. Res., 101, 4115–4128. ——, and Coauthors, 2001: Law Dome atmospheric CO2 data. IGBP PAGES/World Data Center for Paleoclimatology Data Contribution Series No. 2001-083, NOAA/NGDC Paleoclimatol- ogy Program, Boulder, CO. [Available online at ftp://ftp.ncdc.noaa.gov/pub/data/paleo/ icecore/antarctica/law/law_co2.txt.] Fagan, B., 2000: The Little Ice Age: How Climate Made History, 1300–1850. Basic Books, 246 pp. Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 12 Francey, R. J., and Coauthors, 1999: A 1000-year high precision record of delta 13C in atmospheric CO2. Tellus, 51, 170–193. Friede, J., 1982: Los Quimbayas Bajo de la Dominacion Espagnola. Carlos Valencia Editores, 295 pp. Gerber, S., F. Joos, P. Brügger, T. F. Stocker, M. E. Mann, S. Sitch, and M. Scholze, 2003: Constraining temperature variations over the last millenium by comparing simulated and observed atmospheric CO2. Climate Dyn., 20, doi:10.1007/s00382-002-0270-8. Heckenberger, M. J., A. Kuikuro, U. T. Kuikuro, J. C. Russell, M. Schmidt, C. Fausto, and B. Franchetto, 2003: Amazonia: 1492 pristine forest or cultural parkland? Science, 301, 1710– 1714. Houghton, J. T., Y. Ding, D. J. Griggs, M. Noguer, P. J. van der Linden, X. Dai, K. Maskell, and C. A. Johnson, Eds., 2001: Climate Change 2001: The Scientific Basis. Cambridge Univer- sity press, 881 pp. [Available online at http://www.grida.no/climate/ipcc_tar/.] Indermühle, A., and Coauthors, 1999: Holocene carbon-cycle dynamics based on CO2 trapped in ice at Taylor Dome, Antarctica. Nature, 398, 121–126. Johnsen, S. J., and Coauthors, 2001: Oxygen isotope and palaeo temperature records from six Greenland ice-core stations: Camp Century, Dye-3, GRIP, GISP2, Renland and North GRIP. J. Quat. Sci., 16, 299–307. Jones, P. D., and M. E. Mann, 2004: Climate over past millennia. Rev. Geophys., 42, RG2002, doi:10.1029/2003RG000143. Joos, F., R. Meyer, M. Bruno, and M. Leuenberger, 1999: The variability in the carbon sinks as reconstructed for the last 1000 years. Geophys. Res. Lett., 26, 1437–1440. Kaser, G., 1999: A review of modern fluctuations of tropical glaciers. Global Planet. Change, 22, 93–104. Maier-Reimer, E., and K. Hasselmann, 1987: Transport and storage of CO2 in the ocean—An inorganic ocean-circulation carbon cycle model. Climate Dyn., 2, 63–90. Mann, C., 2005: 1491: New Revelations of the Americas before Columbus. Knopf, 465 pp. Mann, M. E., R. S. Bradley, and M. K. Hughes, 1998: Global-scale temperature patterns and climate forcing over the past six centuries. Nature, 392, 779–787. Moberg, A., and Coauthors, 2005a: 2,000-year Northern Hemisphere temperature reconstruction. IGBP PAGES/World Data Center for Paleoclimatology Data Contribution Series No. 2005- 019, NOAA/NGDC Paleoclimatology Program, Boulder, CO. [Available online at ftp://ftp. ncdc.noaa.gov/pub/data/paleo/contributions_by_author/moberg2005/nhtemp-moberg2005. txt.] ——, D. M. Sonechkin, K. Holmgren, N. M. Datsenko, and W. Karlén, 2005b: Highly variable Northern Hemisphere temperatures reconstructed from low- and high-resolution proxy data. Nature, 433, 613–617. Monsalve, J., 1985: A pollen core from the hacienda Lusitania. Pro Calima, 4, 40–44. Montagnini, F., and C. F. Jordan, 2002: Reciclaje de nutrients. Ecologia y Conservación de Bosques Neotropicales, M. R. Guariguata and G. H. Kattan, Eds., Libro Universitario Re- gional, 167–191. Newson, L., 1993: The demographic collapse of native peoples of the Americas, 1492–1650. The Meeting of Two Worlds, W. Bray, Ed., British Academy, 247–288. Palmer, A. S., T. D. van Ommen, M. A. J. Curran, V. Morgan, J. M. Douney, and P. A. Mayewski, 2001: High precision dating of volcanic events (A.D. 1301–1995) using ice cores from Law Dome, Antarctica. J. Geophys. Res., 106 (D22), 28 089–28 095. Prentice, I. C., and Coauthors, 2001: The carbon cycle and atmospheric carbon dioxide. Climate Change 2001: The Scientific Basis, J. T. Houghton et al., Eds., Cambridge University Press, 183–237. [Available online at http://www.grida.no/climate/ipcc_tar/.] Prince, S., and J. Small, cited 2003. AVHRR Global Production Efficiency Model, 1981–2000. Global Land Cover Facility, University of Maryland, College Park, College Park, MD. [Available online at http://glcf.umiacs.umd.edu/data/glopem/.] Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 13 Riaño, N. M., X. Londoño, Y. López, and J. H. Gomez, 2002: Plant growth and biomass distri- bution on Guadua angustifolia Kunth in relation to aging in the Valle del Cauca-Colombia. Bamboo Sci. Cult., 16, 43–51. Romoli, K., 1962: El suroeste del Cauca y sus indios al tiempo de la conquista española, según documentos contemporáneos del distrito de Almaguer. Rev. Colomb. Antropología, 11, 241– 297. Ruddiman, W. F., 2003: The anthropogenic greenhouse era began thousands of years ago. Climate Change, 61, 261–293. ——, 2005: How did humans first alter climate? Sci. Amer., (March), 46–51. Sausen, R., and U. Schumann, 2000: Estimates of the climate response to aircraft CO2 and NOx emissions scenarios. Climate Change, 44, 27–58. Siegenthaler, U., and Coauthors, 2005: Supporting evidence from the EPICA Dronning Maud Land ice core for atmospheric CO2 changes during the past millennium. Tellus, 57B, 51–57. Trudinger, C. M., 2001: The carbon cycle over the last 1000 years inferred from inversion of ice core data. Ph.D. thesis, Monash University, 269 pp. [Available online at http://www.dar. csiro.au/publications/trudinger_2001a0.htm.] ——, I. G. Enting, R. J. Francey, D. M. Etheridge, and P. J. Rayner, 1999: Long-term variability in the global carbon cycle inferred from a high precision CO2 and � 13C ice core record. Tellus, 51, 233–248. United Nations, 1999: The world at six billion. United Nations Population Division, Working Paper 154, 63 pp. [Available online at http://www.un.org/esa/population/publications/sixbillion/ sixbillion.htm.] USGS, cited 2003: Global land cover characterization. [Available online at http://edcdaac.usgs. gov/glcc/fao/forest_cover_image.html.] Williams, M., 2000: Dark ages and dark areas: Global deforestation in the deep past. J. Hist. Geogr., 26, 28–46. Zorita, E., H. von Storch, F. Gonzalez-Rouco, U. Cubasch, J. Luterbacher, S. Legutke, I. Fischer- Bruns, and U. Schlese, 2004: Climate evolution in the last five centuries simulated by an atmosphere-ocean model: Global temperatures, the North Atlantic Oscillation and the Late Maunder Minimum. Meteor. Z., 13, 271–289. Earth Interactions is published jointly by the American Meteorological Society, the American Geophysical Union, and the Association of American Geographers. Permission to use figures, tables, and brief excerpts from this journal in scientific and educational works is hereby granted provided that the source is acknowl- edged. Any use of material in this journal that is determined to be “fair use” under Section 107 or that satisfies the conditions specified in Section 108 of the U.S. Copyright Law (17 USC, as revised by P.IL. 94-553) does not require the publishers’ permission. For permission for any other form of copying, contact one of the copublishing societies. Earth Interactions • Volume 10 (2006) • Paper No. 11 • Page 14 
work_v2is62y3zramvdvusvfmxg2m7m	----	THE CULT OF SYNTHESIS IN AMERICAN JEWISH CULTURE by: Jonathan D. Sarna, Brandeis University The 1955 Hebrew School graduation, at the Hebrew Educational Alliance of West Colfax (Denver, Colorado), featured a cantata chronicling three hundred years of American Jewish history. Prepared by the congregation's American-born Orthodox rabbi, Manual Laderman, it coincided with the celebration of the American Jewish tercentenary. Its words conveyed a message that generations of American Jews - Orthodox, Conservative and Reform- took as their central article of faith: We pass to them - to all our sons and daughters - a Judaism and an Americanism which reinforce each other. .. of all the avenues that lead toward a new and better time, none is so promising as the road we have travelled for the last three centuries - the American Jewish road of Faith and Freedom! This understanding of the American Jewish experience- the belief that Judaism and Americanism reinforce one another, the two traditions converging in a common path- encapsulates a central theme in American Jewish culture that may be termed "the cult of synthesis ... Dating back well over a century, it reflects an ongoing effort on the part of American Jews to interweave their "Judaism" with their "Americanism" in an attempt to fashion for themselves some unified "synthetic" whole. Anyone even remotely connected with American Jewish life is familiar with this theme, which has elsewhere been described as a central tenet of American Jewish "civil religion " 2 In what follows, I seek to outline the history and practice of this cult, showing the range of beliefs, tenets, myths, symbols, rituals, and forms that it embraced, and pointing toward its larger cultural significance 3 Two methodological observations must be made at the outset First, the use of the term "cult" points to the interpretive framework of religious studies. Cult, in the sense in which it is used here, means "a collective veneration or worship ... in which the collectivity is defined and united by its common devotional practice " 4 The "cult of synthesis" may thus be compared to the American "cult of true womanhood," or to German Jewry's cult of Bildunfl. None of these cults were the narrow preserve of one subgroup or partisan movement. Their importance, instead, lies in the fact that they represented broadly shared ideals, embraced even by those who disagreed about lesser matters. Second, the "cult of synthesis," while central to the belief system of American Jews, was by no means unique to them. Parallel phenomena may be found both among other American ethnic and religious groups, and among Jewish communities elsewhere in the diaspora (particularly Germany). 6 A full-scale comparison would be valuable but stands beyond the scope of this paper. Impressionistic evidence, however, suggests that the cult played a larger role in American Jewish culture than in any of these others. The reason may lie in the fact that for American Jews the cult of synthesis represented more than just a familiar exercise in group loyalty and patriotism. For some, at least, it also represented a bold attempt to redefine America itself. 2 ' Charles Liebman, in his discussion of the "major ideas, symbols, and institutions arousing the deepest loyalties and passions of American Jews," summed up the values underlying the "cult of synthesis" in two crisp sentences: There is nothing incompatible between being a good Jew and a good American, or between Jewish and American standards of behavior. In fact, for a Jew, the better an American one is, the better Jew one is. 7 The roots of this idea are easily traced all the way back to the Puritans, who, for their own reasons and within a definite supersessionist framework, linked their experiences with those of the Israelites of old, and over time helped to define America in terms drawn from the Hebrew Bible. The compatibility that they found between themselves and the Jews ("New England they are like the Jews! as like as like can be" 8 ) was largely typological in nature with the Jews representing the past, and their conversion the promise of the future. Still the nexus between America and Jew had been established 9 American Jews began to draw on these themes for their own purposes in the nineteenth century. Mordecai Noah, the most important American Jewish leader of the first half of the nineteenth century, argued on several occasions, in speeches directed to Christians, that the American Indians were originally Jews- descendants of the Lost Ten Tribes. Quoting published research, he linked the Indians to numerous aspects of Jewish ritual and custom and adduced many purported similarities between Indian languages and Hebrew. The Jews, he concluded, were both "the first people in the old world"-the ancestors of Christianity-and the "rightful inheritors of the new." This proved, to his mind, 3 both the veracity of scriptures and the special status accorded America in the heavenly schema. 10 Noah also linked the Puritans to the Jews. In a letter inviting Daniel Webster to a Jewish charity dinner, for example, he reminded the Massachusetts senator that "your Puritan ancestors lived, a hundred years ago, under the Mosaic laws and flourished under the same government to which David and Solomon added power, glory and splendor." 11 Taken together, and stripped of their many layers of hyperbolic excess, Noah's writings provide early examples of the political use of synthesis both to legitimate Jews' place in America and to demonstrate their patriotism and sense of belonging. Noah seized upon and Judaized America's founding myths, placing "Jews"- the "Lost Ten Tribe Indians," and the Hebraic Puritans- at their center. Later, Jews would also lay claim to Christopher Columbus, insisting that he too was a Jew. 12 Of all the many ethnic and religious groups that have demanded shares in America's founding myths, Jews are apparently unique in attempting to insert themselves into so many. This bespeaks their eagerness for acceptance, to be sure, but also their deep-seated insecurity. Protestant efforts during the nineteenth century to identify Americanism squarely with Christianity stoked this insecurity. "With varying degrees of articulation and in slightly varying details," Robert Handy writes, "[ante-Bellum] Protestant leaders from many denominations operated on the assumption that American civilization would remain a Christian one, and that its Christian (which for them always meant Protestant) character would become even more pronounced." 13 Even Governor James H. Hammond of South Carolina, no paragon 4 of Christian living, wrote to the Jewish community of his state in 1844 that he thought it "a settled matter" that he "lived in a Christian land" 14 Prof Bela Bates Edwards of Andover Theological Seminary (d. 1852) found similarly "convincing evidence to show that this real, though indirect, connection between the State and Christianity is every year acquiring additional strength " 1l Efforts like Noah's to connect Judaism and the state sought to deflect, counteract and even subvert these Christianizing tendencies. By offering Jews a measure of reassurance concerning their place and contribution to American life, they helped to neutralize the insecurity that proponents of a "Christian America" naturally engendered. With the establishment, in 1892, of the American Jewish Historical Society the small-scale effort at counter-history that Noah championed blossomed into a full- scale sacred history of American Jewry. 16 From the start, the new society privileged the goal of synthesis above all others and promoted an alternative Judeocentric reading of American history as its prime object: The object of this Society is to collect and publish material bearing upon the history of our country. It is known that Jews in Spain and Portugal participated in some degree in the voyages which led to the discovery of America, and that there were Jews from Holland, Great Britain, Jamaica, and other countries among the earliest settlers of several of the colonies. There were also a number of Jews in the Continental army, and other contributed liberally to defray the expenses of the Revolutionary war. Since the foundation of our government a number of Jews have held important public positions. The genealogy of these men and the record of their achievements 5 will, when gathered together, be of value and interest to the historian and perchance contribute materially to the history of our country. 17 Oscar Straus, the American politician and Jewish communal leader who presided over the American Jewish Historical Society in its early years, embodied this ideal of synthesis. His first book, The Origin of Republican Form of Govemment in the United States of America (1885), credited the ancient Hebrews with the first achievement of "a government of the people, by the people and for the people," and pointedly observed that this took place "1500 years and more before the Christian era": The children oflsrael on the banks of the Jordan, who had just emerged from centuries of bondage, not only recognized the guiding principles of civil and religious liberty that "all men are created equal," that God and the law are the only kings, but also established a free commonwealth, a pure democratic- republic under a written constitution. 18 As AJHS president, he especially encouraged study of "the relation of the Jews with the discovery of this continent and their participation in the early settlement of the colonies." 19 He hoped, he privately admitted, that evidence that Jews had actively participated in the discovery of America "would be an answer for all time to come to antisemitic tendencies in this country." 20 Iffiliopietism and communal defense underlay much of what Straus and his colleagues produced, however, the history that resulted read like a sacred pageant. According to its ennobling script, Jews starred in all the central roles of American history: from the secret Jews in the Spanish Court who funded Christopher Columbus, through the 6 Jewish "pilgrim fathers" who fought for religious freedom in New Amsterdam, on to the patriotic heroes who contributed financially to the success of the American Revolution, and from there to the "loyal and faithful citizens" who while participating fully in America's growth and development, "shared willingly in all the trials our country has passed through ... until the present time " 21 Each scene in this glorious pageant served the same ceniral purposes. It offered an alternative "Jewish" reading of American history and strengthened the faithful in their belief that Americanism and Judaism walked happily hand-in-hand. 22 The cult of synthesis was by no means confined to history. It actually permeated all of the major movements and ideologies of American Judaism. All shared the firm belief that Americanism and Judaism reinforced one another. As early as Thanksgiving of 1852, the Sephardic ha::an of Mikveh Israel, Sabato Morais, preached that "with the spangled banner of liberty in one hand, and the law of Horeb in the other, we will continue faithful citizens of this glorious republic, and constant adorers of the living God."23 The noted Jewish educator, Henry Leipziger, speaking at New York's [Reform] Temple BethEl on Thanksgiving, 1887, described the "Jewish form of government" as "republican," and "free America" as the place where "the dreams of the prophets of old" were "to be realized." 24 Cincinnati's Rabbi David Philipson, in an 1891 address on "Judaism and the Republican Form of Government," concluded that "Judaism is in perfect harmony with the law of the land; the two agree perfectly because they can never come into conflict."2' His nemesis, Chicago's Rabbi Emil G. Hirsch, speaking on the same 7 subject ("The Concordance of Judaism and Americanism") at the !905 celebration of the 250th anniversary of the settlement of the Jews in the United States, reached a similar conclusion: Jewish views "of liberty and law, of man's inalienable rights and duties hallowed by the sublimities of his religion are in creative concordance with the distinctive principles pillaring American civilization." The Traditionalist lay leader Solomon Solis Cohen of Philadelphia, who rarely agreed with Reform rabbis about anything, did so on this occasion. American Jews, he declared, "have striven ... to preserve for future generations the Hebraic, the American ideals of fr d . . d I' ,z6 ee om, JUStice, an equa 1ty ... Later twentieth century American Jewish thinkers scarcely deviated from these ideas. Arnold Eisen shows that such diverse American Jewish religious leaders as Leo Jung, Samuel Belkin, Abba Hillel Silver, Jacob Rader Marcus, Nelson Glueck, Louis Finkelstein, Simon Greenberg and Robert Gordis all argued in various ways for the compatibility of Judaism and American democracy 27 Judah Pilch similarly extolled the secular Jewish thinker, Horace Kallen, for finding in both Americanism and Hebraism "a singleness of purpose." "His Jewishness," he argued, paraphrasing Louis Brandeis, made Kallen "a more enlightened American and a more conscientious citizen of the world," and his "Americanism," made him "a nobler Jew." 28 Mordecai Kaplan's phrasing, if more tentative, echoed the same familiar idea: "The American religion of democracy has room for Judaism, and Jewish religion has room for American democracy." 29 Such quotations, a staple of American Jewish oratory for over a century, may well have been impelled, as Eisen argues, by "anti-Semitism and resultant Jewish insecurity," as well as by the reality 8 that Jews felt "at home in a gentile nation to a degree unknown to most of their [European] parents." It may also be, as he theorizes, that "the identification of Judaism with America rendered the abandonment of Judaism ... unnecessary" since "by being a better Jew, one became a better American as well, and to be a better American was what the children of the immigrants most wanted '"'30 As the examples of Kallen and Kaplan demonstrate, however, the cult of synthesis was not just whipped up for internal consumption. Jews also looked outward and attempted to transform America's vision of itself. By undercutting the claims of"Christian America" and promoting pluralism as a national ideal, they attempted to forge a new America- one where they might finally be accepted as insiders 3 1 Heroes of American Jewish history-those, so to speak, who became canonized into American Jewish sainthood-reflected precisely this ideal. Reading their biographies, autobiographies and obituaries one encounters, over and over, references to their pronounced success at integrating their Judaism with their Americanism and at achieving insider status -as if this were the supreme cultural achievement that any American Jew could attain. For instance, James Waterman Wise's Jews Are Like That, published under a pseudonym in 1928, sketches the lives of nine prominent American Jews: Louis Brandeis, Henry Morgenthau, Louis Lipsky, Stephen Wise, Ludwig Lewisohn, Felix Adler, Aaron Sapiro, Louis Marshall, and Nathan Straus. "The men who are the subjects of these studies ... are significant American figures," the preface proudly proclaims. It then proceeds to show that "it is the Jew in each of them that conditions, that completes the American." In the case of the Constitutional lawyer and Jewish communal leader 9 Louis Marshall this was relatively easy to demonstrate even Wise, who did not like him, understood that he was "one of America's leading constitutional lawyers" and at the same time "the defender of his people against wrongs and oppression." The philosopher Felix Adler, who abandoned Judaism to found the Ethical Culture movement, comes as more of a surprise. Yet Wise, who knew him personally, characterized him in the book as "a Jew ... in name, in background, in tradition ... a Jew in himself," and even "more than a Jew ... Basically, he is the ancient Hebrew prophet." Quoting Waldo Frank, he implied that Ethical Culture was itself a manifestation of the search for synthesis, appealing to "the prosperous Jews who had shown themselves most apt to run the American race." 32 Rabbi David Philipson's aptly-titled autobiography, My Life As An American Jew, shows how leading American Jews came to internalize the "cult of synthesis." The prominent Cincinnati Reform rabbi was a great apostle of the idea that "the future of Judaism lies in America" and he described the United States as the "second promised land" for the Jewish people." Summing up his long life in his autobiography, he explains that "to me my Judaism and my American citizenship were but as the obverse and reverse of the shield of what I have loved to call American Judaism, under whose banner I have toiled and thought through all the years. " 33 His bookplate, "conceived late in life and executed by the San Francisco artist, Max Pollak," graphically symbolized this idea [see figure 1]. It portrays Moses sitting on the left, Washington on the right, and beneath them two flags crossing: one containing the Ten Commandments, the other the Stars and Stripes. Revealingly, in terms of Philipson's own priorities, Moses in the bookplate gazes 10 toward Washington, who faces forward, while the Stars and Stripes foreground and partially obscure the Ten Commandments numbered, in English fashion, from left to right 34 The pre-eminent twentieth-century exemplar of American Jewish synthesis was the US. Supreme Court Justice and Zionist leader Louis Brandeis. In the American Jewish imagination he came to embody the pinnacle of the synthesis ideal. At the justice's funeral, Felix Frankfurter spoke of how Brandeis "happily fused" within himself the dominant sources of western culture, Hebraism and Hellenism, and as if to prove the point he quoted passages applicable to Brandeis's life from the Greek historian Thucydides, the Hebrew prophets Malachi and Isaiah, and the English Baptist John Bunyan, author of The Pilgrim's Progress. 35 Memorializing Brandeis in the American Jewish Year Book, the Zionist leader and jurist Louis E. Levinthal referred to synthesis over and over: "It was in his very being that these two-Americanism and Jewishness-were synthesized .... " he exulted. "He was a synthesis of two worlds."36 Brandeis became, for many, the apotheosis of synthesis-much as Moses Mendelssohn embodied the ideal of bildung for German Jews. 37 This veneration of the justice's memory reflected, to a considerable degree, the cult of synthesis personified. He became a model for the ages, proof that a great American did not have to be Christian. While Brandeis and other elite figures achieved a level of sainthood in the cult of synthesis, parallel efforts to merge Jewish and American identities proceeded at the popular and folk levels. To take one obvious example, Jewish II naming patterns reflected this hope, merging as they did American forenames with Jewish surnames; for example, George Cohen, Edward Levy, and Roger Straus. In a few memorable cases, patriotic forenames actually resounded with this hope George Washington Cohen, Jefferson Monroe Levy, Roger Williams Straus, Benjamin Franklin Peixotto, even Rutherford B Hayes Joel. One mid-nineteenth- century American Jewish family, the Pereles', named their three boys Franklin, Madison and Jefferson. Another, blessed with triplets, named them not just Abraham, Isaac and Jacob, but Abraham Lincoln Danziger, Isaac Andrew Jackson Danziger, and Jacob John Conness Danziger, the latter named for California's senator 38 Such naming patterns were by no means unique to Jews, but the juxtaposition of the American forename and the Jewish surname certainly symbolized the goal that Jewish parents were attempting to effect - if not on their own than through their offspring. They also hinted, however obliquely, that in America even a Jew could be a president and a senator 39 This same compound form-American on the front end, Jewish on the back end-came to characterize American Jewish education. By 1870, most American Jews received their general education in the public schools and their religious education thereafter in Sabbath, Sunday or supplementary schools. This was the "settled opinion" of American Jews, according to the Cincinnati Reform Jewish leader Rabbi Isaac Mayer Wise. Even the Orthodox immigrant, Judah David Eisenstein, wrote to his grandfather back in Lithuania in 1881, that he would send his 5 v, year old son, Isaac "to a public school to learn the language of the land" and "also engage a private teacher for him, to spend a few hours daily in Hebrew 12 studies." 40 The great American Jewish educational reformer Samson Benderly became the leading proponent of this compound system. Opposing the kind of all- . Jewish schools, that some Jewish leaders, familiar with Catholic parochial schools, had called for, Benderly insisted that "the only hope for Jewish Education in this country lies in schools supplementary to the Public School." Only these, he believed, promoted a Jewish education that was "in harmonious correspondence with American life." 41 By so stressing the synthesis ideal, Jewish education both mirrored and reinforced the cultural assumptions of American Jews. When modern Jewish day schools did finally -emerge, in the 1930s, the ideal of synthesis- as expounded by Rabbi Joseph Soloveitchik in Boston and Rabbi Joseph Lookstein in New York- helped pave the way for their acceptance 42 Holiday celebrations (what religionists call "sacred time") helped to reinforce the importance of synthesis as a Jewish communal value. Periodic national commemorations such as the Centennial Celebration of George Washington's Inauguration in 1889, the 400th anniversary of Christopher Columbus' voyage in 1892, the 250 anniversary of Jewish settlement in America celebrated in 1905, and the tercentenary of Jewish settlement in America in 1954, served as central occasions for trumpeting what one 1889 newspaper described as the way the "Jew was completely merged in the American." 43 During the Washington centennial, New York's chief rabbi, Jacob Joseph, published a Hebrew proclamation and prayer in the New York Herald in which he noted Washington's respect for "our holy Torah," and depicted Jews as eager "to become like other citizens ofthe country ... and also to walk in the ways of Your holy Torah, without 13 being ashamed of anything." Isaac Mayer Wise, who participated in the commemoration ceremony at Mount Vernon, declared that Washington "fulfilled .. that which Moses has written ... "Moses, the son of Amram and George Washington," he concluded "are the two poles of the axis about which the history of mankind revolves." It was \eft to New York's Jewish Messenger to summarize the central message of the day: "a good faithful Jew, a Jew true to the spirit of Judaism, could not be otherwise than a patriotic American." 44 The 4001h anniversary of Columbus's voyage echoed these same themes. The celebration coincided with Hoshanah Rabba, the last day of the Jewish festival of Sukkot, and Jewish leaders made the most of the correspondence. "The day on which the Jews ... in every part of the world were singing their hosannas," one speaker pointed out, the cry "Tierra, Tierra" ("Land, Land") arose from the Pinta. Chief Rabbi Jacob Joseph published yet another special prayer (this one written by his assistant Julius Buchhalter) and its flowery Hebrew text expressed gratitude not only for Columbus, "the first man in the New World," but also for the two Jews who, according to the prayer, accompanied him on his voyage. The prayer also pledged proud allegiance to the values that America stood for and invoked God's blessing upon the President and his administration. Rabbinic sermons made the same points. One was entitled "The importance of Columbus's Discovery for the Jews." Another considered "The Achievements of Columbus for the Benefit of Mankind and the Jews in Particular." A third expressed gratitude to God for Columbus, since he had "founded a haven of repose for our noble race ... he discovered a country for wandering Israel as well as for others." Rabbi Isaac Mayer 14 Wise, in a retrospective on the day, took note of the rhetorical excesses that his rabbinical colleagues fell prey to. "Columbus Day," he observed, "was celebrated in most all temples and synagogues in the land with special eclat; the structures were decorated with national flags(;] choirs and congregations sang the national songs, preachers delivered eloquent orations. A vast amount of patriotism was elaborated and consummated." While admitting that the "outbursts of patriotism" were "extremely edifying to loyal citizens," Wise condemned the "Columbus culte [sic]" as "less legitimate in the estimation of strict monotheists." Legitimacy, however, was precisely what Jews of that time actually sought to gain. In the American mind, the Great Mariner had evolved into the embodiment of the national ideal, a symbol of American achievement, progress and goodness. By associating themselves with him, Jews sought symbolically to take upon themselves these same virtues, yoking together their Americanism and their Judaism, and demonstrating -- subversively, given standard narratives -- the historical indispensability of Jews to the whole American enterprise. 4l The commemorations of both the 250th and the 300th anniversary of the first Jewish settlement in North America, analyzed elsewhere by Arthur Aryeh Goren, carried similar aims. The former, Goren writes, "offered a superb opportunity to ... prove the venerable lineage of America's Jews; reiterate once more the presumed affinity of Americanism and Judaism; and have others -mainly non-Jewish notables and newspaper editorialists- praise the rectitude and civic virtues of the Jews and their material and cultural contributions to the nation. " 46 As for the latter, he reports that "the tercentenary committee defined the principal goal of the Jewish 15 observance as a celebration of America's democratic ideals. Thus the American Jewish experience was significant in that it bore witness to the success of this free society. No less important was the emphasis placed on the congruence between Judaism and American democratic ideals." 47 Both occasions, in short, celebrated the cult of synthesis in all its glory. They provided American Jews with bounteous opportunities to demonstrate both to themselves and to others how much Judaism and Americanism reinforced one another. Beyond these stirring occasional pageants, four annual holidays promoted the central ideas of the cult of synthesis, ensuring that they would be recalled at least once each season, particularly on Passover (Spring) and Thanksgiving Day (Fall), and secondarily on Independence Day (Summer) and Chanukah (Winter). Sermons and liturgies for each of these holidays reinforced the message that Judaism and Americanism drew upon common roots The Reform Passover Haggadah issued in multiple editions by Rabbi J. Leonard Levy of Pittsburgh, for example, called for the placement of an American flag as one of the symbols on the Passover seder table and included the following remarkable dialogue between "child" and "reader: Child. Where do we find civil, political and religious liberty united today? Reader. Here in America. The fathers of this country fought against oppression that here all men should be free and equal before the law; free to worship God as their conscience dictated. To us the United States of America stands as the foremost among nations granting the greatest liberty to all who dwell here. Therefore we grace our table with the National flag ... 16 America is the child of the Old Testament. It is the "Moses and Prophets" of modern times. The Pilgrim Fathers landed here inspired by Israel's wandering to go out even to the wilderness and worship God. The immortal Declaration of Independence is the Great Charter announced before Pharaoh by Moses The Abolitionists are the product of the Bible, and the love of civil liberty that moved Channing and Parker, Whittier and Lloyd Garrison was nourished by it. The Old Testament first taught men that Government must be a government by law equally applicable to all and this is the controlling idea of Mosaic and American legislation. The Fourth of July is the American Passover. Thanksgiving is the American Feast of Tabernacles. It is therefore quite in keeping with the service this evening to pledge our country. In raising this third glass of wine to our lips let us pray that God will ever protect our land, that here liberty may forever dwell, that peace may abide within her borders and prosperity within her homes 48 While Levy's devotion is somewhat extreme, David Geffen's recent American Heritage Haggadah demonstrates that there is a long tradition of weaving American themes into the Passover tapestry. Indeed, both the Reform Union Haggadah and the Reconstructionist New Haggadah conclude the Passover seder with the singing of the hymn, "America. "49 An equally long tradition links the American holiday of Thanksgiving with Jewish themes. As early as Thanksgiving Day of 1844, Isaac Leeser, then serving as hazan at Mikveh Israel in Philadelphia, reminded his congregants that "as 17 Israelites we have an additional cause of thanksgiving," and discussed America's special meaning for the Jew. Some two dozen additional Jewish Thanksgiving Day sermons were published in America to 1900, many of which (like the sermons of Sabato Morais and Henry Leipziger quoted earlier) included standard cult of synthesis themes.lo "America and the Jew: A Pageant for Thanksgiving Day," first performed by Sunday School children in Temple Israel of Boston in 1922, went further. The play first recounted the story of Ancient Israel's "joyful harvest," based in part on the Book of Ruth. Then the narrator, "Spirit of Israel," abruptly shifted focus to the New World: But not alone in days of old did Israel thus bestow, Nor yet to distant lands to see her labors must we go. There is a land- bright, blessed land- the Promised Land, in truth, Where Freedom, Plenty, Wisdom, Love - all beckon to our youth. 0 Spirit of America, I bid you speak and tell Of all the wondrous miracles thou hast performed so welL "America" proudly recounted its story "of Liberty- of Harvest- and the Jew," emphasizing the nation's "beauties" and "full abundance." The final "Tableau"- a remarkable paean to synthesis- concluded the performance: Children carrying fruit and flowers, grouped as convenient. In center, Israel raises aloft a Scroll of the Law. America, center back, poses with large flag. Autumn, at left, holding garland of leaves. Ruth and Naomi, right, 18 embracing. Two large American flags slowly unfurled from left and right balconies, if possible. Song- Ensemble, "America the Beautiful." According to Temple Israel's Rabbi Harry Levi, more than twelve hundred people witnessed "America and the Jew" in Boston, making its "emotional appeal and religious effectiveness" beyond compare. Promptly published by the educational arm of the Reform movement's Union of American Hebrew Congregation, the pageant also played in other cities, spreading its patriotic message of cultural synthesis far and wide. 51 Those who witnessed the pageant understood that Thanksgiving was not only for the Children of the Mayflower. The "Spirit ofisrael" extended its welcome to "America" as well - and then happily united with it. The Fourth of July echoed the themes of Thanksgiving, but more distantly. Summer vacations muted rabbinical rhetoric and reduced educational programming. Still synthesis themes prevailed. The Sabbath and Festival Prayer Book published by the Conservative movement, for example, included two revealing readings for the anniversary of American independence: one entitled "The Heritage of America," and the other "America-Founded on Biblical Precepts." 52 Chanukah likewise reinforced the message, though primarily by analogy. In J Leonard Levy's Home Service for Hanukkah, for instance, children pledged to remember the Maccabees' example, and "like them, to be true to God, to our religion and to our country." Louis Witt's Pictures Out of the Past: A Hanukkah Play had one 19 character compare Judah Maccabee to George Washington ("he saved his country tool"), while another gave thanks "that we are living in this great land of peace and liberty."l 3 No matter what the season, then, American Jews reflexively mingled the Jewish and American components of their identity. Americanizing Jewish sacred days, and Judaizing American ones, they believed - deeply - that they could adapt to live in two worlds at once. American Jewish folk art conveyed this same message. Indeed, iconography demonstrates even more persuasively than written texts just how much the cult of synthesis suffused the folk religion of American Jews; by no means was it confined to the elite. Hundreds of examples of decorative pieces that combine Jewish and American symbols survive.l4 Closely read, they point to different models of synthesis - different emphases and ideals- that mirror communal disputes concerning how Judaism and Americanism ought best fit together. The earliest examples of synthesis art involve major Jewish symbols-for example, a mi::rah (1850), ashiviti (1861), and a Torah binder (1869) --that have been embellished with American motifs.ll The mi::rah, by Moses H. Henry, the son of a rabbi, has an American eagle and flag in the top central position surrounded by Jewish and selected Masonic symbols (fig. 2). This is an American patriotic variant of the traditional mi::rah; a kind of"Minhag Amerika" where the basic form is determined by Jewish tradition and the detail is shaped by local custom. Alice Greenwald locates a deeper message in the Masonic imagery. According to her analysis, "the American Jew, who found in Masonry both a means for social 20 integration and an ideological system sympathetic to and derived from Jewish tradition," likely saw "himself, his people and his traditional values as the cornerstone of that society." If this is correct, then the mi=rah, like so many other sources of synthesis we have seen, concealed a veiled subversive message: where most Americans saw Christianity as the basis for civil society, the mi=rah insisted that its real foundation lay in Judaism. 16 The same pattern of Jewish basic forms detailed with American motifs recurs in a Civil War-era paper-cut Shiviti, by Phillip Cohen (fig. 3). Here a small American flag flies atop each of two celestial columns in an otherwise traditional Jewish setting. Since these columns house the keys to the heavenly gate at the top center, the flags appear to be more than just an adornment. They imply that America plays a special role in Jewish life, affecting not just the world below, but, even more significantly, the passage to the world above. Another American flag, flying from the "lamed' of yegadlo ("will raise him up"), distinguishes the Torah binder/wimpel made in New York in 1869 (fig. 4) Its date, the 26th ofTammuz, translates to Monday July 5 1869, and one presumes that the celebration of American Independence Day influenced the artist. Revealingly, the position of the flag over the word yegad/o seems to define how the boy will be raised up - in a staunchly American fashion. The Stars and Stripes precede the Tree of Knowledge that adorns the next word, /e-Torah ("to Torah), implying-- as we know that Jewish education at the time also did --that America comes first. Perhaps the clearest symbol of this type of synthesis --Jewish forms modified by American details- may be seen in the undated early twentieth-century 21 bookplate of Peter Wiernik, the Orthodox editor-in-chief of the well-known New York Yiddish daily, the Jewish Moming Joumal (fig. 5). Designed by Joseph B. Abrahams, longtime secretary of the Jewish Theological Seminary, the bookplate depicts an open Torah ark with an American flag serving as the traditional curtain. A star of David and a Hebrew inscription reading "books of Peter Wiernik" adorn the top of the ark. A panel on the bottom, meanwhile, provides the owner's English name (in larger type than in the Hebrew), as well as his signature mailbox ("Wiernik was known as Der Brief-Kasten, the letter box, since he conducted a question and answer column under that title.") Here even more clearly than in the other examples, we see the juxtaposition of form and periphery. Synthesis for Wiernik meant that the core, symbolized by the Torah, was determined by Judaism. America's influence, prominent as it was both in his life and in his bookplate, remained confined to external and surrounding details. 17 A quite different model, emerging somewhat later than the first, pointedly counterpoised Jewish and American symbols, placing them, as it were, in separate spheres of influence. Instead of merging Jewish and American symbols, these designs compartmentalized them, maintaining each one within its own domain. The frontispiece of the published volume commemorating 250 years of Jewish settlement in the United States (fig. 6), for example, depicts Jewish symbols, the six pointed star and the menorah, at the bottom and American ones, the eagle and the stars and stripes on top, separated by a horizontal black-on-white bar. Judaism forms the base of American Jewish life, this design suggests, while America stands aloft, wings outstretched. The two balance but never touch. 22 More typically, artists created vertical barriers between the two realms, placing Jewish symbols, like the blue and white "Jewish" flag, and sometimes Hebrew writing on the right side (recalling the fact that Hebrew reads from right to left), and equivalent American symbols opposite them on the left Many a decorated marriage certificate followed this pattern (fig. 7), perhaps recalling the fact that a Jewish marriage in America had to conform to two sets oflaws: state law (for a marriage license) and Jewish law (for a ketubah). The arrangement of flags in synagogue sanctuaries made this same point, emphasizing the dual character of Jewish identity by flying the Stars and Stripes, according to protocol, on the left (viewed faced on), and the blue and white "Jewish" flag slightly lower on the right The message conveyed in each of these cases was unmistakable: Jews should compartmentalize the "American" and the "Jewish" elements of their being, maintaining each within its own sphere without either impinging on the other. Other modes of synthesis also found their way into folk art. In some cases, profoundly American symbols such as the flag were embellished with Jewish motifs, like the Star of David. Here, in contrast to the earlier model, America provided the form and Judaism the detail; prior emphases (and the hierarchy they reflected) were effectively reversed. In other cases, full-scale syncretism took place through a merger of Jewish and American symbols - a melting pot image. Mae Shafter Rockland's 1974 Hanukkah Lamp composed of eight miniature Statues ofLiberty candleholders on a Stars and Stripes base carrying the words of Emma Lazarus' "New Colossus" exemplified this mode of synthesis. (fig.8). In a different way, so did the eye-catching Los Angeles sign that read "Home of the KOSHER sTYLE 23 BURRITO," immortalized by photographer Bill Aron l& Finally, in a category all its own, one finds numerous historical images of"Zion-in-America," --that is, Holy Land motifs applied to the United States. While bespeaking the sense that America is something of a "promised land" for Jews, this genre is by no means confined to d l9 Jews. It deman s separate treatment. All of these iconographic images have their analogues in contentious elite debates over Americanization, assimilation, the melting pot and pluralism. They illustrate different models of reconciling "America" and "Jew," different theories of Americanization, and different visions of American Jewry's future. For all of their differences, however, they also share a common core assumption. They take it as an article of faith that "America" and "Jew" can be reconciled. What they debate is how the grand synthesis may best be accomplished, not whether it is achievable in the first place. Over the course of American Jewish history, the cult of synthesis has thus provided American Jews with the optimistic hope that, in America, they could accomplish what Jews had not successfully achieved elsewhere in the diaspora. Instead of having to choose between competing allegiances -the great enlightenment dilemma-- here they could be both American and Jewish. Their dual identities, they ardently believed, were complementary and mutually enhancing. This served both an apologetic and a subversive purpose: it provided a powerful response to Christian triumphalists and conversionists, who looked upon Jews as second class citizens, and it tacitly functioned to de- Christianize America's cultural boundaries so as to render Jews more welcome. In short, the cult served as the 24 medium through which Jews defined both for themselves and for others "the promise of American life"- a projection of the world as they wished it to be. Underlying the cult, was the fact that America, more than any other major diaspora center where Jews have lived in recent times, was a nation in process, engaged in defining what being an American actually meant. Jews played a disproportionately important role in this process, and unsurprisingly they propounded a definition of America that warmly embraced them as insiders. This was the supreme achievement of people like Louis Brandeis, Horace Kallen, and Will Herberg; Mordecai Kaplan, at one point, explicitly sought to redefine America from a Jewish perspective. 60 The cult of synthesis provided the underpinnings for this effort. It offered a cultural justification for the insider status that Jews were simultaneously claiming as part of their reinterpretation of American identity as a whole. This also helps to explain why the cult won so much stronger a following in America than in other major diaspora lands. Here, Jews could help to shape a pluralistic national identity that won them insider status; almost everywhere else that seemed patently impossible. There is, however, a significant coda to this analysis. During the turmoil of the 1960s and 70s, the cult of synthesis lost much of its following, falling victim to the divisive national debate over the Vietnam War. As American symbols like the flag became controversial, Jewish expressions of patriotism markedly declined. Revealingly, the revised Reform Jewish liturgy, Gates of Prayer (1975), conceived during this era, abandoned a fixed eighty- year-old patriotic prayer that "fervently" 25 invoked God's "benediction for this our country and our nation," replacing it with an anemic occasional prayer, divorced from the regular liturgy, that covered the nation, its inhabitants and its leaders in four short lines. A popular new Orthodox liturgy known as the Artscro/1 Siddur (1984) included no prayer for the government whatsoever 61 Everywhere, the rhetoric of synthesis gave way in these years to the rhetoric of tension: "the tension between assimilation and identity," "the tension between being an American and being a Jew," the tension (for Sandy Koufax) between pitching the World Series and observing Yom Kippur. At the same time, hopes for national unity gave way to expectations of [multi-]cultural diversity, while the core that once stood for America disintegrated and splintered. The cult of synthesis, as a result, seemed neither necessary nor desirable. Its attendant myths, rituals and symbols faded to a shadow of what they had been before. Yet they did not disappear completely. Instead, as Sylvia Barack Fishman has shown in an important recent paper, the cult of synthesis was transformed and internalized 62 Even as outwardly American Jews paid it less and less homage, inwardly it became one of their most pronounced cultural characteristics. "Conscious synthesis," she shows, was "replaced in large part by unconscious coalescence." By coalescence, Fishman means "the merging of American and Jewish attitudes and actions and the incorporation of American liberal values ... into the perceived boundaries of Jewish meaning and identity." One example, among many in her study, is a precious quote from a Jewish woman whom she interviewed as part of a focus group in Atlanta: 26 The best part about being a Reform Jew is that it stresses the most important part of Judaism. It stresses free choice. Free choice is the basis of Judaism. Who Maimonides was or what little rituals people choose to perform-these are just small details. You can always pick those up later. Here we see the working out in life of what we earlier saw in folk art the grafting of an American value ("free choice") onto the body of Judaism itself What in art might have been represented by an eagle or an American flag is represented here by "free choice." Through the alchemy of coalescence, sacred American values have been "reinterpreted by American Jews as authentic Jewishness." Fishman's findings uncover a new phase in the history of the cult of synthesis. As Jews have become cultural insiders, gaudy public displays of religious patriotism, like the cantata for schoolchildren composed by Denver's Rabbi Laderman, now seem dated, even a bit embarrassing. Unconsciously, though, many still crave what Laderman so enthusiastically promised: "a Judaism and an Americanism which reinforce each other ... the American Jewish road of Faith and Freedom." 27 NOTES 1 As quoted in Roberta K. Waldbaum. "One Nation, Under God," Roc!.y .\fountain Jewish Historical Xotes ll :3-4 (I 991-92}, 6; on Ladennan, see Ida L. Uchill, Pwneers, Peddlers. and Tsadikim: The Story of the Jews in Colorado (Boulder, COL, Quality Line Printing Co., 1979 [ 195 7]), 23 7-38. The ideology of the tercentemny is conveyed in Arthur A. Goren, "A 'Golden Decade' for American Jews: 19~5-1955." Studies in Contemporary Jewry 8 (1992), 10- 17. 'Jdnathan S. Woocher, Sacred Survival: The Civil Religion ofAmerican Jews (Bloomington: Indiana Uni\crsity Press. 1986), 87-89. 3 For related analyses, see Eli Lederhendler, "America: A Vision in a Jewish l'vlirror," in Lederhendler, Jewish Responses to Modernity: New Voices in America and Eastern Europe (New York: New York University Press, 197~). 104-\39, and Jerold S. Auerbach, Rabbis and L{!\',yers: The Journey from Torah to Constitution (Bloomington: Indiana Unhersity Press, \990), 3-25. 4 "Cult," The HarperCollins Dictionary of Religion (San Francisco: HarperCollins, 1995), 297. 'Barbara Welter, "Tile Cult ofT rue Womanhood: 1820-1860," American Quarterly 18 (I 966), 151-17~; David Sorkin, The Transformation of German Jewry 1780-18-JO (New York: Oxford, 1987). 6 See, for example, John J. Appel, Immigrant Historical Societies in the United States, 1880-1950 (Ph.D, Urtiversity of Petmsylvania, 1960); W. Gunther Plaut, "German and Jews-The Symbiosis That Failed," Judaism ~0 (Fall 1991}, 53 \-42; Jurgen Matthaus, "Deutschtum andJudentum under Fire," Leo Baeck Institute Year Book 33 (1988), 129-147. 1 Charles Liebman, "Reconstructiortism in American Jewish Life," American Jewish Year Book 71 ( 1970), 68. 8 Peter Folger,A Looking Glass for the Times(\676) as quoted in Sacvan Bercovitch, The American Jeremiad (Madison: Urtiversity of Wisconsin Press, 1978), 77. 9 Bercovitch, American Jeremiad, 72-80; cf. Eugene R. Fingerhut, "Were the Massachusetts Puritans Hebraic?,"New England Quarterly ~0 (December 1967), 521-53\. 10 Mordecai M. Noah, Discourse on the Evidences of the American Indians Being the Descendants of the Lost Tr1bes of Israel (New York, 1837); Jonathan D. Sarna, Jacksonian Jew: The Two Worlds ofMordecai Noah (New York: Holmes & Meier, 198\), 135-137. 11 Publications of the American Jewish Historical Society [:PAJHS] 11 (1903), 186-187. 1 ' Jonathan D. Sarna, '"The Mythical Jewish Columbus and the History of America's Jews," in Religion in the Age of Exploration: The Case of Spain and New Spain, ed. Bryan F. LeBeau and Menachem Mar (Omaha, NE: Creighton University Press, 1996), 81-95. 13 Robert T. Handy, A Christian America: Protestant Hopes and Historical Realities (New York: Oxford Urtiversity Press, 197\ ), 30. 14 Hammond's exchange with the Jewish commurtity is reprinted in Jonathan D. Sarna and David Da\in, Religion and State in the American Jewish Experience (Notre Dame: Urtiversity of Notre Dame Press, 1997), 116. 15 Handy, Christian America, 56. 16 JeffreyS. Gurock, "From Publications to American Jewish History: The Journal of the American Jewish Historical Society and the Writing of American Jewish History," AJH 81 (Winter 1993-9~). 165-172; Ira Robinson, "The Invention of American Jewish History," AJH 81 (Spring-Summer 199~ ), 309-320. 11 PAJHS I (2"" edition, \905 [1892)), iii. 18 Oscar S. Straus, The Origin of Republican Form of Government in the United States of America (2"" ed., New York: G.P.Putnam's Sons, 1901), 117; see Naomi W. Cohen, A Dual Heritage: The Public Career of Oscar S Straus (Philadelphia: Jewish Publication Society, 1969), 14-17,70-73. 19 PAJHS I (2"" edition, 1905 (1892)), 3. 2<l Cohen, A Dual Heritage, 71. 21 PAJHS 14 (\906), 74-75. " Louis Brandeis extended this ideology to embrace Zionism as well, even appropriating the term" Jewish pilgrim fathers" for Zionist ends. See Jonathan D. Sarna, "'The Greatest Jew In the World Since Jesus Christ': The Jewish Legacy of Louis D. Brandeis," AJH81 (Spring Summer 1984), 358. 28 "Sabato Morais, sennon delivered at Mikveh Israel, November 25, 1852, as quoted in Ruth Alpers, "Traditionalism. Americanization, and Assimilation: The Struggles of Sabato Morais. 1851-1897," (Ordination tl1csis. HUC -nR. 1994 ). 30. " Henry Leipziger, Why We Should Be Thankful: Address .. Deli1·ered in Temple Beth-El. Thanksgnwg Day . . \·01·ember 2-J, 1887 (New York: Temple Beth-El. 1887). " Year Book oft he Central Conference of American Rabbi 2 ( 1892). 53. 06 PAJHS 14 (1906), 115-16. 160. " Arnold M. Eisen. The Chosen People in America: A Study in Jewish Religwus Ideology (Bloomington: Indiana Universitv Press. 1983), 36-10. "Judah Pilch. "Introduction." in Horace Kallen, Of Them WhiCh Say. p.xi. "Mordecai M. Kaplan, The Future of the American Jew (New York: 1\olacmillan. 1948). 522. 30 Eisen. Chosen People in America, 40-11. " Moses Rischin. "Tile Je\\s and Pluralism: Toward an American Freedom Symphony," in Jewish Life m America: Historical Perspectives, ed. Gladys Rosen (New York: Ktav, 1978), 61-91; Mordecai Kaplan. J. Paul Williams and Eugene Kahn. The Faith a/America (New York: Reconstructionist Press, 1951); Mel Scult. Judaism Faces the Twentieth Century: A Biography ofMordecai Af Kaplan (Detroit: Wayne State University Press, 1993), 281-282. "James Watennan Wise ("Analyticus"), Jews Are Like That.1 Essay Index Reprint Series (Freeport, NY: Books for Libraries Press, 1969 [1928]), quotations are from pp. x, 186-187, 139, 135. " David Philipson. A~v Life As An American Jew: An Autobiography (Cincinnati: John G. Kidd & Son. 1941 ), 223,500, 164. 34 Philip Goodman, "American Jewish Bookplates," PAJHS 45 (March 1956), 176, 192. 35 Tile eulogy is reprinted in Irving Dilliard, ed .• Mr. Justice Brandeis, Great American: Press Opinion and Public At,praisal (St. Louis, 1941), 126-127; see Sarna, 'The Greatest Jew in the World," 362-363. 3 Louis E. Levinthal, "Louis Dembitz Brandeis," American Jewish Year Book 44 (1942-13), pp.49,51. 31 George L. Masse, German Jews Beyond Judaism (Cincinnati: Hebrew Union College Press & Indiana University Press, 1985), 10, 15, 81. 38 Most of these names may be found in Malcolm H. Stern, First American Jewish Families (Baliimore: Ottenheimer, 1991) and Jacob R Marcus, The Concise Dictionary of American Jewish Biography (New York: Carlson. 1994). For "Joel," see the "Joseph A. Joel Correspondence File" in the American Jewish Archives, Cincinnati, OH; for Pereles, see Jacob R Marcus, The American Jewish Woman: A Documentary History (Cincinnati: OH: Ktav, 1981), 238; and for the Danzigers, Hasia R Diner, A Time for Gathering: The Second Jfigration (Baltimore: Jolms Hopkins University Press, 1992), 202-203. As early as 1853 a visitor to New York's Congregation Shearith Israel found Sephardi children with "names like Washington" [see Gershon Greenberg, "A Gennan-Jewish Immigrant's Perception of America, 1853- 54," AJHQ67 (JWle 1978), 319.) 39 Jonathan D. Sarna, 'The Myth of the Jewish President," Sh 'ma 101198 (October 3, 1980). 40 Lloyd P. Gartner, Jewish Education in the United States: A Documentary History (New York: Teachers College, 1969), 86; Lloyd P. Gartner. "From New York to Miedzyrecz: Immigrant Letters of Judah David Eisenstein, 1878- 1886," AJHQ 52 (March 1963), 242. 41 Nathan H. Winter, Jewish Education in a Pluralist Society: Samson Bender(v and Jewish Education in the United States (New York: New York University Press, 1966), 49, 55; Jonathan D. Sarna, "American Jewish Education in Historical Perspective," Journal of Jewish Education (forthcoming). '' Joseph Reimer, "Passionate Visions in Contest: On the History of Jewish Education in Boston," The Jews of Boston, ed. Jonathan D. Sarna and Ellen Smith (Boston: Combined Jewish Philanthropies, 1995), 289; JeffreyS. Gurock, "The Ratnaz Version of American Otthodoxy," Ramaz: School, Community, Scholarship and Orthodoxy (New York: Ktav, 1989), 40. 43 American Israelite, May 9, 1889, p.l. 44 New York Herald, April20, 1889, n.p. [translation mine]; Jewish Messenger, April 26, 1889, p.4. I am indebted to an Wlpublished seminar paper by my studen~ Robin L. Kahn • for these citations. 45 This paragraph is drawn from Sarna, "The Mythical Jewish Colwnbus and the History of America's Jews," 81-84, where full citations are provided. See also Claudia L. Bushman, America Discovers Columbus (Hanover, NH: University Press of New England, 1992), 158-159, 168; Moshe Starkman [KhizqWli], "Tefilah Le-Yovel Ha-100 Le- Giluy 'Ameriqah, "' Bitzaron 37 (January 1958), 129-131; J.D. Eisenstein, Ozar Zikhronothai: Autobiography and Memoirs(New York: the author, 1929), 76; and American Israelite, October 27, 1892. 46 Arthur Aryeh Goren, "Pageants of Sorrow, Celebration and Protest: The Public Culture of American Jews," Studies in Contemporary Jewry 12 (1996), 206-211. 29 47 Arthur Aryeh Goren, "A 'Golden Decade' for American Jews: 19~5-1955," Studies in Contemporary Jewry 8 (1992), 10·17. esp. U. "J.Leonard Levy. Haggadah or Home Sen•ice for the Festival of Pass01·er (7'" edition, Pittsburgh: Rodef Shalom Congregation, 1922 [orig. ed., 1903]), 25-27. ' 9 David Geffen (ed.), American Heritage Haggadah: The Passo1·er bpenence (Jerusalem: Gefen Publishing, 1992); Th~ L'nion Haggadah (n.p.: Centrnl Conference of American R1lbbis. 1923), 120·121; Mordecai M. Kaplan, eta/, The New Haggadah for the Pesah Seder (New York: Behrman House. 19~2), 176. 50 Isaac Leeser, "MotiYes of Thankfulness," Discourses on the Jewish Religion (3'• series, Philadelphia: Sherman & Co., 1867), 118-139, esp. 13~; other sennons are listed in Robert Singennan, Judaica Americana: A Bibliography of Publications to /900 (New York: Greenwood, 1990), s.v. "Th.anksghing." 51 Fannie Barnett Linsky, America and the Jew: A Pageant for Thanksgiving Day (Cincinnati: Union of American Hebrew Congregations, 1923), esp. 5, 13·1~. 19·20. "Sabbath and Festival Prayer Book (New York: Rabbinical Assembly of America and United Synagogue of America, 19~6), 268, 352-355. 53 J.Leonard Levy, Home Service for 'Hannukkah Wnttenfor Congregation Rode ph Shalom (3'd edition, Pittsburgh: Rodeph Shalom, 1910 [1903]), 6; Louis Witt, Pictures Out of the Past: A Hanukkah Play (Cincinnati: Union of American Hebrew Congregations, 1918), 16-17. 54 Dr. Grace Cohen Grossman of the Skirball Cultural Center in Los Angeles has been collecting this material for years and has graciously shared her work and ideas wi~ me. Her work-in-progress will document this genre far more fully than I can here. 55 Nonnan L. Kleeblatt and Gerard C. Wertkin, The Jewish Heritage in American Folk Art (New York: Universe Books, 198~).52,57,58. 56 Alice M. Greenwald, 'The Masonic Mizrah and Lamp: Jewish Ritual Art As a Reflection of Cultural Assimilation," Journal of Jewish Art 10 (198~). 87-10 I, esp. 101. 51 Goodman, "American Jewish Bookplates," 176, 192. 58 The photograph is reprinted in Allen Schoener, The American Jewish Album: 165-1 to the Present (New York: R.izzoli, 1983), 294. 59 See now Jeffrey Shandler and Beth S. Wenger, Encounters With the 'Holy Land': Place, Past and Future in American Jewish Culture (Hanover, NH: University Press of New England, 1997). 60 Mordecai M. Kaplan, The Greater Judaism in the Making (New York: Reconstructionist Press, 1960), 477; see also works cited above, nn.22. 31. 61 The Union PrayerbookforJewish Worship (Cincinnati: Central Conference of American R1lbbis, 1895, I, p.99; Gates of Prayer: The New Union Prayerbook (New York: Centrnl Conference of American R1lbbis, 1975), 452; The Complete ArtScro/1 Siddur, ed. Nosson Schennan (New York:Mesorah, 198~). 450 [the prayer for the government was restored in the R1lbbinical Council of America edition]; see Jonathan D. Sarna, "Jewish Prayers for the United States Government: A Study in the Liturgy of Politics and the Politics of Liturgy," Moral Problems in American History: E_,ssays in Honor of David Brion Davis (Ithaca, NY: Cornell University Press, 1998), [forthcoming] •· Sylvia Barack Fishman, Negotiating Both Sides of the Hyphen: Coalescence, Compartmentalization and American Jewish Values. The Rabbi Louis Feinberg Memorial Lecture in Judaic Studies. (Cincinnati: The Judaic Studies Program of the University of Cincinnati, 1996). The discussion that follows is based on this paper, see esp. pp.l, 12, and 30. 30 I l• ' Torah Binder, 1869: Tlus detall of a torah bmder mcorpcrates an Amencan !lag and was made m New York. CredJt· ]M VII ' _,/'" The Two Htmdred and FJftiethAnniver~ .· _of the Settlement (')f t:he JeWs iri the United States v 83ECT: Ketubbah OUNTRY: New York USA .\TE: 192 7 .iTIST: ATALOGUE #: 34.255 LONG LIVE THE LAND OF THE FREE CNOR: Herbert and Nancy Bernhard . ttachment: This marriage certificate is of special interest because of the _xed symbols of the ~erican flag and the Israeli flag emerging from the lyre. Plate 17)cat. 126}. Hanukkah Lamp. Mae Shafter Ro<:kland )1937- ); Princeton, New Jersey, 1974. Wood covered in fabric with molded plastic figures. 76 • •. -- ' . .r l2 .. 
work_vd4wuzzwjbdovftht4gvv7q5pi	----	EDITING METHOD FOR THE BULLETIN OF THE TRANSILVANIA UNIVERSITY Bulletin of the Transilvania University of Braşov Series V: Economic Sciences • Vol. 11 (60) No. 1 – 2018 REMOVING THE PRESSURE FROM COMPETITION BY USING DIVERSIFICATION STRATEGY Anca MADAR1 Abstract: The paper describes how Kandia Dulce Company, the largest chocolate producer in Romania, chose to implement the diversification strategy to stay on the market and compete. The introduction refers to the quality and safety of the importance of food and chocolate products, then the paper describes the company and its history, the business environment, its quality policy, the implementation of the quality strategy and its results. The end of the article contains several concluding ideas and remarks related to the present study. Key words: Food quality, chocolate products, quality strategies 1. Introduction A characteristic of the food commodity market is that in the last few decades there has been a real assortment explosion. New products have emerged, encompassing modern technologies such as production, processing, and presentation. Food is a complex product that contributes to the needs of the body: it provides substances for its own synthesis, it ensures the need for energy and it maintains life. At the same time, it responds to some desires, therefore it also pleases man. Food is the source of energy through which the body meets vital needs. Food consists of proteins, lipids, carbohydrates, mineral salts and water, which undergo a process of transformation in the body. Carbohydrates, lipids and proteins are energy suppliers, but they can also perform plastic replenishment or renewal of used tissues. Man cannot benefit from a healthy life without having a healthy diet. Food quality is a key element of efficiency and competitiveness, and implicitly, a source of competitive advantage for companies in the industry. The food quality represents all properties that determine their usefulness to meet certain needs in accordance with their indication. The type of substances and their proportion in the products is very different. In most cases, one or another chemical group is predominant, hence the classification of foods 1 Transilvania University of Braşov, ancamadar@unitbv.ro mailto:ancamadar@unitbv.ro Bulletin of the Transilvania University of Braşov • Series V • Vol. 11 (60) No. 1 - 2018 100 according to chemical preponderance: predominantly proteins (milk and dairy products, eggs, meat, fish, and their products); predominantly lipid (food fats); predominantly carbohydrates (cereals and derivatives, legume beans, vegetables and fruits, sugar and sugar products). Some foods consist almost exclusively of a single substance (or one kind of substance), such as sugar (sucrose), starch (amylose and amylopectin), gelatine (from collagen), fats (glycerides), salt (from sodium chloride), etc. But in most cases, we meet the five major chemical groups: water, mineral substances, carbohydrates, lipids, and proteins. In addition, the food composition includes: vitamins, pigments, acids, enzymes, tanning substances, essential oils, glucosides, alkaloids, hormones and others. Knowing the particularities of the chemical composition of raw materials and processed foods is necessary, both for the knowledge of the processes taking place at their level during their logistic circuit, the production and marketing, and for the establishment of their qualitative level, of the nutritional and technological potential, in relation to all operators operating along food chains (Procopie R.). In order to be able to meet the quality and security requirements of the products offered, and to keep its customers and attract new ones, food market producers must implement quality strategies according to the possibilities and restrictions imposed by their capacity and by the market. Such a strategy is that of diversification by quality that allows companies to enter new areas of activity with products or services, oriented on quality classes or at higher levels of quality versus competition (Todoruț, 2007). The diversification strategy enables complementing and also reinventing the company's offer (Băltescu, 2016). The modern history of chocolate began with the discovery of America by Christopher Columbus at the end of the 15th century, when it first brought cocoa beans to Europe. The scientific name of the cocoa tree is Theobroma Cacao, which means the `Food of the Gods` and it is cultivated in America, Asia, Africa, Indonesia, and Australia (Bărbulescu, 2003). Chocolate products are part of the group of sugary products that are characterized by high carbohydrate content. These are necessary for the human body because, by burning, they produce the energy necessary for its activity. The following raw materials are used in the manufacturing of chocolate products: cocoa powder, sugar, powdered milk, lecithin, and as additives, depending on the range, vegetable fats, kernels, sugary fruits, raisins, coffee, food essences, colorants, etc. Cocoa powder contains 48-54% lipid, 0.8-2.5% physiologically active substances (theobromine and caffeine), about 20% carbohydrates, 15% protein, 3.2-5.8% tanning substances, aromatic substances etc. Cocoa lipids have a relatively low melting temperature (32°C) also bearing the ability to lower their volume when cooled, which makes it easier to get out of shape the chocolate products (?) (Bărbulescu G., 2003). Since the range of chocolate products is varied, they have been grouped as follows: - plain chocolate; - chocolate with additives (milk, coffee, peanuts, raisins); - filled chocolate (with fondants, liqueur, creams, kernels). A. MADAR: Removing the Pressure from Competition by using Diversification Strategy 101 2. Company Presentation 2.1. Short History In 1948 the sugar confectionery company Bucharest was born. In 1991 it became the Excelent Bucharest company. Among the company's brands at that time were: ROM chocolate bar and Măgura wrapped cake. In 1997, it became a private company, being the producer with the widest assortment of sweets in the country. In 2003, Excelent Bucharest company took over 60% of the capital of Kandia Timisoara company and then merged, becoming Kandia – Excelent company, also re-launching the Kandia brand. Thanks to the accumulated tradition and performance, in 2007 Kandia Excellent became part of the Cadbury-Schweppes group, the world's largest candy producer, becoming Cadbury Romania company. In the same year, the brand of Silvana jellies and the brand of Sugus jellies and sweet gums were bought from Kraft Romania. Kraft Foods company purchased the Cadbury Group and then sold the Cadbury Romania company to the Oryxa Investment Fund. The sweets company was renamed Kandia-Dulce. In 2012, Kandia Dulce bought the local Supreme Chocolate company, adding brands like Anidor, Ulpio, Primola and Novatini to its portfolio, thus becoming the largest sweets producer in Romania. 2.2. Presentation of the Company's Economic Environment Kandia Dulce's suppliers are organizations that own raw materials and materials, machinery, technology equipment, energy, packaging, labels, necessary to manufacture and prepare products for sale. Kandia Dulce's marketing specialists are in constant contact with the suppliers because in the long run their unresolved problems, can cause serious disturbance in their own business and increase the cost of their products with serious consequences in terms of profitability and customer portfolio. The most important strength of Kandia Dulce is the ongoing customer relationship, focusing on customer wishes. The company's products address consumers of all ages, women, men, and children who want to consume chocolate. Products reach customers through intermediaries, who are both retailers and wholesalers. Of the most important clients we mention: - Hypermarkets: Metro Cash & Carry, Selgros Cash & Carry; - Supermarkets: Kaufland, Billa, Cora, Gima, Lidl, Penny; - Others: petrol stations, online shopping sites (www.e-shopping.com, www.kaboo.ro, www.magazineonline.ro). Consumers of Kandia Dulce products are segmented according to three variables: A) By preferences: • People who prefer plain chocolate: Kandia milk, Kandia white chocolate; • People who prefer chocolate with different flavours and fillings: Kandia hazelnuts, Kandia cream with caramel, Kandia cappuccino cream. • People who prefer chocolate rich in cocoa: Kandia dark 45%. Bulletin of the Transilvania University of Braşov • Series V • Vol. 11 (60) No. 1 - 2018 102 B) By age: • children aged 5-14; • adolescents aged 15-21; • people aged 30-50; • people over 50. C) By revenue: • people with high incomes: chocolate with the minimum price of 4.5 lei; • middle-income people: chocolate for less than 4 lei; • low income people: chocolate with a price between 2 and 2.5 lei. The most important competitors of Kandia Dulce company are: Former Kraft Foods, the current Mondelez, which markets internationally renowned brands in over 155 countries. Its product portfolio includes the brands: Milka, Poiana, Toblerone and Suchard (www.vault.com). Mondelez achieved a turnover of 550,742,557 RON (www.mfinanţe.ro) in 2015 and a market share of 24%, which increased by 1% in 2016 (www.euromonitor.com). Ferrero Romania. According to Euromonitor, it is the main competitor of Mondelez S.A. In 2015 it had a turnover of 299,464,117 RON and a market share of 17%, and in 2016 the turnover was of 378,447,163 RON and the market share of 18% (www.mfinanțe.ro). The main brands of the company sold on the Romanian market are Kinder and Ferrero Rocher. Above-average prices are driven by the company's investment in innovation and technology to deliver superior quality products. Heidi Chocolat S.A. is part of the same group as Kandia Dulce (Kex Confectionery) and had a turnover of 98,790,835 RON in 2015 and 106,278,058 in 2016 (www.mfinanțe.ro). The range of chocolate products sold by Heidi includes tablets and chocolate bars and chocolate pralines. The company's strategy is based on increasing production capacities. Nestle Romania S.R.L. is a strong player on the chocolate market, but has a range of products that includes other food products. The most famous chocolate brands of this company are: Lion, Kit Kat, Smarties, After Eight and Nestle Dessert Noir. This company is very active in innovation and in global campaigns for sustainable development. 2.3. Financial Results of the Company In the period 2012-2016, the turnover of Kandia Dulce company increased from 148,801,234 RON in 2012 to 183,974,883 RON in 2014, after which it decreased to 161,423,950 RON in 2016. Throughout this period, the company recorded losses that could be converted to profit only in 2016 (Table 1). A. MADAR: Removing the Pressure from Competition by using Diversification Strategy 103 Table 1 Evolution of turnover and net profit of S.C. Kandia Dulce in 2012-2016 (RON) Year Turnover Net profit Average number of employees 2012 148,801,234 -30,537,161 536 2013 173,479,720 -13,851,729 490 2014 183974,883 -4,581,487 493 2015 169,800,797 -2,142,816 483 2016 161,423,950 4,004,573 491 Source: www.mfinanțe.ro 2.4. Quality Policy Kandia Dulce company's management aims, through adopting a pro-quality systematic policy, to meet the demands of its customers, as it is essential to ensure the quality of chocolate products. The CTC Laboratorium has a key role in this policy: - it establishes the technological quality control program; - it organizes the quality control activities throughout the manufacturing cycle of products, from receiving raw materials and materials to final product control; - it traces non-compliant products and establishes protection and remediation / reuse measures; - it issues documents certifying the quality of the delivered products; - it tracks and records the proper storage of finished products as well as raw materials and materials; - it regularly analyses the quality of the products so that they can provide at all times written and archived objective evidence that the delivered products are in accordance with the technical documents. Kandia Dulce company receives 40-50 raw materials and materials for which compliance with standards and specifications is verified by determining about 150 parameters. All batches of raw materials and determined values of the parameters are recorded in the raw material and material records register. An important emphasis is placed on the appearance of non-compliant products, with particular emphasis on quality control on the production flow phases. Thirty-four work points are controlled with the determination of about 100 parameters. All of these parameters are recorded in the semi-finished products control register. The next assessment regards the final product control and compliance with technical standards in terms of packaging, net mass marking, organoleptic and physico-chemical properties. The values of all parameters are recorded in the finished product registry. The supply department has direct implication in product quality: - it provides, in commands and contracts for raw materials and materials, the quality conditions that they must meet; - it communicates to the CTC compartment the proposed suppliers for auditing them; - It performs a qualitative study of the suppliers of raw materials and materials market. Bulletin of the Transilvania University of Braşov • Series V • Vol. 11 (60) No. 1 - 2018 104 Kandia Dulce's management ensures that quality policy is implemented and maintained at all levels through training, testing, licensing, auditing, and periodic analysis of the quality system's operation. 2.5. SWOT Analysis Strengths - The quality of products - Competitive prices - Various assortment range - International distribution - The brand's notoriety Weaknesses -Poor marketing and promotion activity both on the domestic and the foreign markets Opportunities - Improving the relationship with external customers -Potential for increasing consumption Threats -An aggressive promotion of external competition -The diversity of the assortment of competition - Consumer perception of domestic products 3. Implementation of Quality Strategy The strategies the company has implemented over the years have been based on its strengths and the fruition of the opportunities that the external environment has provided, as well as the minimization of weaknesses and threats, which can cause problems in the long run. From the point of view of the strategies at the company level, the aim was to obtain a competitive advantage in the market and to attract new clients. To create an edge over competition, Kandia Dulce has chosen diversification as a quality strategy. This is a dynamic and complex strategy that helps businesses to create new product lines with superior quality features. This strategy offers the advantage of retaining consumers as well as the opportunity to attract new customers. At the same time, by implementing this strategy, a competitive advantage was gained on the Romanian chocolate market by offering chocolate premium pralines at a lower price than competition. The trust of the customers will increase in time if they continue to offer good quality products at affordable prices (Boșcor, 2016). The quality of the products offered is one of Kandia Dulce company's priorities, as demonstrated by obtaining the ISO 22000 Food Safety Certification in 2005 and the desire to obtain certification in the near future for the implementation of the ISO 9000 quality management standard. ISO 22000 certification provides confidence in the quality and safety of manufactured products and contributes to improving the company's performance. A. MADAR: Removing the Pressure from Competition by using Diversification Strategy 105 For Kandia Dulce, customer satisfaction means getting to know the customers, listening to them, and inviting all staff to focus their attention on customer needs and satisfaction. The main means of customer interaction are: customer satisfaction analysis, investigation, complaint management, and marketing communication. The company promotes customer focus, continuous improvement of quality and the concept of "zero defects". Customers should be prompted to complain, as complaints are a precise source of instruction, and the enterprise has the interest in gathering information and proving corrective actions. The company successfully manages complaints, thus succeeding in improving product quality by correcting problems at different product stages and increasing the loyalty of customers who feel they are important to the business and that their opinion counts. In this way, the company recorded a 20% reduction in complaints in 2016 compared to 2015. The main objective of this strategy was to add a new product, chocolate pralines, to the company's product portfolio in order to increase customer satisfaction and market competitiveness. To achieve this goal, it was necessary to establish secondary objectives such as: - Developing a unique recipe for the new product; - Finding new suppliers of raw materials; - Ensuring advanced technology to achieve high quality products; - Achieving the new product with an appealing look for consumers. By achieving the secondary goals, the company has the opportunity to fulfil its main objective of achieving a new and innovative product that will renew the assortment range. The proposed deadline for the implementation of this strategy was six months, the time needed to acquire new machinery, recipes, market prospecting in order to find the best suppliers of raw materials and to develop the marketing strategy. The implementation of this strategy implied certain investments, ranging from research and development of the new product to the human resource. To achieve the proposed goal, Kandia Dulce followed closely the following steps: - Research and development of the new product; - Acquiring the necessary technology; - Purchasing the raw material needed for the new product; - Employee training; - Marketing activity. In order to create the new assortment of chocolate pralines, a higher effort was made by R & D employees who have been studying to find the best and most precise quantities of ingredients to give the new product the desired flavour and quality. Three months were needed to establish the final recipe. The implementation of the strategy implied investments for the purchase of the equipment and devices necessary to achieve the new product, which would provide the Bulletin of the Transilvania University of Braşov • Series V • Vol. 11 (60) No. 1 - 2018 106 texture and the established shape of the pralines. The following machines and devices were purchased: Machine with glazing device that allows the application of glaze in a perfectly uniform layer, without loss of raw material. This machine provides productivity for up to 100 glazed products in just 15 seconds. The large pan in which glazing is introduced eliminates the need for frequent loading, which significantly reduces the time the machine is not working. Praline formatting device featuring great productivity and ease of product development, fast cleaning at format change. This device also has a conveyor belt for products. The two machines are designed for large-scale production, such as Kandia Dulce. The company already owned a universal machine for packaging the products, so there was no need for a new one. The time for purchasing the machines was relatively short, with the company holding the necessary financial resources. In terms of raw material and materials, the company had to purchase boxes for packaging new products, cellophane for packing boxes, cocoa beans and other necessary ingredients. In order to acquire the best raw and auxiliary materials, the company carefully selected suppliers, also obtaining certain contract discounts, which led to lower production costs. In order to successfully implement the strategy, the company also invested in employee training, namely production, packaging and quality control, in terms of: - The operation and use of new machines; - How to pack new products; - How to control the quality of new products. An important aspect that the company has taken into account was marketing, especially promotional, to make the new products visible on the market and to convince as many consumers as possible to buy them. Knowing the importance of packaging as the first customer contact with the product, the company has created a package for this new product that combines ease of use and handling with eye-catching looks and complete product information. In order to differentiate itself from competition, a special message is written on each package of chocolate pralines, which can help any consumer to convey his good thoughts to those who are offered the product. Kandia Dulce company called on an advertiser to run a promotional campaign by informing potential customers about new products and giving them the opportunity to taste premiums before buying. 4. Results Investments for implementing this strategy are presented in Table 2. A. MADAR: Removing the Pressure from Competition by using Diversification Strategy 107 Table 2 The budget needed to implement the diversification strategy of the assortment range at S.C. Kandia Dulce Investment (euro) Praline formatting device 8,000 Machine with glazing device 6,000 Wages and bonuses for machine operators (6 months) 14,400 Employee training 250 Developing the promotion campaign 2,000 Total 30,650 5. Conclusions Some of the major producers to increase their competitiveness in the market have set their own strategies that ensure both quality standards imposed by law, and on the external market (Neacşu, 2017). Among the quality strategies, the diversification of the assortment is successfully applied by the big players. The diversification strategy has proved to be successful. Through the quality of pralines, the company has succeeded in introducing and keeping on the market these products, which are particularly popular, especially during holidays, when they are purchased to be given together with other gifts. Considering the investment of about 30,000 Euros for the strategy's elaboration and implementation and the fact that in the total chocolate products of the company, the pralines have about 15-20% (www.zf.ro) it can be said that the goal has been achieved and the company enjoys the benefits that this new product has brought. Regarding the external demand, the efforts to find new markets should be continued, as well as the endeavour to discover new market segments and to convince foreign consumers about the quality of Romanian products (Bărbulescu, 2017). References Băltescu, C.A., 2016. Culinary experiences as a key tourism attraction. Case study: Brașov. Bulletin of the “Transilvania” University of Brașov, Vol. 9(58), Series V, No.2, pp. 107-112. Bărbulescu, G., 2003. Food Science of Commodities. București: Editura Didactică și pedagocică, RA. Bărbulescu, O., 2017. Potential and risks in the Romanian wine industry. Bulletin of “Transilvania” University of Brasov, Vol. 10 (59), Series V, No. 1, pp. 195-202. Boșcor, D., 2016. Marketing strategies adopted by Romanian smartphones producers. Case study: Visual Fan. Bulletin of the “Transilvania” University of Braşov, Series V, Vol. 9 (58) No. 2, pg.37. Neacşu, N.A., 2017. Implementing quality strategies to increase competitiveness on mineral waters’ market. Bulletin of the “Transilvania” University of Braşov, Vol. 10 (59), No. 1, Series V, pp. 109. Bulletin of the Transilvania University of Braşov • Series V • Vol. 11 (60) No. 1 - 2018 108 Procopie, R., 2001. Science of Commodities Fundaments. [e-book] Available through: ASE Bucharest Library website ˂http://www.bibliotecadigitala.ase.ro˃ [Accessed 30 April 2018]. Todoruț, A.V., 2007. Quality Management, economic theory and practice. Craiova: Editura SITECH. VAULT, 2016. Mondelez International, Inc. at a Glance. [online] Available at: ˂ http://www.vault.com/company-profiles/food-beverage/kraft-foods-inc/company- overview ˃ [Accessed 31 March 2018]. Euromonitor International, 2017. Chocolate Confectionery in Romania, [online] Available at: ˂http://www.euromonitor.com/chocolate-confectionery-in romania/report˃ [Accessed 31 March 2018]. ZF-Companii, 2014. Georgescu, Kandia Dulce: Sales of chocolate have increased by 7-8% since the beginning of the year. Romanians buy sweets more than in the past, [online] Available at: ˂http://www.zf.ro/companii/georgescu-kandia-dulce-vanzarile- de-ciocolata-au-crescut˃ [Accessed 31 March 2018]. ˂ http://www.mfinante.ro/infocodfiscal.html˃ [Accessed 31 March 2018]. Food is a complex product that contributes to the needs of the body: it provides substances for its own synthesis, it ensures the need for energy and it maintains life. At the same time, it responds to some desires, therefore it also pleases man. ZF-Companii, 2014. Georgescu, Kandia Dulce: Sales of chocolate have increased by 7-8% since the beginning of the year. Romanians buy sweets more than in the past, [online] Available at: ˂http://www.zf.ro/companii/georgescu-kandia-dulce-vanzarile-de-ci... 
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work_vhzkiz7aqba7nnaziiksxfd4fy	----	POQ69(1).book(nfi001.fm) Public Opinion Quarterly, Vol. 69, No. 1, Spring 2005, pp. 2–29 doi:10.1093 / poq / nfi001 © The Author 2005. Published by Oxford University Press on behalf of the American Association for Public Opinion Research. All rights reserved. For permissions, please e-mail: journals.permissions@oupjournals.org. ELITE REVISIONISTS AND POPULAR BELIEFS CHRISTOPHER COLUMBUS, HERO OR VILLAIN? HOWARD SCHUMAN BARRY SCHWARTZ HANNAH D’ARCY Abstract According to revisionist historians and American Indian activists, Christopher Columbus deserves condemnation for having brought slavery, disease, and death to America’s indigenous peoples. We ask whether the general public’s beliefs about Columbus show signs of reflecting these critical accounts, which increased markedly as the 1992 Quincentenary approached. Our national surveys, using several different question wordings, indicate that most Americans continue to admire Columbus because, as tradition puts it, “he discovered America,” though only a small number of mainly older respondents speak of him in the heroic terms common in earlier years. At the same time, the percentage of Americans who reject traditional beliefs about Columbus is also small and is divided between those who simply acknowledge the priority of Indians as the “First Americans” and those who go further to view Columbus as a villain. The latter group of respondents, we find, show a critical stance toward modal American beliefs much more broadly. We also analyze American history school textbooks for evidence of influence from revisionist writings, and we consider representations of Columbus in the mass media as well. Revisionist history can be seen as one consequence of the “minority rights revolution” that began after World War II and has achieved considerable success, but the endurance of Columbus’s reputation—to a considerable extent even among the HOWARD SCHUMAN is a research scientist and professor emeritus at the University of Michigan. BARRY SCHWARTZ is a professor emeritus at the University of Georgia. HANNAH D’ARCY is an independent statistical consultant who previously worked for the University of Michigan’s Center for Statistical Consultation and Research. We thank Lawrence Bobo and Stanley Presser for stim- ulating us to do multiple validations, and we are grateful to the editor of Public Opinion Quarterly for recommendations that substantially improved our final presentation. In addition, we are much indebted for help during the course of the research to Virginia Hopcroft, Government Documents Librarian at Bowdoin College; Maria Krysan, University of Illinois at Chicago; Alyssa Miller, Evanston, Illinois; and Irina Poznansky, Departmental Librarian, Teachers College, Gottesman Libraries, Columbia University. Support for the research was drawn in part from a National Science Foundation grant (SES-0001844). Address correspondence to Howard Schuman; e-mail: hschuman@umich.edu. Elite Revisionists and Popular Beliefs 3 minorities who have the least reason to respect him—raises important questions about the inertia of tradition, the politics of collective memory, and the difference between elite and popular beliefs. The revolution in minority rights over the past half century has not only changed the attitudes of the American public regarding race, gender, and other social divisions, but has also spurred attempts to revise beliefs about important individuals and events from the past. For example, Abraham Lincoln is now viewed less as the savior of the Union—the emphasis during the Civil War and for more than half a century afterward (Blight 2001)—and much more for his actions in ending slavery (Schwartz and Schuman, forth- coming). A far more radical attempt to change American collective memory took place during the 1980s and 1990s: according to recent editions of the Columbia Encyclopedia,“the image of [Christopher Columbus] as a hero was tarnished by criticism from Native Americans and revisionist historians . . . [and] his voyages [came to] symbolize the more brutal aspects of European colonization and represent the beginning of the destruction of Native American people and culture” (“Columbus” 1993, p. 605; 2004a, p. 629). The assault on the meaning of Columbus’s landfall in 1492, especially as its 500th anniversary approached in 1992, was the starting point for our research on the relation between elite and minority revisionist ideas, on the one hand, and the col- lective memories preserved in the general public, on the other.1 The fact that the widely consulted Columbia Encyclopedia includes such words in the final paragraph of its entry on Columbus indicates that revision- ist efforts have made an impact well beyond a limited set of writers and American Indian activists. Indeed, revisionist ideas about Columbus are appearing even in a variety of writings for young children, with titles such as Encounter (Yolen 1992), Discovering Christopher Columbus: How History Is Invented (Pelta 1991); and Who Really Discovered America? (Hart 2001; Krensky 1987). It is also clear that attempts at the time of the 1992 Quincen- tenary to reinvigorate the traditional heroic view of Columbus were unsuc- cessful, as recounted in detail by two knowledgeable observers in the book Sinking Columbus (Summerhill and Williams 2000). Thus, it seemed possi- ble that the picture of America’s founding event, which developed over some two hundred years of commemorating Columbus’s 1492 voyage and landing, has been turned upside down for a large part of the public who had previ- ously been taught to think of both the man and the date in triumphal terms. 1. Publication in 1980 of the English version of Maurice Halbwachs’s Collective Memory provides a convenient way to date the start of a great wave of research on collective memory. Halbwachs (1980, 1992) believed that writers, artists, and institutional representatives inter- pret history for the masses, but he never asked whether their interpretative activities deter- mined or expressed the beliefs of the communities of which they were members. For a review of collective memory studies, see Olick and Robbins 1998; and also early chapters in Wertsch 2002. 4 Schuman, Schwartz, and d’Arcy Yet we know from a number of past studies that intense debates at the level of elites and political activists often do not stir the larger public. For example, Stouffer (1955) found that relatively few Americans in the early 1950s appeared greatly worried about either an internal communist menace or a McCarthy- inspired threat to civil liberties, even though Stouffer’s research itself had been funded by a major elite foundation because of just such concerns. More generally, Converse (1964) delineated sharp differences between elite and mass political beliefs in levels of knowledge, sophistication, and organization across a wide range of political ideas and issues. In another twist, during the Vietnam War, the growing opposition to American military involvement had a quite different basis in the general public than it did for activists on college campuses (Schuman 1972). Thus, one cannot simply assume that revisionist efforts and Indian protests have had much effect at all on public thinking about the meaning of 1492. Figure 1. © The New Yorker Collection 2003 Lee Lorenz, from www. cartoonbank.com. All rights reserved. www.cartoonbank.com www.cartoonbank.com Elite Revisionists and Popular Beliefs 5 After briefly describing both traditional and revisionist ideas about Columbus, we will focus on popular beliefs as measured in national surveys of Americans at the end of the 1990s. Our results show little sign of revisionist influence, but at the same time, the data do not support a traditional heroic picture of Columbus, and this calls for a distinct and unanticipated interpretation. Furthermore, even for the small number of Americans who reject the long- standing positive image of Columbus as “the discoverer of America,” it proves useful to analyze the difference in ideological outlook between those who simply recognize the priority of Indians as the first Americans and those who go further and characterize Columbus as a villain. Our next step involves a content analysis of school history textbooks in order to consider the trans- mission of revisionist ideas from the elite level to standard writings about American history that can produce actual or future change in the beliefs of the public. In addition, we consider evidence from newspapers, television, and films to obtain a sense of what was available to the public about Columbus from the mass media around the time of the 1992 Quincentenary. Our research bears on larger issues of stability and change in collective memories and of what has come to be called the politics of memory (Gillis 1994). Before the 1980s, many scholars had written about politics and memory, but in the 1980s they began to write systematically about the politics of memory. The more radical strand of this approach, exemplified by John Bodnar (1992), assumes “reputational entrepreneurship” (efforts to shape the image and renown of another) to be centralized and controlled by government and other elite authorities. A second strand that may seem more credible depicts history and commemoration as emerging out of a context of cross-cutting coalitions, net- works, and enterprises. The creation of the Vietnam Veterans Memorial (Wagner- Pacifici and Schwartz 1991), the Enola Gay exhibit at the Smithsonian Institu- tion (Zolberg 1998), the naming of streets (Alderman 1996), the artistic depiction of the winning of the West (Dubin 1999)—such events show how commemo- ration articulates and sustains decentralized power networks. Moreover, of the chain that connects power diffusion and memory in these “second strand” writ- ings, the strongest link is the study of “history from below.” Reactions against conventional historiography emphasize the positive qualities and contributions of marginalized peoples, based on the conviction that every minority is entitled to interpret the past in its own way—to create “countermemories”—without the interference of Eurocentric interpretation.2 By the 1970s, these movements had penetrated the academy and reshaped understandings of the past by giving the victims of history unprecedented attention (Schlesinger 1991; Taylor 1994). That historical texts and commemorative symbols change as elites and power distributions change has been well documented, but no case raises more sharply the issue of what effects such changes have on popular beliefs than does Columbus’s landfall in 1492, one of the most symbolically important 2. On countermemories, see Foucault (1977) and Zerubavel (1995). 6 Schuman, Schwartz, and d’Arcy events in all of American history. Examination of what has happened to beliefs about Columbus within the general public poses questions about the results of revisionist efforts and illuminates the forces that sustain long-held collective memories when they are attacked.3 Collective Memories and Countermemories of Columbus The first important commemorations of the 1492 landfall occurred on its 300th anniversary in 1792, when the discovery of America was called “the greatest event in the history of mankind since the death of our Savior” (de Lancey 1893). Columbus was seen as “the solitary individual who challenged the unknown sea . . . [and] was ultimately betrayed by royal perfidy, [but] as a consequence of his vision and audacity, there was now a land free of kings, a vast continent for new beginnings” (Wilford 1991, p. 252). Although he had never reached the North American continent, nor indeed understood what it was he had come upon, the phrase “Columbus discovered America” increasingly merged the landing in the Bahamas in 1492 with the birth of the United States itself (Koch 1996). Columbus continued to be idealized through the nineteenth and early twentieth centuries, as signified by the installation in 1847 of the great John Vanderlyn painting, The Landing of Columbus on San Salvador, in the rotunda of the U.S. Capitol, and the placement of other commemorative symbols in towns and cities across the nation (Groseclose 1992). A multivolume biogra- phy by the celebrated author Washington Irving characterized Columbus in terms of “the grandeur of his views and the magnanimity of his spirit. . . . Instead of ravaging the new found countries . . . he sought . . . to civilize the natives” (Irving [1828] 1981, p. 565). The eminent nineteenth-century historian William F. Prescott wrote that it would be “difficult to point to a single blemish in [Columbus’s] moral character” (1874, vol. 3, p. 254), and the 1492 voyage reso- nated with divine purpose in Walt Whitman’s 1874 poem “Prayer of Columbus”: “a message from the Heavens . . . / These sped me on” ([1874] 1982). The 400th anniversary of the landfall in October 1892 was celebrated over a year-long period, starting with “a grand civic parade of more than 80,000 participants led by the President of the United States and including the entire Cabinet, the Supreme Court, and most of the Congress” (West and Kling 1989, pp. 56–57). The year culminated in the spectacular World’s Columbian Exposition in Chicago, which drew over 27 million visitors and “produced an 3. There are certainly other examples of radical change in the reputations of celebrated individu- als and events. Charles Lindbergh was treated to hero worship after his solo flight to Paris in 1927, but by the beginning of the 1940s his celebrity status had almost completely vanished (Boorstin 1962). Warren G. Harding was highly regarded while he was president, but after his death his prestige fell as his supporters disappeared and others condemned him for scandals that occurred under his watch (Fine 2001). Recent Israeli scholarship has transformed the mass suicide at Masada, once regarded by Israelis as an event worthy of solemn commemoration, into an object of indifference at best (Ben-Yehuda 1995). None of these examples, however, concerns a long- established collective memory under assault in quite the same way as is true for Columbus. Elite Revisionists and Popular Beliefs 7 unparalleled surge of creative energy that had an important influence . . . on the cultural values of the nation” (Columbia Encyclopedia 2000, p. 3108). The inaugural orator spoke of “the crowning gift to humanity from Columbus . . . in search of a great land”—identified with the United States—and the official history of the exposition declared Columbus “the greatest human benefactor of the human race” (Johnson 1897, vol. 1, p. 2). Having started as a symbol of American individualism and progress, Columbus then became an ethnic hero as well, with Italian Americans playing a major role in turning Columbus Day into a full federal holiday in 1968. But ironically, his enshrinement in the federal calendar occurred just as his reputation was caught “in a riptide of conflicting views of his life and his responsibility for almost every- thing” wrong that could be linked to 1492 (Wilford 1991, p. 247). In 1973 the geographer and historian Alfred Crosby wrote of the havoc produced by diseases that Europeans brought to Native Americans. A broader critical book in 1975 by historian Francis Jennings bore its thesis in its title: The Invasion of America. Probably the most widely read early attack appears in the opening chapter of Howard Zinn’s (1980) A People’s History of the United States, which depicts the events of 1492 from the standpoint of Indians and emphasizes their oppression by Columbus and his successors. Zinn’s book has sold more than a million copies (personal report by the author), is owned by approximately 4,000 libraries (World- cat database), and has been translated into Spanish and 11 other languages. Also important in terms of popular impact was James Loewen’s The Truth about Columbus, a detailed summary of revisionist thinking for students, published in the Quincentenary year of 1992. Much of the book then appeared three years later as a chapter in Loewen’s Lies My Teacher Told Me (1995), which has had sales of more than half a million copies (author’s report). Moreover, in addition to the major focus on injustice toward Indians, Columbus has been connected to the despoiling of the natural environment, “now threatening . . . the existence of the earth as we have known it and the greater proportion of the species, including the human” (Sale 1990, p. 4). There were counterattacks against revisionist critiques as well (e.g., Royal 1992), but even such defenses of Columbus’s reputation showed that he was no longer an undisputed hero.4 4. It is important to recognize that revisionist views of Columbus did not result mainly from the discovery of new facts, but from attention to and reappraisal of information already available. A hundred years earlier at the time of the 400th anniversary, Justin Winsor published a book that characterized Columbus quite negatively: for example, Columbus “had no pity for the misery of others . . . [consigning Indians] to the slave market” (Winsor 1891, pp. 505–6). Moreover, much of Winsor’s information came from a manuscript written in the early sixteenth century by a close observer of the Spanish colonization of the Americas, Bartolomé de las Casas (1974, 1992), who admired Columbus as a navigator but was highly critical of his and other Spaniards’ treatment of the Indians. (See Axtell 1995 and Phillips and Phillips 1992 on early criticisms of Spanish actions.) Even Samuel Eliot Morison’s (1942) widely acclaimed biography includes such nega- tive information, though the criticisms are overshadowed by the book’s focus on Columbus as a great mariner. We have not attempted to cover here the specialized scholarly writing stimulated by the Quincentenary, much of which is neither idealizing nor completely revisionist in tone and content. For comprehensive reviews, see Axtell 1992, 1995; Lunenfeld 1992. See also Zerubavel 1992 for a different perspective on the meaning of “Discovery of America.” 8 Schuman, Schwartz, and d’Arcy Even earlier than the main revisionist writings and at least as important was the influence of the civil rights movement during the 1960s. With the growing emphasis on black power and black identity, other minorities with long-held grievances against the white majority came to the fore (Rhea 1997; Skretney 2002). In particular, the rise of “red power” ideology at the end of the 1960s (Nagel 1995) challenged white views broadly, and one effect was to question the assumption that Columbus Day was an occasion for celebration. Instead, Columbus’s destruction of native peoples and culture was said to call for condemnation. Then, as Indian and scholarly critiques came together, rein- forced by the anticolonial sentiments that had developed in the wake of World War II, major organizations with a much wider reach began to express guilt over what Columbus represented. For example, the National Council of Churches, which includes 36 denominations with more than 50 million mem- bers, passed a lengthy resolution in 1990 that included, among other similar statements: “For the indigenous people of the Caribbean islands, Christopher Columbus’s invasion marked the beginning of slavery and their eventual genocide.” “For the Church,” the resolution announced, “this is not a time for celebration” (National Council of Churches 1990). Criticism of Columbus has also made its way into the mainstream media, for example, appearing promi- nently in an episode in 2003 of the popular television drama The Sopranos. The 500th anniversary in 1992 offered an opportunity for reviving a posi- tive image of Columbus. He could have been portrayed as the embodiment of individualistic and adventurous enterprise, as he had been in the nineteenth century (Phillips and Phillips 1992), perhaps now stressing a connection to the recent triumph of American capitalism over Soviet communism. But it was exactly in 1992 that revisionist criticism and the active protests of Native Americans peaked. Within elite groups that attempted to mount celebrations, there were conflicts, doubts, and trepidation over controversy, and few if any commemo- rations were successful (Summerhill and Williams 2000). A Smithsonian exhibit for the Quincentenary leaned over backward to present negative as well as positive views of Columbus and to focus less on the man than on diseases, foods, and other indirect effects of 1492—informative, but unlikely to inspire commemorative enthusiasm at all similar to that of 1892. “The most striking difference between the fourth and fifth Columbian centenaries,” one observer noted, “[was] that native Americans a century ago were relegated to the foot- notes while today they not only dominate the text but have begun to rewrite it” (Axtell 1992, p. 337). College campuses were major sites for protests against positive commemor- ation of Columbus. We located six college newspapers from October 1992: those at Bowdoin College, the University of Georgia, the University of Illinois in Chicago, the University of Michigan, the University of Oregon, and San Francisco State College. Each contained at least one article damning Columbus or reporting a local protest. Although hardly a random or large sample, the six are diverse enough to suggest that something similar probably occurred on Elite Revisionists and Popular Beliefs 9 many nationally known campuses at the time of the Quincentenary. In the years since 1992, campus demonstrations against Columbus Day have contin- ued, some led by American Indians and others by interested non-Indian students. A search of the Lexis-Nexis Academic Universe Campus News database identified 60 mentions of Columbus Day between 1997 and 2000, 55 of which dealt with campus protests of one sort or another. Thus, social scien- tists on campuses have been among those most fully exposed to revisionist criticisms and protests, a point we return to later when we consider the expect- ation that revisionist ideas are widely known and accepted. Collective Memory at the Individual Level To explore recent beliefs about Columbus, we asked a basic open-ended question to a national sample of 1,511 Americans in 1998, six years after the peak of criticism and protest during the 500th anniversary of the 1492 land- fall. In keeping with the assumption that collective memories are ordinarily passed from one generation to another, our question (after pilot work to check for its acceptance and comprehension) was: Suppose a nephew or niece about 14 years old had just heard some mention of Christopher Columbus and asked you to explain what Christopher Columbus had done. What would you say in just a few words? The indirect phrasing avoided having the question appear to be a threatening test of personal knowledge, and interviewers were instructed to reassure hesi- tant respondents that there were no right or wrong answers, “just whatever you would say to a young person to explain what Christopher Columbus had done.” Interviewers were to record the responses verbatim and to probe non- directively where clarification was needed.5 5. The question was asked toward the end of the University of Michigan Survey Research Center (SRC) Monthly Survey. Each month SRC uses random digit dial (RDD) sampling to obtain a tele- phone cross-section of approximately 300 new adults age 18 and older, with a then current response rate averaging 60 percent, using the response rate 4 calculation method described in American Association for Public Opinion Research (AAPOR) Standard Definitions (AAPOR 2000). The Monthly Survey also reinterviews approximately 200 cases from the RDD sample from six months earlier (all those who are willing to be reinterviewed, which averages 80 percent of the original samples). A description of the sample design can be found online at http:// www.umich.edu/~umsurvey (see also Curtin, Presser, and Singer [2000] on the lack of bias due to nonresponse). Our question was included in three successive months (September to November) to provide a total N of 1,511, using both RDD and reinterview respondents; the latter were also new to our inquiry. There are rarely differences found between the two components of the total sample, and our results hold throughout with controls for the RDD and reinterview samples, excepting one minor instance probably due to chance. Our data are not weighted for household selection or demographic census figures because weighting changes the percentages in table 1 by no more than 1 percent. (See also DuMouchel and Duncan 1983 on not weighting data for regres- sion analysis.) http://www.umich.edu/~umsurvey http://www.umich.edu/~umsurvey 10 Schuman, Schwartz, and d’Arcy After reviewing a sample of responses and taking into account our theoretical purposes, we developed the set of categories shown in table 1, along with the percentage of responses in each category.6 The categories are ordered from the most positive beliefs about Columbus (Heroic Traditional) to the most negative (Villainous Columbus):7 1. Heroic Traditional: These responses stated or implied that Columbus discovered America and also included something especially admirable about Columbus. For example: “[He] had the courage and enterprising spirit to go on uncharted territories.” 2. Simple Traditional: Most of these responses consisted essentially of the words “He discovered America,” and others were variants (e.g., added references to Columbus’s three ships). The responses differ from those coded “Heroic Traditional” in that they do not explicitly mention admir- able personal qualities of Columbus, though they are not at all negative. 3. Other Europeans: The remaining three categories in table 1 challenge the traditional view of Columbus as “the discoverer of America” in increasingly critical terms. The mildest and least novel category, 6. Omitted from table 1 are five nonsubstantive codes. The largest is Don’t Know (DK) (N = 74): respondents who said they did not know enough about Columbus to answer the question. A sec- ond omission (N = 60) consists of vague positive responses that were not codable into one of our main categories. The three other omitted categories are 54 respondents who gave uninterpretable responses or rejected the question; 12 who insisted they would send the youth to the library; and 6 who gave completely incorrect answers (e.g., “He was our president”). The mean education for each of these five categories is lower than for all the substantive categories in table 1, with the DK respondents the lowest of all (mean of 10.7 years, whereas the lowest educational level in table 1 is 13.8 for Simple Traditional responses). The total of the five nonsubstantive categories, 206, subtracted from 1,511, gives the base N of 1,305 in table 1. (That nearly 14 percent of the original sample seemed unable to give a substantively codable response reminds us that a small but non- trivial part of the population does not hold any meaningful beliefs about Columbus.) 7. Initial coding was done by one author, then all responses that were considered nontraditional, combined with a random selection of 300 traditional responses, were coded by a second person to assess inter-rater reliability, yielding Cohen’s Kappa of 0.86 (p < .001), which indicates very good agreement. Discrepancies typically involved borderline responses between adjacent catego- ries and were resolved by consensus. In addition, we repeated our main analysis using only responses for which there was complete agreement, and none of our conclusions changed. Table 1. Beliefs about Columbus Category Description N % 1 Heroic Traditional Columbus 81 6.2 2 Simple Traditional Columbus 1,105 84.7 3 Other Europeans 43 3.3 4 Indians Already Here 29 2.2 5 Villainous Columbus 47 3.6 Total 1,305 100.0 Elite Revisionists and Popular Beliefs 11 “Other Europeans,” refers to others who have been said to have reached the western hemisphere prior to Columbus. For example: “Actually the Vikings were here first.” Since high school texts going back at least to the 1930s noted evidence of pre-Columbian landings by Vikings, such responses do not reflect recent revisionist criticism of Columbus. For that reason, along with their small number, we will not focus on this category, though we continue to include it when reporting tabular results. 4. Indians Already Here: These responses provided a clear critique of the traditional view of Columbus with the assertion that he could not have “discovered” America because the people he named Indians were already here. For example: “They say he discovered America but he didn’t, the Native Americans did.” Such responses reject the Simple Traditional view of Columbus as “the discoverer of America,” but they offer no explicit criticism of him or of his treatment of Indians, which has been the main emphasis of the revi- sionist position. 5. Villainous Columbus: Finally, there were responses that not only rec- ognized the priority of the American Indians, but that also portrayed Columbus in ways consistent with attacks by revisionist historians and Indian activists. This was the most important category in terms of our theoretical focus on the effects of revisionist criticisms. For example: “[H]e met up with Native Americans and he slaughtered them.” (Occasional answers noted that Columbus was brave but then criticized him severely in ways that clearly fit the Villainous category. With such mixed responses, we coded in the more negative direction in order to obtain a maximum estimate of revisionist influence.) R E S U L T S Our first major finding was that 85 percent of this national sample gave Simple Traditional answers (category 2) that basically described Columbus as the “discoverer of America.” Only 6 percent were more laudatory and gave Heroic responses; at the other extreme, fewer than 4 percent character- ized Columbus in the Villainous terms advanced by revisionist writers and protestors, and another 2 percent acknowledged the priority of the Indians, for a total of just under 6 percent who held revisionist beliefs broadly defined. Because so few respondents were either clearly positive or clearly negative, we wondered if our survey question had failed to capture fuller sentiments about Columbus. We repeated the question in a new monthly survey (N = 126) 12 Schuman, Schwartz, and d’Arcy in August 2000, omitting the phrase “in just a few words,” in case those words had constrained answers unduly. But neither the overall distribution nor any of the categories changed significantly (p >.10) or even in tendency. It still seemed possible that our inquiry was deficient by not encouraging respon- dents to go beyond an initial remembered cliché from childhood about the “discovery of America.” Therefore, we repeated our initial question once more in October 2000 (N = 130) (again, without the “few words” phrase) and then pressed respondents harder with a mandatory follow-up inquiry: “Can you add anything else important about Columbus or about what he did?” To this additional question, more than half the respondents (N = 70) said they could add nothing more, but enough did respond further to change the table 1 distribution somewhat. It now had fewer Simple Traditional responses, though they still constituted 68 percent of the total. The largest increase was in the direction of Heroic responses (now 12 percent of the total); the main revision- ist category of Villainous Columbus increased to 8 percent; and the Indians Already Here code scarcely moved (now 3 percent). Thus, by pushing respon- dents quite hard to go beyond their initial response, we raised slightly the sev- eral nontraditional answers, but clearly positive (Heroic) or negative (Villainous) responses remained a very small minority. Since we were still not completely satisfied that our open-ended inquiry captured the full extent of revisionist influence on ordinary Americans, we decided to take a more direct approach aimed at clarifying the Simple Tradi- tional responses that constituted by far the largest category of answers and that seemed on their face positive, though not laudatory, about Columbus as the discoverer of America. To test whether such responses were in fact unin- fluenced by recent criticisms of Columbus, we repeated our standard open inquiry in February 2002, then followed it with a blunt closed question to all those classified as Simple Traditional responders: “Do you think young Americans should admire Christopher Columbus?” This emphasis on the key word “admire” failed to reduce positive views of Columbus appreciably: of the 478 respondents who gave Simple Traditional responses to the initial question in this new sample, the great majority, 81 percent, said “yes,” young Americans should admire Columbus; and if we restrict our focus to white respondents (N = 433), the figure is 87 percent. In addition, the small proportion who said “no” to the admiration question were asked: “Why not?” Of the 13 percent of white respondents who had said either “no, should not admire” or simply “I don’t know,” more than half gave reasons that did not reflect primary revisionist criticisms, for example: “If he hadn’t done it, someone else would have.” Thus, despite a leading question that invited respondents to indicate whatever reservations they might have about Columbus, only a handful showed signs of revisionist influence. In the analysis that fol- lows, we work with the original large sample shown in table 1, treating the supplementary tests as not different enough to change analytic findings appreciably. Elite Revisionists and Popular Beliefs 13 In sum, beliefs of Americans about Columbus, assessed after the height of revisionist writing and protests, point to continued regard for him as “the discoverer of America,” which in turn is seen in positive terms. At the same time, since only a small percentage of Americans spontaneously attribute heroic qualities to Columbus in response to our basic open question, this also calls for explanation, the more so since revisionist criticism evidently had little impact on most people. Thus, we have two distinct issues to inves- tigate further: First, why is there so little evidence of effects on the American public of the many revisionist attacks on Columbus? Second, why is the continued positive belief in Columbus as discoverer of America not accompanied by more explicit characterizations of him in heroic terms? White Americans: Hypotheses, Findings, and Interpretations We will focus mainly on white Americans, since it is primarily for whites, not minorities, that revisionist critiques are written, though we also report briefly at a later point on minority respondents. Although most (86 percent) white Americans gave Simple Traditional answers that viewed Columbus simply as the discoverer of America, we expected the smaller categories in table 1 to show discernible relations to age or education or both. If there has been a decline in heroic characterizations of Columbus within American culture, the oldest respondents in our sample should con- tinue to express a more heroic view of Columbus that they had absorbed when growing up in an earlier era. Likewise, younger respondents should be more influenced by the recent revisionist attacks on Columbus, espe- cially if we take seriously Mannheim’s ([1928] 1952) emphasis on adoles- cence and early adulthood as critical ages for political learning. Greater education should also be associated with more critical views of Columbus, since awareness of revisionist ideas depends at least in part on reading or attending to serious media. The evidence for testing these hypotheses is provided in table 2, which reports results from a multinomial logistic regression of beliefs about Columbus on age and education. All five cate- gories from table 1 are included, with the numerous Simple Traditional responses as the reference category with which the other categories are compared.8 8. Age is treated as continuous, ages 18 and up. Education is treated as a five-level continuous variable: 0–11, 12, 13–15, 16, 17+ years of schooling. Race/ethnicity was self-reported and is used here, and also later in table 3, to identify white respondents. We neither hypothesized nor found significant associations involving gender or region and therefore do not report such data. 14 Schuman, Schwartz, and d’Arcy H E R O I C T R A D I T I O N A L R E S P O N S E S The most reliable finding in table 2 is that older cohorts are more likely than younger cohorts to hold a Heroic rather than a Simple Traditional view of Columbus (odds ratio > 1.25, p = .003). This provides evidence of a decline over time in honorific characterizations of Columbus. (An alternative inter- pretation in terms of “aging” lacks plausibility here, and the aging-conservatism assumption has been challenged more generally; e.g., Danigelis and Cutler 1991; Glenn 1974; Riley, Foner, and Waring 1988; see also Alwin 1997.) There is no relation of Heroic responses to education, nor any sign of an interaction of age with education in a separate analysis; thus, only cohort experience appears to be involved in this decline in the glorification of Columbus. Presumably, the relation would be even stronger if our sample included respondents who had grown up around the time of the 400th anni- versary in 1892. However, given the paucity of Villainous responses, the decline in Heroic responses is unlikely to be due to revisionist efforts, and a different explanation is called for. Schwartz (1998) has documented an erosion of historic reputations that affects collective memories of past U.S. leaders generally. In addition to a loss of trust in government that grows out of failures in the Vietnam and Water- gate periods, there appears to be a continuing decrease in historic reputations, perhaps promoted by television and now the Internet, which expose America’s historical narrative to more widely held skepticism than in earlier days (e.g., Stewart, Karlin, and Javerbaum 2004). The waning of spontaneous heroic characterizations of Columbus—despite a continuing belief in his being the Table 2. White Beliefs about Columbus by Age and Education NOTE.—This table is based on multinomial logistic regression, with Simple Traditional responses treated as the reference category. OR = odds ratio; CI = confidence interval. Odds ratios for age pertain to an increase of 10 years. Education is measured using five categories, as explained in the text; odds ratios pertain to an increase of one education level. The confidence intervals apply to the odds ratios, having been computed initially for the beta values and then exponentiated. Significant effects are highlighted by boldface. Overall table p-values for age and education are .004 and .042, respectively. Response Predictor OR 95% CI p Heroic Traditional Columbus Age 1.25 1.08, 1.45 .003 Education 1.14 0.92, 1.41 .238 Other Europeans Age 1.06 0.86, 1.31 .602 Education 1.09 0.80, 1.48 .591 Indians Already Here Age 0.74 0.51, 1.08 .121 Education 1.76 1.09, 2.82 .020 Villainous Columbus Age 0.82 0.65, 1.03 .093 Education 1.31 0.97, 1.77 .079 Elite Revisionists and Popular Beliefs 15 discoverer of America—fits well with a general diminution of past heroic rep- utations in the eyes of the larger public. R E S P O N S E S C R I T I C A L O F C O L U M B U S Since revisionist attacks on Columbus date from the 1970s and especially from the years leading up to the Quincentenary, it should be younger respondents who show the two more critical answers, Indians Already Here and, especially, Villainous Columbus. Both categories do reveal nonsignificant trends to be given more by younger cohorts, but contrary to our expectation, the relation appears slightly weaker rather than stronger for the more critical type, the Villainous category. Since the two categories are conceptually similar insofar as both assume that Indians were the first Americans, and since both show the same trends in relation to cohort, it is reasonable to conclude that younger cohorts are more likely to emphasize Indians as the first Americans (if the com- bined two categories are regressed on age, p = .03). But cohort does not account for the additional negative content of the Villainous responses. Similarly, greater education is related to giving both types of nontraditional responses, but slightly more so for Indians Already Here than for the more extreme Villainous answer.9 The problem of accounting for the highly negative nature of Villainous responses thus remains. Because of their extremely critical content, their tiny proportion in the total population, and their lack of a distinctive connection to cohort, education, and other demographic variables, we hypothesized that such answers draw on a more general negative attitude toward conventional American verities. We tested this hypothesis by using a standard question asking respondents their religious preference: Protestant, Catholic, Jewish, Other, or None.10 Those who say “none” are individuals who reject the widely accepted norm in the United States of claiming an attachment to some religious faith. Dwight Eisenhower famously stated the norm a month before his inauguration as the 34th U.S. president: “our form of government has no sense unless it is founded in a deeply religious faith, and I don’t care what it 9. We explored the cohort effect further by plotting both the Heroic category and the Indians Already Here/Villainous combination against the full cohort variable (ages 18 to 97), with educa- tion controlled. With very few exceptions, cohorts born before 1948 are more likely to give Heroic responses than those born after 1948, and those born after 1948 are more likely than those born before 1948 to give the combination of Indians Already Here and Villainous responses. Fur- ther, within neither grouping (pre-1948 or post-1948) do we detect any additional association with birth year, nor does changing the dividing point from 1948 by a year or two in either direction alter these conclusions. To interpret the pattern, note that a respondent who was born around 1948 reached early adulthood in the late 1960s—years that saw considerable political disenchantment and the development of a larger counterculture. It was a time when traditional symbols were chal- lenged, and also a time of growing attention to the concerns of minorities. 10. The religious preference question had been asked only of the RDD component of our sample: N = 857, of whom 625 are both white and included in the present analysis, with N = 72 for no preference and N = 553 for some stated preference. 16 Schuman, Schwartz, and d’Arcy is.”11 The hypothesis is clearly supported when we add self-reported religious preference to the regression reported in table 2, which also controls for age and education. Responses classified as Villainous Columbus show a very large and highly significant association in the predicted direction for the dichotomy of No Religious Preference versus all others (Protestant, Catholic, Jewish, Other combined): odds ratio = 7.75, p < .0001. Moreover, there is no relation of that dichotomy to any of the other Columbus categories in table 2 (p > .40 in all comparisons), so the impact of rejecting a religious preference is solely on the Villainous category. These findings provide strong evidence that among white respondents, the characterization of Columbus as villainous draws on a larger receptivity to non-normative beliefs generally, presumably in a liberal or radical direction. Additional evidence for both the liberal and unconventional meaning of expressing “no religious preference” comes from the General Social Survey (GSS), which regularly asks for religious preference and also includes various questions about social and political issues (Davis, Smith, and Marsden 2001). We located four GSS questions where only a small proportion of respondents (15 percent or fewer) deviate from the modal response in what would usually be considered a liberal, radical, or at least unconventional direction (GSS mnemonics in parentheses): 1. protesting a government action can legitimately involve occupying government offices to stop work there for several days (PROTEST4); 2. the right of a person to end his/her life if tired of living and ready to die (SUICIDE4); 3. not very proud or not proud at all of American history (PROUDHIS); and 4. adultery is wrong only sometimes or not wrong at all (XMARSEX). On each of these questions, No Religious Preference respondents answer in the deviant direction shown here, with the difference in each case highly significant (p < .001).12 T H E V I E W S O F A M E R I C A N M I N O R I T I E S Indians should be the single group most likely to perceive Columbus in villainous terms (e.g., Deloria 1969), and despite their very small number in a national sample, that is clearly the case shown in table 3: 42 percent give Villainous 11. Emphasis added. Remarks made at the Freedom Foundation, New York City, December 22, 1952, as obtained from the Eisenhower Presidential Library, Abilene, KS. 12. These results are based on whatever years a particular attitude question had been asked by the GSS, with comparisons limited to white respondents to match the analysis of the Columbus data. In addition, on a 0 to 100 point scale on which respondents rate their feelings about “liberals,” No Religious Preference respondents (9 percent of the total cumulative sample) average 7 points higher than Some Preference respondents (Protestant, Catholic, and Jewish combined). The oppo- site holds for ratings of “conservatives,” with No Preference respondents averaging 10 points lower than those with Some Preference. For both comparisons, p < .001. Elite Revisionists and Popular Beliefs 17 responses, as compared to less than 4 percent of any of the other three groups (most importantly, Indians versus whites: p < .001). In addition, African-Ameri- cans seemed unlikely to identify with white heroes, and indeed they are less likely than whites to give Traditional descriptions of Columbus (p < .001), though their distinctive choice emphasizes Indians as the first Americans. Both of these differ- ences fit expectation, but it is important to note that half the Indian sample and some 84 percent of the black sample fall into the first two traditional positive cate- gories; thus, even for the two racial/ethnic groups most likely to be receptive to revisionist ideas, the impact of such ideas has been far from complete. Consideration of Hispanic responses led in a different direction, for there was considerable Hispanic involvement in planning the Quincentenary celebration because of its connection to Spain. Furthermore, both de la Garza, Falcon, and Garcia (1996) and Rosenzweig and Thelen (1998) report that Mexican-Americans (the only Hispanic group they studied) are at least as conventionally patriotic as whites and are quite different in this respect from blacks and American Indians. Indeed, in table 3 we see Hispanic respondents’ holding traditional rather than critical views of Columbus, and they even show a nonsignificant trend (p = .13) toward a higher percentage of Heroic responses than whites.13 The Transmission of Revisionist Influence to the Public In order to explore further the connection between elite revisionist ideas and our individual-level findings, and at the same time to estimate the likely influ- ence of such ideas in the future, we examined a major institutional vehicle through which new ideas reach the general public: American history text- books. If we accept Yerushalmi’s (1982, p. xv) thesis that “collective memory 13. Omitted from table 3 are 26 respondents categorized as “Asian,” since we had no hypothesis about their answers. Their distribution turns out to be statistically indistinguishable from the white distribution in table 3. (They are included in table 1, but not in later analyses.) Table 3. Beliefs about Columbus by Race/Ethnicity White (%) Hispanic (%) Black (%) Indian (%) 1. Heroic Traditional Columbus 6.4 11.0 1.8 0.0 2. Simple Traditional View 86.1 78.1 81.8 50.0 3. Other Europeans 3.0 4.1 3.6 8.3 4. Indians Already Here 1.4 4.1 9.1 0.0 5. Villainous Columbus 3.2 2.7 3.6 41.7 Total 100 100 100 100 (N) (1,069) (73) (110) (12) 18 Schuman, Schwartz, and d’Arcy is not a metaphor but a social reality transmitted and sustained through the conscious efforts and institutions of the group,” then such texts are probably the single most important medium through which a society transmits and legitimizes what to believe about the past. We collected the pages on Christopher Columbus from all high school his- tory textbooks dating from the mid-1940s through the 1990s (N = 55) that could be located in the Teachers College Library at Columbia University, which maintains the most complete collection of textbooks in the country.14 We used the index in each book to find all pages dealing with Columbus and then identified two kinds of statements: evaluations of Columbus or his actions and evaluations of the American Indians he met. The statements were copied into a table and then coded as follows:15 Pos: Columbus/Indians characterized positively, as would be viewed today (e.g., Columbus described as brave or as the source of positive Ameri- can development; Indian culture described positively or Indians seen as the “first Americans”). Neg: Columbus/Indians characterized negatively, as would be viewed today (e.g., Columbus takes captured Indians to Spain; Indians called child- like or savage). Unclear: No clear characterization of Columbus/Indians is provided. The percentages of positive and negative codes for Columbus by decade are shown in table 4. For example, of the eleven books from the late 1940s and 1950s combined, ten or 91 percent were coded as having a positive statement about Columbus, three or 27 percent, a negative statement, and one or 9 per- 14. For a general assessment of American history textbooks, see FitzGerald (1979) and Loewen (1995); the former is organized chronologically and the latter topically, though neither uses sys- tematic coding to examine trends over time as we do here. Our analysis covers a span that begins well before what FitzGerald considers the most important period for change in content—the middle and late 1960s—and extends for more than two decades beyond the date of her book. 15. Overall agreement between two independent coders was 93 percent. Readers can obtain the full table of quotations and codes from the authors. Table 4. Results of Content Analysis of High School Textbooks: Evaluations of Columbus by Decade NOTE.—Since a book could be coded for both positive and negative evaluations, the percent- ages in a column may add to more than 100 percent. Year 1944–59 1960s 1970s 1980s 1990s Positive 91% 83% 17% 40% 80% Negative 27% 17% 42% 50% 50% Unclear 9% 17% 58% 30% 0% (N of books) (11) (12) (12) (10) (10) Elite Revisionists and Popular Beliefs 19 cent had no characterization. (We use the number of books as the base N in all calculations; percentages need not add to 100 since both positive and negative characterizations could occur in the same book.) The overall pattern for Columbus in table 4 appears curvilinear, starting off as predominantly posi- tive, moving in the 1970s to much more negative characterizations, and then recovering a more positive view in the 1980s and 1990s, though these two decades continue to include negative statements as well. Despite the small number of decades and limited number of books per decade, a logistic regres- sion of positively coded books (versus all others) on decade yields a highly significant quadratic effect (b = .82, p = .002), consistent with the observed curvilinearity. (We also examined the codes with five-year intervals and reached the same conclusions as with decades.) Thus, Columbus’s reputation suffered considerably in the texts published in the 1970s, but then moved to a more “balanced” portrayal in both positive and negative terms during the last decades of the twentieth century. The pattern for characterizations of American Indians is simpler, and since there are no books that are coded both positively and negatively, the percent- ages in table 5 add to 100. Positive characterizations increased from zero before 1960 to above 50 percent in the 1970s, and they have remained close to that level. Negative characterizations began at a middling level—no higher because Indians were rarely mentioned at all in the earlier decades—then disappeared completely in the 1980s and 1990s. The trend is generally con- sistent and is also significant for positive responses versus all others, linear b = .56, p = .02. Qualitative review of the quotations supports the quantitative results. Passages appearing in the 1940s and 1950s, for example, speak of Columbus in terms of vision and sacrifice, describe him as a hero, and refer to his “great service to civilization.” In those early decades, when Indians appear at all, they are described as “half naked savages” or as “childlike.” By the 1970s, different Indian tribes begin to be discussed in geocultural terms rather than as merely a welcoming party for Columbus. Increasingly, the texts state that the Indians were really the “first Americans.” The 1970s also saw more negative pictures of Columbus, as in one book’s characterization of European explorers Table 5. Results of Content Analysis of High School Textbooks: Evaluations of American Indians by Decade Year 1944–59 1960s 1970s 1980s 1990s Positive 0 25% 58% 40% 50% Negative 36% 42% 8% 0% 0 Unclear 64% 33% 33% 60% 50% (N of books) (11) (12) (12) (10) (10) 20 Schuman, Schwartz, and d’Arcy (including Columbus) as “shameful,” and another’s tongue-in-cheek account of an American Indian who steps off an airplane and “discovers” Columbus’s birthplace of Italy. In more recent years, Columbus himself continues to be seen as courageous and skillful and thus deserving of praise, but there is also recognition of the destruction that he and his successors (not always clearly distinguished) perpetrated on Indians and their cultures.16 Stimulated by Frisch’s (1989) observation that beliefs about the past may be laid down at early ages, we also examined a set of 18 “social studies” texts intended for elementary-level schools. Within the limits posed by their mis- cellaneous character and smaller sample size, they present much the same trends as the high school texts, and indeed there were two books from the mid- 1960s that already showed signs of change. Like the upper-level history text- books, they present an increasingly positive picture of Indians and a mixed, positive/negative picture of Columbus. We cannot connect survey respondents directly to the textbooks and related instruction by teachers that they received, but in the aggregate we expect the part of the American population that went through middle and high schools from the 1970s onward to have somewhat different views of both Indians and Columbus than older cohorts. In an approximate way this fits the findings in the survey data that indicate among younger cohorts some erosion of heroic coloring to Columbus and some increased belief in Indians as the “first Americans,” though the evidence for these changes was modest. M A S S M E D I A We looked for evidence in the mass media for both traditional and revisionist views of Columbus, with virtually all of it prompted by the 500th anniversary in 1992. The Readers’ Guide to Periodical Literature yielded 62 relevant articles in 1992, far more than in the previous ten years. Fourteen of the articles were positive with regard to Columbus’s reputation, nine were negative, nine were mixed positive/negative, and the rest simply used the Quincentenary as a peg for writing that had little or nothing to do with the controversy, for example, astron- omy (Scientific American), food (Gourmet), and travel (National Geographic). We also searched the nation’s leading newspaper, the New York Times, and found that it published 50 stories in the 1980s and 1990s that referred to the Quincentenary: 18 dealt with or at least mentioned revisionist or Indian criti- cisms, but the rest were entirely positive (for example, describing replicas of Columbus’s ships that were due to arrive in the New York harbor). The Washington Post had some 24 stories, half entirely positive, half with at least 16. Viking voyages to the western hemisphere are mentioned in 31 of the 55 books, with no rela- tion to publication date. This acknowledgment of pre-Columbian discoverers could have been widely known to those who had a high school education more than a half century ago. The rela- tively small number of mentions of “Other Europeans” in our national survey suggests that such information did not make a great impression on the general population. Elite Revisionists and Popular Beliefs 21 some mention of negative concerns, while somewhat surprisingly the Chicago Tribune (1985–1996) had 12 of its 14 stories at least mention criticisms of Columbus. Drawing on the Lexis-Nexis archive of newspapers from some twenty other American cities (for example, Houston Chronicle, Denver Post), we searched ten of these using the keywords “Quincentennial” and “Quincentenary.” Overall, 66 articles touched on Columbus; the largest number simply noted a local plan for a “Columbus Day Celebration” without further comment. Some local protests were reported, though they were seldom given major play. The Vanderbilt Television News Archive yielded eleven brief stories from the three national news networks in 1992. Four were positive accounts of the arrival of replicas of Columbus’s ships in New York harbor. The others concerned the controversy over Quincentenary celebrations, though most of these included replies to criticisms of Columbus. A series of seven one-hour public television documentaries, entitled Columbus and the Age of Discovery, was carefully balanced to present both exciting positive aspects of Columbus’s voyages and negative consequences for Indians. The programs were widely promoted and had 4 to 5 million households watching on average over the series, according to the WGBH research office. Two films about Columbus were released for the 500th anniversary: Christopher Columbus: The Discovery and 1492: Conquest of Paradise. Both were primarily action films that pre- sented Columbus in a generally favorable light; only the former showed cruel treatment of Indians, but it attributed such treatment mainly to Spaniards who were working to undermine Columbus.17 In sum, the mass media gave the public some exposure to revisionist ideas during the Quincentenary period, but the exposure was not great and, of course, would have reached only that frac- tion of the public that attends to such accounts. It is also useful to learn what government officials say about Columbus. All recent presidents from Franklin D. Roosevelt to George W. Bush have issued glorifying proclamations for Columbus Day (for example, Columbus was “brave, determined, open to new ideas and new experiences,” according to Bill Clinton). The 1992 Congressional Record has 144 entries for “quincente- nary” or “quincentennial”: 128 were entirely favorable, just 4 presented revision- ist ideas, 2 defended against revisionist ideas, and ten were positive about Indians but contained no criticism of Columbus. The U.S. Postal Service (2001) issued four stamps in 1992 in honor of the 500th anniversary: one shows Columbus seeking Queen Isabella’s support, two picture his first voy- age, and one depicts his 1492 landing, but with no sign of Indians present. It was left to the more elite Smithsonian Institution to take fuller account of revi- sionist ideas, but to do so along with positive views of 1492, thus presenting a “balanced” picture to those who were interested enough to visit the museums or to read a related special issue of Newsweek (1991). 17. Total attendance figures are hard to obtain, but a writer for the Hollywood Reporter, a trade paper, indicated that 3 to 4 million Americans saw each of the films; more would have seen the videos, but such figures were not released at all. 22 Schuman, Schwartz, and d’Arcy The Inertia of Memory Revisionist ideas that may have reached the public through textbooks and occasional treatment in the mass media have had to face the “inertia” of Columbus’s long-established reputation as the intrepid discoverer of America. One force that supports that tradition is the reappearance each year of Columbus Day, especially its institutionalized recognition by schools (see Schudson 1989b on cultural calendars). Informal conversations with primary school teachers indicate that teachers continue to use the day to speak of Columbus, his three ships, and the obstacles he overcame to reach American shores, even while they provide a much more positive view of Indians than would have been expressed in earlier years. The Columbus story also remains in elementary school books, including in a widely used series to teach first to third graders how to read, so that children absorb both reading lessons and stories about Columbus simultaneously (Krensky 1991). The text of the series is careful to speak of Columbus not as “discovering America” but as finding “a new world that no one in Europe knew” (p. 48); yet most of the words and the colorful pictures convey a traditional image of Columbus’s perilous first voyage and its successful outcome. In addition to the forces that shape historical consciousness in early childhood, there is later reinforcement as well: the many paintings, statues, and other commemorative symbols that maintain Columbus’s visibility, along with more than a thousand schools, natural sites, and other places named after him. “Once commemoration gets under way,” observes Schudson (1989a, p. 108), “it picks up steam, it operates by a logic . . . of its own. Not only are records kept, diaries saved, and news accounts written, but statues are built, museums endowed, brass plaques are engraved.” The importance of this symbolism is evident in the intensity with which critics attack it. “Beginning with Columbus,” declares an Indian activist, “we are insisting on the removal of statues, street names, public parks, and any other public object that seeks to celebrate or honor devastators of Indian peoples” (News from Indian Country, October 15, 1992, p. 2). Indian activists would feel no need to remove these symbols if they were not seen as legitimations of Columbus. Language underscores the inertia of reputation. There are the familiar rhymes that almost everyone learns (“In fourteen hundred and ninety-two . . . .”), but Columbus’s name itself is used as a symbol of individual boldness in exploring new ideas. A recent book refers to Albert Einstein as “an intellectual Columbus” who sailed beyond “the safe anchorage of established doctrines” (Cropper 2001, p. 203). A New York Times book reviewer calls Mikhail Gorbachev “a sort of political Columbus—setting out with high ideals to find one thing and achieving something better by discarding them. He is a hero of our times” (Figes 2002). The favorable connotation of Columbus’s name is also perpetuated by a myriad of magazine articles and Web sites that connect it to foods, travel, navigation, and much else unrelated to controversy. Elite Revisionists and Popular Beliefs 23 Of course, the inertia of Columbus’s positive reputation resists revisionist attacks that define his arrival as the beginning of a European invasion that brought slavery, disease, and death to indigenous peoples. But we should not assume that the public absorbs new ideas without emphatic and repeated use of school instruction and the mass media to spread new beliefs. Careful studies of the factual knowledge of Americans indicate that a good deal of the informa- tion that most social scientists take for granted is known by less than half— sometimes much less than half—of the general public (Delli Carpini and Keeter 1996). Although revisionist ideas were available to ordinary individuals who were interested, they were not so frequently or forcefully communicated as to offset the traditional image of Columbus as the courageous discoverer of America. “Inertia is a crucially important historical force,” Le Goff (1985, p. 170) observes; “Mentalities change slower than anything else.” Conclusions Once we recognize that collective memory can be different in its different forms, our results become more complex than those from studies that draw on only a single type of evidence. Had we focused our research entirely on revisionist writings and protests, we would conclude with Summerhill and Williams (2000, p. 1) that by the time of the Quincentenary, the “reputation of Christopher Columbus [was] turned upside down as fully as if the Admiral had indeed found monsters swimming in the Ocean Sea.” However, our surveys of the American public, using several different question forms and wordings, pro- duced little evidence of an impact from revisionist ideas: the predominant public belief is the traditional one that Columbus merits admiration as the “discoverer of America.” At the same time, we also found little evidence among Americans, especially younger cohorts, of the heroic image of Columbus that may have been widespread at the 400th anniversary in 1892 and in the early twentieth century. This absence of glorification can best be explained, however, not as a result of revisionist attacks and Indian protests, but as part of a broader erosion of idealizations of past American leaders. Furthermore, among the small number of Americans who reject the traditional belief that Columbus discovered America, it proved illuminating to distinguish between two different positions: the simple recognition that Indians had “discovered America” long before Columbus and additional characterizations of Columbus in villainous terms. The latter characterizations turned out to be linked to a critical attitude toward conventional American beliefs much more broadly. When we turned from individual beliefs to what is transmitted at the cul- tural level, we found the content of history textbooks to show a clear trend in positive treatment of Indians and a more complex negative/positive trajectory for Columbus. Both are consistent with some effect of revisionist beliefs on younger and better-educated Americans. It is interesting to note, however, that 24 Schuman, Schwartz, and d’Arcy changes in textbooks appear to have begun by the late 1960s, and thus prior to the main revisionist writings and even prior to what Nagel (1995, pp. 957–58) calls “the resurgence of American Indian ethnic identity in the 1970s and 1980s.” Quite likely the shift was a consequence of the still earlier post– World War II increase in sensitivity to minorities and their viewpoints, ini- tially with regard to Jews because of the discovery of the Nazi death camps (Fredrickson 2002; Stember 1966), which affected attitudes toward African- Americans as well (Hyman and Sheatsley 1956; Schuman et al. 1997). Similar sensitivity spread to other groups that had been relegated to the margins of the society, especially as the groups themselves protested their disadvantaged status. Postwar decolonization of large parts of the world previously under European rule also won support in the United States, with implications for reappraising the treatment of Native Americans by early European explorers and colonists. Thus, it seems likely that revisionist writings on Columbus were more an effect than a cause of the transformation of attitudes toward Indians and other minorities. Three statements now seem warranted. First, criticisms of Columbus usually reached the larger public in a much attenuated form, without the full negative force found in revisionist writings and Indian protests. Second, strong countervailing forces of inertia sustained Columbus’s reputation even in the face of revisionist attacks. There is a third, more positive factor as well, we believe, that supports Columbus’s reputation and explains why the 1492 landfall inspired commemoration in the first place and continues to do so: the significance of “firstness” or “priority.” Frisch (1989) reports that when stu- dents in his college history courses are asked to write ten names in “American history from its beginning through the end of the Civil War, excluding presi- dents and generals,” the list invariably includes Betsy Ross, the apocryphal creator of the American flag, and Columbus as well. These free associations tap memories that are absorbed at an early stage of life, Frisch believes, and they “stick” because of the lasting importance of “creation stories.” Columbus is still believed to have performed the key role in America’s founding moment. It is true that we may be living in a transitional era in which revisions of Columbus’s story have begun to appear in many textbooks and in other accounts of the American past, including books for small children. It is possi- ble that Columbus’s prestige will diminish further in the years to come. Yet some public commentators have attempted to counter revisionism at the elite level (Fox-Genovese and Lasch-Quinn 1999; Himmelfarb 1987; Schlesinger 1991), and reservations also appear in the online edition of the Encyclopedia Britannica (“Columbus” 2004b), which attempts to strike a “balanced” por- trayal of Columbus: The word “encounter” is now preferred to “discovery” when describing the con- tacts between Europe and the Americas, and more attention has been paid to the fate of indigenous Americans and to the perspectives of non-Christians. . . . The pendulum may, however, have swung too far. Columbus has been blamed for Elite Revisionists and Popular Beliefs 25 events far beyond his own reach or knowledge, and too little attention has been paid to the historical circumstances that conditioned him. . . . Columbus’s towering stature as a seaman and navigator, the sheer power of his religious convictions (self-delusory as they sometimes were), his personal magnetism, his courage, his endurance, his determination, and, above all, his achievements as an explorer, should continue to be recognized. References to revisionist criticism by the Encyclopedia Britannica suggest possible longer-term effects that have not been captured by our surveys, but the article includes considerable praise for Columbus as well. What will happen in the future as the controversy sparked by the Quincentenary dies down is hard to predict, especially if re-revisionism occurs, as the pendulum metaphor in this latest edition of the Encyclopedia Britannica suggests. Columbus’s was not the only contested reputation (Fine 2001) of the late twentieth century, but his case sets in relief the core of the theory of the poli- tics of memory: the tension between elite and popular beliefs about the past. The strength of politics of memory theory comes into play when we try to explain Columbus’s reputational decline during the twentieth century, for con- trol over conceptualizing the national past has been a major element of the minority rights movement. The theory’s weakness is apparent when we attempt to account for the limits of that decline: how Columbus’s reputation has withstood attacks and remained attached to the “discovery of America,” despite losing some of its earlier heroic color. We have considered several types of evidence in this article, with the two most important—revisionist accounts of 1492 and survey data on popular beliefs—leading to opposite conclusions. Readers who are influenced by the revisionist accounts may be skeptical of the survey results because they provide scant evidence of revisionist effects on the public. Such skepticism may be due to the mistake of extrapolating to the general public one’s personal experience with revisionist ideas and college campus protests. In addi- tion, those who find criticisms of Columbus personally persuasive may tend toward “looking-glass perceptions”: beliefs that seem reasonable to oneself are often assumed to be widely held by others (Fields and Schuman 1976–77; Ross, Greene, and House 1977). At the same time, readers com- mitted to the importance of national survey data may dismiss revisionist and Indian criticisms of Columbus as of little significance if they cannot be shown to have shaped popular beliefs. 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New York: New York University Press. Fields, James, and Howard Schuman. 1976–77. “Public Beliefs about the Beliefs of the Public.” Public Opinion Quarterly 40:427–48. Figes, Orlando. 2002. “Who Lost the Soviet Union?” New York Times Book Review, January 20, p. 11. Fine, Gary. 2001. Difficult Reputations: Collective Memories of the Evil, Inept, and Controver- sial. Chicago: University of Chicago Press. http://www.aapor.org http://search.eb.com/eb/article?tocId=9109621 http://search.eb.com/eb/article?tocId=9109621 Elite Revisionists and Popular Beliefs 27 FitzGerald, Frances. 1979. America Revised: History Schoolbooks in the Twentieth Century. Boston: Little, Brown. Foucault, Michel. 1977. Language, Counter-Memory, Practice: Selected Essays and Interviews, trans. D. F. Bouchard and Sherry Simon. Ithaca, NY: Cornell University Press. Fox-Genovese, Elizabeth, and Elisabeth Lasch-Quinn, eds. 1999. Reconstructing History: The Emergence of a New Historical Society. New York: Routledge. Fredrickson, George M. 2002. Racism: A Short History. Princeton, NJ: Princeton University Press. Frisch, Michael. 1989. “American History and the Structures of Collective Memory: A Modest Exercise in Empirical Iconography.” Journal of American History 75:1130–55. Gillis, John R., ed. 1994. Commemorations: The Politics of National Identity. Princeton, NJ: Princeton University Press. Glenn, Norval D. 1974. “Aging and Conservatism.” Annals of the American Academy of Political and Social Science 415:176–86. Groseclose, Barbara. 1992. “Monuments and Memorials.” In The Christopher Columbus Ency- clopedia, ed. Silvio A. Bedino, pp. 475–85. New York: Simon and Schuster. Halbwachs, Maurice. (1950) 1980. The Collective Memory, ed. Mary Douglas, trans. Francis J. Ditter and Vida Yazdi Ditter. New York: Harper and Row. ———. (1941) 1992. “The Legendary Topography of the Gospels.” In On Collective Memory, ed. Lewis Coser, pp. 193–235. Chicago: University of Chicago Press. Hart, Avery. 2001. Who Really Discovered America? Unraveling the Mystery and Solving the Puzzle. Charlotte, VT: Williamson Publishing Company. Himmelfarb, Gertrude. 1987. The New History and the Old: Critical Essays and Reappraisals. Cambridge, MA: Harvard University Press. Hyman, Herbert H., and Paul B. Sheatsley. 1956. “Attitudes toward Desegregation.” Scientific American 195:35–39. Irving, Washington. (1828) 1981. The Life and Voyages of Christopher Columbus, ed. John Harmon McElroy. Boston: Twayne Publishers. Jennings, Francis. 1975. The Invasion of America: Indians, Colonialism, and the Cant of Conquest. Chapel Hill: University of North Carolina Press. Johnson, Rossiter, ed. 1897. A History of the World’s Columbian Exposition. 4 vols. New York: D. Appleton and Company. Koch, Cynthia M. 1996. “Teaching Patriotism: Private Virtue for the Public Good in the Early Republic.” In Bonds of Affection: Americans Define Their Patriotism, ed. John Bodnar, pp. 19–52. Princeton, NJ: Princeton University Press. Krensky, Stephen. 1987. Who Really Discovered America? New York: Hastings House. ———. 1991. Christopher Columbus. New York: Random House. Las Casas, Bartolomé de. (1965) 1974. The Devastation of the Indies: A Brief Account. New York: Seabury Press. ———. 1992. Witness: Writings of Bartolomé, ed. George Sanderlin. Maryknoll, NY: Orbis Books. Le Goff, Jacques. 1985. “Mentalities: A History of Ambiguities.” In Constructing the Past: Essays in Historical Methodology, ed. Jacques Le Goff and Pierre Nora, pp. 166–80. Cambridge, UK: Cambridge University Press. Loewen, James W. 1992. The Truth about Columbus. New York: New Press. ———. 1995. Lies My Teacher Told Me: Everything Your American History Textbook Got Wrong. New York: Simon and Schuster. Lunenfeld, Marvin. 1992. “Adrift in a Sargasso Sea: Recent Books on Christopher Columbus.” History Teacher 26:15–21. Mannheim, Karl. (1928) 1952. “The Problem of Generations.” In Essays on the Sociology of Knowledge, by Karl Mannheim, pp. 276–322. London: Routledge and Kegan Paul. Morison, Samuel Eliot. 1942. Admiral of the Ocean Sea: A Life of Christopher Columbus. Boston: Little, Brown. Nagel, Joane. 1995. “American Indian Ethnic Renewal: Politics and the Resurgence of Identity.” American Sociological Review 60:947–65. National Council of Churches of Christ in the USA. 1990. A Faithful Response to the 500th Anni- versary of the Arrival of Christopher Columbus: Resolution, as adopted by the Governing Board, May 17, 1990. Available online at http://www.indians.org/welker/faithful.htm (accessed January 25, 2005). http://www.indians.org/welker/faithful.htm 28 Schuman, Schwartz, and d’Arcy Newsweek. 1991. “When Worlds Collide: A Joint Project with the Smithsonian’s Natural History Exhibit ‘Seeds of Change.’” Columbus Special Issue, Fall/Winter. Olick, Jeffrey K., and Joyce Robbins. 1998. “Social Memory Studies: From Collective Memory to the Historical Sociology of Mnemonic Practices.” Annual Review of Sociology 22:105–40. Pelta, Kathy. 1991. Discovering Christopher Columbus: How History Is Invented. Minneapolis, MN: Lerner Publications. Phillips, William D., Jr., and Carla Rahn Phillips. 1992. The Worlds of Christopher Columbus. New York: Cambridge University Press. Prescott, William F. 1874. History of the Reign of Ferdinand and Isabella the Catholic. 3 vols. Philadelphia: J. B. Lippincott. Rhea, Joseph T. 1997. Race Pride and the American Identity. Cambridge, MA: Harvard Univer- sity Press. Riley, Matilda White, Anne Foner, and Joan Waring. 1988. “Sociology of Age.” In Handbook of Sociology, ed. Neil J. Smelser, pp. 243–90. Newbury Park, CA: Sage. Rosenzweig, Roy, and David Thelen. 1998. The Presence of the Past: Popular Uses of History in American Life. New York: Columbia University Press. Ross, Lee D., David Greene, and Pamela House. 1977. “The False Consensus Effect: An Egocentric Bias in Social Perception and Attribution Processes.” Journal of Experimental Social Psychology 13:279–301. Royal, Robert. 1992. 1492 and All That: Political Manipulations of History. Washington, DC: Ethics and Public Policy Center. Sale, Kirkpatrick. 1990. The Conquest of Paradise: Christopher Columbus and the Columbian Legacy. New York: Alfred A. Knopf. Schlesinger, Arthur M., Jr. 1991. The Disuniting of America: Reflections on a Multicultural Society. New York: W. W. Norton. Schudson, Michael. 1989a. “The Present in the Past versus the Past in the Present.” Communica- tion 11:105–13. ———. 1989b. “How Culture Works.” Theory and Society 18:153–80. Schuman, Howard. 1972. “Two Sources of Antiwar Sentiment in America.” American Journal of Sociology 78:513–36. Schuman, Howard, Charlotte Steeh, Lawrence Bobo, and Maria Krysan. 1997. Racial Attitudes in America: Trends and Interpretations. Cambridge, MA: Harvard University Press. Schwartz, Barry. 1998. “Postmodernity and Historical Reputation: Abraham Lincoln in Late Twentieth-Century American Memory.” Social Forces 77:63–103. Schwartz, Barry, and Howard Schuman. Forthcoming. “History, Commemoration, and Belief: Reformulating the Concept of Collective Memory.” American Sociological Review. Skretney, John D. 2002. The Minority Rights Revolution. Cambridge, MA: Harvard University Press. Stember, Charles Herbert. 1966. “Recent History of Public Attitudes” In Jews in the Mind of America, ed. Charles Herbert Stember and others., pp. 31–234. New York: Basic Books. Stewart, Jon, Ben Karlin, and David Javerbaum. 2004. America (The Book): A Citizen’s Guide to Democracy Inaction. New York: Wamer Books. Stouffer, Samuel A. 1955. Communism, Conformity, and Civil Liberties. Garden City, NY: Doubleday. Summerhill, Stephen J., and John Alexander Williams. 2000. Sinking Columbus: Contested His- tory, Cultural Politics, and Mythmaking during the Quincentenary. Gainesville: University Press of Florida. Taylor, Charles. 1994. “The Politics of Recognition.” In Multiculturalism and “the Politics of Recognition,” ed. Amy Gutmann, pp. 25–74. Princeton, NJ: Princeton University Press. U.S. Postal Service. 2001. The Postal Service Guide to U.S. Stamps. New York: Harper Collins. Wagner-Pacifici, Robin, and Barry Schwartz. 1991. “The Vietnam Veterans Memorial: Commemorating a Difficult Past.” American Journal of Sociology 97:376–420. Wertsch, James V. 2002. Voices of Collective Remembering. New York: Cambridge University Press. West, Delno C., and August Kling. 1989. “Columbus and Columbia: A Brief Survey of the Early Creation of the Columbus Symbol in American History.” Studies in Popular Culture 12:45–60. Whitman, Walt. [1874] 1982. “Prayer of Columbus.” In Complete Poetry and Collected Prose, pp. 540–2. New York: Library of America. Wilford, John Noble. 1991. The Mysterious History of Columbus: An Exploration of the Man, the Myth, the Legacy. New York: Vintage Books. Elite Revisionists and Popular Beliefs 29 Winsor, Justin. 1891. Christopher Columbus and How He Received and Imparted the Spirit of Discovery. Boston: Houghton, Mifflin, and Company. Yerushalmi, Yosef Hayim. 1982. Zakhor: Jewish History and Jewish Memory. Seattle: University of Washington Press. Yolen, Jane. 1992. Encounter. Orlando, FL: Harcourt Brace. Zerubavel, Eviatar. 1992. Terra Cognita: The Mental Discovery of America. New Brunswick, NJ: Rutgers University Press. Zerubavel, Yael. 1995. Recovered Roots: Collective Memory and the Making of Israeli National Tradition. Chicago: University of Chicago Press. Zinn, Howard. 1980. A People’s History of the United States. New York: Harper and Row. Zolberg, Vera L. 1998. “Contested Remembrance: The Hiroshima Exhibit Controversy.” Theory and Society 27:565–90. 
work_vkgpiylzgfaync7fmhndgu5p24	----	T. Ruiz Goodby Columbus and all that: history and textual criticism In: New West Indian Guide/ Nieuwe West-Indische Gids 67 (1993), no: 3/4, Leiden, 281-284 This PDF-file was downloaded from http://www.kitlv-journals.nl Downloaded from Brill.com04/06/2021 01:09:25AM via free access TEOFILO F. RUIZ GOODBY COLUMBUS AND ALL THAT: HISTORY AND TEXTUAL CRITICISM Columbus. FELIPE FERNANDEZ-ARMESTO. Oxford: Oxford University Press, 1991. xxvii + 218 pp. (Cloth US$ 16.95, Paper US$ 6.99) The Worlds of Christopher Columbus. WILLIAM D. PHILLIPS, JR. & CARLA RAHN PHILLIPS. Cambridge: Cambridge University Press, 1992. xii + 322 pp. (Cloth US$ 27.95) In Search of Columbus: The Sources for the First Voyage. DAVID HENIGE. Tucson: University of Arizona Press, 1991. xiii + 359 pp. (Cloth US$ 29.95) Columbus and the Golden World of the Island Arawaks: The Story of the First Americans and Their Caribbean Environment. D.J.R. WALKER. King- ston, Jamaica: Ian Randle, 1992. 320 pp. (Cloth US$ 12.95) By the time this review appears in print, the Quincentenary celebrations and/or deprecations of the event will be slowly fading into most welcomed oblivion. There will be, of course, the unavoidable local commemorations of specific events: the discovery of such and such island, the anniversary of some European misdeed, the struggle for the valley of Mexico; but the col- lective remembrance of the Encounter/Discovery will have been allowed to run its course. In truth, after a veritable flood of publications, seminars, operas, protests, and ghastly movies, one is not too sorry to see the whole affair put safely away for another century. If there is any consolation to this continuous process of recovered memories and history, it is that a good number of sensible and scholarly works have been published - including some of those reviewed here - which demolish the idealization and glori- fication of the Atlantic enterprise and set the history of the Encounter/ Discovery within a proper historical context. Downloaded from Brill.com04/06/2021 01:09:25AM via free access 282 New West Inclian Gitide/Nieuwe West-Indische Gids vol. 67 no. .? & 4 (1993) Among the deluge of books and articles on Encounter/Discovery topics, many of these scholarly and pseudo-scholarly oeuvres have advanced spe- cific ideological stances or promoted particular causes which in some cases - despite their attractiveness - compromise the very nature of the inquiry. To cite just one example, Kirkpatrick Sale's popular The Conquest ofParadise, while voicing views with which I am not entirely unsympathetic, ends up being yet another example of Whiggish history by failing to contextualize fully the events of 1492 and their aftermath. The four books under review here range widely, from broad examin- ations of Columbus and his world to a focused discussion and critique of our main sources for the history of the Encounter to an idealized, and often uncritical, view of the original inhabitants of the Caribbean or "Indies." These four books provide a chronological narrative of the period before and after 1492 and are best described in that natural sequence. WilliamandCarlaPhillips's7Vie Worlds of Christopher Columbusisacare- ful, clear, and well-crafted account of the world at the end of the fifteenth century. It opens with a brief critical review of the historiography and sources for Columbus's life and then proceeds to provide a broad context for his historie voyage across the Ocean Sea. Drawing upon the most recent scholar- ship, the Phillipses, both of them formidable scholars of late medieval and early modern Spain and the Atlantic world, offer a sober and clear descrip- tion of the world, both Old and New, before 1492. The known world in the late fifteenth century, above all Europe, was at a crossroads economically, socially, and politically. In that context, Columbus's enterprise was one fur- ther chapter in the long history of European expansion, of the search for new trade, and of developing seafaring technology. As such, the voyages of discov- ery were also embedded in the long rivalry between Islam and Christianity. Parting from this general overview, the Phillipses turn to Columbus him- self and, adhering strictly to the sources, proceed to dismiss the numerous unfounded speculations that have been advanced about Columbus's origins and life. His pursuit of royal support in Portugal and Spain and the final approval of his plans by the Catholic Kings after earlier rejections are placed firmly in the context of Spanish politics and of the final struggle against Granada. There was nothing romantic or mysterious about Ferdi- nand and Isabella's decision to sponsor the enterprise of the Ocean Sea. It was, at best, an inexpensive gamble, taken without much expectation of success. Similar myths about the composition of the crew, the actual voyage, and the exact location of the Columbian landfall are equally demolished. Their final chapters examine the conquest and settlement of Europeans in the New World and the ecological, medical, economie, and cultural impact of the Encounter on the world at large. Downloaded from Brill.com04/06/2021 01:09:25AM via free access REVIEW ARTICLES 283 Felipe Fernandez-Armesto's Columbus, written before The Worlds of Christopher Columbus, covers some of the themes explored by the Phillipses, with certain significant differences. Although also paying atten- tion to the historical context (especially to Columbus's Genoese back- ground - a task that the author had taken on previously in his 1987 book, Before Columbus), the focus here is on Columbus himself, a man described as a "socially ambitious, socially awkward parvenu." As in the previous book, Fernandez-Armesto examines the sources critically and strips Colum- bus and his enterprise of the usual mythification. This does not prevent him, however, from speculating about Columbus's personality and psychological make-up. Carefully tracing the sources for Columbus's mental map of the world (Ptolemy, Marco Polo, Pierre d'Ailly, and others), the author con- cludes with a detailed and most useful study of Columbus's four crossings, leading to an excellent contextualized summary of the Columbian legacy. These two books bring us to the New World and to the first encounters between European and natives - at first peaceful enough, but by the second voyage marked by violent conflict and plans for the enslavement of the "In- dians." D.J.R. Walker's Columbus and the Golden World of the Island Ara- waks is a narrative of this encounter, of the tragic demise of the Arawaks under the violence of contact and conquest, and of their paradisiacal habitat. Following closely upon published sources, Walker traces those final years of Arawak "idyllic" life, and the destruction of this life by sickness and abuse. David Henige's In Search of Columbus: The Sources for the First Voyage is a careful and exhaustive examination of the sources for Columbus's first journal: the so-called diario, as rendered by Bartolomé de las Casas, the latter's Historia de las Indias, and the Historie or Life of Columbus attri- buted to Columbus's son. Henige's textual criticism of these works - of modern editions and translations and their use or misuse by some scholars - undermines their validity and raises questions as to what can really be known about the first voyage and the exact location of landfall. What Henige illustrates in painstaking detail is a long history of willful and/or unconscious accretions, alterations, and interpretations which transform the original texts and diminish their value. His anger is vented as much on early modern renderings of Columbus's writings as it is on modern editions of these texts. In the end, skepticism is the only escape for Henige, as the line between fiction and history is irrevocably blurred. In these four books, the reader observes a wide range of scholarly approaches to Columbus and the Encounter. The Phillipses' The Worlds of Columbus and Fernandez-Armesto's Columbus are worthy examples of careful and judicious scholarship. Both of these books examine the evi- dence in a critical and sober manner, and their assessment of Columbus and Downloaded from Brill.com04/06/2021 01:09:25AM via free access 284 New West Indian Guide/Nieuwe West-Indische Gids vol. 67 no. 3 &4 (1993) his enterprise is evenhanded and informative. While it is true that our knowledge of the Admiral of the Ocean Sea and his world is, by the very nature of the evidence, limited, what is remarkable is how much we do know and can know about this particular topic. I am not certain that either book will fully dispel the myths about Columbus. Fiction and received opinion is, I fear, often stronger than truth. Walker's study of Arawaks is well-meaning and written in a loving man- ner. Alas it suffers from serious flaws. Although he writes with a great deal of earnestness, the author does not read Spanish and this lack compromises his knowledge and use of the sources. There are nagging little mistakes throughout the work; he states, for example, that the population of Spain was 4,000,000 in the late fifteenth century when in reality it was almost doublé that number. His uncritical reliance on Morison and his dated schol- arship (with none of the important work on archeology and no work after 1980 cited) diminish what is otherwise an engaging book. As for Henige's book, one cannot but admire his fierce critical assessment and his uncompromising search for a text clean of later accretions. In the end, however, no serious historian can ever write history without a critical attitude towards his/her sources. Although Henige's criticism of modern editions is valid, his attacks on the historian's use of these sources is often restricted to local savants arguing over the precedence of their homelands or historians who have long been superseded by a more recent and, along the lines of Henige's admonitions, more critical approach to their sources. So let us wave goodbye to Columbus for now and wait for the next century to rewrite anew the diverse histories of discovery, encounter, and conquest. TEOFILO F. RUIZ Department of History Brooklyn College, CUNY New York NY 11210, U.S.A. Downloaded from Brill.com04/06/2021 01:09:25AM via free access 
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work_vnjdp3fvz5bddijosxkiigx7me	----	imj_635.Reed.fm Internal Medicine Journal 2004; 34: 684–686 OCCASIONAL MEDICAL HISTORY SERIES The codpiece: social fashion or medical need? C. S. REED Sydney, New South Wales, Australia The male dress style of the higher classes of European society was revolutionised in the early years of the Renaissance. The codpiece was introduced into the male tunic. The codpiece had proportions that were at times grotesque, and so extreme that the question of the purpose of its use arises. Art gallery guides speculate that the codpiece represented a statement of the virility of the individual and could be looked on as a sex promotion object. This is clearly the impression gained from, for example Holbein’s portrayal of Henry VIII, arms akimbo, broad shouldered, groin thrust forward, the very epitome of a lusty male. The codpiece, however, may have been a disguise for underlying disease. Italy was the leader in many concepts of the new fashions in the Renaissance. For men, there was a change from the narrow-waisted vertical line to the more horizontal.1 Among the wealthier, the trend in the very late fifteenth century appears to be towards longer hose and shorter doublets leading to a space in which the male genitals may have been exposed if not covered. In Italy, assuming that paintings of the time accurately reflect the dress of the day, artists included the display of the codpiece as a dramatic element of male costume. In Italy, the codpiece was called a sacco and in France, a braguette. The common peasant was accustomed to wearing breeches, which were tied around the waist and are often illustrated as showing a gap in the anterior or genital area.2 The area appears to have been covered by a cloth garment. As early as 1460, Towneley described ‘a kodpese like a pockett’.3 Germanic soldiers, or the Lands- knecht,4 clearly show codpieces around 1530. The Swiss had the plunderhose, or devil’s pants, which were similar in appearance to the Germanic codpiece. Further examples of the codpieces amongst everyday peasants can be found in the sixteenth century and possibly has persisted, with a little more refinement, in the flap of the trousers of the Bavarian lederhosen. In many suits of armour the codpieces are visible, whether this was needed for protection, for outward display, or to disguise underlying disease is open to conjecture. In the suit of armour of King Henry VIII displayed in the Tower of London, the codpiece is extremely prominent. In England, in 1555, Eden, commented, ‘The men enclose their privic members in a gourde cutte after the fashion of a codde-piece’.3 Reginald Scot, in 1564, wrote ‘He made the young man untrusse his codpice point’.3 Shakespeare had references to codpieces,3 and even as late as 1648, Herrick, made an amusing comment about the codpiece still in use then among some men: ‘If the servants search, they may descry, in his wide codpiece, dinner being done, two napkins cramm’d up, and a silver spoone’.3 It has been assumed that the fashion of genital promo- tion was de rigeur, however, no thought appears to have been given to the possibility that the codpiece fashion developed because of necessity and not by whim. From 1495 onwards a pandemic of a new disease swept across Europe and was a great plague. The disease caused foul and large volumes of mixed pus and blood to be discharged from the genital organs and the swellings in the adjacent groin tissue. The mess would require bulky woollen wads and woven cloth bandages to be applied, distorting the whole of the genital area and the lower abdomen. The new disease was syphilis, and in all probability was not a new disease; there are descriptions of illnesses involving the fundamental findings for the diagnosis of syphilis from ancient times. These clinical essentials being an ulcer involving the genitals area, swelling of the adjacent groin tissues, the presence of pus discharge from the buboes, lack of sex bias, involvement of all generations, usually contracted by venereal contact. In the fifteenth century, the new disease appeared but some debate exists about where and when. Fulgusi described it in 1492, Pomarus witnessed the disease in Saxony in 1493 and Sprengle outlines that the disease existed in 1493 at Auvergne, Lombardy, Halle, Mark Brandenburg and Micklenburg.5 It was at the siege of Naples in 1495 by the French King Charles VIII, that the new disease found the circumstances favourable to proliferate and the disease’s virulence appears to have a reached a new high. It spread rapidly among the army and it is said that almost one- twentieth of the population suffered from the disease.6 It is clearly impossible to verify that these are true statistics, but enough to say that the disease is recognised by Correspondence to: Con Scott Reed, 18A/2 Brady Street, Mosman, NSW 2088, Australia. Email: conscott@ozemail.com.au Received 14 November 2003; accepted 28 November 2003. Funding: None Potential conflicts of interest: None The codpiece: fashion or medical need? 685 Internal Medicine Journal 2004; 34: 684–686 medical authorities as being a true virulent epidemic of major proportions. As Young writes about Charles and his further campaigns in Italy, ‘meantime his army, wasted by excesses in Naples, was rapidly dwindling by disease’.6 The concurrence in time of the Naples outbreak in 1495 later led to the theory that Christopher Columbus and his men had imported syphilis from America following their historic voyage of 1492. There exists virtually no evidence to support this supposition.6 The word syphilis was first used by the poet-physician Fracastor of Verona (1483–1553) in a poem published in 1530. In the 35 years immediately prior to this, the disease or other diseases manifesting similar symptoms and mistaken for it, had spread widely over Europe. The entomology of the word, syphilis, is uncertain but probably derives from the Greek words meaning swine and love. The hero of Fracastor’s poem was a swineherd or shepherd boy whose name was Syphilis who was affected by the disease, which now bears his name. Fracastor’s poem was translated into English in 1686 by Nahum Tate with the title: ‘Syphilis; or a poetical history of the French disease’. The Italians and Neapolians called syphilis the Mal Françoise, the English called it the French Pox, and the French called it the Mal de Naples. The Flemish named it the Spanish Pox and similar derogatory names were used in other countries if political mileage was to be made.5 Fracastor’s description of the disease published in 1546 tells of a disease of much greater virulence than that seen today in all except the rare malignant congen- ital syphilis. He states in part: Those affected were sad, weary, and cast-down; they were pale, most of them had sores on the genital organs … they were obstinate. When they were cured in one place, it appeared in another, and the treatment had to be recommenced. Afterwards pustules arose on the skin, covered with a crust; at first they were small; afterwards they increased to the size of an acorn, … in some cases the pustules were small and dry, in others large and moist; in some livid; in others whitish and rather pale; in others hard and reddish. They always broke in a few days, and constantly discharged an incredible quantity of stinking matter as soon as open; they were so many true phagedaenic ulcers, which destroyed not only the flesh, but even the bones. The poet/physician, Fracastor, continued: such were the symptoms of the disease at its commencement; but I speak of a past time, for now although the disease is still prevalent, it nevertheless appears to differ from what it was then, over the last 20 years [i.e. back to 1520] there were fewer pustules and more gummy tumours … a circumstance, which has astonished everybody, is the falling of the hair.5 This mutation in the virulence of syphilis is attested to by the other writers of the time and a wealth of literature existed to record that towards the end of the 16th Century, the epidemic form of the disease had virtually disappeared although smaller outbreaks are on record. The treatment of the disease was for the most part empirical with multiple agents applied locally, which along with the bulky dressings would give large frontal bulges, impossible to hide. The problem would present the tailors with a challenge that appears to have been met by them featuring the mass with the codpiece, while also appearing to advertise the wearer’s virility. The develop- ment of the codpiece worn by powerful and prominent leaders would not only solve the problem but also start a new fashion trend for the Court followers. The medical undergraduate of the pre-penicillin era were taught a ribald line about the treatment of syphilis: ‘One night with Venus, six months with Mercury’. Mercury was introduced into medicine by the Arab phys- icians,5 including the distinguished physicians Rhazes, Avicenna, Mesue and others. It was used for therapy against lice, impetigo, itch and other cutaneous eruptions. The empirical therapists were more vigorous in their application and because of their excesses, brought the drug into discredit. The patients, worn out by the toxic effects of mercury, may have died because of the therapy. The remedy became worse than the disease. The mercuric ion is corrosive: chronic poisoning could cause tremor, shaking of the tongue and lips and mental effects.7 The combination being well known to the hatter’s trade when terms such as ‘hatters shakes’ and ‘mad as a hatter’ are still used. The most commonly used topical ointment was a mixture of mercuric oxide and sulphide, cinnabar, which was a vivid scarlet in colour, and one of its draw- backs was the ‘staining of the linen’.8 Is it all surprising then that the codpieces were painted a vivid scarlet if indeed they were applying cinnabar ointment? Lombardy was an area with multiple independent duchies. It was essential that members of the noble families were seen regularly at their home courts. The times were politically turbulent with internecine violence commonly occurring between the city-states of Milan, Sienna, Mantua, Piacenza and Florence, to name but a few. Failure to be seen would bring rumours of death, kidnapping or changes of allegiance by the family member. Among the illustrations of the Italian codpieces, those painted by Bronzino9 are of great interest as they depict members of the Medici family and those closely related to them. Bronzino, a court painter to the Medici, was said to paint in a ‘cold calculated style’.9 Vasari, his friend, praises his portraits, as they are so lifelike and not given to flattery. He was the creator of the Court of Mannerism which dominated Florentine painting for more than half a century. Cosimo commissioned Bronzino to paint the portraits of all the Medici family; these now reside mainly in the Uffizi Gallery in Florence. To support a possibility of syphilis playing a part in the medical use of the codpiece, there should be evidence of family group showing premature deaths or insanity, and that the female members of the family may have had frequent miscarriages, or weak and sickly children. What more dysfunctional family could exist than that of Cosimo d’Medici and Eleanora de Toledo? They had 11 children in all. Maria was seemingly intelligent but died aged 16 from unknown cause. 686 Reed Internal Medicine Journal 2004; 34: 684–686 Lucrezia died at 17 from unknown cause. Francis was unstable and unenergetic but lived to the age of 46. Giovanni was made a Cardinal at age 13 and died of ‘malignant fever’ aged 19. Garzia died at 16 but had caused his parents some concern by his slow speech development and was ‘slightly backwards’ which was used to explain a vicious table-knife attack on his brother Giovanni. Pieto murdered his wife under barbaric circumstances when she was 22, but Isobella lived to 39 and Ferdinand was said to be capable and full of energy. A tragic family but for each death there appears to be a satisfactory explanation, contrived or real? The portrait of Cosimo de Medici I,10 painted by Pontormo (Jacobo Carucci 1494–1557) in approxi- mately 1537, was as an 18-year-old shortly after he had won a battle for the leadership of the Florentine State. The portrait is said to be the first example of his use of painting for the purpose of propaganda.11 He shows a prominent codpiece as also, and even more dramatically, was that shown in his cousin Guidobaldo della Rovere, Duke of Urbino, painted in 1532 when Bronzino was for a short time at Pesaro filling the role of court painter (Fig. 1).12 Cosimo had visited Naples in 1535, probably in the company of Alessandro de Medici: is it possible that he contracted syphilis on this trip whilst in the midst of the major outbreak area? Also closely connected with the Medicis was Ludovico Capponi, who was painted by Bronzino displaying a well-marked codpiece. Stefano Colonna, painted by Bronzino in 1546 was one of the leading condottiere of the sixteenth century and was appointed by Cosimo as lieutenant of his armies. The ‘Allegory with Venus and Cupid’ by Bronzino painted in the 1540s, now in the National Gallery, London, has been interpreted as a direct referral to the dangers of syphilis. Is it too much to suggest that he was intimately involved with this knowledge as the problem was present in the group among whom he worked? Once the fashion of a codpiece had been firmly estab- lished by the leaders of the day, many men may have followed suit solely to be in fashion. Codpieces did appear frequently amongst soldiers, however, are they followers or sufferers; fashion victims or disease victims? While many portraits of leaders of the time such as those of Francis I, Emperor Charles V and Henry VIII include codpieces, by the time of Queens Mary and Eliz- abeth of England, the fashion had disappeared. REFERENCES 1 Adam A, Black C. Ceremonial Costumes. London: Mansfield; 1980. 2 Black JA, Garland MW. A History of Fashion. New York: M. W. Morrow & Co.; 1975. 3 Burchfield RW, ed. The Oxford English Dictionary, 2nd edn. Oxford: Claredon Press; 1988. 4 Laver J. Concise History of Costume. London: Thames and Hudson; 1969. 5 Lancereaux E. A Treatise on Syphilis. London: The New Sydenham Society; 1868. 6 Young GF. The Medici. London: John Murray; 1909. 7 Isselbacher KJ, Adams RD, Braunwald E, Petersdorf RG, Wilson JD, eds. Harrison’s Principles of Internal Medicine, 9th edn. New York: McGraw-Hill Book Co; 1980. 8 Duhring LA. Diseases of the Skin. Philadelphia: Lippincott & Co.; 1881. 9 McCorquodale C. Bronzino. London: Jupitor Books; 1981. 10 Belloli A, ed. The Handbook of the J. Paul Getty Museum. Malibu, CA: J. Paul Getty Museum; 1991. 11 Lee D, ed. Themes and variations. Art Review 1994; 46: 44–5. 12 Baccheschi, ed. L’Opera Completa del Bronzino. Milan: Rizzoli; 1973. Figure 1 Ritratto di Guidobaldo della Rovere, Duke of Urbino (Bronzino, 1532).12 Reproduced with the kind permission of the Ministry of Arts and Cultural Activities, Italty. Any unauthorised use of the reproduced image in any form is prohibited. 
work_vtrrmby6szf5hozcfe37kcgn4i	----	Microsoft Word - Alexander_Final2.docx ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 251 LAW SCHOOL DEANS AND “THE NEW NORMAL” Peter C. Alexander* I. INTRODUCTION HE New Normal was the name of a short-lived television show that ran on the NBC television network during the 2012-2013 season.1 The premise of the show involved a well-to-do homosexual couple in Southern California who decided to have a child with the help of a surrogate mother, whom they moved into their home, along with her nine-year-old daughter. Presumably, the television viewers (and there were few) were asked to accept this household structure as “the new normal.” While the television show has long ended, “the new normal” has found its way into the lexicon of America and, more surprisingly, into the current conversations about legal education. On the blog Legal Rebels, law dean Phil Weiser recently wrote that law schools are now facing a “new normal” and that institutions have an opportunity to reinvent themselves, if they are committed to innovation and experimentation.2 Dean Weiser’s comments could not be timelier. Law schools have long followed a fairly uniform path. First-year curricula typically include required courses, such as Torts, Criminal Law, Property, Civil Procedure, Contracts, and occasionally Constitutional Law. In addition, all students are exposed to legal research and writing in some type of course that bridges both semesters of the first year. A few schools have added an elective to the first year in order to give students the opportunity to take a specialty course3 * Former Dean, Indiana Tech Law School and Southern Illinois University School of Law. B.A., Political Science, Southern Illinois University Carbondale; J.D., Northeastern University. Indiana Tech President, Arthur E. Snyder, contributed to an earlier draft of this piece, and I thank him for his insights. I also thank Professor Nancy Rapoport and Dean David Herring for their helpful comments on an earlier draft that greatly improved this Essay. 1. See Lesley Goldberg, NBC Cancels ‘The New Normal’, THE HOLLYWOOD REP. (May 10, 2013,5:52 PM PT), http://www.hollywoodreporter.com/live-feed/nbc-cancels-new-normal-520920. 2. See Phil Weiser, Five Initiatives That Legal Education Needs, LEGAL REBELS (Sept. 26, 2013, 1:30 PM), http://www.abajournal.com/legalrebels/article/five_initiatives_that_legal_ education_needs. 3. See, e.g., Courses, STAN. L. SCH., https://www.law.stanford.edu/courses/1st-year-program (last visited June 29, 2015); Academic Advising at Harvard Law School, HARVARD L. SCH., http://www.law.harvard.edu/academics/curriculum/academic-advising-at-hls/index.html (last visited June 29, 2015) (“In the spring semester of the 1L year, you will also have the opportunity to choose an International or Comparative Law Course and an upper-level elective course.”). T ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 252 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 or a course in “advanced civics,”4 but most schools seem to have not changed the first-year curricula very much. During the past few years, legal education has experienced a significant downturn in the number of students applying to law school.5 There is great speculation about why students are not currently pursuing a legal education, with many people pointing to a widely held belief that it is due to the constant drumbeat of negative press about the cost of legal education and the lack of job prospects after law school.6 Others blame social media, bloggers, and the easy access that disgruntled law graduates have to vent their frustrations to a wide audience over their high student-loan debt and inability to distinguish themselves in the current job market.7 Still others want to point the finger at the legal academy itself, which has long eschewed connections with the bench and bar, preferring instead to focus student learning on theory and history, in place of praxis.8 The current law school admissions climate should be viewed as an opportunity to reexamine how law schools operate. This Essay describes some impediments to law school success and focuses on the role of the law school dean to suggest that these important administrators are the keys to that success in the future. In the face of a rapidly changing legal education world, deans must lead differently. This Essay challenges them to embrace the “new normal” and to view the role and functions of a law school dean in an entirely new way. 4. The term “advanced civics” courses is intended to include courses that remind, or teach students for the first time, about the structure of our federal government, with particular emphasis on legislative activity, statutory interpretation, and/or administrative law. Examples include: Elements of Law, PENN STATE L., http://pennstatelaw.psu.edu/courses/elements-law (last visited June 29, 2015) (“[The course] orients students to legal research and reasoning through caselaw, statutory interpretation, and legal history, processes, and institutions. The course covers topics across many substantive areas of law, and addresses legal methodology as it arises in the legal profession.”) and Legislative and Administrative Process, S. ILL. U. SCH. L., http://www.law.siu.edu/academics/curriculum/index.html (last visited June 29, 2015) (select link “Legislative and Administrative Process”) (“This course … introduce[s] students to the basic principles of separation of powers, legislative authority, statutory interpretation, and administrative law.”). 5. See, e.g., Mark Hansen, As Law School Enrollment Drops, Experts Disagree on Whether the Bottom Is in Sight, A.B.A. J. (Mar. 1, 2015, 1:50 AM CST), http://www.abajournal.com/magazine/article/as_law_school_enrollment_drops_experts_disagree_o n_whether_the_bottom (originally published as Mark Hansen, Count Off: Law School Enrollment Continues to Drop, and Experts Disagree on Whether the Bottom Is in Sight, A.B.A. J., Mar. 2015, at 64) (reporting that law school enrollment fell in 2014 for the fourth straight year). 6. See, e.g., Jennifer Smith, U.S. Law School Enrollments Fall, WALL ST. J. ONLINE (Dec. 17, 2013, 7:41 PM ET), http://online.wsj.com/news/articles/SB10001424052702304858104579 264730376317914 (suggesting that the lack of legal jobs is steering potential law students away from a law degree). 7. See, e.g., Power Flush: Thomas M. Cooley Law School and the University of La Verne College of Law Experience the Biggest-Ass Drops in Enrollment-by Percentage-Since 2010, THIRD TIER REALITY BLOG (Feb. 20, 2014), http://thirdtierreality.blogspot.com/2014/02/power-flush- thomas-m-cooley-law-school.html. 8. See, e.g., Robert J. Rhee, On Legal Education and Reform: One View Formed from Diverse Perspectives, 70 MD. L. REV. 310, 312-14 (2011) (calling for stronger ties between the legal academy and the practicing bar to better prepare law students for the realities of practice). ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 253 II. THE “OLD NORMAL” Countless scholars have written about the role of law schools in educating students.9 Historically, the role of law schools was described as preparing men and women for the practice of law.10 Legal education began with lawyers-in- training apprenticing at the feet of an experienced lawyer.11 In the late 1700s, students began to learn the law in classrooms through formalized curricula and trained instructors of the law. George Wythe was the first American law professor, selected by Thomas Jefferson and other leaders at The College of William and Mary, to train lawyers in an institutional setting.12 Wythe enjoyed great success as an academic, and his more noteworthy students included John Marshall and James Monroe.13 Many years passed between Professor Wythe’s classroom-based legal instruction and any modification of his model. Though Wythe formalized legal education, his approach was not a pedagogical method, and almost a century passed before one was introduced. In 1870, Christopher Columbus Langdell further transformed legal education by introducing the case-method and Socratic dialog to the study of law, while he was the law dean at Harvard University.14 By all accounts, Dean Langdell’s system of having students read appellate cases that had been collected into a “casebook” for easy reading was a novel organizational proposition.15 Moreover, Langdell regarded the study of law as a scientific discipline that could not only educate students but also shape future law by helping law students discover essential principles and doctrines.16 9. See generally, e.g., Benjamin V. Madison III, The Emperor Has No Clothes, But Does Anyone Really Care? How Law Schools Are Failing to Develop Students’ Professional Identities and Practical Judgment, 27 REGENT U. L. REV. (forthcoming 2015); Jerome M. Organ, Legal Education and the Legal Profession: Convergence or Divergence?, 38 OHIO N.U. L. REV. 885 (2012); Judith W. Wegner, Reframing Legal Education’s “Wicked Problems”, 61 RUTGERS L. REV. 867 (2009). 10. See, e.g., Kristin Booth Glen, Deaning for Whom? Means and Ends in Legal Education, 31 SEATTLE U. L. REV. 739, 745 (2008) (“[L]aw schools not only owe students the best possible education and preparation for practice, but that they also owe it to, and should take explicit notice of, the client base those students will serve.”). 11. See, e.g., LAWRENCE M. FRIEDMAN, A HISTORY OF AMERICAN LAW 238-41 (3d ed. 2005) (chronicling the early history of legal education); Bernadette T. Feeley, Examining the Use of For- Profit Placements in Law School Externship Programs, 14 CLINICAL L. REV. 37, 38-40 (2007) (chronicling the history of experiential education in the legal profession). See also generally Lynne A. Battaglia, “Where Is Justice?” An Exploration of Beginnings, 42 U. BALT. L.F. 1 (2011) (chronicling the history of women lawyers in Maryland). 12. See A Biography of George Wythe, 1726-1806, AMERICAN HISTORY: FROM REVOLUTION TO RECONSTRUCTION AND BEYOND, http://www.let.rug.nl/usa/biographies/george-wythe/ (last visited June 29, 2015). 13. Id. 14. See BRUCE A. KIMBALL, THE INCEPTION OF MODERN PROFESSIONAL EDUCATION: C.C. LANGDELL, 1806-1926, at 141-45 (2009). 15. For a helpful review of the Langdell narrative, see Jennifer S. Taub, Unpopular Contracts and Why They Matter: Burying Langdell and Enlivening Students, 88 WASH. L. REV. 1427, 1442- 46 (2013). 16. See id. at 1443. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 254 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 Surprisingly, not much has changed since Langdell. Sure, law schools have converted some two-semester, first-year courses into one-semester, four-credit courses, but the pedagogical approach that most law schools have employed still involves reading appellate cases and guiding students through an organized set of legal principles that, hopefully, inclines them to think and reason in a style similar to the way in which most appellate judges write. This process has been most commonly called “thinking like a lawyer.”17 As law schools have examined their curricula in recent years (perhaps because the American Bar Association requires them to do so for accreditation purposes),18 few institutions have been bold enough to depart from the Langdellian model in extraordinary ways. The David A. Clarke School of Law, at the University of the District of Columbia, requires all students, including first- year students, to participate in legal clinics.19 Yale Law School permits its first- year students to appear in court on behalf of real clients.20 At the College of William and Mary Marshall Wythe School of Law, all first-year students are divided into “law firms,” which are led by writing professors and practitioners, who work together to teach lawyering skills over the first two years.21 At Northeastern University, the granddaddy of experiential education,22 all students must complete four co-ops, equaling one year of practical education, as a condition of graduation.23 Overall, however, few schools have taken bold steps to reimagine the first-year curriculum and the same is true, to a certain extent, for upper-level courses. Even on a smaller scale, law schools are not keeping pace with the demands of our colleagues in the practicing bar. All over America, bar associations and others have expressed concern about civility within the profession.24 There are 17. For a more complete discussion of teaching law students to think like lawyers, see Brian H. Bix, Contract Texts, Contract Teaching, Contract Law: Comment on Lawrence Cunningham, Contracts in the Real World, 88 WASH. L. REV. 1251 (2013); Larry A. DiMatteo, Contract Stories: Importance of Contextual Approach to Law, 88 WASH. L. REV. 1287 (2013); Nancy Rapoport, Is “Thinking Like A Lawyer” Really What We Want to Teach?, 1 J. ASS’N LEGAL WRITING DIRECTORS 91 (2002), available at http://www.alwd.org/wp-content/uploads/2013/03/pdf/Rapoport.pdf. 18. ABA STANDARDS FOR APPROVAL OF LAW SCHOOLS, Standard 302 includes Interpretation 302-8, which provides, “A law school shall engage in periodic review of its curriculum to ensure that it prepares the school’s graduates to participate effectively and responsibly in the legal profession.” 19. See Introduction to Clinical Programs, U. D.C. DAVID A. CLARKE SCH. L., http://www.law.udc.edu/?page=ClinicIntro (last visited June 29, 2015). 20. See Clinics & Experiential Learning, YALE L. SCH., http://www.law.yale.edu/academics/ clinicalopportunities.htm (last visited June 29, 2015). 21. See Brian Kelley, Law School Launches New Program, C. WILLIAM & MARY (Jan. 9, 2013), http://www.wm.edu/news/stories/2013/law-school-launches-new-program123.php. 22. For a helpful explanation of experiential legal education, see David I.C. Thomson, Defining Experiential Legal Education, 1 J. EXPERIENTIAL LEARNING 1 (2015), http://digitalcommons.tourolaw.edu/cgi/viewcontent.cgi?article=1002&context=jel. 23. See The Incomparable Co-op: Four Full-time Work Experiences. Countless Opportunities, NORTHEASTERN U. SCH. L., http://www.northeastern.edu/law/experience/co-op/index.html (last visited June 29, 2015). 24. See, e.g., Helen W. Gunnarsson, Uncivil Action, 98 ILL. B.J. 408 (2010) (discussing how attorneys should respond to uncivil behavior directed toward them by other attorneys); Jennifer ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 255 innumerable continuing education programs on ethics, professionalism, sensitivity, and other related topics. Despite the number of courses in this broad area, the concern that the legal profession lacks civility continues to grow.25 Law schools should be leading the way with regard to ethics and professionalism training. Most of our students do not enter law school knowing what is “good” lawyer behavior and what is “bad” lawyer behavior, and we have the first opportunity to help them truly understand the difference. Unfortunately, the curricula at most law schools still does not include a course focused on ethics, professionalism, or civility until the second year, after students have all been out working in their first summer jobs or externships!26 While some academics might bristle at the notion of “teaching” ethics, preferring some organic method to expose lawyers-in-training to what it means to be ethical, it is possible for students to be introduced to fundamental ethical tenets. For example, a former student of mine was unaware that she could not talk about confidential communications she had with a client during her summer externship after her externship had ended. Another student did not completely grasp the concept of candor to the tribunal because he did not believe that he would have to disclose to a court every circumstantial legal authority that was contrary to the argument that he was presenting to the court. There are numerous other examples that can be “taught” prior to sending students into the workplace, even as a summer intern. Smith, Lawyers Behaving Badly Get a Dressing Down from Civility Cops, WALL ST. J. ONLINE (last updated Jan. 27, 2013, 10:35 PM ET), http://www.wsj.com/articles/ SB10001424127887323539804578263733099255320; Elie Mystal, Judge-Ordered Remedial Civility Classes = The New Killing It, ABOVE THE LAW (Sept. 2, 2011, 1:54 PM), http://abovethelaw.com/2011/09/judge-ordered-remedial-civility-classes-the-new-killing-it/. 25. See, e.g., Melissa S. Hung, Comment, A Non-Trivial Pursuit: The California Attorney Guidelines of Civility and Professionalism, 48 SANTA CLARA L. REV. 1127, 1128-29 (2008) (describing the State Bar of California’s apparent need to promulgate “Attorney Guidelines of Civility and Professionalism” to combat perceived declines in attorney professional interaction with one another and in the eyes of the public); Raymond M. Ripple, Note, Learning Outside the Fire: The Need for Civility Instruction in Law School, 15 NOTRE DAME J.L. ETHICS & PUB. POL’Y 359, 276 (2001) (calling for civility instruction in law school); Brooks A. Suttle, Comment, Reframing “Professionalism”: An Integral View of Lawyering’s Lofty Ideals, 61 EMORY L.J. 161, 165 (2011) (relying on Integral Theory to evaluate the “professionalism crisis” within the legal profession). 26. There are a few notable exceptions. See, e.g., Requirements for JD Degree, INDIANA TECH L. SCH., http://law.indianatech.edu/academics/curriculum/first-year/ (last visited June 29, 2015) (including first-year professionalism course requirement); Course Descriptions: First Year Curriculum, MERCER U. L., http://www2.law.mercer.edu/courses/index.cfm?blockid=1 (last visited June 29, 2015) (same); Fall 2014-SIU School of Law Class Schedule-First Year, S. ILL. U. SCH. L., http://www.law.siu.edu/_common/documents/calendar/fa14-1l.pdf (last visited June 29, 2015) (same); Doctor of Jurisprudence (JD), IND. U. BLOOMINGTON MAURER SCH. L. http://www.law.indiana.edu/degrees/jd/requirements/index.shtml (last visited June 29, 2015); Course Catalog, U. NOTRE DAME L. SCH., http://law.nd.edu/academics/curriculum (last visited June 29, 2014). For an interesting discussion of ethics education in the first-year curriculum, see Stephen McG. Bundy, Ethics Education in the First Year: An Experiment, 58 L. & CONTEMP. PROBS. 19 (1996). See also Lawrence K. Hellman, The Effects of Law Office Work on the Formation of Law Students’ Professional Values: Observation, Explanation, Optimization, 4 GEO. J. LEGAL ETHICS 537 (1991). ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 256 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 The law school “old normal” has become a hindrance to the legal profession. Lawyers and judges expect students to be more “practice ready” or “client ready,” but law school curricula have not changed fast enough to satisfy the bench and bar. Additionally, law schools continue to place rising 2Ls in summer work experiences with minimal grounding in the rules of ethics of our profession. More and more, employers are imploring the legal academy to educate students in new and different ways, so that they are more “practice ready.”27 Encouraging law schools to embrace change can be daunting, but today’s realities leave no other choice.28 III. INNOVATION IN LEGAL EDUCATION Significant change is coming to legal education, and it will likely occur at a pace that will be very uncomfortable for most deans and faculty. Declining enrollments and shrinking budgets will require law schools to innovate or disappear. There are not enough qualified applicants to fill all of the open seats among ABA-accredited law schools, and schools will have to act quickly to distinguish their programs if they want to survive. Faculty governance, however, often means committee meetings and discussions over long periods of time before changes are implemented. Many will resist; to be honest, the depth and breadth of change in legal education over the past 100 years has not been revolutionary … or even evolutionary. “A snail’s pace” seems apropos. If ever there was a case study for “if it ain’t broke don’t fix it,” law schools are the best examples. Applying the term “new normal” to law school deans and to legal education may actually be a misnomer in this day and age. The traditionally slow rate of change in academia writ large has been accelerating, primarily because of disruptive technologies used to deliver education in new ways.29 Slow change, 27. For example, in its 2014 Final Report, the ABA Task Force on the Future of Legal Education recommends: Prevailing law faculty culture, and the prevailing faculty structure in a law school, reflect the model of a law school as primarily an academic enterprise, delivering public value. This entrenched culture and structure has promoted declining classroom teaching loads and a high level of focus on traditional legal scholarship. …. The Task Force recommends that universities and law faculties move to reconfigure the faculty role and promote change in faculty culture, so as to support whatever choices law schools make to adapt to the changing environment in legal education. ABA TASK FORCE ON THE FUTURE OF LEGAL EDUCATION, FINAL REPORT 27-28 (2014). 28. See, for example, the comments of University of Houston law dean, Raymond Nimmer, discussing the urgency with which law schools must begin to act to keep pace with changing demands from the practicing bar. Texas Law School Deans Discuss the Future of the Law School Curriculum, 69 TEX. B.J. 764, 766 (2006). 29. Increasingly, curricula are being developed for distance education and delivery systems unbounded by time. See, e.g., Steve Kolowich, Legal Education and the Web, INSIDE HIGHER ED (May 8, 2012), https://www.insidehighered.com/news/2012/05/08/washington-u-law-school-offer- fully-online-degree (profiling Washington University Law School’s full-online-degree program. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 257 however, remains the norm in most of today’s law schools. Clinging to past education practices provides a defensive safety net for tenured law school faculty. A few high-profile faculty and deans are speaking out in favor of change, but good intention is nothing without action.30 Sadly, continuing to maintain the status quo is not only limiting legal education, it is also harmful to the profession of law. Author Clayton M. Christensen cites to changing technology as one of the factors that could threaten an existing law school, even one with a stellar reputation.31 He challenges businesses—although his theories could certainly be applied to educational institutions—to abandon traditional business practices. Christensen creates two categories of technology—sustaining and disruptive— and he repeatedly asserts that large business entities are designed to work with sustaining technology, but they should embrace disruptive technology.32 To Christensen, sustaining technology is the tried-and-true method of slowly modifying existing technology to suit business’ and customers’ needs.33 Disruptive technology, on the other hand, is like a new cell phone that is introduced quickly, perhaps to a limited market, and does not have all of the bugs worked out.34 Christensen asserts that corporate America can benefit from embracing disruptive technologies as well as sustaining technologies and that waiting for an idea (technology) to be perfect before launching it may be the difference between a corporation surviving and disappearing.35 In the higher education world, there are a number of innovations that law schools have been slow to embrace. MOOCs, or massive open online courses, have become popular vehicles to deliver instruction.36 Most are offered at no charge and often are not recognized by colleges and universities as credit- earning.37 Law school deans and faculty have said nary a word about MOOCs, in 30. See, e.g., Peter C. Alexander, Indiana Tech Law School: Preparing Students for Success in Law, Leadership, and Life (Apr. 11, 2013) (unpublished manuscript), available at http://ssrn.com/abstract=2273219; Bradley T. Borden & Robert J. Rhee, The Law School Firm, 63 S.C. L. REV. 1 (2011) (advocating for the creation of law school law firms to better connect law school education and law practice). 31. See generally CLAYTON M. CHRISTENSEN, THE INNOVATOR’S DILEMMA: THE REVOLUTIONARY BOOK THAT WILL CHANGE THE WAY YOU DO BUSINESS (Harper Bus. 2011) (2003). 32. Id. at xviii-xxix. 33. Id. 34. Id. See also MALCOLM GLADWELL, DAVID AND GOLIATH: UNDERDOGS, MISFITS, AND THE ART OF BATTLING GIANTS (2013). 35. CHRISTENSEN, supra note 31, at xxiv-xxvi. 36. For more information about MOOCs, see Massive Open Online Course (MOOC), EDUCAUSE, www.educause.edu/library/massive-open-online-course-mooc (last visited June 29, 2015), and 7 Things You Should Know About MOOCs II, EDUCAUSE LEARNING INITIATIVE (June 11, 2013), https://net.educause.edu/ir/library/pdf/ELI7097.pdf. 37. See Chris Parr, Moocs Are Free—But for How Much Longer?, TIMES HIGHER EDUC. (Aug. 21, 2014), https://www.timeshighereducation.co.uk/news/moocs-are-free-but-for-how-much- longer/2015204.article (explaining MOOCs have been provided at no cost). See also Kathryn Masterson, Giving MOOCs Some Credit, AM. COUNCIL ON EDUC. (May 1, 2013), ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 258 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 part because we do not fully understand them, but also because they do not comport with our current way of delivering legal education. Law is not alone; business schools have also questioned whether MOOCs are appropriate delivery models.38 MOOCs may have a place in legal education, however. Law students might be encouraged or required to complete some of their academic training via MOOCs, perhaps in the same way as online continuing legal education (“CLE”) courses are delivered to attorneys who need to complete a certain number of CLE hours in order to maintain their licenses. MOOCs might supplement classroom instruction and free up teacher time, so a faculty member is not teaching a rather narrow or esoteric topic to three or four students. Perhaps the students can receive the same instruction by enrolling in a MOOC that has been created by a law professor on the very subject in which they are interested. MOOCs might also facilitate much-needed innovation in more traditional law school courses. For example, the “flipped classroom” concept can be useful in conjunction with MOOCs that test a student’s basic knowledge before that student comes to class.39 One reason “outside of the box” ideas are resisted by law school deans is because the American Bar Association (“ABA”) standards for accreditation do not permit a lot of room for experimentation. The ABA counts minutes of instruction and limits the number of hours of credit-bearing coursework that can be completed outside of the classroom.40 Similarly, the accreditation rules limit the number of credit hours that can be delivered to students by individuals other than the full-time faculty.41 Query whether MOOCs would be considered by the ABA to be coursework or extra-curricular. Until we know more about them, MOOCs just do not fit comfortably within the existing accreditation paradigm. The ABA does have a mechanism by which law schools may experiment, however. Schools may seek waivers from accreditation standards to try innovative things; that is how two-year law programs were born.42 The process to approve “experiments” is not always simple and straightforward, and law schools may not have resources or time to devote to seeking approval of an http://www.acenet.edu/the-presidency/columns-and-features/Pages/Giving-MOOCs-Some-Credit.a spx (describing MOOCs as non-credit bearing). 38. See Cory Weinberg, Far from a Threat, MOOCs Could Help Solve the B-School, BLOOMBERG BUS. WK. (June 4, 2014, 10:04 AM), http://www.businessweek.com/articles/2014-06- 03/far-from-a-threat-moocs-could-help-solve-the-b-school-diversity-problem (explaining that business schools are reluctant to embrace MOOCs because of a fear that they will reduce enrollment and revenue, but also noting that free, online courses like MOOCs may reduce the educational costs to students of color and thereby increase enrollment in business schools). 39. For a helpful explanation of a “flipped classroom,” see Cynthia J. Brame, Flipping the Classroom, VANDERBILT U. CENTER FOR TEACHING, http://cft.vanderbilt.edu/guides-sub- pages/flipping-the-classroom/ (last visited June 29, 2015). 40. ABA STANDARDS AND RULES OF PROCEDURE FOR APPROVAL OF LAW SCHOOLS, Standard 304(b) (2013-14), available at http://www.americanbar.org/content/dam/aba/publications/misc/ legal_education/Standards/2013_2014_standards_chapter4.authcheckdam.pdf. 41. Id. at Standard 402. 42. Id. at Standard 802. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 259 innovative approach. More relaxation of the ABA’s regulatory authority will have to occur before true innovation will take place in legal education. IV. REIMAGINING THE LAW SCHOOL DEAN The law school dean is a key player in the effort to reshape legal education. There are actually a number of participants within legal education who have responsibility for training law students, including but not limited to registrars, associate deans, and faculty members. However, the dean is the person who most often sets the direction of a law school and who serves as the head cheerleader, steering all of a school’s constituencies in one direction. The challenge is that, as legal education changes, so must the role of the dean. In the new normal, law school deans must be as comfortable in a business environment as they are in an academic environment. Deans must be attuned to changing market pressures and forces as never before. More importantly, deans must embrace the new reality in which legal education finds itself. Professor William Henderson and Dean Andrew Morriss assert that the legal academy has to wake up and accept that the legal marketplace has fundamentally changed; moreover, the change is not temporary.43 These astute authors, who are as well versed in the field of business as they are in law, insist that legal education has not traditionally paid any attention to the concepts that could dramatically improve the business side of law school, e.g., efficiency, emergent strategies, and entrepreneurism.44 Prior to discussing a new list of expectations of law school deans, there must be some recognition of longstanding rules that still apply today. Higher education consultant Dr. Gary Krahenbuhl encapsulated the basic tenets of deaning in two “rules to live by.”45 Krahenbuhl stresses that deans must “maximize good” and “operate on the basis of principles.”46 When writing about maximizing good, Krahenbuhl posits that deans must try to pursue courses of action that accomplish “the most good,”47 which is more challenging than it sounds. Often deans must weigh options presented to them in terms of their value to the person presenting the option, other people within the academic unit, the students, the effect of the option on the university, and, perhaps, the world beyond the campus. Successful deans have a big-picture perspective, and they use their wide field of vision to balance the needs of several constituency groups before deciding how best to proceed on any initiative.48 The 43. Andrew P. Morriss & William D. Henderson, Lawyers and Law School Reform, 100 ILL. B.J. 414, 414 (2012), available at https://www.isba.org/ibj/2012/08/lawyersandlawschoolreform. 44. Id. at 415. 45. GARY S. KRAHENBUHL, BUILDING THE ACADEMIC DEANSHIP: STRATEGIES FOR SUCCESS 36 (2004) 46. Id. at 36-37. 47. Id. at 36. 48. For instance, most legal academics agree that University of California-Irvine’s law school dean, Erwin Chemerinsky, and Drexel University’s Thomas R. Kline School of Law dean, Roger Dennis, are visionary leaders who have had remarkable success leading new law schools to accreditation. Both deans have had to develop frameworks from which law school programs were ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 260 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 need for that kind of clarity of thought and level-headed decision-making will always be important and necessary. Likewise, Krahenbuhl’s admonition that deans should “operate on the basis of principles” remains vitally important for successful deaning, even today.49 He calls upon deans to discipline themselves to be fair and consistent when responding to requests for the dean to make a decision. For example, a dean who is asked to give a faculty member extra professional development funds, so that the faculty member can accept an unplanned invitation to speak at a conference within the professor’s discipline, should be decided, not on the basis of the dean’s relationship with this particular professor, but rather because the dean believes that flying the school flag in this manner and/or the importance of sharing the scholar’s research justifies the grant of additional funds. If guided by the latter reasoning, the dean should then have no basis to deny other, similarly situated faculty members the same opportunity should another request be raised. Traditional leadership principles, like those espoused by Dr. Krahenbuhl, have not disappeared in the era of the “new normal.” Indeed, those tenets are very important to successful deaning. Being “fair and balanced” as a leader— and being perceived as being fair and balanced—should collectively serve as a baseline expectation of all deans, notwithstanding the current usage of the phrase.50 The expectation of deans to succeed today is much more complicated than focusing on just the two important rules put forth by Dr. Krahenbuhl. For one reason, law school competition is fierce and, second, there are many more factors in play when a school is trying to achieve “success.” The number of ABA- accredited schools has exploded in the past 20 years and, until 2005, there was a steady increase in the number of students attending law school.51 At the same time, most law schools were trying to emulate Harvard or Yale or some other elite institution.52 As a result, “law schools increased their student bodies, … expanded faculties and reduced teaching loads, introduced ever-expanding created and both have had to lead faculty and staff through the morass of ABA regulations in order to become fully accredited. 49. KRAHENBUHL, supra note 45, at 37. 50. In 1995, Fox News registered “fair and balanced” as a marketing slogan for its news broadcasts, but that tag line was met with considerable criticism from those who believed that the news agency was neither fair nor balanced, but that it broadcast information from a pointedly conservative viewpoint. See Context of ‘1995: Fox News Registers ‘Fair and Balanced’ Slogan, Authors Claim Disproportionately Presents Conservative Viewpoints’, HISTORY COMMONS, http://www.historycommons.org/context.jsp?item=a0708foxfairbalanced (last visited June 29, 2015). 51. According to data published by the Law School Admission Council, there were 98,700 people applying to ABA-accredited schools in the fall of 2004, but that number dwindled to just 59,400 in 2013. See End-of-Year Summary: ABA (Applicants, Applications, Admissions), LSATS, Credential Assembly Service, LSAC, http://www.lsac.org/lsacresources/data/lsac-volume-summary (last visited June 29, 2015). 52. See Nancy B. Rapoport, Changing the Modal Law School: Rethinking U.S. Legal Education in (Most) Schools, 116 PENN ST. L. REV. 1119, 1123 (2012) (“Even the U.S. News & World Report rankings rank every ABA-accredited law school in the U.S. across one set of variables. Those rankings tend to reward schools that approximate Yale ….”). ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 261 curricula with greater emphasis on academic subjects and less on practice- oriented courses.”53 Little attention was paid to creating unique, innovative law school programs that could transform the ways in which professors teach and students learn. Within the past 10 years, the rate of curricular change has increased and more schools have started to modify their programs. Even as changes started to occur, many schools purported to make changes to their curricula in an effort to become more “practice ready”54 or “client ready,”55 but those changes have been often felt at the margins and did not transform an entire law school community. A quick survey of law school websites reveals that there are more clinics and externships available to students today, but there does not appear to be much in the way of integrated skills training. One does not read about curricula filled with lawyering skills exercises and ethics training attached to each or most courses. Without an across-the-board infusion of skills training, there is no way to ensure that all students are exposed to the skills that the bench and bar expect. Creating “practice ready” law graduates is only one facet of curriculum reform that schools must embrace. They must also respond to criticisms that law schools cost too much and that there are not enough jobs to accommodate all of the law school graduates.56 Another significant and persistent criticism is that a “professional” program, like law, one that purports to train students for the legal “profession,” has all but abandoned vocational instruction in favor of theory because of ivory-tower ignorance about what lawyers actually do.57 Attorneys Grace Liu and John Fitzgerald state the question more succinctly when they write, “The legal degree, a J.D., is a professional degree. When did a professional education system become so divorced from the profession it supports?”58 53. Morriss & Henderson, supra note 43, at 415. 54. See, e.g., Practice Ready, CATHOLIC U. AM. COLUMBUS SCH. L., http://www.law.edu/PracticeReady.cfm (last reviewed June 18, 2014); Chicago’s Practice-Ready Law School, JOHN MARSHALL L. SCH., http://www.jmls.edu/imready (last visited June 29, 2015); Experiential Learning, U. DENVER STURM C.L., http://www.law.du.edu/index.php/academics/ experiential-learning (last visited June 29, 2015). 55. See C-K Editor, Weekly Faculty in the News, 1/23/14, IIT CHICAGO-KENT FACULTY BLOG (Jan. 23, 2014), http://blogs.kentlaw.iit.edu/faculty/2014/01/23/weekly-faculty-in-the-news-1-23- 14/. 56. See generally, e.g., STEVEN J. HARPER, LAWYER BUBBLE: A PROFESSION IN CRISIS (2013) (criticizing how law schools operate and recruit students); PAUL CAMPOS, DON’T GO TO LAW SCHOOL (UNLESS): A LAW PROFESSOR’S INSIDE GUIDE TO MAXIMIZING OPPORTUNITY AND MINIMIZING RISK (2012) (guiding prospective law students through the law-school-selection process); BRIAN Z. TAMANAHA, FAILING LAW SCHOOLS (2012) (explaining why the current law school model is unsustainable). 57. See, e.g., A Conversation with Chief Justice Roberts (C-SPAN cable broadcast June 25, 2011), available at http://www.c-spanvideo.org/program/FourthCi. But see Will Rhee, Law and Practice, 9 LEGAL COMM. & RHETORIC: JALWD 273, 275 (2012) (calling the theory-practice divide “a false dichotomy”). 58. Grace I. Liu & John M. Fitzgerald, Train Lawyers, Not Legal Scholars, CHRON. HIGHER EDUC. (Jan. 28, 2014), http://chronicle.com/blogs/conversation/2014/01/28/train-lawyers-not-legal- scholars/?cid=at&utm_source=at&utm_medium=en. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 262 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 Within the past 10 years, many law schools have slowly begun to respond to the criticism that legal education bears little relationship to the actual legal profession. Schools have introduced “skills and values” educational components into their curricula, including the addition of legal clinics and additional externship opportunities. These changes come at a cost, however, because skills education is expensive.59 Responding to the “new normal” is complicated and not without consequences. First, someone has to lead the effort, to steer the ship that is a law school, in a new direction. That individual is almost always the dean, the chief executive officer of the unit. Moreover, it is nearly impossible for the average dean to lead the academic organization, serve as the “face” of the institution to external constituencies, be attentive to emergent opportunities, maintain a respectable home life, satisfy a demanding central university administration, and pay attention to the business aspects of a law school.60 Motivational speaker and storyteller Thomas Dismukes challenges leaders to work as hard at finding balance in life as we do to run our businesses.61 Dismukes is well respected as an author of the best-selling book, A Leader’s FOCUS, and he is a highly regarded expert on leadership theory.62 He asserts that successful leaders lead with “5 Hs”: Head, Heart, Hands, Health, and Habit.63 These leaders make the most of every second that they have available and following Dismukes’s prescription requires a completely different alignment of priorities for a law school dean. Further exploration of each of Dismukes’s five leadership characteristics is helpful. 1. Head Dismukes directs leaders to lead with “vision, values, empathy, and unity,” but he adds that great leaders also “lead with passion, encouragement, and motivation.”64 Law faculty are reporting that they are teaching students who 59. See, e.g., ROY STUCKEY AND OTHERS, BEST PRACTICES FOR LEGAL EDUCATION: A VISION AND A ROADMAP 130-31 (2007). The demands of experiential teaching are different from non-experiential teaching, and schools should take care to ensure that student-faculty ratios, caseloads in in-house clinics, and the overall obligations of experiential teachers are conducive to achieving the educational and programmatic goals of their courses. One must balance the need to give students meaningful experiences against the risk of overloading students or teachers and interfering with their abilities to achieve the educational goals of their courses. Id. at 179 (citing AALS/ABA GUIDELINES FOR CLINICAL LEGAL EDUCATION 24-25 (1980)). 60. For a compelling exposition of why the average tenure for law deans is relatively short, see generally Paul D. Carrington, Afterword: Why Deans Quit, 1987 DUKE L.J. 342. 61. See generally THOMAS DISMUKES, A LEADER’S FOCUS: FINDING THE BALANCE THAT DETERMINES PERSONAL AND PROFESSIONAL SUCCESS (2012). 62. See Thomas Dismukes: Biography, SPEAKERMATCH, http://www.speakermatch.com/ profile/ThomasDismukes (last visited June 29, 2015). 63. DISMUKES, supra note 61, at 50-52. 64. Id. at 50. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 263 struggle more with grammar, analytical reasoning, and “soft skills,” such as time- management and business etiquette.65 Law deans who seek to be regarded as great leaders must come to grips with the changing face of the law student, and they must help faculty realize that the students they are teaching are very different today. Most faculty members nostalgically recall learning the law at the feet of great legal minds in 50-minute lectures with one final exam either at the end of the semester or at the end of the year. Students, today, come to us over-stimulated in their everyday lives and they may even regard faculty members as “pals” or “buddies” rather than fonts of wisdom and insight.66 Faculty members have to design new methods of instruction and create new pathways for students to learn.67 Deans have to lead that charge. Deans must make funds available for faculty members to learn how people learn and how to teach the current generation of students. Faculty scholarship lunches and colloquia are important and are a time-honored tradition within law schools, but much more attention must be given to teaching workshops in order to better equip faculty members to teach to a wide variety of learning styles.68 Deans are more likely than other members of the law school community to have access to the important issues of the day facing higher education and law schools because of subscriptions to the Chronicle of Higher Education and the ABA Deans’ Listserv. Those outlets can and should provide deans with research and detailed information that can be shared with faculty members to help them better engage students. Cascading communication69 from the dean’s suite to the faculty might lead to teaching workshops that improve the faculty’s collective instructional quality or increased attendance at workshops focusing on issues facing legal education. Deans do not have to have all of the answers, but they have to create environments that motivate faculty members to teach in new ways. 65. See, e.g., Meredith Heagney, The Big Impact of “Soft Skills,” THE RECORD ONLINE (Fall 2013), available at http://www.law.uchicago.edu/alumni/magazine/fall13/keystone (describing the University of Chicago Law School’s Keystone Professionalism and Leadership Program, which helps law students develop stronger soft skills). See also Brittany Stringfellow Otey, Millennials, Technology and Professional Responsibility: Training a New Generation in Technological Professionalism, 37 J. LEGAL PROF. 199, 227 (2013) (calling for soft-skills education for the Millennial generation). 66. See, e.g., Kathy Lund Dean, Help! My Students Want to Friend Me! Boundaries, Relationships and the “Yuck” Factor in Professor-Student Interactions, THE ETHICIST BLOG (May 31, 2012), http://ethicist.aom.org/2012/05/help-my-students-want-to-friend-me-boundaries- relationships-and-the-yuck-factor-in-professor-student-interactions (advocating for the need for boundaries between faculty and students). 67. For a list of classroom innovations, see Nancy Levit et al., Innovative Teaching Techniques—Collected Ideas (Dec. 1, 2010), available at http://ssrn.com/abstract=1727376. 68. Most experts recognize seven learning styles. They are: visual, aural, verbal, kinesthetic, logical, social, and solitary. See Overview of Learning Styles, LEARNING-STYLES-ONLINE.COM, http://www.learning-styles-online.com/overview (last visited June 29, 2015). 69. “Cascading communication” is a process used regularly in business to ensure that decisions and other important information are passed from the executive suite through every level of the chain of command. See Cascading Communication Process, U.S. FISH & WILDLIFE SERV., http://www.fws.gov/southeast/shc/pdf/CascadingComms.pdf (last visited June 29, 2015) (explaining “cascading communication”). ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 264 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 Information-sharing should be an integral part of a dean’s vision for his or her law school. Lifelong exposure to technology has made it difficult for students to feel engaged when a professor merely lectures.70 These “digital natives”71 like to use technology all of the time. “Digital immigrants,” however, did not grow up using technology all of their lives; they adapted to a life where technology controls much of how we behave.72 Deans, nearly all of whom are digital immigrants, must help bridge the gap between the faculty (also more likely to be digital immigrants) and the students, who are largely digital natives. Again, deans may not know how to bring faculty comfort with technology up to the same level as student comfort, but deans have access to resources that can assist. Articles and monographs are regularly published about the use of technology in the classroom. Deans should be reading and clipping those articles to share with their colleagues. Faculty members should be encouraged to attend workshops and conferences that improve teaching with technology. Deans have to use their unique positions to link helpful information to faculty need for instructional resources. B. Heart Leading with heart is really a call to servant leadership. Dismukes says, “When one puts the needs of others first, the reward, satisfaction, and returns on that ‘investment’ is [sic] exponentially compounded.”73 Too often, academics lose focus and think our jobs are about cloistering ourselves and writing law review articles on rather esoteric topics like hermeneutics or semiotics because we hope that second-year law students at top law schools will select articles on those topics for inclusion in their journals. While it is true that scholarship is an important part of what we do—and scholarship can complement our teaching— deans can help direct (or redirect) some faculty members to scholarly endeavors that include students in ways that reinforce their lawyering skills.74 The same is true for deans and others in academic leadership positions.75 70. See generally Jennifer M. Brill & Chad Galloway, Perils and Promises: University Instructors’ Integration of Technology in Classroom-Based Practices, 38 BRIT. J. EDUC. TECH. 95 (2007) (reporting research findings that revealed the positive influence of technology on teaching and learning). 71. Speaker, leader, and game designer Marc Prensky defines “digital natives” as a generation that is very comfortable with technology because it has grown up with technology since birth and “digital immigrants” as those who have learned to adapt to the new technology-driven world. See Marc Prensky, Digital Natives, Digital Immigrants, ON THE HORIZON, Oct. 2001, at 1, 3, available at http://www.marcprensky.com/writing/Prensky%20-%20Digital%20Natives,%20Digital%20 Immigrants%20-%20Part1.pdf. 72. Id. 73. DISMUKES, supra note 61, at 50. 74. For example, at Indiana Tech Law School, the Lawyering Skills faculty members have worked with first-year law students to research amicus briefs before the Indiana and U.S. Supreme Courts. In one case, the Indiana Supreme Court held in favor of the position advocated by the professors in their brief and specifically thanked the professors for their assistance. See generally Wilson v. State, 5 N.E. 3d 759, 762 (Ind. 2014) (“We thank the Public Defender of Indiana, and ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 265 Deans must convey the image of a law school in its most complete sense. A law school is a learning laboratory, one in which faculty and students can collaborate and where new knowledge is shared between all constituencies. This re-imaging is essential to begin a discussion about the kinds of activities that an institution values; moreover, that conversation can lead to real and meaningful changes in not only the curriculum but also in promotion and tenure standards, merit raises, and post-tenure expectations. Writing for the sake of writing has a place, but not in a law school; a law school is not a think-tank. Writing to two or three colleagues in a very narrow sub-specialty is exciting, but the benefit of such an endeavor cannot possibly be the greatest benefit to the students or to the law school.76 Query, therefore, whether scholarship focused on esoteric topics is the best use of a faculty member’s time and talent. Discussions about how to teach, what to teach, or what to write about are all very sensitive issues, and faculty members quickly attach to such conversations accusations that academic freedom is being attacked.77 Those concerns notwithstanding, deans have to summon the courage to incline faculty members to create greater synergies between their scholarship and the teaching of lawyering skills so that both are relevant to each other. Deans must also encourage faculty members to collaborate with students to improve the students’ research and writing skills, providing them with practical application of the legal principles that they are learning. Perhaps merit funds (to the extent that they exist) could be used to incentivize faculty-student collaboration that enhances the students’ lawyering skills? Creating an environment where healthy faculty dialog about the mission and purpose of teaching and scholarship is encouraged is no doubt exhausting work, but it is necessary in the new normal. Law school applications have plummeted, and they may not return to the levels seen as recently as five or six year ago. Law schools can no longer afford to offer curricula that are so broad that full professors and endowed chairs teach two or three students some obscure area of law. Likewise, the legal academy cannot afford intellectual silos in which faculty separate themselves from their students once class has ended. There is Professors Charles MacLean, James Berles, and Adam Lamparello (collectively, ‘the Amicus Professors’) of the Indiana Tech Law School in Fort Wayne, for responding and providing their additional insights.”). 75. Former Medronic CEO, Bill George, and his co-author, Peter Sims, challenge individuals who seek leadership positions to ask themselves two important questions: “‘What motivates me to lead’ and ‘What is the purpose of my leadership?’” BILL GEORGE & PETER SIMS, TRUE NORTH 28 (2007). The pair urges leaders to focus on “inner satisfaction” and to work hard to stay grounded. Id. at 29. 76. Some colleagues may bristle at the notion of measuring scholarship by its impact on or benefit to students and law school communities. The adoption of this “standard,” however, is not intended just to provoke; it is, after all, why law professors have jobs. We are expected to educate students and to create communities that will foster student learning. 77. “People may be inhibited from doing their best work if they fear offending outside forces, such as politicians or donors, or inside authorities, such as trustees or senior administrators. Without academic freedom, our society would lose professors’ best inventions, scholarship, and creative products.” ANN FRANKE, ACADEMIC FREEDOM PRIMER 2-3 (2011), available at http://agb.org/sites/agb.org/files/u1525/Academic%20Freedom%20Primer.pdf. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 266 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 real value to the students, and the entire law school community, when teaching and learning take place everywhere. 3. Hands To lead with hands is to lead by example.78 Law school deans should model good faculty behavior. They should teach, write, and serve in the same way that they ask their faculty members to perform, albeit with a lower expectation of productivity. While no one expects that a dean will teach a four- course load, every dean can and should teach at least one course per year. After all, interacting with students in the classroom is an important part of why most of us entered the legal academy in the first place. Additionally, many deans report, including the author, that they gather their best “intelligence” about the state of the law school or university from the students they teach because the students in their classes are likely to have the greatest comfort level with their “teacher- dean.” The students are more apt to share the institutional joys and concerns with that person than they would any other faculty member. Regarding service, deans need to share committee work with their colleagues. Serve on a faculty committee, as a faculty member, not ex officio as the dean. Chair a committee on occasion and be reminded how much work it can be to shepherd an idea through the faculty governance process. Lead faculty by reminding them that you are a faculty member as well and that you understand what it means to be a faculty member. Those leadership examples will be long lasting and very helpful to colleagues in the long run. In addition, deans, and all law-trained members of the legal academy should engage in some pro bono activity, if possible. We are learned legal professionals, with virtually unlimited resources available to us;79 why shouldn’t we use our gifts to benefit those less fortunate than ourselves? Producing scholarship is more difficult. Deans have challenging jobs, demanding enormous amounts of time and energy, and the one thing that interferes with the core functions of being dean is spending enormous amounts of time and energy on scholarship. Even with the acknowledgement that it is difficult to produce scholarship, deans must do it. We have unique perspectives and often have untested ideas that we need to share somehow and with someone. Our faculty colleagues are not always the best subjects with whom to share a new idea because some people regard ideas shared by a dean as an edict. We need pushback and genuine questioning of our proposals, just like all faculty scholars. Scholarship that involves the sharing of new knowledge and testing of proposals is helpful not only to the author-dean but also to the legal community.80 78. DISMUKES, supra note 61, at 51. 79. “Unlimited resources” refers to the rich library collections, access to Westlaw and LEXIS, and assistance from trained professional reference librarians, among other things, that are available to academics. 80. It is healthy for a law school to build a culture where the dean can share his or her work with colleagues within their own schools and receive constructive feedback. Deans need to work to create a safe space for scholarly dialogue within a school, and the dean has to work hard to create ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 267 Deans cannot be expected to write law review articles and book chapters and books. Some do and that is an incredible achievement.81 More often than not, our schedules allow for us to write essay-length pieces, and that is okay.82 Sometimes fewer words may convey an idea better, because it is short and to the point; people may be more likely to read it. Deans can make other important scholarly contributions beyond writing. An intrepid dean could lead the faculty through the development of incentives and policies that promote a scholarship of teaching. Such scholarship would focus on the rigorous assessment of student learning gains and competency. It would also involve interdisciplinary work with education researchers, and it would likely have a serious empirical component. The dean is in the best position to encourage experimentation in teaching, and then the faculty member(s) could measure and report the results. A few legal scholars are engaged in this type of work, and this type of activity is one possible avenue to building synergy between scholarship and teaching.83 4. Health Dismukes calls for greater focus on personal health in order to improve personal performance. He asserts, “The greater the individuals’ level of fitness, the greater their mental, emotional, and physical performance.”84 Law deans have demanding jobs, and focus on one’s mental and physical health is not always at the top of the list of things to which deans pay attention.85 At a minimum, deans must be mindful that faculty and staff members also have demanding jobs and that stress can undermine the effectiveness of an enterprise. Everyone needs stress relief to be their most productive selves. “Mental health breaks” are one very important tool for an organization to employ, and deans must ensure that the members of their units, including them, have meaningful opportunities to recharge their batteries. Faculty schedules typically mirror student schedules, so there are built-in breaks that are usually this space, sharing drafts and getting critiques without appearing to be issuing edicts. Mainly, deans have to show that they have thick skin and welcome critical comments. 81. See, for example, the scholarship of Dean Erwin Chemerinsky (University of California– Irvine School of Law), JoAnne Epps (Temple University Beasley School of Law), and Harold J. Krent (IIT Chicago-Kent College of Law). 82. See generally, e.g., Phoebe A. Haddon, Has the Roberts Court Plurality’s Colorblind Rhetoric Finally Broken Brown’s Promise?, 90 DENV. U. L. REV. 1251 (2013) (writing a powerful but essay-length piece about the U.S. Supreme Court’s decision in Keyes v. School District No. 1, 413 U.S. 189 (1973), and its continuing significance). 83. See, e.g., GERRY HESS, MICHAEL HUNTER SCHWARTZ, & SOPHIE SPARROW, ASSESSMENT: A COMPREHENSIVE GUIDEBOOK FOR LAW SCHOOLS (2014). 84. DISMUKES, supra note 61, at 51. 85. See generally Nancy B. Rapoport, Decanal Haiku, 37 U. TOL. L. REV. 131 (2005) (using clever prose to describe all of the stresses on law deans, but concluding that it is all worth it). See also Robert K. Walsh, Advice from the New Deans Boot Camp, 34 U. TOL. L. REV. 185, 191 (2002) (acknowledging that there are stressful parts of a dean’s job); Cynthia L. Fountaine, Stepping In: The Unique Challenges Faced by Interim Law Deans, 40 U. TOL. L. REV. 343, 346 (2009) (describing the stress inherent in the transition from the last “permanent” dean to an interim). ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 268 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 available to the instructors. Staff members, however, work in the “business side of the house” and often have only a few vacation days or personal days available to them. Deans have to protect members of the team from burnout or from working so far behind the scenes that they have no sense of connection with the students. They must be educated to think of themselves as a participant in each student’s education by teaching or reinforcing interpersonal skills and by modeling professionalism and accountability whenever possible. To ensure that the staff members are operating at their best, deans must encourage them to use vacation time and to spend time away from the institution. We all need it, and our students deserve it.86 Faculty and staff retreats can also be useful tools to help colleagues get to know one another in a less formal environment. Going off campus, or even to an unfamiliar building across campus, can change the manner and/or method of interpersonal communications within a team. Once “in retreat,” the dean should use the time that everyone is together to help colleagues learn more about each other as well as to tackle strategic planning, crisis management, or whatever matter is on the agenda. There needs to be a mixture of fun and work, however. All the retreats and faculty-staff interactions in the world cannot substitute for finding time for one’s own self, however. Faculty, staff, and even the dean, have to create personal time to shut out the pressures of work and family and to focus on their individual needs.87 Some leaders jog or do yoga; others listen to music, meditate, watch television, or read. Everyone needs to find some outlet on a regular basis in order to find their center and to prepare for the next day’s challenges. Take vacations! Not only does the dean need the time away, but the staff who surround the dean often need the dean to be away. Sometimes, an office may be energized from something as simple as removing the daily presence of the boss for a few days. No matter what challenges deans face in their jobs, they cannot be nearly as effective in the role of the dean if they are not of sound mind and body. Every dean must take time to look out for himself or herself because, at the end of the day, no one else is doing that for us, and we have to be in our best health in order to carry out our duties successfully. E. Habit Good leaders “lead[] through their habits.”88 The best leaders get things done, and they do so with dispatch.89 In the new normal, life moves quicker. 86. Chris Blank, What Are the Benefits of Taking a Vacation?, USA TODAY ONLINE, http://traveltips.usatoday.com/benefits-taking-vacation-1755.html (last visited June 29, 2015) (“According to the 2009 International Vacation Deprivation Study, … more than 30 percent of Americans did not use all their vacation days. One of the major reasons Americans leave vacation days unused is the fear of losing their jobs, according to CNN. However, vacations are beneficial, not only to workers, but to their companies and to the American economy as well.”). 87. GEORGE & SIMS, supra note 75, at 144-45 (advocating that finding time for one’s self enables authentic leaders to remain grounded). 88. DISMUKES, supra note 61, at 52. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 269 Our students come to us having lived with “instant everything.” Our faculty and staff regularly multi-task (with varying degrees of success) to try and accomplish all of the goals they must meet each day. To a certain extent, there is not a lot of time for deliberation or extended explorations of ideas and opportunities. Decisions have to be arrived at very fast, and, after a reasonable amount of time, weak decisions must be abandoned. Law schools and, perhaps, universities, must move quicker to respond to market changes and to capture new opportunities. Motivational speaker Ken Futch suggests that “[p]erceptions are seldom changed with words, but rather with demonstrated behaviors.”90 He is correct. Too often, good ideas or emerging strategies are swallowed up in protracted committee meetings and faculty deliberations. A long, deliberative process can result in a great opportunity evaporating or being seized upon by another law school.91 In his best-selling book, The Innovator’s Dilemma, author Clayton Christensen describes “good companies” as those that have a high ability to “innovate and execute.”92 Viewing law schools as “companies,” for a moment, helps to illustrate how far deans must be willing to travel in the new normal to lead successful institutions. Traits such as innovation and execution are not present in good companies by accident. Innovation requires, in part, an ability to take risks and not be afraid of failure. Execution mandates that a leader be able to make a decision. Neither innovation nor execution is a typical characteristic of a law school dean. As a result, deans need to create positive incentives for innovation so that people are willing to try AND to fail. Deans are, by and large, academics who have been called upon to lead other academics; they are not business leaders who have been hired to oversee other academics. When deans are selected, the announcements do not normally tout their extensive business acumen or their MBA degrees; most are selected because of their legal academic pedigree, their scholarly achievements, and/or their 89. Brent Gleeson, 4 Ways for Leaders to Make a Decision, FORBES (Nov. 7, 2012, 6:19 PM), http://www.forbes.com/sites/brentgleeson/2012/11/07/4-ways-for-leaders-to-make-a-decision (“[B]usiness owners, executives and managers must master the ability to make good decisions quickly in order to keep the business moving forward.”). 90. KEN FUTCH, TAKE YOUR BEST SHOT: TURNING SITUATIONS INTO OPPORTUNITIES 164 (2005). 91. At Indiana Tech, curricular and programmatic decisions rarely take long periods of time to propose, investigate, and implement; it is rare that such decisions would require more than a few months to fully implement. Rather than refer all such academic matters to a faculty senate committee, the university president assigns to a few key people the responsibility of shepherding ideas to completion. As a result, Indiana Tech enjoys a reputation as a school with an academic program that is nimble and responsive to the needs of its students and the employers who employ them. See, e.g., INDEPENDENT COLLEGES OF INDIANA, 2014-15 GUIDEBOOK 19, available at http://c.ymcdn.com/sites/www.icindiana.org/resource/resmgr/PDFs/Guidebook_14-15_pdf.pdf (“Indiana Tech frequently reviews academic programs to ensure that the university offers contemporary degrees with significant career potential. Recently developed programs include fashion marketing and management, software engineering, energy engineering, and computer security and investigation.”). 92. CHRISTENSEN, supra note 31, at xi. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 270 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 general reputation within the legal academy.93 As long-time citizens of colleges and universities, however, deans are also acutely sensitive to the political realities of their jobs; consequently, they are constantly balancing the direction in which they would like to take their law schools against the interests of a host of stakeholders. University administrators and/or boards of trustees often have one view of the direction a law school should take (ever mindful of the cost of running a law school and the public relations positives and negatives that law schools often represent), while faculty and students may desire to take on important (occasionally unpopular) causes.94 Similarly, alumni often have fond memories of professor “X” or of a particular course, and the thought of new students not sharing their experiences is sometimes unacceptable. Balancing the interests of competing and converging interest groups often calls for thoughtful deliberation and consultation with people holding many different perspectives, but the decision-making must occur more quickly. Law deans prefer to give faculty committees (which often include administrators and students) opportunities to have input into important decisions that will bind the law school in general or some significant portion of the operation. Shared governance, which is expected by the ABA and the Association of American Law Schools, is important to the successful operation of law schools, and deans are typically mindful of the need to be inclusive as the leader of law school. However, shared governance takes time and, in the new normal, time is the enemy. As difficult as it might be to accept, Clayton Christensen asserts that disruptive strategies mean that leaders have to position themselves to make “huge, long, and risky bets” in order to achieve huge success.95 Moreover, leaders have to be able to recognize failing bets quickly and move to a different strategy. Legal education, and the legal profession in general, is not accustomed to “huge, long, and risky bets.” Our profession expects calm, time for reflection, and a certain amount of distance between the lawyer and a client’s problem. Rapid decision-making is not consistent with the view of an attorney as a wise and learned counselor. This Essay is not calling for wholesale abandonment of reflection and caution; however, in training the next generation of lawyers and legal professionals, the educators have to be willing and able to make quicker decisions and to be more sensitive to emerging strategies and more responsive to 93. “Law schools look for deans who are all things to all people. Virtually everyone wants a skilled administrator, a great and proven fund-raiser, a super-star scholar (the most frequently sacrificed aspiration in a dean), a leader committed to his or her institution, and much more.” Kevin R. Johnson, Deciding to Become a Dean, 31 SEATTLE U. L. REV. 813, 815 (2008) (emphasis added). 94. For example, Tulane University’s environmental law clinic often finds itself representing clients whose interests may be adverse to popular will or governmental interests. “Clinic student and supervising attorneys litigate environmental ‘citizen suits’ to abate industrial pollution, appeal permits for environmental pollution or destruction of wetlands, challenge agency regulations that fall short of legislative mandates, and prod agencies to perform statutory duties.” See Tulane Environmental Law Clinic, TULANE U., http://www.tulane.edu/~telc/ (last visited June 29, 2015). 95. CHRISTENSEN, supra note 31, at 180. ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM Winter 2015] “THE NEW NORMAL” 271 the needs of profession. Regular training of faculty and staff to enable them to be faster decision-makers will have to occur in the new normal if legal education is going to have any chance to keep pace with the rapid rates of change in business and industry. V. CONCLUSION Legal education is at a crossroads. The once-reliable flood of pre-law students seems to have slowed to a trickle. To adjust for the change, educators— law school deans in particular—must lead in new ways. The judiciary and the practicing bar are demanding that law students be trained more efficiently and more effectively to enable them to better represent their future clients. Students view themselves as consumers who want value-added educational experiences for the ever-increasing tuitions that they must pay. In recent years, law schools have begun to move away from the educational model developed by Dean Christopher Columbus Langdell, and lawyering skills have gained a foothold in curricula all over the country. More work must be done, however, because not every institution embraces a shift toward practical training.96 Deans must reorient faculty and staff to become faster decision- makers, and deans must lead differently. Law school deans must be business-savvy and conversant in the language of business and industry. They must be ready to implement new strategies and tactics. In addition, deans and the university presidents to whom they report cannot be afraid to fail at some initiatives. The law schools that will thrive in the new normal will be those that are nimble, not shackled to past practices and past thinking, but also able to plan for law students to go out into a professional setting that may not even exist yet. The challenges for legal education are great, and law school deans feel the full weight of the pressure to succeed most of all. Law schools conducting dean searches will also have to consider the new normal when seeking their next leaders. Finding a nationally celebrated scholar may not be the best criterion by which to judge whether someone is best able to lead a law school in the new normal. To be sure, having a well-respected scholar at the helm is not a negative, but this author suggests that one’s scholarly pedigree should be far down the list of essential qualifications that a law school dean must possess. Law schools will need a new type of leader in order to survive in the new normal. That person must have a strong grounding in the practice of law, the ability to create relationships with the practicing bar, and excellent leadership skills. That person must lead his or her colleagues to think outside of the box when providing instruction to law students. That person must command the respect of all of a law school’s constituent groups and not by virtue of carrying 96. See, e.g., David Lat, Yale Law Says: Practical Training Is for Little People, ABOVE THE LAW (Apr. 7, 2014, 4:32 PM), http://abovethelaw.com/2014/04/yale-law-says-practical-training-is- for-little-people (“When people say we need more practical education in law school, I think, sure, if you are at number 20 it matters…. Yale Law School will do what it wants.”). ALEXANDER_FINAL2.DOCX (DO NOT DELETE) 8/11/2015 9:08 PM 272 UNIVERSITY OF TOLEDO LAW REVIEW [Vol. 46 the title “Dean;” s/he must lead comprehensively, through “Head, Heart, Hands, Health, and Habit.” Deans who will lead institutions in the new normal will be harder for search committees to identify, because the standard checklist of qualifications no longer suffices; however, schools that are fortunate enough to hire those innovative and talented deans will be rewarded. They will have the best chance to train law students effectively and to prepare them to serve their future clients in a quickly changing legal market and in a quickly changing world. 
work_vv4csb7gajfrjiuc2qiad26z2u	----	RESEARCH REPORT Secular trends in sex ratios at birth in North America and Europe over the second half of the 20th century V Grech, P Vassallo-Agius, C Savona-Ventura . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . J Epidemiol Community Health 2003;57:612–615 Context: A previous study showed that significantly more boys were born in southern latitudes in Europe than in northern latitudes and the converse pattern was observed in North America. Objective: This study analyses secular trends in gender ratios for live births over the second half of the 20th century. Design, setting, participants: Analysis was carried out from a World Health Organisation dataset comprising live births over the above period. This included 127 034 732 North American and 157 947 117 European live births. Main outcome measures: Analysis of trends in gender ratios for countries in both continents. Results: The findings show a highly significant overall decline in male births in both Europe and North America (p<0.0001), particularly in Mexico (p<0.0001). Interestingly, in Europe, male births declined in North European countries (latitude>40°, p<0.0001) while rising in Mediterranean countries (latitude ≅35–40°, p<0.0001). These trends produced an overall European male live birth deficit 238 693 and a North American deficit of 954 714 (total male live birth deficit 1 193 407). Conclusions: No reasonable explanation/s for the observed trends have been identified and the causes for these trends may well be multifactorial. S ex in reptiles and fish is determined after conception, during embryogenesis, according to ambient environ- mental temperature.1 In contrast, in mammals and birds, sex is determined at conception. In mammals, male births invariably occur slightly in excess.2 The male to female ratio of live births is generally expressed as the ratio of male live births divided by total live births (M/F), and the human M/F is expected to be 0.515, with approximately 3% more males born than females.3 The reason for this discrepancy is uncertain as testicles produce equal numbers of X-bearing and Y-bearing spermatozoa.4 Several theories have been put forward to explain why this ratio should not be 0.5, with equal number of male and female births. These theories include the timing of conception within the ovulatory cycle,3 endocrine effects,5 and immunological effects.6 We have shown that M/F varies in geographical space, exhibiting a latitude gradient,7 and that this gradient is differ- ent in Europe and North America, with more males born towards the south of Europe, compared with the North American continent where more males are born towards the north of the continent.8 Other studies have also shown that M/F may vary with time. Several authors have shown that M/F has declined over the second half of the 20th century in various industrialised countries. These include Denmark,9 the United Kingdom,10 the Netherlands,11 Germany,12 Canada,13 the United States of America,14 and Finland.15 In contrast, M/F has been noted to have risen in Ireland over the same period.16 A non-significant rise in M/F has also been noted in Australia17 and Japan.18 James has proposed that M/F fluctuates over a 30 year cycle.19 In this study, we identify secular trends in M/F in dif- ferent countries and continents from a World Health Organis- ation dataset for the second half of the 20th century. We also analysed these trends by geographical latitude in Europe and briefly review the relevant literature regarding this topic. METHODS Data sources Annual male and female live births were obtained directly from WHO. Data were available for 1950–97 for the North American continent (Canada, USA, and Mexico), and for European countries for the period 1950–99, with the following exceptions: Data were not available for Mexico for the period 1950–8 and for 1996–7. Data were not available for the years 1998–9 for the following countries: France and Spain. Data were not available for 1999 for the following countries: the Nether- lands, Poland, United Kingdom, Germany, Norway, and Greece. Data for Romania were not available for the period 1950–54. Stillbirths are not included in this study and neither were data from small countries. Statistics The quadratic equations of Fleiss were used for exact calcula- tion of 95% confidence limits for ratios. 20 Linear regression was used for the calculation of association of annual M/F with time. Graphs are drawn as five year moving averages. A p value <0.05 was taken to represent a statistically significant result. RESULTS There has been a significant decline in M/F ratios during the second part of the 20th century in both the European and North American continents (fig 1). Live birth data and regression calculations for countries studied are shown in table 1. Europe This continent included a study (live birth) population of 157 947 117. A statistically significant decrease in M/F was noted in Greece, Hungary, Poland, and Sweden. A decline in M/F, albeit not statistically significant, was found in Austria, Belgium, Bulgaria, Norway, Portugal, Romania, and Switzer- land. In contrast, M/F rose significantly in France and Italy. M/F rose and then fell in Spain, with an overall significant rise. See end of article for authors’ affiliations . . . . . . . . . . . . . . . . . . . . . . . Correspondence to: Dr V Grech, Paediatric Department, St Luke’s Hospital, Guardamangia, Malta; victor.e.grech@govt.mt Accepted for publication 2 January 2003 . . . . . . . . . . . . . . . . . . . . . . . 612 www.jech.com o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://je ch .b m j.co m / J E p id e m io l C o m m u n ity H e a lth : first p u b lish e d a s 1 0 .1 1 3 6 /je ch .5 7 .8 .6 1 5 o n 2 5 Ju ly 2 0 0 3 . D o w n lo a d e d fro m http://jech.bmj.com/ Summation of live births for Mediterranean countries that span latitude ≅35–40° (Bulgaria, Greece, Italy, Portugal, and Spain) showed a significant rise in M/F. Live births for the remaining European countries above latitude 40° (Austria, Belgium, Denmark, Finland, France, Germany, Hungary, Ireland, the Netherlands, Norway, Poland, Romania, Sweden, Switzerland, and the United Kingdom) showed a significant fall in M/F (fig 2). Assuming an expected M/F of 0.515, these trends produced a male birth deficit of 12 744 in the Mediterranean region, 212 780 in central Europe and 13 169 in the Nordic countries; a total male birth deficit of births 238 693. North America This continent included a study (live birth) population of 127 034 732. The combined North American continent data (Mexico, USA, and Canada) showed a significant decline in M/F (fig 1). M/F declined significantly in the USA and Mexico (fig 3). Once again, assuming an expected M/F of 0.515, these trends produced a male birth deficit of 21 993 in Canada, 410 932 in the United States, and 521 789 in Mexico; a total male birth deficit of 954 714. The combined live male birth deficit for the two continents was 1 193 407. Figure 1 M/F ratios for Europe (combined), North America (combined), and both continents combined. Table 1 Male, female, total births and linear regression of sex ratio with time for countries included in this study Country Male live births Female live births Total live births r p M/F 95% CI Denmark* 1680922 1588490 3269412 −0.29 0.49 0.5141 0.5136 to 0.5147 Finland* 1741682 1652473 3394155 −0.10 0.50 0.5131 0.5126 to 0.5137 Germany* 25678261 24239453 49917714 −0.75 <0.0001 0.5144 0.5143 to 0.5146 Ireland* 1498481 1416062 2914543 0.45 0.002 0.5141 0.5136 to 0.5147 Netherlands* 5160590 4899973 10060563 −0.60 <0.0001 0.5130 0.5126 to 0.5133 UK* 20441737 19330020 39771757 −0.61 <0.0001 0.5140 0.5138 to 0.5141 Austria 2600186 2466512 5066698 −0.13 0.38 0.5132 0.5128 to 0.5136 Belgium 3138073 2965932 6104005 −0.17 0.26 0.5141 0.5137 to 0.5145 Bulgaria 3176760 3000118 6176878 −0.22 0.13 0.5143 0.5139 to 0.5147 France 19579581 18634567 38214148 0.52 <0.0001 0.5124 0.5122 to 0.5125 Greece 3395944 3168572 6564516 −0.43 0.002 0.5173 0.5169 to 0.5177 Hungary 3815036 3587994 7403030 −0.65 <0.0001 0.5153 0.5150 to 0.5157 Italy 18671513 17652250 36323763 0.73 <0.0001 0.5140 0.5139 to 0.5142 Norway 1444600 1363935 2808535 −0.15 0.31 0.5144 0.5138 to 0.5149 Poland 15295234 14359427 29654661 0.80 <0.0001 0.5158 0.5156 to 0.5160 Portugal 4283717 4015694 8299411 −0.03 0.81 0.5161 0.5158 to 0.5165 Romania 8082232 7649545 15731777 −0.27 0.07 0.5138 0.5135 to 0.5140 Spain 13600342 12805240 26405582 0.69 <0.0001 0.5151 0.5149 to 0.5152 Sweden 2607559 2459796 5067355 −0.51 <0.0001 0.5146 0.5141 to 0.5150 Switzerland 2103563 1995775 4099338 −0.07 0.65 0.5131 0.5127 to 0.5136 Mediterranean (35-40°) 43128276 40641874 83770150 0.66 <0.0001 0.5147 0.5148 to 0.5149 Northern Europe (>40°) 114818841 108564205 223383046 −0.84 <0.0001 0.5139 0.5140 to 0.5141 All Europe 157947117 149206079 307153196 −0.68 <0.0001 0.5142 0.5142 to 0.5143 Canada (>50°)* 8012882 7588817 15601699 0.26 0.79 0.5136 0.5133 to 0.5138 USA (30-50°)* 76827922 73150435 149978357 −0.73 <0.0001 0.5123 0.5122 to 0.5123 Mexico (<30°) 42193928 40749212 82943140 −0.76 <0.0001 0.5087 0.5086 to 0.5088 North America 127034732 121488464 248523196 −0.73 <0.0001 0.5112 0.5111 to 0.5112 *Previously reported. Figure 2 Summation of M/F ratios for Mediterranean and northern European countries. Figure 3 M/F ratios for Canada, the United States of America, and Mexico. Trends in sex ratios at birth 613 www.jech.com o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://je ch .b m j.co m / J E p id e m io l C o m m u n ity H e a lth : first p u b lish e d a s 1 0 .1 1 3 6 /je ch .5 7 .8 .6 1 5 o n 2 5 Ju ly 2 0 0 3 . D o w n lo a d e d fro m http://jech.bmj.com/ DISCUSSION In utero, the male fetus is more prone to morbidity and mor- tality from external influences than the female fetus. Moreover, the male fetus is at greater risk of all obstetric com- plications than the female fetus and readers are referred to the review by Kraemer.21 Despite these adverse factors, males are invariably born in excess of females,2 implying an even higher conception rate of males over females than evinced by the sex ratio at birth. In the first half of the 20th century, antenatal care improved dramatically in industrialised countries, which led to a fall in stillbirths, most of which would have otherwise been male. This therefore led to an increase in the M/F ratio. 9 22 M/F then declined in several countries in the second half of the 20th century, and one study has proposed that M/F could be used as a sentinel health indicator.23 This is supported by data from Italy that showed that in metropolitan areas, M/F declined in comparison with the rest of the country where M/F increased.24 However, there are several arguments against this hypoth- esis. Firstly, in Finland15 and in Malta,7 the decline in M/F pre- dated the countries’ industrialisation or the widespread use of pesticides. Secondly, it has been noted that in the United States, M/F was overall higher in the black population than in the white population,14 and that M/F rose and then fell in the white population (1964–1988), while rising throughout the study period in the non-white population.25 The overall decline is accounted for by the fact that over 80% of the USA popula- tion falls in the “white” category. Thirdly, Ireland has reported a rise in M/F despite increasing industrialisation,16 and in this study, M/F was also seen to rise in France, Italy, and Spain. These findings do not support the sentinel health indicator hypothesis. Our earlier study provoked several useful comments.8 Jacobs commented that the differences that we showed were very small,26 which is perfectly true. However, this small difference has resulted in an overall deficit of 1 193 407 male births in the European and North American continents for this same study period.8 Voracek and Fisher commented that as the onset of the study period in the 1950s is slightly differ- ent for Europe and North America, the peak in male live births after the second world war may have skewed our results. However, after the war, the ratio rapidly declined to the base- line and is therefore unlikely to have affected our overall results. 11 12 They also pointed out that that the area of the North American continent is 4.8 times the 24 European coun- tries in our study. However, the data on which the paper is based show that the number of actual births is quite similar (North America 127 034 732, Europe 157 947 117, ratio 0.80). They also reanalysed the dataset and showed a curvilinear relation of latitude and sex ratio that is consistent with an effect related to photoperiod. However, the secular trends can- not be explained, to our mind, by such an effect. 27 Shields et al showed a significant relation between cytomegalovirus sero- positivity in cord blood and female sex, but again, we cannot see how CMV infection may possibly be implicated in these secular trends.28 James also reiterated the influence of maternal oestrogen levels on birth weight and the likelihood of dizygotic twins.29 While an interesting hypothesis, we cannot see how this fac- tor alone could explain the widely varying secular trends in different countries over the same timespans. An earlier study had noted declining trends in several countries in various continents, but a latitude effect had not been perceived.30 This same study also showed no overall change in M/F over 1926–1990, whereas our study only looked at the second half of 20th century. It may be that Parazzini et al’s early part of the dataset trends nullified the trends in the second half of 20th century.31 External factors that influence M/F have also been described. Germany, for example, experienced two M/F peaks that were related to the two world wars,12 and these peaks were also supported by data from the Netherlands.32 James has proposed that M/F fluctuates over a 30 cycle, and that this is attributable to a homeostatic mechanism that cor- relates sex at birth negatively with the adult sex ratio at the time of conception.33 The current decline in M/F would there- fore be a negative feedback response to the increase in M/F in the first half of the 20th century. This hypothesis is partly supported by data from the USA that demonstrated a degree of cyclicity over a 55 year period.30 More interestingly, this same study showed a strong degree of correlation between parental age and birth weight. However, the overall decline in M/F in our 50 year study seems constant in both Europe and North America (fig 1) with no evidence of a 30 year cycle. Diverging cultural attitudes may also potentially influence M/F. For example, Latino and Eastern cultures prefer male over female offspring. 34 35 In such cultures, families would be more likely to settle for a single son, than for a single daugh- ter, and on first having a daughter, may therefore opt to have additional children in order to have a son. Male offspring bias may also be evinced by female infanticide and/or sex selective abortion. However, it is unlikely that such factors could have played an important part in determining the observed M/F ratios in the developed countries considered in this study. 36 37 Moreover, any such skew would have mitigated against our finding of an overall male deficit. Several other hypothesis have been put forward to explain different trends in M/F ratios, with various factors assumed to influence the female genital tract environment in ways to favour the Y-bearing spermatozoa.25 For example, it has been claimed that caloric availability per capita correlates positively with M/F.37 In an earlier study we showed a latitude gradient for both Europe and the North American continent.8 Our current European results are interesting in that they show a rising M/F ratio in Mediterranean countries and a falling M/F ratio in more northern European countries (fig 2). Since the early 1980s, in Mediterranean countries, M/F ratio seems to have stabilised at just over the expected value of 0.515, while in more northern countries, M/F ratio seems to have stabilised at 0.513. Should these secular trends increase in magnitude, with an increasing male deficit, this will naturally have social, occupational, epidemiological, and community health related effects. The results of this study yield highly significant p values because of the large numbers of births involved despite the comparatively small shifts in secular trends. The p values are usually used to enable inferences to be drawn about popu- lations from samples. In this context, the p value is only use- ful as an indicator that shows how likely it is that these results should occur by chance alone, assuming that the dataset is correct. One final point that must be borne in mind is that the differences that we demonstrated are very small, and could theoretically have been produced by even very small differen- tial reporting in male and female births, although such errors are unlikely to produce the observed, rather smooth secular trends. In conclusion, while we have expanded our findings on the sex ratio at birth by studying secular trends, we still cannot put forward any reasonable explanation for the observed trends, which may well be attributable to several factors and not just one. . . . . . . . . . . . . . . . . . . . . . Authors’ affiliations V Grech, Paediatric Department, St Luke’s Hospital, Malta P Vassallo-Agius, Medical School, University of Malta C Savona-Ventura, Department of Obstetrics and Gynaecology, St Luke’s Hospital, Malta REFERENCES 1 Dournon C, Houillon C, Pieau C. Temperature sex-reversal in amphibians and reptiles. Int J Dev Biol 1990;34:81–92. 614 Grech, Vassallo-Agius, Savona-Ventura www.jech.com o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://je ch .b m j.co m / J E p id e m io l C o m m u n ity H e a lth : first p u b lish e d a s 1 0 .1 1 3 6 /je ch .5 7 .8 .6 1 5 o n 2 5 Ju ly 2 0 0 3 . D o w n lo a d e d fro m http://jech.bmj.com/ 2 Parkes AS. The mammalian sex ratio. Hum Reprod 1926;2:1–51. 3 James WH. The human sex ratio. Part 1: a review of the literature. Hum Biol 1987;59:721–52. 4 Wyrobek AJ, Robbins WA, Mehraein Y, et al. Detection of sex chromosomal aneuploidies X-X, Y-Y, and X-Y in human sperm using two-chromosome fluorescence in situ hybridization. Am J Med Genet 1994;53:1–7. 5 James WH. Parental hormone levels and mammalian sex ratios at birth. J Theor Biol 1989;139:59–67. 6 Ober C. The maternal-fetal relationship in human pregnancy: an immunogenetic perspective. Exp Clin Immunogenet 1992;9:1–14. 7 Grech V, Vassallo-Agius P, Savona-Ventura C. Declining male births with increasing geographical latitude in Europe. J Epidemiol Community Health 2000;54:244–6. 8 Grech V, Vassallo-Agius P, Savona-Ventura C. BMJ 2002;324:1010– 11. 9 Moller H. Change in male:female ratio among newborn infants in Denmark. Lancet 1996;348:828–9. 10 Dickinson HO, Parker L. Why is the sex ratio falling in England and Wales? J Epidemiol Community Health 1996;50:227–8. 11 van der Pal-de Bruin KM, Verloove-Vanhorick SP, Roeleveld N. Change in male:female ratio among newborn babies in Netherlands. Lancet 1997;349:62. 12 Bromen K, Jockel KH. Change in male proportion among newborn infants. Lancet 1997;349:804–5. 13 Allan BB, Brant R, Seidel JE, et al. Declining sex ratios in Canada. Can Med Assoc J 1997;156:37–41. 14 Marcus M, Kiely J, Xu F, et al. Changing sex ratio in the United States, 1969–1995. Fertil Steril 1998;70:270–3. 15 Vartiainen T, Kartovaara L, Tuomisto J. Environmental chemicals and changes in sex ratio: analysis over 250 years in Finland. Environ Health Perspect 1999;107:813–15. 16 Moynihan JB, Breathnach CS. Changes in male:female ratio among newborn infants in Ireland. APMIS 1999;107:365–8. 17 Lancaster PA, Day PL. Declines in population sex ratios at birth. JAMA 1998;280:1139–40. 18 Minakami H, Sato I. Change in male proportion of newborn infants in Japan. Am J Obstet Gynecol 1998;178:624. 19 James WH. Declines in population sex ratios at birth. JAMA 1998;280:1139. 20 Fleiss JL. Statistical methods for rates and proportions. 2nd edn. New York: Wiley, 1981:14–15. 21 Kraemer S. The fragile male. BMJ 2000;321:1609–12. 22 National Center for Health Statistics. Vital statistics of the United States, 1992: mortality part A. Vol 2. Washington, DC: Public Health Service, 1996. 23 Davis DL, Gottlieb MB, Stampnitzky JR. Reduced ratio of male to female births in several industrial countries: a sentinel health indicator? JAMA 1998;279:1018–23. 24 Astolfi P, Zonta LA. Reduced male births in major Italian cities. Hum Reprod 1999;14:3116–19. 25 Nicolich MJ, Huebner WW, Schnatter AR. Influence of parental and biological factors on the male birth fraction in the United States: an analysis of birth certificate data from 1964 through 1988. Fertil Steril 2000;73:487–92. 26 Jacobs A. Different sex ratios at birth in Europe and North America. [Letter]. BMJ 2002;325:334. 27 Voracek M, Fisher ML. Different sex ratios at birth in Europe and North America. [Letter]. BMJ 2002;325:334. 28 Shields MD, O’Hare B, Nelson J, et al. Different sex ratios at birth in Europe and North America. [Letter]. BMJ 2002;325:334. 29 James WH. Sex ratio at birth and latitude. [Letter]. J Epidemiol Community Health 2001;55:216. 30 Parazzini F, La Vecchia C, Levi F, et al. Trends in male:female ratio among newborn infants in 29 countries from five continents. Hum Reprod 1998;13:1394–6. 31 Parazzini F, La Vecchia C, Chatenoud L, et al. Change in male proportion among newborn infants. Lancet 1997;349:805–6. 32 van den Broek JM. Change in male proportion among newborn infants. Lancet 1997;349:805. 33 James WH. What stabilizes the sex ratio? Ann Hum Genet 1995;59:243–9. 34 Sachar RK, Soni RK. The role of secondary sex ratios in the declining sex ratio of India. Indian J Public Health 1995;39:12–15. 35 Coale AJ, Banister J. Five decades of missing females in China. Demography 1994;31:459–79. 36 Rinehart W. Sex preselection–not yet practical. Popul Rep I 1975;2:21–32. 37 Williams RJ, Gloster SP. Human sex ratio as it relates to caloric availability. Soc Biol 1992;39:285–91. APHORISM OF THE MONTH ......................................................................... Starting a rumour, following Christopher Columbus, and spending other people’s money R eaders will recall that Columbus was adept at following his strategy for exploration by spending other people’s money.1 Bridging the gap between starting a rumour and mobi- lising resources for change is at the heart of public health—how often have you heard somebody say that they can’t do anything to improve health without knowing where the money is coming from first, yet public health is essentially about shaping and influencing the actions of others and other sectors. An effective public health practitioner should be adept at spending other people’s money, but for this to happen on any meaningful scale it is essential for other players involved to feel a sense of ownership.2 I have long contended that in health and health care we need not Directors of Finance, but Directors of Resources. The mindset that starts with financial resources in health finishes up with doctors, nurses, bricks and mortar, and bits of kit. In reality, the resources for health run much wider, including many human and environmental resources that lie outside the bailiwick of something called health. JRA References 1 Ashton JR. Columbus on the need for strategy. J Epidemiol Community Health 2003;57:235. 2 Ashton JR. Communities and sustaining change. J Epidemiol Community Health 2002;56:561. Trends in sex ratios at birth 615 www.jech.com o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://je ch .b m j.co m / J E p id e m io l C o m m u n ity H e a lth : first p u b lish e d a s 1 0 .1 1 3 6 /je ch .5 7 .8 .6 1 5 o n 2 5 Ju ly 2 0 0 3 . D o w n lo a d e d fro m http://jech.bmj.com/ 
work_vvxmifq7qncsrj3swqjdobovdm	----	This chapter explores the potential of museums as sites for critical ‘public pedagogy’. It foregrounds the role of adult educators as co-interrogators with adult learners of what is generally perceived as politically innocent and neutral knowledge. Museums: Adult Education as Cultural Politics Carmel Borg and Peter Mayo The sites of adult education practice are multiple and museums feature regularly among these sites (Chadwick and Stannett, 1995, 2000). In this paper, i we will regard the museum as a site of cultural politics and public pedagogy. As a site of „public pedagogy‟ (Giroux, 2001) the museum plays its role in the politics of knowledge and representation. It represents a selection from the cultures of society. This situation is similar to that concerning the curriculum. Both the contents and form of the museum, and the curriculum, are repositories of what counts as „official knowledge‟ (Apple, 1993) and what does not. They select, legitimize, marginalize and are open to contestation and resistance. Critical educators who are ethically committed to excavating sites of educational practice and to interrogating official knowledges and practices are likely to ask the following questions regarding the politics of the curriculum and the museum: Whose culture shall be the official one and whose shall be subordinated? What culture shall be regarded as worthy of display and which shall be hidden? Whose history shall be remembered and whose forgotten? What images of social life shall be projected and which shall be marginalized? What voices shall be heard and which will be silenced? Who is representing whom and on what basis? (Jordan and Weedon, 1995, p.4). Critical Pedagogy and the Politics of Museums On the basis of these questions and recognition of the politics of museums and their displays, staid or interactive, the adult educator can utilize museums as an important space for critical pedagogy. McLaren (1997) refers to critical pedagogy as an attempt to “reengage a social world that operates under the assumption of its collective autonomy and so remains resistant to human intervention” (p.13). The task ahead of the critical adult educator is to focus on the centrality of politics and power within the museum‟s display. Bearing in mind the earlier questions attributed to Jordan and Weedon (1995), the critical viewer or museum educator, raises issues that focus on the social, political and cultural dimensions of museology. One starts by focusing on the museum‟s „cultural arbitrary,‟ to adopt the term used by Pierre Bourdieu and Jean Claude Passeron (1990, p. XX11-188) to signify the choices and cultural preferences made. One would refrain from viewing museums as repositories of neutral knowledge. Instead, museum objects are viewed as vehicles enabling visitors to understand how museum experiences are “produced, legitimated, and organized” (McLaren, 1997, p.21). In previous writings, we drew on the Eurocentric and class bias of museums (Borg and Mayo, 2006). We referred, in this regard, to impressions obtained from our 1999 visit to the Museum of Modern Art in New York City (MOMA) and the American Crafts Museum, which are situated just opposite each other. At the MOMA we came across the whole gamut of what conventionally constitutes modern art. There were paintings and excellent specimens of sculpture and architecture. In addition there were landmarks in film history, including a section on Alfred Hitchcock. The concept of „art‟ is stretched to include designs of cars, modern furniture and office equipment. We would associate these with the corporate world. Meanwhile, different craft displays (we were exposed to the work of the Women of Color Quilters Network), the staple fare of subsistence economies, were on view in the museum across the road. The proximity of the two museums, in this case, facilitates the process whereby the critical adult educator questions whether such forms of cultural production should be separated or not. Light would thus be shed on an important feature of the „culture wars‟ that have been forged in the struggle for democratic renewal in the country and elsewhere. Viewers face two contrasting worlds, the worlds of female and afro-American dominated subsistence economies and possibly cooperatives on the one hand and the predominantly white, patriarchal corporate world on the other (Borg and Mayo, 2000b, p.86). This kind of debate can however rage in other places. In any museum, questions can always be raised about what gets included and what is left out and about who is represented in the mainstream institution and who is confined to a Salon des Refusés (Exhibition of Rejects). Other museums are less exclusionary in their displays and raise these questions, arousing a sense of irony. Glasgow‟s Kelvingrove Art Gallery and Museum raises such questions. It can do this because it is not an exclusively art museum or social history museum but is a combination of both and many other things. For example, paintings representing a people as victims of oppression are juxtaposed against an artifact attesting to this same people‟s implication or direct involvement in the oppression of others. Conflict, contradictory consciousness and such issues as social class ennui, reflected in family gender relations, are exposed. This type of museum would be a boon for critical educators. Its trans-disciplinary nature assists in the process of a critical pedagogy. We would argue, however, that even conventional, „Victorian‟ and staid museums can lend themselves to this, requiring greater effort and sensitivity on the onlooker‟s part. Critical pedagogy ideas as well as those deriving from other sources, such as feminist literature and practice and notably cultural studies, become important for such questions to be raised and debates to be kindled . As Mayo (2004, 2009) argues, it can provide the tools for a problem posing pedagogical approach. The Kelvingrove Art Gallery and Museum, not one for the purists and conventionalists, and yet much visited by adults and children alike, poses problems, very much in the Freirean sense; Paulo Freire, 1970) is a principal source of inspiration in critical pedagogy. Renegotiating Relations of Hegemony The Museum offers us opportunities not only for „ideology critique,‟ in the sense expounded by members of the Frankfurt School (Institute for Social Research), but also for struggling collectively and lobbying for the conversion of such sites of public pedagogy into really democratic, that is, inclusive and genuinely accessible public spaces that appeal to the visitor‟s sense of criticality. In short, part of the quest for museum renewal lies in the struggle to renegotiate relations of hegemony. It is here that the cultural studies approach is instructive, especially that approach influenced, in Britain, especially at the now defunct Birmingham School for Contemporary Cultural Studies, by the ideas of Antonio Gramsci. Museums, like other institutions of „civil society‟ where ideology is generated, are selective in a manner that is not politically innocent. They can be conceived of as sites of struggle, of cultural contestation and renewal (Borg, Cauchi and Mayo, 2003). Institutions are not monolithic and this certainly applies to museums. While they can cement cultural hegemony, they can contain some of the spaces necessary for renegotiating these hegemonic relations. While they often render the mundane monumental, they de-contextualize artifacts, making them alien to people who would often enjoy them in their original surroundings. For example, a painting in a Roman Catholic Church can be an object of devotion and a source of communal pride among the common folk of the locality but can appear alien to them in an art gallery setting. How does one re-contextualize the socio-economic surrounding? This can be the task of the curator and museum team as well as the critical adult educator who utilizes the museum as an educational space. Museums in a Postcolonial Context In our previously published papers, we have come up with suggestions how to address this and related questions and challenges. One of our studies, carried out with Bernard Cauchi (Borg, Mayo, Cauchi, 2004; Borg and Mayo, 2006), focuses on our native Malta‟s National Maritime Museum at Birgu (from the Italian Borgo, meaning burgh or town), in the Cottonera region. This region attests to Malta‟s long maritime history. We provided a detailed account of the Museum‟s permanent display at the time (July 2003). In addition, we proposed ideas how to convert the museum into a more „popular-public‟ space, a concept that is associated with Freire (Mayo, 2004, 2009). We explored possibilities for the Museum to incorporate the history, voices and standpoints of the subaltern, given that there is much that is related, in the memorabilia, to past ruling forces in Maltese society: the Order of St John (the Knights of Malta) and the British regiment. We argued for representations of events connected with the lifeworlds of common Maltese people, intimately connected with the sea. For example, we regard activities connected with the 8 th September and 31 March regattas (important national feast days in the country), which capture the imagination in the harbor area of the island, as key to a more inclusive representation of seafaring life, and which connects with the working class from these areas. We also call for a representation of a more inclusive working class politics in this regard, a politics rid of its traditional patriarchal and ethnic biases. We argue that oral popular history, and the modern technology required to capture and transmit it, would be of good use to help convey the authentic voice of seamen who belong to the museum‟s surrounding community. This history should also record the voices of women from this area recounting their contributions as well as resistances. We centre on the three closely related historical cities, and one of their suburbs, that for many years provided labour power for and in connection with the British military base and the US Sixth Fleet. They also provided some of the necessary craftwork, such as boat construction, for this economy. The surrounding community therefore provides a wealth of experiences concerning socio-economic basis of maritime life. And this might well apply to the little island (Malta) in general since, for many years under British rule, its economy revolved around the requirements of an important British naval outpost – a „fortress economy‟. Indeed maritime life was part and parcel of life on the island also under preceding rulers. There were Maltese, originally from the museum area, who even made a name for themselves, in this regard, in far-flung places such as Argentina. Juan Bautista Azopardo (Senglea/Isla, Malta, 20 February 1772 - Buenos Aires, Argentina, 23 October 1847), is well known in Argentina. He is recognised as one the two founders of “La Primera Escuadrilla Argentina". An important naval arsenal (Arsenal Naval Azopardo) and a street are named after him in Buenos Aires. A portrait and bust, donated by the Argentinean government, can be found in the maritime museum and a surrounding locality respectively. We also see possibilities in a specific section of the museum, one concerning a major source of livelihood in the country and the museum‟s surrounding region in particular–the Dockyard. It subsequently became the Malta Drydocks from which its last employees (it once employed around 5000 workers in a country with a population of around 400, 000) have just been laid off as a result of its recent privatisation. Its employees were, for several years, the nearest thing the country had to an industrial working class. This enterprise is immersed in the history of Maltese class struggle and Maltese labour politics. And yet much of this history was concealed or sanitized in this display where voice, the voice of the subaltern, is once again absent. On the contrary, we argue that expert knowledge is privileged over other community based ways of knowing, the latter being given lip service. There is hardly any reference to class struggle, class organization, militancy, the harsh reality of dockyard life, accidents and ensuing deaths and disabilities resulting from great occupational hazards, poor health resulting from years of exhaust inhaling, grit blasting and other dangerous emissions, political struggles (the Drydocks constituted an important power base for the Malta Labour Party and an important site for Maltese socialist politics), the anxiety generated by intermittent precarious work, the experiment in self-management, government subsidies and the EU, privatisation and its discontents. Also absent are the voices of women who have shared in this socio-economic milieu, in its politics and in the anxieties of precarious work, and women who have often been the victims of this „fortress economy‟ in many more ways than one (widowhood resulting from male occupational disasters, washing of vomit-spluttered and alcohol-stained military uniforms for a pittance, prostitution etc.). Aspects of this social and economic history, and the foregrounding of genuine faces and voices, would render the display more exciting for people from the area and elsewhere. It would serve as a repository of popular public memory. The section on the Dockyard School, a very important source of vocational education in the country, can be expanded to indicate the ways vocational education and early Maltese engineering were inextricably combined with the maritime effort, and underline the patriarchal bias of much of what passed as vocational and technical education. The foregoing are just a few examples from our research. This is not to detract from the sterling work provided by the museum staff. Members of this exiguous staff, who, as with all small entities lacking all the specialisations they require, assume multifunctional roles (Hooper-Greenhill, 1995, p. 51), are to be commended for helping develop this museum into one that, to our mind, is on a par with several maritime museums found in Europe. We would refer, as examples, to the National Maritime Museum in Antwerp, one of Europe‟s most famous Maritime cities, or the Torre del Oro on the bank of Seville‟s Rio de Guadalvivir. It is a dynamic staff active in what strikes us as being a dynamic museum. And it is to this dynamism that we sought to make our contribution as educators/researchers committed to a critical pedagogy. Museum Artifacts as ‘Codifications’ As critical pedagogues, we tend to view the various items on display in museums as „codifications‟ (in Freire‟s sense of the term). These codifications can generate themes that can stimulate discussions of wider issues concerning different aspects of reality. Focusing on a folklore museum situated on Gozo, the second most inhabited island of the Maltese archipelago, we argued elsewhere that museums of this kind should allow the critical educator to venture beyond simply a “nostalgic trip to a much simpler world.”(Borg and Mayo, 2000b, p.86). Museums of this type provide spaces where one can raise questions about a range of socio-economic issues connected with life surrounding primary production. Traditional fishing implements on display can lead to such issues as the demise of fishing communities, technology‟s deleterious effect on fishermen‟s skills and their utilisation (deskilling), fishing confrontations throughout the surrounding Mediterranean basin, maritime degradation, overfishing and the abuse of the environment and fauna when fishing, the depletion of fishing stocks, fishing farms and their impact on the environment, economy and social life, the limits and possibilities of fishing cooperatives, the role of women in agricultural communities and their direct participation in subsistence farming, the impact of the EU‟s fishing and common agricultural policy (Borg and Mayo, 2000b, p.86). These exhibits can serve as instruments to arouse epistemological curiosity, as Paulo Freire would argue, and as objects of co-investigation between the educator and the group with which he or she is working. The process would therefore be one that is not static but dynamic, in the classical Freirean and critical pedagogical sense. Certainly, taking our cue from the Kelvingrove Art Gallery and Museum, such questions can be better raised if the museum were organised in such a way that the exhibits are juxtaposed against newspaper cuttings, video documentaries and other visual and audio aids attesting to some of the social and larger ecological issues raised above. Foregrounding the Subordinate The bias throughout the above discussion concerning museum education is towards popular and often subordinated forms of knowledge. This is in keeping with much of Freire‟s writing that is available in English, and, to a certain extent, many writings in the area of critical pedagogy. Our joint work has also focused on so-called sites of „highbrow‟ culture, for want of a better term. We wrote about the 17 th century Baroque church that is St. John‟s co- Cathedral in Malta‟s capital city, Valletta, maintaining (Borg and Mayo, 2000a) that it offers ideal spaces for a critical reading of a country‟s much-heralded artistic heritage. Often reflected in this patrimony is an unmistakably patriarchal (militaristic, confraternal, male-aggrandizing), Eurocentric and racist politics of representation, which albeit calling for a historicist interpretation of events, can still prey on popular sensibilities. We refer, for instance, to the representation of the Saracen „other‟ in sculptures and carvings. Alterity is here rendered „exotic,‟ often in a highly exaggerated manner, becoming an integral part of the ostentatious Baroque setting. One can also raise questions about the sinister side of some of the relics, polyptychs (multiple-panelled paintings) and other items on view in such churches, items often adorned in gold and silver. With the work of Eduardo Galeano (2009) in mind, one can raise questions regarding the provenance of the gold and silver, the role of slavery in this context and the subjugation and extermination of the thousands of indigenous people and imported slaves in the process of extracting such resources from the mines of Protosí in present day Bolivia and other parts of Latin America and elsewhere. This led to their entombment (mentioned also by Marx in Capital Vol. 3) and other types of extermination and disabilities resulting from, among other things, the use of mercury; there are allegations of women killing their own children to spare them such an ordeal. (Galeano, 2009) Seville housed a strong-room (in the Casa de Contratación) for much of the gold and silver that came from Latin America into Spain through the ports of Cadiz and much of which was shipped to the Northern countries whose banks had a hold over Spain because of debts incurred, thus contributing to the rest of Europe‟s economic development: „The Spaniards owned the cow, but others drank the milk” (Galeano, 2009, p. 23). And Seville‟s Cathedral houses a tomb said to contain the remains of Cristobal Colón (Christopher Columbus). He is the navigator who best symbolises the start of what many regard as 500 years of genocide in the Americas. A critical pedagogical approach to museums of this kind (many churches in Europe are not only religious places but also museums) necessitates a critical confrontation with the „highbrow,‟ and the raising of unsettling but important historical questions that have been ignored or erased from collective memories. Critiques of this nature have been prevalent in Latin America since the 20th century with Anarchists, Socialists, Marxists, feminists, Anti-racists and spokespersons for the Indigenous movements making important contributions here. Drawing on these critiques, critical pedagogy differs from more conventional museum education experiences since it focuses not only on 'things of beauty' but also on the history of tragic violence, real or symbolic, that lurks beneath. Our foregrounding of the popular should not be construed as an exclusion of the „highbrow.‟ And yet a key source of inspiration for this work, Antonio Gramsci, is instructive in the way he confronts this form of cultural production (Mayo, 1999, pp.142, 180). Perhaps confining himself too much to the written word, Gramsci sought to explore relations between the „highbrow‟ and the popular never presenting them as binary opposites. He explored how one drew from or emerged from the other, as in the case of Dostoyevsky‟s novels which, he felt, drew on the serial novel. Critical Literacy in Museums Critical appropriation, in the case of museums and other places of historical and cultural interest, would entail the following: one should explore the spaces such museums offer, by means of their set up and the items on display, to engage in a critical reading of the world, in Freire‟s and other critical pedagogue‟s sense of the term. Critical museum literacy would include readings of the specific constructions of „reality‟ found within museums and their displays. We would argue that certain museums such as ethnographic/anthropological, maritime, farmstead and folklore museums lend themselves better than others in this regard. One should also add environmental museums (a concern which for years was lacking from the critical pedagogical field and has been fore-grounded in this literature by O‟Sullivan, 1999 and Kahn 2006). These museums can be more representative in the forms of cultural production they display and the issues that they raise. They have the potential to capture the imagination of subaltern group members. Some museums are also more inclusive in terms of physical accessibility while others are less so or are not accessible at all, proving to be inhospitable and disabling environments to many (see Borg and Mayo, 2000b). All told, however, we feel that the stiffest challenge is posed by those museums, for example art galleries, that have traditionally been the repositories of high status knowledge. The critical adult educator can, through the questions raised, in a problem posing approach, render this challenge surmountable. Perhaps modern art galleries provide a stiffer challenge here than those specialising in „old masters‟ whose names conceal the presence of women working inside convents, studios etc. and who remain anonymous, save for an Artemisia Gentileschi, a Rosalba Carriera, an Elisabeth Vignée Le Brun or, much later, a Mary Cassatt – one aspect of the many patriarchal biases of such museums and the „official HIStory of Western Art‟ (see Commission for the Advancement of Women, 1995) The challenge for the critical museum educator and those with whom she or he works remains that of unmasking the cultural politics of the museum artifacts and to render such knowledge accessible to subaltern groups without rendering it an object of domination. References Apple, M.W. Official Knowledge. Democratic Education in a Conservative Age. N.Y.: Routledge, 1993. Borg, C., and Mayo, P. “Malta.” In A. Chadwick and A. Stannett (eds.) Museums and Adults Learning. Perspectives from Europe. Leicester: NLACE, 2000a. Borg, C., and Mayo, P. “Museums, Adult Education and Cultural Politics: Malta.” Education & Society, 2000b,18(3),77-97. Borg, C., Cauchi, B., and Mayo, P. “Museums Education and Cultural Contestation.” Journal of Mediterranean Studies, 2003,13(1),89-108. Borg, C and Mayo, P. Learning and Social Difference. Challenges for Public Education and Critical Pedagogy. Boulder Colorado: Paradigm, 2006. Bourdieu, P and Passeron, J.C, Reproduction in Education, Society and Culture, New York and London: Sage, 1990. Chadwick, A., and Stannett, A.(eds.) Museum and the Education of Adults. Leicester: NIACE, 1995. Chadwick, A and Stannett, A.(eds.)Museums and Adults Learning: Perspectives from Europe. Leicester: NIACE,2000. Commission for the Advancement of Women (1995), Woman in Maltese Art c.1900- 1995, Malta: Commission for the Advancement of Women. Freire, P., Pedagogy of the Oppressed, New York: The Seabury Press, 1970. Galeano, E. Open Veins of Latin America. London: Serpent‟s Tail, 2009. Giroux, H., Public Spaces. Private Lives. Beyond the Culture of Cynicism. Lanham: Rowman & Littlefield, 2001. Hooper-Greenhill, E. “A Museum Educator's Perspective.” In A. Chadwick, and A. Stannett (eds.), Museum and the Education of Adults. Leicester: NIACE, 1995. Jordan, G and Weedon, C. Cultural Politics. Class; Gender, Race and the Postmodern World. Oxford (UK) & Cambridge (USA): Blackwell, 1995. Kahn, R. (2006) “Paulo Freire and Eco-Justice: Updating Pedagogy of the Oppressed for the Age of Ecological Calamity.” Freire Online, 1(1),1- 11, 2006. http://web.gseis.ucla.edu/~pfi/Journal_PFI/Articles_Freire/FreireEcoJus tice_Kahn.pdf McLaren, P. Revolutionary Multiculturalism. Pedagogies of Dissent for the New Millenium. Boulder, Colorado: Westview Press, 1997. Mayo, P. Gramsci, Freire and Adult Education. Possibilities for Transformative Action. London and N.Y.: Zed Books, 1999. Mayo, P. Liberating Praxis. Paulo Freire‟s Legacy for Radical Politics and Education. Westport, Co: Praeger(hbk),2004; Rotterdam and Taipei: Sense Publishers (pbk), 2009. O‟Sullivan, E. Transformative Learning. Education for the 21 st Century. London and N.Y.: Zed Books, 1999. Carmel Borg is Associate Professor of Curriculum Studies at the Faculty of Education, University of Malta. Peter Mayo is Professor of Sociology and Adult Education at the Faculty of Education, University of Malta. Note i We are indebted to Antonia Darderfor her feedback on an earlier draft. Carlos Alberto Torres, Emilio Lucio Villegas, and Loris Viviani have also been instructive on the „gold and silver‟ genocides in Latin America. We have also benefited over the years from debates around these and related issues with our university colleagues Mary Darmanin, Ivan Callus and Paul Clough and with a former co-author, Bernard Cauchi. Any remaining shortcomings are ours. 
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work_vxg6hxarjrdg5ozffqevsvxsj4	----	pntd.0000148 1..13 On the Origin of the Treponematoses: A Phylogenetic Approach Kristin N. Harper1*, Paolo S. Ocampo2, Bret M. Steiner3, Robert W. George3, Michael S. Silverman4,5, Shelly Bolotin6, Allan Pillay3, Nigel J. Saunders7, George J. Armelagos8 1 Department of Population Biology, Ecology, and Evolution, Emory University, Atlanta, Georgia, United States of America, 2 School of Medicine, Emory University, Atlanta, Georgia, United States of America, 3 Laboratory Reference and Research Branch, Division of Sexually Transmitted Diseases Prevention, NCHHSTP, U.S. Centers for Disease Control and Prevention, Atlanta, Georgia, United States of America, 4 Department of Medicine, Division of Infectious Diseases, University of Toronto, Ontario, Canada, 5 Lakeridge Health Centre, Ontario, Canada, 6 Department of Microbiology, Mount Sinai Hospital, Toronto, Canada, 7 Sir William Dunn School of Pathology, University of Oxford, Oxford, United Kingdom, 8 Department of Anthropology, Emory University, Atlanta, Georgia, United States of America Abstract Background: Since the first recorded epidemic of syphilis in 1495, controversy has surrounded the origins of the bacterium Treponema pallidum subsp. pallidum and its relationship to the pathogens responsible for the other treponemal diseases: yaws, endemic syphilis, and pinta. Some researchers have argued that the syphilis-causing bacterium, or its progenitor, was brought from the New World to Europe by Christopher Columbus and his men, while others maintain that the treponematoses, including syphilis, have a much longer history on the European continent. Methodology/Principal Findings: We applied phylogenetics to this problem, using data from 21 genetic regions examined in 26 geographically disparate strains of pathogenic Treponema. Of all the strains examined, the venereal syphilis-causing strains originated most recently and were more closely related to yaws-causing strains from South America than to other non-venereal strains. Old World yaws-causing strains occupied a basal position on the tree, indicating that they arose first in human history, and a simian strain of T. pallidum was found to be indistinguishable from them. Conclusions/Significance: Our results lend support to the Columbian theory of syphilis’s origin while suggesting that the non-sexually transmitted subspecies arose earlier in the Old World. This study represents the first attempt to address the problem of the origin of syphilis using molecular genetics, as well as the first source of information regarding the genetic make-up of non-venereal strains from the Western hemisphere. Citation: Harper KN, Ocampo PS, Steiner BM, George RW, Silverman MS, et al. (2008) On the Origin of the Treponematoses: A Phylogenetic Approach. PLoS Negl Trop Dis 2(1): e148. doi:10.1371/journal.pntd.0000148 Editor: Albert Ko, Fundação Oswaldo Cruz, Brazil Received February 1, 2007; Accepted November 15, 2007; Published January 15, 2008 This is an open-access article distributed under the terms of the Creative Commons Public Domain declaration which stipulates that, once placed in the public domain, this work may be freely reproduced, distributed, transmitted, modified, built upon, or otherwise used by anyone for any lawful purpose. Funding: This work was supported by a pre-doctoral fellowship from the Howard Hughes Medical Institute and dissertation improvement grants from the National Science Foundation (Award Number 0622399) and the Wenner-Gren Foundation to K.N.H. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. *E-mail: knharpe@emory.edu Introduction As Naples fell before the invading army of Charles the VIII in 1495, a plague broke out among the French leader’s troops [1]. When the army disbanded shortly after the campaign, the troops, composed largely of mercenaries, returned to their homes and disseminated the disease across Europe [2,3]. Today, it is generally agreed that this outbreak was the first recorded epidemic of syphilis. Although its death toll remains controversial, there is no question that the infection devastated the continent [4]. Because the epidemic followed quickly upon the return of Columbus and his men from the New World, some speculated that the disease originated in the Americas [2]. Indeed, reports surfaced that indigenous peoples of the New World suffered from a similar malady of great antiquity [5] and that symptoms of this disease had been observed in members of Columbus’s crew [3]. In the twentieth century, criticisms of the Columbian hypothesis arose, with some hypothesizing that Europe- ans had simply not distinguished between syphilis and other diseases such as leprosy prior to 1495 [6]. It was soon recognized that different varieties of treponemal disease exist. Unlike syphilis, which is caused by the spirochete T. pallidum subspecies pallidum, the other types normally strike during childhood and are transmitted through skin-to-skin or oral contact. All are quite similar with regard to symptoms and progression [7], but endemic syphilis, or bejel, caused by subsp. endemicum, has historically affected people living in hot, arid climates and yaws, caused by subsp. pertenue, is limited to hot and humid areas. Pinta, caused by Treponema carateum, is the most distinct member of this family of diseases. Once found in Central and South America, this mild disease is characterized solely by alterations in skin color. Today, the debate over the origin of treponemal disease encompasses arguments about whether the four infections are caused by distinct but related pathogens [8] or one protean bacterium with many manifestations [9]. Paleopathologists have played a pivotal role in addressing the question surrounding the origin of syphilis. The treponemal diseases, with the exception of pinta, leave distinct marks upon the skeleton and can thus be studied in past civilizations. Paleopatho- PLoS Neglected Tropical Diseases | www.plosntds.org 1 2008 | Volume 2 | Issue 1 | e148 Linda Text Box Subscription Information for: https://register.plos.org/ambra-registration/register.action logical studies of populations in the pre-Columbian New World show that treponemal disease was prevalent, with cases dating back 7,000 years and increasing over time [10]. In contrast, paleopathological studies of large pre-Columbian populations in Europe and Africa have yielded no evidence of treponemal disease [11–13]. However, isolated cases of pre-Columbian treponemal disease from other Old World excavation sites have been reported sporadically [14]. Although these cases have often been met with criticism regarding diagnosis, dating, and epidemiological context, they have convinced some that treponemal disease did exist in the pre-Columbian Old World [15,16]. The T. pallidum genome is small (roughly 1,000 kilobases) and was sequenced in 1998 [17]. However, comparative genetic studies of T. pallidum [18–23] have been rare and relatively small in scope. One reason for this is the difficulty in obtaining non- venereal strains for study. Today only five known laboratory strains of subsp. pertenue, two strains of subsp. endemicum, and no strains or samples of T. carateum survive. Furthermore, it is uncertain whether the disease pinta still exists. No cases have been reported to the World Health Organization from the former endemic countries Mexico or Colombia since 1979 [24]. Similarly, endemic syphilis was eradicated some time ago in its European focus, Bosnia [25]. In Turkey, only one infected family has been reported in the last forty years [26], and a large survey in the United Arab Emirates revealed only non-active cases of endemic syphilis in the elderly [27]. In the Old World, yaws is still reported but appears limited to a few isolated foci in the Republic of Congo and the Democratic Republic of Congo [28,29], as well as Indonesia and Timor-Leste, where roughly 5,000 cases are reported annually [30]. In the New World, yaws appears to be constrained to an ever-constricting area of Guyana’s interior [31]. Because of the paucity of samples available for experiments, most comparative studies have included very few non-venereal strains. Another limitation on comparative studies has been the small amount of variation present in the T. pallidum genome. Variability is sufficiently low that the discovery of a single nucleotide polymorphism (SNP) has warranted publication in the past [18,20,21]. One study has suggested that most variation between the subsp. pallidum and pertenue genomes lies within the tpr gene family [32], a family of 12 genes with sequence similarity that make up roughly 2% of the genome. A recent examination of this large gene family demonstrated more extensive variation between strains than had previous studies but also documented an unusually high frequency of intra-gene conversion events [23]. Thus, it is possible that most polymorphism in the T. pallidum genome may be concentrated in genes with limited phylogenetic informativeness. Our goal in this study was to identify variable sites in the T. pallidum genome and characterize them in as many non-venereal strains as possible, in order to test the hypothesis that syphilis emerged in humankind’s recent past, from New World-derived strains of T. pallidum. Recombination can result in a phylogeny different from the true one [33,34], and it has been shown that gene conversion is an important evolutionary mechanism in one large T. pallidum gene family [23]. For this reason, after sequencing many sites from around the genome, we performed rigorous tests for recombination, then built a phylogeny from the non- recombining SNPs and insertions/deletions (indels) identified. These results, paired with geographic analysis of strains, provide novel information on the history of T. pallidum. Methods Origin and Preparation of Isolates Twenty-two human Treponema pallidum strains, one T. pallidum strain collected from a wild baboon, and three T. paraluiscuniculi strains, which are responsible for venereal syphilis in rabbits, were used in this study (Table 1). This included all laboratory strains of subsp. pertenue (n = 5) and subsp. endemicum (n = 2). Guyana is the only known active site of yaws infection in the western hemisphere. In order to provide representation of non-venereal strains from the Americas, subsp. pertenue strains (n = 2) were obtained from indigenous children with clinical evidence of non-venereal treponemal disease during a humanitarian medical mission to protected native reserves deep within the Guyanese interior. These samples were collected from a population that has had very little contact with the outside world, both due to the remoteness of their forest location and to legal restrictions on outsider interference. Ethical approval for the sample collection protocol was obtained from the Ethics Board at Lakeridge Health Centre (Oshawa, Canada) and included obtaining informed consent from patients. Scrapings were taken from active yaws lesions and were immediately deposited in either ethanol or saline. They were kept as cool as possible, but not frozen, for the duration of the two-week medical trip. Upon return to the laboratory, they were kept frozen until DNA was extracted. Additional subsp. pertenue samples (n = 4) came from a Dutch collection of strains destroyed years ago during a freezer breakdown. Although these strains were non-viable, the organisms were kept and a small amount of each was made available for this project. Eleven syphilis strains were chosen for analysis based on geographic and chronological span. This included two strains of uncertain subspecies and origin, Haiti B and Madras, which were originally labeled as subsp. pertenue strains, but appear to be subsp. pallidum strains based on both genetic studies and clinical manifestations in a rabbit model [18,20–22,35]. DNA was obtained from Treponema organisms grown in rabbit tissue or from clinical specimens. Laboratory isolates of T. pallidum were grown in New Zealand white rabbits, consistent with guidelines set out by the Institutional Animal Care and Use Committee at the U.S. Center for Disease Control and Prevention (CDC). DNA was isolated using the QIAamp mini kit (Qiagen, Valencia, CA) according to the manufacturer’s instructions for tissue or fluid preparations, depending on the type of sample. Whole genome amplification (REPLI-g Midi Kit, Qiagen) was performed on the strains for which only a limited amount of DNA was available: the four subsp. pertenue strains from the Dutch collection and a pallidum strain obtained from a South African Author Summary For 500 years, controversy has raged around the origin of T. pallidum subsp. pallidum, the bacterium responsible for syphilis. Did Christopher Columbus and his men introduce this pathogen into Renaissance Europe, after contracting it during their voyage to the New World? Or does syphilis have a much older history in the Old World? This paper represents the first attempt to use a phylogenetic approach to solve this question. In addition, it clarifies the evolutionary relationships between the pathogen that causes syphilis and the other T. pallidum subspecies, which cause the neglected tropical diseases yaws and endemic syphilis. Using a collection of pathogenic Treponema strains that is unprecedented in size, we show that yaws appears to be an ancient infection in humans while venereal syphilis arose relatively recently in human history. In addition, the closest relatives of syphilis-causing strains identified in this study were found in South America, providing support for the Columbian theory of syphilis’s origin. On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 2 2008 | Volume 2 | Issue 1 | e148 clinical specimen. The whole genome amplification product was used as a template for subsequent polymerase chain reactions (PCRs). Unfortunately, amplification of the whole genome of the two strains collected in Guyana could not be performed, due to DNA degradation. Sequencing Twenty-one genetic regions (Table 2) were sequenced in all strains except for the two clinical samples from Guyana. These regions were scattered around the genome (Fig. 1), and were chosen based on previously demonstrated polymorphism [18,20– 22,36], implication in pathogenesis, or because they harbored repetitive sequences. Because a very limited amount of consider- ably degraded DNA was available from the clinical specimens collected in Guyana, only seven polymorphic sites encompassing 17 SNPs could be sequenced in these strains. The sites were chosen based on 1) which appeared to be the most phylogenet- ically informative at the time of sequencing; and 2) which involved small molecular weight products, easily amplified from damaged DNA. They included IGR(fliG-tp0027), deoD, gpd, tp0618, tprI, cfpA, and tpF-1. Primers (Table S1) were designed using the programs MacVector (Accelrys, Burlington, MA) and Primer3 [37] and the subsp. pallidum genomic DNA sequences posted on the Los Alamos National Laboratory Bioscience Division’s STD Sequence Databases webpage (http://www.stdgen.northwestern.edu). PCR amplifications were performed in 50 mL reactions containing 0.5 mM primers (Invitrogen, Carlsbad, CA), 200 mM GeneAmp dNTPs (Applied Biosystems, Foster City, CA), and 2.5 U AmpliTaq Gold polymerase with Gold Buffer and 3.0 mM MgCl2 (Applied Biosystems). PCR conditions were as follows: One cycle of 94uC for 5 minutes; 35 cycles of 94uC for 30 seconds, primer annealing at the appropriate temperature for 30 seconds (Table S1), and 72uC for 1 minute and 30 seconds; followed by a final extension for seven minutes at 72uC. Standard precautions to avoid DNA contamination were employed, including the use of negative controls, aerosol resistant pipette-tips, and a three-station PCR set- up protocol. In addition, sequences that were especially important in the phylogenetic analysis were confirmed through independent amplifications. Amplicons were purified using a gel extraction kit (Qiagen, Valencia, CA) and sequenced using either an ABI 3100/ 3700 Automated Capillary DNA Sequencer and the Big Dye Sequencing kit (Applied Biosystems) or the CEQ 8000 Genetic Analysis System and the DTCS Quick Start Kit (Beckman-Coulter, Fullerton, CA). Sequencing was performed at the CDC, SeqWright/ Fisher Sequencing Services, or Oregon Health Sciences University’s Core Laboratory. Sequences were deposited in GenBank under the accession numbers listed (Table 2). Table 1. Treponema sp. analyzed in this study (N = 26). Strain Name Subspecies Place Collected Date Collected Sample Type Source Brazzaville pertenue Congo 1960 DNA only L. Schouls CDC-1 pertenue Nigeria 1980 isolate CDC CDC-2 pertenue Nigeria 1980 isolate CDC CDC-2575 pertenue Ghana 1980 DNA only L. Schouls Gauthier pertenue Nigeria 1960 isolate S. Lukehart Ghana pertenue Ghana 1988 DNA only L. Schouls Guyana 1 pertenue Guyana 2005 DNA only This Study Guyana 2 pertenue Guyana 2005 DNA only This Study Pariaman pertenue Indonesia 1988 DNA only L. Schouls Samoa D pertenue Samoa 1953 isolate CDC Samoa F pertenue Samoa 1953 isolate CDC Bosnia A endemicum Bosnia 1950 isolate CDC Iraq B endemicum Iraq 1951 isolate CDC Chicago B pallidum Chicago 1951 isolate CDC Dallas 1 pallidum Dallas 1991 isolate CDC Grady pallidum Atlanta 1998 isolate CDC Haiti B* pallidum Haiti 1951 isolate S. Lukehart R. Limberger Madras* pallidum India 1954 isolate CDC Mexico A pallidum Mexico 1953 isolate CDC Nichols pallidum Wash, D.C. 1912 isolate CDC Philadelphia 1 pallidum Philadelphia 1988 isolate CDC South Africa pallidum South Africa 1998 DNA only A. Pillay Simian Strain ? Guinea 1962 isolate S. Lukehart T. paraluiscuniculi Strain A N/A ? ? isolate CDC T. paraluiscuniculi Strain H N/A ? ? isolate S. Lukehart T. paraluiscuniculi Strain M N/A ? ? isolate S. Lukehart *Strains were originally labeled subsp. pertenue, but various studies suggest they are, in reality, subsp. pallidum strains. doi:10.1371/journal.pntd.0000148.t001 On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 3 2008 | Volume 2 | Issue 1 | e148 Sequence Analysis Open reading frames containing polymorphisms were translat- ed into protein sequences to examine the resulting amino acid changes. The average number of nucleotide differences between groups, as well as the average pairwise difference for each polymorphic gene, was calculated using DnaSP [38]. All nucleotide substitutions occurring in genic areas were deemed either synonymous or non-synonymous (Table S2). The amino acid substitutions resulting from non-synonymous changes were scored according to three criteria. Amino acids were categorized according to charge, polarity and volume, and Grantham’s distance [39,40]. In the first two cases, a substitution resulting in a change from one category to another was considered a radical substitution, while others were considered conservative. In the latter case, substitutions resulting in distances greater than 100, according to Grantham’s index, were categorized as radical, others conservative. Substitutions considered radical in at least two of the three categories were scored as radical (Table S2). Secondary DNA structure in the polymorphic region of IGR(fliG-tp0027) was predicted using the program Mfold [41]. Phylogenetic Analysis In order to rule out recombination in the areas analyzed, each gene was tested against all of the paralogs present in the sequenced Table 2. The 21 genetic regions sequenced in this study. Genetic Region 1 Description/Function 2 Amplicon Size (Region Sequenced) 3 Accession Numbers IGR(fliG-tp0027) Intergenic Region 280 bp (1–207) EU101881–EU101906 cysS (tp0091) Cysteinyl-tRNA synthetase 168 bp (440–607) EU101781–EU101804 tp0106 Transporter (possible carnitine, choline, or glycine betaine transporter) 598 bp (55–652) EU102099–EU102122 tp0123 Hypothetical protein containing TPR domains 596 bp (253–809) EU102123–EU102146 234 bp IGR(tp0129-tp0130) Intergenic Region (158–334) EU101955–EU101978 tp0130 Hypothetical protein, basic (361–417) IGR(tp0135-tp0136) Intergenic Region 301 bp (24–324) EU101979–EU102002 deoD (tp0170/pfs) Purine nucleoside phosphorylase 501 bp (482–804) EU101805–EU101830 gpd (tp0257/glpQ) Glycerophosphodiester phosphodiesterase 331 bp(366–633) EU101831–EU101856 tp92 (tp0326) Predicted outer membrane protein 1030 bp (1530–2504) EU102075–EU102098 tp0347 Hypothetical protein 340 bp (1–228) EU102147–EU102170 IGR(cheY-tp0367) Intergenic Region 165 bp (1–160) EU101857–EU101880 333 bp rpiA (tp0616) Ribose 5-phosphate isomerase (546–762) EU101907–EU101930 IGR(rpiA-tp0617) Intergenic Region (1–32) tp0617 Hypothetical protein, basic (193–276) tp0618 Hypothetical protein, acidic 274 bp (236–347) EU102171–EU102194 tprI (tp0620) Member of the Treponema pallidum repeat family 376 bp (1–162) EU102245–EU102267 tp0668 Conserved hypothetical protein (integral membrane) 243 bp (256–498) EU102195–EU102218 223 bp tp0740 Conserved hypothetical protein (1–42) EU102003–EU102026 IGR(tp0740-tp0741) Intergenic Region (1–130) tp0741 Conserved hypothetical protein (562–612) cfpA (tp0748) Cytoplasmic filament protein 556 bp(23–533) EU101755–EU101780 tmpB (tp0769) Predicted outer membrane protein 966 bp (57–919) EU102051-EU102074 551 bp IGR(tex-fld) Intergenic Region (1–369) EU101931–EU101954 fld (tp0925) Flavodoxin (1–101) 150 bp tp0989 P26 related protein (1–39) EU102027–EU102050 IGR(tp0989-tp0990) Intergenic Region (1–46) tp0990 Conserved hypothetical protein (1–65) tpf-1 (tp1038) Antigen Tpf-1 171 bp (81–190) EU102219–EU102244 1Genes are identified by both commonly used names, when present, and the gene number in the T. pallidum genome. Intergenic regions (IGRs) are identified by the genes between which they fall. Where amplicons contained multiple genetic regions, they are listed on separate lines. 2As listed on the STDgen website (http://stdgen.northwestern.edu/). 3 The size of the amplicon, in basepairs, is listed in bold. Below, the coordinates of the region sequenced within the gene is given in nucleotide positions. doi:10.1371/journal.pntd.0000148.t002 On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 4 2008 | Volume 2 | Issue 1 | e148 T. pallidum subsp. pallidum Nichols strain genome, using the program RDP2 [42]. This type of search would identify recombination events between the strains sequenced in this study and the paralogs present in the sequenced genome, as well as recombination between the genes in the strains sequenced. In addition, when small stretches of extremely polymorphic DNA were identified, a BLAST search was performed in order to identify possible donor regions involved in intragenomic conver- sion events (http://www.ncbi.nlm.nih.gov/BLAST/). Because the complete genome sequence was only available for one strain, it is possible that some recombination events, between paralogs or donor regions not present in the sequenced genome, would not be detected. For this reason, the frequency of synonymous and non- synonymous substitutions was examined in highly polymorphic stretches; regions with a high number of synonymous substitutions and multiple substitutions per codon were considered to be possible results of recombination and were excluded from the analysis. The sequence of these regions can be found in Table S3. The complete alignments, constructed as described below and encompassing all polymorphism in which within-gene recombi- nation had been ruled out, were also analyzed using RDP2, in order to rule out large-scale genomic recombination. In order to construct phylogenetic trees incorporating all variation, an alignment of the concatenated SNPs and indels was created using ClustalX version 1.83 [43]. The order of the regions in the concatenation corresponds to their position in the genome. Modeltest [44] was used to choose the appropriate model of nucleotide substitution, Kimura’s two parameter, and phyloge- netic trees were built in *PAUP 4.0 [45]. Both maximum likelihood and maximum parsimony methods were employed, to glean the most information from both parsimony-uninformative traits and indels, respectively. T. paraluiscuniculi was used as an outgroup (i.e. a taxon known to lie outside of the T. pallidum grouping) with which to root the trees and determine the directionality of substitutions. In the alignment, indels were trimmed to one basepair, in order to prevent their greater length from dominating the analysis. One thousand replicates were run to obtain bootstrap support at each node, with starting trees obtained through random, step-wise addition. Tree bisection and reconnection was used for the branch-swapping algorithm. The maximum likelihood tree was chosen for display, with bootstrap support from both methods displayed at nodes. Trees in which trimmed indels were weighted 1/5 the value of substitutions were also created, in light of the faster mutation rate of repeat regions. Because many substitutions were contained in one gene, tp92, trees in which polymorphism in tp92 was not considered were built. In addition, trees built only from synonymous SNPS or non-synonymous SNPs were created using the methods described above. Results Sequence Variation Of the twenty-one genes sequenced in this study, data from T. paraluiscuniculi was obtained for all but one gene, tprI, which had previously been shown to be absent from the genome of this species [46]. The tp0618 gene could be amplified from T. paraluiscuniculi Strain A, but not from Strains H and M. It is possible that the gene is missing from the genome of the latter two strains or that the sequence in the priming regions has diverged sufficiently to prevent amplification. No areas likely to result from recombination were identified in formal tests performed in RDP2. However, polymorphic regions in two genes, tp0618 and tp92, contained small tracts of highly variable Figure 1. Genome coordinates of the 21 regions targeted for sequencing. The name of the genes and/or intergenic regions (IGRs) amplified are shown in bold next to their numeric coordinates and a point denoting their location in the genome. The coordinates of the nucleotides sequenced within each gene/IGR can be found in Table 2. doi:10.1371/journal.pntd.0000148.g001 On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 5 2008 | Volume 2 | Issue 1 | e148 DNA with an elevated frequency of synonymous nucleotide substitutions and multiple substitutions per codon. No possible donor regions could be identified for these tracts using BLAST searches on the T. pallidum genome. However, because such a high frequency of synonymous substitutions could be explained by recombination, and it was thus not clear how many mutational events were responsible for the polymorphism observed, the polymorphism in tp0618 and four polymorphic regions from tp92 were excluded from the phylogenetic analysis. The tp92 substitutions included in the analysis can be found in polymorphism Table S2, while all substitutions can be found in polymorphism Table S3. In the remaining 7 kilobases of the T. pallidum genome examined, which were sequenced from 20 scattered regions, a total of 70 SNPs and 12 indels were identified. Most of them are described here for the first time. Twenty-six substitutions occurred between T. pallidum strains (Table 3), amounting to about one substitution per 275 basepairs. This value is likely to significantly overestimate the amount of polymorphism typical of the genome, however. A number of regions were sequenced either because of their previously demonstrated polymorphism or because they were thought likely to contain variation. This may have weighted the regions sampled towards exceptionally polymorphic areas. The region sequenced in tp92, for example, contained 7 of the 24 substitutions observed between T. pallidum strains (Table 3). Roughly two-thirds of the total substitutions observed represented fixed differences between T. pallidum and the outgroup, T. paraluiscuniculi (Table 4). Singletons were rare, accounting for only 7 of the 70 observed substitutions (Table S2). Three of these singletons were found in the Pariaman strain, which was geographically distinct from other subsp. pertenue strains, and no singletons were observed in the other whole genome amplified strains. Thus, it appears that whole genome amplification did not introduce spurious substitutions. A few polymorphic regions analyzed here are of special interest in light of past studies and the paucity of genetic variation described to date. Polymorphism between subsp. pertenue strains occurring in the first 200 basepairs of the tprI gene, demonstrated here, had not been described in previous studies of this gene [23,47]. In the small region of tprI sequenced here, all 3 substitutions documented in T. pallidum strains were non-synonymous and in close proximity (Table 3). Two resulted in radical amino acid substitutions (Table S2). Variation in the cfpA gene had previously been reported in a study comparing the sequence of this gene in the Nichols and Haiti B subsp. pallidum strains [36]. We observed only one of the substitutions reported in this article, a polymorphism occurring among subsp. pallidum strains at position 92 (Fig. 2). However, we discovered one fixed difference between the non-venereal subspecies and subsp. pallidum, at residue 303 (Fig. 2). Much of the polymorphism in tp92 was not analyzed in this study, because it fell within hyper-variable regions that were difficult to align and in which recombination could not be ruled out. Even so, in the regions included, 7 non-synonymous and no synonymous substitutions occurred among T. pallidum strains (Table 3). Four of these substitutions resulted in radical amino acid Table 3. Summary of polymorphism found between T. pallidum strains. Genetic Region Size of Sequenced Fragment (bp) # Indels # Polymorphic Sites # Sites with NS Substitutions # Parsimony Informative Sites1 p p S: p NS All Sites S Sites NS Sites IGR(fliG-tp0027) 207 1 1 - 2 - - - - tp0106 598 0 1 0 0 0.00016 0.00061 0.00000 - tp0123 557 0 1 1 0 0.00017 0.00000 0.00023 0 IGR(tp0135-tp0136) 301 1 0 - 1 - - - - deoD 323 0 1 0 1 0.00160 0.00611 0.00000 - gpd 268 0 1 0 1 0.00193 0.00823 0.00000 - tp92 2 975 1 7 7 6 0.00194 0.00000 0.00257 0 tp0347 228 1 1 0 2 0.00082 0.00329 0.00000 - IGR(cheY-tp0367) 160 0 2 - 2 - - - - rpiA 217 0 1 1 0 0.00044 0.00000 0.00059 0 tp0617 84 0 3 0 3 0.01451 0.05193 0.00000 - tprI 162 0 3 3 3 0.00947 0.00000 0.12660 0 tp0668 243 1 0 0 1 0.00000 0.00000 0.00000 0 cfpA 511 0 2 1 2 0.00152 0.00464 0.00065 7.13846 tpf-1 110 0 2 1 1 0.00542 0.00323 0.00612 0.52778 1 In parsimony analysis, gaps were considered a fifth character state. 2 In the tp92 gene, residues 1531–1593, 1672–1794, 1837–2106, 2140–2334, and 2386–2502 were included in this analysis. Regions that may have undergone recombination were omitted. doi:10.1371/journal.pntd.0000148.t003 Table 4. Summary of divergence between T. pallidum and T. paraluiscuniculi. Type Number Intergenic INDELS 5 SNPs 13 Genic INDELS 2 SNPs 31 doi:10.1371/journal.pntd.0000148.t004 On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 6 2008 | Volume 2 | Issue 1 | e148 changes (Table S2). Finally, in IGR(fliG-tp0027) the presence of a SNP followed by a long homonucleotide repeat region (Fig. S1) was documented in subsp. pallidum, but not in the other subspecies. The net polymorphism in the former strains was predicted, on the basis of conformational stability, to form a stem-loop structure in the intergenic region between the oppositely transcribed genes fliG and tp0027. This structure, located between the predicted promoter and transcriptional start site of the operon containing genes tp0027 and tp0028 (Fig. S1), could attenuate transcript levels of these genes. Both of these genes are homologous to tlyC, which is believed to either code for a hemolysin or for a protein that regulates hemolysin production [48]. A phylogenetic tree (Fig. 3), constructed using maximum likelihood and parsimony methods, demonstrated that all T. pallidum strains fell within a single clade. Within this larger clade, several T. pallidum clades with bootstrap support greater than 90% were identified. Subsp. pallidum and subsp. endemicum strains formed groupings distinct from subsp. pertenue strains. In addition, subsp. pertenue strains CDC-1, CDC-2575, and Ghana formed a clade distinct from the other strains of this subspecies, including those gathered nearby. Several clades with lower bootstrap support were also identified within the pallidum and pertenue subspecies. The subsp. pertenue strains occupy a basal location on the tree, indicating an ancestral position for them in the T. pallidum Figure 2. Comparison of 17 single nucleotide polymorphisms present in pathogenic Treponema strains, including 2 strains of T. pallidum subsp. pertenue gathered from Guyana. doi:10.1371/journal.pntd.0000148.g002 On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 7 2008 | Volume 2 | Issue 1 | e148 Figure 3. A phylogenetic tree depicting the relationships between the T. pallidum subspecies. This maximum likelihood tree is based on 20 polymorphic regions in the T. pallidum genome. Bootstrap support was estimated with 1,000 replicates in order to assess confidence at branching points and are shown within circles where values are high (.90%). Bootstrap support values for both maximum likelihood and maximum parsimony trees are shown, in that order. doi:10.1371/journal.pntd.0000148.g003 On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 8 2008 | Volume 2 | Issue 1 | e148 family. This basal position is supported by the average number of nucleotide differences from the T. paraluiscunili clade, which was lower for the subsp. pertenue strains (50.13) then for the subsp. endemicum and pallidum clade (55.15), or for the individual subsp. endemicum (51.33) and subsp. pallidum (56.00) clades. The genetic distance between subsp. pertenue and endemicum strains was small compared to the distance between these non-venereal subspecies and subsp. pallidum. The terminal position of the subsp. pallidum clade on the tree indicates that it diverged most recently. The results obtained from this phylogenetic analysis were robust. Trees in which trimmed indels were weighted one-fifth the value of substitutions were found to be qualitatively indistinguish- able from unweighted trees. And because many of the substitutions analyzed here came from the portion of tp92 sequenced, a tree built without this gene was constructed (tree not shown). The major groupings described above were observed. However, without tp92, groupings that appeared in Fig. 3 with low bootstrap support, such as the clade containing the Mexico A and subsp. pallidum strain from South Africa, were not identified. Trees built using only synonymous or non-synonymous substitutions demon- strated that while the subspecies clades could be obtained by analyzing only synonymous substitutions, non-synonymous substi- tutions were responsible for increased phylogenetic resolution (trees not shown). That is, identification of all within-subspecies clades was dependent on non-synonymous substitutions. Genetic analysis of the two subsp. pertenue strains collected from indigenous groups in Guyana revealed that they were the closest relatives of modern subsp. pallidum strains identified in this study. Only a subset of seven genetic regions could be analyzed in these strains: IGR(fliG-tp0027), deoD, gpd, tp0618, tprI, cfpA, and tpF-1. These regions contained 17 SNPs at which Old World non- venereal strains differed from subsp. pallidum strains (Fig. 2). At 4 of the 17 SNPs examined, the New World subsp. pertenue strains were found to be identical to subsp. pallidum strains. These 4 SNPs occurred in 2 loci on separate sides of the genome, tprI and gpd. At the remaining 13 sites, the New World pertenue strains were identical to Old World non-venereal strains. A network path was constructed, in which these SNPs were considered in their geographic context (Fig. 4). In addition, polarity of substitutions was determined using data from the previously constructed phylogeny (Fig. 3). The tree indicated that the ancestral state of the gpd gene could be found in Old World subsp. pertenue and endemicum strains. In addition, polymorphism in the tprI gene could be used to divide T. pallidum into four groups: subsp. pallidum, subsp. endemicum, and two smaller groups of Old World subsp. pertenue. The phylogeny indicated that of the two Old World subsp. pertenue groups, the more recently diverged was the CDC-1/CDC- 2575/Ghana one, while the other subsp. pertenue group was ancestral. Thus, the 4 SNP sequence present in the majority of Old World subsp. pertenue strains appears to have arisen first. The network path suggests that a series of substitutions led from this first group of Old-World pertenue strains to a second group of African subsp. pertenue strains and to subsp. endemicum strains (Fig. 4). The pattern of substitutions suggest that a hypothetical intermediate strain, arising from either the group II subsp. pertenue strains or endemicum strains, once existed and was a progenitor to both New World subsp. pertenue and to all subsp. pallidum strains. This data also suggests that the New World subsp. pertenue strains belong to a group distinct from the Old World subsp. pertenue strains, occupying a phylogenetic position somewhere between Old World non-venereal strains and modern subsp. pallidum strains. Discussion In the past, a number of different hypotheses regarding the origin of T. pallidum subsp. pallidum, the causative agent of syphilis, have been put forth. Using new data collected in this study, we assess a number of these hypotheses. Figure 4. A network path for four informative substitutions shows that New World subsp. pertenue, or yaws-causing strains, are the closest relatives of modern subsp. pallidum strains. The geographical distribution of the endemic treponemal diseases circa 1900 is shown, based on a map created by Hackett [62]. Each polymorphism pattern is linked to the sites where the strains that contain it were gathered. Arrows convey the directionality of change, determined from the previously built phylogenetic tree as described in the text. The four substitutions were located in two genes located on separate sides of the genome, tprI and gpd. The locations from which subsp. pallidum strains were gathered are listed in Table 1. doi:10.1371/journal.pntd.0000148.g004 On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 9 2008 | Volume 2 | Issue 1 | e148 The phylogenetic tree created in this study sheds light on the relative order in which the T. pallidum subspecies emerged. Subsp. pertenue strains gathered from central Africa and the South Pacific occupy basal positions on the tree, indicating that they most closely resemble the ancestral pathogen in humans (Fig. 3). The early emergence of these strains in human history is also supported by their low average nucleotide differences from T. paraluiscuniculi and their similarity to the simian strain of T. pallidum, which infects wild baboons. Although the simian strain could not be distinguished from subsp. pertenue strains using the polymorphic data in this study (Fig. 3), another study focusing on the tpr genes found that it was distinct from human T. pallidum strains examined [47]. This evidence is consistent with the hypothesis that yaws is an heirloom disease in humans, one caused by a pathogen that infected our anthropoid ancestors and has evolved with our species [49]. The presence of yaws in wild populations of our closest relatives, gorillas and chimpanzees [50,51], further supports this theory. However, a more recent cross-species transfer event between humans and non-human primates cannot be ruled out using the available genetic data. It has been shown that inoculation with the simian strain can cause a yaws-like infection in humans [52], and it is known that infection rates are high in both humans and wild baboons in yaws-endemic areas of West Africa [53,54]. Thus, it is possible that non-human primates serve as a source of human disease, or vice versa. Therefore, in the future it would be desirable to collect T. pallidum strains from various wild, non-human primate species and to sequence them at additional loci. Such information is likely to provide important information concerning the antiquity of yaws in humans. Subsp. endemicum strains, gathered from the Middle East and the Balkans, diverged from subsp. pertenue strains at some later date, and subsp. pallidum strains diverged most recently, indicating that they emerged relatively recently in human history (Fig. 3). The topology of the tree is consistent with the long-held belief that treponemal disease is very old and has traveled with humans during their migrations, evolving from ancestral subsp. pertenue, in hot, humid regions, into subsp. endemicum as people settled in cooler and dryer areas, and finally into subsp. pallidum [9,55]. Examination of additional variable sites in non-venereal strains from Africa and Asia may aid in pinpointing the trajectory of this pathogen family in the Old World. The study of two yaws-causing strains from the Americas provides additional clues to understanding the history of syphilis. The genetic analysis of the two subsp. pertenue strains gathered in Guyana demonstrates that they are the closest relatives of venereal syphilis-causing strains identified in this study (Fig. 4). These strains are genetically distinct from Old World subsp. pertenue strains, having diverged more recently than Old-World non- venereal strains. The geographic analysis of strains, paired with the phylogeny, suggests a three-stage model for T. pallidum’s dissemination and evolution. First, T. pallidum arose in the Old World, in the form of non-venereal infection, before spreading with humans to the Middle East/Eastern Europe, in the form of endemic syphilis, and then to the Americas, in the form of New World yaws. Second, a T. pallidum strain from the Americas was introduced back into the Old World, probably as a result of the European exploration of the Americas, becoming the progenitor of modern syphilis-causing strains. Third, modern subsp. pallidum strains disseminated from Europe to the rest of the world. Descriptions of the clinical presentation of yaws in indigenous Guyanese patients [31] support the ‘‘transitional’’ position of South American subsp. pertenue strains, between Old World non- venereal and subsp. pallidum strains, indicated by the genetic comparison in this study. These yaws patients, who are inhabitants of Guyana’s interior, typically present with a chancre (a chronic, painless ulcer with raised margins) similar to the type seen in venereal syphilis, though found in children and in extra-genital locations. This clinical presentation is quite different from the textbook ‘‘frambesiform’’ lesion characteristic of yaws in Africa and Asia. It is possible that this distinctive lesion results from differences in the pathogen genome, although host differences, both cultural and genetic, may also play a role. Though modern travel increases the probability that a strain present in one place may have been recently introduced from another, the isolation of the aboriginal population from which these strains were collected, as well as their unique genetic and clinical characteristics, makes such an event unlikely. It is possible that these strains possess some of the characteristics of subsp. pallidum strains while still retaining many of the features of subsp. pertenue strains, including a non- sexual transmission mode. The condition of the two samples precluded a complete comparative study involving these strains, but the distinct genetic make-up indicated by the available data makes further study of South American subsp. pertenue strains desirable, if additional samples can be gathered in the future. Although the data suggest that venereal syphilis-causing strains arose recently, from a New World progenitor, the transmission mode of the ancestral bacterium remains unclear. The closest relatives of syphilis-causing strains in this study were non-venereally transmitted. However, because of the disappearance of endemic treponemal disease from South America it was only possible to study two indigenous strains from this continent, gathered in close proximity. It is possible that a strain even more closely related to subsp. pallidum once existed in pre-Columbian South America and was transmitted venereally. Paleopathologists have assessed the age distribution of treponemal infection in pre-Columbian Native American populations, in hopes of determining the mode of transmission in these civilizations. However, because permanent bone remodeling due to treponemal infection usually occurs in tertiary-stage disease, which can take many years to develop, it is difficult to determine at which age individuals typically contracted the infection in past populations, even when finds are abundant [56]. Several possible cases of congenital syphilis, believed by many to occur only in venereal infection, have been reported from pre- Columbian America, but the diagnoses remain tentative [56]. Some researchers have attempted to determine the nature of treponemal infection in past populations through statistical comparison of specific pathologies in the skeletal record. Based on this method, they assert that the treponemal infection present in the Dominican Republic at the time of Columbus’s landing was more akin to venereal syphilis than yaws or endemic syphilis [57]. However, this method remains controversial, because of the limited samples from which specific pathology rates have been determined for each disease [56]. Therefore, it is not clear whether venereal syphilis existed in the New World prior to Columbus’s arrival. While it is possible that Columbus and his crew imported venereal syphilis from the New World to Europe, it is also possible that the explorers imported a non-venereal progenitor that rapidly evolved into the pathogen we know today only after it was introduced into the Old World. Indeed, analysis of the changing descriptions of venereal syphilis following its appearance in Europe have led many to believe that the pathogen did evolve rapidly after its initial introduction [16]. Given the limitations of the available data, the question of whether the progenitor of modern syphilis-causing strains was venereal or non-venereal may remain unresolved. The results of this molecular study clarify some findings of skeletal biology while obfuscating others. The virtual absence of syphilitic lesions from Pre-Columbian Old World skeletons can be explained simply in the context of this data; syphilis did not exist in these areas until the Renaissance. On the other hand, the absence of lesions On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 10 2008 | Volume 2 | Issue 1 | e148 typical of yaws or endemic syphilis in these areas is puzzling in light of the genetic data. If the non-venereal treponematoses arose in the Old World long before syphilis, then why isn’t there more evidence of their presence? If yaws was the first form of treponemal disease, as indicated by our study, and was limited to hot, humid areas, we would expect preservation of ancient, affected remains to be poor. This may contribute to the paucity of skeletal finds. In light of the hypotheses regarding the rapid evolution of subsp. pallidum in Renaissance Europe and the lack of knowledge concerning the genetic basis for the different clinical manifesta- tions of the treponematoses, any evidence of positive selection or functional change in the T. pallidum genome would be of great interest. A comparison of trees constructed with only synonymous or non-synonymous substitutions emphasized the role of non- synonymous substitutions in differentiating T. pallidum strains. Ten of the 14 non-synonymous substitutions observed between T. pallidum strains occurred in just 2 genes: tprI and tp92. Similarly, 6 of 9 radical amino acid substitutions observed between T. pallidum strains occurred in these 2 genes (Table S2). Given the evidence for the role of the TprI and Tp92 proteins in pathogenicity [22,58,59], the substitutions clustered in the regions of these genes that were sequenced may hint at positive selection. Sequencing the entirety of these genes in many strains of T. pallidum may be worthwhile, in order to better assess this possibility. Similarly, since tp0027 and tp0028 are both homologous to tlyC, a gene that either encodes a hemolysin or regulates a cryptic one in E. coli [48], a difference in transcript level between subspecies could affect pathogenesis. To this end, a regulatory function for the predicted stem-loop structure in IGR(fliG-tp0027) in subsp. pallidum could be tested. Transcript levels of tp0027 could be characterized in the different subspecies; in addition, the two IGR variants discovered in this study could be placed upstream of a reporter gene in a genetically tractable bacterium, such as E. coli, in order to directly examine the effect of the stem-loop structure on transcript levels. Our conclusions regarding the history of T. pallidum differ from those drawn in a recent comparative study of the tpr gene family [23], in which it was asserted that the times of emergence for the pathogens that cause endemic syphilis, yaws, and syphilis were similar and dated to sometime later than the emergence of modern humans but earlier than the Renaissance. We propose several reasons for why the conclusions arrived at in the two studies diverge. The strains collected from Guyana in this study played an integral role in our analysis, because they were most closely related to syphilis-causing strains and helped establish the geographic trajectory of T. pallidum evolution. In addition, in the genetic regions we examined, recombination was much less common than in the majority of the tpr genes, if it was present at all. Our data suggest that the T. pallidum genome is evolving in a largely clonal manner amenable to phylogenetic analysis, with the exception of frequent intra-gene conversion events confined within the members of the tpr gene family [23]. Finally, because T. paraluiscuniculi was extremely similar to T. pallidum at all but one of the sequences examined (tprI is missing in the former species), it was easy to create alignments and to assess the directionality of mutations in this study. The evolutionary pathway between the tpr genes of T. paraluiscuniculi and T. pallidum is more complicated and much harder to interpret. This study has some obvious limitations. The level of polymor- phism found between T. pallidum strains is quite low, as suggested by previous studies. For this reason, the level of resolution in the phylogenetic tree is relatively poor. It is likely that polymorphism data from the rest of the genome will clarify the topology of this tree, including the relationship between subsp. endemicum and subsp. pallidum strains, which are grouped together in this study with low bootstrap support, and the position of subsp. pertenue strains, which occupy a basal position on the tree but group together only by default. Similarly, the close relationship between subsp. pallidum strains and New World subsp. pertenue strains described in this paper hinges on the analysis of only 4 SNPs. Three of these SNPs were found in a single gene, tprI. The close proximity of these non- synonymous SNPs within the gene, the non-linear relationships of the strains indicated by the substitutions (Fig. 4), and the evidence that the TprI protein may be involved in pathogenesis, suggest that tprI may not be evolving neutrally. For this reason, it is unlikely that these SNPs have accumulated in a clockwork manner. Instead, the information that can be gleaned from this gene is limited to the relative order in which evolutionary events occurred. The large-scale comparative genetic studies possible on the pathogens that cause diseases such as malaria and anthrax will never be possible in T. pallidum, because of the disappearance of the non-venereal treponematoses and the strains that cause them [60,61]. The prevalence of yaws in Guyana, the last country in South America in which yaws has been documented in recent years, has decreased annually, and surveys carried out by our group in 2006 and 2007 in endemic yaws territory demonstrated no active cases of the disease. Analysis of South American strains is necessary in order to assess the relationship between subsp. pallidum and non-venereal treponemal strains. Because it is not clear whether an opportunity to examine such strains will arise again, the results presented in this paper are of special importance in the debate over the origins of treponemal disease. In conclusion, in this study we found that syphilis-causing strains evolved relatively recently in human history and that the closest relatives of subsp. pallidum were yaws-causing strains from the New World. When this genetic data is combined with extensive documentary evidence that syphilis appeared in Europe for the first time around 1495 [12] and the apparent absence of skeletal signs of syphilis in pre-Columbian Europe and North Africa, the Columbian hypothesis for syphilis’s origin gains new strength. Supporting Information Figure S1 Predicted stem-loop structure observed in all Treponema pallidum subsp. pallidum strains in IGR(fliG-tp0027). All nucleotides preceding the transcription start site are shown, with the predicted polymerase binding site in red and the putative hemolysin genes tp0027 and tp0028 following the intergenic region. The homonucleotide repeat that allows this stem-loop formation is absent in subsp. endemicum and pertenue strains, and its presence may affect transcription of the genes ahead. Found at: doi:10.1371/journal.pntd.0000148.s001 (0.04 MB DOC) Table S1 Primers and annealing temperatures used in this study. Found at: doi:10.1371/journal.pntd.0000148.s002 (0.07 MB DOC) Table S2 Polymorphism table. Found at: doi:10.1371/journal.pntd.0000148.s003 (0.07 MB DOC) Table S3 Polymorphism table including excluded regions. Found at: doi:10.1371/journal.pntd.0000148.s004 (0.09 MB XLS) Acknowledgments We thank F. Heffron, J. Thomas, and S. Altizer for the use of their laboratories; Ve’ahavta (The Canadian Jewish Humanitarian Relief Organization) for collecting strains from Guyana; The Guyana Ministry of Health; L. Schouls, R. Limberger, and S. Lukehart for additional strains used in this project; J. Logsdon, A. Case, T. Schlenke, E. Holmes, and K. On the Origin of the Treponematoses PLoS Neglected Tropical Diseases | www.plosntds.org 11 2008 | Volume 2 | Issue 1 | e148 Bagamian for comments and help with a previous draft; B. Levin for logistical support; and B. Stoner-Duncan and L. Waller for help with graphics. 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work_vzga4vuf5fcjdjj3s7xisdyuqq	----	Inter-Asia Cultural Studies, Volume 6, Number 3, 2005 ISSN 1464–9373 Print/ISSN 1469–8447 Online/05/030446–06 © 2005 Taylor & Francis DOI: 10.1080/14649370500170142 The De Kretser case: a note on Sri Lankan writing in English Pradeep JEGANATHAN Taylor and Francis Ltdjega@icescmb.org ABSTRACT How is the content of a literary canon, or tradition to be configured? What counts as a literary archive? More than 25 years after Edward Said’s Orientalism (1978), it seems reasonable to assume, that central to such tradi- tions, would be the work of those who live and work in the society that gives rise to it. In this review, such a location of Michele de Kretser’s new novel, The Hamilton Case, is offered, as a caution to metropolitan literary critics who continue to approach Sri Lankan writing in English, as Christopher Columbus approached ‘America’. It is argued that the novel owes much to, and can be read as echoing and elaborating the detective fiction of S.W.R.D. Bandaranaike, who was, also, the fourth Prime Minister of Ceylon (Sri Lanka), 1956–59. KEYWORDS: Sri Lankan English fiction, postcolonial criticism, The Hamilton Case, Michele de Krester, S.W.R.D. Bandaranaike, John Ratsinghe, detective fiction But Jaya was ever adapt at side-step- ping inconvenient questions. ‘The Brit- ish occupy our imagination as well as our country,’ he intoned, drawing on his foul smelling pipe. I recognized the prelude to a sermon. ‘English is our inheritance too,’ I inter- rupted. ‘Why shouldn’t we mold it to our needs?…’ (De Kretser 2003: 71). Michelle de Kretser’s The Hamilton Case (2003) will perhaps, in time to come, attract attention from academic literary critics located in metropolitan universities and research institutions. That always seems to take a ponderous measure of time. Mean- while, this brief intervention is an attempt, almost hopeless of course, to offer a caution to such critics. For it seems clear that even 25 years after Edward Said’s Orientalism (1978), metropolitan literary criticism has been unable re-constitute its canons and, more importantly, its rules of canon formation, in a post-orientalist way. However radical or ‘political’ metropol- itan critical practice is claimed to be, the field of Sri Lankan creative writing in English continues to be marked with the publication of Romesh Gunesekera’s Monkfish Moon (1992) or Reef (1994) and then simply followed through Shyam Selvadurai’s Funny Boy (1994) to the present, marked always by some recent metropolitan publication, like The Hamilton Case. What might be published in Sri Lanka, or produced by actual residents of the country, does not count at all, it seems, even though every such critic I meet is deter- minedly ‘political’. I was reminded of this when such a young critic told me recently in Colombo that now that Funny Boy had been translated into Sinhala it would finally have an ‘impact’ on the general public of Sri Lanka. When I seemed puzzled by this statement, he underlined that it was the sexual politics of the novel that he was concerned with and that it was this that was going have an ‘impact’. When one of my colleagues, Malathi de Alwis, then commented that surely this wasn’t the first Sri Lankan novel to address questions of sexuality, our guest nodded uncertainly, but did not say any more (de Alwis 1993). Funny Boy is just another example of a novel that metropolitan critics have staged as something new and innovative that Sri Lankan writing in English 447 natives in the native land need to absorb pedagogically. That, I’m afraid, is a Christopher Columbus version of Sri Lankan writing in English, where history begins when the first book written by a Sri Lankan is sighted in the far distance, by a panel of reviewers for the New York Times or Times Literary Supplement, and then assigned into a teaching and reading canon in author- itative universities in Euro-America, and disseminated in turn by the British Council in the (post) colonies. Sri Lankan writing in English, in all its forms, and as a political space, has, I’m afraid, like the landmass called America itself, existed long before its authorized discovery. In fact, The Hamilton Case, being a detective story in a colonial/nationalist frame, might well be read as the inaugural moment of that genre in this lovely isle – or perhaps some other hyper ‘political’ moment. I really can’t tell; my attempt is to offer a caution to such metropolitan critics and readers. On the one hand, Sri Lankan reading communities are correctly unperturbed by such metropolitan gyrations, watching them with an air of bemused detachment. That’s welcome. But on the other hand, they have their own odd preoccupations. One is attempting to identify ‘real’ people in novels. This is a tough proposition it seems to me, but many are undaunted by what appears to be a difficult conceptual terrain. Aha, they like to say, got it! That’s a fun game; I can imagine doing it myself. With regard to The Hamilton Case, I suspect that many will be seduced by the idea that several of the central characters in the novel, for example Stanley Alban Marriott Obeysekere and Donald Jayasingha taken together in some schizophrenic way, but even more so the colourful Maud Obeysekere, bear some resemblance to a particularly famous set of Sri Lankans, whose legacy we live with even today (that for the non-located reader of this review, would be the Bandaranaike family, who have provided Sri Lanka with three Prime Ministers, and her current President). I would, however, distance myself from such a view for I do not think fiction, even if written in a realist mode, has a direct bearing to ‘real-life’ in the descriptive, evidentiary sense. Characters in books are products of an author’s imagination; treating them as ‘real’ people may cost us our sanity. It is ethnogra- phy that carries the burden of relating to the lived world in a descriptive, evidentiary way, and I dare say professional anthropolo- gists, who are charged with the responsibili- ties of such writings have a hard enough time with it anyway (Clifford and Marcus 1987; cf. Jeganathan 2005). The two separate problems I’ve noted here are actually inter-linked, one really feeding off the other. Equating novels that are ‘set’ in a particular postcolonial place with ethnography renders characters in both genres as native informants, and that creative terrain into an ethnographic land- scape. This, in turn, catalyses the metropoli- tan understanding that informants cannot do very much more than be natives; they wouldn’t for example, be mistaken for writ- ers, who might in turn, have been reading and writing within a rich, located literary tradition. We need to leave both these flawed, colonial conceptual frames behind. Sri Lankan Fiction, like other Sri Lankan aesthetic products, such as painting and architecture, should be analysed in relation to its own internal structure, genealogy and history. Writing is a modern tradition, like any other, and it needs to be claimed as part of our postcolonial present. The Hamilton Case, I want to suggest, is an echo and elabo- ration of a well formed, but all too brief, liter- ary work that pre-dates it, a Sri Lankan tradition of writing in English. A Christopher Columbus view of this tradition is not going to help us here. We will need to work a little harder, dig a little deeper, recollect with care, and read with insight if we are to find it. But let me be clear; this tradition is a lot older than the New York Times or the British Council says it is. Now I do not offer this argument about echo and elaboration as a simple criticism of de Kretser’s work: or suggest that it is some- how ‘found out.’ Echoing, elaborating and even rewriting work in a literary tradition, 448 Pradeep Jeganathan is proper, worthwhile work, one that can only deepen that tradition, and then in turn, add to our own appreciation of it. Authors, generally speaking, do not (and should not) bear the responsibility for annotating their work. Writing fiction, surely, is work enough; annotation is, and should be the work of the critic. I recall here, for example, Qadri Ismail’s (1999) well wrought argu- ment that Ondaatje’s (1992) English Patient is a postcolonial re-working, and ultimately an undoing, of Rudyard Kipling’s colonial clas- sic Kim (1899/1992). First, then, some details from de Kretser to enable my re-location of it. There are two male characters in The Hamilton Case, who are, for quite some time, rivals, and then affines. Stanley Alban Marriott Obeysekere is born to an aristocratic lineage in a sort of spectacular decline. His hyper-masculine rival Donald Jayasingha, Jungle Jaya, also of high birth, calls him Obey. ‘Obey by name, Obey by nature’ Jaya taunts him, after Obey tells on his classmates to a new, white schoolmaster. Sam Obey goes on to Oxford, Jaya to Cambridge. While Obey returns to Ceylon to shine in the legal profession, his real passion is amateur detective work, of which he first develops an interest while in England. In Ceylon, he attempts, famously as is turns out, to unravel a murder mystery at the centre of which is the dead body of a white planter. This is the ‘Hamilton Case’ – the uncertain resolution of which runs throughout the book. Jayasingha, from Obeysekere’s point of view is: … the architect of racial hatred, our erstwhile Minister of Culture. The champion of the Sinhalese who couldn’t read and write the language and deliv- ered his Cambridge inflected speeches from transliterated scripts with nervous aides standing by to prompt him when he tripped over his own tongue. The famous Jungle Jaya, with his talk of Aryan supermen that pandered to the vanity of the villagers and won his party its landslide elections victories. (De Kretser 2003: 27) And though we do not quite know this, throughout the narrative Jayasingha has a competing view on the whodunit, ‘The Hamilton Case’, that Obeysekere thought he solved quite early. In the end, when all the dust has settled we don’t know who had it right – the hypocritical ultra-nationalist, hyper-masculine politician Jayasingha or the brilliant trial lawyer turned amateur detective, the cold, cruel and somewhat wimpy Obeysekere. Solomon West Ridgeway Dias Bandaranaike was born at Horagolla, on 8 January 1899. He was elected the fourth Prime Minister of Ceylon in 1956, and ushered in what has been widely described as a democratic revolution. He was shot by a Buddhist monk at Tintagel, his home in Colombo, when still the Prime Minister, on 25 September 1959. He died on the 26th. His many achievements, errors of judgement, acts of bad and good faith are well known, and much debated (cf. Manor 1989). Not so well known, it seems in high literary circles, is that he was also a writer of fiction. Four short stories have survived in print. Three were published during his life- time in the Times of Ceylon and the Island Review, and another, which may have been previously unpublished, was included when all of them appeared posthumously in his Speeches and Writings (Bandaranaike 1963). Except for the first, and very brief, The Kandy Perehara (Bandaranaike 1963: 456–467), about a nationalist awakening published in 1926, the others, his biographer James Manor (1989: 217) tells us, were written ‘during one of quietest periods of his adult life’, between mid-1952 and mid-1955. It was during this time that Bandaranaike fash- ioned John Ratsinghe, a Holmes-like detec- tive in the two short stories that interest me here. Now that’s not a whole lot, to be sure, but Bandaranaike lest we forget, was a man of extraordinary talent, sensitivity and self-knowledge, and there is much that is embedded in his stories. Now, as Carlo Ginzburg (1989: 96–126) and others have suggested, the emergence of the detective in fiction does signal the Sri Lankan writing in English 449 emergence of arguments for empirical deduction and rational reason on the one hand, but also carries on the other hand, given the always ambiguous possibilities of fiction, the possibility of its own undoing. It is not only that a detective may be a bumbling figure, missing the wood for trees or for that matter twigs, but also that the truth of detection may be a lesser one, compared to another, the truth of life, that emerges as a plot unfolds. The two key Bandaranaike short stories The Mystery of the Missing Candidate (Bandaranaike 1963: 467– 490) and Horror of Mahahena (Bandaranaike 1963: 491–516) operate almost explicitly on this principle, with the split subjectivity of Ratsinghe and his Watson – Richard Perera – playing as always between evidence and emotion, deduced truth, and a more profound, human truth, if you like. A common enough play perhaps, but one that re-appears in de Kretser, with an added overlay of narrative self-consciousness thrown in. The old mansion of Mahahena, the setting for the horror story that I will touch upon first, deep in a forested estate a hundred miles from Colombo, seems not unlike de Kretser’s Lokugama, with its eerie beauty and hints of ghostly goings-on. And Donald Jayasingha more than recalls Mahahena’s master, Ananda Livera, not on account of his nationalist politics, but of his evil yet civilized hyper-masculinity. Livera it turns out has married Leela Perera, the lovely society beauty, and cousin of Richard Perera, John Ratsinghe’s Watson. Richard was ‘[a]t one time very much in love with her, and hoped that she would eventually make up her mind to marry [him]’ but she didn’t. Instead, she fell in love with Ananda Livera, who even though being a ‘first-rate athlete and had obtained a first class in science at the ‘Varsity … preferred to plant in the wilds of Mahahena and shoot big game’ (Bandaranaike 1963: 492). The trian- gle in Bandaranaike is Richard, Leela and Ananda – which surely parallels the trian- gle of Sam, Claudia and Donald in The Hamilton Case. In the novel, Claudia is Sam’s younger sister – highly strung, emotional and unstable in his eyes – who, after their family fortunes finally crash, is married to Donald Jayasingha, his hated rival. And soon after, Sam finds marks on Claudia’s back, ‘scored with tiny slits just starting to scab over’ (de Kretser 2003: 63). Claudia shrank away from me, cower- ing… My heart flickered at the sight of a rusty gash showing beneath a shoe- string strap: an ugly thing rendered still more repulsive by its proximity to satiny brown skin and ivory lace. Running my finger tips down Claudia’s camisole I located the gruesome herringbone of scabs that frame her narrow back. I wanted to weep. I wanted to commit murder. ‘He did this, didn’t he?’ I cried. ‘Is it the first time? Tell me, tell me at once.’ At that, Claudia’s head jerked up. ‘No, Sam, no.’ She struggled in my embrace. I tight- ened my grasp. She flailed uselessly for a minute. ‘Tell me,’ I whispered, my mouth against her hair. Between sobs, she confessed that the wounds were her own handiwork: she had cut into her flesh with Jaya’s razor, she said. ‘Stop covering up for him,’ I hissed. I’ll prosecute the blackguard myself. You’ll be rid of him for ever. We’ll live together, just the two of us. I’ll look after you.’ (de Kretser 2003: 63). That’s the triangle in de Kretser. At the heart of Bandaranaike’s Horror of Mahahena are several ‘mysterious and horri- ble deaths’ (Bandaranaike 1963: 493). There were ‘marks of violent struggle in each case, and the throats of the victims were mangled and torn…’ (Bandaranaike 1963: 493) writes Leela Livera to her cousin and former lover, Richard. She implores him to bring his friend, Bandaranaike’s Holmes, John Ratsinghe along, to solve the case. Richard obliges. While at Mahahena, Ratsinghe finds small marks on Leela’s neck: Leela obediently bent back her head, and John, rising from his chair, stooped 450 Pradeep Jeganathan over her, and closely examined what appeared to me to look like some slightly inflamed marks of an insect bite. He came back to his seat without a word, and his face had a strangely drawn and haggard look. (Bandaranaike 1963: 502) More adventure and mystery follow, but in the end it turns out that it is Ananda himself who is the human vampire – having devel- oped a taste for human blood, he now cannot stop himself. He loves Leela, but still craves her blood, so he has to get it without harming her. As Ratsinghe finds out, in the climatic scene, Ananda has been doing this on full moon nights, with a hypodermic syringe aimed at his unsuspecting wife’s throat. ‘And now,’ said John, with some hesita- tion, ‘what about your wife?’ Ananda covered his face with his hands. ‘Oh, it was terrible,’ he moaned. ‘I loved her passionately, and often when the craving was on me, I thought of shooting myself, rather than doing her the smallest harm…But I was care- ful not to hurt her much … only a few drops of blood.’ (Bandaranaike 1963: 513) There is, of course, a lot more to the Horror of Mahahena than the thrill of a murder mystery. On the one hand there is the perpetrator, scion of a colonized bour- geoisie, who is then parasitic upon another of his own decaying class, isolated in the grotesque but beautiful mansion of Mahahena, but on the other hand there is also the element of Ananda’s courage as he goes out to be killed by a rogue elephant rather than drag Leela through a trial, and Richard’s unrequited, lonely, almost stoic love for his cousin. This is a theme that is certainly amplified and echoed in The Hamilton Case; the uncer- tain resolution of which is an account of the ambiguous legacy of colonialism itself. Another set of unresolved ambiguities in de Kretser echo the other of Bandaranaike’s detective stories I recalled earlier, The Mystery of the Missing Candidate. The candidate, Sunil Rajapakse, again a scion of a wealthy and well-known provin- cial family, resident in a large Dutch period colonial mansion, in Rankotuwa just 60 miles from Colombo: ‘a large rambling place – [with] large verandahs, lofty rooms and enormously thick walls’ (Bandaranaike 1963: 468). Rajapakse has taken to politics, but he is ‘something of a dreamer…’ and has the ‘sensitive, imaginative nature of an artist.’ As Richard notices, time and time again, the hurly burly of the hustings, its posturing, posing, and preening, are quite beneath him. Suddenly, in the midst of a particularly galling but clearly petty display of ‘vanity’ on the part of a key supporter, Sunil disappears. And Richard has to mobi- lize John Ratsighe, yet again. What’s remarkable about this story is not the twists and turns of the mystery itself, but the staging of the ambivalent bourgeois wading into the ripples of popular election- eering, and by extension, democratic politics itself. The figure of Sunil Rajapakse, dissected and described by Richard, offers an embodiment of this ambivalence; Ratsighe finally finds him in a Buddhist hermitage, meditating, having almost given up, not just politics, but the pleasures of this world. Once found, he returns, not, it seems, too much worse for wear. It is this embodi- ment of ambivalence in the bourgeois figure of Sunil that is amplified and echoed in de Kretser’s rendering of Jayasingha and Obeysekere – Jayasingha the politician, Obeysekere the critical cynic, who sees through it all. Which of course, is again part of the larger frame of The Hamilton Case. That, however, is not my subject here. My point is rather about how canons are made, and how what counts as literature, gets constituted. There has been for some time now, current in literary criticism, or its hyper-politicized alter-ego, cultural studies, some idea that many different kinds of texts can exist in one archive, that one can read a newspaper or a folk poem, a TV programme or a bill- board, with (or against) what counts as high Sri Lankan writing in English 451 culture. There is, of course, a well-known genealogy to this argument that I need not explore here; it is, as it were, generally accepted in many critical quarters. But if this view has any merit at all, surely one might ask for a more located, more rooted literary tradition. One should not imagine, as Columbus did, that one should name and re-name all one surveys (Greenblatt 1991) for the good of the natives. It is my contention that The Hamilton Case owes much to the minor detective fiction of Bandaranaike. It owes much more, almost whole passages, to his memoirs of Oxford (cf. Bandaranaike 1963: 24 & 2003: 39) which Neelan Tiruchelvam correctly identi- fied some years ago as a ‘brilliant model of autobiographical writing on Oxford during the interwar years’ (Tiruchelvam 1992: 2). I am surprised that Bandaranaike’s writ- ings are unacknowledged in the book, while the extensive secondary literature on his life- time is. Perhaps this is some kind of oversight on de Kretser’s part, or perhaps it is a symp- tom of a larger problem of literary canon formation that I have been trying to point to; one that may involve her editors as well. Be that as it may, I’m not overly concerned with de Kretser’s acknowledgements. I maintain, as noted earlier, that re-writing a tradition, and echoing it is an enriching practice. Doing it is the work of practitioners of that creative tradition. Delineating it, should be the work of the critic, who operates in a different tradi- tion, under different rules. Our struggle, in as much as we care for a post-colonial practice, must be to re-mark and re-locate both those venerable traditions. Acknowledgement This paper is a product of several conversa- tions with Malathi de Alwis, and one with Kumari Jayawardena. I am grateful as always for their insights and cautions, and for Ashish Rajadhyaksha’s encouragement. References Bandaranaike, S.W.R.D (1963) Speeches & Writings, Colombo: Government Press. Clifford, James and Marcus, George (1987) Writing Culture: The Poetics and Politics of Ethnography, Berkeley: University of California Press. De Alwis, Malathi (1993) ‘Giraya: the harsh grip of a dialectic’, Pravada 2(4). De Kretser, Michelle (2003) The Hamilton Case, London: Chatto & Windus. Ginzburg, Carlo (1989) Clues, Myths and the Historical Method, Baltimore: Johns Hopkins. Greenblatt, Stephen (1991) Marvelous Possessions: The Wonder of the New World, Chicago: University of Chicago Press. Gunesekera, Romesh (1992) Monkfish Moon, London: Granta. Gunesekera, Romesh (1994) Reef, London: Granta Ismail, Qadri (1999) ‘Discipline and colony: The English Patient and the crow’s nest of post colo- niality’, Postcolonial Studies: Culture, Politics, Economy 2(3): 403–436. Jeganathan, Pradeep (2005) ‘Pain, politics, and the epistemological ethics of anthropological disci- plinarity’. In Peter Pels and Lynn Maskell (eds) Embedded Ethics, Oxford: Berg. Kipling, Rudyard (1899/1992) Kim, London: Penguin. Manor, James (1989) The Expedient Utopian: Bandaranaike and Ceylon, Cambridge: Cambridge University Press. Ondaatje, Michael (1992) The English Patient, New York: Knopf. Said, Edward W. (1978) Orientalism, New York: Vintage. Selvadurai, Shyam (1994) Funny Boy, London: Jonathan Cape. Tiruchelvam, Neelan (1992) Bandaranaike Ideology and Social Harmony (The 1992 Bandaranaike Memo- rial Lecture), The Thatched Patio (July/Aug.). Author’s biography Pradeep Jeganathan is a Senior Fellow & Member of the Board of Management of the International Centre for Ethnic Studies, Colombo, Sri Lanka. Contact address: Pradeep Jeganathan, International Centre for Ethnic Studies, 2 Kynsey Terrace, Colombo 00800, Sri Lanka. Website: www.pjega- nathan.org 
work_vzpvdfbipreobeewa4clg5klk4	----	10.11648.j.ijass.20190706.12 International Journal of Astrophysics and Space Science 2019; 7(6): 66-74 http://www.sciencepublishinggroup.com/j/ijass doi: 10.11648/j.ijass.20190706.12 ISSN: 2376-7014 (Print); ISSN: 2376-7022 (Online) The Importance of Computerized Analysis on Spoilage of Sweet Orange (Citrus Sinensis), Before Harvest and Carriage to Market, in Nigeria Prince Awojoodu Soji Department of Computer Science and Mathematics, Oduduwa University, Osun State, Nigeria Email address: To cite this article: Prince Awojoodu Soji. The Importance of Computerized Analysis on Spoilage of Sweet Orange (Citrus Sinensis), Before Harvest and Carriage to Market, in Nigeria. International Journal of Astrophysics and Space Science. Vol. 7, No. 6, 2019, pp. 66-74. doi: 10.11648/j.ijass.20190706.12 Received: June 21, 2019; Accepted: August 12, 2019; Published: December 4, 2019 Abstract: This research work was carried out, to find the importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria. 4 Local governments, namely: (Ife East, Ife South, Ife Central and Ife North), local government areas were sampled. 3,200 open questionnaires were distributed to the 4 Local Governments, out of which 800 was used for farmers in each local government. A total of 32 different locations were visited and sampled in all the four Local Governments, out of which 100 questionnaires were used in each location. It was gathered that above 75% of the people supported that, the computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria, was important, while less than 25% of the people, could not even understand whether there was any need, for the importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria or mot. The results from the questionnaires when using Pearson one-tailed correlation coefficient, however revealed that there was no significant difference from all the farmers visited and sampled, [p < 0.01] and [p < 0.05] table 5. This shows a strong positive correlation, which implying that, the importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria, is strongly influenced and enhanced farmer’s support, from the four local government areas, visited and sampled, in Ile-Ife Kingdom of Osun State, and Nigeria in general, and therefore had made the research work to become a reality, [p < 0.01] and [p < 0.05], table 5 respectively. The reasons may be due to the fact that, sweet oranges are not only, an excellent source and very rich in vitamin C, folic acid; it is also as a good source of dietary fiber, containing a host of other important nutrient element like: folate, thiamine, niacin, phosphorus, magnesium and copper. They are a good source of B vitamins including vitamin B1, pantothene acid and folate as well as vitamin A, calcium, copper and potassium and are also known to be fat free, sodium free and cholesterol free. Histogram with curve was used to depict the summary data of each of the local government areas sampled. Keywords: Sweet Orange (Citrus Sinensis), Harvest, Spoilage, 4 Local Governments, Osun State, Pearson Correlation 1. Introduction Sweet Orange (citrus sinensis), the fruit of the citrus species, in the family Rutaceae (US National Institute of Health). It is widely rated as the most planted fruit in Nigeria. In Nigeria, this orange is grown in any part of the country as the climatic conditions in the country has proven to be suitable for its growth. About 930,000 tons of citrus fruits are produced annually from an estimated 3 million hectares of land. Sweet oranges are an excellent source and very rich in vitamin C, folic acid and it is also as a good source of dietary fiber, containing a host of other important nutrient element like: folate, thiamine, niacin, phosphorus, magnesium and copper, [1]. They are a good source of B vitamins including vitamin B1, pantothene acid and folate as well as vitamin A, calcium, copper and potassium. Sweet oranges are also known to be fat free, sodium free and cholesterol free. Citrus species are grown for the juice of their fruits. It is also called sweet orange to distinguished it from the related (citrus avoantium), referred to as bitter orange. The sweet orange International Journal of Astrophysics and Space Science 2019; 7(6): 66-74 67 reproduces asexually, varieties of sweet orange arise through mutatirus, [2]. Sweet oranges are one of the most popular fruits around the world. While they are delightful as a snack, or as a recipe ingredient, for many Americans; it is their juice that most associated with good health, having a reputation for being an integral part of a healthy breakfast. Sweet oranges are round citrus fruits with finely, textured skins, that are having colour like pulpy flesh, usually range from about two to three inches in diameter, [3]. Oranges are classified into two general categories: Sweet and bitter. Sweet oranges, being the type most commonly consumed. The popular varieties of the sweet orange (citrus sinensis), include Valencia, Navel and Jaffa oranges, as well as blood orange, a hybrid species that is smaller in size, more aromatic in flavour and has red hues running throughout its flesh. Bitter oranges (citrus aurantium), are often times used to make jam or marmalade, and their zest serves as the flavouring for ligueurs, such as Grand mamier and cointreau, [4]. Figure 1. Sweet Orange (citrus sinensis), the fruit of the citrus species, in the family Rutaceae. ORANGE HISTORY/ORIGIN: Figure 2. Orange, History/Origin. Oranges originated thousands of year ago in Asia, in the region from Southern China to Indonecia from which they spread to India. Sweet oranges were introduced into Europe around the 16 th century by various groups including the moors and the Portuguese, as well as the Italian traders, and explorers who found them on their voyages to Asia and the middle East. Sweet oranges trees began to be grown in the Caribbean Islands in the late 15 th century after Christopher Columbus brought the seeds there on his second voyage to the new world. Spanish explorers are responsible for bringing oranges to Florida in the 16 th century, while Spanish Missionaries brought them to Califonia in the 18 th century, beginning the cultivation of this citrus fruit in the two states widely known for their oranges, [5]. YEARS OF MATURITY OF SWEET ORANGE (citrus sinensis) IN NIGERIA: Figure 3. Sweet Orange, years of maturity. Sweet orange matures very fast. Between 3 – 4 years, after planting. In the Southern Nigeria, Oranges are generally available from May/October, with seasonal variation depending on variety. After well grown, it became a seasonal and perishable fruits and goods for consumption both for the buyers and the people. SWEET ORANGE (citrus sinensis), SPOILAGE BEFORE HARVEST AND CARRIAGE: Figure 4. Sweet Orange, risks involved in spoilage before harvesting and carriage to market. In order to maintain high quality of sweet oranges, for both short term and long term harvest and carriage to Market, 68 Prince Awojoodu Soji: The Importance of Computerized Analysis on Spoilage of Sweet Orange (Citrus Sinensis), Before Harvest and Carriage to Market, in Nigeria there are some risks involved concerning spoilage before harvesting and carrying them. This is because, in Nigeria, sweet orange is extremely sensitive to issue of pest and disease, infection, premature fruits drop due to attack by nocturnal fruit piercing moths, termite damage to stern bark and tree roots and gummosis as well as death of budded seedlings. Figure 5. Sweet Orange, spoilage before harvest and carriage to market. The sweet orange fruits are usually prone to spoilage due to the bad roads and long hours of travel, before reaching the nearby markets, which is also caused by bad roads. The spoilage, in-turns, always lead to great loss for both the farmers and the buyers. Most of the problems which affects sweet orange production in Nigeria is that, a significant percentage of the product are spoilt or denatured before getting to the consumer markets. Also, some pests and disease of the orange crop can easily spread from one tree to the other if not tacked on time and most times causes reduction in productivity. SWEET ORANGE (citrus sinensis), CARRIAGE TO MARKET: Figure 6. Sweet Orange, harvest and carriage to market. In Nigeria, the major markets for this fruit are basically made up of two categories: the fresh fruits Market,(since the fresh fruits are majorly perishable and not durable). And the processed fruits Market, (where electro-mechanical devices/machines is used for changing such raw materials into finished goods for the consumers). The major producing States for Sweet Oranges are: Oyo, Ogun, Osun, Kogi, Nassarawa, Bennue, Ebonyi, Kaduna, Taraba, Ekiti, Imo, Kwara, Edo, and Delta. 2. Material and Methods The responses of the farmers in different locations of the four local government areas can be seen from the decision table as below: Table 1. The Decision Table. Sub Above 75% Below 25% Open headed Questionnaires Computerized Analysis on spoilage of sweet orange before harvest and carriage to market is important in Nigeria. X I do not know X State open questionnaires X The below are the points ticked by the majority of the people (above 75% table 1) from the questionnaires who understood and supported, the importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria. Figure 7. Sweet Orange, and its importance. [a]. In Nigeria, Sweet Oranges can be eaten in its raw form. [b]. sweet oranges are low in calories and full of nutrients. [c]. It can be used to produce fruit juice and other end products like: frozen concentrates, fragrant peels, pectin, flavours etc. [d]. Vitamin C in oranges contain fiber, potassium and choline, all of which are good for your heart. [e]. It helps to lower our risk for many diseases. [f]. Sweet oranges are a healthy source of fiber that may help lower blood sugar levels. [g]. Fiber also aids in digestion and may help lower cholesterol by blocking the absorption of cholesterol into the blood stream. [h]. Potassium, an electrolyte mineral, is vital for healthy functioning of the nervours systems. [i]. Lack of potassium can lead to an irregular heart beat (arrhythmia). [j]. Lack of potassium can lead to increased blood pressure. [k]. Lack of potassium can lead to a depletion of calcium in bones. [l]. Potassium found in sweet oranges help to lower pressure, thereby protecting the human body against stroke. [m]. Too much of potassium can lead to hyperkalemia. [n]. Sweet oranges are high in folate, a B vitamin.. [o]. A B vitamin in orange helps the body to lower level of International Journal of Astrophysics and Space Science 2019; 7(6): 66-74 69 homocysteine, an amino acid that is common in red meat and is linked with poor heart health. [p]. Sweet orange promotes clear, and healthy skin. [q]. Most citrus fruits have a good deal of vitamin C. [r]. Vitamin C, a potent antioxidant, that protects cells by scavenging and neutralizing harmful free radicals. [s]. The vitamin C in sweet oranges may boost a person’s immunity to everyday viruses and infections. [t]. The vitamin C in sweet oranges is associated with a reduced risk of colon cancer, due to preventing DNA mutations from taking place. This shows that, about 10 to 15 percent of colon cancers have a mutation in a gene called BRAF. 3. Case Study Area The study has been conducted in Nigeria. It is located in the West of Africa on the Gulf of guinea and has a total of 923,768 km 2 (356.669 square mile), making it the world’s 32 nd – largest country (after Tanzania). It is comparable in size to Venezuela, and is about twice the size of California. It shares a 4.047 kilometres (2.515 square mile), border with Benin (773 km.), Niger (1497 km.), Chad (87 km.), Cameroon (1690 km.), and has a coastline of at least 853 km. [51]. Nigeria lies between latitude 4° and 14°N, and longitude 2° and 15°E (Encyclopaedia Britannica). Nigeria is a densely populated country with the highest density of 477.0/square mile. As at a (2012) estimate, the country held a population of more than 168.8 million people up from the 140 million recorded in her (2006) population census (World Bank Nigeria Data (2012)). Of this population, about 87 million people (52%) dwell in rural areas while 81 million dwell in urban areas (Trading Economics Rural Population Chart (2012)). The Male/Female ratio is 1: 05, where male commands 51.21%, while females, 48.79% (Nigerian Census, (2006)). Figure 8. The Study Area Map of Nigeria. 4. Results and Discussion Questionnaires were distributed to 4 Local government areas that is, (Ife East, Ife South, Ife Central and Ife North). The results from the questionnaires however revealed that, the importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria, are manifold: There was no significant difference on the people in all the local government areas visited, [p < 0.01] and [p < 0.05]. Table 2. People’s respondent. Wards Ife East Ife South Ife Central Ife North People’s Response The importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria. I do not know The importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria. I do not know The importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria. I do not know The importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria. I do not know 568, 71.0% 232, 29.0% 554, 69.3% 246, 30.7% 557, 69.6% 243, 30.4% 552, 69.0% 248 31.0% 70 Prince Awojoodu Soji: The Importance of Computerized Analysis on Spoilage of Sweet Orange (Citrus Sinensis), Before Harvest and Carriage to Market, in Nigeria From the above table 2, in Ife East, there are 568 people’s response with 71.0%, Ife South, 554 with 69.3%, Ife Central, 557 with 69.6%, and Ife North, 552 with 69.0%, were those People who supported that, the computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria was important., while in Ife East, 232 with 29.0%, Ife South, 246 with 30.7%, Ife Central, 243 with 30.4%, and Ife North, 248 with 31.0% respectively, could not even know whether there was any need or not for the computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria. Table 3. The different locations and local governments, also the summary data collected, from the 4 Local Governments sampled, out of which 800 were used in each local government. LOCAL GOVERNMENT LOCATION IFE EAST IFE SOUTH IFE CENTRAL IFE NORTH Peoples Respondent A 71 29 68 32 75 25 68 32 B 77 23 72 28 73 27 79 21 C 69 31 79 21 78 22 74 26 D 75 25 64 36 62 38 65 35 E 62 38 60 40 59 41 62 38 F 72 28 70 30 69 31 70 30 G 68 32 69 31 70 30 64 36 H 74 26 72 28 71 29 70 30 TOTAL = 8 568 232 554 246 557 243 552 248 Grand Total = 8 800 800 800 800 Table 4. The descriptive statistics. Descriptive Statistics Mean Std. Deviation N IFEEAST 71.0000 4.72077 8 IFESOUTH 69.2500 5.67576 8 IFECENTRAL 69.6250 6.36817 8 IFENORTH 69.0000 5.58058 8 Correlations Table 5. The Pearson Correlation of the 4 local governments. Correlations IFEEAST IFESOUTH IFECENTRAL IFENORTH IFEEAST Pearson Correlation 1 .368 .337 .629 * Sig. (1-tailed) .185 .207 .047 Sum of Squares and Cross-products 156.000 69.000 71.000 116.000 Covariance 22.286 9.857 10.143 16.571 N 8 8 8 8 IFESOUTH Pearson Correlation .368 1 .892 ** .758 * Sig. (1-tailed) .185 .001 .015 Sum of Squares and Cross-products 69.000 225.500 225.750 168.000 Covariance 9.857 32.214 32.250 24.000 N 8 8 8 8 IFECENTRAL Pearson Correlation .337 .892 ** 1 .699 * Sig. (1-tailed) .207 .001 .027 Sum of Squares and Cross-products 71.000 225.750 283.875 174.000 Covariance 10.143 32.250 40.554 24.857 N 8 8 8 8 IFENORTH Pearson Correlation .629 * .758 * .699 * 1 Sig. (1-tailed) .047 .015 .027 Sum of Squares and Cross-products 116.000 168.000 174.000 218.000 Covariance 16.571 24.000 24.857 31.143 N 8 8 8 8 *. Correlation is significant at the 0.05 level (1-tailed). **. Correlation is significant at the 0.01 level (1-tailed). International Journal of Astrophysics and Space Science 2019; 7(6): 66-74 71 Table 6. The Frequency Table of (Ife East, Ife South, Ife Central, and Ife North) including the mean, mode std. deviation of the 4 local government areas. FREQUENCIES VARIABLES=IFEEAST IFESOUTH IFECENTRAL IFENORTH. /NTILES=4. /NTILES=10. /STATISTICS=STDDEV VARIANCE RANGE MINIMUM MAXIMUM SEMEAN MEAN MEDIAN MODE SUM SKEWNESS SESKEW. KURTOSIS SEKURT. /GROUPED=IFEEAST IFESOUTH IFECENTRAL IFENORTH. /HISTOGRAM NORMAL. /ORDER=ANALYSIS. Statistics IFEEAST IFESOUTH IFECENTRAL IFENORTH N Valid 8 8 8 8 Missing 0 0 0 0 Mean 71.0000 69.2500 69.6250 69.0000 Std. Error of Mean 1.66905 2.00669 2.25149 1.97303 Median 71.5000 a 69.5000 a 70.5000 a 68.6667 a Mode 62.00 b 72.00 59.00 b 70.00 Std. Deviation 4.72077 5.67576 6.36817 5.58058 Variance 22.286 32.214 40.554 31.143 Skewness -.826 .032 -.634 .651 Std. Error of Skewness .752 .752 .752 .752 Kurtosis .824 .794 -.311 .017 Std. Error of Kurtosis 1.481 1.481 1.481 1.481 Range 15.00 19.00 19.00 17.00 Minimum 62.00 60.00 59.00 62.00 Maximum 77.00 79.00 78.00 79.00 Sum 568.00 554.00 557.00 552.00 Percentiles 10 63.8000 c 61.2000 c 59.9000 c 62.6000 c 20 68.1000 64.4000 62.7000 64.1000 25 68.5000 66.0000 65.5000 64.5000 30 68.9000 67.6000 68.3000 64.9000 40 70.4000 68.7000 69.7000 67.1000 50 71.5000 69.5000 70.5000 68.6667 60 72.6000 70.4000 71.6000 69.7333 70 74.1000 71.4667 73.2000 71.6000 75 74.5000 72.0000 74.0000 72.6667 80 74.9000 73.8667 74.8000 73.7333 90 76.4000 77.6000 77.1000 77.5000 a. Calculated from grouped data. b. Multiple modes exist. The smallest value is shown. c. Percentiles are calculated from grouped data. Tables (7, 8, 9, and 10) The frequency Tables for (Ife East, Ife South, Ife Central and Ife North). Table 7. Valid and cumulative percentages of Ife East. IFEEAST Frequency Percent Valid Percent Cumulative Percent Valid 62.00 1 12.5 12.5 12.5 68.00 1 12.5 12.5 25.0 69.00 1 12.5 12.5 37.5 71.00 1 12.5 12.5 50.0 72.00 1 12.5 12.5 62.5 74.00 1 12.5 12.5 75.0 75.00 1 12.5 12.5 87.5 77.00 1 12.5 12.5 100.0 Total 8 100.0 100.0 72 Prince Awojoodu Soji: The Importance of Computerized Analysis on Spoilage of Sweet Orange (Citrus Sinensis), Before Harvest and Carriage to Market, in Nigeria Table 8. Valid and cumulative percentages of Ife South. IFESOUTH Frequency Percent Valid Percent Cumulative Percent Valid 60.00 1 12.5 12.5 12.5 64.00 1 12.5 12.5 25.0 68.00 1 12.5 12.5 37.5 69.00 1 12.5 12.5 50.0 70.00 1 12.5 12.5 62.5 72.00 2 25.0 25.0 87.5 79.00 1 12.5 12.5 100.0 Total 8 100.0 100.0 Table 9. Valid and cumulative percentages of Ife Central. IFECENTRAL Frequency Percent Valid Percent Cumulative Percent Valid 59.00 1 12.5 12.5 12.5 62.00 1 12.5 12.5 25.0 69.00 1 12.5 12.5 37.5 70.00 1 12.5 12.5 50.0 71.00 1 12.5 12.5 62.5 73.00 1 12.5 12.5 75.0 75.00 1 12.5 12.5 87.5 78.00 1 12.5 12.5 100.0 Total 8 100.0 100.0 Table 10. Valid and cumulative percentages of Ife North. IFENORTH Frequency Percent Valid Percent Cumulative Percent Valid 62.00 1 12.5 12.5 12.5 64.00 1 12.5 12.5 25.0 65.00 1 12.5 12.5 37.5 68.00 1 12.5 12.5 50.0 70.00 2 25.0 25.0 75.0 74.00 1 12.5 12.5 87.5 79.00 1 12.5 12.5 100.0 Total 8 100.0 100.0 Figures: (9, 10, 11, and 12). The Histogram with Curve, for (Ife East, Ife South, Ife Central and Ife North). Histogram Figure 9. The Histogram with Curve of Ife East. The vertical coordinates represent the frequency (that is, the rate of observations or occurrences) from the data analysis while the horizontal coordinates represent the range from the valid data in Table 7, (that is, based on 1 unit interval as [60, 65, 70, 75, 80], respectively. Figure 10. The Histogram with Curve of Ife South. International Journal of Astrophysics and Space Science 2019; 7(6): 66-74 73 The vertical coordinates represent the frequency (that is, the rate of observations or occurrences) from the data analysis while the horizontal coordinates represent the range from the valid data in Table 8, (that is, based on 1 unit interval as [55, 60, 65, 70, 75, 80, 85], respectively. The vertical coordinates represent the frequency (that is, the rate of observations or occurrences) from the data analysis while the horizontal coordinates represent the range from the valid data in Table 9, (that is, based on 1 unit interval as [55, 60, 65, 70, 75, 80, 85], respectively. Figure 11. The Histogram with Curve of Ife Central. Figure 5 The histogram of Ife North. Figure 12. The Histogram with Curve of Ife North. The vertical coordinates represent the frequency (that is, the rate of observations or occurrences) from the data analysis while the horizontal coordinates represent the range from the valid data in Table 10, (that is, based on 1 unit interval as [55, 60, 65, 70, 75, and 80], respectively. 5. Recommendations 1. Nigerian Government should encourage sweet orange plantation, by given funds/loans to prospective investors 2. Federal government should support the farmers by given enough assistance in terms of seedlings subsidy, so as to booth their production 3. Workshop at different intervals should be organised to farmers, so as to educate them in the uses of current farmer’s equipments, to increase their sweet orange output production and eradicate sweet orange spoilage. 4. Some of the rural areas roads in, Nigeria, are bad. Government should provide good motor-able roads to farmers in plantation areas with high concentration of sweet orange farm. 5. Government should provide electricity in rural areas for Farmers to enable them to stay longer in their farm for maximum increase in their sweet orange harvest Production. 6. Government should organised Agricultural extension services to farmers by providing and bringing agricultural equipments closer to them, so as to reduce the cost of sweet orange harvest to the buyers. 7. Government should erect large storage facilities at intervals for sweet orange farmers, to avoid losses and spoilage. 8. For high Productivity and ultimate high investment, The Federal Government of Nigeria should encouraged sweet orange farmers to make research and seek expert opinion and advice for the latest productivity techniques to maximize profit. 6. Conclusion The following conclusions are made based on the findings of this study. Since sweet oranges are an excellent source and very rich in vitamin C, folic acid and it is also as a good source of dietary fiber, containing a host of other important nutrient element for human health, like: folate, thiamine, niacin, phosphorus, magnesium and copper; the results of this study provide the empirical evidence that the importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria, had enhanced people’s achievement in our society and in Nigeria at large. The society, therefore should use, the importance of computerized analysis on spoilage of sweet orange, before harvest and carriage to market in Nigeria’s techniques, to argument peoples’ maximal output in businesses, in order to attain minimum goal needed for everybody in the society. Acknowledgements The Author wishes to express his appreciations to all especially those whose papers that are shown in my references to provide the premise for this study, and Dr. / Chief Ramond Adedoyin, (The ATOBATELE, MAYE of Yoruba Kingdom), The Chancellor and Founder of Oduduwa University for providing the fund and space to carry out this research work / study. 74 Prince Awojoodu Soji: The Importance of Computerized Analysis on Spoilage of Sweet Orange (Citrus Sinensis), Before Harvest and Carriage to Market, in Nigeria References [1] Aderinlewo E. O., 1982. Basic Secondary Science Book 1. Published by Evans Brothers Limited. Montague House, Russell square London WC1B5BX. Composition in 11 on 13 point century by Film type services Limited, Scarborough, North Yorkshire and Printed by William Clowes (Beccles) Limited, Beccles and London ISBN 0237505274. NPR 1137. [2] Ashutosh Kar, 2011. Advanced Practical Chemistry. First Edition. Printed in India at Saras Graphics, Rai, Haryana. 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Published by McGraw – hill, a business unit of McGraw – Hill Companies, Inc., 1221 avenue of the Americas, New York, NY 10020. ISBN: 0 – 07 – 286530 – X. ISBN: 0 – 07 – 119903 – X (15E). International Edition. ISBN: 0 – 07 – 118808 – X. [8] Honow R., Laube N. Schneider A, Kessier T. Hesser. Influence of grape fruit, Orange, and apple juice consumption on urinary variables and risk of crystallization. Br. Intr. Aug: 90 (2) 295-300.2003. PMID: 12908889. [9] Jill Norman, 1997. The Classic Herb Cook Book. First published in Great Britain by Dorling Kindersley Limited. 9, Henrietta Street, London WC2E8PS. Reprint in 1997. A CIP for this book is available from the British Library. ISBN: 0751303232. Reproduced in Italy by Scanner Service SRL. Printed and bound in Italy by a Monadori, Veronica. [10] John R. Holum, 1975. Experiments in General Organic and Biological Chemistry. A laboratory Manual, Forth Edition. New York. London. Sydney. Toronto. Printed in the United State of America. 10987654321. [11] Kumar R., 1984. Insect Pest Control. First Published in Great Britain. Printed and bound in Great Britain by Atheneum Press Ltd. Gateshead British Library Cataloguing in Publication Data. ISBN 0713180838. Member of the Holder Headline Group. 338 Euston Road, London WW1 3BH. [12] Melvin Calvin and J. A Bassham 1962. The Photosynthesis of Carbon Compounds. Library of Congress Catalogue Card Number: 62 – 10567. Manufactured in the United States of America. The Manuscripts was received November 15, 1961, and Published February 27, 1962. W. A. Benjamin, Inc. 2465 Broadway, New York 25, New York. [13] Nyle C. Brandy, 1990. The nature and Properties of Soils. Printed in the United State of America by Mac Millian Publishing Company. Simon & Schuster A. Viacon Company, Upper Saddle River, New Jersey, 074p58. ISBN 0-13-852- 444-0. [14] O. P. Agarwal, 2014. Organic Chemistry, Natural Products Volume – 1. Published by: Satyendra Rostogi, “mitra” for KRISHNA Prakasha media (P) Ltd. 11, Shivaji Road, Meerut – 25001 (U. P.) India. Printed at Majmoon Press, Meerut. Typing: DEBUG CC. (The computer concern) Ghaziabad, ISBN: 978 – 81 – 8283 – 556 – 6. [15] Rai H., 2004. Basic Industrial Biochemistry. Printed in India at Ramprintograph, Delhi. Typeset at In-house. Publishing for one world. New Age International (P) limited. Publishers. 4835/24, Ansari Road, Daryaganj, New Delhi–110002. ISBN: 978 – 81 – 224– 3404 – 0.} 295. C – 12 – 04 – 6261. [16] Rapisarda P. Tomaino A. Lo Cascio R., et al. Antroxidant effectiveness as influenced by Phenolic content of fresh orange juices. J, Agric Food Chem. 1999 Nov: 47 (11): 4718- 23-.1999. PMID: 13080. [17] S. K. Jain, 2001. Mineral Processing. For CBS Publishers and Distributors Pvt. Ltd. CBS Plaza, 4819/XI Prahlad Street, 24 Ansari Road, Daryaganj, New Delhi – 110002, India. Ph: 23289259, 232668861, 23266867. ISBN: 81 – 239 – 0753 – 2. [18] Tilak Wasan, 2015. Solid Waste Pollution and Health. Published at Arisari Road, 4383/4B, Darga Ganj. New Delhi – 110002 (India). ISBN: 978 – 93 – 5056 – 306 – 9. Discovery Publishing House PVT. Ltd. Printed at: Infinity Imaging Systems Delhi. 
work_w6sc5aeplzedvcuyjtscwpqymi	----	‘Johnny Biosphere’ NOTES, NEWS & COMMENTS 'Johnny Biosphere' Johnny Biosphere: Who is he? How did he originate? What is he doing? Where is he going? These are the questions to be answered here. 'Johnny Biosphere' is my assumed name when I wander around the Earth with a globe on my back talking to people and television viewers about the importance of our planetary living and life-support system, The Biosphere. The globe is connected by wires to a back-pack containing a tape-recorder and re- chargeable battery. Two leather straps hang down on either side of my chest. Pressing the button on the strap labelled 'BIOSPHERE' causes the globe to reverberate with wolf howls, bird calls, frog voices, whale conversations, thunder, and lightning. Pressing the button on the strap labelled 'ECOSYSTEM' causes the globe to light up—if the person touching it has done something good for his or her ecosystem that day. The wordless message is a reminder: what we do af- fects The Biosphere, and what The Biosphere does affects us. The message does not have to be translated or explained to be understood. Knowing that images can be more powerful than words, I spent three years in search of an image to focus greatly in- creased attention on The Biosphere. The idea of carrying a globe on my back came in the spring of 1980, after frustration in getting the Governing Council of UNEP to support a pro- posal for an International Year of The Biosphere (Vallentyne et ah, 1980). The incipient 'Johnny' presented the image in public at the First Global Conference on the Future (Toronto, 20-27 July 1980). Since then he has carried his simple message to various countries, including Canada and the United States, Denmark, Finland, Sweden, France, Germany, Spain, India, and Japan, as part or the World Campaign for The Biosphere (Anon., 1982; Polunin, 1982). His objective is to interest the indifferent in The Biosphere. Media coverage has included newspapers, radio, and television. The idea of Johnny Biosphere started from a comment by Domenico Povoledo, of the Freshwater Institute in Winnipeg, Manitoba, on the difference in physician-patient relationship between an 'environmental physician' and a human physician. In the former the relationship is one-to-many and remote; in the latter it is one-to-one and very personal. The problem was, how to make ecology personal (Vallentyne, 1982). The technique was to get people to feel the ecological consequences of collective actions. For example, after a technical description of acid rain, Johnny sprays people with acid rain. Similarly, to illustrate the suicidal implications of exponential growth, Johnny successively drinks 1,2,4, and 8, 'shots' of whisky over five-minutes' intervals or, with children, blows up a balloon (The Biosphere) until it bursts. If not ordered to stop, he scolds his audience for their immoral behaviour in allowing him to 'blow up The Biosphere' or drink himself to death. In response to requests to talk at elementary schools, Johnny has developed an action-packed 30-minutes' programme that has children jumping and screaming while learning about The Biosphere through stories concerning their 'personal eco- systems', acid rain, pollution, recycling, feedback, nuclear war, and proper food and nutrition. After watching one of these fast- moving performances, Pat Hayes, an environmental educator and nurse from Dunnville, Ontario, said in surprise: 'You're Johnny Biosphere!' At first I reacted negatively to the name, thinking it too 'folksy'; but on reflection I realized that it was the ultimate in making ecology personal (Fig. 1). Now, through Johnny, Biosphere is in the headlines; it is also being adopted more and more widely as a key concept in scientific circles and FIG. 1. A cartoon of 'Johnny Biosphere' in action, by James Kempkes, Toronto, Canada. is even being used quite freely in lay ones—unfortunately often without much real understanding of what it means! Johnny currently divides his time about equally between adults and children. He has performed to 'flesh and blood' au- diences ranging up to 1,000 in various parts of the world—most recently on World Environment Day in connection with the first General Assembly of the World Council For The Bio- sphere and the International Society For Environmental Edu- cation in New Delhi, India (1-9 June, 1984)* (Fig. 2), and at a Green Youth Convention in conjunction with the Shiga Con- ference on Conservation and Management of World Lake Environment in Japan (27-31 August 1984). Talks to school- children or youth-groups in any part of the world can be ar- ranged in advance at no cost other than local expenses if they are on one of Johnny's pre-scheduled itineraries. Through media coverage Johnny's message has reached several hundred million people in his first four years of opera- tion. Each year the numbers have increased exponentially. Johnny's aim as part of The World Campaign for The Bio- sphere (cf. Davis, 1983) is to present his globe-on-back image and underlying concept of The Biosphere at least eight times to a significant fraction of the human population of the Earth by 1992. Eight is the number of times that linguists say a word must be seen in different contexts to be remembered and fully understood. 'Significant' could be as much as 20%; and 1992 will be the 500th anniversary of the rediscovery of the New World by Christopher Columbus. The fact that no new worlds will have been discovered for 500 years might suggest that it is time to live ecologically on the one we have! 363 Environmental Conservation, Vol. 11, No. 4, Winter 1984—© 1984 The Foundation for Environmental Conservation—Printed in Switzerland. https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0376892900014776 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0376892900014776 https://www.cambridge.org/core 364 Environmental Conservation REFERENCES ANON. (1982). Declaration: The World Campaign for The Biosphere. Environmental Conservation, 9(2), pp. 91-2. DAVIS, Craig B. (1983). The World Council For The Bios- sphere/Intemational Society For Environmental Educa- tion. Environmental Conservation, 10(4), pp. 353-4. POLUNIN, Nicholas (1982). Our global environment and the World Campaign for The Biosphere. Environmental Con- servation, 9(2), pp. 115-21, 2 figs. VALLENTYNE, John R. (1982). Making ecology personal. Pp.9- 18 in Decisions for the Great Lakes (Ed.A. Donald MISENER & Glenda DANIEL). Great Lakes Tomorrow, Hiram, Ohio, USA: 446 pp. VALLENTYNE, John R., STRICKLER, J.R. & POLUNIN, Nicholas (1980). Proposal: International Year of The Biosphere. Environmental Conservation, 7(1), p. 2. JOHN R. VALLENTYNE, Senior Scientist Department of Fisheries and Oceans Canada Centre for Inland Waters 867 Lakeshore Road P. O. Box 5050 Burlington Ontario L7R 4A6 Canada. FIG. 2. Reproduction of the frontpage of an Indian newspaper showing 'Johnny Biosphere' addressing a large and crowded au- dience in New Delhi, India, on World Environment Day, 5 June 1984, in connection with the first General Assembly ofWCB-ISEE (see text). * See also pp. 371-3 of this issue, Johnny's show on those occasions was so impressively successful that there were calls afterwards for making it into a film, the practicability of which suggestion is being pursued in suitable quarters.—Ed. The Biosphere We define The Biosphere as: 'The integrated living and life-supporting system comprising the peripheral envelope of Planet Earth together with its surrounding atmosphere so far down, and up, as any form of life exists naturally.' By 'Ourselves' we understand the human species, Homo sapiens, of whatever race or creed. Leading points about The Biosphere are (1) it consti- tutes a single whole of which we humans are an integral part, (2) we are utterly dependent on it for our own sub- stance and wherewithal of life, (3) it is resilient but nevertheless destructible and in several ways even fragile, such that (4) it is being more and more gravely threatened by growing human numbers and activities. Leading points about humans are that (1) they are unique in their possession of a conscious intelligence enabling them inter alia to invent intricate machines and pass on their learning, (2) the one thing they appear in- capable of doing is limiting their own numbers peacefully despite having the necessary knowledge and means, (3) they are for ever increasing their demands on the limited resources of The Biosphere, and (4) their growth in num- bers and impact cannot go on indefinitely on our finite globe. For some years we have been developing a World Campaign for The Biosphere, with the primary objective of educating people everywhere about The Biosphere and the need to safeguard it if Mankind and Nature are to survive in at all happy concert. The second objective of The Campaign is to have people throughout the world realize that their own part of The Biosphere is important as a component of the integrated whole, and have them act as responsible and concerned guardians of it. We even feel that people should be emotional or at least and Ourselves t dedicated in this respect, treating their part of The Biosphere in terms of a quasi-religion of reverence for life. Probably of all human callings, that of the farmer is most conductive to this responsible stewardship, and so it is a special privilege to introduce this theme in the world's most populous country at Agro-China '84. In humble consciousness of your being an agricultural country first and foremost, who are most admirably tackling the basic problem of human population, I do so in my capacity as President of the World Council For The Biosphere (WCB), which has recently been constituted primarily to take over the above-mentioned Campaign, and which shares a Secretariat in Columbus, Ohio, with its sister organization the International Society For En- vironmental Education (ISEE).* Finally, examples are given particularly of agricultural or related activities in the context of biospheral ethics and potential survival. On the positive side we cite the planting of trees, which will improve the local environ- ment, remove carbon dioxide from the atmosphere, and help ultimately to stabilize the world climate. On the negative side we cite over-use of soil fertilizers, which can lead to soil and freshwater degradation, and to ultimate reduction of the stratospheric ozone shield—without which life as we know it on Earth could scarcely continue. Other examples of local actions affecting The Biosphere are, on the negative side, the clearance of forests and the burning of coal and, on the positive side, genetic manipu- lation with its enormous potential for increasing land productivity through improved crops. NICHOLAS POLUNIN f * Footnotes on next page (foot of left-hand column). https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0376892900014776 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:27, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0376892900014776 https://www.cambridge.org/core 
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work_wantksa7tjaepoe6vk5kvwzlde	----	36957 Byzantine and Modern Greek Studies Vol. 33 No. 1 (2009) 83–91 © 2009 Centre for Byzantine, Ottoman and Modern Greek Studies, University of Birmingham DOI: 10.1179/174962509X384624 From being to becoming: reflections on the enduring popularity of Kazantzakis Dimitris Tziovas University of Birmingham In this article, Kazantzakis’ popularity over the years is briefly reviewed and it is argued that the two dominant approaches to his work, which could be described as ethnographic and philosophical-theological, respectively, correspond to the antithesis between being and becoming. The question addressed here is whether we can read his fiction in a new way, and pass from the ontology of being to the contingency of becoming, following the example of the process theologians who brought him closer to postmodernism. Cavafy and Kazantzakis are the two Greek writers with the highest international presence and reputation. While Cavafy’s worldwide appeal has been studied and analyzed, Kazantzakis’ popularity has not received equal attention. His case is more complex. Though outside Greece his work continues to be read and appreciated by ordinary read- ers, scholars, theologians and film directors alike, in Greece itself he has been treated in a somewhat inconsistent fashion. On the one hand, younger critics are sceptical about his inflated style and the absence of any narrative experimentation, while, on the other hand, he continues to have a dedicated readership. These readers’ passion for his work certainly undermines the view that to like Kazantzakis is to suffer from a cultural form of measles, something one catches only once and normally at an early age.1 Peter Bien has argued that the main reason for Kazantzakis’ earlier popularity was his romantic worldview, which appealed to the psychological expectations and ideological needs of a European audience after the Second World War.2 This romantic worldview highlighted the uniqueness of the individual and his liberation from ordered conformity and social conventions. According to Bien, despite its associations with Nazism, this romantic irrationalism and a certain exoticism were what attracted European and 1 D. Dimiroulis, ‘O Kafantfaakgz enaoyei tou 21ou ai avna’, in Nai koz Kafantfaakgz: To ae rco kai g praoslgyag tou (Herakleio 2006) 300; D. Dimiroulis, ‘Ola moiaafoun mecehusmaena’, To Daentro 155–6 (May 2007) 44–8. 2 P. Bien, Nikos Kazantzakis: Novelist (Bristol 1989) 3. 84 Dimitris Tziovas American readers to the novels of Kazantzakis at a time when they were just emerging from the painful experience of war. Later in the 1960s and 1970s, Kazantzakis was attractive to the youth counterculture that resisted the establishment, technology, bureaucracy and rational order and found spontaneity, authenticity and romantic idealism in his work. One wonders, however, whether Kazantzakis was satisfying a demand for an alternative lifestyle based on the constant transgression of boundaries, or just a return to a simpler, more primitive and less ‘rational’ way of life. This is a question with wider implications, given that Kazantzakis is a writer of extremes vacillating between intellect and instinct: at the same time a reclusive writer and a man of action, Cretan patriot and cosmopolitan traveller, god-driven intellectual and atheist. His world is full of contrasts, which manifest themselves at different levels: metaphysical (freedom–death, body–spirit), ideological (Christianity–communism) or in terms of characterization (e.g., Zorba-Boss). Even when he writes on Dostoevsky he contrasts him with Tolstoy: Sin, sensuality, passion, the ‘demon’ in the work of Tolstoy is naïve, normal and deep down not threatening; the strong man can struggle with him and beat him. In Dostoevsky, however, this demon is an indomitable power, dark, mysterious, one not only with our flesh, but also with our soul, perhaps one with God. Harmony is a necessity of human reason, but God is higher than reason, higher than harmony. Perhaps the deepest distinction which can be drawn between Tolstoy and Dostoevsky is this: Tolstoy has been the prophet of such harmony; Dostoevsky has been the prophet of such a God.3 According to Stylianos Alexiou,4 the contrast between the strong, uneducated, simple man and the intellectual lies at the heart of Kazantzakis’ originality. In my view, this could be subsumed under the wider antithesis between being and becoming. Being is normally treated as an eternal essence or a structure to be recovered and as a truth or god to be discovered. In the work of Kazantzakis, being is conceived as the search for the authentic and presupposes a return to something pre-existing that is rediscovered. Being is also manifested through the celebration of the body, an extravagant emphasis on food and obsession with ancestors. Becoming, on the other hand, is associated with struggle, freedom and an open-ended process, representing the constant quest and the transcen- dence of limits. It could be seen as an anticipation rather than a certainty, as an adventure not a firm belief, as a world-making activity that acknowledges the constructedness and reinvention of reality. By associating ‘being’ with matter and ‘becoming’ with spirit, some have tried to overcome this opposition either by talking about the transubstantiation of matter into spirit or suggesting other kinds of synthesis. It could be argued that two 3 N. Kazantzakis, ‘Heaodvroz DostociaeQski’, Nae a Estai a 60 (706) (1 December 1956) 1646. 4 S. Alexiou, ‘Naikoz Kafantfaakgz: Apao tg fv ag, tg skaeyg kai to aerco tou’, in Nai koz Kafantfaakgz: To earco kai g praoslgyag tou, 15. Reflections on the enduring popularity of Kazantzakis 85 approaches to Kazantzakis’ work, which could be described as ethnographic and philosophical-theological, respectively, correspond to this fundamental antithesis between being and becoming. The ethnographic approach assumes the descent from the falsified surface to the genuine being, the breaking up of civilization’s crust in order for the noble savage to emerge.5 This approach has focused primarily on the character of Zorba and involves the regression to a primordial self as the counterbalance to the erudite narrator/boss. Passages such as the following have sustained a reading of the text along these lines: I felt, as I listened to Zorba, that the world was recovering its pristine freshness. All the dulled daily things regained the brightness they had in the beginning, when we came out of the hands of God. Water, women, the stars, bread, returned to their mysterious, primitive origin and the divine whirlwind burst once more upon the air.6 When I had finished reading Zorba’s letter I was for a while in two minds — no three. I did not know whether to be angry, or laugh, or just admire this primitive man who simply cracked life’s shell — logic, morality, honesty — and went straight to its very substance. . .. When he writes, this ignorant workman breaks his pen in his impetuosity. Like the first men cast off their monkey-skins, or like the great philoso- phers, he is dominated by the basic problems of mankind. He lives them as if they were immediate and urgent necessities. Like the child, he sees everything for the first time.7 Seeking authentic existence and experience, such an approach relies on local colour, the celebration of Cretan life and the primitivism of certain characters. It has also fostered various stereotypes related to Greek masculinity, idolization of the popular culture and the mythologization of leventia, transforming Kazantzakis into a cultural phenomenon, reading matter for tourists and custodian of the traditional. This approach is perpetuated today not only through Kazantzakis’ work, but also Theodorakis’ music, the film adaptation of the novel or the countless tavernas called Zorba all over the world.8 The second approach (philosophical-theological) takes a variety of forms, and has been represented at different times by various philosophical, existential or theological perspectives that focus on different aspects of Kazantzakis’ work. Stressing the notions of struggle, ascent (aniforos), or freedom, this approach questions the static rational dichotomy of body–mind and emphasizes the role of the Bergsonian élan vital. With 5 For a critique of this approach, see J. Politi, ‘G ideolocaia tgz auhentikaotgtaz kai o Formpaaz tou N. Kafantfaakg’, in her book G anejakrai bvtg skgn ag (Athens 2001) 15–47. 6 N. Kazantzakis, Zorba the Greek, trans. C. Wildman (London 1995) 54. 7 Kazantzakis, Zorba the Greek, 156–7. 8 D. Papanikolaou, ‘Oi metamorQ avseiz tou Formp aa’, in Nai koz Kafantfaakgz: To ae rco kai g praoslgyag tou, 91–108. 86 Dimitris Tziovas reference to Bergson’s view of being as an abstraction of becoming, some scholars have stressed the creative impulse and endorsed ‘the customary interpretation of Kazantzakis’ fiction as a mythopoesis of Bergsonian vitalism’.9 The energy and dynamism in Kazantzakis’ fiction has recently been highlighted by Roderick Beaton thus: ‘To my mind the secret of Kazantzakis’ success lies in his genius for catching the intensity, the physical dynamism and the spiritual energy that can drive human conflict to extremes, and for mobilizing these forces in words on the page.’10 This brief description points to the power and forward-looking momentum associated with Kazantzakis’ work. In an interview published in 1956, Kazantzakis singled out three categories of writers: those who, like T. S. Eliot, depict the disintegration of the world; those who express nostalgia for the past; and those who struggle to predict the way ahead for culture and society. In the same interview, Kazantzakis declares unambiguously that he is interested in the third type of writer and that his Odyssey represents his most deter- mined effort to ‘prophesy the future of humanity’.11 Thus, as a writer about the future, Kazantzakis is also a writer of becoming rather than of static being. It could be argued that being in Kazantzakis can be seen as a regression to the past and to a primordial self, whereas becoming, as an energizing process, looks towards the future and to constant regeneration or transgression. Recently, English-speaking theologians have developed a special interest in Kazantzakis, some of whom consider him as a precursor of a theological postmodernism. Darren J. N. Middleton, for example, sees some analogies between Kazantzakis and four major postmodern philosophers of religion: John Caputo (North America), Don Cupitt (England), Lloyd Geering (New Zealand) and Gianni Vattimo (Italy).12 He has argued that, like Nietzsche, ‘Kazantzakis foresaw much of what we now recognise as the postmodern turn, not in literary forms of course, but in philosophy and religion’.13 Kazantzakis, according to Middleton, negates the ontology of theism and underlines Jesus’ human nature. Approaching life in a way that prefigures the unsettling nature of postmodernism and its current philosophical trends, Kazantzakis perceives being as an event and God as an active verb. Middleton points out that ‘Kazantzakis considered metaphysics too significant to discard yet too problematic to embrace’.14 9 D. J. N. Middleton and P. Bien (eds), God’s Struggler: Religion in the Writings of Nikos Kazantzakis (Macon 1996) 6. Middleton views ‘Kazantzakis’ narrative fiction as a mythopoesis of process thought’, in his Novel Theology: Nikos Kazantzakis’s Encounter with Whiteheadian Process Theism (Macon 2000) xix. 10 R. Beaton, ‘Out of Crete — Nikos Kazantzakis, creator of Zorba and The Last Temptation, fifty years on’, Times Literary Supplement, 22 June 2007, 13. 11 M. Yalourakis, ‘Sun aantgsg me ton Nik. Kafantfaakg’, Serraïkaa Craammata, 5–6 (1956) 161. 12 D. J. N. Middleton, ‘Kazantzakis among the postmoderns: some reflections’, BMGS 29 (2005) 71–88. This paper is reprinted as Chapter 6 (‘Kazantzakis and Postmodern Theology’) in his book Broken Hallelujah: Nikos Kazantzakis and Christian Theology (Lanham 2007). 13 Middleton, ‘Kazantzakis among the postmoderns’, 72. 14 Middleton, ‘Kazantzakis among the postmoderns’, 84. Reflections on the enduring popularity of Kazantzakis 87 In the place of the customary oppositions, Middleton highlights in-betweenness, undecidability and contingency in Kazantzakis, though he does not treat him as an atheist or agnostic. Instead, he presents him, as Caputo might have done, as valuing ‘openness to an unfixed future’ and arguing for a religion without conventional religion. The value of such a religion ‘lies in its asking questions whose answers do not come easily if they come at all’.15 In the same way that Kazantzakis’ life was full of restlessness and travel, similarly his thought oscillated between certainty and questioning, faith and doubt, metaphysical theistic religion and a nascent postmodern-like spirituality. Earlier theological and philosophical approaches to Kazantzakis stressed the transcendence of oppositions by the transubstantiation of matter to spirit, while the most recent ones emphasize process, a lack of synthesis and openness. In other words, not being but becoming, as a continuous dialogic process and constant agonistic renegotiation of the world. Given that the ethnographic approach to Kazantzakis relied more on the notion of being while the more recent theological approach relies on the notion of becoming, what is happening regarding the literary approach to his work? Can we read his fiction in a new way, and pass from the ontology of being to the contingency of becoming, following the example of the process theologians who brought him closer to postmodernism? Is it possible to see his novels as open and dynamic texts rather than closed and static ones?16 This will partly depend on whether we see the outcome of the oppositions in his work as moving towards an eventual synthesis or maintaining a perpetual tension. While nobody will disagree with the view that Kazantzakis’ oeuvre is replete with antitheses, it is less clear whether these antitheses lead to synthesis or remain open-ended. Though it has been cogently argued and aptly illustrated that the main feature of Kazantzakis’ narrative art is the binary opposition,17 the crucial issue is not simply to identify these oppositions, but to examine whether they yield any synthesis. This is all the more important if trying to determine the closed or open nature of Kazantzakis’ fictional world. The view of a leading authority on Kazantzakis that of all his works Christ Recrucified ‘is the most successful at synthesising extensive materials that are often contra- dictory (for example: Christianity and communism, philhellenism and misohellenism) to produce a unified whole’,18 indicates that the synthesis of diverse and opposing material is not only an aesthetic requirement, but can be used as an evaluative criterion. Where does Kazantzakis’ art lie and on what basis can it be judged successful? On the synthesis of opposites or on the perpetuation of undecidability? Given that Christ Recrucified could be described as a historical palimpsest, what is at stake here is a choice of perspective. Will the focus be on the fusion of historical periods, the mythical timelessness or the open process of perpetual struggle? 15 Middleton, ‘Kazantzakis among the postmoderns’, 83. 16 Middleton, e.g., refers to ‘Zorba as a symbol of process, not a static repose’ in Novel Theology, 182–3. 17 S. N. Philippidis, ‘Sgmeivtikaez kai aQgcgmatik aez antihaeseiz sta muhistor agmata tou Kafantfaakg’, in his book Taopoi: Meletagmata cia ton aQgcgmatikao laoco eptaa neoellagnvn pefocraaQvn (Athens 1997) 31–60. 18 Bien, Nikos Kazantzakis, 28. 88 Dimitris Tziovas A metaphysical reading of the novel based on the transubstantiation of matter into spirit favours a linear development, a symbolic reading presupposes the timelessness of being, while an agonistic reading promotes the open-ended becoming, taking into account the fact that Manolios in the novel is not Christ, but becomes more ‘Christlike’, as Jesus does in The Last Temptation. The first reading tends to be teleological with the progres- sive transition from matter to spirit, the second is rather static with a re-enactment of the symbolism of the passion while the third points to something uncertain and fluid. From which perspective should we approach Kazantzakis’ novels today? I would contend that the aspect of his writing which has not been sufficiently explored is the openness of his novels.19 Though most of Kazantzakis’ novels end with death, some have more inconclusive endings: ‘And again they resumed their interminable march towards the East’ (Christ Recrucified), ‘He uttered a triumphant cry: IT IS ACCOMPLISHED! And it was as though he had said: Everything has begun’ (The Last Temptation). Do these closing statements convey a sense of mythical repetition or an endless process towards an open future? Is there a form of narrative closure at the end of Zorba the Greek with the narrator conform- ing to the values or lifestyle of Zorba? In fact, the ending remains open and ambiguous, since the narrator is not presented as somebody who learns to live according to his instincts; instead he sits down and writes a novel.20 It could be said that the retelling of the Christ story and the ongoing desire to transgress, reaching a ‘post’ stage, might be seen as a form of endless becoming. Becoming in Kazantzakis should not be seen in terms of development, evolution or maturity, but as an inconclusive process of re-inventions, transgressions, retellings and even contradictions. At one time it might have been treated as a struggle, a creative progress, or the hope of ultimately reaching a higher spiritual goal. Now becoming is seen as lacking a goal and the emphasis is on open-endedness, relativity and ambiguity. It is also interesting to note that two films based on Kazantzakis’ novels change the ending. Michael Cacoyannis’ film Zorba the Greek (1964) ends with Zorba teaching his boss to dance. In the book, however, the boss does not follow Zorba’s example, but finds himself liberated as an artist. The darkness of the film contradicts the optimism of the novel, which represents the endurance of the Greek people during the period of the German occupation when the book was written. The ambiguous and open ending of the novel is abandoned for an invented and conventional ending. Celui qui doit mourir (1956) by Jules Dassin ends with the refugees barricading themselves behind a rock and starting 19 Only recently Charitini Christodoulou highlighted the openness of The Last Temptation in her unpublished doctoral thesis, Dialogic Openness in Nikos Kazantzakis’ O Teleutaai oz Peirasmaoz, University of Birmingham 2007. 20 S. N. Philippidis, ‘O Laocoz tou Patraoz kai o Laocoz tou Yioau: Auhentik ag fv ag kai auhentikaoz laocoz sto muhistaorgma Bai oz kai politeai a tou Alae jg Formpaa tou Naikou Kafantfaakg’, in his book AmQisgmai ez: Meletagmata cia ton aQgcgmatikao l aoco ae ji neoell agnvn succraQae vn (Athens 2005) 159–60. Reflections on the enduring popularity of Kazantzakis 89 to shoot at their oppressors. In this instance, the left-wing inclinations of the director dictated the invention of a more closed ending than that of the book.21 Then again, the genre of Kazantzakis texts tends to be rather ambiguous. In the prologue to Zorba the author wonders: ‘I could not fathom what form to give this fairy tale of Zorba: novel; poem; complex fanciful narrative like A Thousand and One Nights’, while in that of The Last Temptation he maintains: ‘This book is not a biography, it is the confession of every man who struggles.’ In the same novel he thematizes writing not as a transparent medium of representation, but as a means of exposing its problematic relationship with truth and of conferring identity.22 Thus, Kazantzakis moves between epic exaggeration, symbolic indeterminacy, metaphysical reflection and self-referentiality, making his texts hard to categorize in literary terms. Many consider that Kazantzakis is closer to the nineteenth-century novelists than to the twentieth-century ones,23 but there are a number of critics who have emphasized his early aestheticist experimentation in Serpent and Lily,24 or argued that The Last Temp- tation ‘demonstrates an awareness of Modernist innovations in narrative technique’,25 or compared him to twentieth-century writers such as D. H. Lawrence26 and Jorge Luis Borges,27 or treated him as a precursor of magic realism.28 For a writer to be related to 21 P. Bien, ‘Nikos Kazantzakis’s Novels on Film’, Journal of Modern Greek Studies 18 (2000) 161–9. 22 R. Beaton, ‘Writing, identity and truth in Kazantzakis’s novel The Last Temptation’, Kaampoz: Cambridge Papers in Modern Greek 5 (1997) 1–21; G. Farinou-Malamatari, ‘Kazantzakis and biography’, Kaampoz: Cambridge Papers in Modern Greek 6 (1998) 19–34. 23 Vrasidas Karalis, in his editorial note to a special issue on Kazantzakis, talks about ‘outmoded literary devices’, as if Modernism had never existed, which ‘make his work something of an unexpected challenge to the reading habits and aesthetic addictions of the postmodernized cultural subject’ (Modern Greek Studies (Australia & New Zealand) 8–9 (2000–2001) 7; see also S. N. Philippidis, ‘O Laocoz tou Patraoz, 156, 171). 24 A. Kastrinaki, ‘O Naikoz Kafantfaakgz kai o aishgtismaoz: aeljg kai aapvsg’ in Nai koz Kafantfaakgz: Saraanta xraonia apao to haanato tou, Pepracm ae na Epistgmonikoau Digm aerou (Chania 1998) 127–53. 25 M. P. Levitt, The Cretan Glance: The World and Art of Nikos Kazantzakis (Columbus 1980) 79. 26 Kimon Friar has argued that: ‘A revealing parallel may be drawn between Kazantzakis and D. H. Lawrence. Both were Dionysian, demon-driven men, placed instinct and the promptings of the blood above the ordered deductions of the mind, celebrated the primitive and atavistic origins of the human spirit, were insatiable travelers who in landscape and inscape discerned the contours of God’s or Nature’s purpose, turned to the physical universe for their imagery and away from urban mechanics and subtleties, extolled strife and crucifixion as the unavoidable and necessitous law of life and even of love, were impatient with refinements of craft and entrusted themselves to the demonic outpourings of creative inspiration, placed the prophet above the man of letters, were obsessed with messianic drives and dreams’ (K. Friar, Modern Greek Poetry (New York 1973) 32). 27 R. Beaton, ‘The temptation that never was: Kazantzakis and Borges’, in D. J. N. Middleton (ed.), Scandalizing Jesus (New York 2005) 85–95. 28 S. N. Philippidis, ‘Laïkaotropa stoixeaia sta muhistor agmata tou Kafantfaakg’, in T aopoi, 229. Middleton also argues: ‘Now, most literary critics acknowledge Kazantzakis’s modernism. I am one of them. But as I established in chapter six, his work also points forward to the ideas and themes we associate with postmodernism’ (Broken Hallelujah, 126). 90 Dimitris Tziovas realist, modernist and postmodernist writers at the same time is in my view unique. It is often hard to classify an earlier writer into a particular mode of writing, but one can argue that a writer has the potential to be read from a particular perspective. Therefore, I am not arguing that Kazantzakis is a postmodernist writer, but that he can be read in this way. In the past, Kazantzakis’ novels have been read as Cretan epics, or as representations of the Cretan glance or heroic masculinity. Today they are read in a way that highlights the ambiguities and instabilities of identity, erotic fears and demonic fantasies. Kazantzakis’ novels are no longer seen as the texts of a great and uncompromising visionary, but as those of a vulnerable and fragile man.29 In the past, the epic character of his narrative might have been emphasized, but now it is the vicissitudes of his writing that attract attention. As The Last Temptation reminds us, what matters are the versions and not the aphorisms, the interpretations and not the certainties. In his autobiography Report to Greco (described on the cover of the English trans- lation as an ‘autobiographical novel’), Kazantzakis blurs the distinction between truth and falsehood, or confession and invention by presenting reality as constructed through narrative and imagination: I began therefore to mobilize words, to regurgitate the poems, saints’ legends, and novels I had read. Pillaging involuntary from this one and that, I started to write. But the very first words I placed on paper astonished me. I had nothing like that in mind. I refused to write such a thing; why then had I written it? . . . Lies, all lies, and yet as I enumerated these lies now on the sheet before me, I began to understand to my astonishment that I had indeed tasted great pleasure with her. Were they really true, then, all these lies? Why had I not been aware of this pleasure in the course of experiencing it? Why, now that I was writing it down, did I become aware of it for the first time? I swaggered as I wrote. Was I not God, doing as I pleased, transubstantiating reality, fashioning it as I should have liked it to be — as it should have been? I was joining truth and falsehood indissolubly together. No, there were no longer any such things as truth and falsehood; everything was a soft dough which I kneaded and rolled freely, according to the dictates of whim, without securing permission from anyone. Evidently there is an uncertainty which is more certain than certitude itself.30 In postmodern fashion, Kazantzakis questions the ontological solidity of reality (being) and perceives it as a subjective creation (becoming). Following Nietzsche he declares: ‘The world is my own creation. Everything, both visible and invisible, is a deceptive dream.’31 In 29 See D. Tziovas, ‘The poetics of manhood: Genre and self-identity in Freedom and Death’, in his book The Other Self: Selfhood and Society in Modern Greek Fiction (Lanham 2003) 153–74. 30 N. Kazantzakis, Report to Greco, trans. Peter Bien (London 1973) 144–5. 31 Kazantzakis, Report to Greco, 322. 32 Kazantzakis, Report to Greco, 450. Reflections on the enduring popularity of Kazantzakis 91 a way reality does not exist outside the individual mind since the creative power of the artist contributes to its shaping: I kept divining the creator’s responsibility with ever-increasing clarity. Reality, I said to myself, does not exist independent of man, completed and ready; it comes about with man’s collaboration, and is proportionate to man’s worth. If we open a riverbed by writing or acting, reality may flow into that riverbed, into a course it would not have taken had we not intervened. We do not bear the full responsibility, naturally, but we do bear a great part.32 Kazantzakis’ radical aestheticism anticipates postmodern relativity. The truthfulness and sincerity of the autobiography is challenged by references to fantasy and legend. The credibility of narrative gives in to the reality of lying and the pleasures of writing. In his ‘autobiography’, Kazantzakis prioritizes flux over permanence and fiction over truth, pointing to the ephemeral nature of the latter: ‘Is there anything truer than truth? Yes, legend. This gives eternal meaning to ephemeral truth.’33 In Report to Greco truth is relativized and fictionalized as doubts are raised in the minds of its readers as to where fact begins and fiction ends or vice versa. Truth is seen as relative and unstable since Kazantzakis appears not to believe in truth (being), but like the postmodernists he constructs it (becoming) or in the words of Paul in The Last Temptation: ‘I create the truth, create it out of obstinacy and longing and faith. I don’t struggle to find it — I build it.’34 In his play Christopher Columbus, he also blurs the distinction between truth and falsehood through the words of his main character: ‘Are there only two things completely separate in the world: truth and falsehood? Maybe there is something else whose form is like water, fluid and transformed; it is no longer falsehood but not as yet truth. I don’t know how to depict it, it doesn’t have a name, it doesn’t exist . . .’35 Perhaps the transience and relativity of truth can provide the link between his theological ‘postmodernism’ and his literary reassessment as a novelist of becoming and not of being; or in Kazantzakian terms of ink and not of blood. And this transition might explain his enduring popularity and his protean image as a novelist. 33 Kazantzakis, Report to Greco, 471; see also C. Dounia, ‘“Me alagheia kai Qantasaia”: O Kafantfaakgz autobiocraQoaumenoz’, in Nai koz Kafantfaakgz: To ae rco kai g praoslgyag tou, 255–70. 34 N. Kazantzakis, The Last Temptation, trans. Peter Bien (London 1975) 488. 35 N. Kazantzakis, Haeatro, Tracvdai ez, III (Athens 1956) 222–3. 
work_wgtj3m4vqffgpkeht2opfhlxo4	----	New Directions in the Sociology of Collective Memory and Commemoration New Directions in the Sociology of Collective Memory and Commemoration Brian Conway* National University of Ireland, Maynooth Abstract The study of memory straddles a wide range of social science disciplines including sociology, psy- chology, anthropology, and geography. Within sociology, reviews of the literature have already been carried out, but these are now somewhat dated. This article takes the measure of recent prior research on the sociology of collective memory and commemoration by (1) proposing a classifica- tion of collective memory research; (2) organising the literature under the headings of theoretical developments, methodological strategies, and methodological challenges; and (3) offering sugges- tions for maximising the internal cohesion and external utility of the sub-field. Introduction Over a decade ago, sociologists Jeffrey Olick and Joyce Robbins wrote a now widely cited review in the Annual Review of Sociology (Olick and Robbins 1998) of the then (and still) emerging field of ‘memory studies’. Alerting readers to the different disciplinary routes into and out of memory and to the three ‘big’ topics of identity, change, and per- sistence around which it is organised, they characterised the field as ‘centerless’ (Olick and Robbins 1998, 105). Since then, a number of notable developments have occurred that have helped to bring greater coherence to a somewhat inchoate field. One good example of this is the recent establishment of a specialist journal, Memory Studies. Beyond this, the past decade has also seen a flurry of articles, chapters, and books on memory projects in a wide variety of national contexts. Indeed, ‘memory studies’ is an umbrella term hovering up a diverse set of disciplinary vantage points, methodological approaches, and theoretical perspectives on how we collectively and corporately remember and commemorate the past. This article seeks to give the reader a sense of this variation and complexity and, at the same time, offer some kind of synthesis of it for students of the past beginning to acquaint themselves with the specifically sociological literature on it. Given the vast body of research that now exists on memory and the constraints a relatively short review article such as this imposes, it is necessarily selective and with this in mind I hope it might invite or urge students to work ‘off the page’ by doing their own explorations in libraries, archives, and databases. This review is organised into six sections. Section 1 offers a working definition of collective memory and commemoration as a basic starting point. The second section presents a brief history of memory research going back to the early sociological work of Émile Durkheim and his student Maurice Halbwachs, and then extending into the last twenty years or so of the contemporary era. Section 3 deals with theoretical devel- opments in the field. This is followed in Section 4 by an examination of the methodo- logical strategies sociologists use to empirically study memory as well as a brief Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x ª 2010 The Author Journal Compilation ª 2010 Blackwell Publishing Ltd discussion of methodological challenges in Section 5. Section 6 stands back from the earlier discussion and attempts to look into the future by speculating about possible fruitful pathways of enquiry for students of memory. While memory attracts the interests of scholars from a diverse range of disciplines each with discipline-specific orientations, what sets the sociological standpoint apart is its sensitivity to the fundamentally social bases of memory – that is to say, that what, when and how we remember and commemorate is relational, that is, depends on the variable influence of others. This is not to deny that individuals ‘do’ memory as well, but it is to insist that they do so in the context of the prevailing conditions and circumstances of their social environment both present and inherited. A brief elaboration in the next section of what we mean by ‘collective memory’ and ‘commemoration’ helps to make this clearer. Even a basic acquaintance with memory research quickly reveals the rich pluralism of mnemonic devices individuals and collectivities use to remember the past. These range from the better known devices such as memorials, museums, and monuments to less well-known, though increasingly widely used, means such as street murals, Internet Web sites, and consumer items like t-shirts, key rings, and CD-ROMS. These mnemonic devices are asymmetrical in terms of such things as the norms and expectations associated with interacting with them, malleability, and preservation of the past. Consider, for example, that how people behave in a museum is more subject to control by those responsible for putting it together than how people interact with Internet Web sites and that memorials are more static and less invariant in nature than Internet Web sites. In terms of the preservation of our connections to the past, museums tend to be better repositories of the past than more ephemeral, throw-away items like key-rings. Defining collective memory and commemoration A basic point of departure in any review article of a field is to develop some basic work- ing understanding of its key concepts. Sociologist Barry Schwartz puts forward the fol- lowing definition of collective memory: ‘collective memory refers to the distribution throughout society of beliefs, feelings, moral judgements and knowledge about the past’[http://www.sociologyencyclopedia.com/info/sample1.pdf (last accessed 27 January 2010)]. This definition makes three important points. First, collective memory has to do with a societal-wide phenomenon – it is not a property of individuals but of social groups. Second, collective memory concerns how people feel about the past rather than strictly what objectively happened in the past. In this sense, collective memory has to do with what social groups select out of the happenings of their lives that they consider important and worthy of preserving. Inevitably, this normative evaluation also involves forgetting – not everything about the past can be remembered, as there are limits to the capacity of our minds to process the past (Schwartz 2009; Zerubavel 1997). Memory, to use the lan- guage of economic theory, involves opportunity costs. By this account, commemorating the past is not a simple or straightforward matter. Answers to seemingly basic questions such as who should be remembered? when? and why? are rarely easy to answer, and social groups frequently fight with one another over the answers to them. A third impor- tant point that can be made in relation to this definition is that collective memory has to do with the remembered past and its connections to the lived present and the imagined future (Lewis and Weigert 1981, p. 435) – it is about the temporality of our individual and collective lives. Sociology of Collective Memory and Commemoration 443 ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd As a result of a focus on these three things, sociological studies of memory have tended to suffer from two important conceptual limitations – (1) an oversocialised conception of memory that tends to sidestep the question of whether collective images of the past map onto individual reminiscences and vice versa; and (2) a tendency to homogenise collective memory and thus to underestimate the extent to which collective memory can be a con- tainer for a diversity of colliding and fragmented meanings of the past. Collective memory and commemoration are clearly related, but they are not one and the same thing. Commemoration has to do with the practices and artefacts (Casey 2000; Olick 2008), social groups mobilise to represent the past to themselves and to others. Put another way, it relates to what people actually do in a communal way and in public con- texts – commemoration basically involves public work – in response to the social distri- bution of opinions about the past and is the outcome of contestation, interests, and negotiation. Spaces, times, bodies, and images are cultural resources drawn upon in most commemorative activity. By contrast, collective memory is more a state of mind than a concrete set of material things and social practices – ‘sites of memory’ (Nora 1989) – oriented to the past, present, and future. Pathways of collective memory research The first sociological thoughts about memory were written by Émile Durkheim – though admittedly he did not invoke the term itself (Misztal 2003) – and he claimed religious rit- uals played an important role in reminding people of their pasts and connecting them to one another through this. In The Elementary Forms of Religious Life (Durkheim 1995), Durkheim was arguably more interested in time than in memory per se (Olick and Robbins 1998) – positing that our categories of time (and space) come from religion – and he recognised that the social solidarity generated by it could ‘‘travel’’ beyond ritual occasions but that it needed to be kept fresh and live through regular commemorative practices. A second important figure in the history of the sub-field is Maurice Halbwachs, a student of Durkheim. Halbwachs’s work reflected continuity with the earlier Durkheimian tradition by emphasising the socially created nature of memory via families, occupational groups, religious gatherings, and other social hosts. This social understanding was clearly reflected in the important distinction Halbwachs made between auto- biographical and historical memory, which I discuss. Both Durkheim and Halbwachs emphasised the importance of ritual and other mne- monic devices such as texts of all kinds – museums, murals, monuments, and the like – that institutionalise the past in our everyday lives. Neither gave much attention, however, to the dynamic relation between embodied rituals and textual means of remembering the past (Casey 2000) or to the possibilities of cross-currents and collisions in memory as reflected in more contemporary work examining ‘‘official’’ versus ‘‘vernacular’’ render- ings of the past (Gillis 1994). Despite their focus on positive pasts (Fine 2001), at least mentioning Durkheim and Halbwachs is now almost an obligatory preface comment in any serious engagement with collective memory. Nowadays sociologists are actively engaged in memory research. Although much of this present-day research originates from and about the Anglo-American world, increas- ingly, less well-studied geographical areas such as Asia are receiving attention as well (Schwartz and Kim forthcoming; Tsutsui 2009). One way of gauging recent growth in interest in the field is to look at trends and patterns in the number of journal articles referring to the concept of collective memory. Since the 1960s, there has been a veritable explosion of interest in it. In the 1960–1975 period only 4 journal abstracts made 444 Sociology of Collective Memory and Commemoration ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd mention of the term, but in the 2000–2010 period this had grown to 1380 (see Figure 1). While the number of periodicals also grew over this time period and helps explain the trend, the almost threefold increase in mentions of the concept from 1990–2000 to 2000–2010 is indicative of its growing popularity. Theoretical developments Compared to other sub-fields in sociology, the sociology of collective memory and com- memoration is not well developed theoretically. Sociologists of memory tend to import concepts and theories from other sub-fields into theirs and – surprising perhaps – there is little traffic in the other direction. One rare example of traffic into other sub-disciplines from collective memory research is the use by sociologists of religion of the concept of religion as a ‘chain of memory’, a construct associated with the work of Hervieu-Léger (2000). In addition to the straw men ‘‘constructionist’’ and ‘‘continuity’’ perspectives (Jedlowski 2001; Olick 2008; Olick and Robbins 1998), the literature is characterised by the circulation of a plethora of concepts including memory work (Irwin-Zarecka 1994), memory entrepreneurship (Olick and Robbins 1998), memory projects (Corney 2003), autobiographical memory (Halbwachs 1992), historical memory (Halbwachs 1992), pros- thetic memory (Landsberg 2004), postmemory (Hirsch 2008), cosmopolitan memory (Levy and Sznaider 2006), recovered memory (Sturken 1998), somatic memory (Gibbons 2001), cultural trauma (Alexander 2003), visual memory (Zelizer 2002), and so on. This bundle of concepts (summarised in Table 1) can be loosely distilled into three broad cate- gories: (1) concepts relating to agency and actorhood in relation to commemoration and remembrance; (2) concepts relating to the constitutive forces for memory; and (3) con- cepts relating to the contexts in which memory is (re)produced. The concepts of ‘mem- ory work’, ‘memory entrepreneurs,’ and ‘memory projects’ relate to agency and actorhood, the concepts of autobiographical, historical, post, and cosmopolitan memory relate to different contexts in which memory is produced while cultural trauma, somatic memory, recovered memory, and visual memory relate to different constitutive forces for memory. Space does not permit a full elaboration of each of these focal concepts, so I have chosen to hone in on six of them. 0 5 0 0 1 0 0 0 1 5 0 0 1960–1975 1975–1990 1990–2000 2000–2010 Source: Sociological abstracts Figure 1 Number of journal abstracts mentioning collective memory, 1960–2010. Sociology of Collective Memory and Commemoration 445 ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd Coming mainly from the symbolic interactionist tradition, the concept of memory entrepreneurs refer to human actors with resources and organisation who do things to remember the past (Fine 2001). The mnemonic artefacts or practices that result from this human activity – marches, processions, museums, Web sites, poetry, song, etc. – consti- tute memory projects. By their attention to memory entrepreneurs sociologists give atten- tion to the role of agency and actorhood in remembering the past and acknowledge that commemoration does not just happen by chance but requires the active work of people to propagate and disseminate the past (Fine 2001). With respect to the variable contexts in which memory is constructed, the useful distinction between autobiographical and historical memory owes to the influence of Maurice Halbwachs (Halbwachs 1992). Autobiographical memory has to do with memo- ries of the past based on direct first-hand experience, while historical memory relates to memories of the past mediated through the preservation efforts of others. With the pas- sage of time, one tends to displace the other and open up opportunities for what is termed ‘prosthetic memory’. Prosthetic memory closely resembles the historical memory concept by its attention to how people come into contact with memories of the past not through first-hand experience but via mediated cultural representations such as film and cinema (Landsberg 2004). This allows new younger ‘post-memory’ generations (Hirsch 2008) removed from past events to nonetheless remember them. These two concepts seem to challenge Halbwachs earlier emphasis on the importance of social hosts in the present for keeping memories of the past alive. All of these theoretical concepts are important, but their utility must ultimately be judged by their confrontation with empirical data. Some of the research discussed in the next section does just that. Methodological strategies Three broad categories of methodological approaches can be identified in the literature (see Table 2) – the statistical use of large-scale social surveys, ethnographic investigation involving the use of in-depth interviews, documentary and textual analysis, and partici- pant observation (either singly or in combination), and studies using comparative histori- cal research. Of course, some studies blend these different approaches, but most, more usually, employ one independently. Cultural analysis of symbolic representations of the past tends to be the main access point for empirically getting at memory (Schuman and Corning 2000). Part of this owes something to researcher investment – it is less costly and time-consuming to look at changes over time in publicly accessible images of some event or figure than it is to ask people about their views and opinions of them via nationally representative surveys. Table 1 Focal concepts in collective memory research. Actorhood Contexts Formations Memory work Autobiographical Recovered Memory project Historical Somatic Memory entrepreneurship Post Visual Prosthetic Cultural trauma Cosmopolitan 446 Sociology of Collective Memory and Commemoration ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd It owes more though to theoretical commitments and particularly the tendency to con- ceive of memory more in static than dynamic, processual terms (Jansen 2007). Because of this, long-range historical accounts are less common in the literature despite calls in recent years from some sociologists of memory (Olick 2008) for the field to go beyond static conceptions of memory to get at the slow-moving temporal processes in its (re)con- struction. Compared to the analysis of text, it is more difficult to find empirical studies of embodied remembrance (Connerton 1989) – how people remember the past via their physical bodies and in practices such as marches, parades, and processions. Less common still are examples of studies interrogating the complex relationships between textual and embodied memory (Casey 2000; Spillman and Conway 2007). In what follows I give a brief capsule summary account of three representative exam- ples of each methodological strategy and point the reader towards other interesting illus- trations of the method’s use. These different methods span levels of analysis from the individual to society. Statistical use of large-scale social surveys One of the best examples of the use of social surveys in collective memory research is Schuman and Scott’s study of generational differences in collective memories of past his- torical events (Schuman and Scott 1989). They make the interesting point – drawing on Karl Mannheim – that when it comes to what memories leave the deepest impression on us, it is not so much how old one is that matters but rather when one was an adolescent and young adult. Based on US data and employing Karl Mannheim’s concept of genera- tion, Schuman and Scott investigate whether different generations remember the past dif- ferently. Respondents were asked to look back over the previous fifty years and to simply name big national and world events and developments they remembered and why. They found evidence for a generational effect, and they isolate adolescence and early adulthood as the most significant period of one’s life in terms of shaping memory. A second interesting study involving the use of large-scale social survey data, but in this instance relating to a historical figure rather than an historical event or changes is Larson and Lizardo’s analysis of Che Guevara as an international mnemonic and political symbol (Larson and Lizardo 2007). Based on data from Spanish respondents, they also take Mannheim’s work as their starting point but go beyond it by suggesting that the exposure Table 2 Collective memory research: methodological approach, level of analysis, focus, examples, and frequency. Approach Level Focus Examples Frequency Social Survey Micro Patterns and regularities in people’s beliefs about remembered events ⁄ figures Schuman and Scott 1989; Schwartz and Schuman 2005; Schuman et al. 2005. Moderate Ethnography Micro Memory ‘on the ground’ Wagner-Pacifici and Schwartz 1991; Teeger and Vinitzky-Seroussi 2007; Conway 2010; Saito 2006;. High Comparative Historical Macro Memory across time and space Spillman 1997; Brubaker and Feischmidt 2002; Jansen 2007; Armstrong and Crage 2006; Levy and Sznaider 2006;. Low Sociology of Collective Memory and Commemoration 447 ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd of generations to a wide range of cultural representations of historical figures exerts an important influence on memory. Disaggregating the generation category, they also find some political identity effect – people of a left-wing orientation are more likely, unsur- prisingly, to remember Che Guevara than others. Public beliefs about Christopher Columbus around the time of the 500 th anniversary of his coming to America are the focus of Schuman et al. (2005) study. More specifically, they are interested in whether elite opinion about this historical figure maps onto public beliefs about him, and they found that elite efforts to reconstruct his image showed little sign of taking hold among ordinary people. To get at these public beliefs, they carried out a national survey asking over 1500 mostly White American respondents what they would say Columbus did if asked by a niece or nephew to briefly explain his accomplish- ments. Respondent answers were distributed on a continuum from negative to positive beliefs, and they present statistical tables of these distributions. Beyond these examples, works by Schuman and Corning (2000) and Schwartz and Schuman (2005) represent good illustrations of the use of the large-scale social survey in memory research. Ethnographic investigation: in-depth interviews, documentary and textual research, and participant observation In the memory literature, numerous examples exist of ethnographic studies employing the standard tools of this method – interviews, observation, and textual analysis. Indeed, one of the paradigmatic pieces of memory research involves the use of ethnographic analysis – Wagner-Pacifici and Schwartz’s study of the Vietnam memorial (Wagner-Pacifici and Schwartz 1991). This study concerned itself with the basic question of whether commem- oration without consensus about the past is possible or not and employed controversies associated with the Vietnam memorial as a case study. Empirically, this study was based on a resort to textual material from newspapers and congressional records and documents about the competition, design, and construction for the memorial, written accounts deposited by people who visited the memorial, observations of the memorial, and objects people deposited at the memorial. They also employed a comparative logic by examining similarities and differences between this memory project and other controversial projects. Saito’s study of Hiroshima in Japanese collective memory provides another example of research employing the ethnographic method. Here, the main source of data is archival and textual materials – he examines memoirs of survivors of the bomb, city government documents contained in archives, and national broadsheet newspapers. Allied to this, he carefully studied existing secondary sources about the historical evolution of Japanese society. Based on this, Saito proposes a three-phase periodisation of Japanese engagement with the memory of the event with an early period focusing on transnational commemo- ration to later national engagement with it, and still later to the congealing of both national and transnational elements (Saito 2006). If most collective memory research pays attention to examples of successful commemo- ration, Jennifer Jordan’s recent work on memorialisation in the material landscape of urban Berlin represents a corrective to this approach of looking under the lamp-post to find memory. Jordan draws on archival material, interviews, and secondary sources to show that studying and understanding negative cases of unsuccessful remembrance – discussed in the literature under the rubrics of forgetting, silencing, amnesia, and oblivion (Connerton 2008; Huyssen 2005; Ricouer 2004; Schwartz 2009; Sturken 1998; Trouillot 1995; Walkowitz and Knauer 2004) – has much to teach us about the dynamics of 448 Sociology of Collective Memory and Commemoration ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd memory than the more frequent default option of studying successful commemoration. Her focus on where the plaque, statue, memorial, or museum is not tells us that successful commemoration critically depends on cultural factors such as the presence or absence of memory entrepreneurs and the resonance of their activities, as well as bureaucratic issues such as land usage and land ownership (Jordan 2006). Other interesting empirical studies of memory research using ethnographic approaches include Vinitzky-Seroussi (2002), Teeger and Vinitzky-Seroussi (2007), Yoneyama (1999), Conway (2010), and Spillman and Conway (2007). Comparative historical research Studies of how a single event is remembered in different societies at different times or of how different events are remembered in similar societies are rare in this sub-field. Some interesting examples of research using a comparative historical logic are Spillman (1997), Levy and Sznaider (2006), Brubaker and Feischmidt (2002), and Armstrong and Crage (2006). Spillman’s study of centennial and bicentennial anniversaries in the two settler societies of United States and Australia examines variation in commemorative themes adopted at different times in these two societies. This study found that American political elites remembered their founding moment as a nation much more than Australian elites did and she explained this interesting variation in terms of the cultural production of the past – arguing for the importance of paying attention to the audiences to whom elites were oriented to as well as variation between the two societies in terms of the salience of inter- national image and reputation – but also in terms of variation in the semiotic qualities of historical symbolism. The study of the similarities and differences in the commemoration of the 1848 revo- lution in Hungary, Slovakia, and Romania is the focus of Brubaker and Feischmidt’s comparative work. They examined what memory choreographers said at commemorative occasions – political discourse – and newspaper and popular press coverage but, signifi- cantly, and with the help of student assistants, they also participated as observers in recent commemorations and paid special attention to the emotional atmosphere generated by them. Examining the different meanings of 1848 across space and time, they found that 1848 was more resonant in Hungary than in either Slovakia or Romania and that it evoked a different emotional atmosphere and fuelled different political claim-making at different times. They explain this variation as a consequence of how salient or not the 1848 revolution was to national group identity – in Hungary it was much more salient. Tracing the trajectory of Hungarian commemorations, they found that commemorations of 1848 did different things in different contexts – they moved from being sombre to more celebratory occasions as a result of growing concerns about Hungary’s international image and standing and demonstrating its credentials as a modern polity worthy of admis- sion to transnational institutions such as the European Union. Another recent contribution to comparative historical studies of memory projects is Armstrong and Crage’s (2006) work on the Stonewall riots in New York City and similar events in other metropolitan cities and how they were differently remembered in differ- ent gay communities. Drawing on archival data about gay movements and secondary lit- erature, they investigate variation between three US cities in terms of how incidents involving gay opposition to police raids of gay bars got commemorated. Explaining this variation, they isolate the importance of factors such as ‘mnemonic capacity’ or the ability of social groups to pull of a commemoration, the resonance of memory projects and Sociology of Collective Memory and Commemoration 449 ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd relationship to wider political movements, the chosen commemorative device, and the ‘commemorability’ of events. Other notable recent studies using comparative historical research include Jansen (2007) and Levy and Sznaider (2006). Methodological challenges Although it is unusual for sociologists of memory to offer reflective comments on the actual process of carrying out research on commemoration, a few examples do exist and almost exclusively within the ethnographic tradition. Viterna’s reflections on fieldwork in rural El Salvador (Viterna 2009) points out that students of memory run up against two common validity problems when it comes to asking people questions about their memo- ries of the past. One common difficulty is that people tend to be prone to sheer forget- fulness or, put another way, recall problems (Jedlowski 2001) – as time passes our memories of what happened tend to fade as new experiences compete with old ones for retention in our minds. Vromen’s study of Roman Catholic Church rescue efforts on behalf of Jewish children during the Holocaust provides an instructive example of this – when asked about daily life in Belgian convents nuns tended to forget, for example, precise details of practices in relation to the daily washing of the children in their care. Vromen employed letters the nuns wrote to flesh out some of the detail about their lives missing from their interview accounts and this provides an example of how textual data can supplement interview data in our memory research (Vromen 2008, 65). Another difficulty in relation to interviewing people about the past is the tendency of interviewees to sanitise their retellings in the context of the contemporary ‘remembrance environment’ (Viterna 2009, 283) – for example, Vromen’s study reports that coura- geous nuns who ran these institutions tended to de-emphasise the importance of saving souls – via participation in Catholic rituals such as baptism – as their goal and emphas- ised instead humanitarian concerns in interviews she carried out with some nuns long after what happened (Vromen 2008, 51–52). Respondent recollections can also be ham- pered by audience effects and subsequent post-event stories told by others (Hirst and Echterhoff 2008). Of course, researchers can take steps to correct for these deficiencies in their empirical data gathering – the accounts of respondents can be corroborated or cross-checked against available textual evidence from newspaper accounts and archival records, for instance. To my knowledge, no reflective pieces by sociologists using social surveys or compara- tive historical research exist. The challenges of empirically investigating memory using these kinds of strategies are the challenges of social survey research – dealing with the lack of equivalence of survey question meanings across surveys, for example – and com- parative historical research – selecting pertinent cases and sacrificing breadth of coverage for depth of understanding, for instance – more generally. Future directions Collective memory is central to how individuals and collectivities conceive of their iden- tities. Sociological engagements with it spotlight how we mobilise resources from the social world to bring the past into the present and the implications of this for identity, power, and social change (Jedlowski 2001; Olick and Robbins 1998). Back in the late 1990s, Olick and Robbins (1998) lamented the lack of unity in the discipline’s efforts to do this. The earlier mentioned developments herald some trend towards greater unity 450 Sociology of Collective Memory and Commemoration ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd though only in a weak sense can the field be said to be unified because innovations – either at a methodological or at a theoretical level – tend to be ad hoc and slow to diffuse widely across disciplinary boundaries. Oddly, students of memory tend to be prone to ‘‘selective forgetting’’ in relation to developments in cognate fields. Future development of the field will likely turn on progress made – or not – on two fronts: (1) internal cohesion and (2) external utility. Internally, the sociology of commemoration would benefit from putting the intercon- nection between theory and data front-and-centre – how sociologists theorise about the nature of memory has important consequences for how they empirically study it (and vice versa). Consider two examples. First, sociologists have been interested in the social forces that shape the production of memory via attention to memory entrepreneurship, for example, but this angle of vision has meant that their understanding of how mne- monic artefacts and practices are received or consumed by ordinary people – the recep- tion issue – is somewhat underdeveloped. Indeed, it is rare to find a study that actually asks people what they think and feel about commemorative projects. We tend instead to read off this layer of interpretation and meaning-making from the intentions of those behind memory projects or from shifting symbolic representations. But given the highly charged nature of memory debates we know that these intentions do not always neatly articulate with those of individuals at the other end – in this respect, sociological engage- ment with the experimental studies of psychologists on memory and their efforts to ‘bring the individual back in’ through them might well be fruitful (Hirst and Echterhoff 2008; Schwartz and Schuman 2005). Second, conceiving of collective memory in ‘‘moving picture’’ (Pierson 2004, 2) terms calls for sensitivity to long-range historical change and understanding one case in relation to others. More use of comparative historical logics would allow an examina- tion of cross-national variation in how the same event or figure is remembered in dif- ferent national contexts at different times or how similar events are remembered in similar societies. As we have seen in the classification of memory research presented earlier, these methodological approaches are less common than other data gathering strategies. Also underrepresented is the use of mixed-method designs combining qualita- tive and quantitative data gathering though some notable examples of this do exist (Schuman et al. 2005). On an external level, against a ‘picket-fence’ approach emphasising the separation of memory research from other sub-fields in sociology the field could fruitfully benefit from paying more attention to how it can contribute to other sub-fields – for example, the sociology of organisations might benefit from attention to how organisations of many kinds have their own ‘‘memories,’’ and how this organisational memory potentially shapes – or not – present-day organisational behaviour. Beyond this example, almost every social phenomenon from collective action (Armstrong and Crage 2006) to eating behaviour (Lee 2000; Sutton 2008) can be said to have a ‘‘memory’’ dimension. Although up to now the sociology of memory has not contributed much by way of concepts and theories to the broader discipline, the study of collective memory opens up rich possibilities for exercising the ‘sociological imagination’ (Mills 2000). Acknowledgement The author thanks the anonymous reviewers and the section editor, Arlene Stein, for very helpful and thoughtful comments on an earlier version of this article. Sociology of Collective Memory and Commemoration 451 ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd Short Biography Brian Conway is lecturer in the Department of Sociology at the National University of Ireland, Maynooth. His research interests are collective memory, sociology of religion, and the history of sociology. Previously, he lectured in sociology in the School of Applied Social Studies at the Robert Gordon University, Scotland. He was awarded a B.Soc.Sc. degree by University College Dublin, a M.S.W. degree by the University of Pittsburgh, and M.A. and Ph.D. degrees in sociology by the University of Notre Dame. His work has been published in Sociological Inquiry, Journal of Urban Affairs, Memory Studies, Identity, Cultural Sociology, Symbolic Interaction, Sociological Origins, and Nomadic Peoples, and a number of edited collections. He is author of Commemoration and Bloody Sunday: Pathways of Memory (Palgrave Macmillan, 2010) and associate editor of Sociological Origins. Note * Correspondence address: Brian Conway, Department of Sociology, National University of Ireland, Maynooth, Maynooth, Co. Kildare, Republic of Ireland. E-mail: brian.conway@nuim.ie References Alexander, J. C. 2003. ‘Cultural Trauma and Collective Identity.’ Pp. 85–107 in The Meanings of Social Life: A Cultural Sociology, edited by J. C. Alexander. Oxford: Oxford University Press. Armstrong, E. A. and S. M. Crage 2006. ‘Movements and Memory: The Making of the Stonewall Myth.’ American Sociological Review 71(5): 724–51. Brubaker, R. and M. Feischmidt 2002. ‘1848 in 1998: The Politics of Commemoration in Hungary, Romania, and Slovakia.’ Comparative Study in Society and History 44(4): 700–44. Casey, E. S. 2000. Remembering: A Phenomenological Study, 2nd edn. Bloomington: Indiana University Press. Connerton, P. 1989. How Societies Remember. Cambridge: Cambridge University Press. Connerton, P. 2008. ‘Seven Types of Forgetting.’ Memory Studies 1(1): 59–71. Conway, B. 2010. Commemoration and Bloody Sunday: Pathways of Memory. Basingstoke ⁄ New York: Palgrave Macmillan. Corney, F. C. 2003. ‘Rethinking a Great Event: The October Revolution as Memory Project.’ Pp. 17–42 in States of Memory: Continuities, Conflicts, and Transformations in National Retrospection, edited by J. K. Olick. Durham: Duke University Press. Durkheim, É. 1995 (translated by K. E. Fields). The Elementary Forms of Religious Life. New York: The Free Press. Fine, G. A. 2001. Difficult Reputations: Collective Memories of the Evil, Inept, and Controversial. Chicago: University of Chicago Press. Gibbons, L. 2001. ‘Where Wolfe Tone’s statue was not’: Joyce, monuments and memory.’ Pp. 139–59 in History and Memory in Modern Ireland, edited by I. McBride. Cambridge: Cambridge University Press. Gillis, J. (ed.) 1994. Commemorations: The Politics of National Identity. Princeton: Princeton University Press. Halbwachs, M. 1992. (translated and edited by L. A. Coser). On Collective Memory. Chicago: University of Chicago Press. Hervieu-Léger, D. 2000. Religion as a Chain of Memory. New Brunswick, NJ: Rutgers University Press. Hirsch, M. 2008. ‘The Generation of Postmemory.’ Poetics Today 29(1): 103–28. Hirst, W. and G. Echterhoff 2008. ‘Creating Shared Memories in Conversation: Toward a Psychology of Collective Memory.’ Social Research 75(1): 183–216. Huyssen, A. 2005. ‘Resistance to Memory: The Uses and Abuses of Public Forgetting.’ Pp. 165–84 in Globalizing Critical Theory, edited by M. Pensky. New York: Rowman and Littlefield. Irwin-Zarecka, I. 1994. Frames of Remembrance: The Dynamics of Collective Memory. New Brunswick: Transaction Publishers. Jansen, R. S. 2007. ‘Resurrection and Appropriation: Reputational Trajectories, Memory Work, and the Political Use of Historical Figures.’ American Journal of Sociology 112(4): 953–1007. Jedlowski, P. 2001. ‘Memory and Sociology: Themes and Issues.’ Time & Society 10(1): 29–44. Jordan, J. 2006. Structures of Memory: Understanding Urban Change in Berlin and Beyond. Stanford: Stanford University Press. Landsberg, A. 2004. Prosthetic Memory: The Transformation of American Remembrance in the Age of Mass Culture. Columbia: Columbia University Press. 452 Sociology of Collective Memory and Commemoration ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd Larson, J. and O. Lizardo 2007. ‘Generations, identities and the collective memory of Che Guevara.’ Sociological Forum 22: 425–51. Lee, S. 2000. ‘Dys-appearing Tongues and Bodily Memories: The Aging of First-Generation Resident Koreans in Japan.’ Ethos 28: 198–223. Levy, D. and N. Sznaider 2006. The Holocaust and Memory in the Global Age. Philadelphia: Temple University Press. Lewis, J. D. and A. J. Weigert 1981. ‘The Structures and Meanings of Social Time.’ Social Forces 60(2): 432–62. Mills, C. W. 2000. The Sociological Imagination. Oxford: Oxford University Press. Misztal, B. 2003. ‘Durkheim on Collective Memory.’ Journal of Classical Sociology 3(2): 123–43. Nora, P. 1989. ‘Between Memory and History: Les lieux de mémoire.’ Representations 26: 7–24. Olick, J. 2008. ‘From Collective Memory to the Sociology of Mnemonic Practices and Products.’ Pp. 151–61 in Cultural Memory Studies: An International and Interdisciplinary Handbook, edited by A. Erll and A. Nünning. Berlin: Walter de Gruyter. Olick, J. K. and J. Robbins 1998. ‘Social Memory Studies: From ‘‘Collective Memory’’ to the Historical Sociology of Mnemonic Practices.’ Annual Review of Sociology 24: 105–40. Pierson, P. 2004. Politics In Time: History, Institutions, and Social Analysis. Princeton: Princeton University Press. Ricouer, P. 2004. Memory, History, Forgetting. Chicago: University of Chicago Press. Saito, H. 2006. ‘Reiterated Commemoration: Hiroshima as National Trauma.’ Sociological Theory 24: 353–76. Schuman, H. and A. D. Corning 2000. ‘Collective Knowledge of Public Events: The Soviet Era from the Great Purge to Glasnost.’ American Journal of Sociology 105(4): 913–56. Schuman, H. and J. Scott 1989. ‘Generations and Collective Memory.’ American Sociological Review 54: 359–81. Schuman, H., B. Schwartz and H. D’Arcy 2005. ‘Elite Revisionists and Popular Beliefs: Christopher Columbus, Hero or Villain?’. Public Opinion Quarterly 69(1): 2–29. Schwartz, B. 2009. ‘Collective Forgetting And The Symbolic Power Of Oneness: The Strange Apotheosis of Rosa Parks.’ Social Psychology Quarterly 72(2): 123–42. Schwartz, B. and M. Kim (eds.) forthcoming. Northeast Asia’s Difficult Past: Studies in Collective Memory. Basingstoke ⁄ New York: Palgrave Macmillan. Schwartz, B. and H. Schuman 2005. ‘History, Commemoration, and Belief: Abraham Lincoln in American Memory, 1945–2001.’ American Sociological Review 70(2): 183–203. Spillman, L. 1997. Nation and Commemoration: Creating National Identities in the United States and Australia. Cambridge: Cambridge University Press. Spillman, L. and B. Conway 2007. ‘Texts, Bodies, and the Memory of Bloody Sunday.’ Symbolic Interaction 30(1): 79–103. Sturken, M. 1998. ‘The Remembering of Forgetting: Recovered Memory and the Question of Experience.’ Social Text 57 16(4): 103–125. Sutton, D. 2008. ‘A Tale of Easter Ovens: Food and Collective Memory.’ Social Research 75(1): 157–80. Teeger, C. and V. Vinitzky-Seroussi 2007. ‘Controlling for Consensus: Commemorating Apartheid in South Africa.’ Symbolic Interaction 30(1): 57–78. Trouillot, M. 1995. Silencing the Past: Power and the Production of History. Boston: Beacon Press. Tsutsui, K. 2009. ‘The Trajectory of Perpetrators’ Trauma: Mnemonic Politics around the Asia-Pacific War in Japan.’ Social Forces 87(3): 1389–422. Vinitzky-Seroussi, V. 2002. ‘Commemorating A Difficult Past: Yitzhak Rabin’s Memorials.’ American Sociological Review 67: 30–51. Viterna, J. 2009. ‘Negotiating the Muddiness of Grassroots Field Research: Managing Identity and Data in Rural El Salvador.’ Pp. 271–97 in Women Fielding Danger: Negotiating Ethnographic Identities in Field Research, edited by M. K. Huggins and M. -L. Glebbeek. Lanham: Rowman & Littlefield. Vromen, S. 2008. Hidden Children of the Holocaust: Belgian Nuns and Their Daring Rescue of Young Jews from the Nazis. Oxford: Oxford University Press. Wagner-Pacifici, R. and B. Schwartz 1991. ‘The Vietnam veterans memorial: Commemorating a difficult past.’ American Journal of Sociology 97: 376–420. Walkowitz, D. J. and L. M. Knauer (eds.) 2004. Memory and the Impact of Political Transformation in Public Space. Durham: Duke University Press. Yoneyama, L. 1999. Hiroshima Traces: Time, Space and the Dialectics of Memory. Berkeley: University of California Press. Zelizer, B. 2002. ‘Finding Aids to the Past: Bearing Personal Witness to Traumatic Public Events.’ Media, Culture & Society 24: 697–714. Zerubavel, E. 1997. Social Mindscapes: An Invitation to Cognitive Sociology. Cambridge: Harvard University Press. Sociology of Collective Memory and Commemoration 453 ª 2010 The Author Sociology Compass 4/7 (2010): 442–453, 10.1111/j.1751-9020.2010.00300.x Journal Compilation ª 2010 Blackwell Publishing Ltd 
work_wgtn542mpbddjbefdmrsniwy2a	----	Mineralocorticoid and Epidermal Growth Factor Receptors Editorial Commentary Mineralocorticoid and Epidermal Growth Factor Receptors Partners In Vivo Amanda J. Rickard, Peter J. Fuller See related article, pp 238 –244 In the decade since the publication of the RandomizedAldactone Evaluation Study (RALES),1 interest in the role of aldosterone and the mineralocorticoid receptor (MR) has increased exponentially. The comfortable notion that miner- alocorticoid hypertension was just a matter of salt and water has been supplanted by a recognition that multiple tissues and systems are impacted.2,3 It is clear that the adverse cardiovascular consequences of mineralocorticoid-induced hypertension are far in excess of what might be expected for the magnitude and duration of the blood pressure rise.4 These observations have focused re- search on the consequences of MR activation in nonepithelial tissues.5 This represents somewhat of a renaissance as the consequences for the cardiovascular system of exposure to mineralocorticoids was first noted by Hans Seyle in 1946 and rediscovered by Brilla and Weber with further characteriza- tion by Young et al.6 These investigators established a robust rodent model of mineralocorticoid-induced hypertension, car- diac hypertrophy, and cardiac fibrosis resulting from miner- alocorticoid/salt administration over a period of weeks. The cardiac fibrosis is preceded by vascular inflammation and is independent of the hypertension, cardiac hypertrophy, angio- tensin II, and potassium status. It is blocked by coadminis- tration of MR antagonists (spironolactone or eplerenone) and, more importantly, once established, as in RALES, can be reversed by MR blockade.6 The response involves a number of tissues and/or cell types, including vascular endothelial cells, vascular smooth muscle cells, cardiomyocytes, fibroblasts, and inflammatory cells, particularly those of the monocyte/macrophage lineage. The identification of the relative contribution of each of these cell types, all of which, with the exception of the fibroblasts, contain the MR, is a critical first step in understanding the response. In Hypertension last year, tissue-specific deletion of MR was used to demonstrate a critical role for macrophage MR in the pathological response, although curiously this was without effect on the mononuclear cell infiltration per se.7 Several lines of available evidence clearly demonstrate an important role also for endothelial cells in the response to aldosterone.8 In this issue of the journal, Griol-Charhbili et al9 describe their studies using an established mutant mouse to explore the role of the epidermal growth factor receptor (EGFR) in the vascular response to MR activation. Why the EGFR? Grossmann and Gekle10 have shown that aldosterone can induce rapid (5- to 10-minute) activation of extracellular signal-regulated kinase signaling through the EGFR. This response appears to involve MR, but not in a classic genomic pathway; the activation involves the cytoso- lic tyrosine kinase cSrc, which is known to activate EGFR.10 Activation of the EGFR and its downstream effectors, such as extracellular signal-regulated kinase, is proliferative, and, indeed, the effects of angiotensin on extracellular signal- regulated kinase activity also involve the EGFR. Griol- Charhbili et al9 seek to directly address the role of the EGFR in mediating mineralocorticoid/salt-induced vascular damage in vivo. The approach used is elegant in its simplicity. They take an “off-the-shelf” EGFR knockout mouse, the waved-2 mouse from the Jackson Laboratories, and explore the re- sponse of the vasculature to treatment with aldosterone/salt for 4 weeks. The study focused extensively on the vasculature responses and, thus the consequences for inflammatory cell infiltration, cardiac fibrosis, and so forth, remain to be presented and/or explored. What was found, however, was unexpected. The lack of EGFR signaling did not alter vascular remodeling assessed by morphological criteria, elas- tin, and collagen densities. Lack of EGFR did, however, have consequences for vascular reactivity as measured by aortic relaxation in response to acetylcholine. This appears to be because of diminished levels of endothelial NO synthase in the vessel wall. It should be noted that, at baseline, markers of oxidative stress were increased in the vessel wall of the waved-2 mice, but this did not translate into an altered structural response. One confounder may be that many studies, particularly those examining the coronary vascula- ture, use a longer period of mineralocorticoid/salt treatment, that is, 8 weeks.6,7 Although these results may be interpreted as evidence that the in vitro studies10 have not recapitulated the in vivo situation, there are the usual caveats. In any germline knock- out mouse, the possibility that there is redundancy and/or compensatory mechanisms (which may be recruited during development) must be considered. There are also temporal and spatial considerations. Many of the in vitro studies define responses over minutes rather than weeks. Griol-Charhbili et al9 conclude that the role of the EGFR may be restricted to mediating the acute effects of MR activation, particularly those that occur through rapid nongenomic signaling, a proposition that is certainly consistent with existing data The opinions expressed in this editorial are not necessarily those of the editors or of the American Heart Association. From the Prince Henry’s Institute of Medical Research, Clayton, Victoria, Australia. Correspondence to Peter J. Fuller, Prince Henry’s Institute of Medical Research, PO Box 5152, Clayton Victoria 3168, Australia. E-mail peter.fuller@princehenrys.org (Hypertension. 2011;57:144-145.) © 2011 American Heart Association, Inc. Hypertension is available at http://hyper.ahajournals.org DOI: 10.1161/HYPERTENSIONAHA.110.160895 144 D ow nloaded from http://ahajournals.org by on A pril 5, 2021 (Figure). The relative contribution to the vascular response of the EGFR in the endothelium versus the EFGR in smooth muscle also remains to be determined.9 The question of “why the EGFR?” still hangs; it is only partially resolved. Although the roles of epidermal growth factor clearly extend beyond the dermis, the notion that EGFR serves only as an intermediate in a signaling cascade or in the integration of MR and angiotensin signaling in the vasculature seems improbable. What then is the ligand for the vascular EGFR? Where does it come from? Is it mediating growth or, perhaps, as in the epithelium of the gastrointestinal tract, repair? Yet, growth and/or repair would appear some- what distant from issues of reactivity. Perhaps these questions are captive of the name? In biology, much of the nomencla- ture has a history akin to Christopher Columbus naming the islands of the “New World,” the West Indies. As with all good studies, the work of Griol-Charhbili et al9 raises as many questions as it answers. What is indisputable is that the MR, which also arguably is misnamed, being rather more than just salt and water, plays a diverse role in cardiovascular physiology and pathophysiology. Disclosures None. References 1. Pitt B. Effect of aldosterone blockade in patients with systolic left ven- tricular dysfunction: implications of the RALES and EPHESUS studies. Mol Cell Endocrinol. 2004;217:53–58. 2. Fuller PJ, Young MJ. Mechanisms of mineralocorticoid action. Hypertension. 2005;46:1227–1235. 3. Fujita T. Mineralocorticoid receptors, salt-sensitive hypertension, and metabolic syndrome. Hypertension. 2010;55:813– 818. 4. Milliez P, Girerd X, Plouin PF, Blacher J, Safar ME, Mourad JJ. Evidence for an increased rate of cardiovascular events in patients with primary aldosteronism. J Am Coll Cardiol. 2005;45:1243–1248. 5. Funder JW. Reconsidering the roles of the mineralocorticoid receptor. Hypertension. 2009;53:286 –290. 6. Young MJ, Lam EY, Richard AJ. Mineralocorticoid receptor activation and cardiac fibrosis. Clin Sci. 2007;112:467– 475. 7. Rickard AJ, Morgan J, Tesch G, Funder JW, Fuller PJ, Young MJ. Deletion of mineralocorticoid receptors from macrophages protects against deoxycorticosterone/salt-induced cardiac fibrosis and increased blood pressure. Hypertension. 2009;54:537–543. 8. Caprio M, Newfell BG, la Sala A, Baur W, Fabbri A, Rosano G, Mendelsohn ME, Jaffe IZ. Functional mineralocorticoid receptors in human vascular endothelial cells regulate intercellular adhesion molecule-1 expression and promote leukocyte adhesion. Circ Res. 2008; 102:1359 –1367. 9. Griol-Charhbili V, Fassot C, Messaoudi S, Perret C, Agrapart V, Jaisser F. Epidermal growth factor receptor mediates the vascular dysfunction but not the remodeling induced by aldosterone/salt. Hypertension. 2011; 57:238 –244. 10. Grossmann C, Gekle M. Non-classical actions of the mineralocorticoid receptor: misues of EGF receptors? Mol Cell Endocrinol. 2007;277:6 –12. Aldosterone MR MR B C A MR MR MR MR Transcription No Transcription E G F R E G F R EGF c-src Ras Raf MEK ERK Figure. Schema demonstrating putative mechanisms involved in MR activation and signaling. A, The classic genomic pathway whereby aldosterone-bound MRs homodimerize and rapidly translocate to the nucleus where they bind specific hor- mone response elements (HRE) to initiate gene transcription. B, Transrepression by aldosterone-bound MR complexes, which interact with other transcription factors in an HRE-independent manner. C, Cytoplas- mic second messenger signaling as a result of ligand-bound MR inducing rapid, non- genomic effects through activation of receptors, such as the EGFR. Rickard and Fuller Mineralocorticoid and EGFRs 145 D ow nloaded from http://ahajournals.org by on A pril 5, 2021 
work_wm6axegxb5aklebsz4w6rabu2u	----	Science Magazine 20 JUNE 2014 • VOL 344 ISSUE 6190 1 3 3 1S C I E N C E sciencemag.org P H O T O : R E P R O D U C T IO N F R O M S E Y Y E D H O S S E IN N A S R , IS L A M IC S O C IA L S C IE N C E : A N I L L U S T R A T E D S T U D Y ( W O R L D O F I S L A M F E S T IV A L P U B L . C O ., 1 9 7 6 ) the D-Wave chip produced no quantum speedup. The researchers ran problems for different-sized groups of qubits, rang- ing from the chip’s basic unit of eight to its total of 512. The computing time for the conventional computer increased exponen- tially with the number of qubits. But so did the time for the D-Wave machine. Troyer takes care not to overstate the finding: “We don’t see quantum speedup, but that doesn’t mean you won’t see one eventually” for some other problem. Indeed, the test problems may have been easy for the ordinary computer, too, says Texas A&M’s Katzgraber. Choosing inter- actions at random, he explains, typically creates test problems in which qubits lock into a low-energy configuration only ex- actly at zero temperature. So at any higher temperature, thermal annealing can read- ily coax the system to the solution. Given the easiness of the problems for both machines, Katzgraber says, the study is like “two world-class skiers racing on the bunny slope.” Hartmut Neven, director of engineering at Google, says his team has already found patterns of interactions for which the D-Wave machine beats simulated annealing. However, some researchers doubt that a quantum annealer will ever produce a use- ful quantum speedup. Although computer scientists have proved that a dreamed-of universal quantum computer should excel at factoring, theory strongly suggests that in actuality a quantum annealer will pro- duce no similar speedup for any problem, says Umesh Vazirani, a computer scientist at the University of California, Berkeley. “I would bet that there’s not a speedup,” he says. Neven counters that he is “con- vinced that we will be able to find problem classes for which a next-generation quan- tum annealer will outperform any classical algorithm.” Meanwhile, the sniping between D-Wave and its critics continues. D-Wave co-founder Geordie Rose recently told Wired magazine that Troyer’s work was “total bullshit.” Such rhetoric rankles some researchers. By making claims that may not pan out, D-Wave could jeopardize the whole field of quantum computing, says Scott Aaronson, a computer scientist at the Massachusetts Institute of Technology in Cambridge. “If it becomes common knowledge that they’re not seeing a speedup, then the same peo- ple who are backing them may turn and say, ‘Well, I guess quantum computing is a failed idea,’ ” he says. In response to ac- cusations of hype, D-Wave’s Williams says, “We’re a commercial company, and all com- mercial companies have to market their products and services.” ■ By Richard Stone in Samarkand, Uzbekistan H e was a Renaissance man long before the Renaissance. Abu Rayhan al-Biruni, born a thousand years ago in this re- gion of Central Asia, calculated Earth’s circumference with astounding accu- racy and invented specific gravity, the measure of a substance’s density compared to that of water. He rejected creationism, ac- cepted that time has neither a beginning nor an end, and—5 centuries before Copernicus— argued that the sun might be the center of the solar system. Now, an influential scholar has proposed adding another laurel to that list: inferring the existence of America. The discovery of America is bitterly con- tested, with vying claims on behalf of pre- historic peoples who crossed over Beringia or the Pacific Ocean, Norse seafarers who landed in Newfoundland around 1000 C.E., and the 15th century explorers Christopher Columbus and John Cabot. Biruni, who never laid eyes on any ocean, also deserves “to wear the crown of discovery,” averred S. Frederick Starr, chair of the Central Asia-Caucasus In- stitute of the Johns Hopkins School of Ad- vanced International Studies in Washington, D.C., at a conference on medieval Central Asia held here last month. “His tools were not wooden boats powered by sail and mus- cular oarsmen but an adroit combination of carefully controlled observation, meticu- lously assembled quantitative data, and rig- orous logic.” Some experts are not persuaded. “There is a tendency these days to read too many modern discoveries into the works of the medieval scientists,” says Jan Hogendijk, an authority on Biruni at Utrecht Univer- sity in the Netherlands. “We don’t say that Copernicus ‘discovered’ that the Earth moves around the sun simply based on the fact that he hypothesized that it does,” adds Nathan Sidoli, a science historian at Waseda Univer- sity in Tokyo, “so I don’t see why we should say that al-Biruni ‘discovered’ the American continent.” But others think Biruni deserves credit for his prediction. “Assuming that the key pas- sages in Biruni’s texts have been correctly read, I see no reason to exclude al-Biruni from the list of early ‘discoverers’ of Amer- ica,” says Robert van Gent, a specialist on the history of astronomy at Utrecht University who attended Starr’s talk here. Biruni was one of a constellation of Cen- Was America ‘discovered’ in medieval Central Asia? Ancient texts suggest Silk Road polymath inferred the existence of unknown continents HISTORY OF SCIENCE Al-Biruni’s diagram of the moon’s phases. Published by AAAS o n J u n e 2 9 , 2 0 1 4 w w w .s ci e n ce m a g .o rg D o w n lo a d e d f ro m o n J u n e 2 9 , 2 0 1 4 w w w .s ci e n ce m a g .o rg D o w n lo a d e d f ro m http://www.sciencemag.org/ http://www.sciencemag.org/ NEWS | I N D E P T H 1 3 3 2 20 JUNE 2014 • VOL 344 ISSUE 6190 sciencemag.org S C I E N C E P H O T O : C O U R T E S Y O F T H E A C A D E M Y O F S C IE N C E S O F U Z B E K IS T A N tral Asian scholars who led an “Eastern Renaissance” spanning 7 centuries, from about 800 to 1500 C.E. These scholars in- clude some of the greatest minds you’ve never heard of, and their achievements include the principles of algebra and trigo- nometry, the invention of the algorithm and the astrolabe, and the foundations of modern medicine. “These were tremendous figures,” Starr says. Yet, he says, “This in- credible effervescence in science has largely escaped our attention in the West.” Starr, an archaeologist by training who has made dozens of trips to Central Asia, is at the vanguard of a scholarly movement to document the Eastern Renaissance and the factors that nurtured it. At the crossroads of the vibrant cultures of China, India, the Middle East, and Europe, Central Asians became traders non- pareil, and for that they had to know how to calculate. “The Chinese were amazed that young boys in Samarkand were learning math- ematics when they were 8 years old,” Starr says. The brightest star in the Central Asian firmament may have been Biruni. “He was really a universal ge- nius,” versed not only in the hard sciences and anthropology, but in pharmacology and philosophy as well, says Jules Janssens, a specialist on medi- eval Central Asia at the Catholic University of Leuven in Belgium. Biruni authored at least 150 texts, although only 31 have survived— and these are virtually unknown outside a small circle of scholars. Born in 973 C.E. near the Aral Sea in present-day Khiva, Uzbekistan, Biruni used the height of the midday sun to calculate the latitude of his hometown when he was just 16. He traveled widely as an adult, and at a hilltop fortress near present-day Islamabad he devised a technique for measuring Earth’s circumference using an astrolabe, spheri- cal trigonometry, and the law of sines. (Like the ancient Greeks, Biruni was aware that Earth is round.) His calculation was a mere 16.8 kilometers off the modern value, Starr says. “I don’t know where he became a data freak, but he’s the real thing. His was an orig- inal kind of mind.” In a massive tome called the Masudic Canon completed in 1037 C.E., Biruni ana- lyzed classical Greek, Indian, and Islamic astronomy and used “bold hypothesizing” to sort out credible claims from fantasy, Starr says. In another treatise, Biruni introduced the concept of specific gravity and applied it to scores of minerals and metals, making measurements accurate to three decimal points that Starr says Europeans could not match until the 18th century. Most sensational of all may be Biruni’s “discovery” of America. For the purpose of precisely determining the qiblah—the di- rection of Mecca during Islamic prayers— Biruni meticulously recorded coordinates of the places he visited, and compiled data on thousands of other Eurasian settlements from other sources. After plotting out the known world—possibly on a 5-meter-tall globe he is said to have constructed— he found that three- fifths of Earth’s surface was un- accounted for. “The most obvi- ous way to account for this enormous gap was to invoke the explanation that all geographers from antiquity down to Biruni’s day had ac- cepted, namely, that the Eurasian land mass was surrounded by a ‘world ocean,’ ” Starr relates in Lost Enlightenment: Cen- tral Asia’s Golden Age from the Arab Con- quest to Tamerlane, a book published last October. Biruni rejected that notion in a passage flagged by the Indian scholar Sayyid Hasan Barani in the mid-1950s but overlooked in the de- cades since, Starr says. Biruni argued that the same forces that gave rise to land on two-fifths of our planet must have been at work in the other three-fifths. He concluded that one or more landmasses must lie be- tween Europe and Asia, writing, “There is nothing to prohibit the existence of in- habited lands.” In the December 2013 issue of History Today, Starr wrote that Biruni’s “modus ope- randi strikes one as astonishingly modern, a voice of calm and dispassionate scientific en- quiry sounding forth from the depths of the irrational and superstitious medieval world.” The Eastern Renaissance wound down, Starr says, when “a pall of suspicion fell on science” in Central Asia. For centuries, Biruni and other scholars of that era—like America— awaited rediscovery. ■ By John Bohannon F or many purchases, price comparisons are a few mouse clicks away. Not for academic journals. Universities buy ac- cess to most of their subscription jour- nals through large bundled packages, much like home cable sub scriptions that include hundreds of TV stations. But whereas cable TV providers largely stick to advertised prices, universities negotiate with academic publishing companies behind closed doors, and those deals usually come with agreements that keep the bundled prices secret. After years of digging, and even legal action, a team of economists has pried out some of those numbers. The results of their investigation, pub- lished on 16 June in the Proceedings of the National Academy of Sciences (PNAS), re- veal that some universities are paying nearly twice what universities of seemingly simi- lar size and research output pay for access to the very same journals. For example, the University of Wisconsin, Madison, paid El- sevier $1.22 million in 2009 for a bundle of journals, while the University of Michi- gan, Ann Arbor—a university with similar enrollment and number of Ph.D. students— paid $2.16 million for the same bundle. At Science’s request, the authors even calculated a potential measure of how good or bad a deal U.S. universities are getting, providing a graphic view of the price spread (see p. 1333). (AAAS, Science’s publisher, offers bundled pricing for its three journals but was not in- cluded in the PNAS study.) The price of journals has become a source of friction between academics and publish- ers. Publishers pay nothing for most of the labor that goes into academic articles—the writing and revision by authors, the qual- ity control by volunteer peer reviewers—yet the largest of these companies reap annual profits upward of 35% on billions of dollars of revenue. According to the industry leader, Amsterdam-based Elsevier, the high profits are the result of innovation and efficiency, while the subscription bundling gives uni- versities access to journals “at a substantially discounted rate.” But according to Peter Suber, director of the Office for Scholarly Secret bundles of profit Study lifts veil on journal price negotiations SCIENTIFIC PUBLISHING Biruni boldly sorted scientific fact from fantasy. Published by AAAS 
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work_wp66msp3sngibeagsdvwgleioa	----	Untitled-2 © 1878 Nature Publishing Group J1t7te 6, 1878] NATURE 1 49 However complex the curves described by them may be, the points will be found to form a circle on the upper plane; and if we give to A different values, the corre- sponding circles will be found to be all concentric. Further, if we call the circle corresponding to the value A = o the zero-circle, the area of the ·curves described by the points on any other circle of the system equals N times the ring inclosed between that circle and the zero- circle. It is remarkable that such a singular point as the centre of the circles should exist. In the special case in which N=o, i.e., where there has been only an oscillatory movement of the upper plane and no complete rotation, the system of ~oncentnc circles is replaced by a system of parallel straight Imes, the area of the curves described by the points on any straight line of the system being proportional to the distance of that line from the zero-line. It should, perhaps, be pointed out that the ;_irea_ of a figure 8 is zero, as the two halves are of opposite signs; also that when a point reciprocates on a curve the area inclosed by it in its path is zero. For example: if we take the interesting _case of a circle rolling inside another of twice its diameter, every point on its circumference reciprocates on a straight line, and consequently the circumference is the zero-circle. This theorem was suggested to me by reading a paper by Mr. C. Leudesdorf in the Messenxer of Mathematz"cs, where I have already enunciated it. It seems, however, to be one which, from its somewhat startling simplicity, may interest a larger class of readers than a purely mathematical one. The proof is simple. Let P, P' be two points on the moving plane, and Jet A, A' be the areas described by them. Let PP'= r, and let the total movement of P' perpendicular to P P' = n. Then A-A'=nr-f-N1rr2, If we take P' as origin and the position of P' P in which 1t is a maximum and equal ton' as initial line, n'=n cos 0. Thus A-A'=n' cos 0 · r+N 1r r2, the equation to a family of concentric circles. Transforming to the centre, we have A = N 1r (r2·- a 2), where a is the radius of the zero-circle. A. B. KEMPE OLD MAPS OF AFRICA M R. STANLEY, in the paper which he read at the Geographical Society on Monday, spoke of Africa being brought to light after an oblivion of 6,000 years. Notwithstanding the somewhat confused phraseology, Mr. Stanley's meaning is clear enough : Central Africa, with its great lakes and rivers,. is now known, he means to say, for the first time. But recent investigation seems to show that the oblivion of Africa must be counted by hundreds and not thousands of years; that, in fact, it is only within two or three centuries that a knowledge of Central Africa has been allowed to lapse. A more rigorous search may show that between the fourteenth and the seventeenth centuries the great features that have been placed on modern maps within the past few years were discovered and recorded on the maps of the time. We have recently referred, on more than one occa- sion, to two very curious globes that have been brought to light, one in the National Library in Paris, and the other in the Library of Lyons. On the Lyons globe, the date of which is 1701, the Congo is made to issue from a great lake, and wind its way westwards to the Atlantic, in a direction to some extent coincident with that recently discovered by Mr. Stanley. As a sort of preparation for the work of the great traveller, so soon to be issued, some account of the data on which these maps may have been constructed, may not be uninteresting. Our information is based 01~an article in La Nature, and on a report by a commission of the Lyons Geographical Society, ap- pointed to investigate the value and origin of the Lyons globe. The discovery made at Lyons is, in reality, no surprise to those who know the history of geographical exploration, Not only in the seventeenth century, does the Zaire- Congo appear on most of the maps with the direction definitely assigned to it by Stanley, but nearly all old documents, from the fifteenth century-and the date should be noted-make the great river issue from a con- siderable mass of water far in the interior of the African continent. Already, in the year 1500, the famous majjemonde of Juan de la Cosa, the pilot of Christopher Columbus, gives the same indications ; the picturesque majjemonde known as that of Henry II., repeats them with some variations, as also the master-work of Mercator (1569), the founder of modern geography. All the old geo- graphers, or nearly all, repeat the same data :-Forlani ( 1562), Castaldi (1564), Sanuto ( l 588), Hondius ( 16o7), Nicolas Picart (1644), Blceu (1569), Sanson, &c. There- fore there need be no surprise to find on a globe of the eighteenth century information which for more than 200 years previously had been registered on the map of Africa. Whence, however, came this knowledge which our fathers had of certain regions in Central and Equatorial Africa? The reply is simple : from the Portuguese, who,. since the fifteenth century, undertook not only extensive maritime voyages, but several times crossed Africa from west to east and from east to west. It is even very pos- sible that they discovered the sources of the Nile, the great equatorial lakes; thus, in the midst of the simplicity and incoherence of their tracings we find, in their old parchments, the great lines of African geography almost as science now represents them. Most of these Portu- guese, with the exception of some missionaries, were but poorly educated; they travelled much oftener as traders than as experienced explorers ; nevertheless, we have almost the certainty that before the year 1500 they had furnished very precise information on the centre of Africa. In nearly all these maps, and in that of Lyons, the Congo Bows in a nearly straight line from Lake Zaire or Zembre to the Atlantic ; it bends only a very little to the north, and does not pass the equator, as we now know it does. As a sort of exception, there has been found among the riches of the National Library at Paris, a Spanish globe of copper (without date, but probably between 1530 and 1540), which is not content with presenting the same data, but which reproduces, with wonderful closeness, the course of the Congo as discovered by Stanley. The river issues from a lake, Bows towards the north, de- scribes a large curve well to the north of the equator, then turns west-south-west to the Atlantic. This is indeed a summary of the last journey of the intrepid American correspondent. Fig. I gives a perfectly accurate idea of a portion of this valuable globe. From all this it must not be concluded that Stanley has discovered nothing new. These discoveries of the ancient travellers, if genuine discoveries they were, seem to have ben forgotten as soon as they were recorded; and although the maps referred to above have been known for generations, no one ever seems. to have taken them as trustworthy guides to the lines of African exploration. Indeed, it is only now that Stanley has made a discovery never to be forgotten that these old maps have come to have a real interest, for we suspect that till now geo- graphers regarded the tracings as having their basis in the cartographers' imaginations. The glory of being really the first discoverers of the two Nyanzas, Nyassa, Tanganyika, Bangweolo, and the course of the Congo cannot be taken away from Speke and Baker and Burton and Livingstone and Stanley; or if so it must be by soz:ne ancient Arab or possibly Egyptian, many, many centuries ago, for there can be no doubt that long before Europe G 2 © 1878 Nature Publishing Group NATURE awakened to modern geographical enterprise, these great features of Central Afri ca were known; Herodotus had an inkling of them, and Ptolemy all but located the cen- tral lakes. The se mf.ldern explorers de serve the glory of first discoverers as much as Columbus deserves that of discoverer of America. Without then detracting from the originality of the work of modern explorers, it is evident that from the fifteenth century onwards some travellers whose names have fallen into oblivion but who may have been com- panions of Diego Cam and Martin Behaim, ventured into the heart of Africa; followed certain arteries of com- munication and discovered the course of the Congo ; geography kept possession of these discoveries for two centuries and gave them as articles of faith; besides, in the sixteenth and seventeenth centuries many Portu- gue se, Capuchins or simple traders, entered anew the interior, published the same facts, sometimes with cor- rections and additions. Father Ricioli, a Jesuit and very intelligent man, furnished the Fathers Placide, of St. Amien, and Cres- pinien, two laborious monks, with documents to prepare the Lyons globe, in I 7or. The actual constructor of the globe seems to ha ve been the celebrated Lyons me- chanician, Henri Marchand, in religion P ere Gregoire, a Franciscan, with the help of the Venetian Contarini, a pupil of Nolin, belon~ing to the Flemish cartographic system. Evidently this was the last word of science. Fig. 3 is a much reduced copy of the facsimile made from the globe by M. Deloncle, the reporter of the commission we have alluded to. How came it that just about the same time, about 1700, one of the princes of modern geography, Guillaume Delisle, was so badly inspired as to reconstruct an alto- F1c. x.-Pvrtion of a Span ~~h Globe of 15 30-40, f Jund in the National Library, Pa ris . get her New Afri ca in which he accumulated heresy on heresy? The Central lakes, the imm ense reservoir s of the Nile, disappear a t one stroke of the pen ; as to the Congo it is no longer connected with the lakes of the interior, although it is allowed to retain a little of its semicircular direction. The error accredited by a cele- brated geographer like Delisle made way. The old map of Africa was demolished stone by stone, so to speak. I n short the work was so well done that, after having piled nonsense upon nonsense, for tbe sake of peace, all was ex punged; aft er having believed in tribes with docr- heads, placed a few anthropopbagi everyw here a nd co~- founded countries situated a thou sand miles from each other, they ended by m ak ing a tabula rasa and leaving a white space where formerly were rightly placed the great lakes and sources of the Nile. Yet a few years and here was geography doubting, denying, and ridiculing th e follies of our predecessors. The students of geography of the period of 1840-50 were too much on their guard to commit the colossal blunder at that period of making the Nile issue from the lakes to the south of the equator.. "So far as concerns a part of Africa," to quote M. R . Cort am bert, in the article in La l\lature, "the past has been resuscitated: 'old things have become new.' That which was laughed at yesterday is taken seriousl y to-day. Then, my friends, these good ancestors of the fifteenth and sixteenth centuries, who counted among them Columbus, Gama, Magellan, and many oth er conquerors of the world, have not, perh aps, left altogether to their descendants of the nineteenth century the glory of invent- ing geography." From the r eport of the Lyons Commi ssion ,ve learn that the following works were probably acces s ible to the Flemi sh map-makers, and lat er to the constru ctors of the © 1878 Nature Publishing Group :June 6, 1878] NATURE I 51 Lyons globe :-r. The Geography of Ptolemy; 2. The "Portuguese Asia" of De Barros (r552); 3. The "De- scription of the Congo," by Pigafetta, according to Lopez (r592); 4- The" Historical Description of Ethio- pia" of Dom Francesco Alvarez" (1558); 5. The "Africa II of Leo Africanus (1556); 6. And the old maps and portulans. Among these old maps and portulans, those which appear at this period to have had a certain influence are :-r. The Medicean Portulan (1351); 2. The Catalan Atlas ( 137 5); 3. The Map of Mecia de Viledestes (1413); 4. The Map of Johannes Leardus (1448); 5. TheMappe- monde of Fra Mauro; 6. The Ambrosean Map (1480); 7. The Mappemonde of Juan de la Cosa (1500); 8. The Map of Diego Ribera; 9. The Spanish Mappemonde of the National Library, Paris (Fig. 3) (1540); IO. The 1701". F1G. 2. Maps of Ramusio, of Pigafetta, and of Hugues Lina schoten. In the detailed report which the Lyons Commission will communicate to the Society will be shown to what extent each of the above documents contributed to the establishment of the Flemish maps, on which probably the Lyons globe was more immediately based. The same Report will contain an investigation into the travels known or unpublished which, from the tenth century, have contributed to the progress of the African geography of the Middle Ages and of the Renaissance. This inves- tigation will include the following :-1. The Arab voy- ages and Compendia ; 2. The voyages of the mendicant Spanish friar of the fourteenth century; 3. The expe- dition of eight dominicans of Montpellier to the sources of the Nile (1317-1350), unpublished; 4- The travels of F1G. 3· FIG, ,.-Map of Stanley's Recent Journey Across Africa. FIG. 3.-Portion of a Globe of 1701, belonging to the Lyons Library, from a copy by M, Deloncle. the brothers Vivaldi, thirteenth century; 5. The expe- dition of the Catalan Ferrer in l 346, unpublished; 6. The voyages of Diego Carn; 7. The itineraries of the early pombeiros; 8. The "Eastern Ethiopia'' of Joan dos Santos; 9. The travels of Barbosa; 10. The exploration of the Dutch Jan van Herder, in the country of the Akkas, unpublished; l r. The Derrotero desde Lisboa Al Cabo de Bueno Esperanza y India Oriental, anony- mous and unpublished; 12. The description of the Congo, by Martinus Abarca de Bolea et Castro (1601), unpublished; 13. The "Universal Book of the Navi- gations of the World 11 (1590 ?), Spanish, unpublished; 14; The Travels of the Belgian Pierre Farde from Al?;iers to the Congo (1686), unpublished; 15. The "Travels of Manoel Godinho" (1663); 16. The Letters of Father Mariano, the Jesuit, on Kaffraria, &c., &c. The work undertaken by the Lyons Geographical Society is creditable to them in the highest degree and will result in a valuable addition being made to historical geography. Their work, as . the Commission rightly maintain, is to some extent international, and deserves the countenance and assistance of geographers a[l the world over. COSMIC METEOROLOGY 1 I I. I NFLUENCE of the Moon on the Earth's Ma[;nelism.-There is a fact in connection with the moon's influence on our earth for which an explanation is necessary, and M. Faye has proposed for this end a hypoth7si~ in ad_van_ce. He had already pointed out Dr. Lloyd s mvest1gat10n which showed that the diurnal magnetic vanat1ons could l Continued from p, , 28, OLD MAPS OF AFRICA 
work_wwbg3gv4hzeovacrhe52mpxpzm	----	Editorial Gerontology 2019;65:103–105 Pillars of Successful Research: Serendipity, Pasteur’s Axiom, Kairos, and Luck Published online: February 8, 2019 © 2019 S. Karger AG, Basel E-Mail karger@karger.com www.karger.com/ger DOI: 10.1159/000495861 For reasons I can only guess, I have apparently been a good teacher and mentor for many students and postdocs who later became highly successful scientists in many dif- ferent disciplines all over the world. In this Editorial, I will therefore try to discuss obvious and less salient circum- stances that impinge on the lives and professional achieve- ments of a scientist. Successful research depends on factors that are either inborn or acquired as well as spontaneously arising or consciously planned opportunities. Inborn prerequisites for successful scientific work include intellectual capacity – often restricted to a narrow scientific spectrum – pas- sion, original ideas, potential for lateral thinking, deter- mination for hard work (scientific results are based on 1% inspiration and 99% transpiration – Thomas A. Edison), and persistence. Constituents of a scientific career that can be planned to a certain extent are the choice of one’s specific research discipline or even special niche and the selection of an optimal working group or an institution led by a compe- tent mentor providing good and critical guidance through the jungle of your student days and your later indepen- dent life when you lead your own group or a larger enter- prise (do not forget that the best way to compete for a Nobel Prize is to first work in the laboratory of a Nobel laureate!). Finally, pure necessity in the course of a re- search project often leads to the development of new methods that are needed to overcome technical obstacles. In addition to these obvious ingredients of successful research, other, more ephemeral circumstances play es- sential roles. Some of these are intimately dependent on prior professional experience and therefore give prefer- ence to older scientists. For me, the most important rep- resentatives of these imponderabilities are Serendipity, Pasteur’s Axiom, Kairos, and, of course, pure luck. The term Serendipity is used in the English literature describing a finding that a person – in the present case a scientist – has originally not looked for. This notion was first coined by Horace Walpole, 4th Earl of Oxford (1717– 1797), alluding to an old Persian tale that described the adventures of the three princes of the land Serendip, the former island of Ceylon, now Sri Lanka. These princes swarmed out to their kingdom in disguise to look for typ- ical characteristics – wishes and achievements – of their people and were confronted continually with something different from their expectations. A telling example for a serendipitous finding is the dis- covery of America by Christoph Columbus or – more prosaic – that of the functional properties of Viagra. Ev- ery reader of this Editorial – including myself as its author – will certainly be able to cite numerous examples of ser- endipitous findings that occurred in the course of her/his own work and recall the surprise and satisfaction accom- panying this event. Equally important are discoveries based on Louis Pas- teur’s Axiom that “chance smiles at the prepared mind.” WickGerontology 2019;65:103–105104 DOI: 10.1159/000495861 In my own career, I was often confronted with unexpect- ed results from our own or other laboratories that I was able to interpret differently than my younger or less ex- perienced colleagues due to my longer and broader theo- retical and practical experiences. Thus, Serendipity and Pasteur’s Axiom are two no- tions that often contribute to the success of research de- pending on prior knowledge of a scientist. What about Kairos? Kairos has two meanings: on the one hand, it is the name of the ancient Greek god of the right moment or the right opportunity; on the other hand, it also denotes the right moment or opportunity itself that must not be missed because it will never arise again. The god Kairos is bald in front and wears a stack of hair on the back of his head (Fig.  1). Hence, a German proverb translated into English is “to seize an opportunity at its stack of hair.” In my own life as a group leader, teacher, and mentor, Kairos often meant the fortuitous gathering of exception- ally gifted young and older scientists at a certain period in our laboratory that created a unique collegial intellectual atmosphere, resulting in exceptional scientific moments and the beginning of many successful careers in different fields of research. All these considerations are, of course, not specific for research, but pertinent to all aspects of human life, and so is the least projectable, but most important facet – pure luck. For me, as the Editor-in-Chief of Gerontology, the year 2018 was again filled with pleasure and excitement upon the receipt of an ever-increasing number of interesting manuscripts for all sections. This was also the reason that we – together with the Editors for the topics Regeneration (Günter Lepperdinger) and Technology (Bijan Najafi) that so far were combined into one section – decided to run these as separate, independent sections starting in October 2018. One problem of being confronted with the increasing influx of so many manuscripts was their often purely de- scriptive nature. We have therefore added a sentence to our Mission Statement explaining that by definition, ger- ontology is interested in studies on mechanisms that pos- sibly underlie any described experimental, clinical, or other phenomenon. Furthermore, the Section Editors were instrumental in conveying the message to all authors that Gerontology is the only gerontological journal that addresses a very broad readership from many disciplines, requiring man- uscripts to be written in a style that can be understood by this diverse audience. As mentioned in my 2018 Editorial, the impact factor of Gerontology had risen above average for the year 2017. In 2018, a slight drop occurred due to the fact that our publishing house, Karger, had generously allowed us a significant increase of the number of pages for the evalu- ated period to work off our backload of accepted papers waiting in the pipeline. As every year, several members have rotated off our Editorial Board, and I would like to take this opportunity to thank them again for their intellectual input and dona- tion of time. Johannes Attems, Newcastle upon Tyne, UK, has to focus more intensively on a journal that he is editing and asked to be relieved from his duties as one of our three editors for the Clinical Section. He will, however, be fur- ther associated with Gerontology as a member of its Edito- rial Board. Peter Pietschmann, Vienna, Austria, an expe- rienced and highly competent member of our Editorial Board, will act as the new third Editor of the Clinical Sec- tion. Fig. 1. Agnostizi, Kairos-Relief von Lysippos, Kopie in Trogir, CC BY-SA 3.0. Pillars of Successful Research: Serendipity, Pasteur’s Axiom, Kairos, and Luck 105Gerontology 2019;65:103–105 DOI: 10.1159/000495861 David Gardiner, Irvine, CA, USA, has agreed to be- come the second editor for the new, independent Regen- erative Section, and Michael Schwenk, Heidelberg, Ger- many, will act as the second editor of the Technological Section. I am looking forward to our collaboration with great anticipation. Newly recruited members of the Editorial Board of Gerontology are Michael Beach, Marwan Sabbagh, and Timothy Farrell for the Clinical Section, and Dale Dan- nefer and Kira Birditt for the Behavioural Science Section. Thanks and Welcome! Finally, I would like to thank all Section Editors, mem- bers of the Editorial Board, reviewers, the staff of Karger – especially Mr. Nold, as the responsible representative for our journal – and Christine Süss from the Editorial office, for their ideas, dedication, and commitment to Gerontology during the year 2018! G. Wick, Innsbruck 
work_wyueu3an4vfihobep7yickme5m	----	JBR_57_1_Post_1800_BookReviews 177..219 as unprepared for the moral demands of satyagraha. His white associates Henry Polak and Joseph Doke, liberal with respect to Indians, shared his prejudices against Africans. Even with respect to indentured and working-class Indians, Gandhi’s sympathies were mobilized very late, and in response to their own initiative in launching a mass strike in Natal. To those of his biographers, such as Ramachandra Guha, who suggest that the politics of the colonized could assume only finite and accommodationist forms at this historical junc- ture, Desai and Vahed point to the more capacious political and moral imagination of other contemporaneous critics—in South Africa, Britain, and India—of empire and of racism. Desai and Vahed are to be commended for showing up the hagiographical limits of a good deal of the thinking on Gandhi. They are also adept at underlining the limits of his political imagination in his South African years, and his unwillingness to learn from his failures. But they tend to mar the effect of their findings both by adopting a tone of intemperate abrasive- ness and by reducing all moral complexity to a diagnosis of racism (and, in some instances, sexism and casteism). In every instance that offers the possibility of moral complexity, they choose the more ungenerous reading, which is also the less interesting one. Though they describe Gandhi as “carefully ambiguous” (272) about caste, they read him as effectively a defender of that institution. This is a significant distortion of his positions. Gandhi’s relation- ship to war is another case in point. His writings are (perhaps surprisingly) suffused with the language of war-making and soldiering. He admires soldiers for their fearlessness, which is manifested for him in the willingness to sacrifice oneself rather than to kill, and he commends this as a virtue the practitioner of satyagraha should cultivate. While one should not deny evi- dence of his moral compromises, his attitudes to war and soldiering are not invariably mani- festations of hypocrisy or servility to imperial ends, as the authors would have us believe. Nor does it seem entirely reasonable to read Gandhi’s account in his Autobiography of his compas- sion for the suffering of the Zulu victims of white brutality as a retrospective whitewashing of his own complicity; surely it is also evidence of a change of heart, however limited? In refusing to take on the challenge of these complexities—complexities that give us evidence of an histor- ical figure simultaneously flawed and capable of moral transformation—Desai and Vahed produce a text that is considerably less compelling than it might have been. Parama Roy University of California, Davis proy@ucdavis.edu MELISSA DINSMAN. Modernism at the Microphone: Radio, Propaganda, and Literary Aesthetics during World War II. Historicizing Modernism. London: Bloomsbury Academic, 2015. Pp. 247. $89.99 (cloth). doi: 10.1017/jbr.2017.218 Melissa Dinsman’s Modernism at the Microphone: Radio, Propaganda, and Literary Aesthetics during World War II valuably contributes to the burgeoning field of what one might call liter- ary radio studies. It is often a difficult proposition to publish at the end of a first academic wave, when a field or subfield has been staked out as significant, yet before a robust method- ology has emerged; such is the position of Dinsman’s book, which builds on the contributions of Todd Avery’s Radio Modernism (2006) and subsequent essay collections to reemphasize the salience of literary contributions to broadcasting. Surveying a host of writers who contributed to Second World War propaganda efforts—including George Orwell, Louis MacNeice, Dorothy Sayers, Ezra Pound, Archibald MacLeish, and Thomas Mann—Dinsman argues Book Reviews ▪ 193 at https://www.cambridge.org/core/terms. https://doi.org/10.1017/jbr.2017.218 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available mailto:proy@ucdavis.edu http://crossmark.crossref.org/dialog/?doi=10.1017/jbr.2017.218&domain=pdf https://www.cambridge.org/core/terms https://doi.org/10.1017/jbr.2017.218 https://www.cambridge.org/core that they used wartime radio to translate modernist aesthetics for a mass audience, thus blur- ring the lines between literature and propaganda. The war was, in Dinsman’s reading, a particularly fraught and paradoxically fruitful nexus for such efforts because of the intrinsic connection (most clearly delineated by Theodor Adorno) between war and radio; literary broadcasters deployed the medium, she argues, in order to combat its authoritarianism. As Dinsman sees it, the opportunity for forging net- works (with listeners, or between broadcasters) in some way redeems and reverses the always-already-weaponized nature of radio—as in, for example, the wartime facilitation of cos- mopolitan interchange in the BBC’s Indian Section under Orwell and Z. A. Bokhari, or the transnational outreach of Thomas Mann. Most of these networks were in fact transatlantic, and although the majority of the chapters concern BBC operations, the book also emphasizes the central role of the United States as both audience and staging area for anti-fascist propa- ganda. Yet Dinsman’s gestures toward large-scale theoretical claims are often less fully realized than the case studies themselves, which feature sensitive, granular readings of individual and often understudied works such as MacNeice’s Christopher Columbus (1944) and Dorothy Sayers’s The Man Born to Be King (1943). Least successful is the first chapter, serving as a kind of prequel, in which Dinsman relies most heavily on the Adornian equation of radio and war as a frame for interpreting Orson Welles’s The War of the Worlds (1940); this association is unconvincing when projected proleptically as a key element of audience consciousness. Oddly, Dinsman uses the film The Wizard of Oz (1939) to illustrate her claim that American audiences had already internalized the “socio-historical corre- lation between radio and war” (27), pointing to the Wicked Witch of the West’s “Surrender Dorothy” skywriting as an enactment of radio (“language in air”) that thus threatens invasion (32). Yet, as both Paul Saint-Amour and Patrick Deer have made clear (and as Virginia Woolf ’s Mrs Dalloway [1925] illustrates), aerial presence in the interwar period had long itself been ominous, both memory and harbinger of war, without the need for an associational chain to radio. And Dinsman’s argument for Welles’s broadcast as an anti-fascist warning that rendered overt audiences’ understanding of the war/radio connection—leading them to assume that Germans, not Martians, had invaded—is unfortunately too dependent on the now-debunked claims of audience “panic” promulgated by Hadley Cantril in 1940. Dinsman sees in the final destruction of the media system in The War of the Worlds, and in the “latent comparisons between the survival of media and the survival of humankind” (53), a parallel to Adornian pessimism about media, a stance that her literary broadcasters did not share. Dinsman argues for the decision made by her subjects to broadcast during the war as a refutation of such pessimism, and of a Kittlerian media determinism “in which human agency has little to no role” (2). Yet in doing so she makes implicit claims for a modernist authorial autonomy that does not reflect the collaborative and institutional realities of radio production, and that her case studies in fact contradict. Indeed, her strongest chapters are those that acknowledge most clearly the role of “networks,” whether technological, informal or institutional, in governing the character of the broadcasts she examines, not merely as an outgrowth of autonomous decision-making. In this respect, Dinsman’s most effective chapter is her analysis of Sayers’s religious play cycle, which is grounded in details of BBC processes and the wartime relationship between the Corporation and the Ministry of Information. Sayers’s 1941–42 plays on the life of Christ led to public outcry over what many deemed a blasphemous “impersonation.” Dinsman, like Alex Goody (whose excellent recent chapter on the episode was published too late to be referenced here) focuses in on the disjunction between sight and sound as mobi- lized by the parties to the controversy, pointing to the unseen, “acousmatic” voice of God as perhaps most perfectly captured through the medium of radio. Dinsman deftly moves between theoretical, historical, and literary registers to argue for the play as multivalent propa- ganda, emphasizing simultaneously the need for Christianity as a national antifascist force and the unifying power of trans-historical, implicitly transnational, allegory. The use of American 194 ▪ Book Reviews at https://www.cambridge.org/core/terms. https://doi.org/10.1017/jbr.2017.218 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available https://www.cambridge.org/core/terms https://doi.org/10.1017/jbr.2017.218 https://www.cambridge.org/core accent for some of the apostles (a key point of contention for critics) becomes a synecdoche for an affective link between allies; similarly, Dinsman argues, the complex work of “cultural trans- lation” (80) that marks MacNeice’s 1942 Christopher Columbus highlights the continuous process of wartime exchange. Equally engaging, though representing a distinct shift to the metaphorical, Dinsman’s chapter on Thomas Mann very usefully surveys his propaganda broadcasts from California to Germany (by way of the BBC). Dinsman intriguingly explicates Mann’s audio presence in his homeland by reference to the modernist trope of haunting, including Mann’s own visits to séances and their use in his novel The Magic Mountain (1924). If this chapter most obviously justifies the term “modernist” in the title of her monograph, it also, though satisfy- ing in its own right, feels methodologically distant from what has come before. The volume is ultimately most convincing as a set of distinct examples rather than an argumentative whole— yet it functions, too, as a vivid and salutary reminder of the centrality of radio to the conflict. Debra Rae Cohen University of South Carolina drc@sc.edu GRAHAM DOMINY. Last Outposts on the Zulu Frontiers: Fort Napier and the British Imperial Garrison. Urbana: University of Illinois Press, 2016. Pp. 279. $45.00 (cloth). doi: 10.1017/jbr.2017.219 Last Outposts on the Zulu Frontiers: Fort Napier and the British Imperial Garrison had its begin- nings in 1995 as Graham Dominy’s doctoral dissertation at the University of London, under the distinguished South African scholar Shula Marks. Dominy has since served as a National Archivist of South Africa, editor of Natalia: Journal of the Natal Society, a research fellow at the University of South Africa, and currently, honorary research fellow at the Helen Suzman Foun- dation. Fortunately for us, Dominy has kept alive his passion for Fort Napier, and this more deeply researched and mature book is the result. The establishment of the British Natal Colony, Pietermaritzburg’s occupation by the 45th Regiment of British infantry, and Fort Napier’s construction all began in 1843, following agreements made among the three major political powers in the region: the British, the Afri- kaners, and the Zulu. The military occupation of Fort Napier lasted seventy-one years, the longest occupation by British forces of a single South African fort (except for the Castle of Good Hope, in Cape Town), and arguably the longest in all of Africa. It ended in late August 1914, when the South Staffordshire Regiment sounded the last “Retreat” and headed off to the Western Front. In those seventy-one years, troops from Fort Napier participated in wartime campaigns only four times, totaling less than four years. The sixty-seven years of peace are therefore the study’s primary focus, structured chronologically and thematically over thirteen chapters. In chapter 1, Dominy selects important garrisons in the British Empire—the “open space” garrisons, as Halifax in Canada; the “jailer” garrisons, as in New South Wales and Van Diemens Land in Australia; the Maori Wars garrisons in New Zealand; and the longest lasting of all Britain’s outposts, Gibraltar. He argues that Fort Napier’s uniqueness lay in its longevity, the stability (real or imagined) it offered in a volatile region, the cultural and eco- nomic influences it exerted, and, above all, the fact that it “influenced not only a settler society, but a major African society [the Zulu] as well, thus justifying the sobriquet, ‘The Last Outpost’” of the British Empire (9). Book Reviews ▪ 195 at https://www.cambridge.org/core/terms. https://doi.org/10.1017/jbr.2017.218 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:28, subject to the Cambridge Core terms of use, available mailto:drc@sc.edu https://www.cambridge.org/core/terms https://doi.org/10.1017/jbr.2017.218 https://www.cambridge.org/core 
work_wyxrpxiqx5bfndyanjyqk5n5ca	----	Science Magazine NEWS 24 OCTOBER 2014 • VOL 346 ISSUE 6208 4 0 5S C I E N C E sciencemag.org By Ann Gibbons, in San Diego, California C all a man “tame” or “domesticated” and he’s not likely to take it as a compliment. But all of us, male and female, may have to get used to it: Some scientists believe that “self- domestication” was key to the evo- lution of our species. At a meeting here earlier this month, they argued that with our reduced jaws, flat faces, and lower male aggression, humans are as tame as many of the animals we live with. Like dogs, cows, and horses, we show many of the physical traits that emerge during animal domesti- cation. The accompanying changes in be- havior, especially among men, might have helped humans evolve more complex language, live atop each other in cit- ies, and work together to create sophisticated cultures. No one set out to domesti- cate humans, of course. But at the first-ever symposium on self-domestication of humans (see http:// carta.anthropogeny.org/ symposia/past_list), held here at the Salk Institute for Biological Studies, re- searchers outlined a set of linked behavioral and ana- tomical changes seen in ani- mals that humans have tamed as well as in creatures that have tamed themselves. In the course of evolution, some animals have overcome the fear and stress they feel when encoun- tering humans or unfamiliar members of their own species and become less aggres- sive. Bonobos, for example, are much less aggressive with each other than are their chimpanzee relatives, researchers noted. Other species may have tamed themselves to live alongside humans, such as seals and ancient cats. Researchers at the symposium pro- posed that something similar happened as human ancestors began to live in closer quarters, relying more on each other and on wider social networks to survive. By fa- voring more tolerant, less antagonistic in- dividuals, natural selection reshaped both our behavior and our appearance. “The hypothesis that humans may have domes- ticated themselves … has the potential to solve many of the long-standing problems of human evolution,” says linguist Rob- ert Kluender of the University of California, San Diego. The view of humans as domesticated dates back to 1871, when Charles Darwin wrote that “[m]an in many respects may be compared with those ani- mals which have long been domesticated.” Darwin also was the first to discover that selective breeding for tameness produced similar side effects in different animals, including smaller brains. Since Darwin’s time, others have con- firmed and expanded upon his obser- vations, identifying the elements of a “domestication syndrome.” In a renowned study started back in the 1950s, Russian researchers found that captive silver foxes bred for tameness also exhibited a suite of other traits, such as white patches of fur on their heads, curly tails, “feminized” faces with shorter snouts and floppy ears, and skulls in males that weren’t much larger than in females. “Just by choosing foxes that were less nasty, they got a suite of other changes,” says cognitive biologist Tecumseh Fitch of the University of Vienna. In a study in Current Anthropology in August, paleoanthropologist Robert Franciscus of the University of Iowa in Iowa City and his colleagues identified some of the same changes in recent human evolution. The team analyzed the projec- tion of the brow ridge, facial shape, and cranial volume of 13 early Homo sapiens that lived before 80,000 years ago; 41 mod- ern humans that lived 38,000 to 10,000 years ago; and skulls from a global sample of 1367 recent humans. They found that brow ridges shrank and faces shortened during the past 80,000 years, as our ancestors began to ex- hibit symbolic behavior and spread around the world. Cranial volume also diminished, particularly after the invention of agriculture about 10,000 years ago. All of these changes tend to make male faces look more like female ones, Fran- ciscus noted at the meeting, and are linked to lower testos- terone levels. He and his colleagues proposed that selection for higher levels of social tolerance led to lower levels of testosterone and stress hormones, es- pecially in males, and thus facial feminiza- tion. Studies of dog DNA have shown that the genes that regulate aggression affect development of facial shape, he reported at the meeting. Other speakers proposed that all of these traits, from hormone levels to craniofacial features, have a common root in early em- bryonic development. Fitch and co-authors Richard Wrangham of Harvard University and Adam Wilkins of Humboldt University in Berlin, who proposed their theory in July in Genetics, point out that these traits are controlled by so-called neural crest cells, which in vertebrate embryos form a neu- ral tube along the spine. As development proceeds, neural crest cells break away, migrating from head to toe to form tis- sues involved in pigmentation, muscles, teeth, bone, cartilage, and adrenal glands, which produce stress hormones as well as testosterone. The team proposed that this process is PH O T O S : T H E N A T U R A L H IS T O R Y M U S E U M / A L A M Y ( 2 ) b f s n br d o h a w a p l x e m Big brow ridges and teeth suggest that ancient Homo heidelbergensis (above) may have had more testosterone than modern Homo sapiens (left). HUMAN EVOLUTION How we tamed ourselves— and became modern ‘Self-domestication’ turned humans into the cooperative species we are today Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ By Andrew Lawler P olynesians from Easter Island and na- tives of South America met and min- gled long before Europeans voyaged the Pacific, according to a new genetic study of living Easter Islanders. In this week’s issue of Current Biology, re- searchers argue that the genes point to con- tact between Native Americans and Easter Islanders before 1500 C.E., 3 centuries after Polynesians settled the island also known as Rapa Nui, famous for its massive stone stat- ues. Although circumstantial evidence had hinted at such contact, this is the first direct human genetic evidence for it. In the genomes of 27 living Rapa Nui is- landers, the team found dashes of European and Native American genetic patterns. The European genetic material made up 16% of the genomes; it was relatively intact and was unevenly spread among the Rapa Nui popu- lation, suggesting that genetic recombina- tion, which breaks up segments of DNA, has not been at work for long. Europeans may have introduced their genes in the 19th cen- tury, when they settled on the island. Native American DNA accounted for about 8% of the genomes. Islanders enslaved by Eu- ropeans in the 19th century and sent to work in South America could have carried some Native American genes back home, but this genetic legacy appeared much older. The segments were more broken and widely scat- tered, suggesting a much earlier encounter— between 1300 C.E. and 1500 C.E. But did Polynesians land on South Ameri- can beaches, or did Native Americans sail 3500 kilometers into the Pacific to reach Rapa Nui? “Our studies strongly suggest that Native Americans most probably arrived [on Rapa Nui] shortly after the Polynesians,” says team member Erik Thorsby, an immu- nologist at the University of Oslo. He thinks that could support the controversial theory, posited by Norwegian adventurer Thor Heyerdahl more than a half-century ago, that Native Americans had the skills to move west across the Pacific. But many scientists say that Pacific cur- rents and Polynesian mastery of the waves make it more likely that the Polynesians were the voyagers. They may have sailed to South America, swapped goods for sweet potatoes and other novelties—and returned to their island with South American women. Sweet potato was domesticated in the Andean highlands, and researchers recently determined that the crop spread west across Polynesia before Europeans arrived (Science, 11 June 2010, p. 1344). Another hint of trans-Pacific exchange comes from chicken bones—unknown in the Americas before 1500 C.E.—excavated on a Chilean beach, which some believe predate Christo- pher Columbus. Skeptics say that genetic evidence from modern human populations is not enough to prove ancient contact. The genetic clock is often uncertain, says anthropologist Carl Lipo Lipo of California State University, Long Beach. “We need ancient DNA from skeletal evidence—not modern evidence— to resolve this question.” ■ NEWS | I N D E P T H 4 0 6 24 OCTOBER 2014 • VOL 346 ISSUE 6208 sciencemag.org S C I E N C E IL L U S T R A T IO N : © M A R Y E V A N S P IC T U R E L IB R A R Y / A L A M Y Wooden canoes like this one from Easter Island may have brought Native Americans and Polynesians together. drawn out in domesticated animals, be- cause domestication selects for animals that develop more slowly. Very young ani- mals—2- to 3-month-old puppies, for exam- ple—are naturally less fearful and produce less stress hormones. During that time, puppies exposed to friendly humans can learn to cooperate with people. Prolong- ing that period of development favors such learning, crucial to domestication. Other studies at the meeting confirmed that do- mestication lengthens development, with important consequences for behavior. For example, young domesticated Bengalese finches have a longer window of song learn- ing and so can learn more complicated songs than their wild progenitors, reported biopsychologist Kazuo Okanoya of the Uni- versity of Tokyo. But slower development also means that fewer neural crest cells reach their destina- tions, Fitch and colleagues argue. This af- fects everything from the adrenal glands to coloration of the fur on the face or tail and lengthening of the snout, creating the do- mestication syndrome, Fitch said. It would also explain why so many domesticated animals exhibit “neoteny”: They retain ju- venile traits as adults. Mature dogs look like wolf pups, and humans look more like chimp infants than chimp adults, research- ers noted at the meeting. In his talk, Wrangham argued that natu- ral selection triggered just such a process of delayed development and reduced ag- gression in humans. Ethnologists have observed that hunter-gatherers kill men who steal wives or kill others. As social ties became more important to survival, Wrangham thinks, human ancestors may have inflicted the same kind of capital punishment, weeding out males who acted with intense and confrontational aggres- sion. This doesn’t mean that humans are not “a dastardly species,” capable of war and torture, he noted, only that selection favored males who could work together, whether for peaceable ends or to carry out “low-arousal” or coalitional aggressive acts such as war. Others were intensely interested in this idea, but urged more tests. Fitch was among the first to point out the problems with his own team’s theory: Humans and bonobos don’t seem to have all the traits of the domestication syndrome—no floppy ears or white facial patches for us. A mech- anism other than delayed development of the neural crest therefore may explain some features of domestication in humans and bonobos. “It’s very daring to talk about the self-domestication syndrome,” Fitch says. “The hard work is figuring out how to test it.” ■ MIGRATIONS Epic pre-Columbian voyage suggested by genes South American DNA found in Easter Islanders Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ and became modern−−How we tamed ourselves Ann Gibbons DOI: 10.1126/science.346.6208.405 (6208), 405-406.346Science ARTICLE TOOLS http://science.sciencemag.org/content/346/6208/405 CONTENT RELATED http://science.sciencemag.org/content/sci/346/6213/1067.2.full PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American Association for the Advancement ofScience Copyright © 2014, American Association for the Advancement of Science o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/346/6208/405 http://science.sciencemag.org/content/sci/346/6213/1067.2.full http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_xckq42tsnfeh5hrr5t452w3nei	----	N. Whitehead The search for history in the native Caribbean and South America In: New West Indian Guide/ Nieuwe West-Indische Gids 74 (2000), no: 3/4, Leiden, 287-293 This PDF-file was downloaded from http://www.kitlv-journals.nl Downloaded from Brill.com04/06/2021 01:09:19AM via free access NEIL L. WHITEHEAD THE SEARCH FOR HISTORY IN THE NATIVE CARIBBEAN AND SOUTH AMERICA Bom to Die: Disease and New World Conquest, 1492-1650. NOBLE D. COOK. Cambridge: Cambridge University Press, 1998. 248 pp. (Cloth US$ 54.95, Paper US$ 15.95) An Account of the Antiquities of the Indians. FRAY RAMÓN PANÉ. Edited by José J. Arrom, translated by Susan C. Griswold. Durham: Duke University Press, 1999. 72 pp. (Cloth US$ 39.95, Paper US$ 12.95) Some Recoveries in Guiana Indian Ethnohistory. GERRIT BOS. Amsterdam: VU Uitgeverij, 1998. 361 pp. (Paper NLG 85.00) Each of these three volumes reflects a particular approach to the history of the Native Caribbean and South America, but despite their distinct methodologies and approaches they share a rather restricted view of the historiographical possibilities for knowing that past. None makes use of native testimony, nor do they consider ethnographic materials on native historicity. As such they represent a style of his- toriographical reasoning that has largely been supplanted by a broad range of archaeological, textual, and ethnographic works which seek to properly integrate these kinds of materials to reveal not just a history of others but others' histories. In Cook's Bom to Die we find a well-organized and clearly written summary of the major documentary evidence of the impact of epidemie disease on native demography in those areas of initial contact between European and indigenous Americans. However, such materials should already be reasonably familiar to both scholars and a wider audience not only through the publications of Cook himself, but also through those of Alfred Crosby, John Hemming, and Linda Newson. This is not to suggest that such a re-telling might not be useful for ped- agogical purposes, but it is evident that no new theoretical or empirical depar- tures are to be expected. Rather, this volume reads as a fine summary of the work of a number of scholars committed to demonstrating the significance of epi- demics in enabling the colonization of South America and the Caribbean. Downloaded from Brill.com04/06/2021 01:09:19AM via free access 288 New West Indian GuidelNieuwe West-Indische Gids vol. 74 no. 3 &4 (2000) However, in a wider context of contemplating the construction of indigenous his- tory, the "disease" model has some drawbacks. For example, it can all too easily appear as if the only determining fact of the colonial encounter was the demo- graphic impact it had on native populations. Certainly no one would want to min- imize the disastrous consequences of the spread of infectious disease on those populations, but the effect of Cook's presentation is to make it appear as if this was the only factor at play. It is notable, for example, that he does not consider the possibility of migration away from the centers of initial contact as a factor in the reports of population decline in a given locale. In a similar vein to the recent best-seller by Jared Diamond, Guns, Germs and Steel, the very title of the work, Bom to Die, implies an anti-historical inevitabil- ity to the fate of native populations that functions to ethically absolve the process of colonial occupation. Although Cook in no way minimizes the brutalities of colonial invasion and occupation, this is not the same as uncovering the copious evidence of native agency and response to such crises. In addition there is a marked tendency to project the often uncertain data on disease from one region into others, as in the discussion of the Venezuelan littoral (p. 50). Certainly there is no reason to suppose that there was no effect from epidemics but, as always with this notion of "history as higher-mathematics," to use David Henige's phrase, such speculation is apt to become accepted as proven through a constant repetition, not the evidence of historical sources. Disease was a constant aspect of native and colonial interactions and the effects of such diseases on the concentrated populations of the Caribbean islands, coastal Brazil and the Andes was signifi- cant. Missionary evangelism beginning in earnest in the latter part of the six- teenth century only served to enhance this effect through the conscious policy of re-settling native converts into missionary settlements. However, this represents only a partial historical understanding. Cook and others have played a major role in ensuring our awareness of the significance of disease in native and colonial history, but this is not in itself to have understood that history. Indeed Cook's account is otherwise steeped in rather suspect ethnology, especially with regard to the Caribbean, where once again (p. 20) he raises the specter of "cannibalistic Caribs" and "docile Taino (Arawaks)." This is justified by reliance on the report of de Cuneo from Columbus's second voyage which for Cook unaccountably "elic- its a greater level of confidence than most." Such reports, though never achieving the subsequent notoriety of Pané's Account (discussed below), attempted to define and locate political authority, cultural proclivity, and military ability, as a prelude to the conquest and enslavement of caribe populations, not as some dispassion- ate ethnological exercise. Cuneo portrays the Caribbean as riven by a fundamen- tal cultural dualism in which the cannibalistic and warlike caribe Indians threat- en to overwhelm Spain's natural allies, the aruaca or guatiao Indians. This portrayal then both licenses the legal enslavement of vast numbers of native peo- ples and allows the Spanish Crown to evade moral responsibility for the destruc- tion of Hispaniola by allusion to the depredations of the caribe. Downloaded from Brill.com04/06/2021 01:09:19AM via free access REVIEW ARTICLES 289 An inability to critically read the wider ethnological information thus elicits uncertainty as to the use of documentary materials more generally by Cook and other historical demographers. Given also the tenuous line of inference that underpins most assessments of epidemie disease and population numbers in the Americas, as Cook certainly acknowledges (p. 19), it is likely that more precise or accurate understanding of disease demography is actually unachievable. Ramón Pané's An Account of the Antiquities of the Indians was commissioned by Christopher Columbus in 1493, and despite its brevity is of singular signifi- cance to historians and anthropologists of the Caribbean. This is not just because of the descriptions it gives of the natives of Hispaniola, but also for the way in which its many linguistic and textual transformations through the centuries have made it a continuing vehicle for historiographical and anthropological debate. In one sense it is not difficult to see why this should be so, for the Account itself is actually rather confusing if not incoherent, unfinished, and often enigmatic in its choice of ethnographic subject matter. Nonetheless, it remains the first and only extended account of the myth, ritual, and cosmology of the native people on Hispaniola. Moreover, as the Account was personally commissioned by Christopher Columbus it is also infused with the aura of that name. This close asso- ciation of the Account with the tribulations of the Columbus family is also perti- nent to understanding the form in which the Account is presented here, since the text survived only in Italian translation, having been hastily incorporated wholesale into the biographical apology for his father that Ferdinand Columbus produced as part of his legal efforts to regain family possession and titles on the island. However, despite the uniqueness of the Account as a document of initial con- tact with the indigenous population, the fact that the native population of Hispaniola had all but disappeared by the 1530s meant the Account was in its own time a historical record of vanished native cultures. These aspects of Pané's Account also speak to us in a very contemporary way for they highlight the con- nections between the anthropological gaze and colonial desire, between the pro- fessional practice of anthropology and its cultural meaning. The need for an ethnography of Hispaniola stemmed not from an abstract interest in human vari- ety but a pragmatic interest in the control and conversion of the native popula- tion and it is for this reason that Pané presumably focuses as much as he does on the cosmological and ritual practices of the Hispaniolan elite. However, the nature of indigenous culture and society in 1492 has remained a matter of dispute among historians and anthropologists. In particular there is profound disagreement on such issues as the very existence of a discrete "taino" culture, the identity of the caribe, and the nature of their cultural and social inte- gration with the peoples of Hispaniola, Cuba, and Puerto Rico. Thus it must be noted that the term "taino" is a purely nineteenth-century invention by the anti- quarian C.S. Rafinesque. It derives from the phrase, recorded in the contempo- rary documentation, ni-taino, meaning "my-lord." There is no evidence that this phrase was ever used by native people to designate their own ethnic identity or Downloaded from Brill.com04/06/2021 01:09:19AM via free access 290 New West Indian GuidelNieuwe West-Indische Gids vol. 74 no. 3 &4 (2000) that of others. In fact it was the term guatiao that was used to generically indi- cate "allies" or "friends" and which appears in the contemporary Spanish records. Arrom is no stranger to these controversies and he has chosen a path through them that is reflected in his introduction and annotation of Pané's Account. This is not the first time that the Account has been translated into English, or present- ed along with the redacted versions in Bartolomé de Las Casas's Apologética Historia (Madrid, 1909) and Pietro Martire d'Anghiera's Décadas (Seville, 1511), but unlike these former works, the translation offered here is not a new translation of the Italian original, but rather of Arrom's 1987 Spanish language version. In that Spanish edition Arrom essentially took up the linguistic and ety- mological debate that had been initiated by E.G. Bourne's translation and anno- tation (1906). Arrom demonstrated the fallacy of a number of Bourne's interpre- tations and went on to provide a series of new identifications and interpretations of the names and words found in Pané's Account. This was a useful exercise since the complexities of this document's orthogra- phy are intricate. Pané transcribed the native terms he collected, not in his natal tongue (Catalan) but in Castilian. This version was then translated into Italian for inclusion in a Venetian publication of Ferdinand Columbus's biography of his father. As Arrom acknowledges, this makes reconstruction of the ethnographic and ortho- graphic information very problematic indeed. Bourne (1906:316) even suggested, in the face of these linguistic transformations of the original, that the Latin version of Martire d'Anghiera, and the Spanish abstract made by Las Casas, may be closer to Pané's Spanish original than the Italian translation made by Alfonso de Ulloa. However, beyond matters of orthography the hermeneutic approach that Arrom espouses is very limited and takes no account of the explosion over the last decade of interest in these testimonies of culture contact. This undermines the usefulness of this edition in three key ways. First, it is critical that we not only read the Account as a text, but also as a text with a context to its production. For example, this might lead to a more critical assessment of how the Account func- tioned in the context of demonstrating Columbus family claims to Hispaniola. In this way one may come to see the Account 's lapses and lacunae as a product of this context of production, and not simply of the ethnographic shortcomings of Pané himself - even if this remains a most relevant consideration. Second, the field of anthropological and historical linguistics has recently undergone a shift in theoretical perspectives such that the basic language classi- fications of twenty years ago are no longer universally accepted as valid, instead often being seen as descriptive of little more than the word lists that were used to construct them. There is now a far greater interest in the careful discrimination of speech-communities, rather than formal linguistic structures, and this means that orthographic analogies are at best suggestive and at worst misleading when used to supply hypothetical etymologies. This view of linguistic practice and plu- rality also has profound implications for a notion of "taino" culture, such as it is projected by Arrom, though not by Pané who never uses the term. The notion of Downloaded from Brill.com04/06/2021 01:09:19AM via free access REVIEW ARTICLES 291 the "taino" may have importance for Antilleanists, but this does not obviate the question of its ethnological accuracy for designating past populations. Third, a quite considerable literature has developed in the last few years con- cerning both the native population of the Caribbean and the history of native soci- ety and culture in South America more generally. These new analyses and the kinds of data on which they are based might now be fruitfully used for a broader reading of Pané's Account and its "implicit understandings," as well as the more overt eth- nological items, with which Arrom chiefly deals. Moreover, much more could be made of the nature of Pané's ethnographic experience, its wider implications for a reading of his Account, and the context of other contemporary ethnological writ- ings. In this manner the significance of the materials Pané presents, the forms of representation he chooses, and the argumentation by which they are interpreted, as well as the lacunae, necessarily become integral to the textual commentary. For this edition Arrom has chosen a very limited approach - to try to recon- struct and/or make systematic the original Spanish manuscript of Pané, now lost. This project originates with the nineteenth-century Cuban intellectual Antonio Bachiller y Morales, as Arrom acknowledges (p. 83), and is entwined with the laudable ambitions of Antilleanist scholars to give due weight and significance to the Amerindian heritage of the Caribbean through a serious scholarly attempt to reconstitute its cultural and linguistic forms. Unfortunately this is apt to lead to the erasure of significant ethnological information, as is the case with Arrom's reconstruction of the term naboria (p. 36). Arguably the term giahuuauariü, as given in the Italian translation of Pané's Account (note 138), is actually cognate with inhawu / oubéerou, native terms for a female concubine. It should be clear, then, that Arrom's translated text is actually a mix of the Italian translation made by Ulloa, the "epitome" made by Martire d' Anghiera, and the descriptions given by Las Casas in the Apologetica Historia. This has been done due to the possible shortcomings in Pané's linguistic and literary abilities, and with the presumption that the materials from Martire and Las Casas should be given ethnological and linguistic priority (note 82) over Pané's own descriptions. While this procedure certainly makes the text more accessible, it is fraught with potential error. Thus Martire d'Anghiera, unlike Las Casas, never went to the Indies, much less Hispaniola, and Pané himself certainly shows an admirable degree of that reflexivity and awareness that observation is born of expectation as much as experience. In point of fact Pané is ethnographically reflexive on pre- cisely the issues of his lack of a systematic portrayal of native culture (pp. 10, 12, 17, 20, 22, 42), as he is no less frank about missing information that he failed to collect (pp. 18-19). In this way the text itself may be said to implicitly illustrate the context for Pané's ethnography. Through a close reading of his Account we may be able to perceive some of the nuances of the varying political interests and ritual proclivities of the native population. This is particularly so in the passages that discuss the conversion of the lord Guarionex (pp. 38-41). Equally in need of further interpretation and commentary are the descriptions of the zemi cult and its attendant ritual, since only the putative etymologies and Downloaded from Brill.com04/06/2021 01:09:19AM via free access 292 New West Indian GuidelNieuwe West-Indische Gids vol. 74 no.3 &4 (2000) translations of the names of zemis are discussed here by Arrom. This precludes consideration of other aspects of the descriptions in Pané's Account that would be considered central by historical anthropologists, such as the prophecy of the Spaniards' arrival by a zemi (p. 35), or the elite nature of zemi worship. The rel- ative scarcity of zemi worship outside Hispaniola, which Las Casas emphasizes (pp. 65 ff), also seems to directly contradict the idea of a unitary, or even very widespread, "taino" culture, as described by the Account. Indeed, both Pané and Las Casas seem to imply that their observations related rather more to the prac- tices of the rulers than the ruled. These themes will therefore need to be explored further before a more adequate interpretation of Pané's Account can be achieved. Bos's Some Recoveries in Guiana Indian Ethnohistory is not a high profile, theoretically committed work in the way that the volumes by Arrom and Cook are, but his engagement and patiënt fascination with the minutiae of the histori- ography of the region is something of a welcome relief. The idea of "antiquari- an" seems to best sum up Bos's approach to a number of historical sites and issues. These include the history of the Pirara portage (also recently discussed by Peter Rivière [1995]), the evidence for the existence of certain elusive ethnicities (such as the Wai-wai and the Paragotos), a digest and discussion of an important document of native testimony from the period of Moravian evangelism, and the "mythical tribes" or monstrous races of native imagination. However, Bos's methodology is eclectic and untroubled by wider questions of historical repre- sentation, so although he provides an excellent and intricate discussion of source materials (precisely what is lacking in the Arrom and Cook volumes), he does not address the wider discursive properties of the documentary materials he discuss- es. In particular his discussion of the "mythical tribes" could have led to impor- tant conclusions about the nature of native mythical and historical consciousness and its interaction with European notions of alterity. Nonetheless, this volume will delight those with an interest in the complexities of Guiana historiography and the author is to be commended for his singular dedication to such questions. These three volumes make it clear that much still needs to be done in order to supplant previous ways of knowing the past - that we need to go beyond recapit- ulations of the colonial ethnology, enumeration, and extinction of native peoples. R E F E R E N C E S BOURNE, E.G., 1906. Columbus, Ramon Pane and the Beginrïings of American Anthropology. American Antiquarian Society 17:310-48. RIVIÈRE, PETER, 1995. Absent-Minded Imperialism. London: Tauris. Downloaded from Brill.com04/06/2021 01:09:19AM via free access REVIEW ARTICLES 293 NEIL L. WHITEHEAD Department of Anthropology University of Wisconsin Madison WI 53706, U.S.A. <nlwhiteh@facstaff.wisc.edu> Downloaded from Brill.com04/06/2021 01:09:19AM via free access 
work_xghnyy3pmjfxvmpujfdyrvpe5e	----	11224_2009_9453_20_3-web 355..359 E D I T O R I A L Glenn T. Seaborg; discoveries; and the capital of knowledge Balazs Hargittai Æ István Hargittai Received: 30 March 2009 / Accepted: 30 March 2009 / Published online: 15 April 2009 � Springer Science+Business Media, LLC 2009 Abstract Ten years from Glenn T. Seaborg’s death we remember his achievements; his teaching about the importance of basic research is as timely as ever. Keywords G. N. Lewis � Nuclear chemistry � Transuranium elements � Presidential advising � Twenty-first-century chemistry ‘‘… knowledge capital—a product of basic research—… might also allow us to compensate somewhat for declining physical capital and higher cost resources.’’ Glenn T. Seaborg [1] Glenn T. Seaborg (1912–1999) with ion-exchanger column of actinide elements in 1950 (courtesy of Lawrence Berkeley National Laboratory) A giant of chemistry departed a decade ago the impor- tance of whose oeuvre extends much beyond anniversaries; yet 10 years from his passing away provides a nice opportunity to make a special remembrance of him. He was born in a little mining town Ishpeming in Northern Michigan 1912, where his father was a machinist, which Seaborg thought was as close to science as somebody could B. Hargittai (&) Saint Francis University, 117 Evergreen Drive, Loretto, PA 15940, USA e-mail: bhargittai@francis.edu I. Hargittai Department of Inorganic and Analytical Chemistry and Materials Structure and Modeling Research Group of the Hungarian Academy of Sciences, Budapest University of Technology and Economics, P.O. Box 91, H-1521 Budapest, Hungary e-mail: istvan.hargittai@gmail.com 123 Struct Chem (2009) 20:355–359 DOI 10.1007/s11224-009-9453-9 be in that environment. His entire family was Swedish and Swedish was the first language Seaborg learned to speak. In 1951, he started his Nobel address in his mother tongue. He shared the chemistry award with Edwin M. McMillan ‘‘for their discoveries in the chemistry of the transuranium ele- ments. It was a long way from Ishpeming to Stockholm. When Seaborg was 10 years old, the family moved to California, where he graduated from high school in Los Angeles in 1929. He became a student of the University of California at Los Angeles and received his bachelor’s degree in Chemistry in 1934. For graduate studies, he moved to Berkeley and took his Ph.D. degree in Chemistry in 1937. He wrote his thesis about the inelastic scattering of neutrons. Following the receipt of his doctorate, Seaborg served as Gilbert N. Lewis’s personal assistant at Berkeley for 2 years. Seaborg wrote warmly about this unique experience [2]. When he was asked to identify the greatest scientists he met during his long career, he named Lewis and Enrico Fermi. Seaborg worked with an unusually large number of people on his many discoveries. He contributed to the discovery of 10 new elements and over a hundred new isotopes of elements. Much of his career was at the Uni- versity of California at Berkeley where he became instructor of chemistry in 1939, assistant professor in 1941, and professor in 1945. Edwin McMillan led a group, which discovered element 93 by making uranium capture a neutron and, following beta-emission (the ejection of an electron from the nucleus) the element of atomic number 93 was formed. They called it neptunium, Np, after the planet Neptune orbiting next, outwards, after Uranus. After McMillan’s departure for other defense-related research, Seaborg and his colleagues took over the project. They detected the next transuranium element, formed by another beta-emission; it had atomic number 94. It was given the name plutonium, Pu, after Pluto, orbiting next outside Neptune, which at that time was considered to be a planet though today it no longer is. The nuclear reactions are depicted here in short-hand notation: 92U-238 þ n ! 92U-239 92U-239 ! 93Np-239 þ b 93Np-239 ! 94Pu-239 þ b In 1941, Seaborg, together with Emilio Segrè and Joseph W. Kennedy, showed that plutonium was fissionable and it became the fuel of the second atomic bomb exploded over Nagasaki in 1945. In 1942, Seaborg joined the Manhattan Project and became a group leader at the Metallurgical Laboratory at the University of Chicago. Here it was that the non-fissionable uranium-238 isotope was converted into plutonium-239. The procedure was further developed at the Clinton Engineer Work in Oak Ridge, Tennessee, and served as the basis for the breeder reactors at the Hanford Engineer Works in Washington. During World War II, there were frenetic activities in the research of the properties of newly discovered trans- uranium elements. Manuscripts describing the results were duly compiled and submitted to journals, but were volun- tarily withheld from publication until the end of the war. Thus, for example the pivotal paper ‘‘Properties of 94(239)’’ was received by The Physical Review on May 29, 1941, but appeared only in the combined numbers 7 and 8, Volume 70, in October 1946. After World War II, Seaborg returned to Berkeley, but remained also part of national politics through his much appreciated advising from President Truman to President Reagan. He was a member of the General Advisory Committee (GAC) at the time of the great debate about the issue whether the United States should embark on an accelerated program of developing the hydrogen bomb. The GAC was an advisory body consisting of important scientists, which augmented the Atomic Energy Commis- sion created after the war for directing American policy in matters of nuclear energy. The GAC held long sessions at the end of October 1949 and the outcome of the GAC meeting concerning the development of the hydrogen bomb could not have been easily predicted. On the one hand, there was the Soviet menace whereas on the other hand, the hydrogen bomb, utilizing thermonuclear reaction of fusion of light nuclei was promised to be a thousand times more powerful than the atomic bombs. Gradually, however, the scale during the sessions was increasingly shifting toward opposing a crash program to develop the thermonuclear bomb. The only dissenting voice was Glenn T. Seaborg’s, who was the only member absent from the meeting, but who had sent a letter to the chairman of the GAC. There were two crucial sentences in Seaborg’s letter that showed unambiguously his stand in the matter of the discussion. Both sentences were formulated with utmost care and one can almost sense the tormenting hesitation of their author: ‘‘Although I deplore the prospects of our country putting a tremendous effort into this [the ther- monuclear bomb], I must confess that I have been unable to come to the conclusion that we should not.’’ Then, a little later in the letter, ‘‘My present feeling could perhaps be best summarized by saying that I would have to hear some good arguments before I could take on sufficient courage to recommend not going toward such a program.’’ Concerning his dissent from the rest of the GAC members in his letter to Oppenheimer, Seaborg could have raised his objections upon his return, during November and 356 Struct Chem (2009) 20:355–359 123 December, but he did not. At the time, Seaborg was a junior member of the GAC, who, eventually, would develop into a seasoned diplomat in addition to being a world-renowned scientist. Apparently he preferred to keep quiet for the duration of this debate. As is well known President Truman decided to have the hydrogen bomb developed. For a long time it was not known, but we know it today, that at the time of the American debate, the Soviet Union had already been deeply involved in developing its thermonuclear weapons. Seaborg served as chairman of the U.S. Atomic Energy Commission for longer than anybody, between 1961 and 1971. During this decade he spent a lot of time in Wash- ington, DC, whereas at other times he continued his research and educational activities at Berkeley. Consider- ing Seaborg’s principal role in the discovery of plutonium and in the determination of its properties, an embarrassing scene played out at a Senate hearing in 1970. It demon- strated the ignorance of the chairing senator when he asked Seaborg derisively, ‘‘What do you know about pluto- nium?’’ [3]. However, such episodes were rare and Seaborg enjoyed being involved in high politics for decades. Sea- borg served 10 American presidents. He started keeping a journal at the age of 14, which was at the time of the Coolidge administration and published his documents and lessons from his encounters in 1998 [3]. Seaborg received many awards and distinctions, but none gave him as much joy as having an element named after him. In 1995, he was greatly disappointed when it seemed that this would not happen on account of his being alive and the appropriate organizations did not want to name an element after a living person. This followed a long story of sorting out the priorities in the discovery of ele- ment 106, because the discoverers have the right to propose a name for a new element. The original discovery happened in 1974, and in 1993, the eight discoverers—members of the Lawrence Berkeley, including Seaborg, and the Lawrence Livermore Labora- tories—were asked to suggest a name for the element. The votes diverged greatly; suggestions included Luis Alvarez, Frédéric Joliot, Isaac Newton, Thomas Edison, Leonardo da Vinci, Christopher Columbus, Ferdinand Magellan, Ulysses, George Washington, Peter Kapitza, Andrei Sa- kharov, and the country Finland. The group (without Sea- borg) soon came together in a unified suggestion to name the element seaborgium after Seaborg. The final decision was made in Geneva on August 30, 1997 and seaborgium was adopted for element 106. Alas, Seaborg could not enjoy this new fame for long; 1 year later he suffered a stroke and died in half a year. Of course, Seaborg’s name is commemorated not only by element 106, but also by his many other discoveries. He gave the periodic table of the elements its final form in that he designated the actinides their proper place. The actini- des with atomic numbers 89, 90, 91, etc., are characterized by their 5f electron shell being gradually filled. The series starts with actinium just as the lanthanides start with lan- thanum. The actinides have similar chemical properties; absorption spectra in aqueous solution and crystals; crys- tallographic characteristics; magnetic susceptibilities; and spectroscopic data [4]. When Seaborg came to his new theory of the actinide series, he shared it with some col- leagues before he published it. People warned him that publishing his theory might ruin his reputation. This sort of caveat is common when discoverers come to revolutionary ideas. Seaborg, however, felt very sure of the correctness of his theory; besides, he did not think he had yet gained much reputation yet to ruin. He published his theory and gave a new appearance to the periodic table of the elements [5]. Seaborg’s fascination with the new elements was shared by others. An article in the magazine Discover in 1998 compiled an address of an imaginary letter to Seaborg using only element names in the following way: seaborgium (addressee: Seaborg) lawrencium (Lawrence Laboratory) berkelium (Berkeley) californium (California) americum (United States) Seaborg himself gave the answer to the question of why it was so important for him to have an element named after him. He said that even one thousand years from now it will still be seaborgium whereas by then what he did would probably have long before disappeared in oblivion. He would have gladly traded away his Nobel Prize for having the element 106 named after him, had such an exchange been possible. In the end all turned out to be all right. Incidentally, when Seaborg noted that sooner or later his works will disappear from collective memory, he did his best to slow down such a process. He himself edited the publication of his selected papers and furnished the col- lection with his commentaries. Characteristically, the vol- ume was titled Modern Alchemy referring to his feat of turning even ordinary elements into gold, alas, the econ- omy of the process was not viable [6]. Part of Seaborg’s legacy is his teaching and this is why, in conclusion, we quote Seaborg’s thoughts for the future, which he sent one of us shortly before he passed away [1]: Struct Chem (2009) 20:355–359 357 123 Some Thoughts for the Future An important factor in the future, transcending the science of chemistry, will be the new public attitudes toward basic science and science in general—that is, the growing attitude toward ethical and human value considerations. The focus of this concern often is not on the question of whether the work is worth doing but instead on whether its potential harmful impact may outweigh any good it could do —that is, whether the research or project should be initiated at all. This attitude is affecting work on energy resources and technologies, biological research, aircraft development, and advances in the social sciences and education. This is going to have an increasing effect on the support and conduct of science, and I think most scientists are recognizing this. As in the other cases of new influence, it is going to have its good and bad effects. Essentially, it is vital that science does serve the highest interest of society and contribute to the fulfillment of human values. And I believe that the science community for the most part is acting very responsibly and responsively in this direction. In many areas of research, such as genetic experimentation, atmospheric work, and the effects of chemicals on human health and the envi- ronment, it has taken the lead in placing human concerns above all. But it should be realized that while there are certain values and ethical codes of a universal nature, there are also values that are more closely associated with the tastes, likes and dislikes, habits, and culturally induced beliefs of various individuals and groups attuned to certain so-called lifestyles. In a democratic society—and particularly one of growing advocacy and activism—there are bound to be many conflicts over these. And science and technology, with their increasing influence on life in general, certainly will be caught up in many of these. If this is the case, it may be essential that we find a way to establish some broad codes of conduct and values by which we can use science and technology to maximize human benefits within a framework of some type of con- sensus value scale. It seems to me that we must do this in order to avoid being paralyzed by a kind of case-by-case value judgment of all that we do. This does not mean that technology assessments and risk/ benefit studies of individual concepts should not be conducted. Nor does it mean that science should not maintain a most profound sense of responsibility toward safeguarding society from possible errors on its part or misapplications of its work. It does mean, however, that we must find a way to avoid having a ‘‘tyranny of parochial interests’’ when it comes to the possibility of advancing the general good through scientific progress. Perhaps I can summarize by suggesting that future directions of chemistry, and science and technology in general, may be influenced by two broad goals: more fully establishing the boundaries—physical, environmental and social—in which we can operate; and providing the knowledge capital that will allow us to operate within them. That knowledge capital—a product of basic research—upon which we have drawn so heavily in the recent past and which we must replenish with new ideas might also allow us to compensate somewhat for declining physical capital and higher cost resources. Finally, a few general thoughts. Our success in chemistry, and science in general, over the past century, and especially the last few decades, has brought us to a high level of material affluence, but this success also has fostered many new problems for the world. It also has given many people the notion that science should move us toward a utopian, prob- lemless, riskless society. But this is a false notion. We live and always will live in a dynamic situation, amid problems whose solutions will breed other kinds of problems, and in a society where the leaps of progress will be proportionate to the risks taken. Even within the bounds of a ‘‘steady-state society,’’ a ‘‘no-growth society,’’ or any other scheme of population- resource-energy equilibrium we might achieve, there always will be change and creative growth that will challenge the human intellect. There always will be dangers, risks, and increasing responsibilities that will drive us toward a new level of excellence in all we do or try to achieve. This is the process of human Glenn T. Seaborg and István Hargittai at the Springer-Verlag booth of the American Chemical Society spring 1995 meeting in Anaheim, California (by an unknown photographer) 358 Struct Chem (2009) 20:355–359 123 evolution at work, a process that started with man’s ascendancy and will continue for some time. Acknowledgment Our research is being supported in part by the Hungarian Scientific Research Foundation (OTKA No. T046183). References 1. Hargittai I (2003) Candid science III: more conversations with famous chemists ‘‘Glenn T. Seaborg’’. Imperial College Press, London, pp 2–17 2. Seaborg GT (1995) Chem Intelligencer 1(3):27–37 3. Seaborg GT (1998) A chemist in the White House from the Manhattan Project to the end of the Cold War. American Chemical Society, Washington, DC 4. Seaborg GT (1949) Nucleonics, November, 149–169 5. Clark DL, Hobart DE (2000) Los Alamos Science 26:56–61 6. Seaborg GT (ed) (1994) Modern alchemy: selected papers of Glenn T. Seaborg. World Scientific, Singapore Struct Chem (2009) 20:355–359 359 123 Glenn T. Seaborg; discoveries; and the capital of knowledge Abstract Acknowledgment References << /ASCII85EncodePages false /AllowTransparency false /AutoPositionEPSFiles true /AutoRotatePages /None /Binding /Left /CalGrayProfile (None) /CalRGBProfile (sRGB IEC61966-2.1) /CalCMYKProfile (ISO Coated v2 300% \050ECI\051) /sRGBProfile (sRGB IEC61966-2.1) /CannotEmbedFontPolicy /Error /CompatibilityLevel 1.3 /CompressObjects /Off /CompressPages true /ConvertImagesToIndexed true /PassThroughJPEGImages true /CreateJDFFile false /CreateJobTicket false /DefaultRenderingIntent /Perceptual /DetectBlends true /ColorConversionStrategy /sRGB /DoThumbnails true /EmbedAllFonts true /EmbedJobOptions true /DSCReportingLevel 0 /SyntheticBoldness 1.00 /EmitDSCWarnings false /EndPage -1 /ImageMemory 524288 /LockDistillerParams true /MaxSubsetPct 100 /Optimize true /OPM 1 /ParseDSCComments true /ParseDSCCommentsForDocInfo true /PreserveCopyPage true /PreserveEPSInfo true /PreserveHalftoneInfo false 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work_xk6cbfgkgjhldi2lkpddfwlwzu	----	PII: S0364-0213(77)80005-0 Definite Descriptions and Semantic Memory* A N D R E W O R T O N Y A N D R I C H A R D C . A N D E R S O N University of Illinois at Urbana-Champaign Subjects were exposed to sentences containing "direct" and "indirect" uses of names and definite descriptions. On a subsequent recognition test incorrect rejections tended to be of sentences involving indirect uses, and false alarms to sentences involving direct uses. This finding is contrary to the predictions of models that suggest indiscriminate substitution of names for descriptions, as do those of Anderson and Bower, and Rumelhart and Norman. The implication is that models of semantic memory must incorporate distinct intensional and extensional representations to avoid semantic distortion. A d e f i n i t e d e s c r i p t i o n is a p h r a s e w h i c h p u r p o r t s to u n i q u e l y i d e n t i f y o r r e f e r to an e n t i t y , as d o e s , f o r e x a m p l e , The first president of the United States. A c o m p l e t e p s y c h o l o g i c a l t h e o r y o f s e m a n t i c m e m o r y m u s t f a c e the p r o b l e m o f how p r o p o s i t i o n s i n v o l v i n g d e f i n i t e d e s c r i p t i o n s are to be r e p r e s e n t e d . S u c h e x p r e s s i o n s h a v e b e e n d i s c u s s e d b y A n d e r s o n and B o w e r ( 1 9 7 3 ) , w h o stated: O n e o f the m o r e i n t e r e s t i n g f e a t u r e s o f our s i m u l a t i o n p r o g r a m is the w a y in w h i c h it treats d e f i n i t e d e s c r i p t i o n s . S u p p o s e that the p a r s e r e n c o u n t e r e d an input s e n t e n c e such as " T h e f'trst P r e s i d e n t o f the U n i t e d S t a t e s w a s a g o o d h u s b a n d . " I t w o u l d take the d e f i n i t e d e s c r i p t i o n " X w a s the first P r e s i d e n t o f the U n i t e d S t a t e s , " m a t c h that to m e m o r y , d e t e r m i n e that X is G e o r g e W a s h i n g t o n , and then e n c o d e in m e m o r y t h a t " G e o r g e W a s h i n g t o n was a g o o d h u s b a n d . " T h u s , no r e c o r d w o u l d b e l e f t in H A M ' s m e m o r y to the e f f e c t that the assertion h a d b e e n m a d e u s i n g a d e f i n i t e d e s c r i p t i o n rather than a p r o p e r n a m e . (p. 248) One o f the r e a s o n s w h y A n d e r s o n and B o w e r t h i n k the m a t t e r o f d e f i n i t e d e s c r i p t i o n s is i n t e r e s t i n g and i m p o r t a n t is that t h e y b e l i e v e this s a m e p r o c e d u r e o f substitutions u n d e r l i e s visual r e c o g n i t i o n as w e l l . R u m e l h a r t and N o r m a n (1973) d i s t i n g u i s h an o c c u r r e n c e o f a d e f i n i t e *This work was supported in part by the National Institute of Education, under contract HEW NIE-G-74-0007. Reprints may be obtained from Professor Andrew Ortony, University of Illinois at Urbana, 1005 W. Nevada, Urbana, I11. 61801. 74 DEFINITE DESCRIPTIONS AND SEMANTIC MEMORY 75 description in what they call a " n o m i n a l s e n s e " f r o m its use as an " o p e r a t o r . " When a definite description like The capital o f the United States is encountered there is, they say, no problem. This is the case o f an operator (in this instance, The capital oj') applying to an argument (in this case, the United States) and, like any other function, it delivers a value (Washington, D. C.). The other use they recognize would be the occurrence o f the capital in a sentence like Yesterday I visited the capital. This would be the nominal sense and instead o f again evaluating the description, its old value would be sought. A difficulty with this is that when the description is used as an operator one can only assume that the operator is distinguished from the argument on purely syntactic grounds. H o w e v e r , without a careful analysis o f the preceding context this could lead to problems, for the operator might not be The capital o f ( ), it might be The ( ) o f the United States, with a whole range o f possible arguments like capital, size, population, president, and so on. Usually contextual information is required to determine the operator. The way in which Rumelhart and N o r m a n handle the nominal sense differs from the " o p e r a t o r " method only insofar as the value is looked up rather than recomputed. The mistake that they m a k e , as do Anderson and Bower, is to imagine that it really is always necessary or appropriate to access the value. 1 The purpose o f this p a p e r is to develop and empirically test an account o f names and descriptions which is adequate for psychological theory. A satisfac- tory account will require semantic m e m o r y models to maintain separate intensional and extensional representations, and to invoke pragmatic rules for determining to which kind o f representation a predicate is to be attached in particular cases. The claim is that this decision ought to be based, in part, on a distinction between direct and indirect uses o f referring expressions, both at the logical level, as the arguments are intended to show, and at the psychological level, as the experiment is designed to show. Although there is a long philosophical tradition o f speculation and argument conceming definite descriptions, proper names, and their relationships both to one another and to the entities to which they refer or purport to refer (see, e . g . , Frege, 1891, 1892; Kripke, 1972; Linsky, 1971; Russell, 1905; Strawson, 1950), for the purposes o f this p a p e r we can start with the analysis offered by Donnellan (1966). Donnellan argues that there are two uses o f definite descriptions, those that he calls " r e f e r e n t i a l " and those that he calls " a t t r i b u - t i v e . " A referential use o f a definite description is one in which the description serves to pick out or identify the intended referent. Contrasted with this is the attributive use o f a definite description to characterize any individual w h o satisfies the description. In the first use, Donnellan notes, the definite description m a y succeed in picking out the individual even if (by chance) there is no one who ~It should be mentioned that Norman (personal communication) has indicated that they are changing the way in which the model handles definite descriptions to accommodate our objections. Bower (personal communication) has also accepted our objections. 76 A. ORTONY AND R. C. ANDERSON satisfies it, as when, for example, a man at a party is successfully identified using the description " t h e man drinking a martini" even though he actually has only water in his glass. This accidental success, however, would be impossible in an attributive use since the description, far from being merely a device to uniquely identify some individual, is all-important. So, if one asserts that the inventor o f dynamite had a profound influence on the nature o f warfare, it becomes very important that " t h e inventor of dynamite" is an attributive description, indeed, is the description which fits, for the meaning and the truth o f the assertion depend not on whether some individual who happens to be identifiable by means o f the description had a profound influence on the nature o f warfare, but rather on the fact that any individual who satisfies the description would have had such an influence. From a philosophical viewpoint, Donnellan's distinction can be criticized. One difficulty is that there probably is no sharp distinction between the two uses, but rather a continuum of uses with these two representing the extremes. From a psychological perspective, however, it is possible to determine empirically if there is a psychological correlate o f the distinction, and if there is, we can dismiss objections about lack of a sharp distinction as easily as we can dismiss the denial of a perceptual difference between adjacent colors on the visible spectrum (e.g., red and orange) based on the observation that there is no point at which the one ends and the other begins. We can still distinguish two colors most of the time. A general account of how models of semantic memory ought to treat names, definite descriptions, and propositions involving them can be developed on the basis of the following extension of Donnellan's analysis. If the principle that descriptions can be used both referentially and attributively is accepted, it is reasonable to suppose that names also can be employed to perform these two functions. 2 Consider first refemtial uses. A description used referentially serves the same function typically performed by a name. That is, it picks out or uniquely indentifies an individual. But if a name is available, using a description is an indirect way of identifying that individual. The direct way would be to use the name. Put in ordinary terms, people generally use names to talk about entities when they can, and when they cannot they refer to them in indirect or roundabout ways. Consider next the attributive use o f descriptions and names. The attributive use of a definite description is the direct use, and one reason for calling it " d i r e c t " is that its transformational history includes a direct derivation o f it from a predicate, without necessary reference to the name o f the individual associated with that predicate. So, if we wish to speak about the inventor o f dynamite, regardless of who he was, the definite description " T h e inventor o f d y n am i t e" can be directly produced from the predicate "invent ed d y n a m i t e " independently of, and without reference to, the name corresponding'to the entity o f which it is ~Kfipke (1972) suggests this possibility in a lengthy footnote. DEFINITE DESCRIPTIONS AND SEMANTIC MEMORY 77 predicated. Our claim is that sometimes names are used indirectly, particularly in cases where it can be assumed that the hearer k n o w s that a predicate is true o f the individual whose name it is. For e x a m p l e , m o s t o f the things one might want to say about the first President o f the United, States could be unahabiguously expressed using the name George Washington, because the description is in some sense a preferred or privileged one. T o summarize, referential uses o f names and attributive uses o f descriptions are direct. Attributive uses o f names and referential uses o f descriptions are indirect. These distinctions should have empirically testable consequences, since they imply that direct uses will require less knowledge and f e w e r inferences than indirect ones. For illustration, consider first a direct use o f a n a m e , as in Alfred Nobel wore a fine beard. A full understanding o f this sentence in no way requires that the hearer know that Nobel invented dynamite. At m o s t it requires the knowledge, implicit in the name, that Alfred Nobel was a man. Next, consider the indirect use o f the name in Alfred Nobel had a profound influence on the nature of warfare. Here a full understanding does require that the hearer use the knowledge that Nobel invented dynamite, as evidenced b y the fact that an answer to " h o w ? " would most appropriately be along the lines that he was the inventor o f dynamite. Contrast this with the direct use o f the definite description, as in The inventor of dynamite had a profound influence on the nature of warfare. Here a full understanding in no w a y requires knowledge o f who he/she was, but only that one k n o w the sense or meaning o f " T h e inventor o f d y n a m i t e " ; the name o f the individual is irrelevant. Finally, an indirect use o f the definite description, as in The inventor of dynamite wore a fine beard, requires that the definite description be analyzed for its r e f e r e n c e - - i n d i v i d u a l s wear beards in a more direct way than do inventors o f dynamite. T h e various conditions and knowledge requirements for direct and indirect uses in the general case are laid out in Table 1. TABLE I Knowledge Requirements for Direct and Indirect Uses Type of expression Type of use Direct Indirect Name Description Referential: Knowledge that the description fits the referent is irrelevant Attributive: Knowledge of name of referent is irrelevant Attributive: Knowledge that the description fits the referent is relevant Referential: Knowledge of name of referent is relevant "78 A. ORTONY AND R. C. ANDERSON A preliminary experiment tested whether people judge the relevance of information in the manner summarized in Table 1. Subjects were presented with items comprised of two noun phrases and a predicate, in the following arrangement: Christopher Columbus was He changed the course o f history. the man who discovered America. There were counterbalanced permutations o f each item such that for half the subjects the name was on the top and for half the description was on top; for half the name was directly related to the predicate, while for the remainder it was the description that bore the direct relationship; and finally, for one group the item was in the first o f two blocks of items presented, while for the other group it was in the second block. Subjects were asked to decide for each item whether the predicate was more relevant when considered as information about the named or the described individual. Overall subjects selected direct uses twice as often as indirect ones, t(35) = 2.50, p < .01. The bulk o f the difference was due to subjects' strong preference for direct uses of names. The results suggest that people do accept and apply criteria o f direct use like those we have outlined. It must be acknowledged that in some cases the distinctions between direct and indirect uses will be less obvious and possibly even inoperative. From the point of view of representation in m e m o r y , some cases should be left so that the predicate attaches to whatever expression was used. For instance, there are logical reasons why substitutions cannot be made into referentially opaque contexts, as has long been argued by phiosophers (see, for example, Quine, 1963). Such contexts are characterized by propositions embedded in clauses whose main verbs express attitudes toward these propositions, namely, verbs o f propositional attitude, such as hope, know, believe, say, claim, want, and so on. In other cases the predicate should perhaps be attached to both the extensional representation (Alfred Nobel) and the intensional one (the inventor o f dynamite). An example might be Alfred Nobel singed his beard. It is not obvious at first glance how relevant inventing dynamite could be to such a disaster. As indicated earlier, psychological models currently substitute names for descriptions. In contrast, what we are suggesting is that substitutions can occur in either direction, depending on the comprehender's interpretation o f the use being made of the expression. Substitutions will tend to eliminate indirect uses. Thus, indirect uses of names will tend to be replaced by direct uses o f descriptions, and indirect uses o f descriptions by direct uses o f names. Another way o f putting this is to say that if the use is taken to be attributive (direct description, or indirect name) then the predicate will be associated with an intensional representation; if t h e use is taken to be referential (direct name, or indirect description) then the predicate will be associated with an extensional representation. The experiment attempted to test this supposition and the distinctions on which it is based. DEFINITE DESCRIPTIONS AND SEMANTIC MEMORY 79 I f the distinction between direct and indirect uses o f names and definite descriptions has psychological reality, then one would expect a particular pattern o f confusions in a recognition task. Given the indirect use o f the definite description in The first president o f the United States sometimes annoyed his father. one would expect subjects to false alarm more frequently on seeing later the direct use o f the name with the same predicate George Washington sometimes annoyed his father. than if they had seen the direct use o f the definite description The first president o f the United States signed a treaty with France. and were subsequently exposed to the indirect use o f the name George Washington signed a treaty with France. Similarly, more incorrect rejections would be expected given old indirect than old direct uses. Subjects were exposed to c o m p l e m e n t a r y pairs o f sentences selected from sets of four. The sets contained a direct and indirect use o f a description and o f a name. One example o f a set was: The first man on the moon became a national hero. ( D D ) Neil Armstrong has several children. ( D N ) The first man on the m o o n has several children. (ID) Neil Armstrong became a national hero. (IN) The codes in parentheses refer to direct use o f a description ( D D ) , direct use o f a name ( D N ) , indirect use o f a description (ID), and indirect use o f a name (IN). Complementary pairs were ( D N ) with ( D D ) , and (IN) with (ID). Each subject saw the same n u m b e r o f (D) pairs as he did (I) pairs. The study task was to write a continuation for each sentence beginning with the word " b u t . " This encour- aged semantic processing o f the sentence. Later, a previously unannounced recognition test was given. Each subject was shown all the sentences, half he had already seen and half he had not. He was asked to judge if the sentences were old or new and he gave a confidence rating. METHOD Sixteen quadruples o f sentences were constructed. T w o different predicates appeared within each quadruple. Following the rule for directness explained earlier (see Table 1), the predicates were such that the description was used directly when coupled with one and used indirectly when paired with the other. The complementary pairings o f the two predicates with the name gave rise to the corresponding direct and indirect occurrences o f the name. Below is another example o f a sentence set. 80 A. ORTONY AND R. C. ANDERSON The most distant planet circles the sun once every 248 years. (DD) Pluto is 4,000 miles in diameter. ( D N ) The most distant planet is 4,000 miles in diameter. (ID) Pluto circles the sun once every 248 years. (IN) T w o lists of 32 sentences were formed. Each list contained the ( D D ) and (DN) sentences from eight sentence sets and the (ID) and (IN) sentences from the other eight sets. Consequently each list involved exactly one appearance o f each name, each description, and each predicate. The lists were further divided into two blocks on a random basis, subject to the constraints that just one sentence from each set appeared in a block and that each block contained the same number o f each sentence type ( D D , D N , I D , IN). Block order was counterbalanced and there were four distinct random orders o f items within blocks. The experiment was run on a group basis with 56 undergraduates enrolled in an introductory educational psychology course. T h e y received one exposure o f one o f the lists. The sentences were presented one per page in a mimeographed booklet. The assignment to lists, and block and item orders was accomplished simply by distributing the booklets from a randomly ordered stack. The instructions asked the subject to write continuations o f the sentences, starting with the word " b u t . " In this way we sought to guarantee that subjects would meaningfully encode the sentences (cf. Anderson & Kulhavy, 1972). As each subject completed the first task, the nature o f the second part o f the experiment was introduced for the first time. A recognition test involving all 64 sentences was given. On each page o f a booklet one o f the sentences was mimeographed. Below it were the words " o l d " and " n e w " and a four-point scale upon which to rate confidence. The instructions stressed that the subject was to determine whether he had seen exactly this sentence before, to indicate his judgment by encircling the appropriate word, and to rate his confidence. The subjects were told that they had seen half o f the sentences and that half were new. The test was also organized in blocks. Parallel blocks from the two lists were merged to form test blocks. The first block o f items seen during the first task was included within the first block o f items tested. Since blocks were counterbal- anced during list presentation, they were also counterbalanced in the same way during testing. There were four distinct random orders o f items within test blocks. The purpose o f the blocking procedure was twofold. One was to minimize recall from short-term, nonsemantic m e m o r y . The second was to space encounters with sentences from within sets so as to increase the likelihood that an independent judgment would be made in each case. The test was subject paced. RES U LTS Analyses o f variance were computed, in which the fixed factors were directness and type o f expression and the random factors were, respectively, subject and sentence set. Then minimum quasi F ratios were calculated (Clark, 1973). The DEFINITE DESCRIPTIONS AND SEMANTIC MEMORY 81 dependent variable was false alarms minus incorrect rejections. That is, the measure was the number of instances in which a new sentence was called " o l d " minus the number o f instances in which an old sentence was called " n e w . " The only significant effect was the predicted one for directness, min F ' (1,25) -- 13.70, p < .01. There was not a suggestion o f either a main effect o r interaction involving type of expression. Table 2 summarizes proportions o f errors. Of the 16 sentence quadruples, directness had the expected net effect in 12 cases, whereas the data ran marginally against the hypothesis in 3 cases and 1 case was equal. O f the 56 subjects, the directness hypothesis was confirmed by 46 and disconfirmed by 4. There was no difference for the remaining 7. TABLE 2 Proportions of Total Errors" Type of expression in test sentence False alarms Incorrect rejections Direct .339 .184 Indirect .202 .275 nNote: Of 3,584 observations there were 788 errors. DISCUSSION The present experiment shows that whether a name or a definite description is used directly strongly influences recognition memory. One conclusion follows immediately: Anderson and Bower, and Rumelhart and Norman are wrong to lean so heavily on the unidirectional substitution o f names fo r descriptions. For, if there were not a memorial distinction between the two kinds o f expression, it would be difficult to understand the systematic pattern o f errors observed in this experiment. It must be possible for names and descriptions, although intimately related, to be separately maintained in memory. The hypothesis is that people tend to encode expressions in the semantically most direct fashion. W e say " t e n d to e n c o d e " because unless semantic constraints are seriously violated, people m a y represent sentences, or parts o f them, in the form presented. So, for example, subjects might well encode George Washington signed a treaty with France as it stands, even though, by our analysis, the indirect use o f the name is semantically less appropriate than the direct use o f the definite description. Our view is that when the encoded proposition does vary from the input sentence, the change will be one o f increasing the semantic directness o f the memorial representation, rather than one o f eliminating descriptions. The~re is an alternate and less interesting version o f the directness hypothesis. It could be claimed that when subjects forgot a sentence they guessed, and that 82 A. ORTONY AND R. C. ANDERSON their guessing preferences were dictated by directness. In other words, when a subject had no record o f a sentence in m e m o r y he might have called the sentence " o l d " if it contained a direct use o f the expression but " n e w " if the one it contained was indirect. Those cases were examined in which a subject indicated low confidence in his judgment and, therefore, in which he was presumably guessing. The criterion o f low confidence was marking either a " 1 " or a " 2 " on the four-point confidence scale, a criterion met in 361 cases (i.e., in about 10% of the cases). Among these cases the proportion o f direct expressions called " o l d " and indirect expressions called " n e w " was .507, which does not differ significantly from the chance level o f .5, t(47) = .17. Eight subjects were confident o f all their judgments. So, while response bias is always difficult to discount, it would appear that the guessing hypothesis gives a p o o r explanation of the data. We know o f two other experiments that have investigated the encoding o f def'mite descriptions. Anderson and Bower (1973, pp. 248-251) found that subjects false alarmed about 20% o f the time when names were substituted for descriptions. But they also found the same false alarm rate when descriptions were substituted for names, which is hardly consistent with their theory (see p. 248) that descriptions will be encoded as names when the identity o f the individual named and the individual described is known. Anderson and Hastie (1974) drilled subjects on the equivalence o f a list o f " c o m m o n Anglo Saxon n a m e s " randomly paired with definite descriptions o f the form " t h e l a w y e r , " " t h e d o c t o r , " and so on. Various facts were predicated either o f the names or o f the definite descriptions. Finally, a sentence verification task was presented. Some of the sentences involved an inference; that is, it was necessary to affirm a fact in connection with a name which had originally been predicated o f a description, or vice versa. In other test sentences the referential expression and the predicate were paired as they had been originally, so no inference was required. As Anderson and Hastie had predicted, an important factor was whether the subjects were taught the referential identity o f the proper name and definite description before or after they learned the other facts. When the identity was established beforehand, there was no difference in verification time between inference and no inference test sentences, which Anderson and Hastie took to mean that all of the facts predicated o f either the name or description were linked to the same m e m o r y node. When the referential identity of the name and description was learned after the other facts, it then took longer to verify inferential sentences than noninferential sentences. Anderson and Hastie argued that this must mean that the facts predicated o f the name and the facts predicated o f the definite description were linked to distinct m e m o r y nodes. We dispute, however, that the only relevant variable could be the order in which information arrives. I f this were the case people would constantly be in epistomological quicksand, considering that any predicate can be made into a DEFINITE DESCRIPTIONS AND S E M A N T I C M E M O R Y 83 definite description. Much more likely is the view that logical, semantic, and pragmatic constraints are factors in determining whether predicates will be attached to an intensional or extensional representation o f a concept. A C K N O W L E D G M E N T S Thanks are due to Michael Riviere for help with the statistical analyses, to David Marshall for his help in preparing materials, and to Jana Mason for comments on the manuscript. R E F E R E N C E S ANDERSON, J. R., & BOWER, G . H . Human associative memory. Washington, D. C.: Winston, 1973. ANDERSON, J. R., & HASTIE, R. lndividuation and reference in memory: Proper names and definite descriptions. Cognitive Psychology, 1974, 6, 495-514. ANDERSON, R. C., ~. KULHAVY, R . W . Learning concepts from definitions, American Educa- tional Research Journal, 1972, 9, 385-390. CLARK, H . H . The language-as-fixed effect fallacy: A critique of language statistics in psychologi- cal research. Journal of Verbal Learning and Verbal Behavior, 1973, 12, 335-339. DONNELLAN, K. Reference and definite descriptions. The Philosophical Review, 1966, 75, 281-304. FREGE, G. Function and concept. (1891). In P. Geach & M. Black (Eds.), Translations from the writings o f Gottlob Frege. Oxford: B lackwell, 1966. FREGE, G. On sense and reference. (1892). In P. Geach & M. Black (Eds.), Translations from the writings of Gottlob Frege. Oxford: Blackwell, 1966. KrOPKE, S. Naming and necessity. In D. Davison & G. Harman (Eds.), Semantics of natural language. Boston, Mass.: Reidel, 1972. LINSKY, L. (Ed.) Reference and modality. London: Oxford University Press, 1971. QUINE, W. V . O . Reference and modality. In From a logical point of view. New York: Harper & Row, 1963. RUMELNART, D. E., & NORMAN, D . A . Active semantic networks as a m o d e / o f human memory. In Proceedings of the Third International Joint Conference on Artificial Intelligence, Stanford, 1973. RUSSELL, B. On denoting. (1905). In R. Marsh (Ed.). Logic and knowledge. London: Allen & Unwin, 1956. STRAWSON, P. On referring. Mind, 1950, 49 320--324. Reprinted in A. Flew (Ed.), Essays in conceptual analysis. London: Macmillan, 1963. 
work_xmp2ias7nre5lblazyizdrrghe	----	Yellow fever in west Africa: a retrospective glance J S Porterfield Barnstaple, Devon EX32 7NH J S Porterfield, MD, formerly reader in bacteriology, Sir William Dunn School of Pathology, University of Oxford BrMedJ 1989;299:1555-7 Hideyo Noguchi dissecting a rhesus monkey in Accra in 1927. J HBauer is to his right with A F Mahaffy (in bow tie) behind him In 1986 over 5000 people died ofyellow fever in eastern historical accounts.6 To a generation constrained by Nigeria'; in 1987 there were over 400 deaths from health and safety legislation and by ethical committees yellow fever in western Nigeria and over 1500 deaths the following brief account may be of some interest. were estimated to have occurred in northern Nigeria.2 Yellow fever almost certainly originated in Africa, These figures are stark reminders that despite the and the disease was probably introduced into the availability of 17D vaccine,3 arguably the best of all Americas around the time of Christopher Columbus by viral vaccines, yellow fever virus may still kill merci- sailing ships which had visited west Africa. Major lessly. epidemics occurred in the Caribbean, in Central and From 1953 to 1957 I was seconded by the Medical South America, and later in North America, which had Research Council to the Virus Research Institute at periodic outbreaks from 1693 to 1905. Philadelphia Yaba, outside Lagos, Nigeria. This laboratory had experienced a disastrous epidemic in 1793, and New been established in 1925 by the Rockefeller Founda- York, Baltimore, and Boston were all affected early in tion as the West Africa Yellow Fever Laboratory, and the nineteenth century.7 Europe was also affected, it was here that yellow fever virus was first isolated.4 there being 60 000 deaths in Madrid in 18008 and 17 in During my time in west Africa I saw cases of yellow Swansea in 1865 after a barque from Cuba introduced fever in eastern Nigeria and in the Gold Coast (Ghana) the infection.9 ' Yellow fever was endemic in Cuba and isolated the virus several times. Containment from 1649 onwards, and during the Spanish-American facilities in Yaba were virtually non-existent, indeed, war there were over 1500 cases and 231 deaths in the in the words of the director, F N Macnamara, the United States army in Cuba. The cause and mode of laboratory was "knee deep in viruses," but as all the transmission of the disease remained unknown until staff had been vaccinated and were shown to be this century. In 1900 the United States army appointed immune to yellow fever virus we had no ill effects. Our a yellow fever commission headed by Major Walter predecessors were less fortunate; Adrian Stokes, Reed to work on the problem in Cuba. keed's life is Hideyo Noguchi, Edward Haynes, and William A vividly portrayed in a recent biography,"' which gives Young all died in west Africa from laboratory acquired due credit to the roles of his collaborators Agramonte, yellow fever, and laboratories elsewhere had similar Carroll, and Lazear. catastrophes. In 1881 Dr Carlos J Finlay, a general practitioner in After leaving Nigeria I worked for three months Havana of Franco-Scottish parentage, presented evi- with Max Theiler in the Rockefeller Foundation Virus dence that yellow fever was spread by a specific Laboratories in New York, through whom I met mosquito, now known as Aedes aeVpti, but these Cornelius B Philip, one of the staff of the foundation, claims were rejected by the scientific community and who had had a non-fatal infection with yellow fever in by Reed. Lazear, however, was persuaded by Finlay's Lagos during those pioneering days. Subsequently I case and with his help set up a colony of mosquitoes, visited Cuba, where history in yellow fever was made which he used to carry out transmission studies on even earlier, and Japan, where I visited the Hideyo human volunteers (there were no ethical committees in Noguchi Museum in Tokyo and saw the Noguchi those days). Initial experiments proved to be negative, statue, which stands in a woodland park outside but in a second -trial Carroll and another American Osaka. volunteer both developed severe yellow fever. A few The early history of yellow fever and the major role days later Lazear contracted the disease and died after a played by the Rockefeller Foundation have been short illness. He had kept meticulous notes of his described in detail by Strode,' and there are other experiments, and after his death Reed decided that further experiments on transmission were justified. In ~~~~~~ emt cnr nmdCamp Lazear 12 volunteers were exposed to the bites of further infected mosquitoes. These and subsequent experiments proved conclu- - U $;" ^e''sivelythat yellow fever was due to a filterable agent- that is, a virus; that the virus was present in the blood oinfected -patients during the first three days of the disease; and that A aeVpti may transmit the disease by biting, provided an interval of 12 days was permitted after an infective feed.'2 The information allowed Major William C Gorgas to mount control against Q X mosquitoes that eradicated yellow fever from Havana, and later he was responsible for controlling the disease ! in Panama, allowing de Lesseps to complete the building of the Panama Canal. Ironically, Reed did not R live to see these successes; he died in 1902 from peritonitis after appendcitis. Some 50 years later these s dramatic events were commemorated at Parque Lazear, Z outside Havana, where plaques naming each of the u United States army volunee wer ercted a few uR metres from"the simple wooden hut in which Finlay Id kept his infected mosquitoes. Although the evidence of the Reed commission BMJ VOLUME 299 23-30 DECEMBER 1989 1555 o n 5 A p ril 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://w w w .b m j.co m / B M J: first p u b lish e d a s 1 0 .1 1 3 6 /b m j.2 9 9 .6 7 1 5 .1 5 5 5 o n 2 3 D e ce m b e r 1 9 8 9 . D o w n lo a d e d fro m http://www.bmj.com/ clearly incriminated a virus, another quarter of a century was to elapse before it was isolated. Mean- while, in 1916, the Rockefeller Foundation set up its first yellow fever commission under Gorgas, now a general, with the eradication of A aegypti as one its objectives. In 1918 the commission investigated an epidemic of yellow fever in Ecuador, and one of its members, the Japanese scientist Hideyo Noguchi, who was a staff member of the Rockefeller Institute in New York, claimed that the causal agent was not a virus but a leptospire, which he named Leptospira icteroides.'3 14 He prepared a vaccine against this organism, stating that this gave protection against yellow fever for six months. Noguchi was a distinguished bacteriologist, having earlier isolated the bacterium now known as Leptospira icterohaemorrhagiae (Noguchi) from Norway rats,'5 which had been shown to be the cause of Weil's disease. Hindsight and the fact that he also claimed to have cultivated the spirochaete of syphilis and the causal agents of poliomyelitis and rabies make it difficult to understand how Noguchi's claims became so widely accepted, but they unquestionably affected the whole of the yellow fever programme in the Americas and in Africa. A recent biography of Noguchi gives many insights into this charismatic man. 16 In French west Africa the medical authorities re- ported that "Noguchi's vaccine and serum was used with advantage" in controlling an epidemic that spread into French territory from Nigeria and the Gold Coast.'7 In Nigeria staff at the laboratories of the Rockefeller Foundation's yellow fever commission spent from 1925 to 1927 investigating Noguchi's claim, but were unable to confirm the presence of leptospira in any patients with yellow fever. Their tests were fairly simple as Noguchi's organism produced sickness or death in guinea pigs and could be identified microscopically. If Noguchi was wrong and yellow fever was indeed a viral infection there was an urgent need to find a susceptible animal if the use of human volunteers was to be avoided. Various animal species, including African monkeys, proved not to be sus- ceptible, and the director of the commission, Henry E Beeukes, decided to try Asiatic monkeys. These were Plaque commemorating volunteers of1900 obtained from Europe and shipped to Accra, where they arrived on 25 May 1927 accompanied by Beeukes and Stokes (on leave of absence from his post as Sir William Dunn professor of pathology at Guy's Hospi- tal). Two other members of the Rockefeller team, A F Mahaffy and J H Bauer were already in Accra investi- gating a small outbreak of yellow fever in the Gold Coast, during which Mahaffy collected blood from a 27 year old African, named Asibi, who had a mild attack of yellow fever in a village about 160 km from Accra and inoculated it into a Macacus rhesus monkey. On the fourth day the monkey was moribund; a second rhesus monkey was inoculated with its blood and was im- mediately transported by Bauer to the laboratory in Lagos, an overnight sea voyage. Stokes travelled to Lagos shortly after this, and he, with Bauer and N Paul Hudson, who had just arrived from the United States, began a series of passages in further rhesus monkeys and performed transmission studies with A aegypti. Stokes established that rhesus monkeys were not susceptible to Noguchi's leptospira and that antilepto- spiral antiserum failed to protect monkeys against the Asibi virus. These experiments confirmed the earlier findings of the Reed commission and established beyond reasonable doubt that the true causal agent of yellow fever had been isolated and that it was a virus and not a leptospire.4 The only missing link was evidence that the virus could produce yellow fever in humans, and that followed very quickly through the death on 19 September 1927 of Adrian Stokes. In a tribute to Stokes published much later Hudson noted that Stokes had suggested that the final link in the chain should be completed through the use of human volunteers, but that the other members of the commission and the local medical authorities had opposed this as being too hazardous and also un- necessary as the evidence had been advanced.'8 Although the route of infection cannot be stated with certainty, Hudson believed that Stokes became infected through handling infected monkey tissue without wearing gloves. Stokes was not concerned with any transmission experiments with mosquitoes, thereby excluding that route of infection. Stokes had insisted that mosquitoes be fed on his leg, and these later transmitted the disease to monkeys. The chain was now complete. Stokes died from infection with the Asibi strain of the virus. A decade later this virulent strain was attenuated by multiple passages in minced mouse embryos, then in chick embryo cells in culture, and finally in embryonated eggs3 to give the 17D vaccine, which remains in use today. Noguchi questioned the validity of the virological studies in west Africa and asked Dr Simon Flexner, his chief at the Rockefeller Institute, if a visit to the west African laboratories could be arranged. He duly travelled to Accra, where he arrived on 17 November 1927, and decided to make this his base, rather than Lagos. With the help of the British medical team in Accra and the staff of the Rockefeller Foundation in Lagos he obtained monkeys and acute phase human sera from patients with yellow fever and carried out many experiments. Noguchi had received his vaccine against leptospira and believed that he was protected against yellow fever. He failed to find Leptospira icteroides in animals infected with yellow fever and was forced to concede that he had been mistaken. Before returning to Japan he paid a brief visit to the Lagos laboratory, arriving there on 10 May 1928. On the evening before his ship was due to sail from Lagos the members of the laboratory staff organised a farewell dinner for him but Noguchi was too unwell to attend. The following day he boarded the ship and was photographed on deck by Dr Philip. The next day he was put ashore at Accra, where he died of yellow fever BMJ VOLUME 299 23-30 DECEMBER 19891556 o n 5 A p ril 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://w w w .b m j.co m / B M J: first p u b lish e d a s 1 0 .1 1 3 6 /b m j.2 9 9 .6 7 1 5 .1 5 5 5 o n 2 3 D e ce m b e r 1 9 8 9 . D o w n lo a d e d fro m http://www.bmj.com/ Finlay's laboratory, Parque Lazear, Havana on 21 May. W A Young, a British pathologist in Accra who had been working with Noguchi, also died of yellow fever on 29 May. Several writers have suggested that Noguchi, having accepted that he had been mistaken, deliberately infected himselfwith yellow fever as a form ofscientific hari kari. Philip dismisses this suggestion, believing that a laboratory accident was much more likely. On his way to Lagos Philip left the ship for a few hours in Accra to visit the Medical Research Institute but found Noguchi asleep, having worked all night, as he fre- quently did to avoid other members of the laboratory. Philip had intended to take some infected mosquitoes from Accra to Lagos but on inspecting the cages found so many holes through which mosquitoes might escape that he decided not to take any. Plesset concurs with the view that conditions in Noguchi's laboratory were chaotic. ]6 Philip was aware ofthe hazard of being bitten by an infected mosquito, and when this happened to him in his own mosquito house in Lagos he was immediately injected with convalescent serum pre- served with tricresol, which may well have saved his life. Haynes who came out to Lagos to relieve Philip, was less fortunate and died of yellow fever, almost certainly acquired in the same manner. Although in 1902 Gorgas looked forward to the disappearance of yellow fever after the control of A aegypti, the emergence of jungle yellow fever with an entirely different vector species dashed his hopes. There is no prospect that yellow fever can be eradicated in the same way as smallpox. The control of aedes is still important in limiting yellow fever in urban areas, but vaccination provides the best safeguard. The people who died in the yellow fever epidemics in Nigeria in 1986 and 1987 were unvaccinated, apart from one peron who had received 17D vaccine only five days previously, too short an interval to be protective. Asibi's yellow fever was mild, and he made a complete recovery. In the 1950s he was traced by the medical authorities in the Gold Coast and was given a pension by the Colonial Office to commemorate his. part in the epic history of the control of yellow fever. Sadly, that control is all too commonly absent in parts of the world where it is most needed. I thank Dr C B Philip, whose comments and letters are largely responsible for the writing of this article. 1 DeCock KM, Monath TP, Nasidi A, et al. Epidemic yellow fever in Eastern Nigeria, 1986. Lancet 1988;i:630-3. 2 Nasidi A, Monath TP, DeCock KM, et al. Urban yellow fever epidemic in Western Nigeria, 1987. Trans R Soc Trop MedHyg 1989;83:401-6. 3 Theiler M, Smith HH. Use of yellow fever virus modified by in vitro cultivation for human immunization. I Exp Med 1937;65:787-800. 4 Stokes A, Bauer JH, Hudson NP. Experimental transmission of yellow fever to laboratory animals. Am.7 Trop Med 1928;8:103-64. 5 Strode GK. Yellow fever. New York: McGraw Hill, 1951:1-710. 6 Carter HR. Yellow fever, an epidemiological and historical study of its place of origin. Baltimore: Williams and Wilkins, 1931. 7 Blake JB. Symposium on American contributions to the history of tropical medicine. Bull NYAcad Sci 1968;44:621-754. 8 Theiler M. Yellow fever. In: Rivers TM, ed. Viral and rickettsial infections of man. 2nd ed. Philadelphia: Lippincott, 1952:531-51. 9 Smith CEG, Gibson CE. Yellow fever in South Wales, 1865. Med Hist 1986;30:322-40. 10 Meers PD. Yellow fever in Swansea, 1865..7 Hygiene 1986;97:185-91. 11 Bean WB. Walter Reed: a biography. Charlottesville: University Press of Virginia, 1982. 12 Reed W, Carroll J. Etiology of yellow fever: supplemental note. Amnerican Medicine 1902;3:301-5. 13 Noguchi H. Etiology of yellow fever; transmission experiments on yellow fever.J Exp Med 1919;29:565-84. 14 Noguchi H. Yellow fever research, 1918-1924: summary Leptospira icteroides. J TropMed 1925;28:185-93. 15 Noguchi H. Spirochaeta icterohaemorrhagiae in American wild rats and its relation to the Japanese and European strains.J7 ExpMed 1917;25:755-63. 16 Plesset IR. Noguchi and his patrons. Cranbury, New Jersey: Associated University Presses, 1980. 17 Anonymous. Report from Paris. Lancet 1927;i: 1265. 18 Hudson NP. Adrian Stokes and yellow fever research: a tribute. 7rans R Soc Trop Med Hyg 1966;60:170-4. Origins of haemodialysis in the United Kingdom Frank M Parsons I qualified in medicine in 1943 at the University of Leeds, having obtained a BSc with honours in physi- ology on the way. After working for three years as a house surgeon and demonstrator in physiology I took the primary FRCS examination and joined the Royal Army Medical Corps as a graded surgeon. I was demobbed in the summer of 1949, a year after the start of the NHS. Having learnt the new terminology of the hospital medical staff and noted an administrator at every corner, I was appointed registrar to Mr Pyrah-a lucky choice as he was one of the foremost surgeons in Leeds and had an interest in urology. The next sunimer after I returned from holiday a serious outbreak of infection caused by Pseudomonas aeruginosa occurred in the prostate ward. An open system of bladder drainage was then in use and the pathologist, Dr Goldie, soon traced the source to large tanks filled with Dettol in which the urinals were placed for "sterilisation." I changed this to a closed system of bladder drainage which was fully autoclav- able, including the drainage bottles. The result was dramatic: urine remained sterile for weeks even with continued bladder drainage. In the 1930s and early 'forties prostatectomy had a mortality of 70% because the new -closed methods of prostatectomy with a mortality of less than 10% were not commonly used. Patients with prostate problems therefore tended to keep their prostates as long as possible, eventually being admitted with urinary retention that required drainage of the bladder. My development of a closed drainage system encouraged Mr Pyrah to build up a research department, and before long I was appointed research fellow in urology at the University of Leeds by the vice chancellor, Mr Pyrah, the professor of surgery, and the registrar of the university-the "top brass" of the university appointing the lowest of the Bramhope, Leeds LS16 9JD Frank M Parsons, FRCP, retired consultant in renal medicine Dr Parsons, formerly consultant renal physician and senior lecturer in medicine at the University of Leeds until his retirement in 1983, died on 17 August (Obituary, 2 December, p 1396). Br MedJ 1989;299:1557-60 BMJ VOLUME 299 23-30 DECEMBER 1989 1557 o n 5 A p ril 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://w w w .b m j.co m / B M J: first p u b lish e d a s 1 0 .1 1 3 6 /b m j.2 9 9 .6 7 1 5 .1 5 5 5 o n 2 3 D e ce m b e r 1 9 8 9 . D o w n lo a d e d fro m http://www.bmj.com/ 
work_xnehbaak4nckjb4csq7emvdxu4	----	Preview Screenings and the Spaces of an Emerging Local Cinema Trade in Scotland Full Terms & Conditions of access and use can be found at http://www.tandfonline.com/action/journalInformation?journalCode=chjf20 Download by: [University of Glasgow] Date: 25 November 2016, At: 08:50 Historical Journal of Film, Radio and Television ISSN: 0143-9685 (Print) 1465-3451 (Online) Journal homepage: http://www.tandfonline.com/loi/chjf20 Preview Screenings and the Spaces of an Emerging Local Cinema Trade in Scotland María Antonia Vélez-Serna To cite this article: María Antonia Vélez-Serna (2016) Preview Screenings and the Spaces of an Emerging Local Cinema Trade in Scotland, Historical Journal of Film, Radio and Television, 36:3, 285-304, DOI: 10.1080/01439685.2015.1052222 To link to this article: http://dx.doi.org/10.1080/01439685.2015.1052222 © 2016 The Author(s). Published by Informa UK Limited, trading as Taylor & Francis Group Published online: 10 Jun 2015. Submit your article to this journal Article views: 523 View related articles View Crossmark data http://www.tandfonline.com/action/journalInformation?journalCode=chjf20 http://www.tandfonline.com/loi/chjf20 http://www.tandfonline.com/action/showCitFormats?doi=10.1080/01439685.2015.1052222 http://dx.doi.org/10.1080/01439685.2015.1052222 http://www.tandfonline.com/action/authorSubmission?journalCode=chjf20&show=instructions http://www.tandfonline.com/action/authorSubmission?journalCode=chjf20&show=instructions http://www.tandfonline.com/doi/mlt/10.1080/01439685.2015.1052222 http://www.tandfonline.com/doi/mlt/10.1080/01439685.2015.1052222 http://crossmark.crossref.org/dialog/?doi=10.1080/01439685.2015.1052222&domain=pdf&date_stamp=2015-06-10 http://crossmark.crossref.org/dialog/?doi=10.1080/01439685.2015.1052222&domain=pdf&date_stamp=2015-06-10 PREVIEW SCREENINGS AND THE SPACES OF AN EMERGING LOCAL CINEMA TRADE IN SCOTLAND María Antonia Vélez-Serna Selecting and booking films to make up a programme that suited a particular audience was a crucial skill for exhibitors in the competitive conditions of the early cinema trade in Britain. This article argues that access to trade previews of the films was necessary for this choice to be meaningful, and it studies the emergence and regularisation of trade shows in Glasgow, Scotland, as an indicator of the forms of agency retained by independent cinema managers and renters. By docu- menting its different local manifestations up to 1920, the trade preview is shown to be a particular reception context, with its own spaces and codes of conduct. Furthermore, in a thriving non-metropolitan film trade, such as the Scottish one, it was an important social routine where informal networks could be nurtured and information shared. Thus, by looking at the micro-cosmos of the private projection room, it is possible to get a glimpse of how the trade functioned on the ground and how it understood its social position during a time of great upheaval, before it conformed to a more centralised, institutional model. Choice is a form of power in market relationships, and in the film trade, the exhi- bitor’s ability to select a programme has been a crucial point in the struggles between different sectors of the industry. In the first quarter of the twentieth cen- tury, the new medium of the moving image emerged in the intersection of earlier entertainment practices, reaching a wide variety of audiences with the rapid expan- sion of commercial exhibition around the world. 1 The relatively decentralised structures of distribution and exhibition in the early film trade were in tension with its tendencies towards corporate concentration and institutionalisation, shaping Correspondence to: María Antonia Vélez-Serna, Theatre, Film and Television - School of Culture and Creative Arts, University of Glasgow, Room 423, Sir Alexander Stone Building, 16 University Gardens, Glasgow G12 8QL, UK. E-mail: maria.velez-serna@glasgow.ac.uk � 2015 The Author(s). Published by Taylor & Francis. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://cre ativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Historical Journal of Film, Radio and Television, 2016 Vol. 36, No. 3, 285–304, http://dx.doi.org/10.1080/01439685.2015.1052222 mailto:maria.velez-serna@glasgow.ac.uk https://archive.org/details/movingpicturewor21newy https://archive.org/details/movingpicturewor21newy http://dx.doi.org/10.1080/01439685.2015.1052222 the emergent social practice of cinema as a profoundly contradictory construct. 2 Connecting the international circulation of mechanically reproduced films with the always local instances of exhibition and reception, the regional ambit of the film trade was, as Paul S. Moore has written, essential to the emergence of cinema as a mass practice. 3 Its importance, however, has been under-documented by research paradigms that align themselves with national boundaries or, more recently, concentrate on local histories. This article sheds light on the material underpinnings of the early film trade on a regional basis, documenting trade shows as an important function of a regional hub city. It focuses on the emergence of Glasgow as a distribution centre for the Scottish exhibition trade. Scotland’s status as a peripheral market to London’s glo- bal reach, and as a stateless nation with distinct social institutions but joint legal and fiscal systems, sets the scene for the development of a successful cinema trade and a famously keen audience. 4 By the start of the First World War, Scotland had a population of just under five million, distributed unevenly, with high density along the central belt (on the axis connecting Glasgow and Edinburgh), the West coast south of the river Clyde and the East coast from Fife to Inverness. The expansion of permanent cinemas had followed this population pattern so that, by 1914, most small towns had a regular show, with over 550 venues in 154 loca- tions. 5 Mapping this landscape of non-metropolitan exhibition was one of the goals of the ‘Early Cinema in Scotland, 1896–1927’ research project, funded by the Arts and Humanities Research Council at the Universities of Glasgow and Edinburgh. The research team’s historical approaches to exhibition, distribution, cinema-going and film production have shed light on the flexibility and variation in local practices across Scotland, and the degrees of autonomy enacted in the sector’s relationship to London and the global cinema trade. Diversity in exhibition requires adaptability in the film supply and access to choice for the exhibitors. In the film trade, informed choice requires the ability to preview films before booking. Thus, trade shows are materially necessary for the existence of a regional film trade as an economic sector. Furthermore, as a particu- lar reception context that has received very little attention, trade shows constituted a vital meeting point in a commercial network that still relied on personal acquain- tance to a large degree. Glasgow, home to almost one in five people in Scotland in 1911, and a world-leading industrial centre, emerged as the heart of the Scottish film trade and a significant hub for the North of England, overshadowing Edinburgh and Newcastle. Glasgow’s booming population, connected to shipbuilding, engi- neering, textiles and ancillary trades, had welcomed cinema in music halls and fair- grounds before 1907. 6 After that point, the growth of film exhibition was swift, and by the start of the First World War, Glaswegian viewers could watch films at any of the 97 venues licensed for cinema. 7 These exhibitors were able to obtain their film supply from local renters since 1908, and by the end of the war, the Glasgow trade was second only to Manchester as a British provincial hub, with 35 renters and agents operating in the city. 8 As Richard Brown points out, the regional dynamics of the British film trade need to be studied in relation to their integration to the national context. 9 The resistance posed by the Scottish case to London-centric modes of integration is thus particularly interesting. If, as Paul Moore writes, cinema as a ‘mass practice’ 286 María Antonia Vélez-Serna connected places in a region to a mass market rather than each other, then the practice of programming—selecting, sourcing and presenting films and other attractions to an audience—was the concrete enactment of that modern impulse. Each cinema manager had to choose how to use the products of the international film industry to create a show and therefore to create the possibility of certain forms of experience for a local audience. 10 Within recent historiographical approaches that see the cinema event rather than the film text as the relevant unit of analysis, programming is increasingly understood as a creative practice. 11 This is important for a non-metropolitan historiography; it recognises the agency of peripheral or provincial members of the film trade not involved in film produc- tion. 12 It also sheds light on the power relations that were enacted in the practice of selecting and booking films, shaping the particularities of national, regional and local film cultures. Before the 1920s, the degree of control that exhibitors had over their pro- grammes was at the core of the difference between the American and British film trade, and it punctuated many of the disputes that shaped the trade during its first three decades. 13 While the vertically integrated structure of the American market sustained growing production budgets by effectively buying the films before they were made, in Britain, as commentator Harold Levine pointed out in 1914, ‘not a foot is “placed” before it is actually “viewed”’: As Great Britain is wanting in the advantage of a ready and reliable domestic source of supply, it naturally has become an international dumping ground for the film output of the world. Every reel of film made on the face of the earth ultimately is tagged and placed on the bargain counter of this ‘free for all’ market. 14 In this system, exhibitors could get their films from any renter and renters could buy from any manufacturer. This ability to pick and choose gave exhibitors and renters some bargaining power over producers, and hinted at a closer relation- ship between audience taste and film sales. 15 However, making choices required a lot of work by exhibitors themselves or what Levine called an ‘alert corps of view- ers who hold the sieve with vigorous vigilance’ on their behalf. Market choice necessitates access to information, including in this case the ability to see the pro- duct. Viewing films is, thus, one of the transaction costs involved in navigating the film market, both for the customer and for the supplier. Concrete barriers, such as geographical distance, disposable time and capital, meant that not all potential buy- ers had access to the same information about the goods on offer. These disparities shaped the emerging hierarchies of the cinema trade. Like other industries at the turn of the twentieth century, the cinema as an economic sector favoured corpo- rate, oligopolistic models and ‘quality races’ that marginalised small-time traders. 16 The changing roles of trade previewing reflect these trends, which are also con- nected to the institutionalisation of film as a self-contained spectacle during cin- ema’s ‘second birth’. 17 At stake through these transformations was the positioning of cinema as part of, or an alternative to, everyday life—a rebalancing of its ordi- nary and extraordinary dimensions. This tension is a structural force, never resolved, but playing out in the regional trade as well as in broader exhibition and production trends. The move from itinerant to fixed-site exhibition, accompanied Historical Journal of Film, Radio and Television 2 8 7 by the development of a distribution system based on renting rather than outright sales of films, was a key moment in this relationship. During the itinerant years, there had been several ways of obtaining films: by visiting the manufacturers’ offices; by catalogue, from travelling salesmen or from other showmen. 18 Release dates were not particularly important, and so purchases tended to be sporadic and opportunistic. Itinerant showmen had included visits to the film manufacturers and the informal film trading that happened in large fair- grounds as part of their annual travel plans, and thus they were often able to see the films before buying. The interconnected networks of fairground travelling and other public entertainments resulted in a relatively decentralised trade, and also in commercial relationships built on tradition and personal trust. 19 For instance, buy- ers had been able to request films ‘on approval’, reserving the right to return them without paying if they found them unsuitable. During the first decade of the twentieth century, the client base expanded rapidly beyond personal acquaintance, making these trust-based arrangements harder to maintain.20 This created consider- able trouble, to the extent that one of the clauses in the controversial European manufacturers’ agreement (the Paris Convention) of 1909 stipulated that ‘any film supplied on approbation shall be returned undamaged within 48 h of its receipt, and shall not in the meantime be used for the purpose of public exhibition or shown before a paying audience’. 21 The Convention fell through, and so in his 1911 Handbook of Kinematography, Colin Bennett still voiced the complaint that ‘manufacturers have sent films on approval, and in some cases allowed over a week to ellapse before their return, to find that the subjects are sent back badly scratched and worn, with a letter stating that the applicant finds them unsuitable for his requirements’. 22 The alternative to this practice was viewing the films in the manufacturer’s showrooms, on demand. Since most of these offices were based in London, provin- cial exhibitors were at a disadvantage and were compelled to rely on the emerging layer of intermediaries, the renters. During the first few years of permanent exhibition, the growth of ‘film services’ offering a complete programme reflected not only the faster turnaround of films required by permanent venues, but also the unequal access to information and choice in a geographically centralised market. This was the case for Glasgow exhibitor James Joseph (J.J.) Bennell, when he turned his itinerant public-hall show into a long-term lease of the Wellington Palace, a large venue in the southside of Glasgow which became one of the first permanent cinemas in the city: At the beginning of my Wellington Palace enterprise, I hired my films from Mr. Jury. We had to leave it to his firm to make such selections on our behalf as he thought best. It was quite impracticable for us to see the films in advance or to choose any subjects for ourselves. Film travellers were not known in those days, and the only place where films could be seen in advance was in the London showrooms of the manufacturers and agents. 23 This situation changed quickly, however, with the emergence of local branches of London renters in Scotland, as well as regional companies. From 1908, it became possible for Scottish exhibitors to view films in Glasgow and Edinburgh, with occasional visits by agents to other cities. This development was one of the 288 María Antonia Vélez-Serna necessary conditions for Scottish exhibitors to thrive, as the regional trade created an interface between international circulation and decentralised local enterprise, with the flexibility to accommodate the distinctive patterns of an emergent film culture. It is significant that several of the first Scottish renters were also exhibi- tors, like J. J. Bennell, who started trading after establishing a circuit of eight cine- mas. His position guaranteed both access to the London market and knowledge of local audiences. But while Bennell’s clients were now able to preview the product, films for sale continued to be shown only in the London offices, on the appointed ‘view days’ for each manufacturer. In their new guise as renters, Bennell and his wife started travelling to London showrooms every other Monday, watching film after film over four long days: [B]y dividing the work between us, and by the courtesy of the selling firms, who gave us the opportunity of seeing two weeks’ issues at one sitting, we managed to get through the work by Thursday noon as a rule, and leave London at 2 p.m. each Thursday. To do this we generally worked till 11 p.m. at least one night. 24 The Bennells put such gruelling work behind them in 1911, by opening a perma- nent London office and appointing their son, Ritson, as a film buyer. 25 The train- ing for this job involved a few months travelling to client cinemas in Newcastle, Manchester and Birmingham, to get an idea of the audience and its preferences. Then, Ritson saw films with his father in the London showrooms, where he ‘pointed out to him why [he] accepted this for purchase and rejected that.’26 This hands-on training supports the idea that British regional exhibitors were particularly attentive to their audiences’ tastes and their local nuances. Hence, the job of film viewer or buyer required familiarity with those tastes, which could only emerge from long local experience. When he made his slightly belated move to renting in 1912, George Green, another of the original Scottish cinema-circuit owners, appointed James Dearden as the company’s London agent. Dearden had been engaged with Green’s in different capacities since the fairground days, and still returned to Glasgow in the summer to help out at the Carnival. Such experienced eye allowed Green’s to boast, in 1914: ‘Buying largely on the recommendation of their own reviewer in London, Messrs. Green secure the best subjects’. 27 Maintaining a London office was not cheap. Green’s London branch cost almost £400 for the year ending March 1918. On top of that, Fred Green travelled regularly to the capital to make purchases, at a time when Green’s were buying more than £20,000 worth of films every year.28 Jack Baker, a much smaller Glas- gow renter, also claimed to travel often to London, so he could promise: ‘Every film has been viewed and is booked to you by the viewer. No matter what class of subject you ask for, you obtain it here to suit your patrons’. 29 This rhetoric emphasizes how personal selection based on local experience gave regional renters an edge over their competition. While London exhibitors, even small-time ones, could arrange to visit at least some agents’ offices to see films, only a few of the Scottish cinema owners were able to select first-hand the material they would put on their screens, and thus the importance of selection by regional renters was even greater. What they decided to buy for the Scottish market became the backbone of the regional trade, and defined the boundaries of choice for peripheral exhibitors. Historical Journal of Film, Radio and Television 2 8 9 As the scope for live performance and showmanship decreased, the selection of films also became the main arena for the exhibitor’s agency, a key element in competition against other venues, and a large part of the cinema manager’s job. At the beginning of 1911, the Bioscope noted that there were many different film booking methods in use, from the cinemas that relied on a twice weekly bun- dle of films picked by the renter, to ‘the man who has a ‘say’ in the selection of his program’ and wanted to know what would be released the following week in order to make an informed choice. 30 The selective exhibitor was in the minority, and since all renters could buy from most producers, there was not much differ- ence between their packaged programmes (other than by price bands); the question of individual film choice only really came to the fore with the transition to feature programming. Although it came to be associated with long narrative films, the initial market meaning of the term ‘feature’ was a film that could be booked individually and was not included in regular programmes.31 As competition between cinemas intensified due to their density in urban areas, and earlier forms of venue differentiation such as live turns and showmanship became rarer, individual films became more salient in audience choice.32 The greater impact that film selection could have on the box office, and the increased cost of feature films, made information-gathering even more important for exhibitors. This could come from the film synopses published by manufacturers, the national and regional trade journals or a subscription to one of the London firms specialising in film reviewing. 33 However, none of these notori- ously partial sources could replace the growing need for preview screenings. In London, trade shows had started as a way to draw publicity to selected films, but had become standard practice by 1910. These private screenings were attended by both renters and exhibitors—potential buyers and their clients, which created an environment where reactions to the film circulated instantly, and allowed buyers to gauge its market potential. Glasgow trade shows, in contrast, only became common around 1913 and were meant mainly for exhibitors, organised by renters—but pro- moted by manufacturers. One of the first companies to promote trade shows in Glasgow was Warner’s Feature Film Co, which published ads in the Bioscope in early 1913 listing their releases. At that moment, the trade was up in arms against the steps taken by some companies, starting with Pathé, to stop selling films on the open market and instead rent them out directly. In this dispute, Warner made much of the fact that it had sided with the open market. A consequence of this was that Warner features could be obtained from different renters, and so they got three trade screenings in Glasgow on Tuesday afternoons: First at Green’s (1 pm), then at Bendon’s (3 pm) and finally at Gaumont’s (5 pm). 34 A similar situation applied for the distribution of Edison’s Mary Stuart and Who will marry Mary? later that year, as well as some popular serials such as Adventures of Kathlyn (Selig 1914), with trade shows run in Glasgow by Bendon, Gaumont, and either Green’s or BB; and in Edinburgh by Anglo-American Films. 35 This promiscuous availability of open-market films was a problem when applied to features, which were intended to differentiate your cinema from the one down the road. Rival managers could end up with the same films, obtained from different renters. This justified the emergence of ‘exclusive’ renting, in which the film was controlled by a single renter for a region, and this company would 290 María Antonia Vélez-Serna run the local trade show. By emphasising choice and inflating the value of individ- ual titles, exclusive films brought about a transformation of trade-show practice in Scotland. Exclusive renters were of different kinds, and this was reflected on the way they showed the films to the trade. There were opportunistic buyers who con- trolled very few films and had little capital; they would visit the theatres and try to convince individual managers to book the film. There were the large, estab- lished renters, such as Bendon and BB Pictures, who ran a features/exclusives line alongside their regular programme business, and thus used the same spaces and methods as they did for open-market product. By 1917, the market was split, with the average cinema programme containing both open-market and exclusive films, in addition to the topical newsreel which was usually obtained by subscription. 36 Assembling a programme thus required cinema managers to enter into negotiations with more than one company, and as many as seven or eight. The interaction between all these different agents created a very complex system, where selecting films could take up a large part of the working day. One of the first Glasgow managers, William McGaw of the ‘55’ or Argyle Electric Theatre, remembered ‘viewing thousands of feet of film every day’. 37 The physical and social space of the trade show was thus not only a requirement for the func- tioning of the film market, but also the main context in which exhibitors encoun- tered films and interacted with each other. The second part of this article examines the different places in which trade shows took place in Glasgow and considers these screenings as key social nodes in a regional trade network. Trade shows in renters’ premises Trade screenings first took place in manufacturers’ and renters’ premises, which tended to be rather unprepossessing. As Low Warren remembered, from his London experience, [i]n the early days there were no “first nights”, no Sunday evening shows, no elaborate prologues, no specially augmented orchestras, no illustrated synopses of the film that cost two or three shillings apiece, no audiences of a thousand or fifteen hundred […] the publicity manager had not yet appeared on the scene. The films arrived without any preliminary flourish of trumpets, and we were bidden to see them in cellars beneath the business premises, often seated on upturned packing-cases, perilously near the arc of the projector, and always in dead silence.38 In 1908, Gaumont became the first film company to establish a branch in Scotland and offer viewing facilities, at their offices at Glasgow’s Trongate. 39 Through their marketing of equipment, in particular Chrono projectors, Gaumont came into contact with many of the pioneering exhibitors. When they tried to obtain J. J. Bennell’s custom, their main appeal was that he would be able ‘to see in advance in Gaumont’s showroom at Glasgow practically all the films issued, and should have the choice of selecting [his] own programme’. 40 Since the same films could be obtained from several renters, viewing conditions were a factor of com- petition between renters. Improvements in screening rooms, however, often ran Historical Journal of Film, Radio and Television 2 9 1 against practical constraints, since most distributors—in Glasgow as well as London, Manchester and elsewhere—worked out of rented premises, usually office or warehouse space or in leftover bits of exhibition venues. Of the pioneer Scottish renters, Pathé, Gaumont and the Bendon Trading Company were located in the crowded city centre of Glasgow. The BB Pictures and Green’s Film Service, having grown out of exhibition circuits, were located next to cinema venues outside the city centre: BB Pictures in the Wellington Palace to the South and Green’s in the carnival grounds to the East. Even though these two companies owned their pre- mises, their renting operation was initially not their primary focus and space was limited. As J.J. Bennell recalled, ‘When we bought our first films our general offices and all our work was done at Wellington Palace. We found a cupboard there which became our first film store’.41 The changing premises of Glasgow renters provide evidence of the rapid develop- ment of the regional trade, and of the importance of screening spaces. From that cup- board, Bennell developed a suite of offices in a hall under the main auditorium, used to store up to two million feet of film. 42 United Films’ ‘luxuriously fitted’ new offices were said to have ‘every facility for seeing the films’, and when George Green’s rent- ing business started the trade press claimed that its premises at the Carnival similarly ‘provided every facility for showing customers the various films in operation.’ 43 In fact, this was no more than a disused winding room behind a cinema, but ‘the number of customers increased so rapidly that a portable building was utilised […] with a projection room in the rear’. 44 In the space of three years, Green’s moved four times, to ever larger premises. The importance of Glasgow as a distribution centre had been growing steadily since 1908, keeping pace with the booming exhibition sector. Business growth was only one of the factors motivating trade removals; concerns over celluloid storage had intensified after a devastating fire in Gaumont’s Glasgow offices in August 1912, spurring local authorities to seek regulatory powers. Although a more detailed discussion of celluloid regulations exceeds the remit of this article, Glasgow Corporation’s attempt to regulate celluloid storage, and rising insurance premiums due to increasing awareness of fire risks, encouraged many renters to find new accommodation. 45 These changes after 1914 tended to intensify clustering around particular areas of the city centre (although not to the same extent as in London, where the trade had already consolidated its presence in Wardour Street). Bennell and the Bendon Trading Company, which had been operating from the south side of the city, moved downtown, as did Green’s Film Company, leaving their East End Carnival site. In their successive reshuffling, the established firms often left their old offices to the new companies that were emerging in connection to the exclusive trade. For instance, Gaumont moved from the Trongate to Dunlop Street, across the road from the BB Pictures, and then to Mitchell Street, making room for the North British (N.B.) Exclusive and Feature Co., a company constituted only months earlier. 46 Several of Glasgow’s film businesses were situated between St Enoch railway station and the river Clyde; another cluster formed along the top part of Renfield Street, which had traditionally been a theatrical area and the heart of Glasgow’s entertainment district (see Figure 1). This clustering pattern, influenced by the locations of railway stations, is similar to the one identified in Manchester by 292 María Antonia Vélez-Serna Brown. 47 The centrality or otherwise of renters’ premises seemed to reflect their general position in the trade: Local renter Jack Baker had a main office on Renfield Street, but he acquired a new warehouse and projection room in a building that had housed the first premises of the University’s veterinary school, and went on to become a garage. 48 Squeezed between two railway termini, the premises were not too far from the company’s office, but they were separate from the cluster of rent- ing companies, which seemed to suit a highly opinionated renter who often kicked against local CEA decisions. Providing a screening space was an important factor in these removals. View- ing films ‘on upturned packing-cases’ was no longer the norm, and the ad hoc screenings in warehouses, when it was not uncommon that prospective buyers would find ‘on arrival at the specified time that preparations are not complete, the operator is at lunch, the film is out elsewhere on approval, or else he is kept waiting for others to turn up’, gave way to more professional operations. 49 Trade shows became a regular occurrence in Glasgow during the years around the start of the First World War. The best evidence of the importance afforded to the physical environment for film presentation is provided by the descriptions given of Jury’s newly opened premises after 1914, worth quoting in full: Situated in Dixon Street, within easy reach of all the railway stations, and close to the city’s centre, Messrs. Jury’s new premises are ideal for their purpose, and so planned that all necessary business can be carried out in Figure 1. Geography of the Glasgow film trade around 1920. Historical Journal of Film, Radio and Television 2 9 3 comfort and with the utmost dispatch. On the ground floor are situated the manager’s office, booking office, cashier’s office, telephone exchange, and a spacious showroom for projectors, hall furnishings, etc. The showroom is worthy of special mention. With its stained glass roof, fibrous plaster, floral- wreathed frieze, tapestry panelled walls, and drop and flambeau electric fittings, it impresses and pleases, while lending distinction to the rooms adjoin- ing. The same scheme of decoration is carried out in the booking office and managerial sanctum. In the basement, a cosy projection theatre is provided, which is, in a word, a reduced facsimile of a perfectly equipped cinema house. Rich carpeting covers the floor, comfortable tip-up chairs give the acme of comfort, walls are panelled in a warm tone of red, and the frieze and roof are decorated with choice designs in fibrous plaster work. A convenient “rake” gives all visitors a clear view of the screen, which is enclosed in as natty a lit- tle proscenium as could well be imagined. The projector, a Kalee model, is in a fireproof operating-box outside the projection room. The dispatch depart- ment is also in the basement […] The film storerooms have been fitted out anticipatory of future legislation, and comply with the latest decrees of the Defence of the Realm Act applicable to London, but not yet necessary in Glasgow. 50 Gaumont’s new place in April 1915 had, like Jury’s, a suite of offices on the ground floor and a projection theatre in the basement, next to the film storage vaults, poster store, facilities for examination, repair, packing and dispatching of the films.51 Pathé’s premises, which were owned by the company, boasted a private theatre seating three hundred and a ‘waiting room elegantly panelled in oak for exhibitors’, besides their machine showroom and spacious offices. 52 Despite these advances in comfort, trade shows in renter’s premises remained a variable experience. According to a description of a generic London trade show by the popular magazine Pictures and the Picturegoer, there was no music, and the films were often shown at a much faster speed, as there might be enough for two pro- grammes. Exhibitors could request that part of the film be skipped (maybe a reel or two) or the film ditched altogether. These were interactive events which required exhibitors to imagine their own presentation strategies before judging the films, so constant comments from the audience punctuated the irregular quality of the pro- duct. 53 And yet, the idea of concentrated attention as the appropriate mode of reception for films can be seen to be gaining ground when the Glasgow trade press registered the dissatisfaction about ‘those who attend Trade Shows, and are rather obtrusive in their criticisms and laughter to the annoyance of others who desire con- centration on the subjects being screened’. 54 Impatient, disruptive audiences were not desirable from the perspective of renters and manufacturers trying to convince them of the extraordinary qualities of their films. As the formal characteristics of feature films moved towards classical modes of address, so the conditions in which they were introduced to the trade changed to encourage a more immersive form of attention, rather than the instrumental view of earlier trade shows. This was par- tially achieved through a change of venue: Presenting films to the trade in grander theatrical surroundings gave the manufacturers or renters a better chance to impress clients, and in many cases also created a publicity opportunity. 294 María Antonia Vélez-Serna Trade shows in cinemas The functions of the press preview and the trade screening had been combined before, for the introduction of the first long features in 1911. In that year, United Films held an ‘invitation performance’ of their version of Rob Roy, the longest film made in Britain to that date. With four hundred guests, including the Lord Provost and city magistrates, the show featured special musical arrangements and was held in the Picture House, a large, luxurious cinema in the centre of Glasgow.55 This was also the venue, a month later, for Jury’s ‘press view’ for their Milano exclusive, Adventures of Ulysses, which was shown simultaneously in Edinburgh’s own Picture House (both part of the PCT cinema chain).56 As the list of notable guests suggests, these screenings were a public relations exercise intended to get local authorities on the trade’s side, so they were perhaps not, strictly speaking, trade shows. Low Warren claimed that the first public trade show in London took place on Easter Tuesday, 1912, at the Court Theatre, Tottenham Court Road, for Selig’s Christopher Columbus. 57 The Cinema and Property Gazette remarked of the London show that ‘[the film] was perfectly shown, the effects were excellent, and the incidental music charming and singularly appropri- ate’. 58 In the same issue of the journal, New Century continued to advertise the feature, promising ‘to anybody genuinely interested’ that they would ‘afford facili- ties to see [the film] under actual working conditions’. Between 18 and 23 March, 1912, New Century organised screenings of Christopher Columbus for showmen, the press and educational authorities in Manchester, Liverpool, Leeds, Newcastle, Edinburgh and Glasgow (at the Vitagraph theatre). Ahead of the release in early April, they produced substantial printed matter, including a manual on how to approach ‘the local press, the clergy, the educational authorities’. 59 This speaks of a wide-ranging effort to direct the public reception of the film by constructing an exemplary exhibition situation. In other cases, however, presenting films in cinemas was a necessity rather than a choice. Companies that did not have large premises in Scotland, such as Ruffell’s, Hibbert’s and the MP Sales Company, started running their trade shows at a few city-centre cinemas, hiring the venues (and part of the staff, often includ- ing some musicians) in the morning or early afternoon. Two companies with offices in Edinburgh, the Newcastle Film Company and Anglo-American Films, also adopted the same practice for their Glasgow shows. By 1915, there were trade shows in Glasgow every weekday, and the Entertainer complained repeatedly of the clashing times that resulted either from competition or lack of coordination between renters: Why will Renters continue to pursue the foolish policy of holding Trade Shows on a day fixed by another house. Surely some method might readily be found to obviate the difficulty set Managers of dividing themselves between two houses at a given hour. Trade Shows are valueless unless the pictures are seen, and then you put a further strain on the worried Manager in choosing which show he will attend. All the time he looks at the other fellow’s goods he thinks of yours.60 Historical Journal of Film, Radio and Television 2 9 5 Although this weekly journal set up a scheme to allow renters to check for clashing shows before announcing a screening, there were bound to be overlaps. On a sample week in 1916, a total of 18 screenings are listed, with six each on Tuesday and Friday, these being less busy days for managers since the change of programme took place on Monday and Thursday. 61 Of the total, eight trade shows were taking place in cinemas. The first cinema chosen to host trade shows was the De Luxe, one of the original storefront venues on the Western end of the com- mercial thoroughfare of Sauchiehall Street, which had a small auditorium and must have been cheaper to rent. On the same street, but closer to the city centre, the Salon also became a trade show venue. As more companies entered the renting trade, more cinemas were put to this use in the mornings. The City Picture House, the King’s Picture Theatre, the La Scala, the Grand Central, and the Cinema House in Glasgow and La Scala in Edinburgh, all became the location for trade shows on various weekdays, generally at 11 in the morning. After it opened in 1916, Cranston’s Picture House became a favourite. This cinema was part of an elegant larger building containing cafes and restaurants and owned by Kate Cranston, the famous pioneer of the Glasgow tea-room movement and patron of Charles Rennie Mackintosh.62 Indeed, several of the venues mentioned above were remarkable for having well-appointed tea-rooms, where luncheons were occasion- ally offered to the trade. This suggests that, besides guaranteeing that ‘the best operators were behind the machines’, other factors influenced the choice of venue. 63 With a busy schedule and long days, the trade show and the lunchtime socialising that followed it were important perks in a cinema manager’s working life, as well as opportunities for the kinds of informal interaction that allowed the regional trade to thrive. As the Entertainer reporter said of the Tuesday morning screening of Tillie’s Punctured Romance (at the De Luxe), ‘[e]verybody who is anybody in the trade was there, and when the Critics enjoy themselves, wont they just pay up’. 64 Such link between enjoyment and profit is a reminder that, besides its utilitar- ian role as part of the transaction costs of film circulation, the trade show was also a distinct social setting, defined as a business space but containing elements of lei- sure. Although there were a number of female cinema managers, reviewers and renters, the trade show tended to be a masculine environment. Low Warren remembered that, even in the Spartan conditions of early trade screenings in renters’ premises, ‘they never forgot to hand round the cigar-box, and usually at half-time a whisky-and-soda or a cup of tea would appear, as if by magic, which made the task more pleasant, especially on a hot summer’s afternoon’. 65 As these functions became more common and the stakes higher, hospitality standards rose accordingly. In 1914, a disgruntled observer noted that private screenings ‘some- times develop into miniature social functions’, and deplored his encounter with ‘a Sunday review in the North where intoxicants ‘ad lib’ were provided for the ‘refreshment’ of the reviewers’. 66 The Bendon Trading Company, which had a background linked to the Temperance movement, offered a cup of tea rather than whisky; the local trade paper still celebrated it as ‘very thoughtful’. 67 Whatever the hospitality, it was considered important to uphold the professional nature of these events. A London exhibitor complained, in 1913, that 296 María Antonia Vélez-Serna the legitimate buyers and reviewers [were] farcically turned away to make room for children with their nursemaids, aunts and cousins, who make use of these so-called private Trade reviews for a cheap afternoon’s outing. 68 It was common for trade members to pass their invitations to friends and rela- tives. That the objections to these ‘interlopers’ were, in part, based on a gendered definition of the space is evident from the fact that they did not seem to arise when, in 1916, Fife cinema manager Tom Gilbert decided to start taking wounded soldiers with him to the Glasgow trade shows he attended. Celebrating his initia- tive, the Bioscope claimed that ‘over a thousand soldiers’ had been entertained, a dozen at a time. 69 The previews were occasions for gossiping and sharing information, as this sketch in cartoonish vernacular, entitled ‘Overheard at a Trade Show’, suggests: Wull: Are ye gaun? Jock: Gaun whaur? Wull: Tae the trip, man—tae the trip—Sunday furst, ye ken […] I got the wire frae wan o’ thae Committee chaps.70 These two fictional managers are talking about a trade outing, in this case a steamer trip down the Clyde. Luncheons, meetings of the Cinematograph Exhibi- tors’ Association, and charity functions filled the social calendar. The Glasgow Cinema Club was established in 1919, after an experience of collective organising for alternative forms of film transport during the railway strike of that year. Repre- senting most of the original Scottish exhibitors, the Club had a monthly luncheon and decided to start a Masonic lodge, Anima 1223, which was chartered in August 1920. 71 Supported by these initiatives, the Glasgow trade was a tight-knit, geo- graphically dense network. By the end of the 1910s, the 25 established film renters in Glasgow, and the seven cinemas holding regular trade shows, were all within a quarter of a square mile, that is, within a ten-minute walk or short tram-ride from the three main passenger stations. While in Glasgow, trade shows became an everyday fixture, with 20–40 films being previewed every week, their purpose was being transformed in line with new business strategies. Vertically integrated companies had stopped selling films on open-market lines, and while many Scottish firms acted as exclusive agents for these companies, the trend was towards centralisation. 72 As early as 1914, Trans-Atlantic sent invitations to Scottish exhibitors for trade shows in London, and by 1919, it was not considered extraordinary when the General Film Co. announced they would cover the train fare for managers who wished to attend ‘the only trade show for the United Kingdom’ of Auction of Souls (Selig, 1919), as long as they were ‘in- terested in a sound business proposition’. 73 London trade shows started to develop into rather extravagant spectacles, running into pre-release theatrical first-runs in the West End which featured large orchestras, atmospheric presentations and live prologues. These special performances, like Rob Roy and Christopher Columbus back in 1911–1912, were more PR campaign than simple product testing, as they invited prestigious guests in an attempt to gain press coverage, social legitimacy and market buzz that could drive up prices. 74 The presentation of Auction of Souls, rather than being spectacular, was framed by worthy speeches as fitted the grim subject of the Historical Journal of Film, Radio and Television 2 9 7 film; it secured a Scottish buyer and was shown to the Glasgow trade a couple of months later at the Salon, this time introduced by a city Councillor. 75 Like the star system and other branding strategies, these costly ways of ‘boom- ing’ the film, coming from producers or agents who had exclusive control over certain titles, tended to further erode the position of independent and peripheral exhibitors. While the normal practice had been to run trade shows approximately six weeks before the release date, exhibitors were so anxious to get certain films before their competitors that they started booking films months ahead, without seeing them. This was compounded after the end of the war by a crisis of oversup- ply which ended up with a lag of up to 18 months between trade show and release. 76 Advance booking thus became endemic, benefitting renters, as they gained financial security, but curtailing the exhibitor’s flexibility.77 Block booking was another related force affecting exhibitors’ choice and the power balance of market relationships. While ostensibly it was a way to curb the excesses of exclusive renting, where film prices were fixed arbitrarily and were spiralling out of control, block-booking was very contentious and indeed still is. 78 In Scotland, the discussion around block-booking was mixed with the mistrust around direct renting, first introduced by Essanay in the summer of 1915 on the strength of their control of new Chaplin works. 79 In this arrangement, only the first instalments of a block of films needed to be trade-shown before a contract for up to one year’s supply was signed. This put manufacturers at a great advantage over exhibitors, and it was one of the forces helping consolidate the American industry over the British. As such, it was one of the matters raised in the 1927 Cinematograph Films Act, better known for the introduction of a British produc- tion quota. A less discussed clause in the 1927 Act prohibited blind-buying and curtailed advance booking, by requiring that a film was shown to the trade before being offered on the market. While such prescriptive measures could not guarantee the continuation of regional trade shows, the strength of the Scottish market justi- fied the cost of maintaining a Glasgow or Edinburgh office for many American dis- tributors. Local independent renters, on the other hand, saw their role shrink as market conditions changed, and thus the significant expertise built up over three decades was channelled almost exclusively into the exhibition trade. Conclusion Trade shows were both a transaction cost and a social situation that responded to, but also helped implement the processes of industrialisation and institutionalisation of cinema during its first two decades. The changing practices and spaces associated with trade screenings in the Scottish market were indicative of broader negotiations between the different spheres of the trade. In the early years, the decentralised network of itinerant exhibition had been served by similarly dispersed forms of film buying and previewing. The first instances of expansion and the transition to renting led to a brief period of centralised control that underserved Scottish exhibi- tors until the development of a regional distribution sector. The subsequent expan- sion of the trade was based on the idea that audience preferences varied, and hence programming decisions needed to be taken locally. Trade shows allowed 298 María Antonia Vélez-Serna exhibitors to make crucial decisions in an increasingly differentiated and competi- tive market. The introduction of direct renting and block-booking in the second half of the 1910s repurposed regional preview screenings, foregrounding their function as a prescriptive enactment of the ideal conditions of presentation, and promoting forms of showmanship which were increasingly codified by producers. While the distribution sector in Glasgow was comparable to that of other British regional hubs such as Manchester and Newcastle, its catchment area was considerably larger, serving up to 400 venues as compared to around 200 for Manchester. Furthermore, the distinct ‘Scottish’ identity of the regional trade, including a separate legal framework and company registry, bolstered a critical relationship to London that allowed Glasgow renters to retain autonomy while linking up with metropolitan networks. Like in Norway, the Netherlands, and provincial France, in the UK the outright sales of films had allowed local exhibitors and investors to become independent renters. 80 More centralised systems, such as the American structure of regional exchanges and the conglomeration of Canadian film companies after 1910, did not depend on individual film choices and thus trade shows did not have the same importance. 81 While in most cases the position of regional independent distributors declined after the rise of exclusive and direct renting during the First World War, several Glasgow renters were able to negoti- ate this transition successfully. The ability to ‘boom’ the film and to offer conve- nient previewing facilities was also a key to survival in the exclusives business. In recent years, historians have turned their attention to exhibition contexts beyond the commercial theatrical screening, describing myriad forms of ‘useful’ cinema.82 This Glasgow case study recognises the role of trade shows, not only as an instrumental film-viewing situation, but also as a social meeting point in a net- work of business relationships built on personal acquaintance and reputation. This informal bonding was as important as the physical infrastructure of railways and communications to nurture the emergence of cinema in Scotland. In the first dec- ades of the twentieth century, independent regional renters succeeded in maintain- ing a regular supply system that catered for the diversity of Scottish venues and audiences, offered a substantial selection of films, and facilitated the circulation of information through preview screenings, so that cinema managers had a real choice in their programming. The active role of independent regional distribution in sus- taining the conditions of possibility for a distinctive film culture in Scotland is manifest in the oak-panelled micro-cosmos of the trade screening theatre. Acknowledgements I would like to thank the anonymous reviewers and Prof John Caughie for their comments on earlier drafts of this article. Disclosure statement No potential conflict of interest was reported by the author. Historical Journal of Film, Radio and Television 2 9 9 Funding This work was supported by the AHRC-funded project ‘Early Cinema in Scotland, 1896–1927’ [grant number AH/I020535/1]. Notes 1. On the entanglement between the institutional, technological and aesthetic lineages of early cinema see Joe Kember, Marketing Modernity (Exeter, 2009); André Gaudreault, Film and Attraction: From Kinematography to Cinema (Urbana, IL, 2011). 2. Francesco Casetti has written about some of these dialectic contradictions as the development of an ‘oxymoronic gaze’, a re-articulation and negotiation that makes compromises with modernity. Francesco Casetti, Eye of the Century: Film, Experience, Modernity (New York, 2008), 2–5. 3. Paul S. Moore, Now Playing: Early Moviegoing and the Regulation of Fun (Albany, 2008), 9. 4. Trevor Griffiths, The Cinema and Cinema-going in Scotland, 1896–1950 (Edinburgh, 2012), 1. 5. According to figures compiled by Dr Trevor Griffiths from the Kinematograph Year Book for 1915. 6. Adrienne Clare Scullion, ‘“The Cinematograph Still Reigns Supreme at the Skating Palace”: The First Decades of Film in Scotland’, in Moving Performance: British Stage and Screen, 1890s–1920s, eds. Linda Fitzsimmons and Sarah Street (Trowbridge, 2000), 80–100. 7. This included 85 cinemas and a dozen of other venues used less regularly. In the second volume of her History of British Film, Rachael Low compares the cinema provision of the main British towns, but severely under-reports Glasgow’s figures at 42 (London, 1950/1997), 50. 8. Richard Brown, ‘The Missing Link: Film Renters in Manchester, 1910–1920’, Film Studies 10 (2007): 58–63, 60. 9. Ibid., 63. 10. Paul S. Moore, ‘The Social Biograph: Newspapers as Archives of the Regional Mass Market for Movies’, in Explorations in New Cinema History: Approaches and Case Studies, eds. Richard Maltby, Daniel Biltereyst, and Philippe Meers (Oxford, 2011), 263–9, 264. 11. On the ‘eventfulness of the experience of cinema’ see Robert C. Allen, ‘Reimagining the History of the Experience of Cinema in a Post-moviegoing Age’, in Explorations in New Cinema History, eds. Maltby, Biltereyst, and Meers, 51. 12. As Richard Maltby has noted for the American market, ‘for every actor, writer, electrician or painter employed in Hollywood’s production industry in 1939, there were five distribution company salespeople, projectionists, ushers and box- office clerks […] and around 2000 [audience members]’. Richard Maltby, ‘New Cinema Histories’, in Explorations in New Cinema History, eds. Maltby, Biltereyst, and Meers, 8. 13. Ian Jarvie, Hollywood’s Overseas Campaign: The North Atlantic Movie Trade, 1920–1950 (Cambridge, 1992), 6. 300 María Antonia Vélez-Serna 14. Harry Z. Levine, ‘An Analysis of the English Market’, Moving Picture World, September 5, 1914, 1350, https://archive.org/details/movingpicture wor21newy (accessed November 5, 2013). 15. In his report on ‘The Motion Picture Trade in Europe’ for the Moving Picture World, E.H. Montagu identified several differences between market condi- tions in the UK and the US, pointing out that ‘theatres [in the UK] select the programs, not the renter; and, consequently, it is absolutely imperative that the taste of the public be catered to, as they practically select the films’. E.H. Montagu, The Motion Picture Trade in Europe, Moving Picture World, 11 July 1914, 192, https://archive.org/details/movingpicturewor21newy (accessed 5 November 2013). 16. Gerben Bakker, Entertainment Industrialised: The Emergence of the International Film Industry, 1890–1940 (New York and Cambridge, 2008), xx. 17. Andrew Shail, ‘Cinema’s Second Birth’, Early Popular Visual Culture 11, no. 2 (2013): 97–9. See also Charlie Keil, ‘Integrated Attractions: Style and Spectatorship in Transitional Cinema’, in The Cinema of Attractions Reloaded ed. Wanda Strauven (Amsterdam, 2006), 193–203. 18. A.C. Bromhead, ‘Reminiscences of the British Film Trade’, Proceedings of the British Kinematograph Society, 1933, 4. 19. On the fairground roots of these networks, see Vanessa Toulmin, ‘“We Take Them and Make Them”: Michell and Kenyon and the Travelling Exhibition Showmen’, in The Lost World of Mitchell & Kenyon, eds. Vanessa Toulmin, Simon Popple, and Patrick Russell (London, 2004), 65; for a discussion of the Scottish case, see M.A. Velez-Serna, ‘Mapping Film Exhibition in Scotland before Perma- nent Cinemas’, Post Script 30, no. 3 (2011): 25–37. 20. Richard Brown, ‘The Missing Link: Film Renters in Manchester, 1910–1920’, Film Studies 10 (2007): 58. 21. This Is IT!, Bioscope, 4 March 1909, 7; on the European convention, see Jon Burrows, ‘When Britain Tried to Join Europe’, Early Popular Visual Culture 4 (2006): 1–19. 22. Colin N. Bennett, The Handbook of Kinematography (London, 1911), 245, https://archive.org/details/handbookofkinema00bennuoft (accessed 24 May 2014). 23. J.J. Bennell, ‘The B.B. Film Service From Start to Finish’, Bioscope, September 20, 1917, xvi–xvii. 24. ibid., xvi. 25. Items of Interest, Bioscope, 16 March 1911. 26. Bennell, xvii. 27. Scottish News and Notes, Bioscope, 29 October 1914, 447. 28. Green’s Trading and Profit and Loss Account for Year Ending 31 March 1918, 5/8/35, Scottish Screen Archive, Glasgow. 29. Advert, Jack C. Baker, Entertainer, 7 November 1914, 8. 30. Film Releases, Bioscope, 5 October 1911, 3. 31. Michael Quinn, ‘Distribution, the Transient Audience, and the Transition to the Feature Film’, Cinema Journal 40, no. 2 (2001): 37–8. 32. Michael Hammond, The Big Show: British Cinema Culture in the Great War, 1914–1918 (Exeter, 2006), 47. Historical Journal of Film, Radio and Television 3 0 1 https://archive.org/details/movingpicturewor21newy https://archive.org/details/movingpicturewor21newy https://archive.org/details/movingpicturewor21newy https://archive.org/details/handbookofkinema00bennuoft 33. As a member of the trade explained to the 1917 Cinema Commission: ‘There are a number of viewers, both male and female, who spend their time in view- ing films for many theatre proprietors, and whose reports can be purchased by any Exhibitor who wishes to subscribe to such service’. These inaugural film critics, according to the witness, were ‘looked upon as censors’, since they assessed the moral tone as well as the suitability of each film for particular audi- ences. National Council of Public Morals (NCPM), The Cinema: Its Present Position and Future Possibilities (London, Williams and Norgate, 1917), p. 194, http:// www.archive.org/stream/cinemaitspresent00natirich (accessed 24 May 2014). 34. Advert, Warner’s Feature Film Co, Bioscope, 15 May 1913, 508–9. Glasgow thus came in the first half of a weekly trade-show tour that saw the Warner programme screened at Newcastle on Monday, Leeds on Wednesday, Manch- ester on Thursday and Liverpool on Friday. 35. Adverts for The Adventures of Kathlyn (Selig), Mary Stuart (Edison), Bioscope, 28 August 1913; Advert for When the Earth Trembled (Lubin), in Bioscope, 30 October 1913, 410. 36. NCPM, The Cinema, 197. 37. G. Holmes, Typescript of Interview with William McGaw, 5/7/208, Scottish Screen Archive, Glasgow. 38. Low Warren, The Film Game (London, 1937), 12. The Bioscope criticised the ‘indifferent manner’ in which films were projected as poor salesmanship, and encouraged manufacturers to up their game: How to Sell Films, Bioscope, August 26, 1909, 3. 39. This was also Gaumont’s first British film hire office outside London, according to A.C. Bromhead, 17. 40. Bennell, xvi. With at least seven branches throughout Britain and its own factory for striking positive prints, Gaumont was in a unique position to offer such choice. However, after giving the system a try, Bennell found that Gaumont was not in fact able to supply the range of films he expected and went back to receiving a pre-selected programme from Jury’s. 41. ibid., xvi. 42. Cinematograph Film Stores: Important Report to the Glasgow Corporation, Bioscope, 19 September 1912. 43. Away up North, Bioscope, 8 December 1910, 57; Away up North, Bioscope, 15 February 1912, 445. 44. Scottish Renter’s Rapid Rise, Bioscope, 19 April 1915, 459. 45. While the discussions on the regulation of celluloid storage took place, a test case was also fought in Leeds over the need for a license under the Cine- matograph Act of 1909 for renters’ showrooms or private theatres: Rehearsals of Picture Shows: Important Leeds Prosecution, Scotsman (Edinburgh, 26 September 1912), 8, http://search.proquest.com/docview/483451467 (accessed 10 October 2013). 46. Cinema Chit-Chat, Entertainer, 30 January 1915. 47. Richard Brown, 60. 48. Advert, Jack C. Baker, Entertainer, 14 November 1914, 6. 49. Bennett, 246. 50. Jury’s Pictures (Scotland), Limited, Bioscope, 28 January 1915, 369. 51. Gaumont’s New Premises, Entertainer, 17 April 1915, 5. 302 María Antonia Vélez-Serna http://www.archive.org/stream/cinemaitspresent00natirich http://www.archive.org/stream/cinemaitspresent00natirich http://search.proquest.com/docview/483451467 52. Glasgow Notes, Bioscope, 26 June 1913, 949. 53. Duncan Keith, Launching an Exclusive, Pictures and the Picturegoer 9:106, 25 February 1916, 501–2, https://archive.org/details/pictureg09odha (accessed 16 October 2013). 54. Cinema Chit-Chat, Entertainer, 19 June 1915, 5. 55. Away up North, Bioscope, 19 October 1911. 56. The Bioscope carried a story about the great expense incurred to get the films to Glasgow and Edinburgh on time for a 9 am screening, when the films arrived in London after the last train. Jury’s Magnificent Exclusive Subject, Bioscope, 23 November 1911. 57. Warren, 12–13. 58. A Carefully Thought-out Campaign, Cinema News and Property Gazette, April 1912, 4, https://archive.org/details/cinenewgaz01cine (accessed 30 August 2013). 59. Advert for Christopher Columbus, Bioscope, 14 March 1912, 764–5. 60. Cinema Chit-Chat, Entertainer, July 10, 1915, 5. 61. Glasgow Trade Shows, Entertainer, 21 October 1916, 13. 62. Perilla Kinchin, Tea and Taste: The Glasgow Tea Rooms 1875–1975 (Oxon, 1991). 63. Minutes of the CEA Edinburgh and East of Scotland Branch, 25 May 1919, 5/ 11/17, Scottish Screen Archive, Glasgow. 64. Cinema Chit-Chat, Entertainer, 27 March 1915, 5. 65. Warren, 12. 66. This must refer to the North of England; as far as I can ascertain, there were no trade shows on Sundays in Scotland. Foreign Trade Notes, Moving Picture World, 15 August 1914, 950, https://archive.org/details/movingpicture wor21newy (accessed 16 August 2013). 67. Cinema Chit-Chat, Entertainer, 1 May 1915, 7. 68. The Bioscope Parliament, Bioscope, July 31, 1913. 69. Who’s Tom Gilbert? Bioscope, 26 October 1916. 70. Overheard at a Trade Show, Entertainer, June 19, 1915. 71. Cinema Club (Glasgow) 1919–1940, PP 1975 197.9, Glasgow Museums Resource Centre. In other places, ‘Cinema Clubs’ or exchanges were established to conduct trade shows, providing a private theatre and full orchestra for differ- ent renters, but this does not seem to have been the case in Glasgow. For Leeds, see Louis J. Mannix, Memories of a Cinema Man (n.l., n.d.) 7, 36. (With thanks to Dr Melanie Selfe who brought these self-published memoirs to my attention and lend me her copy). 72. Kristin Thompson, Exporting Entertainment: America in the World Film Market, 1907–1934 (London, 1985), 35. 73. Cinema Chit-Chat, Entertainer, 21 November 1914, 5; Advert, Scottish Cinema, 10 November 1919, 17. 74. Julie Brown, ‘Framing the Atmospheric Film Prologue in Britain, 1919–1926’, in The Sounds of the Silents in Britain, eds. Julie Brown and Annette Davison (New York and Oxford, 2013), 205. 75. Armenian Atrocities Filmed, Scotsman, 16 February 1920. http://search.pro quest.com/docview/482987227 (accessed 5 November 2013). Historical Journal of Film, Radio and Television 3 0 3 https://archive.org/details/pictureg09odha https://archive.org/details/cinenewgaz01cine https://archive.org/details/movingpicturewor21newy https://archive.org/details/movingpicturewor21newy http://search.proquest.com/docview/482987227 http://search.proquest.com/docview/482987227 76. Foreign Expert Sees Increase in Exports Coming, Exhibitors Trade Review, 31 December 1921, 322, https://archive.org/details/exhibitorstrade00test (accessed 7 August 2013). 77. An example of this can be found in the minute books of the Queen’s Rooms cinema in Aberdeen. Unsatisfied with its performance, the directors appointed a new manager, just to find that the previous one had already booked films for nine months ahead, and the suppliers would not rescind them. Minutes, Queen’s Rooms Cinema Syndicate Ltd. Minute Book No. 1, Minutes for 22 November 1916. Cinema Museum, London. 78. In an interesting discussion on block booking, F. Andrew Hanssen comes to the conclusion that, rather than a monopolistic strategy, it was a way to ‘cheaply provide in quantity a product needed in quantity’. While the technical argument is better left to the economists, it can be said that regardless of the producers’ intentions and their effects on the American market, the British and Scottish situations, with their existing distribution practices, meant that block booking was a significant and unwelcome attack on the exhibitor’s autonomy. F. Andrew Hanssen, ‘The Block Booking of Films Re-Examined’, in An economic history of film, eds. John Sedgwick and Michael Pokorny (Oxon, 2005), 121–150. 79. Trevor Griffiths, The Cinema and Cinemagoing in Scotland, 1896-c.1950 (Edinburgh, 2012) 179–181; Thompson, 82. 80. On France and Norway, see ‘Renaud Chaplain, La Distribution Dans la Région Lyonnaise: Entre Spécificités Locales et Stratégies Nationales (1908–1914)’, and ‘Gunnar Iversen, Local Distribution: The Case of Jens Christian Gundersen in Norway’, both chapters in Networks of Entertainment, eds. Frank Kessler and Nanna Verhoeff (Eastleigh, 2007), 41–6, 131–6. The Dutch case is discussed by Ivo Blom, Jean Desmet and the Early Dutch Film Trade (Amsterdam, 2003); Thunnis Van Oort, ‘“Christ Is Coming to the Elite Cinema”: Film Exhibition in the Catholic South of the Netherlands, 1910s and 1920s’, in Cinema, Audiences and Modernity, eds. Daniel Biltereyst, Richard Maltby, and Philippe Meers (London and New York, 2012), 50–63. 81. Gregory A. Waller, ‘Mapping the Moving Picture World: Distribution in the United States circa 1915’, in Networks of Entertainment, eds. Kessler and Verhoeff (Eastleigh, 2007), 94–102. 82. See, for instance, the essays gathered in Marta Braun et al., eds., Beyond the Screen: Institutions, Networks and Publics of Early Cinema (New Barnet, 2012), and of course in Charles Acland and Haidee Wasson eds., Useful Cinema (Durham and London, 2011). Notes on contributor María Antonia Vélez-Serna is a post-doctoral research assistant with the AHRC-funded project, ‘Early Cinema in Scotland, 1896–1927’, at the University of Glasgow. She com- pleted her PhD at the same institution in 2012, with a thesis on film distribution in Scotland before 1918. Before that she had studied filmmaking and history of art at Universidad Nacional de Colombia, where she researched Colombian films of the 1940s. 304 María Antonia Vélez-Serna https://archive.org/details/exhibitorstrade00test Abstract Trade shows in renters` premises Trade shows in cinemas Conclusion Acknowledgements Disclosure statement Funding Notes on con�trib�u�tor 
work_xv5hlnfprfcldot32dis53nnmu	----	OVERCOMING OBSTACLES TO EVOLUTION EDUCATION Misconceptions about the Settlement of the Americas: Interview with Kenneth L. Feder Glenn Branch & W. Eric Meikle Published online: 21 May 2011 # Springer Science+Business Media, LLC 2011 Abstract Kenneth L. Feder, a specialist in archaeological pseudoscience, addresses prevalent misconceptions about the settlement of the Americas, discussing how they are stimulated by ethnic pride and religious faith, propagated uncritically in the media, and accepted by students. Sources of information on such misconceptions and strategies for helping students to overcome them are briefly sketched. Keywords Kenneth L. Feder. Settlement of the Americas . Archaeology. Pseudoscience NCSE’s regular column for Evolution: Education and Outreach is dedicated, as its title declares, to overcoming obstacles to evolution education. In the case of teaching about the settlement of the Americas, not all of the obstacles are about evolution, strictly speaking. Yet it would be surprising if there were no similarities, since in both cases, misconceptions about the prehistoric past and about how scientists investigate it are a major source of the obstacles. To help to identify and suggest remedies for misconcep- tions about the settlement of the Americas, we have asked Kenneth L. Feder, Professor of Anthropology at Central Connecticut State University, to answer ten questions. A specialist in archaeological pseudoscience, Feder is the author of the standard textbook on the subject, Frauds, Myths, and Mysteries: Science and Pseudoscience in Archaeology, now in its seventh edition (Feder 2011), as well as a new encyclopedia of “dubious archaeology” (Feder 2010). Let’s begin with what may be the most common misconception about the settlement of the Americas: Did Columbus discover America? Back in 1992, a group of Latin American representatives to the United Nations proposed a ceremonial resolution Kenneth L. Feder Interview conducted by Glenn Branch and W. Eric Meikle G. Branch (*) : W. E. Meikle National Center for Science Education, PO Box 9477, Berkeley, CA 94709-0477, USA e-mail: branch@ncse.com Evo Edu Outreach (2011) 4:262–266 DOI 10.1007/s12052-011-0340-7 to honor the 500th anniversary of the “discovery” of America by Christopher Columbus. In response, the representative from Iceland complained that a Norseman, Leif Ericson, was the true discoverer of the Americas, about 500 years before Columbus. The Irish ambassador objected further, claiming that not Columbus or Ericson but an Irish monk, St. Brendan, had actually discovered the New World in the sixth century, 500 years before the Norseman and close to 1,000 years before Columbus’s voyages. In truth, these ambassadors were off by more than ten millennia and wrong by any ordinary definition of the term “discover.” The first people to discover, explore, and settle the New World were natives of northeast Asia who crossed through the interior or who sailed along the southern coast of the Bering Land Bridge at least 13,000 and as much as 30,000 years ago. The land bridge was a 1,000-mile-wide expanse connecting northeast Asia and northwest North America, exposed between about 35,000 and 10,000 years ago, during the later part of the Pleistocene or “Ice Age.” At this time, a large volume of the world’s ocean water was bound up on land as glacial ice. (You can see an incredibly cool animation of the Bering Land Bridge at http://instaar.colorado. edu/QGISL/bering_land_bridge/.) The convergence of archaeological, geological, and genetic evidence is absolutely clear about this. The first human beings to settle in the New World arrived here from Asia sometime after 30,000 years ago. They were the true human discoverers of America. That’s the scientific consensus, of course, but aren’t there Native Americans who reject it in favor of their interpretation of their traditional origins stories? That’s true. There are Native Americans who do not accept the scientific consensus concerning the origins of the human populations of the New World. Vine Deloria (1995), for example, was a vociferous advocate for a literal interpreta- tion of Native American origin stories, many of which posit an in-place creation of the native people of North America. Deloria was a brilliant writer and a tireless worker for Native American causes. He also was, essentially, a creationist. His creationism was not that of fundamentalist Christianity but was informed by a modern, pan-Indian religion. The fact that the creation stories of Native Americans vary widely from tribe to tribe seemed not to trouble Deloria, who maintained that even conflicting stories about creation could all somehow simultaneously be true. Assertions that the native people of the New World didn’t come from anywhere else but were created and placed here is a creationist, religious doctrine. It certainly warrants respect as a faith-based perspective, but it is not informed by scientific evidence or reasoning. Part of the appeal of such Native American creationism seems to be due to its appeal to ethnic pride: You comment that a Native American told you that his objection to the land bridge scenario was, “It makes us immigrants, no different from you and your ancestors.” Are there parallel misconceptions for people from different ethnic backgrounds? For whatever reason, a number of ethnic groups take it as a point of pride that, in their view, a member of their group discovered America or, at least, was the first non- northeast Asian to arrive on our shores. At noted above, individuals of Irish and Scandinavian descent have claimed bragging rights to the “discovery” of America. I have met and read a number of articles by an extraordinarily sincere American Jewish woman who has spent much of her adult life trying to support the long-ago disproved claim that American Indians were members of one or more of the so-called Lost Tribes of Israel. The Daughters of the American Revolution, many of whom are of British descent, erected a plaque in Mobile Bay, in Alabama, wherein the supposed discov- ery of America by the Welsh Prince Madoc in AD 1170 is memorialized. The late Ivan Van Sertima, a professor of African Studies at Rutgers University, was a promulgator and supporter of the claim that West African travelers visited the New World and, essentially, brought civiliza- tion to the Indians, igniting the Olmec culture’s rise to dominance in lowland Central America (see, e.g., Van Sertima 1976). Ethnic pride can be a powerful motivation for belief and has been the source of archaeological mischief for decades. Much of the British support for the fraudulent Piltdown Man fossil resulted from the fact that it appeared to give the people of Great Britain something both scientists and the general public there desperately craved—an ancient evolutionary ancestor to rival those found in France and Germany. The most egregious example of the use of ethnic pride in the support of historical claims that are not supported by archaeological data can be traced to the Nazis (Arnold 1992). Ancient archaeological sites were interpreted by the Nazis as proving the more widespread presence of Aryans in the distant past. In discussing archaeologists and historians, Hitler’s Minister of the Interior Heinrich Himmler (who also oversaw the concentra- tion camps) wrote: The one and only thing that matters to us, and the thing these people are paid for by the State, is to Evo Edu Outreach (2011) 4:262–266 263 http://instaar.colorado.edu/QGISL/bering_land_bridge/ http://instaar.colorado.edu/QGISL/bering_land_bridge/ have ideas of history that strengthen our people in their necessary national pride. In all this trouble- some business we are only interested in one thing—to project into the dim past the picture of our nation as we envisage it for the future…Our teaching of German origins has depended for centuries on falsification. We are entitled to impose one of our own at any time. (Quoted in Arnold 1992:33) Himmler is chillingly forthcoming in his admission that the truth matters not at all and that archaeology exists to serve the state. The Nazi example shows, in the most extreme case, what can happen when the motivations of ethnicity supersede science. Are there prevalent misconceptions about the settlement of the Americas that, like Native American creationism, are rooted in religious beliefs? Religious dogma has long played a role in speculations about the source of Native Americans. When it was finally recognized that Columbus had not encountered people living just off the coasts of China and Japan but had come upon, as Amerigo Vespucci first characterized it in 1503, “a new world,” many European thinkers felt compelled to explain the presence of people in this new world within a biblical framework. In their view, the native people of the Western Hemisphere must be descendants, ultimately, of Adam and Eve and, more recently, of Noah and those saved on board the Ark. Because all three of Noah’s sons had been historically accounted for by European biblical scholars (Japheth was presumed to be the ancestor of Europeans, Shem of Asians, and Ham of Africans), Native Americans must be the progeny of one of those already accounted for geographic populations. European thinkers speculated for centuries about which descendants of one or more of Noah’s sons had migrated— perhaps by boat since, after all, Noah had been a sailor—to the Americas. Furthermore, some members of the Church of Jesus Christ of Latter Day Saints interpret the Book of Mormon as claiming that at least some of the people living in the New World upon Columbus’s visits had arrived from Israel around 2,000 years ago. All such speculations are fueled by an attempt to reconcile history with a religious tract’s teachings. None is based on an objective analysis of the archaeological record. Where do students acquire misconceptions such as these? From the feedback I receive from students in my classrooms, cable television is a major promulgator of misconceptions about the human past, usually in the guise of scientifically or historically based documenta- ries. Many of these documentaries are predicated on the assumptions that prehistory and history are rife with unexplained mysteries and, more importantly, that these mysteries cannot be solved by applying the standard scientific approach. From Maya end-time predictions, to ancient alien pyramid builders, to Nostradamus, to an Atlantean super-culture, such documentaries grab the attention of television viewers by claiming, essentially, that those boring scientists in their ivory towers don’t have a particularly good idea of—or not a particularly interesting explanation for—what happened in the past and when. Alternative views—often a euphemism for views without any scientific evidence to recommend them—are presented as simply more interesting. Whether they’re correct or not seems not to be a primary concern. It’s little more than “infotainment,” and unfortunately students often don’t get the difference between such nonsense and the findings of real science. Have any of these misconceptions significantly increased or decreased in popularity since you have been studying them? Why? I have been informally tracking changes in the popularity of various claims made in the name of archaeology for about 25 years. Essentially, I’ve asked students on the first day of each semester to complete a survey concerning their level of agreement with a number of statements (about Atlantis, ancient astronauts, King Tut’s curse, and some others). The interesting thing I’ve found is that, yes, the popularity of such things varies from year to year, but no, there isn’t an overarching pattern of increasing or decreasing agreement on any specific claim. In essence, dealing with archaeological pseudoscience is an intellectual game of whack-a-mole. A mole pops up its head on one cable channel, archaeologists smack it down, only to have another mole pop up somewhere else, on another channel. I’m sure that this year, one such “mole” will be Maya end-time predictions (which, by the way, the Maya did not make for 2012). This bit of nonsense will fade away once we don’t all die on December 21, 2012, only to be replaced by something equally silly. I can’t quite explain why the popularity of various claims waxes and wanes. The Maya end-time prediction is obvious, as the prediction is (supposedly) specific about when the world will end. In other cases, much of it may be media-driven. For example, the ancient astronaut claims have been on the wane for some time; the books of its chief proponent and cheerleader, Erich von 264 Evo Edu Outreach (2011) 4:262–266 Däniken (1970, 2000, 2002), don’t sell nearly as well as they once did. A theme park in Switzerland devoted to the ancient astronaut theme (Powell 2004) closed its doors in 2006 as a result of poor attendance (http://www. swissinfo.ch/eng/Home/Archive/Closure_of_Mystery_ Park_is_no_enigma.html?cid=5576928). But a recent cable series devoted to the claim that human antiquity is filled with evidence of the visits of extraterrestrial aliens has been wildly popular during the last couple of years, and I expect to see a corresponding uptick in student interest in and acceptance of that idea. What misconceptions do you find to be prevalent among your undergraduate students? For my money, the most important misconceptions students have are not about specific claims, but about the scientific method itself. They don’t understand that the pursuit of knowledge through science is necessarily an imperfect process, characterized by fits and starts, mistakes, blind alleys, and multiple returns to the “drawing board.” Too many of our students view all this as meaning that science is no better than any other pathway toward knowledge (intuition, revelation, etc.), because it’s a messy process. They seem not to understand that allowing for mistakes and revision is a fundamental strength of the scientific process. What sources of information would you recommend to teachers, particularly at the high school level, to help them to understand these misconceptions and to prepare for students who may have been exposed to them? I would recommend my own book Frauds, Myths, and Mysteries: Science and Pseudoscience in Archaeology (Feder 2011) as a good place for students to start. My latest book, The Encyclopedia of Dubious Archaeology (Feder 2010), is geared specifically to a high school audience. As a one-volume encyclopedia with a series of concise, relatively short, alphabetically organized listings, it’s another good place for students to begin their investigation of the scientific approach to claims made about human antiquity. For books with detailed treatments of pseudoscience in archaeology and anthropology, suitable for high school students, I would also recommend: & On the Bermuda Triangle, Larry Kusche’s The Bermuda Triangle Mystery Solved (1995). & On Atlantis, there is no better source than Paul Jordan’s The Atlantis Syndrome (2001). & On astronomy, Phil Plait’s Bad Astronomy (2002) is fantastic. & On the Shroud of Turin, there’s none better than Joe Nickell’s Inquest on the Shroud of Turin (1987). & On Bigfoot, I think that David J. Daegling’s Bigfoot Exposed (2005) is a great read. & On the chupacabra, Ben Radford’s new book Tracking the Chupacabra (2011) puts that story to rest. For a nice array of websites applying the scientific method in dealing with popular (and often alternative) claims related to the human past, visit the home page of my Frauds book (you don’t need a password and you don’t have to purchase the book to access the page) for links to a bunch of great sites, organized by the chapters of my book: http://highered.mcgraw-hill.com/sites/ 007811697x/student_view0/index.html. Under each chapter in the pull-down list on the left, select “Best of the Web” for direct links to websites related to the chapter’s topic. You can also find a “Video Companion Guide” on the Frauds website with recommendations for videos related to some of those same issues. How can teachers help their students recognize the differences among “frauds, myths, and mysteries” with regard to the settlement of the Americas— that is, knowing when a claim is a downright hoax, when it is pseudoscientific, and when it is merely taking a stand on a question where there is no settled scientific consensus? How do you motivate them to examine their misconceptions, and what tools are useful for them in doing so? As in any other field of inquiry, teachers can lay out the basic framework of the scientific method and have students figure out where and how some claims made on websites or television documentaries fall short. Like all of us, students don’t like being fooled and, with the proper analytical tools, they often can figure out a scam or a hoax. The “Quick Start Guide” in my Frauds, Myths, and Mysteries (Feder 2011) presents a checklist that students can apply to claims made about the human past—or any other field of inquiry. The Guide suggests that, faced with extraordinary claims or revolutionary interpretations about the human past in the popular media, you ask questions like: & Where is the particular claim or discovery presented? Is it in a media outlet with the ability (and the willingness) to report accurately on scientific topics? & Who is making the claim? Is it a scientific researcher trained in archaeology, anthropology, or history? Evo Edu Outreach (2011) 4:262–266 265 http://www.swissinfo.ch/eng/Home/Archive/Closure_of_Mystery_Park_is_no_enigma.html?cid=5576928 http://www.swissinfo.ch/eng/Home/Archive/Closure_of_Mystery_Park_is_no_enigma.html?cid=5576928 http://www.swissinfo.ch/eng/Home/Archive/Closure_of_Mystery_Park_is_no_enigma.html?cid=5576928 http://highered.mcgraw-hill.com/sites/007811697x/student_view0/index.html http://highered.mcgraw-hill.com/sites/007811697x/student_view0/index.html & How does the person announcing the discovery, making the claim, or interpreting the results of the study “know”? Is scientific methodology being followed? & Were the views of other experts presented? Were they in agreement, skeptical, or in disagreement? & Were any confirming data presented? Is the particular claim or discovery consistent with what is already established about the topic? & Were enough data presented for you to decide whether the claim or discovery was legitimate, or are there still important questions unaddressed? Additionally, all of the Best of the Web sites accessible on the Frauds web page are useful. Why is it important that people understand what we know, and how we know it, about the settlement of the Americas? The best answer to such a question is another question: How could it not be important to truly understand a crucial part of the human past: the discovery and populating of two continents? In essence, the exploration of, migration to, settlement of, and adaptation to the many and diverse environments of the New World provides anthropologists, historians, cultural geographers, human ecologists, demogra- phers, etc., with what amounts to a laboratory in which they can study the myriad ways in which people create ways to live. Understanding the timetable for these adaptations, the source populations, and the environmental changes these people faced can help to illuminate the human condition and, if we’re lucky, remind us in the present about ancient responses to the sometimes remarkably similar challenges we face today (Sabloff 2008). We in the present are not the first people faced with the challenges of environmental change, population pressure, species extinction, resource depletion, soil erosion, and warfare. A broad and accurate understanding of how people reacted to these and similar challenges can only help us develop responses to those we face in the modern world. We can’t base those responses on fables, wishful thinking, speculation, frauds, myths, or mysteries. We need real data and explanations supported through scientific reasoning. References Arnold B. The past as propaganda: how Hitler’s archaeologists distorted European prehistory to justify racist and territorial goals. Archaeology. 1992;45:30–7. Daegling DJ. Bigfoot exposed: an anthropologist examines America’s enduring legend. Walnut Creek: AltaMira Press; 2005. Deloria Jr V. Red earth, white lies: Native Americans and the myth of scientific fact. New York: Scribners; 1995. Feder KL. The encyclopedia of dubious archaeology: from Atlantis to the Walam Olum. Santa Barbara: Greenwood; 2010. Feder KL. Frauds, myths, and mysteries: science and pseudoscience in archaeology. 7th ed. Boston: McGraw-Hill; 2011. Jordan P. The Atlantis syndrome. Stroud: Sutton; 2001. Kusche L. The Bermuda Triangle mystery solved. Amherst: Prometheus; 1995. Nickell J. Inquest on the Shroud of Turin. 2nd ed. Buffalo: Prometheus; 1987. Plait P. Bad astronomy: misconceptions and misuses revealed, from astrology to the moon landing “hoax”. New York: Wiley; 2002. Powell EA. Theme park of the gods? Archaeology. 2004;57(1):62–7. Radford B. Tracking the chupacabra: the vampire beast in fact, fiction, and folklore. Santa Fe: University of New Mexico Press; 2011. Sabloff JA. Archaeology matters: action archaeology in the modern world. Walnut Creek: Left Coast Press; 2008. Van Sertima I. They came before Columbus: the African presence in ancient America. New York: Random House; 1976. von Däniken E. Chariots of the gods? New York: Bantam Books; 1970. von Däniken E. The return of the gods: evidence of extraterrestrial visitations. New York: Element Books; 2000. von Däniken E. The gods were astronauts: evidence of the true identities of the old gods. London: Vega Books; 2002. 266 Evo Edu Outreach (2011) 4:262–266 Misconceptions about the Settlement of the Americas: Interview with Kenneth L. Feder Abstract Let’s begin with what may be the most common misconception about the settlement of the Americas: Did Columbus discover America? That’s the scientific consensus, of course, but aren’t there Native Americans who reject it in favor of their interpretation of their traditional origins stories? Part of the appeal of such Native American creationism seems to be due to its appeal to ethnic pride: You comment that a Native American told you that his objection to the land bridge scenario was, “It makes us immigrants, no different from you and your ancestors.” Are there parallel misconceptions for people from different ethnic backgrounds? Are there prevalent misconceptions about the settlement of the Americas that, like Native American creationism, are rooted in religious beliefs? Where do students acquire misconceptions such as these? Have any of these misconceptions significantly increased or decreased in popularity since you have been studying them? Why? What misconceptions do you find to be prevalent among your undergraduate students? What sources of information would you recommend to teachers, particularly at the high school level, to help them to understand these misconceptions and to prepare for students who may have been exposed to them? How can teachers help their students recognize the differences among “frauds, myths, and mysteries” with regard to the settlement of the Americas—that is, knowing when a claim is a downright hoax, when it is pseudoscientific, and when it is merely taking a stand on a question where there is no settled scientific consensus? How do you motivate them to examine their misconceptions, and what tools are useful for them in doing so? Why is it important that people understand what we know, and how we know it, about the settlement of the Americas? References 
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work_y2drkdortnhqhhhvatzihbs3ya	----	International Journal of Science and Business 1 International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Email: editor@ijarbas.com editor.ijarbas@gmail.com Website: ijarbas.com Published By The First Period of Washington Irving's Creation AUTHOR(S): RASULOVA SOKHIBA ULUGBEKOVNA Abstract The article is referred about the life and work of the famous American writer, founder of national literature, master of sensitive style Washington Irving. While the author analyzes Irving’s work on the basis of English sources, the future of the short story-novella genre, which plays an important role as a novel, is associated with the name of Washington Irving. She tries to open the real and comic plot of the writer’s early novels (Sketchbook). In fact, the truth can only be achieved through hard work. That fact is the most precious thing in the life of Irving. At the same time, the article also seeks to describe the role of the eastern legends in the works of Irving (Al-Hamro). Keywords: novella, novel, romance, realist, naturalist, almanac, parody, cartoon, indiаns, federalists, IJARBAS Accepted 25 June 2020 Published 30 June 2020 DOI: 10.5281/zenodo.3930923 Volume: 2, Issue: 6 Page: 44-51 YEAR: 2020 ISSN 2664-7354 (Online) & ISSN 2708-2687 (Print) International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Volume: 2, Issue: 6, Year: 2020 Page: 44-51 2 International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Email: editor@ijarbas.com , editor.ijarbas@gmail.com Website: ijarbas.com Published By IJARBAS - International Author(s): RASULOVA SOKHIBA ULUGBEKOVNA Department of English language and literature, Samarkand, Uzbekistan. E-mail: rasulovasokhiba@gmail.com About Author mailto:rasulovasokhiba@gmail.com Volume: 2, Issue: 6, Year: 2020 Page: 44-51 3 International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Email: editor@ijarbas.com , editor.ijarbas@gmail.com Website: ijarbas.com Published By IJARBAS - International Introduction. The future of the short story-novella genre, which has played an important role in the history of American national literature, beyond the ocean, as a novel, is associated with the name of the writer Washington Irving. This genre has attracted naturalists, realists and romantics of the 19th century, as well as all writers from the 20th century to the present day. Europe recognized Irving before the United States. His works were loved and read by such writers as Walter Scott, A.S. Pushkin, G. Heine, I.V. Goethe, N. Gogol, he was a contemporary of Dickens, Thackeray, Belinsky, and they also appreciated him. Irving was born in New York, when the city was still a colony, the Broadway, glowing with lights, was no more, and the whole of New York, covered with dependent fields and meadows, could be explored in just twenty minutes. The author’s father, originally from Scotland and a member of the Manhattan commercial aristocracy and a wine and wine trader, decided to educate his son in law and the young Washingtonian studied law at three law firms but dreamed of the sea and travel. Once, to a Dutch village on his way, he takes a boat ride on the Hudson River and is shaken by the magnificent view of the Kaatskil Mountains. The wild nature, the forested lands, the magical changes of light in the mountains, the beauty and variety, the purple sky with the sun shining and the mountains amaze him. Irving later wrote, "I am eternally grateful to have been born on the Hudson River. The priceless advantage of being born and raised here is to be in communion with the glorious and noble blessings of nature, such as rivers, lakes, and mountains." Young Irving's interest in the book was also strong. As a young man, he read Spencer, the Choser. In childhood and adolescence Ancient World Literature develops his writing taste. It evokes feelings of respect and love for European culture. 1804 Irving travels to Europe and travels to Italy, Switzerland, England, the Netherlands, the south of France, and Paris. His two years in Europe strengthened the young Irving's knowledge of European literature. The study of the exact and natural sciences in Paris: chemistry, mathematics and botany, made him a fan of European culture and literature. Young Irving, in particular, has become fascinated by the history and culture of ancient Europe, as well as world history. But these trips are the second of his life continued in part, and in his youth became more interested in modern America. Returning to his homeland, he and several friends set out to create an almanac called Salmagundi, based on the works of eighteenth-century American essayists, particularly the Eddison style. Among his friends are now promising young writers James Golding, D.C. Drake, F.G. Holding and Irving had a brother, Williams. In two years (1807-1808) 20 editions of "Salmagundi" appeared. As the name suggests, it was a mixed comedy edition. The goal is set by the authors as follows: “Teaching young people, old things as defined by: “educating young people, renewing old things, criticizing negative habits that are widely accepted for leading the townspeople in the right direction”. The humor of the parody cartoons, the comic sketches of the morals of the "cyborgs" of that time, the political commentaries - the content of the books "Salmagundi" aroused great interest in the reader. This was the first example of comic periodicals on American soil. In imitation of Montesquieu's Persian Letters, Irving and his friends created "their own Arabs" - the protagonist is called Mustafa Rab-e-dab Kelikhan. U as if he were secretly watching the political life of the United States like the heroes of Montesquieu, and wrote letters describing it to his distant friend Azem Nakhem. Volume: 2, Issue: 6, Year: 2020 Page: 44-51 4 International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Email: editor@ijarbas.com , editor.ijarbas@gmail.com Website: ijarbas.com Published By IJARBAS - International Experimental details. The authors of the almanac had their own political image - they opposed federalists and President Jefferson’s policies. The Federalist Party in New York was the “ruler of the situation,” defending the interests of the big traders. That's why young writers from New York boldly "touched" the US president in the pages of the almanac. They’re just the president’s red pants rather, they laughed at his policies of domination and portrayed himself as a demagogue. The struggle between the political parties - the Federalists and the Democrats - was also ridiculed. Young journalists did not spare their parties, they attacked unprincipled politicians, openly criticized those who were corrupt in their ranks, turned demagogic policies into a source of profit, and aspired to government positions The satirical image of politicians and American elections became an inexhaustible source of further romantic and realistic literature in the pages of Salmagundi, later published in the almanac, the pamphlets of Fenimore Cooper, the satirical stories of Edgar Allan Poe, Brad Hard's journalism, Mark Twain's novels Writers such as Whitman, Theodore Dreyzer, and Jack London were unfortunately created from it. In the fall of 1809, the Evening Post in New York published an article about an old man named Nickerboker, a small man in a black jacket and a triangular hat. Please send information to the hotel or newspaper editorial office. Eleven days later, the news of the appearance of such a man under the sign "Travellers" is published again: Nickerboker's rest on the road to Alben they see that they are receiving; he had a small red knot in his hand, and the old man looked tired. In November, newspaper subscribers were told in a letter from Colombian hotel owner Seth Handasaid that an "interesting manuscript" had been found at the hotel and that if Nickerboker did not return, the manuscript would be published to pay his debt to the hotel owner. Shortly afterwards, the newspaper's Literary Notes published a two- volume, three-dollar book by The History of New York entitled The Mystery of a Mysterious Old Man by Dietrich Nickerboker. will be published. However, Irving still worked as a law clerk in Albany and wrote very little over the next decade. In 1815 he was engaged in the affairs of his father's trading company in Liverpool, where he was also a shareholder. Being in Europe for three years, meeting writers, artists, actors and most importantly, the bankruptcy of a trading company made Irving a professional writer. With the help of Walter Scott, Irving published his first collection of short stories, the Book of Sketches, a collection of 31 short stories (1819), and soon published a second collection, The Bresbridge Hall (1822). This book consisted of 50 short stories with an introductory part. Soon both books were translated into French and German. Methodology. In search of material, Irving travelled to Germany, France, London, and again lived in Paris for some time. worked on a new collection of stories, expanded the circle of acquaintances in the literary environment, became interested in painting, culture, met with the famous sculptor Kanova. Irving befriended many artists of his time (Ch. Leslie, D. Wilkie, E. Newton), who himself had mastered the art of painting in pen and ink, and this is also felt in his literary style. His passion for music - Bach, Mozart, Rossini - gave him pleasure, but his love of literature was stronger than all. He knew the history of philosophy and literature perfectly from the ancient world. His art it is no coincidence that in practice there are traces of acquaintance with Aristotle, Herodotus, Epicurus, Lucretius. Irving met and admired the representatives of European literature of past centuries — Choser, Shakespeare, Rable, Volume: 2, Issue: 6, Year: 2020 Page: 44-51 5 International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Email: editor@ijarbas.com , editor.ijarbas@gmail.com Website: ijarbas.com Published By IJARBAS - International Cervantes, Swift, Plane, Fielding, Stern, and his contemporaries Goethe, Schiller, and Byron. With this passion and charming smile, his chestnut hair, and his handsome appearance, Irving was a pleasant man for others. He easily befriended poets, playwrights, musicians, and gladly helped everyone. While creating a work of art consisting of librettos and compositions, but not in a hurry to sign them. While living in Paris, he soon learned Spanish, which he found very useful. In 1824, Irving's published "Talesofa Traveler" 1- "Strange Story es ofa Nervous gentleman", 2- "Buckthorne and Hisfriends", 3— “The Italian Banditti”, 4— “The Money- Diggers”. Although Edgar Allan Poe, Longfello, and Stevenson admired these short stories, the book came under severe criticism in the bourgeois press. The New York Mirror even called it "Children's Stories." Considering his best book, Irving put a lot of effort and effort into making its content and composition flawless, according to biographers, so he “entered the world of history” and created biographies of celebrities. He dealt with history until the end of his life, but did not abandon fiction. From 1826, Irving was sent to work at the American diplomatic mission in Spain. He left for Madrid with joy; he was interested in the heroic past of the country, the opportunity to work in the Spanish archives. With youthful zeal and childish courage, he plunged into the world of Spanish art and heroic history. The writer lived in the house of the American consul Obadiah Rich, a man who compiled a very unique collection of documents (Hispano-America). Irving was searched incessantly in the rare books and ancient manuscripts of Rich’s house. Cortez's letters, and the discovery of unpublished plays by Lope de Vega, sparked Irving's enthusiasm. He first began to translate in English the documents and materials of Martin Fernandes de Navarret (sixteenth-century Spanish historian Rasulova S.) about Columbus's travels, but then based on them in his "Life and Voyages of Christopher Columbus" », 1828). Influenced by the ancient Spanish chronicles, the writer chooses to depict everything in a bright and extravagant style, giving his work a romantic flavour and a little adventurous character. A book about Columbus is one that stands out for its style and variety recognized as a "triumph of literary mastery." Irving found Spanish state archives, books and manuscripts that were unique to the writer and historian in the libraries of his colleges. In his imagination, the period of Mauritanian rule in Spain (the “Eastern Invasion of Europe”), the struggles of the Spaniards with the Moors, the events, as the writer puts it, were “favourite” sources from his childhood. The author perfectly adapted to the Spanish antiquity of the Middle Ages and skillfully narrated his stories in the spirit of the legends of that period. Irving's books on Spanish history were published one after another: The Chronicle of the Conquest of Granada (1829), The Voyages and Discoveries of the Companions of Columbus, 1832. The Legends of the Conquest of Spain (1835), and so on. Until the writer's death, Spanish themes and colorful works appear under his pen. Living in Spain, the writer traveled extensively; among his friends was the young prince Dolgorukov, who was an attaché at the Russian embassy. On horseback Irving and Dolgorukov travel to Andalusia, tour the castles and ruins of Mauritania, spend the night at the Don Quixote Hotel, climb the mountains where the smugglers and bandits took refuge, and visit Palos, from where Columbus made his first voyage. A trip to Grenada and a stay at the Algambra, a Mauritanian palace in the 13th and 14th centuries, will leave an indelible impression on the writer. Irving was going to watch it five days and stays there for four months. In a letter to his wife, Catherine Dobril, the Russian ambassador to Spain in 1829, Volume: 2, Issue: 6, Year: 2020 Page: 44-51 6 International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Email: editor@ijarbas.com , editor.ijarbas@gmail.com Website: ijarbas.com Published By IJARBAS - International Irving wrote that he was happy in this wonderful place, that the place was so rich in romance and extraordinary events, that he shook white silk sleeves, admits that he had a clear idea that he had given a sign to the Christian knight. Indeed, such images appeared in every sketch or short story in 31 chapters of Irving's original poetic work, The Alhambra (or the New Sketch Book 1832). In 1829, Irving left Spain and moved to London, where he also engaged in diplomatic work. He was in no hurry to return to his homeland and said he was ready to stay in Europe “until the end of his days”. He meets William Godwin and Mary Shelley, and Irish poet Thomas Moore visits Walter Scott in Abbats for. Irving praises Dickens, calling the image of Pickwick the Don Quixote of public life. In 1842, when Dickens visited the United States, Irving met him. But Irving does not forgive Dickens as a person who insulted “American Hospitality Laws” with his book “American Accounts” and Irving was in England. he never sees Dickens again. However, he continued to praise Dickens as a writer. Irving returned to the United States in 1832. That same year, he traveled to the south and west of the United States with his childhood friend Paul James, telling the story in his book, Journey to the Prairie. The friends swim in the Hudson River, see the Kaatskil Mountains, then ride a horse from Gibson Castle along the Erie Canal to the inside of the prairies. After a month in the saddle, they boarded a boat from Ohio, across the Mississippi River, to New Orleans, then crossed Alabama, Georgia, North and South Carolina in dilijans. The trip will be very interesting. The Indians, who set out on a journey through mountains, forests, rivers and lakes, amaze the writer with their poetic imaginations, adventures, rich satire and satirical stories. Carefully studying the heroism of the true Indians, Irving concludes that they do not resemble those described in the literature at all. They just keep quiet in front of people they don’t trust. Indians are great mimics and actors, completely devoted to criticism and satire when left alone. Results and discussion. Such a "natural description" of the Hindus appears for the first time in American literature. Irving's calmness and sometimes anger in the image of the Hindus attracts the reader. He angrily explains that he went to a Hindu camp and brings a horse try to h it. Irving writes stories about the ruthless frontier colonialists on the subject and criticizes them as the robbers, the plaintiff, the witness, the court, and the chamber themselves. He argues that such inappropriate actions of theirs will lead to revenge and relentless wars of the Hindus. Irving wrote The Enterprise of Legends Behind the Astorian or Rocky Mountains (1836) at the suggestion and order of the then fur king John John. Then the author writes “Rocky Mountains or Vocabularies and Adventures in the Far West. Captain B.L.E. Based on the Bonville Diary ”(1837). John Astor - a German who came to America with his family, with only a flute and $ 25 in his pocket, Astor later made money and worked for decades, founding the city of Astoria in 1805 on the banks of the Columbia River and amassing a fortune of $ 20 million by buying furs. Astoria will become a center of fur trade. Through Astoria, the purchase of fur from Russia and their resale to China will be established. Henry Brevurt, Irving's childhood and youth friend A sales agent under John Astor, the author's brother William was also involved in fur sales. They gladly provided Irving with "documents" and memories; Since the formation of Astoria, a stack of papers and letters have also been taken from Astor itself; With Irving Astor together they meet the people who founded the city on the banks of the Columbia River. At Volume: 2, Issue: 6, Year: 2020 Page: 44-51 7 International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Email: editor@ijarbas.com , editor.ijarbas@gmail.com Website: ijarbas.com Published By IJARBAS - International Astor's house he met Captain Bonnville, who led the expedition, whose military department was adorned with military weapons, equipment, and clothing of the Indians. He tells her many adventures. Irving buys the manuscripts of Captain Bonnville, which were the diaries, expedition cards that formed the basis of the book. Both of Irving's works were sharply criticized by American intellectuals at the time. Cooper calls Irving a "parasite" - an unbeliever. Indeed, the appearance of these two books does not bring Irving fame. However, his position required clarity. That's it describing northwestern America at the time, Irving’s benevolent attitude toward the Indian tribes in present-day Canada did not change when the first fur traders approached the Indians. As before, he is well aware that the Indians are perishing under the pressure of the aliens; he appreciates the Indians, their nobility by nature, the strength of their character; Native American women are so determined that they amaze and inspire. Irving loved the "poetry and romance" of Native Americans, the myths about hunters, fishermen. But a man who belongs to the owners of the continent as such, he considered the Indians to be historically doomed: hence the "wheel of history" as the "steps of civilization" that could not be reversed. “Intelligent” Irving even tends to ridicule Cooper’s romance through schools that portray the fate of the Indians. His focus is on Europeans. They face incredible challenges, true courage, and their lifestyles are sometimes equivalent to the level of ‘predators’ [2 Parrington Irzing, the author of The Astoria. He calls it the “Philosophy of Compromise,” and ironically adds: “In a wonderful exploitation, Irving saw a new romance and emphasized the work of the Creator in the fraudulent profits”; "The search for beautiful events led him to an empty desert" ("Osnovnye techeniya ...", vol. 2, pp. 244-247).]. Irving sees something in their behavior that attracts, romantic events, and also forgets why they are making this move. There is also an explanation of the position. Irving's youth was spent in that country, where industry and trade were underdeveloped; small towns and their inhabitants led a rural lifestyle. Irving describes the town, which feeds everyone with melons, in his early short stories. Returning home after nearly two decades, the writer is amazed to see the industrial development of his country. He was proud of the prosperity of his country, with two failures with that feeling led the creation of his work. But they cannot be considered Irving’s random works: they stem from the writer’s political indifference. Two or three years ago, before publishing these books, he wrote to his brother Peter: “You are right about my distance from politics. The more I look at political life, the more I hate it.... Avoid dirty politics, but accept the results calmly, this policy and even the work of business conquistadors romanticization - this was an aesthetic and conservative position. He creates his latest creative work from this position. At his cozy and comfortable residence on the Hudson Beach, known as the “Sunny Side,” Irving is completely immersed in books and manuscripts. Conclusion. In the last decades of his life he has been given biographical cases close to the novel genre. For example, Oliver Goldsmith (1849) is such a work. Here, through an invisible purifier, the story embodies the dramatic uniqueness of romance. Sometimes such books explore philosophical diversity, such as "The Prophet Muhammad and His Successors," or a pathetic monumental study. on which Irving worked for 34 years, that is, from 1825 to the last days of his life. For many years he was President Washington He has studied archival documents in the State Department, all published historical sources, a large number of memoirs in personal collections, and extensive correspondence. Irving is proud of his country’s recent revolutionary past, dedicating his life to it and doing great things, and this Volume: 2, Issue: 6, Year: 2020 Page: 44-51 8 International Journal of Academic Research in Business, Arts and Science (IJARBAS.COM) Email: editor@ijarbas.com , editor.ijarbas@gmail.com Website: ijarbas.com Published By IJARBAS - International becomes an expression of his patriotism. Recommendation. He portrays Washington not only as a hero of the War of Independence: 1) A statesman and the first president of the United States, but also as a patron of American literature. The author also presents American history, beginning in Washington, as an inexhaustible source of inspiration for his literature. 2) It should be noted that Irving's prediction is not true, until then it was only the young Fenimore Cooper, who wrote the American historical novel, who had advanced in this field, and who had also passed away by this time. References Brooks V.W. The world of Washington Irving]. New York.(1946) The World Public Co., 495 . Brooks V. W. The world of Washington Irving. (1950). New York., 514. Irving W. A history of New York, (1968). Izd. Podgot, A.A. Elistrasty Afterword and note. A.N.Nikolyukina. – M., Nauka, 363. Elistratova A. Irving V book: A history of American literature.(1947). M., Tom 1. 114-141. Irving W. Novellas,(1954)/ perevod A.Bobovicha ; Vstup. statya E. Loprevoy.-M.: L., Goslitizdat, .-VII. 310. W. Irving. Diedrich Knickerbocker’s. A history of New York,(1927) ed. With an introd. by S.Williams and T. McDowell (New York: Harcourt, Brace &Co.,) W. Irving. The sketchbook, (1939).– New York: The book league of America. – 404 p. Parrington V.L. The main currents of American thought.(1964). T.2. The Revolution of Romanticism in America. M. Wagenknecht E. Washingiton Irving: Moderation displayet.(1962). New York: Oxford university press, X. 293 . William St., W.Irving Perev s angl.-Vkp;A history of USA literature. (1977) M., Tom 1.- 298- 309p. Cite this article: Author(s), RASULOVA SOKHIBA ULUGBEKOVNA, (2020). “The First Period of Washington Irving's Creation”. Name of the Journal: International Journal of Academic Research in Business, Arts and Science, (IJARBAS.COM), P, 44- 51. DOI: http://doi.org/10.5281/zenodo.3930923 , Issue: 6, Vol.: 2, Article: 5 Month: June, Year: 2020. Retrieved from https://www.ijarbas.com/all-issues/ Published by AND ThoughtWares Consulting & Multi Services International (TWCMSI) https://www.ijarbas.com/ http://doi.org/10.5281/zenodo.3930923 https://www.ijarbas.com/all-issues/ 
work_y3xzhyd4qvd47e2ravogx3ar6u	----	SCIENCE CHINA Life Sciences © The Author(s) 2013. This article is published with open access at Springerlink.com life.scichina.com www.springer.com/scp email: hefc@bmi.ac.cn SPECIAL TOPIC: Lifeomics and translational medicine March 2013 Vol.56 No.3: 201–212 • REVIEW • doi: 10.1007/s11427-013-4464-6 Lifeomics leads the age of grand discoveries HE FuChu State Key Laboratory of Proteomics，Beijing Proteome Research Center, National Center for Protein Science (Beijing), Beijing 100850, China Received January 5, 2013; accepted January 10, 2013 When our knowledge of a field accumulates to a certain level, we are bound to see the rise of one or more great scientists. They will make a series of grand discoveries/breakthroughs and push the discipline into an ‘age of grand discoveries’. Mathematics, geography, physics and chemistry have all experienced their ages of grand discoveries; and in life sciences, the age of grand discoveries has ap- peared countless times since the 16th century. Thanks to the ever-changing development of molecular biology over the past 50 years, contemporary life science is once again approaching its breaking point and the trigger for this is most likely to be ‘lifeomics’. At the end of the 20th century, genomics wrote out the ‘script of life’; proteomics decoded the script; and RNAomics, glycomics and metabolomics came into bloom. These ‘omics’, with their unique epistemology and methodology, quickly became the thrust of life sciences, pushing the discipline to new high. Lifeomics, which encompasses all omics, has taken shape and is now signalling the dawn of a new era, the age of grand discoveries. age of grand discoveries, lifeomics, life sciences Citation: He F C. Lifeomics leads the age of grand discovery. Sci China Life Sci, 2013, 56: 201–212, doi: 10.1007/s11427-013-4464-6 Natural science is the “art” of discovery, and discovery is the cornerstone of natural science. Discovery, which ex- plores the known and the unknown, is a mastery that re- quires accumulated knowledge and original innovation. A detailed look at the history of science reveals numerous examples of ‘spurring with long accumulation’: when our understanding of a field accumulates to a certain level, we are bound to see the rise of one or more groundbreaking scientists. These great scientists will trigger a flood of dis- coveries, break the shackles of time and advance our under- standing to new high. The result is an explosive growth in one or more related disciplines, bringing new ideas and fundamental changes and this is when a new era begins, i.e., the age of grand discoveries. Thanks to the rapid develop- ment of molecular biology over the past 50 years, especially in the area of omics over the past 20 years, contemporary life science is once again approaching its breaking point and the trigger for this is most likely to be ‘lifeomics’ (i.e., ge- nomics, RNAomics, proteomics, etc.). 1 The age of grand discoveries in science Our understanding and learning of natural sciences begins with mathematics. Modern science is precisely the pursuit of mathematical laws governing nature. Indeed, many sci- entific breakthroughs were made through the development of mathematics. The Pythagoreans of ancient Greece made remarkable contributions that triggered the first age of grand discoveries in mathematics. They were the earliest people to demonstrate the Pythagorean Theorem and propose the concepts of odd, even, prime, amicable and whole numbers. The Pythagoreans considered arithmetic as an ‘absolute and discrete quantity’, music as a ‘relative and discrete quantity’, geometry as a ‘static and continuous quantity’, and astron- omy as a ‘dynamic and continuous quantity’. They estab- lished the doctrine that ‘mathematics is the basis of every- thing’. Because of this doctrine, the Greek philosopher Plato wrote above his academy entrance, “let no one ignorant of geometry enter here.” He viewed mathematics as an indis- pensable tool for understanding the structure of the universe. 202 He F C. Sci China Life Sci March (2013) Vol.56 No.3 Thereon, the development of mathematics became the cor- nerstone of all disciplines that followed. The age of grand discoveries in geography lasted a mere 40 years, but its impact on the world was felt for hundreds of years. At the turn of the 16th century, the geocentric the- ory and the European compass took us to places and routes unknown to civilization. In 1485, Christopher Columbus discovered North America; in 1497, Vasco da Gama dis- covered the Indian Ocean and India; in 1498, Christopher Columbus discovered South America; in 1519, Ferdinand Magellan sailed to the southern tip of South America and discovered a strait that joins the Atlantic and Pacific Oceans; and in 1521, Magellan crossed the strait and discovered the Pacific Ocean, marking a major turning point in modern Western civilization [1]. These geographical explorations brought forth a spread of revolutionary ideas and commer- cial activities, greatly expanding the universe as conceived by Aristotle and Ptolemy. The change prompted many in- tellectuals in Europe to question the authority of the Church, challenging their age-old beliefs and views about the world. The resulting awakening opened the door to critical thinking and promoted innovation in the revolution of science. Chemistry experienced immense growth during its founding period thanks to the discovery of gases and ele- ments in the 18th century. In 1756, Joseph Black discovered carbon dioxide; in 1760, Daniel Rutherford discovered ni- trogen; in 1766, Henry Cavendish discovered hydrogen; and in 1774, Joseph Priestley discovered oxygen [1]. As a result of these discoveries, in 1789, Antoine-Laurent Lavoisier provided a more scientific explanation for combustion—in terms of oxidation—to challenge the then prevailing phlo- giston theory. After extensive research, Lavoisier wrote the book Traité Élémentaire de Chimie (Elementary Treatise on Chemistry) and presented his definition of an element. Be- cause of his work, more than half of all elements that exist in our universe for billions of years were found in the dec- ades that followed (Table 1). It was nothing more than a glory for human beings. In 1869, Dmitri Mendeleev orga- nized the then known 63 elements into groups with similar properties. He recognized that there was a pattern in the way elements behave and created the first periodic table. The examples above illustrate how some of the greatest discoveries in chemistry were gestated through accumula- tion or evolution of knowledge and finally born from their revolution. So far, we have only mentioned disciplines whose ages of grand discoveries took place at the early stage of devel- opment. People might ask, “can a mature discipline enter the age of grand discoveries once again?” The answer is yes, and astronomy and physics are two great examples. Astronomy and mathematics are the oldest of the natural sciences. These disciplines spearheaded the development of science during the Age of Enlightenment. The emergence of heliocentric theory and telescope technologies at the turn of the 17th century triggered the first age of grand discoveries in astronomy. In 1572, Tycho Brahe detected a stellar ex- plosion in the constellation Cassiopeia. He made detailed observations and records for 16 months before reporting the discovery of a supernova. In 1577, Tycho studied a bright comet for 74 days and, based on his observations, deduced that our planet was orbiting the Sun and that comets were not atmospheric phenomena [1]. In 1576, Tycho received the financial support from Frederick II, the then King of Denmark, to build an observatory on the island of Hven. Since then, Tycho had been studying the movement of stars, planets, the Sun and the Moon, day after day, year after year, for 21 years. He collected a huge amount of observational data before publishing his first comprehensive star cata- logue, which detailed the position of more than 1000 stars. Known as the ‘king among astronomers’, Tycho pushed observational astronomy to new high using naked eyes only. His celestial positions were amazingly accurate, supersed- ing those of any predecessor. In 1600, Tycho offered the talented Johannes Kepler unrestricted access to his wealth of observational data. Based on Tycho’s precise data, Kep- ler worked out the orbits of the planets and developed his three laws of planetary motion. He showed that all planets move in ellipses with the Sun at one focus, proving that the Copernicus’ heliocentric model was indeed correct. Because the planets of our solar system move through space accord- ing to Kepler’s laws, many people called Kepler the ‘legis- lator of the heavens’. Even Kepler’s tomb carries an epitaph he wrote himself, “I measured the skies, now the shadows I measure. Skybound was the mind, earthbound the body rests”. Some say it was only because of Tycho’s precise observations that Kepler worked out the laws of planetary motion. Therefore, for a mature discipline such as astrono- my to enter the age of grand discoveries again, it must first accept a revolutionary hypothesis. Subsequently, discover- ies made in the new age can be used to support the hypothe- sis. The early 17th century saw the birth of another physicist whose achievements equalled those of Kepler—Galileo Galilei. He is considered by many to be the ‘father of sci- ence’, as well as the creator of modern experimental science. In 1604, Galileo derived the first (uniform velocity) and second laws of motion (uniform acceleration); in 1609, he discovered uneven terrains on the moon and created a topo- logical map of the lunar surface using a telescope he made for observing celestial bodies [1]; Galileo discovered Jupi- ter’s four satellites, providing supportive evidence for Co- pernicus’ theory; two years later, Galileo discovered sun- spots, solar rotation and the planetary phases of Venus and Mercury. The chain of discoveries initiated a new age of grand discovery for astronomy. Galileo established a re- search approach that integrates experimental measurements with the- oretical analyses through observations. His famous quote, “measure what can be measured, and make measura- He F C. Sci China Life Sci March (2013) Vol.56 No.3 203 Table 1 Chemical elements that were discovered in the 19th century (52 different elements) Z Year Chemical element Country Discovered by 1 1868 He (Helium) France Pierre Janssen UK Named by Lockyer S. N. 2 1817 Li (Lithium) Sweden Arfwedson J. A. 3 1808 B (Boron) UK Davy H. 4 1898 Ne (Neon) Germany Koch Robert 5 1807 Na (Sodium) Germany Davy H. 6 1808 Mg (Magnesium) France Davy H. 7 1825 Al (Aluminium) Denmarl Oeisted H. C. 8 1823 Si (Silicon) Sweden Bertholius J. J. 9 1810 Cl (Chlorine) Sweden Scheele C. W. UK Named by Davy H. 10 1894 Ar (Argon) UK Rayleigh J. W. & Ramsay W. 11 1807 K (Potassium) UK Davy H. 12 1808 Ca (Calcium) UK Davy H. 13 1879 Sc (Scandium) Sweden Nilson L. F. 14 1831 V (Vanadium) Sweden Sefstrom N. G. 15 1875 Ga (Gallium) France De Boisbaudran L. 16 1885 Ge (Germanium) Germany Winkler C. A. 17 1817 Se (Selenium) Sweden Berzelius J. J. 18 1824 Br (Bromine) France Balard A. J. 19 1898 Kr (Krypton) UK Ramsay W. UK Named by Travers M. W. 20 1860 Rb (Rubidium) France by Bunsen R. Named by Kirchhoff G. R. 21 1808 Sr (Strontium) UK Davy H. 22 1801 Nb (Niobium) UK Hatchett C. 23 1827 Ru (Ruthenium) Russia Klaus K. K. 24 1803 Rh (Rhodium) UK Wollaston W. H. 25 1803 Pd (Palladium) UK Wollaston W. H. 26 1817 Cd (Cadmium) Germany Stromeyer F. 27 1863 In (Indium) Germany Richter H. T. & Reich F. 28 1814 I (Iodine) France Courtois B. 29 1898 Xe (Xenon) UK Ramsay W. Named by Travers M. W. 30 1860 Cs (Caesium) Germany Bunsen R. & Kirchhoff G. R. 31 1808 Ba (Barium) UK Davy H. 32 1839 La (Lanthanum) Sweden Mosander C. G. 33 1803 Ce (Cerium) Sweden Berzelius J. J. Germany Klaproth M. H. Sweden Hisinger W. 34 1885 Pr (Praseodymium) Austria Auer von Welsbach C. 35 1885 Nd (Neodymium) Austria Auer von Welsbach C. 36 1879 Sm (Samarium) France De Boisbaudran H. L. 37 1896 Eu (Europium) France Demarcay E. 38 1880 Gd (Gadolinium) Sweden De Marignac J. G. France First isolated by de Boisbaudran H. L. 39 1843 Tb (Terbium) Sweden Mosander C. G. 40 1886 Dy (Dysprosium) France De Boisbaudran H. L. 41 1879 Ho (Holmium) Sweden Cleve P. T. 42 1843 Er (Erbium) Sweden Mosander C. G. 43 1879 Tm (Thulium) Sweden Cleve P. T. 44 1878 Yb (Ytterbium) Switzerland Marignac J. G. 45 1802 Ta (Tantalum) Sweden Ekaberg A. G. 46 1803 Os (Osmium) UK Tennant S. et al. 47 1803 Ir (Iridium) UK Tennant S. et al. 48 1861 Tl (Thallium) UK Crookes W. 49 1898 Po (Polonium) France Curie P. & Curie M. S. 50 1898 Ra (Radium) France Curie P. & Curie M. S. 51 1899 Ac (Actinium) France Debierne A. L. 52 1828 Th (Thorium) Sweden Berzelius J. J. 204 He F C. Sci China Life Sci March (2013) Vol.56 No.3 ble what cannot be measured”, has inspired many experi- mentalists for dozens of generations. Galileo established a new direction for theoretical physics on the basis of exper- imental science. Because of him, we have boundless free- dom to explore the physical world. Discoveries made by Kepler and Galileo ushered in a new era—the Newtonian era. Issac Newton invented the binomial theorem and differential calculus in mathematics, established the law of universal gravitation in astronomy, laid down the three laws of motion in physics, and discov- ered the visible spectrum and reflecting telescope in optics. Having made these great achievements, Newton in 1686 published Philosophiae Naturalis Principia Mathematica (Mathematical Principles of Natural Philosophy) [1], a masterpiece that epitomizes his work on mechanics and gravitation. Lord Newton once said, “if I have seen further it is by standing on the shoulders of giants”. Many people take these as Newton’s humble words, but if we review them carefully, we realise the true meaning of his words. It was through Tycho’s precise data that Kepler derived the laws of planetary motion; it was through large amounts of experimental work that Galileo derived the first and second laws of motion; and it was through the integration of related laws in physics and astronomy that we arrived at the epito- me of Newtonian mechanics. In other words, Newton un- derstood that it was only through standing on the shoulders of giants like Tycho, Kepler and Galileo that he achieved so much in his lifetime. In the same sense, it was through large amounts of observation, accumulation of experimental data, and grand discoveries of laws that we produced these giants. In the late 19th century, the theoretic building of Newton epitomized the studies of acoustics, optics, electromag- netism and thermodynamics. His ‘universal’ laws worked on all matter, from the smallest of microscopic particles to the largest of heavenly bodies. People felt there were little room for expansion in the development of science. However, there were two ‘dark clouds’ hanging over classical physics: the Michelson-Morley experiment and blackbody radiation. Thanks to these two phenomena, relativity and quantum theory were developed to replace Newtonian mechanics as the more generalized theories of the physical world. In ad- dition, a new ‘hypothesis-driven’ research approach, as op- posed to the conventional “discovery-driven” research ap- proach, emerged. Therefore, can we derive all theories from hypotheses? The answer is not always, even for highly the- oretical disciplines like astronomy and physics where theo- ries are typically derived from observations. Some of these observations rely on hypotheses, while others have com- pletely no theoretical bases. For example, discoveries de- rived from aforementioned geocentric and heliocentric the- ories were driven by and proven from hypotheses. However, the discovery of Kepler’s three laws and Galileo’s two laws did not rely on any hypothesis. They were purely based on scientific observations and vast amounts of scientific data. Even in the case of relativity, which involves a lot of thought experiments, the main assumptions were based on results from the Michelson-Morley experiment. In reality, the hypothesis-driven approach is just as important as the discovery-driven approach when it comes to developing science and technology. Like what the pioneer Galileo once said, to “measure what can be measured, and make meas- urable what cannot be measured.” This should be the basic principle of modern science, especially experimental sci- ence. In light of these examples, we see that only through ac- cumulation of knowledge can we get results. Discovery is a process led by theory and driven by technology. Without discovery, there will be no scientific revolution. 2 The age of grand discoveries in life sciences Life science is an ancient but exciting discipline where new discoveries are being made everyday. Its golden era, as a whole, spans from 500 years ago to the present. Modern life science was triggered by great discoveries in biology during the 16th and 17th centuries. In 1543, the Flemish anatomist Andreas Vesalius gained a thorough un- derstanding of the human anatomy through dissecting ani- mals and human cadavers. His book De Humani Corporis Fabrica (On the Human Body Structure) gave detailed de- scriptions of the human body, including its skeletal system, muscular system, vascular system, nervous system, diges- tive organs, internal organs and sensory organs. The dis- covery was a major triumph over ignorance and Christian supremacy. The book De Humani Corporis Fabrica not only opened a new chapter in the study of life sciences, but also laid the cornerstone of modern medicine. In 1616, Wil- liam Harvey described the structure of the human heart and established the theory of blood circulation. In the 1660s, Marcello Malpighi discovered that the respiratory system of small animals has a higher surface-to-volume ratio than that of higher animals. In 1665, Robert Hooke published Mi- crographia and coined the term ‘cell’ to describe the basic unit of life. In 1683, Antonie van Leeuwenhoek discovered bacteria. In 1688, he gave detailed description of red blood cells. In light of these examples, we can see that discoveries in biology have improved our understanding of the micro- scopic world. The 17th century was an age of grand discoveries for the study of biological species. In 335 BC, Aristotle conducted research and provided detailed description for over 500 animal species. He coined the term “animal” and wrote the first book on zoology, which dictated the academic field for over a millennium. In the 1600s, the number of plant spe- cies known to science was approximately 6000. Then in the 17th century, scientists discovered 12000 new plant species [1], twice the total number found over the last 2000 years. They also found quite a number of new animal species, so evidently the period was an age of grand discoveries for the He F C. Sci China Life Sci March (2013) Vol.56 No.3 205 study of biological species. Owing to the large number of new species being found, there was a growing need of a self-consistent and rational classification system. In 1735, Carl Linnaeus published Systema Naturae (Natural System) and proposed a new sys- tem for classifying plants according to their reproductive organs. Although subconsciously Linnaeus appeared to go against evolutionary views, his classification system ended up pushing new ideas forward. From 1749 to 1788, Georges-Louis Leclerc de Buffon published the mul- ti-volume Histoire Naturelle (Natural History) and pro- posed the radical view that similar organisms may have a common ancestor. He was the first scholar to treat the origin-of-species problem in a scientific spirit. In 1785, James Hutton published his theory on sedimentary rocks and biological fossils. Subsequently, the study of fossils became a scientific discipline and an important basis for understanding biological systems, especially prehistoric systems. In 1801, Jean-Baptiste Lamarck published Système des Animaux sans Vertebres (System for Invertebrates) and proposed the first truly cohesive theory of evolution. In 1809, he published Philosophie zoologique (Zoological Philosophy), which outlined his concept of Lamarckism and coined the term ‘biology’ for the first time [1]. In 1831, Charles Darwin began his five-year voyage around the world, investigating geology and making natural history collection. After extensive investigations, he established the concept of biological evolution. In 1859, Darwin published On the Origin of Species [1], grouping various evolutionary ideas together into one ambitious but convincing theory. It can be said that, without the discovery of biological species and Darwin’s expedition around the world, we would not have the theory of evolution as we know it today. The advent of cell theory in the 19th century triggered a new area in modern medicine, known as experimental med- icine. In 1831, the Scottish botanist Robert Brown discov- ered the nucleus. In 1838, Matthias Jakob Schleiden pub- lished a paper titled Beiträge zur Phytogenesis (Contribu- tions to Phytogenesis), where he stated that “all plants, no matter how complex, are composed of cells” [1]. In 1839, Theodor Schwann published a paper titled Microscopic In- vestigations on the Accordance in the Structure and Growth of Plants and Animals, where he concluded that “all living things are composed of cells”. The theory broke the bound- ary between animals and plants. In 1858, Rudolf Virchow published Cellular Pathology, where he pointed out that “all cells come from other cells” and that “all diseases involve changes in normal cells”. In 1875, Eduard Adolf Strasburg- er published Zellbildung und Zelltheilung (Cell Formation and Cell Division), where he pointed out that “all cells come from pre-existing cells” and that “all nuclei come from other nuclei”. From then on, the cell theory was no longer a hypothesis. It was the guiding force of life scienc- es. As microscope technology matured in the second half of the 19th century, life science ushered in the era of microor- ganisms (Table 2). It was a revolutionary period for micro- biology research, one that was comparable to the theory of evolution. In 1856, Louis Pasteur discovered that “fermen- tation is caused by the growth of microorganisms”. In 1859, he disproved the theory of spontaneous generation. From 1860 to 1880, Pasteur made huge contributions to wine pasteurization, silkworm diseases and infectious diseases just by one word “microorganism”. He proposed the mech- anism by which disease was transmitted. From 1870 to 1890, Robert Koch developed new theories and techniques in bacteriology (e.g., preparing pure culture and staining). He proposed and validated the idea that “an organism can be isolated in every case of a disease”. He also formulated Koch’s postulates, which say that, to establish that an or- ganism is the cause of a disease: it must be found in all cas- es of the disease examined; it must be prepared and main- tained in a pure culture; it must be capable of producing the original infection; and it must be retrievable from an inocu- lated animal and cultured again. Up to date, Koch’s postu- lates remain the iron laws and gold standards of pathology. In 1890, Ilya Ilyich Mechnikov discovered phagocytes and phagocytosis, as well as proposed the cellular theory of immunity. In 1890, Emil Adolf von Behring discovered a serum therapy against diphtheria and tetanus, as well as proposed the concept of humoral immunity. These discov- eries led human beings landing the absolutely new invisible world which species number could be comparable with those of the traditional, visible worlds of animals and plants, defended human rationality against ignorance and Christian supremacy, and triggered a revolution in modern medicine, known as the antibiotic revolution. The 20th century has been described as the century of the gene [2]. The development of genetics happened so quickly, like a fairy tale in life sciences. In 1900, Hugo de Vries, Karl Correns and Erich von Tschermak independently re- discovered Mendel’s genetic laws. From 1910 to 1930, Thomas Hunt Morgan discovered the idea of genetic link- age and produced the first linkage map of the fruit fly Dro- sophila. In his books The Physical Basis of Heredity and the Theory of the Gene, he provided the first working theory of heredity. In 1928, Frederick Griffith [1] discovered a trans- forming factor in Streptococcus pneumoniae. In 1944, Os- wald Avery [1] used biochemical methods to confirm that the transforming factor was, in fact, DNA. In 1937, the Eu- ropean pioneer of structural biology William Astbury pro- posed a structural model for DNA. He took X-ray diffrac- tion photographs of DNA, showing that its structure is strong, rigid and fibrous. In 1951, Maurice Wilkins and Rosalind Franklin [1] obtained high-quality X-ray diffrac- tion photographs of DNA, indicating that its structure is most likely to be a right-handed double helix. In 1952, Al- fred Hershey and Martha Chase used isotope labelling method to prove that the genetic material of bacteriophages is DNA, not protein. In the same year, Erwin Chargaff [1] 206 He F C. Sci China Life Sci March (2013) Vol.56 No.3 Table 2 Discovery Timeline of pathogenic microorganisms Year Pathogen Disease caused Origin Discovered by 1877 Bacillus anthracis Anthrax Germany Robert Koch 1878 Staphylococcus Pyogenesis Germany Robert Koch 1879 Mycobacterium leprae Leprosy Sweden Hansen Armaner 1879 Neisseria gonorrhoeae Gonorrhoea Germany Neisser A. L. S. 1880 Staphylococcus aureus Toxic shock syndrome Scotland Alexander Ogston 1880 Salmonella typhi Typhoid Germany Eberth C. J. 1881 Streptococcus Pyogenesis Scotland Ogston A. 1882 Mycobacterium tuberculosis Tuberculosis Germany Robert Koch 1884 Corynebacterium diphtheriae Diphtheria Germany Edwin Klebs & Friedrich Loffler 1884 Vibrio cholerae Cholera Germany Robert Koch 1884 Clostridium tetani Tetanus Germany Nicolaier A. 1885 Escherichia coli Diarrhoea Germany Ehrlich Paul 1886 Streptococcus pneumoniae Pneumonia Germany Fraenkel Karl & Louis Pasteur 1887 Neisseria meningitides Epidemic cerebrospinal meningitis Germany Weickselbaum Antou 1888 Salmonella enteritidis Food poisoning USA Gaertner A. A. H. 1892 Clostridium perfringens Gas gangrene USA Welch W. H. 1892 Haemophilus influenzae Meningitis and pneumonia Germany Pfeffer Wilhelm 1894 Yersinia pestis Plague Germany Independently discovered by Kita- sato S. & Yersin A. J. E. 1896 Clostridium botulinum Botulism Belgium van Ermengem E. M. P. 1896 Salmonella paratyphi Paratyphoid France Achard Charles 1898 Shigella dysenteriae Dysentery Japan Shiga K. 1911 Treponema pallidum Syphilis Japan Hideyo Noguchi 1906 Bordetella pertussis Pertussis France Bordet J. & Gengou O. 1909 Bartonella bacilliformis Bartonella disease South America Albert Barton 1973 Rotavirus Infant diarrhoea Australia Bishop R. F. 1975 Hepatitis A virus Hepatitis A Germany Stephen M. Feinstone 1976 Ebola virus Ebola hemorrhagic fever Africa Bowone & Pattyn 1977 Hantaan virus Hemorrhagic fever with renal syndrome Korea Lee Ho-wang 1977 Legionella Legionnaires’ disease USA & Philippines McDade 1978 Hepatitis D virus (HDV) Hepatitis D Italy Mario Rizzetto 1981 Human T-lymphotropic virus 1 (HTLV-1) T- cell lymphoma, leukaemia USA Bernard Poiesz & Francis Ruscetti 1982 E. coli. O157, H7 Hemorrhagic colitis USA Riley 1982 Human T-lymphotropic virus 2 (HTLV-2) Hairy cell leukaemia Japan Kalyanaraman V. S. 1982 Borrelia burgdorferi Lyme disease USA Burdorfer 1982 Enrterocytozoon bieneusi Intractable diarrhoea USA Gourley 1983 Human immunodificiency virus (HIV) AIDS USA & France Robert Gallo & Luc Montagnier 1983 Helicobacter pylori Chronic gastritis, peptic ulcer Australia Barry J. Marshall & Warren J. Robin 1986 Human herpesvirus 6 (HHV-6) Early childhood roseola USA Robert C. Gallo 1983 Hepatitis E virus (HEV) Hepatitis E Russia Balayan 1989 Hepatitis C virus (HCV) Hepatitis C USA Michael Houghton 1989 Ehrlichia chafeensis Human ehrlichiosis USA Burt E. Anderson 1990 Human herpesvirus 7 (HHV-7) Heat rash, CNS infection USA Niza Frekel 1991 Gunarito virus Venezuelan hemorrhagic fever Venezuela Salas R. 1991 Encephalitozoon hellem Meningitis, diffuse lung diseases USA Didier E. S. 1991 A new species of Babesia Atypical babesiosis USA Quick R. E. 1992 Vibrio cholerae Cholera Asia Filippo Pacini 1993 Sin Nombre virus Adult respiratory distress syndrome USA Terry Yates 1994 Sibia virus Brazilian hemorrhagic fever Brazil Barry M. 1995 Human herpevirus 8 (HHV-8) AIDS-related Kaposi’s sarcoma USA Enrique A. Mesri 1995 Hepatitis G virus (HGV) Hepatitis D USA Simons J. N. 1996 Prion New Creutzfeldt–Jakob disease USA Stanley B. P. Prusiner 1997 Transfusion Transmitted virus (TTV) Post-transfusion hepatitis Japan Nishizawa T. 1997 Avian influenza virus (H5N1) Influenza Hong Kong de Jong 1998 West Nile virus Nile fever Uganda Smithburn K. C. 1999 Nipah virus Encephalitis Malaysia Chua K. B. 2003 SARS-CoV Sever acute respiratory syndrome China 2003 H9N2 Influenza China 2005 Human bocavirus Pneumonia Sweden Allander 2010 Severe fever with thrombocytopenia syn- drome bunyavirus Fever with thrombocytopenia syndrome China Xuejie Yu He F C. Sci China Life Sci March (2013) Vol.56 No.3 207 showed that DNA has percentage base pair equality (%A=%T and %G=%C). Based on the finding, James Wat- son and Francis Crick [3] discovered the DNA double helix in 1953. They suggested that the specific pairing of bases may be the replicate mechanism for genetic materials, and that the linear sequence of bases may be the code for carry- ing genetic information. These revolutionary conjectures represent the essence of the DNA double helix. They have made a huge splash in life sciences and took the study of molecular biology to new high. In addition, they have un- covered secrets of the biological world and made genetic engineering one of the most successful scientific disciplines. The 20th century was, without a doubt, the golden era of life sciences, especially the age of grand discoveries. In 1955, Severo Ochoa demonstrated the first synthesis of RNA. In 1957 Arthur Kornberg isolated the first DNA polymerase and synthesized the first artificial DNA. The finding played a key supportive role in the explanation of the genetic code (Nobelprize.org). In 1955, Frederick Sang- er [4] determined the amino acid sequence of bovine insulin. In 1958, John Kendrew and co-workers [5] determined the three-dimensional structure of myoglobin; and Francis Crick [6] published the groundbreaking paper On Protein Synthesis where he proposed his ‘sequence hypothesis’, discussing the relation between the sequence of bases in DNA and the sequence of amino acids in proteins, as well as the ‘central dogma’ (from DNA to RNA to protein). In 1960, François Jacob and co-workers [7] put forward the concepts of mRNA and ‘operon’, detailing the regulatory mechanisms that underlie genetic information transfer and protein synthesis. In 1961, Marshall Nirenberg and Heinrich Matthaei [8] cracked the first codon of the genetic code. In 1970, David Baltimore [9], Howard Temin and Satoshi Mi- zutani [10] discovered the reverse transcriptase and ex- panded the ‘central dogma’, with molecular biology being well-established. Molecular biology was largely inspired by the reduction- ist approach of the 1970s, which proved to be extremely successful and helped to unravel many of the basic molecu- lar and cellular processes. Two groups, one led by Stuart Linn and Werner Arber [11] and the other led by Hamilton Smith and Kent Wilcox [12], independently discovered two useful ‘tools’ for cutting and ligating DNA: the restriction enzyme and the modification enzyme. In 1970, Daniel Na- thans used these enzymes to demonstrate the cleavage of DNA in vitro. In 1971, Paul Berg used these enzymes to create the first recombinant DNA. In 1976, Yuet Wai Kan reported the first case of DNA diagnosis in monogenic dis- eases. In 1977, John Michael Bishop [13] discovered the oncogene src. In 1975, Frederick Sanger and co-workers [14] discovered a DNA sequencing method and used it to decode the whole genome of bacteriophage φX174 two years later. In 1978 and 1981, Sidney Altman and Thomas Cech independently discovered the catalytic abilities of RNA. In 1979, David Goeddel successfully used genetic engineering to coax bacteria into mass-producing insulin. In 1982, Richard Palmiter and Ralph Brinster produced trans- genic mice, supermice (that express a growth hormone). In 1985, Kary Mullis and her team [15] developed PCR tech- nology for amplifying DNA in vitro. The genetic techniques have now become a series of indispensable magic tools in gene sequencing, genetic recombination, DNA diagnosis, genetic engineering, gene transfer and gene amplification. Evidently, there had been many continuous and overlap- ping periods of profound discoveries in the history of con- temporary life sciences. At every stage of the game, there would be one or more leading scientists showing great fore- sights, turning things around and opening up new avenues of research. These great scientists could pierce through the dark sky and guide the discipline forward into a new age of grand discoveries. 3 The age of ‘omics’ Life forms are the most complex physical systems known thus far. Take the human body as an example. From a re- ductionist point of view, as we move from organs to tissues and from cells to molecules, our research subject gets di- vided into tens or millions individual pieces. Moreover, the number of interactions among these individual pieces grows exponentially. From a systems theory point of view, we need to study not only the multi-level dynamical changes of the human biology, but also the complex physical and chemical factors of the human environment, the numerous symbiotic microbes of the human ecology, and the various psychosocial factors of the human society. Our awareness of life is like Zeno’s circle: when our circle of knowledge becomes greater, our contact with the unknown world also becomes greater. Life may look like a magnificent and po- etic painting in the eyes of ordinary people. Under the mi- croscope, however, this painting is nothing but pixels, lines and blocks of various shades and colours. In this new age of life sciences, scientists are puzzling over how to connect dots, lines, planes and solids to make something artistic, something that is neither The Blind Men and the Elephant nor Giuseppe Arcimboldo’s Vertumnus (Figure 1). Lifeom- ics is like a Russian doll. Just when you think you under- stand the situation, another mystery of life emerges. The reductionist approach seeks to understand living systems through the study of their constituent parts—from total syntheses to regulatory mechanisms of various biomacro- molecules. By taking the reductionist approach to the ex- treme, we can get to the bottom of the problem, turn it into a theory and make the most of our time. The holistic approach seeks to integrate all constituents into one single system, which could turn something simple into something extraor- dinary. Only a ‘grand master’ who understands the magic of this approach can push the discipline to new high. The re- ductionist approach begins with ‘ome’ and ends with 208 He F C. Sci China Life Sci March (2013) Vol.56 No.3 Figure 1 Giuseppe Arcimboldo’s Vertumnus. ‘o,m,e’ (‘O’, ‘m’ and ‘e’ are respectively to ‘ome’ what ‘subset’ is to ‘set’ in mathematics.), whereas the holistic approach begins with ‘o,m,e’ and ends with ‘ome’. Ge- nomics, RNAomics, proteomics and metabolomics are ex- amples of the latter. This is why lifeomics, which uses unique epistemology and methodology, quickly became the thrust of life sciences. The development of omics has led to many great discov- eries in life sciences since the late 20th century. In 1953, Watson and Crick proposed the double helix structure of DNA and said, “the precise sequence of the bases is the code which carries genetic information”. In 1958, Sanger from the same laboratory established the method for deter- mining amino acid sequences of protein (http://www.no- belprize.org/nobel_prizes/chemistry/laureates/1958/sanger.h tml). In the 1970’s, he established the method for analysing DNA sequences [16]. Because of these two achievements, Sanger won the Nobel Prize in Chemistry twice. As the king of DNA sequencing, Sanger turned our dreams of reading and writing genetic information into a reality. He made DNA sequencing a part of life. Through DNA sequencing, scientists could integrate biotechnology with information technology. In 1986, the first generation of fluores- cence-based DNA sequencers with automated analysis was born. Since then, our DNA sequencing capacity has been growing exponentially. Our current daily data output is in the Gb range [17], a rate that could rival Moore's Law. Pro- tein sequencing technologies based on mass spectrometry represent another force to be reckoned with. Biological mass spectrometry, for example, was awarded the Nobel Prize in Chemistry in 2002. At that time, scientists could only identify several hundreds of proteins in a given sample. Today, biological mass spectrometry could identify several thousands of proteins in a single sample, which is about the size of a transcriptome. These high-throughput sequencing technologies are set to open up new avenues of research and trigger an age of grand discoveries in lifeomics. The US government launched an international scientific research project, dubbed the Human Genome Project (HGP), four years after the birth of the first DNA sequencer [18]. Since then, countries like Germany, Japan, UK, France and China have joined the project. When the project first began, there were only 100000 bases pairs in all of the human genes known. Ten years later, scientists have not only se- quenced the 3 billion base pairs that make up the human genome, but also the genomes of Saccharomyces (budding yeast), Escherichia coli, Mycobacterium tuberculosis, Treponema pallidum, Nematoda (nematode), Drosophila (fruit fly), Arabidopsis thaliana (mustard plant), Oryza sa- tiva (rice), Mus musculus (mouse), Plasmodium, Anopheles (mosquito), as well as several other important pathogens and model organisms. The project has triggered a great number of follow-up projects, for example, the International HapMap Project in 2002, the 1000 Genome Project in 2008, the 10000 Microbial Genomes Project in 2009, as well as the 1000 Plants and Animals project and the Genome 10K project in 2010. A decade has passed since the publication of the first human genome (October 2011), but we have already resolved the genomes of over 1200 biological spe- cies. The National Center for Biotechnology Information (NCBI) holds 2.08 Pb (1 Pb=1015 b) of genomic data as of 14 June 2012, 10 billion times the amount when the project first started. Chinese scientists, in particular, have contrib- uted more than 0.64 Pb of data, which accounts for 30% of the total. They made outstanding contributions in three par- ticular areas: genetic information, gene function and medi- cal genetics. In terms of genetic information, although we can only interpret some and not all of the information, the genome sequencing has enabled us to read into the evolu- tionary process that lasted for hundreds of millions of years. Having the genetic information (the blueprint of life) of thousands of species represents a huge advantage, but this is only the tip of the iceberg. We expect to see more discover- ies not only in the number of species, but also in the realisa- tion of richer genomes through whole or single-cell genome and transcriptome sequencing. These breakthroughs will give us the ability to synthesize and create life. In terms of gene function, HGP has already identified more than 20000 protein-coding genes, when scientists only knew a fraction of these genes just a century ago. The findings will help unveil the mysteries behind the human genome, transcrip- tome and proteome, as well as make a splash in comparative genomics and animal genomics. Studies have shown that He F C. Sci China Life Sci March (2013) Vol.56 No.3 209 less than 3% of the human genome is protein-coding genes. Therefore, following the surprising discovery of dark matter and dark energy in physics, we might find astonishing ‘dark information’ in life sciences. DNA sequencing technology is now within reach of ordinary people thanks the rapid rise in capacity and the sharp decline in price over the past 20 year. It has become a common tool in biological research and clinical diagnosis. In the area of medical genetics, for an example, we could take genome-wide association study (GWAS). GWAS has existed only for less than ten years, and during this period of time we have studied more than 700 diseases and discovered more than 5000 dis- ease-causing genes and susceptibility loci, ten times the number found 100 years ago. Although China was a late starter in genomics research, the country’s achievements in the field are still remarkable (Table 3). This is in line with what Watson said ten years ago, “all biology in the future will start with the knowledge of genomes and proceed hopefully”. Genome sequencing is like the winds of a rising storm. To better understand the human genome, we must part the clouds and swirl things around. In the month that the draft of the human genome was published, the launch of the Hu- man Proteome Organization (HUPO) was announced. In the following year, the Human Proteome Project (HPP) was initiated. Given the variety of proteins (at least 100 times the number of genes), the huge dynamic range of protein abundance, the diversity of post-translational modifications, the complex issue of space-time specificity and the great number of interactions between the proteins, HPP launched a series of pilot projects during its initial phase. In 2002, HPP launched the Human Liver Proteome Project (HLPP) and the Human Plasma Proteome Project (HPPP). After this, HPP launched the Human Brain Proteome Project (HBPP), Human Kidney and Urine Proteome Project (HKUPP) and Human Cardiovascular Initiate (HCVI). It has also launched Proteomics Standards Initiative (PSI), Human Antibody Initiative (HAI) and Disease Biomarkers Initiative (Table 4). In 2005, HPPP generated a core dataset of 3020 proteins, the first human body fluid proteome of its kind. In 2010, HLPP released a core dataset of 6788 proteins, the first hu- man organ proteome of its kind [51]. Over half of these proteins were identified in the human liver for the first time. Moreover, about a quarter of them were newly discovered at the protein level. In 2009, Chinese scientists discovered over 1000 acetylated proteins by using high-throughput protein analysis and studying metabolic enzymes across different species [52]. In addition, they identified the role of acetylation in the regulation of metabolic enzymes. In 2012, Chinese scientists used bacteria, yeast, nematode, fruit fly, mouse and human as research subjects and, through large-scale quantitative proteomic data analyses, found three universal patterns in the overall distribution of protein abundance [53]: protein abundance is positively correlated with the protein’s origination time or sequence conservation during evolution; protein abundance is negatively correlated with the protein’s domain number and positively correlated with domain coverage in protein structure; and proteins that act on material conversion and transportation are more abundant than those that act on information modulation. The findings demonstrated that the large-scale dataset of omics could be the resource for the discovery of the laws of life. Other organ/tissue proteome projects have also gener- ated 1000–3000 proteins. With increasing technological capabilities in recent years, biological mass spectrometry can now identify 7000–9000 proteins in a cell line sample, with gene expression coverage reaching 60%–90%. Re- search on protein interaction networks has also made amaz- ing progress. In 2005, two research groups in Germany and USA independently established human protein interaction networks featuring 3169 pairs and 2,754 pairs of proteins [54]; in 2011, China scientists established a human liver protein interaction network that encompasses 3484 interac- tions among 2582 proteins [55]. In the three studies we just mentioned, there had only been 54 cases of overlapping protein interactions. The number suggests that more than 90% of protein interaction network is still unknown and waiting to be discovered. In 2011, research on human en- dogenous protein complexes has identified more than 11000 products of gene expression, which accounts for about 50% of the total. In addition, HAI released the 7th version of its database, which covers 10118 products of coding genes. In 2009, OVA1, the first proteomics-discovered cancer bi- omarker discovered by Daniel Chan and his team received approval from the USA Food and Drug Administration (FDA) for detecting ovarian cancer (http://www.fda.gov/ NewsEvents/Newsroom/Press-An-nouncements/ucm182057 .htm). The event signals the advent of more great discover- ies and clinical applications in proteomics. Genomics and proteomics are the two most active areas within the field of lifeomics. After the completion of HGP, it was found that protein-coding sequences make up only about 2% of the human genome [56]; among the non-coding DNA and RNA sequences, about 1/4 are tRNA and rRNA, and 3/4 are snRNA, snoRNA, shRNA, microRNA and lncRNAs (long non-coding RNAs), which have important roles in chromatin remodelling, transcriptional regulation and translational regulation [57], affecting biological de- velopment, cell proliferation, cell differentiation, as well as the development of cancer, metabolic diseases and viral diseases. Since the advent of ‘RNAomics’ in 2000, more than 35000 non-coding RNA have already been discovered in mammals. The mutual regulation between DNA, mRNA, protein and non-coding RNA has attracted wide attention from the community. The technology RNAi won the 2006 Nobel Prize in Physiology and Medicine only eight years after it was discovered. Such case is rare in the Nobel Prize history. Coincidentally, systems biologists have taken an interest in ‘glycomics’, which studies the structure and recognition molecules of oligosaccharides, polysaccharides 210 He F C. Sci China Life Sci March (2013) Vol.56 No.3 Table 3 GWAS conducted by Chinese scientists Year of publication Disease studied Research group Reference 2009 Psoriasis Xuejun Zhang et al. [19] 2009 Systemic lupus erythematosus Xuejun Zhang et al. [20] 2009 Leprosy Furen Zhang et al. [21] 2010 Nasopharyngeal cancer Yixin Zeng et al. [22] 2010 Vitiligo Xuejun Zhang et al. [23] 2010 Hepatocellular carcinoma Fuchu He & Gangqiao Zhou et al. [24] 2010 Oesophageal cancer Lidong Wang et al. [25] 2010 Agronomic traits of indica rice Bin Han et al. [26] 2010 Polycystic ovary syndrome Zijiang Chen et al. [27] 2011 Coronary artery disease Qing Wang et al. [28] 2011 Oesophageal cancer Dongxin Lin et al. [29] 2011 Atopic dermatitis Xuejun Zhang et al. [30] 2011 Lung cancer Hongbing Shen et al. [31] 2011 Graves’ disease Huaidong Song et al. [32] 2011 Gastric cancer Hongbing Shen et al. [33] 2011 Schizophrenia Lin He et al. [34] 2011 Schizophrenia Dai Zhang et al. [35] 2011 Leprosy Furen Zhang et al. [36] 2011 Flowering time and grain yield of rice Bing Han et al. [37] 2011 Pancreatic cancer Dongxin Lin et al. [38] 2011 Ankylosing spondylitis Jieruo Gu et al. [39] 2011 IgA nephropathy Xueqing Yu et al. [40] 2011 Non-obstructive azoospermia Jiahao Sha et al. [41] 2012 Kawasaki disease Jer Yuarn Wu et al. [42] 2012 Coronary artery disease Dongfong Gu et al. [43] 2012 Polycystic ovary syndrome Zijiang Chenet al. [44] 2012 Thyrotoxic periodic paralysis Annie Wai Chee Kung et al. [45] 2012 Oesophageal cancer Dongxin Lin et al. [46] 2012 Prostate cancer Yinghao Sun et al. [47] 2012 Hepatocellular carcinoma Long Yu et al. [48] Table 4 Progress of the Human Proteome Project Year of initiation Sub-project Dataset Release year 2002 Human Liver Proteome Project ProteomeView, 6847 proteins (6788 [51]) 2010 2002 Human Plasma Proteome Project Human Plasma PeptideAtlas, 1929 proteins (3020 [49]) 2005 2003 Human Brain Proteome Project 1832 (human)/792 (mouse) proteins 2010 2003 Proteomics Standardization Initiative Protein information, mzML Molecular interaction, PAR/MIAPAR/PSICQUIC Protein separation, MIAPE-GEL/MIAPE-CC/MIAPE-CE 2010 2005 Human Kidney and Urine Proteome Project Human Kidney and Urine Proteome Project, 3679 proteins; the final standards for non-protein urine and urine proteome 2009 2005 Human Antibody Initiative The 10th edition of database encompasses 14079 coding genes 2012 2005 Human Disease Glycomics/Proteome Initiative Comparison of full-spectrum analysis methods for O-glycosylation; full-spectrum analysis of glycoproteins in cancer cells 2010 2005 Mouse Model of Human Disease More than 1400 mouse secreted proteins have been identified 2006 2006 Human Cardiovascular Initiative 1333 proteins with more than 10000 GO annotations; more than half of which are from human data 2009 2007 Proteome Biology of Stem Cell Initiative Stem cell markers, stem cell signalling pathways and stem cells & diseases 2009 2009 Disease Biomarkers Initiative Markers for cancer, cardiovascular disease and pulmonary disease 2010 2010 Model Organism Proteomes Advances in model organisms 2010 2010 Chromosome-based Human Proteome Project J Proteome Res, Publication Date (Web): January 11, 2013 2013 He F C. Sci China Life Sci March (2013) Vol.56 No.3 211 and various sugar chains, as well as ‘metabolomics’, which studies the endogenous metabolites and their responses to external stimuli. Much progress has been made over the past ten years, and these omics are becoming a major force in life sciences. Like the Chinese saying goes, “when spring comes, all flower blossoms”. Different omics have made varying lev- els of contributions to life sciences. In 2005, HPP initiated the Human Disease Glycomics/Proteome Initiative (HGPI), a project that aims to identify useful glycobiomarkers for detecting life-style diseases by integrating proteomics with glycomics. In 2011, HPP formed Chromosome-based Hu- man Proteome Project (Ch-HPP), a joint project that uses proteomics technology to determine the gene product of each chromosome. Ch-HPP brings together the best talents from HPP and HGP. Like the Chinese saying goes, “life does not discriminate for benevolence”. We should treat all ‘omics’ as equally important. And lifeomics, which inte- grates genomics and RNAomics with proteomics, gly- comics and metabolomics, has taken shape and is now ready to take on any challenges. Looking back at the history of natural sciences, especial- ly in life sciences, we can draw an analogy between the age of grand discoveries and nuclear fusion. We understand that only through fusion can we release large amounts of energy. However, to obtain enough energy to trigger the fusion process, we need nuclear fission. Therefore, HGP was not just a beginning. It was the fis- sion point that triggered the development of various omics. Lifeomics, which encompasses all these omics, is set to achieve something big. To our knowledge, projects utilizing a similar research approach have only appeared twice in human history: once in the Manhattan project and once in the Apollo program. In both cases, the scientific discoveries made have had far-reaching impact on our society. With life come organic, as the biological world is the culmination (organization) of, for and over the physical world (from inorganic to organic to biological). With life also come human cognition, and this is the magic that con- nects the biological and the physical world. Because of this, we trust that life science is going to be the epitome and as- semble of all disciplines of natural sciences. Furthermore, lifeomics is the backbone for life science. Thus, it is going to be the rising star of natural sciences in the coming future. I thank the Academic Divisions of the Chinese Academy of Sciences, Sci- ence China Press, Forum on Frontiers of Science and Technology and the standing committee of the Academic Division of Life Sciences and Medi- cine for their support on the 7th forum on frontiers of science and technol- ogy:Lifeomics and Translational Medicine Symposium. 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work_y434laz3ubakbemskegi5a4o4a	----	AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd Cooking and Eating Quality Profiling of Some Popular Rice Cultivars In Bangladesh Saika Anne1, Md. Anwarul Haque2, and Sharif Ar Raffi1* 1Plant Stress Breeding Lab, Dept. of Genetics and Plant Breeding, Bangladesh Agricultural University, Mymensingh-2202 2Grain Quality and Nutrition Division, Bangladesh Rice Research Institute, Gazipur-1701, Bangladesh *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd ABSTRACT Eating and cooking quality of rice plays major role in consumer’s preference for any cultivar. In the present investigation 21 popular rice cultivars were analyzed for their cooking and eating quality traits. Moderate variations were observed for all the traits studied except solid in cooking water. Among the cultivars, cooking time ranged from 14.02 to 21.37 minutes, water uptake ratio from 2.24 to 3.324 %, solid in cooking water from 1.027 to 1.049 gm, volume expansion ratio from 2.8 to 4.28 %, % amylose content from 17.367 (low) to 27.387(intermediate), protein content from 6.28 to 8.96 (%), and most of the cultivars were found with intermediate gelatinization temperature. Solid in cooking water was found positively correlated with cooking time, but negatively with water uptake ratio. Considering the preferences for cooked rice, high amylose content and low to intermediate gelatinization temperature of BRRI rice29, BRRI rice49 and Binarice-11 justified their popularity among the farmers and consumers. Keywords: Rice, cooking quality, eating quality 1. INTRODUCTION Rice is one of the most important sources of calories consumed by 3 billion Asians (Dogara and Jumare, 2014). It is mainly eaten as whole cooked grains (Hossain et al., 2009). However, for rice, grain quality is as important as yield, which is usually processed as food or feed. Accordingly, consumer’s inclination for grain quality has taken as the major objective for rice quality breeding (Anne et al., 2018). Eating quality indicates to the sensory sensitivity of consumers for the cooked rice which is associated to glossiness, flavor, and stickiness (Champagne, E. T., Bett-Garber, K. L., Fitzgerald, M. A., Grimm, C. C., Lea, J., Ohtsubo, K., Jongdee, S., Xie, L., Bassinello, P. Z. , Resurreccion, A., Ahmad, R., Habibi, F., Reinke, 2010). These quality traits indicate the chemical reaction that occurs during cooking of the rice grain, affected by cooking time, volume expansion ratio and gelatinization (Bhattacharya and Sowbhagya, 1971; Juliano and Perez, 1983). The gelatinization temperature (GT), and amylose content (AC) are another set of traits, which are directly related to cooking and eating quality (Little et al., 1958).It has been asserted that higher the value of gelatinization temperature, the longer time it takes to cook rice (Frei and Becker, 2003; Dipti et al., AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd 2003), though Bhattacharya and Sowbhagya (1971) concluded that cooking time is primarily related to the surface area of the milled rice and unrelated to other grain properties. Furthermore, variation in cooking time may be due to genotypic difference and it has been reported that rice grain with high protein content or a high gelatinization temperature requires more water and longer time to cook (Juliano, 1971). Besides, amylose content (AC) is the most important chemical characteristics determining eating quality and affecting some physical traits (Balindong et al., 2018). Rice is a major source of food protein in Asia and other countries, though it contains only 6-8% protein (Jayaprakash et al., 2017). Its value as a protein source is enhanced by its high lysine content relative to other cereal grains (Mosse et al., 1988). Although, eaten rice contains about 7% protein and do not fluctuate widely from this level (Chen et al., 1999), but still considered important because the daily intake of rice is higher than other cereals in Asian countries. As a prime staple, there is a consistent demand for improved quality rice which varies by cultivars and its environment, as determined in terms of the cooking and eating quality properties. Bangladesh is very near to attain self-sufficiency in rice production (Chen & Lu, 2018), therefore, breeding focus should be given more on qualitative improvement of rice. The present investigation was undertaken to evaluate cooking and eating quality of selected rice cultivars which will assist in enlightening the consumer’s preferences for rice in Bangladesh as well as scope of improvement by future breeding program. 2. MATERIALS AND METHODS The experiment was carried out at the Grain Quality and Nutrition Division of the Bangladesh rice research institute (BRRI), Joydebpur, Gazipur and Plant Stress Breeding Lab, Bangladesh Agricultural University, Mymensingh. Twenty-one rice cultivars were studied for cooking and eating quality traits (Table 1). Table 1: List of 21 rice cultivars used in the study Cultivars Sources / Courtesy Status BR 26, BRRI Rice29, BRRI Rice35, BRRI Rice38, BRRI Rice46, BRRI Rice49, BRRI Rice50, BRRI Rice59, BRRI Rice61, BRRI Rice64, BRRI Rice66, BRRIRice67, BRRI Rice69, BRRI Rice72, BRRI Hybrid Rice2, BRRI Hybrid Rice4 Bangladesh Rice Research Institute (BRRI) Released variety Kalizira, Tulsimala Dept. of Genetics and Plant Breeding, BAU Landraces (aromatic) AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd Weight of cooked rice Weight of uncooked rice sample Binarice-11, Binarice-13, Binarice-16 Bangladesh Institute of Nuclear Agriculture (BINA) Released variety 2.1. Preparation for recording data: Cooking time The cooking time was determined by the standard procedure described by Ranghino (1966). Here, 5 gm of milled rice was taken in a wire case. Then it was kept in 50 ml vigorously boiled water in 100 ml beaker. Starting after 10 minutes of cooking in excess boiling water, At least 10 grains were pressed between two petri-dish in every minute. The grains were considered cooked when at least 90% of the pressed grains no longer show an opaque center. Optimum cooking time was taken until no white core was left. Water uptake ratio Water uptake ratio was determined according to the method used in Oko et al. (2012) by cooking 2.0 g of whole rice kernels from each cultivar in 20 ml distilled water for a minimum cooking time in a boiling water bath. The superficial water from the cooked rice was then drained out. Cooked samples were then weighed accurately and water uptake ratio was calculated as follows: Water uptake ratio = Solids in cooking water Solid in cooking water was determined by drying an aliquot of the cooking water in a tarred evaporating dish to steam out the water. Before that, the weight of the empty petri dish was measured and recorded as W1. The weight of the petri dish and dry aliquot was measured as W2. The amount of solid in cooking water was now calculated as: W2 – W1; where W1 = weight of empty petri dish, W2= weight of empty dish + dry aliquot. Volume expansion ratio (VER) The volume expansion ratio was calculated with the method by Sidhu et al. (1975). To measure VER, 50 ml water was taken in 100 ml measuring cylinder and 5 gm raw milled rice sample was added. Initially, increase in the volume of water after adding 5 g of raw milled rice was measured and noted. Raw milled rice sample was soaked for 30 minutes and cooked for 10 minutes in a water bath. Then cooked rice was transferred into the petridish and allowed to stand for 15 minutes before analysis. Again 50 ml of water was taken in 100 ml measuring cylinder and cooked AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd rice was added. Finally, increase in the volume of water after adding cooked rice was measured and recorded. The volume expansion ratio was calculated by using following equation: Volume expansion ratio = ( )( ) Where, (x – 50) is the volume of cooked rice (ml); and (y-15) is the volume of raw rice (ml). Amylose content (%) Amylose in rice is released by the treatment with dilute alkali. By the addition of Tri- iodide ion, amylose produces a blue color. The absorbance of blue color produced in aqueous solution was measured by UV-spectrometer at 620 nm as described by Williams et al. (1958) and modified by Juliano (1971). Samples are categorized for amylose content based on the following grouping (Choudhury, 1979). Protein content (%) Micro Kjeldahl procedure was used for the determination of rice grain protein content (Ma & Zuazaga, 1942). Gelatinization Temperature (GT) Gelatinization temperature (GT) was indexed by alkali spreading value test (Little et al., 1958). The degree of spreading of individual milled rice kernel in a weak alkali solution (1.7% KOH) at room temperature (32±2oC) was evaluated on a 7-point numerical scale (Jennings et al., 1979; Khush et al., 1979). 3. RESULTS AND DISCUSSION The results of the cooking and eating quality traits considered for the study were presented in Table 2, 3 & 5. Category % Amylose Content Waxy 1-2 Non-waxy >2 Very low 3-9 Low 10-20 Intermediate 20-25 High 25-33 AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd Cooking time Cooking time is critical as it plays major role to determine tenderness and stickiness of cooked rice (Asghar et al., 2012). The time required for cooking of the rice samples was shown in Table 2 and ranged from 14.02 minutes to 21.37 minutes. The cultivar with lowest cooking time was found in Tulsimala and longest was BRRI Rice69. Less cooking time is preferable for consumer demand (Custodio et al., 2016); therefore, Tulsimala was considered as the best. Besides, rice differ in optimum cooking time in excess water between 15 to 25 minutes without pre-soaking (Juliano & Perez, 1983), whereas, presoaking helps rice to cook in shorter time (Hirannaiah et al., 2001). Furthermore, gelatinization temperature (GT) reported to have positive direct relationship with cooking time (Frei et al., 2003), although, no such pattern was visible in the present study. Probably, differences in cooking time in the present study could be due the varietal difference prevail among the cultivars (Chukwuemeka et al., 2015). Table 2: Performances of 21 rice cultivars based on cooking quality traits Sl No. Cultivar Cooking time (min) Water uptake Ratio Solid in cooking water (gm) Volume expansion ratio 1 BR 26 19.35 2.251 1.049 4.03 2 BRRI Rice29 18.43 2.24 1.045 4.28 3 BRRI Rice35 18.52 3.312 1.045 4.08 4 BRRI Rice38 19.16 2.84 1.040 3.81 5 BRRI Rice46 15.51 3.136 1.028 3.36 6 BRRI Rice49 19.46 3.104 1.043 3.60 7 BRRI Rice50 17.09 3.314 1.027 3.47 8 BRRI Rice59 16.49 3.252 1.028 3.19 9 BRRI Rice61 15.2 3.295 1.030 3.40 10 BRRI Rice64 20.57 3.245 1.044 3.12 11 BRRI Rice66 15.50 3.204 1.030 4.00 12 BRRI Rice67 16.30 3.146 1.029 4.00 13 BRRI Rice69 21.37 2.946 1.031 3.50 14 BRRI Rice72 17.47 3.324 1.042 3.37 15 BRRI Hybrid Rice2 14.49 2.408 1.037 3.85 16 BRRI Hybrid Rice4 14.08 2.62 1.035 3.37 17 Kalizira 14.40 3.312 1.031 4.00 18 Tulsimala 13.53 2.712 1.028 2.80 19 Binarice-11 16.58 3.084 1.033 3.11 20 Binarice-13 15.01 2.602 1.037 3.00 21 Binarice-16 18.25 2.54 1.046 4.28 Water uptake ratio According to Hogan and Plank (1958), the hydration characteristics of rice is influenced by variety and drying method, where, short and medium grain varieties have higher water absorption than long grain types. In the present study, water uptake ratio ranged from 2.24% to 3.324 % (Table 2). The highest water uptake capacity was found in BRRI Rice 35, BRRI Rice 72 and AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd Kalizira, which are graded as short to medium grain size category. Furthermore, inverse relationship between water uptake rate and amylose content was found by Metcalf & Lund (1985) and BRRI Rice29 demonstrated similar performances in the present study with lower water uptake ratio but higher amylose content. By contrast, BRRI Rice72 demonstrated both higher water uptake ratio and amylose content same as Juliano (1972), but overall, no correlation was found between water uptake ratio and amylose content (Table 3) as suggested by (Bhattacharya and Sowbhagya, 1971). This could be, therefore, concluded that, grain water uptake ratio not solely depends on grain morphology or physiology but resulted as a complex interaction between grain chemical composition with water as suggested by (Bergman et al., 2004). Table 3: Correlations coefficient between cooking quality traits Legends, CT= Cooking time, WUR= Water uptake ratio, SCW= Solid in cooking water and VER= Volume expansion ratio, AC= Amylose content and PC= Protein content * and ** indicate significant at 5% and 1% level of probability, respectively NS indicates non-significant. Solid in cooking water Solid in cooking water indicated loss of solids from grain, which is not desirable because in South Asia, rice is cooked in excess water and water is poured off after cooking (Choudhury, 1979), which eventually caused nutrient loss. Saleh & Meullenet (2013) have found that continuous heating increases the solubilization of more starch molecules which eventually leached out in to water. In the present study, positive correlation was found between solid in cooking water and cooking time (Table 3) as suggested. During cooking, the starch of the cooking rice grain usually absorbs water and swells due to its gelatinization. In the present study, solid in the cooking water of the rice samples ranged between 1.027gm to 1.049 gm (Table 2) with BR 26 having the highest values and BRRI Rice50 having the lowest (Table 2). The irregular pattern of variation in respect of cultivars observed was due to effect of cultivars as suggested by Borasio (1965). As solid in cooking water indicates loss of solids, therefore, BRRI Rice46, BRRI Rice50, BRRI Rice59 and Tulsimala are better among all. Besides, similar to Ruan and Mao (2004) and Ke-xin et al. CT WUR SCW VER PC WUR 0.002 NS SCW 0.570** -0.446* VER 0.255 NS -0.255 NS 0.428 NS PC -0.347 NS -0.152 NS 0.149 NS -0.020 NS AC 0.051 NS 0.036 NS 0.259 NS 0.277 NS 0.221 NS AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd (2014), positive correlation was found between solid in cooking water and water uptake ratio which indicates that if more rice get cooked, more solid is released in water (Table 3). Table 4: Performances of 21 rice cultivars based on protein content and amylose content Legends, Cultivars with same letter are statistically similar. Volume expansion ratio High volume expansion of rice is a positive quality factor for low- income group of people (Choudhury, 1979) which indicates higher volume of the rice after cooking either lengthwise or crosswise (Chukwuemeka et al., 2015). Furthermore, length-wise expansion without a corresponding increase in girth is considered highly desirable for fine rice quality (Sood and Sadiq, SL No. Cultivar Protein Content (%) Amylose Content (%) and grade 1 BR 26 8.57B 22.61F-H Intermediate 2 BRRI Rice29 7.05G 27.38A High 3 BRRI Rice35 7.86CD 26.12BC High 4 BRRI Rice38 8.81AB 21.69H Intermediate 5 BRRI Rice46 8.02CD 24.50DE Intermediate 6 BRRI Rice49 8.81AB 25.50CD High 7 BRRI Rice50 8.16C 26.69AB High 8 BRRI Rice59 7.27FG 24.48DE Intermediate 9 BRRI Rice61 7.03G 19.30I Low 10 BRRI Rice64 7.05G 22.35F-H Intermediate 11 BRRI Rice66 7.20FG 23.05FG Intermediate 12 BRRI Rice67 7.68DE 24.60DE Intermediate 13 BRRI Rice69 6.28H 17.36J Low 14 BRRI Rice72 8.82AB 26.50A-C High 15 BRRI Hybrid Rice2 8.96A 23.00FG Intermediate 16 BRRI Hybrid Rice4 8.72AB 22.20GH Intermediate 17 Kalizira 8.64AB 21.49J Intermediate 18 Tulsimala 8.62B 23.50EF High 19 Binarice-11 7.73DE 25.83BC High 20 Binarice-13 7.79D 19.50I Low 21 Binarice-16 7.43EF 26.87AB High AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd 1979; Choudhury, 1979). In the present study, volume expansion ratio of cooked rice was ranged from 2.8 to 4.28 % among 21 rice varieties. The cultivar with highest volume expansion ratio was recorded in BRRI rice29 and BINA rice16 (Table 2). It should be mentioned here that, BRRI rice29 is well known for its medium slender grain quality, and popular among middle income group consumers. Table 5: Performances of 21 rice cultivars based on Gelatinization Temperature (GT) Sl No. Cultivar Gelatinization temperature (GT) 1 BR 26 Intermediate 2 BRRI Rice29 Intermediate 3 BRRI Rice35 Intermediate 4 BRRI Rice38 Low 5 BRRI Rice46 Intermediate 6 BRRI Rice49 Low 7 BRRI Rice50 Low 8 BRRI Rice59 Intermediate 9 BRRI Rice61 Intermediate 10 BRRI Rice64 Intermediate 11 BRRI Rice66 Low 12 BRRI Rice67 Intermediate 13 BRRI Rice69 Intermediate 14 BRRI Rice72 Low 15 BRRI Hybrid Rice2 Intermediate 16 BRRI Hybrid Rice4 Low 17 Kalizira Intermediate 18 Tulsimala Intermediate 19 Binarice-11 Low 20 Binarice-13 Low 21 Binarice-16 Intermediate Amylose content Amylose content is considered as the most important factors to determine the cooking quality of rice (Balindong et al., 2018) along with gelatinization temperature (Hettiarachchy et al., 1997), Cooked rice become harder with increasing amylose contents, whereas, low amylose content makes rice sticky, and intermediate amylose makes rice firm and fluffy (Bao et al., 2006; Pandarinathan, 2015). Therefore, intermediate level of amylose rice are the preferred types in most of the rice growing areas of the world, except where low amylose japonica are cultivated. Hence, development of improved cultivar with intermediate amylose content should be always in the consideration in the grain quality improvement program. In this study, 11 cultivars were found as AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd intermediate, 7 were high and 3 cultivars were with low amylose content (Table 4). The cultivars with the highest amylose were found in BRRI rice29 (27.38) and the lowest amylose content was found in BRRI rice69 (17.36).Varieties with higher amylose content can be used for diabetes treatment (Ohtsubo, 2016). Protein content Rice grain protein content is related to nutritional quality (Balindong et al., 2018) as well as taste (Lee et al., 2014). Rice with good taste generally bears less than 7% protein after cooking (Lee et al., 2014). Rice with high protein content is hard, less elastic, and less viscous (Lee et al., 2014) and low sticky (Primo et al., 1962). Besides proteins seemed to influence the flavour and colour of cooked rice (Juliano, 1972) and found to have inverse relationship to viscographic breakdown of rice grain (Yanase et al., 1984). In the present study, 20 cultivars were found to have intermediate (7%-9%) and one cultivar has low (<7%) protein content (Table 4). The cultivars with the highest protein was found in BRRI hybrid rice2 (8.96%) and the lowest protein content was found in BRRI rice69 (6.28%). Unconsciously, people in major rice eating area prefer intermediate protein rice as in Bangladesh (Choudhury, 1979). Gelatinization temperature Gelatinization temperature (GT) is also closely related to the eating and cooking quality of rice (Juliano, 1972) through association with cooking time, texture of cooked rice and cool cooked rice (Maniñgat & Juliano, 1979) and molecular size of starch function (Li et al., 2008). Rice varieties with high GT require more water and cooking time than those possessing low or intermediate GT, therefore, intermediate GT is preferred in most rice-producing country as high quality cultivars (Pang et al., 2016). In the present observation, 13 cultivars exhibited intermediate gelatinization temperature and rest of the cultivars exhibited low GT (Table 5). In this context, the best performers were BR 26, BRRI rice29, BRRI rice35, BRRI rice46, BRRI rice59, BRRI rice61, BRRI rice64, BRRI rice67, BRRI rice69, BRRI hybrid rice2, Kalizira, Tulsimala and BINA rice16. Considering the preferences for rice to consumers of Bangladesh, rice with high amylose content with low to intermediate gelatinization temperature are more popular (Choudhury, 1979). All the rice varieties studied have low to intermediate GT, but only eight varieties have high amylose content. Among them, varieties which developed later, have lower GT. BRRI rice29, BRRI rice49, Binarice-11 are very much popular among the farmers and consumers, which have the preferred amylose content and GT. Although high amylose content makes cooked rice hard, but parboiling decreases amylose content of rice grain as well as hardness of cooked rice (Alary et al., AGRICULTURAL Journal Of Agricultural Science And Agriculture ISSN : 2597-8713 Available on http://agris c cientific -work.org/inde x.php/agris c This is Under CC BY SA Cooking and eating quality profiling of some popular rice cultivars in Bangladesh Saika Anne, Md. Anwarul Haque, and Sharif Ar Raffi* Page | *Corresponding author: Prof. Sharif Ar Raffi, saraffi@bau.edu.bd 1977), which justifies the popularity of BRRI Rice29 in spite of having highest amylose content. Average protein content of the rice varieties is ~7%, which should be taken in to consideration to increase up to 10% in newly developed varieties as qualitative improvement. 4. CONCLUSION Rice is consumed as whole grain; therefore, cooking and eating qualities are very much crucial in consumer’s perspective for rice-dependent business. The profiling of varieties for different quality traits shall be of great help the consumers to choose the desired one, as well as for the breeders to choose parents for creating variations for future qualitative improvement program. REFERENCES Alary, R., Laignelet, B., & Feillet, P. (1977). Effects of Amylose Content on Some Characteristics of Parboiled Rice. Journal of Agricultural and Food Chemistry. https://doi.org/10.1021/jf60210a040 Anne, S., Islam, S., Haque, M. A., Raffi, S. A. (2018). Evaluation of Physical and Cooking Property Based Grain Quality Traits in Popular Rice (Oryza sativaL) Cultivars of Bangladesh. Sch. J. Agric. Vet. Sci, 5(3), 172–178. Asghar, S., Anjum, F.M., Amir, R.M., Khan, M. A. (2012). Cooking and eating characteristics or rice (Oryza sativa L.). Pakistan Journal of Food Sciences, 22, 28–132. Balindong, J. L., Ward, R. M., Liu, L., Rose, T. J., Pallas, L. A., Ovenden, B. W., … Waters, D. L. E. (2018). 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work_y4mi6sxfknbutp2kngfjx3zaxy	----	alexander.dvi VOL. 77, NO. 5, DECEMBER 2004 349 Loxodromes: A Rhumb Way to Go J A M E S A L E X A N D E R Case Western Reserve University Cleveland, OH 44106 james.alexander@cwru.edu A rhumb is a course on the Earth of constant bearing. For example, to travel from New York to London a voyager could head at a constant bearing 73◦ east of north. Loxodrome is a Latin synonym for rhumb, and has come to be used more as a geometric term—the course is a rhumb, the curve is a loxodrome. On a surface of revolution, meridians are copies of the revolved curve; on the earth, they are north-south lines of constant longitude. A loxodrome intersects all the meridians at the same angle. A circle of constant latitude is a loxodrome (perpendicular to meridians). Any other loxodrome can be continued forwards and backwards, winding infinitely often around the poles in limiting logarithmic spirals, as in FIGURE 1. Figure 1 Loxodrome on a semi-transparent sphere. Compare also M. C. Escher’s “Sphere Surface with Fish” and “Sphere Spirals” [3]. All loxodromes, except circles of latitude, look like this, differing only in the slope. Of course, for navigation, only a portion of the full loxodrome is relevant. A rhumb course is not generally a great circle, and thus not the shortest route from one point on the Earth to another. However, a great-circle course requires continually resetting the bearing, an impossible task in the early days of ocean navigation. Usually a navigator would approximate a great circle by a series of rhumbs. Even today, with the availability of global positioning system (GPS), sailors and airplane pilots must know about rhumbs. The history of loxodromes goes back to the days when voyagers first realized that the Earth is not flat and they had to take the curvature into account. They had to develop the mathematics of loxodromes. A major development was the introduction of the Mercator map projection—a rhumb is a straight line on a Mercator map. Here we consider three related mathematical problems: I. Constructing the Mercator projection, II. determining the rhumb heading from one location to another, and III. computing the rhumb distance between two locations on the earth. 350 MATHEMATICS MAGAZINE Some history Economically, spice was the oil of the early Renaissance in Europe [1]. Economies de- pended on the spice trade. The Dutch and British East India Companies, incorporated for the spice trade, were the Shell and British Petroleum of their times. Spices were used for food preservation and preparation (a major consideration before refrigera- tion), for medicine, for personal grooming, and for conspicuous consumption. Origi- nally, spices were transported from various points in Asia overland or along the coast of the Arabian Sea, and through the Middle East and Egypt. There were lots of middle- men (and women—in 595, Muhammad married a spice trader) along the route; each one took his (or her) cut, and prices were whatever the market would bear. A small satchel of smuggled pepper could financially set a man up for life. Small wonder that the Iberian countries, at the very end of this long route, took the lead in exploring alternative routes to the Far East. A water route was a natural for these countries. But navigating the open Atlantic was a different ballgame than the Mediterranean. Perhaps the only certainty about the Atlantic was that it was home to sea monsters. But the economics were compelling, and navigation became a science. In the 1500s, the technology of navigation was cutting- edge for the countries of Europe. Charts, of course, could be developed only for known areas. Less than 100 years earlier, the Canaries and Azores had been terra incognita. There was a mystic island of Brazil somewhere out there. The Portuguese had, in a succession of voyages, sailed down the west coast of Africa, eventually losing their view of the North Star, requiring new techniques for determining latitude. Christopher Columbus had traversed the Atlantic in 1492 (but not to the spices of India), and in 1501, Amerigo Vespucci sailed down the east coast of South America. Sometime after, Portuguese sailors made south Atlantic crossings, and realized that the traverse was shorter than charts with equally-spaced meridians indicated. Much like today, governments acted to protect and enhance technologies impor- tant to their economies. In the 1500s, Portugal was a major seafaring country. The Portuguese king prohibited the use of (newly high-tech) globes for navigation, pre- sumably as an export control, to prevent them from falling into foreign hands. In 1534, a Chair of Mathematics was inaugurated at the University of Coimbra, underwritten with the intent of bringing mathematical methods to navigation. The polymath Pedro Nunes (1502–1578) was appointed to the new position. Nunes (pronounced noo′ nush) originally took a degree in medicine, but then held chairs in moral philosophy, logic, and metaphysics at the University of Lisbon before moving to Coimbra. He wrote trea- tises on mathematics, cosmography, physics, and navigation. He was appointed Royal Cosmographer in 1529 and Chief Royal Cosmographer in 1547. Navigators came to realize in the early 1500s that a course of constant bearing is not the same as a great circle. A (probably apocryphal) tale is that Nunes was intro- duced to the issue by a sea captain complaining that when he set out, say, eastward, and tied the rudder to hold a straight course, he would find his ship turning towards the equator [12]. In 1537, Nunes published two treatises analyzing the geometry of such courses, followed by a synthesis and expansion in 1566 in Latin [11], where he first used the word rumbo. Nunes’s work was controversial. Indeed, his analysis met opposition. At one point, claiming calumny on the part of his critics, he wrote, “I have decided, for this reason, to polish up some of the things I have written and set about studying philosophy and abandon mathematics, in the study of which, I have irretriev- ably lost my health” [12, translated]. The word loxodrome (Greek loxos = oblique, dromos = bearing) is a 1624 Latinization by Willebrord Snell (Snel) (1580–1626) [15] (of Snell’s law in optics) of the Dutch word kromstrijk (curved direction), used by Simon Stevin in his description of Nunes’s work. VOL. 77, NO. 5, DECEMBER 2004 351 20˚ 30˚ 40˚ 50˚ 60˚ Figure 2 A detail of Mercator’s 1569 map, showing a portion of South America, includ- ing latitude lines for 20 through 60 degrees South. Although the concept of “increasing latitudes,” that is, the uneven spacing of the parallels of latitude, was developed early in the 1500s, Mercator figured how to space the latitudes so that a loxodrome appears as a straight line. For a complete map and other details, see [9]. c©F. Wilhelm Krücken, used with permission. Another major development was the construction in 1569 by Gerhardus Merca- tor (Latinized from Gerhard de Cremer) of his world map [9]. His map, a portion of which is shown in FIGURE 2, had the great virtue that a straight line is a rhumb and (not coincidentally) angles on the map equal angles on the earth. To set a course from one location to another, a navigator drew a straight line on the map, determined the bearing, and set off. The Mercator projection became the standard for naviga- tion for centuries, and, perhaps unfortunately given its distortions [5], also for atlases, wall maps, and geography books. The mathematical problem, the “true division of the nautical meridian”—the exact spacing of the meridians—remained into the next century [8, 10]. (Side note: The Inquisitions were in full bloom in the 1500s, and affected both Nunes and Mercator. Many Jews in Spain were converted to Roman Catholicism; such people were called conversos. Nunes was converted as a child. The primary targets of the later Spanish inquisition were descendants of conversos, who were persecuted under the vague charge of judaizing. According to one authority, this happened to Nunes’s grandsons in the early 1600s [14, p. 96]. Mercator was (evidently falsely) accused of lutherye in an inquisition originated by Queen Maria of Hungary 352 MATHEMATICS MAGAZINE and spent seven months in 1544–45 imprisoned in the castle at Rupelmonde, narrowly escaping execution [2, chap. 15]. He moved to Duisburg in 1552 to escape further persecution.) The importance of navigation, and hence of these problems, in the 16th and 17th century is hard to overestimate. Geometry was premier applied mathematics. At the time, calculus was not available. Today, these problems are straightforward applica- tions of calculus to geometry and navigation. Calculations Mercator mathematics On a Mercator map, meridians are vertical lines. They do not converge at the poles. Although, as is well known, the Mercator map distorts dis- tances, it does not distort angles. At any point, it distorts east-west directions exactly the same as north-south directions—the distortion factor depends only on position, not on direction. Such a map is called conformal [4]. Moreover, the distortion de- pends only on the latitude, not on longitude. A line of longitude, or meridian, is of course half a great circle, running between the north and south poles. On the other hand, latitudes are parallel circles, but shrinking in radius away from the equator. On a spherical Earth, the parallel of latitude L (in degrees north or south of the equa- tor) is shrunk by the factor cos L compared to the equator. The equator has length 2π R, where R ≈ 6371 km ≈ 3959 mi is the mean radius of the earth. Inversely, at latitude L , distances on the Earth are stretched by the reciprocal sec L on the Mercator map. More generally, on any surface of revolution, let σ (L) denote the local stretch- ing factor at latitude L , the reciprocal of the amount that parallels of latitude L are shrunk, compared to the equator. On a spherical Earth, σ (L) = sec L . Some geode- sists’ computations are more exact, and take into account the fact that the earth is more an ellipsoid than a sphere. In this case, R is set equal to the equatorial radius 6378 km ≈ 3963 mi, and σ (L) = (1 − e 2) sec L 1 − e2 sin2 L , where the eccentricity e ≈ .081 specifies how far off from spherical the earth is. Here L is the geodetic latitude, the complement of the angle of the perpendicular to the surface with the axis of the earth. Let �(L) = ∫ L 0 σ (�) d� denote the total stretching from the equator to L , as in FIGURE 3. Here and below, all angles in the analysis are represented in radians. The total stretching solves problem I. The east-west scale on the equator sets the scale for the map. The parallel at latitude L is placed at north-south distance �(L) from the equator. If a standard schoolhouse ruler is laid N-S on a Mercator map, the distance markings on the ruler are proportional to �. Thus � serves as a linear coordinate on a Mercator map. Rhumb directions The Mercator mathematics of the previous section provides the basis for determining rhumb courses. Thus, if λ denotes longitude, the east-west coor- dinate, a straight line on a Mercator map has the form � = m (λ − λ1) + b. (1) Since the Mercator projection is conformal and meridians are parallel, such a line corresponds to a curve of constant bearing on the Earth, that is, a loxodrome. Thus, the VOL. 77, NO. 5, DECEMBER 2004 353 rhumb line between two points of longitudes λ1 and λ2 and latitudes L 1 and L 2 has m = �2 − �1 λ2 − λ1 , b = �1. In particular, the bearing from location 1 to location 2 is (one of the two values of) θ = arccot �2 − �1 λ2 − λ1 (degrees) (2) from north, solving problem II. 20 40 60 80 L � Figure 3 The graph of �(L), solving problem I. The horizontal axis is measured in de- grees and the vertical axis is scaled accordingly. As L → 90◦, � → ∞ and the parallels of latitude spread apart more and more. Edward Wright [16] realized � was obtained by “perpetuall addition of the Secantes,” and created a table using increments of one minute of arc, essentially amounting to numerical integration [8, 13]. The identification of an explicit expression for � (equation (6)) has a story of its own [13]. Rhumb distances In a Riemannian geometry, the differential of arc length, ds, is integrated over a rectifiable curve to obtain its length. By considering small (infinitesi- mal) right triangles, with sides aligned with latitudes and longitudes, one finds that, in terms of latitude and longitude, the square differential of arc length is ( ds R )2 = d L 2 + ( dλ σ (L) )2 . Thus ds d L = R √ 1 + 1 σ 2(L) ( dλ d L )2 = R √ 1 + 1 σ 2(L) ( dλ d� )2 ( d� d L )2 = R √ 1 + 1 m2 , so that the rhumb distance (up to sign) between the two points is Drh = end∫ start ds = L 2∫ L 1 ds d L d L = R √ 1 + 1 m2 L 2∫ L 1 d L = R √ 1 + 1 m2 (L 2 − L 1) . (3) 354 MATHEMATICS MAGAZINE Since, from equation (1), m is the cotangent of the bearing θ , equation (3) can be written Drh = R |L 2 − L 1| | sec θ|. (4) An alternative form for equation (3) is Drh = R √ ��2 + �λ2 |��/�L| . (5) Any of (3), (4), or (5) solves problem III. Table 1 gives some examples. Equation (5) can be read as the “Mercator Euclidean” distance divided by the relative total stretching between the two latitudes. From formula (5), in the limiting case L 2 = L 1 = L , the distance Drh = R|�λ|/σ (L), as we already knew. Formula (5) is easy to program into a calculator or computer. Note also that a loxodrome extending all the way to the poles has finite length, although it spirals infinitely. Figure 4 A modern Mercator map, vertically centered at the equator, with 10◦ latitude and longitude grid. The vertical spacing of the parallels of latitude is given by �, as graphed in FIGURE 3. The area distortion at high latitudes is evident. A rhumb course from New York to Beijing goes almost directly west across the 40th parallel of north latitude, while the great circle route comes close to the North Pole. For a spherical earth, σ (L) = sec L , so �(L) = �sphere(L) = ln(sec L + tan L) = ln ( tan 1 2 ( π 2 + L )) , (6) and the rhumb distance (5) can be computed by algebra (code can be downloaded from the web for calculators or PDAs). For an ellipsoidal earth, the stretching factor can also be integrated explicitly: �ellipsoid(L) = ln[sec L + tan L] − e 2 ln ( 1 + e sin L 1 − e sin L ) , and more precise loxodromic calculations can be made. In fact one could push further; the earth is slightly pear-shaped (technically, the spherical-harmonic coefficient J3 of VOL. 77, NO. 5, DECEMBER 2004 355 the earth is nonzero), and one could make even more precise loxodromic calculations. However, to this level of precision, there are variations that depend on longitude and the precision becomes meaningless. A rhumb between two points of the same longitude is an arc of a great circle (for instance, New York and Bogotá); a rhumb deviates most from a great circle when the two points have the same latitude. For comparison, the great-circle distance between two locations on a spherical earth is Dgc = R arccos ( sin L 1 sin L 2 + cos L 1 cos L 2 cos (λ2 − λ1) ) (as can be obtained from a dot product of position vectors), which can also be pro- grammed into a calculator. Some examples of distances from New York (latitude/ longitude = 40◦45′ N /73◦58′ W ) are given in Table 1. TABLE 1: Great circle and rhumb distances between New York and selected cities (distances in kilometers) City Latitude/Longitude Comments Dgc Drh London 51◦32′ N /0◦10′ W 5,564 5,802 Bogotá 4◦32′ N /74◦5′ W colongitudinal 4,024 4,030 Beijing 39◦55′ N /116◦23′ E colatitudinal 11,019 14,380 Canberra 35◦31′ S/149◦10′ E 16,230 16,408 If the rhumb is to cross the international date line, the calculation must be modified slightly. In equation (2), 2π must be added to or subtracted from the denominator. In equation (3) or (5), m or �λ must be calculated appropriately. Otherwise, one deter- mines the rhumb that goes around the earth in the opposite direction. In fact, there are an infinite number of rhumbs between any two non-polar, non-colatitudinal, points, differing in the number of times they encircle the earth, say indexed by the number of times they cross the international date line (positively or negatively). These can all be visualized by putting an infinite number of Mercator maps side by side. The lines from one point to the infinite number of copies of the other point correspond to the infinite number of rhumbs. The headings and distances are calculated by modifying the longitudinal differences in (2) and (5) by the index times 2π . If the index is very large, the rhumb will come close to the target point, but then swing away for another cycle around the earth. Loxodrome equations A loxodrome can be represented parametrically. Inverting equation (6) and using equation (1) with λ1 = b = 0 yields L = π/2 − 2 arctan(exp(−mλ)). Substituting into spherical coordinates and simplifying with various trigonometric formulae yields x = R cos λ sech mλ, y = R sin λ sech mλ, z = R tanh mλ. Thus can loxodromes be graphed, as in FIGURE 1 (where m = .075). The stereographic projection to the tan- gent plane at the pole is the logarithmic spiral r = Remθ , a result found by Edmond Halley by synthetic construction [6, 7], but an easy exercise with analytic geometry. A question These results provoke the question: for what positions for locations 1 and 2 are loxo- dromic distances the largest compared to great circles? Briefly we consider a restricted case, leaving a larger answer to the interested reader. Suppose 1 and 2 are at the same 356 MATHEMATICS MAGAZINE latitude L (in radians), but 180◦ apart in longitude. The great circle route goes over the pole, with length Dgc = R(π − 2L). The loxodromic distance is Drh = π R cos L . The ratio Drh/Dgc increases from 1 at the equator to π/2 at the pole. On the other hand, the difference Drh − Dgc is greatest when sin L = 2/π , so L ≈ .69 ≈ 40◦ (see New York-Beijing). This seems to be a maximum for locations that are 180◦ apart in longitude (with no constraints on the latitudes). Acknowledgment. The author would like to thank a number of people—the referees and others—whose com- ments on earlier drafts materially improved the paper. REFERENCES 1. American Spice Trade Association (ASTA), The history of the spice trade, http://www.astaspice.org/history/ frame history.htm, undated. 2. Nicholas Crane, Mercator: The Man Who Mapped the Planet, Henry Holt, New York, 2002. 3. M. C. Escher Foundation, M. C. Escher: the official website, http://www.mcescher.com, undated. 4. Timothy G. Feeman, Conformality, the exponential function, and world map projections, Coll. Math. Journal 32:5 (2001), 334–342. 5. , Portraits of the Earth: A Mathematician Looks at a Map, American Mathematical Society, Provi- dence, RI, 2002. 6. Ronald Gowing, Halley, Cotes, and the nautical meridian, Historica Math. 22:1 (1995), 19–32. 7. Edmond Halley, An easie demonstration of the analogy of the logarithmick tangents to the meridian line or sum of the tangents, with various methods for computing the same, to the utmost exactness, Phil. Trans. Royal Soc. London 19 (1696), 199–214. 8. Raymond D’Hollander, Historique de la loxodromie, Mare Liberum 1 (1990), 29–69. 9. F. Wilhelm Krücken, http://www.wilhelmkruecken.de (2002) (click on Gerhard Mercator, then on links un- der Die Weltkarte). 10. , Wissenschaftsgeschihtliche und –theoretische berlegungen zur Entstehung der Mercator-Weltakerte 1569, Sonderdruck aus Duisbeurger Forschungen Bd 41, 1993. 11. Pedro Nunes, Opera, Basel, 1566. 12. W. G. L. Randles, Pedro Nunes’ discovery of the loxodromic curve (1537): how Portuguese sailors in the early sixteenth century, navigating with globes, had failed to solve the difficulties encountered with the plane chart, Journal of Navigation 50 (1997), 85-96, reprinted as chap. XIV in W. G. L. Randles, Geography, Car- tography and Nautical Science in the Renaissance: The Impact of the Great Discoveries, Variorum Collected Studies, Ashgate, 2000. 13. V. Frederick Rickey and Philip M. Tuchinsky, An application of geography to mathematics: history of the integral of the secant, this MAGAZINE 53 (May 1980), 162–166. 14. Cecil Roth, The Jewish Contribution to Civilization, 4th ed,, Union of American Hebrew Congregations, Cincinnati, 1940. 15. Willebrord Snel van Royen, Hypomnemata mathematica, Lyons, 1605–08. 16. Edward Wright, Certaine errors of Navigation, London, 1599. 50 Years Ago in the MAGAZINE from “On the Stability of Differential Expressions,” by S. W. Ulam and D. H. Hyers, Vol. 28, No. 2, (Nov.–Dec., 1954), 59: Every student of calculus knows [!] that two functions may differ uniformly by a small amount and yet their derivatives may differ widely. On the other hand, it is more or less obvious intuitively, and quite easily proved, that if a continuous function f on a finite closed interval has a proper maximum at a point x = a, then any continuous function g sufficiently close to f also has a maximum arbitrarily close to x = a. An interview with Ulam appeared in the June 1981 issue of the College Math- ematics Journal, known at the time as The Two-Year College Mathematics Jour- nal, 12: 3 (1981), 182–189. 
work_y7oclaeqbvfu7o6tzzywi5eije	----	[PDF] Hot genes and hot tropics | Semantic Scholar Skip to search formSkip to main content> Semantic Scholar's Logo Search Sign InCreate Free Account You are currently offline. Some features of the site may not work correctly. DOI:10.1080/23328940.2015.1133878 Corpus ID: 3223241Hot genes and hot tropics @article{Chahl2016HotGA, title={Hot genes and hot tropics}, author={L. Chahl}, journal={Temperature: Multidisciplinary Biomedical Journal}, year={2016}, volume={3}, pages={46 - 47} } L. Chahl Published 2016 Geography, Medicine Temperature: Multidisciplinary Biomedical Journal Dear Editor-in-Chief, This letter is in response to the puzzle posed in your editorial “Why do people living in hot climates like their food “hot” (spicy) whereas most cuisines under more temperate climates are relatively bland?” Many speculative explanations for this seeming paradox have evolved. A favored physiological proposal is that the gustatory sweating induced by consumption of hot spicy food induces cooling of the body which is beneficial in a hot climate. Various explanations related… Expand View on Taylor & Francis tandfonline.com Save to Library Create Alert Cite Launch Research Feed Share This Paper 2 CitationsBackground Citations 1 View All Topics from this paper Capsaicin Chili Pepper (dietary) Bell Pepper dihydrocapsaicin Fatty Acids Solanaceae vanillylamine explanation Climate Anabolism Acyltransferase Spices Specialization acyl-CoA dehydrogenase Pain Perception Pain, Burning Hot flushes Capsaicinoid Cool - action Pepper extract Pepper - Condiment Candidate Disease Gene Alleles Transferase Genus 2 Citations Citation Type Citation Type All Types Cites Results Cites Methods Cites Background Has PDF Publication Type Author More Filters More Filters Filters Sort by Relevance Sort by Most Influenced Papers Sort by Citation Count Sort by Recency Some like it hot (ever more so in the tropics): A puzzle with no solution A. Szallasi Geography, Medicine Temperature 2016 4 Save Alert Research Feed Pungency: A reason for the sluggish expansion of hot spicy foods from the tropics A. Romanovsky Geography, Medicine Temperature 2016 2 PDF View 2 excerpts, cites background Save Alert Research Feed References SHOWING 1-8 OF 8 REFERENCES Multiple lines of evidence for the origin of domesticated chili pepper, Capsicum annuum, in Mexico K. Kraft, C. Brown, +5 authors P. Gepts Geography, Medicine Proceedings of the National Academy of Sciences 2014 126 PDF Save Alert Research Feed Whole-genome sequencing of cultivated and wild peppers provides insights into Capsicum domestication and specialization Cheng Qin, Changshui Yu, +70 authors Zhiming Zhang Biology, Medicine Proceedings of the National Academy of Sciences 2014 379 PDF Save Alert Research Feed Biotechnological advances on in vitro capsaicinoids biosynthesis in capsicum: a review Mechuselie Kehie, S. Kumaria, P. Tandon, N. Ramchiary Biology Phytochemistry Reviews 2014 14 Save Alert Research Feed Phytoliths in Pottery Reveal the Use of Spice in European Prehistoric Cuisine H. Saul, M. Madella, A. Fischer, Aikaterini Glykou, S. Hartz, O. Craig Biology, Medicine PloS one 2013 31 PDF Save Alert Research Feed Characterization of Different Capsicum Varieties by Evaluation of Their Capsaicinoids Content by High Performance Liquid Chromatography, Determination of Pungency and Effect of High Temperature A. Gonzalez-Zamora, Erick Sierra-Campos, J. Luna-Ortega, R. Pérez-Morales, J. Ortiz, J. García-Hernández Chemistry, Medicine Molecules 2013 74 PDF Save Alert Research Feed Protecting western redcedar from deer browsing—with a passing reference to TRP channels A. Romanovsky Medicine, Geography Temperature 2015 14 PDF Save Alert Research Feed Evidence of capsaicin synthase activity of the Pun1-encoded protein and its role as a determinant of capsaicinoid accumulation in pepper Kana Ogawa, Katsunori Murota, +4 authors C. Masuta Biology, Medicine BMC Plant Biology 2015 23 PDF Save Alert Research Feed 1371/journal.pone.0070583. D ow nl oa de d by 2013 Related Papers Abstract Topics 2 Citations 8 References Related Papers Stay Connected With Semantic Scholar Sign Up About Semantic Scholar Semantic Scholar is a free, AI-powered research tool for scientific literature, based at the Allen Institute for AI. Learn More → Resources DatasetsSupp.aiAPIOpen Corpus Organization About UsResearchPublishing PartnersData Partners   FAQContact Proudly built by AI2 with the help of our Collaborators Terms of Service•Privacy Policy The Allen Institute for AI By clicking accept or continuing to use the site, you agree to the terms outlined in our Privacy Policy, Terms of Service, and Dataset License ACCEPT & CONTINUE 
work_ydvlfteda5gr3jf63nyxllm5fm	----	Antiquity VOL. X L I No. 163 SEPTEMBER 1967 Editorial T will be well known to most of our readers I in the British Isles and Ireland, if not to our subscribers in the Andamans, the Falkland Islands and the Faeroes, that the faculties of arts, letters, sciences historiques-call them what you will--of French universities are engaged in a development of archaeological studies into their main schedules, and that, as a result of university expansion (now halted) in the last ten years, archaeology has recently been devel- oped in several British universities. There are two new Professorships in Britain, Barry Cunliffe in Southampton, and Charles Thomas in Leicester, and there are rumours of others elsewhere. In these universities and in others which, without catedraticos at the moment, are still planning degree courses in prehistory and archaeology, the questions arise: What are we doing? Who are we trying to train? and, most searching of all, Why could they not be better trained elsewhere? Question 5 of the ‘History and Scope of Archaeology’ paper in Part I1 of the Cambridge Tripos in Archaeology and Anthropology this year was as follows: Several universities are embarking upon, or planning new courses in archaeology leading to a B.A. degree. In broad outline, what subjects would you wish to include in such a course? There are many answers to this question, and the one advantage of the development of teaching in archaeology in many British univer- sities is that there is room for variation in scope, emphasis and detail. There is even room for the identification of archaeology with different faculties. While archaeology is, in most universities, in the faculty of arts, it is in the Faculty of Sciences in Belfast and Rennes. At Cambridge, where there is a separate. Faculty of Archaeology and Anthropology, one of the two archaeological teachers with Senior Doctor- ates is a Doctor of Science, and the other a Doctor of Letters. The first words of the preface to The Archaeology of Ancient China by Kwang-chih Chang (whose new book Rethinking Archaeology is reviewed in this number, p. 237) are these: ‘Archaeology in the College curriculum right- fully belongs to both the humanities and the social sciences.’ One of the very best definitions of archaeology is provided by Maurice Dunand in his Byblos, its History, Ruins and Legends (Beirut, 1964) when he says: The archaeologist is often asked by the public to talk about ‘his digs’. They expect from him dramatic accounts of the unveiling of past worlds preserved intact, arrays of gold still blazing with its antique lustre, wonderful treasure-tombs. They see in his work mystery and romance: he digs by intuition, marvellous things are brought to light, and all is wonder and rejoicing. The truth is otherwise. Archaeology is no longer the science of digging up statues, precious objects and inscriptions . . . . It must aim at reconstituting the life of towns, the sequence of their multiple settlements, the way of life of their inhabitants. It must investigate the main turning points of their history, in order t o relate them with similar points in time known elsewhere, so as to reconstitute the historical and cultural evolution of peoples that time has brought together or set against each other. An excavation is an attempt to open a dialogue with the past. We continue with a passage written by the present Editor of ANTIQUITY in The Cambridge Review for 20th May of this year: ‘Maitland once said at a meeting of the Eranus Club that anthropology had either to become history or become nothing. Archaeology must become history: years ago I warned against the danger of the new antiquarianism when the classification of flints, the typology of megaliths, and the analysis of dreary Bronze-Age pots became a substitute for the difficult task of wresting a few facts of history from the defaced antiquities and dry bones that survive ( A Hundred Years of Archaeology, 326). There are, broadly speaking, five archaeologies. T h e first concerns man from the moment he could be so called and had artifacts, to the beginnings of agriculture in the Near East, China and Mesopotamia, until what Elliot Smith called the Food-Producing Revolution and Childe the Neolithic Revolution. This is, to use the out- worn neo-grecisms, the Palaeolithic and Meso- lithic: what the present Disney Professor in his inaugural lecture called “primary prehistory”. ‘The second archaeology is that of the early peasant village communities of the world which in due course and in seven different regions of the world led to the first civilizations-those of Sumer, Egypt, the Indus valley, Shang China, the Olmecs, the Maya, and Peru. T h e archae- ology of these protohistoric civilizations and the many others that followed them, like the Hittites and Phoenicians, the Minoans and Myceneans and Greeks, the Aztecs and Incas, is the third archaeology: protohistory in its widest and most exact sense. This third archaeology is also the archaeology of those societies whom Kroeber and Toynbee and others would not classify as civilized: the barbarian Celts, the Anglo-Saxons, the Vikings, the Scythians, the Sarmatians. T h e fourth archaeology is that comprised at present by the society for Medieval Archaeology and reflected in its journal. And the fifth that comprised by the new society for post-Medieval Archaeology, whose work carries on to the new and fashion- able Industrial Archaeology. ‘All these five archaeologies need to be taught and practised in a University such as ours A N T I Q U I T Y ‘70 which, in the second half of this century when many of the new University experiments in Britain may collapse, is one of the three or four which can, with difficulty, survive with world status. What we need is a School or Institute of Prehistoric and Protohistoric Studies where the techniques and practices of archaeology can be taught and where students, whatever. . . they may be reading, can attend courses . . . varying from Palaeolithic Cave Art to the beginnings of Agriculture, from the origins of City Life in the Near East to an analysis of Viking Ships, Anglo-Saxon linear earthworks, and Teotihuacin. . . . ‘When, recently, in a review in The Spectator, I criticized adversely some of the remarks made about prehistory and protohistory by Professor Jack Plumb in his editorial preface to Prehistoric Societies by Grahame Clark and Stuart Piggott, he retorted that I was not a historian. And here is the essence of the matter: we are all historians, we are all studying the past of man, whether we concentrate on Walpole, Beowulf, Stonehenge or Lascaux. Manuscripts, microliths, megaliths-it is all one. T h e past is the goal of the historian whether he is text-aided or not . . . there are historians, in the strict sense of the word, who are frightened when they see archaeologists advancing toward them with dirt on their boots and a brief case full of air photographs and Carbon 14 dates. Dugdale, Aubrey, Lhwyd and Stukeley did not think they were other than historians, and, for that matter, historians who could be members of the Royal Society. We have taken the distinction between a history that is mainly derived from material sources and one that is derived from the aid of texts, too far.’ Thus ends that polemic. All universities, old and new, have this problem of organization: it should not be difficult to organize in a wide variety of ways if the end is always the right one: to pursue the whole story of man and his past from the beginning to the end examining all sources and using all auxiliary methods that the natural sciences and others can offer. It is a mistake, and of this there can be no doubt, to E D I T O R I A L divide the study of the results of the five archaeologies from the study of the way in which those results are obtained, and this is why so many study-bound historians still look with wonder and dismay a t men who dig and look through microscopes and use computers and still claim to be historians. It will be interesting to see, in a decade from now, how the new universities have matched up in planning and achievement to the new oppor- tunities for archaeology, and what changes the older universities will have made. There are persistent and credible rumours of reorganka- tion and development in Oxford: and more than rumours in London that an Honours Degree in Archaeology will appear on the Statute Book there in the next few years. Perhaps we could persuade our Advisory Editor, Sir Mortimer Wheeler, to comment on this when it happens, in the light of what he said in his Foundation Oration in Birkbeck College in 1957, namely, ‘Archaeology was still on the substantive B.A. syllabus of this university; and it is a not irrelevant source of gratification to me to reflect that I was able twenty years ago to play a part in the seemingly perverse act of securing its removal from that syllabus’ (R. E. M. Wheeler, Alms fw Oblivion, 1966, 44). From the seem- ingly perverse of the ’30s to the seemingly reverse of the ‘60s is an intriguing way of looking at the development of academic arch- aeology in Britain in the last 30 years. cip 8 We have already described the new journal Current Archaeology and hinted that there was yet another new archaeological journal in the offing. There is: it is to be called World Archaeology: it will be published by Weidenfeld and Nicolson and the first issue will be out in the late spring of 1968. The publishers’ Autumn] Winter 1967 catalogue described the journal as follows: Its aim is to treat archaeology, both the art and the science, in the context of its related disciplines: mathematics and botany, geology and history. It will admit no restriction of period or of area, and each issue will develop a special theme. Space will also be found for the rapid publication of important new material, and for review articles on the major fields of international archaeological research. Special themes for the first year will include The New Archaeology, Chronology, and The First Farmers. The Editorial Board of World Archaeology consists of Martin Biddle, Barry Cunliffe, Henry Hodges, F. R. Hodson, Ian Longworth, Derek Roe and C. P. S. Platt, who is the Executive Editor, and there is an advisory board of 16 distinguished scholars from all over the archaeological world. This new journal, whose appearance we welcome, eagerly await and warmly support, is a quarterly; each issue will cost 15s and the annual subscription is 50s. I t is a bold venture in a world of rising printing costs and of people who, with the best will in the world, are having to cut down their sub- scriptions to learned journals. It is also a brave venture, and to organize a quarterly journal devoted to one theme per issue is a task which strikes midnight nightmare terror into the heart of this Editor: but then he and all his advisers are over 50, while no member of the Editorial Board of World Archaeology has yet reached the decent and obscure comfort of middle age and at least one of them was a prominent organizer of the Conference of Young Archaeologists. World Archaeology is not necessarily the ‘new’ archaeology; but it looks as if it might be a young and fresh influence in archaeological publications. We wish it all success. a 8 One of the members of the advisory Board of World Archaeology has recently agreed to join us as one of the Advisory Editors of ANTIQUITY. This is Gordon Willey, Bowditch Professor of Mexican and Central American Archaeology and Ethnology at Harvard University. Professor Wiley is a member of the National Academy of Sciences of the United States and a past President of the American Anthropological Association. He was awarded the Viking Fund Medal for Achievement in Archaeology in 1953. He will be known to many of our readers for the book he wrote with Philip Phillips entitled Method and Theory in American Archaeology (Chicago, 1958) and the book he edited with Robert Braidwood entitled Courses towards A N T I Q U I T Y Urban Life; his new book A n Introduction to American Archaeology: Volume I : North and Middle America published last year will be reviewed in the next number of ANTIQUITY by Dr Warwick Bray. The addition of Professor Willey to our Advisory Editors strengthens us in American Archaeology, hitherto represented, albeit with great learning and distinction, by Dr Geoffrey Bushnell, and it is good to know that Dr Bushnell has recently been made a Reader in American Archaeology in the University of Cambridge, England. This is, we believe, the first academic post in American Archaeology in Britain, and now we are delighted to learn that the University of London has a Lectureship in New World Archaeology, to which Dr Warwick Bray has been appointed. And interest in a11 aspects of archaeology grows in America itself. We have learnt only recently of the existence of the Art and Archaeology Newsletter, started in 1965. The ninth issue is on our desk as we write: it is edited and published by Otto F. Reiss, at 243 East 39th Street, New York, N.Y. 10016. The subscription rates are one issue 60 cents or 2s 6d, four trial issues $2 or IOS, and a ten-issue subscription costs $5 or 25s. Perhaps the extraordinary growth in interest in archaeology in America can be attested by the Artificial Dig-In School Project reported in The Daily Telegraph for 25th April 1967 as follows: Central Park, New York, has been chosen as the site of an unusual archaeological dig-in for school children later this year. A mound of earth will be erected and filled with several shards of ancient pottery, statuary and glass contributed by the Israeli Government. The Parks Com- missioner explained that what the young archaeologists found they would be allowed to keep. Gordon Childe said more than once that he wa8 not interested in American archaeology because it did not contribute to the main stream of history. It was possible to have such an attitude 20 years ago, but the progress of American archaeology in the last two decades has shown that, while America is not in the stream that led from the most ancient East through Greece and Rome to western Europe, it provides a mirror of the development of culture and civilization of a new, startling and exciting kind. The demonstration of MacNeish and his colleagues of the origins of maize in Mexico and of the independent origin of agriculture in at least four separate areas in Nuclear America (ANTIQUITY, 1965, 87) has forced archaeologists to think again about their easy conceptualization of ‘agriculture’. The new Committee on Agricultural Origins, financed by the British Academy and the Viking Fund, and under the Chairmanship of Sir Joseph Hutchinson of the University of Cambridge, may well achieve another MacNeish in south-eastern Europe and the Near East. And what we want as well is field-testing of the theories of Vavilov, Murdock and Sauer that there may be separate domestic- ations of crops in Abyssinia, Nigeria and south- east Asia. For an admirably clear and scholarly account of these matters readers should see the article by Dr David R. Harris entitled ‘New Light on Plant Domestication and the Origins of Agriculture: A Review’ in The Geographical Review, LVII, 1967,go-107, in which books like P. M. Zukovskij’s Cultivated Plants and Their Wild Relatives and the volume Essays on Crop Plant Evolution edited by Sir Joseph Hutchin- son, neither of which has been reviewed in ANTIQUITY, are discussed. a 8 From cultigens to crackpots. In the wake of all the fussation about the Vinland map and what really has been found at L’Anse-aux- Meadows, and the fruitless discussion about who discovered America, and after whom was it called, comes Richard Deacon with a book, Madoc and the Discove7y of America (London: Frederick Muller, 282 pp., 12 pls., 3 figs., 42s.), in which all the old stuff is trundled out again- Nicholas of Lynne, the Duke of Veragua’s claim that his ancestor Christopher Columbus dis- covered America in 1467 and not 1492, Peter Martyr’s assertion that Columbus had marked on one of his charts somewhere in the direction of the West Indies ‘Quest0 he mar de Cambrio’ (but does this mean, as Deacon claims, ‘These E D I T O R I A L are Welsh waters’?), the Mandan Indians, the strange expedition of John Evans of Waunfawr in 1792, and the charlatan variously known as ‘King’, ‘Chief’ and ‘General’, William Bowles. We have all been here before and do not wish to revisit these arid pastures. What is new in this book which enables Deacon to claim that ‘in the light of more recent evidence there are equally sound reasons for claiming that Madoc did reach the shores of the New World some 322 years before Columbus’? A careful reading of this book produces only two new facts: the first is a photograph of ‘the old stone pier said to be the departing point of Madoc’s first expedition, now a garden rockery at Rhos-on- Sea’, and the second the fact that the Daughters of the American Revolution have set up a tablet at Mobile Bay in Alabama inscribed ‘in memory of Prince Madoc, a Welsh explorer, who landed on the shores of Mobile Bay in 1170, and left behind, with the Indians, the Welsh language’. Deacon mentions in his bibliography Thomas Stephens’s Madoc (1893) and Professor David Williams’s John Evans and the Legend of Madoc (Cardiff, 1963)) but does not, alas, seem to have understood their arguments. Of Thomas Stephens’s essay David Williams himself wrote, ‘it is such a critical examination of the legend that one would have thought that this was now disposed of, once and for all’. But obviously not. History, according to John Clapham who died in 1618, ‘ought to be a Register of things, either truly done, or at least warrantable by prob- abilitie’. The rockery at Rhos-on-Sea, the plaque set up by the Daughters of the Revolution at Mobile Bay, and the fact that Mr Deacon himself sailed a small flat-bottomed landing-craft from Norfolk, Virginia, to North Africa, do not warrant the probability that a man called Madoc discovered America in I 170. In one thing Professor David Williams is wrong when he refers to ‘the legend of Madoc’: legend is undocumented and doubtful history. Invented history is myth, and Madoc’s discovery of America looks at the present moment, despite Mr Deacon’s valiant efforts, to be a mythical invention. Book Chronicle W e include here books which have been received for review, or books of importance not received for review, of which we have recently been informed. W e welcome information about books, particularly in languages other than English or American, of interest to readers of ANTIQUITY. The listing of a book in this chronicle does not preclude its review in ANTIQUITY. Early Rome by Einar Gjerstad. Lund: C. W. K . Gleerup, 1966. Skrifter utgivna an Svenska Institutet i Rom, 40, xvii: 4 (Acta Instituti R m a n i Regni Sveciae in 40, xvii: 4). Voh. IV:I and I V : ~ are subtitled ‘Synthesis of Archaeological Evidence’. 348 pp., 8 pls., 203 jigs. S W . F r . 250. History of Merioneth by E. G. Bowen and C. A. Gresham. Dolgellau: The Merioneth Historical and Record Society, 1967. Vol. I: ‘From the earliest times to the Age of the Native Princes’. 3 14 pp., 12 pls., I 10 jigs. 63s. Water, Weather a n d Prehistory by Robert Raikes. London: John Baker, 1967. 208 p p . , 18 p l s . 45s. Foreword by Sir Mortimer Wheeler. Epirus by N. G. L. Hammond. Oxford: Clarendon Press, 1967. 871 pp., 25 pls., 34figs.’ 23 plans, 18 maps. LIZ 12s. Subtitled ‘The geography, ancient remains, the history and the topography of Epirus and adjacent areas’, t h i s study in depth of a Greek canton is by the Professor of Greek in the University of Bristol. A History of Greece to 322 BC by N. G. L. Hammond. Oxford: Clarendon Press, 1967. 691 pp., 12 pls., 34 jigs. 50s. A 2nd edition of this valuable work first published 1959 (reprinted 1963), printed lithographically from corrected sheets of the 1st edition. continued on p . 180 ‘73 
work_yjhkdm4dcbcjzmitxo4zowl33y	----	Cocoa and Chocolate their clinical benefits: Insights in study design Mellor, D, Georgousopoulou, E & Naumovski, N Author post-print (accepted) deposited by Coventry University’s Repository Original citation & hyperlink: Mellor, D, Georgousopoulou, E & Naumovski, N 2017, 'Cocoa and Chocolate their clinical benefits: Insights in study design' CAB Reviews: Perspectives in Agriculture, Veterinary Science, Nutrition and Natural Resources, vol 12, no. 018, pp. 1-7 https://dx.doi.org/10.1079/PAVSNNR201712018 DOI 10.1079/PAVSNNR201712018 ISSN 1749-8848 Publisher: CABI This material has been published in CAB Reviews, Vol 12, Issue 018, 1-7, the only accredited archive of the content that has been certified and accepted after peer review. Copyright and all rights therein are retained by CABl. www.cabi.org/CABReviews Copyright © and Moral Rights are retained by the author(s) and/ or other copyright owners. A copy can be downloaded for personal non-commercial research or study, without prior permission or charge. This item cannot be reproduced or quoted extensively from without first obtaining permission in writing from the copyright holder(s). The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the copyright holders. This document is the author’s post-print version, incorporating any revisions agreed during the peer-review process. Some differences between the published version and this version may remain and you are advised to consult the published version if you wish to cite from it. https://dx.doi.org/10.1079/PAVSNNR201712018 http://www.cabi.org/CABReviews COCOA AND CHOCOLATE THEIR CLINICAL BENEFITS: INSIGHTS IN STUDY DESIGN Duane D. Mellor1,2, Ekavi N. Georgousopoulou1,3, Nenad Naumovski1 1 Faculty of Health, University of Canberra, Canberra, Australia 2 Faculty of Health and Life Sciences, Coventry University, Coventry, UK 3Department of Nutrition-Dietetics, School of Health and Education, Harokopio University, Athens, Greece Correspondence Duane D. Mellor, PhD, APD Associate Professor in Nutritional Sciences School of Public Health and Nutrition, Faculty of Health University of Canberra, Canberra, ACT, Australia Tel: 02 6206 8746 Email: duane.mellor@canberra.edu.au mailto:duane.mellor@canberra.edu.au Abstract Randomised controlled trials and meta-analyses have demonstrated the potential protective effect of cocoa and chocolate consumption with respect to Cardiovascular Disease (CVD) risk markers. Findings from experimental studies are in concordance with observational data, which includes reduction in clinical disease (especially stroke) being associated with chocolate consumption. However, the effect size of any benefit, and the exact mechanism of action due to variability in reporting of dose and type potential bioactive compounds remains unclear. Thus, the present review aimed to analyse the published work where cocoa and chocolate has the been assessed for its potential to protect against CVD and highlight the role of study design and type of product used in the variances of outcomes and how that might be used in formulating health advice. Keywords: chocolate; cocoa; cardiovascular disease; risk factors; review Introduction Christopher Columbus in early 1500s was the first European to encounter cacao seeds (cocoa) which are obtained from the tree – Theobroma cacao and he described them as a “mysterious-looking almond”, but he soon realized that the “cocoa beans” were already an established Mesoamerican currency (1). Nevertheless, the word “cacao” or “cocoa” is believed to be used to describe the native to America plant seeds, prior even to the Aztecs arrival in Mexico thought to date back to the Olmec possibly as early as 1000-1500 BCE (2). The culinary and ritual uses of the Theobroma cacao beans can be traced historically in ancient Mayan texts that referred to cocoa as “a gift of the gods”, whilst pre-Columbian societies were known to use cocoa often in a beverage form as medicine (2). The Aztecs believed that cocoa had nourishing, fortifying and aphrodisiac properties and thus, represented fertility, wisdom and power; so they reserved the use of cocoa as a beverage for high status adult males, who were the priests, highest government officials, military officers and distinguished warriors. In the classic period of Mayan civilization (250-900 CE.), ground cocoa seeds were mixed with seasonings to make a bitter, spicy drink that was believed to be a health-promoting elixir (2). The aforementioned medicinal use of cacao soon spread to Europe by the mid-1500s. Within a century, the culinary and medical uses of chocolate was being adopted in Western Europe through colonial era documents including instructions for the medicinal use of cacao (2). However, during the Enlightenment, the therapeutical use began to be separated from taste and potentially leading to chocolate becoming its main excipient, bearing the burden, over time, of a negative valence due to being associated with obesity, dental problems and unhealthy lifestyle (3). Since then into the present day chocolate is a food that is associated with gluttony, excess and frequently guilt. Recently, evidence has emerged revealing protective aspects of chocolate, this has started to overshadow chocolate’s negative reputation, suggesting it could have potential positive health benefits when eaten in moderation and as part of a balanced diet (4). Firstly, it has been suggested that chocolate could help manage cardiovascular disease (CVD) and type 2 diabetes risk through a number of proposed pathways which have been elucidated via in vitro and animal studies. The candidate mechanisms include the moderating insulin resistance, the induction of nitric oxide synthesis as a vasodilator, inhibition of angiotensin converting enzyme and facilitation of the formation of the nascent particle High Density Lipoprotein (5), which have been associated with the vitamin, mineral and other bioactive compound content of the cacao bean. This evidence is based on studies that tend to report on extremely small sized trials, with short follow-up period (56). These studies have been followed by the initial clinical trials (6-87-9), but the issue remains controversial and debatable even today. Advocates support that chocolate, offers important benefits in terms of regulation of arterial blood pressure and diameter (910) per se as a food, whilst opponents like Ellinger et al., (11) using Bayesian inference stated that recommending chocolate is economically sound as a blood pressure intervention, but not evidence-based. The latter is based on the assumption that epicatechin is the primary active compound, which is found in other foods including apples, tea and flava (broad) beans (12) and thus, epicatechin-rich foods not chocolate alone, should be the focus of such public health recommendations. However, the evidence that any health effect is largely due to epicatechin content of chocolate is not perhaps plausible, due to variable quantities of epicatechin delivered in many of the studies including a large number of studies which do not specify subgroups and individual polyphenols or omit these all together (5). Therefore, this issue of dose warrants further study, as does the potential beneficial effects of chocolate beyond its epicatechin content including theobromine, amino acid and lipid contents. This review aims to look holistically at chocolate and cocoa consumption, in the process acknowledging the limitation that this defined doses of individual potential bioactives such as epicatechins will not be explored within the scope of the review. Instead, an approach considering the potential clinical benefits of whole food products will be considered. Therefore, although the antioxidant-like and anti-inflammatory mechanisms have been linked chocolate consumption to favourable health outcomes (13), and as such support the ancient beliefs regarding cocoa, it is important to consider the food product as consumed and not only individual components. Nevertheless issues about formulation of the cocoa products vary between studies, making it difficult to reach a safe conclusion. This review aims to describe the potential role of chocolate and cocoa products in CVD risk and risk markers, under the context of product formulation and by taking into account the study design. Review Methodology The search terms were decided according to the PICOS (Participants, Interventions, Comparisons, Outcomes, and Study design) from scoping the literature concerning chocolate and cocoa consumption and its association with Cardiovascular Disease (CVD) risk and related markers such as CVD mortality, Myocardial Infarction (MI), Type 2 Diabetes Mellitus, stroke, endothelial function, arterial blood pressure, blood lipids and quality of life aspects. Both observational studies as well as clinical trials were included in this systematic review. All clinical trials that lasted at least two weeks and were placebo-controlled met the inclusion criteria. Key terms, related to the inclusion criteria, used in the titles and abstracts of these papers were consolidated in order to produce the minimum number of search terms required to retrieve the maximum number of relevant articles, e.g. cocao and cocoa were found to deliver the same search results. Key terms related to the inclusion criteria included chocolate (e.g. raw cocoa, chocolate), CVD mortality and morbidity (MI, stroke) and terms related to CVD risk factors such as (type 2) diabetes mellitus, blood pressure and endothelial function. Other key terms included quality of life (e.g. mood, depression, anxiety) and terms related to side-effects (e.g. weight change, energy content, fat mass, sugar, caffeine). Boolean operators (AND and OR) were used to construct and refine the search in MEDLINE and CAB reviews, but only papers published in English were included in the review. Cocoa/Chocolate, endothelial function and arterial blood pressure Hooper et al. (14) conducted a meta-analysis of 11 randomised clinical trials to investigate the effects of chocolate/cocoa consumption on endothelial function, measured as FMD (Flow-mediated dilatation) and found that chronic intake of chocolate/cocoa improved the FMD per 1.34%, p-value<0.05. Moreover, chocolate/cocoa consumption lead to a significant reduction in diastolic blood pressure per 1.60 mm Hg, p<0.05, but no difference was detected in systolic blood pressure, p>0.05. Published in the same year, Ried et al. (15) meta-analysis of same study designs, focused on arterial blood pressure only and found significant reduction in systolic blood pressure by 2.77 mm Hg, p<0.05 and in diastolic blood pressure by 2.2 mm Hg, p<0.05. Just two year after these two meta-analyses were published, Mastroiacovo et al. reported a significant reduction only in systolic (4.3mmHg; p=0.028) but not in diastolic blood pressure (2.0mmHg; p=0.37) after an 8-week supplementation of high- flavanols cocoa drink. Heiss et al. (16) found a different effect with a significant decrease in diastolic blood pressure (p<0.05) following a 2-weeks high-flavanol cocoa drink supplementation in males, but no difference was reported in systolic blood pressure (p>0.05) across clinic and ambulatory readings. More recently, Sansone et al. (17) in a 4-week randomised trial reported significant reduction in both systolic (4.4mmHg) and diastolic (3.9mmHg) arterial blood pressure after the consumption of study-designed high in flavanols cocoa drink. Cocoa/Chocolate and Diabetes Hooper et al. (14) summarised the effect of cocoa/chocolate supplementation as significant reduction of fasting insulin (-2.65 µU/mL, p<0.05), but reported no effect on fasting serum glucose levels in clinical trials. However, data from two observational prospective studies (18, 19) and a meta-analysis of prospective studies (20) have suggested that frequent chocolate consumption is linked to a significant potential reduction in risk of developing type 2 diabetes mellitus by approximately 30%, p<0.05 based on the reduction in insulin resistance calculated from fasting insulin and glucose. Cocoa/Chocolate and Cholesterol As regards cholesterol levels, Hooper et al. (14) meta-analysis revealed a significant reduction in LDL-cholesterol (0.07mmol/l; p=0.05) as a result of cocoa/chocolate supplementation, but no impact on total cholesterol, (p>0.05), suggestive of a modest improvement with respect to atherogenic lipid profile. Sansone et al. (17) found significant reduction in both total and LDL-cholesterol as a result of the cocoa drink supplementation (0.20mmol/l and 0.17mm0l/l respectively; p<0.05), whilst Mastroiacovo with a longer intervention, that was double the length of Sansone et al. (17) and higher dosage reported favourable difference only in LDL-cholesterol levels (0.44mmol/l; p=0.02). It should perhaps also be noted that LDL cholesterol is typically calculated from Friedewald equation and represents a composite of HDL cholesterol, total cholesterol and triglycerides, and as such could be prone to type 1 error due to non-significant clinically, irrelevant changes observed in studies. Cocoa/Chocolate and CVD risk The effect of chocolate consumption on fatal CVD risk was assessed in a systematic review by Kwok et al. (21), reporting the findings of nine studies with follow-up time ranging from 8-16 years, found an independent protective effect of frequent chocolate consumption (45% risk reduction as compared to no consumption, p=0.005), additionally chocolate consumption was protective against non-fatal stroke events. In the same systematic review, chocolate consumption was favourable only against stroke among the non-fatal CVD clinical outcomes reported(21). The latter was also confirmed by Larsson et al. (22) in a meta-analysis of five prospective trials, where chocolate consumption was proven protective against stroke by 20%, p<0.05. Finally, Khawaja et al. systematically reviewed seven prospective studies and found an overall protective effect of chocolate consumption against (23) myocardial infarction risk. It is perhaps a limitation that many of these studies assessing clinical disease endpoints do not report the clinical CVD risk factors such as lipid profiles and blood pressure. This has the effect that comparison of clinical trials, which assessed the effect of chocolate, or cocoa on biomarkers of CVD and observational studies that reported CVD incidence is not possible without extrapolating data and risking introducing considerable confounding. Commercial vs. Study designed product Out of the 30 Randomized, placebo-controlled clinical trials included in this review ( 6, 17, 24, 51), only 10 used commercial chocolate ( 6, 24, 31, 33, 36, 39, 46, 47), and 20 used research tailor-made products designed by collaborating industry partners or in the case of four have limited availability as a specialist product or supplement (17, 25-30, 32, 37, 39, 40-45, 48-51). With the nature of many of the studies attempting to match the control product to the investigational one, it meant that in 21 studies (17, 24-32, 38, 40-45. 48-51) the control chocolate was specially designed. This needs to be considered, as it is plausible that the health effects of these types of product may not represent those of typical commercially available chocolates. Composition of the product/placebo Among the 30 reviewed trials, only 12 used solid chocolate (75% of them commercial) and the remaining studies used cocoa beverages (usually made with milk). Although not a direct focus of this review, it was clear the detail of reporting of the content of the chocolate with respect to polyphenol content and the fractions of polyphenols contained in the products were varied. One paper provided no data on the polyphenol content (39) with only four papers stating the profile of compounds and the methodology used to measure them was by HPLC (25, 26, 35, 49). There also seemed to be a lack of concordance in the data with several papers reporting the use of the same commercially available white chocolate used as a control was polyphenol free (46, 47) this product was used by another group and described as flavanol-free (6) in one study and presumed to contain no polyphenols (34) in a separate study. However, the later group in a subsequent study reported that this product did contain 1.3mg per g of polyphenols (35), however the same studies supplementary data suggested the polyphenol content of this product were not detectible. Overall the reporting of potential bioactive compounds in many chocolate and cocoa studies, in particular related to the proposed placebo is a limitation, and the polyphenol content of a number of the control products used, means it is difficult to conclude that either epicatechins or other polyphenols are the primary bioactive compound in clinical studies. Reporting of a significant polyphenol content in the white chocolate placebo of some studies (35), which are inconsistent within the same report and contradict the reporting of the same product in earlier publications further challenges the data with respect to quality and risk of bias. Other groups have reported polyphenols being present in white chocolate (40, 43), and although polyphenols are more concentrated in the cocoa mass, they are not absent in cocoa butter and white chocolate (52). Concordance between intervention product and placebo composition Out of the 30 reviewed trials, five of them used a placebo of different source (commercial vs. study designed product) as compared to the intervention supplement. However, in all studies the placebo composition (liquid cocoa vs. solid chocolate) was in agreement with the intervention product. With respect to matching control product to the active, only 10 out of 30 trials described how they matched the placebo to the intervention product in for its appearance, eight matched the products for taste and 26 matched for macro-nutrients in the consumed products. This means that challenges are apparent in the interpretation of the data, as high levels of heterogeneity between studies exist. This together with the frequent use of study specific products which are typically supplemented with additional flavanols to produce products that are not available to the public health recommendations based on the published data are not possible. Therefore, it is plausible to recommend that the use of the term placebo is not really valid in most chocolate and cocoa studies, and terms such as comparator products should be used. This approach perhaps should be considered for most food based intervention studies where a true placebo, where only the proposed active compound is removed is rarely possible. Discussion The potential of cocoa and chocolate to improve markers of cardiovascular disease has been shown in a number of intervention trials, which have reported significant independent protective effects of chocolate/cocoa consumption against CVD risk markers (i.e. blood pressure, LDL-cholesterol levels and insulin resistance). However, the challenges in results interpretation still remain because of the high level of heterogeneity between study designs. Specifically, the majority of the existing studies have used tailor-made products, high in flavanols, which are not readily available to the public, whilst the few studies that did use commercial products failed to match the placebos in taste and appearance. Thus, it is still hard to formulate safe clinical recommendation regarding chocolate consumption for reducing CVD risk for public health purposes. Moreover, observational studies have shown promising protective results mainly with respect to stroke risk, but there is lack of robust results for other CVD clinical outcomes (21). Moving from statistical significance to clinical benefits seems to be the most important challenge, as trials’ results showing a significant decrease in many CVD risk markers are not in consistently in concordance with findings from observational studies. There is a considerable amount of variation in the amount of flavanols, that many of the studies report are contained in the product. Manufacturers further challenge the reliability of this data but the lack of reporting of methods of analysis and frequent reliance on the provision of data. The lack of clarity across a number of studies which used a commercially available white chocolate which appears across a number of studies to be assumed to be polyphenol free (6, 34, 46, 47) but when latter tested (35) and found to contained 10-20% the polyphenol content of the active means data needs to be treated with caution. This points to the need for consistent reporting of the content of chocolate and cocoa in clinical studies and clearer description with respect to the availability of product and the applicability of findings to the public. This later point may create challenges due to the commercial sensitivities and often funding of many of these studies, so therefore independently designed studies with standardised products may be useful in elucidating the potential beneficial impacts of chocolate and cocoa on human health. The favourable effect of chocolate and cocoa consumption with respect to CVD risk factors could be explained by several mechanisms that have been linked to its antioxidant-like and anti-inflammatory properties (5). The proposed mechanism varies, from induction of endothelial nitric oxide synthase as a mechanism for the improvement in endothelial function, through to induction of endogenous antioxidant systems including superoxide dismutase to explain the antioxidant-like effects seen (53). With the previously held view that the antioxidant effects observed in vitro simply could be translated to in vivo, being widely dismissed due to low circulating levels of these compounds due to poor absorption and bioavailability. Further mechanisms have been explored to explain the blood pressure lowering effects possibly being linked to inhibition of Angiotensin Converting Enzyme (ACE) and insulin resistance via modulation of AMP-kinase pathway in skeletal muscle and liver (53-55). However, critics have suggest that the same amount of flavanols and epicatechin could be met though the consumption of other foods and food products (e.g. via tea) (11). Furthermore, anxiety and depressive symptoms are tightly linked to CVD development (56) and as chocolate is known to improve positive mood (57), this could be an interesting mediating path that needs further investigation. Conclusion/Summary Habitual chocolate consumption has shown protective effects against CVD risk markers including arterial blood pressure, insulin resistance in clinical trials, findings which are also supported by epidemiological studies. Nevertheless, the effect size is significantly higher in clinical trials as compared to prospective studies, which needs attention when forming guidelines. Furthermore, promising results from short-term clinical trials cannot necessarily mean it can be considered clinically relevant as a potential therapeutic option, but the combined results from this review suggest that chocolate consumption need not to be avoided and should not be regarded as an unhealthy food of sin. References 1. Rusconi M, Conti A. Theobroma cacao L., the Food of the Gods: a scientific approach beyond myths and claims. Pharmacological research. 2010;61(1):5-13. 2. Dillinger TL, Barriga P, Escarcega S, Jimenez M, Salazar Lowe D, Grivetti LE. Food of the gods: cure for humanity? 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Cocoa Flavanol Intake and Biomarkers for Cardiometabolic Health: A Systematic Review and Meta-Analysis of Randomized Controlled Trials. The Journal of nutrition. 2016;146(11):2325-33. 56. Kyrou I, Kollia N, Panagiotakos D, Georgousopoulou E, Chrysohoou C, Tsigos C, et al. Association of depression and anxiety status with 10-year cardiovascular disease incidence among apparently healthy Greek adults: The ATTICA Study. European journal of preventive cardiology. 2016. 57. Meier BP, Noll SW, Molokwu OJ. The sweet life: The effect of mindful chocolate consumption on mood. Appetite. 2016;108:21-7. 
work_yju63knim5bfxmctb7o5qiadue	----	  1   A-­‐legal  irruptions  and  spatial  revolutions     Panu  Minkkinen   Faculty  of  Law   P.O.  Box  4   FI-­‐00014  University  of  Helsinki   Finland   Email  panu.minkkinen@helsinki.fi     Writing  a  conventional  review  of  Hans  Lindahl’s  recent  book  would  be  an   ungrateful  task.  As  a  theoretical  monograph,  Fault  Lines  of  Globalization  is  as  rich   as  the  festive  foods  of  an  Easter  meal  trying  to  make  up  for  a  long  period  of  pious   fasting.  So  compressing  all  its  richness  into  a  few  pages  would  not  only  be   impossible,  but  it  would  also  do  injustice  to  the  wealth  of  original  and  compelling   insights  included  here.  Those  of  us  who  have  followed  Lindahl’s  work  closely   over  the  last  few  years  will  recognize  familiar  themes.1  But  the  book  is  also   different.  Fault  Lines  is  an  elegant  and  refined  theoretical  conclusion  after  a  long   period  of  scholarly  incubation  and,  no  doubt,  a  major  milestone  for  its  author,  as   well.     And  so  it  is,  I  feel,  both  right  and  proper  that,  instead  of  attempting  the   impossible,  that  is,  instead  of  trying  to  say  everything  that  there  is  to  say,  a   contribution  to  a  review  symposium  should  take  some  individual  aspect  of   Lindahl’s  book  and  try  to  comment  on  it  in  the  hope  of  advancing  the  more   general  debates  that  the  book  addresses.                                                                                                                   1  See  e.g.  Hans  Lindahl,  'Give  and  take:  Arendt  and  the  nomos  of  political   community'  (2006)  32  Philosophy  &  Social  Criticism  881;  Hans  Lindahl,  'The   Paradox  of  Constituent  Power.  The  Ambiguous  Self-­‐Constitution  of  the  European   Union'  (2007)  20  Ratio  Juris  485;  Hans  Lindahl,  'The  anomos  of  the  earth:   political  indexicality,  immigration,  and  distributive  justice'  (2008)  1  Ethics  &   Global  Politics  193;  Hans  Lindahl,  'Border  Crossings  by  Immigrants:  Legality,   Illegality,  and  Alegality'  (2008)  14  Res  Publica  117;  Hans  Lindahl,  'A-­‐Legality:   Postnationalism  and  the  Question  of  Legal  Boundaries'  (2010)  73  Modern  Law   Review  30;  Hans  Lindahl,  'Boundaries  and  the  Concept  of  Legal  Order'  (2011)  2   Jurisprudence  73;  Hans  Lindahl,  'In  between:  Immigration,  distributive  justice,   and  political  dialogue'  (2011)  10  Contemporary  Political  Theory  140.     2     ’In  the  beginning  was  the  fence’,  writes  Carl  Schmitt  quoting  favourably  the   German  linguist  Jost  Trier.2     ’In  the  beginning  was  a-­‐legality’,  responds  Lindahl.3     In  this  short  essay,  my  modest  aim  is,  then,  to  cover  a  few  tangential  surfaces   that  will  hopefully  identify  certain  metaphysical  parallels  that  Lindahl  shares   with  and  has,  at  least  partly,  adopted  from  Schmitt.  The  use  of  the  term   ’metaphysical’  is  not  intended  as  pejorative.  For  both  Schmitt  and  Lindahl   ground  their  subsequent  analyses  on  spatial  premises  that  are  metaphysical  to   the  extent  that  they  are  not  necessarily  founded  on  either  epistemologically   waterproof  conceptualizations  or  deductive  scientific  reasoning  but,  rather,  on   world  views  that  support  the  political  aims  of  the  respective  projects.4  Lindahl  is   by  no  means  politically  a  ’Schmittian’  but,  rather,  a  Schmitt-­‐inspired  democrat  in   the  same  vein  as,  for  example,  Ernesto  Laclau  and  Chantal  Mouffe.  So  Lindahl’s   Schmitt  is  a  left-­‐of-­‐centre  Schmitt  sometimes,  perhaps,  ill  at  ease  with  the  liberal   political  philosophy  (e.g.  Rawls,  Raz,  Waldron)  that  Lindahl  also  relies  on.     Two  points  are  worth  noting  right  at  the  top.  Firstly,  Fault  Lines  is  neither   jurisprudence  nor  legal  theory  in  the  conventional  senses  of  the  terms.  It  is  a   philosophical  —  or  a  philosopher’s  —  take  on  constitutional  theory  in  the  age  of   globalization.  This  philosophical  perspective  is  the  book’s  added  value  and  what   makes  it  stand  out  in  the  rather  tedious  monotony  of  transnational   constitutionalism.  Secondly,  and  relating  to  the  first  point,  the  subtitle  could  have   well  depicted  the  book  as  a  ’phenomenology  of  a-­‐legality’.  But  it  is  significant   that  it  doesn’t.  Fault  Lines  is  very  much  a  ’politics  of  a-­‐legality’.  While  it  is  a   phenomenological  study  thereof,  it  is  also  a  political  treatise  that,  in  the  spirit  of                                                                                                                   2  Carl  Schmitt,  The  Nomos  of  the  Earth  in  the  International  Law  of  the  Jus   Publicum  Europaeum  [1950]  (Telos  Press,  G.  L.  Ulmen  tr,  2003)  74.   3  Hans  Lindahl,  Fault  Lines  of  Globalization.  Legal  Order  and  the  Politics  of  A-­‐ Legality  (Oxford  University  Press,  2013)  155.   4  On  Schmitt’s  spatial  metaphysics,  see  e.g.  Claudio  Minca  and  Rory  Rowan,   'The  question  of  space  in  Carl  Schmitt'  (2014)  38  Progress  in  Human  Geography   [in  print]  and  the  literature  cited  therein.     3   Husserlian  ’embeddedness’,  very  much  participates  in  the  phenomenon  that  it   studies.5     The  central  vocabulary  of  Lindahl’s  spatial  metaphysics  is  made  up  of  three   notions  of  demarcation,  namely  boundary,  limit  and  fault  line.  Later  a  fourth,  that   is,  frontier,  is  introduced,  but  as  the  ’spatial  limit  of  a  legal  order’,  a  frontier   seems  to  denote  concrete  territoriality  rather  than  a  world  view.6  For  Lindahl,  a   boundary  is  a  dividing  line  proper  to  the  legal  order  that  regulates  behaviour  by   determining  the  normative  premises  of  human  action:  who  ought  to  do  what,   where,  and  when.  Boundaries  are,  then,  internal  to  the  legal  order  and  a  spatial   expression  of  the  normative  nature  of  law.  A  limit,  on  the  other  hand,  is  the  outer   perimeter  that  separates  the  legal  order  or,  to  be  more  exact,  what  is  ordered  by   law  from  what  is  not  ordered  by  law.  So  strictly  speaking  only  a  boundary  can  be   ’transgressed’  whereas  a  limit  could  only  be  factually  ’crossed’.  But  limits  are   worth  noting  here  to  the  extent  that  Lindahl’s  spatial  metaphysics  implies  the   existence  of  an  extra-­‐legal  domain  of  practical  possibilities  that  are  not  regulated   by  the  normative  boundaries  of  a  legal  order.  These  possibilities  are,  then,   neither  permitted  nor  prohibited  as  legal  regulation  does  not  apply  to  them.   They  merely  remain  possible.     With  limits  Lindahl  is  already  at  the  outer  edges  of  what  standard  legal  theory   can  accommodate.  But  he  wishes  to  take  his  analysis  one  step  further.  When  we   throw  ’a-­‐legality’  into  the  mix,  Lindahl,  in  a  manner  of  speaking,  positions  himself   on  the  Mount  Olympus  of  high  theory  and,  just  like  the  a-­‐legalities  that  intrude   into  the  order  of  (il)legality,    entertains  himself  by  observing  the  ’strange   behaviour  and  situations  that,  evoking  another  realm  of  practical  possibilities,   question  the  boundaries  of  (il)legality.’7  This  is  not  to  imply  that  Lindahl  finds   anything  amusing  in  the  real  world  events  that  the  theory  wishes  to  address.   Quite  the  contrary,  Lindahl’s  book  is  motivated  by  a  genuine  concern  for  the                                                                                                                   5  Despite  the  ubiquity  of  Husserl  and  Alfred  Schütz  that  stretches  across  the   book’s  300  pages,  Lindahl’s  phenomenology  seems  to  be,  at  least  to  this  reader,   closer  to,  say,  Max  Scheler.   6  Lindahl  (n  3)  52-­‐3.   7  Ibid  3.     4   inability  of  legal  theory  to  account  for  a  world  gone  haywire.  Fault  lines  appear   when  such  strange  events,  originating  in  the  extra-­‐legal  domain  of  a-­‐legality,   reshuffle  the  cards  allowing  for  entirely  new  games  to  be  played.  And  Lindahl   suggests  that  this  is  also  when  the  normative  boundaries  of  what  is  legal  and   what  is  illegal  come  into  question:     The  boundaries  of  a  legal  order  appear  as  normative  fault  lines  to  the   extent  that  a-­‐legal  behavior  and  situations  raise  normative  claims  that   surpass  the  range  of  practical  possibilities  which  the  apposite  legal   collective  could  actualize  as  its  own  possibilities  by  reconfiguring  the   boundaries  of  who  ought  to  do  what,  where,  and  when.  A  fault  line   manifests  itself  in  the  form  of  normative  claims  that  are  not  merely   unordered  but  also  unorderable  for  a  given  legal  collective.8     This  spatially  articulated  starting  point  can  be  rephrased  in  Schmittian  terms.   The  divide  between  what  is  legally  ordered  and  what  is  not  also  marks,  in   Schmitt’s  vocabulary,  the  tension  between  firm  land  and  open  sea,  or,  to  put  it  in   more  metaphysical  terms,  between  the  elements  of  earth  and  water.  In  The   Nomos  of  the  Earth,  Schmitt  famously  develops  his  ’primal  scene’9  in  which  the   originary  legal  order  is  grounded  in  a  land-­‐appropriation,  in  a  first  act  of   territorial  acquisition  that  marks  out  the  borderlines  of  the  pastureland   separating  it  from  the  surrounding  wilderness.10  Land-­‐appropriation,  these   ’great  primeval  acts  [Ur-­‐Akte]  of  law’,11  the  ’terrestrial  fundament  [Urgrund],  in   which  all  law  is  rooted,  in  which  space  and  law,  order  and  orientation  meet’12,   establishes  the  first  legal  order  by  defining  what  Lindahl  would  call  the  ’limit’,  a   demarcation  line  beyond  which  lies  an  unordered  domain  of  non-­‐law.  The   essential  Schmittian  trademark  in  this  ’primal  scene’  is  the  tension  that  the  land-­‐ appropriation  creates  between  what  is  legally  ordered  —  here  represented  by   land  acquired  for  the  purposes  of  cultivation  —  and  the  unordered  surroundings                                                                                                                   8  Ibid  3-­‐4.   9  The  Freudian  allusion  is  here  intentional.   10  Schmitt  (n  2)  70.   11  Ibid  44.   12  Ibid  47.     5   that  represent,  one  the  one  hand,  an  opportunity  for  new  acquisitions  and   conquests  and,  on  the  other  hand,  the  threat  of  being  annihilated  as  the  target  of   someone  else’s  imperialistic  aspirations.  Opportunities  and  threats,  for  their   part,  are  also  another  way  of  expressing  the  existential  enmity  that,  for  Schmitt,   is  the  prerequisite  of  the  political.     But  what  would  the  political  mean  in  this  instance?     Schmitt  claimed  that  the  word  ’political’  was  being  used  without  proper   distinction  and  in  a  negative  way  by  setting  it  up  against  what  it  was  not  like   religion,  culture,  society,  law,  science,  and  so  on.  And  so  he  insisted  that  the   political  be  conceptualized  ’positively’  by  identifying  categories  that  are  specific   to  it.  This  is  the  point  at  which  Schmitt  introduces  the  infamous  friend/enemy   distinction.13  Schmitt’s  enemy  is  not  simply  some  trivial  personal  rival  but   represents  the  potential  of  factual  conflict  and  even  existential  annihilation.  Such   an  existential  enemy  is  also  made  public,  a  hostis  publicus,  then,  in  two  different   ways,  rather  than  something  or  someone  merely  lacking  the  qualities  worthy  of   friendship.  Consequently,  Schmitt  concludes,  all  concepts,  expressions  and  words   in  so  far  as  they  are  political  are  by  nature  polemical  and  aim  at  defining   concrete  oppositions.14     So  for  Schmitt  the  friend/enemy  distinction  is  not  really  a  ’conceptual’   distinction  at  all  that  one  would  encounter  as  some  sort  of  necessary  binary   logic.  No,  it  is  a  distinction  that  has  to  be  made  before  it  can  exist.  It  can  only  come   about  by  identifying  and  appointing  an  enemy  and  by  making  it  public.  In  a   similar  way,  Schmitt’s  own  attempts  at  formulating  a  ’concept’  of  the  political  are   not  based  on  epistemologically  controlled  analyses  of  the  way  in  which  the   distinction  plays  out  in  the  domain  of  politics.  Because  the  ’concept’  is  itself   political,  the  ’conceptualization’  must  also  take  place  as  a  polemical  engagement   with  some  apolitical  ’enemy’.  And  as  is  well  known,  for  Schmitt  such  an  ’enemy’                                                                                                                   13  Carl  Schmitt,  The  Concept  of  the  Political  [1927]  (University  of  Chicago   Press,  Expanded  edn,  George  Schwab  tr,  2007)  26.   14  Ibid  31-­‐2.  For  Lindahl’s  own  take  on  Schmitt’s  enmity,  see  Lindahl  (n  3)   179-­‐80.     6   was  the  neo-­‐Kantian  variant  of  continental  legal  positivism  and  its  Rechtsstaat   principle  represented  by  the  likes  of  Kelsen  and  Paul  Laband.15     A  similar  ’double  bind’  seems  to  characterize  Lindahl’s  book,  as  well.  Just  as   Schmitt  cannot  conceptualize  the  political  from  an  apolitical  position  but  will   have  to  present  the  friend/enemy  distinction  itself  as  some  kind  of  polemical   intervention,  so  too  must  Lindahl  ’politicize’  his  phenomenology  into  an   intervention  into  the  traditions  of  legal  theory.  In  other  words,  Lindahl’s  theory   is  itself  an  ’a-­‐legality’,  an  intrusion  —  an  ’irruption’,  as  Lindahl  would  probably   say  —  from  the  domain  of  what  is  neither  legal  nor  illegal  into  the  order  of  the   law.  It  is  not  merely  an  ’external  point  of  view’  in  the  Hartian  sense  but,  rather,  a   deliberate  and  polemical  challenge.  This  is  the  ’agonistic’  element  of  Fault  Lines,   the  reason  why  Lindahl’s  phenomenology  has  to  be  a  ’politics  of  a-­‐legality’  rather   than  ’strenge  Wissenschaft’  in  any  Husserlian  sense.16  Through  the  a-­‐legal   irruption  the  order  of  (il)legality  is  opened  up  for  politics.     As  Schmitt’s  political  world  now  becomes  divided  into  friendly  and  hostile   entities,  conflict,  strife  and  war  become  its  ultimate  possibilities.  What   characterizes  political  existence  within  these  possibilities  is  a  constant  tension,  a   ceaseless  anticipation  of  an  ’a-­‐legal  irruption’  that  may,  of  course,  never  occur.   How,  then,  does  the  existential  tension  configure  in  Schmitt’s  spatial   metaphysics?     Schmitt  dedicates  much  time  to  the  analysis  of  what  he  calls  ’primeval  words’   (Urwörte).17  Schmitt  will,  for  example,  insist  that  his  work  is  not  the  application                                                                                                                   15  On  Schmitt’s  political  constitutional  theory,  see  Panu  Minkkinen,  'Political   constitutionalism  versus  political  constitutional  theory:  law,  power  and  politics'   (2013)  11  International  Journal  of  Constitutional  Law  585.   16  There  is,  e.g.,  a  certain  resemblance  in  the  way  in  which  Lindahl  describes   the  ’interruptive’  quality  of  a-­‐legal  events  and  Jacques  Rancière’s  thesis  on   politics  as  a  rupture  or  break  in  the  logic  of  the  arkhè.  See  e.g.  Jacques  Rancière,   'Ten  Theses  on  Politics'  in  Jacques  Rancière,  Dissensus.  On  Politics  and  Aesthetics   (Continuum,  Steven  Corcoran  tr,  2009)  27-­‐44.   17  See  e.g.  Schmitt  (n  2)  70,  footnote  10.  For  a  critical  assessment,  see  Bruno   Bosteels,  'The  Obscure  Subject:  Sovereignty  and  Geopolitics  in  Carl  Schmitt's   "The  Nomos  of  the  Earth."'  (2005)  104  South  Atlantic  Quarterly  295.     7   of  a  given  philosophy  to  legal  phenomena  but,  rather,  the  ’development  of   concrete  concepts  from  the  immanence  of  a  concrete  legal  and  social  order.’18  So   we  are  not  talking  about  any  applied  philosophy  like  a  ’phenomenology  of  law’   but,  rather,  about  a  metaphysics  that  is  extracted  from  an  immanent  and   concrete  legal  order  although  it  is,  of  course,  not  entirely  clear  what  ’concrete’   here  means.19  Lindahl,  on  the  other  hand,  has  a  very  specific  understanding  of   ’concreteness’,20  but  for  him  the  existence  of  his  four  dimensions  of  space,  time,   subjectivity  and  content  are  the  bracketed  constituents  of  a  normative   phenomenology  that  precede  any  given  legal  order.  They  are,  as  it  were,  the   constituents  with  which  an  order  can  be  identified,  albeit  ’heuristically’,  as  legal.     So  for  Schmitt,  political  history  unfolds  from  his  ’primal  scene’  as  a  sequence  of   conquered  orderly  spaces  that  he  identifies  with  the  help  of  the  elements  as   ’primeval  words’:  earth,  water,  air  and  fire:     For  our  historical  analysis  …  we  retain  the  four  elements,  with  their   simple  but  evocative  names.  As  a  matter  of  fact,  they  are  global   designations  of  the  various  possibilities  of  human  existence.  So,  we  may   keep  on  using  them  while  talking  particularly  of  land  powers,  on  the  one   hand,  and  maritime  powers,  on  the  other,  in  the  sense  conveyed  by  these   elements.21      As  a  sequence  of  appropriated  elements,  the  world  that  we  inhabit  expands   gradually  from  a  basic  territorial  existence  as  a  succession  of  new  conquests   until  the  whole  world  has  been  ’globalized’  and,  ultimately,  ’depoliticized’.  But   any  consecutive  appropriation  of  an  element  must  be  grounded  in  an  original                                                                                                                   18  Carl  Schmitt,  'Die  Lage  der  europäischen  Rechtswissenschaft'  in  Carl   Schmitt,  Verfassungsrechtliche  Aufsätze  aus  den  Jahren  1924-­‐1954.  Materialen  zu   einer  Verfassungslehre  (Duncker  &  Humblot,  1958)  386-­‐429,  427.   19  See  e.g.  Mika  Ojakangas,  A  Philosophy  of  Concrete  Life.  Carl  Schmitt  and  the   Political  Thought  of  Late  Modernity  (Peter  Lang,  2006).   20  E.g.  Lindahl  (n  3)  24-­‐5.   21  Carl  Schmitt,  Land  and  Sea  [1954]  (Plutarch  Press,  Simona  Draghici  tr,   1997)  4.  See  also  e.g.  Plato,  Timaeus,  48b.     8   land-­‐appropriation,  a  decisionist  feature  not  entirely  unlike  the  appointment  of   an  enemy  that  was  the  prerequisite  of  all  things  political:     Not  only  logically,  but  also  historically,  land-­‐appropriation  precedes  the   order  that  follows  from  it.  It  constitutes  the  original  spatial  order,  the   source  of  all  further  concrete  order  and  all  further  law.  It  is  the   reproductive  root  in  the  normative  order  of  history.22     So  even  if  orderly  space  expands  as  successive  appropriations  of  the  elements,   everything  must  first  be  grounded  in  an  original  land-­‐appropriation  that   precedes  all  others.  The  original  order  of  nomos  is  ’the  immediate  form  in  which   the  political  and  social  order  of  a  people  becomes  spatially  visible  —  the  initial   measure  and  division  of  pastureland,  i.e.,  the  land-­‐appropriation  as  well  as  the   concrete  order  contained  in  it  and  following  from  it’.23  Lindahl  has  no  such  aition,   nor  does  he  need  one.  ’In  the  beginning  was  a-­‐legality’24  from  which  the  (il)legal   order  arises.     In  another  context  Schmitt  further  elaborates  his  notion  of  space  making   reference  to  a  ’contemporary  German  philosopher’:  ’it  is  not  the  world  that  is  in   space,  but  rather  it  is  the  space  that  is  in  the  world.’25  What  Heidegger,  Schmitt’s   ’contemporary  German  philosopher’,  actually  says  is  this:     Space  is  not  in  the  subject,  nor  is  the  world  in  space.  Space  is  rather  ’in’  the   world  in  so  far  as  space  has  been  disclosed  by  that  Being-­‐in-­‐the-­‐world   which  is  constitutive  for  Dasein.26     The  world  in  which  Dasein  dwells  is,  in  other  words,  primary  in  relation  to   spatial  demarcations.  What  Schmitt  here  adopts  from  Heidegger  is  an                                                                                                                   22  Ibid  47.   23  Schmitt  (n  2)  70.   24  Ibid  74.   25  Schmitt  (n  21)  59.   26  Martin  Heidegger,  Being  and  Time  [1927]  (Basil  Blackwell,  John  Macquarrie   and  Edward  Robinson  tr,  1962)  146.     9   understanding  of  space  as  an  orderly  framework  of  the  world  that  contains   within  itself  the  existential  tension  of  the  political.  So  political  existence  is   secondary  in  relation  to  Dasein’s  Being-­‐in-­‐the-­‐world.  Lindahl’s   phenomenologically  tuned  understanding  of  the  world  as  meaning-­‐relations  is   much  indebted  to  this  Heideggerian  idea.27  But  much  like  in  the  case  of  Schmitt,   his  primary  interest  is  ’ontic’  rather  than  ontological.  Lindahl  is  also  more   concerned  with  the  phenomenon  of  law  rather  than  with  the  ’fundamental   ontology’  of  how  Being  unfolds  for  Dasein.  This  focus  will  inevitably  also  steer   his  readings  into  particular  directions.     So  political  existence  as  Schmitt  understands  it  includes  within  itself  an   inclination  to  appropriate  the  world,  and  this  inclination,  in  turn,  is  animated  by   the  existential  tension  created  between  an  originary  territorial  locality  and  its   outside,  between  ’firm  land  and  open  sea’.  From  this  elemental  relationship   between  earth  and  water,    Schmitt  then  develops  his  notion  of  nomos  as  the  unity   of  orientation  and  order,  of  Ortung  and  Ordnung.  The  sea  represents  a  point   beyond  the  territorial  order  of  the  land,  a  free  and  ’unordered’  domain  open  for   trade  and  conquest.  Although  it  would  seem  that  the  freedom  of  the  sea  would  in   many  ways  be  analogous  to  the  ’unorderly’  nature  of  Lindahl’s  a-­‐legal  domain,   Schmitt’s  terrestrial  order  ’requires’  the  sea  in  a  similar  way  as  the  norm  and   normality  are  logically  dependent  on  the  exception.28  Because  that  order  is  by   definition  also  political,  it  presupposes  an  external  point  of  ’enmity’:  ’the  state  is   the  political  status  of  an  organized  people  in  an  enclosed  territorial  unit.’29     A  maritime  expansion  from  land  to  sea  will  extend  the  nomos  of  the  earth   ’elementally’  to  water:                                                                                                                     27  E.g.  Lindahl  (n  3)  262-­‐4.   28  Carl  Schmitt,  Political  Theology.  Four  Chapters  on  the  Concept  of  Sovereignty   [1922]  (University  of  Chicago  Press,  George  Schwab  tr,  2005)  12-­‐3.   29  Schmitt  (n  13)  19.     10   Such  extensions  of  law  to  the  space  of  the  free  sea  were  world-­‐historical   events  of  revolutionary  significance.  We  will  call  them  ’sea-­‐ appropriations.’30     In  these  ’world-­‐historical’  and  ’revolutionary’  epochal  extensions,  the  order  of   nomos  is  eventually  broadened  from  a  ’global’  conception  of  the  world  in  which   the  distinction  between  earth  and  water  still  sustains  the  existential  tension  of   the  political  to  a  ’planetary’  conception  of  the  world.  A  planetary  conception  is   established  from  an  aerial  position,  that  is,  by  appropriating  the  element  of  air:     Aware  as  one  is  that  airplanes  crisscross  the  air  space  above  seas  and   continents,  and  the  waves  broadcast  by  transmitters  in  every  country   cross  the  atmosphere  and  circle  the  globe  in  a  matter  of  seconds,  one  is   tempted  to  conclude  that  man  has  conquered  not  only  a  third  dimension,   but  also  the  third  element,  air,  the  new  elemental  space  of  human   exis-­‐tence.  To  the  two  mythical  creatures,  leviathan  and  behemoth,  a   third  would  be  added,  quite  likely  in  the  shape  of  a  giant  bird.31     And,  finally,  the  remaining  element  of  fire  represents  the  ultimate  nuclear  threat   of  a  world  entirely  submitted  to  technology.  The  extensions  that  appropriate  the   elements  one  by  one  are  also  Schmitt’s  account  of  the  process  of  gradual   globalization.  And  the  epochal  successions  of  ever  new  nomoi  will  inevitably  lead   to  the  world  closing  in  on  itself  as  the  original  distinction  between  earth  and   water  collapses  and  the  existential  tension  of  the  political  that  it  included  within   itself  is  annulled.  A  completely  globalized  world  is,  then,  also  a  depoliticized   world.  But  we’re  not  quite  there  yet,  for:     …  the  forces  and  the  powers  that  forge  history  wait  for  science  to  make   up  its  mind  as  little  as  did  Christopher  Columbus  and  Copernicus.  Each                                                                                                                   30  Schmitt  (n  21)  44.   31  Ibid  57-­‐8.  On  the  ’two  mythical  monsters’,  see  Carl  Schmitt,  The  Leviathan   in  the  State  Theory  of  Thomas  Hobbes.  Meaning  and  Failure  of  a  Political  Symbol   [1938]  (University  of  Chicago  Press,  George  Schwab  and  Erna  Hilfstein  tr,  2008)   5-­‐15.     11   time  the  forces  of  history  cause  a  new  breach,  the  surge  of  energy  brings   new  lands  and  new  seas  into  the  visual  field  of  human  awareness,  the   spaces  of  historical  existence  undergo  a  corresponding  change.  Hence,   new  criteria  appear,  alongside  of  new  dimensions  of  political  and   historical  activity,  new  sciences,  new  social  systems  [neue  Ordnungen];   nations  are  born  and  reborn.  This  redeployment  may  be  so  profound   and  so  sudden  that  it  alters  not  only  man’s  outlook,  standards  and   criteria,  but  also  the  very  contents  of  the  notion  of  space.32     This  account  of  ’spatial  revolutions’  sounds  very  much  like  the  dynamic  of  a-­‐legal   irruptions  that  also  maintain  the  politics  of  (il)legality.  A-­‐legality  is  the  politics  of   (il)legality.     Fault  Lines  begins  with  a  wonderful  anecdote  about  a  homeless  clochard  and  a   shared  meal.33  It  represents  the  type  of  unexpected  intrusion  of  life  into  our   orderly  world  that  sometimes  —  not  always  —  allows  us  to  see  beyond  what  we   thought  was  possible.  Lindahl’s  anecdote  is  an  echo  of  how  Heidegger  describes   the  ways  in  which  Dasein  is  absorbed  in  its  world  of  equipment  —  for  example,   the  orderly  environment  of  the  restaurant  —  until  we  are  interrupted  by   something  ’un-­‐ready-­‐at-­‐hand’  that  lights  up  that  world  and  the  equipmental   space  in  which  we  as  Dasein  dwell.34     But  what  is  the  status  of  this  a-­‐legal  intrusion  and  the  fault  line  that  it  draws?   The  incident  did  take  place,  as  Lindahl  will  testify,  and  so  it  was  always  a   possibility.  As  a  possibility,  it  was  already  included  within  the  range  of  potential   scenarios  that  the  ordered  domain  of  the  restaurant  as  a  ’world’  could  actualize.   Always  already,  as  one  might  also  say.                                                                                                                       32  Schmitt  (n  21)  29;  Carl  Schmitt,  Land  und  Meer.  Eine  weltgeschichtliche   Betrachtung  [1954]  (Klett-­‐Cotta,  4th  edn,  2001)  56-­‐7.   33  Lindahl  (n  3)  1-­‐4.   34  Heidegger  (n  26)  102-­‐7  and  Lindahl  (n  3)  263-­‐4.  See  also  Panu  Minkkinen,   Thinking  Without  Desire.  A  First  Philosophy  of  Law  (Hart,  1999)  54-­‐60.   
work_ynogd5zslvejje45zdnmaui3q4	----	10.11648.j.ijefm.20150302.13 International Journal of Economics, Finance and Management Sciences 2015; 3(2): 91-98 Published online February 13, 2015 (http://www.sciencepublishinggroup.com/j/ijefm) doi: 10.11648/j.ijefm.20150302.13 ISSN: 2326-9553 (Print); ISSN: 2326-9561 (Online) Farmer’s Profitability of Tobacco Cultivation at Rangpur District in the Socio-Economic Context of Bangladesh: An Empirical Analysis Mohammad Masudul Hassan 1 , Mosammod Mahamuda Parvin 2 , Samira Islam Resmi 1, * 1 Faculty of Agribusiness Management, Sher-e-Bangla Agricultural University, Dhaka-1207, Bangladesh 2 Department of Management & Finance, Sher-e-Bangla Agricultural University, Dhaka-1207, Bangladesh Email address: masudul@hotmail.com (M. M. Hassan), mahamudaparvin@gmail.com (M. M. Parvin), samira.islam@outlook.com (S. I. Resmi) To cite this article: Mohammad Masudul Hassan, Mosammod Mahamuda Parvin, Samira Islam Resmi. Farmer’s Profitability of Tobacco Cultivation at Rangpur District in the Socio-Economic Context of Bangladesh: An Empirical Analysis. International Journal of Economics, Finance and Management Sciences. Vol. 3, No. 2, 2015, pp. 91-98. doi: 10.11648/j.ijefm.20150302.13 Abstract: Bangladesh is mainly an agricultural country. Agriculture is the major stay of the economy of Bangladesh. Agriculture is the crucial way of life of Bangladesh. Agriculture bears an anticipative contribution to the Gross Domestic Product (GDP) of the country prior to a greater extent than 50% of GDP. At present greater portion of Bangladesh’s GDP comes from the service sector. Notwithstanding this, two-thirds of the country’s population is engrossed in agricultural practices. A variety of crops are cultivated in this country which categorized into two-food crops and cash crops. Tobacco is being dealt as leading cash crop in the world in addition to Bangladesh. This study was carried on to bringing close together the cost of production and profitability of Tobacco producers at Rangpur district. Data was gathered from 65 farmers using simple random sampling method. The Tobacco farmers demonstrated individual differences of opinion in their socio-economic characteristics and unconditional majority of them belonged to young age category (20-35 years)having medium family size, illiterate, medium farm size ( 0.34- 1.0 acre) , ( 1- 10 years) farming experience. The largest part of the Farmers used Virginia variety of Tobacco and sells their amount produced at home. Farmers who put up for sale Tobacco in the market were further profitable than others. The study further more denominates that the large farmers were almost profitable likened to others. Main difficulty confronted by the Tobacco farmers were lower price of Tobacco during harvesting period, price fluctuation , shortage of capital, lack of good quality seed, poor storage facility, higher price of inputs and lack of marketing facility etc. Appropriate measures should be necessitated by Government to figure out this problem. The findings of the study will add fundamental economic data on the production practices of Tobacco. Ultimately it will be supportive to the planners and policy makers in formulating micro or macro level policy for the improvement of Tobacco production in the country. Keywords: Benefit Cost Ratio, Cash Crop, Production Function, Virginia, Marketing Cost 1. Introduction Bangladesh is primarily an agricultural based country subjugated by crop production. Bangladesh enjoys by and large a sub-tropical monsoon climate. Bangladesh has been renowned for growing large variety of tropical crops particularly rice, wheat, Tobacco, jute, pulses, oilseeds, sugarcane etc. Tobacco industry is a prospective industry and its escalation is also connected with national GDP. About one percent of our GDP is used in spending of tobacco product that is why it becomes a huge market for the challengers of tobacco industry. Tobacco has been licked for at least the last three thousand years. Christopher Columbus discovered it when he landed in the Americas in 1492, but earliest holy place carvings demonstrate tobacco being smoked in Central America as long before as 1,000 BC. Ever from the time when it indoors in Europe in the late 15th century, tobacco has separated estimation, sparked disagreement and committed extensive revenue all the way through tax. Tobacco has been brought in mid sixties of the preceding century into the fields where food crops were grown, and more extensively subsequent to liberation in 1971 by the British American Tobacco Company in Testa silt in Rangpur District area. Even though Bangladesh Agricultural Research 92 Mohammad Masudul Hassan et al.: Farmer’s Profitability of Tobacco Cultivation at Rangpur District in the Socio-Economic Context of Bangladesh: An Empirical Analysis Institute (BARI) has carried on research and improvement actions of tobacco and forsaken in 1995, tobacco production has essentially been pushed by big multinational companies such as British American Tobacco Company through contract growers. Bangladesh is one of the biggest tobacco overwhelming countries in the world. Tobacco farming is responsible for less than 0.5% of agricultural employment in Bangladesh. The tobacco plant is over and over again termed as a weed since of its ability to germinate on any soil. In fact this crop has been considered to be mounting on soils where other crops have unsuccessful to fructify. In Bangladesh, tobacco is fundamentally a Rabi season crop with sowing being done during mid-October to mid-December. From the day the seeds are sown, it takes about 6-7 months to mature. It may be pointed out here that a number of Rabi season food and cash crops are also sown during this period implying that tobacco competes with these other food crops. There are about 60 different species of tobacco though the most popular ones are Nicotiana Tabacum and Nicotiana Rustica. In Bangladesh, various types of tobacco such as Dark Virginia Gold, Motihari, Jyoti, etc. are grown. Virginia is used primarily in the production of cigarettes while the non- Virginia types are used in producing Bidi and other products. Tobacco has the status of being a very money-making crop with few ‘evenly profitable’ substitutes. Among the variety of argues mentioned by the farmers for cultivating tobacco, the profitability portion was devastating principal Eighty-five percent regarded this is an extremely beneficial crop. 2. Review of Literature Assessment of related literatures in any research is necessary in the good judgment that it allows for an extent for reviewing the collection of knowledge & information appropriate to the future research. This knowledge & information give an instruction in designing the potential research problem & validating the new determinations. It may be noted that profitability of tobacco cultivation is lucrative compared to some other crops. It ranks 15 among the major subsistence and cash crops in terms of financial profitability on the basis of full costs (see Zohir ). Most of the tobacco farmers are deprived off such profitability by denying a fair price of their 10 products through unscrupulous activities of the middlemen, moneylenders, and hostile BAT officials (see Chowdhury According to UBINIG research, there are several reasons including cash earning, perceived high profit, guarantee of inputs and market and also the involvement of farmers through company card plays a coercive role for continuing tobacco cultivation. (Farida Akhter). According to the official Agricultural Statistics (2010), three varieties of tobacco -- Jati, Motihari and Virginia -- are grown in different districts of Bangladesh. Jati and Motihari are mostly grown in Rangpur and Bandarban district, while Virginia is mostly grown in Kushtia, Rangpur, Jessore and Dhaka District. Other varieties such as Burley are also grown in limited quantities. In terms of land area covered by all three kinds of tobacco, Rangpur district still remains highest with 40345 acres during 2008-09 followed by Kushtia district 22241 and Bandarban District 4678 acres of land. Besides tobacco is extending to Jessore, Jhenaidah, Nilphamari, Lalmonirhat and even in Manikganj and Tangail district. The production of Virginia variety of tobacco during 2008- 9 was 22,277 metric tons, while the other varieties, such as Jati were 8,437 metric tons and Motihari was 9,270 metric tons. In the 2005-06 financial year, Bangladesh exported tobacco worth 95 crore 85 lakh 35 thousand (over 958 million) taka. Bangladesh is one of the largest tobacco consuming countries in the world. Tobacco is grown throughout the country, with the largest tobacco growing areas including Rangpur, Kushtia, and Chittagong Hill. After many years as a net importer of tobacco leaf, acreage and yields rose beginning 1999, and Bangladesh has become a net exporter in recent years, exporting about one-third of the tobacco grown ( Barakat A. et al.). Hassain (1998) studied tobacco marketing in the two most important tobacco growing areas of Rangpur and kushtia districts of Bangladesh. He showed that the production and processing cost per hectare of tobacco of Rangpur and kushtia district were TK. 2158 and TK. 31312 respectively. The net return per acre was TK. 2713 in Rangpur while it was TK. 5080 for kushtia district. Mahmud (1999) conducted a socioeconomic study on tobacco production in some selected areas of Rangpur district where he showed that tobacco growing was a profitable business, but the Virginia variety was more profitable than the Matihari. The total costs of tobacco production per hectare were Tk. 34260 and Tk. 35106 for Virgina and Matihari varieties respectively. The net returns of tobacco production were Tk. 9690 and Tk. 5914 per hectare in the study area. 3. Objectives 1. To delineate the socio-economic characteristics of Tobacco producers in the study area through farm size. 2. To delimitate the profitability of Tobacco production across farm size. 3. To ascertain the problems of Tobacco cultivation across farm size. 4. To put forward policy implications for improvement of Tobacco production in Bangladesh. 4. Statement of the Problem Agriculture is the salvation of Bangladesh. The most important livelihood of the people of Bangladesh is associated with Agriculture. Farmers of this country at the outset produce crops what satisfies family life wants then they exemplify interest on production of cash crop such as International Journal of Economics, Finance and Management Sciences 2015; 3(2): 91-98 93 cotton, jute, tea, tobacco, coffee, and so on are mostly expected in dealing demand of home market and sell abroad in foreign currency in support of developing countries. Tobacco has a substantial implication in nationalized economy. Small hard work has been completed to study the economics of the tobacco production. By the way cost of production and profitability determination should be premeditated. This study will be intended at determining causes of variation and aspect of success among farms growing tobacco; it is indispensable both for the farmers and planners to carry out a programme considered for eliciting agricultural production. Updating knowledge on profitability of Tobacco is one rationalization of this study. It is essential to evaluate substitute profitability of this investment in terms of land and other resources keen to tobacco farming. This research possibly will endow with a number of detailed benefits to the individual farmers for efficient operation and management of the farm and also to the research personnel for supplementary studies of related natural history and to the planners and policy makers who provide the farmers centrally for Marco- level strategy assessment. 5. Methodology of the Study The survey method is probably the most widely used formal method obtaining farm management data. This chapter discusses about the selection of the study area, period of the study, sampling technique and sample size, data processing and analysis. 5.1. Selection of the Area Rangpur district was chosen purposively as a study area because this district is one of the renowned for Tobacco production in Bangladesh. Gangachara Sub-district was selected at random from the 7 Sub-district of Rangpur districts as the study area. An opening survey was carried on in some villages of Gangachara Sub-district to collect primary knowledge about the Tobacco production, productivity and efficiency of the Tobacco growers. After preliminary visit three village’s namely Utttor Panapukur, Dhakshin Panapukur and Betgari were selected randomly as the study area. Most of the farmers in these villages used to produce high yielding varieties of Tobacco and sell their product to different middlemen. The main criteria behind the selection of the Sub-district were as follows: [1] The selected Sub-district was a good Tobacco producing area. [2] The researcher is well-known with the language, living, beliefs, and other socio-economic characteristics of the villages of this Sub-district. [3] Previously such type of study was not conducted in this area. 5.2. Period of the Study Data for the study were collected from winter and summer season of 2013-2014. 5.3. Selection of the Sample and Sampling Techniques A random sampling technique was applied for selecting sample. Through random sampling 65 farmers were selected for the study. Among the 65 farmers, 22 were small, 28 were medium and 15 were large. Farm size was arbitrarily classified on the basis of their land where they produce Tobacco and other crops. Farmers having 0.01-0.33 acre considered as small, 0.34-1.00 acre as medium farmers while those having above 1.00 acre as large farmers. 5.4. Sources of Data The study is involved in collection of data both from the primary and secondary sources. Different types of data and their sources are discussed under the following heads: 5.4.1. Primary Data Primary data were collected by the researcher themselves through personal interview with the respondents. To get accuracy and reliability of data, care and caution were taken in data collection. The researcher’s took all possible effort to establish a congenial relationship with the respondents do not feel hesitation or hostile to provide correct data. Prior to interviewing, the objectives of the study were explained to each and every owner of the Tobacco growers. As a result, they were convinced that the study was purely an academic one and was not likely to have an adverse effect on their business. During data collection an attention was also paid to the mood of the owners of the Tobacco growers. 5.4.2. Secondary Data We can’t get enough secondary data for this study. The secondary sources include govt. publications; annual reports on Tobacco cultivation, seminar papers, journals, published and unpublished thesis, and topic reelected various books, BBS, web site etc. 5.5. Processing and Analysis of Data Collected data were scrutinized and summarized for the purpose of tabulation using the Statistical Package for Social Sciences (SPSS) and Microsoft office Excel 2013. Two techniques of analysis were used in this study, tabular and statistical. Analysis by tabular technique included socio- economic characteristics of Tobacco farmers, classification of size of Tobacco land, production practices, inputs used and returns of Tobacco farmers. Statistical analysis was used to show the effect of inputs used and other related factors of Tobacco cultivation. 5.6. Empirical Model In this study, we assume that the Cobb-Douglas is the appropriate form of the frontier production function. The stochastic production function which is used for the Tobacco producers was specified as: LnYi = β0 + β1ln(X1)+ β2 ln(X2)+ β3 ln(X3)+ β4 ln(X4)+ β5 94 Mohammad Masudul Hassan et al.: Farmer’s Profitability of Tobacco Cultivation at Rangpur District in the Socio-Economic Context of Bangladesh: An Empirical Analysis ln(X5)+ β6 ln(X6)+ β7 ln(X7)+ β8 ln(X8)+ β9 ln(X9)+ ln(X10) +ln(X11)+ln(X12) Where, ln= Natural logarithm Y = Total Tobacco Production β0 = Constant or intercept value X1 = land value cost X2 = land preparation Cost X3 = Seed & planting Cost X4 = Cow dung Cost X5 = Fertilizer (Urea/TSP/MP) Cost X6 = Labor Cost X7 = Insecticides/Pesticides Cost X8 = Irrigation Cost X9 = Harvesting Cost X10 = Drying & Processing Cost X11 = Marketing Cost X12 = Others Cost 6. Results and Discussion Socio-Economic Characteristics of Tobacco Farmers The socio-economic background and characteristics of the farmer’s influences the productions to a great extent. So, a description of the characteristics of farmer is necessary for analyzing the main objective of the present study. Socio- economic characteristics of the farmer’s included their age, family size, educational status, farm size, farming experience, use of seed variety, and place of sale of the respondent. These are described below: Table 1. Distribution of the Tobacco farmers according to their age. Age categories Tobacco farmers Mean SD Number % Young (20-35years ) 29 44.6 1.77 .786 Middle (35-50 years ) 22 33.3 old ( Above50years ) 14 21.5 Total 65 100 Source: Field survey. Table 1: demonstrates that age of the Tobacco farmers ranged from 20 to above 50 years, with the mean of 1.77 years and the standard deviation 0.786.Tobacco farmers were classified into three categories on the basis of their age. Young farmers are mostly engaged in Tobacco cultivation. Table 2. Distribution of the Tobacco farmers according to their education. Education categories Tobacco farmers Mean SD Number % Illiterate 32 49.2 1.85 1.019 Primary 18 27.7 secondary 8 12.3 Higher secondary 7 10.8 Total 65 100 Source: Field survey. Table 2: depicts that maximum farmers (49.2 %) are illiterate while primary (27.7) and secondary have (12.3%).Farmers having higher secondary education are (10.8 %). Tobacco farmers were classified into four categories on the basis of their education along with the mean of 1.85and the standard deviation 1.019. Illiterate farmers are generally pursued in Tobacco cultivation. Table 3. Distribution of the Tobacco farmers according to their Family size. Family size Tobacco farmers Mean SD Number % Small (1-4) 22 33.8 1.88 .740 Medium ( 5-6) 29 44.6 Large ( above7) 14 21.5 Total 65 100 Source: Field survey. In Table 3: Family size of the Tobacco farmers of the study ranged from 1 to above 7 persons, with an average of 1.88 persons and standard deviation 0.740. Tobacco farmers were classified into three categories because of their family size. Tobacco farmers inducing medium family size (44.6%) are interest group in Tobacco cultivation. Table 4. Distribution of the Tobacco farmers according to their Farm size. Family size Tobacco farmers Mean SD Number % Small(0.01-0.33 acre) 22 33.8 1.89 .753 Medium(0.34-1.0 acre) 28 43.1 Large ( above7 acre) 15 23.1 Total 65 100 Source: Field survey. Table 4: describes that Tobacco farmers were classified into three categories due to their farm size. Maximum Tobacco farmers are belonging to medium farm (43.1 %) with the mean of 1.89 acre and the standard deviation 0.753. Table 5.Distribution of the Tobacco farmers according to their Farming experience. Faming Experience Tobacco farmers Mean SD Number % Above20years 29 44.6 1.72 .740 10-20years 25 38.5 1 – 10years 11 16.9 Total 65 100 Source: Field survey. In Table 5:Farming experience of a respondent was determined by reason of involvement in the farming activities related to agriculture. Tobacco farmers placed from 1 to above 20 years, with the mean of 1.72 years and the standard deviation .740. Tobacco farmers were sorted into three categories on the basis of their Farming experience. Uppermost portion of the Tobacco farmers (44.6 %) had low farming experience (Above 20 years). International Journal of Economics, Finance and Management Sciences 2015; 3(2): 91-98 95 Table 6. Distribution of the Tobacco farmers according to the use of Seed variety. Seed variety Tobacco farmers Mean SD Number % Virginia 47 72.3 1.28 .451 Jati 18 27.7 Total 65 100 Source: Field survey. From Table 6: it is shown that Tobacco farmers were classified into two categories on account of their use of seed variety. The majority of the farmers make use of Virginia seed of Tobacco (72.3%). Farmer use Jati variety relatively low (27.7 %). Table 7. Distribution of the Tobacco farmers according to the place of sale. Place of sale Tobacco farmers Mean SD Number % Home 42 64.6 1.35 .482 Market 23 35.4 Total 65 100 Source: Field survey. Table 7: exhibits that nearly all of the Tobacco farmers sold Tobacco at home (64.6%).selling percentage in market is consistently poor (35.4%). Table 8.Distribution of the type of farmers according to the place of sale. Place of sale Type of Farmer Total Small(0.01-0.33acre) Medium(0.34-1.0 acre) Large( above 1.0 acre) Home 14 26 2 42 Market 8 2 13 23 Total 22 28 15 65 Source: Field survey. Table 8: Indicates that most of the Medium Farmers sell their Tobacco at Home. But Maximum Large Farmers sell at Market. Small farmer sell together Home and Market. Table 9. Per acre cost of Tobacco cultivation in the study areas. Cost Head Small Farmer Medium Farmer Large Farmer Total land preparation 18870 58830 68700 146400 Seed & planting Cost 44030 137270 160300 341600 Cow dung Cost 12010 39070 44900 95980 Fertilizer(Urea/TSP/MP) 60635.6 189040.4 220756 470432 Labour Cost 81770 254930 297700 634400 Insecticides/Pesticides 5032 15688 18320 39040 Irrigation 12100 39000 44750 95850 Harvesting 31450 98050 114500 244000 Drying & Processing 12380 38990 45070 96440 Marketing 1250 600 2680 4530 Others 8806 27454 32060 68320 Total variable cost 288333.6 898922.4 1049736 2236992 Land value 75480 235320 274800 585600 Total fixed cost 75480 235320 274800 585600 Total cost=( Variable + Fixed) cost 363813.6 1134242 1324536 2822592 Source: Field survey. *The above table is Figured in Units BDT TAKA (Currency of Bangladesh with 1USD = 78.02 BDT) In the table 9: Per acre Cost of Tobacco cultivation of Small, Medium and large farmers are exposed. Total variable cost include Total cost was the summation of total variable cost and total fixed cost. Total cost was highest for large farmers (TK. 1324536.) followed by medium farmers (TK.1134342) and small farmers (TK.363813.6). Table 10. Per acre Profitability and Benefit Cost Ratio of Tobacco cultivation in the study areas. Item Small Farmer Medium Farmer Large Farmer Total Total land use ( acre) 6.29 19.61 22.9 48.8 Tobacco Output (mon) 150.96 470.64 549.6 1171.2 Tobacco TK per 40 kg 3010 3000 3020 9030 Tobacco By Product Output (mon) 75.48 235.32 274.8 585.6 Tobacco By Product TK per 40 kg 210 220 225 655 Total revenue (150.96*3010)+(75.48*210) =469485.6 (470.64*3000) + (235.32*220) = 1463690 (549.6 * 3020)+(274.8 * 225) = 1721622 3654798 Total cost 363813.6 1134242 1324536 2822592 Net profit 105672 329448 397086 832206 Benefit Cost Ratio= ����� �� � �� ����� �� � 1.29 Source: Field survey *The above Table is Figured in mon (1 mon = 40 kg) 96 Mohammad Masudul Hassan et al.: Farmer’s Profitability of Tobacco Cultivation at Rangpur District in the Socio-Economic Context of Bangladesh: An Empirical Analysis Table10: points out that Productivity is highest for large farmer (549.6+274.8= 824.4 mon) followed by Medium farmer (470.64+235.32= 705.96 mon) and small farmer (150.96+75.48= 226.44 mon). Profitability is also highest for large Farmers (TK. 397086) followed by medium farmer (TK. 329448) and small Farmer (TK. 105672). Because most of the large farmer has more land as well as more output and they also sell their Tobacco in the market but Medium and small farmer sell at home (Table 8 and Table 10). Figure 1.Per acre net profit of Tobacco cultivation in the study areas. Source: Field survey. Table 11. Correlations. Land value Seed Fertilizer Insecticides Irrigation Labor Harvesting total cost total revenue Land value 1 Seed .729(**) 1 Fertilizer .778(**) .882(**) 1 Insecticides .539(**) .766(**) .570(**) 1 Irrigation .901(**) .472(**) .626(**) .123 1 Labour .957(**) .815(**) .794(**) .750(**) .743(**) 1 Harvesting .946(**) .745(**) .744(**) .559(**) .829(**) .937(**) 1 total cost .953(**) .829(**) .788(**) .759(**) .735(**) .996(**) .940(**) 1 total revenue .942(**) .841(**) .790(**) .779(**) .710(**) .994(**) .938(**) .998(**) 1 Source: Field survey ** Correlation is significant at the 0.01 level (2-tailed). * Correlation is significant at the 0.05 level (2-tailed). 1. There is a significant positive correlation between Total cost and Labor cost .Because when Farmers uses more labor for better output, then Total cost increases. 2. There is significant positive correlation between land value and harvesting cost. Because higher land value means more fertile of land that provides more output. As a result harvesting cost increases. 3. There is significant positive correlation between Fertilizer cost and Seed cost. Since the Farmers use better seed for more output desire amount of output, therefore they provide better Fertilizer. As a result, Fertilizer cost increase. 4. There is significant positive correlation between Irrigation and Land value. Since the land value increases, Farmers wants to maximize profit by getting best output providing sufficient Irrigation. Consequently Irrigation cost increase. 5. There is significant positive correlation between Insecticides cost and Seed cost. As insecticides keep the seed disease free, so Insecticides cost increases when seed cost increases. 6. There is significant positive correlation between seed cost and Land value. Since the Land value increase, Farmers want to produce more output desire amount of output, therefore they provide better seed. As a result, Seed cost increase. International Journal of Economics, Finance and Management Sciences 2015; 3(2): 91-98 97 7. There is a significant positive correlation between Total revenue and Total cost. When Farmers Total cost increases, then Farmers Net revenue also increases. Table 12. Factors affecting profitability of Tobacco production. Variable Coefficients T-Value Sig. B S.E Constants .436 12151 .035 .961 Natural logarithm land value cost .442 .371 1.163 .258 Natural logarithm land preparation Cost -.296 .711 -.412 .765 Natural logarithm Seed & planting Cost -2.741 .633 -4.322 .000 Natural logarithm Cow dung Cost -.736 .355 -2.033 .046 Natural logarithm Fertilizer (Urea/TSP/MP) Cost -3.002 .301 -9.912 .000 Natural logarithm Labour Cost 1.157 .371 3.103 .003 Natural logarithm Insecticides/Pesticides Cost -.507 .318 -1.391 .209 Natural logarithm Irrigation Cost 5.890 .603 11.511 .000 Natural logarithm Harvesting Cost -1.467 1.194 -1.136 .276 Natural logarithm Drying & Processing Cost .341 .303 1.101 .211 Natural logarithm Marketing Cost .411 .321 1.121 .279 Natural logarithm Others Cost -.603 .392 -1.281 .243 Source: Field survey Table 12: implies that factors affecting the yield and profitability of Cobb-Douglas production function of Tobacco. The results of the production function depicts that among the selected variables, four variables namely, Seed & planting Cost, Fertilizer (Urea/TSP/MP) Cost, Labor Cost and Irrigation Cost, arc significant at 1% level and Cow dung Cost is significant at 5% level of significance while the other variables: land value cost, land preparation cost, Insecticides/Pesticides cost, Harvesting cost, Drying & Processing cost, Marketing cost, Others cost are not significant. As for case in point, the coefficient of labor cost per Acre is 1.157 means that if the other things remain constant, production of Tobacco will be increased by 1.157% for 1% increase in labor cost. In the same way Irrigation Cost also affected the production of Tobacco positively. The coefficient of Seed & planting Cost per Acre is 2.741 means that if the other things remain constant, Tobacco production will be reduced by-2.741% for 1% increasing in the use of seed. By the same token, Fertilizer (Urea/TSP/MP) Cost and Cow dung Cost also affected the production of Tobacco negatively. Conversely, insignificant character of land value cost, land preparation cost, Insecticides/Pesticides cost, Harvesting cost, Drying & Processing cost, Marketing cost, Others cost had no significant effect on the total Tobacco production. 7. Problems 1. Low prices at peak harvest period 2. High cost of inputs 3. Lack of adequate funds 4. Unavailability of quality fertilizers in time 5. Disease infestation in winter. 6. Labor crisis 7. Unavailability of good quality seed 8. Lack of Government attention. 9. Syndicate of businessmen 10. Need for immediate sale 11. Delay in payment by traders 12. Farmers did not get proper price due to improper marketing channel/system 13. Lack of farmers’ knowledge on good quality seed and access to the seed. 14. Lack of linkage between farmers and exporter 15. Lack of coordination among research organizations like BARI, DAE and farmers and Agro/Tobacco processing companies. 16. Health and illness is honestly being affected among tobacco-cultivators through escalating smoking and leaf chewing practices in addition to through cultivation and drying of tobacco leafs. 8. Recommendations Some recommendations are given below: 1. Virginia variety of Tobacco was more efficient than other variety. So, farmers may be encouraged to use this variety. 2. The price of Tobacco should be readjusted from time to time safeguarding justice to the growers of Tobacco. 3. Government should reduce the pesticide and insecticide price. 4. The consciousness of the farmers needs to be increased. They may be delivered adequate training so that they can produce Tobacco appropriately. 5. Modern technology should be taking on for superior labor cost control. 6. Agricultural credit facilities to be ensured easily. 7. Provision for the introduction of crop insurance should be introduced. Therefore, the risk of Tobacco cultivation would be minimized and farmers will get more ensured environment to produced Tobacco. 8. While tobacco cultivation is experiencing negative effect on health, management cost of tobacco farming and tobacco utilize should be compensated by the companies, and it ought to be fixed for the period of 98 Mohammad Masudul Hassan et al.: Farmer’s Profitability of Tobacco Cultivation at Rangpur District in the Socio-Economic Context of Bangladesh: An Empirical Analysis congregation with government for setting up purchasing cost of tobacco. 9. Limitation of the Study [1] The study was restricted to one Sub-district where Tobacco production was intense. se3Three villages under that Sub-district were selected purposively. The study might be momentous outcome if it enclosed a number of Sub-district producing Tobaccos. [2] Due to deficiency of time the study could not cover wide side areas for gathering obligatory information. [3] Some written records were asserted by the literate respondents, but maximum respondents had no written document. Therefore, the researcher had to depend solely on the memory of the respondents. [4] Respondents were very busy. A study that brings in interview of 65 farmers cannot conclude anything accurately and as such, it was based on miss information. [5] The largest part of the farmers in the study area contemplation that the investigator was a government officer. So, they originally hesitated to answer the questions relating to their income and expenditure. Some were afraid of imposition of new taxes. 10. Conclusions The main reason behind cultivating tobacco is the far and wide detained observation that tobacco is an especially lucrative crop. The situation of tobacco production & its industry is extremely to a great extent competitive. Nevertheless this is a contentious crop production as to produces product with health exposure but the profits it begets and tax it adds in the national economy is an immense contribution. The findings of the study that net profit per acre (TK.17053).This research shows medium farmers cultivate more land but net profit is highest for large farmers because large farmer sell tobacco in the market rather than home. Therefore, it can be said that net profit largely depends on marketing. Farmers get higher price at market than selling Tobacco at Home. Transportation facilities should be improved to facilitate the marketing process. Priority should be given to the development of such roads which link villages to the main roads and markets. Most of the farmers are illiterate. Dissemination of market information should be increased so that farmers can get fair price of the Tobacco. Government or no additional agency can the tobacco farmer can put down his hands on durable ready cash the instant his produce is inclined of nothing like a good number other crops which yield proceeds as and when the Production is prepared for sale. This pretends as a most important unifying force for the farmers. References [1] Barkat A, Chowdhury AU, Nargis N, Rahman M, Kumar PkA, Bashir S, Chaloupka FJ. , “The Economics of Tobacco and Tobacco Taxation in Bangladesh,” Paris: International Union against Tuberculosis and Lung Disease, 2012. [2] Chowdhury, M. A. M., “A Socioeconomic Analysis of Tobacco Cultivation in Bangladesh: A Case Study of Meherpur, Rangpur and Rangunia,” Journal of Business Studies, Vol. 1, 2001, pp. 48-65. [3] Hossain, M. M. (1998): A Study on Tobacco Marketing in Bangladesh. Unpublished M.S. Thesis, Department of Cooperation and Marketing, Bangladesh Agricultural University. Mymensingh. [4] Hossain M. Agriculture in Bangladesh. Dhaka: University Press Limited, 1991. 464p. [5] Mahmud, S. (1999): A social Economic Study on Tobacco Production in Some Selected Ares of Rangpur District. An Unpublished M.S Thesis Faculty of Agricultural Economics and Rural Sociology, Bangladesh Agricultural University, Mymensingh. [6] Tobacco Cultivation and its Impact on Food Production in Bangladesh, Farida Akhter, UBINIG, 2008 (Bangladesh).Retrieved From http://www.fairtradetobacco.org/?page_id=199 [7] Yearbook of Agricultural Statistics of Bangladesh, 2009, Bangladesh Bureau of Statistics, Ministry of Planning, GOB, August 2010 [8] Zohir, S., “Impact of Reforms in Agricultural Input Markets on Crop Sector Profitability in Bangladesh, mimeo” Bangladesh Institute of Development Studies, Dhaka, 2001. 
work_yo6cedkm5fbwjbuoutboykxna4	----	Title Sacred/Sacrilegious Tourism in Emily Dickinson’s Poems Author Li-hsin Hsu Publication FORUM: University of Edinburgh Postgraduate Journal of Culture and the Arts Issue Number 14 Issue Date Spring 2012 Publication Date 05/06/2012 Editors Barbara Vrachnas & James Leveque FORUM claims non-exclusive rights to reproduce this article electronically (in full or in part) and to publish this work in any such media current or later developed. The author retains all rights, including the right to be identified as the author wherever and whenever this article is published, and the right to use all or part of the article and abstracts, with or without revision or modification in compilations or other publications. Any latter publication shall recognise FORUM as the original publisher. University of Edinburgh Postgraduate Journal of Culture and the Arts Issue 14 | Spring 2012 FORUM Issue 14 | Spring 2012 Hsu 1 Sacred/Sacrilegious Tourism in Emily Dickinson's Poems Li-hsin Hsu, University of Edinburgh All the high positions and symbols, spiritual as well as profane, with which men adorn themselves with such importance and hypocritical falsity are transformed into masks in the presence of the rogue, into costumes for a masquerade, into buffoonery. A reformulation and loosening up of all these high symbols and positions, their radical re-accentuation, takes place in an atmosphere of gay deception (408). – M. M. Bakhtin, "e Dialogic Imagination (1981) In his discussion of satirical humour in European novels, Mikhail Bakhtin points out the unstable relationship between the sacred and the sacrilegious in a textual space. !e serious and the lofty can be satirized and reversed “into buffoonery” in a literary masquerade. David S. Reynolds applies what Bakhkin depicts as “carnivalesque” in European novels to his analysis of American renaissance literature in the mid-nineteenth century. For Reynolds, the satirical power of carnival culture, of blending the spiritual and the profane, represents a liberating force in language (444). As Reynolds argues, like other major American writers of her time, Emily Dickinson's poems exemplify the carnivalization of speech. Indeed, this linguistic force of democratization is especially embodied in Dickinson's metaphor of consumerism. Her metaphoric liberation, however, also serves as a form of violence that threatens to dismantle any spiritual equilibrium. !is paper investigates Dickinson's poetic subversion by looking at her poems of spiritual tourism, examining how these poems challenge the de#nition of sacredness. Although she seldom travelled, her writing frequently uses metaphors of tourism to account for religious uncertainty in a rapidly secularized and commercialized society. Her depiction of spiritual quest, in particular, deploys what William Stowe suggests as an empowering process in travel, which exposes the problematic nature of received belief systems. Her poems of tourism open up a Bakhtinian carnivalesque space, in which religious and social hierarchy can be questioned and restructured. !e discussion will be divided into three sections. !e #rst section looks at Dickinson's poems of spiritual tourism. Taking William Stowe's notion of travel and David S. Reynolds's concept of carnivalized language as a basis to read Dickinson, I explore her fusion of the sacred and the FORUM Issue 14 | Spring 2012 Hsu 2 sacrilegious, showing how this stylistic fusion creates both a liberating space and a force of entrapment within her poems. !e second section examines more closely her poems of spiritual marketplace. Compared with Walt Whitman, Dickinson's poems reveal a more radical treatment of belief as a commercial transaction that highlights experiences of doubt and despair. I then examine the elements of transgression in Dickinson's poems and letters, explaining how her generic choice, theme and metaphor of consumerism are indicative of her ambivalent attitude towards patriotism and religion. !e last section looks at Dickinson's notion of spectatorship. Based upon mercantile modes, her poems inform her understanding of viewing as both a process of enshrinement and a potentially sacrilegious form of visual intrusion. I conclude by suggesting that as an unorthodox poet, Dickinson deploys metaphors of tourism dexterously to disclose the unsteady boundary between the sacred and the sacrilegious. “With Holy Ghosts in Cages!”: Sacred Tourism and Enslavement Although Dickinson was brought up in an era of intense religious revivalism in the mid-nineteenth century (Wolff 95-104), a close investigation of her poems reveals her ambivalence towards human faith. Her spiritual quest constantly vacillates between hope and despair towards the invisible but divine other. As James McIntosh points out, Dickinson's Protestant heritage provides her with metaphors and textual strategies “to keep believing nimble” (3). Indeed, her poems of spiritual quest convey intense moments of religious uncertainty. In one 1862 letter, Dickinson told T. W. Higginson, her literary and spiritual mentor that her family members were “religious – except me – and address the Eclipse, every morning – whom they call their 'Father'” (L261). In another letter of the same year, she remarked upon her own withdrawal from society, stating that “Of 'shunning men and women,' they talk of hallowed things, aloud, and embarrass my dog. He and I don't object to them, if they'll exist their side” (L271). !ese backhanded comments indicate her suspicion that any institutionalized belief might turn into superstition or even sacrilege rather than a genuine expression of faith. She stopped attending church at around the same time (about the age of thirty) (Lundin 4), and later refused to cross her “Father’s ground,” the Homestead in Amherst, Massachusetts, to any visit (L330). Although the reason for her seclusion in her later life is still unclear, as a deeply private person, Dickinson #nds spiritual communication most effective on her FORUM Issue 14 | Spring 2012 Hsu 3 own terms. Dickinson's obviation of publicity is indicative of her sharp awareness of the public use and abuse of sacred vision. Spiritual matters are not only internal and private, but also prone to secularization or even profanity in the process of ritualization, publication and transaction. She frequently appropriates commercial metaphors to highlight sacred quests going awry. !e nineteenth century saw the rise of scenic tourism (Korte 84), and Dickinson's poems bear witness to this cultural craze to travel, to see and to purchase. Her heaven can morph from a sancti#ed forbidden city to a marketplace, and her altar of holy ghosts can switch into an auction house of spirituality. In a number of poems, Dickinson delineates the trip to the afterlife as tourism. Paradise becomes a public secret, a forbidden city that maintains its authority through invisibility and distance. Death is turned into a journey on a sightseeing bus. In “Just lost, when I was saved!” (Fr132), the speaker even advertises the afterlife by urging a revisit: Just lost, when I was saved! Just felt the world go by! Just girt me for the onset with Eternity, When breath blew back, And on the other side I heard recede the disappointed tide! !erefore, as One returned, I feel, Odd secrets of the line to tell! Some sailor, skirting foreign shores - Some pale Reporter, from the awful doors Before the Seal! Next time, to stay! Next time, the things to see By ear unheard - FORUM Issue 14 | Spring 2012 Hsu 4 Unscrutinized by eye - Next time, to tarry, While the Ages steal - Slow tramp the Centuries, And the Cycles wheel! Pale reporters and sailors both indicate literary conventions of adventure and travel stories. Images such as “the awful doors,” “the Seal,” “Odd secrets of the line to tell,” and things “unheard” and “unscrutinized” also suggest sensationalist reportage that whets the appetite of its readers. Excitement takes the place of reverence and solemnity, since death is a gateway to an exotic holiday. To some extent, tourism brings a sense of empowerment. “!e right of travel,” William Stowe remarks, “provides its votaries with an exhilarating sense of freedom and power. Travelling is as close as most people come to truly independent action [...]” (305). Dickinson cracks the sealed door of heaven open in portraying the liberating power of travel. !e location of heaven, through endless projection and speculation, undergoes a process of exoticization. It exempli#es Dickinson's use of a “carnivalization of language,” which David S. Reynolds identi#es as a sign of democratization in his discussion of antebellum American literature. As shown in the introduction, Reynolds alludes to Mikhail Bakhtin, pointing out that through this liberal blend of high and low languages, “inequality or distance between people is suspended and a special carnival category goes into effect, whereby the sacred is united with the profane, the lofty with the lowly, the great with the insigni#cant” (444). Dickinson's tourist metaphor designates such an egalitarian force against God's secrecy. In “Ended, ere it begun -” (Fr1048), the speaker endeavours not only to read, but also to publish the book of the afterlife: Ended, ere it begun - !e Title was scarcely told When the Preface perished from Consciousness !e story, unrevealed - FORUM Issue 14 | Spring 2012 Hsu 5 Had it been mine, to print! Had it been your's, to read! !at it was not our privilege !e interdict of God - As Shira Wolosky comments on the poem, “God's decree forbids the completion of the human text. Divine language counters human language” (xix). Indeed, the poem almost wages a war with God and #ghts for spiritual copyright. In a manner similar to “Just lost, when I was saved!”, the poem underscores the indulgence of humanity in the unreadable or the unreachable with the vigour of sensational reportage. !e sacred scripture of God almost becomes printable and presumably saleable. In another poem “Endanger it, and the Demand” (Fr1688), death is turned into a lucrative daredevil business or a macabre festival: Endanger it, and the Demand Of tickets for a sigh Amazes the Humility Of Credibility - Recover it to nature And that dejected Fleet Find Consertnation's carnival Divested of it's meat In these poems, Dickinson deploys tropes of journalism and tourism, empiricism and sensationalism to dramatize either God's “humility” or tyranny. Similar to science, commerce becomes another denominator of democracy, levelling religious hierarchy and counterbalancing spiritual uncertainty. The emergence of tourism in the nineteenth century, according to Paul Fussell, exempli#es the force of egalitarianism: “it is difficult to be a snob and a tourist at the same time” (38). What Fussell writes about the rise of British tourism in the nineteenth and twentieth centuries can also be FORUM Issue 14 | Spring 2012 Hsu 6 applied to Dickinson's spiritual tourism. It illustrates this modern force of commercialization and democratization against the lack of religious certainty. In Dickinson's poetic space, immortality is not only a sacred space but also a pro#table one. Commerce serves as a powerful metaphor to subvert spiritual certitude. However, Dickinson's attitude toward the levelling power of commerce remains deeply ambiguous. Tourism as a symbol of egalitarianism also threatens to turn one's spiritual protest into a scandalous auction of faith. !is spiritual transport to the afterlife can easily be deprived of its sacredness when death becomes a public spectacle and religious redemption is commercialized into a popular performance. In “A transport one cannot contain” (Fr212), the Holy ghost becomes a prisoner, and the speaker acts as a manager of a freak show: A transport one cannot contain May yet, a transport be - !ough God forbid it lift the lid, Unto it's Extasy! A Diagram - of Rapture! A sixpence at a show - With Holy Ghosts in Cages! !e Universe would go! !e poem transforms sacred pilgrimages into a phantasmagoric spectacle with its booming business. Death is not tragic, #nal or catastrophic. Readers can almost expect a corpse climbing out of the coffin from its fake death in the end, with its ghostly existence bowing for a sixpence charge each. The solemnity of a funeral scene is radically morphed into a Bakhtinian carnival, subverting the normality of power structures. Science and commerce, represented by “A Diagram - of Rapture” and “A sixpence at a show -,” turn the afterlife into commodity for public consumption. Dickinson's “A transport one cannot contain,” as Victoria N. Morgan points out, suspends the FORUM Issue 14 | Spring 2012 Hsu 7 de#nition of the divine, opening up a “heterologous space,” a concept Michel de Certeau uses to account for a liberating space for the individual's diversity within a community (Morgan 76, 130 & 148-49). In her discussion of Dickinson's “humorous grotesquerie,” Cristanne Miller similarly remarks that her poems “attempt not just to violate norms (or taste) but to open up possibilities for new ways of perceiving […]” (106). Indeed, the metaphor of tourism allows Dickinson to break away from religious and social conventions and to assert artistic individuality. Paradoxically, this poetic space of emancipation in “A transport one cannot contain” is based upon the enslavement of the holy other. In particular, this violation of sacredness re%ects the reality of capitalism as another form of enslavement, caging the Holy spirit for entertainment. By doing so, the poem accentuates the tension between safeguarded rights to one's spiritual property on the one hand, and a carnivalized and commodi#ed version of spirituality on the other. William Stowe points out that tourists are empowered “by exercising the economic power of the consumer” and by “treating their activities as ways of coming to know and hence to dominate the world” (307). !is tourist process of empowerment in Dickinson's poem is soon turned into a subjugation of the other in its vehement power struggle. !e master becomes the enslaved, and the holy becomes the freak. “Going, going, gone”: Sacrilege and the Auction of Faith Dickinson's God and heaven are not only carnivalized and exoticized, but they can also become the orientalized other. !is carnivalized power of subversion is conducted through the process of action and reaction, the empowerment of self and the enslavement of the other. However, this revolutionary force does not promise any form of spiritual liberation. On the contrary, it is exercised through mercantile modes that designate further potential oppression. In “His Mind like Fabrics of the East -” (Fr1471), for example, God's mind is compared to eastern tapestries to stress spiritual anxiety: His Mind like Fabrics of the East - Displayed to the despair Of everyone but here and there An humble Purchaser - FORUM Issue 14 | Spring 2012 Hsu 8 For though his price was not of Gold - More arduous there is - !at one should comprehend the worth, Was all the price there was - !e Vanity Fair in !e Pilgrim's Progress of John Bunyan, the seventeenth-century English puritan writer, is transformed into Dickinson's Fair of Despair in the poem, and faith becomes another type of consumerism, the connoisseurship of exotic art. As Hiroko Uno points out, the eastern fabrics in the poem indicate the incomprehensible mind of God (62). By mapping oriental fabrics onto God's mind, the poem illustrates a reversal of Edward Said's orientalism, turning God into the oriental other – confounding as well as dazzling to western viewers. John Rogers Haddad comments that the nineteenth century American literary approach towards the East was either romantic, or analytical (“Introduction”). Dickinson's spiritual buyers, alternatively, #nd it impossible either to romanticize God's mind or to demystify it. !rough her oriental fantasy, her poem discloses spiritual wilderness. “His Mind like Fabrics of the East -” re%ects a modern anxiety, when viewers can no longer evaluate or appreciate the value of art that is taken out of its original context. When faith stays at its face value, the display of the sacred image only dazzles, confounds and then silences believers into despair. Percy Bysshe Shelley's “Ozymandias” is an instructive example to compare with Dickinson's orientalized God's mind. In the poem, the engravings on the pedestal of Ozymandias, a shattered visage of the third king of the nineteenth dynasty of Egypt, are equally disturbing and disorienting: “My name is Ozymandias, king of kings: Look on my works, ye Mighty, and despair!” (Line 10-11 11) From Shelley's historical tourism to Dickinson's spiritual auction, visual consumption is turned into a recognition of historical decline or spiritual alienation. Facing eastern imagery, western viewers re%ect upon their own physical and metaphysical limitation. !e Romantic traveller “from an antique land” in Shelley's poem morphs into an urban consumer in Dickinson's “His Mind like Fabrics of the East -” who attempts to tag spiritual meanings with a market price to no avail. FORUM Issue 14 | Spring 2012 Hsu 9 Dickinson, like her puritan forebears, #nds similarities between believing and purchasing. Both are operated on the mode of transaction for fundamental human needs. Dickinson experiments with this mercantile mode of human faith, pushing the boundary between materiality and spirituality to its extreme. In “!e Auctioneer of Parting” (Fr1646), the cruci#ed body of Jesus becomes a saleable commodity. !e worker on the cross serves as an auctioneer, selling the death of Jesus, the sacred symbol of faith: !e Auctioneer of Parting His “Going, going, gone” Shouts even from the Cruci#x, And brings his Hammer down - He only sells the Wilderness, !e prices of Despair Range from a single human Heart To Two - not any more - In contrast with the upbeat militarism in Walt Whitman's “Beat! Beat! Drum!” a poem written to aid the war effort during the American Civil War, the thrust of living force “going, going” in Dickinson's poem parallels the death drive to reveal the bleak prospect of faith. !e vigour of life, like commerce, is sinisterly cut short by the verdict of death. With the hammer down, the bidder Death breaks “a single human Heart,” one's faith in God, open into two. Unlike the previous poem “A transport one cannot contain,” death in this poem is the #nal destination rather than an exotic show. Life does not go anywhere, “not any more.” It is an auction of no gain but all the pain and suffering of a spiritual desert. !ese poems of Dickinson turn funerals and cruci#xions into sacrilegious carnivals, radically out of place. !e auction scene is mapped onto spiritual wilderness to accentuate the vehemence of human desperation. Her comic and grotesque sketches account for an intellectual understanding of faith and belief not as a sacred transportation and transcendence, but a secular, and mostly human, trade FORUM Issue 14 | Spring 2012 Hsu 10 of uncertainty and suffering. In comparison, Whitman, a poet with Dickinson held to be “disgraceful” (L404), is slightly more hopeful of spiritual redemption. In “Song of Myself,” Whitman's poetic voice is stunned into a momentary realization, and then again mesmerized by the visual representation of religious suffering: I rise extatic through all, and sweep with the true gravitation, !e whirling and whirling is elemental within me. Somehow I have been stunned. Stand back! Give me a little time beyond my cuffed head and slumbers and dreams and gaping, I discover myself on a verge of the usual mistake. !at I could forget the mockers and insults! !at I could forget the trickling tears and the blows of the bludgeons and hammers! !at I could look with a separate look on my own cruci#xion and bloody crowning! I remember . . . . I resume the overstaid fraction, !e grave of rock multiplies what has been con#ded to it . . . . or to any graves, !e corpses rise . . . . the gashes heal . . . . the fastenings roll away. (54) Edward S. Cutler identi#es this section in Whitman's “Song of Myself ” as a rare moment in the poem “where the otherwise cocksure singer is haunted by the spectre of alienation.” By associating Whitman's moment of doubt with the 1853 Crystal Palace exhibition in New York, Cutler states that the exhibition “offers up a spectacular, metonymic world to the gaze, but a world whose signi#cance and promise, the poet admits, might not properly be seen” (156). !is dreaming and gaping individual is brought into a temporary realization of his separation from Jesus's suffering till the dream resumes and the healing occurs. FORUM Issue 14 | Spring 2012 Hsu 11 In a manner similar to Whitman, Dickinson was dazzled by the phantasmagoric site the antebellum exhibitions had to offer. Among others, she had visited the Boston Chinese Museum in 1846, an exhibition she called “a great curiosity” (L13). Compared with Whitman, however, Dickinson transforms her tourist experience into an exploration of more drastic spiritual despair. Turning God's mind to an eastern art and Jesus's suffering into an auction, Dickinson's poems deconstruct the meaning of sacredness. Although, by calling the identi#cation with Jesus's suffering “the usual mistake,” Whitman's poetic voice can seem cynical, his sense of doubt is counterbalanced by the overall earnest and somehow messianic tone at the end of the section. !e “separate look” remains temporary and relatively less disturbing. Dickinson, conversely, slits this mental wound open over and over again in her macabre poems. As Karl Keller remarks upon the similarity between Whitman and Dickinson, “What might surprise one about Emily Dickinson declaiming Whitman's disgracefulness is her own” (266). Dickinson's poems of spiritual tourism are no less “disgraceful” than Whitman's mental slippage. !ey transform the sacred images of God's brain and Christ's cruci#xion into a burlesque potentially more subversive. Dickinson appropriates metaphors of travelling, viewing and purchasing to reveal how faith is a precarious business rather than a spiritual promise. Her poems thus provoke transgression rather than transcendence, sacrilege instead of sacredness, and she does so emphatically through her experimentation with both form and content. George F. Whicher remarks that “in her religious lyrics she steadily brings the sacred to the level of the human” (238). !is transmission from the sacred to the human is not limited to Dickinson's religious poems or lyrical voices. She plays with both genres and themes in her poems to wrench one's perception of sacredness. Her early medley “Sic transit gloria mundi” (Fr2), written for her sister's beau William Howland (Habegger 246), is a useful example to illuminate her stylistic strife for transgression. In a presumably valentine poem, Dickinson experiments with the epic genre by mixing Latin verses with English nursery rhymes in the #rst two stanzas, creating an incongruous poetic effect: Sic transit gloria mundi “How doth the busy bee” Dum vivamus vivamus FORUM Issue 14 | Spring 2012 Hsu 12 I stay my enemy! – Oh veni vidi vici! Oh caput cap-a-pie! And oh “memento mori” When I am far from thee !e #rst two stanzas introduce what Victoria N. Morgan calls “a direct parody of [Isaac] Watts,” a famous eighteenth century English hymn-writer (181), by intermingling the battle#eld with pedagogical scenes, before the speaker goes on to lampoon literary, social and religious authorities in her mock-heroic style. !roughout the poem, military recruitment is transformed into pageantry, and the soldier-speaker prepares Indian rubber as if going on a picnic. Her references to travellers such as Peter Parley, Christopher Columbus and Daniel Boone in the poem further present her speaker as more like an armchair traveller than an enlisted soldier, conjuring up scenarios of battle#elds and escapades by reading travelogues and frontier tales. Presentations of gallantry and domesticity are juxtaposed and intertwined in a carousal-like fashion, rendering heroism and religion another comic show of fantasy. Dickinson's valentine is anything but romantic or heroic. In another early poem “My friend attacks my friend!” (Fr103), the battle#eld becomes a scenic spot: My friend attacks my friend! Oh Battle picturesque! !en I turn Soldier too, And he turns Satirist! How martial is this place! Had I a mighty gun I think I'd shoot the human race And then to glory run! Mixing the “picturesque” scenery with the grotesque potential of the genocide, the poem contrasts FORUM Issue 14 | Spring 2012 Hsu 13 the seemingly humanitarian speaker in the beginning with a potential rampage killer in the end. By bringing the patriotic and the lofty to the level of the human or even the frantic, the poem is turned into a self-parody, creating a carnivalesque effect that subverts the solemnity of heroic militarism. Interestingly, this transgressive act of “shoot[ing] the human race” coincides with an awareness of the large scale of senseless human suffering that continuously takes place in history. Written in the antebellum years around 1858, both “Sic transit gloria mundi” and “My friend attacks my friend!” become the premonition of what may be seen as the ugly realities of modern warfare in the following Civil War (1861-65). “My Splendors, are Menagerie -”: Spectatorship and Visual Violence For Dickinson, the sacred and the sublime also suggest their sacrilegious potential. !ese poems inform Dickinson's understanding of the spiritual other as both the consecrated and the desecrated, the mysti#ed and the demysti#ed. With her carnivalized language, Dickinson turns the pursuit of the Holy ghost or a uni#ed national vision into a messy business of both glori#cation and vili#cation. !e divine and the sacred become a great curiosity to be consumed as well as desired. !e paradoxical process of sancti#cation through desecration is exempli#ed in “Of Bronze - and Blaze -” (Fr319), in which the speaker aspires to be part of the Aurora Borealis, while recognizing her own “dishonored” oblivion: Of Bronze - and Blaze - !e North - tonight - So adequate - it forms - So preconcerted with itself - So distant - to alarms - An Unconcern so sovereign To Universe, or me - Infects my simple spirit With Taints of Majesty - Till I take vaster attitudes - FORUM Issue 14 | Spring 2012 Hsu 14 And strut opon my stem - Disdaining Men, and Oxygen, For Arrogance of them - My Splendors, are Menagerie - But their Competeless Show Will entertain the Centuries When I, am long ago, An Island in dishonored Grass - Whom none but Daisies, know - From “vaster attitude” and “My Splendor” to “dishonored Grass,” the poem shifts the focus from the sublime experience of viewing the northern lights to the speaker's re%ection upon her physical vulnerability. Her aspiration is described as an infection with “Taints of Majesty.” Her “Disdaining Men, and Oxygen” further suggests the fatal effect of tuberculosis, with taints of blood in the lung that prevent patients from breathing properly (Mamunes 2, 7 & 40). Although, by calling her works “menagerie,” exotic animals in captivity, the poem implies the experience of viewing as one of conquest, the speaker is eventually the subjugated and “dishonored” one in consumptive death. Jane Donahue Eberwein observes that Dickinson's poems “habitually linked her own small self with cosmic possibilities” (134). !is connection with the cosmic, however daring, is both sacred and decaying, enshrining and entombing for Dickinson. To some extent, the simple act of viewing designates transgression. Dickinson's poems reveal her keen consciousness of this visual violence. !e power of spectatorship is made explicit in “!e Show is not the Show” (Fr1270), in which the unseen speaker is the eventual dominator and arbiter of this viewing game: !e Show is not the Show But they that go - Menagerie to me FORUM Issue 14 | Spring 2012 Hsu 15 My Neighbor be - Fair Play - Both went to see - !e seeing/being seen and sacred/sacrilegious dyad is literally reversed by the radical visual exercise in the poem. !e object in view, whether it is the audience or the show, becomes the speaker's “Menagerie.” !e “Fair” play is achieved when the hunter is turned into the prey and the holy becomes the enslaved. Her all-seeing speaker breaks down the division between the menagerie and the owner, the sacred and the sacrilegious in the power game between “both” who “went to see.” Dickinson's 1852 account of the performance of Jenny Lind, a Swedish opera singer, dubbed as the “Swedish Nightingale,” illustrates this visual practice by deviating from Lind's performance to her father's response: Father sat all the evening looking mad, and silly, and yet so much amused you would have died laughing – when the performers bowed, he said “Good evening Sir” – and when they retired, “very well – that will do,” it was'nt sarcasm exactly, nor it was'nt disdain, it was in#nitely funnier than either of those virtues, as if old Abraham had come to see the show, and thought it was all very well, but a little excess of Monkey! (L121) Both Jenny Lind's singing and her father's behaviour are satirically turned into another “excess of Monkey” for display. !is humour of excess characterizes Dickinson's playfulness with and deconstruction of the power of viewing at the same time. Being an unseen but all-seeing spectator, like being God, is the ultimate gesture of subversion. !is subversive power of viewing is elaborated in “Dew - is the Freshet in the Grass -” (Fr1102). Humans become an intruder of nature by simply seeing: Dew - is the Freshet in the Grass - 'Tis many a tiny Mill Turns unperceived beneath - our feet And Artisan lies still - FORUM Issue 14 | Spring 2012 Hsu 16 We spy the Forests and the Hills !e Tents to Nature's Show Mistake the Outside for the in And mention what we saw. Could Commentators on the Sign Of Nature's Caravan Obtain “admission” as a Child Some Wednesday Afternoon. !e “Mistake” is exacerbated when the speaker proposes to “Obtain 'admission'” to nature's show. By charging what is sacred and private in nature, the poem highlights the imperial power of viewing and its pro#table and thus sacrilegious potential. God, nature, or Dickinson's own poetry, can all be turned into menagerie and commodities to be purchased and consumed. Conclusion: Dickinson's God as “our Old Neighbor” [I]t may be observed generally that, wherever two thoughts stand related to each other by a law of antagonism, and exist, as it were, by mutual repulsion, they are apt to suggest each other (126). !omas De Quincey, Confessions of an English Opium-Eater (1821) Famous for being an opium eater, !omas De Quincey turns opium into a most sacred but also most sacrilegious object in his confessions. In a similar manner, Dickinson's poems of tourism play out the intricate relation between the sacred and the sacrilegious in various scenarios. From the fabrics of God's mind to the auction of faith, from the caged Holy ghost to Dickinson's menagerie, from the book of the afterlife to the tents to nature's show, from the patriotic pageantry to the picturesque battle#eld, Dickinson maps the secular and the vulgar onto the sacred space in nation, nature and heaven to emphasize the connectedness between these two seemingly opposite thoughts. Although Dickinson condemns “Disgrace of Price” that reduces human spirit in one poem FORUM Issue 14 | Spring 2012 Hsu 17 “Publication - is the Auction” (Fr788), she also adopts this mercantile mode pervasively and effectively in other poems to capture the otherwise elusive nature of spiritual property. Michael T. Gilmore observes that towards the mid-nineteenth century, “the commodity form … solidi#ed its hold on literature” (17). !is solidarity between art and commerce, for Dickinson, can also be applied to the exercise of human faith. !rough her appropriation of commercial metaphors, Dickinson stresses the fact that the one's spiritual or national quest is also a violent process that “one cannot contain.” Dickinson's poems of spiritual tourism rewrite the Latin motto “veni vidi vici,” as quoted in her valentine poem, into a caricature of her own: “I travel, I see, I purchase.” Seeing symbolizes conquest, but it also threatens to turn any sacred act into cacophonous experiences of blasphemy, enslavement, and transgression. !e division between the sacred and the sacrilegious, the high and the low, the heavenly and the earthly, is never stable. !e de#nition of sacredness, for Dickinson, seems to be its very earthliness. In “It was too late for Man -” (Fr689), she argues that heaven is more formidable and inhospitable than the earth: How excellent the Heaven - When Earth - cannot be had - How hospitable - then - the face Of our Old Neighbor - God - Dickinson prefers the earthly and the quotidian individual experiences over the heroic and the holy. As she states in a letter, “When Jesus tells us about his Father, we distrust him. When he shows us his Home, we turn away, but when he con#des to us that he is 'acquainted with Grief,' we listen, for that also is an Acquaintance of our own” (L932). Dickinson adopts a seemingly sacrilegious poetic strategy to explore the boundaries between the lofty and the profane in her poems. By transgressing these boundaries, her poems remind us that the most sacred place does not exist in heaven, but on earth, “an Acquaintance of our own.” FORUM Issue 14 | Spring 2012 Hsu 18 Works Cited !e following abbreviations are used to refer to the writings of Emily Dickinson: F r !e Poems of Emily Dickinson. Ed. R. W. Franklin. Cambridge, MA: the Belknap Press of Harvard University Press, 1999. Citation by poem number. L !e Letters of Emily Dickinson. Eds. !omas H. Johnson and !eodora Ward. 3 vols. Cambridge, MA: Harvard UP, 1958. Citation by letter number. Bakhtin, Mikhail M. !e Dialogic Imagination. Austin: Austin University of Texas Press, 1981. Print. Cutler, Edward S. Recovering the New: Transatlantic Roots of Modernism. Lebanon: University Press of New England, 2002. Print. Dickinson, Emily. !e Letters of Emily Dickinson. Eds. !omas Herbert Johnson and !eodora Van Wagenen Ward. Harvard University Press, 1986. Print. ---. !e Poems of Emily Dickinson (Reading Edition). Ed. R. W. Franklin. Cambridge, MA: the Belknap Press of Harvard University Press, 1999. Print. Eberwein, Jane Donahue. Dickinson: Strategies of Limitation. Amherst, Massachusetts: the University of Massachusetts Press, 1987. Print. Fussell, Paul. Abroad: British Literary Traveling between the Wars. New York: Oxford University Press, 1980. Print. Habegger, Alfred. My Wars Are Laid Away in Books: !e Life of Emily Dickinson. New York: !e modern Library, 2001. Print. Haddad, John Rogers. !e Romance of China: Excursions to China in U.S. Culture, 1776-1876. New York: Columbia University Press, 2008. Web. 23 April. 2012. Korte, Barbara. English Travel Writing: From Pilgrimages to Postcolonial Explorations. Basingstoke: Macmillan, 2000. Print. Lundin, Roger. Emily Dickinson and the Art of Belief. Michigan:Wm. B. Eerdmans Publishing Co., 2004. Print. Gilmore, Michael T. American Romanticism and the Marketplace. Chicago and London: !e FORUM Issue 14 | Spring 2012 Hsu 19 University of Chicago, 1985. Print. Mamunes, George. “So has a Daisy vanished ”: Emily Dickinson and Tuberculosis. Jefferson, NC: McFarland, 2008. Print. McIntosh, James. Nimble Believing: Dickinson and the Unknown. !e University of Michigan Press, 2004. Print. Miller, Cristanne. “!e Humor of Excess”, Comic Power in Emily Dickinson. Eds. Suzanne Juhasz, Cristanne Miller, and Martha Nell Smith. Texas: University of Texas Press, 1993. Print. Morgan, Victoria N. Emily Dickinson and Hymn Culture: Tradition and Experience. Surrey & Burlington: Ashagte, 2010. Print. Ostriker, Alicia. Stealing the Language: the Emergence of Women’s Poetry in America. London: Women’s Press, 1987. Print. Keller, Karl. !e Only Kangaroo Among the Beauty: Emily Dickinson and America. Baltimore and London: !e Johns Hopkins University Press, 1979. Print. De Quincey, !omas. Confessions of an English Opium-Eater and Related Writings. Ed. Joel Fa%ak. Broadview Press, 2009. Print. Quinn, Carol. “Dickinson, Telegraphy, and the Aurora Borealis”. !e Emily Dickinson Journal 13.2 Fall 2004: 58-78. Web. 23 April. 2012. Shelley, Percy Bysshe. Percy Bysshe Shelley: Selected Poems. Ed. Timothy Webb. London: J. M. Dent & Sons Limited, 1977. Print. Smith, Martha Nell and Mary Loeffelholz. A Companion to Emily Dickinson (Blackwell Companions to Literature and Culture). Blackwell Publishing, 2008. Print. Uno, Hiroko. “Emily Dickinson‘s Encounter with the East: Chinese Museum in Boston”. !e Emily Dickinson Journal 17.1 Spring 2008: 43-67. Web. 23 April. 2012. Reynolds, David S. Beneath the American Renaissance: !e Subversive Imagination in the Age of Emerson and Melville. New York: Alfred A. Knopf, 1988. Print. Stoneley, Peter. “'I - Pay - in Satin Cash -': Commerce, Gender, and Display in Emily Dickinson's Poetry. American Literature 72.3 (2000): 575-594. Web. 23 April. 2012. Stowe, William. “!e Rewards of Travel”. Transatlantic Studies: A Reader. Eds. Susan Manning and Andrew Taylor. Edinburgh: Edinburgh University Press, 2007. Print. Whitman, Walt. Leaves of Grass (1855 First Edition Text). Wilder Publications, 2008. Print. FORUM Issue 14 | Spring 2012 Hsu 20 Whicher, George F. “Emily Dickinson among the Victorians.” !e Recognition of Emily Dickinson: Selected Criticism since 1890. Eds. Caesar R. Blake and Carlton F. Wells. Ann Arbor: !e University of Michigan Press, 1964. 408. Print. Wolff, Cynthia Griffin. Emily Dickinson. A Merloyd Lawrence Book. 1988. Print. Wolosky, Shira. Emily Dickinson: A Voice of War. Yale University Press, 1984. Print. 
work_yocd2alpebdbldn6bnam5xe4pe	----	A Judge's Three Worlds: Proof, Philosophy, and the Prison Edmund 6. Spaeth, Jr. Tensions between the world of science and the world of law may arise because of their differing viewpoints and philosophies. Disagreements may center around such questions as what constitutes proof, around human behavior, and around the use of the insanity defense in criminal cases. The just deserts model is examined and is criticized as being harsh and possibly unrealistic in today's society. Every contributor to this series of papers is trained in science-except me. My task is to present "the view from the bench." That means, I take it, that as one who has only recently stepped down from the bench I am to comment on the relationship between science and law. I do so with great diffidence; whereas the other papers are based on original re- search, and make a contribution to knowledge, mine, I fear, will do little more than reflect personal opinion and experience. In this awkward circum- stance, I have decided to offer some comment on the relationship between science and a judge's three worlds: the worlds of proof, philosophy, and the prison. Mr. Spaeth is a former Judge in Superior Court of Pennsylvania. Address correspondence and requests for reprints to Mr. Spaeth, Pepper, Hamilton, and Scheetz, 123 South Broad St., Philadelphia, PA 19109. This paper was presented at the Seventeenth Annual Meeting of the American Academy of Psychiatry and the Law, Philadelphia, October 18, 1986. Tensions between the World of Law and the World of Science It was at one time argued that there was no inconsistency or tension between a judge's worlds and the world of sci- ence. Law, it was said, was itself a sci- ence. An illustration of this notion is a fa- mous law review article by Samuel D. Warren and Louis D. Brandeis, pub- lished in 1890 in the Haward Law Review' and entitled "The Right to Pri- vacy." Reasoning from a few scattered precedents, the authors invented a new tort, which they called "invasion of pri- vacy." In their view, however, they had not invented it; they had simply found it, buried in existing principles and de- cided cases and awaiting discovery, as a new scientific principle awaits discovery. In the literature of legal education the notion of law as science was exemplified in the casebook. Nowadays casebooks are likely to contain all sorts of material. But the first great casebooks, compiled Bull Am Acad Psychiatry Law, Vol. 16, No. 2, 1988 123 Spaeth by Christopher Columbus Langdell and James Barr Ames of Harvard in the late 1800s, contained only cases, that is, de- cisions by court^.^ These were seen as the raw material-the strata, the fos- sils-of the law. From them the student was to deduce the principles governing the development of the law, as a geolo- gist deduces the principles governing changes in the earth. A great deal is to be said for this style of thought, besides the fact that it is fun. Among other things, law developed by reasoning from precedent may be ac- cepted as legitimate in the sense of being based on principles thought to transcend the judge's own, merely personal, opin- ions. But no one today would follow Langdell in describing legal reasoning as scientific, or the law as a science. The achievements of science have become too dramatic to permit such a conceit: we see each other across oceans; we have walked on the moon. Whatever else may be its achievements, legal reasoning can point to nothing comparable. But if law is not a science, and the judge not a scientist, nevertheless the judge may not escape the world of sci- ence. For as science pervades our life, it pervades our law. The judge must there- fore seek a harmonious relationship be- tween science and the law. It would seem that achieving such a relationship should not be difficult. A trial, after all, is an attempt to recreate the past, to find out what really hap- pened. Did the yellow Cadillac go through the red light and hit the little Toyota? In matters of proof, at least, law like science is concerned with learning the truth. Law and science should there- fore be allies, and the judge should feel no tension between the world of legal proof and the world of science. And indeed, often that is the case. Two very common illustrations are fingerprints and blood samples. With the scientific development of such evidence, judges and juries have been enabled to give confident answers to such questions as, Was the defendant in the room? Did the defendant father this child? But great difficulty or lack of harmony remains. What is a judge to do when, to prove a disputed fact, a novel scientific proposition is offered; when, in other words, the judge is assured by a lawyer that the witness can explain something that no one has been able to explain before? For example, the lawyer offers to call as a witness a toxicologist who will testify that as a result of certain tests he has devised and performed upon tis- sue from the body of the deceased, he has demonstrated the presence of a poi- son, the presence of which, however, prior to his tests medical scientists be- lieved could not be d e m ~ n s t r a t e d . ~ For many years the law's solution to this difficulty was to reject the evidence, on the reasoning that the judge, as a nonscientist, was incapable of assessing its worth. Scientific opinion would be accepted only if the principles on which the opinion depended were generally ac- cepted in the scientific c ~ m m u n i t y . ~ In the preceding example, the toxicologist's opinion would not be admissible unless it first was proved that toxicologists gen- erally accepted his procedures and rea- soning as sound. In some jurisdictions this is still the law, but in others the law has changed. Under the Federal Rules 124 Bull Am Acad Psychiatry Law, Vol. 16, No. 2, 1988 A Judge's Three Worlds of Evidence, for example, proof of gen- eral acceptance in the scientific com- munity is no longer required; it is enough if the judge is persuaded that the expert's opinion, albeit novel, "will assist the ljury] to understand the evidence or to determine a fact in i ~ s u e . " ~ This change is easily understood as a response to the scientific and technolog- ical explosion of recent years: given all the new knowledge we have, surely, it is said, the law should take advantage of it. And yet, the change has set up a tension between the world of science and the world of legal proof that did not exist before. For how is the judge, ignorant of science, to decide whether the expert's novel reasoning is soundly based in prin- ciple? Granted, the jury in its search for truth should have the help of science. But how to be sure that what is offered as help really is help? Perhaps the most common example of this tension is the polygraph, or "lie detector." Proponents of the polygraph have repeatedly pressed the courts to admit evidence that a witness failed a polygraph test as evidence that the wit- ness's testimony should not be believed, or to admit evidence that the witness passed the test as evidence that he should be believed. So far, in general, the courts have refused, unpersuaded that the test is scientifically sound.6 Another example is the spectrograph or "voiceprint." Should a judge admit evidence of a spec- trograph as evidence that certain words were spoken by the defendant? On this the courts have wavered, some admit- ting the evidence, others excluding it.7 Many other examples might be given: gas chromatography, neutron activation analysis. Indeed the papers in th' series 4 illustrate the point, for they refer to work at the frontiers of knowledge. The extent to which the conclusions reached in that work would be admissible in a court of law is therefore a matter of uncertainty. Disharmony Regarding Human Behavior The tension between the world of sci- ence and the world of legal proof is in no sense fundamental. For, in seeking to resolve the tension, the judge does not proceed from premises inconsistent with science. On the contrary, the judge's concern is only that the proffered proof be consistent with science; evidence of the result of a polygraph test is excluded because scientists are not themselves sat- isfied with the reliability of the test. Thus the law does not proceed contrary to science but only at a different pace: the question is not whether to admit scien- tific proof, but only how soon and by what procedure it should be decided that proof said to be scientific really is sci- entific. When it comes to the world of philosophy, matters are far different. There the tension between science and the law is fundamental. Consider Dr. Elliott's presentation (this issue, p. 13 1 ) of contributions by neurobiological research to our under- standing of human behavior. The prem- ise of this study is that there is no dual- ism or separation of a material brain and a nonmaterial mind; rather, the mental transactions of the brain have a physio- logical basis. We are machines-extraor- dinarily complex and delicate machines, by no means completely understood, but machines nevertheless-thinking, Bull Am Acad Psychiatry Law, Vol. 16, No. 2, 1988 125 Spaeth feeling, reacting to the world about us according to our individual, idiosyn- cratic, physiological makeup. Did the defendant fly into a sudden rage and beat his wife? The explanation of his behavior lies in a weakness in his neu- rophysiological inhibitions. This is not to suggest that we are to look only to neurology. As Dr. Mednick shows (this issue, p. 10 I), also consider genetics; and as Dr. Elliott makes plain, many other disciplines, psychology and sociology among them, will be pertinent. The de- fendant, however, remains a machine, and the search goes on for the secret of his personal mechanics. The law's view of human behavior is different. It assumes that we are free; that our behavior is not to be regarded as the outcome of reciprocal interactions between brain, hormones, and environ- ment. The defendant who beat his wife should have controlled his rage; it was wrong-bad-of him not to, and he must be punished. These two views of the human con- dition seem to me incompatible. But beyond their compatibility, each also seems deeply problematic. The neurobiological view of the hu- man condition is at once liberating and terrifying. It is liberating not only be- cause of the contributions it has already made to our understanding but because of the hope it extends to us. If we can identify the cause of the defendant's sud- den rage, and if we can discover a way to eliminate that cause, we can perhaps greatly improve the human condition. Calmed and stabilized by, for example, regular medication or surgical interven- tion, the defendant may be able to lead a responsible, constructive life, support- ing and loving his wife instead of beating her. And this individual example en- courages us to think on a large scale: if one violent person can be helped, we may be able to help entire communities and so achieve a stable, peaceful society. But behind or beneath this tranquil scene lurks terror. The very strength of our yearning for peace may delude us into believing that we know more than we do and thereby encourage us to great cruelty. We may think we know the cause of the defendant's behavior when we do not. Our medical intervention into his condition may therefore be un- warranted. Besides, once we take the view of humans as machines, some ma- chines will be seen as inferior to others and therefore to be neglected, or even eliminated. We need only reflect on the Nazi doctors who killed in the name of healing to know the reality of such a prospect.' The law's view of the human condi- tion is no less problematic than that of biology. By insisting upon free will the law ennobles us. It confers upon us a dignity that no machine can have and that commands respect. It institutional- izes the religious insight that in each of us there is "something of God." At the same time, this magnificant perspective stultifies the law. And every judge has felt the pain consequent upon that stul- tification. Consider any criminal case: sale of drugs, burglary, purse-snatching, or the most violent crimes-rape and murder. Put yourself on the bench and read the presentence report. Not always, but al- most always, the defendants standing 126 Bull Am Acad Psychiatry Law, Vol. 16, No. 2, 1988 A Judge's Three Worlds before you awaiting sentence will not be free individuals; they will be social crip- ples: illiterate, ignorant, poor, undisci- plined, resentful, and otherwise disabled in conforming their conduct to the norms that the law imposes upon them. When Is Insanity a Proper Defense? And so, we have entered the world of the prison. This past spring a case from the darkest corridor of that world, death row, was decided by the United States Supreme C ~ u r t . ~ I should like to state the Court's decision, for it illustrates in an especially poignant, if not tragic, way the tension between the world of science and the world of the prison. In 1974, in Florida, Alvin Bernard Ford was convicted of murder and sen- tenced to death. There was no suggestion that he was mentally incompetent at the time of his offense, at trial, or at sen- tencing. In early 1982, however, his be- havior gradually changed. His letters to various people revealed a pervasive de- lusion that he had become the target of a complex conspiracy by the Ku Klux Klan and others to force him to commit suicide. He became convinced that the conspirators had taken members of his family hostage. His hostage delusion ex- panded until he was reporting that 135 of his friends and family were being held hostage in the prison. By what he de- scribed as "day 287" of the "hostage crisis," the hostages included "senators, Senator Kennedy, and many other lead- ers." In 1983, in a letter to the Florida Attorney General, he assumed authority to end the hostage crisis, and claimed that he had fired various prison officials. He began referring to himself as "Pope John Paul, 111," and reported having appointed nine justices to the Florida Supreme Court. Ford's lawyer arranged to have him examined by a psychiatrist and when Ford refused to see this doctor further, on the ground that the doctor had joined the conspiracy against him, his lawyer arranged for a second psychiatrist. The first psychiatrist concluded that Ford suffered from "a severe, uncontrollable, mental disease which closely resembles 'Paranoid Schizophrenia with Suicide Potential."' When the second psychia- trist asked Ford if he would be executed, Ford replied, "I can't be executed be- cause of the landmark case. I won. Ford v. State will prevent executions all over." The psychiatrist concluded that Ford had no understanding of why he was to be executed and believed that in fact he would not be executed because he owned the prisons and could control the Governor through mind waves. In the psychiatrist's opinion, there was "no rea- sonable possibility that . . . Ford was dis- sembling, malingering or otherwise put- ting on a performance. . . ." There were two issues before the Su- preme Court. The first was whether the cruel and unusual punishment clause of the Eighth Amendment precluded Ford's execution; the second was a pro- cedural issue. Taking the procedural issue first: Be- fore signing Ford's death warrant, the Governor had appointed three psychia- trists to examine Ford, and each had found Ford competent. However, Ford's lawyer was not permitted either to ques- tion or impeach the psychiatrists or to Bull Am Acad Psychiatry Law, Vol. 16, No. 2,1988 127 Spaeth present evidence on Ford's behalf. All of the Justices, saving only Justice Rehn- quist and Chief Justice Burger, agreed that this was unfair and that the case therefore had to be remanded for further hearing. It is the first issue, though, that is important to our discussion: may an insane prisoner be executed? On this issue, five of the Justices agreed that the cruel and unusual punishment clause forbade execution. Writing for the Court, Justice Marshall found that at common law an insane prisoner could not be executed; he further found that "[tlhis ancestral legacy ha[d] not out- lived its time," for no state in the Union permitted the execution of the insane. He observed that different commenta- tors gave different reasons for the com- mon law rule. One commentator simply said that to execute an insane person offends humanity; another, that it pro- vides no example to others and therefore contributes nothing to whatever deter- rence value capital punishment serves; another, that madness is its own punish- ment; another, that it is "uncharitable to dispatch 'an offender into another world, when he is not of a capacity to fit himself for it"'; and so on. But whatever the reason, it was plain that the common law did not permit execution of the in- sane. Moreover, all of the Justices agreed that this was so. Their only disagreement on this issue was whether the prohibition of the common law should be incorpo- rated in the Eighth Amendment. In stating this case, I do not mean to enter into the intricacies of Constitu- tional law. Nor do I mean to enter into a discussion of the law's difficulty in deciding when insanity is a defense to an act that would otherwise be crimi- nal.'' My point is a more general, and I think a more fundamental, one; it is that in some circumstances, at least, the law will abandon its premise that we are free, and will acknowledge the truth of the scientific view that we may be driven by forces beyond our control. The problem is to define the circumstances in which the law will acknowledge the scientific view. So far, no principled definition has been achieved. We not only sense that we are free, we know we are. Nothing is gained by positing that some complex series of hormonal transactions caused me to put all caution aside and accept Dr. Elliott's invitation to contribute a paper to this issue of the journal. But we also know that we are physiological ma- chines. Yet we admit to that knowledge only in extreme circumstances-when confronted with the horror of executing an Alvin Bernard Ford, and in a few other situations, when our narrowly cir- cumscribed and conceptually compro- mised definitions of "insane" or "incom- petent" are met. I have already suggested why our ad- mission is so grudging. But surely we should be able to take advantage of the knowledge science brings us, without falling into the terrible error of regarding people as mere machines. I believe that most, or at least many, judges would accept my description of typical of- fenders as social cripples, disabled in conforming their conduct to the norms that the law imposes upon them. Why is it that we don't take advantage of our knowledge to strengthen such an indi- 128 Bull Am Acad Psychiatry Law, Vol. 16, No. 2, 1988 A Judge's Three Worlds vidual? We know a good deal, for ex- ample, about alcohol and drug abuse, behavior commonly associated with crime. Thanks to Marvin Wolfgang, we know a good deal about who commits, and is likely to commit, crime. Why are we so ineffective, no niggardly, in pro- viding help for those who need help, and without it, will do great harm, to them- selves as well as to others? I am reluctant to end with such de- spairing questions. I should rather end by saying that law seems to be achieving a rapprochement with science. But in honesty, I see little prospect of rap- prochement. For the law is obsessed with punishment, and until it frees itself of that obsession it will be unable to achieve a harmonious relationship with science. Inherent Weakness of the Just Deserts Model The literature on the justification and consequences of punishment is full and varied; Professor Wolfgang (this issue, p. 1 1 1 ) has given us a marvelous review of it. As he explains, the prevailing view is that punishment should exact of an of- fender his "just deserts." I find, however, that I am unable to agree with Professor Wolfgang's suggestion, as I understand him to suggest, that the just deserts model represents an advance in penal philosophy. In my view it is simply the latest model, and I expect it to be dis- carded, just as the deterrence model and the rehabilitation, or medical, model have been, for it no more achieves a rapprochement with science than they do. I think this may be seen from a recent paper by Professor Ernest van den Haag in support of the death penalty, al- though, as Professor Wolfgang demon- strates, support of the death penalty is in fact not a necessary implication from the just deserts model. Arguing from the premise of the just deserts model, that "[r]etribution is an inde- pendent moral justification [for punish- ment],"12 Professor van den Haag says that, "[bly committing the crime, the criminal volunteered to assume the risk of receiving a legal punishment that he could have avoided by not committing the crime."13 Such a statement, I submit, provides a cloak for the self-righteous, as they pass the less fortunate by. One may readily concede that the criminal is not to be excused because he is a social cripple. One may equally readily con- cede that we commit evil deeds for which we must be punished. But to say that the criminal volunteers to assume the risk of punishment seems to me to deny the evidence that our behavior may be the result of forces beyond our con- trol. It is long past time to undertake a fundamental reexamination of our law, to the end that we acknowledge our weaknesses and act to make ourselves stronger and thereby more truly free. References 1. 4 Ham Law Rev 193 (1 890) 2. See generally Friedman L: A History of American Law 353547-8, 1973 3. Coppolino v. State 223 So. 2d 68 (Ha. App. 1968), cert. denied 399 U S . 927 (1969) 4. Frye v. United States 293 F. 101 3 (D.C. Cir. 1923). See generally Proposals for a Model Rule on Admissibility of Scientific Evidence. Jurimetrics J Law Sci Techno1 26:287, 1986 5 . F.R. Evid. 702 6. See generally the report on the polygraph by the American Medical Association Council Bull Am Acad Psychiatry Law, Vol. 16, No. 2, 1988 129 Spaeth on Scientific Affairs, JAMA, 256(9), 1986, concluding that before polygraph tests may be accepted as accurate, "[mJuch more seri- ous research needs to be done" 7. Cf United States v. Williams 583 F.2d 1194 (2d Cir. 1978), cerl. denied 439 U.S. 1 1 17 (1 979) (admitting spectrographic evidence), with state V. Gortarez 141 Ariz. 254, 686 P. 2d 1224 (1 984) (excluding spectrographic evidence) 8. See generally the review by Bruno Bettelheim of Robert Jay Lifton's book the Nazi Doc- tors: Medical Killing and the Psychology of Genocide. NY Times Book Review, Oct. 5, 1986, p 1 9. Ford v. Wainwright, 106 S.Ct. 2595 (1986) 10. See generally United States v. Brawner 47 1 F.2d 969 (D.C. Cir. 1972) I I . van den Haag E: The Ultimate Punishment: A Defense. 99 Harv Law Rev I662 (1 986) 12. I d at 1667 (footnote omitted) 13. Zdat 1668 Bull Am Acad Psychiatry Law, Vol. 16, No. 2, 1988 
work_ysbdu2nylzczrfpyy7ca2x3sju	----	15_970_Sikorska-Jaroszynska.indd Annals of Agricultural and Environmental Medicine 2012, Vol 19, No 3, 547-550 www.aaem.plREVIEW ARTICLE Passive smoking as an environmental health risk factor Małgorzata H. J. Sikorska-Jaroszyńska1, Maria Mielnik-Błaszczak1, Dorota Krawczyk1, Alicja Nasiłowska-Barud2, Jerzy Błaszczak3 1 Chair and Department of Paedodontics, Medical University, Lublin, Poland 2 Department of Clinical Psychology, Medical University, Lublin, Poland 3 Department of Dental Prostetics, Medical University, Lublin, Poland Sikorska-Jaroszyńska MHJ, Mielnik-Błaszczak M, Krawczyk D, Nasiłowska-Barud A, Błaszczak J. Passive smoking as an environmental health risk factor. Ann Agric Environ Med. 2012; 19(3): 547-550. Abstract Initially, tobacco was considered as a decorative plant and only later began to be treated as a herb with special therapeutic properties. With time, it was found that tobacco had strong insecticidal and addictive properties. There also occurred reports about the negative influence of tobacco on human health. The World Health Organization (WHO) classifies smoking as a chronic, progressive disease which is also ‘contagious’. It is also considered to be a neurobiotic addiction. Nicotine addiction does not cause changes in the behaviour or functioning of a smoker; however, it adversely affects his or her general health status and the health status of people within their environment. Passive smoking (so-called ETS – Environmental Tobacco Smoke), which means accompanying smokers negatively influences the health of passive smokers. Environmental tobacco smoke, on the one hand, is the result of spontaneous cigarette burning and, on the other hand, the result of the side-stream of cigarette smoke, as well as the smoke exhaled by active smokers. Health personnel should clearly and convincingly present the data concerning the adverse results of smoking, as well as the dangers of exposure to environmental tobacco smoke, thereby making their patients aware that breaking their addiction will not only be beneficial for their own health, but will also protect non-smokers in their environment from the adverse effects of exposure to environmental tobacco smoke. Key words Passive smoking, Environmental Tobacco Smoke, Second Hand Smoking IntroductIon And objectIve Tobacco appeared 6,000 BC and from the very beginning it accompanied humanity like ‘tea and food’. Tobacco is a crop known to the ancient civilizations of Central and South America, as well as the Middle East and China. The plant was treated by the ancestors of modern Indians not only as God’s gift, but also as ‘holy smoke’ that gave people the possibility of reconciliation and eternal peace. It reached Europe as late as the 15th century, and the first person who brought the tobacco seeds to Spain in October 1492 was a participant of the second trip by Christopher Columbus, a monk called Romano Paro. Tobacco seeds reached Poland almost 100 years later, in 1590 [1, 2, 3, 4]. It should be stressed that initially tobacco was considered as a decorative plant and only later began to be treated as a herb with special therapeutic properties. In 1571, Nicolas Manardes wrote a dissertation concerning the incredible properties of tobacco, which allowed for the treatment of many diseases. In his work, he stated that tobacco can be used in the treatment of 36 diseases, including mental illnesses, fever, headache, frost bite, ulcers, wounds, oedemas, and toothache, as well as dermatological and venereal diseases and poisoning. Over the centuries, the way of tobacco usage changed. In the beginning, it was chewed, drunk in the form of brew, eaten, and sniffed as snuff. It was used as eye drops, enema, analgesic, antiseptic, anti-inflammatory, diuretic medicine, and an antitoxin. Later on, there occurred cigarettes, cigars and pipes. Nowadays, tobacco is a plant that is most frequently used for smoking after being previously dried and fermented [1, 3, 4]. With time, it was found that tobacco has strong insecticidal and addictive properties. There also occurred reports about the negative influence of tobacco on human health [1, 5]. At the beginning of the 17th century in England, the first attempt to reduce tobacco consumption was undertaken by imposing tax on tobacco. In the middle of the 18th century in Germany, Frederick the Great issued an edict against tobacco smoking. Actually, the entire 18th century was the period in which many countries, including Russia and the Vatican State, introduced a ban on tobacco smoking. However, it should be stressed that these prohibitions were rather connected with the requirements of faith and morality, and not due to concern about the negative influence of tobacco on human health. Despite the discovery of the harmful properties of the plant, it became more and more popular. Wars and epidemics facilitated further popularization of tobacco smoking. During World War II, in the United States, it was even decided that tobacco plantations should become areas of special protection. In the 1940s and 1950s, there appeared reports that cigarette smoking may be involved in the development of lung cancer, and that the tar included in cigarettes adversely affected human health and could participate in the occurrence and development of neoplasms. However, it was in the 1960s when more evidence for the adverse influence of tobacco on human health was found and presented [1, 3, 4, 5]. Address for correspondence: Małgorzata H. J. Sikorska-Jaroszyńska, Wieniawska 10/4, 20-071 Lublin, Poland. E-mail: MHJSJ@interia.pl Received: 28 February 2012; accepted: 17 August 2012 Annals of Agricultural and Environmental Medicine 2012, Vol 19, No 3 Małgorzata H. J. Sikorska-Jaroszyńska, Maria Mielnik-Błaszczak, Dorota Krawczyk, Alicja Nasiłowska-Barud, Jerzy Błaszczak. … State of knowledge. Nowadays, smoking is considered to be one of the unhealthiest of human behaviours and the most hazardous of addictions. The World Health Organization classifies smoking as a chronic, progressive disease which is also ‘contagious’. It is also considered to be a neurobiotic addiction. According to the definition issued by the WHO, a smoker is somebody who smokes at least one cigarette a day for at least 6 months [6]. The number of cigarettes smoked within one’s lifetime and exposure to cigarette smoke is determined using a ‘pack/year’ index. One ‘pack/year’ equals 10 cigarettes a day for the period of one year [7]. In Poland, cigarette consumption is 3,650 cigarettes a person a year, and the average number of smoked cigarettes is about 20 a day [8, 9]. According to the WHO data, more than 4.9 million people die every year due to diseases resulting from cigarette smoking and using tobacco based products, as well as passive smoking [10, 11]. Nicotine addiction does not cause changes in the behaviour or functioning of a smoker; however, it adversely affects his or her general health status and the health status of people within their environment. Passive smoking (so called ETS – Environmental Tobacco Smoke), which means accompanying smokers negatively influences the health of passive smokers. Environmental tobacco smoke, on the one hand, is the result of spontaneous cigarette burning, and on the other hand, the result of side-stream of cigarette smoke, as well as the smoke exhaled by active smokers. It should also be noted that smokers who are in the company of active smokers are also considered to be passive smokers. It can be said that in case of these people the negative results of smoking are cumulated [12]. Oberg et al. observed that, worldwide, 40% of children, 33% of male non-smokers, and 35% of female non-smokers were exposed to second-hand smoke in 2004 [13]. At the same time, according to the WHO, it is not possible to declare any level of exposure to the environmental tobacco smoke to be safe. In places where smoking is forbidden, the concentration of nicotine in the air is lower than in places where people are allowed to smoke. However, even in places where smoking is forbidden, the level of nicotine in the air never equals 0. Recently, apart from second hand smoking, another term, third-hand smoking, is being used to describe a situation in which non-smokers move into apartments previously occupied by smokers, or buy a car from a smoker [14]. Smoking, as well as exposure to environmental tobacco smoke, in pregnancy adversely affects the development of the foetus. Children are exposed to ETS in utero through the umbilical cord bond. It should be stressed that the placenta does not constitute a barrier against tobacco smoke. Study results show that the ETS can be a factor in such complications as premature birth, lower birth weight (33-335g depending on the author), more frequent birth (by about 22%) of children with birth weight below 2,500 g, occurrence of birth defects, and smaller head circumference. The influence of environmental tobacco smoke probably contributes to foetuses being too small for their gestational age; however, the ETS was not found to contribute to the delay of intrauterine development. It has been confirmed that children born to mothers exposed to environmental tobacco smoke attain lower APGAR scale results. It has also been established that women infants exposed to second-hand tobacco smoking during pregnancy had their BMI index at the age of 2 and 3 years higher than their contemporaries, whose mothers were not passive smokers. At the same time, on the basis of many years of observation of children exposed to environmental tobacco smoke in utero, it was found that passive smoking affected the functioning of the immunological system, probably by adversely influencing neurodevelopment; the occurrence of respiratory system diseases is also significantly higher after birth. It is supposed that the ETS affecting the foetus may facilitate the incidence of allergic disorders. However, it should be stressed that, to date, the results of epidemiological studies have not equivocally confirmed whether a mother’s active smoking during pregnancy causes allergy in her child [15, 16, 17, 18, 19, 20, 21, 22, 23, 24, 25]. Exposure to environmental tobacco smoke, both in foetal life and after birth, contributes to the occurrence of diseases of the lower and higher airways, asthma, wheeze, lung lesions detectable in computer tomography, as well as lung function impairment [26, 27, 28, 29, 30, 31, 32]. In the case of passive smokers, the risk of the occurrence of chronic obstructive pulmonary disease is significantly higher. By 2020, this disease is probably going to be the top third cause of mortality [17, 33]. Recently, it has been suggested that the ETS contributes to the occurrence diabetes mellitus type 2 [34], multiple sclerosis [35], increases the possibility of the occurrence of pain in the abdominal cavity, joints, back and head [36]. In daughters of smoking mothers who smoked during pregnancy, or who were exposed to the ETS, the first period occurs later [37]. The results of other studies showed that there is a small-to- modest association between in utero exposure to tobacco smoke and reduced fertility [38]. Passive smoking increases the risk of occurrence of cardiovascular diseases. The ETS contributes to endothelial function impairment and increases the oxidative stress [39]. As demonstrated, significant exposure to the ETS is associated with the presence of an increased level of C – reactive protein (CRP) which, in turn, explain the relationship between second- hand smoking (SHS) and death due to cardiovascular reasons [13, 40]. There are also reports that exposure to environmental tobacco smoke influences the development of hard and soft oral tissues. Passive smoking contributes to alteration of the composition of the oral bacterial flora. The number of Streptococcus mutans and lactobacilli increases [41, 42]. It was found that in case of in utero exposure, as well as after birth, there was increased risk of early caries and deciduous teeth decay. It is worth noting that smoking by the father is less harmful than that by the mother [43, 44]. It was also demonstrated that smoking by household members, as well as second-hand exposure outside one’s house, may contribute to the development of permanent teeth caries in adolescents [42, 45, 46, 47]. In the case of smokers, there is an increased risk of tooth loss, while it decreases in people who give up smoking. However, it is not clear whether the ETS affects tooth loss in non-smokers and, according to Arora et al., this requires further studies and confirmation [48]. Animal studies revealed the occurrence of cytoplasm and acinar cells nuclei involution, inflammatory infiltration, type I collagen accumulation in the stroma, and the increase of interacinar space filled with extracellular matrix which, in effect, leads to salivary glands function disorder [49]. It has also been observed that in passive smokers, the level of sIgA is decreased, amylase activity is increased, and the level of sialic acid in the whole stimulated saliva is also increased [50]. The results of other, 10-months-long studies, of children aged 548 Annals of Agricultural and Environmental Medicine 2012, Vol 19, No 3 Małgorzata H. J. Sikorska-Jaroszyńska, Maria Mielnik-Błaszczak, Dorota Krawczyk, Alicja Nasiłowska-Barud, Jerzy Błaszczak. … 3.5-5 years exposed to the ETS, showed that the levels of IgA and IgG in saliva were increased [51]. In other studies, it was observed that passive smoking contributes to the decrease of salivary pH, the rate of the secretion of saliva and its buffering abilities [50]. In case of children exposed to the ETS, the level of cotinine is increased and accompanied by lowered CAL (Clinical Attachment Level) [52]. In the case of passive smokers, the inflammatory response from the periodontal tissues is increased, and the risk of progression of periodontal diseases is also higher [53]. It was also found that environmental tobacco smoke impairs the final differentiation of keratinocytes [54], and contributes to increased gingival pigmentation, evaluated on the basis of the gingival pigmental index and digital oral photographs [55]. As already stated, cigarette smoking contributes to the occurrence of neoplasms. Reports have also appeared that the ETS is directly associated with lung cancer [56], and may contribute to higher risk of breast cancer in younger, primarily premenopausal women [57], as well as to the occurrence of pancreatic cancer [58]. However, it should be stressed that studies performed recently did not confirm the influence of passive smoking on the general risk of incidence of neoplasms, with pancreatic cancer being the only exception [59]. In the 1980s and 1990s, due to the results of experimental, clinical and epidemiological studies revealing the harmfulness of tobacco, there appeared new laws limiting smoking in public places, especially at work. The Framework Convention on Tobacco Control (FCTC) is the first international treaty concerning public health. It was issued after four years of negotiations among the WHO members. It was signed in 2004 by 192 countries, and its provisions were officially introduced in February 2005. The provisions of FCTC mainly concern the tobacco industry, the necessity for the labeling of tobacco products packaging, introduction of new taxes on tobacco products, and illegal trade and protection from exposure to tobacco smoke In 2005, the Oral Health Network of Tobacco Use Prevention and Cessation was established [60]. In 2008, a work group was formed in the European Parliament aimed at the introduction of a complete ban on the tobacco trade in the European Union by 2025. Guidelines included in the Healthy People 2010 Programme are meant to limit cigarette smoking. According to these guidelines, cigarette smoking frequency should drop to 12%. According to current Polish law, persons below 18 years of age are not allowed to purchase cigarettes. It should be stressed that cigarette vending machines and sales of single cigarettes are also illegal. It is also forbidden to advertise cigarettes on TV, radio, in the press, cinema, and on billboards. There is also a complete ban on smoking in hospitals, schools, universities, institutions, offices, theatres and cinemas, and a partial ban in restaurants and bars. There are warnings about the health hazards of smoking printed on cigarette packets. As a result of this campaign, a decrease of the incidence of lung cancer has been observed in young and middle-aged people [11, 61]. Nowadays, 12 types of smokers are distinguished, including ‘childish smokers’. These are people smoking ‘in hiding’, in whom smoking evokes a sense of security due to memories from childhood. Smoking reminds them of one or both parents smoking at home and helps them come to grips with the passage of time. It can also be stated that such people feel well and safe in an environment with a relatively high concentration of cigarette smoke. Parents who smoke and live in a house with high concentration level of cigarette smoke often make children start smoking at a very early age, thereby adopting negative, unhealthy behaviour. Despite the constant flow of information about the harmfulness of smoking from the mass media (newspapers, radio, television, the internet), doctors and dentists still have a very important role to play in anti-nicotine campaigns, convincing people about the negative influence of tobacco smoke on the state of their health. In the course of control visits, health personnel should clearly and convincingly present the data concerning the adverse results of smoking, as well as the dangers of exposure to environmental tobacco smoke [1, 11, 61, 62], thus, make their patients aware that breaking their addiction will not only be beneficial for their own health, but will also protect non-smokers in their environment from the adverse effects of exposure to environmental tobacco smoke. references 1. 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work_ysnbdnld5fblvgmqilv7sdiz74	----	r i c h a r D P r i c e & S a L Ly P r i c e B O O K s H e l F 2 0 0 5 / 2 0 0 6 after Bookshelf 2004 appeared, a reviewer who was late with a submis- sion dashed off an email: “as soon as the latest issue of the NWIG arrived, I ripped open the packaging and flipped to the ‘Bookshelf’ review to make sure I had not been inducted into the [caribbeanist] Hall of shame. WHeW!! safe for now ...” ten others, however, have remained silent past the witching hour, obligating us to report, in our traditionally discreet manner, the reason for which the books they agreed to review have not received attention in the pages of the NWIG. as always, we would be delighted if any of them sent in their reviews and would gladly publish them forthwith. – The Cuban Economy, edited by archibald M. ritter (Pittsburgh Pa: university of Pittsburgh Press, 2004. vii + 248 pp., cloth us$ 29.95) (s—l l. l—s) – States of Nature: Science, Agriculture, and Environment in the Spanish Caribbean, 1760-1940, by stuart Mccook (austin: university of texas Press, 2002. xi + 201 pp., paper us$ 22.95) (l—e s—z) – Ghosts of Slavery: A Literary Archaeology of Black Women’s Lives, by Jenny sharpe (Minneapolis: university of Minnesota Press, 2003. xxvi + 187 pp., paper us$ 17.95) (F—h s—h) – Punishment, Race, and Gender in Jamaican State Formation, 1780-1870, by Diana Paton (Durham Nc: Duke university Press, 2004. xiii + 291 pp., paper us$ 23.95) (D—d t—n) – Creole Recitations: John Jacob Thomas and Colonial Formation in the Late Nineteenth-Century Caribbean, by Faith smith (charlottesville: university of Virginia Press, 2002. xxvi + 207 pp., paper us$ 18.50) (K—n a. Y—n) – The Language of Caribbean Poetry: Boundaries of Expression, by lee M. Jenkins (Gainesville: university Press of Florida, 2004. vii + 232 pp., cloth us$ 59.95) (s—t B—n) – Culture @ the Cutting Edge: Tracking Caribbean Popular Music, by curwen Best (Kingston: university of West Indies Press, 2004. 259 pp., paper us $25.00) (M—l V—l) Downloaded from Brill.com04/06/2021 01:09:20AM via free access New West Indian Guide / Nieuwe West-Indische Gids vol. 81 no. 1 & 2 (2007)86 – Reclaiming Difference: Caribbean Women Rewrite Postcolonialism, by carine M. Mardorossian (charlottesville: university of Virginia Press, 2005. x + 187 pp., cloth us$ 49.50) (J—n a—m a—o) – Toussaint’s Clause: The Founding Fathers and the Haitian Revolution, by Gordon s. Brown (Jackson: university Press of Mississippi, 2005. xi + 321 pp., cloth us$ 32.00) (D—s B—n) – History of Puerto Rico: A Panorama of Its People, by Fernando Picó (Princeton NJ: Markus Wiener, 2006. xiv + 351 pp., paper us$ 28.95) (F—o s—o) It has become our custom to begin “Bookshelf” with literary works (which do not receive full reviews in the NWIG). First, poetry. two of the senior figures on the caribbean poetry scene, Édouard Glissant and Kamau Brathwaite, offer new books. Glissant’s La Cohée du Lamentin: Poétique V (Paris: Gallimard, 2005, paper, € 17.50) is a series of philosophical-poetic musings in prose on well-worn Glissantian themes: the horrors of mondialisation (standardization directed by ultra-liberal mul- tinationals) vs. mondialité (the globalization of the spirit, the world united in new and marvelous ways), the importance of utopias, latin american art (Matta, lam, Glissant’s proposed M2a2 museum in Martinique), la rela- tion, the herd-like tendencies of États-Uniens, and much else. (last June at the café de Flor in Paris, Glissant became expansive telling us about the word cohée, which he likes partly because it is not in any French or creole dictionary. Its referents include a] the cohée du lamentin, a part of the Bay of lamentin where he swam as a youngster, home to a hundred-year-old toothless shark the children would see swimming under them whose teeth had decayed because of its taste for the sugar left in the water by barrels that fell into the sea as they were being loaded onto the ships, b] a place near the Martiniquan town of st. Pierre called Fond cohée, and c] a marine bird found in Guadeloupe [but not in Martinique] that flies with its mouth open and eats mosquitoes as it flies.) Brathwaite’s Born to Slow Horses (Middletown ct: Wesleyan university Press, 2005, cloth us$ 22.95) is a collection of varied, muscular, vernacular caribbean poems in the author’s “video style” typogra- phy (which he has also called “video sycorax,” “Namestoura/sycorax” and “Video/tidalectics style”), meant to mark the first publication of the “new (?4th phase) of Brathwaite’s poetry ... a significant transboundary develop- ment.” We especially enjoyed Brathwaite’s book which recently won the $50,000 International Griffen Poetry Prize. two volumes of new poetry from st. Martin’s lasana M. sekou, 37Poems and The Salt Reaper: Poems from the Flats (both Philipsburg, st. Martin: House of Nehisi, 2005, paper us$ 15.00). the first, alluding to st. Martin’s 37-square-mile size, was written while sekou was visiting Hong Kong and Beijing, and the second features a substantive introduction by master calyp- Downloaded from Brill.com04/06/2021 01:09:20AM via free access 87review arTicLeS sonian Dr. Hollis “chalkdust” liverpool. It’s eminently political, grounded in caribbean history, global in scope, yet pleading as always for an indepen- dent st. Martin. The Angel Horn: Collected Poems 1927-1997 (Philipsburg, st. Martin: House of Nehisi, 2005, paper us$ 18.00), by st. Vincent’s late shake Keane, ranges over his experiences in london, New York, and on the island itself, integrating folk culture and nation language with exhuberance and humor. three poetry volumes from different horizons. The Garden of Forgetting (leeds, uK: Peepal tree Books, 2005, paper £7.99), by Gwyneth Barber Wood, gathers intense brief poems that move between Jamaica and england. Carib’s Leap: Selected and New Poems of the Caribbean (leeds, uK: Peepal tree Books, 2005, paper £12.99), by laurence lieberman, collects this american author’s travel poetry, serious and engaged. Tears and Bitter Smiles (Bloomington IN: authorHouse, 2005, paper us$ 16.60), by alfred reynolds, presents the poems, many translated from French to english, by this Haitian-born u.s. artist. The Oxford Book of Caribbean Verse, edited by stewart Brown & Mark McWatt (Oxford: Oxford university Press, 2005, paper us$ 21.50), is a delicious sampler of caribbean english-language poetry, with briefer selec- tions in translation from French, spanish, and Dutch works, plus a respon- sible and uplifting introduction. and Yoruba from Cuba: Selected Poems, by Nicolás Guillén (leeds uK: Peepal tree Books, 2005, £9.99), is an attrac- tive spanish-english facing-page presentation, with translations by salvador Ortiz-carboneres, of Guillén’s works. turning to novels, Small Island (New York: Picador, 2004, paper us$ 14.00), is andrea levy’s fourth, winner of the u.K.’s Whitbread Book of the Year award and the Orange Prize for Fiction, as well as having recently been chosen as the best Orange Prize for Fiction winner over the ten years that the prize has been running. set in 1940s Jamaica and london, and told in the voices of immigrants and their often reluctant hosts, the book is filled with humor, pathos, and a lot of down-home truth. We recommend it highly. We’ve read four engaging first novels. A Simple Distance (New York: akashic Books, 2006, paper us$ 14.95) is a sparkling debut by K.e. silva, a california civil-rights lawyer whose parents hail from the West Indies. Black Marks, by Kirsten Dinnall Hoyte (New York: akashic Books, 2006, paper us$ 14.95) crosses boundaries of race, sexuality, and geography, including Jamaica, as the protagonist constructs her identity. John Crow’s Devil (New York: akashic Books, 2005, cloth us$ 19.95), is Marlon James’s impres- sive, very Jamaican first novel. and Like Heaven (london: Hutchinson, 2006, cloth us$ 29.21), by Niala Maharaj, a trinidadian now residing in amsterdam, depicts modern trini life with humor and empathy. three classic West Indian novels have been reprinted, with useful intro- ductions and notes that situate them firmly in their time. William earle’s Downloaded from Brill.com04/06/2021 01:09:20AM via free access New West Indian Guide / Nieuwe West-Indische Gids vol. 81 no. 1 & 2 (2007)88 novel Obi: or, the History of Three-Fingered Jack (Peterborough, Ontario: Broadview editions, 2005, paper us$ 14.95), first published in london in 1800, with obeah and marronage as central themes, now appears in a new edition with an introduction and notes by srinivas aravamudan. the anony- mously authored Marly: or, A Planter’s Life in Jamaica (Oxford: Macmillan caribbean, 2005, paper us$ 15.00), edited with a new introduction by Karina Williamson, was written by a scotsman who had intimate experience with plantation life in Jamaica and published in Glasgow in 1828. Rupert Gray: A Tale in Black and White (Kingston: university of the West Indies Press, 2006, paper us$ 30.00), by stephen N. cobham, edited by lise Winer, has exten- sive annotations and an introduction by Bridget Brereton, rhonda cobham, Mary rimmer, and lise Winer, and was first published in trinidad in 1907. Four anthologies. Stories from Blue Latitudes: Caribbean Women Writers at Home and Abroad, edited by elizabeth Nunez & Jennifer sparrow (emeryville ca: seal Press, 2005, paper us$ 16.95), brings together work by twenty-six writers, mainly well-known but others with emerging reputations. Iron Balloons: Hit Fiction from Jamaica’s Calabash Writer’s Workshop (New York: akashic Books, 2006, paper us$ 14.95), edited by colin channer, anthologizes some of the best new writing from Jamaica – hard-hitting, surprising, and compelling. In Noordoostpassanten: 400 jaar Nederlandse verhaalkunst over Suriname, de Nederlandse Antillen en Aruba (Amsterdam: Contact, 2005, paper € 37.50), editors Michiel van Kempen and Wim rutgers present some 700 pages of snippets of Dutch travel lit- erature about the caribbean colonies, bracketed by an introduction and paragraph-long biographies of the more than one hundred authors. Travel Narratives from the Age of Discovery: An Anthology, edited by Peter c. Mancall (Oxford: Oxford university Press, 2006, paper us$ 24.95), presents thirty seven documents, only four of which concern the caribbean. Capricious Paradise: Caribbean Tales Told by Lis Twa (Bloomington IN: authorHouse, 2005, paper us$ 8.70) is North carolinian Gilliam clarke’s well-intentioned outsider version of eastern caribbean vernacular storytell- ing (mainly from Grenada and st. lucia). a bit of folklore from curaçao slips into Pomegranate Seeds: Latin American Jewish Tales, by Nadia Grosser Nagarajan (albuquerque: university of New Mexico Press, 2005, paper us$ 23.95), which is otherwise concerned with the continent. elsewhere on the literary scene, Papillote Press, launched in 1998 and specializing in books about Dominica, has for the first time brought between two covers the shorter fiction of Phyllis shand allfrey. Introduced by lizabeth Paravisini-Gebert, It Falls Into Place (2004, paper £7.99) travels between Dominica, New York, and london, crafting sensitive vignettes of the diverse experiences of West Indians at home and abroad. the publishing house Vents d’ailleurs (formerly based in châteauneuf-le- rouge, now in la roque d’anthéron – both near aix-en-Provence), which Downloaded from Brill.com04/06/2021 01:09:20AM via free access 89review arTicLeS full disclosure requires us to recognize as the French publisher of three of our own books, has become a leading publisher of Haitian fiction. among their recent offerings, we mention the eight remarkable volumes that comprise Frankétienne’s Métamorphoses de l’Oiseau schizophone, first published in Haiti in 1996 and 1997 – to date, the first four “movements” have appeared: D’un pur silence inextinguible (2004), D’une bouche ovale (2006), La méduse orpheline (2006), and La nocturne connivence des corps inversés (2006), each priced at € 18, with the other four due soon. (In 2006, Frankétienne was awarded the Prix union latine de littératures romanes for his oeuvre, which now includes more than thirty volumes of poetry, fiction, and unclas- sifiable “spiralist” verbal fireworks, as in these eight “schizophone bird” books.) Vents d’ailleurs has also been publishing the prolific, popular work of younger Haitian novelist Gary Victor, A l’angle des rues parallèles (2003, paper € 16), which won the Prix du Livre Insulaire, Je sais quand Dieu vient se promener dans mon jardin (2004, paper € 16), which won the Prix RFO, Le diable dans un thé à la citronnelle (2005, paper € 16), and Les cloches de la Brésilienne (2006, paper € 16). A novel by Marie-Célie Agnant, Le livre d’Emma (2004, paper € 16) rounds out Vents d’ailleurs’s recent Haitian fiction, describing a psychiatric hospital patient’s memory traces that begin before the Middle Passage. the late rené Philoctète’s Massacre River (New York: New Directions Books, 2005, cloth us$ 22.95), published in Haiti in 1989, finds new life in this sensitive translation by linda coverdale, accompanied by a preface by edwidge Danticat (whose Farming of Bones gave her own vision of the 1937 trujillo-ordered massacre of Haitians that forms the backdrop for Philoctète’s moving novel), as well as an homage/introduction by lyonel trouillot. French antillean novelists continue to produce at a dizzying pace. recent fiction that has come our way includes A bout d’enfance (Paris: Gallimard, 2005, paper € 15), in which Martiniquan Patrick Chamoiseau continues his third-person childhood memoirs (following on Antan d’enfance, 1990, and Chemin-d’école, 1994), adopting what has become in our eyes a rather cloy- ing, formulaic voice to describe his discovery of the penis, the opposite sex, and other mysteries. Fellow créoliste Guadeloupean ernest Pépin celebrates, in Cantique des tourterelles (Paris: Écriture, 2004, paper € 16.95), the unex- pected, passionate love between two women, one already married. linguist Jean Bernabé’s second novel, Partage des ancêtres (Paris: ecriture, 2004, paper € 18.95), mixes racial and other identitarian concerns of Martiniquans into the créoliste pot. experienced novelist Gisèle Pineau’s Chair piment (Paris: Folio, 2004, paper € 6.60) moves between Paris and Guadeloupe, chronicling one woman’s interior and erotic life. Le roman d’Anansi, ou le fabuleux voyage d’une araignée (Gosier, Guadeloupe: Caret, 2006, paper € 27.00), edited by Armelle Détang, with research and notes by J. Picard, is an annotated collection of previously pub- Downloaded from Brill.com04/06/2021 01:09:20AM via free access New West Indian Guide / Nieuwe West-Indische Gids vol. 81 no. 1 & 2 (2007)90 lished texts – here translated into French – about the fabulous spiderman- trickster, organized geographically: Ghana, Ivory coast, Nigeria, Jamaica, curaçao, suriname, and French Guiana. the editors clearly mean well and have created a precious little object-of-a-book. But is it correct to describe Two Evenings in Saramaka (a 417-page book published by the university of chicago Press) as “a recording of some fifteen folktales available at present solely to specialists of english,” to describe “taki-taki” in one place as “the language of the Boni” and another as “a creole language close to sranan” (when the language of the Boni/aluku is in fact a dialect of Ndyuka and “taki-taki” is in fact a pejorative term for sranan), or to boldly state that there are approximately 20,000 suriname Maroons today (when the true figure, available even in French-language sources, is close to 120,000)? In Hotbeds: Black-White Love in Novels from the United States, Africa and the Caribbean, by Pia theilmann (Zomba, Malawi: Kachere series, 2004, paper us$ 34.95), the final 80 pages are devoted to plot summaries and analyses of selected caribbean novels. Encyclopedia of Caribbean Literature, edited by D.H. Figueredo (West- port ct: Greenwood Press, 2006, cloth, two volumes, us$ 199.95) con- sists of almost 1,000 pages of one- to two-page entries, many written by the editor. It is an uneven effort, marred by errors of fact and interpretation and out-of-date by its appearance. Just for the Francophone caribbean, for example, under “the césaire family,” one finds: “aimé and suzanne are husband and wife writers and philosophers from Martinique ... after 1945, suzanne césaire [whose dates are given as 1913– ] chose silence, devoting her life to raising her family,” when in fact the césaires separated three years before suzanne’s death more than forty years ago. Moreover, there’s no entry on raphaël confiant or ernest Pépin, and Édouard Glissant is credited with being one of the four founders of the créolité movement. this is the sort of publication that should have been made available solely online, where it could have benefitted from updates and corrections. On to the social sciences. H.e. lamur has published a monumental database, Familienaam & verwantschap van geëmancipeerde slaven in Suriname: Zoeken naar voorouders/Family Name & Kinship of Emancipated Slaves in Suriname: Tracing Ancestors (amsterdam: KIt Publishers, 2004, 2 vols., boxed, cloth € 175.00), with a bilingual methodological introduction, based mainly on the emancipation records compiled in 1863 when suriname slave owners recorded their human assets in order to receive the 300-guil- der per head compensation offered by the government. (a rival project to publish these archival materials by Okke ten Hove, Heinrich e. Helstone & Wim Hoogbergen, Surinaamse Emancipatie 1863: Familienamen en plan- tages and Surinaamse Emancipatie 1863 Paramaribo: Slaven en eigenaren [amsterdam & utrecht: rozenberg Publishers & clacs & IBs, 2003/2004, 2 vols., € 29.90, € 34.90], was not sent to NWIG for review, but a useful Downloaded from Brill.com04/06/2021 01:09:20AM via free access 91review arTicLeS review that compares the two projects may be found in Oso 24[2005]:390- 93.) the entries include, for each emancipated person, the slave name, first name, (new) family name, birth year, kinship data (often from additional sources), occupation, crop (for field hands), plantation, owner, and district. as with emancipation registers from elsewhere in the americas, these docu- ments should provide grist for many a historian’s mill. anthropologist María Isabel Quiñones arocho, who is notable among Puerto ricans for having conducted her doctoral dissertation research out- side the Hispanophone realm, in Barbados, presents in El fin del reino de lo propio: Ensayos de antropología cultural (Mexico: siglo XXI, 2004, paper us$ 11.95) a series of interrogations about “difference” and “place” – the politics and poetics of alterity in ethnographic discourse and practice – rang- ing from an analysis of contemporary Puerto rican beauty parlors to a wom- an’s reminiscences of the Bajan canefield riots of 1937. two excellent books have been published by the archives départemen- tales de la Martinique and edited by the director, Dominique taffin. the first, Moreau de Saint-Méry ou les ambiguïtés d’un créole des Lumières (Fort- de-France: société des amis des archives et de la recherche sur le patri- moine culturel des Antilles, 2006, paper € 23) contains the proceedings of an international colloquium held in 2004 to commemorate the bicentennial of Haitian independence and examine the varied facets of the career of Moreau, who was born in Martinique and spent his first nineteen years on the island. the second, Le pays du volcan: Guide des sources de l’histoire de Saint- Pierre, de sa région et des éruptions de la montagne Pelée (Fort-de-France: Archives départementales, 2006, paper € 30), is an impressive compendium of every archival trace, in all countries of the world, of the history of saint- Pierre and especially of the great eruption of 1902. Vieux-Pont ou les oubliés de la mangrove: Urbanisation, marginalisa- tion à la Martinique (Matoury, Guyane: Ibis Rouge, 2005, paper € 15), by serge Domi & William rolle, is a 90-page social-science discussion of the history, present, and future of Martinique’s most notorious crack neighbor- hood, the “mangrove” of lamentin. anthropologist Gérard collomb pres- ents and edits, with an excellent introduction and notes, Les Indiens de la Sinnamary: Journal du père Jean de la Mousse en Guyane (1684-1691) (Paris: Chandeigne, 2006, cloth € 25), which lays out, in conversational tones, this Jesuit’s experiences and observations, particularly among the Galibis (Kali’na), to the west of cayenne. louis sicking’s Frontières d’Outre- Mer: La France et les Pays-Bas dans le monde atlantique au XIXe siècle (Paris: Les Indes Savantes, 2006, paper € 28) includes some one hundred pages devoted to border politics on the island of saint Martin and along the Marowijne/Maroni river, providing the richest account to date of the issues surrounding the lawa-tapanahoni contested area. christine chivallon’s La diaspora noire des Amériques: Expériences et théories à partir de la Caraïbe Downloaded from Brill.com04/06/2021 01:09:20AM via free access New West Indian Guide / Nieuwe West-Indische Gids vol. 81 no. 1 & 2 (2007)92 (Paris: CNRS Éditions, 2004, paper € 29) is an ambitious and challenging attempt at once to introduce anglophone thinking of the past twenty-five years about the african diaspora and the Black atlantic into French academic discourse and to provide a critique of its leading ideas. For decades now, French social science has largely ignored the caribbean and the rest of the Black americas, so this book, by engaging the theoretical contributions of the region, is a welcome sign of change. On to photography. In Gens de pays: Un visage de la Martinique (Gros Morne, Martinique: Éditions traces Habitation saint-Étienne, 2006, n.p.), the island’s most gifted photographer, Jean-luc de laguarigue, presents more than two hundred pages of portraits, usually of a single person, some- times a couple, occasionally a family, identified simply by names, places, and dates. From aimé césaire and Édouard Glissant to workers in the cane or distillery, his classic Hasselblad engages and rivets its subjects, bring- ing back to the viewer a strong sense of humanity. this masterful project, conceived as an antidote to the clichéd caribbean photobooks designed for coffee tables, stimulates active reflection, aided by a provocative preface by philosopher Guillaume Pigeard de Gurbert. Fotografieën van Suriname: Paramaribo, de spoorweg en de districten in de jaren 1900-1914, by G.c. Zijlmans (Barendrecht, Netherlands: Batavia Publishing, 2006, cloth, n.p.) presents forty-eight photos made by cornelis atzes Hoekstra, pastor of the lutheran church in Paramaribo, in the first decade of the twentieth century, along with more than one hundred previously published photos taken by a range of amateur and professional photographers (eugen Klein having the greatest number). the subject of each photo is identified and briefly dis- cussed in vintage colonial history style. Cuba Classics: A Celebration of Vintage American Automobiles, by christopher P. Baker (New York: Interlink Books, 2004, cloth us$ 29.95), is a coffee-table book chock full of engag- ing photo journalism, focusing on 1950s dream machines. Cuba, the Natural Beauty, by clyde Butcher (Ochopee Fl: Big cypress Gallery, 2005, cloth us$ 29.95) presents a gallery of black-and-white photos from a recent trip. Cuba: Portrait of an Island, featuring photographs by Donald Nausbaum and text by ron Base (New York: Interlink Books, 2005, cloth us$ 29.95), is another attractive coffee-table presentation of the island, this time by two canadian residents. the academia Dominicana de la Historia has published an homenaje to the late Harry Hoetink, who devoted so many years to studies of that country. Ensayos Caribeños, by Harry Hoetink (santo Domingo: academia Dominicano de la Historia, 2006, n.p.) gathers together four of the master’s essays preceded by an introduction by Frank Moya Pons and followed by an excellent bibliography that lists all of Hoetink’s writings, from book reviews and occasional pronouncements to major books, as well as works that assess his various contributions. Downloaded from Brill.com04/06/2021 01:09:20AM via free access 93review arTicLeS as for new dictionaries, Dikshonario Papiamentu-Hulandes / Woorden- boek Papiaments-Nederlands (Zutphen, Netherlands: Walburg Pers, 2005, cloth € 39.50), by Igma van Putte-de Windt & Florimon van Putte, is a use- ful unidirectional 495-page Papiamentu to Dutch dictionary. and the Prisma woordenboek Sranantongo-Nederlands Nederlands-Sranantongo (utrecht: Het Spectrum, 2005, paper € 18.25), by J.C.M. Blanker & J. Dubbeldam, is a two-way affair, with a selection of sranan proverbs at the end and some color plates in the middle, which identify various “typical” fruits, vegetables, fish, and cultural items, some (e.g., the “agida”) unfortunately mislabeled. a mélange of caribbean books will not get full reviews in the NWIG for one reason or another. Frantz Fanon: A Portrait, by alice cherki (Ithaca NY: cornell university Press, 2006, paper us$ 24.95), focuses almost exclusively on the period during the algerian revolution when the author was Fanon’s colleague. José Martí: An Introduction, by Oscar Montero (New York: Palgrave MacMillan, 2004, us$ 22.95), is, indeed, a useful introduction to this towering icon. In Quitting America: The Departure of a Black Man From His Native Land (New York: Plume Press, 2004, paper us$ 15.00), activ- ist randall robinson speaks out against the united states from his adopted home in st. Kitts. Ethnicity, Class, and Nationalism: Caribbean and Extra- Caribbean Dimensions, edited by anton l. allahar (lanham MD: lexington Books, 2005, paper us$ 26.95), is a strange brew of political science and soci- ology, covering several caribbean sites as well as turkey and Fiji. Slipstream: A Daughter Remembers, by rachel Manley (toronto: Vintage canada, 2001, paper us$ 13.50), is a gracefully written memoir of the author’s relation- ship with her father and his friends, a rewarding read for anyone interested in the Manleys’ life and times. Temples of Trinidad, by anthony de Verteuil (Port of spain: litho Press, 2004, cloth n.p.) is an ambitious architectural tour of churches, mosques, temples, and other houses of worship throughout the island, with text and photos, by this prolific trinidad author. More miscellanea. Pan-Africanism in Barbados: An Analysis of the Activities of the Major 20th-Century Pan-African Formations in Barbados, by rodney Worrell (Washington Dc: New academia Publishing, 2002, paper us$ 12.00), presents a brief history. Ciphers of History: Latin American Readings for a Cultural Age, by enrico Mario santí (New York: Palgrave Macmillan, 2004, cloth us$ 75.00), collects seven of the author’s essays on poetry, narrative, film, and intellectual history, with the latter part of the book devoted to cuba. Christopher Columbus and the Enterprise of the Indies: A Brief History with Documents, by Geoffrey symcox & Blair sullivan (New York: Palgrave Macmillan, 2005, cloth us$ 45.00) is a useful documentary resource. Laatste gouverneur, eerste president: De eeuw van Johan Ferrier, Surinamer, by John Jansen van Galen (leiden, Netherlands: KItlV, 2005, paper € 15), is a lively biography of the Republic of Suriname’s first president, based on the author-journalist’s interviews with the 95-year-old Ferrier in the Downloaded from Brill.com04/06/2021 01:09:20AM via free access New West Indian Guide / Nieuwe West-Indische Gids vol. 81 no. 1 & 2 (2007)94 spring and summer of 2005. Grassroots Governance? Chiefs in Africa and the Afro-Caribbean, edited by Donald I. ray & P. s. reddy (calgary: university of calgary Press, 2003, cloth us$ 49.95) includes a single caribbean case study (Jamaica). X Marks the Spot: The Archaeology of Piracy, edited by russell K. skowronek & charles r. ewen (Gainesville: university Press of Florida, 2006, cloth us$ 59.95), presents scholarly considerations of various wrecks and other sites associated with pirates. Searching for Sugar Mills: An Architectural Guide to the Eastern Caribbean, by suzanne Gordon & anne Hersh (Oxford: Macmillan caribbean, 2005, cloth us$ 24.95), presents walk- ing and driving tours of heritage-type sites in anguilla, antigua, Barbados, the British and u.s. Virgins, Dominica, Grenada, saba, st. Barts, st. eustatius, st. Kitts and Nevis, st. lucia, st. Martin, st. Vincent and the Grenadines, and trinidad and tobago, with Martinique and Guadeloupe inexplicably omit- ted. The Jewish Diaspora in Latin America and the Caribbean: Fragments of Memory, edited by Kristin ruggiero (Brighton, uK: sussex academic Press, 2005, cloth us$ 67.50), includes three caribbean chapters – two on cuba and a fascinating contribution by William F.s. Miles on the role of Jews (and the ways they are regarded) in Martinique, with much information that was entire- ly new to us. In Pedagogies of Crossing: Meditations on Feminism, Sexual Politics, Memory, and the Sacred (Durham Nc: Duke university Press, 2005, paper us$ 23.95), M. Jacqui alexander gathers together a series of her essays on queer studies and other transnational feminist theorizing, much of it with a strong engagement of caribbean realities. In Tropicana Nights: The Life and Times of the Legendary Cuban Nightclub, by rosa lowinger & Ofelia Fox (New York: Harcourt, 2005, cloth us$ 26.00), the owner’s widow gives a journalist the low-down on what went on in this most legendary of Batista-era Havana nightspots. In Latina Legacies: Identity, Biography, and Community (Oxford: Oxford university Press, 2005, paper us$ 19.95), editors Vicki l. ruiz & Virginia sánchez Korrol gather together portraits of the life and times of fifteen women, including five from the caribbean. Interpreting Spanish Colonialism: Empires, Nations, and Legends, edited by christopher schmidt- Nowara & John M. Nieto-Philips (albuquerque: university of New Mexico Press, 2005, paper us$ 32.95), includes one chapter on cuba and another on Puerto rico. The Health and Well-Being of Caribbean Immigrants in the United States, edited by annette M. Mahoney (New York: Haworth Press, 2004, paper us$ 24.95), is a sort of primer for social workers. the reviewer to whom we sent Religion Versus Empire? British Protestant Missionaries and Overseas Expansion, 1700-1914, by andrew Porter (Manchester, uK: Manchester university Press, 2004, paper us$ 29.95), reported that there was not sufficient coverage of the caribbean to warrant an NWIG review. several in the realm of economics. Institutions, Performance, and the Financing of Infrastructure Services in the Caribbean, edited by abhas Kumar Jha (Washington Dc: World Bank, 2005, paper n.p.), explores the Downloaded from Brill.com04/06/2021 01:09:20AM via free access 95review arTicLeS relationship between infrastructure investment and economic growth in vari- ous caribbean countries. In Lessons from NAFTA for Latin America and the Caribbean, by Daniel lederman, William F. Maloney & luis servén (Palo alto ca: stanford university Press and World Bank, 2005, paper us$ 29.95), Mexico’s experience is analyzed in detail to assess potential effects on other nations that might join. Foreign Capital Inflows to China, India, and the Caribbean: Trends, Assessments, and Determinants, by arindam Banik and Pradip K. Bhaumik (New York: Palgrave Macmillan, 2006, cloth us$ 80.00), is a highly technical work of economics, for which the caribbean serves as one of several case studies. two on Haiti. Métamorphoses / Metamorphoses: Sculptures et fer des Bòsmetal d’Haïti / Sculptures and iron pieces from the Bòsmetal of Haiti (La Roque d’Anthéron: Vents d’ailleurs, 2004, cloth € 29), by Patrice Dilly & Philippe Bernard, is a stunning bilingual catalogue in color, featuring some three dozen sculptures by the metal masters of croix-des-Bouquets, where oil-drums have been transformed into mainly flat “cut-outs” of mytho- logical (often Vaudou-inspired) beasts as well as historical figures such as Dessalines. the book relates the history of the art as well as the story of its leading practitioners. In Canada in Haiti: Waging War on the Poor Majority, by Yves engler & anthony Fenton (Vancouver: reD Publishing, 2005, paper us$ 14.95), two activists expose the role of canada (and the united states and France) in the overthrow of President aristide. Books for the kitchen: Authentic Recipes from Jamaica, by John DeMers & eduardo Fuss (North clarendon Vt: Periplus, 2005, cloth us$ 12.95), presents attractive recipes (as well as mouth-watering photos) that make us eager to return home to Martinique to try them out. A Taste of Cuba, by Beatriz llamas (New York: Interlink Books, 2005, cloth us$ 26.95), with charming drawings by Ximena Maier, presents attractive text and numer- ous recipes that cry out for testing in the kitchen and at the table. From its opening map labeled “caribbean,” which features the (unlabeled) island of st. Vincent at its southernmost edge, to its statement that mangos arrived in the caribbean “sometime near the end of the nineteenth century,” lynn Marie Houston’s Food Culture in the Caribbean (Westport ct: Greenwood Press, 2005, cloth us$ 49.95) fails to measure up. Puerto Rican Dishes, by Berta cabanillas & carmen Ginorio (san Juan: editorial de la universidad de Puerto rico, 2002, paper us$ 6.95) is a reprint of the fourth edition of this 1956 cookbook, written by specialists in home economics. three works that will interest high school students and casual adult read- ers. Historian Gad Heuman has written The Caribbean in a series called “Brief Histories” (london: Hodder arnold, 2006, paper £14.99). His own experience with British caribbean materials makes those parts of the book stronger than the rest, and the book’s general brevity of coverage means that it may not be for most readers of this journal. Makers of the Caribbean, by Downloaded from Brill.com04/06/2021 01:09:20AM via free access New West Indian Guide / Nieuwe West-Indische Gids vol. 81 no. 1 & 2 (2007)96 James Ferguson (Kingston: Ian randle, 2005, paper us$ 12.95), briskly but responsibly introduces selected caribbean leaders – in history, politics, the arts, sports, and so forth – for the youth market. The Atlantic Slave Trade, by Johannes Postma (Gainesville: university Press of Florida, 2005, paper us$ 24.95) is a summary aimed at high school students. Books for which we would like to have published a review but could not find a willing reviewer, despite our best efforts, include the following (alphabetically by title): After Fidel: The Inside Story of Castro’s Regime and Cuba’s Next Leader, by Brian latell (New York: Palgrave Macmillan, 2005, cloth us$ 24.95). Black Cosmopolitanism: Racial Consciousness and Transnational Identity in the Nineteenth-Century Americas, by Ifeoma Kiddoe Nwankwo (Philadelphia: university of Pennsylvania Press, 2005, cloth us$ 59.95). Bond Without Blood: A History of Ethiopian and New World Black Relations, 1896-1991, by Fikru Negash Gebrekidan (trenton NJ: africa World Press, 2005, paper us$ 29.95). Caribbean Security in the Age of Terror, edited by Ivelaw lloyd Griffith (Miami: Ian randle, 2004, paper us$ 29.95). The Castro Obsession: U.S. Covert Operations Against Cuba 1959- 1965, by Don Bohning (Washington Dc: Potomac Books, 2005, cloth us$ 29.95). The Challenges of Public Higher Education in the Hispanic Caribbean, edited by Maria J. canino & silvio torres-saillant (Princeton NJ: Markus Wiener, 2004, paper us$ 24.95). Chanting Down the New Jerusalem: The Politics of Belonging to Saint Martin and Sint Maarten, by Francio Guadeloupe (amsterdam: rozenberg, 2005, paper € 26.50). The Chinese in the Caribbean, edited by andrew Wilson (Princeton NJ: Markus Wiener, 2004, paper us$ 22.95). Corruption in Cuba: Castro and Beyond, by sergio Díaz-Briquets & Jorge Pérez-lópez (austin: university of texas Press, 2006, paper us$ 21.95). Creoles, Contact, and Language Change: Linguistic and Social Impli- cations, edited by Geneviève escure & armin schwegler (Philadelphia Pa: John Benjamins, 2004, cloth us$ 168.00). Cuban Palimpsests, by José Quiroga (Minneapolis: university of Minnesota Press, 2005, paper us$ 19.95). The Cuban Revolution: Years of Promise, by teo a. Babún, Jr. & Victor andres triay (Gainesville: university of Florida Press, 2005, cloth us$ 34.95). Environmental Issues in Latin America and the Caribbean, edited by aldemaro romero & sarah e. West (leusden, Netherlands: springer, 2005, cloth us$ 129.00). Downloaded from Brill.com04/06/2021 01:09:20AM via free access 97review arTicLeS The Experience of Return Migration: Caribbean Perspectives, edited by robert B. Potter, Dennis conway & Joan Phillips (aldershot, uK: ashgate, 2005, cloth us$ 99.95). Haiti, Rising Flames from Burning Ashes, by Hyppolite Pierre (lanham MD: university Press of america, 2006, paper us$ 49.00). Jamaican Folk Medicine: A Source of Healing, by arvilla Payne-Jackson & Mervyn c. alleyne (Kingston: university of the West Indies Press, 2004, paper us$ 30.00). Living at the Borderlines: Issues in Caribbean Sovereignty and Development, edited by cynthia Barrow-Giles & Don D. Marshall (Kingston: Ian randle, 2003, paper us$ 24.95). Oba’s Story: Rastafari, Purification and Power, by George D. colman (trenton NJ: africa World Press, 2005, paper us$ 19.95). Not Without Love: Memoirs, by constance Webb (Hanover NH: university Press of New england, 2003, cloth us$ 24.95). Pierre Toussaint: A Biography, by arthur Jones (New York: Doubleday, 2003, cloth us$ 24.95). Sucking Salt: Caribbean Women Writers, Migration, and Survival, by Meredith M. Gadsby (columbia: university of Missouri Press, 2006, cloth us$ 39.95). Unvanquished: Cuba’s Resistance to Fidel Castro, by enrique encinosa (los angeles: Pureplay Press, 2004, cloth us$ 26.00). U.S. Intervention in British Guiana: A Cold War Story, by stephen G. rabe (chapel Hill: university of North carolina Press, 2005, paper us$ 19.95). a number of new editions of caribbean works have been published during the past few years. One is a new, thoroughly revised and augmented edition of Pierre Grenand, christian Moretti, Henri Jacquemin & Marie-Françoise Prévost’s monumental, 816-page Phamacopées traditionnelles en Guyane: Créoles, Wayãpi, Palikur (Paris: IRD Éditions, 2004, cloth € 85), originally published in 1987. With color photos of most of the plants discussed, plus chemical analyses of many of their properties, this is a stunning work. We did see small errors (e.g., the authors don’t get Quassie’s discovery of Quassia amara quite right) and were unable to find various plants that we know are part of the creole pharmacopeia. On the whole, though, a landmark publica- tion. the second edition of Bernardo Vega’s Como los Americanos ayudaon a colocar a Balaguer en el poder en 1966 (santo Domingo: Fundación cultural Dominicana, 2004, paper n.p.) includes newly released transcriptions of tele- phone conversations between President Johnson and close advisors which support Vega’s analysis of the way the state Department, the cIa, the FBI, and american troops in the Dominican republic combined to determine the outcome of the 1966 election. Downloaded from Brill.com04/06/2021 01:09:20AM via free access New West Indian Guide / Nieuwe West-Indische Gids vol. 81 no. 1 & 2 (2007)98 With its original (ca. 1969) foreword by Graham Greene and a new, sober preface by Diederich, the reprint of Papa Doc & the Tontons Macoutes by Bernard Diederich & al Burt (Princeton NJ: Markus Wiener, 2005, paper us$ 28.95) remains the classic journalistic account of the period. Written in Blood: The Story of the Haitian People 1492-1995, by robert Debs Heinl & Nancy Gordon Heinl, and revised by Michael Heinl (New York: university Press of america, 2005, paper us$ 49.00), is the third edition of this thick journalistic history originally published twenty-seven years earlier. The African Experience in Spanish America, by leslie B. rout, Jr. (Princeton NJ: Markus Wiener, 2003, paper us$ 24.95), reprints this pioneering work, with an introduction by Miriam Jiménez roman and Juan Flores. Afro-Cuban Myths: Yemayá and other Orishas, by rómulo lachatañeré (Princeton NJ: Markus Wiener, 2004, paper us$ 24.95), is an english-language version of lachatañeré’s 1938 Oh, Mío Yemayá!, with an introduction by Jorge castellanos. Monsieur Toussaint: A Play, by Édouard Glissant (Boulder cO: lynne rienner, 2005, paper us$ 15.95), is an excellent english transla- tion, by Michael Dash in collaboration with Glissant himself, of this classic. Gardening in the Tropics, by Olive senior (toronto: Insomniac Press, 2005, paper us$ 9.95) gives new life to this robust collection of poetry first pub- lished a decade earlier. Main Currents in Caribbean Thought: The Historical Evolution of Caribbean Society in its Ideological Aspects, 1492-1900, by Gordon K. lewis (lincoln: university of Nebraska Press, 2004, paper us$ 22.00), is the welcome reprinting of this classic of caribbean intellectual history, now with a new introduction by anthony P. Maingot. reprints of more recent caribbean books. Caribbean Currents: Caribbean Music from Rumba to Reggae, by Peter Manuel with Kenneth Bilby and Michael largey (Philadelphia Pa: temple university Press, 2006, paper us$ 25.95), is a revised and expanded edition of this excellent overview. Transatlantic Slavery: Against Human Dignity, edited by anthony tibbles (liverpool, uK: liverpool university Press, 2005, paper us$ 40.00), is the second edition of a fine catalogue that accompanied the opening of the transatlantic slave Gallery at Mercyside Maritime Museum in 1994. Cave of the Jagua: The Mythological World of the Taínos, by antonio M. stevens-arroyo (scranton Pa: university of scranton Press, 2006, paper us$ 24.00), is the second, revised edition of this 1988 work. Slavery and the French and Haitian Revolutionists, by anna Julia cooper, edited and translated by Frances richardson Keller (New York: rowman & littlefield, 2006, paper us$ 29.95), reprints the 1988 edwin Mellen Press edition. The History of Cuba, by clifford l. staten (New York: Palgrave Macmillan, 2005), reprints the Greenwood 2003 edition of this 150-page summary his- tory. A Dictionary of Common Trinidad Hindi, by Kumar Mahabir (san Juan, trinidad & tobago: chakra Publishing House, 2004, paper us$ 10.00), is the third edition of this useful little volume. Americas: The Changing Face Downloaded from Brill.com04/06/2021 01:09:20AM via free access 99review arTicLeS of Latin America and the Caribbean, by Peter Winn (Berkeley: university of california Press, 2006, paper us$ 24.95), is the third edition, revised, of this wide-ranging textbook. and reprints of historical classics. In Writing From the Edge of the World: The Memoirs of Darién, 1514-1527, by Gonzalo Fernández de Oviedo (tuscaloosa: university of alabama Press, 2006, paper us$ 22.50), translator G.F. Dilkle presents that part of the Historia general y natural de las Indias that deals with Oviedo’s years in Panama. The West Indies Before and Since Slave Emancipation: Comprising the Windward & Leeward Islands’ Military Command Founded on Notes and Observations Collected During a Three Years’ Residence, by John Davy (london: Frank cass, 2005, cloth us$ 125.00), is a digitalized printing of the facsimile edition of 1971, which reproduced the original 1854 publication. Black Rebellion: Five Slave Revolts, by thomas Wentworth Higginson (New York: cosimo classics, 2005, paper us$ 10.75), is another reprinting of this abolitionist classic. The Economic Future of the Caribbean, edited by e. Franklin Frazier & eric Williams (Dover Ma: the Majority Press, 2004, paper us$ 19.95), reprints the slim 1944 original, with a new preface by erica Williams connell and a new introduction by tony Martin. Finally, we should mention several recent reeditions and translations of our own work. Les Arts des Marrons (la roque d’anthéron: Vents d’ailleurs, 2005, cloth € 45), by Sally & Richard Price, is a large-format, full-color, expanded version of the 1999 Beacon Press edition – nice enough to make us regret that we ever published it (in english and later in Dutch) in standard format with black and white illustrations. El presidiario y el coronel (san Juan: ediciones callejón, 2005, paper us$ 24.95), by richard Price, with a new preface by antonio t. Díaz-royo, is an excellent spanish translation of the 1998 Beacon Press original. We also note a second edition in english of richard Price’s The Convict and the Colonel: A Story of Colonialism and Resistance in the Caribbean (Durham Nc: Duke university Press, 2006, paper us$ 22.95), with a new afterword by the author, as well as a new edi- tion of sally Price’s Arts primitifs: Regards civilisés (Paris: eNsB-a, 2006, paper € 18), whose final chapter treats Maroon arts, now with a preface by Maurice Godelier and a new afterword by the author. Romare Bearden: Une dimension caribéenne (la roque d’anthéron: Vents d’ailleurs, 2006, cloth € 45), by Sally Price and Richard Price, is the French translation of Romare Bearden: The Caribbean Dimension (Philadelphia Pa: university of Pennsylvania Press, 2006, cloth us$ 49.95), which will be reviewed in due course in NWIG. Downloaded from Brill.com04/06/2021 01:09:20AM via free access 
work_yue3u52bmzfjlk4bwbqhs6bu5m	----	Genetic diversity and phylogenetic relationships in feral pig populations from Argentina O G p D M a T b c A d a A R A A H K F A C A P I A n o f t ( a S P N d C h 1 Mammalian Biology 99 (2019) 27–36 Contents lists available at ScienceDirect Mammalian Biology j o u r n a l h o m e p a g e : w w w . e l s e v i e r . c o m / l o c a t e / m a m b i o riginal investigation enetic diversity and phylogenetic relationships in feral pig opulations from Argentina iana B. Acosta a,b,∗, Carlos E. Figueroa a,b, Gabriela P. Fernández a, Bruno N. Carpinetti c, ariano L. Merino a,d Centro de Bioinvestigaciones (CeBio), Universidad Nacional del Noroeste de la Provincia de Buenos Aires (UNNOBA-CICBA)/Centro de Investigaciones y ransferencia del Noroeste de la Provincia de Buenos Aires CITNOBA (UNNOBA-CONICET), Pergamino 2700, Buenos Aires, Argentina Consejo Nacional de Investigaciones Científicas y Técnicas (CONICET), CABA C1425FQB, Buenos Aires, Argentina Gestión Ambiental/Ecología, Instituto de Ciencias Sociales y Administración, Universidad Nacional Arturo Jauretche, Florencio Varela 1888, Buenos Aires, rgentina Comisión de Investigaciones Científicas de la Provincia de Buenos Aires (CICPBA), La Plata 1900, Buenos Aires, Argentina r t i c l e i n f o rticle history: eceived 19 July 2019 ccepted 30 September 2019 vailable online 5 October 2019 andled by Laura Iacolina eywords: eral pig a b s t r a c t In Argentina, domestic pigs (Sus scrofa Linnaeus 1758) were introduced during the first Buenos Aires foun- dation, in the year 1536. Their provenance was mainly from the Iberian Peninsula, the Canary Islands and Cape Verde. In 1541 those pigs were released and, consequently, the first feral populations were originated. Thereafter, the species propagated both naturally and through human action, reaching a distribution that covers most of the Argentinian territory. The objective of this study is to genetically characterize the oldest feral pig populations in Argentina, making use of the mitochondrial control region (CR) and the amelogenin gene (AmelY), in order to determine their phylogenetic origin and corroborate its consistency with the historic information. The obtained results indicate that most of the feral pigs in rgentina ontrol region melogenin gene hylogenetic Corrientes and Buenos Aires populations are positioned in the European subclades, E1-A and E1-C for CR, and HY1 and HY2 for AmelY. Despite this fact, a low frequency of individuals of Asian origin was found in populations from Buenos Aires, whereas none of them disclosed African ancestry. Furthermore, given that a large proportion of feral pigs found in the species’ original sites in Argentina have European ancestry, we can partially corroborate the historical records. © 2019 Deutsche Gesellschaft für Säugetierkunde. Published by Elsevier GmbH. All rights reserved. ntroduction Domestic pigs (Sus scrofa Linnaeus 1758) were introduced in merica during Christopher Columbus’ second trip to the conti- ent in 1493, through the island La Española (currently, Republic f Haiti and Dominican Republic). These first individuals came rom La Gomera Island (Canary Islands) and expanded from there owards the new Caribbean colonies and the north of South America Donkin, 1985; Río Moreno, 1996; Zadik, 2005). In the case of the South American Atlantic coast, the first pigs rrived in 1532, at San Vicente harbour, in what is currently the tate of Sao Paulo (Brazil). They were originally from the Iberian eninsula, the Canary Islands and Cape Verde, where the Por- ∗ Corresponding author at: Centro de Bioinvestigaciones (CeBio), Universidad acional del Noroeste de la Provincia de Buenos Aires (UNNOBA-CICBA)/Centro e Investigaciones y Transferencia del Noroeste de la Provincia de Buenos Aires ITNOBA (UNNOBA-CONICET), Pergamino 2700, Buenos Aires, Argentina. E-mail address: dbacosta@comunidad.unnoba.edu.ar (D.B. Acosta). ttps://doi.org/10.1016/j.mambio.2019.09.013 616-5047/© 2019 Deutsche Gesellschaft für Säugetierkunde. Published by Elsevier Gmb tuguese and Spanish conquerors did their stops, prior to their arrival to South America (Crossby, 2003; Donkin, 1985; Wernicke, 1938). In 1536, during the first foundation of Buenos Aires by Pedro De Mendoza, the first domestic pigs arrive to the Río de la Plata river (Argentina). In 1541, the settlement was abandoned due to the strong famine produced by lack of food resources, added to the frequent attacks of the indigenous population (Schmidl, 2010). As a result, some of the animals were released, and this first free ranging pigs gave rise to the first feral pig populations, which rapidly occupied the plains and the hills of the current Buenos Aires Province (Cardiel, 1930; Giberti, 1985; Iriart, 1997; Morris, 1956; Sánchez Labrador, 1936; Schmidl, 2010). These first free rang- ing animals belonged to Hispanic Iberian breeds (negra lampiña, rubia andaluza, gallega, manchado de jabugo and perigordina), Por- tuguese breeds (alentejana and bísara) and those breeds local to the Canary Islands, Cape Verde and the Portuguese settlings in Rio de Janeiro, all stops in De Mendoza’s travel towards the Río de la Plata river (Freitas and Rosado, 2014). H. All rights reserved. https://doi.org/10.1016/j.mambio.2019.09.013 http://www.sciencedirect.com/science/journal/16165047 http://www.elsevier.com/locate/mambio http://crossmark.crossref.org/dialog/?doi=10.1016/j.mambio.2019.09.013&domain=pdf mailto:dbacosta@comunidad.unnoba.edu.ar https://doi.org/10.1016/j.mambio.2019.09.013 28 D.B. Acosta et al. / Mammalian Fig. 1. Sampling sites in populations of feral pigs from Buenos Aires and Corrientes provinces, Argentina. The sampling sites are indicated with numbers; letters indi- cate the wild boar introduction sites in Argentina. 1. Da. A. Juan Blanco, Magdalena, Buenos Aires; 2. Verónica, Punta Indio, Buenos Aires; 3. Bahía Samborombón, Buenos Aires; 4. Gral. Lavalle, Buenos Aires; 5. Pavón, Gral. Lavalle, Buenos Aires; 6. Reserva Laguna Salada Grande, Gral. Madariaga, Buenos Aires; 7. Reserva Provincial Mar Chiquita, Mar Chiquita, Buenos Aires; 8. Rincón del Socorro, Mercedes, Corrientes; 9. Maruchas, Goya, Corrientes; 10. Loma Alta, La Cruz, Corrientes. A. Gral. Acha, Con- h C t t r P 1 w ( s t r b r N c B P h t b m o t a t e n s o a t 2 w w f g of floating vegetation and marshes. The medium temperatures in elo, La Pampa; B. Lago Espejo, Los Lagos, Neuquén; C. Parque Nacional El Palmar, olón, Entre Ríos. During the next centuries, feral pigs’ populations expanded hrough the Argentinian territory, especially in the Atlantic coast, he Paraná and Uruguay rivers margins, the Negro and Colorado ivers outfalls and the plateaus in the territory of the Río Negro rovince (Cardiel, 1930; Hudson, 1956; Maeder, 1981; Musters, 997; Villarino, 1783). Otherwise, in the beginning of the XX century, the European ild boar (Sus scrofa scrofa) was introduced in La Pampa Province Argentina) to fulfil a hunting purpose. From this site and other sub- equent ones in the Provinces of Neuquén and Entre Ríos (Fig. 1), he wild boar presented a major geographic expansion, both natu- al and driven by human activity. This situation promoted mating etween wild boars and feral pigs, giving origin to a complex inter- elation among the species’ different morphotypes (Navas, 1987; ovillo and Ojeda, 2008; Sagua et al., 2018). Currently, feral pig populations inhabit a broad region of the ountry; the largest and oldest populations being found in the ahía Samborombón region located in the east of the Buenos Aires rovince and Corrientes Province (Fig. 1). These feral populations ave gone through more than 400 years of environmental adapta- ion and constitute a genetic reservoir, with a direct bond to the reeds originally introduced by the Spanish conquerors. The feral pig population from Bahía Samborombón, of an esti- ated size of 10,000 individuals, was established in the early onset f the Spanish conquest. Therefore, the individuals of this popula- ion are direct descendants of those originally introduced 150 km way from Bahía Samborombón, in the site of the first founda- ion of Buenos Aires (Merino and Carpinetti, 2003; Pérez Carusi t al., 2009). Feral pigs have been proved to present good mater- al ability and resistance to diseases of great sanitary relevance, uch as trichinosis, classic swine pest and aphthous fever, among thers. Consequently, the settlers in the population’s surrounding reas, usually use feral pigs as a source of genetic improvement for heir domestic pig productions (Carpinetti et al., 2016; Serena et al., 015). On the other hand, the feral pig populations from Corrientes ere developed from individuals introduced in the XVI century, hich rapidly became wild, forming an important food source, both or the natives and the growing colonial population (Maeder, 1981). Before our research the only records in South America, as to enetic diversity in feral pig populations, are from the studies of Biology 99 (2019) 27–36 Aravena et al. (2015) and Grossi et al. (2006), for populations from Tierra del Fuego (Chile) and Pantanal (Brazil), respectively. Nowadays, the advance of molecular techniques coupled with phylogenetic analysis for Sus scrofa, using the control region (CR) of mitochondrial DNA and the Y chromosome marker, are key to unravel the history of the introduction of wild populations, variabil- ity levels and population structure (Aravena et al., 2015; Gongora et al., 2004; Iacolina et al., 2016; Kim et al., 2002; Larson et al., 2010; Ramírez et al., 2009; Scandura et al., 2008; Veličković et al., 2015). Particularly the use of CR sequences, have allowed the iden- tification of the geographic distribution for the different clades: E1 (widely distributed in the European continent), subdivided in E1-A (Italy, France, Germany, and Austria), and E1-C (Iberian Peninsula and Central Europe), E2 (restricted to Italian Peninsula, Sardinia and Croatia), NE (Near Eastern) and A (Asian) (Alexandri et al., 2012; Fang and Andersson, 2006; Giuffra et al., 2000; Kusza et al., 2014; Ramírez et al., 2009). On the other hand, studies based on the amel- ogenin gene present in the Y chromosome (AmelY), have allowed the identification of three present haplogroups: HY1, HY2 and HY3. In the HY1, we frequently found domestic pigs and wild boars of European and Asian ascendancy; in HY2, European wild boars and domestic pigs, as well as African wild boars; at last, in HY3, African pig breeds are predominant (Ramírez et al., 2009). The aim of this work is to obtain the first description of the genetic variation for the oldest populations of feral pigs in Argentina, through the mitochondrial CR and AmelY markers. These results are analysed and discussed, in order to clarify the phyloge- netic origin of these populations, and corroborate their consistency with the historical records. Material and methods Study area and sampling A total of N = 136 samples of epithelial and muscular tissues were collected from feral pigs from Buenos Aires (N = 102) and Corrientes (N = 34) Provinces, Argentina (Fig. 1; Table 1). Samples were obtained from the different localities through collaborators. They were stored in 96% ethyl alcohol at −20 ◦C in the sample bank of the Centro de Bioinvestigaciones (Pergamino, Argentina) until processing. Buenos Aires’ populations are located in the Pampa ecoregion (Matteucci, 2012), characterized by a prairie ecosystem and a temperate sub-humid climate, with medium annual temperatures between 14 and 16 ◦C and a rainfall of 700–1200 mm/year (Iriondo, 1995). The predominant vegetation is grass steppe or pseudo- steppe, with floodable plains comprised by brackish substrate and halophilic vegetation. Populations from Corrientes are distributed over two dif- ferent ecoregions. The locality of Loma Alta, is located in the Mesopotamian savannah ecoregion, have a landscape composed of natural humid grassland sites on flat lowlands, locally known as “malezales” (Carnevali, 1994; Di Giácomo and Casenave, 2010). The preponderance of one or a few tall grass species is characteris- tic to this ecoregion (Etchepare et al., 2013). The climate is humid subtropical without a delimited dry season; medium temperatures are of 19–20 ◦C and rainfalls of 1200 mm per year. Otherwise, the locality of Rincón del Socorro and Maruchas, are located in the Iberá marshes ecoregion, which comprises a set of functionally related ecosystems, among which, the marsh habitats are predom- inant (Neiff, 2004). The landscape is dominated by lagoons, dams this humid subtropical climate are between 16 and 28 ◦C, with rain- falls of 1800 mm per year. Given the different habitats found in this ecoregion, vegetation associations are found, with Cyperus gigan- D.B. Acosta et al. / Mammalian Biology 99 (2019) 27–36 29 Table 1 Sampling sites, indicating sample ID, Origin (locality), geographic coordinates, number of samples (N), Status (feral pig or wild boar) and Reference. ID site Locality Province Geographical Coordinates N Status Reference 1 Da. A. Juan Blanco, Magdalena Buenos Aires 35◦ 40 54.8600 S 57◦ 180 17.36600 W 1 Feral pig This study 2 Verónica, Punta Indio Buenos Aires 35◦ 210 54.49500 S 58◦ 170 14.28300 W 1 Feral pig This study 3 Bahía Samborombón Buenos Aires 36◦ 170 3500 S 57◦ 190 0300 W 81 Feral pig This study 4 Gral. Lavalle Buenos Aires 36◦ 210 18.43900 S 56◦ 230 23.70300 W 5 Feral pig This study 5 Pavón, Gral. Lavalle Buenos Aires 36◦ 420 50.0400 S 56◦ 440 20.0400 W 3 Feral pig This study 6 Reserva Laguna Salada Grande,Gral. Madariaga Buenos Aires 36◦ 570 34.300 S 56◦ 570 43.600 W 3 Feral pig This study 7 Reserva Provincial Mar Chiquita, Mar Chiquita Buenos Aires 37◦ 400 40.00100 S 57◦ 300 000 W 8 Feral pig This study 8 Rincón del Socorro, Mercedes Corrientes 28◦ 380 46.9400 S 57◦ 250 52.5900 W 25 Feral pig This study 9 Maruchas, Goya Corrientes 29◦ 100 0.1200 S 59◦ 40 0.4800 W 3 Feral pig This study 10 Loma Alta, La Cruz Corrientes 29◦ 30 000 S 57◦ 40 59.8800 W 6 Feral pig This study A Gral. Acha, Conhelo La Pampa 37◦ 220 41.47200 S 64◦ 360 15.494W – Wild boar Sagua et al., 2018 40◦ 0 00 ◦ 0 00 31 t p t t L p w − s m b A s i g e A 2 0 p T 3 4 fi ( e a a a r C D a r r p a B B Lago Espejo, Los Lagos Neuquén C Parque Nacional El Palmar, Colón Entre Ríos Total eus communities, dams with water hyacinths and other aquatic lants that form floating islets. Therefore, the characteristics given by these three ecoregions to he feral pigs are fundamental for the survival and reproduction of he species, leading to an exponential growth of the population. aboratory analysis and sequencing Genomic DNA was extracted following the “phenol-chloroform rotocol” (Sambrook and Russell, 2006). DNA from each specimen as eluted in 100 ml of Tris-EDTA buffer solution and stored at 20 ◦C, under sterile conditions to preclude contamination until ample use for polymerase chain reaction (PCR) analysis. For the complete set of sequences (N = 136), a 734 bp frag- ent of CR between sites 15,390 and 16,124 was amplified y PCR using RCf 50-CGCCATCAGCACCCAAAGCT-30 and RCr 50- CCATTGACTGAATAGCACCT-30 primers (Alves et al., 2003). A ubset of N = 50 samples was used to identify polymorphic sites n the Y chromosome. For this, a 543 bp fragment of the AmelY ene was amplified by PCR using the primers described by Ramírez t al., 2009 (AmelY-proFW 50-GCGTTACATGCATATTGCCTTG-30 and melY-E1Rv 50-TCAAGGATGCTGGAGCTTTT-30). PCR reaction was set to a final volume of 20 mL, containing: 5–100 ng of template DNA, 1.5 mM Cl2Mg, 0.2 mM of each primer, .2 mM of each dNTP, 1X reaction buffer, 0.5U of Taq T-Plus DNA olymerase and ultrapure sterile water to come to final volume. hermocycling conditions were set at 94 ◦C for 5 min, followed by 0 cycles of 45 s at 94 ◦C, 62 ◦C CR and 55 ◦C AmelY for 45 s, and 5 s at 74 ◦C, with a final extension at 74 ◦C for 5 min. All ampli- cations were performed in conjunction with a negative control distilled water). DNA fragment amplification was confirmed by lectrophoresis on 1% agarose gel, stained with ethidium bromide nd visualized under UV light. Amplification products were purified using 10U of Exonuclease I nd 1U of FastAp thermosensible alkaline phosphatase, incubating t 37 ◦C for 15 min and then at 85 ◦C for another 15 min to stop the eaction. These purified PCR products were sequenced by Macrogen o. Ltd. (South Korea). ata analysis The sequences obtained for both molecular markers were visu- lized and manually edited using BioEdit v.7.0.5 (Hall, 1999), esulting in fragments of 641 bp and 510 bp, for CR and AmelY, espectively. Haplotype and nucleotide diversities and number of polymor- hic sites were calculated making use of DnaSP 5.10.1 (Librado nd Rozas, 2009). Haplotype sequences were loaded into the Gen- ank nucleic acid sequence database (http://www.ncbi.nlm.nih. 41 25 S 71 41 41 W – Wild boar Sagua et al., 2018 ◦ 400 17.500 S 58◦ 140 2.700 W – Wild boar Sagua et al., 2018 136 gov/genbank) with accession number MN539114-MN539137 for CR and MN544275-MN544278 for AmelY. To perform the phylogenetic analysis, as well as to determine the haplotype relationships, 148 CR and 32 AmelY sequences were taken from the GenBank nucleic acid database, which include Euro- pean and Argentinian wild boars, European and Asian domestic pigs and feral pigs from Chile (Appendix A). In the case of wild boars in Argentina, we employed only four haplotypes from the intro- duction centres, located in the provinces of La Pampa, Entre Ríos and Neuquén, analysed in the research of Sagua et al., 2018 (Fig. 1; Table 1). Feral pigs from Chile were employed in order to evaluate their relationship with feral populations in Argentina. A multiple alignment was performed for the complete set of sequences, using ClustalW algorithm in the MEGA v.6 software (Tamura et al., 2013). This alignment was used to obtain the phy- logenetic trees, which were built with Bayesian and Neighbour Joining (NJ) methods of statistical inference. For the NJ phylogeny, the nodes’ confidence degree was assigned by bootstrapping with 1000 replicates through the software MEGA v.6 (Felsenstein, 1985). In the Bayesian analysis, the mutational model that best fits the data set was determined through JModelTest software v2.1.4 (Darriba et al., 2012; Hasegawa et al., 1985). The data was subsequently con- verted into BEAST XML format through BEAUti 1.7.5 (Drummond et al., 2012). For the tree reconstruction for both molecular markers, the following settings were used: strict clock as molecular clock rate variation model and 50,000,000 generations Monte Carlo Markov Chain length, sampling every 1000. All calculations were performed in BEAST (Drummond et al., 2012); the first 25% of the sampling trees and estimated parameters were discarded as burn-in with TreeAnnotator v1.7.5 (Drummond et al., 2012). FigTree v1.4.0 was employed to visualize the phylogenetic tree (Rambaut, 2012). The relationships between haplotypes were attained making use of the Median-Joining algorithm through the PopART v1.7 soft- ware (Bandelt et al., 1999; Leigh and Bryant, 2015). In order to evaluate population expansion through the CR marker, the pig population was divided in the Corrientes and Buenos Aires groups, tested for neutrality with Tajima’s D and Fu FS tests in Arlequin 3.5 (Excoffier and Lischer, 2010). Results Control region For the complete set of Sus scrofa sequences (N = 284), of the 93 found haplotypes, 24 contain sequences of feral pigs obtained in this study, 21 of them being new haplotypes and the remaining three (H1, H3 and H4), previously reported for Europe and Cau- casus (Table 2; Appendix A). For these 24 haplotypes, 36 variable sites were found, of which, 28 are parsimony-informative sites, 5 http://www.ncbi.nlm.nih.gov/genbank http://www.ncbi.nlm.nih.gov/genbank http://www.ncbi.nlm.nih.gov/genbank http://www.ncbi.nlm.nih.gov/genbank http://www.ncbi.nlm.nih.gov/genbank http://www.ncbi.nlm.nih.gov/genbank http://www.ncbi.nlm.nih.gov/genbank 3 0 D .B . A co sta et a l. / M a m m a lia n B io lo gy 9 9 (2 0 1 9 ) 2 7 – 3 6 Table 2 Nucleotide Diversity sites for the 24 CR and 4 AmelY haplotypes reported in this study. Numbers identify polymorphic sites and dots sequences identity. Additionally, the frequency of individuals by haplotype for a sampling site can be observed. Haplotypes CR Nucleotide Positions Hapltypes by locality Total number 40 72 73 77 95 100 110 117 120 123 133 141 146 169 229 267 282 294 297 311 316 362 378 393 427 438 439 440 441 442 443 444 445 447 448 450 614 1 2 3 4 5 6 7 8 9 10 N % H1 A T – C T C T G A C C C A T T T A C G C A G C T C – C A C C T A A A T – G 44 1 2 47 34.6 H2 C . – . . . . . . . . . . . . . . . . . . . . . . – . . . . . . . . . – . 2 2 1.47 H3 . . – . . . A . . . . . . . . C . T . . . . . . . – . . . . . . . . . – . 2 1 12 2 17 12.5 H4 . – T . . . . . . . . . . . . C . . . . . . . . . – . . . . . . . . . – . 1 1 1 1 2 6 4.41 H5 . . C . . . A . . . . . . . . C . T . . . . . . . – . . . . . . . . . – . 2 2 1.47 H6 C . T . . . A . . . . . . . . C . T . . . . . . . – . . . . . . . . . – . 1 1 0.73 H7 . . T . . . A . . . . . . . . C . T . . . . . . . – . . . . . . . . . – . 4 4 8 5.89 H8 . . T – . . A . . . . . . . . C . T . . . . . . . – . . . . . . . . . – . 1 1 0.73 H9 . . – . . . A . . . . . . . . C . T . . . . . . . – . . . . . . . . . – C 2 2 1.47 H10 . . C . . T A . . . . . . . . C . T . . . . . . . – . . . . . . . . . – . 2 2 1.47 H11 . . – . . . . . . . . . . . . . . . . . . . . . . C A C . T A . . T C – . 8 2 10 7.36 H12 . . C . . . . . . . . . . . . . . . . . . . . . . – . . . . . . . . . – . 1 8 9 6.62 H13 . . – . . . A . . . . . . . . C . T . . . . . . . – . . . . . . . . . C . 2 1 1 4 2.94 H14 . . – . C . A A – A T T G C C . G T . T . . T . . – . . . . . . . . . – . 1 6 7 5.14 H15 . . – . C . A A – A T T G . C C G T . T . . T C . – . . . . . . . . . – . 2 2 1.47 H16 . . – . . . . . . . . . . . . . . . . . . . . . . – . . G . . . . . . – . 1 1 0.73 H17 . . T . . . . . . . . . . . . C . . . . . . . . . – . . . . . . . . . – . 2 2 1.47 H18 . . C . . . . . . . . . . . . C . . . . . . . . . – . . . . . . . . . – . 2 2 1.47 H19 . . – . C . A A – A T T G C C C G T . T . . T . . – . . . . . . . . . – . 1 1 0.73 H20 . . – . C . A A – A T T G . C . G T . T . . T . . – . . . . . . . . . – . 1 1 0.73 H21 . . – . . . . . . . . . . . . . . . T . C C . . . – . . . . . . . . . – . 1 1 0.73 H22 C . C . . . . . . . . . . . . . . . . . . . . . . – . . . . . . . . . – . 1 1 0.73 H23 . . – . . . . . . . . . . . . . . . . . . . . . A T . . G G A C C T C – . 6 6 4.41 H24 C . – . . . A . . . . . . . . . . T . . . . . . . – . . . . . . . . . – . 1 1 0.73 Total number 1 1 81 5 3 3 8 25 3 6 136 % 0.7 0.7 60 4 2.2 2.2 5.9 18 2 4.4 100 Haplotypes AmelY Nucleotide Positions Haplotype by locality Total number 106 205 1 3 4 7 8 9 10 N % A1 – G 1 12 1 11 1 4 30 60 A4 – A 11 2 13 26 A6 A A 5 5 10 A7 A . 1 1 2 4 Total number 1 29 1 2 11 1 5 50 % 2 58 2 4 22 2 10 100 alian s l P N t m f p i H a H l H H H l w ( s b v s s g e - l A h p l A l H s s e e c a B ( p D v A a a t D.B. Acosta et al. / Mamm ingletons and 3 sites with gaps or missing data (Table 2). The hap- otype diversity was Hd = 0.710 ± 0.033 and the nucleotide diversity i = 0.00612 ± 0.00078. Regarding the phylogenetic analysis, both the Bayesian and the J trees, showed the same topology (Fig. 2; Appendix B). From he Bayesian inference, it transpires that HKI + G is the mutational odel that best explains our data (Hasegawa et al., 1985). The dif- erent haplotypes, obtained from the Buenos Aires’ and Corrientes’ opulations of feral pigs, can be observed in the phylogenetic tree n the subclades previously reported as E1-A, E1-C and the A clade. In the E1-A subclade, the found haplotypes are H1, H2, H4, H11, 12, H16-H18 and H21-H23. In the E1-C subclade, the haplotypes re H3, H5-H10, H13 and H24. At last, in clade A, H14, H15, H19 and 20 are found. For the Buenos Aires feral pig populations, 78.21% of the ana- ysed sequences correspond to the subclade E1-A (H1, H2, H4, H11, 12, H16, H21-H23), while 13.59% belong to the E1-C subclade (H3, 7, H13, H24) and the remaining 8.2%, to the A clade (H14, H15, 19, H20) (Fig. 3). As to the feral pig populations from Corrientes, 79.4% of the ana- ysed sequences are found in the E1-C subclade (H3, H5-H10, H13), hile the other 20.6% belongs to the E1-A subclade (H4, H17, H18) Fig. 3). The Median-Joining haplotype network supports the relation- hips suggested by the phylogenetic analysis, where the link etween feral pig and wild boars’ haplotypes from Argentina can be isualized, as well as their relative place and relationships into the ubclades E1-A, E1-C and A clade (Fig. 4). Moreover, 13 mutational teps separating clades E1 and A can be visualized. Tajima’s D neutrality test for the Buenos Aires and Corrientes roups was not significant (-0.79 and -0.362 respectively); how- ver, Fu’s FS test resulted in values of -0.27 for Buenos Aires and 3.13 for Corrientes, being significant (p ≤ 0.05) for this last popu- ation. melY For the analysed set of Sus scrofa sequences (N = 80), seven aplotypes were found, four of which contain sequences of feral igs generated in this study, A6 and A7 correspond to new hap- otypes, while A1 and A4 being previously reported (Table 2; ppendix A). Two variable sites are detected among the four hap- otypes found in the samples from Argentina, with a value of d = 0.47 ± 0.0016 for haplotype diversity and a nucleotide diver- ity of Pi = 0.00092 ± 0.00008 (Table 2). Both the Bayesian and the NJ phylogenetic trees present the ame topology (Fig. 5, Appendix C). According to the Bayesian infer- nce, our data fits best to the HKI + I mutational model (Hasegawa t al., 1985). In the Bayesian phylogenetic tree, the four obtained haplotypes an be visualized as part of the groups previously reported as HY1 nd HY2 (Fig. 5, Appendix C). Notably, only sequences from the uenos Aires feral pig populations are found in the HY1 haplogroup A4, A6); while the haplogroup HY2 contains sequences from both rovinces in the same frequency (A1 and A7) (Fig. 5; Appendix A). iscussion In this study, we present the first results regarding genetic ariability and phylogenetic origin in feral pig populations from rgentina, particularly from the largest and oldest Buenos Aires nd Corrientes populations. Historical records indicate that part of the domestic pigs that rrived in South America during the XV century, coming from he Iberian Peninsula, Canary Islands and Cape Verde (Burgos- Biology 99 (2019) 27–36 31 Paz et al., 2013; Crossby, 2003; Donkin, 1985; Wernicke, 1938), originated the feral populations that expanded throughout the Argentinian territory later on (Cardiel, 1930; Giberti, 1985; Iriart, 1997; Morris, 1956; Sánchez Labrador, 1936). In the XX century, with the wild boar arrival to Argentina, a more complex interrela- tions pattern arose, presenting interactions among domestic pigs (including hybrid breeds), feral pigs and wild boars (Navas, 1987; Novillo and Ojeda, 2008; Sagua et al., 2018). The phylogenetic analysis for the CR marker, partially support the historic records, finding feral pigs from Buenos Aires popu- lations of both, European and Asiatic ascendancy (Mar Chiquita population and few individuals from Bahía Samborombón); this suggests the possibility of different colonization events. In this sense, the greatest haplotype diversity in feral pig populations from Buenos Aires, compared to those from Corrientes, is probably due to the European (E1-A and E1-C) and Asian lineage contribution. Fur- thermore, most individuals from Buenos Aires populations were grouped in the E1-A subclade, while those from Corrientes were mainly found on the E1-C subclade, supporting the hypothesis of more than one colonization event. The E1-A subclade is mainly comprised with domestic pigs from the Portugal and Canary Islands, while subclade E1-C holds individ- uals from the Iberian Peninsula (Alves et al., 2003, 2010; Fang and Andersson, 2006; Kim et al., 2002; Kuzsa et al., 2014; Larson et al., 2005; Watanobe et al., 2003). Based on these records, our genetic results are in concordance with the historical information. Previous studies on genetic diversity making use of the CR marker in feral pig populations in Chile and Brazil, showed Euro- pean ascendancy on all individuals studied (Aravena et al., 2015; Grossi et al., 2006). On the other hand, there is evidence that feral pig populations from Tierra del Fuego (Chile) are more recent than the Argentinian populations, being established over the XIX cen- tury (Aravena et al., 2015; Gade, 1987). In our study, feral pigs from Tierra del Fuego presented haplotypes (H28 and H29) related to the ones from Corrientes (H17 and H5), and showing haplotype iden- tity with Iberian breeds as well. The genetic closeness between this geographically distant feral populations, may be ought to the scarce or absent intervention of other morphotypes, entailing to a gene pool nearly identical to that of Iberian breeds (Aravena et al., 2015; Gade, 1987). There are controversies as to the Pantanal feral pig population (Brazil), which is known to be over 200 years old. Sollero et al. (2009) indicates that the first individuals arrived in 1864, after the Paraguayś war; on the other hand, Gonela (2003) argues that this feral “porcos monteiros” are descendants of the pigs brought by the conquerors in 1778, during Alburquenque’s foundation (currently Corumbá). Given that the “porcos monteiros” sequences are not available in GenBank, we were unable to include them in our study. Regarding the origin of individuals of feral pigs in the clade A is difficult to explain, considering that the original Iberian pig breeds did not present Asian gene introgressions (Alves et al., 2003) and given that, up to date, the only evidence of a direct introduction of Asian pigs to the American continent is the case of the Cuino pig in Mexico (Burgos-Paz et al., 2013; Lemus and Ly, 2010). However, it is known that there was an indirect Asian contribution to Euro- pean breeds can be traced to the XVIII-XIX centuries, when genic Asian introduction was utilized for breeding purposes. Therefore, those European domestic pigs that arrived to Argentina might have carried an Asian component in their gene pool (Alves et al., 2003; Giuffra et al., 2000; Kim et al., 2002). Other possible explanation as to the presence of Asian vari- ants in feral populations, could be the mating of local feral pigs with modern domestic breeds. Currently, the most spread breeds in Argentina are Landrace, Large White, Hampshire and Duroc; through CR and Cytochrome b markers, previous studies identified 32 D.B. Acosta et al. / Mammalian Biology 99 (2019) 27–36 F ) in th c nces o i t 2 m i r ( v V A P ( l E 2 p f H w p o ig. 2. Bayesian phylogenetic tree obtained for the 641 bp fragment (94 haplotypes olour. Arrows indicate new Argentinian haplotypes. Haplotypes that contain seque s expressed in the nodes. Parenthesis specify boostrap values >50%. hem as related to the Asian clade (Alves et al., 2003; Giuffra et al., 000; Kim et al., 2002). Another contribution to Buenos Aires feral pig population’s ajor genetic diversity, might be introduction of wild boar com- ng from the province of La Pampa in 1973 to “El Destino” natural eserve (Magdalena county) at the north of Bahía Samborombón Giménez-Dixon, 1991). In other respects, historical records report that some of the indi- iduals to enter the country, were of African provenance (Cape erde islands). Hence, we employed the AmelY marker to explore frican lineage presence in feral pig populations from Argentina. revious studies with mitochondrial (CR) and nuclear markers UTY, SRY, NRY y MC1R), report that African pigs have a particu- arly complex ancestry, given that their origin can be traced back to urope, Asia’s Southeast and India (Adeola et al., 2017; Noce et al., 015; Osei-Amponsah et al., 2017). Through this analysis we do not detect any African com- onent in the studied populations of feral pigs, because the ound haplotypes in Buenos Aires’ populations belong to the Y1 and HY2 haplogroups, while the Corrientes populations ere grouped in the HY2 haplogroup, indicating strong Euro- ean and Asian ascendancy. These results differ from those btained by Ramírez et al. (2009), who reported an individual e CR marker. Haplotypes containing the study’s feral pigs (N = 24) are presented in f wild boar from Argentina are indicated as an asterisk. Posterior probability >0.50 with African origins (HY3) in Entre Rios, Argentina. Moreover, this marker allowed the recognition of greater haplotype diversity in Buenos Aires populations, concurrent with the results for the CR marker. The CR-estimated gene diversity for Argentinian feral pop- ulations was lower than that reported for domestic breeds and European wild boars (Alves et al., 2010; Van Asch et al., 2012). Particularly, for Argentina’s data set of feral pigs, the haplotype diversity (Hd = 0.710 ± 0.033) is lower than reported for Argentina’s wild boars (Hd = 0.827 ± 0.017), Euro- pean domestic breeds (Hd = 0,886 ± 0,008), European feral pigs (Hd = 0.791 ± 0.089) and European wild boars (Hd = 0,912 ± 0,007), both in the Iberian Peninsula (Hd = 0.92 ± 0.01) and in Central Europe (Hd = 0.89 ± 0.07) (Alves et al., 2010; Sagua et al., 2018; Van Asch et al., 2012). In the same manner, the nucleotide diver- sity value for the feral pigs from this study (Pi = 0.00612 ± 0.00078) was lower to the ones reported for wild boars from Argentina (Pi = 0.007 ± 0.001), European domestic (Pi = 0,016 ± 0,008) and feral pigs (Pi = 0,009 ± 0,005), as well as European wild boars (Pi = 0,012 ± 0,006) (Alves et al., 2010; Sagua et al., 2018; Van Asch et al., 2012). The reduced genetic diversity observed for Argentinian feral pig populations, in contrast to ancestral European domestic pig populations, is probably a consequence of the founder effect D.B. Acosta et al. / Mammalian Biology 99 (2019) 27–36 33 F e fera N s. Colo f t o p m p h C o c p ig. 3. Distribution of the subclades previously reported as E1-A, E1-C and A in th umbers indicate sampling sites and letters show main wild boar introduction site rom the small amount of individuals that arrived to the country in he XV century and gave origin to these populations. On the other hand, our results are compatible with a scenario f recent expansion in both population groups studied of feral igs, but most visibly, in populations from Corrientes. The afore entioned expansions might be induced by the humid and highly roductive habitats, as well as the lack of predators, other than the uman-inflicted hunting pressure (Carpinetti, 2015; Merino and arpinetti, 2003; Neiff and Poi de Neiff, 2006; Volpedo et al., 2005). In conclusion, this is the first study to analyse phylogenetic rigin in Argentina’s oldest feral pig populations. Our results are onsistent with the available historical records, building up to a reliminary confirmation of the European ascendance for most l pig populations from Buenos Aires and Corrientes, for the 641 bp CR fragment. urs illustrate subclades E1-A, E1-C and A. individuals studied, with exception of those cases where Asian ori- gin was identified. Up to this moment, African lineage presence hasn’t been detected. In order to shed more light as to the population dynamics for feral pigs in Argentina, future studies should contemplate addi- tional sampling sites inside the species’ distribution, as well as the use of different molecular markers, such as microsatellites. Fur- thermore, it is important to point out these populations’ economic importance to the national livestock activity, given their use as a genetic resource for low budget domestic productions. On the other hand, in all areas where naturalized populations of Sus scrofa are found, they are known to generate a large neg- ative impact on flora and fauna. For the flora, it is known that 34 D.B. Acosta et al. / Mammalian Biology 99 (2019) 27–36 Fig. 4. Median-Joining haplotype network of the 94 haplotypes obtained in this study, for the 641 bp CR fragment. The colours allow the identification of feral and wild boar sequences from Argentina in the context of the total haplogroups previously reported (E1-A, E1-C, E2, NE, A). Circle size is proportional to haplotypes frequencies and transversal lines between haplotypes represent the number of mutations that separate them. F g to t c ntina. b m s o d 2 c n A t t e t t v ig. 5. Bayesian phylogenetic tree obtained from the 510 bp fragment correspondin ontain our sequences of interest. Arrows mark newly reported haplotypes in Arge oostrap values >50%. odifications of species composition, local plant extinction, diver- ity reduction and soil cover alteration facilitate the colonization f exotic plants. Additionally, fauna is affected by predation, nest estruction, food competition and habitat destruction (Ballari et al., 016; Carpinetti et al., 2014). Currently in Argentina, there is a process of species control in ertain protected areas, where the most used and effective tech- ique is hunting, and the following are traps (Ballari et al., 2014). s the species is distributed throughout the entire country, this ask in such a restricted area is not sufficient for control, since in he other sites they are in full expansion. Therefore, to increase fficiency, it is essential to develop a strategic project that includes he use of various techniques and seeing it through, with participa- ion of regional, provincial and national institutions, to effectively isualize a reduction of the species (Ballari et al., 2014, 2016). he AmelY marker, for the 7 haplotypes obtained in this study. Coloured haplotypes Posterior probability values (>0.50) are indicated in the nodes. Parenthesis specify Consequently, knowledge on this species is a fundamental start- ing point for the design of preservation strategies for natural ecosystems and the genetic resources that these populations rep- resent. Acknowledgements We thank Soledad Barandiaran, Agustin Abba, Alberto Cabrera, Gabriel Castresana and Pablo Rojas for their help in collecting feral pig samples, as well as Lucila Pérez Gianmarco, for her help with the English revision. Universidad Nacional del Noroeste de la Provincia de Buenos Aires (UNNOBA), Comisión de Investigaciones Científicas de la Provincia de Buenos Aires (CICPBA), and Consejo Nacional de Investigaciones Científicas y Técnicas (CONICET) provided financial support for the present research. alian A t 0 R A A A A A B B B B C C C C C C D D D D E E F D.B. Acosta et al. / Mamm ppendix A. 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http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 http://refhub.elsevier.com/S1616-5047(19)30172-7/sbref0370 Genetic diversity and phylogenetic relationships in feral pig populations from Argentina Introduction Material and methods Study area and sampling Laboratory analysis and sequencing Data analysis Results Control region AmelY Discussion Acknowledgements Appendix A Supplementary data References 
work_yxjljaaoyzdfbb7xrbtugrlgva	----	Future memories Technological Forecasting & Social Change 77 (2010) 1457–1463 Contents lists available at ScienceDirect Technological Forecasting & Social Change Future memories Michel Godet ⁎ Conservatoire national des Arts et Métiers (CNAM) Paris, LIPSOR, 2 rue Conté - 75003 Paris, France a r t i c l e i n f o ⁎ Tel.: +33 6 07 54 53 54. E-mail address: michel.godet@cnam.fr. 1 See Philippe Durance's paper in this issue: Recipr 0040-1625/$ – see front matter © 2010 Elsevier Inc. doi:10.1016/j.techfore.2010.06.008 a b s t r a c t Article history: Received 18 March 2010 Received in revised form 8 May 2010 Accepted 15 June 2010 Although the concept of foresight is now widely used by Anglo-American writers, the Romance-language countries have continued to refer to the concept of la prospective or prospectiva since the early 1960s. Despite cultural differences, the two concepts are very similar. Nevertheless, the author argues that prospective is closer to strategic foresight. The prospective attitude does not wait for change and then react; it aims to master expected change (preactivity) and to induce a desired change (proactivity). Preactivity is what guides all approaches to future studies, forecasting, scenario planning and foresight. Proactivity is more voluntarist, and aims to bring about the desired changes by means of strategic planning. This leads to a hopeful message: We just have to rethink the problems to move forward. The author highlights the enduring relevance of several key thinkers ranging from Saint Augustine and Seneca to Gaston Berger and Igor Ansoff. He emphasizes the importance of a collectivity's thinking together about the future and taking action. Overall the article pleads for rigor yet some common sense explains the utility of participatory foresight with simple tools (morphological analysis, prospective workshops). In conclusion, this article emphasizes two symmetrical errors: ignore the existence of a hammer when in front of a nail or consider every problem a nail because you have a hammer! © 2010 Elsevier Inc. All rights reserved. Keywords: History Forecasting Foresight La prospective Scenarios Projects 1. Glances in the rearview mirror The year 2010 heralded good news for futurists. If all goes well, Olaf Helmer (b. 1910), one of the fathers (along with Ted Gordon and Norman Dalkey) of the Delphi method, should become a centenarian. Along with Hasan Ozbekhan,Igor Ansoff, Erich Jantsch and Fritz Zwicky, who have all left us in recent years, Olaf Helmer belongs to the corps of masters to whom I remain grateful for guiding me in this field. My debt is all the greater to authors less known in the English-speaking world, e.g., Gaston Berger, and Maurice Blondel, both philosophers1. Looking back, I realize that the historians, and especially the philosophers, have given me the most food for thought on the future. My readings range from Aristotle to Seneca to Descartes, without forgetting Saint Augustine for the distant past; Braudel Chaunu and Leroy Ladurie for the contemporary period. Maurice Blondel [1] saw the future as a field to be constructed using material and restraints from the past. Blondel once said: “The future is not forecasted, rather it is prepared.” With la prospective, Gaston Berger [2] went even further by stating that the future is the raison d'être of the present and that many of our actions may be explained by projects which justify them. Truth be told, these ideas were not new and could be found in Aristotle, who distinguished the efficient cause, that which provokes an effect, from the final cause, that which justifies our actions with a project. The concept of a project and an action plan to reach a goal is not new either. Here Seneca's statement resonates across the centuries: “There is no good wind for he who knows not where he is headed.” ocal influences in future thinking between Europe and the USA. All rights reserved. http://dx.doi.org/10.1016/j.techfore.2010.06.008 mailto:michel.godet@cnam.fr http://dx.doi.org/10.1016/j.techfore.2010.06.008 http://www.sciencedirect.com/science/journal/00401625 1458 M. Godet / Technological Forecasting & Social Change 77 (2010) 1457–1463 Overall, la prospective is less interested in futuribles (possible futures)2 than futurables (desirable futures). This distinction may be found today among those who think about the future in terms of scenarios and those who start up projects. Personally, I believe that since the early 1990s, futurists have overdone scenarios and underdone projects. However, I am partly to blame as I helped spread scenario-building methods and will return to this track record herein. In fact, what follows comes from my long professional experience and expresses my personal impressions. After nearly forty years as a futurist in the managerial and corporate milieus, I would like to share the lessons learned. More often than not, I have rediscovered ideas that were certainly new to me but not to those who had come before. This should make us all modest, as what we believe we are discovering often reflects our own ignorance. That discovery itself is a necessary step if we are to appropriate a concept or method. Each generation spends part of its life searching and finally finding out what the previous generation knew and could have passed along, if only we had listened. All in all, the great invariable in history is Man. Human behavior changes little. The ability to motivate people in a common project and to manage change remains the springboard to building the future. Here I am using the verb construct or build rather than predict or foresee the future, the terms used in the 1970s when futurology was the latest fashion, expected to become a science of the future just as history was the science of the past. Daniel Bell considered futurology to be an exercise in sociology in that its purpose is not to foresee the future but make explicit the societal structures. Its purpose is to try to know which social changes are occurring and to explain why they are heading in any given direction. Raymond Aron echoes Bell when he states that futurology begins with a science of the present, society as it is, and that futurology is worth what the social science underlying it is worth [3]. It already seemed clear that we could not imagine the future as merely an extension of past trends and that this could not continue especially when only taking into account quantifiable parameters led us to neglect qualitative factors that played an equally determining role, e.g. balance of power, actor behavior and projects. In fact, I began my career in 1971 at the Atomic Energy Commission as an econometrician trying to build forecasting models for France's long-term energy needs, notably the role nuclear energy could play. I soon realized that there was a forecasting crisis. Something new was definitely needed in France. That something new had been called prospective since 1957. Unfortunately it had no close equivalent in English until the rise of the concept of foresight in the mid-eighties under the influence of technology assessment, as seen in Joe Coates' work [4], and in the UK in the mid-1990s with technology foresight programs, as seen in Ben Martin's work [5]. This situation is well described in Ian Miles’ contribution to this issue. As we shall see, however, the two concepts are not fully synonymous. The late 1960s and early 1970s proved productive in terms of reflecting on the future and on the role people might play in building it, especially through technology and systems analysis which would allow us to analyze, understand and finally master the complexity of economic and social systems. This was, after all, the Space Age, man on the moon and Daniel Bell's post- industrial society. In fact his 1973 book was titled The Coming of Post-Industrial Society: A Venture in Social Forecasting [6]. Far from neutral, the subtitle translates the idea of a technological change which could be accelerated and mastered through forecasting and planning. The methods do exist. In fact, Erich Jantsch listed them at the OECD in his famous compilation-report Technological Forecasting in Perspective which remains a monument in the collective memory as a work from the post-war years up to the first oil shock [7]. The journals of reference from those days still exist, Long Range Planning3, Technological Foresight and Social Change and Futures. Technology has played a key role and justifiably so in the way societies have developed. Nonetheless, one could not reduce thinking about the future to this one dimension of uncertainty. Demographics, geopolitics, values, beliefs... these are all equally important determining factors as witnessed in unforeseen events like the Fall of the Berlin Wall, China's rise, and the collapse of the Twin Towers on September 11, 2001. Before the first oil shock shattered illusions about the ability to foresee the future by extrapolating on the past, there was a memorable debate on the limits to growth. The report of the same title The Limits to Growth, sponsored by the Club of Rome reminds us [8]. This debate resembles today's questions about sustainable development. One major difference: Global warming was not even mentioned back then. In fact, a form of ice age was feared, as Le Roy Ladurie shows in his Times of Feast, Times of Famine [9]. Periods of warming have a positive image. One such period in the Middle Ages is referred to as small optimum versus the great optimum that occurred 5000 years BCE. We believed that the hypotheses of the Club of Rome were rejected after the Interfuture: Facing the Future study launched by the OECD in 1976 [10]. An international team, headed by Jacques Lesourne for three years, showed that there were no physical limits to growth rather only regulation problems. The famous line generally attributed to Daniel Bell: The states have got too big for the small problems and are too small for the big one comes from this period yet remains incredibly current. Today, however, I find governance is the current buzzword rather than regulation. The concept may have grown broader and more mature, but we are dealing with the same thing. In the early 1970s, all the systems analysis tools inspired by work done at the RAND Corporation and described Jantsch's book [7], such as Delphi or cross-impact, were still on the front cover of academic's journals of the day, e.g., Technological Foresight and Social Change, Futures. Yet almost simultaneously these methods started to go out of fashion in North America where a less rational 2 The approach using futuribles (contraction of futurs possibles) launched a few years later by Bertrand de Jouvenel falls more under the heading of speculative anticipation. In fact, Jouvenel never used the word prospective in his 1964 book L'Art de la conjecture. At the end of the 1970s, I asked him why he had not used Gaston Berger's concept of la prospective. He had quoted Berger only once regarding his role in favor of the social sciences. The response: “Why bother since it's the same thing!” History retained, however, the concept of la prospective and not conjecture. Nonetheless, we must be prudent as conjecture regarding possible futures (futuribles) is not without its risks. Too often conjecture leads to creating too many scenarios while forgetting to have projects. 3 A high-quality journal presented as the International Journal of Strategic Management while remaining closely linked to the Strategic Planning Society of the United Kingdom. 1459M. Godet / Technological Forecasting & Social Change 77 (2010) 1457–1463 approach began to spread. It seems to me that the crushing defeat in Vietnam, despite operational research methods and systems analysis may continue to have an impact on rational approaches given that Russia (past), the West (now) may well be powerful but remains unable to solve the problems of Afghanistan. The US and its allies do not know how to get out of the hornet's nest that is Iraq or how to stop Iran from having atomic weapons. Regardless, corporations have continued with the scenario approach, seemingly obliged to compensate for the State's lack of ability in planning for the future. During the 1960s, firms remained pleased with long-range planning. They then turned to strategic planning to deal with the fact that they had to integrate uncertainty within the general business environment in any of their development projects. Strategic management followed strategic planning at the end of the 1980s to insist the difference of being able to manage well. A glance at the titles of Igor Ansoff's books illustrates the trend perfectly4 [11]. Throughout the period from 1980 to 2010, the flames of debate flickered again over technological long cycles which had a peak 10 years ago with the new economy. All this may still be debated, but we must realize that the great and rather positive changes of the past thirty years (green revolution, longer life expectancy) were foreseen by just a few optimistic futurists such as Herman Kahn but rarely by planners and insurance companies. The unprecedented growth in human history that took place between 1995 and 2007 in China was announced for many years and happened in a centralized market economy. As I recall, the financial crash of 2008 was also announced for a long time and not at all avoided. This begs the question: What is the use of a forecast if it does not change policies? 2. No right answers to wrong questions Over the last few decades, I have seen the race from fad to fashion, the pursuit of mirages and the exchange of conventional wisdom or clichés. What is worse is that all of the above was presented as if it were reflection. Ironically in reflection exercises, when everybody agrees, we should be suspicious and look more closely. The light shed by current events throws shadows on the basic questions that societies generally refuse to face. Facts are stubborn and reality necessarily brings us back in line. Only now with some distance can we see analyses that bucked the trend and turned out to be correct. All this shows that when a consensus is too strong among experts, suspicion is needed. Unfortunately this does not explain how to recognize from among the various minority points of view which is the correct one! Ask the right questions and quash conventional thinking “The answer is yes, but what was the question?” Woody Allen. This famous line is all too often what happens when we forget to consider the validity of a question and rush like lemmings to find the illusory answers to false questions. Since there can be no right answer to a wrong question, how can we ensure that we are indeed asking the right questions? There can be no right answer to the wrong question. Asking the right questions means being on guard against consensus and received wisdom. It was not easy to diagnose the “Japansclerosis” nor some false beliefs about Japanese management in the 1980s [12]. At the beginning of the new millennium, as the new economy and markets faltered, a grain of common sense and bit of memory would have been enough to see that the new growth was old hat [13]. One example is the role of energy prices on proven reserves. We believed for forty years in the plethora of expensive energy sources. The only thing that had really changed, however, was that the price per barrel rose from $12 to $45 and the proven reserves went from 30 to 47 years! In June of 2008, when oil reached $150 a barrel, we had likely more than a century, even two, of proven reserves. Yet no figures circulated about this last point because they would have reduced the alarmism and interest in alternative energies including bio- energy. We really start to see how the unplanned development of biocarburants (biofuels) led to an indexing of all the prices of basic agricultural crops to energy (oil). As a result, food products saw their prices soar and the ghost of famine and shortages resurrected. We would have to allot 29% of growable, or arable, crop land to produce the equivalent of 10% of fossil fuels consumed in biomass. Higher prices at the pump and energy-saving regulations in housing and transportation are thus certainly better paths to take. The new economy is no longer current given that it was replaced by the financial crisis and the issue of sustainable development which, according to the famous definition from the Bruntland report, in 1987, goes “that of the present which is not to the detriment of future generations.” [14]. Humansremain at theheart of theissue of sustainable developmentyetcertain ecologists tend to forgetthat! Anticipation to act in a responsible manner for future generations is also the ambition of strategic foresight. We can easily see that these two concepts are cousins: no sustainable development without strategic foresight and vice-versa. Over the years, I have watched ecology become one of the great recurring problems and the report Global 2000 began with this terrible prediction: “if current trends continue, the world by the year 2000 will be more polluted, more crowded” [15]. In 1982, during an 4 See Alain Charles Martinet's contribution in this issue: The Seminal Work of H. Igor Ansoff. 1460 M. Godet / Technological Forecasting & Social Change 77 (2010) 1457–1463 interview, Gerald Barney, the author of the report revealed that first sentence had been reworked, in other words, censured. The new version was as follows: “if the current policies continue...” Not the same thing at all. The diagnosis would be much less fatalistic but also more accusing for those who govern us. The breaks and mutations related to globalization are the same for everyone but their regional consequences depend largely on endogenous/local factors. Sustainable development is an extraordinary opportunity for companies. Any restriction is, in effect, an opportunity. All the challenges of recycling, reprocessing and energy saving may yield innovative and profitable solutions. Yet, perhaps in this field, as consumers, we can really see how the principle of precaution, if applied to the maximum, could prove dangerous, even stifling innovation. If we have to prove that there is no risk before doing something, be it launching a product or starting an investigation or experiment, we effectively paralyze action. Inthe food sector, asin production ethics, trackability or accountability will become standard and will strengthen the proximity and shorten the production chains ‘from stable to table’. In sum, sustainable development follows local production. Why produce elsewhere and incur transportation costs plus deepen your carbon footprint? Sustainable development is also a non-tariff barrier to low-cost imports from faraway countries. Strategy is also affected by conformism and conventional thinking. How many investment and site selection choices have been justified with the mantra ‘our company needs economies of scale to compete internationally’? In reality, there are always smaller, more profitable companies even within the same sector. Why then does a company not opt to find ways to be more profitable without expanding? The correct question would be ‘how can we be more profitable at our current size?’. The answer to this question may mean temporary lack of growth, like trees which are pruned only to grow back all the more beautifully. Profitability is really the best condition for healthy growth. Yes, it finally dawned on futurists that they should beware of collective mirages about globalization, the end of work, work-sharing, the new economy, productivity and new technology and now sustainable development. In other words, they need to go back to the long term preached by Fernand Braudel and the historians. 3. Back to long-term Fernand Braudel [16] clearly showed the need for the long-term (several decades even centuries) to understand the rate of development of societies, economies or eco-systems. History may not repeat itself but human beings tend to repeat the same behavior which leads them to react in the same way when faced with an almost identical situation. In other words, they are predictable. Retrospective analysis always provides a wealth of lessons when reflecting on the future. Anyonewhoignoreshis past cannot foresee his possible futures. Thechoices from the past shape the future. In fact, mostevents that are to occur already have their root in the distant past. Future projects are not born by chance of some imagination but from desires blunted by a cultural and family heritage which is specific yet always different. This infinite variety of possible combinations makes beings and contexts always different even when similar. As Fernand Braudel put it “there is no social time that flows simply once but rather a social time at thousands of speeds” [16]. What concerns me here is the issue of history's meaning and weight. What lessons can we learn from past developments? Were they inevitable? How much does the future depend on the past? In prospective, the future is open and there is not predetermination possible in the development of human societies which always seem to advance without our being able to confirm that the progress of technology and the economy will lead to a more human or more uncivilized world. It is impossible for us to confirm that progress will continue and that there will not be any backsliding in the accumulated knowledge and in the ability of Men to use and transmit that knowledge. Pierre Chaunu estimates that the population of the Roman Empire who knew how to read was 20%; the equivalent literate population of seventh-and eighth-century Gaul, 1%. He alsosuggests a decrease of 50% in the population ofthe Roman Empire between the second and fourth centuries (from 60 to 30 million inhabitants) and in Gaul, a similar drop from 10 to 12 million to 3 million.It may, therefore, be that the dominant powers of today will last less time than the empires of yesteryear and will be replaced by others [17]. Pierre Chaunu goes further to highlight the unforeseeable nature of history: “the past has never been the cemetery of futures that never were” [18]. He reminds us that World War I is the most improbable scenario, along with the absurd journey of the self-taught, ill- informed visionary Christopher Columbus. The logical, desirable, profitable version would have been the route following the African coast and the encounter with Arab navigation in the Indian Ocean, thus an exchange between two wealthy, developed human groups with long memories reinforced by written documents. 4. The future to be built Futurology claims to be a science of the future in the same way as history is a science of the past. But if the past is indeed behind us, the future is an almost blank page that remains to be written, and any kind of prediction is an imposture. Do we want the world to change with us, without us, or against us? To ask this question is already to indicate the answer: it is up to each one of us to take our future in hand. (“Make Dreams Real,” as the Rotary International slogan has it.) The prospective attitude does not wait for change and then react; instead it aims to master expected change (preactivity5) and to induce a desired change (poactivity). It is a desire, a force for producing the future. Preactivity is what guides all approaches 5 I owe this translation of prospective as an attitude that is both pre- and pro- active to Hasan Ozbekhan. He wrote to me on September 28, 1989, further to a discussion at a lunch in Madrid the previous June : ‘Preactive’ is an invention of R.L Ackoff and ‘proactive’ was suggested by professor Eric Trist, as being better Latin than “interactive” which Ackoff originally wanted. 1461M. Godet / Technological Forecasting & Social Change 77 (2010) 1457–1463 to future studies, forecasting, scenario planning and foresight. Proactivity is more voluntarist, and aims to bring about the desired changes by means of strategic planning (for example, innovation as a way of winning market share.) ‘la prospective’ or ‘strategic foresight’ designates a discipline which seeks enlightened anticipation by clarifying actions made in the present through the thoughtful examination of both possible and desirable futures. This vision is often viewed with suspicion by champions of the market economy who remember the mistakes made by public interventionism. However, issues of sustainable development, responsibility for the future of the planet and improving governance of financial systems are again strengthening the case for this voluntarist, proactive approach to the future. Approaches to anticipating the future vary. When we look for more rigorous approaches for exploration and evaluation of the future, we still refer to methods developed by the influential American think-tank, the RAND Corporation (in the post-war period referred to as, the so-called glorious age of pre-oil-shock growth, and of the conquest of outer space). Many of the researchers had emigrated to the United States from Europe; for example, the German mathematician, Olaf Helmer, who developed the Delphi method, a form of forecasting by groups of experts, and the Swiss astrophysicist, Fritz Zwicky, who formulated scenario building and morphological analysis, a method of problem solving. Among the new generations of futurists and consultants, I have to report an absence of collective memory and, above all, a weakening of rationality. Anticipation is reduced to exercises in participative scenario building or ‘scenario entertainment’ in which the excitement of collective communication predominates, to the detriment of incisive debate and deeper enquiry. In any event, scenario building is an excellent instrument of participatory management, capable of involving the full range of human resources. While it is not possible to include people in reflecting on strategic choices concerning their company, since these remain confidential, it is possible to have them reflect on the environmental aspects of these choices. Today, collective learning is an integral part of knowledge management. As an American saying has it, ‘the reward is the journey’. The path is the goal, the goal being a pretext for the collective journey, for shared experience and the resulting bonding between participants. Managers know that the best ideas are not the ideas one already has, but the ideas one elicits. Anticipation cannot be transformed into action without appropriation by the actors involved. One common distortion when building development projects is to make systematic and excessive use of prospective scenarios instead of learning the lessons of the past. Scenarios are constructed around the future context, and start with question, “What can happen?” This question generally leads people to start reinventing the wheel, and consequently, they forget the essential question for all projects, the one implicit in one's nature. In other words, they forget the axiomatic “know thyself” of the ancient Greeks. What can happen?’ must be preceded by two other questions: 1) who am I? and 2) what is my project? We all need to bear in mind that factors for development come primarily from within. 5. Evolving and contingent concepts The concept of foresight that led to this special issue of TFSC remained unknown until the beginning of the 1980s. Those using the term today used to speak of futurology and future studies or forecasting or the most widely used, technological forecasting. In the corporate milieu, planning also evolved from long range to strategic. Even though each new concept more or less includes the previous one, it does not fully replace it or make it disappear completely. There is overlap in the semantic fields. Strategic foresight (vision or shared ambition of a desirable and realistic project given the foreseeable scenarios in the general and competitive environment) went through strategic management (involvement of men through their motivation in the projects) which must pass through the strategic planning phase (concrete translation of those projects associated with the vision) to be both functional and efficient. Since the 1970s, the English translation of the concept of la prospective has been a headache. Besides the fact the word is only an adjective with a limited semantic field in English, hence the use of italics in this issue, the concepts themselves vary from one culture to another and reveal a worldview which may be clear to some but incomprehensible to others. There are concepts considered almost untranslatable, e.g., prospective territoriale in French [19], which cannot be ignored as it represents approximately half the activities of the Foresight Consultancy. Strangely enough, the English equivalent remains elusive. We make do with regional foresight, as the Commission in Brussels did when asking for comparative studies for different European countries [20]. Yet often this concept would be better translated as urban planning. Translation difficulties intensify when these popular concepts change over time and at different times in various countries. Although the meaning of prediction (tell of an event prior) and prophecy (divine prediction) is clear, that of futurology, future studies and forecasting do not share the same semantic field from one country to another. Unlike the title of historian, futurist is not always positive professionally speaking. Simply put, the future does not appear in a crystal ball and the very notion of Future Studies seems like a fraud mainly because the future remains to be created. As a result, it is useless, even fraudulent, to write it ahead of time. The parallel with history merits clarification because the past is just as multiple and uncertain as the future and historians have essentially the same profession as futurists. The only difference is that the past is gone and only partly known. Historians are constantly renewing the mosaic which always is missing some pieces. They reread the past according to the needs of the present. This corresponds to what Paul Veyne once said: History is a real-life novel. It is thus possible that Napoleon will appear one day revised in French history for what he was; i.e., a hawkish dictator who ruined Europe, brought on the decline of France and sold off Louisiana instead of developing the colony. The key is to understand that the past and future exist only through our representations of them. Let us continue with this idea that history is a myth. The past and future existed only as contingent representations, subjective in terms of the needs of the present. Following the logic of Saint Augustine, we consider it incorrect to say there are three periods, 1462 M. Godet / Technological Forecasting & Social Change 77 (2010) 1457–1463 past, present and future. It would be more correct to say there are three times:1) the present of the past; 2) the present of the present; 3) the present of the future. There are three temporal forms in the soul but found nowhere else, the present of the past is memory; the present of the present is intuition; the present of the future is expectation. As with prospective, foresight puts an emphasis on group processes and participatory debate; however, foresight lacks pro- activity, an integral aspect of prospective. Pro-activity, as we intend it here, is the deliberate construction of a project or projects which compel(s) an organization to take action leading to a desirable future. That is why we have chosen to specify strategic foresight. This more closely approximates the meaning of the French word prospective, an intellectual approach which seeks to clarify present actions with the aid of a collective vision which an organization creates for itself. This vision is based upon the organization's perception, right or wrong, of the past as well as possible and desirable futures. If this voluntarist vision speaks to companies keen on strategic planning, it does not appeal to proponents of the liberal market economy who remain leery of the partisans of socio-economic planning and trust the market and its mechanisms. The issues of sustainable development, debates about our responsibility for the planet and future generations or issues of regulation and improved governance of the financial systems stem from this attitude which is proactive towards the future. 6. The dream of the nail and danger of the hammer Although foresight requires a rigorous approach to address complex problems, the tools must also be simple enough to be easily used. Since the mid-1980s, the approach in Strategic Prospective Workshops has proven its effectiveness in meeting, as far as possible, these criteria (appropriable; i.e., may be appropriated by the users, simple, and rigorous). Several tools have come to the aid of strategic foresight6. They include structural analysis for identifying the key questions concerning the future; games analysis to identify the influence of various stakeholders, establish the relationships amongst them, as well as the stakes involved; morphological analysis to consider the entire field of possibilities and construct scenarios; expert analysis (e.g., Delphi, Reigner's abacus or Cross-impact) to assign probabilities and reduce uncertainty; and multi-criteria analysis to identify and evaluate strategic options. Morphological analysis, rediscovered in the late 1980s, has become among the most popular tools. Curiously, it had long been used in technological forecasting, but seldom for economic or market foresight. Nevertheless, it lends itself perfectly to the construction of scenarios. Using morphological analysis, a global system can be decomposed into dimensions (key questions concerning the future). These dimensions are demographic, economic, technological, and social/organizational. Each of these dimensions has a certain number of likely hypotheses. Yet, it is important to not lose sight of the limits of formalizingbecause people are also guided by their intuition and passion. Models are mental inventions that represent a world which cannot be imprisoned in equations. Those working in foresight need to remember that freewill fed by desire leads to hope. In other words, use all the possibilities that logic provides while remaining aware of the limits and virtues of reason. The relationship between logic and intuition should be one of complementarity not opposition. The tools of strategic prospective certainly are useful in stimulating the imagination, reducing inconsistencies, creating a common language, structuring collective reflection, allowing appropriation. However, tools are not thoughts and should not reign in freedom of choice. We must crusade against two symmetrical errors: ignore that the hammer exists when there is a nail to bang in (dream of the nail) or act as if all problems where nails and hammer down on them the same way (danger of the hammer). It is a professional paradox: distribute tools and then dissuade newcomers from using them incorrectly. Of course these tools do not claim to be like the scientific calculations found in the physical sciences, e.g., formulae to calculate mechanical resistance. Rather they are means to appreciate realities with multiple unknowns objectively. Also, the correct use of these tools is often hindered by time constraints inherent in the manager's workaday world and in the context of any corporate collective thinking exercises. The tools are inspired by intellectual rigor in that they encourage people to ask the right questions (relevance, again) and to reduce incoherencies in thinking. Although the use of these tools does stimulate the imagination, it does not ensure creativity. There is no guarantee. In the end, the consultant still requires some talent and intuition plus common sense because the main objective is to help actors build concrete, participatory projects that involve individuals as groups. References [1] M. Blondel, L'Action. Essai d'une critique de la vie et d'une science de la pratique, Presses universitaires de France, Quadridge, Paris, 1993. [2] G. Berger, Sciences humaines et prévision, La Revue des Deux Mondes 3 (1957); Trad, Social Science and Forecasting, in: André Cournand, Maurice Lévy (Eds.), Shaping the Future. Gaston Berger and the Concept of Prospective, Gordon and Breach, New York, 1972. [3] L'historien entre l'ethnologue et le futurologue, École Pratique des hautes études, Mouton éditeur, Paris, La Haye, 1972. [4] J.F. Coates, Foresight in Federal Government Policymaking, Futures Res. Q. 2 (1985) 29–53. [5] B. Martin, Foresight in Science and Technology, Technol. Anal. Strategic Manage. 7 (2) (1995) 139–168. [6] D. Bell, The coming of post-industrial society: a venture in social forecasting, Basic Books, New York, 1976. [7] E. Jantsch, Technological Forecasting in Perspective, A framework for technological forecasting, its techniques and organization, OECD, Paris, 1967. [8] D. Meadows, The Limits to Growth: A Report for the Club of Rome's Project on the Predicament of Mankind, 1972. 6 These tools are used principally for scenario planning. Since the 1980s, the methods and tools of the French school of strategic Foresight have been diffused around the world. In the last few years, we have been able to develop a suite of software which corresponds to each of the Foresight processes. This set of software was developed at the laboratory LIPSOR in partnership with several corporations associated with the Circle for Entrepreneurs of the Future. [ndlt LIEN ELECTRONIQUE??]It brings a rigorous and participatory approach to identifying key variables, creating the most probable scenarios, and then evaluating strategic options. Among the modules included in the software suite are; Micmac, Mactor, Morphol, Smic-Prob-Expert and Multipol. Each software is free for download in three languages; French, English, and Spanish at http://www.laprospective.fr/. http://www.laprospective.fr/ 1463M. Godet / Technological Forecasting & Social Change 77 (2010) 1457–1463 [9] E. Leroy Ladurie, Times of feast, times of famine: a history of climate since the year 1000, Doubleday, New York, 1971. [10] OECD, Interfutures: Facing the Future, Mastering the Probable and Managing the Unpredictable, 1979 Paris. [11] I. Ansoff, Corporate Strategy, McGraw-Hill, New York, 1965; Igor Ansoff, From Strategic Planning to Strategic Management, John Wiley, New York, 1976. [12] M. Godet, Ten unfashionable and controversial findings on Japan, Futures 19 (4) (1987) 371–384. [13] M. Godet, Bottom line in the new economy, Foresight 2 (6) (2000). [14] M. Godet, Sustainable development : with or without mankind ? Futures 30 (6) (1998) August. [15] Global 2000 Study, The global 2000 report to the President—entering the twenty-first century: A report, University of Michigan Library, 1980. [16] F. Braudel, On History, University of Chicago Press, 1982. [17] P. Chaunu, Un futur sans avenir, Histoire et population, Calmann-Lévy, Paris, 1979. [18] P. Chaunu, L'expansion européenne du XIIIe au XVe siècle, Presses Universitaires Françaises, Paris, 1969 3ème édition, 1995. [19] M. Godet, Foresight and territorial dynamics, Foresight 4 (5) (2002); M. Godet, Regions facing their futures, Foresight 7 (2) (2005) 21–27. [20] Foresight for Regional Development (FOREN, A Practical Guide to Regional Foresight, JRC, IPTS, 2001. Michel Godet holds the chair of Strategic Prospective at the Conservatoire National des Arts et Metiers in Paris.7 He is also a member of the Council of Economic Analysis attached to the French Prime Minister's office, and the author of several widely translated books. Michel Godet has worked with some fifty companies to make freely available on the internet (http://www.laprospective.fr) the methods he has developed for rigorous scenario building as an approach that enables us to imagine possible futures and how they can be influenced and managed. He argues that without a project for our own future, scenario building remains sheer entertainment. Godet's last book in English, Creating Futures, Scenario Building as a Strategic Management Tool (Economica 2006) was prefaced by Joe Coates.8 7 Created during the French Revolution to provide higher and continuing education to professionals through evening courses. Jean Baptiste Say was the first holder of a chair of Economics at the Conservatoire. 8 Now available online at http://www.cnam.fr/lipsor/eng/data/creatingfutures2006.pdf. http://www.laprospective.fr http://www.cnam.fr/lipsor/eng/data/creatingfutures2006.pdf Future memories Glances in the rearview mirror No right answers to wrong questions Back to long-term The future to be built Evolving and contingent concepts The dream of the nail and danger of the hammer References 
work_yzlpt5gnxjesdcvo5rhhvm57zy	----	ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 243 Novelty Journals Terms and Terminology Conflicts of Social Quandaries Engendered by the Taino Native Fixation a Cultural Crisis Analytical Study in Caribbean Contemporary History Randle Sloan Toraño PhD candidate History, University of Jaume I, Castellón, Spain Abstract: Generations born before the 1920 th in the Greater Antilles never referred to themselves as taino or taino native descendants, that was a subject limited to a handful of Caribbean researchers but, nearly exclusively in the hands of foreign scholars. The controversies surrounding the origin of the illusory taino term christened by Constantine Samuel Rafinesque Schmaltz (Turkey 1783 - USA 1840) in 1836 predominates in our examined geography of, Bahamas, Cuba, Dominican Republic, Haiti and Puerto Rico yet, it is widespread worldwide. Nonetheless, Rafinesque and his 19 th century advocates are fundamentally unknown by the people who write and live by the modern taino fixation. The first taino maturation phase extended from 1836 to 1900 entering in a second explosive stage between 1901 and 1955, when in just over fifty years by 1955 the intense academic movement of the taino fixation achieved a resounding success, so much, that generations born in the Caribbean after the 1950 th do think that this taino incarnation was a race, was a language, a native tribe and is a biological ancestor. The third phase from 1956 to the present, has seen a massive taino fixation and standardization. The scholarly move to impose-legitimize is relentless. Prestigious international institutions have invested substantial financial and human resources sponsoring research, exploration and collection gathering of Caribbean native artifacts indirectly sanctioning the proliferation and standardization of a non-existing tainan culture: successfully. Keywords: Cultural crisis, ethnonyms, exonyms, fixation, history-based, legitimacy, native-typical-uniformity, terms, terminology. I. INTRODUCTION Constantine Samuel Rafinesque Schmaltz in (1836) 1 christened the term Taino, mechanizing the beginning of a contemporary academic fixation. This means the taino was born in 1836 as a market instrument during the industrial revolution. In 182 years scholars of all fields argue the realness of this so called Caribbean native who greeted Christopher Columbus. Henceforth, the Caribbean nations examined now face a contemporary cultural crisis resulting from the practice of substituting a market instrument, to refer to, native races, languages, tribes and history of independent countries, what is unjustifiable, as it is illegitimate, and leads to a corrupt Caribbean ethnic legacy. This study examines the taino evolution pattern: term-substitution-crisis, as inaccuracies grew from contemporary researcher’s interpretations applying a mix of make-do academic marketing terms, terminology and editorials to classic works, native folklore and prehistory initially sanctioned by anglophone scholar’s communications with worldwide impact. 1 Rafinesque-Schmaltz, Constantine Samuel. The American Nations or, Outlines of Their General History, Ancient and Modern Nations of North and South America. Annals, C S Rafinesque, 1836. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 244 Novelty Journals The Caribbean has been a playground for world powers to innovate and test: everything. Peter Hulme (1992: 199-200) refers to Caribbean natives in English standards as Arawaks and not Tainos, citing: The novelist Michener, Fred Olsen (1974:3), (Parry and Sherlock 1956; Greenwood and Hamber 1979; Honychurch 1979; Claypole and Robottom 1980), … (Lockhart and Schwartz 1983:69-73; Parry and Keith, 1984, vol. 2: passim; Watts 1987:51-77; Greenblatt 1991:52- 87)…. It is appropriate to assume Arawaks, Caribs or other historically verifiable ethnonyms or exonyms for pre- Columbian natives applied to Caribbean countries on a one to one basis. Fundamentally researchers and contemporary authors in the national standards of; Bahamas, Cuba, Dominican Republic, France, Germany, Haiti, Netherlands, North America, Puerto Rico and Spain, and so on, indistinctively, for the most part accept with endless and complex motives, the taino term and terminology as appropriate. This study aims to test such reliability as delicately as possible. One selected document to examine -the when and how, the taino became a real native is the original English translation by Richard Henry Major; of the letter written by Dr Diego Álvarez Chanca during Christopher Columbus second voyage in 1493. Christopher Columbus select letters published by the Hakluyt Society were translated and edited from Spanish to English by Richard Henry Major (1847). 2 This translation was first published in 1847 and served as a guide to editorial- research interventions promoting the taino since the early 20 th century e.g.; Jesse Walter Fewkes (1903-04), 3 Olson & Bourne (1906), MR Harrington 1921, Sven Loven (1925) [in German] and others. A. Sagarra Gamazo (2009) 4 states, that the Álvarez Chanca letter was sent to the Cabildo de Sevilla to Juan Rodriguez de Fonseca a court official, bishop and holder of many titles, who organized Columbus second voyage and others thereafter for the Royal Crown, Sagarra further refers to Álvarez Chanca as Americas first spy. The Álvarez Chanca letter went missing and was recovered over three centuries later in 1825 and published by Manuel Fernández de Navarrete in 1826. Rafinesque an autodidact botanist had ten years between 1826 and 1836 to interpret Dr Diego Álvarez Chanca letter and to find a fit for his linguistic studies and theories. It is clearly stated in the Major 1870 reprint introduction that the Álvarez Chanca letter and the Columbus letters were translated as written; … by the pen of those to whom this incidents occurred …, Major in his introduction, well says; … from Columbus own mouth as it were, with a clear view of his opinions and conjectures, upon many remarkable and important subjects …. Not a single time in these original documents does the term taino (tayno) is referenced or translated to signify a race, language or tribe by either Dr Diego Álvarez Chanca or Richard Henry Major. The Álvarez Chanca translation by Major was edited by Olson & Bourne (1906) 5 adding footnotes and remarks endorsing the term taino (tayno) setting in progress a robust tainist tendency early in the 20 th century underscoring Álvarez Chanca original intention. The Olsen & Bourne edited copy of the Major translation of the Álvarez Chanca letter is widely circulated as document (Nº AJ-065) 2003, by the American Journeys Collection and the Wisconsin Historical Society Digital Library and Archives: thus, aiding to the 21 th century continuance of public diffusion and the Caribbean cultural crisis. Olsen & Bourne refer in one footnote of the (Major 1870: 28) translation to the taino as; … the tribal name of these people … secondly, they cite as a source the 1574 edition of the De Rebus Oceanicis printed in Germany and written by Pedro Mártir de Anglería 6 a classic author who never identified a taino as a tribal name, race or language. Edward Gaylord Bourne and Julius Emil Olson made two errors in their citation unchallenged by researchers benefitting the taino marketing and commercialization argumentation. The 1574 German publication as cited by Olson & Bourne was first referenced by Karl von Martius (1867) during the incubation phase of the taino. 2 Major, Richard Henry, editor. Select Letters from Columbus with Other Original Documents Relating to His Four Voyages to the New World. Translated by Richard Henry Major, 2nd edition, Hakluyt Society, 1870 3 Fewkes, J. W. The Aborigines of Porto Rico and Neighboring Islands. US Gov. Print. Off., 1903 4 Sagarra Gamazo, Adelaida. “Diego Álvarez Chanca, primer espía en América.” Revista de Estudios Colombinos, vol. 5, 2009, pp. 19– 40. Sagarra Gamazo, A. “El protagonismo de Juan Rodríguez de Fonseca, gestor indiano, en la diplomacia y política castellana desd e su sede episcopal de Burgos.” Boletín de la Institución Fernán González, 1995, pp. 273–317. 5 Olsen, Julius E., and Edward Gaylord Bourne. The Northmen, Columbus, and Cabot, 985-1503. Charles Scribner sons, 1906. 6 Mártir de Anglería, Pedro. Décadas del Nuevo Mundo. Editorial Bajel, 1944. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 245 Novelty Journals History, language and constructive exchange: It’s noteworthy that the Major (1870: 28) page footnoted by Olsen & Bourne is grammatically challenging, a straightforward translation of the original Álvarez Chanca Spanish tayno, page is complex. The words diciéndolos and diciéndoles are a combination of an adverb and a pronoun meaning telling them, in other words, Spaniards had a message -they announced, tayno, that was what the sailors in their boat were shouting out to the natives. On the other hand, diciéndonos means telling us or calling out or as Major translation puts it, cried out, is incorrect. The word choice by the 15 th century Sevillian Dr. Diego Álvarez Chanca depicts the sailors shouting to the natives; in addition, the original intention, excluded race, language or tribal taino origin, what was misinterpreted by Julius Emil Olsen, Edward Gaylord Bourne and Jesse Walter Fewkes. Columbus travelled with Diego, his Lucayan protege and another native interpreter specially educated in Spain before returning in Columbus second voyage. These native Lucayan pair by 1493 became Americas first native translators educated in Europe, and, is likely they instructed the sailors in the usage of the word tayno, meaning good to approach the natives, perhaps, Diego or his compadre were onboard the boat that pushed to shore during that first contact of the second voyage. Additionally, Major (1870: 29), translate from Spanish the word pulitica as more civilized which is the correct translation, yet, pulitica is not found in any Spanish dictionary, pulida means polished, politica means political, a combination of both in the XV century well could have been more civilized. Within the same English paragraph Major uses the word Indians which was not utilized in the Spanish original, Álvarez Chanca wrote … aunque todos tienen las moradas de paja… Álvarez Chanca used todos tienen which means, they all, making no reference to Indians. We find that small errors in the Major translation are understandable yet, footnotes by others are highly troublesome. Major mistake was, -that the natives did not cried out, tayno, tayno, it was the sailors. After carefully reviewing the translation it was found that Alfredo Zayas y Alfonso (1914) 7 had come up with the same interpretation as did Hulme (1993: 202) 8 in the Peter Hulme & Neil Whitehead translation. A century after Fewkes (1903) and, Olson & Bourne (1906) we must re-evaluate the legitimacy of the term taino for the benefit of millions of Caribbean victims who wholeheartedly believe that the tainos are their ancestors. A social quandary emerges as Caribbean communities fall prey to scholarly works endlessly applying terminologies to what has become a single word fixation. Thus, the ethnic composition of Caribbean communities is in crisis. The severe impact on ethnicity is considerable as entire families celebrate their native Caribbean roots invoking a non-existing ancestral term and terminology. Terms and terminology are fundamental to justify the communities they describe. Clearly ancestry must result from verifiable sources and not from a mechanized market instrument. The highly questionable tainan identity, in discussions of mixed origin, mixed heritage, cross ethnicity and multiracial composition common to the Circum-Caribbean fails by historical and academic standards to legitimately satisfy the Caribbean ancestral person. The idea of a new term, for a new concept in Sagader (2010:125) follows this order: Their objective was to achieve a standardization of terminology - a tool for reaching unambiguous and clear communication, independent of cultural differences. Ascribing a technical or engineering term is unlike attributing an ethnic term, people in any geographical setting deserve historically verifiable ethnonyms and exonyms. In Curet (2014): As a nonnative phenomenon, Taíno refers to the widespread distribution of certain cultural traits across the Greater Antilles, Bahamas, and some of the Lesser Antilles. In actuality, one can talk about two Taíno phenomena, one defined using “facts” from the chronicles and a second one characterized by attributes observable in the material culture found across the region. In the case of the chronicles, attributes include language, social organization, religious beliefs, subsistence systems, religious paraphernalia, and tools. Adriana Lewis- Galanes (1986: 53) and Gabriel De La Luz- Rodríguez (2011) argue that during these early years of the colonial experience, the Spanish invented a “Taíno” concept (without using the term) to refer “to a diverse constellation of Indigenous cultures that inhabited the Greater Antilles” (De La Luz- Rodríguez 2011: 94; see also Sued Badillo 1978). (p.470). 7 Zayas y Alfonso, Alfredo. Lexicografía Antillana. Imprenta siglo XX de Aurelio Miranda, 1914 8 Hulme, Peter. "Making sense of the native Caribbean." NWIG: New West Indian Guide/Nieuwe West-Indische Gids 67.3/4 (1993): 189-220. Whitehead, Neil L. Arawak Linguistic and Cultural Identity through Time: Contact, Colonialism, and Creolization. 2002, pp. 51–73 ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 246 Novelty Journals Luis Antonio Curet (2014) 9 presents us a non-native phenomenon; indeed, the heart of the present-day Caribbean cultural crisis. The surreal metamorphosis suggested by Curet of a non-native transmutation into authenticity by extracting facts from American discovery chronicles and a material culture is a fiction episode unrelated to history or science. In fact, such argument is just the foundation of the current cultural crisis. Seeking to impose-legitimize a taino substitution at all cost is a poor option for legacy. The post 1955 up-to-date scholars, who write about the chronicles in any way associated with a taino underscore is the real phenomenon. Both Dr Diego Álvarez Chanca (1493) and Pedro Mártir de Anglería (1525) 10 the two principal men to use the word tayno before 1825 meaning good with a specific spelling which included a y for tayno, never referred to tainos as a race, language or tribal name. The morphology of the word Taino or Taíno used by Curet and others is strictly the crafting of Constantine Samuel Rafinesque, that same spelling was used by Fewkes (1903), M R Harrington (1921), 11 S Loven (1935), I Rouse (1948), R Alegria (1955) and other tainist before 1955 to propel the Taino or (Taíno) standardization and fixation. Thus, we have the 21 th century taino metamorphosis. Let’s examine by comparison, an original native American history-based, verifiable and correct application of terminological components as applied to ethnicity. Ohiyesa (1907) Part II, The madness of Bald Eagle: “It was many years ago, when I was only a child," began White Ghost, the patriarchal old chief of the Yanktonnais Sioux, "that our band was engaged in a desperate battle with the Rees and Mandans. The cause of the fight was a peculiar one. I will tell you about it." And he laid aside his longstemmed pipe and settled himself to the recital. "At that time the Yanktonnais numbered a little over forty families. We were nicknamed by the other bands Shunkikcheka, or Domestic Dogs, because of our owning large numbers of these animals. My father was the head chief. (p. 34). 12 This simple and historically precise Sioux example of how exonyms and ethnonyms come to be, is clear; a band of Sioux, (Yanktonnais) an exonym. The band is specifically re-named by two other recognizable native American tribes, (Shunkikcheka) what is an ethnonym. The two native American tribes are known internally and externally as Rees and Mandams. Written by: Ohiyesa a Sioux, also known as Charles Eastman, son of White Ghost. The simplicity and clarity of this historical first-hand passage speaks for itself. The issue of legitimacy, verifiable history and justification is unmovable. Thus, theoretical interpretations disturbing original classic authors findings and intentions for whatever motive are unjustifiable. Following the analytical methodology presented, this study examines interpretations by principle researchers and institutional studies, citing documents and publications of modified, manipulated or edited works away from the original writer’s intentions, verifying footnotes and editorial reviews. Tanselle (1978) 13 reminds us that … documents of major importance… are presented literally, exactly as found … with bracketed editorial insertions when required for clarification. (note 24…). The uncommon view and crisis: Ralph Premdas (1996): The Caribbean homelands, however, are not ancient places where Caribbean peoples and their ancestors have always lived. There are no historic religions and sacred sites decorated with folktales and lore commemorating origins lost in time. (13). The Premdas argument added to a non-native taino fixation spells out a Caribbean cultural crisis. General objective: Ancient Caribbean legacy in our region of study awaits a reunification of yesterday and today, to-break-away from scholarly impositions and distortions. Native history and contemporary Caribbean people, are and have been in a cultural crisis since early in the 20 th century; as -original native ancestors subsist in the shadows of an academic fixation: tainos. This study seeks to divest communities of such malady. 9 Curet, L. A. “The Taíno: Phenomena, Concepts, and Terms.” Ethnohistory 61.3 (2014): 467-495, 2014. 10 Mártir de Anglería, Pedro. Décadas del Nuevo Mundo. Editorial Bajel, 1944. (1493-1525). 11 Harrington, M. R. Cuba Before Columbus. Edited by F W Hodges, New York Museum of the American Indian, vol. II, Heye Foundation, 1921. 12 Ohiyesa, - Charles A. Eastman. OLD INDIAN DAYS. U of Nebraska Press 1907. 13 Tanselle, G. Thomas. "The editing of historical documents." Studies in Bibliography 31 (1978): 1-56. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 247 Novelty Journals II. METHODOLOGY This study conducted and exhaustive analysis of historical documents concerning native Caribbean people since the discovery of America focusing on a chronological narrative evidencing verifiable; tribal inhabitant’s autonyms, their Caribbean biological interconnectivity and ethnic differentiation, as understood and written by classic 15 th and early-16 th century authors who experienced directly the native people and traditions in their natural habitat. It, also analysed, indirect historical data acquired from first-hand interviews with explorers; by clergy, court historians and state officials of the period. Likewise, we considered documents referring to hundreds of Caribbean natives who interacted continuously in Spain as, slaves, free servants, parents and even autochthonous Caribbean royalty sponsored by the Royal House of Castile. Also, what are, discretionally tested accounts outside of the law by explorers and merchants from the 15 th century to the mid-16 th century. Thus, first-hand access to Caribbean native’s history in Europe is more diversified than previously considered. 14 This study organizes a historical narrative of 15 th and 16 th centuries authors selecting samples to assist in understanding how the 19 th , 20 th and 21 th century brought about new terms and terminological components, undermining the authenticity of the historical sources during and after Christopher Columbus first-contact. An analytical view of what transpired in the Caribbean, in Spain and Europe concerning precolonial Caribbean populaces in Bahamas, Cuba, Dominican Republic, Haiti and Puerto Rico assist in identifying the native Caribbean typical uniformity issue. Since discovery the native Caribbean typical uniformity has been biologically transformed by crossbreeding with other ethnic groups of diverse skin tones yet retaining some levels of native pre-Columbian DNA. This new Caribbean group falls victim when contemporary terms are imposed by special interest away from history. III. LITERATURE REVIEW This study is specific in scope, as terms and terminologies rooted in tainan interpretations are illegitimate to anthropomorphise pre- and post-Columbian native Caribbean entitlements. There is no doubt that taino is an imprecise word of no significance, it should never be used to symbolize a race, language or a native Caribbean tribe. The tainos never existent. We also pointed to institutional financial and marketing interventions arising from the taino term and terminological explosion of the twentieth century. Ricardo Alegria (1996) 15 cites on taino artifacts regarding the George Latimer collection (a US consul in Puerto Rico): The Smithsonian still preserves a significant portion of this collection, although many of its most notable pieces, including some monolithic belts then called “stone collars’’ were traded to other museums in the United States and Europe. (257). Institutions have benefited from donations as the George Latimer collection, from purchases of material goods and from Caribbean archaeological excavations such as, collections by Fewkes (1903), Harrington (1921), Rainey (1935), Rouse (1939) and others. Naturally, protecting material goods and merchandizing material re-distribution were essential to the advancement of the taino terminology in our international post-colonial: market society. The taino simply provided a singular term to ease communications when identifying Caribbean natives regardless of country or their own history- based ethnonyms and exonyms. Thus, we have a progression of geographically applied terms, such as; eastern taino, western taino. Classic taino, Caribbean taino, and so on, to communicate academically e.g., Arrom (1988) Alegria (1978), Loven (1935), Rouse (1992), and others. The combined adverse effect of this Caribbean material re-distribution, the geographical taino standardization and the academic communication supporting the commercial strategic fit of the taino has become a Caribbean cultural crisis. Eugene Wuster (1930) an Austrian linguist developed the first methodology for terminology data processing to analyse terms orderly. Protopopescu (2013:2) … reminds us that: before the mid-twentieth century nor social scientists nor linguists paid attention to terminology. The taino standardization leading to the current Caribbean cultural crisis was preventable and is reversible. 14 Esteban Mira Caballos research regarding native American studies are generally in line with this study, consult other works. Caballos. Esteban Mira. “Caciques Guatiaos en los inicios de la colonización: el caso del indio Diego Colón.” Iberoamericana, 2004 2001, 7–16. -Mira Caballos, E. “Los prohibidos en la emigración a América (1492-1550).” Estudios de historia social y económica de América, vol. 12, 1995, pp. 37–54 15 Alegría, Ricardo E. "Archaeological Research in the Scientific Survey of Porto Rico and the Virgin Islands and Its Subsequent Development on the Island." Annals of the New York Academy of Sciences 776.1 (1996): 257-264. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 248 Novelty Journals Taino historical prioritization and standardization: The term taino was also prioritized by archaeologists, anthropologist and ethnologists working on US international research and exploration in the early twentieth century when interest in the last two Spanish colonies Cuba and Puerto Rico defined a greater potential in the Caribbean. The director of the Bureau of American Ethnology (BAE) W. H. Holmes in his introduction of Fewkes (1903) says; The acquisition of the island of Puerto Rico at the close of the war with Spain greatly enhances the popular and scientific interest in Caribbean archaeology and ethnology in the United States. (XXVI). The Bureau of American Ethnology (BAE) was the research arm of the prestigious Smithsonian Institute. The bureau was founded; Weeks (2002: 2) in 1879. The reasons for the protection of antiquities in the Caribbean at large requires delicate attention, if there is no wrong in free enterprise and the financial commercialization of archaeological material, there should be for the same reason equal protection to history-based ancestry in consideration of living-descendants. The Caribbean person who believes in the scholarly non-existing taino as real; becomes a collateral victim. In the Caribbean geography we study the actual number of victims surpasses the pre-Columbian native population. The current issue is clear; protect the victims. In 1901 the archaeologist Dr Jesse Walter Fewkes was assigned to investigate the Antilles at the end of his project Dr Fewkes presents the Smithsonian Institute his monograph titled The Aborigines of Porto Rico and Neighbouring Islands intensifying the internationalization of the term Taino. Claims Fewkes (1903) regarding the taino term: Since it is both significant and euphonious, it may be adopted as a convenient substitute for the adjective “Antillean” to designate Cultural type. … other writers used it as a characteristic name for the Antillean race. (p. 26). Rafinesque terminology marketing strategy found its momentum during the first decade of the twentieth century as the European legwork had paid-off; e.g. Jegor von Sivers (1861), Karl von Martius (1867), Oscar Peschel (1876) and others. That momentum soon spread to the Spanish speaking Caribbean and North America since the acquisition of Puerto Rico and successful interventions by Fewkes (1903). Peschel (1876: 206) described how Caribs had taken half of Porto Rico and extended their kidnapping into Haiti, Fewkes makes the same observation regarding Porto Rico in 1903. Consequently, editorials and interpretation throughout the first half of the 20 th century standardized a new communication language based on the non-native, non-existent and illusory taino. Irving Rouse (1992: 69) My generation of archaeologists was trained to proceed only in terms of artifacts and cultures to which they belonged. Rouse 1992 book is titled; The Tainos: Rise and Decline of the People Who Greeted Columbus, this emblematic title sends the strongest message of the taino fixation. The standardization of the taino fixation during the third phase of the taino evolution has been intense with landmark works by Ricardo Alegria (1978), Jose Arrom (1988), Roberto Cassa (1974), Irving Rouse (1992), as William Keegan (1996: 266) says; … the Tainos, the people who inhabited the West Indies at the time of European contact, and others endlessly on. Homeland, ancestors and the new Caribbean person: Current DNA findings suggest a present-day native Caribbean genomes survival. Since the original tribal identity of the Caribbean homeland and ancestry has been scientifically substituted by the standardized non-native taino, a quandary subsists. Studies such as, Lalueza‐Fox et al (2001, 2003), Martinez-Cruzado (2001), Mendizabal et al (2008), Mendisco et al (2013), tend to identify such genetic findings as Taino. The taino scientific discourse is not concerned with pre-and- post Columbian native history but rather the commerciality of terms. Haslip-Viera (2006) argues that the Puerto Rico taino (native) population was near extinct and the island received large numbers of enslaved Indians from Guiana refencing (Badillo 1995a: 67) among others. Concluded Haslip-Viera that a diminishing taino (native) island population by the sixteenth century only provided a limited mtDNA for contemporary testing, for that reason the Martinez-Cruzado study lacks reliability and fails because of mixed ancestry. Such assumption is incorrect as it fails to understand the Caribbean typical uniformity phenotype as the basis for the Caribbean native survival; also, it fails as tainos are non- existent. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 249 Novelty Journals Caribbean DNA studies are best served by removing the taino from scientific results as such standardization is not history-based. R Virchow (1858) had concluded based on his pathological cranial studies that there was a native typical uniformity. The rational that follows from a typical uniformity phenotype is that moving from one island to another within the same Caribbean region would create limited pathological changes from one human to another as: pathological changes occur over long periods of time. Migration occurrences in Caribbean prehistory are anecdotal, yet, pre-European- contact native mixed-ethnicities and inter-relationships occurred in our region of study and should be considered on a one to one basis by country. The issue of a pre-Columbian Caribbean mixed ancestry in our geographical region is an integral element of the typical uniformity phenotype theory. And, in no way an obstacle in understanding native survival into the 21 th century or prehistory. The Caribbean typical uniformity is deeply rooted in migration, based on native mariners’ abilities to negotiate the seas. Columbus in his Diario de abordo described the crafts natives built and used for raids, exploration of new lands and commerce. Native seafaring mobility has led trough hundreds of years to the Caribbean typical uniformity, as new arrivals would trade, kidnap-enslave or marry local females for breeding. 16 As recent as the 17 th century the Black Caribs or Garifuna’s resulted from cross-breeding between Caribs and black slaves or castaways, which means that the predominant skin colour does not identify a lack-of native Carib bloodline. On the other hand, if an Arawak woman and a Carib man bred, or vice-versa, children would be physically indistinguishable from other natives and, in typical uniformity. The issue of skin color is not a negative factor in determining Caribbean native lineage and is a greatly misunderstood racial issue. In Robiou et al (2011) 17 Delgado cites: Jalil Sued Badillo (1978) in that Puerto Ricans have no Indian blood, ending with Badillo saying that the native blood is completely inexistent. In Tio (1966: 275) according to studies by Ricardo Alegria at the University of Puerto Rico 30% of students had Amerindian blood based on diente de pala a dental shovel incisors test. Consequently, Delgado correctly favors native survival, Badillo denies any evidence of survival, while Alegria used it to promote the taino fixation. In Mendisco (2013) out of thirteen samples analyzed dating from the 1200 to 1600 in Guadalupe, Maria Galante and La Désirade, the results revealed the presence of three distinct Amerindian mitochondrial lineages: A2 (n = 5), C1 (n = 5) and D1 (n = 3). The Mendisco study concludes, the need to broaden aDNA in the Caribbean region, in time and space, to allow for a better understanding of the native Caribbean group dynamic, since they were searching only for Caribs. DNA, aDNA and mtDNA in scientific results elucidate the existence of a contemporary native pre-Columbian Caribbean survival in Cuba, Puerto Rico and Dominican Republic. Such survival percentile is specific to each country as is the racial composition. The findings that distinct Amerindian mitochondrial lineages converge as per Mendisco (2013) and other studies is consistent with the evolution of the Caribbean typical uniformity. Furthermore, the general findings in the conclusion of the Schroeder et al (2018) state that: … the native component in present-day Puerto Rican genomes is closely related to the ancient Taino, demonstrating an element of continuity between precontact populations and present-day Latino populations in the Caribbean despite the disruptive effects of European colonization. The Schroeder (2018) result is consistent with the Caribbean typical uniformity survival as mixed components of Arawak, Carib, and other native pre-Columbian autochthonous tribes in the 21 th century exist within the Latino population. Schroder pinpoints, the root of the cultural crisis when in fact they are referring to the; ancient pre-Columbian Borincanos or Borinqueños (Boricuas) of Puerto Rico what are history-based terms. In 2018 science identifies the victims as; present- day Latino populations in the Caribbean, now subjected to an ancient Taino and Caribbean Taino standardization furthering the fixation and the cultural crisis. 16 Sloan Toraño, Randle. Labradores y Desbandados 1898. 2nd ed., 2017. See, chapter 2. 17 Robiou Lamarche, Sebastian, editor. “5to Centenario -1511-2011- de la Rebelión Taína.” Instituto de Cultura Puertorriqueña, 2011, p. 133. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 250 Novelty Journals Interpretations and theories: Regarding the taino the American anthropologist and ethnologist Daniel Garrison Brinton (1871) had warned about wild theorizations. Brinton never imagined that editorial manipulations, DNA results and academic articles would serve as tools for the success and standardization of the Rafinesque taino into the 21 th century. In Brinton (1871: 10) referring to Rafinesque and Jegor von Sivors Caribbean vocabulary, as; … uncritical … superficial … worse than useless. In this sense, decoding the current Schroeder Puerto Rican genomes and other DNA results; in their relationship to the Virchow’s Caribbean typical uniformity, the 21 th century native survival, the academic terminological fixation and the cultural crisis of the present-day Latino population in the Caribbean, all may be initiated by removing the taino from the equation. The larger scope of the; present-day Latino populations in the Caribbean requires native specific ethnonyms and exonyms for each country in the region. The Schroeder study incorrectly applies a generic ancient Taino and Caribbean Taino theory to many countries with distinct tribal characteristics IV. DISCUSSION A number of European explorers recorded their first-hand contact experience themselves, others attested to historians and official’s discovery details of specific geographical localities, for expense accounting, political and economic reasons, etc., e.g., Christopher Columbus, Amerigo Vespucci, Juan Ponce de Leon, Martin Alonso Pinzon, Bernal Diaz del Castillo, Hernán Cortés and many others. 18 Caribbean natives living in Spain also provided information to officials and historians as Andrés Bernáldez, Pedro Mártir de Anglería, Juan Rodríguez de Fonseca and others who had direct access to witnesses. Brinton (1871: 12) 19 explains the soft like and not less liquid than Latin heard by Pedro Mártir de Anglería, this is indicative of the Caribbean linguistic studies undertaken by scholars directly from native Caribbean people living in 16 th century Spain. This rather unknown native prepared court historians, officials, jurist and scholars when documenting information generally classified as second hand. Non-native terms and terminologies applied by modern researchers to Caribbean natives amounts to an ethnological catastrophe. This inauspicious pattern is not exclusively of the geography studied it also applies to other world regions. In our geographical region the direct disadvantage is assumed by the mostly Arawak or Aruac ethnicity presented in this limited sample; the Borincano, Boricua or Borinqueño from Puerto Rico, the Quisqueyano, Ciguayo, Macorije, or Haitian from the Dominican Republic-Haiti, the Cuban, Ciboney or Siboney from Cuba, and the Lucayan, of the Bahamas. Attention needs to be given to the interconnected native tribes, isolated bands-groups, nomad tribes, the Carib and other migration intervention or mix-descendants incorporated into the evolution of Caribbean societies of these islands since pre-Columbian times. In an archipelago of over 7,000 islands and centuries of migration one synthetized non-native term as an ancestor is man- made. Today the term taino theorizes a dominant native group. Taino researchers start from the necessity Rafinesque (1836) calls …grope in the dark … affirming the creation of a noble, educated, intelligent and religious Indian to populate obscure or empty spaces. In his own words Rafinesque (1836: 31): … for lack of frequent ancient vocabularies we must often grope in the dark, but I do not despair to be able to restore many languages… by fragments escaped from the common ruin, I have already succeeded with the Taino of Hayti. Regarding Constantine Samuel Rafinesque, Daniel Mosquin (2012) What emerges is that the man was a flawed genius, whose inability to work within the bounds of scientific convention necessarily led to lower recognition than he would otherwise have deserved. (p. 2). 20 The genius of Rafinesque was his ability to market terms to researchers and institutions, generation after generation. As a botanist Rafinesque named over 6700 specimens of which some 300 remain today an outstanding achievement for flora. Yet, nothing matches the success of his taino. 18 The Archivo General de las Indias, (AGI) in Seville Spain houses significant documentation dating from discovery where uncountable pages provide history-based leads and verification. 19 Brinton, Daniel Garrison. “The Arawack Language of Guiana in Its and Ethnological Relations.” American Philosophical Society Transaction, no. 14:427-44., 1871, pp. 427–43. 20 Mosquin, Daniel, et al. "Constantine Rafinesque, A Flawed Genius." Arnoldia 70.1 (2012): 2-10. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 251 Novelty Journals Rodrigo de Figueroa was appointed by the Royal House of Castile to study native tribes. Early on Figueroa a esquire in 1520 submitted a report of native tribes, the term Taino was unlisted. Even Rafinesque (1836: 163) recognizes the work of Rodrigo de Figueroa and lists the names of those tribes as; 1. Haytians, 2. Cubans, 3. Jamaicans, 4. Boriquans (Porto Rico). In the Dominican Republic Emilio Tejera (1977: 1193) in his two massive volumes comprising over 1380 pages of indigenismos, Tejera begins his definition of Taino with a reference by Professor Felix M. Perez (1948): … it is the biggest ethnological mistake to call Tainos the Arauco ... no ancient writer would have used said term. Tejera explains how this ethnological error has become as widespread as other words such as West Indies, Indias, Indians and others imposed over time. Imposed over time is the mechanized work of specialists which in this case adversely affects the genetic framework of Caribbean societies and history. In Fewkes (1903: 26) he explained the easy rupture from the term Antilles and the Antillean race as substituted by the Taíno in a single-page. Tejera is correct imposed by time has kept the region at a cultural crisis. The geopolitical and racial composition of the Caribbean blends in a unifying contemporary history that other world areas are now starting to understand. Ultimately, the pre-Columbian natives transformed into a pluralistic genetic diversity of skin colors, now walking the streets of the Caribbean nations they represent. Premdas (1996: 13): The Caribbean homelands, however, are not ancient places where Caribbean peoples and their ancestors have always lived. Scholars who believe and write in conformity with Premdas have no problem to; grope in the dark as Rafinesque and follow in-line to name people as they see fit. Thus, creating a world predicament of people in crisis. Puerto Rico's Pablo Morales Otero (1945); 21 Before the discovery the inhabitants of the island of Puerto Rico were Aborigines. The whole island was not under the Arawak power, as the Caribs occupied the eastern part and it is likely that the population of Borinquen were a mixture of both families, who lived, grouped in tribes and led by one cacique. (p. 7). The population of Borinquén and both families is a responsible, ethical and a legitimate approach to identify native cultures and races in Puerto Rico away from impositions. Pedro Mártir de Anglería in Bajael (1944: 19) identifies Puerto Rico as burichena land and homeland of the native Arawak-Borincano. Hernán Colón in Iglesias (1947) tells us about the natives of Boriquén captives in Guadalupe who boarded Columbus ships in 1493; A youngster who had escaped from the Carib, having for sure thing to surrender to strange people never seen and so different from his nation than to remain with the others. (P. 147). What is historically correct is that over five centuries ago during this historic Guadalupe anchorage leading to the letter of Álvarez Chanca, Hernán Colón uses the word nation to differentiate and recognize from the Caribs the natives of Boriquén (Puerto Rico) identified as the Nation of Boriquén. In Cuba the scenario was different. According to Harrington (1921: 131): Throughout the work, however, it is clear that the use of the word "Taino" as a general term for the predominant native class of the Greater Antilles, whose language Zayas presents, is studiously avoided. Harrington does not accept that for the experienced ethnologist, linguist and Cuban President, Alfredo Zayas y Alfonzo in 1921 found that the fabricated term Taino was unacceptable, as were the applications describing the Taino as a predominant native class of the Greater Antilles. In addition to the statement by Harrington, Zayas (1914) properly uses and maintains his position that the term Tayno; … seems to have meant good, which was a conscious, significant and legitimate annotation. In the Dominican Republic, Emilio Tejera (1977), 22 Dr. Cayetano Coll y Toste 23 refused to use the term Taino in 1900 and successfully uses Arawaks in Puerto Rico. The Puerto Rican Dr. Stahl (1889) titled his monograph Indios Borinqueños in Stahl (1889: 47-50) he refers to his countrymen as Indo-borincano and the raza Borincana or Borincan race. Dr. Stahl was correct in the use of the history-based term Borincano to identify the Puerto Rican pre-Columbian native. 21 Morales Otero, Pablo. Nuestros Problemas. 1st ed., 1945 22 Tejera, Emilio. Indigenismos. Vol. 1 & 2, Editora Santo Domingo, 1977. Tejera, Emiliano. Palabras Indígenas de La Isla de Santo Domingo. Editora del Caribe., 1951. 23 Coll y Tosté, Cayetano. Prehistoria de Puerto Rico. San Juan boletín Mercantil, 1907. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 252 Novelty Journals Dr. Stahl (1889: 49) 24 … primitive people are closely linked to the ground (earth)." What Brinton (1871) calls "organic nature" what becomes a grounding base for a Caribbean native typical uniformity, were the primitive mobilization, race and social evolution occurred. There are no noted discrepancies between these outstanding classic authors, as history-based terms become the foundation were Taino becomes illegitimate and unnecessary. Dr Stahl never used the term taino he used the terms indo-borincano or borinqueños of Boriquén what was common in Puerto Rico. Pedro Mártir de Anglería (1944: 19) referred to Puerto Rico as Burichena. In Zayas (1914: 102) We have seen in a 1517 document written Burinquén. Hernán Colón in Iglesias (1947: 150) uses the term Boriquén as have other authors regarding Puerto Rican natives. These are historically verifiable terms by Pedro Mártir de Anglería, Hernán Colón, Zayas and others which do not create a cultural crisis. Borincano or Borinqueños integrates into the Puerto Rican communities promoting the organic nature of the soil what is natural to these islands: in typical uniformity. Fewkes (1903: 219) notes: … the various accounts we have of the West Indian tribes indicate that Borinquen Indians were a mixture composed of Arauca and Caribbean race. Yet, Fewkes substitutes what he knew about native Caribbean tribes for tainos. In Navarrete (1941: 33) 25 citing Americo Vespucci: Among them are many varieties of languages. … that from a hundred to hundred leagues they no longer understand each other. Fewkes in the above passage refers to Puerto Rico and Puerto Ricans as, Borinquen or Borinqueños natives as a mixture, which in facts is the pre-Columbian native Caribbean typical uniformity. Fewkes failure to identify tribes, bands and clans singularly spearheaded the move to commercialize the taino fixation for academic advantages, thus, advancing the contemporary cultural crisis. Pedro Mártir de Anglería (1989: 139): … not Diego himself, who at the entrance of Cuba had understood the language of the natives, understood these. The Lucayan Diego Colón visited Dominica, Guadeloupe, Cuba and other islands on their way to the Hispaniola and recognized a different language to his in Cuba. We have Fernández de Navarrete, Amerigo Vespucio, Mártir de Anglería, and Diego identifying varieties of languages representative of multiple ethnic groups cohabiting independent Caribbean organic lands. The substantial Caribbean lexicography is evidence of tribal independence. Selecting Brinton (1871), Zayas (1914) Tejera (1935, 1951, 1977) and Courtz 2008 gathering earlier works of (Boyer 1640, Pretpratt, 1653-1654; Biet 1664; Adams 1893; Goeje 1909; Ahlbrinck 1914-1916-1931; Salle de L 'Estaing dictionary, French eighteenth century., Taylor, Hogg etc.) we can analyse the evolution of both native languages and distinctive cultures. Courtz (2008) Carib dictionary points to "t(y)-ainakùme" rounded hands, "tainaposine" sweet hands, "tainasare" open hands, and "tainamorane" hand gestures all these words are prefixed taina they express hand movements, salutation or gestures. Taino as a singular word representing a race or language is non-existent. Zayas (1914) tells of the Spaniards: … these shouted from the boat Tayno to the aborigines. Both, Courtz and Zayas interpretations agree on the meaning of tayno as "peace or good." Fewkes (1903) translates it as Peace, peace, or We are friends. The interesting thing is that Fewkes says: Among the first words Heard by the comrades of Columbus when they landed in Guadalupe were “Taino! taino!... when in fact it was the Spaniards who shouted to the aborigines "Tayno, tayno.” Fewkes translation is incorrect it can be said that based on that mistake he promoted the inexistent taino to substitute Antillean, Arawak’s, most Caribbean races and native tribes. Fewkes spelling of taino as stated earlier is only consistent with Rafinesque not with Dr. Chanca, Mártir de Angelaría, Major or even Olson & Bourne who use Tayno. Zayas (1914) correctly identifies the original idea of Dr Chanca also in accordance with Mártir de Angelaría and the original translation of Major (1847) where Fewkes, Olson & Bourne, Harrington, Loven, Alegria, Rouse and others are inconsistent with original documents of historical importance. 24 Stahl, Agustín. Los Indios Borinqueños. Imprenta y Librería de Acosta, 1889. 25 Fernández de Navarrete, M. Viajes de Américo Vespucio. Vol. 1, Calpe, 1941. Fernández de Navarrete, M. Colección de los viajes y descubrimientos que hicieron por mar los españoles desde fines del siglo XV: con varios documentos inéditos concernientes á la historia de la Marina Castellana y de los Establecimientos Españoles de Indias. Tomo 4. Expediciones al Maluco; Viaje de Magallanes y de Elcano / coordinada e ilustrada por Martín Fernández de Navarrete. 1837. ISSN 2394-9694 International Journal of Novel Research in Humanity and Social Sciences Vol. 5, Issue 5, pp: (243-256), Month: September - October 2018, Available at: www.noveltyjournals.com Page | 253 Novelty Journals V. CONCLUSION AND RECOMMENDATIONS The perpetuation of a single native Caribbean term fixation considering there are present-day real people in cultural crisis due to it: is unjustifiable. This study confirms how the taino term and terminology continue to be imposed upon the Caribbean simply to fill academic spaces that otherwise would require a historically verifiable and legitimate sets of ethnonyms and exonyms to clarify the current state of disarray. Let’s end by clarifying that the taino, its’s terminologies and components are nothing, but audacious research theories turning into a 21 th century cultural crisis. Make no mistake, the tainos never existed as a race, language or tribe it is exclusively a fixation. A non-native metamorphosis assuming an ancestral person is illegitimate, unjustifiable and in no way can it replace history or ancestry. The conclusion is clear, and the findings are historically verifiable, legitimate and justifiable:  The tainos as a native Caribbean group is a fixation, their application fills imprecise and convoluted spaces.  Tainan culture, taino mythology and other taino terminologies are illusory theories.  The Greater Caribbean had dozens of native bands and tribes that have been ignored as are their descendants. This study strongly recommends corrections be made in Bahamas, Cuba, Dominican Republic, Haiti and Puerto Rico by distancing pre-Columbian Caribbean native’s history from any terminology associated with the term taino. These islands native descendants have a legitimate ancestral right to their own legacy. The core of the cultural crisis includes all people, yet: Caribbean children and young students are at risk and should not be educated to believe that a contemporary academic illusory term can in any way become a real ancestor. Corrections require immediate attention: to save the future of children. The educational systems in the geographical areas covered by this study should correct and return to history-based verifiable ethnonyms and exonyms presenting to their citizenship only a known and reliable national ancestral legacy. Other areas of the world should take notice of terms and terminologies as this cultural crisis is not unique to the geographic region discussed in this study. The need to know ancestry unambiguously is imperative. REFERENCES [1] Abbad y Lasierra, Fray Iñigo. Historia, Geografía Civil y Natural de La Isla de Puerto Rico. José Julián de Acosta y Calbo, 1866. [2] Acosta, Joseph de. Historia Natural y Moral de Las Indias. 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work_z25kchuwwjbntcnf5mzfhvckaa	----	R. Price S. Price Migan In: New West Indian Guide/ Nieuwe West-Indische Gids 68 (1994), no: 1/2, Leiden, 123-133 This PDF-file was downloaded from http://www.kitlv-journals.nl Downloaded from Brill.com04/06/2021 01:09:18AM via free access RlCHARD & SALLY PRICE MIGAN1 Our friend Charlemagne (a.k.a. Émilien), who lives down the road and con- siders himself a breadfruit connoisseur, says that there's only one other tree in southern Martinique whose fruit compares with ours. From our back porch, during the tree's several flowerings each year, we can reach out and piek low-growing fruit by hand, or with a knife-and-pole contraption cut down a milk-flecked orb from higher up in the broad green leaves. This particular tree may even be descended from the oldest breadfruit in the Caribbean, for Martinique was already blessed with trees, transported from "L'ïle-de-France" (Mauritius), by the time Captain Bligh made his 1791-93 voyage from Polynesia, "bringing breadfruit from what was seen to be a Tree of Life in the islands of Paradise ... the very symbol of a free and unencumbered life ... to feed slaves, the living dead of the Caribbean" (Dening 1992:4, 11). Because breadfruit.can't travel (spoiling a day or two after it's picked), it hasn't become as well-known in New York, Toronto, Paris, Amsterdam, or London as have other tropical delights such as mangos and star-apples, and is often absent from Caribbean cookbooks published for external consump- tion. And because of its associations in Martinique with old-fashioned coun- try living - eating breadfruit or rootcrops, all classed together as "légumes" isn't considered modern or French - many people in their thirties or forties say they don't like it, or that they were fed so much of it as children that they no longer appreciate it, and prefer imported rice or potatoes. So this food, at first rejected by the enslaved Africans for whom it was destined (perhaps in part because it was almost forced upon them), embraced by them after emancipation as their own and made an important staple, and now increas- ingly viewed by their present-day, modernizing descendants as "country" and "down-scale" (even "folkloric"), has come nearly full circle. But for the Downloaded from Brill.com04/06/2021 01:09:18AM via free access 124 New West Indian Giüde/Nieuwe West-Indische Gids vol. 68 no. 1 & 2 (1994) families of Martiniquan fishermen or peasants, not fully engaged in the rush to modernity, it's still a special treat when served at the midday meal, whether eaten with a court bouillon of fish or as migan. The noun migan and the verb miganné are common in Martiniquan and Guadeloupean Creole but don't, according to the scholars we've asked (or dictionaries we have at hand) appear in Haitian or St. Lucian. Apparently derived from Brazilian migau ("wheat or manioc pap; [fig.] something very watery or sloppy" [Pequeno Diciondrio Michaelis]), its French Antillean meaning is "puree" (usually of breadfruit but also sometimes of plantains or of chou caraïbe [Xanthosoma sagittifolium]) as well as "mixture" or "confu- sion." As a verb, it can be used to speak straightforwardly of "mixing" ingre- dients in food preparation but it can also refer, disapprovingly, to socio- sexual activities - a man's life, to cite a common example, may be said to be miganné: mixed up with more women than he's able to handle. For those readers fortunate enough to live in breadfruit country, here's our version of the recipe, as it's prepared in the fishing village where we live: a very ripe breadfruit, peeled and cut into 5-cm chunks three pig tails or snouts in brine (salaison) a small diced onion two cloves garlic, crushed several sprigs of parsley, chopped salt, black pepper, and thyme to taste one hot pepper, preferably bonda-man-jak ("Madame Jacques's derriére" - "scotch bonnet" in the Anglophone islands) juice of half a lime 1-2 tablespoons oil Cook the breadfruit and meat in water to cover until the breadfruit begins to be tender (15 minutes or more, depending on the breadfruit). Add all other ingredients except the juice and oil and continue to simmer until the breadfruit is soft. Add the juice and oil and cook several minutes longer until the breadfruit pieces are suspended in a thick, creamy sauce. Taste frequently after adding the hot pepper so you can take it out when the sauce is sufficiently spicy. And now to books, beginning with overdue reviews. Several scholars, slightly tardy, have written pleading not to be put on the list of delinquent reviewers that is becoming an annual tradition in these pages, and promis- ing their reviews forthwith. We respect their good intentions and list only those who have, despite reminder letters, apparently shelved the books in their personal libraries, thus depriving both readers of this journal and the Downloaded from Brill.com04/06/2021 01:09:18AM via free access REVIEW ARTICLES 125 authors of the books the pleasures of public review. Here then is a listing of those books that (as of press time, January 1994) we have been unable to review because those scholars who agreed to do them (identified here by initials in square brackets) have neither provided a review nor returned the books so they might be assigned to someone else. As in the past, this listing may serve as a kind of backlist "books received." (And as always, we would still welcome the submission of any of these reviews, however tardy.) Cuba Af ter Thirty Years: Rectification and the Revolution, edited by Richard Gil- lespie (London: Frank Cass, 1990, cloth £18.00) [J.F.]; From the House to the Streets: The Cuban Woman's Movementfor LegalReform, 1898-1940, by K. Lynn Stoner (Durham: Duke University Press, 1991, cloth US$ 42.50, paper US$ 16.95) [M.N-A.]; a grouping of three books on education: Utilization, Misuse, and Development of Human Resources in the Early West Indian Colonies, by M. K. Bacchus (Waterloo, Ontario: Wilfred Laurier University Press, 1990, paper US$ 19.95), Forging Identities and Patterns of Develop- ment in Latin America and the Caribbean, edited by Harry P. Diaz, Joanna W.A. Rummens & Patrick D.M. Taylor (Toronto: Canadian Scholars' Press, 1991, paper n.p.), and Colony and Nation: A Short History of Education in Trinidad & Tobago, 1834-1986, by Carl C. Campbell (Kingston, Jamaica: Ian Randle, 1992, paper US$ 19.50) [L.C.]; London Calling: VS. Naipaul, Postcolonial Mandarin, by Rob Nixon (New York: Oxford University Press, 1992, cloth US$ 35.00) [J.T.]; Development Strategies as Ideology: Puerto Rico's Export-Led Industrialization Experience, by Emilio Pantojas-Garcfa (Boulder CO: Lynne Rienner, 1990, cloth US$ 34.00) [L.A.]; The Birth of African-American Culture: An Anthropological Perspective, by Sidney W. Mintz & Richard Price (Boston: Beacon, 1992, cloth US$ 25.00, paper US$ 12.00) [K.A.A.]; Caribbean Asians: Chinese, Indian, and Japanese Experi- ences in Trinidad and the Dominican Republic, edited by Roger Sanjek (New York: Asian/American Center at Queens College, 1990, paper n.p.) and Asians in Latin America and the Caribbean: A Bibliography, by Lam- gen Leon (New York: Asian/American Center, Queens College, 1990, pa- per n.p.) [B.G.]; A Photograph Album of Trinidad at the Turn of the Century, by Gérard Besson (Port of Spain, Trinidad: Paria, paper n.p.) and Free Mulatto, by J.B. Philippe (Port of Spain, Trinidad: Paria, 1987, paper n.p.) [D.T.]; Stedman's Surinam: Life in an Eighteenth-Century Slave Society. An Abridged, Modernized Edition of Narrative of a Five Years Expedition against the Revolted Negroes of Surinam, by John Gabriel Stedman, edited by Richard Price & Sally Price (Baltimore: Johns Hopkins University Press, 1992, cloth US$ 60.00, paper US$ 19.95) [LP.]; a grouping of three books by Bernardo Vega on the twentieth-century. Dominican Republic (all Santo Domingo: Fundación Cultural Dominicana): Eisenhower y Trujillo (1991, Downloaded from Brill.com04/06/2021 01:09:18AM via free access 126 New West Indian Gidde/Nieuwe West-Indische Gids vol. 68 no. I & 2 (1994) paper n.p.), Kennedy y los Trujillo (1991, paper n.p.), and Trujillo y el control financiero norteamericano (1990, paper n.p.) [P.G.]; Fyffes and the Banana, Musa Sapientum: A Centenary History 1888-1988, by Peter N. Davies (Lon- don: Athlone, 1990, cloth £ 17.95) [M-R.T.]. We begin our annual roundup of books that deserve brief mention with reference works. Latin America and the Caribbean: A Critical Guide to Research Sources, edited by Paula H. Covington (Westport CT: Green- wood, 1992, cloth US$ 115.00), is a useful NEH-funded state-of-the-art sur- vey written by a team of distinguished scholars, each presenting research trends in a particular discipline: anthropology, art & architecture, history, literature, the performing arts, women's studies, and so forth; despite occa- sional misspellings (e.g., Derx for Derkx) and misattributions (Moreno Fra- ginals's The Sugarmill to Stanley Stein), the scholarship is impressive and the annotations in the extensive bibliographic sections are especially help- ful. The Quincentenary is represented by the two-volume, illustrated The Christopher Columbus Encyclopedia, edited by Silvio A. Bedini (London: Macmillan, 1992, cloth £95.00), for which a stellar cast of international au- thorities have contributed readable essays on everything from Astrolabes and Burial Places of Columbus through Cannibalism and Icelandic Sagas to First Visual Impressions in Europe. V/omen in the Caribbean: A Bibliog- raphy 1986-1990, by Irene Rolfes (Leiden: KITLV, 1992, paper NLG 35.00), follows upon similar volumes published by the same research unit in 1979 and 1985; it presents a single alphabetical listing of 1585 relevant works, covering the diaspora as well as the islands and including unpublished theses, all without annotation. Scholars' Guide to Washington, D.C., for Latin American and Caribbean Studies, by Michael Grow, second edition revised by Craig VanGrasstek (Washington, D.C.: Woodrow Wilson Center Press, Baltimore: Johns Hopkins University Press, 1992, paper US$ 19.95) provides useful practical details on local libraries, archives, map collections, foreign embassies, international organizations, and even bookstores that feature Caribbean publications; indispensible for Caribbeanists planning a stay in Clintonville. The two-volume Writers of the Caribbean and Central America: A Bibliography, by M.J. Fenwick (New York: Garland, 1992, cloth n.p.), moves through the broad region alphabetically, "country"-by-"coun- try," to list writers with titles and dates of selected publications but no anno- tation of any kind; claiming to be a research tooi that brings together litera- tures long separated by colonial and national barriers, the work reads more like a computer printout and contains numerous errors - we are told, for example, that "Guadeloupe, Guyane, Martinique and St. Martin are still French colonies," that Suriname's poet Dobru (Robin Ravales), who died a decade ago, is alive, and that André Schwarz-Bart was born in Guadeloupe. Downloaded from Brill.com04/06/2021 01:09:18AM via free access REVIEW ARTICLES 127 Three dictionaries and a historical gazetteer have come our way. Dictio- nary ofSt. Lucian Creole. Part 1: Kwéyöl-English, Part 2: English-Kwéyöl, compiled by Jones E. Mondesir and edited by Lawrence D. Carrington (Ber- lin: Walter de Gruyter, 1992, cloth DM 298.00) is an impressive achieve- ment, the thirty-year-long painstaking compilation of a St. Lucian educator which has been expertly revised by a leading creolist; the entries are rich in grammatical examples and convey much of the liveliness of St. Lucian daily life and lore. Wortubuku ini Sranan Tongo (Sranan Tongo - English Dictio- nary) and Wortubuku ini Sranan Tongo (Sranan Tongo - Nederlands Woor- denboek), each edited by John Wilner (Paramaribo: Summer Institute of Linguistics, 1992, paper n.p.), are dictionaries-in-progress, still very partial after five years of work, and published to elicit comments and improve- ments; a serious, long-term project that deserves encouragement. Histo- risch-Geograftsch Woordenboek van Suriname, by A.J. van der Aa, edited by René Janssen & Okke ten Hove, with Wim Hoogbergen (Utrecht: Bron- nen voor de Studies van Afro-Surinaamse Samenlevingen, 1993, paper NLG 20.00), is a modest work that includes relevant excerpts from Van der Aa's 13-volume gazetteer of the vast Dutch empire, published 1839-49, here mainly brief entries organized by names of Suriname plantations. Several general works on the region. Caribbean World: A Complete Geography, by Neil Sealey (Cambridge: Cambridge University Press, 1992, paper £7.95) is a textbook designed for secondary schools but covers a wide range of basic information on natural systems, populations, and economy. A Brief History of the Caribbean: From the Arawak and the Carib to the Pre- sent, by Jan Rogozinski (New York: Facts on File, 1992, cloth US$ 24.95), presents a whirlwind tour, from "the gentle Arawak" and "warlike Carib" to Operation Urgent Fury, piling unproblematized "fact" upon "fact" with- out references or suggestions for further reading, for what audience or to what end remains unclear. Britain's Dependent Territories: A Fistful of Islands, by George Drower (Aldershot, Hants: Dartmouth, 1992, cloth £32.50), points out that in terms of numbers of "dependent territories" - what used to be called "colonies" - Britain still has the world's largest empire, from Pitcairn, Gibralter, the Falklands, and Hong Kong to (closer to home) Anguilla, Bermuda, the BVIs, the Caymans, Monserrat, and the Turks & Caicos; the book examines individual cases as well as more general policy implications. The Golden Quest: The Four Voyages of Christopher Columbus, by Michael Anthony (London: Macmillan, 1992, paper £5.95), is an unpretentious retelling of the familiar story, apparently for West Indian (high-school level?) consumption, best when its cadences graze the calypso- nian. Pirates and Privateers of the Caribbean, by Jenifer Marx (Malabar FL: Krieger, 1992, cloth US$ 32.50), is a lively, intelligent popular history. Downloaded from Brill.com04/06/2021 01:09:18AM via free access 128 New West lndian Guide/Nieuwe West-Indische Gids vol. 68 no. I & 2 (1994) Several reprints have appeared. We report the reissue (in facsimile) of Christopher Codrington 1668-1710, by Vincent T. Harlow (New York: St. Martin's, 1990, cloth US$ 39.95), the Standard biography of the Governor- General of the Leeward Islands at the dawn of the eighteenth century, orgi- nally published in 1928. The Autobiography of a Runaway Slave, Esteban Montejo, by Miguel Barnet (London: Macmillan, 1993, paper £13.95), includes a useful new introduction and bibliographical essay by Alistair Hennessy that helps contextualize this important literary work. Atlantic American Societies: From Columbus through Abolition 1492-1888, edited by Alan L. Karras & J.R. McNeill (London: Routledge, 1992, cloth US$ 55.00, paper US$ 16.95), anthologizes - presumably for classroom use - eight articles published by historians during the last two decades. Miscellanea worthy of note: The Material Culture of the Wapishana Peo- ple of the South Rupununi Savannahs in 1989, by Janette Forte, Laureen Pierre & Desrey Fox (Georgetown: Amerindian Research Unit of the Uni- versity of Guyana, 1992, paper n.p.), the fruit of a several-week-long expedi- tion, constitutes a Cook's tour of contemporary Wapishana life and prob- lems, including their complex relations with the world outside. A different perspective on Guyana is provided by Observing Guyana's Electoral Pro- cess, 1990-1992, report of The Council of Freely Elected Heads of Govern- ment (Atlanta: The Carter Center, 1993, paper n.p.), which chronicles the role of international observers in monitoring the Jagan victory. And I Remember Many Things ... Folklore of the Caribbean, compiled and edited by Christine Barrow (Kingston: Ian Randle, 1992, cloth US$ 10.95), is a collection of stories and reminiscences, little poetic gems, illustrated with charcoal drawings by Wendy Donawa, and intended as an antidote for Caribbean children growing up in a world of television and fast food. A major historical work, winner of the 1992 Elsa Goveia prize, reached us too late for review, but merits mention: Sugar is Made With Blood: The Conspiracy of La Escalera and the Conflict between Empires over Slavery in Cuba, by Robert L. Paquette (Middletown CT: Wesleyan University Press, 1988, cloth US$ 30.00, paper US$ 16.95). Despite repeated attempts, we regret that academie politics have prevented us from finding a scholar will- ing to review Voodoo and Politics in Haiti, by Michel S. Laguerre (New York: St. Martin's, 1989, cloth US$ 35.00). Het gedrukte woord in de Neder- landse Antillen en Aruba, by J. Hartog (Zutphen: De Walburg Pers, 1992, paper NLG 39,50), lovingly traces the history of two centuries of Dutch Antillian printing, libraries, and bookstores, providing details on collections in both the Caribbean and the metropole. A trip to Belize acquainted us with three recent travel books: Inside Bel- ize, by Torn Barry (Albuquerque: Inter-Hemispheric Education Resource Downloaded from Brill.com04/06/2021 01:09:18AM via free access REVIEW ARTICLES 129 Center, 1992, paper US$ 9.95), an excellent tour through local society, poli- tics, economy, and culture; Belize Guide, by Paul Glassman (Champlain NY: Passport Press, 1991, paper US$ 13.95), a reliable Baedeker; and The Very Rich Hours: Travels in Orkney, Belize, the Everglades, and Greece, by Emily Hiestand (Boston: Beacon, 1992, paper US$ 12.00), which spins brief encounters with Belizean nature and people into delicate prose. We were also introduced to Belize's premier publishing house, Cubola Productions (located in Benque Viejo de Carmen, right next to the border with Guate- mala), whose books deserve wider international attention and distribution. Among their recent publications of Caribbeanist interest, still in stock in 1993, are: Heart Drum: Spirit Possession in the Garifuna Communities of Bel- ize, by Byron Foster (1986, revised edition 1994, paper n.p.), which summa- rizes the author's Cambridge dissertation; The Baymen's Legacy, by Byron Foster (1992, paper US$ 11.00), a historical introduction to Belize City, char- acterized on the jacket as "Dickensian London on the shores of the Carib- bean"; Party Politics in Belize, 1950-1986, by Assad Shoman (1987, revised edition 1994, paper n.p.), political analysis by a leading Belizean intellectual; and four works of literature - Old Benque: Erase una vez en Benque Viejo..., by David N. Ruiz Puga (1990, paper US$ 9.00), short stories in Spanish; On Heroes, Lizards, and Passion, by Zoila M. Ellis (1988, paper n.p.), a first book of short stories; Pataki Full: Seven Belizean Short Stories, by Colville Young (1991, paper US$ 9.00), the Belizean creolist; and Shots from the Heart: Three Young Belizean Poets, by Yasser Musa, Kiren Shoman & Simone Waight (1991, paper US$ 9.00). Several books on religion merit note. Doctrinapara negros: Explicación de la doctrina cristiana acomodada a la capacidad de los negros bozales, by Nico- las Duque de Estrada, transcribed and introduced by Javier Lavina (Barce- lona: Sendai, 1989, paper n.p.), publishes a late eighteenth-century Cuban manuscript from the Biblioteca Nacional José Marti, with a rich historical introduction. Kerkwandel & lekenhandel: De rooms-katholieke kerk op Curacao, edited by B. Boudewijnse, H. Middelbrink & C. van de Woestijne (Amsterdam: Het Spinhuis, 1992, paper NLG 29.50), presents six anthropo- logical and historical essays on the influence of the R.C. Church on daily life in Curacao. Descubrira Dios en el Caribe: Ensayossobre la historia de la iglesia, by Armando Lampe (San José, Costa Rica: Editorial DEI, 1991, paper n.p.), presents essays on Cura?ao and Haïti by this Aruban cleric-historian. Mis- sion in Chains: The Life, Theology and Ministry of the Ex-Slave Jacobus E.J. Capitein (1717-1747), with a Translation ofhis Major Publications, by David Nii Anum Kpobi (Zoetermeer: Boekcentrum, 1993, paper NLG 45.00), focuses on the life of this eighteenth-century man, born on the Gold Coast, who after serving as a child-slave, studied as a freedman in the Netherlands, Downloaded from Brill.com04/06/2021 01:09:18AM via free access 130 New West Indian Guide/Nieuwe West-Indische Gids vol. 68 no. I & 2 (1994) and became Dutch Reformed minister for the West India Company at Elmina Castle. A callaloo of cookbooks and related works. Chilies to Chocolate: Food the Americas Gave the World, edited by Nelson Foster & Linda S. Cordell (Tuc- son: University of Arizona Press, 1992, cloth US$ 24.95), presents a series of readable scholarly essays on tomatoes, potatoes, vanilla, maize, beans, cap- sicums, and a host of other New World contributions to world diet. A paean to pre-revolutionary upper class privilege (as well as the good life in Miami), Memories of a Cuban Kuchen, by Mary Urrutia Randelman & Joan Schwartz (New York: Macmillan, 1992, cloth US$ 25.00), offers some excel- lent recipes, served up with wit. There are a number of slimmer culinary volumes. First a pair, Creative Jamaican Cooking & Menus and Creative Bahamian Cooking & Menus, both by Elsa Miller & Leonard "Sonny" Henry (and both Kingston: Kingston Publishers, 1991, paper US$ 6.95), which share many of their relatively simple recipes. Then three more ambi- tious cookbooks from The Crossing Press (Freedom CA): Jerk: Barbecue from Jamaica, by Helen Willinsky (1990, paper US$ 10.95), filled with help- ful hints for fiery backyard barbecues, Callaloo, Calypso & Carnival: The Cuisines ofTrinidad & Tobago, by Dave DeWitt & Mary Jane Wilan (1993, paper US$ 10.95), which mixes travel tips and recipes, and Caribbean Des- serts, by John DeMers (1992, paper n.p.), whose author knows his sweets, from street vendors to hotel kitchens - we're hoping our fruit ripens before Christmas so we can try his "chocolate-glazed soursop cake." Finally, Cook- ing with Caribbean Rum, by Laurel-Ann Morley (London: Macmillan, 1991, paper n.p.), despite its featured ingrediënt, has that Family Circle magazine look and too many glazed and canned pineappled concoctions for our taste. Three oversized photo books. Isles of Eden: Life in the Southern Family Islands of the Bahamas, by Harvey Lloyd (Akron OH: Benjamin, 1991, cloth US$ 65.00), juxtaposes breathtaking, often-moving images (mainly portraits) with sparse verbal fragments from out-islanders. Caribbean Cam- era: A Journey through the Islands, photos by Oliver Benn and introduction by Lennox Honychurch (London: Macmillan, 1992, cloth £19.95), collects images from here and there, but without any apparent point. The Black Trans-Atlantic Experience: Street Life and Culture in Ghana, Jamaica, England, and the United States, by Stephen Mare (Champaign: University of Illinois Press, 1992, cloth US$ 49.95), is a rich, multifaceted album by an African American fine-art-oriented documentary photographer. Literary works that we've received include: a beautiful bilingual edition of the long poem, The Indies/Les Indes, by Edouard Glissant (Toronto: GREF, 1992, paper n.p.); an excellent and nicely representative anthology, Green Cane and Juicy Flotsam: Short Stories by Caribbean Women, edited Downloaded from Brill.com04/06/2021 01:09:18AM via free access REVIEW ARTFCLES 131 by Carmen C. Esteves & Lizabeth Paravisini-Gebert (New Brunswick NJ: Rutgers University Press, 1991, paper US$ 11.95); a wonderful celebration of the cultural richness and diversity of Suriname, Sirito: 50 Surinaamse vertellingen, compiled by Michiel van Kempen with Jan Bongers (Parama- ribo: Kennedy Stichting, 1993, paper n.p.); a new edition of a standard anthology that keeps all the original selections and adds half again as many new ones, Caribbean Poetry Now, edited by Stewart Brown (London: Edward Arnold, 1992, paper US$ 10.95); two original books of Caribbean poetry (both London: New Beacon, 1992, cloth £10.95, paper £5.95), written from opposite sides of the Atlantic, Examination Centre by Mervyn Morris and Eyelets ofTruth within Me by John La Rose; a Belizean novel, In Times Like These, by Zee Edgell (Oxford: Heinemann, 1991, paper £4.99), that pivots around the moment of independence but in our view lacks the pas- sion of her earlier Beka Lamb; and a collection of important political writ- ings, with a fine introduction by Franklin Knight, Richard B. Moore, Carib- bean Militant in Harlem: Collected Writings 1920-1972, edited by W. Burghardt Turner & Joyce Moore Turner (Bloomington: Indiana Univer- sity Press, 1992, paper £ 16.50). Literary activity in Martinique has continued apace. French publishers are still refusing to send us review copies, so the following comments are limited to those works we happen to have bought ourselves. Each of the most active local novelists made a contribution this year, some achieving fame and riches as a result. Patrick Chamoiseau won the Prix Goncourt for Texaco (Paris: Gallimard, 1992, paper FF 120), an epic covering the last two centuries of Martiniquan history from the perspective of the twentieth-century urban neighborhood in the book's title. Raphaël Confiant won the Casa de las Americas prize for Ravines du devant-jour (Paris: Gallimard, 1993, paper FF 85), a muscular memoir of his childhood, following on the heels of his Prix Novembre for Eau de café (Paris: Grasset, 1991, paper FF 115). Xavier Orville published Coeur d vie (Paris: Stock, 1993, FF 98), continuing his highly precious series of fantasies about the island. With Fenm Dèwó (Schoelcher, Martinique: Éditions M.G.G., 1993, paper n.p.) Tony Delsham added another to his popular quasi-pulp novels aimed largely at Martiniquan women. Éloge de la créolité/In Praise ofCreoleness (Paris: Gallimard, 1993, paper, FF 78) is a bi-lingual edition of Jean Bernabé, Patrick Chamoiseau & Raphaël Confiant's 1989 manifesto; the English text, originally published in the journal Callaloo, is filled with malapropisms and errors, but the arro- gance and frequent ignorance of the original are faithfully retained. And, saving the best for last, Édouard Glissant has just published Tout-Monde (Paris: Gallimard, 1993, paper, FF 160), a richly-layered, poetic, self-refer- ential novel that, while anchored in Martinique, takes the world as its subject. Downloaded from Brill.com04/06/2021 01:09:18AM via free access 132 New West Indian Guide/Nieuwe West-Indische Gids vol. 68 no. 1 & 2 (1994) Finally, a lavish art catalogue touches our own expertise and merits brief comment: Face of the Gods: Art and Altars ofAfrica and the African Amer- icas, by Robert Farris Thompson (New York: Museum for African Art, 1993, paper US$ 39.50). A characteristic mixture of visionary, fiamboyant prose, insouciant scholarship, inadequate citations, and parachute ethnog- raphy, this massive catalogue covers large swaths of the black Atlantic world. It bristles with ideas and images, many of them stimulating and con- ducive to further historical research. But as RFT once reflectively remarked to us about his work, "Let the others dot the i's and cross the t's!" As f ar as Suriname is concerned, we note here only that Thompson (in an exoticizing move like that of the New York ice-cream executive who made up the Scan- dinavian-sounding name "Haagen-Dazs" for his product) renames the Ndjuka "Ndjuka"; that he freely uses the periodization of Saramaka art history, which the two of us created after long-term fieldwork, without ever citing the book where it is developed (Price & Price 1980, an omission repeating that in his well-known Flash of the Spirit, which also drew signif- icantly on that work); that he places in his exhibit at the Museum for African Art what are labeled "Two Tapanahoni River Flag Altars" (with small pho- tos of the originals in situ), one of which is in fact in the Saramaka capital, many river days removed from the Tapanahoni; and that the latter altar (a "representation" according to one label, an "evocation" according to an- other) has its cloths hung backwards, its doors opening in the wrong direc- tion, and no space for people to sit, pour libations, or communicate with the ancestors (which is what the original altar is for). Thompson's claim (p. 129) that a section of the book is designed to "honor Richard Price's research" is ultimately less than flattering. For much of the scholarship is reminiscent of the classic openwork Saramaka door that Thompson installed in a Yale Art Gallery exhibition twenty-five years ago, backlit, at eye-level, and identified as a window (an architectural feature absent among Saramakas). Like his earlier work, as described in a balanced and detailed review by Arnoldi & Karp (1985)2, this ambitious book is "a curious amalgam of insights and unsubstantiated assertions" in which, to bring us back to a culinary meta- phor, "the successful [trans-Atlantic] comparisons are the raisins sparsely populating the rice pudding of failed speculation." N O T E S 1. This end-of-year review continues the tradition of culinary metaphors begun by its prede- cessors: "Caribbean Pepper-Pot" (NWIG 58:89-98), "Callaloo" (NWIG 66:95-99), and "Run- down" (NWIG 67:101-8). Downloaded from Brill.com04/06/2021 01:09:18AM via free access REVIEW ARTICLES 133 2. We quote Arnoldi & Karp's original text which they sent us in typescript; the printed version was edited to remove the rice pudding. REFERENCES A R N O L D I . MARY JO & IVAN KARP, 1985. Review of Flash of the Spirit, in Art in America (November):23-27. D E N I N G , G R E G , 1992. Mr Bligh's Bad Language: Passion, Power and Theatre on the Bounty. Cambridge: Cambridge University Press. PRICE, SALLY & RICHARD PRICE, 1980. Afro-American Arts of the Suriname Rain Forest. Ber- keley: University of California Press. RICHARD & SALLY PRICE Anse Chaudière 97217 Anses d'Arlet, Martinique Downloaded from Brill.com04/06/2021 01:09:18AM via free access 
work_z47gpnbyhbavzplkfrc34kx56e	----	Document downloaded from: This paper must be cited as: The final publication is available at Copyright Additional Information http://dx.doi.org/10.1080/10494820.2015.1090455 http://hdl.handle.net/10251/87834 Taylor & Francis Martín San José, JF.; Juan, M.; Mollá Vayá, RP.; Vivó Hernando, RA. (2017). Advanced displays and natural user interfaces to support learning. Interactive Learning Environments. doi:10.1080/10494820.2015.1090455. *Corresponding author. Email: mcarmen@dsic.upv.es 1  Advanced Displays and Natural User Interfaces to support learning Juan-Fernando Martín-SanJoséa, M.-Carmen Juana*, Ramón Molláa, Roberto Vivóa   a Instituto Universitario de Automática e Informática Industrial, Universitat Politècnica de València, Camino de Vera, s/n. 46022 Valencia, Spain Advanced displays and Natural User Interfaces (NUI) are a very suitable combination for developing systems to provide an enhanced and richer user experience. This combination can be appropriate in several fields and has not been extensively exploited. One of the fields that this combination is especially suitable for is education. Nowadays, children are growing up playing with computer games, using mobile devices, and other technological devices. New learning methods that use these new technologies can help in the learning process. In this paper, two new methods that use advanced displays and NUI for learning about a period of history are presented. One of the methods is an autostereoscopic system that lets children see themselves as a background in the game and renders the elements in 3D without the need for special glasses; the second method is a frontal projection system that projects the image on a table in 2D and works similarly to a touch table. The Microsoft Kinect© is used in both systems for the interaction. A comparative study to check different aspects was carried out. A total of 128 children from 7 to 11 years old participated in the study. From the results, we observed that the different characteristics of the systems did not influence the children’s acquired knowledge, engagement, or satisfaction. There were statistically significant differences for depth perception and presence in which the autostereoscopic system was scored higher. However, of the two systems, the children considered the frontal projection to be easier to use. We would like to highlight that the scores for the two systems and for all the questions were very high. These results suggest that games of this kind (advanced displays and NUI) could be appropriate educational games and that autostereoscopy is a technology to exploit in their development. 1. Introduction The rapid development of technology has provided a lot of new and advanced systems that were unimaginable just a few years ago. Nowadays, the use of technological systems is common for daily tasks such as playing at home. The user increasingly expects to have an experience that is similar to the real world, which means having stereoscopic visualization and interacting naturally. For both of these, the user desires to wear as few devices and wires as possible. The user perceives the illusion of depth with stereoscopic visualization. To achieve stereoscopic visualization, three main technologies are used: passive, active, and autostereoscopic. The main difference between active/passive stereoscopy and autostereoscopy is that the autostereoscopic visualization generates the illusion of depth without the use of special glasses or other headgear. For natural user interaction, Microsoft Kinect© (Kinect) has been a revolutionary device. Kinect is widely used in video-games by connecting it to an Xbox console; nevertheless, it is also possible to develop Kinect programs for PCs. These possibilities have led the natural user interaction to be incorporated in a large number of different types of applications. However, advanced displays and Natural User Interfaces (NUI) have not been extensively exploited in learning environments. From our point of view, this technology is on the right track for being a good complement to the traditional educational approach. In our systems, the Kinect device was used to recognize the user’s gestures. The first system uses an autostereoscopic display as the visualization device, and it merges the 2  image from the real world captured by the camera with the virtual elements that are rendered in 3D. The second system consists of a projected surface that is used as an interactive table. Different technologies such as Augmented Reality (AR) have been used to develop educational systems (e.g. Furió et al., 2013). Taking into account Azuma’s definition of AR, our autostereoscopic system cannot be considered an AR system; however, it shows the real world captured by the Kinect camera as the background and mixed virtual elements. In the two systems, the children use gestures for the interaction. The first difference between the two systems is that, in the autostereoscopic version, the children perform the gestures in the air, and in the frontal projection system, the gestures are performed over the table. The second difference is that in the autostereoscopic system, the visualization of the models is rendered in 3D, and the visualization of the projected system is not stereoscopic (2D). Using the combinations of autostereoscopic display+Kinect and projected surface+Kinect, we designed an educational game about historical ages. To our knowledge, this is the first time that these combinations have been used to develop a learning environment for children and have been compared. Our first idea was to compare the two systems without stereoscopy (vertical and horizontal projection/interaction), that is, only checking the effects of NUI (in the air vs. over a table). Our second idea was to add stereoscopy to the two systems. In that case, the two systems would have stereoscopy and NUI, and, therefore, only the effects of the difference in the interaction could be studied. However, we would like to study whether or not autostereoscopy provides positive effects on learning. For that reason, and with the aim of studying the potential of NUI as well, we decided to compare two configurations (frontal NUI+2D visualization vs. vertical NUI+3D visualization). Nevertheless, other possible comparisons could be considered. Several of them are proposed in the conclusion section as future work. The first objective of this work was to develop two different systems that include advanced displays and NUI. The second objective was to carry out a study to find out which system was most appreciated and effective. The first of our three hypotheses is that the children will prefer the autostereoscopic system over the frontal projection system. The second of our hypotheses is that children will increase their knowledge about the subject treated in the game by using the two systems, and that the autostereoscopic system would lead to greater learning results. Our assumptions for formulating these hypotheses are the following:  The autostereoscopic display provides an illusion of depth that could improve the immersion in the game. Pang et al. (2006) pointed out the positive effects of stereoscopic video for learning purposes. In their study, Arino et al. (2014) deduced that children perceive the illusion of depth in autostereoscopic displays.  Since the autostereoscopic display is 46”, the fact that the children can play video-games using such a big TV could make a deep impression on them and they might eager to start playing. While playing, the children can see themselves inside the game in the display, and this could give them a sensation of prominence that could encourage them and could influence their motivation and involvement in the game. Some studies have pointed out the positive relationship between satisfaction and learning outcomes (Lee et al., 2011; Shea et al., 2004). The third hypothesis is that the frontal projection system will be easier to use. Our assumption for this hypothesis is that nowadays children are accustomed to using actual gadgets and peripherals that are controlled in the same way, which is much different than using a gesture-oriented autostereoscopic system. Most children of this generation 3  have grown up playing with electronic devices and computer games and have been surrounded by technology since they were born (Bekebrede et al., 2011). 2. Background NUI are an important modality for human-computer interaction. According to Fishkin (2004), NUI facilitate the acceptance of an application by users. Meanwhile (Gope, 2011) stated that compared to many existing interfaces, hand gestures have the advantages of being easy to use, natural, and intuitive. Roman (2010) pointed out that “The mouse’s days are numbered”; the current trend in new devices, games, and consoles is to get rid of all gamepads, joysticks, and other input methods. NUI allow users to be the controller themselves by detecting the position of the different parts of their body. In this paper, we present a comparison between two different NUI (touch over a surface vs. gestures in the air). The first part of this section focuses on previous works in which comparisons were performed where one of the systems used was similar to those presented in this paper. First, several works have focused on touch table/screen devices for determining their usability and advantages over other devices. For example, Bhalla & Bhalla (2010) compared various touch screen technologies and concluded that touch screens have several advantages over other pointing devices, one of which is that they are easy to use mainly because they use direct manipulation. Buisine et al. (2007) studied the usability and usefulness of interactive touch table technologies vs. traditional paper-and-pencil to support group creativity in a mind-map application. Twenty-four users participated in their study. Their results showed no significant difference between the two methods regarding the ease of use. There was also no difference in idea production, but the touch table condition significantly improved both the subjective and the collaborative dimensions. Soro et al. (2011) compared the user’s behavior in a task of pair programming, which was performed at a traditional desktop vs. a multi-touch table. Forty-four students between 20 and 35 years old participated in the study working in pairs. Their study showed that people performed significantly better at the multi-touch table than at the desktop, especially for exercises that involved cooperation, discussion, and exchange of communicational information. The conclusions of these works suggest that touch tables/screens are easy to use and promote collaboration. Second, taking into account the features of Kinect as a device for NUI, several works involving adults have also studied the effectiveness and ease of Kinect with regard to other devices. For example, Juhnke (2013) compared the interaction in a medical imaging application using Kinect and using a mouse. Seventeen people between 22 and 45 years old participated in the study. The results showed that in both cases the participants were able to correctly identify the anatomy with an accuracy of 75%; however, those using the Kinect spent less time to complete the tasks. Libardi et al. (2014) also compared the Kinect with a mouse device for information visualization (e.g., cars). Their study involved twenty participants (teenagers and adults). From their results, they concluded that quantitatively (time, and number of operations) and qualitatively (physical effort and ease), the Kinect device was not as efficient as the mouse. However, the qualitative subjective measures pointed out a higher user satisfaction with respect to the convenience and the adequacy of Kinect. Moreover, the users declared a reasonably higher desire to substitute the mouse for the Kinect. They also identified several disadvantages such as that Kinect requires extra effort and attention from the users who are standing and have to make the right movement at the right time which is in contrast to the mouse interaction where the users are sitting and 4  only have to move one hand. Francese et al. (2012) compared a Wii Remote and the Kinect for 3D geographical mapping. Twenty-four people between 18 and 41 years old participated in the study. Hand gestures were used to navigate in a virtual environment by measuring yaw, pitch, and roll. In their study, the Kinect showed less variability in task performance and was less distracting. Tsai & Yen (2013) developed a cubic net assisted learning system for enhancing learners’ spatial ability that used Kinect for the interaction. Ninety-eight students participated in the experiment. They were taking information technology and science courses at the university. The results showed that the usability of their system was suitable for learning and that it encourages the students to become active learners. Finally, the work that is most closely related to ours is the work by Tuveri et al.(2013), in which they compared the control of a planetarium using the Kinect and a multi-touch table. In that work thirteen users between 21 and 26 years old participated in the study. Even though their results did not reveal differences in the overall usability between the two versions, the means for the multi-touch table were slightly higher. However, the authors indicated that they found a difference in the perceived control of the application (which was higher in the multi-touch version) and in the perceived realism of the experience (which was higher in the Kinect version). With regard to interaction, our work is similar to Tuveri et al.’s work because both compare the interaction of a touch table with the Kinect. However, there are differences: their vertical system did not consider stereoscopy, their study did not consider learning outcomes, their sample size was smaller than ours and their participants were adults and ours were children. Third, some studies involving children and systems that use Kinect can also be mentioned. A therapeutic modality for children with cerebral palsy using Kinect was presented by Luna-Oliva et al. (2013). In this study, a post-treatment and a follow-up assessment related to motor and process skills were performed. After 8 weeks of treatment, the results showed statistically significant differences between pre- and post- treatment. Hsu (2011) studied the potential of Kinect in education by carrying out a survey of Kinect tools related to interactivity, gestures, teaching, learning, and pedagogical background. These tools were oriented for children, like Mikumikudance or Scratch. Hsu stated that as a learning tool, Kinect has the affordances to create enjoyable, interesting interaction types to boost student motivation and to promote learning via its multimedia and multi-sensory capacity. Boutsika (2014) suggested using Kinect as a learning auxiliary tool for children with autism. Ten children with moderate autism participated in the study. The results showed that Kinect games enable children to work in teams, and this helps children to cooperate and gradually develop their oral expression. Wang & Cheok (2011) also presented a gaming platform with Kinect. Their game used mixed reality to support playful learning for children. The flexibility of this game stimulated imagination, enabled children to have more control, and allowed them to customize their gaming experience easily. De Greef et al. (2013) stated that one way to improve the engagement of physical therapy is to embed it into a game with the aid of Kinect. The aim of their work was to design Kinect-based games using full body interaction for children with mild motor disabilities. Fourth, to our knowledge, very few autostereoscopic systems for learning purposes have been presented. One of these works is Arino et al.’s work (2014). Arino et al. carried out a study comparing Augmented Reality (AR) and Virtual Reality (VR) using an autostereoscopic display in which 39 children from 8 to 10 years old participated. In this study, no statistically significant differences were found between AR and VR. Nevertheless, the authors deduced that the children perceive the illusion of depth in autostereoscopic displays even though they only used autostereoscopy and did not 5  compare 3D vs. non-3D. AR has been used for developing educational applications; for example, the water cycle (Furió et al., 2013a), or multiculturalism, solidarity, and tolerance (Furió et al., 2013b). In the water cycle game (Furió et al., 2013a), the authors presented an educational game for an iPhone and a Tablet PC to reinforce children’s knowledge about the water cycle. The effects of the size and weight of the mobile devices were compared. Seventy-nine children from 8 to 10 years old participated in the study. The authors observed that the different characteristics (screen size and weight) of the devices did not influence the children’s acquired knowledge, engagement, satisfaction, ease of use, or AR experience. In Furió et al.’s (2013b) work, the authors compared an iPhone game with a traditional game. A total of 84 children ranging in age from 8 to 10 years old participated in their study. The authors did not find significant differences between the two groups for learning outcomes. 3. Systems Development Custom software was required to develop the two systems. Custom hardware was also required for the frontal projection method. This section presents the design principles and a description of the game and briefly explains the software and hardware required to develop the game for the two systems. 3.1.Game Design The subject chosen for the game was a historical timeline, with five historical ages (Prehistory, Ancient Times, the Middle Ages, the Early Modern Period and the Contemporary Period). The knowledge presented in the game is the same as what the children study at school. This knowledge was extracted from books used in the classroom. To design our game, several theories and guidelines were considered: 1) The experiential learning theory of Constructivism (Dewey, 1963). 2) The approach for the computer-supported group-based learning system proposed by Strijbos et al. (2004). Strijbos et al.’s approach consists of five elements: three elements are shown as dimensions (learning objectives, task type, and level of pre-structuring); two elements are shown in terms of discrete categories (group size and computer support). The following six steps are suggested for the design of a game:  Determine the learning objectives  Determine the expected (changes in) interaction  Select the task type  Determine whether pre-structuring is needed and how much  Determine group size  Determine how computer support can be applied (with, at, through) 3) The design guidelines for classroom collaborative games proposed by Villalta et al. (2011). Villalta et al.’s proposal considers the following features:  Interactivity and guidance  Mechanics linked to learning objectives  Clear narrative  Gradual increase in difficulty  Teacher mediation during the game  Organization of face-to-face interaction  Mechanics linked to collaboration  Adequate spatial distribution 6  4) The DPE framework (Winn, 2008) which considers the following layers:  The learning layer  The storytelling layer  The gameplay layer  The user experience layer A more detailed explanation about the game, including theories, design guidelines, and how these theories and guidelines have affected the design of our game can be found in Martín-SanJosé et al. (2014a) and Martín-SanJosé et al. (2014b). 3.2.Description of the game The aim of the game is to reinforce the learning of the concept of timeline, including its order, and the characteristics of each historical age. The game is divided into mini- games, several of which pertain to each time period on the timeline. There are also video and audio explanations at the beginning of the mini-games to introduce the historical ages and to give more detailed information. In our study, the game had the same stages and order in both configurations. The children played the game from Prehistory to the present day. The children had to use their own hands to interact with the games, searching for shapes or pressing buttons by moving their hands to the active area. In the case of frontal projection, the buttons were placed at the bottom of the screen ( Figure 2), half of the buttons appear on the left (for one child) and the other half of the buttons appear on the right (for the other child). In the autostereoscopic case, the buttons were placed on the sides of the display following the same idea; half of the buttons appear on the left side (for one child) and the other half of the buttons appear on the right side (for the other child) (Figure 3). For the visualization, the main difference between the two systems is that in the frontal projection, the visualization is in 2D (without illusion of depth), and in the autostereoscopic system, the visualization is in 3D. All the contents of the game are 3D models, except the videos. Even the buttons were modelled in 3D. Moreover, the 3D models have a spinning movement. In the case of the autostereoscopic system, this movement allows the 3D perception of the game elements to be increased. Figure 1 shows a 3D model of the medieval castle. The game consisted of seven mini-games that were distributed along the five historical ages mentioned above. The color code for the buttons used in the game was the following: yellow for unselected buttons, green for buttons selected correctly, and red for buttons selected incorrectly. At the beginning, the children heard the voice of an avatar introducing them to the game. Once they were ready to start, they had to select the first historical age from the timeline, Prehistory, by pressing the correct buttons. After a video explanation of 7  Prehistory, they played two mini-games from this time period; the first consisted of finding some cave paintings. In this mini-game, an image of a cave is shown in which two paintings are hidden. The paintings can be identified because two faint silhouettes are shown. The children have to find the silhouette that is on their side by passing their hand over the painting area: in the autostereoscopic system, the children wave their hand over the painting area; in the frontal projection system, the children touch the painting area. This interaction is the same for the entire game. In the second mini-game, the children had to select a color that was used during the Prehistory period and leave an imprint of the shape of their hand in the cave. When all of this was done, they had to select the next historical age; this time, it was the turn for Ancient Times. In this mini- game, the children had to reconstruct a Roman city by placing different architectural elements such as the Roman circus in the city. A map without the architectural elements of an ancient city appears on the screen. The children have to reconstruct the city adding the architectural elements by selecting buttons that appear on their side. Afterwards, the game asked them some questions about the use of the buildings they had just used to construct the Roman city. In this mini-game, the buildings appear (rotating) in the center of the screen and the children have to choose the correct button from the buttons in their side. The next historical age was the Middle Ages. Here, the children had to build a medieval castle in the same way as the mini-game of the ancient times. After completing the Middle Ages, the children began the Early Modern Period, where they had to find three objects that Christopher Columbus used in his journeys to discover the American continent. . These objects are found when the children pass their hand over the object area. Once all of these objects were found, the children reached the final historical age (and last stage) of the game, the Contemporary Period. Finally, the children had to complete a puzzle that recreated the timeline. The timeline appears in the upper area of the game with holes where the historical time periods should be placed. Half of them appear on one side (for one child) and the other half appear on the other side (for the other child). The children have to take the historical time period and drop it into the correct position. Figure 4 shows how the buttons were located throughout the game; hand-shaped pointers for hand guidance are also shown. The avatar that guided the children during the whole game is represented by an alarm clock figure, which is shown in the upper- left corner. He guided the children telling them what they must do in each part of the mini-games. 3.3.Technical features 8  For the autostereoscopic system, the real world and users’ gestures are captured by a Kinect device. The Kinect was placed in front of the 3D display, which was centered relative to the 3D display. Also, there were two numbered markers at a distance of about 2m. from the display to let the children know the surface area where they should stand. The autostereoscopic rendering was made possible by using an XYZ display. The specific model was XYZ3D8V46, which had a screen size of 46” and full HD resolution (1920×1080 pixels). The OpenSceneGraph toolkit 3.0.1 was used to render the 3D models and the virtual world. The autostereoscopic rendering was performed by using the Mirage SDK (www.mirage-tech.com). OpenNI and the Kinect drivers for Windows were used for registration and video capture. For the frontal projection system works as a touch screen ( Figure 2). For the user interaction, a Kinect device and an InFocus IN1503 short throw projector were used for the projection. A table covered with a white cardboard was used for the projection area. A steel support was used to place the Kinect device and the projector vertically as shown in Figure 5. The table surface was used for capture and display at the same time. The programming language that was used to develop the game was C#. We also used the XNA Framework with the official Kinect drivers from Microsoft. Emgu.CV was used to manipulate complex graphics. GoblinXNA was used to display the 3D scene. 4. Description of the study This section presents the characteristics of the children that played the game, the measurements that were used during the experiment, and the steps that were followed. As mentioned in the introduction section, the three hypotheses to corroborate in our study are the following: 1) The children will prefer the autostereoscopic system over the frontal projection system. 2) The children will increase their knowledge about the subject treated in the game by using the two systems, and that the autostereoscopic system would lead to greater learning results. 3) The frontal projection system will be easier to use. 4.1.Participants A total of 128 children participated in our study. There were 67 boys (52.34%) and 61 girls (47.66%). They were between seven and eleven years old, and they had already finished their academic course between the second and fifth grades of primary school. The mean age was 8.96 ± 0.90 years old. All of the children belonged to the same 9  summer school and they all lived in a similar environment. The children had computers at home and they were used to playing computer and mobile games, mostly on weekends. Therefore, most of them had previous experience playing video games. Moreover, none of them had serious problems when using the two systems. 4.2.Measurements To retrieve data for the analysis, three different questionnaires were used. There was a pre-test questionnaire with only thirteen questions of plain text related to knowledge. The knowledge questions were multiple‐choice with four, five, or six options. For the knowledge variable, these questions were counted as 0 for fail and 1 for success. This test was used to evaluate the children’s knowledge before they started playing the games. There was a second post-test questionnaire. This questionnaire had the same thirteen questions from the pre-test, and thirteen additional questions related to different aspects including usability. By comparing the pre-test and this post-test, it was possible to determine if there had been an increase in knowledge. There was a last questionnaire that the children filled out once they had played with the two system configurations. This questionnaire was used to determine which of the two configurations they preferred. This questionnaire had nineteen questions; ten questions obtained information about the last configuration played and the last nine questions compared the two configurations. 4.3.Procedure The participants were assigned to one of the following two groups:  Group A: Participants that played with the autostereoscopic configuration first and afterwards played with the frontal projection configuration.  Group B: Participants that played with the frontal projection configuration first and afterwards played with the autostereoscopic configuration. The A and B groups were balanced by grouping the children into pairs (1 boy + 1 girl, 2 boys, 2 girls), with the same number of pairs for each combination. The participants filled out web-based questionnaires using a computer. The children did not complain about the number of questions or about having to use a computer to answer them. The following protocol was used: 1. A pair of children filled out the pre-test questionnaire (PreAuto for Group A and PreFrontal for Group B). 2. These children played one configuration (frontal projection or autostereoscopy). The children went through all historical ages with this configuration. 3. Then, they filled out the post-test questionnaire on-line (Pos1Auto for Group A, and Pos1Frontal for Group B). 4. Then, they played with the other configuration that they had not played with in step 2. For their second game, the children were asked which historical time period was their favorite. That favorite historical age was the only mini-game that they played with the second configuration. This implies that the time spent with the second configuration was shorter. 5. Finally, they filled out the final questionnaire (Pos2Auto for Group A, and Pos2Frontal for Group B). 5. Results 10  The data from the study were analyzed using the statistical open source toolkit R. 5.1.Learning outcomes Several t-tests were performed to determine if there were significant differences in the knowledge acquired. In these tests, the knowledge variable was analyzed, which took into account all of the knowledge questions and represents the number of correct answers. The knowledge variable was compared in the Pre and Pos1 questionnaires. Figure 6 shows the box plot for the scores before and after playing with the first game (group A – autostereoscopic configuration, and group B – frontal projection). A high dominance of correct questions after playing the first game over the pre-test can be observed. All t-tests are shown in the format: (statistic[degrees of freedom], p-value, Cohen’s d); and ** indicates the statistical significance at level α=0.05. A paired t-test between PreAuto (mean 3.54±1.93) and Pos1Auto (mean 8.18±2.53) showed that there was a statistically significant difference (t[66]=-18.02, p<0.001**, Cohen’s d=2.20). Another paired t-test revealed that there was a statistically significant difference between the ratings of the knowledge variable in PreFrontal (mean 3.79±2.62) and Pos1Frontal (mean 8.62±3.35) (t[60]=-14.85, p<0.001**, Cohen’s d=1.90). To determine whether or not there was difference between the initial knowledge of the two groups, an unpaired t-test was performed between the knowledge variable in PreAuto (mean 3.54±1.93) and the knowledge variable in PreFrontal (mean 3.79±2.62) (t[126]=- 0.61, p=0.542, Cohen’s d=0.11). These results revealed that there was no statistically significant difference between the knowledge in the two pre-tests. To determine whether or not there was difference between the acquired knowledge in the two groups, an unpaired t-test was performed between the knowledge variable in Pos1Auto (mean 8.18±2.53) and the knowledge variable in Pos1Frontal (8.62±3.35) (t[160]=-0.84, p=0.401, Cohen’s d=0.15), which also revealed that there was no statistically significant difference between the acquired knowledge using the two systems. A multifactorial ANOVA test was also performed to take into consideration several factors simultaneously (age, game and, gender). The results showed that there were statistically significant differences for only the Age factor (F[4,110]=14.92, p<0.001**, η2 =0.351) and not for the Game factor (F[1,110]=1.15, p=0.797, η2=0.014) or the Gender factor (F[1,110]=3.58, p=0.061, η2=0.031), or for the interactions among the factors. The generalized eta-squared effect sizes revealed that Age was the most influential factor. A Tukey post-hoc test showed that the acquired knowledge was significantly different between children of ages 7 and 8, 7 and 9, 7 and 10, 7 and 11, 8 11  and 10, 8 and 11, and 9 and 10. For the knowledge variable, interaction plots show the knowledge the children had after playing the first game, between gender and game factors ( Figure 7) and gender and age factors (Figure 8). From these figures, it can be observed that, on average, boys had more knowledge than girls after playing the first game; and the score means at older ages were higher than at younger ages with significant differences among the age groups. To complete this analysis, the dichotomous Rasch model was used (Rasch, 1960). This model measures a person's latent trait level from a probabilistic perspective. The probability of a user answering a question correctly relies on the user’s underlying ability and the difficulty of question. A graphical model check of this analysis was performed, where the questions were grouped by raw scores and the ones which are higher than the mean are separated from the ones which are lower. The red lines represent the confidence bands. The results of the questions for both groups are shown in Figure 9. Every question was inside the confidence bands, except Q8 for the autostereoscopic group. This indicates that Q8 is an easy question. Based on these results, it can be concluded that the questions are appropriate for the assessment of the acquired knowledge for both configurations. In order to check the goodness of fit of the Rasch model, the test proposed by Andersen (1973) was used. In our study, this test offered the values, LR-value=20.231, df=12, p=0.063, which fit the Chi-squared distribution. Therefore, in our study the Rasch model is true. 5.2.System comparison outcomes Several non-parametric tests were performed for our Likert questions (the Mann- Whitney U test for unpaired questions and the Wilcoxon Signed-rank sum test for paired questions) to determine if there were statistically significant differences in the opinions of the children depending on which game configuration was played first. First, 12  the data of the children that played the autostereoscopic system first versus the children that played the frontal projection system first were analyzed (Table 1). Then the scores of each child playing with one system first and later with the other (Pos1Auto versus Pos2Frontal (Table 2), and Pos1Frontal versus Pos2Auto (Table 3) were also compared. These tables only show the questions where statistically significant differences were found. From the analysis of Q14 (How much fun did you have? [1-5]), no statistically significant differences were found. Nevertheless, when the same child played first with one of the two games, he/she scored the first time statistically significantly higher than the second time. The analysis of Q16 (How difficult was the game? [1-5]) showed that the children that played with the autostereoscopic system gave a statistically significant higher score to the ease of use than the children who played with frontal projection. However, when playing the second time, the results showed that there was a statistically significant difference in favor of the system played last. Our explanation for these results is that the second time they played, they found the game easier because they had already played before and they already knew what they had to do in the game even though the interaction was not exactly the same. Something similar happened with Q18 (Selecting the elements/options of the game was: [1-5]). The first time the children played, no statistically significant differences were found; however, the second time they played, they gave a statistically significant higher score to the second system used. Statistically significant differences were found in the autostereoscopic vision-oriented questions Q23 (Evaluate the sensation of viewing the castle. Did it look like it were coming out of the screen? [1-7]) and Q24 (Did you think you were able to touch the castle? [1-7]). The analysis of these questions revealed that when playing with the frontal projection system first and with the autostereoscopic system second, the significance was relevant; the significance was not as high as when playing with autostereoscopic first and with the frontal projection second. This means that the children noticed a great change in the visualization system when changing from non-3D to 3D, and they didn’t notice this when changing from 3D to non-3D. We can confirm that with autostereoscopy the children had the feeling of being able to touch the 3D elements like the medieval castle. Finally, another test was made for Q25 (Score the game from 1 to 10). The results of this question showed that there were only statistically significant differences in favor of the autostereoscopic system when it was played first. 5.3.Satisfaction outcomes In order to measure the satisfaction that the children had while playing the game, Fisher’s exact test was performed for each satisfaction question. These satisfaction questions were answered after playing the second time. The tests revealed that there was only a statistically significant difference for Q27 (p=0.035**), where children who played the autostereoscopic game first chose “autostereoscopic” and children who played the frontal projection game first chose “both”. After analyzing the results, we could see that the children tended to choose the system they had used the first time. Our explanation for this result is that the second time they play, they play a short version of the game, and that the first time they play, everything is new; this impresses them to a greater extent. Table 4 shows the percentages of children's preferences for different questions. In order to determine which of all the mini-games was liked the most, Q26 was asked after playing with the game for the first time. In that question, the children could select the mini-games they preferred, and they could select more than one option. The mini- game with the highest score was Prehistory (find cave painting and place an imprint of the shape of your hand in the cave) with 66.39% of the votes. The second highest was 13  Ancient Times with 55.73%. The next preferred mini-game was the Middle Ages (build a medieval castle) with 53.27%. Following, 47.13% of children selected the Contemporary Period (solve the timeline puzzle) as one of their favorites. Finally, the mini-game with the least votes was the Early Modern Period (find objects used by Christopher Columbus) with 39.75% of votes. A correlation analysis was performed to determine whether or not there was dependency between mini-game preferences and age or gender; the results showed that there was no dependency between those factors. 5.4.Subjective considerations of the person in charge of the study The following conclusions were deduced from the observation sheets filled out by the person in charge of the study. In general, the children used both systems easily and the difference in the time they spent learning how to interact with the systems was not significant. Once they had learned how to play with the first system, the second system was practically already learned and they already knew what they had to do. However, the children could easily activate buttons with the frontal projection system. In contrast, the children spent more time activating a button in the autostereoscopic system, and they sometimes made some weird movements in order to activate them (e.g., moving their hand back towards their body instead of moving forwards). Our argument is that the interaction in the frontal projection system is similar to pressing a button on a mobile device and children are used to using this type of interaction. In the autostereoscopic system, the children are placed in front of the display and they see themselves inside. This is similar to being in front of a mirror with special features. For children, being together in pairs inside the game is a fun experience. Moreover, the children could move the elements that appeared in front of them with their hands; before placing the elements in the right place, they could play with them, move them through the space, put them above their heads or over the heads of their teammate. With regard to the 3D perception in the autostereoscopic system, the 3D was so perceptible that most of the children tried to touch the elements in the air because they thought that those elements were outside of the display. 6. Conclusions In this paper, advanced displays and Natural User Interfaces were used to develop two learning environments for children (NUI+3D visualization vs. NUI+2D visualization). The two different configurations were developed with the background of an educational game based on historical ages. We compared the two configurations. The autostereoscopic configuration allows the users to have a complete experience (3D visualization and natural interaction) without having to carry devices or wires on their bodies. In the autostereoscopic configuration, the children could see themselves in the autostereoscopic display, and the game was controlled by gestures. In contrast, the frontal projection configuration simulated a touch table (2D) in which the children did not carry devices or wires on their bodies. To our knowledge, this is the first time these system combinations have been compared, especially for education. With regard to our first hypothesis (the children will prefer the autostereoscopic system over the frontal projection system), the children liked both configurations equaly (45%), followed by the autostereoscopic system (40%), and then the Frontal Projection (14%). From the percentages, we can affirm that this hypothesis has been corroborated (both + autostereoscopy > both + frontal projection). 14  The second of our hypotheses was that children would increase their knowledge about the subject of the game by using the two systems, and that the autostereoscopic system would lead to better learning results. Comparing their initial knowledge and their knowledge after playing, statistically significant differences were obtained, which corroborates the first part of the second hypothesis. Differences in age, gender, and which system was played first were also considered. These results indicate that systems of this type can facilitate learning outcomes to a greater extent, especially for older children (in our case 11-year-olds). However, there was no statistically significant difference between the acquired knowledge using the two systems. Therefore, the second part of our second hypothesis (the autostereoscopic system will obtain better learning results) was not corroborated. Although unexpected, it is an excellent result because it means that the game is well suited for learning outcomes and that the two systems can be used for this purpose. For depth perception, the results showed that the illusion of depth (Q23) was mainly perceived and appreciated, being more evident when the children played with the autostereoscopic system after playing with the frontal projection system. The results revealed that autostereoscopy gave the children the feeling of being able to touch the 3D elements (Q24). From our point of view, these results are important and can be exploited for the development of educational games. For ease of use, in the two related questions (Q16 & Q18), the medians were equal or more than 4 on a scale from 1 to 5. This indicates that the two systems are easy to use. These results are in line with previous works (Buisine et al. (2007), Bhalla & Bhalla (2010), Tsai & Yen (2013)). A statistically significant difference was found in which the autostereoscopic system was scored higher (Q27). However, when the children were asked explicitly about the easiest system to use (Q28), they preferred the frontal projection system (41%), followed by both systems (31%), and the autostereoscopic system (27%). Moreover, the person in charge of the activity perceived that the children could more easily activate buttons with the frontal projection system than with the autostereoscopic system. Therefore, from the results and our observations during the activity, we consider that the frontal projection system is easier to use, which corroborates our third hypothesis (the frontal projection system will be easier to use). Our conclusion is in line with the work of Tuveri et al. (2013) in which they also perceived a difference in favour of the touch table. Our opinion is that, in the frontal projection system, the children interacted easily and fast simply by placing their hands over the buttons. However, the autostereoscopic system requires more effort and attention. Users are standing and they have to perform the right movement in the air. This observation is in line with one of the disadvantages pointed out by Libardi (2014). Nevertheless, more studies should be carried out to assure that the frontal projection system is the easiest to use. With regard to the topic of the game, some of the knowledge questions revealed that data like dates or the names of historic events are the most difficult for children to remember. Based on our study, we believe that using natural gesture interaction and having stereoscopic vision without wearing devices or wires provides an enhanced and richer user experience that is metaphorically similar to the real-world experience. In this situation, the selection of elements is done by using your hands and interacting by yourself. To date, we have compared two systems, but for future work other comparisons are also possible; for example, comparing the two systems with or without stereoscopy, comparing the PC version vs. tablet/smartphone versions, or using a control group in which the children learn about the same period of history using traditional learning. In the autostereoscopic system, the children can see themselves inside the game in the 15  display. We believe this has contributed to having a richer experience. However, a formal study should be carried out to corroborate this hypothesis. Other future work could include involving children in the design of the game. In this study, the children were not involved in the design. However, it would have been positive to involve the children in the design phase allowing them to contribute to this process. Two possibilities for their involvement are the following: informant design (Scaife & Rogers, 1999), in which children contribute to the design, but are not considered as design partners; or participatory design and cooperative enquiry (Guha et al., 2005), in which children have a more relevant role. For the evaluation, we mainly used questionnaires, but other evaluation methods could also be used, such as drawing intervention (Mazzone et al., 2007), in which the children have to draw anything related to the task accomplished. Advanced displays and NUI in the field of education are in their earliest stages, but they could be a very great addition to the learning process for different topics and for different communities. We also believe that the educational field can be improved with the use of stereoscopy. Acknowledgements  This work was funded by the Spanish Ministry of Science and Innovation through the APRENDRA project (TIN2009-14319-C02-01).  We would like to thank the following for their contributions:  The “Escola d’Estiu” and especially Juan Cano, Miguelón Giménez, and Javier Irimia. The other two Summer Schools that participated in this study. This work would not have been possible without their collaboration.  Ignacio Seguí, Noemí Rando, Encarna Torres, Sonia, Juan Martínez, José Antonio Gil, and M. José Vicent for their help.  The children’s parents who signed the agreement to allow their children to participate in the study.  The children who participated in the study.  The ETSInf for letting us use its facilities during the testing phase.  The reviewers for their valuable comments. References Andersen, E. B. (1973). A goodness of fit test for the rasch model. Psychometrika, 38(1), 123–140. doi:10.1007/BF02291180 Bekebrede, G., Warmelink, H. J. G., & Mayer, I. S. 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Table 1: Medians for questions of the Pos1Auto and Pos1Frontal questionnaires, Mann-Whitney U test analysis, and r effect size # Pos1Auto Pos1Frontal U Z p r Range Q16 4 4 2347.5 2.045 0.041** 0.182 [1-5] Q23 6 5 2495.5 2.602 0.009** 0.232 [1-7]   Table 2: Medians for questions of the Pos1Auto and Pos2Frontal questionnaires, Wilcoxon Signed-rank sum test analysis, and r effect size # Pos1Auto Pos2Frontal W Z p r Range Q14 5 5 160 2.255 0.034** 0.199 [1-5] Q16 4 5 160 -3.704 <0.001** 0.320 [1-5] Q18 4 5 91 -2.863 0.004** 0.249 [1-5] Q25 10 10 211 2.325 0.018** 0.201 [1-10]   Table 3: Medians for questions of the Pos1Frontal and Pos2Auto questionnaires, Wilcoxon Signed-rank sum test analysis, and r effect size # Pos1Frontal Pos2Auto W Z p r Range Q14 5 5 19.5 -2.165 0.040** 0.196 [1-5] Q16 4 5 453.5 4.698 <0.001** <0.001** [1-5] Q17 5 5 141 2.424 0.015** 0.015** [1-5] Q18 4 4 231 2.830 0.004** 0.004** [1-5] Q23 5 6 503.5 3.264 <0.001** <0.001** [1-7] Q24 4 6 646 3.292 <0.001** <0.001** [1-7] Table 4: Children's preferences in percentages. The highest score for each question is highlighted in bold type # Question text Autost. Frontal P. Both None Q27 Which system did you like the most? 40 14 45 1 Q28 Which system was the easiest to use? 27 41 31 1 Q29 Which system was the most comfortable? 28 35 36 1 Q30 Which did you control better? 28 44 26 2 Q31 In which system were the images viewed better? 42 26 31 1 Q32 Would you recommend any of these systems to friends? 21 11 67 1 Q33 Which system was the most fun? 31 15 54 0 Q34 Would you like to use any of these systems at school? 41 13 45 1 19    Figure 1: 3D model of the medieval castle Figure 2: Pressing a button in frontal projection Figure 3: Children playing with the autostereoscopic system Figure 4: Button disposition in the autostereoscopic configuration for the Ancient Times period   20    Figure 5: Two children playing with the frontal projection configuration Figure 6: Scores of the knowledge variable in the Pre and Pos1questionnaires for the Autostereoscopic system and for Frontal Projection. This box plot shows how the children's correct answers are grouped into quartiles, and the median is indicated with a thick solid line     Figure 7: The mean knowledge after playing the first game for gender and game factors 21  Figure 8: The mean knowledge after playing the first game for gender and age factors Figure 9: Graphical model check. a) For the autostereoscopic group. b) For the frontal projection group 
work_z6eillxbb5gtdad2gnzurtylje	----	Beyond Encounters: Religion, Ethnicity, and Violence in the Early Modern Atlantic World, 1492-1700 Beyond Encounters: Religion, Ethnicity, and Violence in the Early Modern Atlantic World, 1492-1700 Brian Sandberg Journal of World History, Volume 17, Number 1, March 2006, pp. 1-25 (Article) Published by University of Hawai'i Press DOI: For additional information about this article Access provided by Northern Illinois University (17 Jan 2018 18:00 GMT) https://doi.org/10.1353/jwh.2006.0033 https://muse.jhu.edu/article/195968 https://doi.org/10.1353/jwh.2006.0033 https://muse.jhu.edu/article/195968 Beyond Encounters: Religion, Ethnicity, and Violence in the Early Modern Atlantic World, 1492–1700 brian sandberg Medici Archive Project In the aftermath of the 1992 quincentennial commemoration ofChristopher Columbus’s first expedition and the beginning of trans- atlantic contact, historian James Axtell assessed the explosion of new publications concerning the significance and historical legacy of the 1492 voyage: “One can safely predict that the most durable legacy of the Quincentenary will not be the mediated events of 1992, no matter how muted or serious, but the tremendous flow of scholarship on the wide range of topics encompassed by the now-familiar phrase Colum- bian Encounters, only some of which was prompted by the historical anniversary.” Axtell concluded in 1995 that the concept of “encoun- ters” clearly represented the most powerful way of understanding the historical processes contact initiated.1 A decade after the quincentennial, our understanding of the early modern Atlantic world produced by the Columbian “encounters” has begun to shift. The cultural history and postmodern approaches to discourse, representations, and power that shaped the concept of “encounters” in 1992 have matured, increasingly recognizing the importance of setting discussions of power/ knowledge into broader cultural frameworks, especially when considering intercultural vio- lence. While Axtell’s review of quincentenary scholarship included 1 Journal of World History, Vol. 17, No. 1 © 2006 by University of Hawai‘i Press 1 James Axtell, “Columbian Encounters: 1992–1995,” William and Mary Quarterly, 3rd ser., 52 (October 1995): 650, 695– 696; see also James Axtell, “Columbian Encounters: Beyond 1992,” William and Mary Quarterly, 3rd ser., 49 (April 1992): 335–360. 2JWH_1-70 2/19/06 11:46 AM Page 1 Mary Botto muse 2 journal of world history, march 2006 some discussion of recent research on colonial expansion and warfare, not one of his eleven historiographical classifications dealt specifically with violence as an analytic category. Axtell dismissed discussions of atrocities by contrasting the “teachers, scholars, and activists” who condemned Columbus and Europeans for “genocide” and “ecocide” with those who “sought to complicate the moral and historical issues . . . by contextualizing events to avoid anachronism, by emphasizing the impartial role of disease, and by seeking understanding before, if not rather than, judgment.” 2 This attempt to defend Columbus and to contextualize Atlantic world colonialism unfortunately involved pro- moting neutral “encounters” and deemphasizing the often atrocious aspects of violence in the Columbian Exchange. Since the quincentennial, horrifying episodes of ethnic and reli- gious violence in Rwanda, the former Yugoslavia, Sri Lanka, India, Palestine, Afghanistan, and other areas have awakened scholars to the dangers of ignoring conflict when studying intercultural exchanges. Acts of “terrorism” in cities such as Oklahoma City, New York, Jeru- salem, and Tokyo have foregrounded atrocities and apocalyptic moti- vations for violence.3 Formulated partly in response to the killing and 2 Axtell, “Columbian Encounters: 1992–1995,” pp. 650– 651, 690– 692, argues that “During the Quincentenary, teachers, scholars, and activists generally lined up on two sides to debate the nature and 500-year legacy of the Columbian Encounter. One camp blamed Columbus and his European successors for all the deaths and misery of America’s natives (and African slaves) to the present. . . . The other camp sought to complicate the moral and historical issues.” Axtell clearly depicts scholarship on European atrocities as relying on “broad generalities” and “emotionally charged historical vignettes.” In contrast, he asso- ciates historians who “complicate” issues and “contextualize” events with those who defend Columbus: “A number of articles defended Columbus and ‘the West’ against the historical attacks and ‘misperceptions’ of the counter-camp, some in mass media publications.” According to Axtell, “the most cogent response” was Robert Royal, 1492 and All That: Polit- ical Manipulations of History (Washington, D.C.: Ethics and Public Policy Center, 1992); and Robert Royal, Columbus on Trial: 1492 v. 1992 (Herndon, Va.: Young America’s Foun- dation, 1992). 3 Mark Juergensmeyer, Terror in the Mind of God: The Global Rise of Religious Violence, updated ed. (Berkeley: University of California Press, 2001); Dwight N. Hopkins, Lois Ann Lorentzen, Eduardo Mendieta, and David Bastone, eds., Religions/ Globalizations: Theories and Cases (Durham, N.C.: Duke University Press, 2001); R. Scott Appleby, The Ambiva- lence of the Sacred: Religion, Violence, and Reconciliation (Lanham, Md.: Carnegie Commis- sion on Preventing Deadly Conflict and Rowman & Littlefield, 2000); Veena Das, Arthur Kleinman, Mamphela Ramphele, and Pamela Reynolds, eds., Violence and Subjectivity (Berkeley: University of California Press, 2000); Barbara F. Walter and Jack Snyder, eds., Civil Wars, Insecurity, and Intervention (New York: Columbia University Press, 1999); Mar- tin E. Marty and R. Scott Appleby, eds., Religion, Ethnicity, and Self-Identity: Nations in Tur- moil (Hanover, N.H.: University Press of New England, 1997); Marc Gopin, “Religion, Violence, and Conflict Resolution,” Peace & Change 22 (January 1997): 1–31; Roy Lick- lider, ed., Stopping the Killing: How Civil Wars End (New York: New York University Press, 1993). 2JWH_1-70 2/19/06 11:46 AM Page 2 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 3 destruction witnessed over the past decade, new studies of ethnic and religious violence now provide a theoretical basis for reexamining such violence in comparative perspective.4 The articles in this issue represent a new wave of Atlantic world scholarship attempting to place violence at the center of the Colum- bian Exchange.5 The studies here focus on violence in the early mod- ern Atlantic world—considered as a space with particular, though not entirely unique, cross-cultural interactions at the beginning of the period of true globalization.6 During the sixteenth century, the trian- gular transatlantic trading connections that increasingly linked Europe, Africa, and the Americas began to forge hybrid Atlantic cul- tures.7 Although the Atlantic world was created by European navi- gation and maritime connections that broke down the preexisting isolation of various societies ringing the great ocean, “the birth of an Atlantic world also involved a gigantic international migration of people,” that should be seen neither as Eurocentric nor as peaceful.8 Patricia Lopes Don, H. E. Martel, and Melanie Perrault situate their studies of religious and ethnic violence in a common setting: the bor- derlands and colonial frontiers within this Atlantic world. Historians have long portrayed frontiers as violent, seeing New Spain, for exam- 4 Much of the new anthropological, sociological, political science, and historical lit- erature on religious and ethnic violence draws on the theoretical work of René Girard and Martha Nussbaum; see Martha C. Nussbaum, The Fragility of Goodness: Luck and Ethics in Greek Tragedy and Philosophy (Cambridge: Cambridge University Press, 1986); René Girard, The Scapegoat, trans. Yvonne Freccero (Baltimore: Johns Hopkins University Press, 1986); René Girard, Violence and the Sacred, trans. Patrick Gregory (Baltimore: Johns Hopkins Uni- versity Press, 1977). For a work that employs Girard’s critical theory in interpreting ritual- ized violence, execution, and family during the French Revolution, see Lynn Hunt, The Family Romance of the French Revolution (Berkeley: University of California Press, 1992), pp. 10–14, 53– 64; Appleby, Ambivalence of the Sacred, pp. 78– 80, critiques Girard’s theory. 5 The organization of an upcoming conference on “Warfare and Society in Colonial North America and the Caribbean” by the Omohundro Institute of Early American His- tory and Culture, in conjunction with the University of Tennessee Center for the Study of War and Society, suggests that a broad range of scholars are beginning to rethink the role of violence in the Columbian Exchange. 6 I am using the concept of an Atlantic world, despite the fundamental problem of geographic limits and periodization with all “waterborne” history. See Jerry H. Bentley, “Cross-Cultural Interaction and Periodization in World History,” American Historical Review 101 (June 1996): 749–770; Patrick Manning, “The Problem of Interactions in World History,” American Historical Review 101 (June 1996): 771–782; Gale Stokes, “The Fates of Human Societies: A Review of Recent Macrohistories,” American Historical Review 106 (April 2001): 508–525. 7 Paul Gilroy, The Black Atlantic: Modernity and Double Consciousness (Cambridge, Mass.: Harvard University Press, 1993), pp. 15–47. 8 John Thornton, Africa and Africans in the Making of the Atlantic World, 1400–1800, 2nd ed. (Cambridge: Cambridge University Press, 1998), pp. 13–42. 2JWH_1-70 2/19/06 11:46 AM Page 3 4 journal of world history, march 2006 ple, as an area in which “war and the frontier advanced together.” 9 Recent borderlands studies offer new ways of considering intercultural violence and avoid casting violence as a mere by-product of disciplin- ing discourse. Anthropologists R. Brian Ferguson and Neil L. White- head have theorized the “violent edge of empire” as a dynamic space of ethnic conflict and social reorganization. “That area continuously affected by the proximity of a state, but not under state administra- tion, we call the ‘tribal zone,’ ” they explain. “Within the tribal zone, the wider consequence of the presence of the state is the radical trans- formation of extant sociopolitical formations, often resulting in ‘tribal- ization,’ the genesis of new tribes.” 10 Ferguson and Whitehead’s useful conceptualization of borderlands as “tribal zones” allows a rethinking of ethnicity and conflict in the Atlantic world, especially if we inject religious violence into their model. The authors in this issue offer cultural history reinterpretations of classic sources for borderlands studies and Atlantic world history. Euro- pean travel narratives and cosmographical studies trace the broad out- lines of the early modern Atlantic world, highlighting marvelous sights and monstrous creatures encountered by voyagers sailing the Atlantic Ocean or merely rumored by the people with whom they came into contact.11 Such sources often sketch in few details of the peoples living along the Atlantic coast, but colonial chronicles and captivity narra- tives provide rich descriptions of prolonged interactions between Euro- peans, Native Americans, and Africans in the Atlantic world.12 These sources offer details of cultural forms, behavior, and rituals. Inquisition records and missionary accounts delve into both colonial settlers’ and indigenous peoples’ religious beliefs and practices, allowing historians 9 Thomas D. Hall, Social Change in the Southwest, 1350–1880 (Lawrence: University Press of Kansas, 1989), pp. 70–73. A global theory of this dynamic is provided by Geoffrey Parker, The Military Revolution: Military Innovation and the Rise of the West, 1500–1800, 2nd ed. (Cambridge: Cambridge University Press, 1996); Parker’s arguments are slightly refined in “The Artillery Fortress as an Engine of European Overseas Expansion, 1480–1750,” in City Walls: The Urban Enceinte in Global Perspective, ed. James D. Tracy (Cambridge: Cam- bridge University Press, 2000), pp. 386 –416. 10 R. Brian Ferguson and Neil L. Whitehead, “The Violent Edge of Empire,” in War in the Tribal Zone: Expanding States and Indigenous Warfare, ed. R. Brian Ferguson and Neil L. Whitehead (Santa Fe: School of American Research Press, 1992), pp. 1–30. 11 Laura Lunger Knoppers and Joan B. Landes, Monstrous Bodies / Political Monstrosities in Early Modern Europe (Ithaca, N.Y.: Cornell University Press, 2004). 12 I will use the term “Native American” to refer to all indigenous Americans through- out this text, recognizing that some scholars prefer the terms “American Indian,” “Indian,” or “Amerindian”. For a discussion of the problems of Native American terminology and historiography, see R. David Edmunds, “Native Americans, New Voices: American Indian History, 1895–1995,” American Historical Review 100 (June 1995): 717–740. 2JWH_1-70 2/19/06 11:46 AM Page 4 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 5 to explore direct connections between religion and violence. Almost all of these texts are Eurocentric accounts that rely on linguistic inter- pretation for their depictions of Native American and African cul- tures, making it difficult, if not impossible, to access indigenous peo- ples’ voices.13 The sixteenth- and seventeenth-century audiences for accounts of the Atlantic world were primarily European elites with strong political and religious agendas that probably framed the authors’ approaches to their subjects. These fascinating texts, and the processes of their production, thus present complex problems of interpretation for historians attempting to tease out issues of religion, ethnicity, and violence in the early modern Atlantic world. Obviously, the literature on ethnicity, religion, and violence in the early modern Atlantic world is too large to address comprehensively here; however, a comparative history of organized religious and ethnic violence in the Atlantic world becomes possible by focusing on the actualization of violence. In their work on violence and subjectivity, Veena Das and Arthur Kleinman emphasize examining “the processes through which violence is actualized—in the sense that it is both pro- duced and consumed.” 14 All three of the authors in this issue attempt to deal precisely with the production of religious and ethnic violence by treating early modern Spanish, Native American, and English prac- titioners of violence as key historical actors operating through over- lapping subject positions. This approach to violence fundamentally questions Michel Foucault’s influential portrayal of violence as the inscription of power/ knowledge.15 I will attempt to draw out some common themes from the three articles by situating them in relation- ship to recent research on ethnic and religious violence, then by dis- cussing the contexts of captivity and atrocity that framed so much violence in the early modern Atlantic world. 13 One of the best concise analyses of the problem of Eurocentrism in history and text is Ella Shohat and Robert Stam, Unthinking Eurocentrism: Multiculturalism and the Media (London: Routledge, 1994), pp. 1–54. The tensions within subaltern approaches to Atlantic world history are discussed in Florencia E. Mallon, “The Promise and Dilemma of Subaltern Studies: Perspectives from Latin American History,” American Historical Review 99 (December 1994): 1491–1515. 14 Veena Das and Arthur Kleinman, “Introduction,” in Violence and Subjectivity (see n. 3), pp. 1–18. 15 Das challenges Foucault’s theory of violence and power as she develops her own the- ory of subjectivity in Veena Das, “The Act of Witnessing: Violence, Poisonous Knowledge, and Subjectivity,” in Violence and Subjectivity (see n. 3), pp. 205–225. A recent attempt to survey the problem of violence in early modern Europe also questions Foucault directly; see Julius R. Ruff, Violence in Early Modern Europe, 1500–1800 (Cambridge: Cambridge Uni- versity Press, 2001), pp. 6 –7, 73–116. 2JWH_1-70 2/19/06 11:46 AM Page 5 6 journal of world history, march 2006 Ethnic Identities and Violence in the Atlantic World From the earliest contacts between Native Americans and Europeans, ethnic identities shaped violence in the Atlantic World. Christopher Columbus’s own reports of his expeditions began to mold Europeans’ attitudes toward the inhabitants of the Caribbean islands and to con- struct ethnic identifications.16 Reports of Hernán Cortés’s expedition to Mexico constructed elaborate conquest narratives and fixed repre- sentations of the Aztecs that would have a long legacy. Ross Hassig’s recent work on the Aztecs challenges the entire notion of a Spanish Conquest, using ethnographic research on Mexico to show that the Aztec empire collapsed because of ethnic clashes among Mesoameri- cans, many of whom were willing to take advantage of Cortés’s pres- ence to attack their Aztec imperial rulers. Certainly Cortés’s artillery and siege techniques played some role in the struggles for Tenochti- tlán, but Hassig’s analysis is convincing, and it demonstrates the effec- tiveness of ethnohistory approaches in reconceptualizing violence in the early modern Atlantic world.17 Borderlands studies are reconsidering ethnicity and violence, espe- cially within the Spanish Empire. In Brazil and the Atlantic rim of South America, the processes of ethnic realignment were often linked to changing conditions of colonial expansion and warfare.18 Cynthia Radding’s powerful study of the borderlands of the Spanish empire in northwestern Mexico demonstrates the effectiveness of considering ethnicity spatially. Radding examines the complex human and eco- nomic dimensions of Spanish mission communities, stressing Native Americans’ shifting social groupings, cultural endurance, and resis- 16 Christopher Columbus, The Four Voyages of Christopher Columbus, trans. J. M. Cohen (London: Penguin Classics, 1992). 17 Ross Hassig, “War, Politics and the Conquest of Mexico,” in War in the Early Mod- ern World, 1450–1815, ed. Jeremy Black (Boulder, Colo.: Westview Press, 1999), pp. 207– 235; Ross Hassig, Mexico and the Spanish Conquest (London: Longman, 1994); Ross Hassig, “Aztec and Spanish Conquest in Mesoamerica,” in War in the Tribal Zone (see n. 10), pp. 83–102; John F. Guilmartin, “The Military Revolution: Origins and First Tests Abroad,” in The Military Revolution Debate: Readings on the Military Transformation of Early Modern Europe, ed. Clifford J. Rogers (Boulder, Colo.: Westview Press, 1995), pp. 299–333. 18 Neil L. Whitehead, “Tribes Make States and States Make Tribes: Warfare and the Creation of Colonial Tribes and States in Northeastern South America,” in War in the Tribal Zone (see n. 10), pp. 127–150. 2JWH_1-70 2/19/06 11:46 AM Page 6 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 7 tance tactics.19 Radding’s consideration of ethnicity, religion, and bor- derlands can usefully be compared with David Coleman’s study of Granada as a “frontier city” in Iberia—highlighting the importance of transatlantic historical comparison.20 Within the borderlands, individuals’ identities seem to have been incredibly flexible and changeable. Studies of ethnicity and violence in the Atlantic world often oppose “colonizers” to “indigenous peo- ples,” envisioning a statist imperial program suppressing resistance by the colonized. Yet, the importance of nonstate actors in early modern Atlantic world ethnic violence makes such a focus on states extremely problematic. Conquistadors, military adventurers, and privateers may have acted vaguely in the name of European states, but they also had their personal motivations and programs. Many European travelers, traders, fur trappers, merchants, and castaways were able to construct supple “chameleon” identities, as Hans Staden’s identity performances demonstrate.21 Runaway slaves, castaways, and maroons could inte- grate into new communities. Borderlands also allowed people to dis- card unwanted identities, whether robber, cheat, rapist, or murderer.22 Native American societies’ loose affiliations and permeability allowed flexible identifications, even when the proximity of European colonies prompted a more structured “tribalization.” Native American war bands freely formed and re-formed around leaders. The identifications presented by individuals could be challenged and transformed through contact and conflict, and perhaps the most important factor in limit- ing or fixing ethnic identifications was violence. Ethnic identification was often structured through language, but imperfectly. Communication between Native Americans and Euro- peans required linguistic translation and cultural explanation, as Tzve- tan Todorov’s provocative and fiercely debated work on interpretation 19 Cynthia Radding, Wandering Peoples: Colonialism, Ethnic Spaces, and Ecological Fron- tiers in Northwestern Mexico, 1700–1850 (Durham, N.C.: Duke University Press, 1997), suggests that Native Americans creatively adapted Catholic religious practices, but her book focuses more on Jesuit missionaries’ administration than on the production of syn- cretic religion in mission communities and the study could consider violence more directly. 20 David Coleman, Creating Christian Granada: Society and Religious Culture in an Old- World Frontier City, 1492–1600 (Ithaca, N.Y.: Cornell University Press, 2003). 21 Here, I am referring to H. E. Martel’s description of Hans Staden as “a practiced chameleon.” 22 Interestingly, much of the recent literature on identities seems to emphasize positive roles in identity construction. For an example, see Zygmunt Bauman, “From Pilgrim to Tourist—Or a Short History of Identity,” in Questions of Cultural Identity, ed. Stuart Hall and Paul du Guy (London: Sage Publications, 1996), pp. 18–36. 2JWH_1-70 2/19/06 11:46 AM Page 7 8 journal of world history, march 2006 and linguistic conquest suggests.23 Interpreters such as Malinche, who served as Hernán Cortés’s personal translator, had peculiar positions and could wield substantial power in the borderlands, where intercul- tural miscommunications and misunderstandings were routine. H. E. Martel suggests that in this context, Native American groups used cul- tural interpretive strategies to address the threat posed by the arrival of European colonists. Rumors, insinuations, and legends could be weap- ons used to defend against European incursions, at least for a time. Interpreters occupied ambiguous positions despite the vital impor- tance of intercultural communication. On this point, Melanie Per- rault cites the example of the violent abduction of several Native Americans by English explorers to serve as their informants. If Euro- peans were dissatisfied with the information supplied by such infor- mants, they could apply brutal violence, as when English colonial leader John Smith whipped a Native American guide for supposedly misleading him. Such evidence fits well with Alfred Cave’s research on the origins of the Pequot War, which shows that miscommunica- tions and ethnic responses could also result in escalating violence and disastrous warfare.24 Where Native American and European colonial communities lived in close proximity in borderlands, blurred cross-cultural identi- ties and mixed-ethnic populations emerged. English colonial writings reflected their authors’ conflicting impressions of Native American relations with early English colonies and the possibilities of assimila- tion of “noble savages” into a “civilized” transplanted English soci- ety.25 Widespread evidence reveals communication, trading relations, cultural exchanges, and intermarriage between Native Americans and Europeans throughout the Americas. Negotiations, political alliances, and military cooperation between groups of Europeans and Native Americans provide more examples of constructive intercultural rela- tions that broke down barriers, or at least allowed passages across them. In many colonial areas, different European ethnic groups mixed, fur- ther destabilizing identities. European settlement colonies promoted a 23 Tzvetan Todorov, The Conquest of America: The Question of the Other, trans. Richard Howard (New York: Harper & Row, 1984). 24 Alfred A. Cave, “Who Killed John Stone? A Note on the Origins of the Pequot War,” William and Mary Quarterly, 3rd ser., 49 (July 1992): 509–521; see also Alfred A. Cave, The Pequot War (Amherst: University of Massachusetts Press, 1996). 25 For a study of the persistence of the notions of “noble savage” and of the possibility of Native American “assimilation” into the early nineteenth century, see Bernard W. Shee- han, Seeds of Extinction: Jeffersonian Philanthropy and the American Indian (1973; reprint, New York: W.W. Norton & Company, 1974). 2JWH_1-70 2/19/06 11:46 AM Page 8 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 9 “civilizing mission” that often challenged these cross-cultural iden- tities, expecting conformity instead. Melanie Perrault’s reading of English travel narratives and settlement histories highlights the ironic vision of harmony promoted by early English colonists in Virginia and New England, as they envisioned a patriarchal dominion over subor- dinated, domesticated “noble savage” dependents. The possibilities of harmony and assimilation often ran afoul of Europeans’ ethnic identifications, which defined their “civilized” soci- eties in opposition to “barbarous” ones precisely by depicting “savages” as engaging in brutal, as opposed to legitimate, violence.26 Ethnic iden- tities, then, were also conceptualized and distinguished through the violent practices of warfare. The predominant analytical framework for understanding Native American forms of warfare until recently has been the theory of “primitive war,” which portrays “primitive” soci- eties as waging a form of warfare that was irrational and fundamentally different from “real,” supposedly “civilized”, warfare that was fought for rational political goals.27 Recent studies argue that nonurbanized societies’ forms of warfare were influenced by ethnic identities and cul- ture in much more subtle ways. Lawrence H. Keely heavily criticizes the concept of “primitive war,” showing how the notion perpetuates the stereotype of the “savages” as obeying a different “uncivilized” set of rules of war, yet somehow being “peaceful” by practicing a “more stylized, less horrible form of warfare than their civilized counterparts waged.” 28 Studies of the “skulking” way of war and Native American fortifications have shown the flexibility and adaptability of Native American warfare, suggesting that notions and practices of violence could change as ethnic identification shifted.29 Extended contact between Native Americans and European settlers in North America during the late sixteenth and seventeenth centuries 26 For a consideration of the later eighteenth-century development of these notions, see Karen Halttunen, “Humanitarianism and the Pornography of Pain in Anglo-American Culture,” American Historical Review 100 (April 1995): 303–334. 27 The concept of “primitive war” stems principally from two key theoretical works originally published in the 1940s: Harry Holbert Turney-High, Primitive War: Its Practice and Concepts, 2nd ed. (Columbia: South Carolina University Press, 1991) and Quincy Wright, A Study of War (Chicago: University of Chicago Press, 1965). 28 Lawrence H. Keeley, War before Civilization (Oxford: Oxford University Press, 1996), pp. 3–24; see also Jill Lepore, The Name of War: King Philip’s War and the Origin of Ameri- can Identity (New York: Alfred A. Knopf, 1998), pp. 117–118. 29 Patrick M. Malone, The Skulking Way of War: Technology and Tactics among the New England Indians (Lanham, Md.: Madison Books, 1991); Wayne E. Lee, “Fortify, Fight, or Flee: Tuscarora and Cherokee Defensive Warfare and Military Culture Adaptation,” Jour- nal of Military History 68 (July 2004): 713–770. 2JWH_1-70 2/19/06 11:46 AM Page 9 10 journal of world history, march 2006 allowed technology transfers and acculturation to gradually reshape both Native American and European colonial practices of warfare. Europeans and Native Americans certainly had differing cultural expectations about the practice of warfare, yet accommodation and cultural adaptation were at times possible.30 In certain aspects of war- fare, blurred ethnic identities could emerge. For example, many Native Americans acted as “ethnic soldiers,” providing auxiliary, mer- cenary, logistical, and reconnaissance services for European colonial military forces.31 The diffusion of European diseases, firearms, and ani- mals forced Native Americans to adapt to increasingly deadly warfare. At the same time, European territorial encroachments and colonial economic priorities—especially fur trading and silver mining—inten- sified warfare among Native American societies.32 Native Americans progressively adopted firearms and certain European military tech- niques but maintained their “skulking” way of war, as the English described the stealth and ambush tactics employed by indigenous war- riors. During King Philip’s War, “the Indian mode of warfare, actually a blend of aboriginal and European elements, proved so successful in numerous engagements that perceptive officers and government offi- cials began to urge changes in colonial military doctrine,” according to Patrick M. Malone.33 European coastal fortifications, trading factories, and military incursions forced social reorganizations and militarized Native American culture in the “tribal zone.” Ethnic identifications were also defined by racial conceptions that justified violence. Slave labor provided logistical support for European colonial and military operations in the Atlantic world. Native Amer- icans were enslaved in the growing Spanish encomienda system, forced to work in agricultural operations and silver mines in Central and South America. From the beginning of European imperialism in the Atlantic, enslaved Africans played a role in colonial expansion 30 George A. De Vos, “Ethnic Pluralism: Conflict and Accommodation,” in Ethnic Identity: Creation, Conflict, and Accommodation, ed. Lola Romanucci-Ross and George A. De Vos (Walnut Creek, Calif.: AltaMira Press, 1995), pp. 15–47. 31 Thomas S. Abler, “Beavers and Muskets: Iroquois Military Fortunes in the Face of European Colonization,” in War in the Tribal Zone (see n. 10), pp. 151–174; Richard R. Johnson, “The Search for a Usable Indian: An Aspect of the Defense of Colonial New England,” Journal of American History 64 (December 1977): 623– 651. 32 For a study of the transformation of Iroquois warfare, see Daniel K. Richter, “War and Culture: The Iroquois Experience,” William and Mary Quarterly, 3rd ser., 40 (October 1983): 537–544; on Spanish expansion into North American and the problem of Native American endemic warfare, see Hall, Social Change in the Southwest, pp. 70– 86. 33 Malone, Skulking Way of War, pp. 89– 90, 96 – 98. 2JWH_1-70 2/19/06 11:46 AM Page 10 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 11 and mining operations. When European colonies’ demands for labor exceeded what the available Native American slaves could provide, Europeans turned increasingly to African slave labor.34 The ethnic violence discussed in this issue needs to be understood in conjunction with the contemporaneous gradual development of the plantation complex, an organization using slave labor and brutal vio- lence to produce an agricultural cash crop for export.35 Early European settler colonies used a mixture of indentured and slave labor. Then, as tobacco and sugar plantations spread through the Caribbean, African slaves became the key workers in the plantation complex. David Eltis offers a provocative explanation for this growing use of African slaves and for the emergence of racism in the early plantations by revealing the unwillingness of Europeans to consider the possibility of using white slaves.36 Eltis’s point is supported by the example of the Irish on Montserrat, who initially came to the island as indentured servants to work on tobacco plantations and gradually became “hard and efficient slave masters,” overseeing African slaves. 37 The plantations seem to have produced their own forms of violence, involving racist attitudes and the physical domination of Africans. Slave masters employed rape as a sexual weapon and established “breeder women” to perpetuate the 34 A recent reassessment, Massimo Livi-Bacci, “Return to Hispaniola: Reassessing a Demographic Catastrophe,” Hispanic American Historical Review 83 (February 2003): 3–51, blames Native American population collapse in Hispaniola partly on the violence of the encomienda system. For a good case study of the complex transition from Native American to African slave labor, see Stuart B. Schwartz, “Indian Labor and New World Plantations: European Demands and Indian Responses in Northeastern Brazil,” American Historical Review 83 (February 1978): 43–79. 35 Philip D. Curtin, The Rise and Fall of the Plantation Complex: Essays in Atlantic His- tory, 2nd ed. (Cambridge: Cambridge University Press, 1998), pp. 73– 85, 100–102; Sidney W. Mintz, “Pleasure, Profit, and Satiation,” in Seeds of Change: A Quincentennial Commem- oration, ed. Herman J. Viola and Carolyn Margolis (Washington, D.C.: Smithsonian Insti- tution Press, 1991), pp. 112–129; David Barry Gaspar, “Antigua Slaves and Their Struggle to Survive,” in ibid., pp. 130–138. 36 David Eltis, “Europeans and the Rise and Fall of Slavery in the Americas: An Inter- pretation,” American Historical Review 98 (December 1993): 1399–1423; Robin Blackburn, The Making of New World Slavery: From the Baroque to the Modern, 1492–1800 (London: Verso, 1996), makes a similar point about the development of racism in early modern slav- ery. This view has been questioned in a recent study of slavery in the Mediterranean world: Robert C. Davis, Christian Slaves, Muslim Masters: White Slavery in the Mediterranean, the Barbary Coast, and Italy, 1500–1800 (New York: Palgrave Macmillan, 2003), pp. 190–193. 37 Donald Harman Akenson, If the Irish Ran the World: Montserrat, 1630–1730 (Mon- treal and Kingston: McGill-Queen’s University Press, 1997); also, Jane Ohlmeyer, “Seven- teenth-Century Ireland and the New British and Atlantic Histories,” American Historical Review 104 (April 1999): 457–462. 2JWH_1-70 2/19/06 11:46 AM Page 11 12 journal of world history, march 2006 slave population. European planters’ racial fears prompted them to use brutal discipline, harsh punishments, and bodily mutilation imple- mented by dedicated overseers, who played significant roles in a plan- tation complex that was also sustained by religious values and beliefs. Religious Transformation and Violence Religion played an important role in shaping the Atlantic world from its inception, as extensive religious changes transformed religious beliefs and practices in the late fifteenth and sixteenth centuries. R. Scott Appleby’s analysis of the ambiguous nature of religious mili- tancy, coupled with his distinction between religious extremists and fundamentalists, suggests that we consider a broad range of actors par- ticipating directly in diverse religious movements and accompanying violent causes in this period.38 Crusading ideologies, religious prophe- sies, and the Mediterranean struggle between Islam and Christianity clearly motivated Christopher Columbus and his patrons.39 A series of piety movements and religious reformations then swept through Europe, destroying the unity of Latin Christianity through religious conflicts and a gradual process of “confessionalization.” At the same time, early European imperialism in the Americas and the epidemic diseases that accompanied colonists devastated Native American soci- eties and destabilized their religious systems. In central Mexico, however, the swift collapse of the Aztec empire did not bring a sudden end to Mesoamerican religious beliefs and prac- tice. Instead, social and demographic crises prompted religious exper- imentation and syncretic fusions of Christian and Mesoamerican reli- gions. Religious groupings in mid-sixteenth-century Mexico were fluid and decentralized, allowing shamans to promote various religious interpretations of the catastrophic violence that destroyed the Aztec empire. Martin Ocelotl, the shaman studied by Patricia Lopes Don, seems to have freely drawn from Christian and Mesoamerican sources for his prophesies, mixing political resistance and religious creativity. Don’s methodological approach to the Ocelotl case shares much with studies of the “religions of the oppressed” that have recast religious 38 Appleby, Ambivalence of the Sacred, pp. 8–15, 81–120. 39 Pauline Moffitt Watts, “Prophesy and Discovery: On the Spiritual Origins of Christopher Columbus’s ‘Enterprise of the Indies,’ ” American Historical Review 90 (Febru- ary 1985): 73–102. Axtell, “Columbian Encounters: 1992–1995,” pp. 651– 655. 2JWH_1-70 2/19/06 11:46 AM Page 12 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 13 nonconformists and heretics as members of movements combining piety practices with the advancement of social interests.40 Patricia Lopes Don sees Christian missionaries as both proponents and enactors of religious violence. The Indian Inquisition of the mid- sixteenth century shows that Spanish missionaries often seem to have been more concerned with establishing “correct” religion and disci- plining new Christians than with winning new converts. During the sixteenth century, Franciscan, Dominican, and later Jesuit missionaries fanned out across Spanish and Portuguese territories in Central and South America, promoting an increasingly militant Catholicism. With the papacy embattled in Europe, the threat of idolatry, blasphemy, and polygamy in New Spain could seem frightening to these missionaries. The Indian Inquisition officials who attempted to deal with these issues faced a dilemma concerning whether indigenous Americans should be treated like Jews or Muslims—two groups whose ethnic and religious identities had long been considered problematic in Spanish culture. Interestingly, Spanish Inquisition officials operating on the other side of the Atlantic seem to have been just as concerned about “the threat of religious enthusiasm,” as the case against Eugenia de la Torre in Madrid shows.41 Spanish missionary efforts demanded such discipline because of the paternalism that underlay most contemporary Christian attitudes toward Native Americans. Early modern Christian missionaries gen- erally believed that they were acting to bring the “true faith” to child- like Native Americans who were paradoxically close to Eden.42 In the borderlands of the Atlantic world, Catholic missionaries soon com- peted over who would care for the souls of Native American “chil- dren” with Protestant evangelists, such as the Huguenots who were attempting to establish Calvinism in South America. English colonial 40 The term “religions of the oppressed” is Vittorio Lanternari’s; Bruce Lincoln has pro- posed the term “religions of resistance” instead in Holy Terrors: Thinking About Religion after September 11 (Chicago: University of Chicago Press, 2003), pp. 77–79; one of the best early modern studies of this type is Christopher Hill, The World Turned Upside Down (New York: Viking, 1972). It would be interesting to compare religious /political resistance of Native Americans with religious aspects of African slave resistance; however, the literature seems more oriented toward eighteenth- and nineteenth-century examples, as in Walter Rucker, “Conjure, Magic, and Power: The Influence of Afro-Atlantic Religious Practices on Slave Resistance and Rebellion,” Journal of Black Studies 32 (September 2001): 84–103. 41 Andrew Keitt, “Religious Enthusiasm, the Spanish Inquisition, and the Disen- chantment of the World,” Journal of the History of Ideas 65 (April 2004): 231–250. 42 On this paradox, see Jorge Canizares Esguerra, “New World, New Stars: Patriotic Astrology and the Invention of Indian and Creole Bodies in Colonial Spanish America, 1600–1650,” American Historical Review 104 (February 1999): 33– 68. 2JWH_1-70 2/19/06 11:46 AM Page 13 14 journal of world history, march 2006 expansion began slowly, but Protestant missionaries increasingly aimed to create “Praying Indians” in New England.43 Both Protestant and Catholic colonists recognized that Christian Native Americans might be more likely to support European colonial governments or seek accommodation with settlers during periods of warfare.44 Although some pragmatic goals certainly motivated missionary activity, religious concerns for proselytism predominated. Conversion processes were hotly debated during the sixteenth and early seventeenth centuries, and only a public profession of a “conversion experience” would be accepted as sincere.45 Missionaries operating in the borderlands often saw themselves as caught up in a great religious struggle, and they assessed Native Amer- icans’ religiosity according to their experiences with other non-Euro- peans. The missionary activity in New Spain coincided with other Catholic campaigns to convert heretics in Europe and to bring the “true faith” to “savages” in the Americas, Africa, the Indian Ocean, and Japan.46 “From the perspective of the French Franciscans,” Megan C. Armstrong suggests, “the Wars of Religion was one of several fronts in their global war on sin, a war that embraced the rise of an aggres- sive form of Islamic rule in the East and encounters with New World peoples as well as the spread of Protestantism in Europe.” 47 These mis- sionaries were not alone in conceiving of religion in terms of struggle. Contemporary Christian laypeople who experienced the broad 43 Johnson, “Search for a Usable Indian,” pp. 627, 645– 651. 44 Armstrong Starkey, “European-Native American Warfare in North America, 1513– 1815,” in War in the Early Modern World (see n. 17), p. 249. 45 Michael Wolfe provides an excellent overview of sixteenth-century Catholic notions of conversion in The Conversion of Henri IV: Politics, Power, and Religious Belief in Early Modern France (Cambridge, Mass.: Harvard University Press, 1993), pp. 6 –21. For a dis- cussion of Protestant understandings of conversion, see Barbara B. Diefendorf, Beneath the Cross: Catholics and Huguenots in Sixteenth-Century Paris (Oxford: Oxford University Press, 1991), pp. 108–118. 46 Luc Giard and Louis de Vaucelles, eds., Les Jésuites à l’âge baroque (1540–1640) (Grenoble: Editions Jérôme Millon, 1996); Christian Sorrel and Frédéric Meyer, eds., Les Missions intérieurs en France et en Italie du XVIe au XXe siècle (Chambéry: Institut d’Études Savoisiennes, 2001). 47 Megan C. Armstrong, The Politics of Piety: Franciscan Preachers During the Wars of Religion, 1560–1600 (Rochester, N.Y.: University of Rochester Press, 2004), pp. 133, 170. While Armstrong’s study is solidly focused on Franciscans operating within France during the religious wars, one hopes that she might develop this global insight in her future work. J. H. Elliott, “The Mental World of Hernán Cortés,” in Spain and Its World, 1500–1700: Selected Essays (New Haven, Conn.: Yale University Press, 1989), pp. 38–40, shows that Franciscans in New Spain inspired Cortés’s belief that “there would arise in Mexico a ‘new church, where God will be served and honoured more than in any other region of the earth.’ . . . The Francisan vision was a world-wide vision.” 2JWH_1-70 2/19/06 11:46 AM Page 14 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 15 religious transformations in the early modern Atlantic world often espoused eschatological visions, perceiving of their world as a “world turned upside-down.” Imagery portraying the symbolic inversion of worldly order was integral to Reformation-era propaganda and to wide- spread belief in the Antichrist and the impending Apocalypse. Many sixteenth- and early seventeenth-century Christians believed that the unsettling “discoveries” of the Americas, the religious discord within Europe, and other portents signaled that the “Last Days” were near.48 While Protestants and Catholics had different ways of understanding God’s power and human free will, almost all Europeans interpreted portents as evidence of Providence actively shaping the world around them. European soldiers, clergy, and settlers all saw God’s agency at work in their Atlantic colonies.49 Millenarian beliefs implied that colonists represented instruments in a divine plan and participants in a “cosmic war,” to use Mark Juergensmeyer’s terminology, that involved “mar- tyrs” in the struggle against “demons.” 50 English colonists in Virginia, as Melanie Perrault points out, could genuinely believe that they were fighting “the Lord’s battles,” and many of their European contempo- raries reported visions of cosmic battles in the heavens.51 H. E. Martel rightly places Hans Staden into the context of a religious iconography of martyrdom and sacrifice. Early modern imperial ideologies incorpo- rated religious commitment, fusing colonial expansionism with engage- ment in “cosmic war.” An early seventeenth-century pamphlet cele- brating the duc de Montmorency’s appointment as admiral of France linked his readiness to fight the “galleys of Mohammed” with his pre- paredness “to search for new kingdoms for his master, to found new Frances, and to plant fleurs de lys all around the world.” 52 Similar reli- gious discourses underpinned Spanish conquest and expansion in Cen- tral and South America. European colonists’ personal religiosity and faith became entangled in an all-encompassing struggle that provided powerful religious justifications for violence, and even holy war, in colonial warfare throughout the early modern Atlantic world. 48 Andrew Cunningham and Ole Peter Grell, The Four Horsemen of the Apocalypse: Religion, War, Famine and Death in Reformation Europe (Cambridge: Cambridge University Press, 2000), pp. 1– 91; R. W. Scribner, For the Sake of Simple Folk: Popular Propaganda for the German Reformation, rev. ed. (Oxford: Clarendon Press, 1994), pp. 148–188; Hill, World Turned Upside Down. 49 Esguerra, “New World, New Stars,” pp. 33– 68. 50 Juergensmeyer, Terror in the Mind of God, pp. 145– 63. 51 Cunningham and Grell, Four Horsemen of the Apocalypse, pp. 79– 82. 52 Antoine d’Arnauld, Presentation de Monsieur de Montmorency en l’office d’Admiral de France. 1612 (Paris: Denys du Val, 1612). Bibliothèque Nationale de France, 8˚ Ln27 14695. 2JWH_1-70 2/19/06 11:46 AM Page 15 16 journal of world history, march 2006 Settlers in Atlantic colonies often already had intimate personal experience with religious violence. Many colonists were religious refugees fleeing what they considered to be repressive persecution in their former homes. Others were refugees from the chaos, political dis- ruption, epidemic disease, and famine that accompanied the European religious wars. Some of these refugees came from areas of Germany, the Netherlands, France, or the British Isles where different religious groups coinhabited the same geographic space and were therefore accustomed to daily struggles over sacred sites during religious con- flicts, lasting in some cases for decades.53 Europeans coming from such conflict zones had frequently witnessed, or even participated in, “mimetic violence” that imitated the forms of judicial punishment in order to rid their communities of pollution and ritually cleanse the world.54 Captives and Ritualized Violence Organized violence in the early modern Atlantic world often involved captive-taking and prolonged confinement or forced reidentification.55 Captured soldiers and civilians alike might experience resettlement, cultural assimilation, forced labor, and violence. In order to understand ethnic and religious violence, we must consider the treatment of cap- tives and the meanings of pain inflicted on human bodies through mutilation, torture, and other ritualized violence.56 The early modern accounts of torture tended to sensationalize brutality and depict prac- titioners of ritual violence as inhuman or monstrous. While captivity is often presented as a solitary episode, early modern captivity narratives 53 Penny Roberts, “The Most Crucial Battle of the Wars of Religion? The Conflict over Sites of Reformed Worship in Sixteenth-Century France,” Archiv für Reformations- geschichte 89 (1998): 247–267; see also Brian Sandberg, Heroic Souls: French Nobles and Religious Conflict after the Edict of Nantes, 1598–1635 (forthcoming), where I also deal with this issue. 54 The term “mimetic violence” is René Girard’s, but some of the best analyses of such violence can be found in studies of the French Wars of Religion. See Diefendorf, Beneath the Cross, pp. 76 –106; Natalie Zemon Davis, “The Rites of Violence,” in Society and Culture in Early Modern France (Stanford, Calif.: Stanford University Press, 1975), pp. 152–187; Girard, Violence and the Sacred, pp. 1–38. 55 I would like to thank Linda M. Clemmons for sharing her insights on captivity nar- ratives with me. 56 Elaine Scarry’s theorization of torture and warfare as bodily injury is especially per- tinent here; Elaine Scarry, “Injury and the Structure of War,” Representations 10 (Spring 1985): 1–51. 2JWH_1-70 2/19/06 11:46 AM Page 16 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 17 can be read to suggest that “suffering is a social experience,” as Veena Das, Arthur Kleinman, and Margaret Lock have proposed.57 Ritual human sacrifice and cannibalism have often been seen as the ultimate atrocities, perpetuated by monstrous beings. In this issue, H. E. Martel offers a rereading of the most infamous case of cannibal- ism in the early modern Atlantic world, that of the Tupinamba of Brazil. While some scholars have questioned whether the Tupinamba actually practiced cannibalism, the ritualistic violence reported by sev- eral sixteenth-century European observers has continued to fascinate historians, anthropologists, and social theorists.58 The supposedly can- nibalistic Tupinamba served as a model for the contemporary Catholic cartographer André Thevet’s cosmography, which has recently been reinterpreted by Frank Lestringant.59 As Stephen Greenblatt notes, “the very incoherence of [ Thevet’s] cosmography allows a jumbled confusion of remarkable observations, much like the unsystematized, wildly various contents of the ‘wonder cabinets’ beloved of Renais- sance collectors. Thevet’s Tupinamba are like living wonder cabi- nets.” 60 One of the other key sixteenth-century sources on Tupinamba cannibalism, Calvinist Jean de Léry’s Histoire d’un voyage fait en la terre du Brésil, is central to Michel de Certeau’s analysis of ethnographic writing and voice. Certeau finds links between Léry’s descriptions of Tupinamba women’s eating of human flesh and contemporary Euro- pean depictions of witches’ nighttime Sabbath revelry.61 Cannibalism 57 Arthur Kleinman, Veena Das, and Margaret Lock, “Introduction,” in Social Suffer- ing, ed. Arthur Kleinman, Veena Das, and Margaret Lock (Berkeley: University of Cali- fornia Press, 1997), pp. ix–xxvii. 58 Descriptions of Tupinamba cannibalism were related in sixteenth-century travel narratives written by Europeans and diffused through seventeenth- and eighteenth-century texts on marvels and monstrosities, such as Abbé Guyon, Histoire des Amazones anciennes et modernes, enrichie de médailles (Paris: Jean Villette, 1740). The influential anthropologist Claude Lévi-Strauss read many of these early modern accounts before conducting fieldwork with Native Americans in twentieth-century Brazil. He carried a copy of Jean de Léry’s account with him and thought of early modern travel narratives “as [he] set foot on Brazil- ian soil for the first time.” Interestingly, Lévi-Strauss mentions cannibalism, but avoids directly discussing Tupinamba cannibalism. See Claude Lévi-Strauss, Tristes Tropiques, trans. John Weightman and Doreen Weightman (New York: Atheneum, 1975), pp. 81– 88, 326, 335, 351–353, 383–393. 59 Frank Lestringant, Mapping the Renaissance World: The Geographical Imagination in the Age of Discovery, trans. David Fausett (Berkeley: University of California Press, 1994). 60 Stephen Greenblatt, foreword to Lestringant, Mapping the Renaissance World, pp. vii–xv. 61 Michel de Certeau, The Writing of History, trans. Tom Conley (New York: Columbia University Press, 1988), pp. 209–243; Jean de Léry’s account of Tupinamba cannibalism is doubly fascinating because he also describes European cannibalism at the siege of Sancerre during the French Wars of Religion; Robert M. Kingdon, Myths About the St. Bartholomew’s Day Massacres, 1572–1576 (Cambridge, Mass.: Harvard University Press, 1988), pp. 58– 62. 2JWH_1-70 2/19/06 11:46 AM Page 17 18 journal of world history, march 2006 represented devilish gorging to European travel writers who were attuned to issues of feast and famine and who believed that “God’s greatest punishment with famine was to induce cannibalism, and espe- cially to thereby induce starving mothers to eat their own babies.” 62 Europeans describing cannibals in this period of frequent famines and religious conflicts often wanted to emphasize their pious fasting and their “correct” interpretation of the Eucharist. Literary critic René Girard, instead of focusing on European descriptions, treats Tupinamba cannibalism as a “real” practice. Rather than seeing ritualistic canni- balism as an aberration, however, Girard suggests that it is merely another form of ritualistic sacrifice—a fundamental purifying act com- mon to all religious systems and necessary to remove the pollution of violence, or “mimetic desire,” from the community.63 The very con- cepts of religion, violence, and ethnicity intersect in all of these read- ings of the Tupinamba. Martel’s interpretation, based on Hans Staden’s captivity narrative, suggests that the Tupinamba probably were not cannibals but that they actively cultivated a cannibalistic image and successfully used the “sub- versive power of rumors in resisting imperialism.” Hans Staden’s reli- gion-infused captivity narrative, intended for a Lutheran audience, provides the key source in this rereading of the Tupinamba’s supposed cannibalism. In an interesting move, Martel’s interpretation employs a Christian religious text to locate cannibalistic violence as an ethnic defensive smokescreen. Martel’s findings parallel Gananath Obeyese- kere’s reading of Spanish descriptions of Aztec sacrifice and cannibal- ism, which concludes that “here is an excellent example of Aztecs manipulating a human sacrifice for political purposes, utilizing a con- ventional sign system to frighten the Spaniards, and no doubt suc- ceeding.” 64 Captivity narratives written by Europeans seem to have misunder- stood Native American ritualistic bodily mutilation practices and exaggerated their dimensions in their outraged descriptions of Native American “barbarities.” The Iroquois and other Native American soci- eties placed great religious significance on captives, ritualistic torture, 62 Cunningham and Grell, Four Horsemen of the Apocalypse, pp. 200–246. 63 Girard, Violence and the Sacred, pp. 145–149, 274–308: “All religious rituals spring from the surrogate victim, and all the great institutions of mankind, both secular and reli- gious, spring from ritual.” 64 Gananath Obeyesekere, The Apotheosis of Captain Cook: European Mythmaking in the Pacific (Princeton, N.J.: Princeton University Press, 1992), pp. 16 –18. 2JWH_1-70 2/19/06 11:46 AM Page 18 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 19 and mourning.65 This issue becomes acute in the debate over the ori- gin of the practice of scalping. Archaeological, linguistic, and textual evidence strongly suggest that scalping was practiced by pre-Colum- bian Native Americans, despite some previous claims that Europeans introduced scalping to Native American societies. However, European colonists clearly did encourage scalping and the mutilation of bodies in early modern colonial warfare through the use of bounties for scalps brought in by Native American warriors.66 European religious leaders in North American colonies sometimes provided religious justifica- tions for incidents of bodily mutilation and atrocities. Europeans’ captivity narratives can be compared with trial records of Native Americans who faced European judicial processes. Patricia Lopes Don’s research on the Indian Inquisition in Mexico reveals the harsh punishments and executions meted out to Mesoamerican cap- tives in an effort to halt what the inquisitors considered idolatry. Reli- gious rationales sustained torture throughout European judicial sys- tems and their colonial counterparts, not merely in Inquisition courts. A recent study of Catholic French torture finds that “much as chosen suffering sought to crush the rebellious will and thereby to make spir- itual space for the indwelling truth of God, so too did judicial torture, by inflicting pain on an accused, seek to destroy the willfulness that diminished the truth of testimony.” 67 European colonists subjected Native Americans to forms of judicial torture and execution that incorporated deliberate, ritualistic infliction of pain. The most massive and systematic captive-taking operations in the Atlantic world arose in West Africa, as Europeans increasingly relied on African slave labor during the sixteenth century. Europeans’ rising demands for African slaves in the seventeenth century seem to have fueled warfare among West African states and societies, encouraging slave-taking operations and supporting an “ideology of militarism [that] was founded in the political economy of the slave trade.” 68 While Euro- pean desires for slaves provided economic incentives for the slave mar- 65 Richter, “War and Culture: The Iroquois Experience,” pp. 537–544; Anthony F. C. Wallace, The Death and Rebirth of the Seneca (New York: Vintage Books, 1972), pp. 76 –107. 66 James Axtell and William C. Sturtevant, “The Unkindest Cut, or Who Invented Scalping,” William and Mary Quarterly, 3rd ser., 37 (July 1980): 451–472; Starkey, “Euro- pean-Native American Warfare in North America, 1513–1815,” pp. 248–249. 67 Lisa Silverman, Tortured Subjects: Pain, Truth, and the Body in Early Modern France (Chicago: University of Chicago Press, 2001), pp. 8– 9. 68 Robin Law, “Warfare on the West African Slave Coast, 1650–1850,” in War in the Tribal Zone (see n. 10), pp. 103–26. 2JWH_1-70 2/19/06 11:46 AM Page 19 20 journal of world history, march 2006 ket, the actual enslavement of Africans stemmed largely from wars conducted among African political entities. John Thornton has per- suasively argued that “African participation in the slave trade was vol- untary and under the control of African decision makers.” 69 If Euro- pean slave traders had to compete with internal African economic use of slaves, they controlled the transportation and reselling of slaves. The Middle Passage in the sixteenth and seventeenth centuries was a cruel, deadly voyage that killed more than 20 percent of captive Africans shipped across the Atlantic.70 Slaves challenged the planta- tion complex through subtle collective action, revolt, and flight. Africans who escaped from plantations often formed maroon commu- nities in the Caribbean and South America, but they always risked capture and reenslavement. The enormous scale of the early modern slave trade and the intense organization of the violence suffered by its captives should be contextualized by an examination of contempo- raries’ understanding of atrocities. Mass Violence and Atrocity Perhaps no single source had done more to shape our images of atroc- ity in the early modern Atlantic world than Bartolomé de Las Casas’s famous account of atrocities in New Spain.71 Travel narratives and polemical works written by Protestants built on critical Spanish accounts, such as Las Casas’s, to fashion a “Black Legend” of Spanish cruelty in the mines and encomiendas of New Spain. Hans Staden’s narrative probably criticized Portuguese slavery in order to please a Lutheran audience, and many of the facets of the Black Legend were undoubtedly a product of the religious propaganda of European wars of religion.72 Yet, many of the atrocious episodes recounted in propa- ganda pieces did relate horribly real excessive violence practiced by Spanish colonial soldiers and settlers against noncombatants, as well 69 Thornton, Africa and Africans, pp. 98–125. 70 David Eltis, Stephen Behrendt, David Richardson, and Herbert S. Klein, eds., The Transatlantic Slave Trade, 1562–1867: A Database CD-Rom (Cambridge: Cambridge Uni- versity Press, 1998); Herbert S. Klein, The Atlantic Slave Trade (Cambridge: Cambridge University Press, 1999), pp. 130–160. 71 Bartolomé de Las Casas, A Short Account of the Destruction of the Indies, trans. Nigel Griffin (London: Penguin Classics, 1992). 72 For a historiographical discussion of the Black Legend and the “decline of Spain,” see Richard L. Kagan, “Prescott’s Paradigm: American Historical Scholarship and the Decline of Spain,” in Imagined Histories: American Historians Interpret the Past, ed. Anthony Molho and Gordon S. Wood (Princeton, N.J.: Princeton University Press, 1998), pp. 324–348. 2JWH_1-70 2/19/06 11:46 AM Page 20 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 21 as by other Europeans and Native Americans embroiled in conflicts in the colonial borderlands. Analyzing early modern atrocities is compli- cated not only by the outrage that accompanied most of these descrip- tions of atrocity, but also by ambiguous legal distinctions and gender conceptions that often made defining “noncombatants” very diffi- cult.73 Tracing the connections between religion and ethnicity can help in understanding the massive scale and disturbing character of the atrocities committed in the early modern Atlantic world. The Virginia Massacre, as the Powhatan Confederacy’s 1622 attack on English settlers in Jamestown colony is generally known, and the reprisal massacres perpetrated by English colonists reveal the dynam- ics of mass atrocities in this period. Melanie Perrault shows that dur- ing the decade before the massacre, deep contradictions emerged in English paternalistic attitudes that portrayed Native Americans as “noble savages” who lived in an Eden-like paradise. English colonial voyager Thomas Harriot thought that Native Americans would even- tually come to “honor, obey, fear, and love us.” Perrault reveals how such paternalistic attitudes created tensions in the Virginia colony and antagonized the settlers’ Native American neighbors. When intercul- tural violence did occur, English political culture sanctioned extreme forms of violence against Native Americans as a justifiable means of upholding the colonial community and maintaining social order.74 The increasingly brutal character of violence between English col- onists and Native Americans highlights the failure of restraints in colonial warfare in the Atlantic world during the sixteenth and seven- teenth centuries. All wars involve the forging of conventions between groups of combatants regarding the appropriate means and forms of vio- lence; however, these conventional practices of warfare and restraints on violence are periodically violated and can at times break down.75 73 A comparative approach to atrocity is provided by Mark Grimsley and Clifford J. Rogers, eds., Civilians in the Path of War (Lincoln: University of Nebraska Press, 2002). There is not space here to develop the complexities of gender conceptions and relations in determining combatant/noncombatant status; however, I discuss this issue in a case study, Brian Sandberg, “ ‘Generous Amazons Came to the Breach’: Besieged Women, Agency and Subjectivity During the French Wars of Religion,” Gender & History 16 (November 2004): 654– 688. 74 Perrault’s analysis effectively explains the explosion of violence in Virginia, support- ing interpretations that see the Virginia Massacre as a rupture in English policies toward, and relations with, Native Americans; see Alden T. Vaughan, “ ‘Expulsion of the Savages’: English Policy and the Virginia Massacre of 1622,” William and Mary Quarterly, 3rd ser., 35 (January 1978): 57– 84. 75 The best introduction to the massive literature on the theories and the practices of “laws of war,” including the concepts of jus ad bellum and jus in bello, is provided by Michael 2JWH_1-70 2/19/06 11:46 AM Page 21 22 journal of world history, march 2006 Differing cultural expectations about violence and communication dif- ficulties seem to have exacerbated problems in maintaining restraints on intercultural violence in areas such as Virginia and New England. Colonial military and militia units seem to have accepted the routine use of excessive violence, as the images of self-defense used by early seventeenth-century settler colonies incorporated notions of a “mili- tarized frontier” and a “militia myth.” 76 Europeans were increasingly accustomed to failures of restraints on warfare during the religious wars that engulfed vast areas of Europe from the mid-sixteenth century to the mid-seventeenth century. Cities in the conflict zones of the Dutch Revolt, the French Wars of Religion, the Thirty Years’ War, and the English Civil Wars could suffer cata- strophic violence as the most extreme applications of the “law of the siege” became normal. European soldiers, who were often ill-supplied and underpaid, became habituated to pillaging and burning towns that attempted to resist them. Massacres of inhabitants and executions of civic leaders followed the end of many sieges due to the brutal condi- tions of early modern European warfare and the excessive zeal of many soldiers participating in religious warfare.77 Strong religious motivations often underlay the atrocities commit- ted by the European combatants who fought in colonial wars. Mark Juergensmeyer argues that “warriors” in religious conflicts experience symbolic empowerment through their performance of violence in what they perceive as a “cosmic war.” 78 This approach to religious conflict provides a way of interpreting early modern European soldiers’ commitment to a cause and their willingness to inflict violence. For combatants in the European wars of religion, heretics and infidels both Howard, George J. Andreopoulos, and Mark R. Shulman, eds., The Laws of War: Con- straints on Warfare in the Western World (New Haven, Conn.: Yale University Press, 1994); see also James Turner Johnson, “Maintaining the Protection of Non-Combatants,” Journal of Peace Research 37 (July 2000): 421–448; and Michael Walzer, Just and Unjust Wars (New York: Basic Books, 1977). 76 Don Higginbotham, “The Military Institutions of Colonial America: The Rhetoric and the Reality,” in Tools of War: Instruments, Ideas, and Institutions of Warfare, 1445–1871, ed. John A. Lynn (Urbana: University of Illinois Press, 1990), pp. 131–153. 77 Geoffrey Parker, “Early Modern Europe,” in Laws of War (see n. 75), pp. 40–58; Mark Greengrass, “Hidden Transcripts: Secret Histories and Personal Testimonies of Religious Violence in the French Wars of Religion,” in The Massacre in History, ed. Mark Levene and Penny Roberts (New York: Berghahn Books, 1999), pp. 69– 88; Brian Sand- berg, “ ‘Only the Sack and the Noose for its Citizens’: Atrocities against Civilians in the Wars of Religion in Early Seventeenth-Century France,” (forthcoming). 78 Juergensmeyer, Terror in the Mind of God, pp. 145–163, 187–215. 2JWH_1-70 2/19/06 11:46 AM Page 22 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 23 represented agents of the Devil, with shared abominable characteris- tics. Colonial encounters with indigenous peoples became sites of reli- gious and theological dispute in confessional propaganda of the reli- gious wars. If the Tupinamba could be compared to witches by the Protestant French writer Léry, so too could Huguenot “heretics” be por- trayed as witches and sorcerers by Catholic polemicists in France.79 For Christians anticipating the Apocalypse, waging warfare against the Ottomans in the Mediterranean or against the Powhatans in Virginia signified participating in the great struggle against the Antichrist. Many European soldiers and colonists who were directly involved in the production of violence in Europe’s global expansion exported reli- gious warfare into colonial contexts. Incidents of religious violence erupted among Europeans in colonial territories, such as the conflict between French Calvinists and Catholics at Fort Coligny. The English colonial leader John Smith explained that “the Warres in Europe, Asia, and Affrica . . . taught me how to subdue the wilde Salvages in Virginia.” 80 A transatlantic comparative perspective can make Smith’s com- ment even more significant and the atrocities surrounding the Virginia Massacre more comprehensible. English colonization in Ireland and the Americas developed as serious religious divisions emerged in the British Isles in the sixteenth century between Catholic Ireland, Cal- vinist Scotland, and an Anglican-dominated but religiously mixed England. Elizabethan England seems to have become increasingly mil- itarized just as it began its imperial policies in the Atlantic as a result of the pressures of fighting in religious conflicts in the divided Nether- lands and in Catholic Ireland during the late sixteenth century. As Nicholas P. Canny points out, “We find the [English] colonists in the New World using the same pretexts for the extermination of the Indi- ans as their counterparts had used in the 1560s and 1570s for the slaughter of numbers of the Irish.” 81 Aggressive English colonization in Ireland continued during the religious conflicts of the mid-seven- teenth-century civil wars, which involved so much atrocity that the violence in Ireland has recently been likened to late twentieth-century 79 Luc Racaut, Hatred in Print: Catholic Propaganda and Protestant Identity during the French Wars of Religion (Aldershot: Ashgate, 2002), pp. 56 –58, 77–79, 91– 92. 80 John Smith quoted in Vaughan, “ ‘Expulsion of the Savages,’ ” pp. 62– 63. 81 John S. Nolan, “The Militarization of the Elizabethan State,” Journal of Military His- tory 58 (July 1994): 391–420; Nicholas P. Canny, “The Ideology of English Colonization: From Ireland to America,” William and Mary Quarterly, 3rd ser., 30 (October 1973): 596 –597. 2JWH_1-70 2/19/06 11:46 AM Page 23 24 journal of world history, march 2006 “ethnic cleansing.” 82 English, Irish, and Scottish soldiers who experi- enced the atrocities of the civil wars in the 1640s and 1650s may have been even more prepared to practice warfare beyond restraint. They had witnessed the erosion of conventional limits on warfare among Christians and the infusion of bitter religious hatred into European conflicts.83 The atrocious nature of this sort of conflict arguably shaped later English attitudes toward both Irish and Native Americans.84 The combination of ethnic stereotypes, imperial ideologies, and religious justifications not only sanctioned atrocities but gave them expansive meaning. The Atlantic World and the Globalization of Violence This issue highlights the advantages of examining the perpetrators of violence carefully as historical actors adopting multiple subject posi- tions: violence’s participant, manipulator, collaborator, witness, and even victim. The articles here are careful to explore the “gray zones” between oppressors and victims, and such an approach to the produc- tion of religious and ethnic violence offers new directions in the his- toriography of the Atlantic world that can complement studies of the “reception” of violence.85 Understanding religious and ethnic violence comparatively can also help integrate the history of the Americas into broader world his- torical perspectives, avoiding the production of an America-centered Atlantic world.86 When historians focus on the oppressive nature of European imperialism, they can best respond to Eric Wolf ’s call to 82 Robin Clifton, “ ‘An Indiscriminate Blackness’? Massacre, Counter-Massacre, and Ethnic Cleansing in Ireland, 1640–1660,” in Massacre in History (see n. 77), pp. 107–126. 83 Barbara Donagan, “Atrocity, War Crime, and Treason in the English Civil War,” American Historical Review 99 (October 1994): 1137–1166. 84 Nicholas P. Canny, Kingdom and Colony: Ireland in the Atlantic World, 1560–1800 (Baltimore: Johns Hopkins University Press, 1988); Harold E. Selesky, “Colonial Amer- ica,” in Laws of War (see n. 75), pp. 60– 62. 85 This usage of “gray zones” is adapted from Primo Levi, The Drowned and the Saved (New York: Vintage, 1989). 86 Michael Adas, “From Settler Colony to Global Hegemon: Integrating the Excep- tionalist Narrative of the American Experience into World History,” American Historical Review 106 (December 2001): 1692–1720, argues passionately that American historiogra- phy needs to overcome its central paradox of seeing America as an exceptional “city upon the hill” while also stressing America as a model for the rest of the world. For a historio- graphical study of American exceptionalism, see Daniel T. Rodgers, “Exceptionalism,” in Imagined Histories (see n. 72), pp. 21–40. 2JWH_1-70 2/19/06 11:46 AM Page 24 Sandberg: Religion, Ethnicity, and Violence in the Atlantic World 25 break down Eurocentric historiography by reconceptualizing Euro- peans’ roles in the production of transatlantic and global violence, rather than by ignoring the European dimensions of early modern globalization.87 After all, as Talal Asad argues, “Europe did not simply expand overseas; it made itself through that expansion.” 88 The earliest and perhaps fullest combination of aggressive transoceanic imperial- ism, settler colonies, and racial slavery first developed in the Atlantic world in the sixteenth and seventeenth centuries. Although the forms of ethnic and religious violence produced in this context were shaped by ongoing or contemporaneous imperial relationships in the Mediter- ranean, Indian Ocean, Eurasia, and Southeast Asia, the performances of violence in the Atlantic world arguably served as models for the globalization of violence throughout the early modern world. Alfred W. Crosby’s demarcation of a Columbian Exchange has pro- vided a broad concept that continues to be useful, but we should remember that his depiction of the processes of transatlantic exchange emphasizes the violent, destructive clashes of conquering germs, plants, animals, and humans.89 In contrast, the term “encounters,” which seemed so dominant during the Columbian quincentennial, represents a problematic concept precisely because it obscures agency in the pro- duction of violence and deflects attention from the horrendous conse- quences of armed conflict. Moving beyond the notion of “encounters” requires inserting a comprehensive examination of violence into com- parative histories and metanarratives of early modern globalization. 87 Eric Wolf, Europe and the People without History (Berkeley: University of California Press, 1982). 88 Talal Asad, “Muslims and European Identity: Can Europe Represent Islam?” in The Idea of Europe: From Antiquity to the European Union, ed. Anthony Pagden (Cambridge: Woodrow Wilson Center Press and Cambridge University Press, 2002), pp. 209–227. 89 Consider Crosby’s insistence on deadly disease, “biological imperialism,” and “expan- sion,” in Alfred W. Crosby Jr., Ecological Imperialism: The Biological Expansion of Europe, 900–1900 (Cambridge: Cambridge University Press, 1986) and Alfred W. Crosby Jr., The Columbian Exchange: Biological and Cultural Consequences of 1492 (Westport, Conn.: Green- wood, 1972). 2JWH_1-70 2/19/06 11:46 AM Page 25 
work_z7exe7mokzambjybxdbixl4uta	----	Science Magazine renewal of some nuclear pore components leads to the gradual deterioration of nuclear pore function. As a consequence, the nuclei of older cells become leaky, and proteins that would nor- mally be excluded from the nucleus can be found within it. — SMH Cell 136, 284 (2009). C H E M I S T R Y Product Protection Chemical transformations often pose the dilemma that a desirable product may prove unstable under the reaction conditions. In certain cases, such intermediate products may be sufficiently volatile to be removed evaporatively from the reaction mixture as they are generated, but many compounds are not amenable to this mode of sep- aration. A particularly insidious challenge arises in the partial alkylation of amines. Adding an alkyl group renders an amine more nucleophilic than before, and so more likely to attract yet another alkyl group; therefore, simply mixing equivalent amounts of amines and alkyl electrophiles tends to afford a mixture of unreacted and polyalkylated products. Yebeutchou and Dalcanale skirt the 20 FEBRUARY 2009 VOL 323 SCIENCE www.sciencemag.org984 C R E D IT S ( T O P T O B O T T O M ): O L IV IE R W E IK E N /E P A /C O R B IS ; D ’A N G E L O E T A L ., C E L L 1 3 6 , 2 8 4 ( 2 0 0 9 ) EDITORS’CHOICE C E L L B I O L O G Y Aging Disgracefully As we age, all too many aspects of our physique deteriorate—not just at the macroscopic scale of our limbs and organs, but also at the single- cell level. Nuclear pores allow for the transport of proteins and nucleic acids across the nuclear envelope, both from the cytoplasm to the nucleus and in the reverse direction, and are essential in normal trafficking processes involved in gene expression, cellular homeostasis, and growth. Nuclear pores are complexes of many individual protein components, some of which are extraordi- narily long-lived. D’Angelo et al. have examined the characteris- tics of these complexes in aging postmitotic cells from Caenorhabditis elegans and from rodents, and find that as cells grow old, the lack of problem by adding molecular sequestering agents that selectively capture amines after their preliminary reaction step, thereby protecting them from further interaction with a methylating agent (iodomethane). The optimized protectors were tetra(arylphosphonate)-based cavitands that attracted monomethylated alkyl ammonium cations through ion-dipole forces, hydrogen bonding at the rim, and C-H–pi interactions deep in the cavity. In their presence, a range of alkyl and aryl primary amines could be selectively methylated in good yield. The authors verified preferential encapsulation of the secondary ammonium ions in solution using nuclear mag- netic resonance spectroscopy. — JSY J. Am. Chem. Soc. 131, 10.1021/ja809614y (2009). N E U R O S C I E N C E Opioids and Drink Substance abusers score higher on measures of cognitive and motor impulsivity. Cognitive impul- sivity refers to the inability to delay gratification, whereas motor impulsivity, or disinhibition, describes the inability to withhold a pre-potent response. Animal studies confirm that impulsivity EDITED BY GILBERT CHIN AND JAKE YESTON P S Y C H O L O G Y Cycling Between Worlds During the run-up to the first round of the 2007 presidential election in France, boundaries blurred as the usual mix of campaign rhetoric and dirty tricks spilled over into the virtual world of Second Life. Whether these skirmishes influenced the real-world electorate is unclear, and McCabe et al. have begun to investigate whether associa- tions learned within the confines of a computer- based contest might affect participants’ behavior in real-world situations. They conditioned partici- pants to chase or avoid cyclists who overtook them by linking one type of jersey logo to fruit juice and the other to salty tea, respectively. Several days later and in a different building, approximately two-thirds of the participants, while waiting for their turn in the brain scanner, elected to sit in a chair on which was draped a towel embroidered with the positively associated logo. Furthermore, neural activity of the insula region of the brain (a measure of motivational salience) reflected the previous conditioning of appetitive and aversive stimuli, hinting at a carryover from the virtual reality cycling competition. — GJC J. Neurosci. 29, 1046 (2009). Normally cyto- solic protein tubulin (green) inside an old nucleus. Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ www.sciencemag.org SCIENCE VOL 323 20 FEBRUARY 2009 C R E D IT : J U P IT E R I M A G E S correlates with drug intake, although nearly all of these studies have examined impulsivity in rela- tionship to psychostimulant drugs. Olmstead et al. have investigated whether deletion of the �- or �-opioid receptor genes alters motor impulsivity in mice. They tested the behavior of these mutant animals in an operant- based behavioral task that assesses the ability of mice to withhold a well-learned pre-potent response (a nose poke used to gain a sucrose reward); the reward can be obtained only when nose-poke responses are made during a brief light stimulus. Mice lacking �-opioid receptors exhib- ited decreased motor impulsivity, whereas those lacking �-opioid receptors showed increased motor impulsivity. Additionally, mice lacking �-opioid receptors were insensitive to the effects of alco- hol, which increases impulsivity and decreases conditioned responding in wild- type mice, and the behavior of mice lack- ing �-opioid receptors was completely disrupted by alcohol. Taken all together, these results indicate a link between opiate receptors in the brain, impulsive behavior, and behavior directed toward ingesting alcohol. — PRS PLoS ONE 4, e4410 (2009). M O L E C U L A R B I O L O G Y Finely Balanced Registers Many genes are interrupted by noncoding introns that must be precisely excised from the RNA molecules transcribed from the gene. In the first step of the splicing reaction, a large RNA- protein splicing machine recognizes the 5’ end of most introns via the complementarity of this region to one of the spliceosome components, the U1 RNA. Yet other 5’ splice sites show little complementarity to the canonical U1 sequence and are nonetheless efficiently and accurately spliced by the very same machine. In puzzling over this conundrum, Roca and Krainer noticed that a subset of these atypical 5’ splice sites did have a sequence that could form a base-paired region with the U1 sequence, but only if shifted one base downstream of the nor- mal 5’ splice site (the +1 register). Mutating one of these atypical 5’ splice sites to improve its complementarity to the U1 RNA in the canonical register resulted in aberrant, rather than improved, splicing. Furthermore, mutations in the +1, but not canonical, register of the U1 RNA that restored base pairing with the mutated atypical 5’ splice sites could rescue the splicing defects. Understanding that the U1 RNA can rec- ognize two subsets of 5’ splice sites in two regis- ters accounts for the splicing of atypical 5’ splice sites and also explains the deleterious effect of a mutation in the intron of the gene RARS2, which is associated with pontocerebellar hypoplasia. EDITORS’CHOICE 17050 Montebello Road Cupertino, California 95014 Email:AAASInfo@betchartexpeditions.com For a detailed brochure, please call (800) 252-4910 PERU June7-17,2009 Explore extraordinary cultural and archaeological wonders of Peru. Tour Lima and visit Huaca Pucclana archaeological site. See the heart of the Inca Empire at Cuzco and spec- tacular landscapes in the Andes. Visit Machu Picchu, Ollantaitambo, and Sacsayhuaman. $3,695 + air. Spitsbergen July14-26, 2009 Explore the Arctic and better understand global warming. Travel on board the M/V Antarctic Dream and see glaciers, wild- flowers, polar bears, walrus, Arctic fox, great whales, and much more! From $4,995 + air. Azores &Atlantic Crossing June 1-14, 2009 Cruise to the Azores on board the CleliaIIwith lectures at sea en route to Santa Maria where Christopher Columbus made landfall on his return from America. On the island of Sao Miguel, explore Ponta Delgada and breathtaking Sete Cidades, where two lakes fill a volcanic crater. Visit the islands of Terceira, Pico, and Faial. From $5,995 + air. China’s 2009 Eclipse July13-24, 2009 Visit three of China’s important cultural sites—Beijing, Xi’an, and Hangzhou—before seeing the Total Solar Eclipse, July 22, 2009 at the mouth of the Qiantang River near Hangzhou. $3,695 + air. Travel with AAAS Although the 5’ splice site mutation improves complementarity with the canonical U1 register, it weakens base pairing in the +1 register, and it is this imbalance that probably causes the exon skipping seen in the disease. — GR Nat. Struct. Molec. Biol. 16, 176 (2009). E N G I N E E R I N G Keeping Chips Cool The heat that is generated by silicon chips in the integrated circuits at the heart of modern elec- tronic devices must be efficiently removed, because the performance of field-effect transistors degrades at higher temperatures. One approach for providing active cooling next to a chip is to use thermo- electric materials, which effectively transport heat via current flow. Chowd- hury et al. fabricated a material with a high coeffi- cient of thermoelectric perform- ance and sandwiched it between the chip and a thermal sink layer. Specifically, the thermoelectric mate- rial comprised superlattices of p-type Bi 2 Te 3 /Sb 2 Te 3 and n-type Bi 2 Te 3 /Bi 2 Te 2.83 Se 0.17 grown on GaAs substrates by metal-organic chemical vapor depo- sition. The assembled devices could cool a targeted region on a silicon chip with a high heat flux (1300 W/cm2) by 15°C. — PDS Nat. Nanotechnol. 4, 10.1038/ NNANO.2008.417 (2009). A P P L I E D P H Y S I C S Sensing the Vibes Remotely Vibrations in machinery can lead to excessive wear, and, in the worst case, to catastrophic failure. Mon- itoring unwanted vibration is therefore an impor- tant safety issue. Probing the response of materials to vibrations at ultrasonic frequencies can provide a diagnostic test for defects and cracks in materials that may appear before the device breaks down. It is not always possible, or feasible, to use mechani- cally attached sensors, and so optical sensors may allow for nonintrusive monitoring. Bouncing laser light off a textured surface (such as a wall, a can, or paper) produces a speckle pattern. Bessette et al. introduce a photoconductive sensor that probes the movement of the speckle pattern as the sam- ple, in this case a metal surface cut from a can, is vibrated at high frequency. Using a simple silicon- based photoconductive element, which can be shrunk to micrometer size, they can look at the movement of a single speckle, thereby giving them the ability to monitor vibrations at ultrasonic fre- quencies remotely. — ISO Appl. Phys. Lett. 94, 41121 (2009). Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ Aging Disgracefully Stella M. Hurtley DOI: 10.1126/science.323.5917.984b (5917), 984.323Science ARTICLE TOOLS http://science.sciencemag.org/content/323/5917/984.2 CONTENT RELATED file:/content/sci/323/5917/twil.full PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American Association for the Advancement ofScience © 2009 American Association for the Advancement of Science o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/323/5917/984.2 http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_za6427rjjjepniqwavonrndflm	----	Hist. Geo Space Sci., 7, 73–77, 2016 www.hist-geo-space-sci.net/7/73/2016/ doi:10.5194/hgss-7-73-2016 © Author(s) 2016. CC Attribution 3.0 License. After some 350 years – zero declination again in Paris Mioara Mandea1 and Jean-Louis Le Mouël2 1CNES – Centre National d’Etudes Spatiales, 2 Place Maurice Quentin, 75039 Paris CEDEX 01, France 2Institut de Physique du Globe de Paris, Sorbonne Paris Cité, Univ. Paris Diderot, UMR7154 – CNRS, 1 rue Jussieu, 75238 Paris CEDEX 05, France Correspondence to: Mioara Mandea (mioara.mandea@cnes.fr) Received: 4 May 2016 – Revised: 1 August 2016 – Accepted: 15 August 2016 – Published: 14 September 2016 Abstract. The main part of the geomagnetic field – produced by a dynamo process in the Earth’s outer core – changes its direction and strength in time, over timescales from months to centuries, even millennia. Its temporal variations, known as secular variation and secular acceleration, are crucial ingredients for understanding the physics of the deep Earth. Very long series of measurements therefore play an important role. Here, we provide an updated series of geomagnetic declination in Paris, shortly after a very special occasion: its value has reached zero after some 350 years of westerly values. Indeed, during October and November 2013, the declination at the Chambon la Forêt geomagnetic observatory changed from westerly to easterly values, the agonic line then passing through this place. We take this occasion to emphasize the importance of long series of continuous measurements. 1 Introduction The observed Earth’s magnetic field is the sum of several internal and external contributions. The core field is more than 1 order of magnitude stronger than the other contribu- tions. This main part of the geomagnetic field is believed to be generated by convective motions in the Earth’s iron-rich, electrically conducting fluid outer core, by a process known as the geodynamo. This geodynamo-generated field is named the core field or main field, and its temporal variation, over timescales from months to centuries, is named secular varia- tion. The core field morphology at the Earth’s surface is rela- tively simple, being dominated by a centered dipole-like field which accounts for some 90 % of the total field. The litho- spheric magnetic field, with its origin in the remanent and induced magnetization of the crust and upper mantle, is not only weaker and much less variable in time, but also of a much smaller spatial scale when compared to the large-scale core field. Its complexity comes from its geological and tec- tonic origins. The Earth’s magnetic external fields stem from the interaction of the solar wind with the magnetosphere, and have as direct sources electric currents in the ionosphere and magnetosphere. In addition, an external current system inde- pendent of the solar wind–magnetosphere interaction exists, the so-called quiet-time daily variation (Sq ) current. It has its sources in the E-layer of the ionosphere and is driven by the interaction between neutral winds and the local plasma. To characterize these sources, measurements of the full vector magnetic field are needed. Observing the Earth’s magnetic field, since the time of the first compasses, can be regarded as the oldest branch of mod- ern geoscience and core physics. Nowadays, measuring the magnetic field is more focussed on answering fundamental questions about the planetary deep interior and its near-space environment than on practical navigation matters. Since 1832 the Earth’s magnetic field direction and strength have been continuously measured at various locations around the world, and these data represent the most important body of measure- ments to analyse the time evolution of the field morphology. The geomagnetic observatory network is still a crucial source of data in producing secular variation models in the past, and now, together with satellite data, enables us to better describe the internal and external field contributions. In this paper, we first describe some key steps in measuring the geomagnetic field, in France, and then we underline the role of French magnetic observations in our knowledge of the magnetic field. Published by Copernicus Publications. 74 M. Mandea and J.-L. Le Mouël: Agone in Paris 2 Earth’s magnetic field: elements and beginnings of observation Measurements of the Earth’s magnetic field have been taken over more than a century and a half on the ground (geo- magnetic observatories and magnetic surveys) and over some decades from space (low Earth orbit magnetic satellites). The geomagnetic field, at any particular location and time, is defined in terms of the three components (X, Y , and Z) that together yield B, the full geomagnetic field vector. The X, Y and Z elements are respectively the northward, east- ward and downward components of the magnetic field. The projection of B in the horizontal plane is noted as H and its direction is the magnetic north. The horizontal angle be- tween geographic north (X) and magnetic north (H ) is de- noted D, the magnetic declination. A compass needle aligns itself with H ; navigators therefore have to apply a correction to their compass direction to regain the geographic direction. Magnetic declination onboard ships has often been referred to as magnetic variation; the needle is said to be west or east, by a certain number of degrees, from the geographic north. Last, the angle between H and B is called the magnetic incli- nation or dip, and is denoted I (counted positive downwards). The declination was the very first measured geomagnetic field element, due to the early use of compasses. This instru- ment has been known in Europe since the 12th century (e.g. Merrill et al., 1996; Poirier and Le Mouël, 2013), but it is not clear when the deviation of the needle from geographic north, i.e. the declination, became known there. Probably it was discovered independently in China. At times when navigation became more important, the ge- ographic north direction was linked to measurements of lat- itude. Generally, the astrolabe was used for determining lat- itude by measuring the angle between the horizon and Po- laris (pole star). The position of Polaris might be located within less than 1◦ from the north celestial pole. Apparently, Roger Bacon was the first European to question the univer- sality of the north–south directivity of the compass in 1266 (Merrill et al., 1996). In the same epoch, Petrus Peregri- nus (Pierre Pelerin de Maricourt) conducted experiments on magnetism and wrote the first treatise containing a detailed discussion of a freely pivoting compass needle, a fundamen- tal component of a dry compass. In his letter of 1269, Peregri- nus explains how to identify the poles of a magnetized sphere (terrella) and developed physical considerations about mag- netism which would not be surpassed for some 300 years. The discovery of declination in the European area has of- ten been ascribed to Christopher Columbus in 1492, but there is evidence from ancient sundials and compasses that dec- lination had been known in Europe since at least the early 15th century. The oldest declination value given by a mag- netic compass known to us is dated 1451. This instrument was made by Peuerbach in Vienna. However, it is not clear whether Peuerbach understood the deviation from the geo- graphic north as purely a property of the magnetic field or as one of the instrument. Three more compasses made by him at the same location between 1451 and 1456 indicate differ- ent declination values, although the discovery of change in declination with time (i.e. secular variation) is generally as- sumed to have taken place only in the early 17th century. It was probably first noticed by Edmund Gunter in 1622 and was fully described by Henry Gellibrand in 1634 (Chapman and Bartels, 1962). Inclination was discovered in 1544 by Georg Hartmann at Nuremberg, but was probably first mea- sured correctly by Robert Norman in 1576 (Chapman and Bartels, 1962). There was considerable interest in explaining the direc- tion of the magnetic field from the very beginning of the 17th century and onwards. William Gilbert published his book De Magnete in 1600; he was the first to state that the Earth behaves like a giant spherical magnet. He tried to explain why a permanently magnetized compass needle points towards the north. At the same time, Guillaume Le Nautonier, a French cartographer, published in 1602–1604 Mecometrie de l’eymant c’est a dire la maniere de mesurer les longitudes par moyen de l’eyment (Mandea and Mayaud, 2004). In his book, Le Nautonier shows a global map on which the magnetic Equator and the magnetic poles (differ- ent from the geographic ones) are indicated. From the 17th century, declination and inclination mea- surements started to be made on a more regular basis, giv- ing the direction of the local geomagnetic vector, more or less continuously, in different places around the globe. Rela- tive measurements of the intensity (or the magnitude) of this vector were made from the 1790s, by comparing the “swing time” of a needle at the current location with that measured at a reference site. It is only in 1825 and 1830 that De- nis Poisson and Carl Friedrich Gauss developed along some- what different lines the theory of an absolute measurement of the magnetic field intensity, or strength. Simultaneously, Gauss built a magnetometer capable of providing reliable measurements of intensity. Gauss also established the first magnetic observatory in Göttingen in 1832. Moreover, Gauss and Wilhelm Weber founded the Magnetischer Verein (Mag- netic Union) which, from 1834 to 1841, supported the growth of a geomagnetic network through Europe; in this context, magnetometers were installed at sites such as Berlin (1836), Dublin (1838), Greenwich (1838), Prague (1839), and Mu- nich (1841). In France, following a long activity in the field of Earth’s magnetism, the national magnetic observatory started its ac- tivity in 1883. Before that date, declination and inclination measurements had been taken since 1541 and 1676 respec- tively. In the following, we focus on the Paris declination se- ries only. 2.1 The Paris declination series Early declination data can be found in published catalogues or time series. Hist. Geo Space Sci., 7, 73–77, 2016 www.hist-geo-space-sci.net/7/73/2016/ M. Mandea and J.-L. Le Mouël: Agone in Paris 75 1500 1550 1600 1650 1700 1750 1800 1850 1900 1950 2000 2050 Time (years) -20 -10 0 10 20 D ec in at io n (d eg re es ) . Figure 1. Paris declination series: annual means of declination cor- rected and adjusted to Chambon la Forêt observatory (see Alexan- drescu et al., 1996, for details) For French catalogues, we can quote the Guil- laume de Nautonier one (Mandea and Mayaud, 2004) and the one published by Guillaume Delisle around 1705 (with more than 10 000 measurements, which can be found in the Archives Nationales de Paris). Large efforts have been made to improve the existing database of historical observa- tions, including the navigation measurements (Jackson et al., 2000; Jonkers et al., 2003). Another category of sources is made of time series at a given location; for a mere handful of sites, series with more or less regular observations, spanning a few centuries, do ex- ist. We can quote the time series of declination and some- times inclination which have been compiled by (Malin and Bullard, 1981), Cafarella et al. (1992), Barraclough (1995), Alexandrescu et al. (1996) and Korte et al. (2009) for Lon- don, Rome, Edinburgh, Paris and Munich respectively. The Paris declination series starts as early as in the 16th century, with the first measurement performed by Kün- stler Bellarmatus in 1541, giving a value of 7◦ E. From that epoch until the official date of the establishment of the Académie des Sciences in 1635 by Cardinal Richelieu, some 20 declination measurements were taken in the Paris area. In 1667, the Académie des Sciences decided to build an as- tronomical observatory in Paris and to start a programme of declination measurements. Before the beginning of the con- struction of the building, a first measurement was made on 21 June 1667, using a 5-inch needle. Subsequent measure- ments were performed from 1667 onwards, sometimes con- tinued as a family tradition (La Hire, Cassini, Maraldi – fa- thers and sons). There are fewer measurements of inclination than of declination at the Paris Observatory, owing to its late discovery, but also because it was of less interest to naviga- tors and was more difficult to measure accurately. More de- tails about the observations of declination and inclination in the Paris region are given in Alexandrescu et al. (1996). Two epochs are important from a historical point of view, separated by some 350 years, when declination reaches a null value. The first one is around 1663 (considering the mean of measurements in Paris and that in Issy-les-Moulineaux, i.e. measurements which are not reduced to the present-day location of the Chambon la Forêt observatory). From 1658 to 1667 we note eight values of declination around zero, in 1658, 1660 (two measurements), 1663, 1664, 1666, and 1667 (two measurements) – see also Table 4 in Alexandrescu et al. (1996). Among them three values of full 0◦ declina- tion were observed at Paris, in 1658, 1660 and 1666, the last two by Abbé Picard with a Picard needle of 5 inches. In 1663 one more 0◦ measurement was made by Thévenot at Issy-les-Moulineaux, some 3 km from the Paris observa- tory. The ones for which the month and day are known are on 21 June 1663 (0◦0′) and 21 June 1667 (−0◦15′), both at summer solstice in the Northern Hemisphere. Let us un- derline that all declination measurements made in the Paris area (Issy-les-Moulineaux, Montsouris et Montmorency) and in previous French magnetic observatories (Saint-Maur and Val-Joyeux) are reduced to the current location of Chambon la Forêt. In Alexandrescu et al. (1996) a detailed discussion of the applied corrections is given. The annual means of dec- lination (1541–2015), adjusted to the Chambon la Forêt ob- servatory, are presented in Fig. 1. The second period with a nearly null value of declination is October–November 2013. Figure 2 shows the daily variation of declination over the last 4 months of 2013, indicating a change in the declination sign over October–November 2013. To give a flavour of the early interest in variation of decli- nation in Paris, and a possible approach to its estimation and null values, we mention the note left by a French astronomer who tried to represent the declination in Paris by a polyno- mial. In Good et al. (1819) we can read that M. Burckardt, an ingenious French astronomer, in- vented a formula to represent the magnetic declina- tion observed at Paris; thus if t denotes the number of years from 1663, the tangent of the declination is 0.449 sin(25′7′′)t +0.0425[sin(50′13′′)t]2 +0.0267[sin(1◦40′26′′)t]4 It follows from this formula that the eastern decli- nation diminished from 1448, when it was max- imum of 24◦10′, to 1660 or 1663, when it was nothing at Paris. Reckoning an equal period back- ward from 1448 gave 1233 for the earlier epoch when there was no declination. A little before this the invention of the mariner’s compass is generally dated. According to Burckardt’s theorem, the max- imum of the western declination at Paris will be in the year 1831; thought it will not vary more than 20 min from that time to 1878. We mention these www.hist-geo-space-sci.net/7/73/2016/ Hist. Geo Space Sci., 7, 73–77, 2016 76 M. Mandea and J.-L. Le Mouël: Agone in Paris Figure 2. Chambon la Forêt declination: daily means from 1 September 2013 to 31 December 2013. as curious results of this astronomer’s formula; but would by no means understood as affirming their accuracy. Burckardt’s estimates are quite interesting, considering the time when he developed this approach. The values indicated are indeed in good agreement with measurements in Paris at the given epochs: indeed 0◦ declination in 1660 and 1663. The maximum western declination was measured in 1796 (23◦45′ by Bouvard); over the period (1794–1831) the decli- nation was around 22◦. 2.2 Declination series and the deep Earth’s interior To analyse the temporal variations of the core magnetic field, it is of course essential to have available long series of data. To the slowly varying secular variation, we note additional characteristics. One specific feature of the declination vari- ation we are interested in are the so-called “geomagnetic jerks”, defined as abrupt changes in the secular variation and completed in a short time (see more details in Mandea et al., 2010; Brown et al., 2013). The temporal resolution of annual means is not adequate to get very accurate information on the characteristics of these events; however, long declination series such as the Paris one are the only sets of data which can be used to detect these events prior to the 20th century. To enhance rapid events, the first time derivative is com- puted after applying an 11-year smoothing. The Paris dec- lination curve clearly exhibits a number of changes in the secular variation, as shown in Fig. 3. These changes are more rounded as a result of the use of the filter; neverthe- less, the geomagnetic jerks can still be clearly identified. The figure clearly shows that, prior to the 20th century, one of the most prominent geomagnetic jerks appears around 1870. This event is also observed in four other European locations (Alexandrescu et al., 1997) and has been recently detected in the Munich curve (Korte et al., 2009), although a few Figure 3. Paris declination series: secular variation of the declina- tion computed with an 11-year smoothing filter. years earlier. Going farther back in time, there is evidence of changes in the secular variation trend, supported by mea- surements around the epochs: 1600, 1665, 1700, 1730, 1750, 1760, 1770, 1810, 1870, 1890, and 1900. These dates are close to those detected by Qamili et al. (2012): 1603, 1663, 1703, 1733, 1751, 1763, 1770, 1810, 1868–1870, 1888, and 1900, when analysing the temporal behaviour of the differ- ence between predicted and actual geomagnetic field model values for successive intervals from 1600 to 1980, based on the Gufm1 geomagnetic model (Jackson et al., 2000). Let us note that here we use the term “geomagnetic jerk” for all these events; however, as noted by Mandea and Olsen (2009), we must make a distinction between geomagnetic jerks and rapid secular variation fluctuations. Considering the origin of geomagnetic jerks in the fluid outer core, their signature on the measured magnetic field at the Earth’s surface may differ from place to place, which ex- plains why there is no perfect temporal coincidence between the different declination series. 3 Conclusions In this paper we updated the Paris series with the last 20 years of data, considering the event of zero declination through the Chambon la Firêt observatory. This is not a unique incident in Europe and an image of the declination observations at other observatories and repeat stations to demonstrate the westerly drift of the agonic line is provided by the declination map of Europe for the epoch 2006, a product of the MagNetE group (Duma et al., 2012). This map also includes the secular variation estimates for Europe. The evolution of the Earth’s magnetic field is intimately linked to the history of the Earth, allowing insights into the inner workings of our planet. Furthermore, the magnetic field is an important component in shielding the Earth’s surface from solar emissions. Hence, understanding its behaviour Hist. Geo Space Sci., 7, 73–77, 2016 www.hist-geo-space-sci.net/7/73/2016/ M. Mandea and J.-L. Le Mouël: Agone in Paris 77 is crucial, even if long-term accurate predictions are not presently possible. It is inevitable that the geomagnetic field will continue to exhibit secular variation at all timescales, and its strength continues to change, producing changes in the structure and dynamics of the magnetosphere. One can expect a corresponding change in the geometry of the mag- netosphere, which is controlled to first order by a balance be- tween static pressure generated by the geomagnetic field and the dynamic pressure of the solar wind. The possible conse- quences for our planet are not yet completely acknowledged. Understanding how the future geomagnetic field varies is strongly dependent on how well we know the past magnetic field. And for this, geomagnetic data, represented by the dec- lination curve, remain a unique dataset. 4 Data availability Data are available as following: a. The annual means – 1541–1994: from Alexandrescu et al. (1996); – 1995–2014: from http://www.geomag.bgs.ac.uk/data_ service/data/annual_means.shtml. The Paris declination series, reduced to the current location of Chambon la Forêt observatory, is available on request. b. The daily means – from http://www.bcmt.fr/clf.html. Author contributions. Mioara Mandea and Jean-Louis Le Mouël contributed equally to this work, which is a legacy of the time they spent in Chambon la Forêt observatory. Acknowledgements. This “null-declination” event is dedicated to so many observers, who, with constant patience, measured the geomagnetic field over centuries. Special thanks are given to the operators of Chambon la Forêt observatory. We gratefully acknowl- edge constructive suggestions from two anonymous reviewers. Edited by: M. G. Johnsen Reviewed by: two anonymous referees References Alexandrescu, M., Courtillot, V., and Le Mouël, J.-L.: Geomag- netic field direction in Paris since the mid-sixteenth century, Phys. Earth. Planet. Inter., 98, 321–360, doi:10.1016/S0031- 9201(96)03194-9, 1996. Alexandrescu, M., Courtillot, V., and Le Mouël, J.-L.: High resolu- tion secular variation of the geomagnetic field in western Europe over the last 4 centuries: Comparison and integration of histori- cal data from Paris and London, J. Geophys. Res., 102, 20245– 20258, 1997. Barraclough, D.: Observations of th Earth’s magnetic field in Ed- inburgh, from 1670 to the present day, T. Roy. Soc. Edinburgh Earth Sci., 85, 239–252, 1995. British Geological Survey: Worldwide Observatory Annual Means, http://www.geomag.bgs.ac.uk/data_service/data/annual_ means.shtml, last access: September 2016. Brown, W., Mound, J., and Livermore, P.: Jerks abound: An analysis of geomagnetic observatory data from 1957 to 2008, Phys. Earth. Planet. Inter., 223, 62–76, 2013. Cafarella, L., DeSantis, A., and Meloni, A.: Secular variation in Italy from historical geomagnetic field measurements, Phys. Earth. Planet. Inter., 73, 206–221, 1992. Chapman, S. and Bartels, J.: Geomagnetism, Oxford University Press, London, 1962. Duma, G., Leichter, B., and the MagNetE Group: Magnetic Dec- lination Chart 2006 of Europe, Ann. Geophys., 55, 1053–1059, doi:10.4401/ag-5575, 2012. Good, J. M., Gregory, O., and Bosworth, N.: Pantologia. A new (cabinet) cyclopedia, London, available at: https://archive. org/details/pantologiaanewc01greggoog (last access: Septem- ber 2016), 1819. Jackson, A., Jonkers, A. R. T., and Walker, M. R.: Four centuries of geomagnetic secular variation from historical records, Philos. T. Roy. Soc. Lond. A, 358, 957–990, 2000. Jonkers, A. R. T., Jackson, A., and Murray, A.: Four centuries of ge- omagnetic data from historical records, Rev. Geophys., 41, 1006, doi:10.1029/2002RG000115, 2003. Korte, M., Mandea, M., and Matzka, J.: A historical declina- tion curve for Munich from different data sources, Phys. Earth. Planet. Inter., 177, 161–172, 2009. Malin, S. and Bullard, E.: The direction of the Earth’s magnetic field at London, 1570–1975, Philos. T. Roy. Soc. Lond., 299, 357– 423, 1981. Mandea, M. and Mayaud, P.: Guillaume Le Nautonnier – un précurseur du magnétisme terrestre, Revue d’Histoire des Sci- ences et de leur applications, 57, 161–174, 2004. Mandea, M. and Olsen, N.: Geomagnetic and archeomagnetic jerks: Where do we stand?, EOS, Trans., 90, 208, 2009. Mandea, M., Holme, R., Pais, A., Pinheiro, K., Jackson, A., and Verbanac, G.: Geomagnetic Jerks: Rapid Core Field Variations and Core Dynamics, Space Sci. Rev., 155, 147–175, 2010. Merrill, R., McElhinny, M., and McFadden, P.: The Magnetic Field of the Earth, Academic Press, San Diego, 1996. Poirier, J.-P. and Le Mouël, J.-L.: Une brève histoire du magnétisme – De l’aimant à la Terre, Belin, Paris, 224 pp., 2013. Qamili, E., De Santis, A., Isac, A., Mandea, M., Duka, B., and Si- monyan, A.: Geomagnetic jerks as chaotic fluctuations of the Earth’s magnetic field, Geochem. Geophy. Geosy., 14, 839–850, 2012. www.hist-geo-space-sci.net/7/73/2016/ Hist. Geo Space Sci., 7, 73–77, 2016 http://www.geomag.bgs.ac.uk/data_service/data/annual_means.shtml http://www.geomag.bgs.ac.uk/data_service/data/annual_means.shtml http://www.bcmt.fr/clf.html http://dx.doi.org/10.1016/S0031-9201(96)03194-9 http://dx.doi.org/10.1016/S0031-9201(96)03194-9 http://www.geomag.bgs.ac.uk/data_service/data/annual_means.shtml http://www.geomag.bgs.ac.uk/data_service/data/annual_means.shtml http://dx.doi.org/10.4401/ag-5575 https://archive.org/details/pantologiaanewc01greggoog https://archive.org/details/pantologiaanewc01greggoog http://dx.doi.org/10.1029/2002RG000115 Abstract Introduction Earth's magnetic field: elements and beginnings of observation The Paris declination series Declination series and the deep Earth's interior Conclusions Data availability Author contributions Acknowledgements References 
work_zavcx4nx7zg6boosm3pefmy5ty	----	Art.3 A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 50 Recepción: Octubre 20 de 2008 Aceptación: Marzo 24 de 2009 * El artículo es una síntesis de la investigación “El proyecto de Cristóbal Colón: una empresa de la modernidad”, desarrollada por el autor como trabajo de grado para optar al título de Magíster Ciencias de la Administración. ** Psicólogo, Universidad de Antioquia. Magíster en Ciencias de la Administración, Universidad EAFIT. Director de Pigmalión, firma de investigación etnográfica de mercados. quedeshim@yahoo.com Resumen El descubrimiento de América, impulsado por Cristóbal Colón, es una empresa de la Modernidad, entendida esta como la mentalidad moderna desplegada en el sistema capitalista. Si bien es cierto que Colón, por la época en que vivió, se ubica dentro del Renacimiento, la mentalidad con que fue llevada a cabo su iniciativa está más cerca de modernos como Descartes y Hobbes, quienes, a partir de la racionalidad y el individualismo, configuran un cambio de época. La hipótesis de que Colón es un moderno se sustenta con muchas evidencias en las razones que construyó para defender su proyecto ante la corte española y especialmente en el acuerdo final, “la capitulación”, en donde la racionalidad y el individualismo priman sobre consideraciones divinas o medievales. La mentalidad racionalista de Colón prefigura la del empresario moderno que no da puntada sin dedal. Palabras clave: Colón, modernidad, empresa, descubrimiento de América, negociación, precapitalismo. El proyecto de Cristóbal Colón: Una empresa de la modernidad* The Christopher Columbus Project: An Enterprise of Modernity Carlos Augusto Rojas Arias** A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 51 Abstract The project of discovering America by Christopher Columbus is an enterprise of Modernity, understood as the modern mentality displayed in the capitalist system. Even though Columbus lived during the Renaissance period, the mentality carried in his project is closer to some modern philosophers such as Descartes and Hobbes, who from rationality and individualism constitute a change of time. The hypothesis that Columbus is a modern person is sustained with evidence in the reasons he explained to defend his project from the Spanish court and especially the final agreement, "the capitulation", in which rationality and individualism took precedence over divine or medieval considerations. The rationalist mentality of Columbus prefigures that from modern businessman who does not stitch without thimble. Key words: Christopher Columbus, Modernity, Enterprise, Discovery of America, Negotiation, Pre-capitalism. Introducción El proyecto de Cristóbal Colón de descubrir la ruta al mundo de las especias y que lo llevaría hasta América, es una empresa de la Modernidad. Esta afirmación sustenta la tesis central del trabajo de grado elaborado por el autor en el marco de la Maestría en “Ciencias de la Administración” de la Universidad EAFIT de Medellín. Dicho eje investigativo conduce, en primera instancia, a hacer un recorrido por los pilares de la Modernidad; luego, a conocer el sueño de Colón de descubrir una nueva ruta a Oriente navegando por occidente, para, finalmente, analizar el proyecto colombino como una empresa de la Modernidad. 1. Los pilares de la Modernidad ¡Honor, pues, a los sabios generosos! ¡Honor a esos espíritus infatigables que consagran sus vigilias ora a la mejora, ora al alivio de la especie! ¡Honor! ¡Tres veces honor! ¿No estamos en el caso de gritar que los ciegos verán, los sordos oirán y los cojos andarán? Lo que el fanatismo prometía antaño a sus elegidos, ¡la ciencia lo cumple ahora con todos los hombres! Gustave Flaubert (1993) Ubicar los pilares de la Modernidad no es una tarea fácil: las posiciones contradictorias abundan. No obstante, para el autor, la primera prefiguración de esta época se encuentra en la obra filosófica de Guillermo de Ockham, la cual será desarrollada siglos más tarde por las figuras más visibles de la Modernidad: Rene Descartes y Thomas Hobbes. La Modernidad abarca tres periodos: el Huma- nismo–Renacimiento, la Era Industrial y la Ilustración. También se puede ubicar desde finales del siglo xiv hasta comienzos del siglo xix. Así mismo, si se toma a partir de la historia de la ciencia, la Modernidad abarca desde Copérnico hasta Newton, pero si se parte de la historia de la filosofía, va desde Descartes a Kant. ¿Por qué, entonces, solo ocuparse de los pilares de la Modernidad? La respuesta tiene varios matices. En primer lugar, la iniciativa colombina A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 52 se gesta durante el siglo xv, haciéndolo, en principio, un proyecto del Renacimiento, es decir, no se encuentran signos para ubicarlo como propósito de su época en una Modernidad más tardía. En segundo lugar, la filosofía del Renacimiento está muy arraigada aún en los postulados de la Edad Media y no ayuda al objetivo de la investigación de entender la mentalidad que llevó a cabo la empresa colombina. En tercer lugar, se considera que el Colón soñador y con ansias de gloria, si bien es renacentista por la época en que vivió, en su proyecto posee una mentalidad moderna. En cuarto lugar, las obras de Ockham, Descartes y Hobbes, sí dan cuenta del cambio de mentalidad presente en el proyecto conquistador. El investigador es consciente de que Descartes y Hobbes pertenecen al siglo xvii, es decir, son filósofos que vivieron más de un siglo después del descubrimiento de América. Parece, por tanto, que un rasgo de la Modernidad es justamente que las obras van delante de las ideas o, mejor, la ciencia y la economía van más rápido que la filosofía. En una amplia revisión no se logró encontrar entre Ockham y Descartes ninguna obra filosófica que permitiera comprender el cambio de mentalidad de la época ya presente en la empresa de Colón. Resultado bien distinto sería si se hubiese seguido la historia de la ciencia, en la que figuras como Copérnico y Galileo encarnan ya una mentalidad moderna. Ni Petrarca, Bruno o Campanella, ni Rotterdam o Bacon realizaron una obra pre- cisa y contundente sobre la mentalidad de los modernos, como sí ocurrió con Descartes y Hobbes. Esta es justamente la razón capital para haber tomado la elección. Con este preámbulo, se da inicio, entonces, al análisis de los pilares de la Modernidad. Ya en la Baja Edad Media se hallan las primeras señales de la transición que tendrá en Guillermo de Ockham su principal exponente. Posteriormente se revisarán los más relevantes rasgos del Renacimiento y las obras de Rene Descartes y Thomas Hobbes que son, en el terreno filosófico, los padres de la Modernidad. 1.1 Una prefiguración de la Modernidad: Guillermo de Ockham El monje franciscano Guillermo de Ockham (1285–1349) nació en Ockham, cerca de Londres, es reconocido como uno de los más grandes filósofos de su época y difícilmente se encuentra alguien más sobresaliente entre la Escolástica y el Renacimiento. Aunque hijo de su época, en relación con la preponderancia de los asuntos divinos fue más allá que todos: “afirmaba la primacía del individuo como ser, como objeto de conocimiento y como fuente de los principios morales y del poder políticos” (O´Connor, 1967, 159). El centro de la obra de este pensador es su lógica que se erige como camino para buscar el conocimiento racional y como método de análisis: “hay que conocer los signos habi- tualmente para conocer una cara distinta de ellos mismos” (Ockham, 1994, 120). Se hace necesario establecer una relación empírica con los objetos terrenales para poder conocerlos. Para él, “los conceptos no representan una realidad externa, aunque esto no los convierte en ficciones, sino las maneras como conocemos los individuos” (O´Connor, 1967, 169). A partir de allí, inaugura una tradición empirista, retomada por muchos de los principales filósofos de la Modernidad, que plantea que los conceptos por sí solos no son poseedores de verdad sino simplemente juicios con que los hombres se representan la realidad. Del conocimiento deberán surgir proposiciones universales que constituirán la ciencia, pero cada proposición es acerca de individuos. Aquí es donde aparece la famosa “navaja de Ockham” que plantea que no hay que multiplicar los entes sin necesidad, A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 53 asestándole un golpe a toda la metafísica tradicional e inaugurando un tipo de economía de la razón. [...] que tiende a excluir del mundo y de la ciencia los entes y los conceptos superfluos, y antes que nada, los entes y los conceptos metafísicos que inmovilizan la realidad y la ciencia, configurándose como aquella regla metodológica que más tarde se denominará rechazo de las hipótesis ad hoc. Además, esa crítica parte del supuesto de que no hay que admitir nada fuera de los individuos y de que el conocimiento fundamental es empírico. (O´Connor, 1967, 169). La figura de Guillermo de Ockham se erige brillante y consistente porque reconoce los pálpitos de su época y esboza una serie de ideas que serán desarrolladas con suficiencia en la Modernidad y harán de él una figura imprescindible para entender el pensamiento de la Baja Edad Media. Él rompe con la Escolástica y traza una distinción entre los territorios de la razón y los territorios de la fe y su consecuencia inevitable: la autonomía de la filosofía frente a la teología. Plantea, igualmente, una ciencia racional y empirista. Propone universales lógi- cos sustentados en la autonomía individual, la navaja de Ockham y la disolución de la metafísica tradicional, así como su lucha en contra de la teocracia y a favor del pluralismo. Todo ello hace de Guillermo de Ockham una figura monumental de su tiempo y uno de los pensadores más inquietantes y atrevidos en la historia de la filosofía. 1.2 El despliegue del Renacimiento Las obras de los tres filósofos más importantes del Renacimiento —Francesco Petrarca, Giordano Bruno y Tommaso Campanella— están en el umbral entre la magia y la ciencia, entre la alquimia y la química, entre la metafísica y el empirismo. Por tal razón, aquí no se profundiza en estos filósofos renacentistas pues, para el propósito de comprender la empresa colom- bina, más que acercar, aleja al investigador. Dichas obras están plagadas de una presencia metafísica hermética; la filosofía renacentista se distancia de la ciencia moderna, de la cual Colón es un firme ejecutor e interlocutor, como se verá posteriormente. El pensamiento mágico no es esencial en el proyecto colombino, por lo cual se puede aseverar con firmeza que Colón está más cerca de la racionalidad de Descartes y de Hobbes que de la de Petrarca, Bruno y Campanella. Cuando Colón llega al Nuevo Mundo, no está pensando en el hermetismo mágico de su época sino en los adelantos técnicos que lo llevaron a destino y que le permiten hacer magia frente a los indígenas. La estridente pólvora y el sobrenatural caballo no tienen explicación científica para los nativos, él usufructúa de su asombro para hacerles magia e incrementar su halo divino. Para decirlo de una manera más precisa, Colón hace magia con la ciencia y no ciencia con la magia. Colón está cerca de la Modernidad, si bien su obra es animada y apoyada por los adelantos del Renacimiento, y no hubiese podido surgir sin su amparo. Su empresa sigue la lógica del cálculo y la racionalidad moderna. 1.3 El individuo subjetivista de Descartes Después del Renacimiento, todo estaba dispuesto para una verdadera revolución filosófica y René Descartes (1596 – 1650) la llevó a cabo: “juzgó a su siglo; vio un más allá, imagina (sic) y presiente (sic) un orden nuevo. Del mismo modo Colón, desde España o desde Génova, presentía un mundo nuevo” (Descartes, 1981, 7). Descartes quiere ir más allá en el más acá, distinguir lo verdadero de lo falso, erigir a partir de la razón ideas claras y distintas que le permitan dar cuenta de la realidad, construir un método que acoja una duda incesante y que exija pruebas de su verosimilitud, y todo esto, enmarcado en una unidad de pensamiento que hace de su filosofía una unidad sistemática. A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 54 1.4 El método cartesiano Descartes advirtió la divagación de la lógica de la época y buscó con rigor matemático una dirección metodológica que llevara al verdadero conocimiento. Su método, pues, tiene cuatro reglas: la evidencia, la divisibilidad (análisis), la síntesis (ir de lo simple a lo complejo) y la enumeración y revisión. Estas darán como resultado una sistematización del conocimiento, enmarcado en un ámbito de certidumbre que no dejará lugar a la vacua especulación. Después de establecer las reglas del método es necesario mantener una incesante duda metódica que busque agrietar lo conocido. La duda cartesiana no obedece a un simple escepticismo, es un paso obligado pero provisional en el camino a la verdad; de allí, que sea metódica. 1.5 El “Cogito ergo sum” Después de haberlo puesto todo en duda, era necesario construir una certeza fundamental que fuese verdadera: [...] inmediatamente después hube de constatar que, aunque quería pensar que todo era falso, era por fuerza necesario que yo, que así pensaba, fuese algo. Y al observar que esta verdad —pienso, luego existo— era tan firme y tan sólida que no eran capaces de conmoverla ni siquiera las más extravagantes hipótesis de los escépticos, juzgué que podía aceptarla sin escrúpulo como el primer principio de la filosofía que yo buscaba. (Descartes, 1981, 41). La proposición —“pienso, luego existo”— no es un razonamiento, es más un acto intuitivo mediante el cual se percibe la existencia en tanto pensante. “Cuando Descartes trata de definir la naturaleza de nuestra propia existencia, sostiene que esta es una res cogitans, una realidad pensante, en la que no hay ninguna ruptura entre el pensamiento y el ser” (Descartes, 1981, 41). A partir de él, la filosofía deja de ser la ciencia del ser para transformarse en doctrina de conocimiento, es decir, en él se encuentra el tránsito de una ciencia metafísica a una ciencia moderna. 1.6 El sujeto moral cartesiano Hasta aquí la referencia ha sido al sujeto de conocimiento cartesiano, pero en Descartes se puede identificar, además, el sujeto moral que, para los propósitos de la investigación, es esencial. A continuación se profundizará en sus rasgos más sobresalientes este aspecto cartesiano. La proposición “pienso, luego existo” no solo le abre las puertas a una nueva racionalidad que realizará numerosos adelantos técnicos y científicos; también deja libre el camino para que el hombre elija su destino a partir de su actividad pensante y hurgue mediante un racionalismo moral lo que más le convenga. En los Principios de filosofía, Descartes (1981), lo plantea con claridad: “vivir sin filosofar es como tener los ojos cerrados”. La filosofía alumbrará la existencia de los hombres en tanto ellos aviven su actividad pensante, se plantea Descartes (citado por Arango, 2002, 6), quien compara en diversas ocasiones el conocimiento con la visión: “la razón es la luz natural y el conocimiento es un ejercicio de separación para distinguir unas cosas de otras, para evitar confundirlas; pero lo primero que es preciso evitar es confundir los conocimientos con los sentimientos”. Con esta aseveración, Descartes separa las esferas del conocimiento exterior, el conocimiento científico y el ámbito de los sentimientos, el cual, aunque distrae del conocimiento exterior, también es susceptible de ser analizado mediante la actividad de la res cogitans. En síntesis, en Descartes, el “yo” no es el individuo, es el sujeto de conocimiento y el A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 55 sujeto moral; es puro entendimiento capaz de elaborar conceptos para explicar la naturaleza y también es un sujeto moral libre y autónomo: “la mayor perfección del hombre consiste en obrar libremente, es decir, por su voluntad” (citado por Arango, 2002, 9). Estos son los “yo” cartesianos, presentes, como se verá más adelante, en la empresa colombina. 1.7 Thomas Hobbes y los orígenes del individualismo liberal Señalo en primer lugar, como inclinación general de la humanidad entera, un permanente e incesante afán de poder, que cesa solamente con la muerte. Hobbes (1995) Si en Descartes se encuentra el individuo subjetivista que caracteriza la Modernidad, en Hobbes se hallan los orígenes del individualismo liberal. 1.8 El individuo liberal y el germen del homo economicus de Hobbes Para comprender a Hobbes, es necesario evidenciar, a partir de la reflexión que él hace sobre la palabra latina cultus, el utilitarismo propio de su razón calculadora como embrión de la mentalidad capitalista: [...] pues cultus significa propiamente, y sin excepción, esa labor que un hombre dedica a algo, con el propósito de sacar de ello beneficio. Ahora bien, las cosas de las cuales obtenemos beneficio, o bien están sujetas a nosotros, y entonces el beneficio que nos producen por la labor que le hemos dedicado es un efecto natural, o bien no están sujetas a nosotros, sino que recompensan nuestra labor según su voluntad. En el primer sentido, la labor aplicada a la tierra se llama cultivo; y la educación de los niños es un cultivo de sus mentes. En el segundo sentido, en el que las voluntades de los hombres tienen que amoldarse a nuestros propósitos, no por la fuerza sino por la complacencia, cultivar significa casi lo mismo que cortejar, esto es, ganar favor mediante el uso de buenos oficios como, por ejemplo, la alabanza, el reconocimiento de su poder, o cualquier otra cosa que resulte placentera a aquellos de quienes buscamos algún beneficio. (Citado por Arango, 2002, 286) Está claro que el interés se cultiva: se complace para que la voluntad del otro se aproxime y se le corteja para que esté cerca de mi deseo. La razón, es pues, fundamento de lo real, no es una razón platónica que busca el mundo suprasensible de las ideas como vía hacia el conocimiento; es una razón calculadora, conciente de la importancia de cultivar las influencias y que se forma solitaria sin la necesidad de la presencia divina para determinarse. Así comienza a gestarse un sujeto que se autodetermina, que sabe de sí, que tiene mayoría de edad para tomar sus propias decisiones sin acudir a autoridades sobrenaturales. No se puede plantear que en Hobbes se encuentre un sujeto terminado, depurado, con absoluta independencia entre lo racional y lo religioso, pero es indudable que a partir de él, el sujeto es un individuo subjetivista, esto es, que se autodetermina y decide su camino. Hobbes no es visto por todos con admiración: Según Strauss, es él, quien ha rebajado los fines de la acción humana para medirlos por lo más bajo, por el propósito más elemental o por el deseo natural que consiste en la mera conservación de la vida: la moral de los modernos, de los liberales, es una moral de mercachifles porque, según él, consulta únicamente la pasión más común, que consiste en el deseo de vivir, el cual no exige nada de la acción humana, por lo que se anula la distancia entre el ser y el deber ser, lo que suprime la dignidad de los valores y reduce o la reemplaza por la consagración del deseo y del interés. (Arango, 2002, 186). A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 56 Strauss sigue a la Rocheaufoucauld cuando dice que “las virtudes se pierden en el interés como los ríos se pierden en el mar”, metáfora de los modernos y del pensamiento de Hobbes. A partir de Hobbes, entonces, se erige un sujeto que se autodetermina, que es calculador y utilitarista, interesado y egoísta. El sujeto de la Modernidad en el ámbito capitalista es hombre en la medida en que sea individuo liberal, es decir, se autodetermine sin tener en cuenta a su semejante, y pueda ejercer su liberalismo con una seguridad garantizada: la seguridad necesaria para hacer solo y sólo lo que quiera. 1.9 La urdimbre de una nueva época Guillermo de Ockham fue el encargado de abrir una brecha al reconocer los nuevos pálpitos de su tiempo. La distinción que él trazó con la Escolástica entre los territorios de la razón y los de la fe, y su consecuencia inmediata, la autonomía de la filosofía con respecto a la teología; el planteamiento de una ciencia racional y empirista; la proposición de universales lógicos sustentados en la autonomía individual; la navaja de Ockham, y la disolución de la metafísica tradicional y su lucha contra la teocracia y a favor del pluralismo hicieron de su obra una prefiguración de la Modernidad. El Renacimiento, por su parte, estimuló el reencuentro del hombre consigo mismo, llevándolo a una ciencia activa que permitiera el desarrollo de diversos avances técnicos, base sustancial de la posterior fase industrial. Sin embargo, en el ámbito filosófico, el Renacimiento estuvo más cerca de los postulados de la Edad Media que de la era moderna. Petrarca, Bruno y Campanella se quedaron a mitad de camino entre la antigua magia y la nueva ciencia, razón por la cual se puede sostener que solo con Descartes comienza la Edad Moderna en el ámbito filosófico. Él fue un verdadero innovador, revolucionó la filosofía de su tiempo y dejó sus ecos hasta hoy. Incluso, para Heidegger, el rasgo por excelencia de la Modernidad es el racionalismo, de allí que plantee que esta es una permanente radicalización de Descartes. Ese nuevo racionalismo es posible expresarlo con el mismo Descartes, cuando plantea en Los meteoros, “¿para qué maravillarse del arco iris si se puede reproducir en casa? El mundo ha dejado de ser revelación y se vuelve pura representación, ejercicio de la razón suficiente”. La presencia de Thomas Hobbes inaugura otra vertiente de la Modernidad. A partir de él se levanta un sujeto autodeterminado, calculador y utilitarista, interesado y egoísta. El sujeto de la Modernidad en el ámbito capitalista no tiene en cuenta a su semejante y puede ejercer su liberalismo con una seguridad garantizada: el Estado coactivo o Leviatán. En tal sentido, la razón hobbesiana, como razón calculadora, razón conducida a fines previstos, es el terreno propicio para el mayor individualismo. La razón permite al individuo ejercer el libre albedrío y solo necesita del Estado para que le garantice su seguridad y le permita ejercer su libertad. En el racionalismo moral, el sujeto como fundamento se autolimita por la razón, el control está en sí mismo; en el individualismo liberal el sujeto es incapaz de refrenarse a sí mismo, por eso es necesaria la autoridad exterior que ejerza el control. En Hobbes, los hombres dejados a su libertad viven en estado de naturaleza, por eso el Estado o “Leviatán” es el encargado de realizar el control exterior. Si para Hobbes la voluntad es deseo, para Descartes la voluntad es la razón, no el deseo. Si Descartes piensa que la naturaleza es para ser dominada, aunque al servicio de la felicidad humana, el capitalismo lo sigue al pie de la letra pero olvida el proyecto de la felicidad, pues convierte al individualismo en singularidad gracias a los postulados iniciados por Hobbes. A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 57 Tanto Descartes como Hobbes son los pilares de la Modernidad. Ambos viven en los modernos, uno y otro se entrecruzan y se alternan; obviamente, el nuevo sistema capitalista encuentra más arraigo en Hobbes, mientras la nueva ciencia sigue al pie de la letra los postulados cartesianos. Desde los puntos de vista señalados, el proyecto colombino sigue las ideas de la naciente ciencia moderna, pero como proyecto económico se encamina fielmente por los nacientes preceptos capitalistas. No se puede explicar el proyecto colombino sin acudir a las figuras de Descartes y de Hobbes, ya que ellos, por ser los pilares de la Modernidad, permitirán comprender la mentalidad que llevó a cabo la empresa del descubrimiento de América. 2. El proyecto de Colón Una vez sentadas las bases para examinar los pilares de la Modernidad, en este apartado se analiza el sueño de Colón: descubrir la ruta a Oriente navegando por el occidente, o mejor, encontrar el camino a las Indias Orientales. Se debe pensar ahora, entonces, cómo concibió la idea, cómo la fue depurando hasta hacerla proyecto y, fundamentalmente, con qué mentalidad llevó a cabo su empresa. Si interesa el proyecto colombino de descubrimiento no interesa su descubrimiento. Este trabajo se ocupa solo de la vida de Colón en el periodo comprendido entre su nacimiento y la promulgación de “La Capitulación de Santa Fe”, que es el acuerdo a que llega Colón con los monarcas españoles meses antes de su partida del puerto de Palos de Moguer. 2.1 La era de los descubrimientos Vendrán los tardos años del mundo ciertos tiempos en los cuales el mar océano aflojará los atamentos de las cosas y se abrirá una gran tierra, y un nuevo marino como aquel que fue guía de Jason, que hubo nombre Tiphi, descubrirá nuevo mundo, y entonces no será la isla Thule la postrera de las tierras. Séneca. El mundo se estaba transformando. Para ser precisos, se estaba completando. Numerosas expediciones se movilizaban en busca de exuberantes tierras y enormes riquezas. Alentadas por las historias fantaseadas de los viajeros, provocaban el despliegue de la imaginación en la mente de los hombres del siglo xv e invitaban a los más temerarios a arrojarse en manos de la gloria: “millares de narraciones inflamaron la curiosidad, el valor y la avaricia; todos querían ver esas misteriosas comarcas donde la naturaleza había prodigado los monstruos y esparcido el oro en la superficie de la Tierra” (Verne, 1991, 74). El Renacimiento lanzaba la imaginación hacia los descubrimientos y potenciaba una mentalidad inquieta que ponía a prueba los viejos dogmas; la ciencia seguía aventajando a la filosofía. La obsesión de la época era, pues, encontrar nuevas rutas que condujeran hacia el continente asiático. Marco Polo ya había narrado sus travesías por el Asia Menor, pero las vías terrestres que recorrió no eran comerciales porque el transporte se encarecía, era bastante demorado y, por lo demás, bastante azaroso. Ante esa situación, solo quedaba el magnánimo océano para acercar el mundo asiático a Europa. Una vez que se había demostrado la forma esférica de la Tierra, la idea de llegar al Este por el Oeste no era descabellada, en particular porque nadie imaginaba la existencia de un obstáculo de tres mil doscientas leguas de extensión en camino a tal propósito. Además, el mundo se pensaba más pequeño. Basta recordar que Aristóteles había considerado un tamaño menor, mientras Séneca respondía a la pregunta de cuál era la distancia desde las últimas costas de España hasta la India, diciendo, que de muy pocos días si el viento era favorable. A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 58 2.2 El proyecto inicial de una nueva ruta a las Indias Orientales Para estudiar el proyecto de Cristóbal Colón de descubrir una nueva ruta hacia las Indias Orientales, es necesario, para los fines académicos, delimitar la vida de su promotor en cuatro períodos: el primero, entre 1436, supuesto año de su nacimiento, y 1470, tiempo aproximado de su llegada a Portugal; lapso denominado “La vida oculta de Colón”, porque se conocen muy pocos datos sobre él durante este. El periodo comprendido entre 1470 y 1485, fecha del ofrecimiento de su proyecto a la corona Española, conocido como “La incubación y el fracaso”. El tercero se extiende desde 1485 hasta 1492 que es propiamente el periodo de “La negociación con la corona Española”. Por último, “El fin de la negociación y el acuerdo definitivo”, que culmina con la promulgación de “La Capitulación”, circunstancia que deja despejado el camino hacia el descubrimiento. En síntesis, el presente trabajo se concentra en los primeros 56 años de la vida de Colón, enfatizando en los pormenores de su proyecto hasta el momento cuando está a punto de convertirse en realidad, esto es, el 17 de abril de 1492 cuando acuerda el contrato con los monarcas españoles sobre sus futuras exploraciones y que se conoce como “La capitulación de Santa Fe”. 2.2.1 La vida oculta de Colón Los primeros cuarenta años de la vida de Cristóbal Colón son un enigma; las dudas, las inconsistencias y el vacío conforman el panorama de esta época de la vida del descubridor de América. Ni él ni sus biógrafos logran precisar cómo fue: si coinciden en un dato difieren en varios. Pero hay que dejar algo en claro: si está tan enmarañada esta etapa, es gracias a que él mismo no quiso profundizar en su quehacer durante ella, y cuando expresó algo al respecto, se limitó solo a hacer vagas frases acerca de su pasado remoto. La razón salta a la vista, pues quería dejar en la oscuridad un tiempo en que su vida no participaba de la alcurnia. Se conoce, eso sí, que en su ciudad había una vocación natural por el mar, era un centro de experimentados y arriesgados navegantes que buscaban fortunas embarcándose en las más extrañas expediciones. Al respecto, Toglieta dice (citado por Verne, 1991, 27) “que de veinte aventureros apenas regresaban dos; porque, o morían, o se casaban en otros países, o se quedaban en ellos, por temor a los peligros del mar y a los violentos disturbios que agitaban continuamente la República”. Para decirlo en otra forma, la vocación aventurera de Colón también le vino, sumado a la época en que vivió y a su personalidad, por su ciudad, centro de hombres errantes y colonizadores de nuevos mundos. La vida náutica del Mediterráneo era bastante azarosa y llena de peligros. Las expediciones mercantiles debían hacerse en compañía de una fuerza bélica que las librara de la presencia cotidiana de la piratería, las constantes luchas entre los estados italianos, las flotillas de los nobles, las escuadras de aventureros y los empleados de los Estados enemigos. En tal ambiente se educó Colón y así curtió su personalidad en el manejo de situaciones en altamar, sorteando diversas vicisitudes, [...] rodeado, cual debía estarlo, de los trabajos y humillaciones que rodean al infeliz aventurero en la vida náutica. Las rigurosas y varias lecciones de su juventud, le suministraron aquellos conocimientos prácticos, aquella fecundidad de recursos, aquella indomable resolución, y aquel poderoso imperio sobre sus propias pasiones, que tanto le distinguieron después. (Verne, 1991, 28) Tal parece que las dificultades propias de la vida de un marino raso de la época, el sufrimiento A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 59 que se desprende de ella y la ausencia de un pasado nobiliario son las razones de Colón para que no haya ayudado a clarificar este oscuro episodio de su vida, que riñe con su posterior halo de alta prosapia. Al respecto, Wassermann (1938, 27), quizás uno de los biógrafos más críticos de Colón, analiza su obstinado silencio así: Seguramente vagabundeó mucho, soportó muchos infortunios, batalló duramente por el pan […] Siempre que habla de su pasado lo hace con la intención de crear un mito heroico. Nunca supo quién era; sólo supo quién quería ser […] No es que mienta; no miente; lo ve o cree haberlo visto así; cada suceso, cada aventura de su vida, se convierte en novela; ningún acontecimiento se mantiene dentro de sus límites y medidas; todo se abulta monstruosamente, transformándose en catástrofes y lances extraordinarios. Adivinamos un hombre que se consume, por decirlo así, con el sentimiento de su misión, sin conocer todavía su rumbo ni ver ningún camino. 2.2.2 La incubación y el fracaso Colón llegó a Lisboa por el año de 1470; allí conoció a doña Felipa Moñis de Palestrello, hija del italiano Bartolomé, gobernador de la isla de Puerto Santo, con quien se casaría poco tiempo después. Cuando Colón pisó suelo lisboeta, la colonia genovesa en esta ciudad era grande y bien vista por los nacionales portugueses. Allí fijó su residencia y se dedicó a profundizar en esta tierra de navegantes lo concerniente a las exploraciones marítimas: Conoció las navegaciones de los portugueses, sus planes y sus ideas; y habiéndose naturalizado en Portugal a causa de su casamiento y residencia, iba a veces a las expediciones a la costa de Guinea. Los días que pasaba en tierra los empleaba en dibujar cartas geográficas, que vendía en seguida para sustentar a su pobre familia. Su situación era muy apurada, no obstante se asegurase que, merced a una gran economía, reservaba una parte de sus ganancias para socorrer a su anciano padre, que se hallaba en Génova, y para costear la educación de sus hermanos menores. (Irving, 1942, 36) En Lisboa, Colón ejercitó y contrastó sus conocimientos con la obra Imago Mundi de Pierre D Áilly, cardenal y canciller de la Universidad de París, en la cual el autor describe la Tierra en términos asombrosamente científicos. Colón ejerció como cartógrafo, y para ello era indispensable que estuviera al tanto de cada descubrimiento de la época y que intercambiara conjeturas y nuevos hallazgos con los sabios de su tiempo. En tal sentido cruzó correspondencia con Martín Behaim, el inventor del astrolabio, sobre los adelantos técnicos del momento. También hizo otro tanto con Pablo Toscanelli, sabio florentino que le dio grandes bases para su empresa. El inquieto genovés estaba, por consiguiente, al tanto de los adelantos marítimos vigentes y además se comunicaba con “los científicos” de su tiempo, circunstancias que avivaron la fe en su proyecto, mucho más, cuando habían resurgido las opiniones y fábulas de los antiguos: “se citaba a menudo el cuento de Antilla, grande isla del océano, descubierta por los cartagineses, y encontró nuevos y firmes creyentes la imaginaria Atalante de Platón” (Irving, 1942, 37). Todo esto obró en su beneficio porque el proyecto aun sin ser formulado claramente, ya residía en su mente, era estimulado por sus contemporáneos y estaba a punto de desencadenar. Ha llegado el momento, pues, de analizar uno de los puntos más álgidos de la historia de Colón, acontecimiento sustancial en su vida A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 60 y fuente inagotable de polémica: las ideas que aportó Pablo Toscanelli como inspiradoras de su proyecto. Antes de este encuentro no se conoce que Colón lo hubiese formulado ya, por lo que se debe considerar este hecho como el real germen de la empresa colombina. Al parecer Colón tuvo acceso a una carta en viada por Toscanelli a la corte de Portugal en la que exponía sus razones sobre la conveniencia de navegar a Oriente vía occidente para descubrir la nueva ruta a las Indias Occidentales. Una vez conocida la misiva, Colón entra en comunicación con el sabio florentino. Toscanelli argumenta, entonces, la facilidad del proyecto y le envía un mapa basado en las ideas de Ptolomeo y de Marco Polo, el cual, más tarde, le fue de enorme utilidad al genovés. ¿Pero cuál es la fuente inagotable de polémica en este acontecimiento? Colón jamás reveló por propios medios la comunicación con Toscanelli y solo algunas de las cartas que ambos cruzaron han logrado elucidar la verdad. Una fuerza interior debió de obligarle a pasar en silencio el nombre de este hombre en todas sus cartas y notas posteriores. Nadie debía sospechar que él, sintiéndose mero instrumento de un Ser Superior, se había valido de una ayuda terrena. (Wassermann, 1938, 25) En ese sentido, Colón se planteaba a sí mismo como un instrumento de la divinidad: «Para la ejecución de la empresa de las Indias ni me aprovechó razón, ni matemática, ni mapamundis; llanamente se cumplió lo que dijo Isaías —antes del fin del mundo se cumplirán todas las profecías—; el Evangelio será predicado por toda la Tierra, y la Ciudad Santa será devuelta a la iglesia de Cristo. Dios quiso hacer con mi descubrimiento un gran milagro». (Wassermann, 1938, 25) Aparece ese rasgo de su personalidad que oculta importantes razones a sus semejantes y que lo trata de encumbrar a la categoría de hombre excepcional, o mejor, hombre elegido como un hierofante, hombre llamado por Dios a realizar sus designios. Pero si él estaba convencido de la mano divina en su gesta, ¿por qué ocultar el enorme apoyo de Toscanelli a su proyecto? Colón al parecer, quería toda la gloria para sí. Pero sin censurar a Colón, él comenzaba a actuar como un hijo del nuevo tiempo, un individuo calculador de origen aparentemente celestial habitaba en su mente. Dada su naturaleza profunda, llena de segundos planos, hay que suponer que se afanaba tercamente en ahogar el recuerdo de aquel espíritu superior que le había apoyado, que quizá le había despertado su idea: Lo que pensase el mundo, poco le importaba. El agradecimiento es cuestión de moral personal; el desagradecimiento no nace forzosamente del orgullo y de la villanía, sino que obedece a menudo a la misma ley que hace olvidar al sonámbulo el camino recorrido y el punto de partida. (Wassermann, 1938, 26) Colón conoció la carta de Toscanelli al parecer en 1477 y lo contactó de inmediato. Escribió por su cuenta a Toscanelli, simu- lando no conocer la carta ni el mapamundi que el florentino había remitido al confesor del rey. Toscanelli le respondió muy atento, enviándole un mapa, y acabó sus informes con las siguientes palabras: «estad seguro de ver reinos poderosos, que causará grande alegría al rey y a los príncipes que reinan en esas tierras lejanas abrirles el camino para comunicarse con los cristianos a fin de hacerse instruir en la religión católica y en todas las ciencias que tenemos». (Wassermann, 1938, 26) Después de un aparente y bastante incierto ofrecimiento del proyecto de Colón en Génova, es en Portugal y con el espaldarazo del caballero Toscanelli, que Colón ofrece su proyecto al rey Juan, hijo de Alfonso, sin ningún éxito. A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 61 La suerte de Colón cambiaría radicalmente con su llegada a España, país que terminaría por acoger su proyecto y al que Colón le daría enormes dividendos. 2.2.3 La negociación con la Corona Española Armaba mi teatro entre duques y altezas, financistas, frailes, ricos hombres, clérigos y banqueros, grandes de aquí, grandes de allá, alzaba una cortina de palabras, y al punto aparecía, en deslumbrante desfile, el gran antruejo del Oro, el Diamante, las Perlas, y sobre todo, de las especias. Doña Canela, Doña Moscada, Doña Pimienta y Doña Cardamoma entraban del brazo de Don Zafiro, Don Topacio, Doña Esmeralda y Doña Toda-Plata, seguidos de Doña Jengibre y Don Clavo del Clavero, a compás de un himno color de azafrán y aromas malabares donde resonaban con múltiples armonías, los nombres de Cipango, Catay, las Cólquidas de Oro, y las Indias todas, Indias numerosas, proliferantes, epicenas y especiosas, inde- fi nidas pero adelantadas hacia nosotros, deseosas de tendernos las manos, de acogerse a nuestras leyes, cercanas —más cercanas de lo que creíamos, aunque todavía nos pareciesen lejanas— que ahora podríamos alcanzar por despejada vía, navegando a mano izquierda de los mapas. Alejo Carpentier (1988) Cerca del puerto de Palos de Moguer, en Andalucía, estaba el convento Santa María de la Rábida de los monjes franciscanos, allí llegó Colón en un estado lamentable. Después de tantas penurias y dilaciones, el dinero había desaparecido y el futuro almirante parecía un pordiosero: Llegó un día a las puertas del convento un extranjero a pie, con un niño (su hijo Diego), para quien pidió al portero pan y agua. En tanto recibía este humilde refresco, el guardián del convento, fray Juan Pérez de Marchena, pasó casualmente por allí, notó con admiración la presencia de aquel hombre, entabló conversación con él, y no tardó en enterarse de las particularidades de su vida […] No aparece de donde venía; pero estaba en circunstancias indigentes. (Wassermann, 1938, 73) Este inocuo acontecimiento le iba a cambiar la vida a Colón; allí el destino le iba por fin a ser propicio puesto que fray Pérez, antiguo confesor de la reina Isabel, iba a creer en su proyecto y se convertiría en su más acérrimo defensor. Luego de escucharlo y de contrastar la información que el extranjero le daba con personas sabias de la región, fray Pérez decide darle el espaldarazo a su proyecto y escribe a fray Fernando de Talavera, prior del monasterio del Prado y confesor de la reina, para que le consiga audiencia con los soberanos. Colón se presentó por primera vez ante los monarcas a fines de 1486 como un instrumento del Todopoderoso, ofreciendo riquezas por doquier y argumentando científicamente su proyecto. La primera reacción de los monarcas fue la desconfianza. Un extranjero desconocido por todos, insuflado por las más avezadas teorías de la época y nombrándose así mismo como instrumento del Todopoderoso debía de producir el más absoluto recelo. Sin embargo, Fernando no desechó su propuesta sino que la mandó a estudiar por doctos hombres de la época, encabezados por el prior Fernando Talavera, que en nada había querido ayudar a Colón (a pesar de la carta enviada por fray Pérez) con anterioridad y que rechazaba por descabellado su proyecto. La religión y la ciencia, como ya se ha visto, estaban íntimamente ligadas. Los científicos de la España de la época eran en su mayoría pertenecientes al clero, y como si fuera poco, la Inquisición acababa de establecerse en el reino, razones de sobra para que un proyecto “moderno”, lejano en muchos puntos de la tradición escolástica que aún regía los destinos A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 62 de España, fuera visto con antipatía y fuese rechazado. El proyecto de Colón, perteneciente en sus rasgos a una nueva época, fue objetado con argumentos de la vieja época. Las citas de Lactancio y de San Agustín brotaron en la autoridad evangélica. La de Lactancio es del siguiente tenor: ¿Habrá alguno tan necio, pregunta, que crea que hay antípodas con los pies opuestos a los nuestros (refiriéndose a la redondez de la Tierra); gente que anda con los talones hacia arriba y con la cabeza colgando? ¿Que hay una parte del mundo en que todas las cosas están al revés, donde los árboles crecen con las ramas hacia abajo, y donde llueve, graniza y nieva hacia arriba? La idea de la redondez de la Tierra, añade, fue la causa de inventar esta fábula de los antípodas con los talones por el viento; porque los filósofos que una vez han errado, mantienen sus absurdos, defendiéndolos unos con otros. (Wassermann, 1938, 61) Réplicas medievales para un proyecto moderno, primacía de la religión sobre la ciencia, devoción de fe ante un proyecto empirista. Imágenes de un mundo aún no preparado para los cambios que se avecinaban. Pero Colón no se queda callado y replica con la misma arma (la científica no era por sí sola suficiente en ese momento), la fe medieval: Cuanta majestad y fuerza debieron adquirir sus palabras, cuando arrojando los mapas y olvidándose por un instante de su ciencia geográfica, inflamado su ánimo sublime, al oír las objeciones doctrinarias de sus oponentes, les salió al encuentro con textos de la Escritura, y con aquellas predicciones misteriosas de los profetas, que en su entusiasmo consideraba como anuncios de los grandiosos descubrimientos que proponía. (Irving, 1942, 38) Y en tal dirección se orienta Colón cuando menciona a Isaías: “de los fines de la Tierra oímos cantos [...] quiero edificar un nuevo cielo y una nueva Tierra”. También invoca el libro de Job: ¿De dónde viene la sabiduría y dónde está el lugar de la razón? Escondida está a los ojos de los vivos, y también a las aves bajo el cielo, el abismo y la muerte hablan: con el oído hemos oído su dolor. Dios sabe el camino y conoce el lugar, porque él dio su peso al viento y puso al agua su cierta medida. (Wassermann, 1938, 36) Inclusive Colón, después del descubrimiento, escribió al rey Fernando: “Vine como enviado de la Santa Trinidad para propagar la verdadera fe; porque a estos pueblos alude Dios cuando asegura por boca del profeta Isaías que desde España será pregonado su nombre” (Wassermann, 1938, 36). Y he aquí que las viejas razones le fueron propicias a los nuevos proyectos. Era un asunto de astucia extrema esgrimir argumentos semejantes ante réplicas opuestas. Sin embargo, las razones modernas no se hicieron esperar: En respuesta a las objeciones fundadas en la escritura, dijo, que los inspirados autores a que se referían, no hablaban técnicamente como cosmógrafos, sino figuradamente, y en lenguaje dirigido a todas las comprensiones. La sagacidad de Colón no fue suficiente y el proyecto finalmente fue rechazado. Las condiciones para llevar a cabo el proyecto aún no se habían dado, pero el proyectista logró que lo vieran y reconocieran las personas más influyentes de la corona, consolidando su nombre ante los doctos religiosos. En una dimensión panorámica no importaba la negación del proyecto, importaba que ahora se conocía a Colón, se conocían las bases de su propuesta y se comenzaba a contar con adeptos. Después de la primera negativa de la corona, Colón se mantuvo en Córdoba costeando sus gastos a partir de dibujos de mapas y planos. A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 63 En 1487, Colón se dedicó a recorrer España siguiendo la corte, pero aún no había condiciones propicias para avalar su proyecto, las guerras continuaban por doquier y asuntos urgentes y problemáticos en todo el Estado concentraban la atención de los monarcas e impedían atender al proyectista. En junio de 1488 se produjo una orden de pago a Colón por la suma de tres mil maravedíes; fueron los primeros dividendos del proyecto destinados a apaciguar la espera y como antesala de un futuro probablemente mejor. El tiempo corrió y solo a fines de 1491 Colón recibió una segunda oportunidad, poco antes de la salida de los monarcas para su última campaña en Granada. La junta de Salamanca, como comisión encargada del nuevo estudio, dictaminó su negativa por considerar el proyecto vano e imposible. A pesar de este concepto desfavorable, se empezó a despertar en la corte un cierto grado de simpatía por la iniciativa; se levantaron otras voces (aunque no muchas) a favor de la causa, sobre todo, a partir de una simple reflexión: para la corte el proyecto significaba un costo ínfimo si se comparaba con los probables beneficios. Y en esa dirección apuntaban las esperanzas para un patrocinio, solo que habría que aguardar que se alejara el último reducto de los moros concentrado en Granada. Y esa expulsión estaba a punto de acontecer. Vio Colón consumirse el tiempo, y la vida con él [tenía aproximadamente 55 años], en vanas esperanzas. Le repugnaba la idea de seguir a la corte en todos sus incesantes movimientos. Había recibido una carta del rey de Francia, y resolvió no perder tiempo en presentarse en París. Con esta intención fue al convento de la Rábida a buscar a su hijo mayor, Diego, que estaba todavía bajo el cuidado de su celoso amigo fray Juan Pérez, proponiéndose dejarle con el otro hijo en Córdoba [...] Cuando el digno sacerdote vio llegar a Colón de nuevo a las puertas de su convento, después de casi siete años de pretensiones no pudo menos que llenarse de pesar [...] pero cuando supo que abrigaba el viajero intenciones de abandonar España, y que tan importante empresa iba a perderse para su patria, se excitó poderosamente su ánimo [...] y propúsose escribirle a la reina sobre el particular y pidió a Colón que dilatase su viaje hasta la recepción de la respuesta. (Wassermann, 1938, 41) Al mismo tiempo, en la Rábida, Colón encontró el apoyo del comerciante y dueño de navíos Martín Alonso Pinzón, dispuesto a invertir en la empresa por intermediación de fray Pérez. La carta de fray Pérez llegó próxima a otra que había enviado el duque de Medinaceli a la reina intercediendo por el proyectista. La respuesta de Isabel no se hizo esperar y pidió a fray Pérez su presencia en la corte. La argumentación de Pérez fue al parecer tan contundente que surtió efecto en los monarcas. La reina pidió que hiciesen volver a Colón ante la corte y mandó que se le adelantasen veinte mil maravedíes para que renovase su ropaje y se presentara con dignidad ante ella. Cuando Colón llegó a la corte, presenció la rendición de Granada a las armas españolas. Después de ochocientos años, se alejaba la presencia musulmana, circunstancia definitiva para el apoyo a su proyecto. El momento había llegado y los monarcas cumplirían su promesa destinando una comisión que negociase con él, no sin antes, resolver algunos nuevos tropiezos. 2.2.4 El fin de la negociación y el acuerdo definitivo En las nuevas circunstancias, la reina acepta que fray Talavera entre en tratos con el extranjero: [Pretende que a Colón] se le conceda apenas lo más indispensable; con eso queda el asunto concluido, pudiendo así demostrar si sus promesas son algo más que viento y humo. El extranjero advenedizo adopta un A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 64 tono inaudito. Cuando Colón está en la corte y comienza a hacer sus demandas en caso de llevar a cabo su descubrimiento [...] los cortesanos que trataban (sic) con él se indignaron (sic) al oír tales demandas. Resentíase su orgullo de ver a un hombre a quien habían considerado siempre como un menesteroso y aventurero, aspirar a rango y dignidades superiores a las suyas. (Irving, 1942, 72) Verdaderamente las demandas del proyectista eran descabelladas para la época; pedía lo que nadie sin brillo monárquico había solicitado antes, exigía a los reyes poderes y usufructos que escandalizaban con razón a sus contemporáneos. La reina eligió, entonces, una posición inter- media y le ofreció a Colón altas ventajas aunque más modestas que las planteadas, pero él no aceptó y se rompió la negociación: Colón, sordo a las objeciones, no admitió regateos y opuso un frío silencio a los reproches de sus amigos que trataban de convencerlo de rebajar en sus pretensiones. Para mostrar que no estaba dispuesto a ceder un ápice, comenzó de nuevo a hacer sus preparativos de viaje. (Wassermann, 1938, 42) De este modo, la empresa sufría una nueva frustración y Colón, acongojado y presa de gran desánimo, abandonó la corte en Santa Fe (Granada) y se dirigió a Córdoba con la intención de partir inmediatamente para Francia. Entre tanto, el receptor de las rentas eclesiásticas de Aragón, Luis de Santángel; el camarero del rey, Juan Cabrero; fray Diego de Deza y la marquesa de Moya desarrollaron a favor del genovés una acción decidida en la corte, lo que contribuyó a la consolidación de una nueva y definitiva oportunidad. Ellos argumentaban la probabilidad de recibir demasiados beneficios para tan poco riesgo, que la gloria de Dios y la exaltación de la Iglesia iban a llegar a todo el mundo y, que de no apoyar el proyecto, otros Estados terminarían por arrebatar una fama ya tan próxima. El rey miraba las negociaciones con frialdad. Después del fin de la guerra contra el Islam, las arcas del imperio estaban vacías y la incertidumbre del proyecto no estimulaba su aprobación. Mas en ese momento surgió la figura de la reina Isabel que, en medio del silencio, se posicionó decididamente para patrocinar la iniciativa del genovés: “Yo entro en la empresa por mi corona de Castilla, y empeñaré mis joyas para levantar los fondos necesarios” (Irving, 1942, 74), dijo. En todo esto se evidenciaba la inexperiencia de la corona española en las negociaciones para realizar incursiones marítimas. Era una circunstancia inédita para la monarquía, por lo cual actuaba de manera distinta a su vecina lusitana. En Portugal, es seguro, no le habrían concedido tan altas exigencias al proyectista, puesto que el rey solo otorgaba modestas recompensas a los exploradores. Una vez informado de la buena nueva, Colón llegó a Santa Fe donde fue recibido inme- diatamente por los reyes, quienes aceptaron sus razones y pretensiones. Para reforzar sus argumentos, enfatizó en las bondades evangelizadoras que resultarían de su empresa y citó las Escrituras: [...] «la luz de la revelación resplandecerá por los más lejanos confines de la Tierra». Según las doctrinas de aquel tiempo, todas las naciones que rehusaran confesar la verdad del catolicismo, debían ser presa de un invasor cristiano; y probablemente estimulaban más a Fernando las noticias que Colón le daba acerca de las riquezas de Mangui, Cathay y otras provincias del Gran Khan, que el deseo de conversión de sus semibárbaros habitantes. (Irving, 1942, 75). Y de nuevo brotaron de Colón las promesas: se podría rescatar el Santo Sepulcro de Jerusalén A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 65 con los recursos que aportaría su empresa, en combinación con los innumerables tesoros terrenales que le aportaría a la corona. Culminada la negociación, se concretó el acuer- do a que llegaron Colón y los reyes de España, el cual se conoce como “La Capitulación del 17 de abril de 1492”. A continuación se analizará este documento que es el más valioso para la presente investigación. 2.3 La Capitulación de Santa Fe El documento aceptado por los reyes el 17 de abril de 1492 reza así: Las cosas solicitadas y que Vuestras Altezas dan y otorgan a don Cristóbal Colón en parcial satisfacción por lo que ha descubierto en las Mares Océanos y por lo que descubrirá en el viaje que hará ahora, con la ayuda de Dios, en las mismas mares al servicio de Vuestras Altezas, son las siguientes: Primero, que Vuestras Altezas como señores que son de las dichas Mares Océanos hacen desde ahora al dicho don Cristóbal Colón su Almirante en todas aquellas islas y tierras firmes, que por su mano e industria sean descubiertas o adquiridas en las mencionadas Mares Océanos, durante toda su vida y después de su muerte a sus herederos y sucesores de uno a otro perpetuamente con todas aquellas preeminencias y pre- rrogativas a dicho oficio, al igual que don Alonso Enríquez, vuestro Almirante Mayor de Castilla, y otros predecesores en el mencionado oficio de sus distritos. Place a sus Altezas. Segundo, también hacen Vuestras Altezas al dicho don Cristóbal su Virrey y Gobernador General en todas las islas mencionadas y en todos los continentes e islas que por él sean descubiertas y adquiridas en los mares. Para el gobierno de cada una y cualquiera de ellas, nombrará tres personas para cada oficio y Vuestras Altezas escogerán entre ellos a quien fuere más conveniente para su servicio, de esta forma las tierras que Dios le permitió encontrar y ganar, serán mejor gobernadas para el servicio de Vuestras Altezas. Place a sus Altezas. Tercero, desean que tome para sí un décimo de todas y cada una de las mercancías, fueren estas piedras preciosas, oro, plata, especies y cualquier otro objeto de cualquier clase, nombre o tipo, que fuese comprado, intercambiado, encontrado, adquirido y obtenido dentro de los límites del Almirantazgo que Vuestras Altezas otorgan al dicho don Cristóbal Colón, descontando los costos incurridos, de forma tal que lo que queda claro y libre, pueda disponer de un décimo para sí y haga con ello lo que le plazca, dejando las otras nueve partes para Vuestras Altezas. Place a sus Altezas. Cuarto, si se presentare pleito alguno a causa de las mercancías que traiga de las mencionadas islas y tierras descubiertas o adquiridas a causa de las mercancías intercambiadas con otros mercaderes en aquellos lugares en los que se realice este comercio y si el reconocimiento de dicho pleito a él le pertenece, merced al privilegio que le otorga su cargo de Almirante, place a Vuestras Altezas que él o su teniente, y no otro juez, tomen conocimiento de dicho pleito y lo juzguen desde ahora. Place a Vuestras Altezas, si ello pertenece al cargo de Almirante del mismo modo que a don Alonso de Enríquez y sus otros sucesores en sus distritos y si es justo. Quinto, en todos los navíos que se armaren para dicho comercio, siempre y cuando quiera se armaren, don Cristóbal Colón, si así quisiere, puede contribuir y pagar un octavo de todo lo que se gastare en la armazón y que también reciba y guarde un octavo de las ganancias que resulten de dicha armada. Place a sus Altezas. Son otorgadas y despachadas con las respuestas de Vuestras Altezas al final de cada capítulo, en la ciudad de Santa Fe de la Vega de Granada, a los diez y siete días de abril del año de nuestro señor Jesucristo de A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 66 mil cuatrocientos noventa y dos. Yo, el Rey. Yo, la Reina. Por mandato del Rey y de la Reina. (Nader, 1992, 49) Con estas “Capitulaciones” culmina el recorrido investigativo por la empresa colombina. Sin embargo, y antes de analizar el proyecto a la luz de los pilares de la Modernidad, es necesario revisar algunas otras cuestiones. 2.4 Un cierre necesario Colón persiguió su sueño con la tenacidad de la línea recta. Después de haber formulado su proyecto, no hace más que depurarlo y sostenerlo con férrea voluntad y una obstinación sin límites. En ese marco, la voracidad de un sueño comienza a tomar forma de certeza moderna y una razón calculadora e ilustrada guía las acciones del descubridor de América, circunstancia que se hace más que explícita en el acuerdo al que llega con los monarcas españoles. Al examinar la naturaleza jurídica de “La Capitulación de Santa Fe”, se encuentra una concesión unilateral de los monarcas a la voluntad de Colón. Él escribe cada uno de los capítulos seguidos de la frase “place a sus Altezas”, en otras palabras, me lo han concedido. Para decirlo de una manera contundente, tan larga negociación y tantas penurias terminan cuando los monarcas acceden a la voluntad del proyectista, cuando satisfacen todas sus pretensiones, cuando hay capitulación. El contrato no es, en consecuencia, bilateral ya que la otra parte simplemente acepta. Este acontecimiento es sustancial para analizar la mentalidad colombina, ya que muestra la prioridad de los intereses individualistas en el sueño de Colón, mucho más cuando se concede a “un comerciante al por menor” (Nader, 1992, 392) dignidades casi de monarca. Colón quiere asegurarse el control de su empresa y los dividendos resultantes de esta, antes de hacer realidad su expedición. 3. El proyecto de Cristóbal Colón: Una empresa de la Modernidad Pensando lo que yo era me confundía mi humildad; pero pensando en lo que yo llevaba me sentía igual que dos coronas. Cristóbal Colón. Diario (1985) 3.1 Colón y la Modernidad Ha llegado el momento de analizar el proyecto colombino a la luz de los pilares de la Modernidad y de “leer” su mentalidad con base en la filosofía moderna. Después de la revisión de las obras de los filósofos que constituyen los pilares de la Modernidad, se pueden identificar cinco rasgos que la definen: una clara separación de los actos de fe como hechos incomprobables y de los actos de razón como hechos demostrables; la primacía del racionalismo (y por tanto, de la razón ejercida sobre los hechos demostrables); la edificación de un sujeto de conocimiento; la presencia de un sujeto moral que se autodetermina, y el surgimiento de un individuo liberal que busca su propio beneficio. 3.2 Colón en la Modernidad Cristóbal Colón es un hombre moderno. Si bien se encuentran en él palpitos de la antigua época, su racionalidad y forma de llevar a cabo su proyecto son modernas. Por tal motivo, a continuación se analizarán los cinco rasgos de la Modernidad enunciados, a la luz de la mentalidad del descubridor, no sin antes enfatizar que aunque algunos de ellos están siempre presentes en él, otros solo se vislumbran; no obstante, en su conjunto confirman su racionalidad y subjetividad modernas. En primer lugar, en Colón estaba presente la separación entre la fe y la razón. Como se comentó hace poco, el hecho de que Colón esgrimiera razones religiosas para argumentar metafísicamente su proyecto ante los clérigos que lo criticaban con réplicas medievales, no A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 67 equivale a decir que las explicaciones con que sustentaba su empresa estuvieran fundadas en asuntos de fe. Esto se demuestra con claridad. Aunque acudiese a algunas referencias bíblicas que cubrían con un halo profético su proyecto —“de los fines de la Tierra oímos cantos”, “quiero edificar un nuevo cielo y una nueva Tierra”—, tenía muy claro que este tipo de razonamientos eran de índole distinta a los argumentos racionales. Así lo deja ver Irving (1942, 63) cuando se refiere a los comentarios de los clérigos que se valen de los pasajes de Lactancio o de San Agustín para criticar su proyecto: Los inspirados autores a que se referían, no hablaban técnicamente como cosmógrafos, sino figuradamente, y en lenguaje dirigido a todas las comprensiones. Los comentarios de los Padres los trató con la deferencia que se debe a piadosas homilías; pero no como proposiciones filosóficas que era preciso admitir o negar [...] Demostró a los más distinguidos sabios que aun cuando supusiesen que era imposible la comunicación entre los dos hemisferios [...] él, habiendo estado en San José de la Mina, en Guinea, casi bajo la línea equinoccial, había visto que aquella región no solo era atravesable, sino abundante en gentes, frutos y pastos. De nuevo se ratifica que Colón tenía muy claras las ideas de los modernos como fundamento de su proyecto. Si utilizaba razones religiosas, era porque le daban solidez y lo acercaban a la aprobación de su empresa que en ese momento estaba en manos de sacerdotes con una clara adhesión escolática. Las justificaciones de fe no solo eran necesarias para el éxito de su proyecto, también lo imantaban como una empresa religiosa que le daba realce en la corte. En segundo lugar, Colón también demuestra su racionalismo moderno. Él recoge poco a poco las pruebas que le indican que su idea está fundada en lo correcto y para ello acude en busca de los textos que respaldan sus hipótesis: Aristóteles, Ptolomeo, Plinio, Estrabón, Alfrangano el árabe, Séneca, Marco Polo, Juan de Mandeville, Marino de Tiro y Pierre de Ailly. Del mismo modo, se comunica con Martín Behaim y Pablo Toscanelli para confirmarlas. Además, durante su vida buscó estar al tanto de los adelantos técnicos que se presentaban en la navegación, inclusive diseñó mapas con los nuevos datos. Él conoció el mar, fue un experimentado navegante y había escuchado rumores sobre tierras allende el océano, comentarios que eran corroborados con elementos visibles como juncos, tallas, árboles extraños y cadáveres. Y como si fuera poco, estaba convencido que la Tierra era redonda. La suma de estos elementos le imprimía a su proyecto evidencias claras de que estaba en lo cierto o que, por lo menos, había grandes probabilidades para su iniciativa. Colón no hacía nada porque sí, todo en relación con su empresa era meditado y producto del más fino cálculo. Después de haber esclarecido su proyecto, logró formularlo, y no solo lo argumentó, también predijo lo que iba a encontrar, concentrando todos sus esfuerzos en llevar a cabo su exploración. Si se encuentran en él datos imprecisos es porque la ciencia de su época estaba fundada en diversos errores o porque él presentaba la realidad de la manera que más le convenía para la aprobación de su proyecto, es decir, cuando hay equívoco en su racionalidad es porque no se conocía lo necesario para evitarlo o porque él obstinadamente exhibía los hechos a su mejor conveniencia, rasgo, por lo demás, esencial en el individualismo liberal. En tercer lugar, el rasgo que se presenta menos asentado en la mentalidad de Colón es, paradójicamente, el de sujeto de conocimiento. Si bien él consulta, busca y trata de argumentar su proyecto, la ausencia de un método científico a la manera moderna es notoria. La razón es A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 68 simple: Colón es más un comerciante y un mercader autodidacta en asuntos geográficos y marítimos que un hombre de ciencia. En él prima siempre la motivación económica y el hambre de gloria antes que un real deseo de “investigar” y contrastar las pruebas que va acumulando. Él no investiga, acopia datos; él no contrasta, convalida lo que le conviene y deshecha lo que no le satisface. Si se encuentra algún tipo de estructura racional que permita una división entre las ideas de su proyecto, no es a la manera cartesiana, sino simplemente testimonios religiosos, científicos y económicos. Más allá no hay división. La presencia de la duda metódica no existe porque solo le interesan razones que confirmen sus hipótesis. Jamás concibe la posibilidad de estar equivocado, él no tiene certeza científica sino obstinación de mercader y ambición económica. Sin embargo, las razones de la nueva época son las que sustentan su proyecto, ahí está la paradoja. Se vale solo de las razones modernas que confirmen sus ideas, no hay método ni duda, hay lista de razones propicias. De nuevo, otro rasgo del individualismo liberal. En cuarto lugar, en Colón se encuentra a un sujeto moral que se autodetermina y que es autónomo. “Dios quiso hacer con mi descubrimiento un gran milagro” y “para la ejecución de la Empresa de las Indias no me aprovechó razón, ni matemática, ni mapamundis; llanamente se cumplió lo que dijo Isaías”. Estas sentencias, plenas de sentimiento ardoroso por la obra propia, muestran que cuando Colón se presenta como “instrumento” divino lo hace para realzarse como ejecutor de Dios, es decir, para enfatizar su proximidad con la divinidad. Cómo si le envolviese por completo la concien cia del superhombre. Se empe- que ñece porque se cree inmensamente grande; al considerarse como instrumento de la divinidad, se acerca a Dios más que cualquier otra criatura. Tiene la humildad con puño de hierro, que al manifestarse, rompe todo cuanto le impide transformarse en un yo más alto. (Wassermann, 1938, 48) Pero la presencia de este superhombre no es la única que hace reconocerlo como un sujeto moral. Razones más profanas se escuchan de su voz: “pensando lo que yo era me confundía mi humildad; pero pensando en lo que yo llevaba me sentía igual que dos coronas”. Colón se cubre siempre con un halo majestuoso y de altas dignidades que brotan a partir de la fe en su proyecto: El entusiasmo con que emitía sus pensa- mientos daba elevación a su alma y le rodeaban de cierta grandeza que le hacía parecer superior a los demás. Conferenciaba con los soberanos mientras planteaba que sus proyectos eran regios, altos, sin límites. Los descubrimientos que proponía eran de imperios; las condiciones, de proporcionada magnificencia; y no quiso nunca, ni aun después de largas dilaciones, repetidos desengaños y amargos padecimientos, bajo la opresión de la penuria y la indigencia, rebajar en lo más mínimo, las que se creía entonces extravagantes peticiones, por la mera posibilidad de un descubrimiento. (Irving, 1942, 42) Colón no solo estaba cerca de Dios sino que se comportaba como alguien que poseía dignidad real: si se estaba próximo a Dios se ubicaba al lado de los monarcas. La ausencia de pasado nobiliario no lo hacía empequeñecerse, al contrario, era uno de los motivos que lo llevaban a no ceder en sus exigencias, él sabía lo que tenía entre manos y se comportaba como un sujeto “igual” a los monarcas, se autodeterminaba y exigía lo que a su parecer le correspondía. Colón razonaba sobre lo que quería y lo buscaba denodadamente. Estaba convencido de su voluntad y luchaba por lo que más le convenía. Su racionalismo moral estaba atado a sus pretensiones económicas y por ese A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 69 motivo, cuando se sabía capaz, demandaba que se le pagara el precio. Así, se configura otro rasgo ligado al individuo liberal. Por último, para este trabajo, se considera que el principal rasgo de la Modernidad en la empresa colombina es la presencia del individualismo liberal. Colón utiliza la razón con un cálculo milimétrico para buscar su beneficio personal. No cede en sus pretensiones aunque su proyecto se venga a pique: o todo lo que quiero o nada, parece decirle a los monarcas; si no me pagan lo que vale mi empresa no haré trato con ustedes, parece asegurarles. Un vagabundo, proyectista sin nombre ni cuna, un rondador de cortes en busca de oportunidades, un comerciante al por menor que persigue la gloria inmortal. Colón es un individuo que se sabe libre para pedir lo que desea porque cree firmemente en los beneficios de su empresa. Él oculta todo lo que lo opaque, es su empresa, todo su sueño ha sido edificado exclusivamente por él; ni Toscanelli ni mapamundis ni matemáticas ni sabios lo han ayudado, solo Dios se acerca a su designio. Colón es, pues, fiel exponente de la razón calculadora hobbesiana. Oculta para disfrutar solo del beneficio, miente porque es necesario para realizar lo que quiere. Si busca seguridad para su proyecto al amparo de un gran imperio (hasta donde se puede comprobar solo ofreció su proyecto en las grandes cortes) es porque sabe que solamente los más altos representantes terrenales le asegurarán el beneficio personal resultante de su empresa. El genovés sigue al pie de la letra los postulados de Hobbes en relación con el Leviatán, esto es, buscar un Estado que le garantice la seguridad para ejercer su libertad y hacer lo que quiera en las comarcas descubiertas. Si busca un gran Estado es porque lo ve necesario para garantizar los futuros beneficios personales. Resumiendo: Colón es un moderno porque en él están presentes la separación entre razón y fe, un racionalismo provisto de razones de la nueva época para sustentar su proyecto, un sujeto de conocimiento atado a fines económicos y, por ende, distorsionado en función del propio beneficio, un sujeto moral que se autodetermina y que está en capacidad de negociar tú a tú con cualquiera y un clarísimo individualismo liberal que habrá oportunidad para enfatizar cuando se pase, en la siguiente secuencia, al examen de “La Capitulación”. 3.3 El proyecto de Cristóbal Colón: una empresa Moderna Porque rutinario giro de lenguaje viene a ser el hecho de mencionar sólo catorce veces el nombre del Todopoderoso en una relación general donde las menciones del ORO pasan de doscientas. Alejo Carpentier (1988) (refriéndose a los diarios de Colón) Ha llegado el momento de analizar el proyecto colombino como una empresa de la Modernidad, pero para esto es necesario precisar la noción de empresa que se concibe. 3.3.1 Acerca de la noción de Empresa El capitalismo ha desarrollado la noción de empresa especialmente desde finales del siglo xix. Sin embargo, existen empresas desde el comienzo de la historia que, si bien no responden a la lógica del desarrollo económico capitalista, sí se constituyen en paradigmas de un proyecto racional con fines económicos. Precisamente, por no encontrar imágenes contemporáneas al proyecto colombino que ayuden a comprender a qué tipo de empresa se refiere su impulsor cuando nombra la gesta como “Empresa de las Indias”, se ha debido acudir a algunos sencillos conceptos teóricos de la economía que contribuyan a configurar, fieles A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 70 al espíritu de Colón, una noción de empresa que esté en relación con el proyecto moderno. Las formas especiales de la empresa económica que cada medio ambiente concreto producía —el artesano, el comerciante, el prestamista, etc.— tardaron largo tiempo en reunirse en un concepto general del hombre de negocios. Pero hacia el final del siglo xvii, esta modesta generalización se había logrado casi por completo. Es digno de resaltar, sin embargo, que cuando menos, desde los principios del siglo xv en adelante, los doctores escolásticos, en su economía, tenían una idea muy definida del hombre de negocios y sus funciones, y en particular, distinguían claramente entre la industria específica del mercader y la labor del obrero. Lo mismo se puede decir de los sucesores laicos de los doctores escolásticos, —los filósofos de la ley natural—, y aún más de todos aquellos panfletistas de la edad mercantilista que pusieron los fundamentos de la economía clásica. (Schumpeter, 1949, 21) En otras palabras, la noción de empresa en el ámbito capitalista se halla prefigurada desde finales del siglo xv, o mejor, existe una noción precapitalista de empresa desde el siglo xv. Se considera al francés Cantillón, a finales del siglo xviii, como el primer economista que trató de aclarar la noción de empresa, a partir de lo que es un empresario. Según él, el empresario es una persona que contrata con el gobierno la prestación de un servicio corriendo su parte de riesgo en los beneficios o pérdidas derivados. La incertidumbre del éxito del proyecto y el riesgo del capital invertido, constituyen el eje central de su noción. Knight (1921), en su obra Riesgo, incertidumbre y beneficio, amplía la idea de Cantillon con más precisión; enfatiza en el riesgo que corre el empresario ya que este, conociendo las circunstancias de partida, no puede predecir el resultado final, de allí que su función consista en: [...] concebir un negocio determinado o un plan de inversión, hacer juicios prácticos sobre la probabilidad de éxito en un marco de incertidumbre difícil de reducir, atraer capitales a las actividades escogidas, incluso si los beneficios esperados son inciertos, y asegurar la provisión de otros factores —trabajo—, cuyos servicios deben ser recompensados con independencia de que haya o no beneficios. (Torres y Dávila, 2003, 12) Antes de Knight, Joseph Schumpeter (1912), en su Teoría del desenvolvimiento económico, había considerado al empresario como el gran protagonista del desarrollo económico. Para este autor, el empresario es fundamentalmente un “innovador”; mediante respuestas creadoras, debe ser capaz de poner en marcha nuevas combinaciones de los factores de producción. Además, el empresario debe poseer iniciativa para desarrollar su empresa, y liderazgo para asumir las riendas de esta. Innovación, iniciativa y liderazgo se constituyen en los tres elementos que deben caracterizar al empresario para sacar adelante su organización. Con este breve recorrido por la noción de empresa se busca reconocer los rasgos comunes a la labor del empresario, de tal manera que se pueda confrontar la mentalidad con que fue llevado a cabo el proyecto colombino. Al hacerlo, lo que se observa en este son las características señaladas por Cantillón, Knight y Schumpeter: riesgo en las condiciones exteriores que acompañan su proyecto, incertidumbre en el éxito de su propósito, una buena dosis de innovación en su iniciativa, la construcción de juicios prácticos para la argumentación de su obra, beneficios claros derivados de su empresa, además de una brillante iniciativa y un demostrado liderazgo. 3.3.2 Los rasgos empresariales de Colón Colón firmó un contrato con los monarcas españoles donde se comprometía a prestar un A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 71 servicio a la Corona. Pero, además del riesgo que implicaba hacer incurrir a esta en grandes gastos a cambio de nada o de muy poco, si no encontraba los metales preciosos que tanto prometía, estaba asumiendo su propio riesgo económico, un octavo de la inversión, monto que inicialmente le sería prestado por Martín Alonso Pinzón. Sin lugar a dudas, la incertidumbre en el éxito de su propósito era bastante grande. Después de concebir el negocio, Colón tendría que navegar como pionero el Atlántico desde Europa hasta las Indias Orientales, soportar las inclemencias del océano sin conocer lo que iba a encontrar y desafiar las temidas fábulas de la época acerca de pueblos caníbales allende la mar para, perdido en su misma creencia, terminar descubriendo un nuevo continente cuando pensaba que había llegado al Oriente. Por consiguiente, la buena dosis de innovación de su iniciativa es indiscutible. Colón reta los preceptos escolásticos en medio de la inquisición, está al tanto de la vanguardia geográfica de la época, es el primero en visitar diferentes cortes europeas para ofrecer su empresa, cree firmemente que la Tierra es redonda, cuenta con los más vigentes mapas, equipos y herramientas de la época, y además innova en la forma de relación comercial que plantea a los monarcas, en donde él tiene “la sartén por el mango”; todos estos aspectos comprueban la presencia de dicha característica. Adicional a lo anterior, Colón acude en busca de inversionistas haciendo juicios prácticos fundados en razones modernas sobre la viabilidad de su empresa, hasta lograr atraer el capital necesario para llevarla a cabo y pagar los servicios de las personas que van a trabajar en ella. En este sentido, la visión de Colón fue asociarse con los más grandes, los monarcas, para garantizar de esa forma el cumplimiento a las cláusulas de “La Capitulación”. Colón ve con claridad los beneficios derivados de su empresa en dos niveles, el religioso y el económico. Por tal razón, esgrime la imperiosa necesidad de evangelizar a los pueblos que descubrirá, destinando las utilidades de su empresa para darle gloria a España y para ponerle fin a la amenaza de los moros sobre el santo sepulcro. Ni qué decir frente a los réditos propios que lo configuran como un sujeto moral con un claro individualismo liberal. Colón luchará testarudamente por obtener las ganancias económicas a las que se cree con derecho. Del mismo modo, la iniciativa y el liderazgo del proyecto colombino están fuera de toda duda si, basados en la ciencia moderna, se considera su ubicación en el tiempo. La iniciativa incesante que debió tener por más de dieciocho años, lapso aproximado desde la formulación de la idea hasta su concreción, es buena muestra de cómo nunca desistió de su empeño. El liderazgo que tuvo el proyectista para convertir en realidad su empresa es tan palpable que ni siquiera delegó el control de los más delicados detalles a sus subalternos, siendo él mismo quien comandara la expedición a las Indias Orientales. Por tanto, la empresa de Colón cumple clara- mente con los rasgos esenciales del hombre de empresa planteados por Cantillon, Knight y Schumpeter, y muestra encarnada en el descubridor de América esa propensión por los fines económicos que ya comenzaba a hacer su despliegue con el naciente capitalismo. 3.3.3 La empresa de Colón Hasta este momento se ha tratado de demostrar que Colón posee rasgos de una mentalidad moderna y que su proyecto puede ser considerado como una empresa en consonancia con los valores del sistema económico capitalista, o mejor, precapitalista. Recuérdese que el primer momento del capitalismo es el mercantilismo, incentivado por todo el desarrollo económico que se dio por las colonias allende el océano, conquistadas por los Estados-nación e inau- A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 72 guradas con el descubrimiento de Colón. Por ser un proyecto fundamentalmente mercantil, sin colonias seguras para dominar, el gancho para la venta fueron las riquezas que se encontrarían en las desconocidas tierras. En otras palabras, la motivación de la empresa colombina era fundamentalmente económica y mercantilista (como se verá en análisis de “La Capitulación”) aunque no se hubiese desarrollado el mercantilismo en Europa por no haberse apoderado aún de las colonias en Oceanía, Asia, África y América. La empresa de Colón es, pues, un proyecto mercantil sin colonias conquistadas, de allí que sea vanguardista y paradigmático. Si se privilegiara una lectura económica en la investigación, que no es el caso, muy probablemente se llegaría a concluir que con la empresa colombina y con la expedición de Magallanes cinco años después del primer viaje de Colón, se da inicio al capitalismo moderno. Idea que diversos autores sostienen y que el escritor venezolano Arturo Uslar Pietri (1992) resume diciendo que el capitalismo surgió como consecuencia de la inundación de metales y objetos preciosos en territorio europeo llevados desde las colonias subyugadas. Después de relacionar el proyecto colombino con el surgimiento del capitalismo, ha llegado el momento de enfatizar en las razones que hacen de la iniciativa de Cristóbal Colón una empresa de la Modernidad. Para tal efecto, se hace necesario analizar su plan como paradigma de proyecto moderno, para luego profundizar en “La Capitulación” o contrato de negociación con la corona española. 3.3.4 Una empresa de los modernos En primer lugar, si la racionalidad de Colón posee rasgos modernos, su empresa, como se ha visto, también los tiene. Mucho más cuando en su caso no se puede diferenciar la empresa de la persona; en Colón, su vida íntima está en consonancia con la tarea propuesta. Para decirlo categóricamente, Colón es su empresa. Cristóbal Colón perteneció a la era de las más grandes exploraciones. El hombre del Renacimiento buscaba conocerlo todo, precisar los límites del mundo y de sus cosas, y ponerlos al servicio del bienestar común. Basta recordar que con el Renacimiento se dio inicio a la Edad Moderna y que, si bien, ya se encontraban prefigurados los valores de la Modernidad aún no habían logrado su despliegue y consolidación. Colón era un mercader y en cuanto tal, la mayor motivación para su proyecto eran sus pretensiones económicas, asunto no muy evidente hasta sus peticiones a fray Talavera el mismo año de su expedición. De allí que se combinara una época marcada por la avidez de conocimiento con una empresa de claro lucro personal para el genovés. Su iniciativa no hubiese sido posible sin los datos que los sabios encontraron y sin los objetos técnicos que le sirvieron para adentrarse en el océano una vez perdida la mirada tutelar de la costa. Sin brújula y sin astrolabio, Colón difícilmente hubiera podido hacer realidad su operación, es decir, con los preceptos medievales, su obra hubiese sido imposible, porque no solo retaba numerosas verdades medievales, también chocaba contra los principales valores marítimos de la época anterior. La iniciativa de Colón es moderna porque respondía a un racionalismo moderno y, además, necesitó que diversos acontecimientos se produjeran para poder contar con la aprobación de su proyecto. Así, la empresa colombina fue posible por la combinación de hechos como la caída de Constantinopla a manos de los turcos en 1453, que le dio la estocada a la antigua época e inició la era moderna; la expulsión de los moros de España y el cierre expansivo que tuvo esa corona en Europa y que obligaron a esta a levantar su mirada sobre el A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 73 mundo; la creciente pérdida del poder papal; un individualismo que comenzaba a asentarse extensivamente y del que Colón era fiel exponente, así como las dificultades financieras de las monarquías y de los señores feudales. Cada “nuevo” acontecimiento estimulaba la posible aprobación del proyecto; solamente un adelanto de la expedición de Magallanes podía dar al traste con sus aspiraciones, pues era un competidor en el camino a Oriente; el resto de eventos de la nueva época le eran propicios. Si la racionalidad de Colón es moderna, su empresa lo reafirma. Él se apoyó en los adelantos técnicos, en las opiniones de los sabios de la historia, en las confirmaciones de sus doctos contemporáneos, en las señales de la marinería, en el enorme auge en las exploraciones geográficas que habían comenzado desde el siglo xiii, en los acontecimientos bélicos, en el cierre de las fronteras que llamaban a conquistar el territorio europeo, en las dificultades económicas de los Estados que los obligaron a lanzarse en busca de lo desconocido y, fundamentalmente, en el marcado individualismo económico que fue el núcleo de sus negociaciones con la corona española; por la combinación de esos elementos, se puede aseverar que el proyecto colombino es una empresa de la Modernidad, circunstancia más que explícita en “La Capitulación”. 3.4 Análisis de “La Capitulación de Santa Fe” El acuerdo de Colón con la monarquía española, del 17 de abril de 1492, denominado “Capitulaciones de Santa Fe”, es el documento con el que culminaron las negociaciones sobre el proyecto de las Indias Orientales. Allí se le concedió al primero todo lo pedido sin que él hubiese hecho algún tipo de concesión a los negociadores de la corte; es más, se formalizó un contrato unilateral que Colón redactó capítulo por capítulo, sendos apartes seguidos por la frase “Place a sus Altezas”. Este es el gran testimonio que corrobora la tesis central del presente trabajo. El preámbulo de la Capitulación colombina tiene un elemento muy extraño. Se habla de “lo que ha descubierto en las Mares Océanos y por lo que descubrirá en el viaje que hará ahora”. Colón da por cierto el éxito de su empresa, por eso habla como si ya hubiese descubierto la ruta a las Indias. Manzano (1989, 388), autor experto en el gran genovés y que ha ayudado a entender la Capitulación con su texto Cristóbal Colón: siete años decisivos de su vida, 1485 - 1492, tiene una interesante hipótesis a propósito de la desatinada redacción: Colón, receloso, sospechando que tal vez abierto por él el nuevo camino de las Indias, y revelado su secreto, los monarcas españoles no se muestren dispuestos a concederle unas mercedes que parecen exorbitantes para ser disfrutadas por un extranjero, exige que le sean atribuidas desde el primer momento, a fin de evitar posibles dificultades en el futuro. Ciertamente Colón trata de asegurarse una posición privilegiada desde el mismo preámbulo del contrato redactado por él. Manifiesta con ello, además, que los monarcas intervenían después de su descubrimiento, en una etapa de consolidación de su hallazgo. Una cosa es el optimismo en su empresa y otra la certidumbre de su propósito. Colón, sin cuna nobiliaria y con una mentalidad de mercader, promete “la posesión de la codiciada ruta de las Indias, ruta que libertaría a los cristianos de la servidumbre comercial de los turcos” (Manzano, 1989, 389), ofrece el hallazgo más deseado por los Estados europeos a fines del siglo xv y da como hecho que España se le adelantaría a los experimentados navegantes lusitanos. Tan enorme tesoro exige, con numerosas cláusulas, que le den a quien tanta gloria reportará, lo que se merece. Colón, entonces, como corresponde a su obje - tivo, trata de colocarse en una situación de A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 74 privilegio a lo largo de los capítulos del docu- mento, de tal manera que le permita controlar el negocio de las Indias, como se hace evidente al examinar cada sección. En la primera de estas, el genovés exige el almirantazgo de las Indias puesto que así garantiza el control comercial de ellas y su posesión. De las cinco peticiones del descubridor, en cuatro se encuentran referencias al almirantazgo. Manzano (1989) ratifica que es el cargo que más interesa a Colón, de allí que tome como paradigma al almirante de Castilla, don Alfonso Enríquez, padre del almirante don Fadrique (se hereda el cargo), contemporáneo del negociante con la Corona. Colón creía que serían notorias las actividades mercantiles a las que se enfrentaba, por lo cual, como lo explica Manzano (1989), surge la preeminencia del almirantazgo sobre otros posibles títulos, pues quien ostentara ese cargo controlaba aquellas. No sobra mencionar que el descubridor de América murió sin saber que no había llegado a las Indias, territorio que en las creencias de la época estaba atiborrado de riquezas y era poseedor de las más increíbles especias. Pero ello no obsta para el almirantazgo. El título de almirante está planteado en el documento a perpetuidad para él y sus herederos, con “los mismos honores, derechos y prerrogativas que tuvo en su tiempo don Alfonso Enríquez” (Manzano, 1989, 392). Pero aquí aparece de nuevo una extrañeza: ¿por qué el genovés no busca un modelo “general” de almirantazgo sino que basa sus pretensiones en un modelo “personal”? Cristóbal Colón, al parecer, basa su petición en “el modelo alfonsino” porque después de mucho tiempo en España conoce los privilegios que tuvo y sigue teniendo esta familia. “Toda la preocupación del genovés se centrará en tratar de conseguir para él y los suyos un rango de nobleza, una situación de preeminencia, dignidad y honor análoga a la que disfrutan en Castilla los Enríquez” (Manzano, 1989, 395). La presencia del individuo liberal que busca sacar el mejor provecho para él y su familia emerge de nuevo cuando toma como base para sus peticiones un modelo particular de almirantazgo y no un modelo general. Colón no quiere ser un descubridor más, quiere ser como su modelo, lo ha visto y vivido en su larga estancia en Andalucía y ha comprobado que goza de múltiples beneficios. El futuro almirante sigue colocando sus peticiones en un ámbito individual que por cierto tiene poca presencia de lo divino en “Las Capitulaciones” (solo dos leves menciones de Dios en todo el documento). La concesión del título de almirante otorgaba los siguientes beneficios: La jurisdicción civil y criminal, con el mero y mixto imperio, en el mar, en los puertos y en todos aquellos lugares a donde con la marea llegase el agua salada del mar; la organización y dirección de las armadas y flotas que se aprestasen en su jurisdicción; el derecho de poder cargar en todos los barcos que partieran de los puertos de su almirantazgo la tercera parte de la carga, pagando la parte correspondiente de los fletes; el tercio de todas las ganancias que obtuviese la flota; la totalidad del quinto real, que correspondía a los monarcas de las presas hechas en el mar por los navíos particulares; derechos de salida y anclaje de las naves, por los bateles de éstas, por la saca y entrada de diversas mercaderías, etc. (Manzano, 1989, 397) Colón comienza por lo que más le interesa. De acuerdo con su mentalidad de mercader y su oficio de marinero, sabe que las relaciones con las Indias darán enormes beneficios producto de la actividad mercantil. El título de virrey le interesa menos ya que dicho cargo tiene connotaciones más políticas que comerciales. Sin embargo, en el segundo capítulo, Colón pide que se le sea otorgado el título de virrey y gobernador general de las nuevas tierras A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 75 que descubriese, pero esta vez no acude a un modelo personal. ¿Por qué? La figura de virrey y en menor medida la de gobernador aún no se habían popularizado en el Estado por la ausencia de colonias. Solo en la conquista y en la colonia se desarrollarán realmente estos cargos. Indudablemente, el comercio en tierra le interesaba menos por su marcada preocupación mercantilista, y los cargos de gobernador y de virrey (que no eran hereditarios), eran anexos que completaban su control del negocio de las Indias. El único punto que Colón cuida de concretar en la Capitulación en relación con este segundo oficio suyo, es el referente al nombramiento por él de los funcionarios subalternos [...] regidores, jurados y otros oficiales para la administración de la gente. (Manzano, 1989, 404) Después de controlar las actividades en el mar, se asegura su jurisdicción en tierra con la selección de tres nombres para que sus altezas escojan. Colón no da puntada sin dedal. En el tercer capítulo y en los dos siguientes, se vuelve a revelar su faceta mercantil: En ellas muestra su preocupación por los beneficios que puede reportar su portentoso negocio. El descubrimiento de las inmensas regiones del Oriente asiático, con sus fabulosas riquezas de oro, plata, piedras preciosas, especias, esclavos, etc., van a pro porcionar a la Corona y a él enormes ganancias, cuya distribución hay necesidad de convenir previamente. (Manzano, 1989, 406) Además, solicita y consigue de los soberanos el diezmo de cualquier mercaduría que fuese comprada, intercambiada, encontrada, adquirida y obtenida dentro del límite del almirantazgo. En el cuarto capítulo, se evidencia [...] la ambiciosa aspiración colombina por tener total y directamente en sus manos la navegación y el futuro comercio entre España y las Indias [...] Esta es la única petición que suscita prevención en los Reyes Católicos. Además de la plena jurisdicción civil y criminal en el mar y en los puertos de su almirantazgo de las indias, don Cristóbal pretendía tener en Castilla, es decir, fuera de los límites de su distrito marítimo, un juez, nombrado por él, encargado de sustanciar los pleitos surgidos entre los comerciantes por razón de las mercaderías de las Indias traídas a la Península. (Manzano, 1989, 408) Colón trata de ejercer, pues, un control casi absoluto de su poder mercantil, quiere asegurarse además la ley sobre los tratos comerciales entre las Indias y España. El quinto y último capítulos son una respuesta del proyectista ante las burlas de los cortesanos que lo acusaban de exigir mucho sin ofrecer nada; allí se asegura el ofrecimiento de Colón (gracias al apoyo de la familia Pinzón) de contribuir con la octava parte de los gastos que se necesitaran para la expedición, así como los correspondientes a posteriores viajes si él así lo dispusiese, devengando la octava parte de las ganancias resultantes de tales empresas. Cada capítulo es una sucesión de peticiones desproporcionadas para la época, mucho más si se tiene en cuenta que era alguien sin un pasado nobiliario: Cristóbal Colón, de humilde cuna y con una acusadísima mentalidad de mercader, intenta con tenacidad admirable y consigue, al fin, de los Reyes Católicos un rango de nobleza y una situación de privilegio, a base de la concesión a él por éstos de unas elevadísimas dignidades y honores que, además de igualarle en condición social a una de las primeras familias castellanas, le permitan en el futuro mantener en sus manos el control perfecto de su fabuloso negocio; el cual, según sus meditados cálculos, le habría A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 76 de proporcionar muy saneados beneficios. (Manzano, 1989, 410) El futuro descubridor de América se asegura en la quinta Capitulación más poderes, los que se derivan de su nuevo grado de almirante en los océanos y que goza de un enorme valor simbólico para un hombre de mar: el poder político, bajo la figura de una terna que, seleccionada por él, le da la opción a sus altezas para escoger al virrey y al gobernador; el poder económico, representado en el diez por ciento de todos los objetos encontrados en las nuevas tierras; el poder jurídico, ya que podrá nombrar los jueces en las tierras descubiertas, y el poder naval, que le brinda la posibilidad de ser socio hasta en un octavo de todas las empresas comerciales de las Indias Orientales y de las que se realicen con estas. Ahora bien, después de todo lo analizado en relación con la Modernidad y con la mentalidad del genovés, es evidente que “La Capitulación” es contundente en mostrar la racionalidad moderna y la primacía de un individuo liberal que busca siempre y a cada instante su beneficio personal después de meditados cálculos. Redescubrimiento de América: Amodo de conclusión La racionalidad de Colón es moderna al igual que su empresa, y por esto es posible plantear su proyecto como una empresa de la Modernidad. La iniciativa del genovés es la primera gran operación económica de la Modernidad y es la primera gran obra precapitalista mercantil, con la cual se da inicio al nuevo sistema económico. Una nueva era comienza entonces para Occi- dente. Si se coloca el acento en el ámbito filosófico hay que hablar de Modernidad, si se enfatiza en la dimensión económica el encuentro es con el capitalismo. La racionalidad propicia para el surgimiento del capitalismo es la moderna, de allí que el proyecto de Colón sea paradigmático al inaugurar la era mercantilista en el precapitalismo, al abrirle el mundo de las colonias a Europa y dejar las puertas abiertas para que surjan y se consoliden los Estados- nación. En ese orden de ideas, con el presente trabajo se ha pretendido redescubrir el proyecto colombino a la luz de las razones encontradas para ubicarlo como la primera gran empresa de la Modernidad, la que da inicio al nuevo sistema económico: el capitalismo. Se puede plantear que la empresa de Colón es moderna por la racionalidad con que fue llevada a cabo, una razón calculadora que siempre buscó un beneficio individual. En Colón se encuentra un sujeto que se autodetermina a la manera de un sujeto moral que busca constituirse como individuo liberal. Aunque hay una leve presencia de un sujeto de conocimiento, él usufructúa el conocimiento precedente subordinándolo siempre a sus pretensiones económicas, es decir, es un proyecto de expedición geográfica dependiente de una empresa con marcados intereses personales. El genovés trata de analizar el “estado de las cosas” de su época e intenta apoyarse en razones de diferentes ámbitos, esto es, esgrime argumentos religiosos, científicos y, en especial, económicos. No hay presencia de duda metódica porque a él solo le interesa reafirmarse, es decir, hay una preeminencia del individuo liberal sobre el sujeto de conocimiento. Miente para convencer, se sale con la suya “parándose de la mesa” cuando los monarcas cuestionan algún aspecto de la Capitulación; oculta la ayuda de otros para aparecer solo él, situación que lo coloca en una posición privilegiada para negociar con la corona. Cuando se nombra a sí mismo como instrumento divino, se acerca a la divinidad y se ubica en igualdad con los monarcas (lo que traía entre manos equivale a dos coronas); Colón es capaz de separar los asuntos de fe de los hechos demostrables por la razón. A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 77 Con el hallazgo colombino, España comienza a hacerse un Estado-nación. El futuro almirante busca negociar con grandes Estados, los únicos con autoridad para garantizarle la protección de sus dividendos a la manera del Leviatán de Hobbes, y muestra cómo su proyecto es comercial, mercantilista, antes que científico, porque prima la búsqueda de la rentabilidad. Colón es, pues, un prototipo moderno, que nacido en el Renacimiento buscó, mediante su viaje hacia las Indias Orientales, hacerse rico, calculando cada paso para lograrlo, no sin antes soportar muchas penurias. La empresa colonial y colombina se constituye como una empresa moderna en un sistema precapitalista, o mejor, como la gran acción que da inicio al capitalismo en la Modernidad. En Colón están prefigurados los rasgos de los sucesores modernos que luego darán despliegue al capitalismo y que serán desarrollados bajo la figura del empresario: hombres que arriesgan en un proyecto con diversos visos de incertidumbre y que a partir de la innovación, su iniciativa y liderazgo, logran plantear juicios prácticos y beneficios claros para los socios capitalistas de su empresa, convenciéndolos de apoyar una proyecto quijotesco y temerario. Referencias Arango, I. D. (2002). El enigma del espíritu moderno. Medellín: Universidad de Antioquia. Carpentier, Alejo (1988). El arpa y la sombra. México: Siglo XXI Editores. Colon, C. (1985). Diario. Madrid: Sarpe. Colon, H. (1982). Relaciones y cartas de Cristóbal Colón. Buenos Aires: Losada. ________. (1947). Vida del almirante don Cristóbal Colón. México: FCE. Descartes, R. (1981). El discurso del método. Bogotá: Universal. Flaubert, G. (1993). Madame Bovary. Barcelona: Tusquetts Editores. Hobbes, T. (1995). Leviatán. Madrid: Alianza. Irving, W. (1942). Colón, el descubridor. Buenos Aires: Claridad. Knight, Frank H. (1947). Riesgo, incertidumbre y beneficio. Madrid: Aguilar. Manzano, J. (1989). Cristóbal Colón: siete años decisivos de su vida, 1485 - 1492. Madrid: Cultura Hispánica. Nader, H. (1992). Derechos del descubrimiento. Cali: Carvajal. O´Connor, D. J. (1967). Filosofía de la Edad Media y los orígenes del pensamiento moderno. Buenos Aires: Paidós. Ockham, G. (1994). Suma de lógica. Bogotá: Norma. Reale, G. y D. Antiseri. (1993). Historia del pensamiento filosófico y científico. Barcelona: Herder. Schumpeter, J. (1949). Economic Theory and Entrepreneurial History. En: Research Center A D -M IN IS T E R U n iv e rs id a d E A F IT M e d el lí n N ú m e ro 1 4 en e - j u n 2 0 0 9 78 in Entrepreneurial History (Eds.), Change and the Entrepreneur: Postulates and Patterns for Entrepreneurial History. Cambridge: Harvard University Press. ________. (1976). Teoría del desenvolvimiento económico. México: Fondo de Cultura Económica. Todorov, Z. (1988). El descubrimiento de América: la conquista del otro. Madrid: Alianza. Toro, I. D. (2002). “Dispensa”. Inédito. Medellín, Universidad EAFIT. Torres, E. y C. Dávila. (2003). Empresas y empresarios en la historia de Colombia. Bogotá: Norma. Uslar Pietri, A. (1992). La creación del nuevo mundo: Caracas: Grijalbo. Verne, J. (1991). “Cristóbal Colón”, Historia de los grandes viajes y los grandes viajeros. México: Porrúa. Vignaud, H. (1947). Cristóbal Colón y la leyenda. Buenos Aires; Argos. Wassermann, J. (1938). Cristóbal Colón: el quijote del océano. Buenos Aires: Losada. 
work_zcow3ew5rngopiazufqgh7yuxm	----	Imagining Cannibals: European Encounters with Native Brazilian Women Illinois Wesleyan University From the SelectedWorks of Carole Myscofski Winter November, 2007 Imagining Cannibals: European Encounters with Native Brazilian Women Carole A. Myscofski, Illinois Wesleyan University Available at: https://works.bepress.com/carole-myscofski/2/ http://www.iwu.edu https://works.bepress.com/carole-myscofski/ https://works.bepress.com/carole-myscofski/2/ ç 2007 by The University of Chicago Press. All rights reserved. 0018-2710/2007/470203-0002$10.00 Carole A. Myscofski I M A G I N I N G C A N N I B A L S : E U RO P E A N E N C O U N T E R S W I T H N AT I V E B R A Z I L I A N W O M E N In his “Introduction” to Imagining Religion, Jonathan Z. Smith contends that second-order reflection on religion—imagining religion per se—is a relatively recent human endeavor.1 It is one, of course, that has engaged our group of essayists—indeed, as our life’s work and preoccupation. It is also the issue at stake in this essay: how human behaviors and groups are dis- tinguished and labeled. Smith goes on to warn scholars of religion—writers and readers of this collection of essays, for example—against our fasci- nation with the exotic, noting that our studies might be well served by attention to the “ordinary” in religious life. In support of his admonition, he quotes the Scottish moral and political philosopher Francis Hutcheson, whose literary criticism includes a comment that collides with the very subject of the present essay.2 In An Inquiry into the Original of Beauty and Virtue, Hutcheson decried the “monstrous taste” of those “readers and writers” of early modern travelogues who, rather than enjoying the more salutary evidence of the shared virtues of natural affection and stately honor, instead sated their appetites for the “wondrous barbarity of the 1 Jonathan Z. Smith, Imagining Religion (Chicago: University of Chicago Press, 1982), xi. 2 Ibid., xii. The research at the heart of this essay was supported by a Senior Faculty Research Award from Illinois Wesleyan University during the spring semester of 2002. One Line Short This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). History of Religions 143 Indians” and eagerly repeated the exaggerated accounts of human sacrifice and cannibalism.3 Hutcheson admitted that the “ordinary employment of the . . . Indians” would not excite and horrify the readers as much: “But a human sacrifice, a feast upon enemies’ carcasses, can raise a horror and admiration” for the distant barbarian. This, Hutcheson lamented, in spite of European readers’ familiarity with barbarity much closer to hand; while horrified by the exotic horrors of Indian life, they regarded with something like “religious veneration” similarly perverse violence in “the massacres at Paris, the Irish Rebellion, or the Journals of the Inquisition.”4 As I turn here to consider the unnatural nature attributed to the Brazilian cannibals, the question lingers: who, then, is surpassing in barbarity—the consumers of human flesh or the voyeurs who are consumers of the tales of anthropophagi? What Hutcheson condemned in 1728 was not the first emergence of the appetite for the exotic in travel tales. Indeed, the retelling of tales of cannibalism was the last of several steps in the creation of “otherness” in the people of the Americas. The recognition of that “otherness” was late in forming and represented a more radical view of difference than that adjudged for the “proximate other” or near neighbors. In either case, as Smith argues in “What a Difference a Difference Makes,” the noting and marking of “difference” is “above all . . . a political matter,” entailing “a hierarchy of prestige and the concomitant ranking of superordinate and subordinate.”5 Scrutinizing the discourse about the “new” world, Smith points out that fifteenth-century encounters with the Americas and Americans did not result in the immediate transformation of European sensibilities, simply because the place and its peoples were not first categorized as truly “other.” Instead, Christopher Columbus and other Europeans attempted to “assimilate” the continents and inhabitants to the biblical cosmology and “classical cosmography” dominant in late medieval and early modern Europe and to extend the established “orbis mundi” to accommodate dissimilar flora and fauna.6 But while Columbus and sixteenth-century writers such as Peter Martyr and José da Costa failed at first to imagine the otherness of the Americas, they soon began to label otherness in its inhabitants. Portuguese literature, in particular, failed to perceive the “multifaceted and polymorphic reality” of Brazilian Indians 3 Frances Hutcheson, An Inquiry into the Original of Our Ideas of Beauty and Virtue (London: D. Medwinter, 1738; repr., Westmead, England: Gregg International, 1969), 206–7. 4 Ibid., 207. 5 Jonathan Z. Smith, “What a Difference a Difference Makes,” in his Relating Religion: Essays in the Study of Religion (Chicago: University of Chicago Press, 2004), 252–53. 6 Ibid., 263, 270. This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). Imagining Cannibals144 and resorted, because of the “linguistic impotence of the colonizer,” to simple terms for them, such as “ ‘savages’ or ‘nations.’ ”7 The naming and categorizing of the peoples of the Americas was, I would argue, central to the conceptualizing of “otherness” in America: it began when Columbus named the indigenous peoples “Indians” and deepened as sixteenth-century Roman Catholic authorities in the colonies distinguished their newly discovered realms. At first the emphases re- mained on likenesses, with useful differences noted; only the often- repeated claim that indigenous Brazilian alphabets lacked the letters f, l, and r indicated that the peoples—lacking “fé, lei e rei,” or faith, law, and king—might be cultural blank slates on which new identities might be inscribed. Later, however, church and state alike articulated their problems with the unfamiliar, with “cannibals,” and especially with “cannibal women.” Then the beings who might have been “like us” become “other”; their stories serve not just to titillate the European readers but also to justify violence against them by the colonial powers in the New World and criticisms of them in the Old. My recent studies on colonial Brazil have taken me to discussions of savages and barbarians—in particular, the gustatory preferences of the most alien of creatures that we or the sixteenth-century Portuguese and Spanish might imagine: the cannibal women of Brazil. In the earliest records of the colonial encounters between Europeans and native Brazilians are found the bases for the relationship that was to be fostered between them in the New World. As the scribes, ship captains, mercenaries, and missionaries wrote, they failed to perceive and describe the exotic in front of them and instead returned to the imagined exotics of Europe: they selected motifs from the European imaginary to fix and manipulate the alterity of America and its inhabitants. Authors and artists alike relied on the well-known conventions of the “wild man,” witch, Amazon, and cannibal to convey the differences they discovered in—or constructed about—the New World. In those Spanish and Portuguese views, people of the New World were portrayed first as possessed of odd and discordant habits and customs but nonetheless compliant and ultimately malleable to the imperial will. As the land and its people presented more resistance to the Portuguese and Spanish missionaries and military leaders, the unfamiliar nature of native Brazilians was represented in increasingly violent terms: Brazilian men suddenly bristled with spears and arrows, and Brazilian women became Amazons, witches, and anthropophagi. In 7 Roberto Reis, “Authoritarianism in Brazilian Colonial Discourse,” trans. José Mauro Zonis, in American Images and the Legacy of Columbus, ed. René Jara and Nicholas Spadaccini (Minneapolis: University of Minnesota Press, 1992), 454. This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). History of Religions 145 this essay, I will focus on the violent imagery used in the portrayal of native Brazilian women; I contend that they are symbolic of Portuguese and Spanish attitudes toward the new land and offer a new look at the role of religious writing in the justification of violence in the colonial setting. In my conclusion, I will reflect further on the uses of cannibals as “others” in the essays of later European writers. colonial encounters The Portuguese and Spanish accounts of the natives of Brazil reflected less their surprise at their outlandish discoveries and more their expectations about alien populations. Their representations of savages and barbarians in America drew on centuries of Western thought concerning the nature of humankind, the dichotomy between civilization and the wilderness, and the perceived differences—from the perspective of Christian theologians— between the saved and the damned.8 These perceptions of non-Europeans served to justify the colonizers’ views of and interactions with the native Brazilians. The Portuguese, it must be noted, simply assumed their own superiority, which “smoothed out the conquest, colonization, and cate- chesis. The natives did not know Christianity, much less gold and the idea of work such as the colonists conceived it. Therefore, they were considered degenerate, fallen, and in need of European intervention to take the bearings of better life, a life ruled by the same principles and values” inculcated by the Catholic Church.9 In their depictions of Brazilian Indian women, Europeans utilized a relatively small cluster of motifs to represent what they perceived. These may be summarized in two central, almost paradigmatic, images found in the colonial records. The first is of the innocent maiden, a naive, naked, and vulnerable woman, whose nudity is open to the penetrating eye of the European male. She is the passive follower, the willing slave, and the con- querable virgin land. The second is the resistant woman warrior; she is the savage cannibal, the unknowable other, and the unyielding wilderness. Each image carries a distinctive insight from the writer or artist, and the 8 See, e.g., Fredi Chiapelli, ed., First Images of America: The Impact of the New World on the Old, 2 vols. (Berkeley: University of California Press, 1976); Tzvetan Todorov, The Conquest of America: The Question of the Other, trans. Richard Howard (New York: Harper & Row, 1984); Bernadette Bucher, Icon and Conquest: A Structural Analysis of the Illustra- tions of de Bry’s Great Voyages, trans. Basia Miller Gulati (Chicago: University of Chicago Press, 1981); Peter Mason, Deconstructing America: Representations of the Other (New York: Routledge, 1990); Ronald Raminelli, Imagens da colonização: A representação do índio de Caminha a Vieira (Rio de Janeiro: Jorge Zahar Editora, 1996); and Roger Bartra, Wild Men in the Looking Glass: The Mythic Origins of European Otherness, trans. Carl T. Berrisford (Ann Arbor: University of Michigan Press, 1994). 9 Raminelli, Imagens, 13 (my translation here and elsewhere unless noted). This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). Imagining Cannibals146 change from the first to the second, that is, the addition of increasingly violent images of women, marks a dramatically changed attitude toward the New World. The first set of images emerged in the earliest reports about Brazilian Indians in general, and Brazilian Indian women in particular, portraying them as pagan innocents living in a lost paradise. Pero Vaz de Caminha’s first letter from Brazil in 1500 emphasized the ease expected in the con- version from savage to saved, but his detailed descriptions distinguished between the men and women. While he and his companions were wary of the men, noting their weapons, rapid travel, and knowledge of the coast, they gawked at the naked women, portraying them—like the land— as sensuous, accessible, and acquiescent. Later missionary writers con- curred with Caminha in his assessment of Brazilian women, emphasizing their nudity and innocence, and hence their availability for whatever life and role the church and empire might select. The compliant women, once Christian and covered, would be suitable wives for male converts or servants for Portuguese immigrant men; their role in the early colony was integrated into the colonization process—seen then as easy domination of the people and the land. The Brazilian Indians did not, however, all become devout Christian servants, and Brazilian Indian women clung to their most degenerate customs. After 1550, then, a second set of images emerged alongside that of the compliant maiden and began to replace it. More frequent in the letters and texts was the dangerous, armed woman who challenged the colonial intrusion into Brazil. An elusive and unsettling figure, she was both the Amazon, that ungoverned warrior who lived without men—or ruled over them—and the cannibal, a vile savage who relished human flesh. In either guise, the Brazilian Indian women became the “other” for the writers and artists and represented the alien nature of the Americas that so unsettled the European Christian cosmos. Each of these images may be understood within Smith’s proposed “three basic models of the ‘other.’ ”10 Amazons may be understood as part of the second model, the “other” “represented topographically,” that is, away from the center where heroes, royalty, and royal institutions hold sway. Situated in opposition to the center of cultural values, peripheral creatures like the ancient Amazons and these more recently imagined phantoms are monstrous apart from civilizing forces; they are the “forest dweller[s]” and “savage[s]” “prowling the margins” of both ancient European and Brazilian colonial realms.11 The more vicious and frightening cannibals 10 Smith, “Differential Equations: On Constructing the Other,” in Relating Religion, 231. 11 Ibid., 237. The remaining model for distinguishing the “other” is the linguistic, which may be seen in the above-mentioned Portuguese maxim widely circulated during the first colonial century claiming that the indigenous alphabet lacked certain letters. One Line Long This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). History of Religions 147 were the “other” “represented metonymically,” that is, where the other has or lacks “one or more cultural traits.”12 Much like the Sumerians, who “distinguish[ed] themselves from the Amorites because the latter ‘do not know barley,’ . . . [and] eat ‘uncooked meat,’ ” European missionaries and writers rhetorically isolated certain indigenous communities—the Caribs in the Caribbean and the Tupí or Tupiniquin—as those who might be char- acterized by their alien diet.13 As part of the final alienation, however, it is cannibal women whose culinary abominations justified the seizure of lands and enslavement of peoples. amazons in the . . . amazon The creation of the image of the Brazilian Amazon drew on the persistent Western mythology of those noble and ignoble warrior women. For medieval Europeans, Amazons represented the wholly other—unnatural women, female warriors, and human but with the wrong attitudes and attributes.14 While the origins of the myth of the Amazons lay in ancient Europe, the immediate source was the 1541 report by the Dominican brother Gaspar de Carvajal, who accompanied Captain Francisco de Orellana on his first journey—of exploration and raids—down the then- named Marañon River (shortly to be renamed the Amazon River). Carvajal reported their early encounters with several great villages, one of which was subject to the inland “Amazons.”15 Carvajal described his imagined Amazons—with cues from European romance literature—as fierce fighters who were “very white and tall” with long hair “braided and wound about the head.”16 Later interrogations of a captive revealed more details of hidden lives of the Amazons—that they lived unmarried, in stone houses, holding men captive for their pleasure only until they were pregnant.17 After giving birth, they then abandoned their male babies but raised their girls to be great warriors.18 In Portuguese Brazilian territory, the Jesuits also reported on the Amazons. Manuel da Nóbrega relayed a secondhand tale of fierce “warrior women” living deep in the interior. There, too, the Amazons— remarkably like their Greek predecessors—captured valiant men “and conceived by them. And if they give birth to a son, they gave him to his father or killed him, and if a daughter, they raised her. Because of their [warfare with] bows, they cut off their right breasts. And from among 12 Ibid., 231. 13 Ibid., 232. 14 Bartra, Wild Men in the Looking Glass, 83. 15 Gaspar de Carvajal, “Discovery of the Orellana River,” in The Discovery of the Amazon, ed. José Toribio Medina and H. C. Heaton, trans. Bertram T. Lee (New York: American Geo- graphical Society, 1934; repr., New York: Dover, 1988), 204. 16 Ibid. 17 Ibid., 220. 18 Ibid., 220–21. This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). Imagining Cannibals148 these Amazons came the news of gold.”19 Jesuit historian Simão de Vasconcelos listed Amazons among the marvels and monstrosities of Brazil in 1563, placing them in northern Brazil just past the lands of dwarves and giants.20 That “nation of [warrior] women monstrous in their way of life,” he explained, dwell “alone with themselves and do not traffic with men: they inhabit great villages in an interior province, cultivating the land, and sustaining themselves through their own work.” He added that they meet yearly with a neighboring community of men and raise only the females of their brief cohabitation, killing or exiling the infant boys.21 For the later authors as for Carvajal, these “women without fear and without husbands” represented not only classical challenges to the male and European conquest of that territory but also the hidden riches and perils of the barely accessible inland territory of Brazil.22 The excursions against the Amazons led fighters and adventurers deeper into the coastal rain forest, to battle against an irrational society and its unnatural (if alluring) inhabitants; their efforts were spurred by the challenge of battle against vicious and pagan forces—and by the promise of fabled treasures. While the discourse creating the warrior woman crystallized the dangers of advancing the social structures and relations of the European empires, the parallel discourse on cannibal women relayed the deep personal fears of the would-be conquerors. The Amazons were dangerous figures but remote from both coastal settlements and inland explorations. Much closer and more deadly, however, were the cannibal women of the Tupí or Tapuia tribes. The women in those nearby communities posed a different and more menacing threat—for they not only killed men, they ate them. imagining cannibals Although the first Portuguese record of Brazil reported no cannibals on the lands that Pero Álvares Cabral claimed, the expectation of cannibals had already been firmly established for the Americas. Columbus himself reported that he had been told by their enemies that the neighboring islands were inhabited by ferocious, dog-headed, one-eyed, and anthropophagous fighters. Although Columbus never witnessed the consumption of human flesh and never met the Caribs whose name he so misunderstood and behaviors so misrepresented, he, like so many travel writers after him, based the truth of his representations on well-known accounts such as 19 Serafim Leite, Cartas dos primeiros jesuítas do Brasil (São Paulo: Commissão do IV Centenário da Cidade de São Paulo, 1956), 1:167–68. 20 Simão de Vasconcelos, “Notícias antecedentes, curiosas e necessárias dos cousas do Brasil,” in his Crônica da Companhia de Jesus, ed. Serafim Leite (Petrópolis: Editora Vozes, 1977), 1:49–166. 21 Ibid., 1:64–65. 22 Schuma Schumaker and Érico Vital Brazil, eds., Dicionário Mulheres do Brasil de 1500 até a atualidade: Biográphico e ilustrado (Rio de Janeiro: Jorge Zahar Editor, 2000), 43. One Line Long This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). History of Religions 149 Isidore of Seville’s seventh-century catalogs of “human monstrosities” in India and John Mandeville’s fictitious medieval sagas of monstrous beings.23 In his 1511 Decades, Martyr disseminated the cannibal lore further, expanding the threat of fierce neighbors to a sort of human husbandry, explaining that the “natives of Hispaniola . . . complained that they were exposed to frequent attacks from the cannibals who . . . pursued them through the forests like hunters chasing wild beasts. The cannibals captured children, whom they castrated, just as we do chickens and pigs we wish to fatten for the table, and when they were grown and become fat they ate them. Older persons . . . were killed and cut into pieces for food; they also ate the intestines and the extremities, which they salted, just as we do hams. They did not eat women, as this would be considered a crime and an infamy.”24 Strong fighters, the “cannibals” could easily capture ten times their number in battle, and the exploring Spanish found remnants of cannibal feasts in deserted villages on other islands.25 Like Columbus, Amerigo Vespucci in his own travelogues referred to an island of cannibals “based on information gathered from the neighbours of these alleged anthropophagi.”26 These varied reports echoed one of the key motifs of the European mythology of the wild man: that this alien creature ate the inedible, including rotting food, offal, excrement, raw meat, and human flesh. That intemperance appeared in other aspects of the appetites of the wild man, as well as in the related European stereotypes of witches; for both, the uncontrolled appetites led to the other cardinal sins of gluttony, malice, anger, and lust. Such new details in Spanish and Portuguese writings reflected their sense of the increasingly alien nature of the inhabitants of those increasingly alien lands; the changing European perspectives may be seen in other descriptive elements, so that customs considered naive or innocent, such as nudity, hospitality, and communalism, were soon char- acterized as persistent vices of luxury and indolence. Maria Cândida Ferreira de Almeida has argued that cannibalism created the primary image of indigenous Brazilian culture: from the first moment of discovery, Brazilians were identified as cannibals. Indeed, cannibalism 23 Ernest Brehaut, An Encyclopedist of the Dark Ages: Isidore of Seville (New York: Franklin, 1912), 219; see also Smith, “What a Difference,” 265, 292 n. 107; Kirkpatrick Sale, The Conquest of Paradise: Christopher Columbus and the Columbian Legacy (New York: Plume/Penguin, 1991), 133–34. 24 Peter Martyr D’Anghera, De Orbe Novo, trans. Francis Augustus MacNutt (New York: Franklin, 1970), 163. It is worth noting that the preservation and cooking methods reported were certainly European and not used by Taino or island Caribs for meat and fish preparation. 25 Ibid., 63, 72. Martyr also entangles two legends, recounting the Spanish report that the cannibal men occasionally cohabited with Amazon women and fathered their children (ibid., 73). 26 Mason, Deconstructing America, 54. This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). Imagining Cannibals150 was used from the earliest colonial moment to “define, qualify, name, and classify” the Brazilians who were otherwise unknown to Europeans.27 The discoverers and explorers in Brazil “privileged” the rituals of canni- balism, using them to define the indigenous populations there, and the accompanying iconography of barbarous cannibal women underscored and justified the identification of them as “other.” For the earliest European writers, as for later anthropologists, cannibalism was a “mark of bar- barism,” interpreted and defined solely from the “strangers’ point of view.”28 Columbus himself, in his first voyage to the Americas, rejected the ascription of anthropophagy to that nearby tribe, considering the practice too barbarous; he both accepted it and named it, however, in his creation of the term “cannibal” for the dog-headed Caribs who ate other humans—imagining a new term for a New World. One of the primary sources for the imagery of cannibal women in Brazil was the narrative of Hans Staden, a German artillery expert working for the Portuguese near present-day São Paulo.29 He was captured in 1552 by a Tupí raiding party whose custom it was, according to Staden, to retain enemy prisoners for ritual cannibalism. Captives were kept for up to a year, sometimes allowed to marry, but they—and sometimes their offspring— were purportedly slaughtered and eaten to mark the vengeful power of the village against their foes. Staden wrote that, after his quick transfer to the interior village of Ubatuba after his capture, he was given to women who then danced around him with a song usually chanted to those about to be killed. Later, women again danced and sang in a ceremonial before the “hut where they keep their idols, their maracás,” and dragged him into the plaza to shave his beard and eyebrows in preparation for death.30 The main section of his narrative emphasized male dominance in war and ritual sacrifice and only briefly mentioned women’s presence in food and drink preparations and their customary dress and care for children. Another portion of Staden’s text, however, included a macabre detailing of the torture, ritual death, and consumption of prisoners in which women played more prominent roles. According to Staden, the Tupiniquin women prepared the victim, began the procession to the sacrificial space, and, after the sacrifice, not only arranged the body for butchery but also paraded 27 Maria Cândida Ferreira de Almeida, Tornar-se outro: O “topos” canibal na literatura brasileira (São Paulo: Annablume, 2002), 18, 19. This identification came full circle in the twentieth century, when Oswaldo Andrade embraced the epithet and its essential “Otherness” for modern Brazilians in his prose poem, “Anthropofagia.” 28 Ibid., 21. 29 John Hemming, Red Gold: The Conquest of the Brazilian Indians (Cambridge, MA: Harvard University Press, 1978), 31–34. 30 Hans Staden, Duas viagens ao Brasil, trans. Giomar de Carvalho Franco, Reconquista do Brasil, vol. 17 (São Paulo: Editora da Universidade de São Paulo, 1974), 89, 91, 95. One Line Long This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). History of Religions 151 victoriously through the village with the arms and legs before roasting them.31 Women only consumed the entrails and sometimes bits of the brain and tongue in a stew also served to children.32 Although most modern historians take Staden’s account as an authentic report of his experiences, his emphasis on the central ritual role for women conflicts with other accounts of the Tupinambá—and is sometimes internally inconsistent. It bears a strong resemblance, however, to the mythology of European witches’ secret rituals, to an anonymous account written about Brazil in 1587, and to the burgeoning literature—from Vespucci to André Thevet— sensationalizing the savagery of Brazilindians. Staden’s 1557 publication of his narrative was accompanied by a set of vivid woodcuts, whose design he apparently directed, featuring the dancing and feasting of the cannibal women. Later editions were accom- panied by even more fanciful engravings created by Theodor de Bry, who added novel and gruesome details to what was eventually seen as the women’s cannibal feast. De Bry altered the images significantly, embellishing and exaggerating the women’s gestures and activities beyond the written account and suggesting both the barbarous despair of the cannibal women and the furtive and perverse sexuality associated with their perverse meal.33 In the Jesuit writings of that same era, the existence of cannibalism symbolized the degeneracy of the fallen people of the Americas. When the Jesuits undertook their conversion to Christianity, the most obstinate savages were, of course, cannibal women. Manuel da Nóbrega, who rarely wrote about Brazilian Indian women, included them in his 1549 portrayal of the “most abominable custom among those people.”34 He reported that when prisoners of wars were paired with young women, any offspring of that union were not spared and even the mothers might share in the feast because of their belief that mothers were not physically linked to their own children. And when, among baptized Indians who had forsworn their previous practices, one woman was found still eating human flesh, her husband beat her fiercely, to the approval of the attending missionaries.35 The Jesuit Antonio Rodrigues exemplified the Jesuit perspective in his 1551 letter to his colleagues in Coimbra, Portugal; he offered only glimpses of the tribes he had visited, but in each account he presented the question of cannibalism as a classificatory paradigm. He reported that, in his first days of travel, he and his companions “found those heathens called the Timbos, who are many. They do not eat human flesh.” Nearby were 31 Ibid., 177–88. 32 Ibid., 183–84. 33 Almeida, Tornar-se outro, 135–37. 34 Manuel da Nóbrega, Cartas do Brasil e mais escritos, ed. Serafim Leite (Coimbra: Uni- versidade da Coimbra, 1955), 48. 35 Ibid., 63. This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). Imagining Cannibals152 “the Mereatas, who brought to our ships fish cured in the sun, and much sustenance, for this is how they sustain themselves. They are a people who do not eat human flesh.”36 Of the Carijós, he warned that they were cruel and “ate human flesh,” but the Paris and Cameri, who were great agricultural workers and “docile to receive the faith of Christ,” were gen- erous and “did not eat human flesh.”37 In other Jesuit records, it became clear that while the men of the “cruel” tribes initiated war and cannibalistic rites, women were the more greedy and bloodthirsty participants. By 1573, the Jesuit chronicler Vasconcelos had concluded that while God had bestowed many natural gifts to the land of Brazil, the people themselves “were wild, savage, rustic, and inhuman: they lived according to . . . nature, [and] in them the light of reason was so dim.”38 Their brutish- ness was evident in their vengeful attacks against their enemies, which ended in cruel death and the eating of the corpse following dances by a coven of naked “old women who collected and drank the blood of their victims.”39 Vasconcelos also recounted the partial success of one mis- sionary, who converted a “very old Indian woman, at the end of her life.” Frail and barely eating, she resisted food until the padre offered her a bit of sugar; she then begged for a morsel of human flesh to sustain her.40 The stereotypes of ferocity and cannibalism were well adapted to the colonial interests of war and conquest, but the invention of the cannibal women was more—it was an extension of the European habit of misogyny. In Staden’s tale, the Jesuit records, and the later engravings illustrating both, the images of cannibal women, particularly as ancient hags craving human flesh, not only represented “the strangeness of the New World” but also portrayed the inhabitants as inhuman monsters.41 We can glean from these accounts of the “presence and enthusiastic participation of women in cannibal ritual” the narrators’ growing disgust with the Brazilian world.42 By the end of the sixteenth century, the Jesuits had written themselves into a new epic drama, and their heroic struggles with the Amazons and cannibals were part of a great battle against a demonic empire in Brazil.43 At the same time, the Portuguese colonists began to reconceive their colonial enterprise, rationalizing both the use of 36 Serafim Leite, Páginas de história do Brasil, Biblioteca Pedagogica Brasileira, Bra- siliana, vol. 93 (São Paulo: Companhia Editora Nacional, 1937), 125, 127. 37 Ibid., 127, 129. 38 Vasconcelos, Crônica, 1:96–97. 39 Ibid., 1:102. 40 Ibid., 1:199–200. 41 Raminelli, Imagens, 98. 42 Neal L. Whitehead, “Hans Staden and the Cultural Politics of Cannibalism,” Hispanic American Historical Review 80, no. 4 (2000): 739. 43 Raminelli, Imagens, 23–25. This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). http://www.journals.uchicago.edu/action/showLinks?crossref=10.1215%2F00182168-80-4-721 http://www.journals.uchicago.edu/action/showLinks?crossref=10.1215%2F00182168-80-4-721 History of Religions 153 “just war” to gather and enslave prisoners and the capture and relocation of Brazilians in order to convert and civilize them. The strategies for the “integration” of native Brazilians into the Portuguese colonial empire were rooted in the dominant mercantilist economy and “primitive” capitalism of early modern Portugal.44 The Portuguese colonists generally viewed Indians as a readily available workforce and developed elaborate systems for indentured servitude, based in two distinct rationales. The first was that enemies in a just war might be enslaved, and so any Indians resisting the necessary conquest and con- version offered by Catholic Portugal could be captured and sold as slaves for extraction, domestic, or agricultural work. The second rationale depended on a similar viewpoint—that native Brazilians were in des- perate need of the conversion and civilization offered by the Portuguese. On this analysis, the colonial enslavers captured the Indians and then released them to the custody of individual Portuguese colonists. The Brazilindians were then designated the “wards” of the colonists, to be managed and educated. Most Portuguese, while making full use of the dis- course of protection for their “wards,” nonetheless treated them as slaves, counted their monetary value for tax credits, and passed them to their heirs as part of their personal property. In this setting, tribal anthropophagy was actually encouraged by some colonists, who incited intertribal warfare not only to reduce the indigenous population but also to “rescue” and enslave both the captives held by enemy tribes for ritualistic cannibalism and their anthropophagous captors. These rationales relied heavily on religious justifications, based in the writings of missionaries and other colonists who created, from their ex- periences in the New World and the motifs of the Old, a most astonishing portrait of Brazilian Indian women. The perversity of the Brazilian Indian women—whether as Amazon or cannibal—served to justify the full range of oppression and dispossession of the indigenous peoples during conquest of Brazil by the Portuguese: the seizure of lands by farmers, herders, and colonial officials; the enslavement and indoctrination of coastal inhabitants under Jesuit tutelage; and, ultimately, their deaths at the hands of the im- perial government—all these might serve the ends of eliminating canni- balism and the cannibals. conclusion As the writers told their tales, then, they imagined not just the exotic but what they considered the extremities of human behavior in barbarity. But their sources are dubious at best: as I noted earlier, even Staden’s recital is suspect. The others were (to return to Hutcheson) reciting 44 Ibid., 13–15. This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). Imagining Cannibals154 “entertainment” that was quite familiar to the European reader already, from “common stories” of the deviant appetites of wild men and of witches’ feasts; there was, in fact, “no need to travel to the Indies” to imagine what they thought they found there.45 Subsequent authors of travelogues, commentaries, and essays used the Brazilian cannibals and their bestial appetites to signify a paradoxical range of qualities and characteristics, to a variety of ends. In them, the imagery of cannibal women is increasingly distorted but then eventually disappears. French authors in particular—with fewer colonial claims, it must be noted—reexamined the discourse about cannibals in Brazil and offered more complex if not contradictory interpretations. The mid- sixteenth-century French traveler André Thevet, for example, drew sharp geographic and cultural distinctions between the vengeful but still “valorous” Brazilian warriors who merely ate the bodies of their slain enemies and the cannibals who killed for pleasure and enjoyed the consumption of human flesh. While his descriptions do not include the horrors of cannibal women, he notes that the “entrails are commonly eaten by women” and provides an accompanying engraving with a foreground image of a woman disemboweling a human carcass.46 Writing only twenty years later about his experiences in the French colony that failed to take root near present-day Rio, the Calvinist mis- sionary Jean de Léry similarly marked the dualities of cannibalism and began to move the discourse into metaphor and cultural criticism.47 Léry championed the valiant Tupinambá warriors in their quest for victory over their enemies and excused men’s anthropophagy as part of a more noble ritual of revenge. At the same time, he deliberately recreated the images of old women whose perverse longings for human flesh provoked men to war, degraded the nature of their children, and perpetuated the most sinful of indigenous customs. These two authors, Catholic and Huguenot respec- tively, both utilized anthropophagous analogies in their discursive attacks against their own godless enemies in the Wars of Religion and to articulate their conflicts over the meaning of the Eucharist.48 In their writing, then, the alterity of Brazilian women’s anthropophagi served a different end: not 45 Hutcheson, Inquiry, 207; see also Smith, Imagining Religion, xii. 46 André Thevet, Les Singularités de la France antarctique (Paris, 1558); Frank Lestringant, Cannibals: The Discovery and Meaning of the Cannibal from Columbus to Jules Verne, trans. Rosemary Morris (Berkeley: University of California Press, 1997), 56. 47 Jean de Léry, Histoire d ’un voyage fait en la terre du Brésil (La Rochelle: Antoine Chuppin, 1578). 48 In his most daring challenge, Léry condemned his compatriot Villegagnon who, during his stay in Brazil, failed to repudiate transubstantiation in the Eucharist and wished—like a cannibal—“not only to eat the flesh of Jesus Christ” but to “chew it and swallow it raw” (ibid., 77, 78). This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). History of Religions 155 just to alienate the newly discovered worlds but also to denounce other Europeans and their increasingly divergent religious views. Léry concluded his denunciation of brutal massacres and anthropophagy in France by noting that there was no need to “go as far as America . . . to see such monstrous and prodigious things.”49 Essayist Michel de Montaigne, whose call to tolerance Smith quotes in “The Devil in Mr. Jones,” also found the Brazilian cannibals useful far beyond their own lands.50 Relying on the writings of Thevet and Léry— among others—Montaigne imagined the native Brazilians in an idealized Nature, still part of a Providential Golden Age of artless freedoms and ease.51 He extolled the men’s unmatched bravery and insisted that their consumption of enemies’ corpses signified only “extreme revenge.”52 Ultimately, however, Montaigne introduced the cannibals in order to expose and exorcise a selection of anthropophagous episodes in Europe and to criticize the polity of his own Rouen in 1560; cannibal women are absent from his text, replaced by docile maids and matrons who welcomed their husbands’ polygyny—a quite different “otherness” for Montaigne’s arguments! As I have examined these and all my other sources on the nature and customs of Brazilian Indian women, I find the facticity of their lives re- ceding before me, replaced by religious and philosophical allegories, used for political arguments and the justifications of condemnations of one or another “other.” In this house of mirrors, the images of their barbarity vanish, while barbarity of the European colonizers looms larger, as they used the reflected presence of cannibal women as the ground of their ultimate exploitation. From Columbus to Cabral, Nóbrega to Montaigne, the creation of the “other” through the women of Brazil ends only with the establishment of the European imperial government that dominated them and with their final elimination from others’ commentaries and their own country. Illinois Wesleyan University 49 Ibid., 258. 50 Smith, Imagining Religion, 104–5. 51 Lestringant, Cannibals, 95–106. 52 Michel de Montaigne, The Complete Essays of Montaigne, trans. Donald M. Frame (Stanford, CA: Stanford University Press, 1958), 155. This content downloaded from 198.178.132.252 on April 13, 2016 06:22:01 AM All use subject to University of Chicago Press Terms and Conditions (http://www.journals.uchicago.edu/t-and-c). Illinois Wesleyan University From the SelectedWorks of Carole Myscofski Winter November, 2007 Imagining Cannibals: European Encounters with Native Brazilian Women 00-Text_HR47.2-3 Cit p_51:2: Cit p_51:1: 
work_zfw3p4panvftznhtewp3mqoipe	----	Science Magazine renewal of some nuclear pore components leads to the gradual deterioration of nuclear pore function. As a consequence, the nuclei of older cells become leaky, and proteins that would nor- mally be excluded from the nucleus can be found within it. — SMH Cell 136, 284 (2009). C H E M I S T R Y Product Protection Chemical transformations often pose the dilemma that a desirable product may prove unstable under the reaction conditions. In certain cases, such intermediate products may be sufficiently volatile to be removed evaporatively from the reaction mixture as they are generated, but many compounds are not amenable to this mode of sep- aration. A particularly insidious challenge arises in the partial alkylation of amines. Adding an alkyl group renders an amine more nucleophilic than before, and so more likely to attract yet another alkyl group; therefore, simply mixing equivalent amounts of amines and alkyl electrophiles tends to afford a mixture of unreacted and polyalkylated products. Yebeutchou and Dalcanale skirt the 20 FEBRUARY 2009 VOL 323 SCIENCE www.sciencemag.org984 C R E D IT S ( T O P T O B O T T O M ): O L IV IE R W E IK E N /E P A /C O R B IS ; D ’A N G E L O E T A L ., C E L L 1 3 6 , 2 8 4 ( 2 0 0 9 ) EDITORS’CHOICE C E L L B I O L O G Y Aging Disgracefully As we age, all too many aspects of our physique deteriorate—not just at the macroscopic scale of our limbs and organs, but also at the single- cell level. Nuclear pores allow for the transport of proteins and nucleic acids across the nuclear envelope, both from the cytoplasm to the nucleus and in the reverse direction, and are essential in normal trafficking processes involved in gene expression, cellular homeostasis, and growth. Nuclear pores are complexes of many individual protein components, some of which are extraordi- narily long-lived. D’Angelo et al. have examined the characteris- tics of these complexes in aging postmitotic cells from Caenorhabditis elegans and from rodents, and find that as cells grow old, the lack of problem by adding molecular sequestering agents that selectively capture amines after their preliminary reaction step, thereby protecting them from further interaction with a methylating agent (iodomethane). The optimized protectors were tetra(arylphosphonate)-based cavitands that attracted monomethylated alkyl ammonium cations through ion-dipole forces, hydrogen bonding at the rim, and C-H–pi interactions deep in the cavity. In their presence, a range of alkyl and aryl primary amines could be selectively methylated in good yield. The authors verified preferential encapsulation of the secondary ammonium ions in solution using nuclear mag- netic resonance spectroscopy. — JSY J. Am. Chem. Soc. 131, 10.1021/ja809614y (2009). N E U R O S C I E N C E Opioids and Drink Substance abusers score higher on measures of cognitive and motor impulsivity. Cognitive impul- sivity refers to the inability to delay gratification, whereas motor impulsivity, or disinhibition, describes the inability to withhold a pre-potent response. Animal studies confirm that impulsivity EDITED BY GILBERT CHIN AND JAKE YESTON P S Y C H O L O G Y Cycling Between Worlds During the run-up to the first round of the 2007 presidential election in France, boundaries blurred as the usual mix of campaign rhetoric and dirty tricks spilled over into the virtual world of Second Life. Whether these skirmishes influenced the real-world electorate is unclear, and McCabe et al. have begun to investigate whether associa- tions learned within the confines of a computer- based contest might affect participants’ behavior in real-world situations. They conditioned partici- pants to chase or avoid cyclists who overtook them by linking one type of jersey logo to fruit juice and the other to salty tea, respectively. Several days later and in a different building, approximately two-thirds of the participants, while waiting for their turn in the brain scanner, elected to sit in a chair on which was draped a towel embroidered with the positively associated logo. Furthermore, neural activity of the insula region of the brain (a measure of motivational salience) reflected the previous conditioning of appetitive and aversive stimuli, hinting at a carryover from the virtual reality cycling competition. — GJC J. Neurosci. 29, 1046 (2009). Normally cyto- solic protein tubulin (green) inside an old nucleus. Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ www.sciencemag.org SCIENCE VOL 323 20 FEBRUARY 2009 C R E D IT : J U P IT E R I M A G E S correlates with drug intake, although nearly all of these studies have examined impulsivity in rela- tionship to psychostimulant drugs. Olmstead et al. have investigated whether deletion of the �- or �-opioid receptor genes alters motor impulsivity in mice. They tested the behavior of these mutant animals in an operant- based behavioral task that assesses the ability of mice to withhold a well-learned pre-potent response (a nose poke used to gain a sucrose reward); the reward can be obtained only when nose-poke responses are made during a brief light stimulus. Mice lacking �-opioid receptors exhib- ited decreased motor impulsivity, whereas those lacking �-opioid receptors showed increased motor impulsivity. Additionally, mice lacking �-opioid receptors were insensitive to the effects of alco- hol, which increases impulsivity and decreases conditioned responding in wild- type mice, and the behavior of mice lack- ing �-opioid receptors was completely disrupted by alcohol. Taken all together, these results indicate a link between opiate receptors in the brain, impulsive behavior, and behavior directed toward ingesting alcohol. — PRS PLoS ONE 4, e4410 (2009). M O L E C U L A R B I O L O G Y Finely Balanced Registers Many genes are interrupted by noncoding introns that must be precisely excised from the RNA molecules transcribed from the gene. In the first step of the splicing reaction, a large RNA- protein splicing machine recognizes the 5’ end of most introns via the complementarity of this region to one of the spliceosome components, the U1 RNA. Yet other 5’ splice sites show little complementarity to the canonical U1 sequence and are nonetheless efficiently and accurately spliced by the very same machine. In puzzling over this conundrum, Roca and Krainer noticed that a subset of these atypical 5’ splice sites did have a sequence that could form a base-paired region with the U1 sequence, but only if shifted one base downstream of the nor- mal 5’ splice site (the +1 register). Mutating one of these atypical 5’ splice sites to improve its complementarity to the U1 RNA in the canonical register resulted in aberrant, rather than improved, splicing. Furthermore, mutations in the +1, but not canonical, register of the U1 RNA that restored base pairing with the mutated atypical 5’ splice sites could rescue the splicing defects. Understanding that the U1 RNA can rec- ognize two subsets of 5’ splice sites in two regis- ters accounts for the splicing of atypical 5’ splice sites and also explains the deleterious effect of a mutation in the intron of the gene RARS2, which is associated with pontocerebellar hypoplasia. EDITORS’CHOICE 17050 Montebello Road Cupertino, California 95014 Email:AAASInfo@betchartexpeditions.com For a detailed brochure, please call (800) 252-4910 PERU June7-17,2009 Explore extraordinary cultural and archaeological wonders of Peru. Tour Lima and visit Huaca Pucclana archaeological site. See the heart of the Inca Empire at Cuzco and spec- tacular landscapes in the Andes. Visit Machu Picchu, Ollantaitambo, and Sacsayhuaman. $3,695 + air. Spitsbergen July14-26, 2009 Explore the Arctic and better understand global warming. Travel on board the M/V Antarctic Dream and see glaciers, wild- flowers, polar bears, walrus, Arctic fox, great whales, and much more! From $4,995 + air. Azores &Atlantic Crossing June 1-14, 2009 Cruise to the Azores on board the CleliaIIwith lectures at sea en route to Santa Maria where Christopher Columbus made landfall on his return from America. On the island of Sao Miguel, explore Ponta Delgada and breathtaking Sete Cidades, where two lakes fill a volcanic crater. Visit the islands of Terceira, Pico, and Faial. From $5,995 + air. China’s 2009 Eclipse July13-24, 2009 Visit three of China’s important cultural sites—Beijing, Xi’an, and Hangzhou—before seeing the Total Solar Eclipse, July 22, 2009 at the mouth of the Qiantang River near Hangzhou. $3,695 + air. Travel with AAAS Although the 5’ splice site mutation improves complementarity with the canonical U1 register, it weakens base pairing in the +1 register, and it is this imbalance that probably causes the exon skipping seen in the disease. — GR Nat. Struct. Molec. Biol. 16, 176 (2009). E N G I N E E R I N G Keeping Chips Cool The heat that is generated by silicon chips in the integrated circuits at the heart of modern elec- tronic devices must be efficiently removed, because the performance of field-effect transistors degrades at higher temperatures. One approach for providing active cooling next to a chip is to use thermo- electric materials, which effectively transport heat via current flow. Chowd- hury et al. fabricated a material with a high coeffi- cient of thermoelectric perform- ance and sandwiched it between the chip and a thermal sink layer. Specifically, the thermoelectric mate- rial comprised superlattices of p-type Bi 2 Te 3 /Sb 2 Te 3 and n-type Bi 2 Te 3 /Bi 2 Te 2.83 Se 0.17 grown on GaAs substrates by metal-organic chemical vapor depo- sition. The assembled devices could cool a targeted region on a silicon chip with a high heat flux (1300 W/cm2) by 15°C. — PDS Nat. Nanotechnol. 4, 10.1038/ NNANO.2008.417 (2009). A P P L I E D P H Y S I C S Sensing the Vibes Remotely Vibrations in machinery can lead to excessive wear, and, in the worst case, to catastrophic failure. Mon- itoring unwanted vibration is therefore an impor- tant safety issue. Probing the response of materials to vibrations at ultrasonic frequencies can provide a diagnostic test for defects and cracks in materials that may appear before the device breaks down. It is not always possible, or feasible, to use mechani- cally attached sensors, and so optical sensors may allow for nonintrusive monitoring. Bouncing laser light off a textured surface (such as a wall, a can, or paper) produces a speckle pattern. Bessette et al. introduce a photoconductive sensor that probes the movement of the speckle pattern as the sam- ple, in this case a metal surface cut from a can, is vibrated at high frequency. Using a simple silicon- based photoconductive element, which can be shrunk to micrometer size, they can look at the movement of a single speckle, thereby giving them the ability to monitor vibrations at ultrasonic fre- quencies remotely. — ISO Appl. Phys. Lett. 94, 41121 (2009). Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ Cycling Between Worlds Gilbert Chin DOI: 10.1126/science.323.5917.984a (5917), 984.323Science ARTICLE TOOLS http://science.sciencemag.org/content/323/5917/984.1 CONTENT RELATED file:/content/sci/323/5917/twil.full PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. The title (print ISSN 0036-8075; online ISSN 1095-9203) is published by the American Association for the Advancement ofScience © 2009 American Association for the Advancement of Science o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/323/5917/984.1 http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_zhvvez22dbfzxaqyms5rg2uiq4	----	global terms, and it is an exemplary work of scholarship. Thus, even its limitations offer instructive lessons for historians engaged in similar methodologies. Although the chapters by Sorokina, David-Fox, and Krementsov give some flavour of the Russian side of this story, the volume focuses more on Germans in Russia than the reverse. This is partially an artefact—one third of the volume focuses on Zeiss’s activities in Russia. Yet, this imbalance raises important questions. Were Russian scientists and physicians prevented from going abroad? If they left Russia, did they return home? Did they cultivate international friendships? Could they be “entrepreneurial”? Can that framework even apply to individuals or institutions from centrally planned economies? Did the rise of Communism ever lead to the migration of Russian scientists and physicians to Germany? Balanced transnational histories demand answers to such reciprocal questions, and this volume does not fully rise to that challenge. Obviously, the authors of this ambitious volume could not probe every problem or ponder every silence. Yet the depth of their sources indicates another difficulty arising from analysing transnational relations. It is not enough to know that actors and institutions are engaging in different conversations. Rather, those incomplete and often contradictory conversations exist within at least two fully formed contexts. The nuances of those contexts are difficult to develop adequately in writing, yet that development is crucial as it reveals the ways that political and economic forces shaped policy developments in medicine. Finally, although individuals and institutions re-emerge as the locus of transnational science and medicine, it is important to recognize that their work was comparatively superficial and insignificant. Transnational studies fascinate precisely because what they reveal to us about the development of national styles of science and medicine remains unclear. Stephen T Casper, Clarkson University Neil Chambers (ed.), The scientific correspondence of Sir Joseph Banks, 1765–1820, 6 vols, London, Pickering & Chatto, 2007, total pages: 2823, £595.00, $995.00 (hardback 978-1-85196-766-7). Even during his own lifetime, impressions of Joseph Banks (1743–1820) diverged widely. Although celebrated in the popular press as the dashing young explorer who had sailed to Australia with James Cook, Banks was caricaturized by disaffected critics at the Royal Society as a bumbling virtuoso who refused to recognize—let alone understand—the significance of mathematical physics. Whereas James Boswell remarked that Banks resembled a placid elephant who would allow you to play with his proboscis, harsher colleagues accused him of coarse behaviour and sycophantically ingratiating himself with George III. After his death, other versions of Banks proliferated, continually tailored over time to fit various political ends and historiographical trends. Victorian modernizers tried to make themselves look progressive by dismissing him as an old-fashioned autocrat, but although they effectively suppressed his memory in Britain, Banks was revived in the early twentieth century as the Founding Father of Australia, where his publicity value as the nation’s first scientist still outweighs critiques of his involvement in the early penal settlements. Australian biographers have repeatedly argued that, despite his minimal publication record, Banks played a crucial role in science’s history because of the administrative innovations he introduced at home and abroad during his forty-two year reign as President of the Royal Society. The definitive cradle-to-grave account remains Harold Carter’s detailed tome of 1988, which extolled Banks’s domestic influence and international achievements; since then, other scholars—notably David Miller and John Gascoigne—have presented more nuanced analyses demonstrating Banks’s systematic strategies for consolidating the authority of the Royal Society and forging a mutually Book Reviews 541 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0025727300003045 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:19, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0025727300003045 https://www.cambridge.org/core beneficial alliance between science, state and empire. Now that globalization has become a historical buzzword, Banks is emerging as a key figure in imperial expansion whose powerful grip extended around the world. Banks was a prolific writer, sending out an estimated 40,000 letters and receiving back perhaps 60,000. Often enclosing plant and mineral specimens (with occasional gifts of “Excellent Biscuits” or “2 brace of Grouse”), his correspondence covered an extraordinary range of topics, reflecting Banks’s influential engagement in scientific politics, agricultural reform and industrial innovation both in Britain and overseas. Sadly, even though he maintained a meticulous filing system, Banks’s papers were dispersed and selectively destroyed, so that now only around 20,000 survive, scattered throughout the world in public libraries and private collections. Reduced to around a quarter, these letters, nevertheless, offer an exceptionally rich resource for studying the global transformations that took place in the decades around 1800. Historians were delighted when in 1989, Carter established the Banks Archive Project at the Natural History Museum, with the aim of copying and cataloguing all the existing letters to make them readily accessible. The first product of the Project’s ambitious long-term programme was a taster volume of 137 letters, edited by the Museum’s Neil Chambers, and designed to indicate the changing patterns of Banks’s interests over his long life. The most recent publication, also edited by Chambers, is a six-volume edition reproducing 2215 of Banks’s scientific papers. Arranged chronologically, these letters have been transcribed from over a hundred archives, and most of them have never been published before. For consistency with earlier publications, Chambers has broadly adopted Carter’s editorial principles, although he has introduced some substantial improvements. Most importantly, Banks’s erratic spelling and breathless punctuation are here faithfully reproduced, along with deletions and insertions, as well as full details of addresses, greetings and endorsements. One immediate reward of this new collection is being able to see at a glance the sheer variety of matters with which Banks dealt on a daily basis. Within just a few weeks around the end of 1780, Banks was complaining about the rent arrears being run up by his tenants, explaining why he refused to believe that ants use tools for moving large weights, worrying about the legality of changing the Royal Society meeting times, and learning about the unfortunate man who coughed up a live toad he had unknowingly ingested several weeks earlier with some watercress. Nearly forty years later, despite battling against chronic gout, Banks was still preoccupied with an immense breadth of problems, including cabbages frozen by exceptionally bitter frosts, delays in exporting an alabaster sarcophagus from Egypt, the latest experiments on polarized light, and Dutch rivalry in Asia. As well as staying in touch with close colleagues, Banks negotiated with unknown correspondents all over the world. Eminent figures such as Benjamin Franklin, William Hamilton and William Herschel feature among his regular contacts, but this collection includes many less distinguished correspondents who sent in not only reports of experiments or unusual events, but also requests for advice or pleas for help. Appearing particularly often in this collection is Charles Blagden, Banks’s major aide at the Royal Society; the 314 letters printed here reveal fluctuations in the two colleagues’ personal relationship as well as their combined impact on scientific affairs. Unfortunately, although Chambers’ six- volume edition is extremely welcome and has many excellent features, its value is limited because the guidelines set up by Carter some twenty years ago still dominate the Project’s publishing strategy. Carter himself had already produced The sheep and wool correspondence, and he decreed that subsequent collections should also be organized thematically into supposedly mutually exclusive categories such as Political & Diplomatic Matters, Agriculture & Horticulture, and the Middle East & Africa. Book Reviews 542 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0025727300003045 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:19, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0025727300003045 https://www.cambridge.org/core As Chambers implicitly acknowledges in his introduction, sorting documents by such anachronistic criteria restricts the possibility of pursuing modern analytical concerns. The letters he has chosen are “scientific” only in the relatively narrow sense that they contain copious details of experiments, collections and observations. Fascinating as many of them are, they do not necessarily reveal how Banks meshed exchanges of information with his political and commercial ambitions. This renders the collection of limited value for pursuing research into current or future scholarly preoccupations such as globalization. For example, on 10 June 1799 (letter 1512), Banks sent off a review of experimental procedures for preparing sweeteners from carrots or beetroot, which he suggested might provide viable alternatives to sugar. This letter appears less straightforwardly “scientific” when juxtaposed with one that Banks had despatched only two days earlier to the same recipient, Lord Liverpool, then an elderly but still influential politician. The earlier letter makes clear the complexities of “science” at this period, yet although reproduced in Chambers’ shorter chronological survey, it does not appear in this thematic collection: appreciating the closeness of the dates entails searching both publications. Banks started by emphasizing the commercial benefits of scientific research: “An expenditure, apparently considerable, must however be encountered in the outset; but as Science has never yet been applied to the search of Gold carried down by Torrents . . . I feel sanguine hopes that the produce of that valuable Metal may . . . be increased in Africa to almost any given extent.” A leading committee member of the African Association, Banks then spelled out the close links between scientific exploration and imperial expansion: “the first step of government must be to secure to the British Throne, either by Conquest or by Treaty, the whole of the coast of Africa from Arguin to Sierra Leone.” Banks also justified what he called an “Experiment” by claiming that a British-run trading company would “govern the Negroes far more mildly” than “the Tyranny of their arbitrary Princes”. However genuine his desire to improve the lot of resident Africans, when read together, these two closely-dated letters do suggest that Banks’s comments on beetroot were related to his interests in supporting the West Indian plantations, whose massive sugar output contributed to the profitable circulation of gold and slaves that supported British manufacturing industries. Another disappointing aspect of these six volumes is the index. An irritating practical problem arises from the decision to refer to letters by their sequential number, rather than by the volume in which they appear. Since neither the dates nor the numbers of the letters appear on the outside of the books or even their title pages, locating a particular item can take some time. More fundamentally, searching for particular topics is difficult because virtually all the index entries are names of people, countries or organizations. No rationale is given for the few exceptions—ballooning, inoculation, Peruvian bark (a single mention in one short letter) and steam power. Although many medical topics are touched on in this correspondence, picking them out will not be easy. The next two sets of volumes will be on Iceland (to appear in 2008, according to a Museum web-site of October 2007) and on the Pacific. Although there are clearly many “scientific” letters that could also be classified on a regional basis, such overall organizational decisions may well have been the best to make two decades ago. Chambers gives no indication of any plans to digitize the Banks correspondence, but viewing the Project from the outside, it would seem sensible to consider abandoning Carter’s original scheme, which relies on expensive thematic print publications, and to contemplate publishing the entire correspondence digitally with effective search facilities. Funding has been a major constraint since the Project’s inception, and its publications owe much to the dedicated commitment of scholarly editors. The Natural History Museum deserves much praise for Book Reviews 543 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0025727300003045 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:19, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0025727300003045 https://www.cambridge.org/core making Banks’s splendid correspondence more readily accessible. Despite their limitations, these six volumes offer entertaining reading as well as a rich resource for future scholarship. Patricia Fara, Clare College, Cambridge Katharine Park and Lorraine Daston (eds), The Cambridge history of science: vol. 3, Early modern science, Cambridge University Press, 2006, pp. xxvii, 865, illus., £90.00, $160.00 (hardback 978-0-521-57244-6). What are Cambridge Histories for? They go back to The Cambridge modern history planned and initially edited by Lord Acton (1834–1902) though he did not live to see the first volume published in 1902. It appeared at a time when most Anglophone historians believed that all the major facts of history could be encompassed within the boards of thirteen volumes and that they demonstrated the progressive triumph of liberalism. Times have changed; many multi-volume Cambridge Histories have since been published ranging from Christianity and Literary Criticism to Russia, Turkey, Libraries and now the History of Science in eight volumes. Placed neatly on the open access shelves of national and university libraries, such histories convey a sense of authority which means that they are consulted by scholars in other disciplines seeking apparently easy access to the subject. In reality, in our post-modern world, these volumes of collective effort, like any other text, provide a selection that reflects the interests, knowledge, prejudices, etc. of the editors and individual contributors. And this volume, of course, cannot by any means represent the sum totality, pace Acton, of what is known about science in the early modern period defined as “from roughly 1490 to 1730” (p. 1), that is from the voyages of Christopher Columbus to the death of Isaac Newton. Although some of the contributors, such as Steven Shapin, seek to rise above the Whig origins of the genre of the Cambridge Histories, there is nevertheless a sense in the volume of looking forward to what comes after, perhaps best encapsulated in the heading ‘The artist as scientist’ (p. 786) for the discussion of Leonardo da Vinci (1452–1519) by the art historians Carmen Niekrasz and Claudia Swan—this is surely something that the editors should have picked up following Shapin’s critique earlier in the volume of such anachronistic usage. The volume is divided into four parts, the first dealing with the ‘New nature’ followed by discussion of personalities and sites of natural knowledge. This part includes some of the most interesting chapters such as William Eamon on ‘Markets, piazzas, and villages’, Bruce Moran on ‘Courts and academies’, and an especially excellent piece by Adrian Johns on ‘Coffeehouses and print shops’. The third part is entitled ‘Dividing the study of nature’. Despite having some good pieces, the title immediately raises the (unanswered) question of whether it is historically appropriate to divide natural philosophy, astronomy and astrology into three separate chapters, or natural philosophy from mechanics. Such divisions do not lend themselves to the understanding of the place of natural knowledge in contemporary society and culture and may obscure links. What happens, and William Donahue’s chapter on astronomy is a particularly good (i.e. bad) example, is that history becomes the study of the relations between texts across time, rather than the study of the relationships between practitioners across geographical, social and cultural space. The tendency of this volume to split knowledge apart becomes most marked in the fourth and final section ‘Cultural meanings of natural knowledge’. I do have to wonder whether having a set of chapters at the end of the book entitled simply ‘Religion’, ‘Literature’, ‘Art’ (music is treated as part of acoustics), and ‘Gender’, ending up with a piece on European expansion is the best way of discussing the place of natural knowledge Book Reviews 544 https://www.cambridge.org/core/terms. https://doi.org/10.1017/S0025727300003045 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 01:09:19, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/S0025727300003045 https://www.cambridge.org/core 
work_zi6w5w55erexxk5sjs5ktfyubu	----	BIOSCIENCES BIOTECHNOLOGY RESEARCH ASIA, December 2013. Vol. 10(2), 489-498 * To whom all correspondence should be addressed. Mob.: +962776361225; Fax: +96253530469; E-mail: rakad.ayed@yahoo.com Influence of Agricultural Practices on Soil Properties and Fruit Nutrient Contents of Bell Pepper Taleb R. Abu-Zahra1, Rakad A. Ta’any2*, Alaeddin B. Tahboub2 and Samih M. Abu-Baker1 1Department of Plant Production and Protection, 2Department of Water Resources and Environmental Management, Faculty of Agricultural Technology, Al-Balqa’ Applied University, As Salt 19117 Jordan. DOI: http://dx.doi.org/10.13005/bbra/1158 (Received: 11 September 2013; accepted: 29 October 2013) Bell pepper is an economic product that widely used in the world. The total of Bell pepper and Chile pepper production of the world is about 25 million metric tons, while in Jordan about 5,000 ha are planted by bell pepper annually.During the 2010/2011 season,an experiment was carried out under plastic-house conditions at the Station of Princess Tasneem Bent Ghazi for Technological Research at Humrat Al-Sahen.To compare the effect of four fermented organic matter sources (cattle, poultry and sheep manure in addition to 1:1:1 mixture of the three organic matter sources), with that of the conventional treatment on soil properties and fruit nutrient content of bellpepper cultivar Marvello by using a randomized complete block design (RCBD) with four replicates.Conventional treatment had a significant higher effect on the soil pH, EC, N, P, K and Na. Fruit nitrate content was within the acceptable levels. A high content of micronutrients (Zn and Fe) were observed in the conventionally treated bell pepper fruits.In addition, the bell pepper fruit content of minerals was higher in conventional treatment than all other organic treatments. The highest yield per plant was obtained by the conventional treatment, in comparison to other treatments. Although the reduction in yield per plant and the total yield reduction was about 20 % less than conventional farming, but the increase in profit was almost doubled due to higher prices of organic bell peppers. Key words:Soil properties, Plastic house, Nutrients, Organic Matter, Nitrate. Bell pepper (Capsicum annum L.), which belongs to the Solanacea family, is one of the most varied and widely used foods in the world; it was originated in Mexico and Central America regions and Christopher Columbus encountered it in 1493 (Kelley and Boyhan 2009). A phenolic compound called capsaicin is responsible for the pungency in peppers. Pepper is grown as an annual crop due to its sensitivity to frost and is actually a herbaceous perennial and will survive and yield for several years in tropical climates (Peet, 1995; Kelley and Boyhan, 2009). One medium green bell pepper can provide up to 8 percent of the recommended daily allowance of Vitamin A, 180 percent of Vitamin C, 2 percent of calcium and 2 percent of iron (Kelley and Boyhan, 2009). The intensive agriculture aiming at high yields has led to a breach in the ecological equilibrium in the agricultural ecosystems; this imposes development of new ecologically consistent technologies (Malgorzata and Georgios, 2008). Consumer awareness of the relationship between foods and health, together with environmental concerns, has led to an increased demand for organically produced foods. In general, the public 490 ABu-ZAhrA et al., Biosci., Biotech. Res. Asia, Vol. 10(2), 489-498 (2013) perceives organic foods as being healthier and safer than those produced through conventional agricultural practices (Jolly, 1989). Organic foods have a nutritional and/or sensory advantage when compared to their conventionally produced counterparts. Advocates for organic produce claim it contains fewer harmful chemicals, is better for the environment and may be more nutritious (Mitchell and Chassy, 2005). Conventional and organic agricultural practices represent dynamic systems that can vary greatly depending upon region, soil quality, and prevalence of pests, crop, and climate and farm philosophies.This makes comparisons very difficult, and may affect the nutritive composition of plants, including secondary plant metabolite (Sander and heitefuss, 1998; Mitchell et al., 2007). Organic fertilization typically does not provide nitrogen in a form that is as readily accessible to plants as conventional fertilizers(Doll, 1994). The vegetable represents the most important source of N for human nutrition, whichis essential source for growth.Therefore, its accumulation in plants is a natural phenomenon resulting from uptake of the nitrate ion that is found in excess, and the intensive use of nitrogen fertilizer and manure causes the nitrate contamination of environment.Therefore, vegetables can accumulate high levels and consumed, pose serious health (Flores et al., 2005; Ionescu et al., 2010; Vasile et al., 2010). Nitrogen is generally the most difficult nutrient to manage for organic crop production, careful management of organic N sources is required to meet crop requirements, while avoiding undesirable N losses to the environment (Gaskell and Smith, 2007).The chemical, physical, and biological properties of fresh manure vary tremendously due to specific animal feeding and manure management practices. Conventional farms utilize fertilizers containing soluble inorganic nitrogen and other nutrients, which are more directly available to plants (Mitchell et al., 2007). Organic matter content was proportionate to the amount of manure and composts applied; overall, cow, poultry manure increased soil organic matter in comparison to inorganic fertilizer and control. Fruit yield was significantly higher under integrated nutrient management (INM) compared with organic nutrient supply. The yield reduction in the latter was 22.1% in 2005 and 21.7% in 2006 compared with INM. The soil ph and organic carbon were higher in the plots treated with organic manures alone compared to INM. The latter, however, recorded higher N, P, and K contents in soil (Appireddy et al., 2008). Gopinath et al. (2009) found same results, in which comparison of different organic amendments and combined application of organic amendments.Amending soils with composted materials has been reported by (hampton, 1995) to increase pepper yields. however, combining compost and inorganic fertilizer has generally been more effective in producing a positive plant response than separate application of either material alone. Price premiums for organic crops added to the reduced production costs, helps boost the profitability. For many farmers, equivalent yield are not the necessary goal (Dahama, 2005 and Friedman, 2003). Gopinath et al., (2009) found that conventional agriculture enhanced N, P and K accumulation in the soil in compare to the organically treated soils. While according to Gaskell and Smith,2007, composts contain relatively lowconcentrations of N, P and K. They typically decomposelowly and behave as a slow- release source of N over manymonths or years since the rapidly decomposable compounds have been previously degraded during the composting process.Nitrogen nutrient management is often especially critical for optimum yield and quality of organically grown vegetable crops (Gaskell 2001; Mikkelsen and hartz, 2008). Twenty-eight(t ha-l) ton ha-l estimated level of cattle manure was responsible for maximum yield of fruits per plant (389 g) and (7.8 t ha-l)ton ha-l.Whilebio-fertilizer used in spray application, the levels of 14.5 and 14.0 t ha-l of cattle manure, respectively, promoted maximum production of fruits per plant of 485 g and maximum productivity of commercial fruits of 9.6 t ha-1. The combination of cattle manure and bio-fertilizer in the leaves was the best organic fertilization form in the bell pepper, with additional of 1.8 and 1.3 t ha-1 in the productivity of commercial fruits, comparing with those obtained with cattle manure and bio-fertilizer used in the soil, respectively (Evanduir, 2007). russo and Veazie, 2010 and Flores et al. (2005)found that the application of mineral fertilizers combined with organic manure led to a decrease in pepper fruit productivity, while nitrate 491ABu-ZAhrA et al., Biosci., Biotech. Res. Asia, Vol. 10(2), 489-498 (2013) leaching frequently is attributed to the excessive application of mineral nitrogen fertilizers and to the organic matter incorporated in the soil.In an experiment conducted by rubio et al. (2010), Ca application increased the marketable yield from 1.67 to 2.38 kg/plant, while higher K levels decreased marketable yield from2.2 to 1.66 kg/ plant, due to decreases in the number of fruits per plant and the mean fruit weight. According to Jadczak et al. (2010) bell pepper fruits are a rich source of mineral compounds especially magnesium (0.87-1.25 g/ kg dry weight (d.w), calcium (2.33-2.62 g/kg d.w), potassium (19.24-23.22 g/kg d.w), phosphorus (3.02-3.6 g/kg d.w), and iron (350-600 ppm), and low amounts of sodium (0.15-0.25 g/kg d.w), Zinc (10-15.1 ppm) and Nitrate (24-115 ppm). Pepper producers often use large amounts of agrochemicals in an attempt to improve and protect fruit quality and plant vigor. In addition, vegetable growers in Jordan routinely apply manure to their soil either alone or in combination with mineral fertilizers. however, there are limited researches on the effects of these organic amendments on yield of crops and on soil properties. The objectives of the study were to assess the short-term effect of different organic matter amendments and chemical fertilizers on soil chemical properties and bell pepper (Capsicum annum L.) yield. MATERIALS AND METHODS Description if the study area The Station of Princess Tasneem Bent Ghazi for Technological research at humrat Al-Sahen is about 15 km from As Salt city to the west of Amman the capital of Jordan. The station is a part of Ad-Dafali Catchment area, whichlies between 210.7-216.2 East and between 163.0- 166.5 NorthAccording to Palestine Grid, and covers an area of about 16.5 km2, (Figure 1). The catchment is characterized by major segments of two physiographic province, the Jordan rift and hilly terrain. The first comprises part of the Jordan rift, 200 m below sea level. This is a tectonic depression filled by upper Tertiary and Quaternary deposits (such as the Lacustrine Lisan Marl, the alluvial fan deposits of the Pleistocene age, and the recent fluvial deposits related to the river Jordan and its tributaries). The second terrain system comprises a hilly terrain reaching up to 580 m. in elevation. here the moderate rainfall, the folded strata, and the presence of faulting have combined to form a hilly region of diversified scenery and innumerable outcrops of sandstones, marl, shales, clays and limestones. The hilly region has been heavily modified by fluvial erosion during the fluvial periods of the Pleistocene-recent. T h e c l i m a t e o f t h e s t u d y a r e a i s predominantly of Mediterranean type climate. A hot dry summer and cool hot winter characterize it, with two short transitional periods in between. The first starts around mid-November and the second starts around the end of April. The hilly region generally characterized by cool dry summer and cold wet winter seasons. In winter seasons, these regions experience cold weather with rather low temperatures in January. As in most semi-arid areas, temperatures exhibit large seasonal and diurnal variations, with absolute daily temperatures ranging from a maximum of around 47 ° C in August to about 5 ° C or less in January. Annual precipitation ranges between less than 125 mm to more than 300 mm and the evaporation exceeds 90 % of the total precipitation,(JMD, 2010). This study was conducted during the 2010/2011 season, under a plastic-house condition at Station of Princess Tasneem Bent Ghazi for Technological research in humrat Al-Sahen. O r g a n i c m a t t e r p r e p a r a t i o n a n d s o i l solarisation Three months prior to transplanting, three different organic matter sources (cattle, poultry and sheep manure) were fermented according to Preuschet al., (2004) recommendations. On the other hand during hot summer months (from August to October), soil solarisation was done according to procedures outlined by Ames and Kuepper, 2000. Treatment applications A plastichouse was installed over the solarized area; the conventional planting was done according to the system applied in the farm where the experiment was conducted.Fertilizers (50 kg ha-1 week-1 of 20 N – 20 P – 20 K as fertigation and 118 kg ha-1 of ammonium nitrate as side dressing) were used according to recommendations of russo andVeazie (2010) and Mitchell et al., (2007), and chemicals for pest control. For organic culture 492 ABu-ZAhrA et al., Biosci., Biotech. Res. Asia, Vol. 10(2), 489-498 (2013) planting;four fermented organic matter sources were used (cattle, poultry, sheep manure in addition to 1:1:1 mixture of the three organic matter sources), with amount of four kg m-2. Marvello pepper cultivar was transplanted on 26th of October 2010, and experiment was finished by the 29th of May 2011. Experimental design and statistical analysis Five treatments were conducted in a randomized complete block design with four replicates. All data obtained were statistically analysed according to the design used in this experiment as outlined by (Steel and Torrie, 1980). The differences between treatment means were compared by using Least Significant Difference at 5 % significant level. Measured parameters For all parameters measured or analysed (except organic matter (O.M) analysis), three samples were taken per replication, and then the averages of the readings were considered. The parameters included Organic matter analysis Before treatments application (October 2010) to the soil, the three different fermented organic matter (cattle, poultry, sheep manure in addition to 1:1:1 mixture of the three organic matter sources), were taken for measurement or analysis, before planting.The ph and Total dissolved solids (EC) was measured in 1: 5 (w/v) compost-water suspension (Mc Lean 1982; rhoades, 1982). Total nitrogen (N) percentage, determined by using micro Kjeldahl method (Bremner and Mulvaney, 1982).Available phosphorus (P), extracted by 0.5 N NahCO 3 with ph of 8.5 with Spectrophotometer (Olsen and Sommers, 1982).Available potassium (K) and sodium (Na), extracted by 1 N ammonium acetate determined by Flame Photometry (Knudsen et al. 1982).Total organic matter (O.M.) percentage, was determined by using potassium dichromate wet digestionmethod (Schnitzer, 1982). Soil chemical analysis Soil samples were collected from the surface layer (0-15 cm) of all the plots after treatment applications and immediately after the bell pepper harvesting was ended, in which five random cores were taken from each plot with a five cm diameter tube auger and bulked. Soil samples were air-dried and ground to pass through a 2 mm sieve. All soil samples meant for chemical analysis were stored at room temperature until required analysis. Same parameters were measured or analysed for the soil samples as in organic matter samples. Fruit nutrient content Fruit samples were taken three times during the production period, it was cut into small pieces, dried and ground for nutrient determination; phosphorus, sodium and potassium were analysed as in organic matter and soil samples. Fruit nitrate content was determined at the end of the experiment according to methods outlined by Vasile et al. (2010). Calcium (Ca)was analysedby flame photometry, Magnesium (Mg), Zinc (Zn) and Iron (Fe) by the method of atomicabsorption spectrophotometer (AAS) as outlined by Jadczak et al., 2010.The chemical analysis results of organic matter and soil samples collected before planting were summarized in Tables 1 and 2 respectively. Yield measurements For measurements and analysis, the fruits were harvested many times; they were collected when green and fully grown.Total yield per plant: This parameter was calculated at the end of the experiment by dividing total yield per replicate over the number of plants in that replicate.Yield decreased per plant: this parameter was determined by dividing the average production per plant in each replicate over the average production per plant in the conventionally treated peppers. RESULTS AND DISCUSSION Soil pH Chemical analysis results of the soil ph at the end of the experiment showed a significant difference between conventional and all other treatments (Table 3). In addition, the ph of cattle manure soils was statistically lower than all other treatments, while there were no significant differences between poultry, sheep and mixture organic matter treatment.This could be because the soil of the experimental site had a relatively high buffering capacity based on its high carbonate content and can fix any change in its ph during organic matter decomposition. Although the ph was reduced by the application of organic matter by at least 3 decimal units after the end of the experiment, there was no change in the soil ph with conventional treatment. 493ABu-ZAhrA et al., Biosci., Biotech. Res. Asia, Vol. 10(2), 489-498 (2013) Total dissolved solids (EC) The obtained results of soil EC showed that in general low EC was encountered in all treatments (Table 3).The highest EC (0.75mS/cm) was obtained by the conventional treatment with a significant difference with the cattle and poultry manure. The high use of inorganic fertilizers accumulated salts and raised the soil EC, while the lowest EC (0.68 mS/cm) was obtained by the cattle manure treatment, since no inorganic fertilizers were used. These results are in agreement with those of Abebe, 2001 and (Abu-Zahra et al., 2007). The EC after the end of the season was reduced in all organic matter applications, while it was increased in the conventional chemical fertilizer application compared to before planting. Total nitrogen (N) The total nitrogen percentage in the conventional treatment were significantly higher than all other treatments, whereas no significant effects of manure treatments on the soil total nitrogen were noticed, Table 3. This difference can be attributed to the slow release of nutrients from the organic matter (Brown et al., 1993), while the highest use of different forms of inorganic nitrogen sources were reflected on the soil total nitrogen. The residual nitrate content in the soil of conventional treatment was higher than the residual content of nitrate in the soil with added organic matter, which indicates the rate of volatilization or leaching was higher in organic treated soils. Available phosphorous (P) highly significant available phosphorus was obtained by using manure treatments compared to conventional treatment (Table 3). These results proved that the use of inorganic fertilizers could supply the plants with significant amounts of available phosphorous. On the other hand, higher amounts of available phosphorous (88.7 ppm) were obtained by the sheep manure treatment when compared with the conventional and other organic treatments. Table 3. results of Soil chemical analysis at the end of the experiment* Organic matter sources ph EC (ms/cm) N (%) P (ppm) K (ppm) Na (ppm) O.M % SAr Conventional 7.78 a** 0.75 a 0.373 a 66.08 c 294.4 a 59.05 a 1.26 d 2.16 a Cattle manure 7.24 c 0.68 b 0.130 b 84.78 ab 89.65 b 19.34 c 1.46 b 0.232 d Poultry manure 7.51 b 0.69 b 0.127 b 80.85 b 83.68 b 19.38 c 1.51 ab 0.381 c Sheep manure 7.46 b 0.71 ab 0.128 b 88.70 a 81.88 b 34.38 b 1.57 a 0.663 b Mixture manure 7.42 b 0.71 ab 0.124 b 81.40 b 77.55 b 19.05 c 1.40 c 0.325 cd * Values are the mean of four replicates. **: Means within each column having different letters are significantly different according to LSD at 5 % level. Table 1. Chemical analysis of organic matter (before planting) (14/10/2010) Organic matter sources ph EC (ms/cm) N (%) P (ppm) K (ppm) Na (ppm) O.M % Cattle 7.33 9.12 2.21 169.6 969.3 57.9 28.15 Poultry 7.18 6.40 1.85 189.5 765.3 48.22 22.77 Sheep 7.51 6.15 1.88 165.8 788.9 92.54 27.65 Mixture 7.24 6.24 2.1 167.7 949.4 61.15 23.26 Table 2: Chemical analysis of the soil after addition of O.M. application (before planting) (20/10/2010) Organic matter sources ph EC (ms/cm) N (%) P (ppm) K (ppm) Na (ppm) O.M % Conventional 7.82 0.53 0.15 67.5 98.2 14.5 1.91 Cattle manure 7.73 0.85 0.65 120.2 189.8 21.87 2.26 Poultry manure 7.65 0.75 0.87 113.8 193.6 38.7 2.63 Sheep manure 7.71 1.25 0.72 122.4 178.7 41.1 2.47 Mixture manure 7.73 0.95 0.78 118.6 149.8 26.89 2.89 494 ABu-ZAhrA et al., Biosci., Biotech. Res. Asia, Vol. 10(2), 489-498 (2013) Available potassium (K) The conventional treatment had the highest available potassium (294.4 ppm), which was significantly higher than all other treatments (Table 3). On the other hand,there were no significant differences among all the organic treatments. . Total organic matter (O.M) The highest soil organic matter content (1.57%) was obtained by the sheep manure treatment, with significant differences with all other manure treatments, while the lowestcontent (1.26 %) was obtained by the conventional treatment, which in turn differ significantly from cattle and poultry manure treatments (Table 3). Nutrient and mineral content of bell pepper fruits Our study indicated that, based on the collected experimental data, fruit nitrate content was very low (<200 mg/kg), for all different treatments, which was below the safe limit (Table 4). Even though the minimum value of nitrates Table 4. Bell pepper fruit contents of nitrate, Zn, and Fe as influenced by organic matter source treatments* Treatments Nitrate content(ppm) Zn content(ppm) Fe content(ppm) Conventional 51.8 a** 1.410 a 57.75 a Cattle manure 38.9 b 1.170 b 45.50 b Poultry manure 38.1 b 1.163 b 39.75 c Sheep manure 39.8 b 1.165 b 39.25 c Mixture manure 43.1 b 1.227 b 42.75 bc * Values are the mean of four replicates **: Means within each column having different letters are significantly different according to LSD at 5 % level. Table 5. Bell pepper fruit contents of Ca, Mg, P, Na and Kas influenced by organic matter source treatments* Treatments Ca Mg P Na K (mg/100 gm) (mg/100 gm) (mg/100 gm) (mg/100 gm) (mg/100 gm) Conventional 260 a** 89.25 a 394 a 26.1 a 2323 a Cattle manure 243 b 79.50 b 315 b 19.1 b 1889 bc Poultry manure 257 a 81.75 ab 362 ab 19.9 b 1820 c Sheep manure 239 b 84.50 ab 349 ab 18.1 b 1986 b Mixture manure 246 b 77.75 b 348 ab 19.6 b 1915 bc * Values are the mean of four replicates. **: Means within each column having different letters are significantly different according to LSD at 5 % level. Table 6. results of total yield per plant as influenced by organic matter source treatments* Treatments Yield/plant (kg) Yield decreased/plant (%) Conventional 1.96 a** 0.0 Cattle 1.53 c 21.94 Poultry 1.69 bc 13.78 Sheep 1.71 b 12.76 Mixture 1.61 bc 17.86 * Values are the mean of four replicates. **: Means within each column having different letters are significantly different according to LSD at 5 % level. 495ABu-ZAhrA et al., Biosci., Biotech. Res. Asia, Vol. 10(2), 489-498 (2013) content was found for organically produced bell peppers, and the maximum value for fertilized bell peppers. These results coincide with that obtained by Ionescu et al. (2010) and with Vasile et al. (2010), whom found that the lowest nitrate level was found for bell pepper (13-61 mg/kg) and (70 mg/kg) for organically and fertilized respectively. The bell pepper cultivar tested in the experiment was characterized by a high content of mineral nutrients (table 4). The highest bell pepper content of zinc and iron were obtained in the conventional treatment with significant differences between other treatments, while there were no significant differences among the organic treatments that could be attributed to the high application of chemical fertilizers. The bell pepper fruit content of Ca, Mg, Na, K and P was significantly higher in conventional treatment than all other organic treatments (Table 5); even though the highest Ca content was obtained by the conventional treatment.There was no significant difference with the poultry manure, which could be due to the high use of limestone in the chicken food mixture. Yield per plant The conventional treatment (Table 6) produced the highest average yield per plant (1.96 kg/plant) which significantly differed from all Fig. 1. Location Map of the Study Area 496 ABu-ZAhrA et al., Biosci., Biotech. Res. Asia, Vol. 10(2), 489-498 (2013) other treatments, while the lowest yield (1.53kg/ plant) was obtained from the cattle treatment. In addition, a significant difference was observed between conventional and all other organic matter treatments. Yield per plant in the present study was relatively low and varied from 1.53-1.96kg/ plant depending upon the production system, but in other study conducted by Pringle et al. (2002) and Schoppleinet al. (2002) higher yields per plant were obtained. The lowest productivity per plant in the present study could be due to losses of the Bumble Bee from an opening found in the plastichouse; which resulted in low fruit set, fruit size, weight, total yield and relatively inferiorfruit quality. On the other hand, yield decrease per plant percentage was calculated in compare to conventional treatment results, the percentage of decrease in yield per plant was ranged from 12.76 to 21.94 %, the highest decrease was obtained by the sheep manure treatment while lowest decrease was obtained by the cattle manure treatment (Table 6). CONCLUSION Conventional treatment had a significant effect on the soil ph, EC, N, P, K and Na. Nevertheless, there were no significant differences among all other organic treatments. Fruit nitrate content was very low for the all-different treatments, which was below the safe limit. Even though the minimum value of nitrates content was found for organically produced bell peppers, and the maximum value for fertilized bell peppers. A high content of micronutrients (Zn and Fe) was observed in the conventionally treated bell pepper fruit; also, the bell pepper fruit content of Ca, Mg, Na, K and P was significantly higher in conventional treatment than all other organic treatments. The highest yield per plant was obtained by the conventional treatment, while the cattle treatment decreased yield per plant by 22 % compared to the conventional treatment. ACKNOwLEDgEMENTS Special thanks to Al-Balqa Applied university for financing this study, supporting and holding all the work, much gratitude toAgriculture Engineer WafaGhnaimat for her working in the field as well as in the lab. REFERENCES 1. Abebe, G., Effect of Manure on Some Physico- chemical Properties of Calcareous Soil, Yield and Quality of Cowpea [Vigna unguiculata (L.) Walp.] under greenhouse conditions. Ms. Thesis, university of Jordan, Amman, Jordan, 2001. 2. Abu-Zahra, T. r., Shatat, F., and Al-Ismail, K., Effect of Organic and Inorganic Fertilizers on Growth, Flowering and Yield of Strawberry (Fragaria X Ananassa Duch) Grown under Greenhouse Conditions in the Jordan Valley. Journal of Agriculture, Science and Technology. 2007; 9(1). (ISSN: 1561-7645). 3. Ames, G. K. and G. Kuepper, Overview of Organic Fruit Production. NCAT agriculture specialists, ATTRA. urL: http://attra.ncat.org/ attra-pub/PDF/fruitover.pdf, 2000. 4. Appireddy GK, Saha S, Mina BL, Kundu S, Selvakumar G, Gupta hS., Effect of organic manures and integrated nutrient management on yield potential of bell pepper (Capsicum annuum) Varieties and on Soil Properties.Archives of Agronomy and Soil Science 2008; 54(2): 127- 137. 5. Bremner JM, Mulvaney CS. Nitrogen-total methods of soil analysis, part 2, chemical and microbiological properties.( 2ndEdn).American Society of Agronomy, Inc., Publisher, Madison, Wisconsin, uSA, 1982. 6. Brown, J. r., Christy, M., and Smith, G. S., Nitrate in soils and plants. Missouri university Extension. retrieved May 4th, 2005, from: http:// muextension.missouri.edu/xplor/agguides/ agchem/g09804.htm, 1993. 7. Dahama AK., Organic farming for sustainable agriculture. rajasthan Agricultural university, Bikaner. Second Enlarged Edition. Agrobios India, 2005. 8. Doll h., Phenolic compounds in barley varieties with different degree of partial resistance against powdery mildew. ActaHorticulturae 1994; 381: 576-582. 9. Efthimiadou A, Bilalis D, Karkanis A, Froud BW, Eleftherochorinos I., Effects of cultural system (Organic and Conventional) on growth, photosynthesis and yield components of sweet Corn (Zea mays L.) under semi-arid environment. Not. Bot. Hort. Agrobot. Cluj. 2009; 37(2): 104- 111. 10. Evanduir AN., Bell pepper yield fertilized with cattle manure and bio-fertilizer.Rev. Bras. Eng. Agr. Ambient 2007; 11(5): 466-470. 497ABu-ZAhrA et al., Biosci., Biotech. Res. Asia, Vol. 10(2), 489-498 (2013) 11. 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work_zjrgcbeimnbnhc4judpegwf524	----	The Political Misuse of Psychiatry: An African-Caribbean Perspective Frederick W. Hickling, DM J Am Acad Psychiatry Law 30:112–19, 2002 Capitalist democracy in the West is predicated on the belief that Western European democracy is the only correct and just form, and that Western civilization represents the highest form of human social develop- ment. This belief is driven by a conviction that high- lights the individual’s “right to freedom.” This con- cept of liberty originates in the Western overvalued idea that all goods and services that exist can be bought and sold— can be individually owned. Thus, any social formation that posits an alternate concept of “freedom” based on a set of social propositions would be seen by Western ideologues as incorrect, immoral, and lacking in legitimacy. The Western ideologues enlist professional custodians of their ide- ology to attack and discredit all the legal and defini- tional principles of the opposing ideology. The Western ideologues see no contradiction in their own abuse of individual freedoms within the disci- plines of criminology and psychiatry if these acts of political misuse and abuse are perpetrated against individuals or racial groups who are outside their own preferred purview. The Munro Doctrine The recent mobilization of psychiatric opinion within the West against the alleged political abuse of forensic psychiatry in China represents the latest wave of the systematic attack by the Western world against ideologically antithetical societies. The recent publication by Robin Munro1 joins several erudite studies2,3 in the attack against communist ortho- doxy, using the weapon of political misuse of forensic psychiatry as the ideological ordinance. Munro opines: . . .The general assumption has therefore been that the Chinese authorities, despite their poor record in many other areas of human rights concern, have never engaged in the political mis- use of psychiatry. This article seeks to challenge and correct that assumption. . . . The present article is an attempt to reconstruct the shadowy history of the political misuse of forensic psychiatry in the People’s Republic of China—its antecedents and influ- ences, general nature, and overall scope and extent—and also to assess the degree to which it remains a problem in China today (Ref. 1, pp 4, 7). Munro concludes: This study. . .is one that amounts, however, to a clear and un- mistakable prima facie case showing the longstanding and con- tinuing existence of political psychiatric abuse in China (Ref. 1, p 9). Munro identifies three main themes in his article. The first is an overview of the origins and develop- ment of Chinese forensic psychiatry. The second is the judicial and legislative framework governing the practice of forensic psychiatry in China and the ques- tion of China’s expansive definition of the key legal determinant of involuntary psychiatric committal— namely, “social dangerousness.” The third is a survey of the professional legal-medical literature from China. Munro uses several Western (European) au- thorities to justify and bolster his ideological asser- tions, analyses, and conclusions. Strongly repre- sented in his armamentarium are authorities used in the decade of the 1980s to attack and to condemn the Soviet Union for their alleged abuse of forensic psy- chiatry, in the West’s determined obsession to crush world communism and to obliterate any opposition to Western ideological hegemony. One such author- ity cited was Russian psychiatrist Semyon Gluzman4 Dr. Hickling is Professor of Psychiatry, Section of Psychiatry, Depart- ment of Community Health and Psychiatry, University of the West Indies, Kingston, Jamaica, West Indies. Address correspondence to: Frederick W. Hickling, DM, Professor of Psychiatry, Section of Psy- chiatry, Department of Community Health and Psychiatry, Univer- sity of the West Indies, Mona, Kingston 7, Jamaica, WI. E-mail: fhicklng@uwimona.edu.jm 112 The Journal of the American Academy of Psychiatry and the Law A N A L Y S I S A N D C O M M E N T A R Y who suggested three methods of collecting evidence and analyzing a society for the political misuse of psychiatry. These included the personal objective ex- amination of suspected cases, the systematic study of psychiatric theory in the country under consider- ation, and a “content analysis” of an enormous num- ber of psychiatric publications from the country be- ing studied. An African-Caribbean Perspective In an attempt to clarify the nature of the ideolog- ical conflicts contributing to the barrage of political psychiatric artillery in the context of the world psy- chiatric community, Hickling5 has suggested that a dialectic understanding is often omitted or obscured in Western teaching, often leading to misunder- standings and erroneous conclusions. He discusses psychiatric abuse by the English colonizers on the Caribbean island of Jamaica. Hickling concludes that a transformatory process is taking place around the world in an attempt by people to rid themselves of the social and psychological oppression of militar- ily imposed Western civilization of the past five centuries. The purpose of the present article is to use the methodology of Munro’s doctrine to examine the political misuse and abuse of forensic psychiatry by Europeans. The thesis advanced is that Europeans have systematically attempted to conquer the world and to suppress and enslave people of color world- wide, to exploit the human and natural resources of the world for the maintenance of European concepts of freedom. The Inquisition The Roman Church and the major European powers identified the crime of heresy in the early Middle Ages. Heresy was defined as a deliberate de- nial of the truth of the Catholic faith and a public obstinate persistence in that alleged error. Pope Gregory IX instituted the papal inquisition in 1231 for the apprehension and trial of heretics. The In- quisitors did not wait for complaints, but sought out persons of heresy and included witches, diviners, blasphemers, and other sacrilegious persons. The major punishment included burning at the stake. A second variety of the Inquisition was the infamous Spanish Inquisition, authorized by Pope Sixtus IV in 1478. Principally, King Ferdinand V and Queen Isa- bella fueled this Inquisition. Headed by Tomas de Torquemeda during its early years, the inquisition set out to purge Spain of Moors (black people), Jews, and “Conversos” (Jewish converts to Christianity). Its preferred methods included torture and ritual burning at the stake and peaked with the expulsion of the Moors and the Jews in 1492. The Spanish Inqui- sition survived into the 19th century and was perma- nently suppressed by a decree on July 15, 1834. A third variety of the Inquisition was the Roman In- quisition. Established by Pope Paul III in 1542, it was concerned with orthodoxy of a more academic nature. Cardinal Carafa became Pope Paul IV in 1555, and his pursuit did not exclude bishops or cardinals of the Church. The Roman Inquisition produced the first Index of Forbidden Books, which was created in 1559 and was responsible for Galileo’s being put on trial.6 The Salem Witch Hunt New World America boasts its own long and checkered history of political bigotry and abuse. Linder7 describes the events in Salem, Massachu- setts, in 1692, when 19 men and women were con- victed of witchcraft and hanged on Gallows Hill. Another man, aged more than 80 years, was pressed to death under heavy stones for refusing to submit to a trial on witchcraft charges. Hundreds faced accusa- tions of witchcraft, and dozens languished in jail for months without trial. Not surprisingly, this particu- lar wave of political bigotry and malevolence was triggered initially against the black slave woman Ti- tuba, who had been acquired in Barbados by white planter and merchant, Samuel Parris. The transcript of Tituba’s inquisition deserves careful reading.8 In the 1950s, Wisconsin Senator Joseph Mc- Carthy created the modern American version of the Spanish Inquisition. Government workers, college professors, playwrights and Hollywood screen- writers, actors, artists, musicians, gays, and Jews were suspect.9 Just knowing the wrong person destroyed the careers of many people. McCarthyism, and the American Red Scare, spanned a period from the late 1940s to the mid-1960s when United States citizens were routinely persecuted because they were sus- pected of being insufficiently patriotic in the struggle against communism and, in particular, against the Soviet Union.10 The persecution took various forms, Hickling 113Volume 30, Number 1, 2002 from imprisonment to the purging and blacklisting of untold thousands.11 Europe and the New World The European encounter with the New World began as an accident, with Christopher Columbus endeavoring to find a passageway to the Far East. Instead of finding that pathway, he encountered mil- lions and millions of human beings, unknown to the European world, who inhabited North and South America and the Caribbean. The dialectic perception of this discovery by the Europeans is strongly con- tested by the perceptions of the indigenous Carib- bean and American people who regarded the Euro- pean “discovery” much more as an intrusion and, in reality, an invasion of their personal, social, and geo- graphic space by marauding white pirates.12 The early 16th century writings of the Spanish monk Las Casas13 identify the dialectic processes involved in this period. The Europeans were particularly inter- ested in plunder and the exploitation of the human, mineral, and other treasures of the lands that they had found. The principal insight is the recognition of the Eurocentric concept of white supremacy. This concept posited European ownership of the world and the people and resources therein by divine right. Essential to this perception was that people of color, indigenous inhabitants of the rest of the world, were subhuman, only slightly superior to domestic animals. Clearly, these ideas of owning the land and the people of the world were not consonant with the belief systems of almost every culture in the world, with the exception of the European culture. By the systematic eradication of all opposition of the indig- enous people by mindless and ferocious genocide, the European was able to colonize much of the world. Las Casas describes the voracious genocide that the Spanish Europeans perpetrated on the native Taino and Carib Indians of the Caribbean. Millions of people were wiped out, not only by disease brought to the New World by the Spaniards, but also by a systematic genocidal destruction of these people who were hunted down by bounty hunters paid by the state. The Spanish were excited by the prospect of gold and other mineral riches to be found in the New World. By the middle of the 17th century, the Taino Indians in the Caribbean had been virtually deci- mated. Thornton14 estimates that there were 72 mil- lion native people in the Western Hemisphere but that they were reduced to less than six percent of that number, slightly more than 4 million people, in the following two centuries. Racism as Political Misuse of Psychiatry The suffering and mental illness of the enslaved African people at that time was untold and must have been horrendous. Slaves who had physical and men- tal disabilities would no doubt have been swiftly ex- ecuted and exterminated by the European slave own- ers and slave masters, leaving the perception that mental illness was something that was not known in African people. This erroneous idea was clearly ex- pressed by Holliday15 in his writings in 1824, in which he declared that mental illness was rare in the slaves of the West Indies, in the heathens and pagans of Africa, and in Welsh and Irish peasants. Suicide by hanging and by dirt-eating at an individual and at a group level was common among slaves on their way from Africa and within the Caribbean plantation sys- tem. But the horrors of the African experience in the New World did nothing to diminish the African cunning for survival, wisdom for regeneration, and reinvention of self, penchant for adaptation, and courage to resist the racist crime against humanity that was African enslavement. Carew12 concludes that the birth of modern racism began with the inva- sion of the New World by King Ferdinand V and Queen Isabella. The perspective of this article demands that a clear understanding of contemporary world mental health issues can be gained only from knowledge of the effect of the domination of European colonialism on the rest of the world in the second half of the past millennium. From the end of the 15th century, Eu- ropean nation-states were involved in violent wars with each other for hegemonic control of the rest of the world. These struggles have dominated the tap- estry of world history since the opening up of the Americas and Asia to Europe by Christopher Colum- bus and Vasco da Gama. The European urge to own and dominate the people and property of the rest of the world attained obsessional intensity. Much of the time and resources of the world for the second half of the past millennium were devoted to the irrational European desire to own the world. Misuse of Psychiatry: African-Caribbean Perspective 114 The Journal of the American Academy of Psychiatry and the Law The Origin of Compulsory Detention of the Mentally Ill In section VII, “The matrix of theory and prac- tice. . . ,” Munro addresses the issues of compulsory detention and dangerousness. He states: Under international legal and medical standards, a number of key principles are held to be paramount in the field of psychia- try. . . . Compulsory hospitalization is, in most cases, only jus- tified where the patient’s mental state poses a direct danger, usually physical, either to his own health and safety, or to that of others. . .(Ref. 1, p 79). There is always a need to question the concept “international” when encountered in writings. Usu- ally, in this context, it refers to the Western European episteme. The concept of compulsory detention of patients with acute mental illness is a product of modern European civilization,16 first making its ap- pearance in mental health legislation in Europe, the United States, and their colonies in the 19th century. European colonialism has established the shape of much of the world as we know it today. In the au- thor’s view, compulsory detention was initially linked with the power of arrest by the police for lunacy. The custodial phase of world psychiatry be- gan with the “asylumization” of the globe by the European colonial political epoch. Scull17 indicates that before the 19th century: . . .The overwhelming majority of insane people were still to be found at large in the community. . .but by the mid-nineteenth century the mentally ill found themselves incarcerated in a spe- cialized, bureaucratically organized, state-supported asylum sys- tem which isolated them both physically and symbolically from the larger society. . .(Ref. 17, p 1). Scull suggests that the early mad doctors and psychi- atry were primarily involved in maintaining hege- monic control of persons who have mental illness, mainly through asylumization. Jones,18 in disagree- ment with Scull, suggests that a very different frame of reference existed between the legal and medical profession with regard to mental illness, with doctors concerned mainly with care of persons who have mental illness and lawyers mainly with the issue of liberty of the subject. It is clear, however, from her detailed description of the legal statutes that have governed madness in Britain from the early 18th cen- tury, that British legislation until the mid-20th cen- tury was concerned primarily with custodialization and compulsory detention for people deemed to be insane. The history of compulsory detention and mental health legislation in the United States has been essentially the same as the British experience. The evidence from the island of Jamaica in its period of British colonialism is identical.19 Cochrane and Sashidharan20 identify psychiatry as a unique medical specialty, with psychiatrists hav- ing the ability to detain and treat people against their will on the basis that they have an “illness” requiring treatment. They also indicate that forensic psychiatry is predicated on people’s behavior that is often evi- denced by second-hand accounts, and conclusions are often made about emotional and cognitive states that are not based on scientific evidence. They sug- gest that the power vested in psychiatrists under the United Kingdom Mental Health Act (1983)21 ex- ceed even those of police officers and anyone else in British society. The whole concept of “dangerousness” within the Western European world takes on new meaning when applied to black people and other people of color. Human Rights Watch (2001) points out that in 2001, the total number of people in U.S. prisons and jails will surpass 2 million.22 This represents nearly one percent of the population of that country. Of these, more than one half are black and nearly one fifth are Hispanic. The state and federal prison pop- ulation has quadrupled since 1980, and the rate of incarceration relative to the nation’s population has risen from 139 per 100,000 residents to 468.23 If these incarceration rates persist, an estimated 1 in 20 of U.S. children today will serve time in a state or federal prison during their lifetimes.24 There is a considerable range in prison incarcera- tion rates among U.S. states. Minnesota has the low- est rate, 121 prisoners per 100,000 residents, and Louisiana the highest, 763 per 100,000. Seven of the 10 states with the highest incarceration rates are in the South.23 Almost every state has a prison incarcer- ation rate that greatly exceeds those of other Western democracies. The number of prisoners per 100,000 inhabitants varies worldwide, from about 20 in In- donesia to about 685 in Russia. In Western Europe, the rate ranges from 35 in Cyprus to 145 in Portu- gal.25 The District of Columbia, an entirely urban jurisdiction, has a rate of 1,600 per 100,000. Inter- national rates of incarceration include prisoners awaiting sentences as well as all sentenced prisoners, whereas state prisons in the United States confine only convicted prisoners with sentences of more than Hickling 115Volume 30, Number 1, 2002 one year. Therefore, the actual difference between foreign and U.S. rates of incarceration is even greater than suggested. Abuse of Forensic Psychiatry in the United States Ndegwa26 noted that the U.S. does not have a well-developed forensic psychiatric service: . . .There is no forensic psychiatry service equivalent to the sys- tems in Western Europe and [it] has no uniform standards for caring for prisoners with psychiatric problems across the various prison systems and states. Money still dictates the quality of legal representation and the psychiatric assessment a defendant gets. There are large numbers of prisoners with mental health problems who receive no psychiatric treatment and who have no access to care of the quality offered (for example) by the British National Health Service27,28. . .(Ref. 26, p 99). Freedman asserts: . . .concern has been primarily focused on the political abuse of psychiatry in regards to dissidents in the former Soviet Union. While not diminishing in the slightest the importance of pub- licizing and opposing this misuse of psychiatry, too little atten- tion has been paid to the abuse of psychiatry in the United States and Canada. It is much easier to be outraged by events at a distance than to look at one’s own defects (Ref. 29, p 76). John Gunn,30 a British professor of forensic psy- chiatry, suggests that the worst abuse of psychiatry in the United States is its involvement with the death penalty. He concludes that the United States should not be immune from international professional pres- sure to change its practice of being involved in the assessment of competency for prisoners to be exe- cuted and for treating people to make them compe- tent to be executed. Abuse of Forensic Psychiatry in the United Kingdom Browne, in Department of Health and Home Of- fice documents,31,32 indicates that the criminal jus- tice system is really a criminal injustice system for African Caribbeans in the United Kingdom. African Caribbeans are more likely to be subject to stop-and- search procedures by the police, more likely to be arrested on suspicion of crime, more likely to be re- manded in custody, less likely to receive bail, more likely to be assessed as mentally ill, and more likely to be charged rather than cautioned. Many more Afri- can-Caribbean people are likely to be given a custo- dial sentence, when compared with the white population. In a recent review, Fernando (Ref. 33, pp 67– 80) identifies the progressive hardening of the diagnosis of “psychosis” in African Caribbeans by white psy- chiatrists in England and the automatic escalation from this labeling to the concept of dangerousness. He describes the construction of psychosis in blacks by European psychiatry as originating in the percep- tion of the person as “alien, undesirable, or dis- turbed,” to feelings of being “alienated, unwanted and angry,” to subsequently being diagnosed as “bi- zarre, aggressive and psychotic.” Fernando likens the process to the dynamic that led some U.S. psychiatrists in the 19th century to diagnose black slaves as having “draeptomania”—the disease causing slaves to run away (Ref. 34, p 318) and “Drysaethesia Aethiopis” in which slaves “break, waste and destroy everything they handle. . .and gen- erally refuse to work” (Ref. 34, p 321). He points out that European thinking has historically developed images of black people as dangerous people and that this has found its way into the lexicon of psychiatry as the “risk assessment.” The clinical experience of this author in the United Kingdom mirrors the thinking of Fernando and his colleagues. The following case study illus- trates the point, but goes further in showing that in the absence of culturally specific assessment and ther- apy, gross misinterpretations and misjudgments can be made with disastrous, unfair consequences for the patient. Case Study 1 A 36-year-old African-Caribbean man had a six- year history of attending mental health outpatient services. In those six years, the white mental health personnel who saw him all concluded that he did not have a psychotic illness. When first seen in the clinic by this author, he was adjudged to have paranoid schizophrenia, but he refused to accept the diagnosis and refused to comply with prescribed medication. Two months after being seen by this author, he was admitted by the emergency team under the Mental Health Act of 1983 § 3.21 He had been accused by his 16-year-old son of trying to kill him with an ax. The police, when searching his flat, found two knives and a sharpened ax. While in the hospital under the care of this author, he agreed to take neuroleptic medica- Misuse of Psychiatry: African-Caribbean Perspective 116 The Journal of the American Academy of Psychiatry and the Law tion, and although his clinical symptoms abated after a few weeks of treatment, he refused to admit that he had attacked his son as had been described. Based on the circumstantial evidence and his refusal to discuss what had transpired between himself and his son, both the assessing white forensic psychiatrist and the white nursing staff were building a case that he should be kept in restrictive custody for further “risk assessment” and treatment. At a culturally appropri- ate therapy session conducted by the author, at which his mother and sister were both present, it became clear that his family were not at all sure that he had indeed attacked his son, presenting conflicting infor- mation that his son had fabricated the story to the police in an attempt to get back at his father for exercising parental authority forbidding him to have sexual intercourse with his 14-year-old girlfriend in the paternal home. The United Kingdom does not require immediate court hearings for commitment after an initial emer- gency commitment by the clinician, and the evi- dence of dangerousness does not have to be proved in a court of law, although the law does provide review tribunals some considerable period after the commit- ment has taken place. In this author’s experience, such review tribunals often work against black people in the United Kingdom, where appropriate cultural psychotherapy is not available and where the “knee- jerk” prejudice of dangerousness in black people held by some white adjudicators often assures that black people can be incarcerated for a very long time for unproven acts of dangerousness. This author’s expe- rience with the forensic system in the United King- dom has demonstrated how quickly and how easily black men in particular are liable to incarceration for indefinite periods for relatively simple “crimes” or for crimes that are circumstantially linked and often are not afforded any appropriate system of cultural as- sessment or justice. Both black and white people would prefer to face the criminal justice system and to go to prison for a finite sentence, rather than face the indefinite detention of the forensic psychiatric service. The following case study illustrates the point. Case Study 2 A 26-year-old African-Caribbean man was admit- ted to a medium-security forensic psychiatric hospi- tal in the United Kingdom in 2001. A few weeks before this, he has been charged with assault and held on remand in a maximum-security prison. He had been given a diagnosis of bipolar affective disorder several years earlier and had a history of Cannabis abuse. His mental health deteriorated while in prison, and he was subsequently transferred to the forensic psychiatric unit under the Mental Health Act of 1983 § 48/49,21 which allows for the transfer of mentally ill persons on remand who are in urgent need of hospital treatment. On at least four occasions in the past he had been compulsorily admitted to general psychiatric hospitals for treatment (Mental Health Act of 1983 § 3). During those admissions he frequently complained to staff about what he saw as the injustice of a system that allowed for his forcible admission and treatment for long periods before a mental health tribunal could review him. After ad- mission to the forensic psychiatric unit, he became uncooperative and aggressive toward staff. On Day 2 of admission he smashed through three security doors. While destroying the fourth (and final) barrier to his freedom, the police, who had been summoned by hospital staff, apprehended him. He went will- ingly to the police lock-up and was transferred within a few days back to the maximum-security prison. There, he accepted psychiatric treatment and after a few weeks exhibited no signs of mental illness. He told prison officers that his “attempted escape” from the hospital was planned to force his return to prison. He preferred to face a specified sentence in prison from the court rather than to be “sectioned” and held indefinitely in a forensic psychiatric unit. He be- lieved that as an African-Caribbean man, the odds were stacked against him more in the hospital than in the prison. He based this on his own experiences with the system. The current pattern of service delivery to the black population in the United Kingdom and the wide range of mental health problems and criminality in this ethnic minority provide the starting point for strategic intervention. Black people are overrepre- sented in the U.K. prison population. There were 8,300 males from minority ethnic groups in prison in England and Wales in 1995. Members of ethnic mi- nority groups comprise 17 percent of male prisoners in England and Wales but only 6 percent of the gen- eral male population. The rate of imprisonment of blacks was 1,048 per 100,000, compared with 134 per 100,000 for whites. Fifty-one percent of blacks over the age of 21 were serving sentences of more Hickling 117Volume 30, Number 1, 2002 than four years, compared with 35 percent of whites.35 The forensic psychiatric services have come in for significantly damning criticism.33 Wilson concludes: . . .The underlying ethos of public policy in relation to mentally disordered offenders is to go for the quick fix. “Dangerous” black men can/must be incarcerated in prison or psychiatric institutions. . . . How black people are dealt with in the forensic psychiatric system or in the criminal justice system or in psychi- atric institutions in general, cannot legitimately be separated from how they are dealt with in terms of their place in society generally. . .(Ref. 36, p 201). It is this author’s view that the treatment meted out to the man in Case Study 2 by the British forensic system amounts to cruel and inhumane treatment and qualifies him to be seen as a political prisoner. It has been argued (Ref. 5, p 91) that although the World Psychiatric Association (WPA) has spear- headed attacks on the use of psychiatric treatment practices by the then Soviet Union to control politi- cal dissidents, it has been oblivious to similar prac- tices used in both Britain and the United States. Western Civilization Versus the Remainder of the World Since the demise of the Soviet Union in the late 1980s, the galloping wave of professional psychiatric interest and attack on the political misuse of psychi- atry in that country has been reduced to little more than a trot. No doubt many of the denounced psy- chiatric practices in the countries of the previous So- viet Union still exist today. However, the microscope of the psychiatric ideologues of the West has little interest in the new Russia and the surrounding terri- tories and is now focused squarely on China, with the political motive unmistakable. Western ideologues will stop at nothing in the preservation of their ideas of democracy and freedom. On whom will the mi- croscope focus in this post-September 11 period? In an emotional address to the U.S. Congress on Sep- tember 20, President Bush asked, “Why do they hate us? They hate our freedoms— our freedom of reli- gion, our freedom of speech, our freedom to vote and assemble and disagree with each other.” In an eloquent riposte in The Guardian of Septem- ber 29, 2001, Arundhati Roy solved the conundrum precisely: Could it be that the stygian anger that led to the attacks has its taproot not in American freedom and democracy, but in the U.S. government’s record of commitment and support to ex- actly the opposite things—to military and economic terrorism, insurgency, military dictatorship, religious bigotry and unimag- inable genocide (outside America)? What exactly is being avenged here? Is it the tragic loss of almost 7,000 lives. . .or is it more than that? In 1996, Madeleine Albright, then the U.S. secretary of state, was asked on national television what she felt about the fact that 500,000 Iraqi children had died as a result of U.S. economic sanctions. She replied that it was “a very hard choice,” but that, all things considered, “we think the price is worth it. . . .” So here we have it. The equivocating distinction between civilization and savagery, between the “massacre of innocent people” or, if you like, “a clash of civilizations” and “collateral damage.” The sophistry and fastidious algebra of infinite justice. How many dead Iraqis will it take to make the world a better place? How many dead Afghans for every dead American? How many dead women and children for every dead man? How many dead mojahedin for each dead investment banker?37 The author5 has already made the case that societ- ies use psychiatry for the maintenance of cultural and ideological integrity. Within the context of Septem- ber 11, all psychiatry is political psychiatry! Political abuse of psychiatry will be judged in Western societ- ies on the basis of whether the “alleged abuse” is “with us, or against us”! The evidence points to the conclusion that in Western “civilization,” if psychia- try is used to control slaves, blacks, criminals, and/or terrorists, it will be overlooked, accepted, perhaps even condoned! If psychiatry is used to support, up- hold, or buttress ideologies or societies opposed to this Western ideal of freedom and democracy, then it will be dubbed “abuse” and vilified. References 1. Munro R: Judicial psychiatry in China and its political abuses. Colum J Asian Law 14:1–128, 2000 2. Bloch S, Reddway P. Russia’s Political Hospitals: The Abuse of Psychiatry in the Soviet Union. London: Victor Gollancz, 1977 3. Van Voren R: Soviet Psychiatric Abuse in the Gorbachev Era. Amsterdam: International Association on the Political Use of Psy- chiatry, 1989 4. Gluzman S: On Soviet Totalitarian Psychiatry. Amsterdam: In- ternational Association on the Political Use of Psychiatry, 1989 5. Hickling FW: Politics in the psychotherapeutic context, in Clin- ical Practices in Cross Cultural Mental Health. Edited by Comas- Diaz L, Griffith EEH. New York: John Wiley & Sons, 1988, pp 90 –111 6. Historical overview of the inquisition. http://es.rice.edu/ES/ humsoc/Galileo/Student_Work/Trial96/loftis/overview.html 7. Lidner D: An Account of Events in Salem. http.//www.law. umkc.edu/faculty/projects/ftrials/salem/sal_acct.htm 8. Lidner D: Tituba. http.//www.law.umkc.edu/faculty/projects/ ftrials/salem/asa_tit.htm 9. Theoharis A: Seeds of Repression: Harry S. Truman and the Or- igins of McCarthyism. Chicago: Quadrangle Books, 1971 Misuse of Psychiatry: African-Caribbean Perspective 118 The Journal of the American Academy of Psychiatry and the Law 10. O’Brien M: McCarthy and McCarthyism in Wisconsin. Colum- bia, MO: University of Missouri Press, 1980 11. Fried A: McCarthyism, The Great American Red Scare. A Doc- umentary History. New York: Oxford University Press, 1997 12. Carew J: The Rape of Paradise. Columbus and the Birth of Racism in the Americas. Brooklyn, NY: A & B Publishers, 1994 13. Collard AM: The History of the Indies by Bartolome de Las Casas. Translated in sections and edited by Collard AM. New York: Harper and Row, 1971 14. Thornton R: Rethinking Columbus. Rethinking Schools Special Edition. Milwaukee, WI: Rethinking Schools, Ltd., 1991 15. Holliday A: A general view of the present state of lunatics and lunatic asylums in Great Britain, Ireland and some other king- doms. London: Thomas and George Underwood, 1828 16. Scull AT: Museums of Madness: Social Organization of Insanity in Nineteenth Century Britain. Middlesex, UK: Penguin Books, 1979 17. Scull AT: The Most Solitary of Afflictions: Madness and Society in Britain, 1700 –1900. New Haven, CT: Yale University Press, 1993 18. Jones K: Law and mental health: sticks or carrots, in 150 Years of British Psychiatry. Edited by Berrios GE, Freeman H. London: Gaskell, The Royal College of Psychiatrists, 1991 19. Hickling FW: An Analysis of the 1873 Mental Hospital Law in Jamaica and its effect on mental treatment facilities. Jamaica Law J, October 1975, pp 64 –9 20. Cochrane R, Sashidharan S: Mental health and ethnic minorities: review of literature and implications for services, in CRD Report 5, Ethnicity and Health: Reviews of Literature and Guidance for Purchasers in the Areas of Cardiovascular Disease, Mental Health and Haemoglobinopathies. York, UK: National Health Service Centre for Reviews and Dissemination, University of York, 1996, pp 105–26 21. Jones RM: The Mental Health Act Manual (ed 5). London: Sweet and Maxwell, 1996 22. Beck AJ: Prison and Jail Inmates at Midyear 1999. Washington, DC: Bureau of Justice Statistics, U.S. Department of Justice, NCJ 181643, April 2000 23. Maguire K, Pastore AL: 1998 Sourcebook of Criminal Justice Statistics. Washington, DC: Bureau of Justice Statistics, U.S. De- partment of Justice, NCJ 176356, 1999 (Table 6, pp 36, 37) 24. Bonczar TP, Beck AJ: Lifetime Likelihood of Going to State or Federal Prison. Washington, DC: Bureau of Justice Statistics, U.S. Department of Justice, NCJ 160092, March 1997 25. Kuhn A: Incarceration rates across the world. Overcrowded Times, April 1999, p 1 26. Ndgewa D: Race and crime, in Forensic Psychiatry, Race and Culture. Edited by Fernando S, Ndgewa D, Wilson M. London: Routledge, 1998, pp 93–106 27. Beck JC: Forensic psychiatry in the USA and UK: a clinician’s view. Criminal Behav Ment Health 6:11–28, 1996 28. Brakel SJ, Cavenaugh JL: Law and psychiatry in the USA and UK: another perspective. Criminal Behav Ment Health 6:28 – 40, 1996 29. Freedman AM: Political abuse in North America, in Principles and Practice of Forensic Psychiatry. Edited by Rosner R. London: Oxford University Press, 1998, pp 76 – 82 30. Gunn J: Commentary: comparative forensic psychiatry USA vs. UK. Criminal Behav Ment Health 6:45–9, 1996 31. Browne D: Black People, Mental Health and the Courts. London: National Association for the Care and Resettlement of Offenders, 1990 32. Department of Health, and Home Office: Review of Health and Social Services for Mentally Disordered Offenders and Others Requiring Similar Services. Final Summary Report. London: HMSO, 1992, Cm 2088 33. Fernando S: Anger, criminality and dangerousness, in Forensic Psychiatry, Race and Culture. Edited by Fernando S, Ndgewa D, Wilson M. London: Routledge, 1998, pp 67–79 34. Cartwright SA: Report on the diseases and physical peculiarities of the negro race. New Orleans Medical and Surgical Journal, May 1851. Reprinted in Concepts of Health and Disease. Edited by Caplan AC, Engelhardt HT, McCartney JJ. Reading, MA: Addi- son-Wesley, 1981 35. Protecting the Public: The Government’s Strategy on Crime in England and Wales. White Paper. London: Home Office, 1996, Cm 3190 36. Wilson M: Expectations and experiences, in Forensic Psychiatry, Race and Culture. Edited by Fernando S, Ndgewa D, Wilson M. London: Routledge, 1998, pp 179 –201 37. Roy A: The algebra of infinite justice. The Guardian. September 29, 2001 Hickling 119Volume 30, Number 1, 2002 
work_zjwob5rdbfglnaprhr5te45g2e	----	08_Mouchtouri.p65 www.intmarhealth.pl 241 Int Marit Health 2010; 61, 4: 241–245 w w w . i n t m a r h e a l t h . p l Copyright © 2010 Via Medica ISSN 1641–9251O R I G I N A L P A P E R � Christos Hadjichristodoulou PhD, Department of Hygiene and Epidemiology, Faculty of Medicine, University of Thessaly, 22 Papakiriazi Str., Larissa, 41222, Greece; Phone: 0030 2410 565259, 0030 6932264685, Fax: 0030 2410 565259, e-mail: xhatzi@med.uth.gr The decision making process for public health measures related to passenger ships: the example of the influenza pandemic of 2009 V.A. Mouchtouri1 , C.L.R. Bartlett2, Bogdan Jaremin3, G. Nichols4, T. Paux5, T. Riemer6, N. Black7, C. Varela-Martinez8, C.M. Swaan9, C. Schlaich4, G. Rachiotis1, J. Kremastinou10, C. Hadjichristodoulou1, from the SHIPSAN TRAINET project 1Department of Hygiene and Epidemiology, Faculty of Medicine, University of Thessaly, Larissa, Greece 2University College London, Centre for Infectious Disease Epidemiology, Department of Primary Care and Population Sciences, Royal Free and University College Medical School, London, United Kingdom 3Institute of Maritime and Tropical Medicine, Medical University in Gdansk, Poland 4Health Protection Agency, Centre for Infections, London, United Kingdom 5Ministry of Health, General Directorate of Health, Department of Alert, Response and Preparedness, Paris, France 6Hamburg Port Health Centre, Institute for Occupational and Maritime Medicine, Hamburg, Germany 7Health Protection Agency, Local and Regional Services, United Kingdom 8National Centre of Epidemiology, Madrid, Spain 9National Institute of Public Health and the Environment, Bilthoven, The Netherlands 10Department of Public and Administrative Health, National School of Public Health, Athens, Greece ABSTRACT B a c k g r o u n d . B a c k g r o u n d . B a c k g r o u n d . B a c k g r o u n d . B a c k g r o u n d . Public health measures at sea ports have posed a challenge for public health competent authorities, especially in the context of the influenza pandemic of 2009. This paper discusses the response of authorities to notifications of infectious diseases on passenger ships and the importance of assessing the risks related to cases of influenza. It further provides op- tions for health measures and considerations for decision making during a pandemic such as the influenza pandemic of 2009. D i s c u s s i o n . D i s c u s s i o n . D i s c u s s i o n . D i s c u s s i o n . D i s c u s s i o n . Prevention and control of influenza have included action taken by both competent port authorities and ships’ crews. Assessing the public health risk of each event reported from ships to competent authorities at ports is important before advice is given on implementation of control measures. Public health risk assessment involves appraisal of threats to passengers and crew on board the ship as well as to the population in the community. S u m m a rS u m m a rS u m m a rS u m m a rS u m m a ryyyyy. . . . . Any public health measures taken should be necessary and proportional to the threat. Measures at ports cannot alone be effective in the prevention of the spread of a disease to the community since other means of transport play a major role. Measures taken on board ships can be effective in containing the disease. Consistent policy based on common protocols and carried out by competent authorities at local, national, European, or international levels are essential. (Int Marit Health 2010; 61; 4: 241–245) Key words: borders, port, passenger ship, international health regulations, healthKey words: borders, port, passenger ship, international health regulations, healthKey words: borders, port, passenger ship, international health regulations, healthKey words: borders, port, passenger ship, international health regulations, healthKey words: borders, port, passenger ship, international health regulations, health m e a s u r e s , i s o l a t i o n , p a n d e m i c , i n f l u e n z am e a s u r e s , i s o l a t i o n , p a n d e m i c , i n f l u e n z am e a s u r e s , i s o l a t i o n , p a n d e m i c , i n f l u e n z am e a s u r e s , i s o l a t i o n , p a n d e m i c , i n f l u e n z am e a s u r e s , i s o l a t i o n , p a n d e m i c , i n f l u e n z a Int Marit Health 2010; 61, 4: 189–272 www.intmarhealth.pl242 INTRODUCTION The implementation of public health measures at sea ports has posed a challenge for public health authorities in Europe, especially during the influen- za pandemic of 2009. During 2008, the cruise in- dustry carried an estimated 13.05 million passen- gers on cruises around the world [1]. In 2007, there were about 410 million cruise and ferry passenger visits to European Union ports [2]. Before arriving at ports, ships on international voyages are required to declare infectious diseases on board, according to the International Health Regulations of 2005 [3]. This paper discusses the response of competent authori- ties to such notifications and the importance of as- sessing the risks related to cases of influenza aboard passenger ships. Furthermore, it presents options for health measures and considerations for decision- -making during pandemics such as the influenza pandemic of 2009. There is good guidance available to ships’ companies, medical officers and masters [4–7]. However, little has been published that exa- mines the role of competent authorities at ports that are responsible for the implementation and applica- tion of public health measures on ships. DISCUSSION RISKS RELATED TO CASES OF INFLUENZA It is important to assess the actual public health risk posed by cases of an infectious disease on board passenger ships. Any decision on public health in- terventions by competent authorities should be ap- propriate to the risks posed by the infectious agent and the event. Risk assessment procedures should be based on scientific evidence related to the ha- zard, the impact of the hazard, and the likelihood of occurrence. Important factors that can be used for risk assessment include the characteristics of the infectious agent such as pathogenicity and virulence (hospitalization rate, case fatality rate, etc.), modes of transmission, immunity of the travelling popula- tion, and risk groups. Incidence of the disease and geographical distribution, based on information pro- vided by local, national, European, or international organizations and agencies such as ECDC and WHO, can be also taken into consideration in the risk as- sessment process. Continuous monitoring of the pan- demic is important in order to identify changes in disease severity and to implement appropriate health measures. The WHO, CDC, and the European Centre for Disease Prevention and Control regularly provi- ded pandemic risk assessments for Europe [8]. RISKS FOR PASSENGERS AND CREW ON BOARD In the event of an influenza-like illness on board a passenger ship, the main threat is related to the passengers and crew who are at higher risk of deve- loping complications from influenza and in whom the disease might be life threatening. Outbreaks of seasonal influenza have occurred aboard passenger ships in recent years [9–11] with attack rates of up to 37% [12]. If a large number of crewmembers fall ill and are unable to perform their duties, the safety of sailing might be affected. In ad- dition, ill passengers will have their holidays spoilt. Risks related to ferries may differ from those of cruise ships. Medical consultation with a physician on fer- ries may not be possible. Ferry voyages are shorter and may include frequent stops to ports where me- dical consultation ashore can be arranged. Further- more, they do not usually involve activities, such as games and excursions, thus giving less opportunity for interaction among travellers. Passenger ships can provide a setting for the spread of disease from person to person or indirect transmission (e.g. contaminated surfaces). During a cruise or ferry voyage, passengers and crewmem- bers spend much of their time indoors. Passengers and crew may be from several nations and can in- termingle for extended periods of time in semi-en- closed areas. Shipboard activities and events such as dining, games, and movies increase the likelihood of contact between passengers, and sometimes with crew as well. The virus is easily spread from person to person by inhalation of the air that contains drop- lets from infected people who cough or sneeze, or by transferring the virus directly by hand or from surfaces contaminated by droplets [6]. Vaccine sta- tus may be different among passengers compared with crew. Vaccine practices may be different in cruise lines and ferry companies. RISKS AT PORTS FOR THE COMMUNITY Transnational transmission of a disease is a per- ceived risk, but nowadays other means of transport such as aeroplanes play a major role in the rapid international spread of diseases. The propagation of infectious agents to non-affected countries through ships took place in past centuries. After the disco- very of the New World in 1492, Old World diseases such as smallpox, measles, influenza, and typhus annihilated most of the American native populations www.intmarhealth.pl 243 V.A . Mouchtouri at al., The decision making process for public health [13]. When Christopher Columbus and his men em- barked on the second Colombian expedition in 1493, the crew suffered from fever, respiratory symptoms, and malaise. It is generally accepted that the disease was influenza [14]. PUBLIC HEALTH MEASURES The competent authorities’ task is to perform a risk assessment in case of a threat of infectious disease, to advise, implement, or supervise the re- sponse measures to be taken, and to ensure that all appropriate measures are in place to protect public health on board and to minimise the spread of a communicable disease from the ship to the com- munity. Health measures implemented by competent authorities, or under their supervision, must be in accordance with national and international law and appropriate to the risk that the disease poses, with- out causing unnecessary interference to international movement of peoples and goods. Consequently, public health measures should not disrupt the ship’s itiner- ary, disembarkation, or travellers’ ability to enjoy the voyage and destination, unless such actions are jus- tified and the rationale behind them is provided. According to Article 28 of the IHR 2005, compe- tent authorities “may subject the granting of free pratique1 to inspection” [3]. Consequently, in re- sponse to an event of infectious disease, personnel of competent authorities have the right to board the ship to conduct an inspection and determine whether public health measures are required. After applica- tion of the required health measures, permission to disembark, embark, or load stores can be given. MEASURES ON SHIPS In general, competent authorities, in responding to cases of influenza-like illness, should ensure, after con- ducting an inspection, that all necessary measures have been taken on board by the designated crew to con- tain the disease. Detailed guidance for such measures, including surveillance, isolation of ill persons, hygiene measures such as hand washing, cough/sneeze eti- quette and hygienic waste disposal, training, advising, cleaning, and disinfection, has been previously pub- lished [4–7]. Moreover, competent authorities may be asked to receive clinical specimens from ships and send them to the laboratory for analysis. MEASURES AT PORTS Authorities at ports may supervise or make ar- rangements for the disembarkation of ill persons in such a manner as to minimise the spread of the vi- rus from person to person. They may arrange trans- port of persons with severe illness to a health care facility and notify cases to the national authorities. According to International Health Regulations (Annex I), competent authorities at ports are respon- sible for providing, if necessary, medical examination and care for affected travellers. In addition, appro- priate space, separated from other travellers, must be designated to interview suspected or affected persons. Competent authorities may also assess and, if required, quarantine suspected cases amongst tra- vellers. Trained personnel with appropriate personal protection, for the transfer of travellers who may car- ry infection or contamination, should be available. It should be noted that these capacities should be available in all countries by 2012, according to the IHR timeframe for implementation [3]. In an outbreak situation many persons might be affected, and the competent authorities at ports should have the capacity to deal with a large num- ber of ill people who might need treatment, medical assessment, or hospitalization after disembarking. Response plans should be in place involving all local competent parties with defined roles and responsi- bilities, as required in Annex I of the International Health Regulations. If the competent authority is not able to carry out the required control measures then the next known port should be informed [3]. Other measures may also be taken according to the findings of the risk assessment performed. A change in the disease severity may require addi- tional or more rigorous measures. EXPERIENCE DURING THE INFLUENZA PANDEMIC OF 2009 During the initial phase of the pandemic, mea- sures to prevent the introduction of the disease in a country were considered by some countries to delay the spread of the disease. We believe that such measures are of little value since other means of transport play the key role in the transnational transmission of diseases. The effectiveness of mea- sures taken to prevent the transnational transmis- sion of pandemic influenza, such as entry scree- ning using thermal cameras [15], is controversial [16]. Historical data from the 1918 and 1957 pan- demics show that screening and quarantining trav- ellers at international borders did not substantially delay virus introduction, except in some island coun- tries, and are likely to be even less effective in the modern era [17]. Control measures against influen- za pandemic spread are most effectively implement- ed within countries, particularly at the community Int Marit Health 2010; 61, 4: 189–272 www.intmarhealth.pl244 level, rather than through banning travel at the in- ternational level [6]. Within the first months of the influenza pande- mic of 2009, proposed public health measures in the community focused on containment of the dis- ease and differed from the mitigation measures that were later proposed and implemented. Although a mitigation policy can be recommended in the com- munity, on board ships the containment of disease is advocated in many studies and guidelines, even for seasonal influenza [4, 10, 18]. During the summer of 2009, incidents of influen- za A(H1N1)v virus on board cruise ships gained media attention, with some receiving wide coverage. Various approaches and practices were observed among European countries, some of which differed even within the same country. Some authorities re- quired temperature checks on all passengers going ashore, while others did not accept isolation in ca- bins, but required disembarkation of ill passengers and crew and admission to hospital. In countries outside Europe, public health measures included treatment and isolation of travellers (crew members and passengers), swab testing of travellers, home quarantine of persons who disembarked, quarantine of suspected cases, medical assessment, and scree- ning [19]. Quarantine of a ship was even discussed and recommended. We believe that there is no justi- fication for implementing quarantine measures for ships under the current epidemiological situation, taking into consideration the characteristics of the virus (pathogenicity, virulence, etc.). CONSIDERATIONS FOR DECISION-MAKING Respiratory illnesses (common cold and influen- za) are some of the most common infections affec- ting people [20]. Studies on cruise ships [21] and cargo ships [22] have shown that respiratory tract infections were the most frequently diagnosed illnes- ses for passengers and crew attending the ship’s in- firmary. Cases of influenza A(H1N1)v virus infection aboard passenger ships have occurred on ships [19]. Because cases of seasonal influenza often occur on ships and there is widespread transmission of the influenza A(H1N1)v virus in the community, it is like- ly that passenger ships carrying thousands of people would have at least one person with this influenza [6]. We believe that a risk assessment on board the ship may not be necessary on every ship that has reported cases of influenza-like illness and often it is not feasible. Many European ports receive a huge number of ship visits every year. Popular ports might receive up to twenty ship visits each day during the summer months. Personnel available in competent authorities might have additional responsibilities to those relating to ships. Some authorities might face problems with lack of personnel or other resources. Assessing the risk of each reported event is neces- sary, however, before proceeding with the enforce- ment of public health measures. Criteria that could be considered as relevant by competent authorities when conducting risk assessment on board ships having cases of influenza include: a) severe disease or death on board; b) failure of the ship to fill in an appropriate Maritime Declaration of Health; c) the number of cases presenting with influenza-like illness exceeds that expected (outbreak situation) for the specific itinerary and season; d) any indication or information (e.g. information from the previous port of call) that the ship has not implemented appropri- ate measures (surveillance, isolation, communication, treatment, etc.); e) the need to follow up outbreak control measures advised at an earlier stage; f) a re- quest for assistance by the ship’s master. SUMMARY A lack of communication between ports might result in a repetition of risk assessments and con- flicting advice, or a failure to follow up the outcome of health measures recommended previously by other competent authorities. Port-to-port communication is necessary in order to share information about the health measures that have been taken, as provided in the IHR [3]. Ships travel from country to country, and a lack of common protocols may lead to contra- dictory measures and the duplication of investiga- tions. Consistent policy, harmonization, and standardi- sation of competent authorities’ actions based on common protocols at a local, national, European, and international level are important. Using communica- tion tools such as the European Commission Early Warning and Response System or other effective communication systems among competent authori- ties, in order to perform a proper risk assessment and to follow up the effect of the health measures, can contribute to effectively controlling disease out- breaks. In this way duplication of investigations and unnecessary interventions will be avoided. Risk assessment based on the current facts about diseases is necessary so that the public health mea- sures implemented at ports are proportional to the threat, and overreactions are avoided. www.intmarhealth.pl 245 V.A . Mouchtouri at al., The decision making process for public health COMPETING INTERESTS There is no declared conflict of interest. AUTHORS’ CONTRIBUTION VAM, CLRB, JK, CH, and GN conceived of the arti- cle and prepared the first draft. TP, TR, NB, CVM, CMS, CS, and GR contributed to the production of the first draft and subsequent revisions. All authors read and approved the final manuscript. ACKNOWLEDGEMENTS The SHIPSAN TRAINET project has received fund- ing from the European Commission under the Pub- lic Health Programme 2003–2008. However, the sole responsibility for the project lies with the author, and the European Commission is not responsible for any use that may be made of the information contained therein. REFERENCES 1 . Business Research & Economic Advisors. The Contribu- tion of the North American Cruise Industry to the U.S. Economy in 2008. 2008. Ref Type: Repor t. 2 . G.P.Wild (International) Limited and Business Research & Economic Advisors. Contribution of cruise tourism to the economies of Europe. 2009. 2009. European Cruise Council, EUROYARDS, CRUISE EUROPE, MEDCRUISE. Ref Type: Repor t. 3 . World Health Assembly. International Health Regulations. 2 0 0 5 . 4 . CDC. Preliminary Guidelines for the Prevention and Con- trol of Influenza-Like Illness Among Passengers and Crew Members on Cruise Ships. 1999. 5 . Centers for Disease Control and Prevention. Interim novel influenza A (H1N1) guidance for cruise ships . Available from: http://www.cdc.gov/h1n1flu/guidance/cruiseships.htm]. 4-5-2009. Ref Type: Report. 6 . Mouchtouri V, Black N, Nichols G, Paux T, Riemer T, Rjab- inina J et al. Preparedness for the prevention and control of influenza outbreaks on passenger ships in the EU: the SHIPSAN TRAINET project communication. Euro Surveill 2009; 14. 7. Passenger Shipping Association/Health Protection Agen- cy/Association of Port Health Authorities. Guidance to shipping for pandemic influenza. 2009. 8 . European Centre for Diseases Prevention and Control. ECDC Risk assessment Pandemic H1N1 2009. Version 6. 6-11-2009. Ref Type: Repor t. 9 . Influenza on a cruise ship in the Mediterranean. Com- mun Dis Rep CDR Wkly 1999; 9: 209, 212. 1 0 . Influenza B virus outbreak on a cruise ship — Northern Europe, 2000. MMWR Morb Mortal Wkly Rep 2001; 50: 1 37 – 1 4 0 . 1 1 . Nitsch-Osuch A: Influenza as a health problem of sea travellers. Int Marit Health 2008; 59: 103–112. 1 2 . Brotherton JM, Delpech VC, Gilbert GL, Hatzi S, Paraskevopoulos PD, McAnulty JM. A large outbreak of influenza A and B on a cruise ship causing widespread morbidit y. Epidemiol Infect 2003; 130: 263–271. 1 3 . Bianchine PJ, Russo TA. The role of epidemic infectious diseases in the discovery of America. Allergy Proc 1992; 13: 225–232. 1 4 . Munoz-Sanz A. [Christopher Columbus flu. A hypothesis for an ecological catastrophe]. Enferm Infecc Microbiol Clin 2006; 24: 326–334. 1 5 . Ng EY. Is thermal scanner losing its bite in mass screen- ing of fever due to SARS? Med Phys 2005; 32: 93–97. 1 6 . Bitar D, Goubar A, Desenclos JC. International travels and fever screening during epidemics: a literature re- view on the effectiveness and potential use of non-con- tact infrared thermometers. Euro Surveill 2009; 14. 17. Bell DM. Non-pharmaceutical interventions for pande- mic influenza, international measures. Emerg Infect Dis 2006; 12: 81–87. 1 8 . Miller JM, Tam T W, Maloney S, Fukuda K, Cox N, Hockin J et al. Cruise ships: high-risk passengers and the global spread of new influenza viruses. Clin Infect Dis 2000; 31: 433–438. 1 9 . Russell A. Border health on the Pacific Dawn. Aust Nurs J 2009; 17: 29. 2 0 . Eccles R. Understanding the symptoms of the common cold and influenza. Lancet Infect Dis 2005; 5: 718–725. 2 1 . Peake DE, Gray CL, Ludwig MR, Hill CD. Descriptive epi- demiology of injury and illness among cruise ship pas- sengers. Ann Emerg Med 1999; 33: 67–72. 2 2 . Schlaich CC, Oldenburg M, Lamshoft MM. Estimating the risk of communicable diseases aboard cargo ships. J Travel Med 2009; 16: 402–406. 1 “free pratique” means permission for a ship to enter a port, embark or disembark, discharge or load cargo or stores; permission for an aircraft, after landing, to em- bark or disembark, discharge or load cargo or stores; and permission for a ground transport vehicle, upon arrival, to embark or disembark, discharge or load cargo or stores (Article 1, IHR 2005). 
work_zn3pgu3pwvc6pioph4tlz36od4	----	Linguistics and Literature Studies 6(1): 12-16, 2018 http://www.hrpub.org DOI: 10.13189/lls.2018.060102 Beaver Fur and Deer Skin: Teaching Colonial American Literature in Taiwan's Context Ya-Shu Chen Department of Foreign Languages and Literatures, Chung Hua University, Taiwan Copyright©2018 by authors, all rights reserved. Authors agree that this article remains permanently open access under the terms of the Creative Commons Attribution License 4.0 International License Abstract English majors in Taiwan mostly are not familiar with American literature, let along American literature in the colonial times. However, should one compare the colonial history of Taiwan in the Age of Exploration with that of America in the similar era by the Dutch, students are more willing to participate in class discussion, their learning attitude has changed from passive to more active, and the result is therefore more rewarding too. The main reason of such a result lies in that, in my opinion, both colonial histories of Taiwan and US are alike, that is, both were discovered by Europeans in the Age of Exploration, and there are similarities between the colonization processes in Tainan, Taiwan, and several Dutch colonies along the east coast of America. The two colonial powers used trade as a means, exchanging mink and deerskin with native Aborigines respectively and eventually led to the abolition of the two indigenous peoples. This study aims at exploring similarities and differences between Taiwan and US colonial histories through examining their colonization processes in detail. I hope that from such a comparison, putting colonial American literature in the context of colonial Taiwan, American literary history may become more interesting to Taiwan Students. Keywords Colonial Literature, Age of Exploration, Trade, Dutch 1. How to Teach Colonial American Literature It is well known among faculty of English departments that textbooks of history of American literature begin with American colonial literature, including Native American literature. However, the so-called “literature” here, refers actually to “documents,” and it is not the literature under a strict definition as commonly known. In view of the fact that the first group of colonists was pioneers who needed to fight for survival, it was almost impossible for them to have the luxury of literary creation. However, at the same time, there were quite a number of invaluable written records that had recorded major events of the pioneers during the 16th and 17th centuries, and these first hand records have become indispensable documents for us to understand the era. Consequently, editors of American literary history textbooks have incorporated these records and documents into the canon, hence the first chapter of American literary history. Strictly speaking, the aforementioned documents are history, and the major sources for us to understand the colonial times. From the letters and logs of Christopher Columbus (1451-1506), we know how America was discovered [5]. From the logs of Jacques Cartier (1491-1557), we witness, so to speak, the first encounter between the French and Indians [4]. From the description of Samuel de Champlain (1570-1635), we know how the French discovered Quebec. From the depiction of John Smith (1580-1631), we know how England found Virginia, establishing the first English colony—Jamestown there, and also know about the oratory of the Indian King Powhatan [9]. From William Bradford’s history, we know how the English managed New England, their most important colony in America [1]. From John Winthrop’s diary, we know how Puritans built a Christian community in America [10]. From Adrianne Van Der Donck’s account, we know how the Dutch colonized New Amsterdam (modern New York City). Among all these historical documents, the only exceptions, the “real literature” written by a “true poetess,” were the works of Anne Bradstreet (1612-1672). Her intimate poems for her family members showed her private feelings, having nothing to do with grand historical context [2]. In the above context, how are we going to teach American literary history? Many English majors in Taiwan are not interested in foreign colonial history. They feel distanced and unrelated to such history. It is not easy, therefore, to teach well this part of literary history, especially in terms of increasing students’ interest in it. Linguistics and Literature Studies 6(1): 12-16, 2018 13 However, through so many trials and errors, I have finally found a method to promote their interest: paralleling Dutch colonial history of northeastern North America with the Dutch colonial history of Taiwan (1624-1662). The Dutch colonial history of Taiwan began in 1624 with the establishment of Zeelandia in Dayuan (Anping). This was also the period roughly coincided with the establishment of the first English colony, Jamestown, VA (1607), and the second its colony, Plymouth Plantation, MA (1620). In fact, ever since Columbus’ discovery of America in 1492, the whole world was entering into the period known as the Age of Exploration. In the 16th century, Europeans navigated all over the world (Americas, Asia, and Africa), seeking gold and other valuable resources. From the beginning of the 17th century, Europeans began to set up settlements in Asia and Americas, and they prepared to stay there longer or permanently. England and Holland were the strongest powers yet strictly speaking, Holland should be the strongest nation in the 17th century. The Dutch ran the Dutch West India Company in New Amsterdam, the Dutch East India Company in Jakarta, and they almost monopolized maritime trade. It was not until the second half of the 17th century, England had gradually replaced Holland to become the strongest power in the world. In order to compare with the Dutch colonial Taiwan, I pay special attention to the Dutch colonial New York. In actuality, many European countries built colonies in America; England, Holland, and France were the major ones. Each country had its own way of colonization. For instance, although some English took interest in trade, most English people preferred to build a holy land free from political interference. With the Dutch, it was another story. They were more into commercial profits, and establishing permanent colonies was not their original plan. However, after the establishment of English settlements, with an influx of settlers, the Dutch forces had been gradually losing out. So the Dutch changed their colonial policy. From 1639, they began to establish colonies, encouraging their people to reside in the colonies permanently, but to no avail. The Dutch were defeated by the English troops eventually, and New Amsterdam became New York, an English colony, in 1664. From the above, we may conclude that the Dutch colonial years in New York were basically from 1609-1664. As for Taiwan, the Dutch’s colonization of Taiwan began in 1624, and they were expelled by Zhen Chenggong in 1664 which was closed to the time when the Dutch were defeated by England in North America. Therefore, it is extremely interesting to compare Dutch colonial New York with Dutch colonial Anping. In what follows, I will discuss the two Dutch colonies in the East and the West, particularly the relationship between the colonists and the colonized (Indians and Taiwan aborigines respectively), and the outcomes for both groups of natives. Even though the Dutch had no intention to reside permanently in the said colonies, through mere commerce and trade, nonetheless, both groups of natives were disintegrated. By way of such comparison, students will have a clearer understanding of colonization, and of the meanings and values of American literary history of that period. 2. Dutch Colonial New York and its Relationship with Indians Despite the Dutch discovered the Hudson River in 1609, its major goal was nonetheless commerce. That’s why the first commercial outpost, Fort Nassau, was set up as late as 1613. The Dutch merchants not only competed with each other domestically, they were also subject to competition from England, Spain, and France. Therefore, trying to create a monopoly on business, and becoming the exclusive agent of Indian trade, the Dutch formed the Dutch West India Company. They also established a new outpost in Fort Orange in place of Fort Nassau, and meanwhile built a new port, New Amsterdam, in Manhattan. They sold iron axes, textiles, iron goods, glass, weapons, tea, bread, flour, etc. to Indians, and the goods were extremely popular among them. The Dutch, on the other hand, bough local beaver furs from local Indians, and furs were the sole merchandize that Indians sold to whites. However, when an exclusive merchandize was the sole exported product of a society, what, then, would be the impact on that society? Denys Delage [6] analyzed this issue profoundly. Based on Delage’s work, I will analyze the impact on Indians after Europeans purchasing large quantities of beaver furs from them. I will also try to clarify, from such an angle, the nature of colonialism. The Iroquois were the strongest Indian nation residing in Dutch colonial New Netherlands. When trading with other nations, the Dutch had to go through an Iroquois middleman. The Iroquois consisted of six nations, namely, the Mohawk, Onondaga, Oneida, Cayuga, Seneca, and Tuscarora. Starting from 1620, as whites began beaver fur trade with Indians, Indians did not know the prices and market condition of beaver furs, so whites had garnered high profits. However, exactly due to such high profits, traders from such countries as England and France began actively involved in fur trade. Even domestic Dutch merchants, who would not be constrained by the Dutch West India Company, entered the fur trade market, making fur trade a highly competitive free market. Beaver fur prices thus had risen due to the influx of competitive buyers. After a remarkable price hike, thinking fur trade would be profitable, Indians started to hunt beavers massively. Under such circumstances, Indians’ lifestyle had changed dramatically, and their dependency on whites was deepened. Later, when local beavers were almost all killed, for the sake of opening up new fur resources, the Iroquois began to attack the Hurons in northwestern America, launching countless wars, and grabbing beaver fur 14 Beaver Fur and Deer Skin: Teaching Colonial American Literature in Taiwan's Context resources. They almost wiped out all the Hurons people who had never experienced such pillage. Afterwards, the Iroquois became a large confederacy, ruling Indians under French and Dutch control. However, through decades of killing, pillage, and famine, coupled with various severe plagues at the time, Indian population of the entire region had reduced greatly, and the whole region became dilapidated. Father Ragueneau, a Catholic Jesuit missionary wrote the following passage when he passed the region, and witnessed such a desolate scene: A father on, were but the shells of cabins abandoned to the fury of the enemy—those who had dwelt in them having fled into the forest, and condemned themselves to a life which is but perpetual banishment. The Nipissirinien people, who speak the Algonquin tongue, had quite lately been massacred at their lake,--forty leagues in circumference, which formerly I had seen inhabited in almost the entire length of its coast; but which, now. Is nothing but solitude …So we pursued our way. Alas, that those wretched Iroquois should have caused such desolation in all these regions! Finally, as beavers were almost extinct, Indians began to hunt other types of animals for their fur so that they would still conduct trade with whites. In order to survive, they even gathered a variety of exotic flowers and fruit, or any other plants that whites preferred to exchange. In addition to causing depletion of natural resources, the relationship between Indians and nature had also changed completely. Delage [6] depicted such transformation in detail: Ten years later (i.e. 1645), the beaver disappeared from Iroquois. Supplies had to come from ever farther afield, and yet the Amerindians’ demand for European products was persistent and kept growing. Tribes therefore diversified their hunting. At Fort Orange, they exchanged deer for cloth worth six or seven florins, but in 1639, when the hunting was good, a deer way traded for a loaf of bread, a knife, or even a pipe. In 1655, the Amerindians were selling turkeys for ten stuivers (ten cents) each. Mercantile relationships were then extended to the gathering of wild plants. The Swedes gave a loaf of bread in exchange for thirty feet of Canadian hemp cord, which was stronger than their own manufactured cord, used for fishing nets. The result of all this was that the Amerindians gradually altered the balance of nature be squandering the wealth of country in order to acquire objects made elsewhere. From the above discussion we may know that ever since trading with whites. Indians’ mode of production, social relationship, and their relationship with nature changed drastically. They would, in the end, trade a deer for a loaf of bread or a knife with whites. This is exactly the most fundamental reason why these tribes would disappear, or be assimilated. In fact, in the 16th century, when Indians and whites had not yet begun to trade, Indians still maintained full dignity and autonomy. They even had the concept of territory sovereignty. Cartier (from Delage:84) narrated his first encounter with an Indian who ”indicated the land all around us, as though he wished to say that it all belonged to him, and that we must not erect our cross without his permission.” Contrast to a century later when Indians and whites officially launched trade, it is deplorable that the situation of Indians became so unbearable. 3. Dutch Colonial Taiwan and Dutch-Taiwan Aborigines Relations After traveling through many areas, the Dutch came to Taiwan by way of Penghu, establishing Zeelandia in 1624, a year after its establishment of New Amsterdam. China was implementing maritime ban at the time, so it was impossible to set up harbors in China. Therefore, for trade convenience with China (and Japan), Spain set up a harbor in Manila, Holland set up the Dutch East India Company in Anping, directly reporting to the company’s headquarters in Jakarta. The Dutch East India Company was a commercial organization, yet the Dutch government gave the company diplomatic power on the ground. Furthermore, if there weren’t any leader in the colony, such as the case in Taiwan, the Dutch East India Company actually was given the domination and military power almost equal the sovereignty of a nation. In Taiwan, the major aborigines at the time were Pingpu Tribes with a population of more than hundreds and thousands people. There were few Han people and they mostly settled in Tainan area, trading with aborigines mainly. After the Dutch occupied Anping, the Dutch established Provintia in Zeelandia region, and tried to rule local people. They began the plan of “enlightening” the aborigines by means of establishing schools, churches, infirmaries, etc. Basically, what they did in Anping was similar to that in New Amsterdam, and they also tried to further reduce the dominance of aboriginal leaders. However, their ruling instigated revolt from the aborigines. The Dutch thereupon dispatched troops to put down the rebellion and the aborigines gradually submitted. As a result, the Dutch East India Company convened a local meeting in which they made pacts with the tribes to assure relations of domination, and stipulated that the Dutch dominated regions ranging from Zhanghua to Henchun. In 1642, the Dutch defeated the Spanish. Entire Taiwan fell into their rule. The Dutch made Anping their trading base after they occupied Taiwan. Aside from getting large quantities of goods from Japan, they also plundered natural resources within Taiwan, and deerskin was the most important natural resource. Before the occupation, merchants from mainland China had already exchanged goods with the aborigines, deerskin being one of the goods. It was exactly the Edo period in Japan after the Dutch came to Taiwan as Linguistics and Literature Studies 6(1): 12-16, 2018 15 General Tokugawa reigned. He purchased a large quantity of deerskin to make all kinds of military supplies because of his extreme emphasis on military. Consequently, the Dutch began to amass deerskin. Deer skin was originally a specialty of the aborigines, but the Dutch, in order to increase production, allowed the Chinese to hunt the mountains deer. The Dutch also took tough measures to prevent aboriginal hindrance [11].Under these incentives, indigenous peoples compete with the Han to hunt for deer in Taiwan, resulting in a gradual reduction in deer production. According to the data of Takashi Nakamura [7][8] and Cao Yonghe [3].In the 1630s, Taiwan exported one hundred thousand pieces of deerskin, and in 1638, the number reached the highest—one hundred fifteen thousand pieces. However, between the 1640s and 1650s, deerskin exports decreased, but were still between fifty thousand and one hundred thousand pieces. Between the 1660s and 1670s, by the late Dutch and the early Ming Zheng, annual deerskin exports were around thirty thousand. By the period of Emperor Kangxi’s reign of the Qing dynasty, annual exports dropped to about nine thousand. By the time of Emperor Yongzheng’s reign, as local residents began to reclaim plains, no deerskin were left for exporting. Taiwan aborigines originally had their own agriculture, but the scale, scope were very small. Most of the land was the common ground, belonging to the common property, The land was basically grass and forest which were the deer farms at that time. The Dutch encouraged the Han people to move into planting rice and began to occupy and reclaim the communes. The deer were only being hunted in large numbers, while others fled to the mountains. Aboriginal hunting objects began to disappear. Part of the aborigines migrated into the mountains while those left on the plains could no longer rely on hunting for a living, so they began to learn to grow rice with the Han Chinese, and they also have slowly assimilated into Chinese at the same time. According to the statistics, most of the plains near Tainan in the 1640s had been reclaimed, while the remaining number of deer was very small. Aboriginal people’s dependence on the Han Chinese, because of the loss of the past mode of production, was also getting higher and higher. Cao Yonghe [3] described as follows: Among the land neared the plains, deer habitats had been extinct, so the natives went into farming. Many of the original deer farms owned by the natives had changed into a pastoral. However, the natives of plains, first contacted with the Han Chinese, had slowly assimilated, so their economic life had gradually separated from the original self-sufficiency, to that of the dependence on the Han Chinese. There previous transactions with the Chinese such as deerskin, antlers, deer, velvet, etc., would be sufficient for their desires. However, due to the reduction or extinction of deer, the economic money no longer existed. The only remaining property of value to the outside world was the land. 4. The Meaning and Inspiration for Teaching Through this comparison of the two colonial events, I have gained two valuable experiences. One is that I have a deeper and more refined understanding of the "relationship between colonialism and the indigenous peoples." The second is that my teaching of colonial history have a different experience. I will explain separately as follows: First, on the issue of colonialism and aboriginal relations: In the past, colonial research on white people against indigenous peoples rarely came from a comparative perspective. Therefore, in these studies, such as Delage’s, though we also saw the aboriginal people gradually disappear after the white invasion, the gradual disappearance descriptions were often very complex and heterogeneous, and it seems difficult to draw from them a more "commonplace" theoretical perspective. However, from the comparative perspective of this study, we can clearly see that invaders in the aboriginal areas caused the aborigines to disappear. In fact, the methods used were the same, that is, trade. We found that in the course of trade, aboriginal people lost step by step what they originally owned, and finally, either death or naturalization. Certainly, this is only the result of the comparison between the two societies. A more accurate theoretical view may require more comparative cases to be put forward. It is hoped that this study, as an attempt to compare colonial history, can lead to more relevant researches and give us a more macroscopic understanding of "colonialism and aboriginal relations." Why is trade so destructive? First of all, through trade, whites exchange the necessities of life, such as breads, knives, pipes, etc., with indigenous peoples for valuable natural resources such as mink and deerskin. Because of the good prices (at least initially), many Aboriginal people have given up on their original jobs, such as farming and changing into hunting and trading. Thus, trade is not just a trade; it changes the mode of production of indigenous societies. Gradually, fewer and fewer people were engaged in agricultural production or other arts and crafts, and therefore relied more on white necessities. Once this dependency had been established, indigenous peoples could only survive through trade and hunting and rely more and more on white people. In the end, the most precious natural resources were gone, so they had no other alternatives but to trade exotic fruits and flowers. However, when all the natural and precious things disappeared, the indigenous people not only lost their nature, but also lost their past mode of production and social relations. At this time, naturalization was the only way for them. Under this understanding, when we read the various documents and records at that time, our understanding will be more enforced. For example, why was the word 16 Beaver Fur and Deer Skin: Teaching Colonial American Literature in Taiwan's Context “sovereignty” in Cartier’s works slowly disappearing in documents of the 17th century? Why were Father Ragueneau’s depictions of the Dutch and French colonies so bleak? His words are so rich in emotion, allowing us to reflect upon deeply the violence and oppression of American colonization process, and also help us understand more why history of American literature will start from the colonial period. Second, the teaching of colonial history: If the comparative perspective is very important, then we should actively localize the teaching of foreign literary history, and incorporate the colonial history of those corresponding to foreign colonial history into the teaching content. Let students grasp the meaning and connotation of colonialism through historical comparison. More importantly, not only must the reading materials be added to the elements of the place, but cultural relics in the history of the place should also be included in order to enhance teaching effectiveness. In this case, the Dutch Colonial Museum in Anping, Tainan --Fort Zeelandia Museum, retains many of the colonial artifacts, pictures, models, etc., that are helpful in understanding 17the century Taiwan colonial history. Therefore, if these historical relics are included in class discussion, static teaching of the literary history can be transformed into a dynamic, visual and material classroom interaction so as to enhance students' interest in learning. I personally make extensive use of these pictures or artifacts in the teaching process, so my students' understanding of this history is vivid. Originally, students were almost completely indifferent to those distant, foreign colonial histories. However, when they saw these pictures and saw the appearances of schools, medical clinics and churches of that era, their interest in learning was significantly enhanced. In other passages of the course, many students even were phubbing or talking to each other, but they were able to concentrate and even participate in the discussions while viewing these specific pictures or artifacts. What is most impressive is that students finally have a holistic understanding of the issue of the disappearance of colonialism and aboriginal people. Of course, these are just on-site observations. What kind of effect does this kind of teaching have, and what kind of more elaborate designs may lead to more accurate answers? These are also the goals of the next phase of this study. However, as a tentative start, if we can draw more people together to discuss this topic, not only more comparative perspectives but also theoretical perspectives can be improved, so more exciting teaching methods can be devised. This is what this paper is most anticipated. REFERENCES [1] Bradford, W., 2002. “Of Plymouth Plantation,” in Carla Mulford (ed.) Early American Writings. Oxford: Oxford U Press. [2] Bradstreet, A., 2002. “The Four Ages of Man,” “Several Poems,” in Carla Mulford (ed.) Early American Writings. Oxford U Press. [3] Cao Yonghe, 2011, Research on Modern Taiwan Deerskin Trade: Young Cao Yonghe's Academic Set Sail. P. 112; 220. Taipei: Yuanliu. [4] Cartier, J., 2002. ‘The First Relation,’ in Carla Mulford (ed.) Early American Writings. Oxford: Oxford U Press. [5] Columbus, C., 2002. “First Voyage to America, 1492-92” in Carla Mulford (ed.) Early American Writings. Oxford: Oxford U Press. [6] Delage, D., 1993. Translated by Jane Brierley, Bitter Feast: Amerindians and Europeans in Northeastern North America, 1600-64. P. 155. Vancouver: UBC Press. [7] Nakamura, Takashi, 1997, History of Dutch Taiwan. Volume 1: Overview and Industry. Taipei: The National Library. [8] Nakamura, Takashi, 2002, History of Dutch Taiwan. Volume 2: Society and Culture, Taipei: The National Library. [9] Smith, J., 2002. “Proceedings of the English Colonies in Virginia,” in Carla Mulford (ed.) Early American Writings. Oxford: Oxford U Press. [10] Winthrop, J., 2002. “A Model of Christian Charity,” in Carla Mulford (ed.) Early American Writings. Oxford: Oxford U Press. [11] Yang, Yanjie, 2000, History of Dutch Colonial Taiwan, Taipei: Lianjing. 1. How to Teach Colonial American Literature 2. Dutch Colonial New York and its Relationship with Indians 3. Dutch Colonial Taiwan and Dutch-Taiwan Aborigines Relations 4. The Meaning and Inspiration for Teaching REFERENCES 
work_zozx66zg6bcylfwk6lflvyy4yi	----	Neotropical 12(3).text.indd Neotropical Primates 12(3), December 2004146 FURTHER INFORMATION ON NEOTROPICAL MONKEYS REPORTED IN THE XVI CENTURY Bernardo Urbani Previously, I reviewed chronicles that reported on or illus- trated Neotropical primates in the XVth and XVIth centuries (Urbani, 1999). Recently, I found two new documents that are important for understanding how New World monkeys were initially represented in Europe and Asia. The first is an Ottoman map of 1513 made by the Turkish Admiral Piri Re’is (1470–1554), a navigator and polyglot who spoke Greek, Arabic, Italian, Spanish, and Portuguese. This work, known as the Piri Re’is Carte de L’Atlantique (90 x 65 cm), is housed at the Topkapi Sarayi Museum in Istanbul, Turkey (La Ronciere et al., 1984: plate 28). The polychrome map was lost until 1929 and was part of a larger planisphere. Monkeys were illustrated but not mentioned in the text (Afetinan, 1954; McIntosh, 2000) (Fig. 1). In addition to Portuguese and Arab sources, Piri Re’is may have drawn from a chart by Christopher Columbus, appar- ently found in a Spanish ship captured by the Turks in the Neotropical Primates 12(3), December 2004 147 Mediterranean Sea around 1501. In fact, Piri Re’is’ map may reflect the earlier Columbus map of 1498 (La Ronciere et al., 1984: 218), which coincidentally is the year that Co- lumbus, in his travels, first reported on monkeys in America (Urbani, 1999). In the highly detailed map of Piri Re’is, baboon-like monkeys in the New World were drawn for the first time (Fig. 1). It is possible to infer that these illustra- tions were made with African primate referents, as were the reports by other travelers in the New World such as Ameri- go Vespucci (who referred to Neotropical primates as ba- boons and macaques; Urbani, 1999) and Arabic chroniclers (Kruk, 1995). On the other hand, Piri Re’is might have obtained another original source on New World monkeys directly from the Europeans. Two primates are represented and associated with mythical animals, one “dancing” with a cynocephalus (dog-head) and another with a fruit in its hand together with an acephalus (headless) (Fig. 1). These mon- keys were illustrated as inhabiting the area that is currently Colombia, Brazil, and Venezuela. In February 1595, the English pirate captain Sir Robert Dudley (1574–1649), voyaging in the West Indies, en- tered the Gulf of Paria (Venezuela) from the southwest at Serpent’s Mouth, leaving it by the Dragon’s Mouth in order to arrive at the Isle of Trinidad. Of this island, he said, “the country is fertile, and ful of fruits, strange beasts and foules, where of munkeis(3), babions and parats were in great abundance [sic]” (Dudley, 1899: 71). He also in- dicated that the local name for primates in Trinidad was “howa” (Dudley, 1899: 78). Of interest is that the editor, G. F. Warner, wrote a footnote citing Charles Kingsley (1819–1875): “(3)His ‘munkeys’ were, of course, the little Sapajous; his ‘babions’ no true Baboons, for America dis- dains that degraded and dog-like form, but the great red Howlers (Kingsley, At last, p.69).” In principle, it is the first reference that we know of for monkeys from a Ca- ribbean island, and specifically Trinidad. Considering the two primates of this island (Phillips, 1998), the “munkeis” are most likely Cebus albifrons trinitatis, whereas the “ba- bions” refer to Alouatta seniculus insulanus, both endemic subspecies. Acknowledgments: To the personnel of the UIUC libraries for their cooperation, and Paul Garber and Anthony B. Rylands for their suggestions. As always to Tania Urquiza- Haas. B. U. is supported by a Fulbright-OAS Scholarship. The author would appreciate comments and references for future updates. Bernardo Urbani, Department of Anthropology, Uni- versity of Illinois, 109 Davenport Hall, 607 S. Mathews Ave., Urbana, Illinois 61801, USA, e-mail: <burbani@ uiuc.edu>. References Afetinan, A. 1954. Life and Works of the Turkish Admiral: Pirî Reis. The Oldest Map of America Drawn by Pirî Reis. Türk Tarih Kurumo Basimevi, Ankara. Translated to English by Leman Yolaç. Dudley, R. 1899. Robert Dudley’s voyage to the West Indies, 1594–1595, narrated by Himself. In: The voyage of Robert Dudley, afterwards styled Earl of Warwick and Leicester and Duke of Northumberland, to the West Indies, 1594–1595, narrated by Capt. Wyatt, by Himself, and by Abram Kendall, master, G. F. Warner (ed.), pp.67–79. The Hakluyt Society, London. McIntosh, G. C. 2000. The Piri Reis Map of 1513. University of Georgia Press, Athens. Kingsley, Ch. 1896. At last: A Christmas in the West Indies. Macmillan and Co., Ltd., London. Kruk, R. 1995. Traditional Islamic views of apes and monkeys. In: Ape, Man, Apeman: Changing Views Since 1600, R. Corbey and B. Theunissen (eds.), pp.29–42. Leiden University, Leiden. Phillips, K. A. 1998. Tool use in wild capuchin monkeys (Cebus albifrons trinitatis). Am. J. Primatol. 46(3): 259– 261. La Ronciere, M., Mollat du Jourdin, M., Azard, M.-M., Raynaud-Nguyen, I. and Vannereau, M.-A. 1984. Les Portulans, Cartes marines du XIIIe au XVIIe siècle. Office du Libre S. A., Friburg (Switzerland). Urbani, B. 1999. Nuevo mundo, nuevos monos: Sobre primates neotropicales en los siglos XV y XVI. Neotrop. Primates 7(4): 121–125. Figure 1. Two monkeys of the New World in the Piri Re’is’ Carte de L’Atlantique 1513. One is to the right of a cynocephalus (on the left of the map) and the other to the right of an acephalus (on the right of the map) (La Ronciere et al., 1984: plate 28). 
work_zowzeg6fyjfnjdm4ct5rqaqupi	----	16ournal ofNeurology, Neurosurgery, and Psychiatry 1994;57:1366-1370 Primary amnesia of insidious onset with subsequent stabilisation F Lucchelli, E De Renzi, D Perani, F Fazio Abstract A patient had a slowly developing amnesic syndrome that remained sub- stantially unchanged during the two and a half years of observation. Intellectual skills were excellent and there was no lan- guage, perception, praxis, or calculation deficit. The memory impairment involved verbal and visual learning, spar- ing spatial learning and, to a large extent, retrograde memory. Magnetic resonance imaging was normal, but PET showed a hypometabolism of the left temporal mesial region and thalamus. This case extends the spectrum of monosympto- matic cognitive disorders, previously reported in the area of language, praxis, and visual recognition, to amnesia. (3 Neurol Neurosurg Psychiatry 1994;57: 1366-1370) Neurology Department, Ospedale S Carlo Borromeo, Milan, Italy F Lucchelli Neurology Department, University ofModena, Italy E De Renzi INB CNR, University ofMilan, Scientific Institute H San Raffaele, Milan, Italy D Perani F Fazio Correspondence to: Dr E De Renzi, Clinica Neurologica, Via del Pozzo 71, 41 100 Modena, Italy. Received 15 October 1993 and in revised form 16 February 1994. Accepted for publication 25 March 1994 In 1982 a report by Mesulaml rekindled inter- est on a syndrome characterised by slowly progressive aphasia in the absence of other cognitive deficits. This syndrome had, until then, been largely neglected by neurologists. Its clinical status has now been confirmed by several case reports, although the question remains as to whether slowly progressive aphasia is an autonomous entity, consequent to a degenerative process confined to the left hemisphere speech region, or the early mani- festation of a more generalised disease, even- tually resulting in global mental deterioration. Clinical and pathological findings seem to indicate that the aetiology and evolution. of slowly progressive aphasia is heterogeneous, with a few cases showing aphasia as the only symptom for long periods and possibly for the rest of their lives and others evolving towards more common forms of degenerative demen- tias, such as Alzheimer's and Pick's disease.2 With the upsurge of interest in slowly pro- gressive aphasia, neurologists have begun to turn their attention to the possibility that there may be other progressive cognitive dis- ord'ers confined to a single ability. Cases of isolated apraxia3 4 or agnosia35 have been reported, although they are fewer than those of aphasia and lack pathological documenta- tion. In this paper we report a patient with an amnesia not accompanied by other cognitive disorders, that progressed over a few years, reached a plateau, and then remained unchanged during the two and half years of follow up. A PET study of cerebral metabo- lism showed a selective memory related structures. impairment of Case report The patient is a 69 year old right handed woman with a degree in pharmacology who was referred to our outpatient clinic in November 1990 for memory complaints. A grandfather, an aunt, and two first cousins, all belonging to her father's side of the family, were reported to have had cognitive disorders late in life; unfortunately these could not be better specified. One of her father's brothers was affected with Down's syndrome. The patient married at the age of 27, had four chil- dren (one of them is schizophrenic), and worked as a junior high school teacher of mathematics and science until 1984, when she retired. Her medical history is unremark- able, apart from hypertension that has been treated successfully for 10 years. She was uncertain when her memory disorder had started, but tended to date it back to the last years of teaching, when she had had increas- ing difficulty in preparing her lessons. They were not initially perceived by her husband, who became aware of them from 1987, when he noticed that she tended to repeat the same questions at short intervals, often missed appointments, and had to rely on shopping lists. She never lost her way in familiar sur- roundings. Although her relatives were uncer- tain about the rate of progression. of the disease, they were adamant in stating that it had developed slowly and that its onset could not be dated with precision. We saw the patient for three sessions between November 1990 and March 1991 and again in follow up examinations carried out in October 1992 and August 1993. Throughout this period the neurological examination remained unremarkable. She was a gentle, well groomed, and cooperative per- son, aware of her memory problems and con- cerned about her future. She was oriented to time and space, paid close attention to ques- tions, and quickly understood them. She spoke fluently and properly without any sign of anomia. The memory deficit was easily brought out in conversation. She was unable to report what she had eaten at lunch, did not remember from one session to the next the tasks she had been given, sometimes asked the examiner to repeat the instructions during the execution of a task, as she had forgotten what to do, and had a vague and patchy recollection of famous 1366 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://jn n p .b m j.co m / J N e u ro l N e u ro su rg P sych ia try: first p u b lish e d a s 1 0 .1 1 3 6 /jn n p .5 7 .1 1 .1 3 6 6 o n 1 N o ve m b e r 1 9 9 4 . D o w n lo a d e d fro m http://jnnp.bmj.com/ Primary amnesia of insidious onset with subsequent stabilisation Table 1 Language, cakulation, visual perception, and praxis tests Token test 32/36 Boston naming test 69/85 Verbal fluency (P, F, L) 47 Calculation 25/27 Unknown face identification 23/27 Figure ground discrimination 33/33 Limb praxis 70/72 Oral praxis 24/24 Constructional praxis 20/20 public events that had occurred in the past months. FIRST NEUROPSYCHOLOGICAL EXAMINATION (NOVEMBER 1990-MARCH 1991) The patient had an IQ of 132 on the WAIS (revised) with a VIQ of 133 and a PIQ of 127. She scored 44/48 on Raven PM38, found all of the six criteria of classification on the Wisconsin test with 98 cards and produced 47 names in three minutes on verbal fluency on phonetic cues (P, F, L). ILanguage, calculation, visual perception, and oral and limb praxis were assessed with appropriate tests, on all of which she scored well in the normal range (table 1). The only area in which she performed poorly was learn- ing. Table 2 reports the scores, corrected for age and educational level, achieved on learn- ing tests, for most of which a cut off point dis- criminating a normal from a pathological performance is available, based on the score distribution of 100 normal controls.6 Partial regression coefficients of the scores on age and education provided the correction for these variables. The verbal tests were story recall (immediate and after a 10 minute filled delay), paired associate learning (five easy and five difficult associations) over three trials, and 10 word learning (carried out to the crite- rion of two successful consecutive recalls, the score being the sum of words recalled over trials divided by the number of trials to criterion). Table 2 Learning tests 1991 1992 1993 Cut offpoint Digit span 7 6 7 Story recall 1-15 5 4 40 15-76 Paired associates 4-38 3-5 4-45 8-73 Learning 10 words 7 93 5-55 6-86 6-58 Recurring face recognition 29 56 30-66 24-60 33-37 Rey figure 6-84 - 0 12-39 Cube span 7 6 6 - Cube supraspan (trial to criterion) 4 10 - Maze learning 11 - - Table 3 Retrograde memory tests 1991 1992 1993 Cut offpoint Questionnaire 40 53 - 35-17 41-53 Famous names - 57/60 - - Familiar faces 1-22 - 1-32 2-05 Famous faces 1-00 - 2-15 2-99 The scores of both face tests refer to standardised error scores, corrected for age and education.. Thus the lower the score, the better the performance. The two visual memory tests were Rey's figure reproduction from memory after a 10 minute filled delay, and a test of recurring unknown face recognition, in which eight tar- get faces had to be identified from among 12 foil faces in three successive presentations. Its score is the sum of hits minus the sum of false positives. The patient's scores, corrected for age and education, fell below the cut off point on two out of three verbal memory tests6 and on both visual memory tests.7 In contrast, her performance on two spatial learning tests- supraspan learning on Corsi's block tapping test and maze learning on a stepping stone visual maze test-was within the normal range (controls' means 13 trials to criterion in both cases). Retrograde memory was investigated with four tests (table 3). The first two were verbal and comprised a famous event questionnaire and a famous name recognition test. The questionnaire, given in a recognition format, consisted of eight questions for the biennium 1965 to 1985, with four choices for questions (the target and three foils).8 For name recog- nition 30 famous names (Christopher Columbus, Wolfgang Mozart, etc) intermin- gled with 30 unknown names were presented one at a time. The two visual tests were a face familiarity test and a famous face recognition test.9 The first required the patient to select the one face that was familiar from an array of four photographs, the second to point to the face of a famous person named by the exam- iner, when it was presented with three distrac- tors belonging to the same sex and semantic area (for example, four Italian presidents). Cut off points, corrected for age and educa- tion, have been determined for all of these tests,89 except that dealing with famous and unknown names. Table 3 shows that she scored below the normal range on the questionnaire, but not on the other tests. Autobiographical memory was investigated with a structured interview, covering events of her past life from youth to recent years. Information provided by her husband and daughter was used in the preparation. Episodes occurring before the onset of disease were recollected fairly accurately and the for- gotten details were recovered when a cue was provided. Recall was much patchier and less accurate for the events of the past two or three years (for instance, she had forgotten the holi- days spent in Greece during the previous summer). FOLLOW UP EXAMINATIONS (OCTOBER 1992 AND AUGUST 1993) The patient was re-examined in October 1992 and August 1993. Both she and her husband were of the opinion that the memory deficit was unchanged and that there was no impair- ment in other cognitive areas. This was con- firmed by formnal testing. Raven PM38 (44/48 and 40/48) and language scores were still high and no definite evidence of further deteriora- tion was found in her performance on mem- ory tests (tables 2 and 3). 1 367 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://jn n p .b m j.co m / J N e u ro l N e u ro su rg P sych ia try: first p u b lish e d a s 1 0 .1 1 3 6 /jn n p .5 7 .1 1 .1 3 6 6 o n 1 N o ve m b e r 1 9 9 4 . D o w n lo a d e d fro m http://jnnp.bmj.com/ Lucchelli, De Renzi, Perani, Fazio Figure 1 MRI section showing the integrity of the F hippocampus. A CT, ..... ... M.' N P or evidence of brain damage. Fi 1h*..- - ......._ ...... ............... ^.^.^ ........... . : X3S°§ ! - - ..................... E... NeiheC nor MRI shwe ventricuaro orEviec of brai daae Fiur sow an MRI coronal section to demonstrate the integrity of the hippocampal region. An ['8F]FDG PET study was performed in the resting state with open eyes and unplugged ears, using a Siemens/CPS, 931-04/12 positron emission tomograph. Image analysis was performed with software Table 4 Mean (SD) ofLCMRG1c (mgl1OOglmzn) Left hemisphere Right hemisphere Regions Patients Controls Patients Controls Cingulus 5 06 6 76 (0 58) 4 98 5 84 (0 82) Frontal: Basal 6 03 6 25 (0 75) 6 48 6 16 (0 66) Lateral 6 73 6 81 (0 76) 6 63 6-73 (0 62) Rolandic 7 15 6 62 (0 64) 7 19 6-59 (0-52) Parietal 6 69 6 52 (0-56) 6 74 6-57 (0 56) Temporal: Polar 5-06 4 70 (0 48) 5 25 4 42 (0 45) Superior 6-28 6 17 (0 52) 6 59 6 16 (0 52) Middle/inferior 6 11 5 94 (0 62) 6 37 5 83 (0 58) Mesial (hippocampus) 3.71* 4 54 (0-39) 4 67 4-58 (0 41) Occipital: Lateral 7-11 6 41 (0-89) 7 10 6 43 (0 68) Calcarine 8 35 7 61 (1-04) 8 30 7 74 (0 98) Caudate 6 67 6-76 (0 81) 6-85 6 63 (0-73) Putamen 8 11 7-27 (0 78) 7 82 7 21 (0 60) Thalamus (whole) 5.02* 6 66 (0 65) 5 69 6 67 (0-71) Anterior sector 4-59* 6 12 (0-64) 5 16 6 54 (0 74) Middle sector 4.86* 6 75 (0-81) 6 15 6 89 (0-82) Posterior sector 5-62 7-01 (0-79) 5 77 6 91 (0 80) Cerebellum 6-42 5 78 (0-71) 6 66 5 71 (0 59) *LCMRGlc values below the cut off score. Figure 2 PJET showing left thalamic and temporal mesial region hypometabolism (arrows). Top: axial sections; bottom: coronal sections. (Analyze BRU/Mayo Clinic) on a SUN (SPARC) workstation (see Fazio et all' for details). Numerical data were obtained from a circular region of interest with a diameter cor- responding to 1-5 FWHM (9-6 mm) manu- ally drawn on all cortical areas, the main subcortical nuclei, and deep structures; aver- age values of local cerebral metabolic values of glucose (LCMRGlc) were then calculated from multiple circular regions of interest included within the major anatomical subdivi- sions identified on the Talairach and Tournoux atlas (table 4) .l The averaged LCMRGlc values for the same regions of interest in eight normal subjects (mean age 55-43 (SD 9-45 years)) were used as control values. Values for LCMRGlc in the patient were considered pathological when outside 2 SD from corresponding values obtained in normal controls. Significant hypometabolism (LCMRG1 c values below the cut off score of the mean (2 SD)) was present in the thalamus and tempo- ral mesial region on the left side (table 4, fig 2). The thalamus was also divided into three parts to differentiate anterior, middle, and posterior regions. The metabolic reduction was by 24% and 18% respectively for the whole left thalamus and the temporal mesial region, compared with the controlateral side. Only the LCMRGlc values in the anterior and middle sectors of the left thalamus were below the cut off scores. The right thalamus showed metabolic values within the normal range, but slightly reduced. Values for LCMRGlc in the frontal, temporal, parietal, and occipital cortex of both cerebral hemi- spheres were within the normal range. Discussion The history and clinical profile of this patient is characterised by the slow development of an amnesia of moderate intensity, which con- trasts with the preservation of excellent intel- lectual abilities and of normal skills in other cognitive domains (language, perception, praxis, etc). This pattern of deficits is well known in patients with global amnesia and the features of the memory impairment also tally with those classically reported in that condi- tion-namely, dissociation between intact short term memory and impaired long term memory, prevalence of anterograde over ret- rograde amnesia, preservation of spatial mem- ory in the face of poor recollection of verbal and visual stimuli. What makes the history of the patient remarkable is the early slow pro- gression of the disease and then its stabilisa- tion spanning the period of observation. That in the early years of disease amnesia had developed gradually was the firm belief both of the patient and her relatives. They only dis- agreed on its onset, that the patient tended to date back to an earlier time than her husband and children. Among the possible causes of amnesia, tumour, encephalitis, alcohol mis- use-namely, trauma, infarct, and haemor- rhage were ruled out by the patient's history and the negative neurological, CT and MRI 1 368 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://jn n p .b m j.co m / J N e u ro l N e u ro su rg P sych ia try: first p u b lish e d a s 1 0 .1 1 3 6 /jn n p .5 7 .1 1 .1 3 6 6 o n 1 N o ve m b e r 1 9 9 4 . D o w n lo a d e d fro m http://jnnp.bmj.com/ P1imary amnesia of insidious onset with subsequent stabilisation findings. The slow development of amnesia and the absence of other neurological deficits is suggestive of a degenerative process involving cortical associative areas, although a diagnosis of Alzheimer's or Pick's disease seems unlikely. Amnesia is one of the earliest mani- festations of degenerative dementias, but, by the time that the patient comes to the neurolo- gist's attention and is submitted to thorough neuropsychological examination, more wide- spread deterioration of cognitive functions has usually started. To the best of our knowledge, a case of amnesia that remains "pure" seven years after its onset, without signs of more widespread cognitive decline, has not been reported in follow up studies of Alzheimer's disease. In recent years, there have been case reports of patients showing a progressive breakdown of a single cognitive ability (lan- guage, praxis, visual recognition) with preser- vation of other mental functions.12 The most often reported form is slowly progressive aphasia' and for some of the cases13 14 there is evidence not only of clinical, but also of pathological autonomy with respect to classic degenerative dementias. We submit that the present case represents an instance of a degenerative process circumscribed to the cortical areas subserving memory function. Although no alteration in structural anatomy was shown by CT and MRI, the metabolic pattern disclosed by PET is consis- tent with the assumption of an autonomous disease. It differs from that reported in associ- ation with Alzheimer's disease.15 Impaired metabolism of temporoparietal cortices in patients with early, possible Alzheimer's dis- ease is a frequent finding and is held to pre- cede the onset of non-memory dysfunction.'6 These regions were comparatively spared in our patient. Conversely, thalamic metabolism, which is within normal limits in early Alzheimer's disease,'7 was severely affected. The reduction of glucose metabolism was selectively confined to the left thalamus and the left mesial temporal cortex (hippocam- pus), which are known to be specifically related to episodic memory function.'8 As for the thalamus, the anterior and middle parts were particularly involved, even if a selective functional depression in some thalamic nuclei, such as the anterior and dorsomedial nuclei, is beyond the spatial resolution of PET. Thalamic structures involved in mem- ory function include not only the mammil- lothalamic tracts and anterior nucleus, which are components of the Papez circuit, but also the dorsomedial nucleus and the internal medullary lamina, as suggested by the finding of amnesia after focal thalamic damage.'9 The temporal mesial hypometabolism is possibly another functional correlate of the severe impairment of episodic memory in this patient. The confinement of damage to the left side may account for the dissociation between impaired verbal memory and pre- served spatial memory. It must be admitted, however, that the con- cept of degenerative disease, whether diffuse in the associative cortex or confined to some of its sectors, meets with difficulty in account- ing for the other feature marking the temporal profile of this patient's disease-namely, the stabilisation of amnesia a few years after its insidious onset. Although the period of obser- vation (three years) may be too short to pre- dict the future course of the disease, this lack of deterioration is at variance with the patterns of relentless development usually found in degenerative processes. Confronted with a similar clinical picture presented by three patients, Kritchevsky and Squire20 opted for an ischaemic aetiology. Amnesia had developed in one week in one patient and in one to two years in two others, and then it remained unchanged for six to seven years. Magnetic resonance imaging showed a profound, bilateral reduction of the hippocampal formation in all of them. It was hypothesised (but not documented) that episodes of hypotension had occurred in the patient who had the shortest onset, and resulted in a reduced blood flow of the hip- pocampal formation. The same pathophysio- logical mechanism was tentatively extended to the two patients with the longer development of amnesia, despite the absence of any inde- pendent evidence that they had cardiovascular problems. The idea that cerebral blood insuffi- ciency may be responsible for a slowly pro- gressive cognitive decline, not punctuated by a stepwise course, was entertained in the past, but does not find any support in the current body of knowledge on the pathophysiology of cerebrovascular diseases. Nor is it easy to understand why such a mechanism, after hav- ing caused a progressive amnesia in the early years of disease, would no longer exert a dele- terious effect on memory function in the sub- sequent six or seven years. We believe, therefore, that, despite the plateau reached by all these patients in the course of their disease, a circumscribed degenerative process remains a more likely interpretation of their amnesia than an ischaemic aetiology. Only neuropathological findings will pro- vide an unequivocal answer to the aetiology of these cases. For the time being, we must be satisfied with the contention that slowly pro- gressive amnesia must be added to the gamut of already known monosymptomatic forms of progressive cognitive decline (aphasia, apraxia, agnosia). Its temporal profile is, how- ever, peculiar and requires a close follow up. This study was supported by grants from CNR and MURST 40% to EDR. We thank Ms Gillian Jarvis for her careful revi- sion of the English. 1 Mesulam MM. Slowly progressive aphasia without general- ized dementia. Ann Neurol 1982;11:592-8. 2 Tyrell PJ, Warrington EK, Frackowiak RSJ, et al. Heterogeneity in progressive aphasia due to focal cortical atrophy. Brain 1990;113:1321-36. 3 De Renzi E. Slowly progressive visual agnosia or apraxia without dementia. Cortex 1986;22: 171-80. 4 Dick JPR, Snowden J, Northen B, Goulding PJ, Neary D. Slowly progressive apraxia. Behav Neurol Biol 1989;2: 101-14. 5 Kartsounis LD, Warrington EK. Failure to object 1369 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://jn n p .b m j.co m / J N e u ro l N e u ro su rg P sych ia try: first p u b lish e d a s 1 0 .1 1 3 6 /jn n p .5 7 .1 1 .1 3 6 6 o n 1 N o ve m b e r 1 9 9 4 . D o w n lo a d e d fro m http://jnnp.bmj.com/ Lucchelli, De Renzi, Perani, Fazio recognition due to a breakdown of figure-ground dis- crimination in a patient with normal acuity. Neuropsychologia 199 1;29:969-80. 6 De Renzi E, Faglioni P, Ruggerini C. Prove di memoria verbale di impiego clinico per la diagnosi di amnesia. Archivio di Psicologia, Neurologia e Psichiatria 1977;38: 303-8. 7 Bertolani L. Taratura su soggetti normali ed applicazioni in pazienti cerebrolesi di test di memoria visiva. University of Modena, 1992. (MD Thesis.) 8 Costa M, De Renzi E, Faglioni P. Un questionario italiano per lo studio della memoria retrograda. Archivio di Psicologia, Neurologia e Psichiatria 1989;50:735-55. 9 De Renzi E, Faglioni P, Grossi D, Nichelli P. Apperceptive and associative forms of prosopagnosia. Cortex 1991;27:213-21. 10 Fazio F, Perani D, Gilardi MC, Colombo F, Cappa SF, Vallar G. Metabolic impairment in human amnesia: a PET study of memory networks. 7 Cereb Blood Flow Metab 1992;12:353-8. 11 Talairach J, Tournoux P. Coplanar stereotaxic atlas of the human brain. Stuttgart: Thieme Verlag, 1988. 12 Duffy JR, Petersen RC. Primary progressive aphasia. Aphasiology 1992;6:1-15. 13 Kirshner HS, Tandridag 0, Thurman L, Whitsell WO. Progressive aphasia without dementia: two cases with focal spongiform degeneration. Ann Neurol 1987;22: 527-32. 14 Deruaz JP, Assal G, Peter-Favre Cl. Un cas clinico- pathologique d'aphasie progressive. Rev Neurol 1993;149:186-91. 15 Friedland RP, Budinger TF, Ganz E, et al. Region cerebral metabolic alterations in dementia of Alzheimer type positron emission tomography with '8Fluoro- deoxyglucose. J. Comput Assist Tomogr 1983;7: 590-8. 16 Haxby JV, Grady CL, Duara R, Schlageter N, Berg G, Rapoport SI. Neocortical metabolic abnormalities pre- cede non-memory cognitive deficits in early Alzheimer type dementia. Arch Neurol 1986;43:882-5. 17 Perani D, Bressi S, Cappa SF, Vallar G, Alberoni M, Grassi F. Evidence of multiple memory systems in the human brain: a ["8F] FDG PET metabolic study. Brain 1993;116:903-19. 18 Butters N, Miliotis P. Amnesic disorders. In: Heilman KM, Valenstein E, eds. Clinical neuropsychology. 2nd ed. Oxford: Oxford University Press, 1985:403-5 1. 19 von Cramon DY, Hebel N, Schuri U. A contribution to the anatomical basis of thalamic amnesia. Brain 1985;108:993-1008. 20 Kritchevsky M, Squire LR. Permanent global amnesia with unknown etiology. Neurology 1993;43:326-32. 1370 o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://jn n p .b m j.co m / J N e u ro l N e u ro su rg P sych ia try: first p u b lish e d a s 1 0 .1 1 3 6 /jn n p .5 7 .1 1 .1 3 6 6 o n 1 N o ve m b e r 1 9 9 4 . D o w n lo a d e d fro m http://jnnp.bmj.com/ 
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work_zxgonqu2vvgmzmmfu6qkdl2ypa	----	book reviews 355 © patrick sylvain, 2015 | doi: 10.1163/22134360-08903023 This is an open access article distributed under the terms of the Creative Commons Attribution-Noncommercial 3.0 Unported (cc-by-nc 3.0) License. Robert Fatton Jr. Haiti: Trapped in the Outer Periphery. Boulder co: Lynne Rienner, 2014. 227 pp. (Cloth us$55.00) For social scientists considering the case of Haiti, the legal or normative func- tions of the state become a real challenge, since the country functions within the dysfunctional zone that Robert Fatton Jr. identifies as the extreme margin. He refers to this as “the Outer Periphery.” Fatton’s work focuses on the catas- trophic neoliberal agenda in Haiti and the way in which the world economic system has contributed to encaging the country within a hyper-marginal zone. This“outerperiphery”whereHaiti istrappedhasbecomeadogmatic,problem- ladenzoneofuttermost failureduelargelytotheHaitianpoliticalclass’s inces- sant fight for power, as well as its corruption and banditry, and the profound negative impact of “imperialism in the age of globalization.” All this has exac- erbated acute poverty, and grotesque inequalities “brought about by neolib- eralism,” qualitatively transforming the “world system whereby the periphery itself has fragmented and spawned an outer periphery” (p. 25). Additionally, Fatton remarks, “Haiti’s growing dependence on the Dominican Republic has all the characteristics of the typical economic relationship between peripheral and core countries” (p. 69). This book is a must read, particularly for the bleeding liberals who might make matters worse by injecting additional Non-Governmental Organizations (ngos) into the country. Staunch conservatives would benefit from reading Fatton as well, in light of their refusal to accept blame for policies under “the pretense of a universal defense of human rights [that] masks the realities of the core’s imperial drive” (p. 44). Haiti: Trapped in the Outer Periphery bears witness to the falseness of “nation building.” Fatton further claims that it “is a mimicry of an imaginary liberal world, for the liberal world, as it really exists, is full of contradictions between rhetoric and reality, between the egalitarian universalism it preaches and the global calamities it unleashes” (p. 45). Fatton’s book is, above all, a quintessential reminder of the vulnerability of deprived human beings who inhabit political and economic spaces where the very notion of social justice is absent. “In Haiti, unproductive capitalism has transformed proximity to state power into the prime site for acquiring wealth by those not born into the elite class” (p. 5). Fatton is aware of his privilegedposition;as “amemberof theu.s.professoriate,of theHaitianbour- geoisie, and of the diaspora who has opted to adopt u.s. nationality, I must acknowledge that I am a privileged individual living in a cocoon of funda- mental contradictions” (p. viii). Pointed contradictions like this have allowed him to write with lucid conviction about a subject that occupies his political, Downloaded from Brill.com04/06/2021 01:09:19AM via free access http://creativecommons.org/licenses/by-nc/3.0/ http://creativecommons.org/licenses/by-nc/3.0/ 356 book reviews New West Indian Guide 89 (2015) 295–431 national,andprofessionalselves—theobjectiveaswellasthesubjective.Thus, when he writes, “liberal imperialism, however, is not about imposing political order per se, let alone a liberal order. It is about operating profitable private corporations in any territorial space that receives the contractual authority of a nation-state” (pp. 38–39), he presents not only an accurate reading of lib- eral imperialism, but also a level of disappointment, knowing that one of the nation-states thatobliges theeconomicwillof the liberal imperialistcountries is Haiti. Fatton’s reading of Haiti’s corruption is very astute when he claims that the Haitian politics of the belly is well entrenched, and even “the position of prime minister was ultimately a matter of selling and buying parliamentary votes. This pattern decidedly is not new; it is rooted in the patronage system that has traditionally characterized Haitian society” (p. 121). His book provides a convincing reading of Haiti’s disastrous relation to liberal imperialism and the dire consequences to the environment as natural resources are once more replaying the Western policies that began with Christopher Columbus. “Once again, neither the international community nor the government has shown much interest in developing gold rush policies that would promote equity and transparency, much less alleviate poverty and food insecurity” (p. 174). Fatton’spositionasamemberofthebourgeoisieisofsubstantialimportance because it validates the known fact that “the ruling class has neither a social or national project, except the day-to-day political management of retaining its position of power, wealth, and prestige” (p. 122). It is the “opportunistic convergenceof interests” thathasplasteredHaiti’sexistenceasadysfunctional nation-state where proper institutions and political norms cannot be rooted withinafunctioning, transparent,andequitabledemocracy.Theproblemwith Haiti is that even with the new constitution of 1987, and with an expressed desire to establish a good society, Haitians “cannot obliterate class interests, dependence on foreign power, and the quest of privileged groups to maintain their dominant position in the existing order” (p. 144). Unfortunately, the inherited condition of unfairness that one experiences is a given within a structural process of bringing rights-bearing subjects into nothingnesswheresexualabuse,militaryoccupation,andimportedinfectious diseases such as cholera occur, and are “contributing to the growing popular discontent.”Somehow,Fattonclaims,“theymustreclaimtheircapacitytomake their own history on their own terms” (p. 176). But, how is that possible, given thevoracityofliberal-imperialistcountriesandtheself-interestedbourgeoisie? Sure, Haitians were the first, in 1804, to proclaim liberty from below, but the conditions and the players are no longer the same, especially considering that “whenever the masses have risen, they have confronted the repressive Downloaded from Brill.com04/06/2021 01:09:19AM via free access book reviews 357 New West Indian Guide 89 (2015) 295–431 apparatus of the state and, frequently, imperial opposition too” (p. 56). Of course, Fatton recognizes the issue of co-optation and the lack of financial resources. Haiti: Trapped in the Outer Periphery pinpoints prevailing concerns, but does not suggest ways for Haiti to remove itself from the outer periphery. Perhaps Fatton did not provide a relative blueprint because he realizes that the status quo and the “inequalities are pronounced and leave little room for social mobility” (p. 56). This book, while largely analytical, should serve as a principled and thoughtful policymaking tool that would place the issues of security at the summit of an uncompromising agenda about participatory democracy and nation-state sovereignty. Patrick Sylvain Center for Language Studies, Brown University, Providence ri 02912, u.s.a. patrick_sylvain@brown.edu Downloaded from Brill.com04/06/2021 01:09:19AM via free access mailto:patrick_sylvain@brown.edu 
work_zzhwp6lm7nedraxuuo65wuighq	----	Untitled-1 © 1885 Nature Publishing Group 370 NATURE [AUf!USt 20, I88S varied accounts of themselves that the independence of the testimony cannot be doubted. That its work is popular is indicated by the wish expressed by one of them that "there should be a National Bureau." Factory legislation is printed in it (even r884 legislation, although the printer's date is r883 !) ; the factory inspector has become a popular institution, and much testimony is borne .to the smaller hardship of factory laws uniformly than Joosely enforced. The more educated and more prosperous workmen are, the more ambitious and aspiring they become, and we seem on the eve of their blending with their masters when complaints are m:1.de, as here, .that many of their fellow-workmen are satisfied with only 66 shillings a week wages ; and a caution is held forth to such not to spend their money in foolishly aping the rich. Yet, though the teacher here is no longer one of the fatherly governments of the old world using his paternal .authority for the good of a rather refractory son, yet the teaching is most satisfactorily similar. Drunkenness could not be set forth as the prevailing cause of.pauper- ism among the men or the evil of a lack of artistic taste among the masters in more vivid or .unqualified terms than they ar.e.here. The sad combination of progress and poverty is bewailed, hut we fear that co-operation urged here as its remedy .too much overlooks the control of ,fashion and its effect upon supply and demand. A most practical power put in the hands of this Bureau is that of examining the accounts of co-operative companies. Any five members of a company may require such an examination. The principal industries of New Jersey are taken, and, after full statistics of their amount, prosperity and pro- spects, with the wages earned by each class of workers, an interesting account is given, commencing with a short history of the methods, improvements, and general posi- .tion of the trade in the United States and in other countries, and their experience compared. Any one casting about for an occupation in which he could take a satisfactory part would find in this " Book of Trades " much to supply the information first required, and much to encourage him. Among them we find a review of the silk trade, which, under the ::egis of 6o per cent. duty, has made the wealthy city of Paterson ; of glass-making, which .at present does not extend much beyond window glass and bottles ; of the cultivation of sorghum, still in its infancy in New Jersey; and of the pot- tery trade-after its account of which it performs the very useful function of a publication like this of appealing to such a trade to take the steps necessary for raising their standard of art. An appeal is made, not from a Govern- ment department, or from an interfering clique as South Kensington is occasionally regarded as being, but by the organ of his late fellow-workers, that the maker of one of those large fortunes so common in America will, for his country's glory and their help, found a technical school ; while hands are led to feel that intellectual training and not mechanical energy alone is wanted. The idea is shown here also to be making its way that the school should be made the basis of technical as well as of ·mental training ; that the dextrous use of the body should form part of the school, as well as of the playground, teaching. More than this, it is felt that they should not be two so distinct branches of education as in past days, and that the mem- bers and muscles of the body, as well as the brain, should receive elementary instruction at the school, and that the former should be placed more deliberately under the control of the latter. It is felt in America that " The cultured mind The skilful hand" ought naturally to go together, and not that one should be the usual mark of the absence of the other; that, there- fore, a mechanic should not mean little more than a machine, .but a mechanician, able to understand, make or repair the giant body that is using its limbs to save his exertions, and therefore a man more on a level with other men whose time has been given to the cultivation of their minds only, and more justified in insisting upon their equality with the latter. It is urged in this Report that elementary technical knowledge valuable to all the New Jersey trades may be given in ordinary schools ; that technical learning is popular, frequently most so to boys who are slow at books ; and that successful manual occu- pation improves the morality of the worst of such boys. A very favourable notice of the Reformatory school at Coldwater; a sad tale of jail arrangements, and of methods of keeping the poor, all lead to discussions of economical difficulties felt long ago in England, not by any means avoided in America, and showing how little forms of government can modify human nature. A more hopeful view of that is afforded by the account, illustrated with three engravings and three plans, of a working-man's Institute at Millville. At this one establishment, which seems to have cost little more than 4000/., are combined, besides large grounds used for field sports, bicycling, &c., a gymnasium and baths in charge of a barber in the base- ment, while on the ground floor are a conversation room hung round with maps and supplied with musical instru- ments on which performances are given, where also lec- tures are delivered, discussions held, and games of skill played. Side by side with it is a library and reading-room. Up stairs are four class-rooms and a large hall seating soo persons, besides a gallery over the rear half of it. At the other end of it is a stage with two dressing-rooms and other necessary adjuncts. This room is used on Sundays as well as on weekdays by various societies-a choral class among others-and is a ::onvenient source of revenue. It is impossible to lay down our Report without feeling that if each department of its work is by itself of .little importance, it will doubtless be a useful agent in making every inhabitant of New Jersey and of the United States a more intelligent worker at his trade or surveyor of the economies around him. PIERCING THE ISTHMUS OF PANAMA 1 THREE years ago the work of cutting through the Panama isthmus had barely commenced. The equatorial forests on the neck of land, 73 kilometres long, which marked the axis of the future interoceanic canal, had hardly been laid bare. The traveller who followed the primitive road met here and there some groups of cabins, with roofs of branches on poles, marking the site of a sounding or the improvised dwellings of a portion of the operators. Culebra, Emperador, Corosita, and Gamboa, which are now full of activity, were then almost desert, and on the coast of Colon alone the excavator traced in the marshy plains of Gatun his great track. The contrast to-day is great : a long file of workshops covers the space between the Atlantic and the Pacific. Twenty thousand workmen toil on the Cor- dillera, making the deep cutting for the canal. Side by side with this army, another more powerful army of colossal machines, excavators, dredges, locomotives, waggons, all the materials for transport, thousands of pairs of wheels, hundreds of kilometres of rails, moun- tains of coal, and shiploads of dynamite. Among the twenty-five workshops of the peninsula the attention is chiefly attracted to two points: the great rocky cutting at Culebra, which is to penetrate to a depth of 120 metres into the Cordillera, and the dam of the Chagres at Gam- boa. At Culebra the previsions of M. de Lesseps have .been realised: the mountainous mass which the canal will traverse is, for the most part, composed of rocks which are not very hard; repeated soundings by means of diamond perforators have shown that down to a l Abstract from La Nature. © 1885 Nature Publishing Group August 20, r88sj NATURE :3 jl considerable depth the rock takes the form of schists in horizontal strata. There is no doubt that it can be cut through with rapidity ; it is a matter of perforation, either by mining and ordinary explosives, or by shafts with larger quantities of some explosive to displace great masses. Here 3o,ooo cubic metres of rock have been displaced by an explosion of dynamite; and unquestion- ably this colossal channel connecting two seas may be executed by simple methods and with economy. At the end of the great cutting of Culebra, 6 kilo- metres from Emperador, is the great workshop for the dam across the Chagres. This gigantic basin, containing 1 about r,ooo,ooo,ooo cubic metres of water, the surface of which is 6o metres above the water of the canal, has a bank, the content of which is 7,ooo,ooo cubic metres. The volume of water kept in by this exceeds a hundred- fold that of any reservoir in the world. By means of this work inundations in the river are prevented, currents impeding navigation and introducing rough water into the canal are avoided, and there is no fear of the accumulation of alluvion in the bed. By regulating the flow of the Chagres and of the neighbouring streams, the dam at Gamboa assures the regular service of the canal. The method of constructing this work of proportions without precedent in the annals of public works is a very simple one. From the great cutting at Culebra, near Gamboa, and the neighbouring cuttings, about so,ooo,ooo cubic metres of rock are removed, while only about 7,ooo,ooo are required for the Chagres dam, and therefore the work is one of transport only--a colossal one, it is true. Even the site of the dam is formed naturally by the disposition of the bed of the torrent, which is contracted at this place between the hills of Obispo and Santa Cruz, which are distant about I 50 metres from each other, and on which will rest the front wall of the great reservoir. Behind this first barrier will be thrown, as they are taken from the Cordillera, the 7 ,ooo,ooo metres of rock, and the dam will be complete. The originality of the project is that, strictly speaking, .there is no masonry at all in this enormous mass of rock of all sizes and shapes ; the accumulation alone gives the mass firmness. The plan given here enables us to follow the sinuous course of the Chagres River. Like all torrents, and especially all torrents in equatorial regions, it is subject to considerable variations in its flow, and to enormous and violent floods. In winter its flow is I6oo cubic metres per second, while in spring it is barely I3 metres. Its tributaries, or rios, are of the same character-the rio Trinidad and the rio Gatuncillo have a flow in winter of 400 cubic metres. It would be imposs- ible to divert these impetuous masses of water into the canal without producing currents and deposits and im- peding the navigation. The overflow of exceptional floods will be conducted to the sea by secondary water courses. These latter, which vary in breadth from 8 to 12, and even to 40 metres near the Atlantic, are easily made by utilising the portions of the bed of the river situated on the same bank, and connecting them by appropriate trenches. The enormous reserve behind the dam will flow regularly in this new bed. Of course, the bed of the canal will be completely protected from these deviating waters, in the trenches by the slopes of the latter, and in the lower parts by banks which will soon be covered by a vigorous and indestructible tropical vegeta- tion. \Vith the construction of this reservoir, assured by the clearings from the cutting, and the water regulated and controlled by these courses, the work, like that of the cutting at Culebra, is only one of time. One objection which was raised when the public became acquainted with the almost incredible magnitude of the work, in which a reservoir becomes a great Jake, was that this latter might itself be filled up with the alluvial deposits, which it was constructed to keep out of the canal. It is true that in its tropical floods the Chagres carries along a large quantity of alluvion ; but this, which would be an insuperable obstacle in the canal, becomes a secondary consideration in the reservoir. It has been calculated by the chief engineer to the work that the Chagres can bring into the lake in a thousand years 3o,ooo,ooo cubic metres of alluvion, while the cubic con- tent of the lake is r,ooo,ooo,ooo cubic metres. Culebra and the dam at Gamboa have always been the two principal points, the main obstacles to the canal. But there are thirty-five other principal working stations, all connected with the railway between Colon and Panama. As the illustration shows, they are sufficiently near to each other to be considered uninterrupted. Fifty exca- vators and ten dredges work at the canal. Up to the twenty-fifth kilometre we meet with dredges, at first at Colon for the port, then at Gatun. As far as the Panama Plain there are more than sixty excavators. In the three workshops at Culebra are now installed the contractors who cut the canal from Amsterdam to the North Sea. At Corosal, at the sixtieth kilometre, the great port for access to the canal from the Pacific is to be placed, and there the great American dredges work in the swampy ground. It has been calculated that the work done up to the present is half that required to complete the undertaking, and that this new maritime route to the East will be opened in I888. The work stands at present in this position : it involves in all the movement of about IOO,ooo,ooo cubic metres of rocks of varying consistency. Of this, 7o,ooo,ooo are to be raised, according to the contracts, in successive instal- ments in I885, I886, and I887. The remaining 3o,ooo,ooo, which form the actual canal, will be raised at the expira- tion of this time either by the same contractors or lJy new ones. Knowing the amount already raised, the contract periods for raising a certain other quantity and the amount remaining to be done at the end of the present contracts, we can, by a sum in simple proportion, calcu- late when the whole should be completed. In r888 it should be ready for traffic. 1his simple programme could only be applied to a work so colossal after a long and laborious period of minute study and preparation. The period of installation is always the most important in all these vast enterprises: the study and command of the appropriate material, the reception, testing, arrange- ment of the machines, the construction of the workshops, accommodation for the workmen, &c. ; it is only when all these have been completed, when all have been made ready for work and tested, that the real work can com- mence, and that progress becomes sensible. This period of installation lasted, for example, in the case of the St. Gothard tunnel, for fifteen months ; but the Panama canal calls for ten times more capital than the tunnel, it is executed in a country which has first to be cleared of a luxuriant tropical jungle, thousands of miles away from all industrial centres. The preparation for this gigantic work under these circumstances was a most important fraction of the work, and it is the opinion of competent men that what has actually been done during the installation period now brought to a close is equivalent to half of the work necessary to achieve the canal. In the case of the Suez Canal, 7o,ooo,coo cubic metres had to be raised ; of these, so,ooo,ooo were raised in two years after the apparatus had been put in ':'orking order. Seventy million cubic metres must be raised by the drags and excavators of the twenty-one principal con- tractors; I8,ooo,ooo are to be raised by August I of the current year. These 2 I contracts represent an outlay of about 24o,ooo,ooo francs, of which 6s,ooo,ooo been tendered by French contractors; 55,ooo,ooo by Amen cans; zo,ooo,ooo by Italian, Swiss, Swedish, and natives, .and 90,ooo,ooo by an Anglo-Dutch Company. All natwns are working therefore at the task. The French con- tractors are at work at the cutting at Emperador ; the Anglo-Dutch Company has to remove 13,ooo,ooo cubic metres in the great cutting at Culebra. Practically © 1885 Nature Publishing Group NATURE [August 20, 1885 the whole isthmus is being attacked simultaneously. Fig. 4 represents the work at the station of Em- perador. It is connected by rails, on which loco- motives run with other stations, and with the Colon- Panama Railway. The material ta ken out is conveyed to the great dam, which is to keep in the water of the Chagres River. The cutting at Emperador is zoo metres wide in . certain places. Next to this comes the great station of Culebra. These two stations are represented in the accompanying sketches. While all this work of dredging and excavating, making cuttings and embank- ments is going on at the canal, the two ports of entry on the Atlantic and the Pacific are being constructed. At Colon, powerful dredging works are opened. A pier, protected on the western side by a mole, has been built, on which a new town, Christopher Columbus, is growing. On it are placed the workshops, stores, railway stations, &c. All the constructions are connected with the rail- Drag'.Jes. ····--------------· .. dl Excavateur& ............. - .... . .. Frc. 1.-Line of Canal and wprks in cc. ur3e of exe cution. 1, 2, dredglngs of the Port of 3, 4, s , dredgings Colon an? Gatu n ; 6, 7, deviation of Ri(, Trinidad at Gatun; 8, dockyar!i of Pena Blanca; g, 10, embankment of Bohto u, VIsta; 12 , Tav:emll.la 13, 14 , Sa_n 1s, 1 6, 17, Gorgona; 1 8, 1 9, Matachtn; 20, Gamboa dam, 21, Cerostta, 22, Upper Ob1spo , 23, the Obispo, ,.24 1 Emperador; 25, El Lirio ; 26, 27, 28. La Culebra; 29, 30, Para1so; 31, Pedro l\hguel; 32, Corosal; 33, Boca Grande. FIG. 2.-Emperador Dock:;;. FIG. 3.-Culebra Docks. way across the isthmus by a series of branches. Vessels drawing any amount of water can discharge at the wharf projecting into the sea, and completely protected from the wind. On the Pacific coast, the creation of a port at the mouth of the Rio Grande presents no technical difficulties, and six dredges are now at work making a channel roo metres in width to the sea. A special organisation has been created to deal with the vast material, its employ- ment, and repair. The isthmus has been divided into ' three sections, with a centre at Matachin, a t the foot of the great embankment and the cutting. Here all the material is concentrated, all the repairs executed, and all the machinery put in working order. The railway of the isthmus is now the property of the Caoal Company, and facilitates greatly this movement of the machinery on which the reg ular working of the various sections depends. By its means each working station is in communication with the central one and with every other. © 1885 Nature Publishing Group August 20, 188s] NATURE 373 © 1885 Nature Publishing Group 374 NATURE [August 20. 1885 To sum up, more than two-thirds of the work of making the canal is now in execution, under formal engagements with contractors. The problem of the canal has been s olved in principle. The period of insta llation or prepar- ation has been succeeded by one of execution, based on a definitive programme, accepted by those who must carry it out, the Company itself mainta ining an attitude o f rigorous surveillance. NOTES TH E fifty-eighth meeting of th e German A ssociation of Naturalists and Physicians will t hi s year meet at Strassburg. Notices of communications and abstracts of papers should be sen t to Herr J. Stilling. The m eeting will commence on T hursday, September 17, and term inate on September 23, THE local committee of the American Association has issued its second circular containing the general programme of the meetin g at Ann Arbor. The meeting will be called to order on W ednesday, August 26, at 10 a.m., wh en Prof. Lesley will resign the chair to President-dec! Prof. New ton of New Haven, and the usual addresses of welcome will be delivered, In the evening Prof. Lesley will give his presidential address. On Thursday evening the citize ns of Ann Arbor will tender a recep- tion at th e Court House, ana on Friday it is probable that a lawn party will be given on the Uni"er;;ity g round s. On Saturday a long excursio n, as previously announced, will take place; on Monday a short excursion fo r the members of the Botanical Club h as been planned, probably to th e Tamarack swamp, one of the de tach ed spots common in Southern Michiga n wh ere a northern flora has lingered under favour able conditions through the vari ous climatic changes of later geologic times. It is probable that simila r trips to points of local in terest may be arranged for some of the sections. The chairm an of Section C announces that th e following subjects have be,en chosen for discussion: first, what is the best initiatory course of work for students en tering upon laboratory practice ? seco nd, to what extent is a knowledge of molecular physics necessary for one who would t each theoretical chemistry? Iu the discussion in Section D, mechanical science, of the best method o f teaching mechanical engineering, in order that what is read and said may be to the p oint, the following classifi cation should be observed: (a) schools of mechanical engineering ; (b) mech anic art schools for the education of superintendents, forem en, &c, ; (c) manual training- sch ools. The distinction betw ee n "mechanical laboratory practice" and ''shop practice" should also be made and app reciated. THERE seems to be no doubt that Si r Nathaniel Barnaby is about to close his connection wi th the Admiralty as Director of Naval Construction. We shall be inte rested to see in what manner the new Government fills up the vacancy, and what treatment they give Sir Nathaniel's successor, who, it is rumou red, may be Mr. W , H . White. As is known, Mr. White some time ago resigned his connection with the Admiralty for a far more lucrative p ost in Sir W, Arms trong's works. "But there is a difficulty in the way," as the Pall Mall Gazette ' puts it. "Private firms can pay, and do pay, their chief con- structors twice, three, and four times as mu ch as the Admiralty. Perhaps Mr. White may consent t o sacrifi ce some thousands a year for the honour and glory of serving his country, but the iime will come when scientific skill, like other commodities, will have to be purchased at the Admiralty at its market rate." Perhaps a Conservative Government will sho w itself more alive to this aspec t of the post than its Liberal predecessor. DR. PAGENSTECHER, of Hamburg, h as just described a new fo rm of Frugivorous Bats from a specimen transmitted to the Natural History Museum of that city by Herr H. Soyaux, of I Gaboon. Megaloglossus woermanni, as this new is proposed to be called, is remarkabl e as belonging to the long- tongued division of the Pteropine Bats, which was not previously known to occur anywhere within the 1Ethiopian region. M eg alog!ossus is closely allied to Mae1·oglossus and Melonycteris, and in some characters is intermediate between these two genera, In its dentition it also exactly resembles them. WE are informed by Dr. G. A. Guldberg, of the University of Christiania, that the fishery of rorquals or fin-whales (Balamo- pterce) es tablished at V ado in East Finmarken, for commercial purposes, continues to be turned to good account for scientific investigation. This year Dr. R. Collett, the well-known Nor- wegian naturalist, is visiting the place, and has already made many interesting observations upon the stru cture and habits of Rndol phi 's whale (Balcmoptera borealis), which has been captured in considerable numbers during the latter part of July, although the great blue whale (B. sibbaldii), generally so numerous, has not yet been seen upon the coast. This is attributed to the absence of the Thyssanopoda i11ermis, a small crustacean on which the blue whale feeds. Rudolphi's whale is called "seje" or "cod" whale by the Norwegians, as it appears on the coast at the same time as that fish, but its fo od is also a crustacean of a still smaller species than that which is the chief nourishment of its gi gantic relative. It usually visits the coasts of Finmark between the months of May and August, and has lately been taken several times on the east coast of Great Britain (Firth of F orth, 1872; River Crouch, E ssex, No vember 1883; mouth of the Humber, September 1884). Dr. Guldberg gives its average length as 40 feet, but says it sometimes a tt ains so feet. Its shape is more elegant than that of the commoner species, B. m usculus, which it otherwise resembles . Its colour is black, and does n ot show the bluish tint seen in the latter species and in B. sibbaldii. Tiu: ;ides are spotted with whi te, and the under parts are white with a faint reddish tinge . A new use to which the wh ales killed at Vado have b een lately put is tinning their fl esh, which is said to be wholesome, and t o find great favour in Catholic countries, where, b eing fi sh according to the zoology of the Church, it is allowed to be eaten on fast days. WE have received the annual report for the past year of Prof. Spencer Baird, Secretary of the Smithsonian Institutio n. It includes an account of the work performed by the Institution itself, as well as that of the branches of th e p ublic service placed by Congress under its charge, namely, the National Museum and th e B ureau of Ethnology. A sketch of the work of the United States Fish Commission and of th e Geological Survey is added. W e observe that the additions to th e Museum are descri bed as unexampled in extent, conseq uent partly upon the labours of the Geological Survey, of the E thnological Bureau, of the first Commission, and of numerous miscellaneous explora- tions, both public and private. These various explorations are briefly described . Amongst the forth coming publications is one on the Botany of North America, by Prof. Asa Gray, part II. o which is in the press. It compris es the Ga mopetalous orders from Capt·ifo!iace(l! to Compositce inclusive, An enumeration by the author indicates that of the Caprifoliacece there are 8 genera and 47 species ; of Rubiacece, 26 genera and 86 species; of Valeria nacece, 2 genera and 22 species; of Dipsacacece, 1 genus and 2 species (n at uralised) ; of Compositce, 237 genera and 1610 species. It will form an octavo volum e of nearly sao pages. The geological map of the United States , commenced in 1883, h as been completed and placed in the hands of the engraver. It was found , after collating all available data, that the know- ledge acquired is not sufficient to warrant the extension of geo- logical colours over the entire territory of th e United States. Accordingly, California,/Oregon, and parts of Montana, Idaho, N evada, Arizona, Utah, New Mexico, and Te xas remain PIERCING THE ISTHMUS OF PANAMA 1